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 plans to raise its quarterly common stock dividend to $1.15 per share from $1.00, starting with the dividend expected to be declared for the quarter ending September 30, 2026. The board also reauthorized a multi-year common equity share repurchase program of up to $20 billion, with no set expiration, beginning in the third quarter of 2026.
The firm notes that buybacks will occur from time to time based on market conditions, capital levels and its economic and earnings outlook. Following the Federal Reserve’s 2026 stress tests, Morgan Stanley’s Stress Capital Buffer remains at 4.3%, supporting an aggregate U.S. Basel III Standardized Approach CET1 ratio requirement of 11.8% versus an actual CET1 ratio of 15.1% as of March 31, 2026.
Morgan Stanley Finance LLC priced Principal at Risk structured notes due July 6, 2029, linked to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index. Each security has a $1,000 stated principal amount and an upside payment of $465 per security (46.50% of principal). At maturity the payout depends on the worst performing underlier on the observation date: full principal plus the greater of the worst-underlier percent change or the upside payment if all underliers finish at or above initial levels; return of principal only if all underliers finish at or above 70% of initial levels; otherwise investors lose 1% for each 1% decline in the worst underlier, with no minimum payment. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to Morgan Stanley credit risk. The estimated value on the pricing date is approximately $964.60 per security.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due July 8, 2031, fully and unconditionally guaranteed by Morgan Stanley, linked to the worst performing of the Nasdaq-100 Technology Sector, the Russell 2000 and the VanEck Semiconductor ETF.
The securities pay a contingent coupon at an annual rate of 26.60% only if the closing level of each underlier is at or above its coupon barrier (75% of initial level) on an observation date; the downside threshold is 60% of initial level and losses at maturity are 1% for every 1% decline in the worst performing underlier. The first redemption date is January 7, 2027, and early calls are determined by a risk neutral valuation model. The estimated value on the pricing date was approximately $977.90 per security. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk contingent income auto-callable securities due March 27, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and a contingent coupon at an annual rate of 13.60% payable only when the basket closing level meets or exceeds the coupon barrier on specified observation dates. The basket initial level is 100; the call threshold is 90, the coupon barrier is 70, and the downside threshold is 60. The securities can be automatically redeemed on specified redemption determination dates; if not redeemed, repayment at maturity depends on the final level and may result in a pro rata principal loss (payment = stated principal × final level/initial level if final level < downside threshold). The estimated value on the pricing date is approximately $935.60 per security.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes due July 29, 2027 that are fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and a fixed upside payment of $147.50 (14.75%) if the worst performing underlier finishes at or above its buffer level.
Performance is determined solely by the worst performing underlier of the Nasdaq‑100 Technology Sector, Russell 2000 and S&P 500 on the observation date. There is a 15% buffer: losses beyond that buffer reduce principal dollar‑for‑dollar, and the minimum payment at maturity is 15% of principal. All payments are subject to issuer credit risk; estimated value on the pricing date was approximately $984.50 per security.
Morgan Stanley Finance LLC priced principal‑at‑risk securities due July 5, 2030. Each note has a $1,000 stated principal amount and an $595 upside payment (59.50%). The payout depends on the worst performing of the Dow Jones Industrial Average, Nasdaq‑100 and Russell 2000 using a July 1, 2030 observation date and a June 30, 2026 strike/pricing date.
If all underliers finish at or above their initial levels, investors receive principal plus the greater of (i) the percent gain of the worst performing underlier or (ii) the upside payment. If any underlier falls below its downside threshold of 70% of its initial level, investors incur principal losses equal to the worst performing underlier’s decline; there is no minimum payment and full loss is possible. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; all payments remain subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable structured notes linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index with a $1,000 stated principal per security and an original issue price of $1,000. The securities can be automatically redeemed on the first determination date for an early redemption payment of $1,252.50 if the underlier is at or above a call threshold equal to 90% of the initial level. If not called, maturity payoff depends on the final level versus the initial level and a participation rate of 325%; a final level below a downside threshold equal to 50% of the initial level exposes investors to losses proportional to the underlier decline. Key dates include strike and pricing on June 26, 2026, original issue date and maturity on July 1, 2026 and July 1, 2031 respectively, and the first determination date on June 30, 2027. The estimated value on the pricing date was approximately $937.10 per security; all payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a preliminary offering of Trigger PLUS notes due July 15, 2031 linked to the S&P 500® Futures Excess Return Index. Each note has a $1,000 stated principal amount, a 205% leverage factor on upside performance and a downside threshold set at 70% of the initial level. At maturity the payment depends solely on the index closing level on the observation date: (1) above the initial level — principal plus 205% of the index appreciation; (2) between the downside threshold and the initial level — principal; (3) below the downside threshold — principal multiplied by the index performance factor, with no minimum payment and possible total loss of principal. The document discloses an estimated value on the pricing date of approximately $944.70 per security and lists the pricing/strike date as July 10, 2026. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC offers Principal at Risk notes due July 31, 2031 that are fully guaranteed by Morgan Stanley and issued at a $1,000 stated principal amount per security. The securities pay a contingent coupon of 10.00% per annum on observation dates when the underlier meets the coupon barrier, feature an automatic early redemption tied to a 100% call threshold, a 15% buffer and a 15% minimum payment at maturity. The underlier is the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, which includes a 4.0% per annum daily decrement and limited operating history (established August 30, 2024). The pricing-date estimated value is approximately $920.80 per security. All payments are subject to the issuer’s and guarantor’s credit risk; investors risk loss of principal if the final level is below the buffer.
The document is a preliminary pricing supplement for Morgan Stanley Finance LLC notes: structured, principal-at-risk, auto-callable securities due July 13, 2029, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an estimated pricing-date value of approximately $966.60. The notes are linked to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 and Russell 2000. An automatic early redemption can occur on the first determination date (July 14, 2027) for an early redemption payment of $1,233.50 if each underlier meets its call threshold. If not redeemed, maturity payoffs depend on worst-underlier performance with a 175% participation rate for upside, a downside threshold of 70% of initial levels, and potential loss of principal down to zero.