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, guaranteed by Morgan Stanley, is offering $853,000 of Buffered Jump Securities with an auto-callable feature due July 15, 2031, linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index.
Investors pay $1,000 per note (estimated value $899.50) and receive no interest. Starting July 13, 2027, the notes are automatically redeemed if the index closing level is at least the call threshold of 1,159.332 (85% of the initial level 1,363.92), for fixed early redemption payments corresponding to about 10.75% per annum, from $1,107.50 up to $1,528.542 per note.
If not called and the final index level is at or above the 15% buffer level, holders receive a fixed $1,537.50 per note; otherwise principal falls 1% for each 1% index decline beyond the buffer, with a minimum repayment of 15% of principal. The notes carry full issuer credit risk, limited secondary-market liquidity, exposure to a relatively new, leveraged, volatility-targeted index with a 4% annual decrement, and uncertain U.S. tax treatment.
Morgan Stanley Finance LLC is issuing Buffered PLUS notes linked to the Russell 2000 Index in an aggregate principal amount of $569,000, with each security having a stated principal amount of $1,000 and maturing on August 13, 2027.
The notes pay no interest. If the index finishes above the initial level of 2,977.805, investors receive principal plus 110% of the index gain, capped at a maximum payment of $1,212.50 per security. If the final level is between the initial level and the buffer level of 2,680.025 (a 10% buffer), investors receive only principal. Below the buffer, investors lose 1% of principal for each 1% further index decline, but not less than 10% of principal at maturity.
The securities are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, and all payments depend on Morgan Stanley’s credit. The estimated value on the pricing date is $990.80 per security, reflecting issuing, selling, structuring and hedging costs and potentially lower secondary market prices.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS notes with an aggregate principal amount of $1,500,000, in $1,000 denominations, fully and unconditionally guaranteed by Morgan Stanley. These unsecured principal-at-risk notes pay no interest and are linked to the common stock of Micron Technology, Inc.
If Micron’s final stock level exceeds the $948.80 initial level, holders receive principal plus 300% of the price increase, capped at a maximum maturity payment of $1,230 per note (123% of principal). If the final level is at or below the initial level but at or above the $806.48 buffer level (85% of initial), holders receive principal plus a positive return matching the stock’s percentage decline, effectively capped at a 15% gain.
If the final level is below the buffer, the payoff equals principal multiplied by the performance factor plus the 15% buffer amount, so investors lose 1% of principal for each 1% decline beyond the buffer, subject to a minimum payment of 15% of principal. The estimated value on the pricing date is $982.90 per note, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs. The notes are subject to the credit risk of MSFL and Morgan Stanley and may have limited secondary market liquidity.
Morgan Stanley Finance LLC is offering $5,508,000 of Buffered Jump Securities with an auto-call feature due July 13, 2028, linked to NVIDIA Corporation common stock and fully guaranteed by Morgan Stanley. Each security has a $1,000 principal amount and an original issue price of $1,000.
The notes pay no interest and are principal-at-risk. They auto-redeem on July 28, 2027 for $1,215 per security if NVIDIA’s closing level on July 23, 2027 is at or above the initial level of $210.96. If held to maturity and NVIDIA is at or above this initial level, holders receive $1,000 plus the greater of a fixed $430 upside payment or 100% of the stock’s gain.
A 25% buffer protects principal down to a buffer level of $158.22; below this, losses are magnified at a 1.3333x downside factor and the maturity payment can fall to zero. The estimated value on the pricing date is $990.60 per security, reflecting embedded costs. All payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering $1,374,000 of Contingent Income Memory Buffered Auto-Callable Securities due July 15, 2031, at $1,000 per security, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index and fully and unconditionally guaranteed by Morgan Stanley.
Holders may receive a 9.35% per annum contingent coupon, paid only if the index closes at or above the 60% coupon barrier (818.352) on each observation date; missed coupons may be paid later if the barrier is met. The notes auto-call at par plus due coupons if the index is at or above its 100% call threshold (1,363.92) on specified monthly redemption determination dates starting July 12, 2027.
If not called and the final index level is at or above the 85% buffer level (1,159.332), investors receive principal back plus any due coupons; below that, they lose 1% of principal for each 1% further index decline, subject to a minimum payment at maturity of 15% of principal. The securities are unsecured, subject to Morgan Stanley’s credit risk, may have little or no secondary market, and have an estimated value on the pricing date of $898.50 per $1,000 due to issuance, selling, structuring and hedging costs.
Morgan Stanley Finance LLC is issuing $1,000-denomination Jump Securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley. The notes, maturing July 13, 2029, are linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index and pay no interest.
The notes may be automatically redeemed on scheduled determination dates if every index is at or above its call threshold (100% of its initial level), paying early redemption amounts that correspond to about 17.15% per annum, up to $1,343 per security. At maturity, if not called, investors receive principal plus 150% of the gain of the worst index only if all three finish above initial; principal is returned if all stay at or above 70% of initial. If any index ends below 70% of its initial level, repayment is reduced in proportion to the decline of the worst index, down to zero. The notes are unsecured, subject to Morgan Stanley credit and liquidity risk, have an estimated value of $962.60 per $1,000, and involve complex U.S. tax treatment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $4,832,000 of Buffered Jump Securities with an auto-callable feature due July 15, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. The notes pay no interest and are principal-at-risk obligations subject to Morgan Stanley’s credit.
Each security has a $1,000 stated principal amount and may be automatically redeemed on quarterly determination dates starting July 13, 2027 if the index is at or above the call threshold level of 1,363.92. Early redemption payments range from $1,183.50 to $1,902.208 per $1,000, corresponding to an approximate 18.35% per annum return. If held to maturity and not previously called, investors receive $1,917.50 per $1,000 if the final index level is at or above the call threshold, the principal amount back if it is between the 15% buffer and the threshold, and a linear loss beyond the 15% buffer, with a minimum payment of 15% of principal.
The estimated value on the pricing date is $903.40 per security versus the $1,000 issue price, reflecting structuring, hedging and distribution costs, including a $47.50 sales commission per note. The complex underlier is a relatively new, volatility-targeting decrement index, and the issuer highlights limited liquidity, model-based valuation, tax uncertainty and potential conflicts of interest as key risks.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,105,000 of Callable Contingent Income Securities due July 13, 2029, linked to the worst performing of the Dow Jones Industrial, Nasdaq-100 Index and Russell 2000 Index.
The notes pay a 12.00% per annum contingent coupon only if on each observation date all three indices are at or above their coupon barrier levels, set at 75% of their initial levels; otherwise no coupon is paid for that period. Principal is at risk: if at maturity any index is below its downside threshold level, set at 70% of its initial level, investors lose 1% of principal for every 1% decline of the worst performer, potentially losing the entire investment.
Beginning January 14, 2027, the issuer may redeem the notes on specified dates at par plus any due coupon if a risk neutral valuation model indicates redemption is economically rational for Morgan Stanley, which the risk factors state is more likely when the notes would otherwise pay above-market coupons. The securities are unsecured obligations of MSFL, subject to Morgan Stanley’s credit, have an estimated value of $983.50 per $1,000 at pricing due to issuance and hedging costs, may have limited or no secondary liquidity, and do not provide any participation in index appreciation.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Fixed Income Buffered Auto-Callable Securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. The notes have a $1,000 denomination and $1,303,000 aggregate principal, pay a fixed coupon of 7.10% per annum monthly, and are scheduled to mature on July 15, 2031.
Starting July 12, 2027, the notes are automatically redeemed at par plus coupon if the index closes at or above the call threshold/initial level of 1,363.92; no further payments occur after an early redemption. If held to maturity and not called, investors receive full principal if the final index level is at or above the buffer level of 1,159.332 (85% of initial), but lose 1% of principal for each 1% decline beyond the 15% buffer, subject to a minimum maturity payment of 15% of principal, in each case plus the final coupon.
The estimated value is $917.50 per note versus the $1,000 issue price, reflecting selling, structuring and hedging costs and Morgan Stanley’s funding rate. Key risks include equity-index performance risk, Morgan Stanley credit risk, limited or no secondary market liquidity, conflicts of interest in MS & Co.’s roles, and complex, uncertain U.S. federal tax treatment, including potential 30% withholding for some non-U.S. investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering market‑linked, principal‑at‑risk securities with a $1,000 face amount per note, maturing August 2, 2027. The notes are linked to the worst performer of NVIDIA and Broadcom common stock and provide a contingent fixed return of at least 20% at maturity if the lowest‑performing stock finishes at or above its threshold level.
If that stock closes below 60% of its starting price on the calculation day, investors are fully exposed to its decline and can lose more than 40%, up to their entire investment. The notes pay no interest or dividends, may have limited liquidity, and their estimated value on the pricing date is about $961.30 per $1,000, below the price to the public.