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 priced $1,899,000 aggregate principal of Structured Investments Trigger Jump Securities due May 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities are principal-at-risk notes with a stated principal amount of $1,000 per security and an upside payment of $610 per security (61% of principal). Payment at maturity depends solely on the worst performing of the Dow Jones Industrial Average, the Nasdaq-100 and the S&P 500, using initial levels set on the strike date May 26, 2026. If the worst performing underlier is at or above its initial level on the observation date, investors receive principal plus the greater of the underlier percent change or the $610 upside payment. If the worst performing underlier falls below its downside threshold (70% of initial level), investors lose 1% of principal for each 1% decline and could lose their entire investment. The estimated value on the pricing date was $980.10 per security; issue price was $1,000 with agent commissions of $2.50 per security.
Morgan Stanley Finance LLC is offering Trigger PLUS principal-at-risk securities due May 30, 2031, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index with an aggregate principal amount of $6,032,000.
The securities have a $1,000 stated principal amount, an issue price of $1,000 (estimated value on the pricing date: $956.60), a 130% leverage factor for upside, and a 70% downside threshold. If the worst performing underlier falls below its downside threshold, principal is lost on a 1% per 1% decline basis; there is no guaranteed interest or minimum payment at maturity. All payments are subject to MSFL's credit risk and guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC priced Principal-at-Risk securities linked to the S&P 500® Futures Excess Return Index. The securities have a $1,000 stated principal amount and an aggregate principal amount of $864,000. Key economics include a $470 upside payment (47% of principal), a 15% buffer (buffer level 514.165; initial level 604.90), a maximum payment at maturity of $1,500, and a minimum payment at maturity of 15% of principal. The observation date is May 27, 2031 and the maturity date is May 30, 2031. The estimated value on the pricing date was $944.50, and dealers received a fixed commission of $35.50 per security. All payments are unsecured and subject to Morgan Stanley Finance LLC's and Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities tied to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index with a stated principal of $1,000 per security and an aggregate principal amount of $1,782,000. These notes pay a contingent coupon at an annual rate of 8.75% on specified observation dates only if the index closing level meets or exceeds the coupon barrier level, and are automatically redeemable on specified dates if the index meets the call threshold. At maturity investors receive principal if the final level is at or above the 80% buffer level; otherwise losses apply dollar-for-dollar beyond the buffer subject to a 20% minimum payment. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to issuer credit risk and limited secondary market liquidity.
Morgan Stanley Finance LLC is offering Buffered PLUS principal-at-risk notes due December 1, 2027 linked to the S&P 500® Index. Each security has a $1,000 stated principal amount and an aggregate principal amount of $2,036,000. The notes provide 150% leveraged upside subject to a $1,164 maximum payment at maturity and a 15% downside buffer (initial level 7,519.12; buffer level 6,391.252). If the index closes between the buffer level and the initial level at observation, investors receive principal; above the initial level they receive principal plus 150% of appreciation up to the maximum; below the buffer they lose 1% for each 1% decline beyond the buffer, with a minimum payment of 15% of principal. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to credit risk, tax uncertainties and limited secondary-market liquidity.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities due August 31, 2027, fully and unconditionally guaranteed by Morgan Stanley. The securities have a $1,000 stated principal amount and an aggregate principal amount of $1,917,000. They pay a contingent coupon at an annual rate of 8.25% only if on each observation date both underliers meet their coupon barrier levels; otherwise no coupon is paid for that period.
Automatic early redemption may occur on specified redemption dates if both underliers meet their call thresholds. At maturity, if the worst performing underlier is below its downside threshold (75% of initial level), the payment equals the stated principal amount multiplied by the worst performing underlier's performance factor, which can result in substantial principal loss.
Morgan Stanley Finance LLC priced contingent income auto-callable securities linked to the iShares Expanded Tech-Software Sector ETF. The notes have a $1,000 stated principal amount, an aggregate issuance of $885,000, and pay a contingent coupon at an annual rate of 11.00% only when the underlier meets observation-date thresholds.
The securities are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley, provide no regular interest, may be automatically redeemed early if the underlier meets the call threshold, and expose investors to full downside risk at maturity if the final level is below the 70% downside threshold.
Morgan Stanley Finance LLC priced a structured, principal-at-risk security linked to Apple Inc. stock. The securities have a $1,000 face amount, an estimated value of $918.50 on the pricing date and pay at maturity based on Apple’s closing price on the calculation day with a 100% participation rate subject to a maximum return of 132.10% ($1,321) and a 25% downside buffer. The starting price is $308.33 (pricing date May 26, 2026), the threshold price is $231.2475, the calculation day is May 26, 2033, and scheduled maturity is June 1, 2033. The offering price was $1,000 per security; agent commissions up to $43.70 per security produced proceeds to the issuer of $956.30 per security.
Morgan Stanley Finance LLC priced Principal at Risk notes tied to the S&P 500® Futures Excess Return Index with a stated principal amount of $1,000 per security and an aggregate offering of $678,000. The securities mature on May 30, 2031 and are fully guaranteed by Morgan Stanley.
The payoff can provide an upside payment of $512 per security if the final level is at or above the initial level, a capped positive return if the underlier falls but stays at or above the 15% buffer, and full downside participation beyond the buffer (1% loss per 1% decline). All payments remain subject to issuer credit risk and the estimated value on pricing date was $944 per security.
Morgan Stanley Finance LLC priced a contingent-income, principal-at-risk note due May 30, 2031 guaranteed by Morgan Stanley with a $1,000 stated principal amount per security and an aggregate offering of $4,646,000. The notes pay a contingent coupon of 10.25% per annum on observation dates only if the underlier closes at or above the coupon barrier (70% of the initial level). The notes feature automatic early redemption if the underlier is at or above the call threshold (100% of initial level) on redemption determination dates, a buffer equal to 15% (buffer level ~ 1,278.783) and a minimum maturity payment of 15% of principal. Estimated value on pricing date was $900.80 per security; proceeds to issuer after commissions were $4,432,284.