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 issuing Callable Contingent Income Securities due January 25, 2029, fully and unconditionally guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per security and an aggregate principal amount of $1,264,000. These are principal-at-risk structured notes linked to the worst performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index, and are unsecured obligations subject to Morgan Stanley’s credit risk.
Investors may receive a contingent coupon at an annual rate of 13.50%, paid only if on each observation date the closing level of every underlier is at or above its coupon barrier, set at 70% of its initial level (NDXT 11,720.59; RTY 2,071.957; SPX 5,249.272). If any underlier is below its barrier on an observation date, no coupon is paid for that period, and it is possible to receive no coupons over the entire term.
Beginning on October 27, 2026, the notes are callable in whole on scheduled redemption dates only if a risk neutral valuation model indicates that redemption is economically rational for Morgan Stanley; an early call is not automatic based on index performance. If the notes are not redeemed and the final level of each underlier is at or above its downside threshold (also 70% of initial), investors receive principal back plus any final coupon. If the final level of any underlier is below its downside threshold, the maturity payment is $1,000 multiplied by the performance of the worst performing underlier, resulting in a loss of 1% of principal for every 1% decline, and the payment can be zero. The estimated value on the pricing date is $982.40 per security, below the issue price, reflecting structuring and hedging costs, and the issuer warns of limited or no secondary market liquidity and complex, uncertain U.S. tax treatment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Contingent Income Memory Auto-Callable Securities maturing July 26, 2029, linked to the common stock of Comfort Systems USA, Inc. Each security has a stated principal of $1,000, with an aggregate principal amount of $360,000.
The notes pay a 20.90% annual contingent coupon, only when the underlier’s closing level is at or above the coupon barrier of $895.53 (50% of the initial level) on an observation date; missed coupons may be paid later if the barrier is met. The notes are auto-callable from January 22, 2027 if the stock is at or above the call threshold of $1,791.06 (100% of the initial level), returning principal plus applicable coupons. If held to maturity and the final level is below the downside threshold of $895.53, principal is reduced 1% for each 1% decline, potentially to zero. The estimated value on the pricing date is $980.20 per $1,000 note, reflecting issuance, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Dual Directional Buffered Jump Securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley, in a total aggregate principal amount of $240,000 at $1,000 per security. The notes are linked to the worst performing of Corning, Marvell Technology and Palo Alto Networks common stocks, do not pay interest and expose holders to Morgan Stanley credit risk.
The securities may be automatically redeemed on July 28, 2027 for $1,450 per security if each underlier is at or above 70% of its initial level. If held to July 26, 2029, investors receive upside based on 400% participation in the worst performer when all underliers finish above initial, or up to a 40% positive return if the worst performer has declined but remains above its 60% buffer level. If any underlier ends below its buffer level, principal is reduced 1% for each 1% decline beyond the 40% buffer, subject to a minimum payment of 40% of principal. The estimated value on the pricing date is $905.90 per security, below the issue price due to issuance, selling, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Buffered PLUS linked to the S&P 500® Index, maturing on August 26, 2027, in an aggregate principal amount of $777,000 at $1,000 per security.
The notes pay no interest and are principal-at-risk. If the S&P 500® final level is above 7,498.96, investors receive leveraged upside of 110% of the index gain, capped at a maximum payment of $1,075 per security. If the index is flat or down but not below 80% of the initial level (the buffer level 5,999.168), investors receive the principal plus a positive return equal to the absolute index decline, effectively capped at a 20% gain. Below the buffer, investors lose 1% of principal for each 1% additional decline, subject to a minimum payment of 20% of principal.
The estimated value on the pricing date is $989.90 per security, below issue price due to issuing, selling, structuring and hedging costs. Investors face issuer and guarantor credit risk, limited liquidity, capped upside, potential for significant loss of principal, and uncertain U.S. tax treatment, including a risk of debt characterization.
Morgan Stanley Finance LLC is offering Callable Contingent Income Memory Securities due July 25, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, with a total offering of $1,000,000.
The notes pay a 7.70% per annum contingent coupon only if, on each observation date, the iShares MSCI EAFE ETF, the Russell 2000 Index and the S&P 500 Index are all at or above their coupon barrier levels, set at 60% of their initial levels. Missed coupons may be paid later if all underliers recover above their barriers.
Beginning July 27, 2028, the notes are callable on scheduled redemption dates if a risk neutral valuation model indicates early redemption is economically rational for Morgan Stanley; if called, investors receive principal plus the applicable coupon and any unpaid coupons.
If not redeemed and each underlier’s final level is at least its 60% downside threshold, investors receive full principal at maturity (plus any due coupons). If any underlier finishes below its threshold, repayment is reduced 1% for every 1% decline of the worst performer, potentially to zero. The estimated value on the pricing date is $976.80 per security, below the $1,000 issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing Enhanced Buffered Jump Securities due August 26, 2027, linked to the worst performing of the S&P 500 Futures Excess Return Index, the State Street Utilities Select Sector SPDR ETF and the Russell 2000 Index, fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, aggregate principal of $5,008,000, and pays no interest.
At maturity, investors receive principal back if the final level of each underlier is at or above its buffer level (90% of its initial level), plus a digital payment of $132 (13.20%) if each underlier is at or above 75% of its initial level. If any underlier finishes below its buffer, principal is reduced 1% for each 1% decline of the worst performer beyond the 10% buffer, subject to a minimum payment of 10% of principal. The estimated value on the pricing date is $988.30 per $1,000 note, reflecting structuring and hedging costs, and secondary market liquidity and pricing are expected to be limited. All payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering Callable Contingent Income Memory Securities maturing February 1, 2027, linked to the Class A common stock of Palantir Technologies Inc. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with principal at risk.
Each $1,000 security pays a contingent coupon at 11.60% per annum, only if on an observation date Palantir’s closing level is at or above a coupon barrier set at 50% of the initial level; missed coupons can be paid later if the barrier is met. The notes are callable in whole, but not in part, on specified redemption dates beginning October 30, 2026, only if a risk neutral valuation model indicates early redemption is economically rational for the issuer.
If not redeemed and the final level on January 27, 2027 is at or above a 50% downside threshold, investors receive full principal plus any due coupons; otherwise, repayment is reduced 1% for each 1% decline in the underlier, down to zero. The original issue price is $1,000, while the estimated value on the pricing date is approximately $978.40 per security, reflecting issuing, selling, structuring and hedging costs. Returns depend on Palantir’s share performance, Morgan Stanley’s creditworthiness, secondary market conditions and uncertain U.S. tax treatment, including potential 30% withholding on coupons for certain non-U.S. holders.
Morgan Stanley Finance LLC is offering Digital EURO STOXX 50® Index-Linked Notes, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 face amount, pays no interest, is unsecured and exposes investors to the credit risk of Morgan Stanley.
The maturity is expected between 17 and 20 months after the trade date. At maturity, if the EURO STOXX 50® final level is at least 87.50% of its initial level, investors receive a fixed Maximum Settlement Amount expected between 112.68% and 114.91% of face value. If the index falls more than 12.50%, repayment is reduced using a Buffer Rate of approximately 114.29%, and up to the entire principal can be lost.
The notes will not be listed, have no redemption right, and secondary liquidity depends on Morgan Stanley & Co. LLC, which may make a market but is not obligated to. The estimated economic value on the trade date is about $995.50 per $1,000 note, reflecting issuance, structuring and hedging costs. Proceeds will be used for general corporate purposes and related hedging.
Morgan Stanley Finance LLC is issuing $14,769,000 of Capped Leveraged Buffered Basket-Linked Notes due January 27, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 face amount, pays no interest and is a principal-at-risk unsecured obligation.
The payoff is tied to a weighted equity basket: EURO STOXX 50® (40%), TOPIX (25%), FTSE® 100 (17%), Swiss Market Index® (11%) and S&P®/ASX 200 (7%). At maturity, investors receive $1,000 plus 150% of any positive basket return, capped at a Maximum Settlement Amount of $1,348.75 per $1,000. A 5% downside buffer protects against modest declines; below a 5% basket loss, principal is reduced at a Buffer Rate of approximately 105.26% of losses beyond the buffer, and investors can lose their entire investment.
The estimated value on the trade date is $981.70 per note, reflecting issuance, selling, structuring and hedging costs and the issuer’s internal funding rate. Notes are offered at 100% of face amount, with a 1.12% selling concession and expected proceeds to the issuer of $14,603,587.20. The notes are not listed, have no redemption rights, and all payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley.
Morgan Stanley Finance LLC is issuing $5,482,000 of Leveraged Buffered S&P 500® Index‑Linked Notes due October 22, 2027, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and are principal‑at‑risk unsecured obligations.
At maturity, for each $1,000 note, investors receive: (i) leveraged upside of 150% of the S&P 500® price return, capped at a Maximum Settlement Amount of $1,166.50; (ii) full principal repayment if the index decline is up to the 7.50% buffer; or (iii) a loss of principal if the index falls more than 7.50%, with losses amplified by a buffer rate of approximately 108.11%. The Initial Underlier Level is 7,498.96 and the buffer level is 92.50% of this value.
The price to the public is $1,000 per note, with agent’s commissions of 0.92% and net proceeds of $5,431,565.60. The estimated value on the trade date is $987.40 per note, reflecting issuance, structuring and hedging costs. The notes will not be listed, may have limited liquidity, and all payments depend on Morgan Stanley’s credit.