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 Principal at Risk securities linked to the Roundhill Magnificent Seven ETF. The securities have a $1,000 stated principal amount, an original issue price of $1,000 and an estimated value of $961 on the pricing date. The securities mature on March 20, 2031 with the observation date on March 17, 2031.
The payout at maturity is threefold: if the final level is above the initial level (initial level $60.88), investors receive principal plus 100% upside up to a maximum upside payment $2,757.50; if the final level is between the initial level and the buffer level $45.66 (75% of initial), investors receive principal plus an absolute return up to 25%; if the final level is below the buffer, investors suffer losses beyond the 25% buffer with a minimum payment at maturity of 25% of principal. All payments are subject to issuer credit risk and the guarantee of Morgan Stanley.
Morgan Stanley Finance LLC priced $8,500,000 aggregate principal of Structured Investments Jump Securities with an auto-callable feature, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an issue price of $1,000; estimated value on the pricing date was $939.20 per security.
The securities reference the Nasdaq-100® Technology Sector Index (NDXT) and the S&P 500® Index (SPX) and are linked to the worst performing underlier. Automatic early redemption begins on the first determination date March 18, 2027, with fixed early redemption payments that rise across up to 16 determination dates. Downside protection is limited: the downside threshold for each underlier is 90% of its initial level, and investors may lose their principal if the worst performing underlier falls below that level at maturity on March 20, 2031.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities linked to JPMorgan Chase & Co. common stock, fully and unconditionally guaranteed by Morgan Stanley. The issue is $1,000 per security with an aggregate principal amount of $443,000. The securities pay a contingent coupon at an annual rate of 12.10% only when the underlier meets the coupon barrier on observation dates, feature automatic early redemption if the underlier reaches the call threshold, and expose investors to full downside below a 75% downside threshold. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC priced contingent income auto-callable securities totaling $1,777,000, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an original issue price of $1,000.
The securities reference the worst performing of the Dow Jones Industrial Average, the Nasdaq-100® Technology Sector and the Russell 2000® Index. They pay a contingent coupon at an annual rate of 9.80% only if the closing level of each underlier is at or above its coupon barrier on an observation date. The notes are automatically redeemed early if all underliers meet or exceed their call thresholds on a redemption determination date; otherwise, at maturity investors either receive principal if each underlier is at or above its 70% downside threshold or suffer a loss tied to the worst performing underlier (losses of 1% in principal per 1% decline).
Morgan Stanley Finance LLC offers principal-at-risk notes linked to Microsoft stock, guaranteed by Morgan Stanley. The offering comprises $1,000 per security with an aggregate principal of $3,325,000, issued at $1,000 (estimated value $965 on pricing). The notes mature March 21, 2029 and feature a contingent coupon at an annual rate of 10.25%, paid only if the underlier meets a coupon barrier of $299.963 (approximately 75% of the initial level) on observation dates. The notes are automatically callable if the underlier is at or above the call threshold of $399.95 (100% of the initial level) on redemption determination dates; otherwise investors face principal loss pro rata if the final level is below the downside threshold of $299.963. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Buffered PLUS principal-at-risk securities due April 1, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $961.80.
The payout depends on a performance-allocation basket of the DAX, IBEX 35 and CAC 40 measured on the observation date March 27, 2031. A 20% buffer protects against losses up to that threshold; if the basket performance factor is positive investors receive principal plus a leveraged upside (leverage factor 111.60%); if the basket performance factor falls below the buffer, investors incur a proportional loss. The minimum payment at maturity is 20% of principal.
Morgan Stanley Finance LLC is offering an aggregate principal amount of $639,000 of Structured Investments — Buffered Participation Securities tied to the MSCI EAFE Index, with a stated principal amount of $1,000 per security. The securities mature on March 16, 2028 and are fully and unconditionally guaranteed by Morgan Stanley.
Key economic terms: participation rate of 100%, a buffer equal to 10% of the initial level (initial level 2,901.06), and a minimum payment at maturity of 10% of the stated principal. If the final level is below the buffer, holders lose 1% for each 1% decline beyond the buffer. The estimated value on the pricing date was $976.90 per security; issue price is $1,000.
Morgan Stanley Finance LLC is offering Trigger Autocallable GEARS linked to the S&P 500® Index that mature on March 20, 2031, guaranteed by Morgan Stanley. The securities have an Initial Level of 6,699.38, an Autocall Barrier equal to that level, a Downside Threshold of 5,024.54 (approximately 75% of the Initial Level), Upside Gearing of 1.50, and an annual Call Return Rate of 13.30%. If the Observation Date Closing Level on March 23, 2027 is at or above the Autocall Barrier, the issuer will automatically call and pay a fixed Call Price of $11.33 per $10 Security. If not called, maturity outcomes depend on the Final Level on the Final Valuation Date (March 17, 2031): positive Underlying Return yields leveraged upside at maturity; negative returns can cause partial or total loss of principal if the Final Level is below the Downside Threshold. Issue Price is $10.00 (estimated value on Trade Date ~$9.903); minimum investment is 100 Securities. All payments are subject to Morgan Stanley credit risk and other risks described in the preliminary pricing supplement.
Morgan Stanley Finance LLC priced $1,850,000 aggregate of Structured Investments — Principal at Risk securities fully and unconditionally guaranteed by Morgan Stanley. The notes have a March 16, 2028 maturity and $1,000 stated principal amount per security.
The underlier is a basket (Apollo, Blackstone, Ares, KKR; equal 25% weights) with an initial level of 100, a buffer of 15% (buffer level 85), a downside factor of 1.1765, a participation rate of 150%, an upside payment of $535, and an automatic early redemption if the first determination date closes at or above the call threshold of 100, in which case the early redemption payment is $1,267.50 per security on the early redemption date. The estimated value on the pricing date was $971 per security.
Morgan Stanley Finance LLC is offering $220,000 aggregate principal amount of Structured Investments — Buffered Participation Securities linked to the worst performing of the Dow Jones Industrial Average, the Nasdaq-100 Index and the S&P 500 Index.
Each $1,000 security pays no interest, has a 100% participation rate, a 30% buffer, a maximum payment at maturity of $1,152 and a minimum payment at maturity of 30%. The securities observe levels on April 12, 2027 and mature on April 15, 2027. Payments are based solely on the worst performing underlier and are subject to Morgan Stanley Finance LLC credit risk and Morgan Stanley’s guarantee.