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 prices Principal-at-Risk notes totaling $3,933,000. The securities are $1,000-denomination callable contingent income notes due March 9, 2029, fully guaranteed by Morgan Stanley. They pay a contingent coupon of 7.95% per annum only if each underlier—INDU, NDX, and SPX—meets its coupon barrier on observation dates. Early redemption may occur beginning March 11, 2027 if a risk-neutral valuation model indicates it is economically rational for the issuer. At maturity, if the worst performing underlier is below its 60% downside threshold, principal is reduced pro rata to that underlier’s performance; losses could be total.
Morgan Stanley Finance LLC offers Principal at Risk securities due April 1, 2030 fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at an annual rate of 21.75% subject to monthly observation-date tests and may be called early based on a risk neutral valuation model.
The securities return the $1,000 stated principal at maturity only if the final level of each underlier is at or above its downside threshold (60% of its initial level); otherwise investors lose an amount equal to the decline in the worst performing underlier. Underliers are the Nasdaq-100® Technology Sector, the Russell 2000® Index and the VanEck® Semiconductor ETF. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC offers Buffered PLUS notes fully and unconditionally guaranteed by Morgan Stanley that reference a three-component basket (S&P 500®, EURO STOXX 50® and iShares MSCI Emerging Markets ETF). Each security has a $1,000 stated principal, 115% leverage factor, a 20% buffer and a March 25, 2031 maturity.
Payment at maturity depends on the final level versus the initial level and buffer: investors receive principal plus leveraged upside if the final level is higher, principal if the final level is between the buffer and initial level, and a pro rata loss beyond the buffer down to a 20% minimum payment. All payments are subject to issuer credit risk and pricing includes issuance, structuring and hedging costs.
Morgan Stanley Finance LLC amends Pricing Supplement No. 13,368 for a primary offering of Contingent Income Memory Auto-Callable Securities due January 18, 2028 with an aggregate principal amount of $1,030,000 at $1,000 per security.
The securities pay a contingent coupon at an annual rate of 9.00% subject to observation-date barriers (coupon barrier = 60% of initial levels) and are auto‑callable if each underlier meets a call threshold (100% of initial level) on specified redemption dates beginning April 13, 2026. Payment at maturity depends on the worst performing underlier (downside threshold = 60%); investors may lose principal and receive no coupons. Estimated value on the pricing date was $974.30; agent commission was $20 per security and proceeds to issuer were $980 per security.
Morgan Stanley Finance LLC is offering Principal at Risk structured notes due April 22, 2027, fully guaranteed by Morgan Stanley, linked to the worst performing of the S&P 500®, Nasdaq-100® and Russell 2000® indices. Each security has a stated principal amount of $1,000 and an issue price of $1,000; the estimated value on the pricing date is approximately $985.50.
At maturity the payout depends solely on the worst performing underlier: if each underlier is at or above its downside threshold (70% of initial level), holders receive principal plus a fixed upside payment (at least 12.00%). If any underlier is below its downside threshold, the payment equals principal times the performance factor of the worst performing underlier, and could be significantly less or zero. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering Buffered PLUS notes linked to the iShares MSCI EAFE ETF (EFA) with a stated principal amount of $1,000 per security. The securities provide 114.40% leverage on upside above the initial level, a 10% buffer against losses, and a 10% minimum payment at maturity. Payment depends on the closing final level on the observation date of March 23, 2029. The securities pay no interest, are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an annual contingent coupon rate of 8.00%, payable only if both underliers meet coupon barrier tests on observation dates.
The notes reference the State Street® Energy Select Sector SPDR® ETF (XLE) and the State Street® SPDR® S&P® Oil & Gas Exploration & Production ETF (XOP), feature automatic early redemption on specified redemption determination dates if both underliers meet call thresholds (100% of initial level), and expose investors to principal loss at maturity if the worst performing underlier falls below a downside threshold (60% of initial level). The pricing and strike dates are March 24, 2026 and the maturity date is September 29, 2027. The estimated value on the pricing date is approximately $966.50 per security.
Morgan Stanley Finance LLC priced a Preliminary Pricing Supplement for Trigger PLUS notes due March 27, 2031, issued at a stated principal amount of $1,000 per security and fully and unconditionally guaranteed by Morgan Stanley. The securities reference the S&P 500® Futures Excess Return Index and pay no interest.
Payments at maturity depend on the index closing level on the observation date: investors receive the stated principal plus a 203% leverage factor times the index appreciation if the final level is greater than the initial level; principal is fully at risk below a 70% downside threshold (losses pro rata), with no minimum payment. The estimated value on the pricing date was approximately $968.60 per security; the issue price includes underwriting, structuring, hedging and other costs.
Morgan Stanley Finance LLC is offering principal-at-risk, dual directional buffered jump securities tied to the S&P 500® Index with a $1,000 stated principal amount per security. The securities mature on April 15, 2031 and do not pay interest.
Key economic terms disclosed: an upside payment of $388.50 per security (38.85%), an absolute return participation rate of 400%, a buffer equal to 20% of the initial level, and a minimum payment at maturity of 20% of the stated principal. The estimated value on the pricing date is approximately $969.30 per security. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced Principal-at-Risk structured notes due March 20, 2031 with a $1,000 stated principal per security linked to the Roundhill Magnificent Seven ETF (Bloomberg: MAGS).
The notes offer 100% upside participation in the underlier, subject to a maximum upside payment of $2,757.50 (275.75% of principal). They include a 25% buffer (buffer level = 75% of initial level) and a 100% absolute return participation feature that can deliver a capped positive return if the final level is between the buffer level and the initial level. If the final level is below the buffer level, investors lose 1% of principal for each 1% decline beyond the buffer; the minimum payment at maturity is 25% of principal. The document shows an estimated value on the pricing date of approximately $965.30 per security. All payments are subject to Morgan Stanley's credit risk.