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 Buffered PLUS principal-at-risk securities due May 26, 2027, fully guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000. The securities provide 150% leveraged upside (leverage factor 150%) subject to a maximum payment at maturity of $1,121.50 and a 10% buffer applied to the initial level of the S&P 500® Index (initial level 7,064.01). If the final averaged index level is at or above the buffer level, investors receive at least the stated principal; if below the buffer level, investors lose 1% for each 1% decline beyond the buffer, subject to a minimum payment at maturity of 10%. The estimated value on the pricing date was approximately $986.20. All payments are subject to Morgan Stanley's credit risk and U.S. federal income tax treatment of the securities is uncertain.
Morgan Stanley Finance LLC offers an aggregate face amount of $5,500,000 of auto-callable, principal-at-risk market linked securities due April 23, 2032, fully and unconditionally guaranteed by Morgan Stanley. The securities have a face amount of $1,000 per security and an estimated value on the pricing date of $971.90 per security.
The securities are linked to the lowest performing of the Dow Jones Industrial Average SM, the S&P 500® Equal Weight Index and the Russell 2000® Index. They feature scheduled calculation days beginning October 25, 2027 for potential automatic calls with fixed call payments that increase over time (first call premium 16.875%, final call premium 67.50%). If not called, maturity payoffs depend on the lowest performing underlying and may result in losses greater than 25% or total loss.
Morgan Stanley Finance LLC is offering Principal at Risk PLUS notes due May 5, 2031 linked to the best performing of the EURO STOXX 50, MSCI EAFE and S&P 500 Futures Excess Return indices. Each security has a $1,000 stated principal amount and a leverage factor of 105%. At maturity investors receive the stated principal plus 105% of appreciation of the best performing underlier, or a reduced principal equal to the underlier performance; there is no guaranteed minimum and investors may lose their entire principal. The estimated value on the pricing date is approximately $966 per security. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced a preliminary offering of Principal‑at‑Risk notes due August 5, 2027 linked to the worst performing of the Nasdaq‑100, Russell 2000 and S&P 500 indices.
The securities have a stated principal amount of $1,000 per security, an upside payment of $183 (18.30%) payable if the worst performing underlier is at or above a 90% buffer on the observation date, a 10% buffer and a minimum payment at maturity of 10%. The document shows an estimated value on the pricing date of approximately $988.30 per security and emphasizes principal risk, no interest payments, and reliance on Morgan Stanley credit and the calculation agent for determinations.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes linked to the common stock of Zscaler, Inc. with a stated principal amount of $1,000 per security and a fixed $370 upside payment (37% of principal) if the final level is at or above a downside threshold set at 60% of the initial level. The securities have a strike date of April 27, 2026, an observation date of October 27, 2027 (subject to postponement), and a maturity date of November 1, 2027. If the final level is below the downside threshold, the payment equals the stated principal multiplied by the performance factor (final level/initial level), so investors may lose up to their entire investment. The estimated value on the pricing date was approximately $957.80 per security. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to issuer credit risk.
Morgan Stanley Finance LLC priced Principal at Risk structured notes linked to the worst performing of the State Street® Energy Select Sector SPDR® ETF (XLE), the Nasdaq-100 Index® (NDX) and the Russell 2000® Index (RTY). Each note has a stated principal amount of $1,000 and an upside payment of $128.50 (12.85%) if every underlier finishes at or above its downside threshold. If the worst performing underlier finishes below its downside threshold (60% of its initial level), the maturity payment equals principal × the worst performing underlier’s performance factor and could be significantly less or zero. Estimated value on the pricing date is approximately $967.20. Observation date is October 28, 2027 (subject to postponement); maturity is November 2, 2027. The notes are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC offers contingent-income auto-callable securities due November 12, 2027, fully guaranteed by Morgan Stanley. Each security has a $1,000 issue price and an estimated value on the pricing date of approximately $968.50. The notes pay a contingent coupon of 9.50% per annum on observation dates when each underlier is at or above its coupon barrier (70% of initial levels) and may be automatically redeemed early if each underlier meets its call threshold (100% of initial levels) on a redemption determination date. If not automatically redeemed, payment at maturity depends on the worst performing underlier: if the worst performing underlier is below its downside threshold (70% of initial level), principal is reduced pro rata by that underlier’s performance factor. Strike date is May 8, 2026 (initial levels set on that date); final observation date is November 8, 2027.
Morgan Stanley Finance LLC priced a series of Principal at Risk structured notes due January 26, 2027, fully guaranteed by Morgan Stanley, linked to the worst performing of the Nasdaq-100 and S&P 500 indices. Each security has a stated principal amount of $1,000 and an illustrative contingent annual coupon of 12.10%, payable only on observation dates when both underliers are at or above 85% of their initial levels (the coupon barrier).
The notes include a 15% buffer and a downside factor of 1.1765: if the final level of the worst performing underlier is below the buffer, investors suffer losses of 1.1765% for each 1% decline beyond the buffer. The issuer may call the notes on scheduled redemption dates beginning May 27, 2026 if a risk neutral valuation model indicates it is economically rational to do so; early redemption would end future payments. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes tied to Credo Technology Group Holding Ltd common stock. Each security has a $1,000 stated principal amount and a fixed upside payment of $616.20 (61.62%). The securities use a 20% buffer (buffer level $146.656, initial level $183.32) and a downside factor of 1.25; if the final level on the observation date is below the buffer, investors lose 1.25% for every 1% decline beyond the buffer. The pricing date estimate valued each security at approximately $962.00. Observation date is May 5, 2027 and maturity is May 10, 2027. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced $8.19M of capped leveraged buffered basket-linked notes (Principal at Risk), guaranteed by Morgan Stanley. Trade Date is April 20, 2026 with Stated Maturity Date October 22, 2027. The payoff links to a weighted basket (EURO STOXX 50 40%, TOPIX 25%, FTSE 100 17%, SMI 11%, S&P/ASX 200 7%).
The notes provide 150% Upside Participation to increases up to a Cap Level 115.20% (Maximum Settlement Amount $1,228 per $1,000). A 10.00% buffer preserves principal only if declines are ≤10.00%; losses occur if the Basket declines >10.00%. Estimated value on the trade date was $975.80.