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 a $213,000 aggregate principal offering of Contingent Income Auto-Callable Securities due October 14, 2027, linked to Marvell Technology, Inc. (MRVL). Each $1,000 note pays a 14.50% per annum contingent coupon only when MRVL’s closing level is at or above the $51.366 coupon barrier (60% of the initial $85.61). The notes auto-call if MRVL is at or above the 100% call threshold ($85.61) on a redemption determination date, returning principal plus the applicable coupon.
Principal is at risk: if not called and MRVL’s final level is below the $51.366 downside threshold, repayment is reduced 1% per 1% decline and could be zero. The issue price is $1,000 per security, with $25 selling commissions; proceeds to the issuer are $975 per security ($207,675 total). The estimated value on the pricing date is $928.40 per security. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, will not be listed, and all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities due October 17, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of Fair Isaac (FICO), Meta Platforms (META) and SoFi Technologies (SOFI), with principal at risk and no participation in upside. Aggregate principal offered is $360,000 at $1,000 per note; estimated value on pricing date is $925.50.
The notes pay a contingent coupon at 25.32% per annum on each payment date only if each underlier is at or above its coupon barrier; missed coupons may be paid later if the condition is met. Automatic early redemption can occur beginning January 12, 2026 if each underlier is at or above its call threshold (100% of initial). If held to maturity and any final underlier level is below its downside threshold (60% of initial), repayment is reduced 1% for every 1% decline of the worst performer, potentially to zero. Initial levels: FICO $1,665.21, META $705.30, SOFI $26.19. Agent commission is $45 per security. All payments are subject to Morgan Stanley’s credit.
Morgan Stanley Finance LLC priced Jump Securities with an auto-callable feature due October 13, 2028, linked to the worst of the S&P 500, Nasdaq-100 Technology Sector, and Russell 2000. These principal-at-risk notes are fully and unconditionally guaranteed by Morgan Stanley, issued at $1,000 per security with an aggregate principal amount of $1,061,000. The estimated value on the pricing date is $956.70 per security. Sales commissions are $27.50 per security; stated proceeds to the issuer total $1,031,822.50.
The notes auto-redeem if each index closes at or above its call threshold (100% of initial) on scheduled determination dates starting October 14, 2026, paying an amount corresponding to about 12.50% per annum (e.g., $1,125.00 on the first call, increasing over time). If not called, maturity outcomes are: $1,375.00 per security if all finals are at/above call thresholds; return of principal if any index is below its call threshold but all are at/above their downside thresholds (70% of initial); or a 1-for-1 loss with the worst performer if any finishes below its downside threshold, which can reduce repayment to zero. The securities are unsecured, subject to the issuer’s and guarantor’s credit risk, and will not be listed.
Morgan Stanley Finance LLC announced a preliminary pricing supplement for Jump Securities with Auto-Callable Feature due October 22, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, links to the worst performing of the Russell 2000 Index and EURO STOXX 50 Index, and carries principal at risk.
The notes can be automatically redeemed starting on October 26, 2026 if each index closes at or above its call threshold, for fixed early redemption payments implying about 12.25% per annum (e.g., $1,122.50 on the first date, stepping up to $1,581.875 by the 16th). If held to maturity and each index is at or above its call threshold, the payment is $1,612.50 per security. If at least one index is below its call threshold but both are at or above the downside threshold (80% of initial), repayment is the stated principal amount. If either index finishes below its downside threshold, investors lose 1% for every 1% decline of the worst performer, potentially to zero.
The estimated value on the pricing date is approximately $957.50 per security (within $40.00), the notes are unsecured, subject to the issuer’s and guarantor’s credit risk, pay no interest, and will not be listed on any exchange.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable Jump Securities due November 1, 2030, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performer of the EURO STOXX 50, Nasdaq-100, and Russell 2000 indices and do not pay periodic interest.
Each security has a $1,000 issue price and an estimated value on the pricing date of approximately $953. Starting on November 2, 2026, the notes are automatically redeemed if each index closes at or above its call threshold (85% of its initial level), for an early redemption payment that steps up over time, corresponding to approximately 7.00% per annum.
If not called, the maturity payoff is: $1,350 per security if each index is at or above its call threshold; return of principal if any index is below its call threshold but each is at or above its downside threshold (60% of initial); or a loss of 1% of principal for every 1% decline in the worst-performing index if any finishes below its downside threshold, which could reduce repayment to zero. The securities are unsecured obligations subject to the issuer’s and guarantor’s credit risk and will not be listed on any exchange.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Contingent Income Auto‑Callable Securities linked to Oracle Corporation common stock, due November 3, 2027, fully and unconditionally guaranteed by Morgan Stanley.
The notes are issued at $1,000 per security with an estimated value on the pricing date of approximately $954.60 per security. A 14.00%–15.00% annual contingent coupon is payable only when the underlier closes at or above the coupon barrier (set at 60% of the initial level) on the relevant observation date. The notes auto‑call for principal plus the coupon if the underlier is at or above the 100% call threshold on any redemption determination date, beginning April 29, 2026.
If not called, at maturity investors receive principal only if the final level is at or above the 60% downside threshold; otherwise, the payoff declines 1% for every 1% drop in the underlier and can be zero. The securities are unsecured, principal at risk, not listed on any exchange, and all payments are subject to the issuers’ credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Buffered Participation Securities linked to the S&P 500 Index, due April 28, 2027. The notes pay no interest and return depends on the index level on the observation date.
At maturity, investors receive $1,000 plus the index upside at a 100% participation rate, capped at a maximum payment of $1,147.50 per security. If the index is flat to down but not below the 10% buffer, investors earn the absolute decline at 100% participation, effectively up to a +10% positive return. If the index falls beyond the buffer, principal is reduced 1% for each 1% decline beyond 10%, with a minimum payment of 10% of principal.
The issue price is $1,000 per security, including a $15 sales commission (proceeds to issuer $985 per security). The estimated value on the pricing date is approximately $980.10 per security (or within $35 of that estimate). The securities are unsecured obligations subject to the issuer’s and guarantor’s credit risk and will not be listed on any exchange.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Contingent Income Auto‑Callable Securities due November 2, 2028, fully and unconditionally guaranteed by Morgan Stanley. These principal‑at‑risk notes are linked to the worst performing of the Dow Jones Industrial Average, Nasdaq‑100 Index and Russell 2000 Index.
The notes pay a contingent coupon at 8.00% per annum only if, on each observation date, the closing level of each index is at or above its 75% coupon barrier. They are auto‑callable on scheduled determination dates if all indices are at or above 100% of initial, returning principal plus the coupon for that period. If not called, at maturity investors receive principal only if all indices are at or above the 70% downside threshold; otherwise, repayment is reduced one‑for‑one with the decline of the worst index and could be zero.
The securities are unsecured obligations of MSFL, subject to Morgan Stanley’s guarantee and credit risk. The estimated value on the pricing date is approximately $962.70 per $1,000, reflecting issuance, selling, structuring and hedging costs and an internal funding rate. Key dates include strike and pricing on October 30, 2025 and maturity on November 2, 2028.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Callable Contingent Income Securities due October 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay a contingent coupon at 16.55% per annum only if, on each observation date, the closing level of the SPDR S&P Regional Banking ETF (KRE), the Energy Select Sector SPDR Fund (XLE) and the Nasdaq-100 Technology Sector Index (NDXT) is at or above each underlier’s coupon barrier (70% of its initial level).
The notes may be redeemed early, in whole, on specified redemption dates beginning January 23, 2026, if and only if a risk neutral valuation model indicates redemption is economically rational for the issuer. If held to maturity and each final underlier level is at or above its downside threshold (70%), investors receive the stated principal amount plus any final coupon; otherwise, repayment is reduced 1% for each 1% decline of the worst performer and could be zero. The issue price is $1,000 per security; the estimated value on the pricing date is approximately $979.70 per security.
The securities will not be listed, all payments are subject to the issuer’s credit risk, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due April 26, 2028, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay a 10.25% per annum contingent coupon only when the closing level of each underlier—the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000—is at or above its coupon barrier of 70% of the initial level on the observation date.
The notes may be redeemed in whole, on specified monthly dates starting October 26, 2026, if a risk-neutral valuation model indicates early redemption is economically rational for the issuer; once redeemed, no further payments occur. If held to maturity and each index is at or above its 70% downside threshold, investors receive principal (plus any final coupon if payable); otherwise, repayment decreases 1% for every 1% decline in the worst-performing index, potentially to zero.
The notes are issued at $1,000 per security with an estimated value on the pricing date of approximately $981.30. They will not be listed, are sold to fee-based advisory accounts, and all payments are subject to Morgan Stanley’s credit risk.