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 prices Principal-at-Risk notes offering an aggregate principal amount of $3,338,000 of fixed‑coupon Buffered Auto‑Callable Securities due March 13, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities pay a 7.00% annual fixed coupon (monthly payments) and may be automatically redeemed beginning on the first redemption determination date of March 10, 2027 if the closing level of the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index is at or above the call threshold (1,142.90). If not called, maturity payment depends on the final index level relative to a 15% buffer (buffer level 971.465); losses beyond the buffer reduce principal dollar‑for‑dollar subject to a 15% minimum payment at maturity. The original issue price is $1,000 per security, estimated value on pricing date was $920.00, and issuer proceeds after commissions total $3,201,142. All payments are subject to issuer credit risk and the securities do not participate in index appreciation.
Morgan Stanley Finance LLC priced $2,971,000 aggregate principal of Structured Investments — Contingent Income Memory Buffered Auto-Callable Securities due February 15, 2029, $1,000 per security (issue price $1,000).
The notes are linked to the worst performing of the XME Fund (State Street SPDR S&P Metals & Mining ETF) and the GDX Fund (VanEck Gold Miners ETF). They pay a contingent coupon at an annual rate of 7.00% only when both underliers meet coupon barrier tests on observation dates and feature automatic early redemption if both underliers meet call thresholds on specified redemption determination dates. At maturity, if the worst performing underlier is below its buffer level (each buffer = 75% of initial level), principal is reduced 1% for each 1% decline beyond the buffer, subject to a minimum payment of 25% of principal. All payments are unsecured and guaranteed by Morgan Stanley and are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes due March 16, 2029, fully guaranteed by Morgan Stanley. Each security has a stated principal of $1,000 and a contingent annual coupon of 8.45% payable only when all three underliers meet coupon barriers on observation dates.
The notes reference the Dow Jones Industrial, Russell 2000® and S&P 500®, use the worst-performing underlier for payoff determination, and feature automatic early redemption beginning March 15, 2027 if all underliers meet 100% call thresholds. If any underlier is below the downside threshold (65% of initial level) at final observation, principal is reduced pro rata to the worst performing underlier, potentially to zero. Estimated value on pricing date was about $977.60 per security.
Morgan Stanley Finance LLC issues Principal at Risk securities due July 16, 2027 linked to the S&P 500® Index, fully guaranteed by Morgan Stanley. Each security has a stated principal of $1,000, an estimated value on the pricing date of $983.60, and a minimum upside payment of $120.60 (12.06%). The securities provide an upside payment if the final level is at or above a 90% buffer (10% buffer amount). If the final level is below the buffer, investors lose 1.1111% of principal for each 1% decline beyond the buffer; there is no guaranteed minimum and investors could lose their entire investment. Agent commissions are $11.67 per security and net proceeds per security are $988.33. All payments are subject to issuer and guarantor credit risk, and market value prior to maturity may be materially lower than the original issue price.
Morgan Stanley Finance LLC priced Structured Investments Enhanced Trigger Jump Securities linked to the iShares® Silver Trust (SLV). The notes have a $1,000 stated principal amount and a fixed $202 upside payment (20.20%) if the final level is at or above a 60% downside threshold. If the final level is below that threshold, investors lose in direct proportion to the decline in the underlier and could lose their entire principal. Payments are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley; all payments remain subject to issuer and guarantor credit risk. The securities pay no interest, have an estimated value of approximately $970 on the pricing date, include issuance and structuring costs reflected in the $1,000 issue price, and carry detailed tax, market, liquidity and conflict-of-interest risks described in the supplement.
Morgan Stanley Finance LLC is offering contingent income, memory auto-callable, principal-at-risk securities due March 15, 2029, linked to the worst performing of the EURO STOXX 50® and S&P 500®. Each security has a $1,000 stated principal amount and an annual contingent coupon of 9.50%, payable only when both underliers meet coupon barrier levels on observation dates. The notes may auto-redeem on specified redemption determination dates starting September 10, 2026 if both underliers meet call thresholds. At maturity, if the worst performing underlier is below its 80% downside threshold, principal is reduced proportionally and could be zero. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced Digital S&P 500® Index-Linked Notes due in roughly 19–22 months, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 note offers a capped payout if the Final Underlier Level is ≥87.50% of the Initial Underlier Level (Maximum Settlement Amount expected $1,133.70–$1,157.20). If the Final Underlier Level is <87.50%, principal is exposed and losses up to the full investment are possible. The estimated Trade Date value is approximately $996.90 per $1,000 note. All payments are subject to issuer credit risk and the notes are not listed or insured.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable structured notes due March 23, 2029, fully guaranteed by Morgan Stanley. Each security has a $1,000 issue price and an estimated value of approximately $974.80 on the pricing date. The notes reference the worst performing of three underliers: the CIBR ETF, SMH ETF and the Nasdaq-100 Index. Automatic early redemption can occur on a sequence of determination dates beginning March 25, 2027, with specified early redemption payments rising to $1,638.75. If not called, maturity payoffs are: $1,657.00 if all final levels meet call thresholds; the stated principal ($1,000) if final levels remain at or above 70% downside thresholds; otherwise payment equals principal multiplied by the worst-performing underlier's performance factor, potentially reducing payout to zero. All payments are subject to issuer credit risk and the securities do not pay interest or participate in underlier appreciation.
Morgan Stanley Finance LLC offers Principal-at-Risk auto-callable notes linked to Accenture plc Class A ordinary shares with a stated principal amount of $1,000 per security and an issue price of $1,000 per security. The securities pay a 15.50% contingent annual coupon on each observation date only if the closing level of the underlier meets or exceeds the coupon barrier, and they feature automatic early redemption on specified redemption determination dates beginning September 21, 2026.
If not called, at maturity on April 23, 2027 investors receive principal only if the final level is at or above the downside threshold (set at 67.20% of the initial level); otherwise the payment equals the stated principal multiplied by the performance factor and could be substantially less than principal or zero. All payments are subject to Morgan Stanley’s credit risk, and the estimated value on the pricing date is approximately $963.70 per security.
Morgan Stanley Finance LLC is offering structured, principal-at-risk, auto-callable securities linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an issue price of $1,000. The securities may be automatically redeemed for $1,100 if the underlier is at or above the call threshold (100% of the initial level) on the first determination date of March 29, 2027; maturity is March 16, 2028. If not called, maturity payoffs depend on the arithmetic average of the closing levels on specified final averaging dates: investors receive principal plus an upside payment when the final level exceeds the initial level, receive only principal if the final level is between the downside threshold (73.50% of the initial level) and the initial level, or suffer pro rata principal loss if the final level is below the downside threshold. The participation rate is 200%. The estimated value on the pricing date was approximately $978.70 per security. All payments are subject to issuer and guarantor credit risk.