8-K 1 husi8k04242017.htm 8-K Document

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
________________________________
FORM 8-K

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): April 24, 2017 (April 20, 2017)
__________________________________

Commission File Number 001-07436

HSBC USA Inc.
(Exact name of registrant as specified in its charter)
Maryland
 
13-2764867
(State of incorporation)
 
(I.R.S. Employer Identification No.)
452 Fifth Avenue, New York, New York
 
10018
(Address of principal executive offices)
 
(Zip Code)

(212) 525-5000
Registrant’s telephone number, including area code
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ☐
 If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐


 


HSBC USA INC.


Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On April 20, 2017, the Board of Directors of HSBC USA Inc. (the "Board") approved an amendment to and a restatement of its bylaws (the “Bylaws”), which were effective immediately upon such approval by the Board.
The Bylaws were amended to add the position ‘Head of Financial Crime Compliance’ to the list of policy making officers (as referenced in the Bylaws).
The foregoing summary is qualified in its entirety by reference to the Bylaws, which are attached as Exhibit 3.2 hereto and are incorporated by reference herein.

Item 9.01. Financial Statements and Exhibits.

(d)    Exhibits
Exhibit No.
 
Description
3.2
 
Bylaws of HSBC USA Inc., as amended and restated, effective April 20, 2017



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HSBC USA INC.


Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
Date:    April 24, 2017
HSBC USA INC.
 
 
 
By:
 
/s/ WILLIAM L. KUHN, IV
 
 
William L. Kuhn, IV
 
 
Senior Vice President, Deputy General
 
 
Counsel - Disclosure




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HSBC USA INC.


Exhibit Index
 
 
Exhibit No.
 
Description
3.2
 
Bylaws of HSBC USA Inc., as amended and restated, effective April 20, 2017


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