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 fixed-income auto-callable securities due July 21, 2031, fully and unconditionally guaranteed by Morgan Stanley, with principal at risk. The notes pay a fixed 8.00% annual coupon, paid monthly, regardless of index performance, so long as the issuer remains solvent.
The return of principal depends on the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. The notes are subject to automatic early redemption if the index closes at or above the call threshold of 3,504.76 (100% of the initial level) on any monthly determination date, in which case investors receive $1,000 plus the coupon and no further payments.
If held to maturity without early redemption and the final index level is at or above the downside threshold of 2,102.856 (60% of the initial level), investors receive the full $1,000 principal plus the final coupon. If the final level is below the downside threshold, repayment of principal is reduced 1% for every 1% index decline, potentially to zero, although the final coupon is still paid. The aggregate principal amount is $1,118,000 at an issue price of $1,000 per note, with an estimated value on the pricing date of $912.20 per security, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing Contingent Income Memory Auto-Callable Securities due January 21, 2028, fully and unconditionally guaranteed by Morgan Stanley, with aggregate principal of $16,672,000 and a price of $1,000 per security. The notes are linked to the common stock of NVIDIA Corporation and are principal-at-risk obligations.
Investors may receive a contingent coupon at 11.92% per annum, paid on scheduled dates only if NVIDIA’s closing level on the related observation date is at or above the coupon barrier level of $114.07, equal to 55% of the initial level of $207.40. Missed coupons can be paid later if the barrier is subsequently met, but may be lost entirely.
The notes are subject to automatic early redemption on specified determination dates if NVIDIA’s closing level is at or above the call threshold of $207.40 (100% of the initial level), in which case investors receive principal plus the current and any unpaid coupons, and the investment ends. If held to maturity and the final level is at or above the downside threshold of $114.07, investors receive full principal (plus any due coupons). If the final level is below this threshold, the maturity payment is $1,000 × (final level / initial level), exposing investors to the full downside of the stock and potentially a total loss. All payments depend on Morgan Stanley’s credit, and the estimated value on the pricing date is $979.20 per security, below the issue price.
Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, is offering auto-callable structured notes linked to the Morgan Stanley Amplitude Index. Each note has a $1,000 stated principal amount, issue price of $1,000 and aggregate principal of $100,000.
The notes pay no interest and return at least principal at maturity, subject to issuer and guarantor credit. The notes are automatically redeemed if, on any determination date starting July 16, 2027, the Index closing level is at or above the 207.89 call threshold. Early redemption payments step up annually from $1,107.50 to $1,645.00 per note, corresponding to roughly 10.75% per annum. If not redeemed and the final Index level on the July 19, 2033 observation date exceeds the initial level of 205.83, investors receive principal plus 100% of the Index’s price gain; otherwise they receive only principal.
The notes are unsecured, unsubordinated obligations of MSFL, not listed on any exchange, and have an estimated value on the pricing date of $897.90 per note, below the issue price due to embedded costs and dealer compensation.
Morgan Stanley Finance LLC is issuing $291,000 of Contingent Income Auto-Callable Notes due July 21, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes are unsecured and linked to the worst performing of Costco, JPMorgan Chase and Microsoft common stocks.
Each $1,000 note may pay a contingent coupon at an annual rate of 7.60%, but only if on each monthly observation date all three stocks close at or above their coupon barrier levels, set at 75% of their initial levels ($709.178 for COST, $257.363 for JPM, $300.825 for MSFT). Beginning July 16, 2027, the notes are automatically redeemed if on a redemption determination date all three stocks are at or above their call threshold levels, equal to 100% of initial ($945.57, $343.15, $401.10), paying principal plus the applicable coupon.
If not redeemed early, investors receive the stated principal amount at maturity, plus the final contingent coupon if all underliers are at or above their coupon barriers. Investors do not participate in any stock appreciation. The estimated value on the pricing date is $968.70 per note, below the $1,000 issue price, reflecting issuance, structuring and hedging costs. Secondary market liquidity may be limited, and all payments depend on Morgan Stanley’s credit. The issuer expects to treat the notes as variable rate debt instruments for U.S. federal income tax purposes, though alternative treatment is possible.
Morgan Stanley Finance LLC is offering $716,000 of Contingent Income Auto-Callable Notes, fully and unconditionally guaranteed by Morgan Stanley, at $1,000 per note. The notes pay a 10.10% per annum contingent coupon only if, on each monthly observation date, the common stocks of Broadcom, JPMorgan Chase and Microsoft all close at or above their respective coupon barrier levels, set at 75% of their initial levels.
The notes are automatically redeemed at par plus the applicable coupon if, on any monthly redemption determination date from July 16, 2027 onward, each stock is at or above its 100% call threshold level. If not redeemed early, investors receive the $1,000 principal at maturity, plus the final coupon if all underliers are at or above their barriers. The notes do not participate in any stock price appreciation.
Initial levels are $374.45 for AVGO, $343.15 for JPM and $401.10 for MSFT. The issuer’s estimated value is $967.60 per note, below the issue price, reflecting issuance, structuring and hedging costs. Payments depend entirely on Morgan Stanley’s credit, and the notes will not be listed, so secondary market liquidity may be limited.
Morgan Stanley Finance LLC is issuing Contingent Income Auto-Callable Notes due July 21, 2031, fully and unconditionally guaranteed by Morgan Stanley, in an aggregate principal amount of $505,000 at $1,000 per note.
The notes pay a contingent coupon at 8.30% per annum, but only if on each monthly observation date the Alphabet, JPMorgan Chase and Microsoft shares are all at or above their respective coupon barrier levels, set at 75% of their initial levels. If on any observation date at least one stock is below its barrier, no coupon is paid for that period.
The notes are automatically redeemed at par plus the applicable coupon if, on any redemption determination date from July 16, 2027 onward, all three stocks are at or above their call threshold levels (100% of initial). If not redeemed earlier, holders receive the stated principal amount at maturity, plus the final coupon if all underliers are at or above their barriers on the final observation date. Returns are based on the worst-performing stock; investors do not participate in any price appreciation.
The notes are unsecured obligations of MSFL, guaranteed by Morgan Stanley, with an estimated value of $968.70 per note on the pricing date. They will not be listed on any securities exchange, and all payments are subject to the credit risk of MSFL and Morgan Stanley.
Morgan Stanley Finance LLC is issuing structured notes linked to the worst-performing of Broadcom, JPMorgan Chase and Microsoft common stocks, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, with an aggregate principal of $514,000, maturing on July 21, 2031.
Investors may receive a 10.75% per annum contingent coupon, payable monthly only if on each observation date all three stocks close at or above their coupon barrier levels, set at 75% of their initial levels. The notes are automatically redeemed at par plus the applicable coupon if on any redemption determination date all three stocks are at or above their 100% call threshold levels.
If the notes are not called, investors receive the full principal at maturity, plus the final contingent coupon if conditions are met; there is no downside to principal from stock performance, but all payments are subject to Morgan Stanley’s credit risk. The notes are offered at $1,000 per note, with an estimated value on the pricing date of $974.20, will not be listed on any exchange, and are intended for fee-based advisory accounts.
Morgan Stanley Finance LLC is issuing Jump Securities with an auto-callable feature due April 20, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of the Russell 2000® Index and the State Street® Technology Select Sector SPDR® ETF and are principal-at-risk securities that pay no interest.
The notes are issued at $1,000 per security with an aggregate principal amount of $2,347,000; the dealer-estimated value on the pricing date is $971.30 per security. Automatic early redemption can occur starting October 16, 2026 if the closing level of both underliers is at or above their call threshold levels (95% of initial levels: 2,825.839 for the RTY Index and $168.644 for the XLK Fund), paying call amounts that correspond to an annualized return of about 15.00%.
If not redeemed early, maturity payment per $1,000 is: $1,262.50 if both final levels are at or above their call thresholds; $1,000 if either is below its call threshold but both are at or above their downside thresholds (70% of initial levels: 2,082.197 and $124.264); or $1,000 × the performance factor of the worst performer if either finishes below its downside threshold, exposing investors to full downside in that underlier. All payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is issuing Buffered Jump Securities with Auto-Callable Feature due July 19, 2029, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500 Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $755,000.
The notes may be automatically redeemed on July 28, 2027 for $1,100 per security if on July 23, 2027 each index closes at or above its initial level. If held to maturity and not called, investors receive: principal plus an upside payment if each final index level exceeds its initial level (with a 198% participation rate on the worst performer); principal only if neither index breaches its 15% buffer; or a loss of 1% of principal for each 1% decline of the worst performer beyond the buffer, subject to a minimum payment of 15% of principal.
The initial levels are 52,552.97 for the Dow Jones Industrial Average and 7,533.77 for the S&P 500 Index, with buffer levels at 85% of those values. The estimated value on the pricing date is $986.00 per security, below the issue price due to issuance, structuring and hedging costs. The securities pay no interest, are unsecured, expose investors to the downside of the worst performing index beyond the buffer, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is issuing Dual Directional Jump Securities with Auto-Callable Feature, linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and an aggregate issuance of $1,000,000.
The notes are principal-at-risk, pay no interest, and may be automatically redeemed starting July 23, 2027 if the index is at or above the 603.07 call threshold, for fixed payments of $1,100 or $1,200 on the first two determination dates. If held to July 21, 2031 and not called, investors receive: enhanced upside of 125% of index gains above the 603.07 initial level; or, for index declines down to the 422.149 downside threshold, a positive payoff based on the absolute decline, capped at a 30% gain; or, for levels below the downside threshold, a loss of 1% of principal for each 1% index decline, potentially down to zero.
The estimated value on the pricing date is $940 per $1,000 note, reflecting issuance, selling, structuring and hedging costs. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley.