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 principal-at-risk Enhanced Buffered Jump Securities linked to the S&P 500 Index, maturing on September 16, 2027. Each security has a $1,000 stated principal amount and pays no interest.
At maturity, if the S&P 500 final level is at or above 90% of its initial level (the buffer level), investors receive $1,000 plus a fixed upside payment of at least $90 per security (at least 9% return), regardless of how high the index rises. If the final level is below the buffer level, investors lose about 1.1111% of principal for every 1% decline beyond the 10% buffer, with no minimum payment, so the entire investment can be lost. The estimated value on the pricing date is approximately $986 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s funding rate, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Buffered PLUS notes maturing August 16, 2029, linked to the worst performing of Apple Inc. stock, the S&P 500 Equal Weight Index and the S&P 500 Index. Each $1,000 security pays no interest and is fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if the final level of each underlier is above its initial level, holders receive $1,000 plus 235% of the worst performer’s gain. If any underlier is at or below its initial level but all remain at or above 80% of their initial levels, investors receive only the $1,000 principal. If any underlier falls below its 80% buffer level, principal is reduced 1% for each 1% decline of the worst performer beyond the 20% buffer, subject to a minimum payment of 20% of principal. The estimated value on the pricing date is approximately $970.20 per security, reflecting issuance, structuring and hedging costs, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Enhanced Trigger Jump Securities linked to the S&P 500® Index, issued under its Series A Global Medium-Term Notes program and fully and unconditionally guaranteed by Morgan Stanley. These are principal-at-risk, unsecured notes that pay no interest and are not bank deposits or FDIC-insured.
Each security has a stated principal amount and issue price of $1,0007,748.50, with a downside threshold level of 6,198.80 (80% of the initial level). At maturity on September 16, 2027, if the final index level on the September 13, 2027 observation date is at or above the downside threshold, investors receive $1,000 plus a fixed upside payment of $86.20 per security, an 8.62% return regardless of how much the index has risen within that range.
If the final index level is below the downside threshold, investors are exposed 1-for-1 to the full decline in the index from the initial level, with no minimum payment, and could lose their entire investment. The estimated value on the pricing date is approximately $985.70 per $1,000, reflecting embedded costs and using Morgan Stanley’s proprietary models. The notes have limited liquidity, are subject to Morgan Stanley’s credit risk, and carry complex U.S. tax considerations, including treatment as prepaid financial contracts and potential future changes in tax law.
MORGAN STANLEY, through Morgan Stanley Finance LLC, is offering principal-at-risk Enhanced Trigger Jump Securities linked to the Class A ordinary shares of On Holding AG. The notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
Each $1,000 security pays at maturity: if the final level of On Holding is at or above the downside threshold level of $23.258 (75% of the initial level of $31.01), investors receive $1,243.60, a fixed 24.36% return. If the final level is below the threshold, repayment is $1,000 multiplied by the performance factor (final level ÷ initial level), producing a 1% loss of principal for each 1% decline, with no minimum and potential total loss.
The estimated value on the pricing date is approximately $979.20 per $1,000, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s funding rate. The notes are unsecured obligations subject to Morgan Stanley’s credit risk and may have limited or no secondary market liquidity, with a minimum investment of $10,000.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering unsecured, principal-at-risk structured "Jump Notes" with an auto-call feature due August 22, 2033, linked to the Morgan Stanley Amplitude Index. The notes pay no interest and return at least the stated principal at maturity, subject to Morgan Stanley’s credit risk.
The notes may be automatically redeemed on any of 12 semiannual determination dates starting August 24, 2027 if the index is at or above a call threshold equal to 101% of the initial level, paying fixed amounts that correspond to an annualized return of about 11.15% (for example, $1,111.50 per $1,000 note on the first call date up to $1,724.75 on the last). If not called and the final index level is at or above the threshold, investors receive $1,780.50 per $1,000 note; otherwise, they receive only principal.
The estimated value at pricing is approximately $911.20 per $1,000 note, reflecting embedded structuring and hedging costs. The Amplitude Index is a new, rules-based, multi-asset, volatility-targeted index with leverage and fees (about 1.4% per annum in back-tests), and much of its history is hypothetical. The notes will not be listed and secondary liquidity may be limited.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Performance Leveraged Upside Securities ("PLUS"), unsecured structured notes linked to an equally weighted basket of ten U.S. and international stocks, maturing on September 13, 2027 and fully and unconditionally guaranteed by Morgan Stanley.
Each PLUS has a stated principal amount and issue price of $1,000, pays no interest, and is not listed on any exchange. At maturity, if the basket value is above its initial level, investors receive $1,000 plus 150% of the basket’s percentage gain, capped at a maximum payment of $1,247.50 per note (124.75% of principal). If the basket is flat, repayment is $1,000. If the basket has declined, repayment equals $1,000 times the ratio of final to initial basket value, with losses on a 1:1 basis and no minimum payment, so principal can be fully lost.
The basket allocates 10% weight to each of Amazon, Coherent, Corning, Linde, MP Materials, Northrop Grumman, NVIDIA, RBC Bearings, Rocket Lab and Space Exploration Technologies. The estimated value on the pricing date is approximately $902 per PLUS (about 9.8% below issue price), reflecting issuance, structuring and hedging costs. The notes are subject to Morgan Stanley’s credit risk, complex adjustment and market disruption provisions, and U.S. tax treatment as prepaid financial contracts is described as uncertain.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering unsecured, unlisted Contingent Income Memory Auto-Callable Notes due September 2, 2031, fully and unconditionally guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per note and an issue price of $1,000 per note.
The notes pay a contingent coupon at 10.00% per annum, evaluated monthly, but only if on each observation date the closing level of every underlier (ARM, MRVL, ORCL, PLTR) is at or above its coupon barrier level, set at 80% of its initial level. Missed coupons can “memory” and be paid later once all underliers are again at or above their barriers, but may never be recovered if this condition is not met on subsequent dates.
The notes are automatically redeemed early if, on any redemption determination date starting August 30, 2027, the closing level of each underlier is at or above its call threshold level, set at 90% of its initial level, paying principal plus the current and any previously unpaid contingent coupons. If not redeemed early, investors receive $1,000 principal at maturity, plus any final and previously unpaid contingent coupons only if all underliers are at or above their coupon barriers on the final observation date. The issuer’s estimated value on the pricing date is approximately $943.80 per note, lower than the issue price due to structuring, hedging and distribution costs, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk and limited secondary-market liquidity.
Morgan Stanley (MS), via Morgan Stanley Finance LLC, is offering Contingent Income Auto-Callable Notes due August 26, 2031 linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each note has a $1,000 stated principal amount and issue price, and is fully and unconditionally guaranteed by Morgan Stanley.
Holders may receive a 10.50% per annum contingent coupon, paid monthly only when the index’s closing level on the relevant observation date is at or above 85% of the initial level. Starting August 23, 2027, the notes are automatically redeemed if on a redemption determination date the index closes at or above 100% of the initial level, paying principal plus the contingent coupon and then terminating.
If never called, at maturity investors receive the stated principal amount plus the final contingent coupon if the index meets the barrier on the final observation date. The notes do not participate in any index upside, are unsecured and subject to Morgan Stanley’s credit risk, have an estimated value of approximately $964.70 per note on the pricing date, and are not expected to be listed, which may limit liquidity.
Morgan Stanley (MS), via Morgan Stanley Finance LLC, is offering Performance Leveraged Upside Securities (PLUS) linked to the S&P 500® Index, maturing December 3, 2027. The notes pay no interest and have a stated principal amount of $1,000 per PLUS, with a 300% leverage factor on index gains.
At maturity, if the S&P 500 final value exceeds the initial value, investors receive $1,000 plus 300% of the index percent increase, capped at a maximum payment of $1,153.00 per PLUS (115.30%). If the final index value is less than or equal to the initial value, payment equals $1,000 times the index performance factor, with no minimum payment, so the entire investment can be lost.
The PLUS will not be listed on any exchange, and secondary trading may be limited. The estimated value on the pricing date is approximately $971.40 per PLUS, below the $1,000 issue price, reflecting embedded selling, structuring and hedging costs. All payments are unsecured and subject to the credit risk of Morgan Stanley Finance LLC and its guarantor, Morgan Stanley.
Morgan Stanley (MS is guaranteeing Auto-Callable Trigger PLUS notes issued by Morgan Stanley Finance LLC, linked to an equally weighted basket of ten U.S. and foreign stocks, maturing on September 6, 2028. Each security has a $1,000 stated principal amount and pays no interest.
The notes may be automatically redeemed on the first determination date, September 8, 2027, for an early redemption payment of $1,164 per $1,000 security if the basket value is at or above its initial level of 100. If not called, at maturity investors receive $1,000 plus 150% of any basket gain, $1,000 if the final basket value is between 80 and 100, or a loss on a 1-to-1 basis if the final basket value falls below the 80 downside threshold level, potentially resulting in a total loss.
The basket holds 10 components (including AMZN, COHR, GLW, LIN, MP, NOC, NVDA, RBC, RKLB and SPCX), each at 10% weighting. The estimated value on the pricing date is approximately $920.40 per security (within $35), reflecting issuing, selling, structuring and hedging costs. All payments are subject to the credit risk of MSFL and Morgan Stanley, and the notes are principal-at-risk, unsecured, and not FDIC insured.