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 Trigger PLUS notes due July 6, 2032, fully guaranteed by Morgan Stanley. The securities reference the S&P 500® Index and provide 133% leveraged upside subject to a $1,850 maximum payment and a trigger feature at approximately 85% of the initial index value. The initial index value on the pricing date was 7,511.35 and the trigger level is 6,384.648. If the final index value on the valuation date is below the trigger, investors suffer proportional losses (1% loss of principal per 1% index decline), potentially losing their entire investment. The issue price is $1,000 per Trigger PLUS (estimated value on the pricing date: $958.20); aggregate principal offered is $7,233,000. Secondary trading may be limited and all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes due June 20, 2031, linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. The securities have a $1,000 stated principal amount, $1,300 early redemption payment if the underlier is ≥ the 90% call threshold on the first determination date, and a 300% participation rate for upside at maturity. The initial level is 3,517.40, the call threshold is 3,165.66 (90%), and the downside threshold is 1,758.70 (50%). The estimated value on the pricing date was $954.00 per security. Payments are subject to issuer credit risk and the securities may expire worthless if the final level is below the downside threshold.
Morgan Stanley Finance LLC is offering market-linked notes due June 21, 2030 that are unsecured obligations of MSFL and fully and unconditionally guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per note and an aggregate principal amount of $250,000.
At maturity the notes pay the stated principal amount and, if the Vanguard Value Index Fund (underlier) final level exceeds the initial level of $218.03, an upside payment equal to 100% participation in the underlier percent change subject to a maximum payment of $1,443 per note. The notes pay no periodic interest, are not listed, and the estimated value on the pricing date was $974.90 per note. All payments are subject to Morgan Stanley credit risk; secondary market liquidity may be limited.
Morgan Stanley Finance LLC priced a structured note offering called Buffered PLUS linked to the S&P 500® Futures Excess Return Index. The securities have a $1,000 stated principal amount, an issue price of $1,000 and an estimated value on the pricing date of $952.70. The notes mature on June 20, 2031 and provide 179% leverage on upside above the initial level and a 20% buffer below which principal losses occur at a 1:1 rate beyond the buffer; the minimum payment at maturity is 20% of principal.
The offering totals $697,000 aggregate principal. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to issuer credit risk, tax-treatment uncertainty and limited secondary-market liquidity.
Morgan Stanley Finance LLC priced Principal at Risk notes due June 26, 2031. Each security has a $1,000 stated principal amount and pays a contingent coupon at an annual rate of 8.15% only when the underlier meets the coupon barrier on observation dates. The underlier is the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, which applies a 4% per annum decrement and targets volatility intraday.
Automatic early redemption may occur on scheduled redemption determination dates if the closing level is at or above the call threshold (90% of the initial level). At maturity, if the final level is below the downside threshold (60% of the initial level) the payment equals $1,000 × performance factor and could be significantly less than principal. Estimated value on the pricing date was approximately $911.80.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering Principal at Risk securities due July 1, 2030 linked to the S&P 500® Futures Excess Return Index. Each security has a stated principal amount of $1,000 and a fixed upside payment of $343.50 (34.35%). If the final level on the observation date is at or above the buffer level (75% of the initial level), holders receive principal plus the upside payment. If the final level is below the buffer level, holders lose 1% of principal for each 1% decline beyond the 25% buffer, subject to a minimum payment of 25% of principal. The estimated value on the pricing date was approximately $985.50. All payments are subject to the credit risk of MSFL and the Morgan Stanley guarantee. Tax treatment and secondary market liquidity are uncertain and are discussed in the supplement.
Morgan Stanley Finance LLC priced contingent income, principal-at-risk auto-callable notes due June 27, 2031 linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $906.60. The notes pay a 8.00% contingent coupon on observation dates if the closing level meets a coupon barrier equal to 55% of the initial level, carry an automatic early‑redemption feature if the underlier meets a call threshold equal to 83.50% of the initial level on specified determination dates, and expose investors to full downside below a downside threshold equal to 55% of the initial level. The underlier applies a 4.0% per annum daily decrement and uses intraday volatility targeting. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC amended a preliminary pricing supplement for structured, principal-at-risk notes due June 29, 2029 linked to the S&P 500® Futures Excess Return Index, with each security issued at a stated principal amount of $1,000. The securities pay no interest, offer a fixed upside payment of $235 (23.50%) if the final level is at or above a buffer threshold, and provide a 25% buffer (buffer level = 75% of the initial level). If the final level is below the buffer, investors lose 1% for each 1% decline beyond the buffer, subject to a minimum payment of 25% of principal at maturity. Estimated value on the pricing date was approximately $985.30 per security. All payments are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley; payments remain subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC offers Structured Investments Enhanced Buffered Jump Securities due June 29, 2028, fully guaranteed by Morgan Stanley, linked to the S&P 500® Futures Excess Return Index. Each security has a $1,000 stated principal amount and a fixed $133 upside payment (13.30%).
The securities provide a 25% buffer and a 25% minimum payment at maturity; if the final level is below the buffer, investors lose 1% for each 1% decline beyond the buffer. Estimated value on the pricing date was approximately $981.20 per security.
Morgan Stanley Finance LLC priced a Preliminary Pricing Supplement for Buffered PLUS notes due June 28, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and a leverage factor of 108.60%.
At maturity the payout is linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500: investors receive principal plus leveraged upside if the worst underlier ends higher; full principal if the worst underlier finishes within the 20% buffer; otherwise losses equal a 1% loss per 1% decline beyond the buffer, subject to a 20% minimum payment. The securities carry issuer/guarantor credit risk and an estimated pricing-date value of approximately $955.90 per security.