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 issuing $119,000 of Buffered Jump Securities with an auto-call feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, at $1,000 per security.
The notes may be automatically redeemed starting on December 1, 2026 if the index closes at or above the 90% call threshold, paying early redemption amounts that target about 12.10% per annum, rising up to $1,594.90 per security before maturity. If held to November 29, 2030 and not called, investors receive $1,605 per security if the index is at or above the call threshold, only principal back if it stays above the 85% buffer level, and a 1-for-1 loss beyond that buffer down to a minimum payment of 15% of principal. The notes pay no interest, are unsecured, subject to Morgan Stanley’s credit risk, are not exchange-listed, and had an estimated value of $906.20 per $1,000 on the pricing date due to embedded costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $4,085,000 of Buffered Jump Securities with an auto-call feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, maturing on November 29, 2030. Each note has a $1,000 principal amount and is issued at $1,000, but the issuer’s estimated value on the pricing date is $905.30, reflecting embedded costs and an internal funding rate.
The notes pay no interest. They are automatically redeemed on scheduled determination dates if the index is at or above 100% of its initial level, for fixed cash payments that target about 16.50% per annum. If held to maturity and not called, investors receive $1,825 per note if the index is at or above the call threshold, full principal back if it finishes between the 15% buffer and the threshold, and a proportional loss beyond the 15% buffer, with a minimum maturity payment of 15% of principal.
The securities are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and may have limited or no secondary liquidity. Investors pay a sales commission of $43.50 per $1,000 note, and the tax treatment is complex and uncertain.
Morgan Stanley Finance LLC is offering $464,000 of Contingent Income Buffered Auto-Callable Securities linked to the S&P 500 Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 principal amount, matures on March 1, 2027, and pays a 6.75% per annum contingent coupon only when the index closes at or above 75% of its initial level on scheduled observation dates.
The notes may be automatically called on set dates starting November 24, 2026 if the index is at or above 100% of its initial level, returning principal plus the applicable coupon and ending further payments. At maturity, if not called, investors receive full principal back if the index is at or above the 85% buffer level; below that, repayment is reduced 1% for each 1% decline beyond the 15% buffer, with a minimum payment of 15% of principal. The estimated value on the pricing date is $993.50 per $1,000, the notes are not listed on any exchange, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing fixed income buffered auto-callable securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index with an aggregate principal amount of $1,167,000 and a denomination of $1,000 per security.
The notes pay a fixed coupon at an annual rate of 6.80% until they are automatically redeemed or mature. They are automatically called on specified dates if the index closes at or above 100% of its initial level, returning principal plus the coupon for that period. At maturity, if not previously redeemed and the index is at or above the buffer level of 85% of the initial level, investors receive full principal plus the final coupon; below the buffer, principal is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal.
The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and have an estimated value of $918.30 per $1,000 security on the pricing date, reflecting embedded costs and an internal funding rate.
Morgan Stanley Finance LLC is offering $179,000 of Buffered PLUS, principal-at-risk notes linked to the S&P 500® Index, maturing on November 29, 2030. Each $1,000 security pays no interest and offers 125% leveraged upside on index gains, but the total return is capped at a maximum payment at maturity of $1,507.50 per security (150.75% of principal). A 10% buffer applies on the downside: investors receive full principal back if the index decline stays within 10%, but lose 1% of principal for each 1% drop beyond that, subject to a minimum payment of 10% of principal. The initial index level is 6,705.12 and the buffer level is 6,034.608. The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the pricing date of $941.60 per security and no exchange listing.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Dual Directional Buffered PLUS notes linked to the worst performer of the Dow Jones Industrial Average, Nasdaq‑100 and Russell 2000, with an aggregate principal amount of $1,274,000 and a $1,000 denomination.
The notes pay no interest and mature in November 2030. Investors receive leveraged upside of 124% if the worst index finishes above its initial level, and up to a 20% positive return if it declines but stays within a 20% buffer. If the worst index falls more than 20%, principal is lost 1:1 beyond the buffer, with a minimum payment of 20% of principal. The estimated value on the pricing date is $932 per note, the securities are unsecured and subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and secondary market prices may be significantly below the $1,000 issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $250,000 of structured Callable Contingent Income Securities due November 30, 2027 linked to the worst performing of the S&P 500 Index, Nasdaq-100 Technology Sector Index and Russell 2000 Index. The notes pay a 10.30% annual contingent coupon only when on each observation date all three indices close at or above 70% of their initial levels; otherwise no coupon is paid for that period. If not called, investors receive full principal at maturity only if each index is at or above its 70% downside threshold; if any index finishes below its threshold, repayment is reduced 1% for every 1% decline in the worst performer and can fall to zero. The notes are callable, in whole, on scheduled redemption dates beginning November 30, 2026 if a risk-neutral valuation model deems early redemption economically rational for the issuer. The issue price is $1,000 per security versus an estimated value of $979.70, the notes are not listed on any exchange, and all payments are subject to Morgan Stanley’s credit risk and complex tax and liquidity considerations.
Morgan Stanley Finance LLC is offering $1,243,000 of market-linked notes due November 29, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 principal amount, pays no interest and returns at least principal at maturity, subject to issuer credit risk.
The payoff depends on the worst performing of the Dow Jones Industrial Average and Nasdaq-100 Index. If both final index levels are above their initial levels, investors receive principal plus 100% of the worst index’s gain, capped at a maximum payment of $1,280 per note (128%); otherwise only principal is paid back. The notes are unsecured, not listed on any exchange, and MS & Co. may provide only limited secondary liquidity.
The initial estimated value is $951.80 per note, below the issue price due to issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. U.S. holders are expected to treat the notes as contingent payment debt instruments for tax purposes, with a comparable yield of 4.0907% per annum and annual taxable interest accruals even though no cash interest is paid.
Morgan Stanley Finance LLC is issuing fixed-income buffered auto-callable securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and a 6.55% annual fixed coupon, with an aggregate principal amount of $2,671,000. The notes can be automatically redeemed beginning November 24, 2026 if the index level is at or above 100% of the initial level, paying principal plus the coupon for that period.
If held to November 29, 2030 and not previously redeemed, investors receive principal back only if the final index level is at or above the 15% buffer (buffer level 958.588 vs initial 1,127.75). Below the buffer, principal is reduced 1% for each 1% further decline, but not below 15% of principal. The estimated value on the pricing date is $918.40 per $1,000, reflecting issuance, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing $500,000 of Contingent Income Memory Auto-Callable Securities linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, fully and unconditionally guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per security, mature on November 29, 2030, and pay a contingent coupon at an annual rate of 13.25% only if the index is at or above the 70% coupon barrier on each observation date. The notes may be automatically redeemed early if the index is at or above the 100% call threshold, returning principal plus any due coupons. If held to maturity and the final index level is below the 50% downside threshold, investors lose 1% of principal for each 1% decline in the index, potentially losing their entire investment. The estimated value on the pricing date is $939.60 per security, reflecting issuance, structuring and hedging costs borne by investors.