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Structured Products Calendar
BANK OF AMERICA
Floating-rate notes due Nov. 19, 2024 linked to the Consumer Price Index; via BofA Merrill Lynch; pricing Nov. 14; Cusip: 06048WPY0
0% buffered leveraged notes due Nov. 26, 2019 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing Nov. 21; Cusip: 06053M690
10% STEP Income Securities due November 2015 linked to Delta Air Lines, Inc. shares; via BofA Merrill Lynch; pricing in November
0% Market Index Target-Term Securities due November 2021 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November
11% STEP Income Securities due November 2015 linked to Peabody Energy Corp. common stock; via BofA Merrill Lynch; pricing in November
0% autocallable market-linked step-up notes due November 2016 linked to the PHLX Housing Sector index; via BofA Merrill Lynch; pricing in November
0% Accelerated Return notes due January 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
BANK OF MONTREAL
0% notes due Nov. 30, 2015 linked to a basket of stocks (American Airlines Group Inc, Advance Auto Parts, Inc., Apple Inc., AmSurg Corp., ArcBest Corp., Alliance Resource Partners, LP, Arris Group, Inc., BGC Partners, Inc., Baker Hughes Inc., CDW Corp., Delta Air Lines, Inc., Express Scripts, Inc., FedEx Corp., F5 Networks, Inc., Halliburton Co., HCA Holdings, Inc., HD Supply Holdings, Inc., Marathon Petroleum Corp., National Oilwell Varco, Inc., Norfolk Southern Corp., NXP Semiconductors NV, Priceline Group Inc., Prudential Financial, Inc., Skyworks Solutions, Inc. and United Continental Holdings, Inc.); via BMO Capital Markets Corp.; settlement Nov. 21; Cusip: 06366RXX8
0% notes due Dec. 7, 2015 linked to the BMO Q-30 Strategy; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RYB5
0% buffered Super Track notes due Nov. 29, 2019 linked to the Dow Jones industrial average; via Barclays; pricing Nov. 24; Cusip: 06741ULJ1
0% buffered bullish enhanced return notes due Nov. 29, 2019 linked to the iShares MSCI EAFE exchange-traded fund; 85% trigger; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXY6
0% buffered bullish enhanced return notes due Nov. 30, 2016 linked to the Russell 2000 index; 90% trigger; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXZ3
0% upside booster notes with barrier due November 2019 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXT7
0% bullish enhanced return notes due Nov. 30, 2017 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXR1
0% bullish enhanced return notes due Nov. 30, 2018 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXQ3
0% buffered bullish enhanced return notes due Nov. 30, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXV2
0% buffered bullish enhanced return notes due Nov. 30, 2018 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXW0
0% upside booster notes with barrier due November 2019 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXS9
0% contingent risk absolute return notes due Nov. 30, 2020 linked to the SPDR Dow Jones Industrial Average exchange-traded fund; 70% trigger; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXP5
0% contingent risk absolute return notes due Nov. 30, 2020 linked to the SPDR Euro Stoxx 50 exchange-traded fund; 60% trigger; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXN0
0% upside booster notes with barrier due Nov. 30, 2017 linked to the SPDR Euro Stoxx 50 exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366RXU4
BARCLAYS BANK DELAWARE
0% certificates of deposit due Nov. 26, 2019 linked to Apple, Inc., AT&T Inc., General Electric Co., Merck & Co. Inc. and McDonalds Corp.; via Barclays with Incapital LLC; pricing Nov. 21; Cusip: 06740AV20
0% certificates of deposit due Nov. 25, 2020 linked to Apple, Inc., AT&T Inc., General Electric Co., Merck & Co. Inc. and McDonalds Corp.; via Barclays with Incapital LLC; pricing Nov. 21; Cusip: 06740A2W8
0% certificates of deposit due Nov. 26, 2021 linked to the S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 21; Cusip: 06740A2Y4
0% certificates of deposit due Nov. 26, 2021 linked to the S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 21; Cusip: 06740A2P3
BANK OF THE WEST
Contingent variable-income market-linked certificates of deposit due Nov. 26, 2021 linked to a basket of stocks (AbbVie Inc., Altria Group, Inc., Apple Inc., AT&T Inc., Duke Energy Corp., GlaxoSmithKline plc, McDonalds Corp., PPL Corp., Seagate Technology plc and Verizon Communications Inc.); via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Nov. 21; Cusip: 06426XLW8
Income advantage market-linked certificates of deposit due Nov. 26, 2021 linked to a basket of the S&P GSCI Cocoa Dynamic Roll Index ER, the S&P GSCI Coffee Dynamic Roll Index ER, the S&P GSCI Corn Dynamic Roll Index ER, the S&P GSCI Lead Dynamic Roll Index ER and the S&P GSCI Natural Gas Dynamic Roll Index ER; via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Nov. 21; Cusip: 06426XLY4
0% market-linked certificates of deposit due May 28, 2021 linked to the Morningstar Ultimate Stock-Pickers Target Volatility 7 index; via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Nov. 24; Cusip: 06426XLZ1
Barclays Bank Delaware
0% certificates of deposit due Aug. 31, 2022 linked to the Euro Stoxx 50 index; via Barclays with Incapital LLC; pricing Nov. 21; Cusip: 06740A2X6
0% certificates of deposit due Nov. 26, 2019 linked to the Russell 2000 index; via Barclays with Incapital LLC as distributor; pricing Nov. 21; Cusip: 06740A2Q1
0% certificates of deposit due Nov. 26, 2021 linked to an equally weighted basket of the S&P 500 index, the Euro Stoxx 50 index and the Nikkei Stock Average index; via Barclays with Incapital LLC as distributor; pricing Nov. 21; Cusip: 06740A2Z1
Certificates of deposit due Nov. 26, 2021 linked to the Shiller Barclays CAPE US Sector Risk Controlled 7% USD Excess Return index; via Barclays with Incapital LLC as distributor; pricing Nov. 21; Cusip: 067402U2
Certificates of deposit due Nov. 26, 2019 linked to a basket of stocks (Yum! Brands, Inc., Boeing Co., Proctor & Gamble Co., Cisco Systems, Inc., Merck & Co., Inc., Macys, Inc., JPMorgan Chase & Co., Marathon Petroleum Corp., Lockheed Martin Corp. and Apple Inc.); via Barclays with Incapital LLC as distributor; pricing Nov. 21; Cusip: 06740A2R9
Certificates of deposit due Nov. 26, 2021 linked to a basket of stocks (Yum! Brands, Inc., Boeing Co., Proctor & Gamble Co., Cisco Systems, Inc., Merck & Co., Inc., Macys, Inc., JPMorgan Chase & Co., Marathon Petroleum Corp., Lockheed Martin Corp. and Apple Inc.); via Barclays with Incapital LLC as distributor; pricing Nov. 21; Cusip: 06740A2T5
Certificates of deposit due Nov. 26, 2021 linked to a basket of stocks (Yum! Brands, Inc., Boeing Co., Proctor & Gamble Co., Cisco Systems, Inc., Merck & Co., Inc., Macys, Inc., JPMorgan Chase & Co., Marathon Petroleum Corp., Lockheed Martin Corp. and Apple Inc.); via Barclays with Incapital LLC as distributor; pricing Nov. 21; Cusip: 06740A2S7
BARCLAYS BANK PLC
Capped fixed-to-floating notes due Nov. 21, 2024; via Barclays; pricing Nov. 18; Cusip: 06741ULL6
0% buffered digital notes due Nov. 27, 2017 linked to the Euro Stoxx 50 index; via Barclays; pricing Nov. 21; Cusip: 06741ULK8
0% buffered performance securities due Nov. 29, 2019 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 24; Cusip: 06742Y568
0% trigger performance securities due Nov. 29, 2019 linked to the iShares MSCI EAFE exchange-traded fund; via UBS Financial Services Inc. and Barclays; pricing Nov. 24; Cusip: 06742Y550
Callable contingent payment notes due Nov. 29, 2017 linked to the lesser performing of the Russell 2000 index and the Euro Stoxx 50 index; via Barclays; pricing Nov. 24; Cusip: 06741ULN2
Callable contingent payment notes due Nov. 29, 2017 linked to the lowest performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Barclays; pricing Nov. 24; Cusip 06741ULP7
0% trigger performance securities due Nov. 29, 2019 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 24; Cusip: 06742Y576
Autocallable range accrual notes due Nov. 29, 2017 linked to the common stock of Twitter, Inc.; via Barclays; pricing Nov. 24; Cusip: 06741ULM4
0% Accelerated Return Notes due January 2016 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November
0% Strategic Accelerated Redemption Securities due Dec. 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
0% Accelerated Return Notes due January 2016 linked to the S&P Oil & Gas Exploration and Production Select Industry index; via BofA Merrill Lynch; pricing in November
0% leveraged buffered notes due in 24 to 27 months linked to Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market Index and the S&P/ASX 200 Index; via Barclays; Cusip: 06741UKW3
0% capped leveraged buffered notes linked to the MSCI EAFE index due in 24 to 27 months; 85% trigger; via Barclays; Cusip: 06741UJJ4
19- to 22-month 0% capped leveraged buffered notes linked to the MSCI EAFE index; via Barclays; Cusip: 06741ULE2
24- to 27-month 0% capped buffered notes linked to the S&P 500 index; via Barclays; Cusip: 06741UJE5
0% capped leveraged buffered notes linked to the S&P 500 index; via Barclays; Cusip: 06741UJV7
24- to 27-month 0% capped leveraged buffered notes linked to the S&P 500 index; via Barclays; Cusip: 06741ULG7
0% capped leveraged notes linked to the S&P 500 index; via Barclays; Cusip: 06741UKJ2
0% capped leveraged buffered notes linked to the S&P 500 index; via Barclays; Cusip: 06741UKU7
CANADIAN IMPERIAL BANK OF COMMERCE
Redeemable step-up notes due Nov. 26, 2024; via Janney Montgomery Scott LLC as distributor; pricing Nov. 21; Cusip: 13605WAD3
CITIGROUP INC.
Non-callable fixed-to-floating notes due Nov. 14, 2024; via Citigroup Global Markets Inc.; pricing Nov. 10; Cusip: 1730T02S7
Autocallable contingent coupon equity-linked securities due Nov. 19, 2015 linked to United Rentals, Inc. shares; 75% trigger; via Citigroup Global Markets Inc.; pricing Nov. 14; Cusip: 1730T02T5
Leveraged callable CMS curve-linked notes due Nov. 26, 2034 linked to the 30-year Constant Maturity Swap rate and the two-year CMS rate; via Citigroup Global Markets Inc. with Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 1730T02V0
0% buffer securities due Nov. 26, 2019 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 1730T02Y4
Autocallable contingent coupon equity-linked securities due Nov. 27, 2015 linked to the common stock of Facebook, Inc.; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 1730T03B3
Leveraged CMS curve range accrual notes due Nov. 26, 2029 linked to the S&P 500 index and the 30-year and two-year Constant Maturity Swap rates; via Citigroup Global Markets Inc. (underwriter) and Morgan Stanley & Co. LLC (dealer); pricing Nov. 21; Cusip: 1730T02X6
Callable step-up coupon notes due Nov. 28, 2019; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 1730T02W8
0% autocallable securities due Nov. 30, 2017 linked to the Euro Stoxx 50 index and the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 1730T03A5
0% trigger performance securities due Nov. 30, 2018 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17322X755
0% market-linked notes due May 29, 2020 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 1730T03C1
0% contingent return optimization securities due Nov. 30, 2017 linked to the S&P 500 index; via Citigroup Global Markets Inc. with UBS Financial Services Inc.; pricing Nov. 24; Cusip: 17322X789
0% trigger performance securities due Nov. 29, 2019 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via Citigroup Global Markets Inc. with UBS Financial Services Inc.; pricing Nov. 24; Cusip: 17322X797
0% trigger Performance Leveraged Upside Securities due Dec. 1, 2017 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc. (underwriter) and Morgan Stanley Wealth Management (distribution); pricing Nov. 28; Cusip: 17322X813
CREDIT SUISSE AG
8%-10% autocallable reverse convertible notes due Nov. 18, 2015 linked to Alexion Pharmaceuticals, Inc. common stock; via Credit Suisse Securities (USA) LLC; pricing Nov. 13; Cusip: 22547QWP7
Six-month Libor and S&P 500 index range accrual notes due Nov. 19, 2029 via Morgan Stanley & Co. LLC as distributor; pricing Nov. 14; Cusip: 22547QVH6
11.5%-13.5% autocallable reverse convertible notes due Nov. 24, 2015 linked to Aruba Networks, Inc. common stock; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip: 22547QWS1
9%-11% autocallable reverse convertible notes due Nov. 25, 2015 linked to the common stock of Gilead Sciences, Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 20; Cusip: 22547QWQ5
0% absolute return barrier securities due Dec. 1, 2020 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Nov. 21; Cusip: 22547QWB8
0% Accelerated Return Notes due Nov. 30, 2020 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 21; Cusip: 22547QWD4
0% digital-plus barrier notes due Nov. 30, 2020 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 21; Cusip: 22547QWA0
Contingent coupon callable yield notes due Dec. 1, 2017 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 21; Cusip: 22547QWC6
7%-7.5% contingent coupon callable yield notes due Dec. 1, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 21; Cusip: 22547QW93
Step-up contingent coupon callable yield notes due Nov. 29, 2024 linked to the Euro Stoxx 50 index and the Russell 2000 index; via Incapital LLC; pricing Nov. 24; Cusip: 22547QWH5
Contingent coupon callable yield notes due Nov. 29, 2024 linked to the Euro Stoxx 50 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22547QVK9
Contingent coupon callable yield notes due Nov. 29,2019 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22547QWG7
Callable daily range accrual securities due May 31, 2022 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22547QWF9
0% trigger performance securities due Nov. 29, 2024 linked to the Russell 2000 index; via UBS Financial Services Inc.; pricing Nov. 24; Cusip: 22547T332
High/low coupon callable yield notes due May 31, 2016 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22547QW85
0% trigger performance securities due Nov. 29, 2024 linked to the S&P 500 index; via UBS Financial Services Inc.; pricing Nov. 24; Cusip: 22547T324
Step-up contingent coupon callable yield notes due Nov. 28, 2029 linked to the S&P 500 index; via Incapital LLC; pricing Nov. 24; Cusip: 22547QWJ1
0% absolute return barrier securities due Nov. 29, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22547QW77
0% accelerated barrier notes due Nov. 29, 2018 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22547QVQ6
Annual reset coupon buffered notes due Nov. 30, 2020 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QWM4
0% Buffered Accelerated Return Equity Securities due May 30, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QWL6
0% callable cert plus securities due Dec. 1, 2016 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QWE2
0% accelerated barrier notes due Nov. 29, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QW51
0% absolute return barrier securities due Dec. 2, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QW69
High/low coupon callable yield notes due June 2, 2016 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QW44
0% Accelerated Return Notes due January 2016 linked to the NYSE Arca Gold Miners index; via BofA Merrill Lynch; pricing in November
Autocallable market-linked step-up notes due December 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November
0% autocallable market-linked step-up notes due November 2016 linked to the S&P Oil & Gas Exploration and Production Select Industry index; via BofA Merrill Lynch; pricing in November
CREDIT SUISSE AG, LONDON BRANCH
24- to 27-month 0% leveraged buffered notes linked to a basket of the Euro Stoxx 50 index with a 37% weight, the FTSE 100 index with a 23% weight, the Tokyo Stock Price index with a 23% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight; via Credit Suisse Securities (USA) LLC; pricing Nov. 11; Cusip: 22547QVX1
11.5% to 13.5% autocallable reverse convertible securities due Nov. 24, 2015 linked to Aruba Networks Inc. shares; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip: 22547QWS1
Callable step-up securities due Nov. 26, 2024; via Credit Suisse Securities (USA) LLC; pricing Nov. 21; Cusip: 22547QWN2
Contingent coupon autocallable yield notes due Nov. 29, 2024 linked to the S&P 500 index and the Russell 2000 index; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22547QVL7
24- to 27-month 0% leveraged notes linked to the MSCI EAFE index; via Credit Suisse Securities (USA) LLC; Cusip: 22547QT22
DEUTSCHE BANK AG, LONDON BRANCH
0% capped buffered underlying securities due May 23, 2019 linked to the MSCI EAFE index; via Deutsche Bank Securities Inc.; pricing Nov. 18; Cusip: 25152RSB0
0% accelerated return securities due May 30, 2018 linked to the Euro Stoxx 50 index; 75% trigger; via Deutsche Bank Securities Inc.; pricing Nov. 24; Cusip: 25152RSL8
0% trigger performance securities due Nov. 29, 2024 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 25; Cusip: 25190A815
0% return optimization securities due Dec. 31, 2015 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 25; Cusip: 25190A799
Callable leveraged steepener notes due Nov. 26, 2034 linked to the 30-year and two-year Constant Maturity Swap rates; via agent Deutsche Bank Securities Inc. and dealer Morgan Stanley & Co. LLC; settlement Nov. 26; Cusip: 25152RXG3
0% uncapped buffered underlying securities due Nov. 30, 2017 linked to the Euro Stoxx 50 index; 80% trigger; via Deutsche Bank Securities Inc.; pricing Nov. 26; Cusip: 25152RKQ5
Phoenix autocallable securities due Dec. 1, 2016 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Deutsche Bank Securities Inc.; pricing Nov. 26; Cusip: 25152RKP7
0% uncapped buffered underlying securities due Dec. 2, 2019 linked to the S&P 500 index; 85% trigger; via Deutsche Bank Securities Inc.; pricing Nov. 26; Cusip: 25152RKR3
0% autocallable market-linked step-up notes due November 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November
0% 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 Securities due Nov. 2016 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November
Capped Leveraged Index Return notes due Nov. 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
0% autocallable market-linked step-up notes due November 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
13- to 15-month 0% leveraged currency-linked notes tied to the dollar relative to the euro; via Deutsche Bank Securities Inc.; Cusip: 25152RQS5
0% leveraged notes linked to the performance of the dollar relative to the euro; via Deutsche Bank Securities Inc.; Cusip: 25152RQF3
0% capped leveraged buffered notes linked to the Euro Stoxx 50 index due in 24 to 27 months; 90% trigger; via Deutsche Bank Securities Inc.; Cusip: 25152RRK1
24- to 27-month 0% capped leveraged buffered notes linked to a basket of the Euro Stoxx 50 index with a 37% weight, the FTSE 100 index with a 23% weight, the Tokyo Stock Price index with a 23% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight; via Deutsche Bank Securities Inc.; Cusip: 25152RSE4
0% capped leveraged buffered notes linked to the iShares MSCI Emerging Markets exchange-traded fund; via Deutsche Bank Securities Inc.; Cusip: 25152RRQ8
22- to 26-month 0% buffered iShares MSCI Germany ETF-linked digital notes; via Deutsche Bank Securities Inc.; Cusip: 25152RQK2
0% capped leveraged buffered notes linked to the MSCI EAFE index due 21 to 24 months; 77.5% trigger; via Deutsche Bank Securities Inc.; Cusip: 25152RRR6
24-27-month 0% leveraged notes linked to the MSCI EAFE index; via Deutsche Bank Securities Inc.; Cusip: 25152RPR8
24- to 27-month 0% capped leveraged buffered notes linked to the MSCI EAFE index; via Deutsche Bank Securities Inc.; Cusip: 25152RPZ0
24- to 27-month 0% capped leveraged buffered notes linked to an unequally weighed basket of indexes (Euro Stoxx 50 index with a 37% weight, FTSE 100 index with a 23% weight, Tokyo Stock Price index with a 23% weight, Swiss Market index with a 9% weight and S&P/ASX 200 index with an 8% weight); via Deutsche Bank Securities Inc.; Cusip: 25152RQX4
24- to 27-month 0% leveraged notes linked to a basket of the Euro Stoxx 50 index with a 37% weight, the FTSE 100 index with a 23% weight, the Tokyo Stock Price index with a 23% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight; via Deutsche Bank Securities Inc.; Cusip: 25152RRJ4
44- to 47-month 0% buffered notes linked to a basket of the Euro Stoxx 50 index with a 37% weight, the FTSE 100 index with a 23% weight, the Tokyo Stock Price index with a 23% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight; via Deutsche Bank Securities Inc.; Cusip: 25152RRH8
20- to 23-month 0% capped buffered notes linked to the MSCI EAFE index; via Deutsche Bank Securities Inc.; Cusip: 25152RQE6
0% capped leveraged buffered notes linked to the S&P 500 index; via Deutsche Bank Securities Inc.; Cusip: 25152RRM7
GOLDMAN SACHS BANK USA
0% equity index-linked certificates of deposit due May 25, 2021 linked to the S&P 500 index with a 50% weight, the Russell 2000 index with a 25% weight and the S&P MidCap 400 index with a 25% weight; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 20; Cusip: 38148D3E2
Variable-coupon certificates of deposit due Nov. 25, 2022 linked to the GS Momentum Builder Multi-Asset 5 ER index; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 21; Cusip: 38148D3K8
0% certificates of deposit due Nov. 27, 2020 linked to the S&P 500 index; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 21; Cusip: 38148D3F9
0% certificates of deposit due May 29, 2020 linked to the GS Momentum Builder Multi-Asset 5 ER index; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 24; Cusip: 38148D2Y9
0% certificates of deposit due Aug. 27, 2021 linked to the GS Momentum Builder Multi-Asset 5 ER index; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 24; Cusip: 38148D2X1
Contingent coupon certificates of deposit due Nov. 26, 2021 linked to the GS Momentum Builder Multi-Asset 5 ER index; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 24; Cusip: 38148D3D4
Variable-coupon certificates of deposit due Nov. 26, 2021 linked to the GS Momentum Builder Multi-Asset 5 ER index; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 24; Cusip: 38148D3C6
1% certificates of deposit due Nov. 30, 2021 linked to the GS Momentum Builder Multi-Asset 5 ER index; via agent Goldman Sachs & Co. and distributor Incapital LLC; pricing Nov. 24; Cusip: 38148D3A0
GOLDMAN SACHS GROUP, INC.
0% buffered notes due Nov. 26, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 38147QM37
0% notes due May 26, 2022 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 38147QMC7
0% notes due May 27, 2022 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Nov. 24; Cusip: 38147QLV6
0% trigger return optimization securities due Nov. 30, 2017 linked to the S&P MidCap 400 index; via Goldman Sachs & Co.; pricing Nov. 24; Cusip: 38148K322
Callable buffered monthly S&P 500 index-linked range accrual notes due May 28, 2022; via Goldman Sachs & Co.; pricing Nov. 24; Cusip: 38147QM94
Callable monthly Russell 2000 index-linked range accrual notes due Nov. 28, 2024; via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147QMD5
Callable monthly Russell 2000 index-linked range accrual notes due Nov. 28, 2024; via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147QMG8
Callable step-up fixed-rate notes due November 2019; via Goldman, Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38147QLZ7
Callable step-up fixed-rate notes due November 2019; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38147QLM6
Callable step-up fixed-rate notes due November 2021; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38147QLU8
Callable step-up fixed-rate notes due November 2024; via Goldman Sachs & Co.; settlement in November; Cusip: 38147QM86
Callable step-up fixed-rate notes due November 2034; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38147QM52
Floating-rate notes due November 2024 linked to the Non-Seasonally Adjusted U.S. City Average All Items Consumer Price Index for All Urban Consumers; via Goldman Sachs & Co.; settlement in November; Cusip: 38147QLY0
18-month autocallable contingent coupon equity-linked notes linked to the worst performing of the common stock of Apple Inc., International Business Machines Corp. and Microsoft Corp.; via Goldman, Sachs & Co.; Cusip: 38147QHZ2
18-month autocallable contingent coupon equity-linked notes linked to the worst performing of the common stocks of Apple Inc., International Business Machines Corp. and Microsoft Corp.; Goldman Sachs & Co.; Cusip: 38147QJ98
15-year callable quarterly CMS spread-linked notes; via Goldman Sachs & Co.; Cusip: 38147QJU1
15-year callable quarterly CMS spread-linked notes; via Goldman Sachs & Co.; Cusip: 38147QM78
15-year callable quarterly CMS spread-linked linked to the 30-year and two-year Constant Maturity Swap rates; via Goldman Sachs & Co.; Cusip: 38147QHL3
0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QCR5
0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QKL9
0% 60-month leveraged buffered notes linked to the Euro Stoxx 50 index; 75% trigger; via Goldman Sachs & Co.; Cusip: 38147QMM5
0% trigger performance securities due Nov. 29, 2019 linked to the Euro Stoxx Low Risk Weighted 50 index; 75% trigger; via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38148K330
0% leveraged trigger notes due May 30, 2018 linked to the FTSE 100 index; 75% trigger; via Goldman Sachs & Co.; pricing Nov. 24; Cusip: 38147QML7
0% 60-month leveraged buffered notes linked to the MSCI EAFE index; 75% trigger; via Goldman Sachs & Co.; Cusip: 38147QER3
60-month 0% leveraged buffered notes linked to the MSCI EAFE index; via Goldman Sachs & Co.; Cusip: 38147QER3
0% 85- to 91-month leveraged notes linked to the MSCI EAFE index; via Goldman Sachs & Co.; Cusip: 38147QH74
18- to 21-month 0% leveraged buffered notes linked to the 22 ordinary shares included in the MSCI Spain 25/50 index; via Goldman Sachs & Co.
0% 18-month leveraged buffered notes linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38147QLC8
Two-year 0% leveraged buffered notes linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38147QSF4
0% 60-month leveraged buffered notes linked to the S&P 500 index; 75% trigger; via Goldman Sachs & Co.; Cusip: 38147QGU4
0% 48-month leveraged buffered notes linked to the S&P 500 index; 80% trigger; via Goldman Sachs & Co.; Cusip: 38147QKV7
60-month 0% leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147QGU4
0% 60-month leveraged buffered notes linked to the S&P 500 index; 80% trigger; via Goldman Sachs & Co.; Cusip: 38147QKY1
0% 85- to 91-month leveraged notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147QH58
HSBC USA INC.
Callable step-up rate notes due Nov. 19, 2019; via HSBC Securities (USA) Inc.; settlement Nov. 19; Cusip: 40433BTK4
0% Accelerated Market Participation Securities due Feb. 24, 2016 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BTT5
0% SelectInvest debt securities due Nov. 24, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSD1
0% SelectInvest debt securities due Nov. 24, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSJ8
0% SelectInvest debt securities due Nov. 24, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRT7
0% SelectInvest debt securities due Nov. 25, 2019 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRY6
0% Accelerated Market Participation Securities due Feb. 24, 2016 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BTS7
0% SelectInvest debt securities due Nov. 24, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSC3
0% SelectInvest debt securities due Nov. 24, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSH2
0% SelectInvest debt securities due Nov. 24, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRS9
0% SelectInvest debt securities due Nov. 25, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRX8
0% SelectInvest debt securities due Nov. 24, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSB5
0% SelectInvest debt securities due Nov. 24, 2017 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSG4
0% SelectInvest debt securities due Nov. 24, 2017 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRR1
0% SelectInvest debt securities due Nov. 25, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRW0
0% SelectInvest debt securities due Nov. 24, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSA7
0% SelectInvest debt securities due Nov. 24, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSF6
0% SelectInvest debt securities due Nov. 24, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRQ3
0% SelectInvest debt securities due Nov. 25, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRV2
0% Accelerated Market Participation Securities due Feb. 24, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BTR9
0% SelectInvest debt securities due Nov. 24, 2015 linked to S&P 500 index, the Euro Stoxx 50 index, the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSE9
0% SelectInvest debt securities due Nov. 24, 2017 linked to S&P 500 index, the Euro Stoxx 50 index, the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRU4
0% SelectInvest debt securities due Nov. 24, 2017 linked to S&P 500 index, the Euro Stoxx 50 index, the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BSK5
0% SelectInvest debt securities due Nov. 25, 2019 linked to S&P 500 index, the Euro Stoxx 50 index, the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip: 40433BRZ3
Income plus notes due Nov. 26, 2021 linked to Altria Group, Inc., Apple Inc., Eli Lilly and Co., McDonalds Corp. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSL3
0% buffered uncapped market participation securities due Nov. 26, 2018 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSM1
0% buffered uncapped market participation securities due Nov. 25, 2019 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BST6
0% leveraged buffered uncapped market participation securities due Nov. 27, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSS8
0% buffered uncapped market participation securities due Nov. 26, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSR0
0% buffered Accelerated Market Participation Securities due Nov. 25, 2016 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSZ2
0% buffered Accelerated Market Participation Securities due May 25, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BTD0
0% buffered Accelerated Market Participation Securities due Nov. 25, 2016 linked to the iShares China Large-Cap exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSY5
0% buffered Accelerated Market Participation Securities due May 25, 2017 linked to the iShares China Large-Cap exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BTC2
0% leveraged buffered uncapped market participation securities due Nov. 25, 2019 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSV1
0% buffered Accelerated Market Participation Securities due Nov. 25, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSX7
0% buffered Accelerated Market Participation Securities due May 25, 2017 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BTB4
0% buffered Accelerated Market Participation Securities due May 25, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BTA6
0% buffered uncapped market participation securities due Nov. 26, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSQ2
0% buffered Accelerated Market Participation Securities due Nov. 25, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSW9
0% buffered accelerated return notes due Nov. 26, 2021 linked to S&P 500 index, the Euro Stoxx 50 index, the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BTE8
Autocallable yield notes due Feb. 25, 2016 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSN9
Autocallable yield notes due Feb. 25, 2016 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433BSP4
0% barrier Accelerated Market Participation Securities due June 1, 2018 linked to the Euro Stoxx 50 index; 65% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433BTP3
0% buffered uncapped market participation securities due Nov. 26, 2018 linked to the Hang Seng China Enterprises index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433BSU3
0% barrier Accelerated Market Participation Securities due June 1, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund; 75% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433BTN8
0% barrier Accelerated Market Participation Securities due June 1, 2018 linked to the Russell 2000 index; 75% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433BTM0
Contingent income barrier notes due Dec. 1, 2020 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433BTJ7
0% barrier Accelerated Market Participation Securities due June 1, 2018 linked to the S&P 500 index; 75% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433BTL2
0% digital plus barrier notes due April 26, 2017 linked to the S&P 500 index; 70% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433BTH1
0% trigger performance securities due Nov. 29, 2019 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc. with UBS Financial Services Inc.; pricing Nov. 24; Cusip: 40434F108
0% trigger return optimization securities due Nov. 30, 2017 linked to the Russell 2000 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as agent; pricing Nov. 24; Cusip: 40434F306
0% airbag performance securities due Nov. 29, 2019 linked to the S&P 500 index; via underwriter HSBC Securities (USA) Inc. and agent UBS Financial Services Inc.; pricing Nov. 24; Cusip: 40434F405
0% trigger performance securities due Nov. 30, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as agent; pricing Nov. 24; Cusip: 40434D111
0% trigger performance securities due Nov. 30, 2018 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as agent; pricing Nov. 24; Cusip: 40434D129
0% trigger return optimization securities due Nov. 30, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as agent; pricing Nov. 25; Cusip: 40434F207
0% trigger jump securities due Dec. 3, 2020 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. with Morgan Stanley Wealth Management ; pricing Nov. 28; Cusip: 40434D152
0% Performance Leveraged Upside Securities due March 3, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc. (agent) and Morgan Stanley Wealth Management (distribution); pricing Nov. 28; Cusip: 40434D145
Autocallable yield notes due November 2015 linked to the common stocks of Biogen Idec Inc., Celgene Corp. and Gilead Sciences, Inc.; via HSBC Securities (USA) Inc.; pricing in November; Cusip: 40433BTF5
Leveraged Index Return Notes due November 2019 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November
10% STEP Income Securities due November 2015 linked to Gilead Sciences, Inc. common stock; via BofA Merrill Lynch; pricing in November
0% lookback allocator notes linked to the S&P 500, Euro Stoxx 50 and Hang Seng China Enterprises indexes; via HSBC Securities (USA) Inc.; pricing in November; Cusip: 40433BTG3
14-month 0% Accelerated Return Notes due January 2016 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November
Market-linked step-up notes due November 2018 linked to a basket of the S&P 500 index and the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November
JPMORGAN CHASE & CO.
0% buffered return optimization securities due Nov. 17, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 10; Cusip: 48127P820
Autocallable contingent interest notes due Nov. 17, 2015 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 12; Cusip: 48127DU55
Callable range accrual certificates of deposit due Nov. 17, 2029 linked to the S&P 500 index, the 30-year U.S. Dollar Constant Maturity Swap rate and the two-year U.S. Dollar CMS rate; via J.P. Morgan Securities LLC; pricing Nov. 12; Cusip: 48125TC29
Fixed-to-floating callable range accrual certificates of deposit due Nov. 17, 2029 linked to the S&P 500 index, the 10-year U.S. Dollar Constant Maturity Swap rate and the two-year U.S. Dollar CMS rate; via J.P. Morgan Securities LLC; pricing Nov. 12; Cusip: 48125TC37
Callable step-up fixed-rate notes due Nov. 17, 2024; via J.P. Morgan Securities LLC; pricing Nov. 13; Cusip: 48127DNZ7
0% Performance Leveraged Upside Securities due Dec. 17, 2015 linked to the Euro Stoxx Banks index; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 48127P853
Contingent income autocallable securities due Nov. 19, 2015 linked to Noble Energy, Inc. shares; 75% trigger; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 48127P838
Contingent income autocallable securities due Nov. 19, 2015 linked to Twitter, Inc. shares; 75% trigger; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 48127P846
Contingent coupon callable yield notes due Nov. 22, 2016 linked to Apple Inc. shares; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 17; Cusip: 48127DP28
Callable fixed-to-floating notes due Nov. 21, 2029 linked to the 30-year Constant Maturity Swap rate, the two-year CMS rate and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 18; Cusip: 48127DPA0
6% autocallable yield notes due Nov. 23, 2015 linked to the Russell 2000 index, iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets ETF; 60% trigger; via J.P. Morgan Securities LLC; pricing Nov. 18; Cusip: 48127DP77
Digital contingent coupon certificates of deposit due Nov. 30, 2020 linked to a basket of stocks (Apple Inc., Bristol-Myers Squibb Co., Duke Energy Corp., Kimberly-Clark Corp., McDonalds Corp., Mead Johnson Nutrition Co., Raytheon Co., Verizon Communications Inc., Walgreen Co. and Williams Cos., Inc.); via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48125TF91
Digital contingent coupon certificates of deposit due Nov. 30, 2021 linked to a basket of equally weighted common stocks (CME Group Inc., CenturyLink, Inc., Exelon Corp., Health Care REIT, Inc., International Business Machines Corp., Kinder Morgan, Inc., Lorillard, Inc., Marathon Petroleum Corp., Potash Corp. of Saskatchewan Inc. and AT&T Inc.); via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48125TF42
Digital contingent coupon certificates of deposit due Nov. 30, 2021 linked to a basket of equally weighted common stocks (CME Group Inc., CenturyLink, Inc., Exelon Corp., Health Care REIT, Inc., International Business Machines Corp., Kinder Morgan, Inc., Lorillard, Inc., Marathon Petroleum Corp., Potash Corp. of Saskatchewan Inc. and AT&T Inc.); via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48125TF59
0% capped buffered return enhanced notes due Nov. 30, 2016 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS58
0% capped buffered return enhanced notes due Nov. 30, 2016 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS25
0% capped buffered return enhanced notes due Nov. 30, 2016 linked to the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS33
0% certificates of deposit due Nov. 30, 2021 linked to the J.P. Morgan TargetTracker: European Equities 20/8 (EUR) index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48125TD36
0% certificates of deposit due Nov. 30, 2021 linked to the J.P. Morgan TargetTracker: U.S. Equities 18/6 (USD) index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48125TD44
0% return notes due Dec. 31, 2015 linked to the J.P. Morgan U.S. Long Equity Dynamic Overlay 80 Index (Series 1); via J.P. Morgan Securities LLC; pricing Nov. 24
0% capped buffered return enhanced notes due Nov. 30, 2016 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DR91
Autocallable contingent interest notes due Feb. 29, 2016 linked to the lesser performing of the Russell 2000 index and the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS74
0% trigger return optimization securities due Dec. 31, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC with UBS Financial Services Inc.; pricing Nov. 24; Cusip: 48127P507
0% capped buffered return enhanced notes due Nov. 30, 2016 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS41
Autocallable contingent interest notes due Feb. 29, 2016 linked to the lesser performing of the S&P 500 index and the iShares MSCI Brazil Capped exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS82
Contingent coupon callable yield notes due Nov. 29, 2017 linked to the S&P 500 index, the Euro Stoxx 50 index and the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DT99
0% review notes due Nov. 30, 2018 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DT57
Autocallable contingent interest notes due Feb. 29, 2016 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS66
0% dual directional knock-out buffered equity notes due Feb. 28, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DT24
0% review notes due Nov. 30, 2017 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 75% trigger; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DS90
0% review notes due Nov. 30, 2017 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DT65
0% dual directional knock-out buffered return enhanced notes due Nov. 30, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127DT32
0% Performance Leveraged Upside Securities due March 3, 2016 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC ; pricing Nov. 28; Cusip: 48127P309
0% Performance Leveraged Upside Securities due March 3, 2016 linked to the S&P 500 index; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC ; pricing Nov. 28; Cusip: 48127P200
JPMORGAN CHASE BANK, NA
0% certificates of deposit due Nov. 29, 2019 linked to the Brazilian real, the Russian ruble, the Indian rupee and the Chinese renminbi relative to the dollar; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 24; Cusip: 48125TG82
0% certificates of deposit due Nov. 30, 2020 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 24; Cusip: 48125TE76
0% certificates of deposit due Nov. 30, 2021 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 24; Cusip: 48125TE92
Certificates of deposit due Nov. 30, 2021 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 24; Cusip: 48125TF75
0% certificates of deposit due May 29, 2020 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 24; Cusip: 48125TF34
MORGAN STANLEY
Contingent income autocallable securities due Nov. 17, 2017 linked to Best Buy Co., Inc. shares; 70% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 14; Cusip: 61764C788
Contingent income autocallable securities due Nov. 17, 2017 linked to Prudential Financial, Inc. shares; 80% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 14; Cusip: 61764C770
0% trigger Performance Leveraged Upside Securities due Nov. 27, 2017 linked to the Energy Select Sector SPDR fund; via Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 61761JUE7
0% lookback entry trigger Performance Leveraged Upside Securities due Nov. 26, 2024 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 61761JUP2
Contingent income autocallable securities due Nov. 27, 2015 linked to Pandora Media, Inc. shares; 60% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 61761JUJ6
Contingent income securities due Nov. 26, 2029 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. 21; Cusip: 61761JUL1
Contingent income securities due Nov. 26, 2029 linked to the worst performing of the Russell 2000 index and the S&P 500 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 61761JUG2
Contingent coupon notes due Nov. 27, 2034 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 61761JUN7
Contingent income autocallable securities due Nov. 26, 2029 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. 21; Cusip: 61761JUM9
0% Target Optimized Participation Securities due Nov. 28, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 61761JUF4
Contingent income autocallable securities due Nov. 27, 2015 linked to Tesla Motors, Inc. shares; 65% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 21; Cusip: 61761JUK3
0% trigger performance securities due Nov. 29, 2019 linked to the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Nov. 24; Cusip: 61764C663
0% trigger performance securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; 60% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Nov. 25; Cusip: 61764C705
Fixed-to-floating leveraged CMS curve and Russell 2000 index-linked notes due Nov. 28, 2034; via Morgan Stanley & Co. LLC; settlement Nov. 28; Cusip: 61760QFJ8
Fixed-to-floating CMS curve and Russell 2000 index-linked notes due Nov. 28, 2034; via Morgan Stanley & C. LLC; settlement Nov. 28; Cusip: 61760QFK5
Leveraged CMS curve and Russell 2000 index-linked notes due Nov. 28, 2034; 50% trigger; via Morgan Stanley & Co. LLC; settlement Nov. 28; Cusip: 61760QFL3
0% market-linked notes due May 2022 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61764C622
Contingent income autocallable securities due November 2019 linked to the worst performing of the Energy Select Sector SPDR fund and the SPDR S&P 500 ETF trust; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61764C671
0% trigger Performance Leveraged Upside Securities due November 2017 linked to the iShares U.S. Real Estate exchange-traded fund; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61764C606
0% dual directional trigger Performance Leveraged Upside Securities due November 2020 linked to the S&P 500 index; 65% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61764C598
0% trigger Performance Leveraged Upside Securities due November 2017 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61764C580
0% trigger jump securities due November 2020 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61764C614
0% Performance Leveraged Upside Securities due May 2015 linked to the West Texas Intermediate light sweet crude oil; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762GCK8
0% trigger Performance Leveraged Upside Securities due May 2015 linked to an equally weighted basket of commodities (WTI light sweet crude oil, copper, platinum, milk and live cattle); via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762GCJ1
ROYAL BANK OF CANADA
Redeemable step-up notes due Nov. 14, 2022; via RBC Capital Markets, LLC; settlement Nov. 14; Cusip: 78010UWS2
0% buffered bullish enhanced return notes due May 23, 2019 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 18; Cusip: 78010U4W4
8.75% reverse convertible notes due Nov. 25, 2015 linked to Delta Air Lines, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5S2
12% reverse convertible notes due May 26, 2015 linked to Green Mountain Coffee Roasters, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5L7
9.25% reverse convertible notes due May 26, 2015 linked to Micron Technology, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5M5
8.5% reverse convertible notes due May 26, 2015 linked to Regeneron Pharmaceuticals, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5N3
10% reverse convertible notes due May 26, 2015 linked to Tesla Motors, Inc stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5P8
12.25% reverse convertible notes due May 26, 2015 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5R4
8.25% reverse convertible notes due Nov. 25, 2015 linked to Valero Energy Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5T0
8.75% reverse convertible notes due May 26, 2015 linked to Vertex Pharmaceuticals Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 20; Cusip: 78010U5Q6
0% buffered bullish return notes due Nov. 26, 2019 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 21; Cusip: 78010U5D5
0% buffered bullish enhanced return notes due Nov. 27, 2019 linked to the iShares MSCI EAFE exchange-traded fund; via RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78010U5F0
0% trigger step performance securities due Nov. 30, 2018 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78011Y629
0% trigger return optimization securities due Nov. 30, 2017 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78011Y611
0% buffered bullish enhanced return notes due Nov. 27, 2019 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78010U5G8
Trigger phoenix callable notes due Nov. 27, 2020 linked to the worst performing of the S&P 500 index and the Russell 2000 index; via RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78010U5H6
0% direct investment notes due Jan. 11, 2016 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 3; Cusip: 78010U5J2
18-21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via RBC Capital Markets, LLC; Cusip: 78010UV79
0% leveraged buffered index-linked notes tied to the S&P 500 index; via RBC Capital Markets, LLC; Cusip: 78010U5A1
SOCIETE GENERALE
8% convertible notes due May 14, 2015 linked to Alibaba Group Holding Ltd. common stock; via SG Americas Securities, LLC; pricing Nov. 11; Cusip: 83368WXS5
Callable CMS spread notes due Nov. 26, 2034 linked to the 30-year and two-year Constant Maturity Swap rates; via agent SG Americas Securities, LLC and distributor Advisors Asset Management, Inc.; pricing Nov. 21; Cusip: 83368WXN6
UBS AG, LONDON BRANCH
Contingent income autocallable securities due Nov. 17, 2017 linked to American Depositary Shares of Alibaba Group Holding Ltd. shares; 70% trigger; via UBS Securities LLC; pricing Nov. 14; Cusip: 90274B881
Trigger phoenix autocallable optimization securities due Nov. 20, 2024 linked to the least performing of the MSCI Emerging Markets index and the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 14; Cusip: 90274B832
Trigger phoenix autocallable optimization securities due Nov. 20, 2024 linked to the least performing of the Russell 2000 index and the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 14; Cusip: 90274B840
0% contingent return optimization securities due Nov. 30, 2017 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24; Cusip: 90274B808
0% trigger performance securities due Nov. 29, 2024 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24; Cusip: 90274B782
0% trigger performance securities due Nov. 29, 2019 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90274B816
0% contingent absolute return performance securities due Nov. 29, 2019 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90274B790
0% Performance Leveraged Upside Securities due March 3, 2016 linked to the Energy Select Sector SPDR fund; via UBS Securities LLC with distribution through Morgan Stanley Wealth Management; pricing Nov. 28; Cusip: 90274B758
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