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 offering Performance Leveraged Upside Securities (PLUS) due February 15, 2029, fully and unconditionally guaranteed by Morgan Stanley and linked to the worst performer of the State Street Energy Select Sector SPDR ETF (XLE) and State Street Materials Select Sector SPDR ETF (XLB).
Each security has a $1,000 stated principal amount and pays no interest. If both ETFs finish above their initial levels on the February 12, 2029 observation date, investors receive $1,000 plus 298% of the percentage gain of the worst performing ETF. If either ETF is at or below its initial level, the maturity payment equals $1,000 times the performance of the worst performer, with a 1% loss of principal for every 1% decline and no minimum repayment, so the payment can be zero.
The preliminary estimated value on the pricing date is approximately $954.90 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes are unsecured obligations subject to Morgan Stanley’s credit risk and will not be listed on any securities exchange, so secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk “Jump Securities” linked to Microsoft common stock, with an auto-call feature and no interest payments. The notes may be automatically redeemed on February 22, 2027 for $1,202 per $1,000 if Microsoft’s stock closes at or above $414.19 on the February 17, 2027 determination date.
If not called, at maturity on February 9, 2028 investors receive $1,000 plus 125% of any stock appreciation if the final level exceeds the $414.19 initial level, only $1,000 if the final level is between 80% and 100% of that level, and a proportional loss of principal if it falls below the $331.352 downside threshold, potentially losing the entire investment. The estimated value on the pricing date is approximately $975.60 per note, the securities are unsecured and unlisted, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk fixed income securities due June 8, 2028, linked to the worst performer of the S&P 500 Index and Novo Nordisk A/S American depositary shares. The notes pay a fixed coupon at an annual rate of 10.40%, with monthly coupon payments.
At maturity, holders receive the $1,000 stated principal amount only if the final level of each underlier is at or above its downside threshold, set at 55% of its initial level (3,785.496 for the S&P 500 and $25.955 for Novo Nordisk ADS). If either underlier finishes below its threshold, repayment of principal is reduced 1% for every 1% decline in the worst-performing underlier, and the maturity payment can fall to zero, though the final coupon is still paid.
The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the pricing date of approximately $981.50 per $1,000 security. They will not be listed on any exchange, secondary trading may be limited, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-callable feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. The notes pay no interest and are unsecured obligations subject to Morgan Stanley’s credit.
The securities have a $1,000 stated principal amount per note and may be automatically redeemed starting in February 2027 if the index is at or above an 85% call threshold, paying fixed early redemption amounts that target about 17% per annum. If held to February 2031, investors receive $1,850 per security if the index is at or above the call threshold, par if it is between 60% and 85% of the initial level, and a loss matching the index decline if it finishes below 60%, which can reduce repayment to zero.
The estimated value on the pricing date is approximately $930.30 per security, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes will not be listed on any exchange, secondary liquidity may be limited, the underlier has limited live history and includes a 4% annual decrement and leverage, and U.S. tax treatment is complex and uncertain.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,000 principal-at-risk notes linked to the S&P 500® Index, maturing March 9, 2027. The securities pay no interest and do not guarantee any return of principal.
If the index’s final level is at or above the 90% buffer level of 6,194.448, investors receive $1,087.40 per note, a fixed 8.74% upside payment. If the final level falls below the buffer, principal is reduced by 1.1111% for each 1% decline beyond the 10% buffer, with no minimum payment, so the entire investment can be lost.
The estimated value on the pricing date is approximately $984.80 per $1,000 note, reflecting issuance, structuring and hedging costs and an internal funding rate that is favorable to the issuer. The notes will not be listed on any exchange, and secondary market liquidity depends on Morgan Stanley & Co. LLC’s discretion.
Morgan Stanley Finance LLC is offering contingent income memory auto-callable securities linked to the Class A common stock of Datadog, Inc. Each note has a $1,000 principal amount, is fully and unconditionally guaranteed by Morgan Stanley, and is a principal-at-risk unsecured obligation.
The notes pay a contingent coupon at 14.75% per annum only when Datadog’s closing level on an observation date is at or above the coupon barrier of $57.855 (50% of the initial level of $115.71). Missed coupons may be paid later if the barrier is met on a future observation date.
The securities are automatically redeemed on specified redemption dates if Datadog’s closing level is at or above the call threshold of $115.71, returning principal plus the applicable coupon and any unpaid coupons. If not called and at maturity Datadog is at or above the downside threshold of $57.855, investors receive full principal plus the final coupon if payable.
If at maturity Datadog’s final level is below the downside threshold, investors lose 1% of principal for each 1% decline from the initial level, which can result in a total loss of the $1,000 principal. The estimated value on the pricing date is approximately $967.50 per note, reflecting structuring and hedging costs and the issuer’s internal funding rate. All payments depend on Morgan Stanley’s credit and the notes will not be listed on any exchange, so liquidity may be limited.
Morgan Stanley Finance LLC is offering principal-at-risk Buffered Jump Securities with an auto-call feature linked to the common stock of Blackstone Inc., maturing on February 9, 2028, and fully and unconditionally guaranteed by Morgan Stanley.
Each security has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of approximately $978.50. The notes may be automatically redeemed on February 22, 2027 for $1,219 per security if Blackstone’s stock closes at or above $134.54 on February 17, 2027. If held to maturity and the final stock level is at or above the initial $134.54 level, investors receive $1,000 plus the greater of a fixed $438 upside payment or 100% of the stock’s price gain. A 15% buffer applies to moderate moderate losses, but below 85% of the initial level, principal loss accelerates at a 1.1765 factor, and repayment of principal is not guaranteed.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes maturing on March 8, 2027. The notes pay no interest and repayment of principal is not guaranteed.
The return depends on the worst performer among the Russell 2000 Index, the S&P 500 Futures Excess Return Index and the State Street Utilities Select Sector SPDR ETF. If the worst underlier’s final level is at or above 75% of its initial level, investors receive $1,000 plus a fixed $86.50 upside payment per note, an 8.65% gain. If any underlier finishes below its 75% buffer, maturity payment is reduced by 1.3333% of principal for each 1% decline beyond the 25% buffer, with no minimum payment, so the entire investment can be lost. The estimated value on the pricing date is expected to be about $987.10 per $1,000 note due to embedded issuance, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $17,295,000 of principal-at-risk, S&P MidCap 400® index-linked notes maturing on February 3, 2028.
The notes pay no interest and offer a digital payoff: if the index’s final level is at least 90% of its initial level of 3,473.51, investors receive a fixed Maximum Settlement Amount of $1,167 per $1,000 note (116.70% of face value).
If the index falls by more than 10%, repayment is reduced using a buffer rate of approximately 111.11%, and investors can lose up to their entire principal. The estimated value on the trade date is $979.90 per $1,000 note, below the issue price, reflecting structuring and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC is issuing contingent income memory auto-callable securities linked to the Class B common stock of NIKE, Inc., with a stated principal amount of $1,000 per security and aggregate principal of $550,000, fully and unconditionally guaranteed by Morgan Stanley.
The notes offer a 9.75% annual contingent coupon, paid only when NIKE’s share price is at or above the $36.558 coupon barrier on observation dates, with missed coupons potentially paid later if conditions are met. The notes can be automatically redeemed starting February 2027 if NIKE closes at or above the $60.93 call threshold, returning principal plus due coupons. If held to February 2029 and NIKE is below the $36.558 downside threshold, investors lose 1% of principal for each 1% decline, up to a total loss of the $1,000 principal per note. The estimated value on the pricing date is $957.90 per security, below the $1,000 issue price, and the notes are unsecured, not listed, and subject to Morgan Stanley’s credit risk.