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Structured Products Calendar
BANK OF AMERICA CORP.
• 0% market-linked step-up notes due October 2016 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in October
• 0% autocallable market-linked step-up notes due October 2016 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
• 0% Strategic Accelerated Redemption Securities due October 2014 linked to a basket of the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due October 2015 linked to the Merrill Lynch Commodity index eXtra; via BofA Merrill Lynch; pricing in October
• 0% autocallable market-linked step-up notes due October 2016 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
• 0% market-linked step-up notes due October 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Capped Leveraged Index Return Notes due October 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due October 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% autocallable market-linked step-up notes due October 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Strategic Accelerated Redemption Securities due November 2014 linked to silver; via Bank of America Merrill Lynch; pricing in October
• 0% market-linked step-up notes due October 2015 linked to the Stoxx 600 Banks index; via BofA Merrill Lynch; pricing in October
BANK OF MONTREAL
• 0% buffered bullish enhanced return notes due Oct. 31, 2016 linked to the iShares China Large-Cap exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 28; Cusip: 06366RRD9
• 0% buffered bullish enhanced return notes due Oct. 31, 2016 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 28; Cusip: 06366RRE7
• 4% autocallable cash-settled notes with step-up call price due Oct. 30, 2015 linked to the Market Vectors Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 28; Cusip: 06366RRF4
• 0% upside booster notes with barrier due Oct. 31, 2018 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Oct. 28; Cusip: 06366RRJ6
• 0% barrier bullish enhanced return notes due Oct. 31, 2018 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Oct. 28; Cusip: 06366RRG2
• 0% upside booster notes with barrier due Oct. 31, 2018 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Oct. 28; Cusip: 06366RRH0
BANK OF NOVA SCOTIA
• Callable step-up notes due Oct. 30, 2028; via Scotia Capital (USA) Inc.; pricing Oct. 25; Cusip: 064159CC8
• 14- to 16-month 0% series A digital coupon notes linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc. with Goldman Sachs & Co. as dealer; Cusip: 064159353
• 24- to 27-month 0% capped buffered participation notes linked to the MSCI EAFE index; via Scotia Capital (USA) Inc.; Cusip: 064159361
BANK OF THE WEST
• Contingent variable-income market-linked certificates of deposit due Oct. 30, 2019 linked to the common stocks of Altria Group, Inc., American Electric Power Co. Inc., AT&T Inc., Darden Restaurants Inc., Ensco plc, Intel Corp., Lorillard Inc., PPL Corp., Verizon Communications Inc. and Williams Cos. Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Oct. 25; Cusip: 06426XHY9
• Income advantage market-linked certificates of deposit due Oct. 30, 2018 linked to the common stocks of Altria Group Inc., Intel Corp., Lorillard Inc., Verizon Communications Inc. and Williams Cos., Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Oct. 25; Cusip: 06426XHX1
• Income advantage market-linked certificates of deposit due Oct. 29, 2020 linked to the common stocks of Altria Group Inc., Intel Corp., Lorillard Inc., Verizon Communications Inc. and Williams Cos., Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Oct. 25; Cusip: 06426XJA9
• Income advantage market-linked certificates of deposit due Oct. 29, 2020 linked to the S&P GSCI Cocoa Dynamic Roll Index ER, the S&P GSCI Coffee Dynamic Roll Index ER, the S&P GSCI Lead Dynamic Roll Index ER, the S&P GSCI Natural Gas Dynamic Roll Index ER and the S&P GSCI Wheat Dynamic Roll Index ER; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Oct. 25; Cusip: 06426XJB7
BARCLAYS BANK DELAWARE
• Certificates of deposit due Oct. 30, 2018 linked to the common stocks of AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Wells Fargo & Co., Walgreen Co. and Verizon Communications Inc.; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD30
• Certificates of deposit due Oct. 30, 2019 linked to the common stocks of AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Wells Fargo & Co., Walgreen Co. and Verizon Communications Inc.; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD48
• Certificates of deposit due Oct. 29, 2020 linked to the common stocks of AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Wells Fargo & Co., Walgreen Co. and Verizon Communications Inc.; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD55
• 0.5%-0.75% certificates of deposit due Oct. 29, 2020 linked to the Barclays Armour II Excess Return 5% index; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD22
• 0% certificates of deposit due Oct. 29, 2020 linked to the Euro Stoxx 50 index; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD71
• 0% certificates of deposit due Oct. 30, 2019 linked to the Hang Seng index, the Euro Stoxx 50 index, the FTSE 100 index and the S&P 500 index; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AE21
• 0.25%-0.35% certificates of deposit due Oct. 30, 2018 linked to the S&P 500 index; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD89
• 0% certificates of deposit due Oct. 29, 2020 linked to the S&P 500 index; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD63
• Certificates of deposit due Oct. 29, 2020 linked to the S&P GSCI Aluminum Index Excess Return, the S&P GSCI Brent Crude Index Excess Return, the S&P GSCI Cocoa Index Excess Return, the S&P GSCI Lean Hogs Index Excess Return, the S&P GSCI Live Cattle Index Excess Return, the S&P GSCI Precious Metals Index Excess Return, the S&P GSCI Lead Index Excess Return, the S&P GSCI Nickel Index Excess Return, the S&P GSCI Sugar Index Excess Return and the S&P GSCI Zinc Index Excess Return; via Barclays and Incapital LLC; pricing Oct. 25; Cusip: 06740AD97
BARCLAYS BANK PLC
• Trigger phoenix autocallable optimization securities due Oct. 17, 2023 linked to the worst performing of the Euro Stoxx 50 index and the Russell 2000 index; 50% trigger; via UBS Financial Services Inc. and Barclays; pricing Oct. 11; Cusip: 06742E836
• Trigger autocallable yield optimization notes due Oct. 17, 2018 linked to General Electric Co. shares; 63% to 68% trigger; via UBS Financial Services Inc. and Barclays; pricing Oct. 11; Cusip: 06742E794
• Trigger autocallable yield optimization notes due Oct. 17, 2018 linked to Halliburton Co. shares; 59% to 65% trigger; via UBS Financial Services Inc. and Barclays; pricing Oct. 11; Cusip: 06742E810
• 0% contingent buffer enhanced notes due Oct. 29, 2014 linked to palladium; 80% trigger; via Barclays with JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 06741TS81
• 5% callable yield notes Oct. 15, 2021 linked to the Russell 2000 index; 50% trigger; via Barclays; pricing Oct. 11; Cusip: 06741TN45
• 12% reverse convertible notes due Jan. 15, 2014 linked to Tesla Motors, Inc. stock; via Barclays Capital; pricing Oct. 11; Cusip: 06741J4S5
• Principal at risk steepener range accrual notes due Oct. 18, 2028 linked to the 30-year Constant Maturity Swap rate over the two-year CMS rate and the Russell 2000 index; via Barclays; pricing Oct. 15; Cusip: 06741TS24
• Capped fixed-to-floating notes due Oct. 23, 2018; via Barclays; pricing Oct. 18; Cusip: 06741TR66
• Notes due Oct. 29, 2020 linked to AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Walgreen Co., Wells Fargo & Co. and Verizon Communications Inc.; via Barclays; pricing Oct. 24; Cusip: 06741TQ59
• Callable contingent coupon notes due Oct. 27, 2016 linked to Facebook, Inc. shares; via Barclays; pricing Oct. 24; Cusip: 06741J4Q9
• 0% buffered Super Track notes due April 24, 2017 linked to the S&P 500 index; via Barclays; pricing Oct. 24; Cusip: 06741TR74
• 0% Super Track notes due April 28, 2017 linked to the Euro Stoxx 50 index; via Barclays; pricing Oct. 28; Cusip: 06741TQ83
• 0% Super Track notes due Aug. 2, 2017 linked to the iShares MSCI EAFE exchange-traded fund; via Barclays; pricing Oct. 28; Cusip: 06741TL21
• 0% airbag return optimization securities due Oct. 31, 2016 linked to the iShares Russell 2000 exchange-traded fund; via Barclays with UBS Financial Services Inc.; pricing Oct. 28; Cusip: 06742E869
• Callable contingent payment notes due Oct. 26, 2018 linked to the Market Vector Gold Miners exchange-traded fund; via Barclays; pricing Oct. 28; Cusip: 06741TP76
• Callable contingent payment notes due Oct. 31, 2019 linked to the Market Vector Gold Miners exchange-traded fund; via Barclays; pricing Oct. 28; Cusip: 06741TP92
• Callable contingent payment notes due Oct. 31, 2023 linked to the Russell 2000 index; 55% trigger; via Barclays; pricing Oct. 28; Cusip: 06741TQ26
• 0% buffered Super Track notes due Oct. 31, 2018 linked to the S&P 500 index; via Barclays; pricing Oct. 28; Cusip: 06741TS73
• 0% airbag return optimization securities due Oct. 31, 2016 linked to the SPDR S&P 500 exchange-traded fund; via Barclays with UBS Financial Services Inc.; pricing Oct. 28; Cusip: 06742E877
• 0% trigger performance securities due Oct. 31, 2018 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via Barclays and UBS Financial Services Inc.; pricing Oct. 28; Cusip: 06742E851
• Annual reset coupon buffered notes due Oct. 31, 2019 linked to the Russell 2000 index; via Barclays; pricing Oct. 29; Cusip: 06741TQ34
• Annual reset coupon buffered notes due Oct. 31, 2019 linked to the Russell 2000 index; via Barclays; pricing Oct. 29; Cusip: 06741TH91
• 11.5% STEP Income Securities due October 2014 linked to Delta Air Lines, Inc.; via BofA Merrill Lynch; pricing in October
• Contingent coupon callable notes due October 2015 linked to Hertz Global Holdings, Inc. shares; 70% trigger; via Barclays; pricing in October; Cusip: 06741J4R7
• 0% notes due Nov. 9, 2016 linked to the EquityCompass Share Buyback index; via Barclays; pricing Nov. 4; Cusip: 06741TS65
• 14- to 16-month 0% digital notes linked to the MSCI EAFE index; 90% trigger; via Barclays; Cusip: 06741TR82
• 23- to 26-month 0% digital notes linked to the MSCI EAFE index; 90% trigger; via Barclays; Cusip: 06741TR90
• Five-year 0% buffered Super Track notes due 2018 linked to S&P 500 index; the iShares MSCI EAFE index fund; the Russell 2000 index and the PowerShares DB Commodity Index Tracking Fund; the iShares iBoxx $ Investment Grade Corporate Bond fund and the iShares MSCI Japan index fund; the Consumer Staples Select Sector SPDR fund, the iShares Dow Jones Select Dividend index fund and the iShares MSCI Emerging Markets index fund; the Health Care Select Sector SPDR fund and the PowerShares QQQ Trust, Series 1; and the iShares Barclays Treasury Inflation Protected Securities Bond fund; 75.5% to 85.5% trigger; via Barclays; Cusip: 06741TYY7
BNP PARIBAS
• 0% leveraged certificate plus notes due Jan. 30, 2019 linked to the S&P 500 index; via BNP Paribas Securities Corp.; pricing Oct. 25; Cusip: 05574LR59
• 0% return enhanced notes due Oct. 30, 2015 linked to a basket of common stocks selected from the Richard Bernstein Advisors American Industrial Renaissance universe (Acuity Brands, Inc., American Railcar Industries, Inc., Covanta Holding Corp., Generac Holdings Inc., Huntington Bancshares Inc., MasTec, Inc., Proto Labs, Inc., Quanta Services, Inc., Trinity Industries, Inc. and URS Corp.); via BNP Paribas Securities Corp.; pricing Oct. 28; Cusip: 05574LQW1
• 0% buffered notes due Oct. 31, 2017 linked to the Dow Jones industrial average; via BNPP Securities; pricing Oct. 28; Cusip: 05574LR75
•23- to 26-month 0% notes linked to the Russell 2000 index; via BNP Paribas Securities Corp.; Cusip: 05574LRC4
CITIBANK, NA
• Callable fixed-to-inverse-floating market-linked certificates of deposit due Oct. 31, 2033 linked to the Russell 2000 index; via Citigroup Global Markets; pricing Oct. 28; Cusip: 172986GU9
CITIGROUP INC.
• 0% dual directional trigger Performance Leveraged Upside Securities due April 21, 2016 linked to the Market Vectors Gold Miners exchange-traded fund; via Citigroup Global Markets Inc. with Morgan Stanley Smith Barney LLC as dealer; pricing Oct. 18; Cusip: 17321F847
• Noncallable fixed-to-floating notes due Dec. 28, 2018; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 1730T0VM8
• 0% barrier securities due Oct. 28, 2016 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 1730T0A41
• 0% Accelerated Return Notes due Aug. 2, 2017 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Oct. 28; Cusip: 1730T0VL0
CREDIT SUISSE AG
• 12% reverse convertible notes due Oct. 17, 2014 linked to the common stock of Restoration Hardware Holdings, Inc.; via Credit Suisse Securities (USA) LLC; pricing Oct. 11; Cusip: 22547QC79
• 0% accelerated barrier notes due Oct. 25, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 18; Cusip: 22547QBD7
• Contingent coupon callable yield notes Oct. 25, 2016 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 18; Cusip: 22547QBE5
• 6.05% callable daily range accrual securities due July 29, 2019 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 24; Cusip: 22547QBN5
• Autocallable securities due Oct. 31, 2016 linked to the S&P 500 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22547QBW5
• 0% Bares due Oct. 31, 2015 linked to the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets ETF; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22547QBP0
• High/low coupon callable yield notes due April 30, 2015 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22547QBK1
• 0% cert plus securities due Oct. 31, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22547QBF2
• Contingent coupon callable yield notes due Oct. 31, 2016 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Barclays; pricing Oct. 28; Cusip: 22547QBV7
• 6.55% contingent coupon autocallable yield notes due Oct. 31, 2023 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22547QC61
• High/low coupon callable yield notes due Oct. 31, 2014 linked to the U.S. Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22547QBH8
• 0% Buffered Accelerated Return Equity Securities due Oct. 31, 2016 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip: 38147QWW2
• 6%-7% contingent coupon callable yield notes due Oct. 31, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip: 22547QC46
• 0% Bares due Nov. 5, 2015 linked to the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets ETF; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22547QBS4
• 0% cert plus securities due Nov. 6, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22547QBR6
• 0% callable cert plus securities due Nov. 5, 2015 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22547QBL9
• High/low coupon callable yield notes due May 5, 2015 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22547QBJ4
• 0% leveraged buffered index-linked notes tied to the iShares MSCI Emerging Markets exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing in October; Cusip: 22547QC38
• 9% STEP Income Securities due October 2014 linked to salesforce.com, inc.; via BofA Merrill Lynch; pricing in October
• 0% buffered return equity securities due March 13, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; Cusip: 22547QA89
DEUTSCHE BANK AG, LONDON BRANCH
• Phoenix autocallable notes due Oct. 29, 2014 linked to the common stock of Aetna Inc.; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 25152REY5
• Phoenix autocallable notes due Oct. 29, 2014 linked to the common stock of Halliburton Co.; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 25152REX7
• 6% to 8% airbag yield optimization notes due April 17, 2014 linked to Newmont Mining Corp. shares; 80% trigger; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 11; Cusip: 25155L236
• 7.75% to 9.75% annualized airbag yield optimization notes due April 17, 2014 linked to ServiceNow Inc. shares; 85% trigger; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 11; Cusip: 25155L244
GOLDMAN SACHS GROUP, INC.
• 0% currency-linked notes due Oct. 28, 2014 linked to the Brazilian real relative to the dollar; 70% trigger; via Goldman Sachs & Co. with J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 38147QB62
• Callable monthly Russell 2000 index-linked range accrual notes due Oct. 29, 2028; via Goldman Sachs & Co.; pricing Oct. 24; Cusip: 38147QZS8
• Callable monthly Euro Stoxx 50 index-linked range accrual notes due Oct. 30, 2028; via Goldman Sachs & Co.; pricing Oct. 25; Cusip: 38147QZJ8
• Callable monthly Russell 2000 index-linked range accrual notes due Oct. 30, 2028; via Goldman Sachs & Co.; pricing Oct. 25; Cusip: 38147QZE9
• Callable buffered monthly range accrual notes due July 31, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 28; Cusip: 38147QYW0
• 0% leveraged notes due Nov. 3, 2020 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Oct. 29; Cusip: 38147QXA9
• Callable monthly range accrual notes due Oct. 31, 2023 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 29; Cusip: 38147QYA8
• Callable monthly range accrual notes due Oct. 31, 2023 linked to the Russell 2000 index; 50% ; via Goldman Sachs & Co.; pricing Oct. 29; Cusip: 38147QXW1
• Callable monthly range accrual notes due Oct. 31, 2028 linked to the Russell 2000 index; 50% ; via Goldman Sachs & Co.; pricing Oct. 29; Cusip: 38147QYS9
• 16.8% autocallable lesser performing equity-linked notes linked to the common stocks of Barrick Gold Corp., Goldcorp Inc. and Newmont Mining Corp.; via Goldman Sachs & Co.; pricing in October
• Fixed-to-floating notes due October 2023 linked to the Consumer Price Index; via Goldman, Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38147QYN0
• 15-year callable quarterly CMS spread-linked notes; via Goldman Sachs & Co.; Cusip: 38147QC20
• 18- to 21-month 0% leveraged notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.
• 24- to 27-month 0% notes linked to the Euro Stoxx 50 index; 90% trigger; via Goldman Sachs & Co.
• 36- to 39-month 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co; Cusip: 38147QZA7
• 36- to 40-month 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QXN1
• 0% leveraged buffered notes due 2018 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QRA6
• 24- to 27-month 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets index fund; via Goldman Sachs & Co.; Cusip: 38147QXS0
• 24- to 27-month 0% leveraged buffered notes linked to the MSCI EAFE index; 90% trigger; via Goldman Sachs & Co.
• 25- 28-month 0% leveraged notes tied to the MSCI EAFE index; 90% trigger; via Goldman Sachs & Co.
• 13- to 24-month 0% autocallable buffered index-linked notes tied to the Russell 2000 index; via Goldman Sachs & Co.
• 24-month 0% autocallable buffered notes linked to the Russell 2000 index; 85% trigger; via Goldman Sachs & Co.; Cusip: 38147QFA9
• 0% leveraged buffered notes due in 24 to 27 months linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38147QAE6
• 14- to 16-month 0% digital notes linked to the S&P 500 index; via Goldman Sachs & Co. is the underwriter.
• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.
• Two-year 0% notes linked to the S&P 500 index; 71% to 75% trigger; via Goldman Sachs & Co.; Cusip: 38147QZW9
• 60-month 0% leveraged buffered notes linked to the S&P 500 index; 80% trigger; via Goldman Sachs & Co.; Cusip: 38147QA63
• 60-month 0% leveraged buffered notes linked to the S&P 500 index; 75% trigger; via Goldman, Sachs & Co.; Cusip: 38147QXJ0
• 24-month 0% autocallable leveraged buffered notes linked to the S&P Banks Select Industry index; via Goldman Sachs & Co.
• 24- to 27-month 0% leveraged buffered notes linked to the S&P Banks Select Industry index; via Goldman Sachs & Co.
HSBC USA INC.
• Fixed-to-floating notes due Oct. 17, 2016; via HSBC Securities (USA) Inc.; settlement Oct. 17; Cusip: 40432XMG3
• Contingent income barrier notes due Oct. 25, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 18; Cusip: 40432XM81
• 0% buffered uncapped market participation securities due Oct. 30, 2017 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 40432XM32
• Income plus notes due Oct. 29, 2020 linked to the common stocks of AT&T Inc., General Electric Co., Hewlett-Packard Co., Intel Corp. and Pfizer Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 40432XM65
• Income plus notes due Oct. 29, 2020 linked to the common stocks of AT&T Inc., General Electric Co., Hewlett-Packard Co., Intel Corp. and Pfizer Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 40432XM73
• 0% buffered market participation securities due Oct. 31, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 40432XM24
• 0% buffered uncapped market participation securities due Oct. 29, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 40432XM57
• 0% buffered uncapped market participation securities due Oct. 29, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 40432XLZ2
• 0% buffered uncapped market participation securities with lock-in floor due Sept. 27, 2016 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; settlement Oct. 25; Cusip: 40432XM99
• 0% uncapped Accelerated Market Participation Securities due Oct. 30, 2015 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40432XLV1
• 0% leveraged buffered uncapped market participation securities due Oct. 31, 2016 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40432XLU3
• 0% 50/150 performance securities due Oct. 30, 2019 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40432XLX7
• 5% to 6% autocallable yield notes due Jan. 30, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40432XMB4
• 5.5% to 6.5% autocallable yield notes due Jan. 30, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40432XMA6
• 0% leveraged buffered uncapped market participation securities due Oct. 30, 2018 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40432XLW9
• Autocallable barrier notes with step-up call price due Oct. 31, 2016 linked to the Russell 2000 index; via BMO Capital Markets Corp., pricing Oct. 28; Cusip: 06366RRN7
• 0% trigger performance securities due Oct. 31, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Oct. 28; Cusip: 40434B503
• 0% airbag return optimization securities due Oct. 31, 2016 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Oct. 29; Cusip: 40433X134
• 0% trigger performance securities due Oct. 31, 2023 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Oct. 29; Cusip: 40434B404
• 0% airbag performance securities due Oct. 31, 2023 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Oct. 29; Cusip: 40433X126
• Leveraged Index Return Notes due October 2018 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in October
• 0% Market Index Target-Term Securities due October 2020 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in October
• 0% performance plus securities due October 2016 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing in October; Cusip: 40432XLH2
• Market-linked step-up notes due October 2016 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in October
• 0% buffered Accelerated Market Participation Securities with lookback feature due October 2015 linked to the S&P 500; via HSBC Securities (USA) Inc.; pricing in October; Cusip: 40432XMJ7
JPMORGAN CHASE BANK, NA
• Callable variable-rate range accrual certificates of deposit due Oct. 17, 2028 linked to six-month Libor and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48124J5Y0
• Callable variable-rate certificates of deposit due Oct. 18, 2028 linked to six-month Libor; via J.P. Morgan Securities LLC; pricing Oct. 15; Cusip: 48124J6A1
• Digital contingent coupon certificates of deposit due Oct. 31, 2019 linked to a basket of 10 equally weighted common stocks (Duke Energy Corp., Hewlett-Packard Co., Kinross Gold Corp., Lorillard, Inc., McDonald's Corp., Mead Johnson Nutrition Co., Raytheon Co., Time Warner Cable Inc., Verizon Communications Inc. and Walgreen Co.); via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48124J5K0
• 0% certificates of deposit due Oct. 31, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48124J4V7
• 0% certificates of deposit due April 30, 2019 linked to the J.P. Morgan Mozaic Fixed Income index (USD); via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48124J5D6
• 0% certificates of deposit due April 30, 2019 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48124J5F1
• Digital contingent coupon certificates of deposit due Oct. 31, 2019 linked to a basket of 10 equally weighted common stocks (Bristol-Myers Squibb Co., Kimberly-Clark Corp., Coca-Cola Co., McDonald's Corp., Altria Group, Inc., Procter & Gamble Co., Philip Morris International Inc., Southern Co., AT&T Inc. and Unilever plc); pricing Oct. 28; Cusip: 48124J5R5
• Digital contingent coupon certificates of deposit due Oct. 30, 2020 linked to a basket of 10 equally weighted common stocks (Bristol-Myers Squibb Co., Kimberly-Clark Corp., Coca-Cola Co., McDonald's Corp., Altria Group, Inc., Procter & Gamble Co., Philip Morris International Inc., Southern Co., AT&T Inc. and Unilever plc); pricing Oct. 28; Cusip: 48124J5Q7
• Digital contingent coupon certificates of deposit due Oct. 30, 2020 linked to a basket of 10 equally weighted common stocks (Bristol-Myers Squibb Co., Kimberly-Clark Corp., Coca-Cola Co., McDonald's Corp., Altria Group, Inc., Procter & Gamble Co., Philip Morris International Inc., Southern Co., AT&T Inc. and Unilever plc); pricing Oct. 28; Cusip: 48124J5V6
JPMORGAN CHASE & CO.
• 0% capped index knock-out notes due Oct. 29, 2014 linked to the Euro Stoxx 50 index; 80% trigger; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126NXB8
• 10.1% upside autocallable reverse exchangeable notes due Oct. 29, 2014 linked to the common stock of Ford Motor Co.; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126NXE2
• 9.5% fixed income autocallable securities due Oct. 17, 2014 linked to Freeport-McMoRan Copper & Gold Inc. shares; 75% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC; pricing Oct. 11; Cusip: 48126H225
• 5.15% autocallable yield notes due Oct. 16, 2014 linked to the iShares MSCI EAFE exchange-traded fund and the Russell 2000 index; 80% trigger; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126NXJ1
• 0% return notes due Oct. 29, 2014 linked to the common stocks of Pfizer Inc., Merck & Co., Inc., Bristol-Myers Squibb Co., Zoetis Inc., Covidien plc, Perrigo Co., Mylan Inc., Valeant Pharmaceuticals International, Inc., Actavis, Inc., Aetna Inc., Endo Health Solutions Inc., Allergan, Inc., HCA Holdings, Inc., Amarin Corp. plc, InterMune, Inc., Gilead Sciences, Inc., Ariad Pharmaceuticals, Inc., Orexigen Therapeutics, Inc., Medivation, Inc., Vertex Pharmaceuticals Inc., Rite Aid Corp. and DaVita HealthCare Partners Inc.; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip; 48126NXD4
• 0% trigger autocallable optimization securities due April 17, 2015 linked to the Russell 2000 index; 75% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126H191
• 0% capped return enhanced notes due Jan. 15, 2014 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126NXC6
• 0% capped buffered enhanced participation equity notes due July 16, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126NXA0
• Notes due Oct. 19, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126NWR4
• Autocallable contingent interest notes due Oct. 29, 2014 linked to USG Corp. shares; via J.P. Morgan Securities LLC; pricing Oct. 11; Cusip: 48126NXF9
• Callable variable-rate range accrual notes due Oct. 18, 2028 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 15; Cusip: 48126NSW8
• 0% return notes due Jan. 21, 2015 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Oct. 16; Cusip: 48126NWZ6
• Single observation callable yield notes due April 27, 2015 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 18; Cusip: 48126NWS2
• 6.8% autocallable yield notes due Oct. 24, 2014 linked to the iShares MSCI Emerging Markets exchange-traded fund and the Russell 2000 index; 68% trigger; via J.P. Morgan Securities LLC; pricing Oct. 22; Cusip: 48126NXK8
• Fixed-to-floating rate leveraged CMS curve and S&P 500 index-linked notes due Oct. 23, 2028; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC handling distribution; settlement Oct. 23; Cusip: 48126D7K9
• 7% to 9% autocallable yield notes due Jan. 28, 2015 linked to the S&P 500 index and the Russell 2000 index; 65% trigger; via J.P. Morgan Securities LLC; pricing Oct. 23; Cusip: 48126NXL6
• 0% capped buffered return enhanced notes due July 31, 2015 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVV6
• 7% to 9% autocallable yield notes due Oct. 31, 2014 linked to the iShares MSCI Emerging Markets exchange-traded fund and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVT1
• 0% capped buffered return enhanced notes due July 31, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVW4
• Notes due Oct. 31, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NWU7
• 0% return notes due Jan 30, 2015 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVZ7
• 0% capped buffered return enhanced notes due Oct. 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVY0
• 0% capped buffered return enhanced notes due Oct. 30, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVX2
• 5.25% to 7.25% autocallable yield notes due Oct. 31, 2014 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVS3
• 6.25% to 8.25% autocallable yield notes due Oct. 31, 2014 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NVR5
• Market-linked notes with contingent coupon due Oct. 31, 2023 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48126NWV5
• 0% buffered Performance Leveraged Upside Securities due Dec. 4, 2014 linked to the Russell 2000 index; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC; pricing Oct. 31; Cusip: 48126H266
• 0% Performance Leveraged Upside Securities due Dec. 4, 2014 linked to the S&P 500 index; via J.P. Morgan Securities LLC and Morgan Stanley Smith Barney LLC; pricing Oct. 31; Cusip: 48126H274
MORGAN STANLEY
• Phoenix autocallable securities due Oct. 29, 2014 linked to the ordinary shares of UBS AG; via Morgan Stanley & Co. LLC; pricing Oct. 11; Cusip: 61761JMG1
• 0% lock-in buffered securities due Oct. 31, 2018 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Oct. 28; Cusip: 61761JMD8
• 0% market-linked notes due Oct. 29, 2021 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Oct. 28; Cusip: 61761JMC0
• 0% trigger Performance Leveraged Upside Securities due Oct. 30, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 28; Cusip: 61761JLZ0
• Contingent income securities due Oct. 31, 2028 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 28; Cusip: 61761JMB2
• Contingent income securities due Oct. 31, 2028 linked to S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 28; Cusip: 61761JMA4
• 0% trigger performance securities due Oct. 31, 2018 linked to the S&P 500 index; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Oct. 28; Cusip: 61762W208
• 0% trigger performance securities due Oct. 31, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Oct. 28; Cusip: 61762W216
• Contingent coupon notes due Oct. 31, 2033 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 28; Cusip: 61761JLY3
• Contingent income securities due Oct. 31, 2028 linked to the S&P 500 index, Russell 2000 index and Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 28; Cusip: 61761JLW7
• 0% trigger performance securities due Oct. 31, 2018 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Oct. 29; Cusip: 61762W224
• Fixed-to-floating-rate leveraged CMS curve and Russell 2000 index-linked notes due Oct. 31, 2033; via Morgan Stanley & Co. LLC; settlement Oct. 31; Cusip: 61760QDN1
• Contingent income autocallable securities due October 2016 with step-up redemption threshold level linked to Bank of America Corp. shares; 72% trigger; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 61762W349
• 0% dual directional trigger Performance Leveraged Upside Securities due April 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 61762W257
• 0% participation securities due April 2015 linked to the Morgan Stanley Systematic Volatility index; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 61761JLN7
• 0% trigger participation securities due October 2016 linked to the S&P 500 index; 75% trigger; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 61762W331
• 0% commodity-linked notes due April 2019 tied to West Texas Intermediate light sweet crude oil; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 61762GAG9
ROYAL BANK OF CANADA
• 14.5% reverse convertible notes due Jan. 16, 2014 linked to Abercrombie & Fitch Co. common stock; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UFU6
• 10% reverse convertible notes due Jan. 16, 2014 linked to Delta Air Lines, Inc. common stock; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UFW2
• Contingent income autocallable securities due October 2016 linked to eBay Inc. shares; 75% trigger; via RBC Capital Markets LLC with with Morgan Stanley Wealth Management; pricing Oct. 11; Cusip: 78009Q653
• 14.5% reverse convertible notes due Jan. 16, 2014 linked to Facebook, Inc. common stock; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UFX0
• 8% annualized reverse convertible notes due April 16, 2014 linked to Freeport-McMoRan Copper & Gold In. shares; 80% trigger; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UGC5
• 11.25% annualized reverse convertible notes due April 16, 2014 linked to Goodyear Tire & Rubber Co. shares; 80% trigger; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UGD3
• 9.5% annualized reverse convertible notes due April 16, 2014 linked to Joy Global Inc. shares; 80% trigger; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UGE1
• 10.25% reverse convertible notes due Jan. 16, 2014 linked to the common stock of KB Home; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UFY8
• 10.75% annualized reverse convertible notes due April 16, 2014 linked to Michael Kors Holdings Ltd. shares; 80% trigger; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UGF8
• Contingent income autocallable securities due October 2016 linked to Mosaic Co. shares; 75% trigger; via RBC Capital Markets LLC with with Morgan Stanley Wealth Management; pricing Oct. 11; Cusip: 78009Q661
• 15% reverse convertible notes due Jan. 16, 2014 linked to the common stock of Netflix Inc.; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UFZ5
• 9% reverse convertible notes due Jan. 16, 2014 linked to Peabody Energy Corp. common stock; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UFV4
• 15% reverse convertible notes due Jan. 16, 2014 linked to the common stock of PulteGroup Inc.; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UGA9
• 8.75% reverse convertible notes due Jan. 16, 2014 linked to the common stock of United States Steel Corp.; via RBC Capital Markets LLC; pricing Oct. 11; Cusip: 78010UGB7
• 0% contingent absolute return autocallable optimization securities due Oct. 20, 2014 linked to Weatherford International Ltd. shares; 75% trigger; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Oct. 11; Cusip: 78009Q679
• 0% contingent absolute return autocallable optimization securities due Oct. 20, 2014 linked to Yahoo! Inc. shares; 75% trigger; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Oct. 11; Cusip: 78009Q687
• Redeemable step-up notes due Oct. 23, 2025; via RBC Capital Markets, LLC; settlement Oct. 23; Cusip: 78010UCX3
• Callable monthly range accrual notes due Oct. 30, 2028 linked to the Russell 2000 index; 50% trigger; via Goldman Sachs & Co.; pricing Oct. 25; Cusip: 38147QZN9
• 0% contingent return optimization securities due April 29, 2016 linked to the Russell 2000 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Oct. 28; Cusip: 78009Q554
• 0% contingent return optimization securities due April 29, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Oct. 28; Cusip: 78009Q562
• 0% bullish barrier enhanced return notes due Nov. 2, 2016 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Oct. 29; Cusip: 78010UFQ5
• 0% bullish barrier enhanced return notes due Nov. 2, 2016 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Oct. 29; Cusip: 78010UFT9
• 0% Performance Leveraged Upside Securities due December 2014 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC and Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 78009Q588
• 0% Accelerated Return Notes due January 2015 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
• 0% Strategic Accelerated Redemption Securities due October 2014 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Strategic Accelerated Redemption Securities due October 2014 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% direct investment notes due Dec. 8, 2014 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; settling Nov. 8; Cusip: 78010UGL5
• 18- to 21-month 0% leveraged buffered notes tied to the iShares MSCI EAFE index fund; 90% trigger; via Goldman Sachs & Co.
• 15- to 17-month 0% buffered equity index-linked notes tied to the MSCI EAFE index; 85% trigger; via Goldman Sachs & Co.
AB SVENSK EXPORTKREDIT
• 0% Accelerated Return Notes due January 2015 linked to the MSCI EAFE index; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due January 2015 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
UBS AG, LONDON BRANCH
• 0% quarterly review notes due Oct. 22, 2014 linked to the Brent crude oil futures contracts on the IntercontinentalExchange's ICE Future Europe; via JPMorgan Chase Bank, NA, J.P. Morgan Securities LLC and UBS Investment Bank; pricing Oct. 11; Cusip: 90270KAK5
• 8.4% to 10.4% airbag autocallable yield optimization notes due Oct. 20, 2014 linked to Cliffs Natural Resources Inc. shares; 55% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 11; Cusip: 90271M682
• 4.5% to 6% airbag autocallable yield optimization notes due Oct. 20, 2014 linked to Corning Inc. shares; 85% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 11; Cusip: 90271M708
• 7.5% to 9.5% airbag autocallable yield optimization notes due Oct. 20, 2014 linked to Cubist Pharmaceuticals Inc. shares; 80% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 11; Cusip: 90271M674
• 4.5% to 6% airbag autocallable yield optimization notes due Oct. 20, 2014 linked to eBay Inc. shares; 85% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 11; Cusip: 90271M690
• Trigger phoenix autocallable optimization securities due Oct. 17, 2018 linked to the common stock of MetLife, Inc.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 11; Cusip: 90271M732
• 6.7% to 8.7% airbag autocallable yield optimization notes due Oct. 20, 2014 linked to Micron Technology Inc. shares; 70% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 11; Cusip: 90271M716
• Trigger phoenix autocallable optimization securities due Oct. 17, 2018 linked to the common stock of Occidental Petroleum Corp.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 11; Cusip: 90271M740
• Contingent income autocallable securities due Oct. 22, 2020 linked to the worst performing of the Euro Stoxx 50 index, the Russell 2000 index and the Topix index; 50% trigger; UBS Securities LLC with Morgan Stanley Smith Barney LLC; pricing Oct. 18; Cusip: 90271M641
• 0% trigger step performance securities due Oct. 31, 2017 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 28; Cusip: 90271M567
• 0% trigger step performance securities due Oct. 31, 2017 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 28; Cusip: 90271M559
• 0% trigger performance securities due Nov. 2, 2023 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; 50% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 28; Cusip: 90271M583
UNION BANK, NA
• 0% quarterly capped return market-linked certificates of deposit due Oct. 31, 2018 linked to the Dow Jones industrial average; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Oct. 28; Cusip: 90521APM4
• 0% quarterly capped return market-linked certificates of deposit due Oct. 31, 2017 linked to the PowerShares QQQ Trust, series 1; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Oct. 28; Cusip: 90521APP7
• 0% quarterly capped return market-linked certificates of deposit due Oct. 31, 2016 linked to the Russell 2000 index; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Oct. 28; Cusip: 90521APK8
• 0% quarterly capped return market-linked certificates of deposit due Oct. 31, 2018 linked to the S&P 500 index; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Oct. 28; Cusip: 90521APN2
• 0% quarterly capped return market-linked certificates of deposit due Oct. 31, 2017 linked to Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Oct. 29; Cusip: 90521APL6
WELLS FARGO & CO.
• 2.2%-2.4% access securities with upside participation to a cap and fixed percentage buffered downside due Oct. 19, 2016 linked to the iShares U.S. Real Estate exchange-traded fund; via Wells Fargo Securities, LLC; pricing Oct. 14; Cusip: 94986RRQ6
• 0% access securities with upside participation and contingent downside due Oct. 19, 2016 linked to the SPDR S&P 500 ETF trust; via Wells Fargo Securities, LLC; pricing Oct. 14; Cusip: 94986RRR4
• Market-linked notes due May 7, 2020 tied to SPDR S&P 500 ETF Trust, the SPDR S&P MidCap 400 ETF Trust and the iShares Russell 2000 ETF; via Wells Fargo Securities, LLC; pricing Oct. 31; Cusip: 94986RRS2
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