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 Buffered Performance Leveraged Upside Securities ("Buffered PLUS") linked to an equally weighted basket of ten U.S. and international stocks, under its Series A global medium‑term note program. The notes have a stated principal amount of $1,000 each, aggregate principal of $1,371,000, price at par, and mature on March 3, 2028, with a valuation date of February 29, 2028. They pay no coupons and are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with all payments subject to Morgan Stanley’s credit risk.
The basket is equally weighted (10% each) across ten stocks, including Amazon, NVIDIA, Northrop Grumman, Linde and SpaceX (SPCX). At maturity, investors receive $1,000 plus 150% of the basket’s positive percentage change, capped at a maximum payment of $1,271.50 (127.15% of principal). If the basket declines by up to the 10% buffer, repayment is at par; below that, losses are 1% for each 1% drop beyond 10%, with a minimum payment of $100, implying up to 90% principal loss. The estimated value on the pricing date is $931.20 per note, below issue price, reflecting structuring and hedging costs and a dealer discount of $25 per note. The notes will not be listed on any securities exchange, and secondary liquidity depends on Morgan Stanley & Co. making a market.
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 principal-at-risk “Buffered Jump Securities with Auto-Callable Feature and Downside Factor” due August 17, 2028, linked to the Global X Copper Miners ETF. Each note has a $1,000 stated principal amount, issue price $1,000 and aggregate principal of $4,494,000, fully and unconditionally guaranteed by Morgan Stanley.
The note auto-calls on September 2, 2027 if the ETF’s closing level on August 30, 2027 is at least the initial level of $85.70, paying a fixed $1,210 per security. If not called, at maturity investors receive: (i) principal plus the greater of a fixed $420 “upside payment” or 100% of ETF appreciation if the final level is at least the initial level; (ii) principal only if the final level is between the 70% buffer level of $59.99 and the initial level; or (iii) a reduced amount reflecting a 1.4286% loss for each 1% decline below the 30% buffer, with no minimum payment, if the final level is below the buffer.
The estimated value on the pricing date is $971.70 per security, below the issue price due to embedded costs. Payments depend on Morgan Stanley’s credit and are not FDIC insured. The ETF’s concentration in copper miners introduces sector and commodity-related volatility risks.
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 $2,000,000 of Fixed Income Auto-Callable Securities due August 17, 2029, linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 principal amount and pays a fixed coupon at 9.00% per annum, with monthly payments.
The notes may be automatically redeemed on scheduled dates if the index closes at or above the call threshold level of 1,397.92. If not redeemed and, on the August 14, 2029 observation date, the index is at or above the downside threshold of 838.752, investors receive full principal plus the final coupon; if below, principal is reduced in full proportion to the index decline and can fall to zero. The estimated value on the pricing date is $936.10 per security, below the $1,000 issue price, reflecting structuring and distribution costs and issuer economics. All payments are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and are subject to their credit risk.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is issuing Enhanced Buffered Jump Securities linked to the S&P 500® Index with an aggregate principal amount of $14,195,000. Each security has a stated principal amount and issue price of $1,000 and matures on September 1, 2027, with no interim interest payments and no principal guarantee.
At maturity, if the S&P 500® final level is at or above the 90% buffer level of 7,007.184, holders receive $1,000 plus a fixed upside payment of $93.10 per security. If the final level is below the buffer, investors lose 1.1111% of principal for every 1% decline beyond the 10% buffer, with no minimum repayment. The initial index level is 7,785.76. The estimated value on the pricing date is $985.20 per security, reflecting issuance, structuring and hedging costs, and all payments depend on the credit of Morgan Stanley Finance LLC and its Morgan Stanley guarantee.
Morgan Stanley (MS), via Morgan Stanley Finance LLC, is offering Buffered Performance Leveraged Upside Securities (Buffered PLUS) due August 19, 2031, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500 Index. Each security has a $1,000 stated principal amount and pays no interest.
At maturity, if both indices finish above their initial levels, holders receive principal plus 114.75% of the index gain of the worst performer. If either index is at or below its initial level but both remain at or above 85% of their initial levels, holders receive only principal. If either index finishes below its 85% buffer level, principal is reduced 1% for each 1% decline of the worst performer beyond the 15% buffer, subject to a minimum repayment of 15% of principal.
The initial index levels are 53,732.41 for the Dow and 7,785.76 for the S&P 500. The aggregate principal amount is $1,225,000. The estimated value on the pricing date is $947.90 per security, below the $1,000 issue price, reflecting structuring and hedging costs and the issuer’s funding level. Investors face principal, market, liquidity, tax and issuer credit risk, and the note is an unsecured obligation guaranteed by Morgan Stanley.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering $600,000 of principal at risk Jump Securities with Auto-Callable Feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, maturing August 19, 2031. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley.
The notes auto-call quarterly from August 17, 2027 if the index is at or above the call threshold of 1,397.92, paying an increasing early redemption amount (starting at $1,212.50 per $1,000, up to $2,044.79) and then terminating. If held to maturity and the final index level is at or above the call threshold, investors receive $2,062.50 per $1,000. If the final level is below the call threshold but at or above the downside threshold of 698.96 (50% of initial), investors receive only principal. Below the downside threshold, payoff is $1,000 multiplied by index performance, exposing investors to full downside, potentially to zero.
The issue price is $1,000 per note, with an estimated value of $905.60 on the pricing date, reflecting embedded costs and hedging. The notes pay no interest, do not participate in index upside beyond the fixed payouts, are subject to Morgan Stanley’s credit risk, and may have limited or no secondary market liquidity.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering fixed-income auto-callable structured securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, fully and unconditionally guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per security and an aggregate principal amount of $1,050,000.
The notes pay a fixed coupon at 8.35% per annum, with monthly coupon payments, and can be automatically redeemed starting August 16, 2027 if the index closes at or above the call threshold level of 1,397.92 (100% of the initial level). If called, investors receive principal plus the applicable coupon and no further payments. If held to August 19, 2031 and the final index level is at or above the downside threshold level of 838.752 (60% of the initial level), investors receive full principal plus the final coupon.
If the final level is below the downside threshold, principal is reduced 1% for each 1% decline in the index, down to zero, though the final coupon is still paid. The securities are unsecured, subject to Morgan Stanley’s credit risk, and the estimated value on the pricing date is $919.10 per security, reflecting embedded costs and dealer compensation.
Morgan Stanley (MS), via Morgan Stanley Finance LLC, is issuing Performance Leveraged Upside Securities (PLUS) linked to an equally weighted basket of ten U.S. and international stocks, with a total offering size of $368,000 and an original issue price of $1,000 per PLUS. The notes mature on September 13, 2027, pay no interest and are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley.
The basket starts at a value of 100 and includes 10% weightings in Amazon, Coherent, Corning, Linde, MP Materials, Northrop Grumman, NVIDIA, RBC Bearings, Rocket Lab and SpaceX (SPCX). At maturity, if the basket has risen, investors receive principal plus 150% of the basket’s gain, capped at a maximum payment of $1,288.75 per PLUS (128.875% of principal). If the basket is flat, repayment equals principal; if it has fallen, repayment equals principal times the basket performance factor, producing a 1:1 loss with no downside protection and the possibility of losing the entire investment.
The PLUS will not be listed on any exchange, and liquidity will rely mainly on Morgan Stanley & Co. LLC making a market, which it is not obligated to do. The estimated value on the pricing date is $933.70 per PLUS, below the issue price, reflecting structuring, distribution, and hedging costs and the issuer’s funding spread. Returns also depend on Morgan Stanley’s credit; a default could result in partial or total loss. The tax treatment is uncertain, with counsel viewing the notes as prepaid financial contracts, but the IRS could challenge this characterization.