NYSE Bonds Ex Clearing Securities

NYSE
Bonds
Ex‐Clearing Securities
March 2021
Bond UL Alt Face

Symbol Name Symbol CUSIP Symbol Symb Suffix Value Coupon Maturity Date Exc
Archer‐Daniels‐Midland Company 5.765 03/01/2041 ADM41 039483BC5 ADM 41 1,000 5.765 03/01/2041 U

Aegon N.V. 5.500% Fixed‐to‐Floating Rate
04/11/2048 AEG48 007924AJ2 AEG 48 1,000 5.500 04/11/2048 N
Ipalco Enterprises Inc. 4.25% SNR NTS 05/01/2030 AES/30 462613AP5 AES / 30 1,000 4.250 05/01/2030 U

Federal Agricultural Mortgage Corporation 5
05/14/2024 AGM24 31315PHD4 AGM 24 1,000 5.000 05/14/2024 U
Federal Agricultural Mortgage Corporation 5.25
11/20/2024 AGM24A 31315PCY3 AGM 24A 1,000 5.250 11/20/2024 U
SUNAMERICA INC DEB 5.60% 07/31/2097 Face
Value 100 AIG/97 866930AG5 AIG / 97 100 5.600 07/31/2097 U
AMERICAN INTL GROUP 6.25% JR SUB 03/15/37 AIG37 026874BE6 AIG 37 1,000 6.250 03/15/2037 U
Air Lease Corporation 3.50% SR NT 01/15/2022 AL22B 00912XBD5 AL 22B 1,000 3.500 01/15/2022 U

Anthem Inc 3.65% 12/01/2027 ANTM27 036752AB9 ANTM 27 1,000 3.650 12/01/2027 U
United Cities Gas Co 6.67 12/15/2025 ATO/25 90982PAA5 ATO / 25 1,000 6.670 12/15/2025 U
WASH WATER PWR 7.53% 05/05/2023 Face Value
10,000 AVA/23 94068VAA1 AVA / 23 10,000 7.530 05/05/2023 U
WASH WATER PWR 7.18% 08/11/2023 Face Value
10,000 AVA/23A 94068VAV5 AVA / 23A 10,000 7.180 08/11/2023 U
WASH WATER PWR 6.37 6/19/2028 AVA/28 94068WAB7 AVA / 28 1,000 6.370 06/19/2028 U
WASH WATER PWR 6.37 6/19/2028 AVA/28A 94068WAC5 AVA / 28A 1,000 6.370 06/19/2028 U
AVERY DENNISON CO MTN BE FR 7.56% 05/23/2025 AVY25 05361HCE2 AVY 25 1,000 7.560 05/23/2025 U
AVERY DENNISON CO MTN BE FR 7.54% 05/26/2025 AVY25A 05361HCF9 AVY 25A 1,000 7.540 05/26/2025 U

AVERY DENNISON CORP 7.49 6/16/2025 AVY25B 05361HCK8 AVY 25B 1,000 7.490 06/16/2025 U
AVERY DENNISON CORP 7.52 7/15/2025 AVY25C 05361HCQ5 AVY 25C 1,000 7.520 07/15/2025 U
Golden State Water Co 6.81 03/23/2028 AWR/28 84250QAS2 AWR / 28 1,000 6.810 03/23/2028 U
BofA Finance LLC Bank of America Corporation
Senior Medium‐ Term Notes, Series A, Step Up
Callable Notes, due November 28, 2031 BAC/31B 09709TAA9 BAC / 31B 1,000 .000 11/28/2031 N
Bank of America Corp. 5.00% SR NTS 05/13/21 (Face
Value of 5,000) BAC21A 06051GEH8 BAC 21A 5,000 5.000 05/13/2021 U
Bank of America Corporation 0.00% 12/15/2037 BAC27B 06051GHN2 BAC 27B 1,000 .000 12/15/2037 U

Bank of America Corporation 7 12/15/2031 BAC31B 060505AK0 BAC 31B 1,000 7.000 12/15/2031 U
Bank of America Corporation 7 08/15/2032 BAC32A 060505AN4 BAC 32A 1,000 7.000 08/15/2032 U
Bank of America Corporation 5.875 05/03/2033 BAC33A 060505AP9 BAC 33A 1,000 5.875 05/03/2033 U

Bank of America Corporation 0.00% SNR MTN
08/02/2049 BAC49 06048WB74 BAC 49 1,000 .000 08/02/2049 U
Compass Bank 3.875 04/10/2025 BBVA/25 20453KAA3 BBVA / 25 1,000 3.875 04/10/2025 U
Barclays Bank PLC 5 07/09/2023 BCS/23 06738JGA6 BCS / 23 1,000 5.000 07/09/2023 U
Barclays PLC Floating Rate Senior Notes due 2021
08/10/2021 BCS21A 06738EAR6 BCS 21A 1,000 .000 08/10/2021 N
Page 1 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Barclays Bank plc 0 08/18/2021 BCS21C 06741JV89 BCS 21C 1,000 .000 08/18/2021 U
Barclays PLC Floating Rate Senior Notes Due 2023
01/10/2023 BCS23 06738EAT2 BCS 23 1,000 .000 01/10/2023 N
Barclays PLC 4.610% Fixed‐to‐Float SN NTS
02/15/2023 BCS23B 06738EBE4 BCS 23B 1,000 4.610 02/15/2023 N
Barclays PLC FLT SNR NTS 02/15/2023 BCS23C 06738EBF1 BCS 23C 1,000 .000 02/15/2023 N
Barclays PLC 4.338% Fixed to Float SR NTS
05/16/2024 BCS24A 06738EBB0 BCS 24A 1,000 4.338 05/16/2024 N
Barclays PLC FLT NTS 05/16/2024 BCS24B 06738EBC8 BCS 24B 1,000 .000 05/16/2024 N
Barclays PLC 3.932% SNR NTS Fixed‐to‐Float
05/07/2025 BCS25A 06738EBH7 BCS 25A 1,000 3.932 05/07/2025 N
Barclays PLC 2.852% SNR NTS Fixed‐to‐Float
05/07/2026 BCS26B 06738EBL8 BCS 26B 1,000 2.852 05/07/2026 N
Barclays PLC 4.972% Fixed to Float SR NTS
05/16/2029 BCS29 06738EBD6 BCS 29 1,000 4.972 05/16/2029 N
Barclays PLC 5.088% Fixed to Float SUB NTS
06/20/2030 BCS30 06738EBK0 BCS 30 1,000 5.088 06/20/2030 N
Barclays PLC 2.645% Fixed‐to‐Float SNR NTS
06/24/2031 BCS31 06738EBM6 BCS 31 1,000 2.645 06/24/2031 N
Black Hills Corp 4.2 09/15/2046 BKH46 092113AN9 BKH 46 1,000 4.200 09/15/2046 U
Bank of Montreal 1.9 08/27/2021 BMO21 06367TJX9 BMO 21 1,000 1.900 08/27/2021 U
Bank of Montreal 8.300.00% SNR MTN 11/29/2021 BMO21A 06367WH63 BMO 21A 1,000 .000 11/29/2021 U

Bank of Montreal 2.35 09/11/2022 BMO22A 06367TG38 BMO 22A 1,000 2.350 09/11/2022 U
Bank of Montreal 0.45% MTN 12/08/2023 BMO23 06368EA36 BMO 23 1,000 .450 02/08/2022 U
Bank of Montreal 0.00% SNR MTN 12/11/2023 BMO23A 06368EAB8 BMO 23A 1,000 .000 12/11/2023 U

Bank of Montreal 0.00% 08/29/2025 BMO25 06369ZKY9 BMO 25 1,000 .000 08/29/2025 U
Bank of Montreal 0.00% 10/14/2025 BMO25A 06369ZVG6 BMO 25A 1,000 .000 10/14/2025 U
Bank of Montreal 0.00% BNDS 06/11/2027 BMO27 06370ZDA6 BMO 27 1,000 .000 06/11/2027 U
Bank of Montreal 0.00% SNR MTN 03/04/2030 BMO30 06367WYE7 BMO 30 1,000 .000 03/04/2030 U

Bank of Nova Scotia/The 1.875 04/26/2021 BNS21C 06416CAC2 BNS 21C 1,000 1.875 04/26/2021 U
Bank of Nova Scotia 0.00% 10/21/2021 BNS21D 06415EEQ4 BNS 21D 1,000 .000 10/21/2021 U
Bank of Nova Scotia 0.00% SR NTS 11/04/2021 BNS21E 064159MP8 BNS 21E 1,000 .000 11/04/2021 U
Bank of Nova Scotia 0.00% SNR NTS 03/17/2021 BNS21G 064159NR3 BNS 21G 1,000 .000 03/17/2021 U
Bank of Nova Scotia 0.00% SNR NTS 05/05/2021 BNS21H 064159NT9 BNS 21H 1,000 .000 05/05/2021 U
Bank of Nova Scotia 0.00% SNR NTS 10/15/2021 BNS21I 064159NX0 BNS 21I 1,000 .000 10/15/2021 U
Bank of Nova Scotia 0.00% SNR NTS 10/15/2021 BNS21J 064159NW2 BNS 21J 1,000 .000 10/15/2021 U
Bank of Nova Scotia 0.00% SNR NTS 04/28/2021 BNS21K 064159NV4 BNS 21K 1,000 .000 04/28/2021 U
Bank of Nova Scotia 0.00% SNR NTS 05/05/2021 BNS21L 064159PA8 BNS 21L 1,000 .000 05/05/2021 U
Page 2 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Bank of Nova Scotia 0.00% SNR NTS 08/04/2021 BNS21M 064159PJ9 BNS 21M 1,000 .000 08/04/2021 U
Bank of Nova Scotia 0.00% UNSUB NTS 05/05/2021 BNS21N 064159QJ8 BNS 21N 1,000 .000 05/05/2021 U
Bank of Nova Scotia 0.00% UNSUB NTS 05/11/2021 BNS21O 064159QP4 BNS 21O 1,000 .000 05/11/2021 U
Bank of Nova Scotia 0.00% SR NT 02/25/2022 BNS22 064159MU7 BNS 22 1,000 .000 02/25/2022 U
Bank of Nova Scotia 0.00% UNSUB NTS 11/22/2022 BNS22A 064159QX7 BNS 22A 1,000 .000 11/22/2022 U
Bank of Nova Scotia 0.00% SNR MTN 09/09/2022 BNS22B 064159TJ5 BNS 22B 1,000 .000 09/09/2022 U
Bank of Nova Scotia 0.00% UNSUB NTS 01/19/2022 BNS22C 064159UC8 BNS 22C 1,000 .000 01/19/2022 U
Bank of Nova Scotia 0.00% UNSUB NTS 10/05/2022 BNS22D 064159UW4 BNS 22D 1,000 .000 10/05/2022 U
Bank of Nova Scotia 0.00% UNSUB NTS 05/11/2022 BNS22E 064159XJ0 BNS 22E 1,000 .000 05/11/2022 U
Bank of Nova Scotia 0.00% UNSUB NTS 11/04/2022 BNS22F 064159YD2 BNS 22F 1,000 .000 11/04/2022 U
Bank of Nova Scotia 0.00% SNR MTN 03/24/2023 BNS23 064159PD2 BNS 23 1,000 .000 03/24/2023 U
Bank of Nova Scotia 0.00% SNR NTS 08/16/2023 BNS23A 064159PT7 BNS 23A 1,000 .000 08/16/2023 U
Bank of Nova Scotia 0.00% SNR NTS 11/02/2023 BNS23B 064159QQ2 BNS 23B 1,000 .000 11/02/2023 U
Bank of Nova Scotia 0.00% UNSUB NTS 12/27/2023 BNS23D 064159G67 BNS 23D 1,000 .000 12/27/2023 U
Bank of Nova Scotia 0.00% UNSUB NTS 12/24/2024 BNS24A 064159RM0 BNS 24A 1,000 .000 12/24/2924 U

BP Capital Markets p.l.c. Floating Rate Guaranteed
Notes due 2021 09/16/2021 BP/21D 05565QDE5 BP / 21D 1,000 .000 09/16/2021 N
BP p.l.c. Floating Rate Guaranteed Notes due 2022
09/19/2022 BP/22D 05565QDQ8 BP / 22D 1,000 1.974 09/19/2022 N
BP Capital Markets America Inc. FLT NTS
09/19/2022 BP/22H 10373QBD1 BP / 22H 1,000 .000 09/19/2022 N
BP Capital Markets p.l.c. 4.375% PERP SUB Non‐Call
5.25% Fixed Rate Reset Notes BP/P1 05565QDU9 BP / P1 1,000 4.375 06/24/2120 N
BP Capital Markets p.l.c. 4.875% PERP SUB Non‐Call
5.25% Fixed Rate Reset Notes BP/P2 05565QDV7 BP / P2 1,000 4.875 06/24/2120 N
PACIFICORP SECD MTN‐BOOK ENTRY FR 8.53%
12/16/2021 BRK.B/21 69512EBY0 BRK.B / 21 1,000 8.530 12/16/2021 U
09/14/2022 BRK.B/22A 69512EDS1 BRK.B / 22A 2,000 8.050 09/14/2022 U
09/01/2022 BRK.B/22B 69512EDZ5 BRK.B / 22B 2,000 8.050 09/01/2022 U
09/09/2022 BRK.B/22C 69512EDP7 BRK.B / 22C 2,000 8.120 09/09/2022 U
Berkshire Hathaway Energy Company 4.25% SNR
NTS 10/15/2050 BRK.B/50D 084659AX9 BRK.B / 50D 1,000 4.250 10/15/2050 U
B.A.T Capital Corporation FLT NTS 08/15/2022 BTI22A 05526DAX3 BTI 22A 1,000 .000 08/15/2022 N
Page 3 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Citigroup Global Markets Holdings Inc Medium‐
Term Senior Notes, Series N, Callable Step‐Up
Coupon Notes Due March 31, 2036 C/36A 17324C2B1 C / 36A 1,000 .000 03/31/2036 N
Citigroup Inc. 4.05 11/10/2035 C35 17298C4H8 C 35 1,000 4.050 11/10/2035 U
Citibank, N.A. 7 08/19/2035 C35A 172986HZ7 C 35A 1,000 7.000 08/19/2035 U
Caterpillar Inc. 7.375 03/01/2097 CAT97 149123BE0 CAT 97 1,000 7.375 03/01/2097 U
CABOT CORP 8.36 8/17/2022 CBT22A 12705QAN5 CBT 22A 1,000 8.360 08/17/2022 U
Century Communities Inc 6.875 05/15/2022 CCS22A 156504AE2 CCS 22A 1,000 6.875 05/15/2022 U
Celanese US Holdings LLC 1.25% Senior Notes Due
2025 02/11/2025 CE/25 15089QAG9 CE / 25 1,000 1.250 02/11/2025 N
Citizens Bank NA/Providence RI 2.55 05/13/2021 CFG/21 17401QAE1 CFG / 21 1,000 2.550 05/13/2021 U
Citizens Financial Group Inc 4.082 01/31/2025 CFG25B 174610AG0 CFG 25B 1,000 4.082 01/31/2025 U

BanColombia S.A. 4.625% SUB NTS Fixed to Float
12/18/2029 CIB29 05968LAL6 CIB 29 1,000 4.625 12/18/2029 N
Canadian Imperial Bank of Commerce 0.00% SNR
GMT 12/15/2021 CM/21AK 13605WM73 CM / 21AK 1,000 .000 12/15/2021 U
Canadian Imperial Bank of Commerce 0.00% UNSUB
GMTN 10/25/2021 CM21AA 13605WXF3 CM 21AA 1,000 .000 10/25/2021 U
GMTN 11/03/2021 CM21AB 13605WXM8 CM 21AB 1,000 .000 11/03/2021 U
GMTN 11/03/2021 CM21AC 13605WXP1 CM 21AC 1,000 .000 11/03/2021 U
GMTN 08/04/2021 CM21AD 13605WXS5 CM 21AD 1,000 .000 08/04/2021 U
GMTN 09/15/2021 CM21AE 13605WYB1 CM 21AE 1,000 .000 09/15/2021 U
GMTN 10/28/2021 CM21AF 13605WYR6 CM 21AF 1,000 .000 10/28/2021 U
GMTN 07/26/2021 CM21AG 13605WZD6 CM 21AG 1,000 .000 07/26/2021 U
GMTN 09/08/2021 CM21AH 13605WB26 CM 21AH 1,000 .000 09/08/2021 U
GMTN 11/03/2021 CM21AI 13605WA84 CM 21AI 1,000 .000 11/03/2021 U
GMTN 09/09/2021 CM21AJ 13605WA76 CM 21AJ 1,000 .000 09/09/2021 U
GMTN 04/08/2021 CM21C 13605WQE4 CM 21C 1,000 .000 04/08/2021 U
GMTN 03/24/2021 CM21D 13605WQF1 CM 21D 1,000 .000 03/24/2021 U
GMTN 07/13/2021 CM21E 13605WQL8 CM 21E 1,000 .000 07/13/2021 U
GMTN 08/25/2021 CM21G 13605WRU7 CM 21G 1,000 .000 08/25/2021 U
GMTN 08/18/2021 CM21H 13605WRW3 CM 21H 1,000 .000 08/18/2021 U
GMTN 06/09/2021 CM21I 13605WSG7 CM 21I 1,000 .000 06/09/2021 U
Page 4 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

GMTN 10/28/2021 CM21J 13605WRZ6 CM 21J 1,000 .000 10/28/2021 U
GMTN 03/24/2021 CM21K 13605WSP7 CM 21K 1,000 .000 03/24/2021 U
GMTN 10/06/2021 CM21L 13605WSV4 CM 21L 1,000 .000 10/06/2021 U
GMTN 10/12/2021 CM21M 13605WSW2 CM 21M 1,000 .000 10/12/2021 U
GMTN 10/06/2021 CM21N 13605WTB7 CM 21N 1,000 .000 10/06/2021 U
GMTN 10/20/2021 CM21O 13605WTD3 CM 21O 1,000 .000 10/20/2021 U
GMTN 08/04/2021 CM21P 13605WTG6 CM 21P 1,000 .000 08/04/2021 U
GMTN 11/03/2021 CM21Q 13605WTE1 CM 21Q 1,000 .000 11/03/2021 U
GMTN 04/21/2021 CM21R 13605WTX9 CM 21R 1,000 .000 04/21/2021 U
GMTN 12/08/2021 CM21S 13605WUK5 CM 21S 1,000 .000 12/08/2021 U
GMTN 09/15/2021 CM21T 13605WUH2 CM 21T 1,000 .000 09/15/2021 U
GMTN 09/15/2021 CM21U 13605WUM1 CM 21U 1,000 .000 09/15/2021 U
GMTN 08/04/2021 CM21V 13605WWL1 CM 21V 1,000 .000 08/04/2021 U
GMTN 11/10/2021 CM21W 13605WWF4 CM 21W 1,000 .000 11/10/2021 U
GMTN 12/23/2021 CM21X 13605WWQ0 CM 21X 1,000 .000 12/23/2021 U
GMTN 12/15/2021 CM21Z 13605WXA4 CM 21Z 1,000 .000 12/15/2021 U
GMTN 03/16/2022 CM22 13605WTC5 CM 22 1,000 .000 03/16/2022 U
GMTN 03/03/2022 CM22A 13605WTH4 CM 22A 1,000 .000 03/03/2022 U
GMTN 11/09/2022 CM22AA 13605WL90 CM 22AA 1,000 .000 11/09/2022 U
GMTN 02/22/2022 CM22AB 13605WL82 CM 22AB 1,000 .000 02/22/2022 U
GMTN 02/03/2022 CM22AC 13605WN49 CM 22AC 1,000 .000 02/03/2022 U
GMTN 02/03/2022 CM22AD 13605WN64 CM 22AD 1,000 .000 02/03/2022 U
GMTN 11/28/2022 CM22AE 13605WM99 CM 22AE 1,000 .000 11/28/2022 U
GMTN 12/09/2022 CM22AF 13605WP62 CM 22AF 1,000 .000 12/09/2022 U
GMTN 09/23/2022 CM22AG 13605WQ61 CM 22AG 1,000 .000 09/23/2022 U
GMTN 05/11/2022 CM22AH 13605WN56 CM 22AH 1,000 .000 05/11/2022 U
Page 5 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

GMTN 02/03/2022 CM22AI 13605WN72 CM 22AI 1,000 .000 02/03/2022 U
GMTN 12/23/2022 CM22AJ 13605WR94 CM 22AJ 1,000 .000 12/23/2022 U
GMTN 08/03/2022 CM22AK 13605WV57 CM 22AK 1,000 .000 08/03/2022 U
GMTN 03/10/2022 CM22AL 13605WU82 CM 22AL 1,000 .000 03/10/2022 U
GMTN 11/03/2022 CM22AM 13605WX22 CM 22AM 1,000 .000 11/03/2022 U
GMTN 03/18/2022 CM22AN 13605WX55 CM 22AN 1,000 .000 03/18/2022 U
GMTN 08/10/2022 CM22AO 13605WX30 CM 22AO 1,000 .000 08/19/2022 U
GMTN 01/27/2022 CM22B 13605WTS0 CM 22B 1,000 .000 01/27/2022 U
GMTN 01/13/2022 CM22C 13605WUF6 CM 22C 1,000 .000 01/13/2022 U
GMTN 01/13/2022 CM22D 13605WUG4 CM 22D 1,000 .000 01/13/2022 U
GMTN 02/03/2022 CM22E 13605WUR0 CM 22E 1,000 .000 02/03/2022 U
GMTN 07/12/2022 CM22F 13605WVC2 CM 22F 1,000 .000 07/12/2022 U
GMTN 02/03/2022 CM22G 13605WVN8 CM 22G 1,000 .000 02/03/2022 U
GMTN 02/22/2022 CM22H 136071BL0 CM 22H 1,000 .000 02/22/2022 U
GMTN 02/04/2022 CM22I 13605WVV0 CM 22I 1,000 .000 02/04/2022 U
MTN 06/23/2022 CM22J 13605WVU2 CM 22J 1,000 .000 06/23/2022 U
GMTN 07/25/2022 CM22K 13605WXH9 CM 22K 1,000 .000 07/25/2022 U
GMTN 05/25/2022 CM22L 13605WXV8 CM 22L 1,000 .000 05/25/2022 U
GMTN 02/03/2022 CM22M 13605WZB0 CM 22M 1,000 .000 02/03/2022 U
GMTN 07/26/2022 CM22N 13605WA50 CM 22N 1,000 .000 07/26/2022 U
GMTN 09/12/2022 CM22O 13605WZX2 CM 22O 1,000 .000 09/12/2022 U
GMTN 02/01/2022 CM22P 13605WA92 CM 22P 1,000 .000 02/01/2022 U
GMTN 10/05/2022 CM22Q 13605WC25 CM 22Q 1,000 .000 10/05/2022 U
MTN 08/10/2022 CM22R 13605WC41 CM 22R 1,000 .000 08/10/2022 U
GMTN 03/15/2022 CM22S 13605WE80 CM 22S 1,000 .000 03/15/2022 U
GMTN 03/15/2022 CM22T 13605WE98 CM 22T 1,000 .000 03/15/2022 U
Page 6 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

GMTN 06/07/2022 CM22U 13605WJ77 CM 22U 1,000 .000 06/07/2022 U
GMTN 04/28/2022 CM22V 13605WK26 CM 22V 1,000 .000 04/28/2022 U
GMTN 05/03/2022 CM22W 13605WK67 CM 22W 1,000 .000 05/03/2022 U
GMTN 05/11/2022 CM22Y 13605WK83 CM 22Y 1,000 .000 05/11/2022 U
GMTN 02/03/2022 CM22Z 13605WK91 CM 22Z 1,000 .000 02/03/2022 U
GMTN 02/24/2023 CM23A 13605WK75 CM 23A 1,000 .000 02/24/2023 U
GMTN 12/12/2023 CM23B 13605WQ87 CM 23B 1,000 .000 12/12/2023 U
GMTN 04/25/2023 CM23C 13605WS44 CM 23C 1,000 .000 04/25/2023 U
GMTN 06/09/2023 CM23D 13605WT68 CM 23D 1,000 .000 06/09/2023 U
GMTN 06/14/2023 CM23E 13605WU74 CM 23E 1,000 .000 06/14/2023 U
GMTN 03/22/2023 CM23F 13605WV24 CM 23F 1,000 .000 03/22/2023 U
GMTN 05/19/2025 CM25 13605WYE5 CM 25 1,000 .000 05/19/2025 U
MTN 08/10/2027 CM27 13598ZLB7 CM 27 1,000 .000 08/10/2027 U
Centene Corporation 4.75% 01/15/2025 Full Call
03/12/2021 CNC25 15135BAJ0 CNC 25 1,000 4.750 03/12/2021 U
Indiana Gas Co Inc 6.53 06/27/2025 CNP/25 45475QAC7 CNP / 25 1,000 6.530 06/27/2025 U
Indiana Gas Co Inc 6.34 12/10/2027 CNP/27B 45475QAL7 CNP / 27B 1,000 6.340 12/10/2027 U
Indiana Gas Co Inc 6.36 05/01/2028 CNP/28 45475QAP8 CNP / 28 1,000 6.360 05/01/2028 U
Indiana Gas Co Inc 6.55 06/30/2028 CNP/28A 45475QAQ6 CNP / 28A 1,000 6.550 06/30/2028 U
Indiana Gas Co Inc 7.08 10/05/2029 CNP/29A 45475QAR4 CNP / 29A 1,000 7.080 10/05/2029 U
Credit Suisse, Nassau Branch 0.00% SNR MTN
06/09/2021 CS/21A 22551LNZ9 CS / 21A 1,000 .000 06/09/2021 U
Credit Suisse AG 0.00% SNR MTN 05/05/2021 CS/21AA 22551NWU6 CS / 21AA 1,000 .000 05/05/2021 U
Credit Suisse AG 0.00% SNR MTN 10/06/2021 CS/21AB 22551NVW3 CS / 21AB 1,000 .000 10/06/2021 U
Credit Suisse AG 0.00% SNR MTN 11/12/2021 CS/21AC 22551NYW0 CS / 21AC 1,000 .000 11/12/2021 U
Credit Suisse AG 0.00% SNR MTN 10/13/2021 CS/21AD 22552WJ22 CS / 21AD 1,000 .000 10/13/2021 U
Credit Suisse AG 0.00% SNR MTN 11/23/2021 CS/21AE 22552WPJ8 CS / 21AE 1,000 .000 11/23/2021 U

08/15/2021 CS/21B 22551LPR5 CS / 21B 1,000 .000 08/15/2021 U
04/07/2021 CS/21D 22551LTC4 CS / 21D 1,000 .000 04/07/2021 U
Credit Suisse AG London Branch 0.00% SNR MTN
05/19/2021 CS/21G 22552FEK4 CS / 21G 1,000 .000 05/19/2021 U
Page 7 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

09/10/2021 CS/21K 22552FMV1 CS / 21K 1,000 .000 09/10/2021 U
Credit Suisse AG 0.00% SNR MTN 08/18/2021 CS/21M 22551N3Q7 CS / 21M 1,000 .000 08/18/2021 U

Credit Suisse AG New York Branch 2.10% SNR NTS
11/12/2021 CS/21O 22550L2A8 CS / 21O 1,000 2.100 11/12/2021 U
Credit Suisse AG 0.00% SNR MTN 03/10/2021 CS/21Q 22551NF35 CS / 21Q 1,000 .000 03/10/2021 U
Credit Suisse AG 0.00% SNR MTN 05/16/2022 CS/22 22552W7G4 CS / 22 1,000 .000 05/16/2022 U
Credit Suisse AG 0.00% SNR MTN 11/03/2022 CS/22AA 22552WTQ8 CS / 22AA 1,000 .000 11/03/2022 U
Credit Suisse AG 0.00% SNR MTN 08/10/2022 CS/22AB 22552WPK5 CS / 22AB 1,000 .000 08/10/2022 U
Credit Suisse AG 0.00% SNR MTN 12/21/2022 CS/22AC 22552WX42 CS / 22AC 1,000 .000 12/21/2022 U
Credit Suisse AG 0.00% SNR MTN 10/14/2022 CS/22AD 22552WPC3 CS / 22AD 1,000 .000 10/14/2022 U
Credit Suisse AG 0.00% SNR MTN 03/23/2022 CS/22AF 22552WPT6 CS / 22AF 1,000 .000 03/23/2022 U
Credit Suisse AG 0.00% SNR MTN 08/30/2022 CS/22AK 22552WYW9 CS / 22AK 1,000 .000 08/30/2022 U

12/21/2022 CS/22AL 22552X6M0 CS / 22AL 1,000 .000 12/21/2022 U
09/28/2022 CS/22AM 22552X6U2 CS / 22AM 1,000 .000 09/28/2022 U
11/14/2022 CS/22AN 22552XB36 CS / 22AN 1,000 .000 11/14/2022 U
Credit Suisse AG 0.00% SNR MTN 03/23/2022 CS/22B 22551NAW6 CS / 22B 1,000 .000 03/23/2022 U
Credit Suisse AG 0.00% SNR MTN 04/21/2022 CS/22C 22551NW93 CS / 22C 1,000 .000 04/21/2022 U
Credit Suisse AG 0.00% SNR MTN 03/09/2022 CS/22D 22551NY26 CS / 22D 1,000 .000 03/09/2022 U
Credit Suisse AG 0.00% SNR MTN 08/30/2022 CS/22E 22551NYT7 CS / 22E 1,000 .000 08/30/2022 U
Credit Suisse AG 0.00% SNR MTN 06/06/2022 CS/22I 22551NVX1 CS / 22I 1,000 .000 06/06/2022 U

Credit Suisse AG New York Branch 2.80% SNR MTN
04/08/2022 CS/22J 22550L2B6 CS / 22J 1,000 2.800 04/08/2022 U
Credit Suisse AG 0.00% SNR MTN 07/22/2022 CS/22K 22552WBS3 CS / 22K 1,000 .000 07/22/2022 U
Credit Suisse AG 0.00% SNR MTN 07/29/2022 CS/22L 22552WCP8 CS / 22L 1,000 .000 07/29/2022 U
Credit Suisse AG 0.00% SNR MTN 02/09/2022 CS/22M 22552WF34 CS / 22M 1,000 .000 02/09/2022 U
Credit Suisse AG 0.00% SNR MTN 02/04/2022 CS/22N 22552WND3 CS / 22N 1,000 .000 02/04/2022 U
Credit Suisse AG 0.00% SNR MTN 02/03/2022 CS/22O 22552WR31 CS / 22O 1,000 .000 02/03/2022 U
Credit Suisse AG 0.00% SNR MTN 05/18/2022 CS/22P 22552WXL4 CS /22P 1,000 .000 05/18/2022 U
Page 8 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

05/05/2023 CS/23 22550L2D2 CS / 23 1,000 1.000 05/05/2023 U
02/08/2023 CS/23C 22550MNP0 CS / 23C 1,000 .000 02/08/2023 U
CREDIT SUISSE LONDON 7.65 07/31/2024 CS/24A 22547QQM1 CS / 24A 1,000 7.650 07/31/2024 U
Credit Suisse AG New York Branch 0.495% SNR NTS
02/02/2024 CS/24B 22550L2E0 CS / 24B 1,000 .495 02/02/2024 U
04/09/2025 CS/25A 22550L2C4 CS / 25A 1,000 2.950 04/09/2025 U
Credit Suisse AG 0.00% SNR MTN 04/21/2025 CS/25B 22551NY67 CS / 25B 1,000 .000 04/21/2025 U
Credit Suisse AG 0.00% SNR MTN 05/28/2027 CS/27 22552W4L6 CS / 27 1,000 .000 05/28/2027 U
Credit Suisse AG 0.00% SNR MTN 09/24/2027 CS/27A 22552WLX1 CS / 27A 1,000 .000 09/24/2027 U
Credit Suisse AG 0.00% SNR MTN 09/24/2027 CS/27B 22552WLY9 CS / 27B 1,000 .000 09/24/2027 U
Credit Suisse AG London Branch 0 04/30/2030 CS/30 22546VBR6 CS / 30 1,000 .000 04/30/2030 U

Credit Suisse AG/Nassau 4 04/28/2031 CS/31 22548Q4C6 CS / 31 1,000 4.000 04/28/2031 U
Credit Suisse AG/Nassau 3.75 10/20/2036 CS/36 22548QJJ5 CS / 36 1,000 3.750 10/20/2036 U
CREDIT SUISSE NEW YORK 3 10/29/2021 CS21 22546QAR8 CS 21 1,000 3.000 10/29/2021 U
Credit Suisse AG 0.00% SNR MTN 10/06/2021 CS21A 22551NKB1 CS 21A 1,000 .000 10/06/2021 U
Credit Suisse AG 0.00% SNR MTN 11/24/2021 CS21B 22551NQK5 CS 21B 1,000 .000 11/24/2021 U
Credit Suisse AG 0.00% SNR MTN 08/27/2021 CS21C 22551NQF6 CS 21C 1,000 .000 08/27/2021 U
Credit Suisse AG 0.00% SNR MTN 03/16/2022 CS22A 22551NHU3 CS 22A 1,000 .000 03/16/2022 U
Credit Suisse AG 0.00% SNR MTN 02/25/2022 CS22B 22551NR57 CS 22B 1,000 .000 02/25/2022 U

Credit Suisse AG 7.8 10/30/2023 CS23 22548Q3N3 CS 23 1,000 7.800 10/30/2023 U
Credit Suisse AG 7.25 02/29/2024 CS24A 22548QDW2 CS 24A 1,000 7.250 02/29/2024 U
Credit Suisse AG 0 08/03/2026 CS26A 22548QCA1 CS 26A 1,000 .000 08/03/2026 U
Credit Suisse AG 0 05/18/2026 CS26B 22548Q5U5 CS 26B 1,000 .000 05/18/2026 U
Credit Suisse AG 0 05/04/2026 CS26D 22548Q4B8 CS 26D 1,000 .000 05/04/2026 U
Credit Suisse AG 10 10/31/2031 CS31 22548QKK0 CS 31 1,000 10.000 10/31/2031 U
DOMINION RESOURCES, INC 4.104 04/01/2021 D21B 25746UBT5 D 21B 1,000 4.104 04/01/2021 U

Deutsche Bank AG/London 3 04/19/2021 DB/21A 2515A1NG2 DB / 21A 1,000 3.000 04/19/2021 U
Deutsche Bank AG/London 3 07/15/2021 DB/21B 2515A1NL1 DB / 21B 1,000 3.000 07/15/2021 U
Deutsche Bank AG London Branch 0.00% UNSUB
NTS 12/20/2022 DB/22B 25152RAT0 DB / 22B 1,000 .000 12/20/2022 U
Deutsche Bank AG/London 3.25 08/15/2023 DB/23 25152R3B7 DB / 23 1,000 3.250 08/15/2023 U
Deutsche Bank Aktiengesellschaft Fixed to Float
Reset Rate Subordinated Tier 2 Notes due 2028
05/24/28 DB/28 251525AM3 DB / 28 1,000 4.296 05/24/2028 N
DEUTSCHE BANK AG LONDON 0 08/17/2034 DB/34A 25152RNT6 DB / 34A 1,000 .000 08/17/2034 U
Page 9 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Deutsche Bank AG 3.375 05/12/2021 DB21A 25152R5F6 DB 21A 1,000 3.375 05/12/2021 U
Deutsche Bank AG 3.05 09/15/2022 DB22 25152R4U4 DB 22 1,000 3.050 09/15/2022 U
Deutsche Bank AG 4.1 01/13/2026 DB26 25152R2Y8 DB 26 1,000 4.100 01/13/2026 U
DCP Midstream, LLC 4.75 09/30/2021 DCP21 23311RAG1 DCP 21 1,000 4.750 09/30/2021 U
Duke Realty LP/Old 7.25 06/15/2028 DRE/28 26441QAC8 DRE / 28 1,000 7.250 06/15/2028 U
DTE Energy Company 2.25% SNR NTS 11/01/2025 DTE25 233331BD8 DTE 25 1,000 2.250 11/01/2025 U

Duke Energy Indiana Inc 8.18 08/15/2022 DUK/22C 69363FBF8 DUK / 22C 1,000 8.180 08/15/2022 U
Duke Energy Indiana Inc 8.24 08/22/2022 DUK/22D 69363FBD3 DUK / 22D 1,000 8.240 08/22/2022 U
Duke Energy Indiana Inc 8.2 08/12/2022 DUK/22E 69363FBA9 DUK / 22E 1,000 8.200 08/12/2022 U
PIEDMONT NATL GAS INC MTN BE FR 7.40%
10/03/2025 DUK/25B 72018QAD3 DUK / 25B 1,000 7.400 10/03/2025 U
PIEDMONT NATL GAS INC MTN BE FR 7.50%
10/09/2026 DUK/26A 72018QAE1 DUK / 26A 1,000 7.500 10/09/2026 U
Duke Energy Carolinas LLC 7.2 03/31/2039 DUK/39B 264399DM5 DUK / 39B 1,000 7.200 03/31/2039 U
Ecopetrol S.A. 5.375% Notes Due 2026 06/26/2026 EC26 279158AL3 EC 26 1,000 5.375 06/26/2026 N

Encompass Health Corporation 4.50% SNR NTS
02/01/2028 EHC28A 29261AAC4 EHC 28A 1,000 4.500 02/01/2028 U
Encompass Health Corporation 4.75% SNR NTS
02/01/2030 EHC30A 29261AAD2 EHC 30A 1,000 4.750 02/01/2030 U
Eastman Chemical Company 4.65 10/15/2044 EMN44A 277432AS9 EMN 44A 1,000 4.650 10/15/2044 U
EQUITABLE RES INC MTN BE FR 8.98% 09/01/2021 EQT21 29455JAK3 EQT 21 1,000 8.980 09/01/2021 U

EQT CORP 8.93 10/1/2021 EQT21B 29455JAL1 EQT 21B 1,000 8.930 10/01/2021 U
EQT CORP 9 9/1/2021 EQT21C 29455JAJ6 EQT 21C 1,000 9.000 09/01/2021 U
EQT CORP 7.42 3/2/2023 EQT23 29455JBH9 EQT 23 1,000 7.420 03/02/2023 U
System Energy Resources, Inc. 2.14% 1ST MTG BND
12/09/2025 ETR/25A 871911AT0 ETR / 25A 1,000 2.140 12/09/2025 U
Entergy Mississippi, Inc. 2.85 06/01/2028 ETR/28A 29364NAT5 ETR / 28A 1,000 2.850 06/01/2028 U
Great Plains Energy Inc. 10.00% 06/15/2042 EVRG/42 391164AC4 EVRG / 42 1,000 10.000 06/15/2042 U
Ford Motor Credit Company LLC 4.125% NTS
06/20/2024 (denom ‐ Singapore Dollars) F/24O 34540UAD1 F / 24O 1,000 4.125 06/20/2024 N
Ford Motor Credit Company LLC 3.683% NTS
12/03/2024 (denom Australian Dollar) F/24Q 345397ZZ9 F / 24Q 1,000 3.683 12/03/2024 N
Ford Motor 8.875% debentures due 01/15/2022 F22 345370BJ8 F 22 5,000 8.875 01/15/2022 U

Ford Motor 7.75% debs due 06/15/2043 (Face Value
of 5,000) F43 345370BM1 F 43 5,000 7.750 06/15/2043 U
Ford Motor 7.40% debentures due 11/01/2046
(Face Value of 5,000) F46 345370BR0 F 46 5,000 7.400 11/01/2046 U
Ford Motor 7.70% debs due 5/15/2097 (Face Value
of 5,000) F97 345370BS8 F 97 5,000 7.700 05/15/2097 U
Fluor Corporation 3.5 12/15/2024 FLR24 343412AD4 FLR 24 1,000 3.500 12/15/2024 U
First Industrial LP 7.75 04/15/2032 FR/32 32055RAJ6 FR / 32 1,000 7.750 04/15/2032 U
Central Hudson Gas & Electric Corporation 4.15%
SNR NTS 04/01/2021 FTS/21A 15361GAW5 FTS / 21A 1,000 4.150 04/01/2021 U
Page 10 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

SNR NTS 04/012022 FTS/22 15361GAY1 FTS / 22 1,000 3.378 04/01/2022 U
SNR NTS 11/01/2039 FTS/39 15361GAU9 FTS / 39 1,000 5.800 11/01/2039 U
SNR NTS 04/01/2041 FTS/41 15361GAX3 FTS / 41 1,000 5.716 04/01/2041 U
SNR NTS 04/01/2042 FTS/42 15361GBA2 FTS / 42 1,000 4.707 04/01/2042 U
SNR NTS 04/01/2042 FTS/42A 15361GBB0 FTS / 42A 1,000 4.776 04/01/2042 U
SNR NTS 10/01/2042 FTS/42B 15361GBC8 FTS / 42B 1,000 4.065 10/01/2042 U
Gaslog Ltd 8.875 03/22/2022 GLOG22 G37585AC3 GLOG 22 1,000 8.875 03/22/2022 U
CORNING INC MTN BE FR 7.92% 02/03/2023 GLW23 21935NAS4 GLW 23 1,000 7.920 02/03/2023 U
CORNING INC 7.93 2/3/2023 GLW23D 21935NAT2 GLW 23D 1,000 7.930 02/03/2023 U
GS Finance Corp 0.00% SNR MTN 09/21/2021 GS/21AA 40056XD37 GS / 21AA 1,000 .000 09/21/2021 U
GS Finance Corp 0.00% SNR MTN 10/05/2021 GS/21AC 40056XDK9 GS / 21AC 1,000 .000 10/05/2021 U
GS Finance Corp 0.00% SNR MTN 10/27/2021 GS/21AD 40056XKA3 GS / 21AD 1,000 .000 10/27/2021 U
GS Finance Corp 0.00% SNR MTN 10/27/2021 GS/21AE 40056XK96 GS / 21AE 1,000 .000 10/27/2021 U
GS Finance Corp 0.00% UNSUB MTN 04/28/2021 GS/21AJ 40056YB45 GS / 21AJ 1,000 .000 04/28/2021 U
GS Finance Corp 0.00% UNSUB MTN 11/03/2021 GS/21AK 40056YDF8 GS / 21AK 1,000 .000 11/03/2021 U
GS Finance Corp 0.00% UNSUB MTN 05/11/2021 GS/21AL 40056YPL2 GS / 21AL 1,000 .000 05/11/2021 U
GS Finance Corp 0.00% UNSUB MTN 04/13/2021 GS/21AM 40056YT87 GS / 21AM 1,000 .000 04/13/2021 U
GS Finance Corp 0.00% UNSUB MTN 03/24/2021 GS/21AN 40056YU44 GS / 21AN 1,000 .000 03/24/2021 U
GS Finance Corp 0.00% UNSUB MTN 09/15/2021 GS/21AO 40056YU51 GS / 21AO 1,000 .000 09/15/2021 U
GS Finance Corp 0.00% UNSUB MTN 04/21/2021 GS/21AP 40056YUL6 GS / 21AP 1,000 .000 04/21/2021 U
GS Finance Corp 0.00% UNSUB MTN 04/21/2021 GS/21AQ 40056YV76 GS / 21AQ 1,000 .000 04/21/2021 U
GS Finance Corp 0.00% UNSUB MTN 04/27/2021 GS/21AR 40056YVX9 GS / 21AR 1,000 .000 04/27/2021 U
GS Finance Corp 0.00% UNSUB MTN 09/28/2021 GS/21AS 40056YV92 GS / 21AS 1,000 .000 09/28/2021 U
GS Finance Corp 0.00% UNSUB MTN 04/06/2021 GS/21AT 40056YVA9 GS / 21AT 1,000 .000 04/06/2021 U
GS Finance Corp 0.00% UNSUB MTN 05/14/2021 GS/21AU 40056YXC3 GS / 21AU 1,000 .000 05/14/2021 U
GS Finance Corp 0.00% UNSUB MTN 07/21/2021 GS/21AV 40056YZQ0 GS / 21AV 1,000 .000 07/21/2021 U
GS Finance Corp 0.00% UNSUB MTN 08/04/2021 GS/21AW 40057E4D6 GS / 21AW 1,000 .000 08/04/2021 U
Page 11 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

GS Finance Corp 0.00% UNSUB MTN 08/04/2021 GS/21AX 40057E4F1 GS / 21AX 1,000 .000 08/04/2021 U
GS Finance Corp 0.00% UNSUB MTN 06/02/2021 GS/21AY 40057E3P0 GS / 21AY 1,000 .000 06/02/2021 U

Goldman Sachs Group, Inc. 0.00% UNSUB MTN
08/04/2021 GS/21AZ 40057E4E4 GS / 21AZ 1,000 .000 08/04/2021 U
GS Finance Corp 0.00% UNSUB MTN 11/03/2021 GS/21BA 40057E5E3 GS / 21BA 1,000 .000 11/03/2021 U
GS Finance Corp 0.00% UNSUB MTN 11/03/2021 GS/21BB 40057E5F0 GS / 21BB 1,000 .000 11/03/2021 U
GS Finance Corp 0.00% UNSUB MTN 11/09/2021 GS/21BC 40057E4P9 GS / 21BC 1,000 .000 11/09/2021 U
GS Finance Corp 0% UNSUB MTN 11/03/2021 GS/21BD 40057C2C4 GS / 21BD 1,000 .000 11/03/2021 U
GS Finance Corp 0.00% UNSUB MTN 06/23/2021 GS/21BE 40057C2Z3 GS / 21BE 1,000 .000 06/23/2021 U
GS Finance Corp 0.00% UNSUB MTN 07/14/2021 GS/21BF 40057CAK7 GS / 21BF 1,000 .000 07/14/2021 U
GS Finance Corp 0.00% UNSUB MTN 07/28/2021 GS/21BG 40057CCD1 GS / 21BG 1,000 .000 07/28/2021 U
GS Finance Corp 0.00% UNSUB MTN 08/09/2021 GS/21BH 40057CFG1 GS / 21BH 1,000 .000 08/09/2021 U
GS Finance Corp 0.00% UNSUB MTN 08/03/2022 GS/21BI 40057CHP9 GS / 21BI 1,000 .000 08/03/2022 U
GS Finance Corp 0.00% UNSUB MTN 10/04/2021 GS/21BK 40057CMT5 GS / 21BK 1,000 .000 10/04/2021 U
GS Finance Corp 0.00% UNSUB MTN 11/03/2021 GS/21BL 40057CKZ3 GS / 21BL 1,000 .000 11/03/2021 U
GS Finance Corp 0.00% UNSUB MTN 11/30/2021 GS/21BN 40057EGL5 GS / 21BN 1,000 .000 11/30/2021 U

GS Finance Corp. SR MTN 0.00% 10/20/2021 GS/21D 40056EA65 GS / 21D 1,000 .000 10/20/2021 U
GS Finance Corp. 0.00% SNR MTN 03/16/2021 GS/21G 40056F3C7 GS / 21G 1,000 .000 03/16/2021 U
GS Finance Corp. 0.00% SNR MTN 05/24/2021 GS/21I 40056FHH1 GS / 21I 1,000 .000 05/24/2021 U
GS Finance Corp. 0.00% SNR MTN 06/16/2021 GS/21L 40056FP58 GS / 21L 1,000 .000 06/16/2021 U
GS Finance Corp. 0.00% SNR MTN 06/25/2021 GS/21M 40056FP66 GS / 21M 1,000 .000 06/25/2021 U
GS Finance Corp. 0.00% SNR MTN 06/30/2021 GS/21P 40056FPR0 GS / 21P 1,000 .000 06/30/2021 U
GS Finance Corp. 0.00% SNR MTN 08/04/2021 GS/21R 40056FSG1 GS / 21R 1,000 .000 08/04/2021 U
GS Finance Corp. 0.00% SNR MTN 08/04/2021 GS/21T 40056FVV4 GS / 21T 1,000 .000 08/04/2021 U
GS Finance Corp. 0.00% SNR MTN 08/04/2021 GS/21V 40056X3B0 GS / 21V 1,000 .000 08/04/2021 U
GS Finance Corp 0.00% SNR MTN 08/18/2021 GS/21W 40056X3H7 GS / 21W 1,000 .000 08/18/2021 U
GS Finance Corp 0.00% UNSUB MTN 11/29/2022 GS/22AA 40057EP27 GS / 22AA 1,000 .000 11/29/2022 U
Page 12 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

GS Finance Corp 0.00% UNSUB MTN 05/11/2022 GS/22AB 40057ENW3 GS / 22AB 1,000 .000 05/11/2022 U
GS Finance Corp 0.00% UNSUB MTN 02/16/2022 GS/22AC 40057F5G5 GS / 22AC 1,000 .000 02/16/2022 U
GS Finance Corp 0.00% UNSUB MTN 03/04/2022 GS/22AD 40057FAN4 GS / 22AD 1,000 .000 03/04/2022 U
GS Finance Corp 0.00% UNSUB MTN 03/02/2022 GS/22AE 40057FD35 GS / 22AE 1,000 .000 03/02/2022 U
GS Finance Corp 0.00% UNSUB MTN 05/11/2022 GS/22AF 40057FAM6 GS / 22AF 1,000 .000 05/11/2022 U
GS Finance Corp 0.00% UNSUB MTN 11/03/2022 GS/22AG 40057FAP9 GS / 22AG 1,000 .000 11/03/2022 U
GS Finance Corp 0.00% UNSUB MTN 08/03/2022 GS/22AH 40057FHD9 GS / 22AH 1,000 .000 08/03/2022 U
GS Finance Corp. 0.00% SNR MTN 06/09/2022 GS/22D 40056FGD1 GS / 22D 1,000 .000 06/09/2022 U
GS Finance Corp 0.00% UNSUB MTN 02/03/2022 GS/22E 40056XQW9 GS / 22E 1,000 .000 02/03/2022 U
GS Finance Corp 0.00% UNSUB MTN 12/08/2022 GS/22F 40056XUM6 GS / 22F 1,000 .000 12/08/2022 U
GS Finance Corp 0.00% UNSUB MTN 12/14/2022 GS/22G 40056XPW0 GS / 22G 1,000 .000 12/14/2022 U
GS Finance Corp 0.00% UNSUB MTN 12/29/2022 GS/22H 40056XVM5 GS / 22H 1,000 .000 12/29/2022 U
GS Finance Corp 0.00% UNSUB MTN 05/11/2022 GS/22I 40056YL77 GS / 22I 1,000 .000 05/11/2022 U
GS Finance Corp 0.00% UNSUB MTN 03/04/2022 GS/22J 40056YLD4 GS / 22J 1,000 .000 03/04/2022 U
GS Finance Corp 0.00% UNSUB MTN 03/16/2022 GS/22K 40056YU69 GS / 22K 1,000 .000 03/16/2022 U
GS Finance Corp 0.00% UNSUB MTN 05/13/2022 GS/22L 40056YVR2 GS / 22L 1,000 .000 05/13/2022 U
GS Finance Corp 0.00% UNSUB MTN 01/25/2022 GS/22M 40056YYT5 GS / 22M 1,000 .000 01/25/2022 U
GS Finance Corp 0.00% UNSUB MTN 03/15/2022 GS/22O 40057C3G4 GS / 22O 1,000 .000 03/15/2022 U
GS Finance Corp 0.00% UNSUB MTN 03/22/2022 GS/22Q 40057CLX7 GS / 22Q 1,000 .000 03/22/2022 U
GS Finance Corp 0.00% UNSUB MTN 03/24/2022 GS/22R 40057CUH2 GS / 22R 1,000 .000 03/24/2022 U
GS Finance Corp 0.00% UNSUB MTN 08/23/2022 GS/22S 40057CW72 GS / 22S 1,000 .000 08/23/2022 U
GS Finance Corp 0.00% UNSUB MTN 10/11/2022 GS/22T 40057EEH6 GS / 22T 1,000 .000 10/11/2022 U
GS Finance Corp 0.00% UNSUB MTN 10/11/2022 GS/22U 40057CWE7 GS / 22U 1,000 .000 10/11/2022 U
GS Finance Corp 0.00% UNSUB MTN 04/27/2022 GS/22V 40057CY96 GS / 22V 1,000 .000 04/27/2022 U
GS Finance Corp 0.00% UNSUB MTN 10/24/2022 GS/22W 40057EFZ5 GS / 22W 1,000 .000 10/24/2022 U
GS Finance Corp 0.00% UNSUB MTN 10/28/2022 GS/22X 40057EGM3 GS / 22X 1,000 .000 10/28/2022 U
Page 13 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

GS Finance Corp 0.00% UNSUB MTN 11/01/2022 GS/22Y 40057EFS1 GS / 22Y 1,000 .000 11/01/2022 U
GS Finance Corp 0.00% UNSUB MTN 06/14/2022 GS/22Z 40057EK71 GS / 22Z 1,000 .000 06/14/2022 U

GS Finance Corp 0 06/05/2023 GS/23 40054KDA1 GS / 23 1,000 .000 06/05/2023 U
GS Finance Corp 0 06/09/2023 GS/23A 40054KDT0 GS / 23A 1,000 .000 06/09/2023 U
GS Finance Corp 0.00% UNSUB MTN 01/18/2023 GS/23F 40056YB29 GS / 23F 1,000 .000 01/18/2023 U
GS Finance Corp 0.00% UNSUB NTS 02/08/2023 GS/23G 40056Y7K4 GS / 23G 1,000 .000 02/08/2023 U
GS Finance Corp 0.00% UNSUB MTN 06/21/2023 GS/23H 40057ENN3 GS / 23H 1,000 .000 06/21/2023 U
GS Finance Corp 0.00% UNSUB MTN 02/15/2023 GS/23J 40057FHS6 GS / 23J 1,000 .000 02/15/2023 U
GS Finance Corp 0.00% UNSUB MTN 02/24/2023 GS/23K 40057FHP2 GS / 23K 1,000 .000 02/24/2023 U
GS Finance Corp 0.00% UNSUB MTN 01/31/2024 GS/24 40057CXA4 GS / 24 1,000 .000 01/31/2024 U
GS Finance Corp 0.00% UNSUB MTN 10/31/2025 GS/25 40057ELZ8 GS / 25 1,000 .000 10/31/2025 U
GS Finance Corp 0.00% UNSUB MTN 10/31/2025 GS/25A 40057EM20 GS / 25A 1,000 .000 10/31/2025 U
GS Finance Corp 0.00% UNSUB MTN 02/24/2028 GS/28A 40057FJM7 GS / 28A 1,000 .000 02/24/2028 U

GOLDMAN SACHS GROUP INC 0 06/03/2021 GS21C 38141GST2 GS 21C 1,000 .000 06/03/2021 U
Goldman Sachs Group, Inc. 0 07/20/2021 GS21R 38143UUY5 GS 21R 1,000 .000 07/20/2021 U
Goldman Sachs Group, Inc. 1.65% SNR MTN
02/25/2028 GS28H 38150AF59 GS 28H 1,000 1.650 02/25/2028 U
02/17/2034 GS34E 38150AEV3 GS 34E 1,000 2.175 02/17/2034 U
02/17/2035 GS35F 38150AEW1 GS 35F 1,000 2.250 02/17/2035 U
GlaxoSmithKline Capital plc FLT NTS 05/14/2021 GSK/21A 377373AF2 GSK / 21A 1,000 .000 05/14/2021 N
Halcon Resources Corporation 9.25 02/15/2022 HKRS22 40537QAF7 HKRS 22 1,000 9.250 02/15/2022 U

Hewlett Packard Enterprise Company 4.65% SNR
NTS 10/01/2024 HPE24 42824CBH1 HPE 24 1,000 4.650 10/01/2024 U
HSBC USA, Inc. 6.75% SNR MTN 07/14/2021 HSBC/21O 40438CQF1 HSBC / 21O 1,000 6.750 07/14/2021 U
HSBC USA, Inc. 0.00% SNR NTS 11/27/2024 HSBC/24B 40438CD73 HSBC / 24B 1,000 .000 11/27/2024 U
HSBC Holdings plc Floating Rate Senior Unsecured
Notes due 2021 03/08/2021 HSBC21B 404280AX7 HSBC 21B 1,000 .000 03/08/2021 N
Notes due 2021 05/25/2021 HSBC21D 404280AZ2 HSBC 21D 1,000 .000 05/25/2021 N
Notes due 2022 01/05/2022 HSBC22C 404280BG3 HSBC 22C 1,000 .000 01/05/2022 N
HSBC Holdings plc 3.262% Fixed Rate/Floating Rate
Senior Unsecured Notes due 2023 03/13/2023 HSBC23A 404280BJ7 HSBC 23A 1,000 3.262 03/13/2023 N
Page 14 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Senior Unsecured Notes due 2023 11/22/2023 HSBC23B 404280BM0 HSBC 23B 1,000 3.033 11/22/2023 N
HSBC Holdings plc FLT NTS 05/18/2024 HSBC24A 404280BR9 HSBC 24A 1,000 .000 05/18/2024 N
HSBC Holdings plc 3.95% Fixed to Float SR NTS
05/18/2024 HSBC24B 404280BS7 HSBC 24B 1,000 3.950 05/18/2024 N
HSBC Holdings plc 3.803% Fixed to Float SNR NTS
03/11/2025 HSBC25A 404280BZ1 HSBC 25A 1,000 3.803 03/11/2025 N
HSBC Holdings plc FLT NTS 03/11/2025 HSBC25B 404280CA5 HSBC 25B 1,000 .000 03/11/2025 N
HSBC Holdings plc 2.633% Fixed to Float SNR UNSEC
NTS 11/07/2025 HSBC25C 404280CE7 HSBC 25C 1,000 2.633 11/07/2025 N
HSBC Holdings plc 4.292% Fixed to Float NTS
09/12/2026 HSBC26C 404280BX6 HSBC 26C 1,000 4.292 09/12/2026 N
HSBC Holdings plc FLT NTS 09/12/2026 HSBC26D 404280BW8 HSBC 26D 1,000 .000 09/12/2026 N
HSBC Holdings plc 2.099% Fixed‐to‐Float SNR NTS
06/04/2026 HSBC26E 404280CG2 HSBC 26E 1,000 2.099 06/04/2026 N
04/18/2026 HSBC26F 404280CJ6 HSBC 26F 1,000 1.645 04/18/2026 N
HSBC Holdings plc 1.589% Fixed to Float SNR NTS
05/24/2027 HSBC27 404280CM9 HSBC 27 1,000 1.589 05/24/2027 N
Senior Unsecured Notes due 2028 March 13, 2028 HSBC28 404280BK4 HSBC 28 1,000 4.041 03/13/2028 N
09/22/2028 HSBC28B 404280CL1 HSBC 28B 1,000 2.013 09/22/2028 U
HSBC Holdings plc 4.583% Fixed to Float SR NTS
06/19/2029 HSBC29 404280BT5 HSBC 29 1,000 4.583 06/19/2029 N
HSBC Holdings plc 3.973 Fixed to Float SNR NTS
05/22/2030 HSBC30 404280CC1 HSBC 30 1,000 3.973 05/22/2030 N
06/04/2031 HSBC31 404280CH0 HSBC 31 1,000 2.848 06/04/2031 N
04/18/2031 HSBC31A 404280CK3 HSBC 31A 1,000 2.357 08/18/2031 N
Hubspot Inc 0.25 06/01/2022 HUBS22 443573AB6 HUBS 22 1,000 .250 06/01/2022 U
HSBC USA Inc. 0% 01/15/43 HUSI/43 40432X5T4 HUSI/ 43 1,000 .000 01/15/2043 N
HSBC USA Inc. Zero Coupon Callable Accreting Notes
due January 29, 2043 HUSI/43A 40432X7E5 HUSI/ 43A 1,000 .000 01/29/2043 N
HYDRO ONE INC. 4.59% 10/09/43 (Canadian Dollar) HYDO43 44810ZBK5 HYDO 43 1,000 4.590 10/09/2043 N

Idaho Power Corp. 6% 1st Mtg 11/15/32 IDA/32 45138LAL7 IDA / 32 1,000 6.000 11/15/2032 U
ING Groep N.V. Floating Rate Senior Notes due 2022
03/29/2022 ING22A 456837AJ2 ING 22A 1,000 .000 03/29/2022 N
ING Groep N.V. FLT SR NTS 10/02/2023 ING23A 456837AL7 ING 23A 1,000 .000 10/02/2023 N
International Paper Company 3.55% SNR NTS
06/15/2029 IP29A 460146CT8 IP 29A 1,000 3.550 06/15/2029 U
The Interpublic Group of Companies, Inc. 2.40% SNR
NTS 03/01/2031 IPG31 460690BT6 IPG 31 1,000 2.400 03/01/2031 U
The Interpublic Group of Companies, Inc. 3.375%
SNR NTS 03/01/2041 IPG41 460690BS8 IPG 41 1,000 3.375 03/01/2041 U
State of Israel 3.25% SNR BND 01/17/2028 ISRAEL28 46513YJH2 ISRAEL 28 1,000 3.250 01/17/2028 N
Page 15 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Tyco International Group S.A. 4.625 01/15/2023 JCI/23 902118BQ0 JCI / 23 1,000 4.625 01/15/2023 U

JPMorgan Chase Financial Company LLC 0.00%
03/17/2023 JPM/23 46647MSE4 JPM / 23 1,000 .000 03/17/2023 U
JPMorgan Chase & Co. Global Medium Term Notes,
Series A, Callable Step‐Up Fixed Rate Notes due April
26, 2028 JPM/28 46646WAA0 JPM / 28 1,000 .000 04/26/2028 N
JPMORGAN CHASE & CO 4.66 10/31/2023 JPM23E 48126NWV5 JPM 23E 1,000 4.660 10/31/2023 U
KeyBank National Association 2.5 11/22/2021 KEY/21 49327M2Q6 KEY / 21 1,000 2.500 11/22/2021 U
KeyBank National Association 2.4 06/09/2022 KEY/22 49327M2S2 KEY / 22 1,000 2.400 06/09/2022 U

KeyBank National Association 1.25% SNR NTS
03/10/2023 KEY/23 49327M2Z6 KEY / 23 1,000 1.250 03/10/2023 U
KeyBank NA/Cleveland OH 3.3 06/01/2025 KEY/25 49327M2K9 KEY / 25 1,000 3.300 06/01/2025 U
KeyBank NA/Cleveland OH 3.4 05/20/2026 KEY/26 49327V2A1 KEY / 26 1,000 3.400 05/20/2026 U
KEYCORP CAPITAL II 6.875 3/17/2029 KEY/29 49326YAA7 KEY / 29 1,000 6.875 03/17/2029 U
KeyCorp Capital III 7.75 07/15/2029 KEY/29A 49326QAA4 KEY / 29A 1,000 7.750 07/15/2029 U
Kimco Realty Corp 2.8 10/01/2026 KIM26 49446RAP4 KIM 26 1,000 2.800 10/01/2026 U
K N CAPITAL TRUST I 8.56% 04/15/2027 Face Value
100,000 KMI/27B 482588AC4 KMI / 27B 100,000 8.560 04/15/2027 U
Kennametal Inc 2.80% SNR NTS 03/01/2031 KMT31 489170AF7 KMT 31 1,000 2.800 03/01/2031 U
Lockheed Martin Corporation 5.72 06/01/2040 LMT40 539830AW9 LMT 40 1,000 5.720 06/01/2040 U

Interstate Power & Light Co 3.4 08/15/2025 LNT/25A 461070AM6 LNT / 25A 1,000 3.400 08/15/2025 U
LOWES COMPANIES INC 8.2 8/12/2022 LOW22A 54866NAT6 LOW 22A 1,000 8.200 08/12/2022 U
LOWES COMPANIES INC 8.2 1/11/2023 LOW23A 54866NAY5 LOW 23A 1,000 8.200 01/11/2023 U
LOWES COMPANIES INC 7.58 6/18/2027 LOW27B 54866NBM0 LOW 27B 1,000 7.580 06/18/2027 U
LOWES COMPANIES INC 7.59 6/18/2027 LOW27C 54866NBL2 LOW 27C 1,000 7.590 06/18/2027 U
Lloyds Bank plc FLT NTS 05/07/2021 LYG/21B 53944VAQ2 LYG / 21B 1,000 .000 05/07/2021 N
Lloyds Bank PLC 3.276% 11/27/24 LYG/24 5394E8CN7 LYG / 24 1,000 3.276 11/27/2024 U
Lloyds Banking Group plc SR FLT NTS 06/21/2021 LYG21A 53944YAG8 LYG 21A 1,000 .000 06/21/2021 N
Lloyds Banking Group plc 2.907% Senior Callable
Fixed‐to‐Floating Rate Notes due 2023 11/07/2023 LYG23 539439AP4 LYG 23 1,000 2.907 11/07/2023 N
Lloyds Banking Group plc 1.326% Fixed‐To‐Float SNR
NTS 06/15/2023 LYG23C 53944YAM5 LYG 23C 1,000 1.326 06/15/2023 N
Lloyds Bank PLC 3.07 06/30/2028 LYG28 5394E8CT4 LYG 28 1,000 3.070 06/30/2028 U
Lloyds Banking Group plc 3.574% Senior Callable
Fixed‐to‐Floating Rate Notes due 2028 11/07/2028 LYG28A 539439AQ2 LYG 28A 1,000 3.574 11/07/2028 N
MATSON NAVIGATION CO 5.337 09/04/2028 MATX/28 576863BB9 MATX / 28 1,000 5.337 09/04/2028 U
Cascade Natural Gas Corp 7.48 09/15/2027 MDU/27 14733XAP7 MDU / 27 1,000 7.480 09/15/2027 U
Cascade Natural Gas Corp 7.098 03/16/2029 MDU/29 14733XAQ5 MDU / 29 1,000 7.098 03/16/2029 U

METLIFE INC. 6.4% JR SUB 12/15/36 MET36 59156RAP3 MET 36 1,000 6.400 12/15/2036 U
METLIFE INC 10.75% SR NTS 08/01/39 MET39 59156RAV0 MET 39 1,000 10.750 08/01/2039 U
Page 16 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

MCCORMICK & CO INC MTN BE PUT 7.95%
10/01/2024 MKC24 57978QAQ3 MKC 24 1,000 7.950 10/01/2024 U
10/17/2024 MKC24A 57978QAR1 MKC 24A 1,000 8.030 10/17/2024 U
10/14/2024 MKC24B 57978QAS9 MKC 24B 1,000 8.120 10/14/2024 U
MCCORMICK & CO 7.63% 08/19/2024 Face Value
10,000 MKC24C 57978QAP5 MKC 24C 10,000 7.630 08/19/2024 U
McCormick & Company, Incorporated 0.90% SNR
NTS 02/15/2026 MKC26 579780AR8 MKC 26 1,000 .900 02/15/2026 U
Morgan Stanley Finance LLC. 0 04/16/2021 MS/21A 61768CMP9 MS / 21A 1,000 .000 04/16/2021 U
Morgan Stanley Finance LLC. 0.00% SNR GMTN
09/24/2021 MS/21AA 61769HRE7 MS / 21AA 1,000 .000 09/24/2021 U
09/09/2021 MS/21AB 61769HRS6 MS / 21AB 1,000 .000 09/09/2021 U
Morgan Stanley Finance LLC. 0.00% SNR MTN
09/21/2021 MS/21AC 61769HVK8 MS / 21AC 1,000 .000 09/21/2021 U
10/21/2021 MS/21AE 61769HVP7 MS / 21AE 1,000 .000 10/21/2021 U
Morgan Stanley Finance LLC. 0.00% UNSUB SNR
GMTN 03/24/2021 MS/21AF 61769HZW8 MS / 21AF 1,000 .000 03/24/2021 U
Morgan Stanley Finance LLC. 0.00% UNSUB GMTN
11/24/2021 MS/21AG 61769HU45 MS / 21AG 1,000 .000 11/24/2021 U
12/15/2021 MS/21AH 61769H4J1 MS / 21AH 1,000 .000 12/15/2021 U
04/26/2021 MS/21AI 61769H5S0 MS / 21AI 1,000 .000 04/26/2021 U
07/26/2021 MS/21AJ 61770FEP7 MS / 21AJ 1,000 .000 07/26/2021 U
11/10/2021 MS/21AK 61770FEQ5 MS / 21AK 1,000 .000 11/10/2021 U
08/16/2021 MS/21AL 61770FJZ0 MS / 21AL 1,000 .000 08/16/2021 U
09/16/2021 MS/21AM 61770FUL8 MS / 21AM 1,000 .000 09/16/2021 U
Morgan Stanley Finance LLC. 0.00% UNSUB MTN
04/08/2021 MS/21AN 61770FVN3 MS / 21AN 1,000 .000 04/08/2021 U
06/23/2021 MS/21AO 61770FUY0 MS / 21AO 1,000 .000 06/23/2021 U
09/29/2021 MS/21AP 61770FWB8 MS / 21AP 1,000 .000 09/29/2021 U
09/01/2021 MS/21AQ 61770FT22 MS / 21AQ 1,000 .000 09/01/2021 U
12/29/2021 MS/21AR 61771BCB8 MS / 21AR 1,000 .000 12/29/2021 U
07/12/2021 MS/21AS 61770FU53 MS / 21AS 1,000 .000 07/01/2021 U
11/10/2021 MS/21AT 61771BDA9 MS / 21AT 1,000 .000 11/10/2021 U
12/27/2021 MS/21AU 61771BEX8 MS / 21AU 1,000 .000 12/27/2021 U
Page 17 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

07/28/2021 MS/21AV 61771BGF5 MS / 21AV 1,000 .000 07/28/2021 U
12/08/2021 MS/21AW 61771BPF5 MS / 21AW 1,000 .000 12/08/2021 U
04/15/2021 MS/21B 61768DUD5 MS / 21B 1,000 .000 04/15/2021 U
04/07/2021 MS/21F 61768DYG4 MS / 21F 1,000 .000 04/07/2021 U
03/02/2021 MS/21G 61768DZJ7 MS / 21G 1,000 .000 03/02/2021 U
03/22/2021 MS/21H 61768DYX7 MS / 21H 1,000 .000 03/22/2021 U
03/26/2021 MS/21J 61768DZQ1 MS / 21J 1,000 .000 03/26/2021 U
04/29/2021 MS/21L 61768DS63 MS / 21L 1,000 .000 04/29/2021 U
04/08/2021 MS/21N 61768D3W3 MS / 21N 1,000 .000 04/08/2021 U
04/26/2021 MS/21O 61768D6H3 MS / 21O 1,000 .000 04/26/2021 U
04/28/2021 MS/21P 61768D6Q3 MS / 21P 1,000 .000 04/28/2021 U
03/26/2021 MS/21Q 61769HCJ2 MS / 21Q 1,000 .000 03/26/2021 U
05/28/2021 MS/21R 61769HDU6 MS / 21R 1,000 .000 05/28/2021 U
08/03/2021 MS/21S 61769HDC6 MS / 21S 1,000 .000 08/03/2021 U
06/09/2021 MS/21T 61769HFH3 MS / 21T 1,000 .000 06/09/2021 U
10/12/2021 MS/21U 61769HGH2 MS / 21U 1,000 .000 10/12/2021 U
06/21/2021 MS/21V 61769HFW0 MS / 21V 1,000 .000 06/21/2021 U
03/17/2021 MS/21W 61769HKY0 MS / 21W 1,000 .000 03/17/2021 U
07/14/2021 MS/21X 61769HKW4 MS / 21X 1,000 .000 07/14/2021 U
08/04/2021 MS/21Y 61769HMC6 MS / 21Y 1,000 .000 08/04/2021 U
Morgan Stanley Finance LLC. 0.00% UNSUB MTN
01/03/2022 MS/22 61769H6B6 MS / 22 1,000 .000 01/03/2022 U
04/18/2022 MS/22A 61770FCG9 MS / 22A 1,000 .000 04/18/2022 U
05/31/2022 MS/22B 61770FDP8 MS / 22B 1,000 .000 05/31/2022 U
Morgan Stanley Finance LLC 0.00% UNSUB GMTN
01/26/2022 MS/22C 61770FCW4 MS / 22C 1,000 .000 01/26/2022 U
04/20/2022 MS/22D 61770FK88 MS / 22D 1,000 .000 04/20/2022 U
02/10/2022 MS/22E 61771BDY7 MS / 22E 1,000 .000 02/10/2022 U
Page 18 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

05/11/2022 MS/22F 61770FW44 MS / 22F 1,000 .000 05/11/2022 U
02/18/2022 MS/22G 61771BGS7 MS / 22G 1,000 .000 02/18/2022 U
09/13/2022 MS/22H 61771BUB8 MS / 22H 1,000 .000 09/13/2022 U
02/11/2022 MS/22I 61771BL85 MS / 22I 1,000 .000 02/11/2022 U
10/26/2022 MS/22K 61771ECS5 MS / 22K 1,000 .000 10/26/2022 U
01/24/2022 MS/22M 61771EMD7 MS / 22M 1,000 .000 01/24/2022 U
06/27/2022 MS/22N 61771EXZ6 MS / 22N 1,000 .000 06/27/2022 U
11/16/2022 MS/22O 61771EG36 MS / 22O 1,000 .000 11/16/2022 U
11/16/2022 MS/22P 61771ED21 MS / 22P ######## .000 11/16/2022 U
08/03/2022 MS/22Q 61771EP77 MS / 22Q 1,000 .000 08/03/2022 U
11/03/2022 MS/22R 61771EP69 MS / 22R 1,000 .000 11/03/2022 U
05/06/2022 MS/22S 61771E2K3 MS / 22S 1,000 .000 05/06/2022 U
03/23/2022 MS/22T 61771E5L8 MS / 22T 1,000 .000 03/23/2022 U
02/22/2022 MS/22U 61771VAE0 MS / 22U 1,000 .000 02/22/2022 U
01/12/2023 MS/23 61771E6X1 MS / 23 1,000 .000 01/12/2023 U
08/09/2023 MS/23A 61770FJD9 MS / 23A 1,000 .000 08/09/2023 U
02/09/2023 MS/23B 61770FJL1 MS / 23B 1,000 .000 02/09/2023 U
05/25/2023 MS/23C 61771BFZ2 MS / 23C 1,000 .000 05/25/2023 U
01/25/2023 MS/23D 61771EPJ1 MS / 23D 1,000 .000 01/25/2023 U
02/08/2023 MS/23E 61771EPN2 MS / 23E 1,000 .000 02/08/2023 U
12/20/2023 MS/23F 61771ETT5 MS / 23F 1,000 .000 12/20/2023 U
01/02/2024 MS/24 61768DWC5 MS / 24 1,000 .000 01/02/2024 U
02/01/2024 MS/24A 61768DWF8 MS / 24A 1,000 .000 02/01/2024 U
10/25/2024 MS/24B 61769HE43 MS / 24B 1,000 .250 10/25/2024 U
05/31/2024 MS/24C 61771BLF9 MS / 24C 1,000 .000 05/31/2024 U
04/01/2025 MS/25 61770FZA7 MS / 25 1,000 .000 04/01/2025 U
Page 19 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Morgan Stanley Global Medium‐Term Notes, Series
A, Fixed Rate Step‐Up Senior Notes Due 2026
02/23/2026 MS/26C 61767BAA8 MS / 26C 1,000 .000 02/23/2026 N
Morgan Stanley Finance LLC. 0 06/17/2032 MS/32A 61768CLP0 MS / 32A 1,000 .000 06/17/2032 U
Morgan Stanley 0 08/26/2021 MS21E 61761JF61 MS 21E 1,000 .000 08/26/2021 U
MORGAN STANLEY 0 02/27/2023 MS23C 61761JCP2 MS 23C 1,000 .000 02/27/2023 U
Morgan Stanley 0 09/29/2023 MS23G 61761JLT4 MS 23G 1,000 .000 09/29/2023 U
Morgan Stanley 0 02/27/2025 MS25C 61762GDB7 MS 25C 1,000 .000 02/27/2025 U
Morgan Stanley 0 07/07/2025 MS25H 61761JZY8 MS 25H 1,000 .000 07/07/2025 U
MORGAN STANLEY 0 04/30/2027 MS27 617482K37 MS 27 1,000 .000 04/30/2027 U
MORGAN STANLEY 0 05/22/2028 MS28 61761JGJ2 MS 28 1,000 .000 05/22/2028 U
Morgan Stanley 0 06/05/2028 MS28D 61761JGP8 MS 28D 1,000 .000 06/05/2028 U
Morgan Stanley 0 10/03/2028 MS28E 61761JLR8 MS 28E 1,000 .000 10/03/2028 U
MORGAN STANLEY 10 10/31/2033 MS33 61760QDN1 MS 33 1,000 10.000 10/31/2033 U
Manufacturers & Traders Trust Co 2.9 02/06/2025 MTB/25 55279HAK6 MTB / 25 1,000 2.900 02/06/2025 U

Manufacturers and Traders Trust Company 2.5
05/18/2022 MTB22 55279HAL4 MTB 22 1,000 2.500 05/18/2022 U
Murphy Oil Corporation 5.875% SNR NTS
12/01/2027 MUR27 626717AM4 MUR 27 1,000 5.875 12/01/2027 U
NextEra Energy Capital Holdings Inc 5.00% UNSEC
DEB 09/01/2025 NEE/25C 65339KBS8 NEE / 25C 1,000 5.000 09/01/2025 U
FLORIDA POWER & LIGHT 5.125% 06/01/2041 Face
Value 25 NEE/41 341081FE2 NEE / 41 25 5.125 06/01/2041 U
NEXTERA ENERGY CAPITAL HLDGS INC 1.84% SNR
DEB 03/01/2025 NEE25 65339KBP4 NEE 25 1,000 1.840 03/01/2025 U
National Fuel Gas Company 2.95% SNR NTS
03/01/2031 NFG31 636180BR1 NFG 31 1,000 2.950 03/01/2031 U
BOSTON GAS CO MTNS BK ENTRY FR 9.05%
09/01/2021 NGG/21 10075EAG3 NGG / 21 1,000 9.050 09/01/2021 U
BOSTON GAS CO MTNS BK ENTRY FR 8.33%
07/05/2022 NGG/22 10075EAH1 NGG / 22 1,000 8.330 07/05/2022 U
Boston Gas Co 6.95 12/01/2024 NGG/24 10075EAZ1 NGG / 24 1,000 6.950 12/01/2024 U
Boston Gas Co 7.25 10/01/2025 NGG/25 10075EAT5 NGG / 25 1,000 7.250 10/01/2025 U
Boston Gas Co 7.25 10/01/2025 NGG/25A 10075EAU2 NGG / 25A 1,000 7.250 10/01/2025 U
BAY ST GAS CO MTN BE PUT 6.43% 12/15/2025 NI/25 07261LAY8 NI / 25 1,000 6.430 12/15/2025 U

BAY ST GAS CO MTN BE FR 6.26% 02/15/2028 NI/28 07261LBA9 NI / 28 1,000 6.260 02/15/2028 U
Navios Maritime Holdings Inc 9.75% SNR NTS
04/15/2024 Face Value 25 NM24 63938YAA8 NM 24 1,000 9.750 04/15/2024 U
CONSOLIDATED RAIL CORP 7.875 5/15/2043 NSC/43 209864AU1 NSC / 43 1,000 7.875 05/15/2043 U
ROYAL BK SCOTLND GRP PLC 3.5 11/15/2022 NWG22A 78012DBA0 NWG 22A 1,000 3.500 11/15/2022 U
The Royal Bank of Scotland Group plc Floating Rate
Senior Notes due 2023 05/15/2023 NWG23C 780097BF7 NWG 23C 1,000 .000 05/15/2023 N
The Royal Bank of Scotland Group plc 3.498%
Fixed/Floating Senior Notes due 2023 05/15/2023 NWG23D 780097BE0 NWG 23D 1,000 3.498 05/15/2023 N
Page 20 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

The Royal Bank of Scotland Group plc 4.519% Fixed
to Float 06/25/2024 NWG24A 780097BJ9 NWG 24A 1,000 4.519 06/25/2024 N
The Royal Bank of Scotland Group plc FLT NTS
06/25/2024 NWG24B 780097BH3 NWG 24B 1,000 .000 06/25/2024 N
The Royal Bank of Scotland Group plc 2.359% SNR
NTS Fixed‐to‐Float 05/22/2024 NWG24C 780097BN0 NWG 24C 1,000 2.359 05/22/2024 N
The Royal Bank of Scotland Group plc 4.269 Fixed to
Float SNR NTS 03/22/2025 NWG25 780097BK6 NWG 25 1,000 4.269 03/22/2025 N
The Royal Bank of Scotland Group plc 3.073% SNR
NTS Fixed‐to‐Float 05/22/2028 NWG28 780097BP5 NWG 28 1,000 3.073 05/22/2028 N
Royal Bank of Scotland Group plc 4.892% Fixed to
Float SR NTs 05/18/2029 NWG29 780097BG5 NWG 29 1,000 4.892 05/18/2029 N
to Fixed SUB NTS 11/01/2029 NWG29A 780097BM2 NWG 29A 1,000 3.754 11/01/2029 N
to Float SN NTS 01/27/2030 NWG30 78009PEH0 NWG 30 1,000 5.076 01/27/2030 N
to Float SNR NTS 05/08/2030 NWG30A 780097BL4 NWG 30A 1,000 4.445 05/08/2030 N
NatWest Group plc 3.032% Fixed‐to‐Fixed Reset
Rate SUB Tier 2 NTS 11/28/2035 NWG35 639057AB4 NWG 35 1,000 3.032 11/28/2035 N
Northwest Natural Gas Company 3.141% SNR MTN
06/15/2029 NWN/29 66765RCG9 NWN / 29 1,000 3.141 06/15/2029 U
NORTHWEST NATURAL GAS 3.176 9/15/2021 NWN21A 66765RBZ8 NWN 21A 1,000 3.176 09/15/2021 U
Northwest Natural Gas 3.542% 08/19/23 NWN23A 66765RCA2 NWN 23A 1,000 3.542 08/19/2023 U
Northwest Natural Gas Company 3.211 12/05/2026 NWN26A 66765RCC8 NWN 26A 1,000 3.211 12/05/2026 U
Northwest Natural Gas Company 3.685 09/13/2047 NWN47 66765RCF1 NWN 47 1,000 3.685 09/13/2047 U
Corporate Office Properties LP 3.5 09/15/2026 OFC26 22003BAB2 OFC 26 1,000 3.500 09/15/2026 U

PUBLIC SERV ELEC & GAS 8% 6/1/37 (Face Value of
100) PEG37D 744567BA5 PEG 37D 100 8.000 06/01/2037 N
PNC BANK NA 3.3 10/30/2024 PNC/24 69353REF1 PNC / 24 1,000 3.300 10/30/2024 U
PNC Bank NA 3.25 06/01/2025 PNC/25A 69353REQ7 PNC / 25A 1,000 3.250 06/01/2025 U
PNC Bank NA 2.95 02/23/2025 PNC/25B 69353REK0 PNC / 25B 1,000 2.950 02/23/2025 U
PNC Bank, National Association 3.25 01/22/2028 PNC/28 69353RFJ2 PNC / 28 1,000 3.250 01/22/2028 U

PNC Bank NA 2.15 04/29/2021 PNC21 69353REW4 PNC 21 1,000 2.150 04/29/2021 U
PNC Bank, National Association 2.55 12/09/2021 PNC21A 69353REY0 PNC 21A 1,000 2.550 12/09/2021 U
PNC Bank, National Association 3.10% 10/25/2027 PNC27A 69353RFG8 PNC 27A 1,000 3.100 10/25/2027 U

PPL ENERGY SUPPLY LLC RES PUT SEC 5.70%
10/15/2035 PPL/35 69352JAG2 PPL / 35 1,000 5.700 10/15/2035 U
Shell International Finance B.V. FLT NTS 11/15/2023 RDS.A/23A 822582CA8 RDS.A / 23A 1,000 .000 11/15/2023 N
GOODRICH B F CO MTN BE FR 7.75% 05/19/2025 RTX/25A 38238QAF3 RTX / 25A 1,000 7.750 05/19/2025 U
GOODRICH B F CO MTN BE FR 7.298% 10/20/2025 RTX/25B 38238QAG1 RTX / 25B 1,000 7.298 10/20/2025 U
Page 21 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Goodrich Corp 8.65 04/15/2025 RTX/25D 38238QAA4 RTX / 25D 1,000 8.650 04/15/2025 U
Royal Bank of Canada 2.3 03/22/2021 RY21A 780082AE3 RY 21A 1,000 2.300 03/22/2021 U
Royal Bank of Canada 1.4 03/08/2021 RY21B 78012KA49 RY 21B 1,000 1.400 03/08/2021 U
Royal Bank of Canada 0 03/25/2021 RY21C 78012KCL9 RY 21C 1,000 .000 03/25/2021 U
Royal Bank of Canada 0.00% SNR GMTN 10/15/2021 RY21E 78013X5L8 RY 21E 1,000 .000 10/15/2021 U
Royal Bank of Canada 0.00% SNR GMTN 04/15/2021 RY21F 78013X6B9 RY 21F 1,000 .000 04/15/2021 U
Royal Bank of Canada 0.00% SNR GMTN 09/10/2021 RY21G 78013XVD7 RY 21G 1,000 .000 09/10/2021 U
Royal Bank of Canada 0.00% SNR MTN 11/10/2021 RY21I 78015KCE2 RY 21I 1,000 .000 11/10/2021 U
Royal Bank of Canada 0.00% SNR GMTN 08/26/2021 RY21K 78015KDG6 RY 21K 1,000 .000 08/26/2021 U
Royal Bank of Canada 0.00% SNR GMTN 04/07/2021 RY21L 78015KCY8 RY 21L 1,000 .000 04/07/2021 U
Royal Bank of Canada 0.00% SNR GMTN 05/18/2021 RY21M 78015KMK7 RY 21M 1,000 .000 05/18/2021 U
Royal Bank of Canada 9.00% MTN 03/04/2021 RY21O 78014RCK4 RY 21O 1,000 .000 03/04/2021 U

Royal Bank of Canada 12.50% SNR GMTN
03/13/2021 RY21P 78014RCL2 RY 21P 1,000 12.500 03/13/2021 U
Royal Bank of Canada 0.00% SNR GMTN 03/16/2022 RY22 78015KNS9 RY 22 1,000 .000 03/16/2022 U

Royal Bank of Canada 2.75 02/01/2022 RY22A 78012KZG5 RY 22A 1,000 2.750 02/01/2022 U
Royal Bank of Canada 0 01/31/2022 RY22B 78012KPP6 RY 22B 1,000 .000 01/31/2022 U
Royal Bank of Canada 0 09/30/2022 RY22C 78012KTF4 RY 22C 1,000 .000 09/30/2022 U
Royal Bank of Canada 0 02/23/2022 RY22D 78012KZY6 RY 22D 1,000 .000 02/23/2022 U
Royal Bank of Canada SR GMTN 0.00% 10/27/2022 RY22E 78013XP77 RY 22E 1,000 .000 10/27/2022 U
Royal Bank of Canada 0.00% SNR GMTN 01/26/2022 RY22F 78015KQJ6 RY 22F 1,000 .000 01/26/2022 U
Royal Bank of Canada 0.00% SNR MTN 06/09/2022 RY22G 78015KMP6 RY 22G 1,000 .000 06/09/2022 U
Royal Bank of Canada 0.00% SNR MTN 07/20/2022 RY22H 78015KSA3 RY 22H 1,000 .000 07/20/2022 U
Royal Bank of Canada 0.00% SNR GMTN 01/19/2022 RY22I 78015KTE4 RY 22I 1,000 .000 01/19/2022 U
Royal Bank of Canada 0.00% SNR GMTN 09/12/2022 RY22J 78015KUC6 RY 22J 1,000 .000 09/12/2022 U

Royal Bank of Canada 0 03/01/2023 RY23 78012KZS9 RY 23 1,000 .000 03/01/2023 U
Royal Bank of Canada 0.00% SNR GMTN 04/28/2023 RY23A 78013X6F0 RY 23A 1,000 .000 04/28/2023 U
Royal Bank of Canada 0.50% SNR GMTN 10/26/2023 RY23B 78015K7J7 RY 23B 1,000 .500 10/26/2023 U

Royal Bank of Canada 3 02/21/2024 RY24 78008SEV4 RY 24 1,000 3.000 02/21/2024 U
Royal Bank of Canada 2.9 10/30/2024 RY24A 78008SLF1 RY 24A 1,000 2.900 10/30/2024 U
01/19/2024 RY24C 78015K7L2 RY 24C 1,000 .425 01/19/2024 U
Page 22 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Royal Bank of Canada 0.00% SNR GMTN 04/09/2025 RY25A 78015KDX9 RY 25A 1,000 .000 04/09/2025 U
Royal Bank of Canada 0.00% SNR GMTN 03/18/2025 RY25B 78015KQG2 RY 25B 1,000 .000 03/18/2025 U
Royal Bank of Canada 0.00% SNR GMTN 03/20/2025 RY25C 78015KQQ0 RY 25C 1,000 .000 03/20/2025 U

01/20/2026 RY26 78016EZM2 RY 26 1,000 .875 01/20/2026 U
Royal Bank of Canada 3.25 01/31/2028 RY28 78008SWA0 RY 28 1,000 3.250 01/31/2028 U
Royal Bank of Canada 3.75 02/15/2033 RY33 78008SWJ1 RY 33 1,000 3.750 02/15/2033 U
Royal Bank of Canada 4.05 09/19/2042 RY42 78008SEZ5 RY 42 1,000 4.050 09/19/2042 U
Sonic Automotive, Inc. 6.125 03/15/2027 SAH27A 83545GAZ5 SAH 27A 1,000 6.125 03/15/2027 U
Santander UK plc FLT NTS 06/01/2021 SAN/21D 80283LAU7 SAN / 21D 1,000 .000 06/01/2021 N
Santander UK plc FLT NTS 11/15/2021 SAN/21G 80283LAW3 SAN / 21G 1,000 .000 11/15/2021 N
Santander UK Group Holdings plc 3.373% Fixed
Rate/Floating Rate Notes due 2024 01/05/2024 SAN/24A 80281LAH8 SAN / 24A 1,000 3.373 01/05/2024 N
Santander UK Group Holdings plc 4.796% Fixed to
Float NTS 11/21/2024 SAN/24B 80281LAJ4 SAN / 24B 1,000 4.796 11/21/2024 N
Santander Issuances, S.A. Unipersonal Series 5.17%
Subordinated Debt Securities 11/19/2025 (Face
Value of 200,000) SAN/25 05971KAA7 SAN / 25 200,000 5.170 11/19/2025 N
Resetting NTS 08/21/2026 SAN/26 80281LAM7 SAN / 26 1,000 1.532 08/21/2026 N
Rate/ Floating Rate Notes due 2028 11/03/2028 SAN/28 80281LAG0 SAN / 28 1,000 3.823 11/03/2028 N
Banco Santander, S.A. 3.50% 04/11/2022 Face Value
200,000 SAN22 05964HAC9 SAN 22 200,000 3.500 04/11/2022 N
Banco Santander S.A. Second Ranking Senior
Floating Rate Notes due 2022 04/11/2022 Face
Value 200,000 SAN22A 05964HAA3 SAN 22A 200,000 .000 04/11/2022 N
Banco Santander S.A. Senior Floating Rate Notes
02/23/2023 Face Value 200,000 SAN23A 05964HAD7 SAN 23A 200,000 2.453 02/23/2023 N
Banco Santander S.A. FLT NTS 04/12/2023 SAN23C 05964HAH8 SAN 23C 1,000 .000 04/12/2023 N
South Jersey Gas Co 5.55 07/15/2033 SJI/33 83851MAM9 SJI / 33 1,000 5.550 07/15/2033 U
South Jersey Gas Co 6.213 08/01/2034 SJI/34 83851MAW7 SJI / 34 1,000 6.213 08/01/2034 U
South Jersey Gas Co 5.45 09/14/2035 SJI/35 83851MAX5 SJI / 35 1,000 5.450 09/14/2035 U
Gulf Power Co 5.1 10/01/2040 SO/40 402479CB3 SO / 40 1,000 5.100 10/01/2040 U
Georgia Power Company 3.25% SNR NTS
03/15/2051 SO/51 373334KP5 SO / 51 1,000 3.250 03/15/2051 U
Southern Company 2.70% JNR NTS 08/01/2024 SO24 842587DC8 SO 24 1,000 2.700 08/01/2024 U
Southern Company 0.60% SNR NTS 02/26/2024 SO24A 842587DG9 SO 24A 1,000 .600 02/26/2024 U
Southern Company 2.70% JNR NTS 08/01/2027 SO27 842587DD6 SO 27 1,000 2.700 08/01/2027 U
Page 23 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

Southern Company 1.75% SNR NTS 03/15/2028 SO28 842587DH7 SO 28 1,000 1.750 03/15/2028 U

S&P GLOBAL INC 2.50% SNR NTS 12/01/2029 SPGI29 78409VAP9 SPGI 29 1,000 2.500 12/01/2029 U
SOUTHERN CALIF GAS CO MTNS BE PUT 5.67%
01/18/2028 SRE/28 84243QAH6 SRE / 28 1,000 5.670 01/18/2028 U
SOUTHWEST GAS CORP 7.78 2/3/2022 SWX22A 84489PAB4 SWX 22A 1,000 7.780 02/03/2022 U
SOUTHWEST GAS CORP 7.92 6/4/2027 SWX27A 84489PAC2 SWX 27A 1,000 7.920 06/04/2027 U
Synchrony Financial 3 06/15/2022 SYF22 87166FAA1 SYF 22 1,000 3.000 06/15/2022 U
AT&T Inc 6.875% SR NTS 10/15/2027 T27A 00206RGK2 T 27A 1,000 6.875 10/15/2027 U
AT&T Inc 6.50% SR NTS 03/15/2029 T29C 00206RGP1 T 29C 1,000 6.500 03/15/2029 U
AT&T Corp. 8.25 11/15/2031 T31 001957BD0 T 31 1,000 8.250 11/15/2031 U
AT&T Inc 5.95% SR NTS 07/15/2038 T38B 00206RGY2 T 38B 1,000 5.950 07/15/2038 U
AT&T Inc 4.00% UNSUB NTS 06/01/2049 T49A 00206RJT0 T 49A 1,000 4.000 06/01/2049 N
AT&T Inc 4.25% GLB NTS 03/01/2050 T50 00206RJR4 T 50 1,000 4.250 03/01/2050 N
AT&T Inc. 3.750% GLB NTS 09/01/2050 T50A 00206RKC5 T 50A 1,000 3.750 09/01/2050 N
AT&T Inc 6.65% SR NTS 12/15/2095 T95 00206RHB1 T 95 1,000 6.650 12/15/2095 U
The Toronto‐Dominion Bank 0.00% SNR MTN
11/10/2021 TD/21AM 89114RUQ7 TD / 21AM 1,000 .000 11/10/2021 U
08/12/2021 TD/21K 89114QY85 TD / 21K 1,000 .000 08/12/2021 U
Toronto Dominion Bank New York Branch 0.00%
SNR NTS 12/16/2022 TD/22 89114T2E1 TD / 22 1,000 .000 12/16/2022 U
SNR NTS 04/05/2022 TD/22A 89114T3J9 TD / 22A 1,000 .000 04/05/2022 U
SNR NTS 12/28/2022 TD/22B 89114T4H2 TD / 22B 1,000 .000 12/28/2022 U
Toronto‐Dominion Bank/The 2.125 04/07/2021 TD21 89114QBG2 TD 21 1,000 2.125 04/07/2021 U
Toronto‐Dominion Bank/The 1.8 07/13/2021 TD21A 89114QBL1 TD 21A 1,000 1.800 07/13/2021 U

04/07/2021 TD21AA 89114RFY7 TD 21AA 1,000 .000 04/07/2021 U
04/13/2021 TD21AB 89114RGU4 TD 21AB 1,000 .000 04/13/2021 U
08/19/2021 TD21AC 89114RJH0 TD 21AC 1,000 .000 08/19/2021 U
12/27/2021 TD21AD 89114RJY3 TD 21AD 1,000 .000 12/27/2021 U
11/03/2021 TD21AE 89114RMW3 TD 21AE 1,000 .000 11/03/2021 U
09/08/2021 TD21AF 89114RPJ9 TD 21AF 1,000 .000 09/08/2021 U
09/24/2021 TD21AG 89114RQP4 TD 21AG 1,000 .000 09/24/2021 U
11/03/2021 TD21AI 89114RSZ0 TD 21AI 1,000 .000 11/01/2021 U
11/10/2021 TD21AK 89114RUP9 TD 21AK 1,000 .000 11/10/2021 U
Page 24 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

12/17/2021 TD21AL 89114RVC7 TD 21AL 1,000 .000 12/17/2021 U
SNR NTS 12/30/2021 TD21AM 89114T4W9 TD 21AM 1,000 .000 12/30/2021 U
The Toronto‐Dominion Bank 0.00% SR NTS
08/21/2021 TD21B 89114QEW4 TD 21B 1,000 .000 08/21/2021 U
04/07/2021 TD21D 89114QHM3 TD 21D 1,000 .000 04/07/2021 U
09/10/2021 TD21F 89114QH50 TD 21F 1,000 .000 09/10/2021 U
05/19/2021 TD21G 89114QM70 TD 21G 1,000 .000 05/19/2021 U
07/13/2021 TD21H 89114QN53 TD 21H 1,000 .000 07/13/2021 U
05/05/2021 TD21I 89114QM96 TD 21I 1,000 .000 05/05/2021 U
04/28/2021 TD21J 89114QY36 TD 21J 1,000 .000 04/28/2021 U
08/04/2021 TD21L 89114QY77 TD 21L 1,000 .000 08/04/2021 U
03/17/2021 TD21M 89114Q3B2 TD 21M 1,000 .000 03/17/2021 U
05/17/2021 TD21N 89114Q3D8 TD 21N 1,000 .000 05/17/2021 U
08/23/2021 TD21O 89114Q3T3 TD 21O 1,000 .000 08/23/2021 U
04/14/2021 TD21P 89114Q5D6 TD 21P 1,000 .000 04/14/2021 U
10/20/2021 TD21Q 89114R2M7 TD 21Q 1,000 .000 10/20/2021 U
09/09/2021 TD21R 89114Q7B8 TD 21R 1,000 .000 09/09/2021 U
05/12/2021 TD21S 89114R2P0 TD 21S 1,000 .000 05/12/2021 U
07/28/2021 TD21U 89114RC38 TD 21U 1,000 .000 07/28/2021 U
05/11/2021 TD21V 89114RCJ3 TD 21V 1,000 .000 05/11/2021 U
08/04/2021 TD21W 89114RCG9 TD 21W 1,000 .000 08/04/2021 U
05/28/2021 TD21X 89114RDZ6 TD 21X 1,000 .000 05/28/2021 U
The Toronto‐Dominion Bank 2.50% 03/16/2022 TD22 89114QSL3 TD 22 1,000 2.500 03/16/2022 U

11/18/2022 TD22A 89114QEX2 TD 22A 1,000 .000 11/18/2022 U
The Toronto‐Dominion Bank 0.00% SNR NTS
01/06/2022 TD22AM 89114RZ41 TD 22AM 1,000 .000 01/06/2022 U
The Toronto‐Dominion Bank 0.00% SNR NTS
12/07/2022 TD22AN 89114RZ66 TD 22AN 1,000 .000 12/07/2022 U
01/19/2022 TD22B 89114QHK7 TD 22B 1,000 .000 01/19/2022 U
Page 25 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

01/26/2022 TD22C 89114QHV3 TD 22C 1,000 .000 01/26/2022 U
11/02/2022 TD22D 89114R4E3 TD 22D 1,000 .000 11/02/2022 U
03/14/2022 TD22E 89114R7E0 TD 22E 1,000 .000 03/14/2022 U
03/15/2022 TD22F 89114R7H3 TD 22F 1,000 .000 03/15/2022 U
02/03/2022 TD22G 89114RA63 TD 22G 1,000 .000 02/03/2022 U
01/11/2022 TD22H 89114RBV7 TD 22H 1,000 .000 01/11/2022 U
02/16/2022 TD22I 89114RBU9 TD 22I 1,000 .000 02/16/2022 U
07/20/2022 TD22J 89114RCH7 TD 22J 1,000 .000 07/20/2022 U
01/26/2022 TD22L 89114RJT4 TD 22L 1,000 .000 01/26/2022 U
04/06/2022 TD22M 89114RKB1 TD 22M 1,000 .000 04/06/2022 U
06/29/2022 TD22N 89114RK39 TD 22N 1,000 .000 06/29/2022 U
02/16/2022 TD22O 89114RKZ8 TD 22O 1,000 .000 02/16/2022 U
05/18/2022 TD22P 89114RKT2 TD 22P 1,000 .000 05/18/2022 U
06/08/2022 TD22R 89114RLJ3 TD 22R 1,000 .000 06/08/2220 U
05/16/2022 TD22S 89114RLV6 TD 22S 1,000 .000 05/16/2022 U
07/20/2022 TD22T 89114RMR4 TD 22T 1,000 .000 07/20/2022 U
08/10/2022 TD22U 89114RNL6 TD 22U 1,000 .000 08/10/2022 U
02/01/2022 TD22V 89114RPC4 TD 22V 1,000 .000 02/01/2022 U
08/24/2022 TD22W 89114RQ74 TD 22W 1,000 .000 08/24/2022 U
03/15/2022 TD22X 89114RSR8 TD 22X 1,000 .000 03/15/2022 U
02/03/2022 TD22Y 89114RVU7 TD 22Y 1,000 .000 02/03/2022 U
11/07/2022 TD22Z 89114RVV5 TD 22Z 1,000 .000 11/07/2022 U
01/19/2023 TD23 89114RBX3 TD 23 1,000 .000 01/19/2023 U
08/09/2023 TD23A 89114RCB0 TD 23A 1,000 .000 08/09/2023 U
09/14/2023 TD23C 89114RSW7 TD 23C 1,000 .000 09/14/2023 U
The Toronto‐Dominion Bank 0.00% 06/14/2023 TD23D 89114TAV4 TD 23D 1,000 .000 06/14/2023 U
Page 26 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

09/05/2024 TD24 89114Q7A0 TD 24 1,000 .000 09/05/2024 U
01/08/2024 TD24A 89114RK62 TD 24A 1,000 .000 01/08/2024 U
03/20/2025 TD25 89114RFP6 TD 25 1,000 .000 03/20/2025 U
03/25/2025 TD25A 89114RFZ4 TD 25A 1,000 .000 03/25/2025 U
03/28/2025 TD25B 89114RGL4 TD 25B 1,000 .000 03/28/2025 U
03/31/2025 TD25C 89114RGN0 TD 25C 1,000 .000 03/31/2025 U
SNR NTS 02/02/2026 TD26 89114T7K2 TD 26 1,000 .000 02/02/2026 U
SunTrust Bank 2.45% 08/01/2022 TFC/22A 86787EAT4 TFC / 22A 1,000 2.450 08/01/2022 U
SunTrust Bank 3.20% SNR MTN 04/01/2024 TFC/24A 86787EBC0 TFC / 24A 1,000 3.200 04/01/2024 U
BRANCH BANKING & TRUST CO 2.15% SNR NTS
12/06/2024 TFC/24B 07330NAT2 TFC / 24B 1,000 2.150 12/06/2024 U
Branch Banking & Trust Co 3.625 09/16/2025 TFC/25 07330MAB3 TFC / 25 1,000 3.625 09/16/2025 U

Branch Banking & Trust 3.8% 10/30/26 TFC/26 07330MAA5 TFC / 26 1,000 3.800 10/30/2026 U
SunTrust Bank/Atlanta GA 3.30% 05/15/2026 TFC/26A 86787GAJ1 TFC / 26A 1,000 3.300 05/15/2026 U

Dayton Hudson 8.6 12/15/2021 TGT/21B 23975HAN5 TGT / 21B 1,000 8.600 12/15/2021 U
TARGET CORP 8.6 1/10/2022 TGT/22B 23975HAM7 TGT / 22B 1,000 8.600 01/10/2022 U
Tenet Healthcare Corporation 7.5 01/01/2022 THC22A 88033GCQ1 THC 22A 1,000 7.500 01/01/2022 U

Tenet Healthcare Corporation 7.50% SNR NTS
04/01/2025 THC25B 88033GDF4 THC 25B 1,000 7.500 04/01/2025 U
TIMKEN CO 7.61 10/13/2026 TKR26 88739LAR7 TKR 26 1,000 7.610 10/13/2026 U
TIMKEN CO 7.76 7/6/2026 TKR26A 88739LAP1 TKR 26A 1,000 7.760 07/06/2026 U
TIMKEN CO 7.1 11/17/2027 TKR27 88739LAY2 TKR 27 1,000 7.100 11/17/2027 U
TIMKEN CO 7.16 03/11/2027 TKR27A 88739LAV8 TKR 27A 1,000 7.160 03/11/2027 U
TIMKEN CO 6.74 1/13/2028 TKR28 88739LBA3 TKR 28 1,000 6.740 01/13/2028 U
TIMKEN CO 6.74 1/13/2028 TKR28A 88739LAZ9 TKR 28A 1,000 6.740 01/13/2028 U
Toyota Motor Credit Corporation 2.85% SNR MTN
02/18/2022 TM/22D 89236TFU4 TM / 22D 1,000 2.850 02/18/2022 U
Toyota Motor Credit Corporation 2.70% MTN
04/29/2022 TM/22F 89236TFY6 TM / 22F 1,000 2.700 04/29/2022 U
05/26/2022 TM/22G 89236TGA7 TM / 22G 1,000 2.700 05/26/2022 U
07/14/2022 TM/22I 89236TGC3 TM / 22I 1,000 2.350 07/14/2022 U
Toyota Motor Credit Corporation 2.10% SNR NTS
09/23/2022 TM/22J 89236TGG4 TM / 22J 1,000 2.100 09/23/2022 U
Toyota Motor Credit Corporation 1.875% SNR MTN
07/31/2024 TM/24D 89236TGM1 TM / 24D 1,000 1.875 07/31/2024 U
Toyota Motor Credit Corp 5 02/03/2031 TM/31 89233P4X1 TM / 31 1,000 5.000 02/03/2031 U
Toyota Motor Credit Corp 0 03/28/2038 TM/38 89233PU79 TM / 38 1,000 .000 03/28/2038 U
Page 27 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

ServiceMaster Co LLC 7.45% 08/15/2027 TMX/27 817609AB6 TMX / 27 1,000 7.450 08/15/2027 U
INGERSOLL‐RAND CO 6.015 2/15/2028 TT/28 45686XCF8 TT / 28 1,000 6.015 02/15/2028 U
Tennessee Valley Authority 0.750% GBL PWR BNDS
05/15/2025 TVA25A 880591EW8 TVA 25A 1,000 .750 05/15/2025 N
Tennessee Valley Authority 2.875% Global Power
Bonds 2017 Series A Due February 1, 2027 TVA27 880591EU2 TVA 27 1,000 2.875 02/01/2027 N
Tennessee Valley Authority 4.250% Global Power
Bonds 2015 Series A Due September 15, 2065 TVA65 880591ES7 TVA 65 1,000 4.250 09/15/2065 N
UBS AG, London Branch 0.00% SNR MTN
06/03/2021 UBS/21B 90270KWX3 UBS / 21B 1,000 .000 06/03/2021 U
03/03/2021 UBS/21C 90270KXU8 UBS / 21C 1,000 .000 03/03/2021 U
04/07/2021 UBS/21D 90270KYW3 UBS / 21D 1,000 .000 04/07/2021 U
04/08/2021 UBS/21E 90270KZE2 UBS / 21E 1,000 .000 04/08/2021 U
04/08/2021 UBS/21F 90270KZF9 UBS / 21F 1,000 .000 04/08/2021 U
04/26/2021 UBS/21G 90270KA66 UBS / 21G 1,000 .000 04/26/2021 U
06/28/2021 UBS/21H 90270KB99 UBS / 21H 1,000 .000 06/28/2021 U
06/21/2021 UBS/21K 90270KG78 UBS / 21K 1,000 .000 06/21/2021 U
04/09/2021 UBS/21L 90270KP94 UBS / 21L 1,000 .000 04/09/2021 U
UBS AG, London Branch 0.00% UNSUB MTN
05/11/2021 UBS/21M 90270KT41 UBS / 21M 1,000 .000 05/11/2021 U
07/08/2021 UBS/21N 90270KT82 UBS / 21N 1,000 .000 07/08/2021 U
08/04/2021 UBS/21O 90270KT33 UBS / 21O 1,000 .000 08/04/2021 U
08/04/2021 UBS/21P 90270KZ44 UBS / 21P 1,000 .000 08/04/2021 U
UBS AG, London Branch 0.00% UNSUB SNR MTN
02/09/2022 UBS/22A 90270KS91 UBS / 22A 1,000 .000 02/09/2022 U
11/18/2021 UBS21 90270KVP1 UBS 21 1,000 .000 11/18/2021 U
UDR Inc 2.10% SNR MTN 06/15/2033 UDR33A 90265EAV2 UDR 33A 1,000 2.100 06/15/2033 U
UGI Utilities Inc 6.5 08/15/2033 UGI/33 90269QAK5 UGI / 33 1,000 6.500 08/15/2033 U
UGI Utilities Inc 6.133 10/15/2034 UGI34 90269QAL3 UGI 34 1,000 6.133 10/15/2034 U
Unilever Capital Corporation SR GLB NTS 3.00%
03/07/2022 UL/22A 904764BD8 UL / 22A 1,000 3.000 03/07/2022 U
Unilever Capital Corporation 3.25% SR GLB NTS
03/07/2024 UL/24A 904764BE6 UL / 24A 1,000 3.250 03/07/2024 U
UNITEDHEALTH GROUP INC 0 11/15/2022 UNH22A 91324PBR2 UNH 22A 1,000 .000 11/15/2022 U
UPS OF AMERICA INC FLT NTS 10/26/2049 UPS49 911308BA1 UPS 49 1,000 2.809 10/26/2049 N
Page 28 of 29
NYSE Bonds
March 2021
Bond UL Alt Face

U.S. Bank National Association 3.45% NTS
11/16/2021 USB/21C 90331HNX7 USB / 21C 1,000 3.450 11/16/2021 U
U.S. Bank National Association 1.80% SNR MTN
01/21/2022 USB/22 90331HPJ6 USB / 22 1,000 1.800 01/21/2022 U
U.S. Bank National Association 1.95% SNR NTS
01/09/2023 USB/23 90331HPF4 USB / 23 1,000 1.950 01/09/2023 U
US Bank NA/Cincinnati OH 2.8 01/27/2025 USB/25 90331HMS9 USB / 25 1,000 2.800 01/27/2025 U
U.S. Bank National Association 2.05% SNR MTN
01/21/2025 USB/25A 90331HPL1 USB / 25A 1,000 2.050 01/21/2025 U
U.S. Bancorp 3.25% 09/17/2021 USB21B 91159HHT0 USB 21B 1,000 3.250 09/17/2021 U
U.S. Bank National Association 2.85% 01/23/2023 USB23 90331HNL3 USB 23 1,000 2.850 01/23/2023 U
Vale Overseas Limited 3.75% SNR NTS 07/08/2030 VALE/30 91911TAQ6 VALE / 30 1,000 3.750 07/08/2030 N

Vale Canada Ltd 7.2 09/15/2032 VALE/32 453258AP0 VALE / 32 1,000 7.200 09/15/2032 U
Nationwide Health Properties, Inc. 7.6 11/20/2028 VTR/28 63861QBH0 VTR / 28 1,000 7.600 11/20/2028 U
Verizon Communications Inc. 3.50% SNR NTS
11/04/2039 (Australian Dollar Denominated) VZ39D Q93945AB1 VZ 39D 1,000 3.500 11/04/2039 N
Wayfair Inc 0.375 09/01/2022 W22 94419LAA9 W 22 1,000 .375 09/01/2022 U
Wells Fargo Finance LLC 0.00% SNR MTN
06/24/2021 WFC/21K 95001HAW1 WFC / 21K 1,000 .000 06/24/2021 U
Wells Fargo Finance LLC 0.00% SNR MTN
07/03/2023 WFC/23A 95001H6P1 WFC / 23A 1,000 .000 07/03/2023 U
WELLS FARGO CAP X CAP SEC 5.95% 12/15/2036 WFC/36D 94978SAA7 WFC / 36D 1,000 5.950 12/15/2036 U

Wells Fargo & Company 0.25 11/06/2023 WFC23B 94986RZ79 WFC 23B 1,000 .250 11/06/2023 U
W. P. Carey Inc 2.25% SNR NTS 04/01/2033 WPC33 92936UAH2 WPC 33 1,000 2.250 04/01/2033 U
Weingarten Realty Investors 3.85% 06/01/2025 WRI25 948741AL7 WRI 25 1,000 3.850 06/01/2025 U
WEINGARTEN REALTY INVEST 6.64 7/15/2026 WRI26AB 94874RAY2 WRI 26AB 1,000 6.640 07/15/2026 U

MeadWestvaco Corp 6.80% 11/15/2032 WRK/32 583334AB3 WRK / 32 1,000 6.800 11/15/2032 U
Page 29 of 29

NYSE Bonds Ex Clearing Securities

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NYSE Bonds Ex Clearing Securities

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NYSE

Bond UL Alt Face

Archer‐Daniels‐Midland Company 5.765 03/01/2041 ADM41 039483BC5 ADM 41 1,000 5.765 03/01/2041 U

Ipalco Enterprises Inc. 4.25% SNR NTS 05/01/2030 AES/30 462613AP5 AES / 30 1,000 4.250 05/01/2030 U

AMERICAN INTL GROUP 6.25% JR SUB 03/15/37 AIG37 026874BE6 AIG 37 1,000 6.250 03/15/2037 U

Air Lease Corporation 3.50% SR NT 01/15/2022 AL22B 00912XBD5 AL 22B 1,000 3.500 01/15/2022 U

AVERY DENNISON CO MTN BE FR 7.56% 05/23/2025 AVY25 05361HCE2 AVY 25 1,000 7.560 05/23/2025 U

AVERY DENNISON CO MTN BE FR 7.54% 05/26/2025 AVY25A 05361HCF9 AVY 25A 1,000 7.540 05/26/2025 U

Bank of America Corporation 0.00% 12/15/2037 BAC27B 06051GHN2 BAC 27B 1,000 .000 12/15/2037 U

Bank of America Corporation 5.875 05/03/2033 BAC33A 060505AP9 BAC 33A 1,000 5.875 05/03/2033 U

Bond UL Alt Face

Bank of Montreal 8.300.00% SNR MTN 11/29/2021 BMO21A 06367WH63 BMO 21A 1,000 .000 11/29/2021 U

Bank of Montreal 0.00% SNR MTN 12/11/2023 BMO23A 06368EAB8 BMO 23A 1,000 .000 12/11/2023 U

Bank of Montreal 0.00% SNR MTN 03/04/2030 BMO30 06367WYE7 BMO 30 1,000 .000 03/04/2030 U

Bank of Nova Scotia 0.00% SR NTS 11/04/2021 BNS21E 064159MP8 BNS 21E 1,000 .000 11/04/2021 U

Bank of Nova Scotia 0.00% SNR NTS 03/17/2021 BNS21G 064159NR3 BNS 21G 1,000 .000 03/17/2021 U

Bank of Nova Scotia 0.00% SNR NTS 05/05/2021 BNS21H 064159NT9 BNS 21H 1,000 .000 05/05/2021 U

Bank of Nova Scotia 0.00% SNR NTS 10/15/2021 BNS21I 064159NX0 BNS 21I 1,000 .000 10/15/2021 U

Bank of Nova Scotia 0.00% SNR NTS 10/15/2021 BNS21J 064159NW2 BNS 21J 1,000 .000 10/15/2021 U

Bank of Nova Scotia 0.00% SNR NTS 04/28/2021 BNS21K 064159NV4 BNS 21K 1,000 .000 04/28/2021 U

Bank of Nova Scotia 0.00% SNR NTS 05/05/2021 BNS21L 064159PA8 BNS 21L 1,000 .000 05/05/2021 U

Bond UL Alt Face

Bank of Nova Scotia 0.00% SNR NTS 08/04/2021 BNS21M 064159PJ9 BNS 21M 1,000 .000 08/04/2021 U

Bank of Nova Scotia 0.00% UNSUB NTS 05/05/2021 BNS21N 064159QJ8 BNS 21N 1,000 .000 05/05/2021 U

Bank of Nova Scotia 0.00% UNSUB NTS 05/11/2021 BNS21O 064159QP4 BNS 21O 1,000 .000 05/11/2021 U

Bank of Nova Scotia 0.00% SR NT 02/25/2022 BNS22 064159MU7 BNS 22 1,000 .000 02/25/2022 U

Bank of Nova Scotia 0.00% UNSUB NTS 11/22/2022 BNS22A 064159QX7 BNS 22A 1,000 .000 11/22/2022 U

Bank of Nova Scotia 0.00% SNR MTN 09/09/2022 BNS22B 064159TJ5 BNS 22B 1,000 .000 09/09/2022 U

Bank of Nova Scotia 0.00% UNSUB NTS 01/19/2022 BNS22C 064159UC8 BNS 22C 1,000 .000 01/19/2022 U

Bank of Nova Scotia 0.00% UNSUB NTS 10/05/2022 BNS22D 064159UW4 BNS 22D 1,000 .000 10/05/2022 U

Bank of Nova Scotia 0.00% UNSUB NTS 05/11/2022 BNS22E 064159XJ0 BNS 22E 1,000 .000 05/11/2022 U

Bank of Nova Scotia 0.00% UNSUB NTS 11/04/2022 BNS22F 064159YD2 BNS 22F 1,000 .000 11/04/2022 U

Bank of Nova Scotia 0.00% SNR MTN 03/24/2023 BNS23 064159PD2 BNS 23 1,000 .000 03/24/2023 U

Bank of Nova Scotia 0.00% SNR NTS 08/16/2023 BNS23A 064159PT7 BNS 23A 1,000 .000 08/16/2023 U

Bank of Nova Scotia 0.00% SNR NTS 11/02/2023 BNS23B 064159QQ2 BNS 23B 1,000 .000 11/02/2023 U

Bank of Nova Scotia 0.00% UNSUB NTS 12/27/2023 BNS23D 064159G67 BNS 23D 1,000 .000 12/27/2023 U

Bank of Nova Scotia 0.00% UNSUB NTS 12/24/2024 BNS24A 064159RM0 BNS 24A 1,000 .000 12/24/2924 U

B.A.T Capital Corporation FLT NTS 08/15/2022 BTI22A 05526DAX3 BTI 22A 1,000 .000 08/15/2022 N

Bond UL Alt Face

Citizens Bank NA/Providence RI 2.55 05/13/2021 CFG/21 17401QAE1 CFG / 21 1,000 2.550 05/13/2021 U

Citizens Financial Group Inc 4.082 01/31/2025 CFG25B 174610AG0 CFG 25B 1,000 4.082 01/31/2025 U

Bond UL Alt Face

Bond UL Alt Face

Bond UL Alt Face

Credit Suisse AG 0.00% SNR MTN 05/05/2021 CS/21AA 22551NWU6 CS / 21AA 1,000 .000 05/05/2021 U

Credit Suisse AG 0.00% SNR MTN 10/06/2021 CS/21AB 22551NVW3 CS / 21AB 1,000 .000 10/06/2021 U

Credit Suisse AG 0.00% SNR MTN 11/12/2021 CS/21AC 22551NYW0 CS / 21AC 1,000 .000 11/12/2021 U

Credit Suisse AG 0.00% SNR MTN 10/13/2021 CS/21AD 22552WJ22 CS / 21AD 1,000 .000 10/13/2021 U

Credit Suisse AG 0.00% SNR MTN 11/23/2021 CS/21AE 22552WPJ8 CS / 21AE 1,000 .000 11/23/2021 U

Bond UL Alt Face

Credit Suisse AG 0.00% SNR MTN 08/18/2021 CS/21M 22551N3Q7 CS / 21M 1,000 .000 08/18/2021 U

Credit Suisse AG 0.00% SNR MTN 03/10/2021 CS/21Q 22551NF35 CS / 21Q 1,000 .000 03/10/2021 U

Credit Suisse AG 0.00% SNR MTN 05/16/2022 CS/22 22552W7G4 CS / 22 1,000 .000 05/16/2022 U

Credit Suisse AG 0.00% SNR MTN 11/03/2022 CS/22AA 22552WTQ8 CS / 22AA 1,000 .000 11/03/2022 U

Credit Suisse AG 0.00% SNR MTN 08/10/2022 CS/22AB 22552WPK5 CS / 22AB 1,000 .000 08/10/2022 U

Credit Suisse AG 0.00% SNR MTN 12/21/2022 CS/22AC 22552WX42 CS / 22AC 1,000 .000 12/21/2022 U

Credit Suisse AG 0.00% SNR MTN 10/14/2022 CS/22AD 22552WPC3 CS / 22AD 1,000 .000 10/14/2022 U

Credit Suisse AG 0.00% SNR MTN 03/23/2022 CS/22AF 22552WPT6 CS / 22AF 1,000 .000 03/23/2022 U

Credit Suisse AG 0.00% SNR MTN 08/30/2022 CS/22AK 22552WYW9 CS / 22AK 1,000 .000 08/30/2022 U

Credit Suisse AG 0.00% SNR MTN 03/23/2022 CS/22B 22551NAW6 CS / 22B 1,000 .000 03/23/2022 U

Credit Suisse AG 0.00% SNR MTN 04/21/2022 CS/22C 22551NW93 CS / 22C 1,000 .000 04/21/2022 U

Credit Suisse AG 0.00% SNR MTN 03/09/2022 CS/22D 22551NY26 CS / 22D 1,000 .000 03/09/2022 U

Credit Suisse AG 0.00% SNR MTN 08/30/2022 CS/22E 22551NYT7 CS / 22E 1,000 .000 08/30/2022 U