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, fully guaranteed by Morgan Stanley (MS), filed a preliminary 424(b)(2) pricing supplement for Leveraged Buffered MSCI EAFE Index‑Linked Notes. The notes pay no interest and return depends on MSCI EAFE performance from trade date to the determination date, expected to be between 18 and 21 months after the trade date.
The structure offers 160% upside participation, subject to a cap, with a 12.50% downside buffer. The Maximum Settlement Amount is expected to be between $1,166.56 and $1,195.84 per $1,000 face amount. Below the buffer, losses accelerate per the disclosed buffer rate; principal is at risk.
The price to public is $1,000 per note, with $0 agent commissions; proceeds to the issuer are $1,000 per note. The estimated value on the trade date is approximately $989.40 per note (within $15.00). The notes will not be listed; secondary trading may be limited. All payments are subject to the issuer and guarantor’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley (MS), announced a preliminary 424(b)(2) pricing supplement for Capped Leveraged Buffered Basket‑Linked Notes. These unsecured, principal-at-risk notes pay no interest and return depends on a weighted basket: EURO STOXX 50 (38%), TOPIX (26%), FTSE 100 (17%), Swiss Market Index (11%) and S&P/ASX 200 (8%).
The notes offer 220% upside participation, a 12.5% downside buffer, and a maximum settlement expected between $1,163.46 and $1,192.28 per $1,000 face amount. The estimated value on the trade date is approximately $996.70 per note. The determination date is expected in 17–20 months, with maturity two business days later. If the basket falls more than 12.5%, repayment is reduced by the decline beyond the buffer multiplied by approximately 1.1429.
MS&Co. will sell to an unaffiliated dealer at 100% of face value; notes won’t be listed, and market making may be limited. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced $455,000 of Contingent Income Memory Auto-Callable Securities due October 19, 2028, linked to the worst performing of Oracle (ORCL) and Palantir (PLTR), and fully guaranteed by Morgan Stanley. These principal-at-risk notes pay a 20.00% annual contingent coupon only when each stock closes at or above its coupon barrier on the observation date.
Initial levels were ORCL $313.00 and PLTR $178.12. Coupon barrier and downside threshold levels are 60% of initial (ORCL $187.80; PLTR $106.872). The notes may auto-redeem if each stock is at or above 90% of initial (call thresholds: ORCL $281.70; PLTR $160.308) on a redemption determination date, starting April 16, 2026. If not called and each final level is at or above its downside threshold, investors receive principal plus any due coupons; otherwise, repayment is reduced 1% for every 1% decline of the worst underlier, and may be zero.
Issue price is $1,000 per security, with $27.50 in selling commissions and estimated value of $948.10 per security. Total proceeds to the issuer were $442,487.50. The securities are unsecured, not listed, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a Rule 424(b)(2) offering of Contingent Income Memory Auto-Callable Securities due October 19, 2028, linked to the worst of AAPL, GOOGL and MSFT. The deal totals $1,203,000 in aggregate principal, at $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a 9.85% annual contingent coupon only if each stock closes on/above its coupon barrier on an observation date. Coupon barriers are 65% of initial levels: AAPL $160.843, GOOGL $163.449, MSFT $332.547. The notes auto-call if each underlier is at/above 95% of its initial level (AAPL $235.078, GOOGL $238.887, MSFT $486.030) on specified redemption determination dates starting April 16, 2026.
If not called, at maturity investors receive principal only if each final level is at/above its downside threshold (same as the 65% barriers). Otherwise, repayment falls 1% for each 1% decline of the worst performer, potentially to zero. The estimated value is $950.10 per security; per-security proceeds to the issuer are $972.50 (total $1,169,917.50), with $27.50 in selling commissions. All payments are subject to Morgan Stanley’s credit risk; the notes are not listed.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities linked to Norwegian Cruise Line Holdings Ltd. ordinary shares, due October 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent quarterly coupon at 11.80% per annum (about $29.50 per $1,000 per quarter) only if the determination closing price is at or above the downside threshold of $11.225, which is 50% of the $22.45 initial share price.
The securities feature a 1-year initial non-call period and may be auto-called quarterly beginning October 2026 if the determination closing price is at least the initial share price, paying the stated principal plus the related coupon and any previously unpaid contingent coupons. If not called, and the final share price is at or above the downside threshold, investors receive principal plus the final and any unpaid contingent coupons; if below, repayment is reduced 1-to-1 with the stock’s decline and could be zero.
Issue price is $1,000 per security; estimated value on the pricing date is $969.10. Aggregate principal amount is $2,225,000. Commissions total $15 per security plus a $5 structuring fee. The notes are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-call feature due October 18, 2029, linked to the worst performer of the EURO STOXX 50, S&P 500, and Utilities Select Sector SPDR Fund. The notes are unsecured, pay no interest, and may return less than principal, including zero.
The issue price is $1,000 per security with an aggregate principal amount of $17,950,000; the estimated value on the pricing date is $993.40 per security. The first determination date is October 19, 2026. If on any determination date each underlier is at or above its call threshold (100% of initial), the notes auto-redeem for a fixed cash amount: $1,113, $1,226 or $1,339 per security for the first, second, or third determination dates, respectively.
If not called and, at maturity, each underlier is at or above its downside threshold (70% of initial), investors receive $1,452 per security. If any underlier is below its downside threshold at maturity, the payout equals $1,000 multiplied by the worst underlier’s performance factor, resulting in a 1-for-1 loss beyond the threshold. The securities are sold to fee-based advisory accounts, are not listed, and MS&Co. will not receive a sales commission.
Morgan Stanley Finance LLC priced $1,009,000 of Contingent Income Auto‑Callable Securities due October 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. These principal‑at‑risk notes pay a contingent coupon at 10.65% per annum only if the Nasdaq‑100 Technology Sector Index, S&P 500 Index and Russell 2000 Index each close at or above their coupon barrier on the observation date.
The notes auto‑redeem if, on a redemption determination date starting April 16, 2026, all three indices are at or above their call thresholds (100% of initial). If not redeemed, repayment of principal at maturity requires each index to be at or above its downside threshold (70% of initial); otherwise, investors lose 1% of principal for every 1% decline in the worst‑performing index, potentially to zero.
Issue price is $1,000 per security; the estimated value on the pricing date is $978.90. Agent fees are $7.50 per security, with total proceeds to the issuer of $1,001,432.50. All payments are subject to Morgan Stanley’s credit risk, and the notes will not be listed on an exchange.
Morgan Stanley Finance LLC is offering fixed to floating rate callable notes due October 21, 2040, fully and unconditionally guaranteed by Morgan Stanley, in an aggregate principal amount of $11,000,000 at $1,000 per note.
The notes pay 9.00% per annum from the original issue date to October 21, 2026, then a variable rate equal to 9.00% × N/ACT for each day the 10-Year CMT is within 0.00% to 5.00%; no interest accrues on days outside that range. Interest is paid quarterly. The notes are callable quarterly at par plus accrued interest beginning October 21, 2026, if a risk neutral valuation model indicates redemption is economically rational for the issuer.
The estimated value on the pricing date is $915 per note. Sales commissions are $30 per note and a structuring fee is $5 per note, resulting in $10,615,000 in proceeds to the issuer. Payments are subject to the issuer’s credit risk, the notes are unsecured, and they will not be listed on any exchange. Investors may receive little or no interest during the floating period if 10CMT falls outside the stated range.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, priced a primary offering of Trigger PLUS linked to the EURO STOXX 50 Index with an aggregate principal amount of $11,497,000, maturing on November 5, 2031. The notes are issued at $1,000 per note, pay no interest, are not listed, and expose investors to principal loss subject to a 65% trigger.
At maturity, holders receive $1,000 plus leveraged upside based on a 173.48% leverage factor if the index finishes above the initial level of 5,652.01; $1,000 if the final level is between the initial level and the trigger level of 3,673.807; or a proportional loss if below the trigger. The issuer’s estimated value is $934.20 per note on the pricing date. Commissions are $30 per note plus a $5 structuring fee, with proceeds to the issuer of $11,094,605 for general corporate purposes and related hedging. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, offered Contingent Income Memory Auto‑Callable Securities due October 19, 2028 with an aggregate principal amount of $430,000 at $1,000 per security. These principal‑at‑risk notes pay a contingent coupon at 11.05% per annum only if both underliers—Meta Platforms Class A (META) and CrowdStrike Class A (CRWD)—close on or above their coupon barrier on each observation date.
The notes may be automatically redeemed starting April 16, 2026 if each underlier is at or above its call threshold (90% of its initial level); investors then receive par plus the coupon and any previously unpaid coupons. If not redeemed, at maturity investors receive par only if each underlier is at or above its downside threshold (60% of its initial level). Otherwise, repayment is reduced 1% for each 1% decline of the worst performer, potentially to zero.
Initial levels were $712.07 for META and $482.23 for CRWD; call thresholds are $640.863 and $434.007; coupon/downside thresholds are $427.242 and $289.338, respectively. The estimated value on the pricing date was $950.80 per security. Agent commissions were $27.50 per security, with proceeds to the issuer of $972.50 per security. The securities are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed.