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Structured Products Calendar
BANK OF MONTREAL
• Redeemable step-up coupon notes due March 6, 2023; via BMO Capital Markets Corp.; pricing Sept. 4; Cusip: 06367WPM9
BANK OF NOVA SCOTIA
• Autocallable market-linked step-up notes due August 2024 linked to an index basket (Euro Stoxx 50 index with an initial weight of 40%, the FTSE 100 index with an initial weight of 20%, the Nikkei Stock Average index with an initial weight of 20%, the Swiss Market index with an initial weight of 7.5%, the S&P/ASX 200 index with an initial weight of 7.5% and the Hang Seng index with an initial weight of 5%); via BofA Securities, Inc.; pricing in August
• Autocallable market-linked step-up notes due August 2021 linked to the PHLX Housing Sector index; via BofA Securities, Inc.; pricing in August
• Autocallable market-linked step-up notes due August 2022 linked to the S&P 500 index; via BofA Securities, Inc.; pricing in August
• 0% Capped Leveraged Index Return Notes with absolute return buffer due August 2024 linked to the S&P 500 index; via BofA Securities, Inc.; pricing in August
• 0% digital notes due in 20 to 23 months linked to the S&P 500 index; via Scotia Capital (USA) Inc.; Cusip: 064159PU4
BARCLAYS BANK PLC
• Phoenix autocallable notes due Aug. 28, 2020 linked to the least performing of the Nasdaq-100 index and the Dow Jones industrial average; via Barclays; pricing Aug. 27; Cusip: 06747NAR5
• Phoenix autocallable notes due Aug. 30, 2029 linked to the least performing of the Nasdaq-100 index, the Russell 2000 index and the S&P 500 index; via Barclays; pricing Aug. 27; Cusip: 06747NCM4
• 0% capped gears due Oct. 30, 2020 linked to the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747C629
• 0% buffered digital plus notes due Aug. 30, 2024 linked to the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NBD5
• 3.75% buffered notes due Aug. 30, 2024 linked to the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NBF0
• Callable range accrual notes due Aug. 30, 2024 linked to the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NCE2
• 4% buffered notes due Aug. 31, 2026 linked to the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NBG8
• 0% annual autocallable notes due Aug. 30, 2024 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NC85
• Callable contingent coupon notes due Aug. 30, 2029 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NAK0
• Phoenix autocallable notes due Aug. 30, 2029 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NCN2
• 0% trigger gears due Aug. 30, 2024 linked to the S&P 500 index; via Barclays; pricing Aug. 27; Cusip: 06747C611
• Callable contingent coupon notes due Aug. 31, 2029 tied to the S&P 500 index via Barclays; pricing Aug. 27; Cusip: 06747NCL6
• Phoenix autocallable notes due Aug. 31, 2026 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Aug. 27; Cusip: 06747NCT9
• Phoenix autocallable notes due Nov. 30, 2020 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Barclays; pricing Aug. 27; Cusip: 06747NBR4
• Phoenix autocallable notes due Aug. 30, 2024 linked to the lesser performing of the VanEck Vectors Gold Miners ETF and the SPDR S&P Oil & Gas Exploration & Production ETF; via Barclays; pricing Aug. 27; Cusip: 06741WFE5
• 0% trigger absolute return step securities due Aug. 30, 2024 linked to a basket of indexes (Euro Stoxx 50 index with a 40% weight, the FTSE 100 index with a 20% weight, the Nikkei 225 index with a 20% weight, the Swiss Market index with a 7.5% weight, the S&P/ASX 200 index with a 7.5% weight and the Hang Seng index with a 5% weight); via UBS Financial Services Inc. and Barclays; pricing Aug. 28; Cusip: 06747C595
• Floored floating-rate notes due Sept. 4, 2026; via Barclays; pricing Aug. 29; Cusip: 06747NCH5
• 0% market-linked securities with leveraged upside participation and contingent downside due Sept. 4, 2025 linked to the Dow Jones industrial average; via Barclays and Wells Fargo Securities, LLC; pricing Aug. 29; Cusip: 06747NBM5
• 0% digital plus notes due Aug. 30, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Aug. 30; Cusip: 06747NC77
• 0% notes due Sept. 5, 2024 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Aug. 30; Cusip: 06747NCC6
• Phoenix autocallable notes due Aug. 28, 2020 linked to the least performing of the Nasdaq-100 index and the Dow Jones industrial average; via Barclays; pricing Aug. 30; Cusip: 06747NAS3
• 0% buffered SuperTrack notes due Feb. 28, 2022 linked to the least performing of the iShares MSCI Emerging Markets exchange-traded fund and the iShares MSCI EAFE ETF; via Barclays; pricing Aug. 30; Cusip: 06747NB94
• 0% buffered SuperTrack notes due Aug. 31, 2022 linked to the least performing of the iShares MSCI Emerging Markets exchange-traded fund and the iShares MSCI EAFE ETF; via Barclays; pricing Aug. 30; Cusip: 06747NB86
• 0% dual directional notes due Feb. 28, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Aug. 30; Cusip: 06747NB78
• 0% annual autocallable notes due Aug. 30, 2024 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Aug. 30; Cusip: 06747NC93
• Phoenix autocallable notes due Nov. 30, 2020 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Barclays; pricing Aug. 30; Cusip: 06747NBQ6
BOFA FINANCE LLC
• 0% leveraged notes due Aug. 30, 2024 linked to the lesser performing of the S&P 500 index and the Dow Jones industrial average; via BofA Securities Inc.; pricing Aug. 27; Cusip: 09709TUX7
• Contingent income autocallable yield notes due March 2, 2023 linked to the worst performing of the Dow Jones industrial average and the Russell 2000 index; via BofA Securities, Inc.; pricing Aug. 27; Cusip: 09709TTX9
• 0% notes due Dec. 3, 2024 linked to the S&P 500 Low Volatility High Dividend index; via BofA Securities, Inc.; pricing Aug. 27; Cusip: 09709TTG6
• 0% notes due August 2024 linked to the Dow Jones industrial average; via BofA Securities, Inc.; pricing in August
• 0% Accelerated Return Notes due October 2020 tied to the Euro Stoxx 50 index; via BofA Securities, Inc.; pricing in August
• 45- to 48-month 0% capped leveraged index-linked notes tied to the Russell 2000 index; via CIBC World Markets; Cusip: 13605WRB9
• 0% digital index-linked notes due in 25 to 28 months linked to the S&P 500 index; via BofA Securities, Inc.; Cusip: 09709TTU5
CANADIAN IMPERIAL BANK OF COMMERCE
• 0% market-linked securities – autocallable with fixed percentage buffered downside due Sept. 6, 2022 linked to the SPDR S&P Oil & Gas Exploration & Production ETF; via Wells Fargo Securities, LLC; pricing Aug. 30; Cusip: 13605WRV5
• Autocallable market-linked step-up notes due August 2022 linked to the Russell 2000 index; via BofA Securities, Inc.; pricing in August
• 24- to 27-month 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WRX1
• 24- to 27-month 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WRW3
CITIGROUP GLOBAL MARKETS HOLDINGS INC.
• 0% autocallable market-linked notes due Sept. 1, 2026 linked to the Citi Dynamic Asset Selector 5 Excess Return index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TLC8
• 0% autocallable market-linked notes due Sept. 1, 2026 linked to the Citi Radar 5 Excess Return index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TKR6
• Autocallable contingent coupon equity-linked securities due March 2, 2023 linked to the least performing of the Euro Stoxx 50 index and the S&P 500 index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TGU4
• 0% buffer securities due March 3, 2022 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TYH3
• 0% market-linked notes due March 4, 2025 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TMZ6
• 0% buffered digital securities due Sept. 1, 2022 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TGE0
• Autocallable contingent coupon equity-linked securities due Sept. 1, 2022 linked to the common stock of Microsoft Corp.; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17324XRL6
• Callable contingent coupon equity-linked securities due Aug. 30, 2024 linked to the least performing of the Nasdaq-100 index, the Russell 2000 index and the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TKS4
• 0% buffer securities due Aug. 30, 2024 linked to the SPDR Dow Jones Industrial Average ETF trust; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17324XQG8
• 0% dual directional barrier securities due March 3, 2022 linked to the SPDR S&P 500 ETF trust; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17324XRK8
• Contingent coupon autocallable notes due Aug. 31, 2023 linked to the VanEck Vectors Gold Miners ETF; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TRL2
• Contingent coupon autocallable notes due March 4, 2027 linked to the VanEck Vectors Gold Miners ETF; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 17327TJY3
• Callable step-up coupon notes due Aug. 30, 2031; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17298CH43
• Callable step-up coupon notes due Aug. 30, 2034; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17327TVG8
• Autocallable contingent coupon equity-linked securities due Aug. 31, 2022 tied to the common stocks of Facebook, Inc., Twitter, Inc., salesforce.com, inc. and American Airlines Group Inc.; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17324XQS2
• Autocallable contingent coupon equity-linked securities due Aug. 31, 2022 tied to the common stocks of Facebook, Inc., Micron Technology, Inc. and Netflix, Inc.; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17324XUA6
• Autocallable contingent coupon equity linked securities due Sept. 3, 2024 linked to the worst performing of the S&P 500 index, the Dow Jones industrial average and the SPDR S&P Oil & Gas Exploration & Production ETF; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17327TZQ2
• 0% market-linked notes due Sept. 3, 2024 linked to an unequally weighted basket composed of the Dow Jones industrial average with a 70% weight and the iShares 20+ Year Treasury Bond ETF with a 30% weight; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17327TNS1
• 0% enhanced barrier digital plus securities due March 3, 2023 linked to the iShares Russell 2000 ETF; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17324XQF0
• 0% contingent bearish market-linked notes due March 4, 2021 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Aug. 28; Cusip: 17327TGP5
• Autocallable contingent coupon equity-linked securities due Sept. 4, 2024 linked to the least performing of the Nasdaq-100 index, the Russell 2000 index and the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Aug. 29; Cusip: 17327TFA9
• 0% trigger jump securities due Sept. 3, 2021 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc. as agent and Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 17327P443
• 0% market-linked notes due Sept. 2, 2022 linked to the iShares MSCI EAFE exchange-traded fund; via Citigroup Global Markets Inc.; pricing Aug. 30; Cusip: 17327TXY7
CREDIT SUISSE AG, LONDON BRANCH
• Contingent coupon autocallable reverse convertible securities due Nov. 30, 2020 tied to the common stock of AT&T Inc.; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22549JW89
• 0% CS notes due June 2, 2023 linked to the Credit Suisse RavenPack AIS Balanced 5% ER index; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FQG0
• 0% CS autocallable notes due Sept. 1, 2026 linked to the Credit Suisse RavenPack AIS Balanced 5% ER index; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FQJ4
• 0% digital barrier notes due Oct. 1, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FQC9
• 0% absolute return barrier securities due March 2, 2023 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FR38
• Contingent coupon autocallable yield notes due Aug. 30, 2021 linked to the lesser performing of the SPDR S&P Biotech ETF and the SPDR S&P Oil &Gas Exploration & Production ETF; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FRE4
• 0% buffered accelerated return equity securities due March 3, 2021 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FQ96
• 0% digital buffered notes due March 2, 2023 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FRZ7
• 0% digital plus barrier notes due Aug. 30, 2024 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22552FQE5
• 0% digital barrier notes due Oct. 1, 2020 linked to Walt Disney Co. stock; via Credit Suisse Securities (USA) LLC; pricing Aug. 27; Cusip: 22549JW55
• Contingent coupon autocallable yield notes due Sept. 6, 2022 linked to the least performing of the shares of Apple Inc., Amazon.com, Inc. and salesforce.com, inc.; via Credit Suisse Securities (USA) LLC; pricing Aug. 29; Cusip: 22552FSZ6
• Autocallable market-linked securities with contingent coupon and contingent downside due Aug. 29, 2022 linked to the iShares MSCI Brazil exchange-traded fund; via Wells Fargo Securities LLC; pricing Aug. 29; Cusip: 22552FR53
• Market-linked securities due Aug. 27, 2021 – autocallable with contingent coupon and contingent downside linked to the SPDR S&P Oil & Gas Exploration & Production ETF; via Wells Fargo Securities, LLC; pricing Aug. 29; Cusip: 22552FTD4
• Market-linked securities due Aug. 27, 2021 – autocallable with contingent coupon and contingent downside linked to the VanEck Vectors Gold Miners ETF; via Wells Fargo Securities, LLC; pricing Aug. 29; Cusip: 22552FTC6
• 0% buffered accelerated return equity securities due Sept. 2, 2022 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FRY0
• 0% buffered Performance Leveraged Upside Securities due Sept. 3, 2021 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC and Morgan Stanley Smith Barney LLC; pricing Aug. 30; Cusip: 22550K103
• 0% absolute return buffered securities due Sept. 2, 2021 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FU67
• Contingent coupon autocallable yield notes due Dec. 7, 2020 linked to the lowest performing of the Russell 2000 index, the Euro Stoxx 50 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FS29
• Contingent coupon callable yield notes due June 7, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FSR4
• Contingent coupon autocallable yield notes due June 7, 2021 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FRW4
• 0% absolute return barrier securities due Sept. 2, 2022 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FR38
• 0% absolute return barrier securities due Sept. 2, 2022 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FRN4
• Contingent coupon autocallable yield notes due Dec. 7, 2020 linked to the lesser performing of the S&P 500 index and the Nasdaq-100 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FQT2
• Contingent coupon autocallable yield notes due March 5, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FQU9
• 0% buffered accelerated return equity securities due Sept. 2, 2022 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22552FRX2
• 0% Accelerated Return Notes due October 2020 linked to the common stocks of Boeing Co., Lockheed Martin Corp. and Raytheon Co.; via BofA Securities Inc.; pricing in August
GOLDMAN SACHS GROUP, INC.
• Callable step-up fixed-rate notes due August 2029; via Goldman Sachs & Co. LLC and Incapital LLC; pricing in August; Cusip: 38150ADH5
• Callable step-up fixed-rate notes due August 2034; via Goldman Sachs & Co. LLC and Incapital LLC; pricing in August; Cusip: 38150ADF9
GS FINANCE CORP.
• Autocallable contingent coupon index-linked notes due Dec. 4, 2020 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FWG6
• 0% autocallable notes due Sept. 11, 2026 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FWD3
• 0% leveraged buffered notes due March 3, 2022 linked to the Dow Jones industrial average; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FWA9
• 0% notes due Sept. 2, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Aug. 27; Cusip: 40056FX75
• 0% autocallable notes due Sept. 11, 2029 linked to the GS Momentum Builder Multi-Asset 5S ER; via Goldman Sachs & Co.; pricing Aug. 27; Cusip: 40056FX59
• 0% autocallable notes due Sept. 11, 2029 linked to the Motif Capital National Defense 7 ER index; via Goldman Sachs & Co.; pricing Aug. 27; Cusip: 40056FX67
• 0% index-linked notes due Oct. 1, 2020 tied to the Nasdaq-100 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FW35
• 0% leveraged buffered index-linked notes due March 3, 2022 tied to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FW84
• Callable contingent coupon notes due Aug. 30, 2029 linked to the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FWV3
• 0% leveraged buffered notes due Aug. 30, 2024 linked to the Dow Jones industrial average; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FXR1
• 0% leveraged buffered notes due March 3, 2022 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZ57
• 0% index-linked notes due Sept. 1, 2022 to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYU3
• 0% leveraged buffered notes due Aug. 30, 2024 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYZ2
• 0% leveraged index-linked notes due Sept. 2, 2025 to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYW9
• 0% autocallable index-linked notes due Sept. 4, 2024 tied to the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FXM2
• 0% notes due March 4, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FXS9
• 0% autocallable notes due Sept. 11, 2026 linked to the Motif Capital Aging of America 7 ER index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FWZ4
• 0% leveraged buffered notes due March 3, 2022 linked to the MSCI EAFE index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZ65
• 0% leveraged buffered notes due March 3, 2022 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZ24
• 0% index-linked notes due June 2, 2022 tied to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYH2
• 0% index-linked notes due Aug. 30, 2024 tied to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYK5
• 0% digital index-linked notes due Sept. 1, 2021 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FXQ3
• 0% leveraged buffered notes due March 3, 2022 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZ32
• 0% leveraged buffered notes due Aug. 30, 2024 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYX7
• 0% bearish autocallable absolute return notes due Sept. 4, 2024 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZS7
• Callable buffered monthly range accrual notes due Feb. 28, 2027 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZR9
• 0% index-linked notes due Aug. 30, 2024 tied to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FW50
• 0% leveraged notes due Sept. 1, 2026 linked to the S&P 500 Daily Risk Control 10% USD Excess Return index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FW92
• 0% buffered notes due Aug. 30, 2024 linked to the MSCI EAFE index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZ40
• 3.4% to 4% fixed-coupon buffered notes due Aug. 29, 2022 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FXN0
• Autocallable contingent coupon notes due Dec. 4, 2020 linked to the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FZ81
• 0% buffered notes due Aug. 30, 2024 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYY5
• 0% notes due Aug. 30, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 27; Cusip: 40056FYJ8
• 0% digital notes due Sept. 3, 2024 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 28; Cusip: 40056FYQ2
• 0% autocallable index-linked notes due Sept. 5, 2024 tied to the Russell 2000 index and the Nasdaq-100 index; via Goldman Sachs & Co.; pricing Aug. 28; Cusip: 40056X4Q6
• 0% index-linked notes due Oct. 1, 2020 tied to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 28; Cusip: 40056X4B9
• 0% bearish barrier early redeemable market-linked notes due between Feb. 4, 2021 and April 5, 2021 with daily barrier observation linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 28; Cusip: 40056X3M6
• Autocallable contingent coupon notes due Sept. 7, 2021 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 28; Cusip: 40056FXK6
• Autocallable contingent coupon notes due Sept. 5, 2029 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 28; Cusip: 40056FXL4
• Callable buffered monthly range accrual notes due Aug. 30, 2026 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 28; Cusip: 40056FYM1
• 3.55% callable fixed-coupon buffered notes due Aug. 30, 2024 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 28; Cusip: 40056FYE9
• Callable contingent coupon notes due Sept. 4, 2025 linked to least performing of the S&P 500 index, the Russell 2000 index and the Nasdaq-100 index; via Goldman Sachs & Co. LLC; pricing Aug. 29; Cusip: 40056X4Z6
• Callable contingent coupon notes due Sept. 5, 2024 linked to lesser performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FY25
• 0% index-linked notes due Sept. 5, 2024 tied to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FY58
• 0% Performance Leveraged Upside Securities due Dec. 3, 2020 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC as underwriter with Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 36257W673
• Contingent income callable securities due March 5, 2025 linked to the least performing of the S&P 500 index, the Russell 2000 index and the MSCI EAFE index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056X5X0
• 8.6% autocallable fixed-coupon notes due Dec. 7, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056X3S3
• 0% buffered index-linked notes due Sept. 2, 2022 tied to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056X2S4
• 0% buffered index-linked notes due Sept. 5, 2023 tied to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056X2R6
• 0% dual directional trigger Performance Leveraged Upside Securities due Sept. 6, 2022 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. as underwriter with Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 36257W491
• 0% leveraged buffered notes due Sept. 5, 2024 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FXT7
• 0% leveraged buffered notes due Sept. 5, 2024 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FXU4
• 0% notes due Sept. 2, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FY66
• 0% autocallable notes due Sept. 7, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FY33
• 0% notes due March 3, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FY74
• 0% notes due Sept. 5, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FY82
• Callable contingent coupon notes due Sept. 9, 2025 linked to lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FZJ7
• Autocallable contingent coupon notes due March 8, 2021 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FXZ3
• Callable contingent coupon notes due Sept. 7, 2022 linked to least performing of the S&P 500 index, the Russell 2000 index and the Nasdaq-100 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FZK4
• 0% trigger jump securities due Sept. 5, 2024 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. as underwriter with Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 36257W475
• 0% dual directional trigger Performance Leveraged Upside Securities due Sept. 6, 2022 linked to the S&P 500 index; via Goldman Sachs & Co. as underwriter with Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 36257W467
• 0% leveraged buffered notes due Sept. 2, 2021 linked to the Dow Jones industrial average; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FW76
• 0% index-linked notes due Oct. 5, 2020 tied to the Nasdaq-100 index and the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FW27
• 0% leveraged buffered index-linked notes due Sept. 2, 2021 tied to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FW68
• 0% autocallable absolute return notes due Sept. 2, 2022 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Aug. 30; Cusip: 40056FW43
• 15- to 17-month 0% bearish autocallable absolute return notes linked to the S&P 500 index; via Goldman Sachs & Co. LLC; Cusip: 40056FVZ5
• 24- to 27-month 0% absolute return trigger notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 40056FVV4
HSBC USA INC.
• 0% performance allocator notes due Aug. 30, 2024 linked to three baskets of indexes (U.S. region basket consists of the S&P 500 index and the Russell 2000 index, European region basket consists of the Euro Stoxx 50 index and the FTSE 100 index, Asia Pacific region basket consists of the S&P/ASX 200 index and the Nikkei 225 index; each index has a 50% weight in its respective basket); via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UTP9
• 0% barrier enhanced participation notes due Aug. 30, 2024 linked to the lesser performing of the Dow Jones industrial average and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UUH5
• 0% buffered participation securities due Aug. 30, 2024 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 61769HNE1
• Autocallable contingent income barrier notes due Aug. 30, 2024 linked to the least performing of the Euro Stoxx Banks index and Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UUV4
• Autocallable contingent income barrier notes due Aug. 30, 2029 linked to the least performing of the Euro Stoxx Banks index and Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UUW2
• Autocallable contingent income barrier notes due Aug. 30, 2029 linked to the least performing of the Russell 2000 index and the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UVN1
• 0% buffered digital due Aug. 30, 2022 tied to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UTM6
• 0% digital dual directional barrier securities due Aug. 30, 2024 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UTR5
• 0% buffered digital due Feb. 28, 2023 tied to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40435UTT1
• 0% step-down trigger autocallable notes due Sept. 3, 2024 linked to the least performing of the Russell 2000 index and the Dow Jones industrial average; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 40436B188
• trigger autocallable contingent yield notes due Sept. 3, 2024 linked to the Dow Jones Industrial Average and the Russell 2000 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 40436B170
• Autocallable notes with contingent coupon and contingent downside due Aug. 29, 2023 linked to the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 29; Cusip: 40435UXC3
• 0% trigger Performance Leveraged Upside Securities due Sept. 3, 2021 linked to the Amazon.com, Inc.; via HSBC Securities (USA) Inc. as agent with Morgan Stanley Wealth Management handling distribution; pricing Aug. 30; Cusip: 40436B196
• 0% performance allocator notes due Sept. 6, 2022 linked to three baskets of indexes (U.S. region basket consists of the S&P 500 index and the Russell 2000 index, European region basket consists of the Euro Stoxx 50 index and the FTSE 100 index, Asia Pacific region basket consists of the S&P/ASX 200 index and the Nikkei 225 index; each index has a 50% weight in its respective basket); via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UTQ7
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UUB8
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UUC6
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UUA0
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UTZ7
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435URS5
• 0% dual directional barrier notes due Sept. 6, 2022 linked to the lesser performing of the iShares MSCI EAFE ETF and the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UTV6
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435URT3
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435URR7
• 0% digital dual directional barrier securities due Aug. 30, 2024 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UTU8
• 0% digital dual directional barrier securities due Sept. 5, 2024 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435UTS3
• 0% buffered Accelerated Market Participation Securities due Sept. 7, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 30; Cusip: 40435URQ9
• 0% buffered Accelerated Market Participation Securities due Sept. 10, 2021 linked to a basket consisting of the S&P 500 index with a 70% weight, the Russell 2000 index with a 15% weight and the iShares MSCI EAFE exchange-traded fund with a 15% weight; via HSBC Securities (USA) Inc.; pricing Sept. 15; Cusip: 40435UVD3
JEFFERIES GROUP LLC
• Fixed-to-floating notes with contingent digital coupon due Aug. 31, 2039; via Jefferies LLC; settling Aug. 30; Cusip: 47233JCE6
JPMORGAN CHASE & CO.
• Callable step-up fixed-rate notes due Sept. 16, 2027; via J.P. Morgan Securities LLC; pricing Sept. 12; Cusip: 48128GF62
JPMORGAN CHASE FINANCIAL CO. LLC
• 0% autocallable contingent buffered equity notes due Aug. 30, 2024 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CT94
• Autocallable contingent interest notes due Dec. 2, 2020 linked to the common stock of Nvidia Corp.; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132FCF1
• 0% step-up autocallable notes due Aug. 31, 2026 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CR39
• 0% step-up autocallable notes due Aug. 31, 2026 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CR47
• 0% autocallable contingent buffered equity notes due Aug. 31, 2022 linked to the lesser performing of the S&P 500 index, the Nasdaq-100 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CT52
• 0% capped buffered return enhanced notes due Aug. 31, 2021 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132FCR5
• 0% step-up autocallable buffered equity notes due Aug. 31, 2026 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CU35
• 0% capped dual directional buffered equity notes due Sept. 1, 2021 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132FBF2
• callable contingent interest notes due Aug. 30, 2024 linked to the least performing of the Russell 2000 index, S&P 500 index and Dow Jones industrial average; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132FAJ5
• 0% uncapped contingent buffered return enhanced notes due Aug. 30, 2024 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132FBV7
• 0% trigger gears due Aug. 30, 2024 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132G807
• 0% uncapped dual directional contingent buffered return enhanced notes due Aug. 31, 2022 linked to the lesser performing of the Dow Jones industrial average and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CF57
• 0% digital notes due Nov. 30, 2020 linked to the lesser performing of the Russell 2000 index and the Nasdaq-100 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CH71
• 0% capped buffered return enhanced notes due Feb. 26, 2021 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CF65
• 0% uncapped dual directional contingent buffered equity notes due Aug. 30, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CJ95
• 0% capped contingent buffered return enhanced notes due Aug. 30, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 27; Cusip: 48132CF40
• 0% review notes due Sept. 3, 2024 linked to the lesser performing of the Russell 2000 index and the Dow Jones industrial average; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48132FDB9
• Autocallable contingent interest notes due Dec. 3, 2020 linked to the common stock of FedEx Corp.; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48132CU27
• Trigger autocallable contingent yield notes due Sept. 2, 2022 linked to the common stock of Microsoft Corp.; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48132G864
• Trigger autocallable contingent yield notes due Sept. 2, 2022 linked to the common stock of Nvidia Corp.; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48132G856
• Trigger autocallable contingent yield notes due Sept. 2, 2022 linked to the Russell 2000 index and the FTSE 100 index; via J.P. Morgan Securities LLC and UBS Financial Services Inc.; pricing Aug. 28; Cusip: 48132G880
• Autocallable contingent interest notes due Dec. 3, 2020 linked to the least performing of the Russell 2000 index, the S&P 500 index and the Nasdaq-100 index; via J.P. Morgan Securities LLC; pricing Aug. 29; Cusip: 48132FDY9
• Contingent income autocallable securities due March 4, 2020 tied to the common stock of Schlumberger NV; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132G872
• 0% uncapped dual directional contingent buffered return enhanced notes due Aug. 31, 2022 linked to the Euro Stoxx 50 index and the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CM59
• 0% uncapped contingent buffered return enhanced notes due Aug. 31, 2023 linked to the lesser performing of the iShares MSCI EAFE exchange-traded fund and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CN25
• 0% uncapped contingent buffered return enhanced notes due Aug. 30, 2024 linked to the lesser performing of the iShares MSCI EAFE exchange-traded fund and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CN33
• 0% digital notes due Oct. 30, 2020 linked to the lesser performing of the Nasdaq-100 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CM42
• 0% uncapped dual directional contingent buffered return enhanced notes due Aug. 31, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CM75
• 0% uncapped dual directional contingent buffered return enhanced notes due Feb. 28, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CM67
• 0% uncapped dual directional buffered equity notes due Aug. 31, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CR21
• 0% capped buffered enhanced participation equity notes due Sept. 1, 2021 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132FBJ4
• 0% uncapped contingent buffered return enhanced notes due Aug. 31, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CM91
• 0% uncapped dual directional contingent buffered return enhanced notes due Aug. 30, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CM83
• 0% uncapped contingent buffered return enhanced notes due Aug. 30, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CN41
• Autocallable step-down contingent interest notes due Aug. 30, 2024 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CT45
• 0% step-up autocallable notes due Aug. 30, 2024 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CP98
• 4% yield notes due June 4, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132FAQ9
• 0% capped buffered return enhanced notes due Nov. 4, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CE90
• 0% trigger jump securities due Sept. 2, 2021 linked to the common stock of Apple Inc.; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132G708
• 0% contingent buffered digital notes due Oct. 5, 2020 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132FCT1
• 0% capped notes due Aug. 30, 2024 linked to an equally weighted basket of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CL43
• 0% uncapped contingent buffered equity notes due Sept. 5, 2023 linked to the least performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132CW90
• 0% capped return enhanced notes due Dec. 3, 2020 linked to the SPDR Gold Trust; via J.P. Morgan Securities LLC; pricing Aug. 30; Cusip: 48132FDQ6
• Autocallable contingent interest notes due Dec. 9, 2020 linked to the common stock of Amazon.com, Inc.; via J.P. Morgan Securities LLC; pricing Sept. 4; Cusip: 48132FDT0
• 0% capped dual directional buffered equity notes due Sept. 10, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Sept. 5; Cusip: 48132FDU7
• 0% step-up autocallable contingent buffered equity notes due Sept. 11, 2024 tied to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Sept. 6; Cusip: 48132CZ89
• Autocallable contingent interest notes due March 11, 2021 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Sept. 6; Cusip: 48132FBL9
• Autocallable contingent interest notes due March 11, 2021 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Sept. 6; Cusip: 48132FBL9
• Autocallable contingent interest notes due Sept. 9, 2022 linked to the least performing of the Russell 2000 index, the S&P 500 index and the Nasdaq-100 index; via J.P. Morgan Securities LLC; pricing Sept. 6; Cusip: 48132FCY0
• Autocallable contingent interest notes due Sept. 23, 2021 linked to the least performing of the Russell 2000 index, the Dow Jones industrial average and the Nasdaq-100 index; via J.P. Morgan Securities LLC; pricing Sept. 19; Cusip: 48132FDM5
• 8.6% autocallable yield notes due Dec. 24, 2020 linked to the worst performing of the Nasdaq-100 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Sept. 29; Cusip: 48132FCP9
MORGAN STANLEY
• Fixed-to-floating notes due Aug. 30, 2024 linked to the federal funds effective rate; via Morgan Stanley & Co. LLC; settling Aug. 30; Cusip: 61760QMQ4
MORGAN STANLEY FINANCE LLC
• Contingent income autocallable securities due Sept. 1, 2022 linked to the least performing of the common stocks of Bank of America Corp., salesforce.com, inc. and NIKE, Inc.; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HQE8
• 0% buffered participation securities due Aug. 30, 2024 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HMZ5
• 0% jump securities with autocallable feature due Aug. 30, 2024 linked to the lesser performing of the Dow Jones industrial average and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HPH2
• 0% dual directional trigger jump securities due Aug. 30, 2024 linked to the Dow Jones industrial average and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HMY8
• Contingent income autocallable securities due March 4, 2021 linked to the worst performing of the Russell 2000 index, the Dow Jones industrial average and the Nasdaq-100 index; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HPE9
• 0% equity-linked partial principal at risk securities due June 2, 2023 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HNY7
• 0% capped buffer gears due Feb. 26, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Aug. 27; Cusip: 61769Q733
• 0% buffered participation securities due Aug. 30, 2024 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HNN1
• 0% dual directional trigger Performance Leveraged Upside Securities due Aug. 30, 2024 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HNP6
• 0% Performance Leveraged Upside Securities due Sept. 2, 2025 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 27; Cusip: 61769HNF8
• Contingent income autocallable securities due Aug. 31, 2029 linked to the worst performing of the Russell 2000 index, the Dow Jones industrial average and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 61769HQJ7
• Contingent income autocallable securities due Sept. 2, 2022 linked to the common stock of Apple Inc.; via Morgan Stanley & Co. LLC as agent with Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 61769Q808
• Contingent income autocallable securities due Sept. 2, 2022 linked to the common stock of Blackstone Group LP; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769Q782
• Contingent income autocallable securities due Sept. 2, 2022 linked to the common stock of Facebook, Inc.; via Morgan Stanley & Co. LLC as agent with Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 61769Q790
• 0% jump securities with autocallable feature due Sept. 2, 2022 tied to the worst performing of the Nasdaq-100 index, the Dow Jones industrial average and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HPG4
• Callable contingent income securities due Sept. 5, 2024 linked to the least performing of the Nasdaq-100 index, the Russell 2000 index and the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HPQ2
• 0% Performance Leveraged Upside Securities due Dec. 3, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769Q725
• 0% dual directional trigger participation securities due Oct. 5, 2020 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769Q691
• Contingent income buffered autocallable securities due Sept. 2, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HQR9
• 0% buffered Performance Leveraged Upside Securities due March 3, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769Q717
• 0% trigger Performance Leveraged Upside Securities due Sept. 5, 2024 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HNK7
• 0% buffered jump securities due Sept. 5, 2024 linked to the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HNW1
• 0% buffered participation securities due Sept. 5, 2024 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HNR2
• 0% dual directional trigger jump securities due Sept. 5, 2024 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HNT8
• 0% dual directional trigger Performance Leveraged Upside Securities due Sept. 5, 2024 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769HNQ4
• 0% buffered Performance Leveraged Upside Securities due Sept. 3, 2021 linked to the Tokyo Stock Price index; via Morgan Stanley & Co. LLC; pricing Aug. 30; Cusip: 61769Q501
• 0% market-linked notes due Sept. 5, 2024 linked to an unequally weighted basket composed of the S&P 500 index with a 50% weight, the Euro Stoxx 50 index with a 25% weight and the iShares MSCI Emerging Markets ETF with a 25% weight; via Morgan Stanley & Co. LLC; pricing Sept. 5; Cusip: 61769HNV3
• 0% digital basket-linked notes due in 18 to 21 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, the FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via Morgan Stanley & Co. LLC; Cusip: 61769HRD9
• 0% 24- to 27-month leveraged buffered notes linked to the S&P 500 index; via Morgan Stanley & Co. LLC; Cusip: 61769HRE7
• 14- to 16-month 0% buffered digital notes linked to the Nasdaq-100 index; via Morgan Stanley & Co. LLC; Cusip: 61769HMD4
• 23- to 27-month 0% buffered digital notes linked to the S&P 500 index; via Morgan Stanley & Co. LLC; Cusip: 61769HMC6
ROYAL BANK OF CANADA
• Autocallable contingent coupon barrier notes due Sept. 1, 2022 linked to the least performing of the common stocks of AT&T Inc. and Verizon Communications Inc.; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAF1
• Autocallable contingent coupon barrier notes due Sept. 1, 2022 linked to the least performing of the common stocks of Amazon.com, Inc., Facebook, Inc., Alphabet Inc. and Netflix Inc.; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAH7
• Autocallable contingent coupon barrier notes due Sept. 1, 2022 linked to the common stock of Apple Inc.; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAD6
• Autocallable contingent coupon barrier notes due Aug. 30, 2024 linked to the least performing of the common stocks of Apple Inc. and Microsoft Corp.; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAS3
• Autocallable contingent coupon barrier notes due Sept. 1, 2022 linked to the least performing of the common stocks of Bank of America Corp., Citigroup Inc. and JPMorgan Chase & Co.; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAG9
• Autocallable contingent coupon barrier notes due Sept. 1, 2022 linked to the common stock of Boeing Co.; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAC8
• 0% autocallable barrier notes due Aug. 30, 2024 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAW4
• Autocallable contingent coupon barrier notes due Sept. 1, 2022 linked to the least performing of the common stocks of Palo Alto Networks, Inc. and Cisco Systems, Inc.; via RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78015KAE4
• Autocallable contingent coupon barrier notes due Sept. 3, 2020 linked to the least performing of the common stocks of Boston Scientific Corp. and Merck & Co., Inc.; via RBC Capital Markets, LLC; pricing Aug. 29; Cusip: 78013GJC0
• 0% barrier booster notes due Aug. 30, 2024 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Aug. 27; Cusip: 78013XZR2
• 0% trigger absolute return step securities due Aug. 31, 2023 linked to the Euro Stoxx 50, FTSE 100, Nikkei 225, Swiss Market, S&P/ASX 200 and Hang Seng indexes; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78014J371
• 0% Performance Leveraged Upside Securities due Dec. 3, 2020 linked to the Topix index; via RBC Capital Markets, LLC as agent with Morgan Stanley Wealth Management as dealer; pricing Aug. 30; Cusip: 78014J389
TORONTO-DOMINION BANK
• Autocallable contingent interest barrier notes due March 3, 2021 linked to the least performing of the common stocks of Marathon Petroleum Corp., Baker Hughes and Valero Energy Corp.; via TD Securities (USA) LLC; pricing Aug. 30; Cusip: 89114Q4W5
• 0% capped notes due Sept. 4, 2024 linked to the Dow Jones industrial average; via TD Securities (USA) LLC; pricing Aug. 30; Cusip: 89114Q4X3
• 0% leveraged buffered notes due in 24 to 27 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, the FTSE 100 index with a 19% weight, the Swiss Market index with a 10% weight and the S&P/ASX 200 index with an 8% weight); via TD Securities (USA) LLC; Cusip: 89114Q5N4
UBS AG, LONDON BRANCH
• Contingent income autocallable securities due Sept. 2, 2022 linked to the common stock of Nvidia Corp.; via UBS Securities LLC and Morgan Stanley Wealth Management; pricing Aug. 30; Cusip: 90281E191
• 17- to 20-month 0% digital notes linked to the MSCI EAFE index; via UBS Securities LLC; Cusip: 90270KH44
• 18- to 21-month 0% digital index-linked notes linked to the S&P 500 index; via UBS Securities LLC; Cusip: 90270KH69
WELLS FARGO & CO.
• Step-up callable notes due Aug. 30, 2024; via Wells Fargo Securities LLC; pricing Aug. 28; Cusip: 95001D4R8
• Step-up callable notes due Sept. 30, 2026; via Wells Fargo Securities LLC; pricing Sept. 26; Cusip: 95001D4T4
WELLS FARGO FINANCE LLC
• 0% market-linked securities – leveraged upside participation to a cap and fixed percentage buffered downside due Aug. 31, 2021 linked to the MSCI Emerging Markets index; via Wells Fargo Securities LLC; pricing Aug. 27; Cusip: 95001HA68
• Market-linked securities due Aug. 31, 2021 – contingent upside participation and contingent absolute return with principal return at maturity with daily knock-out monitoring linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Aug. 27; Cusip: 95001HA76
• 0% market-linked securities – upside participation and fixed percentage buffered downside due Aug. 30, 2024 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Aug. 27; Cusip: 95001H7L9
• 0% market-linked securities with contingent fixed return and contingent downside due Sept. 10, 2020 linked to the SPDR S&P Oil & Gas Exploration & Production ETF, the SPDR S&P Retail ETF and the SPDR S&P Biotech ETF; via Wells Fargo Securities, LLC; pricing Aug. 28; Cusip: 95001HA84
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due March 4, 2022 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Aug. 29; Cusip: 95001H7K1
• 0% market-linked securities – upside participation and fixed percentage buffered downside due Sept. 4, 2024 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Aug. 29; Cusip: 95001H7M7
• 0% market linked securities – autocallable with fixed percentage buffered downside due Sept. 11, 2023 linked to the Dow Jones industrial average; via Wells Fargo Securities, LLC; pricing Aug. 30; Cusip: 95001HA43
• 0% market-linked notes with leveraged upside participation to a cap and fixed percentage buffered downside due March 9, 2023 linked to the Energy Select Sector SPDR fund; via Wells Fargo Securities, LLC; pricing Aug. 30; Cusip: 95001H7F2
• 0% market-linked securities – upside participation to a cap and principal return at maturity due March 11, 2024 linked to the Euro Stoxx 50 index; via Wells Fargo Securities, LLC; pricing Aug. 30; Cusip: 95001H7B1
• 0% market-linked notes with leveraged upside participation to a cap and fixed percentage buffered downside due March 9, 2022 linked to the SPDR S&P 500 ETF trust; via Wells Fargo Securities, LLC; pricing Aug. 30; Cusip: 95001H7E5
• 0% market-linked securities – leveraged upside participation to a cap and fixed percentage buffered downside due Sept. 9, 2021 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Aug. 30; Cusip: 95001H7D7
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