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 (MS), through Morgan Stanley Finance LLC, is offering Dual Directional Buffered Participation Securities due August 29, 2031, linked to the S&P 500® Index and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $250,000.
The securities pay no interest. If the S&P 500 final level is above the initial level of 7,675.70, holders receive principal plus 100% of the index gain, capped at a maximum payment of $1,600 per security. If the index is below or equal to the initial level but at or above the buffer level of 6,524.345 (an 85% level, i.e., a 15% buffer), investors earn a positive “absolute return” up to 15%. If the index falls below the buffer level, investors lose 1% of principal for each 1% decline beyond the buffer, but not below a minimum payment of 15% of principal.
The estimated value on the pricing date is $936.60 per security, below the $1,000 issue price due to issuing, selling, structuring and hedging costs borne by investors. The notes are unsecured obligations subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, may be illiquid, and involve complex U.S. tax and Section 871(m) considerations.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering structured Callable Jump Notes due August 29, 2031 linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and issue price, with a total aggregate principal of $897,000.
The notes pay no interest. If not called and if the index’s final level exceeds the initial level of 612.01, investors receive $1,000 plus an upside payment equal to 160% of the index gain; otherwise, only principal is repaid at maturity. Beginning August 31, 2027, the issuer may redeem the notes in whole on scheduled redemption dates if a risk neutral valuation model indicates early redemption is economically rational, paying fixed call amounts that imply roughly 12% per annum simple returns, from $1,120 on the first redemption date up to $1,590 on July 31, 2031.
The notes are unsecured and subject to Morgan Stanley’s credit risk, will not be listed on any exchange and may have limited liquidity. The estimated value on the pricing date is $935.70 per note, below the $1,000 issue price due to embedded costs and issuer funding economics. For U.S. tax purposes, the securities are expected to be treated as contingent payment debt instruments, requiring annual accrual of taxable interest based on a 5.0361% comparable yield.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is issuing Trigger PLUS structured notes linked to the S&P 500® Futures Excess Return Index, maturing on August 29, 2031. Each security has a $1,000 stated principal amount and is issued at $1,000, with an aggregate principal amount of $3,725,000.
The notes offer 209% leveraged upside if the final index level on the August 26, 2031 observation date is above the initial level of 612.01. If the final level is between 70% of the initial level (the downside threshold level of 428.407) and the initial level, investors receive only principal back. Below the threshold, repayment is reduced 1% for each 1% decline in the index, with no minimum payment.
The securities pay no interest, are unsecured obligations of Morgan Stanley Finance LLC fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $943.30 per security, below the issue price, reflecting issuance, selling, structuring and hedging costs and Morgan Stanley’s pricing. Liquidity may be limited, and tax treatment is uncertain; the issuer’s counsel views them as prepaid financial contracts treated as open transactions for U.S. federal income tax purposes.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering up to $497,000 of unsecured, auto-callable Jump Notes linked to the Morgan Stanley Amplitude Index, with a stated principal amount and issue price of $1,000 per note, fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest, may be automatically redeemed on annual determination dates starting August 26, 2027 if the index is at or above a call threshold of 209.626, for fixed early redemption payments from $1,110 to $1,660 per note (about 11% per annum). If not called and the final index level on August 26, 2033 exceeds the initial level of 207.55, holders receive principal plus 100% of index appreciation; otherwise they receive only principal at maturity, subject to issuer and guarantor credit risk.
Morgan Stanley estimates the value on the pricing date at $891.30 per note, below the issue price due to embedded costs. The underlying Amplitude Index is a new, rules-based, multi-asset, volatility-targeted index with 0.65% annual index fee and additional component costs that historically averaged about 1.4% per year on a back-tested basis, which reduce index performance. The notes will not be listed, and U.S. tax treatment is as contingent payment debt instruments with a comparable yield of 5.2579% per annum.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is issuing $4,830,000 of principal-at-risk Step-Down Jump Securities with an auto-call feature due August 30, 2029, linked to the worst of the EURO STOXX 50® and S&P 500® indices. Each security has a $1,000 stated principal amount and issue price.
The notes can be automatically redeemed on scheduled determination dates if both indices are at or above their call threshold levels, paying $1,107.50 per security on the first call date or $1,215.00 on the second, corresponding to about 10.75% per annum. If held to maturity and both indices are at or above their upside thresholds (90% of initial levels), investors receive $1,322.50; if both remain above their downside thresholds (70%), investors receive only principal. If either index finishes below its downside threshold, repayment is reduced 1% for every 1% decline of the worst-performing index, potentially to zero.
The notes pay no interest, provide no participation in index gains, and are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley. The estimated value on the pricing date is $974.00 per $1,000, reflecting embedded fees and the issuer’s pricing models, and liquidity in the secondary market may be limited.
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 $2,416,000 of principal at risk Jump Securities with an auto-call feature maturing on August 29, 2031, linked to the worst performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index.
Each security has a $1,000 stated principal amount and may be automatically redeemed on September 8, 2027 for $1,200 per security if, on the first determination date, all three indices are at or above 100% of their initial levels. If held to maturity and not auto-called, investors receive principal plus an upside payment based on 150% of the gain of the worst performing index if all are above initial, only principal if all remain at or above 70% of initial, and a loss of 1% of principal for each 1% decline of the worst performer below its 70% downside threshold, potentially down to zero.
The securities’ estimated value on the pricing date is $952.30 per $1,000, reflecting embedded costs and issuer pricing. Payments depend on Morgan Stanley’s credit; there is no principal guarantee, no periodic interest, limited liquidity, and complex U.S. tax treatment that may change.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Dual Directional Buffered Jump Securities linked to the S&P 500® Futures Excess Return Index, due August 29, 2031. Each note has a $1,000 principal amount, with an aggregate issuance of $624,000, and pays no interest.
At maturity, if the index is at or above the initial level of 612.01, holders receive principal plus the greater of the index gain or a fixed upside payment of $566 per note. If the index is below the initial level but at or above the 85% buffer level, investors receive principal plus a positive “absolute return” on the decline, capped at a 15% gain. Below the buffer, principal is reduced 1% for each 1% further decline, subject to a minimum payment of 15% of principal.
The notes are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the pricing date of $956.10 per note, below the $1,000 issue price. The securities involve principal risk, limited liquidity, exposure to futures-based index volatility and complex U.S. tax treatment.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Jump Securities with an auto-call feature maturing on August 30, 2029, linked to the worst performer of the Russell 2000® Index and the S&P 500® Index. The notes are issued at $1,000 per security, with an aggregate principal amount of $465,000, and an estimated value on the pricing date of $969.10 per security, reflecting embedded costs and issuer economics.
The securities may be automatically redeemed on September 8, 2027 for an early redemption payment of $1,130 per security if each index is at or above its initial level. If held to maturity and not called, investors receive principal plus an upside payment based on 150% of the gain of the worst-performing index if both final levels exceed their initial levels, only principal if both are at or above 70% of initial, and a loss of 1% of principal for each 1% decline of the worst-performing index below the 70% downside threshold (potentially down to zero). All payments are unsecured obligations subject to the credit risk of MSFL and Morgan Stanley, and the notes pay no periodic interest and may be illiquid.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering $100,000 aggregate principal amount of Trigger Jump Securities, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and is based on the worst performing of the Russell 2000® Index and the S&P 500® Index.
The notes pay no interest and do not guarantee any return of principal. At maturity on August 31, 2028, if the final level of each index is at or above its initial level, investors receive $1,000 plus a fixed upside payment of $275 (27.5%). If at least one index is below its initial level but both remain at or above 80% of their initial levels, investors receive only $1,000.
If either index finishes below its 80% downside threshold, the redemption is reduced 1% for every 1% decline of the worst performing index, with no minimum payment, so the entire investment can be lost. The estimated value on the pricing date is $973.00 per note, below the $1,000 issue price, reflecting selling, structuring and hedging costs. All payments are subject to the credit risk of Morgan Stanley and MSFL.