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 Jump Securities with Auto‑Callable Feature due July 24, 2031, fully and unconditionally guaranteed by Morgan Stanley, in an aggregate principal amount of $4,522,000. Each security has a stated principal amount and issue price of $1,000 and is a principal at risk, unsecured note paying no interest.
The return depends on the worst performing of the Dow Jones Industrial Average, Nasdaq‑100 Index and Russell 2000 Index. On July 28, 2027, if each index is at or above its initial level, the notes are automatically redeemed for $1,170 per security, with no further payments. If held to July 24, 2031 and each final index level exceeds its initial level, investors receive principal plus an upside payment equal to 200% of the gain of the worst performing index. If any index finishes at or below its initial level but all remain at or above 70% of initial, only principal is repaid. If any index falls below 70% of its initial level, maturity payment is principal times the performance factor of the worst index, creating 1‑for‑1 downside and potential total loss.
The estimated value on the pricing date is $952.50 per $1,000 security, reflecting issuance, selling, structuring and hedging costs and Morgan Stanley’s funding rate. Investors face Morgan Stanley’s and MSFL’s credit risk, limited or no secondary market liquidity, complex U.S. tax treatment and risks tied to equity market volatility, especially small‑cap exposure through the Russell 2000 Index.
Morgan Stanley Finance LLC is issuing Contingent Income Memory Auto-Callable Securities due July 24, 2031, linked to the S&P 500 Futures 40% Intraday 4% Decrement VT Index, in an aggregate principal amount of $750,000 at $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 16.50% per annum, but only on observation dates when the index level is at or above the coupon barrier of 2,411.108 (70% of the 3,444.44 initial level), with unpaid coupons potentially paid later if the barrier is met. The securities are auto-callable quarterly starting January 21, 2027 if the index is at or above the call threshold of 3,444.44 (100% of initial), returning principal plus the applicable coupon and any unpaid coupons.
If not called, maturity payment depends on the final index level. If it is at or above the downside threshold of 2,066.664 (60% of initial), investors receive principal plus any due coupons. If below, payoff equals principal multiplied by the index performance factor, so investors lose 1% of principal for each 1% index decline and could lose their entire investment. The estimated value on the pricing date is $951.40 per security, below issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Buffered Jump Securities with Auto-Callable Feature due April 26, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and is linked to the worst performer of the XME and GDX ETFs, with no periodic interest.
The notes may be automatically redeemed quarterly starting January 21, 2027 if both underliers are at or above their call thresholds (85% of initial levels), paying $1,050–$1,266.667 per security depending on the call date, after which no further payments are made. If held to maturity and both final levels are at or above their 15% buffer levels, investors receive $1,275 per security; otherwise, they lose 1% of principal for each 1% decline of the worst underlier beyond the buffer, but not below the minimum payment of 15% of principal.
The aggregate principal amount is $723,000 at an issue price of $1,000, including a $35 per security sales commission and an estimated value of $957.30 on the pricing date. All payments depend on Morgan Stanley’s credit, the product offers no participation in upside of the ETFs, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable Jump Securities linked to the worst performing of the EURO STOXX 50® and S&P 500® Indexes, fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal and issue price, with an estimated value of about $960.40.
The notes can be automatically redeemed quarterly from August 2027 if both indexes are at or above their call thresholds (100% of initial levels), paying early redemption amounts that imply roughly 11.15% per annum. If held to August 2031 and both indexes are at or above their call thresholds, investors receive $1,557.50 per security; if either falls below its downside threshold (70% of initial), investors lose 1% of principal for each 1% decline of the worst index, potentially losing their entire investment. Returns are capped and investors do not participate in index upside beyond the fixed payouts.
Morgan Stanley Finance LLC is offering Jump Securities with an auto-call feature due July 29, 2031, each with a stated principal amount of $1,000, fully and unconditionally guaranteed by Morgan Stanley. The notes are unsecured, pay no interest and do not guarantee repayment of principal.
Returns depend on the worst performing of the EURO STOXX 50® and Russell 2000® indices. The notes may be automatically redeemed on quarterly determination dates starting April 26, 2027 if each index is at or above its call threshold, for early redemption payments ranging from $1,090 to $1,570 per $1,000. If held to maturity and both indices are at or above their call thresholds, investors receive $1,600 per $1,000. If at least one index is below its call threshold but both remain at or above 70% of initial (the downside thresholds), only principal is returned. If either index finishes below its downside threshold, the payoff is $1,000 × the performance factor of the worst index, exposing holders to losses up to a total loss of principal.
The estimated value on the pricing date is approximately $962 per security, reflecting issuance, selling, structuring and hedging costs. All payments are subject to the credit risk of MSFL and Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $5,000,000 of Contingent Income Memory Buffered Auto-Callable Securities due August 3, 2027, linked to KLA Corporation common stock, at $1,000 per security. These are principal-at-risk structured notes with no guaranteed interest.
Investors may receive a contingent coupon at 38.76% per annum, payable only if on each observation date the KLA share price is at or above the coupon barrier level of $142.591, with missed coupons potentially paid later if the barrier is met. The notes are automatically called if the stock closes at or above the call threshold of $263.24 (120% of the $219.37 initial level) on specified determination dates, returning principal plus due coupons.
If not called, and at maturity the final stock level is at or above the buffer level of $142.591 (35% buffer), investors receive principal plus any payable coupons. If the final level is below the buffer, principal is reduced by 1.5385% for each 1% decline beyond the buffer, with no minimum repayment, so the loss could reach 100%. The estimated value on the pricing date is $983.40 per $1,000, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities linked to the common stock of Netflix, Inc., fully and unconditionally guaranteed by Morgan Stanley. The notes are part of the Series A Global Medium-Term Notes program and expose investors to principal loss.
Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $100,000. A contingent coupon at an annual rate of 12.00% is paid only if Netflix’s closing level on the relevant observation date is at or above the coupon barrier of $48.265, which is 70% of the initial level of $68.95. The same level serves as the downside threshold; if the final level is below this at maturity and the notes have not been called, investors lose 1% of principal for each 1% decline in the stock, potentially down to zero.
The notes are automatically redeemed at par plus any due coupon if, on any redemption determination date from January 19, 2027 onward, the stock closes at or above the call threshold of $68.95. The estimated value on the pricing date is $948.10 per security, reflecting issuance, selling, structuring and hedging costs borne by investors. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Callable Contingent Income Securities due July 20, 2029, linked to the worst performer of the Nasdaq-100, Russell 2000 and S&P 500 indices, in an aggregate principal amount of $542,000 at $1,000 per security.
Investors may receive a 9.90% per annum contingent coupon, paid only if on each observation date every index is at or above its coupon barrier (70% of its initial level). The issuer can redeem the notes on specified redemption dates if a risk neutral valuation model indicates redemption is economically rational.
If not redeemed and each index finishes at or above its downside threshold (60% of its initial level), investors receive principal back plus any final coupon; otherwise the maturity payment is reduced 1% for each 1% decline of the worst-performing index and can fall to zero. The estimated value on the pricing date is $981.30 per security, below the issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Jump Securities with an auto-callable feature due July 20, 2029, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes are linked to the worst performing of the Dow Jones Industrial Average, the Russell 2000 Index and the State Street Technology Select Sector SPDR ETF.
Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $2,184,000. On the first determination date, July 20, 2027, if the closing level of each underlier is at or above its call threshold (set at 100% of its initial level), the notes are automatically redeemed for a fixed $1,254 per security and no further payments are made.
If not called, at maturity investors receive: (i) principal plus an upside payment if each underlier’s final level exceeds its initial level, where the upside equals 175% of the gain of the worst performing underlier; (ii) principal only if any underlier is at or below its initial level but all remain at or above their downside thresholds set at 60% of initial levels; or (iii) principal multiplied by the performance factor of the worst underlier if any finishes below its downside threshold, resulting in 1% loss of principal for each 1% decline, potentially down to zero.
The securities pay no interest, offer no principal guarantee, and their value depends on the worst performing underlier. They are unsecured obligations of MSFL, subject to Morgan Stanley’s guarantee, and all payments are exposed to Morgan Stanley’s credit risk. The estimated value on the pricing date is $962.00 per security, lower than the issue price due to issuing, selling, structuring and hedging costs, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC is offering $3,425,000 of Dual Directional Trigger Jump Securities linked to a weighted basket of five international equity indices, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 principal amount, matures on July 23, 2031, pays no coupons and is principal at risk.
At maturity, if the basket is at or above its initial value, investors receive $1,000 plus the greater of the basket’s percentage gain or a fixed 44.81% upside payment ($448.10). If the basket is down but no more than 25% (above the 75 trigger level), investors receive a positive “absolute return” matching the basket’s loss, capped at 25%. If the basket falls more than 25%, repayment is reduced 1% for each 1% decline with no buffer, and investors could lose their entire investment.
The initial basket value is 100, with component weightings of 40% EURO STOXX 50, 25% Tokyo Stock Price Index, 17.5% FTSE 100, 10% Swiss Market Index and 7.5% S&P/ASX 200. The estimated value on the pricing date is $944.40 per security, below the issue price, reflecting embedded costs and issuer pricing. Liquidity is not assured, and all payments depend on Morgan Stanley’s credit.