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, fully guaranteed by Morgan Stanley, is offering Contingent Income Memory Buffered Auto-Callable Securities due January 16, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index.
Each security has a $1,000 stated principal amount and may pay a contingent coupon at an annual rate of 10.00% to 11.00%, but only when the index closes at or above a 70% coupon barrier on scheduled observation dates; missed coupons can be paid later if the barrier is met. The notes can be automatically redeemed starting January 12, 2027 if the index is at or above 100% of its initial level, returning principal plus due coupons.
At maturity, if the notes have not been auto-called and the index is at or above an 85% buffer level, investors receive full principal; below that, they lose 1% of principal per 1% index decline beyond the 15% buffer, with a minimum payment of 15% of principal. The estimated value on the pricing date is approximately $903.30 per $1,000 security, and investors face issuer credit risk, limited liquidity, complex tax treatment and the possibility of losing a significant portion of their investment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Enhanced Buffered Jump Securities linked to the S&P 500® Index that pay no interest and put principal at risk. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $986.40, reflecting issuing, selling, structuring and hedging costs borne by investors.
At maturity on January 7, 2027, if the S&P 500® final level is at or above the 85% buffer level, investors receive $1,000 plus an upside payment of at least $70 per security. If the final level falls below the buffer, investors lose about 1.1765% of principal for every 1% decline beyond the 15% buffer, with no minimum payment, so the entire investment can be lost. The securities are unsecured, will not be listed on any exchange, and their value and liquidity depend on Morgan Stanley’s credit and secondary market conditions.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities due January 3, 2028, linked to the common stock of Salesforce, Inc. Each security has a stated principal amount of $1,000 and is fully and unconditionally guaranteed by Morgan Stanley, but principal is at risk.
The notes pay a contingent coupon at an annual rate of 8.50% only if Salesforce’s closing level on an observation date is at or above a coupon barrier set at 65% of the initial level. The notes are automatically redeemed if, on a redemption determination date starting March 30, 2026, the stock closes at or above 100% of the initial level, paying principal plus the applicable coupon.
If the notes are not called and the final level is at or above the 65% downside threshold, investors receive principal back (plus any final coupon). If the final level is below the downside threshold, repayment is reduced 1% for every 1% decline in the stock, which can result in a total loss. The estimated value on the pricing date is approximately $965.30 per $1,000 note, and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Buffered Performance Leveraged Upside Securities linked to the iShares MSCI EAFE ETF, maturing on December 20, 2029. Each security has a stated principal amount of $1,000 and pays no interest. At maturity, if the ETF finishes above its initial level, holders receive $1,000 plus 150% of the fund’s gain, capped at a maximum payment of $1,677.50 per security. If the final level is between the initial level and the 85% buffer level, investors receive only their $1,000 principal. Below the buffer, principal is reduced 1% for each 1% decline beyond the 15% buffer, but not below a minimum of 15% of principal. The indicative estimated value on the pricing date is approximately $991.80 per security, reflecting embedded costs, and the notes will not be listed on an exchange, with secondary liquidity depending mainly on Morgan Stanley & Co.
Morgan Stanley Finance LLC is issuing $1,307,000 of Buffered PLUS, $1,000 principal-at-risk notes linked to the S&P 500® Futures Excess Return Index, maturing on December 17, 2030 and fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest and offer 173.50% leveraged upside if the index finishes above the initial level of 557.16. If the final level is between 80% and 100% of the initial level, investors receive only the $1,000 principal. Below the 80% buffer level of 445.728, principal is reduced 1% for every 1% additional index decline, with a minimum payment of 20% of principal; for example, a 95% index decline would return $250.
The estimated value on the pricing date is $964.20 per $1,000 note, lower than the issue price because it includes issuing, selling, structuring and hedging costs and reflects an internal funding rate. The notes will not be listed on an exchange, secondary liquidity may be limited, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, maturing on January 9, 2031. Investors receive a contingent coupon at an annual rate of 10.00% to 11.00% only when the index closes at or above a 70% coupon barrier on scheduled observation dates, with missed coupons potentially paid later if conditions are met.
The notes are auto-callable starting January 2027 if the index is at or above 100% of its initial level, returning principal plus the due coupon and any unpaid coupons, with no further payments afterward. At maturity, if not redeemed early, investors receive full principal only if the final index level is at or above an 85% buffer level; below that, principal is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal.
The estimated value on the pricing date is approximately $904.90 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. The securities are unsecured, subject to Morgan Stanley’s credit risk, not listed on any exchange and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC is offering fixed income buffered auto-callable securities due January 9, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index and fully guaranteed by Morgan Stanley. The notes are unsecured, principal-at-risk obligations issued at $1,000 per security.
The securities pay a fixed coupon between 6.85% and 7.85% per year, with monthly coupon payments, and may be automatically redeemed starting January 2027 if the index closes at or above 100% of its initial level, returning principal plus the coupon for that period. If held to maturity and the final index level is at or above 85% of the initial level, investors receive full principal back; below that 15% buffer, principal is reduced 1% for each 1% decline beyond the buffer, but not below 15% of principal. The estimated value on the pricing date is about $924.10 per $1,000 security, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering S&P 500®-linked Buffered Participation Securities maturing on December 16, 2027. Each note has a $1,000 stated principal amount, with a total offering size of $1.508 million, and is fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest. At maturity, investors get their principal plus 100% of any S&P 500® gain, but returns are capped at a maximum payment of $1,156 per security (115.60% of principal). A 20% downside buffer applies: if the index ends between 80% and 100% of its initial level of 6,827.41, principal is returned; below 80%, investors lose 1% of principal for each 1% further decline, but not less than 20% of principal.
The estimated value on the pricing date is $968.80 per security, reflecting issuance, selling, structuring and hedging costs and the issuer’s internal funding rate. The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Buffered Jump Securities with an auto-call feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, maturing on January 9, 2031. The notes do not pay interest and may be automatically redeemed as early as January 11, 2027 if the index closes at or above a call threshold level, with early redemption payments designed to correspond to approximately 17.10% to 18.10% per annum. If held to maturity and not called, investors receive a fixed positive return of $1,855.00 to $1,905.00 per $1,000 security if the final index level is at or above the call threshold, only principal back if the final level is between the buffer level and the threshold, and a loss of 1% for each 1% decline below the 15% buffer, subject to a minimum payment of 15% of principal. The estimated value on the pricing date is approximately $907.00 per $1,000 security, reflecting structuring and hedging costs and Morgan Stanley’s internal funding rate. All payments depend on Morgan Stanley’s credit and the securities will not be listed on any exchange.
Morgan Stanley Finance LLC is offering Buffered Jump Securities with an auto-callable feature due January 16, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index and fully guaranteed by Morgan Stanley.
Each $1,000 principal-at-risk note pays no interest and may be automatically redeemed starting January 13, 2027 if the index closes at or above 90% of its initial level, for cash payments that imply about 12.30% to 13.30% per annum depending on the call date.
If the notes are not called, maturity repayment depends on the final index level: investors receive $1,615.00 to $1,665.00 per security if the index is at or above the call threshold, only principal back if it is at or above an 85% buffer level, and a 1% loss of principal for each 1% decline beyond the 15% buffer, subject to a minimum payout of 15% of principal.
The estimated value on the pricing date is approximately $905.50 per $1,000 note, reflecting issuance, structuring and hedging costs and an internal funding rate. The securities are unsecured, not listed on any exchange, and carry market, index, liquidity, tax and Morgan Stanley credit risks, including the possibility of losing a significant portion of the investment.