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 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.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley (MS), is offering Buffered Performance Leveraged Upside Securities linked to the S&P 500 Index, maturing on May 3, 2028. These notes pay no coupon and are principal-at-risk.
At maturity, investors receive $1,000 plus 200% of any index gain, capped at a maximum payment of at least $1,207.20 per note. If the index is down by up to the 10% buffer, repayment is $1,000. Losses resume 1-for-1 beyond the buffer, with a minimum payment of $100 per note.
The issue price is $1,000 per note; the preliminary estimated value on the pricing date is about $963.20. Sales commissions are $25 per note, plus a $5 structuring fee. The valuation date is April 28, 2028. The notes will not be listed, and all payments are subject to the issuer’s and guarantor’s credit risk. Proceeds are for general corporate purposes; the issuer expects to receive $1,000 per note issued.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Contingent Income Auto-Callable Securities due October 20, 2028, linked to The Home Depot, Inc. (HD) common stock and fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk securities pay a contingent quarterly coupon at an annual rate of 10.60% (about $26.50 per $1,000 per quarter) only when the determination closing price is at or above 80% of the initial share price.
The notes are auto-callable on any of the first eleven determination dates if HD’s price is at or above the initial share price, redeeming at $1,000 plus the contingent coupon. If held to maturity and HD is at or above the 80% downside threshold, the payout is $1,000 plus the final coupon; otherwise, investors are exposed 1-to-1 to the decline and could receive significantly less than 80% of principal, down to zero. Investors do not participate in any stock appreciation.
Per-security economics: Issue price $1,000; estimated value approximately $970 (within $30); agent sales commission $17.50; structuring fee $5; and proceeds to the issuer $977.50. The securities are unsecured obligations of MSFL, guaranteed by Morgan Stanley, and will not be listed on any exchange.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Contingent Income Auto-Callable Securities linked to EQT Corporation common stock, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes offer a contingent coupon at 9.60% per annum when EQT’s closing level is at or above the coupon barrier on observation dates and may be automatically called if EQT is at or above the call threshold on specified redemption determination dates.
Each security has a $1,000 issue price, with an estimated value on the pricing date of approximately $964.10 per security (within $35 of that estimate). The coupon barrier and downside threshold are each 60% of the initial level, and the call threshold is 100% of the initial level. If not called and EQT finishes below the downside threshold at maturity, investors lose 1% of principal for every 1% decline; gains above the initial level are not participated in. Key dates include a strike/pricing date of October 24, 2025 and a maturity date of October 28, 2027. The notes will not be listed 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 Jump Securities with an auto-call feature maturing on October 26, 2028, linked to the worst performer of the S&P 500, Nasdaq-100 Technology Sector, and Russell 2000 indices.
Each security is issued at $1,000 and may be automatically redeemed on November 3, 2026 if all underliers close at or above their 100% call thresholds on October 29, 2026, paying an early redemption amount of $1,182.50 per security. If held to maturity and all underliers finish above initial levels, the payoff equals principal plus 175% of the worst underlier’s gain. If any underlier finishes at or below initial but all are at or above the 70% downside thresholds, investors receive only principal. If any underlier finishes below its downside threshold, repayment is reduced one-for-one with the decline of the worst performer, and could be zero.
The securities pay no interest, are unsecured, will not be listed, and are subject to the issuers’ credit risk. The estimated value on the pricing date is approximately $950.10 per security.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Contingent Income Auto‑Callable Securities linked to Oracle Corporation common stock, due November 3, 2027, fully and unconditionally guaranteed by Morgan Stanley.
The notes are issued at $1,000 per security with an estimated value on the pricing date of approximately $954.60 per security. A 14.00%–15.00% annual contingent coupon is payable only when the underlier closes at or above the coupon barrier (set at 60% of the initial level) on the relevant observation date. The notes auto‑call for principal plus the coupon if the underlier is at or above the 100% call threshold on any redemption determination date, beginning April 29, 2026.
If not called, at maturity investors receive principal only if the final level is at or above the 60% downside threshold; otherwise, the payoff declines 1% for every 1% drop in the underlier and can be zero. The securities are unsecured, principal at risk, not listed on any exchange, and all payments are subject to the issuers’ credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Buffered Participation Securities linked to the S&P 500 Index, due April 28, 2027. The notes pay no interest and return depends on the index level on the observation date.
At maturity, investors receive $1,000 plus the index upside at a 100% participation rate, capped at a maximum payment of $1,147.50 per security. If the index is flat to down but not below the 10% buffer, investors earn the absolute decline at 100% participation, effectively up to a +10% positive return. If the index falls beyond the buffer, principal is reduced 1% for each 1% decline beyond 10%, with a minimum payment of 10% of principal.
The issue price is $1,000 per security, including a $15 sales commission (proceeds to issuer $985 per security). The estimated value on the pricing date is approximately $980.10 per security (or within $35 of that estimate). The securities are unsecured obligations subject to the issuer’s and guarantor’s credit risk and will not be listed on any exchange.