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 issuing dual directional buffered participation securities linked to the S&P 500® Index. Each note has a $1,000 stated principal amount, an aggregate principal of $450,000, and is sold at $1,000 per security, while the estimated value on the pricing date is $984.40 per security.
The notes pay no interest. At maturity in January 2029, if the index rises from the initial level of 6,940.01, investors receive principal plus 100% of the index gain, capped at a maximum payment of $1,308 per security (130.80% of principal). If the index is down but not below 80% of the initial level, investors earn a positive return matching the absolute decline, up to a 20% gain.
If the index falls below the 80% buffer, investors lose 1% of principal for each 1% decline beyond that buffer, with a minimum payment of 20% of principal. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and may have limited or no secondary market liquidity. The pricing reflects issuer funding and structuring costs, and the U.S. tax treatment is described as uncertain.
Morgan Stanley Finance LLC is issuing principal-at-risk contingent income auto-callable securities linked to the worst performer of the Nasdaq-100 Technology Sector Index, the S&P 500 Index and the Russell 2000 Index. Each security has a $1,000 stated principal amount, a total offering size of $1,312,000, and matures on January 19, 2029, unless called earlier.
The notes pay a 9.00% per annum contingent coupon, only when all three indices close on an observation date at or above their coupon barrier, set at 70% of initial levels. They are automatically redeemed at par plus the coupon if, on a redemption determination date, all indices are at or above 100% of their initial levels. If held to maturity and any index finishes below its downside threshold (also 70% of initial), repayment of principal is reduced in full proportion to the worst index’s decline, potentially to zero, with no participation in index gains.
The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value of $968.90 per $1,000 at pricing. The issue price includes selling, structuring and hedging costs, a dealer commission of $27.50 per security and may trade at a discount, with limited secondary liquidity and complex tax treatment.
Morgan Stanley Finance LLC is offering $551,000 of auto-callable structured notes due January 19, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 Jump Security is linked to the worst performer of the S&P 500 Index, Nasdaq-100 Technology Sector Index and Russell 2000 Index, with no interest payments and principal at risk.
The notes can be automatically redeemed on quarterly determination dates starting January 20, 2027 if all three indices are at or above their call thresholds, delivering fixed cash payments that target about 14.15% per year. If held to maturity and all indices are at or above their call thresholds, investors receive $1,424.50 per note; if the worst index finishes between its downside threshold (70% of initial) and its call threshold, only principal is returned, and if any index ends below its downside threshold, repayment is reduced one-for-one with the decline of the worst index, potentially to zero.
The issue price is $1,000 per note, while the estimated value on the pricing date is $973.60, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes are unsecured obligations, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering market-linked, auto-callable principal-at-risk securities tied to the worst performer of Bank of America, Citigroup and Goldman Sachs common stocks, maturing January 21, 2028. Each security has a $1,000 face amount, with total offering proceeds of $5,832,000 before expenses and an estimated value on the pricing date of $956.10 per security, reflecting issuance, structuring and hedging costs borne by buyers.
The notes may be automatically called semi-annually from January 22, 2027 if all three stocks are at or above their starting prices, paying fixed call amounts of $1,265.50, $1,398.25 or $1,531.00 depending on the call date. If not called, principal is protected only down to a 70% downside threshold on each stock; if any stock finishes below its threshold, repayment is reduced one-for-one with the worst performer and can fall to zero. The securities pay no interest, do not pass through dividends and carry Morgan Stanley credit and liquidity risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Enhanced Trigger Jump Securities linked to the worst performer of the Russell 2000 Index, EURO STOXX 50 Index and State Street Utilities Select Sector SPDR ETF, with a total offering size of $1,494,000 at $1,000 per security.
The notes pay no interest and do not guarantee principal. If all underliers finish at or above their initial levels, investors receive principal plus the greater of participation in the worst performer’s gain or a $700 higher upside payment per security; if the worst performer is below its initial level but above its 60% downside threshold, they receive a $200 lower upside payment. If any underlier finishes below its downside threshold, repayment is reduced 1% for each 1% decline in the worst performer and can fall to zero. The estimated value on the pricing date is $954.40 per security, below the issue price, and the notes are unsecured, unlisted and subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities linked to the Class A common stock of Robinhood Markets, Inc. Each security has a stated principal amount of $1,000, with a total aggregate principal amount of $1,155,000, and is fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 25.00% per annum, but only if on each observation date the Robinhood share price is at or above the coupon barrier level of $65.244, which is 60% of the initial level of $108.74. If the share price is below the barrier on an observation date, no coupon is paid for that period.
The securities may be called in whole, but not in part, on specified redemption dates starting July 21, 2026, if a risk neutral valuation model indicates early redemption is economically rational for the issuer. If not called, the notes mature on July 21, 2027. At maturity, if the final Robinhood price is at or above the downside threshold of $54.37 (50% of the initial level), investors receive principal back plus any final contingent coupon. If it is below the downside threshold, repayment is reduced in line with the share’s decline, and the payment can be zero. The estimated value on the pricing date is $982.10 per security, below the $1,000 issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk jump securities with an auto-call feature maturing on January 22, 2031, linked to the worst performer of the Dow Jones Industrial Average, S&P 500 Index and Russell 2000 Index. Each note has a stated principal amount of $1,000 and an aggregate issuance of $2,421,000, with no guaranteed interest or principal repayment.
The notes may be automatically redeemed starting January 26, 2027 if all three indexes are at or above their call thresholds, paying step-up amounts of $1,089, $1,178, $1,267 or $1,356 per security, corresponding to a return of approximately 8.90% per annum. If held to maturity and all final index levels are at or above their call thresholds, investors receive $1,445 per security; if any index is below its call threshold but all remain at or above 70% of their initial level, only the $1,000 principal is returned. If any index finishes below its 70% downside threshold, the payoff is reduced 1% for every 1% decline in the worst-performing index, and the maturity payment can fall to zero.
The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $944.20 per $1,000 note, reflecting issuance, structuring and hedging costs and an internal funding rate, and the notes will not be listed on any securities exchange.
A holder of Morgan Stanley (MS) common stock has filed a notice of proposed sale under Rule 144. The filing covers the planned sale of 7,860 common shares through Morgan Stanley Smith Barney LLC Executive Financial Services on or about 01/20/2026, to be executed on the NYSE, with an indicated aggregate market value of $1,441,879.27. As context, the filing notes 1,589,309,311 common shares outstanding.
The securities to be sold were acquired on 01/16/2026 directly from the issuer as employee stock unit awards, with that same date listed as the payment date and the amount acquired matching the proposed sale of 7,860 shares. By signing the notice, the seller represents that they are not aware of any undisclosed material adverse information about the issuer’s current or prospective operations.
Morgan Stanley filed a notice under Rule 144 for a planned sale of 15,838 shares of common stock through Morgan Stanley Smith Barney LLC on the NYSE. The shares have an aggregate market value of $2,942,176.16 based on the referenced market price, with the sale expected on or about 01/20/2026. The stock was acquired on 01/16/2026 as employee stock unit awards from the issuer. Shares outstanding were 1,589,309,311 at the time referenced in the notice.
Form 144 discloses a planned sale of 20,000 shares of common stock through Morgan Stanley Smith Barney LLC on the NYSE. The aggregate market value of the planned sale is $3,691,000, based on the figure reported. The filing notes that 1,589,309,311 shares of this class were outstanding at the time referenced.
The shares to be sold come from employee stock unit awards granted by the issuer. One grant of 3,784 common shares was acquired on 10/02/2020 and another grant of 16,216 common shares was acquired on 01/16/2026, both as employee stock unit awards with the same dates listed for payment. The person on whose behalf the sale is being made represents that they are not aware of undisclosed material adverse information about the issuer’s current or prospective operations.