# EDGAR Filing Document

**Accession Number:** 0001582152
**File Stem:** 0001582152-25-000020
**Filing Date:** 2025-12
**Character Count:** 8471
**Document Hash:** 209ead735f9be220170a36c296610196
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001582152-25-000020.hdr.sgml**: 20260129

**ACCESSION NUMBER**: 0001582152-25-000020

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 16

**FILED AS OF DATE**: 20251218

**DATE AS OF CHANGE**: 20260129

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HSBC Bank USA, N.A.
- **CENTRAL INDEX KEY:** 0001582152

**ORGANIZATION NAME:**
- **EIN:** 201177241
- **STATE OF INCORPORATION:** VA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00134
- **FILM NUMBER:** 26576134

**BUSINESS ADDRESS:**
- **STREET 1:** 1800 TYSONS BLVD.
- **STREET 2:** SUITE 50
- **CITY:** MCLEAN
- **STATE:** VA
- **ZIP:** 22102
- **BUSINESS PHONE:** 716 841-7497

**MAIL ADDRESS:**
- **STREET 1:** 239 VAN RENSSELAER ST
- **CITY:** BUFFALO
- **STATE:** NY
- **ZIP:** 14210

### Attached PDF Documents

**Attachment 1:** `hbbusupplement.pdf`

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**Attachment 2:** `hbussupplement_amend1.pdf`

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**Attachment 3:** `HBUSsupplement_amend2.pdf`

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**Attachment 4:** `HBUSsupplement_amend3.pdf`

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**Attachment 5:** `HBUSsupplement_amend4.pdf`

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**Attachment 6:** `HBUSsupplement_amend5.pdf`

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**Attachment 7:** `HBUSsupplement_amend6.pdf`

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**Attachment 8:** `HBUSsupplement_amend7.pdf`

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**Attachment 9:** `HBUSsupplement_amend8.pdf`

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**Attachment 10:** `HBUSsupplement_amend9.pdf`

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**Attachment 11:** `HBUSsupplement_amend10.pdf`

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**Attachment 12:** `HBUSsupplement_amend11.pdf`

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**Attachment 13:** `HBUSsupplement_amend12.pdf`

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**Attachment 14:** `HBUSsupplement_amend13.pdf`

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**Attachment 15:** `SEVENR12152025.pdf`

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## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** HSBC Bank USA, N.A.

**NFA Number:** 443649

**IRS Employer ID No.:** 20-1177241

**CIK:** 0001582152

**UIC:** 1IE8VN30JCEQV1H4R804

**Main Address:** 1800 TYSONS BLVD., SUITE 50, MCLEAN, VA, 22102

**Mailing Address:** ATRIUM BUILDING, 95 WASHINGTON STREET, SIXTH FLOOR, BUFFALO, NY, 14203

**Business Telephone:** 716 841-7497

**Contact Employee:**

- **Name:** Robert Luckman

- **Title:** Senior Assistant Vice President

- **Phone:** 224-880-8555

- **Email:** robert.d.luckman@us.hsbc.com

**Chief Compliance Officer:**

- **Name:** Dustin T Natale

- **Title:** Chief Compliance Officer

- **Phone:** 212-525-5915

- **Email:** dustin.t.natale@us.hsbc.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** No

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board, The Office of the Comptroller of the Currency, The Federal Deposit Insurance Corporation

**Description of Business:**
HSBC Bank USA, HSBC USA's principal U.S. banking subsidiary, is a national banking association. Through HSBC Bank USA, we offer our customers a full range of commercial and consumer banking products and related financial services. HSBC Bank USA is also an international dealer in derivative instruments denominated in U.S. dollars and other currencies, focusing on structuring transactions to meet clients' needs.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** No

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** No

**Number of Principals:** 15

### Schedule A: Principals

| Name                             | Title or Status                               | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Jason Ryan Henderson             | Chief Executive Officer                       | 01/2020         | 06/2006              |  |       527670 |
| Alice Davey-Schroeder            | Director                                      | 10/2021         | 10/2021              |  |       544044 |
| Melvin Louis Flowers             | Director                                      | 01/2022         | 01/2022              | NA - less than 5% |       545796 |
| George Wheeler Madison           | Director                                      | 01/2022         | 01/2022              | NA - less than 5% |       545792 |
| William Lloyd Hartmann           | Director                                      | 10/2022         | 10/2022              |  |       469907 |
| Carol Hulit Larson               | Director                                      | 10/2022         | 10/2022              |  |       552193 |
| Padma Elmgart                    | Director                                      | 01/2023         | 01/2023              |  |       553422 |
| Lisa K Polsky                    | Director                                      | 01/2023         | 01/2023              |  |       289945 |
| Edith Valentina Aviles De Kostes | Director                                      | 01/2024         | 01/2024              |  |       561211 |
| Andrew Thomas Fullam             | Chief Financial Officer                       | 04/2024         | 01/2019              |  |       523453 |
| Racquel Natasha Oden             | US HEAD OF WPB                                | 03/2024         | 12/2023              |  |       562535 |
| Dustin T Natale                  | Chief Compliance Officer                      | 06/2025         | 08/2024              | NA - less than 5% |       566004 |
| Sara Faye Buscaglia              | Chief Operating Officer                       | 05/2025         | 12/2002              |  |       534685 |
| Goodwin Longstreth Cary          | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION | 05/2025         | 04/2008              | NA - less than 5% |       309237 |
| Shobit Thapar                    | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION | 09/2025         | 07/2023              | NA - less than 5% |       571942 |

### Schedule B: Explanations

**Records Keeper:**

- **Name:** Bloomberg Finance L.P.

  - **Address:** 731 Lexington Avenue, New York, NY, 10022

  - **Effective Date:** 11-22-2016

  - **Arrangement:** Bloomberg provides archiving services for records that have been sent to or received from HSBC via the Bloomberg Terminal.

- **Name:** Global Relay Communications Inc.

  - **Address:** 220 Cambie Street, 2nd Floor, Vancouver, A1, BC V6B 2M9

  - **Effective Date:** 08-17-2011

  - **Arrangement:** Global Relay Archive provides electronic message archiving for Bloomberg Bmail, Instant Bloomberg, ICE Chat, Symphony and Thomson Reuters Messaging records.

**Controlling Entity:**

- **Name:** HSBC USA Inc.

  - **Address:** 66 Hudson Boulevard, New York, NY, 10001

  - **Effective Date:** 03-27-2015

  - **Arrangement:** HSBC USA Inc. is the parent/holding company of HBUS.

- **Name:** HSBC North America Holdings Inc.

  - **Address:** 66 Hudson Boulevard, New York, NY, 10001

  - **Effective Date:** 11-15-2016

  - **Arrangement:** HSBC North America Holdings Inc. is the holding/parent company of HSBC USA Inc.

- **Name:** HSBC Overseas Holding UK Limited

  - **Address:** 8 CANADA SQUARE, London, X0, E14 5HQ

  - **Effective Date:** 09-27-2018

  - **Arrangement:** HSBC Overseas Holding UK Limited is the holding/parent company of HSBC North America Holdings Inc.

- **Name:** HSBC Holdings Plc

  - **Address:** 8 CANADA SQUARE, London, X0, E14 5HQ

  - **Effective Date:** 09-27-2019

  - **Arrangement:** HSBC Holdings Plc is the holding/parent company of HSBC Overseas Holding UK Limited.

### Execution

**Date:** 12-17-2025

**Name of Applicant:** HSBC Bank USA, N.A.

**Signature:** Robert D. Luckman

**Printed Name:** Robert D. Luckman

**Title:** Senior Assistant Vice President