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 $6,900,000 of Autocallable Trigger GEARS, unsecured debt securities linked to JPMorgan Chase & Co. common stock. Each Security has a $10 principal amount and a term of about three years, maturing on July 11, 2029.
The note can be automatically called after roughly one year if JPM’s closing price on July 14, 2027 is at or above the Autocall Barrier of $330.62, paying $11.65 per Security based on a 16.50% per annum Call Return. If not called and JPM finishes above the Initial Price, investors receive $10 plus 1.70× the positive share return. If JPM finishes at or below the Initial Price but at or above the Downside Threshold of $247.97 (75% of Initial Price), investors receive only their $10 principal.
If JPM’s Final Price is below the Downside Threshold, repayment is reduced one-for-one with the negative share return, up to a total loss of principal. The Securities pay no interest or dividends, are subject to Morgan Stanley’s credit risk, may have limited liquidity, and their estimated value on the trade date is $9.904 per $10 issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $5,725,000 of Trigger Autocallable GEARS linked to the KOSPI 200 Index, in $10 denominations, maturing on July 11, 2031. The notes may be automatically called on the July 15, 2027 Observation Date if the index is at or above the Autocall Barrier of 1,169.73, paying $13.00 per $10 note based on a 30.00% per annum Call Return, with no further upside.
If not called and the index finishes above the Initial Level of 1,169.73, investors receive principal plus leveraged upside at 3.50x the positive index return. If the Final Level is at or below the Initial Level but at or above the Downside Threshold of 760.32 (65% of Initial), principal is repaid. If the Final Level is below the Downside Threshold, repayment is reduced one-for-one with the negative index return, down to a total loss. The notes pay no interest or dividends, have an estimated value of $9.548 per $10 at pricing, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Contingent Income Auto-Callable Securities due January 13, 2028 linked to the worst performing of AMD, Bloom Energy and Palantir class A shares, with principal at risk. The aggregate principal amount is $500,000, at $1,000 per security, maturing in about 1.5 years with a 1-year initial non-call period.
The notes pay a contingent semi-annual coupon at 55.20% per annum (about $276 per period per security) only if on each observation date all three stocks are at or above 40% of their initial share prices, with missed coupons potentially paid later if conditions are again met. Early redemption can occur semi-annually starting July 2027 if all three stocks are at or above their initial prices, paying principal plus the due and previously unpaid coupons. If held to maturity and any stock finishes below its downside threshold, repayment is reduced 1-to-1 with the decline of the worst-performing stock, to less than 60% of principal and possibly zero; there is no participation in stock price appreciation. The estimated value on the pricing date is $942.00 per security versus the $1,000 issue price, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC is issuing auto-callable Jump Securities due July 12, 2029, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index and are issued at $1,000 per security, with an aggregate principal amount of $874,000.
The securities do not pay interest and principal is at risk. Beginning on the first determination date on July 15, 2027, the notes are automatically redeemed if each index is at or above its call threshold (100% of its initial level), paying fixed early redemption amounts corresponding to a return of approximately 14.25% per annum.
If not redeemed early, and on the final determination date each index is at or above its call threshold, investors receive $1,427.50 per security. If at least one index is below its call threshold but all are at or above 70% of their initial levels, investors receive only the $1,000 principal. If any index finishes below 70% of its initial level, the maturity payment is reduced in full proportion to the worst-performing index, potentially to zero. The estimated value on the pricing date is $959.10 per security, reflecting issuance, selling, structuring and hedging costs and the issuer’s lower internal funding rate; all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $4,900,000 of Buffered Jump Securities due August 6, 2027 linked to the Russell 2000® Index. Each security has a $1,000 stated principal amount, pays no interest and exposes investors to issuer credit risk.
At maturity, if the index final level is at or above the initial level of 2,956.389, holders receive $1,154 per security, a fixed upside payment of $154 (15.40%). If the final level is below the initial level but at or above the buffer level of 2,660.750 (90% of the initial level), investors receive only principal back. Below the buffer, principal is reduced 1% for each 1% additional decline, subject to a minimum payment at maturity of 10% of principal.
The issue price is $1,000 per security, while the estimated value on the pricing date is $995.30, reflecting issuing, selling, structuring and hedging costs borne by investors. The securities are unsecured notes of a finance subsidiary with no independent assets, rely on Morgan Stanley’s guarantee, may trade at prices below issue, and may be illiquid.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering market-linked notes with an aggregate principal amount of $3,835,000 tied to the S&P 500® Futures Excess Return Index. Each note has a $1,000 stated principal amount and issue price, matures on July 11, 2031, and pays no periodic interest.
At maturity, investors receive $1,000 plus an upside payment equal to 127.50% of any positive index return, based on an initial index level of 599.18; if the final level is equal to or below this initial level, only principal is repaid. The estimated value on the pricing date is $948.70 per note, reflecting issuance, selling, structuring and hedging costs, while Morgan Stanley expects to receive approximately $3,715,156.25 in proceeds after agent commissions.
The notes are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on any securities exchange, and may have limited secondary liquidity. For U.S. tax purposes, they are intended to be treated as contingent payment debt instruments, with taxable interest income accrued over time based on a comparable yield of 4.9350% per annum.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Buffered Participation Securities maturing on July 11, 2031, linked to a performance-allocation basket of the iShares MSCI EAFE ETF, the S&P 500 Futures Excess Return Index and the Russell 2000 Index. Each note has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $1,385,000, and pays no interest.
At maturity, investors receive upside based on a 100% participation rate in the basket performance factor, subject to a maximum payment of $1,760 per security (176% of principal). A 20% buffer protects against moderate declines; beyond that, investors lose 1% of principal for each 1% drop in the basket, but not less than 20% of principal. Basket weights are set only at maturity, with the best performer weighted 60%, second-best 30% and worst 10%. The estimated value on the pricing date is $952.10 per security, reflecting issuance, structuring and hedging costs. All payments are subject to Morgan Stanley’s credit risk, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering callable contingent income buffered securities due January 12, 2027, linked to the worst performer of the SPDR Gold Trust (GLD), VanEck Gold Miners ETF (GDX) and VanEck Junior Gold Miners ETF (GDXJ). Each security has a $1,000 stated principal amount and an aggregate offering size of $6,935,000.
The notes pay a contingent coupon at 14.40% per annum, payable only if on each observation date every underlier is at or above its coupon barrier, set at 75% of its initial level (GLD $283.118, GDX $56.82, GDXJ $74.198). The issuer may redeem the notes on specified quarterly redemption dates if a risk neutral valuation model shows it is economically rational for Morgan Stanley, in which case investors receive principal plus any due coupon and no further payments.
If not called, at maturity investors receive principal only if the final level of every underlier is at or above its 25% buffer. If any underlier finishes below its buffer, the payoff is reduced by 1.3333% for each 1% decline of the worst performer beyond the buffer, potentially resulting in a full loss. The estimated value on the pricing date is $982.30 per security, reflecting issuance, structuring and hedging costs. All payments are subject to Morgan Stanley’s credit risk, and investors do not participate in any upside of the underliers.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk structured notes called Jump Securities with an auto-callable feature, due July 10, 2031. Each security has a stated principal amount and issue price of $1,000, for an aggregate principal amount of $313,000, and is linked to a basket of indices: MSCI EAFE Index (25%), MSCI Emerging Markets Index (10%) and S&P 500 Futures Excess Return Index (65%).
The notes may be automatically redeemed on July 14, 2027 for $1,150 per security if the basket level on July 9, 2027 is at least 100% of the initial level. If not called, at maturity investors receive the principal plus an upside payment based on a 246% participation rate if the final level exceeds the initial level, only principal if the final level is between 80% and 100% of the initial level, and a proportional loss of principal if the final level is below 80%, potentially down to zero. The estimated value on the pricing date is $976 per security, reflecting issuance, structuring and hedging costs, and all payments are unsecured obligations subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Structured Investments Buffered PLUS due July 14, 2027, linked to the Invesco S&P 500® Equal Weight ETF, in $1,000 denominations with an aggregate principal amount of $277,000. The notes pay no interest and are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley.
At maturity, investors receive leveraged upside of 150% of any ETF appreciation, capped at a maximum payment of $1,102 per security (110.20% of principal). Principal is fully returned if the ETF’s final level is between 90% and 100% of the initial level. Below the buffer level of $190.98 (90% of the $212.20 initial level), investors lose 1% of principal for each 1% additional decline, subject to a minimum payment of 10% of principal. The estimated value on the pricing date is $983.90 per security, reflecting issuance, selling, structuring and hedging costs. All payments depend on Morgan Stanley’s credit and the notes are expected to have limited liquidity.