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 $1,112,000 of Buffered Jump Securities with an auto-call feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, fully and unconditionally guaranteed by Morgan Stanley.
Each $1,000 security pays no interest and can be automatically redeemed quarterly from January 2027 if the index closes at or above 90% of its initial level, for increasing early redemption payments targeting about 12.60% per annum. If held to January 2031 and the final index level is at or above the 90% call threshold, investors receive $1,630 per security; if it is between 85% and 90%, only the $1,000 principal is repaid. Below 85%, principal is reduced 1% for each 1% drop beyond the 15% buffer, subject to a minimum payment of 15% of principal.
The securities are unsecured, not listed, and expose investors to Morgan Stanley’s credit risk. The estimated value on the pricing date is $909.30 per security, below the $1,000 issue price, reflecting issuance, structuring and hedging costs and an internal funding rate advantageous to the issuer.
Morgan Stanley Finance LLC is offering dual directional buffered participation securities linked to the S&P 500® Index, maturing on February 27, 2031. Each note has a $1,000 stated principal amount, pays no interest and is fully and unconditionally guaranteed by Morgan Stanley.
At maturity, investors gain 100% of any index rise, capped by a maximum upside payment of $1,522.50 to $1,542.50 per security. If the index is down but not below 85% of its initial level, investors receive a positive return matching the index’s decline up to a 15% gain. Below that buffer, principal is lost 1-for-1 beyond the 15% decline, with a minimum payment of 15% of principal.
The securities are unsecured, not listed on any exchange and subject to Morgan Stanley’s credit risk. The preliminary estimated value on the pricing date is approximately $936.40 per security, reflecting issuance, structuring and hedging costs and an internal funding rate advantageous to the issuer.
Morgan Stanley Finance LLC is issuing $2,274,000 of variable-income auto-callable notes due January 31, 2031, fully guaranteed by Morgan Stanley. The $1,000-per-note investment pays a monthly coupon that varies between 0.25% and 8.30% per year, depending on the performance of three stocks.
The notes reference the worst-performing of Palantir, Tesla and Affirm. If, on an observation date, each stock stays at or above its barrier, investors receive the higher coupon; otherwise they receive the lower one. Starting January 27, 2027, the notes auto-redeem early if all three stocks are at or above their call thresholds, returning principal plus the higher coupon. If never called, principal is repaid at maturity, subject to Morgan Stanley’s credit risk. The initial estimated value is $939.60 per $1,000 note, reflecting issuance, hedging and funding costs.
Morgan Stanley Finance LLC is offering structured notes that pay variable interest and are fully and unconditionally guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 each and an aggregate principal amount of $13,113,000, priced at par.
Coupons vary between an annual rate of 0.25% (lower coupon) and 9.00% (higher coupon), depending on monthly observations of the worst performing of Broadcom, Meta Platforms class A, Tesla, and Micron Technology stocks versus preset barrier levels. The notes may be automatically redeemed from January 27, 2027 onward if all underliers are at or above their call thresholds, paying principal plus the higher coupon. If not called, investors receive principal back at maturity on January 31, 2031, plus the applicable final coupon, subject to Morgan Stanley’s credit. The estimated value on the pricing date is $940.40 per note, reflecting issuance, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,105,000 of Contingent Income Memory Buffered Auto-Callable Securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each $1,000 note pays a 9.00% per annum contingent coupon only when the index is at or above 65% of its initial level on scheduled observation dates; missed coupons can be paid later if the barrier is subsequently met.
The notes may be automatically redeemed quarterly starting January 28, 2027 if the index is at or above 95% of its initial level, returning principal plus due coupons. At maturity in 2031, if not called and the index is at or above 85% of its initial level, investors receive full principal; below that, principal is reduced 1% for each 1% drop beyond the 15% buffer, with a minimum payoff of 15% of principal. The estimated value on the pricing date is $906.10 per $1,000, reflecting issuance, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering fixed-income auto-callable securities linked to AeroVironment, Inc. common stock, in an aggregate principal amount of $1,675,000. Each $1,000 security pays a fixed coupon at an annual rate of 12.00%, regardless of stock performance, until early redemption or maturity.
The notes may be automatically redeemed on scheduled determination dates if AVAV’s closing level is at or above the call threshold level of $306.94, returning principal plus the coupon for that period. If not redeemed and at maturity the final level is at or above the downside threshold of $153.47, investors receive full principal plus the final coupon. If the final level is below $153.47, repayment of principal is reduced one-for-one with the stock’s decline, and the maturity payment can be zero. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the pricing date of $947.00 per $1,000 security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $1,000 Trigger PLUS securities due January 31, 2031, linked to the worst performer of the iShares MSCI Hong Kong ETF and iShares MSCI South Korea ETF. The notes pay no interest and expose principal to market and issuer credit risk.
At maturity, if both ETFs finish above their initial levels, holders receive $1,000 plus 184% of the worst performer’s gain. If at least one ETF is at or below its initial level but both remain at or above 70% of initial, investors receive only $1,000. If either ETF ends below 70% of its initial level, repayment is reduced one-for-one with the worst ETF’s loss, potentially to zero.
The issue price is $1,000 per security with $33.50 sales commissions, leaving $966.50 in proceeds to the issuer, and the total offering size is $1,000,000. The estimated value on the pricing date is $850.80 per security, and the notes will not be listed on any exchange, which may limit liquidity.
Morgan Stanley Finance LLC is offering $7,500,000 of Jump Securities with an auto-call feature, at $1,000 stated principal amount per security, fully and unconditionally guaranteed by Morgan Stanley. These are principal-at-risk structured notes linked to the worst-performing of the Russell 2000® Index and the EURO STOXX 50® Index.
The notes may be automatically redeemed on scheduled determination dates if the closing level of each index is at or above its call threshold level, for early redemption payments that target approximately 11.15% per annum. If held to maturity on January 31, 2031, investors receive $1,557.50 per security only if each index finishes at or above its call threshold level, the stated principal amount if each index finishes at or above its downside threshold level of 75% of its initial level, or a reduced amount proportional to the decline of the worst-performing index if either falls below its downside threshold, which can result in a total loss.
The securities pay no interest, do not participate in any index appreciation, and are unsecured obligations subject to Morgan Stanley’s credit risk. They are not listed on any securities exchange, and their estimated value on the pricing date is $960.70 per $1,000 security, reflecting issuance, selling, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is offering $2,065,000 of contingent income buffered auto-callable securities linked to the VanEck Gold Miners ETF, fully guaranteed by Morgan Stanley. Each $1,000 note can pay a 7.00% per annum contingent coupon if the ETF closes at or above $72.904 (65% of the $112.16 initial level) on scheduled observation dates.
The notes auto-call at par plus any due coupons if the ETF is at or above $112.16 on specified redemption determination dates starting July 2026. If not called and the final level is at or above the 80% buffer level of $89.728, investors receive full principal; below that, they lose 1% of principal for each 1% drop beyond the 20% buffer, with a minimum maturity payment of 20% of principal. The estimated value on the pricing date is $937.40 per $1,000, reflecting embedded costs and an internal funding rate, and the securities are unsecured, unlisted and subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $4,108,000 of Contingent Income Memory Auto-Callable Securities due February 1, 2029 linked to Delta Air Lines, Inc. common stock. Each note has a $1,000 principal amount and an original issue price of $1,000.
The notes pay a contingent coupon at an annual rate of 10.10%, but only when Delta’s closing share price on an observation date is at or above the coupon barrier of $36.207 (about 55% of the $65.83 initial level). Missed coupons can be paid later if the barrier is met on a future date.
The notes are automatically redeemed at par plus applicable coupons if Delta’s share price is at or above the $65.83 call threshold (100% of the initial level) on any redemption determination date starting July 28, 2026. If held to maturity without early redemption, investors receive principal back only if the final share level is at or above the same $36.207 downside threshold; below that, repayment is reduced one-for-one with Delta’s decline and can fall to zero.
The securities are unsecured, subject to Morgan Stanley’s credit risk, not listed on any exchange, and have an estimated value on the pricing date of $960.30 per $1,000 note, reflecting issuance, selling, structuring and hedging costs and the issuer’s internal funding rate.