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, fully guaranteed by Morgan Stanley, is issuing Enhanced Trigger Jump Securities linked to the iShares Semiconductor ETF, maturing January 21, 2028. Each security has a $1,000 stated principal amount, issue price of $1,000, and is part of the Series A Global Medium-Term Notes program, with an aggregate principal amount of $500,000.
At maturity, if the arithmetic-average final level of the ETF on five specified January 2028 dates is at or above the downside threshold level of $344.825 (65% of the $530.50 initial level), investors receive $1,000 plus a fixed upside payment of $358, a 35.80% return. If the final level is below the downside threshold, the payout equals $1,000 multiplied by the performance factor (final level / initial level), producing a 1% principal loss for each 1% ETF decline, with no minimum payment and potential total loss of principal.
The securities pay no interest and all payments are subject to the credit risk of MSFL and Morgan Stanley. The estimated value on the pricing date is $978.20 per security, below the issue price because it includes issuing, selling, structuring and hedging costs and a rate advantageous to the issuer. Agent’s selling compensation is up to $12.50 per $1,000, yielding proceeds of $987.50 per security to MSFL. Risks highlighted include lack of principal protection, limited upside to the fixed payment, ETF and semiconductor sector volatility, liquidity constraints in secondary trading, model-based valuation uncertainty, potential conflicts of interest, and uncertain U.S. federal income tax treatment of these prepaid financial contracts.
Morgan Stanley Finance LLC is offering Contingent Income Memory Buffered Auto-Callable Securities due August 11, 2027, linked to the common stock of Eli Lilly and Company and fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an estimated value of approximately $983.50 on the pricing date.
The notes pay a contingent coupon at an annual rate of at least 16.80%, but only if Eli Lilly’s closing level on each observation date is at or above the coupon barrier level, set at 80% of the initial level; missed coupons can be paid later if the barrier is met. The securities are subject to automatic early redemption on specified dates if the stock is at or above the call threshold level of 100% of the initial level, in which case investors receive principal plus due and unpaid contingent coupons.
If not redeemed early, at maturity investors receive principal back only if the final level is at or above the 80% buffer level. If the final level falls below the buffer level, repayment is reduced by a downside factor of 1.25% for each 1% decline of the underlier beyond the 20% buffer, potentially resulting in a loss of the entire principal. The notes are unsecured, subject to Morgan Stanley’s credit risk, provide no participation in stock appreciation, and have no minimum payment at maturity.
Morgan Stanley Finance LLC is offering Trigger PLUS notes due July 27, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount and issue price of $1,000 and pays no interest.
The payoff is linked to the worst performing of the Nasdaq-100 Index, S&P 500 Index and Vanguard Information Technology ETF. If the final level of each underlier is above its initial level, investors receive principal plus a leveraged upside payment equal to 162% of the worst underlier’s positive return. If the worst underlier finishes at or above 70% of its initial level, principal is repaid. If the worst underlier finishes below 70% of its initial level, investors lose 1% of principal for every 1% decline in that underlier, with no minimum repayment and potential total loss of principal.
The estimated value on the pricing date is approximately $987 per $1,000 security. The notes are unsecured obligations subject to the credit risk of MSFL and Morgan Stanley, may have limited or no secondary market, and carry complex U.S. tax treatment described as prepaid financial contracts that are open transactions.
Morgan Stanley Finance LLC is offering Buffered Participation Securities due November 16, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and is a principal-at-risk note linked to the worst performing of the Dow Jones Industrial Average and the S&P 500 Index.
At maturity, if both indices finish above their initial levels, holders receive $1,000 plus an upside payment equal to 100.50% of the worst performer’s gain. If either index is at or below its initial level but both remain at or above 85% of their initial levels, investors receive only the $1,000 principal. If either index ends below its 85% buffer level, repayment is reduced 1% for each 1% decline of the worst performer beyond the 15% buffer, with a minimum payment of 15% of principal.
The estimated value on the pricing date is $985.20 per security, reflecting issuance, selling, structuring and hedging costs borne by investors. The securities are unsecured obligations of MSFL, subject to the credit risk of both MSFL and Morgan Stanley, and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC is offering Enhanced Buffered Jump Securities linked to the common stock of Amazon.com, Inc., fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, an issue price of $1,000, and matures on August 11, 2027.
At maturity, if the final Amazon stock level is at or above the 85% buffer level, holders receive $1,000 plus an upside payment of at least $177.10 per security, regardless of how much the stock has risen above the buffer. If the final level is below the buffer, investors lose 1.1765% of principal for every 1% decline beyond the 15% buffer, with no minimum payment, so the entire investment can be lost.
The securities pay no interest and all payments depend on the credit of Morgan Stanley Finance LLC and Morgan Stanley. The issuer’s estimated value on the pricing date is approximately $985.90 per $1,000 security, reflecting issuance, selling, structuring and hedging costs and a rate advantageous to the issuer.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering contingent income memory buffered auto-callable securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, maturing on July 29, 2031, with a stated principal amount of $1,000 per security and an issue price of $1,000.
The securities pay a contingent coupon at 12.35% per annum, but only if the index is at or above the coupon barrier level of 80% of the initial level on the relevant observation date; missed coupons may be paid later if the barrier is subsequently met. The notes are auto-callable from July 26, 2027 onward if the index is at or above the call threshold level of 100% of the initial level, in which case investors receive principal plus the due coupon and any unpaid coupons, and the securities terminate.
If held to maturity and not called, investors receive full principal only if the final index level is at or above the buffer level of 85% of the initial level. Below that, repayment is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal. The estimated value on the pricing date is approximately $897.50 per security, reflecting issuance and hedging costs. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, and there may be limited or no secondary market.
Morgan Stanley Finance LLC is offering Enhanced Buffered Jump Securities, principal-at-risk notes fully and unconditionally guaranteed by Morgan Stanley, linked to an equally weighted basket of seven semiconductor-related stocks. Each security has a $1,000 stated principal amount and is issued at $1,000.
If the basket’s final level on August 6, 2027 is at or above the 80% buffer level, investors receive $1,000 plus an upside payment of at least $193.50 per security. Below the buffer, repayment is reduced by 1.25% of principal for every 1% decline beyond the 20% buffer, with no minimum payment at maturity, so the entire investment can be lost. The initial level is set to 100, and the maturity date is August 11, 2027.
The estimated value on the pricing date is approximately $957.90 per security, lower than the issue price due to issuing, selling, structuring and hedging costs. The notes pay no interest, are unsecured obligations subject to Morgan Stanley’s and MSFL’s credit risk, may have limited or no secondary market liquidity, and involve complex U.S. federal tax treatment described as prepaid financial contracts that are open transactions.
Morgan Stanley Finance LLC is offering Buffered Jump Securities with an auto-call feature linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and no periodic interest; principal is at risk.
The notes may be automatically redeemed on scheduled determination dates starting July 28, 2027 if the index closes at or above the call threshold, for fixed early redemption payments of $1,093.50 or $1,187.00 per $1,000. If not called, at maturity investors receive $1,280.50 per $1,000 if the final index level is at or above the call threshold. If the final level is below the call threshold but at or above the 85% buffer level, investors receive only principal. Below the buffer, losses are 1% of principal for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal.
The estimated value on the pricing date is approximately $985.80 per security, reflecting issuance, selling, structuring and hedging costs. Payments depend entirely on Morgan Stanley’s and MSFL’s credit; the securities are unsecured and not FDIC insured.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Enhanced Trigger Jump Securities due August 26, 2027 with a $1,000 stated principal amount per security, linked to the worst performer of the Russell 2000® Index and the S&P 500® Index. The notes pay no interest and do not guarantee any return of principal.
At maturity, if the final level of each index is at or above its downside threshold level of 65% of its initial level, investors receive $1,000 plus a fixed upside payment of $90 per security, regardless of how much the indices have risen. If either index finishes below its downside threshold, repayment is reduced 1% for each 1% decline of the worst-performing index, and the maturity payment can fall to zero.
The notes are unsecured obligations subject to the issuers’ credit risk, with an estimated value on the pricing date of about $992.10 per security, below the $1,000 issue price due to issuing, selling, structuring and hedging costs. The issuer warns of potential price volatility, limited or no secondary market liquidity, conflicts of interest in calculation and hedging, and significant U.S. federal income tax uncertainty, including possible debt characterization and Section 871(m) considerations for Non‑U.S. holders.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities, unsecured notes linked to the common stock of International Business Machines Corporation and fully guaranteed by Morgan Stanley. The notes pay no interest and do not guarantee return of principal.
At maturity on August 5, 2027, investors receive $1,000 plus a fixed upside payment of $243.70 per note if IBM’s closing price on the August 2, 2027 observation date is at or above the downside threshold of $149.10, which is 70% of the $213.00 initial level. If the final level is below the threshold, repayment is $1,000 multiplied by the performance factor (final level divided by initial level), with no minimum; a large decline in IBM’s stock could result in a payment as low as zero. The estimated value on the pricing date is approximately $983.70 per $1,000 note, reflecting issuer costs and credit spreads, and secondary market liquidity and pricing are expected to be limited.