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 contingent income auto-callable securities due December 24, 2030 with a stated principal amount of $1,000 per security. The notes are unsecured, principal-at-risk securities linked to the worst-performing of four stocks: NVIDIA, Block, Palantir Technologies and Chipotle Mexican Grill.
Investors may receive a 20.00% per annum contingent coupon, paid on scheduled coupon dates only if on each observation date every stock closes at or above its coupon barrier, set at 60% of its initial level. Starting with the December 21, 2026 redemption determination date, the notes are automatically redeemed at par plus the coupon if each stock is at or above its call threshold of 100% of its initial level.
If the notes are not redeemed early, principal is repaid at maturity if each stock finishes at or above its downside threshold (60% of initial) or any stock is at or above its initial level. Otherwise, investors lose 1% of principal for each 1% decline in the worst-performing stock, potentially losing their entire investment. The estimated value on the pricing date is about $949.10 per $1,000 note, the securities will not be listed on an exchange, all payments depend on Morgan Stanley’s credit, and the tax treatment, especially for non-U.S. holders, is described as uncertain.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes linked to the worst performer of the EURO STOXX 50® and S&P 500® indices. Each $1,000 security can pay a contingent coupon at 8.50% per year, but only if on each observation date both indices are at or above 80% of their initial levels; missed coupons may be paid later if this condition is later met.
The notes are auto-callable: if on any redemption determination date both indices are at or above 100% of their initial levels, investors receive the $1,000 principal plus the applicable contingent coupon and any previously unpaid coupons, and the notes terminate early. If the notes are not redeemed early, maturity repayment depends on index performance. If on the final observation date both indices are at or above 80% of their initial levels, investors receive $1,000 plus any due coupons; otherwise, principal is reduced 1% for each 1% decline in the worst-performing index, which can result in a full loss.
The preliminary estimated value on the pricing date is approximately $974.70 per $1,000, reflecting dealer compensation, structuring and hedging costs and an internal funding rate advantageous to the issuer. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and any secondary market making by Morgan Stanley & Co. LLC may be limited and at prices below the issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $3,008,000 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the S&P 500, Russell 2000 and EURO STOXX 50 indices, maturing on December 15, 2028. The notes pay a quarterly contingent coupon at a 9.50% per annum rate (about $0.2375 per $10 note) only if on each Observation Date all three indices are at or above their Coupon Barriers, set at 75% of their Initial Underlying Values. Starting March 12, 2026, the notes are automatically called if all three indices are at or above their initial levels, returning principal plus that period’s coupon.
If the notes are not called and, at final observation, any index is below its Downside Threshold (also 75% of its initial level), repayment is reduced 1-to-1 with the decline of the worst-performing index, and investors can lose most or all of principal. The issue price is $10 per note, while the estimated value on the trade date is $9.657, reflecting structuring and hedging costs and an internal funding rate. The securities are unsecured, unsubordinated obligations, not listed on any exchange, and carry full issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering $9,102,190 of Trigger Autocallable Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index. Each unsecured, $10 note has a 5-year term, is fully and unconditionally guaranteed by Morgan Stanley, and pays no interest.
Starting about one year after issuance, the notes are automatically called on any quarterly Observation Date if both indices close at or above their Initial Underlying Values (2,551.457 for the Russell 2000 and 6,827.41 for the S&P 500). If called, investors receive $10 plus a fixed Call Return based on a 10.10% per annum Call Return Rate, rising over time up to 50.500% ($15.0500 per $10 note) if called at maturity.
If never called and at least one index finishes below its Downside Threshold (2,041.166 for the Russell 2000 and 5,461.93 for the S&P 500, each 80% of its initial level), repayment is $10 × (1 + the Underlying Return of the Least Performing Underlying), which can mean a substantial or total loss of principal. Investors do not participate in any upside of the indices. The estimated value on the trade date is $9.661 per $10 note, after a $0.25 per-note sales commission.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $9,494,000 of 5‑year Trigger Autocallable Contingent Yield Notes linked to the least performing of the Nasdaq‑100 Index® and the EURO STOXX 50® Index. Each note has a $10 issue price and offers a contingent coupon at a 7.75% per annum rate, paid quarterly only if both indexes close at or above their coupon barriers, set at 70% of their initial levels (17,637.71 for the Nasdaq‑100 and 4,004.50 for the EURO STOXX 50).
Beginning June 12, 2026, the notes are automatically called if both indexes are at or above their initial values, returning principal plus the applicable coupon, with no further payments. If not called, and on the final observation date in 2030 both indexes are at or above their downside thresholds (the same 70% levels), investors receive full principal back plus the final coupon. If either index finishes below its downside threshold, repayment is reduced one‑for‑one with the loss of the worst index, and investors can lose all principal.
The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and have an estimated value of $9.70 per $10 note, reflecting structuring and distribution costs borne by investors.
Morgan Stanley Finance LLC is offering $3,156,200 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index® and the EURO STOXX 50® Index, maturing December 17, 2030 unless called earlier. Each $10 Security pays a 9.75% per annum contingent coupon (about $0.24375 quarterly) only if on an Observation Date both indices are at or above their Coupon Barriers, set at 70% of their Initial Underlying Values (17,637.71 for the Nasdaq-100 and 4,004.50 for the EURO STOXX 50).
Starting June 12, 2026, the notes are automatically called if both indices are at or above their Initial Underlying Values, in which case investors receive $10 plus the applicable coupon and the product terminates. If not called, and at final observation both indices are at or above their Downside Thresholds (equal to the Coupon Barriers), investors receive $10 plus the final coupon; otherwise, repayment is reduced one-for-one with the loss of the worst-performing index and could be zero.
The Securities are unsecured, unsubordinated debt of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the trade date of $9.931 per $10 issue price. They will not be listed on any exchange, may have limited liquidity, and expose investors to both market risk of the indices and the credit risk of Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $6,000,000 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index® and Russell 2000® Index, maturing on December 14, 2028. Each $10 note pays a contingent coupon at an annual rate of 8.40% (about $0.21 per quarter) only if, on a quarterly Observation Date, both indices close at or above their Coupon Barriers, set at 70% of their Initial Underlying Values (17,980.68 for the Nasdaq-100 and 1,813.424 for the Russell 2000). From June 11, 2026 onward, the notes are automatically called if both indices are at or above their initial levels, returning principal plus that quarter’s coupon with no further payments.
If the notes are not called and either index finishes below its Downside Threshold (also 70% of its initial level) on the Final Observation Date, repayment is reduced 1‑for‑1 with the decline in the least performing index, and investors can lose all principal. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and may trade below the $10 issue price; the estimated value on the trade date is $9.752 per note, reflecting embedded fees, internal funding rates and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $6,000,000 of Capped Buffer GEARS linked to the Russell 2000® Index, maturing on February 17, 2027. Each Security has a $10 principal amount and a 14‑month term.
At maturity, if the index is above its initial level, investors receive $10 plus 1.25 times the index gain, capped at a Maximum Gain of 15.00%, or $11.50 per Security. If the index is flat or down but no more than 10% below its initial level, investors receive their $10 principal. If the index has fallen more than 10%, repayment is reduced 1% for each 1% decline beyond the 10% buffer, with up to 90% loss of principal.
The Securities pay no interest or dividends, are unsecured obligations subject to Morgan Stanley’s credit risk, and will not be listed on an exchange. The estimated value on the trade date is $9.757 per Security versus the $10 issue price, reflecting issuing, selling, structuring and hedging costs and an internal funding rate.
Morgan Stanley Finance LLC is offering $600,000 of Dual Directional Buffered PLUS, principal-at-risk notes due December 15, 2028, fully and unconditionally guaranteed by Morgan Stanley. These securities pay no interest and return at maturity depends on the worst performing of the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index.
If that worst index ends above its initial level, holders receive $1,000 per security plus 103% of its gain. If it ends below its initial level but not below 80% of that level (the buffer), investors receive a positive return equal to the index’s percentage decline, capped at a 20% gain. If the worst index falls below the buffer, principal is reduced 1% for each 1% drop beyond 20%, with a minimum payment of 20% of principal.
The issue price is $1,000 per security, while the issuer’s estimated value on the pricing date is $964.30, reflecting embedded costs and an internal funding rate. The notes will not be listed on an exchange, may have limited liquidity, and are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing structured notes called Buffered PLUS, linked to the S&P 500 Futures Excess Return Index and guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, with a total offering of $2,702,000, and pays no interest.
At maturity in December 2031, holders receive $1,000 plus 207% of any index gain if the final index level is above the initial level of 557.16. If the index is flat or down but not below 85% of the initial level (the buffer), investors get back only the $1,000 principal. If the index falls below the buffer, principal is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal (for example, a 95% drop in the index would pay $200).
The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and may have limited liquidity. The estimated value on the pricing date is $963.30 per security, below the $1,000 issue price, reflecting issuance, structuring and hedging costs.