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 filed a 424(b)(2) preliminary pricing supplement for Contingent Income Auto-Callable Securities linked to Robinhood Markets, Inc. Class A stock, fully and unconditionally guaranteed by Morgan Stanley.
The notes offer a 19.25% per annum contingent coupon, paid only if the Robinhood closing level is at or above the coupon barrier (50% of the initial level) on each observation date. The notes may be automatically redeemed if the underlier is at or above the call threshold (100% of the initial level) on a redemption determination date, starting April 17, 2026, for principal plus the contingent coupon. If held to maturity on October 22, 2029 and the final level is below the downside threshold (50% of initial), investors lose 1% of principal for each 1% decline; repayment of principal is not guaranteed.
The issue price is $1,000 per security; the estimated value on the pricing date is approximately $943.40 per security. The notes are unsecured, subject to the issuer’s and guarantor’s credit risk, and will not be listed. Tax treatment is uncertain; non‑U.S. holders may be subject to 30% withholding on coupons.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, announced a preliminary 424(b)(2) pricing supplement for Jump Securities with an auto-callable feature linked to the S&P 500 Index, maturing on October 20, 2027. These principal-at-risk notes are issued at $1,000 per security with estimated value on the pricing date of approximately $981.80 and agent fees of $15 per $1,000.
The notes may be automatically redeemed on November 2, 2026 if the index on October 28, 2026 is at or above the call threshold (100% of the initial level), paying at least $1,087.20 per security. If not called, at maturity investors receive the principal plus the greater of an upside payment of at least $174.40 or 100% participation in index gains; if the final level is below the initial but at or above the downside threshold (70% of initial), they receive principal; below the downside threshold, repayment is reduced one-for-one with index decline. All payments are subject to issuer and guarantor credit risk, and the securities will not be listed on any exchange.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities linked to Robinhood Markets, Inc. Class A common stock. These are principal-at-risk notes that pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity on October 30, 2026, investors receive $1,000 plus a fixed upside payment if the final stock level is at or above the downside threshold; otherwise, they lose 1% of principal for each 1% decline. The upside payment is $217 per security (21.70% of principal), and the downside threshold is 50% of the initial level. Key dates include a strike/pricing date of October 24, 2025 and an observation date of October 27, 2026.
The issue price is $1,000 per security; the estimated value on the pricing date is approximately $974.60 per security. The securities will not be listed on any exchange. Sales are to fee‑based advisory accounts; selected dealers may receive a structuring fee of up to $6.25 per security. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities linked to the common stock of NVIDIA Corporation, fully and unconditionally guaranteed by Morgan Stanley. These are principal-at-risk notes that pay a contingent coupon only when the underlier closes at or above a coupon barrier on each observation date. If triggered, missed coupons may be paid later under the memory feature. The notes may be automatically redeemed if the underlier is at or above a call threshold on specified redemption determination dates, returning the stated principal amount plus the applicable coupon and any previously unpaid coupons.
The securities are scheduled to mature on November 3, 2027 if not called, with observation and potential coupon payment dates monthly. At maturity, if not called and the final level is at or above the downside threshold (65% of the initial level), investors receive the stated principal amount plus any payable coupon; otherwise, repayment is reduced 1% for every 1% decline in the underlier, potentially to zero. The issue price is $1,000 per security, with an estimated value of approximately $955 on the pricing date. The contingent coupon rate will be set in a range of 12.00% to 13.00% per annum. The notes are unsecured obligations subject to Morgan Stanley’s credit risk and will not be listed on any exchange.
Morgan Stanley Finance LLC is offering Dual Directional Jump Securities with auto-call features linked to Oracle Corporation common stock. The notes are issued at $1,000 per security for an aggregate principal amount of $780,000 and are fully and unconditionally guaranteed by Morgan Stanley. Net proceeds to the issuer are $760,500, after $19,500 in selling commissions.
The notes may be automatically redeemed on scheduled dates if Oracle’s closing level is at or above the call threshold. Early redemption payments step up, targeting ~12.93% per annum, culminating at $1,355.575 per security before maturity. If held to maturity and the final level is at or above the call threshold, the payment is $1,387.90 per security. If the final level is below the call threshold but at or above the downside threshold, investors receive principal plus the absolute decline (100% participation) capped at a 50% positive return. Below the downside threshold, losses match the percentage decline, up to total loss.
Key terms include initial level $296.96, call threshold $296.96 (100%), downside threshold $148.48 (50%), first determination date April 9, 2026, maturity October 12, 2028, and estimated value $944.60 per security. Payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC priced a structured note offering of $136,642,000 in Callable Fixed Income Securities due October 1, 2026, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of the S&P 500, Nasdaq‑100, and Russell 2000 and are principal at risk.
The securities pay a fixed coupon of 8.66% per annum with monthly payments. Beginning April 1, 2026, the issuer may redeem the notes on specified monthly dates if a risk‑neutral valuation model indicates redemption is economically rational for the issuer. If not called, at maturity investors receive par only if each index is at or above its 70% downside threshold; otherwise, repayment of principal is reduced one‑for‑one with the decline of the worst index, potentially to zero.
The issue price is $1,000 per note; estimated value on the pricing date is $987.80 per note. Agent-related fees total $341,605, with proceeds to the issuer of $136,300,395. The notes will not be listed and are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC launched a preliminary pricing supplement for market-linked, principal-at-risk notes linked to the lowest-performing of the Dow Jones Industrial Average and the S&P 500 Index, due October 27, 2028 and fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 security is offered with agent commissions of $25.75 and expected proceeds to the issuer of $974.25 per security; the current estimated value is approximately $959.80 per security (or within $45.00 of that estimate). The notes pay no interest and will not be listed.
The notes are auto-callable on October 29, 2026 if each index closes at or above its starting level, paying at least $1,100 per $1,000 (a call premium of at least 10.00%). If not called, at maturity investors receive: 100% upside participation in the lowest-performing index up to a maximum return of 24% ($1,240 cap); or, if the lowest-performing index is down but not below its 90% threshold, a contingent absolute return up to 10%; or, if it finishes below the threshold, a loss beyond a 10% buffer, down to 10% of face value. Key dates include pricing on October 24, 2025 and original issue on October 29, 2025. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced Callable Contingent Income Securities fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $1,392,000. The notes pay a contingent coupon at 11.00% per annum only if, on each observation date, the S&P 500, Nasdaq-100 Technology Sector Index, and Russell 2000 are all at or above their coupon barrier levels, set at 70% of initial levels.
The notes are callable in whole, beginning January 14, 2026, if a risk‑neutral valuation model indicates redemption is economically rational for the issuer. If not called, they mature on October 14, 2027. At maturity, investors receive principal only if each index is at or above its downside threshold (also 70% of initial); otherwise, repayment is reduced 1% for each 1% decline in the worst-performing index, potentially to zero.
Issue price is $1,000 per security, with an estimated value of $983.90. Proceeds to the issuer are $993 per security (total $1,382,256), reflecting $7 in agent fees. Payments are subject to Morgan Stanley’s credit risk. The securities will not be listed on an exchange and may have limited liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, announced Contingent Income Auto-Callable Securities due October 28, 2027 linked to Hewlett Packard Enterprise common stock. Each security is priced at $1,000 and pays a contingent coupon at an annual rate of 13.45% on scheduled dates only if the underlier closes at or above the coupon barrier on the related observation date.
The notes are principal at risk. If not called and the final level is below the downside threshold, investors lose 1% of principal for every 1% decline of the underlier; repayment of principal occurs only if the final level is at or above the downside threshold. The coupon barrier and downside threshold are each 60% of the initial level; the call threshold is 100% of the initial level. The first potential call date is April 24, 2026. The estimated value on the pricing date is approximately $960.10 per security (subject to final confirmation). The securities will not be listed, and all payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due September 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. These unsecured, principal-at-risk notes pay a contingent coupon at 10.30% per annum only if, on each observation date, the closing level of all three underliers—the SPDR S&P Regional Banking ETF (KRE), the S&P 500 Index (SPX) and the Nasdaq-100 Technology Sector Index (NDXT)—is at or above its coupon barrier level (70% of its initial level).
The notes are callable in whole (not in part) on scheduled redemption dates starting January 22, 2026, if a risk neutral valuation model indicates calling is economically rational for the issuer; early redemption is not automatic based on underlier performance. If not called, at maturity investors receive the stated principal amount only if each underlier’s final level is at or above its downside threshold (60% of initial). If any underlier is below its threshold, repayment is reduced 1% for each 1% decline of the worst performer, potentially to zero. The issue price is $1,000 per security; the estimated value on the pricing date is approximately $966.10 per security. The notes will not be listed and all payments are subject to the issuer’s and guarantor’s credit risk.