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, fully guaranteed by Morgan Stanley, is offering 5‑year Step Down Trigger Autocallable Notes linked to the Russell 2000®, S&P 500® and EURO STOXX 50® indices. The notes pay no interest and all return comes from a contingent call payment based on a fixed 9.50% per annum Call Return Rate.
Starting in December 2026, if on any quarterly observation date all three indices are at or above their initial levels (or at or above their respective downside thresholds on the final date), the notes are automatically called and pay $10 principal plus the applicable call return. If the notes are never called and at least one index finishes below its downside threshold (generally 75% of its initial level), repayment at maturity is reduced 1‑for‑1 with the full decline of the worst‑performing index, down to a total loss of principal. Investors do not participate in any index gains, face significant market and credit risk, and the notes will not be listed, so liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Enhanced Buffered Jump Securities linked to the worst performer of the Russell 2000® Index, S&P 500® Index and Nasdaq-100® Technology Sector IndexSM. Each security has a $1,000 stated principal amount, pays no interest and matures on January 28, 2027, with the underliers observed on January 25, 2027.
If the final level of each index is at or above 85% of its initial level, investors receive $1,000 plus a fixed upside payment of $115 (an 11.50% return). If any index finishes below its 85% buffer level, the maturity payment is reduced by 1% of principal for each 1% decline of the worst performing index beyond the 15% buffer, subject to a minimum payment of 15% of principal. The securities are unsecured obligations, will not be listed on any exchange, and have an estimated value on the pricing date of approximately $984.70 per $1,000 security, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing callable Jump Securities due December 19, 2030 linked to the Tokyo Stock Price Index (TOPIX). Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $4,405,000. The estimated value on the pricing date is $935.80 per security, reflecting issuing, selling, structuring and hedging costs borne by investors.
The notes are principal-at-risk and pay no interest. If not redeemed early and TOPIX ends above its initial level of 3,431.47, holders receive $1,000 plus an upside payment based on a 278% participation rate. If the final level is at or below the initial level, the payoff is $1,000 multiplied by the index performance; losses are 1% of principal for each 1% index decline and the payment can be zero.
The issuer may redeem the notes in whole, but not in part, on specified redemption dates starting December 21, 2026 if a risk‑neutral valuation model indicates early redemption is economically rational for the issuer. Redemption payments increase over time, from $1,240 on the first redemption date up to $2,140 on the last redemption date before maturity. The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and may have limited or no secondary liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Memory Auto-Callable Securities linked to NVIDIA Corporation common stock, with a stated principal amount of $1,000 per security and an aggregate principal of $1,673,000. The securities pay a contingent coupon at an annual rate of 14.30% only if NVIDIA’s closing level on an observation date is at or above the coupon barrier of $105.774, which is 60% of the initial level of $176.29.
The notes may be automatically redeemed starting June 15, 2026 if NVIDIA’s closing level is at or above the call threshold of $176.29, returning principal plus the applicable contingent coupon and any unpaid coupons. If not called, and on the final observation date the stock is at or above the downside threshold of $105.774, investors receive full principal plus any due coupons. If the final level is below that threshold, repayment is reduced 1% for every 1% decline in the stock, and the maturity payment can fall to zero.
These principal-at-risk securities are unsecured obligations of MSFL, with an estimated value on the pricing date of $978.90 per security, below the $1,000 issue price due to issuance, structuring and hedging costs and the issuer’s internal funding rate. The notes will not be listed on any exchange, and all payments depend on Morgan Stanley’s creditworthiness.
Morgan Stanley Finance LLC is issuing market-linked notes tied to the Dow Jones Industrial Average, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, with a total offering size of $295,000, and pays no periodic interest.
At maturity on June 15, 2029, investors receive their principal back plus 100% of any gain in the index from the initial level of 48,458.05, capped at a maximum payment of $1,220 per note (122% of principal). If the final index level is equal to or below the initial level, investors receive only the principal amount.
The notes are unsecured obligations subject to the credit risk of MSFL and Morgan Stanley and will not be listed on any exchange. The estimated value on the pricing date is $969.00 per note, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs and an internal funding rate that is advantageous to the issuer.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $750,000 of Contingent Income Auto-Callable Securities linked to Tesla, Inc. common stock, in $1,000 denominations. These notes can automatically redeem early if Tesla’s closing price on specified dates is at or above the call threshold, set at the initial level of $475.31, returning principal plus any due coupon.
Investors may receive a contingent coupon at an annual rate of 15.70%, but only when Tesla’s closing level is at or above the coupon barrier of $237.655 (50% of the initial level) on the relevant observation date. If the notes are held to maturity and Tesla’s final level is at or above the downside threshold of $237.655, investors receive principal back (plus any final coupon). If the final level is below this threshold, repayment is reduced 1% for each 1% decline, and the amount repaid can be zero.
The securities are principal-at-risk, unsecured and unsubordinated obligations of MSFL, with an estimated value on the pricing date of $962.90 per $1,000 security. They will not be listed on any exchange, secondary trading may be limited, and returns depend on both Tesla’s share performance and Morgan Stanley’s creditworthiness, as well as complex U.S. tax and withholding rules.
Morgan Stanley Finance LLC is offering Jump Securities with an auto-call feature linked to the worst performer of the S&P 500 Futures Excess Return Index and the Nasdaq-100 Futures Excess Return Index, in an aggregate principal amount of $1,491,000. Each security has a stated principal of $1,000, matures on December 19, 2030, and does not pay interest.
The notes may be automatically redeemed on December 22, 2026 for $1,277.50 per security if both underliers are at or above 100% of their initial levels. If held to maturity and both underliers finish above their initial levels, investors receive principal plus a 250% participation in the gain of the worst performer; if either finishes between 60% and 100% of its initial level, only principal is returned. If either ends below 60% of its initial level, repayment is reduced one-for-one with the decline of the worst underlier, and the payout can fall to zero.
The securities are principal-at-risk, unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, will not be listed on any exchange, and their secondary market value may be below the $1,000 issue price. The issuer’s estimated value on the pricing date is $1,013.00 per security, based on its own models and assumptions.
Morgan Stanley Finance LLC is offering callable Jump Notes due December 19, 2030, linked to the S&P 500 Futures Excess Return Index, in an aggregate principal amount of $620,000 at $1,000 per note.
The notes pay no interest and are designed to return principal at maturity if not called. If held to maturity and the index finishes above the initial level of 556.39, investors receive $1,000 plus an upside payment equal to 122% of the index gain; if the index is at or below the initial level, only the $1,000 principal is repaid. Starting December 23, 2026, the issuer may redeem the notes early, in whole, based on a risk‑neutral valuation model, for fixed cash amounts that rise from $1,120 to $1,590 per note over 48 scheduled redemption dates. The estimated value on the pricing date is $952.40 per note, reflecting issuer funding rates and fees, and investors face risks including issuer credit risk, limited liquidity, model‑driven call risk, tax treatment as contingent payment debt instruments and the volatility of the futures‑based index.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering fixed rate callable notes due January 9, 2031, with a stated principal amount and issue price of $1,000 per note and a fixed interest rate of 4.250% per year, paid semi-annually. The notes may be redeemed early in whole, but not in part, on semi-annual redemption dates starting January 9, 2028 at 100% of principal plus accrued interest, if a risk neutral valuation model shows redemption is economically rational for the issuer. The estimated value on the pricing date is expected to be approximately $984.00 per note, reflecting issuing, selling, structuring and hedging costs borne by investors. The notes are unsecured, subject to the credit risk of MSFL and Morgan Stanley, will not be listed on any exchange, and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC is offering fixed rate callable notes due January 9, 2046, fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount and issue price of $1,000, pays a fixed interest rate of 5.00% per year on a semi-annual basis, and returns principal plus accrued interest at maturity.
The issuer may redeem the notes in whole, but not in part, on semi-annual redemption dates starting July 9, 2027 at 100% of principal plus accrued interest, if a risk neutral valuation model indicates it is economically rational for them to do so. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any securities exchange and may have limited or no secondary market. The estimated value on the pricing date is expected to be about $919 per note, reflecting issuing, selling, structuring and hedging costs borne by investors and the issuer’s internal funding rate.