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, fully guaranteed by Morgan Stanley, is offering Enhanced Buffered Jump Securities maturing on May 28, 2027, linked to the common stock of SoFi Technologies, Inc.
Each $1,000 security pays no interest. At maturity, if SoFi’s final stock level is at or above 75% of its initial level (the buffer level), investors receive $1,000 plus a fixed upside payment of $272.50, a 27.25% return, regardless of how much the stock has risen. If the final level falls below 75% of the initial level, investors lose 1% of principal for each 1% decline beyond the 25% buffer, but not below the minimum repayment of 25% of principal.
The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and are expected to have an estimated value on the pricing date of approximately $977.80 per security due to embedded issuance, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-call feature linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each note has a $1,000 stated principal amount and is issued at $1,000.
The notes may be automatically redeemed on March 2, 2027 for $1,260 per security if the index on February 25, 2027 is at or above 100% of its initial level. Otherwise, at maturity in February 2031, investors get $1,000 plus a 330% participation in any index gain, only $1,000 if the index is between 50% and 100% of its initial level, or a proportional loss of principal if the index finishes below 50%, potentially down to zero. All payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes linked to the iShares® Expanded Tech-Software Sector ETF. Each security has a $1,000 stated principal amount and may be automatically redeemed on March 3, 2027 if the ETF closes at or above 100% of its initial level on February 26, 2027, paying an early redemption amount of $1,175.10.
If not called, at the February 17, 2028 maturity investors receive the principal plus 125% of any ETF gain, full principal back if the ETF is down by up to 15%, and a leveraged loss of 1.1765% for each 1% decline beyond that buffer. The estimated value on the pricing date is approximately $974.40 per security, reflecting issuance, structuring and hedging costs borne by investors. All payments depend on Morgan Stanley’s credit and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Buffered Jump Securities with an auto-call feature linked to the worst performer of Walmart, Alphabet Class A and Amazon common stock, maturing on February 23, 2029.
The notes have a $1,000 stated principal amount, no periodic interest, and an estimated value on the pricing date of approximately $974 per security, reflecting issuance, structuring and hedging costs. The securities are automatically redeemed on March 3, 2027 for an early redemption payment of $1,630 per security if, on February 26, 2027, each underlier’s closing level is at or above 100% of its initial level.
If not called and each final underlier level is above its initial level, investors receive principal plus an upside payment equal to 300% of the worst performer’s positive return. If any underlier finishes at or below its buffer level of 80% of its initial level, repayment of principal is reduced one-for-one beyond the 20% buffer, subject to a minimum payment at maturity of 20% of principal. All payments depend on Morgan Stanley’s credit, and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Contingent Income Memory Auto-Callable Securities due August 23, 2027, linked to the iShares® Expanded Tech-Software Sector ETF.
Each $1,000 security pays a contingent coupon at a 14.48% annual rate, but only if the ETF’s closing level on an observation date is at or above a 75% coupon barrier; missed coupons can be paid later if the barrier is subsequently met. The notes may be automatically redeemed on specified dates if the ETF is at or above 100% of its initial level, returning principal plus due coupons.
If not called, and the final ETF level is at or above a 75% downside threshold, investors receive principal back (plus any payable coupons). If the final level is below this threshold, repayment is reduced 1% for each 1% ETF decline, potentially to zero. The estimated value on the pricing date is approximately $978.90 per $1,000 security, the notes are unsecured, unlisted, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering partial principal at risk notes linked to the performance of the SPDR® Gold Trust (GLD), fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and return only a partial principal amount at maturity if gold prices fall sharply.
At maturity in August 2027, holders receive $1,000 plus 100% of any gain in GLD, capped at a maximum payment of $1,164.70 per note. If GLD declines, principal is reduced 1% for each 1% drop, but not below a partial principal return amount of 95% of principal.
The estimated value on the pricing date is approximately $980.40 per note, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes are unsecured, not listed on any exchange, subject to Morgan Stanley’s credit risk, and may have limited or illiquid secondary trading.
Morgan Stanley Finance LLC is issuing $1,000,000 of Buffered Jump Securities, principal-at-risk notes linked to the worst performer of the iShares® Expanded Tech-Software Sector ETF (IGV) and the Global X Copper Miners ETF (COPX), maturing on August 2, 2027.
The notes pay no interest. If the final level of each ETF is at or above its initial level, investors receive $1,000 plus a fixed upside payment of $410 per security, a 41% gain. If the worst-performing ETF finishes below its initial level but at or above 75% of its initial level, investors receive only the $1,000 principal.
If the worst-performing ETF ends below 75% of its initial level, repayment is reduced 1% for each 1% decline beyond the 25% buffer, with a minimum payment of 25% of principal. The minimum payout is $250 per $1,000 security. The estimated value on the pricing date is $961.40 per security, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate. All payments depend on Morgan Stanley’s and MSFL’s ability to meet their obligations.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk autocallable notes linked to the VanEck Gold Miners ETF, with a total public offering price of $4,915,000 and $10 principal per unit.
The notes may be automatically called after about one year at $12.135 per unit if the ETF is at or above its starting level, capping returns at the 21.35% call premium. If not called, at maturity investors get 150% of any ETF gain. If the ETF is flat to down but not below 70% of the starting value, they earn the absolute value of that decline, up to a 30% positive return. Below the 70% threshold, losses match the ETF decline from the starting value, up to a total loss of principal.
The initial estimated value is $9.717 per unit, below the $10 issue price due to structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes pay no interest, do not distribute dividends from the ETF, have limited secondary market liquidity, and all payments are subject to the credit risk of MSFL and Morgan Stanley.
Morgan Stanley Finance LLC is offering principal-at-risk callable contingent income securities maturing in February 2029, linked to the worst-performing of Campbell Soup, Humana and UnitedHealth Group stocks. Each security has a $1,000 stated principal and total aggregate principal of $870,000.
Investors can receive a contingent coupon at an annual rate of 25.45%, paid only if on each observation date all three stocks stay at or above their coupon barrier levels, set at 70% of initial levels. If any stock is below its barrier on an observation date, no coupon is paid for that period.
Starting February 11, 2027, the notes are callable on set quarterly dates if a risk‑neutral valuation model deems early redemption economically rational for Morgan Stanley, in which case investors receive principal plus any due coupon and no further payments. At maturity, if the notes have not been called and each stock is at or above its downside threshold (set at 60% of its initial level), principal is repaid, plus any final coupon. If any stock finishes below its downside threshold, repayment is reduced one-for-one with the decline of the worst performer and can fall to zero.
Morgan Stanley Finance LLC offers Principal at Risk callable contingent income securities with a $3,627,000 aggregate principal amount. The securities, fully and unconditionally guaranteed by Morgan Stanley, have a stated principal amount of $1,000 per security and an original issue price of $1,000 per security.
The notes pay a contingent coupon at an annual rate of 10.80% on each coupon payment date only if the closing level of each underlier meets its coupon barrier on the related observation date, and are linked to the worst performing of four underliers. If not called, maturity is February 9, 2029, with potential principal loss tied to the worst performing underlier; estimated value at pricing was $962.90 per security.