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 Principal‑at‑Risk structured notes linked to the S&P 500® Index with an aggregate principal amount of $830,000 and a stated principal amount of $1,000 per security. The notes have an issue price of $1,000, an estimated value on the pricing date of $977.50, a 150% participation rate, a strike/initial level of 6,477.16, a downside threshold at 80% of the initial level (5,181.728), a first determination date for automatic early redemption on April 8, 2027 (early redemption payment $1,132.20), and a maturity date of March 30, 2028. If not auto‑redeemed, payoff at maturity depends on the final level versus the initial and downside thresholds and could result in complete loss of principal. All payments are subject to the issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Trigger PLUS notes due June 2, 2027 linked to the iShares® Semiconductor ETF (SOXX). Each note has a $1,000 stated principal amount and a 200% leverage factor on upside, with a maximum payment of $1,350 and a downside threshold at 90% of the initial level.
At maturity investors receive principal plus leveraged upside if the final level exceeds the initial level, full principal if the final level is ≥ the 90% downside threshold, or a loss proportional to the underlier decline if below that threshold. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk Buffered Participation Securities with an aggregate principal amount of $495,000, issued at $1,000 per security. The securities mature on July 1, 2027 and are fully and unconditionally guaranteed by Morgan Stanley.
Each security’s payoff is linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. The notes include a 15% buffer, a 100% participation rate up to a $1,226 maximum payment, and a 15% minimum payment. All payments are subject to the issuer’s credit risk; estimated value on the pricing date was $975.90 per security.
Morgan Stanley Finance LLC offers principal-at-risk structured notes linked to the worst performing of the Russell 2000® and the S&P 500® with a stated principal amount of $1,000 per security and aggregate issuance of $10,911,000. The securities pay no interest; at maturity investors receive either the stated principal plus a fixed $90 upside payment if each underlier is at or above its downside threshold (~63% of initial levels), or a principal amount reduced pro rata by the percentage decline of the worst performing underlier (potentially down to zero). The notes are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk. The offering targets fee-based advisory accounts and includes an estimated value on the pricing date of $991.30 per security.
Morgan Stanley Finance LLC priced a market-linked, principal-at-risk offering fully guaranteed by Morgan Stanley. The securities have a face amount of $1,000, a public offering price of $1,000 and an estimated value of $918.00 per security on the pricing date. They are auto-callable on the call date with a fixed call payment of $1,430 (approximately 43.00% premium). If not called, the maturity payoff depends on the performance of the lowest performing of three ETFs (SMH, XLE, XLU) with a 300% participation rate on upside; downside exposure is full below specified threshold prices, potentially resulting in losses greater than 30% and possibly the entire principal.
The issuer Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, is offering structured principal‑at‑risk notes linked to the S&P 500® Index maturing on November 1, 2027. Each security has a $1,000 stated principal and pays at least a $133 upside if the final level is at or above the 85% buffer; if below the buffer, losses are amplified by a 1.1765 downside factor and investors may lose their entire principal.
Morgan Stanley Finance LLC priced structured, principal-at-risk securities due April 13, 2033. Each security has a $1,000 stated principal and a capped upside payment of $621.50 (62.15%) if the S&P 500® final level is at or above an 85% buffer threshold. If the final level is below the buffer level, losses are 1% for each 1% decline beyond the 15% buffer, with a minimum payment of 15% of principal at maturity. The estimated value on the pricing date was approximately $922.30. All payments are subject to the issuer’s credit risk and the securities do not pay interest.
Morgan Stanley Finance LLC issues $5,795,000 of Buffered PLUS principal-at-risk securities fully and unconditionally guaranteed by Morgan Stanley, linked to the S&P 500® Index with a stated principal amount of $1,000 per security. The securities mature on April 30, 2027 and feature a 109% leverage factor, a 20% buffer (buffer level = 80% of the initial level), a maximum payment at maturity of $1,102.50 (110.25% of stated principal) and a minimum payment of 20% of stated principal. Purchases are for fee-based advisory accounts; estimated value at pricing was $980.10 per security.
Morgan Stanley Finance LLC offers a series of Principal-at-Risk notes — a PLUS with Downside Factor due April 3, 2031 linked to the worst performing of Invesco QQQ, State Street Technology Select Sector (XLK) and VanEck Semiconductor (SMH). Each security has a $1,000 stated principal amount and a 205% leverage factor for upside participation. If the worst performing underlier finishes below its downside threshold (25% of its initial level), investors lose their entire principal; if it finishes between the downside threshold and initial level, losses equal the underlier percent change × 1.3333 downside factor. The securities pay no interest, are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley; all payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes tied to the S&P 500® Index that mature on May 13, 2027. Each security has a $1,000 stated principal amount and an issue price of $1,000. If the final level is at or above an 80% buffer level, investors receive the principal plus a fixed upside payment (at least $77.50). If the final level is below the 80% buffer, losses apply at a 1.25% downside factor for each 1% decline beyond the 20% buffer; there is no minimum payment and the principal could be lost. The pricing date and strike date are April 27, 2026, with an initial level set on that date and an observation date of May 10, 2027. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; payments are subject to the issuer’s and guarantor’s credit risk. The estimated value on the pricing date was approximately $981.60 per security.