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 is offering structured Step-Up Jump Notes fully guaranteed by Morgan Stanley, with a stated principal of $1,000 per note and an aggregate principal amount of $125,000. The notes pay no interest, are auto-callable beginning on April 27, 2027, and mature on May 2, 2033. Automatic early redemption will occur if the BlackRock Adaptive U.S. Equity 5% Index meets or exceeds annual call thresholds; the participation rate is 100%, and the estimated value on the pricing date was $947.00 per note. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC priced market-linked notes—structured, principal-return notes linked to an equally weighted basket of the EURO STOXX 50® and the Tokyo Stock Price Index due November 20, 2029. The notes have a $1,000 principal amount, an estimated value at pricing of $944.00 per note, and an upside participation rate of at least 110% (to be set on the pricing date).
The notes pay at maturity based on the average ending level calculated from quarterly calculation days; if that average is greater than the 100.00 starting level you receive $1,000 plus the positive return multiplied by the participation rate; if not, you receive $1,000 (subject to issuer credit risk). The document discloses fees (agent commissions up to $33.25 per note) and tax, liquidity and issuer-credit risks.
Morgan Stanley Finance LLC is offering Dual Directional Trigger PLUS notes due May 1, 2031, linked to the worst performing of the Nasdaq-100® Technology Sector Index and the Russell 2000® Index. Each security has a stated principal amount of $1,000, an original issue price of $1,000, and an estimated value on the pricing date of $941.20. The payment at maturity depends on the worst performing underlier: upside is leveraged (132.50%), an absolute-return participation feature applies at 50% when declines stay above a 70% downside threshold, and full principal loss can occur if the worst performing underlier falls below that threshold. Aggregate principal offered is $115,000 and agent commissions are $36.25 per security. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a structured note: a Dual Directional Trigger PLUS due May 1, 2031 linked to the S&P 500® Futures Excess Return Index. The securities have a $1,000 stated principal amount and an estimated value of $938.60 on the pricing date.
At maturity the payoff is threefold: if the final level > initial level you receive principal plus 161% of appreciation; if final level ≤ initial but ≥ downside threshold you receive principal plus an absolute-return payout with a 50% participation rate (capped effectively at 20%); if final level < downside threshold (60% of initial), you lose principal proportionally and could lose all. Payments are unsecured and guaranteed by Morgan Stanley and are subject to credit risk.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering Principal at Risk structured notes linked to the worst performing of the S&P 500®, EURO STOXX 50® and Russell 2000® indices. Each security has a stated principal amount of $1,000, an original issue price of $1,000 and an estimated value on the pricing date of $937.20. The notes can be automatically redeemed on the first determination date for an early redemption payment of $1,255 if each index is at or above its call threshold. If not redeemed, maturity payouts depend on the worst performing underlier: investors may receive principal plus a 150% participation rate on upside, return of principal only, or a loss proportional to the decline of the worst underlier down to zero. All payments are subject to Morgan Stanley’s credit risk and the offering includes dealer commissions of $40 per security.
Morgan Stanley Finance LLC priced contingent-income, principal-at-risk notes — Structured Investments: Contingent Income Memory Buffered Auto-Callable Securities due May 1, 2031, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and 10.15% annual contingent coupon payable only if observation-date conditions are met. The offering totals $1,474,000 aggregate principal and had an estimated value of $902.50 per security on the pricing date. The notes are auto-callable starting on the first redemption determination date if the underlier closes at or above the call threshold (initial level 1,306.82). At maturity, if the final level is below the buffer level 1,110.797 (85% of initial), principal is reduced by the underlier decline beyond the 15% buffer, subject to a 15% minimum payment. All payments are subject to issuer and guarantor credit risk; these securities do not pay regular interest and may provide little or no coupons over their term.
Morgan Stanley Finance LLC priced Enhanced Buffered Jump Securities tied to the S&P 500® Index. The offering totals $1,319,000 in aggregate principal, with a stated principal of $1,000 per security and an original issue price of $1,000 per security. The securities mature on May 2, 2028 with an observation date of April 27, 2028.
The notes provide a fixed upside payment of $155 (15.50%) if the final level is at or above the buffer level, and a 10% buffer (buffer level 6,456.519 from initial level 7,173.91). If the final level is below the buffer, investors lose 1% for each 1% decline beyond the 10% buffer, subject to a minimum payment of 10% of principal. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced Trigger PLUS notes due May 1, 2031 that are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays at maturity based on the performance of the worst performing of the Dow Jones Industrial Average and the S&P 500.
If the worst performing underlier finishes above its initial level, investors receive principal plus 125% leveraged upside. If the worst performing underlier finishes between its initial level and its 70% downside threshold, investors receive principal. If the worst performing underlier finishes below its downside threshold, investors lose 1% of principal for each 1% decline (the payment could be zero). All payments are subject to Morgan Stanley's credit risk. The securities were issued at $1,000 with an estimated value on the pricing date of $946.70.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes tied to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index with an aggregate principal amount of $194,000 and a stated principal amount of $1,000 per security. The securities mature on May 1, 2031, carry an estimated value on the pricing date of $900.60 per security and include an automatic early redemption feature with fixed early redemption payments and a buffer of 15% (buffer level 1,081.523) against declines in the underlier. If not called, maturity payoffs are tiered: $2,125 if the final level is at or above the call threshold (1,272.38), the stated principal if the final level is at or above the buffer, and a proportional loss beyond the buffer subject to a 15% minimum payment. All payments are unsecured and subject to Morgan Stanley and MSFL credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk Buffered Jump Securities due June 6, 2029 linked to the worst performing of Apple, Microsoft and NVIDIA common stock. The issue size is $3,305,000 in aggregate at a stated principal amount of $1,000 per security.
The securities feature a 20% buffer, a 250% participation rate in upside of the worst performing underlier, an early redemption payment of $1,537.50 if all underliers meet their 100% call thresholds on the first determination date (first determination date: May 4, 2027; early redemption date: May 7, 2027), and a minimum payment at maturity equal to 20% of principal. Estimated value on the pricing date was $967.20 per security. All payments are subject to Morgan Stanley Finance LLC’s and Morgan Stanley’s credit risk.