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 is offering callable principal-at-risk notes tied to the worst performing of four equities. Each security has a stated principal amount of $1,000, pays a fixed coupon at an annual rate of 13.35% monthly, and matures on June 22, 2027 unless earlier redeemed.
Beginning on the first redemption date, the issuer may call the notes if a risk neutral valuation model indicates redemption is economically rational. At maturity, if every underlier is ≥ its downside threshold (65% of initial level), investors receive principal; if any underlier is below its downside threshold, payment equals principal × performance factor of the worst performing underlier, so principal can be substantially reduced or zero. All payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date was about $976.50 per security; the issue price is $1,000.
Morgan Stanley Finance LLC priced contingent-income, principal-at-risk notes linked to Micron Technology common stock. Each security has a $1,000 stated principal amount and may pay a contingent coupon at an annual rate of 31.00% on scheduled coupon dates only if the closing level of Micron meets or exceeds the coupon barrier on each observation date. The notes are automatically redeemed early if Micron’s closing level equals or exceeds the call threshold on any redemption determination date; otherwise, at maturity investors receive principal only if the final level is at or above the buffer level. If the final level is below the buffer level, investors suffer amplified losses equal to a 2x downside factor on declines beyond the 50% buffer and could lose their entire investment. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to issuer credit risk and limited secondary market liquidity.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes linked to the State Street Health Care Select Sector SPDR ETF (XLV) with automatic early redemption features and a $1,000 stated principal amount per security. The securities may auto-redeem on specified determination dates for fixed early redemption payments; if not redeemed, maturity payments depend on the ETF's final level versus the call threshold and a downside threshold set at 70% of the initial level. The pricing date and strike date are June 12, 2026, original issue date is June 17, 2026, first determination date is June 21, 2027, and final determination date is June 12, 2029. Estimated value on the pricing date is approximately $964.80 per security; the original issue price is $1,000, which includes issuance, selling, structuring and hedging costs borne by investors. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes due June 20, 2031 linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount and an original issue price of $1,000. The notes feature an automatic early redemption on the first determination date (June 21, 2027) if the underlier closes at or above a call threshold equal to 90% of the initial level, producing an early redemption payment of $1,252.50. If not redeemed, maturity payoffs depend on final index performance with a 325% participation rate for upside, a downside threshold at 50% of the initial level, and a performance factor that can cause losses of up to the full principal. The underlier carries a 4% per annum decrement and uses intraday rebalancing and volatility-targeting; it was established on August 30, 2024. The estimated value on the pricing date is approximately $933.30 per security. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced a structured note called the Dual Directional Buffered PLUS due June 22, 2029 that is fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and returns are tied to the worst performing of the EURO STOXX 50 and the S&P 500 over the term.
The note offers a 173% leverage factor on upside of the worst performing underlier and a 50% absolute return participation on limited depreciations above an 80% buffer level (20% buffer amount). If the worst performing underlier falls below its buffer, investors lose principal 1% per 1% decline beyond the buffer; the minimum payment at maturity is 20% of principal. All payments are subject to issuer credit risk and secondary market value may be below the original issue price.
Morgan Stanley Finance LLC is offering structured, auto-callable Jump Notes guaranteed by Morgan Stanley linked to the worst performing of Bloom Energy Corporation (BE) and Vertiv Holdings Co (VRT). The notes have a $1,000 stated principal amount per note and an issue price of $1,000 per note. The estimated value on the pricing date was approximately $936.50 per note. The strike and pricing dates are June 18, 2026, the first determination date is June 21, 2027, the final determination date is June 18, 2031, and the maturity date is June 24, 2031.
The notes pay no interest, may be automatically redeemed on a determination date if both underliers meet call threshold levels (each call threshold = 90% of its initial level), and otherwise pay either a fixed positive payment at maturity (examples imply a return of ~12.05% per annum when conditions are met) or only the stated principal if the worst performing underlier is below its call threshold. All payments are subject to the issuer's credit risk; the notes are unsecured and will not be listed.
Morgan Stanley Finance LLC offers contingent income auto-callable securities tied to the common stock of Netflix, Inc., fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal and an issue price of $1,000. The preliminary pricing shows an estimated value of approximately $968.50 on the pricing date. The notes pay a contingent coupon at an annual rate of 12.15% on each coupon payment date only if the closing level of the underlier meets or exceeds the coupon barrier (set at 68% of the initial level) on the applicable observation date.
The notes are auto-callable: if the closing level meets or exceeds the call threshold (100% of the initial level) on any redemption determination date starting December 28, 2026, the notes will be redeemed early for the stated principal plus the contingent coupon for that period. If not called, maturity is July 29, 2027 with final observation July 26, 2027. If the final level is below the downside threshold (also 68% of initial), payment at maturity equals principal times the performance factor and could be significantly less than the stated principal or zero. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk PLUS securities due June 17, 2031 linked to the S&P 500® Futures Excess Return Index. Each security has a $1,000 stated principal amount and a leverage factor of 244.85%. At maturity, if the underlier is higher than the initial level investors receive principal plus the leveraged upside; if lower, investors lose 1 of principal for each 1 decline and could lose their entire investment. The preliminary pricing date and strike date are June 12, 2026, and the document shows an estimated value on the pricing date of approximately $980.60 per security. All payments are unsecured obligations of MSFL and fully and unconditionally guaranteed by Morgan Stanley. Payment outcomes are subject to credit risk, index adjustments, market disruption postponements, and U.S. federal income tax uncertainty.
Morgan Stanley Finance LLC is offering Principal at Risk structured notes linked to Micron Technology common stock. The securities have a $1,000 stated principal amount and an original issue price of $1,000 per security; the estimated value on the pricing date is approximately $954.30 per security. The notes mature on June 22, 2029 with a final observation date of June 18, 2029 and are fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at an annual rate of 31.75% on scheduled coupon payment dates only if the closing level of the underlier is greater than or equal to the coupon barrier level (stated as 60% of the initial level) on the related observation date. The securities are automatically redeemed early if the closing level of the underlier is greater than or equal to the call threshold (100% of the initial level) on any redemption determination date. If not redeemed, and the final level is below the downside threshold (stated as 60% of the initial level), payment at maturity will be the stated principal multiplied by the performance factor (final level / initial level), which could result in a significant loss or zero recovery of principal. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities linked to Alphabet Inc. Class A common stock. Each note has a stated principal amount of $1,000, a contingent annual coupon of 12.25% (paid only if observation levels meet the coupon barrier), automatic early‑redemption tests beginning on September 14, 2026, a final observation on June 12, 2029 and maturity on June 15, 2029.
The notes pay the stated principal at maturity only if the final level is at or above the downside threshold (70% of the initial level); if below, payment equals principal multiplied by the performance factor and could be significantly less or zero. All payments are subject to Morgan Stanley's credit risk. The issuer estimates the value on the pricing date at approximately $966.00 per security.