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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 priced $203,000 of Dual Directional Buffered Jump Securities due June 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and links payoffs to the S&P 500® Futures Excess Return Index.
At maturity the payout depends on the index closing on the observation date: investors may receive the stated principal plus an upside payment of $445 or a positive return tied to the absolute decline up to a 20% cap, but losses apply beyond an 20% buffer level, with a minimum payment of 20% of principal. The estimated value on the pricing date was $938.10 per security and the agent received a $36.25 commission per security.
Morgan Stanley Finance LLC is offering Contingent Income Memory Buffered Auto-Callable Securities linked to Micron Technology, Inc. with a stated principal amount of $1,000 per security and an aggregate principal amount of $600,000. The securities pay a contingent coupon at an annual rate of 43.08% on observation dates when the closing level of the underlier is at or above the coupon barrier of $629.106 (60% of the initial level). The securities can be automatically redeemed on specified redemption determination dates if the closing level is at or above the call threshold of $1,048.51 (the initial level). If not redeemed, maturity payment depends on the final level relative to the buffer level of $629.106; declines below the buffer expose investors to a 1.6667% loss of principal for every 1% decline beyond the buffer. Estimated value on the pricing date was $987.60 per security. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities due June 30, 2031, with an aggregate principal amount of $520,000. Each security has a stated principal amount of $1,000 and pays no interest; payment at maturity depends on the worst performing of three indices.
At maturity the holder may receive: (1) principal plus the greater of the underlier percent change of the worst performing underlier or the $645 upside payment; (2) principal only if each underlier is above its 70% downside threshold; or (3) a reduced principal tied to the worst performing underlier, which could result in a total loss.
Morgan Stanley Finance LLC priced a preliminary offering of structured, principal‑at‑risk notes fully guaranteed by Morgan Stanley linked to the performance of Broadcom Inc. common stock. Each security has a $1,000 stated principal amount and a fixed upside payment of $236.60 per security if the final level is at or above the buffer level. The initial level was $365.02 (strike date June 26, 2026), the buffer level is $292.016 (80% of initial), the downside factor is 1.25, the observation date is July 9, 2027 and maturity is July 14, 2027. The original issue price is $1,000 and the estimated value on the pricing date was about $984.30. Payments are subject to issuer credit risk and there is no guaranteed minimum—investors may lose their entire investment.
Morgan Stanley Finance LLC intends to issue Enhanced Buffered Jump Securities linked to the Nasdaq-100 Index due July 14, 2027. Each security has a $1,000 stated principal amount and an $111.10 fixed upside payment. The securities include a 15% buffer (buffer level 24,750.504) and a downside factor of 1.1765; if the final index level is below the buffer level the noteholder bears amplified losses and could lose the entire principal. The initial index level on the strike date was 29,118.24. The issue price is $1,000 and the issuer's estimated value on the pricing date was approximately $986.20. All payments are unsecured obligations of Morgan Stanley Finance LLC and are fully and unconditionally guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC offers Principal at Risk securities fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $1,572,000 and a stated principal amount of $1,000 per security. The securities pay no regular interest, have an issue price of $1,000 (estimated value on the pricing date $953.80), a maturity date of June 30, 2031, and an automatic early redemption feature on the first determination date of July 2, 2027 with an early redemption payment of $1,145.50. At maturity investors may receive the stated principal plus an upside payment (participation rate 125%), the stated principal, or a reduced payment that reflects losses beyond a 15% buffer, subject to a 15% minimum payment at maturity. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk buffered, auto-callable notes linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index with a stated principal amount of $1,000 per security. The notes permit automatic early redemption on a series of determination dates beginning June 28, 2027 if the underlier closes at or above the call threshold of 1,352.96, with early redemption payments rising over time. If not called, maturity is June 30, 2031; payment at maturity depends on the final level relative to the call threshold and a 15% buffer (buffer level 1,150.016), with a minimum payment equal to 15% of principal. Issue price is $1,000 and the estimated value on pricing date was $910.20. Selected dealers receive a fixed commission of $46 per security. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC offers Principal-at-Risk Dual Directional Trigger Jump Securities with an aggregate principal amount of $442,000. The securities are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley, issued at $1,000 per security with an estimated value of $940.50 on the pricing date.
Payments at maturity depend on the S&P 500® Futures Excess Return Index level on the observation date. Upside: holders receive principal plus the greater of index-based appreciation or an $520 upside payment (52%). If the index is down but above the downside threshold of 413.546 (70% of the initial level 590.78), investors receive a positive capped return based on the absolute decline. If the index is below the threshold, investors lose 1% of principal for each 1% decline in the underlier; payment could be significantly less or zero.
Morgan Stanley Finance LLC priced Buffered PLUS notes that reference the S&P 500® Futures Excess Return Index and are fully and unconditionally guaranteed by Morgan Stanley. The securities have a $1,000 stated principal amount, 5-year term (issue date June 30, 2031 maturity), an 180% leverage factor, an 80% buffer (buffer level June 25, 2026 initial level 590.78), and a minimum payment at maturity of 20% of principal. The estimated value on the pricing date was $954.00 per security and the issue price is $1,000 (agent commissions of $37.50 per security), with aggregate principal offered of $1,062,000. Payments at maturity depend solely on the closing final level on the observation date and all payments are subject to issuer and guarantor credit risk.
The Dual Directional Trigger PLUS are principal-at-risk notes issued by Morgan Stanley Finance LLC and guaranteed by Morgan Stanley. The securities have a $1,000 stated principal amount, issue price $1,000 and aggregate principal of $160,000. At maturity on June 28, 2030, payoff is determined by the performance of the worst performing underlier: the Nasdaq-100 Index (initial 29,440.32) and the Russell 2000 Index (initial 3,007.858). If both underliers finish above their initials, investors receive principal plus 121% of the worst underlier's appreciation. If the worst underlier declines but stays at or above its 70% downside threshold, investors receive principal plus an absolute-return payment equal to 50% of the absolute decline (capped effectively at 15%). If the worst underlier finishes below its downside threshold, investors suffer losses on a 1:1 basis and could lose their entire principal. The securities pay no interest, are unsecured obligations, involve issuer credit risk, include a $32.50 selling commission per security, and had an estimated value of $942.30 on the pricing date.