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 offering variable income auto-callable notes due December 27, 2030, linked to the worst-performing of Palantir, Tesla and Affirm common stocks. Each note has a stated principal amount of $1,000 and pays a variable monthly coupon.
On each observation date, if the closing level of every stock is at or above its coupon barrier level, investors receive a higher annual coupon of 8.25%. If any stock is below its barrier, the coupon falls to 0.25% annually for that period. Starting with the first redemption determination date in December 2026, the notes auto-call if all three stocks are at or above their call thresholds, paying back principal plus the higher coupon for that period.
If the notes are never called, investors receive their $1,000 principal back at maturity plus the variable final coupon, subject to Morgan Stanley’s credit. The estimated value on the pricing date is approximately $940 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 principal-at-risk structured notes linked to a weighted basket of five major equity indices: EURO STOXX 50® (38%), TOPIX (26%), FTSE® 100 (17%), Swiss Market Index® (11%) and S&P®/ASX 200 (8%). Each note has a $1,000 face amount, pays no interest and matures in roughly 24–27 months.
At maturity, investors receive $1,000 plus 175% of any positive basket return, but gains are capped at a maximum settlement amount expected between $1,257.775 and $1,302.400 per $1,000. A 10% downside buffer protects principal only against moderate declines; if the basket falls more than 10%, losses are magnified by a buffer rate of about 111.11%, and investors could lose their entire investment. The estimated value on the trade date is about $971.40 per note, reflecting selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. All payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley Finance LLC is offering principal-at-risk Callable Contingent Income Securities due January 12, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $985.30 per security.
The notes pay a contingent coupon at an annual rate of 7.55%, but only if on each observation date the S&P 500® Index, Dow Jones Industrial AverageSM and Nasdaq-100 Index® are all at or above their coupon barrier levels, each set at 60% of its initial level. If any index is below its barrier, no coupon is paid for that period. Starting on the first redemption date in January 2027, the issuer may redeem all notes early if a risk-neutral valuation model indicates it is economically rational for Morgan Stanley to do so.
If the notes are not redeemed and on the final observation date each index is at or above its downside threshold (also 60% of initial), investors receive full principal back plus any final coupon. If any index finishes below its downside threshold, the maturity payment is reduced 1% for each 1% decline of the worst-performing index, potentially to zero. The notes are unsecured, not listed on any exchange, may have limited secondary liquidity, carry Morgan Stanley credit risk and involve complex, uncertain U.S. tax treatment, including potential 30% withholding on coupons for some non-U.S. investors.
Morgan Stanley Finance LLC is offering principal-at-risk jump securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and matures on December 12, 2030, with no periodic interest payments.
The notes are linked to the worst performing of the EURO STOXX 50® Index, S&P 500® Index and Dow Jones Industrial AverageSM. Starting on December 15, 2026, the securities are automatically redeemed if all three indices are at or above their call thresholds, paying fixed amounts that imply about 10.30% per annum, up to a maximum of $1,489.25 per security before maturity. If held to maturity and all indices are at or above their call thresholds, investors receive $1,515.00 per security.
If, at maturity, at least one index is below its call threshold but all are at or above their downside thresholds (70% of initial levels), investors receive only the principal. If any index finishes below its downside threshold, repayment is reduced 1% for every 1% decline of the worst performer, and the payment can fall to zero. The estimated value on the pricing date is approximately $957.80 per security, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk contingent income auto-callable securities due June 24, 2027, linked to the worst performer of the Nasdaq-100® Technology Sector IndexSM, the S&P 500® Index and the Russell 2000® Index. Investors can receive a contingent coupon at an annual rate of 8.50% to 10.50% per security, but only if on each observation date all three indices are at or above 80% of their initial levels. The notes are automatically redeemed if on a redemption determination date all indices are at or above 100% of their initial levels, paying principal plus the applicable coupon. If the notes are not called and any index finishes below 70% of its initial level at maturity, repayment of principal is reduced 1% for each 1% decline in the worst-performing index and can fall to zero. The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and have an estimated value on the pricing date of approximately $957.50 per $1,000 security.
Morgan Stanley director reported receiving additional equity compensation in the form of deferred stock units. On 12/01/2025, the reporting person acquired 459.241 shares of Morgan Stanley common stock at a price of $168.757 per share, bringing total directly owned shares to 88,666.394.
The units were granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers for service on the Board of Directors. Each deferred stock unit is convertible into one share of common stock, aligning director compensation with shareholder interests through equity rather than cash.
Morgan Stanley director reports deferred stock unit grant tied to service on the company’s board. On 12/01/2025, the director acquired 429.612 shares of Morgan Stanley common stock in the form of deferred stock units at a price of $168.757 per share. These units were granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers for board service and are convertible into common stock on a 1-to-1 basis.
Following this grant, the director beneficially owns 45,137.158 shares of Morgan Stanley common stock in direct form. The filing reflects a routine equity-based compensation transaction for a board member rather than an open-market purchase or sale.
Morgan Stanley director reports deferred stock unit grant
A Morgan Stanley director filed a Form 4 reporting an award of 227.151 deferred stock units of Morgan Stanley common stock on 12/01/2025. The units were acquired at a price of $168.757 per share and increased the director’s beneficial ownership to 1,895.761 shares held directly.
The filing explains that these deferred stock units were granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers for serving on the Board of Directors. Each stock unit is convertible into one share of Morgan Stanley common stock.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $10,671,000 of Dual Directional Buffered Jump Securities linked to the Tokyo Stock Price Index (TOPIX), maturing on December 2, 2027. Each security has a $1,000 stated principal amount and is sold at $1,000, with an estimated value on the pricing date of $962.40.
The notes pay no interest and are principal at risk. If on the first determination date (December 7, 2026) TOPIX is at or above the initial index value of 3,378.44, the notes are automatically redeemed for $1,109.50 per security and terminate. If held to maturity and TOPIX is at or above the initial value, investors receive principal plus 150% of the index gain. If TOPIX is below the initial value but no more than 10% lower, investors receive a positive return equal to the absolute index move, capped at 10%. Below that 10% buffer, losses match the decline beyond the buffer, with a minimum maturity payment of $100 per security, meaning up to 90% of principal can be lost.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Buffered PLUS notes linked to the S&P 500® Futures Excess Return Index, with a stated principal of $1,000 per security and an aggregate principal amount of $370,000. The notes pay no interest and mature on December 3, 2031.
At maturity, if the index is above its initial level of 559.51, investors receive principal plus 167.75% of the index gain. If the index is flat or down but not below 75% of the initial level, investors receive only their principal. If the index falls more than 25%, principal is reduced one-for-one beyond that buffer, with a minimum payment of 25% of principal.
The securities are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on an exchange, so liquidity may be limited. The estimated value on the pricing date is $941.40 per security, below the issue price, reflecting structuring and distribution costs.