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 Trigger PLUS notes linked to the EURO STOXX 50® Index, fully and unconditionally guaranteed by Morgan Stanley, with a scheduled maturity on August 12, 2032. The notes have a $1,000 stated principal amount and pay no interest.
At maturity, if the index is above the initial index value of 6,523.86, holders receive $1,000 plus 190.50% of the index percent increase. If the index is at or below the initial level but at or above the trigger level of 4,240.509 (65% of the initial value), investors receive $1,000. If the final index value is below the trigger level, repayment is $1,000 multiplied by the index performance factor, so investors lose one percent of principal for each one percent index decline and may lose their entire investment.
The notes are unsecured obligations of MSFL under its global medium-term note program, subject to the credit risk of MSFL and Morgan Stanley. The issue price is $1,000 per note, with an estimated value of $949.20 on the pricing date and an aggregate principal amount of $37,546,000. The notes will not be listed on any securities exchange, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC is offering Enhanced Buffered Jump Securities, principal-at-risk notes linked to an equally weighted basket of seven semiconductor-related stocks, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays no interest.
At maturity on August 27, 2027, if the basket’s final level is at or above the 80% buffer level, investors receive $1,000 plus a fixed upside payment of $174.501.25% of principal for every 1% decline beyond the 20% buffer, with no minimum payment, so the entire investment can be lost. The notes are unsecured obligations subject to Morgan Stanley’s credit risk. The issue price is $1,000, while the estimated value on the pricing date is approximately $986.30 per security, reflecting issuance, selling, structuring and hedging costs. U.S. tax counsel views the notes as prepaid financial contracts with uncertain tax treatment, and the issuer currently expects Section 871(m) dividend-equivalent withholding not to apply.
Morgan Stanley Finance LLC is issuing Callable Contingent Income Securities due July 10, 2031, fully and unconditionally guaranteed by Morgan Stanley, with principal at risk. Each security has a stated principal amount and issue price of $1,000, for an aggregate principal amount of $1,997,000, linked to the worst performing of the Nasdaq-100 Index, Russell 2000 Index and S&P 500 Index.
The notes pay a contingent coupon at 11.20% per annum only if on an observation date the closing level of each index is at or above its coupon barrier (75% of its initial level). They are callable in whole on scheduled redemption dates if a risk neutral valuation model indicates early redemption is economically rational for the issuer, in which case investors receive principal plus any due coupon and no further payments.
If not redeemed and on the final observation date each index is at or above its downside threshold (70% of initial), investors receive full principal plus any final contingent coupon; otherwise, repayment is reduced in proportion to the decline of the worst-performing index, potentially to zero. The estimated value on the pricing date is $983.40 per security, below the $1,000 issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing $450,000 of Contingent Income Memory Auto-Callable Securities linked to the common stock of Advanced Micro Devices, Inc. (AMD), fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000.
The notes pay a 19.50% per annum contingent coupon, but only if AMD’s closing level on an observation date is at or above the coupon barrier level of $241.68 (50% of the initial level of $483.36). They are automatically redeemed if AMD is at or above the call threshold of $483.36 on specified redemption determination dates, returning principal plus due and previously unpaid coupons. If not redeemed and AMD’s final level is at or above the downside threshold of $241.68, investors receive principal back; if below, repayment is reduced in proportion to AMD’s decline, potentially to zero. The estimated value on the pricing date is $975.70 per security, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities, unsecured notes linked to the S&P 500® Index and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and does not guarantee repayment of principal.
At maturity on August 30, 2027, if the S&P 500 final level is at or above the downside threshold level of 88% of the initial level, investors receive $1,000 plus a fixed upside payment of $100 per security (a 10% return), regardless of how much the index has risen within that range. If the final level is below the downside threshold, the payment is $1,000 multiplied by the performance factor (final level ÷ initial level), producing a 1% loss of principal for each 1% decline in the index and potentially 0 repayment. The estimated value on the pricing date is approximately $986.10 per security, reflecting issuance, selling, structuring and hedging costs, and dealer commissions of up to $10 per $1,000. The notes are subject to Morgan Stanley’s and MSFL’s credit risk, limited liquidity, complex tax treatment, and various conflicts of interest.
Morgan Stanley Finance LLC is issuing $3,347,000 of Contingent Income Memory Buffered Auto-Callable Securities due August 25, 2027, linked to Capital One Financial Corporation common stock and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price.
Investors may receive a 16.36% per annum contingent coupon on scheduled payment dates, but only when the stock’s closing level is at or above the coupon barrier level of $185.096 (85% of the $217.76 initial level). The notes are auto-called at par plus applicable coupons if the stock is at or above the call threshold of $217.76 on specified redemption determination dates.
If not redeemed early, and the final level is at or above the buffer level of $185.096, investors receive principal plus any payable coupons. If the final level is below the buffer, maturity payment is reduced by 1.1765% for each 1% decline beyond the 15% buffer and can fall to zero. The estimated value on the pricing date is $985.90 per security, below the $1,000 issue price, reflecting issuance, structuring and hedging costs and issuer credit spreads. Principal is fully at risk and all payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley Finance LLC is offering $822,000 of Contingent Income Memory Buffered Auto-Callable Securities due July 12, 2029, fully and unconditionally guaranteed by Morgan Stanley, at $1,000 per security. The notes are linked to the worst performer of the State Street SPDR S&P Metals & Mining ETF (XME) and the VanEck Gold Miners ETF (GDX) and expose investors to principal-at-risk.
Investors may receive a contingent coupon at 8.00% per annum, payable only on observation dates when both ETFs close at or above 50% of their initial levels (coupon barrier levels of $57.87 for XME and $44.945 for GDX). The notes are auto-callable quarterly from August 9, 2027 if both underliers are at or above 100% of initial (call thresholds of $115.74 and $89.89), paying principal plus the due and any previously unpaid coupons.
If not called, at maturity investors receive full principal only if each ETF is at or above its 85% buffer level (XME $98.379, GDX $76.407). Otherwise, repayment is reduced 1% for each 1% decline of the worst underlier beyond the 15% buffer, with a minimum payment of 15% of principal. The estimated value on the pricing date is $939.80 per $1,000, reflecting embedded costs and issuer funding levels. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering $1,101,000 of principal-at-risk Jump Securities with an auto-call feature due August 12, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount and issue price of $1,000, with an estimated value on the pricing date of $979.10.
The notes are linked to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index. An automatic early redemption on August 15, 2028 pays $1,330 per security if each index is at or above its initial level. If held to maturity and all final index levels exceed their initial levels, investors receive principal plus a 300% participation in the worst underlier’s gain; if any finishes below its 70% downside threshold, repayment is reduced 1% for each 1% decline in the worst underlier, potentially to zero. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities due September 17, 2027, linked to the worst performance of the Nasdaq-100, Russell 2000 and S&P 500 indices, fully and unconditionally guaranteed by Morgan Stanley.
Each security has a $1,000 stated principal amount and pays no interest. At maturity, if each index is at or above 70% of its initial level, investors receive $1,000 plus a fixed upside payment of $114.50 (11.45%). If any index finishes below its downside threshold, repayment equals $1,000 multiplied by the performance of the worst-performing index, with a 1% loss of principal for each 1% decline, and the payment can be zero. The estimated value on the pricing date is approximately $990.50 per security, reflecting issuance, structuring and hedging costs and the issuer’s funding rate. The securities are unsecured, subject to Morgan Stanley’s and MSFL’s credit risk, and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC is offering $2,304,000 of Enhanced Trigger Jump Securities linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and exposes investors to principal at risk.
At maturity on August 12, 2031, if the index’s final level is at or above the upside threshold level$545 upside payment. If the final level is between the upside and downside threshold level
The issue price is $1,000 per security, while the issuer’s estimated value on the pricing date is $984.70, reflecting embedded issuing, selling, structuring and hedging costs and credit spreads. The notes are unsecured obligations of MSFL, subject to Morgan Stanley’s guarantee, and their value and secondary market liquidity are affected by the issuer’s credit, market volatility, index methodology changes and limited market-making by affiliates.