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 priced a contingent income auto-callable note offering fully guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per security and an aggregate principal amount of $907,000, with an issue price of $1,000 and an estimated value on the pricing date of $947.30 per security. The securities pay a contingent annual coupon of 8.00% only if the closing level of each underlier meets its coupon barrier on observation dates, feature automatic early redemption if all underliers meet call thresholds, and return principal at maturity only if the final levels are at or above downside thresholds; otherwise investors suffer losses equal to the decline in the worst performing underlier. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC offers principal-at-risk, auto-callable securities linked to The Goldman Sachs Group, Inc. Each security has a stated principal amount of $1,000 and an original issue price of $1,000. The securities pay a 13.00% annual contingent coupon only if observation-date levels meet the coupon barrier of $604.905 (70% of the initial level). Automatic early redemption can occur on specified redemption determination dates if the closing level is at or above the call threshold of $864.15 (100% of the initial level). If not redeemed, maturity payment depends on the final level relative to the downside threshold of $604.905; payments can result in full principal, partial principal based on the performance factor (final level/initial level), or total loss of principal. All payments are subject to issuer and guarantor credit risk. The aggregate principal offered is $3,755,000 and the estimated value on the pricing date is $966.30 per security.
Morgan Stanley Finance LLC is offering Principal-at-Risk notes due April 19, 2029, linked to the S&P 500® Index. Each note has a $1,000 stated principal amount and will pay no interest; at maturity investors receive either $1,000 plus an 80% participation in any appreciation or a reduced principal down to a 95% floor if the index declines.
Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to the issuer’s credit risk, limited secondary market liquidity, tax treatment as a contingent payment debt instrument, and various conflicts of interest including that Morgan Stanley affiliates act as calculation agent and potential distributor.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes linked to the worst performing of Alphabet Class A, Microsoft and Palantir common stocks, due April 20, 2029. Each security has a stated principal amount of $1,000, an estimated value on the pricing date of about $943.60, and does not pay periodic interest.
The notes feature an automatic early redemption on the first determination date (April 19, 2027) for an early redemption payment of $1,355 if every underlier equals or exceeds its call threshold. At maturity the payout depends on the worst performing underlier with a 30% buffer, a 300% upside participation rate, and a minimum payment of 30% of principal.
Morgan Stanley Finance LLC is offering Autocallable Notes linked to a weighted basket of five global indices for a total Price to Public of $2,041,000 (Issue Price: $10.00 per Security). The notes carry a Call Return Rate of 12.60% per annum with annual Observation Dates beginning April 14, 2027, a Final Observation Date of April 9, 2029, and a Maturity Date of April 12, 2029. If the Basket closes at or above the Initial Basket Level (100) on any Observation Date, the notes are automatically called and pay a fixed Call Price (examples: $11.26, $12.52, $13.78). If not called and the Final Basket Level is below 100, principal is reduced proportionately to the negative Basket Return. Estimated value on the Trade Date was stated as $9.552 per Security; the offering bears the credit risk of Morgan Stanley and MSFL.
Morgan Stanley Finance LLC is offering $2,485,000 of Autocallable Notes linked to the S&P 500® Index due April 12, 2029, fully guaranteed by Morgan Stanley. The notes pay no interest, have an Issue Price of $10 and an estimated Trade Date value of $9.712 per Security. If the S&P 500 closes at or above the initial level of 6,616.85 on any annual Observation Date beginning April 14, 2027, the notes will be automatically called and pay a fixed Call Return based on an 11.10% per annum Call Return Rate (Call Prices: $11.11, $12.22, $13.33). If not called and the Final Level is below the Initial Level, principal is reduced proportionately to the full decline in the index; investors do not participate in upside beyond the fixed Call Return. Payments are subject to issuer credit risk; secondary market liquidity may be limited.
Morgan Stanley Finance LLC priced principal-at-risk notes linked to the worst performer of the S&P 500, Nasdaq-100 Technology Sector and Russell 2000, with a stated principal amount of $1,000 per security and an aggregate principal amount of $2,514,000. The securities may auto-redeem on scheduled determination dates for preset early redemption payments that rise over time; if not redeemed, maturity outcomes depend on each underlier relative to its call and downside threshold levels, including full principal loss proportional to the worst performing underlier below its downside threshold. All payments are unsecured and fully guaranteed by Morgan Stanley and are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers Principal at Risk auto-callable securities tied to Meta Platforms, Inc. class A common stock with an aggregate principal amount of $400,000 (stated principal amount $1,000 per security). The notes pay a contingent coupon of 10.75% annually on observation dates when the underlier is at or above the coupon barrier and are automatically redeemed early if the underlier closes at or above the call threshold. At maturity, if the final level is below the downside threshold, principal is reduced pro rata by the underlier’s decline; holders could lose their entire investment. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities due April 16, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000. The notes pay a contingent coupon (annual rate 13.70%) only if both underliers meet coupon barrier levels on observation dates and may auto-redeem on specified redemption determination dates. If a trigger event occurs, investors are exposed to the negative performance of the worst performing underlier (S&P 500 and Russell 2000) and may lose principal proportionally; payment at maturity can be significantly less than principal or zero. All payments remain subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Structured Investments — Enhanced Buffered Jump Securities due May 11, 2027, fully guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per security and an aggregate principal amount of $18,000,000. The securities pay no interest and provide a fixed upside payment of $104 (10.40%) if the worst performing underlier is at or above its buffer level (80% of initial) on the observation date. If the worst performing underlier finishes below its buffer level, holders lose 1% for each 1% decline beyond the 20% buffer, subject to a minimum payment of 20% of principal. Initial levels are stated for the NDXT, RTY and SPX indices (strike date April 6, 2026); observation date is May 6, 2027. The estimated value on the pricing date was $979.10 per security and the issue price is $1,000. All payments are subject to issuer and guarantor credit risk.