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 (MS), through Morgan Stanley Finance LLC, is offering Callable Contingent Income Securities due August 29, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, for a total offering of $4,560,000, and is linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100® Technology Sector Index and Russell 2000® Index.
The notes pay a contingent coupon at 11.40% per annum only if on each observation date all three indices are at or above 70% of their initial levels; otherwise no coupon is paid. Principal is at risk: if any index ends below 60% of its initial level at final observation, repayment is reduced 1% for each 1% decline of the worst-performing index and can be zero. The notes are callable in whole from November 30, 2026 on specified redemption dates if a risk neutral valuation model shows early redemption is economically rational for Morgan Stanley. The estimated value on the pricing date is $984.10 per security, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s funding rates.
Morgan Stanley (MS), via Morgan Stanley Finance LLC, is offering Dual Directional Buffered Participation Securities maturing on August 28, 2031, linked to the worst performing of the Russell 2000 Index and the S&P 500 Index. Each $1,000 security is unsecured, pays no interest, and is fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if both indices finish above their initial levels, holders receive principal plus 100% of the upside of the worst performer, capped at a maximum payment of $1,994 per security (199.40% of principal). If the worst index is at or below its initial level but at or above 70% of its initial level (a 30% buffer), investors receive principal plus a positive return equal to the absolute decline, effectively capped at a 30% gain. If the worst index closes below 70% of its initial level, principal is reduced 1% for each 1% decline beyond the 30% buffer, with a minimum payment of 30% of principal. The aggregate principal amount is $1,534,000, the issue price is $1,000 per security, the estimated value on the pricing date is $945.60, and sales commissions are $36.25 per security, leaving proceeds to the issuer of $963.75 per security, all subject to Morgan Stanley’s credit risk.
MORGAN STANLEY (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Callable Contingent Income Securities maturing on August 29, 2029, linked to the worst performing of the Nasdaq-100® Technology Sector Index, State Street® Health Care Select Sector SPDR® ETF and State Street® Technology Select Sector SPDR® ETF. Each note has a $1,000 stated principal amount, with an aggregate principal amount of $3.414 million, and is fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 11.50% per annum, only if on each observation date all three underliers close at or above their coupon barrier levels (65% of initial levels). If any underlier is below its barrier on an observation date, no coupon is paid for that period. Beginning March 1, 2027, the issuer may redeem the notes on specified redemption dates for principal plus any due coupon if a risk neutral valuation model indicates it is economically rational to do so; investors have no control over early redemption and receive no further payments once redeemed.
If the notes are not redeemed and, on the final observation date, each underlier is at or above its downside threshold (60% of initial level), investors receive principal plus any final coupon. If any underlier is below its downside threshold, repayment is reduced in proportion to the decline of the worst performer, and the maturity payment can fall to zero. The offering price is $1,000 per note, while the estimated value on the pricing date is $980 per note, reflecting issuance, structuring and hedging costs. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering market-linked notes maturing August 28, 2031 with an aggregate principal amount of $678,000, issued at $1,000 per note and fully and unconditionally guaranteed by Morgan Stanley. The notes pay no periodic interest; at maturity, holders receive at least the stated principal amount, plus upside linked to the Russell 2000® Index if its final level exceeds the initial level of 2,995.080, subject to a maximum payment of $1,676 per note (167.60% of principal). If the index is at or below the initial level on the August 25, 2031 observation date, investors receive only principal back.
The participation rate in index appreciation is 100%, but returns are capped. The notes are unsecured obligations of Morgan Stanley Finance LLC, subject to the credit risk of Morgan Stanley, and will not be listed on any securities exchange, so secondary market liquidity may be limited. The estimated value on the pricing date is $974.60 per note, below the issue price due to issuing, selling, structuring and hedging costs borne by investors. For U.S. tax purposes, the securities are expected to be treated as contingent payment debt instruments with a comparable yield of 5.116% per annum, requiring accrual of taxable interest income over the life of the notes.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Dual Directional Buffered Jump Securities with an auto-call feature linked to the MSCI Emerging Markets Index, issued under its Series A Global Medium-Term Notes program and fully and unconditionally guaranteed by Morgan Stanley.
The notes have a $1,000 stated principal amount and an aggregate principal amount of $1,320,000, are issued at par, pay no interest, and mature on July 29, 2031 unless automatically redeemed on August 30, 2027 for an early redemption payment of $1,171 per security if the index closes at or above the call threshold of 1,694.58.
If not called, at maturity investors receive upside participation of 125% of index gains above the initial level, or a “dual directional” positive return for index declines down to the buffer level of 1,355.664 (80% of initial), based on a 100% absolute return participation rate; below the buffer, investors lose 1% of principal for each 1% additional decline, subject to a minimum payment of 20% of principal. All payments depend on Morgan Stanley’s credit, and the estimated value on the pricing date is $981 per security, below the issue price due to issuance, structuring and hedging costs.
MORGAN STANLEY (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering callable contingent income securities due July 27, 2028, linked to the worst performer of the Russell 2000 Index and the State Street Technology Select Sector SPDR ETF, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays a 13.25% per annum contingent coupon only if, on each observation date, the closing level of both underliers is at or above their coupon barrier levels, set at 70% of their initial levels.
The notes are callable in whole (not in part) on scheduled redemption dates if a risk neutral valuation model indicates early redemption is economically rational for the issuer, independent of index or ETF performance. If called, investors receive $1,000 plus any due coupon and no further payments. If the notes are not redeemed and, on the final observation date, both underliers are at or above their downside threshold (also 70% of initial levels), investors receive $1,000 plus any final coupon. If either underlier finishes below its downside threshold, the maturity payment is reduced in proportion to the decline of the worst performing underlier, potentially to zero, with no principal protection or upside participation. The estimated value on the pricing date is $987.60 per $1,000 note, reflecting issuance, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Callable Contingent Income Securities due July 27, 2028, linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500 indices. These principal-at-risk notes pay a 10.40% annual contingent coupon only if on each observation date all three indices are at or above their coupon barrier levels, set at 70% of their initial levels.
The notes may be called in whole on specified redemption dates starting August 27, 2027, but only if a risk neutral valuation model indicates it is economically rational for Morgan Stanley to redeem. If called, investors receive $1,000 per security plus any due coupon, with no further payments.
If not called and at maturity each index is at or above its 70% downside threshold, investors receive $1,000 per security plus any final coupon. If any index finishes below its threshold, payoff is $1,000 multiplied by the performance of the worst index, exposing investors to a 1% loss of principal for each 1% decline, potentially down to zero. The issue price is $1,000, aggregate principal is $795,000, and the estimated value on the pricing date is $984.50 per security. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley.
MORGAN STANLEY (MS), via Morgan Stanley Finance LLC, is offering structured “Jump Notes with Auto-Callable Feature” due August 29, 2030 with an aggregate principal amount of $423,000, at $1,000 per note, fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest and are linked to the worst performance of Berkshire Hathaway Class B, NVIDIA and Oracle common stocks. On August 25, 2027, the notes auto-call at $1,360 per note if each stock is at or above its call threshold (set equal to its initial level). If not called and, at maturity, each final stock level exceeds its initial level, investors receive principal plus an upside payment equal to 125% of the worst performer’s percentage gain. If any final level is at or below its initial level, investors receive only principal back.
The initial levels are $504.32 for BRK.B, $208.48 for NVDA and $142.45 for ORCL. The estimated value on the pricing date is $968.80 per note, below the issue price due to issuance, structuring and hedging costs. All payments are subject to the credit risk of MSFL and Morgan Stanley, and the notes will not be listed on any securities exchange.