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

Published on 11/7/2013 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Market-linked step-up notes due November 2016 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

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

• 0% Accelerated Return Notes due January 2015 linked to the Industrial Select Sector index; via BofA Merrill Lynch; pricing in November

• Market-linked step-up notes due November 2015 linked to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in November

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

• 0% Accelerated Return Notes due January 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% market-linked step-up notes due November 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• Capped Leveraged Index Return Notes due December 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

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

• 0% Accelerated Return Notes due February 2015 linked to the silver spot price; via BofA Merrill Lynch; pricing in November

BANK OF MONTREAL

• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRR8

• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the iShares China Large-Cap exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRS6

• 0% autocallable barrier notes with step-up call price due Nov. 30, 2015 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRV9

• 0% autocallable barrier notes with step-up call price due Nov. 30, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRU1

• 0% bullish enhanced return notes with lookback feature due Nov. 30, 2016 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRY3

• 0% basket tracking notes due Dec. 10, 2014 linked to the Top 20 GARP Picks Portfolio, which includes the common stocks of Actavis plc, Arris Group, Inc., Bonanza Creek Energy, Inc., Delta Air Lines, Inc., Ford Motor Co., Forest Laboratories, Inc., Gentex Corp., Greenbrier Cos., Inc., Jazz Pharmaceuticals plc, KapStone Paper and Packaging Corp., Lam Research Corp., Metlife Inc., Micron Technology, Inc., Nasdaq OMX Group, Inc., Nu Skin Enterprises, Inc., NXP Semiconductors NV, Ocwen Financial Corp., Prudential Financial, Inc., Spirit Airlines, Inc. and Verizon Communications Inc.; via BMO Capital Markets Corp.; settling Nov. 29; Cusip: 06366RRX5

BANK OF NOVA SCOTIA

• Series A callable step-up notes due Nov. 27, 2028; via Scotia Capital (USA) Inc.; pricing Nov. 22; Cusip: 064159CH7

• 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

BARCLAYS BANK DELAWARE

• Certificates of deposit due Nov. 26, 2019 linked to a basket of common stocks (AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Verizon Communications Inc., Walgreen Co. and Wells Fargo & Co.); via Barclays with Incapital LLC as distributor; pricing Nov. 22; Cusip: 06740AE54

• Certificates of deposit due Nov. 27, 2020 linked to a basket of common stocks (AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Verizon Communications Inc., Walgreen Co. and Wells Fargo & Co.); via Barclays with Incapital LLC as distributor; pricing Nov. 22; Cusip: 06740AF46

• Certificates of deposit due Nov. 27, 2020 linked to the Euro Stoxx 50 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AE96

• Certificates of deposit due Nov. 26, 2019 linked to Hang Seng index, Euro Stoxx 50 index, FTSE 100 index and S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AF38

• Certificates of deposit due Nov. 27, 2020 linked to the S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AF20

• 0.25% to 0.35% certificates of deposit due Nov. 21, 2018 linked to the S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AE70

BARCLAYS BANK PLC

• Step-up fixed-rate callable notes due Nov. 14, 2028; via Barclays; pricing Nov. 8; Cusip: 06741TV79

• 0% trigger autocallable optimization securities due Nov. 14, 2018 linked to Caterpillar Inc. common stock; via UBS Financial Services Inc. and Barclays; pricing Nov. 8; Cusip: 06742E638

• Trigger phoenix autocallable optimization securities due Nov. 26, 2014 linked to eBay Inc. shares; 80% trigger; via UBS Financial Services Inc. and Barclays; pricing Nov. 8; Cusip: 06741TX51

• 0% market plus notes due May 13, 2015 linked to the Euro Stoxx 50 index; via Barclays; pricing Nov. 8; Cusip: 06741TX36

• 0% market plus notes due May 13, 2015 linked to the S&P 500 index; via Barclays; pricing Nov. 8; Cusip: 06741TX28

• 0% return enhanced notes due Nov. 26, 2014 linked to the S&P 500 index; via Barclays with J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 06741TW94

• 0% trigger autocallable optimization securities due Nov. 14, 2018 linked to Symantec Corp. common stock; via UBS Financial Services Inc. and Barclays; pricing Nov. 8; Cusip: 06742E646

• Capped fixed-to-floating notes due Nov. 20, 2020; via Barclays; pricing Nov. 15; Cusip: 06741TW78

• Principal at risk steepener range accrual callable notes due Nov. 22, 2023 linked to the CMS spread and the Russell 2000 index; via Barclays; pricing Nov. 18; Cusip: 06741TX77

• 0% Super Track notes due May 31, 2017 linked to the Euro Stoxx 50 index; via Barclays; pricing Nov. 21; Cusip: 06741TW37

• 0% buffered Super Track notes due May 26, 2016 linked to the Russell 2000 index; via Barclays; pricing Nov. 21; Cusip: 06741TW60

• Callable contingent coupon notes due Nov. 27, 2015 linked to Facebook, Inc. shares; 65% trigger; via Barclays; pricing Nov. 22; Cusip: 06741J4W6

• 15% reverse convertible notes due May 28, 2014 linked to First Solar, Inc. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J4Z9

• 13.75% reverse convertible notes due May 28, 2014 linked to LinkedIn Corp. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J5A3

• 14% reverse convertible notes due May 28, 2014 linked to Netflix Inc. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J4Y2

• 12% reverse convertible notes due May 28, 2014 linked to United States Steel Corp. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J5B1

• Callable contingent payment notes due Nov. 29, 2018 linked to the Market Vector Gold Miners exchange-traded fund; via Barclays; pricing Nov. 25; Cusip: 06741TW29

• 0% trigger return optimization securities due Nov. 30, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 25; Cusip:06742E679

• 0% trigger return optimization securities due Nov. 30, 2016 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 26; Cusip: 06742E661

• Annual reset coupon buffered notes due Nov. 30, 2019 linked to the Russell 2000 index; via Barclays; pricing Nov. 26; Cusip: 06741TW45

• 0% Performance Leveraged Upside Securities due Jan. 2, 2015 linked to the Russell 2000 index; via Barclays with Morgan Stanley Wealth Management as dealer; pricing Nov. 29; Cusip: 06742E653

• 0% Currency Market Index Target-Term Securities due November 2015 linked to Brazilian real and the Mexican peso; via BofA Merrill Lynch; pricing in November

• 0% Strategic Accelerated Redemption Securities due December 2014 tied to a basket of the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets exchange-traded fund; via BofA Merrill Lynch; pricing in November

• Callable contingent coupon notes due November 2015 linked to Microsoft Corp. shares; 75% trigger; via Barclays; pricing in November; Cusip: 06741TW52

BNP PARIBAS

• 0% buffered return enhanced notes due May 31, 2016 linked to a basket of common stocks selected from the Richard Bernstein Advisors American Industrial Renaissance universe, including Acuity Brands, Inc., Covanta Holding Corp., Generac Holdings Inc., Huntington Bancshares Inc., MasTec, Inc., Oshkosh Corp., Proto Labs, Inc., Quanta Services, Inc., Trinity Industries, Inc. and URS Corp.; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LSC3

• 0% buffered uncapped notes due Nov. 29, 2017 linked to the Dow Jones industrial average; via BNPP Securities; pricing Nov. 25; Cusip: 05574LSA7

• 0% buffered return enhanced notes due May 31, 2016 linked to the Russell 2000 index; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LSD1

• 0% buffered return enhanced notes due Nov. 30, 2015 linked to the S&P 500 index; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LS90

• 0% buffered return enhanced notes due Nov. 30, 2015 linked to the S&P 500 index; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LS74

• 0% capped leveraged certificate plus notes due May 31, 2016 linked to the Euro Stoxx 50 index; via BNP Paribas Securities Corp.; pricing Nov. 26; Cusip: 05574LS66

• 0% step-up autocallable notes due Nov. 29, 2016 linked to the Euro Stoxx 50 index; via BNP Paribas Securities Corp.; pricing Nov. 26; Cusip: 05574LSJ8

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

CITIGROUP INC.

• Callable leveraged CMS spread notes due Nov. 14, 2023 linked to the 30-year Constant Maturity Swap Rate and the five-year CMS rate; via Citigroup Global Markets Inc.; pricing Nov. 8; Cusip: 1730T0B99

• 0% buffered Performance Leveraged Upside Securities due May 16, 2016 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 11; Cusip: 17321F631

• Leveraged callable CMS curve-linked notes due Nov. 15, 2028 linked to the 30-year Constant Maturity Swap rate and the five-year CMS rate; via Citigroup Global Markets Inc. and Morgan Stanley Smith Barney LLC; pricing Nov. 12; Cusip: 1730T0A82

• 0% barrier securities due Nov. 27, 2017 linked to the MSCI EAFE index; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 1730T0B40

• 0% buffer securities due Nov. 28, 2018 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0B73

• 10% to 12% single observation Equity Linked Securities due May 28, 2014 linked to the common stock of Netflix, Inc.; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0B81

• Autocallable securities due November 2016 linked to the worst performing of the S&P 500 index and the Russell 2000 index; 80% trigger; via Citigroup Global Markets Inc.; pricing Nov. 25; Cusip: 17321F649

• 0% trigger performance securities due Nov. 30, 2018 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 25; Cusip: 17321F680

• 0% trigger performance securities due Nov. 30, 2018 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 17321F656

• 0% buffered Performance Leveraged Upside Securities due June 3, 2016 linked to the iShares MSCI Emerging Markets ETF; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17321F664

• 0% buffered Performance Leveraged Upside Securities due June 3, 2016 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17321F672

CREDIT SUISSE AG

• 9% autocallable reverse convertible notes due Nov. 14, 2014 linked to Tenet Healthcare Corp. shares; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 8; Cusip: 22547QCN4

• 9% autocallable reverse convertible securities due Nov. 20, 2014 linked to Celgene Corp. shares; via Credit Suisse Securities (USA) LLC; pricing Nov. 15; Cusip: 22547QDG8

• 0% accelerated barrier notes due Dec. 2, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QCR5

• 0% digital-plus barrier notes due June 3, 2019 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QD60

• Contingent coupon autocallable yield notes due Nov. 27, 2023 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QD37

• Contingent coupon callable yield notes due Dec. 2, 2016 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QCS3

• 0% CS notes due May 29, 2019 linked to the Credit Suisse Equity Sector Rotation Blue Index Target Volatility 5%; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCE4

• 0% accelerated barrier notes due Nov. 29, 2017 linked to the Dow Jones industrial average; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCV6

• 0% autocallable securities due Nov. 29, 2016 linked to the Euro Stoxx 50 index and the FTSE 100 index; via Barclays; pricing Nov. 25; Cusip: 22547QDA1

• 0% Buffered Accelerated Return Equity Securities due Nov. 30, 2015 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCU8

• Callable daily Russell 2000 index-linked range accrual notes due Nov. 29, 2019; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD94

• Buffered contingent coupon callable yield notes due Nov. 29, 2017 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD45

• Contingent coupon callable yield notes due Nov. 29, 2023 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QDH6

• Contingent coupon callable yield notes due Nov. 30, 2015 linked to the Russell 2000 index and the iShares MSCI EAFE exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCT1

• 0% Accelerated Return Notes due Aug. 29, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD86

• 0% cert plus securities due Nov. 29, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD29

• 0% Buffered Accelerated Return Equity Securities due May 30, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QD78

• 0% accelerated barrier notes due Dec. 4, 2017 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCY0

• 0% callable Buffered Accelerated Return Equity Securities due Dec. 3, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCX2

• Buffered contingent coupon callable yield notes due Dec. 4, 2017 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QD52

• 0% cert plus securities due Dec. 4, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCZ7

• Contingent coupon callable yield notes due Dec. 3, 2015 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCW4

• 8.5% STEP Income Securities due November 2014 linked to Masco Corp. common stock; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2015 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2015 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• Contingent coupon callable yield notes due June 10, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 5; Cusip: 22547QDF0

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

CREDIT SUISSE AG, LONDON BRANCH

• 0% leveraged buffered index-linked notes tied to the iShares MSCI Emerging Markets exchange-traded fund; via Suisse Securities (USA) LLC; pricing in November; Cusip: 22547QDD5

• 0% leveraged buffered index-linked notes tied to the S&P 500 index due in 21 to 24 months; via Credit Suisse Securities (USA) LLC; pricing in November; Cusip: 22547QDB9

DEUTSCHE BANK AG, LONDON BRANCH

• 7.2% to 9.2% airbag autocallable yield optimization notes due Nov. 14, 2014 linked to the common stock of American Eagle Outfitters, Inc.; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 8; Cusip: 25155G872

• 0% capped knock-out notes due Nov. 26, 2014 linked to the Euro Stoxx 50 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 25152RFR9

• 0% knock-out notes due Nov. 14, 2018 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 25152RFT5

• 7.6% to 9.6% airbag autocallable yield optimization notes due Nov. 14, 2014 linked to the class A common stock of Facebook, Inc.; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 8; Cusip: 25155G708

• 6.1% to 8.1% airbag autocallable yield optimization notes due Nov. 14, 2014 linked to the class A common stock of Genworth Financial, Inc.; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 8; Cusip: 25155G880

• 6.6% to 8.6% airbag autocallable yield optimization notes due Nov. 14, 2014 linked to the common stock of PulteGroup, Inc.; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 8; Cusip: 25155G807

• 0% capped knock-out notes due Nov. 26, 2014 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 25152RFQ1

• 6.8% to 8.8% airbag autocallable yield optimization notes due Nov. 14, 2014 linked to the common stock of Vertex Pharmaceuticals Inc.; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 8; Cusip: 25155G864

• 0% trigger performance securities due Nov. 30, 2023 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 26; Cusip: 25155G609

• 0% trigger performance securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 26; Cusip: 25155G500

• 9% STEP Income Securities due November 2014 linked to American Depositary Receipts of Petroleo Brasileiro SA; via BofA Merrill Lynch; pricing in November

GOLDMAN SACHS BANK USA

• Contingent coupon index-linked certificates of deposit due Nov. 27, 2020 tied to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 22; Cusip: 38147JNU2

• 0% index-linked certificates of deposit due Nov. 27, 2020 linked to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co. and Incapital LLC; pricing Nov. 22; Cusip: 38147JNW8

• 0% equity index-linked certificates of deposit due Nov. 27, 2019 linked to the S&P 500 index, the Russell 2000 index and the S&P MidCap 400 index; via Goldman Sachs & Co. and Incapital LLC; pricing Nov. 22; Cusip: 38147JPA4

• Contingent coupon certificates of deposit due Nov. 27, 2020 linked to a basket of 10 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. with Incapital LLC as distributor; pricing Nov. 25; Cusip: 38147JNY4

• Variable-coupon basket-linked certificates of deposit due Nov. 27, 2020 linked to a basket of 10 stocks (Apple Inc., AbbVie Inc., Amazon.com, Inc., Cisco Systems, Inc., McDonald's Corp., Merck & Co., Inc., Microsoft Corp., PepsiCo, Inc., Proctor & Gamble Co., Wal-Mart Stores, Inc.); via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147JNX6

• Variable-coupon basket-linked certificates of deposit due Nov. 27, 2020 linked to a basket of 10 stocks (AT&T Inc., Chevron Corp., E.I. DuPont de Nemours and Co., General Electric Co., Intel Corp., McDonald's Corp., Merck & Co., Inc., Pfizer Inc., Proctor & Gamble Co. and Verizon Communications Inc.); via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147JNZ1

GOLDMAN SACHS GROUP, INC.

• 0% currency-linked notes due May 18, 2015 linked to the performance of the Mexican peso relative to the euro; via Goldman Sachs & Co.; pricing Nov. 8; Cusip: 38147QP26

• Autocallable monthly index-linked range accrual notes due Nov. 20, 2028 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 15; Cusip: 38147QL61

• Callable monthly range accrual notes due Nov. 26, 2028 linked to the Russell 2000 index; 50% trigger; via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 38147QP67

• Callable monthly index-linked range accrual notes due Nov. 27, 2028 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 38147QN69

• Callable buffered monthly range accrual notes due Nov. 29, 2020 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147QN28

• Callable monthly Russell 2000 index-linked range accrual notes due Nov. 29, 2023; via Goldman Sachs & Co.; pricing Nov. 26; Cusip: 38147QL20

• Callable monthly Russell 2000 index-linked range accrual notes due Nov. 29, 2028; via Goldman Sachs & Co.; pricing Nov. 26; Cusip: 38147QM29

• 0% buffered notes due Nov. 29, 2018 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 26; Cusip: 38147QJ23

• Callable step-up fixed-rate notes due November 2019; via Goldman Sachs & Co.; pricing in November; Cusip: 38147QQ66

• Callable step-up fixed-rate notes due November 2028; via Goldman Sachs & Co.; pricing in November; Cusip: 38147QJ64

• 10-year callable quarterly CMS spread-linked notes; via Goldman Sachs & Co.; Cusip: 38147QQ25

• 15-year callable quarterly CMS spread-linked notes; via Goldman Sachs & Co.; Cusip: 38147QK21

• 18- to 21-month 0% leveraged notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.

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

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

• 36- to 40-month 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QXN1

• 0% leveraged buffered notes due 2018 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QRA6

• 24- to 27-month 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets index fund; via Goldman Sachs & Co.; Cusip: 38147QXS0

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

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

• 24-month 0% autocallable buffered notes linked to the Russell 2000 index; 85% trigger; via Goldman Sachs & Co.; Cusip: 38147QFA9

• 0% leveraged buffered notes due in 24 to 27 months linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38147QAE6

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

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

• 60-month 0% leveraged buffered notes linked to the S&P 500 index; 75% trigger; via Goldman, Sachs & Co.; Cusip: 38147QXJ0

• 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.

• 18-month 0% notes linked to the S&P GSCI Energy Enhanced Index Excess Return; via Goldman Sachs & Co.

HSBC USA INC.

• Capped floating-rate notes due Nov. 14, 2023; via HSBC Securities (USA) Inc.; pricing Nov. 8; Cusip: 40432XNH0

• 0% trigger jump securities due Nov. 14, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 8; Cusip: 40434B792

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN80

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNG2

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNC1

• 0% return optimization securities due Nov. 30, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40434B859

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN72

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNB3

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN64

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNA5

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN56

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNE7

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XND9

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN98

• 0% buffered uncapped market participation securities due Nov. 27, 2017 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432XMY4

• 0% buffered uncapped market participation securities due Nov. 27, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432XMZ1

• Income plus notes due Nov. 27, 2020 linked to the common stocks of Lorillard, Inc., Merck & Co., Inc., Microsoft Corp., Travelers Cos., Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432XN31

• 0% uncapped Accelerated Market Participation Securities due Nov. 27, 2015 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNN7

• 0% leveraged buffered uncapped market participation securities due Nov. 28, 2016 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNM9

• 0% leveraged buffered uncapped market participation securities due Nov. 27, 2018 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNP2

• Contingent income barrier notes due Dec. 2, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMU2

• Buffered Accelerated Market Participation Securities due Dec. 2, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMS7

• 0% digital-plus barrier notes due Dec. 3, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMV0

• Buffered Accelerated Market Participation Securities due Dec. 2, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMR9

• 5.5%-6.5% autocallable yield notes due Feb. 27, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNK3

• 5%-6% autocallable yield notes due Feb. 27, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNL1

• 0% trigger performance securities due Nov. 30, 2023 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 25; Cusip: 40434B834

• 0% trigger performance securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40434B842

• 0% leveraged performance securities due Nov. 29, 2019 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432XNR8

• Buffered income plus notes due Nov. 29, 2018 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432XNQ0

• 0% trigger Performance Leveraged Upside Securities due June 5, 2017 linked to the WisdomTree Japan Hedged Equity fund; via HSBC Securities (USA) Inc. and Morgan Stanley Wealth Management; pricing Nov. 29; Cusip: 40434B818

• Leveraged Index Return Notes due November 2018 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

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

• 18- to 22-month long short notes linked to the Energy Select Sector/Consumer Discretionary Select Sector Long Short index; via BofA Merrill Lynch; pricing in November

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

JPMORGAN CHASE BANK, NA

• Callable interest rate spread certificates of deposit due Nov. 20, 2028 linked to the 30-year Constant Maturity Swap Rate and the five-year CMS rate; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48124J6P8

• Callable variable-rate range accrual certificates of deposit due Nov. 20, 2028 linked to six-month Libor and the Russell 2000 index; via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 15; Cusip: 48125TAJ4

• Callable variable-rate range accrual certificates of deposit due Nov. 20, 2028 linked to six-month Libor and the S&P 500 index; via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 15; Cusip: 48125TAG0

• Digital contingent coupon certificates of deposit due Nov. 29, 2019 linked to a basket of 10 stocks (Altria Group, Inc., AT&T, Inc., Bristol-Meyers 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 Nov. 25; Cusip: 48124J7C6

• Digital contingent coupon certificates of deposit due Nov. 30, 2020 linked to a basket of 10 stocks (Altria Group, Inc., AT&T, Inc., Bristol-Meyers 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 Nov. 25; Cusip: 48124J7B8

• 0% certificates of deposit due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 25; Cusip: 48124J6V5

• 0% certificates of deposit due May 31, 2019 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 25; Cusip: 48124J6T0

JPMORGAN CHASE & CO.

• Callable step-up fixed-rate notes due Nov. 14, 2028; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 48126NTB3

• 8%-10.7% annualized airbag yield optimization notes due May 14, 2014 linked to Arch Coal, Inc.; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 48127A856

• Autocallable contingent interest notes due Nov. 26, 2014 linked to Cummins Inc. shares; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 48126NB30

• Autocallable contingent interest notes due Nov. 26, 2014 linked to Dow Chemical Co. shares; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 48126NB48

• 0% capped return enhanced notes due Nov. 18, 2015 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 48126NB55

• 6.4%-8.4% annualized airbag yield optimization notes due May 14, 2014 linked to Goldcorp Inc.; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 48127A849

• 6.25%-8.25% annualized airbag yield optimization notes due May 14, 2014 linked to JDS Uniphase Corp.; via J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 48127A831

• Contingent income autocallable securities due Nov. 14, 2014 linked to common stock of Las Vegas Sands Corp.; via J.P. Morgan Securities, LLC with distribution through Morgan Stanley Smith Barney LLC; pricing Nov. 8; Cusip: 48127A880

• 0% knock-out buffered equity notes due Aug. 15, 2016 linked to an equally weighted basket consisting of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities Inc.; pricing Nov. 8; Cusip: 48126NA49

• Contingent income autocallable securities due Nov. 20, 2014 linked to Barrick Gold Corp. shares; 65% trigger; via J.P. Morgan Securities, LLC with Morgan Stanley Smith Barney LLC; pricing Nov. 15; Cusip: 48127A823

• Callable fixed-to-floating notes due Nov. 20, 2028 linked to CMS rates; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48126NTC1

• Callable step-up fixed-rate notes due Nov. 20, 2023; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48126NTF4

• Buffered autocallable contingent interest notes due Nov. 21, 2016 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; 65% trigger; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48126NXZ5

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZQ3

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZR1

• 0% notes due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 48126NZZ3

• 0% return notes due Feb. 27, 2015 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZU4

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZP5

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZT7

• Autocallable contingent interest notes due Feb. 27, 2015 linked to the lesser performing of the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZV2

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZS9

• 5% to 7% autocallable yield notes due Dec. 1, 2014 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZH3

• 6% to 8% autocallable yield notes due Dec. 1, 2014 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZG5

• 0% notes due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 26; Cusip: 48126NZY6

• 0% Performance Leveraged Upside Securities due Jan. 2, 2015 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC and Morgan Stanley Smith Barney LLC; pricing Nov. 29; Cusip: 48127A807

• 0% Performance Leveraged Upside Securities due Jan. 2, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC and Morgan Stanley Smith Barney LLC; pricing Nov. 29; Cusip: 48127A708

MORGAN STANLEY

• Contingent income securities due Nov. 27, 2028 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMQ9

• Contingent income securities due Nov. 27, 2028 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMM8

• Contingent income securities due Nov. 27, 2028 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JML0

• 0% market-linked notes due May 27, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMN6

• 0% trigger Performance Leveraged Upside Securities due Nov. 27, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMP1

• Contingent income participation securities due Nov. 27, 2028 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMT3

• 0% airbag performance securities due Nov. 30, 2023 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC with UBS Financial Services Inc. as dealer; pricing Nov. 25; Cusip: 61762W471

• 0% trigger step performance securities due Nov. 30, 2017 linked to the S&P 500 index; via Morgan Stanley & Co. LLC with UBS Financial Services Inc. as dealer; pricing Nov. 25; Cusip: 61762W554

• 0% trigger performance securities due Nov. 30, 2018 linked to the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 61762W455

• Contingent income autocallable securities due November 2016 linked to Apple Inc. shares; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W513

• 0% market-linked notes due November 2020 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W539

• 0% dual directional trigger Performance Leveraged Upside Securities due May 2019 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W489

• 0% market-linked notes due August 2019 linked to the iShares MSCI EAFE ETF, the iShares MSCI Emerging Markets ETF and the WisdomTree Japan Hedged Equity Fund; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W505

• Contingent income autocallable securities due November 2016 linked to Michael Kors Holding Ltd. shares; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W521

• 0% dual directional trigger Performance Leveraged Upside Securities due November 2019 linked to the S&P 500 index; 65% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W497

• 0% trigger Performance Leveraged Upside Securities due November 2016 linked to the WisdomTree Japan Hedged Equity fund; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W547

ROYAL BANK OF CANADA

• 0% direct investment notes due Dec. 8, 2014 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; settlement Nov. 8; Cusip: 78010UGL5

• Contingent income autocallable securities due November 2016 linked to Genworth Financial, Inc. shares; via RBC Capital Markets, LLC with Morgan Stanley Wealth Management handling distribution; pricing Nov. 8; Cusip: 78009Q836

• Trigger phoenix autocallable optimization securities due May 14, 2015 linked to Gap, Inc. common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 8; Cusip: 78009Q844

• Trigger phoenix autocallable optimization securities due May 14, 2015 linked to IAC/InterActiveCorp common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 8; Cusip: 78009Q851

• Trigger phoenix autocallable optimization securities due May 14, 2015 linked to Kohl's Corp. common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 8; Cusip: 78009Q869

• Trigger phoenix autocallable optimization securities due May 14, 2015 linked to Phillips 66 common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 8; Cusip: 78009Q877

• Fixed-to-floating notes due Nov. 15, 2016; via RBC Capital Markets LLC; settlement Nov. 15; Cusip: 78010UDD6

• 13% reverse convertible notes due Feb. 21, 2014 linked to the common stock of Facebook, Inc.; RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UHT7

• 13.5% reverse convertible notes due Feb. 21, 2014 linked to the common stock of KB Home; RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UHU4

• 10% reverse convertible notes due Feb. 21, 2014 linked to the common stock of lululemon athletica inc.; via RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UHV2

• 12.5% reverse convertible notes due Feb. 21, 2014 linked to the common stock of Netflix Inc.; via RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UHW0

• 11.5% annualized reverse convertible notes due May 20, 2014 linked to Newmont Mining Corp. shares; 80% trigger; via RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UHY6

• 13.25% annualized reverse convertible notes due May 20, 2014 linked to PulteGroup Inc. shares; 80% trigger; via RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UHZ3

• 10% annualized reverse convertible notes due May 20, 2014 linked to Seagate Technology plc shares; 80% trigger; via RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UJA6

• 10% annualized reverse convertible notes due Feb. 21, 2014 linked to United States Steel Corp. shares; 80% trigger; via RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UHX8

• 8.25% annualized reverse convertible notes due May 20, 2014 linked to Valero Energy Corp. shares; 80% trigger; via RBC Capital Markets LLC; pricing Nov. 15; Cusip: 78010UJB4

• Fixed-to-floating notes due Nov. 20, 2020; via RBC Capital Markets LLC; settlement Nov. 20; Cusip: 78010UDC8

• Redeemable step-up notes due Nov. 20, 2025; via RBC Capital Markets, LLC; settlement Nov. 20; Cusip: 78010UDB0

• 0% contingent return optimization securities due May 31, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 25; Cusip: 78009Q802

• 0% Strategic Accelerated Redemption Securities due December 2014 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% direct investment notes due Jan. 9, 2015 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 4; Cusip: 78010UJC2

• 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.

AB SVENSK EXPORTKREDIT

• 0% Accelerated Return Notes due January 2015 linked to the MSCI EAFE index; via BofA Merrill Lynch; pricing in November

UBS AG, LONDON BRANCH

• 0% contingent absolute return autocallable optimization securities due Nov. 17, 2014 linked to Apple Inc. common stock; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 8; Cusip: 90271R350

• Trigger phoenix autocallable optimization securities due Nov. 15, 2023 linked to the least performing index between the Euro Stoxx 50 index and the MSCI Emerging Markets index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 8; Cusip: 90271R335

• Contingent income autocallable securities due Nov. 14, 2018 linked to the worst performing of the Euro Stoxx 50 index, the Russell 2000 index and the Topix index; 65% trigger; via UBS Securities LLC with Morgan Stanley Smith Barney LLC; pricing Nov. 8; Cusip: 90271R327

• 0% contingent absolute return autocallable optimization securities due Nov. 17, 2014 linked to Expedia Inc. common stock; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 8; Cusip: 90271R368

• 0% contingent buffer enhanced notes due Jan. 13, 2015 linked to light sweet crude oil; via UBS Investment Bank, JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 8; Cusip: 90270KAP4

• 0% contingent absolute return autocallable optimization securities due Nov. 17, 2014 linked to Qlik Technologies Inc. common stock; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 8; Cusip: 90271R376

• 14% fixed-coupon autocallable securities due Nov. 14, 2014 linked to LinkedIn Corp.; via UBS Securities LLC; pricing Nov. 8; Cusip: 90271R319

• Contingent income autocallable securities due Nov. 14, 2016 linked to Valero Energy Corp.; via UBS Securities LLC; pricing Nov. 8; Cusip: 90271R301

• 0% return optimization securities due Nov. 30, 2015 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R236

• 0% trigger return optimization securities due Nov. 30, 2016 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R251

• 0% return optimization securities due Nov. 30, 2015 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R228

• 0% trigger performance securities due Nov. 30, 2023 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R343

UNION BANK, NA

• 0% market-linked certificates of deposit due Nov. 29, 2017 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 26; Cusip: 90521APU6

• 0% quarterly capped return market-linked certificates of deposit due Nov. 30, 2016 linked to the Dow Jones industrial average; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 26; Cusip: 90521APV4

• 0% market-linked quarterly capped return certificates of deposit due Nov. 28, 2017 linked to the PowerShares QQQ Trust, series 1; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 22; Cusip: 90521APW2

• 0% market-linked quarterly capped return certificates of deposit due Nov. 28, 2017 linked to the S&P 500 index; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 22; Cusip: 90521APT9

WELLS FARGO & CO.

• 0% growth securities with leveraged upside participation to a cap and buffered downside with multiplier due Nov. 28, 2016 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Nov. 22; Cusip: 94986RRZ6

• 0% growth securities with leveraged upside participation to a cap and buffered downside with multiplier due Nov. 27, 2015 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 22; Cusip: 94986RRY9

• 0% growth securities with leveraged upside participation to a cap and contingent downside with contingent minimum return due Nov. 27, 2019 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 22; Cusip: 94986RRX1

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