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, fully guaranteed by Morgan Stanley, is offering Step Down Trigger Autocallable Notes linked to the least performing of the Russell 2000®, S&P 500® and EURO STOXX 50® indexes. Each note has a $10 issue price, an estimated initial value of about $9.887 and a term of roughly five years, with automatic call checks starting in February 2027.
If on an observation date all three indexes are at or above their initial levels (or at or above 90% of those levels on the final date), the notes are automatically called and pay back principal plus a call return based on at least 15.10% per annum, up to at least 75.50% if called at maturity. If the notes are never called and any index finishes below its 90% downside threshold, repayment is reduced 1-for-1 with the loss of the worst index, down to a total loss of principal.
The notes pay no interest or dividends, do not participate in index gains beyond the fixed call returns, are unsecured obligations of MSFL and expose holders to both full market downside of the worst index and Morgan Stanley credit risk. Secondary market liquidity may be limited and sale before maturity can result in significant loss.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Callable Contingent Income Securities maturing on August 3, 2028. Each note has a stated principal amount of $1,000 and is linked to the worst performer of the Dow Jones Industrial Average, Russell 2000 Index and Nasdaq-100 Index.
Investors can receive a 9.50% per annum contingent coupon, paid only if on each observation date all three indices are at or above their coupon barrier, set at 75% of their initial levels. If any index is below its barrier on an observation date, no coupon is paid for that period.
Starting on August 3, 2027, the notes are callable in whole at par plus any due coupon if a risk-neutral valuation model indicates early redemption is economically rational for the issuer. If not called, and on the final observation date each index is at or above its downside threshold (70% of its initial level), investors receive full principal back plus any final coupon. If any index finishes below its downside threshold, repayment is reduced one-for-one with the decline of the worst-performing index and can fall to zero. The estimated value on the pricing date is approximately $984.90 per security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Contingent Income Memory Auto-Callable Securities due February 1, 2029 linked to the worst performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index.
The notes pay a contingent coupon at 10.00% per year, but only if on each observation date all three indices are at or above 80% of their initial levels; missed coupons can be paid later if the barrier is met. The notes are automatically redeemed at par plus any applicable coupons if, on specified quarterly redemption determination dates starting April 29, 2026, each index is at or above 100% of its initial level.
If not called and at maturity any index is below 60% of its initial level, investors lose 1% of principal for each 1% decline of the worst index, potentially losing their entire investment. The indicative estimated value on the pricing date is approximately $989.40 per $1,000 note, reflecting embedded costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable market-linked securities with a $1,000 face amount per security, linked to an unequally weighted basket of five international equity indices and fully and unconditionally guaranteed by Morgan Stanley.
The notes mature on February 2, 2029 and may be automatically called on February 4, 2027 if the basket is at or above its starting level, paying at least $1,095.50 (a minimum 9.55% return). If held to maturity and not called, investors receive 125% of any positive basket return; if the basket is between the starting level and the 75% threshold, they receive only principal back. If the basket falls below the threshold, losses match the basket decline and investors can lose more than 25%, up to their entire investment.
The current estimated value is approximately $954.80–$959.10 per $1,000 security, reflecting issuer costs and an internal funding rate that is advantageous to Morgan Stanley. The securities pay no interest or dividends, are not listed, involve Morgan Stanley credit risk and carry selling commissions of up to $25.75 per security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $10,000,000 of structured Variable Income Auto-Callable Notes due January 24, 2031. The notes are linked to the worst performer among Alphabet (GOOGL), Broadcom (AVGO), UnitedHealth Group (UNH) and NVIDIA (NVDA).
Investors receive monthly variable coupons: a higher coupon at an annual rate of 10.75% if on an observation date the closing level of each stock is at or above its coupon barrier (80% of its initial level), or a lower coupon at 0.25% annually if any stock is below its barrier. Starting January 2027, the notes are auto-callable monthly if all stocks are at or above 95% of their initial levels, paying principal plus the higher coupon and then terminating.
If not redeemed early, investors receive the $1,000 principal per note at maturity plus the final variable coupon. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, have an issue price of $1,000 with an estimated value of $950.90, and are not listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Jump Securities with an auto-callable feature linked to the worst-performing of Lam Research, Broadcom and Carnival common stocks, in an aggregate principal amount of $1,246,000 at $1,000 per security.
The notes pay no interest and do not guarantee repayment of principal. If on any determination date all three stocks close at or above their call threshold levels (80% of initial levels), the notes are automatically redeemed for a cash amount that implies a return of about 32% per year, starting at $1,320 on the first determination date and rising to $1,933.333 by the 24th. If still outstanding and a redemption event has occurred for each stock by the final determination date, investors receive $1,960 at maturity.
If no full redemption event occurs but each final stock level is at or above its downside threshold (60% of initial), investors receive only the $1,000 principal. If any stock finishes below its downside threshold without having met its redemption condition, the payoff is $1,000 multiplied by the performance of the worst stock, and the amount can fall to zero. The estimated value on the pricing date is $984.20 per security, all payments are subject to Morgan Stanley’s credit risk, and the notes are not listed, so secondary liquidity may be limited.
Morgan Stanley Finance LLC is issuing $500,000 of contingent income “principal at risk” securities, fully and unconditionally guaranteed by Morgan Stanley, linked to the worst performer of the Russell 2000 Index and the S&P 500 Index. Each $1,000 note offers a 9.00% per annum contingent coupon, paid only on observation dates when both indices are at or above 70% of their initial levels, with missed coupons potentially paid later if the barrier is met.
The notes auto-call on August 27, 2026 if, on August 24, 2026, both indices are at or above 100% of their initial levels, paying principal plus the applicable coupon. If not called, and on February 22, 2027 both indices are at or above 70% of initial, investors receive full principal back plus any due coupon; otherwise repayment is reduced 1% for each 1% decline in the worst index, down to zero. The notes are unsecured, not listed, have an estimated value of $984.30 per $1,000, and involve complex tax and liquidity risks.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,000-denomination callable contingent income memory securities linked to Robinhood Markets, Inc. Class A common stock, with an aggregate principal amount of $500,000.
The notes pay a 25.75% annual contingent coupon only when Robinhood’s closing price is at or above the $63.552 coupon barrier on observation dates; missed coupons can be paid later if the barrier is met. The issuer may redeem the notes on scheduled redemption dates if a risk neutral valuation model shows early redemption is economically rational. If not called and the final stock level is at or above the $63.552 downside threshold, investors receive principal back; if below, repayment is reduced 1% for each 1% decline in the stock, potentially to zero. The estimated value on the pricing date is $981.40 per $1,000 note, reflecting issuance, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,000,000 of Buffered PLUS notes maturing on January 28, 2027, linked to the worst performer among the EURO STOXX 50 Index, iShares MSCI EAFE ETF, iShares MSCI Emerging Markets ETF and Nikkei Stock Average.
Each $1,000 note pays no interest and can return enhanced upside at maturity: if the worst performing underlier finishes above its initial level, investors receive principal plus a leveraged gain of 231% of that underlier’s appreciation.
If the worst performer is at or below its initial level but at or above 80% of its initial level, investors receive only their $1,000 principal. If the worst performer falls below 80% of its initial level, principal is reduced 1% for each 1% decline beyond this 20% buffer, with a minimum payment of 20% of principal; for example, a 95% drop would pay $250.
The notes are unsecured and subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and had an estimated value of $990 per note on the pricing date, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC is issuing $5,000,000 of structured “Jump Notes” due June 7, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 note pays no interest and is linked to the worst performer between the State Street® Energy Select Sector SPDR® ETF and the S&P 500® Index.
At maturity, if the final level of both underliers is at or above their initial levels (XLE $47.60 and S&P 500® 6,796.86), investors receive $1,000 plus a fixed upside payment of $103.50 per note, a 10.35% return. If either underlier finishes below its initial level, investors receive only the $1,000 principal. The notes are unsecured, not listed on an exchange, and carry issuer credit risk, with an estimated value on the pricing date of $988.50 per note.