Welcome to our dedicated page for MORGAN STANLEY SEC filings (Ticker: MS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Morgan Stanley filings document the company’s financial services business, capital structure, governance and material events. The record includes 8-K reports for current events, proxy materials for annual meeting and shareholder voting matters, and securities listings covering common stock, depositary preferred shares and medium-term notes associated with Morgan Stanley Finance LLC.
Filings also disclose governance procedures, registered security classes, NYSE listing information, preferred stock series, debt-security registration matters and formal status changes such as a Form 25 notice for removal of a listed note class from exchange registration.
Morgan Stanley Finance LLC issues callable, principal-at-risk notes tied to Micron Technology stock, offering an aggregate principal amount of $1,174,000. Each security has a stated principal amount of $1,000 and an original issue price of $1,000; the estimated value on the pricing date was $979.80 per security. The notes pay a contingent coupon at an annual rate of 25.35% on each coupon payment date only if the underlying closing level is at or above the coupon barrier of $197.765 (50% of the initial level). The notes are callable beginning September 29, 2026 based on the output of a risk neutral valuation model selected by the calculation agent; if not called, maturity is September 29, 2027. At maturity, if the final level is below the downside threshold of $197.765, investors incur a loss equal to the percentage decline in Micron's closing level (payment = stated principal × performance factor). All payments are subject to Morgan Stanley Finance LLC's and Morgan Stanley's credit risk.
The document is a pricing supplement for Principal at Risk notes issued by Morgan Stanley Finance LLC and fully guaranteed by Morgan Stanley. The notes (stated principal $1,000 each) are linked to the VanEck® Gold Miners ETF and pay a contingent coupon only when the ETF closes at or above a coupon barrier on scheduled observation dates.
The notes can be automatically called if the ETF closes at or above the call threshold on any redemption determination date; otherwise, at maturity investors either receive principal or suffer losses pro rata if the final level is below the downside threshold. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering buffered, auto-callable principal-at-risk notes linked to the Amplify Junior Silver Miners ETF. Each security has a stated principal amount of $1,000 and an original issue price of $1,000 with an estimated value on the pricing date of approximately $955.30. The securities may be automatically redeemed on the first determination date (April 9, 2027) for an early redemption payment (at least $1,440 per security). If not redeemed, maturity mechanics (final determination date March 27, 2028; maturity March 30, 2028) provide either: principal plus upside at a 200% participation rate for appreciation, return of principal if final level stays within a 10% buffer, or a leveraged loss of 1.1111% per 1% decline beyond the buffer, potentially resulting in total loss. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced an $18,272,000 offering of principal‑at‑risk, S&P 500®‑linked, auto‑callable notes due March 29, 2029. Each security has a stated principal amount of $1,000, an issue price of $1,000 and an estimated value on the pricing date of $969.90. The notes pay no interest, may auto‑redeem on scheduled determination dates if the closing level of the S&P 500® is at or above the call threshold level (6,556.37), and otherwise return at maturity either a fixed positive payment ($1,326.40) or a principal amount reduced pro rata by the underlier’s decline (payment could be zero). All payments are unsecured and subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities tied to Blackstone Inc. common stock with a stated principal amount of $1,000 per security. The notes pay a contingent coupon at an annual rate of 15.25% on observation dates only if the underlier meets the coupon barrier (65% of the initial level). The securities may be automatically redeemed early if the underlier meets the call threshold (85% of the initial level) on specified redemption determination dates; otherwise, at maturity on April 5, 2028 investors receive principal only if the final level is at or above the downside threshold (65% of the initial level), but will suffer proportional principal loss if the final level is below that threshold. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; they carry credit risk and may pay no coupons or return significantly less than principal.
Morgan Stanley Finance LLC priced a series of Principal-at-Risk buffered jump securities due April 5, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and may auto‑redeem on scheduled determination dates for fixed early redemption payments. The securities feature a 10% buffer, a minimum payment at maturity of 10% of principal, and a capped maturity payment of $1,519.00 if all underliers meet the call thresholds. Payments are linked to the worst performing of the Nasdaq-100® Technology Sector, the Russell 2000® Index and the S&P 500® Index, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced structured, principal-at-risk Jump Securities with an automatic early redemption feature due April 15, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security and an issue price of $1,000 per security. The estimated value on the pricing date is approximately $945.60 per security. The notes pay no periodic interest, are linked to the worst performing of the Dow Jones Industrial Average, the Russell 2000® Index and the S&P 500® Index, and feature scheduled determination dates beginning April 16, 2027 with pre-specified early redemption payments and a potential maturity payoff of $1,560 if all underliers meet their call thresholds.
Morgan Stanley Finance LLC priced a structured, principal-at-risk note series linked to the worst performing of the Dow Jones Industrial, Nasdaq-100 and Russell 2000. Each security has a $1,000 stated principal amount and may auto-redeem on April 8, 2027 for an early redemption payment of $1,252.50 if each underlier meets its call threshold. If not auto-redeemed, maturity is April 5, 2029 and returns depend on the worst performing index with a 200% participation rate for upside and a downside threshold at 70% of initial levels; losses can be up to the full principal and are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk structured notes linked to the common stock of Blackstone Inc., fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an upside payment of $255 (25.50%).
Estimated value on the pricing date was approximately $963.90. The notes pay no interest and provide limited principal protection only if the final level is at or above a downside threshold of 60% of the initial level. The observation date is October 8, 2027 (subject to postponement) with maturity on October 14, 2027. If the final level is below the downside threshold, investors incur losses pro rata and could lose their entire investment. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC prices a structured note offering: Buffered Jump Securities with an auto-callable feature due March 30, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an issue price of $1,000 with an estimated value of approximately $966.20 on the pricing date. The notes can auto-redeem on the first determination date for an early redemption payment of $1,245. If not auto‑redeemed, maturity payoffs depend on basket performance: a 150% participation rate, a 15% buffer (buffer level 85), an upside payment of $490, and a downside factor of 1.1765.