Prospect News: Prospect News

E-mail us: service@prospectnews.com Or call: 212 374 2800

Bank Loans - CLOs - Convertibles - Distressed Debt - Emerging Markets
Green Finance - High Yield - Investment Grade - Liability Management
Preferreds - Private Placements - Structured Products

Add to balance / Manage account

User:

Log out

Prospect News home > News index > List of issuers Calendar > Headlines for 2018 > News item

Published on 11/9/2018 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Step-up callable notes due Nov. 19, 2025; via BofA Merrill Lynch; settlement on Nov. 19; Cusip: 06048WXY1

• Step-up callable notes due Nov. 30, 2028; via BofA Merrill Lynch; settlement on Nov. 30; Cusip: 06048WXZ8

BANK OF NOVA SCOTIA

• Autocallable market-linked step-up notes due November 2020 linked to the Energy Select Sector index; via BofA Merrill Lynch; pricing in November

• 0% capped Leveraged Index Return Notes due November 2020 linked to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in November

• 0% capped Leveraged Index Return Notes due January 2020 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2021 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% market-linked step-up notes due November 2020 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

BARCLAYS BANK PLC

• Contingent income autocallable securities due Nov. 19, 2021 linked to Home Depot, Inc. common stock; via Barclays as agent with Morgan Stanley Wealth Management as dealer; pricing Nov. 16; Cusip: 06746V636

• 0% buffered SuperTrack notes due Nov. 21, 2023 linked to the iShares MSCI Emerging Markets ETF and the iShares MSCI EAFE ETF; 50% trigger; via Barclays; pricing Nov. 16; Cusip: 06746XVN0

• 0% buffered SuperTrack notes due Feb. 21, 2020 linked to the S&P 500 index; via Barclays; pricing Nov. 16; Cusip: 06746XYE7

• Capital at-risk steepener notes due Nov. 25, 2019 linked to the spread between the 30-year U.S. dollar ICE swap rate and the two-year U.S. dollar ICE swap rate; via Barclays; pricing Nov. 19; Cusip: 06746XWW9

• 0% buffered SuperTrack notes due Nov. 25, 2020 linked to the S&P 500 index; via Barclays; pricing Nov. 20; Cusip: 06746XXY4

• Callable fixed- to floating-rate notes due Nov. 29, 2033 linked to the spread between the 30-year U.S. dollar ICE swap rate and the two-year U.S. dollar ICE swap rate; via Barclays; pricing Nov. 26; Cusip: 06746XY64

• 0% autocallable notes due Nov. 28, 2025 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Nov. 27; Cusip: 06746XXU2

• Callable contingent coupon notes due Nov. 30, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06746XXG3

• Phoenix autocallable notes due Nov. 30, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06746XWX7

• 0% dual directional notes due Nov. 30, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 27; Cusip: 06746XX32

• 0% dual directional notes due Nov. 30, 2020 linked to the lesser performing of the Euro Stoxx 50 index and the iShares MSCI EAFE ETF; via Barclays; pricing Nov. 30; Cusip: 06746XY31

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due June 7, 2021 linked to the iShares MSCI Emerging Markets ETF; via Barclays; pricing Nov. 30; Cusip: 06746XXD0

• 0% performance leveraged upside securities due Oct. 20, 2024 linked to the S&P 500 index; via Barclays Capital plc; pricing Nov. 30; Cusip: 06746V818

• 0% annual autocallable notes due Nov. 30, 2023 linked to the lesser performing index of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 30; Cusip: 06746XWC3

• 0% dual directional notes due May 28, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 30; Cusip: 06746XX65

• 0% notes due Nov. 30, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index with 95% floor; via Barclays; pricing Nov. 30; Cusip: 06746XX73

• 0% Accelerated Return Notes due January 2020 linked to an equally weighted basket of the common stocks of Citigroup Inc., JPMorgan Chase & Co. and Morgan Stanley & Co. LLC; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due November 2020 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

BOFA FINANCE LLC

• Contingent income autocallable securities due Nov. 30, 2028 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TLF6

• Contingent income autocallable notes due Dec. 1, 2025 linked to the worst performing of the Russell 2000 index and the S&P 500 index; 70% trigger; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TKB6

• 0% notes due Nov. 30, 2021 linked to the S&P 500 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TKX8

• Contingent income autocallable securities due May 29, 2026 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TKF7

• Contingent income autocallable notes due Nov. 30, 2028 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TJX0

• 0% leveraged notes due in 19 to 22 months linked to an unequally-weighted basket of indexes consisting of the Euro Stoxx index, Topix index, FTSE 100 index, Swiss Market index, S&P/ASX 200 index; via BofA Merrill Lynch; pricing in November; Cusip: 09709TKT7

• Market-linked step-up notes due November 2023 linked to a basket of indexes (MSCI Emerging Markets index with a weight of 50%, the Euro Stoxx 50 index with a weight of 20%, the FTSE 100 index with a weight of 10%, the Nikkei Stock Average index with a weight of 10%, the Swiss Market index with a weight of 3.75%, the S&P/ASX 200 index with a weight of 3.75% and the Hang Seng index with a weight of 2.5%); via BofA Merrill Lynch; pricing in November

• 0% capped Leveraged Index Return Notes due November 2020 linked to S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due in January 2020 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due Jan. 2020; linked to an international equity index basket; via BofA Merrill Lynch; pricing in November

CANADIAN IMPERIAL BANK OF COMMERCE

• 0% market-linked securities – autocallable with fixed percentage buffered downside due Dec. 5, 2022 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 13605WNB3

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due June 7, 2021 linked to the SPDR S&P 500 ETF trust; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 13605WNA5

• 0% Accelerated Return Notes due December 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WNC1

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WND9

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

• Autocallable securities due Nov. 17, 2023 linked to the least performing of the Russell 2000 index, the Dow Jones industrial average and the S&P 500 index; 65% trigger; via Citigroup Global Markets Inc.; pricing Nov. 14; Cusip: 17326YMW3

• Fixed-to-floating leveraged notes due November 2025 linked to the 30-year minus two-year CMS spread; via Citigroup Global Markets Holdings Inc.; pricing Nov. 16; Cusip: 17326YGS9

• Floating-rate notes due Nov. 20, 2023 linked to the Consumer Price Index; via Citigroup Global Markets Holdings Inc.; pricing Nov. 16; Cusip: 17326YVN3

• 0% step-down trigger autocallable notes due Nov. 21, 2023 linked to the Dow Jones Industrial Average and the Nasdaq-100 index; via UBS Financial Services Inc. and Citigroup Global Markets Inc.; pricing Nov. 16; Cusip: 17326X538

• 7% to 8% autocallable contingent coupon equity-linked securities due May 21, 2020 linked to Microsoft Corp. stock; via Citigroup Global Markets Inc.; pricing Nov. 16; Cusip: 17324XMC1

• Trigger autocallable contingent yield notes due Nov. 21, 2023 linked to the least performing of the S&P 500 index and the MSCI Emerging Markets index; via UBS Financial Services Inc. and Citigroup Global Markets Inc.; pricing Nov. 16; Cusip: 17326X793

• 0% enhanced barrier digital securities due Dec. 19, 2019 linked to the worst performing of the SPDR S&P Oil & Gas Exploration & Production ETF and the Energy Select Sector SPDR fund; via Citigroup Global Markets Holdings Inc.; pricing Nov. 16; Cusip: 17326YTG1

• Callable fixed-to-floating range accrual securities due Nov. 21, 2038 linked to the worst performing of the S&P 500 index and the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 19; Cusip: 17326YRN8

• 0% autocallable securities due Nov. 26, 2021 linked to the SPDR Dow Jones Industrial Average ETF trust and the Invesco QQQ Trust, Series 1; via Citigroup Global Markets Inc.; pricing Nov. 20; Cusip: 17324XKV1

• 8% to 9% autocallable contingent coupon equity-linked securities due Nov. 25, 2019 linked to Facebook, Inc. stock; via Citigroup Global Markets Inc.; pricing Nov. 20; Cusip: 17324XFR6

• 0% enhanced barrier digital plus securities due Dec. 1, 2021 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Citigroup Global Markets Inc.; pricing Nov. 26; Cusip: 17324XHF0

• 0% buffered digital notes due Dec. 2, 2021 linked to the Dow Jones Industrial Average; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YJK3

• 0% market-linked notes due Dec. 2, 2021 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YYU4

• 0% buffered digital plus securities due Nov. 30, 2023 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326Y3W4

• Autocallable contingent coupon equity-linked securities due Nov. 30, 2023 linked to the least performing of the Russell 2000 index, the Dow Jones industrial average and the Nasdaq-100 index; 60% trigger; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YLN4

• Autocallable contingent coupon equity-linked securities due June 1, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 70% trigger; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YEG7

• 0% dual directional buffer securities due Nov. 30, 2023 linked to the worse performing of the S&P 500 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YD94

• 0% enhanced barrier digital plus securities due Nov. 30, 2023 linked to the SPDR S&P 500 ETF; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip:17324XJD3

• Autocallable contingent coupon equity-linked securities due Dec. 1, 2023 linked to the lesser performing of the Euro Stoxx 50 index and the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 17326YA71

• Market-linked securities – autocallable with contingent coupon and contingent downside due Nov. 30, 2022 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc. and Wells Fargo Securities LLC; pricing Nov. 29; Cusip: 17326YT89

• Autocallable contingent coupon equity-linked securities due June 4, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 30; 17326YB47

• Barrier securities due Dec. 5, 2023 linked to the least performing of the Russell 2000 index and the S&P 500 index; 60% trigger; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326YX35

• Autocallable contingent coupon equity-linked securities due Dec. 5, 2023 linked to the least performing of the Russell 2000 index, the Dow Jones industrial average and the Nasdaq-100 index; 60% trigger; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326Y7B6

• 0% dual directional barrier digital securities due Dec. 5, 2023 linked to the S&P 500 index and the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326Y6H4

• Autocallable contingent coupon equity-linked securities due March 5, 2020 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326YRD0

• Autocallable contingent coupon equity-linked securities due Dec. 3, 2021 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326YLY0

• 0% buffered index-linked notes due in 20 to 23 months linked to the MSCI EAFE index; via Citigroup Global Markets Inc.; Cusip: 17326YHG4

• 0% absolute return trigger notes due in 24 to 27 months linked to the S&P 500 index; via Citigroup Global Markets Holdings Inc.; Cusip: 17326YSF4

CITIGROUP INC.

• Callable step-up coupon notes due Nov. 21, 2023; via Citigroup Global Markets Inc.; pricing Nov. 19; Cusip: 17298CGF9

CREDIT SUISSE AG, LONDON BRANCH

• Contingent coupon autocallable reverse convertible securities due Feb. 18, 2020 linked to the common stock of Advanced Micro Devices, Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 13; Cusip: 22549JZE3

• 9.75% contingent coupon autocallable yield notes due Feb. 18, 2020 linked to the common stock of Amazon.com, Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 13; Cusip: 22551LKG4

• 0% jump securities due Nov. 26, 2019 linked to the relative performance of the S&P 500 Value index over the S&P 500 Growth index; via Credit Suisse Securities (USA) LLC; pricing Nov. 14; Cusip: 22549R730

• 9.25% to 11.25% contingent coupon autocallable yield notes due Feb. 20, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 15; Cusip: 22551LHA1

• 7.25% to 9.25% contingent coupon autocallable yield notes due Feb. 20, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 15; Cusip: 22551LH78

• 7.25% to 9.25% contingent coupon autocallable yield notes due May 20, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 15; Cusip: 22551LH86

• 8.1% autocallable yield notes due Nov. 25, 2019 linked to the common stock of Amazon.com, Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip: 22551LKJ8

• Step-up contingent coupon callable yield notes due Nov. 22, 2021 linked to the worse performing of the Russell 2000 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip: 22551LJF8

• 16.5% contingent coupon autocallable reverse convertible securities due May 21, 2021 linked to the least performing of three stocks; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip: 22549JZB9

• 15% contingent coupon autocallable reverse convertible securities due May 21, 2021 linked to the least performing of four stocks; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip: 22549JZC7

• 0% digital barrier notes due May 29, 2020 linked to the worse performing of the iShares MSCI Emerging Markets ETF and the Euro Stoxx 50 index; 75% trigger; via BofA Merrill Lynch; pricing Nov. 21; Cusip: 22551LHT0

• 0% digital barrier notes due May 29, 2020 linked to the worse performing of the iShares MSCI Emerging Markets ETF and the Euro Stoxx 50 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 21; Cusip: 22551LHU7

• Contingent coupon autocallable reverse convertible securities due Nov. 30, 2021 linked to the least performing of the common stocks of Amazon.com Inc., Facebook, Inc., Alphabet, Inc. and Netflix, Inc.; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22549JZA1

• 0% digital plus CS notes due Dec. 3, 2024 linked to the FTSE 100 index; via Credit Suisse Securities (USA) LLC; priding Nov. 27; Cusip: 22551LK66

• 0% trigger absolute return step securities due Nov. 30, 2023 linked to the S&P 500 index; via UBS Financial Services Inc. as distributor; pricing Nov. 27; Cusip: 22549R821

• 7.25% to 9.25% contingent coupon autocallable yield notes due Feb. 28, 2020 linked to the lowest performing of the S&P 500 index and the Nasdaq-100 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22551LHJ2

• 0% buffered accelerated return equity securities due Jan. 2, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22551LHX1

• 7.25% to 9.25% contingent coupon autocallable yield notes due Feb. 28, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22551LHB9

• Callable step-up securities due Nov. 30, 2021; via Credit Suisse Securities (USA) LLC; pricing Nov. 28; Cusip: 22551LJB7

• 0% trigger jump securities due Dec. 3, 2021 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22549R722

• 0% absolute return barrier securities due Dec. 5, 2023 linked to the lowest performing of the iShares MSCI Emerging Markets fund and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22551LJT8

• 5.75% to 7.75% contingent coupon callable yield notes due Dec. 5, 2023 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22551LJD3

• 0% leveraged buffered notes due in 25 to 28 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, the FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via Credit Suisse Securities (USA) LLC; Cusip: 22551LKF6

GS FINANCE CORP.

• 0% autocallable notes due Nov. 28, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 13; Cusip: 40056EGF9

• 0% autocallable notes due Nov. 28, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 13; Cusip: 40056ECT3

• 0% leveraged buffered index-linked notes due Nov. 20, 2020 tied to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 13; Cusip: 40056ECF3

• 0% buffered digital notes due Nov. 18, 2021 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 13; Cusip: 40056EGE2

• 0% buffered notes due Nov. 20, 2023 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 13; Cusip: 40056ECE6

• Autocallable contingent coupon notes due May 20, 2020 linked to the least performing of the S&P 500 index, the Dow Jones industrial average and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 13; Cusip: 40056ECP1

• Autocallable contingent coupon notes due May 20, 2020 linked to the least performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 13; Cusip: 40056ECN6

• 0% leveraged buffered index-linked notes due Nov. 18, 2021 tied to the MSCI EAFE index; via Goldman Sachs & Co.; pricing Nov. 15; Cusip: 40056ECB2

• 0% leveraged buffered notes due Nov. 18, 2022 linked to a basket of indexes and fund (S&P 500 index with a 45.91% weight, the S&P MidCap 400 index with a 10.72% weight, the iShares MSCI EAFE Small Cap exchange-traded fund with a 9.56% weight, the MSCI Emerging Markets index with a 9.11% weight, the Euro Stoxx 50 index with an 8.71% weight, the Russell 2000 index with a 5.36% weight, the Topix index with a 5.23% weight, the FTSE 100 index with a 3.87% weight and the S&P/ASX 200 index with a 1.53% weight); via Goldman Sachs & Co.; pricing Nov. 15; Cusip: 40056EG85

• 0% leveraged buffered notes due May 19, 2022 linked to an unequally weighted basket of indexes and an exchange-traded fund (S&P 500 index with a 45.91% weight, the S&P MidCap 400 index with a 10.72% weight, the iShares MSCI EAFE Small Cap ETF with a 9.56% weight, the MSCI Emerging Markets index with a 9.11% weight, the Euro Stoxx 50 index with a 8.71% weight, the Russell 2000 index with a 5.36% weight, the Topix index with a 5.23% weight, the FTSE 100 index with a 3.87% weight and the S&P/ASX 200 index with a 1.53% weight); via Goldman Sachs & Co.; pricing Nov. 15; Cusip: 40056EG93

• 0% leveraged buffered index-linked notes due May 28, 2021 tied to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 40056ECD8

• 0% leveraged buffered index-linked notes due Nov. 30, 2021 tied to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 40056ECC0

• 0% leveraged notes due Jan. 26, 2021 linked to a basket of indexes (S&P 500 index with a 40% weight, the MSCI EAFE index with a 30% weight, the S&P MidCap 400 index with a 20% weight and the Russell 2000 index with a 10% weight); via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 40056EG77

• 0% leveraged buffered notes due Nov. 30, 2023 linked to the MSCI EAFE index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ED39

• 0% digital notes due Dec. 2, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ED47

• 0% leveraged buffered index-linked notes due Nov. 30, 2023 tied to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EBY3

• 4.5% fixed coupon buffered notes due Nov. 30, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ECZ9

• 4.25% fixed-coupon buffered notes due Nov. 30, 2023 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EG69

• 0% digital notes due Dec. 2, 2020 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ED21

• Autocallable contingent coupon notes due Dec. 4, 2028 linked to the lesser performing of the S&P 500 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EF86

• Autocallable contingent coupon notes due June 3, 2020 linked to the lesser performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EEB0

• Autocallable contingent coupon notes due Dec. 4, 2028 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EF94

• Autocallable contingent coupon notes due June 3, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EEE4

• Callable contingent coupon notes due Nov. 30, 2028 linked to the least performing of the Russell 2000 index and the Nasdaq-100 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EFF0

• Callable contingent coupon notes due Nov. 30, 2028 linked to the least performing of the S&P 500 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EFK9

• 0% notes due Dec. 5, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFX1

• 0% ETF-linked notes due June 3, 2022 linked to the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets exchange-traded fund; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFS2

• 0% buffered Performance Leveraged Upside Securities due June 3, 2021 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 36256M510

• 0% index-linked notes due Dec. 5, 2023 tied to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFU7

• 0% leveraged notes due Dec. 5, 2023 linked to a basket of indexes and an exchange-traded fund (S&P 500 index with a 40% weight, the Russell 2000 index with a 20% weight, the Euro Stoxx 50 index with a 20% weight and the iShares MSCI Emerging Markets ETF with a 20% weight); via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFZ6

• 0% buffered Performance Leveraged Upside Securities due June 3, 2021 linked to the Topix index; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 36256M528

• Autocallable market-linked step-up notes due November 2021 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• Market-linked step-up notes due November 2020 linked to a basket of indexes; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2021 linked to a basket of indexes; via BofA Merrill Lynch; pricing in November

• 0% leveraged buffered notes due June 8, 2021 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Dec. 3; Cusip: 40056EC63

• 0% buffered notes due Dec. 8, 2022 linked to the iShares MSCI Emerging Markets ETF; via Goldman Sachs & Co. LLC; pricing Dec. 3; Cusip: 40056EBZ0

• Callable contingent coupon notes due Dec. 6, 2024 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 3; Cusip: 40056EBX5

• 0% leveraged buffered notes due Dec. 7, 2023 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Dec. 3; Cusip: 40056EC48

• 0% digital notes due in 18 to 21 months linked to the MSCI EAFE index; via Goldman Sachs & Co.; Cusip: 40056EFN3

• 0% leveraged buffered notes due in 24 to 27 months linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 40056ED70

• 0% leveraged buffered notes due in 24 to 27 months linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 40056EFG8

GOLDMAN SACHS GROUP, INC.

• Callable step-up fixed-rate notes due November 2028; via Goldman Sachs & Co.; pricing in November; Cusip: 38150ABS3

• Callable step-up fixed-rate notes due November 2023; via Goldman Sachs & Co.; pricing in November; Cusip: 38150ABT1

HSBC USA, INC.

• 0% leveraged performance notes due Nov. 16, 2023 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Nov. 13; Cusip: 40435UAK0

• 0% dual directional barrier securities due Nov. 20, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 15; Cusip: 40435UAE4

• 0% digital dual directional barrier securities due Nov. 28, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40435UAF1

• Autocallable barrier notes with contingent return and step-down call threshold feature due Dec. 14, 2022 linked to the lesser performing of the Euro Stoxx 50 index and the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40435F6K8

• Autocallable barrier notes with contingent return and step-down call threshold feature due Nov. 9, 2022 linked to the lesser performing of the Euro Stoxx 50 index and the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40435F6J1

• 0% autocallable step-up notes due Dec. 13, 2023 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40435F6P7

• 0% autocallable step-up notes due Nov. 13, 2025 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40435F6N2

• 0% autocallable step-up notes due Dec. 10, 2025 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40435F6N2

• Callable notes with contingent return due Nov. 10, 2021 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40435F6M4

• Callable notes with contingent return due Nov. 10, 2021 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40435F6L6

• 0% barrier enhanced participation notes due Nov. 30, 2023 linked to the lesser performing of the Dow Jones Industrial Average and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7J0

• 0% buffered digital notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6T9

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7F8

• 0% buffered uncapped market participation securities due June 1, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7H4

• 0% buffered uncapped market participation securities due Nov. 30, 2023 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6V4

• Zero-coupon 5% limited loss notes due Nov. 30, 2020 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAC8

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7E1

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the NYSE FANG+ index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7L5

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7D3

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7C5

• 0% buffered uncapped market participation securities due Nov. 30, 2023 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6W2

• 0% barrier digital return notes due Dec. 30, 2019 linked to the least performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAB0

• Autocallable barrier notes with contingent return due Nov. 30, 2023 linked to the lesser performing of the S&P 500 index, the Nasdaq-100 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAM6

• 0% digital dual directional barrier securities due Dec. 5, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6R3

• 0% of performance allocator notes due Nov. 30, 2023 linked to three baskets of regional indexes (U.S. basket consists of the S&P 500 index and the Russell 2000 index; Europe basket consists of the Euro Stoxx 50 index and the FTSE 100 index; Asia Pacific basket consists of the S&P/ASX 200 index and the Nikkei 225 index; each with 50% weight within respective baskets); via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6Q5

• 0% barrier digital return notes due Jan. 6, 2020 linked to the lesser performing of the Dow Jones Industrial Average and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435UAA2

• 0% buffered uncapped market participation securities due Dec. 7, 2020 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7G6

• 0% dual directional barrier securities due Dec. 6, 2021 linked to the lesser performing of the iShares MSCI EAFE exchange-traded fund and the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6U6

• 0% buffered Accelerated Market Participation Securities due Dec. 7, 2020 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7B7

• 0% buffered Accelerated Market Participation Securities due Dec. 7, 2020 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7A9

• 0% buffered uncapped market participation securities due Dec. 6, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6X0

• 0% buffered uncapped market participation securities due Dec. 5, 2022 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6Y8

• 0% buffered Accelerated Market Participation Securities due Dec. 7, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6Z5

• Autocallable barrier notes with contingent return due Dec. 5, 2023 linked to the lesser performing of the S&P 500 index, the Nasdaq-100 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435UAN4

• 7.5% autocallable yield notes due March 5, 2020 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7M3

• 0% barrier uncapped participation notes due Dec. 5, 2023 linked to a basket of three indexes and an exchange-traded fund (S&P 500 index with a 40% weight, the Russell 2000 index with a 20% Euro Stoxx 50 index with a 20% weight and the iShares MSCI Emerging Markets ETF with a 20% weight); via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7K7

• 0% Leveraged Index Return Notes due November 2023 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2021 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2023 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2024 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2023 linked to a basket of indexes; via BofA Merrill Lynch; pricing in November

JEFFERIES GROUP LLC

• Senior fixed-rate step-up callable notes due May 23, 2022; via Jefferies LLC; pricing Nov. 23; Cusip: 47233JBP2

JPMORGAN CHASE FINANCIAL CO. LLC

• Autocallable contingent interest notes due Nov. 18, 2021 linked to Alibaba Group Holding Ltd. American Depositary Shares; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 48130WCC3

• Contingent income autocallable securities due May 19, 2020 linked to the worst performing of the S&P 500 index and the Dow Jones Industrial Average; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management handling distribution; pricing Nov. 14; Cusip: 48130UQ65

• 0% step-up autocallable notes due Nov. 19, 2025 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 48130WAH4

• 0% uncapped buffered return enhanced notes due Nov. 20, 2023 linked to a basket of the Euro Stoxx 50 index and the iShares MSCI Emerging Markets ETF; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48130UX83

• 9.25% autocallable yield notes due Nov. 20, 2019 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48130WAP6

• Autocallable contingent interest notes due Nov. 19, 2020 linked to the lesser performing of the Dow Jones Industrial Average, the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 48130WBN0

• Autocallable contingent interest notes due May 22, 2020 linked to the least performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip: 48130UP33

• Autocallable contingent interest notes due May 22, 2020 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip: 48130UP41

• 8% autocallable yield notes due Feb. 25, 2020 linked to the least performing of the Nasdaq-100 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48130UF59

• Autocallable contingent interest notes due Nov. 25, 2022 linked to the least performing of the SPDR S&P Oil & Gas Exploration & Production ETF, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48130UN84

• Autocallable contingent interest notes due Feb. 25, 2020 linked to the least performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48130UY25

• 0% notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UR80

• 0% contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 50% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130US97

• 0% contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the Euro Stoxx 50 index and the iShares MSCI EAFE ETF; 50% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130US71

• Autocallable contingent interest notes due Dec. 2, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; pricing Nov. 29; Cusip: 48130WAK7

• 0% review notes due Dec. 4, 2024 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Dow Jones Industrial Average; via J.P. Morgan Securities LLC; pricing Nov. 29; Cusip: 48130WBS9

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the iShares MSCI EAFE ETF and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY58

• 0% digital notes due Dec. 31, 2019 linked to the worst performing of the Nasdaq-100 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130WAA9

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY66

• 0% market-linked notes due Dec. 5, 2023 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130V426

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2022 linked to the lesser performing of the iShares MSCI EAFE ETF and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY41

• 0% capped buffered return enhanced notes due Dec. 3, 2020 linked to a basket of the S&P 500 index with a 70% weight, the iShares MSCI Emerging Markets ETF with a 15% weight and the Russell 2000 index with a 15% weight; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130WAR2

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY33

MORGAN STANLEY FINANCE LLC

• 0% buffered Performance Leveraged Upside Securities due Dec. 3, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 14; Cusip: 61768T639

• Contingent income autocallable securities due Nov. 19, 2021 linked to the common stock of Cisco Systems, Inc.; via Morgan Stanley with Morgan Stanley Wealth Management as distributor; pricing Nov. 16; Cusip: 61768T803

• Contingent income autocallable securities due Nov. 19, 2021 linked to the common stock of EOG Resources, Inc.; via Morgan Stanley with Morgan Stanley Wealth Management as distributor; pricing Nov. 16; Cusip: 61768T811

• 0% equity-linked partial principal at risk securities due Nov. 19, 2021 linked to the Euro Stoxx Select Dividend 30 index; via Morgan Stanley & Co. LLC; pricing Nov. 16; Cusip: 61768DQS7

• 0% equity-linked partial principal at risk securities due Nov. 19, 2021 linked to the Euro Stoxx Select Dividend 30 index; via Morgan Stanley & Co. LLC; pricing Nov. 16; Cusip: 61768DQT5

• 0% buffered PLUS due Dec. 2, 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DJR7

• Callable buffered range accrual securities due Nov. 30, 2023 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DQP3

• 0% trigger Performance Leveraged Upside Securities due Nov. 30, 2023 linked to the worse performing of the Russell 2000 index and the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DPP4

• Contingent income securities due Dec. 1, 2033 linked to the S&P 500 index and the Russell 2000 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DKA2

• 0% buffered participation securities due Nov. 30, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DKH7

• 0% jump securities with autocallable feature due Dec. 6, 2024 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Nov. 29; Cusip: 61768DRC1

• 0% trigger Performance Leveraged Upside Securities due Dec. 5, 2022 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 61768T621

• 0% market-linked notes due Dec. 3, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768DQA6

• 0% dual directional buffered participation securities due Dec. 3, 2020 linked to the worse performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768DQH1

• 0% capped leveraged notes due in 18 to 21 months linked to the S&P 500 index; via Morgan Stanley & Co. LLC; Cusip: 61768DPR0

ROYAL BANK OF CANADA

• Trigger autocallable contingent yield notes due Nov. 19, 2021 linked to the iShares MSCI EAFE ETF and the iShares Russell 2000 ETF; via RBC Capital Markets, LLC and UBS Financial Services Inc.; pricing Nov. 16; Cusip: 78014G773

• Trigger autocallable contingent yield notes due Nov. 19, 2021 linked to the S&P 500 index and the Russell 2000 index; via RBC Capital Markets, LLC and UBS Financial Services Inc.; pricing Nov. 16; Cusip: 78014G781

• Autocallable contingent coupon barrier notes due Nov. 22, 2019 linked to the common stock of General Motors Co.; via RBC Capital Markets, LLC; pricing Nov. 19; Cusip: 78013GHE8

• Autocallable contingent coupon barrier notes due Nov. 22, 2019 linked to the common stock of JPMorgan Chase & Co.; via RBC Capital Markets, LLC; pricing Nov. 19; Cusip: 78013GHD0

• 0% notes due Dec. 1, 2022 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Nov. 26; Cusip: 78013XS33

• 0% absolute return notes with rebate feature due June 1, 2021 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 26; Cusip: 78013XS74

• 0% buffered absolute return notes due Dec. 2, 2024 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 26; Cusip: 78013XS58

• 0% buffered booster notes due Dec. 1, 2023 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Nov. 28; Cusip: 78013XR75

• 0% capped gears due Jan. 31, 2020 linked to a basket of indexes (Euro Stoxx 50 index with a 40% weight, the FTSE 100 index with a 20% weight, the Nikkei 225 index with a 20% weight, the Swiss Market index with a 7.5% weight, the S&P/ASX 200 index with an 7.5% weight and the Hang Seng index with a 5% weight); via RBC Capital Markets, LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 78014G757

• 0% trigger absolute return step securities due Nov. 30, 2023 linked to a basket of six indexes (Euro Stoxx 50 index with a 40% weight, the FTSE 100 index with a 20% weight, the Nikkei 225 index with a 20% weight, the Swiss Market index with a 7.5% weight, the S&P/ASX 200 index with an 7.5% weight and the Hang Seng index with a 5% weight); via RBC Capital Markets Corp. and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 78014G765

• 0% buffered digital notes due Dec. 1, 2023 linked to the Euro Stoxx 50 index; via RBC Capital Markets Corp.; pricing Nov. 28; Cusip: 78013XR75

• 0% leveraged index-linked notes in 16 to 9 months linked to the S&P 500 index; via RBC Capital Markets, LLC; Cusip: 78013XR67

TORONTO-DOMINION BANK

• Callable step-up notes due Nov. 30, 2020; via TD Securities (USA) LLC; pricing Nov. 26; Cusip: 89114QEU8

• Callable step-up notes due Nov. 30, 2023; via TD Securities (USA) LLC; pricing Nov. 26; Cusip: 89114QER5

• Callable step-up notes due Nov. 30, 2023; via TD Securities (USA) LLC; pricing Nov. 26; Cusip: 89114QES3

• Autocallable contingent interest barrier notes due Nov. 30, 2021 linked to the shares of Amazon.com, Inc., Facebook, Inc. and Netflix, Inc.; via TD Securities (USA) LLC; pricing Nov. 26; Cusip: 89114QEB0

• 0% digital buffered notes due May 31, 2022 linked to the Russell 2000 index; via TD Securities (USA) LLC; pricing Nov. 26; Cusip: 89114QEA2

• Autocallable contingent interest barrier notes due Dec. 1, 2020 linked to the Russell 2000 index and the Euro Stoxx 50 index; via TD Securities (USA) LLC; pricing Nov. 26; Cusip: 89114QEC8

• Autocallable contingent interest barrier notes due May 28, 2020 linked to the VanEck Vectors Gold Miners ETF and the SPDR S&P Oil & Gas Exploration & Production ETF; via TD Securities (USA) LLC; pricing Nov. 26; Cusip: 89114QEG9

• 0% digital notes due in 25 to 28 months linked to the Euro Stoxx 50 index; via TD Securities (USA) LLC; Cusip: 89114QEE4

UBS AG, LONDON BRANCH

• Trigger autocallable contingent yield notes due Nov. 21, 2023 linked to the lesser performing of the Nasdaq-100 index and the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 16; Cusip: 90281B452

• 0% capped leveraged buffered notes due in 24 to 27 months linked to the Euro Stoxx 50 index; via UBS Securities LLC; Cusip: 90270KVC0

• 0% leveraged buffered notes due in 18 to 21 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, the FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via RBC Capital Markets, LLC; Cusip: 78013XR91

• 0% capped leveraged buffered notes due in 19 to 22 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via UBS Securities LLC; Cusip: 90270KVH9

• 0% capped leveraged buffered notes due in 21 to 24 months linked to the iShares MSCI Emerging Markets ETF; via UBS Securities LLC; Cusip: 90270KVE6

WELLS FARGO & CO.

• Market linked securities – autocallable with contingent coupon and contingent downside due Nov. 19, 2021 linked to the least performing of the common stocks of General Mills, Inc. and Conagra Brands, Inc.; via Wells Fargo Securities LLC; pricing Nov. 16; Cusip: 95001BAX2

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov. 30, 2020 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 95001BAT1

• Market-linked securities – autocallable with contingent coupon and contingent downside due Nov. 30, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 95001BAV6

• Market-linked securities – autocallable with contingent coupon and contingent downside due Nov. 30, 2022 linked to the least performing of the Euro Stoxx 50 index, the S&P 500 index and the Russell 2000 index; via Wells Fargo Securities LLC; pricing Nov. 29; Cusip: 95001BAP9

• 0% market-linked securities with leveraged upside participation and contingent downside due Dec. 6, 2023 linked to an equity index basket (S&P 500 index with a 40% weight, the Euro Stoxx 50 index with a 40% weight and the Nikkei Stock Average with a 20% weight); via Wells Fargo Securities LLC; pricing Nov. 29; Cusip: 95001BAN4

• 0% market-linked notes – upside participation with averaging and principal return at maturity due Dec. 5, 2023 linked to a basket of one index and five exchange-traded funds (SPDR S&P 500 ETF trust with a 30% weight, the Invesco QQQ Trust, series 1 with a 20% weight, the SPDR S&P MidCap 400 ETF trust with a 15%, the Euro Stoxx 50 index with a 15% weight, the iShares MSCI Emerging Markets ETF with a 10% weight and the iShares Russell 2000 ETF with a 10% weight); via Wells Fargo Securities LLC; pricing Nov. 30; Cusip: 95001BAQ7

• 0% Leveraged Index Return Notes due November 2020 linked to Euro Stoxx 50 index, the FTSE 100 index, the Nikkei Stock Average index, the Swiss Market index, the S&P/ASX 200 index and the Hang Seng index; via BofA Merrill Lynch; pricing in November

• 0% autocallable market-linked step-up notes due November 2023 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

© 2015 Prospect News.
All content on this website is protected by copyright law in the U.S. and elsewhere. For the use of the person downloading only.
Redistribution and copying are prohibited by law without written permission in advance from Prospect News.
Redistribution or copying includes e-mailing, printing multiple copies or any other form of reproduction.