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 principal at risk notes, "Structured Investments Enhanced Trigger Jump Securities," linked to the S&P 500® Futures Excess Return Index with a $1,000 stated principal amount per security. The securities pay no interest and at maturity will either return the stated principal plus a fixed upside payment (priced at $386.50 to $406.50 per security on the pricing date) if the final level is at or above a downside threshold equal to 70% of the initial level, or pay the stated principal multiplied by the performance factor (final level/initial level) if the final level is below that threshold. The securities mature on August 5, 2030 (observation date July 31, 2030) and have an estimated value on the pricing date of Approximately $972.60 per security. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to credit risk, model-based estimated value, limited secondary market liquidity, and uncertain U.S. federal income tax treatment.
The Preliminary Pricing Supplement describes Morgan Stanley Finance LLC notes due August 2, 2033, fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, no periodic interest, a 100% participation rate in upside and an automatic early redemption feature beginning on the first determination date of July 28, 2027. Early redemption payments are fixed per determination date (for example, at least $1,100 on the first early redemption date). If not redeemed early, maturity payoffs equal principal plus any upside if the final level exceeds the initial level; otherwise only principal is returned. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced contingent income auto-callable securities fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal and an original issue price of $1,000. The securities pay a contingent coupon (annual rate to be set on the pricing date, indicated between 13.75%–14.75% range) only if each referenced underlier meets coupon barrier levels on observation dates. Automatic early redemption can occur on specified determination dates; maturity is August 3, 2028. Principal is at risk: if the final level of any underlier is below its downside threshold (70% of initial level), payment at maturity declines pro rata to the worst performing underlier. Estimated value on the pricing date is approximately $967.10 per security.
Morgan Stanley Finance LLC priced market‑linked notes tied to the worst performing of the Dow Jones Industrial Average and the S&P 500. Each unsecured note has a stated principal amount of $1,000, an original issue price of $1,000, an estimated value on the pricing date of approximately $973.10, and a participation rate of 100%. The notes pay no interest and at maturity on August 5, 2030 will return either principal only if the worst performing underlier is at or below its initial level or principal plus upside subject to a maximum payment at maturity of $1,458.50 to $1,508.50. The final observation date used to calculate payoffs is July 31, 2030. All payments are unsecured and subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers Principal at Risk securities linked to Micron Technology, Inc. The securities are $1,000 stated principal notes issued at $1,000 per security with an estimated value of approximately $982.00 on the pricing date. The securities mature on July 20, 2027 with an observation date of July 15, 2027 and an initial/strike pricing date of July 2, 2026. If the final level is at or above a 65% buffer level investors receive the stated principal plus an upside payment of at least $445.50 (44.55%). If the final level is below the buffer, investors lose 1.5385% of principal for every 1% decline beyond the 35% buffer; there is no minimum payment and investors could lose their entire investment. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC offers auto-callable structured Jump Notes due August 2, 2033, fully guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount per note and an original issue price of $1,000 per note; estimated value on the pricing date is approximately $929.60.
The notes pay no interest, can be automatically redeemed on periodic determination dates beginning July 28, 2027 for fixed early redemption payments (ranging from $1,080 to $1,540 per note as listed), and at maturity pay principal plus 100% participation in positive index performance or only principal if the final level is equal to or below the initial level. All payments are subject to issuer credit risk and the notes are unsecured and unlisted.
Morgan Stanley Finance LLC offers market-linked notes due August 5, 2030, fully and unconditionally guaranteed by Morgan Stanley, linked to the worst performing of the EURO STOXX 50® and Russell 2000® indices. The notes have a $1,000 stated principal amount per note and pay no periodic interest. At maturity investors receive the stated principal amount and, if the final level of the worst performing underlier is greater than its initial level, an upside payment equal to stated principal × participation rate × underlier percent change (participation rate to be set on the pricing date in the range 136.50% to 141.50%). The observation (final) level is the closing level on July 31, 2030, and the strike (initial) level is the closing level on July 31, 2026. Estimated value on the pricing date is approximately $969.10 per note. All payments are subject to the issuer’s and guarantor’s credit risk; the notes are unsecured, non‑listed, and may have limited secondary liquidity.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes due August 3, 2029 linked to the worst performing of the Dow Jones Industrial Average, EURO STOXX 50 and Russell 2000. Each security has a stated principal amount of $1,000 and a contingent coupon payable only if all three underliers meet coupon barrier levels on observation dates. The securities feature automatic early redemption on specified determination dates if all underliers meet call thresholds, and a downside payoff at maturity that reduces principal pro rata if the worst performing underlier falls below its 70% downside threshold. Estimated value on the pricing date was approximately $970.10. These notes do not guarantee principal, may pay no coupons, are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS notes due July 31, 2031 linked to the EURO STOXX 50® Index. The stated principal amount is $1,000 per security and the preliminary estimated value on the pricing date is $945.70 per security. The notes provide at maturity either (a) principal plus a leveraged upside (leverage factor at least 150%) if the final level exceeds the initial level, (b) a capped positive payout when the final level falls but remains at or above an 80% buffer, or (c) a principal loss if the final level is below the 80% buffer with a minimum payment equal to 20% of principal. All payments are subject to issuer credit risk and the notes do not pay interest.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities due August 3, 2029. Each security has a stated principal amount of $1,000 and an original issue price of $1,000. The securities pay a contingent coupon (annual rate determined at pricing, indicated between 7.75% and 8.75%) only if the closing level of each underlying index meets its coupon barrier on each observation date.
The notes reference the EURO STOXX 50, Russell 2000 and S&P 500 and are linked to the worst performing underlier. They can be automatically redeemed on scheduled redemption determination dates if each underlier meets its call threshold, and at maturity investors either receive principal (if every underlier is at or above its downside threshold of 60% of initial level) or a reduced payment based on the worst performing underlier, potentially resulting in a total loss of principal. All payments are subject to Morgan Stanley's credit risk.