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 principal-at-risk Callable Contingent Income Buffered Securities due September 22, 2028, linked to the worst performer of the Dow Jones Industrial Average and the Technology Select Sector SPDR Fund. Each $1,000 note targets a 6.25% annual contingent coupon, paid only if on each observation date both underliers are at or above 80% of their initial levels; otherwise no coupon is paid for that period.
If the notes are not called and on the final observation date both underliers are at or above 75% of their initial levels, investors receive the full principal back, plus any final contingent coupon. If either underlier finishes below its 75% buffer level, principal is reduced 1% for every 1% decline of the worst performer beyond the 25% buffer, with a minimum payment of 25% of principal. The notes can be redeemed early, in whole but not in part, on scheduled redemption dates if a risk-neutral valuation model indicates it is economically rational for the issuer. The estimated value on the pricing date is approximately $966.30 per $1,000 note, and the securities are unsecured obligations subject to Morgan Stanley’s credit risk with no stock exchange listing and uncertain tax treatment.
Morgan Stanley Finance LLC is offering principal-at-risk "Jump Securities" with an auto-call feature linked to the worst performer of the Dow Jones Industrial Average, S&P 500 Index and Russell 2000 Index, fully and unconditionally guaranteed by Morgan Stanley.
Each $1,000 note can be automatically redeemed on scheduled dates starting in December 2026 if all three indexes are at or above their call thresholds, paying fixed early redemption amounts that correspond to an annual return of about 10.10%. If the notes are held to the December 21, 2028 maturity and all indexes finish at or above their call thresholds, investors receive $1,303 per note; if any index finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst-performing index, and the payment can fall to zero. The estimated value on the pricing date is approximately $958.90 per $1,000 note, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC is offering Enhanced Buffered Jump Securities due April 7, 2027, linked to the worst performer among the Russell 2000, S&P 500 and Nasdaq‑100. The notes pay no interest and are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, so repayment depends on Morgan Stanley’s credit.
At maturity, if the final level of each index is at or above 90% of its initial level, investors receive $1,000 principal plus a fixed upside payment of $169 per $1,000 note, a 16.90% gain, regardless of how much the indices rose. If any index finishes below 90% of its initial level, investors lose 1% of principal for each 1% decline of the worst index beyond the 10% buffer, with a minimum repayment of 10% of principal.
The preliminary estimated value on the pricing date is approximately $988.50 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and an internal funding rate that is likely lower than Morgan Stanley’s secondary market credit spreads. The notes will not be listed on an exchange, secondary liquidity may be limited, and their value can be affected by index volatility, interest rates, correlation between indices and changes in Morgan Stanley’s credit spreads.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering market-linked notes tied to the EURO STOXX 50® Index, maturing on December 16, 2030. The notes have a stated principal amount of $1,000 per note and an aggregate principal amount of $712,000.
The notes pay no interest. At maturity, investors receive $1,000 per note plus an upside payment if the index’s final level is above the initial level of 5,753.96, with a 104.75% participation in any positive index return. If the final level is at or below the initial level, investors receive only the $1,000 principal, so any return depends entirely on index appreciation.
The notes are unsecured obligations of MSFL, guaranteed by Morgan Stanley, and are subject to their credit risk. They will not be listed on any exchange, and secondary trading may be limited. The issue price is $1,000 per note, while the estimated value on the pricing date is $950.80, 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 Enhanced Trigger Jump Securities due December 16, 2030 linked to the EURO STOXX 50® Index. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $1,378,000. The notes pay no interest and do not guarantee any return of principal.
At maturity, if the index’s final level is at or above the downside threshold of 4,315.47 (75% of the initial level of 5,753.96), holders receive $1,000 plus the greater of participation in the index change or a fixed upside payment of $330 per security. If the final level is below the threshold, repayment is reduced 1% for every 1% decline in the index, with no minimum, so the amount can fall to zero.
The securities are unsecured obligations subject to Morgan Stanley’s credit risk and will not be listed on any exchange. The estimated value on the pricing date is $959.00 per security, below the $1,000 issue price, reflecting embedded costs and an internal funding rate, while dealers receive a $30 sales commission per security.
Morgan Stanley Finance LLC is offering dual directional buffered participation securities due December 23, 2027, linked to the S&P 500® Futures Excess Return Index and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and is a principal-at-risk note.
At maturity, investors get 100% of any index gain, capped by a maximum payment of $1,293 per security (129.30% of principal). If the index is down but not below 80% of its initial level, investors earn a positive return matching the absolute decline, up to about 20%. Below this 20% buffer, principal is lost 1% for each additional 1% index drop, with a minimum payment of 20% of principal.
These unsecured securities expose holders to Morgan Stanley credit risk, no listing and potentially limited secondary liquidity. The estimated value on the pricing date is expected to be approximately $985.10 per security, reflecting issuing, selling, structuring and hedging costs and an internal funding rate that is advantageous to the issuer.
Morgan Stanley Finance LLC is offering Trigger Autocallable Contingent Yield Notes tied to the least performing of the S&P 500®, Russell 2000® and EURO STOXX 50® indices, maturing on December 22, 2028. Each note has a $10 principal amount and pays a quarterly contingent coupon only if all three indices are at or above 70% of their initial levels on the relevant observation date. The indicative contingent coupon rate is 8.20% to 8.60% per year, or about $0.205 to $0.215 per quarter per note when conditions are met.
Starting March 19, 2026, the notes are automatically called if all three indices are at or above their initial levels, in which case investors receive $10 plus the coupon and the investment ends. If the notes are not called and, at maturity, any index is below 70% of its initial level, repayment is reduced in line with the worst-performing index, down to a possible total loss of principal. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated initial value of about $9.717 per $10 note.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk, leveraged notes linked to a weighted basket of five equity indices: EURO STOXX 50® (38%), Tokyo Stock Price Index (26%), FTSE® 100 (17%), Swiss Market Index® (11%) and S&P®/ASX 200 (8%). The notes have a Face Amount of $1,000, pay no interest and are unsecured obligations.
At maturity, expected about 19 to 22 months after the trade date, investors receive $1,000 plus or minus the basket’s performance. If the basket return is positive, the payoff equals $1,000 plus 144.00%–169.00% of the basket gain. If the basket return is zero or negative, investors participate 1:1 in losses and can lose their entire investment.
The estimated value on the trade date is approximately $975.70 per note, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. The notes will not be listed, secondary liquidity may be limited, and returns depend on both basket performance and Morgan Stanley’s creditworthiness.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Callable Contingent Income Securities due September 23, 2027, linked to the worst performer of the Energy Select Sector SPDR Fund (XLE), Utilities Select Sector SPDR Fund (XLU) and Real Estate Select Sector SPDR Fund (XLRE).
The notes pay a contingent coupon of 11.35% per annum only if on each observation date all three funds close at or above a coupon barrier set at 70% of their initial levels; otherwise no interest is paid for that period. The downside threshold for principal is also 70% of each initial level. If the notes are not redeemed early and any fund finishes below its downside threshold at maturity, investors lose 1% of principal for every 1% decline in the worst-performing fund, up to a total loss.
The securities are callable in whole, but not in part, on scheduled redemption dates starting March 23, 2026, if a risk-neutral valuation model deems early redemption economically rational for the issuer. The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $986.50, reflecting issuing, selling, structuring and hedging costs. The notes will not be listed, secondary liquidity may be limited, and U.S. tax treatment is complex, with possible 30% withholding on coupons for many non-U.S. holders.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes that pay a contingent coupon at 9.00% per annum, linked to the worst performer among the Nasdaq-100® Technology Sector Index, the Utilities Select Sector SPDR® Fund and the VanEck® Semiconductor ETF.
Coupons are paid only if on each observation date all three underliers are at or above a 70% coupon barrier, with missed coupons potentially paid later if the barrier is met. The notes are auto-callable from December 2026 onward if all underliers are at or above 100% of their initial levels, returning principal plus due coupons, ending the investment early.
If the notes are not redeemed early and, at maturity in March 2030, any underlier finishes below a 60% downside threshold, investors lose 1% of principal for each 1% decline in the worst underlier and could lose their entire investment. The estimated value on the pricing date is approximately $942 per $1,000 note, they will not be listed on an exchange, and all payments depend on Morgan Stanley’s credit.