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 issuing contingent income auto-callable securities linked to the American depositary shares of Novo Nordisk A/S, fully guaranteed by Morgan Stanley. The notes have a $1,000 stated principal per security and an aggregate principal amount of $971,000.
Investors may receive a contingent coupon at 11.50% per annum, paid only if on each observation date the underlier’s closing level is at or above the coupon barrier level of $29.301 (62% of the initial level). The securities are automatically redeemed at par plus the contingent coupon if the underlier closes at or above the call threshold of $47.26 (100% of the initial level) on any redemption determination date starting February 8, 2027.
If not called, and on the final observation date the underlier is at or above the downside threshold of $29.301, investors receive principal back (plus any final coupon). If it is below that level, repayment is reduced one-for-one with the underlier’s decline, potentially to zero. All payments depend on Morgan Stanley’s and MSFL’s credit; the estimated value on the pricing date is $974.30 per $1,000 note.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities due February 10, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $535,000.
The notes pay a 10.00% per annum contingent coupon, but only when the Nasdaq-100, Russell 2000 and S&P 500 indexes are each at or above their respective coupon barrier levels, set at 70% of their initial levels. The notes are automatically redeemed if, on specified redemption determination dates starting February 8, 2027, all three indexes are at or above their initial levels, returning principal plus the applicable coupon.
If not called and, on the final observation date, each index is at or above its downside threshold (70% of initial), investors receive full principal back plus any final coupon. If any index finishes below its downside threshold, repayment is reduced in proportion to the worst-performing index, down to zero in a severe decline. The estimated value on the pricing date is $978.10 per security, reflecting offering costs and issuer pricing.
Morgan Stanley Finance LLC is issuing $644,000 of Contingent Income Memory Auto-Callable Securities due August 10, 2029, linked to the Class A common stock of Space Exploration Technologies Corp., fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price.
The notes pay a contingent coupon at 17.10% per annum, but only when the underlier’s closing level on an observation date is at or above the coupon barrier level of $66.555, with unpaid coupons potentially paid later if the barrier is met. They auto-call at par plus applicable coupons if the underlier closes at or above the call threshold of $133.11 on any redemption determination date from February 8, 2027. If held to maturity and the final level is at or above the downside threshold of $66.555, investors receive par plus any due coupons; if below, repayment is reduced in full proportion to the underlier’s decline, potentially to zero. The estimated value on the pricing date is $930.10 per security, reflecting issuance, structuring and hedging costs borne by purchasers.
Morgan Stanley Finance LLC is issuing Enhanced Buffered Jump Securities, principal-at-risk notes fully and unconditionally guaranteed by Morgan Stanley, linked to an equally weighted basket of seven semiconductor-related stocks. The notes have a $1,000 stated principal amount, an aggregate principal of $7,332,000, and pay no interest.
At maturity on August 26, 2027, if the basket’s final level is at or above the 80% buffer level, investors receive principal plus a fixed upside payment of $182.20 per note (an 18.22% return). If the final level falls below the buffer, repayment is reduced by 1.25% of principal for each 1% decline beyond the 20% buffer, with no minimum payment, so the entire investment can be lost.
The notes are unsecured obligations of MSFL, subject to Morgan Stanley credit risk, and the estimated value on the pricing date is $987.70 per note, below the issue price, reflecting embedded costs. Liquidity is not assured, and tax treatment is complex, with U.S. federal income tax consequences described as uncertain.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due August 10, 2029, fully and unconditionally guaranteed by Morgan Stanley, linked to Apple Inc. common stock. The tranche totals $300,000, issued at $1,000 per security, with an estimated value on the pricing date of $973 per security.
Investors receive a 9.20% per annum contingent coupon only when Apple’s closing price on an observation date is at or above the coupon barrier level of $219.331 (70% of the initial level $313.33). The notes auto-call at par plus coupon if, on any redemption determination date starting August 10, 2027, Apple’s closing level is at or above the call threshold of $313.33.
If not called, and on the final observation date Apple is at or above the downside threshold of $219.331, investors receive principal plus any final contingent coupon. If Apple is below the downside threshold, repayment equals stated principal × (final level ÷ initial level), causing a 1% loss of principal for each 1% decline, down to zero. The unsecured securities are subject to Morgan Stanley’s credit risk, limited liquidity, and uncertain, potentially adverse tax treatment.
Morgan Stanley Finance LLC is offering $3,185,000 of Jump Securities with an auto-callable feature, at $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes are linked to Alphabet Inc. Class A common stock and pay no interest.
The notes may be automatically redeemed starting on August 16, 2027 if Alphabet’s closing level is at or above the $354.30 call threshold (100% of the initial level) on a determination date, for fixed cash payments that correspond to a return of approximately 13.00% per annum. If held to August 12, 2031 and not previously redeemed, investors receive $1,650 per security if the final level is at or above the call threshold; the $1,000 principal only if the final level is below the call threshold but at or above the $230.295 downside threshold (65% of the initial level); and $1,000 × (final level / initial level) if the final level is below the downside threshold, exposing investors to a 1-for-1 loss that can reach zero.
The estimated value on the pricing date is $948.40 per security, below the issue price, reflecting structuring and distribution costs. All payments depend on the credit of MSFL and Morgan Stanley, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC is offering Buffered Jump Securities with an auto-call feature linked to the worst performer of the EURO STOXX 50® Index and the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, with an aggregate principal of $1,445,000, and an issue price of $1,000, while the estimated value on the pricing date is $946.70.
The notes may be automatically redeemed on 16 scheduled determination dates starting August 10, 2027 if both underliers are at or above their call thresholds (100% of initial levels), paying fixed early redemption amounts from $1,100 up to $1,475 per security, corresponding to about 10% per annum
If not called, at maturity in August 2031 investors receive $1,500 per security if both underliers are at or above their call thresholds; return of principal if both are above 85% of initial levels (the 15% buffer); otherwise, principal is reduced 1% for each 1% decline of the worst underlier beyond the buffer, subject to a minimum payment of 15% of principal. The notes pay no interest, offer no participation in upside, are subject to principal at risk, limited liquidity, valuation and issuer credit risks, and complex U.S. tax treatment.
Morgan Stanley Finance LLC is issuing Contingent Income Memory Auto-Callable Securities due August 10, 2028, linked to the iShares® Semiconductor ETF, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $1,135,000. The notes are unsecured, principal-at-risk obligations that do not guarantee any repayment of principal.
Investors may receive a 15.57% per annum contingent coupon, payable only if the ETF’s closing level on an observation date is at or above the coupon barrier level of $271.635, 50% of the initial level of $543.27. The same 50% level is the downside threshold; if at maturity the final level is below this threshold and the notes have not been called, repayment is reduced in proportion to the ETF’s decline and can be zero. The notes are automatically redeemable from February 8, 2027 onward if the ETF is at or above the initial level, paying principal plus due and unpaid coupons. The estimated value on the pricing date is $975.80 per security, below the issue price, reflecting fees, structuring and hedging costs.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due September 10, 2027, linked to the American depositary shares of Novo Nordisk A/S, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, with an aggregate offering size of $743,000, and an issue price of $1,000. The estimated value on the pricing date is $989 per security, reflecting issuing, selling, structuring and hedging costs borne by investors.
The notes pay a contingent coupon at 13.75% per annum on scheduled coupon dates only when the underlier’s closing level on the related observation date is at or above the coupon barrier of $29.301, which is 62% of the $47.26 initial level. They are subject to automatic early redemption on specified dates starting February 8, 2027 if the underlier is at or above the $47.26 call threshold (100% of the initial level), in which case investors receive principal plus the applicable coupon and no further payments. If held to maturity without early redemption, investors receive principal (plus any final coupon) if the final level is at or above the same $29.301 downside threshold; otherwise, the payoff equals $1,000 times the performance factor, exposing investors to a 1% loss of principal for each 1% decline in the underlier, down to a potential zero payment. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley.
Morgan Stanley Finance LLC is offering Enhanced Buffered Jump Securities, principal-at-risk notes linked to the Class A common stock of Meta Platforms, Inc., fully and unconditionally guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount, aggregate principal of $2,000,000, and mature on August 25, 2027.
The notes pay no interest and do not guarantee repayment of principal. If the final Meta stock level on the observation date is at or above the 80% buffer level of $473.68, investors receive $1,000 plus a fixed upside payment of $165.50 per note, regardless of how much the stock has appreciated. If the final level is below the buffer level, repayment is reduced by 1.25% of principal for every 1% decline beyond the 20% buffer, with no minimum payment; the amount repaid can be zero.
The initial Meta stock level is $592.10. The issue price per security is $1,000, including selling, structuring and hedging costs, while the estimated value on the pricing date is $984.00. All payments depend on the credit of Morgan Stanley Finance LLC and Morgan Stanley, and secondary market liquidity may be limited.