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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 amends the preliminary pricing supplement for variable income auto-callable notes due July 16, 2029, fully guaranteed by Morgan Stanley. The notes pay a variable coupon (higher 7.80% or lower 0.25%) based on observation-date performance of three underliers (Alphabet Class C, Meta Class A, Microsoft). The notes auto-redeem if all underliers meet call thresholds on a redemption determination date; otherwise investors receive stated principal at maturity. All payments are unsecured and subject to Morgan Stanley credit risk; the estimated pricing-date value was approximately $976.40 per note.
Morgan Stanley Finance LLC is offering Principal at Risk notes due July 5, 2030 that are fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and the payment at maturity is linked to the worst performing of the Dow Jones Industrial Average, the Nasdaq-100 Index and the Russell 2000 Index. If the worst performing underlier finishes at or above its downside threshold (70% of initial level), investors receive the stated principal plus a fixed $446.50 upside payment (44.65%). If any underlier finishes below its downside threshold, the payout equals principal multiplied by the performance factor of the worst performing underlier, so holders could lose part or all of their principal. The offering size is an aggregate of $255,000, priced at $1,000 per security, with an estimated value on the pricing date of $985.30 per security. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced Principal at Risk notes linked to the Roundhill Magnificent Seven ETF with automatic early redemption through June 26, 2031. The securities have a stated principal amount of $1,000 per security, an issue price of $1,000, and an estimated value on the pricing date of $960.50.
The notes pay no interest, expose investors to Morgan Stanley credit risk, and are auto‑callable beginning on the first determination date of July 2, 2027 if the underlier closes at or above the call threshold of $61.60. If not called, maturity payments are either $1,575.00 if the final level is at or above the downside threshold ($43.12) or a principal amount equal to the stated principal multiplied by the performance factor (final level/initial level), which could result in a total loss of principal.
Morgan Stanley Finance LLC is offering $650,000 aggregate principal of Principal at Risk auto-callable securities due January 3, 2028, linked to Dell Technologies Inc. Class C common stock. The securities pay a contingent coupon at an annual rate of 34.36% on observation dates when the underlier is at or above the coupon barrier.
The initial level is $414.61, the coupon barrier and downside threshold are $248.766 (60% of initial), and the call threshold is $414.61 (100% of initial). Each security has a $1,000 issue price, an estimated value on the pricing date of $968.10, and will automatically redeem early if call conditions are met on any redemption determination date.
Morgan Stanley Finance LLC priced contingent income auto-callable securities linked to Netflix, Inc. common stock with a stated principal of $1,000 per security and aggregate principal of $2,716,000. The notes pay a contingent coupon at an annual rate of 12.15% on each interest period only if the underlier meets the coupon barrier on the related observation date, are automatically redeemed if the underlier meets the call threshold of $71.40 on a redemption determination date, and mature on August 4, 2027. If not auto‑redeemed, holders receive principal at maturity only if the final level is at or above the downside threshold of $48.552 (68% of the initial level); otherwise payment is the stated principal multiplied by the performance factor (final level/initial level), which could result in significant loss of principal. Estimated value at issuance was $965.10 per security; the issue price is $1,000 with a $15 sales commission per security.
Morgan Stanley Finance LLC issues Principal-at-Risk contingent-income auto-callable securities linked to Astera Labs, Inc. common stock with a stated principal amount of $1,000 per security and an aggregate principal amount of $507,000. The notes pay a contingent coupon at an annual rate of 52.00% on each coupon payment date only if the closing level of the underlier on the related observation date is at or above the coupon barrier of $241.51 (50% of the initial level). The securities are automatically redeemed early if the closing level on a redemption determination date is at or above the call threshold of $483.02 (100% of the initial level), in which case holders receive principal plus the contingent coupon for that period. If not redeemed and the final level at maturity is below the downside threshold of $241.51, payment at maturity equals principal multiplied by the performance factor (final level/initial level), exposing holders to potential significant principal loss. All payments are subject to Morgan Stanley Finance LLC credit risk and guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC is offering callable, principal-at-risk notes linked to the worst performing of GLD, GDX and GDXJ. Each security has a $1,000 stated principal amount and an issue price of $1,000.
The securities pay a 17.00% contingent coupon per annum only if the closing level of each underlier meets its coupon barrier on each observation date. The coupon barrier and buffer for each underlier equal 72.50% of its initial level (buffer amount 27.50%). If the worst performing underlier finishes below its buffer at maturity, principal is reduced by 1.3793% for each 1% decline beyond the buffer. The securities may be called beginning on October 2, 2026 and mature on January 4, 2027. Aggregate principal offered is $17,886,000 and estimated value on the pricing date was $992.90. All payments are subject to issuer and guarantor credit risk; there is no guaranteed return of principal.
Morgan Stanley Finance LLC priced a structured note offering of $1,500,000 aggregate principal through Buffered PLUS securities, $1,000 stated principal per security, linked to the worst performing of the Russell 2000® and the S&P 500® with a 126% leverage factor and a 20% downside buffer.
The securities pay no interest, are fully guaranteed by Morgan Stanley, have an estimated value on the pricing date of $974.70 per security, a minimum maturity payment of 20% of principal, and mature on July 5, 2030.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes tied to a five‑stock basket and fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000; the issuer estimates the securities' value on the pricing date at $923.30. The notes can auto‑redeem on scheduled determination dates if the basket meets call thresholds, paying fixed early redemption amounts that imply about 12.90% per annum. At maturity the payoff depends on the final basket level: a fixed upside payment of $1,387.00 if the final level is ≥90, return of principal if final level is ≥70 and <90, or a proportional loss below 70 (losses may be total). All payments are subject to Morgan Stanley's credit risk and the securities pay no interest and do not participate in upside beyond preset amounts.
Morgan Stanley Finance LLC priced and is issuing structured, principal-at-risk notes linked to the S&P 500® Futures Excess Return Index with an aggregate principal amount of $546,000. Each note has a stated principal amount of $1,000, an original issue price of $1,000 and a listed estimated value of $973.50 on the pricing date.
The notes pay no interest, are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley. They feature an automatic early redemption on the first determination date if the underlier meets the call threshold (first determination date: July 7, 2027), and a fixed early redemption payment of $1,191.50 per security. At maturity (July 3, 2031), payments depend on the final level vs the initial level (initial level: 600.73), with a 265% participation rate for upside and a downside threshold at 75% of the initial level, below which investors absorb losses pro rata.