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 offering principal-at-risk structured notes linked to Amazon.com, Inc. common stock. Each $1,000 security may pay a contingent coupon at an annual rate of at least 18.96% if the stock closes at or above a coupon barrier on specified observation dates, with missed coupons potentially paid later if the barrier is subsequently met.
The notes are auto-callable: if Amazon’s stock closes at or above the 100% call threshold on designated redemption determination dates, investors receive $1,000 plus the applicable contingent coupon and any unpaid coupons, and the notes terminate. At maturity on August 11, 2027, if not redeemed early and the final stock level is at or above the 85% buffer level, investors receive $1,000 plus any due coupons; if below the buffer, repayment is reduced, losing 1.1765% of principal for each 1% decline beyond the 15% buffer, with no minimum payment.
The securities are unsecured obligations of MSFL, subject to Morgan Stanley’s guarantee and credit risk. The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $985, reflecting issuance, structuring and hedging costs borne by investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Contingent Income Memory Auto-Callable Securities due August 5, 2027, linked to the worst performer of the S&P 500 Equal Weight Index and the S&P 500 Index, in $1,000 denominations.
The notes pay a 9.68% per annum contingent coupon only if on each observation date both indices are at or above their coupon barrier levels, set at 80% of their initial levels (SPW 6,882.552; SPX 5,954.624). Missed coupons may be paid later if barriers are met, but can be lost entirely. Automatic early redemption occurs on set dates if both indices are at or above 100% of their initial levels, returning principal plus due and previously unpaid coupons.
If not redeemed early and at maturity either index is below its downside threshold (also 80% of initial), repayment is reduced 1% for each 1% decline of the worst-performing index, potentially to zero. The estimated value on the pricing date is about $985.70 per $1,000, reflecting embedded costs. All payments are subject to Morgan Stanley’s credit risk, the notes are unsecured, and tax treatment is complex and uncertain.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Enhanced Trigger Jump Securities maturing on October 28, 2027, linked to the worst performing of the Dow Jones Industrial Average, Russell 2000 Index and S&P 500 Index.
Each security has a $1,000 stated principal amount and pays no interest. If on the October 25, 2027 observation date the final level of each index is at or above 65% of its initial level, holders receive $1,000 plus a fixed upside payment of $102.50 per security, regardless of how strongly the indexes perform. If any index finishes below its downside threshold, repayment is $1,000 multiplied by the performance factor of the worst-performing index, producing a 1% principal loss for each 1% decline, down to a possible zero payoff.
The estimated value on the pricing date is approximately $985.70 per security, below the $1,000 issue price because it embeds issuance, selling, structuring and hedging costs. The notes are unsecured obligations of MSFL, subject to Morgan Stanley’s credit risk, may have limited or no secondary market, and carry complex and uncertain U.S. tax treatment, currently expected to be prepaid financial contracts treated as open transactions.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities due August 27, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and pays no interest.
The return is based on the worst performing of the Dow Jones Industrial Average℠, Russell 2000® Index and S&P 500® Index. If on the observation date each index is at or above 70% of its initial level, holders receive $1,000 plus a fixed upside payment of $97 (9.70%). If any index closes below its downside threshold, the payout equals $1,000 multiplied by the worst index’s performance factor, producing a 1% loss of principal for each 1% decline in that index, with no minimum repayment. The estimated value on the pricing date is approximately $985.10 per security, reflecting issuance, structuring and hedging costs borne by investors.
Morgan Stanley Finance LLC is offering Dual Directional Buffered Participation Securities due November 16, 2027, linked to the worst performer of the Dow Jones Industrial Average and the S&P 500 Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays no interest. The estimated value on the pricing date is approximately $984.80 per security, reflecting issuance, selling, structuring and hedging costs borne by investors.
At maturity, if both indices finish above their initial levels, investors receive principal plus 100% of the worst performer’s gain, capped at a maximum payment of $1,128.50 per security (112.85%). If the worst performer is below its initial level but at or above its 81% buffer level, investors earn a positive return equal to its percentage decline in absolute value, up to about 19%. If the worst performer closes below its buffer, principal is reduced 1% for each 1% decline beyond the 19% buffer, subject to a minimum payment of 19% of principal. All payments depend on Morgan Stanley’s credit, and secondary market liquidity and U.S. tax treatment of the securities are both described as uncertain.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest, and matures on July 29, 2031.
At maturity, investors receive an adjusted target payout determined by annual observation periods. Each year’s performance-based payout adjustment depends on index return, a 115% participation rate, a capped maximum annual return, and a downside buffer amount. For the first annual period, the maximum annual return amount is $230 per security and the buffer amount is $150 per security; thereafter each is reset as a percentage of the prior adjusted target payout. If the index falls more than 15% in an annual period, the adjustment is negative and the adjusted target payout declines, so investors can lose some or all of principal. The estimated value on the pricing date is approximately $958.60 per $1,000 security, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing Enhanced Buffered Jump Securities, Series A medium-term notes linked to the common stock of Constellation Energy Corporation. Each security has a $1,000 stated principal amount, issue price $1,000, and aggregate principal of $2,021,000, and is fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and have principal at risk, maturing on August 4, 2027 with an observation date of July 30, 2027.
The initial underlier level is $252.39, with a buffer level of $164.053 (65% of the initial level) and a buffer amount of 35%. If the final level on the observation date is at or above the buffer level, investors receive $1,000 plus a fixed upside payment of $133.50 (13.35%), regardless of how much the stock has risen. If the final level is below the buffer level, investors lose 1.5385% of principal for every 1% decline beyond the buffer, with no minimum repayment; an 85% decline would return only $230.75 per security. The estimated value on the pricing date is $987.50 per security, reflecting issuance, selling, structuring and hedging costs, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk.
Morgan Stanley Finance LLC is offering Jump Securities with an auto-callable feature due July 25, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of about $977.80 per security. The notes pay no interest and do not guarantee return of principal; all payments are subject to Morgan Stanley’s credit risk.
The notes are linked to the worst performing of Broadcom Inc. and NVIDIA Corporation common stock. On August 2, 2027, if each stock’s closing level is at or above its call threshold (Broadcom $378.16, NVIDIA $203.28), the notes auto-redeem for an early payment of $1,521.50 per security and then terminate. If not called, at maturity investors receive: principal plus a 300% participation in the gain of the worst performer if both stocks finish above their initial levels; only principal if both stay at or above their downside thresholds (Broadcom $226.896, NVIDIA $121.968); or a loss matching the full percentage decline of the worst performer if either falls below its downside threshold, potentially reducing the payment to zero.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Callable Contingent Income Securities due July 20, 2028 linked to the capital stock of International Business Machines Corporation. Each security has a $1,000 stated principal amount and total aggregate principal of $2,690,000, issued at par.
Investors may receive a contingent coupon at a 15.00% annual rate, paid only if IBM’s closing level on an observation date is at or above the coupon barrier level of $106.335, which equals 50% of the $212.67 initial level set on July 17, 2026. The downside threshold level is also $106.335.
Beginning January 22, 2027, the notes are callable in whole on specified redemption dates if a risk neutral valuation model indicates it is economically rational for the issuer to redeem. If not redeemed and the final level is at or above the downside threshold, investors receive principal plus any final coupon; if below, the maturity payment equals principal multiplied by the performance factor, producing a 1% loss of principal for every 1% decline in IBM, potentially to zero.
The estimated value on the pricing date is $972.40 per security, below the issue price, reflecting issuing, selling, structuring and hedging costs. All payments are subject to the credit risk of MSFL and Morgan Stanley, and the securities are not bank deposits or FDIC insured. The U.S. federal income tax treatment is uncertain; coupons to non-U.S. investors may be subject to 30% withholding in many cases.
Morgan Stanley Finance LLC is issuing Contingent Income Auto-Callable Securities due July 20, 2029, linked to the ordinary shares of Seagate Technology Public Limited Company, in $1,000 denominations and an aggregate principal amount of $285,000. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with principal at risk.
Investors receive a contingent coupon at 52.00% per annum only if, on each observation date, Seagate’s share price is at or above the coupon barrier level of $472.596 (60% of the initial level of $787.66). The notes are automatically redeemed at par plus the applicable coupon if, on any redemption determination date from October 19, 2026 onward, the share price is at or above the call threshold level of $787.66.
If the notes are not called and the final level is at or above the downside threshold level of $472.596, investors receive par plus any final coupon; if it is below that level, the maturity payment is stated principal × (final level / initial level), exposing holders to up to a 100% loss of principal. The original issue price is $1,000 per security versus an estimated value of $954.50, reflecting issuance, selling, structuring and hedging costs, and secondary market liquidity may be limited. All payments depend on Morgan Stanley’s credit, and the U.S. tax treatment is described as uncertain, with possible 30% withholding on coupons for certain non-U.S. investors.