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 $370,000 of Market-Linked Notes due November 26, 2030 tied to the S&P 500® Futures Excess Return Index. Each note has a $1,000 stated principal amount, is sold at $1,000, and pays no interest.
At maturity, investors receive at least their principal, plus an upside payment if the index final level exceeds the initial level of 539.99. The upside payment equals principal multiplied by a 128% participation rate times the index percent gain; if the index is flat or lower, only principal is repaid. The issuer’s estimated value on the pricing date is $976.20 per note, reflecting embedded issuance, structuring and hedging costs.
The notes are unsecured obligations subject to the credit risk of MSFL and Morgan Stanley, will not be listed on an exchange, and may have limited or no secondary market liquidity. For U.S. tax purposes, they are expected to be treated as contingent payment debt instruments, requiring accrual of taxable interest income over their life.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk, auto-callable market-linked securities tied to the worst performer of Broadcom, Alphabet (Class C) and Netflix common stock, due December 21, 2028.
The notes can be automatically called on the December 2026 call date for a cash payment of at least 141% of face amount, after which no further payments are made. If not called, at maturity holders receive leveraged upside of 300% of any gain in the lowest-performing stock, or a contingent "absolute" return if that stock is down but not by more than 50%, capped so that total positive payoff cannot exceed face amount plus $500.
If the lowest-performing stock falls more than 50% from its starting price, investors lose more than 50%, up to their entire principal. The securities pay no interest, provide no dividends, are unsecured obligations subject to Morgan Stanley’s credit risk, are not listed on any exchange and have an estimated initial value of about $939.50 per $1,000 security, reflecting embedded costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $2,905,000 of market-linked, principal-at-risk securities tied to an unequally weighted basket of five foreign equity indices, maturing on November 27, 2028. The basket allocates 40% to the EURO STOXX 50, 25% to the Nikkei 225, 17.5% to the FTSE 100, 10% to the Swiss Market Index and 7.5% to the S&P/ASX 200, with 125% participation in positive basket returns if held to maturity and not called.
The notes are auto-callable on November 27, 2026 for a fixed cash payment of $1,105 per $1,000 face amount if the basket is at or above its starting level, capping upside at a 10.5% return if called. If not called, investors receive their full principal at maturity only if the basket’s ending level is at or above 75% of the starting level; below this threshold, losses are 1:1 with the basket and can reach 100% of principal.
The securities pay no interest, provide no dividends from the underlying indices, will not be listed on an exchange and are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $966.00 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing fixed income structured securities due May 26, 2027 with principal at risk. Each security has a $1,000 stated principal amount and pays a fixed coupon of 7.40% per year, with monthly coupon payments.
At maturity, investors receive the full principal only if the final level of each of the S&P 500 Index, Nasdaq-100 Technology Sector Index and Russell 2000 Index is at or above its downside threshold, set at about 70% of its initial level. If any index finishes below its threshold, the repayment of principal is reduced in proportion to the decline of the worst performing index and can fall to zero, though the final coupon is still paid.
The issue price is $1,000 per security, aggregate principal is $1,142,000, and the issuer’s estimated value on the pricing date is $963.90 per security, reflecting embedded fees and an internal funding rate. The notes are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on any securities exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Dual Directional Buffered PLUS linked to a weighted basket of equity indices and an ETF, in an aggregate principal amount of $3,893,000 at $1,000 per security. The basket includes the iShares MSCI EAFE ETF, MSCI Emerging Markets Index, Russell 2000 Index, S&P 500 Index and S&P MidCap 400 Index with fixed weightings and multipliers.
The notes pay no interest and return depends solely on the basket level on the November 22, 2027 observation date. Investors receive leveraged upside at 150% participation up to a maximum payment of $1,230 per security, limited absolute-return gains of up to 10% if the basket declines but stays above a 10% buffer, and lose 1% of principal for each 1% decline beyond the buffer, subject to a 10% minimum payment at maturity. The securities are unsecured, subject to Morgan Stanley’s credit risk, not listed on any exchange and may have limited secondary liquidity, with an estimated value on the pricing date of $984.20 per $1,000 security.
Morgan Stanley Finance LLC is issuing Dual Directional Buffered PLUS notes linked to a weighted basket of global equity indices and the iShares MSCI EAFE ETF, with an aggregate principal amount of $3,510,000 and a stated principal of $1,000 per security. The notes pay no interest, mature on November 27, 2028, and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, investors get 150% leveraged upside on any basket gain, capped at a maximum payment of $1,360 per security (136% of principal). If the basket is flat or down but not below the 10% buffer, investors receive a positive return matching the absolute decline, up to 10%. If the basket falls more than 10%, principal is reduced 1% for each additional 1% drop, subject to a minimum payment of 10% of principal. The estimated value on the pricing date is $978.60 per security, below the issue price, and the notes are subject to Morgan Stanley’s credit risk and limited secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk fixed income securities maturing on November 26, 2027, with an aggregate principal amount of $1,001,000 and a price of $1,000 per security. The notes pay a fixed coupon at an annual rate of 7.70%, with monthly coupon payments.
The securities are linked to the worst performance of the iShares® Russell 2000® ETF and the Consumer Discretionary Select Sector SPDR® Fund. If, on the observation date of November 22, 2027, the final level of each fund is at or above its downside threshold (IWM $148.922, XLY $143.754), investors receive full principal back plus the final coupon. If either fund is below its threshold, maturity payment is reduced in proportion to the decline of the worst performer and can fall to zero, though coupons are still paid. The estimated value on the pricing date is $987.90 per security, the notes are unsecured and unsubordinated, not listed on an exchange, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $288,000 of Leveraged Buffered Basket-Linked Notes due December 9, 2027 under its medium-term note program. The notes are unsecured, pay no interest and expose investors to principal loss based on a weighted basket of five equity indices: EURO STOXX 50® (38%), Tokyo Stock Price Index (26%), FTSE® 100 (17%), Swiss Market Index® (11%) and S&P®/ASX 200 (8%).
Each note has a $1,000 face amount124.38% of the basket’s positive return. If the basket falls up to 10%, investors receive back $1,000. If it falls more than 10%, repayment is reduced using a buffer rate of approximately 111.11% of the decline beyond 10%, and investors can lose their entire investment. The notes will not be listed, and secondary market liquidity may be limited. The estimated value on the trade date is $970.80 per note, below the $1,000 issue price, reflecting hedging, distribution and structuring costs borne by investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $5,336,000 of Callable Jump Notes due November 26, 2030 linked to the S&P 500 Futures Excess Return Index. Each note has a $1,000 principal amount and is sold at $1,000, with an estimated value on the pricing date of $952.50 after issuance, structuring and hedging costs.
The notes pay no periodic interest and return at least principal at maturity if not called. If held to maturity and the index finishes above the initial level of 539.99, investors receive $1,000 plus an upside payment equal to 150% of the index’s percentage gain; otherwise they receive only $1,000. Starting November 30, 2026, the issuer may redeem the notes in whole on scheduled redemption dates if a risk‑neutral valuation model shows early redemption is economically rational. Redemption payments are fixed and increase over time, beginning at $1,090 per note and reaching $1,442.50 near maturity.
Key risks include issuer and guarantor credit risk, no listing or assured secondary market, potential secondary prices well below $1,000, model‑driven call risk that can cap upside, index volatility and futures‑related risks, and complex U.S. tax treatment as contingent payment debt instruments.
Morgan Stanley Finance LLC is offering principal-at-risk Callable Jump Securities linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, total aggregate principal of $2,796,000, and matures on November 26, 2030 unless redeemed earlier.
Beginning December 1, 2026, the issuer may redeem the notes on scheduled redemption dates at fixed cash amounts designed to reflect about 17.50% per annum returns, after which no further payments are made. If not called and the final index level exceeds the initial level of 539.99, investors receive principal plus an upside amount equal to 265% of the index gain. If the final level is between 70% and 100% of the initial level, only principal is returned.
If the final level falls below the downside threshold of 377.993, the maturity payment declines 1% for every 1% index loss, potentially to zero. The securities pay no interest, are unsecured and subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $951.20 per note, below the $1,000 issue price due to embedded costs and the issuer’s internal funding rate.