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 priced Buffered PLUS securities due August 5, 2030, unsecured notes fully and unconditionally guaranteed by Morgan Stanley that reference the worst performing of the Russell 2000® and the S&P 500® indices. Each security has a stated principal amount of $1,000 and a leverage factor of 118%. At maturity investors receive principal plus leveraged upside if the worst performing underlier is above its initial level; full principal if the worst performing underlier is between its initial level and an 80% buffer level; and suffer losses beyond the buffer with a minimum payment at maturity of 20% of principal. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities due July 19, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an annual contingent coupon of 8.50% payable only if all three underliers meet coupon barrier tests on observation dates. The notes are linked to the worst performing of the Nasdaq-100, Russell 2000 and the State Street SPDR S&P Regional Banking ETF (KRE). Automatic early redemption can occur beginning with the first redemption determination date on January 19, 2027. If not redeemed, principal at maturity depends on the worst performing underlier and can be reduced 1% for each 1% decline below the downside threshold, potentially to zero. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes linked to Netflix, Inc. common stock, with a stated principal amount of $1,000 per security. The notes pay a contingent coupon (annual rate determined at pricing, indicated 12.00% to 13.00%) only if the underlier meets coupon barriers on observation dates and may be automatically redeemed early if the call threshold is met. If not called, maturity payment depends on the final level versus a downside threshold (both set at 70% of the initial level in this supplement); a final level below that threshold results in principal loss pro rata. The estimated value on the pricing date is approximately $954.90 per security. All payments are subject to MSFL/Morgan Stanley credit risk.
Morgan Stanley Finance LLC offers $250,000 aggregate principal of Principal at Risk securities tied to Tesla, Inc. Each security has a $1,000 stated principal amount and an original issue price of $1,000 per security. The securities pay a contingent coupon at an annual rate of 11.40% on observation dates when the underlier meets the coupon barrier, feature automatic early redemption if the underlier reaches the call threshold on a redemption determination date, and repay principal at maturity only if the final level is at or above the downside threshold; otherwise payment at maturity equals the stated principal multiplied by the performance factor and could be significantly less or zero.
Morgan Stanley Finance LLC priced a primary offering of structured, principal-at-risk notes linked to the S&P 500® Index. The securities have a $1,000 stated principal amount each, aggregate $320,000, an 8.75% upside payment ($87.50) and a 15% buffer with a 1.1765 downside factor. The initial level is 7,354.02, the observation date is July 26, 2027, and maturity is July 29, 2027. The estimated value on the pricing date is $992.50. Investors bear issuer credit risk and may lose their entire investment if the final level is below the buffer.
Morgan Stanley Finance LLC is offering structured Principal at Risk Securities linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security and do not pay interest.
The notes provide a 30% buffer (buffer level = 70% of initial level) and a 100% participation rate in index appreciation, subject to a maximum payment at maturity of $1,455 per security and a minimum payment of 30% of principal. Observation date is July 10, 2030 with maturity on July 15, 2030. The estimated value on the pricing date is approximately $975.00 per security. All payments are subject to the issuer's and guarantor's credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk notes linked to the S&P 500® Futures Excess Return Index due July 1, 2030. Each security has a stated principal amount of $1,000, an upfront issue price of $1,000 and an estimated value on the pricing date of $988.20. At maturity investors receive the stated principal plus a fixed upside payment of $343.50 if the final level is greater than or equal to the buffer level, or a reduced payment tied to the index performance below the buffer (a 25% buffer applies). The securities do not pay interest, are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC priced Principal at Risk Auto-Callable Securities linked to Marvell Technology common stock. The offering is $200,000 aggregate at $1,000 per security, with a stated principal of $1,000 and an estimated value of $984.50 on the pricing date. The notes pay a fixed coupon of 19.20% per annum monthly and can be automatically redeemed early if the underlier meets the call threshold of $281.26 on any redemption determination date. At maturity, if the final level is below the downside threshold of $168.756 (60% of initial level), investors’ principal is reduced proportionally (performance factor = final level/initial level). All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced $1,291,000 of 1-year structured Principal at Risk securities tied to the worst performing of the Nasdaq-100 Technology Sector, Russell 2000 and S&P 500 indices. Each security has a stated principal amount of $1,000 and an issue price of $1,000.
The securities pay no interest and provide a fixed $147.50 upside payment (14.75%) if the worst performing underlier finishes at or above its buffer level (85% of its initial level). If the worst performing underlier finishes below its buffer, investors lose 1% of principal for each 1% decline beyond the 15% buffer, subject to a 15% minimum payment at maturity. Estimated value on the pricing date was $988.80 per security; all payments are subject to Morgan Stanley and MSFL credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities with a stated principal amount of $1,000 per security. The notes pay a contingent coupon at an annual rate of 10.00% only when both underliers meet coupon barrier tests and can auto-redeem early if call thresholds are met. Key dates: strike/pricing date: July 28, 2026, original issue date: July 31, 2026, final observation date October 28, 2027 and maturity: November 2, 2027. Coupons and principal are exposed to the worst-performing underlier (Nasdaq-100® Technology Sector and Russell 2000®), coupon and downside barriers are 75% of initial levels, and call thresholds are 100% of initial levels. The estimated value on the pricing date is approximately $953.90 per security; all payments are subject to Morgan Stanley’s credit risk.