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 priced Jump Securities with an auto-callable feature due October 13, 2028, linked to the worst of the S&P 500, Nasdaq-100 Technology Sector, and Russell 2000. These principal-at-risk notes are fully and unconditionally guaranteed by Morgan Stanley, issued at $1,000 per security with an aggregate principal amount of $1,061,000. The estimated value on the pricing date is $956.70 per security. Sales commissions are $27.50 per security; stated proceeds to the issuer total $1,031,822.50.
The notes auto-redeem if each index closes at or above its call threshold (100% of initial) on scheduled determination dates starting October 14, 2026, paying an amount corresponding to about 12.50% per annum (e.g., $1,125.00 on the first call, increasing over time). If not called, maturity outcomes are: $1,375.00 per security if all finals are at/above call thresholds; return of principal if any index is below its call threshold but all are at/above their downside thresholds (70% of initial); or a 1-for-1 loss with the worst performer if any finishes below its downside threshold, which can reduce repayment to zero. The securities are unsecured, subject to the issuer’s and guarantor’s credit risk, and will not be listed.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities due October 17, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of Fair Isaac (FICO), Meta Platforms (META) and SoFi Technologies (SOFI), with principal at risk and no participation in upside. Aggregate principal offered is $360,000 at $1,000 per note; estimated value on pricing date is $925.50.
The notes pay a contingent coupon at 25.32% per annum on each payment date only if each underlier is at or above its coupon barrier; missed coupons may be paid later if the condition is met. Automatic early redemption can occur beginning January 12, 2026 if each underlier is at or above its call threshold (100% of initial). If held to maturity and any final underlier level is below its downside threshold (60% of initial), repayment is reduced 1% for every 1% decline of the worst performer, potentially to zero. Initial levels: FICO $1,665.21, META $705.30, SOFI $26.19. Agent commission is $45 per security. All payments are subject to Morgan Stanley’s credit.
Morgan Stanley Finance LLC priced a $213,000 aggregate principal offering of Contingent Income Auto-Callable Securities due October 14, 2027, linked to Marvell Technology, Inc. (MRVL). Each $1,000 note pays a 14.50% per annum contingent coupon only when MRVL’s closing level is at or above the $51.366 coupon barrier (60% of the initial $85.61). The notes auto-call if MRVL is at or above the 100% call threshold ($85.61) on a redemption determination date, returning principal plus the applicable coupon.
Principal is at risk: if not called and MRVL’s final level is below the $51.366 downside threshold, repayment is reduced 1% per 1% decline and could be zero. The issue price is $1,000 per security, with $25 selling commissions; proceeds to the issuer are $975 per security ($207,675 total). The estimated value on the pricing date is $928.40 per security. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, will not be listed, and all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Buffered PLUS, principal-at-risk notes linked to the S&P 500 Futures Excess Return Index, maturing on October 16, 2031 and fully and unconditionally guaranteed by Morgan Stanley. The issuance totals $4,300,000 in aggregate principal at an issue price of $1,000 per security, with agent commissions of $37.50 per security and estimated value on the pricing date of $949.50 per security.
At maturity, investors receive principal plus a leveraged upside if the index rises, with a 185% leverage factor. If the final level is at or below the initial level of 537.95 but above the buffer level of 430.36 (an 80% threshold), repayment equals principal. Below the buffer, the notes lose 1% for each 1% decline beyond the 20% buffer, subject to a minimum payment of 20% of principal.
The notes pay no interest, are unsecured obligations of MSFL and subject to Morgan Stanley’s guarantee and credit risk. They will not be listed on an exchange. Key dates include the strike/pricing date of October 10, 2025, observation date of October 10, 2031, and maturity on October 16, 2031. Proceeds to the issuer are $4,138,750 after commissions.
Morgan Stanley Finance LLC priced a Rule 424(b)(2) offering of Contingent Income Auto‑Callable Securities linked to the common stock of Palo Alto Networks, Inc., fully and unconditionally guaranteed by Morgan Stanley. The notes total an aggregate principal amount of $3,710,000 and are issued at $1,000 per security, maturing on October 13, 2028.
The notes pay a contingent quarterly coupon at 10.86% per annum only when PANW’s determination closing price is at least 65% of the initial share price. The initial share price is $208.55, setting a downside threshold at $135.558. If on any of the first eleven determination dates the stock is at or above the initial share price, the notes auto‑call for principal plus the coupon.
If not called: at maturity investors receive principal plus the final coupon if the final share price is at or above the threshold; otherwise repayment is reduced 1‑for‑1 with the stock decline and can be zero. The estimated value on the pricing date is $968.60 per security. Commissions are $17.50 per security plus a $5 structuring fee. The notes will not be listed, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced $6.5 million of principal-at-risk Jump Securities due October 16, 2030, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performer of the Russell 2000 Index and EURO STOXX 50 Index, feature an automatic early redemption, and pay no interest.
The issue price is $1,000 per security, with a fixed sales commission of $30.50 and an estimated value on the pricing date of $957.10. Per-security proceeds to the issuer are $969.50, for total proceeds of $6,301,750. The securities are unsecured, not listed, and all payments are subject to Morgan Stanley’s credit risk.
Auto-call can occur on scheduled determination dates if each index closes at or above its call threshold (100% of the initial level), corresponding to early redemption payments equating to approximately 10.50% per annum starting January 12, 2026. If held to maturity: investors receive $1,525.00 per security if both final index levels meet the call threshold; the stated principal amount if both are at or above the 75% downside thresholds; otherwise, a loss matching the decline of the worst-performing index, which could reduce repayment to zero.
Morgan Stanley Finance LLC priced a primary offering of $1,757,000 Contingent Income Auto-Callable Securities linked to UnitedHealth Group common stock. The notes pay a 12.75% annual contingent coupon only if the closing level is at or above the coupon barrier of $248.15 (70% of the $354.50 initial level) on each observation date. They are auto-callable if the underlier is at or above the $354.50 call threshold on specified dates. If held to maturity on October 4, 2028 and the final level is below the $248.15 downside threshold, repayment of principal is reduced 1% for each 1% decline, potentially to zero.
Issue price is $1,000 per security; estimated value on the pricing date is $968.70 per security. Agent commissions total $35,140 ($20 per security), with proceeds to the issuer of $1,721,860. First redemption determination date is December 31, 2025; the notes are not listed, and all payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Callable Contingent Income Securities due October 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay a contingent coupon at 16.55% per annum only if, on each observation date, the closing level of the SPDR S&P Regional Banking ETF (KRE), the Energy Select Sector SPDR Fund (XLE) and the Nasdaq-100 Technology Sector Index (NDXT) is at or above each underlier’s coupon barrier (70% of its initial level).
The notes may be redeemed early, in whole, on specified redemption dates beginning January 23, 2026, if and only if a risk neutral valuation model indicates redemption is economically rational for the issuer. If held to maturity and each final underlier level is at or above its downside threshold (70%), investors receive the stated principal amount plus any final coupon; otherwise, repayment is reduced 1% for each 1% decline of the worst performer and could be zero. The issue price is $1,000 per security; the estimated value on the pricing date is approximately $979.70 per security.
The securities will not be listed, all payments are subject to the issuer’s credit risk, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Buffered Participation Securities linked to the S&P 500 Index, due April 28, 2027. The notes pay no interest and return depends on the index level on the observation date.
At maturity, investors receive $1,000 plus the index upside at a 100% participation rate, capped at a maximum payment of $1,147.50 per security. If the index is flat to down but not below the 10% buffer, investors earn the absolute decline at 100% participation, effectively up to a +10% positive return. If the index falls beyond the buffer, principal is reduced 1% for each 1% decline beyond 10%, with a minimum payment of 10% of principal.
The issue price is $1,000 per security, including a $15 sales commission (proceeds to issuer $985 per security). The estimated value on the pricing date is approximately $980.10 per security (or within $35 of that estimate). The securities are unsecured obligations subject to the issuer’s and guarantor’s credit risk and will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-call feature maturing on October 26, 2028, linked to the worst performer of the S&P 500, Nasdaq-100 Technology Sector, and Russell 2000 indices.
Each security is issued at $1,000 and may be automatically redeemed on November 3, 2026 if all underliers close at or above their 100% call thresholds on October 29, 2026, paying an early redemption amount of $1,182.50 per security. If held to maturity and all underliers finish above initial levels, the payoff equals principal plus 175% of the worst underlier’s gain. If any underlier finishes at or below initial but all are at or above the 70% downside thresholds, investors receive only principal. If any underlier finishes below its downside threshold, repayment is reduced one-for-one with the decline of the worst performer, and could be zero.
The securities pay no interest, are unsecured, will not be listed, and are subject to the issuers’ credit risk. The estimated value on the pricing date is approximately $950.10 per security.