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 is issuing Principal at Risk structured notes linked to the State Street® Health Care Select Sector SPDR® ETF (XLV) with an aggregate principal amount of $750,000. Each security has a stated principal amount of $1,000, an issue price of $1,000, estimated value on the pricing date of $968.50, and matures on June 15, 2029. The notes are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley.
The securities are auto-callable on specified determination dates beginning June 21, 2027, with fixed early redemption payments of $1,082.50 (first call) and $1,165.00 (second call). If not called, payment at maturity depends on the final closing level versus the call threshold ($153.81) and the downside threshold ($107.667, 70% of initial level). If the final level is below the downside threshold, investors suffer a pro rata loss equal to the percentage decline in the underlier and could lose their entire investment.
The issuer, Morgan Stanley Finance LLC, is offering Principal at Risk notes with a stated principal amount of $1,000 per security and an aggregate principal amount of $1,400,000. The securities pay a contingent coupon at an annual rate of 12.00% on observation dates when the underlying index meets the coupon barrier and feature automatic early redemption if the underlier meets the call threshold on a redemption determination date. At maturity investors receive principal if the final level is at or above the buffer level; if below, principal is reduced by 1% for each 1% decline beyond the 15% buffer, with a minimum payment at maturity equal to 15% of principal. Payments are unsecured and subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a Trigger PLUS principal-at-risk note offering tied to the worst performing of the iShares Expanded Tech-Software Sector ETF and the Nasdaq-100 Index, with an aggregate stated principal amount of $1,109,000 and a stated principal amount of $1,000 per security.
The notes are fully and unconditionally guaranteed by Morgan Stanley, have an issue price of $1,000 per security, an estimated value on the pricing date of $978.90, a leverage factor of 182% for upside participation, a downside threshold at 70% of initial levels, an observation date of June 12, 2029 and a maturity date of June 15, 2029.
The pricing supplement describes lookback entry jump securities issued by Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, with a $1,000 stated principal per security and an aggregate offering of $1,000,000. The securities can be automatically redeemed on August 17, 2027 if the S&P 500 closing level on the first determination date is at or above the call threshold. If not redeemed, payoff at maturity on August 17, 2028 depends on the initial level (the lowest closing level during the initial observation period), the final level on August 14, 2028, a 125% participation rate for upside, and an 80% downside threshold. Investors risk loss of principal if the final level is below the downside threshold; estimated value on the pricing date was $974.20 per security and all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering structured Jump Notes due June 17, 2031, fully guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per note and an aggregate principal amount of $685,000. They pay no interest, use the worst performing of three underliers (Meta Class A, NVIDIA, ServiceNow) to determine upside, and feature an automatic early redemption if each underlier meets its 90% call threshold on the first determination date. Estimated value on pricing date: $969.70 per note. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk contingent income auto-callable securities linked to the common stock of Apple Inc. The issue is $955,000 aggregate principal in $1,000 denominations with an original issue price of $1,000 per security and an estimated value on the pricing date of $981.60. The notes mature on July 15, 2027 with a final observation date of July 12, 2027. They pay an annual contingent coupon of 8.50% on observation dates only if Apple’s closing level meets or exceeds a coupon barrier of $203.791 (70% of the initial level). The notes are automatically redeemed early if Apple’s closing level reaches the call threshold of $291.13 (100% of the initial level) on any redemption determination date; otherwise, at maturity investors face downside exposure and may lose principal if the final level is below the downside threshold of $203.791.
Morgan Stanley Finance LLC offers structured Principal-at-Risk notes (fully guaranteed by Morgan Stanley) linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500. The offering totals $616,000 aggregate principal at a $1,000 stated principal amount per security, with an original issue price of $1,000 and an estimated pricing-date value of $988.60 per security. The securities mature on December 16, 2027 and pay a fixed upside payment of $145 (14.50%) if the worst performing underlier is at or above its 70% upside threshold; if the worst performing underlier is below its 60% downside threshold, holders lose 1% of principal for each 1% decline in that underlier, with no minimum payment. All payments are subject to issuer and guarantor credit risk and the securities do not pay interest.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS securities due January 4, 2028, linked to the worst performing of the Dow Jones Industrial Average and the Russell 2000® Index. Each security has a stated principal amount of $1,000 and does not pay interest. The securities provide a 150% leverage factor on upside returns subject to a maximum upside payment of $1,242.50 (124.25% of principal). They include a 15% buffer such that if the worst performing underlier finishes at or above 85% of its initial level, investors may receive a limited positive payoff; if it finishes below the buffer, investors lose 1% for each 1% decline beyond the buffer, subject to a minimum payment at maturity equal to 15% of principal. Pricing and strike dates are June 30, 2026 (original issue date July 6, 2026); observation date is December 30, 2027 (subject to postponement). Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk notes due June 17, 2031 linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index. The offering totals $2,464,000 at a $1,000 stated principal per security, with an estimated value on the pricing date of $908.00 per security. The notes pay a contingent coupon at an annual rate of 9.75% only if the underlier meets the coupon barrier on observation dates and are subject to automatic early redemption if the index meets the call threshold on redemption determination dates. If not redeemed, payment at maturity returns principal only if the final level is at or above the buffer level; otherwise principal is reduced by 1% for each 1% decline beyond a 15% buffer, subject to a minimum payment at maturity of 15%.
Morgan Stanley Finance LLC priced a primary offering of Buffered PLUS notes with $500,000 aggregate principal due June 16, 2031. Each security has a $1,000 stated principal amount and is linked to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 and S&P 500. At maturity the notes pay either principal plus a 120% leveraged upside on the worst performing underlier, return principal if the worst performing underlier remains inside a 30% buffer, or suffer losses 1:1 beyond that buffer down to a 30% minimum payment. All payments are subject to MSFL/Morgan Stanley credit risk. The estimated value on pricing date was $947.50 and agent commissions were $36.25 per security.