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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 is offering Dual Directional Trigger PLUS notes due June 15, 2029, fully and unconditionally guaranteed by Morgan Stanley, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500. Each security has a stated principal amount of $1,000 and an illustrative leverage factor of 114%. At maturity the payout is determined solely by the worst performing underlier on the observation date: (1) if both underliers finish above their initial levels, investors receive principal plus 114% of the appreciation of the worst performing underlier; (2) if the worst performing underlier finishes below its initial level but at or above 71% of its initial level, investors receive principal plus a positive return calculated using a 100% absolute return participation rate (effectively capped at 29% in that scenario); (3) if the worst performing underlier finishes below 71% of its initial level, investors suffer principal loss of 1% for every 1% decline in that underlier, with no minimum payment and possible total loss. The estimated value on the pricing date is approximately $980.20 per security. All payments are subject to issuer credit risk and the securities do not pay interest.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes due March 1, 2028 with a contingent coupon and full guarantee by Morgan Stanley. Each security has a $1,000 original issue price and an estimated value on the pricing date of approximately $929.60.
The notes pay a contingent coupon at an annual rate of 21.30% on scheduled coupon dates only if the basket closing level meets or exceeds the coupon barrier of 70% on the related observation date. Automatic early redemption can occur on specified dates if the basket closing level meets or exceeds the call threshold of 90%, paying principal plus the contingent coupon. If the notes are held to maturity, a final payment equals principal if the final level is at least the downside threshold of 60%; below that, investors suffer losses proportional to the basket decline and could lose their entire principal.
Morgan Stanley Finance LLC is offering additional contingent income, memory buffered, auto-callable securities linked to Nextpower Inc. class A common stock, fully guaranteed by Morgan Stanley. The tranche adds $9,000 aggregate principal to an existing issuance to form a single tranche with a combined aggregate principal of $865,000. The securities pay a 37.68% annual contingent coupon on observation dates if the underlier meets the coupon barrier and may auto-redeem early if the underlier equals or exceeds the $130.50 call threshold. At maturity investors receive principal if the final level is at or above the buffer level of $91.35 (70% of the initial level); if below, losses equal 1.4286% of principal for each 1% decline beyond the 30% buffer, potentially wiping out principal. All payments remain subject to issuer credit risk.
Morgan Stanley Finance LLC is offering market-linked notes due July 5, 2030 tied to the EURO STOXX 50® Index with a $1,000 stated principal amount per note. The notes pay no interest and return the stated principal at maturity if the index is flat or down; if the final level is higher, holders receive the stated principal plus an upside payment equal to the participation rate (108%) times the underlier percent change. Payments depend on the closing index level on the observation date (July 1, 2030), are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, and are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced callable Contingent Income Securities due June 8, 2028 linked to the worst performing of the Dow Jones Industrial Average, the Nasdaq-100® Technology Sector Index and the Russell 2000® Index. Each security has a stated principal amount of $1,000 and a contingent coupon at an annual rate of 10.75% payable only when the closing level of each underlier meets or exceeds its coupon barrier on scheduled observation dates. The securities are principal-at-risk: if the final level of any underlier is below its downside threshold (60% of initial level), the payment at maturity equals the stated principal multiplied by the performance factor of the worst performing underlier and could be significantly less than principal or zero. Beginning September 11, 2026 MSFL may redeem early in whole if a risk neutral valuation model determines redemption is economically rational; no redemption can occur before that date. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering Trigger PLUS principal-at-risk securities linked to the iShares Expanded Tech-Software Sector ETF (IGV), fully and unconditionally guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security, a 300% leverage factor, a maximum payment at maturity of $1,640 (164% of principal) and an estimated value on the pricing date of approximately $978.80. Payment at maturity depends solely on the closing final level on the observation date; if final level is below the downside threshold (70% of the initial level) investors lose principal pro rata and could lose the entire investment. The observation date is June 11, 2029 with maturity June 14, 2029. The document emphasizes credit risk of the issuer/guarantor, limited secondary market liquidity, valuation model subjectivity and uncertain U.S. federal income tax treatment.
Morgan Stanley Finance LLC priced contingent-income, principal-at-risk notes due June 26, 2031, fully guaranteed by Morgan Stanley. Each security has a stated principal of $1,000 and an original issue price of $1,000. The securities pay a contingent coupon at an annual rate of 11.50% on observation dates when the underlier is at or above a coupon barrier of 70% of the initial level, can auto-redeem beginning on December 28, 2026 if the underlier meets the call threshold (100% of the initial level), and expose holders to full downside below a 60% downside threshold at maturity. The underlier is the S&P 500 Futures 40% Intraday 4% Decrement VT Index, which includes a 4.0% per annum decrement and limited live history (established August 30, 2024). The issuer’s estimated value on the pricing date was approximately $904.30 per security. All payments are subject to Morgan Stanley’s credit risk; the securities are not bank deposits and are not FDIC insured.
Morgan Stanley Finance LLC is offering callable contingent income securities linked to the worst performing of the Dow Jones Industrial, the Nasdaq-100® Technology Sector and the Russell 2000® Index. Each note has a $1,000 stated principal amount and an annual contingent coupon of 11.25% payable only if every underlier is at or above its coupon barrier (70% of initial level) on an observation date. The securities may be redeemed early beginning on September 11, 2026 if a risk-neutral valuation model indicates redemption is economically rational. At maturity on December 8, 2028, if the final level of any underlier is below its downside threshold (60% of initial level), the payment will equal the stated principal multiplied by the performance factor of the worst performing underlier, which could result in a substantial loss or zero. All payments are subject to Morgan Stanley Finance LLC and Morgan Stanley credit risk. The preliminary pricing lists an estimated value of approximately $982.50 on the pricing date.
The issuer, Morgan Stanley Finance LLC, offers principal-at-risk, contingent-income, memory auto-callable securities linked to Amazon.com, Inc. common stock with a stated principal amount of $1,000 per security and maturity on June 21, 2029. The securities pay a contingent coupon (annual rate determined on the pricing date, disclosed as 10.00% to 11.00% range) only if the closing level of the underlier meets the coupon barrier on observation dates and feature automatic early redemption if the closing level meets the call threshold on redemption determination dates. If not auto‑redeemed and the final level is below the downside threshold (70% of the initial level), investors suffer proportional principal loss (payment = stated principal × performance factor). The estimated value on the pricing date was approximately $962.20 per security; the issue price is $1,000 per security. All payments are subject to issuer and guarantor credit risk and tax and secondary‑market limitations described in the supplement.
Morgan Stanley Finance LLC priced a preliminary offering of Structured Investments — Enhanced Trigger Jump Securities due June 16, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an issue price of $1,000; the document shows an estimated value of approximately $957.50 on the pricing date. The securities track the EURO STOXX 50® Index with a downside threshold of 75% of the initial level and an upside payment of $388.70 per security (38.87%). If the final level on the observation date (scheduled June 11, 2031) is at or above the downside threshold, holders receive principal plus the greater of the index percent change payment or the upside payment; if below the threshold, holders suffer a pro rata loss tied to the index decline and could lose their entire investment. All payments are subject to MSFL/Morgan Stanley credit risk; commissions of $30 per security to selected dealers are disclosed.