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, guaranteed by Morgan Stanley, is offering principal-at-risk “Jump Securities” linked to the Class A common stock of Robinhood Markets, Inc. Each note has a $1,000 stated principal, prices at $1,000, and an estimated value on the pricing date of about $946 due to embedded fees and funding costs. The notes run to January 19, 2029, with the first potential auto-call on April 16, 2026.
The notes can be automatically redeemed on scheduled determination dates if Robinhood’s stock is at or above a call threshold initially set at 100% of the starting level, paying fixed amounts that target roughly 30% per annum (for example $1,075 on the first call date up to $1,825 on the last). If held to maturity and not called, investors receive $1,900 if the final level is at or above the call threshold, $1,000 if it is between the call and a 65% downside threshold, and a loss matching any decline below that threshold, potentially losing the entire principal. The notes pay no interest, are unsecured, will not be listed, and carry both market risk tied to Robinhood’s stock and credit risk of Morgan Stanley and MSFL, along with complex and uncertain U.S. tax treatment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Buffered Jump Securities with an auto-call feature tied to the worst performer of the VanEck® Gold Miners ETF (GDX) and the State Street® SPDR® S&P® Metals & Mining ETF (XME). Each security has a stated principal amount of $1,000, pays no interest and is scheduled to mature on November 1, 2028, with potential automatic early redemption starting July 27, 2026.
Early redemption payments range from $1,045.00 to $1,240.00 per security, targeting an annualized return of about 9.00% if both ETFs are at or above their call thresholds on a determination date. If held to maturity, investors receive $1,247.50 per security if both final ETF levels meet their call thresholds, only principal back if both stay above a 15% buffer, and a loss of 1% of principal for each 1% decline in the worst ETF beyond that buffer, down to a minimum payment of 15% of principal. The estimated value on the pricing date is approximately $942.80 per security, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk "Buffered Jump" structured notes linked to the worst performer of the VanEck Gold Miners ETF (GDX) and the iShares Silver Trust (SLV), fully and unconditionally guaranteed by Morgan Stanley and maturing on November 1, 2028. The $1,000-denomination securities pay no interest and can be automatically called starting July 27, 2026 if on a determination date both underliers are at or above their call threshold levels, delivering early redemption payments that correspond to an annualized return of approximately 16.00%.
If not called, the maturity payoff depends on final levels: investors receive $1,440 per security if each underlier is at or above its call threshold level, the stated principal amount if both are at or above their buffer levels, and otherwise a loss of 1% of principal for each 1% decline in the worst-performing underlier beyond a 15% buffer, subject to a minimum maturity payment equal to 15% of principal.
The estimated value on the pricing date is approximately $915.90 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-call feature maturing on January 25, 2029. Each note has a $1,000 stated principal amount and is linked to the worst performer among Lam Research, Broadcom and Carnival common stocks, without paying periodic interest.
The notes may be automatically redeemed on scheduled determination dates starting January 26, 2027, for early redemption payments that target approximately 32.00% per annum, as shown in a fixed step-up schedule. If held to maturity and a redemption event has occurred for each stock, investors receive $1,960 per note; if no redemption event occurs and any stock finishes below its downside threshold, repayment is reduced 1% for every 1% decline in the worst-performing stock and can fall to zero.
The estimated value on the pricing date is approximately $930.60 per security, reflecting issuance, structuring and hedging costs and an internal funding rate that is advantageous to the issuer. The securities are unsecured, not listed, subject to Morgan Stanley’s credit risk and come with complex market, liquidity, correlation and U.S. tax risks.
Morgan Stanley Finance LLC is offering buffered jump securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley, with principal at risk. Each security has a stated principal amount and issue price of $1,000, for an aggregate principal amount of $3,938,000, and an estimated value on the pricing date of $959.50 per security.
The notes are linked to an equally weighted basket of five large health care and biopharma stocks: AbbVie, Eli Lilly, Regeneron, Vertex and UnitedHealth. The securities are automatically redeemed on December 31, 2026 for $1,120.50 per security if the basket level on December 28, 2026 is at or above 100% of its initial level.
If not called, at maturity in December 2027 investors receive upside at a 125% participation rate if the basket has risen. A 15% buffer protects against moderate declines, but below 85% of the initial level losses accelerate at a 1.1765x downside factor, and repayment of principal is not guaranteed. The notes pay no interest, are unsecured, not listed, and all payments depend on Morgan Stanley’s creditworthiness.
Morgan Stanley Finance LLC is offering Enhanced Buffered Jump Securities linked to the S&P 500® Futures Excess Return Index with an aggregate principal amount of $255,000 at $1,000 per security. The notes pay no interest and return at maturity depend on the index level on December 5, 2029. If the final level is at or above an upside threshold of 85% of the initial level, investors receive principal plus the greater of index performance or a fixed $277 upside payment per security. If the final level is between the 80% buffer level and the upside threshold, investors receive only principal; below the buffer, principal is reduced 1% for each 1% further decline, but not below 20% of principal. The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange and may have limited secondary liquidity, with an initial estimated value of $976.80 per security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $9,102,190 of 5-year Trigger Autocallable Notes linked to the worst performer between the Russell 2000 Index and the S&P 500 Index, in $10 denominations. The notes can be automatically called quarterly starting December 18, 2026 if both indexes are at or above their initial levels, paying $10 plus a growing call return based on a 10.10% per-annum rate, up to $15.05 per note at the final observation date.
If not called, investors receive $10 at maturity only if both final index levels stay at or above their respective downside thresholds, set at 80% of initial values (2,041.166 for the Russell 2000 and 5,461.93 for the S&P 500). If either index finishes below its threshold, repayment is reduced in full proportion to the decline of the least performing index, and all principal can be lost. The notes pay no interest, do not share in index gains, carry Morgan Stanley credit risk, are not FDIC insured, and have an estimated value on the trade date of $9.661 per $10 issue price, with limited expected secondary market liquidity.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities due January 28, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performer of the Russell 2000 Index, S&P 500 Index and the State Street Utilities Select Sector SPDR ETF (XLU).
Investors receive a 7.00% per annum contingent coupon only if, on each observation date, the closing level of every underlier is at or above its 70% coupon barrier. The notes are automatically redeemed at par plus the coupon if, on any redemption determination date starting January 25, 2027, all underliers are at or above 100% of their initial levels. If held to maturity and any underlier finishes below its 70% downside threshold, repayment is reduced 1% for each 1% decline in the worst underlier, potentially to zero. The estimated value on the pricing date is approximately $942.60 per $1,000 security, reflecting issuance, selling, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,000-denomination Jump Securities with an auto-call feature linked to the worst performing of the Dow Jones Industrial Average, S&P 500 Index and Russell 2000 Index. These notes do not pay interest and put your principal at risk.
The securities may be automatically redeemed on scheduled determination dates starting on February 5, 2027 if each index is at or above its call threshold (100% of its initial level), for early redemption payments that imply about 10.70% per annum, ranging from $1,107 to $1,267.50 per note. If held to maturity on February 2, 2029 and all three indices are at or above their call thresholds, investors receive $1,321 per note.
If any index finishes below its call threshold but all are at or above a downside threshold of 70% of the initial level, only principal is returned. If any index ends below its downside threshold, repayment is reduced 1% for each 1% decline of the worst index, and the maturity payment can fall well below $1,000, potentially to zero. The indicative estimated value on the pricing date is approximately $957.60 per note, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC is offering principal-at-risk market linked securities that pay contingent coupons and are linked to the worst performer of the S&P 500, Russell 2000 and Nasdaq-100 Technology Sector Index. Each $1,000 security targets a contingent coupon rate of at least 8.85% per year, paid quarterly only if the lowest-performing index on the calculation day is at or above 70% of its starting level.
The notes are automatically called after about six months and on later quarterly dates if all three indexes are at or above their starting levels, returning the $1,000 face amount plus the coupon. If not called, and any index finishes below 70% of its starting level at maturity in February 2029, repayment of principal is reduced one-for-one with the worst index’s decline, so investors can lose more than 30% and up to all of their investment. The preliminary estimated value is approximately $962.90 per security, reflecting issuance and hedging costs and Morgan Stanley’s internal funding rate.