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 is issuing S&P 500®-linked Dual Directional Buffered Participation Securities, fully guaranteed by Morgan Stanley, with a stated principal of $1,000 per security and an aggregate principal amount of $7,050,000. The notes pay no interest and mature on March 16, 2027.
At maturity, investors receive upside linked 1:1 to S&P 500® gains, capped at a maximum payment of $1,088 per security (108.80% of principal). If the index is down but not below 85% of its initial level, investors earn a positive “absolute return” up to 15%.
If the final index level is below 85% of the initial 6,941.47 level, investors lose 1% of principal for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal. The notes are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on any exchange. The estimated value on the pricing date is $989.70 per security, below the $1,000 issue price due to embedded costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is issuing Buffered PLUS structured notes linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, with $1,151,000 total principal and matures on March 16, 2027.
The notes pay no interest. If the index rises, holders receive leveraged upside of 110% of the index gain, capped at a maximum payment of $1,126 per security (112.60% of principal). If the index ends between 90% and 100% of the initial level, investors receive only principal back. Below 90%, investors lose 1% of principal for each 1% further decline, but never less than 10% of principal.
The initial index level is 6,941.47 and the buffer level is 6,247.323. 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 $987.10 per security, reflecting issuance, structuring and hedging costs borne by investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk “Jump Securities” due February 23, 2029 linked to the worst performer of the S&P 500® Index, Nasdaq-100 Index® and Russell 2000® Index.
The notes may be automatically redeemed on scheduled determination dates starting in February 2027 if each index is at or above its call threshold (100% of its initial level). In that case, investors receive an early redemption payment that implies about 15.40% per annum, such as $1,154, $1,231, $1,308 or $1,385 per $1,000 depending on the call date.
If the notes are not called and at maturity all three indexes are at or above their call thresholds, investors receive a fixed $1,462 per $1,000. If at least one index is below its call threshold but all are at or above 70% of their initial levels, only principal is returned. If any index finishes below 70%, investors lose 1% of principal for each 1% decline in the worst-performing index, with a potential total loss.
The estimated value on the pricing date is expected to be about $982.30 per $1,000, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. The securities pay no interest, do not participate in any index upside, are unsecured obligations subject to Morgan Stanley’s credit risk, are not listed on any exchange and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities linked to Conagra Brands, Inc. stock with an aggregate principal amount of $1,023,000 and a stated principal of $1,000 per security. The notes pay an 11.25% annual contingent coupon only when the stock closes at or above the $15.616 coupon barrier on scheduled observation dates. The notes may be automatically redeemed starting August 11, 2026 if the stock is at or above the $20.02 call threshold, returning principal plus the contingent coupon. If not redeemed and the final stock level is below the downside threshold of $15.616, investors lose 1% of principal for each 1% decline in the stock and can lose their entire investment. The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the pricing date of $961.20 per $1,000 note, reflecting issuance, selling, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering contingent income, auto-callable, principal-at-risk securities linked to Eli Lilly common stock, maturing on March 2, 2027. Each security has a $1,000 stated principal amount and an issue price of $1,000, with an estimated value of approximately $980.80.
The notes pay a contingent coupon at an annual rate of 11.24%, but only if Eli Lilly’s share price on the relevant observation date is at or above the coupon barrier of $778.703, equal to 75% of the initial level of $1,038.27. Missed coupons can be paid later if the barrier is met on a future observation date.
The notes are automatically redeemed if, on any redemption determination date, the stock closes at or above the call threshold of $1,038.27. If held to maturity and not called, investors receive full principal back only if the final share price is at or above the buffer level of $778.703. Below that level, maturity payment is reduced by 1.3333% of principal for each 1% decline beyond the 25% buffer, with no minimum payment, so the entire investment can be lost. All payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes linked to the worst performer of the iShares Expanded Tech-Software Sector ETF (IGV) and the State Street Energy Select Sector SPDR ETF (XLE), fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of about $947.90 due to embedded costs and internal funding assumptions.
The notes feature an automatic early redemption from August 2026, paying step-up amounts that correspond to roughly 15.75% per annum if on a determination date both ETFs are at or above their applicable call threshold. If held to February 2029 and not called, investors receive $1,472.50 per security only if both final ETF levels are at or above 90% of initial levels, or merely principal back if both stay at or above 70% but one falls below the 90% upside threshold.
If at maturity either ETF finishes below 70% of its initial level, repayment is reduced dollar-for-dollar with the decline in the worst-performing ETF, potentially to zero. The structure offers no dividends or interest and no participation in upside beyond the fixed capped return, and all payments depend on Morgan Stanley’s credit. The notes are not listed and secondary market liquidity is uncertain.
Morgan Stanley Finance LLC is offering principal-at-risk contingent income securities due February 25, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and is linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index.
Investors may receive a 13.00% per annum contingent coupon, paid only if on each observation date the index closing level is at or above a coupon barrier set at 50% of the initial level. If the final index level at maturity is at or above a downside threshold set at 70% of the initial level, investors receive full principal back (plus any final contingent coupon). If the final level is below this threshold, repayment is reduced in proportion to the index decline, and the amount due can fall to zero.
The pricing supplement highlights that the securities’ original issue price of $1,000 includes issuing, selling, structuring and hedging costs, so the estimated value on the pricing date is lower, at approximately $872.80 per security. The underlying index is rules-based, volatility-targeted, uses leverage at times, applies a 4.0% per annum daily decrement and has limited actual performance history, all of which add to risk. All payments are subject to Morgan Stanley’s credit risk, and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC is offering $360,000 of Dual Directional Trigger Jump Securities, priced at $1,000 per security, linked to the S&P 500® Futures Excess Return Index and maturing on February 14, 2031. These principal-at-risk notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if the final index level is at or above the initial level of 562.82, investors receive principal plus the greater of the index gain or a fixed $470 upside payment (47%). If the index is below the initial level but at or above 70% of it, investors receive principal plus a positive return matching the absolute percentage decline, effectively capped at a 30% gain.
If the final level falls below 70% of the initial level, investors lose 1% of principal for each 1% index decline, up to a total loss. The securities are unsecured, will not be listed on any exchange, and all payments depend on Morgan Stanley’s credit. The estimated value on the pricing date is $939.60 per security, lower than the issue price due to issuance, selling, structuring and hedging costs and an internal funding rate favorable to the issuer.
Morgan Stanley Finance LLC is offering Trigger PLUS structured notes linked to a basket of the S&P 500, EURO STOXX 50 and Russell 2000 indexes, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and pays no interest.
At maturity in February 2031, investors receive leveraged upside if the basket performance factor is positive, using a leverage factor of 110%. If the basket performance factor is zero or negative but above or equal to the –30% downside trigger, only principal is returned. Below the trigger, investors lose 1% of principal for each 1% decline, with no minimum payment.
The basket weights are set on the observation date, with the best- and second-best-performing indexes each weighted 40% and the worst 20%. The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and have an estimated value on the pricing date of approximately $974.20 per security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk notes linked to the iShares Expanded Tech-Software Sector ETF, maturing on May 13, 2027. The notes pay no interest and all payments depend on Morgan Stanley’s credit.
For each $1,000 note, if the ETF’s final level is at least 90% of the $83.23 initial level, investors receive a fixed maximum settlement of $1,187.50 (118.75% of face value. If the ETF falls more than 10%, repayment declines with losses and investors can lose their entire investment.
The price to the public is $1,000 per note, including $9.10 in selling commissions, with estimated value on the trade date of about $978.40. The notes will not be listed on an exchange, may have limited liquidity and are sensitive to ETF volatility, market conditions and issuer credit spreads.