HSBC USA INC /MD/

Filing date
2016-10-18
Submission
0001140361-16-082906.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Alderoty Stuart A [ Officer, Sr Ex V.P. and General Counsel, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2016-05-19
Submission
0001140361-16-066238.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Kroeger Barry [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2016-05-05
Submission
0001140361-16-063506.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Dalton William R [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2016-05-05
Submission
0001140361-16-063508.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
O'Connor Patricia M [ Officer, Head of FCC & BSA Comp Officer, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2016-04-28
Submission
0001140361-16-062387.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Gillan-Myer Maureen A [ Officer, EVP, Hd of Human Resources USA, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-11-05
Submission
0001140361-15-039854.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Ekert Steven G [ Officer, Chief Risk Officer-GBM, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-11-05
Submission
0001140361-15-039856.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Nesbitt Stephen R [ Officer, Head of Regulatory Remediation, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-06-29
Submission
0001209191-15-057212.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR-Z
Reporting Owner
Ameen Phillip D [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transHSBC USA Inc. $2.8575 Cumulative Preferred Stock (HUSI PR-Z)2015-06-264J : Other acqui. or dispo.False3150.00D0D
Filing date
2015-06-10
Submission
0001209191-15-051812.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Sanchez Pablo [ Officer, See Remarks, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-06-10
Submission
0001209191-15-051811.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Newman Kevin [ Officer, See Remarks, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-06-10
Submission
0001209191-15-051810.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Sherburne Jane Cecile [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-05-15
Submission
0001209191-15-043248.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Tabaka William [ Officer, See Remarks, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-05-15
Submission
0001209191-15-043246.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Leroni Ian [ Officer, See Remarks, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-05-07
Submission
0001209191-15-039853.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
HERDMAN ROBERT [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-04-10
Submission
0001209191-15-033544.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Nolan Patrick M [ Officer, See Remarks, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-04-10
Submission
0001209191-15-033543.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Roland Thierry [ Officer, See Remarks, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-02-02
Submission
0001140361-15-003630.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Bottomley Steve A [ Officer, Sr Ex VP, Head of Comm Bnkg, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-02-02
Submission
0001140361-15-003632.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Crowell Wyatt E [ Officer, SEVP, Head of Commercial Bnkg, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-01-02
Submission
0001140361-15-000020.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Schwartz Patrick D [ Officer, EVP and Corporate Secretary, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Filing date
2015-01-02
Submission
0001140361-15-000028.nc
Form
3 Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
HSBC USA INC /MD/ HUSI PR
Reporting Owner
Pisarczyk Karen [ Officer, EVP and Corporate Secretary, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
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