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 is offering contingent income memory buffered auto-callable securities due April 16, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $900.70.
The securities pay a contingent coupon (annual rate to be set on the pricing date between 10.15% and 11.15%) only if the closing level of the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index is at or above a coupon barrier of 70% on observation dates. They are automatically redeemed early if the index is at or above the call threshold (100% of the initial level) on any redemption determination date beginning April 12, 2027. At maturity, if not called, investors receive principal if the final level is at or above the buffer level of 85%; otherwise principal is reduced by the index decline beyond the 15% buffer, subject to a minimum payment at maturity equal to 15% of principal.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk securities with a stated principal amount of $1,000 per security that mature on April 16, 2031 and are fully guaranteed by Morgan Stanley. The securities reference the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index and include an automatic early redemption feature starting on April 13, 2027. If the underlier’s closing level on a determination date is at or above the call threshold (85% of the initial level), the securities will auto‑redeem for fixed early redemption payments that imply roughly 11.50 to 12.50 per annum in specified ranges. If not redeemed, maturity payoffs are either a fixed positive payment (if final level ≥ buffer level) or a reduced principal that loses 1% per 1% decline beyond a 15 buffer, subject to a minimum payment of 15 of principal. The issue price is $1,000; the estimated value on the pricing date was approximately $898.40. All payments are subject to the issuer’s and guarantor’s credit risk; investors bear structuring, selling and hedging costs included in the issue price.
Morgan Stanley Finance LLC offers Trigger PLUS principal-at-risk notes due April 3, 2031, fully and unconditionally guaranteed by Morgan Stanley.
The securities have a stated principal of $1,000 per security, a leverage factor of 218.75% on upside performance of the S&P 500® Futures Excess Return Index, a downside threshold at 75% of the initial level and an observation/strike date of March 31, 2026. The securities pay no interest; if the index at maturity is below the downside threshold, investors lose proportionately (1% loss in principal per 1% index decline). Estimated value on the pricing date is approximately $972.90 per security.
Morgan Stanley Finance LLC is offering Principal at Risk auto-callable securities tied to the common stock of Apollo Global Management, Inc., fully and unconditionally guaranteed by Morgan Stanley. The offering is for an aggregate principal amount of $500,000 at $1,000 per security with an original issue date of March 26, 2026 and a maturity date of December 28, 2026.
The securities pay a fixed coupon at an annual rate of 15.72%, are subject to automatic early redemption if the underlier’s closing level is ≥ the call threshold of $111.20 on specified redemption determination dates, and observe the underlier on December 18, 2026. If not auto‑redeemed, principal is returned at maturity only if the final level is ≥ the downside threshold of $66.72 (60% of the initial level); otherwise, principal is reduced pro rata and could be zero. All payments are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk PLUS securities due March 22, 2030 guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, 200% leverage on the worst performing underlier (Invesco S&P 500® Equal Weight ETF and Nasdaq-100®), a maximum payment of $1,957.50 and no guaranteed interest. The securities return principal plus a leveraged upside only if both underliers finish above their initial levels; otherwise payment falls prorata to the worst performing underlier and could be zero. The aggregate offering size is $2,700,000. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering $3,115,000 of Trigger Callable Contingent Yield Notes due March 24, 2031, fully guaranteed by Morgan Stanley. The Securities pay a quarterly contingent coupon at a 10.60% per‑annum rate only if each underlying (S&P 500®, Russell 2000®, EURO STOXX 50®) closes at or above its Coupon Barrier on an Observation Date. Coupon Barriers are approximately 70% of initial levels and Downside Thresholds are approximately 60% of initial levels. Beginning June 25, 2026, the issuer may call the notes on quarterly Call Dates if a risk‑neutral valuation model indicates calling is economically rational; if called you receive principal plus any contingent coupon due. If not called, maturity payoff equals $10 if all final underlying values are at or above their Downside Thresholds; otherwise payment equals $10×(1+Index Return of the Least Performing Underlying), exposing investors to loss of principal. Issue Price is $10.00 (estimated trade‑date value $9.713). The notes are principal‑at‑risk, credit‑sensitive, and may have limited secondary market liquidity.
Morgan Stanley Finance LLC is offering Principal at Risk callable contingent income buffered securities fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, a contingent coupon at an annual rate of 10.90%, a 25% buffer and a downside factor of 1.3333. The securities pay coupons only if each underlier (the Dow Jones Industrial Average, the Nasdaq-100® Technology Sector and the Russell 2000®) is at or above its coupon barrier (75% of its initial level) on each observation date. If not redeemed, maturity is September 30, 2027, and losses apply to the worst performing underlier beyond the buffer. The issuer may call beginning April 1, 2027 based on a risk-neutral valuation model. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering callable Contingent Income Securities due April 5, 2029 linked to the worst performing of the iShares Silver Trust (SLV) and the SPDR Gold Trust (GLD). Each note has a $1,000 stated principal amount and issue price of $1,000, with an estimated value on the pricing date of approximately $956.60.
The notes pay a contingent coupon at an annual rate of 18.00% only if both underliers are at or above coupon barrier levels on scheduled observation dates; coupon barrier and downside threshold levels are each 60% of the initial level. Beginning October 5, 2026, the issuer may redeem on scheduled redemption dates if a risk-neutral valuation model indicates it is economically rational to call. At maturity, if the final level of either underlier is below its downside threshold, repayment is reduced by the worst-performing underlier’s decline and could be zero. All payments are subject to Morgan Stanley’s credit risk and the securities are fully guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities due March 29, 2029. The notes are linked to the common stock of The Goldman Sachs Group, Inc., have a stated principal amount of $1,000 per security, and pay a contingent coupon at an annual rate of 14.05% only when observation-date closing levels meet the coupon barrier.
The securities feature automatic early redemption on specified redemption determination dates if the closing level meets a call threshold (set at 100% of the initial level), and a downside threshold of 70% of the initial level that determines principal loss at maturity. Estimated value on the pricing date was approximately $959.50 per security. All payments are subject to Morgan Stanley Finance LLC’s and Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC offers a Trigger PLUS structured note due April 1, 2032 linked to the S&P 500® Futures Excess Return Index. The securities are issued at a $1,000 stated principal amount per security and carry a 200.25% leverage factor on upside performance.
At maturity the payout is: stated principal plus leveraged upside if the final level exceeds the initial level; stated principal if the final level is between the downside threshold and the initial level; and a principal loss pro rata if the final level is below the downside threshold (the downside threshold is 60% of the initial level). The document states an estimated value on the pricing date of approximately $934.40 per security and discloses agent commissions of $32.50 plus a potential structuring fee of up to $9 per security.