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.
The issuer, Morgan Stanley Finance LLC (guaranteed by Morgan Stanley), is offering contingent income auto-callable securities linked to the common stock of Five Below, Inc.. Each security has a $1,000 stated principal amount; aggregate issuance is $3,160,000. The securities pay a contingent coupon at an annual rate of 12.50% on observation dates when the closing level of the underlier is at or above the coupon barrier level. The notes are auto-callable if the closing level is at or above the call threshold on any redemption determination date, paying principal plus the contingent coupon. At maturity, if not redeemed and the final level is below the downside threshold, payment equals the stated principal amount multiplied by the performance factor, exposing investors to a full loss of principal if the underlier declines sufficiently. All payments are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable structured securities due June 29, 2029, fully guaranteed by Morgan Stanley. The securities are sold at an issue price of $1,000 per security with an aggregate principal amount of $550,000.
The notes are linked to the worst performing of the Dow Jones Industrial, Nasdaq-100 and S&P 500. They carry a 150% participation rate on upside, an early redemption payment of $1,186 on the first determination date (June 29, 2027), and a downside threshold at 70% of each initial level. Estimated value on the pricing date was $971.70 per security.
Morgan Stanley Finance LLC is offering Principal at Risk Buffered Participation Securities due July 1, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities are linked to the worst performing of the Dow Jones Industrial Average and the S&P 500, provide a 20% buffer and a minimum payment at maturity of 20% of principal.
Each security has a stated principal amount of $1,000, an issue price of $1,000 and an estimated value on the pricing date of $934.50. The participation rate is 103%; losses beyond the 20% buffer are borne 1% for 1% by investors. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering $4,437,000 aggregate principal of Contingent Income Auto-Callable Securities due June 29, 2029, linked to the common stock of Halliburton Company and fully guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an original issue price of $1,000.
The securities pay a contingent quarterly coupon at an annual rate of 12.10% only when the determination closing price on a determination date is at least $20.526 (the downside threshold, equal to 60% of the initial share price of $34.21). If an early call occurs on any of the first eleven determination dates when the closing price is at or above the initial share price, holders receive the stated principal plus the applicable contingent coupon. If not called and the final share price is below the downside threshold, payment at maturity is the stated principal multiplied by the share performance factor and could be less than 60% of principal or zero. The issuer estimates the securities' value on the pricing date as $964.80 per security. The proceeds will be used for general corporate purposes and all payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities fully and unconditionally guaranteed by Morgan Stanley with an aggregate principal amount of $244,000. The notes have a stated principal of $1,000 per security, mature on July 1, 2031 and may be automatically redeemed on scheduled determination dates if the underlier meets the call threshold level.
The underlier is the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index (initial level 1,335.63), the call threshold is 1,202.067 (90% of initial) and the buffer level is 1,135.286 (85% of initial). Early redemption payments correspond to approximately 14.50% per annum; payment at maturity is tiered (up to $1,725.00 if final level ≥ call threshold, return of principal if final level ≥ buffer, or a pro rata loss below the buffer subject to a 15% minimum payment).
Morgan Stanley Finance LLC is offering Principal at Risk structured notes due June 29, 2029 linked to the worst performer of the Nasdaq-100 Index, the State Street Technology Select Sector SPDR ETF and the VanEck Semiconductor ETF, with a stated principal amount of $1,000 per security and an aggregate offering of $1,132,000.
The securities pay a contingent coupon at an annual rate of 17.00% only when the closing level of each underlier meets its coupon barrier on observation dates, are callable based on a risk-neutral valuation model beginning December 31, 2026, and return principal at maturity only if each underlier is at or above its 60% downside threshold; otherwise investors lose in proportion to the worst-performing underlier. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced an offering of Autocallable Buffered Russell 2000® Index-Linked Notes fully guaranteed by Morgan Stanley. Each note has a $1,000 face amount, does not pay interest, and may be automatically called between 12 and 14 months after trade date for a cash payment equal to $1,000 plus a call premium expected between 11.76% and 13.80%. If not called, maturity is expected at approximately 36 months; payments depend on Russell 2000® performance with a 150% upside participation rate, a 5.00% buffer, and a Buffer Rate of approximately 105.26%. The issuer estimates the trade-date estimated value at approximately $964.10 per note and the public price is $1,000 with agent commissions of 3.00% per note.
Morgan Stanley Finance LLC offers Principal at Risk structured notes—callable contingent income securities due June 29, 2029—fully and unconditionally guaranteed by Morgan Stanley. The offering is issued at $1,000 per security with an aggregate principal amount of $400,000 and an estimated value on the pricing date of $976.30 per security. The notes pay a contingent coupon of 12.20% per annum on each coupon payment date only if the closing level of each of three ETF underliers (XLF, XLV, XHB) is at or above its coupon barrier on each related observation date. If not redeemed, principal repayment at maturity depends on the worst performing underlier relative to its 70% downside threshold; losses can equal the full initial investment. Early redemption may occur on specified redemption dates if a risk neutral valuation model indicates redemption is economically rational, and all payments remain subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced structured notes — Enhanced Buffered Jump Securities linked to the Nasdaq-100 Index with a $1,000 stated principal per security and $1,000,000 aggregate principal. The securities mature on July 13, 2027 with an observation date of July 8, 2027.
At maturity, if the final level is ≥ the buffer level (23,552.256), holders receive the stated principal plus a fixed $95 upside payment. If the final level is below the buffer, losses occur at a 1.25% downside factor for each 1% decline beyond the 20% buffer; there is no minimum payment. Estimated value on the pricing date was $988.00 and the issue price was $1,000 (agent commission $10, proceeds to issuer $990 per security). All payments are subject to MSFL/Morgan Stanley credit risk.
Morgan Stanley Finance LLC prices principal-at-risk, auto-callable structured securities. The pricing supplement offers 320 securities at a $1,000 stated principal amount each (aggregate $320,000) tied to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. The notes may auto-redeem on scheduled determination dates beginning June 29, 2027 if the underlier meets the call threshold of 1,335.63, delivering fixed early redemption payments that escalate across 48 potential determination dates. At final maturity on July 1, 2031, payments depend on the final index level relative to the initial level (1,335.63) and an 85% buffer level (buffer amount 15%), with a minimum payment of 15% of principal. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to Morgan Stanley credit risk.