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 Enhanced Buffered Jump Securities maturing July 23, 2027, linked to the Roundhill Memory ETF (DRAM). Each note has a stated principal amount of $1,000, pays no interest and offers no principal protection.
The aggregate principal amount is $1,000,000, issued at $1,000 per security with estimated value on the pricing date of $981.00. If the final ETF level on the July 20, 2027 observation date is at or above the buffer level of $39.384 (65% of the $60.59 initial level), investors receive $1,433.50 per security, a fixed 43.35% upside payment, regardless of how far the ETF has risen. If the final level is below the buffer level, investors lose 1.5385% of principal for every 1% decline beyond the 35% buffer, with no minimum payment; the investment can go to zero.
The notes are unsecured obligations subject to Morgan Stanley’s credit risk, may be illiquid, and embed complex tax treatment, including potential application of “constructive ownership” and Section 871(m) rules.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Jump Securities with an auto-call feature maturing on July 12, 2029, linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500 indices. The offering size is $2,130,000, at $1,000 per security.
The notes may be automatically redeemed on July 20, 2027 if, on July 15, 2027, each index is at or above 100% of its initial level, paying a fixed $1,208.50 per security and terminating further payments. If held to maturity and not called, investors receive principal plus 150% of the gain of the worst index if all three finish above their initial levels, only principal if all remain at or above 70% of initial, and a loss matching the full decline of the worst index if any finishes below 70%, potentially reducing payment to zero.
The estimated value on the pricing date is $965.40 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s funding rate. The notes pay no interest, are unsecured obligations subject to Morgan Stanley’s credit risk, and involve complex tax and liquidity considerations.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing contingent income auto-callable structured securities linked to the worst performer of the Nasdaq-100® Technology Sector Index, the State Street® Energy Select Sector SPDR® ETF and the State Street® SPDR® S&P® Regional Banking ETF. The notes have a stated principal amount of $1,000 per security, an aggregate principal amount of $1,101,000, and mature on July 11, 2031.
Investors may receive a contingent coupon at an annual rate of 11.50%, paid only if on each observation date all three underliers are at or above their coupon barrier levels, set at 70% of their initial levels. The notes are auto-callable quarterly starting July 8, 2027 if all underliers are at or above their call threshold levels, equal to 100% of initial levels, paying principal plus the applicable coupon.
If not called, principal is repaid at maturity only if each underlier’s final level is at or above its downside threshold level, set at 60% of its initial level. If any underlier finishes below its downside threshold, repayment is reduced in proportion to the decline of the worst-performing underlier, and the payment can be zero. All payments depend on Morgan Stanley’s credit, and the estimated value on the pricing date is $933.50 per $1,000 security.
Morgan Stanley Finance LLC is offering $2,445,000 of Enhanced Trigger Jump Securities linked to Micron Technology, Inc. common stock, fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest and matures on August 12, 2027.
At maturity, if Micron’s closing price on the observation date is at or above the downside threshold level of $469.19, investors receive $1,000 plus a fixed upside payment of $452.30 per security, a 45.23% return, regardless of how much Micron has risen or fallen within that range. If the final level is below the threshold, repayment is $1,000 multiplied by the performance factor (final level divided by the $938.38 initial level), producing a 1% loss of principal for each 1% decline in Micron, with no minimum payment and potential total loss.
The original issue price is $1,000 per security, including $10.42 in placement fees, while the issuer’s estimated value on the pricing date is $979.90, reflecting embedded costs and its own pricing models. The notes are unsecured obligations subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, may be illiquid in the secondary market, and involve complex, uncertain U.S. tax treatment.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due July 12, 2029, linked to the worst performer among the common stocks of Apollo Global Management, Ares Management and Blackstone. Each security has a $1,000 stated principal amount, issue price of $1,000 and aggregate principal of $1,930,000, and is fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at 22.20% per annum, only if on each observation date all underliers close at or above their coupon barrier levels, set at 60% of their initial levels. The notes are auto-callable quarterly starting July 8, 2027 if all underliers are at or above their call thresholds (100% of initial levels), returning principal plus the applicable coupon. If not called, and at maturity any underlier is below its downside threshold (also 60% of initial), investors lose 1% of principal for each 1% decline in the worst performer, potentially losing their entire investment. The estimated value on the pricing date is $964.50 per security, below the issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Memory Buffered Auto-Callable Securities due June 13, 2029 linked to the worst performer of the State Street SPDR S&P Metals & Mining ETF (XME) and the VanEck Gold Miners ETF (GDX). Each security has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $1,624,000 and an estimated value on the pricing date of $953.70, reflecting embedded fees and hedging costs.
The notes pay a 7.25% per annum contingent coupon, evaluated on scheduled observation dates, only if the closing level of each ETF is at or above its coupon barrier (50% of its initial level). Missed coupons may be “caught up” later if both ETFs are again at or above their barriers, but investors could receive few or no coupons over the term.
The securities are automatically called if, on any redemption determination date from January 8, 2027 onward, each ETF is at or above its call threshold (100% of initial level), returning principal plus the relevant coupon and any unpaid coupons. If held to maturity and not called, investors receive full principal only if each ETF’s final level is at or above its buffer level (80% of initial). If either is below its buffer, repayment is reduced 1% for each 1% decline of the worst performer beyond the 20% buffer, subject to a minimum payment of 20% of principal, exposing investors to substantial loss of capital. All payments are unsecured and subject to Morgan Stanley’s and MSFL’s credit risk, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Dual Directional Jump Securities linked to the S&P 500® Futures Excess Return Index, maturing on July 21, 2031. Each security has a stated principal amount and issue price of $1,000 and an estimated value on the pricing date of approximately $940.90.
The notes can be automatically redeemed starting July 23, 2027 if the index is at or above a call threshold equal to 100% of the initial level, paying early redemption amounts such as $1,100 or $1,200 per security for returns of about 10% per annum. If held to maturity, investors receive leveraged upside at a 125% participation rate when the final level is above the initial level, and a dual-direction feature that can provide up to a 30% positive return when the index moves up or down but finishes at or above a downside threshold set at 70% of the initial level. Below this threshold, investors lose 1% of principal for each 1% index decline and may lose their entire investment. All payments depend on Morgan Stanley’s credit, and the July 8, 2026 index closing level was 599.18.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $20,657,050 of Trigger GEARS linked to a weighted basket of the S&P MidCap 400 Index (80%) and EURO STOXX Mid Index (20%) maturing on July 11, 2031. Each Security has a $10 principal amount. If the Basket Return is greater than zero, holders receive $10 plus $10 multiplied by the Basket Return and the Upside Gearing of 1.1225. If the Basket Return is less than or equal to zero but the Final Basket Level is at or above the Downside Threshold of 75, investors receive $10 back. If the Final Basket Level is below 75, repayment is $10 plus $10 times the Basket Return, exposing investors to proportionate losses up to a 100% loss of principal. The notes pay no interest or dividends, have an estimated value on the trade date of $9.362 per $10, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Leveraged Buffered S&P 500 Index-Linked Notes due August 11, 2027. The notes pay no interest and return at maturity depends on the S&P 500 Index performance from the July 8, 2026 strike date to the August 9, 2027 determination date.
For each $1,000 note, investors receive 150% of any positive index return, but payments are capped at a Maximum Settlement Amount of $1,151.50
The notes are unsecured obligations of MSFL with a Morgan Stanley guarantee, exposing holders to issuer credit risk. They will not be listed, and secondary trading may be limited. The issuer’s estimated value on the trade date is approximately $985.70 per $1,000 note, reflecting embedded costs and an internal funding rate that is advantageous to the issuer.
Morgan Stanley Finance LLC is offering Enhanced Dual Directional Buffered Jump Securities linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. These $1,000-denomination notes pay no interest and expose investors to principal risk.
At maturity on February 3, 2028, if the index is at or above its initial level, holders receive $1,070 per security, reflecting a fixed $70 digital payment. If the index is below the initial level but at or above 93% of that level, investors receive $1,000 plus $70 plus an additional amount based on the index’s percentage decline, with the total positive return effectively capped at 14%. If the index is below 93% but at or above 80% of the initial level, investors receive $1,000 plus an absolute return on the decline, effectively capped at a 20% positive return. Below 80% of the initial level, principal is reduced 1% for each 1% decline beyond the 20% buffer, but not below a minimum payment of 20% of principal. The estimated value on the pricing date is approximately $970.40 per security, reflecting issuance, selling, structuring and hedging costs and the issuer’s credit spreads.