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 contingent income "memory" auto-callable securities linked to the Class A subordinate voting shares of Shopify Inc. Each security has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $581,000.
The note pays a contingent coupon at 14.00% per year, but only if Shopify’s closing share price on an observation date is at or above the coupon barrier of $78.646, about 49.50% of the initial level of $158.88. Missed coupons can be paid later if the barrier is met, but investors may receive few or no coupons over the life of the notes.
The securities can be automatically redeemed on scheduled redemption dates if Shopify closes at or above the call threshold of $158.88. If not called and at maturity Shopify is at or above the same $78.646 downside threshold, investors receive principal back plus any due coupons. If the final level is below this threshold, the payoff is reduced 1% for every 1% decline in Shopify from the initial level, and the amount returned can fall to zero. The notes are principal at risk, unsecured, not listed on an exchange and subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $969.90 per $1,000 security.
Morgan Stanley Finance LLC is offering principal-at-risk Jump Securities with an auto-call feature due May 19, 2027, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performer of three ETFs: the iShares Russell 2000 ETF, VanEck Semiconductor ETF and Energy Select Sector SPDR Fund.
The securities do not pay interest and do not guarantee return of principal. They can be automatically redeemed on scheduled determination dates starting February 17, 2026 if each ETF is at or above its call threshold level, providing fixed early redemption payments designed to correspond to a return of approximately 12.45% per annum. If held to maturity and not called, investors receive $1,186.75 per $1,000 security if all underliers finish at or above their call thresholds, only $1,000 if all stay above their downside thresholds, and a loss of 1% of principal for each 1% decline in the worst ETF below its downside threshold, potentially down to zero.
The estimated value on the pricing date is approximately $966.70 per $1,000 security, reflecting embedded issuing, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange and may have limited secondary market liquidity.
Morgan Stanley Finance LLC is offering principal-at-risk Jump Securities with an auto-callable feature, fully and unconditionally guaranteed by Morgan Stanley, linked to the worst performer of the Dow Jones Industrial Average, the Nasdaq-100 Technology Sector Index and the Russell 2000 Index. Each security has a $1,000 stated principal amount, an original issue date on November 20, 2025 and a maturity date on November 22, 2028.
The notes can be automatically redeemed on November 27, 2026 for an early redemption payment of $1,198 per security if each index is at or above its 100% call threshold. If not called, at maturity investors receive principal plus upside based on 175% of the gain of the worst-performing index if all are above their initial levels, only principal if all remain at or above 70% downside thresholds, or a loss matching the full decline of the worst performer if any index falls below its 70% threshold, potentially reducing the payoff to zero. The estimated value on the pricing date is approximately $955.90 per security, the securities will not be listed on an exchange, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Trigger PLUS notes due November 15, 2030, linked to the worst performer of the STOXX® Europe 600 Index and the MSCI EAFE® Index. These unsecured, principal-at-risk securities pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if both indexes finish above their initial levels, investors receive $1,000 plus a leveraged upside payment equal to 229% of the worst performer’s gain. If either index is at or below its initial level but both stay at or above 75% of their initial levels, investors simply get back $1,000. If either index falls below 75% of its initial level, repayment is reduced 1% for each 1% decline in the worst-performing index, and the payout can fall to zero.
The securities will not be listed on any exchange, carry Morgan Stanley credit risk, and are designed for fee‑based advisory accounts. The estimated value on the pricing date is approximately $964.40 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is issuing $718,000 of principal-at-risk “Jump Securities” linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an estimated value of $957.50 on the pricing date.
The notes are automatically called on November 16, 2026 if the underlier closes at or above 3,037.10 on November 10, 2026, paying $1,250 per $1,000 and then terminating. If not called, at maturity in November 2030 investors receive the $1,000 principal plus a 350% participation in any index gain, par if the index is flat to down but not below 50% of the initial level, and a 1-for-1 loss if the index falls below that 50% downside threshold, which can result in a total loss.
Returns depend on Morgan Stanley’s credit and there is no interest, no principal protection and no exchange listing. The underlier itself includes a 4% per year decrement, uses leverage of up to 400% on E-mini S&P 500 futures and has limited live history, so its behavior may differ from the S&P 500® Index.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $493,000 of Jump Securities with an auto-callable feature linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index. Each security has a stated principal amount of $1,000 and an issue price of $1,000, with an estimated value on the pricing date of $983.10, reflecting embedded costs and the issuer’s internal funding rate.
The notes can be automatically redeemed on scheduled determination dates starting in November 2026 if all three indexes are at or above their call thresholds (100% of initial levels), paying early redemption amounts that correspond to about 12.85% per annum. If held to maturity in November 2028 and all indexes are at or above their call thresholds, investors receive $1,385.50 per security; if any index finishes below its downside threshold (70% of initial), repayment is reduced 1% for each 1% decline in the worst-performing index and can fall to zero. The securities pay no interest, are not principal protected, will not be listed on any exchange, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering $3,928,000 of Contingent Income Auto-Callable Securities due May 11, 2028, linked to the worst performer of the Nasdaq-100, S&P 500 and Russell 2000 indices and fully guaranteed by Morgan Stanley. Each $1,000 note pays a 10.20% annual contingent coupon only if all three indices are at or above their coupon barriers (80% of initial levels) on scheduled observation dates.
The notes can be automatically called on specified dates if all indices are at or above their call thresholds (100% of initial levels), returning principal plus the applicable coupon but ending any further payments. If held to maturity and any index finishes below its downside threshold (75% of its initial level), principal is reduced 1% for each 1% decline of the worst-performing index, potentially to zero. The estimated value on the pricing date is $970.20 per note, below the $1,000 issue price, reflecting embedded costs and Morgan Stanley’s internal funding rate. The securities are unsecured, not listed, and subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $2,517,000 of Trigger PLUS structured notes linked to the S&P 500® Futures Excess Return Index. Each security has a $1,000 stated principal amount and pays no interest.
At maturity in 2030, if the index is above its initial level of 550.88, investors receive $1,000 plus 185% of the index’s gain. If the index is at or below the initial level but at or above the downside threshold of 275.44 (50% of the initial level), investors receive only $1,000. If the index finishes below the threshold, repayment is reduced 1% for each 1% decline, with no minimum, so the entire investment can be lost. A hypothetical 10% index gain would pay $1,185, while an 85% decline would pay $150.
The notes are unsecured obligations subject to Morgan Stanley’s credit risk and will not be listed on an exchange, so liquidity may be limited. The estimated value on the pricing date is $982.50 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. The filing also highlights complex tax treatment and risks related to futures markets and index methodology changes.
Morgan Stanley Finance LLC is issuing Dual Directional Buffered PLUS structured notes, fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $342,000 and a denomination of $1,000 per note. The notes pay no interest and mature on November 13, 2029, with returns based on the worst performer among the S&P 500 Index, Nasdaq-100 Index and Dow Jones Industrial Average.
At maturity, investors gain 115% of any upside in the worst-performing index, or up to a 20% positive return if that index declines but stays above 80% of its initial level. If the worst-performing index falls below this 20% buffer, principal is lost one-for-one beyond the buffer, with a minimum payment of 20% of principal. The estimated value on the pricing date is $958.40 per note, reflecting embedded issuance, structuring and hedging costs, and investors are exposed to Morgan Stanley’s credit risk and limited secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk structured notes linked to the worst performer among the iShares U.S. Aerospace & Defense ETF, the Utilities Select Sector SPDR Fund and Southern Company stock. Each security has a $1,000 stated principal amount, total offering size of $665,000, and an annual contingent coupon of 9.00% that is paid only when all three underliers close at or above their coupon barrier levels on the relevant observation date.
The notes can be called in whole on specified redemption dates if a risk‑neutral valuation model indicates early redemption is economically rational for the issuer, in which case investors receive $1,000 plus any due coupon and no further payments. At maturity in 2030, if not redeemed and each underlier is at or above its downside threshold level (90% of its initial level), investors receive full principal, plus any final coupon. If any underlier finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst underlier, potentially to zero. The estimated value on the pricing date is $936.60 per security, below the $1,000 issue price.