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 Enhanced Trigger Jump Securities linked to Robinhood Markets, Inc. Class A common stock. These are principal-at-risk notes that pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity on October 30, 2026, investors receive $1,000 plus a fixed upside payment if the final stock level is at or above the downside threshold; otherwise, they lose 1% of principal for each 1% decline. The upside payment is $217 per security (21.70% of principal), and the downside threshold is 50% of the initial level. Key dates include a strike/pricing date of October 24, 2025 and an observation date of October 27, 2026.
The issue price is $1,000 per security; the estimated value on the pricing date is approximately $974.60 per security. The securities will not be listed on any exchange. Sales are to fee‑based advisory accounts; selected dealers may receive a structuring fee of up to $6.25 per security. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC filed a 424(b)(2) preliminary pricing supplement for Contingent Income Auto-Callable Securities linked to Robinhood Markets, Inc. Class A stock, fully and unconditionally guaranteed by Morgan Stanley.
The notes offer a 19.25% per annum contingent coupon, paid only if the Robinhood closing level is at or above the coupon barrier (50% of the initial level) on each observation date. The notes may be automatically redeemed if the underlier is at or above the call threshold (100% of the initial level) on a redemption determination date, starting April 17, 2026, for principal plus the contingent coupon. If held to maturity on October 22, 2029 and the final level is below the downside threshold (50% of initial), investors lose 1% of principal for each 1% decline; repayment of principal is not guaranteed.
The issue price is $1,000 per security; the estimated value on the pricing date is approximately $943.40 per security. The notes are unsecured, subject to the issuer’s and guarantor’s credit risk, and will not be listed. Tax treatment is uncertain; non‑U.S. holders may be subject to 30% withholding on coupons.
Morgan Stanley Finance LLC launched preliminary terms for Enhanced Buffered Jump Securities tied to the S&P 500 Index, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay no interest and are designed for investors seeking equity-linked exposure with a capped upside and partial downside buffer through maturity on October 28, 2026.
At maturity, if the S&P 500 final level is at or above the buffer level of 5,897.259 (90% of the 6,552.51 initial level), each $1,000 security returns principal plus a fixed upside payment of $85.50 (8.55%). If the final level is below the buffer, repayment is reduced by 1.1111% for each 1% decline beyond the 10% buffer, with no minimum—principal could be lost in full.
The price to public is $1,000 per security, with up to $10 in placement fees and $990 in proceeds to the issuer per security. The estimated value on the pricing date is approximately $986.40 per security. The notes are unsecured obligations of MSFL, subject to Morgan Stanley credit risk, are not listed on any exchange, and feature key dates: strike October 10, 2025, pricing October 16, 2025, issue October 21, 2025, and observation October 23, 2026.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto-Callable Securities linked to Palantir Technologies Inc. (Class A) under Rule 424(b)(2). Each note has a $1,000 stated principal and an estimated value on the pricing date of approximately $949.50 per security.
The notes pay a contingent coupon at an annual rate of at least 16.25%, but only if the underlier’s closing level is at or above the coupon barrier (50% of the initial level) on the observation date. The notes are auto-callable if the underlier is at or above the call threshold (100% of the initial level) on any redemption determination date, returning principal plus the coupon.
If not called, the notes mature on October 22, 2029. At maturity, if the underlier is at or above the downside threshold (50% of the initial level), investors receive principal (plus any final coupon if payable). Otherwise, repayment is reduced 1% for each 1% decline from the initial level, and could be zero. The securities are unsecured, subject to issuer and guarantor credit risk, and will not be listed.
Morgan Stanley Finance LLC launched a preliminary pricing for principal-at-risk, contingent income “memory” auto-callable securities due October 19, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of Rubrik, Inc. Class A common stock and Apple, Inc. common stock. They pay a contingent coupon only if each underlier closes at or above its coupon barrier on the observation date; missed coupons can be paid later if both underliers meet the barrier on a future date.
The notes may auto-redeem starting April 16, 2026 if each underlier is at or above its call threshold, returning the stated principal plus the applicable contingent coupon and any previously unpaid coupons. If held to maturity and either underlier finishes below its downside threshold, the repayment is reduced 1% for each 1% decline of the worst performer, which can result in a total loss. The contingent coupon rate is 21.00% per annum; coupon and redemption mechanics reference barriers set at 70% and thresholds at 100% of initial levels. The issue price is $1,000 per security, with an estimated value on the pricing date of approximately $941.30 per security. The notes will not be listed and are subject to Morgan Stanley’s credit risk.
Morgan Stanley reports that the Federal Reserve has reduced its Stress Capital Buffer from 5.1% to 4.3%, effective October 1, 2025, after the company sought reconsideration of its preliminary buffer set in June 2025. This lower buffer, combined with other regulatory capital requirements, results in an aggregate U.S. Basel III Standardized Approach Common Equity Tier 1 (CET1) ratio requirement of 11.8%.
The company’s actual U.S. Basel III Standardized Approach CET1 ratio was 15.0% as of June 30, 2025, meaning its capital stood above the new required minimum at that date. Morgan Stanley also notes that it has issued a press release about this change, which is included as an exhibit.
Morgan Stanley and its affiliate Morgan Stanley Finance LLC approved new forms of Master Notes to support future issuances under their existing Global Medium-Term Note programs. On September 23, 2025, Morgan Stanley approved a Form of Master Note for Global Medium-Term Notes, Series I issued under its Senior Indenture with The Bank of New York Mellon as trustee. On the same date, Morgan Stanley Finance LLC approved a Form of Master Note for Global Medium-Term Notes, Series A issued under its Senior Indenture, with Morgan Stanley as guarantor and The Bank of New York Mellon as trustee. The report also includes related exhibits such as the Master Note forms and a legal opinion and consent from Davis Polk & Wardwell LLP.
Morgan Stanley filed a Form 13F-HR reporting holdings as of 06-30-2025 in a combination report covering multiple affiliated managers. The filing aggregates positions from 24 other included managers, reports 44,865 information table entries and discloses a combined market value of $1,535,086,861,391. The cover page identifies the reporting manager (Morgan Stanley) and a primary contact signer (Chris O'Hara). The filing type is a 13F combination report, indicating some holdings are reported here and others are reported by affiliated managers listed on the form.