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 unsecured, auto-callable Jump Notes due October 28, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest, and is linked to the worst performer of the Russell 2000, Nasdaq‑100 Technology Sector Index, and S&P 500. The notes may be automatically redeemed on scheduled determination dates if each underlier is at or above its call threshold (100% of initial level), delivering a fixed cash amount that equates to approximately 5.60% per annum.
The first determination date is April 23, 2026. If not called, at maturity investors receive a fixed positive return only if each underlier is at or above its call threshold; otherwise, they receive the stated principal amount. The indicative early redemption payments range from $1,028 (April 2026) up to $1,266 (July 2030), with a stated $1,280 maturity payment in the favorable case. The estimated value on the pricing date is approximately $977.30 per note; all payments are subject to the issuer’s and guarantor’s credit risk. The notes will not be listed on any exchange.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Dual Directional Trigger PLUS, unsecured notes linked to the S&P 500 Futures Excess Return Index, due November 5, 2030. Each security has a $1,000 stated principal amount and pays no interest.
At maturity, if the final index level is above the initial level, the payoff adds 157% of the index gain. If the final level is at or below the initial level but at or above the downside threshold of 60% of the initial, investors receive the principal plus the absolute decline at a 100% participation rate, effectively capped at a 40% positive return. If the final level falls below the threshold, investors lose 1% of principal per 1% index decline, up to total loss.
The notes are fully and unconditionally guaranteed by Morgan Stanley, subject to issuer and guarantor credit risk, and will not be listed. The estimated value on the pricing date is approximately $970.40 per security (within $55 of that estimate). Selected dealers may receive up to $8.50 per security as a structuring fee; MS&Co. takes no sales commission.
Morgan Stanley Finance LLC is offering principal-at‑risk Callable Contingent Income Securities due October 27, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a 13.00% per annum contingent coupon only if, on each observation date, the Technology Select Sector SPDR Fund (XLK), Utilities Select Sector SPDR Fund (XLU) and the Nasdaq‑100 Technology Sector Index (NDXT) each close at or above their 80% coupon barrier.
The notes are callable on scheduled redemption dates starting October 29, 2026 if a risk‑neutral valuation model indicates early redemption is economically rational for the issuer; if called, investors receive the $1,000 stated principal plus any due coupon, and no further payments. At maturity, if not redeemed and each underlier is at or above its 70% downside threshold, investors receive $1,000 (plus any final coupon). If any underlier is below its threshold, repayment is reduced 1% for each 1% decline of the worst performer, which can result in a significant loss up to zero.
The issue price is $1,000 per security; the estimated value on the pricing date is approximately $978.40 per security (or within $45 of that estimate). The securities are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering S&P 500-linked market‑linked notes that pay no interest and return principal at maturity. Each note is issued at $1,000 with 100% participation in upside, capped by a maximum payment of $1,390 per note. If the S&P 500 final level is at or below the initial level, holders receive only the stated principal amount.
Key dates: strike/pricing on October 31, 2025, original issue on November 5, 2025, observation on April 30, 2031, and maturity on May 5, 2031. The estimated value on the pricing date is approximately $951.40 per note (within $55 of that estimate). Sales commissions are $30 per note (with an additional structuring fee of up to $8.50), yielding $970 per note in proceeds to the issuer. The notes will not be listed on any exchange.
All payments are subject to issuer and guarantor credit risk. Returns are determined solely by the S&P 500 closing level on the observation date; interim moves do not affect payout. The notes are issued under MSFL’s Series A Global Medium‑Term Notes program.
Morgan Stanley Finance LLC is offering fixed income auto-callable securities due October 28, 2027, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a fixed 18.00% annual coupon (paid monthly) and are linked to the worst performing of the common stocks of NVIDIA (NVDA), Tesla (TSLA) and Oracle (ORCL). They are unsecured, principal-at-risk obligations issued under the Series A Global Medium‑Term Notes program.
The securities auto-redeem if on any redemption determination date each underlier is at or above its 100% call threshold, paying the stated principal plus the coupon for that period; the first determination date is April 23, 2026. If not redeemed, at maturity investors receive principal only if each underlier is at or above its 65% downside threshold; otherwise, repayment is reduced 1% for each 1% decline of the worst performer. The issue price is $1,000 per note; the estimated value on the pricing date is approximately $959.80 per note. The notes are not listed on any exchange and all payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley (MS), is offering S&P 500-linked Market-Linked Notes due May 3, 2030. The notes pay no interest and return principal at maturity, with potential upside if the index rises.
Each note is issued at $1,000. At maturity, investors receive $1,000 plus 100% of any index gain, capped at a maximum payment of $1,360 per note (136% of principal). If the final index level is at or below the initial level, the payment is $1,000. Key dates: strike/pricing on October 31, 2025, observation on April 30, 2030, maturity on May 3, 2030.
The estimated value on the pricing date is approximately $982.20 per note (within $45 of that estimate). The notes will not be listed. MS & Co. acts as agent; stated commissions are $0 per note, with a structuring fee of up to $8 per note. All payments are subject to the issuers’ credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities due October 22, 2030, fully and unconditionally guaranteed by Morgan Stanley. The notes reference the worst performing of the S&P 500 Index, Russell 2000 Index and SPDR S&P Regional Banking ETF, pay a 12.50% per annum contingent coupon only when each underlier closes at or above its coupon barrier on the observation date, and may be automatically redeemed if each underlier is at or above its call threshold (100% of initial) on a redemption determination date.
If not called, at maturity investors receive the stated principal amount only if each underlier is at or above its downside threshold (70% of initial). Otherwise, the payoff is reduced 1% for each 1% decline of the worst performer, potentially to zero; no upside participation applies. Each security is priced at $1,000 with an estimated value on the pricing date of approximately $983.40 per security. The first redemption determination date is April 17, 2026, and the notes will not be listed. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Nasdaq‑100 Index-linked Jump Securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley. Each note is issued at $1,000 and is a principal-at-risk, unsecured obligation that pays no interest and is not listed on any exchange.
The notes may be automatically redeemed on November 9, 2026 if the Nasdaq‑100 closing level on November 4, 2026 is at or above 100% of its initial level, paying an early redemption amount of $1,115 per security. If held to maturity on November 5, 2030 and the final level exceeds the initial level, investors receive principal plus an upside payment based on a 150% participation rate. If the final level is at or below the initial level but at or above the 80% downside threshold, repayment is limited to principal. Below the threshold, repayment declines one-for-one with the index.
The estimated value on the pricing date is approximately $977.70 per security (within $55 of that estimate). MS&Co. serves as agent; selected dealers may receive up to $8 per security as a structuring fee. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering auto-callable Jump Notes due October 28, 2030 linked to the S&P 500 Futures 40% Intraday 4% Decrement VT Index. The notes are issued at $1,000 per note, pay no interest, and may be automatically redeemed if the underlier closes at or above the call threshold on scheduled determination dates.
The call threshold equals 100% of the initial level. Early redemption payments step up over time, starting at $1,075.00 on October 29, 2026 and rising to $1,356.25 by July 26, 2030, corresponding to a return of approximately 7.50% per annum. If not redeemed and the final level is at or above the threshold, investors receive a fixed positive return at maturity; otherwise, they receive only the stated principal amount.
Key dates include a strike/pricing date of October 23, 2025 and a first determination date of October 26, 2026. The estimated value on the pricing date is approximately $963.30 per note (or within $55 of that estimate). The notes are unsecured, not listed on any exchange, and all payments are subject to the issuer’s and guarantor’s credit risk. The underlier includes a 4% per annum decrement and volatility targeting features.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley (MS), is offering principal-at-risk Jump Securities with an auto-call feature linked to the Nasdaq-100 Index, due November 5, 2030. These unsecured notes do not pay interest and may redeem early if the index closes at or above the call threshold on the first determination date.
The notes are issued at $1,000 per security, with an estimated value of approximately $959.60 on the pricing date, reflecting issuing, selling, structuring and hedging costs. If auto-called on November 4, 2026, investors receive an early redemption payment of $1,085 on November 9, 2026. If held to maturity and the final index level exceeds the initial level, the payoff adds a 150% participation in the index’s gain. If the final level is at or below the initial but at or above the 80% downside threshold, repayment equals principal. Below the threshold, losses match the index decline, up to total loss.
The securities are subject to the issuer’s and guarantor’s credit risk, will not be listed, and may have limited liquidity. Sales commissions are $20 per security, with up to $8 in structuring fees to selected dealers.