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 offers Principal-at-Risk, contingent-income, memory auto-callable securities linked to Alphabet Inc. Class A common stock, fully and unconditionally guaranteed by Morgan Stanley. The issue is $1,000 per security ($1,725,000 aggregate) with an 11.00% annual contingent coupon payable only if observation-date closing levels meet the coupon barrier (75% of initial level). The securities auto-redeem early if the underlier’s closing level is at or above the call threshold on a redemption determination date. At maturity, if the final level is below the downside threshold (75% of initial), holders suffer a proportional loss in principal (payment = principal × final/initial). The initial level and call threshold equal $343.71. All payments are subject to Morgan Stanley’s credit risk and the securities do not participate in upside beyond contingent coupons.
Morgan Stanley Finance LLC priced contingent income auto-callable securities due March 28, 2030. The notes are principal-at-risk, fully guaranteed by Morgan Stanley and linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500.
The securities have an original issue price of $1,000 per security (aggregate $3,161,000), an estimated value on the pricing date of $956.70, and a contingent coupon at an annual rate of 9.05% payable only if each underlier is ≥ its coupon barrier on an observation date. Call thresholds are set at 100% of initial levels, coupon barriers at 75%, and downside thresholds at 70%. If any underlier is below its downside threshold at maturity, investors suffer losses tied to the worst performing underlier and may lose most or all principal.
Morgan Stanley Finance LLC is issuing Principal at Risk PLUS securities tied to the Dow Jones Industrial Average with an aggregate principal amount of $255,000 and a stated principal of $1,000 per security. The securities price at $1,000 (estimated value on the pricing date: $952.20), carry a 150% leverage factor, a maximum payment at maturity of $1,636 per security, and no guaranteed return of principal.
Key dates: strike/pricing June 25, 2026, original issue date June 30, 2026, observation date June 25, 2031 (subject to postponement), and maturity June 30, 2031. Payments at maturity depend solely on the closing level of the underlier on the observation date; downside risk includes loss of principal up to 100%.
Morgan Stanley Finance LLC priced market-linked notes due June 28, 2030, fully guaranteed by Morgan Stanley, linked to the S&P 500® Futures Excess Return Index. The notes have a $1,000 stated principal amount per note, a 106.50% participation rate and repay the stated principal at maturity if the index final level is equal to or below the initial level of 590.78. If the final level is greater than the initial level, the maturity payment equals the stated principal plus the upside payment (stated principal × participation rate × index percent change). The notes pay no interest, are unsecured obligations of MSFL, were issued at $1,000 with an estimated value of $963.80 on the pricing date, and will not be listed on an exchange. All payments are subject to issuer credit risk and certain distribution conflicts are disclosed (agent commission $30 per note).
Morgan Stanley Finance LLC is offering Principal at Risk structured notes — 100 securities at a stated principal amount of $1,000 per security (aggregate principal $100,000) due June 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at an annual rate of 11.00% on coupon dates only if the underlier meets the coupon barrier, feature automatic early redemption if the closing level meets the call threshold, and return principal at maturity only if the final level is at or above the downside threshold; otherwise payment at maturity equals $1,000 × (final level / initial level). Key numeric terms: initial level and call threshold 3,268.11, coupon barrier and downside threshold 1,960.866 (60% of initial level), estimated value on the pricing date $901.80, agent commission $42.50 per security, proceeds to issuer $957.50 per security. The securities do not guarantee principal, are subject to Morgan Stanley credit risk, have limited secondary market liquidity, and the underlier includes a 4% per annum decrement and intraday leverage.
Morgan Stanley Finance LLC offers $3,711,000 aggregate principal amount of Structured Investments — Buffered Jump Securities with an auto-callable feature due June 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities have a $1,000 stated principal amount per security and do not pay periodic interest.
Automatic early redemption can occur on scheduled determination dates beginning June 28, 2027 if the underlier meets the call threshold level of 1,150.016 (85% of the initial level). If not called, a buffer of 15% protects initial losses up to that amount; below the buffer, investors lose 1% of principal for each 1% decline beyond the buffer, subject to a 15% minimum payment at maturity. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced principal-at-risk market-linked notes tied to the S&P 500® Futures Excess Return Index due June 30, 2031. The notes have a stated principal amount of $1,000 per note, a participation rate of 123.25% and pay no periodic interest; maturity payment depends solely on the index closing level on the observation date.
The aggregate offering is $758,000. The original issue price is $1,000 per note, with an estimated value on the pricing date of $952.40 per note; selected dealers receive a $35 sales commission per note. All payments are subject to issuer credit risk and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS principal-at-risk securities linked to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 and Russell 2000. The securities have a $1,000 stated principal amount and aggregate principal amount of $1,525,000. They pay no interest and mature on June 30, 2031. At maturity investors receive either (i) stated principal plus a leveraged upside payment if each underlier finishes above its initial level, (ii) stated principal plus a capped positive absolute-return payment if the worst performing underlier finishes at or above its 80% buffer level, or (iii) a reduced payment (losses of 1% per 1% beyond the 20% buffer) if the worst performing underlier finishes below its buffer level. The leverage factor is 138%, the absolute return participation rate is 100%, the buffer is 20%, and the minimum payment at maturity is 20% of stated principal. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC offers contingent income, memory auto-callable notes due July 13, 2029. The securities pay a contingent coupon at an annual rate of 23.00% on observation dates if each underlier meets its coupon barrier, are linked to the worst-performing of Micron, Amazon and Shopify, and expose investors to principal loss tied to the worst-performing underlier.
The notes have a stated principal amount of $1,000 per security, a pricing/strike date of July 10, 2026, scheduled observation dates through July 10, 2029, and are fully guaranteed by Morgan Stanley; all payments are subject to the issuer's credit risk.
Morgan Stanley Finance LLC offers Principal-at-Risk Auto-Callable Securities due June 30, 2031, fully guaranteed by Morgan Stanley, linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index.
The notes have a stated principal amount of $1,000 per security, an aggregate issuance of $150,000, a contingent annual coupon of 9.50%, and an estimated value on the pricing date of $892.80. Coupons are payable only if the underlier meets the coupon barrier on observation dates. Automatic early redemption may occur if the underlier is at or above the call threshold on any redemption determination date; otherwise, at maturity investors may lose principal if the final level is below the downside threshold (50% of the initial level).