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 an offering of principal-at-risk structured notes with an aggregate principal amount of $675,000, issued at $1,000 per security and fully guaranteed by Morgan Stanley.
The notes are linked to the worst performing of the Dow Jones Industrial, Nasdaq-100 and S&P 500, feature automatic early redemption beginning on March 25, 2027, fixed early redemption payments rising from $1,098 to $1,441, a maturity date of March 24, 2031, a final maturity payment of up to $1,490 if all call thresholds are met, and a downside threshold at 70% of each underlier's initial level (initial levels shown as INDU 46,021.43, NDX 24,355.28, SPX 6,606.49 on the strike date).
Morgan Stanley Finance LLC offers $2,000,000 of structured notes fully guaranteed by Morgan Stanley. The notes are Buffered Jump Securities due March 23, 2028 with a 20% buffer, 125% participation on upside and a 1.25 downside factor beyond the buffer.
The notes pay an early redemption payment of $1,265 per $1,000 if the basket closing level is >= the call threshold (100) on the first determination date (March 31, 2027). If not called, maturity payoff depends on final level: full principal if final level >= buffer level (80), enhanced principal with participation if final level > initial, or a leveraged loss if final level < buffer (payments could be zero). All payments are subject to Morgan Stanley credit risk; estimated value on pricing date was $972.00 per security.
Morgan Stanley Finance LLC offers Principal-at-Risk securities totaling $753,000, fully and unconditionally guaranteed by Morgan Stanley. The securities are issued in $1,000 denominations at an issue price of $1,000 per security, with an estimated value of $962.30 on the pricing date.
The securities are linked to the worst performing of AMZN, META (Class A) and MSFT. They feature an automatic early redemption determination on March 22, 2027 (early redemption date March 25, 2027) for an early redemption payment of $1,505 per security if each underlier is >= its call threshold. If not auto‑redeemed, maturity is March 22, 2029 with a 300% participation rate in upside of the worst performing underlier; a downside threshold of 60% of initial levels applies and losses can be up to the full principal if the worst underlier falls below that threshold.
Morgan Stanley Finance LLC priced a contingent-income, memory auto-callable note offering totaling $1,093,000 aggregate principal ($1,000 per security), due September 23, 2027, fully guaranteed by Morgan Stanley and linked to the common stock of RTX Corporation.
The securities pay a contingent coupon at an annual rate of 11.40% on observation dates only if the closing level of the underlier is at or above the coupon barrier level ($130.475, ~65% of the initial level). The notes auto-redeem if the closing level on any redemption determination date is at or above the call threshold ($200.73, 100% of the initial level). If not redeemed, repayment at maturity is the stated principal if the final level is at or above the downside threshold ($130.475); otherwise payment equals the stated principal multiplied by final/initial level, exposing investors to full downside (possible loss of principal).
The estimated value on the pricing date was $979.60 per security; price to public was $1,000 with an agent commission of $15 per security and proceeds to the issuer of $985 per security.
Morgan Stanley Finance LLC is offering Dual Directional Trigger PLUS notes due March 22, 2029 linked to the worst performing of the iShares® Bitcoin Trust ETF and iShares® Ethereum Trust ETF. The offering is in denominations of $1,000 per security with an aggregate principal amount of $531,000 and an issue price of $1,000 per security.
At maturity the payoff is based on the worst performing underlier: a 200% leveraged upside (capped at $3,770 per security) if both underliers finish above their initial levels; a capped positive absolute-return payout if the worst underlier declines but stays at or above its 70% downside threshold ($27.874 for IBIT and $11.312 for ETHA); and a pro rata loss of principal (1% loss per 1% decline) if the worst underlier finishes below its downside threshold. Initial levels were $39.82 (IBIT) and $16.16 (ETHA). All payments are subject to issuer and guarantor credit risk and there is no guaranteed principal or interest.
Morgan Stanley Finance LLC prices Principal at Risk Securities linked to the MSCI Emerging Markets Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, a 100% participation rate, a 10% buffer, a maximum payment at maturity of $1,491, and a minimum payment of 10 of principal. The strike date is March 25, 2026, the observation date is March 27, 2028 (subject to postponement), and the maturity date is March 30, 2028. The securities pay no interest, expose holders to issuer credit risk, may result in significant principal loss if the final level is below the buffer, and have an estimated value on the pricing date of approximately $967.90 per security.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes linked to the common stock of Broadcom Inc. with a $1,000 stated principal amount per security and an aggregate principal amount of $600,000. The securities pay a 15.60% contingent annual coupon on specified observation dates and may be automatically redeemed early if the underlier meets the call threshold. If not redeemed, principal at maturity is protected only above a buffer level of $213.253 (approximately 67.50% of the initial level); declines beyond the buffer expose investors to losses multiplied by a downside factor of 1.4814. The estimated value on the pricing date was $982.80 per security and the issue price is $1,000 (agent commissions reduce proceeds to the issuer). All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC offers Structured Investments — Contingent Income Memory Buffered Auto-Callable Securities linked to Amazon.com, Inc. common stock, fully guaranteed by Morgan Stanley. The offering totals $540,000 aggregate principal at an issue price of $1,000 per security and estimated value $982.20 on the pricing date.
The notes pay a contingent coupon at an annual rate of 11.92% on observation dates if the closing level meets the coupon barrier ($157.403, ~75% of initial). They may auto-redeem if the closing level meets the call threshold ($209.87), with observation dates on 6/30/2026, 9/30/2026, 12/31/2026, and final observation 3/31/2027 (maturity 4/5/2027.
If not redeemed, maturity payoff returns principal if final level ≥ buffer ($157.403); if final level < buffer, payment reduces by 1.3333% of principal for each 1% decline beyond the 25% buffer, potentially to zero. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS securities due March 30, 2028 with a $1,000 stated principal amount per security. The payoff is linked to the worst performing of the Dow Jones Industrial Average and the S&P 500. Key terms: $1,000 issue price; 105% leverage factor on upside; 100% absolute return participation rate; 15% buffer (buffer level = 85% of initial level); minimum payment at maturity of 15% of principal. Estimated value on the pricing date is approximately $984.30 per security. All payments are subject to MSFL's and Morgan Stanley's credit risk; these securities pay no interest and can return less than principal if the worst performing underlier falls below the buffer on the observation date.
Morgan Stanley Finance LLC is offering $250,000 aggregate principal amount of Trigger PLUS notes due September 23, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an issue price of $1,000.
The securities return is linked to the worst performing of the EURO STOXX 50®, iShares MSCI EAFE ETF and iShares MSCI Emerging Markets ETF. They pay no interest, have a 195% leverage factor for upside, a downside threshold equal to 70% of each initial level, an estimated value on the pricing date of $971.90, and carry full issuer credit risk.