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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 $4,351,000 aggregate offering of Performance Leveraged Upside Securities (PLUS) linked to the Russell 2000® Index, fully and unconditionally guaranteed by Morgan Stanley. The PLUS mature on August 4, 2027 with a valuation date of July 30, 2027 (subject to postponement). Each PLUS has a stated principal amount of $1,000, an issue price of $1,000 and an estimated value on the pricing date of $970.40. Investors receive 300% leveraged upside of index appreciation up to a maximum payment at maturity of $1,220.40 per PLUS; downside is 1% loss of principal for each 1% decline in the index, with no minimum payment and potential loss of the entire investment. Initial index closing value on the pricing date was 2,799.905.
Morgan Stanley Finance LLC is offering Trigger PLUS principal-at-risk securities due May 5, 2031 linked to the S&P 500® Futures Excess Return Index. The stated principal amount is $1,000 per security and the aggregate offering is $1,267,000. The securities pay no interest and provide a leveraged upside equal to 214.50% of the index appreciation if the final level exceeds the initial level of 581.37. If the final level is between the initial level and the downside threshold (70% of initial, 406.959), investors receive principal; below the downside threshold, investors lose 1% of principal for every 1% decline in the index. The estimated value on the pricing date was $964.50 per security; the issue price is $1,000 with agent commissions of $7.50 per security. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a capped, principal-at-risk structured note ("Trigger PLUS") with an aggregate stated principal amount of $2,000,000 and a $1,000 stated principal per security. The securities reference the Dow Jones Industrial Average and the S&P 500® Index, mature on May 5, 2031, and base payoff on the worst performing underlier.
Key mechanics: a 131% leverage factor applies to upside of the worst performing underlier; a 75% downside threshold protects principal only if the worst performing underlier finishes at or above that level; if the worst performing underlier finishes below the threshold, investors lose pro rata principal (up to 100%). The issue price is $1,000 with an estimated value on pricing date of $946.30. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced Principal at Risk Buffered Participation Securities linked to the S&P 500® Index. The securities have a stated principal amount of $1,000 per security, an issue price of $1,000 and an aggregate principal amount of $500,000. The initial level is 7,209.01 (strike date April 30, 2026) and the observation date is November 1, 2027 with maturity on November 4, 2027.
At maturity the payoff is: (1) stated principal plus upside (100% participation) capped at a maximum payment of $1,146 if the final level > initial level; (2) the stated principal if the final level ≥ the buffer level (80% of initial); or (3) a reduced payment that declines 1% for each 1% the underlier falls below the buffer, subject to a minimum payment of 20% of principal. All payments are subject to the issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a structured, principal-at-risk note offering: Series of auto-callable securities linked to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 and S&P 500. The offering is for 832 total securities at a $1,000 stated principal amount per security, with an aggregate principal amount of $832,000 and an estimated value on the pricing date of $938.60 per security. The securities can be automatically redeemed on the first determination date if each underlier meets its call threshold, pay an early redemption amount of $1,128.50 if called, and otherwise pay at maturity based on the worst performing underlier (including downside exposure below 70% of initial levels). All payments are subject to MSFL/Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced market-linked notes totaling $561,000 aggregate principal. Each $1,000 note matures on May 5, 2031 and references the S&P 500® Futures Excess Return Index. The notes pay no interest and return the stated principal at maturity; if the index finishes above the initial level (581.37), holders receive the stated principal plus an upside payment equal to the participation rate (128%) multiplied by the index percent change. The estimated value on the pricing date was $960.40 per note. All payments are unsecured and subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced market-linked notes due May 3, 2030 linked to the worst performing of the Russell 2000® Index and the EURO STOXX 50® Index and fully and unconditionally guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount, an issue price of $1,000 per note and aggregate principal of $149,000. The estimated value on the pricing date was $962.00 per note.
At maturity investors receive the stated principal plus an upside payment equal to 123% (participation rate) times the percentage appreciation of the worst performing underlier if that underlier’s final level is greater than its initial level; otherwise investors receive only the stated principal. The notes pay no interest and are subject to Morgan Stanley’s credit risk. Tax treatment is as a contingent payment debt instrument with a comparable yield of 4.6306%.
Morgan Stanley Finance LLC priced market-linked notes due May 5, 2031, fully guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount, $560,000 aggregate issuance and pay no interest. At maturity investors receive principal and, if the S&P 500® Futures Excess Return Index is higher on the observation date (April 30, 2031), an upside payment equal to 128% of the underlier percent change applied to principal.
Estimated value at issuance was $959.80 per note; payments are unsecured and subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced structured Jump Notes linked to Meta Platforms class A common stock. Each unsecured note has a $1,000 stated principal amount and an aggregate offering of $692,000. The notes pay no interest and mature on May 3, 2029. If the closing level of Meta on the observation date is greater than or equal to the initial level of $611.91, each note will pay the stated principal plus a fixed upside payment of $252 (a 25.20% return); if the final level is below the initial level, investors receive only the stated principal at maturity. The estimated value at pricing was $976.60 per note, reflecting issuance, structuring and hedging costs. Payments are unsecured and subject to Morgan Stanley and MSFL credit risk; the notes will not be listed and secondary liquidity may be limited.
Morgan Stanley Finance LLC priced $1,572,000 of structured, market‑linked notes due May 3, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000 and was issued at $1,000 per note with an estimated value on the pricing date of $978.60. The notes pay no periodic interest and return principal at maturity if the S&P 500® final level is equal to or below the initial level (7,209.01). If the final level is greater than the initial level, holders receive principal plus an upside payment equal to 100% participation in the index appreciation, capped at a maximum payment of $1,210 per note. All payments are subject to issuer credit risk, the notes will not be listed, secondary trading may be limited, and tax treatment is as contingent payment debt instruments with a comparable yield of 4.5407%.