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 (MS) reported an insider transaction on Form 4. A director disclosed a disposition coded “G” of 1,800 shares of Common Stock on 11/07/2025 at a reported price of $0. Following this transaction, the reporting person beneficially owns 46,883.484 shares, held directly.
The filing indicates the form was submitted by an attorney-in-fact. No derivative securities were reported in Table II.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Trigger Jump Securities linked to the worst performing of the S&P 500, Russell 2000 and Dow Jones Industrial Average. The notes pay no interest and are unsecured obligations.
At maturity on December 5, 2030, holders receive: (i) if each index finishes at or above its initial level, the $1,000 principal plus the greater of the worst underlier’s percent gain or a fixed $517.50 upside payment; (ii) if any index is below its initial level but all are at or above their 75% downside thresholds, return of principal only; (iii) if any index ends below its downside threshold, a 1% principal loss for each 1% decline in the worst underlier, which could reduce repayment to zero.
Key terms include a $1,000 issue price per note, estimated value on the pricing date of approximately $941.90 per security (within $55.00), pricing on December 1, 2025, and no listing. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk Contingent Income Auto-Callable Securities due November 15, 2030, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a 9.50% annual contingent coupon only if, on each observation date, the iShares MSCI EAFE ETF (EFA), S&P 500 Index (SPX), and Russell 2000 Index (RTY) each close at or above their coupon barrier, set at 70% of their initial levels. Automatic early redemption can occur on scheduled dates starting May 12, 2026 if all three underliers are at or above their call thresholds, set at 100% of initial levels.
The notes are linked to the worst performing underlier, so any single underlier falling below key levels can eliminate a coupon or trigger loss of principal. If not called, at maturity investors receive par only if each final level is at or above its 70% downside threshold; otherwise, repayment is reduced one-for-one with the decline of the worst performer and could be zero. Issue price is $1,000 per security; the estimated value on the pricing date is approximately $985.60 per security. Key dates: pricing November 12, 2025; original issue November 17, 2025; maturity November 15, 2030.
Morgan Stanley Finance LLC is offering callable contingent income securities due November 18, 2027, fully and unconditionally guaranteed by Morgan Stanley. Payments are linked to the worst performer among EQT Corporation, Exxon Mobil, and Cheniere Energy common stocks.
The notes pay a contingent quarterly coupon at 21.38% annual rate (about $53.45 per $1,000 each quarter) only if, on each trading day in the observation period, every stock closes at or above 75% of its initial share price (coupon barrier). Starting November 27, 2026, the issuer may redeem quarterly, in whole, based on a risk neutral valuation model; if called, holders receive the $1,000 principal plus any coupon due for that period.
At maturity, if not redeemed, investors receive $1,000 plus the final coupon only if each stock is at or above its 70% downside threshold. If any stock is below its threshold, repayment equals $1,000 times the worst stock’s performance and can be less than 70% of principal or zero. Issue price is $1,000; the estimated value is approximately $943.80 per security. Agent commissions are $20 and a structuring fee is $5 per security. The notes will not be listed; all payments are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC amended a pricing supplement for its Dual Directional Buffered Jump Securities linked to the S&P 500 Index, due September 24, 2029. The notes are unsecured, pay no interest, and are fully and unconditionally guaranteed by Morgan Stanley.
The payoff is path-independent and set on the September 19, 2029 observation date. If the final index level is at or above the initial level of 6,664.36, investors receive principal plus a fixed upside payment of $255 (25.50%). If the index declines but stays at or above the buffer level of 5,331.488 (80%), investors earn a positive return equal to the absolute decline times the 300% participation rate, effectively capped at a 60% gain. Below the buffer, losses match the decline beyond 20%, with a minimum payment at maturity of 20% of principal.
The issue price is $1,000 per security, aggregate principal $1,625,000, and estimated value on pricing date is $979.00 per security. Agent’s fees are $7.50 per security, with proceeds to the issuer of $1,612,812.50. The notes will not be listed and all payments are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC priced a Rule 424(b)(2) structured note offering: Buffered Jump Securities with auto-call linked to Oracle Corporation common stock, fully and unconditionally guaranteed by Morgan Stanley. The notes are principal-at-risk, pay no interest, and may redeem early if Oracle’s closing level is at or above the call threshold.
Key terms: issue price $1,000 per security; aggregate principal amount $500,000; estimated value on pricing date $964.40 per security; scheduled early redemption payments correspond to ~13.00% per annum (e.g., $1,032.50 on the first call date, rising to $1,162.50 before maturity). Initial level $275.30; call threshold level $275.30 (100%); buffer level $192.71 (70%); buffer amount 30%; minimum payment at maturity 30% of principal.
If not redeemed and the final level is ≥ the call threshold, maturity pays $1,195.00 per security. If the final level is below the call threshold but ≥ the buffer level, investors receive principal only. Below the buffer, losses match the decline beyond 30%. Agent commissions are $18.75 per security; total proceeds to the issuer are $490,625. The notes are unsecured and subject to the credit risk of MSFL and Morgan Stanley, and will not be listed.
Morgan Stanley Finance LLC is offering Market Linked Securities that are auto-callable with a contingent coupon and downside exposure, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a 13.15% per annum contingent coupon, due monthly only if the lowest-performing of Citigroup, Costco, FedEx, and Netflix closes at or above its 70% coupon threshold on the applicable calculation day. The notes mature on August 19, 2030, unless called after an initial ~6‑month non‑call period when each stock is at or above its starting price.
The price to the public is $1,000 per security, with agent commissions of up to $28.25 and proceeds to the issuer of $971.75 per security (total offering $956,000; commissions $27,007; proceeds $928,993). The current estimated value is $946.60 per security, reflecting issuance and hedging costs and Morgan Stanley’s internal funding rate.
If not called, repayment at maturity is $1,000 only if each stock is at or above its 50% downside threshold; otherwise, principal is reduced 1‑for‑1 with the worst performer. Investors do not receive dividends or participate in stock appreciation, and all payments are subject to Morgan Stanley’s credit risk. The securities will not be listed on any exchange.
Morgan Stanley Finance LLC priced a structured note offering of Buffered PLUS due November 5, 2030, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of the Dow Jones Industrial Average and the S&P 500 Index, pay no interest, and put principal at risk.
Key terms include a $1,000 issue price per security, $908,000 aggregate principal amount, a 150% leverage factor on upside, and a maximum payment at maturity of $1,600 per security. A 20% buffer applies; below the buffer, investors lose 1% of principal for each 1% additional decline of the worst performer, subject to a minimum payment at maturity equal to 20% of principal. Initial levels were set on October 31, 2025 (INDU 47,562.87; SPX 6,840.20), with observation on October 31, 2030.
The estimated value on the pricing date is $965.20 per security. Commissions and fees total $7.50 per security, with $992.50 per security in proceeds to the issuer; sales are to fee-based advisory accounts. The securities will not be listed; secondary market making by MS&Co. is not assured and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a 424(b)(2) offering of NVIDIA-linked “Jump Notes,” fully and unconditionally guaranteed by Morgan Stanley, totaling $582,000 in aggregate principal amount at $1,000 per note. The notes pay no interest and mature on November 3, 2028. At maturity, if NVIDIA’s final level is greater than or equal to the initial level, holders receive principal plus a fixed $235 upside payment (23.50% of principal). If the final level is lower, holders receive only the $1,000 principal.
The initial level is $202.49 (NVIDIA’s closing level on October 31, 2025), with the observation date on October 31, 2028. The estimated value on the pricing date is $979.50 per note. The notes are unsecured obligations of MSFL, guaranteed by Morgan Stanley, will not be listed on any exchange, and are intended for fee-based advisory accounts with no sales commissions. Secondary market liquidity may be limited, and all payments are subject to the issuers’ credit risk.
Morgan Stanley Finance LLC filed a 424(b)(2) preliminary pricing supplement for principal-at-risk, market-linked securities tied to the lowest-performing of Alphabet (GOOGL), Meta (META) and Microsoft (MSFT), due November 17, 2028, fully and unconditionally guaranteed by Morgan Stanley.
Each $1,000 security has an estimated value of approximately $957.50 (within $45 of that estimate). Per the fee table, agent commissions are up to $25.75 per security, with $974.25 per security in proceeds to the issuer. The notes feature an auto‑call on November 19, 2026 if every stock closes at or above its starting price, paying at least $1,483.50 per $1,000 face amount; no further payments occur after a call.
If not called, maturity pays: 250% participation on the lowest performer when its ending price is above its start; a contingent absolute return when it is between its start and a 70% threshold; or full downside exposure below the threshold, risking significant loss of principal. The securities pay no interest, forgo dividends, and will not be listed. Agents are MS&Co. and WFS.