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Structured Products Calendar
BANK OF AMERICA CORP.
• 0% market-linked step-up notes due January 2016 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due February 2016 linked to the gold spot price; via BofA Merrill Lynch; pricing in January
•9% STEP Income Securities due February 2015 linked to the common stock of MGM Resorts International; via BofA Merrill Lynch; pricing in January
• 0% autocallable market-linked step-up notes due January 2017 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due March 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due January 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in January
• Capped Leveraged Index Return Notes due January 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in January
• 0% autocallable market-linked step-up notes due January 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in January
• 0% market-linked step-up notes due January 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in January
• Market-linked step-up notes due January 2017 tied to a basket of the S&P 500 index, the MSCI EAFE index and the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due March 2015 linked to the S&P MidCap 400 index; via BofA Merrill Lynch; pricing in January
BANK OF MONTREAL
• 0% basket tracking notes due Feb. 11, 2015 linked to the Top 20 GARP Picks Portfolio (Actavis plc, Arris Group, Inc., Blucora Inc., Express Scripts Holdings Co., Greenbrier Cos., Inc., Global Cash Access Holdings, Inc., Gilead Sciences, Inc., Green Plains Renewable Energy, Inc., Harman International Industries, Inc., Hertz Global Holdings, Inc., JetBlue Airways Corp., Marathon Petroleum Corp., Marvell Technology Group Ltd., Nu Skin Enterprises, Inc., NXP Semiconductors NV, PBF Energy Inc., Qualcomm Inc., Riverbed Technology, Inc., Steel Dynamics Inc. and Validus Holdings, Ltd.); via BMO Capital Markets Corp.; pricing Jan. 28; Cusip: 06366RSQ9
• 0% autocallable barrier notes with step-up call price due Jan. 31, 2017 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Jan. 28; Cusip: 06366RSS5
• 0% upside booster notes with barrier due Jan. 31, 2019 linked to the Russell 2000 index; via BMO Capital Markets Corp., pricing Jan. 28; Cusip: 06366RSU0
• 0% bullish enhanced return notes with lookback feature due Jan. 31, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Jan. 28; Cusip: 06366RSR7
• 0% barrier bullish enhanced return notes due Jan. 31, 2019 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Jan. 28; Cusip: 06366RST3
BANK OF NOVA SCOTIA
• Series A callable step-up rate notes due Jan. 30, 2024; via Scotia Capital (USA) Inc.; pricing Jan. 27; Cusip: 064159DE3
• Series A callable step-up rate notes due Jan. 30, 2029; via Scotia Capital (USA) Inc.; pricing Jan. 27; Cusip: 064159DD5
• Capped fixed-to-floating-rate notes due Jan. 30, 2026; via Scotia Capital (USA) Inc. and Barclays; pricing Jan. 27; Cusip: 064159DK9
• Callable steepener notes due Jan. 30, 2034 linked to the 30-year and two-year Constant Maturity Swap rates; via Scotia Capital (USA) Inc.; pricing Jan. 27; Cusip: 064159DF0
• 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
• Contingent variable-income market-linked certificates of deposit due Jan. 29, 2021 linked to a basket of common stocks (AbbVie Inc., Altria Group, Inc., Apple Inc., AT&T Inc., McDonald's Corp., Microsoft Corp., PPL Corp., Seagate Technology plc, Verizon Communications Inc. and Williams Cos., Inc.); via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Jan. 27; Cusip: 06426XJT8
• Contingent variable-income market-linked certificates of deposit due Jan. 29, 2021 linked to a basket of common stocks (AbbVie Inc., Altria Group, Inc., Apple Inc., AT&T Inc., McDonald's Corp., Microsoft Corp., PPL Corp., Seagate Technology plc, Verizon Communications Inc. and Williams Cos., Inc.); via BNP Paribas Securities Corp.; pricing Jan. 27; Cusip: 6426XJS0
• Income advantage market-linked certificates of deposit due Jan. 30, 2019 linked to a basket of common stocks (AT&T Inc., Intel Corp., Merck & Co., Inc., Philip Morris International Inc. and PPL Corp.); via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Jan. 27; Cusip: 06426XJR2
• Income advantage market-linked certificates of deposit due Jan. 29, 2021 linked to a basket of common stocks (AT&T Inc., Intel Corp., Merck & Co., Inc., Philip Morris International Inc. and PPL Corp.); via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Jan. 27; Cusip: 06426XJU5
• Income advantage market-linked certificates of deposit due Jan. 29, 2021 linked to a basket of commodity futures indexes (S&P GSCI Cocoa Dynamic Roll Index ER, the S&P GSCI Coffee Dynamic Roll Index ER, the S&P GSCI Corn Dynamic Roll Index ER, the S&P GSCI Lead Dynamic Roll Index ER and the S&P GSCI Natural Gas Dynamic Roll Index ER); via BNP Paribas Securities Corp.; pricing Jan. 27; Cusip: 06426XJV3
• 0% market-linked certificates of deposit due July 31, 2020 linked to the Morningstar Ultimate Stock-Pickers Target Volatility 7 index; via BNP Paribas Securities Corp.; pricing Jan. 28; Cusip: 06426XJW1
BARCLAYS BANK DELAWARE
• Certificates of deposit due Jan. 29, 2021 linked to the common stocks of AbbVie Inc., Altria Group, Inc., Apple Inc., AT&T Inc., Duke Energy Corp., Intel Corp., Kinder Morgan, Inc., Lorillard, Inc., Verizon Communication Inc. and Williams Cos., Inc.; via Barclays and Incapital LLC; pricing Jan. 27; Cusip: 06740AJ83
• Certificates of deposit due Jan. 31, 2019 linked to the common stocks of 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 and Incapital LLC; pricing Jan. 27; Cusip: 06740AJ59
• Certificates of deposit due Jan. 30, 2020 linked to the common stocks of 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 and Incapital LLC; pricing Jan. 27; Cusip: 06740AJ34
• Certificates of deposit due Jan. 29, 2021 linked to the common stocks of 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 and Incapital LLC; pricing Jan. 27; Cusip: 06740AJ42
• Callable range accrual callable notes due Jan. 30, 2029 linked to six-month Libor; 50% trigger; via Barclays; pricing Jan. 27; Cusip: 06741T4J3
• Certificates of deposit due Jan. 31, 2019 linked to the Russell 2000 index; via Barclays with Incapital LLC as distributor; pricing Jan. 27; Cusip: 06740AJ67
• Certificates of deposit due Jan. 29, 2021 linked the S&P GSCI Aluminum Index Excess Return, the S&P GSCI Brent Crude Index Excess Return, the S&P GSCI Cocoa Index Excess Return, the S&P GSCI Lean Hogs Index Excess Return, the S&P GSCI Live Cattle Index Excess Return, the S&P GSCI Precious Metals Index Excess Return, the S&P GSCI Lead Index Excess Return, the S&P GSCI Nickel Index Excess Return, the S&P GSCI Sugar Index Excess Return and the S&P GSCI Zinc Index Excess Return; via Barclays and Incapital LLC; pricing Jan. 27; Cusip: 06740AJ75
• 0.3%-0.6% certificates of deposit due Jan. 29, 2021 linked to the Shiller Barclays CAPE US Sector Risk Controlled 7% USD Excess Return index; via Barclays and Incapital LLC; pricing Jan. 27; Cusip: 06740AH93
• 0% certificates of deposit due Jan. 31, 2020 linked to the Barclays Armour II Excess Return 5% index; via Barclays and Incapital LLC; pricing Jan. 28; Cusip: 06740AH77
BARCLAYS BANK PLC
• Principal-at-risk callable steepener notes due Jan. 31, 2029 linked to the 30-year Constant Maturity Swap rate, the two-year Constant Maturity Swap rate and the Russell 2000 index; via Barclays; pricing Jan. 28; Cusip: 06741T4H7
• 0% buffered Super Track notes due Jan. 31, 2019 linked to the S&P 500 index; via Barclays; pricing Jan. 28; Cusip: 06741T3X3
• 0% buffered Super Track notes due Jan. 31, 2019 linked to the S&P 500 index; via Barclays; pricing Jan. 28; Cusip: 06741T3W5
• 0% trigger performance securities due Jan. 31, 2019 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Jan. 28; Cusip: 06742K402
• 0% annual autocallable notes due Jan. 31, 2017 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via Barclays; pricing Jan. 28; Cusip: 06741J5X3
• 0% trigger performance securities due Jan. 31, 2019 linked to the Vanguard FTSE Emerging Markets ETF; via UBS Financial Services Inc. and Barclays; pricing Jan. 28; Cusip: 06742K303
• 0% trigger return optimization securities due Jan. 31, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Barclays; pricing Jan. 29; Cusip: 06742K204
• Annual reset coupon buffered notes due Jan. 31, 2020 linked to the Russell 2000 index; via Barclays; pricing Jan. 29; Cusip: 06741T3X3
• Annual reset coupon buffered notes due Jan. 31, 2020 linked to the Russell 2000 index; via Barclays; pricing Jan. 29; Cusip: 06741T3Y1
• Contingent income autocallable securities due Feb. 3, 2017 linked to the common stock of General Motors Co.; via Barclays; pricing Jan. 31; Cusip: 06742B675
• 0% Currency Market Index Target-Term Securities due January 2016 linked to a basket of equally weighted emerging market currencies (Chinese renminbi and Indonesian rupiah) relative to the dollar; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due March 2015 linked to the Energy Select Sector index; via BofA Merrill Lynch; pricing in January
• 0% capped Leveraged Index Return Notes due January 2016 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in January
• 7.5% STEP Income Securities due February 2015 linked to Mosaic Co. common stock; via BofA Merrill Lynch; pricing in January
• 0% notes due Feb. 8, 2017 linked to the EquityCompass Share Buyback index; via Barclays; pricing Feb. 3; Cusip: 06741T4
BMO HARRIS BANK
• Annual digital yield generator certificates of deposit due Jan. 31, 2019 linked to the common stocks of 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, Vodafone Group plc and Walgreen Co.; via BMO Capital Markets Corp. and Advisors Asset Management, Inc.; pricing Jan. 28; Cusip: 05573JVN1
• Annual digital yield generator certificates of deposit due Jan. 31, 2020 linked to the common stocks of 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, Vodafone Group plc and Walgreen Co.; via BMO Capital Markets Corp. and Advisors Asset Management, Inc.; pricing Jan. 28; Cusip: 05573JVL5
• 0% certificates of deposit with minimum due Jan. 29, 2021 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp. and Advisors Asset Management, Inc.; pricing Jan. 28; Cusip: 05573JVJ0
BNP PARIBAS
• 23- to 26-month 0% notes linked to the Russell 2000 index; via BNP Paribas Securities Corp.; Cusip: 05574LRC4
CITIGROUP INC.
• 0% Accelerated Return Notes due Aug. 2, 2017 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Jan. 28; Cusip: 1730T0F61
• 0% market-linked notes due August 2019 linked to the MSCI World index; via Citigroup Global Markets Inc.; pricing Jan. 28; Cusip: 1730T0F38
• 0% barrier securities due Feb. 1, 2018 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Jan. 28; Cusip: 17321F367
• 0% airbag return optimization securities due Jan. 31, 2017 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc. with UBS Financial Services Inc. as agent; pricing Jan. 29; Cusip: 17321F342
• 0% barrier securities due Feb. 2, 2018 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Jan. 30; Cusip: 1730T0G60
• Callable step-up coupon notes due February 2019; via Citigroup Global Markets Inc.; pricing Jan. 31; Cusip: 1730T0G86
• Autocallable contingent coupon equity-linked securities due Feb. 5, 2016 linked to Apple Inc.; via Citigroup Global Markets Inc.; pricing Jan. 31; Cusip: 1730T0F20
• 0% trigger performance securities due Jan. 31, 2018 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; settlement Jan. 31; Cusip: 17321F276
CREDIT SUISSE AG
• 0% absolute return barrier securities due Jan, 31, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 27; Cusip: 22547QFY7
• 0% accelerated barrier notes due Jan. 31, 2018 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Jan. 28; Cusip: 22547QFB7
• 0% accelerated barrier notes due Jan. 31, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 28; Cusip: 22547QFE1
• High/low coupon callable yield notes due July 31, 2015 linked to the iShares MSCI Emerging Markets ETF and the United States Oil Fund, LP; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 28; Cusip: 22547QFH4
• 6.25% callable daily range accrual securities due Jan. 31, 2020 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 28; Cusip: 22547QFN1
• 7.85% contingent coupon callable yield notes due Jan. 31, 2017 linked to the Russell 2000 index, Euro Stoxx 50 index and iShares MSCI EAFE exchange-traded fund; via Barclays as placement agent; pricing Jan. 28; Cusip: 22547QFP6
• High/low coupon callable yield notes due July 31, 2015 linked to the Russell 2000 index and the iShares China Large-Cap ETF; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 28; Cusip: 22547QFF8
• 0% cert plus securities due Jan. 31, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; Jan. 28; Cusip: 22547QFG6
• Contingent coupon autocallable yield notes due Jan. 31, 2024 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 28; Cusip: 22547QFT8
• 0% Buffered Accelerated Return Equity Securities due July 31, 2017 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 29; Cusip: 22547QFM3
• 0% Buffered Accelerated Return Equity Securities due July 31, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 29; Cusip: 22547QFR2
• 0% cert plus securities due Feb. 5, 2018 linked to the Euro Stoxx 50 index and the iShares MSCI EAFE exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 30; Cusip: 22547QG75
• 0% absolute return barrier securities due Feb. 2, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 30; Cusip: 22547QFX9
• 0% accelerated barrier notes due Feb. 5, 2018 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22547QF84
• 0% accelerated barrier notes due Feb. 5, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22547QF92
• High/low coupon callable yield notes due Aug. 5, 2015 linked to the Russell 2000 index and the United States Oil Fund, LP; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22547QFC5
• 0% callable cert plus securities due Feb. 5, 2016 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22547QG91
• High/low coupon callable yield notes due Aug. 5, 2015 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22547QFD3
• 0% cert plus securities due Feb. 5, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22547QES1
• 0% autocallable market-linked step-up notes due January 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due March 2015 linked to the Hang Seng China Enterprises index; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due March 2015 linked to the MSCI EAFE index; via BofA Merrill Lynch; pricing in January
• Contingent coupon callable yield notes due Aug. 7, 2019 linked to the S&P 500 index and the Russell 2000 index; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Feb. 4; Cusip: 22547QG34
DEUTSCHE BANK AG, LONDON BRANCH
• 0% trigger performance securities due Jan. 31, 2019 linked to the S&P 500 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Jan. 28; Cusip: 25155P732
• 0% autocallable securities due Feb. 2, 2017 linked to the S&P 500 index and the Russell 2000 index; via Deutsche Bank Securities Inc.; pricing Jan. 30; Cusip: 25152RHE6
GOLDMAN SACHS BANK USA
• Contingent coupon basket-linked certificates of deposit due Jan. 30, 2019 linked to a basket of common stocks; via Goldman Sachs & Co.; pricing Jan. 27; Cusip: 38147JRY0
• 0% certificates of deposit due July 30, 2020 linked to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co.; pricing Jan. 27; Cusip: 38147JRG9
• Certificates of deposit due Jan. 28, 2021 linked to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co.; pricing Jan. 27; Cusip: is 38147JRJ3
• Contingent coupon basket-linked certificates of deposit due Jan. 29, 2021 linked to a basket of common stocks (Apple Inc., AbbVie Inc., Amazon.com, Inc., Cisco Systems, Inc., McDonald's Corp., Merck & Co., Inc., Microsoft Corp., PepsiCo, Inc., Proctor & Gamble Co. and Wal-Mart Stores, Inc.); via Goldman Sachs & Co.; pricing Jan. 28; Cusip: 38147JRK0
• Variable-coupon basket-linked certificates of deposit due Jan. 30, 2020 linked to a basket of common stocks (Apple Inc., AbbVie Inc., Amazon.com, Inc., Cisco Systems, Inc., McDonald's Corp., Merck & Co., Inc., Microsoft Corp., PepsiCo, Inc., Proctor & Gamble Co. and Wal-Mart Stores, Inc.); via Goldman Sachs & Co.; pricing Jan. 28; Cusip: 38147JRM6
• Variable-coupon basket-linked certificates of deposit due Jan. 29, 2021 linked to a basket of common stocks (Apple Inc., AbbVie Inc., Amazon.com, Inc., Cisco Systems, Inc., McDonald's Corp., Merck & Co., Inc., Microsoft Corp., PepsiCo, Inc., Proctor & Gamble Co. and Wal-Mart Stores, Inc.); via Goldman Sachs & Co.; pricing Jan. 28; Cusip: 38147JRL8
• Contingent coupon basket-linked certificates of deposit due Jan. 29, 2021 linked to a basket of common stocks (AT&T Inc., Chevron Corp., Cisco Systems, Inc., Intel Corp., Johnson & Johnson, McDonald's Corp., Merck & Co., Inc., Pfizer Inc., Proctor & Gamble Co. and Verizon Communications Inc.); via Goldman Sachs & Co.; pricing Jan. 28; Cusip: 38147JRV6
GOLDMAN SACHS GROUP, INC.
• 0% leveraged trigger notes due Nov. 2, 2017 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Jan. 28; Cusip: 38147QBP0
• 0% trigger performance securities due Jan. 31, 2019 linked to the S&P 500 index; via Goldman, Sachs & Co.; pricing Jan. 28; Cusip: 38147V576
• 0% trigger performance securities due Jan. 31, 2019 linked to the Euro Stoxx 50 index; via Goldman, Sachs & Co.; pricing Jan. 29; Cusip: 38147V568
• 0% index-linked notes due Feb. 3, 2021 tied to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Jan. 29; Cusip: 38147QBB1
• Callable monthly Russell 2000 index-linked range accrual notes due Jan. 31, 2024; via Goldman Sachs & Co.; pricing Jan. 29; Cusip: 38147QBK1
• Callable monthly Russell 2000 index-linked range accrual notes due Jan. 31, 2029; via Goldman Sachs & Co.; pricing Jan. 29; Cusip: 38147QAX4
• Callable buffered monthly range accrual notes due Jan. 31, 2021 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Jan. 29; Cusip: 38147QBT2
• 0% buffered notes due Feb. 1, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Jan. 29; Cusip: 38147QBF2
• Callable step-up fixed-rate notes due January 2019; via Goldman Sachs & Co.; settlement in January; Cusip: 38147QFF8
• Callable step-up fixed-rate notes due January 2029; via Goldman Sachs & Co.; settlement in January; Cusip: 38147QFK7
• Floating-rate notes due January 2024 linked to the Consumer Price Index; via Goldman Sachs & Co. and Incapital LLC; pricing in January; Cusip: 38147QDP8
• 4.2% notes linked to the Russell 2000 index and the MSCI EAFE index; via Goldman Sachs & Co.; pricing in January; Cusip: 38147QFX9
• 15-year callable quarterly CMS spread-linked notes linked to 30-year and five-year Constant Maturity Swap rates; via Goldman Sachs & Co.; settlement in February; Cusip: 38147QGP5
• 24- to 27-month 0% notes linked to the Euro Stoxx 50 index; 90% trigger; via Goldman Sachs & Co.
• 15-year callable quarterly CMS spread-linked notes linked to 30-year and five-year Constant Maturity Swap rates; via Goldman Sachs & Co.; settling in February; Cusip: 38147QGP5
• 0% 36- to 40-month leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QAT3
• 0% 24- to 27-month leveraged buffered notes linked to the iShares MSCI Emerging Markets ETF; 90% trigger; via Goldman Sachs & Co.; Cusip: 38147QY26
• 24- to 27-month 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets index fund; via Goldman Sachs & Co.
• 25- 28-month 0% leveraged notes tied to the MSCI EAFE index; 90% trigger; via Goldman Sachs & Co.
• 0% leveraged notes linked to the MSCI EAFE index; 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.
• 0% 24- to 27-month leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 0% leveraged notes linked to the S&P 500 index due in 36 to 39 months; via Goldman Sachs & Co.
• 0% 60-month leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147QAP1
• 0% 60-month leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147QFP6
• 0% leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 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 uncapped market participation securities due Jan. 29, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Jan. 25; Cusip: 40432XRN3
• 0% SelectInvest notes due Feb. 2, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XPV7
• 0% Selections due Feb. 2, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQC8
• 0% Selections due Jan. 30, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQL8
• 0% SelectInvest notes due Jan. 30, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XPZ8
• 0% SelectInvest notes due Jan. 30, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ53
• 0% SelectInvest notes due Feb. 2, 2015 linked to the iShares MSCI MXEA exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XPW5
• 0% Selections due Feb. 2, 2015 linked to the iShares MSCI MXEA exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQD6
• 0% Selections due Jan. 30, 2017 linked to the iShares MSCI MXEA exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQM6
• 0% SelectInvest notes due Jan. 30, 2017 linked to the iShares MSCI MXEA exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ20
• 0% SelectInvest notes due Jan. 30, 2019 linked to the iShares MSCI MXEA exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ61
• 0% SelectInvest notes due Feb. 2, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XPU9
• 0% Selections due Feb. 2, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQB0
• 0% Selections due Jan. 30, 2017 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQK0
• 0% SelectInvest notes due Jan. 30, 2017 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XPY1
• 0% SelectInvest notes due Jan. 30, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ46
• 0% SelectInvest notes due Feb. 2, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XPT2
• 0% Selections due Feb. 2, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQA2
• 0% Selections due Jan. 30, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQJ3
• 0% SelectInvest notes due Jan. 30, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XPX3
• 0% SelectInvest notes due Jan. 30, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ38
• 0% SelectInvest debt securities due Jan. 28, 2015 linked to the S&P 500 index, the Russell 2000 index, the iShares MSCI MXEA exchange-traded fund and the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ79
• 0% SelectInvest debt securities due Feb. 2, 2015 linked to the S&P 500 index, the Russell 2000 index, the iShares MSCI MXEA exchange-traded fund and the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQN4
• 0% SelectInvest debt securities due Jan. 25, 2017 linked to the S&P 500 index, the Russell 2000 index, the iShares MSCI MXEA exchange-traded fund and the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ87
• 0% SelectInvest debt securities due Jan. 28, 2017 linked to the S&P 500 index, the Russell 2000 index, the iShares MSCI MXEA exchange-traded fund and the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQQ7
• 0% SelectInvest debt securities due Jan. 28, 2019 linked to the S&P 500 index, the Russell 2000 index, the iShares MSCI MXEA exchange-traded fund and the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Jan. 27; Cusip: 40432XQ95
• 0% trigger performance securities due Jan. 31, 2024 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 28; Cusip: 40434B461
• 0% trigger performance securities due Jan. 31, 2019 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. with HSBC Securities (USA) Inc.; pricing Jan. 29; Cusip: 40434B453
• 0% performance securities due Jan. 31, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Jan. 29; Cusip: 40434B388
• 0% airbag performance securities due Jan. 31, 2024 linked to the Euro Stoxx 50 index; 50% trigger; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Jan. 29; Cusip: 40434B446
• 0% buffered Performance Leveraged Upside Securities due Aug. 5, 2016 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Jan. 31; Cusip: 40434B479
• 0% Performance Leveraged Upside Securities due August 2015 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc. with Morgan Stanley Smith Barney LLC; pricing Jan. 31; Cusip: 40434B396
• 0% digital return notes due February 2017 linked to the 30-year Constant Maturity Swap rate; via BofA Merrill Lynch; pricing in January
• Market-linked step-up notes due January 2016 tied to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in January
• 0% leveraged tracker notes linked to the HSBC Dynamic 5 ETF index; via HSBC Securities (USA) Inc.; pricing in January; Cusip: 40432XQW4
• Capped Leveraged Index Return Notes due January 2016 linked to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in January
• 0% Performance Leveraged Upside Securities due March 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing in January; Cusip: 40434B511
• 0% Market Index Target-Term Securities due January 2021 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in January
• 0% buffered Accelerated Market Participation Securities due January 2016 linked to an equally weighted basket the S&P 500 index, Euro Stoxx 50 index and FTSE 100 index; via HSBC Securities (USA) Inc.; pricing in January; Cusip: 40432XS36
• 0% buffered Performance Leveraged Upside Securities due March 2015 linked to the S&P MidCap 400 index; via HSBC Securities (USA) Inc.; pricing in January; Cusip: 40434B495
JPMORGAN CHASE & CO.
• Callable step-up fixed-rate notes due Jan. 30, 2029; via J.P. Morgan Securities LLC; pricing Jan. 27; Cusip: 48126NTS6
• Autocallable contingent interest notes due Feb. 6, 2015 linked to the performance of the Mexican peso relative to the dollar; via J.P. Morgan Securities LLC; pricing Jan. 27; Cusip: 48126NTW7
• 0% capped buffered return enhanced notes due July 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Jan. 27; Cusip: 48126NX93
• Autocallable contingent interest notes due Feb. 1, 2017 linked to the S&P 500 index and the Russell 2000 index; 75% trigger; via J.P. Morgan Securities LLC; pricing Jan. 27; Cusip: 48126NY76
• 7% reverse convertible notes due Feb. 2, 2015 linked to Apple Inc. stock; via JPMorgan; pricing Jan. 28; Cusip: 48126NS81
• 9% reverse convertible notes due Feb. 2, 2015 linked to Apple Inc. stock; via JPMorgan; pricing Jan. 28; Cusip: 48126NT31
• 0% capped buffered return enhanced notes due Jan. 29, 2016 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NR82
• 0% capped buffered return enhanced notes due Jan. 29, 2016 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NR66
• 0% capped buffered return enhanced notes due Jan. 29, 2016 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NR74
• 0% notes due Jan. 31, 2020 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NT64
• 0% return notes due April 30, 2015 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NS32
• 8% to 10% autocallable yield notes due Feb. 2, 2015 linked to the Market Vectors Gold Miners exchange-traded fund; 60% trigger; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NS73
• 0% capped buffered return enhanced notes due Jan. 29, 2016 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NS24
• 0% capped buffered return enhanced notes due Jan. 29, 2016 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NR58
• Autocallable contingent interest notes due Feb. 2, 2015 linked to the Russell 2000 index and the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NS65
• 0% capped buffered return enhanced notes due Jan. 29, 2016 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NR90
• Autocallable contingent interest notes due Feb. 2, 2015 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Jan. 28; Cusip: 48126NS40
• Contingent income autocallable securities due Feb. 5, 2015 linked to Hewlett-Packard Co. shares; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC handling distribution; pricing Jan. 31; Cusip: 48127A179
• Contingent income autocallable securities due Feb. 5, 2019 linked to the worst performing of the Russell 2000 index and Euro Stoxx 50 index; 73% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC; pricing Jan. 31; Cusip: 48127A195
• Contingent income autocallable securities due Feb. 5, 2019 linked to the worst performing of the Russell 2000 index, Euro Stoxx 50 index and Nikkei 225 index; via J.P. Morgan Securities LLC; pricing Jan. 31; Cusip: 48127A229
• 0% knock-out buffered notes due Feb. 9, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Feb. 6; Cusip: 48126NZ83
JPMORGAN CHASE BANK, NA
• Digital contingent coupon certificates of deposit due Jan. 29, 2021 linked to a basket of common stocks (Altria Group, Inc., AT&T Inc., Bristol-Myers Squibb Co., Coca-Cola Co., Kimberly-Clark Corp., McDonald's Corp., Philip Morris International Inc., Procter & Gamble Co., Southern Co. and Unilever plc); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Jan. 28; Cusip: 48125TCU7
• 0% certificates of deposit due Jan. 31, 2020 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Jan. 28; Cusip: 48125TCP8
• 0% certificates of deposit due July 31, 2019 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Jan. 28; Cusip: 48125TCM5
• Digital contingent coupon certificates of deposit due Jan. 29, 2021 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 Jan. 28; Cusip: 48125TDB8
MORGAN STANLEY
• 0% airbag performance securities due Jan. 31, 2024 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Jan. 28; Cusip: 61762W844
• 0% market-linked notes due Jan. 29, 2021 tied to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNS4
• 0% buffered Performance Leveraged Upside Securities due Jan. 29, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNX3
• 0% trigger Performance Leveraged Upside Securities due Jan. 31, 2022 linked to the Euro Stoxx 50 index; 50% trigger level; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNW5
• Contingent income autocallable securities due January 2017 linked to the common stock of Qualcomm, Inc.; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61762W828
• 0% trigger performance securities due Jan. 31, 2024 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Jan. 28; Cusip: 61760S175
• Contingent income participation securities due Jan. 31, 2024 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNT2
• Contingent income securities due Jan. 31, 2029 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; 50% trigger level; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNU9
• Contingent income buffered securities due Jan. 31, 2029 linked to the worst performing of the Russell 2000 index and the S&P 50 index; 50% trigger level; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNQ8
• Contingent income securities due Jan. 31, 2029 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNP0
• 0% Buffered Performance Leveraged Upside Securities due Jan. 31, 2024 linked to the S&P 500 index; 50% trigger level; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61761JNR6
• 0% airbag performance securities due Jan. 31, 2024 linked to the Russell 2000 index; 50% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Jan. 28; Cusip: 61760S167
• Contingent income securities due Jan. 31, 2029 linked to West Texas Intermediate light sweet crude oil; via Morgan Stanley & Co. LLC; pricing Jan. 28; Cusip: 61762GAW4
• 0% trigger performance securities due Jan. 31, 2024 linked to the Euro Stoxx 50 index; 50% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Jan. 29; Cusip: 61762W851
• Fixed-to-floating leveraged CMS curve and S&P 500 index-linked notes due Jan. 30, 2034; via Morgan Stanley & Co. LLC; settlement Jan. 30; Cusip: 61760QDW1
• Fixed-to-floating leveraged CMS curve and S&P 500 index-linked notes due Jan. 31, 2034; via Morgan Stanley & Co. LLC; settlement Jan. 31; Cusip: 61760QDX9
• Contingent income autocallable securities due January 2017 linked to Apple Inc. shares; 80% trigger; via Morgan Stanley & Co. LLC; pricing in January; Cusip: 61760S209
• 0% market-linked notes due January 2021 tied to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing in January; Cusip: 61760S134
• 0% Buffered Performance Leveraged Upside Securities due February 2019 linked to the Dow Jones - UBS Commodity index; via Morgan Stanley & Co. LLC; pricing in January; Cusip: 61762GAV6
• Autocallable securities due February 2017 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC with Morgan Stanley Wealth Management; pricing in January; Cusip: 61760S191
• 0% market-linked notes due July 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 January; Cusip: 61760S126
• Contingent income autocallable securities due January 2015 linked to the common stock of Macy's, Inc.; via Morgan Stanley & Co. LLC; pricing in January; Cusip: 61760S183
• 0% dual directional trigger Performance Leveraged Upside Securities due January 2020 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in January; Cusip: 61760S118
• Contingent income autocallable securities due February 2015 linked to Tesla Motors, Inc. common stock; via Morgan Stanley & Co. LLC; pricing in January; Cusip: 61760S225
• 0% Performance Leveraged Upside Securities due February 2015 linked to the WisdomTree Japan Hedged Equity fund; via Morgan Stanley & Co. LLC; pricing in January; Cusip: 61760S217
ROYAL BANK OF CANADA
• 0% jump securities due January 2016 linked to the iShares U.S. Real Estate exchange-traded fund; via RBC Capital Markets, LLC and Morgan Stanley Wealth Management; pricing Jan. 28; Cusip: 78010Y471
• 0% contingent return optimization securities due July 29, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Jan. 28; Cusip: 78010Y455
• Redeemable step-up notes due Jan. 29, 2021; via RBC Capital Markets, LLC; settlement Jan. 29; Cusip: 78010UDQ7
• Redeemable step-up notes due Jan. 29, 2027; via RBC Capital Markets, LLC; settlement Jan. 29; Cusip: 78010UDN4
• 12.75% reverse convertible notes due April 30, 2014 linked to Cliffs Natural Resources Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPB7
• 9.5% reverse convertible notes due July 31, 2014 linked to Delta Air Lines, Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPG6
• 0% buffered bullish enhanced return notes due Aug. 2, 2017 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Jan. 29; Cusip: 78010UMU8
• 9% reverse convertible notes due July 31, 2014 linked to F5 Networks, Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPJ0
• 12% reverse convertible notes due July 31, 2014 linked to Facebook, Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPH4
• 13.25% reverse convertible notes due April 30, 2014 linked to Green Mountain Coffee Roasters, Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPC5
• 10% reverse convertible notes due July 31, 2014 linked to KB Home stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPK7
• 10% reverse convertible notes due July 31, 2014 linked to lululemon athletica inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPL5
• 14.5% reverse convertible notes due April 30, 2014 linked to Micron Technology, Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPD3
• 9% reverse convertible notes due July 31, 2014 linked to Newmont Mining Corp. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPM3
• 12.75% reverse convertible notes due July 31, 2014 linked to Netflix Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPN1
• 9.5% reverse convertible notes due July 31, 2014 linked to PulteGroup Inc. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPP6
• 0% buffered bullish enhanced return notes due Aug. 2, 2017 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Jan. 29; Cusip: 78010UMT1
• 0% buffered bullish enhanced return notes due Jan. 31, 2019 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Jan. 29; Cusip: 78010UMV6
• 10.5% reverse convertible notes due July 31, 2014 linked to Seagate Technology plc stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPQ4
• 10.25% reverse convertible notes due April 30, 2014 linked to Tesla Motors, Inc stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPE1
• 8.25% reverse convertible notes due April 30, 2014 linked to Tesoro Corp. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPF8
• 13.5% reverse convertible notes due July 31, 2014 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Jan. 29; Cusip: 78010UPR2
• Fixed-to-floating-rate notes due Jan. 30, 2019; via RBC Capital Markets LLC; settlement Jan. 30; Cusip: 78010UDK0
• Redeemable step-up notes due Jan. 30, 2019; via RBC Capital Markets, LLC; settlement Jan. 30; Cusip: 78010UDL8
• Capped floating-rate notes due Jan. 30, 2019; via RBC Capital Markets, LLC; settlement Jan. 30; Cusip: 78010UDR5
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Feb. 6, 2017 linked to the iShares Russell 2000 exchange-traded fund; via Wells Fargo Securities LLC; pricing Jan. 30; Cusip: 78010UNR4
• Contingent income autocallable securities due February 2015 linked to the common stock of Facebook, Inc.; via RBC Capital Markets, LLC with Morgan Stanley Wealth Management handling distribution; pricing Jan. 31; Cusip: 78010Y521
• 0% Performance Leveraged Upside Securities due March 2015 linked to the Russell 2000 index; via RBC Capital Markets, LLC with distribution through Morgan Stanley Wealth Management; pricing Jan. 31; Cusip: 78010Y414
• 0% Buffered Performance Leveraged Upside Securities due August 2016 linked to the S&P 500 index; via RBC Capital Markets, LLC with Morgan Stanley Wealth Management; pricing Jan. 31; Cusip: 78010Y422
• Leveraged Index Return Notes due January 2019 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in January
• 0% Accelerated Return Notes due March 2015 linked to the MSCI EAFE index via BofA Merrill Lynch; pricing in January
• 0% Strategic Accelerated Redemption Securities due February 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in January
• Market-linked step-up notes due January 2018 tied to an equally weighted basket of the S&P 500 index and the Russell 2000 index; via BofA Merrill Lynch; pricing in January
• 0% direct investment notes due March 9, 2015 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Feb. 5; Cusip: 78010UNA1
• 7.75%-11.75% reverse convertible notes due May 9, 2014 linked to GameStop Corp. common stock; via RBC Capital Markets LLC; pricing Feb. 6; Cusip: 78010UPY7
• 10.75%-14.75% reverse convertible notes due May 9, 2014 linked to Iron Mountain Inc. common stock; via RBC Capital Markets LLC; pricing Feb. 6; Cusip: 78010UPZ4
• 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.
SALEM FIVE BANK
• Market-linked certificates of deposit due Jan. 31, 2020 linked to the common stocks of AT&T, Inc., Duke Energy Corp., Health Care REIT, Inc., Intel Corp., Kinder Morgan, Inc., L Brands, Inc., McGraw Hill Financial, Inc., PPL Corp., Reynolds American, Inc. and T. Rowe Price Group, Inc.; pricing Jan. 28; Cusip: 79411AAG9
UBS AG, LONDON BRANCH
• 0% return optimization securities due Feb. 27, 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 UBS Investment Bank; pricing Jan. 28; Cusip: 90271T273
• 0% contingent return optimization securities due July 29, 2016 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Jan. 28; Cusip: 90271T257
• 0% trigger return optimization securities due Jan. 31, 2017 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Jan. 28; Cusip: 90271T232
• 0% trigger step performance securities due Jan. 31, 2018 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Jan. 28; Cusip: 90271T224
• 0% trigger return optimization securities due Jan. 31, 2017 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Jan. 28; Cusip: 90271T240
• 0% trigger performance securities due Feb. 1, 2024 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; 50% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Jan. 28; Cusip: 90271T349
• 0% Performance Leveraged Upside Securities due March 5, 2015 linked to the Euro Stoxx 50 index; via UBS Securities LLC with Morgan Stanley Smith Barney LLC; pricing Jan. 31; Cusip: 90271T158
UNION BANK, NA
• 0% average return market-linked certificates of deposit due Jan. 31, 2020 linked to the Dow Jones industrial average; via UnionBanc Investment Services, LLC; pricing Jan. 28; Cusip: 90521AQE1
• 0% market-linked certificates of deposit due Jan. 31, 2018 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Jan. 28; Cusip: 90521AQD3
• 0% quarterly capped return market-linked certificates of deposit due Jan. 31, 2019 linked to the S&P 500 index; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Jan. 28; Cusip: 90521AQG6
WELLS FARGO & CO.
• 0% market-linked securities with leveraged upside participation to a cap and buffered downside with multiplier due Jan. 31, 2017 linked to the Euro Stoxx 50 index; via Wells Fargo Securities LLC; pricing Jan. 28; Cusip: 94986RSQ5
• 0% market-linked securities with leveraged upside participation to a cap and buffered downside with multiplier due Jan. 31, 2018 linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Jan. 28; Cusip: 94986RSP7
• Access securities with upside participation and buffered downside with multiplier due Jan. 31, 2019 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Jan. 28; Cusip: 94986RSR3
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Aug. 7, 2017 linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Jan. 30; Cusip: 94986RSS1
• 0% principal-at-risk securities due January 2016 linked to the iShares MSCI EAFE exchange-traded fund; via Wells Fargo Securities, LLC; pricing in January; Cusip: 94986RSN2
• 0% buffered enhanced return securities linked to the MSCI EAFE index; via Wells Fargo Securities, LLC; pricing in January; Cusip: 94986RST9
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