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 principal-at-risk “jump” securities due January 25, 2029, linked to the worst performer of the Nasdaq-100 Technology Sector Index, the S&P 500 Index and the Russell 2000 Index. The notes may be automatically redeemed on scheduled determination dates starting January 29, 2027 if all three indices are at or above their call thresholds, paying an early redemption amount that targets roughly a 14.60% per annum return.
If the notes are not called and, on the final observation date, all three indices are at or above their upside thresholds, investors receive a fixed $1,438 per $1,000 note; if all are at or above their downside thresholds, only principal is repaid. If any index finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst index and can fall to zero. The estimated value on the pricing date is approximately $976.80 per note, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering leveraged buffered notes linked to the S&P 500® Index. The notes pay no interest and return at maturity depends on index performance over roughly 27–30 months. If the index rises, holders get 160% of the index gain, capped at a Maximum Settlement Amount expected between $1,224.96 and $1,264.48 per $1,000. If the index falls by up to 15%, principal is returned, but beyond a 15% drop losses increase at a buffer rate of about 117.65%, and all principal can be lost. The estimated value on the trade date is about $996 per note, reflecting issuance, structuring and hedging costs. The notes are unsecured, not listed on an exchange, and their value and payment are subject to Morgan Stanley’s credit risk and limited 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 27, 2031. Each note has a $1,000 stated principal amount and is linked to the Dow Jones Industrial Average, the Nasdaq-100 Technology Sector Index and the Russell 2000 Index, based on the worst-performing index.
The notes may be automatically redeemed on scheduled determination dates if each index is at or above its call threshold, paying an early redemption amount that targets roughly 10.20% per annum (for example, $1,102.00 to $1,501.50 per $1,000 depending on call date). If held to maturity and all final index levels meet their call thresholds, investors receive $1,510.00; if all stay above downside thresholds but not all meet call thresholds, only principal is returned. If any index finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst index, potentially to zero.
The preliminary estimated value on the pricing date is approximately $941.40 per $1,000 note, reflecting issuer costs and an internal funding rate. The securities pay no interest, are unsecured obligations subject to Morgan Stanley’s credit risk, are not listed on any exchange and embed additional risks tied to technology and small‑cap equity exposure and uncertain U.S. tax treatment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk, contingent income auto-callable securities due January 26, 2029 linked to the worst performer of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Futures Excess Return Index. The notes pay a 12.00% annual contingent coupon only when all three indexes are at or above their barrier levels on scheduled observation dates and may be automatically redeemed early if all three meet call thresholds on specified redemption determination dates.
If not called, investors receive full principal at maturity only if each index finishes at or above its downside threshold; otherwise, repayment is reduced 1% for every 1% decline in the worst-performing index, and the payment can be zero. The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $984.40, reflecting offering and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC is offering principal-at-risk jump securities with an auto-call feature, linked to the worst performer of NVIDIA, Palantir Technologies class A, and Broadcom common stock. Each security has a stated principal of $1,000 and an original issue price of $1,000, with an estimated value on the pricing date of approximately $970.60.
The notes can be automatically redeemed on scheduled determination dates if each stock is at or above its call threshold, paying increasing fixed early redemption amounts (for example, $1,577 on the first call date, up to $2,586.75 on the eighth). If held to maturity and each stock is at or above its call threshold, investors receive $2,731 per security; if any stock falls below its downside threshold, repayment is reduced in full proportion to the worst stock’s decline and can go to zero.
The securities pay no coupons or dividends, offer no participation in stock appreciation, are unsecured obligations of MSFL fully and unconditionally guaranteed by Morgan Stanley, will not be listed on any exchange, and expose investors to both market risk on the underliers and the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering Trigger Performance Leveraged Upside Securities linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and pays no interest.
At maturity on January 30, 2031, if the index is above its initial level, investors receive $1,000 plus a leveraged upside payment equal to 195% of the index gain. If the index is at or below the initial level but not below 75% of that level, investors receive only the $1,000 principal. If the index finishes below 75% of the initial level, repayment is reduced 1% for each 1% index decline, and the payout can fall to zero.
The securities are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on any exchange and had an estimated value on the pricing date of approximately $944.90 per $1,000 security, reflecting issuing, selling, structuring and hedging costs borne by investors.
Morgan Stanley Finance LLC is offering Performance Leveraged Upside Securities (PLUS) linked to the iShares MSCI EAFE ETF, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and does not guarantee return of principal.
At maturity in January 2031, investors receive $1,000 plus 136% of any positive ETF performance, but lose 1% of principal for every 1% decline with no minimum payment, so the payout can fall to zero. The estimated value on the pricing date is approximately $959.60 per $1,000, reflecting issuing, selling, structuring and hedging costs and an internal funding rate advantageous to the issuer.
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. The filing highlights market, liquidity, tax and conflict-of-interest risks, and notes that investing in the PLUS is not the same as investing directly in the EAFE ETF.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Enhanced Trigger Jump Securities due February 26, 2027, linked to the worst performer of the S&P 500 Index, Russell 2000 Index and State Street Energy Select Sector SPDR ETF.
The notes pay no interest and are issued at $1,000 each. At maturity, if the final level of each underlier is at or above its downside threshold level (70% of its initial level), investors receive $1,000 plus a fixed digital payment of $97
The estimated value on the pricing date is approximately $982.50 per security, reflecting issuer costs and an internal funding rate. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange and may have limited secondary liquidity. Risks highlighted include market volatility, small-cap exposure through the Russell 2000, energy-sector concentration via the ETF, potential adverse tax treatment and conflicts of interest from affiliated hedging and calculation activities.
Morgan Stanley Finance LLC is offering Dual Directional Trigger PLUS notes due February 2, 2029, linked to the worst performer of the iShares Bitcoin Trust ETF and the S&P 500 Index. The notes pay no interest and do not guarantee any principal repayment.
At maturity, if both underliers finish above their initial levels, investors receive $1,000 per note plus a leveraged upside payment based on 300% of the worst performer’s gain. If the worst performer is down but not below 70% of its initial level, investors receive a positive “absolute return” on the decline, capped at a 30% gain. If either underlier finishes below its downside threshold, investors lose 1% of principal for each 1% decline in the worst performer, and repayment can be reduced to zero.
The estimated value on the pricing date is approximately $913.70 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and an internal funding rate. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, are not listed on any exchange, and expose investors to Morgan Stanley’s credit risk, bitcoin and digital asset risks, market volatility, limited liquidity and uncertain tax treatment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk jump securities with an auto-call feature linked to the worst performer of the State Street® Technology Select Sector SPDR® ETF, the iShares® MSCI EAFE ETF and the EURO STOXX 50® Index. Each security has a stated principal amount of $1,000 and no periodic interest payments.
The notes can be automatically redeemed on set determination dates starting January 29, 2027 if each underlier is at or above its call threshold, paying an early redemption amount that targets approximately 11.10% per annum, from $1,111.00 up to $1,527.25 per security over time. If held to January 27, 2031 and each underlier is at or above its call threshold, investors receive $1,555.00 per security; if any underlier breaches its downside threshold, repayment is reduced in proportion to the worst-performing underlier and can fall to zero. An estimated value of approximately $941.90 per security on the pricing date reflects embedded costs and an internal funding rate, and all payments are subject to Morgan Stanley’s credit risk.