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 offering $500,000 aggregate principal of contingent-income, memory-buffered, auto-callable notes tied to Palo Alto Networks common stock. Each security has a $1,000 stated principal amount and an issue price of $1,000.
The securities pay a contingent coupon at an annual rate of 16.00% on observation dates when the closing level is at or above the coupon barrier ($132.04, 80% of the initial level). They are automatically redeemed if the closing level on a redemption determination date is at or above the call threshold ($165.05), with early redemption no earlier than June 8, 2026 (first determination date) and maturity on September 11, 2026.
At maturity, if the final level is below the buffer ($132.04, 80% of initial), investors suffer losses equal to the underlier percent decline beyond the 20% buffer multiplied by a 1.25 downside factor; there is no minimum payment. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC offers principal-at-risk notes due September 14, 2028 guaranteed by Morgan Stanley linked to the worst performing of the Dow Jones Industrial Average and Microsoft Corporation common stock. The securities pay a fixed coupon at an annual rate of 9.50% monthly and repay principal at maturity only if both underliers finish at or above their downside thresholds.
If the final level of either underlier is below its downside threshold (70% of its initial level), payment at maturity equals the stated principal amount multiplied by the performance factor of the worst performing underlier; investors can lose a significant portion or all principal. Strike date was March 10, 2026, pricing date March 11, 2026, original issue date March 16, 2026, observation date September 11, 2028 (subject to postponement).
Morgan Stanley Finance LLC offers principal-at-risk, auto-callable securities linked to the worst performing of NVIDIA Corporation and Microsoft Corporation common stock. Each security has a $1,000 stated principal amount and an original issue price of $1,000. The securities may be automatically redeemed on the first determination date of March 17, 2027 for an early redemption payment of $1,520 if each underlier meets its call threshold (NVDA initial level $184.77; MSFT initial level $405.76). Final determination date is March 12, 2029 with maturity on March 15, 2029. At maturity, holders may receive: (a) principal plus an upside payment if both final levels exceed their initials; (b) only principal if both final levels are at or above their downside thresholds (90% of initial levels); or (c) a loss proportional to the decline of the worst performing underlier if that underlier is below its downside threshold, which could result in a total loss. Participation rate is 150%. All payments are subject to Morgan Stanley Finance LLC’s and Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC offers $2,660,000 of Principal-at-Risk structured notes due March 9, 2028 fully and unconditionally guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security and an estimated value on the pricing date of $969.60.
The notes reference a four-stock basket (APO, BX, ARES, KKR), feature an automatic early redemption on the first determination date (March 19, 2027) at a fixed early redemption payment of $1,230, a 150% participation rate, an upside payment of $460, a 15% buffer and a downside factor of 1.1765. Final determination is on March 6, 2028.
Morgan Stanley Finance LLC is offering principal-at-risk notes linked to the State Street Energy Select Sector SPDR ETF (XLE) with a stated principal amount of $1,000 per security. The securities mature on April 15, 2027 and do not pay interest.
Key payout terms: initial level $55.60 (strike date March 10, 2026); a 28% buffer amount (buffer level $40.032); upside participation rate 100% capped at a maximum upside payment of $1,008; minimum payment at maturity of 28% of principal. The securities are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC priced Principal-at-Risk notes linked to the S&P 500® Index with a $1,000 stated principal amount per security and an aggregate principal amount of $1,200,000. The securities pay a contingent coupon at an annual rate of 10.00% on specified observation dates only if the underlier meets the coupon barrier level; they feature automatic early redemption if the index meets the call threshold on any redemption determination date. At maturity, if the final level is below the downside threshold (80% of the initial level), repayment equals the stated principal multiplied by the performance factor and could be significantly less than principal or zero. All payments are unsecured and subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes due March 25, 2031 that are fully and unconditionally guaranteed by Morgan Stanley. The notes reference the worst performing of the XLE Fund, the NDXT Index and the KRE Fund, include an automatic early redemption feature, and have a stated issue price of $1,000 per security.
The notes pay no regular interest, have a participation rate of 125% for upside on the worst performing underlier, an early redemption payment of $1,790 (first determination date March 27, 2028), and a downside threshold equal to 50% of each initial level. The issuer estimated the securities' value on the pricing date at approximately $918.70 per security.
Morgan Stanley Finance LLC priced $4,405,000 of Principal at Risk structured notes due March 10, 2031, fully guaranteed by Morgan Stanley. The notes pay a contingent coupon at an annual rate of 10.85% on specified observation dates and are automatically redeemable beginning with the first redemption determination date on March 10, 2027 if the underlier meets the call threshold.
Payments at maturity depend on the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index: if the final level is at or above 60% of the initial level (the downside threshold), investors receive principal; if below 60%, principal is reduced pro rata to the index performance and could be zero. All payments are subject to Morgan Stanley's credit risk and the securities do not participate in upside beyond the contingent coupons.
Morgan Stanley Finance LLC amends Pricing Supplement No. 13,628 relating to structured, principal-at-risk securities due January 31, 2031, fully and unconditionally guaranteed by Morgan Stanley.
The offering registers an aggregate principal amount of $1,728,000 in securities with a stated principal amount of $1,000 per security and an estimated value on the pricing date of $985.40 per security. The notes are linked to the worst performing of the Dow Jones Industrial Average, S&P 500® and Russell 2000® and feature automatic early redemption beginning on the first determination date, February 2, 2027, with specified early redemption payments and a final maturity payment schedule that can return $1,480, $1,000, or a reduced principal tied to the worst performing underlier down to zero.
Morgan Stanley Finance LLC is offering principal-at-risk auto-callable securities linked to the worst performing of the S&P 500® Index and the VanEck® Gold Miners ETF. The offering aggregates $1,010,000 at an issue price of $1,000 per security and an estimated value on the pricing date of $954.80. The securities pay a contingent coupon at an annual rate of 13.80% only if both underliers meet coupon barrier tests on observation dates, and are subject to automatic early redemption if both underliers meet call thresholds on redemption determination dates. Coupon barrier levels are 70% of initial levels and downside threshold levels are 60% of initial levels. If at maturity the worst performing underlier is below its downside threshold, investors suffer proportional principal loss; payments may be significantly less than principal or zero. All payments are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley; payments remain subject to issuer credit risk.