SECURITIES AND DERIVATIVES MARKETS QUARTERLY ...1 Securities and Derivatives Markets Quarterly Report (3rd Quarter 2014) Main Board Highlights 3rd Quarter 2014 3rd Quarter 2013 No

SECURITIES AND

DERIVATIVES MARKETS

QUARTERLY REPORT

Third Quarter 2014

Market Highlights

1 Securities and Derivatives Markets Quarterly Report (3rd Quarter 2014)

Main Board

Highlights 3rd Quarter 2014 3rd Quarter 2013

No. of listed companies 1,521 1,399No. of listed securities 8,955 8,196 Equities Ordinary shares 1,522 1,400 Preference shares 3 3 Warrants 4,801 4,705 Equity 7 9 Derivative 4,794 4,696 Equity linked instrument 0 0 Callable bull/bear contracts 1,918 1,596 Unit trusts/mutual funds 133 125 Debt securities 578 367No. of trading only stocks Nasdaq stocks 7 7 iShares 2 2

No. of trading days 64 63Total turnover in value (HK$ mil.) * 4,496,605.26 3,459,754.47Total turnover in shares (Mil. shs) 9,376,840.85 8,188,462.26Total number of trades (deals) 65,411,508 54,790,872Total market capitalisation (HK$ mil.) 24,248,110.50 22,697,506.14Average P/E ratio (times) 10.69 10.69Average dividend yield (%) 3.41 3.10Number of exchange participants

– Trading 499 506– Non-trading 37 40

Turnover in value (HK$ mil.)Highest 100,486.84 (03/09) 78,240.06 (10/09)Lowest 42,906.47 (21/07) 38,487.85 (22/07)

Turnover in shares (Mil. shs)Highest 194,955.84 (10/09) 167,566.30 (15/08)Lowest 94,484.29 (21/07) 91,264.00 (19/09)

Total number of trades (deals)Highest 1,354,621 (03/09) 1,178,750 (02/07)Lowest 706,292 (21/07) 628,186 (22/07)

* Included turnover value traded in non-HKD currency securities.

Market Highlights


Growth Enterprise Market (GEM)


No. of listed companies 200 186No. of listed securities 200 186 Equities 200 186 Warrants 0 0

No. of trading days 64 63Total turnover in value (HK$ mil.) * 39,161.42 18,446.55Total turnover in shares (Mil. shs) 91,704.03 56,706.88Total number of trades (deals) 1,013,981 542,526Total market capitalisation (HK$ mil.) 180,171.37 119,020.80Average P/E ratio (times) 11.52 41.33Average dividend yield (%) 0.62 0.57

Turnover in value (HK$ mil.)Highest 1,357.85 (25/09) 1,009.06 (27/09)Lowest 371.61 (25/07) 150.17 (22/07)

Turnover in shares (Mil. shs)Highest 2,748.30 (25/09) 3,518.14 (27/09)Lowest 825.32 (25/08) 344.56 (22/07)

Total number of trades (deals)Highest 26,215 (25/09) 15,466 (02/08)Lowest 10,704 (14/07) 4,034 (22/07)

* Included turnover value traded in non-HKD currency securities.

Market Highlights


Derivatives Market Highlights


All futures and options products (excluding stock options)No. of trading days 64.0 63.0Total contract volume 16,183,661 18,026,558 Equity index products 16,017,437 17,913,611 Equity products 123,371 86,034 Interest rates products 10 45 RMB Currency Futures 42,843 26,868 Gold Futures 0 0Average daily contract volume 252,870 286,136

Total open interest as at the quarter end (contracts) 1,964,462 1,940,499 Equity index products 1,932,837 1,915,454 Equity products 20,040 15,524 Interest rates products 5 6 RMB Currency Futures 11,580 9,515 Gold Futures 0 0

Stock optionsNo. of newly introduced stock options classes 3 5No. of stock options as at the quarter end Class 77 70 Series 21,888 16,546

Total premium (HK$ mil.) 11,835.64 8,479.72 Call 6,183.52 4,272.73 Put 5,652.12 4,206.99Average daily premium (HK$ mil.) 184.93 134.60Total contract volume 19,462,284 13,681,676 Call 10,154,013 6,560,094 Put 9,308,271 7,121,582Average daily contract volume 304,098 217,169Total open interest as at the quarter end (contracts) 6,016,138 4,882,089 Call 2,756,132 2,217,919 Put 3,260,006 2,664,170Total number of trades 776,920 649,069Average daily number of trades 12,139 10,303Total contracts exercised 1,773,366 1,498,774Average premium per contract (HK$) 608.13 619.79Average contract per trade (contracts) 25 21

Put volume/call volume 0.92 1.09Average daily contract volume/open interest 5.1% 4.4%

All futures and options productsTotal contract volume 35,645,945 31,708,234Total open interest as at the quarter end (contracts) 7,980,600 6,822,588

Market Highlights


Clearing and Settlement Statistics

Securities Market 3rd Quarter 2014 3rd Quarter 2013

Average Daily Exchange Trades Handled by CCASS– Number of trades 1,037,135 877,568– Value of trades (HK$bil.) 70.7 55.1– Share quantity Involved (bil shares) 147.9 130.9Average Daily Settlement Instructions (“SIs”) Settled by CCASS– Number of SIs 87,928 76,390– Value of SIs (HK$bil.) 206.3 176.6– Share quantity involved (bil. Shares) 57.8 49.1Average Daily Investor SIs (“ISIs”) Settled by CCASS– Number of ISIs 406 347– Value of ISIs (HK$mil.) 166.2 139.6– Share quantity involved (mil. shares) 69.3 46.6Average Daily Settlement Efficiency of CNS Stock Positions on Due Day (T+2) (%) 99.90 99.91Average Daily Settlement Efficiency of CNS Stock Positions on the Day following the Due Day (T+3) (%) 99.99 99.99Average Daily Buy-ins Executed on T+3– Number of brokers involved 5 4– Number of buy-ins 5 4– Value of buy-ins (HK$mil) 2.6 1.0Shares Deposited in the CCASS Depository *– Number of shares (bil shares) 4,262.9 3,839.0– Percentage of total issued shares of the admitted securities 71.01 70.64– Value of shares (HK$bil) 14,144.9 12,905.3– Percentage of the total market capitalisation of the admitted securities 52.56 51.98Derivatives MarketOpen Interest– Equity Index Futures 439,167 446,460– Stock Futures 20,040 15,524– Gold Futures 0 0– Interest Rates Futures 5 6– RMB Currency Futures 11,580 9,515– Equity Index Options 1,493,670 1,468,994– Stock Options 6,016,138 4,882,089Cumulative Stock Options Exercised– Share quantity involved (mil. shs) 1,942 1,663– Value of shares (HK$bil.) 41 29

* Share quantity and market value of securities in non-HKD currency are included

Main Board Equities


Equity Turnover

Share Value (Mil. shs) (HK$ mil.) No. of deals

2013 Q3 547,703.15 2,531,014.96 44,925,237 Q4 696,519.78 2,824,736.45 47,763,7532014 Q1 823,979.44 3,181,471.21 56,265,350 Q2 639,726.12 2,641,701.39 45,496,255 Q3 875,838.39 3,158,832.53 52,249,276

Equity Trading Statistics

No. of Average daily Average trading days turnover (HK$ mil.) value per deal

2013 Q3 63 40,174.84 56,338 Q4 62 45,560.27 59,1402014 Q1 61 52,155.27 56,544 Q2 60 44,028.36 58,064 Q3 64 49,356.76 60,457

Main Board Equities


20 Most Advanced Stocksfor 3rd quarter 2014

Closing priceRank Code Stock End of Sep 2014 End of Jun 2014 % up

1 01332 QUALIPAK 6.280 0.770 715.58 2 00572 CHINA PACKAGING 0.400 0.061 555.74 3 00139 ICUBE TECH 0.900 0.145 520.69 4 02623 CH ZHONGSHENG 7.080 1.370 416.79 5 00439 KUANGCHI 5.660 1.100 414.55 6 00412 HERITAGE INT’L 2.100 0.453 A 363.58 7 00167 IDT INT’L 0.680 0.167 307.19 8 00471 CMMB VISION 0.420 0.119 A 252.94 9 00827 KO YO GROUP 0.275 0.078 252.56 10 00091 INT’L STD RES 0.445 0.130 242.31 11 01041 CH NEW ENGY PWR 0.430 0.147 192.52 12 01076 IMPERIAL PAC 1.640 0.570 187.72 13 00747 SHENYANG PUBLIC 1.470 0.530 177.36 14 00232 AVIC INT’L 0.770 0.290 165.52 15 00431 G CHINA HOLD 1.130 0.430 162.79 16 00205 SEEC MEDIA 0.770 0.305 152.46 17 00211 STYLAND HOLD 0.275 0.121 127.27 18 01159 SINOGREEN-NEW 12.020 5.300 A 126.79 19 02393 YESTAR INTL 9.250 4.180 121.29 20 01328 INT’L ELITE 1.130 0.520 117.31

A Adjusted

20 Most Declined Stocksfor 3rd quarter 2014

Closing priceRank Code Stock End of Sep 2014 End of Jun 2014 % down

1 01355 LEGEND STRAT 0.660 2.550 -74.12 2 00356 INCUTECH INVEST 0.128 0.480 -73.33 3 01063 SUNCORP TECH 0.134 0.435 -69.20 4 00913 UNITY INV HOLD 0.570 1.800 -68.33 5 02366 SMI CULTURE 0.395 1.050 -62.38 6 03337 ANTON OILFIELD 2.300 5.280 -56.44 7 01353 NUOQI 1.000 2.170 -53.92 8 02309 BIRMINGHAM INTL 0.063 0.119 -47.06 9 00065 DETEAM CO LTD 0.155 0.285 -45.61 10 01262 LABIXIAOXIN 1.090 1.990 -45.23 11 00102 SUMMIT ASCENT 3.250 5.900 -44.92 12 00484 FORGAME 14.840 26.650 -44.32 13 01803 ASR LOGISTICS 0.730 1.310 -44.27 14 00894 MAN YUE TECH 1.590 2.850 -44.21 15 01112 BIOSTIME 24.150 43.000 -43.84 16 00630 AMCO UNITED 0.152 0.270 -43.70 17 00616 EASYKNIT ENT 0.200 0.355 -43.66 18 01180 PARADISE ENT 2.880 5.090 -43.42 19 02312 CH FIN LEASING 1.730 2.880 -39.93 20 00869 PLAYMATES TOYS 1.780 2.940 -39.46

A Adjusted

Main Board Equities


20 Most Active Stocks by Valuefor 3rd quarter 2014Rank Code Stock Turnover (HK$ mil.) % of total

1 00700 TENCENT 157,073.30 4.97 2 00941 CHINA MOBILE 124,301.26 3.94 3 00388 HKEX 81,393.41 2.58 4 01398 ICBC 76,504.42 2.42 5 00005 HSBC HOLDINGS 73,202.19 2.32 6 00939 CCB 71,143.97 2.25 7 03988 BANK OF CHINA 65,721.67 2.08 8 00883 CNOOC 57,997.07 1.84 9 01928 SANDS CHINA LTD 57,537.66 1.82 10 00857 PETROCHINA 57,412.16 1.82 11 02318 PING AN 54,393.73 1.72 12 01299 AIA 52,207.54 1.65 13 00386 SINOPEC CORP 50,361.65 1.59 14 00027 GALAXY ENT 46,795.16 1.48 15 02628 CHINA LIFE 42,277.11 1.34 16 00013 HUTCHISON 40,625.34 1.29 17 00688 CHINA OVERSEAS 32,752.25 1.04 18 00001 CHEUNG KONG 32,234.26 1.02 19 00016 SHK PPT 31,468.48 1.00 20 01288 ABC 28,905.26 0.92

Total 1,234,307.85 39.07

20 Most Active Stock by Sharesfor 3rd quarter 2014Rank Code Stock Turnover (Mil. shs) % of total

1 03988 BANK OF CHINA 18,154.12 2.07 2 01398 ICBC 14,884.59 1.70 3 00745 CN CULTURE GP 14,799.88 1.69 4 00981 SMIC 13,783.21 1.57 5 00572 CHINA PACKAGING 12,803.82 1.46 6 00939 CCB 12,343.59 1.41 7 00931 CHINA LNG 10,999.51 1.26 8 00585 IMAGI INT’L 10,628.64 1.21 9 00827 KO YO GROUP 10,461.33 1.19 10 00986 CH ENV ENERGY 10,127.01 1.16 11 00471 CMMB VISION 9,684.64 1.11 12 01288 ABC 7,956.21 0.91 13 00566 HANERGY SOLAR 7,912.97 0.90 14 03800 GCL-POLY ENERGY 7,415.14 0.85 15 00613 YUGANG INT’L 7,184.52 0.82 16 00353 ENERGY INTINV 6,744.22 0.77 17 00386 SINOPEC CORP 6,736.31 0.77 18 00076 SOUTH SEA PETRO 6,110.76 0.70 19 01041 CH NEW ENGY PWR 6,019.44 0.69 20 01371 CHINA LOTSYN 5,931.96 0.68

Total 200,681.86 22.91

Main Board Equities


Market Capitalisation of listed companies for Main Board

HK$ mil.

2013 Q3 22,697,506.14 Q4 23,908,803.802014 Q1 22,892,041.53 Q2 23,780,215.41 Q3 24,248,110.50

Market Capitalisation by Hang Seng Industry Classification System* – Main Board Quarter-end figures

Information Technology(6.95%)

Properties & Construction (13.31%)

Consumer Services(8.28%)

Telecommunications (9.62%)

Utilities (5.79%)

Financials (27.75%)

Materials (2.30%)

Industrial (4.02%)

Consumer Goods(11.80%)

Energy (5.82%)Conglomerates (4.36%)

* Hang Seng Industry Classification System (HSICS) is provided by Hang Seng Indexes Company Limited.

Note: New Hang Seng Industry Classification System took effect on 9 September 2013.

Main Board Equities


50 Leading Companies by Market Capitalisationas at the 3rd quarter end 2014

Rank Code Company Market capitalisation (HK$ mil.) % of market total

1 00941 China Mobile Ltd. 1,828,191.95 7.54 2 00005 HSBC Holdings plc 1,523,562.90 6.28 3 00939 China Construction Bank Corporation – H Shares 1,307,870.22 5.39 4 00700 Tencent Holdings Ltd. 1,081,525.94 4.46 5 00883 CNOOC Ltd. 594,704.11 2.45 6 00805 Glencore plc * – 570,326.44 N.A. 7 01299 AIA Group Ltd. 483,610.30 1.99 8 02378 Prudential plc * – 458,136.35 N.A. 9 01398 Industrial and Commercial Bank of China Ltd. – H Shares 420,083.18 1.73 10 00013 Hutchison Whampoa Ltd. 400,756.85 1.65 11 02888 Standard Chartered PLC 360,942.41 1.49 12 01928 Sands China Ltd. 326,672.16 1.35 13 00267 CITIC Ltd. 322,747.07 1.33 14 00016 Sun Hung Kai Properties Ltd. 300,082.40 1.24 15 00001 Cheung Kong (Holdings) Ltd. 296,237.42 1.22 16 03988 Bank of China Ltd. – H Shares 291,005.52 1.20 17 00945 Manulife Financial Corporation * – 279,479.75 N.A. 18 00762 China Unicom (Hong Kong) Ltd. 277,336.13 1.14 19 02388 BOC Hong Kong (Holdings) Ltd. 261,676.31 1.08 20 00011 Hang Seng Bank Ltd. 238,406.79 0.98 21 00857 PetroChina Co. Ltd. – H Shares 209,934.06 0.87 22 00388 Hong Kong Exchanges and Clearing Ltd. 195,176.08 0.80 23 00027 Galaxy Entertainment Group Ltd. 191,363.53 0.79 24 03328 Bank of Communications Co., Ltd. – H Shares 189,414.18 0.78 25 02318 Ping An Insurance (Group) Co. of China Ltd. – H Shares 182,463.40 0.75 26 00003 Hong Kong and China Gas Co. Ltd., The 177,083.34 0.73 27 00066 MTR Corporation Ltd. 176,877.53 0.73 28 00386 China Petroleum & Chemical Corporation – H Shares 173,491.38 0.72 29 00004 Wharf (Holdings) Ltd., The 167,263.03 0.69 30 00688 China Overseas Land & Investment Ltd. 163,316.03 0.67 31 02628 China Life Insurance Co. Ltd. – H Shares 160,357.32 0.66 32 00002 CLP Holdings Ltd. 157,524.19 0.65 33 00012 Henderson Land Development Co. Ltd. 150,896.65 0.62 34 00019 Swire Pacific Ltd. 146,628.37 0.60 35 00006 Power Assets Holdings Ltd. 146,517.06 0.60 36 01972 Swire Properties Ltd. 141,570.00 0.58 37 01038 Cheung Kong Infrastructure Holdings Ltd. 132,958.80 0.55 38 01128 Wynn Macau, Ltd. 128,329.47 0.53 39 00151 Want Want China Holdings Ltd. 127,737.53 0.53 40 01913 PRADA S.p.A. 120,648.55 0.50 41 00992 Lenovo Group Ltd. 120,311.25 0.50 42 00322 Tingyi (Cayman Islands) Holding Corp. 114,294.66 0.47 43 06883 Melco Crown Entertainment Ltd. 108,889.92 0.45 44 01288 Agricultural Bank of China Ltd. – H Shares 105,741.55 0.44 45 01929 Chow Tai Fook Jewellery Group Ltd. 101,000.00 0.42 46 00836 China Resources Power Holdings Co. Ltd. 100,457.25 0.41 47 00101 Hang Lung Properties Ltd. 99,123.75 0.41 48 01044 Hengan International Group Co. Ltd. 93,666.12 0.39 49 00288 WH Group Ltd. 93,456.93 0.39 50 01109 China Resources Land Ltd. 93,299.50 0.38Total 14,585,203.10 60.15Market Total 24,248,110.50 100.00

Notes:

* not included in Market Total

Main Board Equities


Short Selling (value)

Short selling turnover (HK$ mil.) Market turnover (HK$ mil.) * % of market total

2013 Q3 362,504.10 3,478,201.02 10.42 Q4 327,062.28 3,661,066.79 8.932014 Q1 413,654.80 4,167,426.78 9.93 Q2 355,541.15 3,447,418.64 10.31 Q3 464,325.10 4,535,766.69 10.24

* Included Market total for Main Board and GEM

Short Selling (share)

Short selling turnover (Mil. shs) Market turnover (Mil. shs) * % of market total

2013 Q3 38,306.44 8,245,169.14 0.46 Q4 34,177.79 7,256,548.86 0.472014 Q1 41,100.03 8,443,354.93 0.49 Q2 36,449.08 6,775,296.43 0.54 Q3 45,864.62 9,468,544.88 0.48

* Included Market total for Main Board and GEM

New Listing Companies Statistics

No. of newly No. of companies Funds raised listed companies transferred from GEM * (HK$ mil.) #

2013 Q3 15 2 19,845.52 Q4 48 5 107,181.692014 Q1 18 2 45,540.23 Q2 24 2 35,955.89 Q3 27 2 48,750.63

* Included only the transfers of listing from GEM to Main Board pursuant to the revised Rule 9.24 of GEM Listing Rules and to the new Chapter 9A of the Main

Board Listing Rules effective from 1 July 2008# All funds raised are attributed to the initial public offers of newly listed companies

Main Board Equities


Newly Listed Companiesfor 3rd quarter 2014

Code Company name Listing date No. of issued shares Funds raised (HK$ mil.)

06139 Jinmao Investments & Jinmao (China) Investments Hldgs Ltd-SS 2014/07/02 2,000,000,000 3,581.2701446 Hung Fook Tong Group Holdings Ltd. 2014/07/04 655,700,000 236.2106136 Kangda International Environmental Co. Ltd. 2014/07/04 2,067,515,000 1,589.0401450 Century Sage Scientific Holdings Ltd. 2014/07/07 1,000,000,000 270.0002329 Guorui Properties Ltd. 2014/07/07 4,431,634,000 1,622.2906188 Beijing Digital Telecom Co., Ltd. – H Shares 2014/07/08 328,967,000 883.3401599 Beijing Urban Construction Design & Dev. Group Co., Ltd-H Sh 2014/07/08 387,937,000 1,066.8300787 Global Brands Group Holding Ltd. 2014/07/09 8,360,398,306 –02186 Luye Pharma Group Ltd. 2014/07/09 3,321,073,843 6,805.5501980 Tian Ge Interactive Holdings Ltd. 2014/07/09 1,262,707,000 1,847.5101321 China New City Commercial Development Ltd. 2014/07/10 1,738,000,000 608.4001418 Sinomax Group Ltd. 2014/07/10 1,650,002,000 795.0001848 China Aircraft Leasing Group Holdings Ltd. 2014/07/11 585,781,000 728.8501856 Ernest Borel Holdings Ltd. 2014/07/11 347,000,000 198.0001367 Hanbo Enterprises Holdings Ltd. 2014/07/11 480,000,000 62.4006123 On Time Logistics Holdings Ltd. 2014/07/11 415,000,000 135.7001432 China Shengmu Organic Milk Ltd. 2014/07/15 6,354,400,000 1,063.0702399 China Fordoo Holdings Ltd. 2014/07/16 480,000,000 468.0000400 Cogobuy Group 2014/07/18 1,374,000,000 1,375.2001253 Broad Greenstate International Co. Ltd. 2014/07/21 767,214,000 279.7806168 China U-Ton Holdings Ltd. * 2014/08/01 1,695,120,000 –00288 WH Group Ltd. 2014/08/05 14,648,421,111 18,305.5601365 China Rundong Auto Group Ltd. 2014/08/12 1,074,474,000 961.6606166 China VAST Industrial Urban Development Co. Ltd. 2014/08/25 1,637,641,000 1,133.4900048 China Automotive Interior Decoration Holdings Ltd. * 2014/08/25 1,152,000,000 –00699 CAR Inc. 2014/09/19 2,357,512,070 4,167.4802221 New Concepts Holdings Ltd. 2014/09/19 400,000,000 86.0001285 Jiashili Group Ltd. 2014/09/25 400,000,000 370.0001395 ELL Environmental Holdings Ltd. 2014/09/26 800,000,000 110.00Total 48,750.63

* Transfers of listing from GEM to Main Board pursuant to the revised Rule 9.24 of the GEM Listing Rules and to the new Chapter 9A of the Main Board Listing

Rules effective from 1 July 2008.

Main Board Equities


Withdrawal of Listed Companiesfor 3rd quarter 2014

Code Company name Last trading date Delisted date

00074 Great Wall Technology Co. Ltd. - H Shares 2014/07/04 2014/07/1106813 CapitaMalls Asia Ltd. 2014/06/10 2014/07/2201997 Regent Manner International Holdings Ltd. 2014/07/24 2014/08/07

Main Board Equities


Company Name Changesfor 3rd quarter 2014

Code Old name New name Effective date Adoption date

01076 First Natural Foods Holdings Ltd. Imperial Pacific International Holdings Ltd. 2014/05/22 2014/07/0200112 LT Holdings Ltd. LT Commercial Real Estate Ltd. 2014/06/24 2014/07/0200256 China Haidian Holdings Ltd. Citychamp Watch & Jewellery Group Ltd. 2014/05/26 2014/07/0702083 Nature Flooring Holding Co. Ltd. Nature Home Holding Co. Ltd. 2014/06/09 2014/07/0901259 Prince Frog International Holdings Ltd. China Child Care Corporation Ltd. 2014/06/06 2014/07/1101733 Winsway Coking Coal Holdings Ltd. Winsway Enterprises Holdings Ltd. 2014/06/25 2014/07/2306828 China Print Power Group Ltd. Blue Sky Power Holdings Ltd. 2014/06/30 2014/07/2400082 VODone Ltd. V1 Group Ltd. 2014/06/13 2014/07/2802358 Mitsumaru East Kit (Holdings) Ltd. Jiu Rong Holdings Ltd. 2014/06/30 2014/08/0401060 ChinaVision Media Group Ltd. Alibaba Pictures Group Ltd. 2014/06/30 2014/08/0800705 CVM Minerals Ltd. Ding He Mining Holdings Ltd. 2014/08/01 2014/08/1100904 China Green (Holdings) Ltd. China Culiangwang Beverages Holdings Ltd. 2014/07/01 2014/08/1500727 VXL Capital Ltd. Crown International Corporation Ltd. 2014/08/11 2014/08/2900267 CITIC Pacific Ltd. CITIC Ltd. 2014/08/26 2014/09/0101682 Ford Glory Group Holdings Ltd. Highlight China IoT International Ltd. 2014/08/04 2014/09/0101196 Cheong Ming Investments Ltd. Realord Group Holdings Ltd. 2014/08/28 2014/09/1701019 Convoy Financial Services Holdings Ltd. Convoy Financial Holdings Ltd. 2014/08/20 2014/09/1801240 Sunley Holdings Ltd. CNQC International Holdings Ltd. 2014/08/13 2014/09/1900439 Climax International Co. Ltd. KuangChi Science Ltd. 2014/08/22 2014/09/2200095 New Heritage Holdings Ltd. LVGEM (China) Real Estate Investment Co. Ltd. 2014/09/01 2014/09/29

* Change of English name only# Change of Chinese name only

Main Board Equities


Bonus Issues / Bonus Warrantsfor 3rd quarter 2014

Code Company Particulars Ex-date

01103 Shanghai Tonva Petrochemcial Co., Ltd. – H Shares 5 for 10 2014/07/0200471 CMMB Vision Holdings Ltd. 1 for 2 rts shares 2014/07/0400474 Hao Tian Development Group Ltd. 1 for 1 offer sh 2014/08/0101271 Grand Ming Group Holdings Ltd. 1 for 10 2014/08/0401141 Poly Capital Holdings Ltd. 1 for 4 2014/08/1800412 Heritage International Holdings Ltd. 1 for 2 2014/08/2000248 HKC International Holdings Ltd. 1 for 8 2014/08/2800279 Freeman Financial Corporation Ltd. 1 for 1 2014/09/0100329 Dragonite International Ltd. 4 for 1 2014/09/0300273 Willie International Holdings Ltd. 1 for 4 2014/09/1100190 HKC (Holdings) Ltd. 1 wt for 5 2014/09/30

Share Split/Consolidationfor 3rd quarter 2014

Code Company Particulars Effective date

00120 Cosmopolitan International Holdings Ltd. Consolidation 10 into 1 2014/07/1500179 Johnson Electric Holdings Ltd. Consolidation 4 into 1 2014/07/1500943 eForce Holdings Ltd. Consolidation 10 into 1 2014/07/2900474 Hao Tian Development Group Ltd. Consolidation 10 into 1 2014/07/3100397 Jun Yang Solar Power Investments Ltd. Consolidation 4 into 1 2014/08/1200221 PNG Resources Holdings Ltd. Consolidation 10 into 1 2014/08/2000444 Sincere Watch (Hong Kong) Ltd. Split 1 into 5 2014/09/0201159 Sinogreen Energy International Group Ltd. Consolidation 5 into 1 2014/09/1200876 Wing Lee Holdings Ltd. Split 1 into 8 2014/09/23

Main Board Equities


Rights Issues & Open Offersfor 3rd quarter 2014

Month Code Company Ratio Funds raised (HK$ mil.)

Jul 06823 HKT Trust and HKT Ltd. – SS Rts 18 for 100 @$6.84 7,900.28 01226 China Investment and Finance Group Ltd. Open offer 1 for 2 @$0.20 58.16 00471 CMMB Vision Holdings Ltd. Rts 2 for 1 @$0.15 276.36 with bonus 1 for 2 rts shsAug 00120 Cosmopolitan International Holdings Ltd. Open offer 2 for 1 consolidated sh @$0.10 205.13 (with option to receive convertible preference shares in lieu of all or part of open offers shares on a one-for-one basis) 00519 Applied Devlopment Holdings Ltd. Rts 1 for 2 @$0.139 80.60 02700 Green International Holdings Ltd. Open offer 3 for 10 @$0.45 179.69 00356 Incutech Investments Ltd. Open offer 15 for 2 @HKD 0.10 42.75 (only available to the qualifying shareholders) 00943 eForce Holdings Ltd. Rts 16 for 1 @$0.50 262.05 (after consolidation 10 into 1) 00474 Hao Tian Development Group Ltd. Open offer 2 for 1 @$0.25 198.60 with bonus 1 for 1 offer sh (after consolidation 10 into 1) 00859 Henry Group Holdings Ltd. Open offer 1 for 5 @$0.85 126.31Sep 00720 Auto Italia Holdings Ltd. Open offer 1 for 2 @$0.065 112.43 00164 China Gamma Group Ltd. Rts 1 for 2 @$0.068 149.52 00904 China Culiangwang Beverages Holdings Ltd. Open offer 1 for 2 @$0.25 132.61 00080 China New Economy Fund Ltd. Rts 1 for 2 @$0.28 42.42 00810 Opes Asia Development Ltd. Rts 4 for 1 @$0.10 210.66 01788 Guotai Junan International Holdings Ltd. Rts 1 for 5 @$5.30 2,006.37 00648 China Renji Medical Group Ltd. Rts 1 for 2 @$0.27 100.54

Total 12,084.48

Main Board Equities


Placing*

No. of new Placing price Funds raisedMonth Code Company shares placed (HK$) (HK$ mil.)

2014Jul 00706 BEAUTI C HOLD 426,000,000 0.4000 170.40 00735 C P NEW ENERGY 339,400,110 0.7500 254.55 00228 CHINA ENERGY 1,584,224,000 0.1010 160.01 01043 COSLIGHT TECH 30,000,000 5.4000 162.00 00727 CROWNICORP 300,000,000 0.3600 108.00 00705 DINGHE MINING 321,636,000 0.1500 48.25 02389 GENVON GROUP 400,000,000 0.3250 130.00 01082 HK EDU INTL 394,080,000 0.1450 57.14 01071 HUADIAN POWER 286,205,600 4.9200 1,408.13 00139 ICUBE TECH 406,747,565 0.1250 50.84 01833 INTIME 220,541,892 7.5335 1,661.45 00872 JH AUTO SAFETY 102,300,000 0.3700 37.85 00397 JUNYANG SOLAR 1,500,000,000 0.1000 150.00 03303 JUTAL OIL SER 40,000,000 1.8500 74.00 00582 LANDING INTL 500,000,000 0.5000 250.00 00556 PAN ASIA ENVIRO 40,000,000 1.6300 65.20 01822 PERCEPTIONDIGIT 616,275,000 0.1680 103.53 00376 REORIENT GROUP 17,021,277 2.3500 40.00 00521 SHOUGANG TECH 418,144,000 0.3000 125.44 00039 SINO DISTILL 82,000,000 0.7000 57.40 00702 SINO OIL & GAS 2,900,000,000 0.2050 594.50 01020 SINOREF HLDGS 110,000,000 0.5700 62.70 00598 SINOTRANS 357,481,000 4.8000 1,715.91 00395 SMARTAC GP CH 260,000,000 0.3100 80.60 01046 UNIVERSE INT’L 343,200,000 0.1000 34.32Aug 00959 AMAX INT HOLD 6,400,000 1.2000 7.68 00835 ASIA COAL 202,000,000 0.1000 20.20 01069 CA LOW-CARBON 47,504,000 1.6500 78.38 00209 CH TYCOON BEV 337,280,000 0.2050 69.14 01380 CHI KINGSTONE 40,000,000 0.2500 10.00 00204 CHINA INV DEV 22,000,000 1.4500 31.90 00245 CHINA SEVENSTAR 110,000,000 0.1690 18.59 00267 CITIC 3,952,114,000 13.4800 53,274.50 00745 CN CULTURE GP 709,000,000 0.3000 212.70 01363 CTEG 60,000,000 5.9000 354.00 00616 EASYKNIT ENT 78,000,000 0.3000 23.40 02389 GENVON GROUP 3,984,000,000 0.2500 996.00 00033 HARMONIC STR 357,000,000 0.1000 35.70 00295 KONG SUN HOLD 6,528,080,000 0.3600 2,350.11 00439 KUANGCHI 1,666,666,668 0.0800 133.33 01355 LEGEND STRAT 43,500,000 0.7900 34.37 01227 NATIONAL INV 132,660,000 0.6000 79.60 01868 NEO-NEON 1,000,000,000 0.9000 900.00 00055 NEWAY GROUP 203,860,000 0.1630 33.23 00444 SINCEREWATCH HK 80,000,000 1.3400 107.20 00897 WAI YUEN TONG 586,000,000 0.1860 109.00 00968 XINYI SOLAR 380,000,000 2.0700 786.60

Main Board Equities


No. of new Placing price Funds raisedMonth Code Company shares placed (HK$) (HK$ mil.)

Sep 00922 ANXIANYUAN CH 320,000,000 0.1700 54.40 00048 C AUTO INT DECO 230,400,000 0.3800 87.55 03777 C FIBER OPTIC 291,000,000 2.4200 704.22 00149 CH AGRI-PROD EX 250,000,000 0.3300 82.50 00085 CHINA ELECTRON 338,312,000 1.6300 551.45 00235 CHINA STRATEGIC 739,800,000 0.1600 118.37 06168 CHINA U-TON 62,500,000 1.6000 100.00 01378 CHINAHONGQIAO 275,880,000 6.1900 1,707.70 00497 CSI PROPERTIES 1,300,000,000 0.3500 455.00 01808 ENTERPRISE DEV 293,477,920 0.2380 69.85 00566 HANERGY SOLAR 9,000,000,000 0.1000 900.00 00275 HANNY HOLDINGS 224,000,000 0.3600 80.64 01689 HUAXIHOLDINGS 28,000,000 1.7000 47.60 01366 JIANGNAN GP 317,950,000 1.9500 620.00 00439 KUANGCHI 289,900,000 5.3860 1,561.40 00136 MASCOTTE HOLD 847,015,679 0.0900 76.23 01227 NATIONAL INV 132,679,325 0.7000 92.88 00221 PNG RESOURCES 184,000,000 0.3250 59.80 01348 QUALI-SMART 48,000,000 1.2500 60.00 01159 SINOGREEN EN 325,000,000 0.3500 113.75 00198 SMI CORP 780,000,000 0.2850 222.30 00852 STRONG PETRO 57,794,409 1.1000 63.57 00086 SUN HUNG KAI CO 160,000,000 6.3000 1,008.00 00307 UP ENERGY DEV 575,100,000 1.0000 575.10 00309 XH NEWS MEDIA 65,200,000 0.3250 21.19

Total 76,701.35

* Due to the reporting time-lag, placing figures for the quarter are provisional.

** Supplementary information update for previous quarters.

Main Board Warrants


Warrant Trading Statistics

Equity wts Derivative wts Total (HK$ mil.) (HK$ mil.) (HK$ mil.)

2013 Q3 12.47 389,973.38 389,985.85 Q4 37.19 358,530.50 358,567.702014 Q1 30.09 431,689.18 431,719.27 Q2 651.85 384,246.51 384,898.36 Q3 1,251.17 626,632.51 627,883.68

Warrant Market Value

Equity wts Derivative wts Total Number (HK$ mil.) Number (HK$ mil.) Total no. (HK$ mil.)

2013 Q3 9 280.27 4,696 91,474.60 4,705 91,754.87 Q4 8 356.40 4,715 95,733.93 4,723 96,090.322014 Q1 7 336.27 5,335 76,633.31 5,342 76,969.58 Q2 5 2,493.01 5,054 67,588.71 5,059 70,081.72 Q3 7 3,338.72 4,794 76,683.23 4,801 80,021.95

New Listing Statistics – Warrants

No. of newly listed No. of newly listed Amount raised equity wts derivative wts (HK$ mil.)

2013 Q3 0 1,654 40,026.39 Q4 0 2,046 45,648.982014 Q1 1 2,188 51,909.16 Q2 1 1,435 33,081.98 Q3 2 1,951 44,515.12

Newly Listed Equity Warrantsfor 3rd quarter 2014

Initial issued Amount raisedCode Equity warrants amount (HK$) Listing date Expiry (HK$ mil.)

00481 Golden Meditech Holdings Ltd. Warrants 2015 434,965,146 2014/08/01 2015/07/30 –01453 Culturecom Holdings Ltd. Warrants 2016 118,125,000 2014/09/22 2016/09/21 25.20

Total 25.20

Main Board Warrants


Newly Listed Derivative Warrantsfor 3rd quarter 2014 Amount No. of raisedCode Derivative warrants issue (units) Listing date Expiry (HK$ mil.)

27215 BOCI Asia Ltd. – Galaxy Ent European Warrants Nov 2014 C 100,000,000 2014/07/02 2014/11/17 31.0027205 BOCI Asia Ltd. – Kingsoft European Put Warrants Dec 2014 A 100,000,000 2014/07/02 2014/12/24 31.0027211 BOCI Asia Ltd. – Tencent Holdings European Wts Oct 2015 A 100,000,000 2014/07/02 2015/10/26 17.0027212 BOCI Asia Ltd. – Tencent Holdings European Put Wts Dec 2015 A 100,000,000 2014/07/02 2015/12/22 15.0027166 Goldman Sachs SP (Asia) – BEA European Warrants Nov 2015 A 80,000,000 2014/07/02 2015/11/30 20.2427202 Goldman Sachs SP (Asia) – China Shenhua Euro Wts Jun 2015 A 80,000,000 2014/07/02 2015/06/17 14.3227220 Goldman Sachs SP (Asia) – Huadian Power European Wts Jan15B 50,000,000 2014/07/02 2015/01/30 19.9027167 Goldman Sachs SP (Asia) – PetroChina European Wts Jan 2015 A 80,000,000 2014/07/02 2015/01/30 20.6427161 Goldman Sachs SP (Asia) – Shanghai Ind Euro Wts Apr 2015 A 80,000,000 2014/07/02 2015/04/30 20.2427226 J P Morgan SP BV – AIA European Warrants Feb 2015 A 200,000,000 2014/07/02 2015/02/09 31.0027224 J P Morgan SP BV – Ch Overseas European Put Wts May 2015 A 200,000,000 2014/07/02 2015/05/04 51.0027228 J P Morgan SP BV – Dongfeng Motor European Wts Sep 2015 A 150,000,000 2014/07/02 2015/09/30 22.9527158 J P Morgan SP BV – HSI European Put Warrants Nov 2014 B 500,000,000 2014/07/02 2014/11/27 75.0027265 Daiwa Capital Mkt – BOCL European Warrants Jan 2015 A 108,000,000 2014/07/03 2015/01/02 23.7627255 Daiwa Capital Mkt – Ch Overseas European Warrants Mar 2015 B 80,000,000 2014/07/03 2015/03/02 20.0027461 Goldman Sachs SP (Asia) – Tencent European Wt Dec 2014 C 80,000,000 2014/07/03 2014/12/22 30.0827452 Goldman Sachs SP (Asia) – Tencent European Put Wt Dec 2014 B 80,000,000 2014/07/03 2014/12/01 15.0427462 Goldman Sachs SP (Asia) – Xinyi Glass European Wts Jan 2015A 80,000,000 2014/07/03 2015/01/05 31.1227269 HK Bank – BYD European Warrants Jan 2015 A 60,000,000 2014/07/03 2015/01/05 16.8027288 HK Bank – Mengniu European Warrants Jan 2015 A 60,000,000 2014/07/03 2015/01/30 15.0027482 J P Morgan SP BV – Hutchison European Put Wts Jan 2015 C 80,000,000 2014/07/03 2015/01/05 27.1227295 Macquarie Bank Ltd. – AIA European Warrants Jan 2015 B 40,000,000 2014/07/03 2015/01/05 10.4027250 Macquarie Bank Ltd. – Foxconn European Warrants Jan 2015 A 25,000,000 2014/07/03 2015/01/05 10.0027451 Macquarie Bank Ltd. – Golden Eagle European Wts Jul 2015 A 68,000,000 2014/07/03 2015/07/03 10.2027237 Macquarie Bank Ltd. – Hutchison European Warrants Jan 2015 A 30,000,000 2014/07/03 2015/01/05 10.0827431 Standard Chartered Bank – HSBC European Warrants Dec 2014 C 100,000,000 2014/07/03 2014/12/02 16.0027446 Standard Chartered Bank – HSI European Warrants Nov 2014 C 100,000,000 2014/07/03 2014/11/27 15.0027303 SGA Societe Generale Acceptance N.V – Chi COSCO Eu Wt Mar 15 A 40,000,000 2014/07/03 2015/03/04 10.0027344 SGA Societe Generale Acceptance N.V. – CITIC Pac Eu Wt Jan16B 80,000,000 2014/07/03 2016/01/04 12.0027375 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Oct 2015 A 100,000,000 2014/07/03 2015/10/05 15.0027377 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Jan15 B 40,000,000 2014/07/03 2015/01/05 11.0027399 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Jan 2015C 70,000,000 2014/07/03 2015/01/05 17.5027323 SGA Societe Generale Acceptance NV – Ch Ship Cont Eu Wt Feb15A 60,000,000 2014/07/03 2015/02/04 10.2027354 SGA Societe Generale Acceptance N.V. – Dongfeng Eu Wt Oct15A 100,000,000 2014/07/03 2015/10/05 17.5027366 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Jan15A 80,000,000 2014/07/03 2015/01/05 39.6027371 SGA Societe Generale Acceptance N.V. – Galaxy Eu Put Wt Jan15B 70,000,000 2014/07/03 2015/01/05 21.0027393 SGA Societe Generale Acceptance N.V. – Li & Fung Eu Wt Jul16 A 100,000,000 2014/07/03 2016/07/04 17.0027479 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Jan 15 A 100,000,000 2014/07/03 2015/01/05 16.5027395 SGA Societe Generale Acceptance NV – Sands Ch Eu Put Wt Jan15B 80,000,000 2014/07/03 2015/01/05 21.6027405 SGA Societe Generale Acceptance N.V. – SHK P Eu Wt Jan 2015B 40,000,000 2014/07/03 2015/01/05 10.0027468 UBS AG – Sinopec Corp European Warrants Nov 2014 C 60,000,000 2014/07/03 2014/11/05 20.4027464 UBS AG – Ping An European Warrants Nov 2014 B 70,000,000 2014/07/03 2014/11/24 10.50

Main Board Warrants


Amount No. of raisedCode Derivative warrants issue (units) Listing date Expiry (HK$ mil.)

27590 Credit Suisse AG – China Mobile European Warrants Nov 2014 B 80,000,000 2014/07/04 2014/11/03 12.0027587 Credit Suisse AG – HSBC European Wts Dec 2014 A 80,000,000 2014/07/04 2014/12/01 12.0027595 Credit Suisse AG – Yanzhou Coal European Warrants Dec 2014 A 70,000,000 2014/07/04 2014/12/01 14.0027578 Daiwa Capital Mkt – Galaxy Ent European Warrants Jan 2015 A 108,000,000 2014/07/04 2015/01/16 27.0027585 Daiwa Capital Mkt – HKEx European Put Warrants Mar 2015 A 108,000,000 2014/07/04 2015/03/02 27.0027580 Daiwa Capital Mkt – Sands China European Put Wts Jan 2015 A 80,000,000 2014/07/04 2015/01/05 28.0027586 Daiwa Capital Mkt – Tencent Holdings European Wts Jan 2015 B 108,000,000 2014/07/04 2015/01/02 24.8427610 Goldman Sachs SP (Asia) – HSI European Warrants Dec 2014 B 150,000,000 2014/07/04 2014/12/30 31.6527507 Macquarie Bank Ltd. – Sinopec Corp European Wts Feb 2015 A 40,000,000 2014/07/04 2015/02/03 10.0027565 Standard Chartered Bank – China Life European Wts Dec 2014 B 100,000,000 2014/07/04 2014/12/12 16.0027568 Standard Chartered Bank – China Life Euro Put Wts Mar 2015 A 100,000,000 2014/07/04 2015/03/25 15.0027574 Standard Chartered Bank – Ping An European Wts Nov 2014 B 60,000,000 2014/07/04 2014/11/25 16.2027577 Standard Chartered Bank – Ping An Euro Put Wts Dec 2014 A 60,000,000 2014/07/04 2014/12/24 18.6027618 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt Sep 2015 A 100,000,000 2014/07/04 2015/09/02 22.0027620 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Apr 2015 A 100,000,000 2014/07/04 2015/04/08 25.0027621 SGA Societe Generale Acceptance N.V. – Ch Cinda Eu Wt Jan15A 40,000,000 2014/07/04 2015/01/05 13.6027628 SGA Societe Generale Acceptance N.V. – Esprit Eu Wt Apr 16 A 100,000,000 2014/07/04 2016/04/06 20.0027511 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jan 15 A 150,000,000 2014/07/04 2015/01/29 39.0027521 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jan 15 B 150,000,000 2014/07/04 2015/01/29 37.5027630 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Jan 2015 A 50,000,000 2014/07/04 2015/01/05 13.7527631 SGA Societe Generale Acceptance N.V. – HWL Eur Put Wt Jan15B 50,000,000 2014/07/04 2015/01/05 20.5027642 SGA Societe Generale Acceptance N.V. – PICC Eu Wts Apr 2015A 50,000,000 2014/07/04 2015/04/08 12.5027523 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt May 15 B 120,000,000 2014/07/04 2015/05/06 30.0027522 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Jul 16 A 500,000,000 2014/07/04 2016/07/06 125.0027538 SGA Societe Generale Acceptance N.V – Tencent Eu Put Wt Jan16A 500,000,000 2014/07/04 2016/01/04 75.0027646 UBS AG – Galaxy Ent European Put Warrants Dec 2014 B 40,000,000 2014/07/04 2014/12/15 12.0027651 UBS AG – Wynn Macau European Put Warrants Jan 2015 A 40,000,000 2014/07/04 2015/01/09 10.0027652 Bank of East Asia – BYD European Warrants Jan 2015 A 35,000,000 2014/07/07 2015/01/07 10.7127686 J P Morgan SP BV – Esprit European Wts Jan 2016 A 60,000,000 2014/07/07 2016/01/05 15.1227685 Macquarie Bank Ltd. – China Gas Hold Euro Wts Jun 2015 B 40,000,000 2014/07/07 2015/06/30 10.0027656 Standard Chartered Bank – BYD European Warrants Dec 2014 B 50,000,000 2014/07/07 2014/12/31 21.5027673 Standard Chartered Bank – China Gas Hold European Wts Jun15A 60,000,000 2014/07/07 2015/06/01 15.0027676 Standard Chartered Bank – Sinopec Corp Euro Wts Feb 2015 A 100,000,000 2014/07/07 2015/02/02 25.0027684 Standard Chartered Bank – HKEx European Warrants Nov 2015 B 100,000,000 2014/07/07 2015/11/26 25.0027675 Standard Chartered Bank – Shunfeng Pv European Wts Feb15A 60,000,000 2014/07/07 2015/02/02 10.8027653 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Feb 2015 B 100,000,000 2014/07/07 2015/02/04 15.0027654 SGA Societe Generale Acceptance N.V. – JIANC Eu Wt May 2015A 100,000,000 2014/07/07 2015/05/06 17.0027655 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Jun 2015A 60,000,000 2014/07/07 2015/06/03 15.0027707 Credit Suisse – SMIC European Warrants Jan 2016 A 50,000,000 2014/07/08 2016/01/18 12.5027767 J P Morgan SP BV – AIA European Put Warrants Apr 2015 A 100,000,000 2014/07/08 2015/04/30 25.5027715 J P Morgan SP BV – A50 China European Warrants Feb 2015 A 200,000,000 2014/07/08 2015/02/03 50.2027731 J P Morgan SP BV – A50 China European Put Wts Feb 2015 B 100,000,000 2014/07/08 2015/02/03 39.6027728 J P Morgan SP BV – Sands China European Put Wts Feb 2015 A 100,000,000 2014/07/08 2015/02/03 25.1027704 Macquarie Bank Ltd. – MGM China European Warrants Feb 2015 A 40,000,000 2014/07/08 2015/02/03 10.00

Main Board Warrants



27695 SGA Societe Generale Acceptance N.V – Ch Gas Hold Eu Wt Jun15A 70,000,000 2014/07/08 2015/06/03 17.5027703 SGA Societe Generale Acceptance N.V – Ch Gas Hold Eu Wt Oct15A 70,000,000 2014/07/08 2015/10/05 17.5027850 Credit Suisse AG – Sinopec Corp European Warrants Dec 2014 A 70,000,000 2014/07/09 2014/12/23 21.0027834 Credit Suisse AG – Galaxy Ent European Put Wts Oct 2014 C 70,000,000 2014/07/09 2014/10/10 22.4027831 Credit Suisse AG – Hutchison European Warrants Dec 2014 A 70,000,000 2014/07/09 2014/12/22 15.4027832 Credit Suisse AG – Hutchison European Put Wts Dec 2014 B 70,000,000 2014/07/09 2014/12/08 12.6027838 Credit Suisse AG – Sands China European Put Wts Nov 2014 A 70,000,000 2014/07/09 2014/11/24 16.8027842 Credit Suisse AG – Tencent Holdings Euro Put Wts Apr 2015 A 70,000,000 2014/07/09 2015/04/30 11.2027768 Goldman Sachs SP (Asia) – SHK Ppt European Wts Jan 2015 A 80,000,000 2014/07/09 2015/01/12 20.0027896 J P Morgan Int’l Der. Ltd. – HSCEI European Wts Jan 2015 C 300,000,000 2014/07/09 2015/01/29 75.0027892 J P Morgan SP BV – HSCEI European Put Warrants Jan 2015 B 300,000,000 2014/07/09 2015/01/29 75.6027897 J P Morgan SP BV – MGM China European Put Wts Feb 2015 A 50,000,000 2014/07/09 2015/02/03 12.7027900 J P Morgan SP BV – SJM Holdings European Put Warrants Mar15A 60,000,000 2014/07/09 2015/03/03 15.2427899 J P Morgan SP BV – Wynn Macau European Put Warrants Feb 15 A 60,000,000 2014/07/09 2015/02/03 15.2427885 Standard Chartered Bank – A50 China Euro Warrants Feb 2015 A 60,000,000 2014/07/09 2015/02/27 15.0027887 Standard Chartered Bank – Galaxy Ent European Wts Jan 2015 A 50,000,000 2014/07/09 2015/01/30 26.5027792 Standard Chartered Bank – HSI European Warrants Mar 2015 A 100,000,000 2014/07/09 2015/03/30 15.0027798 Standard Chartered Bank – HSI European Put Wts Dec 2014 B 100,000,000 2014/07/09 2014/12/30 16.0027883 SGA Societe Generale Acceptance N.V. – CNBM Eu Wt Nov 2015 B 150,000,000 2014/07/09 2015/11/04 23.2527881 UBS AG – A50 China European Warrants Nov 2014 A 70,000,000 2014/07/09 2014/11/21 16.8027851 UBS AG – Galaxy Ent European Put Warrants Nov 2014 D 45,000,000 2014/07/09 2014/11/26 10.3527857 UBS AG – HSI European Put Warrants Dec 2014 E 300,000,000 2014/07/09 2014/12/30 51.0027872 UBS AG – HSI European Put Warrants Dec 2014 F 300,000,000 2014/07/09 2014/12/30 49.5027786 UBS AG – Tencent Holdings European Put Warrants Feb 2015 A 500,000,000 2014/07/09 2015/02/27 75.0027790 UBS AG – Tencent Holdings European Put Warrants Dec 2015 A 500,000,000 2014/07/09 2015/12/22 75.0027946 BOCI Asia Ltd. – CITIC Sec European Warrants Mar 2015 A 100,000,000 2014/07/10 2015/03/30 19.0027999 BOCI Asia Ltd. – Sinopec Corp European Warrants Dec 2014 A 100,000,000 2014/07/10 2014/12/24 26.0027943 BOCI Asia Ltd. – HSBC European Warrants Dec 2014 A 100,000,000 2014/07/10 2014/12/08 19.0027948 BOCI Asia Ltd. – PetroChina European Warrants Jan 2015 A 100,000,000 2014/07/10 2015/01/26 33.0027947 BOCI Asia Ltd. – Sands China European Put Wts Jan 2015 A 100,000,000 2014/07/10 2015/01/19 28.0028013 BNP Paribas Arbit Issu B.V. – Tencent Eu Put Wt Dec 2014 C 100,000,000 2014/07/10 2014/12/02 15.0027927 Daiwa Capital Mkt – HSBC European Warrants Jan 2015 A 108,000,000 2014/07/10 2015/01/15 27.0028015 Goldman Sachs SP (Asia) – A50 China European Wts Jan 2015 A 80,000,000 2014/07/10 2015/01/28 20.8827936 HK Bank – HSI European Warrants Oct 2014 D 200,000,000 2014/07/10 2014/10/30 32.0027932 HK Bank – HSI European Warrants Dec 2014 G 200,000,000 2014/07/10 2014/12/30 30.0028029 J P Morgan SP BV – HSBC European Warrants Dec 2014 B 200,000,000 2014/07/10 2014/12/01 31.0027907 Standard Chartered Bank – HSI European Warrants Feb 2015 A 100,000,000 2014/07/10 2015/02/26 25.0027913 Standard Chartered Bank – HSI European Warrants Mar 2015 B 100,000,000 2014/07/10 2015/03/30 18.0028027 Standard Chartered Bank – Tencent Hldg Eu Put Wts Apr 2015 A 150,000,000 2014/07/10 2015/04/28 22.5027902 Standard Chartered Bank – Tracker Fund Euro Wts Dec 2016 A 100,000,000 2014/07/10 2016/12/29 25.0027903 Standard Chartered Bank – Tracker Fund Eu Put Wt May 2016 A 100,000,000 2014/07/10 2016/05/27 25.0028026 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Feb15A 80,000,000 2014/07/10 2015/02/04 25.6028022 UBS AG – HSBC European Warrants Nov 2014 B 100,000,000 2014/07/10 2014/11/26 18.0028018 UBS AG – China Mengniu European Warrants Dec 2014 A 55,000,000 2014/07/10 2014/12/24 10.18

Main Board Warrants



28023 UBS AG – Sands China European Put Warrants Dec 2014 B 65,000,000 2014/07/10 2014/12/24 10.4028102 BOCI Asia Ltd. – A50 China European Warrants Apr 2016 A 100,000,000 2014/07/11 2016/04/01 15.0028103 BOCI Asia Ltd. – Tracker Fund European Put Wts Apr 2016 A 100,000,000 2014/07/11 2016/04/01 25.0028110 Goldman Sachs SP (Asia) – CMS European Warrants Jun 2016 A 80,000,000 2014/07/11 2016/06/30 20.0028133 Goldman Sachs SP (Asia) – Galaxy Ent Euro Put Wts Jan 2015 A 80,000,000 2014/07/11 2015/01/30 31.8428107 Goldman Sachs SP (Asia) – HKEx European Warrants Jan 2015 A 80,000,000 2014/07/11 2015/01/30 43.8428132 Goldman Sachs SP (Asia) – HSBC European Warrants Jan 2015 A 80,000,000 2014/07/11 2015/01/30 20.0028104 Goldman Sachs SP (Asia) – HSI European Put Wts Dec 2014 C 150,000,000 2014/07/11 2014/12/30 23.8528122 Goldman Sachs SP (Asia) – Tracker Fund European Wts Jan15A 80,000,000 2014/07/11 2015/01/30 20.6428146 J P Morgan SP BV – China Mob European Wts Feb 2015 A 150,000,000 2014/07/11 2015/02/03 38.8528148 J P Morgan SP BV – Galaxy Ent European Put Wts Jan 2015 A 100,000,000 2014/07/11 2015/01/30 38.3028155 J P Morgan SP BV – HSBC European Put Warrants Dec 2014 C 100,000,000 2014/07/11 2014/12/01 15.0028037 J P Morgan SP BV – HSI European Warrants Dec 2014 F 500,000,000 2014/07/11 2014/12/30 75.0028145 J P Morgan SP BV – Sands China European Warrants Nov 2014 A 150,000,000 2014/07/11 2014/11/03 22.8028185 J P Morgan SP BV – Tencent European Warrants Dec 2014 E 200,000,000 2014/07/11 2014/12/01 67.6028183 J P Morgan SP BV – Tencent European Put Warrants Apr 2015 A 150,000,000 2014/07/11 2015/04/30 22.5028042 Macquarie Bank Ltd. – KECL European Warrants Jan 2016 A 50,000,000 2014/07/11 2016/01/05 12.5028039 Macquarie Bank Ltd. – Kingsoft European Warrants Dec 2014 A 35,000,000 2014/07/11 2014/12/02 10.0128091 Merrill Lynch Int’l & Co. C.V. – CK(H) Euro Wts Jan 2015 A 40,000,000 2014/07/11 2015/01/12 10.0028047 Merrill Lynch Int’l & Co. C.V. – Sinopec Eu Put Wt Dec 2014B 60,000,000 2014/07/11 2014/12/24 11.0428045 Merrill Lynch Int’l & Co. C.V. – Galaxy Ent Eu Put Wt Nov14A 70,000,000 2014/07/11 2014/11/26 11.5528097 Merrill Lynch Int’l & Co. C.V. – HSBC Euro Put Wt Jan 2015 A 40,000,000 2014/07/11 2015/01/12 10.2028054 Merrill Lynch Int’l & Co. C.V. – HSI European Wts Jan 2015 A 100,000,000 2014/07/11 2015/01/29 26.0028064 Merrill Lynch Int’l & Co. C.V. – HSI Euro Put Wts Dec 2014 C 100,000,000 2014/07/11 2014/12/30 16.4028063 Merrill Lynch Int’l & Co. C.V. – HSI Euro Put Wts Jan 2015 B 100,000,000 2014/07/11 2015/01/29 26.0028048 Merrill Lynch Int’l & Co. C.V. – Sands China Eu Put Wt Nov14C 60,000,000 2014/07/11 2014/11/21 10.2628099 Standard Chartered Bank – Dongfeng European Wts Aug 2015 A 50,000,000 2014/07/11 2015/08/28 12.5028157 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Feb15A 40,000,000 2014/07/11 2015/02/04 11.6028134 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jan15A 50,000,000 2014/07/11 2015/01/05 14.0028138 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Dec 2014C 60,000,000 2014/07/11 2014/12/03 16.2028143 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Feb 2015A 60,000,000 2014/07/11 2015/02/04 15.0028175 SGA Societe Generale Acceptance N.V. – Shimao Ppt Eu Wt Feb16A 100,000,000 2014/07/11 2016/02/03 25.0028178 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Nov 15 A 500,000,000 2014/07/11 2015/11/04 100.0028075 UBS AG – CNOOC European Warrants Jul 2016 A 100,000,000 2014/07/11 2016/07/26 15.0015714 # Credit Suisse AG – HKEx European Warrants Jun 2015 A 120,000,000 2014/07/11 2015/06/30 13.8028270 Credit Suisse AG – HKEx European Put Warrants Jan 2015 A 60,000,000 2014/07/14 2015/01/27 15.0028277 Citigroup Global Mkt H Inc. – CSOP A50 ETF Eu Wts Nov 2014 A 60,000,000 2014/07/14 2014/11/03 15.0028275 J P Morgan SP BV – GCL-Poly European Warrants Feb 2015 A 100,000,000 2014/07/14 2015/02/03 25.2028201 Macquarie Bank Ltd. – Anhui Conch European Wts Apr 2015 A 40,000,000 2014/07/14 2015/04/02 10.0028202 Macquarie Bank Ltd. – Tencent European Put Wts Feb 2015 B 30,000,000 2014/07/14 2015/02/03 10.0228213 Merrill Lynch Int’l & Co. C.V. – CC Bank Eu Put Wt Feb 2015A 40,000,000 2014/07/14 2015/02/05 10.4028238 Merrill Lynch Int’l & Co. C.V. – Ch Mobile Eur Wt Dec 2014 D 60,000,000 2014/07/14 2014/12/24 11.4628237 Merrill Lynch Int’l & Co. C.V. – Ch Mobile Eu Put Wt Dec 14 C 50,000,000 2014/07/14 2014/12/29 10.3528204 Merrill Lynch Int’l & Co. C.V. – A50 China Eur Wt Nov 2014 A 40,000,000 2014/07/14 2014/11/21 10.00

Main Board Warrants



28209 Merrill Lynch Int’l & Co. C.V. – ICBC Euro Put Wt Feb 2015 A 40,000,000 2014/07/14 2015/02/05 11.0028228 Merrill Lynch Int’l & Co. C.V. – Lenovo Euro Wts Feb 2015 A 40,000,000 2014/07/14 2015/02/05 14.0028227 Merrill Lynch Int’l & Co. C.V. – Ping An Euro Put Wts Feb15A 40,000,000 2014/07/14 2015/02/05 11.2028266 Standard Chartered Bank – Anhui Conch Euro Wts Apr 2015 A 50,000,000 2014/07/14 2015/04/10 12.5028241 Standard Chartered Bank – Cheung Kong European Put Wt Feb15A 30,000,000 2014/07/14 2015/02/03 10.5028269 Standard Chartered Bank – China Railway Euro Wts Jun 2015 A 50,000,000 2014/07/14 2015/06/29 12.5028262 Standard Chartered Bank – Chow Tai Fook Euro Wts May 2015 A 80,000,000 2014/07/14 2015/05/15 20.0028267 Standard Chartered Bank – Jiangxi Copper Euro Wts Mar 2015 A 50,000,000 2014/07/14 2015/03/30 12.5028265 Standard Chartered Bank – China Mengniu Euro Wts Jan 2015 A 60,000,000 2014/07/14 2015/01/19 15.0028256 Standard Chartered Bank – PICC Group European Wts Feb 2015 A 60,000,000 2014/07/14 2015/02/03 15.0028239 SGA Societe Generale Acceptance N.V. – KECL Eu Wt Apr 2017 A 100,000,000 2014/07/14 2017/04/03 25.0028268 SGA Societe Generale Acceptance N.V – Tencent Eu Put Wt Sep15A 400,000,000 2014/07/14 2015/09/02 102.0028428 BNP Paribas Arbit Issu B.V. – Agile Ppt Euro Wt Feb 2015 A 19,000,000 2014/07/15 2015/02/03 10.4528468 BNP Paribas Arbit Issu B.V. – Biostime Euro Wts Mar 2015 A 23,000,000 2014/07/15 2015/03/03 11.0428436 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Jan 2015 B 82,000,000 2014/07/15 2015/01/05 16.4028433 BNP Paribas Arbit Issu B.V. – HKEx European Wts Jul 2015 A 100,000,000 2014/07/15 2015/07/03 15.0028443 BNP Paribas Arbit Issu B.V. – HSI European Wts Dec 2014 A 100,000,000 2014/07/15 2014/12/30 15.0028467 BNP Paribas Arbit Issu B.V. – HSI European Wts Mar 2015 A 100,000,000 2014/07/15 2015/03/30 15.0028416 Credit Suisse AG – BYD European Warrants Jan 2015 A 50,000,000 2014/07/15 2015/01/26 17.0028414 Credit Suisse AG – Ch Overseas European Warrants Mar 2015 A 60,000,000 2014/07/15 2015/03/30 10.8028404 Credit Suisse – Foxconn European Warrants Dec 2014 A 50,000,000 2014/07/15 2014/12/24 13.5028400 Credit Suisse AG – A50 China European Warrants Nov 2014 B 80,000,000 2014/07/15 2014/11/24 17.6028423 Credit Suisse AG – China Mengniu European Wts Jan 2015 A 50,000,000 2014/07/15 2015/01/26 12.5028415 Credit Suisse AG – Xinyi Glass European Warrants Jan 2015 A 50,000,000 2014/07/15 2015/01/26 17.5028482 Citigroup Global Mkt H Inc. – AIA European Wts Mar 2015 A 100,000,000 2014/07/15 2015/03/26 16.5028475 Citigroup Global Mkt H Inc. – CITIC Sec Euro Wts Jun 2015 A 100,000,000 2014/07/15 2015/06/12 27.0028484 Citigroup Global Mkt H Inc. – Sinopec Corp Eu Wts Dec 2014 A 100,000,000 2014/07/15 2014/12/24 28.0028497 Citigroup Global Mkt H Inc. – HKEx European Wts Nov 2014 A 50,000,000 2014/07/15 2014/11/25 13.0028499 Citigroup Global Mkt H Inc. – HKEx European Wts Jan 2015 A 50,000,000 2014/07/15 2015/01/14 15.0028485 Citigroup Global Mkt H Inc. – PetroChina Euro Wts Dec 2014 A 80,000,000 2014/07/15 2014/12/22 16.0028496 Citigroup Global Mkt H Inc. – Ping An Euro Wts Dec 2014 A 100,000,000 2014/07/15 2014/12/24 17.5028303 HK Bank – China Shenhua European Warrants Mar 2015 A 80,000,000 2014/07/15 2015/03/27 12.0028304 HK Bank – GCL-Poly Energy European Warrants Jan 2015 A 80,000,000 2014/07/15 2015/01/30 26.4028331 HK Bank – Galaxy Ent European Warrants Dec 2014 A 80,000,000 2014/07/15 2014/12/17 27.2028308 HK Bank – HKEx European Warrants Oct 2015 A 150,000,000 2014/07/15 2015/10/26 22.5028327 HK Bank – HWL European Warrants Dec 2014 A 80,000,000 2014/07/15 2014/12/23 21.6028313 HK Bank – Sands China European Warrants Dec 2014 A 80,000,000 2014/07/15 2014/12/24 28.0028471 J P Morgan SP BV – Ch Railway Cons European Wts Feb 2015 A 40,000,000 2014/07/15 2015/02/03 15.1228334 J P Morgan SP BV – A50 China European Warrants Nov 2014 A 200,000,000 2014/07/15 2014/11/21 39.2028295 Macquarie Bank Ltd. – Bank of EA European Wts Jul 2015 A 40,000,000 2014/07/15 2015/07/03 10.0028289 Macquarie Bank Ltd. – Cheung Kong European Wts Jan 2015 A 60,000,000 2014/07/15 2015/01/05 10.1428377 Macquarie Bank Ltd. – Lenovo European Warrants Feb 2015 A 30,000,000 2014/07/15 2015/02/03 10.0228372 Macquarie Bank Ltd. – Tencent European Warrants Dec 2014 A 30,000,000 2014/07/15 2014/12/02 10.0228340 Standard Chartered Bank – China Railway Euro Wts Feb 2015 A 50,000,000 2014/07/15 2015/02/27 12.50

Main Board Warrants



28344 Standard Chartered Bank – HKEx European Warrants Jul 2015 A 150,000,000 2014/07/15 2015/07/30 37.5028470 Standard Chartered Bank – HSI European Put Wts Dec 2014 C 100,000,000 2014/07/15 2014/12/30 15.0028352 SGA Societe Generale Acceptance N.V. – CSR Euro Wts Oct 16 A 150,000,000 2014/07/15 2016/10/05 22.5028371 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jul 2015 A 300,000,000 2014/07/15 2015/07/06 45.0028370 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Sep 2015 A 300,000,000 2014/07/15 2015/09/07 54.0028369 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Apr 2015 A 150,000,000 2014/07/15 2015/04/29 27.0028395 UBS AG – CC Bank European Warrants Jan 2015 A 100,000,000 2014/07/15 2015/01/14 25.0028397 UBS AG – HKEx European Warrants Dec 2014 D 40,000,000 2014/07/15 2014/12/24 22.4028279 UBS AG – HKEx European Warrants Jun 2015 A 200,000,000 2014/07/15 2015/06/23 30.0028379 UBS AG – Tencent Holdings European Warrants Oct 2015 A 500,000,000 2014/07/15 2015/10/26 105.0028582 Credit Suisse AG – CC Bank European Warrants Jan 2015 A 60,000,000 2014/07/16 2015/01/30 11.4028591 Credit Suisse AG – CITIC Sec European Warrants Mar 2015 A 60,000,000 2014/07/16 2015/03/30 13.8028585 Credit Suisse AG – CNBM European Warrants Dec 2014 A 60,000,000 2014/07/16 2014/12/03 19.8028583 Credit Suisse AG – Kingsoft European Warrants Nov 2014 B 60,000,000 2014/07/16 2014/11/24 13.2028578 Credit Suisse AG – Lenovo European Warrants Dec 2014 A 60,000,000 2014/07/16 2014/12/22 33.0028617 Goldman Sachs SP (Asia) – HKEx European Put Wts Mar 2015 A 80,000,000 2014/07/16 2015/03/02 14.8028624 Goldman Sachs SP (Asia) – Tencent European Wt Dec 2014 D 80,000,000 2014/07/16 2014/12/16 20.8028607 Goldman Sachs SP (Asia) – Tencent European Put Wt May 2015 A 80,000,000 2014/07/16 2015/05/06 12.0028514 HK Bank – A50 China European Warrants Dec 2014 C 80,000,000 2014/07/16 2014/12/31 12.0028523 HK Bank – A50 China European Warrants Jan 2015 A 80,000,000 2014/07/16 2015/01/30 20.0028532 HK Bank – HKEx European Warrants Dec 2014 C 80,000,000 2014/07/16 2014/12/01 52.0028537 HK Bank – HKEx European Warrants Jan 2015 A 80,000,000 2014/07/16 2015/01/30 32.0028539 HK Bank – HKEx European Put Warrants Mar 2015 A 100,000,000 2014/07/16 2015/03/09 17.0028509 HK Bank – Tencent European Warrants Nov 2014 C 80,000,000 2014/07/16 2014/11/18 25.6028512 HK Bank – Tencent European Warrants Dec 2014 B 80,000,000 2014/07/16 2014/12/31 24.0028606 J P Morgan SP BV – Datang European Wts Feb 2015 A 38,000,000 2014/07/16 2015/02/03 10.9428593 J P Morgan SP BV – HKEx European Warrants Dec 2014 B 80,000,000 2014/07/16 2014/12/03 33.9228501 Macquarie Bank Ltd. – AIA European Warrants Apr 2015 A 70,000,000 2014/07/16 2015/04/02 10.5028540 Macquarie Bank Ltd. – Huaneng Power European Wts Feb 2015 A 30,000,000 2014/07/16 2015/02/03 10.5328503 Macquarie Bank Ltd. – Sands China European Wts Feb 2015 A 40,000,000 2014/07/16 2015/02/03 10.0028555 Standard Chartered Bank – Ch Overseas Eur Put Wts Feb 2015 A 70,000,000 2014/07/16 2015/02/26 10.5028556 Standard Chartered Bank – China Res Gas Euro Wts Jul 2015 A 50,000,000 2014/07/16 2015/07/31 13.0028559 Standard Chartered Bank – HSI European Put Wts Dec 2014 D 100,000,000 2014/07/16 2014/12/30 15.0028554 Standard Chartered Bank – Lenovo European Wts Feb 2015 A 30,000,000 2014/07/16 2015/02/03 21.0028553 Standard Chartered Bank – Lenovo European Put Wts Aug 2015 A 100,000,000 2014/07/16 2015/08/04 25.0028562 SGA Societe Generale Acceptance N.V. – BYD Eu Wt Jan 2015 A 30,000,000 2014/07/16 2015/01/05 10.0528545 SGA Societe Generale Acceptance NV – Ch Cinda Eu Put Wt Feb15A 40,000,000 2014/07/16 2015/02/04 10.0028575 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jan 2015A 70,000,000 2014/07/16 2015/01/05 17.5028550 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Nov 2015 A 300,000,000 2014/07/16 2015/11/04 45.0028592 UBS AG – Kingsoft European Warrants Nov 2014 D 100,000,000 2014/07/16 2014/11/28 25.0028661 Citigroup Global Mkt H Inc. – Galaxy Ent Euro Wts Dec 2014 A 80,000,000 2014/07/17 2014/12/17 18.4028660 Citigroup Global Mkt H Inc. – Tencent European Wts Oct 2014 B 100,000,000 2014/07/17 2014/10/27 22.0028651 Daiwa Capital Mkt – HKEx European Warrants Nov 2014 A 128,000,000 2014/07/17 2014/11/03 40.9628648 HK Bank – Foxconn European Warrants Jan 2015 A 60,000,000 2014/07/17 2015/01/30 24.00

Main Board Warrants



28636 HK Bank – Haitong Sec European Warrants Feb 2015 A 80,000,000 2014/07/17 2015/02/25 12.0028640 HK Bank – Ping An European Warrants Dec 2014 A 80,000,000 2014/07/17 2014/12/31 12.0028647 HK Bank – Tencent European Warrants Oct 2015 A 80,000,000 2014/07/17 2015/10/29 14.4028658 J P Morgan SP BV – China Cinda European Put Wts Feb 2015 A 100,000,000 2014/07/17 2015/02/03 25.2028653 Macquarie Bank Ltd. – Esprit European Warrants Jan 2016 A 40,000,000 2014/07/17 2016/01/05 10.0028631 Macquarie Bank Ltd. – GCL-Poly Energy European Wts Feb 2015 A 35,000,000 2014/07/17 2015/02/03 10.0128650 Macquarie Bank Ltd. – Greatwall Motor European Wts Feb 2015 A 40,000,000 2014/07/17 2015/02/03 10.0028652 Macquarie Bank Ltd. – HK Gas European Warrants Jul 2016 A 40,000,000 2014/07/17 2016/07/05 10.0028627 Macquarie Bank Ltd. – HN Renewables European Wts Feb 2015 A 35,000,000 2014/07/17 2015/02/17 10.0128654 UBS AG – BYD European Warrants Dec 2014 B 50,000,000 2014/07/17 2014/12/24 22.0028655 UBS AG – Li & Fung European Warrants Jan 2015 B 40,000,000 2014/07/17 2015/01/16 16.0028731 Credit Suisse AG – New World Dev European Wts Jan 2015 A 70,000,000 2014/07/18 2015/01/29 36.4028726 Credit Suisse AG – Tencent Holdings European Wts Nov 2015 A 100,000,000 2014/07/18 2015/11/02 19.0028734 Citigroup Global Mkt H Inc. – Cheung Kong Euro Wt Dec 2014 A 80,000,000 2014/07/18 2014/12/02 16.8028732 Citigroup Global Mkt H Inc. – A50 China Euro Wts Jan 2015 A 80,000,000 2014/07/18 2015/01/19 26.4028701 J P Morgan SP BV – Ch Comm Cons European Warrants Feb 2015 A 40,000,000 2014/07/18 2015/02/02 10.0028736 J P Morgan SP BV – CSOP A50 ETF European Warrants Dec 2014 A 100,000,000 2014/07/18 2014/12/31 15.3028735 J P Morgan SP BV – Li & Fung European Warrants Feb 2015 A 45,000,000 2014/07/18 2015/02/03 16.2028667 Macquarie Bank Ltd. – CITIC Bank European Wts Dec 2014 A 70,000,000 2014/07/18 2014/12/02 10.5028676 Nomura Int’l plc – CITIC Bank European Warrants Feb 2015 A 50,000,000 2014/07/18 2015/02/27 13.0028681 Nomura Int’l plc – Ch Ship Dev European Warrants Mar 2015 A 50,000,000 2014/07/18 2015/03/30 24.0028687 Nomura Int’l plc – Chow Tai Fook European Wts Dec 2015 A 50,000,000 2014/07/18 2015/12/18 12.5028689 Nomura Int’l plc – A50 China European Warrants Jan 2015 A 80,000,000 2014/07/18 2015/01/30 28.8028691 Nomura Int’l plc – A50 China European Warrants Jan 2015 B 80,000,000 2014/07/18 2015/01/30 22.4028692 Nomura Int’l plc – A50 China European Warrants Mar 2015 A 80,000,000 2014/07/18 2015/03/30 21.2028695 Nomura Int’l plc – A50 China European Warrants Jun 2015 A 50,000,000 2014/07/18 2015/06/22 15.5028686 Nomura Int’l plc – SUNAC European Warrants Mar 2015 A 50,000,000 2014/07/18 2015/03/30 24.0028679 Nomura Int’l plc – Yanzhou Coal European Warrants Jan 2015 A 50,000,000 2014/07/18 2015/01/30 19.0028719 Standard Chartered Bank – Geely Auto European Wts Mar 2015 A 50,000,000 2014/07/18 2015/03/09 12.5028723 Standard Chartered Bank – HKEx European Warrants Apr 2015 A 50,000,000 2014/07/18 2015/04/28 25.0028725 Standard Chartered Bank – HKEx European Warrants Jul 2015 B 50,000,000 2014/07/18 2015/07/29 25.0028720 Standard Chartered Bank – HKEx European Warrants Jul 2016 A 100,000,000 2014/07/18 2016/07/29 25.0028717 Standard Chartered Bank – HSCEI European Warrants Jan 2015 B 100,000,000 2014/07/18 2015/01/29 21.5028714 Standard Chartered Bank – HSCEI European Put Wts Jan 2015 A 100,000,000 2014/07/18 2015/01/29 16.5028718 Standard Chartered Bank – Li & Fung European Wts Feb 2015 A 40,000,000 2014/07/18 2015/02/03 14.0028706 UBS AG – China Cinda European Warrants Mar 2015 A 100,000,000 2014/07/18 2015/03/16 25.0028702 UBS AG – Cheung Kong European Put Warrants Dec 2014 C 50,000,000 2014/07/18 2014/12/29 10.0028777 Credit Suisse AG – Sands China European Warrants Nov 2014 B 60,000,000 2014/07/21 2014/11/20 13.0228775 Credit Suisse AG – Tencent Holdings European Wts Nov 2014 G 100,000,000 2014/07/21 2014/11/17 40.0028774 Daiwa Capital Mkt – BYD European Warrants Jan 2015 A 80,000,000 2014/07/21 2015/01/20 20.0028764 Daiwa Capital Mkt – A50 China European Warrants Dec 2014 A 108,000,000 2014/07/21 2014/12/01 23.7628766 Daiwa Capital Mkt – A50 China European Warrants Apr 2015 A 128,000,000 2014/07/21 2015/04/08 32.0028792 J P Morgan SP BV – Ch Ship Cont European Warrants Apr 2015 A 45,000,000 2014/07/21 2015/04/02 11.4328749 SGA Societe Generale Acceptance N.V. – CMob Eu Put Wt Feb15A 70,000,000 2014/07/21 2015/02/04 21.70

Main Board Warrants



28763 UBS AG – BYD European Warrants Jan 2015 A 50,000,000 2014/07/21 2015/01/20 16.5028760 UBS AG – China Mobile European Warrants Dec 2014 B 100,000,000 2014/07/21 2014/12/24 20.5028755 UBS AG – China Tel European Warrants Dec 2014 A 70,000,000 2014/07/21 2014/12/22 10.5028854 BOCI Asia Ltd. – AIA European Warrants Mar 2015 A 100,000,000 2014/07/22 2015/03/30 15.0028856 BOCI Asia Ltd. – Cheung Kong European Warrants Jan 2015 A 100,000,000 2014/07/22 2015/01/09 26.0028855 BOCI Asia Ltd. – China Mobile European Put Wts Dec 2014 A 100,000,000 2014/07/22 2014/12/29 17.0028974 BNP Paribas Arbit Issu B.V. – BYD European Wts Mar 2015 A 94,000,000 2014/07/22 2015/03/03 23.5028963 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Mar 2015 B 100,000,000 2014/07/22 2015/03/03 17.0028973 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Dec 2015 A 100,000,000 2014/07/22 2015/12/02 25.0028832 Credit Suisse AG – China Mobile European Warrants Dec 2014 B 70,000,000 2014/07/22 2014/12/24 10.5028858 Credit Suisse AG – China Mobile European Warrants Jan 2015 A 70,000,000 2014/07/22 2015/01/29 17.5028823 Credit Suisse AG – China Mobile European Put Wts Dec 2014 A 70,000,000 2014/07/22 2014/12/24 10.5028946 Credit Suisse AG – ChiUnicom European Warrants Jan 2015 A 70,000,000 2014/07/22 2015/01/29 30.8028956 Credit Suisse AG – Ping An European Warrants Dec 2014 A 70,000,000 2014/07/22 2014/12/22 10.5028962 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Nov 2014 A 100,000,000 2014/07/22 2014/11/24 15.0028961 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Dec 2014 A 100,000,000 2014/07/22 2014/12/24 38.0028821 Daiwa Capital Mkt – China Mobile European Put Wts Jan 2015 B 80,000,000 2014/07/22 2015/01/02 12.0028888 Bank of East Asia – Galaxy Ent European Put Warrants Feb15 A 40,000,000 2014/07/22 2015/02/12 10.0028860 Bank of East Asia – Lenovo European Put Warrants Jun 2015 A 70,000,000 2014/07/22 2015/06/26 10.5028870 Bank of East Asia – Tencent Holdings European Wts Oct 2015 A 60,000,000 2014/07/22 2015/10/29 11.4028793 HK Bank – Ch Comm Cons European Warrants Jan 2015 A 60,000,000 2014/07/22 2015/01/30 15.0028798 HK Bank – China Railway European Warrants Jan 2015 A 60,000,000 2014/07/22 2015/01/30 15.0028976 J P Morgan SP BV – China Mob European Wts Feb 2015 B 200,000,000 2014/07/22 2015/02/03 50.2028978 J P Morgan SP BV – China Mob European Put Wts Feb 2015 C 180,000,000 2014/07/22 2015/02/03 45.1828979 J P Morgan SP BV – Geely Auto European Warrants Nov 2014 A 80,000,000 2014/07/22 2014/11/28 12.4028982 J P Morgan SP BV – Galaxy Ent European Warrants Feb 2015 A 150,000,000 2014/07/22 2015/02/03 38.8528843 Macquarie Bank Ltd. – BYD European Warrants Feb 2015 A 25,000,000 2014/07/22 2015/02/03 10.0028853 Macquarie Bank Ltd. – China Mobile European Wts Jan 2015 B 40,000,000 2014/07/22 2015/01/05 10.0028811 Standard Chartered Bank – A50 China Euro Warrants Nov 2014 C 80,000,000 2014/07/22 2014/11/21 16.0028817 Standard Chartered Bank – A50 China Euro Warrants Feb 2015 B 80,000,000 2014/07/22 2015/02/02 28.8028810 Standard Chartered Bank – HKEx European Put Wts Feb 2015 A 100,000,000 2014/07/22 2015/02/27 25.0028807 Standard Chartered Bank – Hutchison Euro Euro Wts Dec 2014 A 100,000,000 2014/07/22 2014/12/23 22.4028802 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Apr 2015 A 100,000,000 2014/07/22 2015/04/01 18.0028936 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Dec 14 B 100,000,000 2014/07/22 2014/12/03 15.0028803 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Feb 2015 A 100,000,000 2014/07/22 2015/02/04 18.0028806 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Dec 14 B 100,000,000 2014/07/22 2014/12/03 23.5028942 SGA Societe Generale Acceptance N.V. – ZTE Eu Wt Mar 2015 B 100,000,000 2014/07/22 2015/03/04 19.0028902 UBS AG – Anhui Conch European Warrants Jan 2015 A 50,000,000 2014/07/22 2015/01/28 10.2528819 UBS AG – China Mobile European Put Warrants Jan 2015 A 60,000,000 2014/07/22 2015/01/21 18.0028889 UBS AG – HSI European Warrants Jun 2015 A 300,000,000 2014/07/22 2015/06/29 75.0028897 UBS AG – KECL European Warrants Dec 2015 A 100,000,000 2014/07/22 2015/12/28 21.5028935 UBS AG – ZTE European Warrants Jan 2015 A 70,000,000 2014/07/22 2015/01/26 10.5029044 BOCI Asia Ltd. – BYD European Warrants Jan 2015 A 100,000,000 2014/07/23 2015/01/26 45.0029047 BOCI Asia Ltd. – China Mobile European Warrants Dec 2014 B 100,000,000 2014/07/23 2014/12/29 23.00

Main Board Warrants



29045 BOCI Asia Ltd. – China Mobile European Warrants Feb 2015 A 100,000,000 2014/07/23 2015/02/02 19.0029041 BOCI Asia Ltd. – KECL European Warrants Dec 2015 A 100,000,000 2014/07/23 2015/12/28 17.0029036 BOCI Asia Ltd. – Ping An European Put Warrants Dec 2014 B 100,000,000 2014/07/23 2014/12/29 31.0029066 BNP Paribas Arbit Issu B.V. – Ch Ship Cont Eur Wt Nov 2015 A 27,000,000 2014/07/23 2015/11/03 10.2629060 Goldman Sachs SP (Asia) – China Mobile Eu Put Wts Jan 2015 A 80,000,000 2014/07/23 2015/01/29 21.1229062 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Jan 2015 A 80,000,000 2014/07/23 2015/01/29 25.0429061 Goldman Sachs SP (Asia) – China Unicom Euro Wts Jan 2015 A 80,000,000 2014/07/23 2015/01/29 33.6829027 HK Bank – China Mobile European Warrants Feb 2015 A 80,000,000 2014/07/23 2015/02/23 12.0029028 HK Bank – China Mobile European Put Warrants Jan 2015 A 80,000,000 2014/07/23 2015/01/30 20.0029017 HK Bank – HSCEI European Put Warrants Jan 2015 A 150,000,000 2014/07/23 2015/01/29 24.0029022 HK Bank – HSI European Put Warrants Dec 2014 H 150,000,000 2014/07/23 2014/12/30 22.5029031 HK Bank – PICC Group European Warrants Dec 2014 A 80,000,000 2014/07/23 2014/12/31 12.0029053 J P Morgan SP BV – Sihuan Pharm European Warrants Apr 2015 A 120,000,000 2014/07/23 2015/04/01 19.3229005 Nomura Int’l plc – CHALCO European Warrants Mar 2015 A 50,000,000 2014/07/23 2015/03/30 12.5028992 Nomura Int’l plc – BYD European Warrants Mar 2015 A 50,000,000 2014/07/23 2015/03/30 24.6028993 Nomura Int’l plc – BYD European Warrants Mar 2015 B 50,000,000 2014/07/23 2015/03/30 12.5028983 Nomura Int’l plc – Sinopec European Warrants Feb 2015 A 50,000,000 2014/07/23 2015/02/18 12.5028987 Nomura Int’l plc – Ch South Air European Warrants Mar 2015 A 50,000,000 2014/07/23 2015/03/30 12.5029057 Nomura Int’l plc – Dongfeng European Warrants Aug 2015 A 50,000,000 2014/07/23 2015/08/18 12.5029059 Nomura Int’l plc – Foxconn European Warrants Mar 2015 A 50,000,000 2014/07/23 2015/03/30 21.5029009 Nomura Int’l plc – Kingsoft European Warrants Jan 2015 A 50,000,000 2014/07/23 2015/01/30 12.5029012 Nomura Int’l plc – Kingsoft European Put Warrants Jan 2015 B 50,000,000 2014/07/23 2015/01/30 12.5028998 Nomura Int’l plc – China Mengniu European Warrants Jan 2015A 50,000,000 2014/07/23 2015/01/30 12.5029069 Standard Chartered Bank – Anhui Conch Euro Wts Aug 2015 A 100,000,000 2014/07/23 2015/08/31 25.0029070 Standard Chartered Bank – China Mobile Euro Wts Dec 2014 C 80,000,000 2014/07/23 2014/12/24 20.0029072 Standard Chartered Bank – China Mobile Eur Put Wt Feb 2015 A 80,000,000 2014/07/23 2015/02/04 20.0029073 Standard Chartered Bank – CNBM European Put Warrants Feb15 A 30,000,000 2014/07/23 2015/02/04 18.9029075 Standard Chartered Bank – Yurun Food Euro Warrants Jun 2015A 30,000,000 2014/07/23 2015/06/30 10.2029032 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Apr 2015 B 100,000,000 2014/07/23 2015/04/01 15.0029064 UBS AG – PetroChina European Warrants Jan 2015 A 50,000,000 2014/07/23 2015/01/22 12.5029065 UBS AG – SPDR Gold Trust European Warrants Jan 2015 A 40,000,000 2014/07/23 2015/01/22 11.6029121 Credit Suisse AG – AIA European Put Warrants Feb 2015 A 70,000,000 2014/07/24 2015/02/27 17.5029110 Credit Suisse AG – China Life European Warrants Sep 2015 A 80,000,000 2014/07/24 2015/09/29 12.0029120 Credit Suisse AG – China Mobile European Put Wts Jan 2015 B 70,000,000 2014/07/24 2015/01/30 17.5029116 Credit Suisse AG – Sinopec Corp European Warrants Jan 2015 A 70,000,000 2014/07/24 2015/01/30 17.5029112 Credit Suisse AG – HKEx European Warrants Nov 2014 A 70,000,000 2014/07/24 2014/11/28 17.5029114 Credit Suisse AG – HKEx European Put Warrants Feb 2015 A 70,000,000 2014/07/24 2015/02/27 12.6029106 Credit Suisse AG – PetroChina European Warrants Jan 2015 A 70,000,000 2014/07/24 2015/01/30 17.5029118 Credit Suisse AG – Tencent Holdings European Wts Oct 2014 E 100,000,000 2014/07/24 2014/10/31 22.0029119 Credit Suisse AG – Tencent Holdings European Wts Dec 2014 H 100,000,000 2014/07/24 2014/12/22 25.0029128 Citigroup Global Mkt H Inc. – Avichina European Wts Jan15A 50,000,000 2014/07/24 2015/01/26 20.0029127 Citigroup Global Mkt H Inc. – Hutchison Euro Wts Dec 2014 A 60,000,000 2014/07/24 2014/12/01 11.7029122 Goldman Sachs SP (Asia) – AIA European Put Wts Apr 2015 A 80,000,000 2014/07/24 2015/04/30 20.1629123 Goldman Sachs SP (Asia) – HSI European Put Wts Dec 2014 D 150,000,000 2014/07/24 2014/12/30 22.65

Main Board Warrants



29125 Goldman Sachs SP (Asia) – HSI European Put Wts Jan 2015 A 150,000,000 2014/07/24 2015/01/29 37.5029126 Goldman Sachs SP (Asia) – HSI European Put Wts Jan 2015 B 150,000,000 2014/07/24 2015/01/29 42.3029092 J P Morgan SP BV – CNBM European Warrants Feb 2015 A 60,000,000 2014/07/24 2015/02/03 18.3629101 J P Morgan SP BV – Cathay Pacific European Warrants Oct 15 A 70,000,000 2014/07/24 2015/10/02 17.5729085 J P Morgan SP BV – HSI European Warrants Jan 2015 A 500,000,000 2014/07/24 2015/01/29 125.5029087 J P Morgan SP BV – Huaneng Power European Wts Feb 2015 A 60,000,000 2014/07/24 2015/02/03 21.6629088 J P Morgan SP BV – Ping An European Warrants Feb 2015 A 200,000,000 2014/07/24 2015/02/03 51.4029099 J P Morgan SP BV – Weigao Group European Warrants Aug 2015 A 150,000,000 2014/07/24 2015/08/03 22.6529097 J P Morgan SP BV – Sinopharm European Warrants Apr 2015 A 80,000,000 2014/07/24 2015/04/01 20.2429078 Macquarie Bank Ltd. – Ch Oilfield European Wts Mar 2015 A 40,000,000 2014/07/24 2015/03/17 10.0029080 Macquarie Bank Ltd. – China Unicom European Wts Feb 2015 A 20,000,000 2014/07/24 2015/02/03 10.0029102 SGA Societe Generale Acceptance N.V. – CCoal Eu Wt Mar 2015 A 40,000,000 2014/07/24 2015/03/04 13.6029104 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Feb15B 25,000,000 2014/07/24 2015/02/04 10.1329176 J P Morgan SP BV – CITIC Pacific Euro Wts May 2015 A 150,000,000 2014/07/25 2015/05/05 22.5029139 J P Morgan SP BV – Ch Overseas European Warrants Aug 2015 A 200,000,000 2014/07/25 2015/08/03 50.0029142 J P Morgan SP BV – China Railway European Wts Feb 2015 A 40,000,000 2014/07/25 2015/02/02 10.0429172 J P Morgan SP BV – Chinares Cement Euro Warrants Feb 2015 A 40,000,000 2014/07/25 2015/02/03 10.0829143 J P Morgan SP BV – Henderson Land Dev European Wt Mar 2015 A 68,000,000 2014/07/25 2015/03/02 17.1429156 J P Morgan SP BV – HSI European Put Warrants Jan 2015 B 600,000,000 2014/07/25 2015/01/29 150.6029171 J P Morgan SP BV – PICC Group European Warrants Jun 2015 A 50,000,000 2014/07/25 2015/06/02 12.6029173 J P Morgan SP BV – Shunfeng Pv European Warrants Feb 2015 A 100,000,000 2014/07/25 2015/02/27 25.1029138 J P Morgan SP BV – SHK Ppt European Warrants Feb 2015 A 68,000,000 2014/07/25 2015/02/02 17.0729145 J P Morgan SP BV – Wharf European Warrants Feb 2015 A 100,000,000 2014/07/25 2015/02/02 25.0029129 Macquarie Bank Ltd. – CM Bank European Warrants Dec 2014 A 60,000,000 2014/07/25 2014/12/16 10.4429136 Macquarie Bank Ltd. – Chinares Cement European Wt Feb 2015 A 30,000,000 2014/07/25 2015/02/17 10.0529133 Macquarie Bank Ltd. – HSBC European Warrants Jan 2015 A 70,000,000 2014/07/25 2015/01/08 10.5029147 Nomura Int’l plc – Geely Auto European Warrants Feb 2015 A 50,000,000 2014/07/25 2015/02/27 13.5029154 Nomura Int’l plc – Haier Elec European Warrants Mar 2015 A 50,000,000 2014/07/25 2015/03/30 13.2529153 Nomura Int’l plc – Sinopharm European Warrants Mar 2015 A 50,000,000 2014/07/25 2015/03/30 15.2529148 Nomura Int’l plc – ZTE European Warrants Jan 2015 A 80,000,000 2014/07/25 2015/01/26 12.0029161 Standard Chartered Bank – AIA European Warrants Mar 2015 A 80,000,000 2014/07/25 2015/03/30 12.0029168 Standard Chartered Bank – Brilliance Chi Euro Wts Mar 2015 A 100,000,000 2014/07/25 2015/03/26 16.0029167 Standard Chartered Bank – CITIC Pacific Euro Put Wt Oct15A 80,000,000 2014/07/25 2015/10/06 20.0029162 Standard Chartered Bank – China Unicom Euro Wts Feb 2015 A 50,000,000 2014/07/25 2015/02/03 13.5029166 Standard Chartered Bank – Sands China Euro Wts Dec 2014 A 80,000,000 2014/07/25 2014/12/24 13.6029182 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Dec 2016 A 100,000,000 2014/07/28 2016/12/02 25.0029185 BNP Paribas Arbit Issu B.V. – Esprit European Wts Sep 2016 A 55,000,000 2014/07/28 2016/09/02 13.7529194 Credit Suisse AG – CITIC Pacific European Wts May 2015 A 70,000,000 2014/07/28 2015/05/04 10.5029197 Credit Suisse AG – Macau Legend European Warrants Jan 2016 A 70,000,000 2014/07/28 2016/01/29 10.5029181 HK Bank – PetroChina European Warrants Jan 2015 A 60,000,000 2014/07/28 2015/01/30 15.0029180 HK Bank – Ping An European Warrants Nov 2014 B 80,000,000 2014/07/28 2014/11/28 12.0029192 J P Morgan SP BV – Haier Elec European Warrants Jun 2015 A 100,000,000 2014/07/28 2015/06/02 25.6029191 J P Morgan SP BV – Sunny Optical European Warrants Jun 2015A 100,000,000 2014/07/28 2015/06/02 25.4029177 Macquarie Bank Ltd. – Cheung Kong European Wts Dec 2014 A 70,000,000 2014/07/28 2014/12/02 10.50

Main Board Warrants



29178 Macquarie Bank Ltd. – Cheung Kong Euro Put Wts Feb 2015 A 40,000,000 2014/07/28 2015/02/05 10.0029186 Macquarie Bank Ltd. – China Mobile European Wts Mar 2015 A 40,000,000 2014/07/28 2015/03/03 10.0029190 UBS AG – BOCL European Warrants Mar 2015 A 100,000,000 2014/07/28 2015/03/24 15.0029224 BNP Paribas Arbit Issu B.V. – Sinopec Corp Eu Wts Feb 2015 A 100,000,000 2014/07/29 2015/02/03 15.0029230 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Feb 2015 A 100,000,000 2014/07/29 2015/02/03 25.0029213 BNP Paribas Arbit Issu B.V. – HSBC European Wts Feb 2015 A 100,000,000 2014/07/29 2015/02/03 22.0029214 BNP Paribas Arbit Issu B.V. – Sands China Euro Wt Feb 2015 A 100,000,000 2014/07/29 2015/02/03 15.0029274 Credit Suisse AG – Anton Oilfield European Warrants Jan 15 A 70,000,000 2014/07/29 2015/01/30 24.5029272 Credit Suisse AG – China Life European Put Warrants Mar 15 A 70,000,000 2014/07/29 2015/03/30 10.5029258 Credit Suisse AG – HSBC European Wts Jan 2015 A 70,000,000 2014/07/29 2015/01/26 14.0029250 Credit Suisse AG – HSI European Warrants Mar 2015 A 150,000,000 2014/07/29 2015/03/30 30.0029251 Credit Suisse AG – HSI European Put Warrants Dec 2014 C 150,000,000 2014/07/29 2014/12/30 22.5029255 Credit Suisse AG – HSI European Put Warrants Dec 2014 D 150,000,000 2014/07/29 2014/12/30 24.0029273 Credit Suisse AG – Kingsoft European Put Warrants Jan 2015 A 50,000,000 2014/07/29 2015/01/30 12.5029260 Credit Suisse AG – Ping An European Put Warrants Dec 2014 B 70,000,000 2014/07/29 2014/12/24 18.2029248 Citigroup Global Mkt H Inc. – CC Bank European Wt Jan 2015 A 100,000,000 2014/07/29 2015/01/28 25.0029301 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Feb 2015 A 100,000,000 2014/07/29 2015/02/23 20.0029244 Citigroup Global Mkt H Inc. – ICBC European Wts Dec 2014 A 100,000,000 2014/07/29 2014/12/24 20.0029302 Citigroup Global Mkt H Inc. – Tencent European Wts Nov 2014 C 100,000,000 2014/07/29 2014/11/25 16.0029205 HK Bank – CITIC Pacific European Warrants Dec 2015 B 80,000,000 2014/07/29 2015/12/28 12.8029206 HK Bank – Ch Ship Cont European Warrants Feb 2015 A 60,000,000 2014/07/29 2015/02/27 15.0029207 HK Bank – Datang Power European Warrants Jan 2015 A 60,000,000 2014/07/29 2015/01/30 15.0029202 HK Bank – Lenovo European Warrants Jan 2015 A 80,000,000 2014/07/29 2015/01/30 28.0029203 HK Bank – Link REIT European Warrants Jul 2015 A 60,000,000 2014/07/29 2015/07/31 15.0029303 J P Morgan SP BV – Cheung Kong European Warrants Jan 2015 A 80,000,000 2014/07/29 2015/01/02 12.4829316 J P Morgan SP BV – A50 China European Warrants Dec 2014 C 200,000,000 2014/07/29 2014/12/12 31.0029319 J P Morgan SP BV – HKEx European Warrants Dec 2014 C 80,000,000 2014/07/29 2014/12/01 12.6429315 J P Morgan SP BV – HSI European Warrants Jan 2015 C 500,000,000 2014/07/29 2015/01/29 75.0029308 J P Morgan SP BV – HSI European Put Warrants Dec 2014 G 500,000,000 2014/07/29 2014/12/30 76.5029249 Macquarie Bank Ltd. – CHALCO European Warrants Jan 2015 B 70,000,000 2014/07/29 2015/01/05 10.5029198 Macquarie Bank Ltd. – Tencent European Warrants Jan 2015 B 40,000,000 2014/07/29 2015/01/05 14.3629231 Standard Chartered Bank – BYD European Warrants Mar 2015 A 50,000,000 2014/07/29 2015/03/02 12.5029236 Standard Chartered Bank – Cheung Kong Euro Wts Feb 2015 B 40,000,000 2014/07/29 2015/02/04 10.0029237 Standard Chartered Bank – China Life European Wts Dec 2015 A 80,000,000 2014/07/29 2015/12/30 20.0029233 Standard Chartered Bank – MGM China European Wts Apr 2015 A 60,000,000 2014/07/29 2015/04/08 15.0029232 Standard Chartered Bank – ZTE European Warrants Jul 2015 A 80,000,000 2014/07/29 2015/07/13 20.0029210 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Jun15A 100,000,000 2014/07/29 2015/06/03 17.0029209 SGA Societe Generale Acceptance N.V. – CNBM Eu Wt Dec 2016 A 150,000,000 2014/07/29 2016/12/05 22.5029211 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Jan 2016A 500,000,000 2014/07/29 2016/01/06 75.0029212 SGA Societe Generale Acceptance NV – Zijin Mining Eu Wt Apr15A 80,000,000 2014/07/29 2015/04/08 16.4029293 UBS AG – AIA European Warrants Feb 2015 A 100,000,000 2014/07/29 2015/02/09 19.0029300 UBS AG – China Mobile European Warrants Feb 2015 B 100,000,000 2014/07/29 2015/02/23 22.0029276 UBS AG – HKEx European Warrants Jan 2015 A 40,000,000 2014/07/29 2015/01/23 22.8029281 UBS AG – HSBC European Put Warrants Jan 2015 A 50,000,000 2014/07/29 2015/01/05 10.50

Main Board Warrants



29277 UBS AG – HSI European Warrants Jan 2015 A 300,000,000 2014/07/29 2015/01/29 60.0029280 UBS AG – HSI European Put Warrants Dec 2014 G 300,000,000 2014/07/29 2014/12/30 45.0029279 UBS AG – HSI European Put Warrants Jan 2015 B 300,000,000 2014/07/29 2015/01/29 75.0015759 # Goldman Sachs SP (Asia) – HSI European Put Wts Oct 2014 D 190,000,000 2014/07/29 2014/10/30 10.2629329 BOCI Asia Ltd. – Anhui Conch European Warrants Feb 2015 A 100,000,000 2014/07/30 2015/02/09 23.0029327 BOCI Asia Ltd. – China Mobile European Put Wts Feb 2015 B 100,000,000 2014/07/30 2015/02/02 20.0029326 BOCI Asia Ltd. – Li & Fung European Warrants Feb 2015 A 100,000,000 2014/07/30 2015/02/02 44.0029328 BOCI Asia Ltd. – Tencent Holdings European Put Wts Apr 2015 A 100,000,000 2014/07/30 2015/04/30 15.0029331 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Dec 2015 B 100,000,000 2014/07/30 2015/12/02 25.0029333 BNP Paribas Arbit Issu B.V. – HSBC European Wts Dec 2015 A 100,000,000 2014/07/30 2015/12/02 25.0029370 Credit Suisse AG – China Cinda European Warrants Jan 2015 A 70,000,000 2014/07/30 2015/01/29 17.5029369 Credit Suisse AG – Hutchison European Warrants Nov 2014 C 80,000,000 2014/07/30 2014/11/28 20.8029359 Daiwa Capital Mkt – AIA European Put Warrants Apr 2015 A 80,000,000 2014/07/30 2015/04/23 12.0029357 Daiwa Capital Mkt – China Cinda European Warrants Mar 2015 A 68,000,000 2014/07/30 2015/03/02 17.0029376 Goldman Sachs SP (Asia) – CHALCO European Wts Jun 2015 A 50,000,000 2014/07/30 2015/06/30 18.0029374 Goldman Sachs SP (Asia) – CC Bank European Wts Jan 2015 A 80,000,000 2014/07/30 2015/01/29 19.6829381 Goldman Sachs SP (Asia) – A50 China Euro Put Wts Feb 2015 A 80,000,000 2014/07/30 2015/02/03 28.8829375 Goldman Sachs SP (Asia) – Hutchison Euro Put Wts Feb 2015 A 80,000,000 2014/07/30 2015/02/03 30.8029380 Goldman Sachs SP (Asia) – Ping An Euro Put Wts Feb 2015 A 80,000,000 2014/07/30 2015/02/03 23.5229377 Goldman Sachs SP (Asia) – Sh Electric European Wts Jun 2015A 50,000,000 2014/07/30 2015/06/30 17.4529352 HK Bank – Agricultural Bank European Warrants Jul 2015 A 80,000,000 2014/07/30 2015/07/27 14.4029349 HK Bank – AIA European Warrants Mar 2015 A 80,000,000 2014/07/30 2015/03/31 12.8029350 HK Bank – AIA European Put Warrants Jan 2015 A 80,000,000 2014/07/30 2015/01/30 20.0029351 HK Bank – HKEx European Warrants Nov 2014 A 80,000,000 2014/07/30 2014/11/25 25.6029345 HK Bank – HSI European Warrants Jun 2015 A 200,000,000 2014/07/30 2015/06/29 50.0029340 HK Bank – HSI European Put Warrants Dec 2014 I 200,000,000 2014/07/30 2014/12/30 30.0029362 J P Morgan SP BV – Brilliance Chi European Wts Apr 2015 A 100,000,000 2014/07/30 2015/04/01 15.2029323 J P Morgan SP BV – China Mob European Wts Nov 2014 A 200,000,000 2014/07/30 2014/11/24 30.2029390 J P Morgan SP BV – China Mob European Wts Feb 2015 D 200,000,000 2014/07/30 2015/02/03 50.0029389 J P Morgan SP BV – Ch Overseas European Warrants Aug 2015 B 200,000,000 2014/07/30 2015/08/03 50.0029364 J P Morgan SP BV – CPIC European Warrants Apr 2015 B 100,000,000 2014/07/30 2015/04/02 25.1029366 J P Morgan SP BV – Chi Res Power European Wts Jul 2015 A 100,000,000 2014/07/30 2015/07/31 25.1029365 J P Morgan SP BV – China Tel European Warrants Feb 2015 A 120,000,000 2014/07/30 2015/02/03 30.6029391 J P Morgan SP BV – HSI European Warrants Jan 2015 E 500,000,000 2014/07/30 2015/01/29 125.0029324 J P Morgan SP BV – HSI European Put Warrants Jan 2015 D 500,000,000 2014/07/30 2015/01/29 125.5029368 J P Morgan SP BV – Zijin Mining European Warrants Aug 2015 A 70,000,000 2014/07/30 2015/08/03 11.1329373 Macquarie Bank Ltd. – CPIC European Warrants Jul 2015 A 40,000,000 2014/07/30 2015/07/03 10.0029321 Macquarie Bank Ltd. – Yanzhou Coal European Wts Feb 2015 A 40,000,000 2014/07/30 2015/02/03 10.0029355 Standard Chartered Bank – CC Bank European Wts Jan 2015 A 80,000,000 2014/07/30 2015/01/28 12.0029354 Standard Chartered Bank – CNOOC European Warrants Aug 2015 A 50,000,000 2014/07/30 2015/08/10 15.0029356 Standard Chartered Bank – China Overseas Euro Wt Jun 2015 A 80,000,000 2014/07/30 2015/06/05 20.0029372 Standard Chartered Bank – Ch Ship Cont Euro Wts Oct 2015 A 50,000,000 2014/07/30 2015/10/27 20.5029353 Standard Chartered Bank – Hutchison Euro Put Wt Jun 2015 A 80,000,000 2014/07/30 2015/06/01 52.8029334 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jan 2015 C 150,000,000 2014/07/30 2015/01/29 22.50

Main Board Warrants



29339 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jun 2015 A 150,000,000 2014/07/30 2015/06/29 24.7529371 UBS AG – China Mobile European Put Warrants Jan 2015 B 100,000,000 2014/07/30 2015/01/29 32.0029431 BOCI Asia Ltd. – CNOOC European Warrants Aug 2016 A 100,000,000 2014/07/31 2016/08/01 15.0029430 BOCI Asia Ltd. – A50 China European Warrants Aug 2016 A 100,000,000 2014/07/31 2016/08/01 15.0029429 BOCI Asia Ltd. – HSBC European Put Warrants Jan 2015 A 100,000,000 2014/07/31 2015/01/05 18.0029427 BOCI Asia Ltd. – HSI European Warrants Dec 2014 C 100,000,000 2014/07/31 2014/12/30 17.0029426 BOCI Asia Ltd. – HSI European Put Warrants Dec 2014 B 100,000,000 2014/07/31 2014/12/30 18.0029425 BOCI Asia Ltd. – HSI European Put Warrants Jan 2015 A 100,000,000 2014/07/31 2015/01/29 15.0029428 BOCI Asia Ltd. – Tracker Fund European Warrants Apr 2016 B 100,000,000 2014/07/31 2016/04/18 25.0029452 BNP Paribas Arbit Issu B.V. – AIA European Wts Dec 2015 A 100,000,000 2014/07/31 2015/12/02 25.0029488 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Feb 2015 A 100,000,000 2014/07/31 2015/02/03 25.0029487 BNP Paribas Arbit Issu B.V. – Minsheng Bk Euro Wt Feb 2015 A 66,000,000 2014/07/31 2015/02/03 20.4629451 BNP Paribas Arbit Issu B.V. – Ch Mobile Eu Put Wt Feb 2015 B 100,000,000 2014/07/31 2015/02/03 17.0029490 BNP Paribas Arbit Issu B.V. – HKEx European Wts Nov 2015 A 100,000,000 2014/07/31 2015/11/03 16.0029491 BNP Paribas Arbit Issu B.V. – HKEx Euro Put Wts Mar 2015 A 100,000,000 2014/07/31 2015/03/03 20.0029450 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts Jan 2015 A 100,000,000 2014/07/31 2015/01/29 15.0029489 BNP Paribas Arbit Issu B.V. – ICBC European Wts Dec 2014 A 100,000,000 2014/07/31 2014/12/02 17.0029438 Credit Suisse AG – Minsheng Bank European Wts Jan 2015 B 70,000,000 2014/07/31 2015/01/30 21.7029439 Credit Suisse AG – China Mobile European Warrants Jan 2015 C 80,000,000 2014/07/31 2015/01/30 20.0029442 Credit Suisse AG – China Mobile European Put Wts Jan 2015 D 80,000,000 2014/07/31 2015/01/30 28.0029422 Credit Suisse AG – CSOP A50 ETF Euro Put Wts Oct 2014 A 70,000,000 2014/07/31 2014/10/31 10.5029456 Credit Suisse – CSCL European Warrants Mar 2015 A 60,000,000 2014/07/31 2015/03/30 15.0029421 Credit Suisse AG – A50 China European Put Wts Jan 2015 A 70,000,000 2014/07/31 2015/01/29 23.8029417 Credit Suisse AG – A50 China European Put Wts Aug 2016 B 70,000,000 2014/07/31 2016/08/29 12.6029443 Credit Suisse AG – ICBC European Warrants Nov 2014 A 80,000,000 2014/07/31 2014/11/28 12.0029433 Credit Suisse AG – PICC Group European Warrants Feb 2015 A 70,000,000 2014/07/31 2015/02/26 17.5029455 Credit Suisse AG – Ping An European Warrants Jan 2015 A 80,000,000 2014/07/31 2015/01/30 20.0029445 Daiwa Capital Mkt – China Mobile European Wts Feb 2015 A 108,000,000 2014/07/31 2015/02/02 27.0029492 Daiwa Capital Mkt – A50 China European Warrants Mar 2015 A 128,000,000 2014/07/31 2015/03/02 32.0029446 Daiwa Capital Mkt – HKEx European Warrants Jan 2015 B 98,000,000 2014/07/31 2015/01/08 29.4029444 Daiwa Capital Mkt – ICBC European Warrants Mar 2015 A 128,000,000 2014/07/31 2015/03/02 32.0029493 Daiwa Capital Mkt – Ping An European Put Warrants Feb 2015 A 80,000,000 2014/07/31 2015/02/02 28.8029513 Bank of East Asia – China Agri European Warrants Jul 2015 A 40,000,000 2014/07/31 2015/07/02 10.0029516 Bank of East Asia – Ch Mobile European Put Warrants Oct 15 A 40,000,000 2014/07/31 2015/10/09 10.0029515 Bank of East Asia – Tencent Holdings European Put Wts May15A 70,000,000 2014/07/31 2015/05/06 10.5029405 HK Bank – China Life European Warrants Sep 2015 A 80,000,000 2014/07/31 2015/09/30 12.0029392 HK Bank – China Mobile European Warrants Nov 2014 B 80,000,000 2014/07/31 2014/11/28 16.0029400 HK Bank – CPIC European Warrants Oct 2015 A 60,000,000 2014/07/31 2015/10/30 15.0029404 HK Bank – HSCEI European Warrants Jul 2015 A 200,000,000 2014/07/31 2015/07/30 50.0029399 HK Bank – HWL European Warrants Jan 2015 A 60,000,000 2014/07/31 2015/01/30 18.0029508 J P Morgan SP BV – China Life European Warrants Oct 2015 A 200,000,000 2014/07/31 2015/10/02 31.4029503 J P Morgan SP BV – China Life European Put Wts Mar 2015 A 200,000,000 2014/07/31 2015/03/03 50.2029504 J P Morgan SP BV – HKEx European Put Wts Mar 2015 A 200,000,000 2014/07/31 2015/03/02 30.4029501 J P Morgan SP BV – ICBC European Warrants Dec 2014 B 200,000,000 2014/07/31 2014/12/01 31.80

Main Board Warrants



29511 J P Morgan SP BV – Ping An European Warrants Jan 2015 B 150,000,000 2014/07/31 2015/01/30 23.5529506 J P Morgan SP BV – Ping An European Put Warrants Feb 2015 B 150,000,000 2014/07/31 2015/02/03 38.8529453 Macquarie Bank Ltd. – Ch Southern Air Euro Wts Jul 2015 A 40,000,000 2014/07/31 2015/07/03 10.0029454 Macquarie Bank Ltd. – Galaxy Ent European Put Wts Feb 2015 A 40,000,000 2014/07/31 2015/02/03 10.0029479 Macquarie Bank Ltd. – Jiangxi Copper European Wts Apr 2015 A 70,000,000 2014/07/31 2015/04/15 10.5029423 Standard Chartered Bank – CITIC Pacific Euro Wts May 2015 B 80,000,000 2014/07/31 2015/05/15 12.0029448 Standard Chartered Bank – China Mobile Euro Wts Jan 2015 A 80,000,000 2014/07/31 2015/01/22 16.0029449 Standard Chartered Bank – China Mobile Eur Put Wt Jan 2015 B 80,000,000 2014/07/31 2015/01/30 20.0029408 Standard Chartered Bank – Foxconn European Wts Nov 2014 B 40,000,000 2014/07/31 2014/11/26 19.2029406 Standard Chartered Bank – GCL-Poly Energy Eur Wts Feb 2015 A 50,000,000 2014/07/31 2015/02/03 10.0029411 Standard Chartered Bank – HSCEI European Put Wts Feb 2015 A 100,000,000 2014/07/31 2015/02/26 25.0029500 Standard Chartered Bank – HSI European Warrants Apr 2015 A 100,000,000 2014/07/31 2015/04/29 25.0029485 Standard Chartered Bank – HSI European Put Wts Jan 2015 A 100,000,000 2014/07/31 2015/01/29 15.0029410 Standard Chartered Bank – Tencent Hldg Euro Wts Oct 2015 A 200,000,000 2014/07/31 2015/10/26 38.0029460 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Feb 15 B 70,000,000 2014/07/31 2015/02/04 14.7029471 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Feb 15 A 100,000,000 2014/07/31 2015/02/04 15.5029498 UBS AG – China Life European Warrants Dec 2015 A 100,000,000 2014/07/31 2015/12/28 25.0029472 UBS AG – A50 China European Warrants Dec 2014 B 50,000,000 2014/07/31 2014/12/12 10.0029474 UBS AG – A50 China European Warrants Mar 2015 A 50,000,000 2014/07/31 2015/03/30 12.5029478 UBS AG – Ping An European Warrants Jan 2015 A 60,000,000 2014/07/31 2015/01/23 12.0029475 UBS AG – Ping An European Put Warrants Dec 2014 A 100,000,000 2014/07/31 2014/12/24 15.0029532 BOCI Asia Ltd. – CC Bank European Warrants Feb 2015 A 100,000,000 2014/08/01 2015/02/09 23.0029530 BOCI Asia Ltd. – China Cinda European Warrants Dec 2016 A 100,000,000 2014/08/01 2016/12/29 15.0029535 BOCI Asia Ltd. – HKEx European Put Warrants Mar 2015 A 100,000,000 2014/08/01 2015/03/02 15.0029534 BOCI Asia Ltd. – PetroChina European Warrants Feb 2015 A 100,000,000 2014/08/01 2015/02/16 26.0029529 BOCI Asia Ltd. – Ping An European Warrants Jan 2015 A 100,000,000 2014/08/01 2015/01/05 23.0029594 BNP Paribas Arbit Issu B.V. – China Coal Euro Wts Aug 2015 A 27,000,000 2014/08/01 2015/08/04 13.7729545 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Aug 2016 A 100,000,000 2014/08/01 2016/08/02 15.0029599 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Aug 2016 A 100,000,000 2014/08/01 2016/08/02 15.0029543 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Aug 2015 A 100,000,000 2014/08/01 2015/08/04 25.0029544 BNP Paribas Arbit Issu B.V. – A50 China Euro Put Wt Sep 16 A 100,000,000 2014/08/01 2016/09/02 19.0029597 BNP Paribas Arbit Issu B.V. – Kingsoft Euro Wts Feb 2015 A 100,000,000 2014/08/01 2015/02/03 25.0029547 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Feb 2015 A 100,000,000 2014/08/01 2015/02/03 26.0029569 Credit Suisse AG – China EB Int’l European Wts Jun 2015 A 70,000,000 2014/08/01 2015/06/29 10.5029573 Credit Suisse AG – CSOP A50 ETF European Warrants Feb 2015 A 80,000,000 2014/08/01 2015/02/02 20.0029572 Credit Suisse AG – A50 China European Warrants Feb 2015 A 80,000,000 2014/08/01 2015/02/02 20.0029570 Credit Suisse AG – HSBC European Wts Jan 2015 B 70,000,000 2014/08/01 2015/01/12 11.2029571 Credit Suisse AG – SHK Ppt European Warrants Dec 2014 B 70,000,000 2014/08/01 2014/12/24 16.8029553 Daiwa Capital Mkt – China Life European Put Wts Apr 2015 A 80,000,000 2014/08/01 2015/04/01 20.0029552 Daiwa Capital Mkt – China Mobile European Put Wts Feb 2015 B 80,000,000 2014/08/01 2015/02/02 31.2029551 Daiwa Capital Mkt – Ch Overseas European Warrants Apr 2015 A 80,000,000 2014/08/01 2015/04/08 20.0029549 Daiwa Capital Mkt – Hutchison European Warrants Feb 2015 A 128,000,000 2014/08/01 2015/02/02 32.0029548 Daiwa Capital Mkt – ICBC European Put Warrants Feb 2015 A 80,000,000 2014/08/01 2015/02/02 24.8029601 Goldman Sachs SP (Asia) – AIA European Warrants Nov 2015 A 80,000,000 2014/08/01 2015/11/27 20.00

Main Board Warrants



29612 Goldman Sachs SP (Asia) – China Cinda Euro Wts Feb 2015 A 80,000,000 2014/08/01 2015/02/04 20.0029526 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2015 A 150,000,000 2014/08/01 2015/03/30 37.6529600 Goldman Sachs SP (Asia) – Ping An European Wts Jan 2015 A 80,000,000 2014/08/01 2015/01/30 18.0029628 J P Morgan SP BV – Minsheng Bank European Wts Feb 2015 A 80,000,000 2014/08/01 2015/02/03 20.6429634 J P Morgan SP BV – CSOP A50 ETF European Warrants Dec 2014 B 100,000,000 2014/08/01 2014/12/02 15.9029637 J P Morgan SP BV – HKEx European Warrants Nov 2014 B 80,000,000 2014/08/01 2014/11/03 12.0829627 J P Morgan SP BV – Lenovo European Warrants Aug 2016 A 200,000,000 2014/08/01 2016/08/01 50.2029574 Macquarie Bank Ltd. – CITIC Sec European Warrants Mar 2015 A 40,000,000 2014/08/01 2015/03/03 10.0029537 Macquarie Bank Ltd. – China Life European Wts Oct 2015 A 50,000,000 2014/08/01 2015/10/05 10.1029538 Macquarie Bank Ltd. – China Mobile European Wts Apr 2015 A 40,000,000 2014/08/01 2015/04/02 10.0029592 Macquarie Bank Ltd. – Stanchart European Warrants Jul 2015 B 70,000,000 2014/08/01 2015/07/20 10.5029575 Macquarie Bank Ltd. – SUNAC European Warrants Feb 2015 A 40,000,000 2014/08/01 2015/02/03 10.3229541 Standard Chartered Bank – HSBC European Warrants Apr 2015 A 100,000,000 2014/08/01 2015/04/28 25.0029540 Standard Chartered Bank – HSBC European Warrants Nov 2015 A 100,000,000 2014/08/01 2015/11/30 25.0029568 Standard Chartered Bank – HSI European Put Wts Jan 2015 B 100,000,000 2014/08/01 2015/01/29 15.0029566 Standard Chartered Bank – NCI European Warrants Apr 2015 A 50,000,000 2014/08/01 2015/04/08 12.5029567 Standard Chartered Bank – Ping An European Wts Dec 2014 B 80,000,000 2014/08/01 2014/12/22 20.0029519 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Mar15A 50,000,000 2014/08/01 2015/03/04 12.7529520 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Mar 2015A 70,000,000 2014/08/01 2015/03/04 17.5029554 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Jan 2015 A 100,000,000 2014/08/01 2015/01/05 15.0029557 UBS AG – China Mobile European Warrants Jan 2015 C 100,000,000 2014/08/01 2015/01/27 27.0029563 UBS AG – HSBC European Warrants Jan 2015 B 100,000,000 2014/08/01 2015/01/23 24.5029558 UBS AG – Hutchison European Warrants Dec 2014 A 100,000,000 2014/08/01 2014/12/24 17.5029672 BNP Paribas Arbit Issu B.V. – Agricultural Bank Eu Wt Dec15A 100,000,000 2014/08/04 2015/12/02 25.0029670 BNP Paribas Arbit Issu B.V. – AIA European Put Wt Dec 2015 B 100,000,000 2014/08/04 2015/12/02 25.0029761 BNP Paribas Arbit Issu B.V. – China Overseas Eu Wt Aug 2015A 100,000,000 2014/08/04 2015/08/04 25.0029768 BNP Paribas Arbit Issu B.V. – Chi Res Land Eu Wt Aug 2015 A 100,000,000 2014/08/04 2015/08/04 20.0029778 BNP Paribas Arbit Issu B.V. – Geely Auto Euro Wts Mar 2015 A 57,000,000 2014/08/04 2015/03/03 14.2529660 BNP Paribas Arbit Issu B.V. – Hutchison Eu Put Wt Mar 2015 A 76,000,000 2014/08/04 2015/03/03 19.0029655 BNP Paribas Arbit Issu B.V. – SHK Ppt Euro Wts Jun 2015 A 58,000,000 2014/08/04 2015/06/02 14.5029658 BNP Paribas Arbit Issu B.V. – SHK Ppt Eu Put Wts Jun 2015 B 58,000,000 2014/08/04 2015/06/02 14.5029762 BNP Paribas Arbit Issu B.V. – Yanzhou Coal Eur Wt Sep 2018 A 100,000,000 2014/08/04 2018/09/04 25.0029751 Credit Suisse AG – CSOP A50 ETF European Warrants Feb 2015 B 80,000,000 2014/08/04 2015/02/27 20.8029750 Credit Suisse AG – A50 China European Warrants Feb 2015 B 80,000,000 2014/08/04 2015/02/27 20.8029725 Credit Suisse AG – HKEx European Warrants Jan 2015 B 80,000,000 2014/08/04 2015/01/12 42.4029726 Credit Suisse AG – HSBC European Wts Feb 2015 A 80,000,000 2014/08/04 2015/02/27 20.0029736 Credit Suisse AG – HSBC European Put Warrants Feb 2015 B 80,000,000 2014/08/04 2015/02/27 44.0029720 Credit Suisse AG – HSI European Warrants Mar 2015 B 150,000,000 2014/08/04 2015/03/30 37.5029718 Credit Suisse AG – HSI European Put Warrants Jan 2015 A 150,000,000 2014/08/04 2015/01/29 25.5029749 Credit Suisse AG – Kingsoft European Warrants Feb 2015 A 80,000,000 2014/08/04 2015/02/06 20.0029676 Daiwa Capital Mkt – BYD European Warrants Jan 2015 B 68,000,000 2014/08/04 2015/01/13 23.8029674 Daiwa Capital Mkt – Sinopec Corp European Wts Mar 2015 A 80,000,000 2014/08/04 2015/03/02 20.0029756 Daiwa Capital Mkt – HKEx European Warrants Feb 2015 A 128,000,000 2014/08/04 2015/02/11 32.0029681 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Feb 2015 A 80,000,000 2014/08/04 2015/02/27 29.36

Main Board Warrants



29682 Goldman Sachs SP (Asia) – A50 China European Wts Feb 2015 B 80,000,000 2014/08/04 2015/02/27 28.8029760 Goldman Sachs SP (Asia) – HKEx European Warrants Jun 2015 B 80,000,000 2014/08/04 2015/06/29 70.8829758 Goldman Sachs SP (Asia) – HSBC European Warrants Jun 2015 A 80,000,000 2014/08/04 2015/06/29 20.0029684 Goldman Sachs SP (Asia) – PetroChina European Wts Mar 2015 A 80,000,000 2014/08/04 2015/03/30 20.0029650 HK Bank – Sinopec Corp European Warrants Feb 2015 A 60,000,000 2014/08/04 2015/02/09 15.0029649 HK Bank – CSOP A50 ETF European Warrants Feb 2015 A 60,000,000 2014/08/04 2015/02/09 22.8029648 HK Bank – A50 China European Warrants Feb 2015 A 60,000,000 2014/08/04 2015/02/09 16.2029641 HK Bank – HSI European Put Warrants Jan 2015 A 200,000,000 2014/08/04 2015/01/29 40.0029653 HK Bank – Ping An European Warrants Jan 2015 A 80,000,000 2014/08/04 2015/01/23 19.2029786 J P Morgan SP BV – CSOP A50 ETF European Warrants Mar 2015 A 100,000,000 2014/08/04 2015/03/03 25.1029787 J P Morgan SP BV – A50 China European Warrants Mar 2015 A 100,000,000 2014/08/04 2015/03/03 25.3029782 J P Morgan SP BV – HSBC European Warrants Apr 2015 A 200,000,000 2014/08/04 2015/04/02 50.2029789 J P Morgan SP BV – Tencent European Warrants Dec 2014 F 200,000,000 2014/08/04 2014/12/22 66.8029788 J P Morgan SP BV – Tencent European Warrants Jan 2015 E 200,000,000 2014/08/04 2015/01/02 48.4029679 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Mar 2015 A 40,000,000 2014/08/04 2015/03/03 10.0029757 Macquarie Bank Ltd. – A50 China European Warrants Mar 2015 A 40,000,000 2014/08/04 2015/03/03 10.0029680 Standard Chartered Bank – HKEx European Warrants Nov 2014 B 100,000,000 2014/08/04 2014/11/24 45.0029703 SGA Societe Generale Acceptance N.V. – CCB Eur Wt May 2015 A 80,000,000 2014/08/04 2015/05/06 20.0029705 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Mar15 A 40,000,000 2014/08/04 2015/03/04 16.6029706 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt May15 A 40,000,000 2014/08/04 2015/05/06 12.8029654 SGA Societe Generale Acceptance N.V. – HKEx Eu Put Wt Mar15A 300,000,000 2014/08/04 2015/03/04 46.5029709 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Apr 2015 A 100,000,000 2014/08/04 2015/04/08 25.0029708 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jan 15 D 150,000,000 2014/08/04 2015/01/29 27.0029710 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Apr 2015 A 50,000,000 2014/08/04 2015/04/08 12.5029711 SGA Societe Generale Acceptance N.V. – KECL Eu Wt Jan 2016 A 100,000,000 2014/08/04 2016/01/06 20.0029714 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Dec 14 D 150,000,000 2014/08/04 2014/12/31 48.0029697 UBS AG – CC Bank European Warrants Feb 2015 A 100,000,000 2014/08/04 2015/02/09 25.0029696 UBS AG – China Cinda European Warrants Feb 2015 A 100,000,000 2014/08/04 2015/02/09 25.0029702 UBS AG – HKEx European Warrants Nov 2014 A 80,000,000 2014/08/04 2014/11/04 24.0029701 UBS AG – HKEx European Warrants Feb 2015 A 80,000,000 2014/08/04 2015/02/09 40.0029890 BOCI Asia Ltd. – CSOP A50 ETFEuropean Warrants Mar 2015 A 100,000,000 2014/08/05 2015/03/23 29.0029889 BOCI Asia Ltd. – CSOP A50 ETFEuropean Warrants Aug 2016 A 100,000,000 2014/08/05 2016/08/01 16.0029883 BOCI Asia Ltd. – A50 China European Warrants Mar 2015 A 100,000,000 2014/08/05 2015/03/02 25.0029887 BOCI Asia Ltd. – A50 China European Put Warrants Aug 2016 B 100,000,000 2014/08/05 2016/08/29 15.0029844 BNP Paribas Arbit Issu B.V. – HKEx European Wts Mar 2015 B 78,000,000 2014/08/05 2015/03/03 19.5029897 Credit Suisse AG – CNOOC European Warrants Jul 2016 A 70,000,000 2014/08/05 2016/07/29 10.5029896 Credit Suisse AG – Ping An European Warrants Dec 2014 C 80,000,000 2014/08/05 2014/12/22 12.0029899 Credit Suisse AG – Sinotrans European Warrants Feb 2015 A 50,000,000 2014/08/05 2015/02/09 42.5029904 Credit Suisse AG – Tencent Holdings Euro Put Wts Aug 2015 A 80,000,000 2014/08/05 2015/08/31 20.0029942 Citigroup Global Mkt H Inc. – CSOP A50 ETF Eu Wts Feb 2015 A 100,000,000 2014/08/05 2015/02/04 25.0029949 Citigroup Global Mkt H Inc. – A50 China Euro Wts Feb 2015 A 100,000,000 2014/08/05 2015/02/04 25.0029938 Citigroup Global Mkt H Inc. – HKEx European Wts Sep 2015 C 80,000,000 2014/08/05 2015/09/07 20.0029925 Daiwa Capital Mkt – HSBC European Warrants Mar 2015 A 108,000,000 2014/08/05 2015/03/02 27.0029927 Goldman Sachs SP (Asia) – BOCL European Warrants Sep 2016 B 80,000,000 2014/08/05 2016/09/30 20.00

Main Board Warrants



29926 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2015 B 150,000,000 2014/08/05 2015/03/30 37.9529805 HK Bank – BOCL European Warrants Jul 2015 A 60,000,000 2014/08/05 2015/07/31 15.0029814 HK Bank – CITIC Bank European Warrants Feb 2015 A 50,000,000 2014/08/05 2015/02/27 15.5029806 HK Bank – Cheung Kong European Warrants Feb 2015 A 80,000,000 2014/08/05 2015/02/09 23.2029802 HK Bank – Minsheng Bank European Warrants Feb 2015 A 50,000,000 2014/08/05 2015/02/09 14.5029813 HK Bank – Haitong Sec European Warrants Aug 2015 A 80,000,000 2014/08/05 2015/08/11 14.4029934 J P Morgan SP BV – AIA European Warrants May 2015 A 200,000,000 2014/08/05 2015/05/04 50.2029862 J P Morgan SP BV – BankComm European Warrants Mar 2015 A 40,000,000 2014/08/05 2015/03/03 10.1229928 J P Morgan SP BV – BYD European Warrants Mar 2015 A 100,000,000 2014/08/05 2015/03/03 37.2029861 J P Morgan SP BV – China Coal European Warrants Mar 2015 A 50,000,000 2014/08/05 2015/03/03 12.5029930 J P Morgan SP BV – Cheung Kong European Warrants Mar 2015 A 80,000,000 2014/08/05 2015/03/03 20.4829932 J P Morgan SP BV – China Life European Warrants Dec 2015 A 200,000,000 2014/08/05 2015/12/03 52.0029864 J P Morgan SP BV – Chi Res Land European Warrants Aug 2015 A 150,000,000 2014/08/05 2015/08/03 37.9529859 J P Morgan SP BV – Chow Tai Fook European Wts Dec 2015 A 100,000,000 2014/08/05 2015/12/02 25.1029933 J P Morgan SP BV – HKEx European Warrants Dec 2015 A 300,000,000 2014/08/05 2015/12/03 76.8029936 J P Morgan SP BV – HSI European Warrants Feb 2015 A 500,000,000 2014/08/05 2015/02/26 125.0029937 J P Morgan SP BV – HSI European Warrants Feb 2015 B 500,000,000 2014/08/05 2015/02/26 125.0029931 J P Morgan SP BV – Hutchison European Warrants Mar 2015 A 80,000,000 2014/08/05 2015/03/03 20.0829858 J P Morgan SP BV – JX Copper European Warrants Apr 2015 A 100,000,000 2014/08/05 2015/04/22 15.2029860 J P Morgan SP BV – New World Dev European Wts May 2015 A 50,000,000 2014/08/05 2015/05/04 15.5029929 J P Morgan SP BV – PetroChina European Warrants Mar 2015 A 100,000,000 2014/08/05 2015/03/03 25.4029866 J P Morgan SP BV – Shimao Property European Wts Aug 2015 A 150,000,000 2014/08/05 2015/08/03 38.2529874 Macquarie Bank Ltd. – China Life European Wts Jan 2016 A 50,000,000 2014/08/05 2016/01/05 12.5029879 Macquarie Bank Ltd. – Kingsoft European Warrants Mar 2015 A 35,000,000 2014/08/05 2015/03/03 10.0129815 Macquarie Bank Ltd. – Luk Fook Hold European Wts May 2015 A 40,000,000 2014/08/05 2015/05/29 10.0029867 Macquarie Bank Ltd. – Sh Electric European Wts Feb 2015 B 40,000,000 2014/08/05 2015/02/27 10.0029870 Macquarie Bank Ltd. – Tencent European Warrants Nov 2014 D 50,000,000 2014/08/05 2014/11/05 10.0029816 Standard Chartered Bank – BankComm European Warrants Mar15 A 50,000,000 2014/08/05 2015/03/30 12.5029820 Standard Chartered Bank – CC Bank European Wts Mar 2015 A 60,000,000 2014/08/05 2015/03/02 15.0029819 Standard Chartered Bank – China Life European Wts Sep 2015 A 100,000,000 2014/08/05 2015/09/29 17.0029801 Standard Chartered Bank – Chi Res Land European Wts Jun15A 100,000,000 2014/08/05 2015/06/01 25.0029822 Standard Chartered Bank – A50 China Euro Warrants Nov 2014 D 80,000,000 2014/08/05 2014/11/28 12.0029798 Standard Chartered Bank – HKEx European Warrants Jun 2015 B 100,000,000 2014/08/05 2015/06/05 37.5029848 Standard Chartered Bank – HSCEI European Warrants Jun 2015 A 100,000,000 2014/08/05 2015/06/29 15.0029857 Standard Chartered Bank – Ping An European Wts Dec 2014 C 80,000,000 2014/08/05 2014/12/30 12.0029826 SGA Societe Generale Acceptance N.V – Anhui Conch Eu Wt Apr15A 50,000,000 2014/08/05 2015/04/08 10.0029840 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Nov15A 100,000,000 2014/08/05 2015/11/04 17.0029918 SGA Societe Generale Acceptance N.V. – BYD Eu Wt Mar 2015 A 30,000,000 2014/08/05 2015/03/04 10.2029841 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Apr15A 50,000,000 2014/08/05 2015/04/08 12.5029843 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Apr 2015A 70,000,000 2014/08/05 2015/04/08 17.5029919 SGA Societe Generale Acceptance N.V. – Greatwall Eu Wt Apr15A 50,000,000 2014/08/05 2015/04/08 12.5029827 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Feb 2015 C 30,000,000 2014/08/05 2015/02/04 12.3029828 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Jan 2015 B 100,000,000 2014/08/05 2015/01/05 15.0029920 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt Aug15A 100,000,000 2014/08/05 2015/08/12 15.50

Main Board Warrants



29830 SGA Societe Generale Acceptance N.V. – MGM China Eu Wt Jun15A 50,000,000 2014/08/05 2015/06/03 12.5029831 SGA Societe Generale Acceptance N.V. – PICC Eu Wts Jun 2015A 40,000,000 2014/08/05 2015/06/03 10.0029923 SGA Societe Generale Acceptance N.V. – SHK P Eu Wt Apr 2015A 40,000,000 2014/08/05 2015/04/08 10.0029838 SGA Societe Generale Acceptance N.V. – Wynn Macau Eu Wt Apr15A 50,000,000 2014/08/05 2015/04/08 10.0029914 UBS AG – China Life European Warrants Dec 2015 B 100,000,000 2014/08/05 2015/12/08 25.0029913 UBS AG – Minsheng Bank European Warrants Feb 2015 A 40,000,000 2014/08/05 2015/02/04 10.0029915 UBS AG – CSOP A50 ETF European Warrants Feb 2015 A 40,000,000 2014/08/05 2015/02/04 12.8029917 UBS AG – HKEx European Put Warrants Feb 2015 B 100,000,000 2014/08/05 2015/02/18 15.0029908 UBS AG – HSI European Warrants Mar 2015 B 300,000,000 2014/08/05 2015/03/30 75.0029909 UBS AG – HSI European Warrants Mar 2015 C 300,000,000 2014/08/05 2015/03/30 75.0029911 UBS AG – Hutchison European Warrants Feb 2015 A 100,000,000 2014/08/05 2015/02/04 55.0029907 UBS AG – Tencent Holdings European Put Warrants Aug 2015 B 500,000,000 2014/08/05 2015/08/26 115.0029966 BOCI Asia Ltd. – Minsheng Bank European Warrants Mar 2015 A 100,000,000 2014/08/06 2015/03/09 47.0029968 BOCI Asia Ltd. – China Mobile European Warrants Feb 2015 C 100,000,000 2014/08/06 2015/02/23 26.0029975 BOCI Asia Ltd. – Galaxy Ent European Warrants Dec 2014 A 100,000,000 2014/08/06 2014/12/22 33.0029971 BOCI Asia Ltd. – HKEx European Warrants Jan 2015 A 100,000,000 2014/08/06 2015/01/12 68.0029973 BOCI Asia Ltd. – HKEx European Warrants Dec 2015 B 100,000,000 2014/08/06 2015/12/28 25.0029976 BOCI Asia Ltd. – HSBC European Warrants Jan 2015 B 100,000,000 2014/08/06 2015/01/12 18.0029967 BOCI Asia Ltd. – ICBC European Warrants Mar 2015 A 100,000,000 2014/08/06 2015/03/02 25.0029993 BNP Paribas Arbit Issu B.V. – Cheung Kong Euro Wt Apr 2015 A 52,000,000 2014/08/06 2015/04/02 13.0029994 BNP Paribas Arbit Issu B.V. – Hutchison Euro Wts Aug 2015 A 78,000,000 2014/08/06 2015/08/04 19.5029995 BNP Paribas Arbit Issu B.V. – Tencent Eu Put Wt Dec 2015 A 100,000,000 2014/08/06 2015/12/02 25.0011402 Credit Suisse AG – CHALCO European Wts Feb 2015 A 50,000,000 2014/08/06 2015/02/06 12.5011401 Credit Suisse AG – Angang Steel European Warrants Feb 2015 A 50,000,000 2014/08/06 2015/02/06 12.5011581 Credit Suisse AG – CC Bank European Put Warrants Jan 2015 B 60,000,000 2014/08/06 2015/01/30 10.2011466 Credit Suisse AG – CITIC Sec European Warrants Dec 2014 A 70,000,000 2014/08/06 2014/12/24 10.5011472 Credit Suisse AG – Cheung Kong European Warrants Jan 2015 A 60,000,000 2014/08/06 2015/01/05 18.0011473 Credit Suisse – Cheung Kong European Put Warrants Feb 2015 A 60,000,000 2014/08/06 2015/02/27 17.4011439 Credit Suisse AG – Ch LongYuan European Warrants Feb 2015 A 50,000,000 2014/08/06 2015/02/06 22.5011565 Credit Suisse AG – China Mobile European Warrants Feb 2015 A 80,000,000 2014/08/06 2015/02/27 20.0011522 Credit Suisse AG – HKEx European Warrants Nov 2014 B 70,000,000 2014/08/06 2014/11/06 28.0011532 Credit Suisse AG – HKEx European Warrants Feb 2015 C 70,000,000 2014/08/06 2015/02/27 36.4029980 Credit Suisse AG – HKEx European Put Warrants Feb 2015 B 80,000,000 2014/08/06 2015/02/27 12.0011541 Credit Suisse AG – HSBC European Wts Nov 2014 B 70,000,000 2014/08/06 2014/11/24 10.5011603 Credit Suisse AG – HSI European Warrants Feb 2015 A 150,000,000 2014/08/06 2015/02/26 37.5011609 Credit Suisse AG – HSI European Put Warrants Jan 2015 B 150,000,000 2014/08/06 2015/01/29 25.5011465 Credit Suisse AG – Haitong Sec European Warrants Aug 2015 A 70,000,000 2014/08/06 2015/08/11 10.5011542 Credit Suisse AG – Hutchison European Warrants Nov 2014 D 80,000,000 2014/08/06 2014/11/24 15.2011554 Credit Suisse AG – Hutchison European Warrants Feb 2015 A 80,000,000 2014/08/06 2015/02/27 20.0011557 Credit Suisse AG – Hutchison European Put Wts Dec 2014 C 70,000,000 2014/08/06 2014/12/24 23.1011379 Credit Suisse AG – ICBC European Warrants Feb 2015 A 50,000,000 2014/08/06 2015/02/06 12.5011590 Credit Suisse AG – ICBC European Put Warrants Jan 2015 A 60,000,000 2014/08/06 2015/01/30 11.4029981 Credit Suisse AG – Jiangxi Copper European Wts Apr 2015 A 70,000,000 2014/08/06 2015/04/20 10.5011511 Credit Suisse AG – SHK Ppt European Warrants Feb 2015 C 60,000,000 2014/08/06 2015/02/27 24.00

Main Board Warrants



11481 Credit Suisse AG – SHK Ppt European Put Warrants Feb 2015 B 60,000,000 2014/08/06 2015/02/27 27.0011455 Credit Suisse AG – Zijin Mining European Warrants Jul 2015 A 60,000,000 2014/08/06 2015/07/31 10.8011075 Daiwa Capital Mkt – Agricultural Bank European Wts Mar 2015 A 108,000,000 2014/08/06 2015/03/02 27.0029956 Daiwa Capital Mkt – BOC HK European Warrants May 2015 A 108,000,000 2014/08/06 2015/05/04 27.0011088 Daiwa Capital Mkt – BOCL European Warrants Apr 2015 A 108,000,000 2014/08/06 2015/04/08 27.0011108 Daiwa Capital Mkt – BOCL European Put Warrants Mar 2015 A 68,000,000 2014/08/06 2015/03/10 17.0029958 Daiwa Capital Mkt – Minsheng Bk European Warrants Feb 2015 A 58,000,000 2014/08/06 2015/02/05 14.5029951 Daiwa Capital Mkt – HKEx European Warrants Mar 2015 B 258,000,000 2014/08/06 2015/03/18 64.5029953 Daiwa Capital Mkt – HKEx European Warrants May 2015 A 208,000,000 2014/08/06 2015/05/04 74.8829954 Daiwa Capital Mkt – HKEx European Put Warrants Mar 2015 C 128,000,000 2014/08/06 2015/03/02 32.0029991 Goldman Sachs SP (Asia) – CITIC Pacific Euro Wts Dec 2015 B 80,000,000 2014/08/06 2015/12/30 20.5629990 Goldman Sachs SP (Asia) – Cheung Kong Euro Wts Feb 2015 A 80,000,000 2014/08/06 2015/02/27 31.1229950 Goldman Sachs SP (Asia) – HSI European Put Wts Jan 2015 C 150,000,000 2014/08/06 2015/01/29 25.6529989 Goldman Sachs SP (Asia) – Hutchison European Wts Jan 2015 A 80,000,000 2014/08/06 2015/01/05 17.0429992 Goldman Sachs SP (Asia) – Shimao Ppt European Wts Jun 2015 A 80,000,000 2014/08/06 2015/06/01 20.0029961 HK Bank – HSI European Warrants Feb 2015 B 200,000,000 2014/08/06 2015/02/26 50.0029962 HK Bank – HSI European Warrants Mar 2015 A 200,000,000 2014/08/06 2015/03/30 50.0029965 HK Bank – HSI European Put Warrants Jan 2015 B 200,000,000 2014/08/06 2015/01/29 38.0011254 J P Morgan SP BV – CC Bank Euro Put Wts May 2015 A 200,000,000 2014/08/06 2015/05/04 50.2011339 J P Morgan SP BV – Cheung Kong European Put Warrants Mar 15B 35,000,000 2014/08/06 2015/03/03 13.1311268 J P Morgan Int’l Der. Ltd. – Sinopec Corp Eu Put Wt Mar 15 A 100,000,000 2014/08/06 2015/03/03 25.6011283 J P Morgan SP BV – Greatwall Motor European Wts Mar 2015 A 100,000,000 2014/08/06 2015/03/03 25.3011304 J P Morgan SP BV – HKEx European Warrants Mar 2015 B 80,000,000 2014/08/06 2015/03/03 20.2411320 J P Morgan SP BV – HKEx European Warrants Dec 2015 B 300,000,000 2014/08/06 2015/12/02 75.3011365 J P Morgan SP BV – Henderson Land Dev European Wt Jul 2015 A 50,000,000 2014/08/06 2015/07/03 12.5011324 J P Morgan Int’l Der. Ltd. – HSCEI European Wts Feb 2015 B 300,000,000 2014/08/06 2015/02/26 75.0011322 J P Morgan SP BV – HSCEI European Put Warrants Feb 2015 A 300,000,000 2014/08/06 2015/02/26 75.3011370 J P Morgan SP BV – HSI European Warrants Mar 2015 B 500,000,000 2014/08/06 2015/03/30 125.0011244 J P Morgan SP BV – ICBC European Put Wts May 2015 A 200,000,000 2014/08/06 2015/05/04 50.6011266 J P Morgan SP BV – Sands China European Warrants Mar 2015 A 100,000,000 2014/08/06 2015/03/03 25.0011366 J P Morgan SP BV – SHK Ppt European Warrants Mar 2015 B 60,000,000 2014/08/06 2015/03/03 15.0611363 J P Morgan SP BV – SHK Ppt European Put Warrants Mar 2015 A 35,000,000 2014/08/06 2015/03/03 12.6411265 J P Morgan SP BV – Wynn Macau European Warrants May 2015 A 80,000,000 2014/08/06 2015/05/04 20.3229978 Standard Chartered Bank – CITIC Sec European Wts Dec 2014 A 80,000,000 2014/08/06 2014/12/24 12.0011241 Standard Chartered Bank – CSOP A50 ETF Euro Wts Mar 2015 B 80,000,000 2014/08/06 2015/03/27 20.0029977 Standard Chartered Bank – HKEx European Put Wts Jun 2015 C 100,000,000 2014/08/06 2015/06/30 25.0011242 Standard Chartered Bank – HSI European Warrants Apr 2015 B 100,000,000 2014/08/06 2015/04/29 25.0011234 Standard Chartered Bank – HSI European Put Wts Feb 2015 B 100,000,000 2014/08/06 2015/02/26 25.0029979 Standard Chartered Bank – Haitong Sec Euro Wts Aug 2015 A 80,000,000 2014/08/06 2015/08/11 12.8011064 Standard Chartered Bank – Tencent Hldg Euro Wts Dec 2014 C 80,000,000 2014/08/06 2014/12/22 15.2011112 SGA Societe Generale Acceptance N.V. – BOCom Eu Wt Mar 2015A 30,000,000 2014/08/06 2015/03/04 10.8011129 SGA Societe Generale Acceptance N.V. – Ch Cinda Eu Wt Mar15A 35,000,000 2014/08/06 2015/03/04 10.1511115 SGA Societe Generale Acceptance N.V. – CK(H) Eu Wt Mar 2015A 40,000,000 2014/08/06 2015/03/04 11.2011132 SGA Societe Generale Acceptance N.V – COVS Eu Wts Aug 2015 A 60,000,000 2014/08/06 2015/08/05 15.00

Main Board Warrants



11188 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jan 15 E 150,000,000 2014/08/06 2015/01/29 23.2511197 SGA Societe Generale Acceptance NV – NewWorld Dev Eu Wt Apr15A 25,000,000 2014/08/06 2015/04/08 10.2511211 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Apr 15 A 100,000,000 2014/08/06 2015/04/08 25.0029998 UBS AG – Cheung Kong European Warrants Feb 2015 A 50,000,000 2014/08/06 2015/02/09 16.5011063 UBS AG – Cheung Kong European Put Warrants Jan 2015 A 50,000,000 2014/08/06 2015/01/27 12.5029986 UBS AG – China Life European Warrants May 2015 A 100,000,000 2014/08/06 2015/05/27 15.0029996 UBS AG – A50 China European Put Warrants Aug 2016 C 100,000,000 2014/08/06 2016/08/23 15.0029982 UBS AG – HSCEI European Put Warrants Feb 2015 A 100,000,000 2014/08/06 2015/02/26 25.0029983 UBS AG – HSCEI European Put Warrants Mar 2015 A 100,000,000 2014/08/06 2015/03/30 25.0029988 UBS AG – HSI European Warrants Feb 2015 B 300,000,000 2014/08/06 2015/02/26 75.0029999 UBS AG – HSI European Warrants Jun 2015 B 300,000,000 2014/08/06 2015/06/29 75.0029985 UBS AG – HSI European Put Warrants Jan 2015 C 300,000,000 2014/08/06 2015/01/29 55.5029984 UBS AG – HSI European Put Warrants Feb 2015 A 300,000,000 2014/08/06 2015/02/26 75.0029997 UBS AG – Hutchison European Warrants Feb 2015 B 100,000,000 2014/08/06 2015/02/09 25.0011045 UBS AG – Hutchison European Put Warrants Dec 2014 B 50,000,000 2014/08/06 2014/12/24 15.0029987 UBS AG – SHK Ppt European Warrants Feb 2015 A 50,000,000 2014/08/06 2015/02/09 15.0012204 BNP Paribas Arbit Issu B.V. – BOCL European Wts Mar 2015 A 100,000,000 2014/08/07 2015/03/03 25.0012211 BNP Paribas Arbit Issu B.V. – CM Bank Euro Warrants Jun 2016 A 100,000,000 2014/08/07 2016/06/02 25.0012209 BNP Paribas Arbit Issu B.V. – Jiangxi Copper Eu Wt May 2016A 100,000,000 2014/08/07 2016/05/04 25.0011864 Credit Suisse AG – Agricultural Bank European Wts Feb 2015 A 60,000,000 2014/08/07 2015/02/27 15.0011879 Credit Suisse AG – BOCL European Warrants Mar 2015 B 60,000,000 2014/08/07 2015/03/30 15.0012170 Credit Suisse AG – BankComm European Warrants Feb 2015 A 60,000,000 2014/08/07 2015/02/27 19.8011848 Credit Suisse AG – CC Bank European Warrants Feb 2015 A 60,000,000 2014/08/07 2015/02/09 15.0011957 Credit Suisse AG – China Coal European Warrants Dec 2014 A 70,000,000 2014/08/07 2014/12/24 10.5012156 Credit Suisse AG – Minsheng Bank European Wts Feb 2015 A 60,000,000 2014/08/07 2015/02/27 25.2012171 Credit Suisse AG – CSOP A50 ETF European Warrants Feb 2015 C 80,000,000 2014/08/07 2015/02/27 20.0012184 Credit Suisse AG – A50 China European Warrants Feb 2015 C 80,000,000 2014/08/07 2015/02/27 20.0012154 Credit Suisse AG – Galaxy Ent European Warrants Jan 2015 A 70,000,000 2014/08/07 2015/01/30 21.7011898 Credit Suisse AG – HKEx European Warrants Feb 2015 D 80,000,000 2014/08/07 2015/02/09 29.6011907 Credit Suisse AG – HKEx European Warrants Feb 2015 E 80,000,000 2014/08/07 2015/02/27 22.4012147 Credit Suisse AG – Sands China European Warrants Dec 2014 A 70,000,000 2014/08/07 2014/12/24 16.8012161 Credit Suisse AG – SHK Ppt European Warrants Feb 2015 D 60,000,000 2014/08/07 2015/02/27 16.2011917 Credit Suisse AG – Yanzhou Coal European Warrants Feb 2015 A 70,000,000 2014/08/07 2015/02/27 18.2011841 Daiwa Capital Mkt – Ch Overseas European Put Wts May 2015 A 80,000,000 2014/08/07 2015/05/04 20.0011809 Daiwa Capital Mkt – CSOP A50 ETF European Wts Feb 2015 A 68,000,000 2014/08/07 2015/02/06 17.0012225 Bank of East Asia – CM Bank European Warrants Jun 2015 B 40,000,000 2014/08/07 2015/06/18 10.0012226 Bank of East Asia – HKEx European Warrants Sep 2015 B 40,000,000 2014/08/07 2015/09/30 10.0012217 Goldman Sachs SP (Asia) – China Agri European Warrants Feb15A 60,000,000 2014/08/07 2015/02/26 15.0012216 Goldman Sachs SP (Asia) – Chi Resources Euro Wt Mar 2015 A 80,000,000 2014/08/07 2015/03/30 20.0012214 Goldman Sachs SP (Asia) – HKEx European Warrants Feb 2015 A 60,000,000 2014/08/07 2015/02/09 36.2411847 Goldman Sachs SP (Asia) – HSI European Warrants Jul 2015 B 180,000,000 2014/08/07 2015/07/30 46.0811710 HK Bank – China Life European Warrants Jun 2015 A 100,000,000 2014/08/07 2015/06/30 25.0011616 HK Bank – China Mobile European Put Warrants Feb 2015 B 80,000,000 2014/08/07 2015/02/09 20.0011718 HK Bank – HSI European Warrants Mar 2015 B 200,000,000 2014/08/07 2015/03/30 50.00

Main Board Warrants



11694 HK Bank – SHK Ppt European Warrants Apr 2015 A 80,000,000 2014/08/07 2015/04/30 20.0012185 J P Morgan SP BV – HSI European Put Warrants Feb 2015 C 500,000,000 2014/08/07 2015/02/26 125.0011612 Macquarie Bank Ltd. – HKEx European Warrants Jan 2015 C 30,000,000 2014/08/07 2015/01/07 10.5911613 Macquarie Bank Ltd. – HKEx European Warrants Jul 2016 A 40,000,000 2014/08/07 2016/07/05 10.0011782 Standard Chartered Bank – China Overseas Euro Wt Jul 2015 A 100,000,000 2014/08/07 2015/07/27 22.0012105 Standard Chartered Bank – Ch Overseas Eur Put Wts Apr 2015 A 100,000,000 2014/08/07 2015/04/08 25.0012103 Standard Chartered Bank – Sinopec Corp Euro Wts Mar 2015 A 100,000,000 2014/08/07 2015/03/23 23.0012102 Standard Chartered Bank – Sinopec Corp Eu Put Wt Jun 2016 A 100,000,000 2014/08/07 2016/06/03 25.0011771 Standard Chartered Bank – HSCEI European Warrants Feb 2015 B 100,000,000 2014/08/07 2015/02/26 25.0012101 Standard Chartered Bank – ICBC European Warrants Mar 2015 A 100,000,000 2014/08/07 2015/03/23 25.0012141 Standard Chartered Bank – ICBC European Put Wts Jan 2015 A 100,000,000 2014/08/07 2015/01/29 19.6011783 Standard Chartered Bank – Tencent Hldg Euro Wts Dec 2014 D 80,000,000 2014/08/07 2014/12/16 25.6012134 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Jan 2016 A 100,000,000 2014/08/07 2016/01/04 20.5012136 SGA Societe Generale Acceptance N.V. – CLife Eu Put Wt Mar15A 100,000,000 2014/08/07 2015/03/04 19.5012137 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Feb 15 C 70,000,000 2014/08/07 2015/02/04 12.2512125 SGA Societe Generale Acceptance NV – Ch Ship Cont Eu Wt Oct15A 55,000,000 2014/08/07 2015/10/05 15.4012108 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Put Wt Sep16A 300,000,000 2014/08/07 2016/09/05 46.5012138 SGA Societe Generale Acceptance N.V. – Galaxy Eu Put Wt Feb15B 70,000,000 2014/08/07 2015/02/04 29.4012119 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Dec 2014 B 30,000,000 2014/08/07 2014/12/03 18.6012139 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Mar 2015 A 80,000,000 2014/08/07 2015/03/04 20.0012198 UBS AG – CAM CSI300 European Warrants Aug 2015 A 40,000,000 2014/08/07 2015/08/24 10.0012199 UBS AG – BankComm European Warrants Feb 2015 A 40,000,000 2014/08/07 2015/02/09 10.0012194 UBS AG – A50 China European Warrants Feb 2015 A 50,000,000 2014/08/07 2015/02/09 12.5012380 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Mar 2015 A 100,000,000 2014/08/08 2015/03/03 25.0012367 BNP Paribas Arbit Issu B.V. – HSI European Wts Apr 2015 A 100,000,000 2014/08/08 2015/04/29 25.0012378 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts Jan 2015 B 100,000,000 2014/08/08 2015/01/29 19.0012406 Credit Suisse AG – AIA European Warrants Mar 2015 A 80,000,000 2014/08/08 2015/03/30 17.6012432 Credit Suisse AG – AIA European Warrants Apr 2015 A 80,000,000 2014/08/08 2015/04/20 20.0012385 Credit Suisse AG – China EB Int’l European Wts Mar 2015 B 70,000,000 2014/08/08 2015/03/30 10.5012434 Credit Suisse AG – CITIC Bank European Warrants Feb 2015 A 70,000,000 2014/08/08 2015/02/27 20.3012383 Credit Suisse AG – Cheung Kong European Warrants Dec 2014 C 70,000,000 2014/08/08 2014/12/24 19.6012485 Credit Suisse AG – China Shenhua European Wts Apr 2015 A 70,000,000 2014/08/08 2015/04/29 17.5012399 Credit Suisse AG – Esprit European Warrants Dec 2015 A 60,000,000 2014/08/08 2015/12/28 13.8012307 Credit Suisse AG – HKEx European Warrants Jun 2015 C 120,000,000 2014/08/08 2015/06/29 30.0012308 Credit Suisse AG – HKEx European Warrants Sep 2015 C 120,000,000 2014/08/08 2015/09/30 30.0012290 Daiwa Capital Mkt – A50 China European Warrants Nov 2014 D 108,000,000 2014/08/08 2014/11/25 16.2012257 Goldman Sachs SP (Asia) – BankComm European Wts Apr 2015 A 80,000,000 2014/08/08 2015/04/30 23.8412256 Goldman Sachs SP (Asia) – Ch Ship Cont European Wts Mar 15 A 80,000,000 2014/08/08 2015/03/30 23.4412505 Goldman Sachs SP (Asia) – CSR Times European Wts Mar 2015 A 80,000,000 2014/08/08 2015/03/30 24.6412258 Goldman Sachs SP (Asia) – A50 China European Wts Nov 2014 A 80,000,000 2014/08/08 2014/11/25 12.9612493 Goldman Sachs Sp (Asia) – ICBC European Warrants Sep 2016 A 80,000,000 2014/08/08 2016/09/30 36.0012253 Goldman Sachs SP (Asia) – Shunfeng Pv European Wts Jun15A 40,000,000 2014/08/08 2015/06/30 10.6012513 Goldman Sachs SP (Asia) – SHK Ppt European Wts Feb 2015 B 80,000,000 2014/08/08 2015/02/27 20.0012491 J P Morgan SP BV – China Unicom European Warrants Dec 2016 B 200,000,000 2014/08/08 2016/12/30 50.20

Main Board Warrants



12323 J P Morgan SP BV – A50 China European Warrants Dec 2014 D 100,000,000 2014/08/08 2014/12/01 15.1012314 J P Morgan SP BV – HKEx European Warrants Aug 2018 A 300,000,000 2014/08/08 2018/08/01 75.6012232 Macquarie Bank Ltd. – New World Dev European Wts May 2015 A 40,000,000 2014/08/08 2015/05/05 10.0012229 Macquarie Bank Ltd. – SHK Ppt European Warrants May 2015 A 40,000,000 2014/08/08 2015/05/05 10.0012282 Standard Chartered Bank – Sinopec Corp Eu Put Wt May 2015 A 60,000,000 2014/08/08 2015/05/04 18.0012261 Standard Chartered Bank – PetroChina European Wts Jan 2015 A 80,000,000 2014/08/08 2015/01/28 14.4012280 Standard Chartered Bank – PetroChina Euro Put Wts May 2015 A 50,000,000 2014/08/08 2015/05/04 27.5012242 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Oct18A 300,000,000 2014/08/08 2018/10/03 45.0012252 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Dec 2014D 70,000,000 2014/08/08 2014/12/03 10.5012363 UBS AG – China Overseas European Warrants Jul 2015 B 50,000,000 2014/08/08 2015/07/13 12.5012364 UBS AG – Evergrande European Warrants Feb 2015 A 40,000,000 2014/08/08 2015/02/09 14.0012335 UBS AG – Geely Auto European Warrants Feb 2015 A 40,000,000 2014/08/08 2015/02/09 10.0012739 BNP Paribas Arbit Issu B.V. – China EB Ltd Eu Wt Dec 2016 A 40,000,000 2014/08/11 2016/12/02 10.0012740 BNP Paribas Arbit Issu B.V. – CITIC Bank Euro Wts Mar 2015 A 56,000,000 2014/08/11 2015/03/03 14.0012785 BNP Paribas Arbit Issu B.V. – Shunfeng Pv Euro Wts Jul15A 88,000,000 2014/08/11 2015/07/03 22.0012824 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Jan 2015 A 100,000,000 2014/08/11 2015/01/23 15.0012788 Citigroup Global Mkt H Inc. – HKEx European Wts Nov 2015 A 200,000,000 2014/08/11 2015/11/23 50.0012814 Citigroup Global Mkt H Inc. – PetroChina Euro Wts Jan 2015 A 80,000,000 2014/08/11 2015/01/15 17.6012696 Goldman Sachs SP (Asia) – CGS European Warrants Mar 2015 A 50,000,000 2014/08/11 2015/03/30 30.1012732 Goldman Sachs SP (Asia) – CITIC Sec European Wts May 2015 A 80,000,000 2014/08/11 2015/05/28 20.0012587 Goldman Sachs SP (Asia) – HSI European Warrants Jan 2015 D 150,000,000 2014/08/11 2015/01/29 28.3512726 Goldman Sachs SP (Asia) – Haitong Sec Euro Wts Aug 2015 A 80,000,000 2014/08/11 2015/08/11 12.9612550 HK Bank – BYD European Warrants Feb 2015 A 60,000,000 2014/08/11 2015/02/16 17.4012528 HK Bank – China Mobile European Warrants Jan 2015 B 80,000,000 2014/08/11 2015/01/23 12.8012564 HK Bank – CSOP A50 ETF European Warrants Mar 2015 A 60,000,000 2014/08/11 2015/03/02 16.8012537 HK Bank – China Tel European Warrants Jan 2015 A 50,000,000 2014/08/11 2015/01/27 12.5012547 HK Bank – ICBC European Warrants Feb 2015 A 60,000,000 2014/08/11 2015/02/23 15.6012655 J P Morgan SP BV – CHALCO European Warrants Mar 2015 A 40,000,000 2014/08/11 2015/03/03 10.0412686 J P Morgan SP BV – Hanergy Solar European Warrants Mar 2015A 100,000,000 2014/08/11 2015/03/03 25.3012680 J P Morgan SP BV – Singyes Solar European Warrants May 2015A 80,000,000 2014/08/11 2015/05/04 20.3212594 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Apr 2015 A 40,000,000 2014/08/11 2015/04/02 10.0012626 Macquarie Bank Ltd. – A50 China European Warrants Apr 2015 A 40,000,000 2014/08/11 2015/04/02 10.0012585 Macquarie Bank Ltd. – MTRC European Warrants Mar 2016 A 40,000,000 2014/08/11 2016/03/02 10.0012586 Macquarie Bank Ltd. – Shenzhen Int’l European Wts Feb 2016 A 40,000,000 2014/08/11 2016/02/02 10.0012940 BOCI Asia Ltd. – BYD European Warrants Dec 2016 A 100,000,000 2014/08/12 2016/12/21 18.0012916 BOCI Asia Ltd. – China Life European Put Warrants Feb 2015 A 100,000,000 2014/08/12 2015/02/24 17.0012900 BOCI Asia Ltd. – Kingsoft European Warrants Feb 2015 A 100,000,000 2014/08/12 2015/02/23 26.0012933 BOCI Asia Ltd. – SHK Ppt European Warrants May 2015 A 100,000,000 2014/08/12 2015/05/26 30.0012941 BOCI Asia Ltd. – Tencent Holdings European Wts Feb 2015 A 100,000,000 2014/08/12 2015/02/02 35.0013047 BNP Paribas Arbit Issu B.V. – BankComm Euro Wts Mar 2015 A 39,000,000 2014/08/12 2015/03/03 10.5313036 BNP Paribas Arbit Issu B.V. – HSBC European Wts May 2015 A 100,000,000 2014/08/12 2015/05/05 26.0012863 Credit Suisse AG – BYD European Warrants Feb 2015 A 60,000,000 2014/08/12 2015/02/11 19.2012862 Credit Suisse AG – China Life European Warrants May 2015 A 70,000,000 2014/08/12 2015/05/29 10.5013027 Credit Suisse AG – Singyes Solar European Warrants Apr 2015A 50,000,000 2014/08/12 2015/04/27 12.50

Main Board Warrants



13057 Credit Suisse AG – Tencent Holdings European Wts Nov 2014 H 100,000,000 2014/08/12 2014/11/28 21.0013111 Credit Suisse AG – Tencent Holdings European Wts Jan 2015 C 100,000,000 2014/08/12 2015/01/30 15.0013028 Daiwa Capital Mkt – Kingsoft European Warrants Mar 2015 A 80,000,000 2014/08/12 2015/03/10 20.0013030 Goldman Sachs SP (Asia) – CM Bank European Wts Dec 2016 A 80,000,000 2014/08/12 2016/12/28 20.0813034 Goldman Sachs SP (Asia) – New World Dev Euro Wts Feb 2015 A 80,000,000 2014/08/12 2015/02/27 29.3613021 HK Bank – A50 China European Warrants Jan 2015 B 60,000,000 2014/08/12 2015/01/28 18.6013003 HK Bank – HKEx European Warrants Jan 2015 B 60,000,000 2014/08/12 2015/01/07 43.2013004 HK Bank – HKEx European Warrants Feb 2015 A 60,000,000 2014/08/12 2015/02/16 27.0013194 J P Morgan SP BV – Evergrande European Warrants Mar 2015 A 100,000,000 2014/08/12 2015/03/03 25.4013165 J P Morgan SP BV – R&F Ppt European Warrants Jun 2016 A 100,000,000 2014/08/12 2016/06/02 25.1013164 J P Morgan SP BV – HSBC European Warrants Dec 2014 D 200,000,000 2014/08/12 2014/12/30 30.8013159 J P Morgan SP BV – Tencent European Put Warrants Aug 2015 A 300,000,000 2014/08/12 2015/08/31 55.8013196 J P Morgan SP BV – Yanzhou Coal European Warrants Mar 2015 A 36,000,000 2014/08/12 2015/03/03 10.2612830 Macquarie Bank Ltd. – CNBM European Warrants Mar 2015 A 25,000,000 2014/08/12 2015/03/03 10.0012832 Macquarie Bank Ltd. – Tencent European Put Wts Mar 2015 A 25,000,000 2014/08/12 2015/03/03 10.0012952 Standard Chartered Bank – AIA European Put Wts Jan 2015 A 80,000,000 2014/08/12 2015/01/28 12.0012982 Standard Chartered Bank – China Coal European Wts Mar 2015 A 40,000,000 2014/08/12 2015/03/04 12.0012986 Standard Chartered Bank – CGS European Warrants Nov 2015 A 100,000,000 2014/08/12 2015/11/25 15.0013002 Standard Chartered Bank – CSOP A50 ETF Euro Wts Feb 2015 A 80,000,000 2014/08/12 2015/02/26 19.2013137 UBS AG – HSBC European Warrants Jan 2015 C 100,000,000 2014/08/12 2015/01/08 18.0013127 UBS AG – Kingsoft European Warrants Jan 2015 A 100,000,000 2014/08/12 2015/01/23 15.0013128 UBS AG – Tencent Holdings European Warrants Nov 2014 F 100,000,000 2014/08/12 2014/11/25 23.0013407 Credit Suisse AG – China Mobile European Put Wts Jan 2015 E 70,000,000 2014/08/13 2015/01/30 10.5013295 Credit Suisse AG – HKEx European Warrants Mar 2015 A 120,000,000 2014/08/13 2015/03/11 25.2013373 Credit Suisse AG – HSBC European Put Warrants Dec 2014 B 70,000,000 2014/08/13 2014/12/22 10.5013409 Goldman Sachs SP (Asia) – China Coal European Wts Feb 2015 A 80,000,000 2014/08/13 2015/02/27 24.6413410 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jan 2015 B 80,000,000 2014/08/13 2015/01/30 12.0013271 HK Bank – Minsheng Bank European Warrants Feb 2015 B 50,000,000 2014/08/13 2015/02/23 13.0013263 HK Bank – CSOP A50 ETF European Warrants Sep 2015 A 150,000,000 2014/08/13 2015/09/30 22.5013264 HK Bank – Greatwall Motor European Warrants Feb 2015 A 60,000,000 2014/08/13 2015/02/27 15.0013412 J P Morgan SP BV – China Everbright European Wts Nov 2015 A 80,000,000 2014/08/13 2015/11/03 20.4013413 J P Morgan SP BV – CM Bank European Warrants Oct 2016 A 100,000,000 2014/08/13 2016/10/04 25.2013253 J P Morgan SP BV – Tencent European Warrants Oct 2015 A 500,000,000 2014/08/13 2015/10/02 125.0013368 J P Morgan SP BV – Tencent European Put Warrants Apr 2015 B 300,000,000 2014/08/13 2015/04/01 75.0013240 Macquarie Bank Ltd. – China Shenhua European Wts Jun 2015 A 40,000,000 2014/08/13 2015/06/02 10.0013307 Standard Chartered Bank – Sinopec Corp Euro Wts Dec 2014 B 100,000,000 2014/08/13 2014/12/24 22.0013327 Standard Chartered Bank – Chi Resources European Wts Mar15A 80,000,000 2014/08/13 2015/03/16 20.0013325 Standard Chartered Bank – HSBC European Warrants Apr 2015 B 100,000,000 2014/08/13 2015/04/01 25.0013330 Standard Chartered Bank – Hang Seng Bank European Wts Jun15A 40,000,000 2014/08/13 2015/06/30 10.4013337 UBS AG – CSOP A50 ETF European Warrants Feb 2015 B 40,000,000 2014/08/13 2015/02/23 10.0013294 UBS AG – China Unicom European Warrants Nov 2016 A 100,000,000 2014/08/13 2016/11/14 25.0013371 UBS AG – Sands China European Warrants Dec 2014 C 60,000,000 2014/08/13 2014/12/31 10.8013338 UBS AG – Shunfeng Pv European Warrants Feb 2015 A 50,000,000 2014/08/13 2015/02/18 11.5013370 UBS AG – Tencent Holdings European Put Warrants Feb 2015 B 50,000,000 2014/08/13 2015/02/13 20.00

Main Board Warrants



15995 # Goldman Sachs SP (Asia) – HKEx European Warrants Jun 2015 A 150,000,000 2014/08/13 2015/06/30 36.7513456 BOCI Asia Ltd. – Agricultural Bk European Wts Mar 2015 A 100,000,000 2014/08/14 2015/03/02 22.0013462 BOCI Asia Ltd. – BOCL European Warrants Mar 2015 A 100,000,000 2014/08/14 2015/03/30 22.0013445 BOCI Asia Ltd. – CM Bank European Warrants Feb 2016 A 100,000,000 2014/08/14 2016/02/29 25.0013446 BOCI Asia Ltd. – HKEx European Warrants Nov 2015 B 100,000,000 2014/08/14 2015/11/30 18.0013483 BOCI Asia Ltd. – HSCEI European Warrants Feb 2015 A 100,000,000 2014/08/14 2015/02/26 18.0013485 BOCI Asia Ltd. – HSCEI European Put Warrants Feb 2015 B 100,000,000 2014/08/14 2015/02/26 19.0013469 BOCI Asia Ltd. – HSI European Warrants Jan 2015 B 100,000,000 2014/08/14 2015/01/29 19.0013482 BOCI Asia Ltd. – HSI European Put Warrants Jan 2015 C 100,000,000 2014/08/14 2015/01/29 15.0013559 Credit Suisse AG – Galaxy Ent European Warrants Dec 2014 A 80,000,000 2014/08/14 2014/12/24 22.4013561 Credit Suisse AG – Sands China European Warrants Feb 2015 A 80,000,000 2014/08/14 2015/02/27 20.8013668 Citigroup Global Mkt H Inc. – Ping An Euro Wts Jan 2015 A 100,000,000 2014/08/14 2015/01/23 18.0013568 Daiwa Capital Mkt – Tencent Holdings Euro Put Wts Apr 2015 A 98,000,000 2014/08/14 2015/04/15 24.5013625 Goldman Sachs SP (Asia) – Anhui Conch Euro Wts Mar 2015 A 80,000,000 2014/08/14 2015/03/27 20.5613623 Goldman Sachs SP (Asia) – Brilliance Chi Euro Wts Sep 2015 A 80,000,000 2014/08/14 2015/09/29 20.3213658 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts Jan 2015 B 80,000,000 2014/08/14 2015/01/05 41.0413624 Goldman Sachs SP (Asia) – Poly HK Inv Euro Wts Mar 2015 A 80,000,000 2014/08/14 2015/03/27 21.6813665 Goldman Sachs SP (Asia) – Sands China Euro Wts Feb 2015 A 80,000,000 2014/08/14 2015/02/27 30.8013592 J P Morgan SP BV – HKEx European Warrants Feb 2015 A 80,000,000 2014/08/14 2015/02/03 22.4013441 Macquarie Bank Ltd. – BankComm European Warrants Mar 2015 A 40,000,000 2014/08/14 2015/03/03 10.0013423 Macquarie Bank Ltd. – CGS European Warrants Dec 2015 A 70,000,000 2014/08/14 2015/12/02 10.5013440 Macquarie Bank Ltd. – Minsheng Bank European Wts Mar 2015 A 40,000,000 2014/08/14 2015/03/03 10.0013531 Macquarie Bank Ltd. – Galaxy Ent European Wts Feb 2015 B 50,000,000 2014/08/14 2015/02/03 10.0513433 Macquarie Bank Ltd. – Hang Seng Bank European Wts Jul 2015 A 40,000,000 2014/08/14 2015/07/03 10.0013424 Macquarie Bank Ltd. – New World Dev European Wts Apr 2015 A 40,000,000 2014/08/14 2015/04/02 10.0013542 Macquarie Bank Ltd. – Sands China European Wts Jan 2015 A 50,000,000 2014/08/14 2015/01/05 10.0013504 Standard Chartered Bank – CHALCO European Warrants Feb 2015A 40,000,000 2014/08/14 2015/02/17 10.0013486 Standard Chartered Bank – Angang Steel European Wts Feb15A 40,000,000 2014/08/14 2015/02/17 10.0013584 Standard Chartered Bank – China EB Int’l Euro Wts Mar 2015 A 80,000,000 2014/08/14 2015/03/30 12.0013580 Standard Chartered Bank – CITIC Pacific Euro Wts Sep 2015 A 80,000,000 2014/08/14 2015/09/03 20.0013593 Standard Chartered Bank – Galaxy Ent European Wts Nov 2014 B 60,000,000 2014/08/14 2014/11/14 16.2013505 Standard Chartered Bank – HSI European Warrants Dec 2014 E 100,000,000 2014/08/14 2014/12/30 17.0013602 Standard Chartered Bank – Sands China Euro Wts Nov 2014 B 80,000,000 2014/08/14 2014/11/24 20.0013524 UBS AG – CITIC Bank European Warrants Feb 2015 A 40,000,000 2014/08/14 2015/02/13 10.0013414 UBS AG – Sinopec Corp European Warrants Dec 2014 B 70,000,000 2014/08/14 2014/12/24 10.5013523 UBS AG – HKEx European Warrants Feb 2015 C 80,000,000 2014/08/14 2015/02/16 32.0013525 UBS AG – SJM Holdings European Warrants May 2015 A 40,000,000 2014/08/14 2015/05/11 10.0013522 UBS AG – Tencent Holdings European Warrants Jan 2015 B 100,000,000 2014/08/14 2015/01/05 15.0013679 BOCI Asia Ltd. – Galaxy Ent European Warrants Jan 2015 A 100,000,000 2014/08/15 2015/01/05 35.0013677 BOCI Asia Ltd. – Sands China European Warrants Feb 2015 A 100,000,000 2014/08/15 2015/02/23 36.0013678 BOCI Asia Ltd. – Tencent Holdings European Wts Dec 2014 C 100,000,000 2014/08/15 2014/12/29 25.0013771 Daiwa Capital Mkt – China Telecom European Wts Feb 2015 A 80,000,000 2014/08/15 2015/02/11 12.0013762 Daiwa Capital Mkt – Galaxy Ent European Warrants Feb 2015 A 98,000,000 2014/08/15 2015/02/16 34.3013766 Daiwa Capital Mkt – Galaxy Ent European Put Wts Mar 2015 A 80,000,000 2014/08/15 2015/03/02 20.00

Main Board Warrants



13792 Daiwa Capital Mkt – Sands China European Warrants Feb 2015 A 98,000,000 2014/08/15 2015/02/25 34.3013793 Daiwa Capital Mkt – Sands China European Put Wts Feb 2015 B 80,000,000 2014/08/15 2015/02/16 20.0013794 Goldman Sachs SP (Asia) – HKEx European Warrants Jan 2015 B 80,000,000 2014/08/15 2015/01/07 60.8813795 Goldman Sachs SP (Asia) – HSBC European Warrants Feb 2015 A 80,000,000 2014/08/15 2015/02/27 20.0013724 Macquarie Bank Ltd. – Agricultural Bk Euro Warrants Mar 2015 A 40,000,000 2014/08/15 2015/03/03 10.0013738 Macquarie Bank Ltd. – BOCHK European Warrants Mar 2015 A 40,000,000 2014/08/15 2015/03/02 10.0013719 Macquarie Bank Ltd. – China EB Ltd Euro Warrants Aug 2015 A 40,000,000 2014/08/15 2015/08/04 10.0013736 Macquarie Bank Ltd. – CM Bank European Warrants Mar 2015 A 40,000,000 2014/08/15 2015/03/02 10.0013717 Macquarie Bank Ltd. – China Overseas European Wts Oct 2015 A 40,000,000 2014/08/15 2015/10/05 10.0013672 Macquarie Bank Ltd. – Foxconn European Warrants Mar 2015 A 25,000,000 2014/08/15 2015/03/03 10.0013673 Macquarie Bank Ltd. – Sinopec Seg European Wts Jun 2016 A 40,000,000 2014/08/15 2016/06/02 10.0013716 Standard Chartered Bank – HKEx European Warrants Jun 2015 D 100,000,000 2014/08/15 2015/06/22 25.0013702 Standard Chartered Bank – HKEx European Warrants Aug 2015 A 100,000,000 2014/08/15 2015/08/18 25.0013699 Standard Chartered Bank – Shimao Ppt European Wts Jul 2015 A 100,000,000 2014/08/15 2015/07/02 25.0013756 UBS AG – CITIC Pacific European Warrants Dec 2015 B 40,000,000 2014/08/15 2015/12/14 10.0013755 UBS AG – Cheung Kong European Warrants Dec 2014 D 50,000,000 2014/08/15 2014/12/22 21.0013675 UBS AG – Tencent Holdings European Put Warrants Apr 2015 A 500,000,000 2014/08/15 2015/04/29 75.0013871 Credit Suisse AG – Fosun Intl European Warrants Aug 2015 A 70,000,000 2014/08/18 2015/08/11 10.5013895 Citigroup Global Mkt H Inc. – Hutchison Euro Wts Feb 2015 A 50,000,000 2014/08/18 2015/02/26 12.5013882 Goldman Sachs SP (Asia) – AIA European Warrants Feb 2015 A 80,000,000 2014/08/18 2015/02/27 20.2413877 Goldman Sachs SP (Asia) – Ch Overseas European Wts Jun 2015 A 80,000,000 2014/08/18 2015/06/30 20.0813874 Goldman Sachs SP (Asia) – HKEx European Put Wts Jun 2015 C 80,000,000 2014/08/18 2015/06/30 20.4013848 HK Bank – Galaxy Ent European Warrants Feb 2015 A 60,000,000 2014/08/18 2015/02/27 15.0013834 HK Bank – HSI European Warrants Jan 2015 C 200,000,000 2014/08/18 2015/01/29 30.0013820 HK Bank – HSI European Warrants Feb 2015 C 200,000,000 2014/08/18 2015/02/26 50.0013829 HK Bank – HSI European Warrants Feb 2015 D 200,000,000 2014/08/18 2015/02/26 50.0013837 HK Bank – HSI European Put Warrants Jan 2015 D 200,000,000 2014/08/18 2015/01/29 30.0013863 HK Bank – Sands China European Warrants Mar 2015 A 60,000,000 2014/08/18 2015/03/02 15.0013886 J P Morgan SP BV – Sinopec Corp European Warrants Feb 2015 A 100,000,000 2014/08/18 2015/02/02 26.7013884 J P Morgan SP BV – Galaxy Ent European Put Wts Mar 2015 A 100,000,000 2014/08/18 2015/03/03 39.1013796 Macquarie Bank Ltd. – AAC Acoustic European Wts Mar 2015 A 25,000,000 2014/08/18 2015/03/03 10.0013797 Macquarie Bank Ltd. – Hutchison European Warrants Mar 2015 A 30,000,000 2014/08/18 2015/03/03 10.0213733 # J P Morgan SP BV – Galaxy Ent European Warrants Jul 2015 A 300,000,000 2014/08/18 2015/07/02 18.9014021 Credit Suisse AG – Galaxy Ent European Put Wts Jan 2015 B 60,000,000 2014/08/19 2015/01/30 13.8014031 Credit Suisse – Huaneng Power European Warrants Jan 2015 A 60,000,000 2014/08/19 2015/01/27 16.8014023 Credit Suisse AG – Lenovo European Warrants Feb 2015 A 60,000,000 2014/08/19 2015/02/27 27.6014022 Credit Suisse AG – Sands China European Put Wts Feb 2015 B 60,000,000 2014/08/19 2015/02/27 15.0014035 Citigroup Global Mkt H Inc. – AIA European Wts Dec 2014 A 100,000,000 2014/08/19 2014/12/24 15.0014050 Citigroup Global Mkt H Inc. – A50 China Euro Wts Dec 2014 C 100,000,000 2014/08/19 2014/12/12 35.0014014 Citigroup Global Mkt H Inc. – HKEx European Wts Jan 2015 B 50,000,000 2014/08/19 2015/01/28 30.0013998 Citigroup Global Mkt H Inc. – HKEx European Wts Feb 2015 A 50,000,000 2014/08/19 2015/02/18 25.0014066 Citigroup Global Mkt H Inc. – HKEx European Wts Dec 2015 B 200,000,000 2014/08/19 2015/12/24 50.0013915 HK Bank – China Overseas European Warrants Jun 2015 A 60,000,000 2014/08/19 2015/06/30 15.0013914 HK Bank – China Unicom European Warrants Dec 2016 A 60,000,000 2014/08/19 2016/12/21 11.40

Main Board Warrants



13901 HK Bank – HKEx European Warrants Nov 2015 A 150,000,000 2014/08/19 2015/11/25 34.5013921 HK Bank – Zijin Mining European Warrants Jul 2015 A 40,000,000 2014/08/19 2015/07/31 10.0014071 J P Morgan SP BV – CSOP A50 ETF European Warrants Oct 2018 A 300,000,000 2014/08/19 2018/10/02 47.7014076 J P Morgan SP BV – A50 China European Warrants Oct 2018 A 300,000,000 2014/08/19 2018/10/02 45.0014068 J P Morgan SP BV – ICBC European Warrants Mar 2015 A 100,000,000 2014/08/19 2015/03/02 15.6013955 Standard Chartered Bank – Agricultural Bk Eur Wts Feb 2015 B 80,000,000 2014/08/19 2015/02/18 12.0013950 Standard Chartered Bank – CC Bank European Put Wts Apr 2015A 60,000,000 2014/08/19 2015/04/01 15.0013967 Standard Chartered Bank – HSCEI European Put Wts Mar 2015 A 100,000,000 2014/08/19 2015/03/30 25.0014020 Standard Chartered Bank – KECL European Put Warrants Aug 15A 80,000,000 2014/08/19 2015/08/04 20.0013946 Standard Chartered Bank – Tencent Hldg Eu Put Wts Aug 2015 A 120,000,000 2014/08/19 2015/08/24 26.4013987 Standard Chartered Bank – YZ Coal European Wts Jan 2015 A 50,000,000 2014/08/19 2015/01/28 10.0013930 UBS AG – Kingsoft European Put Warrants Dec 2014 B 60,000,000 2014/08/19 2014/12/24 10.2013926 UBS AG – Lenovo European Warrants Feb 2015 A 40,000,000 2014/08/19 2015/02/18 13.2010297 BNP Paribas Arbit Issu B.V. – Nikkei 225 Index Eu Wt Dec14 A 100,000,000 2014/08/20 2014/12/12 21.0010296 BNP Paribas Arbit Issu B.V. – Nikkei 225 Eu Put Wt Mar 2015A 100,000,000 2014/08/20 2015/03/13 38.0014161 Credit Suisse AG – HKEx European Put Warrants Feb 2015 F 100,000,000 2014/08/20 2015/02/27 18.0014369 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Feb 2015 B 100,000,000 2014/08/20 2015/02/23 25.0014314 Citigroup Global Mkt H Inc. – Sinopec Corp Eu Wts Dec 2014 B 100,000,000 2014/08/20 2014/12/24 15.0014325 Citigroup Global Mkt H Inc. – HKEx European Wts Feb 2015 B 60,000,000 2014/08/20 2015/02/23 15.0014318 Citigroup Global Mkt H Inc. – HSBC European Wts Feb 2015 A 100,000,000 2014/08/20 2015/02/23 17.0014332 Citigroup Global Mkt H Inc. – PetroChina Euro Wts Feb 2015 A 80,000,000 2014/08/20 2015/02/09 16.0014305 Citigroup Global Mkt H Inc. – Tencent European Wts Dec 2014 B 100,000,000 2014/08/20 2014/12/24 19.0014337 Citigroup Global Mkt H Inc. – Tencent European Wts Dec 2015 A 300,000,000 2014/08/20 2015/12/21 75.0014182 Goldman Sachs SP (Asia) – BYD European Warrants Mar 2015 A 80,000,000 2014/08/20 2015/03/30 45.1214175 Goldman Sachs SP (Asia) – CITIC Bank European Wts Feb 2015 A 80,000,000 2014/08/20 2015/02/27 20.5614304 Goldman Sachs SP (Asia) – China Mobile Eu Put Wts Feb 2015 A 80,000,000 2014/08/20 2015/02/27 28.4814220 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Feb 2015 B 80,000,000 2014/08/20 2015/02/27 23.2014187 Goldman Sachs SP (Asia) – Fosun Intl European Wts Jun15A 80,000,000 2014/08/20 2015/06/30 12.1614113 HK Bank – China Cinda European Warrants Mar 2015 A 40,000,000 2014/08/20 2015/03/02 10.0014078 HK Bank – HWL European Warrants Feb 2015 A 80,000,000 2014/08/20 2015/02/24 24.8014133 HK Bank – Lenovo European Warrants Aug 2016 A 60,000,000 2014/08/20 2016/08/01 14.4014274 J P Morgan SP BV – AIA European Warrants Mar 2015 A 100,000,000 2014/08/20 2015/03/03 25.4014283 J P Morgan SP BV – China Mob European Wts Jan 2015 A 200,000,000 2014/08/20 2015/01/30 30.4014288 J P Morgan SP BV – China Mob European Put Wts Mar 2015 A 200,000,000 2014/08/20 2015/03/03 50.0014282 J P Morgan SP BV – Sinopec Corp European Warrants Mar 2015 B 100,000,000 2014/08/20 2015/03/03 25.7014278 J P Morgan SP BV – Ping An European Warrants Mar 2015 A 150,000,000 2014/08/20 2015/03/03 37.8014299 J P Morgan SP BV – Tencent European Warrants Feb 2015 A 200,000,000 2014/08/20 2015/02/02 78.0014077 Macquarie Bank Ltd. – China Coal European Wts Mar 2015 A 30,000,000 2014/08/20 2015/03/03 10.0514157 Standard Chartered Bank – A50 China Euro Warrants Jan 2015 B 80,000,000 2014/08/20 2015/01/28 15.2014173 UBS AG – AIA European Warrants Dec 2014 B 100,000,000 2014/08/20 2014/12/24 15.0014255 UBS AG – China Mobile European Warrants Feb 2015 D 100,000,000 2014/08/20 2015/02/03 21.0014232 UBS AG – China Mobile European Put Warrants Feb 2015 C 100,000,000 2014/08/20 2015/02/23 40.0014171 UBS AG – CSOP A50 ETF European Warrants Sep 2018 A 300,000,000 2014/08/20 2018/09/26 45.0014271 UBS AG – HKEx European Warrants Sep 2015 C 300,000,000 2014/08/20 2015/09/29 75.00

Main Board Warrants



14268 UBS AG – Lenovo European Warrants Jun 2016 A 100,000,000 2014/08/20 2016/06/13 25.0014433 BOCI Asia Ltd. – Sinopec Corp European Warrants Feb 2015 A 100,000,000 2014/08/21 2015/02/06 32.0014442 BOCI Asia Ltd. – Hutchison European Warrants Feb 2015 A 100,000,000 2014/08/21 2015/02/09 39.0014444 BOCI Asia Ltd. – Lenovo European Warrants Jul 2016 A 100,000,000 2014/08/21 2016/07/25 21.0014518 Citigroup Global Mkt H Inc. – Tencent European Wts Jan 2015 A 100,000,000 2014/08/21 2015/01/27 38.0014524 Citigroup Global Mkt H Inc. – Tencent European Wts Jan 2015 B 100,000,000 2014/08/21 2015/01/28 48.5014400 HK Bank – AIA European Warrants Apr 2015 A 80,000,000 2014/08/21 2015/04/13 20.0014402 HK Bank – PetroChina European Warrants Feb 2015 A 60,000,000 2014/08/21 2015/02/09 11.4014370 HK Bank – Yanzhou Coal European Warrants Mar 2015 A 40,000,000 2014/08/21 2015/03/02 18.0014510 Standard Chartered Bank – CITIC Pacific Euro Wts Nov 2015 A 80,000,000 2014/08/21 2015/11/04 20.0014512 Standard Chartered Bank – China Mobile Euro Wts Jan 2015 C 80,000,000 2014/08/21 2015/01/26 12.0014432 Standard Chartered Bank – HSI European Warrants Jan 2015 C 100,000,000 2014/08/21 2015/01/29 17.0014516 Standard Chartered Bank – Singyes Solar European Wts Mar15A 60,000,000 2014/08/21 2015/03/31 15.0014507 Standard Chartered Bank – Tencent Hldg Eu Put Wts Feb 2015 C 80,000,000 2014/08/21 2015/02/06 22.4014405 SGA Societe Generale Acceptance N.V. – CITIC Pac Eu Wt May15A 70,000,000 2014/08/21 2015/05/06 12.6014453 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Mar 15 B 70,000,000 2014/08/21 2015/03/04 10.5014463 SGA Societe Generale Acceptance N.V. – CMob Eu Put Wt Mar15C 70,000,000 2014/08/21 2015/03/04 26.2514430 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Feb 2015A 70,000,000 2014/08/21 2015/02/04 20.6514417 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Feb15A 50,000,000 2014/08/21 2015/02/04 14.5014471 SGA Societe Generale Acceptance N.V. – Shenhua Eu Wt Jun 15 A 100,000,000 2014/08/21 2015/06/03 18.5014475 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Feb15C 70,000,000 2014/08/21 2015/02/04 17.5014476 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Feb 2015 A 50,000,000 2014/08/21 2015/02/04 22.0014429 SGA Societe Generale Acceptance N.V. – Lenovo Eu Wt Aug 16 A 120,000,000 2014/08/21 2016/08/03 25.8014505 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Apr 2015A 50,000,000 2014/08/21 2015/04/08 12.5014452 UBS AG – AIA European Put Warrants Jan 2015 A 70,000,000 2014/08/21 2015/01/23 10.5014628 BOCI Asia Ltd. – China Life European Warrants Jun 2015 A 100,000,000 2014/08/22 2015/06/29 19.0014634 BOCI Asia Ltd. – China Mobile European Warrants Feb 2015 D 100,000,000 2014/08/22 2015/02/18 25.0014631 BOCI Asia Ltd. – China Mobile European Put Wts Mar 2015 A 100,000,000 2014/08/22 2015/03/02 30.0014598 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Dec 2015 C 100,000,000 2014/08/22 2015/12/02 25.0014602 BNP Paribas Arbit Issu B.V. – Ch Mobile Eu Put Wt Mar 2015 C 100,000,000 2014/08/22 2015/03/03 26.0014614 BNP Paribas Arbit Issu B.V. – HKEx European Wts Mar 2015 C 92,000,000 2014/08/22 2015/03/03 23.0014612 BNP Paribas Arbit Issu B.V. – HSBC European Wts Dec 2015 B 100,000,000 2014/08/22 2015/12/02 25.0014645 Credit Suisse AG – China Mobile European Warrants Feb 2015 D 80,000,000 2014/08/22 2015/02/27 20.0014646 Credit Suisse AG – China Mobile European Warrants Feb 2015 E 80,000,000 2014/08/22 2015/02/27 20.0014647 Credit Suisse AG – China Mobile European Warrants Feb 2015 F 80,000,000 2014/08/22 2015/02/23 28.0014636 Credit Suisse AG – China Mobile European Put Wts Feb 2015 B 60,000,000 2014/08/22 2015/02/27 15.0014638 Credit Suisse AG – China Mobile European Put Wts Feb 2015 C 60,000,000 2014/08/22 2015/02/27 20.4014651 Credit Suisse AG – HKEx European Warrants Mar 2015 B 100,000,000 2014/08/22 2015/03/31 25.0014653 Credit Suisse AG – Tencent Holdings European Wts Feb 2015 B 100,000,000 2014/08/22 2015/02/27 18.0014652 Credit Suisse AG – Tencent Holdings European Wts Sep 2015 A 100,000,000 2014/08/22 2015/09/30 20.0014726 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Feb 2015 C 100,000,000 2014/08/22 2015/02/23 25.0014580 Daiwa Capital Mkt – China Mobile European Wts Feb 2015 C 108,000,000 2014/08/22 2015/02/23 27.0014585 Daiwa Capital Mkt – HKEx European Warrants Apr 2015 A 258,000,000 2014/08/22 2015/04/01 64.5014714 J P Morgan SP BV – China Life European Warrants Jun 2015 A 200,000,000 2014/08/22 2015/06/30 30.20

Main Board Warrants



14576 J P Morgan SP BV – China Mob European Wts Mar 2015 C 200,000,000 2014/08/22 2015/03/02 50.0014577 J P Morgan SP BV – China Mob European Wts Mar 2015 D 200,000,000 2014/08/22 2015/03/02 55.0014558 J P Morgan SP BV – China Mob European Put Wts Mar 2015 B 200,000,000 2014/08/22 2015/03/02 50.2014715 J P Morgan SP BV – HKEx European Put Wts Jun 2015 B 300,000,000 2014/08/22 2015/06/30 45.3014716 J P Morgan SP BV – HSBC European Put Warrants Mar 2015 A 200,000,000 2014/08/22 2015/03/03 50.0014706 J P Morgan SP BV – Techtronic Ind European Warrants Mar 15 A 100,000,000 2014/08/22 2015/03/23 25.1014527 Macquarie Bank Ltd. – BBMG European Warrants Nov 2016 A 40,000,000 2014/08/22 2016/11/16 10.0014589 Macquarie Bank Ltd. – China Mobile European Wts Apr 2015 B 40,000,000 2014/08/22 2015/04/02 10.0014532 Macquarie Bank Ltd. – Lenovo European Warrants Mar 2015 A 30,000,000 2014/08/22 2015/03/04 10.0214693 Standard Chartered Bank – China Mobile Euro Wts Feb 2015 B 80,000,000 2014/08/22 2015/02/18 16.0014697 Standard Chartered Bank – China Mobile Eur Put Wt Mar 2015 A 80,000,000 2014/08/22 2015/03/03 20.0014705 Standard Chartered Bank – HSBC European Put Wts Jun 2015 A 80,000,000 2014/08/22 2015/06/19 28.0014704 Standard Chartered Bank – SJM Hold European Wts Aug 2015 A 50,000,000 2014/08/22 2015/08/28 12.5014681 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt May 15 A 70,000,000 2014/08/22 2015/05/06 17.5014687 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Feb 2015B 70,000,000 2014/08/22 2015/02/04 17.8514538 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jan 2015 C 30,000,000 2014/08/22 2015/01/07 24.3014535 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jul 2015 B 300,000,000 2014/08/22 2015/07/06 55.5014542 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Dec 2015 A 300,000,000 2014/08/22 2015/12/02 54.0014684 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Mar 2015 A 100,000,000 2014/08/22 2015/03/04 15.5014686 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Sep 2015 A 100,000,000 2014/08/22 2015/09/02 25.0014545 SGA Societe Generale Acceptance N.V. – Kingsoft Eu Wt Apr15A 50,000,000 2014/08/22 2015/04/08 12.5014691 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Jan 15 C 150,000,000 2014/08/22 2015/01/05 39.0014659 UBS AG – China Mobile European Warrants Feb 2015 E 100,000,000 2014/08/22 2015/02/27 25.0014660 UBS AG – China Mobile European Put Warrants Mar 2015 A 100,000,000 2014/08/22 2015/03/02 51.0014534 UBS AG – China Mobile European Put Warrants Jan 2017 A 500,000,000 2014/08/22 2017/01/16 125.0014658 UBS AG – A50 China European Warrants Sep 2018 A 300,000,000 2014/08/22 2018/09/26 45.0014677 UBS AG – HKEx European Warrants Feb 2015 D 80,000,000 2014/08/22 2015/02/23 20.0014661 UBS AG – HKEx European Warrants Feb 2016 B 300,000,000 2014/08/22 2016/02/29 75.0014680 UBS AG – HKEx European Put Warrants Feb 2015 E 100,000,000 2014/08/22 2015/02/23 17.0014887 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Feb 2016 A 100,000,000 2014/08/25 2016/02/02 25.0014895 BNP Paribas Arbit Issu B.V. – HSBC Euro Put Wts Jul 2015 A 100,000,000 2014/08/25 2015/07/03 29.0014888 BNP Paribas Arbit Issu B.V. – Link REIT Euro Wts Sep 2015 A 54,000,000 2014/08/25 2015/09/02 13.5014881 Credit Suisse AG – China Mobile European Warrants Feb 2015 H 60,000,000 2014/08/25 2015/02/27 15.0014799 Credit Suisse AG – China Mobile European Put Wts Feb 2015 G 60,000,000 2014/08/25 2015/02/27 23.4014803 Credit Suisse AG – HSBC European Wts Dec 2014 C 70,000,000 2014/08/25 2014/12/19 10.5014797 Daiwa Capital Mkt – China Mobile European Put Wts Feb 2015 D 80,000,000 2014/08/25 2015/02/24 24.0014748 HK Bank – China Mobile European Warrants Feb 2015 C 80,000,000 2014/08/25 2015/02/27 20.0014749 HK Bank – China Mobile European Put Warrants Feb 2015 D 80,000,000 2014/08/25 2015/02/27 20.0014750 HK Bank – Tencent European Warrants Jan 2015 A 80,000,000 2014/08/25 2015/01/02 16.8014754 HK Bank – Tencent European Warrants Jan 2015 B 80,000,000 2014/08/25 2015/01/28 36.0014909 J P Morgan SP BV – China Mob European Wts Mar 2015 E 200,000,000 2014/08/25 2015/03/02 50.2014908 J P Morgan SP BV – China Mob European Put Wts Apr 2015 A 150,000,000 2014/08/25 2015/04/01 70.5014762 Macquarie Bank Ltd. – Yurun Food European Wts Mar 2015 A 40,000,000 2014/08/25 2015/03/05 10.0014764 Macquarie Bank Ltd. – Zijin Mining European Wts Aug 2015 A 40,000,000 2014/08/25 2015/08/04 10.00

Main Board Warrants



14782 Standard Chartered Bank – Link REIT European Wts Jun 2015 A 50,000,000 2014/08/25 2015/06/01 12.5014828 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Aug 2015 A 100,000,000 2014/08/25 2015/08/03 16.5014841 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Aug 2016A 300,000,000 2014/08/25 2016/08/03 45.0014868 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Apr 2015A 80,000,000 2014/08/25 2015/04/08 12.0014844 SGA Societe Generale Acceptance N.V. – GCL-Poly Eu Wt May15A 45,000,000 2014/08/25 2015/05/06 11.2514845 SGA Societe Generale Acceptance N.V. – HSBC Eu Put Wt Mar15 B 100,000,000 2014/08/25 2015/03/04 29.5014846 SGA Societe Generale Acceptance N.V. – Link REIT Eu Wt Aug15A 40,000,000 2014/08/25 2015/08/05 10.0014773 UBS AG – China Mobile European Warrants Mar 2015 B 100,000,000 2014/08/25 2015/03/06 25.0014759 UBS AG – CNOOC European Put Warrants Aug 2015 A 50,000,000 2014/08/25 2015/08/17 12.5014768 UBS AG – Fosun Pharma European Warrants Jun 2015 A 70,000,000 2014/08/25 2015/06/24 10.5014780 UBS AG – Lenovo European Warrants Feb 2015 B 40,000,000 2014/08/25 2015/02/27 10.0014772 UBS AG – Link REIT European Warrants Feb 2015 A 40,000,000 2014/08/25 2015/02/24 10.0015095 Credit Suisse AG – CNOOC European Put Warrants Oct 2015 A 80,000,000 2014/08/26 2015/10/30 20.0015086 Credit Suisse AG – China Tel European Warrants Feb 2015 A 60,000,000 2014/08/26 2015/02/26 15.0015087 Credit Suisse AG – HKEx European Warrants May 2015 A 100,000,000 2014/08/26 2015/05/29 25.0015107 Credit Suisse AG – HSI European Warrants Feb 2015 C 150,000,000 2014/08/26 2015/02/26 22.5015106 Credit Suisse AG – HSI European Put Warrants Feb 2015 B 150,000,000 2014/08/26 2015/02/26 22.5015105 Credit Suisse AG – Link REIT European Warrants Feb 2015 A 60,000,000 2014/08/26 2015/02/26 15.0015084 Credit Suisse AG – Tencent Holdings European Wts Dec 2014 I 100,000,000 2014/08/26 2014/12/29 23.0015081 Credit Suisse AG – Tencent Holdings European Wts Jan 2015 D 100,000,000 2014/08/26 2015/01/30 36.0014920 Citigroup Global Mkt H Inc. – CGS European Wts Mar 2015 A 30,000,000 2014/08/26 2015/03/02 12.0014921 Citigroup Global Mkt H Inc. – CITIC Sec Euro Wts May 2015 A 100,000,000 2014/08/26 2015/05/21 19.0014919 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Mar 2015 A 100,000,000 2014/08/26 2015/03/02 25.0014923 Citigroup Global Mkt H Inc. – Enn Energy European Wts Mar15A 50,000,000 2014/08/26 2015/03/09 22.0014918 Citigroup Global Mkt H Inc. – HSBC European Wts Feb 2015 B 100,000,000 2014/08/26 2015/02/18 20.0015071 Daiwa Capital Mkt – CNOOC European Warrants May 2015 A 98,000,000 2014/08/26 2015/05/22 24.5015068 Daiwa Capital Mkt – PetroChina European Warrants Mar 2015 A 80,000,000 2014/08/26 2015/03/18 20.0015074 Daiwa Capital Mkt – SHK Ppt European Put Warrants Feb 2015 A 68,000,000 2014/08/26 2015/02/18 10.2014947 HK Bank – HSCEI European Warrants Feb 2015 B 150,000,000 2014/08/26 2015/02/26 22.5014944 HK Bank – HSCEI European Put Warrants Feb 2015 A 150,000,000 2014/08/26 2015/02/26 22.5014936 HK Bank – HSI European Warrants Feb 2015 F 150,000,000 2014/08/26 2015/02/26 22.5014939 HK Bank – HSI European Warrants Feb 2015 G 150,000,000 2014/08/26 2015/02/26 37.5014930 HK Bank – HSI European Put Warrants Feb 2015 E 150,000,000 2014/08/26 2015/02/26 37.5015117 J P Morgan SP BV – BOCL European Warrants Apr 2015 A 200,000,000 2014/08/26 2015/04/02 30.6015116 J P Morgan Int’l Der. Ltd. – CC Bank European Wts Mar 2015 A 200,000,000 2014/08/26 2015/03/02 31.4015029 J P Morgan SP BV – China Mob European Wts Dec 2018 A 500,000,000 2014/08/26 2018/12/03 125.0015114 J P Morgan SP BV – CNOOC European Warrants Mar 2015 A 80,000,000 2014/08/26 2015/03/02 20.2415112 J P Morgan SP BV – Lenovo European Warrants Apr 2016 A 200,000,000 2014/08/26 2016/04/05 50.0015108 J P Morgan SP BV – Lenovo European Put Warrants Aug 2015 B 200,000,000 2014/08/26 2015/08/03 30.0015056 J P Morgan SP BV – Link Reit European Warrants Mar 2015 A 50,000,000 2014/08/26 2015/03/02 12.5015021 Macquarie Bank Ltd. – China Tel European Warrants Apr 2015 A 35,000,000 2014/08/26 2015/04/02 10.0114917 Macquarie Bank Ltd. – Techtronic Ind European Wts Apr15A 40,000,000 2014/08/26 2015/04/20 10.0014972 Standard Chartered Bank – BOCL European Warrants Mar 2015 A 80,000,000 2014/08/26 2015/03/20 12.0015120 Standard Chartered Bank – CITIC Pacific Euro Put Wt Sep 15 B 80,000,000 2014/08/26 2015/09/14 20.80

Main Board Warrants



14948 Standard Chartered Bank – China Life European Wts Jun 2015 A 100,000,000 2014/08/26 2015/06/10 15.0014951 Standard Chartered Bank – China Life European Wts Dec 2015 B 100,000,000 2014/08/26 2015/12/28 20.0015019 Standard Chartered Bank – China Mobile Euro Wts Mar 2015 B 80,000,000 2014/08/26 2015/03/04 20.0015020 Standard Chartered Bank – China Mobile Eur Put Wt Feb 2015 C 80,000,000 2014/08/26 2015/02/26 23.2014963 Standard Chartered Bank – CRCC European Warrants Jul 2015 A 40,000,000 2014/08/26 2015/07/31 21.6014954 Standard Chartered Bank – China Shenhua Euro Wts Apr 2015 A 80,000,000 2014/08/26 2015/04/27 12.0014989 Standard Chartered Bank – HSI European Warrants Mar 2015 C 100,000,000 2014/08/26 2015/03/30 15.0014992 Standard Chartered Bank – HSI European Warrants Mar 2015 D 100,000,000 2014/08/26 2015/03/30 15.0014997 Standard Chartered Bank – HSI European Put Wts Feb 2015 C 100,000,000 2014/08/26 2015/02/26 19.0015018 Standard Chartered Bank – HSI European Put Wts Feb 2015 D 100,000,000 2014/08/26 2015/02/26 25.0014964 Standard Chartered Bank – NewWorld Dev European Wts May 15 A 70,000,000 2014/08/26 2015/05/04 10.5014965 Standard Chartered Bank – Tracker Fund Euro Wts Mar 2015 B 50,000,000 2014/08/26 2015/03/06 12.5015032 SGA Societe Generale Acceptance N.V. – BOCHK Eu Wt Dec 2015A 60,000,000 2014/08/26 2015/12/02 15.0015076 SGA Societe Generale Acceptance N.V. – CITIC Pac Eu Wt Sep15A 70,000,000 2014/08/26 2015/09/02 12.9515039 SGA Societe Generale Acceptance N.V. – ChiUnicom Eu Wt Jan17 A 100,000,000 2014/08/26 2017/01/04 20.0015048 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Oct 2018A 500,000,000 2014/08/26 2018/10/03 75.0015041 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Mar 2015 A 150,000,000 2014/08/26 2015/03/30 24.7515045 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jun 2015 B 150,000,000 2014/08/26 2015/06/29 22.5015077 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Feb 15 A 150,000,000 2014/08/26 2015/02/26 29.2515055 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Oct 15 B 500,000,000 2014/08/26 2015/10/05 82.5015080 UBS AG – BYD European Warrants Feb 2015 A 50,000,000 2014/08/26 2015/02/09 20.7515078 UBS AG – Ping An European Warrants Mar 2015 A 70,000,000 2014/08/26 2015/03/27 12.6015134 Daiwa Capital Mkt – China Life European Warrants Apr 2015 B 128,000,000 2014/08/27 2015/04/01 32.0015133 HK Bank – Anhui Conch European Put Warrants Feb 2015 A 60,000,000 2014/08/27 2015/02/27 15.0015123 HK Bank – CAM CSI300 European Warrants Aug 2015 A 100,000,000 2014/08/27 2015/08/17 20.0015131 HK Bank – China Life European Put Warrants Apr 2015 A 80,000,000 2014/08/27 2015/04/09 12.8015126 HK Bank – Sinopec Corp European Warrants Feb 2015 B 80,000,000 2014/08/27 2015/02/27 28.0015121 HK Bank – HKEx European Put Warrants Feb 2015 B 100,000,000 2014/08/27 2015/02/23 15.0015128 HK Bank – Ping An European Put Warrants Jan 2015 B 80,000,000 2014/08/27 2015/01/30 12.0015227 J P Morgan SP BV – AIA European Put Warrants Apr 2015 B 200,000,000 2014/08/27 2015/04/02 50.2015232 J P Morgan SP BV – BBMG European Warrants Dec 2016 A 80,000,000 2014/08/27 2016/12/02 20.0015192 J P Morgan SP BV – HSI European Warrants Dec 2015 A 500,000,000 2014/08/27 2015/12/30 125.0015148 Macquarie Bank Ltd. – Biostime European Warrants Feb 2015 A 30,000,000 2014/08/27 2015/02/27 10.3815145 Macquarie Bank Ltd. – CMS European Warrants Mar 2016 A 40,000,000 2014/08/27 2016/03/02 10.0015221 Macquarie Bank Ltd. – Ch Ship Cont European Wts May 2015 A 40,000,000 2014/08/27 2015/05/05 10.0015184 Standard Chartered Bank – Lenovo European Wts Feb 2015 B 30,000,000 2014/08/27 2015/02/27 13.5015149 SGA Societe Generale Acceptance N.V. – CHALCO Eu Wt Apr 15 A 40,000,000 2014/08/27 2015/04/08 10.0015153 SGA Societe Generale Acceptance N.V – Chi COSCO Eu Wt Jun 15 A 35,000,000 2014/08/27 2015/06/03 11.2015168 SGA Societe Generale Acceptance N.V. – CITBK Eu Wt Mar 15 A 40,000,000 2014/08/27 2015/03/04 10.0015155 SGA Societe Generale Acceptance N.V. – CMB Eu Wts Oct 2016 A 100,000,000 2014/08/27 2016/10/05 16.0015174 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Mar 2015 B 30,000,000 2014/08/27 2015/03/04 12.3015163 SGA Societe Generale Acceptance N.V. – JIANC Eu Wt May 2016A 80,000,000 2014/08/27 2016/05/04 16.0015175 SGA Societe Generale Acceptance N.V – Ping An Eu Put Wt Mar15A 100,000,000 2014/08/27 2015/03/04 25.5015179 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Mar15A 80,000,000 2014/08/27 2015/03/04 25.60

Main Board Warrants



15183 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Apr15A 80,000,000 2014/08/27 2015/04/08 20.0015225 SGA Societe Generale Acceptance N.V. – SHK P Eu Wt May 2015A 50,000,000 2014/08/27 2015/05/06 12.5015210 UBS AG – Geely Auto European Warrants Feb 2015 B 40,000,000 2014/08/27 2015/02/26 12.0015209 UBS AG – Galaxy Ent European Warrants Feb 2015 A 40,000,000 2014/08/27 2015/02/26 12.0015216 UBS AG – Kingsoft European Warrants Feb 2015 A 100,000,000 2014/08/27 2015/02/26 28.0015193 UBS AG – Tencent Holdings European Warrants Jan 2015 C 100,000,000 2014/08/27 2015/01/07 21.0022674 # Standard Chartered Bank – CSOP A50 ETF Euro Wts Mar 2015 A 230,000,000 2014/08/27 2015/03/06 10.1215254 BOCI Asia Ltd. – BOC HK European Warrants May 2015 A 100,000,000 2014/08/28 2015/05/04 15.0015271 BOCI Asia Ltd. – HKEx European Put Warrants Jun 2015 B 100,000,000 2014/08/28 2015/06/29 18.0015270 BOCI Asia Ltd. – Lenovo European Put Warrants Aug 2015 A 100,000,000 2014/08/28 2015/08/10 15.0015313 Credit Suisse AG – GCL-Poly Energy European Wts Mar 2015 A 60,000,000 2014/08/28 2015/03/02 15.0015310 Credit Suisse AG – Kingsoft European Warrants Mar 2015 A 70,000,000 2014/08/28 2015/03/03 11.9015272 Daiwa Capital Mkt – BOC HK European Warrants Apr 2015 A 108,000,000 2014/08/28 2015/04/27 16.2015277 HK Bank – CHALCO European Warrants Feb 2015 A 80,000,000 2014/08/28 2015/02/27 20.0015279 HK Bank – China COSCO European Warrants Mar 2015 A 80,000,000 2014/08/28 2015/03/02 20.0015273 HK Bank – Geely Auto European Warrants Feb 2015 A 80,000,000 2014/08/28 2015/02/27 20.0015281 HK Bank – Jiangxi Copper European Warrants Apr 2016 A 80,000,000 2014/08/28 2016/04/26 15.2015274 HK Bank – Sh Petrochem European Warrants Mar 2015 A 60,000,000 2014/08/28 2015/03/02 18.0015324 J P Morgan SP BV – Biostime European Warrants Mar 2015 A 40,000,000 2014/08/28 2015/03/03 10.1215246 J P Morgan SP BV – BOC HK European Warrants Dec 2016 A 150,000,000 2014/08/28 2016/12/30 37.6515244 J P Morgan SP BV – CITIC Sec European Warrants May 2015 A 80,000,000 2014/08/28 2015/05/28 12.0815317 J P Morgan SP BV – China Taiping European Wts Apr 2015 A 60,000,000 2014/08/28 2015/04/02 15.0615314 J P Morgan SP BV – HSI European Warrants Feb 2015 D 500,000,000 2014/08/28 2015/02/26 75.0015243 J P Morgan SP BV – Hutchison European Warrants Dec 2014 A 80,000,000 2014/08/28 2014/12/31 12.8815315 J P Morgan SP BV – Kingsoft European Warrants Mar 2015 A 150,000,000 2014/08/28 2015/03/02 37.5015245 J P Morgan SP BV – MTRC European Warrants Feb 2016 A 40,000,000 2014/08/28 2016/02/02 10.0015236 J P Morgan SP BV – Tracker Fund European Warrants Dec 2015 A 200,000,000 2014/08/28 2015/12/02 50.0015305 Macquarie Bank Ltd. – Greatwall Motor European Wts Apr 2015 A 46,000,000 2014/08/28 2015/04/02 10.1215309 Macquarie Bank Ltd. – Sands China European Wts Apr 2015 A 40,000,000 2014/08/28 2015/04/02 10.0015233 Macquarie Bank Ltd. – Tencent European Warrants Dec 2014 B 40,000,000 2014/08/28 2014/12/02 10.0015302 Standard Chartered Bank – BOC HK European Wts Feb 2015 A 60,000,000 2014/08/28 2015/02/23 22.2015300 Standard Chartered Bank – Techtronic Ind Euro Wts Mar15A 50,000,000 2014/08/28 2015/03/27 12.5015406 Credit Suisse AG – Sinopec Corp European Warrants Mar 2015 A 70,000,000 2014/08/29 2015/03/02 17.5015383 Credit Suisse AG – ChiUnicom European Warrants Nov 2016 A 70,000,000 2014/08/29 2016/11/07 15.4015396 Credit Suisse AG – Kingsoft European Warrants Mar 2015 B 70,000,000 2014/08/29 2015/03/02 17.5015395 Credit Suisse AG – Ping An European Warrants Dec 2014 D 80,000,000 2014/08/29 2014/12/24 19.2015385 Credit Suisse AG – ZTE European Warrants Jan 2015 A 70,000,000 2014/08/29 2015/01/26 10.5015429 Bank of East Asia – CHALCO European Warrants Apr 2015 A 40,000,000 2014/08/29 2015/04/16 10.0015419 Bank of East Asia – BOCHK European Warrants Dec 2015 A 40,000,000 2014/08/29 2015/12/30 10.0015421 Bank of East Asia – BOCHK European Put Warrants Oct 2015 A 40,000,000 2014/08/29 2015/10/05 10.0015427 Bank of East Asia – HSBC European Warrants Jul 2015 A 40,000,000 2014/08/29 2015/07/29 10.0015430 Bank of East Asia – Lenovo European Warrants Jun 2016 A 50,000,000 2014/08/29 2016/06/22 12.5015334 HK Bank – Ch Oilfield European Warrants Mar 2015 A 80,000,000 2014/08/29 2015/03/10 12.0015333 HK Bank – Shanghai Electric European Warrants Mar 2015 A 60,000,000 2014/08/29 2015/03/02 15.00

Main Board Warrants



15432 J P Morgan SP BV – PetroChina European Warrants Mar 2015 B 100,000,000 2014/08/29 2015/03/02 25.0015341 Macquarie Bank Ltd. – AIA European Warrants Jul 2015 A 40,000,000 2014/08/29 2015/07/03 10.0015382 Macquarie Bank Ltd. – China Taiping European Wts Apr 2015 A 40,000,000 2014/08/29 2015/04/02 10.0015339 Macquarie Bank Ltd. – Li & Fung European Warrants Mar 2015 A 40,000,000 2014/08/29 2015/03/03 10.0015327 Macquarie Bank Ltd. – Tencent European Warrants Dec 2014 C 25,000,000 2014/08/29 2014/12/01 12.4515411 Macquarie Bank Ltd. – Tencent European Warrants Mar 2015 B 25,000,000 2014/08/29 2015/03/03 33.6315412 Macquarie Bank Ltd. – Tencent European Warrants Mar 2015 C 25,000,000 2014/08/29 2015/03/03 17.6015416 Macquarie Bank Ltd. – Tencent European Warrants Mar 2015 D 25,000,000 2014/08/29 2015/03/03 10.0815342 Standard Chartered Bank – CNOOC European Put Wts Sep 2015 A 80,000,000 2014/08/29 2015/09/03 20.0015347 Standard Chartered Bank – Chi Res Power Euro Wts Jun 2015 A 80,000,000 2014/08/29 2015/06/30 20.0015369 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jan 2015 A 60,000,000 2014/08/29 2015/01/28 15.0015350 Standard Chartered Bank – Esprit European Wts Feb 2016 A 80,000,000 2014/08/29 2016/02/01 20.0015368 Standard Chartered Bank – A50 China Euro Warrants Dec 2014 B 60,000,000 2014/08/29 2014/12/31 12.0015379 Standard Chartered Bank – Galaxy Ent European Wts Dec 2014 B 60,000,000 2014/08/29 2014/12/29 30.6015367 Standard Chartered Bank – MTRC European Warrants Dec 2015 A 60,000,000 2014/08/29 2015/12/31 15.0015362 Standard Chartered Bank – SPDR Gold Trust Euro Wt Jun 2015 A 60,000,000 2014/08/29 2015/06/30 19.8015352 Standard Chartered Bank – Zijin Mining Euro Wts Jul 2015 A 70,000,000 2014/08/29 2015/07/24 10.5015487 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Feb 2015 B 100,000,000 2014/09/01 2015/02/03 15.0015492 BNP Paribas Arbit Issu B.V. – HSI European Wts Jul 2015 A 100,000,000 2014/09/01 2015/07/30 15.0015498 BNP Paribas Arbit Issu B.V. – ICBC European Wts Jul 2016 A 100,000,000 2014/09/01 2016/07/05 25.0015457 Credit Suisse AG – Sinopec Corp European Warrants Mar 2015 B 70,000,000 2014/09/01 2015/03/02 17.5015473 Credit Suisse AG – PetroChina European Warrants Mar 2015 A 70,000,000 2014/09/01 2015/03/02 17.5015515 Citigroup Global Mkt H Inc. – AIA European Wts Jun 2015 A 80,000,000 2014/09/01 2015/06/29 20.0015514 Citigroup Global Mkt H Inc. – Sinopec Corp Eu Wts Dec 2014 C 60,000,000 2014/09/01 2014/12/05 12.6015448 Daiwa Capital Mkt – CAM CSI300 European Warrants Jun 2015 A 98,000,000 2014/09/01 2015/06/01 24.5015452 Daiwa Capital Mkt – Sinopec Corp European Put Wts Mar 2015 B 80,000,000 2014/09/01 2015/03/02 21.6015449 Daiwa Capital Mkt – CSOP A50 ETF European Wts Mar 2015 A 108,000,000 2014/09/01 2015/03/02 17.2815446 Daiwa Capital Mkt – A50 China European Warrants Feb 2015 A 128,000,000 2014/09/01 2015/02/02 19.2015433 HK Bank – Agricultural Bank European Put Warrants May 2015 A 80,000,000 2014/09/01 2015/05/29 20.0015434 HK Bank – China Shenhua European Put Warrants Sep 2015 A 80,000,000 2014/09/01 2015/09/30 20.0015435 HK Bank – HKEx European Warrants Mar 2015 B 150,000,000 2014/09/01 2015/03/24 24.0015508 J P Morgan SP BV – BOC HK European Warrants May 2015 A 180,000,000 2014/09/01 2015/05/04 27.0015439 Macquarie Bank Ltd. – China Res Gas European Wts Mar 2015 A 40,000,000 2014/09/01 2015/03/04 10.0015453 SGA Societe Generale Acceptance N.V. – BOCHK Eu Wt Oct 2016A 60,000,000 2014/09/01 2016/10/05 15.0015437 SGA Societe Generale Acceptance NV – CITIC P Eu Put Wt Oct15A 70,000,000 2014/09/01 2015/10/05 10.5015456 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Mar 2015A 80,000,000 2014/09/01 2015/03/04 24.8015438 SGA Societe Generale Acceptance N.V. – Kingsoft Eu Wt Mar15A 50,000,000 2014/09/01 2015/03/04 13.5015484 UBS AG – AIA European Warrants Jul 2015 A 100,000,000 2014/09/01 2015/07/20 25.0015503 UBS AG – Sinopec Corp European Warrants Mar 2015 B 70,000,000 2014/09/01 2015/03/02 17.5015483 UBS AG – Sinopec Corp European Put Warrants Mar 2015 A 40,000,000 2014/09/01 2015/03/02 13.2015479 UBS AG – PetroChina European Warrants Mar 2015 A 50,000,000 2014/09/01 2015/03/02 12.5015531 BNP Paribas Arbit Issu B.V. – Sinopec Corp Eu Wts Mar 2015 A 100,000,000 2014/09/02 2015/03/30 17.0015527 BNP Paribas Arbit Issu B.V. – GCL-Poly Euro Wts Aug 2015 A 100,000,000 2014/09/02 2015/08/04 26.0015541 BNP Paribas Arbit Issu B.V. – HKEx European Wts Oct 2015 A 100,000,000 2014/09/02 2015/10/05 16.00

Main Board Warrants



15529 BNP Paribas Arbit Issu B.V. – Lenovo European Wts Jun 2016 A 100,000,000 2014/09/02 2016/06/02 25.0015544 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Jul 2015 A 100,000,000 2014/09/02 2015/07/03 30.0015553 Credit Suisse – Foxconn European Warrants Mar 2015 A 60,000,000 2014/09/02 2015/03/02 15.0015557 Credit Suisse AG – Ping An European Warrants Feb 2015 A 70,000,000 2014/09/02 2015/02/27 10.5015555 Credit Suisse AG – Sinopharm European Warrants Mar 2015 A 60,000,000 2014/09/02 2015/03/02 15.0015526 Citigroup Global Mkt H Inc. – PetroChina Euro Wts Mar 2015 A 50,000,000 2014/09/02 2015/03/16 12.5015522 Daiwa Capital Mkt – HKEx European Warrants May 2015 B 258,000,000 2014/09/02 2015/05/21 38.7015521 Macquarie Bank Ltd. – CITIC Pacific European Wts Sep 2015 A 70,000,000 2014/09/02 2015/09/02 10.5015519 Standard Chartered Bank – Henganintl European Wts Oct15A 100,000,000 2014/09/02 2015/10/02 15.0015520 Standard Chartered Bank – Hutchison Euro Euro Wts Jan 2015 A 80,000,000 2014/09/02 2015/01/29 20.0015558 Standard Chartered Bank – PetroChina European Wts Feb 2015 A 60,000,000 2014/09/02 2015/02/09 15.0015525 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Apr15A 20,000,000 2014/09/02 2015/04/08 10.2025846 # J P Morgan SP BV – Geely Auto European Warrants Jan 2015 A 80,000,000 2014/09/02 2015/01/05 16.9615562 BOCI Asia Ltd. – CNOOC European Put Warrants Aug 2015 A 100,000,000 2014/09/03 2015/08/10 20.0015559 BOCI Asia Ltd. – Sinopec Corp European Put Warrants Mar 15 A 100,000,000 2014/09/03 2015/03/09 29.0015565 BOCI Asia Ltd. – A50 China European Warrants Dec 2016 A 100,000,000 2014/09/03 2016/12/28 15.0015564 BOCI Asia Ltd. – Lenovo European Warrants Mar 2016 A 100,000,000 2014/09/03 2016/03/24 20.0015561 BOCI Asia Ltd. – PetroChina European Put Warrants Apr 2015 A 100,000,000 2014/09/03 2015/04/27 33.0015579 Credit Suisse AG – AIA European Warrants Jun 2015 A 80,000,000 2014/09/03 2015/06/29 20.0015580 Credit Suisse – SMIC European Warrants Jul 2015 A 70,000,000 2014/09/03 2015/07/31 10.5015582 Daiwa Capital Mkt – PetroChina European Warrants May 2015 A 98,000,000 2014/09/03 2015/05/08 24.5015586 Daiwa Capital Mkt – PetroChina European Put Wts Mar 2015 B 68,000,000 2014/09/03 2015/03/02 23.1215568 HK Bank – CC Bank European Put Warrants Apr 2015 A 80,000,000 2014/09/03 2015/04/30 20.0015566 HK Bank – A50 China European Put Warrants Aug 2016 C 100,000,000 2014/09/03 2016/08/23 15.0015567 HK Bank – HSI European Put Warrants Feb 2015 H 180,000,000 2014/09/03 2015/02/26 28.8015569 HK Bank – ICBC European Put Warrants Apr 2015 A 80,000,000 2014/09/03 2015/04/30 20.0015598 Macquarie Bank Ltd. – Galaxy Ent European Wts Feb 2015 C 50,000,000 2014/09/03 2015/02/03 10.0015587 Macquarie Bank Ltd. – SHK Ppt European Warrants May 2015 B 70,000,000 2014/09/03 2015/05/05 10.5015575 Standard Chartered Bank – Kingsoft European Wts Jan 2015 A 80,000,000 2014/09/03 2015/01/28 12.8015576 Standard Chartered Bank – Kingsoft European Put Wts Mar 15 A 80,000,000 2014/09/03 2015/03/04 20.8015570 Standard Chartered Bank – Sands China Euro Wts Mar 2015 A 80,000,000 2014/09/03 2015/03/02 17.6015610 SGA Societe Generale Acceptance N.V – Ch Oilfield Eu Wt Jul15A 50,000,000 2014/09/03 2015/07/06 15.5015589 SGA Societe Generale Acceptance N.V. – GAC Eur Wts Feb 2017A 120,000,000 2014/09/03 2017/02/06 30.0015577 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Mar15A 70,000,000 2014/09/03 2015/03/04 32.9015606 UBS AG – BYD European Warrants Mar 2015 A 50,000,000 2014/09/03 2015/03/09 12.5015604 UBS AG – CSOP A50 ETF European Warrants Mar 2015 A 60,000,000 2014/09/03 2015/03/09 27.0015602 UBS AG – China Tel European Warrants Mar 2015 A 40,000,000 2014/09/03 2015/03/09 10.0013716 # Standard Chartered Bank – HKEx European Warrants Jun 2015 D 100,000,000 2014/09/03 2015/06/22 15.0015651 BNP Paribas Arbit Issu B.V. – Biostime Euro Wts Apr 2015 A 33,000,000 2014/09/04 2015/04/02 10.8915649 BNP Paribas Arbit Issu B.V. – BOCHK European Wts Dec 2016 A 100,000,000 2014/09/04 2016/12/02 26.0015650 BNP Paribas Arbit Issu B.V. – China Tel Euro Wts Apr 2015 A 76,000,000 2014/09/04 2015/04/02 19.0015648 BNP Paribas Arbit Issu B.V. – Ping An European Wt Apr 2015 A 100,000,000 2014/09/04 2015/04/02 15.0015629 Credit Suisse AG – HKEx European Warrants Aug 2015 A 100,000,000 2014/09/04 2015/08/11 17.0015626 Credit Suisse AG – HKEx European Warrants Sep 2015 D 100,000,000 2014/09/04 2015/09/21 15.00

Main Board Warrants



15627 Credit Suisse AG – HKEx European Warrants Dec 2015 B 100,000,000 2014/09/04 2015/12/21 15.0015641 Bank of East Asia – R&F Ppt European Warrants Feb 2016 A 70,000,000 2014/09/04 2016/02/24 10.9915642 Bank of East Asia – Henganintl European Warrants May 2015 A 25,000,000 2014/09/04 2015/05/05 11.6315625 HK Bank – BOC HK European Warrants Oct 2016 A 80,000,000 2014/09/04 2016/10/04 20.0015623 HK Bank – CITIC Sec European Warrants Feb 2015 A 80,000,000 2014/09/04 2015/02/27 12.0015612 HK Bank – Lenovo European Warrants Mar 2016 A 100,000,000 2014/09/04 2016/03/31 18.0015617 HK Bank – Tencent European Warrants Sep 2015 A 100,000,000 2014/09/04 2015/09/23 15.0015622 HK Bank – Tencent European Warrants Dec 2015 B 100,000,000 2014/09/04 2015/12/14 15.0015653 J P Morgan SP BV – HKEx European Warrants Jan 2015 B 88,000,000 2014/09/04 2015/01/07 35.0215652 J P Morgan SP BV – Sands China European Warrants Mar 2015 B 200,000,000 2014/09/04 2015/03/03 50.2015630 Macquarie Bank Ltd. – A50 China European Warrants Feb 2015 A 40,000,000 2014/09/04 2015/02/03 10.0015639 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Feb15B 50,000,000 2014/09/04 2015/02/04 18.2515640 SGA Societe Generale Acceptance N.V. – Lenovo Eu Wt Apr 16 A 120,000,000 2014/09/04 2016/04/06 23.4015643 UBS AG – A50 China European Warrants Jan 2015 A 50,000,000 2014/09/04 2015/01/27 19.0015647 UBS AG – Lenovo European Put Warrants Aug 2015 B 70,000,000 2014/09/04 2015/08/04 10.5015645 UBS AG – Sands China European Warrants Mar 2015 A 40,000,000 2014/09/04 2015/03/03 10.8015644 UBS AG – Tencent Holdings European Warrants Dec 2015 B 500,000,000 2014/09/04 2015/12/14 87.5015695 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Jan 2016 A 100,000,000 2014/09/05 2016/01/05 17.0015696 BNP Paribas Arbit Issu B.V. – China Unicom Euro Wt Dec 2016A 100,000,000 2014/09/05 2016/12/02 25.0015691 BNP Paribas Arbit Issu B.V. – HKEx European Wts Apr 2015 A 100,000,000 2014/09/05 2015/04/02 17.0015692 BNP Paribas Arbit Issu B.V. – China Mengniu Eu Wt Jul 2015 A 80,000,000 2014/09/05 2015/07/03 24.0015677 Credit Suisse AG – CHALCO European Wts Mar 2015 A 60,000,000 2014/09/05 2015/03/30 15.0015663 Credit Suisse AG – KECL European Warrants Dec 2015 A 60,000,000 2014/09/05 2015/12/28 10.8015700 Goldman Sachs SP (Asia) – China Mobile Euro Wts Feb 2015 B 80,000,000 2014/09/05 2015/02/23 22.0815702 Goldman Sachs SP (Asia) – HKEx European Warrants Apr 2015 A 120,000,000 2014/09/05 2015/04/01 18.1215699 J P Morgan SP BV – China Cinda European Warrants Mar 2015 A 80,000,000 2014/09/05 2015/03/04 20.0015698 J P Morgan SP BV – CSOP A50 ETF European Warrants Jan 2015 A 100,000,000 2014/09/05 2015/01/26 25.0015661 Standard Chartered Bank – CTel European Warrants Jun 2015 A 60,000,000 2014/09/05 2015/06/30 18.6015659 Standard Chartered Bank – Datang Power Euro Wts Mar 2015 A 40,000,000 2014/09/05 2015/03/17 10.0015660 Standard Chartered Bank – Greatwall Motor Euro Wt Feb 2015 A 60,000,000 2014/09/05 2015/02/24 12.0015658 Standard Chartered Bank – Sands China Euro Wts Feb 2015 A 80,000,000 2014/09/05 2015/02/18 23.2015654 Standard Chartered Bank – SHK P European Warrants Feb 2015 B 80,000,000 2014/09/05 2015/02/23 12.0015684 SGA Societe Generale Acceptance N.V. – AIA Eur Wt May 2015 A 100,000,000 2014/09/05 2015/05/06 16.5016551 # J P Morgan SP BV – Sands China European Warrants Dec 2014 B 150,000,000 2014/09/05 2014/12/01 10.2018069 # Standard Chartered Bank – Evergrande European Wts May 2015 A 250,000,000 2014/09/05 2015/05/28 10.5015724 BOCI Asia Ltd. – GCL-Poly Energy European Warrants Mar 2015A 50,000,000 2014/09/08 2015/03/30 19.5015728 BOCI Asia Ltd. – HKEx European Warrants Mar 2015 B 100,000,000 2014/09/08 2015/03/24 16.0015725 BOCI Asia Ltd. – SMIC European Warrants Dec 2015 A 50,000,000 2014/09/08 2015/12/28 12.5015726 BOCI Asia Ltd. – Tencent Holdings European Wts Jan 2015 A 100,000,000 2014/09/08 2015/01/28 36.0015737 Credit Suisse AG – Galaxy Ent European Warrants Dec 2014 B 70,000,000 2014/09/08 2014/12/24 19.6015740 Credit Suisse AG – Sands China European Warrants Mar 2015 A 70,000,000 2014/09/08 2015/03/09 17.5015732 Daiwa Capital Mkt – China Mobile European Wts Mar 2015 A 108,000,000 2014/09/08 2015/03/03 16.2015721 Bank of East Asia – CITIC European Put Warrants Oct 2015 A 40,000,000 2014/09/08 2015/10/26 10.0015766 Goldman Sachs SP (Asia) – China Life Euro Wts Jun 2015 A 80,000,000 2014/09/08 2015/06/30 12.00

Main Board Warrants



15764 Goldman Sachs SP (Asia) – China Tel European Wts Mar 2015 A 80,000,000 2014/09/08 2015/03/30 24.7215717 Goldman Sachs SP (Asia) – HSCEI European Warrants Feb 2015 A 150,000,000 2014/09/08 2015/02/26 22.5015715 Goldman Sachs SP (Asia) – HSCEI European Warrants Nov 2015 A 150,000,000 2014/09/08 2015/11/27 37.5015763 Goldman Sachs SP (Asia) – Hutchison European Wts Jan 2015 B 80,000,000 2014/09/08 2015/01/30 25.0415767 Goldman Sachs SP (Asia) – Kingsoft European Wts Feb 2015 A 80,000,000 2014/09/08 2015/02/27 15.6015765 Goldman Sachs SP (Asia) – ZTE European Warrants Jul 2015 A 80,000,000 2014/09/08 2015/07/30 20.0015719 HK Bank – CRCC European Warrants Mar 2015 A 60,000,000 2014/09/08 2015/03/09 15.0015720 HK Bank – HKEx European Warrants May 2015 A 100,000,000 2014/09/08 2015/05/26 15.0015718 HK Bank – PetroChina European Warrants Mar 2015 A 60,000,000 2014/09/08 2015/03/09 18.0015761 J P Morgan SP BV – CNOOC European Put Warrants Aug 2015 A 200,000,000 2014/09/08 2015/08/10 30.0015762 J P Morgan SP BV – Ch Oilfield Euro Wts Jul 2015 A 80,000,000 2014/09/08 2015/07/02 20.0015708 J P Morgan SP BV – China Tel European Warrants Mar 2015 A 80,000,000 2014/09/08 2015/03/09 20.0015704 J P Morgan SP BV – China Unicom European Warrants Dec 2016 C 300,000,000 2014/09/08 2016/12/30 75.0015703 J P Morgan SP BV – Ping An European Warrants Dec 2014 B 150,000,000 2014/09/08 2014/12/24 22.5015734 Macquarie Bank Ltd. – Anta Sports European Wts Jun 2015 A 50,000,000 2014/09/08 2015/06/29 12.5015733 Macquarie Bank Ltd. – Chi Res Power European Wts May 2015 A 50,000,000 2014/09/08 2015/05/29 12.5015736 Macquarie Bank Ltd. – CSR Times European Warrants Mar 2015 A 50,000,000 2014/09/08 2015/03/16 12.5015756 Standard Chartered Bank – China Unicom Euro Wts Dec 2016 A 100,000,000 2014/09/08 2016/12/21 21.0015755 Standard Chartered Bank – KECL European Warrants Dec 2015 A 80,000,000 2014/09/08 2015/12/28 12.0015722 Standard Chartered Bank – SMIC European Warrants Jan 2016 A 50,000,000 2014/09/08 2016/01/18 10.0015748 UBS AG – China Unicom European Warrants Mar 2015 A 25,000,000 2014/09/08 2015/03/09 10.0015749 UBS AG – ICBC European Warrants Feb 2015 A 70,000,000 2014/09/08 2015/02/23 10.5015751 UBS AG – Ping An European Warrants Jan 2015 B 70,000,000 2014/09/08 2015/01/05 10.5015753 UBS AG – Sands China European Warrants Mar 2015 B 60,000,000 2014/09/08 2015/03/10 18.6015826 Credit Suisse AG – China Cinda European Warrants Mar 2015 A 60,000,000 2014/09/10 2015/03/09 15.0015813 Credit Suisse AG – China Mobile European Warrants Feb 2015 I 80,000,000 2014/09/10 2015/02/27 12.0015822 Credit Suisse AG – China Tel European Warrants Mar 2015 B 60,000,000 2014/09/10 2015/03/09 15.0015821 Credit Suisse AG – China Tel European Put Warrants Mar 2015A 60,000,000 2014/09/10 2015/03/09 15.0015814 Credit Suisse AG – Hutchison European Warrants Jan 2015 A 80,000,000 2014/09/10 2015/01/30 21.6015815 Credit Suisse AG – Lenovo European Put Warrants Jul 2015 A 70,000,000 2014/09/10 2015/07/31 10.5015843 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Feb 2015 D 80,000,000 2014/09/10 2015/02/18 18.4015841 Citigroup Global Mkt H Inc. – Hutchison Euro Wts Jan 2015 A 80,000,000 2014/09/10 2015/01/23 18.4015836 Daiwa Capital Mkt – AIA European Warrants Apr 2015 B 98,000,000 2014/09/10 2015/04/13 18.6215830 Daiwa Capital Mkt – China Telecom European Wts Mar 2015 A 128,000,000 2014/09/10 2015/03/10 32.0015837 Daiwa Capital Mkt – HSBC European Put Warrants Apr 2015 A 80,000,000 2014/09/10 2015/04/15 20.0015839 Daiwa Capital Mkt – Hutchison European Warrants Mar 2015 A 98,000,000 2014/09/10 2015/03/09 24.5015768 Goldman Sachs SP (Asia) – HSCEI European Put Wts Feb 2015 B 150,000,000 2014/09/10 2015/02/26 26.1015769 Goldman Sachs SP (Asia) – HSI European Put Wts Feb 2015 A 150,000,000 2014/09/10 2015/02/26 27.0015770 Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2015 C 150,000,000 2014/09/10 2015/03/30 37.5015784 HK Bank – Galaxy Ent European Warrants Jan 2015 A 80,000,000 2014/09/10 2015/01/26 17.6015776 HK Bank – Kingsoft European Warrants Feb 2015 A 60,000,000 2014/09/10 2015/02/23 10.8015783 HK Bank – Sands China European Warrants Mar 2015 B 80,000,000 2014/09/10 2015/03/31 20.0015789 Macquarie Bank Ltd. – PetroChina European Wts Mar 2015 A 70,000,000 2014/09/10 2015/03/03 10.5015801 Standard Chartered Bank – CITIC European Warrants Jul 2015 A 80,000,000 2014/09/10 2015/07/03 20.00

Main Board Warrants



15800 Standard Chartered Bank – Evergrande European Wts Feb 2015 A 60,000,000 2014/09/10 2015/02/24 10.2015792 Standard Chartered Bank – HKEx European Warrants Feb 2015 B 50,000,000 2014/09/10 2015/02/02 15.0015840 Standard Chartered Bank – HSI European Warrants Jun 2015 A 100,000,000 2014/09/10 2015/06/29 15.0015793 Standard Chartered Bank – Sands China Euro Wts Mar 2015 B 80,000,000 2014/09/10 2015/03/09 22.4015799 Standard Chartered Bank – Sands China Eu Put Wts Feb 2015 B 80,000,000 2014/09/10 2015/02/18 15.2015802 Standard Chartered Bank – Want Want Ch European Wts Jun16A 80,000,000 2014/09/10 2016/06/27 12.0015803 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Apr 2015 A 80,000,000 2014/09/10 2015/04/08 20.0015786 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Mar 15 D 70,000,000 2014/09/10 2015/03/04 10.5015807 SGA Societe Generale Acceptance N.V. – CMob Eu Put Wt Mar15E 70,000,000 2014/09/10 2015/03/04 25.5515809 SGA Societe Generale Acceptance N.V. – CTel Eu Wt May 2015 A 40,000,000 2014/09/10 2015/05/06 10.0015812 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Apr15B 80,000,000 2014/09/10 2015/04/08 24.4015791 UBS AG – GCL-Poly Energy European Warrants Jan 2015 A 60,000,000 2014/09/10 2015/01/27 10.2015978 BOCI Asia Ltd. – China Mobile European Warrants Mar 2015 B 100,000,000 2014/09/11 2015/03/09 36.0015977 BOCI Asia Ltd. – China Mobile European Warrants Dec 2016 A 100,000,000 2014/09/11 2016/12/28 25.0015980 BOCI Asia Ltd. – Galaxy Ent European Warrants Mar 2015 A 100,000,000 2014/09/11 2015/03/16 44.0015975 BOCI Asia Ltd. – HSI European Warrants Mar 2015 B 100,000,000 2014/09/11 2015/03/30 20.0015976 BOCI Asia Ltd. – Sands China European Warrants Mar 2015 A 100,000,000 2014/09/11 2015/03/23 32.0015984 BNP Paribas Arbit Issu B.V. – AIA European Wts Sep 2015 A 100,000,000 2014/09/11 2015/09/02 25.0015981 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Sep 2015 A 100,000,000 2014/09/11 2015/09/02 25.0015982 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Nov 2016 A 100,000,000 2014/09/11 2016/11/02 26.0015983 BNP Paribas Arbit Issu B.V. – HLand Dev Euro Wts Jun 2015 A 51,000,000 2014/09/11 2015/06/02 13.2615900 Credit Suisse AG – China Mobile European Put Wts Mar 2015 A 60,000,000 2014/09/11 2015/03/10 15.0015902 Credit Suisse AG – HSI European Put Warrants Feb 2015 D 150,000,000 2014/09/11 2015/02/26 22.5015898 Credit Suisse AG – Tencent Holdings European Wts Dec 2015 A 100,000,000 2014/09/11 2015/12/14 17.0015970 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Mar 2015 B 80,000,000 2014/09/11 2015/03/10 22.4015971 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Mar 2015 C 80,000,000 2014/09/11 2015/03/10 20.0015847 Daiwa Capital Mkt – Minsheng Bk European Warrants Mar 2015 A 68,000,000 2014/09/11 2015/03/02 10.8815846 Daiwa Capital Mkt – China Unicom European Warrants Mar 2015A 58,000,000 2014/09/11 2015/03/10 35.9615845 Daiwa Capital Mkt – China Unicom European Warrants Jun 2015A 98,000,000 2014/09/11 2015/06/08 24.5015909 Goldman Sachs SP (Asia) – China Mobile Euro Wts Feb 2015 C 80,000,000 2014/09/11 2015/02/25 16.2415919 Goldman Sachs SP (Asia) – CNOOC European Warrants Mar 2015 A 80,000,000 2014/09/11 2015/03/02 34.7215918 Goldman Sachs SP (Asia) – Huadian Power European Wts Mar15 A 50,000,000 2014/09/11 2015/03/31 24.7515912 Goldman Sachs SP (Asia) – HKEx European Warrants Dec 2015 B 80,000,000 2014/09/11 2015/12/24 12.8015910 Goldman Sachs SP (Asia) – HSBC European Warrants Dec 2015 A 80,000,000 2014/09/11 2015/12/30 20.4015854 HK Bank – China Mobile European Warrants Feb 2015 E 80,000,000 2014/09/11 2015/02/23 14.4015855 HK Bank – China Mobile European Put Warrants Feb 2015 F 80,000,000 2014/09/11 2015/02/17 17.6015863 HK Bank – China Mobile European Put Warrants Jan 2017 A 150,000,000 2014/09/11 2017/01/09 25.5015850 HK Bank – MGM China European Warrants Jun 2015 A 80,000,000 2014/09/11 2015/06/30 20.0015864 HK Bank – SJM Holdings European Warrants Jun 2015 A 80,000,000 2014/09/11 2015/06/30 20.0015934 J P Morgan SP BV – AIA European Warrants Jun 2015 A 100,000,000 2014/09/11 2015/06/29 15.3015921 J P Morgan SP BV – Cheung Kong European Warrants Apr 2015 A 60,000,000 2014/09/11 2015/04/01 21.7815872 J P Morgan SP BV – China Mob European Wts Feb 2015 E 200,000,000 2014/09/11 2015/02/23 30.2015941 J P Morgan SP BV – China Mob European Put Wts Apr 2015 B 200,000,000 2014/09/11 2015/04/02 77.0015939 J P Morgan SP BV – China Mob European Put Wts Jan 2017 A 500,000,000 2014/09/11 2017/01/09 77.00

Main Board Warrants



15935 J P Morgan SP BV – PICC European Warrants Jan 2016 B 150,000,000 2014/09/11 2016/01/04 23.4015944 J P Morgan SP BV – Sands China European Warrants Apr 2015 A 150,000,000 2014/09/11 2015/04/02 38.4015874 Macquarie Bank Ltd. – China Unicom European Wts Apr 2016 A 50,000,000 2014/09/11 2016/04/05 12.5015908 Standard Chartered Bank – CITIC Bank European Wts Feb 2015 A 70,000,000 2014/09/11 2015/02/24 10.5015868 Standard Chartered Bank – CITIC European Warrants Dec 2015 B 80,000,000 2014/09/11 2015/12/28 14.4015972 Standard Chartered Bank – China Mobile Euro Wts Mar 2015 C 80,000,000 2014/09/11 2015/03/10 20.0015973 Standard Chartered Bank – China Mobile Eur Put Wt Mar 2015 D 80,000,000 2014/09/11 2015/03/10 28.0015865 Standard Chartered Bank – China Unicom Euro Wts Apr 2015 A 60,000,000 2014/09/11 2015/04/10 18.0015907 Standard Chartered Bank – China Unicom Euro Put Wts Feb 16 A 100,000,000 2014/09/11 2016/02/02 25.0015867 Standard Chartered Bank – Shunfeng Pv European Wts Feb 2015B 60,000,000 2014/09/11 2015/02/18 10.8015876 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Jun15B 80,000,000 2014/09/11 2015/06/03 13.6015875 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Apr 15 A 70,000,000 2014/09/11 2015/04/08 17.8515899 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Mar 2015 C 100,000,000 2014/09/11 2015/03/04 17.0015901 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Mar 2015 A 50,000,000 2014/09/11 2015/03/04 10.7515906 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Mar 15 B 100,000,000 2014/09/11 2015/03/04 15.0015969 UBS AG – Cheung Kong European Warrants Mar 2015 A 70,000,000 2014/09/11 2015/03/26 10.5015963 UBS AG – China Mobile European Warrants Mar 2015 D 100,000,000 2014/09/11 2015/03/10 25.0015957 UBS AG – China Mobile European Warrants Mar 2017 A 500,000,000 2014/09/11 2017/03/13 125.0015948 UBS AG – China Mobile European Put Warrants Mar 2015 C 100,000,000 2014/09/11 2015/03/10 25.0015871 UBS AG – Galaxy Ent European Warrants Feb 2015 B 40,000,000 2014/09/11 2015/02/25 13.2015848 UBS AG – HSCEI European Put Warrants Feb 2015 B 100,000,000 2014/09/11 2015/02/26 15.0016031 Credit Suisse AG – AIA European Put Warrants Mar 2015 B 60,000,000 2014/09/12 2015/03/30 10.8016033 Credit Suisse AG – China Life European Put Warrants Feb 15 A 70,000,000 2014/09/12 2015/02/27 10.5016034 Credit Suisse AG – China Mobile European Warrants Mar 2015 B 80,000,000 2014/09/12 2015/03/11 20.0016037 Credit Suisse AG – China Mobile European Put Wts Jan 2017 A 60,000,000 2014/09/12 2017/01/09 10.2016032 Credit Suisse AG – Ping An European Put Warrants Jan 2015 B 60,000,000 2014/09/12 2015/01/30 10.8016014 Daiwa Capital Mkt – China Life European Warrants Jun 2015 A 158,000,000 2014/09/12 2015/06/12 39.5016017 Daiwa Capital Mkt – China Mobile European Put Wts Mar 2015 B 80,000,000 2014/09/12 2015/03/11 32.0016021 Daiwa Capital Mkt – Tencent Holdings European Wts Feb 2015 B 128,000,000 2014/09/12 2015/02/11 44.8016024 Daiwa Capital Mkt – Tencent Holdings European Wts Apr 2015 B 128,000,000 2014/09/12 2015/04/23 33.2816012 Daiwa Capital Mkt – Tencent Holdings Euro Put Wts Mar 2015 A 98,000,000 2014/09/12 2015/03/11 24.5016010 Goldman Sachs SP (Asia) – CAM CSI300 European Wts Sep 2015 A 80,000,000 2014/09/12 2015/09/30 20.4816038 Goldman Sachs SP (Asia) – China Mobile Eu Put Wts Mar 2015 B 80,000,000 2014/09/12 2015/03/27 31.1216008 Goldman Sachs SP (Asia) – CMS European Warrants Dec 2015 A 80,000,000 2014/09/12 2015/12/30 20.0016009 Goldman Sachs SP (Asia) – Chi Res Land Euro Wts Oct 2015 A 80,000,000 2014/09/12 2015/10/30 20.0016007 Goldman Sachs SP (Asia) – Link REIT European Wts Aug 2015 A 80,000,000 2014/09/12 2015/08/28 20.5616042 Goldman Sachs SP (Asia) – PICC European Warrants Jan 2016 A 80,000,000 2014/09/12 2016/01/05 16.5616043 Goldman Sachs SP (Asia) – PICC Group European Wts Feb 2015 A 80,000,000 2014/09/12 2015/02/23 16.0816025 Goldman Sachs SP (Asia) – Tencent European Wt Feb 2015 A 80,000,000 2014/09/12 2015/02/02 22.8015990 HK Bank – China Life European Warrants Dec 2015 A 100,000,000 2014/09/12 2015/12/28 17.0015988 HK Bank – Minsheng Bank European Warrants Jan 2015 B 60,000,000 2014/09/12 2015/01/27 15.0015989 HK Bank – China Tel European Warrants Mar 2015 A 60,000,000 2014/09/12 2015/03/11 15.0015986 HK Bank – Lenovo European Warrants Mar 2015 A 60,000,000 2014/09/12 2015/03/31 30.0015996 Standard Chartered Bank – CSOP A50 ETF Euro Wts Apr 2015 A 80,000,000 2014/09/12 2015/04/29 20.00

Main Board Warrants



15993 Standard Chartered Bank – A50 China Euro Warrants Feb 2015 C 80,000,000 2014/09/12 2015/02/26 12.0015994 Standard Chartered Bank – A50 China Euro Warrants Mar 2015 A 80,000,000 2014/09/12 2015/03/31 21.6015992 Standard Chartered Bank – HuanengPower Euro Wts Mar 2015 A 50,000,000 2014/09/12 2015/03/31 12.5015997 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Mar 2015A 40,000,000 2014/09/12 2015/03/04 15.8015998 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Apr 2015 A 40,000,000 2014/09/12 2015/04/08 18.0015999 SGA Societe Generale Acceptance N.V. – HKEx Eu Put Wt Sep15B 300,000,000 2014/09/12 2015/09/02 75.0016006 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Dec 15 A 500,000,000 2014/09/12 2015/12/28 80.0016029 UBS AG – China Tel European Warrants May 2015 A 40,000,000 2014/09/12 2015/05/11 10.0016046 UBS AG – HSI European Warrants Sep 2015 A 300,000,000 2014/09/12 2015/09/29 75.0016030 UBS AG – HSI European Warrants Dec 2015 A 300,000,000 2014/09/12 2015/12/30 45.0016044 UBS AG – PetroChina European Warrants Apr 2015 A 50,000,000 2014/09/12 2015/04/30 11.5016026 UBS AG – Wynn Macau European Warrants Jun 2015 A 40,000,000 2014/09/12 2015/06/22 10.0016028 UBS AG – ZTE European Warrants Jul 2015 A 40,000,000 2014/09/12 2015/07/20 10.0016078 Credit Suisse AG – HSI European Warrants Mar 2015 C 150,000,000 2014/09/15 2015/03/30 22.5016073 Daiwa Capital Mkt – CCB European Warrants Feb 2015 B 128,000,000 2014/09/15 2015/02/16 19.2016074 Daiwa Capital Mkt – CCB European Put Warrants Apr 2015 A 80,000,000 2014/09/15 2015/04/15 20.0016051 Daiwa Capital Mkt – China Life European Warrants May 2015 A 168,000,000 2014/09/15 2015/05/27 25.2016075 Daiwa Capital Mkt – Ping An European Warrants Feb 2015 B 108,000,000 2014/09/15 2015/02/24 16.2016085 Goldman Sachs SP (Asia) – China Gas Hold Euro Wts May15A 65,000,000 2014/09/15 2015/05/27 10.4716072 HK Bank – CC Bank European Warrants Feb 2015 A 80,000,000 2014/09/15 2015/02/23 12.0016070 HK Bank – CC Bank European Warrants Jul 2015 A 80,000,000 2014/09/15 2015/07/31 24.0016064 HK Bank – China Life European Warrants Jun 2015 B 80,000,000 2014/09/15 2015/06/10 12.0016071 HK Bank – China Life European Warrants Jul 2015 A 80,000,000 2014/09/15 2015/07/31 20.0016069 HK Bank – PICC Group European Warrants Feb 2015 A 80,000,000 2014/09/15 2015/02/17 13.6016052 J P Morgan SP BV – China Life European Warrants Jun 2015 B 100,000,000 2014/09/15 2015/06/01 15.1016101 J P Morgan SP BV – HSBC European Warrants Feb 2015 A 200,000,000 2014/09/15 2015/02/26 30.4016103 J P Morgan SP BV – Kingsoft European Warrants Feb 2015 A 150,000,000 2014/09/15 2015/02/26 23.4016084 Macquarie Bank Ltd. – Sands China European Wts Mar 2015 A 70,000,000 2014/09/15 2015/03/03 10.5016076 Standard Chartered Bank – AIA European Warrants Jun 2015 A 80,000,000 2014/09/15 2015/06/22 14.4016088 Standard Chartered Bank – CSR European Warrants Mar 2015 A 40,000,000 2014/09/15 2015/03/20 10.0016077 Standard Chartered Bank – PetroChina European Wts May 2015 B 60,000,000 2014/09/15 2015/05/05 15.0016079 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Jul 2015 A 100,000,000 2014/09/15 2015/07/06 15.5016087 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Feb 2016 A 80,000,000 2014/09/15 2016/02/03 20.0016080 SGA Societe Generale Acceptance N.V. – Petch Eu Wt May 2015A 60,000,000 2014/09/15 2015/05/06 12.0016082 UBS AG – Cheung Kong European Warrants Dec 2016 A 300,000,000 2014/09/15 2016/12/28 75.0016083 UBS AG – CSOP A50 ETF European Warrants Mar 2015 B 80,000,000 2014/09/15 2015/03/02 26.4016081 UBS AG – Kingsoft European Warrants Mar 2015 A 100,000,000 2014/09/15 2015/03/16 25.0029938 # Citigroup Global Mkt H Inc. – HKEx European Wts Sep 2015 C 120,000,000 2014/09/15 2015/09/07 26.6416133 Credit Suisse AG – CC Bank European Put Warrants Mar 2015 A 60,000,000 2014/09/16 2015/03/16 15.0016132 Credit Suisse – SMIC European Warrants Dec 2015 A 60,000,000 2014/09/16 2015/12/21 12.0016108 Daiwa Capital Mkt – China Cinda European Warrants Jan 2015 A 68,000,000 2014/09/16 2015/01/05 14.9616107 Daiwa Capital Mkt – Kingsoft European Warrants Feb 2015 A 80,000,000 2014/09/16 2015/02/17 12.8016123 Goldman Sachs SP (Asia) – AIA European Warrants Apr 2015 B 80,000,000 2014/09/16 2015/04/13 12.0816125 Goldman Sachs SP (Asia) – China Life Euro Wts May 2015 B 80,000,000 2014/09/16 2015/05/27 12.16

Main Board Warrants



16126 Goldman Sachs SP (Asia) – Ping An European Wts Mar 2015 A 80,000,000 2014/09/16 2015/03/30 27.8416128 Goldman Sachs SP (Asia) – Ping An European Wts Apr 2015 A 80,000,000 2014/09/16 2015/04/02 12.3216114 HK Bank – CGS European Warrants Dec 2015 A 80,000,000 2014/09/16 2015/12/09 12.0016116 HK Bank – PICC European Warrants Dec 2015 B 80,000,000 2014/09/16 2015/12/28 14.4016109 HK Bank – Ping An European Warrants Feb 2015 A 80,000,000 2014/09/16 2015/02/24 12.0016118 HK Bank – Ping An European Warrants Mar 2015 A 80,000,000 2014/09/16 2015/03/31 24.0016137 J P Morgan SP BV – Avichina European Warrants Jan 2015 A 35,000,000 2014/09/16 2015/01/30 12.5016134 J P Morgan SP BV – CMS European Warrants Nov 2015 A 40,000,000 2014/09/16 2015/11/03 10.2016136 J P Morgan Int’l Der. Ltd. – Ch Res Ent Euro Wts Mar 2015 A 70,000,000 2014/09/16 2015/03/03 10.5716135 J P Morgan Int’l Der. Ltd. – SMIC European Wts Dec 2015 A 100,000,000 2014/09/16 2015/12/21 15.3016139 J P Morgan SP BV – ZTE European Warrants Jun 2015 A 40,000,000 2014/09/16 2015/06/30 10.0416122 Macquarie Bank Ltd. – CC Bank European Warrants Feb 2015 A 70,000,000 2014/09/16 2015/02/03 10.5016121 Macquarie Bank Ltd. – ICBC European Warrants Feb 2015 A 70,000,000 2014/09/16 2015/02/03 10.5016130 Macquarie Bank Ltd. – PWR Assets European Wts Jul 2015 A 40,000,000 2014/09/16 2015/07/03 10.0016129 Standard Chartered Bank – HSBC European Warrants Feb 2015 A 100,000,000 2014/09/16 2015/02/18 15.0016119 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Jul 2015 A 100,000,000 2014/09/16 2015/07/06 20.5016120 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Apr15A 80,000,000 2014/09/16 2015/04/08 42.4016196 BOCI Asia Ltd. – SMIC European Warrants Mar 2016 A 50,000,000 2014/09/17 2016/03/21 12.5016175 Credit Suisse AG – Kingsoft European Warrants Mar 2015 C 60,000,000 2014/09/17 2015/03/16 15.0016198 Citigroup Global Mkt H Inc. – Cheung Kong Euro Wt Dec 2014 B 80,000,000 2014/09/17 2014/12/24 20.0016190 Goldman Sachs SP (Asia) – Sinopec Corp European Wts Feb 2015 A 80,000,000 2014/09/17 2015/02/02 21.6816192 Goldman Sachs SP (Asia) – Cathay Pacific Euro Wts Sep 2015 A 80,000,000 2014/09/17 2015/09/25 12.0016191 Goldman Sachs SP (Asia) – CSR European Warrants Sep 2016 A 80,000,000 2014/09/17 2016/09/27 12.8016194 Goldman Sachs Sp (Asia) – ICBC European Warrants Mar 2015 A 80,000,000 2014/09/17 2015/03/30 20.0016193 Goldman Sachs SP (Asia) – Li & Fung European Wts Mar 2015 A 80,000,000 2014/09/17 2015/03/30 36.7216188 J P Morgan SP BV – Galaxy Ent European Warrants Apr 2015 A 150,000,000 2014/09/17 2015/04/01 37.8016187 J P Morgan SP BV – Melco Int’l Dev European Wts Aug 2015 A 80,000,000 2014/09/17 2015/08/04 20.0816189 J P Morgan SP BV – MGM China European Warrants Jun 2015 A 80,000,000 2014/09/17 2015/06/02 20.2416165 J P Morgan SP BV – Sands China European Warrants Feb 2015 B 150,000,000 2014/09/17 2015/02/26 22.5016168 Macquarie Bank Ltd. – CHALCO European Warrants Mar 2015 A 50,000,000 2014/09/17 2015/03/03 10.6516169 Macquarie Bank Ltd. – Anton Oilfield European Wts Mar 2015 A 25,000,000 2014/09/17 2015/03/17 10.0016170 Macquarie Bank Ltd. – Kingsoft European Warrants Mar 2015 B 50,000,000 2014/09/17 2015/03/03 10.0016159 Nomura Int’l plc – AviChina European Warrants Jan 2015 A 80,000,000 2014/09/17 2015/01/27 27.2016140 Nomura Int’l plc – China Mer Hold European Wts Jun 2015 A 50,000,000 2014/09/17 2015/06/30 12.7516156 Nomura Int’l plc – CMS European Warrants Oct 2015 A 50,000,000 2014/09/17 2015/10/28 12.5016158 Nomura Int’l plc – COSCO Pacific European Warrants Mar 2015A 15,000,000 2014/09/17 2015/03/30 10.6516142 Nomura Int’l plc – Chi Resources European Warrants Mar 2015A 80,000,000 2014/09/17 2015/03/02 12.0016161 Nomura Int’l plc – Ch Ship Cont European Warrants Mar 2015 A 50,000,000 2014/09/17 2015/03/30 12.5016147 Nomura Int’l plc – China Unicom European Warrants Mar 2015 A 50,000,000 2014/09/17 2015/03/30 36.2516148 Nomura Int’l plc – China Unicom European Put Wts Sep 2016 A 80,000,000 2014/09/17 2016/09/29 20.0016143 Nomura Int’l plc – Hanergy Solar European Warrants Jun 2015A 80,000,000 2014/09/17 2015/06/30 20.0016157 Nomura Int’l plc – SMIC European Warrants Dec 2015 B 80,000,000 2014/09/17 2015/12/18 12.0016144 Nomura Int’l plc – Sinotrans European Warrants Mar 2015 A 20,000,000 2014/09/17 2015/03/30 15.0016141 Nomura Int’l plc – Shenzhen Int’l European Wts Dec 2015 A 50,000,000 2014/09/17 2015/12/28 13.10

Main Board Warrants



16150 Nomura Int’l plc – ZTE European Warrants Jun 2015 A 50,000,000 2014/09/17 2015/06/29 12.5016185 Standard Chartered Bank – HSCEI European Warrants Nov 2015 A 100,000,000 2014/09/17 2015/11/27 19.0016176 Standard Chartered Bank – Ping An European Wts Jan 2015 A 80,000,000 2014/09/17 2015/01/23 12.0016172 SGA Societe Generale Acceptance N.V. – CCCCL Eu Wt Apr 2015 A 30,000,000 2014/09/17 2015/04/08 10.0516171 SGA Societe Generale Acceptance N.V. – CK(H) Eu Wt Apr 2015A 40,000,000 2014/09/17 2015/04/08 16.4016173 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Mar 15 F 70,000,000 2014/09/17 2015/03/02 26.9516162 SGA Societe Generale Acceptance N.V. – CTel Eu Wt Jun 2015 A 40,000,000 2014/09/17 2015/06/03 10.0016163 SGA Societe Generale Acceptance N.V. – SJM Hold Eu Wt Dec15A 60,000,000 2014/09/17 2015/12/02 15.0016174 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Feb 15 C 150,000,000 2014/09/17 2015/02/04 87.0016182 UBS AG – CC Bank European Warrants Mar 2015 B 100,000,000 2014/09/17 2015/03/16 40.0016183 UBS AG – Sihuan Pharm European Warrants Mar 2015 A 100,000,000 2014/09/17 2015/03/26 18.0016181 UBS AG – Tencent Holdings European Warrants Dec 2014 C 100,000,000 2014/09/17 2014/12/23 23.0016184 UBS AG – Want Want Ch European Warrants Jun 2016 A 100,000,000 2014/09/17 2016/06/23 15.0016219 Credit Suisse AG – CC Bank European Warrants Jan 2015 C 70,000,000 2014/09/18 2015/01/30 10.5016220 Credit Suisse AG – CC Bank European Warrants Mar 2015 B 70,000,000 2014/09/18 2015/03/30 11.9016221 Credit Suisse AG – ICBC European Warrants Feb 2015 B 70,000,000 2014/09/18 2015/02/27 10.5016222 Credit Suisse AG – Lenovo European Warrants Mar 2016 A 70,000,000 2014/09/18 2016/03/29 11.9016225 Credit Suisse AG – Tencent Holdings European Wts Dec 2014 J 100,000,000 2014/09/18 2014/12/29 35.0016224 Credit Suisse AG – Tencent Holdings European Wts Dec 2015 B 150,000,000 2014/09/18 2015/12/28 37.5016223 Credit Suisse AG – ZTE European Warrants Jun 2015 A 60,000,000 2014/09/18 2015/06/29 15.0016214 Goldman Sachs SP (Asia) – Sands China Euro Wts Mar 2015 A 80,000,000 2014/09/18 2015/03/30 26.2416206 Goldman Sachs SP (Asia) – Tencent European Wt Mar 2015 A 80,000,000 2014/09/18 2015/03/02 39.1216230 Macquarie Bank Ltd. – Anhui Conch European Wts Apr 2015 B 40,000,000 2014/09/18 2015/04/02 10.0016227 Macquarie Bank Ltd. – Avichina European Warrants Apr 2015 A 40,000,000 2014/09/18 2015/04/02 10.0016228 Macquarie Bank Ltd. – China Mobile European Wts Mar 2015 B 40,000,000 2014/09/18 2015/03/03 10.0016229 Macquarie Bank Ltd. – Galaxy Ent European Wts Apr 2015 A 40,000,000 2014/09/18 2015/04/02 10.0016202 Standard Chartered Bank – China Life Euro Put Wts Feb 2015 A 100,000,000 2014/09/18 2015/02/24 15.0016201 Standard Chartered Bank – HSCEI European Warrants Mar 2015 B 100,000,000 2014/09/18 2015/03/30 25.0016199 Standard Chartered Bank – PICC Group European Wts Feb 2015 B 60,000,000 2014/09/18 2015/02/17 10.8016200 Standard Chartered Bank – Wynn Macau European Wts Jun 2015 A 50,000,000 2014/09/18 2015/06/29 12.5016226 UBS AG – Galaxy Ent European Warrants Mar 2015 A 60,000,000 2014/09/18 2015/03/17 27.6016203 UBS AG – HSCEI European Warrants Feb 2015 C 100,000,000 2014/09/18 2015/02/26 15.0016262 Credit Suisse AG – A50 China European Warrants Mar 2015 A 80,000,000 2014/09/19 2015/03/23 25.6016254 Goldman Sachs SP (Asia) – Avichina European Warrants Mar15 A 80,000,000 2014/09/19 2015/03/30 29.0416260 Goldman Sachs SP (Asia) – China Cinda Euro Wts Feb 2015 B 80,000,000 2014/09/19 2015/02/27 20.0816256 Goldman Sachs SP (Asia) – CITIC European Warrants Oct 2015 A 80,000,000 2014/09/19 2015/10/30 20.0816255 Goldman Sachs SP (Asia) – MGM China European Warrants Apr15A 80,000,000 2014/09/19 2015/04/30 20.0816261 Goldman Sachs SP (Asia) – NCI European Warrants Mar 2015 A 80,000,000 2014/09/19 2015/03/30 21.1216233 HK Bank – Galaxy Ent European Warrants Mar 2015 A 80,000,000 2014/09/19 2015/03/31 28.0016234 HK Bank – Sands China European Warrants Mar 2015 C 80,000,000 2014/09/19 2015/03/31 22.4016232 HK Bank – Tencent European Warrants Dec 2014 C 80,000,000 2014/09/19 2014/12/31 14.4016231 HK Bank – Tencent European Warrants Jan 2015 C 80,000,000 2014/09/19 2015/01/28 46.4016235 HK Bank – Tencent European Warrants Feb 2015 B 80,000,000 2014/09/19 2015/02/23 36.0016236 Nomura Int’l plc – Baiyunshan Ph European Warrants Mar 2015A 40,000,000 2014/09/19 2015/03/20 14.80

Main Board Warrants



16237 Nomura Int’l plc – Sinopharm European Warrants Mar 2015 B 50,000,000 2014/09/19 2015/03/30 12.8016238 Nomura Int’l plc – Sihuan Pharm European Warrants Mar 2015 B 80,000,000 2014/09/19 2015/03/26 15.8416240 Standard Chartered Bank – CNBM European Warrants Mar 2015 A 40,000,000 2014/09/19 2015/03/30 16.0016239 Standard Chartered Bank – GCL-Poly Energy Eur Wts Jun 2015 A 50,000,000 2014/09/19 2015/06/15 12.5016242 Standard Chartered Bank – Galaxy Ent European Wts Apr 2015 A 60,000,000 2014/09/19 2015/04/08 21.9016243 Standard Chartered Bank – HKEx European Warrants Sep 2015 A 150,000,000 2014/09/19 2015/09/22 22.5016246 Standard Chartered Bank – HKEx European Put Wts Mar 2015 A 120,000,000 2014/09/19 2015/03/09 18.0016247 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Apr 2015B 80,000,000 2014/09/19 2015/04/08 38.0016248 UBS AG – CNOOC European Warrants Oct 2016 A 80,000,000 2014/09/19 2016/10/24 20.0016253 UBS AG – Sinopec Corp European Warrants Jan 2015 A 70,000,000 2014/09/19 2015/01/26 14.7016252 UBS AG – Lenovo European Warrants Mar 2016 A 100,000,000 2014/09/19 2016/03/29 19.0016269 Credit Suisse AG – Galaxy Ent European Warrants Mar 2015 A 80,000,000 2014/09/22 2015/03/23 26.4016287 Goldman Sachs SP (Asia) – Chi Resources Euro Wt Jul 2015 A 80,000,000 2014/09/22 2015/07/30 20.0016288 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts Mar 2015 A 80,000,000 2014/09/22 2015/03/31 23.6016289 Goldman Sachs SP (Asia) – Tencent European Wt Dec 2016 A 120,000,000 2014/09/22 2016/12/28 30.6016266 HK Bank – Agricultural Bank European Warrants Jul 2015 B 80,000,000 2014/09/22 2015/07/31 20.0016265 HK Bank – Agricultural Bank European Warrants Aug 2015 A 80,000,000 2014/09/22 2015/08/24 15.2016264 HK Bank – China Mobile European Warrants Feb 2015 G 80,000,000 2014/09/22 2015/02/12 24.0016283 J P Morgan SP BV – AAC Acoustic European Warrants Apr 2015 A 60,000,000 2014/09/22 2015/04/02 21.6016285 J P Morgan SP BV – Geely Auto European Warrants Apr 2015 A 100,000,000 2014/09/22 2015/04/02 25.6016286 J P Morgan SP BV – Hutchison European Warrants Apr 2015 A 80,000,000 2014/09/22 2015/04/02 20.1616284 J P Morgan SP BV – Sands China European Warrants Dec 2018 A 300,000,000 2014/09/22 2018/12/31 45.3016281 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Apr15 A 40,000,000 2014/09/22 2015/04/08 12.2016263 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt May 2015A 300,000,000 2014/09/22 2015/05/27 45.0016282 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Apr 15 B 100,000,000 2014/09/22 2015/04/08 30.5016267 UBS AG – CNOOC European Warrants May 2015 A 80,000,000 2014/09/22 2015/05/15 12.0016268 UBS AG – Sinopec Corp European Warrants Jan 2015 B 70,000,000 2014/09/22 2015/01/05 15.4015753 # UBS AG – Sands China European Warrants Mar 2015 B 106,000,000 2014/09/22 2015/03/10 10.0716317 Credit Suisse AG – China Mobile European Warrants Feb 2015 J 80,000,000 2014/09/23 2015/02/16 24.0016318 Credit Suisse AG – Sinopec Corp European Warrants Mar 2015 C 80,000,000 2014/09/23 2015/03/23 28.8016319 Credit Suisse AG – Sands China European Warrants Mar 2015 B 80,000,000 2014/09/23 2015/03/23 25.6016300 Daiwa Capital Mkt – Sinopec Corp European Wts Feb 2015 A 80,000,000 2014/09/23 2015/02/02 12.8016291 Daiwa Capital Mkt – Galaxy Ent European Warrants Mar 2015 B 98,000,000 2014/09/23 2015/03/23 29.4016296 Daiwa Capital Mkt – Galaxy Ent European Warrants Mar 2015 C 98,000,000 2014/09/23 2015/03/11 14.7016290 Daiwa Capital Mkt – HSBC European Warrants Apr 2015 B 108,000,000 2014/09/23 2015/04/02 31.3216299 Daiwa Capital Mkt – Sands China European Warrants Mar 2015 A 98,000,000 2014/09/23 2015/03/02 19.6016308 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Mar 2015 A 80,000,000 2014/09/23 2015/03/02 36.3216301 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2015 D 150,000,000 2014/09/23 2015/03/30 24.9016305 Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2015 E 150,000,000 2014/09/23 2015/03/30 37.5016307 Goldman Sachs SP (Asia) – Tencent European Wt Jan 2015 A 80,000,000 2014/09/23 2015/01/28 22.8016327 J P Morgan SP BV – Minsheng Bank European Wts Apr 2015 A 80,000,000 2014/09/23 2015/04/02 20.4816328 J P Morgan SP BV – Sinopec Corp European Warrants Apr 2015 A 100,000,000 2014/09/23 2015/04/02 25.9016329 J P Morgan SP BV – Galaxy Ent European Warrants Apr 2015 B 100,000,000 2014/09/23 2015/04/02 25.3016330 J P Morgan SP BV – Sands China European Warrants Apr 2015 B 150,000,000 2014/09/23 2015/04/02 37.65

Main Board Warrants



16315 Macquarie Bank Ltd. – China Cinda European Wts May 2015 A 50,000,000 2014/09/23 2015/05/05 12.5016313 Macquarie Bank Ltd. – China Tel European Warrants May 2015 A 35,000,000 2014/09/23 2015/05/05 10.0116309 Macquarie Bank Ltd. – Galaxy Ent European Wts Apr 2015 B 40,000,000 2014/09/23 2015/04/02 10.0016310 Macquarie Bank Ltd. – Sands China European Wts Apr 2015 B 40,000,000 2014/09/23 2015/04/02 10.0016322 Standard Chartered Bank – China Life European Wts Jun 2015 B 100,000,000 2014/09/23 2015/06/19 15.0016316 Standard Chartered Bank – Sinopec Corp Euro Wts May 2015 B 80,000,000 2014/09/23 2015/05/11 39.2016324 Standard Chartered Bank – Galaxy Ent European Wts Apr 2015 B 80,000,000 2014/09/23 2015/04/08 25.6016326 Standard Chartered Bank – Kingsoft European Wts Apr 2015 A 80,000,000 2014/09/23 2015/04/08 20.0016323 Standard Chartered Bank – Sands China Euro Wts Apr 2015 A 80,000,000 2014/09/23 2015/04/08 20.0016321 UBS AG – Sands China European Warrants Mar 2015 C 60,000,000 2014/09/23 2015/03/23 15.0016366 BOCI Asia Ltd. – Cheung Kong European Warrants Dec 2016 A 100,000,000 2014/09/24 2016/12/19 23.0016358 BOCI Asia Ltd. – CNOOC European Warrants May 2015 A 100,000,000 2014/09/24 2015/05/18 15.0016365 BOCI Asia Ltd. – Sinopec Corp European Warrants Mar 2015 B 100,000,000 2014/09/24 2015/03/30 32.0016364 BOCI Asia Ltd. – Sinopec Corp European Warrants Dec 2015 A 100,000,000 2014/09/24 2015/12/28 15.0016360 BOCI Asia Ltd. – HKEx European Warrants Aug 2015 A 100,000,000 2014/09/24 2015/08/11 18.0016357 BOCI Asia Ltd. – Kingsoft European Warrants Mar 2015 A 100,000,000 2014/09/24 2015/03/16 23.0016359 BOCI Asia Ltd. – Tencent Holdings European Wts Mar 2015 A 100,000,000 2014/09/24 2015/03/09 44.0016371 Credit Suisse AG – HSI European Put Warrants Jan 2015 C 150,000,000 2014/09/24 2015/01/29 22.5016367 Daiwa Capital Mkt – Ping An European Warrants Mar 2015 A 98,000,000 2014/09/24 2015/03/23 24.5016388 Goldman Sachs SP (Asia) – CHALCO European Wts Mar 2015 A 80,000,000 2014/09/24 2015/03/30 24.3216384 Goldman Sachs SP (Asia) – Minsheng Bank Euro Wts Mar 2015 A 80,000,000 2014/09/24 2015/03/31 31.2816386 Goldman Sachs SP (Asia) – China Unicom Euro Wts Jun 2015 A 80,000,000 2014/09/24 2015/06/01 12.0016380 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts Mar 2015 B 80,000,000 2014/09/24 2015/03/30 30.8816387 Goldman Sachs SP (Asia) – Greatwall Motor Eur Wts Mar 2015 A 80,000,000 2014/09/24 2015/03/30 22.8016385 Goldman Sachs SP (Asia) – Baiyunshan Ph European Wts Mar15 A 40,000,000 2014/09/24 2015/03/31 19.3616382 Goldman Sachs SP (Asia) – Sands China Euro Wts Mar 2015 B 80,000,000 2014/09/24 2015/03/30 24.3216333 HK Bank – China Mobile European Warrants Dec 2016 A 150,000,000 2014/09/24 2016/12/19 22.5016334 HK Bank – Sinopec Corp European Warrants Mar 2015 A 80,000,000 2014/09/24 2015/03/31 28.0016335 HK Bank – Galaxy Ent European Warrants Mar 2015 B 80,000,000 2014/09/24 2015/03/31 24.0016337 HK Bank – Galaxy Ent European Warrants Mar 2015 C 80,000,000 2014/09/24 2015/03/31 32.0016336 HK Bank – Sands China European Warrants Mar 2015 D 80,000,000 2014/09/24 2015/03/31 24.0016391 J P Morgan SP BV – Anhui Conch European Warrants Jul 2015 A 100,000,000 2014/09/24 2015/07/02 25.3016389 J P Morgan SP BV – Galaxy Ent European Put Wts Apr 2015 C 100,000,000 2014/09/24 2015/04/02 25.5016390 J P Morgan SP BV – Sands China European Put Wts Apr 2015 C 100,000,000 2014/09/24 2015/04/02 25.8016331 J P Morgan SP BV – SJM Holdings European Warrants Oct 2015 A 100,000,000 2014/09/24 2015/10/30 25.3016345 J P Morgan SP BV – Wynn Macau European Warrants Apr 2015 A 80,000,000 2014/09/24 2015/04/02 20.0816376 Macquarie Bank Ltd. – Angang Steel European Wts May 2015 A 40,000,000 2014/09/24 2015/05/04 11.0016339 Macquarie Bank Ltd. – Hanergy Solar European Warrants Apr15A 30,000,000 2014/09/24 2015/04/16 10.0216377 Macquarie Bank Ltd. – PICC Group European Wts Aug 2015 A 40,000,000 2014/09/24 2015/08/04 10.0016338 Macquarie Bank Ltd. – Shunfeng Pv European Warrants May 15 A 40,000,000 2014/09/24 2015/05/18 10.0016340 Standard Chartered Bank – HSI European Warrants Mar 2015 E 100,000,000 2014/09/24 2015/03/30 25.0016341 Standard Chartered Bank – HSI European Warrants Mar 2015 F 100,000,000 2014/09/24 2015/03/30 27.0016343 Standard Chartered Bank – HSI European Put Wts Jan 2015 D 100,000,000 2014/09/24 2015/01/29 16.0016375 Standard Chartered Bank – Sands China Euro Wts Mar 2015 C 80,000,000 2014/09/24 2015/03/24 22.40

Main Board Warrants



16373 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Apr15B 70,000,000 2014/09/24 2015/04/08 25.5516374 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Apr 2015B 70,000,000 2014/09/24 2015/04/08 25.2016353 SGA Societe Generale Acceptance N.V. – Galaxy Eu Put Wt Apr15B 80,000,000 2014/09/24 2015/04/08 21.2016354 SGA Societe Generale Acceptance N.V – Sands China Eu Wt May15A 80,000,000 2014/09/24 2015/05/06 28.4016368 UBS AG – Galaxy Ent European Warrants Mar 2015 B 60,000,000 2014/09/24 2015/03/24 24.0016370 UBS AG – MGM China European Warrants Mar 2015 A 40,000,000 2014/09/24 2015/03/23 10.0016369 UBS AG – Sands China European Warrants Mar 2015 D 60,000,000 2014/09/24 2015/03/30 21.0016332 UBS AG – SJM Holdings European Warrants Jun 2015 A 40,000,000 2014/09/24 2015/06/29 10.0016433 BNP Paribas Arbit Issu B.V. – Sinopec Corp Eu Wts Mar 2015 B 100,000,000 2014/09/25 2015/03/03 19.0016434 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Apr 2015 A 100,000,000 2014/09/25 2015/04/02 26.0016435 BNP Paribas Arbit Issu B.V. – Sands China Euro Wt Apr 2015 A 100,000,000 2014/09/25 2015/04/02 25.0016422 Credit Suisse AG – China Mobile European Warrants Mar 2017 A 80,000,000 2014/09/25 2017/03/06 12.0016423 Credit Suisse AG – Galaxy Ent European Warrants Mar 2015 B 80,000,000 2014/09/25 2015/03/30 32.0016421 Credit Suisse AG – HSI European Warrants Feb 2015 E 150,000,000 2014/09/25 2015/02/26 22.5016420 Credit Suisse AG – HSI European Warrants Apr 2015 A 150,000,000 2014/09/25 2015/04/29 22.5016432 Credit Suisse AG – Ping An European Warrants Mar 2015 A 80,000,000 2014/09/25 2015/03/30 20.0016424 Credit Suisse AG – Sands China European Warrants Mar 2015 C 80,000,000 2014/09/25 2015/03/30 20.8016405 HK Bank – CNOOC European Warrants Jun 2015 A 100,000,000 2014/09/25 2015/06/01 15.0016409 HK Bank – Esprit European Warrants Dec 2015 A 60,000,000 2014/09/25 2015/12/31 15.0016404 HK Bank – ICBC European Warrants Mar 2015 A 80,000,000 2014/09/25 2015/03/23 16.0016403 HK Bank – ICBC European Warrants Jul 2015 A 80,000,000 2014/09/25 2015/07/06 20.0016408 HK Bank – ZTE European Warrants Jun 2015 A 60,000,000 2014/09/25 2015/06/30 15.0016442 J P Morgan SP BV – GAC European Warrants Dec 2016 A 100,000,000 2014/09/25 2016/12/01 25.0016440 J P Morgan SP BV – Galaxy Ent European Warrants Apr 2015 D 100,000,000 2014/09/25 2015/04/02 30.7016441 J P Morgan SP BV – Kingsoft European Warrants Apr 2015 A 100,000,000 2014/09/25 2015/04/02 25.2016436 J P Morgan SP BV – Sands China European Warrants Apr 2015 D 100,000,000 2014/09/25 2015/04/02 25.6016430 Macquarie Bank Ltd. – MGM China European Warrants Jul 2015 A 40,000,000 2014/09/25 2015/07/03 10.0016392 Nomura Int’l plc – China EB Ltd European Warrants Mar 2016 A 50,000,000 2014/09/25 2016/03/29 13.2516402 Nomura Int’l plc – Chsouthcity European Warrants Mar 2015 A 50,000,000 2014/09/25 2015/03/30 21.5016394 Nomura Int’l plc – Fosun Intl European Warrants Jun 2015 A 80,000,000 2014/09/25 2015/06/24 12.0016393 Nomura Int’l plc – Geely Auto European Warrants Mar 2015 A 50,000,000 2014/09/25 2015/03/30 13.0016401 Nomura Int’l plc – HN Renewables European Warrants May 2015A 50,000,000 2014/09/25 2015/05/28 12.5016396 Nomura Int’l plc – Xinyi Glass European Warrants Mar 2015 A 50,000,000 2014/09/25 2015/03/30 20.7516426 Standard Chartered Bank – CNOOC European Put Wts Jun 2015 A 50,000,000 2014/09/25 2015/06/22 35.0016425 Standard Chartered Bank – CNOOC European Put Wts Jun 2016 A 150,000,000 2014/09/25 2016/06/22 37.5016412 Standard Chartered Bank – MGM China European Wts May 2015 A 80,000,000 2014/09/25 2015/05/26 12.0016414 Standard Chartered Bank – Sands China Eu Put Wts Apr 2015 B 80,000,000 2014/09/25 2015/04/08 20.0016415 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Mar 2015 B 150,000,000 2014/09/25 2015/03/30 22.5016419 SGA Societe Generale Acceptance N.V. – Kingsoft Eu Wt Apr15B 50,000,000 2014/09/25 2015/04/08 12.5016416 SGA Societe Generale Acceptance NV – Sands Ch Eu Put Wt Apr15C 80,000,000 2014/09/25 2015/04/08 27.6016418 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Feb 15 D 150,000,000 2014/09/25 2015/02/04 29.2516417 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Jun 15 A 150,000,000 2014/09/25 2015/06/03 71.2516429 UBS AG – Galaxy Ent European Put Warrants Mar 2015 C 60,000,000 2014/09/25 2015/03/24 15.0016428 UBS AG – Sands China European Put Warrants Mar 2015 E 60,000,000 2014/09/25 2015/03/24 15.00

Main Board Warrants



16672 # Macquarie Bank Ltd. – China Unicom European Wts Jul 2015 A 75,000,000 2014/09/25 2015/07/03 10.5016445 HK Bank – BOCL European Warrants Sep 2016 A 80,000,000 2014/09/26 2016/09/30 28.0016444 HK Bank – HWL European Warrants Mar 2015 A 80,000,000 2014/09/26 2015/03/30 25.6016448 HK Bank – Kingsoft European Warrants Mar 2015 A 80,000,000 2014/09/26 2015/03/09 12.0016443 HK Bank – Ping An European Warrants Jan 2015 C 80,000,000 2014/09/26 2015/01/27 16.8016446 HK Bank – Shimao Ppt European Warrants Aug 2015 A 60,000,000 2014/09/26 2015/08/31 15.0016447 HK Bank – SMIC European Warrants Sep 2015 A 60,000,000 2014/09/26 2015/09/30 15.0016458 Standard Chartered Bank – CHALCO European Warrants Mar 2015A 50,000,000 2014/09/26 2015/03/25 12.5016457 Standard Chartered Bank – Cheung Kong Euro Wts Mar 2015 A 40,000,000 2014/09/26 2015/03/25 14.0016459 Standard Chartered Bank – Galaxy Ent European Wts Apr 2015 C 50,000,000 2014/09/26 2015/04/09 23.5016451 Standard Chartered Bank – Ping An European Wts Mar 2015 A 80,000,000 2014/09/26 2015/03/23 17.6016449 SGA Societe Generale Acceptance N.V – Anhui Conch Eu Wt May15A 50,000,000 2014/09/26 2015/05/06 13.0016450 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Apr 2015 B 50,000,000 2014/09/26 2015/04/08 19.0016489 Credit Suisse AG – Anton Oilfield European Warrants Mar 15 A 60,000,000 2014/09/29 2015/03/30 15.6016483 Credit Suisse AG – China Mobile European Warrants Mar 2015 C 80,000,000 2014/09/29 2015/03/30 13.6016487 Credit Suisse AG – Sinopec Corp European Warrants Mar 2015 D 70,000,000 2014/09/29 2015/03/30 25.9016486 Credit Suisse AG – HSBC European Wts Feb 2015 C 80,000,000 2014/09/29 2015/02/23 12.0016490 Daiwa Capital Mkt – Tencent Holdings European Wts Sep 2015 A 158,000,000 2014/09/29 2015/09/21 34.7616460 HK Bank – HKEx European Warrants Mar 2015 C 180,000,000 2014/09/29 2015/03/31 27.0016461 HK Bank – HSI European Warrants Mar 2015 C 180,000,000 2014/09/29 2015/03/30 27.0016493 J P Morgan SP BV – KECL European Warrants Dec 2015 A 150,000,000 2014/09/29 2015/12/31 22.5016479 Macquarie Bank Ltd. – Li Ning European Warrants Apr 2015 A 30,000,000 2014/09/29 2015/04/30 10.3816480 Macquarie Bank Ltd. – Ping An European Warrants May 2015 A 40,000,000 2014/09/29 2015/05/05 10.0016463 Standard Chartered Bank – CC Bank European Wts Apr 2015 B 50,000,000 2014/09/29 2015/04/02 12.5016467 Standard Chartered Bank – China Cinda Euro Wts Feb 2015 A 80,000,000 2014/09/29 2015/02/27 12.8016491 Standard Chartered Bank – CSOP A50 ETF Euro Wts Feb 2015 B 60,000,000 2014/09/29 2015/02/02 12.6016492 Standard Chartered Bank – CSOP A50 ETF Euro Wts Mar 2015 C 60,000,000 2014/09/29 2015/03/30 21.6016465 Standard Chartered Bank – Tencent Hldg Euro Wts Jan 2015 D 80,000,000 2014/09/29 2015/01/28 23.2016466 Standard Chartered Bank – Tencent Hldg Euro Wts Apr 2015 B 80,000,000 2014/09/29 2015/04/23 20.0016481 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Apr 2015C 80,000,000 2014/09/29 2015/04/08 30.4016476 UBS AG – HSBC European Warrants Feb 2015 A 100,000,000 2014/09/29 2015/02/23 15.0016472 UBS AG – Ping An European Warrants Mar 2015 B 100,000,000 2014/09/29 2015/03/30 34.0016473 UBS AG – Ping An European Warrants Mar 2015 C 100,000,000 2014/09/29 2015/03/23 18.5029430 # BOCI Asia Ltd. – A50 China European Warrants Aug 2016 A 100,000,000 2014/09/29 2016/08/01 11.7016513 BOCI Asia Ltd. – CC Bank European Warrants Apr 2015 A 100,000,000 2014/09/30 2015/04/08 29.0016517 BOCI Asia Ltd. – Galaxy Ent European Warrants Apr 2015 A 100,000,000 2014/09/30 2015/04/01 35.0016519 BOCI Asia Ltd. – Hutchison European Warrants Mar 2015 A 100,000,000 2014/09/30 2015/03/30 38.0016514 BOCI Asia Ltd. – Ping An European Warrants Apr 2015 A 100,000,000 2014/09/30 2015/04/13 30.0016516 BOCI Asia Ltd. – Sands China European Warrants Mar 2015 B 100,000,000 2014/09/30 2015/03/31 29.0016529 BNP Paribas Arbit Issu B.V. – Anhui Conch Euro Wt Apr 2015 A 100,000,000 2014/09/30 2015/04/02 17.0016528 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Apr 2015 B 100,000,000 2014/09/30 2015/04/02 27.0016524 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Feb 2015 B 100,000,000 2014/09/30 2015/02/03 15.0016525 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Nov 2015 A 100,000,000 2014/09/30 2015/11/03 15.0016531 Credit Suisse AG – Tencent Holdings European Wts Sep 2015 B 100,000,000 2014/09/30 2015/09/21 20.00

Main Board Warrants



16534 Credit Suisse AG – Tencent Holdings Euro Put Wts Feb 2015 C 70,000,000 2014/09/30 2015/02/06 25.9016521 Citigroup Global Mkt H Inc. – CAM CSI300 Euro Wts Mar 2015 A 80,000,000 2014/09/30 2015/03/26 15.2016520 Citigroup Global Mkt H Inc. – CAM CSI300 Euro Wts May 2015 A 80,000,000 2014/09/30 2015/05/22 14.4016547 Citigroup Global Mkt H Inc. – Tencent European Wts Dec 2015 B 300,000,000 2014/09/30 2015/12/18 57.0016512 Daiwa Capital Mkt – Galaxy Ent European Put Wts May 2015 A 68,000,000 2014/09/30 2015/05/29 17.0016496 Daiwa Capital Mkt – HKEx European Warrants Jul 2015 A 208,000,000 2014/09/30 2015/07/02 31.2016498 Daiwa Capital Mkt – HKEx European Put Warrants Jun 2015 A 128,000,000 2014/09/30 2015/06/01 35.8416495 Daiwa Capital Mkt – Hutchison European Warrants Mar 2015 B 98,000,000 2014/09/30 2015/03/30 32.3416494 Daiwa Capital Mkt – Sands China European Put Wts May 2015 A 68,000,000 2014/09/30 2015/05/15 17.0016535 Bank of East Asia – Galaxy Ent European Put Warrants May15 A 40,000,000 2014/09/30 2015/05/29 10.0016537 Goldman Sachs SP (Asia) – Sinopec Corp European Wts Mar 2015 A 80,000,000 2014/09/30 2015/03/31 27.9216536 Goldman Sachs SP (Asia) – KECL European Warrants May 2016 A 80,000,000 2014/09/30 2016/05/30 20.0016540 Goldman Sachs SP (Asia) – Stanchart European Wts Jun 2015 A 100,000,000 2014/09/30 2015/06/30 15.0016539 Goldman Sachs SP (Asia) – Tencent European Wt Jan 2015 B 80,000,000 2014/09/30 2015/01/29 38.8016506 HK Bank – HSI European Warrants Dec 2014 J 150,000,000 2014/09/30 2014/12/30 28.5016505 HK Bank – HSI European Warrants Mar 2015 F 100,000,000 2014/09/30 2015/03/30 25.0016503 HK Bank – HSI European Put Warrants Mar 2015 D 100,000,000 2014/09/30 2015/03/30 25.0016504 HK Bank – HSI European Put Warrants Mar 2015 E 100,000,000 2014/09/30 2015/03/30 25.0016507 HK Bank – HSI European Put Warrants Mar 2015 G 100,000,000 2014/09/30 2015/03/30 25.0016543 J P Morgan SP BV – Anton Oilfield European Wts Apr 2015 A 40,000,000 2014/09/30 2015/04/02 10.0416542 J P Morgan SP BV – CSOP A50 ETF European Warrants Apr 2015 A 100,000,000 2014/09/30 2015/04/02 25.6016541 J P Morgan SP BV – China Mengniu European Warrants Apr 2015A 100,000,000 2014/09/30 2015/04/02 25.8016544 J P Morgan SP BV – Tencent European Warrants Feb 2015 B 200,000,000 2014/09/30 2015/02/02 30.8016545 J P Morgan SP BV – Tencent European Put Warrants Feb 2015 C 200,000,000 2014/09/30 2015/02/06 35.0016530 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Mar 2015 B 40,000,000 2014/09/30 2015/03/03 10.0016501 Macquarie Bank Ltd. – HKEx European Warrants Oct 2015 B 70,000,000 2014/09/30 2015/10/05 10.5016508 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Mar 17 A 700,000,000 2014/09/30 2017/03/06 105.0016522 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Mar 15 C 150,000,000 2014/09/30 2015/03/30 30.0016523 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Mar 15 B 150,000,000 2014/09/30 2015/03/04 62.2516509 UBS AG – Tencent Holdings European Warrants Feb 2015 C 100,000,000 2014/09/30 2015/02/23 39.5028143 # SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Feb 2015A 60,000,000 2014/09/30 2015/02/04 16.80Total 44,489.92

# Further issue

Main Board Debt Securities


Debt Securities Trading Statistics

Turnover value Exchange fund notes (HK$ mil) Market total (HK$ mil)

2013 Q3 – 1,171.98 Q4 – 886.672014 Q1 – 695.99 Q2 – 711.36 Q3 – 3,414.81

Debt Securities Nominal Value

No. of issues Nominal value (HK$ mil.)

2013 Q3 367 1,212,064.53 Q4 403 1,378,794.082014 Q1 456 1,541,903.06 Q2 531 1,839,650.08 Q3 578 1,990,202.04

New Listing Statistics – Debt Securities

No. of newly listed debt securities Amount raised (HK$ mil.)

2013 Q3 16 34,683.76 Q4 48 190,108.732014 Q1 62 175,574.56 Q2 83 318,930.32 Q3 61 199,702.38



Newly Listed Debt Securitiesfor 3rd quarter 2014

Amount raisedCode Debt securities Principal Listing date Maturity (HK$ mil.)

85980 Hua Xia Bank Co., Ltd. 4.95% CNY Bonds 2017 RMB 1,000,000,000 2014/07/02 2017/06/30 1,246.5005767 China Construction Bank (Asia) Corporation Ltd. 3.25% Notes 2019 USD 400,000,000 2014/07/03 2019/07/02 3,115.4405766 Wheelock Finance Ltd. 2.75% Guaranteed Notes 2017 USD 500,000,000 2014/07/03 2017/07/02 3,885.3005755# China Agri-Products Exchange Ltd. 1.00% Notes 2024 HKD 20,000,000 2014/07/03 2024/09/30 –85981 Hang Seng Bank (China) Ltd. 3.25% CNY Notes 2017 RMB 1,000,000,000 2014/07/04 2017/07/03 1,248.0085982 China City Construction (International) Co., Ltd. 5.35% CNY Bonds 2017 RMB 2,500,000,000 2014/07/04 2017/07/03 3,120.0005768 Greenland Global Investment Ltd. 4.375% Guaranteed Bonds 2019 USD 400,000,000 2014/07/04 2019/07/03 3,105.3405769 Greenland Global Investment Ltd. 5.875% Guaranteed Bonds 2024 USD 600,000,000 2014/07/04 2024/07/03 4,653.8405755# China Agri-Products Exchange Ltd. 1.00% Notes 2024 HKD 40,000,000 2014/07/11 2024/09/30 –04219# The Govt of the HKSAR of the PRC 1.47% Bonds 2019 HKD 2,000,000,000 2014/07/11 2019/02/20 1,982.4005771 Hong Kong Science and Technology Parks Corporation 2.12% Guar. Notes 2019 HKD 855,000,000 2014/07/14 2019/07/11 855.0005772 Hong Kong Science and Technology Parks Corporation 3.20% Guar. Notes 2024 HKD 852,000,000 2014/07/14 2024/07/11 852.0085983 Times Property Holdings Ltd. 10.375% Senior CNY Notes 2017 RMB 900,000,000 2014/07/17 2017/07/16 1,123.6505773 Huarong Finance Co., Ltd. 3.00% Guaranteed Notes 2017 USD 300,000,000 2014/07/18 2017/07/17 2,331.4805774 Huarong Finance Co., Ltd. 4.00% Guaranteed Notes 2019 USD 1,200,000,000 2014/07/18 2019/07/17 9,327.7105775 Skyland Mining (BVI) Ltd. 3.50% Guaranteed Bonds 2017 USD 500,000,000 2014/07/18 2017/07/17 3,885.7385984 Jinchuan Group Co., Ltd. 4.75% CNY Bonds 2017 RMB 1,500,000,000 2014/07/18 2017/07/17 1,869.0885985 ITNL International Pte. Ltd. 8.00% CNY Bonds 2017 RMB 575,000,000 2014/07/18 2017/07/17 718.4605770 China Yongda Automobiles Services Holdings Ltd. 1.50% RMB 1,000,000,000 2014/07/21 2019/07/18 1,249.50 USD Settled Conv. Bonds 201905776 CITIC Pacific Ltd. 4.70% Notes 2024 USD 110,000,000 2014/07/21 2024/01/18 858.0004570# CITIC Pacific Ltd. 6.80% Notes 2023 USD 400,000,000 2014/07/21 2023/01/17 3,571.1205755# China Agri-Products Exchange Ltd. 1.00% Notes 2024 HKD 40,000,000 2014/07/21 2024/09/30 –05767# China Construction Bank (Asia) Corporation Ltd. 3.25% Notes 2019 USD 200,000,000 2014/07/24 2019/07/02 1,573.9085986 Lai Sun Garment International Finance (2014) Ltd. 7.70% RMB 650,000,000 2014/07/25 2018/07/24 812.83 Secured Guar.CNY Notes 201885987 China Unicom (Hong Kong) Ltd. 3.80% Senior CNY Notes 2016 RMB 2,500,000,000 2014/07/25 2016/07/24 3,126.2505777 Shine Power International Ltd. Zero Coupon Guar. Exchangeable Bonds 2019 HKD 4,312,000,000 2014/07/29 2019/07/28 4,312.0005755# China Agri-Products Exchange Ltd. 1.00% Notes 2024 HKD 40,000,000 2014/07/30 2024/09/30 –05781 Sino-Ocean Land Treasure Finance I Ltd. 4.625% Guar. Notes 2019 USD 500,000,000 2014/07/31 2019/07/30 3,879.3705782 Sino-Ocean Land Treasure Finance I Ltd. 6.00% Guar. Notes 2024 USD 700,000,000 2014/07/31 2024/07/30 5,399.5105779 The Export-Import Bank of China 2.50% Senior Notes 2019 USD 1,500,000,000 2014/08/01 2019/07/31 11,642.2105780 The Export-Import Bank of China 3.625% Senior Notes 2024 USD 1,500,000,000 2014/08/01 2024/07/31 11,609.7985988 Yieldking Investment Ltd. 5.15% Guaranteed CNY Bonds 2017 RMB 1,000,000,000 2014/08/01 2017/07/31 1,255.8005778 CRCC Yupeng Ltd. Senior Guaranteed Perpetual Securities USD 800,000,000 2014/08/04 – 6,240.0005783 Redco Properties Group Ltd. 13.75% Senior Notes 2019 USD 125,000,000 2014/08/04 2019/08/01 975.0005785 KWG Property Holding Ltd. 8.25% Senior Notes 2019 USD 400,000,000 2014/08/06 2019/08/05 3,120.0085989 China Development Bank Corporation 4.35% CNY Notes 2024 RMB 500,000,000 2014/08/07 2024/08/06 628.0005784 Hong Kong Mortgage Corporation Ltd., The FR Notes 2015 GBP 75,000,000 2014/08/07 2015/08/06 981.1905786 Greenland Hong Kong Holdings Ltd. 4.375% Notes 2017 USD 500,000,000 2014/08/08 2017/08/07 3,872.9804221 The Govt of the HKSAR of the PRC 2.22% Bonds 2024 HKD 1,000,000,000 2014/08/08 2024/08/07 977.8005787 Jingrui Holdings Ltd. 13.625% Senior Notes 2019 USD 150,000,000 2014/08/11 2019/08/08 1,154.5905788 Asia View Ltd. 1.50% Guaranteed Exchangeable Bonds 2019 USD 200,000,000 2014/08/11 2019/08/08 1,560.00



Amount raisedCode Debt securities Principal Listing date Maturity (HK$ mil.)

05790 China Singyes Solar Technologies Holdings Ltd. 5.00% RMB 930,000,000 2014/08/11 2019/08/08 1,169.94 USD Settled Conv. Bonds 201905789 Airvessel Finance Holding Ltd. 3.25% Guaranteed Notes 2019 USD 500,000,000 2014/08/12 2019/08/11 3,892.6704222 The Govt of the HKSAR of the PRC iBonds 2017 HKD 10,000,000,000 2014/08/12 2017/08/11 10,000.0004053 Hong Kong Monetary Authority 0.44% Exchange Fund Notes 2016 HKD 1,200,000,000 2014/08/19 2016/08/18 1,202.2805791 Far East Horizon Ltd. 6.125% Notes 2019 AUD 200,000,000 2014/08/20 2019/08/19 1,440.6605792 China Construction Bank (Asia) Corporation Ltd. Tier 2 Subordinated Notes 2024 USD 750,000,000 2014/08/21 2024/08/20 5,825.2605755# China Agri-Products Exchange Ltd. 1.00% Notes 2024 HKD 40,000,000 2014/08/27 2024/09/30 –04054 Hong Kong Monetary Authority 2.24% Exchange Fund Notes 2029 HKD 600,000,000 2014/08/28 2029/08/27 610.0205793 Yingde Gases Investment Ltd. 7.25% Senior Notes 2020 USD 250,000,000 2014/08/29 2020/02/28 1,937.0705794 The Link Finance (Cayman) 2009 Ltd. 3.60% Notes 2024 USD 500,000,000 2014/09/04 2024/09/03 3,872.1605795 Charming Light Investments Ltd. 3.75% Guaranteed Notes 2019 USD 600,000,000 2014/09/04 2019/09/03 4,645.2305796 Charming Light Investments Ltd. 5.00% Guaranteed Notes 2024 USD 400,000,000 2014/09/04 2024/09/03 3,087.1504211# The Government of the HKSAR of the PRC 0.97% Bonds 2016 HKD 3,500,000,000 2014/09/05 2016/12/08 3,515.0505798 Oceanwide Real Estate International Holding Co. Ltd. 11.75% USD 320,000,000 2014/09/10 2019/09/08 2,473.04 Guar. Senior Notes 201905797 Industrial and Commercial Bank of China (Macau) Ltd. Subordinated Notes 2024 USD 320,000,000 2014/09/11 2024/09/10 2,487.0105799 China Taiping Insurance Holdings Co. Ltd. Perpetual Subordinated USD 600,000,000 2014/09/11 – 4,680.00 Capital Securities85990 Sinochem Offshore Capital Co. Ltd. 4.00% Senior Guar. CNY Notes 2021 RMB 300,000,000 2014/09/11 2021/09/10 378.9085991 Qilu International Finance (BVI) Co. Ltd. 6.25% Senior CNY Bonds 2017 RMB 1,500,000,000 2014/09/11 2017/09/10 1,894.5005800 West China Cement Ltd. 6.50% Senior Notes 2019 USD 400,000,000 2014/09/12 2019/09/11 3,120.0005801 Haitong International Finance 2014 Ltd. 3.99% Guar. Bonds 2019 USD 600,000,000 2014/09/12 2019/09/11 4,624.2685992 361 Degrees International Ltd. 7.50% Senior CNY Notes 2017 RMB 1,500,000,000 2014/09/15 2017/09/12 1,886.7385993 Charter Style International Ltd. 5.80% Guar. CNY Bonds 2024 RMB 2,030,000,000 2014/09/16 2024/09/15 2,536.1805802 China Great Wall International Holdings Ltd. 2.50% Credit Enhanced Bonds 2017 USD 500,000,000 2014/09/18 2017/09/17 3,880.5804223 Hong Kong Sukuk 2014 Ltd. Trust Certificates 2019 USD 1,000,000,000 2014/09/19 2019/09/18 7,800.0085994 Unican Ltd. 5.60% Guaranteed CNY Notes 2017 RMB 1,600,000,000 2014/09/19 2017/09/18 2,020.0005803 FWD Ltd. 5.00% Notes 2024 USD 325,000,000 2014/09/25 2024/09/24 2,522.5805804 Chong Hing Bank Ltd. Undated Non-Cumulative Subordinated Additional USD 300,000,000 2014/09/26 – 2,340.00 Tier 1 Capital Securities05805 Honghua Group Ltd. 7.45% Senior Notes 2019 USD 200,000,000 2014/09/26 2019/09/25 1,560.0004055 Hong Kong Monetary Authority 1.49% Exchange Fund Notes 2019 HKD 1,000,000,000 2014/09/30 2019/09/30 1,003.1004031# Hong Kong Monetary Authority 0.25% Exchange Fund Notes 2017 HKD 1,200,000,000 2014/09/30 2017/09/18 1,178.28Total 199,702.38

# Further issue

Main Board Unit Trusts and Mutual Funds


Unit Trusts and Mutual Funds Trading Statistics

Exchange Real Estate Traded Investment Fund (ETF) Trusts (REITs) Others Total % of (HK$ mil.) (HK$ mil.) (HK$ mil.) (HK$ mil.) market total

2013 Q3 187,460.35 19,308.78 32.94 206,802.07 5.98 Q4 174,554.43 13,129.54 37.59 187,721.56 5.172014 Q1 166,595.89 12,531.06 52.35 179,179.30 4.37 Q2 134,427.45 12,993.49 36.04 147,456.99 4.31 Q3 350,528.48 17,291.58 78.56 367,898.62 8.18

Note: Turnover value traded in non-HKD currency securities have been included

Unit Trusts and Mutual Funds Market Value

Real Estate Exchange Investment Traded Trusts No. of Funds (ETF) No. of (REITs) No. of Others No. of Total issues (HK$ mil.) issues (HK$ mil.) issues (HK$ mil.) issues (HK$ mil.)

2013 Q3 113 592,893.27 10 175,966.45 2 1,319.72 125 770,179.44 Q4 116 538,892.05 11 177,310.63 2 1,376.37 129 717,579.052014 Q1 119 539,592.84 11 175,108.28 1 1,246.28 131 715,947.41 Q2 124 550,831.24 11 185,309.13 1 1,239.99 136 737,380.36 Q3 121 582,204.26 11 191,896.58 1 1,418.33 133 775,519.16

New Listing Unit Trust and Mutual Funds Statistics

No. of newly listed Funds raised unit trust and mutual funds (HK$ mil.)

2013 Q3 4 1,650.50 Q4 4 1,674.502014 Q1 3 – Q2 5 – Q3 1 487.50

Main Board Unit Trusts and Mutual Funds


Newly Listed Unit Trust and Mutual Fundsfor 3rd quarter 2014

Amount raised SubscriptionCode Unit trust and Mutual funds Fund manager Issue price (HK$) No. of unit offer (HK$ mil) rate (times) Listing date

83127/ Horizons CSI 300 ETF Mirae Asset Global n.a. n.a. n.a. n.a. 2014/09/2603127 Investments (Hong Kong) Limited

Main Board Callable Bull/Bear Contracts


Callable Bull/Bear Contracts Trading Statistics Number Market value Turnover value (HK$ mil.) (HK$ mil.)2013 Q3 1,596 68,940.37 330,779.62 Q4 1,620 68,388.12 256,527.752014 Q1 1,799 59,586.41 310,519.71 Q2 1,846 52,720.61 244,418.59 Q3 1,918 61,358.71 338,575.61

New Listings Callable Bull/Bear Contracts Statistics No. of newly listed CBBC Amount raised (HK$ mil.)2013 Q3 2,455 137,493.48 Q4 2,156 112,648.012014 Q1 3,115 146,272.13 Q2 2,079 93,001.85 Q3 2,307 111,530.32



Newly Listed Callable Bull/Bear Contractsfor 3rd quarter 2014 No. of Amount raisedCode Callable Bull/Bear Contracts issue (units) Listing date Expiry (HK$ mil.)

67256 Credit Suisse AG – HSI R Bull CBBC Oct 2014 P 238,000,000 2014/07/02 2014/10/30 59.5067216 Credit Suisse AG – HSI R Bear CBBC Oct 2014 C 238,000,000 2014/07/02 2014/10/30 59.5067217 Credit Suisse AG – HSI R Bear CBBC Oct 2014 D 238,000,000 2014/07/02 2014/10/30 59.5067219 Credit Suisse AG – HSI R Bear CBBC Oct 2014 E 238,000,000 2014/07/02 2014/10/30 59.5067195 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2014 A 150,000,000 2014/07/02 2014/10/30 37.8067201 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2014 B 150,000,000 2014/07/02 2014/10/30 37.6567191 HK Bank – HSI R Bear CBBC Feb 2015 F 100,000,000 2014/07/02 2015/02/26 25.0067192 HK Bank – HSI R Bear CBBC Mar 2015 C 100,000,000 2014/07/02 2015/03/30 25.0067194 HK Bank – HSI R Bear CBBC Mar 2015 D 100,000,000 2014/07/02 2015/03/30 25.0067190 HK Bank – HSI R Bear CBBC Apr 2015 A 100,000,000 2014/07/02 2015/04/29 25.0067269 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 C 300,000,000 2014/07/02 2014/10/30 75.0067270 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 D 300,000,000 2014/07/02 2014/10/30 75.0067211 Standard Chartered Bank – Minsheng Bank R Bull CBBC Feb 15 A 50,000,000 2014/07/02 2015/02/23 12.5067206 Standard Chartered Bank – Minsheng Bank R Bear CBBC Mar 15 A 50,000,000 2014/07/02 2015/03/20 12.5067188 Standard Chartered Bank – HSI R Bear CBBC Jun 2015 E 100,000,000 2014/07/02 2015/06/29 25.0067207 Standard Chartered Bank – Lenovo R Bear CBBC Apr 2015 A 50,000,000 2014/07/02 2015/04/10 12.5067205 Standard Chartered Bank – Sands China R Bear CBBC Apr 2015 A 50,000,000 2014/07/02 2015/04/10 12.5067222 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct14 Y 200,000,000 2014/07/02 2014/10/30 50.0067232 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct14 P 200,000,000 2014/07/02 2014/10/30 50.0067233 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct14 Q 200,000,000 2014/07/02 2014/10/30 50.0067268 UBS AG – HSI R Bull CBBC Jan 2015 N 300,000,000 2014/07/02 2015/01/29 75.0067215 UBS AG – HSI R Bear CBBC Oct 2014 F 300,000,000 2014/07/02 2014/10/30 75.0067213 UBS AG – HSI R Bear CBBC Oct 2014 N 300,000,000 2014/07/02 2014/10/30 75.0067288 Credit Suisse AG – HSI R Bull CBBC Jan 2015 S 238,000,000 2014/07/03 2015/01/29 59.5067277 Credit Suisse AG – HSI R Bear CBBC Nov 2014 H 238,000,000 2014/07/03 2014/11/27 59.5067278 Credit Suisse AG – HSI R Bear CBBC Nov 2014 I 238,000,000 2014/07/03 2014/11/27 59.5067279 Credit Suisse AG – HSI R Bear CBBC Nov 2014 J 238,000,000 2014/07/03 2014/11/27 59.5067272 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 C 100,000,000 2014/07/03 2015/06/29 25.0067273 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 D 100,000,000 2014/07/03 2015/06/29 25.0067287 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 A 100,000,000 2014/07/03 2015/02/26 25.0067296 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct14 R 200,000,000 2014/07/03 2014/10/30 50.0067291 UBS AG – HSI R Bull CBBC Feb 2015 I 300,000,000 2014/07/03 2015/02/26 75.0067283 UBS AG – HSI R Bear CBBC Nov 2014 M 300,000,000 2014/07/03 2014/11/27 75.0067295 UBS AG – HSI R Bear CBBC Jan 2015 B 350,000,000 2014/07/03 2015/01/29 87.5067329 Credit Suisse AG – HSI R Bull CBBC Mar 2015 A 238,000,000 2014/07/04 2015/03/30 59.5067340 Credit Suisse AG – HSI R Bull CBBC Mar 2015 B 238,000,000 2014/07/04 2015/03/30 59.5067347 Credit Suisse AG – HSI R Bull CBBC Mar 2015 C 238,000,000 2014/07/04 2015/03/30 59.5067301 Credit Suisse AG – HSI R Bear CBBC Oct 2014 F 238,000,000 2014/07/04 2014/10/30 59.5067343 Credit Suisse AG – HSI R Bear CBBC Oct 2014 G 238,000,000 2014/07/04 2014/10/30 59.5067364 Citigroup Global Mkt H Inc. – PetCh R Bull CBBC Mar 2015 A 50,000,000 2014/07/04 2015/03/30 12.5067366 Citigroup Global Mkt H Inc. – PetCh R Bull CBBC Mar 2015 B 50,000,000 2014/07/04 2015/03/30 12.5067369 Citigroup Global Mkt H Inc. – PetCh R Bear CBBC Mar 2015 A 50,000,000 2014/07/04 2015/03/30 12.5067370 Citigroup Global Mkt H Inc. – PetCh R Bear CBBC Mar 2015 B 50,000,000 2014/07/04 2015/03/30 12.50



No. of Amount raisedCode Callable Bull/Bear Contracts issue (units) Listing date Expiry (HK$ mil.)

67380 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2014 A 150,000,000 2014/07/04 2014/10/30 38.7067391 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2014 B 150,000,000 2014/07/04 2014/10/30 38.1067392 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2014 C 150,000,000 2014/07/04 2014/10/30 40.2067393 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2014 C 150,000,000 2014/07/04 2014/10/30 37.5067394 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 A 150,000,000 2014/07/04 2014/11/27 44.7067429 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 N 300,000,000 2014/07/04 2015/01/29 75.0067425 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 E 300,000,000 2014/07/04 2015/02/26 75.0067426 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 F 300,000,000 2014/07/04 2015/03/30 75.0067423 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 E 300,000,000 2014/07/04 2014/10/30 75.0067424 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 F 300,000,000 2014/07/04 2014/10/30 75.0067307 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 E 100,000,000 2014/07/04 2015/06/29 25.0067319 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct14 G 200,000,000 2014/07/04 2014/10/30 50.0067327 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 C 200,000,000 2014/07/04 2014/12/30 50.0067377 UBS AG – HSI R Bull CBBC Dec 2014 V 300,000,000 2014/07/04 2014/12/30 75.0067375 UBS AG – HSI R Bull CBBC Jan 2015 O 300,000,000 2014/07/04 2015/01/29 75.0067373 UBS AG – HSI R Bear CBBC Nov 2014 N 300,000,000 2014/07/04 2014/11/27 75.0067305 UBS AG – HSI R Bear CBBC Dec 2014 F 300,000,000 2014/07/04 2014/12/30 75.0067516 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 I 200,000,000 2014/07/07 2015/01/29 50.0067523 Credit Suisse AG – HSI R Bull CBBC Dec 2014 Y 238,000,000 2014/07/07 2014/12/30 59.5067521 Credit Suisse AG – HSI R Bear CBBC Oct 2014 H 238,000,000 2014/07/07 2014/10/30 59.5067522 Credit Suisse AG – HSI R Bear CBBC Oct 2014 L 238,000,000 2014/07/07 2014/10/30 59.5067503 Bank of East Asia – COVS R Bear CBBC Jan 2015 A 30,000,000 2014/07/07 2015/01/26 14.4067507 Bank of East Asia – Galaxy Ent R Bull CBBC Jun 2015 A 100,000,000 2014/07/07 2015/06/12 25.0067495 Bank of East Asia – Galaxy Ent R Bear CBBC Feb 2015 A 100,000,000 2014/07/07 2015/02/02 25.0067505 Bank of East Asia – Hutchison R Bull CBBC Apr 2015 A 50,000,000 2014/07/07 2015/04/22 12.5067440 HK Bank – Galaxy Ent R Bull CBBC Mar 2015 B 80,000,000 2014/07/07 2015/03/23 20.0067439 HK Bank – HSI R Bull CBBC Jan 2015 M 100,000,000 2014/07/07 2015/01/29 25.0067438 HK Bank – HSI R Bull CBBC Feb 2015 E 100,000,000 2014/07/07 2015/02/26 25.0067446 HK Bank – Lenovo R Bull CBBC Aug 2015 A 60,000,000 2014/07/07 2015/08/24 15.0067442 HK Bank – PetCh R Bull CBBC Jul 2015 A 60,000,000 2014/07/07 2015/07/06 15.0067441 HK Bank – Sands China R Bull CBBC Apr 2015 A 80,000,000 2014/07/07 2015/04/13 20.0067448 HK Bank – TCH R Bull CBBC Jan 2015 E 100,000,000 2014/07/07 2015/01/30 25.0067524 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 G 300,000,000 2014/07/07 2015/03/30 75.0067525 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 H 300,000,000 2014/07/07 2015/03/30 75.0067529 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 I 300,000,000 2014/07/07 2015/03/30 75.0067483 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 D 50,000,000 2014/07/07 2014/11/27 12.5067467 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 F 100,000,000 2014/07/07 2015/06/29 25.0067518 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 G 100,000,000 2014/07/07 2015/06/29 25.0067471 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct14 H 200,000,000 2014/07/07 2014/10/30 50.0067472 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct14 S 200,000,000 2014/07/07 2014/10/30 50.0067474 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct14 T 200,000,000 2014/07/07 2014/10/30 50.0067531 UBS AG – HSI R Bull CBBC Dec 2014 N 300,000,000 2014/07/07 2014/12/30 75.0067546 UBS AG – HSI R Bull CBBC Jul 2015 B 350,000,000 2014/07/07 2015/07/30 87.5067540 UBS AG – HSI R Bear CBBC Oct 2014 M 300,000,000 2014/07/07 2014/10/30 75.0067579 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 O 200,000,000 2014/07/08 2014/12/30 50.00




67581 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 Q 200,000,000 2014/07/08 2014/12/30 50.0067578 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 J 200,000,000 2014/07/08 2015/01/29 50.0067605 Credit Suisse AG – HSI R Bull CBBC Feb 2015 J 238,000,000 2014/07/08 2015/02/26 59.5067607 Credit Suisse AG – HSI R Bull CBBC Feb 2015 K 238,000,000 2014/07/08 2015/02/26 59.5067608 Credit Suisse AG – HSI R Bull CBBC Feb 2015 L 238,000,000 2014/07/08 2015/02/26 59.5067576 Credit Suisse AG – HSI R Bear CBBC Nov 2014 L 238,000,000 2014/07/08 2014/11/27 59.5067609 Credit Suisse AG – HSI R Bear CBBC Nov 2014 M 238,000,000 2014/07/08 2014/11/27 59.5067611 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 O 300,000,000 2014/07/08 2015/01/29 75.0067613 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 G 300,000,000 2014/07/08 2014/10/30 75.0067565 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 B 100,000,000 2014/07/08 2015/02/26 25.0067566 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 C 100,000,000 2014/07/08 2015/02/26 25.0067582 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Nov 14C 200,000,000 2014/07/08 2014/11/27 50.0067554 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14A 200,000,000 2014/07/08 2014/11/27 50.0067584 UBS AG – HSBC R Bull CBBC Sep 2015 B 40,000,000 2014/07/08 2015/09/21 10.0067594 UBS AG – HSI R Bull CBBC Oct 2014 T 300,000,000 2014/07/08 2014/10/30 75.0067595 UBS AG – HSI R Bull CBBC Dec 2014 K 300,000,000 2014/07/08 2014/12/30 75.0067567 UBS AG – HSI R Bear CBBC Nov 2014 O 300,000,000 2014/07/08 2014/11/27 75.0067610 UBS AG – HSI R Bear CBBC Jan 2015 D 350,000,000 2014/07/08 2015/01/29 87.5067761 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 C 200,000,000 2014/07/09 2014/12/30 50.0067763 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 E 200,000,000 2014/07/09 2014/12/30 50.0067764 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 L 200,000,000 2014/07/09 2014/12/30 50.0067625 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 K 200,000,000 2014/07/09 2015/01/29 50.0067758 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 L 200,000,000 2014/07/09 2015/01/29 50.0067768 Credit Suisse AG – HSI R Bull CBBC Jan 2015 T 238,000,000 2014/07/09 2015/01/29 59.5067770 Credit Suisse AG – HSI R Bull CBBC Jan 2015 U 238,000,000 2014/07/09 2015/01/29 59.5067772 Credit Suisse AG – HSI R Bull CBBC Jan 2015 V 238,000,000 2014/07/09 2015/01/29 59.5067780 Credit Suisse AG – HSI R Bull CBBC Jan 2015 W 238,000,000 2014/07/09 2015/01/29 59.5067630 Credit Suisse AG – HSI R Bear CBBC Dec 2014 E 238,000,000 2014/07/09 2014/12/30 59.5067634 Credit Suisse AG – HSI R Bear CBBC Dec 2014 F 238,000,000 2014/07/09 2014/12/30 59.5067635 Credit Suisse AG – HSI R Bear CBBC Dec 2014 G 238,000,000 2014/07/09 2014/12/30 59.5067664 Credit Suisse AG – HSI R Bear CBBC Dec 2014 H 238,000,000 2014/07/09 2014/12/30 59.5067677 Credit Suisse AG – HSI R Bear CBBC Dec 2014 I 238,000,000 2014/07/09 2014/12/30 59.5067753 Credit Suisse AG – HSI R Bear CBBC Dec 2014 J 238,000,000 2014/07/09 2014/12/30 59.5067681 Credit Suisse AG – HSI R Bear CBBC Jan 2015 A 238,000,000 2014/07/09 2015/01/29 59.5067685 Credit Suisse AG – HSI R Bear CBBC Jan 2015 B 238,000,000 2014/07/09 2015/01/29 59.5067686 Credit Suisse AG – HSI R Bear CBBC Jan 2015 C 238,000,000 2014/07/09 2015/01/29 59.5067688 Credit Suisse AG – HSI R Bear CBBC Jan 2015 D 238,000,000 2014/07/09 2015/01/29 59.5067843 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Apr 15A 60,000,000 2014/07/09 2015/04/15 15.0067844 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Apr 15B 60,000,000 2014/07/09 2015/04/15 15.0067846 Citigroup Global Mkt H Inc. – Galaxy Ent R Bear CBBC Apr 15A 60,000,000 2014/07/09 2015/04/15 15.0067841 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2015 F 200,000,000 2014/07/09 2015/01/29 50.0067847 Citigroup Global Mkt H Inc. – Sands China R Bull CBBC Apr15A 60,000,000 2014/07/09 2015/04/15 15.0067851 Citigroup Global Mkt H Inc. – Sands China R Bull CBBC Apr15B 60,000,000 2014/07/09 2015/04/15 15.0067812 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2014 D 150,000,000 2014/07/09 2014/10/30 37.9567689 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 B 150,000,000 2014/07/09 2014/11/27 37.80




67690 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 C 150,000,000 2014/07/09 2014/11/27 46.3567698 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 P 300,000,000 2014/07/09 2015/01/29 75.0067697 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 F 300,000,000 2014/07/09 2015/02/26 75.0067700 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 J 300,000,000 2014/07/09 2015/03/30 75.0067839 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 K 300,000,000 2014/07/09 2015/03/30 75.0067620 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 H 300,000,000 2014/07/09 2014/10/30 75.0067623 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 I 300,000,000 2014/07/09 2014/10/30 75.0067695 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 J 300,000,000 2014/07/09 2014/10/30 75.0067691 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 A 300,000,000 2014/07/09 2014/11/27 75.0067692 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 B 300,000,000 2014/07/09 2014/11/27 75.0067694 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 C 300,000,000 2014/07/09 2014/11/27 75.0067837 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 D 300,000,000 2014/07/09 2014/11/27 75.0067731 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 H 100,000,000 2014/07/09 2015/06/29 25.0067734 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 I 100,000,000 2014/07/09 2015/06/29 25.0067737 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 D 100,000,000 2014/07/09 2015/02/26 25.0067720 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Nov 14D 200,000,000 2014/07/09 2014/11/27 50.0067721 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Nov 14H 200,000,000 2014/07/09 2014/11/27 50.0067781 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Nov 14O 200,000,000 2014/07/09 2014/11/27 50.0067624 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14B 200,000,000 2014/07/09 2014/11/27 50.0067722 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14C 200,000,000 2014/07/09 2014/11/27 50.0067724 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14D 200,000,000 2014/07/09 2014/11/27 50.0067729 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14E 200,000,000 2014/07/09 2014/11/27 50.0067786 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 14D 200,000,000 2014/07/09 2014/12/30 50.0067808 UBS AG – HSI R Bull CBBC Nov 2014 L 300,000,000 2014/07/09 2014/11/27 75.0067809 UBS AG – HSI R Bull CBBC Dec 2014 G 300,000,000 2014/07/09 2014/12/30 75.0067789 UBS AG – HSI R Bull CBBC Jan 2015 P 300,000,000 2014/07/09 2015/01/29 75.0067788 UBS AG – HSI R Bull CBBC Jul 2015 C 300,000,000 2014/07/09 2015/07/30 75.0067766 UBS AG – HSI R Bear CBBC Oct 2014 J 300,000,000 2014/07/09 2014/10/30 75.0067636 UBS AG – HSI R Bear CBBC Nov 2014 P 300,000,000 2014/07/09 2014/11/27 75.0067653 UBS AG – HSI R Bear CBBC Dec 2014 G 300,000,000 2014/07/09 2014/12/30 75.0067702 UBS AG – TCH R Bull CBBC Sep 2015 B 100,000,000 2014/07/09 2015/09/21 25.0067701 UBS AG – TCH R Bear CBBC Nov 2014 E 100,000,000 2014/07/09 2014/11/24 25.0067939 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 U 200,000,000 2014/07/10 2014/12/30 50.0067941 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 M 200,000,000 2014/07/10 2015/01/29 50.0067970 Credit Suisse AG – HSI R Bull CBBC Nov 2014 W 238,000,000 2014/07/10 2014/11/27 59.5067951 Credit Suisse AG – HSI R Bull CBBC Dec 2014 K 238,000,000 2014/07/10 2014/12/30 59.5067952 Credit Suisse AG – HSI R Bull CBBC Dec 2014 U 238,000,000 2014/07/10 2014/12/30 59.5067972 Credit Suisse AG – HSI R Bear CBBC Dec 2014 K 238,000,000 2014/07/10 2014/12/30 59.5067880 HK Bank – Galaxy Ent R Bull CBBC Feb 2015 B 80,000,000 2014/07/10 2015/02/16 20.0067881 HK Bank – Galaxy Ent R Bull CBBC Jun 2015 A 80,000,000 2014/07/10 2015/06/08 20.0067910 HK Bank – HSI R Bull CBBC Dec 2014 W 400,000,000 2014/07/10 2014/12/30 100.0067890 HK Bank – HSI R Bull CBBC Jan 2015 N 400,000,000 2014/07/10 2015/01/29 100.0067906 HK Bank – HSI R Bull CBBC Feb 2015 F 100,000,000 2014/07/10 2015/02/26 25.0067908 HK Bank – HSI R Bull CBBC Mar 2015 C 100,000,000 2014/07/10 2015/03/30 25.0067886 HK Bank – Sands China R Bull CBBC Mar 2015 B 80,000,000 2014/07/10 2015/03/16 20.00




67879 HK Bank – TCH R Bull CBBC Feb 2015 D 100,000,000 2014/07/10 2015/02/16 25.0067911 HK Bank – TCH R Bull CBBC Jun 2015 B 100,000,000 2014/07/10 2015/06/15 25.0067938 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 Q 300,000,000 2014/07/10 2015/01/29 75.0067935 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 G 300,000,000 2014/07/10 2015/02/26 75.0067937 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 L 300,000,000 2014/07/10 2015/03/30 75.0067934 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 E 300,000,000 2014/07/10 2014/11/27 75.0067933 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 C 300,000,000 2014/07/10 2014/12/30 75.0067923 Macquarie Bank Ltd. – HSI R Bull CBBC Nov 2014 C 50,000,000 2014/07/10 2014/11/27 12.5067931 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 A 50,000,000 2014/07/10 2014/12/30 12.5067925 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 E 50,000,000 2014/07/10 2014/11/27 12.5067929 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 F 50,000,000 2014/07/10 2014/11/27 12.5067918 Standard Chartered Bank – Galaxy Ent R Bull CBBC Mar 2015 A 50,000,000 2014/07/10 2015/03/31 12.5067912 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 J 100,000,000 2014/07/10 2015/06/29 25.0067914 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 E 100,000,000 2014/07/10 2015/02/26 25.0067920 Standard Chartered Bank – PetCh R Bear CBBC Mar 2015 A 50,000,000 2014/07/10 2015/03/31 12.5067949 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec14 R 200,000,000 2014/07/10 2014/12/30 50.0067948 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec14 Z 200,000,000 2014/07/10 2014/12/30 50.0067950 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 F 200,000,000 2014/07/10 2014/11/27 50.0067974 UBS AG – HSI R Bull CBBC Oct 2014 Q 300,000,000 2014/07/10 2014/10/30 75.0067973 UBS AG – HSI R Bull CBBC Jan 2015 R 350,000,000 2014/07/10 2015/01/29 87.5067953 UBS AG – HSI R Bear CBBC Jan 2015 E 350,000,000 2014/07/10 2015/01/29 87.5068035 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 N 200,000,000 2014/07/11 2015/01/29 50.0068074 Credit Suisse AG – HSI R Bull CBBC Mar 2015 D 238,000,000 2014/07/11 2015/03/30 59.5068078 Credit Suisse AG – HSI R Bull CBBC Mar 2015 E 238,000,000 2014/07/11 2015/03/30 59.5068085 Credit Suisse AG – HSI R Bull CBBC Mar 2015 F 238,000,000 2014/07/11 2015/03/30 59.5068036 Credit Suisse AG – HSI R Bear CBBC Nov 2014 N 238,000,000 2014/07/11 2014/11/27 59.5068044 Credit Suisse AG – HSI R Bear CBBC Nov 2014 O 238,000,000 2014/07/11 2014/11/27 59.5068086 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Apr15A 100,000,000 2014/07/11 2015/04/15 25.0068087 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 A 100,000,000 2014/07/11 2015/04/15 25.0068090 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 B 100,000,000 2014/07/11 2015/04/15 25.0068057 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Apr 2015 A 200,000,000 2014/07/11 2015/04/15 50.0068059 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Apr 2015 B 200,000,000 2014/07/11 2015/04/15 50.0068060 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Apr 2015 C 200,000,000 2014/07/11 2015/04/15 50.0068073 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Apr 2015 D 200,000,000 2014/07/11 2015/04/15 50.0068003 HK Bank – HSI R Bull CBBC Jan 2015 O 100,000,000 2014/07/11 2015/01/29 25.0067978 HK Bank – HSI R Bull CBBC Feb 2015 G 100,000,000 2014/07/11 2015/02/26 25.0067987 HK Bank – HSI R Bear CBBC Jan 2015 H 100,000,000 2014/07/11 2015/01/29 25.0067983 HK Bank – HSI R Bear CBBC Feb 2015 G 100,000,000 2014/07/11 2015/02/26 25.0067991 HK Bank – HSI R Bear CBBC Mar 2015 E 100,000,000 2014/07/11 2015/03/30 25.0067979 HK Bank – HSI R Bear CBBC Apr 2015 B 400,000,000 2014/07/11 2015/04/29 100.0067981 HK Bank – TCH R Bull CBBC Dec 2014 L 100,000,000 2014/07/11 2014/12/15 25.0067993 HK Bank – TCH R Bear CBBC Feb 2015 A 100,000,000 2014/07/11 2015/02/16 25.0067986 HK Bank – TCH R Bear CBBC Apr 2015 A 100,000,000 2014/07/11 2015/04/20 25.0067990 HK Bank – TCH R Bear CBBC Jun 2015 A 100,000,000 2014/07/11 2015/06/29 40.0068105 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 R 300,000,000 2014/07/11 2015/01/29 75.00




68056 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 F 300,000,000 2014/07/11 2014/11/27 75.0068111 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 G 300,000,000 2014/07/11 2014/11/27 75.0068013 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 F 100,000,000 2014/07/11 2015/02/26 25.0068097 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 G 200,000,000 2014/07/11 2014/11/27 50.0068098 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 E 200,000,000 2014/07/11 2014/12/30 50.0068095 UBS AG – HSI R Bull CBBC Nov 2014 U 300,000,000 2014/07/11 2014/11/27 75.0068094 UBS AG – HSI R Bull CBBC Jan 2015 S 300,000,000 2014/07/11 2015/01/29 75.0068091 UBS AG – HSI R Bear CBBC Oct 2014 G 300,000,000 2014/07/11 2014/10/30 75.0068131 Credit Suisse AG – HSI R Bull CBBC Feb 2015 M 238,000,000 2014/07/14 2015/02/26 59.5068213 Credit Suisse AG – HSI R Bear CBBC Jan 2015 E 238,000,000 2014/07/14 2015/01/29 59.5068126 Credit Suisse AG – TCH R Bull CBBC Jan 2015 D 50,000,000 2014/07/14 2015/01/30 12.5068128 Credit Suisse AG – TCH R Bull CBBC Jan 2015 E 50,000,000 2014/07/14 2015/01/30 12.5068248 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Nov14B 100,000,000 2014/07/14 2014/11/28 25.0068252 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Nov14C 100,000,000 2014/07/14 2014/11/28 25.0068275 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Apr 2015 E 200,000,000 2014/07/14 2015/04/15 50.0068150 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 A 300,000,000 2014/07/14 2015/06/29 75.0068152 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 K 300,000,000 2014/07/14 2014/10/30 75.0068133 Standard Chartered Bank – Anhui Conch R Bull CBBC Sep 2015 A 50,000,000 2014/07/14 2015/09/15 12.5068141 Standard Chartered Bank – Sands China R Bull CBBC Apr 2015 A 50,000,000 2014/07/14 2015/04/15 12.5068148 Standard Chartered Bank – TCH R Bull CBBC Jun 2015 A 80,000,000 2014/07/14 2015/06/15 20.0068177 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec14 O 200,000,000 2014/07/14 2014/12/30 50.0068178 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 F 200,000,000 2014/07/14 2014/12/30 50.0068182 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 G 200,000,000 2014/07/14 2014/12/30 50.0068210 UBS AG – A50 China R Bull CBBC Apr 2015 A 100,000,000 2014/07/14 2015/04/20 25.0068187 UBS AG – HSI R Bull CBBC Oct 2014 S 300,000,000 2014/07/14 2014/10/30 75.0068218 UBS AG – HSI R Bear CBBC Oct 2014 Q 300,000,000 2014/07/14 2014/10/30 75.0068205 UBS AG – TCH R Bear CBBC Dec 2014 A 100,000,000 2014/07/14 2014/12/15 25.0068396 Credit Suisse AG – HSI R Bull CBBC Jan 2015 X 238,000,000 2014/07/15 2015/01/29 59.5068401 Credit Suisse AG – HSI R Bear CBBC Jan 2015 F 238,000,000 2014/07/15 2015/01/29 59.5068405 Citigroup Global Mkt H Inc. – AIA R Bull CBBC Apr 2015 A 100,000,000 2014/07/15 2015/04/20 25.0068417 Citigroup Global Mkt H Inc. – Sinopec Corp R Bull CBBC Apr15A 60,000,000 2014/07/15 2015/04/20 15.0068408 Citigroup Global Mkt H Inc. – PetCh R Bear CBBC Apr 2015 A 50,000,000 2014/07/15 2015/04/20 12.5068418 Citigroup Global Mkt H Inc. – Ping An R Bear CBBC Apr 2015 A 80,000,000 2014/07/15 2015/04/20 20.0068335 HK Bank – Anhui Conch R Bull CBBC Jul 2015 C 50,000,000 2014/07/15 2015/07/27 12.5068320 HK Bank – A50 R Bull CBBC Feb 2015 E 200,000,000 2014/07/15 2015/02/23 50.0068317 HK Bank – A50 R Bull CBBC Apr 2015 B 200,000,000 2014/07/15 2015/04/27 50.0068384 HK Bank – GCL-Poly Energy R Bull CBBC Oct 2015 A 40,000,000 2014/07/15 2015/10/26 10.0068304 HK Bank – HSCEI R Bull CBBC Jan 2015 B 100,000,000 2014/07/15 2015/01/29 25.0068305 HK Bank – HSCEI R Bear CBBC Mar 2015 A 68,000,000 2014/07/15 2015/03/30 17.0068330 HK Bank – Hutchison R Bull CBBC Jan 2015 A 60,000,000 2014/07/15 2015/01/19 15.0068325 HK Bank – Hutchison R Bear CBBC Apr 2015 A 50,000,000 2014/07/15 2015/04/27 12.5068323 HK Bank – Sands China R Bear CBBC May 2015 A 60,000,000 2014/07/15 2015/05/04 15.0068391 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 K 100,000,000 2014/07/15 2015/06/29 25.0068392 UBS AG – HSI R Bull CBBC Mar 2015 H 300,000,000 2014/07/15 2015/03/30 75.0068510 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 A 200,000,000 2014/07/16 2014/12/30 50.00




68464 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 S 200,000,000 2014/07/16 2014/12/30 50.0068511 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 O 200,000,000 2014/07/16 2015/01/29 50.0068512 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 P 200,000,000 2014/07/16 2015/01/29 50.0068469 Credit Suisse AG – HSI R Bull CBBC Jan 2015 K 238,000,000 2014/07/16 2015/01/29 59.5068470 Credit Suisse AG – HSI R Bull CBBC Jan 2015 L 238,000,000 2014/07/16 2015/01/29 59.5068514 Credit Suisse AG – HSI R Bull CBBC Jan 2015 N 238,000,000 2014/07/16 2015/01/29 59.5068467 Credit Suisse AG – HSI R Bull CBBC Jan 2015 Y 238,000,000 2014/07/16 2015/01/29 59.5068468 Credit Suisse AG – HSI R Bull CBBC Jan 2015 Z 238,000,000 2014/07/16 2015/01/29 59.5068516 Credit Suisse AG – HSI R Bear CBBC Oct 2014 M 238,000,000 2014/07/16 2014/10/30 59.5068517 Credit Suisse AG – HSI R Bear CBBC Oct 2014 N 238,000,000 2014/07/16 2014/10/30 59.5068523 Credit Suisse AG – HSI R Bear CBBC Oct 2014 P 238,000,000 2014/07/16 2014/10/30 59.5068538 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15A 80,000,000 2014/07/16 2015/04/20 20.0068539 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC Apr15A 100,000,000 2014/07/16 2015/04/20 25.0068540 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Apr 15 A 100,000,000 2014/07/16 2015/04/20 25.0068545 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 A 150,000,000 2014/07/16 2014/11/27 39.3068542 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 D 150,000,000 2014/07/16 2014/11/27 38.4068544 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 E 150,000,000 2014/07/16 2014/11/27 38.2568459 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 S 300,000,000 2014/07/16 2015/01/29 75.0068449 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 M 300,000,000 2014/07/16 2015/03/30 75.0068446 J P Morgan SP BV – HSI R Bull CBBC May 2015 A 300,000,000 2014/07/16 2015/05/28 75.0068546 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 L 300,000,000 2014/07/16 2014/10/30 75.0068553 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 M 300,000,000 2014/07/16 2014/10/30 75.0068513 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 G 100,000,000 2014/07/16 2015/02/26 25.0068502 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Nov 14W 200,000,000 2014/07/16 2014/11/27 50.0068503 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14H 200,000,000 2014/07/16 2014/11/27 50.0068508 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14I 200,000,000 2014/07/16 2014/11/27 50.0068479 UBS AG – HSCEI R Bear CBBC Feb 2015 A 100,000,000 2014/07/16 2015/02/26 25.0068472 UBS AG – HSI R Bull CBBC Dec 2014 I 300,000,000 2014/07/16 2014/12/30 75.0068471 UBS AG – HSI R Bull CBBC Jan 2015 T 300,000,000 2014/07/16 2015/01/29 75.0068473 UBS AG – HSI R Bull CBBC Jan 2015 U 300,000,000 2014/07/16 2015/01/29 75.0068532 UBS AG – HSI R Bear CBBC Oct 2014 T 300,000,000 2014/07/16 2014/10/30 75.0068530 UBS AG – HSI R Bear CBBC Nov 2014 Q 300,000,000 2014/07/16 2014/11/27 75.0068525 UBS AG – HSI R Bear CBBC Dec 2014 H 300,000,000 2014/07/16 2014/12/30 75.0068490 UBS AG – Hutchison R Bull CBBC Jun 2015 C 50,000,000 2014/07/16 2015/06/15 12.5068620 Credit Suisse AG – HSI R Bull CBBC Feb 2015 N 238,000,000 2014/07/17 2015/02/26 59.5068621 Credit Suisse AG – HSI R Bull CBBC Feb 2015 O 238,000,000 2014/07/17 2015/02/26 59.5068628 Credit Suisse AG – HSI R Bull CBBC Feb 2015 P 238,000,000 2014/07/17 2015/02/26 59.5068637 Credit Suisse AG – HSI R Bull CBBC Feb 2015 Q 238,000,000 2014/07/17 2015/02/26 59.5068707 Credit Suisse AG – HSI R Bull CBBC Feb 2015 R 238,000,000 2014/07/17 2015/02/26 59.5068708 Credit Suisse AG – HSI R Bull CBBC Feb 2015 S 238,000,000 2014/07/17 2015/02/26 59.5068700 Credit Suisse AG – HSI R Bear CBBC Nov 2014 P 238,000,000 2014/07/17 2014/11/27 59.5068704 Credit Suisse AG – HSI R Bear CBBC Nov 2014 Q 238,000,000 2014/07/17 2014/11/27 59.5068663 Credit Suisse AG – HSI R Bear CBBC Feb 2015 A 238,000,000 2014/07/17 2015/02/26 59.5068681 Credit Suisse AG – HSI R Bear CBBC Feb 2015 B 238,000,000 2014/07/17 2015/02/26 59.5068685 Credit Suisse AG – HSI R Bear CBBC Feb 2015 C 238,000,000 2014/07/17 2015/02/26 59.50




68694 Credit Suisse AG – HSI R Bear CBBC Feb 2015 D 238,000,000 2014/07/17 2015/02/26 59.5068596 HK Bank – Minsheng Bank R Bull CBBC Feb 2015 A 40,000,000 2014/07/17 2015/02/23 10.0068582 HK Bank – HSI R Bull CBBC Jan 2015 P 400,000,000 2014/07/17 2015/01/29 100.0068554 HK Bank – HSI R Bull CBBC Feb 2015 H 400,000,000 2014/07/17 2015/02/26 100.0068592 HK Bank – HSI R Bear CBBC Jan 2015 I 100,000,000 2014/07/17 2015/01/29 25.0068593 HK Bank – HSI R Bear CBBC Feb 2015 H 100,000,000 2014/07/17 2015/02/26 25.0068589 HK Bank – HSI R Bear CBBC Mar 2015 F 100,000,000 2014/07/17 2015/03/30 25.0068594 HK Bank – Lenovo R Bull CBBC Feb 2015 A 60,000,000 2014/07/17 2015/02/23 15.0068595 HK Bank – TCH R Bear CBBC Apr 2015 B 100,000,000 2014/07/17 2015/04/13 25.0068724 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 H 300,000,000 2014/07/17 2015/02/26 75.0068730 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 N 300,000,000 2014/07/17 2014/10/30 75.0068729 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 H 300,000,000 2014/07/17 2014/11/27 75.0068618 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 C 100,000,000 2014/07/17 2015/02/26 25.0068597 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec 14N 200,000,000 2014/07/17 2014/12/30 50.0068603 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14J 200,000,000 2014/07/17 2014/11/27 50.0068722 UBS AG – HSI R Bull CBBC Jan 2015 V 300,000,000 2014/07/17 2015/01/29 75.0068723 UBS AG – HSI R Bull CBBC Feb 2015 J 300,000,000 2014/07/17 2015/02/26 75.0068705 UBS AG – HSI R Bear CBBC Oct 2014 R 300,000,000 2014/07/17 2014/10/30 75.0068706 UBS AG – HSI R Bear CBBC Nov 2014 R 300,000,000 2014/07/17 2014/11/27 75.0068745 Credit Suisse AG – HSI R Bull CBBC Jan 2015 O 238,000,000 2014/07/18 2015/01/29 59.5068746 Credit Suisse AG – HSI R Bear CBBC Nov 2014 R 238,000,000 2014/07/18 2014/11/27 59.5068839 Credit Suisse AG – HSI R Bear CBBC Nov 2014 S 238,000,000 2014/07/18 2014/11/27 59.5068864 Citigroup Global Mkt H Inc. – Galaxy Ent R Bear CBBC Apr15 B 60,000,000 2014/07/18 2015/04/20 15.0068863 Citigroup Global Mkt H Inc. – Sands China R Bear CBBC Apr15A 60,000,000 2014/07/18 2015/04/20 15.0068852 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 B 150,000,000 2014/07/18 2014/11/27 40.6568851 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 I 300,000,000 2014/07/18 2015/02/26 75.0068848 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 I 300,000,000 2014/07/18 2014/11/27 75.0068755 UBS AG – China Mobile R Bear CBBC Mar 2015 A 50,000,000 2014/07/18 2015/03/02 12.5068762 UBS AG – CNOOC R Bear CBBC Jan 2015 B 50,000,000 2014/07/18 2015/01/19 12.5068809 UBS AG – HSBC R Bull CBBC Jun 2015 B 50,000,000 2014/07/18 2015/06/15 12.5068750 UBS AG – HSI R Bull CBBC Nov 2014 N 300,000,000 2014/07/18 2014/11/27 75.0068739 UBS AG – HSI R Bear CBBC Oct 2014 S 300,000,000 2014/07/18 2014/10/30 75.0068777 UBS AG – Hutchison R Bear CBBC Feb 2015 A 50,000,000 2014/07/18 2015/02/02 12.5068945 Credit Suisse AG – HSI R Bull CBBC Jan 2015 I 238,000,000 2014/07/21 2015/01/29 59.5068947 Credit Suisse AG – HSI R Bear CBBC Nov 2014 T 238,000,000 2014/07/21 2014/11/27 59.5068889 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 N 300,000,000 2014/07/21 2015/03/30 75.0068930 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec14 P 200,000,000 2014/07/21 2014/12/30 50.0068940 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 K 200,000,000 2014/07/21 2014/11/27 50.0068953 UBS AG – HSI R Bull CBBC Oct 2014 C 300,000,000 2014/07/21 2014/10/30 75.0068911 UBS AG – HSI R Bull CBBC Oct 2015 A 300,000,000 2014/07/21 2015/10/29 75.0068868 UBS AG – HSI R Bear CBBC Nov 2014 S 300,000,000 2014/07/21 2014/11/27 75.0068888 UBS AG – HSI R Bear CBBC Dec 2014 I 350,000,000 2014/07/21 2014/12/30 87.5068906 UBS AG – HSI R Bear CBBC May 2015 A 300,000,000 2014/07/21 2015/05/28 75.0066994 # HK Bank – HSI R Bear CBBC Oct 2014 B 280,000,000 2014/07/21 2014/10/30 28.5669053 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2014 E 100,000,000 2014/07/22 2014/12/30 25.00




69050 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 B 200,000,000 2014/07/22 2014/12/30 50.0069051 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 Q 200,000,000 2014/07/22 2015/01/29 50.0069019 Credit Suisse AG – HSI R Bull CBBC Feb 2015 T 238,000,000 2014/07/22 2015/02/26 59.5069025 Credit Suisse AG – HSI R Bull CBBC Feb 2015 U 238,000,000 2014/07/22 2015/02/26 59.5069009 Credit Suisse AG – HSI R Bear CBBC Oct 2014 Q 238,000,000 2014/07/22 2014/10/30 59.5069010 Credit Suisse AG – HSI R Bear CBBC Oct 2014 R 238,000,000 2014/07/22 2014/10/30 59.5069033 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Apr15A 80,000,000 2014/07/22 2015/04/20 20.0069035 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Apr15B 80,000,000 2014/07/22 2015/04/20 20.0069036 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15B 80,000,000 2014/07/22 2015/04/20 20.0069018 Bank of East Asia – Sinopec Corp R Bull CBBC Feb 2015 A 50,000,000 2014/07/22 2015/02/26 12.5069080 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 T 300,000,000 2014/07/22 2015/01/29 75.0069079 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 J 300,000,000 2014/07/22 2015/02/26 75.0069077 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 J 300,000,000 2014/07/22 2014/11/27 75.0068978 Standard Chartered Bank – China Mobile R Bull CBBC Jul 2015A 50,000,000 2014/07/22 2015/07/16 12.5068979 Standard Chartered Bank – China Mobile R Bear CBBC Mar 2015A 50,000,000 2014/07/22 2015/03/06 12.5069013 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 H 100,000,000 2014/07/22 2015/02/26 25.0068956 Standard Chartered Bank – Lenovo R Bull CBBC Sep 2015 A 50,000,000 2014/07/22 2015/09/08 12.5068976 Standard Chartered Bank – Lenovo R Bear CBBC Apr 2015 B 50,000,000 2014/07/22 2015/04/14 12.5069012 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec14 W 200,000,000 2014/07/22 2014/12/30 50.0069072 UBS AG – HSI R Bull CBBC Nov 2014 I 300,000,000 2014/07/22 2014/11/27 75.0069059 UBS AG – HSI R Bull CBBC Dec 2014 L 300,000,000 2014/07/22 2014/12/30 75.0069008 UBS AG – HSI R Bear CBBC Dec 2014 J 350,000,000 2014/07/22 2014/12/30 87.5069226 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 Z 200,000,000 2014/07/23 2014/12/30 50.0069134 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 R 200,000,000 2014/07/23 2015/01/29 50.0069181 Credit Suisse AG – HSI R Bull CBBC Jan 2015 M 238,000,000 2014/07/23 2015/01/29 59.5069186 Credit Suisse AG – HSI R Bull CBBC Jan 2015 R 238,000,000 2014/07/23 2015/01/29 59.5069138 Credit Suisse AG – HSI R Bear CBBC Oct 2014 S 238,000,000 2014/07/23 2014/10/30 59.5069139 Credit Suisse AG – HSI R Bear CBBC Oct 2014 T 238,000,000 2014/07/23 2014/10/30 59.5069145 Credit Suisse AG – HSI R Bear CBBC Jan 2015 G 238,000,000 2014/07/23 2015/01/29 59.5069156 Credit Suisse AG – HSI R Bear CBBC Jan 2015 H 238,000,000 2014/07/23 2015/01/29 59.5069143 Credit Suisse AG – HSI R Bear CBBC Feb 2015 E 238,000,000 2014/07/23 2015/02/26 59.5069149 Credit Suisse AG – HSI R Bear CBBC Feb 2015 F 238,000,000 2014/07/23 2015/02/26 59.5069161 Credit Suisse AG – HSI R Bear CBBC Feb 2015 G 238,000,000 2014/07/23 2015/02/26 59.5069173 Credit Suisse AG – HSI R Bear CBBC Feb 2015 H 238,000,000 2014/07/23 2015/02/26 64.2669222 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 C 150,000,000 2014/07/23 2014/11/27 43.2069124 HK Bank – AIA R Bull CBBC Jun 2015 B 60,000,000 2014/07/23 2015/06/15 15.0069127 HK Bank – AIA R Bear CBBC Mar 2015 A 40,000,000 2014/07/23 2015/03/30 10.0069128 HK Bank – AIA R Bear CBBC Apr 2015 B 40,000,000 2014/07/23 2015/04/13 10.0069090 HK Bank – China Mobile R Bull CBBC Jun 2015 A 120,000,000 2014/07/23 2015/06/29 30.0069113 HK Bank – China Mobile R Bull CBBC Jun 2015 B 120,000,000 2014/07/23 2015/06/22 30.0069115 HK Bank – China Mobile R Bear CBBC Apr 2015 C 40,000,000 2014/07/23 2015/04/27 10.0069084 HK Bank – HSI R Bull CBBC Jan 2015 Q 100,000,000 2014/07/23 2015/01/29 25.0069085 HK Bank – HSI R Bull CBBC Feb 2015 I 100,000,000 2014/07/23 2015/02/26 25.0069083 HK Bank – HSI R Bull CBBC Mar 2015 D 100,000,000 2014/07/23 2015/03/30 25.0069220 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 K 300,000,000 2014/07/23 2015/02/26 75.00




69221 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 O 300,000,000 2014/07/23 2015/03/30 75.0069200 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 K 300,000,000 2014/07/23 2014/11/27 75.0069219 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 L 300,000,000 2014/07/23 2014/11/27 75.0069133 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 I 100,000,000 2014/07/23 2015/02/26 25.0069188 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 A 200,000,000 2014/07/23 2015/02/26 50.0069195 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 L 200,000,000 2014/07/23 2014/11/27 50.0069179 UBS AG – China Mobile R Bear CBBC Apr 2015 A 50,000,000 2014/07/23 2015/04/13 12.5069187 UBS AG – HSI R Bull CBBC Jan 2015 W 300,000,000 2014/07/23 2015/01/29 75.0069140 UBS AG – HSI R Bear CBBC Dec 2014 K 300,000,000 2014/07/23 2014/12/30 75.0069280 Credit Suisse AG – HSI R Bull CBBC Mar 2015 G 238,000,000 2014/07/24 2015/03/30 59.5069281 Credit Suisse AG – HSI R Bear CBBC Nov 2014 U 238,000,000 2014/07/24 2014/11/27 59.5069256 HK Bank – BOCL R Bear CBBC May 2015 B 40,000,000 2014/07/24 2015/05/04 10.0069246 HK Bank – China Mobile R Bull CBBC Jun 2015 C 120,000,000 2014/07/24 2015/06/26 30.0069227 HK Bank – China Mobile R Bear CBBC Jul 2015 A 60,000,000 2014/07/24 2015/07/13 15.0069228 HK Bank – China Mobile R Bear CBBC Jul 2015 B 60,000,000 2014/07/24 2015/07/27 15.0069229 HK Bank – China Mobile R Bear CBBC Jul 2015 C 60,000,000 2014/07/24 2015/07/20 15.0069249 HK Bank – Minsheng Bank R Bear CBBC May 2015 A 40,000,000 2014/07/24 2015/05/11 10.0069250 HK Bank – Sands China R Bear CBBC Apr 2015 A 60,000,000 2014/07/24 2015/04/27 15.0069288 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 P 300,000,000 2014/07/24 2015/03/30 75.0069287 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 M 300,000,000 2014/07/24 2014/11/27 75.0069286 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 A 300,000,000 2014/07/24 2015/02/26 75.0069257 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 M 100,000,000 2014/07/24 2015/04/29 25.0069265 Standard Chartered Bank – HSI R Bear CBBC Nov 2014 N 100,000,000 2014/07/24 2014/11/27 25.0069274 UBS AG – China Mobile R Bull CBBC Jul 2015 B 50,000,000 2014/07/24 2015/07/06 12.5069273 UBS AG – HSI R Bull CBBC Dec 2014 M 300,000,000 2014/07/24 2014/12/30 75.0069284 UBS AG – HSI R Bear CBBC Oct 2014 U 300,000,000 2014/07/24 2014/10/30 75.0069285 UBS AG – HSI R Bear CBBC Dec 2014 L 350,000,000 2014/07/24 2014/12/30 87.5069322 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2014 G 200,000,000 2014/07/25 2014/12/30 50.0069315 Credit Suisse AG – HSI R Bull CBBC Mar 2015 H 238,000,000 2014/07/25 2015/03/30 59.5069317 Credit Suisse AG – HSI R Bull CBBC Mar 2015 I 238,000,000 2014/07/25 2015/03/30 59.5069318 Credit Suisse AG – HSI R Bull CBBC Mar 2015 J 238,000,000 2014/07/25 2015/03/30 59.5069367 Credit Suisse AG – HSI R Bear CBBC Oct 2014 V 238,000,000 2014/07/25 2014/10/30 59.5069292 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 L 300,000,000 2014/07/25 2015/02/26 75.0069290 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 Q 300,000,000 2014/07/25 2015/03/30 75.0069373 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 D 300,000,000 2014/07/25 2014/12/30 75.0069295 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 N 100,000,000 2014/07/25 2015/04/29 25.0069302 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 O 100,000,000 2014/07/25 2015/04/29 25.0069346 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 M 200,000,000 2014/07/25 2014/11/27 50.0069325 UBS AG – HSI R Bull CBBC Oct 2014 H 350,000,000 2014/07/25 2014/10/30 87.5069324 UBS AG – HSI R Bull CBBC Dec 2014 H 300,000,000 2014/07/25 2014/12/30 75.0069323 UBS AG – HSI R Bull CBBC Jan 2015 X 300,000,000 2014/07/25 2015/01/29 75.0069347 UBS AG – HSI R Bear CBBC Nov 2014 T 300,000,000 2014/07/25 2014/11/27 75.0069366 UBS AG – HSI R Bear CBBC Nov 2014 U 350,000,000 2014/07/25 2014/11/27 87.5069391 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 S 200,000,000 2014/07/28 2015/01/29 50.0069376 Credit Suisse AG – HSI R Bull CBBC Jan 2015 Q 238,000,000 2014/07/28 2015/01/29 59.50




69377 Credit Suisse AG – HSI R Bear CBBC Jan 2015 I 238,000,000 2014/07/28 2015/01/29 59.5069402 Citigroup Global Mkt H Inc. – PetCh R Bull CBBC Apr 2015 A 50,000,000 2014/07/28 2015/04/20 12.5069405 Citigroup Global Mkt H Inc. – PetCh R Bull CBBC Apr 2015 B 50,000,000 2014/07/28 2015/04/20 12.5069401 Citigroup Global Mkt H Inc. – PetCh R Bear CBBC Apr 2015 B 50,000,000 2014/07/28 2015/04/20 12.5069394 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 M 300,000,000 2014/07/28 2015/02/26 75.0069397 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 N 300,000,000 2014/07/28 2014/11/27 75.0069398 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 E 300,000,000 2014/07/28 2014/12/30 75.0069378 UBS AG – HSI R Bull CBBC Jan 2015 Y 300,000,000 2014/07/28 2015/01/29 75.0069379 UBS AG – HSI R Bear CBBC Oct 2014 W 300,000,000 2014/07/28 2014/10/30 75.0069481 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 A 200,000,000 2014/07/29 2015/06/29 50.0069516 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 B 200,000,000 2014/07/29 2015/06/29 50.0069419 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 T 200,000,000 2014/07/29 2015/01/29 50.0069421 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 U 200,000,000 2014/07/29 2015/01/29 50.0069482 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 V 200,000,000 2014/07/29 2015/01/29 50.0069517 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 W 200,000,000 2014/07/29 2015/01/29 50.0069518 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 X 200,000,000 2014/07/29 2015/01/29 50.0069510 Credit Suisse AG – China Mobile R Bull CBBC Jan 2015 A 50,000,000 2014/07/29 2015/01/30 12.5069511 Credit Suisse AG – China Mobile R Bull CBBC Jan 2015 B 50,000,000 2014/07/29 2015/01/30 12.5069512 Credit Suisse AG – China Mobile R Bull CBBC Jan 2015 C 50,000,000 2014/07/29 2015/01/30 12.5069513 Credit Suisse AG – China Mobile R Bear CBBC Jan 2015 A 50,000,000 2014/07/29 2015/01/30 12.5069514 Credit Suisse AG – China Mobile R Bear CBBC Jan 2015 B 50,000,000 2014/07/29 2015/01/30 12.5069515 Credit Suisse AG – China Mobile R Bear CBBC Jan 2015 C 50,000,000 2014/07/29 2015/01/30 12.5069497 Credit Suisse AG – A50 China R Bull CBBC Jan 2015 A 50,000,000 2014/07/29 2015/01/30 12.5069498 Credit Suisse AG – A50 China R Bull CBBC Jan 2015 B 50,000,000 2014/07/29 2015/01/30 12.5069499 Credit Suisse AG – A50 China R Bull CBBC Jan 2015 C 50,000,000 2014/07/29 2015/01/30 12.5069500 Credit Suisse AG – A50 China R Bear CBBC Dec 2014 A 50,000,000 2014/07/29 2014/12/30 12.5069501 Credit Suisse AG – A50 China R Bear CBBC Dec 2014 B 50,000,000 2014/07/29 2014/12/30 12.5069507 Credit Suisse AG – HSBC R Bull CBBC Jan 2015 A 50,000,000 2014/07/29 2015/01/30 12.5069509 Credit Suisse AG – HSBC R Bull CBBC Jan 2015 B 50,000,000 2014/07/29 2015/01/30 12.5069519 Credit Suisse AG – HSI R Bull CBBC Feb 2015 V 238,000,000 2014/07/29 2015/02/26 59.5069520 Credit Suisse AG – HSI R Bull CBBC Feb 2015 W 238,000,000 2014/07/29 2015/02/26 59.5069521 Credit Suisse AG – HSI R Bull CBBC Feb 2015 X 238,000,000 2014/07/29 2015/02/26 59.5069490 Credit Suisse AG – HSI R Bear CBBC Oct 2014 C 238,000,000 2014/07/29 2014/10/30 59.5069496 Credit Suisse AG – HSI R Bear CBBC Oct 2014 D 238,000,000 2014/07/29 2014/10/30 59.5069443 Credit Suisse AG – HSI R Bear CBBC Oct 2014 U 238,000,000 2014/07/29 2014/10/30 59.5069432 Credit Suisse AG – HSI R Bear CBBC Oct 2014 W 238,000,000 2014/07/29 2014/10/30 59.5069446 Credit Suisse AG – HSI R Bear CBBC Oct 2014 Z 238,000,000 2014/07/29 2014/10/30 59.5069523 Credit Suisse AG – HSI R Bear CBBC Mar 2015 A 238,000,000 2014/07/29 2015/03/30 59.5069530 Credit Suisse AG – HSI R Bear CBBC Mar 2015 B 238,000,000 2014/07/29 2015/03/30 59.5069502 Credit Suisse AG – Hutchison R Bull CBBC Jan 2015 A 50,000,000 2014/07/29 2015/01/30 12.5069504 Credit Suisse AG – Hutchison R Bull CBBC Jan 2015 B 50,000,000 2014/07/29 2015/01/30 12.5069449 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15C 80,000,000 2014/07/29 2015/04/20 20.0069450 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15D 80,000,000 2014/07/29 2015/04/20 20.0069590 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2015 G 200,000,000 2014/07/29 2015/01/29 50.0069591 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2015 H 200,000,000 2014/07/29 2015/01/29 50.00




69592 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2015 F 200,000,000 2014/07/29 2015/01/29 50.0069594 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2015 G 200,000,000 2014/07/29 2015/01/29 50.0069599 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2015 H 200,000,000 2014/07/29 2015/01/29 50.0069604 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2015 I 200,000,000 2014/07/29 2015/01/29 50.0069548 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 D 150,000,000 2014/07/29 2014/11/27 37.5069549 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 F 150,000,000 2014/07/29 2014/11/27 45.1569550 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 G 150,000,000 2014/07/29 2014/11/27 47.2569418 HK Bank – HSI R Bear CBBC Feb 2015 I 100,000,000 2014/07/29 2015/02/26 25.0069408 HK Bank – PetCh R Bull CBBC Jul 2015 B 60,000,000 2014/07/29 2015/07/20 15.0069406 HK Bank – PetCh R Bear CBBC Jul 2015 A 40,000,000 2014/07/29 2015/07/27 11.6069611 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 U 300,000,000 2014/07/29 2015/01/29 75.0069471 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 N 300,000,000 2014/07/29 2015/02/26 75.0069472 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 R 300,000,000 2014/07/29 2015/03/30 75.0069609 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 S 300,000,000 2014/07/29 2015/03/30 75.0069469 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 O 300,000,000 2014/07/29 2014/10/30 75.0069473 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 P 300,000,000 2014/07/29 2014/10/30 75.0069606 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 Q 300,000,000 2014/07/29 2014/10/30 75.0069468 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 F 300,000,000 2014/07/29 2014/12/30 75.0069466 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 A 300,000,000 2014/07/29 2015/01/29 75.0069580 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 B 50,000,000 2014/07/29 2014/12/30 12.5069584 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 C 50,000,000 2014/07/29 2014/12/30 12.5069587 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 D 50,000,000 2014/07/29 2014/12/30 12.5069579 Macquarie Bank Ltd. – HSI R Bear CBBC Dec 2014 A 50,000,000 2014/07/29 2014/12/30 12.5069552 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 P 100,000,000 2014/07/29 2015/04/29 25.0069425 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 L 100,000,000 2014/07/29 2015/06/29 25.0069566 Standard Chartered Bank – HSI R Bear CBBC Nov 2014 O 100,000,000 2014/07/29 2014/11/27 25.0069474 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 B 200,000,000 2014/07/29 2015/02/26 50.0069547 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 C 200,000,000 2014/07/29 2015/02/26 50.0069479 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 N 200,000,000 2014/07/29 2014/11/27 50.0069480 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 A 200,000,000 2014/07/29 2015/01/29 50.0069575 UBS AG – A50 China R Bull CBBC Feb 2015 E 100,000,000 2014/07/29 2015/02/09 25.0069456 UBS AG – HSCEI R Bear CBBC Jan 2015 A 100,000,000 2014/07/29 2015/01/29 25.0069576 UBS AG – HSI R Bull CBBC Nov 2014 L 300,000,000 2014/07/29 2014/11/27 75.0069577 UBS AG – HSI R Bull CBBC Dec 2014 E 300,000,000 2014/07/29 2014/12/30 75.0069460 UBS AG – HSI R Bear CBBC Oct 2014 B 300,000,000 2014/07/29 2014/10/30 75.0069457 UBS AG – HSI R Bear CBBC Oct 2014 X 300,000,000 2014/07/29 2014/10/30 75.0069578 UBS AG – HSI R Bear CBBC Nov 2014 V 300,000,000 2014/07/29 2014/11/27 75.0069452 UBS AG – HSI R Bear CBBC Dec 2014 M 300,000,000 2014/07/29 2014/12/30 75.0069463 UBS AG – HSI R Bear CBBC Dec 2014 N 350,000,000 2014/07/29 2014/12/30 87.5069716 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Dec 2014 A 100,000,000 2014/07/30 2014/12/30 25.0069712 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 C 200,000,000 2014/07/30 2015/06/29 50.0069715 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 D 200,000,000 2014/07/30 2015/06/29 50.0069648 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 C 200,000,000 2014/07/30 2015/01/29 50.0069637 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 E 200,000,000 2014/07/30 2015/01/29 50.0069634 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 Y 200,000,000 2014/07/30 2015/01/29 50.00




69636 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 Z 200,000,000 2014/07/30 2015/01/29 50.0069721 Credit Suisse AG – HSI R Bull CBBC Mar 2015 K 238,000,000 2014/07/30 2015/03/30 59.5069722 Credit Suisse AG – HSI R Bull CBBC Mar 2015 L 238,000,000 2014/07/30 2015/03/30 59.5069723 Credit Suisse AG – HSI R Bull CBBC Mar 2015 M 238,000,000 2014/07/30 2015/03/30 59.5069724 Credit Suisse AG – HSI R Bull CBBC Mar 2015 N 238,000,000 2014/07/30 2015/03/30 59.5069703 Credit Suisse AG – HSI R Bull CBBC Apr 2015 A 238,000,000 2014/07/30 2015/04/29 59.5069688 Credit Suisse AG – HSI R Bear CBBC Nov 2014 V 238,000,000 2014/07/30 2014/11/27 59.5069689 Credit Suisse AG – HSI R Bear CBBC Nov 2014 W 238,000,000 2014/07/30 2014/11/27 59.5069691 Credit Suisse AG – HSI R Bear CBBC Nov 2014 X 238,000,000 2014/07/30 2014/11/27 59.5069694 Credit Suisse AG – HSI R Bear CBBC Nov 2014 Y 238,000,000 2014/07/30 2014/11/27 59.5069700 Credit Suisse AG – HSI R Bear CBBC Nov 2014 Z 238,000,000 2014/07/30 2014/11/27 59.5069696 Credit Suisse AG – HSI R Bear CBBC Dec 2014 L 238,000,000 2014/07/30 2014/12/30 59.5069698 Credit Suisse AG – HSI R Bear CBBC Jan 2015 J 238,000,000 2014/07/30 2015/01/29 59.5069702 Credit Suisse AG – HSI R Bear CBBC Jan 2015 K 238,000,000 2014/07/30 2015/01/29 59.5069701 Credit Suisse AG – HSI R Bear CBBC Feb 2015 I 238,000,000 2014/07/30 2015/02/26 59.5069704 Credit Suisse AG – HSI R Bear CBBC Apr 2015 A 238,000,000 2014/07/30 2015/04/29 59.5069736 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 H 150,000,000 2014/07/30 2014/11/27 47.4069623 HK Bank – AIA R Bear CBBC Apr 2015 C 40,000,000 2014/07/30 2015/04/08 10.0069627 HK Bank – COVS R Bull CBBC Oct 2015 A 50,000,000 2014/07/30 2015/10/26 18.0069615 HK Bank – CSOP A50 ETF R Bull CBBC Mar 2015 C 80,000,000 2014/07/30 2015/03/30 20.0069618 HK Bank – A50 R Bull CBBC Mar 2015 F 200,000,000 2014/07/30 2015/03/30 50.0069630 HK Bank – HSI R Bull CBBC Jan 2015 R 100,000,000 2014/07/30 2015/01/29 25.0069628 HK Bank – HSI R Bull CBBC Feb 2015 J 100,000,000 2014/07/30 2015/02/26 25.0069612 HK Bank – HSI R Bear CBBC Mar 2015 G 100,000,000 2014/07/30 2015/03/30 25.0069629 HK Bank – HSI R Bear CBBC Apr 2015 C 100,000,000 2014/07/30 2015/04/29 25.0069613 HK Bank – HSI R Bear CBBC May 2015 A 400,000,000 2014/07/30 2015/05/28 100.0069622 HK Bank – TCH R Bull CBBC Apr 2015 A 100,000,000 2014/07/30 2015/04/13 25.0069747 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 O 300,000,000 2014/07/30 2015/02/26 75.0069746 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 T 300,000,000 2014/07/30 2015/03/30 75.0069744 J P Morgan SP BV – HSI R Bull CBBC Apr 2015 A 300,000,000 2014/07/30 2015/04/29 75.0069745 J P Morgan SP BV – HSI R Bull CBBC Apr 2015 B 300,000,000 2014/07/30 2015/04/29 75.0069632 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 R 300,000,000 2014/07/30 2014/10/30 75.0069633 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 S 300,000,000 2014/07/30 2014/10/30 75.0069742 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 T 300,000,000 2014/07/30 2014/10/30 75.0069743 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 U 300,000,000 2014/07/30 2014/10/30 75.0069741 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 O 300,000,000 2014/07/30 2014/11/27 75.0069631 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 G 300,000,000 2014/07/30 2014/12/30 75.0069740 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 H 300,000,000 2014/07/30 2014/12/30 75.0069739 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 B 300,000,000 2014/07/30 2015/01/29 75.0069720 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 E 50,000,000 2014/07/30 2014/12/30 12.5069717 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 G 50,000,000 2014/07/30 2014/11/27 12.5069718 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 H 50,000,000 2014/07/30 2014/11/27 12.5069719 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 I 50,000,000 2014/07/30 2014/11/27 12.5069649 Standard Chartered Bank – China Mobile R Bull CBBC Jul 2015B 50,000,000 2014/07/30 2015/07/15 12.5069663 Standard Chartered Bank – China Mobile R Bear CBBC Mar 2015B 50,000,000 2014/07/30 2015/03/05 12.50




69664 Standard Chartered Bank – Minsheng Bank R Bull CBBC Jul 15 A 50,000,000 2014/07/30 2015/07/17 12.5069674 Standard Chartered Bank – HSI R Bull CBBC Dec 2014 J 100,000,000 2014/07/30 2014/12/30 25.0069690 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 Q 100,000,000 2014/07/30 2015/04/29 25.0069676 Standard Chartered Bank – HSI R Bear CBBC Nov 2014 P 100,000,000 2014/07/30 2014/11/27 25.0069685 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 D 200,000,000 2014/07/30 2015/02/26 50.0069686 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 E 200,000,000 2014/07/30 2015/02/26 50.0069708 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 F 200,000,000 2014/07/30 2015/02/26 50.0069705 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 A 200,000,000 2014/07/30 2015/04/29 50.0069707 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 B 200,000,000 2014/07/30 2015/04/29 50.0069687 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 O 200,000,000 2014/07/30 2014/11/27 50.0069735 UBS AG – Cheung Kong R Bull CBBC Jun 2015 A 50,000,000 2014/07/30 2015/06/15 12.5069734 UBS AG – CSOP A50 ETF R Bull CBBC Feb 2015 D 50,000,000 2014/07/30 2015/02/16 12.5069733 UBS AG – HSCEI R Bull CBBC Feb 2015 B 100,000,000 2014/07/30 2015/02/26 25.0069730 UBS AG – HSCEI R Bear CBBC Jan 2015 B 100,000,000 2014/07/30 2015/01/29 25.0069725 UBS AG – HSI R Bull CBBC Oct 2014 L 300,000,000 2014/07/30 2014/10/30 75.0069727 UBS AG – HSI R Bull CBBC Jan 2015 A 300,000,000 2014/07/30 2015/01/29 75.0069726 UBS AG – HSI R Bull CBBC Jan 2015 Z 300,000,000 2014/07/30 2015/01/29 75.0069678 UBS AG – HSI R Bear CBBC Oct 2014 O 300,000,000 2014/07/30 2014/10/30 75.0069683 UBS AG – HSI R Bear CBBC Nov 2014 W 350,000,000 2014/07/30 2014/11/27 87.5069729 UBS AG – HSI R Bear CBBC Jan 2015 F 300,000,000 2014/07/30 2015/01/29 75.0069841 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 E 200,000,000 2014/07/31 2015/06/29 50.0069842 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 F 200,000,000 2014/07/31 2015/06/29 50.0069845 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 D 200,000,000 2014/07/31 2015/01/29 50.0069763 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 F 200,000,000 2014/07/31 2015/01/29 50.0069764 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 G 200,000,000 2014/07/31 2015/01/29 50.0069767 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 H 200,000,000 2014/07/31 2015/01/29 50.0069846 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 I 200,000,000 2014/07/31 2015/01/29 50.0069824 Credit Suisse AG – HSI R Bull CBBC Jan 2015 U 238,000,000 2014/07/31 2015/01/29 59.5069825 Credit Suisse AG – HSI R Bull CBBC Jan 2015 V 238,000,000 2014/07/31 2015/01/29 59.5069826 Credit Suisse AG – HSI R Bull CBBC Jan 2015 W 238,000,000 2014/07/31 2015/01/29 59.5069827 Credit Suisse AG – HSI R Bull CBBC Jan 2015 X 238,000,000 2014/07/31 2015/01/29 59.5069828 Credit Suisse AG – HSI R Bull CBBC Jan 2015 Y 238,000,000 2014/07/31 2015/01/29 59.5069823 Credit Suisse AG – HSI R Bear CBBC Oct 2014 B 238,000,000 2014/07/31 2014/10/30 59.5069770 Credit Suisse AG – HSI R Bear CBBC Oct 2014 E 238,000,000 2014/07/31 2014/10/30 59.5069771 Credit Suisse AG – HSI R Bear CBBC Oct 2014 O 238,000,000 2014/07/31 2014/10/30 59.5069772 Credit Suisse AG – HSI R Bear CBBC Apr 2015 B 238,000,000 2014/07/31 2015/04/29 59.5069773 Credit Suisse AG – HSI R Bear CBBC Apr 2015 C 238,000,000 2014/07/31 2015/04/29 61.8869774 Credit Suisse AG – HSI R Bear CBBC Apr 2015 D 238,000,000 2014/07/31 2015/04/29 71.4069851 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 E 150,000,000 2014/07/31 2014/11/27 38.5569852 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 I 150,000,000 2014/07/31 2014/11/27 51.1569855 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 J 150,000,000 2014/07/31 2014/11/27 52.9569759 HK Bank – ABC R Bull CBBC Aug 2015 C 80,000,000 2014/07/31 2015/08/03 20.0069758 HK Bank – BOCL R Bull CBBC Jul 2015 B 80,000,000 2014/07/31 2015/07/20 20.0069760 HK Bank – China Cinda R Bull CBBC Apr 2015 A 50,000,000 2014/07/31 2015/04/27 12.5069757 HK Bank – CSOP A50 ETF R Bull CBBC Mar 2015 D 80,000,000 2014/07/31 2015/03/16 20.00




69756 HK Bank – A50 R Bull CBBC Mar 2015 G 200,000,000 2014/07/31 2015/03/16 50.0069753 HK Bank – HSCEI R Bull CBBC Mar 2015 A 100,000,000 2014/07/31 2015/03/30 25.0069754 HK Bank – HSCEI R Bear CBBC Apr 2015 A 68,000,000 2014/07/31 2015/04/29 17.0069755 HK Bank – HSCEI R Bear CBBC May 2015 A 100,000,000 2014/07/31 2015/05/28 25.0069749 HK Bank – HSI R Bull CBBC Dec 2014 X 100,000,000 2014/07/31 2014/12/30 25.0069750 HK Bank – HSI R Bull CBBC Feb 2015 K 400,000,000 2014/07/31 2015/02/26 100.0069748 HK Bank – HSI R Bull CBBC Mar 2015 E 100,000,000 2014/07/31 2015/03/30 25.0069751 HK Bank – HSI R Bear CBBC Mar 2015 H 100,000,000 2014/07/31 2015/03/30 25.0069752 HK Bank – HSI R Bear CBBC Mar 2015 I 400,000,000 2014/07/31 2015/03/30 100.0069849 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 V 300,000,000 2014/07/31 2015/01/29 75.0069785 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 U 300,000,000 2014/07/31 2015/03/30 75.0069791 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 V 300,000,000 2014/07/31 2015/03/30 75.0069783 J P Morgan SP BV – HSI R Bull CBBC Apr 2015 C 300,000,000 2014/07/31 2015/04/29 75.0069782 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 V 300,000,000 2014/07/31 2014/10/30 75.0069848 J P Morgan SP BV – HSI R Bear CBBC Oct 2014 W 300,000,000 2014/07/31 2014/10/30 75.0069847 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 P 300,000,000 2014/07/31 2014/11/27 75.0069781 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 I 300,000,000 2014/07/31 2014/12/30 75.0069793 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 F 50,000,000 2014/07/31 2014/12/30 12.5069798 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 J 50,000,000 2014/07/31 2014/11/27 12.5069799 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2014 K 50,000,000 2014/07/31 2014/11/27 12.5069769 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 R 100,000,000 2014/07/31 2015/04/29 25.0069838 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 S 100,000,000 2014/07/31 2015/04/29 25.0069768 Standard Chartered Bank – HSI R Bear CBBC Nov 2014 Q 100,000,000 2014/07/31 2014/11/27 25.0069829 Standard Chartered Bank – HSI R Bear CBBC Nov 2014 R 100,000,000 2014/07/31 2014/11/27 25.0069832 Standard Chartered Bank – HSI R Bear CBBC Nov 2014 S 100,000,000 2014/07/31 2014/11/27 25.0069800 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 G 200,000,000 2014/07/31 2015/02/26 50.0069801 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 H 200,000,000 2014/07/31 2015/02/26 50.0069850 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 I 200,000,000 2014/07/31 2015/02/26 50.0069804 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 P 200,000,000 2014/07/31 2014/11/27 50.0069805 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 H 200,000,000 2014/07/31 2014/12/30 50.0069806 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 I 200,000,000 2014/07/31 2014/12/30 50.0069807 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 A 400,000,000 2014/07/31 2015/02/26 100.0069821 UBS AG – China Mobile R Bear CBBC May 2015 A 50,000,000 2014/07/31 2015/05/04 12.5069820 UBS AG – HSCEI R Bull CBBC Mar 2015 A 100,000,000 2014/07/31 2015/03/30 25.0069818 UBS AG – HSCEI R Bear CBBC Feb 2015 B 100,000,000 2014/07/31 2015/02/26 25.0069858 UBS AG – HSI R Bull CBBC Dec 2014 X 300,000,000 2014/07/31 2014/12/30 75.0069856 UBS AG – HSI R Bull CBBC Jan 2015 B 300,000,000 2014/07/31 2015/01/29 75.0069857 UBS AG – HSI R Bull CBBC Feb 2015 K 300,000,000 2014/07/31 2015/02/26 75.0069860 UBS AG – HSI R Bull CBBC Feb 2015 L 300,000,000 2014/07/31 2015/02/26 75.0069817 UBS AG – HSI R Bull CBBC Jul 2015 D 300,000,000 2014/07/31 2015/07/30 75.0069779 UBS AG – HSI R Bear CBBC Dec 2014 O 300,000,000 2014/07/31 2014/12/30 75.0069778 UBS AG – HSI R Bear CBBC Jan 2015 G 300,000,000 2014/07/31 2015/01/29 75.0069780 UBS AG – HSI R Bear CBBC Jan 2015 H 350,000,000 2014/07/31 2015/01/29 87.5069815 UBS AG – HSI R Bear CBBC Feb 2015 A 300,000,000 2014/07/31 2015/02/26 75.0069814 UBS AG – HSI R Bear CBBC Mar 2015 B 300,000,000 2014/07/31 2015/03/30 94.50




69816 UBS AG – HSI R Bear CBBC Mar 2015 C 300,000,000 2014/07/31 2015/03/30 75.0069958 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 G 200,000,000 2014/08/01 2015/06/29 50.0069886 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 J 200,000,000 2014/08/01 2015/01/29 50.0069887 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 K 200,000,000 2014/08/01 2015/01/29 50.0069888 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 L 200,000,000 2014/08/01 2015/01/29 50.0069889 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 O 200,000,000 2014/08/01 2015/01/29 54.0069956 Credit Suisse AG – HSI R Bull CBBC Feb 2015 B 238,000,000 2014/08/01 2015/02/26 59.5069950 Credit Suisse AG – HSI R Bull CBBC Feb 2015 Y 238,000,000 2014/08/01 2015/02/26 59.5069951 Credit Suisse AG – HSI R Bull CBBC Feb 2015 Z 238,000,000 2014/08/01 2015/02/26 59.5069946 Credit Suisse AG – HSI R Bear CBBC Dec 2014 M 238,000,000 2014/08/01 2014/12/30 59.5069947 Credit Suisse AG – HSI R Bear CBBC Dec 2014 N 238,000,000 2014/08/01 2014/12/30 59.5069966 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Apr15B 100,000,000 2014/08/01 2015/04/20 25.0069971 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 C 100,000,000 2014/08/01 2015/04/20 25.0069972 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 D 100,000,000 2014/08/01 2015/04/20 25.0069879 HK Bank – China Mobile R Bull CBBC Jul 2015 E 120,000,000 2014/08/01 2015/07/06 30.0069880 HK Bank – China Mobile R Bear CBBC Jul 2015 D 60,000,000 2014/08/01 2015/07/23 15.0069871 HK Bank – China Life R Bull CBBC Jul 2015 A 60,000,000 2014/08/01 2015/07/06 15.0069869 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 B 80,000,000 2014/08/01 2015/04/13 20.0069866 HK Bank – A50 R Bull CBBC Apr 2015 C 200,000,000 2014/08/01 2015/04/17 50.0069867 HK Bank – A50 R Bull CBBC Apr 2015 D 200,000,000 2014/08/01 2015/04/13 50.0069862 HK Bank – HSCEI R Bull CBBC Apr 2015 A 100,000,000 2014/08/01 2015/04/29 25.0069874 HK Bank – HSI R Bull CBBC Jan 2015 S 100,000,000 2014/08/01 2015/01/29 25.0069873 HK Bank – HSI R Bull CBBC Feb 2015 L 100,000,000 2014/08/01 2015/02/26 25.0069872 HK Bank – HSI R Bull CBBC Mar 2015 F 100,000,000 2014/08/01 2015/03/30 25.0069875 HK Bank – HSI R Bear CBBC Feb 2015 J 100,000,000 2014/08/01 2015/02/26 25.0069861 HK Bank – HSI R Bear CBBC Mar 2015 J 400,000,000 2014/08/01 2015/03/30 100.0069877 HK Bank – Hutchison R Bull CBBC Jun 2015 B 60,000,000 2014/08/01 2015/06/22 15.0069876 HK Bank – Hutchison R Bear CBBC Apr 2015 B 50,000,000 2014/08/01 2015/04/20 12.5069908 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 W 300,000,000 2014/08/01 2015/01/29 75.0069909 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 X 300,000,000 2014/08/01 2015/01/29 75.0069965 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 Y 300,000,000 2014/08/01 2015/01/29 75.0069907 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 Q 300,000,000 2014/08/01 2014/11/27 75.0069963 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 J 300,000,000 2014/08/01 2014/12/30 75.0069964 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 K 300,000,000 2014/08/01 2014/12/30 75.0069944 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 T 100,000,000 2014/08/01 2015/04/29 25.0069896 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 G 100,000,000 2014/08/01 2014/12/30 25.0069898 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 H 100,000,000 2014/08/01 2014/12/30 25.0069945 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 I 100,000,000 2014/08/01 2014/12/30 25.0069915 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Mar15 A 100,000,000 2014/08/01 2015/03/30 25.0069917 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Mar15 B 100,000,000 2014/08/01 2015/03/30 25.0069910 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jun15 A 100,000,000 2014/08/01 2015/06/29 25.0069918 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jun15 B 100,000,000 2014/08/01 2015/06/29 25.0069919 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Mar15A 100,000,000 2014/08/01 2015/03/30 25.0069926 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Mar15B 100,000,000 2014/08/01 2015/03/30 25.0069923 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jun15A 100,000,000 2014/08/01 2015/06/29 25.00




69928 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jun15B 100,000,000 2014/08/01 2015/06/29 25.0069890 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 J 200,000,000 2014/08/01 2015/02/26 50.0069894 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 Q 200,000,000 2014/08/01 2014/11/27 50.0069895 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 J 200,000,000 2014/08/01 2014/12/30 50.0069939 UBS AG – Minsheng Bank R Bull CBBC Jun 2015 A 50,000,000 2014/08/01 2015/06/22 12.5069901 UBS AG – HSI R Bull CBBC Jan 2015 I 300,000,000 2014/08/01 2015/01/29 75.0069961 UBS AG – HSI R Bull CBBC Jan 2015 J 300,000,000 2014/08/01 2015/01/29 75.0069960 UBS AG – HSI R Bull CBBC Feb 2015 M 300,000,000 2014/08/01 2015/02/26 75.0069900 UBS AG – HSI R Bear CBBC Nov 2014 X 350,000,000 2014/08/01 2014/11/27 87.5069948 UBS AG – HSI R Bear CBBC Dec 2014 P 300,000,000 2014/08/01 2014/12/30 75.0069933 UBS AG – HSI R Bear CBBC Feb 2015 B 300,000,000 2014/08/01 2015/02/26 78.0069931 UBS AG – HSI R Bear CBBC Mar 2015 D 300,000,000 2014/08/01 2015/03/30 75.0060343 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 A 100,000,000 2014/08/04 2015/06/29 25.0060344 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 B 100,000,000 2014/08/04 2015/06/29 25.0060288 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 H 200,000,000 2014/08/04 2015/06/29 50.0060301 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 I 200,000,000 2014/08/04 2015/06/29 50.0060041 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 N 200,000,000 2014/08/04 2015/01/29 50.0060037 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2015 P 200,000,000 2014/08/04 2015/01/29 50.0060309 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 A 200,000,000 2014/08/04 2015/02/26 50.0060311 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 B 200,000,000 2014/08/04 2015/02/26 50.0060320 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 C 200,000,000 2014/08/04 2015/02/26 50.0060336 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 D 200,000,000 2014/08/04 2015/02/26 56.0060341 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 E 200,000,000 2014/08/04 2015/02/26 60.0060501 Credit Suisse AG – A50 China R Bull CBBC Jan 2015 D 50,000,000 2014/08/04 2015/01/30 12.5060504 Credit Suisse AG – A50 China R Bull CBBC Jan 2015 E 50,000,000 2014/08/04 2015/01/30 12.5060506 Credit Suisse AG – A50 China R Bear CBBC Jan 2015 A 50,000,000 2014/08/04 2015/01/30 12.5060467 Credit Suisse AG – HSI R Bull CBBC Feb 2015 C 238,000,000 2014/08/04 2015/02/26 59.5060469 Credit Suisse AG – HSI R Bull CBBC Mar 2015 O 238,000,000 2014/08/04 2015/03/30 59.5060470 Credit Suisse AG – HSI R Bull CBBC Mar 2015 P 238,000,000 2014/08/04 2015/03/30 59.5060472 Credit Suisse AG – HSI R Bull CBBC Mar 2015 Q 238,000,000 2014/08/04 2015/03/30 59.5060499 Credit Suisse AG – HSI R Bull CBBC Mar 2015 R 238,000,000 2014/08/04 2015/03/30 59.5069987 Credit Suisse AG – HSI R Bear CBBC Nov 2014 B 238,000,000 2014/08/04 2014/11/27 59.5069990 Credit Suisse AG – HSI R Bear CBBC Nov 2014 C 238,000,000 2014/08/04 2014/11/27 59.5069992 Credit Suisse AG – HSI R Bear CBBC Nov 2014 G 238,000,000 2014/08/04 2014/11/27 59.5069993 Credit Suisse AG – HSI R Bear CBBC Nov 2014 K 238,000,000 2014/08/04 2014/11/27 59.5060447 Credit Suisse AG – HSI R Bear CBBC Feb 2015 J 238,000,000 2014/08/04 2015/02/26 59.5060453 Credit Suisse AG – HSI R Bear CBBC Feb 2015 K 238,000,000 2014/08/04 2015/02/26 59.5060438 Credit Suisse AG – HSI R Bear CBBC Mar 2015 C 238,000,000 2014/08/04 2015/03/30 59.5060443 Credit Suisse AG – HSI R Bear CBBC Mar 2015 D 238,000,000 2014/08/04 2015/03/30 59.5060445 Credit Suisse AG – HSI R Bear CBBC Mar 2015 E 238,000,000 2014/08/04 2015/03/30 61.8860446 Credit Suisse AG – HSI R Bear CBBC Mar 2015 F 238,000,000 2014/08/04 2015/03/30 71.4060411 Credit Suisse AG – HSI R Bear CBBC Apr 2015 E 238,000,000 2014/08/04 2015/04/29 59.5060416 Credit Suisse AG – HSI R Bear CBBC Apr 2015 F 238,000,000 2014/08/04 2015/04/29 59.5060420 Credit Suisse AG – HSI R Bear CBBC Apr 2015 G 238,000,000 2014/08/04 2015/04/29 59.5060423 Credit Suisse AG – HSI R Bear CBBC Apr 2015 H 238,000,000 2014/08/04 2015/04/29 59.50




60542 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Apr15C 100,000,000 2014/08/04 2015/04/27 25.0060543 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 E 100,000,000 2014/08/04 2015/04/27 25.0060048 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 F 150,000,000 2014/08/04 2014/11/27 40.0560047 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 K 150,000,000 2014/08/04 2014/11/27 44.1069985 HK Bank – CC Bank R Bull CBBC Aug 2015 B 80,000,000 2014/08/04 2015/08/17 20.0069979 HK Bank – Cheung Kong R Bull CBBC Jul 2015 A 60,000,000 2014/08/04 2015/07/06 15.0069983 HK Bank – Minsheng Bank R Bull CBBC Jul 2015 B 40,000,000 2014/08/04 2015/07/27 10.0069981 HK Bank – Sinopec Corp R Bull CBBC Jul 2015 B 80,000,000 2014/08/04 2015/07/20 20.0069984 HK Bank – Sinopec Corp R Bear CBBC Aug 2015 A 40,000,000 2014/08/04 2015/08/03 10.0069977 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 C 80,000,000 2014/08/04 2015/04/08 20.0069976 HK Bank – A50 R Bull CBBC Apr 2015 E 200,000,000 2014/08/04 2015/04/08 50.0069978 HK Bank – A50 R Bear CBBC Oct 2015 A 50,000,000 2014/08/04 2015/10/26 12.5069975 HK Bank – HSI R Bull CBBC Mar 2015 G 100,000,000 2014/08/04 2015/03/30 25.0069982 HK Bank – Hutchison R Bull CBBC Jul 2015 A 60,000,000 2014/08/04 2015/07/06 15.0060050 J P Morgan SP BV – HSI R Bull CBBC Jan 2015 Z 300,000,000 2014/08/04 2015/01/29 75.0060056 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 W 300,000,000 2014/08/04 2015/03/30 75.0060058 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 X 300,000,000 2014/08/04 2015/03/30 75.0060095 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 R 300,000,000 2014/08/04 2014/11/27 75.0060099 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 S 300,000,000 2014/08/04 2014/11/27 75.0060105 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 T 300,000,000 2014/08/04 2014/11/27 75.0069973 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 L 300,000,000 2014/08/04 2014/12/30 75.0069974 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 M 300,000,000 2014/08/04 2014/12/30 75.0060074 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 N 300,000,000 2014/08/04 2014/12/30 75.0060088 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 O 300,000,000 2014/08/04 2014/12/30 75.0060093 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 P 300,000,000 2014/08/04 2014/12/30 75.0060068 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 C 300,000,000 2014/08/04 2015/01/29 75.0060073 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 D 300,000,000 2014/08/04 2015/01/29 75.0060108 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 G 50,000,000 2014/08/04 2014/12/30 12.5060115 Macquarie Bank Ltd. – HSI R Bull CBBC Dec 2014 H 50,000,000 2014/08/04 2014/12/30 12.5060116 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 A 50,000,000 2014/08/04 2015/01/29 12.5060121 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 M 100,000,000 2014/08/04 2015/06/29 25.0060128 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 N 100,000,000 2014/08/04 2015/06/29 25.0060124 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 J 100,000,000 2014/08/04 2014/12/30 25.0060125 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 K 100,000,000 2014/08/04 2014/12/30 25.0060204 Standard Chartered Bank – Hutchison R Bull CBBC Oct 2015 A 50,000,000 2014/08/04 2015/10/02 12.5060359 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 K 200,000,000 2014/08/04 2015/02/26 50.0060363 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 L 200,000,000 2014/08/04 2015/02/26 50.0060364 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 M 200,000,000 2014/08/04 2015/02/26 50.0060345 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 C 400,000,000 2014/08/04 2015/04/29 100.0060046 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 R 200,000,000 2014/08/04 2014/11/27 50.0060508 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 S 200,000,000 2014/08/04 2014/11/27 50.0060366 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 K 200,000,000 2014/08/04 2014/12/30 50.0060372 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 L 200,000,000 2014/08/04 2014/12/30 50.0060380 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 M 200,000,000 2014/08/04 2014/12/30 50.0060383 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 N 200,000,000 2014/08/04 2014/12/30 50.00




60379 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 B 200,000,000 2014/08/04 2015/01/29 50.0060391 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 C 200,000,000 2014/08/04 2015/01/29 50.0060393 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 D 200,000,000 2014/08/04 2015/01/29 50.0060410 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 E 400,000,000 2014/08/04 2015/01/29 100.0060518 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 F 200,000,000 2014/08/04 2015/01/29 50.0060519 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 G 200,000,000 2014/08/04 2015/01/29 50.0060522 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 H 200,000,000 2014/08/04 2015/01/29 50.0060534 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 I 200,000,000 2014/08/04 2015/01/29 50.0060539 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 J 200,000,000 2014/08/04 2015/01/29 50.0060286 UBS AG – China Mobile R Bear CBBC Apr 2015 B 50,000,000 2014/08/04 2015/04/20 13.0060232 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2015 C 50,000,000 2014/08/04 2015/03/23 12.5060216 UBS AG – CSOP A50 ETF R Bear CBBC Dec 2014 A 50,000,000 2014/08/04 2014/12/08 12.5060215 UBS AG – A50 China R Bull CBBC Apr 2015 B 100,000,000 2014/08/04 2015/04/13 26.0060207 UBS AG – A50 China R Bear CBBC Dec 2014 A 50,000,000 2014/08/04 2014/12/01 12.5060287 UBS AG – HSBC R Bull CBBC Jun 2015 C 100,000,000 2014/08/04 2015/06/29 25.0060206 UBS AG – HSCEI R Bull CBBC Feb 2015 C 100,000,000 2014/08/04 2015/02/26 25.0060205 UBS AG – HSCEI R Bear CBBC Jan 2015 C 100,000,000 2014/08/04 2015/01/29 25.0060494 UBS AG – HSI R Bull CBBC Mar 2015 I 300,000,000 2014/08/04 2015/03/30 75.0060500 UBS AG – HSI R Bull CBBC Mar 2015 J 300,000,000 2014/08/04 2015/03/30 75.0060009 UBS AG – HSI R Bear CBBC Nov 2014 Y 300,000,000 2014/08/04 2014/11/27 78.0060015 UBS AG – HSI R Bear CBBC Nov 2014 Z 300,000,000 2014/08/04 2014/11/27 75.0060540 UBS AG – HSI R Bear CBBC Jan 2015 I 300,000,000 2014/08/04 2015/01/29 75.0060541 UBS AG – HSI R Bear CBBC Jan 2015 J 300,000,000 2014/08/04 2015/01/29 75.0060018 UBS AG – HSI R Bear CBBC Feb 2015 C 350,000,000 2014/08/04 2015/02/26 87.5060483 UBS AG – HSI R Bear CBBC Feb 2015 D 300,000,000 2014/08/04 2015/02/26 75.0060493 UBS AG – HSI R Bear CBBC Mar 2015 E 300,000,000 2014/08/04 2015/03/30 75.0065466 # HK Bank – CSOP A50 ETF R Bull CBBC Jan 2015 I 200,000,000 2014/08/04 2015/01/29 29.2066257 # HK Bank – HSI R Bear CBBC Jan 2015 G 280,000,000 2014/08/04 2015/01/29 24.0867979 # HK Bank – HSI R Bear CBBC Apr 2015 B 280,000,000 2014/08/04 2015/04/29 30.5260988 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 J 200,000,000 2014/08/05 2015/06/29 50.0060994 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 K 200,000,000 2014/08/05 2015/06/29 50.0060945 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 F 200,000,000 2014/08/05 2015/02/26 50.0060946 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 G 200,000,000 2014/08/05 2015/02/26 50.0060953 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 H 200,000,000 2014/08/05 2015/02/26 66.0060777 Credit Suisse AG – China Mobile R Bull CBBC Feb 2015 A 50,000,000 2014/08/05 2015/02/27 12.5060778 Credit Suisse AG – China Mobile R Bear CBBC Feb 2015 A 50,000,000 2014/08/05 2015/02/27 12.5060780 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2015 A 50,000,000 2014/08/05 2015/02/27 12.5060791 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2015 B 50,000,000 2014/08/05 2015/02/27 12.5060796 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2015 C 50,000,000 2014/08/05 2015/02/27 12.5060802 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Feb 2015 A 50,000,000 2014/08/05 2015/02/27 12.5060809 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Feb 2015 B 50,000,000 2014/08/05 2015/02/27 12.5060978 Credit Suisse AG – HSI R Bull CBBC Feb 2015 A 238,000,000 2014/08/05 2015/02/26 59.5060979 Credit Suisse AG – HSI R Bull CBBC Feb 2015 D 238,000,000 2014/08/05 2015/02/26 59.5060983 Credit Suisse AG – HSI R Bull CBBC Feb 2015 E 238,000,000 2014/08/05 2015/02/26 59.5060985 Credit Suisse AG – HSI R Bull CBBC Feb 2015 F 238,000,000 2014/08/05 2015/02/26 59.50




60729 Credit Suisse AG – HSI R Bear CBBC Nov 2014 H 238,000,000 2014/08/05 2014/11/27 59.5060731 Credit Suisse AG – HSI R Bear CBBC Nov 2014 I 238,000,000 2014/08/05 2014/11/27 59.5060740 Credit Suisse AG – HSI R Bear CBBC Nov 2014 J 238,000,000 2014/08/05 2014/11/27 59.5060966 Credit Suisse AG – HSI R Bear CBBC Nov 2014 L 238,000,000 2014/08/05 2014/11/27 59.5060973 Credit Suisse AG – HSI R Bear CBBC Nov 2014 M 238,000,000 2014/08/05 2014/11/27 59.5060738 Credit Suisse AG – HSI R Bear CBBC Dec 2014 O 238,000,000 2014/08/05 2014/12/30 59.5060957 Credit Suisse AG – HSI R Bear CBBC Dec 2014 P 238,000,000 2014/08/05 2014/12/30 59.5060958 Credit Suisse AG – HSI R Bear CBBC Dec 2014 Q 238,000,000 2014/08/05 2014/12/30 59.5060747 Credit Suisse AG – HSI R Bear CBBC Mar 2015 G 238,000,000 2014/08/05 2015/03/30 59.5060965 Credit Suisse AG – HSI R Bear CBBC Apr 2015 I 238,000,000 2014/08/05 2015/04/29 59.5060765 Credit Suisse AG – TCH R Bull CBBC Feb 2015 A 60,000,000 2014/08/05 2015/02/27 15.0060773 Credit Suisse AG – TCH R Bear CBBC Feb 2015 A 60,000,000 2014/08/05 2015/02/27 15.0060776 Credit Suisse AG – TCH R Bear CBBC Feb 2015 B 60,000,000 2014/08/05 2015/02/27 15.0061070 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Apr15D 100,000,000 2014/08/05 2015/04/27 25.0061077 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC Apr15B 100,000,000 2014/08/05 2015/04/27 25.0061071 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 F 100,000,000 2014/08/05 2015/04/27 25.0061078 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Apr 15 B 100,000,000 2014/08/05 2015/04/27 25.0061069 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Apr 2015 F 200,000,000 2014/08/05 2015/04/27 50.0061003 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 L 150,000,000 2014/08/05 2014/11/27 38.2561007 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 M 150,000,000 2014/08/05 2014/11/27 38.4060622 HK Bank – BOCL R Bull CBBC Jul 2015 C 80,000,000 2014/08/05 2015/07/27 20.0060616 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 D 40,000,000 2014/08/05 2015/04/27 10.0060620 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 E 80,000,000 2014/08/05 2015/04/20 20.0060612 HK Bank – A50 R Bull CBBC Apr 2015 F 200,000,000 2014/08/05 2015/04/27 50.0060611 HK Bank – A50 R Bull CBBC May 2015 A 200,000,000 2014/08/05 2015/05/04 50.0060681 HK Bank – Galaxy Ent R Bull CBBC Apr 2015 A 80,000,000 2014/08/05 2015/04/13 20.0060573 HK Bank – HSI R Bull CBBC Jan 2015 T 100,000,000 2014/08/05 2015/01/29 25.0060555 HK Bank – HSI R Bull CBBC Feb 2015 M 100,000,000 2014/08/05 2015/02/26 25.0060576 HK Bank – HSI R Bear CBBC Apr 2015 D 100,000,000 2014/08/05 2015/04/29 25.0060599 HK Bank – HSI R Bear CBBC Apr 2015 E 400,000,000 2014/08/05 2015/04/29 100.0060610 HK Bank – HSI R Bear CBBC May 2015 B 400,000,000 2014/08/05 2015/05/28 100.0060682 HK Bank – ICBC R Bull CBBC Jul 2015 B 80,000,000 2014/08/05 2015/07/27 20.0060680 HK Bank – PetCh R Bull CBBC Jul 2015 C 60,000,000 2014/08/05 2015/07/27 15.0060628 HK Bank – Ping An R Bull CBBC Jul 2015 A 60,000,000 2014/08/05 2015/07/27 15.0060621 HK Bank – TCH R Bull CBBC Jun 2015 C 100,000,000 2014/08/05 2015/06/29 25.0060673 HK Bank – TCH R Bull CBBC Jun 2015 D 100,000,000 2014/08/05 2015/06/22 25.0060679 HK Bank – TCH R Bull CBBC Jun 2015 E 100,000,000 2014/08/05 2015/06/30 25.0061038 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 I 300,000,000 2014/08/05 2015/03/30 75.0060853 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 Y 300,000,000 2014/08/05 2015/03/30 75.0060867 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 Z 300,000,000 2014/08/05 2015/03/30 75.0060860 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 B 300,000,000 2014/08/05 2015/06/29 75.0061030 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 C 300,000,000 2014/08/05 2015/06/29 75.0060832 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 U 300,000,000 2014/08/05 2014/11/27 75.0061026 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 V 300,000,000 2014/08/05 2014/11/27 75.0061029 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 W 300,000,000 2014/08/05 2014/11/27 75.00




60824 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Q 300,000,000 2014/08/05 2014/12/30 75.0061025 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 R 300,000,000 2014/08/05 2014/12/30 75.0060823 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 E 300,000,000 2014/08/05 2015/01/29 75.0061023 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 F 300,000,000 2014/08/05 2015/01/29 75.0060822 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 B 300,000,000 2014/08/05 2015/02/26 75.0061021 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 C 300,000,000 2014/08/05 2015/02/26 75.0060912 Macquarie Bank Ltd. – HSI R Bull CBBC Jan 2015 A 50,000,000 2014/08/05 2015/01/29 12.5060913 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 B 50,000,000 2014/08/05 2015/01/29 12.5560926 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 C 50,000,000 2014/08/05 2015/01/29 12.5060937 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 D 50,000,000 2014/08/05 2015/01/29 13.0060939 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 E 50,000,000 2014/08/05 2015/01/29 12.5060546 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Mar 2015B 80,000,000 2014/08/05 2015/03/25 20.0060545 Standard Chartered Bank – CSOP A50 ETF R Bear CBBC Feb 2015A 50,000,000 2014/08/05 2015/02/02 12.5060554 Standard Chartered Bank – A50 China R Bull CBBC Feb 2015 B 80,000,000 2014/08/05 2015/02/12 20.0060553 Standard Chartered Bank – A50 China R Bear CBBC Dec 2014 A 50,000,000 2014/08/05 2014/12/01 12.5060999 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 O 100,000,000 2014/08/05 2015/06/29 25.0060998 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 L 100,000,000 2014/08/05 2014/12/30 25.0060699 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 N 200,000,000 2014/08/05 2015/02/26 50.0060887 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 O 200,000,000 2014/08/05 2015/02/26 50.0060911 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 T 200,000,000 2014/08/05 2014/11/27 50.0060704 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 B 200,000,000 2014/08/05 2015/02/26 50.0060705 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 C 200,000,000 2014/08/05 2015/02/26 50.0060710 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 D 400,000,000 2014/08/05 2015/02/26 100.0060715 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 E 200,000,000 2014/08/05 2015/02/26 50.0060717 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 A 400,000,000 2014/08/05 2015/04/29 100.0060722 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 B 400,000,000 2014/08/05 2015/04/29 100.0060883 UBS AG – China Mobile R Bull CBBC Jun 2015 C 50,000,000 2014/08/05 2015/06/29 12.5061065 UBS AG – Cheung Kong R Bear CBBC Mar 2015 B 50,000,000 2014/08/05 2015/03/30 12.5061054 UBS AG – HSI R Bull CBBC Nov 2014 I 300,000,000 2014/08/05 2014/11/27 75.0061040 UBS AG – HSI R Bull CBBC Nov 2014 U 300,000,000 2014/08/05 2014/11/27 75.0061061 UBS AG – HSI R Bull CBBC Dec 2014 D 300,000,000 2014/08/05 2014/12/30 75.0061044 UBS AG – HSI R Bull CBBC Jan 2015 L 300,000,000 2014/08/05 2015/01/29 75.0060882 UBS AG – HSI R Bear CBBC Nov 2014 F 300,000,000 2014/08/05 2014/11/27 75.0060977 UBS AG – HSI R Bear CBBC Nov 2014 H 300,000,000 2014/08/05 2014/11/27 75.0060683 UBS AG – HSI R Bear CBBC Dec 2014 Q 300,000,000 2014/08/05 2014/12/30 75.0060876 UBS AG – HSI R Bear CBBC Jan 2015 K 300,000,000 2014/08/05 2015/01/29 75.0060684 UBS AG – HSI R Bear CBBC Feb 2015 E 350,000,000 2014/08/05 2015/02/26 87.5060875 UBS AG – HSI R Bear CBBC Apr 2015 A 300,000,000 2014/08/05 2015/04/29 75.0060873 UBS AG – HSI R Bear CBBC May 2015 B 300,000,000 2014/08/05 2015/05/28 75.0060869 UBS AG – TCH R Bull CBBC Jun 2015 A 100,000,000 2014/08/05 2015/06/22 25.0061131 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Jun 2015 A 100,000,000 2014/08/06 2015/06/29 25.0061945 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 L 200,000,000 2014/08/06 2015/06/29 50.0061965 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 M 200,000,000 2014/08/06 2015/06/29 50.0061103 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 I 200,000,000 2014/08/06 2015/02/26 50.0061112 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 J 200,000,000 2014/08/06 2015/02/26 50.00




61120 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 K 200,000,000 2014/08/06 2015/02/26 50.0061121 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 L 200,000,000 2014/08/06 2015/02/26 50.0061124 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 M 200,000,000 2014/08/06 2015/02/26 50.0061125 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 N 200,000,000 2014/08/06 2015/02/26 56.0061126 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 O 200,000,000 2014/08/06 2015/02/26 70.0061128 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 P 200,000,000 2014/08/06 2015/02/26 74.0061807 Credit Suisse AG – HSI R Bull CBBC Apr 2015 B 238,000,000 2014/08/06 2015/04/29 59.5061840 Credit Suisse AG – HSI R Bull CBBC Apr 2015 C 238,000,000 2014/08/06 2015/04/29 59.5061915 Credit Suisse AG – HSI R Bull CBBC Apr 2015 D 238,000,000 2014/08/06 2015/04/29 59.5061916 Credit Suisse AG – HSI R Bull CBBC Apr 2015 E 238,000,000 2014/08/06 2015/04/29 59.5061917 Credit Suisse AG – HSI R Bull CBBC Apr 2015 F 238,000,000 2014/08/06 2015/04/29 59.5061235 Credit Suisse AG – HSI R Bear CBBC Dec 2014 R 238,000,000 2014/08/06 2014/12/30 59.5061242 Credit Suisse AG – HSI R Bear CBBC Dec 2014 S 238,000,000 2014/08/06 2014/12/30 59.5061243 Credit Suisse AG – HSI R Bear CBBC Dec 2014 T 238,000,000 2014/08/06 2014/12/30 59.5061250 Credit Suisse AG – HSI R Bear CBBC Dec 2014 U 238,000,000 2014/08/06 2014/12/30 59.5061253 Credit Suisse AG – HSI R Bear CBBC Dec 2014 V 238,000,000 2014/08/06 2014/12/30 59.5061261 Credit Suisse AG – HSI R Bear CBBC Jan 2015 L 238,000,000 2014/08/06 2015/01/29 59.5061805 Credit Suisse AG – HSI R Bear CBBC Jan 2015 M 238,000,000 2014/08/06 2015/01/29 59.5061292 Credit Suisse AG – HSI R Bear CBBC Feb 2015 L 238,000,000 2014/08/06 2015/02/26 59.5061808 Credit Suisse AG – HSI R Bear CBBC Feb 2015 M 238,000,000 2014/08/06 2015/02/26 59.5061294 Credit Suisse AG – HSI R Bear CBBC Mar 2015 H 238,000,000 2014/08/06 2015/03/30 73.7861296 Credit Suisse AG – HSI R Bear CBBC Mar 2015 I 238,000,000 2014/08/06 2015/03/30 78.5461297 Credit Suisse AG – HSI R Bear CBBC Mar 2015 J 238,000,000 2014/08/06 2015/03/30 59.5061152 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 F 200,000,000 2014/08/06 2015/04/22 50.0061147 HK Bank – A50 R Bull CBBC Apr 2015 G 200,000,000 2014/08/06 2015/04/22 50.0061148 HK Bank – A50 R Bull CBBC Apr 2015 H 200,000,000 2014/08/06 2015/04/15 50.0061140 HK Bank – HSCEI R Bull CBBC Feb 2015 C 100,000,000 2014/08/06 2015/02/26 25.0061135 HK Bank – HSI R Bull CBBC Feb 2015 N 100,000,000 2014/08/06 2015/02/26 25.0061138 HK Bank – HSI R Bull CBBC Mar 2015 H 100,000,000 2014/08/06 2015/03/30 25.0061626 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 J 300,000,000 2014/08/06 2015/03/30 75.0061518 J P Morgan SP BV – HSI R Bull CBBC Apr 2015 D 300,000,000 2014/08/06 2015/04/29 75.0061492 J P Morgan SP BV – HSI R Bull CBBC May 2015 B 300,000,000 2014/08/06 2015/05/28 75.0061517 J P Morgan SP BV – HSI R Bull CBBC May 2015 C 300,000,000 2014/08/06 2015/05/28 75.0061514 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 D 300,000,000 2014/08/06 2015/06/29 75.0061098 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 X 300,000,000 2014/08/06 2014/11/27 75.0061099 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 Y 300,000,000 2014/08/06 2014/11/27 75.0061102 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 Z 300,000,000 2014/08/06 2014/11/27 75.0061088 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 S 300,000,000 2014/08/06 2014/12/30 75.0061097 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 T 300,000,000 2014/08/06 2014/12/30 75.0061080 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 G 300,000,000 2014/08/06 2015/01/29 75.0061087 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 H 300,000,000 2014/08/06 2015/01/29 75.0061084 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 D 300,000,000 2014/08/06 2015/02/26 75.0061233 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 P 100,000,000 2014/08/06 2015/06/29 25.0061734 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 Q 100,000,000 2014/08/06 2015/06/29 25.0061208 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 M 100,000,000 2014/08/06 2014/12/30 25.00




61211 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 N 100,000,000 2014/08/06 2014/12/30 25.0061230 Standard Chartered Bank – HSI R Bear CBBC Dec 2014 O 100,000,000 2014/08/06 2014/12/30 25.0061155 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 P 200,000,000 2014/08/06 2015/02/26 50.0061968 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 Q 200,000,000 2014/08/06 2015/02/26 50.0061971 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 R 200,000,000 2014/08/06 2015/02/26 50.0061159 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 U 200,000,000 2014/08/06 2014/11/27 50.0061177 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 V 200,000,000 2014/08/06 2014/11/27 50.0061179 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 W 200,000,000 2014/08/06 2014/11/27 50.0061977 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 X 200,000,000 2014/08/06 2014/11/27 50.0061185 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 F 200,000,000 2014/08/06 2015/02/26 50.0061194 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 G 200,000,000 2014/08/06 2015/02/26 50.0061206 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 H 200,000,000 2014/08/06 2015/02/26 50.0061207 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 I 200,000,000 2014/08/06 2015/02/26 50.0062021 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 J 200,000,000 2014/08/06 2015/02/26 50.0062044 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 A 200,000,000 2014/08/06 2015/03/30 50.0061657 UBS AG – CC Bank R Bull CBBC Aug 2015 B 50,000,000 2014/08/06 2015/08/24 12.5061694 UBS AG – Galaxy Ent R Bull CBBC Jun 2015 C 40,000,000 2014/08/06 2015/06/29 10.0061627 UBS AG – HSCEI R Bull CBBC Mar 2015 B 100,000,000 2014/08/06 2015/03/30 25.0061789 UBS AG – HSI R Bull CBBC Dec 2014 G 300,000,000 2014/08/06 2014/12/30 75.0061797 UBS AG – HSI R Bull CBBC Jan 2015 H 300,000,000 2014/08/06 2015/01/29 75.0061791 UBS AG – HSI R Bull CBBC Feb 2015 N 300,000,000 2014/08/06 2015/02/26 75.0061792 UBS AG – HSI R Bull CBBC Feb 2015 O 300,000,000 2014/08/06 2015/02/26 75.0061804 UBS AG – HSI R Bull CBBC Feb 2015 P 300,000,000 2014/08/06 2015/02/26 75.0061788 UBS AG – HSI R Bull CBBC Jun 2015 A 300,000,000 2014/08/06 2015/06/29 75.0061382 UBS AG – HSI R Bear CBBC Nov 2014 I 300,000,000 2014/08/06 2014/11/27 75.0061440 UBS AG – HSI R Bear CBBC Nov 2014 K 300,000,000 2014/08/06 2014/11/27 75.0061446 UBS AG – HSI R Bear CBBC Nov 2014 L 300,000,000 2014/08/06 2014/11/27 75.0061464 UBS AG – HSI R Bear CBBC Nov 2014 M 300,000,000 2014/08/06 2014/11/27 75.0061349 UBS AG – HSI R Bear CBBC Dec 2014 R 300,000,000 2014/08/06 2014/12/30 75.0061432 UBS AG – HSI R Bear CBBC Dec 2014 S 300,000,000 2014/08/06 2014/12/30 75.0061445 UBS AG – HSI R Bear CBBC Dec 2014 T 300,000,000 2014/08/06 2014/12/30 75.0061309 UBS AG – HSI R Bear CBBC Jan 2015 L 300,000,000 2014/08/06 2015/01/29 93.0061334 UBS AG – HSI R Bear CBBC Jan 2015 M 300,000,000 2014/08/06 2015/01/29 75.0061344 UBS AG – HSI R Bear CBBC Jan 2015 N 300,000,000 2014/08/06 2015/01/29 75.0061345 UBS AG – HSI R Bear CBBC Jan 2015 O 300,000,000 2014/08/06 2015/01/29 75.0061298 UBS AG – HSI R Bear CBBC Feb 2015 F 300,000,000 2014/08/06 2015/02/26 75.0061300 UBS AG – HSI R Bear CBBC Feb 2015 G 300,000,000 2014/08/06 2015/02/26 108.0061656 UBS AG – ICBC R Bull CBBC Jul 2015 C 50,000,000 2014/08/06 2015/07/13 12.5061630 UBS AG – Ping An R Bull CBBC Jul 2015 C 50,000,000 2014/08/06 2015/07/20 12.5061629 UBS AG – Ping An R Bear CBBC May 2015 A 50,000,000 2014/08/06 2015/05/04 12.5061732 UBS AG – SHK Ppt R Bear CBBC Feb 2015 B 40,000,000 2014/08/06 2015/02/02 10.0061692 UBS AG – TCH R Bear CBBC Mar 2015 C 100,000,000 2014/08/06 2015/03/16 25.0066412 # HK Bank – A50 R Bull CBBC Mar 2015 E 200,000,000 2014/08/06 2015/03/09 33.6062270 Credit Suisse AG – HSI R Bull CBBC Dec 2014 K 238,000,000 2014/08/07 2014/12/30 59.5062317 Credit Suisse AG – HSI R Bull CBBC Dec 2014 U 238,000,000 2014/08/07 2014/12/30 59.50




62305 Credit Suisse AG – HSI R Bear CBBC Nov 2014 N 238,000,000 2014/08/07 2014/11/27 59.5062306 Credit Suisse AG – HSI R Bear CBBC Nov 2014 P 238,000,000 2014/08/07 2014/11/27 59.5062307 Credit Suisse AG – HSI R Bear CBBC Nov 2014 Q 238,000,000 2014/08/07 2014/11/27 59.5062272 Credit Suisse AG – HSI R Bear CBBC Feb 2015 N 238,000,000 2014/08/07 2015/02/26 59.5062271 Credit Suisse AG – HSI R Bear CBBC Apr 2015 J 238,000,000 2014/08/07 2015/04/29 59.5062273 Credit Suisse AG – HSI R Bear CBBC Apr 2015 K 238,000,000 2014/08/07 2015/04/29 66.6462274 Credit Suisse AG – HSI R Bear CBBC Apr 2015 L 238,000,000 2014/08/07 2015/04/29 59.5062301 Credit Suisse AG – HSI R Bear CBBC Apr 2015 M 238,000,000 2014/08/07 2015/04/29 90.4462356 Bank of East Asia – A50 China R Bull CBBC Jun 2015 A 40,000,000 2014/08/07 2015/06/26 10.0062361 Bank of East Asia – GCL-Poly Energy R Bull CBBC Dec 2015 A 200,000,000 2014/08/07 2015/12/22 50.0062362 Bank of East Asia – GCL-Poly Energy R Bear CBBC Feb 2015 A 200,000,000 2014/08/07 2015/02/26 50.0062086 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 G 150,000,000 2014/08/07 2014/11/27 37.8062172 HK Bank – China Mobile R Bear CBBC Oct 2015 A 60,000,000 2014/08/07 2015/10/30 16.2062157 HK Bank – Cheung Kong R Bull CBBC Jun 2015 B 60,000,000 2014/08/07 2015/06/30 15.0062128 HK Bank – HSCEI R Bear CBBC May 2015 B 68,000,000 2014/08/07 2015/05/28 17.0062149 HK Bank – HSCEI R Bear CBBC May 2015 C 68,000,000 2014/08/07 2015/05/28 17.0062140 HK Bank – HSCEI R Bear CBBC Aug 2015 A 68,000,000 2014/08/07 2015/08/28 17.0062126 HK Bank – HSI R Bull CBBC Mar 2015 I 100,000,000 2014/08/07 2015/03/30 25.0062097 HK Bank – HSI R Bull CBBC Jun 2015 A 400,000,000 2014/08/07 2015/06/29 100.0062124 HK Bank – HSI R Bear CBBC Feb 2015 K 100,000,000 2014/08/07 2015/02/26 25.0062125 HK Bank – HSI R Bear CBBC Feb 2015 L 100,000,000 2014/08/07 2015/02/26 25.0062095 HK Bank – HSI R Bear CBBC Mar 2015 K 100,000,000 2014/08/07 2015/03/30 25.0062123 HK Bank – HSI R Bear CBBC Mar 2015 L 100,000,000 2014/08/07 2015/03/30 25.0062098 HK Bank – HSI R Bear CBBC Apr 2015 F 100,000,000 2014/08/07 2015/04/29 25.0062155 HK Bank – Hutchison R Bull CBBC Jun 2015 C 60,000,000 2014/08/07 2015/06/26 15.0062154 HK Bank – SHK Ppt R Bull CBBC May 2015 B 60,000,000 2014/08/07 2015/05/29 15.0062336 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 K 300,000,000 2014/08/07 2015/03/30 75.0062335 J P Morgan SP BV – HSI R Bull CBBC Apr 2015 E 300,000,000 2014/08/07 2015/04/29 75.0062328 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 H 300,000,000 2014/08/07 2014/11/27 75.0062326 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 U 300,000,000 2014/08/07 2014/12/30 75.0062323 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 I 300,000,000 2014/08/07 2015/01/29 75.0062303 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 R 100,000,000 2014/08/07 2015/06/29 25.0062302 Standard Chartered Bank – HSI R Bear CBBC Jan 2015 L 100,000,000 2014/08/07 2015/01/29 25.0062320 UBS AG – China Cinda R Bull CBBC Mar 2015 A 40,000,000 2014/08/07 2015/03/23 10.0062318 UBS AG – HSI R Bull CBBC Jan 2015 K 300,000,000 2014/08/07 2015/01/29 75.0062319 UBS AG – HSI R Bull CBBC Feb 2015 Q 300,000,000 2014/08/07 2015/02/26 75.0062263 UBS AG – HSI R Bear CBBC Dec 2014 U 300,000,000 2014/08/07 2014/12/30 75.0062187 UBS AG – HSI R Bear CBBC Jan 2015 P 300,000,000 2014/08/07 2015/01/29 75.0062238 UBS AG – HSI R Bear CBBC Jan 2015 Q 300,000,000 2014/08/07 2015/01/29 75.0062259 UBS AG – HSI R Bear CBBC Jan 2015 R 300,000,000 2014/08/07 2015/01/29 75.0062186 UBS AG – HSI R Bear CBBC Feb 2015 H 300,000,000 2014/08/07 2015/02/26 75.0062254 UBS AG – HSI R Bear CBBC Feb 2015 I 300,000,000 2014/08/07 2015/02/26 75.0062243 UBS AG – HSI R Bear CBBC Mar 2015 F 300,000,000 2014/08/07 2015/03/30 75.0062304 UBS AG – HSI R Bear CBBC Mar 2015 G 350,000,000 2014/08/07 2015/03/30 87.5062424 Credit Suisse AG – HSI R Bull CBBC Nov 2014 D 238,000,000 2014/08/08 2014/11/27 59.50




62420 Credit Suisse AG – HSI R Bull CBBC Nov 2014 O 238,000,000 2014/08/08 2014/11/27 59.5062490 Credit Suisse AG – HSI R Bull CBBC Nov 2014 X 238,000,000 2014/08/08 2014/11/27 59.5062515 Credit Suisse AG – HSI R Bear CBBC Jan 2015 N 238,000,000 2014/08/08 2015/01/29 59.5062535 Credit Suisse AG – HSI R Bear CBBC Jan 2015 O 238,000,000 2014/08/08 2015/01/29 59.5062566 Goldman Sachs SP (Asia) – HSI R Bear CBBC Dec 2014 A 150,000,000 2014/08/08 2014/12/30 39.6062394 HK Bank – China Mobile R Bear CBBC Oct 2015 B 60,000,000 2014/08/08 2015/10/30 16.2062384 HK Bank – China Cinda R Bull CBBC Jul 2015 A 50,000,000 2014/08/08 2015/07/27 12.5062379 HK Bank – A50 R Bull CBBC Jan 2015 M 200,000,000 2014/08/08 2015/01/26 50.0062390 HK Bank – GCL-Poly Energy R Bull CBBC Dec 2015 A 40,000,000 2014/08/08 2015/12/28 10.0062419 HK Bank – HSI R Bear CBBC Feb 2015 M 100,000,000 2014/08/08 2015/02/26 25.0062378 HK Bank – HSI R Bear CBBC Mar 2015 M 100,000,000 2014/08/08 2015/03/30 25.0062399 HK Bank – HSI R Bear CBBC Apr 2015 G 100,000,000 2014/08/08 2015/04/29 25.0062412 HK Bank – HSI R Bear CBBC May 2015 C 100,000,000 2014/08/08 2015/05/28 25.0062414 HK Bank – HSI R Bear CBBC Jul 2015 A 100,000,000 2014/08/08 2015/07/30 25.0062446 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 L 300,000,000 2014/08/08 2015/03/30 75.0062449 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 M 300,000,000 2014/08/08 2015/03/30 75.0062537 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 F 300,000,000 2014/08/08 2014/11/27 75.0062462 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 I 300,000,000 2014/08/08 2014/11/27 75.0062459 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 V 300,000,000 2014/08/08 2014/12/30 75.0062489 Macquarie Bank Ltd. – HSI R Bear CBBC Dec 2014 B 50,000,000 2014/08/08 2014/12/30 12.5062429 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jun15 C 100,000,000 2014/08/08 2015/06/29 25.0062432 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jun15 D 100,000,000 2014/08/08 2015/06/29 25.0062437 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jun15C 100,000,000 2014/08/08 2015/06/29 25.0062438 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jun15D 100,000,000 2014/08/08 2015/06/29 25.0062445 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jun15E 100,000,000 2014/08/08 2015/06/29 25.0062545 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb15 S 200,000,000 2014/08/08 2015/02/26 50.0062546 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 Y 200,000,000 2014/08/08 2014/11/27 50.0062427 UBS AG – HSI R Bull CBBC Jan 2015 M 350,000,000 2014/08/08 2015/01/29 87.5062426 UBS AG – HSI R Bull CBBC Feb 2015 R 300,000,000 2014/08/08 2015/02/26 75.0062554 UBS AG – HSI R Bear CBBC Dec 2014 V 300,000,000 2014/08/08 2014/12/30 75.0062549 UBS AG – HSI R Bear CBBC Mar 2015 H 350,000,000 2014/08/08 2015/03/30 87.5062556 UBS AG – TCH R Bear CBBC Feb 2015 B 100,000,000 2014/08/08 2015/02/09 25.0062678 Credit Suisse AG – HKEx R Bull CBBC Feb 2015 B 50,000,000 2014/08/11 2015/02/27 12.5062681 Credit Suisse AG – HKEx R Bull CBBC Feb 2015 C 50,000,000 2014/08/11 2015/02/27 12.5062680 Credit Suisse AG – HKEx R Bull CBBC Mar 2015 A 50,000,000 2014/08/11 2015/03/31 12.5062684 Credit Suisse AG – HKEx R Bull CBBC Mar 2015 B 50,000,000 2014/08/11 2015/03/31 16.0062688 Credit Suisse AG – HKEx R Bear CBBC Dec 2014 A 50,000,000 2014/08/11 2014/12/30 12.5062700 Credit Suisse AG – HSI R Bull CBBC Feb 2015 G 238,000,000 2014/08/11 2015/02/26 59.5062674 Credit Suisse AG – HSI R Bear CBBC Feb 2015 O 238,000,000 2014/08/11 2015/02/26 59.5062689 Credit Suisse AG – HSI R Bear CBBC Feb 2015 P 238,000,000 2014/08/11 2015/02/26 59.5062698 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Q 238,000,000 2014/08/11 2015/02/26 59.5062749 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15A 80,000,000 2014/08/11 2015/06/29 20.0062751 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15E 80,000,000 2014/08/11 2015/04/20 20.0062752 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15F 80,000,000 2014/08/11 2015/04/20 20.0062730 Citigroup Global Mkt H Inc. – COVS R Bull CBBC Sep 2015 A 50,000,000 2014/08/11 2015/09/07 17.50




62731 Citigroup Global Mkt H Inc. – COVS R Bull CBBC Sep 2015 B 50,000,000 2014/08/11 2015/09/07 12.5062753 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC May15A 100,000,000 2014/08/11 2015/05/11 25.0062755 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC May 15 A 100,000,000 2014/08/11 2015/05/11 25.0062733 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 A 50,000,000 2014/08/11 2015/05/11 13.5062736 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 B 50,000,000 2014/08/11 2015/05/11 12.5062737 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 C 50,000,000 2014/08/11 2015/05/11 12.5062738 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 D 50,000,000 2014/08/11 2015/05/11 12.5062742 Citigroup Global Mkt H Inc. – HKEx R Bear CBBC Mar 2015 A 50,000,000 2014/08/11 2015/03/23 19.0062748 Citigroup Global Mkt H Inc. – HKEx R Bear CBBC Mar 2015 B 50,000,000 2014/08/11 2015/03/23 20.5062725 Citigroup Global Mkt H Inc. – Kingsoft R Bear CBBC Mar 15 F 40,000,000 2014/08/11 2015/03/23 16.4062713 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 P 300,000,000 2014/08/11 2015/02/26 75.0062716 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 Q 300,000,000 2014/08/11 2015/02/26 75.0062702 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 J 300,000,000 2014/08/11 2014/11/27 75.0062712 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 M 300,000,000 2014/08/11 2014/11/27 75.0062646 Standard Chartered Bank – Minsheng Bank R Bull CBBC Apr 15 A 50,000,000 2014/08/11 2015/04/14 12.5062648 Standard Chartered Bank – Minsheng Bank R Bear CBBC Apr 15 A 50,000,000 2014/08/11 2015/04/14 12.5062629 Standard Chartered Bank – HSI R Bear CBBC Jan 2015 M 100,000,000 2014/08/11 2015/01/29 25.0062638 Standard Chartered Bank – Ping An R Bull CBBC Mar 2015 A 50,000,000 2014/08/11 2015/03/18 12.5062644 Standard Chartered Bank – Ping An R Bear CBBC Mar 2015 A 50,000,000 2014/08/11 2015/03/18 12.5069757 # HK Bank – CSOP A50 ETF R Bull CBBC Mar 2015 D 200,000,000 2014/08/11 2015/03/16 23.0062806 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 N 200,000,000 2014/08/12 2015/06/29 50.0062817 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 O 200,000,000 2014/08/12 2015/06/29 50.0062818 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 Q 200,000,000 2014/08/12 2015/02/26 50.0062823 Credit Suisse AG – HSI R Bull CBBC Jan 2015 K 238,000,000 2014/08/12 2015/01/29 59.5062824 Credit Suisse AG – HSI R Bull CBBC Jan 2015 L 238,000,000 2014/08/12 2015/01/29 59.5062820 Credit Suisse AG – HSI R Bear CBBC Nov 2014 R 238,000,000 2014/08/12 2014/11/27 59.5062848 Citigroup Global Mkt H Inc. – Ping An R Bull CBBC Jul 2015 A 80,000,000 2014/08/12 2015/07/20 20.0062862 Citigroup Global Mkt H Inc. – Ping An R Bear CBBC Mar 2015 B 80,000,000 2014/08/12 2015/03/23 20.0062866 Citigroup Global Mkt H Inc. – Ping An R Bear CBBC Mar 2015 C 80,000,000 2014/08/12 2015/03/23 20.0062803 HK Bank – COVS R Bull CBBC Apr 2015 A 50,000,000 2014/08/12 2015/04/30 15.0062788 HK Bank – CUni R Bull CBBC Jun 2015 A 50,000,000 2014/08/12 2015/06/29 12.5062787 HK Bank – CUni R Bull CBBC Jul 2015 A 50,000,000 2014/08/12 2015/07/27 17.0062758 HK Bank – HKEx R Bull CBBC May 2015 B 60,000,000 2014/08/12 2015/05/29 19.2062761 HK Bank – HKEx R Bull CBBC May 2015 C 60,000,000 2014/08/12 2015/05/29 15.0062756 HK Bank – HKEx R Bull CBBC Jun 2015 A 60,000,000 2014/08/12 2015/06/29 23.4062760 HK Bank – HKEx R Bull CBBC Jun 2015 B 60,000,000 2014/08/12 2015/06/29 15.0062762 HK Bank – HKEx R Bull CBBC Jul 2015 A 60,000,000 2014/08/12 2015/07/27 15.0062765 HK Bank – HKEx R Bear CBBC May 2015 A 50,000,000 2014/08/12 2015/05/29 14.0062776 HK Bank – HKEx R Bear CBBC Jun 2015 A 50,000,000 2014/08/12 2015/06/29 17.5062764 HK Bank – HKEx R Bear CBBC Jul 2015 A 50,000,000 2014/08/12 2015/07/27 12.5062778 HK Bank – HKEx R Bear CBBC Jul 2015 B 50,000,000 2014/08/12 2015/07/27 21.0062790 HK Bank – TCH R Bull CBBC Jul 2015 C 100,000,000 2014/08/12 2015/07/27 25.0062781 HK Bank – Wharf Holdings R Bull CBBC Jun 2015 A 40,000,000 2014/08/12 2015/06/29 10.0062780 HK Bank – Wharf Holdings R Bull CBBC Jul 2015 A 40,000,000 2014/08/12 2015/07/27 10.0062814 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 S 100,000,000 2014/08/12 2015/06/29 25.00




62807 Standard Chartered Bank – HSI R Bear CBBC Jan 2015 N 100,000,000 2014/08/12 2015/01/29 25.0062808 Standard Chartered Bank – HSI R Bear CBBC Jan 2015 O 100,000,000 2014/08/12 2015/01/29 25.0062833 UBS AG – HKEx R Bull CBBC Sep 2015 C 100,000,000 2014/08/12 2015/09/21 31.0062831 UBS AG – HSI R Bull CBBC Nov 2014 I 300,000,000 2014/08/12 2014/11/27 75.0062842 UBS AG – HSI R Bull CBBC Mar 2015 L 350,000,000 2014/08/12 2015/03/30 87.5062825 UBS AG – HSI R Bear CBBC Nov 2014 O 350,000,000 2014/08/12 2014/11/27 87.5062903 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 P 200,000,000 2014/08/13 2015/06/29 50.0062969 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 R 200,000,000 2014/08/13 2015/02/26 50.0062909 Credit Suisse AG – HSI R Bull CBBC Apr 2015 G 238,000,000 2014/08/13 2015/04/29 59.5062930 Credit Suisse AG – HSI R Bull CBBC Apr 2015 H 238,000,000 2014/08/13 2015/04/29 59.5062931 Credit Suisse AG – HSI R Bull CBBC Apr 2015 I 238,000,000 2014/08/13 2015/04/29 59.5062940 Credit Suisse AG – HSI R Bull CBBC Apr 2015 J 238,000,000 2014/08/13 2015/04/29 59.5063013 Credit Suisse AG – HSI R Bear CBBC Nov 2014 F 238,000,000 2014/08/13 2014/11/27 59.5062994 Credit Suisse AG – HSI R Bear CBBC Nov 2014 S 238,000,000 2014/08/13 2014/11/27 59.5063009 Credit Suisse AG – HSI R Bear CBBC Nov 2014 T 238,000,000 2014/08/13 2014/11/27 59.5063047 Citigroup Global Mkt H Inc. – HSBC R Bear CBBC Apr 2015 A 80,000,000 2014/08/13 2015/04/20 20.0063048 Citigroup Global Mkt H Inc. – HSBC R Bear CBBC Apr 2015 B 80,000,000 2014/08/13 2015/04/20 20.0063049 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Jun 2015 A 200,000,000 2014/08/13 2015/06/15 50.0063051 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Jun 2015 B 200,000,000 2014/08/13 2015/06/15 50.0063053 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Jun 2015 C 200,000,000 2014/08/13 2015/06/15 50.0063054 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 A 200,000,000 2014/08/13 2015/04/20 50.0063060 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 B 200,000,000 2014/08/13 2015/04/20 50.0063061 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 C 200,000,000 2014/08/13 2015/04/20 50.0063068 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 D 200,000,000 2014/08/13 2015/04/20 50.0062887 HK Bank – Minsheng Bank R Bull CBBC May 2015 A 40,000,000 2014/08/13 2015/05/04 10.0062877 HK Bank – CSOP A50 ETF R Bear CBBC Oct 2015 A 40,000,000 2014/08/13 2015/10/30 10.0062895 HK Bank – HSCEI R Bear CBBC Jul 2015 A 68,000,000 2014/08/13 2015/07/30 17.0062889 HK Bank – HSI R Bear CBBC Apr 2015 H 100,000,000 2014/08/13 2015/04/29 25.0062897 HK Bank – TCH R Bull CBBC Apr 2015 B 100,000,000 2014/08/13 2015/04/20 25.0062901 HK Bank – TCH R Bull CBBC Apr 2015 C 100,000,000 2014/08/13 2015/04/13 25.0062867 HK Bank – TCH R Bear CBBC Apr 2015 C 100,000,000 2014/08/13 2015/04/23 25.0063015 J P Morgan SP BV – HSI R Bull CBBC Mar 2015 I 300,000,000 2014/08/13 2015/03/30 75.0063020 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 E 300,000,000 2014/08/13 2015/06/29 75.0063014 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 C 300,000,000 2014/08/13 2014/11/27 75.0062948 Standard Chartered Bank – HKEx R Bull CBBC Apr 2015 A 50,000,000 2014/08/13 2015/04/20 12.5062957 Standard Chartered Bank – HKEx R Bull CBBC Jun 2015 A 50,000,000 2014/08/13 2015/06/01 12.5062960 Standard Chartered Bank – TCH R Bull CBBC Jun 2015 B 80,000,000 2014/08/13 2015/06/23 20.0062965 Standard Chartered Bank – TCH R Bear CBBC Jan 2015 A 80,000,000 2014/08/13 2015/01/19 20.0062993 UBS AG – HKEx R Bull CBBC Sep 2015 D 100,000,000 2014/08/13 2015/09/07 25.0062988 UBS AG – HKEx R Bull CBBC Oct 2015 A 100,000,000 2014/08/13 2015/10/05 25.0062966 UBS AG – HSI R Bull CBBC Feb 2015 S 300,000,000 2014/08/13 2015/02/26 75.0062968 UBS AG – HSI R Bull CBBC Feb 2015 T 300,000,000 2014/08/13 2015/02/26 75.0062972 UBS AG – HSI R Bear CBBC Nov 2014 P 300,000,000 2014/08/13 2014/11/27 75.0062982 UBS AG – HSI R Bear CBBC Nov 2014 Q 300,000,000 2014/08/13 2014/11/27 75.0062971 UBS AG – TCH R Bull CBBC Jul 2015 C 100,000,000 2014/08/13 2015/07/06 25.00




63108 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 S 200,000,000 2014/08/14 2015/02/26 50.0063083 Credit Suisse AG – HSI R Bull CBBC Feb 2015 J 238,000,000 2014/08/14 2015/02/26 59.5063088 Credit Suisse AG – HSI R Bull CBBC Feb 2015 K 238,000,000 2014/08/14 2015/02/26 59.5063096 Credit Suisse AG – HSI R Bear CBBC Nov 2014 O 238,000,000 2014/08/14 2014/11/27 59.5063164 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 H 150,000,000 2014/08/14 2014/11/27 42.7563171 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 I 150,000,000 2014/08/14 2014/11/27 39.1563153 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 A 150,000,000 2014/08/14 2015/01/29 39.0063069 J P Morgan SP BV – HSI R Bull CBBC Feb 2015 R 300,000,000 2014/08/14 2015/02/26 75.0063135 J P Morgan SP BV – HSI R Bull CBBC May 2015 D 300,000,000 2014/08/14 2015/05/28 75.0063126 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 B 300,000,000 2014/08/14 2014/11/27 75.0063125 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 W 300,000,000 2014/08/14 2014/12/30 75.0063118 Macquarie Bank Ltd. – HSI R Bear CBBC Dec 2014 C 50,000,000 2014/08/14 2014/12/30 12.5063082 UBS AG – HSI R Bull CBBC Jan 2015 Q 300,000,000 2014/08/14 2015/01/29 75.0063072 UBS AG – HSI R Bull CBBC Mar 2015 M 300,000,000 2014/08/14 2015/03/30 75.0063123 UBS AG – HSI R Bear CBBC Nov 2014 R 300,000,000 2014/08/14 2014/11/27 75.0063124 UBS AG – HSI R Bear CBBC Nov 2014 S 300,000,000 2014/08/14 2014/11/27 75.0063237 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Q 200,000,000 2014/08/15 2015/06/29 50.0063246 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 R 200,000,000 2014/08/15 2015/06/29 50.0063202 Credit Suisse AG – HSI R Bull CBBC Mar 2015 S 238,000,000 2014/08/15 2015/03/30 59.5063206 Credit Suisse AG – HSI R Bull CBBC Mar 2015 T 238,000,000 2014/08/15 2015/03/30 59.5063207 Credit Suisse AG – HSI R Bull CBBC Mar 2015 U 238,000,000 2014/08/15 2015/03/30 59.5063294 Credit Suisse AG – HSI R Bear CBBC Dec 2014 W 238,000,000 2014/08/15 2014/12/30 59.5063297 Credit Suisse AG – HSI R Bear CBBC Dec 2014 X 238,000,000 2014/08/15 2014/12/30 59.5063197 HK Bank – Galaxy Ent R Bear CBBC Jun 2015 A 60,000,000 2014/08/15 2015/06/29 15.0063181 HK Bank – HSI R Bear CBBC Feb 2015 N 100,000,000 2014/08/15 2015/02/26 25.0063186 HK Bank – HSI R Bear CBBC Jun 2015 A 100,000,000 2014/08/15 2015/06/29 25.0063199 HK Bank – Sands China R Bear CBBC Jul 2015 A 60,000,000 2014/08/15 2015/07/29 15.0063188 HK Bank – TCH R Bear CBBC Feb 2015 B 100,000,000 2014/08/15 2015/02/23 25.0063192 HK Bank – TCH R Bear CBBC Jun 2015 B 100,000,000 2014/08/15 2015/06/29 25.0063190 HK Bank – TCH R Bear CBBC Jul 2015 A 100,000,000 2014/08/15 2015/07/27 25.0063305 J P Morgan SP BV – HSI R Bull CBBC Apr 2015 F 300,000,000 2014/08/15 2015/04/29 75.0063201 J P Morgan SP BV – HSI R Bull CBBC May 2015 E 300,000,000 2014/08/15 2015/05/28 75.0063200 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 F 300,000,000 2014/08/15 2015/06/29 75.0063301 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 E 300,000,000 2014/08/15 2014/11/27 75.0063300 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 X 300,000,000 2014/08/15 2014/12/30 75.0063250 Standard Chartered Bank – AIA R Bear CBBC Jun 2015 A 80,000,000 2014/08/15 2015/06/29 20.0063256 Standard Chartered Bank – China Life R Bear CBBC Jun 2015 A 50,000,000 2014/08/15 2015/06/01 12.5063262 Standard Chartered Bank – Galaxy Ent R Bear CBBC Mar 2015 A 50,000,000 2014/08/15 2015/03/30 12.5063248 Standard Chartered Bank – HSI R Bear CBBC Jan 2015 P 100,000,000 2014/08/15 2015/01/29 25.0063254 Standard Chartered Bank – SHK Ppt R Bear CBBC Aug 2015 A 50,000,000 2014/08/15 2015/08/03 12.5063217 UBS AG – HSI R Bull CBBC Jan 2015 P 300,000,000 2014/08/15 2015/01/29 75.0063227 UBS AG – HSI R Bull CBBC Jan 2015 R 300,000,000 2014/08/15 2015/01/29 75.0063265 UBS AG – HSI R Bear CBBC Nov 2014 D 300,000,000 2014/08/15 2014/11/27 75.0063293 UBS AG – HSI R Bear CBBC Nov 2014 T 300,000,000 2014/08/15 2014/11/27 75.0063209 UBS AG – TCH R Bull CBBC Jul 2015 D 100,000,000 2014/08/15 2015/07/20 25.00




63389 Credit Suisse AG – HSI R Bull CBBC Feb 2015 M 238,000,000 2014/08/18 2015/02/26 59.5063400 Credit Suisse AG – HSI R Bull CBBC Feb 2015 U 238,000,000 2014/08/18 2015/02/26 59.5063321 Credit Suisse AG – HSI R Bear CBBC Nov 2014 A 238,000,000 2014/08/18 2014/11/27 59.5063322 Credit Suisse AG – HSI R Bear CBBC Nov 2014 D 238,000,000 2014/08/18 2014/11/27 59.5063324 Credit Suisse AG – HSI R Bear CBBC Nov 2014 E 238,000,000 2014/08/18 2014/11/27 59.5063316 Credit Suisse AG – HSI R Bear CBBC Nov 2014 U 238,000,000 2014/08/18 2014/11/27 59.5063460 Citigroup Global Mkt H Inc. – PetCh R Bull CBBC Mar 2015 C 50,000,000 2014/08/18 2015/03/02 12.5063440 Citigroup Global Mkt H Inc. – PetCh R Bear CBBC Mar 2015 C 50,000,000 2014/08/18 2015/03/02 12.5063419 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 J 150,000,000 2014/08/18 2014/11/27 39.0063427 Goldman Sachs SP (Asia) – HSI R Bull CBBC Nov 2014 K 150,000,000 2014/08/18 2014/11/27 39.9063381 J P Morgan SP BV – HSI R Bull CBBC May 2015 F 300,000,000 2014/08/18 2015/05/28 75.0063362 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 G 300,000,000 2014/08/18 2015/06/29 75.0063384 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 H 300,000,000 2014/08/18 2015/06/29 75.0063354 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 L 300,000,000 2014/08/18 2014/11/27 75.0063348 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Y 300,000,000 2014/08/18 2014/12/30 75.0063341 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 J 300,000,000 2014/08/18 2015/01/29 75.0063386 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 T 100,000,000 2014/08/18 2015/06/29 25.0063311 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 J 100,000,000 2014/08/18 2015/02/26 25.0063313 Standard Chartered Bank – Sands China R Bear CBBC Jan 2015 A 50,000,000 2014/08/18 2015/01/16 12.5063405 UBS AG – HSI R Bull CBBC Dec 2014 K 300,000,000 2014/08/18 2014/12/30 75.0063414 UBS AG – HSI R Bull CBBC Feb 2015 U 300,000,000 2014/08/18 2015/02/26 75.0063335 UBS AG – HSI R Bear CBBC Nov 2014 J 300,000,000 2014/08/18 2014/11/27 75.0063332 UBS AG – HSI R Bear CBBC Nov 2014 U 300,000,000 2014/08/18 2014/11/27 75.0063338 UBS AG – HSI R Bear CBBC Nov 2014 V 350,000,000 2014/08/18 2014/11/27 87.5063491 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 S 200,000,000 2014/08/19 2015/06/29 50.0063534 Credit Suisse AG – HKEx R Bull CBBC Mar 2015 D 60,000,000 2014/08/19 2015/03/31 15.0063497 Credit Suisse AG – HKEx R Bear CBBC Jan 2015 E 60,000,000 2014/08/19 2015/01/30 18.6063516 Credit Suisse AG – HSI R Bull CBBC Jan 2015 K 238,000,000 2014/08/19 2015/01/29 59.5063527 Credit Suisse AG – HSI R Bull CBBC Jan 2015 L 238,000,000 2014/08/19 2015/01/29 59.5063566 Credit Suisse AG – HSI R Bull CBBC Jan 2015 Z 238,000,000 2014/08/19 2015/01/29 59.5063565 Credit Suisse AG – HSI R Bear CBBC Jan 2015 P 238,000,000 2014/08/19 2015/01/29 59.5063569 Credit Suisse AG – HSI R Bear CBBC Jan 2015 Q 238,000,000 2014/08/19 2015/01/29 59.5063512 Credit Suisse AG – TCH R Bull CBBC Mar 2015 A 60,000,000 2014/08/19 2015/03/31 15.0063513 Credit Suisse AG – TCH R Bear CBBC Jan 2015 A 60,000,000 2014/08/19 2015/01/30 16.2063586 Citigroup Global Mkt H Inc. – AIA R Bull CBBC Jun 2015 A 100,000,000 2014/08/19 2015/06/08 25.0063592 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Mar 15 A 100,000,000 2014/08/19 2015/03/16 25.0063593 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Mar 15 A 100,000,000 2014/08/19 2015/03/16 25.0063595 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 E 50,000,000 2014/08/19 2015/05/11 12.5063463 HK Bank – Cheung Kong R Bear CBBC Jun 2015 A 50,000,000 2014/08/19 2015/06/29 12.5063471 HK Bank – China Life R Bull CBBC Jul 2015 B 60,000,000 2014/08/19 2015/07/27 16.8063470 HK Bank – CNOOC R Bull CBBC Oct 2015 B 60,000,000 2014/08/19 2015/10/26 15.0063466 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 G 200,000,000 2014/08/19 2015/04/27 50.0063465 HK Bank – A50 R Bull CBBC Jun 2015 A 200,000,000 2014/08/19 2015/06/29 50.0063462 HK Bank – HSI R Bull CBBC Mar 2015 J 100,000,000 2014/08/19 2015/03/30 25.0063479 HK Bank – HSI R Bull CBBC Jun 2015 B 100,000,000 2014/08/19 2015/06/29 25.00




63477 HK Bank – HSI R Bull CBBC Jul 2015 A 100,000,000 2014/08/19 2015/07/30 25.0063597 J P Morgan SP BV – HSI R Bull CBBC May 2015 G 300,000,000 2014/08/19 2015/05/28 75.0063598 J P Morgan SP BV – HSI R Bull CBBC May 2015 H 300,000,000 2014/08/19 2015/05/28 75.0063609 J P Morgan SP BV – HSI R Bull CBBC May 2015 I 300,000,000 2014/08/19 2015/05/28 75.0063596 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Z 300,000,000 2014/08/19 2014/12/30 75.0063585 Macquarie Bank Ltd. – HSI R Bull CBBC Jan 2015 B 50,000,000 2014/08/19 2015/01/29 12.5063529 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 K 100,000,000 2014/08/19 2015/02/26 25.0063530 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 L 100,000,000 2014/08/19 2015/02/26 25.0063532 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2015 D 100,000,000 2014/08/19 2015/03/30 25.0063533 UBS AG – A50 China R Bull CBBC Mar 2015 H 100,000,000 2014/08/19 2015/03/16 25.0063531 UBS AG – HKEx R Bull CBBC Sep 2015 E 100,000,000 2014/08/19 2015/09/21 25.0063494 UBS AG – HSI R Bull CBBC Feb 2015 V 300,000,000 2014/08/19 2015/02/26 75.0063572 UBS AG – HSI R Bull CBBC Mar 2015 O 300,000,000 2014/08/19 2015/03/30 75.0063558 UBS AG – HSI R Bear CBBC Dec 2014 W 350,000,000 2014/08/19 2014/12/30 87.5063836 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 T 200,000,000 2014/08/20 2015/06/29 50.0063844 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 U 200,000,000 2014/08/20 2015/06/29 50.0063750 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 T 200,000,000 2014/08/20 2015/02/26 50.0063758 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 U 200,000,000 2014/08/20 2015/02/26 50.0063834 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 V 200,000,000 2014/08/20 2015/02/26 50.0063817 Credit Suisse AG – HSI R Bull CBBC Mar 2015 V 238,000,000 2014/08/20 2015/03/30 59.5063832 Credit Suisse AG – HSI R Bull CBBC Mar 2015 W 238,000,000 2014/08/20 2015/03/30 59.5063810 Credit Suisse AG – HSI R Bear CBBC Nov 2014 V 238,000,000 2014/08/20 2014/11/27 59.5063811 Credit Suisse AG – HSI R Bear CBBC Nov 2014 W 238,000,000 2014/08/20 2014/11/27 59.5063813 Credit Suisse AG – HSI R Bear CBBC Nov 2014 X 238,000,000 2014/08/20 2014/11/27 59.5063957 Citigroup Global Mkt H Inc. – Cheung Kong R Bull CBBC Jun15A 60,000,000 2014/08/20 2015/06/15 15.0063958 Citigroup Global Mkt H Inc. – Cheung Kong R Bear CBBC Apr15A 60,000,000 2014/08/20 2015/04/20 15.0063955 Citigroup Global Mkt H Inc. – CNOOC R Bull CBBC Jul 2015 A 50,000,000 2014/08/20 2015/07/13 12.5063956 Citigroup Global Mkt H Inc. – Sinopec Corp R Bull CBBC Jun15A 60,000,000 2014/08/20 2015/06/15 15.0063945 Citigroup Global Mkt H Inc. – Sands China R Bull CBBC Jul15A 60,000,000 2014/08/20 2015/07/13 15.0063947 Citigroup Global Mkt H Inc. – Sands China R Bear CBBC May15A 60,000,000 2014/08/20 2015/05/18 15.0063943 Goldman Sachs SP (Asia) – HSI R Bear CBBC Nov 2014 N 150,000,000 2014/08/20 2014/11/27 37.6563614 HK Bank – COVS R Bear CBBC Apr 2015 A 40,000,000 2014/08/20 2015/04/30 14.0063610 HK Bank – HSI R Bull CBBC Apr 2015 A 100,000,000 2014/08/20 2015/04/29 25.0063664 HK Bank – Lenovo R Bull CBBC Apr 2015 B 60,000,000 2014/08/20 2015/04/30 15.0063688 HK Bank – Lenovo R Bear CBBC Jun 2015 C 40,000,000 2014/08/20 2015/06/15 10.0063620 HK Bank – TCH R Bull CBBC Apr 2015 D 100,000,000 2014/08/20 2015/04/28 25.0063631 HK Bank – TCH R Bull CBBC Jun 2015 F 100,000,000 2014/08/20 2015/06/23 25.0063898 J P Morgan SP BV – HSI R Bull CBBC May 2015 J 300,000,000 2014/08/20 2015/05/28 75.0063937 J P Morgan SP BV – HSI R Bull CBBC May 2015 K 300,000,000 2014/08/20 2015/05/28 75.0063935 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 I 300,000,000 2014/08/20 2015/06/29 75.0063893 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 G 300,000,000 2014/08/20 2014/11/27 75.0063892 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 N 300,000,000 2014/08/20 2014/11/27 75.0063885 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 A 300,000,000 2014/08/20 2014/12/30 75.0063891 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 B 300,000,000 2014/08/20 2014/12/30 75.0063879 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 K 300,000,000 2014/08/20 2015/01/29 75.00




63875 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 E 300,000,000 2014/08/20 2015/02/26 75.0063720 Standard Chartered Bank – HKEx R Bear CBBC Mar 2015 A 50,000,000 2014/08/20 2015/03/16 15.0063740 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 A 100,000,000 2014/08/20 2015/08/28 25.0063741 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 B 100,000,000 2014/08/20 2015/08/28 25.0063742 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 D 200,000,000 2014/08/20 2015/04/29 50.0063743 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 E 200,000,000 2014/08/20 2015/04/29 50.0063745 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 F 200,000,000 2014/08/20 2015/04/29 50.0063746 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 G 200,000,000 2014/08/20 2015/04/29 50.0063748 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 Z 200,000,000 2014/08/20 2014/11/27 50.0063707 UBS AG – HSI R Bull CBBC Dec 2014 V 300,000,000 2014/08/20 2014/12/30 75.0063704 UBS AG – HSI R Bull CBBC Feb 2015 W 300,000,000 2014/08/20 2015/02/26 75.0063864 UBS AG – HSI R Bull CBBC Feb 2015 X 300,000,000 2014/08/20 2015/02/26 75.0063868 UBS AG – HSI R Bull CBBC Apr 2015 A 300,000,000 2014/08/20 2015/04/29 75.0063771 UBS AG – HSI R Bear CBBC Dec 2014 X 300,000,000 2014/08/20 2014/12/30 75.0063791 UBS AG – HSI R Bear CBBC Dec 2014 Y 300,000,000 2014/08/20 2014/12/30 75.0064081 Credit Suisse AG – HSI R Bull CBBC Feb 2015 D 238,000,000 2014/08/21 2015/02/26 59.5064058 Credit Suisse AG – HSI R Bull CBBC Feb 2015 E 238,000,000 2014/08/21 2015/02/26 59.5064080 Credit Suisse AG – HSI R Bull CBBC Feb 2015 F 238,000,000 2014/08/21 2015/02/26 59.5064044 Credit Suisse AG – HSI R Bull CBBC Mar 2015 X 238,000,000 2014/08/21 2015/03/30 59.5064084 Credit Suisse AG – HSI R Bear CBBC Nov 2014 B 238,000,000 2014/08/21 2014/11/27 59.5064085 Credit Suisse AG – HSI R Bear CBBC Nov 2014 C 238,000,000 2014/08/21 2014/11/27 59.5064089 Credit Suisse AG – HSI R Bear CBBC Nov 2014 G 238,000,000 2014/08/21 2014/11/27 59.5064056 Credit Suisse AG – HSI R Bear CBBC Nov 2014 Y 238,000,000 2014/08/21 2014/11/27 59.5063961 HK Bank – AIA R Bull CBBC Sep 2015 A 60,000,000 2014/08/21 2015/09/29 15.0063998 HK Bank – AIA R Bear CBBC Apr 2015 D 40,000,000 2014/08/21 2015/04/20 10.0064001 HK Bank – AIA R Bear CBBC Apr 2015 E 40,000,000 2014/08/21 2015/04/27 10.0063981 HK Bank – HKEx R Bull CBBC Jun 2015 C 60,000,000 2014/08/21 2015/06/08 15.0063997 HK Bank – HSCEI R Bull CBBC Jun 2015 A 100,000,000 2014/08/21 2015/06/29 25.0063993 HK Bank – HSI R Bull CBBC Feb 2015 O 100,000,000 2014/08/21 2015/02/26 25.0063989 HK Bank – HSI R Bull CBBC Mar 2015 K 100,000,000 2014/08/21 2015/03/30 25.0063978 HK Bank – SHK Ppt R Bear CBBC Jun 2015 A 50,000,000 2014/08/21 2015/06/30 12.5064140 J P Morgan SP BV – HSI R Bull CBBC Apr 2015 G 300,000,000 2014/08/21 2015/04/29 75.0064153 J P Morgan SP BV – HSI R Bull CBBC May 2015 L 300,000,000 2014/08/21 2015/05/28 75.0064155 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 J 300,000,000 2014/08/21 2015/06/29 75.0064136 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 K 300,000,000 2014/08/21 2014/11/27 75.0064004 J P Morgan SP BV – Tencent R Bull CBBC Jul 2015 A 100,000,000 2014/08/21 2015/07/24 25.0064059 Macquarie Bank Ltd. – HSI R Bull CBBC Jan 2015 C 50,000,000 2014/08/21 2015/01/29 12.5064020 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 M 100,000,000 2014/08/21 2015/02/26 25.0064021 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 N 100,000,000 2014/08/21 2015/02/26 25.0064108 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Apr15A 100,000,000 2014/08/21 2015/04/29 25.0064121 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Apr15B 100,000,000 2014/08/21 2015/04/29 25.0064101 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jun15B 100,000,000 2014/08/21 2015/06/29 25.0064109 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jun15C 100,000,000 2014/08/21 2015/06/29 25.0064127 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Apr15A 100,000,000 2014/08/21 2015/04/29 25.0064129 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jun15B 100,000,000 2014/08/21 2015/06/29 25.00




64011 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 H 200,000,000 2014/08/21 2015/04/29 50.0064013 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 I 200,000,000 2014/08/21 2015/04/29 50.0064014 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 J 200,000,000 2014/08/21 2015/04/29 50.0064018 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 K 200,000,000 2014/08/21 2015/04/29 50.0064100 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 A 200,000,000 2014/08/21 2014/11/27 50.0064158 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 B 200,000,000 2014/08/21 2014/11/27 50.0064064 UBS AG – China Mobile R Bull CBBC Jul 2015 C 100,000,000 2014/08/21 2015/07/13 25.0064037 UBS AG – HSI R Bull CBBC Mar 2015 P 300,000,000 2014/08/21 2015/03/30 75.0064133 UBS AG – HSI R Bear CBBC Nov 2014 G 300,000,000 2014/08/21 2014/11/27 75.0064135 UBS AG – HSI R Bear CBBC Nov 2014 W 350,000,000 2014/08/21 2014/11/27 87.5064072 UBS AG – Tencent R Bear CBBC Mar 2015 D 100,000,000 2014/08/21 2015/03/02 25.0064272 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 V 200,000,000 2014/08/22 2015/06/29 50.0064279 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 W 200,000,000 2014/08/22 2015/02/26 50.0064195 Credit Suisse AG – China Mobile R Bull CBBC Mar 2015 A 50,000,000 2014/08/22 2015/03/31 12.5064234 Credit Suisse AG – China Mobile R Bull CBBC Mar 2015 B 50,000,000 2014/08/22 2015/03/31 12.5064237 Credit Suisse AG – China Mobile R Bear CBBC Jan 2015 D 50,000,000 2014/08/22 2015/01/30 12.5064246 Credit Suisse AG – China Mobile R Bear CBBC Jan 2015 E 50,000,000 2014/08/22 2015/01/30 12.5064244 Credit Suisse AG – China Mobile R Bear CBBC Feb 2015 B 50,000,000 2014/08/22 2015/02/27 12.5064178 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Mar 2015 A 80,000,000 2014/08/22 2015/03/31 20.0064189 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Mar 2015 B 80,000,000 2014/08/22 2015/03/31 20.0064193 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Mar 2015 C 80,000,000 2014/08/22 2015/03/31 20.0064175 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Mar 2015 A 80,000,000 2014/08/22 2015/03/31 20.0064500 Credit Suisse AG – HSI R Bull CBBC Apr 2015 K 238,000,000 2014/08/22 2015/04/29 59.5064504 Credit Suisse AG – HSI R Bull CBBC Apr 2015 L 238,000,000 2014/08/22 2015/04/29 59.5064163 Credit Suisse AG – HSI R Bear CBBC Dec 2014 Y 238,000,000 2014/08/22 2014/12/30 59.5064168 Credit Suisse AG – HSI R Bear CBBC Dec 2014 Z 238,000,000 2014/08/22 2014/12/30 59.5064478 Credit Suisse AG – HSI R Bear CBBC Feb 2015 R 238,000,000 2014/08/22 2015/02/26 59.5064485 Credit Suisse AG – HSI R Bear CBBC Feb 2015 S 238,000,000 2014/08/22 2015/02/26 59.5064493 Credit Suisse AG – HSI R Bear CBBC Feb 2015 T 238,000,000 2014/08/22 2015/02/26 61.8864499 Credit Suisse AG – HSI R Bear CBBC Feb 2015 U 238,000,000 2014/08/22 2015/02/26 73.7864543 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15B 80,000,000 2014/08/22 2015/06/15 20.0064552 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15C 80,000,000 2014/08/22 2015/06/15 20.0064554 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15D 80,000,000 2014/08/22 2015/06/15 20.0064557 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15G 80,000,000 2014/08/22 2015/04/20 20.0064558 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15H 80,000,000 2014/08/22 2015/04/20 20.0064559 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15I 80,000,000 2014/08/22 2015/04/20 20.0064560 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15J 80,000,000 2014/08/22 2015/04/20 20.0064562 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15K 80,000,000 2014/08/22 2015/04/20 20.0064541 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 F 50,000,000 2014/08/22 2015/05/11 20.0064160 J P Morgan SP BV – HSI R Bull CBBC May 2015 M 300,000,000 2014/08/22 2015/05/28 75.0064253 J P Morgan SP BV – HSI R Bull CBBC May 2015 N 300,000,000 2014/08/22 2015/05/28 75.0064159 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 A 300,000,000 2014/08/22 2014/11/27 75.0064252 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 O 300,000,000 2014/08/22 2014/11/27 75.0064526 Standard Chartered Bank – China Mobile R Bull CBBC Jul 2015C 50,000,000 2014/08/22 2015/07/15 12.5064531 Standard Chartered Bank – China Mobile R Bear CBBC Mar 2015C 50,000,000 2014/08/22 2015/03/04 12.50




64539 Standard Chartered Bank – China Mobile R Bear CBBC Mar 2015D 50,000,000 2014/08/22 2015/03/10 12.5064525 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 C 100,000,000 2014/08/22 2015/08/28 25.0064521 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 O 100,000,000 2014/08/22 2015/02/26 25.0064351 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 L 200,000,000 2014/08/22 2015/04/29 50.0064474 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 M 200,000,000 2014/08/22 2015/04/29 50.0064270 UBS AG – China Mobile R Bear CBBC May 2015 B 50,000,000 2014/08/22 2015/05/11 12.5064271 UBS AG – HKEx R Bull CBBC Oct 2015 B 100,000,000 2014/08/22 2015/10/12 25.0064265 UBS AG – HSCEI R Bear CBBC Feb 2015 C 100,000,000 2014/08/22 2015/02/26 26.0064512 UBS AG – HSI R Bull CBBC Jan 2015 S 300,000,000 2014/08/22 2015/01/29 75.0064519 UBS AG – HSI R Bull CBBC Mar 2015 Q 300,000,000 2014/08/22 2015/03/30 75.0064508 UBS AG – HSI R Bull CBBC Jun 2015 B 300,000,000 2014/08/22 2015/06/29 75.0064326 UBS AG – HSI R Bear CBBC Nov 2014 F 300,000,000 2014/08/22 2014/11/27 75.0064296 UBS AG – HSI R Bear CBBC Nov 2014 H 300,000,000 2014/08/22 2014/11/27 75.0064337 UBS AG – HSI R Bear CBBC Nov 2014 L 300,000,000 2014/08/22 2014/11/27 75.0064338 UBS AG – HSI R Bear CBBC Nov 2014 M 300,000,000 2014/08/22 2014/11/27 75.0064261 UBS AG – HSI R Bear CBBC Nov 2014 N 300,000,000 2014/08/22 2014/11/27 75.0064298 UBS AG – HSI R Bear CBBC Nov 2014 O 300,000,000 2014/08/22 2014/11/27 75.0064161 UBS AG – HSI R Bear CBBC Nov 2014 X 300,000,000 2014/08/22 2014/11/27 75.0064263 UBS AG – HSI R Bear CBBC Nov 2014 Y 300,000,000 2014/08/22 2014/11/27 75.0064286 UBS AG – HSI R Bear CBBC Nov 2014 Z 300,000,000 2014/08/22 2014/11/27 79.5064349 UBS AG – HSI R Bear CBBC Dec 2014 C 300,000,000 2014/08/22 2014/12/30 75.0064255 UBS AG – HSI R Bear CBBC Dec 2014 Z 300,000,000 2014/08/22 2014/12/30 75.0068384 # HK Bank – GCL-Poly Energy R Bull CBBC Oct 2015 A 160,000,000 2014/08/22 2015/10/26 10.7269977 # HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 C 200,000,000 2014/08/22 2015/04/08 18.4064586 Credit Suisse AG – HSI R Bull CBBC Apr 2015 M 238,000,000 2014/08/25 2015/04/29 59.5064627 Credit Suisse AG – HSI R Bull CBBC Apr 2015 N 238,000,000 2014/08/25 2015/04/29 59.5064578 Credit Suisse AG – HSI R Bear CBBC Dec 2014 E 238,000,000 2014/08/25 2014/12/30 59.5064579 Credit Suisse AG – HSI R Bear CBBC Dec 2014 F 238,000,000 2014/08/25 2014/12/30 59.5064585 Credit Suisse AG – HSI R Bear CBBC Dec 2014 G 238,000,000 2014/08/25 2014/12/30 59.5064563 HK Bank – China Mobile R Bull CBBC Jul 2015 F 120,000,000 2014/08/25 2015/07/27 30.0064564 HK Bank – China Mobile R Bull CBBC Jul 2015 G 120,000,000 2014/08/25 2015/07/20 30.0064568 HK Bank – China Mobile R Bull CBBC Jul 2015 H 120,000,000 2014/08/25 2015/07/13 30.0064572 HK Bank – TCH R Bull CBBC Jul 2015 D 100,000,000 2014/08/25 2015/07/27 25.0064575 HK Bank – TCH R Bull CBBC Jul 2015 E 100,000,000 2014/08/25 2015/07/27 25.0064577 HK Bank – TCH R Bull CBBC Aug 2015 A 100,000,000 2014/08/25 2015/08/31 25.0064632 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 K 300,000,000 2014/08/25 2015/06/29 75.0064629 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 Q 300,000,000 2014/08/25 2014/11/27 75.0064619 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 15N 400,000,000 2014/08/25 2015/04/29 100.0064623 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov 14F 200,000,000 2014/08/25 2014/11/27 50.0064617 UBS AG – China Mobile R Bull CBBC Oct 2015 A 100,000,000 2014/08/25 2015/10/12 25.0064616 UBS AG – China Mobile R Bear CBBC Apr 2015 C 50,000,000 2014/08/25 2015/04/27 12.5064593 UBS AG – HSI R Bull CBBC Jan 2015 U 300,000,000 2014/08/25 2015/01/29 75.0064612 UBS AG – HSI R Bear CBBC Nov 2014 D 300,000,000 2014/08/25 2014/11/27 75.0064615 UBS AG – HSI R Bear CBBC Nov 2014 E 300,000,000 2014/08/25 2014/11/27 75.0064600 UBS AG – HSI R Bear CBBC Nov 2014 P 300,000,000 2014/08/25 2014/11/27 75.00




64601 UBS AG – HSI R Bear CBBC Nov 2014 Q 300,000,000 2014/08/25 2014/11/27 75.0064603 UBS AG – HSI R Bear CBBC Nov 2014 R 300,000,000 2014/08/25 2014/11/27 75.0064607 UBS AG – HSI R Bear CBBC Nov 2014 S 300,000,000 2014/08/25 2014/11/27 75.0064599 UBS AG – HSI R Bear CBBC Dec 2014 D 300,000,000 2014/08/25 2014/12/30 81.0064625 UBS AG – HSI R Bear CBBC Dec 2014 E 300,000,000 2014/08/25 2014/12/30 75.0064626 UBS AG – HSI R Bear CBBC Dec 2014 F 350,000,000 2014/08/25 2014/12/30 87.5064618 UBS AG – TCH R Bull CBBC Jun 2015 B 100,000,000 2014/08/25 2015/06/29 25.0064781 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 W 200,000,000 2014/08/26 2015/06/29 50.0064785 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 X 200,000,000 2014/08/26 2015/06/29 50.0064750 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 X 200,000,000 2014/08/26 2015/02/26 50.0064755 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 Y 200,000,000 2014/08/26 2015/02/26 50.0064771 Credit Suisse AG – HSI R Bull CBBC Feb 2015 A 238,000,000 2014/08/26 2015/02/26 59.5064776 Credit Suisse AG – HSI R Bull CBBC Feb 2015 B 238,000,000 2014/08/26 2015/02/26 59.5064756 Credit Suisse AG – HSI R Bear CBBC Nov 2014 J 238,000,000 2014/08/26 2014/11/27 59.5064698 Credit Suisse AG – HSI R Bear CBBC Nov 2014 K 238,000,000 2014/08/26 2014/11/27 59.5064770 Credit Suisse AG – HSI R Bear CBBC Nov 2014 L 238,000,000 2014/08/26 2014/11/27 59.5064691 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Apr15C 120,000,000 2014/08/26 2015/04/24 30.0064682 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15L 120,000,000 2014/08/26 2015/04/17 30.0064684 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15M 120,000,000 2014/08/26 2015/04/17 30.0064687 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15N 120,000,000 2014/08/26 2015/04/24 30.0064710 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Jun15A 100,000,000 2014/08/26 2015/06/15 25.0064711 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bull CBBC Jun15B 100,000,000 2014/08/26 2015/06/15 25.0064718 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC Apr15C 100,000,000 2014/08/26 2015/04/17 25.0064721 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC Apr15D 100,000,000 2014/08/26 2015/04/24 25.0064724 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC May15A 100,000,000 2014/08/26 2015/05/18 25.0064725 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Apr 15 C 100,000,000 2014/08/26 2015/04/17 25.0064729 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Apr 15 D 100,000,000 2014/08/26 2015/04/24 25.0064809 Bank of East Asia – China Mobile R Bull CBBC Jul 2015 A 40,000,000 2014/08/26 2015/07/03 10.0064810 Bank of East Asia – China Mobile R Bear CBBC Jun 2015 A 40,000,000 2014/08/26 2015/06/03 10.0064800 Bank of East Asia – CSOP A50 ETF R Bull CBBC Dec 2015 A 100,000,000 2014/08/26 2015/12/23 25.0064799 Bank of East Asia – A50 China R Bull CBBC Dec 2015 A 100,000,000 2014/08/26 2015/12/30 25.0064801 Bank of East Asia – TCH R Bull CBBC Jun 2015 A 40,000,000 2014/08/26 2015/06/26 10.0064675 HK Bank – China Mobile R Bull CBBC Jul 2015 I 120,000,000 2014/08/26 2015/07/27 30.0064658 HK Bank – China Mobile R Bear CBBC Jul 2015 E 60,000,000 2014/08/26 2015/07/27 15.0064678 HK Bank – CNOOC R Bull CBBC Oct 2015 C 60,000,000 2014/08/26 2015/10/26 15.0064679 HK Bank – CNOOC R Bear CBBC Apr 2015 A 40,000,000 2014/08/26 2015/04/30 12.0064654 HK Bank – HSI R Bull CBBC Mar 2015 L 400,000,000 2014/08/26 2015/03/30 100.0064636 HK Bank – HSI R Bear CBBC Apr 2015 I 100,000,000 2014/08/26 2015/04/29 25.0064699 J P Morgan SP BV – HSI R Bull CBBC May 2015 O 300,000,000 2014/08/26 2015/05/28 75.0064793 J P Morgan SP BV – HSI R Bull CBBC May 2015 P 300,000,000 2014/08/26 2015/05/28 75.0064795 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 L 300,000,000 2014/08/26 2015/06/29 75.0064701 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 T 300,000,000 2014/08/26 2014/11/27 75.0064794 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 W 300,000,000 2014/08/26 2014/11/27 75.0064798 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 D 300,000,000 2014/08/26 2014/12/30 75.0064797 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 L 300,000,000 2014/08/26 2015/01/29 75.00




64791 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 F 300,000,000 2014/08/26 2015/02/26 75.0064792 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 G 300,000,000 2014/08/26 2015/02/26 75.0064741 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 D 100,000,000 2014/08/26 2015/08/28 25.0064787 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 O 200,000,000 2014/08/26 2015/04/29 50.0064740 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 H 200,000,000 2014/08/26 2014/11/27 50.0064788 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 I 200,000,000 2014/08/26 2014/11/27 50.0064745 UBS AG – HSI R Bull CBBC Mar 2015 R 300,000,000 2014/08/26 2015/03/30 75.0064743 UBS AG – HSI R Bull CBBC Apr 2015 B 300,000,000 2014/08/26 2015/04/29 75.0064730 UBS AG – HSI R Bear CBBC Nov 2014 J 300,000,000 2014/08/26 2014/11/27 75.0064697 UBS AG – HSI R Bear CBBC Nov 2014 T 350,000,000 2014/08/26 2014/11/27 87.5064693 UBS AG – HSI R Bear CBBC Dec 2014 G 300,000,000 2014/08/26 2014/12/30 75.0064734 UBS AG – HSI R Bear CBBC Dec 2014 H 300,000,000 2014/08/26 2014/12/30 75.0064857 Credit Suisse AG – China Mobile R Bull CBBC Feb 2015 B 50,000,000 2014/08/27 2015/02/27 12.5064859 Credit Suisse AG – China Mobile R Bear CBBC Feb 2015 C 50,000,000 2014/08/27 2015/02/27 12.5064860 Credit Suisse AG – China Mobile R Bear CBBC Mar 2015 A 50,000,000 2014/08/27 2015/03/31 12.5064886 Credit Suisse AG – HSI R Bull CBBC Dec 2014 Y 238,000,000 2014/08/27 2014/12/30 59.5064887 Credit Suisse AG – HSI R Bull CBBC Mar 2015 Y 238,000,000 2014/08/27 2015/03/30 59.5064894 Credit Suisse AG – HSI R Bull CBBC Mar 2015 Z 238,000,000 2014/08/27 2015/03/30 59.5064850 Credit Suisse AG – HSI R Bear CBBC Nov 2014 M 238,000,000 2014/08/27 2014/11/27 59.5064853 Credit Suisse AG – HSI R Bear CBBC Jan 2015 R 238,000,000 2014/08/27 2015/01/29 59.5064854 Credit Suisse AG – HSI R Bear CBBC Jan 2015 S 238,000,000 2014/08/27 2015/01/29 59.5064855 Credit Suisse AG – HSI R Bear CBBC Jan 2015 T 238,000,000 2014/08/27 2015/01/29 59.5064856 Credit Suisse AG – HSI R Bear CBBC Jan 2015 U 238,000,000 2014/08/27 2015/01/29 59.5064828 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 H 200,000,000 2014/08/27 2015/04/27 50.0064814 HK Bank – HSI R Bull CBBC Apr 2015 B 100,000,000 2014/08/27 2015/04/29 25.0064824 HK Bank – HSI R Bear CBBC Mar 2015 N 100,000,000 2014/08/27 2015/03/30 25.0064818 HK Bank – HSI R Bear CBBC Apr 2015 J 400,000,000 2014/08/27 2015/04/29 100.0064832 HK Bank – Lenovo R Bull CBBC Aug 2015 B 60,000,000 2014/08/27 2015/08/31 15.0064834 HK Bank – Lenovo R Bear CBBC Jun 2015 D 40,000,000 2014/08/27 2015/06/08 10.0064839 J P Morgan SP BV – HSI R Bull CBBC May 2015 Q 300,000,000 2014/08/27 2015/05/28 75.0064845 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 M 300,000,000 2014/08/27 2015/06/29 75.0064902 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 F 300,000,000 2014/08/27 2014/11/27 75.0064896 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 E 300,000,000 2014/08/27 2014/12/30 75.0064846 Macquarie Bank Ltd. – HSI R Bull CBBC Jan 2015 D 50,000,000 2014/08/27 2015/01/29 12.5064882 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 E 100,000,000 2014/08/27 2015/08/28 25.0064866 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 P 100,000,000 2014/08/27 2015/02/26 25.0064879 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 Q 100,000,000 2014/08/27 2015/02/26 25.0064884 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 P 200,000,000 2014/08/27 2015/04/29 50.0064885 UBS AG – HSI R Bull CBBC Feb 2015 Z 300,000,000 2014/08/27 2015/02/26 75.0064862 UBS AG – HSI R Bear CBBC Nov 2014 U 300,000,000 2014/08/27 2014/11/27 75.0064903 Credit Suisse AG – HSI R Bull CBBC Mar 2015 C 238,000,000 2014/08/28 2015/03/30 59.5064905 Credit Suisse AG – HSI R Bull CBBC Mar 2015 D 238,000,000 2014/08/28 2015/03/30 59.5064999 Credit Suisse AG – HSI R Bear CBBC Nov 2014 F 238,000,000 2014/08/28 2014/11/27 59.5065000 Credit Suisse AG – HSI R Bear CBBC Nov 2014 N 238,000,000 2014/08/28 2014/11/27 59.5064997 Credit Suisse AG – HSI R Bear CBBC Nov 2014 R 238,000,000 2014/08/28 2014/11/27 59.50




64988 Bank of East Asia – COVS R Bull CBBC Sep 2015 A 30,000,000 2014/08/28 2015/09/30 13.5064991 Bank of East Asia – Galaxy Ent R Bull CBBC Apr 2015 A 70,000,000 2014/08/28 2015/04/30 17.5064994 Bank of East Asia – HSBC Holdings R Bull CBBC Apr 2015 A 50,000,000 2014/08/28 2015/04/30 12.5064989 Bank of East Asia – Hutchison R Bull CBBC Jul 2015 A 40,000,000 2014/08/28 2015/07/24 10.0064996 Bank of East Asia – Lenovo R Bull CBBC May 2015 A 40,000,000 2014/08/28 2015/05/22 10.0064908 J P Morgan SP BV – HSI R Bull CBBC May 2015 R 300,000,000 2014/08/28 2015/05/28 75.0064970 J P Morgan SP BV – HSI R Bull CBBC May 2015 S 300,000,000 2014/08/28 2015/05/28 75.0064960 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 C 300,000,000 2014/08/28 2014/11/27 75.0064963 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 H 300,000,000 2014/08/28 2014/11/27 75.0064942 J P Morgan SP BV – HSI R Bear CBBC Nov 2014 I 300,000,000 2014/08/28 2014/11/27 75.0064971 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov14 J 200,000,000 2014/08/28 2014/11/27 50.0064982 UBS AG – ABC R Bull CBBC Jul 2015 B 50,000,000 2014/08/28 2015/07/06 12.5064976 UBS AG – AIA R Bull CBBC Jun 2015 D 100,000,000 2014/08/28 2015/06/29 25.0064974 UBS AG – Minsheng Bank R Bear CBBC Aug 2015 A 50,000,000 2014/08/28 2015/08/04 12.5064928 UBS AG – HSI R Bull CBBC Jan 2015 T 300,000,000 2014/08/28 2015/01/29 75.0064912 UBS AG – HSI R Bull CBBC Mar 2015 S 300,000,000 2014/08/28 2015/03/30 75.0065002 UBS AG – HSI R Bear CBBC Dec 2014 I 300,000,000 2014/08/28 2014/12/30 75.0065003 UBS AG – HSI R Bear CBBC Dec 2014 J 350,000,000 2014/08/28 2014/12/30 87.5065016 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 Z 200,000,000 2014/08/29 2015/02/26 50.0065028 Credit Suisse AG – HSI R Bull CBBC Jun 2015 A 238,000,000 2014/08/29 2015/06/29 59.5065029 Credit Suisse AG – HSI R Bull CBBC Jun 2015 B 238,000,000 2014/08/29 2015/06/29 59.5065013 Credit Suisse AG – HSI R Bear CBBC Dec 2014 J 238,000,000 2014/08/29 2014/12/30 59.5065014 Credit Suisse AG – HSI R Bear CBBC Dec 2014 K 238,000,000 2014/08/29 2014/12/30 59.5065012 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 F 300,000,000 2014/08/29 2014/12/30 75.0065030 UBS AG – HSI R Bull CBBC Feb 2015 H 300,000,000 2014/08/29 2015/02/26 75.0065015 UBS AG – HSI R Bear CBBC Jan 2015 S 300,000,000 2014/08/29 2015/01/29 75.0065065 Credit Suisse AG – HSI R Bull CBBC May 2015 A 238,000,000 2014/09/01 2015/05/28 59.5065066 Credit Suisse AG – HSI R Bull CBBC May 2015 B 238,000,000 2014/09/01 2015/05/28 59.5065070 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/09/01 2015/05/28 59.5065060 Credit Suisse AG – HSI R Bear CBBC Jan 2015 V 238,000,000 2014/09/01 2015/01/29 59.5065061 Credit Suisse AG – HSI R Bear CBBC Jan 2015 W 238,000,000 2014/09/01 2015/01/29 59.5065092 Citigroup Global Mkt H Inc. – Sinopec Corp R Bull CBBC Apr15B 80,000,000 2014/09/01 2015/04/24 20.0065098 Citigroup Global Mkt H Inc. – Sinopec Corp R Bear CBBC Apr15A 80,000,000 2014/09/01 2015/04/24 20.0065100 Citigroup Global Mkt H Inc. – Sinopec Corp R Bear CBBC Apr15B 80,000,000 2014/09/01 2015/04/24 20.0065045 HK Bank – Cheung Kong R Bear CBBC Jul 2015 A 50,000,000 2014/09/01 2015/07/31 15.0065031 HK Bank – HSCEI R Bear CBBC Mar 2015 B 68,000,000 2014/09/01 2015/03/30 17.0065032 HK Bank – HSI R Bull CBBC Mar 2015 M 100,000,000 2014/09/01 2015/03/30 25.0065038 HK Bank – HSI R Bull CBBC Apr 2015 C 100,000,000 2014/09/01 2015/04/29 25.0065039 HK Bank – TCH R Bull CBBC Jul 2015 F 100,000,000 2014/09/01 2015/07/06 25.0065089 J P Morgan SP BV – HSI R Bull CBBC May 2015 T 300,000,000 2014/09/01 2015/05/28 75.0065058 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 G 300,000,000 2014/09/01 2014/12/30 75.0065086 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 L 300,000,000 2014/09/01 2014/12/30 75.0065057 J P Morgan SP BV – Tencent R Bear CBBC Dec 2014 A 100,000,000 2014/09/01 2014/12/30 25.0065046 UBS AG – HSI R Bull CBBC Dec 2014 I 300,000,000 2014/09/01 2014/12/30 75.0065073 UBS AG – HSI R Bull CBBC Mar 2015 T 300,000,000 2014/09/01 2015/03/30 75.00




65082 UBS AG – HSI R Bear CBBC Dec 2014 K 350,000,000 2014/09/01 2014/12/30 87.5065131 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Y 200,000,000 2014/09/02 2015/06/29 50.0065142 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 F 200,000,000 2014/09/02 2015/02/26 50.0065137 Credit Suisse AG – HSI R Bull CBBC Apr 2015 O 238,000,000 2014/09/02 2015/04/29 59.5065138 Credit Suisse AG – HSI R Bear CBBC Dec 2014 A 238,000,000 2014/09/02 2014/12/30 59.5065117 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC May 15 B 150,000,000 2014/09/02 2015/05/18 37.5065119 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC May 15 C 150,000,000 2014/09/02 2015/05/18 37.5065124 Citigroup Global Mkt H Inc. – PetCh R Bull CBBC Jun 2015 A 50,000,000 2014/09/02 2015/06/15 12.5065127 Citigroup Global Mkt H Inc. – PetCh R Bear CBBC May 2015 A 50,000,000 2014/09/02 2015/05/11 12.5065128 Citigroup Global Mkt H Inc. – PetCh R Bear CBBC May 2015 B 50,000,000 2014/09/02 2015/05/11 12.5065106 J P Morgan SP BV – HSI R Bull CBBC May 2015 U 300,000,000 2014/09/02 2015/05/28 75.0065102 Macquarie Bank Ltd. – HSI R Bull CBBC Jan 2015 E 50,000,000 2014/09/02 2015/01/29 12.5065120 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 Q 200,000,000 2014/09/02 2015/04/29 50.0065121 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 O 200,000,000 2014/09/02 2014/12/30 50.0065134 UBS AG – CSOP A50 ETF R Bull CBBC Feb 2015 E 100,000,000 2014/09/02 2015/02/02 25.0065123 UBS AG – HSCEI R Bull CBBC Jun 2015 A 100,000,000 2014/09/02 2015/06/29 25.0065122 UBS AG – HSI R Bull CBBC Feb 2015 N 300,000,000 2014/09/02 2015/02/26 75.0065139 UBS AG – HSI R Bear CBBC Dec 2014 L 300,000,000 2014/09/02 2014/12/30 75.0065135 UBS AG – Kingsoft R Bull CBBC Nov 2015 A 50,000,000 2014/09/02 2015/11/16 12.5065171 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 J 200,000,000 2014/09/03 2015/06/29 50.0065170 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Z 200,000,000 2014/09/03 2015/06/29 50.0065167 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/09/03 2015/05/28 59.5065169 Credit Suisse AG – HSI R Bull CBBC May 2015 E 238,000,000 2014/09/03 2015/05/28 59.5065174 Credit Suisse AG – HSI R Bear CBBC Dec 2014 B 238,000,000 2014/09/03 2014/12/30 59.5065172 Credit Suisse AG – HSI R Bear CBBC Dec 2014 H 238,000,000 2014/09/03 2014/12/30 59.5065143 HK Bank – AIA R Bull CBBC Jun 2015 C 60,000,000 2014/09/03 2015/06/29 15.0065148 HK Bank – HSCEI R Bull CBBC Jul 2015 A 100,000,000 2014/09/03 2015/07/30 25.0065144 HK Bank – HSI R Bear CBBC Apr 2015 K 100,000,000 2014/09/03 2015/04/29 25.0065147 HK Bank – HSI R Bear CBBC May 2015 D 100,000,000 2014/09/03 2015/05/28 25.0065145 HK Bank – HSI R Bear CBBC Jul 2015 B 100,000,000 2014/09/03 2015/07/30 25.0065146 HK Bank – HSI R Bear CBBC Aug 2015 A 100,000,000 2014/09/03 2015/08/28 25.0065150 HK Bank – PetCh R Bull CBBC Jun 2015 B 60,000,000 2014/09/03 2015/06/29 15.0065151 HK Bank – PetCh R Bull CBBC Jun 2015 C 60,000,000 2014/09/03 2015/06/29 15.0065161 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 N 300,000,000 2014/09/03 2015/06/29 75.0065160 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 A 300,000,000 2014/09/03 2015/07/30 75.0065188 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 M 300,000,000 2014/09/03 2014/12/30 75.0065184 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 R 100,000,000 2014/09/03 2015/02/26 25.0065153 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun15 A 400,000,000 2014/09/03 2015/06/29 100.0065154 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun15 B 400,000,000 2014/09/03 2015/06/29 100.0065155 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun15 C 400,000,000 2014/09/03 2015/06/29 100.0065152 UBS AG – HSI R Bull CBBC Apr 2015 C 300,000,000 2014/09/03 2015/04/29 75.0065164 UBS AG – HSI R Bull CBBC Apr 2015 D 300,000,000 2014/09/03 2015/04/29 75.0065177 UBS AG – HSI R Bear CBBC Dec 2014 A 300,000,000 2014/09/03 2014/12/30 75.0065156 UBS AG – SHK Ppt R Bull CBBC Jun 2015 A 50,000,000 2014/09/03 2015/06/01 12.5065157 UBS AG – TCH R Bull CBBC Jul 2015 E 100,000,000 2014/09/03 2015/07/13 25.00




65209 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 I 200,000,000 2014/09/04 2015/06/29 50.0065208 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 K 200,000,000 2014/09/04 2015/06/29 50.0065227 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 I 200,000,000 2014/09/04 2015/02/26 50.0065226 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 Q 200,000,000 2014/09/04 2015/02/26 50.0065219 Credit Suisse AG – HSI R Bull CBBC Dec 2014 K 238,000,000 2014/09/04 2014/12/30 59.5065202 Credit Suisse AG – HSI R Bull CBBC Apr 2015 P 238,000,000 2014/09/04 2015/04/29 59.5065203 Credit Suisse AG – HSI R Bull CBBC Apr 2015 Q 238,000,000 2014/09/04 2015/04/29 59.5065204 Credit Suisse AG – HSI R Bull CBBC Apr 2015 R 238,000,000 2014/09/04 2015/04/29 59.5065205 Credit Suisse AG – HSI R Bull CBBC Apr 2015 S 238,000,000 2014/09/04 2015/04/29 59.5065216 Credit Suisse AG – HSI R Bear CBBC Dec 2014 L 238,000,000 2014/09/04 2014/12/30 59.5065218 Credit Suisse AG – HSI R Bear CBBC Dec 2014 M 238,000,000 2014/09/04 2014/12/30 59.5065220 Credit Suisse AG – HSI R Bear CBBC Dec 2014 N 238,000,000 2014/09/04 2014/12/30 59.5065215 Credit Suisse AG – HSI R Bear CBBC Jan 2015 X 238,000,000 2014/09/04 2015/01/29 59.5065190 HK Bank – HSI R Bear CBBC Mar 2015 O 100,000,000 2014/09/04 2015/03/30 25.0065191 HK Bank – HSI R Bear CBBC Apr 2015 L 100,000,000 2014/09/04 2015/04/29 25.0065189 HK Bank – PetCh R Bear CBBC Jul 2015 B 40,000,000 2014/09/04 2015/07/20 10.0065206 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 O 300,000,000 2014/09/04 2015/06/29 75.0065207 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 P 300,000,000 2014/09/04 2015/06/29 75.0065230 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 V 300,000,000 2014/09/04 2014/12/30 75.0065231 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 W 300,000,000 2014/09/04 2014/12/30 75.0065232 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 X 300,000,000 2014/09/04 2014/12/30 75.0065214 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 F 40,000,000 2014/09/04 2015/01/29 10.0065233 Standard Chartered Bank – Anhui Conch R Bull CBBC Oct 2015 A 50,000,000 2014/09/04 2015/10/08 12.5065234 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 F 100,000,000 2014/09/04 2015/08/28 25.0065210 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 S 100,000,000 2014/09/04 2015/02/26 25.0065192 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 15R 200,000,000 2014/09/04 2015/04/29 50.0065212 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 15S 200,000,000 2014/09/04 2015/04/29 50.0065193 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 14P 200,000,000 2014/09/04 2014/12/30 50.0065194 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 14Q 200,000,000 2014/09/04 2014/12/30 50.0065229 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 14R 200,000,000 2014/09/04 2014/12/30 50.0065224 UBS AG – HSI R Bull CBBC Dec 2014 D 350,000,000 2014/09/04 2014/12/30 87.5065201 UBS AG – HSI R Bull CBBC Jan 2015 J 350,000,000 2014/09/04 2015/01/29 87.5065200 UBS AG – HSI R Bull CBBC Jan 2015 K 300,000,000 2014/09/04 2015/01/29 75.0065221 UBS AG – HSI R Bear CBBC Dec 2014 B 300,000,000 2014/09/04 2014/12/30 75.0065195 UBS AG – HSI R Bear CBBC Dec 2014 N 300,000,000 2014/09/04 2014/12/30 75.0065223 UBS AG – HSI R Bear CBBC Dec 2014 O 300,000,000 2014/09/04 2014/12/30 75.0065274 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 J 200,000,000 2014/09/05 2015/02/26 50.0065264 Credit Suisse AG – HKEx R Bull CBBC Jan 2015 C 50,000,000 2014/09/05 2015/01/30 12.5065265 Credit Suisse AG – HKEx R Bear CBBC Jan 2015 F 50,000,000 2014/09/05 2015/01/30 12.5065266 Credit Suisse AG – HKEx R Bear CBBC Jan 2015 G 50,000,000 2014/09/05 2015/01/30 12.5065275 Credit Suisse AG – HSI R Bull CBBC Jun 2015 E 238,000,000 2014/09/05 2015/06/29 59.5065277 Credit Suisse AG – HSI R Bull CBBC Jun 2015 F 238,000,000 2014/09/05 2015/06/29 59.5065278 Credit Suisse AG – HSI R Bull CBBC Jun 2015 G 238,000,000 2014/09/05 2015/06/29 59.5065272 Credit Suisse AG – HSI R Bear CBBC Jan 2015 Y 238,000,000 2014/09/05 2015/01/29 59.5065273 Credit Suisse AG – HSI R Bear CBBC Jan 2015 Z 238,000,000 2014/09/05 2015/01/29 59.50




65262 Credit Suisse AG – TCH R Bear CBBC Jan 2015 B 50,000,000 2014/09/05 2015/01/30 12.5065263 Credit Suisse AG – TCH R Bear CBBC Jan 2015 C 50,000,000 2014/09/05 2015/01/30 12.5065284 J P Morgan SP BV – HSI R Bull CBBC Dec 2014 Q 300,000,000 2014/09/05 2014/12/30 75.0065282 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 H 300,000,000 2014/09/05 2014/12/30 75.0065279 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Y 300,000,000 2014/09/05 2014/12/30 75.0065245 Standard Chartered Bank – ABC R Bear CBBC Jun 2015 A 50,000,000 2014/09/05 2015/06/08 12.5065248 Standard Chartered Bank – AIA R Bear CBBC Apr 2015 B 60,000,000 2014/09/05 2015/04/28 15.0065239 Standard Chartered Bank – Lenovo R Bear CBBC Apr 2015 C 50,000,000 2014/09/05 2015/04/16 12.5065240 Standard Chartered Bank – Lenovo R Bear CBBC Apr 2015 D 50,000,000 2014/09/05 2015/04/17 14.5065249 Standard Chartered Bank – PetCh R Bear CBBC May 2015 A 50,000,000 2014/09/05 2015/05/06 12.5065237 Standard Chartered Bank – Sands China R Bull CBBC Apr 2015 B 50,000,000 2014/09/05 2015/04/09 12.5065238 Standard Chartered Bank – Sands China R Bull CBBC Apr 2015 C 50,000,000 2014/09/05 2015/04/10 12.5065267 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jun15D 100,000,000 2014/09/05 2015/06/29 25.0065268 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jun15E 100,000,000 2014/09/05 2015/06/29 25.0065235 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 T 200,000,000 2014/09/05 2015/04/29 50.0065236 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 S 200,000,000 2014/09/05 2014/12/30 50.0065269 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 T 200,000,000 2014/09/05 2014/12/30 50.0065301 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/09/08 2015/05/28 59.5065309 Credit Suisse AG – HSI R Bull CBBC May 2015 G 238,000,000 2014/09/08 2015/05/28 59.5065289 Credit Suisse AG – HSI R Bear CBBC Dec 2014 R 238,000,000 2014/09/08 2014/12/30 59.5065291 Credit Suisse AG – HSI R Bear CBBC Dec 2014 S 238,000,000 2014/09/08 2014/12/30 59.5065292 Credit Suisse AG – HSI R Bear CBBC Dec 2014 T 238,000,000 2014/09/08 2014/12/30 59.5065315 Citigroup Global Mkt H Inc. – Galaxy Ent R Bear CBBC May15 A 60,000,000 2014/09/08 2015/05/18 15.0065316 Citigroup Global Mkt H Inc. – Sands China R Bull CBBC Mar15B 60,000,000 2014/09/08 2015/03/16 15.0065317 Citigroup Global Mkt H Inc. – Sands China R Bear CBBC May15B 60,000,000 2014/09/08 2015/05/11 15.0065322 Bank of East Asia – Galaxy Ent R Bear CBBC Apr 2015 A 60,000,000 2014/09/08 2015/04/02 15.0065323 Bank of East Asia – Sands China R Bull CBBC May 2015 A 100,000,000 2014/09/08 2015/05/06 25.0065300 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 A 150,000,000 2014/09/08 2014/12/30 38.8565298 Goldman Sachs SP (Asia) – HSI R Bear CBBC Dec 2014 B 150,000,000 2014/09/08 2014/12/30 37.8065313 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 Q 300,000,000 2014/09/08 2015/06/29 75.0065314 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 R 300,000,000 2014/09/08 2015/06/29 75.0065312 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 I 300,000,000 2014/09/08 2014/12/30 75.0065288 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 T 100,000,000 2014/09/08 2015/02/26 25.0065295 UBS AG – HKEx R Bull CBBC Sep 2015 F 100,000,000 2014/09/08 2015/09/21 25.0065297 UBS AG – HKEx R Bull CBBC Sep 2015 G 100,000,000 2014/09/08 2015/09/07 40.5065311 UBS AG – HSI R Bull CBBC Feb 2015 O 300,000,000 2014/09/08 2015/02/26 75.0065310 UBS AG – HSI R Bull CBBC Mar 2015 U 300,000,000 2014/09/08 2015/03/30 75.0065293 UBS AG – HSI R Bear CBBC Dec 2014 P 300,000,000 2014/09/08 2014/12/30 75.0065294 UBS AG – HSI R Bear CBBC Dec 2014 Q 300,000,000 2014/09/08 2014/12/30 75.0065360 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 L 200,000,000 2014/09/10 2015/06/29 50.0065361 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 K 200,000,000 2014/09/10 2015/02/26 50.0065362 Credit Suisse AG – HSI R Bull CBBC Mar 2015 E 238,000,000 2014/09/10 2015/03/30 59.5065363 Credit Suisse AG – HSI R Bull CBBC Mar 2015 F 238,000,000 2014/09/10 2015/03/30 59.5065397 Credit Suisse AG – HSI R Bear CBBC Dec 2014 U 238,000,000 2014/09/10 2014/12/30 59.5065399 Credit Suisse AG – HSI R Bear CBBC Dec 2014 W 238,000,000 2014/09/10 2014/12/30 59.50




65416 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC Jun15A 100,000,000 2014/09/10 2015/06/08 25.0065417 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Jun 15 A 100,000,000 2014/09/10 2015/06/08 25.0065421 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Jun 15 A 100,000,000 2014/09/10 2015/06/08 25.0065411 Citigroup Global Mkt H Inc. – HKEx R Bear CBBC Mar 2015 C 50,000,000 2014/09/10 2015/03/23 12.5065415 Citigroup Global Mkt H Inc. – Ping An R Bull CBBC Jul 2015 B 80,000,000 2014/09/10 2015/07/13 20.0065412 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 E 200,000,000 2014/09/10 2015/04/15 50.0065341 HK Bank – CSOP A50 ETF R Bull CBBC May 2015 A 200,000,000 2014/09/10 2015/05/28 50.0065342 HK Bank – CSOP A50 ETF R Bull CBBC May 2015 B 200,000,000 2014/09/10 2015/05/28 50.0065349 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2015 A 200,000,000 2014/09/10 2015/06/29 50.0065350 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2015 A 200,000,000 2014/09/10 2015/07/30 50.0065352 HK Bank – A50 R Bull CBBC May 2015 B 200,000,000 2014/09/10 2015/05/28 50.0065337 HK Bank – Galaxy Ent R Bear CBBC Jul 2015 A 60,000,000 2014/09/10 2015/07/30 15.0065339 HK Bank – Sands China R Bear CBBC Mar 2015 A 60,000,000 2014/09/10 2015/03/30 15.0065338 HK Bank – Sands China R Bear CBBC Aug 2015 A 60,000,000 2014/09/10 2015/08/28 15.0065333 HK Bank – TCH R Bull CBBC Aug 2015 B 100,000,000 2014/09/10 2015/08/28 25.0065331 HK Bank – TCH R Bear CBBC Jun 2015 C 100,000,000 2014/09/10 2015/06/29 25.0065332 HK Bank – TCH R Bear CBBC Jul 2015 B 100,000,000 2014/09/10 2015/07/30 25.0065384 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 S 300,000,000 2014/09/10 2015/06/29 75.0065376 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Q 300,000,000 2014/09/10 2014/12/30 75.0065379 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Z 300,000,000 2014/09/10 2014/12/30 75.0065401 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Mar 2015C 50,000,000 2014/09/10 2015/03/27 12.5065406 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 G 100,000,000 2014/09/10 2015/08/28 25.0065386 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC May15A 100,000,000 2014/09/10 2015/05/28 25.0065355 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 15U 200,000,000 2014/09/10 2015/04/29 50.0065357 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 15V 200,000,000 2014/09/10 2015/04/29 50.0065387 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 14U 200,000,000 2014/09/10 2014/12/30 50.0065358 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb 15K 400,000,000 2014/09/10 2015/02/26 100.0065375 UBS AG – HSI R Bull CBBC Apr 2015 E 300,000,000 2014/09/10 2015/04/29 75.0065370 UBS AG – HSI R Bull CBBC May 2015 B 300,000,000 2014/09/10 2015/05/28 75.0065394 UBS AG – HSI R Bear CBBC Dec 2014 V 300,000,000 2014/09/10 2014/12/30 75.0065389 UBS AG – HSI R Bear CBBC Jan 2015 T 300,000,000 2014/09/10 2015/01/29 75.0065400 UBS AG – TCH R Bull CBBC Jun 2015 C 100,000,000 2014/09/10 2015/06/15 25.0065521 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 G 200,000,000 2014/09/11 2015/06/29 50.0065589 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 H 200,000,000 2014/09/11 2015/06/29 50.0065518 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 M 200,000,000 2014/09/11 2015/06/29 50.0065591 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 N 200,000,000 2014/09/11 2015/06/29 50.0065592 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 W 200,000,000 2014/09/11 2015/06/29 50.0065451 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 R 200,000,000 2014/09/11 2015/02/26 50.0065522 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 S 200,000,000 2014/09/11 2015/02/26 50.0065524 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 T 200,000,000 2014/09/11 2015/02/26 50.0065529 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 U 200,000,000 2014/09/11 2015/02/26 50.0065580 Credit Suisse AG – HSI R Bull CBBC Jun 2015 H 238,000,000 2014/09/11 2015/06/29 59.5065584 Credit Suisse AG – HSI R Bull CBBC Jun 2015 I 238,000,000 2014/09/11 2015/06/29 59.5065585 Credit Suisse AG – HSI R Bull CBBC Jun 2015 J 238,000,000 2014/09/11 2015/06/29 59.5065586 Credit Suisse AG – HSI R Bull CBBC Jun 2015 K 238,000,000 2014/09/11 2015/06/29 59.50




65588 Credit Suisse AG – HSI R Bull CBBC Jun 2015 L 238,000,000 2014/09/11 2015/06/29 59.5065506 Credit Suisse AG – HSI R Bear CBBC Jan 2015 A 238,000,000 2014/09/11 2015/01/29 59.5065463 Credit Suisse AG – HSI R Bear CBBC Jan 2015 E 238,000,000 2014/09/11 2015/01/29 59.5065465 Credit Suisse AG – HSI R Bear CBBC Jan 2015 F 238,000,000 2014/09/11 2015/01/29 59.5065468 Credit Suisse AG – HSI R Bear CBBC Jan 2015 G 238,000,000 2014/09/11 2015/01/29 59.5065505 Credit Suisse AG – HSI R Bear CBBC Jan 2015 H 238,000,000 2014/09/11 2015/01/29 59.5065472 Credit Suisse AG – HSI R Bear CBBC Jan 2015 I 238,000,000 2014/09/11 2015/01/29 59.5065511 Credit Suisse AG – HSI R Bear CBBC Jan 2015 J 238,000,000 2014/09/11 2015/01/29 69.0265510 Credit Suisse AG – HSI R Bear CBBC Feb 2015 W 238,000,000 2014/09/11 2015/02/26 59.5065507 Credit Suisse AG – HSI R Bear CBBC Mar 2015 K 238,000,000 2014/09/11 2015/03/30 59.5065512 Credit Suisse AG – HSI R Bear CBBC Mar 2015 L 238,000,000 2014/09/11 2015/03/30 78.5465475 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15E 80,000,000 2014/09/11 2015/06/29 20.0065476 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15F 80,000,000 2014/09/11 2015/06/29 20.0065480 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15G 80,000,000 2014/09/11 2015/06/29 20.0065481 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15O 80,000,000 2014/09/11 2015/04/27 20.0065483 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15P 80,000,000 2014/09/11 2015/04/27 20.0065422 HK Bank – China Mobile R Bull CBBC Jun 2015 D 120,000,000 2014/09/11 2015/06/25 30.0065424 HK Bank – China Mobile R Bear CBBC Jul 2015 F 60,000,000 2014/09/11 2015/07/14 15.0065427 HK Bank – CNOOC R Bull CBBC Jul 2015 B 60,000,000 2014/09/11 2015/07/27 15.0065431 HK Bank – CSOP A50 ETF R Bull CBBC Mar 2015 E 200,000,000 2014/09/11 2015/03/23 50.0065432 HK Bank – A50 R Bull CBBC Mar 2015 H 200,000,000 2014/09/11 2015/03/23 50.0065488 J P Morgan SP BV – HSI R Bull CBBC May 2015 V 300,000,000 2014/09/11 2015/05/28 75.0065611 J P Morgan SP BV – HSI R Bull CBBC May 2015 W 300,000,000 2014/09/11 2015/05/28 75.0065490 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 T 300,000,000 2014/09/11 2015/06/29 75.0065613 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 B 300,000,000 2014/09/11 2015/07/30 75.0065436 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 M 300,000,000 2014/09/11 2014/12/30 75.0065437 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 M 300,000,000 2014/09/11 2015/01/29 75.0065438 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 N 300,000,000 2014/09/11 2015/01/29 75.0065484 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 O 300,000,000 2014/09/11 2015/01/29 75.0065493 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 P 300,000,000 2014/09/11 2015/01/29 75.0065619 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 Q 300,000,000 2014/09/11 2015/01/29 75.0065620 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 R 300,000,000 2014/09/11 2015/01/29 75.0065615 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 H 300,000,000 2014/09/11 2015/02/26 75.0065616 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 I 300,000,000 2014/09/11 2015/02/26 75.0065618 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 J 300,000,000 2014/09/11 2015/02/26 75.0065577 Macquarie Bank Ltd. – HSI R Bull CBBC Jan 2015 F 50,000,000 2014/09/11 2015/01/29 12.5065578 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 H 100,000,000 2014/09/11 2015/08/28 25.0065579 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 I 100,000,000 2014/09/11 2015/08/28 25.0065600 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 M 200,000,000 2014/09/11 2015/04/29 50.0065495 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 W 200,000,000 2014/09/11 2015/04/29 50.0065498 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 X 200,000,000 2014/09/11 2015/04/29 50.0065499 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 Y 200,000,000 2014/09/11 2015/04/29 50.0065597 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 Z 200,000,000 2014/09/11 2015/04/29 50.0065596 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 A 400,000,000 2014/09/11 2015/06/29 100.0065500 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 V 200,000,000 2014/09/11 2014/12/30 50.00




65503 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 W 200,000,000 2014/09/11 2014/12/30 50.0065569 UBS AG – China Mobile R Bull CBBC Oct 2015 B 100,000,000 2014/09/11 2015/10/05 25.0065566 UBS AG – China Mobile R Bear CBBC Apr 2015 D 100,000,000 2014/09/11 2015/04/13 25.0065565 UBS AG – China Mobile R Bear CBBC May 2015 C 100,000,000 2014/09/11 2015/05/04 25.0065555 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2015 E 100,000,000 2014/09/11 2015/03/02 25.0065551 UBS AG – A50 China R Bull CBBC Mar 2015 I 100,000,000 2014/09/11 2015/03/23 25.0065575 UBS AG – Galaxy Ent R Bear CBBC Mar 2015 A 50,000,000 2014/09/11 2015/03/09 12.5065570 UBS AG – HKEx R Bull CBBC Oct 2015 C 100,000,000 2014/09/11 2015/10/05 25.0065532 UBS AG – HSI R Bull CBBC Mar 2015 V 300,000,000 2014/09/11 2015/03/30 75.0065545 UBS AG – HSI R Bull CBBC Apr 2015 F 300,000,000 2014/09/11 2015/04/29 75.0065537 UBS AG – HSI R Bull CBBC May 2015 C 300,000,000 2014/09/11 2015/05/28 75.0065535 UBS AG – HSI R Bull CBBC Jun 2015 C 300,000,000 2014/09/11 2015/06/29 75.0065443 UBS AG – HSI R Bear CBBC Dec 2014 T 300,000,000 2014/09/11 2014/12/30 75.0065440 UBS AG – HSI R Bear CBBC Dec 2014 U 300,000,000 2014/09/11 2014/12/30 75.0065550 UBS AG – HSI R Bear CBBC Dec 2014 W 300,000,000 2014/09/11 2014/12/30 75.0065449 UBS AG – HSI R Bear CBBC Jan 2015 U 350,000,000 2014/09/11 2015/01/29 87.5065548 UBS AG – HSI R Bear CBBC Jan 2015 V 300,000,000 2014/09/11 2015/01/29 75.0065546 UBS AG – HSI R Bear CBBC Feb 2015 J 300,000,000 2014/09/11 2015/02/26 75.0065557 UBS AG – Sands China R Bear CBBC Apr 2015 A 50,000,000 2014/09/11 2015/04/20 12.5065640 Credit Suisse AG – HSI R Bull CBBC May 2015 H 238,000,000 2014/09/12 2015/05/28 59.5065641 Credit Suisse AG – HSI R Bull CBBC May 2015 I 238,000,000 2014/09/12 2015/05/28 59.5065644 Credit Suisse AG – HSI R Bull CBBC May 2015 J 238,000,000 2014/09/12 2015/05/28 59.5065646 Credit Suisse AG – HSI R Bull CBBC May 2015 K 238,000,000 2014/09/12 2015/05/28 59.5065672 Credit Suisse AG – HSI R Bear CBBC Dec 2014 C 238,000,000 2014/09/12 2014/12/30 59.5065670 Credit Suisse AG – HSI R Bear CBBC Dec 2014 X 238,000,000 2014/09/12 2014/12/30 59.5065697 Credit Suisse AG – HSI R Bear CBBC Apr 2015 N 238,000,000 2014/09/12 2015/04/29 59.5065703 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 B 150,000,000 2014/09/12 2014/12/30 46.8065705 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 C 150,000,000 2014/09/12 2014/12/30 44.5565625 HK Bank – ABC R Bear CBBC Apr 2015 A 40,000,000 2014/09/12 2015/04/30 10.0065647 HK Bank – China Mobile R Bull CBBC Jul 2015 J 120,000,000 2014/09/12 2015/07/16 30.0065648 HK Bank – China Mobile R Bear CBBC Jul 2015 G 60,000,000 2014/09/12 2015/07/16 15.0065637 HK Bank – CC Bank R Bear CBBC Apr 2015 A 40,000,000 2014/09/12 2015/04/30 10.0065627 HK Bank – China Life R Bear CBBC Jul 2015 A 50,000,000 2014/09/12 2015/07/31 20.0065631 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 I 200,000,000 2014/09/12 2015/04/02 50.0065632 HK Bank – A50 R Bull CBBC Apr 2015 I 200,000,000 2014/09/12 2015/04/02 50.0065635 HK Bank – HKEx R Bull CBBC Jun 2015 D 60,000,000 2014/09/12 2015/06/08 15.0065621 HK Bank – HSI R Bull CBBC Apr 2015 D 100,000,000 2014/09/12 2015/04/29 25.0065624 HK Bank – HSI R Bull CBBC May 2015 A 100,000,000 2014/09/12 2015/05/28 25.0065626 HK Bank – HSI R Bull CBBC Jun 2015 C 100,000,000 2014/09/12 2015/06/29 25.0065629 HK Bank – HSI R Bull CBBC Jul 2015 B 100,000,000 2014/09/12 2015/07/30 25.0065636 HK Bank – Ping An R Bear CBBC Jul 2015 A 40,000,000 2014/09/12 2015/07/31 10.0065633 HK Bank – TCH R Bull CBBC Apr 2015 E 100,000,000 2014/09/12 2015/04/20 25.0065665 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 U 300,000,000 2014/09/12 2015/06/29 75.0065660 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 C 300,000,000 2014/09/12 2015/07/30 75.0065669 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 D 300,000,000 2014/09/12 2015/07/30 75.00




65702 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 F 300,000,000 2014/09/12 2014/12/30 75.0065698 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 K 300,000,000 2014/09/12 2015/02/26 75.0065657 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC May15 A 100,000,000 2014/09/12 2015/05/28 25.0065656 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 K 200,000,000 2014/09/12 2015/04/29 50.0065650 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 O 200,000,000 2014/09/12 2015/04/29 50.0065689 UBS AG – Cheung Kong R Bull CBBC Sep 2015 A 100,000,000 2014/09/12 2015/09/21 25.0065692 UBS AG – HSI R Bull CBBC Jan 2015 L 300,000,000 2014/09/12 2015/01/29 75.0065694 UBS AG – HSI R Bull CBBC Feb 2015 P 300,000,000 2014/09/12 2015/02/26 75.0065696 UBS AG – HSI R Bull CBBC May 2015 D 300,000,000 2014/09/12 2015/05/28 75.0065680 UBS AG – HSI R Bear CBBC Dec 2014 X 300,000,000 2014/09/12 2014/12/30 75.0065730 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Jun15A 100,000,000 2014/09/15 2015/06/29 25.0065731 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Jun15B 100,000,000 2014/09/15 2015/06/29 25.0065732 Credit Suisse AG – HSI R Bull CBBC Apr 2015 T 238,000,000 2014/09/15 2015/04/29 59.5065738 Credit Suisse AG – HSI R Bull CBBC Apr 2015 U 238,000,000 2014/09/15 2015/04/29 59.5065748 Credit Suisse AG – HSI R Bull CBBC Apr 2015 V 238,000,000 2014/09/15 2015/04/29 59.5065751 Credit Suisse AG – HSI R Bear CBBC Feb 2015 X 238,000,000 2014/09/15 2015/02/26 59.5065753 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Y 238,000,000 2014/09/15 2015/02/26 59.5065723 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2015 J 200,000,000 2014/09/15 2015/04/15 50.0065722 HK Bank – A50 R Bull CBBC Apr 2015 J 200,000,000 2014/09/15 2015/04/13 50.0065717 HK Bank – HSCEI R Bull CBBC Jun 2015 B 100,000,000 2014/09/15 2015/06/29 25.0065725 HK Bank – HSI R Bull CBBC Mar 2015 N 100,000,000 2014/09/15 2015/03/30 25.0065726 HK Bank – HSI R Bull CBBC May 2015 B 100,000,000 2014/09/15 2015/05/28 25.0065716 HK Bank – HSI R Bear CBBC Oct 2015 A 400,000,000 2014/09/15 2015/10/29 104.0065710 J P Morgan SP BV – HSI R Bull CBBC May 2015 X 300,000,000 2014/09/15 2015/05/28 75.0065712 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 E 300,000,000 2014/09/15 2015/07/30 75.0065709 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 G 300,000,000 2014/09/15 2014/12/30 75.0065739 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 G 100,000,000 2014/09/15 2015/03/30 25.0065743 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 H 100,000,000 2014/09/15 2015/03/30 25.0065745 UBS AG – HSI R Bull CBBC Jan 2015 M 300,000,000 2014/09/15 2015/01/29 75.0065747 UBS AG – HSI R Bull CBBC Mar 2015 W 300,000,000 2014/09/15 2015/03/30 75.0065754 UBS AG – HSI R Bear CBBC Dec 2014 Y 300,000,000 2014/09/15 2014/12/30 75.0065755 UBS AG – HSI R Bear CBBC Jan 2015 W 350,000,000 2014/09/15 2015/01/29 87.5065761 Credit Suisse AG – HSI R Bull CBBC Feb 2015 G 238,000,000 2014/09/16 2015/02/26 59.5065792 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Z 238,000,000 2014/09/16 2015/02/26 59.5065770 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 V 300,000,000 2014/09/16 2015/06/29 75.0065773 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 F 300,000,000 2014/09/16 2015/07/30 75.0065765 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 K 300,000,000 2014/09/16 2014/12/30 75.0065778 Macquarie Bank Ltd. – HSI R Bull CBBC Jan 2015 G 50,000,000 2014/09/16 2015/01/29 12.5065785 Standard Chartered Bank – HSBC R Bull CBBC Mar 2015 A 50,000,000 2014/09/16 2015/03/03 12.5065780 Standard Chartered Bank – HSBC R Bear CBBC Feb 2015 A 50,000,000 2014/09/16 2015/02/11 12.5065786 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 14X 200,000,000 2014/09/16 2014/12/30 50.0065787 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 14Y 200,000,000 2014/09/16 2014/12/30 50.0065756 UBS AG – HSI R Bull CBBC Feb 2015 Q 350,000,000 2014/09/16 2015/02/26 87.5065790 UBS AG – HSI R Bear CBBC Dec 2014 E 300,000,000 2014/09/16 2014/12/30 75.0065791 UBS AG – HSI R Bear CBBC Dec 2014 F 300,000,000 2014/09/16 2014/12/30 75.00




69975 # HK Bank – HSI R Bull CBBC Mar 2015 G 250,000,000 2014/09/16 2015/03/30 11.0065816 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 V 200,000,000 2014/09/17 2015/06/29 50.0065907 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 X 200,000,000 2014/09/17 2015/06/29 50.0065901 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 V 200,000,000 2014/09/17 2015/02/26 50.0065904 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 W 200,000,000 2014/09/17 2015/02/26 50.0065823 Credit Suisse AG – HSI R Bull CBBC Jul 2015 A 238,000,000 2014/09/17 2015/07/30 59.5065825 Credit Suisse AG – HSI R Bull CBBC Jul 2015 B 238,000,000 2014/09/17 2015/07/30 59.5065826 Credit Suisse AG – HSI R Bull CBBC Jul 2015 C 238,000,000 2014/09/17 2015/07/30 59.5065830 Credit Suisse AG – HSI R Bull CBBC Jul 2015 D 238,000,000 2014/09/17 2015/07/30 59.5065836 Credit Suisse AG – HSI R Bull CBBC Jul 2015 E 238,000,000 2014/09/17 2015/07/30 59.5065900 Credit Suisse AG – HSI R Bull CBBC Jul 2015 F 238,000,000 2014/09/17 2015/07/30 59.5065934 Credit Suisse AG – HSI R Bear CBBC Dec 2014 A 238,000,000 2014/09/17 2014/12/30 59.5065920 Credit Suisse AG – HSI R Bear CBBC Dec 2014 E 238,000,000 2014/09/17 2014/12/30 59.5065922 Credit Suisse AG – HSI R Bear CBBC Dec 2014 F 238,000,000 2014/09/17 2014/12/30 59.5065933 Credit Suisse AG – HSI R Bear CBBC Dec 2014 I 238,000,000 2014/09/17 2014/12/30 59.5065915 Credit Suisse AG – HSI R Bear CBBC Dec 2014 Y 238,000,000 2014/09/17 2014/12/30 59.5065916 Credit Suisse AG – HSI R Bear CBBC Dec 2014 Z 238,000,000 2014/09/17 2014/12/30 59.5065942 Citigroup Global Mkt H Inc. – Galaxy Ent R Bear CBBC Mar 15E 60,000,000 2014/09/17 2015/03/23 15.0065943 Citigroup Global Mkt H Inc. – Sands China R Bull CBBC Jul15B 60,000,000 2014/09/17 2015/07/09 15.0065944 Citigroup Global Mkt H Inc. – Sands China R Bear CBBC May15C 60,000,000 2014/09/17 2015/05/11 15.0065935 Goldman Sachs SP (Asia) – HSI R Bear CBBC Dec 2014 C 150,000,000 2014/09/17 2014/12/30 38.5565937 Goldman Sachs SP (Asia) – HSI R Bear CBBC Dec 2014 D 150,000,000 2014/09/17 2014/12/30 38.4065799 HK Bank – CSOP A50 ETF R Bull CBBC May 2015 C 200,000,000 2014/09/17 2015/05/11 50.0065798 HK Bank – A50 R Bull CBBC Apr 2015 K 200,000,000 2014/09/17 2015/04/30 50.0065797 HK Bank – A50 R Bull CBBC May 2015 C 200,000,000 2014/09/17 2015/05/11 50.0065795 HK Bank – HSI R Bull CBBC Apr 2015 E 100,000,000 2014/09/17 2015/04/29 25.0065793 HK Bank – HSI R Bull CBBC Jun 2015 D 100,000,000 2014/09/17 2015/06/29 25.0065796 HK Bank – HSI R Bear CBBC May 2015 E 100,000,000 2014/09/17 2015/05/28 25.0065811 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 W 300,000,000 2014/09/17 2015/06/29 75.0065801 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 G 300,000,000 2014/09/17 2015/07/30 75.0065804 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 H 300,000,000 2014/09/17 2015/07/30 75.0065855 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 U 300,000,000 2014/09/17 2014/12/30 75.0065857 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 V 300,000,000 2014/09/17 2014/12/30 75.0065865 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 S 300,000,000 2014/09/17 2015/01/29 75.0065908 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 G 50,000,000 2014/09/17 2015/01/29 12.5065817 Standard Chartered Bank – HSI R Bull CBBC Sep 2015 A 100,000,000 2014/09/17 2015/09/29 25.0065910 Standard Chartered Bank – HSI R Bear CBBC Jan 2015 Q 100,000,000 2014/09/17 2015/01/29 25.0065911 Standard Chartered Bank – HSI R Bear CBBC Jan 2015 R 100,000,000 2014/09/17 2015/01/29 25.0065875 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 A 200,000,000 2014/09/17 2014/12/30 50.0065874 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 C 200,000,000 2014/09/17 2014/12/30 50.0065871 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 Z 200,000,000 2014/09/17 2014/12/30 50.0065897 UBS AG – Cheung Kong R Bull CBBC Jul 2015 A 50,000,000 2014/09/17 2015/07/20 12.7565879 UBS AG – CNOOC R Bull CBBC Oct 2015 B 50,000,000 2014/09/17 2015/10/26 14.7565896 UBS AG – Sinopec Corp R Bull CBBC Oct 2015 A 100,000,000 2014/09/17 2015/10/12 25.0065852 UBS AG – HSI R Bull CBBC Jan 2015 H 350,000,000 2014/09/17 2015/01/29 87.50




65845 UBS AG – HSI R Bull CBBC Mar 2015 X 300,000,000 2014/09/17 2015/03/30 75.0065843 UBS AG – HSI R Bull CBBC Apr 2015 G 300,000,000 2014/09/17 2015/04/29 75.0065914 UBS AG – HSI R Bull CBBC May 2015 E 300,000,000 2014/09/17 2015/05/28 75.0065939 UBS AG – HSI R Bear CBBC Dec 2014 H 300,000,000 2014/09/17 2014/12/30 75.0065941 UBS AG – HSI R Bear CBBC Dec 2014 J 300,000,000 2014/09/17 2014/12/30 75.0065940 UBS AG – HSI R Bear CBBC Jan 2015 X 300,000,000 2014/09/17 2015/01/29 75.0065880 UBS AG – Petrochina R Bull CBBC Oct 2015 A 50,000,000 2014/09/17 2015/10/12 12.5065876 UBS AG – Sands China R Bull CBBC Jul 2015 A 100,000,000 2014/09/17 2015/07/27 25.0065892 UBS AG – TCH R Bull CBBC Jul 2015 F 100,000,000 2014/09/17 2015/07/13 25.0065885 UBS AG – Tencent R Bear CBBC Mar 2015 E 100,000,000 2014/09/17 2015/03/23 25.0066017 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 T 200,000,000 2014/09/18 2015/06/29 50.0066081 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 Y 200,000,000 2014/09/18 2015/02/26 50.0066031 Credit Suisse AG – China Mobile R Bull CBBC Jan 2015 D 50,000,000 2014/09/18 2015/01/30 12.5066036 Credit Suisse AG – China Mobile R Bull CBBC Jan 2015 E 50,000,000 2014/09/18 2015/01/30 12.5066040 Credit Suisse AG – China Mobile R Bear CBBC Jan 2015 F 50,000,000 2014/09/18 2015/01/30 12.5066057 Credit Suisse AG – HSI R Bull CBBC Mar 2015 P 238,000,000 2014/09/18 2015/03/30 59.5066063 Credit Suisse AG – HSI R Bull CBBC Mar 2015 Q 238,000,000 2014/09/18 2015/03/30 59.5066050 Credit Suisse AG – HSI R Bull CBBC Mar 2015 R 238,000,000 2014/09/18 2015/03/30 59.5065992 Credit Suisse AG – HSI R Bear CBBC Jan 2015 B 238,000,000 2014/09/18 2015/01/29 59.5065993 Credit Suisse AG – HSI R Bear CBBC Jan 2015 C 238,000,000 2014/09/18 2015/01/29 59.5065991 Credit Suisse AG – HSI R Bear CBBC Jan 2015 O 238,000,000 2014/09/18 2015/01/29 59.5066077 Credit Suisse AG – HSI R Bear CBBC Jan 2015 P 238,000,000 2014/09/18 2015/01/29 59.5066021 Credit Suisse AG – TCH R Bull CBBC Feb 2015 B 50,000,000 2014/09/18 2015/02/27 12.5066028 Credit Suisse AG – TCH R Bear CBBC Feb 2015 C 50,000,000 2014/09/18 2015/02/27 12.5065969 HK Bank – Galaxy Ent R Bear CBBC Apr 2015 A 60,000,000 2014/09/18 2015/04/13 15.0065973 HK Bank – Great Wall Motor R Bull CBBC Dec 2015 E 40,000,000 2014/09/18 2015/12/31 10.0065946 HK Bank – HSI R Bear CBBC Apr 2015 M 100,000,000 2014/09/18 2015/04/29 25.0065950 HK Bank – HSI R Bear CBBC Apr 2015 N 100,000,000 2014/09/18 2015/04/29 25.0065951 HK Bank – HSI R Bear CBBC Apr 2015 O 100,000,000 2014/09/18 2015/04/29 25.0065971 HK Bank – Kingsoft R Bear CBBC Jul 2015 A 40,000,000 2014/09/18 2015/07/27 20.8065970 HK Bank – Sands China R Bull CBBC Jul 2015 A 80,000,000 2014/09/18 2015/07/06 20.0065956 HK Bank – TCH R Bear CBBC Jul 2015 C 100,000,000 2014/09/18 2015/07/06 25.0065965 HK Bank – TCH R Bear CBBC Jul 2015 D 100,000,000 2014/09/18 2015/07/13 25.0065974 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 X 300,000,000 2014/09/18 2015/06/29 75.0066078 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 W 300,000,000 2014/09/18 2014/12/30 75.0066080 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 X 300,000,000 2014/09/18 2014/12/30 75.0066079 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 T 300,000,000 2014/09/18 2015/01/29 75.0065979 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 H 50,000,000 2014/09/18 2015/01/29 12.5065997 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 C 100,000,000 2014/09/18 2015/03/30 25.0066006 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 U 100,000,000 2014/09/18 2015/02/26 25.0066084 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 B 200,000,000 2014/09/18 2014/12/30 50.0066085 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 D 200,000,000 2014/09/18 2014/12/30 50.0066088 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 E 200,000,000 2014/09/18 2014/12/30 50.0066068 UBS AG – HSI R Bull CBBC Feb 2015 R 350,000,000 2014/09/18 2015/02/26 87.5066067 UBS AG – HSI R Bull CBBC Mar 2015 Y 300,000,000 2014/09/18 2015/03/30 75.00




65980 UBS AG – HSI R Bear CBBC Dec 2014 A 300,000,000 2014/09/18 2014/12/30 75.0066071 UBS AG – HSI R Bear CBBC Dec 2014 I 300,000,000 2014/09/18 2014/12/30 75.0066072 UBS AG – HSI R Bear CBBC Dec 2014 K 300,000,000 2014/09/18 2014/12/30 75.0066076 UBS AG – HSI R Bear CBBC Dec 2014 L 300,000,000 2014/09/18 2014/12/30 75.0066118 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 U 200,000,000 2014/09/19 2015/06/29 50.0066198 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 F 200,000,000 2014/09/19 2015/02/26 50.0066107 Credit Suisse AG – HSI R Bull CBBC May 2015 L 238,000,000 2014/09/19 2015/05/28 59.5066110 Credit Suisse AG – HSI R Bull CBBC May 2015 M 238,000,000 2014/09/19 2015/05/28 59.5066117 Credit Suisse AG – HSI R Bull CBBC May 2015 N 238,000,000 2014/09/19 2015/05/28 59.5066283 Credit Suisse AG – HSI R Bear CBBC Dec 2014 B 238,000,000 2014/09/19 2014/12/30 59.5066284 Credit Suisse AG – HSI R Bear CBBC Dec 2014 D 238,000,000 2014/09/19 2014/12/30 59.5066090 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 I 300,000,000 2014/09/19 2015/07/30 75.0066157 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 J 300,000,000 2014/09/19 2015/07/30 75.0066094 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 A 300,000,000 2014/09/19 2015/08/28 75.0066158 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 H 300,000,000 2014/09/19 2014/12/30 75.0066162 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Y 300,000,000 2014/09/19 2014/12/30 75.0066167 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 U 300,000,000 2014/09/19 2015/01/29 75.0066099 Standard Chartered Bank – China Mobile R Bear CBBC Apr 2015A 50,000,000 2014/09/19 2015/04/13 12.5066100 Standard Chartered Bank – CSOP A50 ETF R Bear CBBC Jun 2015A 50,000,000 2014/09/19 2015/06/29 12.5066101 Standard Chartered Bank – A50 China R Bear CBBC Jun 2015 A 50,000,000 2014/09/19 2015/06/29 12.5066126 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 D 100,000,000 2014/09/19 2015/03/30 25.0066134 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 V 100,000,000 2014/09/19 2015/02/26 25.0066097 Standard Chartered Bank – Lenovo R Bull CBBC Sep 2015 B 50,000,000 2014/09/19 2015/09/09 12.5066102 Standard Chartered Bank – PetCh R Bear CBBC May 2015 B 50,000,000 2014/09/19 2015/05/18 12.5066095 Standard Chartered Bank – Sands China R Bull CBBC Jul 2015 A 50,000,000 2014/09/19 2015/07/15 12.5066096 Standard Chartered Bank – Sands China R Bear CBBC Apr 2015 B 50,000,000 2014/09/19 2015/04/09 12.5066104 Standard Chartered Bank – TCH R Bear CBBC Apr 2015 A 80,000,000 2014/09/19 2015/04/15 20.0066151 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 J 200,000,000 2014/09/19 2015/04/29 50.0066138 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 P 200,000,000 2014/09/19 2015/04/29 50.0066136 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 B 200,000,000 2014/09/19 2015/06/29 50.0066137 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 C 200,000,000 2014/09/19 2015/06/29 50.0066174 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 F 200,000,000 2014/09/19 2014/12/30 50.0066277 UBS AG – HSI R Bull CBBC May 2015 F 300,000,000 2014/09/19 2015/05/28 75.0066281 UBS AG – HSI R Bull CBBC Jun 2015 D 300,000,000 2014/09/19 2015/06/29 75.0066224 UBS AG – HSI R Bear CBBC Dec 2014 B 300,000,000 2014/09/19 2014/12/30 75.0066232 UBS AG – HSI R Bear CBBC Dec 2014 N 300,000,000 2014/09/19 2014/12/30 75.0066510 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 X 200,000,000 2014/09/22 2015/02/26 50.0066491 Credit Suisse AG – A50 China R Bull CBBC Feb 2015 A 50,000,000 2014/09/22 2015/02/27 12.5066492 Credit Suisse AG – A50 China R Bull CBBC Feb 2015 B 50,000,000 2014/09/22 2015/02/27 12.5066494 Credit Suisse AG – A50 China R Bull CBBC Feb 2015 C 50,000,000 2014/09/22 2015/02/27 12.5066304 Credit Suisse AG – HSI R Bull CBBC Apr 2015 W 238,000,000 2014/09/22 2015/04/29 59.5066308 Credit Suisse AG – HSI R Bull CBBC Apr 2015 X 238,000,000 2014/09/22 2015/04/29 59.5066317 Credit Suisse AG – HSI R Bull CBBC Apr 2015 Y 238,000,000 2014/09/22 2015/04/29 59.5066554 Credit Suisse AG – HSI R Bear CBBC Dec 2014 H 238,000,000 2014/09/22 2014/12/30 59.5066565 Credit Suisse AG – HSI R Bear CBBC Dec 2014 J 238,000,000 2014/09/22 2014/12/30 59.50




66568 Credit Suisse AG – HSI R Bear CBBC Dec 2014 K 238,000,000 2014/09/22 2014/12/30 59.5066570 Citigroup Global Mkt H Inc. – Sinopec Corp R Bear CBBC Apr15C 60,000,000 2014/09/22 2015/04/23 15.0066592 Citigroup Global Mkt H Inc. – Galaxy Ent R Bear CBBC Mar15 F 60,000,000 2014/09/22 2015/03/23 15.0066596 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 D 150,000,000 2014/09/22 2014/12/30 40.6566599 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 E 150,000,000 2014/09/22 2014/12/30 37.9566604 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 F 150,000,000 2014/09/22 2014/12/30 40.6566593 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 B 150,000,000 2014/09/22 2015/01/29 38.8566286 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 K 300,000,000 2014/09/22 2015/07/30 75.0066287 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 L 300,000,000 2014/09/22 2015/07/30 75.0066455 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 I 300,000,000 2014/09/22 2014/12/30 75.0066475 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Q 300,000,000 2014/09/22 2014/12/30 75.0066443 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 V 300,000,000 2014/09/22 2015/01/29 75.0066511 Standard Chartered Bank – Galaxy Ent R Bull CBBC Jul 2015 A 50,000,000 2014/09/22 2015/07/03 12.5066533 Standard Chartered Bank – Galaxy Ent R Bear CBBC Mar 2015 B 50,000,000 2014/09/22 2015/03/03 12.5066331 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 J 100,000,000 2014/09/22 2015/08/28 25.0066342 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 W 100,000,000 2014/09/22 2015/02/26 25.0066534 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 X 100,000,000 2014/09/22 2015/02/26 25.0066349 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Apr15C 100,000,000 2014/09/22 2015/04/29 25.0066361 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Apr15B 100,000,000 2014/09/22 2015/04/29 25.0066292 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 I 200,000,000 2014/09/22 2015/04/29 50.0066290 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 L 200,000,000 2014/09/22 2015/04/29 50.0066411 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 D 200,000,000 2014/09/22 2015/06/29 50.0066421 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 E 200,000,000 2014/09/22 2015/06/29 50.0066435 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 F 200,000,000 2014/09/22 2015/06/29 50.0066436 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 G 200,000,000 2014/09/22 2014/12/30 50.0066348 UBS AG – HSI R Bull CBBC Jan 2015 U 350,000,000 2014/09/22 2015/01/29 87.5066345 UBS AG – HSI R Bull CBBC Mar 2015 Z 300,000,000 2014/09/22 2015/03/30 75.0066545 UBS AG – HSI R Bear CBBC Dec 2014 O 300,000,000 2014/09/22 2014/12/30 75.0066552 UBS AG – HSI R Bear CBBC Dec 2014 P 300,000,000 2014/09/22 2014/12/30 75.0066720 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 S 200,000,000 2014/09/23 2015/06/29 50.0066730 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Y 200,000,000 2014/09/23 2015/06/29 50.0066892 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 I 200,000,000 2014/09/23 2015/02/26 50.0066914 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 Q 200,000,000 2014/09/23 2015/02/26 50.0066737 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 Z 200,000,000 2014/09/23 2015/02/26 50.0066749 Credit Suisse AG – HSI R Bull CBBC May 2015 O 238,000,000 2014/09/23 2015/05/28 59.5066752 Credit Suisse AG – HSI R Bull CBBC May 2015 P 238,000,000 2014/09/23 2015/05/28 59.5066777 Credit Suisse AG – HSI R Bull CBBC Jun 2015 M 238,000,000 2014/09/23 2015/06/29 59.5066780 Credit Suisse AG – HSI R Bull CBBC Jun 2015 N 238,000,000 2014/09/23 2015/06/29 59.5066783 Credit Suisse AG – HSI R Bull CBBC Jun 2015 O 238,000,000 2014/09/23 2015/06/29 59.5066816 Credit Suisse AG – HSI R Bear CBBC Jan 2015 Q 238,000,000 2014/09/23 2015/01/29 59.5066817 Credit Suisse AG – HSI R Bear CBBC Jan 2015 V 238,000,000 2014/09/23 2015/01/29 59.5066830 Credit Suisse AG – HSI R Bear CBBC Jan 2015 W 238,000,000 2014/09/23 2015/01/29 59.5066831 Credit Suisse AG – HSI R Bear CBBC Jan 2015 X 238,000,000 2014/09/23 2015/01/29 59.5066753 Credit Suisse AG – HSI R Bear CBBC May 2015 A 238,000,000 2014/09/23 2015/05/28 59.5066772 Credit Suisse AG – HSI R Bear CBBC May 2015 B 238,000,000 2014/09/23 2015/05/28 59.50




66919 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15Q 80,000,000 2014/09/23 2015/04/24 20.0066920 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15R 80,000,000 2014/09/23 2015/04/24 20.0066606 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 Y 300,000,000 2014/09/23 2015/06/29 75.0066664 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 Z 300,000,000 2014/09/23 2015/06/29 75.0066681 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 M 300,000,000 2014/09/23 2015/07/30 75.0066877 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 N 300,000,000 2014/09/23 2015/07/30 75.0066887 J P Morgan SP BV – HSI R Bear CBBC Dec 2014 Z 300,000,000 2014/09/23 2014/12/30 75.0066691 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 W 300,000,000 2014/09/23 2015/01/29 75.0066921 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 X 300,000,000 2014/09/23 2015/01/29 75.0066694 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 I 50,000,000 2014/09/23 2015/01/29 12.5066743 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 K 100,000,000 2014/09/23 2015/08/28 25.0066740 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 Y 100,000,000 2014/09/23 2015/02/26 25.0066741 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 Z 100,000,000 2014/09/23 2015/02/26 25.0066701 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 G 200,000,000 2014/09/23 2015/04/29 50.0066707 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 H 200,000,000 2014/09/23 2014/12/30 50.0066709 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 I 200,000,000 2014/09/23 2014/12/30 50.0066843 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 J 200,000,000 2014/09/23 2014/12/30 50.0066796 UBS AG – HSI R Bull CBBC Mar 2015 A 300,000,000 2014/09/23 2015/03/30 75.0066801 UBS AG – HSI R Bull CBBC Apr 2015 H 300,000,000 2014/09/23 2015/04/29 75.0066867 UBS AG – HSI R Bear CBBC Dec 2014 Q 300,000,000 2014/09/23 2014/12/30 75.0066864 UBS AG – HSI R Bear CBBC Jan 2015 A 300,000,000 2014/09/23 2015/01/29 75.0066853 UBS AG – HSI R Bear CBBC Jan 2015 Z 300,000,000 2014/09/23 2015/01/29 75.0067164 BNP Paribas Arbit Issu B.V. – TCH R Bull CBBC Jun 2015 A 100,000,000 2014/09/24 2015/06/29 25.0067166 Credit Suisse AG – HSI R Bull CBBC May 2015 Q 238,000,000 2014/09/24 2015/05/28 59.5067173 Credit Suisse AG – HSI R Bull CBBC May 2015 R 238,000,000 2014/09/24 2015/05/28 59.5067193 Credit Suisse AG – HSI R Bull CBBC May 2015 S 238,000,000 2014/09/24 2015/05/28 59.5067204 Credit Suisse AG – HSI R Bull CBBC May 2015 T 238,000,000 2014/09/24 2015/05/28 59.5067090 Credit Suisse AG – HSI R Bear CBBC Dec 2014 G 238,000,000 2014/09/24 2014/12/30 59.5067095 Credit Suisse AG – HSI R Bear CBBC Dec 2014 L 238,000,000 2014/09/24 2014/12/30 59.5067102 Credit Suisse AG – HSI R Bear CBBC Dec 2014 M 238,000,000 2014/09/24 2014/12/30 59.5067109 Credit Suisse AG – HSI R Bear CBBC Dec 2014 N 238,000,000 2014/09/24 2014/12/30 59.5066992 HK Bank – CNOOC R Bear CBBC Jul 2015 A 40,000,000 2014/09/24 2015/07/27 10.0066989 HK Bank – Sinopec Corp R Bull CBBC Jun 2015 A 80,000,000 2014/09/24 2015/06/29 20.0067006 HK Bank – Galaxy Ent R Bull CBBC Jul 2015 A 80,000,000 2014/09/24 2015/07/14 20.0067007 HK Bank – Galaxy Ent R Bull CBBC Jul 2015 B 80,000,000 2014/09/24 2015/07/28 20.0067000 HK Bank – Galaxy Ent R Bear CBBC Jul 2015 B 60,000,000 2014/09/24 2015/07/27 15.0066971 HK Bank – HSCEI R Bear CBBC Apr 2015 B 68,000,000 2014/09/24 2015/04/29 17.0066922 HK Bank – HSCEI R Bear CBBC May 2015 D 68,000,000 2014/09/24 2015/05/28 17.0066930 HK Bank – HSI R Bear CBBC Mar 2015 P 100,000,000 2014/09/24 2015/03/30 25.0066941 HK Bank – HSI R Bear CBBC Mar 2015 Q 100,000,000 2014/09/24 2015/03/30 25.0066957 HK Bank – HSI R Bear CBBC Mar 2015 R 100,000,000 2014/09/24 2015/03/30 25.0066970 HK Bank – HSI R Bear CBBC Mar 2015 S 100,000,000 2014/09/24 2015/03/30 25.0067029 HK Bank – ICBC R Bear CBBC Apr 2015 B 40,000,000 2014/09/24 2015/04/30 10.0067018 HK Bank – Sands China R Bull CBBC Jul 2015 B 80,000,000 2014/09/24 2015/07/13 20.0067009 HK Bank – Sands China R Bear CBBC May 2015 B 60,000,000 2014/09/24 2015/05/04 15.00




67140 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 O 300,000,000 2014/09/24 2015/07/30 75.0067138 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 B 300,000,000 2014/09/24 2015/08/28 75.0067033 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 Y 300,000,000 2014/09/24 2015/01/29 75.0067266 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 Z 300,000,000 2014/09/24 2015/01/29 75.0067031 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 L 300,000,000 2014/09/24 2015/02/26 75.0067237 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 M 300,000,000 2014/09/24 2015/02/26 75.0067144 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 L 100,000,000 2014/09/24 2015/08/28 25.0067143 Standard Chartered Bank – Sands China R Bear CBBC May 2015 A 50,000,000 2014/09/24 2015/05/11 12.5067111 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 Q 200,000,000 2014/09/24 2015/04/29 50.0067112 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 R 200,000,000 2014/09/24 2015/04/29 50.0067078 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 K 200,000,000 2014/09/24 2014/12/30 50.0067081 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec14 L 200,000,000 2014/09/24 2014/12/30 50.0067089 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 B 400,000,000 2014/09/24 2015/03/30 100.0067128 UBS AG – Sinopec Corp R Bull CBBC Jun 2015 A 100,000,000 2014/09/24 2015/06/22 25.0067130 UBS AG – Galaxy Ent R Bull CBBC Oct 2015 A 100,000,000 2014/09/24 2015/10/05 25.0067129 UBS AG – Galaxy Ent R Bear CBBC Jan 2015 A 100,000,000 2014/09/24 2015/01/26 25.0067234 UBS AG – HSI R Bull CBBC Jan 2015 S 300,000,000 2014/09/24 2015/01/29 75.0067212 UBS AG – HSI R Bull CBBC May 2015 G 300,000,000 2014/09/24 2015/05/28 75.0067050 UBS AG – HSI R Bear CBBC Jan 2015 B 300,000,000 2014/09/24 2015/01/29 75.0067048 UBS AG – HSI R Bear CBBC Jan 2015 C 300,000,000 2014/09/24 2015/01/29 75.0067061 UBS AG – HSI R Bear CBBC Jan 2015 D 300,000,000 2014/09/24 2015/01/29 75.0067071 UBS AG – HSI R Bear CBBC Jan 2015 E 300,000,000 2014/09/24 2015/01/29 75.0067133 UBS AG – Hutchison R Bull CBBC Sep 2015 A 100,000,000 2014/09/24 2015/09/21 25.0067122 UBS AG – Petrochina R Bull CBBC Jun 2015 A 50,000,000 2014/09/24 2015/06/29 12.5067114 UBS AG – Sands China R Bull CBBC Jul 2015 B 100,000,000 2014/09/24 2015/07/06 25.0067113 UBS AG – Sands China R Bear CBBC Jan 2015 A 100,000,000 2014/09/24 2015/01/26 25.0067372 Credit Suisse AG – HSI R Bull CBBC Feb 2015 A 238,000,000 2014/09/25 2015/02/26 59.5067368 Credit Suisse AG – HSI R Bull CBBC Feb 2015 B 238,000,000 2014/09/25 2015/02/26 59.5067398 Credit Suisse AG – HSI R Bear CBBC Dec 2014 R 238,000,000 2014/09/25 2014/12/30 59.5067402 Credit Suisse AG – HSI R Bear CBBC Dec 2014 S 238,000,000 2014/09/25 2014/12/30 59.5067346 HK Bank – Sinopec Corp R Bear CBBC Apr 2015 D 40,000,000 2014/09/25 2015/04/20 10.0067306 HK Bank – Galaxy Ent R Bull CBBC Jul 2015 C 80,000,000 2014/09/25 2015/07/21 20.0067328 HK Bank – Galaxy Ent R Bull CBBC Aug 2015 A 80,000,000 2014/09/25 2015/08/03 20.0067289 HK Bank – HSCEI R Bear CBBC May 2015 E 68,000,000 2014/09/25 2015/05/28 17.0067293 HK Bank – HSI R Bear CBBC May 2015 F 100,000,000 2014/09/25 2015/05/28 25.0067298 HK Bank – HSI R Bear CBBC May 2015 G 100,000,000 2014/09/25 2015/05/28 25.0067300 HK Bank – HSI R Bear CBBC May 2015 H 100,000,000 2014/09/25 2015/05/28 25.0067345 HK Bank – Sands China R Bull CBBC Jul 2015 C 80,000,000 2014/09/25 2015/07/20 20.0067344 HK Bank – Sands China R Bear CBBC May 2015 C 60,000,000 2014/09/25 2015/05/11 15.0067274 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 A 300,000,000 2014/09/25 2015/06/29 75.0067407 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 N 300,000,000 2014/09/25 2015/02/26 75.0067406 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 J 50,000,000 2014/09/25 2015/01/29 12.5067386 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 A 100,000,000 2014/09/25 2015/02/26 25.0067348 UBS AG – HSI R Bull CBBC Feb 2015 Y 300,000,000 2014/09/25 2015/02/26 75.0067352 UBS AG – HSI R Bull CBBC Feb 2015 Z 300,000,000 2014/09/25 2015/02/26 75.00




67365 UBS AG – HSI R Bull CBBC Mar 2015 F 350,000,000 2014/09/25 2015/03/30 87.5067395 UBS AG – HSI R Bear CBBC Feb 2015 K 350,000,000 2014/09/25 2015/02/26 87.5067577 Credit Suisse AG – HSI R Bull CBBC Mar 2015 W 238,000,000 2014/09/26 2015/03/30 59.5067580 Credit Suisse AG – HSI R Bull CBBC Mar 2015 Y 238,000,000 2014/09/26 2015/03/30 59.5067527 Credit Suisse AG – HSI R Bear CBBC Jan 2015 Y 238,000,000 2014/09/26 2015/01/29 59.5067530 Credit Suisse AG – HSI R Bear CBBC Jan 2015 Z 238,000,000 2014/09/26 2015/01/29 59.5067583 Bank of East Asia – Galaxy Ent R Bull CBBC Jun 2015 B 100,000,000 2014/09/26 2015/06/30 25.0067585 Bank of East Asia – HKEx R Bull CBBC Sep 2015 A 40,000,000 2014/09/26 2015/09/25 10.0067586 Bank of East Asia – Ping An R Bull CBBC Sep 2015 A 80,000,000 2014/09/26 2015/09/22 20.0067615 Bank of East Asia – Sands China R Bull CBBC Apr 2015 A 100,000,000 2014/09/26 2015/04/27 25.0067616 Bank of East Asia – Sands China R Bear CBBC Apr 2015 A 100,000,000 2014/09/26 2015/04/27 25.0067526 HK Bank – BOCL R Bull CBBC Aug 2015 A 80,000,000 2014/09/26 2015/08/03 20.0067413 HK Bank – Minsheng Bank R Bull CBBC Sep 2015 A 40,000,000 2014/09/26 2015/09/30 10.0067408 HK Bank – HSI R Bear CBBC Apr 2015 P 100,000,000 2014/09/26 2015/04/29 25.0067409 HK Bank – HSI R Bear CBBC May 2015 I 400,000,000 2014/09/26 2015/05/28 100.0067500 HK Bank – Hutchison R Bull CBBC Jun 2015 D 60,000,000 2014/09/26 2015/06/22 15.0067502 HK Bank – Hutchison R Bull CBBC Jun 2015 E 60,000,000 2014/09/26 2015/06/29 15.0067520 HK Bank – Hutchison R Bull CBBC Jul 2015 B 60,000,000 2014/09/26 2015/07/06 15.0067490 HK Bank – Kingsoft R Bull CBBC Sep 2015 C 50,000,000 2014/09/26 2015/09/30 34.0067410 HK Bank – PetCh R Bear CBBC Aug 2015 A 40,000,000 2014/09/26 2015/08/03 10.0067553 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 A 300,000,000 2014/09/26 2015/01/29 75.0067552 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 O 300,000,000 2014/09/26 2015/02/26 75.0067559 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 P 300,000,000 2014/09/26 2015/02/26 75.0067562 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 A 400,000,000 2014/09/26 2015/05/28 100.0067568 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 B 400,000,000 2014/09/26 2015/05/28 100.0067569 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 L 400,000,000 2014/09/26 2015/02/26 100.0067575 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 M 400,000,000 2014/09/26 2015/02/26 100.0067533 UBS AG – HSI R Bear CBBC Dec 2014 V 300,000,000 2014/09/26 2014/12/30 75.0067738 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 J 200,000,000 2014/09/29 2015/06/29 50.0067739 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Z 200,000,000 2014/09/29 2015/06/29 50.0067966 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Feb 2015 J 200,000,000 2014/09/29 2015/02/26 50.0068014 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 A 200,000,000 2014/09/29 2015/03/30 50.0067767 Credit Suisse AG – HSI R Bull CBBC Apr 2015 C 238,000,000 2014/09/29 2015/04/29 59.5067769 Credit Suisse AG – HSI R Bull CBBC Apr 2015 D 238,000,000 2014/09/29 2015/04/29 59.5067771 Credit Suisse AG – HSI R Bull CBBC Apr 2015 E 238,000,000 2014/09/29 2015/04/29 59.5067762 Credit Suisse AG – HSI R Bull CBBC Apr 2015 Z 238,000,000 2014/09/29 2015/04/29 59.5067989 Credit Suisse AG – HSI R Bear CBBC Dec 2014 T 238,000,000 2014/09/29 2014/12/30 59.5068002 Credit Suisse AG – HSI R Bear CBBC Dec 2014 U 238,000,000 2014/09/29 2014/12/30 59.5068005 Credit Suisse AG – HSI R Bear CBBC Dec 2014 W 238,000,000 2014/09/29 2014/12/30 59.5067818 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 G 150,000,000 2014/09/29 2014/12/30 48.6067823 Goldman Sachs SP (Asia) – HSI R Bull CBBC Dec 2014 H 150,000,000 2014/09/29 2014/12/30 54.9067838 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 A 150,000,000 2014/09/29 2015/01/29 49.9567892 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 C 150,000,000 2014/09/29 2015/01/29 39.6067643 HK Bank – China Mobile R Bear CBBC Jun 2015 A 60,000,000 2014/09/29 2015/06/30 15.0067622 HK Bank – China Life R Bear CBBC May 2015 A 50,000,000 2014/09/29 2015/05/04 15.00




67618 HK Bank – CNOOC R Bull CBBC Jul 2015 C 60,000,000 2014/09/29 2015/07/13 19.2067631 HK Bank – Galaxy Ent R Bull CBBC Jul 2015 D 80,000,000 2014/09/29 2015/07/23 20.0067626 HK Bank – HSI R Bull CBBC Mar 2015 O 100,000,000 2014/09/29 2015/03/30 25.0067619 HK Bank – ICBC R Bull CBBC Aug 2015 A 80,000,000 2014/09/29 2015/08/03 20.0067642 HK Bank – Sands China R Bull CBBC Jun 2015 A 80,000,000 2014/09/29 2015/06/30 20.0067629 HK Bank – TCH R Bull CBBC Jun 2015 G 100,000,000 2014/09/29 2015/06/18 25.0067710 J P Morgan SP BV – HSI R Bull CBBC May 2015 Y 300,000,000 2014/09/29 2015/05/28 75.0067706 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 P 300,000,000 2014/09/29 2015/07/30 75.0067727 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 Q 300,000,000 2014/09/29 2015/07/30 75.0067900 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Q 300,000,000 2014/09/29 2015/02/26 75.0068117 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 R 300,000,000 2014/09/29 2015/02/26 75.0067927 Macquarie Bank Ltd. – HSI R Bear CBBC Jan 2015 K 50,000,000 2014/09/29 2015/01/29 12.5067907 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 A 50,000,000 2014/09/29 2015/02/26 12.5067736 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 U 100,000,000 2014/09/29 2015/06/29 25.0067901 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 D 100,000,000 2014/09/29 2015/02/26 25.0067704 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 S 200,000,000 2014/09/29 2015/04/29 50.0067655 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 C 200,000,000 2014/09/29 2015/05/28 50.0067679 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 D 200,000,000 2014/09/29 2015/05/28 50.0067684 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 E 200,000,000 2014/09/29 2015/05/28 50.0067956 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 A 400,000,000 2014/09/29 2015/07/30 100.0067960 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 B 400,000,000 2014/09/29 2015/07/30 100.0067963 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 K 200,000,000 2014/09/29 2015/01/29 50.0068079 UBS AG – BOCL R Bear CBBC Apr 2015 A 100,000,000 2014/09/29 2015/04/20 25.0068109 UBS AG – Sinopec Corp R Bull CBBC Oct 2015 B 100,000,000 2014/09/29 2015/10/19 25.0068106 UBS AG – CSOP A50 ETF R Bear CBBC Jan 2015 A 100,000,000 2014/09/29 2015/01/26 25.0068103 UBS AG – A50 China R Bear CBBC Feb 2015 A 100,000,000 2014/09/29 2015/02/09 25.0068116 UBS AG – HSBC R Bear CBBC Mar 2015 A 100,000,000 2014/09/29 2015/03/23 25.0068052 UBS AG – HSCEI R Bear CBBC Jan 2015 D 100,000,000 2014/09/29 2015/01/29 25.0067814 UBS AG – HSI R Bull CBBC Jan 2015 T 350,000,000 2014/09/29 2015/01/29 87.5067774 UBS AG – HSI R Bull CBBC Mar 2015 G 300,000,000 2014/09/29 2015/03/30 75.0067783 UBS AG – HSI R Bull CBBC Apr 2015 I 300,000,000 2014/09/29 2015/04/29 75.0068077 UBS AG – HSI R Bull CBBC Apr 2015 J 300,000,000 2014/09/29 2015/04/29 75.0068067 UBS AG – HSI R Bull CBBC May 2015 H 300,000,000 2014/09/29 2015/05/28 75.0068072 UBS AG – HSI R Bull CBBC Jun 2015 E 300,000,000 2014/09/29 2015/06/29 75.0068034 UBS AG – HSI R Bear CBBC Jan 2015 G 300,000,000 2014/09/29 2015/01/29 75.0068051 UBS AG – HSI R Bear CBBC Feb 2015 L 300,000,000 2014/09/29 2015/02/26 75.0068092 UBS AG – Kingsoft R Bull CBBC Jun 2016 A 50,000,000 2014/09/29 2016/06/20 12.5068177 # SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec14 O 200,000,000 2014/09/29 2014/12/30 13.0068188 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 I 200,000,000 2014/09/30 2015/06/29 50.0068164 Credit Suisse AG – HSI R Bull CBBC Jun 2015 P 238,000,000 2014/09/30 2015/06/29 59.5068166 Credit Suisse AG – HSI R Bull CBBC Jun 2015 Q 238,000,000 2014/09/30 2015/06/29 59.5068216 Credit Suisse AG – HSI R Bear CBBC Feb 2015 A 238,000,000 2014/09/30 2015/02/26 59.5068225 Credit Suisse AG – HSI R Bear CBBC Feb 2015 B 238,000,000 2014/09/30 2015/02/26 59.5068222 Credit Suisse AG – HSI R Bear CBBC Feb 2015 E 238,000,000 2014/09/30 2015/02/26 59.5068239 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC Mar15A 100,000,000 2014/09/30 2015/03/30 25.00




68240 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Mar 15 B 100,000,000 2014/09/30 2015/03/30 25.0068211 Bank of East Asia – China Life R Bull CBBC Sep 2015 A 40,000,000 2014/09/30 2015/09/18 10.0068190 Bank of East Asia – Galaxy Ent R Bear CBBC Jun 2015 A 60,000,000 2014/09/30 2015/06/26 15.0068203 Bank of East Asia – TCH R Bull CBBC Aug 2015 B 40,000,000 2014/09/30 2015/08/24 10.0068158 HK Bank – CC Bank R Bull CBBC Aug 2015 C 80,000,000 2014/09/30 2015/08/10 20.0068154 HK Bank – A50 R Bear CBBC Sep 2015 A 50,000,000 2014/09/30 2015/09/29 12.5068153 HK Bank – HSCEI R Bear CBBC May 2015 F 68,000,000 2014/09/30 2015/05/28 17.0068130 HK Bank – HSI R Bull CBBC Jun 2015 E 400,000,000 2014/09/30 2015/06/29 100.0068136 HK Bank – HSI R Bull CBBC Jun 2015 F 400,000,000 2014/09/30 2015/06/29 100.0068138 HK Bank – HSI R Bull CBBC Jun 2015 G 400,000,000 2014/09/30 2015/06/29 100.0068127 HK Bank – HSI R Bear CBBC May 2015 J 100,000,000 2014/09/30 2015/05/28 25.0068155 HK Bank – TCH R Bear CBBC Jul 2015 E 100,000,000 2014/09/30 2015/07/20 25.0068121 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 C 300,000,000 2014/09/30 2015/06/29 75.0068241 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 S 300,000,000 2014/09/30 2015/02/26 75.0068242 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/09/30 2015/02/26 75.0068189 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 M 100,000,000 2014/09/30 2015/08/28 25.0068163 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 G 100,000,000 2014/09/30 2015/02/26 25.0068181 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 M 200,000,000 2014/09/30 2015/04/29 50.0068185 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 L 200,000,000 2014/09/30 2015/01/29 50.0068169 UBS AG – HSI R Bull CBBC May 2015 I 300,000,000 2014/09/30 2015/05/28 75.0068172 UBS AG – HSI R Bull CBBC May 2015 J 300,000,000 2014/09/30 2015/05/28 75.0068179 UBS AG – HSI R Bull CBBC May 2015 K 300,000,000 2014/09/30 2015/05/28 75.0068227 UBS AG – HSI R Bear CBBC Jan 2015 H 300,000,000 2014/09/30 2015/01/29 75.0068229 UBS AG – HSI R Bear CBBC Jan 2015 J 300,000,000 2014/09/30 2015/01/29 75.00Total 111,530.32

# Further issue

DR/ELI/Trading Only Stocks Trading Statistics


Depositary Receipt Trading Statistics

No. of issues Turnover value (HK$ mil.)

2013 Q3 4 7.69 Q4 4 5.782014 Q1 5 276.71 Q2 5 68.00 Q3 4 24.18

Equity Linked Instrument Trading Statistics


2013 Q3 – – Q4 – –2014 Q1 – – Q2 – – Q3 – –

NASDAQ Stocks


2013 Q3 7 0.08 Q4 7 0.032014 Q1 7 0.39 Q2 7 1.28 Q3 7 0.63

iShares


2013 Q3 2 – Q4 2 –2014 Q1 2 – Q2 2 – Q3 2 –

GEM Equities


Equity Turnover – GEM

Share (Mil. shs) Value (HK$ mil.) No. of deals

2013 Q3 56,706.88 18,446.55 542,526 Q4 78,234.46 32,626.67 914,2052014 Q1 108,376.84 63,841.30 1,599,170 Q2 80,562.77 28,231.96 844,565 Q3 91,704.03 39,161.42 1,013,981

Equity Trading Statistics – GEM

No. of Average daily turnover Average value trading days (HK$ mil.) per deal

2013 Q3 63 292.80 34,001 Q4 62 526.24 35,6892014 Q1 61 1,046.58 39,922 Q2 60 470.53 33,428 Q3 64 611.90 38,621

20 Most Advanced GEM Stocksfor 3rd quarter 2014

Closing priceRank Code Stock End of Sep 2014 End of Jun 2014 % up

1 08202 INNO-TECH HOLD 0.300 0.085 252.94 2 08309 RUNWAY GLOBAL 2.780 0.820 239.02 3 08117 CHINA P RES 1.000 0.330 203.03 4 08055 CHI E-LEARNING 0.490 0.166 195.18 5 08201 PPS INT’L 2.020 0.900 124.44 6 08148 AURUM PACIFIC 0.790 0.355 122.54 7 08060 GLOBAL LINK 0.220 0.102 115.69 8 08193 GC PRO SER 0.790 0.387 A 104.13 9 08007 DIGITALHONGKONG 2.020 1.020 98.04 10 08066 PHOENITRON HOLD 0.242 0.124 95.16 11 08165 JIAN EPAYMENT 0.116 0.063 A 84.13 12 08003 GREAT WORLD 0.131 0.072 81.94 13 08123 FIRST CHINA NET 0.550 0.305 80.33 14 08112 FOCUS MEDIA 0.900 0.500 80.00 15 08256 NETEL 0.217 0.121 79.34 16 08046 HENG XIN CHINA 0.220 0.127 73.23 17 08081 CMG CUL INV 0.233 0.135 72.59 18 08019 HAO WEN HLDGS 0.300 0.174 72.41 19 08018 FINSOFT CORP 2.310 1.370 68.61 20 08311 PERFECT OPT 3.140 1.870 67.91

A Adjusted

GEM Equities


20 Most Declined GEM Stocksfor 3rd quarter 2014

Closing priceRank Code Stock End of Sep 2014 End of Jun 2014 % down

1 08063 WELL WAY GP 0.350 0.750 -53.33 2 08078 CHINA3D-NEW 0.049 0.100 A -51.00 3 08212 CELEBRATE INT 0.147 0.289 A -49.13 4 08225 VENTUREPHARM 0.184 0.345 -46.67 5 08198 MELCOLOT 0.730 1.360 -46.32 6 08021 WLS HOLDINGS 0.186 0.344 A -45.93 7 08071 CH NETCOMTECH 0.157 0.290 -45.86 8 08295 ASIAN CAPITAL H 0.195 0.355 -45.07 9 08163 MERDEKAMOBILE 0.227 0.400 A -43.25 10 08072 ROMA GROUP 0.013 0.021 -38.10 11 08150 SEAMLESS GREEN 0.500 0.800 -37.50 12 08006 SINO SPLENDID 2.560 3.890 -34.19 13 08108 FAVA INT’L 0.215 0.325 -33.85 14 08050 YUNBO DIGITAL 4.000 5.940 -32.66 15 08192 GLOBAL ENERGY 0.194 0.280 -30.71 16 08215 FIRST CREDIT 0.063 0.090 -30.00 17 08255 CHINA BINARY 1.290 1.840 -29.89 18 08200 SAU SAN TONG 0.136 0.190 A -28.42 19 08135 ZMFY GLASS 1.190 1.650 -27.88 20 08206 C COMM TELE SER 0.390 0.540 -27.78

A Adjusted

GEM Equities


20 Most Active GEM Stocks by Valuefor 3rd quarter 2014

Rank Code Stock Turnover (HK$ mil.) % of total

1 08083 INNOVATIONPAY 3,690.08 9.42 2 08002 IGG 3,283.70 8.39 3 08047 SKY FOREVER 2,381.01 6.08 4 08292 HC INTL 2,166.85 5.53 5 08201 PPS INT’L 1,670.05 4.26 6 08018 FINSOFT CORP 1,184.17 3.02 7 08078 CHINA3D-NEW 1,114.14 2.84 8 08123 FIRST CHINA NET 1,083.98 2.77 9 08207 CREDIT CHINA 909.79 2.32 10 08138 TONGRENTANGCM 683.67 1.75 11 08325 CHINA SMARTPAY 670.56 1.71 12 08055 CHI E-LEARNING 646.52 1.65 13 08311 PERFECT OPT 612.92 1.57 14 08156 CHINA VANGUARD 601.36 1.54 15 08081 CMG CUL INV 566.60 1.45 16 08132 CHINAOILGANGRAN 546.85 1.40 17 08032 VIVA CHINA 539.92 1.38 18 08321 C AUTO INT DECO 502.90 1.28 19 08009 CHI ENGY HOLD 495.87 1.27 20 08050 YUNBO DIGITAL 478.86 1.22

Total 23,829.79 60.85

GEM Equities


20 Most Active GEM Stock by Sharesfor 3rd quarter 2014

Rank Code Stock Turnover (Mil. shs) % of total

1 08072 ROMA GROUP 14,957.86 16.31 2 08078 CHINA3D-NEW 8,245.27 8.99 3 08083 INNOVATIONPAY 4,720.16 5.15 4 08132 CHINAOILGANGRAN 4,225.81 4.61 5 08163 MERDEKAMOBILE 4,161.84 4.54 6 08081 CMG CUL INV 2,742.87 2.99 7 08123 FIRST CHINA NET 2,507.09 2.73 8 08009 CHI ENGY HOLD 2,068.49 2.26 9 08215 FIRST CREDIT 1,850.07 2.02 10 08100 M DREAM INWORLD 1,846.95 2.01 11 08047 SKY FOREVER 1,763.84 1.92 12 08055 CHI E-LEARNING 1,453.62 1.59 13 08212 CELEBRATE INT 1,393.48 1.52 14 08019 HAO WEN HLDGS 1,272.57 1.39 15 08158 CHINA BIO-MED 1,271.21 1.39 16 08266 GOLD TAT GP 1,240.24 1.35 17 08269 WEALTH GLORY 1,190.08 1.30 18 08021 WLS HOLDINGS 1,133.61 1.24 19 08120 ORI UNICORN 1,122.75 1.22 20 08201 PPS INT’L 1,070.56 1.17

Total 60,238.39 65.69

GEM Equities


Market Capitalisation of Listed Companies for GEMas at the quarter end

HK$ mil.

2013 Q3 119,020.80 Q4 134,002.062014 Q1 172,776.82 Q2 164,166.52 Q3 180,171.37

Market Capitalisation by Hang Seng Industry Classification System* – GEMQuarter-end figures

* Hang Seng Industry Classification System (HSICS) is provided by Hang Seng Indexes Company Limited.

Note: New Hang Seng Industry Classification System took effect on 9 September 2013.

Properties & Construction(1.79%)

Financials(10.78%)

Telecommunications(1.97%)

Consumer Services(24.82%)

Consumer Goods(16.46%)

Industrial(3.83%)

Materials(7.19%)

Energy(1.01%)

Conglomerates(0.00%)

Information Technology(31.77%)

Utilities (0.37%)

GEM Equities


50 Leading Companies by Market Capitalisation – GEMas at the 3rd quarter end 2014

Market capitalisation Rank Company (HK$ mil.) % of market total

1 08137 Honbridge Holdings Ltd. 9,235.95 5.132 08292 HC International, Inc. 9,226.41 5.123 08138 Beijing Tong Ren Tang Chinese Medicine Co. Ltd. 8,681.80 4.824 08237 Link Holdings Ltd. 7,756.00 4.305 08032 Viva China Holdings Ltd. 7,138.91 3.966 08008 Sunevision Holdings Ltd. 6,270.32 3.487 08279 AGTech Holdings Ltd. 5,563.82 3.098 08207 Credit China Holdings Ltd. 5,443.75 3.029 08050 Yunbo Digital Synergy Group Ltd. 5,425.00 3.0110 08002 IGG Inc 4,760.67 2.6411 08018 Finsoft Corporation 4,620.00 2.5612 08311 Perfect Optronics Ltd. 4,144.80 2.3013 08083 China Innovationpay Group Ltd. 3,974.17 2.2114 08158 China Bio-Med Regeneration Technology Ltd. 2,906.74 1.6115 08123 First China Financial Network Holdings Ltd. 2,892.43 1.6116 08179 Gayety Holdings Ltd. 2,720.00 1.5117 08156 China Vanguard Group Ltd. 2,532.56 1.4118 08058 Shandong Luoxin Pharmaceutical Group Stock Co., Ltd. – H Shs 2,392.70 1.3319 08198 MelcoLot Ltd. 2,296.17 1.2720 08201 PPS International (Holdings) Ltd. 2,020.00 1.1221 08147 Millennium Pacific Group Holdings Ltd. 2,014.76 1.1222 08090 China Assurance Finance Group Ltd. 1,945.90 1.0823 08005 Yuxing InfoTech Investment Holdings Ltd. 1,899.64 1.0524 08222 E Lighting Group Holdings Ltd. 1,776.00 0.9925 08016 Changhong Jiahua Holdings Ltd. 1,672.85 0.9326 08309 Runway Global Holdings Co. Ltd. 1,668.00 0.9327 08006 Sino Splendid Holdings Ltd. 1,646.19 0.9128 08056 Differ Group Holding Co. Ltd. 1,580.00 0.8829 08356 CNC Holdings Ltd. 1,495.79 0.8330 08020 Chanceton Financial Group Ltd. 1,332.00 0.7431 08155 South China Land Ltd. 1,307.88 0.7332 08325 China Smartpay Group Holdings Ltd. 1,287.85 0.7133 08250 China Natural Investment Co. Ltd. 1,235.82 0.6934 08099 China Wood Optimization (Holding) Ltd. 1,180.00 0.6535 08055 China E-Learning Group Ltd. 1,138.07 0.6336 08326 JC Group Holdings Ltd. 1,132.00 0.6337 08128 China Ground Source Energy Industry Group Ltd. 1,118.17 0.6238 08132 China Oil Gangran Energy Group Holdings Ltd. 1,067.88 0.5939 08220 Bingo Group Holdings Ltd. 1,060.27 0.5940 08315 King Force Security Holdings Ltd. 1,056.00 0.5941 08059 Glory Flame Holdings Ltd. 942.40 0.5242 08019 Hao Wen Holdings Ltd. 926.70 0.5143 08167 Neo Telemedia Ltd. 922.90 0.5144 08086 DX.com Holdings Ltd. 907.84 0.5045 08066 Phoenitron Holdings Ltd. 823.89 0.4646 08117 China Primary Resources Holdings Ltd. 820.90 0.4647 08276 Huazhang Technology Holding Ltd. 816.00 0.4548 08185 RM Group Holdings Ltd. 813.70 0.4549 08077 KVB Kunlun Financial Group Ltd. 790.00 0.4450 08046 Heng Xin China Holdings Ltd. 760.89 0.42

Total 137,142.49 76.12Market Total 180,171.37 100.00

GEM Equities


New Listing Statistics – equities for GEM

No. of newly listed companies Funds raised (HK$ mil.)

2013 Q3 5 362.29 Q4 12 1,873.362014 Q1 5 496.33 Q2 1 100.00 Q3 8 480.88

Newly Listed Companies for GEMfor 3rd quarter 2014

Code Company name Listing date No. of issued shares Funds raised (HK$ mil.)

08237 Link Holdings Ltd. 2014/07/07 280,000,000 122.5008216 Bamboos Health Care Holdings Ltd. 2014/07/08 400,000,000 50.0008125 Kate China Holdings Ltd. 2014/07/18 300,000,000 45.0008147 Millennium Pacific Group Holdings Ltd. 2014/07/18 104,556,000 46.5808162 Loco Hong Kong Holdings Ltd. 2014/08/05 400,000,000 43.2008059 Glory Flame Holdings Ltd. 2014/08/15 620,000,000 62.0008315 King Force Security Holdings Ltd. 2014/08/20 640,000,000 61.6008222 E Lighting Group Holdings Ltd. 2014/09/29 400,000,000 50.00

Total 480.88

Withdrawal of listed Companies – GEMfor 3rd quarter 2014

Code Company name Last trading date Delisted date

08232 China U-Ton Holdings Ltd. * 2014/07/31 2014/08/01 §08321 China Automotive Interior Decoration Holdings Ltd. * 2014/08/22 2014/08/25 §

* Transfers of listing from GEM to Main Board pursuant to the revised Rule 9.24 of the GEM Listing Rules and to the new Chapter 9A of the Main Board Listing

Rules effective from 1 July 2008.

§ Effective date of the transfer of listing from GEM to Main Board.

Company Name Changes for GEMfor 3rd quarter 2014

Code Old name New name Effective date Adoption date

08172 China Media and Films Holdings Ltd. China Star Cultural Media Group Ltd. 2014/06/20 2014/08/0608058 Shandong Luoxin Pharmacy Stock Co. Ltd. – H Shares Shandong Luoxin Pharmaceutical Group Stock Co., Ltd. – H Shs 2014/08/13 2014/08/1408047 Rising Power Group Holdings Ltd. Sky Forever Supply Chain Management Group Ltd. 2014/07/22 2014/08/2108039 Pegasus Entertainment Holdings Ltd. # Pegasus Entertainment Holdings Ltd. 2014/07/08 2014/08/27

# Change of Chinese name only

GEM Equities


Bonus Issues/Bonus Warrants for GEMfor 3rd quarter 2014

Code Company Particulars Ex-date

08168 UKF (Holdings) Ltd. 1 for 5 2014/07/2308078 China 3D Digital Entertainment Ltd. 10 for 1 2014/09/03 (after consolidation 5 into 1)

Share Split/Consolidation for GEMfor 3rd quarter 2014

Code Company Particulars Effective date

08228 National Arts Entertainment and Culture Group Ltd. Consolidation 10 into 1 2014/07/0708100 M Dream Inworld Ltd. Consolidation 4 into 1 2014/07/1808212 Celebrate International Holdings Ltd. Consolidation 10 into 1 2014/08/1208021 WLS Holdings Ltd. Consolidation 4 into 1 2014/08/2108082 Sage International Group Ltd. Consolidation 10 into 1 2014/09/0108078 China 3D Digital Entertainment Ltd. Consolidation 5 into 1 2014/09/0208163 Merdeka Mobile Group Ltd. Consolidation 8 into 1 2014/09/2908119 Thiz Technology Group Ltd. Consolidation 10 into 1 2014/09/29

Rights Issues & Open Offers for GEMfor 3rd quarter 2014

Month Code Company Ratio Funds raised (HK$ mil.)

Jul 08163 Merdeka Mobile Group Ltd. Rts 4 for 1 @$0.04 98.06 08228 National Arts Entertainment and Rts 6 for 1 @$0.188 465.44 Culture Group Ltd. (after consolidation 10 into 1) 08176 EDS Wellness Holdings Ltd. Open offer 1 for 2 @$3.00 57.18Aug 08193 GreaterChina Professional Services Ltd. Open offer 1 for 2 @$0.20 50.46Sep 08212 Celebrate International Holdings Ltd. Open offer 8 for 1 @$0.20 176.74 (after consolidation 10 into 1) 08009 Chinese Energy Holdings Ltd. Open offer 1 for 2 @$0.10 63.53 08200 Sau San Tong Holdings Ltd. Rts 3 for 1 @$0.10 89.39

Total 1,000.80

GEM Equities


Placing*

No. of new shares Placing price Funds raisedMonth Code Company placed (HK$) (HK$ mil.)

2014Jul 08078 CHINA3D DIGIT 1,500,000,000 0.070 105.00 08356 CNC HOLDINGS 334,900,000 0.250 83.73 08310 GAMMALOGISTIC 160,000,000 0.250 40.00 08351 LARRY JEWELRY 561,730,000 0.100 56.17 08037 RUI KANG PHARM 111,000,000 0.180 19.98 08082 SAGE INT’L GP 258,450,000 0.044 11.37 08119 THIZ TECHNOLOGY 172,965,360 0.100 17.30 08063 WELL WAY GP 29,980,000 0.650 19.49 08130 ZHI CHENG H 47,000,000 0.400 18.80Aug 08009 CHI ENGY HOLD 211,760,000 0.180 38.12 08081 CMG CUL INV 209,592,000 0.134 28.09 08081 CMG CUL INV 381,078,000 0.118 44.97 08176 EDS WELLNESS 2,620,000 3.150 8.25Sep 08158 CHINA BIO-MED 150,000,000 0.260 39.00 08117 CHINA P RES 96,576,196 0.400 38.63 08325 CHINA SMARTPAY 104,310,000 1.460 152.29 08132 CHINAOILGANGRAN 1,452,900,000 0.100 145.29 08242 MEGALOGICTECH 48,000,000 0.400 19.20 08039 PEGASUS ENT 50,000,000 1.260 63.00 08072 ROMA GROUP 925,000,000 0.016 14.34 08150 SEAMLESS GREEN 115,000,000 0.440 50.60 08269 WEALTH GLORY 317,000,000 0.297 94.15 08269 WEALTH GLORY 237,000,000 0.270 63.99

Total 1,171.75

* Due to the reporting time-lag, placing figures for the quarter are provisional.

** Supplementary information update for previous quarters.

GEM Warrants


Warrant Trading and Market Value Statistics – GEM

Number Turnover value (HK$ mil.) Market value (HK$ mil.)

2013 Q3 0 0.00 0.00 Q4 0 0.00 0.002014 Q1 0 0.00 0.00 Q2 0 0.00 0.00 Q3 0 0.00 0.00

Newly Listed Equity GEM Warrantsfor 3rd quarter 2014

Initial issued Amount raisedCode Equity warrants amount (HK) Listing date Expiry (HK$ mil.)

Nil

Total –

Stock Market Indices


Hang Seng Index

Chart on CloseIndex

19500

20700

20100

21300

21900

22500

23100

23700

24300

24900

25500HIGH(14/09/03)=25317.950 LOW(13/07/03)=20147.310 CLOSE(14/09/30)=22932.980

10 MAV 50 MAV

07/13 08/13 09/13 10/13 11/13 12/13 01/14 02/14 03/14 04/14 05/14 06/14 07/14 08/14 09/14

S&P/HKEx LargeCap Index

Chart on CloseIndex

23000

23780

24560

25340

26120

26900

27680

28460

29240

30020

30800HIGH(14/09/03)=30786.740 LOW(13/07/03)=24092.240 CLOSE(14/09/30)=27881.600

10 MAV 50 MAV

07/13 08/13 09/13 10/13 11/13 12/13 01/14 02/14 03/14 04/14 05/14 06/14 07/14 08/14 09/14

S&P/HKEx GEM Index

Chart on CloseIndex

350

410

380

440

470

500

530

560

590

620

650HIGH(14/03/07)=581.160 LOW(13/07/10)=385.980 CLOSE(14/09/30)=507.180

10 MAV 50 MAV

07/13 08/13 09/13 10/13 11/13 12/13 01/14 02/14 03/14 04/14 05/14 06/14 07/14 08/14 09/14



Hong Kong Stock Market Indices

End of Sep 2014 End of Jun 2014Index Close Close Change %

S&P/HKEx LargeCap Index 27881.60 28252.13 – 1.31%

S&P/HKEx GEM Index 507.18 515.55 – 1.62%

HANG SENG INDEX 22932.98 23190.72 – 1.11%SECTORIAL INDICES Finance 31081.75 30850.73 + 0.75% Utilities 51358.27 51913.66 – 1.07% Properties 29006.34 29052.75 – 0.16% Commerce & Industry 13903.46 14383.16 – 3.34%

HANG SENG CHINA-AFFILIATED CORPORATIONS INDEX 4402.05 4369.01 + 0.76%HANG SENG CHINA ENTERPRISES INDEX 10310.40 10335.03 – 0.24%



WORLD INDICES

End of Sep 2014 End of Jun 2014Index Close Close Change %

HONG KONG S&P/HKEx LargeCap Index 27881.60 28252.13 – 1.31% Hang Seng Index 22932.98 23190.72 – 1.11%AUSTRALIA All Ordinaries Index 5296.76 5382.03 – 1.58%JAKARTA Composite Index 5137.58 4878.58 + 5.31%JAPAN Nikkei (225) 16173.52 15162.10 + 6.67%KOREA Composite Index 2020.09 2002.21 + 0.89%KUALA LUMPUR Composite Index 1846.31 1882.71 – 1.93%MANILA Composite Index 7283.07 6844.31 + 6.41%NEW ZEALAND NZSE (50) 5255.04 5141.48 + 2.21%SHANGHAI A Shares Index 2474.59 2144.75 + 15.38% B Shares Index 268.16 221.27 + 21.19%SHENZHEN A Shares Index 1393.01 1145.36 + 21.62% B Shares Index 979.63 842.57 + 16.27%SINGAPORE FTSE Straits Times Index 3276.74 3255.67 + 0.65%TAIWAN Taipei Weighted Stock Index 8966.92 9393.07 – 4.54%THAILAND SET Index 1585.67 1485.75 + 6.73%NEW YORK DJIA 17042.90 16826.60 + 1.29% Nasdaq Composite Index 4493.39 4408.18 + 1.93%TORONTO S&P/TSX Composite Index 14960.51 15146.01 – 1.22%GERMANY DAX Capital Value Index 4874.28 5058.86 – 3.65%LONDON FTSE (100) 6622.72 6743.94 – 1.80%

Derivatives Market – Futures and Options


Contract Volume by Derivatives Products

ContractsDerivatives product 3rd Quarter 2014 3rd Quarter 2013

Hang Seng Index Futures 4,270,694 4,926,071Hang Seng Index Options 1,912,755 1,959,869Mini-Hang Seng Index Futures 1,644,415 2,237,418Mini-Hang Seng Index Options 251,411 292,768H-shares Index Futures 5,067,604 5,534,747H-shares Index Options 2,013,385 2,240,055Mini H-shares Index Futures 779,761 655,817Flexible Hang Seng Index Options 200 100Flexible H-shares Index Options 15,861 3,300HSI Dividend Point Index Futures 5,404 3,701HSCEI Dividend Point Index Futures 44,905 33,075HSI Volatility Index Futures 107 378CES China 120 Index Futures1 10,935 26,312IBOVESPA Futures 0 0MICEX Index Futures 0 0S&P BSE Sensex Index Futures 0 0FTSE/JSE Top40 Futures 0 0Stock Futures 123,371 86,034Stock Options 19,462,284 13,681,676Three-month HIBOR Futures 10 0One-month HIBOR Futures 0 20Three-year Exchange Fund Note Futures 0 25RMB Currency Futures – USD/CNH Futures 42,843 26,868Gold Futures 0 0Total 35,645,945 31,708,234

1 Trading in CES China 120 Index Futures commenced on 12 Aug 2013



Hang Seng Index Futures – Contract Volume and Open Interest (contracts) Total Quarter-end contract volume open interest

2013 Q3 4,926,071 123,253 Q4 4,314,395 107,3042014 Q1 4,368,013 104,527 Q2 3,893,812 126,964 Q3 4,270,694 131,566

Mini Hang Seng Index Futures – Contract Volume and Open Interest (contracts) Total Quarter-end contract volume open interest

2013 Q3 2,237,418 8,969 Q4 1,573,318 5,8352014 Q1 1,648,258 7,441 Q2 1,536,157 7,067 Q3 1,644,415 9,081

Hang Seng Index Options – Contract Volume and Open Interest (contracts) Total Quarter-end contract volume open interest

2013 Q3 1,959,869 293,948 Q4 1,774,047 173,1762014 Q1 1,759,351 201,802 Q2 1,728,591 184,741 Q3 1,912,755 254,144

H-Share Index Futures – Contract Volume and Open Interest (contracts) Total Quarter-end contract volume open interest

2013 Q3 5,534,747 214,299 Q4 5,527,741 217,6462014 Q1 5,647,145 199,566 Q2 4,656,807 217,624 Q3 5,067,604 209,592

Stock Options Market Turnover and Open Interest (contracts) Total Total Quarter-end Premium (HK$ mil.) contract volume open interest

2013 Q3 8,479.72 13,681,676 4,882,089 Q4 10,051.31 15,367,765 4,740,8182014 Q1 14,497.65 16,760,161 5,458,789 Q2 10,523.18 15,082,507 4,767,976 Q3 11,835.64 19,462,284 6,016,138



Stock Options Premium by Classfor 3rd Quarter 2014

PremiumOptions class (HK$ mil.) % of total

X ISHARES A50 A50 1,124.18 9.50%ABC ABC/XAB 54.63 0.46%ANHUI CONCH ACC 146.09 1.23%AIA AIA 247.16 2.09%CHALCO ALC 15.25 0.13%CAM CSI300 AMC 81.09 0.69%BANK OF CHINA BCL/XBC 73.04 0.62%BANKCOMM BCM 27.16 0.23%BANK OF E ASIA BEA 2.38 0.02%BELLE INT’L BIH 18.14 0.15%BOC HONG KONG BOC 32.30 0.27%BYD COMPANY BYD 22.58 0.19%CCB CCB/XCC 179.08 1.51%CHINA COMM CONS CCC 6.72 0.06%CHINA COAL CCE 10.85 0.09%CHINA COSCO CCS 2.96 0.03%CHINA CINDA CDA 31.19 0.26%CHINA MOBILE CHT 966.76 8.17%CHINA UNICOM CHU 78.57 0.66%CITIC CIT 108.96 0.92%CHEUNG KONG CKH 400.19 3.38%CHINA LIFE CLI 247.23 2.09%CLP HOLDINGS CLP 9.80 0.08%CM BANK CMB 59.38 0.50%CNOOC CNC 162.53 1.37%CHINA OVERSEAS COL 170.00 1.44%CATHAY PAC AIR CPA 2.21 0.02%SINOPEC CORP CPC 195.33 1.65%CPIC CPI 95.78 0.81%CHINA RAIL CONS CRC 3.10 0.03%CHINA RAILWAY CRG 0.98 0.01%X WISECSI300ETF CS3 0.19 0.00%CSOP A50 ETF CSA 530.89 4.49%CHINA SHENHUA CSE 56.90 0.48%CITIC BANK CTB 42.63 0.36%CHINA TELECOM CTC 18.41 0.16%DONGFENG GROUP DFM 15.16 0.13%ESPRIT HOLDINGS ESP 1.97 0.02%FIH FIH 5.03 0.04%GALAXY ENT GLX 712.43 6.02%GREATWALL MOTOR GWM 38.32 0.32%POWER ASSETS HEH 18.09 0.15%HKEX HEX 1,121.31 9.47%HENGAN INT’L HGN 9.43 0.08%HSBC HOLDINGS HKB 470.79 3.98%HK & CHINA GAS HKG 10.42 0.09%HENDERSON LAND HLD 60.91 0.51%HUANENG POWER HNP 20.80 0.18%HANG SENG BANK HSB 8.01 0.07%HUTCHISON HWL 415.29 3.51%ICBC ICB/XIC 122.14 1.03%JIANGXI COPPER JXC 29.71 0.25%KUNLUN ENERGY KLE 50.45 0.43%KINGSOFT KSO 71.89 0.61%LENOVO GROUP LEN 48.91 0.41%LI & FUNG LIF 43.24 0.37%MGM CHINA MGM 6.97 0.06%MINSHENG BANK MSB 82.13 0.69%



PremiumOptions class (HK$ mil.) % of total

MTR CORPORATION MTR 5.16 0.04%CNBM NBM 38.05 0.32%NEW WORLD DEV NWD 34.07 0.29%PING AN PAI 415.84 3.51%PETROCHINA PEC 260.92 2.20%PICC P&C PIC 30.07 0.25%PICC GROUP PIN 9.40 0.08%GCL-POLY ENERGY PLE 5.03 0.04%R&F PROPERTIES RFP 5.87 0.05%SANDS CHINA LTD SAN 350.13 2.96%SHK PPT SHK 277.49 2.34%STANCHART STC 6.09 0.05%SWIRE PACIFIC A SWA 25.73 0.22%TENCENT TCH 1,681.80 14.21%TRACKER FUND TRF 8.86 0.07%WHARF HOLDINGS WHL 36.18 0.31%WANT WANT CHINA WWC 8.11 0.07%YANZHOU COAL YZC 43.42 0.37%ZIJIN MINING ZJM 5.40 0.05%Total 11,835.64 100.00%



Stock Options Contract Volume by Classfor 3rd Quarter 2014 ContractOptions class volume % of totalX ISHARES A50 A50 845,217 4.34%ABC ABC/XAB 50,358 0.26%ANHUI CONCH ACC 269,172 1.38%AIA AIA 342,229 1.76%CHALCO ALC 52,318 0.27%CAM CSI300 AMC 53,389 0.27%BANK OF CHINA BCL/XBC 873,866 4.49%BANKCOMM BCM 171,341 0.88%BANK OF E ASIA BEA 17,909 0.09%BELLE INT’L BIH 31,037 0.16%BOC HONG KONG BOC 115,958 0.60%BYD COMPANY BYD 22,190 0.11%CCB CCB/XCC 1,235,561 6.35%CHINA COMM CONS CCC 37,013 0.19%CHINA COAL CCE 59,151 0.30%CHINA COSCO CCS 35,520 0.18%CHINA CINDA CDA 33,156 0.17%CHINA MOBILE CHT 941,222 4.84%CHINA UNICOM CHU 80,477 0.41%CITIC CIT 207,486 1.07%CHEUNG KONG CKH 155,528 0.80%CHINA LIFE CLI 414,895 2.13%CLP HOLDINGS CLP 18,558 0.10%CM BANK CMB 197,194 1.01%CNOOC CNC 418,447 2.15%CHINA OVERSEAS COL 140,449 0.72%CATHAY PAC AIR CPA 3,547 0.02%SINOPEC CORP CPC 398,352 2.05%CPIC CPI 111,860 0.57%CHINA RAIL CONS CRC 24,887 0.13%CHINA RAILWAY CRG 8,649 0.04%X WISECSI300ETF CS3 114 0.00%CSOP A50 ETF CSA 317,746 1.63%CHINA SHENHUA CSE 158,306 0.81%CITIC BANK CTB 176,562 0.91%CHINA TELECOM CTC 58,230 0.30%DONGFENG GROUP DFM 15,648 0.08%ESPRIT HOLDINGS ESP 37,276 0.19%FIH FIH 19,553 0.10%GALAXY ENT GLX 402,145 2.07%GREATWALL MOTOR GWM 83,651 0.43%POWER ASSETS HEH 26,485 0.14%HKEX HEX 2,513,277 12.91%HENGAN INT’L HGN 11,054 0.06%HSBC HOLDINGS HKB 830,096 4.27%HK & CHINA GAS HKG 26,331 0.14%HENDERSON LAND HLD 38,995 0.20%HUANENG POWER HNP 42,088 0.22%HANG SENG BANK HSB 35,940 0.18%HUTCHISON HWL 226,732 1.16%ICBC ICB/XIC 1,035,958 5.32%JIANGXI COPPER JXC 63,669 0.33%KUNLUN ENERGY KLE 53,449 0.27%KINGSOFT KSO 74,519 0.38%LENOVO GROUP LEN 79,896 0.41%LI & FUNG LIF 57,553 0.30%MGM CHINA MGM 17,318 0.09%MINSHENG BANK MSB 110,424 0.57%MTR CORPORATION MTR 19,673 0.10%



ContractOptions class volume % of totalCNBM NBM 76,406 0.39%NEW WORLD DEV NWD 74,529 0.38%PING AN PAI 525,861 2.70%PETROCHINA PEC 375,742 1.93%PICC P&C PIC 34,304 0.18%PICC GROUP PIN 20,605 0.11%GCL-POLY ENERGY PLE 8,610 0.04%R&F PROPERTIES RFP 31,220 0.16%SANDS CHINA LTD SAN 576,846 2.96%SHK PPT SHK 109,395 0.56%STANCHART STC 23,419 0.12%SWIRE PACIFIC A SWA 28,240 0.15%TENCENT TCH 3,488,800 17.93%TRACKER FUND TRF 27,221 0.14%WHARF HOLDINGS WHL 27,972 0.14%WANT WANT CHINA WWC 22,034 0.11%YANZHOU COAL YZC 85,344 0.44%ZIJIN MINING ZJM 26,112 0.13%Total 19,462,284 100.00%

Clearing & Settlement


Average Daily Settlement Instructions (SIs) Settled in CCASS(both delivering and receiving SIs are counted) SIs by shares SIs by valueYear / Month Number of SIs (bil. shs) (HK$bil.)

2013 Q3 76,390 49.11 176.60 Q4 84,326 52.14 201.872014 Q1 89,857 51.46 200.37 Q2 84,454 51.80 191.05 Q3 87,928 57.80 206.26

Average Daily Investor Settlement Instructions (ISIs) settled in CCASS(one sided ISIs are counted)Year / month Number of ISIs ISIs by shares (Mil shs) ISIs by value (HK$ mil.)

2013 Q3 347 46.57 139.57 Q4 412 143.96 203.732014 Q1 418 195.82 302.92 Q2 334 169.36 188.57 Q3 406 69.28 166.15

Securities under CCASS Custody(balances at quarter end) % of issued % of market Number of shares of capitalisation of shares admitted Market value admitted Year / Month (bil. shs) securities (HK$ bil.) securities

2013 Q3 3,839.01 70.64 12,905.25 51.98 Q4 3,955.16 70.87 13,878.91 52.682014 Q1 4,058.32 70.36 13,423.17 52.82 Q2 4,100.74 70.42 13,911.39 50.86 Q3 4,262.88 71.01 14,144.85 52.56

Share quantity and market value of securities in non-HKD currency are included



Average Daily Stock Exchange Trades Processed in CCASS(including CNS trades, isolated trades and cross trades) No. of CCASS % of Exchange No. of shares % of market Value of trades % of market Year \ Month trades trades (Mil. shs) turnover (HK$ mil.) turnover

2013 Q3 877,568 100 130,868.07 100 55,128.00 100 Q4 933,875 100 117,032.40 100 58,954.27 1002014 Q1 1,120,215 100 138,407.50 100 68,237.10 100 Q2 928,429 100 112,913.91 100 57,388.97 100 Q3 1,037,135 100 147,929.94 100 70,720.94 100

Average Daily Netting Efficiency of CNS Trades(in stock positions and share quantity) Netting No. of shares due Netting No. of CNS efficiency for settlement efficiencyYear \ Month stock positions (%) (Mil. shs) (%)

2013 Q3 65,100 95.99 18,908.50 92.59 Q4 72,380 95.83 22,299.70 90.282014 Q1 77,656 96.29 23,984.86 91.21 Q2 67,488 96.09 19,979.41 91.05 Q3 79,378 95.92 25,196.56 91.36

Average Daily Settlement Efficiency of CNS Stock Positions

Settlement efficiency (%)Year \ Month S day S + 1 day

2013 Q3 99.91 99.99 Q4 99.91 99.992014 Q1 99.91 99.99 Q2 99.90 99.99 Q3 99.90 99.99



Open Interest by Derivatives Products

ContractsDerivatives product 3rd Quarter 2014 3rd Quarter 2013

Hang Seng Index Futures 131,566 123,253Hang Seng Index Options 254,144 293,948Mini-Hang Seng Index Futures 9,081 8,969Mini-Hang Seng Index Options 7,945 4,698H-shares Index Futures 209,592 214,299H-shares Index Options 1,194,591 1,140,213Mini H-shares Index Futures 4,703 2,772Flexible Hang Seng Index Options 50 2,694Flexible H-shares Index Options 36,940 27,441HSI Dividend Point Index Futures 6,979 8,009HSCEI Dividend Point Index Futures 77,187 88,814HSI Volatility Index Futures 14 128CES China 120 Index Futures1 45 216IBOVESPA Futures 0 0MICEX Index Futures 0 0S&P BSE Sensex Index Futures 0 0FTSE/JSE Top40 Futures 0 0Stock Futures 20,040 15,524Stock Options 6,016,138 4,882,089Three-month HIBOR Futures 5 0One-month HIBOR Futures 0 6Three-year Exchange Fund Note Futures 0 0RMB Currency Futures – USD/CNH Futures 11,580 9,515Gold Futures 0 0

Total 7,980,600 6,822,5881 Trading in CES China 120 Index Futures commenced on 12 Aug 2013



Stock Options Open Interest by Classas at the end of 3rd Quarter 2014 Open interestOptions class (contracts) % of total

X ISHARES A50 A50 324,040 5.39ABC ABC/XAB 29,251 0.49ANHUI CONCH ACC 59,355 0.99AIA AIA 67,326 1.12CHALCO ALC 8,583 0.14CAM CSI300 AMC 17,227 0.29BANK OF CHINA BCL/XBC 617,840 10.27BANKCOMM BCM 41,664 0.69BANK OF E ASIA BEA 5,736 0.10BELLE INT’L BIH 14,364 0.24BOC HONG KONG BOC 46,016 0.76BYD COMPANY BYD 17,378 0.29CCB CCB/XCC 583,869 9.71CHINA COMM CONS CCC 13,289 0.22CHINA COAL CCE 34,313 0.57CHINA COSCO CCS 20,866 0.35CHINA CINDA CDA 10,380 0.17CHINA MOBILE CHT 185,244 3.08CHINA UNICOM CHU 38,399 0.64CITIC CIT 47,990 0.80CHEUNG KONG CKH 27,775 0.46CHINA LIFE CLI 117,787 1.96CLP HOLDINGS CLP 5,065 0.08CM BANK CMB 64,477 1.07CNOOC CNC 139,914 2.33CHINA OVERSEAS COL 36,576 0.61CATHAY PAC AIR CPA 1,543 0.03SINOPEC CORP CPC 192,070 3.19CPIC CPI 24,490 0.41CHINA RAIL CONS CRC 8,476 0.14CHINA RAILWAY CRG 2,111 0.04X WISECSI300ETF CS3 354 0.01CSOP A50 ETF CSA 118,922 1.98CHINA SHENHUA CSE 73,041 1.21CITIC BANK CTB 119,814 1.99CHINA TELECOM CTC 18,884 0.31DONGFENG GROUP DFM 4,183 0.07ESPRIT HOLDINGS ESP 11,633 0.19FIH FIH 3,831 0.06GALAXY ENT GLX 70,208 1.17GREATWALL MOTOR GWM 19,237 0.32POWER ASSETS HEH 5,597 0.09HKEX HEX 505,850 8.41HENGAN INT’L HGN 1,196 0.02



Open interestOptions class (contracts) % of total

HSBC HOLDINGS HKB 209,896 3.49HK & CHINA GAS HKG 9,336 0.16HENDERSON LAND HLD 6,751 0.11HUANENG POWER HNP 6,967 0.12HANG SENG BANK HSB 14,132 0.23HUTCHISON HWL 43,158 0.72ICBC ICB/XIC 520,453 8.65JIANGXI COPPER JXC 16,281 0.27KUNLUN ENERGY KLE 16,030 0.27KINGSOFT KSO 23,744 0.39LENOVO GROUP LEN 19,429 0.32LI & FUNG LIF 23,240 0.39MGM CHINA MGM 3,703 0.06MINSHENG BANK MSB 73,067 1.21MTR CORPORATION MTR 5,682 0.09CNBM NBM 25,285 0.42NEW WORLD DEV NWD 19,337 0.32PING AN PAI 107,173 1.78PETROCHINA PEC 145,746 2.42PICC P&C PIC 11,630 0.19PICC GROUP PIN 5,694 0.09GCL-POLY ENERGY PLE 1,118 0.02R&F PROPERTIES RFP 17,518 0.29SANDS CHINA LTD SAN 126,035 2.09SHK PPT SHK 27,540 0.46STANCHART STC 13,833 0.23SWIRE PACIFIC A SWA 8,519 0.14TENCENT TCH 696,184 11.57TRACKER FUND TRF 12,330 0.20WHARF HOLDINGS WHL 8,425 0.14WANT WANT CHINA WWC 5,489 0.09YANZHOU COAL YZC 29,410 0.49ZIJIN MINING ZJM 6,839 0.11Total 6,016,138 100.00

Exchange Participants Statistics


Stock Exchange

Exchange Exchange No. of Trading Participants – Participants – Non-Exchange Right Holders Trading Non-Trading Participants

2013 Q3 566 (982) 506 (915) 40 (47) 20 (20) Q4 563 (978) 504 (912) 39 (46) 20 (20)2014 Q1 561 (975) 503 (909) 38 (46) 20 (20) Q2 558 (970) 501 (907) 37 (43) 20 (20) Q3 556 (967) 499 (904) 37 (43) 20 (20)

( ) No. of trading rights

Futures Exchange

Exchange Exchange No. of Trading Participants – Participants – Non-Exchange Right Holders Trading Non-Trading Participants

2013 Q3 232 (256) 179 (201) – 53 (55) Q4 232 (256) 179 (201) – 53 (55)2014 Q1 231 (255) 179 (201) – 52 (54) Q2 229 (253) 178 (200) – 51 (53) Q3 229 (253) 177 (199) – 52 (54)

Notes:

(1) The figures in blanket is the number of trading rights held.

(2) An Exchange Participant is a corporation who may trade on or through the Exchange and is licensed under the Securities and Futures Ordinance to carry on

securities/futures/options dealing activity.

Clearing Participants Statistics


HKCC Participants

General Clearing Year / month Clearing Participants Participants

2013 Q3 152 9 Q4 152 92014 Q1 151 9 Q2 150 9 Q3 150 9

SEOCH Participants

General Clearing Year / month Direct Clearing Participants Participants

2013 Q3 62 9 Q4 62 92014 Q1 62 9 Q2 63 9 Q3 63 9

HKSCC Participants

Direct Clearing General Clearing Non-brokerYear / month Participant Participant Participants *

2013 Q3 486 9 43 Q4 485 9 432014 Q1 486 9 43 Q2 481 9 43 Q3 480 9 43

* Non-broker participants include Clearing Agency Participants, Custodian Participants and Stock Pledgee Participants.

Acronyms


CBBC Callable Bull/Bear ContractCCASS Central Clearing and Settlement SystemCNS Continuous Net SettlementDCASS Derivatives Clearing and Settlement SystemDR Depositary ReceiptDW Derivative WarrantELI Equity Linked InstrumentETF Exchange Traded FundGEM Growth Enterprise MarketHIBOR Hong Kong Interbank Offered RateHKCC HKFE Clearing Corporation LtdHKEx Hong Kong Exchanges and Clearing LtdHKSCC Hong Kong Securities Clearing Co LtdHSICS Hang Seng Industry Classification SystemISI Investor settlement instructionNASDAQ National Association of Securities Dealer Automated QuotationsP/E ratio Price/earnings ratioREITs Real Estate Investment TrustsRQFII RMB Qualified Foreign Institutional InvestorsS&P Standard and PoorsSEOCH SEHK Options Clearing House Ltd, TheSI Settlement instructionSS Stapled securities

Documents

SECURITIES AND DERIVATIVES MARKETS QUARTERLY ...1 Securities and Derivatives Markets Quarterly Report (3rd Quarter 2014) Main Board Highlights 3rd Quarter 2014 3rd Quarter 2013 No