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 capped leveraged buffered notes linked to a weighted basket of five major equity indices: EURO STOXX 50® (38%), TOPIX (26%), FTSE® 100 (17%), Swiss Market Index® (11%) and S&P®/ASX 200 (8%). The notes have a $1,000 face amount, no interest payments and expose holders to both upside and downside in the basket over roughly 25–28 months.
If the basket rises, investors receive 250% of the positive return, but payments are capped at a maximum settlement amount expected between $1,246.50 and $1,289.75 per $1,000. If the basket falls by up to 17.50%, holders receive their full principal, but deeper declines lead to losses amplified by a buffer rate of about 121.21%, with the possibility of losing the entire investment. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, and the estimated value on the trade date is about $995.30 per note, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC is issuing principal-at-risk structured notes linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and is offered at $1,000, with an aggregate principal amount of $100,000.
Investors may receive a contingent coupon at 15.25% per annum, paid only if the index level on each observation date is at or above the coupon barrier of 2,216.948 (75% of the initial level of 2,955.93). The notes are automatically called at par plus any due coupons if the index is at or above the call threshold of 2,955.93 on any redemption determination date after January 25, 2027.
If not called, and the final index level on January 21, 2031 is at or above the downside threshold of 1,773.558 (60% of the initial level), investors receive principal back plus any payable coupons. If it is below that threshold, repayment is reduced in full proportion to the index decline and can fall to zero. The estimated value on the pricing date is $929.10 per security, and there is no listing, limited expected liquidity and full exposure to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $7,530,000 of dual directional buffered participation securities linked to the Russell 1000 reg; Growth Index. Each note has a $1,000 stated principal amount, is issued at $1,000, pays no interest and matures on April 15, 2027.
At maturity, investors get upside exposure at a 100% participation rate, but returns are capped at a maximum payment of $1,115 per note (111.50% of principal). If the index finishes down but no more than 15%, investors earn a positive return matching the index 27s absolute decline, up to 15%. Below the 15% buffer, principal is lost 1% for each additional 1% drop, with a minimum payment of 15% of principal. The initial index level is 4,655.884, the buffer level is 3,957.501 (85% of initial), and the estimated value on the pricing date is $986.60 per note, reflecting issuance and hedging costs and the issuer 27s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Trigger PLUS notes linked to the S&P 500® Index, due January 27, 2031. Each note has a $1,000 stated principal amount, with a total offering of $19,000,000, and pays no interest.
At maturity, if the S&P 500 final level is above the initial level of 6,913.35, investors receive principal plus 200% of the index gain, capped at a maximum payment of $1,550 per note (155% of principal. If the index is flat or down but not below 6,222.015 (90% of the initial level), investors receive only their principal back.
If the index closes below the downside threshold, repayment is reduced 1% for each 1% decline in the index, with no minimum payment, so the entire investment can be lost. The notes are unsecured obligations of MSFL, subject to Morgan Stanley credit risk, are not listed on any exchange, and had an estimated value on the pricing date of $959.20 per $1,000 note due to embedded fees and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is issuing $1,517,000 of principal-at-risk Callable Contingent Income Securities maturing on January 27, 2031, linked to the worst performer of the Nasdaq-100, Russell 2000 and S&P 500 indices and guaranteed by Morgan Stanley.
The notes offer an 8.80% per annum contingent coupon, paid only if on each observation date all three indices are at or above their coupon barrier levels, set at 70% of their initial levels. If any index is below its barrier on a given observation date, no coupon is paid for that period.
Beginning October 27, 2026, the notes can be redeemed early at par plus any due coupon, but only if a risk‑neutral valuation model indicates it is economically rational for Morgan Stanley to call them. At maturity, if not redeemed, investors receive principal back only if every index is at or above its downside threshold (60% of its initial level); otherwise, payoff is reduced 1% for each 1% decline in the worst index and can fall to zero. The issue price is $1,000 per note, with an estimated value of $984.70 on the pricing date.
Morgan Stanley Finance LLC is offering callable contingent income securities due July 27, 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 $1,000 stated principal amount and an aggregate offering size of $425,000.
The notes pay a contingent coupon at an annual rate of 9.75% only when all three indices close at or above their coupon barrier levels (70% of initial) on scheduled observation dates. Principal is fully at risk: if, at maturity, any index finishes below its downside threshold (60% of initial), repayment is reduced 1% for each 1% decline in the worst index and can fall to zero. The notes can be redeemed early, in whole, on specified dates if a risk-neutral valuation model indicates it is economically rational for Morgan Stanley; after redemption, no further payments are made. The securities are unsecured obligations of MSFL, guaranteed by Morgan Stanley, not listed on any exchange, and had an estimated value at pricing of $984.10 per $1,000.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes called Jump Securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and the aggregate principal amount is $1,222,000. The notes are linked to the worst performer of the Nasdaq-100® Technology Sector Index, the S&P 500® Index and the Russell 2000® Index and do not pay periodic interest.
The notes may be automatically redeemed on specified determination dates if the closing level of each index is at or above its applicable call threshold, paying early redemption amounts designed to correspond to a return of about 14.60% per year, up to $1,401.50 per security. If not called, and on the observation date all three indices are at or above their upside thresholds (100% of initial levels), investors receive $1,438 per security. If any index finishes below its upside threshold but all stay at or above their downside thresholds set at 70% of initial levels, investors simply receive the $1,000 principal.
If at maturity any index closes below its downside threshold, repayment is reduced 1% for each 1% decline of the worst-performing index, with losses up to the entire investment. The securities are unsecured obligations subject to the issuer’s and guarantor’s credit risk, will not be listed on an exchange, and had an estimated value on the pricing date of $982.80 per security, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC is offering $559,000 of Contingent Income Memory Buffered Auto-Callable Securities linked to the State Street SPDR S&P Metals & Mining ETF (XME) and the VanEck Gold Miners ETF (GDX), fully guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 8.00% per year only when the closing level of each ETF is at or above its coupon barrier, set at about 65% of the initial level. Missed coupons can be paid later if both ETFs recover above the barrier, but investors may receive no income for long periods.
The notes can be auto-called on scheduled dates if both ETFs are at or above 100% of their initial levels, returning principal plus the applicable coupon and any unpaid coupons, ending the investment early. If held to maturity and either ETF finishes below its 85% buffer level, investors lose 1% of principal for each 1% drop beyond the 15% buffer, with a minimum maturity payment of 15% of principal. The issue price is $1,000 per note, while the estimated value at pricing is $934.20, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing principal-at-risk Jump Securities with an auto-call feature maturing on January 27, 2031, linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100® Technology Sector Index and Russell 2000® Index. Each security has a $1,000 stated principal amount and total issuance of $254,000.
The notes can be automatically redeemed on scheduled determination dates starting in 2027 if all three indices are at or above 100% of their initial levels, paying rising early redemption amounts (from $1,102 to $1,501.50 per $1,000). If held to maturity and all indices are at or above their call thresholds, investors receive $1,510 per security. If any index finishes below its call threshold but all remain at or above 75% of initial, only principal is returned.
If at maturity any index is below 75% of its initial level, repayment is reduced 1% for each 1% decline in the worst-performing index, and the payout can fall to zero. The securities pay no interest, do not participate in index gains, and all payments depend on Morgan Stanley’s credit. The issue price is $1,000 per security, with an estimated value of $928.10 and a $38 sales commission to dealers.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk structured notes tied to the worst performer of the Nasdaq-100 Index, Russell 2000 Index and VanEck Semiconductor ETF. Each $1,000 security offers a 9.80% per annum contingent coupon, paid only when all three underliers close at or above 70% of their initial levels on the observation date. The notes are auto-callable quarterly starting July 22, 2026 if all underliers are at or above 100% of their initial levels, returning principal plus the applicable coupon. If not called, and at maturity any underlier is below 70% of its initial level, repayment is reduced 1% for each 1% decline of the worst underlier, potentially resulting in a total loss of principal. The issue price is $1,000 with an estimated value of $940.20, including $38 in selling commissions, and the notes are unsecured, unlisted and subject to Morgan Stanley’s credit risk.