| 1 |
06368G2T3 |
BMO |
$32,036,000 Auto-Callable Barrier Notes with Contingent Coupons |
11/1/2021 |
10/31/2023 |
RTY |
| 2 |
06747E153 |
Barclays |
$25,580,720 Contingent Income Auto-Callable Securities |
1/14/2020 |
1/13/2023 |
C |
| 3 |
06747K274 |
Barclays |
$12,420,600 Contingent Income Auto-Callable Securities |
11/3/2020 |
11/2/2023 |
BABA |
| 4 |
06747L793 |
Barclays |
$30,881,570 Contingent Income Auto-Callable Securities |
12/1/2020 |
11/30/2023 |
BABA |
| 5 |
09709UCX4 |
BofA |
$18,970,000 Contingent Income Auto-Callable Yield Notes |
3/2/2021 |
3/2/2023 |
KRE, XBI, XLK |
| 6 |
09709UGK8 |
BofA |
$12,246,000 Contingent Income Auto-Callable Yield Notes |
4/20/2021 |
4/19/2024 |
CHWY |
| 7 |
09709UNL8 |
BofA |
$25,361,000 Contingent Income Auto-Callable Yield Notes |
7/26/2021 |
7/26/2023 |
KRE, XBI, XLK |
| 8 |
09709UTZ1 |
BofA |
$19,338,000 Contingent Income Auto-Callable Yield Notes |
11/1/2021 |
10/31/2023 |
DT |
| 9 |
13605W2V2 |
CIBC |
$9,250,000 Contingent Coupon Auto-Callable Securities |
5/3/2021 |
10/27/2022 |
ARKK |
| 10 |
17328NSH2 |
Citi |
$16,900,000 Auto-Callable Contingent Coupon Equity |
7/27/2021 |
1/26/2023 |
AAPL, AMZN |
| 11 |
17328NXQ6 |
Citi |
$8,850,000 Auto-Callable Contingent Coupon Equity |
9/30/2021 |
10/3/2022 |
AMZN, TDOC |
| 12 |
17328NYR3 |
Citi |
$9,444,000 Auto-Callable Contingent Coupon Equity |
7/28/2021 |
2/2/2023 |
AAPL, ROKU |
| 13 |
17328YGJ7 |
Citi |
$22,557,000 Auto-Callable Contingent Coupon Equity |
1/26/2021 |
1/26/2023 |
SMH, XBI, XLK |
| 14 |
17329T740 |
Citi |
$12,465,270 Contingent Income Auto-Callable Securities |
11/9/2021 |
11/10/2022 |
TSLA |
| 15 |
17329UL82 |
Citi |
$13,258,000 Auto-Callable Contingent Coupon Equity |
11/1/2021 |
10/31/2023 |
OKTA |
| 16 |
17329ULH2 |
Citi |
$23,659,000 Auto-Callable Contingent Coupon Equity |
11/1/2021 |
10/31/2023 |
KBE, XBI, XLK |
| 17 |
22550K517 |
CreditSuisse |
$14,143,260 Auto-Callable Contingent Income Securities |
11/5/2019 |
11/4/2022 |
BA |
| 18 |
22550K624 |
CreditSuisse |
$21,113,360 Auto-Callable Contingent Income Securities |
11/19/2019 |
11/18/2022 |
BA |
| 19 |
22550MPT0 |
CreditSuisse |
$20,000,000 Auto-Callable Contingent Income Securities |
1/29/2021 |
2/1/2022 |
NIO |
| 20 |
22550MVT3 |
CreditSuisse |
$9,862,000 Contingent Coupon Auto-Callable Reverse Convertible Securities |
8/12/2021 |
11/14/2022 |
Z |
| 21 |
22550X626 |
CreditSuisse |
$12,954,500 Auto-Callable Contingent Income Securities |
10/2/2020 |
10/5/2023 |
ZM |
| 22 |
22550X741 |
CreditSuisse |
$8,384,610 Auto-Callable Contingent Income Securities |
11/3/2020 |
11/2/2023 |
ZM |
| 23 |
22551F723 |
CreditSuisse |
$8,302,310 Auto-Callable Contingent Income Securities |
3/30/2021 |
4/1/2024 |
PARA |
| 24 |
22551G432 |
CreditSuisse |
$7,470,000 Auto-Callable Contingent Income Securities |
10/26/2021 |
10/25/2024 |
FRCB, SBNY, USB |
| 25 |
22552X4W0 |
CreditSuisse |
$24,956,000 Contingent Coupon Auto-Callable Yield Notes |
1/26/2021 |
1/26/2023 |
KRE, XBI, XLK |
| 26 |
22553P6P9 |
CreditSuisse |
$12,500,000 Contingent Coupon Auto-Callable Yield Notes |
11/30/2021 |
6/1/2023 |
PTON |
| 27 |
36260Y443 |
GS |
$32,884,440 Contingent Income Auto-Callable Securities |
6/15/2021 |
6/14/2024 |
BABA |
| 28 |
36260Y468 |
GS |
$32,629,030 Trigger Auto-Callable Contingent Yield Notes |
6/11/2021 |
6/13/2024 |
SPY, XBI |
| 29 |
36260Y567 |
GS |
$11,861,230 Contingent Income Auto-Callable Securities |
6/22/2021 |
6/21/2024 |
SHOP |
| 30 |
36260Y575 |
GS |
$29,647,360 Contingent Income Auto-Callable Securities |
6/22/2021 |
6/21/2024 |
DOCU |
| 31 |
36260Y724 |
GS |
$23,819,810 Contingent Income Auto-Callable Securities |
6/29/2021 |
6/28/2024 |
DOCU |
| 32 |
36261U507 |
GS |
$14,938,730 Contingent Income Auto-Callable Securities |
10/26/2021 |
10/27/2022 |
RNG |
| 33 |
36261U523 |
GS |
$10,282,220 Contingent Income Auto-Callable Securities |
10/22/2021 |
10/24/2024 |
DOCU |
| 34 |
36261U721 |
GS |
$8,037,500 Contingent Income Auto-Callable Securities |
11/15/2021 |
11/14/2024 |
MRNA |
| 35 |
36261U861 |
GS |
$7,692,000 Contingent Income Auto-Callable Securities |
11/26/2021 |
11/29/2024 |
MRNA |
| 36 |
36261U879 |
GS |
$41,722,600 Contingent Income Auto-Callable Securities |
11/30/2021 |
12/2/2024 |
AFRM |
| 37 |
40435J422 |
HSBC |
$20,550,790 Trigger Auto-Callable Contingent Yield Notes |
1/30/2018 |
2/3/2021 |
SX7E |
| 38 |
40439JFN0 |
HSBC |
$15,338,000 Auto-Callable Contingent Income Barrier Notes |
7/9/2021 |
7/12/2023 |
AMZN, COST, TGT, WMT |
| 39 |
40439K151 |
HSBC |
$28,133,960 Contingent Income Auto-Callable Securities |
10/5/2021 |
10/4/2024 |
AFRM |
| 40 |
40439K425 |
HSBC |
$13,400,920 Contingent Income Auto-Callable Securities |
8/24/2021 |
8/23/2024 |
ZM |
| 41 |
46652Y653 |
JPM |
$35,534,210 Contingent Income Auto-Callable Securities |
6/29/2021 |
6/28/2024 |
GM |
| 42 |
46652Y752 |
JPM |
$38,409,190 Contingent Income Auto-Callable Securities |
6/15/2021 |
6/14/2024 |
PARA |
| 43 |
48132RC40 |
JPM |
$16,571,000 Auto-Callable Contingent Interest Notes |
2/25/2021 |
8/26/2022 |
ARKK |
| 44 |
48132TVJ2 |
JPM |
$11,604,875 Auto-Callable Contingent Interest Notes |
4/20/2021 |
4/19/2024 |
CHWY |
| 45 |
48132X313 |
JPM |
$9,919,450 Contingent Income Auto-Callable Securities |
10/5/2021 |
10/4/2024 |
DOCU |
| 46 |
48132X396 |
JPM |
$10,727,600 Contingent Income Auto-Callable Securities |
9/22/2021 |
9/25/2024 |
AFRM |
| 47 |
48132YFZ3 |
JPM |
$15,361,000 Auto-Callable Contingent Interest Notes |
11/1/2021 |
10/31/2023 |
SQ |
| 48 |
48132YGA7 |
JPM |
$13,302,000 Auto-Callable Contingent Interest Notes |
11/1/2021 |
10/31/2023 |
RBLX |
| 49 |
48132YGB5 |
JPM |
$13,322,000 Auto-Callable Contingent Interest Notes |
11/1/2021 |
10/31/2023 |
TWLO |
| 50 |
48132YJD8 |
JPM |
$9,011,000 Auto-Callable Contingent Interest Notes |
10/29/2021 |
10/31/2024 |
MRNA, ZG, ROKU |
| 51 |
61770C434 |
MS |
$10,531,210 Contingent Income Auto-Callable Securities |
10/16/2019 |
10/14/2022 |
BA |
| 52 |
61771D514 |
MS |
$15,023,670 Contingent Income Auto-Callable Securities |
10/6/2020 |
10/5/2023 |
ZM |
| 53 |
61771EM54 |
MS |
$12,400,000 Contingent Income Auto-Callable Securities |
2/25/2021 |
8/26/2022 |
ARKK |
| 54 |
61771VUW8 |
MS |
$21,585,000 Contingent Income Auto-Callable Securities |
4/27/2021 |
4/27/2023 |
KRE, XBI, XLK |
| 55 |
61771VWX4 |
MS |
$14,715,000 Contingent Income Auto-Callable Securities |
4/30/2021 |
5/2/2024 |
PARA |
| 56 |
61772Y640 |
MS |
$10,478,140 Contingent Income Auto-Callable Securities |
8/10/2021 |
8/9/2024 |
PYPL |
| 57 |
61773E734 |
MS |
$7,983,650 Contingent Income Auto-Callable Securities |
10/5/2021 |
10/4/2024 |
MRNA |
| 58 |
61773F7E7 |
MS |
$21,302,000 Contingent Income Auto-Callable Securities |
11/1/2021 |
10/31/2023 |
INDU, KRE, NDX |
| 59 |
61773F7F4 |
MS |
$20,117,000 Contingent Income Auto-Callable Securities |
11/1/2021 |
10/31/2023 |
KRE, NDX, SPX |
| 60 |
61773G150 |
MS |
$12,069,110 Contingent Income Auto-Callable Securities |
10/19/2021 |
10/18/2024 |
MRNA |
| 61 |
78014U129 |
RBC |
$18,652,040 Contingent Income Auto-Callable Securities |
5/25/2021 |
5/26/2022 |
WYNN |
| 62 |
78016E4Y0 |
RBC |
$10,629,000 Auto-Callable Contingent Coupon Barrier Notes |
6/17/2021 |
6/20/2024 |
SQ |
| 63 |
78016EG50 |
RBC |
$11,043,000 Auto-Callable Contingent Coupon Barrier Notes |
8/31/2021 |
8/30/2024 |
PARA |
| 64 |
78016EHH3 |
RBC |
$9,137,000 Auto-Callable Contingent Coupon Barrier Notes |
7/20/2021 |
7/19/2024 |
ZM |
| 65 |
78016F4D3 |
RBC |
$8,058,000 Auto-Callable Contingent Coupon Barrier Notes |
10/29/2021 |
10/31/2024 |
SNAP |
| 66 |
90278R460 |
UBS |
$9,644,000 Contingent Income Auto-Callable Securities |
12/2/2020 |
12/5/2023 |
AMZN, BABA |
| 67 |
90278Y200 |
UBS |
$15,042,630 Contingent Income Auto-Callable Securities |
4/20/2021 |
4/19/2024 |
INTC |
| 68 |
90279B191 |
UBS |
$25,583,580 Contingent Income Auto-Callable Securities |
7/2/2021 |
7/5/2024 |
PARA |
| 69 |
90279B357 |
UBS |
$24,321,440 Contingent Income Auto-Callable Securities |
7/13/2021 |
7/12/2024 |
RBLX |
| 70 |
90279B381 |
UBS |
$20,238,050 Contingent Income Auto-Callable Securities |
7/20/2021 |
7/19/2024 |
PYPL |
| 71 |
90279B555 |
UBS |
$15,401,010 Contingent Income Auto-Callable Securities |
8/3/2021 |
8/2/2024 |
PYPL, SQ |
| 72 |
90285B763 |
UBS |
$18,673,860 Contingent Income Auto-Callable Securities |
11/2/2021 |
11/1/2024 |
RNG |
| 73 |
90285B847 |
UBS |
$9,491,250 Contingent Income Auto-Callable Securities |
11/16/2021 |
11/17/2022 |
META |
| 74 |
78013G3N3 |
RBC |
$50,000,000 Buffered Auto-Callable Securities |
12/22/2021 |
12/23/2022 |
SPY |
| 75 |
90284W677 |
UBS |
$10,000,000 Trigger Auto-Callable Optimization Securities |
9/7/2018 |
3/12/2020 |
XOP |
| 76 |
61771VAE0 |
MS |
$10,000,000 Auto-Callable Securities |
2/18/2021 |
2/22/2022 |
PDD |
| 77 |
40438U697 |
HSBC |
$37,483,860 Autocallable Market-Linked Step Up Notes |
3/29/2021 |
4/2/2024 |
ICLN |
| 78 |
40438CD73 |
HSBC |
$20,000,000 Autocallable Return Notes |
11/19/2020 |
11/27/2024 |
BABA, JD |
| 79 |
48132TCL8 |
JPM |
$15,250,000 Auto Callable Return Enhanced Notes |
3/17/2021 |
3/15/2024 |
ICLN, PBW |
| 80 |
40057FZT4 |
GS |
$25,500,000 Autocallable Index-Linked Notes |
4/19/2021 |
4/19/2024 |
SPSIBI |
| 81 |
06741WLG3 |
Barclays |
$20,000,000 Fixed Coupon Auto-Callable Securities |
10/14/2020 |
10/15/2021 |
BABA |
| 82 |
17329T450 |
Citi |
$20,000,000 Buffered Fixed Coupon Auto-Callable Equity |
11/3/2021 |
11/4/2022 |
TSLA |
| 83 |
48132Y3D5 |
JPM |
$13,609,000 Auto-Callable Yield Notes |
12/27/2021 |
3/27/2023 |
ARKK, INDU, SPX |
| 84 |
06745Y3S9 |
Barclays |
Barclays Auto-Callable Contingent Interest Notes |
10/02/2024 |
10/17/2025 |
ENPH |