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 offers callable Contingent Income Securities linked to the worst performing of the Dow Jones Industrial Average, the Nasdaq-100® Technology Sector Index and the S&P 500® Index. Each note has a $1,000 stated principal, a 13.50% per annum contingent coupon, a maturity date of April 6, 2028 and a first redemption date of July 7, 2026.
Coupons are paid only if the closing level of each underlier meets its coupon barrier on each observation date. At maturity, if any underlier is below its 70% downside threshold, principal is reduced pro rata to the performance of the worst performing underlier and could be zero. Early redemption may occur on scheduled redemption dates only if a risk neutral valuation model determines it is economically rational for the issuer; redeemed securities cease further payments. All payments are subject to Morgan Stanley and MSFL credit risk. The estimated value on pricing was approximately $983.80 per security.
Morgan Stanley Finance LLC is offering Principal at Risk notes due April 14, 2027, linked to the S&P 500® Index. Each security has a stated principal of $1,000, an estimated value on pricing of approximately $984, and an upside payment of at least $97.70 (9.77%) if the final level is at or above the downside threshold. The downside threshold is 80% of the initial level; if the final level is below that threshold, holders lose 1% of principal for each 1% decline in the index and could lose their entire investment. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; all payments remain subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC (MS) priced Principal-at-Risk securities with a $1,000 stated principal per note and a 12.00% per annum contingent coupon payable only if each underlier meets its coupon barrier on observation dates. The securities mature on April 2, 2029 and are linked to the worst performing of the NDXT, RTY and SPX indices. Early redemption may occur beginning July 2, 2026 if a risk neutral valuation model indicates redemption is economically rational for the issuer. Principal is at risk: if the final level of the worst performing underlier is below a 70% downside threshold, investors lose proportionally and could lose their entire investment. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering Trigger Autocallable GEARS linked to the Russell 2000® Index, guaranteed by Morgan Stanley. The securities have an $10.00 Issue Price and an estimated Trade Date value of approximately $9.491. Key economic terms include an Autocall Barrier of 100% of the Initial Level, a Downside Threshold of 75%, an annual Call Return Rate of 12.00% (Call Price = $11.20 on call), and Upside Gearing in the range 1.54 to 1.74. Trade Date is April 15, 2026; Observation Date is April 21, 2027; Final Valuation Date is April 15, 2031; Maturity is April 18, 2031. Investors face principal-at-risk: if not called and the Final Level is below the Downside Threshold, payment at maturity may be significantly less than principal. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC priced Structured Investments Enhanced Buffered Jump Securities due June 28, 2027, fully guaranteed by Morgan Stanley. The offering is $1,000 per security with an aggregate principal of $1,600,000 and an estimated value on the pricing date of $982.70 per security. The notes pay no interest; they provide a fixed $112.50 upside payment (an 11.25% return) if the worst performing underlier on the observation date is at or above a 80% buffer of its initial level. If the worst performing underlier falls below the buffer, investors lose 1 of principal for each 1 decline beyond the buffer, subject to a minimum payment at maturity of 20% of principal. The observation date is June 23, 2027 (final levels based on closing prices) and the maturity date is June 28, 2027. Underliers: Dow Jones Industrial Average, Russell 2000® Index, and S&P 500® Index. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a Buffered PLUS linked to a basket of equity indices and an ETF, offering principal-at-risk notes due September 29, 2027. The offering totals $499,000 aggregate principal at a stated principal amount of $1,000 per security and an issue price of $1,000 per security. The securities provide 200% leveraged upside (subject to a maximum payment of $1,112.50) and a 20% buffer (buffer level 80), with a minimum payment at maturity of 20% of principal. Payments depend on the underlier closing on the observation date September 24, 2027, and all payments are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley. The estimated value on the pricing date was $959.60 per security and agent commissions total $22.50 per security.
Morgan Stanley Finance LLC issues structured, market‑linked notes due March 27, 2031, fully and unconditionally guaranteed by Morgan Stanley. The offering's aggregate principal amount is $606,000 and the notes are sold at an issue price of $1,000 per note.
The notes pay no interest, have a 100% participation rate in the upside of a five‑component international equity basket, and pay at maturity either the stated principal plus any upside payment if the final level exceeds the initial level, or only the stated principal if not. Payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes with an aggregate principal amount of $500,000. The notes are issued at $1,000 per security and mature on March 28, 2028, and are fully and unconditionally guaranteed by Morgan Stanley.
The securities are linked to the worst performing of the S&P 500®, Nasdaq-100® Technology Sector and Russell 2000® indices, feature automatic early redemption beginning on March 24, 2027, and have fixed early redemption payments of $1,193.00, $1,241.25, $1,289.50 and $1,337.75 on successive determination dates. If no early redemption occurs, maturity payoffs are: $1,386.00 if each final level ≥ call threshold (100% of initial level); the stated principal amount if final levels are ≥ downside threshold (70% of initial level); or a loss equal to the percentage decline of the worst performing underlier if that underlier is below its downside threshold, which could result in a zero payment.
The estimated value on the pricing date was $979.00 per security. Commissions and fees reduce proceeds to MSFL to $496,500 in the aggregate. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering contingent income memory auto-callable notes due March 27, 2031 with a stated principal amount of $1,000 per security and an aggregate principal amount of $2,597,000. The securities pay a contingent coupon at an annual rate of 11.00% on observation dates only if each underlier meets its coupon barrier level; missed coupons may be paid later only if future observation dates satisfy the coupon condition. The notes are linked to the worst performing of the State Street® Energy Select Sector SPDR® ETF (XLE), the EURO STOXX 50® Index (SX5E) and the VanEck® Semiconductor ETF (SMH); downside protection is limited to threshold levels set at 60% of initial levels and investors can lose up to all principal if the worst performing underlier declines below its downside threshold. The securities are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities linked to the common stock of Broadcom Inc. The issue size is $2,160,000 (aggregate) at an issue price of $1,000 per security; stated principal is $1,000 per security. The securities mature on April 28, 2027 with a final observation date of April 23, 2027. They pay a contingent coupon at an annual rate of 15.50% only if the closing level of Broadcom meets or exceeds the coupon barrier of $180.606 (approx. 56% of the initial level) on each observation date. The call threshold equals the initial level of $322.51; the securities automatically redeem early if the closing level on any redemption determination date is at or above that level. If not auto-redeemed, maturity payment returns full principal only if the final level is at or above the downside threshold ($180.606); otherwise holders suffer proportional losses and may lose their entire principal. All payments are subject to issuer and guarantor credit risk; estimated value on pricing date was $979.20 per security.