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 $175,000 of Jump Securities with an auto-callable feature linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 principal amount, is fully and unconditionally guaranteed by Morgan Stanley, and exposes investors to the issuer’s credit risk.
The notes may be automatically redeemed on January 19, 2027 for $1,310 per security if the index on January 13, 2027 is at or above the initial level of 3,151.90. If not called, at maturity on January 14, 2031 investors receive the $1,000 principal plus a 350% participation in index gains if the final level exceeds the initial level, only $1,000 if the index is between 50% and 100% of the initial level, and a proportional loss of principal if the index closes below the 50% downside threshold of 1,575.95.
The securities pay no interest, are not principal protected, and will not be listed on any exchange. The estimated value on the pricing date is $977.90 per security, reflecting issuing, structuring and hedging costs and the issuer’s internal funding rate. Sales are through fee-based advisory accounts, and Morgan Stanley & Co. may make but is not obligated to make a secondary market.
Morgan Stanley Finance LLC is issuing Trigger PLUS structured notes linked to the worst performer of the iShares Silver Trust (SLV) and SPDR Gold Trust (GLD), fully guaranteed by Morgan Stanley. The notes have a stated principal of $1,000 per security and an aggregate principal amount of $949,000, pay no interest, and do not guarantee any return of principal.
At maturity on January 12, 2029, investors receive principal plus a leveraged upside payment if each underlier finishes above its initial level, using a 232% leverage factor on the worst performer. If either underlier is at or below its initial level but both stay at or above 80% of their initial levels, only principal is returned. If either falls below its 80% downside threshold, repayment is reduced 1% for every 1% decline in the worst performer, and the amount can go to zero. The estimated value on the pricing date is $922.40 per security, below the $1,000 issue price, and the notes are subject to Morgan Stanley’s credit risk, limited liquidity and significant commodity- and LBMA-related risks.
Morgan Stanley Finance LLC is issuing $2,880,000 of Jump Securities with an auto-callable feature, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, issue price of $1,000 and an estimated value on the pricing date of $982.20, with net proceeds of $992.50 per security before expenses.
The notes are linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index. They may be automatically redeemed on scheduled determination dates starting January 13, 2027 if each index is at or above its call threshold (100% of its initial level), paying fixed amounts that correspond to about 14.80% per annum, up to $1,592 per security before maturity.
If not called and on the final determination date in 2031 all three indices are at or above their call thresholds, investors receive $1,740 per security. If any index finishes below its downside threshold of 70% of its initial level, repayment is reduced 1% for each 1% decline in the worst-performing index, and the maturity payment can fall to zero. The securities pay no interest, are not principal protected, will not be listed on an exchange and are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $1,565,000 of Jump Securities with an auto-call feature linked to the worst-performing of Amazon, Microsoft and Tesla common stock. Each note has a $1,000 denomination, no interest payments and no principal protection, and all payments depend on Morgan Stanley’s credit.
The notes can be automatically redeemed quarterly from January 2027 if all three stocks close at or above their respective call thresholds, paying an increasing early redemption amount that targets about 28.80% per annum, up to $1,840 per note before maturity. If held to January 2029 without prior redemption, investors receive $1,864 per note if each stock has had a redemption event, only $1,000 back if all stay above their downside thresholds, and a loss of 1% of principal for every 1% decline in the worst-performing stock below its downside threshold, potentially losing the entire investment. The estimated value on the pricing date is $975.70 per note, reflecting issuer costs and internal funding assumptions.
Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, is offering principal-at-risk Trigger Autocallable Notes linked to the State Street® Energy Select Sector SPDR® ETF. Each Security has a $10 issue price, a term of about three years and pays no interest or dividends.
Beginning January 25, 2027, on quarterly Observation Dates, if the ETF’s closing price is at or above the Initial Price, the notes are automatically called and pay $10 plus a fixed Call Return based on an annual Call Return Rate of 11.10% to 12.10% per annum, reaching about 33.30% to 36.30% by the final Observation Date. Investors do not participate in any further appreciation of the ETF.
If the notes are not called and the Final Price is below the Initial Price but at or above the Downside Threshold of 65% of the Initial Price, investors receive only the $10 principal. If the Final Price is below the Downside Threshold, repayment is $10 × (1 + Underlying Return), exposing investors to the ETF’s full decline and potentially a total loss. The estimated value on the Trade Date is approximately $9.683 per Security, reflecting embedded costs and Morgan Stanley’s internal funding rate. The notes are unsecured, subject to Morgan Stanley’s credit risk and are not listed, so secondary liquidity may be limited.
Morgan Stanley Finance LLC is offering $1,900,000 of callable contingent income securities due January 12, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 note pays a 10.90% annual contingent coupon, but only if on each observation date the closing level of all four underliers—the Utilities Select Sector SPDR ETF, iShares 20+ Year Treasury Bond ETF, Nasdaq-100 Technology Sector Index and Russell 2000 Index—is at or above its coupon barrier of 70% of the initial level.
If the notes are not previously redeemed and, at maturity, every underlier is at or above its downside threshold of 60% of its initial level, investors receive the $1,000 principal plus any final coupon. If any underlier finishes below its downside threshold, repayment is reduced in full proportion to the worst performer and can fall to zero, meaning a total loss of principal. The issuer may call the notes on scheduled redemption dates based on a risk-neutral valuation model, and the estimated value at pricing is $956 per note, below the $1,000 issue price, reflecting structuring and hedging costs and an internal funding rate. The securities are unsecured, not listed on any exchange and carry both issuer credit risk and significant market, sector, interest rate, small-cap and tax risks.
Morgan Stanley Finance LLC is offering structured "Buffered Participation Securities" linked to the worst performer of the Russell 2000 Index and the S&P MidCap 400 Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and matures on July 21, 2027.
At maturity, if both indexes finish above their initial levels, investors receive principal plus 100% of the gain of the worst performing index. If the worst index is at or below its initial level but at or above 85% of its initial level, investors receive only principal. If the worst index closes below 85% of its initial level, investors lose 1% of principal for each 1% decline beyond the 15% buffer, with a minimum payment of 15% of principal.
The securities are unsecured and subject to Morgan Stanley’s credit risk, will not be listed on an exchange and may have limited liquidity. The estimated value on the pricing date is approximately $989.50 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and an internal funding rate. The product also carries market, small- and mid-cap equity, tax and conflict-of-interest risks highlighted in the risk disclosures.
Morgan Stanley Finance LLC is offering $9,211,000 of Digital S&P 500® Index-Linked Notes due March 9, 2027, fully and unconditionally guaranteed by Morgan Stanley. These unsecured notes pay no interest and return at maturity depends entirely on the S&P 500® Index level on the March 5, 2027 determination date.
For each $1,000 note, if the index is at or above 90% of its initial level of 6,921.46, investors receive a fixed maximum settlement amount of $1,087.40, or 108.74% of face value. If the index has fallen by more than 10%, repayment drops in line with the decline (using a buffer rate of approximately 111.11%), and investors can lose some or all of their principal. The estimated value on the trade date is $983.20 per note, reflecting issuance, structuring and hedging costs borne by investors, and the notes will not be listed on any securities exchange.
Morgan Stanley Finance LLC is offering market-linked notes due April 21, 2027, fully and unconditionally guaranteed by Morgan Stanley, tied to the S&P 500® Futures Excess Return Index. Each note has a $1,000 stated principal amount, pays no interest, and is issued at $1,000 with an estimated value on the pricing date of approximately $986.90. At maturity, if the index level on the observation date is above its initial level, holders receive $1,000 plus 100% of the index gain, capped at a maximum payment of $1,075 per note. If the final index level is equal to or below the initial level, investors receive only the $1,000 principal.
The notes are unsecured obligations of MSFL, subject to the credit risk of MSFL and Morgan Stanley, will not be listed on any exchange and may have limited secondary liquidity. Investors forgo dividends, current income and any equity upside above the 7.5% cap in exchange for principal repayment at maturity and potential capped appreciation based on S&P 500 futures performance.
Morgan Stanley Finance LLC is offering principal-at-risk Callable Contingent Income Memory Securities due January 18, 2029, linked to the Class A common stock of Robinhood Markets, Inc. These notes can pay a contingent coupon at an annual rate of 18.30%, but only if the stock closes at or above a barrier set at 50% of the initial level on each observation date. Missed coupons may be "remembered" and paid later if the barrier is met.
Beginning July 16, 2026, the issuer may redeem the notes early on specified dates if a risk‑neutral valuation model indicates it is economically rational for Morgan Stanley, not based directly on stock performance. At maturity, if not redeemed and Robinhood’s stock is at or above the downside threshold (also 50% of the initial level), investors receive full principal plus any due coupons. If the final level is below the threshold, repayment is reduced 1% for each 1% decline in the stock, down to possible total loss. All payments depend on Morgan Stanley’s credit, and the notes will not be listed on an exchange.