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Prospect News home > News index > List of issuers C > Headlines for Calendar > News item

Published on 12/13/2013 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Capped notes due Dec. 23, 2033 linked to the 30-year Constant Maturity Swap rate and five-year CMS rate; via BofA Merrill Lynch; settling Dec. 23; Cusip: 06048WPJ3

• Autocallable market-linked step-up notes due December 2016 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December

• 0% Strategic Accelerated Redemption Securities due January 2015 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December

• Market-linked step-up notes due December 2017 tied to Euro Stoxx 50 index and the MSCI Emerging Markets index; 85% trigger; via BofA Merrill Lynch; pricing in December

• 0% Accelerated Return Notes due February 2015 linked to the NYSE Arca Gold Miners index; via BofA Merrill Lynch; pricing in December

• 0% Accelerated Return Notes due December 2015 linked to the Rogers International Commodity Index - Excess Return; via BofA Merrill Lynch; pricing in December

• Autocallable market-linked step-up notes due December 2016 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in December

• Autocallable market-linked step-up notes due December 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in December

• Market-linked step-up notes due December 2016 tied to S&P 500 index, the Euro Stoxx 50 index and the MSCI EAFE index; via BofA Merrill Lynch; pricing in December

BANK OF MONTREAL

• 0% senior medium-term notes, series B, due Dec. 19, 2014 linked to Raymond James Analysts' Best Picks for 2014; via BMO Capital Markets Corp.; settling Dec. 17; Cusip: 06366RSC0

• 0% contingent risk absolute return notes due Dec. 24, 2015 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 19; Cusip: 06366RSP1

• 0% buffered bullish enhanced return notes due Dec. 24, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Dec. 19; Cusip: 06366RSN6

• 0% basket tracking notes due Jan. 9, 2015 linked to the Top 20 GARP Picks Portfolio (Actavis plc, Arris Group, Inc., Blucora Inc., Citigroup Inc., Express Scripts Holdings Co., GameStop Corp., Huntington Ingalls Industries Inc., Jazz Pharmaceuticals plc, Nu Skin Enterprises, Inc., NXP Semiconductors NV, Packaging Corp. of America, Prudential Financial, Inc., Qualcomm Inc., Seacor Holdings Inc., Spirit Airlines, Inc., Spirit Aerosystems Holdings, Inc., Skyworks Solutions, Inc., United Continental Holdings, Inc., Ubiquiti Networks Inc. and WisdomTree Investment Inc.); via BMO Capital Markets Corp., pricing Dec. 20; Cusip: 06366RSM8

• 0% buffered bullish enhanced return notes due Dec. 30, 2015 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Dec. 20; Cusip: 06366RSE6

• 0% autocallable barrier notes with step-up call price due Dec. 30, 2016 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Dec. 20

• 0% upside booster notes with barrier due Dec. 28, 2018 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Dec. 20; Cusip: 06366RSH9

• 0% bullish enhanced return notes with lookback feature due Dec. 30, 2016 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Dec. 20; Cusip: 06366RSJ5

BANK OF NOVA SCOTIA

• Capped fixed-to-floating notes due Dec. 23, 2016; via Scotia Capital (USA) Inc.; pricing Dec. 18; Cusip: 064159DC7

• Capped fixed-to-floating notes due Dec. 27, 2020; via Scotia Capital (USA) Inc.; pricing Dec. 20; Cusip: 064159CY0

• Autocallable contingent interest barrier notes due Dec. 27, 2016 linked to the common stock of Microsoft Corp.; via Scotia Capital (USA) Inc.; pricing Dec. 20; Cusip: 064159CW4

• 14- to 16-month 0% series A digital coupon notes linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc. with Goldman Sachs & Co. as dealer; Cusip: 064159353

BANK OF THE WEST

• Income advantage market-linked certificates of deposit due Dec. 26, 2018 linked to the common stocks of Altria Group Inc., AT&T Inc., Intel Corp., Merck & Co., Inc. and Williams Cos., Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Dec. 20; Cusip: 06426XJK

• Income advantage market-linked certificates of deposit due Dec. 26, 2019 linked to five common stocks selected from the S&P Capital IQ Stars Universe (CME Group Inc., Intel Corp., Lorillard Inc., Merck & Co., Inc. and PPL Corp.); via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Dec. 20; Cusip: 06426XJL5

• Contingent variable-income market-linked certificates of deposit due Dec. 28, 2020 linked to the common stocks of Altria Group Inc., AT&T Inc., Freeport-McMoRan Copper & Gold Inc., Lorillard Inc., Marathon Petroleum Corp., McDonald's Corp., Merck & Co., Inc., Pfizer Inc., Verizon Communications Inc. and Williams Cos., Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Dec. 20; Cusip: 06426XJM3

• Income advantage market-linked certificates of deposit due Dec. 28, 2020 linked to the common stocks of Altria Group Inc., AT&T Inc., Intel Corp., Merck & Co., Inc. and Williams Cos., Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Dec. 20; Cusip: 06426XJN1

BARCLAYS BANK DELAWARE

• Certificates of deposit due Dec. 28, 2018 linked to a basket of 10 common stocks (Apple, Inc., AT&T Inc., Bristol-Myers Squibb Co., Cisco Systems, Inc., Duke Energy Corp., Ford Motor Co., Hewlett-Packard Co., McDonald's Corp., Nike, Inc. and Yahoo! Inc.); via Barclays; pricing Dec. 23; Cusip: 06740AG45

• Certificates of deposit due Dec. 27, 2019 linked to a basket of 10 common stocks (Apple, Inc., AT&T Inc., Duke Energy Corp., Eli Lilly and Co., Intel Corp., Lockheed Martin Corp., Starbucks Corp. Verizon Communications Inc., Walgreen Co. and Wells Fargo & Co.); via Barclays; pricing Dec. 23; Cusip: 06740AG94

• Certificates of deposit due Dec. 29, 2020 linked to a basket of 10 common stocks (Apple, Inc., AT&T Inc., Duke Energy Corp., Eli Lilly and Co., Intel Corp., Lockheed Martin Corp., Starbucks Corp. Verizon Communications Inc., Walgreen Co. and Wells Fargo & Co.); via Barclays; pricing Dec. 23; Cusip: 06740AG29

• 0% certificates of deposit due Dec. 29, 2020 linked to the Euro Stoxx 50 index; via Barclays; pricing Dec. 23; Cusip: 06740AG37

• 0% certificates of deposit due Dec. 27, 2019 linked to a basket of four equally weighted indexes (Hang Seng index, Euro Stoxx 50 index, FTSE 100 index and S&P 500 index); via Barclays; pricing Dec. 23; Cusip: 06740AH69

• 0.25%-0.35% certificates of deposit due Dec. 28, 2018 linked to the S&P 500 index; via Barclays; pricing Dec. 23; Cusip: 06740AH28

• 0% certificates of deposit due Dec. 29, 2020 linked to the S&P 500 index; via Barclays; pricing Dec. 23; Cusip: 06740AF95

• 0.25%-0.5% certificates of deposit due Dec. 29, 2020 linked to the Shiller Barclays CAPE US Sector Risk Controlled 7% USD Excess Return index; via Barclays; pricing Dec. 23; Cusip: 06740AG78

BARCLAYS BANK PLC

• 0% Performance Leveraged Upside Securities due Dec. 29, 2014 linked to the S&P 500 index; via Barclays with Morgan Stanley Wealth Management; pricing Dec. 17; Cusip: 06742E174

• Capped callable steepener notes due Dec. 23, 2033 linked to the 30-year and five-year Constant Maturity Swap rates; via Barclays; pricing Dec. 18; Cusip: 06741T2W6

• Capped and floored fixed-to-floating notes due Dec. 24, 2018; via Barclays; pricing Dec. 19; Cusip: 06741T2Z9

• 7.35% reverse convertible notes due June 24, 2014 linked to Denbury Resources Inc. stock; via Barclays Capital; pricing Dec. 19; Cusip: 06741J5R6

• 0% buffered Super Track notes due Dec. 24, 2015 linked to the iShares MSCI Emerging Markets ETF; via Barclays; pricing Dec. 19; Cusip: 06741T3C9

• 0% buffered Super Track notes due Dec. 24, 2015 linked to the iShares MSCI EAFE ETF; via Barclays; pricing Dec. 19; Cusip: 06741T3B1

• Contingent income autocallable securities due Dec. 23, 2016 linked to Bank of America Corp. shares; 80% trigger; via Barclays with Morgan Stanley Smith Barney LLC; pricing Dec. 20; Cusip: 06742E166

• 0% Super Track notes due June 23, 2017 linked to the Euro Stoxx 50 index; via Barclays; pricing Dec. 20; Cusip: 06741T2J5

• 0% trigger autocallable optimization securities due Dec. 31, 2018 linked to the Euro Stoxx 50 index; via Barclays with UBS Financial Services Inc.; pricing Dec. 20; Cusip: 06742E299

• Step-up fixed-rate callable notes due Dec. 27, 2023; via Barclays; pricing Dec. 23; Cusip: 06741T3L9

• 0% buffered digital plus notes due Dec. 28, 2018 linked to the Dow Jones industrial average; via Barclays; pricing Dec. 23; Cusip: 06741T2S5

• Callable contingent payment notes due Dec. 27, 2018 linked to the Market Vector Gold Miners exchange-traded fund; via Barclays; pricing Dec. 23; Cusip: 06741T2Q9

• Notes due Dec. 27, 2019 linked to the capped quarterly performance of the S&P 500 index; via Barclays; pricing Dec. 23; Cusip: 06741T2N6

• 0% buffered Super Track notes due Dec. 28, 2018 linked to the S&P 500 index; via Barclays; pricing Dec. 23; Cusip: 06741T2V8

• 0% trigger performance securities due Dec. 31, 2018 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Dec. 26; Cusip: 06742E349

• 0% trigger performance securities due Dec. 31, 2018 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via UBS Financial Services Inc. and Barclays; pricing Dec. 26; Cusip: 06742E356

• Annual reset coupon buffered notes due Dec. 31, 2019 linked to the Russell 2000 index; via Barclays; pricing Dec. 27; Cusip: 06741T2P1

• 0% Currency Market Index Target-Term Securities due December 2015 linked to a basket of equally weighted emerging market currencies (Brazilian real and Mexican peso) relative to the euro; via BofA Merrill Lynch; pricing in December

• Callable contingent coupon notes due December 2015 linked to Deutsche Bank AG shares; 70% trigger; via Barclays; pricing in December; Cusip: 06741J5Q8

• Contingent income autocallable securities due December 2014 linked to Chipotle Mexican Grill, Inc. shares; 75% trigger; via Barclays with Morgan Stanley Smith Barney LLC; pricing in December; Cusip: 61762W745

• 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets exchange-traded fund; via Barclays; pricing in December; Cusip: 06741T3D7

• 0% notes due Jan. 6, 2017 linked to the EquityCompass Share Buyback index; via Barclays; pricing Jan. 3; Cusip: 06741T2Y2

BMO HARRIS BANK NA

• Annual income opportunity certificates of deposit with minimum return due Dec. 28, 2020 linked to a basket of stocks (Applied Materials, Inc., CME Group Inc./IL, Cisco Systems, Inc., Exelon Corp., Sysco Corp., Lockheed Martin Corp., McDonald's Corp., Altria Group, Inc., Monsanto Co. and Merck & Co., Inc.); via HSBC Securities (USA) Inc. with Advisors Asset Management, Inc. as distributor; pricing Dec. 20; Cusip: 40434AGT0

• Annual digital yield generator certificates of deposit due Sept. 30, 2019 linked to a basket of 10 equally weighted stocks (Best Buy Co., Inc., Bristol-Myers Squibb Co., Costco Wholesale Corp., Dollar General Corp., Lorillard, Inc., McDonald's Corp., Potash Corp. of Saskatchewan Inc., Seagate Technology plc, Walgreen Co. and Vodafone Group plc); bia BMO Capital Markets Corp.; pricing Dec. 20; Cusip: 05573J UZ5

• Income plus certificates of deposit due Dec. 28, 2020 linked to a basket of common stocks (Bristol-Myers Squibb Co., ConocoPhillips, Kraft Foods Group, Inc., McDonald's Corp. and Altria Group, Inc.); via HSBC Securities (USA) Inc. with Advisors Asset Management, Inc. as distributor; pricing Dec. 20; Cusip: 40434AGN3

• Growth opportunity certificates of deposit due Dec. 28, 2020 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc. with Advisors Asset Management, Inc. as distributor; pricing Dec. 20; Cusip: 40434AGS2

• Growth opportunity certificates of deposit due June 6, 2020 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc. with Advisors Asset Management, Inc. as distributor; pricing Dec. 20; Cusip: 40434AGU7

BNP PARIBAS

• 0% buffered notes due Dec. 27, 2017 linked to the Dow Jones industrial average; via BNPP Securities with Advisors Asset Management, Inc. as distributor; pricing Dec. 20; Cusip: 05574LTG3

• 0% buffered return enhanced notes due Dec. 29, 2015 linked to the S&P 500 index; via BNPP Securities with Advisors Asset Management, Inc. as distributor; pricing Dec. 20; Cusip: 05574LTE8

• 23- to 26-month 0% notes linked to the Russell 2000 index; via BNP Paribas Securities Corp.; Cusip: 05574LRC4

CITIGROUP INC.

• Callable leveraged CMS spread notes due Dec. 20, 2033 linked to the 30-year Constant Maturity Swap Rate and the five-year CMS rate; via Citigroup Global Markets Inc.; pricing Dec. 17; Cusip: 1730T0E21

• 0% barrier securities due June 22, 2017 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Dec. 17; Cusip: 1730T0D48

• 8%-10% single observation Equity Linked Securities due June 20, 2014 linked to the common stock of Facebook, Inc.; via Citigroup Global Markets Inc.; pricing Dec. 17; Cusip: 1730T0D89

• Autocallable equity-linked securities due Dec. 23, 2014 tied to common units representing limited partnership interests of Blackstone Group LP; via Citigroup Global Markets Inc.; pricing Dec. 20; Cusip: 17321F391

• 0% Accelerated Return Notes due Sept. 25, 2017 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Dec. 20; Cusip: 1730T0D71

• 0% trigger return optimization securities due Dec. 30, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and Citigroup Global Markets Inc.; pricing Dec. 26; Cusip: 17321F490

• 0% trigger return optimization securities due Dec. 30, 2016 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Citigroup Global Markets Inc.; pricing Dec. 27; Cusip: 17321F482

• 0% dual directional trigger Performance Leveraged Upside Securities due July 5, 2019 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Dec. 30; Cusip: 17321F474

CREDIT SUISSE AG

• 0% accelerated barrier notes due Dec. 30, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QEB8

• Callable daily Russell 2000 index-linked range accrual notes due Dec. 26, 2019; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QE85

• High/low coupon callable yield notes due June 26, 2015 linked to the Russell 2000 index and the iShares China Large-Cap exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QQE69

• High/low coupon callable yield notes due June 26, 2015 linked to the Russell 2000 index and the iShares China Large-Cap ETF; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QE69

• 0% digital plus barrier notes due June 28, 2019 linked to the S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QEA0

• Contingent coupon callable yield notes due Dec. 30, 2016 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QE93

• 0% cert plus securities due Dec. 26, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QDY9

• High/low coupon callable yield notes due Dec. 26, 2014 linked to the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Dec. 20; Cusip: 22547QDT0

• 0% Buffered Accelerated Return Equity Securities due July 2, 2015 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 27; Cusip: 22547QEH5

• 0% Buffered Accelerated Return Equity Securities due June 29, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 27; Cusip: 22547QED4

• 0% absolute return barrier securities due Dec. 29, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 27; Cusip: 22547QEE2

• High/low coupon callable yield notes due July 2, 2015 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Dec. 27; Cusip: 22547QE51

• 0% cert plus securities due Jan. 2, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 27; Cusip: 22547QDY9

• High/low coupon callable yield notes due July 2, 2015 linked to the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Dec. 27; Cusip: 22547QDU7

• 0% absolute return barrier securities due Jan. 5, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 30; Cusip: 22547QEP7

• 8.5% STEP Income Securities due January 2015 linked to the common stock of Cabot Oil & Gas Corp.; via BofA Merrill Lynch; pricing in December

• Market-linked step-up notes due December 2015 tied to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December

• 0% buffered return equity securities due March 13, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; Cusip: 22547QA89

CREDIT SUISSE AG, LONDON BRANCH

• 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing in December; Cusip: 22547QEF9

• Contingent coupon callable yield notes due July 15, 2019 linked to the S&P 500 index and the Russell 2000 index; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 8; Cusip: 22547QET9

DEUTSCHE BANK AG, LONDON BRANCH

• 18-21-month 0% capped leveraged buffered index-linked notes tied to the S&P 500 index; via Deutsche Bank Securities Inc.; Cusip: 25152RGH0

• 0% market contribution securities due Jan. 25, 2017 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Total Return; via Deutsche Bank Securities Inc.; pricing Jan. 21; Cusip: 25152RGL1

• 0% buffered index-linked digital notes tied to the Euro Stoxx 50 index; via Deutsche Bank Securities Inc.; Cusip: 25152RGF4

• 0% capped leveraged buffered index-linked notes tied to the MSCI EAFE index due in 13 to 16 months; 90% trigger; via Deutsche Bank Securities Inc.; Cusip: 25152RGK3

GOLDMAN SACHS GROUP, INC.

• Callable monthly Russell 2000 index-linked range accrual notes due Dec. 20, 2028; 50% trigger; via Goldman Sachs & Co.; pricing Dec. 17; Cusip: 38147Q5A0

• Callable monthly six-month Libor and Russell 2000 index-linked range accrual notes due Dec. 26, 2028; 50% trigger; via Goldman Sachs & Co.; pricing Dec. 20; Cusip: 38147Q4N3

• Callable buffered monthly range accrual notes due Dec. 26, 2020 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 20; Cusip: 38147Q2S4

• Certificates of deposit due June 26, 2020 linked to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co.; pricing Dec. 23; Cusip: 38147JPS5

• Certificates of deposit due Dec. 24, 2020 linked to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co.; pricing Dec. 23; Cusip: 38147JPU0

• Callable monthly Russell 2000 index-linked range accrual notes due Dec. 30, 2028; via Goldman Sachs & Co.; pricing Dec. 24; Cusip: 38147Q3A2

• Contingent coupon notes due Sept. 30, 2020 linked to Apple Inc., AbbVie Inc., Amazon.com, Inc., Cisco Systems, Inc., McDonald's Corporation, Merck & Co., Inc., Microsoft Corporation, PepsiCo, Inc., Proctor & Gamble Company and Wal-Mart Stores, Inc.; via Goldman Sachs & Co.; pricing Dec. 26; Cusip: 38147JQB1

• Variable coupon notes due Dec. 31, 2020 linked to AT&T Inc., Chevron Corp., E. I. Du Pont De Nemours and Co., General Electric Co., Intel Corp., McDonald's Corp., Merck & Co., Inc., Pfizer Inc., Proctor & Gamble Co. and Verizon Communications Inc.; via Goldman Sachs & Co.; pricing Dec. 26; Cusip: 38147JQC9

• 0% trigger performance securities due Dec. 31, 2018 linked to the S&P 500 index; via Goldman, Sachs & Co.; pricing Dec. 26; Cusip: 38147V246

• 0% notes due Dec. 31, 2020 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Dec. 27; Cusip: 38147QZ25

• Callable monthly Russell 2000 index-linked range accrual notes due Dec. 31, 2023; via Goldman Sachs & Co.; pricing Dec. 27; Cusip: 38147Q2N5

• 0% buffered notes due Jan. 2, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 27; Cusip: 38147QZ66

• Callable step-up fixed-rate notes due December 2018; via Goldman Sachs & Co.; pricing in December; Cusip: 38147Q6N1

• Callable step-up fixed-rate notes due December 2025; via Goldman Sachs & Co. and Incapital LLC; pricing in December; Cusip: 38147Q6J0

• 24- to 27-month 0% notes linked to the Euro Stoxx 50 index; 90% trigger; via Goldman Sachs & Co.

• 36- to 39-month 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co; Cusip: 38147QZA7

• 0% 36- to 40-month leveraged buffered notes linked to the Euro Stoxx 50 index; 85% trigger; via Goldman Sachs & Co.; Cusip: 38147QX68

• 0% 24- to 27-month leveraged buffered notes linked to the iShares MSCI Emerging Markets ETF; 90% trigger; via Goldman Sachs & Co.; Cusip: 38147QY26

• 25- 28-month 0% leveraged notes tied to the MSCI EAFE index; 90% trigger; via Goldman Sachs & Co.

• 13- to 24-month 0% autocallable buffered index-linked notes tied to the Russell 2000 index; via Goldman Sachs & Co.

• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.

• 24-27-month 0% leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.

• 0% 60-month buffered notes linked to the S&P 500 index; 75% trigger; via Goldman Sachs & Co.; Cusip: 38147QX27

• 24-month 0% autocallable leveraged buffered notes linked to the S&P Banks Select Industry index; via Goldman Sachs & Co.

• 24- to 27-month 0% leveraged buffered notes linked to the S&P Banks Select Industry index; via Goldman Sachs & Co.

HSBC USA INC.

• 0% buffered market participation securities due March 21, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 17; Cusip: 40432XNW7

• 0% Accelerated Market Participation Securities due June 26, 2015 linked to Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPB1

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPG0

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPL9

• 0% buffered Accelerated Market Participation Securities due Dec. 30, 2016 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPP0

• 0% Accelerated Market Participation Securities due June 26, 2015 linked to iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPA3

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPK1

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPF2

• 0% growth notes due Dec. 30, 2019 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPQ8

• 0% Accelerated Market Participation Securities due June 26, 2015 linked to Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XP96

• Capped performance buffer notes due Jan. 2, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XQS3

• Contingent income barrier notes due Dec. 30, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPR6

• 0% buffered Accelerated Market Participation Securities due Dec. 30, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPN5

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPJ4

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPE5

• 0% Accelerated Market Participation Securities due June 26, 2015 linked to S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XP88

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPD7

• 0% buffered Accelerated Market Participation Securities due Dec. 28, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPH8

• 0% buffered Accelerated Market Participation Securities due Dec. 30, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 20; Cusip: 40432XPM7

• 0% leveraged buffered uncapped market participation securities due Dec. 27, 2018 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40432XPC9

• 0% leveraged buffered uncapped market participation securities due Dec. 27, 2016 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40432XQV6

• 0% buffered uncapped market participation securities due Jan. 2, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XP47

• Income plus notes due Dec. 31, 2020 linked to a basket of common stocks (Lorillard, Inc., Merck & Co., Inc., Microsoft Corp., Travelers Cos., Inc. and Verizon Communications Inc.); via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XNY3

• Buffered income plus notes due Dec. 31, 2018 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XPS4

• 0% buffered uncapped market participation securities due July 3, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XP21

• 0% buffered market participation securities due Jan. 3, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XP39

• 0% buffered uncapped market participation securities due Dec. 31, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XP54

• 0% trigger performance securities due Dec. 29, 2023 linked to the S&P 500 index; via UBS Financial Services Inc. with HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40434B685

• 5.5-year 0% averaging notes linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XQU8

• Autocallable yield notes due March 31, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XP70

• Autocallable yield notes due March 31, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 26; Cusip: 40432XP62

• 0% airbag performance securities due Dec. 29, 2023 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Dec. 27; Cusip: 40434B669

• 0% airbag return optimization securities due Dec. 31, 2019 linked to an equally weighted basket consisting of the S&P 500 index and the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Dec. 27; Cusip: 40434B644

• 0% buffered Performance Leveraged Upside Securities due July 2016 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Dec. 30; Cusip: 40434B651

• 0% Market Index Target-Term Securities due December 2020 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in December

• Autocallable yield notes due December 2018 linked to the S&P 500 index, the Euro Stoxx 50 index and the Nikkei 225 index; via HSBC Securities (USA) Inc.; pricing in December; Cusip: 40432XQX2

• 0% leveraged tracker notes linked to the HSBC Dynamic 5 ETF index; via HSBC Securities (USA) Inc.; pricing in January; Cusip: 40432XQW4

JPMORGAN CHASE & CO.

• 0% capped buffered enhanced participation equity notes due Dec. 21, 2015 linked to the MSCI EAFE index; via J.P. Morgan Securities LLC; pricing Dec. 16; Cusip: 48126NK97

• 8.5%-10.5% autocallable yield notes due Dec. 24, 2014 linked to the Market Vectors Gold Miners exchange-traded fund; via J.P. Morgan Securities LLC; pricing Dec. 17; Cusip: 48126NM46

• 0% capped buffered equity notes due Dec. 23, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Dec. 18; Cusip: 48126NM79

• 6.1% reverse convertible notes due June 24, 2014 linked to American Eagle Outfitters, Inc. stock; via JPMorgan; pricing Dec. 19; Cusip: 48126NL54

• 0% dual directional knock-out buffered equity notes due Dec. 24, 2015 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Dec. 19; Cusip: 48126NL47

• 6.75% autocallable yield notes due Dec. 24, 2014 linked to the iShares MSCI Emerging Markets exchange-traded fund, the iShares MSCI EAFE ETF and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 19; Cusip: 48126NM20

• Contingent income autocallable securities due Dec. 26, 2014 linked to CME Group Inc. shares; 80% trigger; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48127A526

• 0% trigger Performance Leveraged Upside Securities due Dec. 24, 2015 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC; pricing Dec. 20; Cusip: 48127A534

• 0% capped buffered return enhanced notes due Dec. 31, 2015 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NJ40

• 0% capped buffered return enhanced notes due Dec. 31, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NJ57

• 0% return notes due March 31, 2015 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NJ24

• Contingent coupon callable yield notes due Dec. 27, 2016 linked to the Russell 2000 index, Euro Stoxx 50 index and the iShares MSCI EAFE exchange-traded fund; 65% trigger; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NG92

• Autocallable contingent interest notes due Dec. 31, 2014 linked to the Russell 2000 index and the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NH83

• Autocallable contingent interest notes due Dec. 31, 2014 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NH59

• Autocallable contingent interest notes due Dec. 31, 2014 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NH67

• Autocallable contingent interest notes due June 30, 2015 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NH75

• 0% autocallable notes due Dec. 27, 2016 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; 75% trigger; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48126NK22

• 0% Performance Leveraged Upside Securities due Feb. 4, 2015 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC with distribution through Morgan Stanley Smith Barney LLC; pricing Dec. 30; Cusip: 48127A633

• 0% Performance Leveraged Upside Securities due Feb. 4, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC with distribution through Morgan Stanley Smith Barney LLC; pricing Dec. 30; Cusip: 48127A625

• 0% notes due December 2017 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing in December; Cusip: 48126NL39

JPMORGAN CHASE BANK, NA

• Callable interest rate spread certificates of deposit due Dec. 20, 2028 linked to the 30-year and five-year Constant Maturity Swap rates; via J.P. Morgan Securities LLC, Advisors Asset Management, Inc. and Incapital LLC; pricing Dec. 17; Cusip: 48125TBD6

• Callable variable-rate range accrual certificates of deposit due Dec. 20, 2028 linked to six-month Libor and the Russell 2000 index; via J.P. Morgan Securities LLC and Incapital LLC; pricing Dec. 17; Cusip: 48125TBV6

• Digital contingent coupon certificates of deposit due Dec. 31, 2019 linked to the common stocks of Altria Group, Inc., AT&T Inc., Bristol-Myers Squibb Co., Kimberly-Clark Corp., Coca-Cola Co., McDonald's Corp., Philip Morris International Inc., Procter & Gamble Co., Southern Co. and Unilever plc; via J.P. Morgan Securities LLC and Incapital LLC; pricing Dec. 20; Cusip: 48125TBH7

• Digital contingent coupon certificates of deposit due Dec. 31, 2019 linked to the common stocks of Altria Group, Inc., Amgen Inc., Coca-Cola Co., ConocoPhillips, Duke Energy Corp., Intel Corp., McDonald's Corp., Merck & Co., Inc., Procter & Gamble Co. and Silver Wheaton Corp.; via J.P. Morgan Securities LLC is the agent; pricing Dec. 20; Cusip: 48125TAY1

• Digital contingent coupon certificates of deposit due Dec. 31, 2019 linked to the common stocks of Duke Energy Corp., Hewlett-Packard Co., Kinross Gold Corp., Lorillard, Inc., McDonald's Corp., Mead Johnson Nutrition Co., Raytheon Co., Time Warner Cable Inc., Verizon Communications Inc. and Walgreen Co.; via J.P. Morgan Securities LLC; pricing Dec. 20; Cusip: 48125TBN4

• 0% certificates of deposit due Dec. 31, 2019 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC and Incapital LLC; pricing Dec. 20; Cusip: 48125TAX3

• 0% certificates of deposit due Dec. 31, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC, Advisors Asset Management, Inc. and Incapital LLC; pricing Dec. 20; Cusip: 48125TBB0

MORGAN STANLEY

• 0% trigger Performance Leveraged Upside Securities due Dec. 28, 2020 linked to the Euro Stoxx 50 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JNG0

• Contingent coupon notes due Dec. 27, 2033 linked to the worst performing of the Euro Stoxx 50 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JNF2

• Contingent income securities due Dec. 26, 2028 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JMY2

• Contingent income participation securities due Dec. 26, 2023 linked to the worse performing of the Russell 2000 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JNC9

• Contingent income securities due Dec. 26, 2028 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JND7

• 0% trigger Performance Leveraged Upside Securities due Dec. 28, 2020 linked to the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JNA3

• 0% market-linked notes due June 27, 2022 tied to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JMZ9

• 0% buffered Performance Leveraged Upside Securities due Dec. 26, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Dec. 20; Cusip: 61761JNB1

• 0% airbag performance securities due Dec. 29, 2023 linked to the SPDR S&P 500 exchange-traded fund trust; 50% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Dec. 23; Cusip: 61762W752

• 0% airbag performance securities due Dec. 29, 2023 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Dec. 26; Cusip: 61762W653

• 0% trigger performance securities due Dec. 29, 2023 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Dec. 27; Cusip: 61762W661

• 5.4% to 6.4% Worst of RevCons due June 2015 linked to the worst performing of the common stock of Apple Inc., Coach, Inc. and eBay Inc.; 60% trigger; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61761JNL9

• Contingent income autocallable securities due December 2016 linked to Dow Chemical Co. common stock; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762W737

• 0% commodity-linked notes due December 2020 linked to the Dow Jones - UBS Commodity index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762GAS3

• 0% commodity-linked notes due June 2019 linked to the Dow Jones - UBS Commodity index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762GAT

• Market-linked notes with past performance adjusted contingent coupon notes due December 2028 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762W646

• 4.5% to 5.5% worst-of RevCons due June 2015 linked to the worst performing of the common stocks of Freeport-McMoRan Copper & Gold Inc., Bank of America Corp. and Cisco Systems, Inc.; 60% trigger; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61761JNM7

• 0% enhanced trigger jump securities due June 2016 linked to gold and silver; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762GAU8

• 0% trigger Performance Leveraged Upside Securities due December 2017 linked to the iShares MSCI EAFE exchange-traded fund; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762W711

• 0% market-linked notes due December 2019 linked to the average value on quarterly determination dates of an equally weighted basket composed of the iShares MSCI EAFE index fund, the iShares MSCI Emerging Markets index fund and the WisdomTree Japan Hedged Equity Fund; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762W703

• 0% buffered Performance Leveraged Upside Securities due June 2016 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762W729

• 0% dual directional trigger Performance Leveraged Upside Securities due December 2019 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762W695

NOMURA AMERICA FINANCE, LLC

• Callable leveraged steepener notes due December 2033; via Nomura Securities International, Inc; pricing in December

ROYAL BANK OF CANADA

• Redeemable step-up notes due Dec. 18, 2026; via RBC Capital Markets, LLC; settlement Dec. 18; Cusip: 78010UDF1

• 7.5% reverse convertible notes due June 23, 2014 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Dec. 18; Cusip: 78010ULK1

• 14% reverse convertible notes due March 21, 2014 linked to KB Home stock; via RBC Capital Markets Corp.; pricing Dec. 18; Cusip: 78010ULL9

• 0% absolute return barrier notes due Dec. 24, 2015 linked to the S&P 500 index; 76.5% to 80.5% trigger; via RBC Capital Markets LLC; pricing Dec. 19; Cusip: 78010ULD7

• 0% trigger jump securities due December 2015 linked to the iShares U.S. Real Estate exchange-traded fund; via RBC Capital Markets LLC with Morgan Stanley Smith Barney LLC handling distribution; pricing Dec. 20; Cusip: 78010Y257

• 0% return optimization securities due Jan. 30, 2015 linked to Agilent Technologies, Inc., Autodesk, Inc., Applied Materials, Inc., Boeing Co., Check Point Software Technologies Ltd., Cisco Systems, Inc., E. I. du Pont de Nemours and Co., Danaher Corp., Emerson Electric Co., Intel Corp., Ingersoll-Rand plc, JPMorgan Chase & Co., Oracle Corp., PNC Financial Services Group, Inc., SBA Communications Corp., Tyco International Ltd. and United Technologies Corp; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Dec. 26; Cusip: 78010Y240

• 0% contingent return optimization securities due June 30, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Dec. 26; Cusip: 78010Y190

• 0% buffered bullish enhanced return notes due June 29, 2017 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Dec. 27; Cusip: 78010UKK2

• 0% buffered bullish enhanced return notes due Dec. 31, 2018 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Dec. 27; Cusip: 78010UKJ5

• Fixed-to-floating-rate notes due Dec. 30, 2020; via RBC Capital Markets LLC; settlement Dec. 30; Cusip: 78010UDH7

• 0% Strategic Accelerated Redemption Securities due January 2015 linked to Caterpillar Inc. shares; via BofA Merrill Lynch; pricing in December

• 0% Strategic Accelerated Redemption Securities due January 2015 linked to JPMorgan Chase & Co. shares; via BofA Merrill Lynch; pricing in December

• 0% direct investment notes due Feb. 9, 2015 linked to the Equity Compass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Jan. 6; Cusip: 78010ULC9

• 18- to 21-month 0% leveraged buffered notes tied to the iShares MSCI EAFE index fund; 90% trigger; via Goldman Sachs & Co.

• 15- to 17-month 0% buffered equity index-linked notes tied to the MSCI EAFE index; 85% trigger; via Goldman Sachs & Co.

• 0% six-month notes linked to the Topix index; via RBC Capital Markets, LLC; Cusip: 78010ULB1

UBS AG, LONDON BRANCH

• Call warrants expiring Dec. 20, 2018 linked the Euro Stoxx 50 index; via UBS Financial Services, Inc. and UBS Investment Bank; pricing Dec. 16; Cusip: 90271R624

• 0% trigger autocallable optimization securities due Dec. 31, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 20; Cusip: 90271R822

• 0% trigger return optimization securities due Dec. 31, 2016 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 26; Cusip: 90271R608

• 0% trigger performance securities due Dec. 31, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 27; Cusip: 90271R582

• 0% trigger performance securities due Dec. 31, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 27; Cusip: 90271R590

• 0% trigger performance securities due Dec. 29, 2023 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 27; Cusip: 90271R640

UNION BANK, NA

• 0% market-linked certificates of deposit due Dec. 26, 2017 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC with Asset Management, Inc. and Incapital LLC; pricing Dec. 20; Cusip: 90521AQB7

• 0% average return market-linked certificates of deposit due Dec. 26, 2019 linked to the Dow Jones industrial average; via UnionBanc Investment Services, LLC with Asset Management, Inc.; pricing Dec. 20; Cusip: 90521APZ5

• 0% quarterly capped return market-linked certificates of deposit due Dec. 26, 2017 linked to the PowerShares QQQ Trust, series 1; via UnionBanc Investment Services, LLC with Asset Management, Inc. and Incapital LLC; pricing Dec. 20; Cusip: 90521AQA9

• 0% quarterly capped return market-linked certificates of deposit due Dec. 27, 2016 linked to the Russell 2000 index; via UnionBanc Investment Services, LLC with Asset Management, Inc.; pricing Dec. 20; Cusip: 90521APY8

• 0% quarterly capped return market-linked certificates of deposit due Dec. 26, 2018 linked to the S&P 500 index; via UnionBanc Investment Services, LLC with Asset Management, Inc. and Incapital LLC; pricing Dec. 20; Cusip: 90521AQC5

WELLS FARGO & CO.

• 0% access securities due Dec. 22, 2016 linked to the SPDR S&P 500 ETF trust; 60% to 63% trigger; via Wells Fargo Securities, LLC; pricing Dec. 19; Cusip: 94986RSJ1

• 0% growth securities with leveraged upside participation to a cap and buffered downside with multiplier due Dec. 27, 2016 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Dec. 23; Cusip: 94986RSE2

• Access securities with upside participation and buffered downside due Dec. 27, 2018 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Dec. 23; Cusip: 94986RSG7

• 0% growth securities with leveraged upside participation to a cap and buffered downside with multiplier due Dec. 28, 2015 linked to the S&P 500 index; 90% trigger; via Wells Fargo Securities, LLC; pricing Dec. 23; Cusip: 94986RSF9

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