# EDGAR Filing Document

**Accession Number:** 0001582152
**File Stem:** 0001582152-23-000004
**Filing Date:** 2023-2
**Character Count:** 7890
**Document Hash:** 24c4611ad4c2c96a14275a3e31f4b123
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001582152-23-000004.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0001582152-23-000004

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

**PUBLIC DOCUMENT COUNT**: 8

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230301

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HSBC Bank USA, N.A.
- **CENTRAL INDEX KEY:** 0001582152
- **IRS NUMBER:** 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:** 23689927

**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:** ATRIUM BUILDING
- **STREET 2:** 95 WASHINGTON STREET, SIXTH FLOOR
- **CITY:** BUFFALO
- **STATE:** NY
- **ZIP:** 14203

### Attached PDF Documents

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

_No text found in this document._

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

HSBC Bank USA N.A.
Form SBSE-A/A
Amendment 1 December 9, 2021

In connection with the Form SBSE-A/A for HSBC Bank USA, NA (“HBUS”), the following changes were made:

**Schedule A of Form SBSE-A:**

1) Updated to include the addition of new Principals, Deborah Parker Bailey and Alice Davey Schroeder.
2) Corrected the spelling of Alfred Traboulsi’s last name from “Traboulso” to “Traboulsi”.
3) Updated Dae Youn Choi’s record to remove the CRD number.

PUBLIC

**Attachment 3:** `hbussupplement_amend2.pdf`

_No text found in this document._

**Attachment 4:** `hbussuplement_amend3.pdf`

_No text found in this document._

**Attachment 5:** `hbussuplement_amend4.pdf`

_No text found in this document._

**Attachment 6:** `hbussuplement_amend5.pdf`

_No text found in this document._

**Attachment 7:** `sevenR2272023.pdf`

_No text found in this document._

## 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:** Isabel Pierri-Isabelle

- **Title:** VP-SRA Division

- **Phone:** 224-880-7048

- **Email:** isabel.x.pierri-isabelle@us.hsbc.com

**Chief Compliance Officer:**

- **Name:** Christine A Calarco

- **Title:** Chief Compliance Officer

- **Phone:** 212-525-2234

- **Email:** christine.a.calarco@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:** 21

### Schedule A: Principals

| Name                      | Title or Status          | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Christine Anne Calarco    | Chief Compliance Officer | 09/2018         | 10/2006              |  |       516507 |
| Dae Youn Choi             | Head of Business Unit    | 07/2021         | 04/2015              |  |       508333 |
| Jason Ryan Henderson      | Head of Business Unit    | 01/2020         | 06/2006              |  |       527670 |
| Gerald Francis Keefe      | Head of Business Unit    | 01/2021         | 01/2021              |  |       536229 |
| Barry Kroeger             | Director                 | 07/2015         | 07/2015              |  |       497278 |
| Kavita Mahtani            | Chief Financial Officer  | 10/2019         | 10/2019              |  |       525756 |
| Nancy Goldsmith Mistretta | Director                 | 10/2014         | 10/2014              |  |       454121 |
| Marco Ossanna             | Head of Business Unit    | 10/2021         | 09/2015              |  |       500004 |
| Michael Murray Roberts    | Chief Executive Offier   | 10/2019         | 10/2019              |  |       525742 |
| Brian Robertson           | Director                 | 06/2018         | 04/2014              |  |       449206 |
| Jane Sherburne            | Director                 | 07/2015         | 07/2015              |  |       488361 |
| Alfred Trabousli          | Head of Business Unit    | 07/2021         | 02/2014              |  |       541346 |
| Alice Davey-Schroeder     | Director                 | 10/2021         | 10/2021              |  |       544044 |
| Deborah Parker-Bailey     | Director                 | 10/2021         | 10/2021              |  |       544072 |
| 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 |
| Michael Leonard Privitera | Chief Operating Officer  | 04/2022         | 12/1999              | NA - less than 5% |       547870 |
| 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 |

### Schedule B: Explanations

**Records Keeper:**

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

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

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

  - **Arrangement:** —

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

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

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

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** HSBC USA Inc.

  - **Address:** 452 Fifth Avenue, New York, NY, 10018

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

  - **Arrangement:** —

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

  - **Address:** 452 Fifth Ave, New York, NY, 10018

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

  - **Arrangement:** —

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

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

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

  - **Arrangement:** —

- **Name:** HSBC Holdings Plc

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

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

  - **Arrangement:** —

### Execution

**Date:** 02-27-2023

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

**Signature:** Robert D. Luckman

**Printed Name:** Robert D. Luckman

**Title:** AVP - Assistant Secretary - SRA Division