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 Trigger Performance Leveraged Upside Securities (Trigger PLUS) linked to a basket of five international equity indices: the S&P®/ASX 200, FTSE® 100, Swiss Market Index®, EURO STOXX 50® and Tokyo Stock Price Index. Each note has a $1,000 stated principal amount, pays no interest and matures on February 5, 2029.
At maturity, if the basket has risen, investors receive $1,000 plus 145.09% of the basket’s gain. If the basket is flat or down but still at or above 80% of its initial value, investors receive $1,000. If the basket closes below this 80% trigger, repayment is reduced one-for-one with the basket’s loss, and the entire principal can be lost. The notes are unsecured, subject to Morgan Stanley credit risk, not listed on any exchange, and have an estimated value of about $956.60 per $1,000 at pricing due to embedded costs and issuer funding assumptions.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Enhanced Trigger Jump Securities due January 27, 2027 linked to the common stock of Broadcom Inc. Each security has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $3,825,000, and pays no interest.
At maturity, if Broadcom’s final stock level on the January 22, 2027 observation date is at or above the downside threshold of $241.479 (70% of the $344.97 initial level), investors receive $1,000 plus a fixed upside payment of $214 per security, a 21.40% return, regardless of how much the stock has risen. If the final level is below the threshold, the payoff is $1,000 multiplied by the stock’s performance factor (final level ÷ initial level), causing a 1% loss of principal for each 1% decline and potentially a total loss.
The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange and may have limited secondary liquidity. The estimated value on the pricing date is $980.30 per $1,000, reflecting issuance, selling, structuring and hedging costs and the issuer’s internal funding rate. The tax discussion indicates a treatment as prepaid financial contracts is considered reasonable but remains uncertain.
Morgan Stanley Finance LLC is issuing $250,000 of “Jump Securities” with an auto-call feature, at $1,000 stated principal per security, fully and unconditionally guaranteed by Morgan Stanley.
The notes run to January 16, 2031 and are linked to the worst performer of the VanEck Semiconductor ETF, the Nasdaq-100 Technology Sector Index and the Russell 2000 Index. If on any determination date from January 19, 2027 onward all three underliers are at or above their call thresholds (100% of initial levels), the notes are automatically redeemed for a fixed cash amount, rising over time and corresponding to about 15.50% per annum.
If not called, at maturity investors receive $1,775 per security if all final underlier levels are at or above their call thresholds, only $1,000 if all stay at or above 60% downside thresholds, and otherwise an amount that falls 1% for every 1% decline in the worst underlier, potentially zero. The estimated value on the pricing date is $957.10 per security, below the $1,000 issue price, and investors face both market risk and Morgan Stanley credit risk, with no listing and potentially limited liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Callable Contingent Income Securities maturing on January 18, 2029, in $1,000 denominations with an aggregate principal amount of $870,000. These notes pay a contingent coupon at an annual rate of 8.55%, but only when the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index are all at or above their coupon barrier levels (60% of their initial levels) on the relevant observation date.
Starting April 16, 2026, the issuer may redeem the notes on specified monthly dates if a risk-neutral valuation model indicates it is economically rational to do so, paying $1,000 plus any due coupon and ending future payments. At maturity, if any index is below its downside threshold (about 55% of its initial level), investors lose 1% of principal for each 1% decline of the worst-performing index, potentially down to zero. The estimated value on the pricing date is $983.90 per $1,000 note, the securities will not be listed on an exchange, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering $1,000,000 of S&P 500®-linked Buffered Jump Securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000, with an estimated value on the pricing date of $979.80 per security.
The notes may be automatically redeemed on January 22, 2027 for an early redemption payment of $1,092 per $1,000 if the S&P 500 closing level on January 19, 2027 is at or above the initial level of 6,977.27. If not called, the January 18, 2028 maturity payout depends on index performance: investors receive principal plus upside if the final level is above the initial level; principal only if the final level is at or above the 10% buffer level of 6,279.543; and a proportional loss beyond the buffer, down to a minimum of 10% of principal.
The securities pay no interest, are unsecured and unsubordinated obligations subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and may have limited secondary market liquidity. Investors bear structural risks including early redemption at a capped return, potential significant loss of principal, model-based pricing, and uncertain U.S. federal income tax treatment.
Morgan Stanley Finance LLC is offering Performance Leveraged Upside Securities (PLUS) tied to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley, maturing on May 5, 2027. Each $1,000 note pays no interest and offers 300% leveraged upside on any index gain, but returns are capped at a maximum payment of $1,138 per PLUS, or 113.80% of principal.
If the index is flat at maturity, investors simply receive $1,000. If the index falls, repayment is reduced one-for-one with the decline, with no minimum payment, so the entire investment can be lost. The notes are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on an exchange, so secondary liquidity may be limited.
The issue price embeds selling, structuring and hedging costs, so the estimated value on the January 30, 2026 pricing date is approximately $969.50 per PLUS. Investors effectively pay upfront fees, including a $17.50 sales commission and a $5 structuring fee per note, while Morgan Stanley and its affiliates may hedge and trade in related instruments in ways that can affect the index level and note value.
Morgan Stanley Finance LLC is issuing S&P 500®-linked Buffered Jump Securities with an auto-call feature, maturing on January 15, 2032. Each security has a stated principal amount of $1,000 and an issue price of $1,000, with a total aggregate principal of $3,740,000. The securities are fully and unconditionally guaranteed by Morgan Stanley but are principal-at-risk and pay no interest.
The notes may be automatically redeemed starting January 13, 2027 if the S&P 500® closing level is at or above the call threshold of 6,977.27, providing step-up early redemption payments from $1,080 to $1,400 per security. If held to maturity and not called, investors receive $1,480 per security if the final index level is at or above the call threshold, $1,000 if it is between the buffer level of 6,279.543 and the call threshold, and a reduced amount if the index falls below the buffer, with a minimum payment of 10% of principal.
The estimated value on the pricing date is $980.60 per security, reflecting issuance, structuring and hedging costs and the issuer’s internal funding rate. The notes will not be listed on any exchange, involve significant market and credit risk, and secondary market liquidity, if any, will depend largely on Morgan Stanley & Co. LLC.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering callable contingent income securities due January 18, 2029, linked to the worst performer of the S&P 500 Index, Nasdaq-100 Technology Sector Index and Russell 2000 Index. Each $1,000 note pays an 8.90% per annum contingent coupon only when all three indexes are at or above 70% of their initial levels on scheduled observation dates.
If the notes are not called and, at maturity, any index is below its 70% downside threshold, investors lose principal 1-for-1 with the decline of the worst-performing index, potentially losing the entire investment. The notes are callable in whole from July 16, 2026 onward if a risk-neutral valuation model indicates early redemption is economically rational for the issuer. The issue price is $1,000 per note, aggregate principal amount is $1,405,000, and the estimated value on the pricing date is $961.70 per note. The securities are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on any exchange.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, maturing on January 16, 2031. Each security has a $1,000 stated principal amount, with a total offering size of $1,000,000, and an issue price of $1,000 per security. The estimated value on the pricing date is $941.20 per security.
Investors may receive a contingent coupon at 13.85% per annum, paid on scheduled coupon dates only if the index closes at or above the coupon barrier level of 2,219.525 (70% of the initial level of 3,170.75). Missed coupons can be "remembered" and paid later if a future observation meets the barrier. The notes are auto-callable quarterly starting July 13, 2026 if the index is at or above the call threshold of 3,170.75, returning principal plus due coupons.
If not called, and on the final observation date the index is at or above the downside threshold of 1,585.375 (50% of initial), investors receive full principal plus any payable coupons. If the final level is below this threshold, repayment is reduced in line with the index decline, and the maturity payment can be significantly less than $1,000 or zero. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley.
Morgan Stanley Finance LLC is offering principal-at-risk, callable contingent income securities due February 1, 2029, fully and unconditionally guaranteed by Morgan Stanley. These $1,000-denomination notes pay a 9.10% per annum contingent coupon only if, on each observation date, the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index are all at or above their coupon barrier levels set at 70% of their initial levels.
Beginning July 30, 2026, the notes are callable in whole on specified redemption dates if an internal risk-neutral valuation model indicates it is economically rational for Morgan Stanley to redeem. If not called, and at maturity all three indices are at or above their 70% downside thresholds, investors receive the full principal plus any final coupon; if any index finishes below its threshold, repayment is reduced one-for-one with the decline of the worst-performing index and can fall to zero.
The notes are unsecured obligations of MSFL, guaranteed by Morgan Stanley, carry an estimated value of approximately $958.70 per $1,000 on the pricing date, will not be listed on any exchange and may have limited secondary liquidity. Investors face issuer credit risk, the possibility of receiving few or no coupons, early redemption risk, complex U.S. tax treatment and sector and small-cap exposure through the underlying indices.