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 principal-at-risk structured 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 and maturity on September 9, 2031. The notes pay a contingent coupon at 15.00% per annum only if the index closes on each observation date at or above a coupon barrier set at 85% of the initial level; missed coupons can be paid later if the barrier is met, but may be lost entirely.
The notes are auto-callable on scheduled redemption determination dates if the index is at or above 100% of the initial level, in which case investors receive principal plus the current contingent coupon and any unpaid coupons, with no further payments thereafter. If held to maturity and the final index level is at or above an 85% buffer level, investors receive full principal (plus any due coupons). If the final level is below the buffer, repayment is reduced 1% for every 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal, meaning substantial loss of capital is possible.
The notes are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to the issuer’s and guarantor’s credit risk. The estimated value is approximately $910.10 per security, below the $1,000 issue price due to embedded costs. The underlier is a relatively new, leveraged, volatility-targeted futures-based index with a 4% per annum decrement, and the tax treatment, including potential 30% U.S. withholding on coupons for certain non-U.S. investors, is described as uncertain.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Buffered Jump Securities with an auto-call feature, due September 2, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a stated principal amount and issue price of $1,000, with an estimated value on the pricing date of approximately $919.40 per security.
The notes pay no interest and may be automatically redeemed quarterly from August 30, 2027 onward if the index is at or above the call threshold level (90% of the initial level), for early redemption payments starting at $1,156 and rising up to $1,767 per $1,000. If held to maturity and not auto-called, investors receive $1,780 per security if the final index level is at or above the call threshold; the principal back if it is between the buffer level (85% of initial) and the call threshold; or a loss of 1% of principal for each 1% index decline beyond the 15% buffer, subject to a minimum payment equal to 15% of principal. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, and the issuer highlights limited liquidity, potentially significant loss of principal, index construction and decrement risks, and tax uncertainty.
MORGAN STANLEY (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
Morgan Stanley, through Morgan Stanley Finance LLC, is offering principal-at-risk Callable Contingent Income Securities due March 2, 2028, linked to the worst performing of the Nasdaq-100 Index, Russell 2000 Index and S&P 500 Index, with a stated principal amount of $1,000 per security.
The notes pay a contingent coupon at 8.45% per annum only if on each observation date all three indices close at or above 70% of their initial levels; otherwise no coupon is paid for that period, and investors could receive few or no coupons over the term. Starting December 3, 2026, the notes are callable in whole on specified redemption dates if a risk neutral valuation model indicates it is economically rational for Morgan Stanley to redeem, in which case investors receive principal plus any due coupon and no further payments.
If not redeemed and on the final observation date each index is at or above 65% of its initial level, investors receive principal plus any final coupon; if any index is below 65%, repayment is reduced in full proportion to the worst-performing index and can be zero. The estimated value on the pricing date is approximately $972.60 per $1,000, reflecting issuance and hedging costs. All payments depend on Morgan Stanley’s credit, and U.S. tax treatment is complex, with potential 30% withholding on coupons for many non-U.S. holders.
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 $539,000 aggregate principal amount of unsecured Jump Notes with Auto-Callable Feature due August 24, 2033, based on the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index and fully and unconditionally guaranteed by Morgan Stanley.
Each note has a $1,000 stated principal amount and pays no interest. The notes may be automatically redeemed quarterly from August 19, 2027 if the index closing level is at or above the call threshold level of 1,343.46, returning principal plus a fixed early redemption payment that targets about 8.25% per annum (from $1,082.50 on the first call date up to $1,556.875 on the last).
If not called and the final index level on August 19, 2033 exceeds 1,343.46, investors receive principal plus 100% of the index’s positive return; otherwise they receive only principal. The notes are not listed, all payments depend on Morgan Stanley’s credit, and the estimated value on the pricing date is $929.90 per note, below the $1,000 issue price due to embedded costs.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering $1,296,000 of Trigger Step Securities linked to the least performing of the S&P 500 Index and the EURO STOXX 50 Index, maturing on August 22, 2031. Each Security has a $10 principal amount and pays no interest or dividends.
At maturity, if the final level of each index is at or above its Step Barrier (100% of its Initial Level), investors receive $10 plus the greater of a fixed Step Return of 77.25% or the index return of the least performing index. If at least one index is below its Step Barrier but both are at or above the Downside Threshold (75% of Initial Level), investors receive only the $10 principal. If either index finishes below its Downside Threshold, repayment is reduced in full proportion to the negative return of the least performing index, down to a total loss of principal.
The Securities are unsecured, unsubordinated obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and are subject to the issuer’s and guarantor’s credit risk. The issue price is $10 per Security, with an estimated value on the trade date of $9.906 per Security, and sales are made through UBS Financial Services Inc. to certain fee-based advisory accounts without a sales commission.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Contingent Income Memory Auto-Callable Securities due August 22, 2031, linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, in an aggregate principal amount of $500,000 at $1,000 per security.
Investors may receive a 16.40% per annum contingent coupon, payable only if the underlier’s closing level on an observation date is at or above the coupon barrier of 2,451.337 (70% of the initial level of 3,501.91); missed coupons can be paid later if the barrier is met. The notes are automatically redeemed at par plus applicable coupons if, on any redemption determination date from February 19, 2027 onward, the underlier is at or above the call threshold of 3,501.91.
If not redeemed early and the final level is at or above the downside threshold of 2,101.146 (60% of initial), investors receive par plus any due coupons; if below, repayment is reduced in proportion to the underlier’s decline, potentially to zero. The estimated value on the pricing date is $953.80 per security, and all payments depend on Morgan Stanley’s credit and limited secondary market liquidity.
MORGAN STANLEY (through Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley) is offering Trigger PLUS notes due August 22, 2031 linked to the Invesco S&P 500® Equal Weight ETF. The notes are unsecured, pay no interest and expose investors to the issuer’s credit risk.
Each note has a stated principal of $1,000. If the ETF’s final level on the August 19, 2031 observation date is above the initial level of $222.07, investors receive principal plus a leveraged upside of 112.50% of the ETF’s gain. If the final level is between the initial level and the downside threshold of $177.656 (80% of initial), investors receive only principal. If the final level is below the downside threshold, repayment is principal multiplied by the performance factor (final/initial), with no minimum payment, so up to 100% of principal can be lost.
The aggregate principal amount is $480,000, issued at $1,000 per note. The estimated value on the pricing date is $955.40 per note, reflecting embedded costs and issuer funding levels. Sales commissions are $20 per note plus a $2 structuring fee, and dealers’ proceeds are $978 per note. Secondary market liquidity is not assured.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Buffered Performance Leveraged Upside Securities (Buffered PLUS) due August 22, 2031, linked to the worst performer of the Nasdaq-100 Index and the S&P 500 Index, in an aggregate principal amount of $24,407,000 at $1,000 per security.
The notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley. At maturity, if the final level of each index is above its initial level, investors receive principal plus 116.25% of the gain of the worst-performing index. If the worst performer finishes between its initial level and its 75% buffer level, investors receive only principal. Below the 75% buffer, principal is reduced 1% for each 1% decline of the worst performer beyond the 25% buffer, subject to a minimum payment of 25% of principal.
The initial levels are 29,426.02 for the Nasdaq-100 and 7,707.98 for the S&P 500. The estimated value on the pricing date is $978.40 per security, reflecting issuance, structuring and hedging costs. Investors are exposed to principal loss, market volatility, limited liquidity, and the credit risk of Morgan Stanley and MSFL.