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 (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Contingent Income Auto-Callable Securities due February 25, 2028 linked to the worst performing of the State Street Energy Select Sector SPDR ETF (XLE) and the State Street SPDR S&P Oil & Gas Exploration & Production ETF (XOP), fully and unconditionally guaranteed by Morgan Stanley.
Each security has a $1,000 stated principal amount and pays a 9.80% per annum contingent coupon only if on an observation date the closing level of both underliers is at or above their coupon barrier levels, set at 70% of initial levels: XLE $44.548 and XOP $132.678. The notes are automatically redeemed on specified dates if both underliers are at or above their call thresholds, equal to 100% of initial levels: XLE $63.64 and XOP $189.54, paying principal plus the applicable coupon.
If not called, at maturity investors receive principal only if the final level of each ETF is at or above its downside threshold (70% of initial). Otherwise, repayment is reduced 1% for each 1% decline of the worst performer, potentially to $0. The aggregate principal amount is $5,749,000, with an estimated value of $969.40 per security on the pricing date, and all payments are subject to Morgan Stanley’s credit risk and limited secondary market liquidity.
MORGAN STANLEY (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
MORGAN STANLEY (MS), via Morgan Stanley Finance LLC, is offering $200,000 of Contingent Income Memory Buffered Auto-Callable Securities due July 26, 2029, linked to the worst performer of the State Street SPDR S&P Metals & Mining ETF (XME) and the VanEck Gold Miners ETF (GDX), fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 8.00% per annum, only when on an observation date both ETFs are at or above their coupon barrier levels (50% of initial); missed coupons can be paid later if barriers are met. Starting August 23, 2027, the notes auto-call on monthly redemption determination dates if both ETFs are at or above 100% of their initial levels, returning principal plus the due and any previously unpaid coupons.
If not called, at maturity investors receive principal back only if each ETF’s final level is at or above its buffer level of 83.40% of initial; otherwise, repayment is reduced 1% for each 1% decline of the worst performer beyond the 16.60% buffer, but not below a minimum of 16.60% of principal. The estimated value on the pricing date is $941.10 per $1,000 note, reflecting issuance, selling, structuring and hedging costs and Morgan Stanley’s funding levels. Principal is at risk and all payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Trigger Participation Securities linked to the S&P 500 Index, with a stated principal amount of $1,000 per security and an aggregate principal amount of $300,000. The notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity on August 23, 2030, if the S&P 500 final level is above the initial level of 7,641.16, investors receive principal plus 100% of the index gain. If the final level is between the initial level and the downside threshold of 5,348.812 (70% of the initial level), investors receive only principal. Below the threshold, repayment is principal multiplied by the performance factor, with 1% loss of principal for each 1% index decline, and the payment can fall to zero.
The issue price is $1,000 per security, including a $15 sales commission, while the issuer’s estimated value on the pricing date is $979.30, reflecting structuring and hedging costs and Morgan Stanley’s funding rate. The notes are unsecured, subject to Morgan Stanley’s credit risk, may have limited or no secondary market, and carry complex and uncertain U.S. tax treatment described as prepaid financial contracts.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Dual Directional Trigger Jump Securities maturing on August 26, 2030, linked to the worst performer of the EURO STOXX 50® Index and the Russell 2000® Index. These unsecured, principal-at-risk notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
Each security has a $1,000 stated principal amount and issue price, with an aggregate principal of $588,000. At maturity, if both indices finish at or above their initial levels, holders receive principal plus the greater of the index gain on the worst performer or a fixed $533 (53.30%) upside payment. If the worst performer is below its initial level but at or above its downside threshold of 75% of the initial level, investors receive principal plus an absolute return (one-for-one on the percentage decline) effectively capped at a 25% positive return. If either index ends below its downside threshold, investors lose 1% of principal for each 1% decline of the worst performer, with no minimum repayment.
The estimated value on the pricing date is $958.80 per security, below the issue price due to issuance, selling, structuring and hedging costs and the issuer’s funding rate. A fixed sales commission of $27.50 per security is paid to dealers. The notes are subject to Morgan Stanley’s and MSFL’s credit risk, may have limited or no secondary market liquidity, and carry complex U.S. federal tax treatment described as prepaid financial contracts with uncertain consequences.
MORGAN STANLEY (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering an aggregate principal amount of $4,443,000 of Enhanced Buffered Jump Securities with Downside Factor due September 10, 2027, linked to an equally weighted basket of seven semiconductor-related stocks.
The notes are issued at $1,000 per security, pay no interest, and are fully and unconditionally guaranteed by Morgan Stanley. At maturity, if the basket’s final level is at or above the 80 buffer level (80% of the initial level 100), holders receive principal plus a fixed upside payment of $154.70 (a 15.47% return), regardless of how far above the buffer the basket finishes. If the final level is below the buffer, investors lose 1.25% of principal for each 1% decline beyond the 20% buffer, with no minimum repayment, so principal can be fully lost.
The estimated value on the pricing date is $983.80 per $1,000, reflecting structuring and hedging costs and a lower internal funding rate, and secondary market prices are expected to be below issue price. The notes carry full principal-at-risk, equity-market risk on the basket, Morgan Stanley credit risk, limited upside, potential illiquidity, and uncertain U.S. tax treatment (treated as prepaid financial contracts, with Section 871(m) not expected to apply to Non-U.S. Holders).
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering market-linked notes due September 5, 2031 whose return is based on the S&P 500® Index. The notes pay no interest and return at least the $1,000 stated principal amount per note at maturity, subject to Morgan Stanley’s and MSFL’s credit risk.
If the index level on the September 2, 2031 observation date is above the initial level set on August 31, 2026, investors receive $1,000 plus 100% of the index gain, capped at a maximum payment of $1,517.50 per note (151.75% of principal). If the index is at or below the initial level, only principal is repaid. The notes are not listed, and the estimated value on the pricing date is approximately $975.10 per note, reflecting issuance, structuring and hedging costs. The notes are expected to be treated as contingent payment debt instruments for U.S. federal income tax purposes, requiring annual interest accruals regardless of cash payments.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Callable Contingent Income Memory Buffered Securities due August 24, 2029, linked to the worst performer of three ETFs: iShares Russell 2000 ETF, iShares MSCI Emerging Markets ETF and State Street Materials Select Sector SPDR ETF. The notes have a stated principal of $1,000 per security and an aggregate principal amount of $900,000, with an estimated value on the pricing date of $985 per security.
Investors may receive a 9.60% per annum contingent coupon, payable only when the closing level of each ETF is at or above its coupon barrier (80% of initial levels). Missed coupons can be paid later if barriers are subsequently met, but coupons can be zero for the entire term. The notes are callable in whole on specified redemption dates if a risk neutral valuation model indicates early redemption is economically rational for Morgan Stanley, ending all future payments.
At maturity, if not redeemed and each ETF’s final level is at or above its 80% buffer level, investors receive full principal plus any due contingent coupon. If any ETF finishes below its buffer, repayment is reduced 1% for each 1% decline of the worst performer beyond the 20% buffer, subject to a minimum payment of 20% of principal. All payments are subject to Morgan Stanley’s credit risk.