Grundläggande statistik
| LEI | 549300LBOHZ4QSIWU288 |
| CIK | 83246 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to HSBC USA, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| August 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2025 Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Employer Ide |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| June 3, 2025 |
Underwriting Agreement dated May 27, 2025 Exhibit 1.1 HSBC USA INC. 4.650% Senior Notes due 2028 Floating Rate Senior Notes due 2028 Underwriting Agreement May 27, 2025 HSBC Securities (USA) Inc. As Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwrite |
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| June 3, 2025 |
Form of Floating Rate Senior Notes due 2028 Exhibit 4.2 No. [ ] Registered CUSIP No. 40428HS29 ISIN No. US40428HS291 Principal Amount: $[ ] Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to Issuer or its agent for registration of transfer, exchange or payment and any certificate issued is registered in the name of Cede & Co. or in such other name as is re |
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| June 3, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2025 Commission file number: 001-07436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identifi |
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| June 3, 2025 |
Form of 4.650% Senior Notes due 2028 Exhibit 4.1 No. [ ] Registered CUSIP No. 40428HR95 ISIN No. US40428HR954 Principal Amount: $[ ] Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to Issuer or its agent for registration of transfer, exchange or payment and any certificate issued is registered in the name of Cede & Co. or in such other name as is re |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| April 25, 2025 |
Exhibit 3.2 to HSBC USA Inc.'s Current Report on Form 8-K filed April 25, 2025 EXHIBIT 3.2 HSBC USA INC. BYLAWS (As Amended and Restated effective April 24, 2025) BY-LAWS OF HSBC USA INC. ARTICLE I OFFICES Section 1.1 The principal office of HSBC USA Inc. (the "Corporation") in the State of Maryland shall be in the City of Baltimore, State of Maryland. Section 1.2 The Corporation may also have offices at such other place or places, both within and without the State of Maryla |
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| April 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 (April 24, 2025) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R |
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| February 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| February 19, 2025 |
HSBC Holdings plc Insider Trading Policies and Procedures EXHIBIT 19 CODE FOR HSBC HOLDINGS PLC PDMRS TRANSACTING IN HSBC GROUP SECURITIES 1. |
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| December 9, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2024 (December 5, 2024) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) |
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| October 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| October 23, 2024 |
HSBC HOLDINGS PLC SIMPLIFIED ORGANISATIONAL STRUCTURE TO ACCELERATE STRATEGIC EXECUTION EXHIBIT 99.1 22 October 2024 HSBC HOLDINGS PLC SIMPLIFIED ORGANISATIONAL STRUCTURE TO ACCELERATE STRATEGIC EXECUTION HSBC Holdings plc (the ‘Company’) today announces that it is simplifying its organisational structure into four businesses to accelerate delivery against its strategic priorities. HSBC Group Chief Executive Officer, Georges Elhedery, commented: “The changes that we are announcing to |
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| October 23, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2024 (October 22, 2024) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) |
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| July 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| March 4, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2024 Commission file number: 001-07436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identif |
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| March 4, 2024 |
Underwriting Agreement dated February 26, 2024 Exhibit 1.1 HSBC USA INC. 5.294% Senior Notes due 2027 Floating Rate Senior Notes due 2027 Underwriting Agreement February 26, 2024 HSBC Securities (USA) Inc. As Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the under |
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| March 4, 2024 |
Form of Floating Rate Senior Notes due 2027 Exhibit 4.2 Form of Floating Rate Global Notes Registered No. [ ] CUSIP No. 40428HA51 ISIN No. US40428HA513 Principal Amount: $[ ] Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to Issuer or its agent for registration of transfer, exchange or payment and any certificate issued is registered in the name of Cede & |
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| March 4, 2024 |
Form of 5.294% Senior Notes due 2027 Exhibit 4.1 Form of Fixed Rate Global Notes Registered No. [ ] CUSIP No. 40428HA44 ISIN No. US40428HA448 Principal Amount: $[ ] Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to Issuer or its agent for registration of transfer, exchange or payment and any certificate issued is registered in the name of Cede & Co |
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| February 21, 2024 |
Form of Underwriting Agreement for Debt Securities. Exhibit 1.1 HSBC USA INC. Underwriting Agreement [ , ] HSBC Securities (USA) Inc. As Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters”) the securities (the “ |
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| February 21, 2024 |
Exhibit 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) HSBC USA Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry F |
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| February 21, 2024 |
Exhibit 97 to HSBC USA Inc.'s Annual Report on Form 10-K for the year ended December 31, 2023 EXHIBIT 97 HSBC USA INC. POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION 1.Purpose. The purpose of this Policy is to describe the circumstances in which Executive Officers will be required to repay or return Erroneously Awarded Compensation to the Company in accordance with the Clawback Rules. Each Executive Officer shall be required to sign and return to the Company the Acknowledgemen |
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| February 21, 2024 |
As filed with the Securities and Exchange Commission on February 21, 2024 As filed with the Securities and Exchange Commission on February 21, 2024 Registration No. |
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| February 21, 2024 |
Exhibit 1.4 HSBC USA INC. AMENDED AND RESTATED DISTRIBUTION AGREEMENT February 21, 2024 HSBC Securities (USA) Inc. HSBC Tower 10 452 5th Avenue New York, NY 10018 Dear Sirs: HSBC USA Inc., a Maryland corporation (the “Company”), confirms its agreement with you and any other agent who may become a party to this Distribution Agreement after the date hereof (each an “Agent” and collectively the “Agen |
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| February 21, 2024 |
Statement of eligibility of Computershare Trust Company, N.A. for Senior Debt Securities. Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) ¨ Computershare Trust Company, National Association (Exact name of trustee as specified in its charter) N |
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| February 21, 2024 |
Statement of eligibility of Computershare Trust Company, N.A. for Warrants. Exhibit 25.3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) ¨ Computershare Trust Company, National Association (Exact name of trustee as specified in its charter) N |
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| February 21, 2024 |
Exhibit 4.5 to HSBC USA Inc.'s Registration Statement on Form S- Exhibit 4.5 FOURTH SUPPLEMENTAL INDENTURE Dated as of February 21, 2024 between HSBC USA INC., as Issuer and COMPUTERSHARE TRUST COMPANY, N.A., as Trustee to the INDENTURE dated as of March 31, 2009 relating to Senior Debt Securities Fourth Supplemental Indenture, dated as of February 21, 2024 (this “Fourth Supplemental Indenture”), between HSBC USA INC., a Maryland corporation (the “Company”), an |
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| February 21, 2024 |
Statement of eligibility of Deutsche Bank Trust Company Americas for Subordinated Debt Securities. Exhibit 25.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) DEUTSCHE BANK TRUST COMPANY AMERICAS (formerly BANKERS TRUST COMPANY) (Exact name of trustee as specified |
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| February 21, 2024 |
Exhibit 1.5 HSBC USA INC. SENIOR DEBT SECURITIES AMENDED AND RESTATED DISTRIBUTION AGREEMENT February 21, 2024 BofA Securities, Inc. One Bryant Park New York, NY 10036 (“BofAS”) and each person that shall have become an Agent as provided in Section 2(d) hereof (the “Agents”): Dear Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the “Company”), confirms its agreement with the Agents wi |
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| February 21, 2024 |
Exhibit 5.3 February 21, 2024 Mayer Brown LLP 1221 Avenue of the Americas New York, New York 10020-1001 Main Tel +1 212 506 2500 Main Fax +1 212 262 1910 www.mayerbrown.com HSBC USA Inc. 452 Fifth Avenue New York, New York 10018 Re: HSBC USA Inc. – Notes, Series 1, and Warrants, Series 1 Ladies and Gentlemen: We represent HSBC USA Inc., a Maryland corporation (the “Company”), in connection with ce |
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| February 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| October 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| October 2, 2023 |
Exhibit A [Form of amended pricing supplement - 40432XZ79 – incorporated into the Master Global Note] 755204264. |
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| October 2, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 2, 2023 (Date of earliest event reported: September 29, 2023) Commission file number 001-07436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) |
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| October 2, 2023 |
Exhibit 4.24 to HSBC USA Inc.'s Current Report on Form 8-K filed October 2, 2023 Exhibit 4.24 THIRD SUPPLEMENTAL INDENTURE Dated as of September 29, 2023 between HSBC USA INC., as Issuer and COMPUTERSHARE TRUST COMPANY, N.A., as Trustee to the INDENTURE dated as of March 31, 2009 relating to Senior Debt Securities Third Supplemental Indenture, dated as of September 29, 2023 (this “Third Supplemental Indenture”), between HSBC USA INC., a Maryland corporation (the “Company”), an |
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| August 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| March 17, 2023 |
Form of 5.625% Senior Notes due 2025 Exhibit 4.1 Forms of Fixed Rate Global Notes Registered CUSIP No. 40428HVL3 ISIN No. US40428HVL31 Principal Amount: $[ ] Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to Issuer or its agent for registration of transfer, exchange or payment and any certificate issued is registered in the name of Cede & Co. or in |
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| March 17, 2023 |
Underwriting Agreement dated March 9, 2023 Exhibit 1.1 HSBC USA INC. 5.625% Senior Notes due 2025 Underwriting Agreement March 9, 2023 HSBC Securities (USA) Inc. As Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2023 Commission file number 001-07436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identif |
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| February 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| October 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| August 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| July 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2022 (July 20, 2022) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S |
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| May 24, 2022 |
Underwriting Agreement dated May 17, 2022 Exhibit 1.1 HSBC USA INC. 3.750% Senior Notes due 2024 Underwriting Agreement May 17, 2022 HSBC Securities (USA) Inc. As Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the ? |
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| May 24, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2022 Commission file number 001-07436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identific |
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| May 24, 2022 |
Form of 3.750% Senior Notes due 2024 Exhibit 4.1 Forms of Fixed Rate Global Notes Registered CUSIP No. 40428HTA0 ISIN No. US40428HTA04 Principal Amount $[ ] Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (?DTC?), to Issuer or its agent for registration of transfer, exchange or payment and any certificate issued is registered in the name of Cede & Co. or in |
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| April 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| April 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2022 (April 21, 2022) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R |
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| February 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| October 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| August 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| May 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2021 (May 25, 2021) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. |
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| May 27, 2021 |
EXHIBIT 99.1 26 May 2021 HSBC EXITS US MASS MARKET RETAIL BANKING STRATEGICALLY REPOSITIONS US RETAIL BUSINESS TOWARDS INTERNATIONAL BANKING AND WEALTH MANAGEMENT *** Transactions agreed with Citizens Bank and Cathay Bank, pending regulatory approval *** *** HSBC will continue investing in US international wholesale banking franchise *** HSBC Holdings plc (‘HSBC’) today announces that it will exit |
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| April 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| April 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2021 (April 13, 2021) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R |
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| February 23, 2021 |
Exhibit 1.4 HSBC USA INC. SENIOR DEBT SECURITIES AMENDED AND RESTATED DISTRIBUTION AGREEMENT February 23, 2021 BofA Securities, Inc. One Bryant Park New York, NY 10036 (?BofAS?) and each person that shall have become an Agent as provided in Section 2(d) hereof (the ?Agents?): Dear Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the ?Company?), confirms its agreement with the Agents wi |
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| February 23, 2021 |
Statement of eligibility of Deutsche Bank Trust Company Americas for Subordinated Debt Securities. Exhibit 25.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) DEUTSCHE BANK TRUST COMPANY AMERICAS (formerly BANKERS TRUST COMPANY) (Exact name of trustee as specified |
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| February 23, 2021 |
Statement of eligibility of Wells Fargo Bank, National Association for Warrants. EX-25.3 11 tm217170d4ex25-3.htm EXHIBIT 25.3 Exhibit 25.3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ¨ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name of tru |
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| February 23, 2021 |
Statement of eligibility of Wells Fargo Bank, National Association for Senior Debt Securities. EX-25.1 9 tm217170d4ex25-1.htm EXHIBIT 25.1 Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ¨ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name of trus |
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| February 23, 2021 |
EX-1.3 2 tm217170d4ex1-3.htm EXHIBIT 1.3 Exhibit 1.3 HSBC USA INC. AMENDED AND RESTATED DISTRIBUTION AGREEMENT February 23, 2021 HSBC Securities (USA) Inc. HSBC Tower 10 452 5th Avenue New York, NY 10018 Dear Sirs: HSBC USA Inc., a Maryland corporation (the “Company”), confirms its agreement with you and any other agent who may become a party to this Distribution Agreement after the date hereof (e |
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| February 23, 2021 |
As filed with the Securities and Exchange Commission on February 23, 2021 Registration No. |
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| February 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| February 23, 2021 |
Exhibit 5.3 Mayer Brown LLP 1221 Avenue of the Americas New York, New York 10020-1001 Main Tel +1 212 506 2500 Main Fax +1 212 262 1910 www.mayerbrown.com February 23, 2021 HSBC USA Inc. 452 Fifth Avenue New York, New York 10018 Re: HSBC USA Inc. ? Notes, Series 1, and Warrants, Series 1 Ladies and Gentlemen: We represent HSBC USA Inc., a Maryland corporation (the ?Company?), in connection with ce |
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| October 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| August 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| April 28, 2020 |
10-Q 1 husi3312010-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fi |
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| February 18, 2020 |
HUSI^G / HSBC USA, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| February 18, 2020 |
Exhibit 4.5 to HSBC USA Inc.'s Annual Report on Form 10-K for the year ended December 31, 2019 EXHIBIT 4.5 DESCRIPTION OF HSBC USA INC.'S ZERO COUPON CALLABLE ACCRETING NOTES DUE JANUARY 15, 2043 AND ZERO COUPON CALLABLE ACCRETING NOTES DUE JANUARY 29, 2043 The following summary of HSBC USA Inc.’s above-referenced debt securities is based on and qualified by the Indenture, dated as of March 31, 2009, between HSBC USA and Wells Fargo Bank, National Association, as Trustee (the “Indenture”), |
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| November 13, 2019 |
EX-99.1 2 exhibit991pressreleasedate.htm EXHIBIT 99.1 EXHIBIT 99.1 November 13, 2019 HSBC Bank USA, National Association Announces Pricing and Expiration of its Offers to Purchase for Cash Any and All of the Outstanding Notes Listed Below 5.875% Subordinated Notes due November 1, 2034 (CUSIP: 4042Q1AA5; ISIN: US4042Q1AA55); and 5.625% Subordinated Notes due August 15, 2035 (CUSIP: 4042Q1AB3; ISIN: |
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| November 13, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2019 (November 12, 2019) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation |
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| November 5, 2019 |
EXHIBIT 99.1 November 5, 2019 HSBC Bank USA, National Association Offers to Purchase for Cash Any and All of the Outstanding Notes Listed Below 5.875% Subordinated Notes due November 1, 2034 (CUSIP: 4042Q1AA5; ISIN: US4042Q1AA55); and 5.625% Subordinated Notes due August 15, 2035 (CUSIP: 4042Q1AB3; ISIN: US4042Q1AB39) New York, NY - Upon the terms and subject to the conditions set forth in the Off |
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| November 5, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2019 Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Employer Id |
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| October 28, 2019 |
HUSI^G / HSBC USA, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| August 5, 2019 |
HUSI^G / HSBC USA, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| July 8, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 8, 2019 Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Employer Identi |
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| July 8, 2019 |
EXHIBIT 99.1 8 July 2019 HSBC ANNOUNCES RETIREMENT OF PATRICK BURKE AND APPOINTMENT OF MICHAEL ROBERTS AS PRESIDENT AND CEO, HSBC USA HSBC Holdings plc (‘HSBC’, the ‘Company’ or the ‘Group’) announces that Patrick Burke will retire from HSBC, to be succeeded as President and Chief Executive Officer, HSBC USA by Michael Roberts. The specific retirement and appointment dates in October will be confi |
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| June 26, 2019 |
KAVITA MAHTANI NAMED CHIEF FINANCIAL OFFICER OF HSBC NORTH AMERICA HOLDINGS EX-99.1 2 exhibit991pressreleasedate.htm EXHIBIT 99.1 EXHIBIT 99.1 June 26, 2019 KAVITA MAHTANI NAMED CHIEF FINANCIAL OFFICER OF HSBC NORTH AMERICA HOLDINGS NEW YORK - HSBC today announced the appointment of Kavita Mahtani as Chief Financial Officer, HSBC North America Holdings Inc. (HNAH). In this role, she will be responsible for the financial operations of HNAH and all its subsidiaries, includi |
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| June 26, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2019 Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Employer Ident |
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| May 3, 2019 |
HUSI^G / HSBC USA, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| February 19, 2019 |
HUSI^G / HSBC USA, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| October 29, 2018 |
Computation of Ratio of Earnings to Fixed Charges. EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Nine Months Ended September 30, 2018 2017 (dollars are in millions) Ratios excluding interest on deposits: Net income $ 208 $ 594 Income tax expense 232 321 Fixed charges: Interest on: Short-term borrowings 121 94 Long-term debt 831 749 Others 28 15 One th |
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| October 29, 2018 |
HUSI^G / HSBC USA, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| October 9, 2018 |
HSBC Reaches Definitive Agreement with US Department of Justice to Resolve Legacy RMBS Claims EXHIBIT 99.1 October 9, 2018 HSBC Reaches Definitive Agreement with US Department of Justice to Resolve Legacy RMBS Claims NEW YORK - HSBC today announced a definitive agreement with the US Department of Justice (DOJ) to resolve its multi-year investigation of its legacy securitization, issuance and underwriting of residential mortgage-backed securities (RMBS) issued between 2005 and 2007. “We are |
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| October 9, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 9, 2018 Commission File Number 001-7436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Employer Iden |
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| August 6, 2018 |
HUSI^G / HSBC USA, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| August 6, 2018 |
Computation of Ratio of Earnings to Fixed Charges. EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Six Months Ended June 30, 2018 2017 (dollars are in millions) Ratios excluding interest on deposits: Net income $ 31 $ 500 Income tax expense 174 260 Fixed charges: Interest on: Short-term borrowings 76 55 Long-term debt 540 493 Others 18 11 One third of r |
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| July 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2018 (July 24, 2018) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S |
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| May 4, 2018 |
HUSI^G / HSBC USA, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| May 4, 2018 |
Computation of Ratio of Earnings to Fixed Charges. EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Three Months Ended March 31, 2018 2017 (dollars are in millions) Ratios excluding interest on deposits: Net income (loss) $ (238 ) $ 296 Income tax expense 92 152 Fixed charges: Interest on: Short-term borrowings 33 23 Long-term debt 257 242 Others 10 3 On |
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| May 1, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2018 (April 26, 2018) Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. |
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| March 16, 2018 |
HUSI^G / HSBC USA, Inc. 8-K (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2018 Commission file number 001-07436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identif |
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| March 1, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2018 Commission file number 001-07436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation) 13-2764867 (IRS Employer Identifi |
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| March 1, 2018 |
Exhibit 5.4 Mayer Brown LLP 1221 Avenue of the Americas New York, New York 10020-1001 Main Tel +1 212 506 2500 Main Fax +1 212 262 1910 www.mayerbrown.com March 1, 2018 HSBC USA Inc. 452 Fifth Avenue New York, New York 10018 Re: HSBC USA Inc. – Notes, Series 1, and Warrants, Series 1 Dear Ladies and Gentlemen: We represent HSBC USA Inc., a Maryland corporation (the “Company”), in connection with c |
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| February 26, 2018 |
Exhibit 5.3 [LETTERHEAD OF MORRISON & FOERSTER LLP] February 26, 2018 HSBC USA Inc. 452 Fifth Avenue New York, New York 10018 Re: HSBC USA Inc. ? Notes, Series 1, and Warrants, Series 1 Ladies and Gentlemen: We have acted as counsel to HSBC USA Inc., a Maryland corporation (the ?Company?), in connection with certain senior debt securities (the ?Notes?) and warrants (the ?Warrants?), each of which |
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| February 26, 2018 |
EX-1.3 2 tv486719ex1-3.htm EXHIBIT 1.3 Exhibit 1.3 HSBC USA INC. AMENDED AND RESTATED DISTRIBUTION AGREEMENT February 26, 2018 HSBC Securities (USA) Inc. HSBC Tower 10 452 5th Avenue New York, NY 10018 Dear Sirs: HSBC USA Inc., a Maryland corporation (the “Company”), confirms its agreement with you and any other agent who may become a party to this Distribution Agreement after the date hereof (eac |
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| February 26, 2018 |
Statement of eligibility of Deutsche Bank Trust Company Americas for Subordinated Debt Securities. Exhibit 25.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) DEUTSCHE BANK TRUST COMPANY AMERICAS (formerly BANKERS TRUST COMPANY) (Exact name of trustee as specified |
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| February 26, 2018 |
Exhibit 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Year Ended December 31, 2017 2016 2015 2014 2013 (dollars are in millions) Ratios excluding interest on deposits: Net income (loss) $ (179 ) $ 129 $ 330 $ 354 $ (338 ) Income tax expense (benefit) 1,228 89 230 (56 ) 156 Fixed charges: Interest on: Short-te |
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| February 26, 2018 |
Statement of eligibility of Wells Fargo Bank, National Association for Warrants. Exhibit 25.3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ? CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) A National |
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| February 26, 2018 |
EX-1.4 3 tv486719ex1-4.htm EXHIBIT 1.4 Exhibit 1.4 HSBC USA INC. SENIOR DEBT SECURITIES AMENDED AND RESTATED DISTRIBUTION AGREEMENT February 26, 2018 Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park New York, NY 10036 (“Merrill Lynch”) and each person that shall have become an Agent as provided in Section 2(d) hereof (the “Agents”): Dear Ladies and Gentlemen: HSBC USA Inc., a Mar |
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| February 26, 2018 |
Statement of eligibility of Wells Fargo Bank, National Association for Senior Debt Securities. Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ? CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) A National |
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| February 26, 2018 |
HUSI^G / HSBC USA, Inc. S-3ASR As filed with the Securities and Exchange Commission on February 26, 2018 Registration No. |
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| February 20, 2018 |
Computation of Ratio of Earnings to Fixed Charges. EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Year Ended December 31, 2017 2016 2015 2014 2013 (dollars are in millions) Ratios excluding interest on deposits: Net income (loss) $ (179 ) $ 129 $ 330 $ 354 $ (338 ) Income tax expense (benefit) 1,228 89 230 (56 ) 156 Fixed charges: Interest on: Short-term borrowings 124 79 46 36 27 Long-term debt 998 864 709 650 661 Othe |
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| February 20, 2018 |
HUSI^G / HSBC USA, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| October 30, 2017 |
HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Nine Months Ended September 30, 2017 2016 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 594 $ 166 Income tax expense 321 100 Fixed charges: Interest on: Short-term borrowings 94 61 Long-term debt 749 613 Others 15 12 One third of rents, net of income from subleases 23 1 |
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| October 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| July 31, 2017 |
HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Six Months Ended June 30, 2017 2016 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 500 $ 133 Income tax expense 260 74 Fixed charges: Interest on: Short-term borrowings 55 39 Long-term debt 493 400 Others 11 7 One third of rents, net of income from subleases 16 13 Total |
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| July 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| May 4, 2017 |
HSBC USA 10-Q (Quarterly Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 H |
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| May 4, 2017 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Three Months Ended March 31, 2017 2016 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 296 $ 154 Income tax expense 152 79 Fixed charges: Interest on: Short-term borrowings 23 18 Long-term debt 242 197 Others 3 6 One third of rents, net of income from subleases 7 7 Total |
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| April 24, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _ FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2017 (April 20, 2017) _ Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorp |
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| April 24, 2017 |
Exhibit 3.2 to HSBC USA Inc.'s Current Report on Form 8-K filed April 24, 2017 Exhibit EXHIBIT 3.2 HSBC USA INC. BY?LAWS (As Amended and Restated effective April 20, 2017) BY-LAWS OF HSBC USA INC. ARTICLE I OFFICES Section 1.1 The principal office of HSBC USA Inc. (the "Corporation") in the State of Maryland shall be in the City of Baltimore, State of Maryland. Section 1.2 The Corporation may also have offices at such other place or places, both within and without the State |
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| February 21, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| February 21, 2017 |
HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Year Ended December 31, 2016 2015 2014 2013 2012 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 129 $ 330 $ 354 $ (338 ) $ (1,248 ) Income tax expense (benefit) 89 230 (56 ) 156 422 Fixed charges: Interest on: Short-term borrowings 79 46 36 27 28 Long-term debt 864 709 6 |
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| January 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2017 Commission File Number 001-07436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Employer Ide |
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| November 7, 2016 |
HSBC USA 10-Q (Quarterly Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-074 |
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| November 7, 2016 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Nine Months Ended September 30, 2016 2015 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 166 $ 455 Income tax expense 100 285 Fixed charges: Interest on: Short-term borrowings 61 35 Long-term debt 613 5 |
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| September 20, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 3, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 3, 2016 |
HSBC USA 10-Q (Quarterly Report) 10-Q 1 husi6301610-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fil |
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| August 3, 2016 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Six Months Ended June 30, 2016 2015 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 133 $ 251 Income tax expense 74 174 Fixed charges: Interest on: Short-term borrowings 39 22 Long-term debt 400 340 Othe |
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| July 5, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 18, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 5, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 18, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 5, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 18, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 31, 2016 |
HSBC USA 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _ FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2016 _ Commission File Number 001-7436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Emp |
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| May 31, 2016 |
HSBC USA INC. Incorporated under the laws of the State of Maryland Series I Preferred Stock Exhibit EXHIBIT 3.3 Neither the securities represented hereby nor any beneficial interest therein has been registered under the U.S. Securities Act of 1933, as amended (the ?Securities Act?). Neither the securities represented hereby nor any beneficial interest therein may be offered, sold, pledged or otherwise transferred except (1) to HSBC USA Inc. or one of its subsidiaries, (2) pursuant to an |
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| May 19, 2016 |
Unassociated Document POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| May 16, 2016 |
Exhibit 5.5 May 16, 2016 HSBC USA Inc. 452 Fifth Avenue New York, New York 10018 Re: HSBC USA Inc. ? Warrants, Series 1 Ladies and Gentlemen: We have acted as counsel to HSBC USA Inc., a Maryland corporation (the ?Company?), in connection with certain warrants (the ?Warrants?) which will be issued from time to time by the Company. The offerings of the Warrants have been registered with the Securit |
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| May 16, 2016 |
HSBC USA Inc. Announces Redemption of $1.265 Billion of Preferred Securities SEC Exhibit EXHIBIT 99.1 HSBC USA Inc. Announces Redemption of $1.265 Billion of Preferred Securities New York - May 16, 2016 - HSBC USA Inc. (?HSBC USA?) is announcing the redemption of $1.265 billion of preferred securities. This redemption will affect all of the preferred securities of the following series: ? 20,700,000 shares of Floating Rate Non-Cumulative Preferred Stock, Series F (ticker sy |
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| May 16, 2016 |
Exhibit 4.32 GLOBAL SECURITY FOR WARRANTS, SERIES 1 HSBC USA Inc. THIS SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF that certain Indenture dated as of MAY 16, 2016 (as IT MAY BE amended, modified or supplemented from time to time, the ?Indenture?) between HSBC USA Inc. and Wells fargo bank, national association, as trustee (THE ?TRUSTEE?, which TERM INCLUDES ANY SUCCESSOR TRUSTEE UNDER THE |
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| May 16, 2016 |
As filed with the Securities and Exchange Commission on May 16, 2016 Registration No. |
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| May 16, 2016 |
Exhibit 24.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ? CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) A National |
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| May 16, 2016 |
Exhibit 1.6 HSBC USA INC. DISTRIBUTION AGREEMENT May 16, 2016 HSBC Securities (USA) Inc. HSBC Tower 10 452 5th Avenue New York, NY 10018 Dear Sirs: HSBC USA Inc., a Maryland corporation (the ?Company?), confirms its agreement with you and any other agent who may become a party to this Distribution Agreement after the date hereof (each an ?Agent? and collectively the ?Agents?) with respect to the i |
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| May 16, 2016 |
Exhibit 4.33 HSBC USA INC. REGISTERED WARRANT PROGRAM PAYING AGENT AND SECURITY REGISTRAR AGREEMENT BETWEEN HSBC USA INC. AND HSBC BANK USA, National Association DATED AS OF MAY 16, 2016 HSBC Securities (USA) Inc., a Delaware corporation, may offer warrants (?Warrants?) sold under a registration statement and issued by HSBC USA Inc., a Maryland corporation (the ?Issuer?), under and pursuant to, th |
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| May 16, 2016 |
Financial Statements and Exhibits, Other Events SEC Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2016 Commission File Number 001-7436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Emp |
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| May 16, 2016 |
Exhibit 4.31 HSBC USA INC. Issuer TO WELLS FARGO BANK, NATIONAL ASSOCIATION Trustee Warrant Indenture Dated as of May 16, 2016 Table of Contents Page ARTICLE One Definitions And Other Provisions Of General Application 1 SECTION 1.01. Definitions 1 SECTION 1.02. Compliance Certificates and Opinions 6 SECTION 1.03. Form of Documents Delivered to Trustee 7 SECTION 1.04. Notices, etc. to Trustee and C |
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| May 5, 2016 |
Unassociated Document POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| May 3, 2016 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Three Months Ended March 31, 2016 2015 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 154 $ 164 Income tax expense 79 76 Fixed charges: Interest on: Short-term borrowings 18 11 Long-term debt 197 167 Ot |
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| May 3, 2016 |
HUSI^G / HSBC USA, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA I |
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| May 2, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2016 (April 28, 2016) Commission File Number 001-7436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. |
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| May 2, 2016 |
HSBC USA INC. (As Amended and Restated effective April 28, 2016) HSBC USA INC. ARTICLE I Exhibit EXHIBIT 3.2 HSBC USA INC. BY?LAWS (As Amended and Restated effective April 28, 2016) BY-LAWS OF HSBC USA INC. ARTICLE I OFFICES Section 1.1 The principal office of HSBC USA Inc. (the "Corporation") in the State of Maryland shall be in the City of Baltimore, State of Maryland. Section 1.2 The Corporation may also have offices at such other place or places, both within and without the State |
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| April 28, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| February 22, 2016 |
HUSI^G / HSBC USA, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA Inc. ( |
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| February 22, 2016 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Year Ended December 31, 2015 2014 2013 2012 2011 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 330 $ 354 $ (338 ) $ (1,248 ) $ 455 Income tax expense (benefit) 230 (56 ) 156 422 314 Fixed charges: Inte |
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| February 22, 2016 |
EXHIBIT 21 SUBSIDIARIES OF HSBC USA INC. U.S. Affiliates: Names of Subsidiaries USA or U.S. State Organized Cabot Park Holdings, Inc. Delaware Capco/Cove, Inc. New York Card-Flo #1, Inc. Delaware Card-Flo #3, Inc. Delaware CBS/Holdings, Inc. New York Eagle Rock Holdings, Inc. New York Ellenville Holdings, Inc. New York F-Street Holdings, Inc. Delaware Giller Ltd. New York GWML Holdings, Inc. Delaw |
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| February 5, 2016 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2016 Commission File Number 001-7436 HSBC USA Inc. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (I.R.S. Employer |
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| February 5, 2016 |
HSBC North America Holdings Inc. Announces National Mortgage Settlement Exhibit EXHIBIT 99.1 HSBC North America Holdings Inc. Announces National Mortgage Settlement New York - Feb. 5, 2016 - HSBC North America Holdings Inc. and certain subsidiaries have reached a national mortgage settlement (NMS) with the Department of Justice, the Department of Housing and Urban Development, the Consumer Financial Protection Bureau, various other federal agencies, and attorneys gene |
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| November 5, 2015 |
Unassociated Document POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| November 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC U |
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| November 2, 2015 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Nine Months Ended September 30, 2015 2014 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 455 $ 284 Income tax expense (benefit) 285 (86 ) Fixed charges: Interest on: Short-term borrowings 35 27 Long-ter |
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| August 7, 2015 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2015 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identifica |
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| August 3, 2015 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Six Months Ended June 30, 2015 2014 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 251 $ 283 Income tax expense (benefit) 174 (57 ) Less: Undistributed equity earnings — — Fixed charges: Interest on: Sh |
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| August 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-07436 HSBC USA In |
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| June 30, 2015 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 13, 2015, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 30, 2015 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 13, 2015, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 10, 2015 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| June 10, 2015 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| May 27, 2015 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2015 HSBC USA INC. (Exact name of registrant as specified in its charter) Commission File Number 1-7436 Maryland 13-2764867 (State or other jurisdiction of incorporation) (IRS |
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| May 27, 2015 |
HSBC USA Inc. Announces Redemption of $850 Million Preferred and Trust Preferred Securities HSBC USA Inc. Announces Redemption of $850 Million Preferred and Trust Preferred Securities New York ? May 27, 2015 ? HSBC USA Inc. (?HSBC USA?) is announcing the redemption, in whole, of the following preferred series: 6,000,000 depositary shares each representing a one-fourth interest in a share of Adjustable Rate Cumulative Preferred Stock, Series D (ticker symbol: HUSI-PR D); and 3,000,000 sha |
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| May 20, 2015 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on June 1, 2015, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 15, 2015 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| May 5, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. |
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| May 5, 2015 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Three Months Ended March 31, 2015 2014 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 164 $ 104 Income tax expense (benefit) 76 149 Less: Undistributed equity earnings ? ? Fixed charges: Interest on: Bo |
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| May 1, 2015 |
HSBC USA INC. (As Amended and Restated effective April 29, 2015) HSBC USA INC. ARTICLE I HSBC USA INC. BY-LAWS (As Amended and Restated effective April 29, 2015) BY-LAWS OF HSBC USA INC. ARTICLE I OFFICES Section 1.1 The principal office of HSBC USA Inc. (the "Corporation") in the State of Maryland shall be in the City of Baltimore, State of Maryland. Section 1.2 The Corporation may also have offices at such other place or places, both within and without the State of Maryland, as the |
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| May 1, 2015 |
HSBC USA (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2015 (April 29, 2015) HSBC USA INC. (Exact name of registrant as specified in its charter) Commission File Number 1-7436 Maryland 13-2764867 (State or other jurisdiction of inc |
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| April 10, 2015 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Director and/or Executive Officer of HSBC USA Inc. |
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| March 5, 2015 |
EX-1.3 Exhibit 1.3 HSBC USA INC. AMENDED AND RESTATED DISTRIBUTION AGREEMENT March 5, 2015 HSBC Securities (USA) Inc. HSBC Tower 10 452 5th Avenue New York, NY 10018 Dear Sirs: HSBC USA Inc., a Maryland corporation (the “Company”), confirms its agreement with you and any other agent who may become a party to this Distribution Agreement after the date hereof (each an “Agent” and collectively the “A |
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| March 5, 2015 |
[LETTERHEAD OF MORRISON & FOERSTER LLP] EX-5.4 10 d884345dex54.htm EX-5.4 Exhibit 5.4 [LETTERHEAD OF MORRISON & FOERSTER LLP] March 5, 2015 HSBC USA Inc. 452 Fifth Avenue New York, New York 10018 Re: HSBC USA Inc. – ELEMENTSSM Linked to the S&P Commodity Trends Indicator – Total Return due June 16, 2023 Ladies and Gentlemen: We have acted as counsel to HSBC USA Inc., a Maryland corporation (the “Company”), in connection with the above-r |
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| March 5, 2015 |
EX-25.2 Exhibit 25.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ¨ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) DEUTSCHE BANK TRUST COMPANY AMERICAS (formerly BANKERS TRUST COMPANY) (Exact name of trustee as |
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| March 5, 2015 |
[LETTERHEAD OF MORRISON & FOERSTER LLP] Exhibit 5.3 [LETTERHEAD OF MORRISON & FOERSTER LLP] March 5, 2015 HSBC USA Inc. 452 Fifth Avenue New York, New York 10018 Re: HSBC USA Inc. ? Notes, Series 1 Ladies and Gentlemen: We have acted as counsel to HSBC USA Inc., a Maryland corporation (the ?Company?), in connection with certain senior debt securities (the ?Notes?) which will be issued from time to time by the Company. The offerings of t |
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| March 5, 2015 |
HSBC USA 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2015 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identif |
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| March 5, 2015 |
As filed with the Securities and Exchange Commission on March 5, 2015 S-3ASR As filed with the Securities and Exchange Commission on March 5, 2015 Registration No. |
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| March 5, 2015 |
Exhibit 4.3 to HSBC USA Inc.'s Registration Statement on Form S-3, Registration No. 333-202524 EX-4.3 Exhibit 4.3 SECOND SUPPLEMENTAL INDENTURE Dated as of March 5, 2015 between HSBC USA INC., as Issuer and WELLS FARGO BANK, NATIONAL ASSOCIATION, as Trustee to the INDENTURE dated as of March 31, 2009 relating to Senior Debt Securities Second Supplemental Indenture, dated as of March 5, 2015 (this “Second Supplemental Indenture”) between HSBC USA INC., a Maryland corporation (the “Company”), |
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| March 5, 2015 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ? CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) A National |
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| March 5, 2015 |
EX-1.1 Exhibit 1.1 HSBC USA INC. Underwriting Agreement [ , ] HSBC Securities (USA) Inc. As Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the ?Underwriters?) the securities |
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| March 5, 2015 |
Exhibit 25.3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ? CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) DEUTSCHE BANK TRUST COMPANY AMERICAS (formerly BANKERS TRUST COMPANY) (Exact name of trustee as specifi |
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| March 5, 2015 |
EX-1.2 Exhibit 1.2 HSBC USA INC. Underwriting Agreement [ , ] HSBC Securities (USA) Inc. As Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters”), for whom you |
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| March 5, 2015 |
HSBC USA INC. SENIOR DEBT SECURITIES AMENDED AND RESTATED DISTRIBUTION AGREEMENT March 5, 2015 EX-1.4 Exhibit 1.4 HSBC USA INC. SENIOR DEBT SECURITIES AMENDED AND RESTATED DISTRIBUTION AGREEMENT March 5, 2015 Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park New York, NY 10036 (“Merrill Lynch”) and each person that shall have become an Agent as provided in Section 2(d) hereof (the “Agents”): Dear Ladies and Gentlemen: HSBC USA Inc., a Maryland corporation (the “Company”), c |
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| February 23, 2015 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Year Ended December 31, 2014 2013 2012 2011 2010 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 354 $ (338 ) $ (1,248 ) $ 455 $ 1,006 Income tax expense (benefit) (56 ) 156 422 314 526 Less: Undistribut |
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| February 23, 2015 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2015 (February 23, 2015) HSBC USA INC. (Exact name of registrant as specified in its charter) Commission File Number 1-7436 Maryland 13-2764867 (State or other jurisdicti |
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| February 23, 2015 |
EXHIBIT 21 SUBSIDIARIES OF HSBC USA INC. U.S. Affiliates: Names of Subsidiaries USA or U.S. State Organized Cabot Park Holdings, Inc. Delaware Capco/Cove, Inc. New York Card-Flo #1, Inc. Delaware Card-Flo #3, Inc. Delaware CBS/Holdings, Inc. New York Eagle Rock Holdings, Inc. New York Ellenville Holdings, Inc. New York F-Street Holdings, Inc. Delaware Giller Ltd. New York GWML Holdings, Inc. Delaw |
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| February 23, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. (Exa |
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| February 23, 2015 |
Exhibit 16.1 February 23, 2015 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for HSBC USA Inc. (the Company) and, under the date of February 23, 2015, we reported on the consolidated financial statements of the Company as of and for the years ended December 31, 2014 and 2013. On February 23, 2015, we were dismissed. We have |
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| February 20, 2015 |
Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2015 (February 16, 2015) HSBC USA INC. (Exact name of registrant as specified in its charter) Commission File Number 1-7436 Maryland 13-2764867 (State or other jurisdicti |
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| November 13, 2014 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2014 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identif |
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| November 3, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA |
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| November 3, 2014 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Nine Months Ended September 30, 2014 2013 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 284 $ 367 Income tax expense (benefit) (86 ) 228 Less: Undistributed equity earnings — — Fixed charges: Interest |
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| September 12, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): September 12, 2014 HSBC USA INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Maryland 1-7436 13-2764867 (State or other jurisdiction of incorporation ) (Commission File Num |
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| September 12, 2014 |
HSBC Announces Settlement Agreement with FHFA EX-99.1 2 hsbc-usa8kex9910911.htm HSBC Announces Settlement Agreement with FHFA NEW YORK, September 12, 2014 - HSBC today announced it has reached an agreement with the Federal Housing Finance Agency (‘FHFA’) to settle the claims brought by FHFA in 2011 related to residential mortgage-backed securities (‘RMBS’) that Fannie Mae and Freddie Mac purchased from HSBC between 2005 and 2007. HSBC ceased |
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| August 4, 2014 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Six Months Ended June 30, 2014 2013 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ 283 $ 363 Income tax expense (benefit) (57 ) 196 Less: Undistributed equity earnings — — Fixed charges: Interest |
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| August 4, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. |
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| June 23, 2014 |
Financial Statements and Exhibits - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2014 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identificat |
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| June 16, 2014 |
Exhibit 99.1 16 June 2014 HSBC NORTH AMERICA – SENIOR MANAGEMENT CHANGES *** Pat Burke appointed President and Chief Executive of HSBC US *** *** Irene Dorner to retire as Group Managing Director of HSBC Holdings plc and President and Chief Executive of HSBC US *** *** Rhydian Cox appointed to new position of Head of Regulatory Remediation, HSBC US *** Patrick (Pat) Burke (52) has been appointed P |
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| June 16, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): June 16, 2014 HSBC USA INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Maryland 1-7436 13-2764867 (State or other jurisdiction of incorporation ) (Commission File Number) |
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| May 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| May 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. |
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| May 7, 2014 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Three Months Ended March 31, 2014 2013 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ 104 $ 183 Income tax expense 149 125 Less: Undistributed equity earnings — — Fixed charges: Interest on: Borr |
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| April 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2014 (April 23, 2014) HSBC USA INC. (Exact name of registrant as specified in its charter) Commission File Number 1-7436 Maryland 13-2764867 (State or other jurisdiction of |
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| April 28, 2014 |
HSBC USA INC. (As Amended and Restated effective April 23, 2014) HSBC USA INC. ARTICLE I HSBC USA INC. BY‑LAWS (As Amended and Restated effective April 23, 2014) BY-LAWS OF HSBC USA INC. ARTICLE I OFFICES Section 1.1 The principal office of HSBC USA Inc. (the "Corporation") in the State of Maryland shall be in the City of Baltimore, State of Maryland. Section 1.2 The Corporation may also have offices at such other place or places, both within and without the State of Maryland, as the |
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| March 26, 2014 |
HSBC North America Holdings Inc. CCAR 2014 Result Exhibit 99.1 HSBC North America Holdings Inc. CCAR 2014 Result New York – March 26, 2014 – The Board of Governors of the Federal Reserve System (Federal Reserve) informed HSBC North America Holdings Inc. (HSBC North America), the indirect parent company of HSBC USA Inc. (HSBC USA) and HSBC Finance Corporation, that it did not object to HSBC North America's capital actions, including payment of div |
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| March 26, 2014 |
Financial Statements and Exhibits, Other Events 8-K 1 hsbc-usa8k0326.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): March 26, 2014 (March 26, 2014) HSBC USA INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Maryland 1-7436 13-2764867 (State or other jurisdiction o |
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| March 10, 2014 |
SC 13G 1 husi022814.htm SCHEDULE 13G HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 HSBC USA Inc. (Name of Issuer) HSBC USA INC FLT PERPETUAL (Title of Class of Securities) 40428H805 (CUSIP Number) February 28, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
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| February 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. (Exa |
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| February 24, 2014 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Year Ended December 31, 2013 2012 2011 2010 2009 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ (338 ) $ (1,248 ) $ 455 $ 1,006 $ (167 ) Income tax expense 71 338 227 439 (98 ) Less: Undistribute |
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| February 24, 2014 |
EXHIBIT 21 Subsidiaries of HSBC USA Inc. U.S. Affiliates Names of Subsidiaries USA or U.S. State Organized Cabot Park Holdings, Inc. Delaware Capco/Cove, Inc. New York Card-Flo #1, Inc. Delaware Card-Flo #3, Inc. Delaware CBS/Holdings, Inc. New York Eagle Rock Holdings, Inc. New York Ellenville Holdings, Inc. New York F-Street Holdings, Inc. Delaware Giller Ltd. New York GWML Holdings, Inc. Delawa |
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| November 4, 2013 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Nine Months Ended September 30, 2013 2012 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ 367 $ (1,295 ) Income tax expense 164 357 Less: Undistributed equity earnings — — Fixed charges: Interest |
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| November 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA |
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| October 4, 2013 |
October 4, 2013 Via EDGAR Correspondence Ms. Stephanie J. Ciboroski Senior Assistant Chief Accountant Securities and Exchange Commission 100 F Street N.E. Washington D.C. 20549 Re: HSBC USA Inc. Form 10-K for Fiscal Year Ended December 31, 2012 Form 10-Q for the Quarterly Period Ended June 30, 2013 File No. 001-07436 Dear Ms. Ciboroski: This letter is the response of HSBC USA Inc. (the “Company” o |
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| September 24, 2013 |
EX-4 Exhibit 4 NO. Registered CUSIP No. 40428H PK2 ISIN No. US40428HPK22 Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to Issuer or its agent for registration of transfer, exchange or payment and any certificate issued is registered in the name of Cede & Co. or in such other name as is requested by an authorize |
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| September 24, 2013 |
Financial Statements and Exhibits - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 24, 2013 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employ |
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| August 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. |
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| August 5, 2013 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Six Months Ended June 30, 2013 2012 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ 363 $ (513 ) Income tax expense 153 369 Less: Undistributed equity earnings — — Fixed charges: Interest on: Borr |
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| June 7, 2013 |
Exhibit 4 [Form of Zero Coupon Callable Accreting Notes due June 17, 2043] GLOBAL SECURITY FOR DEBT SECURITIES, SERIES 1 HSBC USA Inc. |
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| June 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE THE SECURITIES EXCHANGE ACT OF 1934 HSBC USA Inc. (Exact name of Registrant as specified in Its Charter) Maryland 13-2764867 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 45 |
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| May 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. |
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| May 7, 2013 |
Other Events - HSBC BANK USA 1Q2013 CALL REPORT NOTIFICATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2013 HSBC USA INC. (Exact name of registrant as specified in its charter) Commission File Number 1-7436 Maryland 13-2764867 (State or other jurisdiction of incorporation) (IRS |
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| May 7, 2013 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Three Months Ended March 31, 2013 2012 (dollars are in millions) Ratios excluding interest on deposits: Income from continuing operations $ 183 $ 80 Income tax expense 104 18 Less: Undistributed equity earnings — — Fixed charges: Interest on: Borrowed fund |
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| April 30, 2013 |
Exhibit 4 [Form of Zero Coupon Callable Accreting Notes due May 7, 2043] GLOBAL SECURITY FOR DEBT SECURITIES, SERIES 1 HSBC USA Inc. |
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| April 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE THE SECURITIES EXCHANGE ACT OF 1934 HSBC USA Inc. (Exact name of Registrant as specified in Its Charter) Maryland 13-2764867 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 45 |
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| April 29, 2013 |
HSBC USA INC. (As Amended and Restated effective April 24, 2013) HSBC USA INC. ARTICLE I Exhibit 3.1 HSBC USA INC. BY-LAWS (As Amended and Restated effective April 24, 2013) BY-LAWS OF HSBC USA INC. ARTICLE I OFFICES Section 1.1 The principal office of HSBC USA Inc. (the "Corporation") in the State of Maryland shall be in the City of Baltimore, State of Maryland. Section 1.2 The Corporation may also have offices at such other place or places, both within and without the State of Maryl |
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| April 29, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2013 Commission file number 1-8198 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation) 13-2764867 (IRS Employer Identifica |
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| March 15, 2013 |
Correspondence Letter March 15, 2013 Via EDGAR Correspondence Ms. Stephanie J. Ciboroski Senior Assistant Chief Accountant Securities and Exchange Commission 100 F Street N.E. Washington D.C. 20549 Re: HSBC USA Inc. Form 10-K for Fiscal Year Ended December 31, 2011 Form 10-Q for Fiscal Quarter Ended September 30, 2012 File No. 001-07436 Dear Ms. Ciboroski: This letter is the response of HSBC USA I |
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| March 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-7436 HSBC USA Inc. (Exa |
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| March 4, 2013 |
EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Year Ended December 31, 2012 2011 2010 2009 2008 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ (1,248 ) $ 455 $ 1,006 $ (167 ) $ (1,698 ) Income tax (benefit) expense 338 227 439 (98 ) (924 ) Le |
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| March 4, 2013 |
EXHIBIT 21 Subsidiaries of HSBC USA Inc. U.S. Affiliates: Names of Subsidiaries USA or U.S. State Organized Cabot Park Holdings, Inc. Delaware Capco/Cove, Inc. New York Card-Flo #1, Inc. Delaware Card-Flo #3, Inc. Delaware CBS/Holdings, Inc. New York Eagle Rock Holdings, Inc. New York Ellenville Holdings, Inc. New York F-Street Holdings, Inc. Delaware Giller Ltd. New York GWML Holdings, Inc. Delaw |
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| February 22, 2013 |
Writer's Direct Dial: (212) 225-2376 E-Mail: [email protected] February 22, 2013 BY EDGAR Ms. Stephanie J. Ciboroski Senior Assistant Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 United States Re: HSBC USA Inc. (“HUSI”) Form 10-K for Fiscal Year Ended December 31, 2011 Form 10-Q for Fiscal Quarter Ended September 30, 2012 File No. 001-07436 Dear Ms. C |
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| February 4, 2013 |
Other Events - HSBC BANK USA 4Q2013 CALL REPORT NOTIFICATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2013 HSBC USA INC. (Exact name of registrant as specified in its charter) Commission File Number 1-7436 Maryland 13-2764867 (State or other jurisdiction of incorporation) |
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| January 25, 2013 |
Exhibit 4 [FORM OF ZERO COUPON CALLABLE ACCOUNTING NOTE DUE JANUARY 29, 2043] GLOBAL SECURITY FOR DEBT SECURITIES, SERIES 1 HSBC USA Inc. |
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| January 25, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE THE SECURITIES EXCHANGE ACT OF 1934 HSBC USA Inc. (Exact name of Registrant as specified in Its Charter) Maryland 13-2764867 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 45 |
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| January 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE THE SECURITIES EXCHANGE ACT OF 1934 HSBC USA Inc. (Exact name of Registrant as specified in Its Charter) Maryland 13-2764867 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 45 |
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| January 9, 2013 |
GLOBAL SECURITY FOR DEBT SECURITIES, SERIES 1 HSBC USA Inc. Exhibit 4 GLOBAL SECURITY FOR DEBT SECURITIES, SERIES 1 HSBC USA Inc. THIS DEBT SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF that certain Indenture dated as of March 31, 2009 (as IT HAS BEEN AND AS IT MAY BE FURTHER amended, modified or supplemented from time to time, the “Indenture”) between HSBC USA Inc. and Wells fargo bank, national association, as trustee (THE “TRUSTEE”, which TERM INC |
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| December 21, 2012 |
Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2012 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Ide |
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| December 12, 2012 |
EX-10.3 Exhibit 10.3 UNITED STATES OF AMERICA DEPARTMENT OF THE TREASURY COMPTROLLER OF THE CURRENCY ) In the Matter of: ) ) AA-EC-12-112 HSBC Bank USA, N.A. ) McLean, Virginia ) ) ) CONSENT ORDER FOR THE ASSESSMENT OF A CIVIL MONEY PENALTY The Comptroller of the Currency of the United States of America (“Comptroller”), through his national bank examiners and other staff of the Office of the Compt |
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| December 12, 2012 |
EX-10.1 Exhibit 10.1 UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK X UNITED STATES OF AMERICA -against- Cr. No. 12-763 HSBC BANK USA, N.A. and HSBC HOLDINGS PLC, Defendants. X DEFERRED PROSECUTION AGREEMENT Defendant HSBC Bank USA, N.A., a federally chartered banking institution and subsidiary of HSBC North America Holdings, Inc., and defendant HSBC Holdings plc, a financial institutio |
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| December 12, 2012 |
EX-10.2 Exhibit 10.2 UNITED STATES OF AMERICA DEPARTMENT OF THE TREASURY COMPTROLLER OF THE CURRENCY ) In the Matter of: ) AA-EC-2012-140 HSBC Bank USA, N.A. ) McLean, Virginia ) ) CONSENT ORDER The Comptroller of the Currency of the United States of America (“Comptroller”), through his national bank examiners has conducted an examination of HSBC Bank USA, N.A., McLean, Virginia (“Bank”). The Comp |
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| December 12, 2012 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): December 11, 2012 HSBC USA INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Maryland 1-7436 13-2764867 (State or other jurisdiction of incorporation ) (Commission File Numb |
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| December 12, 2012 |
EX-10.5 Exhibit 10.5 UNITED STATES OF AMERICA DEPARTMENT OF THE TREASURY FINANCIAL CRIMES ENFORCEMENT NETWORK IN THE MATTER OF: ) ) ) ) Number 2012-02 HSBC Bank USA N.A. ) McLean, Virginia ) CONSENT TO THE ASSESSMENT OF CIVIL MONEY PENALTY I. INTRODUCTION Under the authority of the Bank Secrecy Act and regulations issued pursuant to that Act,1 the Financial Crimes Enforcement Network has determine |
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| December 12, 2012 |
EX-10.4 Exhibit 10.4 AGREEMENT BY AND BETWEEN HSBC BANK USA, N.A. McLEAN, VIRGINIA AND THE OFFICE OF THE COMPTROLLER OF THE CURRENCY HSBC Bank USA, N.A., McLean, Virginia (“Bank”) is a national bank subject to the limitations on controlling or holding an interest in financial subsidiaries set forth in 12 U.S.C. § 24a and 12 C.F.R. § 5.39. The Comptroller of the Currency of the United States (“Comp |
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| December 12, 2012 |
HSBC ANNOUNCES SETTLEMENTS WITH AUTHORITIES EX-99.1 Exhibit 99.1 11 December 2012 HSBC ANNOUNCES SETTLEMENTS WITH AUTHORITIES HSBC has reached agreement with United States authorities in relation to investigations regarding inadequate compliance with anti-money laundering and sanctions laws. This includes a Deferred Prosecution Agreement (DPA) with the US Department of Justice. HSBC has also reached agreement to achieve a global resolution |
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| November 5, 2012 |
EX-12 EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Nine Months Ended September 30, 2012 2011 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ (1,295 ) $ 433 Income tax expense (benefit) 357 238 Less: Undistributed equity earnings - - Fixed charges: In |
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| November 5, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| August 20, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2012 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identifica |
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| August 8, 2012 |
Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2012 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identifica |
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| July 30, 2012 |
EX-12 EXHIBIT 12 HSBC USA INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Six Months Ended June 30, 2012 2011 (dollars are in millions) Ratios excluding interest on deposits: Income (loss) from continuing operations $ (513 ) $ 261 Income tax expense (benefit) 369 121 Less: Undistributed equity earnings - - Fixed charges: Interest o |
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| July 30, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 27, 2012 |
Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2012 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identificat |
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| July 20, 2012 |
Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2012 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identificat |
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| June 11, 2012 |
Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2012 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identificati |
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| May 25, 2012 |
Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2012 Commission file number 1-7436 HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland 13-2764867 (State of incorporation) (IRS Employer Identificati |
