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 Trigger PLUS notes due November 15, 2030, linked to the worst performer of the STOXX® Europe 600 Index and the MSCI EAFE® Index. These unsecured, principal-at-risk securities pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if both indexes finish above their initial levels, investors receive $1,000 plus a leveraged upside payment equal to 229% of the worst performer’s gain. If either index is at or below its initial level but both stay at or above 75% of their initial levels, investors simply get back $1,000. If either index falls below 75% of its initial level, repayment is reduced 1% for each 1% decline in the worst-performing index, and the payout can fall to zero.
The securities will not be listed on any exchange, carry Morgan Stanley credit risk, and are designed for fee‑based advisory accounts. The estimated value on the pricing date is approximately $964.40 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is issuing $718,000 of principal-at-risk “Jump Securities” linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an estimated value of $957.50 on the pricing date.
The notes are automatically called on November 16, 2026 if the underlier closes at or above 3,037.10 on November 10, 2026, paying $1,250 per $1,000 and then terminating. If not called, at maturity in November 2030 investors receive the $1,000 principal plus a 350% participation in any index gain, par if the index is flat to down but not below 50% of the initial level, and a 1-for-1 loss if the index falls below that 50% downside threshold, which can result in a total loss.
Returns depend on Morgan Stanley’s credit and there is no interest, no principal protection and no exchange listing. The underlier itself includes a 4% per year decrement, uses leverage of up to 400% on E-mini S&P 500 futures and has limited live history, so its behavior may differ from the S&P 500® Index.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $493,000 of Jump Securities with an auto-callable feature linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index. Each security has a stated principal amount of $1,000 and an issue price of $1,000, with an estimated value on the pricing date of $983.10, reflecting embedded costs and the issuer’s internal funding rate.
The notes can be automatically redeemed on scheduled determination dates starting in November 2026 if all three indexes are at or above their call thresholds (100% of initial levels), paying early redemption amounts that correspond to about 12.85% per annum. If held to maturity in November 2028 and all indexes are at or above their call thresholds, investors receive $1,385.50 per security; if any index finishes below its downside threshold (70% of initial), repayment is reduced 1% for each 1% decline in the worst-performing index and can fall to zero. The securities pay no interest, are not principal protected, will not be listed on any exchange, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering $3,928,000 of Contingent Income Auto-Callable Securities due May 11, 2028, linked to the worst performer of the Nasdaq-100, S&P 500 and Russell 2000 indices and fully guaranteed by Morgan Stanley. Each $1,000 note pays a 10.20% annual contingent coupon only if all three indices are at or above their coupon barriers (80% of initial levels) on scheduled observation dates.
The notes can be automatically called on specified dates if all indices are at or above their call thresholds (100% of initial levels), returning principal plus the applicable coupon but ending any further payments. If held to maturity and any index finishes below its downside threshold (75% of its initial level), principal is reduced 1% for each 1% decline of the worst-performing index, potentially to zero. The estimated value on the pricing date is $970.20 per note, below the $1,000 issue price, reflecting embedded costs and Morgan Stanley’s internal funding rate. The securities are unsecured, not listed, and subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $2,517,000 of Trigger PLUS structured notes linked to the S&P 500® Futures Excess Return Index. Each security has a $1,000 stated principal amount and pays no interest.
At maturity in 2030, if the index is above its initial level of 550.88, investors receive $1,000 plus 185% of the index’s gain. If the index is at or below the initial level but at or above the downside threshold of 275.44 (50% of the initial level), investors receive only $1,000. If the index finishes below the threshold, repayment is reduced 1% for each 1% decline, with no minimum, so the entire investment can be lost. A hypothetical 10% index gain would pay $1,185, while an 85% decline would pay $150.
The notes are unsecured obligations subject to Morgan Stanley’s credit risk and will not be listed on an exchange, so liquidity may be limited. The estimated value on the pricing date is $982.50 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. The filing also highlights complex tax treatment and risks related to futures markets and index methodology changes.
Morgan Stanley Finance LLC is issuing Dual Directional Buffered PLUS structured notes, fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $342,000 and a denomination of $1,000 per note. The notes pay no interest and mature on November 13, 2029, with returns based on the worst performer among the S&P 500 Index, Nasdaq-100 Index and Dow Jones Industrial Average.
At maturity, investors gain 115% of any upside in the worst-performing index, or up to a 20% positive return if that index declines but stays above 80% of its initial level. If the worst-performing index falls below this 20% buffer, principal is lost one-for-one beyond the buffer, with a minimum payment of 20% of principal. The estimated value on the pricing date is $958.40 per note, reflecting embedded issuance, structuring and hedging costs, and investors are exposed to Morgan Stanley’s credit risk and limited secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk structured notes linked to the worst performer among the iShares U.S. Aerospace & Defense ETF, the Utilities Select Sector SPDR Fund and Southern Company stock. Each security has a $1,000 stated principal amount, total offering size of $665,000, and an annual contingent coupon of 9.00% that is paid only when all three underliers close at or above their coupon barrier levels on the relevant observation date.
The notes can be called in whole on specified redemption dates if a risk‑neutral valuation model indicates early redemption is economically rational for the issuer, in which case investors receive $1,000 plus any due coupon and no further payments. At maturity in 2030, if not redeemed and each underlier is at or above its downside threshold level (90% of its initial level), investors receive full principal, plus any final coupon. If any underlier finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst underlier, potentially to zero. The estimated value on the pricing date is $936.60 per security, below the $1,000 issue price.
Morgan Stanley Finance LLC is issuing principal-at-risk “Jump” securities due November 10, 2028, linked to the S&P 500® Futures Excess Return Index and fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $1,830,000 and an estimated value on the pricing date of $963.80 per security.
The notes automatically redeem on November 16, 2026 for $1,115 per security if the index on the first determination date is at or above the call threshold level of 550.88. If not called, at maturity investors receive enhanced upside at a 150% participation rate when the final index level exceeds the initial level of 550.88, full principal if the final level is at or above the downside threshold of 385.616, and a proportional loss of principal if the final level is below that threshold.
The securities pay no interest, are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and may have limited or no secondary market liquidity. Investors must be willing to risk a substantial loss, including a complete loss of principal, and to accept complex tax and valuation characteristics.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Buffered Performance Leveraged Upside Securities (Buffered PLUS) linked to the MSCI EAFE® Index. Each security has a $1,000 stated principal amount, with an aggregate principal of $1,916,000, and pays no interest.
At maturity on November 10, 2028, investors earn 200% of any index gain, but the total payout is capped at $1,300 per security (130% of principal). If the index is flat or down but no more than 20% below the initial level of 2,774.95, investors receive only their principal back. Below the 20% buffer, principal falls by 1.25% for every 1% additional index loss, with no minimum payment, so the entire investment can be lost.
The securities are unsecured and subject to Morgan Stanley’s credit risk. They will not be listed on an exchange, and secondary trading, if any, may be limited. The estimated value on the pricing date is $967.90 per security, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing callable contingent income securities due November 10, 2028 tied to the worst performing of the S&P 500, Dow Jones Industrial Average and Nasdaq‑100. Each security has a $1,000 stated principal amount, with a total offering of $13,178,000 at par, and an estimated value on the pricing date of $988.40.
Investors may receive a 9.80% per annum contingent coupon, but only when the closing level of each index on an observation date is at or above its coupon barrier, set at 75% of the initial level for each index. Principal repayment at maturity is also contingent: if the worst index stays at or above its downside threshold (also 75% of initial), principal is returned; if any index finishes below its threshold, investors lose 1% of principal for each 1% decline in the worst index, potentially losing their entire investment.
The notes can be redeemed early, in whole, on specified redemption dates if a risk‑neutral valuation model indicates that redemption is economically rational for the issuer, ending all future coupons and principal exposure. The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange and may have limited or no secondary market liquidity.