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 Contingent Income Auto-Callable Securities due January 28, 2031, linked to the worst performer of the Russell 2000 Index, S&P 500 Index and State Street Utilities Select Sector SPDR ETF. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal of $4,768,000, and is fully and unconditionally guaranteed by Morgan Stanley.
Investors may receive a 7.00% per annum contingent coupon, paid only if on each observation date all underliers are at or above their coupon barrier levels, set at 70% of initial levels. The notes are automatically callable quarterly from January 25, 2027 if all underliers are at or above 100% of their initial levels, returning principal plus the applicable coupon.
If not redeemed early and on the final observation date any underlier closes below its 70% downside threshold, principal is reduced 1% for every 1% decline of the worst-performing underlier, potentially to zero. The estimated value on the pricing date is $942.20 per $1,000 security, reflecting issuing, selling, structuring and hedging costs. All payments are subject to Morgan Stanley’s credit risk, and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC is offering $486,000 of principal-at-risk "Jump Securities" at $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley. These notes run to January 26, 2029 and are linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index.
The notes can be automatically called on scheduled determination dates starting February 1, 2027 if each index is at or above its call threshold (100% of its initial level), paying fixed early redemption amounts that correspond to about 14.10% per annum. If held to maturity and every index is at or above its call threshold, investors receive $1,423 per $1,000 security.
If, at maturity, at least one index is below its call threshold but all are at or above 70% of their initial levels, investors receive only the stated principal. If any index finishes below its 70% downside threshold, the payout is reduced 1% for every 1% decline of the worst-performing index, and the return can fall to zero. The estimated value on the pricing date is $976.60 per security, reflecting issuing, selling, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Callable Contingent Income Securities due August 7, 2028 linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index.
The notes are issued at $1,000 per security with an estimated value on the pricing date of about $970.60. Investors may receive a contingent coupon at an annual rate of 8.35%, but only when each index closes at or above a 70% coupon barrier on the relevant observation date.
If the notes are not called and any index finishes below 60% of its initial level at maturity, repayment of principal is reduced 1% for each 1% decline in the worst-performing index, potentially to zero. The notes can be redeemed early, in whole, on specified dates if a risk-neutral valuation model indicates redemption is economically rational for the issuer. All payments depend on Morgan Stanley’s credit and the securities will not be listed on any exchange.
Morgan Stanley Finance LLC is issuing principal-at-risk contingent income auto-callable securities linked to the worst performer of the SPDR® Gold Trust, S&P 500® Index and iShares® Silver Trust, with an aggregate principal amount of $580,000 and a maturity date of January 28, 2030.
The notes offer a contingent coupon at an annual rate of 11.45%, paid only if each underlier closes at or above its barrier (60% of its initial level) on the relevant observation date. The securities may be automatically redeemed if all underliers are at or above their 100% call thresholds on scheduled determination dates.
If not called and any underlier finishes below its 60% downside threshold at final observation, repayment of principal is reduced 1% for every 1% decline in the worst-performing underlier and can fall to zero. The estimated value on the pricing date is $886.70 per $1,000 security, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk “Jump Securities” tied to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and matures on February 21, 2031.
The notes can be automatically redeemed on March 1, 2027 if the index on February 24, 2027 is at or above 105% of its initial level, paying $1,135 per security. If held to maturity and not called, investors get principal plus a 200% participation in any index gain, only principal back if the index is between 70% and 100% of its initial level, and a 1-for-1 loss below 70%, which can reduce repayment to zero.
The notes pay no interest, are unsecured obligations subject to Morgan Stanley’s credit risk, are not listed on any exchange, and have an estimated value on the pricing date of about $944.10 per $1,000, reflecting issuance, structuring and hedging costs and an internal funding rate advantageous to the issuer.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Jump Securities linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. The notes have a $1,000 stated principal amount, $124,000 aggregate principal, and an estimated value of $921.70 per note on the pricing date.
The notes pay no interest and can be automatically redeemed on February 1, 2027 for $1,272.50 per security if the index on January 27, 2027 is at or above the initial level of 2,988.47. If not called, at January 28, 2031 maturity investors receive principal plus 275% of any index gain, full principal back if the index is at or above 50% of the initial level, and a proportional loss below that 50% downside threshold, potentially losing the entire investment.
The unsecured notes depend on Morgan Stanley’s credit and are not listed on any exchange. The underlier is a leveraged, volatility-targeted futures-based index with a built-in 4% per year decrement, which structurally reduces its performance compared with a similar index without such a fee-like drag.
Morgan Stanley Finance LLC is issuing $2,257,000 of three-year Buffered Jump Securities linked to the worst performer among Apple, Alphabet (Class C) and Tesla stock. Each security has a $1,000 stated principal amount and no periodic interest, and is fully and unconditionally guaranteed by Morgan Stanley.
The note can auto-call on January 26, 2027 if each stock closes at or above its initial level, paying $1,400 per security and then terminating. If held to January 26, 2029 and all final stock levels are above their initial levels, investors receive $1,000 plus 400% of the gain of the worst performer. If at least one stock finishes below its initial level but all remain at or above 75% of initial, investors receive only $1,000. If any stock ends below 75% of initial, principal is reduced 1% for each 1% drop of the worst performer beyond the 25% buffer, with a minimum payoff of 25% of principal.
The securities are unsecured, not listed on an exchange and subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $950.20 per security, reflecting issuance, structuring and hedging costs and an internal funding rate.
Morgan Stanley Finance LLC is offering Buffered Jump Securities with an auto-callable feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index in an aggregate principal amount of $2,450,000, issued in $1,000 denominations and fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest and can be automatically redeemed starting January 27, 2027 if the index closes at or above the 100% call threshold, delivering early redemption payments that correspond to approximately 19.00% per annum, up to $1,902.50 per security. If held to January 28, 2031 and not called, investors receive $1,950.00 per security if the final index level is at or above the call threshold, only principal back if it remains at or above the 85% buffer level, and a loss of 1% of principal for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal.
The initial index level is 1,254.46, the buffer level is 1,066.291, and the estimated value on the pricing date is $906.80 per security, below the $1,000 issue price due to embedded issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. The securities are unsecured, not listed on any exchange, subject to Morgan Stanley’s credit risk, and expose investors to the performance and limited history of a leveraged, volatility-targeting equity futures index with a 4% per annum decrement.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing approximately $9.447 million of three-year Jump Securities tied to the S&P 500, EURO STOXX 50 and S&P MidCap 400 indices. Each note has a $1,000 stated principal amount and does not pay periodic interest.
The notes auto-call on February 1, 2027 if all three indices are at or above their initial levels, paying $1,237 per $1,000 note. If held to the January 26, 2029 maturity, investors receive principal plus 125% of the upside of the worst-performing index if all finish at or above initial values, full principal back if all stay at or above 80% of initial levels, and a proportional loss to the worst index if any finish below that 80% downside threshold, which can reduce the payoff to zero.
The securities are unsecured and subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and have an estimated value on the pricing date of $957.40 per note versus the $1,000 issue price, reflecting dealer commissions and structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes maturing on February 2, 2029, linked to the worst performer of the EURO STOXX 50® Index, Russell 2000® Index and State Street® Utilities Select Sector SPDR® ETF.
The notes pay a 10.00% per annum contingent coupon, only if on each observation date all underliers are at or above their coupon barrier levels, set at 70% of initial levels. Investors do not participate in any upside of the underliers.
If not called and every underlier finishes at or above its downside threshold (65% of initial level), investors receive full principal at maturity plus any final coupon. If any underlier finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst underlier and can fall to zero.
The notes are callable in whole on specified redemption dates if a risk neutral valuation model indicates early redemption is economically rational for the issuer. They are unsecured obligations, subject to Morgan Stanley’s credit risk, not listed on an exchange, and have an estimated value of about $985.10 per $1,000 on the pricing date.