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 offers market-linked notes due July 8, 2031 fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000 and does not pay interest. At maturity investors receive the stated principal amount and, if the basket’s final level exceeds the initial level, an upside payment equal to the stated principal amount × the participation rate × the underlier percent change. The participation rate is 112%. The underlier is a 10-stock equally weighted basket (each 10%) including PFE, DUK, SO, KO, MO, O, BRK.B, PG, WEC and UL. The strike and pricing date are July 2, 2026 and the observation date is July 2, 2031. The issue price is $1,000 per note and Morgan Stanley estimates the note's value on the pricing date at approximately $946.60. All payments are subject to Morgan Stanley’s credit risk; the notes are unsecured, not exchange-listed and secondary market liquidity may be limited.
Morgan Stanley Finance LLC offers Structured Investments Step-Up Jump Notes with an Auto-Callable Feature due July 21, 2033, fully and unconditionally guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount per note, an original issue price of $1,000 and an estimated value on the pricing date of approximately $895.10 per note.
The notes pay no interest, may be automatically redeemed on specified annual determination dates beginning July 16, 2027 if the underlier meets rising call thresholds, and otherwise pay at maturity either principal plus any upside (100% participation) if the final level exceeds the initial level, or only principal if it does not. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced structured, auto-callable jump notes due July 21, 2033, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest and offers a 100% participation in positive index performance at maturity. The notes may be automatically redeemed on specified annual determination dates beginning July 16, 2027 if the Morgan Stanley Amplitude Index closing level meets or exceeds a call threshold (set at 101% of the initial level). Early redemption payments are fixed and range from at least $1,107.50 (first call) up to at least $1,645.00 (sixth call) per note in the examples. The estimated value on the pricing date was approximately $901.90 per note. All payments are subject to issuer and guarantor credit risk; the notes are unsecured, non‑deposit instruments and will not be listed. The underlier is a new, rules-based multi-asset index (inception January 5, 2026) that deducts fees including 0.65% per annum and historically averaged total fees of approximately 1.4% per annum in back-tested data.
Morgan Stanley Finance LLC offers Principal at Risk Dual Directional Jump Securities linked to Marvell Technology, Inc. common stock with an auto-callable feature and a $1,000 stated principal per security. The securities may be automatically redeemed on scheduled determination dates beginning July 23, 2027 for fixed early redemption payments (first example $1,350.00). If not redeemed, payment at maturity on July 19, 2029 depends on the final level relative to the call threshold (75% of the initial level) and the downside threshold (50% of the initial level). The estimated value on the pricing date is approximately $939.10 per security. All payments are subject to Morgan Stanley Finance LLC’s and Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering callable Principal at Risk securities linked to the S&P 500® Futures Excess Return Index with a $1,000 stated principal amount per security. The notes feature a 15% buffer, a 200% participation rate on upside, a call feature beginning July 22, 2027, and a minimum payment at maturity equal to 15% of principal.
The securities do not pay interest, carry issuer and guarantor credit risk, and include scheduled fixed redemption payments on multiple redemption dates; estimated value on the pricing date was approximately $932.00 per security.
Morgan Stanley Finance LLC is offering structured, market-linked notes due August 2, 2029, fully and unconditionally guaranteed by Morgan Stanley, linked to the Morgan Stanley Amplitude Index. Each note has a stated principal amount of $1,000 and pays no interest; at maturity investors receive principal plus an upside payment only if the index final level exceeds the initial level. The upside payment equals stated principal × participation rate × underlier percent change; the participation rate will be set on the pricing date in a range of 475% to 480%. Key dates include a strike and pricing date of July 28, 2026, original issue date July 31, 2026, observation date July 30, 2029 and maturity August 2, 2029. The preliminary estimated value on the pricing date is approximately $924.80 per note. All payments are subject to the issuer’s and guarantor’s credit risk and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC is offering market-linked notes due May 3, 2028, fully and unconditionally guaranteed by Morgan Stanley, linked to the Morgan Stanley Amplitude Index. Each note has a $1,000 stated principal amount and pays no interest; at maturity investors receive principal plus an upside payment only if the index final level exceeds the initial level.
The participation rate will be set on the pricing date and is stated as 225% to 230%. Key dates: strike/pricing date July 28, 2026, original issue date July 31, 2026, observation date April 28, 2028. The estimated value on the pricing date is approximately $946.00 per note.
Morgan Stanley Finance LLC is offering principal-at-risk callable buffered jump securities tied to the S&P 500® Futures Excess Return Index. The securities are issued at a stated principal amount of $1,000 per security, have an original issue date of July 31, 2026 and mature on July 31, 2031. Investors face full credit exposure to Morgan Stanley and no regular interest. The securities include a 15% buffer and a 200% participation rate in positive index performance; if the final level is below the buffer, investors lose 1% for each 1% decline beyond the buffer, subject to a minimum payment at maturity of 15% of principal. The notes are callable beginning on August 3, 2027 under a risk-neutral valuation model and list fixed redemption payments on specified redemption dates. The estimated value on the pricing date is approximately $930.50 per security. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC offers callable contingent income securities linked to Palantir Technologies Inc. class A common stock. Each security has a $1,000 stated principal amount and an issue price of $1,000; the estimated value on the pricing date is approximately $957.10.
The notes pay a contingent coupon of 17.80% per annum on scheduled coupon dates only if the underlier’s closing level on each observation date is at or above the coupon barrier (set at 60% of the initial level). If not redeemed earlier under a risk neutral valuation model-based call, the maturity payoff returns principal if the final level is at or above the downside threshold (50% of initial level) or otherwise pays the stated principal multiplied by the performance factor (final level / initial level), exposing investors to full downside loss. The first redemption date is October 16, 2026 and maturity is January 13, 2028.
Morgan Stanley Finance LLC offers principal-at-risk, fixed-coupon, buffered auto-callable securities due July 10, 2031 linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index. The notes pay a 6.50% annual fixed coupon monthly, can auto-redeem beginning July 7, 2027 if the underlier is at or above a call threshold equal to 90% of the initial level, and provide a 15% buffer at maturity with a $1,000 stated principal amount. If final performance is below the buffer, principal is reduced pro rata subject to a 15% minimum payment.