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 $2,980,000 of Callable Buffered Jump Securities due January 31, 2031, linked to the S&P 500® Futures Excess Return Index and guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays no interest.
Starting February 9, 2027, the notes are callable in whole at fixed redemption amounts designed to reflect about 18.50% per annum, if a risk‑neutral valuation model shows early redemption is economically rational for the issuer. If not called and the index rises, investors get principal plus 200% of the index gain; if it falls but stays above the 15% buffer, they receive only principal; below the buffer, losses match the index decline beyond 15%, subject to a 15% minimum payment of principal.
The securities are unsecured, not listed, and subject to Morgan Stanley’s credit risk. The issue price is $1,000 per security, including $42.50 in selling commissions, while the estimated value on the pricing date is $945.90 per security.
Morgan Stanley Finance LLC is offering $280,000 of structured Buffered Jump Securities with an auto-call feature, linked to the worst performer of the VanEck Gold Miners ETF (GDX) and State Street SPDR S&P Metals & Mining ETF (XME). Each note has a $1,000 stated principal amount and is fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest and may be automatically redeemed on scheduled determination dates if both ETFs close at or above their call thresholds, delivering step‑up early redemption payments that equate to about a 14.60% per annum return. If not called, maturity outcomes range from a fixed payout of $1,425.833 per note if both final ETF levels are at or above their call thresholds, to full principal return if both remain above 80% of initial levels, down to losses on a 1‑for‑1 basis beyond a 20% buffer, subject to a minimum payment of 20% of principal.
Pricing embeds issuance and hedging costs: the estimated value on the pricing date is $936.00 per $1,000 note. Investors face principal risk tied to the worst performing ETF, sector concentration in gold/mining and metals/mining industries, limited liquidity, and Morgan Stanley/MSFL credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $10,000,000 of Contingent Income Buffered Auto-Callable Securities due August 2, 2028, linked to the worst performer of the Nasdaq-100 Index® and Russell 2000® Index.
Investors receive a 5.50% annual contingent coupon only when both indices close at or above their coupon barrier levels on observation dates. The notes may be automatically called from July 28, 2026 onward if both indices are at or above 95% of their initial levels, returning principal plus the applicable coupon.
If the notes are not redeemed early and either index finishes below its 80% buffer level at maturity, principal is reduced 1% for each 1% decline of the worst index beyond the 20% buffer, subject to a minimum payment of 20% of principal. The issue price is $1,000 per note, with an estimated value of $966 after structuring and hedging costs.
Morgan Stanley Finance LLC is issuing variable income auto-callable notes with an aggregate principal amount of $1,906,000, fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000 and matures on January 31, 2031, unless redeemed earlier.
The notes pay a variable monthly coupon: a lower rate of 0.25% per annum or a higher rate of 9.00% per annum. The higher coupon is paid only if, on each observation date, the closing level of all four underliers—Meta (META), Broadcom (AVGO), Alphabet (GOOG) and NVIDIA (NVDA)—is at or above their respective coupon barrier levels, set at 80% of their initial levels. If any underlier is below its barrier, only the lower coupon is paid.
Starting on the first redemption determination date in January 2027, the notes are automatically redeemed if each underlier closes at or above its call threshold level, equal to 100% of its initial level, paying principal plus the higher coupon. If not called, investors receive principal at maturity plus the applicable final coupon. The notes do not participate in stock price appreciation, are linked to the worst-performing underlier, and all payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $947.70 per note, below the $1,000 issue price, reflecting issuance, selling, structuring and hedging costs.
Morgan Stanley Finance LLC is offering $1,115,000 of Variable Income Auto-Callable Notes due January 31, 2031, linked to the worst performer among Broadcom, AppLovin, Tesla, Palantir and Oracle common stocks, and fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a variable monthly coupon: a higher coupon of 10.50% per annum is paid only if each stock closes at or above its coupon barrier on the observation date; otherwise investors receive only a 0.25% per annum lower coupon for that period. The notes may be automatically redeemed starting January 2027 if all stocks are at or above their call thresholds, returning principal plus the higher coupon.
If the notes are not called, investors receive the $1,000 principal per note at maturity, plus the final applicable coupon. The notes’ estimated value on the pricing date is $940.60 per note, reflecting embedded costs and Morgan Stanley’s internal funding rate, and all payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $2,451,000 of variable income memory auto-callable notes due January 31, 2031 linked to the worst performer among five stocks: Palantir, Micron, AppLovin, Tesla and Oracle.
The notes pay monthly coupons at an annual rate of 0.25% or 8.00%. Investors get the higher 8.00% coupon, plus any unpaid conditional coupons at 7.75%, only when each stock closes at or above its coupon barrier level (80% of its initial level) on the observation date; otherwise only the 0.25% coupon is paid.
The notes auto-call from January 27, 2027 onward if every stock is at or above its call threshold (100% of initial), returning principal plus the higher coupon and any conditional coupons. If never called, principal is repaid at maturity along with the applicable coupon, subject to Morgan Stanley’s credit risk.
The structure is “worst-of,” so weak performance in any single stock can keep coupons low. The notes are unsecured, not listed on an exchange, and their estimated value on the pricing date is $939.90 per $1,000 note, reflecting issuance, structuring and hedging costs and an internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $730,000 of Buffered Jump Securities with an auto-call feature maturing January 3, 2029, linked to the worst performer of the VanEck Gold Miners ETF (GDX) and iShares Silver Trust (SLV).
The $1,000-per-security notes pay no interest and may be automatically redeemed quarterly from July 28, 2026 if both ETFs are at or above their call thresholds, for increasing fixed cash payments targeting about 16% per annum.
If not called, holders receive $1,466.667 per security at maturity if both final levels meet call thresholds, principal only if both stay above 70% buffers, and lose 1% of principal for each 1% decline in the worst ETF below its buffer, with a 30% minimum payment. The estimated value on the pricing date is $906 per security, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes linked to the worst performer of the Nasdaq-100® Technology Sector, the Russell 2000® Index and the S&P 500® Index. The notes pay a 12.00% per annum contingent coupon only when each index is at or above 75% of its initial level on scheduled observation dates.
The securities are callable in whole from May 7, 2026 if a risk neutral valuation model indicates early redemption is economically rational for Morgan Stanley. If not called, and at maturity all indices are at or above 70% of initial, investors receive principal back; otherwise the payoff is reduced 1% for each 1% decline of the worst index and can fall to zero. The estimated value on the pricing date is approximately $980.70 per $1,000 note, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering dual directional buffered participation securities linked to the Russell 2000® Index, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest and matures on February 29, 2028.
At maturity, investors get up to $1,211 per security (121.10% of principal) if the index rises strongly, with 100% upside participation up to this cap. If the index is down but not below 80% of its initial level, investors earn a positive return matching the index’s absolute decline, capped at 20%.
If the index finishes below 80% of its initial level, principal is reduced 1% for each 1% drop beyond the 20% buffer, down to a minimum payment of 20% of principal. The estimated value on the pricing date is approximately $983 per security. These unsecured notes carry Morgan Stanley credit risk, are not listed on any exchange, and involve small‑cap equity, liquidity and tax-uncertainty risks.
Morgan Stanley Finance LLC is offering principal-at-risk “Jump Securities” due February 8, 2029, linked to the worst performer of the iShares U.S. Aerospace & Defense ETF (ITA) and the State Street Consumer Staples Select Sector SPDR ETF (XLP), fully and unconditionally guaranteed by Morgan Stanley.
Each note has a $1,000 stated principal amount and may be automatically called starting February 5, 2027 if both ETFs close at or above 100% of their initial levels, paying $1,136 or $1,272 per note on the first or second call dates, respectively, corresponding to about 13.60% per year.
If not called, and both final ETF levels are at or above 100% of initial, investors receive $1,408 at maturity. If either ETF finishes below its 70% downside threshold, investors lose 1% of principal for each 1% decline in the worst-performing ETF, up to total loss. The estimated value on the pricing date is approximately $978.90 per note, and all payments depend on Morgan Stanley’s credit.