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Prospect News home > News index > List of issuers Calendar > Headlines for 2012 > News item

Published on 8/1/2012 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• 0% autocallable step-up notes due Aug. 7, 2032; via Bank of America Merrill Lynch; settlement Aug. 7; Cusip: 06048WMW7

• Autocallable range accrual notes due Aug. 13, 2027 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing Aug. 8; Cusip: 06048WMY3

• 0% Currency Market Index Target-Term Securities due August 2015 linked to the Chinese renminbi/dollar exchange rate measure; via Bank of America Merrill Lynch; pricing in August

• 0% enhanced market-linked step-up notes with buffer due August 2015 linked to the Dow Jones industrial average; 90% trigger; via Bank of America Merrill Lynch; pricing in August

• 0% Market Index Target-Term Securities due August 2018 linked to the Dow Jones industrial average; via Bank of America Merrill Lynch; pricing in August

• Capped Leveraged Index Return Notes due September 2014 linked to the spot price of gold; 90% trigger; via Bank of America Merrill Lynch; pricing in August

• 0% Strategic Accelerated Redemption Securities due August 2013 linked to iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; 95% trigger; via Bank of America Merrill Lynch; pricing in August

• 0% Accelerated Return Notes due October 2013 linked to the NYSE Arca Gold Miners index; via Bank of America Merrill Lynch; pricing in August

• 0% Accelerated Return Notes due October 2013 linked to the Rogers International Commodity Index - Excess Return; via Bank of America Merrill Lynch; pricing in August

• 0% Accelerated Return Notes due October 2013 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in August

• Autocallable market-linked step-up notes due August 2015 linked to the S&P 500 index; 95% trigger; via Bank of America Merrill Lynch; pricing in August

• 0% Accelerated Return Notes due August 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in August

• Market-linked step-up notes due August 2015 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in August

• 0% market-linked step-up notes due August 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in August

• Capped Leveraged Index Return Notes due August 2014 linked to S&P 500 index, the MSCI EAFE index and the MSCI Emerging Markets index; 90% trigger; via Bank of America Merrill Lynch; pricing in August

BANK OF MONTREAL

• 0% contingent risk absolute return notes due Aug. 7, 2014 linked to the iShares MSCI EAFE index fund; via BMO Capital Markets Corp.; pricing Aug. 2; Cusip: 06366RGF6

• 0% contingent risk absolute return notes due Aug. 7, 2014 linked to the iShares MSCI Emerging Markets index fund; via BMO Capital Markets Corp.; pricing Aug. 2; Cusip: 06366RGE9

• 0% contingent risk absolute return notes due Aug. 7, 2014 linked to the PowerShares QQQ Trust, Series 1; via BMO Capital Markets Corp.; pricing Aug. 2; Cusip: 06366RGD1

• 0% contingent risk absolute return notes due Aug. 7, 2014 linked to the S&P 500 index; 66%-70% trigger; via BMO Capital Markets Corp.; pricing Aug. 2; Cusip: 06366RGC3

• 0% contingent risk absolute return notes due Aug. 29, 2014 linked to the iShares MSCI EAFE index fund; via BMO Capital Markets Corp.; pricing Aug. 29; Cusip: 06366RGP4

• 0% contingent risk absolute return notes due Aug. 29, 2014 linked to the iShares MSCI Emerging Markets index fund; via BMO Capital Markets Corp.; pricing Aug. 29; Cusip: 06366RGN9

• 0% contingent risk absolute return notes due Aug. 29, 2014 linked to the PowerShares QQQ Trust, Series 1; via BMO Capital Markets Corp.; pricing Aug. 29; Cusip: 06366RGM1

• 0% contingent risk absolute return notes due Aug. 29, 2014 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Aug. 29; Cusip: 06366RGL3

• Range accrual notes with contingent downside protection due Aug. 31, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Aug. 29; Cusip: 06366RGJ8

BANK OF NOVA SCOTIA

• 0% series A buffered participation notes linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc.; pricing Aug. 2; Cusip: 064159767

• 0% series A buffered participation notes with a digital coupon linked to the Russell 2000 index; via Scotia Capital (USA) Inc.; pricing Aug. 3; Cusip: 064159775

BARCLAYS BANK PLC

• 0% bearish notes due Aug. 8, 2016 linked to the Barclays 10Y Treasury Futures index; via Barclays Capital Inc.; pricing Aug. 2; Cusip: 06741TDC8

• 0% notes due Aug. 7, 2017 linked to the Barclays Voyager II DJ-UBSCI Total Return index; via Barclays Capital Inc.; pricing Aug. 2; Cusip: 06741TDB0

• 15%-17% reverse convertible notes due Feb. 7, 2013 linked to Best Buy Co., Inc. stock; via Barclays Capital; pricing Aug. 2; Cusip: 06741JK73

• 0% buffered Super Track notes due Aug. 7, 2014 linked to the iShares MSCI Emerging Markets index fund; 85% trigger; via Barclays Capital Inc.; pricing Aug. 2; Cusip: 06741TCZ8

• 15%-17% reverse convertible notes due Feb. 7, 2013 linked to Netflix, Inc. stock; via Barclays Capital; pricing Aug. 2; Cusip: 06741JK81

• 0% buffered Super Track notes due Aug. 7, 2014 linked to the PowerShares QQQ Trust, Series 1; 85% trigger; via Barclays Capital Inc.; pricing Aug. 2; Cusip: 06741TDA2

• 0% buffered Super Track notes due Aug. 7, 2014 linked to the SPDR S&P 500 ETF Trust; 85% trigger; via Barclays Capital Inc.; pricing Aug. 2; Cusip: 06741TCY1

• 0% contingent buffer enhanced notes due Aug. 12, 2013 linked to the Brent crude oil futures contract; via Barclays Capital Inc.; pricing Aug. 3; Cusip: 06741TDT1

• 0% notes due Aug. 7, 2014 linked to the Chinese renminbi exchange rate relative to the dollar; via Barclays Capital Inc.; pricing Aug. 3; Cusip: 06741TDV6

• 0% capped participation notes due Aug. 12, 2013 linked to the performance of gold; via Barclays Capital Inc.; pricing Aug. 3; Cusip: 06741TDU8

• 0% notes due Aug. 10, 2015 linked to the EquityCompass Share Buyback index; via Barclays Capital Inc.; pricing Aug. 7; Cusip: 78008SDL7

• 0% relative performance securities due Aug. 21, 2017 linked to the S&P 500 index and the Barclays US 5Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Aug. 16

• Notes due Aug. 31, 2016 linked to the S&P GSCI Sugar Index Excess Return, the S&P GSCI Cocoa Index Excess Return, the S&P GSCI Corn Index Excess Return, the S&P GSCI Cotton Index Excess Return, the S&P GSCI Lean Hogs Index Excess Return, the S&P GSCI Gold Index Excess Return, the S&P GSCI Natural Gas Index Excess Return, the S&P GSCI Lead Index Excess Return, the S&P GSCI Nickel Index Excess Return and the S&P GSCI Zinc Index Excess Return; via Barclays Capital Inc.; pricing Aug. 28; Cusip: 06741TDG9

CITIBANK, NA

• Callable range accrual certificates of deposit due Aug. 30, 2032 linked to Libor and the S&P 500 index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 172986LT6

• Callable fixed-to-inverse-floating-rate market-linked certificates of deposit due Aug. 30, 2032 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 172986LU3

CITIGROUP FUNDING INC.

• Callable step-up coupon notes due Aug. 22, 2027; via Citigroup Global Markets Inc.; pricing Aug. 17; Cusip: 1730T0YF0

• 0% buffered digital plus securities due Feb. 26, 2016 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 1730T0YH6

• Buffered range accrual notes linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Aug. 27; Cusip: 1730T0YJ2

• 16%-20% single observation Equity LinKed Securities due Feb. 27, 2013 linked to the common stock of Cobalt International Energy, Inc.; via Citigroup Global Markets Inc. (underwriter) and Morgan Stanley Smith Barney LLC (distribution); pricing Aug. 30; Cusip: 17318Q640

CREDIT SUISSE AG, NASSAU BRANCH

• 0% absolute return barrier securities due Aug. 21, 2014 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 16; Cusip: 22546TWT4

• High/low coupon callable yield notes due Nov. 27, 2013 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 22; Cusip: 22546TWX5

• High/low coupon callable yield notes due Aug. 30, 2013 linked to the Russell 2000 index, the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Aug. 28; Cusip: 22546TXD8

• High/low coupon callable yield notes due Nov. 29, 2013 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 28; Cusip: 22546TXE6

• 11.5%-12.5% callable yield notes due Sept. 5, 2013 linked to the Russell 2000 index and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22546TWZ0

• High/low coupon callable yield notes due Dec. 5, 2013 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Aug. 30; Cusip: 22546TWY3

• Capped Leveraged Index Return Notes due August 2014 linked to the S&P 500 index; 90% trigger; via Bank of America Merrill Lynch; pricing in August

DEUTSCHE BANK AG, LONDON BRANCH

• Contingent coupon securities due Aug. 14, 2013 linked to Brent crude oil futures contracts; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Aug. 3; Cusip: 2515A1L58

• Callable step-up fixed-rate notes due Aug. 17, 2024; via Deutsche Bank Securities Inc.; pricing Aug. 14; Cusip: 2515A1PK1

GOLDMAN SACHS BANK USA

• Contingent coupon certificates of deposit due 2017 linked to the common stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. and distributor Incapital LLC; Cusip: 38143AYK5

• Contingent coupon certificates of deposit due 2018 linked to the common stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. and distributor Incapital LLC; Cusip: 38143AYL3

• Contingent coupon certificates of deposit due 2019 linked to the common stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. and distributor Incapital LLC; Cusip: 38143AYG4

• Variable-coupon basket-linked certificates of deposit due 2019 linked to the common stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. and distributor Incapital LLC; Cusip: 38143AYH2

• 0% equity index-linked certificates of deposit due 2019 linked to the Euro Stoxx 50 index, the MSCI Taiwan index, the S&P/TSX 60 index and the Dow Jones industrial average; via Goldman Sachs & Co. and distributor Incapital LLC; Cusip: 38143AYM1

GOLDMAN SACHS GROUP, INC.

• 0% trigger medium-term notes due Aug. 21, 2013 linked to the S&P 500 index; via underwriter Goldman Sachs & Co. and dealer J.P. Morgan Securities LLC; pricing Aug. 3; Cusip: 38143U5N7

• 0% leveraged buffered index-linked notes due Aug. 21, 2013 linked to the S&P 500 index; 90% trigger; via Goldman Sachs & Co. with JPMorgan; pricing Aug. 3; Cusip: 38143U5P2

• 0% leveraged index-linked notes due Aug. 21, 2013 linked to the S&P 500 index; via Goldman Sachs & Co. with JPMorgan; pricing Aug. 3; Cusip: 38143U5Q0

• Callable step-up fixed-rate notes due February 2019; via Goldman, Sachs & Co. and Incapital LLC; settlement in August; Cusip: 38143U5F4

• Callable step-up fixed-rate notes due August 2027; via Goldman, Sachs & Co. and Incapital LLC; pricing in August; Cusip: 38143U5E7

• Five-year 0.25%-0.75% basket-linked notes linked to the best performing of three baskets each containing different weights of the currency component (Brazilian real, British pound, euro and Japanese yen), the S&P GSCI Excess Return index, the equity component (S&P 500 index, Euro Stoxx 50 index, Topix index and iShares MSCI Emerging Markets index fund) and the iShares Barclays 7-10 Year Treasury bond fund; via Goldman Sachs & Co.; Cusip: 38143U4G3

• 42-month 0% medium-term notes linked to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38143U5J6

• 72-month 0% notes linked to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38143U5H0

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

• 13-month 0% index-linked digital notes tied to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38143U3R0

• Four-year buffered range accrual medium-term notes linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38143U5K3

• 12- to 14-month 0% notes tied to the S&P 500 index; 85% trigger; via Goldman Sachs & Co.; Cusip: 38147B612

• 18-month 0% leveraged buffered index-linked notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38143U3Q2

• 18- to 21-month 0% buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38417B638

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

• 22- to 25-month 0% leveraged index-linked notes linked to the S&P 500 index; via Goldman Sachs & Co.

• 22- to 25-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.

• 24-month 0% buffered digital medium-term notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip 38143U5L1

• 24- to 28-month 0% leveraged buffered index-linked notes linked to the S&P 500 index; 85% trigger; via Goldman Sachs & Co.

• 36-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; 80% trigger; via Goldman Sachs & Co.; Cusip: 38143U4M0

• Five-year buffered annual reset coupon notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38143U5M9

• Five-year 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38143UY62

• 0% leveraged buffered medium-term notes linked to the S&P GSCI Ultra Light Energy Enhanced E96 Excess Return Strategy; via Goldman Sachs & Co.

HSBC BANK USA, NA

• Annual Income Opportunity certificates of deposit with step-up auto cap rate due Aug. 28, 2019 linked to the common stocks of Amgen Inc., Applied Materials, Inc., Exelon Corp., General Electric Co., Intel Corp., Lorillard, Inc., PepsiCo, Inc., Pfizer Inc., Procter & Gamble Co. and Time Warner Cable Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 23; Cusip: 40431GZ85

• Income Plus certificates of deposit due Aug. 30, 2019 linked to the common stocks of Altria Group, Inc., Eli Lilly & Co., Lockheed Martin Corp., Procter & Gamble Co. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40431GY94

• Head-Start Annual Income Opportunity certificates of deposit with auto cap feature due Aug. 30, 2019 linked to the common stocks of Barrick Gold Corp., Bristol-Myers Squibb Co., Conagra Foods Inc., FirstEnergy Corp., Halliburton Co., Intel Corp., PNC Financial Services Group, Inc., Tiffany & Co., UnitedHealth Group Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 40431GZ77

• Annual Income Opportunity certificates of deposit due Aug. 31, 2017 linked to the common stocks of Barrick Gold Corp., Bristol-Myers Squibb Co., Conagra Foods Inc., FirstEnergy Corp., Halliburton Co., Intel Corp., PNC Financial Services Group, Inc., Tiffany & Co., UnitedHealth Group Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 40431GZ44

• Annual Income Opportunity certificates of deposit with step-up auto cap rate due Sept. 3, 2019 linked to the common stocks of Barrick Gold Corp., Bristol-Myers Squibb Co., Conagra Foods Inc., FirstEnergy Corp., Halliburton Co., Intel Corp., PNC Financial Services Group, Inc., Tiffany & Co., UnitedHealth Group Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 40431GZ51

• Annual Income Opportunity certificates of deposit with minimum return due Aug. 31, 2020 linked to the common stocks of Barrick Gold Corp., Bristol-Myers Squibb Co., Conagra Foods Inc., FirstEnergy Corp., Halliburton Co., Intel Corp., PNC Financial Services Group, Inc., Tiffany & Co., UnitedHealth Group Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 40431G2A6

HSBC USA INC.

• 0% knock-out buffer notes due Aug. 19, 2013 linked to the Mexican peso relative to the dollar; via HSBC Securities (USA) Inc. (underwriter) and J.P. Morgan Securities LLC (agent); pricing Aug. 3; Cusip: 4042K12W2

• Annual income opportunity notes with auto cap due Aug. 30, 2019 linked to Apple Inc., Cisco Systems, Inc., Google Inc., International Business Machine Corp., Intel Corp., Microsoft Corp., Oracle Corp., Qualcomm, Inc., AT&T Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12Z5

• 0% buffered uncapped market participation securities due Aug. 27, 2015 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12K8

• 0% buffered performance plus securities due Feb. 27, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12G7

• 0% buffered uncapped market participation securities due Aug. 27, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12J1

• 0% buffered performance plus securities due Aug. 29, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12M4

• 7%-9% autocallable yield notes due Aug. 30, 2013 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12H5

• 7%-9% autocallable yield notes due Aug. 30, 2013 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12L6

• 0% leveraged buffered uncapped market participation securities due Aug. 27, 2015 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12P7

• 0% buffered uncapped market participation securities due Aug. 27, 2015 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K12Q5

• 9% to 11% autocallable yield notes due Aug. 30, 2013 linked to the SPDR S&P Metals & Mining exchange-traded fund and the Russell 2000 index; 60% trigger; via HSBC Securities (USA) Inc.; pricing Aug. 24; Cusip: 4042K13A9

• Annual income opportunity notes with auto cap due Aug. 30, 2019 linked to the common stocks of American Electric Power Co., Inc., Polo Ralph Lauren Corp., Biogen Idec Inc., Kimberly-Clark Corp., AT&T Inc., Lockheed Martin Corp., Mosaic Co., Maxim Integrated Products, Inc., Pfizer Inc. and Silver Wheaton Corp.; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K1Z55

• 0% averaging notes due Jan. 31, 2018 linked to Dow Jones industrial average, Euro Stoxx 50 index and the Taiwan Stock Exchange capitalization weighted stock index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K1Z30

• 0% buffered Accelerated Market Participation Securities due March 4, 2014 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K1 2C6

• 0% buffered Accelerated Market Participation Securities due March 4, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K12B8

• 0% buffered Accelerated Market Participation Securities due March 4, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K12E

• 0% buffered Accelerated Market Participation Securities due March 4, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K12A0

• 0% buffered Accelerated Market Participation Securities due March 4, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K12D4

• 0% averaging notes due Feb. 28, 2018 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Aug. 27; Cusip: 4042K1Z48

• Annual income opportunity notes with auto cap due Aug. 30, 2019 linked to Altria Group, Inc., Eli Lilly and Co., Lockheed Martin Corp., Procter & Gamble Co. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 4042K12T9

• Annual income opportunity notes with auto cap due Sept. 3, 2019 linked to the common stocks of Barrick Gold Corp., Bristol-Myers Squibb Co., ConAgra Foods, Inc., FirstEnergy Corp., Halliburton Co., Intel Corp., PNC Financial Services Group, Inc., Tiffany & Co., Unitedhealth Group Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 4042K12R3

• 0% contingent return optimization securities due Aug. 29, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc. (underwriter) and UBS Financial Services Inc. (agent); pricing Aug. 28; Cusip: 40433M310

• 0% trigger performance securities due Aug. 31, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc. (underwriter) and UBS Financial Services Inc. (agent); pricing Aug. 28; Cusip: 40433M328

• 0% 50/150 performance securities due Aug 31, 2017 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Aug. 28; Cusip: 4042K12N2

• 7.5% coupon-bearing notes due August 2013 linked to the common stock of Qualcomm Inc.; via Bank of America Merrill Lynch; pricing in August

• 7% coupon-bearing notes due August 2013 linked to the common stock of Starbucks Corp.; via Bank of America Merrill Lynch; pricing in August

JPMORGAN CHASE & CO.

• 0% capped dual directional buffered equity notes due Aug. 7, 2013 linked to Apple Inc. shares; 78.65% trigger; via J.P. Morgan Securities LLC; pricing Aug. 2

• 12.9%-15.9% annualized reverse convertible notes due Feb. 7, 2013 linked to Caterpillar Inc. shares; 80% trigger; via JPMorgan; pricing Aug. 2; Cusip: 48125VU65

• 16.5%-19.5% annualized reverse convertible notes due Feb. 7, 2013 linked to Cummins Inc. shares; 80% trigger; via JPMorgan; pricing Aug. 2; Cusip: 48125VU73

• 12.9%-15.9% annualized reverse convertible notes due Feb. 7, 2013 linked to Ingersoll-Rand plc shares; 75% trigger; via JPMorgan; pricing Aug. 2; Cusip: 48125VU57

• 0% digital notes due Aug. 21, 2013 linked to Citigroup Inc. common stock; via J.P. Morgan Securities LLC; pricing Aug. 3; Cusip: 48125VZ37

• 0% knock-out buffered equity notes due Feb. 12, 2014 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities Inc.; pricing Aug. 3; Cusip: 48125V2E9

• Autocallable contingent interest notes due Aug. 21, 2013 linked to Halliburton Co. common stock; via J.P. Morgan Securities LLC; pricing Aug. 3; Cusip: 48125VZ45

• 0% trigger digital optimization securities due July 30, 2015 linked to the Brazilian real, the Russian ruble, the Indian rupee, the Chinese renminbi and the Mexican peso; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Aug. 10; Cusip: 46637G439

• 0% buffered return enhanced notes due Feb. 28, 2014 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VY53

• 0% buffered return enhanced notes due Aug. 29, 2014 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VY87

• 0% buffered return enhanced notes due Feb. 28, 2014 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VY61

• 0% notes due Aug. 31, 2018 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VX88

• 0% notes due Aug. 31, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125V2G4

• 10%-12% autocallable yield notes due Aug. 30, 2013 linked to the lesser performing of the Market Vectors Gold Miners exchange-traded fund and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VZ78

• 0% buffered return enhanced notes due Feb. 28, 2014 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VY46

• 10.5%-12.5% autocallable yield notes due Aug. 30, 2013 linked to the Russell 2000 index, the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125V2C3

• 0% buffered return enhanced notes due Feb. 28, 2014 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VY79

• 0% buffered return enhanced notes due Aug. 29, 2014 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VY95

• 7%-9% autocallable yield notes due Aug. 30, 2013 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VZ60

• 8%-10% autocallable yield notes due Aug. 30, 2013 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125V2A7

• 11%-13% autocallable yield notes due Aug. 30, 2013 linked to the S&P 500 index, the Russell 2000 index and the SPDR S&P Metals & Mining exchange-traded fund; via J.P. Morgan Securities LLC; pricing Aug. 28; Cusip: 48125VZ86

MORGAN STANLEY

• Market-linked autocallable step-up notes due Aug. 17, 2027 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 14; Cusip: 617482V68

• 0% buffered jump securities due Aug. 31, 2016 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482W59

• 0% market-linked notes due Aug. 31, 2018 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482W75

• 0% commodity-linked notes due Aug. 31, 2018 linked to the price of gold; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482P24

• 0% buffered jump securities due August 2014 linked to the iShares Dow Jones U.S. Real Estate index fund; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 61755S495

• 0% buffered jump securities due Aug. 29, 2014 linked to the iShares MSCI Emerging Markets index fund; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482W67

• 0% market-linked notes due Aug. 31, 2017 linked to the Morgan Stanley ETF-Map Index (Excess Return); via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482W83

• Contingent income securities due Aug. 31, 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482W42

• Autocallable securities with contingent coupon due Aug. 31, 2022 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482W26

• Market-linked autocallable notes due Aug. 31, 2032 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482V84

• Contingent income securities due Aug. 31, 2020 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Aug. 28; Cusip: 617482W34

• 0% dual directional trigger Performance Leveraged Upside Securities due August 2014 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in August; Cusip: 61755S503

ROYAL BANK OF CANADA

• 8.1%-10.6% annualized airbag yield optimization notes due Feb. 8, 2013 linked to Cemex SAB de CV American Depositary Shares; 70% trigger; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Aug. 2; Cusip: 78008D810

• 14%-18% annualized reverse convertible notes due Feb. 7, 2013 linked to Freeport-McMoRan Copper & Gold Inc. shares; 75% trigger; via RBC Capital Markets Corp.; pricing Aug. 2; Cusip: 78008SEJ1

• 0% buffered bullish enhanced return notes due Aug. 7, 2014 linked to the iShares MSCI EAFE index fund; via RBC Capital Markets, LLC; pricing Aug. 2; Cusip: 78008SEL6

• 6.85%-8.85% annualized airbag yield optimization notes due Feb. 8, 2013 linked to Nabors Industries Ltd. shares; 75% trigger; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Aug. 2; Cusip: 78008D794

• 18.25%-22.25% annualized reverse convertible notes due Feb. 7, 2013 linked to Pioneer Natural Resources Co. shares; 75% trigger; via RBC Capital Markets Corp.; pricing Aug. 2; Cusip: 78008SEK8

• 7.25%-9.25% annualized airbag yield optimization notes due Feb. 8, 2013 linked to Salesforce.com Inc. shares; 75% trigger; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Aug. 2; Cusip: 78008D828

• 6.85%-8.85% annualized airbag yield optimization notes due Feb. 8, 2013 linked to Sprint Nextel Corp. shares; 70% trigger; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Aug. 2; Cusip: 78008D802

• 8.5%-11% annualized airbag yield optimization notes due Feb. 8, 2013 linked to United Rentals Inc. shares; 65% trigger; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Aug. 2; Cusip: 78008D836

• 0% direct investment notes due Sept. 10, 2013 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Aug. 3; Cusip: 78008SDG8

• 0% buffered return optimization securities due Aug. 29, 2014 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Aug. 28; Cusip: 78008D786

• 0% jump securities due March 2013 linked to the iShares MSCI Emerging Markets index fund; via RBC Capital Markets, LLC (agent) and Morgan Stanley Smith Barney LLC (distribution); pricing Aug. 30; Cusip: 78008D752

• 0% bear Strategic Accelerated Redemption Securities due February 2013 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in August

• 0% Strategic Accelerated Redemption Securities due August 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in August

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

ROYAL BANK OF SCOTLAND

• 0% capped enhanced participation notes with fixed buffer due Aug. 29, 2016 linked to the S&P 500 index; 80% trigger; via RBS Securities Inc.; pricing Aug. 24; Cusip: 78009PDC2

AB SVENSK EXPORTKREDIT

• 0% Accelerated Return Notes due October 2013 linked to the PHLX Oil Service Sector index; via Bank of America Merrill Lynch; pricing in August

• 0% Accelerated Return Notes due October 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in August

UBS AG, LONDON BRANCH

• 6%-7.75% trigger yield optimization notes due Aug. 8, 2014 linked to the common stock of Caterpillar Inc.; via UBS Financial Services Inc. and UBS Investment Bank; pricing on Aug. 2; Cusip: 90268U861

• 5.5%-7% trigger yield optimization notes due Aug. 8, 2014 linked to the common stock of Starbucks Corp.; via UBS Financial Services Inc. and UBS Investment Bank; pricing on Aug. 2; Cusip: 90268U853

• 5%-6.5% trigger yield optimization notes due Aug. 8, 2014 linked to the common stock of Wells Fargo & Co.; via UBS Financial Services Inc. and UBS Investment Bank; pricing on Aug. 2; Cusip: 90268U879

• 0% contingent return optimization securities due Aug. 29, 2014 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Aug. 28; Cusip: 90268U838

• 0% trigger performance securities due Aug. 31, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Aug. 29; Cusip: 90268U846

WELLS FARGO & CO.

• Fixed-to-floating-rate notes due Aug. 19, 2019; via Wells Fargo Securities, LLC; pricing Aug. 14; Cusip: 94986RKY6

• Step-up callable notes due Aug. 17, 2027; via Wells Fargo Securities, LLC; pricing Aug. 14; Cusip: 94986RKX8

• 0% market-linked notes due August 2019 linked to the Dow Jones industrial average; via Wells Fargo Securities LLC; settlement in August; Cusip: 94986RKN0

• 0% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due February 2016 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Wells Fargo Securities LLC; settlement in August; Cusip: 94986RKQ3

• 1% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due February 2017 linked to the iShares Russell 2000 index fund; via Wells Fargo Securities LLC; settlement in August; Cusip: 94986RKT7

• 1% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due February 2018 linked to the S&P 500 index; via Wells Fargo Securities LLC; settlement in August; Cusip: 94986RKU4

• 0% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due February 2017 linked to the SPDR S&P 500 ETF trust, the iShares Russell 2000 index fund, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via Wells Fargo Securities, LLC; settlement in August; Cusip: 94986RKS9

• 0% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due February 2015 linked to the SPDR S&P 500 ETF trust, the SPDR S&P MidCap 400 ETF Trust and the iShares Russell 2000 index fund; via Wells Fargo Securities, LLC; settlement in August; Cusip: 94986RKP5

• 0% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due May 2016 linked to the Vanguard REIT exchange-traded fund; via Wells Fargo Securities LLC; settlement in August; Cusip: 94986RKR1

• Mandatorily exchangeable securities with capped upside and contingent buffered downside due 2014 linked to the common stock of Ford Motor Co.; via Wells Fargo Securities, LLC

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