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 market-linked notes due February 27, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest and is linked to the S&P 500® Futures Excess Return Index.
At maturity, investors receive $1,000 plus an upside payment if the index’s final level is above its initial level. The upside payment equals the principal times a participation rate of 108% to 118% times the index percentage gain. If the final level is at or below the initial level, investors receive only the $1,000 principal.
The notes are unsecured obligations of MSFL, guaranteed by Morgan Stanley, and all payments are subject to their credit risk. The estimated value on the pricing date is approximately $941.60 per note, reflecting issuance, structuring and hedging costs and an internal funding rate. The notes will not be listed on any exchange, and secondary market trading, if any, may be limited and at prices below issue. U.S. investors are generally expected to treat the notes as contingent payment debt instruments for tax purposes, with annual interest accruals and ordinary income treatment on gains.
Morgan Stanley Co-President Daniel A. Simkowitz reported a sale of company stock. On January 30, 2026, he sold 32,968 shares of Morgan Stanley common stock in an open-market transaction at a weighted average price of $182.6108, with individual trade prices ranging from $182.06 to $183.05.
Following this sale, he beneficially owns 357,342.406 shares of Morgan Stanley common stock directly and 1,794.818 shares indirectly through a 401(k) plan.
Morgan Stanley filed a Form 144 indicating that an affiliate plans to sell 32,968 shares of its common stock through Morgan Stanley Smith Barney LLC on the NYSE. The planned sale has an aggregate market value of 6,020,312.85 and is targeted for 01/30/2026.
The shares were acquired on 01/16/2026 as an employee stock unit award from the issuer in the same 32,968-share amount. The filing notes that the seller represents they are not aware of undisclosed material adverse information about Morgan Stanley’s current or prospective operations.
Morgan Stanley Finance LLC is offering callable contingent income securities due February 17, 2028, linked to the worst performer of the Nasdaq‑100, Russell 2000 and S&P 500 indexes. Each security has a $1,000 stated principal amount and is fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 7.80% per annum, but only if on each observation date all three indexes are at or above their coupon barrier levels (70% of initial levels). Morgan Stanley can redeem the notes on scheduled redemption dates using a risk‑neutral valuation model. At maturity, if not called and any index finishes below its 65% downside threshold, investors lose 1% of principal for each 1% decline in the worst‑performing index, potentially losing their entire investment. All payments are subject to Morgan Stanley’s credit risk, and the securities are not listed on any exchange.
Morgan Stanley Finance LLC is issuing principal-at-risk Callable Contingent Income Memory Securities due February 2, 2028, linked to the worst performer of the Nasdaq-100 Technology Sector Index, Russell 2000 Index and S&P 500 Index. The aggregate principal amount is $500,000, at $1,000 per security.
Investors may receive an 11.00% per annum contingent coupon, but only if on each observation date all three indices are at or above coupon barrier levels set at 75% of their initial levels; missed coupons can be paid later if conditions are met. If any index finishes below its downside threshold (also 75% of initial level) at maturity and the notes have not been called, principal is reduced 1% for every 1% decline in the worst-performing index, potentially to zero.
The notes are callable in whole from July 31, 2026 on specified redemption dates if a risk-neutral valuation model indicates early redemption is economically rational for the issuer. The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and the estimated value on the pricing date is $982.40 per security, below the issue price.
Morgan Stanley Finance LLC is offering principal-at-risk Buffered Participation Securities maturing on February 10, 2028, linked to the worst performing of the iShares Core S&P Small-Cap ETF, the Russell 2000 Index and the SPDR S&P MidCap 400 ETF Trust.
Each security has a stated principal amount of $1,000, no interest payments and a 100% participation rate in the appreciation of the worst performing underlier above its initial level. A 20% buffer protects against moderate losses, but if any underlier falls more than 20%, investors lose 1% of principal for each 1% additional decline, with a minimum payment of 20% of principal.
The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and will not be listed on any exchange. The estimated value on the pricing date is approximately $986.50 per $1,000 security, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC is offering principal-at-risk Callable Contingent Income Securities due November 8, 2027, at $1,000 per note, linked to the worst performer of the State Street Energy Select Sector SPDR ETF (XLE), State Street Technology Select Sector SPDR ETF (XLK) and VanEck Semiconductor ETF (SMH).
The notes pay a 10.25% per annum contingent coupon, only if on each observation date all three ETFs close at or above 50% of their initial levels. Beginning August 6, 2026, the issuer may redeem the notes on specified dates if a risk-neutral valuation model indicates it is economically rational for Morgan Stanley to do so.
If not redeemed and each ETF finishes at or above its 50% downside threshold on the final observation date, investors receive principal back plus any final coupon. If any ETF finishes below its downside threshold, repayment is reduced 1% for every 1% decline in the worst performer, potentially to zero. The estimated value on the pricing date is approximately $980.70 per note, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk notes linked to the VanEck Gold Miners ETF. The notes pay no interest and are unsecured obligations.
At maturity, investors receive $1,000 plus 300% of any positive ETF return, but only up to a capped maximum settlement amount expected between $1,510.90 and $1,599.40 per $1,000 face amount. If the ETF finishes at or below its initial level, repayment is reduced one-for-one with the decline, and investors can lose their entire investment.
The estimated value on the trade date is approximately $979.90 per note, reflecting issuance, structuring and hedging costs and the issuer’s internal funding rate. The notes are not listed, may have limited liquidity, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $3,652,000 of callable contingent income securities due February 1, 2029, linked to the worst performer of the Russell 2000 Index, S&P 500 Index and State Street Technology Select Sector SPDR ETF.
The notes offer a 10.25% per annum contingent coupon, paid only if on each observation date all three underliers stay at or above their respective coupon barriers (70% of initial levels). Principal is fully at risk: if at maturity any underlier finishes below its downside threshold (60% of initial level), repayment is reduced 1% for each 1% decline of the worst underlier and can fall to zero.
The securities are callable in whole, starting July 31, 2026, only if a risk‑neutral valuation model indicates redemption is economically rational for the issuer. The issue price is $1,000 per security, while the estimated value on the pricing date is $982.70, reflecting embedded costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC is issuing Structured Investments Buffered PLUS notes due December 31, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, with a total offering size of $303,000, and pays no interest.
The notes are linked to a weighted basket including the iShares MSCI EAFE ETF, MSCI Emerging Markets Index, Russell 2000 Index, S&P 500 Index and S&P MidCap 400 Index, with an initial basket level of 100. At maturity, investors get leveraged upside of 120% of any basket gain, capped at a maximum payment of $1,290 per security. A 5% buffer protects against small losses, but below that investors lose 1% of principal for each 1% further decline, subject to a minimum payment of 5% of principal.
All payments depend on Morgan Stanley’s credit, and the notes will not be listed on any exchange. The estimated value on the pricing date is $980.70 per security, reflecting issuance, structuring and hedging costs and the issuer’s internal funding rate.