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 $3,156,200 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index® and the EURO STOXX 50® Index, maturing December 17, 2030 unless called earlier. Each $10 Security pays a 9.75% per annum contingent coupon (about $0.24375 quarterly) only if on an Observation Date both indices are at or above their Coupon Barriers, set at 70% of their Initial Underlying Values (17,637.71 for the Nasdaq-100 and 4,004.50 for the EURO STOXX 50).
Starting June 12, 2026, the notes are automatically called if both indices are at or above their Initial Underlying Values, in which case investors receive $10 plus the applicable coupon and the product terminates. If not called, and at final observation both indices are at or above their Downside Thresholds (equal to the Coupon Barriers), investors receive $10 plus the final coupon; otherwise, repayment is reduced one-for-one with the loss of the worst-performing index and could be zero.
The Securities are unsecured, unsubordinated debt of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the trade date of $9.931 per $10 issue price. They will not be listed on any exchange, may have limited liquidity, and expose investors to both market risk of the indices and the credit risk of Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $6,000,000 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index® and Russell 2000® Index, maturing on December 14, 2028. Each $10 note pays a contingent coupon at an annual rate of 8.40% (about $0.21 per quarter) only if, on a quarterly Observation Date, both indices close at or above their Coupon Barriers, set at 70% of their Initial Underlying Values (17,980.68 for the Nasdaq-100 and 1,813.424 for the Russell 2000). From June 11, 2026 onward, the notes are automatically called if both indices are at or above their initial levels, returning principal plus that quarter’s coupon with no further payments.
If the notes are not called and either index finishes below its Downside Threshold (also 70% of its initial level) on the Final Observation Date, repayment is reduced 1‑for‑1 with the decline in the least performing index, and investors can lose all principal. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and may trade below the $10 issue price; the estimated value on the trade date is $9.752 per note, reflecting embedded fees, internal funding rates and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $6,000,000 of Capped Buffer GEARS linked to the Russell 2000® Index, maturing on February 17, 2027. Each Security has a $10 principal amount and a 14‑month term.
At maturity, if the index is above its initial level, investors receive $10 plus 1.25 times the index gain, capped at a Maximum Gain of 15.00%, or $11.50 per Security. If the index is flat or down but no more than 10% below its initial level, investors receive their $10 principal. If the index has fallen more than 10%, repayment is reduced 1% for each 1% decline beyond the 10% buffer, with up to 90% loss of principal.
The Securities pay no interest or dividends, are unsecured obligations subject to Morgan Stanley’s credit risk, and will not be listed on an exchange. The estimated value on the trade date is $9.757 per Security versus the $10 issue price, reflecting issuing, selling, structuring and hedging costs and an internal funding rate.
Morgan Stanley Finance LLC is offering $600,000 of Dual Directional Buffered PLUS, principal-at-risk notes due December 15, 2028, fully and unconditionally guaranteed by Morgan Stanley. These securities pay no interest and return at maturity depends on the worst performing of the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index.
If that worst index ends above its initial level, holders receive $1,000 per security plus 103% of its gain. If it ends below its initial level but not below 80% of that level (the buffer), investors receive a positive return equal to the index’s percentage decline, capped at a 20% gain. If the worst index falls below the buffer, principal is reduced 1% for each 1% drop beyond 20%, with a minimum payment of 20% of principal.
The issue price is $1,000 per security, while the issuer’s estimated value on the pricing date is $964.30, reflecting embedded costs and an internal funding rate. The notes will not be listed on an exchange, may have limited liquidity, and are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing structured notes called Buffered PLUS, linked to the S&P 500 Futures Excess Return Index and guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, with a total offering of $2,702,000, and pays no interest.
At maturity in December 2031, holders receive $1,000 plus 207% of any index gain if the final index level is above the initial level of 557.16. If the index is flat or down but not below 85% of the initial level (the buffer), investors get back only the $1,000 principal. If the index falls below the buffer, principal is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal (for example, a 95% drop in the index would pay $200).
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 $963.30 per security, below the $1,000 issue price, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk “Jump Securities” linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, maturing on December 27, 2030. Each security has a $1,000 stated principal amount and pays no interest.
The notes can be automatically called starting December 24, 2026 if the index is at or above 84% of its initial level on a determination date, for fixed cash payments that start at $1,120 and step up to $1,590 per $1,000. If not called, and the final index level is at or above the 84% call threshold, investors receive $1,600 at maturity. If the final level is between 50% and 84% of the initial level, only principal is returned. Below 50%, repayment is reduced one-for-one with the index decline and can fall to zero.
The underlier uses leveraged E‑Mini S&P 500 futures exposure, targets 40% volatility and applies a 4.0% per annum decrement, which structurally drags performance. The index began on August 30, 2024; earlier data are hypothetical. The securities are unsecured, not listed on any exchange, subject to Morgan Stanley’s credit, and their estimated value on the pricing date is approximately $899.70 per $1,000.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $420,000 of principal-at-risk Buffered Jump Securities with an auto-call feature linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount and a five-year term maturing on December 17, 2030, with no periodic interest payments.
The notes may be automatically redeemed as early as December 2026 if the index closes at or above a 90% call threshold, paying scheduled early redemption amounts that target roughly 14.00% per annum. If held to maturity and not called, investors receive $1,700 per security if the final index level is at or above the call threshold, $1,000 if it is between the 80% buffer level and the threshold, and a loss of 1% of principal for each 1% decline beyond the 20% buffer, subject to a minimum payment of 20% of principal.
The securities are unsecured obligations with an estimated value on the pricing date of $923.80 per $1,000, reflecting embedded structuring and hedging costs and an internal funding rate advantageous to the issuer. They will not be listed on any exchange, secondary liquidity may be limited, and returns depend on the performance of a complex, leveraged, volatility-targeting index with a 4% per annum decrement and very limited live history.
Morgan Stanley Finance LLC is issuing Trigger PLUS structured notes linked to the iShares MSCI EAFE ETF, fully and unconditionally guaranteed by Morgan Stanley. The notes are issued at $1,000 per security, with an aggregate principal amount of $460,000, and mature on December 15, 2028.
The notes pay no interest and do not guarantee return of principal. If the ETF finishes above the initial level of $96.50, investors receive principal plus 129% of the ETF’s gain. If the final level is between 80% and 100% of the initial level, investors receive only principal. Below the $77.20 downside threshold, repayment is reduced 1% for each 1% decline, and losses can reach 100% of the investment.
The securities are unsecured and 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 $960.30 per security, below the issue price, reflecting structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $1,321,000 of Contingent Income Auto-Callable Securities due December 15, 2028 linked to the common stock of Danaher Corporation. Each security has a $1,000 principal amount and offers a contingent quarterly coupon at an annual rate of 10.75% (about $26.875 per quarter) only if Danaher’s stock on the relevant determination date is at or above the downside threshold price of $181.064, which is 80% of the $226.33 initial share price.
If on any of the first eleven determination dates Danaher’s stock is at or above the initial share price, the notes are automatically redeemed for the stated principal plus that period’s coupon, ending further payments. If the notes are not redeemed early and the final share price is at or above the downside threshold, investors receive principal plus the final coupon at maturity. If the final share price is below the downside threshold, repayment of principal is reduced one-for-one with the stock’s decline, and the maturity payment can be significantly less than principal or zero.
The notes are principal-at-risk, unsecured obligations, not listed on any exchange, and investors do not participate in any stock price appreciation or receive Danaher dividends. The original issue price of $1,000 per security exceeds the issuer’s estimated value of $965.40 on the pricing date, reflecting embedded costs and an internal funding rate that is favorable to the issuer.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering callable contingent income securities due December 28, 2028, linked to the worst performer of the S&P 500 Index, Nasdaq-100 Technology Sector Index and Russell 2000 Index. Each $1,000 security can pay a contingent coupon at an annual rate of 8.90%, but only if on each observation date all three indices are at or above their coupon barrier levels, set at 70% of their initial levels.
Beginning June 25, 2026, the notes may be redeemed early at par plus any due coupon if a risk neutral valuation model indicates that redemption is economically rational for the issuer. At maturity, if not redeemed and each index is at or above its downside threshold (also 70% of its initial level), investors receive $1,000 plus any final coupon. If any index finishes below its threshold, repayment is reduced 1% for every 1% decline in the worst-performing index, potentially to zero. The estimated value on the pricing date is approximately $960.20 per security, reflecting issuance, structuring and hedging costs and the issuer’s internal funding rate.