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 (MS), via Morgan Stanley Finance LLC, is offering unsecured, auto-callable structured “Jump Notes” due August 29, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays no periodic interest.
The notes are linked to the worst performing of Berkshire Hathaway Class B, NVIDIA and Oracle common stocks. If on August 25, 2027 each stock is at or above its call threshold (100% of initial level), the notes are automatically redeemed for $1,360 per note, and no further payments occur. If not called, at maturity investors receive $1,000 plus an upside payment equal to 125% of the gain of the worst performing stock if all final levels exceed their initial levels; otherwise they receive only the $1,000 principal. The estimated value on the pricing date is approximately $968.50 per note. The notes are subject to Morgan Stanley’s credit risk, will not be listed on any exchange, may have limited secondary liquidity, and are expected to be treated as contingent payment debt instruments for U.S. tax purposes.
Morgan Stanley (MS), via its finance subsidiary Morgan Stanley Finance LLC, is offering principal-at-risk Contingent Income Memory Auto-Callable Securities maturing on August 21, 2031, linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount and original issue price.
The notes pay a 15.75% per annum contingent coupon (with a memory feature) only when the underlier’s closing level on an observation date is at or above a coupon barrier equal to 70% of the initial level. Starting February 18, 2027, the notes are automatically redeemed if the underlier is at or above a call threshold equal to 100% of the initial level, returning principal plus the current and any previously unpaid contingent coupons.
If not called, at maturity investors receive principal back only if the final level is at or above a downside threshold equal to 60% of the initial level; otherwise, repayment is reduced in proportion to the underlier’s decline and can be zero. The estimated value on the pricing date is approximately $948.40 per security, below the issue price, reflecting structuring and hedging costs. All payments depend on Morgan Stanley’s credit, and the underlier embeds a 4.0% per annum decrement and volatility-targeting futures strategy that can use leverage and has limited live history.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Enhanced Buffered Jump Securities maturing February 25, 2028, linked to the worst performing of the State Street SPDR S&P 500 ETF Trust (SPY) and the State Street SPDR S&P MidCap 400 ETF Trust (MDY). Each security has a $1,000 stated principal amount, pays no interest and is fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if the final level of each underlier is at or above 85% of its initial level, investors receive $1,000 plus a fixed upside payment of $118 (11.80%), regardless of how much the underliers have risen. If either underlier ends below its 85% buffer level, repayment is reduced 1% for each 1% decline of the worst-performing underlier beyond the 15% buffer, subject to a minimum payment of 15% of principal. The estimated value on the pricing date is approximately $979 per security, reflecting issuing, selling, structuring and hedging costs.
Returns depend only on the worst performer and the observation-date closing levels, not path or maturity-date levels. Investors face Morgan Stanley credit risk, potential illiquidity, complex and uncertain U.S. tax treatment (including potential “constructive ownership” and Section 871(m) considerations), and ETF- and mid-cap-specific market risks.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Trigger PLUS structured notes linked to the Invesco S&P 500® Equal Weight ETF, maturing on August 22, 2031. Each security has a stated principal amount and issue price of $1,000 and pays no interest.
At maturity, if the ETF’s final level is above its initial level, holders receive $1,000 plus a leveraged upside payment equal to 112.50% of the ETF’s price appreciation. If the final level is at or below the initial level but at or above 80% of the initial level (the downside threshold), investors receive only the $1,000 principal. If the final level is below the downside threshold, repayment is reduced 1% for every 1% decline in the ETF, with no minimum payment, so the entire investment can be lost.
The notes are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, and all payments depend on Morgan Stanley’s credit. The estimated value on the pricing date is approximately $954.90 per $1,000, reflecting issuing, selling, structuring and hedging costs and implying potential secondary market prices below the issue price. The issuer highlights liquidity risk, potential conflicts of interest, and uncertain U.S. federal tax treatment, including possible application of the constructive ownership regime and Section 871(m) for non-U.S. holders.
Morgan Stanley Finance LLC is offering Dual Directional Buffered Participation Securities due December 2, 2027, linked to the worst performer of the Dow Jones Industrial Average and the S&P 500 Index, in $1,000 denominations, fully and unconditionally guaranteed by Morgan Stanley, with no periodic interest payments.
At maturity, investors receive upside one-for-one with the worst-performing index, capped at a maximum payment of $1,121.00 per $1,000 (112.10%), or a positive "absolute return" up to +19% if the worst index is down but not below 81% of its initial level. If the worst index finishes below its buffer level, principal is reduced 1% for each 1% decline beyond the 19% buffer, subject to a minimum payment of 19% of principal. The estimated value on the pricing date is approximately $986.30 per security, and all payments are subject to Morgan Stanley’s credit risk.
MORGAN STANLEY (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk “Jump Securities” with an auto-call feature maturing on August 28, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 stated principal amount and issue price.
The notes may be automatically redeemed quarterly from August 2027 onward if the index is at or above a call threshold of 90% of the initial level, paying fixed cash amounts that imply about 16.50% per annum, up to $1,811.25 on the last determination date. If held to maturity and not called, investors receive $1,825 per security if the final index level is at or above the call threshold, only $1,000 if between the call and a downside threshold at 50% of the initial level, and suffer a 1-for-1 loss below that, potentially losing their entire investment.
The notes pay no interest, do not participate in index upside beyond the fixed schedule, and all payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is approximately $907.70 per security, reflecting issuance, structuring and hedging costs and a rate advantageous to the issuer.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk structured notes linked to the iShares Semiconductor ETF (SOXX). Each $1,000 security pays a contingent coupon at 22.50% per annum, but only if SOXX closes on each observation date at or above the coupon barrier level of $440.336; missed coupons may be paid later if the barrier is subsequently met.
The notes are auto-callable on specified dates if SOXX is at or above the call threshold level of $550.42, returning $1,000 plus the applicable coupon and any unpaid coupons, after which no further payments are made. If held to maturity and SOXX is at or above the buffer level of $440.336, investors receive $1,000 plus any contingent coupon then due. If the final level is below the buffer, principal is reduced by 1.25% for each 1% decline beyond the 20% buffer, with no minimum payment, so the loss can reach 100%.
The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is about $985.30 per $1,000, reflecting issuance, structuring and hedging costs, and secondary market liquidity is expected to be limited. U.S. tax treatment is uncertain, and non-U.S. holders may face 30% withholding on coupons.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Trigger Autocallable Contingent Yield Notes linked to the S&P 500® Index, maturing August 16, 2029, at an issue price of $10 per Security with a minimum investment of 100 Securities.
The notes pay a quarterly contingent coupon of $0.21375 (8.55% per annum) only if the S&P 500 closes at or above the Coupon Barrier of 5,839.32 (75% of the Initial Level of 7,785.76) on the relevant Observation Date. Beginning February 16, 2027, the notes are automatically called if the index closes at or above the Initial Level on any Observation Date, returning principal plus that period’s coupon.
If not called, and the Final Level on August 14, 2029 is at or above the Downside Threshold (also 5,839.32), investors receive $10 plus the final coupon. If the Final Level is below the Downside Threshold, repayment is $10 × (1 + Underlying Return), exposing investors 1‑for‑1 to index losses and allowing for a complete loss of principal. Payments depend on Morgan Stanley’s credit; the estimated value on the trade date is approximately $9.93 per Security, below the $10 issue price, reflecting structuring and hedging costs.
Morgan Stanley Finance LLC is offering $254,000 of Callable Buffered Jump Securities due July 12, 2030, fully and unconditionally guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per security and no periodic interest.
The notes are linked to the worst performing of the iShares Core S&P Mid-Cap ETF (IJH) and iShares Core S&P Small-Cap ETF (IJR). If not called and both final levels exceed their initial levels, investors receive principal plus an upside payment equal to 173% of the worst underlier’s gain; if either finishes below its buffer level of 80% of initial, principal is reduced 1% for each 1% loss beyond the 20% buffer, subject to a 20% minimum payment. The issuer may redeem the notes in whole on scheduled redemption dates if a risk neutral valuation model indicates it is economically rational, paying fixed amounts that correspond to a return of approximately 16.00% per annum. The estimated value on the pricing date is $967.70 per $1,000, reflecting issuance, structuring and hedging costs, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk.