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Structured Products Calendar
BANK OF AMERICA CORP.
• Capped notes due Sept. 23, 2033 linked to the 30-year Constant Maturity Swap rate and the two-year CMS rate; via BofA Merrill Lynch; settling Sept. 23; Cusip: 06048WPE4
• Redeemable step-up coupon notes due Sept. 26, 2025; via BMO Capital Markets Corp.; settlement Sept. 26; Cusip: 06366RRA5
• 0% market-linked step-up notes due September 2016 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in September
• 0% leveraged index return notes due September 2017 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due December 2014 linked to gold; via BofA Merrill Lynch; pricing in September
• 0% Market Index Target-Term Securities due September 2019 linked to the Merrill Lynch Commodity index eXtra - Excess Return; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due November 2014 tied to the NYSE Arca Gold Miners index; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due November 2014 linked to the PHLX Housing Sector index; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due November 2014 tied to the PHLX Housing Sector index; via BofA Merrill Lynch; pricing in September
• 0% autocallable market-linked step-up notes due September 2016 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due November 2014 linked to the S&P 100 index; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due November 2014 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in September
• 0% market-linked step-up notes due September 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in September
• Capped Leveraged Index Return Notes due September 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in September
• 0% autocallable market-linked step-up notes due September 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in September
• 0% market-linked step-up notes due September 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in September
• 0% market-linked step-up notes due September 2016 linked to the S&P 500, Russell 2000, MSCI EAFE and MSCI Emerging Markets indexes; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due November 2014 linked to the S&P Oil & Gas Exploration and Production Select Industry index; via BofA Merrill Lynch; pricing in September
• 0% Accelerated Return Notes due November 2014 tied to the S&P Oil & Gas Exploration and Production Select Industry index; via BofA Merrill Lynch; pricing in September
BANK OF MONTREAL
• Principal-at-risk CMS steepener and S&P 500 index-linked notes due Sept. 18, 2028; via Barclays; settling Sept. 18; Cusip: 06741TJ96
• Notes due Sept. 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., Walgreen Co., Wells Fargo & Co. and Verizon Communications Inc.; via Barclays; pricing Sept. 24; Cusip: 06741TG92
• 0% buffered bullish enhanced return notes due Sept. 30, 2015 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Sept. 25; Cusip: 06366RQU2
• 0% barrier bullish return notes due Sept. 28, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Sept. 25; Cusip: 06366RQY4
• 0% autocallable cash-settled notes with step-up call price due Sept. 30, 2015 linked to the Market Vectors Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Sept. 25; Cusip: 06366RQX6
• Autocallable barrier notes with step-up call price due Sept. 30, 2015 linked to the Russell 2000 index; 85% trigger; via BMO Capital Markets Corp.; pricing Sept. 25; Cusip: 06366RQV0
• 0% upside booster notes with barrier due Sept. 28, 2018 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Sept. 25; Cusip: 06366RQT5
• 0% upside booster notes with barrier due Sept. 28, 2018 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Sept. 25; Cusip: 06366RQS7
• 0% trigger return optimization securities due Sept. 30, 2016 linked to the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and Barclays; pricing Sept. 26; Cusip: 06742D150
BANK OF NOVA SCOTIA
• Equity-linked notes due September 2016 tied to the Raymond James Analyst Current Favorites Total Return index; via Scotia Capital (USA) Inc.; pricing Sept. 18; Cusip: 064159BL9
BARCLAYS BANK DELAWARE
• Certificates of deposit due Sept. 27, 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 Sept. 24; Cusip: 06740AC23
• Certificates of deposit due Sept. 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 Sept. 24; Cusip: 06740AC56
• Certificates of deposit due Sept. 30, 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 Sept. 24; Cusip: 06740AC31
• 0% certificates of deposit due Sept. 29, 2020 linked to the Dow Jones-UBS Commodity index; via Barclays with Incapital LLC as distributor; pricing Sept. 24; Cusip: 06740AC80
• 0% certificates of deposit due Sept. 29, 2020 linked to the Euro Stoxx 50 index; via Barclays with Incapital LLC; pricing Sept. 24; Cusip: 06740AC64
• 0% certificates of deposit due Sept. 27, 2019 linked to the Hang Seng, Euro Stoxx 50 and FTSE 100 indexes; via Barclays and Incapital LLC; pricing Sept. 24; Cusip: 06740AC49
• 0.25% to 0.5% certificates of deposit due Sept. 27, 2018 linked to the S&P 500 index; via Barclays and Incapital LLC; pricing Sept. 24; Cusip: 06740AB99
• 0% certificates of deposit due Sept. 29, 2020 linked to the S&P 500 index; via Barclays with Incapital LLC; pricing Sept. 24; Cusip: 06740AB81
• Certificates of deposit due Sept. 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 Sept. 24; Cusip: 06740AC72
BARCLAYS BANK PLC
• Phoenix autocallable notes due Oct. 1, 2014 linked to Ford Motor Co. common stock; via Barclays, JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 06741TK22
• Phoenix autocallable notes due Oct. 1, 2014 linked to Macy's Inc. common stock; via Barclays, JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 06741TK48
• Phoenix autocallable notes due Oct. 1, 2014 linked to Prudential Financial, Inc. common stock; via Barclays, JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 06741TK30
• Step-up fixed-rate callable notes due Sept. 19, 2023; via Barclays; pricing Sept. 16; Cusip: 06741TH83
• 9.75% reverse convertible notes due Sept. 15, 2014 linked to Valeant Pharmaceuticals International, Inc. stock; via Barclays Capital; pricing Sept. 16; Cusip: 06741J3Z0
• Principal-at-risk callable dual barrier fixed-rate notes due Sept. 27, 2023 linked to the 10-year Constant Maturity Swap rate and the Russell 2000 index; via Barclays; pricing Sept. 24; Cusip: 06741TK97
• 0% buffered Super Track notes due Sept. 28, 2017 linked to the Dow Jones industrial average; via Barclays; pricing Sept. 25; Cusip: 06741TJ24
• Callable contingent payment notes due Sept. 28, 2018 linked to the Market Vectors Gold Miners exchange-traded fund; via Barclays; pricing Sept. 25; Cusip: 06741TH34
• Callable contingent payment notes due Sept. 29, 2023 linked to the Russell 2000 index; via Barclays; pricing Sept. 25; Cusip: 06741TH26
• Annual reset coupon buffered notes due Sept. 30, 2019 linked to the Russell 2000 index; via Barclays; pricing Sept. 25; Cusip: 06741TH91
• 0% buffered Super Track notes due March 30, 2017 linked to the S&P 500 index; via Barclays; pricing Sept. 25; Cusip: 06741TG68
• Callable contingent quarterly payment notes due Sept. 29, 2016 linked to the S&P 500 index, the Russell 2000 index and the iShares MSCI EAFE exchange-traded fund; via Barclays; pricing Sept. 25; Cusip: 06741TH67
• 0% annual autocallable notes due Sept. 29, 2016 linked to the lesser performing of the SPDR S&P MidCap 400 exchange-traded fund and the Russell 2000 index; via Barclays; pricing Sept. 25; Cusip: 06741TH75
• 0% trigger performance securities due Sept. 28, 2018 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via UBS Financial Services Inc. and Barclays; pricing Sept. 25; Cusip: 06742D127
• 0% Performance Leveraged Upside Securities due Nov. 5, 2014 linked to the Euro Stoxx 50 index; via Barclays with Morgan Stanley Smith Barney LLC; pricing Sept. 30; Cusip: 06742D168
• 0% Accelerated Return Notes due October 2014 linked to Cisco Systems Inc. shares; via BofA Merrill Lynch; pricing in September
• 0% market-linked step-up notes due September 2015 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in September
• 9% STEP Income Securities due October 2014 linked to Hartford Financial Services Group, Inc. shares; via BofA Merrill Lynch; pricing in September
• 0% digital notes linked to the S&P 500 index; via Barclays; pricing in September; Cusip: 06741TJ57
• 0% notes due Oct. 7, 2016 linked to the EquityCompass Share Buyback index; via Barclays; pricing Oct. 4; Cusip: 06741TJ81
• 21- to 24-month 0% leveraged buffered notes linked to the MSCI EAFE index; via Barclays; Cusip: 06741TJ40
• 18- to 21-month 0% buffered notes linked to the S&P 500 index; via Barclays; Cusip: 06741TJ32
• 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
CITIBANK, NA
• Callable fixed-to-inverse-floating-rate market-linked certificates of deposit due Sept. 30, 2033 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Sept. 25; Cusip: 172986GT2
CITIGROUP INC.
• Non-callable fixed-to-floating notes due Sept. 27, 2018; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip: 1730T0VB2
• 0% digital securities due March 27, 2015 linked to Apple Inc. common stock; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip: 1730T0VF3
• Fixed-to-floating-rate notes due Sept. 27, 2020 linked to the Consumer Price Index; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip: 1730T0VC0
• Autocallable contingent coupon notes due Sept. 27, 2018 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip: 1730T0UZ0
• 0% enhanced barrier digital plus securities due Sept. 27, 2018 linked to the iShares MSCI EAFE exchange-traded fund; 70% trigger; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip: 1730T0UV9
• Fixed-to-float trigger securities due Sept. 29, 2020 linked to the Russell 2000 index; via Citigroup Global Markets Inc. and Morgan Stanley Smith Barney LLC; pricing Sept. 24; Cusip: 1730T0VE6
• 0% Accelerated Return Notes due June 29, 2017 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Sept. 25; Cusip: 1730T0VA4
• 0% trigger step performance securities due Sept. 29, 2017 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Sept. 25; Cusip: 17321F706
• 0% trigger performance securities due Sept. 28, 2018 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Sept. 26; Cusip: 17321F805
• 0% dual directional trigger Performance Leveraged Upside Securities due April 3, 2019 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Sept. 30; Cusip: 17321F300
• 0% buffered Performance Leveraged Upside Securities due April 4, 2016 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Sept. 30; Cusip: 17321F508
CREDIT SUISSE AG
• High/low coupon callable yield notes due March 20, 2015 linked to the Euro Stoxx 50 index, the iShares MSCI Emerging Markets index fund and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Sept. 17; Cusip: 22547QB47
• Contingent coupon callable yield notes due Sept. 20, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 17; Cusip: 22547QAU0
• 0% accelerated barrier notes due March 27, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 20; Cusip: 22547QAE6
• 0% accelerated barrier notes due Sept. 27, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 20; Cusip: 22547QAF3
• Contingent coupon yield notes due Sept. 27, 2019 linked to the Russell 2000 index; 70% trigger; Credit Suisse Securities (USA) LLC; pricing Sept. 20; Cusip: 22547QAG1
• 0% Buffered Accelerated Return Equity Securities due Sept. 27, 2017 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 24; Cusip: 22547QAH9
• 0% accelerated barrier notes due Sept. 29, 2017 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 25; Cusip: 22547QAJ5
• High/low coupon callable yield notes due March 30, 2015 linked to the Euro Stoxx 50 index and the iShares MSCI Emerging Markets exchange-traded fund; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 25; Cusip: 22547QAN6
• Callable daily range accrual securities due June 28, 2019 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 25; Cusip: 22547QB21
• 0% cert plus securities due Sept. 29, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 25; Cusip: 22547QAQ9
• High/low coupon callable yield notes due March 30, 2015 linked to the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 25; Cusip: 22547QAK2
• 0% Buffered Accelerated Return Equity Securities due Sept. 30, 2016 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 26; Cusip: 22547QAV8
• Contingent coupon callable yield notes Oct. 2, 2018 linked to the S&P 500 index and the Russell 2000 index; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip: 22547QB54
•0% accelerated barrier notes due Oct. 3, 2017 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip: 22547QAP1
• High/low coupon callable yield notes due Oct. 3, 2014 linked to the Euro Stoxx 50 index and the iShares MSCI Emerging Markets exchange-traded fund; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip: 22547QAT3
• 0% cert plus securities due Oct. 3, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip: 22547QAM8
• High/low coupon callable yield notes due April 3, 2015 linked to the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; 55% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip: 22547QAS5
• 42-month 0% Accelerated Return Notes linked to the Euro Stoxx 50 index; via Barclays; pricing in September; Cusip: 22547QAX4
• 0% buffered return equity securities due March 13, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; Cusip: 22547QA89
CREDIT SUISSE AG, LONDON BRANCH
• High/low coupon buffered securities due Sept. 28, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip: 22547QAW6
• 21- to 24-month 0% leveraged buffered index-linked notes tied to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing in September; Cusip: 22547QB39
DEUTSCHE BANK AG, LONDON BRANCH
• 5%-6.8% annualized airbag yield optimization notes due March 18, 2014 linked to Assured Guaranty Ltd. common stock; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Sept. 12; Cusip: 25155L384
• 6%-7.5% annualized airbag yield optimization notes due March 18, 2014 linked to Verifone Systems, Inc. common stock; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Sept. 12; Cusip: 25155L392
• 0% capped knock-out notes due Oct. 1, 2014 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 25152REN9
• 0% trigger performance securities due Sept. 29, 2023 linked to the S&P 500 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Sept. 25; Cusip: 25155L459
• 0% trigger performance securities due Sept. 28, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Sept. 26; Cusip: 25155L517
• 0% Accelerated Return Securities due November 2014 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in September
GOLDMAN SACHS BANK USA
• 0% index-linked certificates of deposit due Sept. 27, 2019 tied to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co. with Incapital LLC; pricing Sept. 24; Cusip: 38147JLE0
• Contingent coupon index-linked certificates of deposit due Sept. 25, 2020 tied to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co. with Incapital LLC; pricing Sept. 24; Cusip: 38147JLG5
• 0% equity index-linked certificates of deposit due Sept. 27, 2019 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 Goldman Sachs & Co. with Incapital LLC; pricing Sept. 24; Cusip: 38147JLL4
• Contingent coupon certificates of deposit due 2020 linked to Apple Inc., Cisco Systems, Inc., Freeport-McMoRan Copper & Gold Inc., Kimberly-Clark Corp., McDonald's Corp., Merck & Co., Inc., Proctor & Gamble Co., Target Corp., Walgreen Co. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. with Incapital LLC; pricing Sept. 25; Cusip: 38147JLH3
• Variable-coupon basket-linked certificates of deposit due 2020 linked to Apple Inc., Cisco Systems, Inc., Freeport-McMoRan Copper & Gold Inc., Kimberly-Clark Corp., McDonald's Corp., Merck & Co., Inc., Proctor & Gamble Co., Target Corp., Walgreen Co. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. with Incapital LLC; pricing Sept. 25; Cusip: 38147JLJ9
GOLDMAN SACHS GROUP, INC.
• Autocallable monthly index-linked range accrual notes due Sept. 18, 2023 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Goldman, Sachs & Co.; pricing Sept. 13; Cusip: 38147QUS3
• Callable monthly Russell 2000 index-linked range accrual notes due Sept. 27, 2023; via Goldman Sachs & Co.; pricing Sept. 24; Cusip: 38147QSW7
• Callable monthly Russell 2000 index-linked range accrual notes due Sept. 27, 2023; via Goldman Sachs & Co.; pricing Sept. 24; Cusip: 38147QTA4
• Variable-coupon notes due Sept. 30, 2020 linked to the common stocks of Apple Inc., Deere and Co., Duke Energy Corp., Eli Lilly and Co., Freeport-McMoRan Copper & Gold Inc., Intel Corp., Merck & Co., Inc., Microsoft Corp., Mondelez International, Inc. and Pfizer Inc.; via Goldman Sachs & Co.; pricing Sept. 25; Cusip: 38147QSJ6
• Variable-coupon basket-linked notes due Sept. 30, 2020 linked to the common stocks of Apple Inc., Deere and Co., Duke Energy Corp., Eli Lilly and Co., Freeport-McMoRan Copper & Gold Inc., Intel Corp., Merck & Co., Inc., Microsoft Corp., Mondelez International, Inc. and Pfizer Inc.; via Goldman Sachs & Co.; pricing Sept. 25; Cusip: 38147QTW6
• Callable buffered monthly range accrual notes due June 28, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Sept. 25; Cusip: 38147QRW8
• 0% leveraged notes due Oct. 1, 2020 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Sept. 26; Cusip: 38147QSE7
• Callable monthly range accrual notes due Sept. 30, 2028 linked to six-month Libor and the Russell 2000 index; via Goldman Sachs & Co.; pricing Sept. 26; Cusip: 38147QRS7
• 0% buffered index-linked digital notes due Sept. 29, 2016 tied to the Russell 2000 index; via Goldman Sachs & Co.; pricing Sept. 26; Cusip: 38147QTE6
• Callable monthly Russell 2000 index-linked range accrual notes due Sept. 30, 2028; via Goldman Sachs & Co.; pricing Sept. 26; Cusip: 38147QRN8
• Callable buffered monthly Russell 2000 index-linked range accrual notes due Sept. 30, 2028; via Goldman Sachs & Co.; pricing Sept. 26; Cusip: 38147QKN5
• 0% buffered notes due Oct. 1, 2018 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Sept. 26; Cusip: 38147QSS6
• Callable step-up fixed-rate notes due September 2029; via Goldman Sachs & Co. and Incapital LLC; pricing in September; Cusip: 38147QTS5
• Callable step-up fixed-rate notes due March 2022; via Goldman Sachs & Co. and Incapital LLC; settlement in September; Cusip: 38147QSA5
• 15-year callable quarterly CMS spread-linked notes; via Goldman Sachs & Co.; Cusip: 38147QUW4
• 18- to 21-month 0% leveraged notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.
• 0% leveraged notes linked to the Euro Stoxx 50 index due in 18 to 21 months; via Goldman Sachs & Co.
• 0% notes linked to the Euro Stoxx 50 index due in 24 to 27 months; 90% trigger; via Goldman Sachs & Co.
• 36- to 40-month 0% leveraged buffered index-linked notes tied to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QAC0
• 0% leveraged buffered notes due 2018 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QRA6
• Callable monthly Euro Stoxx 50 index-linked range accrual notes due Sept. 26, 2028; 50% trigger; via Goldman Sachs & Co.; Cusip: 38147QUA2
• 24- to 27-month 0% leveraged buffered index-linked notes tied to the MSCI EAFE index; via Goldman Sachs & Co.
• 0% leveraged notes tied to the MSCI EAFE index due in 25 to 28 months; 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 24-27 months linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38147QAE6
• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.
• 0% index-linked notes due 2015 tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147QUE4
• 24- to 27-month 0% leveraged notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 36- to 39-month 0% buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 0% leveraged buffered notes due in five years linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147QAD8
• 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.
• 0% airbag performance securities due Sept. 18, 2023 linked to the S&P 500 index; 65% trigger; via HSBC Securities (USA) Inc. with UBS Financial Services Inc.; pricing Sept. 12; Cusip: 40433X233
• Autocallable notes due Sept. 19, 2016 linked to S&P 500 index and the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Sept. 13; Cusip: 40432XKP5
• 0% buffered Accelerated Market Participation Securities due Sept. 27, 2016 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Sept. 20; Cusip: 40432XL25
• 0% buffered Accelerated Market Participation Securities due Sept. 27, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Sept. 20; Cusip: 40432XKZ3
• 0% buffered Accelerated Market Participation Securities due Sept. 27, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 20; Cusip: 40432XKY6
• 0% digital-plus barrier notes due Sept. 27, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 20; Cusip: 40432XL33
• Fixed-to-floating notes due Sept. 12, 2023; via HSBC Securities (USA) Inc.; settlement Sept. 23; Cusip: 40432XKX8
• Fixed-to-floating notes due Sept. 26, 2023; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKQ3
• 0% buffered Accelerated Market Participation Securities due Sept. 28, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; 90% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKC4
• 0% Accelerated Market Participation Securities due March 26, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKJ9
• 0% buffered Accelerated Market Participation Securities due Sept. 28, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; 90% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKF7
• 0% Accelerated Market Participation Securities due March 26, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKH3
• 0% buffered Accelerated Market Participation Securities due Sept. 28, 2015 linked to the Russell 2000 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKB6
• 0% buffered Accelerated Market Participation Securities due Sept. 28, 2015 linked to the Russell 2000 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKE0
• 0% Accelerated Market Participation Securities due March 26, 2015 linked to the S&P 500 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKG5
• 0% buffered Accelerated Market Participation Securities due Sept. 28, 2015 linked to the S&P 500 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKA8
• 0% buffered Accelerated Market Participation Securities due Sept. 28, 2015 linked to the S&P 500 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip: 40432XKD2
• Income plus notes due Sept. 28, 2020 linked to a basket of common stocks (AT&T Inc., General Electric Co., Hewlett-Packard Co., Intel Corp. and Pfizer Inc.); via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip: 40432XKV2
• Income plus notes due Sept. 28, 2020 linked to a basket of common stocks (AT&T Inc., General Electric Co., Hewlett-Packard Co., Intel Corp. and Pfizer Inc.); via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip: 40432XKU4
•0% buffered uncapped market participation securities due Sept. 27, 2017 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip: 40432XKK6
• 0% buffered uncapped market participation securities due Sept. 27, 2016 linked to the Euro Stoxx 50 index; 85% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip: 40432XL58
• 0% buffered market participation securities due Sept. 27, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip: 40432XKM2
• 0% buffered uncapped market participation securities due March 27, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip: 40432XKL4
• 0% buffered uncapped market participation securities due Sept. 27, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip: 40432XKN0
• 0% leveraged buffered uncapped market participation securities due Sept. 27, 2016 linked to the PowerShares S&P 500 Low Volatility Portfolio ETF; via HSBC Securities (USA) Inc.; pricing Sept. 25; Cusip: 40432XK75
• 0% airbag performance securities due Sept. 28, 2018 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; 75% trigger; via HSBC Securities (USA) Inc. with UBS Financial Services Inc.; pricing Sept. 25; Cusip: 40433X258
• 0% 50/150 performance securities due Sept. 30, 2019 linked to the PowerShares S&P 500(r) Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Sept. 25; Cusip: 40432XL66
• 0% leveraged buffered uncapped market participation securities due Oct. 1, 2018 linked to the PowerShares S&P 500 Low Volatility Portfolio ETF; via HSBC Securities (USA) Inc.; pricing Sept. 25; Cusip: 40432XK91
• 0% uncapped Accelerated Market Participation Securities due Sept. 30, 2015 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Sept. 25; Cusip: 40432XK83
• 0% trigger performance securities due Sept. 28, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Sept. 25; Cusip: 40432XKQ3
• 5% to 6% autocallable yield notes due Dec. 30, 2014 linked to the S&P 500 index and the Russell 2000 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 25; Cusip: 40432XKT7
• 5.5% to 6.5% autocallable yield notes due Dec. 30, 2014 linked to the S&P 500 index and the Russell 2000 index; 75% trigger; via HSBC Securities (USA) Inc.; pricing Sept. 25; Cusip: 40432XKS9
• 0% airbag return optimization securities due Sept. 30, 2016 linked to the SPDR S&P 500 exchange-traded fund; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Sept. 25; Cusip: 40433X241
• 0% trigger performance securities due Sept. 29, 2023 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Sept. 26; Cusip: 40433X266
• 0% trigger Performance Leveraged Upside Securities due April 4, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. with Morgan Stanley Smith Barney LLC; pricing Sept. 30; Cusip: 40433X274
JPMORGAN CHASE BANK, NA
• Range accrual certificates of deposit due Sept. 18, 2028 linked to six-month Libor and the S&P 500 index; 77.5% trigger; via J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 48124J3J5
• Callable accrual certificates of deposit due Sept. 25, 2028 linked to six-month Libor and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Sept. 20; Cusip: 48124J4A3
• Digital contingent coupon certificates of deposit due Sept. 30, 2019 linked to Bristol-Myer's Squibb Co., Kimberly-Clark Corp., Coca-Cola Co., McDonald's Corp., Procter & Gamble Co., Philip Morris International Inc., Reynolds American Inc., Southern Co., AT&T Inc. and Unilever plc; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J3S5
• Digital contingent coupon certificates of deposit due Sept. 30, 2020 linked to Bristol-Myer's Squibb Co., Kimberly-Clark Corp., Coca-Cola Co., McDonald's Corp., Procter & Gamble Co., Philip Morris International Inc., Reynolds American Inc., Southern Co., AT&T Inc. and Unilever plc; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J3X4
• Digital contingent coupon certificates of deposit due Sept. 30, 2018 linked to Bristol-Myer's Squibb Co., Kimberly-Clark Corp., Coca-Cola Co., McDonald's Corp., Procter & Gamble Co., Philip Morris International Inc., Reynolds American Inc., Southern Co., AT&T Inc. and Unilever plc; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J3Q9
• Digital contingent coupon certificates of deposit due Sept. 30, 2019 linked to a basket of 10 equally weighted common stocks (Hewlett-Packard Co., Kinross Gold Corp., Lorillard, Inc., McDonald's Corp., Mead Johnson Nutrition Co., Duke Energy Corp., Raytheon Co., Time Warner Cable Inc., Verizon Communications Inc. and Walgreen Co.); via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J3T3
• Digital contingent coupon certificates of deposit due Sept. 30, 2020 linked to a basket of 10 equally weighted common stocks (Hewlett-Packard Co., Kinross Gold Corp., Lorillard, Inc., McDonald's Corp., Mead Johnson Nutrition Co., Duke Energy Corp., Raytheon Co., Time Warner Cable Inc., Verizon Communications Inc. and Walgreen Co.); via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J3W6
• 0% certificates of deposit due March 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J3C0
• 0% certificates of deposit due Dec. 31, 2018 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J2T4
JPMorgan Chase Bank, NA plans to price 0% certificates of deposit due Dec. 31, 2018 linked to the J.P. Morgan Mozaic Fixed Income index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48124J2V9
JPMORGAN CHASE & CO.
• Callable step-up fixed-rate notes due Sept. 18, 2033; via J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 48126D6V6
• 0% return notes due Oct. 1, 2014 linked to an equally weighted basket of common stocks of General Motors Co., Ford Motor Co., Tenneco Inc., Home Depot, Inc., Lowe's Cos., Inc., Costco Wholesale Corp., Lennar Corp., Eaton Corp. plc, Caterpillar Inc., Oshkosh Corp., EMC Corp., International Business Machines Corp., Vantiv, Inc., ON Semiconductor Corp., Xilinx, Inc. and Parametric Technology Corp.; via J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 48126NRQ2
• 12.1% upside autocallable reverse exchangeable notes due Oct. 1, 2014 linked to the class A common stock of Lennar Corp.; via J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 48126NRS8
• Autocallable contingent interest notes due Oct. 1, 2014 linked to Lennar Corp. class A common stock; via J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 48126NRR0
• 0% review notes due Sept. 23, 2016 linked to an equally weighted basket consisting of the S&P 500 index and the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Sept. 13; Cusip: 48126NQH3
• 11%-13% upside autocallable reverse exchangeable notes due Sept. 19, 2014 linked to the common stock of VeriFone Systems, Inc.; via J.P. Morgan Securities LLC; pricing Sept. 16; Cusip: 48126NRN9
• Callable fixed-to-floating-rate notes due Sept. 20, 2023 linked to the 30-year Constant Maturity Swap rate and the five-year CMS rate; J.P. Morgan Securities LLC; pricing Sept. 17; Cusip: 48126D6Y0
• Fixed-to-floating notes due Sept. 23, 2020 linked to the Consumer Price Index; via J.P. Morgan Securities LLC; pricing Sept. 18; Cusip: 48126D7A1
• 8.25% autocallable yield notes due Sept. 24, 2014 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via J.P. Morgan Securities LLC; pricing Sept. 19; Cusip: 48126NQG5
• Floating-rate notes due Sept. 25, 2020 linked to the Consumer Price Index; via J.P. Morgan Securities LLC; pricing Sept. 20; Cusip: 48126D7B9
• Callable contingent interest notes due Sept. 27, 2016 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Sept. 20; Cusip: 48126NQA8
• 0% capped buffered return enhanced notes due June 30, 2015 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQL4
• 0% capped buffered return enhanced notes due June 30, 2015 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQM2
• Notes due Sept. 28, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQZ3
• Contingent annual interest notes due Sept. 30, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQX8
• 0% return notes due Dec. 31, 2014 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQQ3
• 0% capped buffered return enhanced notes due June 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQK6
• 0% capped buffered return enhanced notes due Sept. 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQP5
• 7% to 9% autocallable yield notes due Sept. 30, 2014 linked to the Russell 2000 index and the iShares MSCI Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQT7
• 0% capped buffered return enhanced notes due Sept. 30, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQN0
• 0% autocallable notes due Sept. 30, 2016 linked to the lesser performing of the S&P 500 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NRK5
• 5.5% to 7.5% autocallable yield notes due Sept. 30, 2014 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQS9
• 6.5% to 8.5% autocallable yield notes due Sept. 30, 2014 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Sept. 25; Cusip: 48126NQR1
• Notes due March 29, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Sept. 26; Cusip: 48126NRP4
MORGAN STANLEY
• 0% market-linked notes due Sept. 30, 2020 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JLF4
• Contingent coupon notes due Sept. 30, 2033 linked to the worst performing of the Euro Stoxx 50 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JKY4
• Contingent income securities due Sept. 29, 2028 linked to the Russell 2000 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JLA5
• Contingent income securities due Sept. 29, 2028 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JKX6
• Floating-rate contingent income securities due Sept. 29, 2023 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JLC1
• Contingent income securities due Sept. 29, 2028 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JLB3
• Fixed-to-floating notes due Sept. 29, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JLD9
• 0% trigger step performance securities due March 31, 2017 linked to the S&P 500 index; 80% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Sept. 25; Cusip: 61762P740
• 0% Target Optimized Participation Securities due March 31, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JLE7
• 0% trigger performance securities due Sept. 28, 2018 linked to the S&P 500 index; 75% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Sept. 25; Cusip: 61762P815
• Contingent income autocallable step-up securities due Sept. 29, 2028 linked to the worst performing of the S&P 500 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Sept. 25; Cusip: 61761JKZ1
• 0% airbag performance securities due Sept. 29, 2023 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Sept. 26; Cusip: 61762P757
• Fixed-to-floating leveraged CMS curve and S&P 500 index-linked notes due Sept. 26, 2033; via Morgan Stanley & Co. LLC; settlement Sept. 26; Cusip: 61760QDL5
• Leveraged CMS curve and S&P 500 index-linked notes due Sept. 27, 2028 with barrier linked to the S&P 500 index; via Morgan Stanley & Co. LLC; settlement Sept. 27; Cusip: 61760QDJ0
• Fixed-to-floating leveraged CMS curve and S&P 500 index-linked notes due Sept. 30, 2028; via Morgan Stanley & Co. LLC; settlement Sept. 30; Cusip: 61760QDK7
• 0% buffered Performance Leveraged Upside Securities due March 2018 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing in September; Cusip: 61762P856
• 0% market-linked notes due September 2018 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing in September; Cusip: 61762P807
• 0% trigger Performance Leveraged Upside Securities due March 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Morgan Stanley & Co. LLC; pricing in September; Cusip: 61762P781
• Contingent income autocallable securities due September 2016 linked to JPMorgan Chase & Co. shares; 80% trigger; via Morgan Stanley & Co. LLC with Morgan Stanley Smith Barney LLC; pricing in September; Cusip: 61762P831
• 0% dual directional trigger Performance Leveraged Upside Securities due September 2015 linked to the Market Vectors Gold Miners exchange-traded fund; 80% trigger; via Morgan Stanley & Co. LLC with Morgan Stanley Wealth Management; pricing in September; Cusip: 61762P849
• Contingent income autocallable securities due September 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing in September; Cusip: 61761JLM9
• 0% Performance Leveraged Upside Securities due October 2014 linked to the S&P 500 index; via Morgan Stanley & Co. LLC with Morgan Stanley Smith Barney LLC; pricing in September; Cusip: 61762P773
• 0% dual directional trigger Performance Leveraged Upside Securities due March 2019 linked to the S&P 500 index; 65% trigger; via Morgan Stanley & Co. LLC with Morgan Stanley Wealth Management; pricing in September; Cusip: 61762P799
• Contingent income autocallable securities due September 2014 linked to Coach, Inc. common stock; via Morgan Stanley & Co. LLC and Morgan Stanley Wealth Management; pricing in September; Cusip: 61762P823
ROYAL BANK OF CANADA
• 7%-9% airbag autocallable yield optimization notes due Sept. 18, 2014 linked to ANN Inc. common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Sept. 12; Cusip: 78009Q406
• 5%-6.5% airbag autocallable yield optimization notes due Sept. 18, 2014 linked to Cummins Inc. common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Sept. 12; Cusip: 78009Q414
• 5%-6.2% airbag autocallable yield optimization notes due Sept. 18, 2014 linked to Halliburton Co. common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Sept. 12; Cusip: 78009Q422
• 8%-10.35% airbag autocallable yield optimization notes due Sept. 18, 2014 linked to Micron Technology, Inc. common stock; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Sept. 12; Cusip: 78009Q430
• 12.25% reverse convertible notes due March 18, 2014 linked to Abercrombie & Fitch Co. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCF2
• 11.75% reverse convertible notes due March 18, 2014 linked to ARM Holdings plc stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCG0
• 10% reverse convertible notes due March 18, 2014 linked to Biogen Idec Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCH8
• 8% reverse convertible notes due March 18, 2014 linked to Chesapeake Energy Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCJ4
• 15% reverse convertible notes due Dec. 18, 2013 linked to Delta Air Lines, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCB1
• 12.75% reverse convertible notes due March 18, 2014 linked to Facebook, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCK1
• Contingent income autocallable securities due September 2016 linked to the common stocks of Google Inc. and Nike Inc.; via RBC Capital Markets, LLC with distribution through Morgan Stanley Wealth Management; pricing Sept. 13; Cusip: 78009Q364
• 10% reverse convertible notes due Dec. 18, 2013 linked to KB Home stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCC9
• 11.25% reverse convertible notes due March 18, 2014 linked to lululemon athletica inc. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCL9
• 10.75% reverse convertible notes due Dec. 18, 2013 linked to Netflix Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCD7
• 13.5% reverse convertible notes due Dec. 18, 2013 linked to Peabody Energy Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCA3
• 12.5% reverse convertible notes due March 18, 2014 linked to Seagate Technology plc stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCM7
• 11% reverse convertible notes due Dec. 18, 2013 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCE5
• 10.75% reverse convertible notes due March 18, 2014 linked to Valero Energy Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 13; Cusip: 78010UCN5
• Fixed-to-floating-rate notes due Sept. 18, 2020; via RBC Capital Markets LLC; settling Sept. 18; Cusip: 78008SWZ5
• Redeemable step-up notes due Sept. 18, 2025; via RBC Capital Markets, LLC; settling Sept. 18; Cusip: 78008SWV4
• Redeemable step-up notes due Sept. 20, 2028; via RBC Capital Markets, LLC; settling Sept. 20; Cusip: 78010UCS4
• Buffered optimization securities due Oct. 31, 2014 linked to the Financial Select Sector SPDR fund; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Sept. 25; Cusip: 78009Q398
• 0% return optimization securities due Oct. 31, 2014 linked to the Russell 2000 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Sept. 25; Cusip: 78009Q349
• 0% airbag return optimization securities due Sept. 30, 2016 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Sept. 26; Cusip: 780009Q356
• Bullish barrier enhanced return notes due Sept. 28, 2016 linked to the Euro Stoxx 50 index; 70% trigger; via RBC Capital Markets, LLC; settling Sept. 30; Cusip: 78010UCP0
• 0% Strategic Accelerated Redemption Securities due October 2014 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in September
• 0% Strategic Accelerated Redemption Securities due October 2014 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in September
• 0% direct investment notes due Nov. 10, 2014 linked to the Equity Compass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Oct. 3; Cusip: 78010UEJ2
• 18- to 21-month 0% leveraged buffered notes tied to the iShares MSCI EAFE index fund; 90% trigger; via Goldman Sachs & Co.
• 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets exchange-traded fund; via RBC Capital Markets, LLC; Cusip: 78010UBX4
• 15- to 17-month 0% buffered equity index-linked notes tied to the MSCI EAFE index; 85% trigger; via Goldman Sachs & Co.
UBS AG, LONDON BRANCH
• 0% trigger autocallable optimization securities due Sept. 18, 2018 linked to the common stock of Comcast Corp.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 12; Cusip: 90271M351
• 0% trigger autocallable optimization securities due Sept. 18, 2018 linked to the common stock of Intel Corp.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 12; Cusip: 90271M344
• Contingent income autocallable securities due Sept. 19, 2018 linked to the worst performing of the Euro Stoxx 50 index, the Russell 2000 index and the MSCI Emerging Markets index; via UBS Securities LLC and Morgan Stanley Smith Barney LLC; pricing Sept. 13; Cusip: 90271M286
• Trigger phoenix autocallable optimization securities due Sept. 19, 2023 linked to the least performing of the Euro Stoxx 50 index and the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 13; Cusip: 90271M203
• Contingent income autocallable securities due Sept. 16, 2016 linked to Cobalt International Energy, Inc. shares; 60% trigger; via UBS Securities LLC with Morgan Stanley Smith Barney LLC; pricing Sept. 13; Cusip: 90271M302
• Call warrants expiring Sept. 18, 2018 linked the Euro Stoxx 50 index; via UBS Financial Services, Inc. and UBS Investment Bank; pricing Sept. 18; Cusip: 90271M260
• Call warrants expiring Sept. 18, 2018 linked the S&P 500 index; via UBS Financial Services, Inc. and UBS Investment Bank; pricing Sept. 18; Cusip: 90271M278
• 0% trigger performance securities due Sept. 28, 2018 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 25; Cusip: 90271M211
• 0% contingent return optimization securities due March 31, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 25; Cusip: 90271M229
• 0% trigger performance securities due Sept. 28, 2023 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; via UBS Securities LLC and UBS Investment Bank; pricing Sept. 25; Cusip: 90271M294
• 0% trigger performance securities due 2023 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; 50% trigger; via UBS Financial Services Inc. and UBS Investment Bank
UNION BANK, NA
• 0% average return market-linked certificates of deposit due Sept. 28, 2020 linked to the Dow Jones industrial average; via UnionBanc Investment Services, LLC with Incapital LLC as distributor; pricing Sept. 25; Cusip: 90521APC6
• 0% quarterly capped return market-linked certificates of deposit due Sept. 29, 2017 linked to the PowerShares QQQ Trust, Series 1; via UnionBanc Investment Services, LLC with Incapital LLC as distributor; pricing Sept. 25; Cusip: 90521APA0
• 0% quarterly capped return market-linked certificates of deposit due Sept. 30, 2016 linked to the Russell 2000 index; via UnionBanc Investment Services, LLC with Incapital LLC as distributor; pricing Sept. 25; Cusip: 90521ANW4
• 0% contingent return optimization securities due March 31, 2016 linked to the Russell 2000 index; 75% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 25; Cusip: 90271M237
• 0% quarterly capped return market-linked certificates of deposit due Sept. 28, 2018 linked to the S&P 500 index; via UnionBanc Investment Services, LLC with Incapital LLC as distributor; pricing Sept. 25; Cusip: 90521ANZ7
• Market-linked certificates of deposit due Sept. 28, 2018 linked to an equally weighted basket of four currencies (Australian dollar, Brazilian real, Canadian dollar and Norwegian krone) relative to the dollar; via UnionBanc Investment Services, LLC with Incapital LLC as distributor; pricing Sept. 26; Cusip: 90521ANY0
• 0% quarterly capped return market-linked certificates of deposit due Sept. 29, 2017 linked to the spot price of gold; via UnionBanc Investment Services, LLC with Incapital LLC as distributor; pricing Sept. 26; Cusip: 90521ANX2
WELLS FARGO & CO.
• Step-up callable notes due Sept. 18, 2030; via Wells Fargo Securities, LLC; pricing Sept. 13; Cusip: 94986RRK9
• 0% upside participation ETF-linked notes due Oct. 7, 2020 linked to the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via Wells Fargo Securities LLC; pricing Sept. 30; Cusip: 94986RRH6
• 0% upside participation ETF-linked notes due Oct. 7, 2019 linked to the Vanguard Total Stock Market index fund; via Wells Fargo Securities LLC; pricing Sept. 30; Cusip: 94986RRG8
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