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 $310,000 aggregate principal of contingent income buffered auto-callable securities due July 1, 2031, fully and unconditionally 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 coupon at a 10.00% annual rate on observation dates when the underlier closing level is at or above the coupon barrier (80% of the initial level). They feature automatic early redemption if the underlier closes at or above the call threshold (80) on a redemption determination date, a 20% buffer (buffer level 80) against losses at maturity and a minimum payment at maturity equal to 20% of principal. The underlier is a four-stock equally weighted basket (HOOD, PLTR, TSLA, ORCL) with an estimated value on pricing date of $911.50 per security.
Morgan Stanley Finance LLC is offering Structured Investments Enhanced Buffered Jump Securities tied to the MSCI Emerging Markets Index with an aggregate principal amount of $1,500,000 and a stated principal amount of $1,000 per security. The securities pay no interest, include a $155 fixed upside payment at maturity if the final level is at or above an 85% buffer of the initial level, and feature a 1.1765 downside factor for declines beyond the 15% buffer. Payments are subject to Morgan Stanley Finance LLC credit risk and are fully and unconditionally guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC issues $610,000 of Auto-Callable Jump Notes due June 30, 2033
The notes are unsecured obligations of Morgan Stanley Finance LLC and are fully and unconditionally guaranteed by Morgan Stanley. They pay no interest, carry a stated principal of $1,000 per note, an estimated value on the pricing date of $904.70 per note, and aggregate principal of $610,000. The notes can be automatically redeemed on specified annual determination dates beginning June 25, 2027 if the Morgan Stanley Amplitude Index closes at or above the call threshold of 208.585, producing fixed early redemption payments (first such payment $1,107.50 per note). If not redeemed early and the final level exceeds the initial level (206.52), maturity payoff equals principal plus 100% participation in index appreciation; otherwise investors receive only principal. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk notes due June 30, 2031 linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 stated principal amount and pays a fixed coupon of 6.25% per annum monthly. The securities can be automatically called beginning on the first redemption determination date June 25, 2027 if the underlier is at or above the call threshold (1,217.664, 90% of the initial level). If not called, maturity payoff depends on the final level relative to the buffer level (1,150.016, 85%); below the buffer investors lose 1% of principal for each 1% decline beyond the buffer, subject to a 15% minimum payment. The original issue price is $1,000 (estimated value on pricing date: $920), with agent commissions of $43.50 per security. All payments are subject to MSFL's credit risk and guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC priced Structured Investments Callable Jump Notes due June 30, 2031, fully guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount per note, an issue price $1,000 and an aggregate principal amount $1,517,000. They pay no regular interest, offer a 140% participation rate in upside at maturity if the S&P 500® Futures Excess Return Index final level exceeds the initial level of 590.78, and include an issuer call feature starting on July 1, 2027 with fixed redemption payments specified for each redemption date. The estimated value on the pricing date was $942.20 per note; all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering $1,587,000 of Structured Investments Market‑Linked Notes due June 28, 2029, fully and unconditionally guaranteed by Morgan Stanley. The notes reference the S&P 500® Index, have a 100% participation rate in upside and a maximum payment at maturity of $1,192.50 per $1,000 note. The issue price is $1,000 per note (estimated value on the pricing date: $968.80), dealer commission is $27.50 per note, and aggregate net proceeds to the issuer are shown as $972.50 per note. Payments are subject to the issuer’s credit risk, the notes pay no interest, are not listed, and will use the closing S&P 500 level on the observation date to determine the final payout. U.S. tax treatment is as a contingent payment debt instrument with a comparable yield of 4.6200% per annum.
Morgan Stanley Finance LLC offers Principal at Risk auto-callable securities linked to Tenet Healthcare Corporation common stock. The securities are issued at $1,000 per security and sold in an aggregate principal amount of $744,000, with an estimated value on the pricing date of $966.00 per security.
The notes pay a contingent coupon at an annual rate of 14.60% on each coupon payment date only if the underlier's closing level on the related observation date is at or above the coupon barrier of $122.85 (65% of the initial level). The securities will auto-redeem if the closing level on any redemption determination date is at or above the call threshold of $189.00 (100% of the initial level). At maturity, if not redeemed and the final level is below the downside threshold of $122.85, investors will suffer a loss equal to the percentage decline in the underlier (payment = $1,000 × final level / initial level).
Morgan Stanley Finance LLC is offering unsecured, structured Step-Up Jump Notes due June 30, 2033, fully guaranteed by Morgan Stanley. The notes pay no interest, have a stated principal amount of $1,000 per note and an aggregate principal amount of $504,000. They feature automatic early redemption on specified determination dates beginning June 25, 2027 if the Morgan Stanley Amplitude index meets or exceeds rising call threshold levels. If not called, maturity payment equals principal plus upside when the final index level is above the initial level (Initial level 206.52); otherwise investors receive only principal. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley (MS) is offering Principal at Risk auto-callable notes issued by Morgan Stanley Finance LLC with a stated principal amount of $1,000 per security and an aggregate offering of $2,396,000. The notes link to the worst performing of the EURO STOXX 50® and Russell 2000® indices, can automatically redeem starting on the first determination date of March 30, 2027, and mature on July 1, 2031. Early redemption payments increase across 17 scheduled determination dates (first early redemption payment shown: $1,087.75 per security). If not redeemed and both underliers meet call thresholds, maturity pays $1,585.00; if the worst performing underlier falls below its downside threshold (70% of initial level), investors lose 1% of principal for each 1% decline in that underlier. All payments are subject to Morgan Stanley Finance LLC and Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced Structured Investments Jump Notes with a stated principal of $1,000 per note and an aggregate principal amount of $783,000. The notes have no periodic interest, mature on June 30, 2033, and are fully guaranteed by Morgan Stanley.
The notes are auto-callable beginning with the first determination date on June 25, 2027 if the closing level of the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index is at or above the call threshold level of 1,352.96 (100% of the initial level). Fixed early redemption payments rise annually to a final early redemption payment of $1,570 per note on the sixth early redemption date. If not redeemed early, investors receive principal plus an upside payment at maturity when the final index level exceeds the initial level; the participation rate is 100%. All payments are subject to Morgan Stanley's credit risk.