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 Principal at Risk PLUS securities due March 31, 2031. Each security has a stated principal amount of $1,000 and a leverage factor of 121.50%; payment at maturity is determined by the worst performing of the Russell 1000® and S&P 500® indices. If both underliers finish above their strike levels, holders receive principal plus 121.50% of the appreciation of the worst performing underlier. If either underlier finishes at or below its initial level, repayment equals the stated principal amount multiplied by the performance factor of the worst performing underlier, and there is no minimum payment (investors could lose their entire principal). All payments are subject to the credit risk of Morgan Stanley and guaranteed by Morgan Stanley; MSFL is a finance subsidiary with no independent assets.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk buffered participation securities linked to the Roundhill Magnificent Seven ETF. The securities have a $1,000 stated principal amount per security, are fully and unconditionally guaranteed by Morgan Stanley and pay no interest.
Key terms: participation rate 100%, a 10% buffer (buffer level = 90% of the initial level), a maximum payment at maturity of $1,780 per security (178% of stated principal), an observation date of March 27, 2029 and maturity on April 2, 2029. The estimated value on the pricing date is approximately $943.10 per security. Payments at maturity depend solely on the closing level of the underlier on the observation date and are subject to issuer credit risk.
Morgan Stanley Finance LLC offers Principal-at-Risk auto-callable securities totaling $300,000 aggregate principal ($1,000 stated principal per security), fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at an annual rate of 17.45% on observation dates when the closing level of NVIDIA common stock is at or above the coupon barrier of $127.855 (70% of the initial level). The securities can be automatically redeemed on specified redemption determination dates if NVIDIA’s closing level is at or above the call threshold of $182.65 (100% of the initial level). If not redeemed, maturity payment depends on the final level relative to the downside threshold of $127.855: if below that threshold investors lose 1% of principal for each 1% decline in the underlier and could lose their entire principal. All payments are subject to issuer and guarantor credit risk; the estimated value on the pricing date was $969.10 per security.
Morgan Stanley Finance LLC priced Structured Investments — Buffered Jump Securities — with an aggregate principal amount of $3,208,000, fully and unconditionally guaranteed by Morgan Stanley. The securities were issued at $1,000 per security (estimated value on the pricing date: $907.90) with a stated principal amount of $1,000 and a maturity date of March 13, 2031.
The notes carry an automatic early redemption feature beginning with the first determination date on March 10, 2027, and fixed early redemption payments that correspond to roughly 12.40% per annum on successively higher scheduled determination dates. The underlier is the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index (initial level on the strike date: 1,147.47), with a call threshold equal to 90% of the initial level (1,032.723) and a buffer set at approximately 85% of the initial level (975.350).
At maturity, if the final level is at or above the call threshold investors receive $1,620.00 per security; if between the call threshold and buffer they receive the stated principal amount; if below the buffer they absorb losses beyond the 15% buffer, subject to a minimum payment of 15% of principal. All payments are subject to Morgan Stanley's credit risk; selling commissions of $42.50 per security were paid, with proceeds to issuer of $957.50 per security.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes totaling $6,734,000 issued at $1,000 per security. The notes are linked to the worst performing of the Russell 1000® Value Index and the Russell 2000® Index, have an automatic early redemption test on February 3, 2027 and mature on February 2, 2029.
Key economics: the participation rate is 150%, the early redemption payment is $1,170, the initial levels (strike date) were 2,163.133 (RLV) and 2,613.743 (RTY), and downside thresholds are ~80% of initial levels. Estimated value at pricing was $976.30 per security. All payments are subject to Morgan Stanley’s credit risk; principal can be partially or wholly lost if the worst performing underlier falls below its downside threshold.
Morgan Stanley Finance LLC is offering principal‑at‑risk, auto‑callable structured notes due March 31, 2031, fully 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. If not auto‑redeemed, maturity payouts depend on the final levels of the Dow Jones Industrial Average and the S&P 500® Index. Investors face full principal risk if the worst performing underlier falls below its downside threshold (90% of initial level). The pricing date and strike date are March 26, 2026; estimated value on pricing date is approximately $945.70 per security. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes fully guaranteed by Morgan Stanley linked to the common stock of NVIDIA Corporation. The notes have a $1,000 stated principal amount, an observation date of April 13, 2027 and mature on April 16, 2027.
If the final level is at or above a downside threshold set at 60% of the initial level, holders receive the stated principal plus a fixed upside payment of $154.50 (15.45%). If the final level is below that threshold, investors lose 1% of principal for each 1% decline in the underlier; there is no minimum payment and principal could be lost in full. The estimated value at pricing was approximately $978.30 per security and the issue price is $1,000 per security, with an agent commission of $10 and a structuring fee of $1.
Morgan Stanley Finance LLC priced a preliminary offering of contingent income, memory auto-callable principal-at-risk notes linked to the Class A common stock of Vertiv Holdings Co. Each note has a $1,000 stated principal, issue price $1,000, estimated value ~$972.30, a 16.00% contingent coupon, a maturity date of March 15, 2029 and a final observation date of March 12, 2029. The initial level and call threshold equal $270.06, the coupon barrier is $135.03 (50% of initial), and the downside threshold is $108.024 (40% of initial). Payments depend on observation-date closing levels; investors can lose principal if the final level is below the downside threshold.
Morgan Stanley Finance LLC priced a preliminary offering of principal-at-risk, auto-callable notes due February 23, 2029, fully guaranteed by Morgan Stanley. The securities are issued at a $1,000 stated principal amount per security and pay a contingent coupon at an annual rate of 8.00% subject to observation-date tests.
The notes reference the worst performing of the State Street® SPDR® S&P® Metals & Mining ETF (XME) and the VanEck® Gold Miners ETF (GDX). Key terms: coupon barrier = 65% of initial level, call threshold = 90%, buffer level = 85%, buffer amount = 15%, minimum payment at maturity = 15%. Automatic early redemption may occur on scheduled redemption dates if both underliers meet the call threshold; payment at maturity exposes investors to losses if the worst performing underlier falls below its buffer.
Morgan Stanley Finance LLC offers Principal at Risk Buffered Participation Securities linked to the MSCI Emerging Markets Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000, a 100% participation rate, a 10% buffer, a maximum payment at maturity of $1,652.50 (165.25% of principal), a minimum payment of 10% of principal, an issue date of March 18, 2026, an observation date of March 13, 2028, and a maturity date of March 16, 2028. The estimated value on the pricing date is approximately $986.80 per security. Holders face issuer credit risk, no periodic interest, capped upside and potential for substantial principal loss if the final level is below the buffer.