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 Callable Contingent Income Securities due June 24, 2027, linked to the worst performer of the Utilities Select Sector SPDR Fund, the Nasdaq‑100 Index and the Russell 2000 Index, and fully and unconditionally guaranteed by Morgan Stanley.
The notes have a stated principal amount of $1,000 and offer a contingent coupon at an annual rate of 10.55%, paid only if on each observation date all three underliers are at or above their respective coupon barrier levels, set at 70% of their initial levels. Beginning June 25, 2026, the notes are callable in whole on specified redemption dates if a risk‑neutral valuation model indicates it is economically rational for the issuer to redeem, in which case investors receive $1,000 plus any due coupon and no further payments.
If not redeemed early and, at maturity, each underlier is at or above its downside threshold (also 70% of its initial level), investors receive their $1,000 principal plus any final coupon; if any underlier is below its threshold, repayment is reduced 1% for each 1% decline of the worst performer, potentially to zero. The estimated value on the pricing date is approximately $983.10 per $1,000 note, the securities will not be listed on any exchange, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering callable contingent income securities linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index. Each note has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $986.50 per security, reflecting embedded issuance, structuring and hedging costs.
The notes pay a 10.60% per annum contingent coupon only when all three indices close at or above their coupon barrier levels (70% of initial levels) on the relevant observation dates. Beginning April 7, 2026, the issuer may redeem the notes early, in whole but not in part, if a risk neutral valuation model shows redemption is economically rational for Morgan Stanley. At maturity on July 7, 2028, if not previously redeemed, investors receive principal back only if each index finishes at or above its downside threshold level; otherwise the payoff is reduced 1% for each 1% decline in the worst-performing index and can be zero. All payments are subject to Morgan Stanley’s credit risk, the notes are not listed, and secondary market prices may be significantly below the $1,000 issue price.
Morgan Stanley is offering $6,906,000 of fixed rate notes due December 18, 2030, with a stated principal amount and issue price of $1,000 per note and a fixed interest rate of 4.000% per year, paid semi-annually each June 18 and December 18.
Interest starts accruing on December 18, 2025, and at maturity investors receive $1,000 per note plus any accrued and unpaid interest, subject to Morgan Stanley’s credit risk. The notes are unsecured, will not be listed on any securities exchange, and may have limited or no secondary market liquidity.
The estimated value on the pricing date is $985.00 per note, below the issue price, reflecting issuing, selling, structuring and hedging costs and the use of an internal funding rate. Dealers generally receive a $7.50 sales commission per note, except for sales into fee-based advisory accounts.
Morgan Stanley is issuing fixed rate senior notes due December 18, 2031 with an aggregate principal amount of $4,000,000. Each note has a stated principal amount and issue price of $1,000, pays a fixed annual interest rate of 4.150%, and makes semi-annual interest payments on June 18 and December 18, beginning June 18, 2026. Interest uses a 30/360 day-count convention and all payments depend on Morgan Stanley’s credit.
The notes are unsecured, not insured by any government agency, and will not be listed on any securities exchange, so secondary market liquidity may be limited. Morgan Stanley estimates the value of each note on the pricing date at $983.50, below the issue price because it includes issuing, selling, structuring and hedging costs and uses an internal funding rate. Selected dealers receive a $10 sales commission per note, except for fee-based advisory accounts where investors pay $990 per note and no sales commission is paid.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Enhanced Trigger Jump Securities maturing on December 24, 2030. These $1,000-denomination notes pay no interest and their payoff depends on the worst performing of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index.
If, on the observation date, each index is at or above 70% of its initial level, investors receive their principal plus the greater of the index gain on the worst performer or a fixed $380 upside payment per security, equal to a 38% return. If any index finishes below its downside threshold, repayment is reduced 1% for every 1% decline in the worst performer, and the maturity payment can be as low as zero.
The securities are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange and may have limited liquidity. The preliminary estimated value on the pricing date is approximately $957.60 per security, reflecting structuring and hedging costs embedded in the $1,000 issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes linked to the S&P 500® Index that mature on January 22, 2027. Each security has a stated principal amount of $1,000, pays no interest and is issued at $1,000, with an estimated value on the pricing date of approximately $990.20 per security.
At maturity, if the S&P 500 final level is above the initial level of 6,800.26, investors receive the principal plus 100% of the index gain, capped at a maximum payment of $1,097 per security (109.70% of principal. If the index is between the initial level and the buffer level of 5,440.208 (80% of the initial level), investors receive only their principal. Below the buffer, principal is reduced 1% for each 1% further decline, but not below 20% of principal.
The securities are unsecured obligations subject to the credit risk of MSFL and Morgan Stanley, will not be listed on any exchange, may have limited secondary liquidity and include embedded issuance, structuring and hedging costs that make the economic terms less favorable than ordinary debt.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities linked to the common stock of NVIDIA Corporation, fully and unconditionally guaranteed by Morgan Stanley. These notes are principal-at-risk and are issued at $1,000 per security under the Series A Global Medium-Term Notes program.
Investors may receive a contingent coupon at an annual rate of 14.50%, paid on scheduled coupon payment dates only if, on the related observation date, NVIDIA’s closing level is at or above a coupon barrier set at 60% of the initial level. The notes are automatically redeemed on specified redemption determination dates if NVIDIA’s closing level is at or above 100% of the initial level, paying back the stated principal plus the applicable contingent coupon.
If the notes are not called and the final level is at or above the downside threshold, also 60% of the initial level, investors receive the full principal (plus any final coupon). If the final level is below that threshold, repayment is reduced 1% for every 1% decline in NVIDIA, and the maturity payment can be as low as zero. The estimated value on the pricing date is approximately $971.90 per security, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering callable contingent income buffered securities maturing on December 29, 2028, linked to the worst performer of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index. Each security has a stated principal amount and issue price of $1,000, with an estimated value on the pricing date of approximately $975.10 per security.
Investors may receive an annual 8.50% contingent coupon, payable only if on each observation date all three indices are at or above their coupon barrier levels (75% of initial levels). Beginning June 26, 2026, 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.
At maturity, if not redeemed and each index is at or above its 80% buffer level, investors receive full principal back plus any final coupon. If any index finishes below its buffer, repayment is reduced 1% for each 1% decline of the worst-performing index beyond the 20% buffer, subject to a minimum payment of 20% of principal. The notes are unsecured, subject to Morgan Stanley’s credit risk, not listed on any exchange, and may offer limited or no secondary-market liquidity.
Morgan Stanley Finance LLC is offering Jump Securities with an auto-call feature linked to the worst performer of the VanEck Semiconductor ETF (SMH) and the Consumer Staples Select Sector SPDR Fund (XLP), fully and unconditionally guaranteed by Morgan Stanley. These notes are principal-at-risk and pay no interest.
The securities can be automatically redeemed starting December 22, 2026 if on a determination date both ETFs are at or above their call thresholds (100% of initial levels). Early redemption payments step up over time, from $1,130 per $1,000 note on the first call date to $1,617.50 on the last.
If not called, maturity on December 24, 2030 pays $1,650 per note if both funds are at or above their call thresholds, only the $1,000 principal if both stay above 60% downside thresholds, and a 1:1 loss with the worst fund below its downside threshold, potentially to zero. The estimated value on the pricing date is approximately $913.30 per security, reflecting issuance, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is issuing principal-at-risk "Jump Securities" with an auto-callable feature linked to the worst performer of the Russell 2000® and EURO STOXX 50® indices, maturing on January 3, 2031. Each security has a stated principal amount and issue price of $1,000, with an estimated value on the pricing date of about $960.20, reflecting issuing, selling, structuring and hedging costs.
The notes pay no interest and may be automatically redeemed on scheduled determination dates if both indices are at or above their call thresholds, for early redemption payments that imply a return of about 10.75% per annum (for example, $1,026.875 on the first call date, rising to $1,510.625 on the 19th). If held to maturity and both indices stay at or above their call thresholds, investors receive $1,537.50 per security; if either index falls below its downside threshold of 75% of its initial level, repayment is reduced 1% for each 1% decline in the worst-performing index and can fall to zero.
All payments depend on the credit of MSFL and its guarantor Morgan Stanley, the securities are unsecured and not listed, and secondary market liquidity may be limited.