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 Variable Income Auto-Callable Notes due July 31, 2031, linked to the worst performing of Salesforce, NVIDIA and Tesla common stocks, and fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and an issue price of $1,000.
Investors receive a variable coupon: a higher rate of 9.25% per annum if on an observation date each underlier is at or above its coupon barrier (77.50% of its initial level), otherwise a lower rate of 0.25% per annum. The notes are automatically redeemed if, on designated redemption determination dates, each underlier is at or above 95% of its initial level, paying principal plus the higher coupon; no further payments occur afterward. If not called, principal is repaid at maturity, in addition to the final coupon, all subject to Morgan Stanley’s credit risk. The structure is based on the worst performing underlier, offers no participation in stock appreciation, has an estimated value of approximately $942.40 per note, will not be listed on any exchange and may have limited secondary market liquidity.
Morgan Stanley Finance LLC is offering $23,333,000 of Buffered Digital Basket-Linked Notes due September 29, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 note is unsecured, pays no interest and is principal-at-risk, linked to a weighted basket of the EURO STOXX 50, TOPIX, FTSE 100, Swiss Market Index and S&P/ASX 200.
At maturity, investors receive for each $1,000 the following: if the basket return is zero or positive, the greater of the Threshold Settlement Amount of $1,238.50 (123.850% of face) or $1,000 plus 100% of the basket return; if the basket is down by up to 10%, $1,000; if it is down more than 10%, $1,000 plus 1.1111 times the loss beyond 10%, which can result in a total loss of principal. The initial basket level is 100, with a 10% buffer and Buffer Level at 90. The estimated value on the trade date is $990.40 per note versus the $1,000 issue price. The notes are not listed, secondary trading may be limited, and all payments depend on Morgan Stanley Finance LLC and Morgan Stanley credit.
Morgan Stanley Finance LLC is offering Contingent Income Buffered Auto-Callable Securities due July 20, 2028, linked to the worst performer of the Dow Jones Industrial Average and the State Street Technology Select Sector SPDR ETF, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 principal amount and pays a 7.65% per annum contingent coupon only if on the relevant observation date the closing level of each underlier is at or above its coupon barrier (80% of its initial level).
The notes may be automatically redeemed on specified dates starting July 20, 2027 if each underlier is at or above its 100% call threshold, in which case holders receive $1,000 plus the applicable coupon and no further payments. If held to maturity and each final underlier level is at or above its 75% buffer level, investors receive full principal (plus any final coupon). If the worst-performing underlier finishes below its buffer, principal is reduced 1% for every 1% decline beyond the 25% buffer, but not below a minimum payment of 25% of principal. The issuer’s estimated value on the pricing date is approximately $963.50 per security, reflecting issuance, selling, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Variable Income Auto-Callable Notes due July 31, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays a variable monthly coupon: a higher rate of 13.00% per annum or a lower rate of 0.25% per annum, depending on the performance of four underlying stocks (Qualcomm, Palantir Technologies, Netflix and Broadcom).
The higher coupon is paid only if on an observation date the closing level of each underlier is at or above its coupon barrier level (75% of its initial level); otherwise only the lower coupon is paid. Starting July 29, 2027, the notes are automatically redeemed if each underlier is at or above its call threshold level (90% of its initial level), returning principal plus the higher coupon for that period. If not redeemed early, investors receive principal at maturity plus the applicable final coupon. The payoff is based on the worst-performing underlier, and investors do not participate in any equity upside. All payments are subject to Morgan Stanley’s credit risk, and the estimated value on the pricing date is approximately $938.30 per note, below the $1,000 issue price.
Morgan Stanley Finance LLC is offering Series A Global Medium-Term Contingent Income Auto-Callable Notes due July 31, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount and issue price of $1,000 and is linked on a “worst performing” basis to Alphabet Class C, Oracle, Meta Platforms Class A and Broadcom common stock.
The notes pay a contingent coupon at 11.25% per annum, only if on an observation date the closing level of each underlier is at or above its coupon barrier level, set at 75% of its initial level. Starting with the first redemption determination date on July 29, 2027, the notes are automatically redeemed if the closing level of each underlier is at or above its call threshold level, 90% of its initial level, for repayment of principal plus the applicable coupon.
If not called, investors receive the $1,000 principal at maturity, plus the final contingent coupon if the barrier condition is met, regardless of underlier declines. The indicative estimated value on the pricing date is approximately $935.70 per note, below the issue price, reflecting structuring and hedging costs. Investors face issuer and guarantor credit risk, the possibility of receiving no coupons over the life of the notes, limited secondary liquidity, and potential U.S. tax treatment as variable rate or contingent payment debt instruments.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering structured Contingent Income Auto-Callable Notes due July 31, 2031, each with a $1,000 stated principal amount. The notes pay a 10.35% per annum contingent coupon, credited on monthly coupon payment dates only if, on the related observation date, the Class C stock of Alphabet, common stock of Bank of America and NVIDIA, and ADSs of Taiwan Semiconductor are all at or above their respective coupon barrier levels, set at 80% of each initial level.
The notes may be automatically redeemed on monthly early redemption dates starting on July 29, 2027 if, on the relevant redemption determination date, each underlier is at or above its call threshold level, equal to 100% of its initial level$1,000 principal plus a final contingent coupon if every underlier is at or above its coupon barrier level on the final observation date.
The notes are unsecured obligations of MSFL and expose holders to the credit risk of Morgan Stanley and MSFL, lack of market liquidity, and the possibility of receiving few or no coupons. The estimated value on the pricing date is approximately $942.40 per note, reflecting issuing, selling, structuring and hedging costs borne by investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes linked to the class A common stock of Meta Platforms, Inc. The notes have a stated principal amount and issue price of $1,000 per security and pay a contingent coupon at an annual rate of 12.20% only when Meta’s closing price on an observation date is at or above a coupon barrier set at 60% of the initial level.
The notes are subject to automatic early redemption on specified dates if Meta’s closing price is at or above a call threshold equal to 100% of the initial level, in which case investors receive principal plus the applicable coupon and any unpaid coupons, and the notes terminate. If held to maturity and not previously redeemed, investors receive principal back only if the final level is at or above a downside threshold set at 60% of the initial level; otherwise they lose 1% of principal for each 1% decline in Meta’s price, with potential total loss.
The estimated value on the pricing date is approximately $979.10 per security, below the $1,000 issue price due to issuance, structuring and hedging costs borne by investors. The notes carry Morgan Stanley credit risk, may have limited or no secondary market liquidity, and have complex and uncertain U.S. federal income tax treatment, including possible 30% withholding on coupons for certain non-U.S. holders.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $6,900,000 of Autocallable Trigger GEARS, unsecured debt securities linked to JPMorgan Chase & Co. common stock. Each Security has a $10 principal amount and a term of about three years, maturing on July 11, 2029.
The note can be automatically called after roughly one year if JPM’s closing price on July 14, 2027 is at or above the Autocall Barrier of $330.62, paying $11.65 per Security based on a 16.50% per annum Call Return. If not called and JPM finishes above the Initial Price, investors receive $10 plus 1.70× the positive share return. If JPM finishes at or below the Initial Price but at or above the Downside Threshold of $247.97 (75% of Initial Price), investors receive only their $10 principal.
If JPM’s Final Price is below the Downside Threshold, repayment is reduced one-for-one with the negative share return, up to a total loss of principal. The Securities pay no interest or dividends, are subject to Morgan Stanley’s credit risk, may have limited liquidity, and their estimated value on the trade date is $9.904 per $10 issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $5,725,000 of Trigger Autocallable GEARS linked to the KOSPI 200 Index, in $10 denominations, maturing on July 11, 2031. The notes may be automatically called on the July 15, 2027 Observation Date if the index is at or above the Autocall Barrier of 1,169.73, paying $13.00 per $10 note based on a 30.00% per annum Call Return, with no further upside.
If not called and the index finishes above the Initial Level of 1,169.73, investors receive principal plus leveraged upside at 3.50x the positive index return. If the Final Level is at or below the Initial Level but at or above the Downside Threshold of 760.32 (65% of Initial), principal is repaid. If the Final Level is below the Downside Threshold, repayment is reduced one-for-one with the negative index return, down to a total loss. The notes pay no interest or dividends, have an estimated value of $9.548 per $10 at pricing, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Contingent Income Auto-Callable Securities due January 13, 2028 linked to the worst performing of AMD, Bloom Energy and Palantir class A shares, with principal at risk. The aggregate principal amount is $500,000, at $1,000 per security, maturing in about 1.5 years with a 1-year initial non-call period.
The notes pay a contingent semi-annual coupon at 55.20% per annum (about $276 per period per security) only if on each observation date all three stocks are at or above 40% of their initial share prices, with missed coupons potentially paid later if conditions are again met. Early redemption can occur semi-annually starting July 2027 if all three stocks are at or above their initial prices, paying principal plus the due and previously unpaid coupons. If held to maturity and any stock finishes below its downside threshold, repayment is reduced 1-to-1 with the decline of the worst-performing stock, to less than 60% of principal and possibly zero; there is no participation in stock price appreciation. The estimated value on the pricing date is $942.00 per security versus the $1,000 issue price, reflecting issuance, structuring and hedging costs.