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 Dual Directional Auto-Callable Trigger PLUS notes due September 6, 2028, linked to the Class A common stock of Space Exploration Technologies Corp., and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and exposes investors to principal loss.
The notes auto-call on August 23, 2027 if the determination closing price of the stock is at or above the initial share price, paying an early redemption amount of $1,414 per $1,000 and then terminating. If not called, at maturity investors receive: leveraged upside of 150% of stock gains when the final price is at or above the initial price; an “absolute return” if the final price is below the initial but at or above the downside threshold level of 60% of the initial price, capped at a 40% gain; or a 1‑for‑1 loss if the final price is below the downside threshold, potentially resulting in a zero payoff.
The estimated value on the pricing date is approximately $950.20 per security, below the $1,000 issue price due to selling, structuring and hedging costs. All payments depend on Morgan Stanley’s credit, and the issuing subsidiary has no independent operations or assets.
Morgan Stanley Finance LLC is offering Buffered Jump Securities with an auto-call feature due August 10, 2029, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, is issued at $1,000, and is a principal-at-risk, unsecured note that pays no interest. All payments depend on Morgan Stanley’s credit; a default could result in loss of some or all invested capital.
The notes may be automatically redeemed on quarterly determination dates from August 10, 2027 onward if the index closing level is at or above the call threshold level of 90% of the initial level, for fixed early redemption payments starting at $1,171 per security and rising to $1,498.75. If not called, payment at maturity is: $1,513 per security if the final index level is at or above the call threshold; return of principal if the final level is between the 80% buffer level and the call threshold; and a loss of 1% of principal for each 1% decline beyond the 20% buffer, subject to a minimum payment of 20% of principal.
The estimated value on the pricing date is approximately $943.60 per security, below the issue price due to issuance, selling, structuring and hedging costs and the issuer’s funding rate. The underlier is a rules-based, leveraged, volatility-targeting index with a 4% per annum decrement and limited live history since March 14, 2022, adding index-specific and modeling risks in addition to liquidity, market value, tax and conflict-of-interest risks described in the risk factors.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due August 3, 2029, linked to the Class A common stock of Space Exploration Technologies Corp. Each security has a $1,000 stated principal amount and is fully and unconditionally guaranteed by Morgan Stanley, with principal at risk.
Investors may receive a 24.00% per annum contingent coupon, payable only if the underlying stock’s closing level on an observation date is at or above a coupon barrier level equal to 50% of the initial level. The notes are automatically redeemed at par plus the contingent coupon if, on any redemption determination date from July 30, 2027 onward, the underlying closes at or above a call threshold level equal to 100% of the initial level.
If not redeemed early, at maturity on August 3, 2029 investors receive par (plus any final coupon) if the final level is at or above a downside threshold level equal to 50% of the initial level; otherwise the payoff equals $1,000 multiplied by the performance factor (final level ÷ initial level), exposing investors to the full downside and potential loss of the entire investment. The estimated value on the pricing date is approximately $951.00 per security, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC is offering structured Buffered Jump Securities with an auto-call feature due August 17, 2028, linked to the Global X Defense Tech ETF and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price of $1,000, with an estimated value on the pricing date of approximately $977.10, reflecting embedded issuance, selling, structuring and hedging costs borne by investors.
The notes may be automatically redeemed on September 1, 2027 if the ETF’s closing level on August 27, 2027 is at or above the call threshold, paying at least $1,148.10 per security and then terminating. If not called, at maturity investors receive upside at a 125% participation rate if the final level exceeds the initial level; full principal return if the final level is between the initial level and a 15% buffer; and a leveraged loss of 1.1765% of principal per 1% decline beyond the buffer, with no minimum payment and potential total loss. The notes pay no interest, are unsecured and subject to Morgan Stanley’s and MSFL’s credit risk, involve limited liquidity, and carry complex U.S. tax and sector-concentration risks tied to the defense industry.
Morgan Stanley Finance LLC is offering Buffered Participation Securities linked to the MSCI Emerging Markets Index, due August 5, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and is principal at risk.
At maturity, if the index is above its initial level, holders receive $1,000 plus an upside payment equal to 101.50% of the index gain. If the index is at or below the initial level but at or above 80% of the initial level, investors receive only the principal. Below the 80% buffer, principal is reduced 1% for each 1% decline beyond the 20% buffer, subject to a minimum payment of 20% of principal.
The estimated value on the pricing date is approximately $955 per $1,000 security, reflecting embedded costs and a rate advantageous to the issuer. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, may have limited or no secondary market liquidity, and carry complex and uncertain U.S. tax treatment as prepaid financial contracts.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due July 10, 2031, fully and unconditionally guaranteed by Morgan Stanley, with a $1,000 stated principal amount per security and principal at risk. The notes are linked on a worst-of basis to the Nasdaq-100, Russell 2000 and S&P 500 indices.
Investors may receive an 11.20% per annum contingent coupon, paid only if on each observation date all three indices are at or above 75% of their initial level; otherwise no coupon is paid for that period. At maturity, if the notes have not been called and each index is at or above 70% of its initial level, investors receive principal back (plus any final coupon). If any index is below 70%, repayment is reduced in proportion to the decline of the worst-performing index, down to zero.
The notes are callable quarterly from August 13, 2027, based on a risk neutral valuation model, not index performance alone. The estimated value on the pricing date is approximately $973.10 per security, below the $1,000 issue price, reflecting issuance, structuring and hedging costs. All payments depend on Morgan Stanley’s credit, and the U.S. tax treatment is uncertain.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Enhanced Buffered Jump Securities linked to the S&P 500® Index under its Series A global medium-term note program. Each security has a $1,000 stated principal amount and pays no interest, with principal at risk.
At maturity on September 1, 2027, if the S&P 500 final level is at or above the buffer level of 85% of the initial level, investors receive $1,000 plus a fixed upside payment of at least $78.90 per security. If the final level is below the buffer level, investors lose 1.1765% of principal for each 1% index decline beyond the 15% buffer, with no minimum payment, so the entire investment can be lost.
The estimated value on the pricing date is approximately $984.30 per $1,000 security, reflecting issuance, selling, structuring and hedging costs. The notes are unsecured obligations subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, may have limited secondary market liquidity, and carry complex U.S. federal income tax considerations.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Enhanced Buffered Jump Securities linked to the S&P 500® Index, maturing September 1, 2027. Each security has a $1,000 stated principal amount and pays no interest, with principal at risk and no minimum payment at maturity.
At maturity, if the S&P 500 final level is at or above the buffer level, investors receive $1,000 plus an upside payment of at least $93.10 per security (at least 9.31%). If the final level is below the buffer level (set at 90% of the initial level, providing a 10% buffer), investors lose 1.1111% of principal for each 1% decline beyond the buffer. In extreme declines, the repayment can be zero.
The estimated value on the pricing date is approximately $985.20 per security, reflecting issuance, selling, structuring and hedging costs. The notes are unsecured obligations of MSFL, subject to the credit risk of both MSFL and Morgan Stanley, and may have limited or no secondary market liquidity. U.S. tax treatment is uncertain and expected to follow prepaid financial contract treatment, subject to future confirmation.
Morgan Stanley Finance LLC is offering Dual Directional Trigger Participation Securities due February 3, 2028, linked to the Nasdaq-100 Index® and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and is unsecured principal-at-risk debt.
At maturity, if the index has risen, investors receive $1,000 plus 100% of the upside, capped at a maximum payment of $1,315 (131.50% of principal). If the index is flat or down but at or above the 80% downside threshold, investors earn a positive return equal to the absolute decline, effectively capped at 20%. If the index finishes below the downside threshold, repayment is linear to the loss and can be as low as $0, illustrated by an 85% drop yielding only $150.
The estimated value on the pricing date is approximately $986.20 per security, reflecting issuance, structuring and hedging costs. The notes are intended for fee-based advisory accounts that can tolerate full loss of principal, accept issuer and guarantor credit risk, complex tax treatment and limited or no secondary market liquidity.
Morgan Stanley Finance LLC is offering $12,138,000 of Digital S&P 500® Index-Linked Notes due March 22, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and are principal-at-risk unsecured obligations.
Each note has a $1,000 Face Amount. At maturity, if the S&P 500 final level is at least 87.50% of the initial level (6,486.5325 vs. 7,413.18), investors receive a fixed Maximum Settlement Amount of $1,161.80 per note (116.18% of face). If the index falls more than 12.50%, repayment is reduced by a Buffer Rate of about 114.29% of the decline below the threshold, with no minimum; investors could lose their entire investment.
The notes are issued at $1,000 per note with no agent commissions; Morgan Stanley’s estimated value on the trade date is $997.80 per note. The notes are not listed, may have limited or no secondary market, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk.