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 cash-settled equity-linked notes due December 14, 2028, tied to the Class A shares of Alphabet Inc. (GOOGL). Each note has a $1,000 stated principal amount and pays no interest.
At maturity, investors receive the greater of $1,000 or a cash amount based on the average GOOGL closing price on three dates before maturity versus an initial exchange price of $475.5885, set at a 50.00% premium to the $317.059 share reference price. Unless GOOGL appreciates by more than about 50% across those averaging dates, the payout will be only $1,000, so there is principal protection but limited upside.
The notes are unsecured obligations subject to Morgan Stanley’s credit risk, are not equivalent to owning GOOGL stock, and do not provide dividends or voting rights. An extraordinary event feature can terminate the equity-linked component and leave investors with $1,000 at maturity plus a separate option value that may be as low as zero. The notes will not be listed, and the estimated value on the pricing date is about $985.50 per $1,000 note, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Contingent Income Auto-Callable Securities linked to the common stock of Tesla, Inc., maturing on December 20, 2028. Each security has a stated principal amount and issue price of $1,000.
Investors may receive a contingent coupon at an annual rate of 15.70%, but only if Tesla’s closing price on an observation date is at or above a coupon barrier set at 50% of the initial stock level. The notes can be automatically redeemed on scheduled dates if Tesla’s price is at or above a call threshold equal to 100% of the initial level, in which case holders receive principal plus the applicable coupon and no further payments.
If the notes are not called and Tesla’s final level is at or above the 50% downside threshold, investors receive full principal back (plus any final coupon if conditions are met. If the final level is below this threshold, repayment is reduced 1% for every 1% decline in Tesla’s price, and the maturity payment can fall to zero. The estimated value on the pricing date is expected to be about $968 per $1,000 security, reflecting issuer costs and internal funding rates.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $400,000 of $1,000-denomination Jump Notes with an auto-call feature due December 7, 2028, linked to the worst performer of Meta Platforms (META), Tesla (TSLA) and NVIDIA (NVDA) common stocks. The notes pay no interest and return at least the stated principal at maturity, subject to issuer credit risk.
The notes are automatically redeemed if, on a determination date, each stock closes at or above its call threshold (set at 100% of its initial level), paying an early redemption amount that corresponds to about 10.35% per year, including $1,103.50 per note on December 9, 2026 or $1,207.00 on December 9, 2027. If the notes are not called and any stock finishes below its threshold at final observation, investors receive only $1,000 per note.
The estimated value on the pricing date is $964.40 per $1,000 note, reflecting issuer funding rates, structuring, hedging and a $25-per-note sales commission. The notes are unsecured, not listed on any exchange, may have limited liquidity, are treated as contingent payment debt instruments for U.S. tax purposes, and their value is sensitive to the issuer’s credit spreads and the volatility and correlation of META, TSLA and NVDA.
Morgan Stanley Finance LLC is issuing Enhanced Trigger Jump Securities, principal-at-risk notes linked to the worst performer of the S&P 500® Index, Nasdaq-100 Index® and Dow Jones Industrial AverageSM, maturing on June 10, 2027. Each security has a $1,000 stated principal amount, with an aggregate principal amount of $1,220,000 and an estimated value on the pricing date of $984.50.
If on the observation date the final level of each index is at least 65% of its initial level, investors receive $1,000 plus a fixed $110 upside payment per security, capping total return at 11%. If any index finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst index, and the payout can fall to zero.
The notes pay no interest, are unsecured obligations of Morgan Stanley Finance LLC fully and unconditionally guaranteed by Morgan Stanley, will not be listed on any exchange and may have limited secondary liquidity. Investors also face Morgan Stanley credit risk, embedded issuance, structuring and hedging costs, and complex U.S. tax treatment described as prepaid financial contracts.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-callable feature linked to the worst performer of the Nasdaq-100® Technology Sector Index and the S&P 500® Index, maturing on December 24, 2030. Each security has a $1,000 stated principal amount and pays no interest.
The notes are automatically redeemed on scheduled determination dates starting December 24, 2026 if both indices are at or above their call thresholds, for step-up early redemption payments beginning at at least $1,091.40 and rising to at least $1,411.30, corresponding to an annualized return of about 9.14%. If held to maturity and both indices are at or above their call thresholds, investors receive at least $1,457 per $1,000. If either index finishes below its call threshold but both remain at or above their downside thresholds, only principal is returned. If either ends below its downside threshold, repayment is reduced 1% for each 1% decline of the worst performer, potentially to zero.
The estimated value on the pricing date is about $946.40 per security, below the $1,000 issue price due to structuring, distribution and hedging costs and the issuer’s internal funding rate. Key risks include full principal loss, limited upside, issuer and guarantor credit risk, no exchange listing, technology-sector concentration and uncertain U.S. tax treatment.
Morgan Stanley Finance LLC is issuing Callable Buffered Jump Securities linked to the S&P 500® Futures Excess Return Index, with $1,000 stated principal per security and $3,627,000 aggregate principal amount, maturing December 10, 2030 and fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest and are principal at risk. Starting December 11, 2026, they may be redeemed in whole on scheduled redemption dates if a risk neutral valuation model indicates calling is economically rational for Morgan Stanley; if called, investors receive a fixed cash redemption payment per the schedule, corresponding to a return of approximately 18.50% per annum, and no further payments.
If not redeemed and the final index level exceeds the 561.03 initial level, holders receive principal plus an upside payment equal to 200% of the index gain. If the final level is at or above the buffer level of 476.876 (15% below the initial level), only principal is repaid; below the buffer, repayment declines one-for-one with index losses beyond the buffer, subject to a minimum payment at maturity of 15% of principal.
The estimated value on the pricing date is $949.30 per security, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs and an internal funding rate. Key risks include loss of a significant portion of principal, early redemption risk, issuer credit risk, limited liquidity, index methodology changes and uncertain U.S. federal income tax treatment.
Morgan Stanley Finance LLC is offering $1,025,000 of Contingent Income Memory Auto-Callable Securities due December 10, 2030, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. These principal-at-risk notes pay a 12.75% annual contingent coupon only if the index is at or above the coupon barrier level of 956.856 (80% of the 1,196.07 initial level) on each observation date, with a “memory” feature that can pay previously missed coupons when conditions are later met.
The securities may be automatically redeemed starting December 7, 2026 if the index is at or above the call threshold level of 1,196.07, returning principal plus the due and any unpaid contingent coupons, after which no further payments occur. If held to maturity and the final index level is at or above the downside threshold of 717.642 (60% of the initial level), investors receive their full principal; if it is below, repayment falls 1% for each 1% index decline, potentially to zero.
Each security has a $1,000 issue price and an estimated value of $894.70 on the pricing date, reflecting issuing, selling, structuring and hedging costs and an internal funding rate. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, are not FDIC insured, will not be listed on any exchange and depend on Morgan Stanley’s credit and limited secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Buffered PLUS notes linked to the iShares MSCI EAFE ETF. Each $1,000 security pays no interest and offers 150% leveraged upside on any gain in the ETF, up to a maximum payment at maturity of $1,280 per security, with a 10% downside buffer and a minimum repayment of 10% of principal on December 9, 2027.
If the ETF finishes between 90% and 100% of its initial level of $95.81, investors receive their $1,000 back; below the buffer they lose 1% of principal for every 1% additional decline. The notes are unsecured, not listed on any exchange and subject to Morgan Stanley’s credit risk. The estimated value at pricing is $984.10 per security, lower than the $1,000 issue price because it reflects issuing, selling, structuring and hedging costs and the issuer’s internal funding rate, and the U.S. tax treatment is described as uncertain and potentially adverse.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities due December 22, 2028, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes are linked to the worst performer of the S&P 500 Index, the Russell 2000 Index and the Nasdaq-100 Technology Sector Index. Investors may receive a contingent coupon at an annual rate of 9.50% on scheduled payment dates, but only if on each observation date all three indexes close at or above their coupon barrier levels, set at 80% of initial levels. The notes can be automatically redeemed starting with the December 21, 2026 redemption determination date if all indexes are at or above 100% of their initial levels, returning principal plus the applicable coupon and any unpaid coupons. If held to maturity and all final index levels are at or above 60% of initial levels, investors receive the stated principal amount plus any due coupons; otherwise, repayment is reduced by 1% of principal for every 1% decline in the worst-performing index from its initial level, and the maturity payment could be zero. The estimated value on the pricing date is approximately $986.80 per $1,000 security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $1,000-denomination Buffered Jump Securities due December 8, 2027. The $1,000,000 principal-at-risk notes are linked to an equal-weight basket of AbbVie, Eli Lilly, Regeneron, Vertex and UnitedHealth.
The notes pay no interest and do not guarantee principal. They auto-call on December 16, 2026 if the basket is at or above 100% of its initial level, returning $1,106 per note. If held to maturity and the basket finishes above its initial level, investors receive $1,000 plus 125% of the basket’s gain. If the final level is between 80% and 100%, principal is returned. Below the 80% buffer, losses are amplified by a 1.25 downside factor and repayment can fall to zero.
The estimated value on the pricing date is $965.30 per $1,000 note, reflecting fees, hedging and Morgan Stanley’s internal funding rate. The securities are unsecured, subject to Morgan Stanley’s credit, not listed on an exchange and not insured by the FDIC.