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 director reports deferred stock unit grant tied to service on the company’s board. On 12/01/2025, the director acquired 429.612 shares of Morgan Stanley common stock in the form of deferred stock units at a price of $168.757 per share. These units were granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers for board service and are convertible into common stock on a 1-to-1 basis.
Following this grant, the director beneficially owns 45,137.158 shares of Morgan Stanley common stock in direct form. The filing reflects a routine equity-based compensation transaction for a board member rather than an open-market purchase or sale.
Morgan Stanley director reports deferred stock unit grant
A Morgan Stanley director filed a Form 4 reporting an award of 227.151 deferred stock units of Morgan Stanley common stock on 12/01/2025. The units were acquired at a price of $168.757 per share and increased the director’s beneficial ownership to 1,895.761 shares held directly.
The filing explains that these deferred stock units were granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers for serving on the Board of Directors. Each stock unit is convertible into one share of Morgan Stanley common stock.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $10,671,000 of Dual Directional Buffered Jump Securities linked to the Tokyo Stock Price Index (TOPIX), maturing on December 2, 2027. Each security has a $1,000 stated principal amount and is sold at $1,000, with an estimated value on the pricing date of $962.40.
The notes pay no interest and are principal at risk. If on the first determination date (December 7, 2026) TOPIX is at or above the initial index value of 3,378.44, the notes are automatically redeemed for $1,109.50 per security and terminate. If held to maturity and TOPIX is at or above the initial value, investors receive principal plus 150% of the index gain. If TOPIX is below the initial value but no more than 10% lower, investors receive a positive return equal to the absolute index move, capped at 10%. Below that 10% buffer, losses match the decline beyond the buffer, with a minimum maturity payment of $100 per security, meaning up to 90% of principal can be lost.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Buffered PLUS notes linked to the S&P 500® Futures Excess Return Index, with a stated principal of $1,000 per security and an aggregate principal amount of $370,000. The notes pay no interest and mature on December 3, 2031.
At maturity, if the index is above its initial level of 559.51, investors receive principal plus 167.75% of the index gain. If the index is flat or down but not below 75% of the initial level, investors receive only their principal. If the index falls more than 25%, principal is reduced one-for-one beyond that buffer, with a minimum payment of 25% of principal.
The securities are unsecured, 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 $941.40 per security, below the issue price, reflecting structuring and distribution costs.
Morgan Stanley Finance LLC is issuing contingent income auto-callable securities linked to General Mills, Inc. (GIS) common stock, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, with an aggregate principal of $1,109,000, and pays a 10.35% per annum contingent coupon only when the stock closes at or above the $33.145 coupon barrier on the relevant observation date.
The notes may be automatically redeemed on scheduled determination dates if GIS closes at or above the $47.35 call threshold, returning principal plus the applicable coupon and ending further payments. If held to maturity on December 2, 2027 and not previously redeemed, investors receive full principal only if the final level is at or above the $33.145 downside threshold. Below that level, repayment is reduced in proportion to the stock’s decline and can fall to zero. The initial estimated value on the pricing date is $965.80 per $1,000, reflecting issuance, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, is offering principal-at-risk contingent income auto-callable securities linked to the VanEck® Gold Miners ETF. Each $1,000 note can pay a contingent coupon at an annual rate of 10.50%, but only when the ETF’s closing level on an observation date is at or above a barrier set at 65% of the initial level.
The notes can be automatically redeemed quarterly starting June 22, 2026 if the ETF is at or above 100% of its initial level, paying back principal plus the applicable coupon and ending the investment. If held to June 24, 2027 and the final level is below the downside threshold (65% of the initial level), investors lose 1% of principal for each 1% decline in the ETF and could lose their entire investment. The estimated value on the pricing date is expected to be about $955 per $1,000 note, they will not be listed on an exchange, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering Trigger PLUS structured notes due December 23, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000, pays no interest and does not guarantee any return of principal.
The notes are linked to the worst performer of the S&P 500 Index and the Dow Jones Industrial Average. If the final level of each index is above its initial level, investors receive principal plus a leveraged upside payment based on a leverage factor between 120% and 130%. If the worst index finishes between 75% and 100% of its initial level, investors receive only principal. If either index ends below its downside threshold of 75% of its initial level, repayment is reduced 1% for each 1% decline in the worst index, and the payout can fall to zero. The estimated value on the pricing date is approximately $931.10 per security, reflecting issuance, structuring and hedging costs borne by investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk contingent income auto-callable securities due November 30, 2028 linked to the common stock of Apple Inc.
Each security has a $1,000 stated principal amount and pays a contingent coupon at an annual rate of 8.00%, but only if Apple’s closing price on the relevant observation date is at or above the coupon barrier of $193.879, which is 70% of the initial level of $276.97. The same level serves as the downside threshold. The securities are subject to automatic early redemption if, on any redemption determination date starting May 26, 2026, Apple’s closing level is at or above the call threshold of $276.97, in which case investors receive principal plus the applicable contingent coupon and no further payments.
If the notes are not called and Apple’s final level is at or above the downside threshold, investors receive principal back plus any final contingent coupon. If the final level is below the downside threshold, repayment is reduced 1% for every 1% decline in Apple’s price, potentially resulting in a total loss of principal. The aggregate principal amount of the issuance is $1,038,000, and the estimated value on the pricing date is $967.10 per security, reflecting issuance, selling, structuring and hedging costs borne by investors. The securities are unsecured obligations, not listed on any exchange, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing principal-at-risk contingent income “memory” auto-callable securities linked to the common stock of Fiserv, Inc., fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and offers a contingent coupon at an annual rate of 11.83%, paid only if Fiserv’s closing level on the relevant observation date is at or above the coupon barrier of $30.38 (50% of the $60.76 initial level). Unpaid coupons can be paid later if the barrier is met.
The notes are automatically redeemed if, on any redemption determination date starting May 26, 2026, Fiserv closes at or above the call threshold of $60.76, paying principal plus the current and any previously unpaid coupons. If not called, and on the final observation date Fiserv is at or above the downside threshold of $30.38, investors receive full principal plus any due coupons; if it is below, the payoff is $1,000 × (final level / initial level), exposing investors to a full 1-for-1 downside, potentially losing their entire investment. The aggregate principal amount is $2,824,000, and the estimated value on the pricing date is $959.80 per security, reflecting issuance, selling, structuring and hedging costs. The notes are unsecured, not listed, subject to Morgan Stanley’s credit risk and carry complex tax and liquidity risks.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing callable contingent income securities due November 29, 2028, linked to the worst performing of the S&P 500, Nasdaq-100 Technology Sector and Russell 2000 indices. Each security has a $1,000 stated principal amount, for an aggregate principal of $353,000, and pays a contingent coupon at an annual rate of 9.00% only if all indices are at or above their coupon barrier levels (80% of initial) on each observation date.
If the notes are not called and any index finishes below its downside threshold (generally 70% of initial), investors lose 1% of principal for every 1% decline in the worst performer, up to a total loss. A risk neutral valuation model controls early redemption decisions, and the estimated value on the pricing date is $940 per security, below the $1,000 issue price. The notes carry Morgan Stanley credit risk, will not be listed on an exchange, may have limited liquidity, and feature complex tax and withholding considerations, especially for non-U.S. investors.