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 contingent income securities due June 29, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays a contingent coupon of 9.65% per annum only if the closing level of each underlier meets its coupon barrier on each observation date.
The securities are linked to the worst performing of the Nasdaq-100 Technology Sector, the Russell 2000 and the S&P 500. If not redeemed early, investors receive principal at maturity only if each underlier’s final level is at or above its downside threshold (60% of initial level); otherwise payment at maturity equals principal multiplied by the performance factor of the worst performing underlier, which could result in a significant loss or zero. The securities may be called beginning on July 2, 2027 based on the output of a risk neutral valuation model. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Auto-Callable Trigger PLUS notes due July 6, 2028, linked to the Russell 2000® Index with an aggregate principal amount of $3,442,000. Each security has a stated principal amount of $1,000 and an issue price of $1,000.
The securities are automatically redeemed if the index on the first determination date (6/24/2027) is at or above the initial index value of 2,939.195, producing an early redemption payment of $1,132.00 on the early redemption date (6/29/2027). If not auto‑redeemed, maturity payment (7/6/2028) depends on the final index value: full principal plus 125% of upside if above the initial index value; return of $1,000 if final index ≥ downside threshold 2,351.356 (80%); otherwise repayment equals principal × index performance factor, which can be less than 80% or zero. All payments are subject to MSFL’s and Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is issuing Structured Investments — Buffered Jump Securities with an auto-callable feature based on the S&P 500® Futures Excess Return Index. The offering totals $523,000 (stated principal $1,000 per security). The securities may be automatically redeemed on the first determination date, June 23, 2027, if the underlier is at or above the call threshold (initial level 603.83), in which case investors receive an early redemption payment of $1,140 per security. If not called, maturity is June 22, 2029. At maturity investors receive: (a) principal plus an upside payment if the final level > initial level (participation rate 248%); (b) principal if final level ≥ buffer level (buffer = 90% of initial level; buffer level 543.447); or (c) a reduced payment that loses 1% per 1% decline beyond the buffer, subject to a minimum payment of 10% of principal. Estimated value on the pricing date was $986.30 per security. Sales are directed to fee-based advisory accounts via MS & Co.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable structured notes linked to the VanEck® Semiconductor ETF with an aggregate principal amount of $536,000 at a per-security issue price of $1,000. The notes are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley.
The securities have an automatic early redemption feature on the first determination date of June 21, 2027 if the underlier's closing level is greater than or equal to the call threshold level of $616.00, producing an early redemption payment of $1,287.50 per security. If not called, maturity is June 22, 2029. The payoff at maturity uses a 150% participation rate for upside; if the final level is below the downside threshold of $431.20 (70% of the initial level), principal is reduced pro rata and could be zero. All payments are subject to Morgan Stanley credit risk. The document states an estimated value on the pricing date of $973.00 per security.
Morgan Stanley Finance LLC priced contingent income, memory auto-callable securities linked to Micron Technology common stock. Each note has a $1,000 stated principal and an original issue price of $1,000; the aggregate offering size is $1,070,000. The notes pay a contingent coupon of 28.85% per annum on scheduled coupon dates only if the underlier’s closing level on observation dates is at or above the coupon barrier ($510.38, 50% of the initial level). The securities are automatically redeemed early if the underlier’s closing level on a redemption determination date is at or above the call threshold ($1,020.76, 100% of the initial level), in which case holders receive principal plus any payable contingent coupons. At maturity, if not redeemed and the final level is below the downside threshold ($510.38), payment equals the stated principal multiplied by the performance factor (final level / initial level), exposing investors to possible total or near-total loss of principal. All payments are subject to Morgan Stanley and MSFL credit risk.
Morgan Stanley Finance LLC is issuing callable contingent income securities linked to ServiceNow, Inc. common stock that are fully guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000, a contingent coupon of 21.75% per annum and a final maturity of December 21, 2027.
Coupons are paid only if the underlier's closing level on each observation date is at or above the coupon barrier level of $50.665 (50% of the initial level). If not redeemed earlier and the final level is below the downside threshold of $50.665, principal is reduced pro rata by the underlier's decline; losses could be total.
Morgan Stanley Finance LLC priced principal-at-risk, auto-callable securities linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount and $1,000 issue price; aggregate issuance is $500,000.
The securities can be automatically redeemed on the first determination date June 21, 2027 if the underlier closes at or above the call threshold 3,165.66, producing an early redemption payment of $1,252.50. At final determination on June 16, 2031, payoff depends on the final level versus the initial level 3,517.40 and the downside threshold 1,758.70; the participation rate for upside is 325%. Investors bear issuer credit risk and may lose their entire principal.
Morgan Stanley Finance LLC priced a callable principal-at-risk note linked to the common stock of Incorporated (QCOM). The offering is $1,309,000 aggregate with a stated principal of $1,000 per security and an issue price of $1,000. The securities pay a contingent coupon of 24.00% per annum on each interest period only if the closing level of the underlier meets or exceeds a coupon barrier set at $107.035 (50% of the initial level). The initial closing level was $214.07. The notes are callable beginning December 21, 2026 based on the output of a risk neutral valuation model. At maturity December 21, 2027, if the final level is below the downside threshold of $107.035, principal is reduced pro rata by the performance factor (final/initial level), which could result in the loss of most or all principal. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes linked to the Class A common stock of Meta Platforms, Inc. (underlier). Each note has a $1,000 stated principal amount and matures on August 5, 2027. The notes pay a contingent coupon at an annual rate of 10.30% on each interest period only if the closing level of the underlier on the related observation date is at or above the coupon barrier (80% of the initial level). The notes feature automatic early redemption on specified determination dates if the closing level is at or above the call threshold (100% of the initial level). At maturity, if the final level is below the buffer (80% of the initial level), principal is reduced by 1% for each 1% decline beyond the 20% buffer, subject to a minimum payment of 20% of principal. All payments are unsecured obligations of MSFL and guaranteed by Morgan Stanley; holders bear issuer credit risk. The document states an estimated value on the pricing date of approximately $969.20 per security.
Morgan Stanley Finance LLC offers Principal-at-Risk contingent income auto-callable securities guaranteed by Morgan Stanley. The issue totals $2,456,000 in aggregate principal at $1,000 per security, maturing July 21, 2027 with a final observation on July 16, 2027.
The securities pay a contingent coupon at an annual rate of 15.25% only if the closing level of the underlier, Fiserv, Inc., is at or above the coupon barrier of $29.400 (59% of the initial level) on observation dates. Automatic early redemption may occur on specified dates beginning with the redemption determination date of December 16, 2026 if the underlier is at or above the call threshold of $49.83. If not redeemed and the final level is below the downside threshold of $29.400, payment at maturity equals principal multiplied by the performance factor and could be significantly less than principal or zero. The estimated value on the pricing date was $975.60 per security.