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), through Morgan Stanley Finance LLC, is offering market-linked, auto-callable “principal at risk” securities due August 22, 2030, at $1,000 face amount per security, fully and unconditionally guaranteed by Morgan Stanley and linked to the lowest performing of the S&P 500® Index and Dow Jones Industrial Average.
The notes may be automatically called quarterly from August 23, 2027 if both indices close at or above their starting levels, paying a fixed call amount (initially at least $1,082.50, rising to at least $1,330.00 on the final calculation day). Investors do not participate in any additional upside beyond these call payments and receive no interest or dividends.
If not called, and either index finishes below its 80% threshold level on the final calculation day, principal is reduced one-for-one with the decline of the worst index, potentially to zero; only if both stay at or above their thresholds is $1,000 repaid. The issuer’s estimated value on the pricing date is about $959.90 per security, below the issue price, reflecting embedded costs. The securities are unsecured obligations subject to Morgan Stanley’s credit risk and may have limited or no secondary market liquidity.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Enhanced Trigger Jump Securities due November 17, 2027, linked to the worst performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index. The notes pay no interest and do not guarantee repayment of principal.
Each $1,000 security pays at maturity either $1,160 (a fixed 16% upside) if the final level of every index is at least 70% of its initial level, or a loss matching the percentage decline of the worst-performing index if any finishes below its 70% downside threshold. In that case, repayment can be far below $1,000 and may be zero. The notes are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, with all payments subject to the issuer’s and guarantor’s credit risk. The estimated value on the pricing date is $999.30 per $1,000 security, reflecting issuance, structuring and hedging costs borne by investors.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering structured Buffered Jump Securities with an auto-callable feature maturing August 15, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each note has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $195,000.
The notes pay no interest and may be automatically redeemed starting August 13, 2027 if the index is at or above the call threshold level of 1,374.09, for increasing early redemption payments that correspond to about 17.25% per annum. If held to maturity, investors receive $1,862.50 per note if the final index level is at or above the call threshold, principal back if it is between the buffer level 1,099.272 (80% of initial) and the threshold, and a proportional loss beyond the 20% buffer, with a minimum payment of 20% of principal.
The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $905.30 per $1,000 note, reflecting embedded costs, and secondary market liquidity and pricing may be limited.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering $2,005,000 of Dual Directional Buffered Jump Securities linked to the S&P 500® Index, maturing August 16, 2029. The $1,000-denomination notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley, with principal at risk.
At maturity, if the index is at or above the initial level of 7,748.50, investors receive principal plus a fixed $210 upside payment (21%), regardless of how high the index rises. If the index is below the initial level but at or above the buffer level of 6,198.80 (80% of initial), investors gain 400% of the absolute index decline, capped at an effective 80% positive return. If the index falls below the buffer, investors lose 1% of principal for each 1% decline beyond the 20% buffer, but not below a minimum payment of 20% of principal.
The issue price is $1,000 per security, while the estimated value on the pricing date is $988.50, reflecting structuring and hedging costs. The securities are unsecured obligations subject to Morgan Stanley’s credit risk, are not bank deposits or FDIC-insured, and may have limited or no secondary market liquidity.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering market-linked, principal-at-risk securities linked to the worst performer of Eli Lilly (LLY) and Johnson & Johnson (JNJ), maturing on August 16, 2029 and fully and unconditionally guaranteed by Morgan Stanley.
Each security has a $1,000 face amount, a price to the public of $1,000 and an estimated value at pricing of $958.10, reflecting embedded issuing, selling, structuring and hedging costs. The note is auto-callable on August 17, 2027 if both stocks are at or above their starting prices, paying a fixed call payment of $1,312 (a 31.20% return) and then terminating with no further payments.
If not called, at maturity investors receive: leveraged upside of 150% of the positive return of the lowest performing stock when that stock’s ending price is above its starting price; a contingent “absolute return” if the worst stock is below its starting price but at or above its threshold price (60% of start, e.g., $732.168 for LLY, $156.516 for JNJ), capped at an extra $400 per security; or a loss one-for-one with the negative return of the worst stock if it ends below its threshold, in which case more than 40% and up to all principal can be lost. The securities pay no interest, provide no dividends, involve issuer and guarantor credit risk, and may have limited or no secondary market liquidity.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Buffered Jump Securities with an auto-callable feature due August 15, 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, with an aggregate principal amount of $1,747,000, and is fully and unconditionally guaranteed by Morgan Stanley.
The notes may be automatically redeemed quarterly starting August 13, 2027 if the index closes at or above the call threshold level of 1,167.977 (85% of the 1,374.09 initial level), for fixed early redemption payments corresponding to about 11% per annum, rising from $1,110 to $1,540.833 per security over time. If not called and the final index level is at or above the buffer level (also 1,167.977), holders receive $1,550 per security at maturity. If the final level is below the buffer, repayment is reduced 1% for each 1% decline beyond the 15% buffer, but not below 15% of principal. The estimated value on the pricing date is $901.40 per security, reflecting embedded costs, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk.
Morgan Stanley (MS), via Morgan Stanley Finance LLC, is offering S&P 500-linked Enhanced Buffered Jump Securities maturing August 17, 2032, in an aggregate principal amount of $494,000 at $1,000 per security. The notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if the S&P 500® final level is at or above the buffer level of 6,586.225 (85% of the 7,748.50 initial level), holders receive principal plus a fixed upside payment of $600 per security (60% return). If the final level is below the buffer level, principal is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal.
The securities are subject to Morgan Stanley’s credit risk, have limited upside, and can incur substantial loss of principal. The estimated value on the pricing date is $983 per security, below the issue price, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s funding rate.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering $2,745,000 of Contingent Income Memory Buffered Auto-Callable Securities due August 15, 2031, linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index and fully guaranteed by Morgan Stanley.
The notes pay a 10.10% annual contingent coupon only when the index closes at or above the coupon barrier of 1,030.568 (75% of the 1,374.09 initial level); missed coupons can be paid later if the barrier is met on a future observation date. The notes may be automatically redeemed on specified dates if the index is at or above the call threshold of 1,236.681 (90% of the initial level), returning principal plus coupons, after which no further payments are made.
If not redeemed early, principal is protected only down to the buffer level of 1,167.977 (85% of the initial level). Below that, investors lose 1% of principal for each 1% index decline beyond the 15% buffer, but not less than a 15% minimum payment at maturity. The issue price is $1,000 per note, while the estimated value on the pricing date is $901.90, and all payments are subject to Morgan Stanley’s credit risk.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering $2,097,000 of callable Contingent Income Securities due August 15, 2031, linked to the worst performing of the Dow Jones Industrial Average, Nasdaq‑100 Index and Russell 2000 Index. The notes pay a contingent coupon of 8.39% per annum only if on each observation date all three indices are at or above their coupon barrier levels, set at 70% of their initial levels. Principal is at risk: if at maturity any index is below its downside threshold level, set at 65% of its initial level, the repayment is reduced 1% for each 1% decline of the worst‑performing index and can fall to zero.
The issuer may redeem the notes early, in whole, on specified redemption dates if a risk neutral valuation model indicates that redemption is economically rational for the issuer; after redemption no further payments are made. The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value of $950.80 per $1,000 note on the pricing date, reflecting issuance, selling, structuring and hedging costs and issuer credit spreads.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering $2,470,000 of fixed income buffered auto-callable securities linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 stated principal amount, pays a fixed coupon at 7.15% per annum with monthly payments, and matures on August 15, 2031, subject to an automatic early redemption feature.
The notes are automatically redeemed at par plus the coupon for the relevant period if, on any monthly redemption determination date starting August 11, 2027, the index closing level is at or above the call threshold, set at 100% of the initial level of 1,374.09. If held to maturity and not called, investors receive principal back only if the final index level is at or above the 85% buffer level of 1,167.977; below that, principal is reduced 1% for every 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal, plus the final coupon.
The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and are subject to the issuer’s and guarantor’s credit risk. The estimated value on the pricing date is $917.90 per $1,000 security, reflecting embedded costs and dealer compensation of $47.50 per security and potential secondary market discounts, as well as complex tax and index-structure risks.