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 principal-at-risk structured notes linked to the iShares® Semiconductor ETF, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays a contingent coupon at 15.57% per annum, but only if the ETF’s closing level on an observation date is at or above the coupon barrier level, set at 50% of the initial level. Missed coupons may be paid later if the barrier is subsequently met; otherwise they are forfeited.
The notes are auto-callable on specified dates starting February 8, 2027 if the ETF is at or above the call threshold of 100% of the initial level, returning principal plus the applicable coupon and any previously unpaid coupons. If not called, at maturity on August 10, 2028 investors receive principal back only if the final level is at or above the downside threshold of 50% of the initial level. Below that level, repayment is reduced in proportion to the ETF’s decline, and the amount can fall to zero. The estimated value on the pricing date is approximately $970.20 per $1,000, reflecting issuance, structuring and hedging costs. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, and U.S. tax treatment is uncertain, with potential 30% withholding on coupons for many non-U.S. holders.
Morgan Stanley Finance LLC is issuing contingent income auto‑callable principal-at-risk securities linked to the Class A common stock of Space Exploration Technologies Corp., fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and is scheduled to mature on August 9, 2029.
Investors may receive a 23.00% per annum contingent coupon, paid only if the underlier’s closing level on an observation date is at or above the coupon barrier level of $54.135 (50% of the initial level). The notes are auto‑callable at the stated principal amount plus the coupon if, on any redemption determination date starting February 5, 2027, the stock is at or above the call threshold level of $108.27, equal to the initial level.
If not called, and the final level on August 6, 2029 is at or above the downside threshold level of $54.135, investors receive full principal back (plus any final coupon). If the final level is below the downside threshold, repayment is reduced in proportion to the stock’s decline, and the payment at maturity can fall to zero. The estimated value on the pricing date is approximately $937.80 per security, below the $1,000 issue price, reflecting issuance, selling, structuring and hedging costs. Payments depend on Morgan Stanley’s and MSFL’s credit, and the issuer warns of limited or no secondary market, high volatility in the underlier, and uncertain U.S. tax treatment.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities, unsecured structured notes linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest, have a stated principal amount of $1,000 per security, and mature on September 10, 2027, with a single observation date on September 7, 2027.
If the S&P 500® final level is at or above the downside threshold level of 6,565.018 (85% of the initial level of 7,723.55), investors receive $1,000 plus a fixed upside payment of $97.60, a 9.76% return. If the final level is below the threshold, repayment equals $1,000 multiplied by the performance factor (final level divided by initial level), producing a 1% loss of principal for each 1% index decline and potentially zero repayment.
The issue price is $1,000, with agent’s commissions up to $10.42 per $1,000 and an estimated value on the pricing date of approximately $986.40 per security. The securities are subject to Morgan Stanley’s credit risk, offer no principal protection, may have limited or no secondary market liquidity, and involve complex tax and structural considerations.
Morgan Stanley Finance LLC is offering $3,459,000 of Capped Leveraged Buffered Basket-Linked Notes due December 3, 2027, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay no interest and are linked to a weighted equity basket: EURO STOXX 50® (40%), Tokyo Stock Price Index (25%), FTSE® 100 (17%), Swiss Market Index® (11%) and S&P®/ASX 200 (7%). The initial basket level is 100; investors receive 180% of any positive basket return, capped at a Maximum Settlement Amount of $1,202.14 per $1,000 face amount, corresponding to a Cap Level of 111.23% of the initial basket level. A 15% downside buffer applies: if the basket falls no more than 15%, investors receive par; below an 85% Basket Level, losses accelerate at a Buffer Rate of approximately 117.65%, and all principal can be lost. The notes are unsecured obligations, not listed on any exchange, with an estimated value on the trade date of $994.90 per $1,000, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC is issuing Enhanced Trigger Jump Securities, unsecured notes linked to the S&P 500® Index and fully guaranteed by Morgan Stanley. The notes pay no interest and do not guarantee return of principal.
At maturity on September 10, 2027, if the S&P 500® final level is at or above the downside threshold level of 5,792.663 (75% of the initial level of 7,723.55), holders receive the $1,000 principal plus a fixed upside payment of $78 (7.80%), regardless of how much the index has risen. If the final level is below the threshold, the payoff equals $1,000 multiplied by the performance factor (final/initial level), implying a 1% principal loss for each 1% index decline with no minimum payment; the entire investment can be lost.
The issue price is $1,000 per security, including agent fees of up to $10.42, while the estimated value on the pricing date is approximately $986.40, reflecting issuance, structuring and hedging costs and issuer credit spreads. The securities are subject to Morgan Stanley’s credit risk, may have limited or no secondary market liquidity, and involve uncertain U.S. federal income tax treatment, including the risk of debt characterization and potential future changes in tax rules.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities, due September 10, 2027, linked to the ordinary shares of ASML Holding N.V. Each note has a $1,000 stated principal amount, pays no interest and is fully and unconditionally guaranteed by Morgan Stanley. All payments depend on Morgan Stanley’s and MSFL’s credit.
At maturity, if the ASML closing level on September 7, 2027 is at or above the downside threshold level of $1,271.1687 (75% of the $1,694.8916 initial level), investors receive $1,000 plus a fixed $334.10 upside payment, a 33.41% return regardless of how much the stock has risen above the threshold. If the final level is below the threshold, repayment is fully exposed to downside: investors receive $1,000 multiplied by the performance factor (final level ÷ initial level), losing 1% of principal for each 1% decline, with no minimum payment and potential loss of the entire investment.
The issue price is $1,000 per note, including selling, structuring and hedging costs; the estimated value on the pricing date is approximately $981.80 per note. Agent’s compensation is up to $10.42 per $1,000, and the minimum ticket size is $10,000. The notes are unsecured, illiquidity is possible, and their U.S. tax treatment as prepaid financial contracts is subject to uncertainty.
Morgan Stanley Finance LLC is offering market linked structured securities with a $1,000 face amount per note, fully and unconditionally guaranteed by Morgan Stanley, linked to the lowest performing of the Nasdaq‑100, Russell 2000 and S&P 500 indices and maturing on August 19, 2027.
At maturity, if the lowest performing index is at or above its 79% threshold level, investors receive $1,000 plus a contingent fixed return of at least 13.35% ($133.50 per note). If that index finishes below its threshold, repayment is $1,000 plus 1‑for‑1 exposure to its negative return, so losses exceed 21% and can reach the entire principal. The notes pay no periodic interest or dividends, have limited liquidity, and all payments depend on Morgan Stanley’s credit. The initial estimated value is about $983.60 per $1,000 note, reflecting embedded costs.
Morgan Stanley Finance LLC is offering Buffered PLUS notes due September 10, 2027, linked to the worst-performing of the EURO STOXX 50 Index and the iShares MSCI EAFE ETF, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and are issued at $1,000 per security, with an aggregate principal amount of $709,000.
At maturity, if each underlier’s final level is above its initial level, investors receive principal plus 150% of the worst underlier’s gain, capped at a maximum payment of $1,333 per security. If either underlier finishes at or below its initial level but both remain at or above the 90% buffer level, investors receive only principal. If either underlier falls below its buffer, repayment is reduced 1% for each 1% decline beyond the 10% buffer, subject to a minimum payment of 10% of principal. The estimated value on the pricing date is $991.50 per security, and all payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley Finance LLC is issuing Enhanced Buffered Jump Securities linked to the common stock of Netflix, Inc., fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, total offering size of $600,000, and matures on August 19, 2027.
The notes pay no interest and do not guarantee return of principal. If Netflix’s final stock level on the August 16, 2027 observation date is at or above the 85% buffer level, investors receive $1,000 plus a fixed upside payment of $192.60 (19.26%). If the final level is below the buffer, investors lose 1.1765% of principal for every 1% decline beyond the 15% buffer, with no minimum payment, so the investment can lose all principal. The initial level is $73.33, buffer level $62.331, and the estimated value on the pricing date is $984.70 per security. All payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley Finance LLC is offering $1,015,000 of Contingent Income Memory Auto-Callable Securities due August 8, 2028, linked to the worst performer of Bank of America, Citigroup and JPMorgan Chase common stocks, fully and unconditionally guaranteed by Morgan Stanley.
The notes pay an 11.00% per annum contingent coupon only if on each observation date all three stocks are at or above their coupon barrier levels, set at 60% of their initial levels; missed coupons can be paid later if conditions are subsequently met. The securities are automatically redeemed at par plus due and unpaid contingent coupons if, on any redemption determination date from November 3, 2026 onward, all underliers are at or above their 100% call threshold levels.
If not redeemed early and any final stock level is below its 60% downside threshold, principal is reduced 1% for every 1% decline of the worst-performing stock, potentially to zero. The estimated value on the pricing date is $978.10 per $1,000 note, and all payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley.