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, filed a preliminary pricing supplement for step-down callable contingent income memory buffered securities due October 25, 2028. These principal-at-risk notes are linked to the worst performing of the Nasdaq‑100 Index, the Consumer Staples Select Sector SPDR Fund, and the S&P 500 Futures Excess Return Index, with a $1,000 issue price and denominations of $1,000.
The notes offer a 10.00% per annum contingent coupon payable only if each underlier is at or above its then‑applicable coupon barrier on the observation date; missed coupons can be paid later if a future observation meets the barrier. The issuer may call the notes on scheduled dates if a risk‑neutral valuation model indicates early redemption is economically rational for the issuer. At maturity, if not called, investors receive principal only if each underlier is at or above a 25% buffer level; otherwise losses increase by 1.3333% for each 1% decline of the worst underlier beyond the buffer. The estimated value on the pricing date is approximately $989.50 per security (within $45.00 of that estimate). The notes are unsecured, subject to issuer/guarantor credit risk, and will not be listed.
Morgan Stanley Finance LLC launched a preliminary pricing for principal-at-risk, contingent income “memory” auto-callable securities due October 19, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of Rubrik, Inc. Class A common stock and Apple, Inc. common stock. They pay a contingent coupon only if each underlier closes at or above its coupon barrier on the observation date; missed coupons can be paid later if both underliers meet the barrier on a future date.
The notes may auto-redeem starting April 16, 2026 if each underlier is at or above its call threshold, returning the stated principal plus the applicable contingent coupon and any previously unpaid coupons. If held to maturity and either underlier finishes below its downside threshold, the repayment is reduced 1% for each 1% decline of the worst performer, which can result in a total loss. The contingent coupon rate is 21.00% per annum; coupon and redemption mechanics reference barriers set at 70% and thresholds at 100% of initial levels. The issue price is $1,000 per security, with an estimated value on the pricing date of approximately $941.30 per security. The notes will not be listed and are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley (MS), announced preliminary terms for Contingent Income Auto‑Callable Securities due October 21, 2030 linked to the S&P 500 Futures 40% Intraday 4% Decrement VT Index. These principal‑at‑risk notes offer a 16.50% annual contingent coupon, paid only if the underlier closes on or above the coupon barrier on each observation date.
The notes may be automatically redeemed beginning on October 19, 2026 if the underlier is at or above the call threshold (100% of the initial level), for the $1,000 stated principal amount plus the applicable coupon. If held to maturity and not previously redeemed, investors receive the stated principal if the final level is at or above the downside threshold (50% of initial); otherwise, repayment is reduced 1% for every 1% decline in the underlier, potentially to zero.
The coupon barrier is 70% of the initial level. The issue price is $1,000 per security; the preliminary estimated value is approximately $924 per security. The notes are unsecured, subject to the issuer’s and guarantor’s credit risk, will not be listed on any exchange, and are intended for fee‑based advisory accounts with no sales commission paid to MS & Co.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto-Callable Securities linked to Palantir Technologies Inc. (Class A) under Rule 424(b)(2). Each note has a $1,000 stated principal and an estimated value on the pricing date of approximately $949.50 per security.
The notes pay a contingent coupon at an annual rate of at least 16.25%, but only if the underlier’s closing level is at or above the coupon barrier (50% of the initial level) on the observation date. The notes are auto-callable if the underlier is at or above the call threshold (100% of the initial level) on any redemption determination date, returning principal plus the coupon.
If not called, the notes mature on October 22, 2029. At maturity, if the underlier is at or above the downside threshold (50% of the initial level), investors receive principal (plus any final coupon if payable). Otherwise, repayment is reduced 1% for each 1% decline from the initial level, and could be zero. The securities are unsecured, subject to issuer and guarantor credit risk, and will not be listed.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Buffered Participation Securities linked to the S&P 500 Index, due April 28, 2027. The notes pay no interest and return depends on the index level on the observation date.
At maturity, investors receive $1,000 plus the index upside at a 100% participation rate, capped at a maximum payment of $1,147.50 per security. If the index is flat to down but not below the 10% buffer, investors earn the absolute decline at 100% participation, effectively up to a +10% positive return. If the index falls beyond the buffer, principal is reduced 1% for each 1% decline beyond 10%, with a minimum payment of 10% of principal.
The issue price is $1,000 per security, including a $15 sales commission (proceeds to issuer $985 per security). The estimated value on the pricing date is approximately $980.10 per security (or within $35 of that estimate). The securities are unsecured obligations subject to the issuer’s and guarantor’s credit risk and will not be listed on any exchange.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Contingent Income Auto‑Callable Securities due November 2, 2028, fully and unconditionally guaranteed by Morgan Stanley. These principal‑at‑risk notes are linked to the worst performing of the Dow Jones Industrial Average, Nasdaq‑100 Index and Russell 2000 Index.
The notes pay a contingent coupon at 8.00% per annum only if, on each observation date, the closing level of each index is at or above its 75% coupon barrier. They are auto‑callable on scheduled determination dates if all indices are at or above 100% of initial, returning principal plus the coupon for that period. If not called, at maturity investors receive principal only if all indices are at or above the 70% downside threshold; otherwise, repayment is reduced one‑for‑one with the decline of the worst index and could be zero.
The securities are unsecured obligations of MSFL, subject to Morgan Stanley’s guarantee and credit risk. The estimated value on the pricing date is approximately $962.70 per $1,000, reflecting issuance, selling, structuring and hedging costs and an internal funding rate. Key dates include strike and pricing on October 30, 2025 and maturity on November 2, 2028.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Callable Contingent Income Securities due October 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay a contingent coupon at 16.55% per annum only if, on each observation date, the closing level of the SPDR S&P Regional Banking ETF (KRE), the Energy Select Sector SPDR Fund (XLE) and the Nasdaq-100 Technology Sector Index (NDXT) is at or above each underlier’s coupon barrier (70% of its initial level).
The notes may be redeemed early, in whole, on specified redemption dates beginning January 23, 2026, if and only if a risk neutral valuation model indicates redemption is economically rational for the issuer. If held to maturity and each final underlier level is at or above its downside threshold (70%), investors receive the stated principal amount plus any final coupon; otherwise, repayment is reduced 1% for each 1% decline of the worst performer and could be zero. The issue price is $1,000 per security; the estimated value on the pricing date is approximately $979.70 per security.
The securities will not be listed, all payments are subject to the issuer’s credit risk, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due April 26, 2028, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay a 10.25% per annum contingent coupon only when the closing level of each underlier—the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000—is at or above its coupon barrier of 70% of the initial level on the observation date.
The notes may be redeemed in whole, on specified monthly dates starting October 26, 2026, if a risk-neutral valuation model indicates early redemption is economically rational for the issuer; once redeemed, no further payments occur. If held to maturity and each index is at or above its 70% downside threshold, investors receive principal (plus any final coupon if payable); otherwise, repayment decreases 1% for every 1% decline in the worst-performing index, potentially to zero.
The notes are issued at $1,000 per security with an estimated value on the pricing date of approximately $981.30. They will not be listed, are sold to fee-based advisory accounts, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto-Callable Securities due October 20, 2028, linked to the worst performing of the Nasdaq-100 Technology Sector Index, the S&P 500 Index and the Russell 2000 Index. The notes are principal-at-risk and unsecured.
The securities pay a contingent coupon at 8.40% per annum only if on each observation date every underlier is at or above its coupon barrier (70% of its initial level). The notes are auto-callable on scheduled redemption determination dates starting April 17, 2026 if each underlier is at or above its call threshold (100% of initial), paying the stated principal amount plus the contingent coupon.
If not called, at maturity investors receive principal back only if each underlier’s final level is at or above its downside threshold (70% of initial). Otherwise, repayment is reduced by 1% for every 1% decline of the worst underlier, and could be zero. Issue price is $1,000 per security; the issuer’s estimated value on the pricing date is approximately $956.20 per security (within $30 of that estimate). Key dates: strike/pricing October 17, 2025, original issue October 22, 2025; the notes will not be listed and all payments are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Trigger Jump Securities linked to the EURO STOXX 50 Index, due November 5, 2030. The notes pay no coupons and return depends on index performance on the October 31, 2030 valuation date. If the index is at or above the initial level, holders receive $1,000 plus the greater of the index’s percentage gain or a fixed upside payment of $436.60 per security. If the index falls by up to 25%, holders receive $1,000 plus the absolute decline (capped at a 25% positive return). Below the 75% trigger level, repayment is $1,000 multiplied by index performance, with losses 1:1 and no buffer.
The issue price is $1,000 per security; per-security fees include a $30 sales commission and a $5 structuring fee, with stated proceeds to the issuer of $965 per security. The estimated value on the pricing date is approximately $950.10 per security (or within $55.00 of that estimate). The securities will not be listed and are subject to issuer credit risk. Hedging, market volatility, and credit spread changes may affect secondary prices. Principal is at risk, and investors could lose their entire investment.