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 $1.811 million Dual Directional Buffered Jump Securities linked to Meta Platforms, Inc. (Class A), fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay no interest and mature on October 21, 2027. They are auto-callable on October 20, 2026 if META’s closing level is at or above the $712.07 call threshold (100% of the initial level), redeeming for an early redemption payment of $1,160.50 per $1,000 note.
If held to maturity and the final level is above the initial $712.07, holders receive principal plus 150% of the positive return. If the final level is at or below the initial but at or above the buffer level $605.260 (≈15% buffer), holders receive principal plus the absolute decline times a 100% absolute return rate, effectively capped at a 15% positive return. Below the buffer, losses match the decline beyond 15%, subject to a minimum payment at maturity of 15% of principal. Issue price is $1,000 per note; the estimated value on the pricing date is $982.20. Notes will not be listed; sold in fee-based accounts with no sales commission. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto‑Callable Securities due October 19, 2028, tied to the worst performer of KRE (SPDR S&P Regional Banking ETF), the Nasdaq‑100 Index and the Russell 2000 Index, for an aggregate principal amount of $456,000.
The notes pay a 9.15% annual contingent coupon only if, on each observation date, every underlier is at or above its coupon barrier (75% of initial). They are auto‑callable on scheduled dates starting April 16, 2026 if each underlier is at or above its call threshold (100% of initial), returning principal plus that period’s coupon. If not called, holders receive principal at maturity only if each final underlier level is at or above its downside threshold (60% of initial); otherwise, repayment is reduced 1% for every 1% decline of the worst performer, which could result in a zero return.
The issue price is $1,000 per security; estimated value on the pricing date is $941.20 per security. Selling commissions are $25 per security, with total proceeds of $444,600 to the issuer. The securities are unsecured, subject to issuer and guarantor credit risk, and will not be listed.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,421,000 of principal-at-risk, auto-callable market-linked securities tied to the lower performance of NVIDIA (NVDA) and Meta Platforms Class A (META). The price is $1,000 per security; agents’ commissions are $23.25 per security, for total proceeds to the issuer of $1,387,961.75. The current estimated value is $961.90 per security.
The notes pay a 13.00% per annum contingent monthly coupon only if, on each calculation day, the lower of NVDA or META closes at or above its coupon threshold (60% of starting price). Notes are auto-callable after an initial six‑month non‑call period if both stocks are at or above their starting prices, returning face amount plus the final coupon. If not called, at maturity on October 21, 2027 you receive $1,000 only if both are at or above their downside thresholds (50% of starting price); otherwise repayment is reduced 1‑for‑1 with the lowest performer, and you can lose more than 50%, up to all, of principal.
Starting prices: NVDA $181.81 and META $712.07; coupon thresholds are 60% and downside thresholds are 50% of those levels. The securities will not be listed, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley (MS), priced a Rule 424(b)(2) takedown of $1,600,000 aggregate principal amount of Dual Directional Buffered Jump Securities linked to the Nasdaq-100 Index, due October 19, 2027. The notes are principal-at-risk, pay no interest, and are not exchange-listed.
The issue price is $1,000 per security, with placement fees up to $15 per security and proceeds to the issuer of $985 per security (total proceeds $1,576,000). The estimated value on the pricing date is $983.40 per security.
The notes auto-call on October 27, 2026 if the Nasdaq-100 closing level is at or above the call threshold 24,579.32 (100% of the initial level) for an early redemption payment of $1,070 per security on October 30, 2026. If held to maturity and the final level is at or above the call threshold, investors receive the stated principal plus an upside payment of $140. If the final level is below the call threshold but at or above the buffer level 18,434.49 (75% of initial), the payoff adds the absolute decline times a 100% participation rate, effectively capped at a 25% positive return. Below the buffer, losses apply at a 1.3333 downside factor beyond the 25% buffer. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced Contingent Income Memory Auto‑Callable Securities linked to Shopify Inc. Class A shares, in an aggregate principal amount of $472,000, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 security pays a contingent coupon at 11.80% per annum only if the underlier closes at or above the coupon barrier $81.935 on the observation date; missed coupons may be paid later if the barrier is met.
The notes are auto‑callable at $163.87 (100% of the initial level) on scheduled determination dates starting January 9, 2026. If not called, at maturity on October 12, 2028 investors receive principal only if the final level is at or above the downside threshold $81.935; otherwise, the loss matches the underlier’s decline, potentially to zero. The estimated value is $957.70 per security, reflecting issuance, structuring and hedging costs.
Issue price is $1,000 per security; agent commissions $22.50 per security, with total proceeds to the issuer of $461,380. The notes are not listed and are subject to MSFL/Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due October 19, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a 13.75% annual contingent coupon only if, on each observation date, the VanEck Semiconductor ETF (SMH), Nasdaq-100 Technology Sector Index (NDXT) and Russell 2000 Index (RTY) each close at or above their coupon barrier levels. The notes may be redeemed early, in whole, on specified dates if a risk neutral valuation model indicates it is economically rational for the issuer.
At maturity, if not called and each underlier is at or above its downside threshold (60% of its initial level), investors receive the $1,000 principal per note (plus any final coupon). If any underlier is below its threshold, repayment is reduced 1% for each 1% decline of the worst performer, down to zero. The offering size is $847,000 at $1,000 per note; estimated value on the pricing date is $979.90 per note. Proceeds to the issuer total $844,882.50. All payments are subject to issuer and guarantor credit risk, and the securities will not be listed.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Memory Auto-Callable Securities due October 19, 2028, with an aggregate principal amount of $3,066,000 at $1,000 per security. The notes pay a contingent coupon at 24.50% per annum only if, on each observation date, the closing level of all three underliers—Oracle (ORCL), Meta Platforms (META) and NVIDIA (NVDA)—is at or above the coupon barrier set at 70% of the initial level (ORCL $219.10; META $498.449; NVDA $127.267). The notes may be automatically redeemed starting January 16, 2026 if each underlier is at or above its call threshold (100% of initial: ORCL $313.00; META $712.07; NVDA $181.81), paying principal plus the due and any previously unpaid contingent coupons.
If not called, at maturity investors receive principal only if each underlier is at or above its downside threshold (the same 70% levels). Otherwise, the payout is reduced 1% for every 1% decline of the worst-performing underlier, and could be zero. The offering’s estimated value is $960.50 per $1,000 security, reflecting issuance and hedging costs and the issuer’s internal funding rate. Agent commissions total $61,320 ($20 per security), with proceeds to the issuer of $3,004,680. All payments are subject to Morgan Stanley’s credit risk; the securities will not be listed.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, priced Contingent Income Auto-Callable Securities linked to Starbucks common stock. The notes offer a contingent coupon at an annual rate of 14.25% when the stock closes at or above the coupon barrier on observation dates, and may be auto‑called if the stock closes at or above the call threshold on designated redemption determination dates.
Key terms include: initial level $78.46; coupon barrier and downside threshold $54.922 (70% of initial); call threshold 100% of initial. Maturity is October 13, 2028, with first potential auto‑call on April 10, 2026. The securities are principal at risk; if the final level is below the downside threshold, investors lose 1% of principal for each 1% decline, and could lose all principal. The deal size is $1,300,000 at $1,000 per note; estimated value on pricing date is $976.40. Proceeds to the issuer are $996.50 per note; the notes will not be listed and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a primary offering of $250,000 principal amount of Callable Contingent Income Securities due October 21, 2027, linked to Robinhood Markets, Inc. Class A common stock. The notes are fully and unconditionally guaranteed by Morgan Stanley.
Each security is issued at $1,000, with agent commissions of $17.50 per security plus a $1.00 structuring fee. Proceeds to the issuer total $245,375, and the estimated value on the pricing date is $959.00 per security.
The notes pay a contingent coupon at 27.70% per annum only if HOOD’s closing level is at or above the coupon barrier of $84.122 (approximately 64% of the $131.44 initial level) on each observation date. If not called earlier, repayment of principal at maturity requires the final level to be at or above the downside threshold of $84.122; otherwise, investors lose 1% of principal for every 1% decline. Early redemption can occur on set dates beginning October 21, 2026 if a risk‑neutral valuation model indicates it is economically rational for the issuer. The securities are unsecured, not listed, and all payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable Market Linked Securities linked to the lowest performer of NVIDIA, Broadcom, Alphabet and Amazon, due October 19, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at 14.60% per annum (with memory) only if, on each monthly calculation day, the lowest-performing stock closes at or above its 50% coupon threshold.
The price to the public is $1,000 per security (minimum 1 security). The filing shows totals of $5,206,000 sold, agent commissions of $121,039.50 (up to $23.25 per security), and issuer proceeds of $5,084,960.50. The current estimated value is $950.80 per security, reflecting issuance and hedging costs and an internal funding rate.
After a ~3‑month non‑call period (beginning January 2026), the notes are automatically called if each stock is at or above its starting price, paying face value plus any due and unpaid coupons. If not called, principal is protected only if every stock’s ending price is at or above its downside threshold (50% of start); otherwise repayment equals $1,000 times the lowest performer’s ratio. The notes will not be listed.