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 offering $8,003,000 of Market Linked Securities with a $1,000 face amount per security, fully and unconditionally guaranteed by Morgan Stanley. The notes are auto-callable and linked to the Russell 2000 Index, the iShares Expanded Tech-Software Sector ETF and the Dow Jones Industrial Average, with a scheduled maturity on January 15, 2030, unless called earlier.
Beginning July 15, 2027, the notes are automatically called if each underlying is at or above its call threshold level (81% of its starting level) on a monthly calculation day, paying a fixed call amount from $1,111.00 (11.10% premium) up to $1,388.50 (38.85% premium) per $1,000. If never called and any underlying ends below its 70% threshold level, the maturity payment is reduced 1-for-1 with the lowest-performing underlying, leading to a loss of more than 30% and possibly all principal. The securities pay no interest or dividends, have an estimated value of $949.30 per security on the pricing date, include selling commissions of $25.75 per security, and expose holders to Morgan Stanley’s credit and to limited secondary-market liquidity.
Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, is offering principal-at-risk Contingent Income Auto-Callable Securities linked to the Global X Uranium ETF, maturing on June 22, 2028. Each security has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of approximately $960.20.
The notes pay a 16.25% per annum contingent coupon only when the ETF’s closing level on an observation date is at or above the coupon barrier, set at 60% of the initial level; otherwise no coupon is paid. Starting January 19, 2027, the securities are automatically redeemed on scheduled dates if the ETF is at or above 100% of its initial level, returning principal plus the applicable coupon.
If not called and the final ETF level is at or above the downside threshold (also 60% of the initial level), investors receive principal back, plus the final contingent coupon if conditions are met. If the final level is below this threshold, repayment falls in line with the ETF’s decline, potentially to zero. Key risks include loss of principal, the possibility of receiving few or no coupons, exposure to a volatile and concentrated uranium sector, issuer and guarantor credit risk, limited secondary market liquidity, and tax uncertainty, including potential 30% withholding on coupons for some non-U.S. investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Buffered Performance Leveraged Upside Securities (Buffered PLUS) maturing July 27, 2028, with a $1,000 stated principal per security and no periodic interest. Returns depend on the worst performer among the EURO STOXX 50 Index, iShares Russell 2000 ETF and State Street Energy Select Sector SPDR ETF, measured on a single July 24, 2028 observation date.
If that worst underlier finishes above its initial level, holders receive principal plus a leveraged upside payment equal to 315% of its price gain (for example, a 5% rise pays $1,157.50, or 115.75% of principal). If it is at or below its initial level but at or above 70% of initial, investors receive principal back. Below 70% of initial, principal is reduced one-for-one with any further decline, subject to a minimum payment of 30% of principal (for example, a 95% drop pays $350).
The securities are unsecured, unsubordinated obligations of MSFL with principal at risk and no asset diversification benefit; any underlier breaching its buffer drives outcomes. The estimated value on the pricing date is approximately $956.30 per $1,000 security, reflecting embedded costs, and secondary market liquidity and U.S. tax treatment are both described as uncertain.
Morgan Stanley Finance LLC is offering S&P 500-linked Trigger Participation Securities due July 22, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each unsecured note has a $1,000 stated principal amount, pays no interest, and all payments are subject to Morgan Stanley’s credit risk.
At maturity, if the S&P 500 is above its initial level, holders receive $1,000 plus 102.75% of the index gain. If the index is at or below its initial level but at or above 85% of the initial level, repayment is $1,000. If it finishes below the 85% trigger, principal loss matches the index decline and can reach 100%. The estimated economic value on the pricing date is approximately $954.70 per $1,000 note, reflecting embedded $30 sales commissions and a $5 structuring fee per security.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due January 25, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount and issue price of $1,000 and is linked to the worst performer of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index.
Holders may receive a contingent coupon at 9.50% per annum, paid only if on each observation date all three indices are at or above their coupon barrier levels, set at 70% of the initial level for each index. The notes auto-call, paying principal plus the coupon, if on a redemption determination date all indices are at or above their call thresholds, set at 100% of initial levels. If not called, and at maturity any index finishes below its 70% downside threshold, repayment is reduced in proportion to the worst index’s decline, potentially to zero, so principal is fully at risk. The estimated value on the pricing date is approximately $968.10 per security, below the issue price due to issuing, selling, structuring and hedging costs, and liquidity and tax risks may be significant.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price. The notes pay no interest and do not guarantee repayment of principal.
The notes may be automatically redeemed if the index closes at or above a call threshold equal to 100% of the initial level on scheduled determination dates, with payments of at least $1,105 in 2027 or $1,210 in 2028 per $1,000. If held to maturity and the final index level is at or above the threshold, investors receive at least $1,315. If the notes are not called and the final level is below the threshold, repayment equals $1,000 times the performance factor, resulting in a 1% loss of principal for each 1% index decline, potentially to zero. All payments are subject to Morgan Stanley’s credit risk, and the estimated value is about $975.30 per security, below the issue price, reflecting fees, structuring and hedging costs, as well as limited expected secondary market liquidity and complex, uncertain tax treatment.
Morgan Stanley Finance LLC is issuing $750,000 of Digital Equity-Linked Notes due August 12, 2027, linked to ServiceNow, Inc. common stock and fully guaranteed by Morgan Stanley. The notes pay no interest and are unsecured, principal-at-risk obligations.
For each $1,000 note, if ServiceNow’s final share price is at least 85% of the $107.71 initial level (threshold $91.5535), investors receive a capped $1,394.30 (139.43% of face). Below that threshold, repayment falls linearly using a 117.65% buffer rate, so a large decline can result in total loss of principal.
The price to public is $1,000 per note, with a dealer commission of $10.90 and estimated fair value of $977.00 on the trade date, reflecting issuing, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes will not be listed, and any secondary market may be limited and affected by Morgan Stanley’s credit, hedging and trading activities.
Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, is issuing Trigger Autocallable Notes linked to the Nasdaq-100 Index® with a $10 principal amount per Security and a 5-year term, subject to quarterly automatic call starting July 26, 2027.
If on any Observation Date the index closes at or above the Initial Level, the notes are automatically called and pay $10 plus a fixed Call Return based on a 10.30%–11.00% per-annum Call Return Rate, following a preset schedule up to a 51.500% Call Return at maturity. Investors do not participate in any additional index appreciation.
If the notes are not called and the Final Level is at or above 75% of the Initial Level (the Downside Threshold) but below the Initial Level, investors receive only principal. If the Final Level is below the Downside Threshold, repayment equals $10 × (1 + Underlying Return), exposing holders to the index’s full decline and potentially a total loss. The notes pay no interest, may have limited or no secondary liquidity, carry full issuer and guarantor credit risk, and have an estimated value of about $9.643 per Security versus the $10 Issue Price.
Morgan Stanley Finance LLC is offering S&P 500-linked Buffer Autocallable Securities due July 31, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $10 principal amount, a 5-year term and no interest or dividend payments; returns depend on S&P 500® Index performance.
The notes are automatically called if, on August 4, 2027, the index closes at or above the Autocall Barrier set at 100% of the Initial Level, paying principal plus a fixed Call Return between 9.00% and 10.65%, after which no further upside is available. If not called, positive index returns at maturity are passed through one-for-one via Upside Gearing of 1.00.
Principal exposure is buffered by a 20% Buffer observed only at maturity: if the index is down 20% or less, investors receive full principal; below the 80% Downside Threshold, losses increase 1% for each additional 1% index decline, up to an 80% loss of principal. The securities are unsecured, not FDIC-insured obligations subject to Morgan Stanley’s credit risk. Estimated value on the trade date is approximately $9.673 per $10 note, reflecting structuring, hedging costs and dealer compensation.
Morgan Stanley Finance LLC is offering $2,161,000 of principal-at-risk Jump Securities with Auto-Callable Feature due July 15, 2031, linked to the S&P 500® Futures Excess Return Index and fully and unconditionally guaranteed by Morgan Stanley.
The notes have a $1,000 stated principal amount, pay no interest and may be automatically redeemed on July 16, 2027 for an early redemption payment of $1,200 per security if the index is at or above the 606.46 call threshold. If held to maturity and the final index level exceeds 606.46, investors receive principal plus 150% of the index gain; if the final level is between 424.522 and 606.46, they receive only principal; below 424.522, repayment is reduced in proportion to the index decline and can fall to zero.
The estimated value on the pricing date is $979.30 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and issuer economics. All payments depend on Morgan Stanley and MSFL credit, market value may be limited, and U.S. federal income tax treatment is complex and uncertain.