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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 an auto-callable, principal-at-risk note series fully guaranteed by Morgan Stanley linked to the worst performing of the SPDR® S&P MidCap 400® ETF Trust (MDY) and the SPDR® S&P® Regional Banking ETF (KRE). The securities have a $1,000 stated principal amount, an original issue price of $1,000 and aggregate principal of $925,000. Automatic early redemption can occur on periodic determination dates beginning June 29, 2027, offering fixed early redemption payments that rise over time (first early redemption payment shown as $1,108 per security). If not redeemed, maturity is July 1, 2031 with a capped favorable payment of $1,540 if both underliers meet call thresholds; conversely, a final shortfall below the downside thresholds (70% of initial levels) exposes investors to up to 100% of the downside of the worst performing underlier.
Morgan Stanley Finance LLC is offering Market-Linked Notes due July 1, 2031 that are fully and unconditionally guaranteed by Morgan Stanley. The offering aggregates $4,421,000 and each Note has an Issue Price of $1,000 and an estimated Trade Date value of $953.10. The Notes pay no interest and at maturity will return either the $1,000 principal or, if a weighted Basket of five international indices has a positive Basket Return on the Determination Date, the principal plus the Basket Return multiplied by a 110% Participation Rate. The Notes are unsecured, not listed, subject to Morgan Stanley credit risk, and are intended to be held to maturity; proceeds will be used for general corporate purposes.
Morgan Stanley Finance LLC priced Structured Investments Step-Up Jump Notes linked to the Morgan Stanley Amplitude Index. The offering comprises $597,000 aggregate principal of notes with a $1,000 stated principal amount per note and an original issue price of $1,000. The notes pay no interest, mature on June 30, 2033, and are automatically redeemable on specified annual determination dates beginning with June 25, 2027, each with fixed early redemption payments that approximate 12.00% per annum. If not auto-redeemed, payment at maturity will return the stated principal plus any upside payment if the final index level exceeds the initial level of 206.52; otherwise only the stated principal is payable. All payments are unsecured obligations of MSFL and fully and unconditionally guaranteed by Morgan Stanley and are subject to issuer credit risk.
Morgan Stanley Finance LLC priced Principal-at-Risk notes linked to Netflix, Inc. due June 29, 2029. Each security has a $1,000 stated principal and an aggregate principal amount of $4,459,000. The securities pay a contingent coupon of 10.96% per annum on observation dates when the closing level of the underlier is at or above the coupon barrier of $47.977 (65% of the initial level). Automatic early redemption occurs if the closing level on a redemption determination date is at or above the call threshold of $73.81. At maturity, if the final level is below the downside threshold of $47.977, payment equals principal multiplied by the performance factor (final level / initial level), exposing investors to possible significant principal loss. The estimated value on the pricing date was $961.80 and the issue price was $1,000 per security.
Morgan Stanley Finance LLC is offering Trigger Autocallable GEARS linked to a weighted basket of 16 stocks, with a $10.00 principal amount per Security and an estimated Trade Date value of $9.647 per Security. The Securities are automatically called if the Observation Date Basket Closing Level on July 2, 2027 is greater than or equal to the Autocall Barrier of 100, in which case holders receive the Call Price of $11.30 per Security (based on a 13.00% per annum Call Return Rate). If not called, maturity is June 29, 2029 with payment determined by the Basket Return and an Upside Gearing of 1.35. A Downside Threshold of 75 applies; if the Final Basket Level is below that threshold the payment at maturity can be materially less than principal, including a total loss. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC prices a $15,000,000 offering of Structured Investments: Enhanced Buffered Jump Securities due July 9, 2027, fully and unconditionally guaranteed by Morgan Stanley. The securities are issued at a stated principal amount of $1,000 per security and were offered at the issue price of $1,000 per security.
The securities pay no interest, provide a fixed upside payment of $76 per security ( 7.60% ), and protect losses only up to a 25% buffer; beyond that buffer the downside is multiplied by a downside factor of 1.3333. The payout is determined solely by the worst performing underlier (INDU, SPW, or SPX) based on closing levels on the observation date.
Morgan Stanley Finance LLC priced a series of Trigger PLUS principal-at-risk securities. The securities reference the Russell 2000® and S&P 500® and pay at maturity based on the worst performing underlier. They offer a 130% leveraged upside if the worst underlier finishes above its initial level and provide limited principal protection only if both underliers finish at or above 75% of their initial levels. If the worst underlier finishes below its 75% downside threshold, investors lose 1% of principal for each 1% decline in that underlier; the payment could be significantly less than principal or zero. The issue price is $1,000 per security (estimated value on pricing date $962.20), aggregate principal $1,114,000, and maturity is June 28, 2029. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced a $2,617,000 issuance of Principal at Risk notes due June 30, 2031, fully guaranteed by Morgan Stanley. The securities are issued at $1,000 per security with a fixed coupon of 7.00% per annum payable monthly and an estimated value on the pricing date of $919.80 per security. The notes include an automatic early redemption feature if the S&P U.S. Equity Momentum 40% VT 4% Decrement Index closes at or above the call threshold (initial level 1,352.96) on a redemption determination date. At maturity, if the final level is below the buffer level of 1,150.016 (85% of initial), principal is reduced by 1% for each 1% decline beyond the buffer subject to a minimum payment of 15% of principal. Agent commissions of $43.50 per security reduce issuer proceeds to $2,503,160.50. All payments are subject to the issuer’s and guarantor’s credit risk and U.S. federal income tax treatment is uncertain.
Morgan Stanley Finance LLC priced a series of unsecured, market‑linked notes due June 30, 2031, fully guaranteed by Morgan Stanley. The offering is for an aggregate principal amount of $100,000 at an issue price of $1,000 per note. Each note links payoff to the EURO STOXX 50® Index with a participation rate of 110% and an initial level of 6,267.53 (strike date June 25, 2026), observation date June 25, 2031. At maturity, investors receive the stated principal plus 110% of any appreciation of the index; if the final level is equal to or less than the initial level, investors receive only the stated principal. The estimated value on the pricing date was $942.60 per note, and selected dealers receive a fixed sales commission of $20 per note.
Morgan Stanley Finance LLC issued structured notes tied to the Nasdaq-100 Index with a five-year term maturing on July 1, 2031. Each security has a $1,000 stated principal amount and an issue price of $1,000.
The securities have an automatic early redemption feature on the first determination date (June 28, 2027) if the closing level of the underlier is greater than or equal to the call threshold (29,118.24). The early redemption payment is $1,150 per security. If not redeemed, maturity payoffs depend on the final level relative to the initial level (29,118.24) and the downside threshold (23,294.592, 80% of the initial level). Investors receive the stated principal plus an upside payment at maturity if the final level is higher (participation rate 150%), receive principal only if the final level is between the downside threshold and initial level, or suffer loss proportional to the index decline if the final level is below the downside threshold.