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 (guaranteed by Morgan Stanley) is offering Dual Directional Trigger Jump Securities due May 8, 2031, linked to a five-index basket with an initial basket value of 100 and a trigger level of 75 (75% of initial). The issue aggregates $9,258,000 at a $1,000 stated principal per security. At maturity investors may receive a capped minimum upside payment of $412.50 (41.25%) if the basket appreciates modestly, a positive absolute return if the basket declines up to 25%, or suffer a 1:1 loss if the basket declines beyond the trigger. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC priced a $100,000 aggregate offering of buffered, auto-callable Principal at Risk securities with a stated principal amount of $1,000 per security. The notes reference the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, have an initial level of 1,322.93, a call threshold of 1,190.637 (90%) and a buffer level of 1,124.491 (85%). The securities may auto-redeem on specified determination dates for fixed early redemption payments (about 16.00% per annum equivalent), pay $1,800 at maturity if the final level is at or above the call threshold, return principal if final level is at or above the buffer, or expose investors to losses beyond the 15% buffer with a 15% minimum payment at maturity. All payments are subject to Morgan Stanley's credit risk and U.S. federal tax treatment is uncertain.
Morgan Stanley Finance LLC priced an offering of Dual Directional Trigger PLUS linked to the VanEck® Gold Miners ETF with an aggregate principal amount of $4,468,000. The Trigger PLUS mature on November 3, 2027 and pay no interest; they are unsecured obligations of MSFL fully guaranteed by Morgan Stanley.
The instruments return $1,000 per note at issuance and provide 200% leveraged upside on positive ETF performance subject to a $1,464.20 cap. If the ETF declines up to 20%, the notes pay a positive return equal to the absolute decline (capped at $1,200). If the ETF declines by more than 20%, investors absorb losses 1:1, with no minimum payment; principal can be lost. All payments are subject to the issuer's credit risk.
Morgan Stanley Finance LLC is offering Dual Directional Trigger PLUS notes due May 3, 2029, linked to the worst performing of the Nasdaq-100 and Russell 2000. The offering is for an aggregate principal amount of $376,000 at an issue price of $1,000 per security (estimated value on the pricing date: $975).
The securities pay no interest, are principal-at-risk and are fully and unconditionally guaranteed by Morgan Stanley. Key terms: leverage factor 129%, absolute return participation rate 50%, downside threshold 70% of initial level. Payments at maturity depend solely on closing levels on the observation date (April 30, 2029) and are based on the worst performing underlier; there is no guaranteed minimum and the principal could be lost.
Morgan Stanley Finance LLC priced $485,000 aggregate of PLUS notes due May 5, 2031. These principal-at-risk securities pay no interest and return at maturity either the stated principal plus a 105% leveraged upside of the best-performing underlier or a reduced principal tied to that underlier's performance; losses can be total.
The securities reference the EURO STOXX 50®, MSCI EAFE® and S&P 500® Futures Excess Return Index, are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley. The offering price is $1,000 per security, estimated value on pricing date was $962 per security, and all payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers Dual Directional Trigger Jump Securities due May 20, 2031, principal-at-risk notes fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an upside payment of $432 (43.20%). The securities pay no interest, provide an absolute return feature for limited declines down to a 75 trigger level, and expose investors to full downside beyond a 25% basket decline. Estimated value on the pricing date is approximately $945.10.
Morgan Stanley Finance LLC priced a retail offering of Principal-at-Risk, contingent-income, auto-callable securities linked to NVIDIA Corporation common stock, with a stated principal amount of $1,000 per security and aggregate principal amount of $700,000. The securities pay a contingent coupon only if the underlier meets observation-date barriers, are subject to automatic early redemption if the closing level meets the call threshold on any redemption determination date, and return principal at maturity only if the final level is at or above the downside threshold; otherwise investors suffer proportional losses down to zero. The contingent coupon is an annual rate of 12.70% (paid per interest period when conditions are met). All payments are unsecured obligations of MSFL and fully and unconditionally guaranteed by Morgan Stanley, and are subject to issuer credit risk. The estimated value on the pricing date was $961.70 per security; the issue price is $1,000 (agent commission $18.75 per security).
Morgan Stanley Finance LLC priced Principal at Risk notes linked to the worst performing of the Russell 2000® and S&P 500® Index, with $1,000 stated principal per security and an aggregate principal amount of $2,483,000. The securities pay no interest, have a fixed upside payment of $103 (10.30%) if both underliers finish at or above their 70% downside thresholds, and otherwise pay an amount equal to the stated principal multiplied by the performance factor of the worst performing underlier at maturity on June 4, 2027. The offering is fully and unconditionally guaranteed by Morgan Stanley, carries issuer credit risk, and has an estimated value of $992.30 on the pricing date. These securities are principal‑at‑risk, may pay nothing at maturity if the worst performing underlier declines sufficiently, and were sold to fee‑based advisory accounts.
Morgan Stanley Finance LLC priced contingent income auto-callable notes linked to QCOM common stock. The notes have a $1,000 stated principal per security, $1,979,000 aggregate issued, an original issue date of May 5, 2026 and maturity on June 4, 2027. They pay a contingent coupon at an annual rate of 12.50% only if the underlier meets the coupon barrier on observation dates and feature automatic early redemption if the closing level meets the call threshold on redemption determination dates. At maturity, if the final level is below the downside threshold (68% of the initial level), investors suffer proportional principal loss (performance factor = final level / initial level).
The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, carry issuer credit risk, do not insure principal, and have an estimated value on the pricing date of $948.80 per security versus an issue price of $1,000.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering Principal at Risk Structured Investments — Contingent Income Memory Auto-Callable Securities linked to NVIDIA Corporation common stock. The issue price is $1,000 per security with an aggregate principal amount of $8,364,000. The securities pay a contingent coupon at an annual rate of 13.05% on observation dates when the closing level of the underlier is at or above the coupon barrier level of $109.764 (approximately 55% of the initial level). The securities feature automatic early redemption if the closing level is at or above the call threshold of $199.57 on any redemption determination date and mature on November 4, 2027. If not redeemed and the final level is below the downside threshold ($109.764), principal at maturity is reduced pro rata by the performance factor and could be significantly less than the stated principal, possibly zero. All payments are subject to issuer and guarantor credit risk; estimated value on pricing date was $979.00 per security and agent commissions total $15 per security.