SECURITIES AND DERIVATIVES MARKETS QUARTERLY REPORT · Market Highlights 2 Securities and Derivatives Markets Quarterly Report (4th Quarter 2014) Growth Enterprise Market (GEM) Highlights

SECURITIES AND DERIVATIVES MARKETS QUARTERLY REPORT

Fourth Quarter 2014

Market Highlights

1 Securities and Derivatives Markets Quarterly Report (4th Quarter 2014)

Main Board

Highlights 4th Quarter 2014 4th Quarter 2013

No. of listed companies 1,548 1,451No. of listed securities 8,856 8,330 Equities Ordinary shares 1,549 1,452 Preference shares 6 3 Warrants 4,948 4,723 Equity 10 8 Derivative 4,938 4,715 Equity linked instrument 0 0 Callable bull/bear contracts 1,579 1,620 Unit trusts/mutual funds 134 129 Debt securities 640 403No. of trading only stocks Nasdaq stocks 7 7 iShares 2 2

No. of trading days 62 62Total turnover in value (HK$ mil.) * 4,970,894.65 3,628,440.12Total turnover in shares (Mil. shs) 9,522,466.16 7,178,314.40Total number of trades (deals) 71,011,185 57,023,273Total market capitalisation (HK$ mil.) 24,892,419.04 23,908,803.80Average P/E ratio (times) 10.94 11.24Average dividend yield (%) 3.44 2.99Number of exchange participants

– Trading 500 504– Non-trading 40 39

Turnover in value (HK$ mil.)Highest 147,757.45 (05/12) 112,075.87 (18/11)Lowest 50,172.64 (24/10) 38,592.51 (27/12)

Turnover in shares (Mil. shs)Highest 209,008.19 (09/12) 165,262.79 (24/10)Lowest 96,730.04 (29/12) 71,184.32 (27/12)

Total number of trades (deals)Highest 1,791,690 (09/12) 1,421,597 (18/11)Lowest 818,188 (23/10) 722,145 (27/12)

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

Market Highlights


Growth Enterprise Market (GEM)


No. of listed companies 204 192No. of listed securities 204 192 Equities 204 192 Warrants 0 0

No. of trading days 62 62Total turnover in value (HK$ mil.) * 34,223.56 32,626.67Total turnover in shares (Mil. shs) 77,002.94 78,234.46Total number of trades (deals) 888,648 914,205Total market capitalisation (HK$ mil.) 179,409.87 134,002.06Average P/E ratio (times) 11.59 49.25Average dividend yield (%) 0.65 0.52

Turnover in value (HK$ mil.)Highest 810.40 (23/10) 1,347.58 (18/10)Lowest 325.66 (15/12) 274.68 (31/10)

Turnover in shares (Mil. shs)Highest 2,580.80 (21/11) 2,912.84 (09/10)Lowest 804.23 (03/10) 669.00 (31/10)

Total number of trades (deals)Highest 20,758 (23/10) 32,875 (18/10)Lowest 9,087 (15/12) 9,184 (31/10)

* 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 62.0 62.0Total contract volume 19,930,509 16,524,908 Equity index products 19,746,185 16,397,570 Equity products 122,185 86,788 Interest rates products 0 2 RMB Currency Futures 53,349 40,548 Gold Futures 0 0 London Metal Mini Futures * 8,790 –Average daily contract volume 321,460 266,531

Total open interest as at the quarter end (contracts) 1,640,259 1,489,264 Equity index products 1,613,541 1,452,153 Equity products 14,916 18,409 Interest rates products 5 1 RMB Currency Futures 9,747 18,701 Gold Futures 0 0 London Metal Mini Futures * 2,050 –

* Trading in London Metal Mini Futures commenced on 01 Dec 2014

Stock optionsNo. of newly introduced stock options classes 3 0No. of stock options as at the quarter end Class 80 70 Series 23,440 16,900

Total premium (HK$ mil.) 15,471.60 10,051.31 Call 8,287.38 5,150.45 Put 7,184.22 4,900.86Average daily premium (HK$ mil.) 249.54 162.12Total contract volume 23,238,909 15,367,765 Call 12,540,059 7,178,492 Put 10,698,850 8,189,273Average daily contract volume 374,821 247,867Total open interest as at the quarter end (contracts) 6,320,147 4,740,818 Call 3,135,430 2,179,051 Put 3,184,717 2,561,767Total number of trades 892,086 704,729Average daily number of trades 14,388 11,367Total contracts exercised 2,397,501 1,796,823Average premium per contract (HK$) 665.76 654.05Average contract per trade (contracts) 26 22

Put volume/call volume 0.85 1.14Average daily contract volume/open interest 5.9% 5.2%

All futures and options productsTotal contract volume 43,169,418 31,892,673Total open interest as at the quarter end (contracts) 7,960,406 6,230,082

Market Highlights


Clearing and Settlement Statistics

Securities Market 4th Quarter 2014 4th Quarter 2013

Average Daily Exchange Trades Handled by CCASS– Number of trades 1,151,087 933,875– Value of trades (HK$bil.) 80.1 59.0– Share quantity Involved (bil shares) 154.7 117.0Average Daily Settlement Instructions (“SIs”) Settled by CCASS– Number of SIs 92,208 84,326– Value of SIs (HK$bil.) 220.1 201.9– Share quantity involved (bil. Shares) 58.2 52.1Average Daily Investor SIs (“ISIs”) Settled by CCASS– Number of ISIs 415 412– Value of ISIs (HK$mil.) 249.4 203.7– Share quantity involved (mil. shares) 651.4 144.0Average Daily Settlement Efficiency of CNS Stock Positions on Due Day (T+2) (%) 99.88 99.91Average Daily Settlement Efficiency of CNS Stock Positions on the Day following the Due Day (T+3) (%) 99.99 99.99Average Daily Buy-ins Executed on T+3– Number of brokers involved 5 4– Number of buy-ins 8 5– Value of buy-ins (HK$mil) 14.3 1.9Shares Deposited in the CCASS Depository *– Number of shares (bil shares) 4,450.1 3,955.2– Percentage of total issued shares of the admitted securities 71.29 70.87– Value of shares (HK$bil) 14,911.9 13,878.9– Percentage of the total market capitalisation of the admitted securities 54.09 52.68Derivatives MarketOpen Interest– Equity Index Futures 421,177 390,291– Stock Futures 14,916 18,409– Gold Futures 0 0– Interest Rates Futures 5 1– RMB Currency Futures 9,747 18,701– London Metal Mini Futures # 2,050 –– Equity Index Options 1,192,364 1,061,862– Stock Options 6,320,147 4,740,818Cumulative Stock Options Exercised– Share quantity involved (mil. shs) 3,583 2,192– Value of shares (HK$bil.) 51 35

* Share quantity and market value of securities in non-HKD currency are included# Trading in London Metal Mini Futures commenced on 01 Dec 2014

Main Board Equities


Equity Turnover

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

2013 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 Q4 946,664.36 3,489,289.62 56,518,377

Equity Trading Statistics

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

2013 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 Q4 62 56,278.86 61,737

Main Board Equities


20 Most Advanced Stocksfor 4th quarter 2014

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

1 00708 NEW MEDIA 3.550 0.320 1,009.38 2 01239 JIN BAO BAO H 9.750 1.850 427.03 3 02379 ZHONGTIAN INT’L 5.150 1.170 340.17 4 01908 SOUTHWEST ECO 3.300 0.900 266.67 5 01348 QUALI-SMART 6.480 1.900 241.05 6 01375 CC SECURITIES 7.470 2.880 159.38 7 01220 ZHIDAO INT’L 0.940 0.365 157.53 8 00915 LINMARK GROUP 1.020 0.440 131.82 9 00901 EAGLERIDE-NEW 0.820 0.390 A 110.26 10 01335 SHEEN TAI 3.050 1.460 108.90 11 00218 SHENYIN WANGUO 6.920 3.507 A 97.32 12 00566 HANERGY TFP 2.810 1.430 96.50 13 01188 HYBRID KINETIC 0.216 0.115 87.83 14 01321 CHINA NEWCITY 3.750 2.000 87.50 15 00726 SOUTH EAST GP 0.250 0.134 86.57 16 00513 CONTINENTAL H 0.223 0.120 85.83 17 00593 SKYOCEAN INTL 7.600 4.190 81.38 18 06898 CHINA ALUMCAN 1.900 1.050 80.95 19 00717 EMPEROR CAPITAL 0.730 0.405 80.25 20 00572 CH FOR YOU GP 0.720 0.400 80.00

A Adjusted

20 Most Declined Stocksfor 4th quarter 2014

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

1 00139 CHINA JINHAI 0.064 0.900 -92.89 2 00913 UNITY INV HOLD 0.031 0.114 A -72.81 3 02623 CH ZHONGSHENG 0.395 1.416 A -72.10 4 00897 WAI YUEN TONG 0.080 0.220 -63.64 5 00616 EASYKNIT ENT 0.325 0.844 A -61.49 6 01856 ERNEST BOREL 2.130 5.290 -59.74 7 01141 MISSION CAP 0.102 0.250 -59.20 8 00875 CYPRESS JADE 0.090 0.215 -58.14 9 00205 SEEC MEDIA 0.330 0.770 -57.14 10 02236 WISON ENGRG 0.860 1.980 -56.57 11 00943 EFORCE HOLDINGS 0.216 0.495 -56.36 12 03303 JUTAL OIL SER 1.210 2.620 -53.82 13 02312 CH FIN LEASING 0.810 1.730 -53.18 14 02178 PETRO-KING 1.080 2.300 -53.04 15 01768 SATERI 1.030 2.160 -52.31 16 06230 VALE PREF-DRS 50.000 101.000 -50.50 17 01619 TIANHE CHEM 1.170 2.310 -49.35 18 01101 CH RONGSHENG 0.690 1.360 -49.26 19 00381 KIU HUNG ENERGY 0.265 0.520 -49.04 20 01251 SPT ENERGY 1.430 2.710 -47.23

A Adjusted

Main Board Equities


20 Most Active Stocks by Valuefor 4th quarter 2014Rank Code Stock Turnover (HK$ mil.) % of total

1 00700 TENCENT 153,868.20 4.41 2 02318 PING AN 129,165.55 3.70 3 00939 CCB 109,794.21 3.15 4 03988 BANK OF CHINA 107,920.85 3.09 5 01398 ICBC 107,308.06 3.08 6 00941 CHINA MOBILE 100,064.26 2.87 7 00388 HKEX 90,887.14 2.60 8 00005 HSBC HOLDINGS 72,809.37 2.09 9 02628 CHINA LIFE 67,748.30 1.94 10 00883 CNOOC 62,869.79 1.80 11 00857 PETROCHINA 61,517.89 1.76 12 01299 AIA 57,844.34 1.66 13 00386 SINOPEC CORP 47,813.64 1.37 14 01928 SANDS CHINA LTD 46,866.45 1.34 15 00027 GALAXY ENT 42,890.96 1.23 16 06837 HAITONG SEC 38,956.82 1.12 17 06030 CITIC SEC 34,056.15 0.98 18 01288 ABC 33,712.15 0.97 19 01988 MINSHENG BANK 33,498.66 0.96 20 00013 HUTCHISON 32,816.76 0.94

Total 1,432,409.55 41.05

20 Most Active Stock by Sharesfor 4th quarter 2014Rank Code Stock Turnover (Mil. shs) % of total

1 00261 CCT LAND 68,813.95 7.27 2 03988 BANK OF CHINA 27,599.42 2.92 3 00139 CHINA JINHAI 27,027.63 2.86 4 01398 ICBC 20,648.49 2.18 5 00939 CCB 18,596.63 1.96 6 00913 UNITY INV HOLD 16,007.92 1.69 7 00981 SMIC 15,235.23 1.61 8 00364 PING SHAN TEA 10,992.89 1.16 9 00231 MADEX INTL HOLD 9,852.50 1.04 10 01288 ABC 9,225.03 0.97 11 01371 CHINA LOTSYN 8,732.18 0.92 12 03800 GCL-POLY ENERGY 8,584.89 0.91 13 00232 AVIC INT’L 8,311.97 0.88 14 00386 SINOPEC CORP 7,459.29 0.79 15 00471 CMMB VISION 7,343.06 0.78 16 00857 PETROCHINA 6,939.96 0.73 17 01816 CGN POWER 6,834.87 0.72 18 00726 SOUTH EAST GP 6,731.57 0.71 19 02309 BIRMINGHAM INTL 5,877.59 0.62 20 00745 CN CULTURE GP 5,608.48 0.59

Total 296,423.55 31.31

Main Board Equities


Market Capitalisation of listed companies for Main Board

HK$ mil.

2013 Q4 23,908,803.802014 Q1 22,892,041.53 Q2 23,780,215.41 Q3 24,248,110.50 Q4 24,892,419.04

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

Properties & Construction(13.88%)

Financials(29.96%)

Telecommunications(9.37%)

Consumer Services(7.88%)

Consumer Goods(11.06%)

Industrial(4.23%)

Materials(2.12%)

Energy(4.70%)

Conglomerates(4.23%)

Information Technology(6.55%)

Utilities (6.03%)

* 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 4th quarter end 2014

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

1 00941 China Mobile Ltd. 1,845,762.61 7.41 2 00939 China Construction Bank Corporation – H Shares 1,531,458.33 6.15 3 00005 HSBC Holdings plc 1,421,989.17 5.71 4 00700 Tencent Holdings Ltd. 1,053,930.94 4.23 5 01299 AIA Group Ltd. 519,746.81 2.09 6 01398 Industrial and Commercial Bank of China Ltd. – H Shares 491,254.29 1.97 7 00805 Glencore plc * – 482,124.79 N.A. 8 00883 CNOOC Ltd. 466,119.44 1.87 9 02378 Prudential plc * – 465,795.28 N.A. 10 00013 Hutchison Whampoa Ltd. 380,505.84 1.53 11 03988 Bank of China Ltd. – H Shares 365,429.35 1.47 12 00016 Sun Hung Kai Properties Ltd. 333,958.53 1.34 13 00267 CITIC Ltd. 329,221.94 1.32 14 01928 Sands China Ltd. 307,782.81 1.24 15 00001 Cheung Kong (Holdings) Ltd. 301,796.21 1.21 16 02318 Ping An Insurance (Group) Co. of China Ltd. – H Shares 294,551.67 1.18 17 02888 Standard Chartered PLC 287,054.19 1.15 18 00945 Manulife Financial Corporation * – 278,652.23 N.A. 19 02388 BOC Hong Kong (Holdings) Ltd. 274,363.65 1.10 20 03328 Bank of Communications Co., Ltd. – H Shares 253,485.89 1.02 21 00762 China Unicom (Hong Kong) Ltd. 248,904.58 1.00 22 00011 Hang Seng Bank Ltd. 247,010.08 0.99 23 02628 China Life Insurance Co. Ltd. – H Shares 226,583.78 0.91 24 00388 Hong Kong Exchanges and Clearing Ltd. 200,562.71 0.81 25 00688 China Overseas Land & Investment Ltd. 188,410.14 0.76 26 00003 Hong Kong and China Gas Co. Ltd., The 186,694.71 0.75 27 00027 Galaxy Entertainment Group Ltd. 185,289.43 0.74 28 00066 MTR Corporation Ltd. 185,225.93 0.74 29 00857 PetroChina Co. Ltd. – H Shares 181,450.54 0.73 30 00002 CLP Holdings Ltd. 169,903.80 0.68 31 00004 Wharf (Holdings) Ltd., The 169,687.13 0.68 32 00012 Henderson Land Development Co. Ltd. 162,918.42 0.65 33 00006 Power Assets Holdings Ltd. 160,603.19 0.65 34 00386 China Petroleum & Chemical Corporation – H Shares 159,458.99 0.64 35 00019 Swire Pacific Ltd. 146,815.09 0.59 36 01038 Cheung Kong Infrastructure Holdings Ltd. 140,033.67 0.56 37 00151 Want Want China Holdings Ltd. 134,863.39 0.54 38 01972 Swire Properties Ltd. 133,965.00 0.54 39 01288 Agricultural Bank of China Ltd. – H Shares 120,496.19 0.48 40 01109 China Resources Land Ltd. 119,248.42 0.48 41 00566 Hanergy Thin Film Power Group Ltd. 116,949.88 0.47 42 01128 Wynn Macau, Ltd. 113,522.22 0.46 43 00992 Lenovo Group Ltd. 113,308.28 0.46 44 01913 PRADA S.p.A. 112,460.31 0.45 45 02601 China Pacific Insurance (Group) Co., Ltd. – H Shares 109,346.82 0.44 46 06883 Melco Crown Entertainment Ltd. 107,768.98 0.43 47 01929 Chow Tai Fook Jewellery Group Ltd. 104,000.00 0.42 48 00322 Tingyi (Cayman Islands) Holding Corp. 99,297.55 0.40 49 01044 Hengan International Group Co. Ltd. 99,236.38 0.40 50 00101 Hang Lung Properties Ltd. 97,555.22 0.39Total 14,999,982.51 60.26Market Total 24,892,419.04 100.00

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 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 Q4 537,312.82 5,005,118.22 10.74

* Included Market total for Main Board and GEM

Short Selling (share)

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

2013 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 Q4 50,290.13 9,599,469.09 0.52

* 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 Q4 48 5 107,181.692014 Q1 18 2 45,540.23 Q2 24 2 35,955.89 Q3 27 2 48,806.13 Q4 27 1 98,801.40

* 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 4th quarter 2014

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

01811 CGN Meiya Power Holdings Co., Ltd. 2014/10/03 4,290,824,000 2,033.2306116 Shanghai La Chapelle Fashion Co., Ltd. – H Shares 2014/10/09 225,268,000 1,938.2302280 HC International, Inc. * 2014/10/10 667,166,618 –01347 Hua Hong Semiconductor Ltd. 2014/10/15 1,033,871,656 2,572.8306893 Hin Sang Group (International) Holding Co. Ltd. 2014/10/16 800,000,000 236.0001462 Nga Chun Holdings Co. Ltd. 2014/10/16 400,000,000 110.0003822 Sam Woo Construction Group Ltd. 2014/10/16 400,000,000 150.0001466 Man Sang Jewellery Holdings Ltd. 2014/10/17 266,321,163 –06118 Austar Lifesciences Ltd. 2014/11/07 512,582,000 429.2601289 Wuxi Sunlit Science and Technology Co. Ltd. – H Shares 2014/11/11 32,000,000 247.0401443 Fulum Group Holdings Ltd. 2014/11/13 1,300,000,000 503.7501305 Wai Chi Holdings Co. Ltd. 2014/11/18 200,000,000 184.0001317 China Maple Leaf Educational Systems Ltd. 2014/11/28 1,334,000,000 961.9206882 EGL Holdings Co. Ltd. 2014/11/28 502,450,000 177.1601478 Q Technology (Group) Co. Ltd. 2014/12/02 1,000,000,000 697.5001022 Feiyu Technology International Co. Ltd. 2014/12/05 1,506,463,500 674.2201480 Yan Tat Group Holdings Ltd. 2014/12/08 240,000,000 73.8001816 CGN Power Co., Ltd. – H Shares 2014/12/10 11,163,625,000 28,213.5306869 Yangtze Optical Fibre and Cable Joint Stock Ltd. Co. – H Shs 2014/12/10 339,697,794 1,181.4401669 Global International Credit Group Ltd. 2014/12/12 400,000,000 135.0001438 Nirvana Asia Ltd. 2014/12/17 2,698,795,000 2,024.1000520 Xiabuxiabu Catering Management (China) Holdings Co., Ltd. 2014/12/17 1,063,800,652 1,111.7201958 BAIC Motor Corporation Ltd. – H Shares 2014/12/19 2,100,690,682 11,880.3703699 Dalian Wanda Commercial Properties Co., Ltd. – H Shares 2014/12/23 652,547,600 31,322.2801381 Canvest Environmental Protection Group Co. Ltd. 2014/12/29 2,000,000,000 1,165.0002277 Chun Sing Engineering Holdings Ltd. 2014/12/29 1,030,000,000 154.5002066 Shengjing Bank Co., Ltd. – H Shares 2014/12/29 1,375,000,000 10,395.0001035 BBI Life Science Corporation 2014/12/30 524,663,100 229.54Total 98,801.40

* 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


Withrawal of Listed Companiesfor 4th quarter 2014

Code Company name Last trading date Delisted date

00302 Wing Hang Bank, Ltd. 2014/07/29 2014/10/16

Main Board Equities


Company Name Changesfor 4th quarter 2014

Code Old name New name Effective date Adoption date

00566 Hanergy Solar Group Ltd. Hanergy Thin Film Power Group Ltd. 2014/08/26 2014/10/0900356 Incutech Investments Ltd. DT Capital Ltd. 2014/09/08 2014/10/0900169 Wanda Commercial Properties (Group) Co., Ltd. Wanda Hotel Development Co. Ltd. 2014/09/19 2014/10/2200485 Starlight International Holdings Ltd. Shihua Development Co. Ltd. 2014/09/18 2014/10/2300241 CITIC 21CN Co. Ltd. Alibaba Health Information Technology Ltd. 2014/09/08 2014/10/2401152 Fornton Group Ltd. Infinity Financial Group (Holdings) Ltd. 2014/10/01 2014/10/2400876 Wing Lee Holdings Ltd. Wing Tai Investment Holdings Ltd. 2014/09/23 2014/11/0301141 Poly Capital Holdings Ltd. * Mission Capital Holdings Ltd. 2014/10/01 2014/11/0400260 China Environmental Investment Holdings Ltd. AVIC Joy Holdings (HK) Ltd. 2014/11/03 2014/11/0700265 South China Holdings Ltd. Orient Victory China Holdings Ltd. 2014/10/09 2014/11/0700198 SMI Corporation Ltd. SMI Holdings Group Ltd. 2014/10/27 2014/11/2401165 Shunfeng Photovoltaic International Ltd. Shunfeng International Clean Energy Ltd. 2014/11/13 2014/11/2600607 Warderly International Holdings Ltd. Fullshare Holdings Ltd. 2014/10/22 2014/11/2600164 China Gamma Group Ltd. REX Global Entertainment Holdings Ltd. 2014/10/29 2014/12/0100572 China Packaging Group Co. Ltd. China For You Group Co. Ltd. 2014/11/10 2014/12/0100738 Le Saunda Holdings Ltd. # Le Saunda Holdings Ltd. 2014/12/01 2014/12/0100847 Kazakhmys PLC KAZ Minerals PLC 2014/10/31 2014/12/0300499 HyComm Wireless Ltd. Qingdao Holdings International Ltd. 2014/11/17 2014/12/0800139 ICube Technology Holdings Ltd. China Jinhai International Group Ltd. 2014/11/13 2014/12/0900862 Vision Values Holdings Ltd. # Vision Values Holdings Ltd. 2014/11/25 2014/12/2200377 New Island Development Holdings Ltd. Huajun Holdings Ltd. 2014/11/25 2014/12/23

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

Main Board Equities


Bonus Issues/Bonus Warrantsfor 4th quarter 2014

Code Company Particulars Ex-date

00913 Unity Investments Holdings Ltd. 4 for 1 2014/10/0702342 Comba Telecom Systems Holdings Ltd. 1 for 10 2014/10/1001102 Enviro Energy International Holdings Ltd. 3 wts for 5 offer shs 2014/10/1500396 Hing Lee (HK) Holdings Ltd. 2 for 1 2014/10/1700131 Cheuk Nang (Holdings) Ltd. 1 wt for 50 2014/10/2303823 Tech Pro Technology Development Ltd. 1 for 5 2014/11/1100091 International Standard Resources Holdings Ltd. 2 wts for 15 2014/11/1300723 Sustainable Forest Holdings Ltd. 17 for 1 offer sh 2014/11/2001271 Grand Ming Group Holdings Ltd. 1 for 10 2014/12/0100273 Willie International Holdings Ltd. 1 for 2 subdivided shs 2014/12/0500279 Freeman Financial Corporation Ltd. 1 for 2 subdivided shs 2014/12/16

Share Split/Consolidationfor 4th quarter 2014

Code Company Particulars Effective date

00986 China Environmental Energy Investment Ltd. Consolidation 20 into 1 2014/10/0300353 Energy International Investments Holdings Ltd. Consolidation 10 into 1 2014/10/0800076 South Sea Petroleum Holdings Ltd. Consolidation 10 into 1 2014/10/0900905 Mastermind Capital Ltd. Consolidation 10 into 1 2014/10/1000827 Ko Yo Chemical (Group) Ltd. Consolidation 5 into 1 2014/10/1406828 Blue Sky Power Holdings Ltd. Split 1 into 10 2014/10/1500065 DeTeam Co. Ltd. Consolidation 5 into 1 2014/10/2100616 Easyknit Enterprises Holdings Ltd. Consolidation 10 into 1 2014/10/2102623 China Zhongsheng Resources Holdings Ltd. Split 1 into 5 2014/10/2800276 Mongolia Energy Corporation Ltd. Consolidation 4 into 1 2014/11/1300789 Artini China Co. Ltd. Consolidation 2 into 1 2014/11/1800451 GCL New Energy Holdings Ltd. Split 1 into 4 2014/11/1900901 Eagle Ride Investment Holdings Ltd. Split 1 into 8 2014/12/0400273 Willie International Holdings Ltd. Split 1 into 10 2014/12/0400279 Freeman Financial Corporation Ltd. Split 1 into 10 2014/12/1501059 Kantone Holdings Ltd. Consolidation 10 into 1 2014/12/1602393 Yestar International Holdings Co. Ltd. Split 1 into 4 2014/12/1601004 Rising Development Holdings Ltd. Split 1 into 4 2014/12/1900851 Sheng Yuan Holdings Ltd. Split 1 into 2 2014/12/30

Main Board Equities


Rights Issues & Open Offersfor 4th quarter 2014

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

Oct 01196 Realord Group Holdings Ltd. Rts 1 for 4 @$1.00 158.84 00923 Integrated Waste Solutions Group Holdings Ltd. Open offer 1 for 1 @$0.20 482.23 02007 Country Garden Holdings Co. Ltd. Rts 1 for 15 @$2.50 3,179.97 00123 Yuexiu Property Co. Ltd. Rts 33 for 100 @$1.25 3,846.27 01428 Bright Smart Securities & Commodities Group Ltd. Rts 1 for 2 @$1.00 561.15 00726 South East Group Ltd. Rts 8 for 1 @$0.10 291.96 01172 Midas International Holdings Ltd. Rts 1 for 2 @$0.10 110.36

Nov 01102 Enviro Energy International Holdings Ltd. Open offer 1 for 2 @$0.02 34.94 with bonus 3 wts for 5 offer shs 00616 Easyknit Enterprises Holdings Ltd. Rts 8 for 1 @$0.70 315.09 (after consolidation 10 into 1) 03383 Agile Property Holdings Ltd. Rts 1 for 8 @$3.80 1,653.86 00495 Paladin Ltd. Open offer 1 Convertible Note or 39.77* 1 Ordinary sh for 2 Ordinary shs @$0.25 01249 Tonly Electronics Holdings Ltd. Rts 1 for 2 @$5.10 423.25 00966 China Taiping Insurance Holdings Co. Ltd. Rts 21 for 100 @$11.89 6,413.56 00065 DeTeam Co. Ltd. Open offer 1 for 1 @$0.50 114.62 (after consolidation 5 into 1)Dec 01862 Jingrui Holdings Ltd. Rts 3 for 100 @$ 3.51 132.01 02328 PICC Property and Casualty Co. Ltd. – H Shares Rts 0.9 for 10 @$7.46 2,833.14 00235 China Strategic Holdings Ltd. Rts 1 for 2 @$0.08 177.56 00197 Heng Tai Consumables Group Ltd. Open offer 1 for 5 @$0.07 76.38 01001 Van Shung Chong Holdings Ltd. Open offer 1 for 2 @$0.50 105.38 01174 Pacific Andes International Holdings Ltd. Rts 1 for 2 @$0.18 424.99 00789 Artini China Co. Ltd. Open offer 3 for 1 @$0.10 185.60 (after consolidation 2 into 1) 00723 Sustainable Forest Holdings Ltd. Open offer 1 for 6 @$0.32 118.77 with bonus 17 for 1 offer sh 01312 Allied Cement Holdings Ltd. Open offer 1 for 2 @$1.50 495.00 00069 Shangri-La Asia Ltd. Rts 1 for 7 @$11.10 4,967.24 00975 Mongolian Mining Corporation Rts 3 for 2 @$0.28 1,556.12 01178 Vitop Bioenergy Holdings Ltd. Open offer 1 for 2 @$0.10 83.42 01387 Renhe Commercial Holdings Co. Ltd. Rts 1 for 2 @$0.32 3,383.70

Total 32,165.18

* Fund raised amount excludes the portion from convertible notes

Main Board Equities


Placing*

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

2014Oct 00104 ASIA COMM HOLD 200,000,000 0.2550 51.00 03988 BANK OF CHINA # 399,400,000 126.7800 50,635.93 00904 C CULIANGWANG 395,328,000 0.2500 98.83 00370 CHINA BEST 486,320,000 0.1800 87.54 01019 CONVOY 95,820,000 1.0000 95.82 00727 CROWNICORP 330,399,800 0.7000 231.28 00943 EFORCE HOLDINGS 111,370,600 0.4600 51.23 00451 GCL NEWENERGY 291,000,000 2.5500 742.05 00474 HAO TIAN DEV 397,200,000 0.4800 190.66 00872 JH AUTO SAFETY 122,802,000 0.4350 53.42 00579 JNCEC 393,010,000 3.2300 1,269.42 00397 JUNYANG SOLAR 1,090,000,000 0.1930 210.37 00381 KIU HUNG ENERGY 63,600,000 0.4750 30.21 00905 MASTERMIND CAP 51,952,000 0.5400 28.05 01237 MERRY GARDEN 165,000,000 0.9300 153.45 01236 NATIONAL AGRI 125,660,900 3.0000 376.98 00055 NEWAY GROUP 244,640,000 0.1560 38.16 01323 NEWTREE GROUP 21,900,000 2.4000 52.56 00527 RUIFENG RENEW 208,000,000 1.0000 208.00 01228 SUPERB SUMMIT 100,000,000 1.2700 127.00 00621 TAUNG GOLD 263,000,000 0.1520 39.98 01298 TECHCOMP 34,875,000 2.4000 83.70 00826 TIANGONG INT’L 300,000,000 1.7500 525.00Nov 00030 ABC COM (HOLD) 331,068,000 0.1140 37.74 00630 AMCO UNITED 226,200,000 0.1180 26.69 02339 BWI INT’L 300,000,000 0.3300 99.00 01194 C PRECIOUSMETAL 250,000,000 0.8000 200.00 00996 CARNIVAL GROUP 220,000,000 1.1300 248.60 00138 CCT FORTIS 75,000,000 0.9000 67.50 00149 CH AGRI-PROD EX 220,000,000 0.2700 59.40 01380 CHI KINGSTONE 49,384,236 0.2030 10.02 01380 CHI KINGSTONE 378,867,213 0.1285 48.68 00139 CHINA JINHAI 495,192,763 0.1750 86.66 00139 CHINA JINHAI 921,141,959 0.1500 138.17 01371 CHINA LOTSYN 594,034,513 0.7500 445.53 00326 CHINA STAR ENT 1,500,000,000 0.0900 135.00 03778 CHINA WEAVING 126,000,000 0.8000 100.80 00080 CNEWECON FUND 60,600,000 0.3500 21.21 00707 CO-PROSPERITY 279,700,000 0.1600 44.75 00607 FULLSHARE 680,000,000 0.4500 306.00 00733 HOPEFLUENT 133,000,000 3.0000 399.00 00902 HUANENG POWER 365,000,000 8.6000 3,139.00 00397 JUNYANG SOLAR 444,000,000 0.1860 82.58 00827 KO YO GROUP 800,000,000 0.3200 256.00 01360 MEGAEXPO HLDG 40,000,000 1.3810 55.24 01822 PERCEPTIONDIGIT 1,000,000,000 0.1750 175.00 00691 SHANSHUI CEMENT 563,190,040 2.7700 1,560.04 01080 SHENGLI PIPE 248,058,000 0.4500 111.63

Main Board Equities


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

00152 SHENZHEN INT’L 176,000,000 11.0000 1,936.00 00981 SMIC 938,111,417 0.6000 562.87 00515 TC ORI LIGHT 88,456,000 1.0000 88.46 00856 VST HOLDINGS 32,000,000 2.5000 80.00Dec 00959 AMAX INT HOLD 9,900,000 0.9300 9.21 00565 ART TEXTILE 208,000,000 0.3350 69.68 00595 AV CONCEPT HOLD 61,836,000 0.4010 24.80 00232 AVIC INT’L 900,000,000 0.6000 540.00 01094 C P PROCUREMENT 73,500,000 0.2420 17.79 00996 CARNIVAL GROUP 645,000,000 1.1500 741.75 00633 CH ALL ACCESS 133,332,000 3.0000 400.00 02349 WATER PROPERTY 185,872,000 0.7740 143.86 00986 CH ENV ENERGY 48,190,489 0.6600 31.81 01226 CH INV FIN GP 43,000,000 0.3450 14.84 01185 CHINA ENERGINE 400,000,000 0.7500 300.00 03300 CHINA GLASS 260,000,000 0.9400 244.40 00711 CHUN WO DEV 100,000,000 0.4630 46.30 00674 CULTURELANDMARK 119,752,000 0.5000 59.88 00339 EARNEST INV 16,000,000 1.1000 17.60 01808 ENTERPRISE DEV 350,000,000 0.2500 87.50 01738 FS ANTHRACITE 13,500,000 12.0000 162.00 00607 FULLSHARE 780,000,000 0.4800 374.40 01082 HK EDU INTL 271,616,000 0.1220 33.14 00958 HN RENEWABLES 698,780,832 2.5000 1,746.95 00816 HUADIAN FUXIN 428,370,000 4.0100 1,717.76 01188 HYBRID KINETIC 1,780,235,000 0.1600 284.84 01398 ICBC # 3,020,767,778 4.9775 15,036.00 01398 ICBC # 1,251,825,578 4.6024 5,761.38 01398 ICBC # 4,557,432,956 5.0318 22,932.00 01076 IMPERIAL PAC 510,000,000 1.5500 790.50 00663 KING STONE ENGY 330,000,000 0.2500 82.50 00254 NUR HOLDINGS 389,460,000 0.2300 89.58 02318 PING AN 594,056,000 62.0000 36,831.47 01399 SCUD GROUP 58,000,000 1.0600 61.48 00766 SINO PROSPER GP 160,000,000 0.2160 34.56 00299 SINOCOM SOFT 200,000,000 0.7000 140.00 01099 SINOPHARM 198,801,600 28.4000 5,645.97 00395 SMARTAC GP CH 300,000,000 0.3100 93.00 01878 SOUTHGOBI-S 24,360,773 2.8555 69.56 03886 TOWN HEALTH 459,183,673 0.7000 321.43 01046 UNIVERSE INT’L 414,415,000 0.1000 41.44 01002 V.S. INT’L 266,680,000 0.4500 120.01 00897 WAI YUEN TONG 700,000,000 0.1330 93.10

Total 161,114.68

* Due to the reporting time-lag, placing figures for the quarter are provisional.# Placing of offshore preference shares

Main Board Warrants


Warrant Trading Statistics

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

2013 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 Q4 1,124.93 601,944.06 603,068.99

Warrant Market Value

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

2013 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 Q4 10 3,031.11 4,938 146,741.31 4,948 149,772.41

New Listing Statistics – Warrants

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

2013 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 Q4 3 1,986 48,705.91

Newly Listed Equity Warrantsfor 4th quarter 2014

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

01403 HKC (Holdings) Ltd. Warrants 2015 382,224,104 2014/10/17 2015/10/15 –01291 Cheuk Nang (Holdings) Ltd. Warrants 2015 44,663,832 2014/11/11 2015/11/10 –01407 International Standard Resources Holdings Ltd. Warrants 2015 189,890,379 2014/11/28 2015/11/26 –

Total –

Main Board Warrants


Newly Listed Derivative Warrantsfor 4th quarter 2014 Amount No. of raisedCode Derivative warrants issue (units) Listing date Expiry (HK$ mil.)

16566 Daiwa Capital Mkt – China Telecom European Wts Jun 2015 A 80,000,000 2014/10/03 2015/06/01 20.0016567 Daiwa Capital Mkt – China Telecom Euro Put Wts Mar 2015 B 68,000,000 2014/10/03 2015/03/02 10.2016557 HK Bank – HKEx European Warrants Jun 2015 A 100,000,000 2014/10/03 2015/06/30 15.0016556 HK Bank – KECL European Warrants Dec 2015 A 80,000,000 2014/10/03 2015/12/31 12.0016558 HK Bank – Tencent European Warrants Jan 2015 D 80,000,000 2014/10/03 2015/01/30 12.0016570 J P Morgan SP BV – CM Bank European Warrants Feb 2016 A 100,000,000 2014/10/03 2016/02/29 15.1016571 J P Morgan SP BV – Shunfeng Pv European Warrants May 2015 A 100,000,000 2014/10/03 2015/05/11 15.6016569 Macquarie Bank Ltd. – Ch LongYuan European Wts Feb 2017 A 50,000,000 2014/10/03 2017/02/02 12.5016554 Macquarie Bank Ltd. – Hutchison European Warrants Apr 2015 A 30,000,000 2014/10/03 2015/04/02 10.0216550 Nomura Int’l plc – Esprit European Warrants Jun 2016 B 50,000,000 2014/10/03 2016/06/30 12.5016548 Nomura Int’l plc – Esprit European Put Warrants Jun 2016 A 50,000,000 2014/10/03 2016/06/30 13.0016553 Nomura Int’l plc – Evergrande European Warrants Apr 2015 A 50,000,000 2014/10/03 2015/04/08 13.0016552 Nomura Int’l plc – Sh Electric European Warrants Apr 2015 A 50,000,000 2014/10/03 2015/04/08 12.5016560 Standard Chartered Bank – Hutchison Euro Euro Wts Apr 2015 A 60,000,000 2014/10/03 2015/04/02 21.0016562 SGA Societe Generale Acceptance N.V. – Ch Cinda Eu Wt Apr15A 40,000,000 2014/10/03 2015/04/08 10.0016565 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Mar 2015B 70,000,000 2014/10/03 2015/03/04 21.7016563 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Apr15C 80,000,000 2014/10/03 2015/04/08 31.6016564 SGA Societe Generale Acceptance N.V. – SJM Hold Eu Wt Jul15A 80,000,000 2014/10/03 2015/07/06 12.0016559 UBS AG – China Life European Warrants Jun 2015 A 100,000,000 2014/10/03 2015/06/05 15.0028183 # J P Morgan SP BV – Tencent European Put Warrants Apr 2015 A 350,000,000 2014/10/03 2015/04/30 49.0016591 Citigroup Global Mkt H Inc. – China Life Euro Wts Jun 2015 A 150,000,000 2014/10/06 2015/06/23 22.5016593 Citigroup Global Mkt H Inc. – Sinopec Corp Eu Wts Mar 2015 A 100,000,000 2014/10/06 2015/03/16 29.0016592 Citigroup Global Mkt H Inc. – Ping An Euro Wts Jan 2015 B 100,000,000 2014/10/06 2015/01/27 16.8016578 Daiwa Capital Mkt – China Mobile European Wts Apr 2015 A 108,000,000 2014/10/06 2015/04/08 31.3216580 Daiwa Capital Mkt – Galaxy Ent European Warrants Apr 2015 A 98,000,000 2014/10/06 2015/04/08 36.2616577 Daiwa Capital Mkt – Kingsoft European Warrants Apr 2015 A 80,000,000 2014/10/06 2015/04/08 20.0016582 Daiwa Capital Mkt – Sands China European Warrants Apr 2015 A 80,000,000 2014/10/06 2015/04/08 27.2016588 Goldman Sachs SP (Asia) – Geely Auto European Wts Apr 2015 A 80,000,000 2014/10/06 2015/04/08 21.1216586 Goldman Sachs SP (Asia) – Hutchison European Wts Apr 2015 A 80,000,000 2014/10/06 2015/04/08 25.6016574 HK Bank – HKEx European Put Warrants Jun 2015 B 100,000,000 2014/10/06 2015/06/23 16.0016572 HK Bank – Shunfeng Pv European Warrants Jun 2015 A 68,000,000 2014/10/06 2015/06/23 10.8816575 HK Bank – SJM Holdings European Warrants Jun 2015 B 80,000,000 2014/10/06 2015/06/22 12.0016583 Macquarie Bank Ltd. – Ch Comm Cons European Wts Jun 2015 A 40,000,000 2014/10/06 2015/06/02 10.0016584 Macquarie Bank Ltd. – Sh Electric European Wts May 2015 A 40,000,000 2014/10/06 2015/05/26 10.0016576 Macquarie Bank Ltd. – Singyes Solar European Warrants May15A 40,000,000 2014/10/06 2015/05/05 10.0016585 Standard Chartered Bank – HS H-SHARE European Wts Jun 2015 A 80,000,000 2014/10/06 2015/06/26 37.2016579 UBS AG – Kingsoft European Warrants Mar 2015 B 100,000,000 2014/10/06 2015/03/27 20.0027461 # Goldman Sachs SP (Asia) – Tencent European Wt Dec 2014 C 80,000,000 2014/10/06 2014/12/22 10.8816602 BOCI Asia Ltd. – Anhui Conch European Warrants May 2015 A 100,000,000 2014/10/07 2015/05/18 25.0016605 BOCI Asia Ltd. – Galaxy Ent European Put Warrants Apr 2015 B 100,000,000 2014/10/07 2015/04/02 36.0016603 BOCI Asia Ltd. – HSBC European Warrants Apr 2015 A 100,000,000 2014/10/07 2015/04/01 24.0016604 BOCI Asia Ltd. – Sands China European Put Wts Mar 2015 C 100,000,000 2014/10/07 2015/03/30 28.00

Main Board Warrants


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

16621 Credit Suisse AG – HSI European Put Warrants Jan 2015 D 150,000,000 2014/10/07 2015/01/29 22.5016628 Credit Suisse AG – Kingsoft European Warrants Mar 2015 D 80,000,000 2014/10/07 2015/03/30 12.8016627 Credit Suisse AG – Tencent Holdings European Wts Dec 2016 A 120,000,000 2014/10/07 2016/12/19 20.4016622 Credit Suisse AG – Tencent Holdings Euro Put Wts Dec 2015 C 100,000,000 2014/10/07 2015/12/22 15.0016630 Goldman Sachs SP (Asia) – China Cinda Euro Wts Apr 2015 A 80,000,000 2014/10/07 2015/04/30 21.7616629 Goldman Sachs SP (Asia) – Kingsoft European Wts Mar 2015 A 80,000,000 2014/10/07 2015/03/30 13.7616608 HK Bank – China Unicom European Warrants Jun 2015 A 100,000,000 2014/10/07 2015/06/30 15.0016607 HK Bank – HKEx European Warrants Sep 2015 C 150,000,000 2014/10/07 2015/09/14 28.5016606 HK Bank – HKEx European Warrants Nov 2015 B 150,000,000 2014/10/07 2015/11/30 24.0016619 HK Bank – HKEx European Warrants Dec 2015 B 150,000,000 2014/10/07 2015/12/31 22.5016617 HK Bank – HSI European Warrants Jun 2015 B 150,000,000 2014/10/07 2015/06/29 22.5016618 HK Bank – HSI European Warrants Sep 2015 B 150,000,000 2014/10/07 2015/09/29 22.5016615 HK Bank – Tencent European Warrants Dec 2015 C 150,000,000 2014/10/07 2015/12/21 24.0016636 J P Morgan Int’l Der. Ltd. – CC Bank European Wts Apr 2015 A 200,000,000 2014/10/07 2015/04/08 51.2016637 J P Morgan SP BV – Cheung Kong European Warrants Apr 2015 B 60,000,000 2014/10/07 2015/04/01 18.9016635 J P Morgan SP BV – Sinopec Corp European Warrants Dec 2015 A 100,000,000 2014/10/07 2015/12/30 15.5016639 J P Morgan SP BV – Kingsoft European Warrants Apr 2015 B 150,000,000 2014/10/07 2015/04/02 22.6516638 J P Morgan SP BV – Ping An European Warrants Apr 2015 A 150,000,000 2014/10/07 2015/04/08 37.8016623 Macquarie Bank Ltd. – Evergrande European Wts May 2015 B 40,000,000 2014/10/07 2015/05/04 10.0016624 Macquarie Bank Ltd. – Poly HK Inv European Wts Aug 2015 A 40,000,000 2014/10/07 2015/08/03 10.0016613 Macquarie Bank Ltd. – Sinopharm European Warrants May 2015 A 50,000,000 2014/10/07 2015/05/29 12.5016597 Nomura Int’l plc – CSOP A50 ETF European Warrants Jan 2015 B 80,000,000 2014/10/07 2015/01/30 12.0016600 Nomura Int’l plc – CSOP A50 ETF European Warrants Feb 2015 A 60,000,000 2014/10/07 2015/02/02 15.6016601 Nomura Int’l plc – CSOP A50 ETF European Warrants Mar 2015 A 80,000,000 2014/10/07 2015/03/02 12.0016594 Nomura Int’l plc – Link REIT European Warrants Jul 2015 A 80,000,000 2014/10/07 2015/07/16 14.8016595 Nomura Int’l plc – Link REIT European Warrants Sep 2015 A 50,000,000 2014/10/07 2015/09/30 12.5016614 Standard Chartered Bank – CAM CSI300 European Wts Mar 2015 A 60,000,000 2014/10/07 2015/03/30 11.4016611 Standard Chartered Bank – Chi Resources European Wts Jul15 A 60,000,000 2014/10/07 2015/07/23 10.8016610 Standard Chartered Bank – Galaxy Ent European Wts May 2015 A 40,000,000 2014/10/07 2015/05/04 21.2016609 Standard Chartered Bank – Galaxy Ent Euro Put Wts Apr 2015 D 40,000,000 2014/10/07 2015/04/09 14.4016631 Standard Chartered Bank – HSI European Warrants Feb 2015 E 100,000,000 2014/10/07 2015/02/26 15.0016632 Standard Chartered Bank – HSI European Put Wts Apr 2015 C 100,000,000 2014/10/07 2015/04/29 25.0016633 Standard Chartered Bank – Ping An European Wts Jan 2015 B 80,000,000 2014/10/07 2015/01/27 12.8016626 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Apr 2015 B 40,000,000 2014/10/07 2015/04/08 27.6016625 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Feb 2015 B 150,000,000 2014/10/07 2015/02/26 22.5016620 UBS AG – Kingsoft European Warrants Apr 2015 A 100,000,000 2014/10/07 2015/04/08 25.0016669 BNP Paribas Arbit Issu B.V. – Ch Comm Cons Eur Wt Aug 2015 A 25,000,000 2014/10/08 2015/08/04 10.0016667 BNP Paribas Arbit Issu B.V. – Cheung Kong Euro Wt Jan 2017 A 100,000,000 2014/10/08 2017/01/04 20.0016665 BNP Paribas Arbit Issu B.V. – HSI European Wts Jul 2015 B 100,000,000 2014/10/08 2015/07/30 15.0016668 BNP Paribas Arbit Issu B.V. – Hutchison Euro Wts Apr 2015 A 88,000,000 2014/10/08 2015/04/02 23.7616666 BNP Paribas Arbit Issu B.V. – Ping An European Wt Apr 2015 B 100,000,000 2014/10/08 2015/04/02 30.0016657 Credit Suisse AG – HSI European Put Warrants Jan 2015 E 150,000,000 2014/10/08 2015/01/29 22.5016659 Credit Suisse AG – Hutchison European Warrants Mar 2015 A 100,000,000 2014/10/08 2015/03/30 26.0016645 Daiwa Capital Mkt – CCB European Warrants Mar 2015 A 108,000,000 2014/10/08 2015/03/27 20.52

Main Board Warrants



16640 Daiwa Capital Mkt – HKEx European Warrants Jun 2015 B 208,000,000 2014/10/08 2015/06/01 52.0016647 Daiwa Capital Mkt – ICBC European Warrants Jun 2015 A 108,000,000 2014/10/08 2015/06/26 19.4416660 J P Morgan SP BV – HSBC European Warrants Apr 2015 B 200,000,000 2014/10/08 2015/04/02 30.2016662 J P Morgan SP BV – JX Copper European Warrants Dec 2015 A 100,000,000 2014/10/08 2015/12/02 15.4016663 J P Morgan SP BV – New World Dev European Wts Jan 2015 A 50,000,000 2014/10/08 2015/01/29 14.0516664 J P Morgan SP BV – Wharf European Warrants Apr 2015 A 100,000,000 2014/10/08 2015/04/08 25.6016652 SGA Societe Generale Acceptance N.V. – CITBK Eu Wt Apr 15 A 40,000,000 2014/10/08 2015/04/08 10.8016641 SGA Societe Generale Acceptance N.V. – CK(H) Eu Wt Jan 2017A 300,000,000 2014/10/08 2017/01/04 45.0016653 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Jan 17 A 600,000,000 2014/10/08 2017/01/04 90.0016655 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Apr 15 B 150,000,000 2014/10/08 2015/04/29 37.5016656 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jun 15 C 150,000,000 2014/10/08 2015/06/29 37.5016642 UBS AG – China Life European Warrants Mar 2015 A 100,000,000 2014/10/08 2015/03/25 15.0016644 UBS AG – HSI European Warrants Jan 2015 D 300,000,000 2014/10/08 2015/01/29 45.0016643 UBS AG – HSI European Warrants Mar 2015 D 300,000,000 2014/10/08 2015/03/30 45.0016649 UBS AG – Hutchison European Warrants Apr 2015 A 100,000,000 2014/10/08 2015/04/08 48.0016648 UBS AG – Ping An European Warrants Apr 2015 A 100,000,000 2014/10/08 2015/04/08 33.0016651 UBS AG – Tencent Holdings European Warrants Feb 2015 D 100,000,000 2014/10/08 2015/02/04 34.0016690 Credit Suisse AG – CC Bank European Warrants Apr 2015 A 70,000,000 2014/10/09 2015/04/08 10.5016707 Credit Suisse AG – Cheung Kong European Warrants Mar 2015 A 70,000,000 2014/10/09 2015/03/25 19.6016706 Credit Suisse AG – Cheung Kong European Warrants Dec 2016 A 70,000,000 2014/10/09 2016/12/19 11.2016705 Credit Suisse – Cheung Kong European Put Warrants Apr 2015 A 70,000,000 2014/10/09 2015/04/09 18.2016709 Credit Suisse AG – China Life European Warrants Apr 2015 A 70,000,000 2014/10/09 2015/04/01 10.5016689 Credit Suisse AG – HSI European Warrants Feb 2015 F 150,000,000 2014/10/09 2015/02/26 28.5016685 Credit Suisse AG – HSI European Warrants Mar 2015 D 150,000,000 2014/10/09 2015/03/30 22.5016684 Credit Suisse AG – HSI European Warrants Apr 2015 B 150,000,000 2014/10/09 2015/04/29 22.5016686 Credit Suisse AG – HSI European Warrants Jul 2015 A 150,000,000 2014/10/09 2015/07/30 22.5016692 Credit Suisse AG – ICBC European Warrants Jan 2015 B 70,000,000 2014/10/09 2015/01/12 10.5016691 Credit Suisse AG – ICBC European Warrants Jul 2015 A 70,000,000 2014/10/09 2015/07/06 11.2016704 Credit Suisse AG – Ping An European Warrants Apr 2015 A 70,000,000 2014/10/09 2015/04/09 18.2016712 Credit Suisse AG – Tencent Holdings European Wts Jan 2015 E 100,000,000 2014/10/09 2015/01/28 39.0016711 Credit Suisse AG – Tencent Holdings European Wts Mar 2015 A 100,000,000 2014/10/09 2015/03/02 31.0016723 Citigroup Global Mkt H Inc. – Cheung Kong Eu Put Wt Apr 15 A 35,000,000 2014/10/09 2015/04/08 10.5016717 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Mar 2015 D 80,000,000 2014/10/09 2015/03/03 31.2016721 Citigroup Global Mkt H Inc. – HKEx European Wts Feb 2015 C 50,000,000 2014/10/09 2015/02/02 28.0016720 Citigroup Global Mkt H Inc. – HKEx European Wts Oct 2015 A 300,000,000 2014/10/09 2015/10/05 75.0016718 Citigroup Global Mkt H Inc. – HSBC European Wts Jan 2015 A 80,000,000 2014/10/09 2015/01/30 12.0016719 Citigroup Global Mkt H Inc. – HSBC European Wts Apr 2015 A 80,000,000 2014/10/09 2015/04/10 20.0016693 Daiwa Capital Mkt – BOC HK European Put Warrants Oct 2015 A 68,000,000 2014/10/09 2015/10/02 17.0016682 Daiwa Capital Mkt – Ping An European Put Warrants Apr 2015 A 80,000,000 2014/10/09 2015/04/10 20.0016683 Daiwa Capital Mkt – Tencent Holdings European Wts Mar 2015 B 108,000,000 2014/10/09 2015/03/02 30.2416679 Goldman Sachs SP (Asia) – Cheung Kong Euro Wts Dec 2016 A 120,000,000 2014/10/09 2016/12/28 18.0016680 Goldman Sachs SP (Asia) – HSI European Warrants Jan 2015 E 150,000,000 2014/10/09 2015/01/29 22.5016676 HK Bank – Cheung Kong European Warrants Dec 2016 A 80,000,000 2014/10/09 2016/12/19 12.0016675 HK Bank – Tencent European Warrants Jan 2015 E 60,000,000 2014/10/09 2015/01/27 40.80

Main Board Warrants



16715 J P Morgan SP BV – Galaxy Ent European Warrants Apr 2015 E 100,000,000 2014/10/09 2015/04/08 25.2016713 J P Morgan SP BV – HKEx European Warrants Sep 2015 B 300,000,000 2014/10/09 2015/09/02 45.3016716 J P Morgan SP BV – HSI European Put Warrants Mar 2015 C 500,000,000 2014/10/09 2015/03/30 76.0016714 J P Morgan SP BV – Sands China European Warrants Mar 2015 C 100,000,000 2014/10/09 2015/03/31 19.2016694 Nomura Int’l plc – CITIC Bank European Warrants Jan 2015 A 80,000,000 2014/10/09 2015/01/09 16.0016698 Nomura Int’l plc – CITIC Bank European Warrants Jun 2015 A 50,000,000 2014/10/09 2015/06/30 12.5016697 Nomura Int’l plc – CSR European Warrants Sep 2016 A 80,000,000 2014/10/09 2016/09/27 12.0816696 Nomura Int’l plc – Foxconn European Warrants Jun 2015 A 50,000,000 2014/10/09 2015/06/30 23.0016695 Nomura Int’l plc – Sunny Optical European Warrants Jul 2015A 50,000,000 2014/10/09 2015/07/31 12.5016671 Standard Chartered Bank – Anhui Conch Euro Wts Apr 2015 B 60,000,000 2014/10/09 2015/04/30 15.0016670 Standard Chartered Bank – Esprit European Wts Dec 2015 A 80,000,000 2014/10/09 2015/12/29 12.0016681 Standard Chartered Bank – HSCEI European Put Wts Jul 2015 A 100,000,000 2014/10/09 2015/07/30 25.0016674 Standard Chartered Bank – SHK P European Put Wts Feb 2015 C 80,000,000 2014/10/09 2015/02/24 12.0016673 Standard Chartered Bank – Zijin Mining Euro Wts Mar 2015 A 50,000,000 2014/10/09 2015/03/30 12.0016699 UBS AG – HSCEI European Warrants Jan 2015 A 100,000,000 2014/10/09 2015/01/29 19.0016702 UBS AG – HSCEI European Put Warrants Sep 2015 A 100,000,000 2014/10/09 2015/09/29 25.0016732 Credit Suisse AG – HSBC European Wts Apr 2015 A 70,000,000 2014/10/10 2015/04/28 13.3016734 Credit Suisse AG – HSI European Warrants Jan 2015 F 150,000,000 2014/10/10 2015/01/29 31.5016739 Credit Suisse AG – HSI European Put Warrants Apr 2015 C 150,000,000 2014/10/10 2015/04/29 37.5016733 Credit Suisse AG – Sands China European Warrants Mar 2015 D 70,000,000 2014/10/10 2015/03/24 14.7016745 Daiwa Capital Mkt – Sinopec Corp European Wts Apr 2015 A 80,000,000 2014/10/10 2015/04/09 20.0016747 Daiwa Capital Mkt – Sinopec Corp European Put Wts Apr 2015 B 68,000,000 2014/10/10 2015/04/09 19.7216758 Goldman Sachs SP (Asia) – Agri Bk European Wts Aug 2015 A 80,000,000 2014/10/10 2015/08/28 20.2416756 Goldman Sachs SP (Asia) – CC Bank European Wts Apr 2015 A 80,000,000 2014/10/10 2015/04/29 26.6416753 Goldman Sachs SP (Asia) – China Cinda Euro Wts Apr 2015 B 80,000,000 2014/10/10 2015/04/10 26.9616757 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts Apr 2015 A 80,000,000 2014/10/10 2015/04/29 35.1216755 Goldman Sachs SP (Asia) – HSBC European Warrants Apr 2015 A 80,000,000 2014/10/10 2015/04/29 24.5616759 Goldman Sachs Sp (Asia) – ICBC European Warrants Apr 2015 A 80,000,000 2014/10/10 2015/04/29 22.3216754 Goldman Sachs SP (Asia) – Ping An European Wts Apr 2015 B 80,000,000 2014/10/10 2015/04/10 27.6016725 HK Bank – AIA European Warrants Feb 2015 A 80,000,000 2014/10/10 2015/02/09 12.0016724 HK Bank – China Mobile European Warrants Feb 2015 H 80,000,000 2014/10/10 2015/02/16 17.6016751 J P Morgan SP BV – CITIC European Warrants Jul 2015 B 100,000,000 2014/10/10 2015/07/02 15.1016752 J P Morgan SP BV – China Mob European Wts May 2015 A 200,000,000 2014/10/10 2015/05/04 53.4016749 J P Morgan SP BV – Sinopec Corp European Warrants May 2015 A 100,000,000 2014/10/10 2015/05/04 25.8016750 J P Morgan SP BV – SHK Ppt European Warrants May 2015 A 60,000,000 2014/10/10 2015/05/04 15.3616735 Macquarie Bank Ltd. – Anton Oilfield European Wts May 2015 A 30,000,000 2014/10/10 2015/05/19 10.0216743 Macquarie Bank Ltd. – Baiyunshan Ph European Warrants Apr15A 35,000,000 2014/10/10 2015/04/13 10.2616736 Macquarie Bank Ltd. – Kingsoft European Warrants May 2015 A 40,000,000 2014/10/10 2015/05/05 10.0016744 Standard Chartered Bank – HSBC European Put Wts Jul 2015 A 100,000,000 2014/10/10 2015/07/02 18.5016726 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt May15A 80,000,000 2014/10/10 2015/05/06 38.8016728 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt May 2015 A 100,000,000 2014/10/10 2015/05/06 25.0016742 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt May 15 A 150,000,000 2014/10/10 2015/05/28 26.2516740 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jul 15 A 150,000,000 2014/10/10 2015/07/30 37.5016738 UBS AG – China Mobile European Put Warrants Apr 2015 A 100,000,000 2014/10/10 2015/04/09 25.00

Main Board Warrants



16730 UBS AG – HSBC European Warrants Mar 2015 A 100,000,000 2014/10/10 2015/03/26 17.5016729 UBS AG – HSI European Warrants Mar 2015 E 300,000,000 2014/10/10 2015/03/30 48.0016737 UBS AG – HSI European Put Warrants Apr 2015 A 300,000,000 2014/10/10 2015/04/29 75.0016731 UBS AG – ICBC European Warrants Apr 2015 A 100,000,000 2014/10/10 2015/04/09 27.5013716 # Standard Chartered Bank – HKEx European Warrants Jun 2015 D 100,000,000 2014/10/10 2015/06/22 10.4016771 J P Morgan SP BV – HSI European Warrants Apr 2015 A 500,000,000 2014/10/13 2015/04/29 75.0016770 Macquarie Bank Ltd. – Anhui Conch European Wts May 2015 A 35,000,000 2014/10/13 2015/05/05 10.0116769 Macquarie Bank Ltd. – CNBM European Warrants May 2015 A 25,000,000 2014/10/13 2015/05/05 10.0016768 Macquarie Bank Ltd. – NCI European Warrants Jul 2015 A 40,000,000 2014/10/13 2015/07/03 10.0016760 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Sep 2015 C 300,000,000 2014/10/13 2015/09/02 45.0016762 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jan 2016 D 300,000,000 2014/10/13 2016/01/04 45.0016764 UBS AG – China Mobile European Warrants Feb 2015 F 100,000,000 2014/10/13 2015/02/12 15.0016763 UBS AG – Galaxy Ent European Warrants Mar 2015 D 60,000,000 2014/10/13 2015/03/26 11.4010302 BNP Paribas Arbit Issu B.V. – AUD/USD European Wts Jun 2015 A 100,000,000 2014/10/14 2015/06/19 25.0010303 BNP Paribas Arbit Issu B.V. – AUD/USD Euro Put Wts Jun 2015 B 100,000,000 2014/10/14 2015/06/19 25.0010298 BNP Paribas Arbit Issu B.V. – EUR/USD Euro Wts Jun 2015 A 100,000,000 2014/10/14 2015/06/19 25.0010299 BNP Paribas Arbit Issu B.V. – EUR/USD Euro Put Wt Jun 2015 B 100,000,000 2014/10/14 2015/06/19 25.0010300 BNP Paribas Arbit Issu B.V. – USD/YEN Euro Wts Jun 2015 A 100,000,000 2014/10/14 2015/06/19 25.0010301 BNP Paribas Arbit Issu B.V. – USD/YEN Eur Put Wts Jun 2015 B 100,000,000 2014/10/14 2015/06/19 25.0016780 Citigroup Global Mkt H Inc. – Sinopec Corp Eu Wts Mar 2015 B 100,000,000 2014/10/14 2015/03/27 25.0016778 Citigroup Global Mkt H Inc. – Ping An Euro Wts Apr 2015 A 100,000,000 2014/10/14 2015/04/13 28.0016775 Goldman Sachs SP (Asia) – China Gas Hold Euro Wts Jun 2015A 80,000,000 2014/10/14 2015/06/23 13.9216790 J P Morgan SP BV – China Mob European Wts Feb 2015 F 200,000,000 2014/10/14 2015/02/18 49.4016795 J P Morgan SP BV – HSBC European Warrants Jun 2015 A 200,000,000 2014/10/14 2015/06/02 50.0016794 J P Morgan Int’l Der. Ltd. – HSCEI European Wts Nov 2015 A 300,000,000 2014/10/14 2015/11/27 45.0016772 J P Morgan SP BV – HSI European Warrants Apr 2015 B 500,000,000 2014/10/14 2015/04/29 75.5016773 J P Morgan SP BV – HSI European Put Warrants Mar 2015 D 500,000,000 2014/10/14 2015/03/30 75.0016791 J P Morgan SP BV – Tencent European Warrants Feb 2015 D 200,000,000 2014/10/14 2015/02/02 83.4016785 Macquarie Bank Ltd. – Avichina European Warrants May 2015 A 30,000,000 2014/10/14 2015/05/05 10.5016789 Macquarie Bank Ltd. – BJ Ent Water European Wts Apr 2015 A 28,000,000 2014/10/14 2015/04/14 10.5016788 Macquarie Bank Ltd. – CLP European Warrants Jul 2015 A 40,000,000 2014/10/14 2015/07/03 10.0016784 Macquarie Bank Ltd. – PICC P&C European Warrants Jan 2016 A 60,000,000 2014/10/14 2016/01/05 10.0816786 Macquarie Bank Ltd. – Yurun Food European Wts May 2015 A 40,000,000 2014/10/14 2015/05/05 10.0016776 Standard Chartered Bank – Ch LongYuan European Wts May 2015A 40,000,000 2014/10/14 2015/05/18 19.6016783 Standard Chartered Bank – China Mobile Euro Wts Apr 2015 A 100,000,000 2014/10/14 2015/04/16 27.0016777 Standard Chartered Bank – NewWorld Dev European Wts Feb 15 A 80,000,000 2014/10/14 2015/02/24 12.0016781 UBS AG – AIA European Warrants Mar 2015 A 100,000,000 2014/10/14 2015/03/26 15.0016826 BNP Paribas Arbit Issu B.V. – Country Garden Eu Wt Jul 2015A 68,000,000 2014/10/15 2015/07/03 29.2416828 BNP Paribas Arbit Issu B.V. – HSCEI European Wts Nov 2015 A 100,000,000 2014/10/15 2015/11/27 25.0016829 BNP Paribas Arbit Issu B.V. – HSCEI Euro Put Wts May 2015 A 100,000,000 2014/10/15 2015/05/28 26.0016825 BNP Paribas Arbit Issu B.V. – KECL European Wts Jun 2016 A 100,000,000 2014/10/15 2016/06/02 18.0016827 BNP Paribas Arbit Issu B.V. – Shenzhen Int’l Eu Wt Aug 2015A 53,000,000 2014/10/15 2015/08/04 13.2516800 Goldman Sachs SP (Asia) – HSCEI European Put Wts Sep 2015 A 150,000,000 2014/10/15 2015/09/29 37.8016805 HK Bank – China Mobile European Warrants Feb 2015 I 80,000,000 2014/10/15 2015/02/23 14.40

Main Board Warrants



16806 HK Bank – CSR Times European Warrants Apr 2015 A 60,000,000 2014/10/15 2015/04/30 15.0016803 HK Bank – Foxconn European Warrants Apr 2015 A 80,000,000 2014/10/15 2015/04/30 24.0016801 HK Bank – HSI European Warrants Feb 2015 I 150,000,000 2014/10/15 2015/02/26 33.0016804 HK Bank – Mengniu European Warrants Mar 2015 A 80,000,000 2014/10/15 2015/03/26 12.0016802 HK Bank – Ping An European Warrants Mar 2015 B 80,000,000 2014/10/15 2015/03/31 12.0016834 J P Morgan SP BV – Foxconn European Warrants May 2015 A 30,000,000 2014/10/15 2015/05/04 11.4616833 J P Morgan SP BV – HKEx European Warrants Feb 2015 B 100,000,000 2014/10/15 2015/02/02 52.8016821 Macquarie Bank Ltd. – Air China European Warrants Jul 2015 A 25,000,000 2014/10/15 2015/07/03 10.0016823 Macquarie Bank Ltd. – BOCL European Warrants May 2015 A 40,000,000 2014/10/15 2015/05/05 10.0016817 Macquarie Bank Ltd. – China COSCO European Wts Oct 2015 A 40,000,000 2014/10/15 2015/10/05 10.0016824 Macquarie Bank Ltd. – Country Garden European Wts Apr 2015 A 40,000,000 2014/10/15 2015/04/15 10.0016819 Macquarie Bank Ltd. – Cheung Kong European Wts Apr 2015 A 70,000,000 2014/10/15 2015/04/02 10.5016807 Macquarie Bank Ltd. – HSBC European Warrants Apr 2015 A 70,000,000 2014/10/15 2015/04/02 10.5016809 Macquarie Bank Ltd – Skyworth Digital European Wts Apr 2015 A 40,000,000 2014/10/15 2015/04/15 10.0016797 Macquarie Bank Ltd. – Tencent European Warrants Feb 2015 C 65,000,000 2014/10/15 2015/02/03 10.2716799 Macquarie Bank Ltd. – Tencent European Put Wts May 2015 A 30,000,000 2014/10/15 2015/05/05 10.0216832 Standard Chartered Bank – Sinopec Corp Euro Wts Aug 2015 A 80,000,000 2014/10/15 2015/08/05 33.6016831 Standard Chartered Bank – HSBC European Warrants May 2015 A 100,000,000 2014/10/15 2015/05/18 50.0016830 Standard Chartered Bank – HSI European Put Wts Jan 2015 E 100,000,000 2014/10/15 2015/01/29 15.0016814 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Mar 2015 D 150,000,000 2014/10/15 2015/03/30 27.7516815 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jul 2015 B 150,000,000 2014/10/15 2015/07/30 24.7516816 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Apr 15 C 80,000,000 2014/10/15 2015/04/08 22.0016812 UBS AG – China Cinda European Warrants Feb 2015 B 70,000,000 2014/10/15 2015/02/25 10.5016811 UBS AG – Sinopec Corp European Warrants Mar 2015 C 70,000,000 2014/10/15 2015/03/23 19.2516796 UBS AG – HKEx European Warrants Jun 2015 B 300,000,000 2014/10/15 2015/06/22 45.0016810 UBS AG – PetroChina European Warrants Apr 2015 B 50,000,000 2014/10/15 2015/04/14 27.5015702 # Goldman Sachs SP (Asia) – HKEx European Warrants Apr 2015 A 150,000,000 2014/10/15 2015/04/01 13.2016862 Goldman Sachs SP (Asia) – Sino Biopharm European Wts Apr15A 30,000,000 2014/10/16 2015/04/16 16.6216861 Goldman Sachs SP (Asia) – Tencent European Put Wt Mar 2015 B 80,000,000 2014/10/16 2015/03/03 36.5616841 HK Bank – CC Bank European Warrants Jul 2015 B 80,000,000 2014/10/16 2015/07/31 20.0016843 HK Bank – China Cinda European Warrants Apr 2015 A 80,000,000 2014/10/16 2015/04/30 20.0016839 HK Bank – Cheung Kong European Warrants Mar 2015 A 60,000,000 2014/10/16 2015/03/23 16.8016836 HK Bank – HSI European Put Warrants Jan 2015 E 150,000,000 2014/10/16 2015/01/29 22.5016835 HK Bank – HSI European Put Warrants Apr 2015 A 100,000,000 2014/10/16 2015/04/29 25.0016837 HK Bank – HWL European Warrants Jun 2016 A 150,000,000 2014/10/16 2016/06/15 22.5016838 HK Bank – SHK Ppt European Warrants Apr 2015 B 60,000,000 2014/10/16 2015/04/30 16.8016859 J P Morgan SP BV – Evergrande European Warrants May 2015 A 100,000,000 2014/10/16 2015/05/04 25.1016858 J P Morgan SP BV – HSCEI European Put Warrants Jul 2015 A 300,000,000 2014/10/16 2015/07/30 45.0016856 Standard Chartered Bank – China Mobile Euro Wts May 2015 A 80,000,000 2014/10/16 2015/05/22 60.0016857 Standard Chartered Bank – China Mobile Euro Wts Aug 2015 A 80,000,000 2014/10/16 2015/08/03 20.0016846 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jun 2015 B 80,000,000 2014/10/16 2015/06/30 32.0016847 Standard Chartered Bank – A50 China Euro Warrants Jun 2015 A 80,000,000 2014/10/16 2015/06/30 27.2016844 Standard Chartered Bank – Tencent Hldg Euro Wts Apr 2015 C 60,000,000 2014/10/16 2015/04/28 33.0016849 UBS AG – AIA European Warrants Apr 2015 A 100,000,000 2014/10/16 2015/04/15 26.00

Main Board Warrants



16851 UBS AG – AIA European Warrants Apr 2015 B 100,000,000 2014/10/16 2015/04/27 15.0016896 BNP Paribas Arbit Issu B.V. – Ch Mer Hold Euro Wts Apr 2016A 60,000,000 2014/10/17 2016/04/05 15.0016900 BNP Paribas Arbit Issu B.V. – Chsouthcity Euro Wts Jun 2015A 40,000,000 2014/10/17 2015/06/02 15.6016897 BNP Paribas Arbit Issu B.V. – Haier Elec Euro Wts Apr 2016 A 40,000,000 2014/10/17 2016/04/05 10.0016901 BNP Paribas Arbit Issu B.V. – Huishan Dairy Eu Wt Mar 2016 A 40,000,000 2014/10/17 2016/03/02 10.0016899 BNP Paribas Arbit Issu B.V. – NCI European Wts Jan 2016 A 80,000,000 2014/10/17 2016/01/05 20.0016884 Credit Suisse AG – TCL Comm European Warrants Jun 2015 A 70,000,000 2014/10/17 2015/06/18 10.5016904 Daiwa Capital Mkt – CNOOC European Put Warrants Oct 2015 A 68,000,000 2014/10/17 2015/10/05 17.0016903 Daiwa Capital Mkt – PetroChina European Put Wts Jun 2015 A 68,000,000 2014/10/17 2015/06/08 19.7216885 Goldman Sachs SP (Asia) – Anhui Conch Euro Wts Apr 2015 A 80,000,000 2014/10/17 2015/04/29 12.0016886 Goldman Sachs SP (Asia) – CMS European Warrants Dec 2015 B 80,000,000 2014/10/17 2015/12/30 20.1616889 Goldman Sachs SP (Asia) – Ch Overseas Euro Put Wt Jun 2015 B 80,000,000 2014/10/17 2015/06/30 20.8016906 Goldman Sachs SP (Asia) – Guangdong Inv European Wts Dec16A 40,000,000 2014/10/17 2016/12/30 10.1616887 Goldman Sachs SP (Asia) – Geely Auto European Wts Apr 2015 B 80,000,000 2014/10/17 2015/04/27 20.1616888 Goldman Sachs SP (Asia) – Galaxy Ent Euro Put Wts Mar 2015 C 80,000,000 2014/10/17 2015/03/27 24.6416869 HK Bank – Anhui Conch European Warrants Apr 2015 A 80,000,000 2014/10/17 2015/04/29 12.8016870 HK Bank – AIA European Warrants Apr 2015 B 80,000,000 2014/10/17 2015/04/29 12.0016867 HK Bank – Sinopec Corp European Warrants Apr 2015 A 60,000,000 2014/10/17 2015/04/30 21.6016868 HK Bank – PetroChina European Warrants Apr 2015 A 60,000,000 2014/10/17 2015/04/30 28.8016874 Nomura Int’l plc – Country Garden European Warrants Jul15 A 50,000,000 2014/10/17 2015/07/31 13.0016873 Nomura Int’l plc – Ch Oilfield European Warrants Jun 2015 A 80,000,000 2014/10/17 2015/06/29 12.3216890 Nomura Int’l plc – Evergrande European Warrants Jun 2015 A 50,000,000 2014/10/17 2015/06/30 15.2516881 Nomura Int’l plc – Gome European Warrants Feb 2016 A 50,000,000 2014/10/17 2016/02/29 12.6016876 Nomura Int’l plc – Haier Elec European Warrants Aug 2015 A 50,000,000 2014/10/17 2015/08/18 13.5016877 Nomura Int’l plc – Shunfeng Pv EEuropean Warrants Dec 2015 A 50,000,000 2014/10/17 2015/12/31 13.0016872 Nomura Int’l plc – Stanchart European Warrants Jun 2015 A 50,000,000 2014/10/17 2015/06/30 12.9016871 Nomura Int’l plc – Stanchart European Put Wts Dec 2015 A 50,000,000 2014/10/17 2015/12/30 12.5016891 Nomura Int’l plc – Singyes Solar European Warrants Apr 2015A 50,000,000 2014/10/17 2015/04/30 14.5516875 Nomura Int’l plc – Yanzhou Coal European Warrants Jun 2015 A 50,000,000 2014/10/17 2015/06/30 23.0016863 Standard Chartered Bank – Foxconn European Wts Jul 2015 A 50,000,000 2014/10/17 2015/07/31 14.5016864 Standard Chartered Bank – HKEx European Warrants Dec 2015 A 200,000,000 2014/10/17 2015/12/18 36.0016865 Standard Chartered Bank – HKEx European Warrants Feb 2016 A 200,000,000 2014/10/17 2016/02/22 30.0016902 Standard Chartered Bank – HSI European Warrants Jan 2015 F 100,000,000 2014/10/17 2015/01/29 24.0016866 Standard Chartered Bank – Sands China Euro Wts Aug 2015 A 100,000,000 2014/10/17 2015/08/18 27.0016892 SGA Societe Generale Acceptance N.V. – BYD Eu Wt May 2015 A 30,000,000 2014/10/17 2015/05/06 14.8516894 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt May 2015A 80,000,000 2014/10/17 2015/05/06 34.8014637 # Goldman Sachs SP (Asia) – BOCL European Warrants Sep 2016 A 80,000,000 2014/10/17 2016/09/30 22.8016916 Citigroup Global Mkt H Inc. – HKEx European Wts Mar 2015 A 50,000,000 2014/10/20 2015/03/27 22.5016917 Daiwa Capital Mkt – AIA European Warrants May 2015 A 98,000,000 2014/10/20 2015/05/04 24.5016921 Daiwa Capital Mkt – CNOOC European Put Warrants Oct 2015 B 80,000,000 2014/10/20 2015/10/15 20.0016920 Daiwa Capital Mkt – A50 China European Put Wts Oct 2015 A 98,000,000 2014/10/20 2015/10/20 24.5016918 Daiwa Capital Mkt – HSBC European Put Warrants Aug 2015 A 80,000,000 2014/10/20 2015/08/31 20.0016919 Daiwa Capital Mkt – ICBC European Put Warrants Jun 2015 B 80,000,000 2014/10/20 2015/06/01 20.0016915 Goldman Sachs SP (Asia) – HSI European Put Wts Apr 2015 B 150,000,000 2014/10/20 2015/04/29 23.10

Main Board Warrants



16931 J P Morgan SP BV – AIA European Warrants Mar 2015 B 100,000,000 2014/10/20 2015/03/30 15.0016939 J P Morgan SP BV – Biostime European Warrants Jun 2015 A 60,000,000 2014/10/20 2015/06/01 15.0616935 J P Morgan SP BV – CNOOC European Warrants May 2015 A 80,000,000 2014/10/20 2015/05/04 20.8016933 J P Morgan SP BV – A50 China European Warrants May 2015 A 200,000,000 2014/10/20 2015/05/04 51.2016932 J P Morgan SP BV – HSI European Warrants Feb 2015 E 500,000,000 2014/10/20 2015/02/26 75.0016934 J P Morgan SP BV – ICBC European Warrants Jul 2015 A 100,000,000 2014/10/20 2015/07/02 15.1016908 J P Morgan SP BV – KECL European Warrants May 2016 A 150,000,000 2014/10/20 2016/05/30 22.8016923 Macquarie Bank Ltd. – Ch Oilfield European Wts May 2015 A 35,000,000 2014/10/20 2015/05/19 10.0116922 Macquarie Bank Ltd. – KECL European Warrants May 2017 A 40,000,000 2014/10/20 2017/05/04 10.0016914 Macquarie Bank Ltd. – Stanchart European Warrants May 2015 A 40,000,000 2014/10/20 2015/05/05 10.0016913 Standard Chartered Bank – AIA European Warrants Apr 2015 A 100,000,000 2014/10/20 2015/04/28 15.0016926 Standard Chartered Bank – CNOOC European Warrants Oct 2016 A 100,000,000 2014/10/20 2016/10/17 19.5016912 Standard Chartered Bank – Foxconn European Wts Jun 2015 A 40,000,000 2014/10/20 2015/06/01 16.0016910 Standard Chartered Bank – HSI European Warrants Jan 2015 G 100,000,000 2014/10/20 2015/01/29 15.0016928 Standard Chartered Bank – HSI European Put Wts Mar 2015 G 100,000,000 2014/10/20 2015/03/30 17.0016929 Standard Chartered Bank – HSI European Put Wts Apr 2015 D 100,000,000 2014/10/20 2015/04/29 15.0016911 Standard Chartered Bank – KECL European Warrants May 2016 A 80,000,000 2014/10/20 2016/05/23 12.0016927 Standard Chartered Bank – PetroChina European Wts Apr 2015 A 60,000,000 2014/10/20 2015/04/20 15.0016924 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Apr15C 70,000,000 2014/10/20 2015/04/08 32.2016925 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt May 2015 B 100,000,000 2014/10/20 2015/05/06 27.5016094 # Standard Chartered Bank – Tencent Hldg Euro Wts Jan 2015 B 100,000,000 2014/10/20 2015/01/06 11.9016958 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Aug 2015 A 95,000,000 2014/10/21 2015/08/04 17.1016957 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Jun 2015 A 100,000,000 2014/10/21 2015/06/02 26.0016956 BNP Paribas Arbit Issu B.V. – Tencent Eu Put Wt May 2015 B 100,000,000 2014/10/21 2015/05/05 15.0016951 Credit Suisse AG – CNOOC European Warrants Oct 2016 A 80,000,000 2014/10/21 2016/10/17 12.8016952 Daiwa Capital Mkt – Agricultural Bank European Wts Jul 2015 A 98,000,000 2014/10/21 2015/07/24 15.6816967 Goldman Sachs SP (Asia) – China Mobile Euro Wts Apr 2015 A 80,000,000 2014/10/21 2015/04/30 41.6816966 Goldman Sachs SP (Asia) – CNOOC European Warrants Apr 2015 A 80,000,000 2014/10/21 2015/04/30 23.9216965 Goldman Sachs SP (Asia) – HKEx European Warrants Dec 2015 C 120,000,000 2014/10/21 2015/12/21 18.2416941 Goldman Sachs SP (Asia) – Lenovo European Wts May 2016 A 80,000,000 2014/10/21 2016/05/27 13.3616940 Goldman Sachs SP (Asia) – Shunfeng Pv European Wts Dec 2015A 80,000,000 2014/10/21 2015/12/30 20.0816964 J P Morgan SP BV – CITIC Bank European Warrants Jun 2015 A 80,000,000 2014/10/21 2015/06/30 12.0016963 J P Morgan SP BV – HSI European Put Warrants Apr 2015 C 500,000,000 2014/10/21 2015/04/29 75.0016962 Macquarie Bank Ltd. – China Agri European Wts May 2015 A 40,000,000 2014/10/21 2015/05/29 10.0016959 Macquarie Bank Ltd. – Datang European Warrants May 2015 A 40,000,000 2014/10/21 2015/05/29 10.0016961 Macquarie Bank Ltd. – China Mengniu European Wts May 2015 A 50,000,000 2014/10/21 2015/05/05 12.5016947 Standard Chartered Bank – China Mobile Euro Wts Aug 2016 A 200,000,000 2014/10/21 2016/08/01 50.0016942 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Nov 2015 A 100,000,000 2014/10/21 2015/11/04 25.0016943 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Aug 2015 A 80,000,000 2014/10/21 2015/08/05 16.0016950 SGA Societe Generale Acceptance N.V. – CK(H) Eu Wt Dec 2015A 300,000,000 2014/10/21 2015/12/28 45.0016945 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Apr 15 C 150,000,000 2014/10/21 2015/04/29 22.5016944 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Jul 2015 A 80,000,000 2014/10/21 2015/07/06 14.8016954 SGA Societe Generale Acceptance N.V. – ZTE Eu Wt Jun 2015 A 80,000,000 2014/10/21 2015/06/29 12.4016955 UBS AG – HKEx European Warrants Sep 2015 D 300,000,000 2014/10/21 2015/09/09 52.20

Main Board Warrants



28132 # Goldman Sachs SP (Asia) – HSBC European Warrants Jan 2015 A 100,000,000 2014/10/21 2015/01/30 10.5016982 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Oct 2015 B 100,000,000 2014/10/22 2015/10/05 15.0016983 BNP Paribas Arbit Issu B.V. – New World Dev Eu Wt Jan 2016 A 26,000,000 2014/10/22 2016/01/05 10.6616981 BNP Paribas Arbit Issu B.V. – Ping An European Wt Dec 2016 A 100,000,000 2014/10/22 2016/12/02 41.0016984 BNP Paribas Arbit Issu B.V. – Xinyi Glass Euro Wts Jul 2015A 25,000,000 2014/10/22 2015/07/03 11.5016998 Citigroup Global Mkt H Inc. – Cheung Kong Euro Wt Mar 2015 A 80,000,000 2014/10/22 2015/03/18 28.8016997 Citigroup Global Mkt H Inc. – CNOOC European Wts Oct 2016 A 150,000,000 2014/10/22 2016/10/17 22.5016995 Citigroup Global Mkt H Inc. – Hutchison Euro Wts Mar 2015 A 80,000,000 2014/10/22 2015/03/30 36.0016996 Citigroup Global Mkt H Inc. – PetroChina Euro Wts Apr 2015 A 80,000,000 2014/10/22 2015/04/02 22.4016973 Daiwa Capital Mkt – BYD European Warrants Apr 2015 A 68,000,000 2014/10/22 2015/04/02 17.0016972 Daiwa Capital Mkt – China Cinda European Warrants Jun 2015 A 68,000,000 2014/10/22 2015/06/01 17.0016971 Daiwa Capital Mkt – China Unicom European Warrants Sep 2015A 80,000,000 2014/10/22 2015/09/22 12.0016970 Daiwa Capital Mkt – Tencent Holdings Euro Put Wts Sep 2015 B 98,000,000 2014/10/22 2015/09/09 24.5016986 Bank of East Asia – BYD European Warrants Jul 2015 A 40,000,000 2014/10/22 2015/07/06 10.0016985 Bank of East Asia – R&F Ppt European Warrants Jul 2015 A 70,000,000 2014/10/22 2015/07/06 10.5016987 Bank of East Asia – Stanchart European Warrants Dec 2016 A 80,000,000 2014/10/22 2016/12/30 20.0016988 Bank of East Asia – Stanchart European Put Warrants Dec 15 A 50,000,000 2014/10/22 2015/12/30 12.5016977 HK Bank – AIA European Put Warrants Apr 2015 C 80,000,000 2014/10/22 2015/04/23 12.0016979 HK Bank – Henderson Land Dev European Warrants Jul 2015 A 60,000,000 2014/10/22 2015/07/06 15.0016978 HK Bank – KECL European Warrants Jun 2016 A 80,000,000 2014/10/22 2016/06/06 12.0016980 HK Bank – Wharf European Warrants Jun 2015 A 60,000,000 2014/10/22 2015/06/30 15.0016991 J P Morgan SP BV – CNOOC European Warrants Oct 2016 A 200,000,000 2014/10/22 2016/10/24 30.6016990 J P Morgan SP BV – PetroChina European Warrants May 2015 A 100,000,000 2014/10/22 2015/05/04 25.6016992 Macquarie Bank Ltd. – CITIC Bank European Wts Jul 2015 A 50,000,000 2014/10/22 2015/07/03 12.5016994 Macquarie Bank Ltd. – Tingyi European Warrants Oct 2015 A 40,000,000 2014/10/22 2015/10/05 10.0016974 Standard Chartered Bank – CSOP A50 ETF Euro Wts Dec 2015 A 100,000,000 2014/10/22 2015/12/14 15.0016975 Standard Chartered Bank – Tracker Fund Euro Wts Jun 2015 A 50,000,000 2014/10/22 2015/06/01 12.5016976 Standard Chartered Bank – Tracker Fund Eu Put Wt Jun 2015 B 50,000,000 2014/10/22 2015/06/05 16.0016989 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Apr 2015B 60,000,000 2014/10/22 2015/04/08 16.2016968 SGA Societe Generale Acceptance N.V. – Sinopharm Eu Wts May15A 40,000,000 2014/10/22 2015/05/06 10.0016969 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Feb 15 E 150,000,000 2014/10/22 2015/02/04 85.5027496 # HK Bank – A50 China European Warrants Dec 2015 A 200,000,000 2014/10/22 2015/12/31 13.2017003 BOCI Asia Ltd. – China Mobile European Warrants Feb 2015 E 100,000,000 2014/10/23 2015/02/27 38.0017005 BOCI Asia Ltd. – HSBC European Warrants Apr 2015 B 100,000,000 2014/10/23 2015/04/27 20.0017006 BOCI Asia Ltd. – HSI European Warrants Jul 2015 A 100,000,000 2014/10/23 2015/07/30 17.0017008 BOCI Asia Ltd. – HSI European Put Warrants Jul 2015 B 100,000,000 2014/10/23 2015/07/30 22.0017002 BOCI Asia Ltd. – PetroChina European Warrants Apr 2015 B 100,000,000 2014/10/23 2015/04/13 30.0017004 BOCI Asia Ltd. – Ping An European Warrants Apr 2015 B 100,000,000 2014/10/23 2015/04/20 28.0017036 Credit Suisse AG – CNBM European Warrants Nov 2016 B 100,000,000 2014/10/23 2016/11/28 15.0017038 Credit Suisse AG – China Shenhua European Wts Jun 2015 B 50,000,000 2014/10/23 2015/06/29 12.5017034 Credit Suisse AG – HSBC European Wts Mar 2015 B 80,000,000 2014/10/23 2015/03/30 12.0017035 Credit Suisse AG – HSBC European Put Warrants Jun 2015 B 70,000,000 2014/10/23 2015/06/29 14.0017037 Credit Suisse AG – Ping An European Put Warrants Apr 2015 C 70,000,000 2014/10/23 2015/04/27 17.5017033 Goldman Sachs SP (Asia) – CNOOC European Warrants Apr 2015 B 50,000,000 2014/10/23 2015/04/30 21.70

Main Board Warrants



17032 Goldman Sachs SP (Asia) – CSR Times European Wts May 2015 A 50,000,000 2014/10/23 2015/05/29 16.9517013 HK Bank – HKEx European Warrants May 2015 B 100,000,000 2014/10/23 2015/05/26 17.0017011 HK Bank – HSI European Warrants Jan 2015 F 100,000,000 2014/10/23 2015/01/29 15.0017010 HK Bank – HSI European Warrants Mar 2015 H 100,000,000 2014/10/23 2015/03/30 15.0017012 HK Bank – Lenovo European Warrants Jun 2016 A 100,000,000 2014/10/23 2016/06/03 15.0017027 J P Morgan SP BV – BYD European Warrants May 2015 A 100,000,000 2014/10/23 2015/05/04 25.8017026 J P Morgan SP BV – HSBC European Put Warrants May 2015 A 200,000,000 2014/10/23 2015/05/04 50.2017028 J P Morgan SP BV – Tingyi European Warrants Sep 2015 A 80,000,000 2014/10/23 2015/09/30 20.0017031 Standard Chartered Bank – HSI European Put Wts Apr 2015 E 100,000,000 2014/10/23 2015/04/29 17.0017001 Standard Chartered Bank – PetroChina European Wts Jun 2015 A 60,000,000 2014/10/23 2015/06/30 24.0017000 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Jun 2016 A 500,000,000 2014/10/23 2016/06/06 75.0016999 SGA Societe Generale Acceptance N.V. – Ch Mengniu Eu Wt Jun15A 36,000,000 2014/10/23 2015/06/03 10.2617014 SGA Societe Generale Acceptance N.V. – Zoomlion Eu Wt Jun15A 30,000,000 2014/10/23 2015/06/29 10.9517017 UBS AG – CGS European Warrants Nov 2017 A 70,000,000 2014/10/23 2017/11/27 17.5017018 UBS AG – CITIC Sec European Warrants Mar 2015 A 70,000,000 2014/10/23 2015/03/26 12.9517015 UBS AG – HSI European Put Warrants Mar 2015 F 300,000,000 2014/10/23 2015/03/30 58.5017016 UBS AG – HSI European Put Warrants Apr 2015 B 300,000,000 2014/10/23 2015/04/29 51.0017019 UBS AG – Ping An European Put Warrants Mar 2015 D 100,000,000 2014/10/23 2015/03/31 23.0017045 BOCI Asia Ltd. – AIA European Warrants Apr 2015 A 100,000,000 2014/10/24 2015/04/15 27.0017043 BOCI Asia Ltd. – HKEx European Warrants Dec 2015 C 100,000,000 2014/10/24 2015/12/07 15.0017046 BOCI Asia Ltd. – ICBC European Warrants Apr 2015 A 100,000,000 2014/10/24 2015/04/27 30.0017044 BOCI Asia Ltd. – Tencent Holdings European Wts Feb 2015 B 100,000,000 2014/10/24 2015/02/09 30.0010304 BNP Paribas Arbit Issu B.V. – Gold European Wts Dec 2015 A 100,000,000 2014/10/24 2015/12/17 25.0010305 BNP Paribas Arbit Issu B.V. – Gold European Put Wts Dec 15 B 100,000,000 2014/10/24 2015/12/17 25.0010307 BNP Paribas Arbit Issu B.V. – Oil Futures Eu Put Wt Nov 15 B 100,000,000 2014/10/24 2015/11/18 25.0017072 Credit Suisse AG – HSI European Put Warrants Apr 2015 D 150,000,000 2014/10/24 2015/04/29 27.0017073 Credit Suisse AG – Yanzhou Coal European Warrants Apr 2015 A 60,000,000 2014/10/24 2015/04/27 15.0017062 Daiwa Capital Mkt – China Mobile European Wts Mar 2015 C 108,000,000 2014/10/24 2015/03/02 35.6417041 Goldman Sachs SP (Asia) – Ch Oilfield European Wts Sep 2015A 50,000,000 2014/10/24 2015/09/30 12.6017039 Goldman Sachs SP (Asia) – HKEx European Warrants Nov 2015 A 80,000,000 2014/10/24 2015/11/30 12.3217040 Goldman Sachs SP (Asia) – HSBC European Warrants Apr 2015 B 80,000,000 2014/10/24 2015/04/21 12.1617074 Goldman Sachs SP (Asia) – HSBC European Put Wts Apr 2015 C 80,000,000 2014/10/24 2015/04/30 20.5617053 HK Bank – AIA European Warrants Feb 2015 B 100,000,000 2014/10/24 2015/02/23 15.0017052 HK Bank – Huaneng Power European Warrants Jul 2015 A 50,000,000 2014/10/24 2015/07/31 25.0017049 HK Bank – Kingsoft European Warrants Apr 2015 A 80,000,000 2014/10/24 2015/04/28 12.8017047 HK Bank – Lenovo European Warrants Apr 2015 B 50,000,000 2014/10/24 2015/04/30 27.5017051 HK Bank – Sands China European Warrants Jun 2015 A 80,000,000 2014/10/24 2015/06/30 20.0017075 J P Morgan SP BV – Zhuzhou CSR European Warrants Nov 2018 A 100,000,000 2014/10/24 2018/11/27 15.2017059 Macquarie Bank Ltd. – CC Bank European Warrants Apr 2015 A 70,000,000 2014/10/24 2015/04/02 10.5017061 Macquarie Bank Ltd. – Minsheng Bank European Wts Apr 2015 A 40,000,000 2014/10/24 2015/04/02 10.0017060 Macquarie Bank Ltd. – Haitong Sec European Wts Apr 2015 A 40,000,000 2014/10/24 2015/04/24 10.0017042 Macquarie Bank Ltd. – Tencent European Warrants Feb 2015 D 35,000,000 2014/10/24 2015/02/03 10.0117055 Standard Chartered Bank – Cheung Kong Euro Wts Aug 2017 A 200,000,000 2014/10/24 2017/08/08 50.0017066 Standard Chartered Bank – HSBC European Put Wts Nov 2016 A 200,000,000 2014/10/24 2016/11/11 50.00

Main Board Warrants



17054 Standard Chartered Bank – Hutchison Euro Put Wt Sep 2016 A 200,000,000 2014/10/24 2016/09/08 50.0017067 Standard Chartered Bank – ICBC European Warrants Jul 2015 A 60,000,000 2014/10/24 2015/07/13 10.5017063 Standard Chartered Bank – ICBC European Warrants Sep 2015 A 60,000,000 2014/10/24 2015/09/09 18.0017064 Standard Chartered Bank – ICBC European Put Wts May 2015 A 60,000,000 2014/10/24 2015/05/08 15.0017057 Standard Chartered Bank – SHK P European Warrants Feb 2017 A 200,000,000 2014/10/24 2017/02/08 50.0017056 Standard Chartered Bank – SHK P European Put Wts Aug 2017 A 200,000,000 2014/10/24 2017/08/08 50.0017058 Standard Chartered Bank – Tencent Hldg Euro Wts Dec 2015 A 200,000,000 2014/10/24 2015/12/29 50.0017068 SGA Societe Generale Acceptance N.V. – Greatwall Eu Wt Apr15B 50,000,000 2014/10/24 2015/04/08 10.2517070 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt Sep16A 100,000,000 2014/10/24 2016/09/05 25.0017071 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Sep18A 200,000,000 2014/10/24 2018/09/05 30.0017076 HK Bank – CNOOC European Warrants Oct 2016 A 100,000,000 2014/10/27 2016/10/31 15.0017081 HK Bank – Evergrande European Warrants Jul 2015 A 80,000,000 2014/10/27 2015/07/31 20.0017080 HK Bank – GCL-Poly Energy European Warrants Jun 2015 A 80,000,000 2014/10/27 2015/06/30 20.0017079 HK Bank – Tencent European Warrants Aug 2015 A 100,000,000 2014/10/27 2015/08/31 16.0017077 HK Bank – Tencent European Warrants Sep 2015 B 100,000,000 2014/10/27 2015/09/29 15.0017091 J P Morgan SP BV – Haitong Sec European Warrants Dec 2015 A 100,000,000 2014/10/27 2015/12/30 25.1017083 Macquarie Bank Ltd. – Agricultural Bk Euro Warrants Sep 2015 A 70,000,000 2014/10/27 2015/09/02 10.5017086 Macquarie Bank Ltd. – Gome European Warrants Mar 2016 A 70,000,000 2014/10/27 2016/03/02 10.5017082 Standard Chartered Bank – SHK P European Warrants Jul 2015 A 60,000,000 2014/10/27 2015/07/03 15.0017087 SGA Societe Generale Acceptance N.V. – CCoal Eu Wt May 2015 A 35,000,000 2014/10/27 2015/05/06 10.3317090 UBS AG – HSCEI European Put Warrants Jan 2015 B 100,000,000 2014/10/27 2015/01/29 15.0017101 J P Morgan SP BV – China Mob European Wts Mar 2017 A 500,000,000 2014/10/28 2017/03/06 78.0017102 J P Morgan SP BV – HSI European Warrants Jun 2015 A 500,000,000 2014/10/28 2015/06/29 75.5017100 Macquarie Bank Ltd. – China Mobile European Wts Mar 2017 A 70,000,000 2014/10/28 2017/03/06 10.5017095 Standard Chartered Bank – BYD European Warrants Jun 2015 A 60,000,000 2014/10/28 2015/06/30 27.0017093 Standard Chartered Bank – CM Bank European Wts May 2016 A 200,000,000 2014/10/28 2016/05/27 30.0017097 Standard Chartered Bank – China Mobile Euro Wts Mar 2017 A 500,000,000 2014/10/28 2017/03/06 75.0017096 Standard Chartered Bank – Kingsoft Euro Put Wts Jun 2015 A 100,000,000 2014/10/28 2015/06/03 25.0017098 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Mar 15 G 100,000,000 2014/10/28 2015/03/04 45.0017099 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt May 15 B 100,000,000 2014/10/28 2015/05/06 41.0017106 Goldman Sachs SP (Asia) – China Taiping European Wts Sep15A 40,000,000 2014/10/29 2015/09/29 10.6817105 Goldman Sachs SP (Asia) – Tracker Fund European Wts Apr 15 A 80,000,000 2014/10/29 2015/04/29 40.0017108 HK Bank – HSI European Warrants Apr 2015 B 100,000,000 2014/10/29 2015/04/29 25.0017109 HK Bank – HSI European Warrants Apr 2015 C 100,000,000 2014/10/29 2015/04/29 25.0017110 HK Bank – HSI European Warrants Apr 2015 D 150,000,000 2014/10/29 2015/04/29 22.5017111 HK Bank – HSI European Put Warrants Apr 2015 E 100,000,000 2014/10/29 2015/04/29 25.0017112 HK Bank – HSI European Put Warrants Apr 2015 F 150,000,000 2014/10/29 2015/04/29 22.5017118 J P Morgan SP BV – Anta Sports European Warrants May 2015 A 100,000,000 2014/10/29 2015/05/04 25.5017116 Macquarie Bank Ltd. – CNOOC European Warrants Dec 2016 A 40,000,000 2014/10/29 2016/12/02 10.0017117 Macquarie Bank Ltd. – Sinopec Corp European Wts May 2015 A 30,000,000 2014/10/29 2015/05/05 10.0217115 Macquarie Bank Ltd. – Ping An European Warrants May 2015 B 50,000,000 2014/10/29 2015/05/05 12.5017104 Nomura Int’l plc – CSR Times European Warrants Apr 2015 A 50,000,000 2014/10/29 2015/04/28 15.3017103 Nomura Int’l plc – Sh Petrochem European Warrants Jul 2015 A 50,000,000 2014/10/29 2015/07/31 13.0017107 SGA Societe Generale Acceptance N.V. – CHALCO Eu Wt Aug 15 A 40,000,000 2014/10/29 2015/08/05 14.00

Main Board Warrants



17114 UBS AG – Zhuzhou CSR European Warrants Nov 2018 A 100,000,000 2014/10/29 2018/11/27 21.0017113 UBS AG – Kingsoft European Put Warrants Apr 2015 B 60,000,000 2014/10/29 2015/04/28 15.0017130 Credit Suisse AG – China Mobile European Warrants Apr 2015 A 80,000,000 2014/10/30 2015/04/29 30.4017129 Credit Suisse AG – China Mobile European Warrants Dec 2016 A 120,000,000 2014/10/30 2016/12/19 18.0017136 Credit Suisse AG – Gome European Warrants Apr 2015 A 70,000,000 2014/10/30 2015/04/27 10.5017138 Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2015 F 150,000,000 2014/10/30 2015/03/30 23.5517139 Goldman Sachs SP (Asia) – Tencent European Wt Jun 2015 A 80,000,000 2014/10/30 2015/06/01 24.9617121 HK Bank – CSOP A50 ETF European Warrants Apr 2015 A 60,000,000 2014/10/30 2015/04/30 30.0017122 HK Bank – CSOP A50 ETF European Warrants Apr 2015 B 60,000,000 2014/10/30 2015/04/01 13.2017119 HK Bank – A50 China European Warrants Apr 2015 A 60,000,000 2014/10/30 2015/04/01 14.4017120 HK Bank – A50 China European Warrants Apr 2015 B 60,000,000 2014/10/30 2015/04/30 30.0017142 J P Morgan SP BV – BankComm European Warrants Aug 2015 A 80,000,000 2014/10/30 2015/08/03 20.0017141 J P Morgan SP BV – CSR Times European Warrants May 2015 A 100,000,000 2014/10/30 2015/05/04 25.3017140 J P Morgan SP BV – Sinopec Seg European Warrants May 2016 A 100,000,000 2014/10/30 2016/05/30 15.2017128 Macquarie Bank Ltd. – CITIC European Warrants Nov 2015 A 70,000,000 2014/10/30 2015/11/03 10.5017126 Macquarie Bank Ltd. – Chi Resources European Wts Nov 2015 A 50,000,000 2014/10/30 2015/11/03 12.5017137 Macquarie Bank Ltd. – CSR European Warrants Oct 2017 A 40,000,000 2014/10/30 2017/10/03 10.0017123 Macquarie Bank Ltd. – HK Gas European Warrants Jan 2017 A 50,000,000 2014/10/30 2017/01/04 12.5017127 Macquarie Bank Ltd. – PetroChina European Wts Jun 2015 A 30,000,000 2014/10/30 2015/06/02 10.0217135 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt May 15 C 100,000,000 2014/10/30 2015/05/06 60.0017134 UBS AG – BOCL European Warrants Sep 2016 A 100,000,000 2014/10/30 2016/09/23 18.5017132 UBS AG – China Unicom European Warrants Sep 2015 A 100,000,000 2014/10/30 2015/09/22 15.0017133 UBS AG – ICBC European Warrants Jun 2015 A 100,000,000 2014/10/30 2015/06/26 20.0017131 UBS AG – ZTE European Warrants Mar 2015 A 70,000,000 2014/10/30 2015/03/26 10.5010308 BNP Paribas Arbit Issu B.V. – Oil Futures Euro Wt Nov 2015 C 100,000,000 2014/10/31 2015/11/18 25.0017156 Credit Suisse AG – Kingsoft European Warrants Apr 2015 A 80,000,000 2014/10/31 2015/04/30 20.0017167 Goldman Sachs SP (Asia) – CAM CSI300 Euro Put Wts Jun 2016 A 80,000,000 2014/10/31 2016/06/30 20.1617166 Goldman Sachs SP (Asia) – China Unicom Euro Wts Sep 2015 A 80,000,000 2014/10/31 2015/09/30 12.0817165 Goldman Sachs SP (Asia) – Kingsoft European Wts Jun 2015 A 80,000,000 2014/10/31 2015/06/30 20.2417146 HK Bank – China Life European Warrants Sep 2015 B 100,000,000 2014/10/31 2015/09/29 15.0017145 HK Bank – China Mobile European Warrants Feb 2015 J 80,000,000 2014/10/31 2015/02/24 24.0017149 HK Bank – ICBC European Warrants Apr 2015 B 80,000,000 2014/10/31 2015/04/30 28.0017147 HK Bank – PetroChina European Warrants Mar 2015 B 80,000,000 2014/10/31 2015/03/30 12.8017148 HK Bank – Ping An European Warrants Apr 2015 A 80,000,000 2014/10/31 2015/04/30 24.0017164 J P Morgan SP BV – China Unicom European Warrants Sep 2015 A 200,000,000 2014/10/31 2015/09/30 31.8017158 J P Morgan SP BV – TCL Comm European Warrants Feb 2016 A 80,000,000 2014/10/31 2016/02/26 20.0017162 Macquarie Bank Ltd. – Tencent European Warrants May 2015 B 30,000,000 2014/10/31 2015/05/05 10.0217163 Macquarie Bank Ltd. – Tencent European Warrants May 2015 C 25,000,000 2014/10/31 2015/05/05 10.0017144 Standard Chartered Bank – CSR European Warrants Sep 2017 A 100,000,000 2014/10/31 2017/09/28 25.0017143 Standard Chartered Bank – HSI European Warrants May 2015 A 100,000,000 2014/10/31 2015/05/28 25.0017159 Standard Chartered Bank – Kingsoft European Wts May 2015 B 100,000,000 2014/10/31 2015/05/06 25.0017160 Standard Chartered Bank – Tingyi European Warrants Oct 2015A 60,000,000 2014/10/31 2015/10/30 15.0017154 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Aug 16 A 600,000,000 2014/10/31 2016/08/01 93.0017157 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Aug18A 300,000,000 2014/10/31 2018/08/06 63.00

Main Board Warrants



17161 SGA Societe Generale Acceptance N.V. – Kingsoft Eu Wt May15A 60,000,000 2014/10/31 2015/05/06 15.0017152 UBS AG – Greatwall Motor European Warrants Mar 2015 A 40,000,000 2014/10/31 2015/03/23 10.0017150 UBS AG – Kingsoft European Warrants Jun 2015 A 100,000,000 2014/10/31 2015/06/22 32.5017151 UBS AG – Tencent Holdings European Warrants Feb 2015 E 100,000,000 2014/10/31 2015/02/02 15.0017173 Credit Suisse AG – HKEx European Warrants Nov 2015 A 100,000,000 2014/11/03 2015/11/23 15.0017168 Credit Suisse AG – HKEx European Warrants Dec 2015 C 100,000,000 2014/11/03 2015/12/28 15.0017169 HK Bank – HKEx European Warrants Mar 2015 D 150,000,000 2014/11/03 2015/03/25 22.5017174 HK Bank – HKEx European Warrants Dec 2015 C 150,000,000 2014/11/03 2015/12/31 22.5017180 Macquarie Bank Ltd. – Anton Oilfield European Wts Nov 2015 A 20,000,000 2014/11/03 2015/11/17 10.0017170 Standard Chartered Bank – Minsheng Bank Euro Wts Mar 2015 A 50,000,000 2014/11/03 2015/03/24 12.5017171 Standard Chartered Bank – Tencent Hldg Euro Wts Feb 2015 D 80,000,000 2014/11/03 2015/02/23 22.4017172 Standard Chartered Bank – Tencent Hldg Euro Wts Jun 2015 A 80,000,000 2014/11/03 2015/06/01 24.0017176 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt May15A 70,000,000 2014/11/03 2015/05/06 31.8517177 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt May 2015A 70,000,000 2014/11/03 2015/05/06 29.7517178 SGA Societe Generale Acceptance N.V. – HSBC Eu Put Wt Jun15 A 100,000,000 2014/11/03 2015/06/03 25.0017179 SGA Societe Generale Acceptance N.V. – HWL Eur Put Wt May15A 50,000,000 2014/11/03 2015/05/06 19.2517181 UBS AG – CSOP A50 ETF European Warrants May 2015 A 80,000,000 2014/11/03 2015/05/11 34.4017175 UBS AG – HSI European Warrants Jun 2015 C 300,000,000 2014/11/03 2015/06/29 75.0017183 BOCI Asia Ltd. – China Cinda European Warrants May 2015 A 100,000,000 2014/11/04 2015/05/05 25.0017184 BOCI Asia Ltd. – Kingsoft European Warrants Jun 2015 A 100,000,000 2014/11/04 2015/06/15 25.0017188 HK Bank – BOCL European Warrants Jul 2015 B 80,000,000 2014/11/04 2015/07/31 20.0017189 HK Bank – CITIC Sec European Warrants Mar 2015 A 100,000,000 2014/11/04 2015/03/26 15.0017185 HK Bank – China Mobile European Put Warrants May 2015 A 80,000,000 2014/11/04 2015/05/04 20.0017186 HK Bank – HKEx European Put Warrants Nov 2015 C 100,000,000 2014/11/04 2015/11/30 25.0017201 J P Morgan SP BV – Hutchison European Put Wts May 2015 A 80,000,000 2014/11/04 2015/05/04 20.4817194 Macquarie Bank Ltd. – Biostime European Warrants Jun 2015 A 40,000,000 2014/11/04 2015/06/08 10.0017192 Macquarie Bank Ltd. – BYD European Warrants May 2015 A 20,000,000 2014/11/04 2015/05/05 10.0017191 Macquarie Bank Ltd. – CNOOC European Warrants May 2015 A 23,000,000 2014/11/04 2015/05/05 10.0117199 Macquarie Bank Ltd. – Chow Tai Fook European Wts Dec 2015 A 70,000,000 2014/11/04 2015/12/02 10.5017200 Macquarie Bank Ltd. – A50 China European Warrants May 2015 A 40,000,000 2014/11/04 2015/05/05 10.0017193 Macquarie Bank Ltd. – GCL-Poly Energy European Wts May 2015 A 30,000,000 2014/11/04 2015/05/05 10.0217198 Standard Chartered Bank – Anhui Conch Euro Wts Jul 2015 A 80,000,000 2014/11/04 2015/07/09 12.0017190 Standard Chartered Bank – HKEx European Put Wts Jul 2015 C 80,000,000 2014/11/04 2015/07/03 24.0017195 SGA Societe Generale Acceptance N.V. – BOCom Eu Wt Jun 2015A 30,000,000 2014/11/04 2015/06/03 11.1017196 SGA Societe Generale Acceptance N.V – Ch Oilfield Eu Wt Sep15A 50,000,000 2014/11/04 2015/09/02 12.7517197 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Jun 15 A 80,000,000 2014/11/04 2015/06/03 20.0017208 Daiwa Capital Mkt – China Mobile European Wts Jul 2015 A 98,000,000 2014/11/05 2015/07/27 14.7017216 Goldman Sachs SP (Asia) – Ch Comm Cons Euro Wts Jun 2015 A 80,000,000 2014/11/05 2015/06/01 32.4817215 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts May 2015 A 80,000,000 2014/11/05 2015/05/08 28.6417213 Goldman Sachs SP (Asia) – HKEx European Warrants Mar 2015 B 80,000,000 2014/11/05 2015/03/30 36.1617217 Goldman Sachs SP (Asia) – Stanchart European Wts May 2015 A 80,000,000 2014/11/05 2015/05/08 30.6417205 HK Bank – China Railway European Warrants May 2015 A 60,000,000 2014/11/05 2015/05/04 15.0017204 HK Bank – Geely Auto European Warrants Jun 2015 A 60,000,000 2014/11/05 2015/06/30 15.0017203 HK Bank – Haitong Sec European Warrants Dec 2015 A 80,000,000 2014/11/05 2015/12/22 14.40

Main Board Warrants



17212 J P Morgan SP BV – Ping An European Warrants May 2015 A 150,000,000 2014/11/05 2015/05/04 37.6517202 Macquarie Bank Ltd. – PetroChina European Wts Apr 2015 A 25,000,000 2014/11/05 2015/04/02 10.0017207 Standard Chartered Bank – CSOP A50 ETF Eu Put Wts Jul 2015 B 60,000,000 2014/11/05 2015/07/02 15.0017206 Standard Chartered Bank – HSI European Put Wts Mar 2015 H 100,000,000 2014/11/05 2015/03/30 15.0017210 SGA Societe Generale Acceptance N.V. – CMob Eu Put Wt Jan17B 600,000,000 2014/11/05 2017/01/09 120.0017211 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Dec 2016A 300,000,000 2014/11/05 2016/12/05 45.0017209 UBS AG – HSI European Put Warrants Mar 2015 G 300,000,000 2014/11/05 2015/03/30 45.0017239 Credit Suisse AG – BYD European Warrants Mar 2015 A 80,000,000 2014/11/06 2015/03/23 16.0017238 Credit Suisse AG – CNOOC European Warrants Sep 2016 A 100,000,000 2014/11/06 2016/09/26 25.0017240 Credit Suisse AG – Stanchart European Warrants Dec 2016 A 80,000,000 2014/11/06 2016/12/22 12.0017218 Daiwa Capital Mkt – CNOOC European Warrants Nov 2015 A 108,000,000 2014/11/06 2015/11/02 27.0017223 HK Bank – CNOOC European Warrants Nov 2016 A 100,000,000 2014/11/06 2016/11/28 16.0017224 HK Bank – Ch Oilfield European Warrants Jul 2015 A 80,000,000 2014/11/06 2015/07/31 20.0017226 HK Bank – CRCC European Warrants Sep 2016 A 100,000,000 2014/11/06 2016/09/30 25.0017225 HK Bank – HWL European Warrants Mar 2015 B 80,000,000 2014/11/06 2015/03/26 20.0017222 HK Bank – Stanchart European Warrants Dec 2016 A 100,000,000 2014/11/06 2016/12/21 15.0017221 J P Morgan SP BV – HSI European Warrants Apr 2015 D 500,000,000 2014/11/06 2015/04/29 75.5017245 J P Morgan SP BV – Stanchart European Warrants May 2015 A 30,000,000 2014/11/06 2015/05/05 11.4017220 Macquarie Bank Ltd. – Hanergy TFP European Warrants Jun 15 A 25,000,000 2014/11/06 2015/06/16 10.0017219 Macquarie Bank Ltd. – Stanchart European Warrants Jun 2015 A 40,000,000 2014/11/06 2015/06/02 10.0017244 Standard Chartered Bank – CNOOC European Warrants Jul 2015 A 200,000,000 2014/11/06 2015/07/31 50.0017243 Standard Chartered Bank – CNOOC European Warrants Dec 2016 A 200,000,000 2014/11/06 2016/12/30 50.0017234 Standard Chartered Bank – HSI European Warrants Apr 2015 F 100,000,000 2014/11/06 2015/04/29 22.0017236 Standard Chartered Bank – HSI European Warrants Apr 2015 G 100,000,000 2014/11/06 2015/04/29 15.0017235 Standard Chartered Bank – HSI European Put Wts May 2015 B 100,000,000 2014/11/06 2015/05/28 25.0017231 Standard Chartered Bank – PICC Group European Wts Jun 2015 A 60,000,000 2014/11/06 2015/06/30 15.0017230 Standard Chartered Bank – Ping An European Wts Mar 2015 B 80,000,000 2014/11/06 2015/03/27 31.2017229 Standard Chartered Bank – Ping An Euro Put Wts Feb 2015 A 80,000,000 2014/11/06 2015/02/25 17.6017232 Standard Chartered Bank – Shunfeng Pv European Wts Dec 2015A 60,000,000 2014/11/06 2015/12/31 15.0017228 SGA Societe Generale Acceptance N.V. – Stanchart Eu Wt Aug15 A 13,000,000 2014/11/06 2015/08/05 10.2717227 SGA Societe Generale Acceptance N.V. – Stanchart Eu Wt Jan17 A 100,000,000 2014/11/06 2017/01/04 19.0017242 UBS AG – BYD European Warrants Mar 2015 B 50,000,000 2014/11/06 2015/03/23 10.5017237 UBS AG – CNOOC European Warrants May 2016 A 100,000,000 2014/11/06 2016/05/13 25.0017241 UBS AG – Stanchart European Warrants Dec 2016 A 100,000,000 2014/11/06 2016/12/21 16.0017250 BOCI Asia Ltd. – CAM CSI300 European Warrants Nov 2015 A 100,000,000 2014/11/07 2015/11/02 25.0017249 BOCI Asia Ltd. – CNOOC European Warrants Nov 2016 A 100,000,000 2014/11/07 2016/11/28 15.0017280 BNP Paribas Arbit Issu B.V. – Ch Mobile Eu Put Wt Jul 2015 A 100,000,000 2014/11/07 2015/07/03 27.0017279 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Apr 2015 A 100,000,000 2014/11/07 2015/04/02 15.0017281 BNP Paribas Arbit Issu B.V. – HKEx European Wts Sep 2015 A 100,000,000 2014/11/07 2015/09/02 17.0017276 BNP Paribas Arbit Issu B.V. – Kingsoft Euro Wts May 2015 A 100,000,000 2014/11/07 2015/05/05 19.0010309 BNP Paribas Arbit Issu B.V. – Nikkei 225 Index Eu Wt Jun15 A 100,000,000 2014/11/07 2015/06/12 25.0010310 BNP Paribas Arbit Issu B.V. – Nikkei 225 Eu Put Wt Jun 2015B 100,000,000 2014/11/07 2015/06/12 25.0017266 Credit Suisse AG – Galaxy Ent European Warrants Mar 2015 C 80,000,000 2014/11/07 2015/03/09 12.8017263 Credit Suisse AG – HKEx European Warrants Feb 2015 G 80,000,000 2014/11/07 2015/02/09 46.40

Main Board Warrants



17265 Credit Suisse AG – Ping An European Warrants Mar 2015 B 80,000,000 2014/11/07 2015/03/30 12.0017267 Credit Suisse AG – Stanchart European Warrants May 2015 A 70,000,000 2014/11/07 2015/05/06 17.5017287 Goldman Sachs SP (Asia) – HSI European Warrants Feb 2015 B 150,000,000 2014/11/07 2015/02/26 24.1517285 J P Morgan SP BV – CNOOC European Warrants May 2015 B 100,000,000 2014/11/07 2015/05/06 25.2017286 J P Morgan SP BV – CNOOC European Put Warrants May 2015 C 100,000,000 2014/11/07 2015/05/06 25.3017284 J P Morgan SP BV – Ch Oilfield Euro Wts Aug 2015 A 100,000,000 2014/11/07 2015/08/04 25.0017283 J P Morgan SP BV – Galaxy Ent European Put Wts May 2015 A 100,000,000 2014/11/07 2015/05/06 27.5017282 J P Morgan SP BV – Sands China European Put Wts May 2015 A 100,000,000 2014/11/07 2015/05/06 33.4017246 J P Morgan SP BV – Stanchart European Warrants Dec 2016 A 300,000,000 2014/11/07 2016/12/21 45.0017252 Macquarie Bank Ltd. – Ch Oilfield European Wts Jul 2015 A 33,000,000 2014/11/07 2015/07/17 10.1017255 Macquarie Bank Ltd. – Chinares Cement European Wt Jun 2015 A 20,000,000 2014/11/07 2015/06/16 10.0017253 Macquarie Bank Ltd. – HKEx European Warrants Jun 2015 A 40,000,000 2014/11/07 2015/06/02 10.0017258 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jun 2015 C 80,000,000 2014/11/07 2015/06/01 22.4017262 Standard Chartered Bank – China Unicom Euro Wts Sep 2015 A 100,000,000 2014/11/07 2015/09/22 15.0017259 Standard Chartered Bank – A50 China Euro Warrants Apr 2015 A 80,000,000 2014/11/07 2015/04/28 14.4017268 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt May 2015 A 100,000,000 2014/11/07 2015/05/06 25.0017269 SGA Societe Generale Acceptance N.V. – CMB Eu Wts Jun 2016 A 100,000,000 2014/11/07 2016/06/06 15.5017270 SGA Societe Generale Acceptance N.V. – CMob Eu Put Wt May15D 70,000,000 2014/11/07 2015/05/06 19.9517274 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt May15B 70,000,000 2014/11/07 2015/05/06 26.2517275 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt May 2015B 70,000,000 2014/11/07 2015/05/06 17.5017272 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt May15B 80,000,000 2014/11/07 2015/05/06 20.0017257 UBS AG – CNOOC European Warrants Nov 2016 A 100,000,000 2014/11/07 2016/11/25 19.5017256 UBS AG – HSBC European Put Warrants Apr 2015 A 50,000,000 2014/11/07 2015/04/08 16.5017273 UBS AG – SPDR Gold Trust European Warrants Jun 2015 A 40,000,000 2014/11/07 2015/06/29 20.8016987 # Bank of East Asia – Stanchart European Warrants Dec 2016 A 80,000,000 2014/11/07 2016/12/30 11.0417305 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Apr 2015 B 100,000,000 2014/11/10 2015/04/02 15.0017303 BNP Paribas Arbit Issu B.V. – HSBC European Wts Apr 2015 A 100,000,000 2014/11/10 2015/04/02 15.0017307 BNP Paribas Arbit Issu B.V. – Ping An European Wt May 2015 A 100,000,000 2014/11/10 2015/05/05 19.0017306 BNP Paribas Arbit Issu B.V. – SJM Holdings Eu Wts Dec 2015 A 100,000,000 2014/11/10 2015/12/02 15.0017304 BNP Paribas Arbit Issu B.V. – Stanchart Euro Wts Jan 2017 A 100,000,000 2014/11/10 2017/01/04 15.0010312 Daiwa Capital Mkt – Nikkei 225 Index European Wts Jun 2015 A 250,000,000 2014/11/10 2015/06/12 62.5010311 Daiwa Capital Mkt – Nikkei 225 Index European Wts Sep 2015 A 250,000,000 2014/11/10 2015/09/11 62.5010314 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Jun 2015 B 250,000,000 2014/11/10 2015/06/12 62.5010313 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Sep 2015 B 250,000,000 2014/11/10 2015/09/11 62.5017317 Goldman Sachs SP (Asia) – China Mobile Eu Put Wts Feb 2015 D 80,000,000 2014/11/10 2015/02/24 20.1617315 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts May 2015 A 80,000,000 2014/11/10 2015/05/11 22.1617316 Goldman Sachs SP (Asia) – Galaxy Ent Euro Put Wts Jun 2015 A 80,000,000 2014/11/10 2015/06/30 31.7617297 Goldman Sachs SP (Asia) – Kingdee Intl European Wts Jun15A 40,000,000 2014/11/10 2015/06/30 14.1217298 Goldman Sachs SP (Asia) – China Vanke European Wts Jul15A 60,000,000 2014/11/10 2015/07/30 15.6017293 HK Bank – BYD European Warrants May 2015 A 50,000,000 2014/11/10 2015/05/29 20.0017290 HK Bank – China Mobile European Warrants Mar 2017 A 150,000,000 2014/11/10 2017/03/07 22.5017291 HK Bank – China Mobile European Put Warrants May 2015 B 80,000,000 2014/11/10 2015/05/11 40.0017292 HK Bank – Galaxy Ent European Warrants Jun 2015 B 60,000,000 2014/11/10 2015/06/30 18.0017289 HK Bank – HSCEI European Put Warrants Sep 2015 A 100,000,000 2014/11/10 2015/09/29 15.00

Main Board Warrants



17294 HK Bank – Sands China European Warrants Jun 2015 B 60,000,000 2014/11/10 2015/06/30 16.8017299 J P Morgan SP BV – HSI European Warrants Jun 2015 B 500,000,000 2014/11/10 2015/06/29 75.0017288 J P Morgan SP BV – Shunfeng Pv European Warrants Nov 2015 A 80,000,000 2014/11/10 2015/11/30 20.1617313 J P Morgan SP BV – China Vanke European Warrants May 2015 A 100,000,000 2014/11/10 2015/05/11 25.3017312 J P Morgan SP BV – China Vanke European Warrants Oct 2015 A 100,000,000 2014/11/10 2015/10/02 25.2017311 J P Morgan SP BV – China Vanke European Put Warrants Jun15 A 100,000,000 2014/11/10 2015/06/02 25.1017301 Macquarie Bank Ltd. – CRCC European Warrants Jun 2015 A 40,000,000 2014/11/10 2015/06/02 10.0017302 Macquarie Bank Ltd. – Kingdee Intl European Warrants Jun15 A 23,000,000 2014/11/10 2015/06/16 10.1217296 Macquarie Bank Ltd. – Shunfeng Pv European Warrants Jan 16 A 40,000,000 2014/11/10 2016/01/18 10.0017300 Macquarie Bank Ltd. – China Vanke European Warrants Oct 15 A 40,000,000 2014/11/10 2015/10/05 10.0017310 Standard Chartered Bank – China Vanke European Wts Dec15A 50,000,000 2014/11/10 2015/12/18 13.0017295 UBS AG – Shunfeng Pv European Warrants Dec 2015 A 50,000,000 2014/11/10 2015/12/21 12.5016405 # HK Bank – CNOOC European Warrants Jun 2015 A 380,000,000 2014/11/10 2015/06/01 10.6417335 Credit Suisse AG – HSI European Put Warrants Mar 2015 E 150,000,000 2014/11/11 2015/03/30 22.5017338 Credit Suisse AG – MCC European Warrants May 2015 A 40,000,000 2014/11/11 2015/05/11 10.0017337 Credit Suisse AG – Sound Global European Warrants Aug 2015 A 80,000,000 2014/11/11 2015/08/31 20.0017322 Daiwa Capital Mkt – BOCL European Warrants Apr 2015 B 80,000,000 2014/11/11 2015/04/27 20.0017333 Bank of East Asia – Galaxy Ent European Warrants May 2015 B 40,000,000 2014/11/11 2015/05/12 10.8017334 Bank of East Asia – China Vanke European Warrants Oct 2015 A 40,000,000 2014/11/11 2015/10/22 10.0017339 Goldman Sachs SP (Asia) – Ch Oilfield European Wts Aug 2015A 80,000,000 2014/11/11 2015/08/17 20.0017341 J P Morgan SP BV – China Railway European Wts May 2015 A 40,000,000 2014/11/11 2015/05/12 10.1617340 J P Morgan SP BV – Ch Railway Cons European Wts Oct 2017 A 100,000,000 2014/11/11 2017/10/03 25.0017342 J P Morgan SP BV – Zoomlion European Warrants Jul 2015 A 40,000,000 2014/11/11 2015/07/31 10.2817343 Macquarie Bank Ltd. – BOCL European Warrants Dec 2015 A 40,000,000 2014/11/11 2015/12/02 10.0017345 Macquarie Bank Ltd. – Ch Molybdenum European Wts Jun 2015 A 30,000,000 2014/11/11 2015/06/30 11.1317320 Macquarie Bank Ltd. – Digital China European Wts Mar 2017 A 40,000,000 2014/11/11 2017/03/16 10.0017344 Macquarie Bank Ltd. – Geely Auto European Wts Jul 2015 A 40,000,000 2014/11/11 2015/07/03 10.0017324 Standard Chartered Bank – Cathay Pac Air Euro Wts Dec 2016 A 50,000,000 2014/11/11 2016/12/23 12.5017336 Standard Chartered Bank – Greatwall Motor Euro Wt May 2015 A 80,000,000 2014/11/11 2015/05/11 20.0017318 Standard Chartered Bank – HSBC European Warrants Jun 2015 B 80,000,000 2014/11/11 2015/06/02 20.0017319 Standard Chartered Bank – KECL European Warrants Apr 2017 A 100,000,000 2014/11/11 2017/04/27 15.0017325 Standard Chartered Bank – SPDR Gold Trust Euro Wt Aug 2015 A 50,000,000 2014/11/11 2015/08/21 15.0017328 SGA Societe Generale Acceptance N.V. – CCCCL Eu Wt Jun 2015 A 25,000,000 2014/11/11 2015/06/03 11.5017329 SGA Societe Generale Acceptance N.V. – CRail Eu Wt Jun 2015A 30,000,000 2014/11/11 2015/06/03 10.8017327 SGA Societe Generale Acceptance N.V. – Galaxy Eu Put Wt Jun15A 80,000,000 2014/11/11 2015/06/03 35.2017332 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Jun15A 80,000,000 2014/11/11 2015/06/03 20.0017330 SGA Societe Generale Acceptance N.V. – Ch Vanke Eu Wts Jun15A 100,000,000 2014/11/11 2015/06/03 25.0017331 SGA Societe Generale Acceptance N.V. – Ch Vanke Eu Wts Oct15A 100,000,000 2014/11/11 2015/10/05 25.0010318 UBS AG – Nikkei 225 European Warrants Jun 2015 A 100,000,000 2014/11/11 2015/06/12 25.0010320 UBS AG – Nikkei 225 European Warrants Jun 2015 B 100,000,000 2014/11/11 2015/06/12 25.0010316 UBS AG – Nikkei 225 European Warrants Sep 2015 A 100,000,000 2014/11/11 2015/09/11 25.0010319 UBS AG – Nikkei 225 European Warrants Sep 2015 B 100,000,000 2014/11/11 2015/09/11 25.0010315 UBS AG – Nikkei 225 European Warrants Dec 2015 A 100,000,000 2014/11/11 2015/12/11 25.0010317 UBS AG – Nikkei 225 European Warrants Dec 2015 B 100,000,000 2014/11/11 2015/12/11 25.00

Main Board Warrants



10321 UBS AG – Nikkei 225 European Put Warrants Jun 2015 C 100,000,000 2014/11/11 2015/06/12 25.0010322 UBS AG – Nikkei 225 European Put Warrants Sep 2015 C 100,000,000 2014/11/11 2015/09/11 25.0016333 # HK Bank – China Mobile European Warrants Dec 2016 A 230,000,000 2014/11/11 2016/12/19 36.1117380 Credit Suisse AG – China Vanke European Warrants Jun 2015 A 80,000,000 2014/11/12 2015/06/29 20.0017376 Daiwa Capital Mkt – CCCCL European Warrants May 2015 A 58,000,000 2014/11/12 2015/05/11 14.5017375 Daiwa Capital Mkt – PetroChina European Warrants Apr 2015 A 68,000,000 2014/11/12 2015/04/24 23.8017357 Goldman Sachs SP (Asia) – BankComm European Wts May 2015 A 40,000,000 2014/11/12 2015/05/29 12.0017361 Goldman Sachs SP (Asia) – CNOOC European Warrants Nov 2016 A 80,000,000 2014/11/12 2016/11/28 12.2417356 Goldman Sachs SP (Asia) – China Railway Euro Wts May 2015 A 40,000,000 2014/11/12 2015/05/29 12.5217359 Goldman Sachs SP (Asia) – CRCC European Warrants May 2015 A 30,000,000 2014/11/12 2015/05/29 20.1917358 Goldman Sachs SP (Asia) – PetroChina European Wts May 2015 A 80,000,000 2014/11/12 2015/05/15 32.6417387 Goldman Sachs SP (Asia) – Stanchart European Wts May 2015 B 40,000,000 2014/11/12 2015/05/14 14.0417354 HK Bank – AIA European Put Warrants Mar 2015 B 80,000,000 2014/11/12 2015/03/26 12.8017362 HK Bank – Ch Comm Cons European Warrants Jul 2015 A 60,000,000 2014/11/12 2015/07/31 18.0017353 HK Bank – Shunfeng Pv European Warrants Dec 2015 A 80,000,000 2014/11/12 2015/12/24 12.8017389 J P Morgan SP BV – Ch Comm Cons European Warrants Jul 2015 A 50,000,000 2014/11/12 2015/07/30 12.6017388 J P Morgan SP BV – Sound Global European Warrants Aug 2015 A 60,000,000 2014/11/12 2015/08/03 15.1217374 Macquarie Bank Ltd. – China Res Gas European Wts Aug 2015 A 40,000,000 2014/11/12 2015/08/31 10.0017385 Macquarie Bank Ltd. – Dongfeng Motor European Wts Dec 2016 A 40,000,000 2014/11/12 2016/12/02 10.0017386 Macquarie Bank Ltd. – ZTE European Warrants Dec 2015 A 40,000,000 2014/11/12 2015/12/16 10.0017350 Nomura Int’l plc – Ch Comm Cons European Warrants May 2015 A 50,000,000 2014/11/12 2015/05/29 18.0017352 Nomura Int’l plc – Ch Oilfield European Warrants Aug 2015 A 80,000,000 2014/11/12 2015/08/31 13.4417347 Nomura Int’l plc – Ch Railway European Warrants May 2015 A 50,000,000 2014/11/12 2015/05/29 15.5017346 Nomura Int’l plc – Guangdong Inv European Wts Dec 2016 A 50,000,000 2014/11/12 2016/12/30 13.4517349 Nomura Int’l plc – MCC European Warrants May 2015 A 50,000,000 2014/11/12 2015/05/12 12.5017348 Nomura Int’l plc – Sound Global European Warrants Aug 2015 A 50,000,000 2014/11/12 2015/08/28 12.5017351 Nomura Int’l plc – China Vanke European Warrants Jul 2015 A 50,000,000 2014/11/12 2015/07/31 12.7017364 Standard Chartered Bank – BOC HK European Wts Dec 2015 A 70,000,000 2014/11/12 2015/12/22 10.5017365 Standard Chartered Bank – BOC HK European Wts Oct 2016 A 70,000,000 2014/11/12 2016/10/07 10.5017366 Standard Chartered Bank – China Cinda Euro Put Wts Aug 2015A 80,000,000 2014/11/12 2015/08/31 20.0017373 Standard Chartered Bank – Ch Oilfield European Wts Sep15A 70,000,000 2014/11/12 2015/09/22 10.5089015 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jun 2015 A 40,000,000 2014/11/12 2015/06/30 14.7017369 Standard Chartered Bank – Dongfeng European Wts Dec 2016 A 60,000,000 2014/11/12 2016/12/23 15.0017381 Standard Chartered Bank – HSI European Warrants Jun 2015 B 100,000,000 2014/11/12 2015/06/29 15.0017382 Standard Chartered Bank – HSI European Warrants Jun 2015 C 100,000,000 2014/11/12 2015/06/29 15.0017384 Standard Chartered Bank – HSI European Put Wts Mar 2015 I 100,000,000 2014/11/12 2015/03/30 18.0017383 Standard Chartered Bank – HSI European Put Wts Jul 2015 B 100,000,000 2014/11/12 2015/07/30 15.0017367 Standard Chartered Bank – Li & Fung European Wts Aug 2015 A 80,000,000 2014/11/12 2015/08/28 20.0017372 Standard Chartered Bank – China Mengniu Euro Wts Aug 2015 A 60,000,000 2014/11/12 2015/08/21 19.2017363 Standard Chartered Bank – Sands China Eu Put Wts Mar 2015 D 80,000,000 2014/11/12 2015/03/26 12.0017368 Standard Chartered Bank – Wharf European Warrants Jun 2015 A 80,000,000 2014/11/12 2015/06/26 23.2010323 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Jun 15 A 150,000,000 2014/11/12 2015/06/12 37.5010324 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Sep 15 A 150,000,000 2014/11/12 2015/09/11 37.5010325 SGA Societe Generale Acceptance NV – N225 Eu Put Wt Jun 2015 B 150,000,000 2014/11/12 2015/06/12 37.50

Main Board Warrants



17355 SGA Societe Generale Acceptance NV – NewWorld Dev Eu Wt Jul15A 16,000,000 2014/11/12 2015/07/06 10.8817377 UBS AG – CITIC Sec European Warrants May 2015 A 70,000,000 2014/11/12 2015/05/20 10.5017378 UBS AG – China Vanke European Warrants May 2015 A 100,000,000 2014/11/12 2015/05/11 25.0017379 UBS AG – China Vanke European Warrants Aug 2015 A 100,000,000 2014/11/12 2015/08/24 25.0017406 Credit Suisse AG – Ch Comm Cons European Warrants May 2015 A 50,000,000 2014/11/13 2015/05/26 12.5017408 Credit Suisse AG – Sihuan Pharm European Warrants Mar 2015 A 65,000,000 2014/11/13 2015/03/30 10.4017404 Credit Suisse AG – Shenzhen Int’l European Wts Jul 2015 A 60,000,000 2014/11/13 2015/07/31 10.8017407 Credit Suisse AG – Tencent Holdings European Wts Feb 2016 A 120,000,000 2014/11/13 2016/02/29 30.0017409 Daiwa Capital Mkt – Ch Railway Cons European Warrants Nov15A 80,000,000 2014/11/13 2015/11/02 20.0017410 J P Morgan SP BV – GCL-Poly European Warrants Jun 2015 A 100,000,000 2014/11/13 2015/06/02 25.6017391 Macquarie Bank Ltd. – Sinopec Corp European Wts Jul 2015 A 40,000,000 2014/11/13 2015/07/03 10.0017400 Macquarie Bank Ltd. – Lenovo European Warrants Apr 2017 A 40,000,000 2014/11/13 2017/04/03 10.0017393 Standard Chartered Bank – Ch Comm Cons Eur Wts Aug 2015 A 40,000,000 2014/11/13 2015/08/28 10.0017392 Standard Chartered Bank – China Railway Euro Wts Jul 2015 A 60,000,000 2014/11/13 2015/07/02 15.0017390 Standard Chartered Bank – ZTE European Warrants Jul 2015 B 60,000,000 2014/11/13 2015/07/13 10.2017397 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Oct 2016A 300,000,000 2014/11/13 2016/10/03 45.0017395 SGA Societe Generale Acceptance N.V. – CRCC Eu Wt Oct 2016 A 150,000,000 2014/11/13 2016/10/05 33.7517398 SGA Societe Generale Acceptance N.V. – MGM China Eu Wt Jun15B 40,000,000 2014/11/13 2015/06/03 10.0017399 SGA Societe Generale Acceptance N.V. – Wynn Macau Eu Wt Jul15A 40,000,000 2014/11/13 2015/07/06 10.0017403 UBS AG – CNOOC European Put Warrants Jun 2016 A 50,000,000 2014/11/13 2016/06/20 12.5017414 BOCI Asia Ltd. – Ch Comm Cons European Warrants Jun 2015 A 100,000,000 2014/11/14 2015/06/01 40.0017412 BOCI Asia Ltd. – China Mobile European Warrants Apr 2015 A 100,000,000 2014/11/14 2015/04/20 34.0017411 BOCI Asia Ltd. – HKEx European Warrants Apr 2015 A 100,000,000 2014/11/14 2015/04/08 45.0017413 BOCI Asia Ltd. – Sands China European Warrants Apr 2015 A 100,000,000 2014/11/14 2015/04/13 30.0017423 Credit Suisse AG – Ch Comm Cons European Warrants Jul 2015 A 50,000,000 2014/11/14 2015/07/27 12.5017420 Credit Suisse AG – Galaxy Ent European Put Wts Mar 2015 D 70,000,000 2014/11/14 2015/03/23 12.6017421 Credit Suisse AG – Sands China European Put Wts Mar 2015 E 70,000,000 2014/11/14 2015/03/23 11.2017432 Goldman Sachs SP (Asia) – Dongfeng European Wts Dec 2016 A 50,000,000 2014/11/14 2016/12/02 12.5017425 Goldman Sachs SP (Asia) – A50 China European Wts May 2015 A 80,000,000 2014/11/14 2015/05/29 26.7217431 Goldman Sachs SP (Asia) – China Mengniu Euro Wt Jun 2015 A 50,000,000 2014/11/14 2015/06/30 12.5017426 Goldman Sachs SP (Asia) – Yurun Food European Wts May 2015 A 80,000,000 2014/11/14 2015/05/29 20.7217427 J P Morgan SP BV – Chinares Cement Euro Warrants Jun 2015 A 30,000,000 2014/11/14 2015/06/02 12.1217428 J P Morgan SP BV – Xinyi Glass European Warrants Jun 2015 A 35,000,000 2014/11/14 2015/06/30 10.5717424 Macquarie Bank Ltd. – Kingsoft European Warrants Jul 2015 A 35,000,000 2014/11/14 2015/07/03 10.0117416 Standard Chartered Bank – Lenovo European Wts Apr 2015 B 30,000,000 2014/11/14 2015/04/23 13.5017415 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Nov 2015A 300,000,000 2014/11/14 2015/11/04 45.0017417 UBS AG – CGS European Warrants Nov 2015 A 70,000,000 2014/11/14 2015/11/25 10.5017419 UBS AG – Haitong Sec European Warrants Aug 2015 A 70,000,000 2014/11/14 2015/08/11 10.5017418 UBS AG – KECL European Warrants Apr 2017 A 100,000,000 2014/11/14 2017/04/27 22.0015720 # HK Bank – HKEx European Warrants May 2015 A 280,000,000 2014/11/14 2015/05/26 25.4817447 BNP Paribas Arbit Issu B.V. – Ch Comm Cons Eur Wt Aug 2015 B 36,000,000 2014/11/17 2015/08/04 13.3217436 BNP Paribas Arbit Issu B.V. – Ch Oilfield Eur Wts Mar 2016 A 100,000,000 2014/11/17 2016/03/02 25.0017446 BNP Paribas Arbit Issu B.V. – Ch Ship Cont Eur Wt Sep 2015 A 41,000,000 2014/11/17 2015/09/02 13.5317435 BNP Paribas Arbit Issu B.V. – Ting Yi European Wts Nov 2015 A 90,000,000 2014/11/17 2015/11/03 16.20

Main Board Warrants



17445 BNP Paribas Arbit Issu B.V. – China Vanke Euro Wts Sep15A 100,000,000 2014/11/17 2015/09/02 25.0017439 Credit Suisse AG – CSOP A50 ETF European Warrants Mar 2015 A 80,000,000 2014/11/17 2015/03/30 12.0017440 Credit Suisse AG – A50 China European Warrants Mar 2015 B 80,000,000 2014/11/17 2015/03/30 12.0017441 Credit Suisse AG – GCL-Poly Energy European Wts Apr 2015 A 70,000,000 2014/11/17 2015/04/27 11.2017438 Credit Suisse AG – Link REIT European Warrants Aug 2015 A 70,000,000 2014/11/17 2015/08/31 10.5017448 Daiwa Capital Mkt – Cheung Kong European Warrants Nov 2015 A 80,000,000 2014/11/17 2015/11/11 20.0017451 Daiwa Capital Mkt – Hutchison European Put Wts Jun 2015 A 68,000,000 2014/11/17 2015/06/01 25.8417449 Daiwa Capital Mkt – SHK Ppt European Warrants Jun 2015 A 58,000,000 2014/11/17 2015/06/01 24.3617450 Daiwa Capital Mkt – Tencent Holdings European Wts Jun 2015 A 128,000,000 2014/11/17 2015/06/08 25.6017453 Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2015 G 80,000,000 2014/11/17 2015/03/30 12.4017454 Goldman Sachs SP (Asia) – HSI European Put Wts Apr 2015 C 80,000,000 2014/11/17 2015/04/29 14.2417452 J P Morgan SP BV – Ch Ship Cont European Warrants Apr 2015 B 65,000,000 2014/11/17 2015/04/30 10.0117433 Macquarie Bank Ltd. – Yanzhou Coal European Wts Jun 2015 A 30,000,000 2014/11/17 2015/06/02 10.0217434 SGA Societe Generale Acceptance N.V. – HKEx Eu Put Wt Dec15B 300,000,000 2014/11/17 2015/12/02 45.0010326 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Jun 15 C 150,000,000 2014/11/17 2015/06/12 27.0017442 SGA Societe Generale Acceptance N.V – Tencent Eu Put Wt Dec15B 500,000,000 2014/11/17 2015/12/02 92.5017444 UBS AG – GCL-Poly Energy European Warrants Jul 2015 A 40,000,000 2014/11/17 2015/07/09 10.0017437 UBS AG – Link REIT European Warrants Aug 2015 A 70,000,000 2014/11/17 2015/08/26 10.5014651 # Credit Suisse AG – HKEx European Warrants Mar 2015 B 100,000,000 2014/11/17 2015/03/31 10.9015087 # Credit Suisse AG – HKEx European Warrants May 2015 A 120,000,000 2014/11/17 2015/05/29 11.7615957 # UBS AG – China Mobile European Warrants Mar 2017 A 500,000,000 2014/11/17 2017/03/13 74.5017477 Credit Suisse AG – CNOOC European Warrants Oct 2015 B 150,000,000 2014/11/18 2015/10/26 22.5017476 Credit Suisse AG – CNOOC European Warrants May 2016 A 150,000,000 2014/11/18 2016/05/06 22.5017474 Credit Suisse AG – Sinopec Corp European Warrants Apr 2015 A 70,000,000 2014/11/18 2015/04/30 16.1017467 Credit Suisse AG – A50 China European Warrants Mar 2015 C 80,000,000 2014/11/18 2015/03/30 12.0017475 Credit Suisse AG – PetroChina European Warrants Apr 2015 A 70,000,000 2014/11/18 2015/04/27 16.1017468 Daiwa Capital Mkt – CCB European Warrants Apr 2015 B 108,000,000 2014/11/18 2015/04/01 16.2017470 Daiwa Capital Mkt – HSBC European Warrants May 2015 A 98,000,000 2014/11/18 2015/05/04 24.5017469 Daiwa Capital Mkt – ICBC European Warrants Apr 2015 A 108,000,000 2014/11/18 2015/04/01 16.2017482 Goldman Sachs SP (Asia) – Cheung Kong Euro Wts May 2015 A 60,000,000 2014/11/18 2015/05/19 23.0417483 Goldman Sachs SP (Asia) – Chi Resources Euro Wt Sep 2015 A 60,000,000 2014/11/18 2015/09/30 15.0017486 Goldman Sachs SP (Asia) – Greatwall Motor Eur Wts May 2015 A 60,000,000 2014/11/18 2015/05/29 20.1017487 Goldman Sachs SP (Asia) – Shenzhen Int’l European Wts Mar16A 40,000,000 2014/11/18 2016/03/31 10.0017484 Goldman Sachs SP (Asia) – Xinyi Glass European Wts May 2015A 40,000,000 2014/11/18 2015/05/29 16.0417456 HK Bank – China Mobile European Warrants Jul 2016 A 300,000,000 2014/11/18 2016/07/25 63.0017457 HK Bank – GCL-Poly Energy European Warrants May 2015 A 60,000,000 2014/11/18 2015/05/29 15.0017458 HK Bank – Tencent European Put Warrants Sep 2015 C 100,000,000 2014/11/18 2015/09/02 15.0017481 J P Morgan SP BV – BOC HK European Warrants Apr 2017 A 150,000,000 2014/11/18 2017/04/03 37.6517479 J P Morgan SP BV – Haitong Sec European Warrants Aug 2015 A 100,000,000 2014/11/18 2015/08/11 15.0017480 J P Morgan SP BV – Link Reit European Warrants Sep 2015 A 100,000,000 2014/11/18 2015/09/02 15.2017460 Macquarie Bank Ltd. – AAC Acoustic European Wts Jun 2015 A 20,000,000 2014/11/18 2015/06/09 10.0017459 Macquarie Bank Ltd. – Foxconn European Warrants Jun 2015 A 20,000,000 2014/11/18 2015/06/02 10.0017478 Macquarie Bank Ltd. – GCL-Poly Energy European Wts Jun 2015 A 25,000,000 2014/11/18 2015/06/02 10.0017465 Standard Chartered Bank – CNOOC European Warrants Oct 2015 A 100,000,000 2014/11/18 2015/10/26 15.00

Main Board Warrants



17464 Standard Chartered Bank – SPDR Gold Trust Eu Put Wt Jul 15 A 50,000,000 2014/11/18 2015/07/02 20.5017462 Standard Chartered Bank – TVB European Warrants Dec 2015 A 40,000,000 2014/11/18 2015/12/31 10.0017463 Standard Chartered Bank – YZ Coal European Wts Apr 2015 B 40,000,000 2014/11/18 2015/04/28 12.4017472 SGA Societe Generale Acceptance N.V. – ChiUnicom Eu Wt Oct 15A 100,000,000 2014/11/18 2015/10/05 15.0017473 SGA Societe Generale Acceptance N.V. – GCL-Poly Eu Wt Jul15A 52,000,000 2014/11/18 2015/07/06 10.1417466 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Oct 2015 A 300,000,000 2014/11/18 2015/10/05 45.0017461 UBS AG – China Mobile European Warrants Apr 2017 A 500,000,000 2014/11/18 2017/04/24 125.0017455 UBS AG – HKEx European Warrants Sep 2015 E 300,000,000 2014/11/18 2015/09/22 45.0017500 BNP Paribas Arbit Issu B.V. – BOCL European Wts Sep 2016 A 100,000,000 2014/11/19 2016/09/02 29.0017503 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Aug 2015 A 100,000,000 2014/11/19 2015/08/04 15.0017502 BNP Paribas Arbit Issu B.V. – CRCC European Wts Dec 2017 A 100,000,000 2014/11/19 2017/12/04 25.0017499 BNP Paribas Arbit Issu B.V. – HKEx European Wts Dec 2015 A 100,000,000 2014/11/19 2015/12/02 15.0017501 BNP Paribas Arbit Issu B.V. – HSBC European Wts Jun 2015 A 100,000,000 2014/11/19 2015/06/02 20.0017525 Credit Suisse AG – BOC HK European Warrants Mar 2016 A 80,000,000 2014/11/19 2016/03/29 20.0017529 Credit Suisse – CSCL European Warrants Jun 2015 A 50,000,000 2014/11/19 2015/06/01 12.5017524 Credit Suisse AG – KECL European Warrants Apr 2017 A 80,000,000 2014/11/19 2017/04/27 12.0017528 Credit Suisse – Shanghai Electric European Warrants May 15 A 50,000,000 2014/11/19 2015/05/26 17.5017526 Credit Suisse AG – Shenzhen Int’l European Wts Sep 2015 A 80,000,000 2014/11/19 2015/09/29 20.0017518 Daiwa Capital Mkt – BOC HK European Warrants Nov 2015 A 88,000,000 2014/11/19 2015/11/16 22.0017516 Bank of East Asia – BOCL European Warrants Apr 2016 A 40,000,000 2014/11/19 2016/04/29 10.8017517 Bank of East Asia – Minsheng Bank European Warrants Jun 15 A 40,000,000 2014/11/19 2015/06/10 12.0017531 Bank of East Asia – Ch Mobile European Warrants May 2017 A 250,000,000 2014/11/19 2017/05/02 62.5017530 Bank of East Asia – CNOOC European Warrants Dec 2016 A 80,000,000 2014/11/19 2016/12/30 20.0017515 Bank of East Asia – HKEx European Warrants Nov 2015 A 70,000,000 2014/11/19 2015/11/30 10.5017493 HK Bank – China COSCO European Warrants Jun 2015 A 50,000,000 2014/11/19 2015/06/30 12.5017491 HK Bank – Mengniu European Warrants Jul 2015 A 80,000,000 2014/11/19 2015/07/30 20.0017492 HK Bank – Shanghai Electric European Warrants Jul 2015 A 50,000,000 2014/11/19 2015/07/31 15.0017523 J P Morgan SP BV – Avichina European Warrants Jun 2015 A 40,000,000 2014/11/19 2015/06/30 10.2417520 J P Morgan SP BV – BOCL European Warrants Dec 2015 A 100,000,000 2014/11/19 2015/12/02 15.1017521 J P Morgan SP BV – CITIC Bank European Warrants Feb 2015 A 100,000,000 2014/11/19 2015/02/27 15.0017522 J P Morgan SP BV – A50 China European Warrants Jun 2015 A 100,000,000 2014/11/19 2015/06/02 25.3017498 Macquarie Bank Ltd. – HN Renewables European Wts Aug 2015 A 27,000,000 2014/11/19 2015/08/18 10.0217488 Nomura Int’l plc – Cheung Kong European Warrants Dec 2016 A 80,000,000 2014/11/19 2016/12/28 13.7617490 Nomura Int’l plc – CNOOC European Warrants Nov 2016 A 80,000,000 2014/11/19 2016/11/25 12.4817489 Nomura Int’l plc – PetroChina European Warrants May 2015 A 80,000,000 2014/11/19 2015/05/26 12.3217497 Standard Chartered Bank – CGS European Warrants May 2015 A 80,000,000 2014/11/19 2015/05/29 25.6017495 Standard Chartered Bank – CITIC Sec European Wts May 2015 A 80,000,000 2014/11/19 2015/05/22 12.0017494 Standard Chartered Bank – Ch Ship Cont Euro Wts Sep 2015 A 50,000,000 2014/11/19 2015/09/03 12.5017496 Standard Chartered Bank – Haitong Sec Euro Wts Dec 2015 A 80,000,000 2014/11/19 2015/12/22 20.8017507 SGA Societe Generale Acceptance N.V – Chi COSCO Eu Wt Oct 15 A 30,000,000 2014/11/19 2015/10/05 11.8517508 SGA Societe Generale Acceptance NV – Ch Ship Cont Eu Wt May15A 55,000,000 2014/11/19 2015/05/06 10.1817510 SGA Societe Generale Acceptance N.V. – HSI Eur Wt May 2015 B 150,000,000 2014/11/19 2015/05/28 37.5017511 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jun 2015 D 150,000,000 2014/11/19 2015/06/29 22.5017512 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jun 15 E 150,000,000 2014/11/19 2015/06/29 37.50

Main Board Warrants



17513 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Aug 15 A 150,000,000 2014/11/19 2015/08/28 37.5017505 UBS AG – CAM CSI300 European Warrants Sep 2015 A 40,000,000 2014/11/19 2015/09/29 10.0017519 UBS AG – BOC HK European Warrants Dec 2016 A 80,000,000 2014/11/19 2016/12/28 20.0017514 UBS AG – HKEx European Warrants Mar 2015 A 80,000,000 2014/11/19 2015/03/03 17.6017504 UBS AG – Tencent Holdings European Warrants Apr 2015 B 100,000,000 2014/11/19 2015/04/23 17.5017506 UBS AG – Yurun Food European Warrants Apr 2015 A 70,000,000 2014/11/19 2015/04/28 11.9027913 # Standard Chartered Bank – HSI European Warrants Mar 2015 B 100,000,000 2014/11/19 2015/03/30 10.2017537 BOCI Asia Ltd. – CGS European Warrants Nov 2015 A 100,000,000 2014/11/20 2015/11/30 15.0017533 BOCI Asia Ltd. – HKEx European Warrants Oct 2015 A 100,000,000 2014/11/20 2015/10/07 16.0017538 BOCI Asia Ltd. – Haitong Sec European Warrants Aug 2015 A 100,000,000 2014/11/20 2015/08/17 15.0017534 BOCI Asia Ltd. – Tencent Holdings European Wts Jun 2015 B 100,000,000 2014/11/20 2015/06/15 35.0017535 BOCI Asia Ltd. – Tencent Holdings European Put Wts Sep 2015 B 100,000,000 2014/11/20 2015/09/07 15.0017536 BOCI Asia Ltd. – Yanzhou Coal European Warrants Jul 2015 A 100,000,000 2014/11/20 2015/07/13 51.0017557 BNP Paribas Arbit Issu B.V. – AIA European Wts Apr 2016 A 100,000,000 2014/11/20 2016/04/05 25.0017556 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Dec 2016 A 100,000,000 2014/11/20 2016/12/02 15.0017555 BNP Paribas Arbit Issu B.V. – Cathay Pacific Eu Wt Oct 2015A 65,000,000 2014/11/20 2015/10/05 11.7017558 BNP Paribas Arbit Issu B.V. – Chow Tai Fook Eu Wt Dec 2015 A 70,000,000 2014/11/20 2015/12/02 11.2017554 BNP Paribas Arbit Issu B.V. – Melco Int’l Dev Eu Wt Feb 16 A 50,000,000 2014/11/20 2016/02/02 12.5017572 Credit Suisse AG – CAM CSI300 European Warrants Aug 2015 A 70,000,000 2014/11/20 2015/08/31 17.5017571 Credit Suisse AG – CITIC Sec European Warrants May 2015 A 70,000,000 2014/11/20 2015/05/26 10.5017567 Credit Suisse AG – China Mobile European Warrants Nov 2017 B 150,000,000 2014/11/20 2017/11/27 37.5017568 Credit Suisse AG – HKEx European Put Warrants Jun 2015 D 100,000,000 2014/11/20 2015/06/29 15.0017570 Credit Suisse AG – HKEx European Put Warrants Nov 2015 B 100,000,000 2014/11/20 2015/11/30 15.0017544 Goldman Sachs SP (Asia) – AIA European Warrants Jun 2015 A 80,000,000 2014/11/20 2015/06/25 13.0417549 Goldman Sachs SP (Asia) – Ch Comm Cons Euro Wts Jul 2015 A 80,000,000 2014/11/20 2015/07/08 28.7217546 Goldman Sachs SP (Asia) – China Mobile Euro Wts Mar 2015 C 80,000,000 2014/11/20 2015/03/30 15.6817545 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jul 2015 A 80,000,000 2014/11/20 2015/07/30 20.4017547 Goldman Sachs SP (Asia) – Lenovo European Wts May 2015 A 80,000,000 2014/11/20 2015/05/28 41.4417548 Goldman Sachs SP (Asia) – Sh Electric European Wts Jul 2015A 40,000,000 2014/11/20 2015/07/31 14.8017573 Goldman Sachs SP (Asia) – Tencent European Wt Jun 2015 B 80,000,000 2014/11/20 2015/06/15 27.5217541 HK Bank – CAM CSI300 European Warrants Sep 2015 A 80,000,000 2014/11/20 2015/09/30 20.0017540 HK Bank – HSCEI European Warrants Mar 2015 A 150,000,000 2014/11/20 2015/03/30 22.5017539 HK Bank – HSCEI European Warrants Nov 2015 A 150,000,000 2014/11/20 2015/11/27 22.5017574 J P Morgan SP BV – HKEx European Warrants Sep 2015 C 300,000,000 2014/11/20 2015/09/30 45.3017575 J P Morgan SP BV – China Mengniu European Warrants Jul 2015A 100,000,000 2014/11/20 2015/07/03 25.1017576 J P Morgan SP BV – Yanzhou Coal European Warrants Jun 2015 A 40,000,000 2014/11/20 2015/06/30 13.5617532 Macquarie Bank Ltd. – TCL Comm European Warrants Jan 2016 A 40,000,000 2014/11/20 2016/01/18 10.0017550 Standard Chartered Bank – BOCL European Warrants Mar 2015 B 100,000,000 2014/11/20 2015/03/30 15.0017551 Standard Chartered Bank – Tingyi European Warrants Aug 2015A 50,000,000 2014/11/20 2015/08/12 12.5017553 SGA Societe Generale Acceptance N.V. – BOCHK Eu Wt Nov 2015A 60,000,000 2014/11/20 2015/11/04 15.0017552 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Dec 2015 A 100,000,000 2014/11/20 2015/12/02 25.0017542 SGA Societe Generale Acceptance N.V. – Greatwall Eu Wt Jun15A 40,000,000 2014/11/20 2015/06/03 10.0017559 UBS AG – BYD European Warrants May 2015 A 60,000,000 2014/11/20 2015/05/19 15.0017562 UBS AG – CITIC Sec European Warrants May 2015 B 40,000,000 2014/11/20 2015/05/19 22.00

Main Board Warrants



17564 UBS AG – CSOP A50 ETF European Warrants May 2015 B 50,000,000 2014/11/20 2015/05/19 12.5017565 UBS AG – A50 China European Warrants May 2015 A 50,000,000 2014/11/20 2015/05/19 12.5017566 UBS AG – HKEx European Warrants Jun 2015 C 80,000,000 2014/11/20 2015/06/22 20.0017560 UBS AG – HSCEI European Warrants Nov 2015 A 100,000,000 2014/11/20 2015/11/27 15.5017561 UBS AG – HSCEI European Put Warrants Jun 2015 B 100,000,000 2014/11/20 2015/06/29 25.0017563 UBS AG – Haitong Sec European Warrants May 2015 A 40,000,000 2014/11/20 2015/05/19 26.8016609 # Standard Chartered Bank – Galaxy Ent Euro Put Wts Apr 2015 D 80,000,000 2014/11/20 2015/04/09 11.1217039 # Goldman Sachs SP (Asia) – HKEx European Warrants Nov 2015 A 150,000,000 2014/11/20 2015/11/30 25.3517601 Credit Suisse AG – China Mobile European Warrants Mar 2015 D 80,000,000 2014/11/21 2015/03/30 12.0017602 Credit Suisse AG – China Mobile European Warrants Apr 2015 B 80,000,000 2014/11/21 2015/04/09 20.8017603 Credit Suisse AG – Tencent Holdings European Wts Apr 2015 B 100,000,000 2014/11/21 2015/04/27 20.0017585 Daiwa Capital Mkt – Tencent Holdings European Wts Sep 2015 C 168,000,000 2014/11/21 2015/09/23 25.2017580 HK Bank – BOCL European Warrants Aug 2015 A 80,000,000 2014/11/21 2015/08/31 20.0017583 HK Bank – CITIC Sec European Warrants May 2015 A 80,000,000 2014/11/21 2015/05/29 12.0017582 HK Bank – China Mobile European Warrants Apr 2015 A 80,000,000 2014/11/21 2015/04/28 20.8017579 HK Bank – Link REIT European Warrants Jul 2015 B 60,000,000 2014/11/21 2015/07/31 15.0017581 HK Bank – PetroChina European Warrants Jun 2015 A 60,000,000 2014/11/21 2015/06/30 24.0017608 J P Morgan SP BV – CAM CSI300 European Warrants Aug 2015 A 200,000,000 2014/11/21 2015/08/03 50.2017609 J P Morgan SP BV – Sinopec Corp European Warrants Jun 2015 A 100,000,000 2014/11/21 2015/06/03 26.1017611 J P Morgan SP BV – NCI European Warrants Jun 2015 A 100,000,000 2014/11/21 2015/06/15 25.3017610 J P Morgan SP BV – PetroChina European Warrants Jun 2015 A 100,000,000 2014/11/21 2015/06/30 25.3017607 J P Morgan SP BV – Tencent European Warrants Apr 2015 C 200,000,000 2014/11/21 2015/04/30 30.4017612 J P Morgan SP BV – Tencent European Warrants Dec 2015 B 500,000,000 2014/11/21 2015/12/28 76.0017589 Macquarie Bank Ltd. – Sh Electric European Wts Jul 2015 A 30,000,000 2014/11/21 2015/07/30 13.2617590 Macquarie Bank Ltd. – Sh Petrochem European Wts Aug 2015 A 40,000,000 2014/11/21 2015/08/04 10.0017578 Macquarie Bank Ltd. – Tencent European Put Wts Jun 2015 A 20,000,000 2014/11/21 2015/06/02 10.0017577 Macquarie Bank Ltd. – Tencent European Put Wts Sep 2015 A 100,000,000 2014/11/21 2015/09/02 17.0017588 Standard Chartered Bank – CITIC Bank European Wts Jul 2015 A 50,000,000 2014/11/21 2015/07/24 12.5017586 Standard Chartered Bank – Galaxy Ent Euro Put Wts Aug 2015 A 100,000,000 2014/11/21 2015/08/03 25.0017587 Standard Chartered Bank – HKEx European Warrants Dec 2015 B 100,000,000 2014/11/21 2015/12/17 15.0017591 Standard Chartered Bank – HKEx European Warrants Jun 2017 A 150,000,000 2014/11/21 2017/06/30 37.5017592 Standard Chartered Bank – HKEx European Warrants Aug 2018 A 150,000,000 2014/11/21 2018/08/08 37.5017604 Standard Chartered Bank – Tencent Hldg Euro Wts Jun 2015 B 80,000,000 2014/11/21 2015/06/08 28.0017605 Standard Chartered Bank – Tencent Hldg Euro Wts Sep 2015 A 300,000,000 2014/11/21 2015/09/23 45.0017606 Standard Chartered Bank – Tencent Hldg Eu Put Wts Sep 2015 B 200,000,000 2014/11/21 2015/09/02 30.0017584 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jun 2015 A 30,000,000 2014/11/21 2015/06/03 18.3017594 UBS AG – BOCL European Warrants Nov 2015 A 100,000,000 2014/11/21 2015/11/30 25.0017613 UBS AG – Cheung Kong European Warrants Mar 2015 B 50,000,000 2014/11/21 2015/03/27 14.2517614 UBS AG – CM Bank European Warrants Sep 2016 A 100,000,000 2014/11/21 2016/09/27 16.5017596 UBS AG – Galaxy Ent European Put Warrants Apr 2015 A 60,000,000 2014/11/21 2015/04/28 21.0017600 UBS AG – HKEx European Warrants Jun 2016 A 300,000,000 2014/11/21 2016/06/27 75.0017593 UBS AG – HKEx European Put Warrants Jun 2015 D 100,000,000 2014/11/21 2015/06/23 15.0017597 UBS AG – HSBC European Warrants Apr 2015 B 100,000,000 2014/11/21 2015/04/21 15.0017595 UBS AG – Sands China European Put Warrants May 2015 A 60,000,000 2014/11/21 2015/05/20 22.20

Main Board Warrants



17598 UBS AG – Tencent Holdings European Warrants Mar 2015 B 50,000,000 2014/11/21 2015/03/03 11.5017621 Credit Suisse AG – Kingsoft European Warrants Mar 2015 E 80,000,000 2014/11/24 2015/03/30 12.0017618 Daiwa Capital Mkt – HKEx European Warrants Jul 2015 B 188,000,000 2014/11/24 2015/07/02 56.4017617 Daiwa Capital Mkt – HKEx European Warrants Aug 2015 A 208,000,000 2014/11/24 2015/08/11 41.6017615 Daiwa Capital Mkt – HKEx European Warrants Sep 2015 A 208,000,000 2014/11/24 2015/09/22 31.2017619 Daiwa Capital Mkt – HKEx European Put Warrants Nov 2015 A 108,000,000 2014/11/24 2015/11/23 16.2017620 Daiwa Capital Mkt – Tencent Holdings European Wts Nov 2015 A 168,000,000 2014/11/24 2015/11/02 28.5617630 J P Morgan SP BV – China Mob European Wts Aug 2016 A 500,000,000 2014/11/24 2016/08/01 98.0017629 J P Morgan SP BV – HKEx European Put Wts Nov 2015 A 300,000,000 2014/11/24 2015/11/30 45.3017616 Macquarie Bank Ltd. – HKEx European Warrants Dec 2015 A 70,000,000 2014/11/24 2015/12/17 10.5017622 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Jun 2015A 80,000,000 2014/11/24 2015/06/03 32.8017625 UBS AG – Ch Comm Cons European Warrants Jul 2015 A 40,000,000 2014/11/24 2015/07/13 10.4017626 UBS AG – China Railway European Warrants Jun 2015 A 40,000,000 2014/11/24 2015/06/15 10.8017624 UBS AG – Evergrande European Warrants May 2015 B 40,000,000 2014/11/24 2015/05/29 10.0017623 UBS AG – Fosun Pharma European Warrants Dec 2016 A 70,000,000 2014/11/24 2016/12/30 17.5017627 UBS AG – Hutchison European Warrants Jun 2015 A 100,000,000 2014/11/24 2015/06/15 25.0017628 UBS AG – PetroChina European Warrants Jun 2015 A 50,000,000 2014/11/24 2015/06/15 18.7515861 # BOCI Asia Ltd. – HKEx European Warrants Nov 2015 A 100,000,000 2014/11/24 2015/11/02 17.9028617 # Goldman Sachs SP (Asia) – HKEx European Put Wts Mar 2015 A 160,000,000 2014/11/24 2015/03/02 10.5617648 Credit Suisse AG – Angang Steel European Warrants Apr 2015 A 60,000,000 2014/11/25 2015/04/27 13.8017645 Credit Suisse AG – China EB Ltd European Warrants Jul 2015 A 70,000,000 2014/11/25 2015/07/31 10.5017650 Credit Suisse AG – Ch Molybdenum European Warrants May 2015A 60,000,000 2014/11/25 2015/05/26 23.4017647 Credit Suisse AG – Ch Oilfield European Warrants Aug 2015 A 70,000,000 2014/11/25 2015/08/31 10.5017646 Credit Suisse AG – Fosun Intl European Warrants Apr 2015 A 70,000,000 2014/11/25 2015/04/27 10.5017644 Credit Suisse AG – HKEx European Warrants Jun 2015 E 150,000,000 2014/11/25 2015/06/29 31.5017651 Credit Suisse AG – HKEx European Warrants Sep 2015 E 150,000,000 2014/11/25 2015/09/29 34.5017642 Credit Suisse AG – HKEx European Warrants Nov 2015 C 150,000,000 2014/11/25 2015/11/30 22.5017643 Credit Suisse AG – HKEx European Warrants Nov 2015 D 150,000,000 2014/11/25 2015/11/02 31.5017649 Credit Suisse – Shanghai Electric European Warrants Jun 15 A 60,000,000 2014/11/25 2015/06/22 27.0017658 Goldman Sachs SP (Asia) – China Agri European Warrants Jun15A 40,000,000 2014/11/25 2015/06/30 12.0417640 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts May 2015 B 80,000,000 2014/11/25 2015/05/29 20.6417637 Goldman Sachs SP (Asia) – A50 China European Wts May 2015 B 80,000,000 2014/11/25 2015/05/29 20.1617638 Goldman Sachs SP (Asia) – A50 China European Wts May 2015 C 80,000,000 2014/11/25 2015/05/29 46.8017635 Goldman Sachs SP (Asia) – Guangdong Inv European Wts Jun15 A 40,000,000 2014/11/25 2015/06/30 17.3617636 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts May 2015 B 40,000,000 2014/11/25 2015/05/29 21.0017663 Goldman Sachs SP (Asia) – HKEx European Warrants Aug 2015 A 120,000,000 2014/11/25 2015/08/18 18.0017634 Goldman Sachs SP (Asia) – NCI European Warrants Jun 2015 A 80,000,000 2014/11/25 2015/06/30 20.1617631 HK Bank – CNOOC European Warrants Oct 2015 A 150,000,000 2014/11/25 2015/10/30 22.5017632 HK Bank – Sinopec Corp European Warrants Jun 2015 A 60,000,000 2014/11/25 2015/06/30 16.8017660 J P Morgan SP BV – CNOOC European Warrants Oct 2015 A 200,000,000 2014/11/25 2015/10/30 30.2017662 J P Morgan SP BV – HSI European Warrants Mar 2015 E 500,000,000 2014/11/25 2015/03/30 75.0017641 Macquarie Bank Ltd. – CHALCO European Warrants Jul 2015 A 40,000,000 2014/11/25 2015/07/03 10.0017652 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Apr 17 A 700,000,000 2014/11/25 2017/04/26 140.0017633 SGA Societe Generale Acceptance N.V. – KECL Eu Wt Aug 2015 A 15,000,000 2014/11/25 2015/08/05 10.35

Main Board Warrants



17654 UBS AG – Anhui Conch European Warrants Nov 2015 A 70,000,000 2014/11/25 2015/11/23 18.5517657 UBS AG – BYD European Warrants May 2015 B 50,000,000 2014/11/25 2015/05/26 19.7517656 UBS AG – CNOOC European Warrants Oct 2015 A 100,000,000 2014/11/25 2015/10/26 15.0017653 UBS AG – Chi Res Land European Warrants Dec 2015 A 70,000,000 2014/11/25 2015/12/28 17.5017655 UBS AG – China Mengniu European Warrants Nov 2015 A 70,000,000 2014/11/25 2015/11/23 19.6013556 # Credit Suisse AG – Ping An European Warrants Dec 2015 A 200,000,000 2014/11/25 2015/12/23 12.4015565 # BOCI Asia Ltd. – A50 China European Warrants Dec 2016 A 100,000,000 2014/11/25 2016/12/28 10.6017672 BOCI Asia Ltd. – China Mobile European Warrants Jul 2016 A 100,000,000 2014/11/26 2016/07/25 22.0017670 BOCI Asia Ltd. – Sinopec Corp European Warrants May 2015 A 100,000,000 2014/11/26 2015/05/11 25.0017674 BOCI Asia Ltd. – CSOP A50 ETFEuropean Warrants May 2015 A 100,000,000 2014/11/26 2015/05/11 40.0017673 BOCI Asia Ltd. – A50 China European Warrants Jun 2015 A 100,000,000 2014/11/26 2015/06/29 38.0017669 BOCI Asia Ltd. – HKEx European Put Warrants Nov 2015 C 100,000,000 2014/11/26 2015/11/23 15.0017671 BOCI Asia Ltd. – PetroChina European Warrants Jun 2015 A 100,000,000 2014/11/26 2015/06/29 31.0017681 Credit Suisse AG – CNOOC European Put Warrants Dec 2015 B 100,000,000 2014/11/26 2015/12/28 25.0017679 Credit Suisse AG – Ping An European Warrants Apr 2015 D 80,000,000 2014/11/26 2015/04/30 12.8017685 Daiwa Capital Mkt – Ping An European Warrants Jun 2015 A 98,000,000 2014/11/26 2015/06/01 33.3217667 HK Bank – China Mobile European Warrants Mar 2015 A 80,000,000 2014/11/26 2015/03/30 28.0017666 HK Bank – Ch Oilfield European Warrants Jul 2015 B 80,000,000 2014/11/26 2015/07/10 12.0017665 HK Bank – Ch Ship Cont European Warrants Jun 2015 A 60,000,000 2014/11/26 2015/06/29 15.0017668 HK Bank – Tencent European Warrants Jun 2015 B 80,000,000 2014/11/26 2015/06/09 24.0017686 J P Morgan SP BV – HKEx European Warrants Oct 2015 A 300,000,000 2014/11/26 2015/10/30 45.6017664 J P Morgan SP BV – KECL European Warrants Aug 2017 A 100,000,000 2014/11/26 2017/08/31 25.1017687 J P Morgan SP BV – Shenzhen Int’l European Warrants Sep 15 A 100,000,000 2014/11/26 2015/09/22 15.1017677 Macquarie Bank Ltd. – PetroChina European Wts Jun 2015 B 20,000,000 2014/11/26 2015/06/02 10.0017682 SGA Societe Generale Acceptance N.V. – BOCHK Eu Wt Apr 2016A 70,000,000 2014/11/26 2016/04/06 10.5017675 SGA Societe Generale Acceptance N.V. – CITBK Eu Wt Jul 15 A 40,000,000 2014/11/26 2015/07/06 10.0017676 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Dec 16 A 700,000,000 2014/11/26 2016/12/05 175.0017684 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt May 2015 A 30,000,000 2014/11/26 2015/05/06 22.5017683 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jun 2015 B 300,000,000 2014/11/26 2015/06/03 51.0017678 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Jul 2015A 60,000,000 2014/11/26 2015/07/06 25.2017708 Goldman Sachs SP (Asia) – BYD European Warrants May 2015 A 80,000,000 2014/11/27 2015/05/29 37.2017707 Goldman Sachs SP (Asia) – HKEx European Put Wts Dec 2015 D 120,000,000 2014/11/27 2015/12/02 21.3617710 Goldman Sachs SP (Asia) – Poly HK Inv Euro Wts Jul 2015 A 50,000,000 2014/11/27 2015/07/30 12.5017709 Goldman Sachs SP (Asia) – Tencent European Wt Dec 2015 A 150,000,000 2014/11/27 2015/12/28 30.1517694 HK Bank – HSI European Warrants Feb 2015 J 100,000,000 2014/11/27 2015/02/26 18.0017691 HK Bank – HSI European Warrants May 2015 B 100,000,000 2014/11/27 2015/05/28 25.0017692 HK Bank – HSI European Warrants May 2015 C 100,000,000 2014/11/27 2015/05/28 25.0017693 HK Bank – HSI European Put Warrants May 2015 D 100,000,000 2014/11/27 2015/05/28 25.0017706 J P Morgan Int’l Der. Ltd. – Ch Res Ent Euro Wts Oct 2015 A 80,000,000 2014/11/27 2015/10/30 20.0817688 J P Morgan SP BV – Hutchison European Warrants Jul 2015 A 80,000,000 2014/11/27 2015/07/02 25.2017689 J P Morgan SP BV – Tencent European Warrants Dec 2015 C 600,000,000 2014/11/27 2015/12/18 105.0017690 J P Morgan SP BV – Tencent European Put Warrants Sep 2015 B 600,000,000 2014/11/27 2015/09/02 90.6017704 Macquarie Bank Ltd. – China Coal European Wts Jul 2015 A 25,000,000 2014/11/27 2015/07/03 10.0017703 Macquarie Bank Ltd. – Sinopec Seg European Wts Aug 2017 A 40,000,000 2014/11/27 2017/08/16 10.00

Main Board Warrants



17696 Standard Chartered Bank – Angang Steel European Wts Jun 15 A 40,000,000 2014/11/27 2015/06/26 10.0017700 Standard Chartered Bank – BankComm European Warrants Oct 15A 50,000,000 2014/11/27 2015/10/02 12.5017699 Standard Chartered Bank – China Coal European Wts May 2015 A 60,000,000 2014/11/27 2015/05/27 15.0017698 Standard Chartered Bank – Evergrande European Wts Jul 2015 A 60,000,000 2014/11/27 2015/07/31 15.0017697 Standard Chartered Bank – HKEx European Warrants Sep 2015 B 100,000,000 2014/11/27 2015/09/10 25.0017701 Standard Chartered Bank – HKEx European Put Wts Nov 2015 C 100,000,000 2014/11/27 2015/11/23 23.0017702 Standard Chartered Bank – HKEx European Put Wts Jun 2016 A 100,000,000 2014/11/27 2016/06/28 25.0017705 UBS AG – CC Bank European Warrants Jul 2015 A 100,000,000 2014/11/27 2015/07/24 15.0013702 # Standard Chartered Bank – HKEx European Warrants Aug 2015 A 100,000,000 2014/11/27 2015/08/18 11.4017727 BNP Paribas Arbit Issu B.V. – Sinopec Corp Eu Wts Nov 2015 A 100,000,000 2014/11/28 2015/11/03 25.0017728 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Jul 2015 B 100,000,000 2014/11/28 2015/07/03 25.0017722 Credit Suisse AG – HSBC European Wts Apr 2015 B 80,000,000 2014/11/28 2015/04/27 12.0017730 Bank of East Asia – BYD European Put Warrants Jul 2015 B 40,000,000 2014/11/28 2015/07/06 13.6817729 Bank of East Asia – Stanchart European Put Warrants Apr 16 A 100,000,000 2014/11/28 2016/04/29 25.0017726 Goldman Sachs SP (Asia) – Sinopec Corp European Wts May 2015 A 80,000,000 2014/11/28 2015/05/29 20.9617725 Goldman Sachs SP (Asia) – KECL European Warrants May 2015 A 80,000,000 2014/11/28 2015/05/29 27.0417711 J P Morgan SP BV – HKEx European Warrants May 2015 A 300,000,000 2014/11/28 2015/05/29 45.3017723 J P Morgan SP BV – HSBC European Warrants May 2015 B 200,000,000 2014/11/28 2015/05/04 30.4017724 J P Morgan SP BV – Sinopharm European Warrants Aug 2015 A 80,000,000 2014/11/28 2015/08/03 20.1617714 Standard Chartered Bank – CAM CSI300 European Wts Aug 2015 A 70,000,000 2014/11/28 2015/08/28 10.5017715 Standard Chartered Bank – Cheung Kong Euro Wts Dec 2015 A 100,000,000 2014/11/28 2015/12/14 18.0017712 Standard Chartered Bank – Geely Auto European Wts Jun 2015 A 50,000,000 2014/11/28 2015/06/09 12.5017716 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Jun 15 B 80,000,000 2014/11/28 2015/06/03 30.8017717 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Jan 16 B 500,000,000 2014/11/28 2016/01/04 95.0017718 UBS AG – Geely Auto European Warrants Aug 2015 A 40,000,000 2014/11/28 2015/08/24 12.0017721 UBS AG – HKEx European Warrants Mar 2015 B 40,000,000 2014/11/28 2015/03/27 11.2017719 UBS AG – HKEx European Warrants Jun 2015 E 60,000,000 2014/11/28 2015/06/01 10.2017737 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Jul 2016 A 100,000,000 2014/12/01 2016/07/05 25.0017736 BNP Paribas Arbit Issu B.V. – Hutchison Euro Wts Jul 2015 A 80,000,000 2014/12/01 2015/07/03 20.0017738 BNP Paribas Arbit Issu B.V. – Kingsoft Euro Wts Dec 2015 A 100,000,000 2014/12/01 2015/12/02 25.0017731 Daiwa Capital Mkt – CCCCL European Warrants Jun 2015 A 58,000,000 2014/12/01 2015/06/01 14.5017732 Daiwa Capital Mkt – China Cinda European Warrants Jul 2015 A 68,000,000 2014/12/01 2015/07/15 21.0817739 Daiwa Capital Mkt – Ping An European Warrants Apr 2015 B 98,000,000 2014/12/01 2015/04/27 14.7017741 J P Morgan SP BV – Ch Overseas European Put Wts May 2015 B 200,000,000 2014/12/01 2015/05/04 30.0017740 J P Morgan SP BV – A50 China European Put Wts Aug 2016 B 200,000,000 2014/12/01 2016/08/30 30.0017733 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Aug 2015 A 100,000,000 2014/12/01 2015/08/05 19.0017735 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Dec 2015 A 100,000,000 2014/12/01 2015/12/02 17.0017744 UBS AG – Avichina European Warrants Nov 2015 A 40,000,000 2014/12/01 2015/11/30 23.2017742 UBS AG – China COSCO European Warrants Nov 2015 A 30,000,000 2014/12/01 2015/11/09 10.5017743 UBS AG – CSCL European Warrants Dec 2015 A 40,000,000 2014/12/01 2015/12/28 10.6017771 Credit Suisse AG – Agricultural Bank European Wts Aug 2015 A 80,000,000 2014/12/02 2015/08/24 12.0017772 Credit Suisse AG – Agricultural Bank European Wts Dec 2015 A 80,000,000 2014/12/02 2015/12/22 12.0017774 Credit Suisse AG – BYD European Warrants Dec 2016 A 120,000,000 2014/12/02 2016/12/19 18.0017769 Credit Suisse AG – ICBC European Warrants Mar 2015 A 80,000,000 2014/12/02 2015/03/30 12.00

Main Board Warrants



17760 Daiwa Capital Mkt – PICC European Warrants Dec 2015 A 68,000,000 2014/12/02 2015/12/01 17.0017783 Bank of East Asia – Ch Comm Cons European Wts Jul 2015 A 35,000,000 2014/12/02 2015/07/22 10.3317755 Bank of East Asia – Ch Comm Cons European Wts Dec 2016 A 200,000,000 2014/12/02 2016/12/30 50.0017784 Bank of East Asia – Yanzhou Coal European Wts Sep 2015 A 40,000,000 2014/12/02 2015/09/02 10.0017751 HK Bank – BOCL European Warrants Nov 2015 A 80,000,000 2014/12/02 2015/11/25 14.4017748 HK Bank – Minsheng Bank European Warrants Jul 2015 A 50,000,000 2014/12/02 2015/07/31 22.5017749 HK Bank – CSOP A50 ETF European Warrants Jun 2015 A 50,000,000 2014/12/02 2015/06/02 30.0017750 HK Bank – A50 China European Warrants Jun 2015 A 60,000,000 2014/12/02 2015/06/02 15.0017747 HK Bank – Haitong Sec European Warrants Sep 2015 A 80,000,000 2014/12/02 2015/09/30 20.0017779 J P Morgan SP BV – CITIC Sec European Warrants Sep 2015 A 100,000,000 2014/12/02 2015/09/30 25.0017777 J P Morgan SP BV – China Mob European Wts Dec 2016 A 600,000,000 2014/12/02 2016/12/19 90.0017776 J P Morgan SP BV – China Mob European Wts Apr 2017 A 600,000,000 2014/12/02 2017/04/28 108.0017745 J P Morgan SP BV – Chi Res Land European Warrants Dec 2015 A 100,000,000 2014/12/02 2015/12/01 25.0017778 J P Morgan SP BV – HSI European Put Warrants May 2015 A 500,000,000 2014/12/02 2015/05/28 75.0017782 J P Morgan SP BV – Haitong Sec European Warrants Dec 2015 B 100,000,000 2014/12/02 2015/12/30 25.0017746 J P Morgan SP BV – Ping An European Warrants Jun 2015 A 150,000,000 2014/12/02 2015/06/01 37.5017757 Macquarie Bank Ltd. – Ch Comm Cons European Wts Jun 2015 B 40,000,000 2014/12/02 2015/06/02 10.0017756 Macquarie Bank Ltd. – China Railway European Wts Jul 2015 A 40,000,000 2014/12/02 2015/07/03 10.0017766 Macquarie Bank Ltd. – Jiangxi Copper European Wts Apr 2016 A 68,000,000 2014/12/02 2016/04/26 10.2017762 Macquarie Bank Ltd. – Tencent European Warrants Jun 2015 B 25,000,000 2014/12/02 2015/06/02 10.0317763 Macquarie Bank Ltd. – Tencent European Warrants Jun 2015 C 25,000,000 2014/12/02 2015/06/02 21.0317759 Standard Chartered Bank – Haitong Sec Euro Wts Dec 2015 B 80,000,000 2014/12/02 2015/12/31 20.0017753 SGA Societe Generale Acceptance N.V. – CCCCL Eu Wt Aug 2015 A 20,000,000 2014/12/02 2015/08/05 12.4017764 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Jun15 B 40,000,000 2014/12/02 2015/06/03 19.4017765 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Jun15B 80,000,000 2014/12/02 2015/06/03 29.2017754 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt May 15 A 80,000,000 2014/12/02 2015/05/06 12.0017781 UBS AG – HSBC European Warrants Nov 2015 A 100,000,000 2014/12/02 2015/11/23 15.0017780 UBS AG – Ping An European Warrants Jun 2015 A 100,000,000 2014/12/02 2015/06/08 35.5017775 UBS AG – Shenzhen Int’l European Warrants Mar 2016 A 40,000,000 2014/12/02 2016/03/31 10.0017767 UBS AG – Yanzhou Coal European Wts Nov 2015 A 40,000,000 2014/12/02 2015/11/23 21.8017804 Credit Suisse AG – China Life European Warrants Sep 2015 C 80,000,000 2014/12/03 2015/09/29 20.0017792 Credit Suisse AG – China Life European Put Warrants Sep 15 B 70,000,000 2014/12/03 2015/09/29 17.5017805 Credit Suisse AG – KECL European Warrants Dec 2016 A 120,000,000 2014/12/03 2016/12/19 30.0017787 Daiwa Capital Mkt – China Life European Put Wts Jul 2015 A 80,000,000 2014/12/03 2015/07/20 20.0017809 J P Morgan SP BV – AIA European Warrants Sep 2015 A 100,000,000 2014/12/03 2015/09/01 15.0017808 J P Morgan SP BV – China Life European Warrants Jan 2016 A 100,000,000 2014/12/03 2016/01/04 25.0017786 J P Morgan SP BV – China Life European Put Wts Dec 2015 B 100,000,000 2014/12/03 2015/12/02 25.0017806 J P Morgan SP BV – HSCEI European Put Warrants May 2015 A 500,000,000 2014/12/03 2015/05/28 75.0017807 J P Morgan SP BV – HSI European Put Warrants Apr 2015 E 500,000,000 2014/12/03 2015/04/29 75.5017789 Macquarie Bank Ltd. – China Life European Wts Jun 2015 A 70,000,000 2014/12/03 2015/06/02 10.5017803 Macquarie Bank Ltd. – China Mobile European Wts Jun 2015 A 40,000,000 2014/12/03 2015/06/02 10.0017800 Macquarie Bank Ltd. – Lenovo European Warrants Jun 2015 A 25,000,000 2014/12/03 2015/06/02 10.0317790 Macquarie Bank Ltd. – Tencent European Warrants Jun 2015 D 40,000,000 2014/12/03 2015/06/02 10.1217794 Standard Chartered Bank – CM Bank European Wts Sep 2016 A 80,000,000 2014/12/03 2016/09/27 12.00

Main Board Warrants



17793 Standard Chartered Bank – CNOOC European Warrants May 2016 A 150,000,000 2014/12/03 2016/05/06 22.5017785 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Sep15A 100,000,000 2014/12/03 2015/09/02 18.5017797 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Jun 2016 A 150,000,000 2014/12/03 2016/06/01 37.5017795 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt May15C 70,000,000 2014/12/03 2015/05/06 20.6517796 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jun 2015A 70,000,000 2014/12/03 2015/06/03 17.8517798 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jun 2015 C 40,000,000 2014/12/03 2015/06/03 19.2017799 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Jun 15 C 80,000,000 2014/12/03 2015/06/03 20.0017791 UBS AG – China EB Int’l European Warrants Jun 2016 A 60,000,000 2014/12/03 2016/06/27 15.0017802 UBS AG – CGS European Warrants Jul 2015 A 30,000,000 2014/12/03 2015/07/20 17.1017801 UBS AG – China Life European Warrants Oct 2015 B 100,000,000 2014/12/03 2015/10/12 25.0017788 UBS AG – China Life European Put Warrants Oct 2015 A 100,000,000 2014/12/03 2015/10/23 25.0017811 BOCI Asia Ltd. – Agricultural Bk European Wts Aug 2015 A 100,000,000 2014/12/04 2015/08/31 15.0017815 BOCI Asia Ltd. – CITIC Sec European Warrants May 2015 A 100,000,000 2014/12/04 2015/05/29 23.0017812 BOCI Asia Ltd. – China Life European Warrants Jun 2015 B 100,000,000 2014/12/04 2015/06/01 21.0017813 BOCI Asia Ltd. – China Life European Put Warrants Oct 2015 A 100,000,000 2014/12/04 2015/10/12 25.0017814 BOCI Asia Ltd. – Ping An European Put Warrants Jun 2015 A 100,000,000 2014/12/04 2015/06/12 30.0017854 Credit Suisse AG – CITIC Sec European Warrants Jul 2015 A 80,000,000 2014/12/04 2015/07/27 20.0017852 Credit Suisse AG – China Life European Warrants Jun 2015 A 100,000,000 2014/12/04 2015/06/30 25.0017845 Credit Suisse AG – A50 China European Warrants Sep 2018 A 150,000,000 2014/12/04 2018/09/28 22.5017853 Credit Suisse AG – Haitong Sec European Warrants Oct 2015 A 80,000,000 2014/12/04 2015/10/26 20.0017849 Credit Suisse AG – ICBC European Warrants Aug 2015 A 80,000,000 2014/12/04 2015/08/31 20.0017848 Credit Suisse AG – ICBC European Put Warrants Jun 2015 A 70,000,000 2014/12/04 2015/06/03 17.5017846 Credit Suisse AG – Ping An European Put Warrants Mar 2015 C 70,000,000 2014/12/04 2015/03/03 10.5017820 HK Bank – AIA European Warrants Jun 2015 A 100,000,000 2014/12/04 2015/06/30 15.0017823 HK Bank – China Life European Warrants Jun 2015 C 100,000,000 2014/12/04 2015/06/30 25.0017824 HK Bank – China Life European Warrants Aug 2015 A 100,000,000 2014/12/04 2015/08/31 25.0017819 HK Bank – China Life European Put Warrants Sep 2015 C 100,000,000 2014/12/04 2015/09/30 25.0017816 HK Bank – China Life European Put Warrants Dec 2015 B 100,000,000 2014/12/04 2015/12/31 25.0017817 HK Bank – CM Bank European Warrants Sep 2016 A 100,000,000 2014/12/04 2016/09/30 15.0017818 HK Bank – PICC Group European Warrants Jul 2015 A 100,000,000 2014/12/04 2015/07/31 25.0017858 J P Morgan SP BV – China Life European Warrants Oct 2015 B 100,000,000 2014/12/04 2015/10/02 25.0017859 J P Morgan SP BV – Minsheng Bank European Wts Jul 2015 A 100,000,000 2014/12/04 2015/07/03 25.1017860 J P Morgan SP BV – CSOP A50 ETF European Warrants Jun 2015 A 100,000,000 2014/12/04 2015/06/03 25.4017861 J P Morgan Int’l Der. Ltd. – HSCEI European Wts Aug 2015 B 300,000,000 2014/12/04 2015/08/28 75.0017857 J P Morgan SP BV – HSCEI European Put Warrants Aug 2015 A 300,000,000 2014/12/04 2015/08/28 75.9017825 Standard Chartered Bank – AIA European Warrants Jul 2015 A 100,000,000 2014/12/04 2015/07/13 15.0017826 Standard Chartered Bank – AIA European Put Wts Jun 2015 B 100,000,000 2014/12/04 2015/06/03 25.0017856 Standard Chartered Bank – China Life European Wts Dec 2015 C 100,000,000 2014/12/04 2015/12/18 25.0017829 Standard Chartered Bank – China Life Euro Put Wts Sep 2015 B 80,000,000 2014/12/04 2015/09/30 20.0017832 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jun 2015 D 100,000,000 2014/12/04 2015/06/26 26.0017833 Standard Chartered Bank – A50 China Euro Warrants Jun 2015 B 100,000,000 2014/12/04 2015/06/26 25.0017834 Standard Chartered Bank – A50 China Euro Warrants Sep 2018 A 100,000,000 2014/12/04 2018/09/28 15.0017830 Standard Chartered Bank – HSI European Put Wts Apr 2015 H 100,000,000 2014/12/04 2015/04/29 15.0017831 Standard Chartered Bank – HSI European Put Wts Jun 2015 D 100,000,000 2014/12/04 2015/06/29 25.00

Main Board Warrants



17827 Standard Chartered Bank – NCI European Warrants Jun 2015 A 40,000,000 2014/12/04 2015/06/25 10.0017828 Standard Chartered Bank – PICC Group European Wts Jul 2015 A 60,000,000 2014/12/04 2015/07/02 15.0017836 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Sep 2015 A 150,000,000 2014/12/04 2015/09/02 37.5017837 SGA Societe Generale Acceptance N.V. – HKEx Eu Put Wt Jul16A 300,000,000 2014/12/04 2016/07/06 52.5017838 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Jun 2015 A 50,000,000 2014/12/04 2015/06/03 18.7517839 SGA Societe Generale Acceptance N.V. – PICC Eu Wts Sep 2015A 40,000,000 2014/12/04 2015/09/02 10.0017821 SGA Societe Generale Acceptance N.V – Ping An Eu Put Wt Jul15A 80,000,000 2014/12/04 2015/07/06 26.8017842 SGA Societe Generale Acceptance NV – Sands Ch Eu Put Wt Jul15A 80,000,000 2014/12/04 2015/07/06 38.0017844 UBS AG – China Life European Warrants Jan 2016 A 100,000,000 2014/12/04 2016/01/11 25.0017843 UBS AG – Ping An European Warrants Apr 2015 B 100,000,000 2014/12/04 2015/04/28 21.0017835 UBS AG – Ping An European Put Warrants Jun 2015 B 100,000,000 2014/12/04 2015/06/08 25.0017881 BNP Paribas Arbit Issu B.V. – BYD European Wts Jan 2017 A 100,000,000 2014/12/05 2017/01/04 15.0017883 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Apr 2016 A 100,000,000 2014/12/05 2016/04/05 25.0017882 BNP Paribas Arbit Issu B.V. – Ping An European Wt Nov 2015 A 100,000,000 2014/12/05 2015/11/03 25.0017887 Credit Suisse AG – BOCL European Warrants Aug 2015 A 70,000,000 2014/12/05 2015/08/31 17.5017886 Credit Suisse AG – CITIC Bank European Warrants Jul 2015 A 70,000,000 2014/12/05 2015/07/07 17.5017885 Credit Suisse AG – Minsheng Bank European Wts Jul 2015 A 70,000,000 2014/12/05 2015/07/31 25.9017892 Daiwa Capital Mkt – BOCL European Warrants Oct 2015 A 108,000,000 2014/12/05 2015/10/02 27.0017890 Daiwa Capital Mkt – CMB European Warrants Dec 2015 A 80,000,000 2014/12/05 2015/12/01 21.6017893 Daiwa Capital Mkt – Minsheng Bk European Warrants Apr 2015 A 80,000,000 2014/12/05 2015/04/28 22.4017880 HK Bank – ICBC European Warrants Jul 2015 B 80,000,000 2014/12/05 2015/07/31 20.0017872 HK Bank – Ping An European Warrants Apr 2015 B 80,000,000 2014/12/05 2015/04/27 16.0017874 HK Bank – Ping An European Warrants Apr 2015 C 80,000,000 2014/12/05 2015/04/27 27.2017873 HK Bank – Ping An European Put Warrants Jun 2015 A 80,000,000 2014/12/05 2015/06/04 20.0017900 J P Morgan SP BV – BOCL European Warrants Oct 2015 A 200,000,000 2014/12/05 2015/10/06 50.2017898 J P Morgan SP BV – BankComm European Warrants Apr 2015 A 80,000,000 2014/12/05 2015/04/30 12.5617896 J P Morgan Int’l Der. Ltd. – CC Bank European Wts Sep 2015 A 200,000,000 2014/12/05 2015/09/01 50.6017899 J P Morgan SP BV – CITIC Bank European Warrants Aug 2015 A 100,000,000 2014/12/05 2015/08/03 25.2017901 J P Morgan SP BV – Minsheng Bank European Wts May 2015 A 80,000,000 2014/12/05 2015/05/04 12.1617869 J P Morgan SP BV – CNOOC European Warrants May 2016 A 200,000,000 2014/12/05 2016/05/06 30.4017870 J P Morgan SP BV – CNOOC European Warrants Sep 2016 A 200,000,000 2014/12/05 2016/09/30 30.0017895 J P Morgan SP BV – CSOP A50 ETF Euro Put Wts Oct 2016 A 100,000,000 2014/12/05 2016/10/03 15.0017894 J P Morgan SP BV – A50 China European Warrants Apr 2015 A 100,000,000 2014/12/05 2015/04/01 15.0017862 Nomura Int’l plc – CSOP A50 ETF European Warrants Jun 2015 A 50,000,000 2014/12/05 2015/06/30 17.0017863 Nomura Int’l plc – CSOP A50 ETF European Warrants Jun 2015 B 50,000,000 2014/12/05 2015/06/30 13.0017864 Nomura Int’l plc – CSOP A50 ETF European Warrants Jun 2015 C 50,000,000 2014/12/05 2015/06/30 43.0017866 Nomura Int’l plc – CSOP A50 ETF European Warrants Jun 2015 E 50,000,000 2014/12/05 2015/06/30 25.0017865 Nomura Int’l plc – CSOP A50 ETF European Put Wts Jun 2015 D 50,000,000 2014/12/05 2015/06/30 26.5017875 Nomura Int’l plc – A50 China European Warrants Mar 2015 B 50,000,000 2014/12/05 2015/03/31 15.5017876 Nomura Int’l plc – A50 China European Warrants May 2015 A 50,000,000 2014/12/05 2015/05/29 14.0017877 Nomura Int’l plc – A50 China European Warrants Jun 2015 B 50,000,000 2014/12/05 2015/06/30 12.5017879 Nomura Int’l plc – A50 China European Warrants Jul 2015 A 50,000,000 2014/12/05 2015/07/31 12.5017878 Nomura Int’l plc – A50 China European Put Wts Aug 2016 A 80,000,000 2014/12/05 2016/08/31 12.0017884 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Jul 2015A 40,000,000 2014/12/05 2015/07/06 22.80

Main Board Warrants



17867 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Aug 2015A 300,000,000 2014/12/05 2015/08/05 58.5017889 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jul 2015A 70,000,000 2014/12/05 2015/07/06 17.8517868 SGA Societe Generale Acceptance N.V. – KECL Eu Wt Jul 2015 B 15,000,000 2014/12/05 2015/07/06 10.2017905 UBS AG – CC Bank European Put Warrants Apr 2015 A 100,000,000 2014/12/05 2015/04/27 26.5017909 UBS AG – CITIC Bank European Warrants Jul 2015 A 40,000,000 2014/12/05 2015/07/13 11.4017903 UBS AG – Minsheng Bank European Warrants Apr 2015 A 40,000,000 2014/12/05 2015/04/28 10.6017871 UBS AG – CNOOC European Warrants Feb 2016 A 100,000,000 2014/12/05 2016/02/29 25.0017908 UBS AG – Sinopec Corp European Warrants Apr 2015 A 40,000,000 2014/12/05 2015/04/28 10.0017904 UBS AG – ICBC European Warrants Aug 2015 A 100,000,000 2014/12/05 2015/08/24 25.0017907 UBS AG – PetroChina European Warrants Jun 2015 B 50,000,000 2014/12/05 2015/06/15 24.0017912 BOCI Asia Ltd. – AIA European Warrants Jul 2015 A 100,000,000 2014/12/08 2015/07/02 18.0017913 BOCI Asia Ltd. – BOC HK European Warrants Nov 2015 A 100,000,000 2014/12/08 2015/11/16 18.0017914 Credit Suisse AG – CNOOC European Warrants Jul 2015 A 150,000,000 2014/12/08 2015/07/31 25.5017916 Credit Suisse AG – CNOOC European Warrants Dec 2015 C 150,000,000 2014/12/08 2015/12/31 37.5017946 Credit Suisse AG – Hutchison European Warrants Nov 2015 A 150,000,000 2014/12/08 2015/11/30 22.5017947 Credit Suisse AG – Hutchison European Warrants Jun 2016 A 150,000,000 2014/12/08 2016/06/15 22.5017945 Credit Suisse AG – Ping An European Warrants Jun 2015 A 70,000,000 2014/12/08 2015/06/08 17.5017920 Daiwa Capital Mkt – BOCL European Put Warrants Jul 2015 A 68,000,000 2014/12/08 2015/07/15 17.0017921 Daiwa Capital Mkt – Sinopec Corp European Wts May 2015 A 80,000,000 2014/12/08 2015/05/04 13.6017938 Daiwa Capital Mkt – Hutchison European Warrants Apr 2015 A 80,000,000 2014/12/08 2015/04/01 18.4017919 Daiwa Capital Mkt – Ping An European Warrants Jun 2015 B 98,000,000 2014/12/08 2015/06/08 24.5017943 Goldman Sachs SP (Asia) – CAM CSI300 European Wts Nov 2015 A 80,000,000 2014/12/08 2015/11/30 22.7217941 Goldman Sachs SP (Asia) – China Life Euro Put Wts Sep 2015 A 80,000,000 2014/12/08 2015/09/30 21.2817942 Goldman Sachs SP (Asia) – A50 China European Wts Jun 2015 A 80,000,000 2014/12/08 2015/06/30 30.0017948 Goldman Sachs SP (Asia) – Geely Auto European Wts Jun 2015 A 50,000,000 2014/12/08 2015/06/30 12.5017949 Goldman Sachs SP (Asia) – Hutchison European Wts Jun 2015 A 80,000,000 2014/12/08 2015/06/30 25.6817950 Goldman Sachs SP (Asia) – PetroChina European Wts Jun 2015 A 50,000,000 2014/12/08 2015/06/30 15.1017939 Goldman Sachs SP (Asia) – PICC Group European Wts Jul 2015 A 80,000,000 2014/12/08 2015/07/30 20.0017956 J P Morgan SP BV – CHALCO European Warrants Jul 2015 A 40,000,000 2014/12/08 2015/07/02 10.0817953 J P Morgan SP BV – Brilliance Chi European Wts Oct 2015 A 80,000,000 2014/12/08 2015/10/02 12.2417957 J P Morgan SP BV – China Mob European Wts May 2015 B 200,000,000 2014/12/08 2015/05/04 57.8017911 J P Morgan SP BV – CNOOC European Warrants Jul 2015 A 200,000,000 2014/12/08 2015/07/31 30.4017910 J P Morgan SP BV – Ch Oilfield Euro Wts Dec 2015 A 100,000,000 2014/12/08 2015/12/01 25.1017954 J P Morgan SP BV – Fosun Pharma European Warrants Jul 2015 A 45,000,000 2014/12/08 2015/07/02 11.2517952 J P Morgan SP BV – HSI European Warrants May 2015 B 500,000,000 2014/12/08 2015/05/28 75.0017955 J P Morgan SP BV – Hutchison European Warrants Jun 2015 A 80,000,000 2014/12/08 2015/06/08 20.0017951 J P Morgan SP BV – PetroChina European Warrants Aug 2015 A 100,000,000 2014/12/08 2015/08/03 25.4017958 J P Morgan SP BV – Ping An European Put Warrants Jun 2015 B 100,000,000 2014/12/08 2015/06/08 25.0017918 Macquarie Bank Ltd. – CITIC Bank European Wts Jul 2015 B 40,000,000 2014/12/08 2015/07/03 10.0017923 Macquarie Bank Ltd. – CNOOC European Warrants Jul 2015 A 20,000,000 2014/12/08 2015/07/03 10.0017917 Macquarie Bank Ltd. – ICBC European Warrants Jul 2015 A 40,000,000 2014/12/08 2015/07/03 10.0017924 Macquarie Bank Ltd. – KECL European Warrants Sep 2017 A 50,000,000 2014/12/08 2017/09/04 10.0017922 Macquarie Bank Ltd. – Ping An European Warrants Jul 2015 A 50,000,000 2014/12/08 2015/07/03 12.5017932 SGA Societe Generale Acceptance N.V. – BOCom Eu Wt Aug 2015A 30,000,000 2014/12/08 2015/08/05 10.05

Main Board Warrants



17933 SGA Societe Generale Acceptance N.V. – CITBK Eu Wt Aug 15 A 35,000,000 2014/12/08 2015/08/05 10.1517937 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jul15B 70,000,000 2014/12/08 2015/07/06 29.4017934 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Aug 15 A 80,000,000 2014/12/08 2015/08/05 23.6017935 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt May 15 C 80,000,000 2014/12/08 2015/05/06 44.8017931 UBS AG – CHALCO European Warrants Dec 2015 A 40,000,000 2014/12/08 2015/12/21 13.0017929 UBS AG – BankComm European Warrants Sep 2015 A 40,000,000 2014/12/08 2015/09/21 12.0017944 UBS AG – Ch Oilfield European Warrants Aug 2015 A 80,000,000 2014/12/08 2015/08/24 12.0017927 UBS AG – Ch Railway Cons European Warrants Jun 2017 A 40,000,000 2014/12/08 2017/06/12 10.0017930 UBS AG – Gome European Warrants May 2016 A 50,000,000 2014/12/08 2016/05/23 12.5017928 UBS AG – HSI European Warrants Apr 2015 C 300,000,000 2014/12/08 2015/04/29 45.0017925 UBS AG – Tencent Holdings European Warrants Jun 2015 B 100,000,000 2014/12/08 2015/06/08 23.0017964 BOCI Asia Ltd. – CNOOC European Warrants Dec 2016 A 100,000,000 2014/12/09 2016/12/21 15.0017963 BOCI Asia Ltd. – HKEx European Warrants Oct 2015 B 100,000,000 2014/12/09 2015/10/23 15.0017982 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Aug 2015 A 100,000,000 2014/12/09 2015/08/04 25.0017981 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Oct 2015 A 100,000,000 2014/12/09 2015/10/05 25.0017985 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts May 2015 A 100,000,000 2014/12/09 2015/05/28 18.0018027 Credit Suisse AG – BOCL European Warrants Sep 2015 B 80,000,000 2014/12/09 2015/09/29 20.0018026 Credit Suisse AG – CC Bank European Warrants Jun 2015 A 80,000,000 2014/12/09 2015/06/08 20.0017996 Credit Suisse AG – CSOP A50 ETF European Warrants Mar 2015 B 70,000,000 2014/12/09 2015/03/30 12.6017995 Credit Suisse AG – CSOP A50 ETF European Warrants Sep 2018 A 150,000,000 2014/12/09 2018/09/27 25.5017998 Credit Suisse AG – CSOP A50 ETF Euro Put Wts Sep 2016 A 70,000,000 2014/12/09 2016/09/30 10.5017993 Credit Suisse AG – A50 China European Put Wts Aug 2015 A 70,000,000 2014/12/09 2015/08/11 10.5018028 Credit Suisse AG – ICBC European Warrants Sep 2015 A 80,000,000 2014/12/09 2015/09/29 20.0017999 Credit Suisse AG – Ping An European Warrants Mar 2015 D 80,000,000 2014/12/09 2015/03/30 12.0018023 Credit Suisse AG – Ping An European Warrants Jun 2015 B 80,000,000 2014/12/09 2015/06/08 20.0018024 Credit Suisse AG – Ping An European Warrants Jul 2015 A 80,000,000 2014/12/09 2015/07/30 42.4018025 Credit Suisse AG – Ping An European Put Warrants Jun 2015 C 80,000,000 2014/12/09 2015/06/08 30.4017974 Daiwa Capital Mkt – BOCL European Warrants Jun 2015 A 108,000,000 2014/12/09 2015/06/08 32.4017989 Daiwa Capital Mkt – CSOP A50 ETF European Wts Jun 2015 A 98,000,000 2014/12/09 2015/06/08 24.5017990 Daiwa Capital Mkt – CSOP A50 ETF European Put Wts Dec 2015 A 98,000,000 2014/12/09 2015/12/01 24.5017971 Goldman Sachs SP (Asia) – BOCL European Warrants Sep 2015 A 80,000,000 2014/12/09 2015/09/30 20.0017973 Goldman Sachs SP (Asia) – CC Bank European Wts Jun 2015 A 80,000,000 2014/12/09 2015/06/10 20.7217979 Goldman Sachs SP (Asia) – China Cinda Euro Wts Jun 2015 A 80,000,000 2014/12/09 2015/06/30 21.2818015 Goldman Sachs SP (Asia) – CITIC Bank European Wts Jun 2015 A 60,000,000 2014/12/09 2015/06/30 16.7417959 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Jun 2015 A 80,000,000 2014/12/09 2015/06/30 30.2418017 Goldman Sachs SP (Asia) – HSBC European Warrants Jun 2015 B 80,000,000 2014/12/09 2015/06/30 27.2817972 Goldman Sachs SP (Asia) – Haitong Sec Euro Wts Dec 2015 A 80,000,000 2014/12/09 2015/12/30 21.5218016 Goldman Sachs SP (Asia) – Li & Fung European Wts Jun 2015 A 60,000,000 2014/12/09 2015/06/30 21.4217970 Goldman Sachs SP (Asia) – Ping An European Wts Jun 2015 A 80,000,000 2014/12/09 2015/06/30 31.3617960 HK Bank – CSOP A50 ETF European Warrants May 2015 A 50,000,000 2014/12/09 2015/05/12 25.0017961 HK Bank – CSOP A50 ETF European Warrants Jun 2015 B 50,000,000 2014/12/09 2015/06/30 17.0017962 HK Bank – A50 China European Warrants Jun 2015 B 50,000,000 2014/12/09 2015/06/30 16.0018020 J P Morgan SP BV – CAM CSI300 European Warrants Sep 2015 A 200,000,000 2014/12/09 2015/09/02 50.0018021 J P Morgan SP BV – CGS European Warrants Nov 2016 A 100,000,000 2014/12/09 2016/11/03 25.10

Main Board Warrants



18018 J P Morgan SP BV – CSOP A50 ETF European Warrants Apr 2015 B 100,000,000 2014/12/09 2015/04/01 25.2018019 J P Morgan SP BV – A50 China European Warrants Jul 2015 A 100,000,000 2014/12/09 2015/07/02 25.0017975 J P Morgan SP BV – A50 China European Put Wts Oct 2015 A 100,000,000 2014/12/09 2015/10/28 15.0017977 Macquarie Bank Ltd. – CGS European Warrants Jun 2015 A 40,000,000 2014/12/09 2015/06/09 12.3617976 Macquarie Bank Ltd. – Ch Oilfield European Wts Oct 2015 A 40,000,000 2014/12/09 2015/10/16 10.0017978 Macquarie Bank Ltd. – Haitong Sec European Wts Oct 2015 A 40,000,000 2014/12/09 2015/10/05 10.0017986 Standard Chartered Bank – Sinopec Corp Euro Wts Jun 2015 A 100,000,000 2014/12/09 2015/06/23 25.0017988 Standard Chartered Bank – HSI European Put Wts May 2015 C 100,000,000 2014/12/09 2015/05/28 18.0017969 Standard Chartered Bank – KECL European Warrants Jul 2015 B 40,000,000 2014/12/09 2015/07/06 11.2017987 Standard Chartered Bank – PetroChina European Wts Oct 2015 A 100,000,000 2014/12/09 2015/10/09 32.0017966 Standard Chartered Bank – Ping An European Wts Apr 2015 A 80,000,000 2014/12/09 2015/04/27 16.0017967 Standard Chartered Bank – Ping An European Wts May 2015 A 80,000,000 2014/12/09 2015/05/22 28.0017968 Standard Chartered Bank – Ping An Euro Put Wts Jun 2015 A 80,000,000 2014/12/09 2015/06/08 28.0017980 SGA Societe Generale Acceptance NV – CSOP A50 Eu Put Wt Oct16A 300,000,000 2014/12/09 2016/10/12 45.0018011 UBS AG – CC Bank European Warrants Aug 2015 A 100,000,000 2014/12/09 2015/08/10 25.0018003 UBS AG – China Gas Hold European Warrants Dec 2015 A 40,000,000 2014/12/09 2015/12/21 10.0018006 UBS AG – Cheung Kong European Warrants Jun 2015 A 70,000,000 2014/12/09 2015/06/08 37.1018013 UBS AG – China Mobile European Warrants Apr 2015 B 100,000,000 2014/12/09 2015/04/01 19.8018014 UBS AG – China Mobile European Warrants Apr 2015 C 100,000,000 2014/12/09 2015/04/23 43.0018009 UBS AG – CSOP A50 ETF European Warrants Jun 2015 B 80,000,000 2014/12/09 2015/06/08 32.8018008 UBS AG – CSOP A50 ETF European Warrants Aug 2015 A 80,000,000 2014/12/09 2015/08/10 28.0018007 UBS AG – A50 China European Warrants Jun 2015 A 80,000,000 2014/12/09 2015/06/08 32.8018005 UBS AG – HSBC European Warrants Apr 2015 C 100,000,000 2014/12/09 2015/04/30 19.0018000 UBS AG – HSI European Warrants Apr 2015 D 300,000,000 2014/12/09 2015/04/29 45.0018001 UBS AG – HSI European Warrants Dec 2015 B 300,000,000 2014/12/09 2015/12/30 75.0018010 UBS AG – ICBC European Warrants Jun 2016 A 100,000,000 2014/12/09 2016/06/27 15.0018012 UBS AG – Ping An European Warrants Jun 2015 C 100,000,000 2014/12/09 2015/06/08 32.5018002 UBS AG – Zijin Mining European Warrants Dec 2015 A 40,000,000 2014/12/09 2015/12/28 11.0023878 # UBS AG – Minsheng Bank European Warrants May 2015 A 110,000,000 2014/12/09 2015/05/26 10.2329286 # Credit Suisse AG – Minsheng Bank European Wts May 2015 A 130,000,000 2014/12/09 2015/05/29 12.8718030 BOCI Asia Ltd. – China Mobile European Warrants May 2015 A 100,000,000 2014/12/10 2015/05/26 46.0018029 BOCI Asia Ltd. – Hutchison European Warrants Jun 2015 A 100,000,000 2014/12/10 2015/06/29 27.0018031 BOCI Asia Ltd. – Ping An European Warrants Jun 2015 B 100,000,000 2014/12/10 2015/06/15 40.0018032 BOCI Asia Ltd. – Ping An European Warrants Dec 2015 A 100,000,000 2014/12/10 2015/12/28 15.0018071 BNP Paribas Arbit Issu B.V. – BOCL European Wts Feb 2016 A 100,000,000 2014/12/10 2016/02/02 25.0018072 BNP Paribas Arbit Issu B.V. – GCL-Poly Euro Wts Oct 2015 A 100,000,000 2014/12/10 2015/10/05 25.0018073 BNP Paribas Arbit Issu B.V. – KECL European Wts Sep 2017 A 100,000,000 2014/12/10 2017/09/04 17.0018041 Credit Suisse AG – CC Bank European Warrants Apr 2015 B 80,000,000 2014/12/10 2015/04/30 12.0018040 Credit Suisse AG – China Life European Warrants May 2015 B 80,000,000 2014/12/10 2015/05/29 12.0018039 Credit Suisse AG – A50 China European Warrants Mar 2015 D 70,000,000 2014/12/10 2015/03/10 13.3018050 Daiwa Capital Mkt – China Cinda European Warrants Aug 2015 A 68,000,000 2014/12/10 2015/08/07 17.0018047 Daiwa Capital Mkt – China Life European Warrants May 2015 B 168,000,000 2014/12/10 2015/05/26 25.2018049 Daiwa Capital Mkt – CSOP A50 ETF European Wts Dec 2015 B 128,000,000 2014/12/10 2015/12/03 19.2018048 Daiwa Capital Mkt – A50 China European Warrants Apr 2015 B 128,000,000 2014/12/10 2015/04/01 19.20

Main Board Warrants



18068 Daiwa Capital Mkt – PetroChina European Warrants Jun 2015 B 80,000,000 2014/12/10 2015/06/09 20.0018034 Goldman Sachs SP (Asia) – CAM CSI300 European Wts Dec 2015 A 80,000,000 2014/12/10 2015/12/02 20.5618038 Goldman Sachs SP (Asia) – CITIC Sec European Wts Sep 2015 A 80,000,000 2014/12/10 2015/09/29 20.2418036 Goldman Sachs SP (Asia) – China Life Euro Wts Dec 2015 A 80,000,000 2014/12/10 2015/12/02 20.0818035 Goldman Sachs SP (Asia) – A50 China European Wts Mar 2015 A 80,000,000 2014/12/10 2015/03/30 12.0818037 Goldman Sachs SP (Asia) – Ping An European Wts Jul 2015 A 80,000,000 2014/12/10 2015/07/30 21.0418053 HK Bank – BOCL European Warrants Aug 2015 B 80,000,000 2014/12/10 2015/08/31 20.0018051 HK Bank – CC Bank European Warrants Aug 2015 A 80,000,000 2014/12/10 2015/08/31 20.0018057 HK Bank – CGS European Warrants Jul 2016 A 80,000,000 2014/12/10 2016/07/29 20.0018054 HK Bank – CITIC Sec European Warrants Jul 2015 A 80,000,000 2014/12/10 2015/07/31 20.0018055 HK Bank – China Life European Warrants Jun 2015 D 80,000,000 2014/12/10 2015/06/09 12.0018080 J P Morgan Int’l Der. Ltd. – CC Bank European Wts Apr 2015 B 200,000,000 2014/12/10 2015/04/02 30.2018058 J P Morgan SP BV – China Life European Warrants Jun 2015 C 100,000,000 2014/12/10 2015/06/01 15.0018085 J P Morgan SP BV – CNOOC European Put Warrants Jul 2015 B 100,000,000 2014/12/10 2015/07/02 46.5018083 J P Morgan SP BV – CPIC European Warrants Sep 2015 A 100,000,000 2014/12/10 2015/09/03 25.5018084 J P Morgan SP BV – Galaxy Ent European Warrants Jul 2015 B 100,000,000 2014/12/10 2015/07/02 25.0018086 J P Morgan SP BV – HKEx European Warrants Jun 2015 C 80,000,000 2014/12/10 2015/06/02 29.0418081 J P Morgan SP BV – ICBC European Warrants Apr 2015 A 100,000,000 2014/12/10 2015/04/02 15.1018078 J P Morgan SP BV – Ping An European Warrants Apr 2015 B 150,000,000 2014/12/10 2015/04/02 22.6518082 J P Morgan SP BV – Sands China European Warrants Jul 2015 A 100,000,000 2014/12/10 2015/07/02 25.0018033 Standard Chartered Bank – A50 China Euro Warrants Dec 2015 B 120,000,000 2014/12/10 2015/12/29 20.4018059 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt Dec 2015 A 100,000,000 2014/12/10 2015/12/02 15.0018042 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Aug 2015 B 80,000,000 2014/12/10 2015/08/05 20.0018043 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Sep 2015 A 80,000,000 2014/12/10 2015/09/02 13.2018063 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Sep15A 80,000,000 2014/12/10 2015/09/02 20.0018044 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Jun 2015 C 150,000,000 2014/12/10 2015/06/03 22.5018060 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Oct 2015 B 150,000,000 2014/12/10 2015/10/05 33.0018061 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Mar 2016 A 150,000,000 2014/12/10 2016/03/02 37.5018062 SGA Societe Generale Acceptance N.V. – CLife Eu Put Wt Oct15C 150,000,000 2014/12/10 2015/10/05 30.0018075 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jul15C 70,000,000 2014/12/10 2015/07/06 24.8518074 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jul 2015B 70,000,000 2014/12/10 2015/07/06 21.3518077 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt Aug15B 80,000,000 2014/12/10 2015/08/05 20.0018046 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Aug 2015 A 80,000,000 2014/12/10 2015/08/05 20.0018076 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Jul15B 80,000,000 2014/12/10 2015/07/06 25.6018064 UBS AG – Agricultural Bank European Warrants Dec 2015 A 50,000,000 2014/12/10 2015/12/22 10.7518067 UBS AG – CC Bank European Warrants Apr 2015 B 100,000,000 2014/12/10 2015/04/28 15.0018066 UBS AG – KECL European Warrants Dec 2016 A 100,000,000 2014/12/10 2016/12/12 16.0018097 BOCI Asia Ltd. – CAM CSI300 European Warrants Oct 2015 A 100,000,000 2014/12/11 2015/10/12 36.0018093 BOCI Asia Ltd. – CSOP A50 ETFEuropean Warrants Jul 2015 A 100,000,000 2014/12/11 2015/07/06 46.0018098 BOCI Asia Ltd. – CSOP A50 ETFEuropean Warrants Dec 2015 A 100,000,000 2014/12/11 2015/12/17 15.0018095 BOCI Asia Ltd. – A50 China European Warrants Jul 2015 B 100,000,000 2014/12/11 2015/07/13 40.0018096 BOCI Asia Ltd. – A50 China European Warrants Dec 2015 A 100,000,000 2014/12/11 2015/12/28 18.0018110 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Sep 2016 A 100,000,000 2014/12/11 2016/09/02 25.0018109 BNP Paribas Arbit Issu B.V. – China Life Eu Put Wt Aug 2016A 100,000,000 2014/12/11 2016/08/02 25.00

Main Board Warrants



18108 BNP Paribas Arbit Issu B.V. – Ping An European Wt Aug 2015 A 100,000,000 2014/12/11 2015/08/04 25.0018121 Credit Suisse AG – BankComm European Warrants Jun 2015 A 80,000,000 2014/12/11 2015/06/29 35.2018125 Credit Suisse AG – China Coal European Warrants Jun 2015 A 80,000,000 2014/12/11 2015/06/29 24.8018122 Credit Suisse AG – CEB Bank European Warrants Jun 2015 A 80,000,000 2014/12/11 2015/06/29 23.2018118 Credit Suisse AG – China EB Ltd European Warrants Aug 2015 A 80,000,000 2014/12/11 2015/08/31 20.0018119 Credit Suisse AG – CM Bank European Warrants Jun 2015 A 80,000,000 2014/12/11 2015/06/29 62.4018120 Credit Suisse AG – Minsheng Bank European Wts Jun 2015 A 80,000,000 2014/12/11 2015/06/29 43.2018133 Credit Suisse AG – Sinopec Corp European Warrants Jun 2015 A 80,000,000 2014/12/11 2015/06/29 20.0018126 Credit Suisse AG – Jiangxi Copper European Wts Apr 2016 A 100,000,000 2014/12/11 2016/04/29 17.0018127 Credit Suisse AG – Kingsoft European Warrants Apr 2015 B 80,000,000 2014/12/11 2015/04/30 12.0018123 Credit Suisse AG – Yanzhou Coal European Warrants Jun 2015 A 80,000,000 2014/12/11 2015/06/29 44.0018111 Daiwa Capital Mkt – HSBC European Warrants Jun 2015 A 98,000,000 2014/12/11 2015/06/10 36.2618114 Daiwa Capital Mkt – Hutchison European Warrants Nov 2015 A 128,000,000 2014/12/11 2015/11/23 19.2018112 Daiwa Capital Mkt – Hutchison European Put Wts Jun 2015 B 68,000,000 2014/12/11 2015/06/10 17.0018113 Daiwa Capital Mkt – Ping An European Warrants Jun 2015 C 98,000,000 2014/12/11 2015/06/10 24.5018102 Bank of East Asia – China Life European Warrants Sep 2015 A 40,000,000 2014/12/11 2015/09/30 10.0018101 Bank of East Asia – CM Bank European Warrants May 2016 A 40,000,000 2014/12/11 2016/05/03 10.0018143 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Jul 2015 B 80,000,000 2014/12/11 2015/07/30 58.9618142 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Dec 2016 A 80,000,000 2014/12/11 2016/12/30 20.0818141 Goldman Sachs SP (Asia) – A50 China European Wts Jul 2015 A 80,000,000 2014/12/11 2015/07/30 46.0018140 Goldman Sachs SP (Asia) – A50 China European Wts Dec 2016 B 80,000,000 2014/12/11 2016/12/30 20.0018116 HK Bank – CAM CSI300 European Warrants Aug 2015 B 100,000,000 2014/12/11 2015/08/31 25.0018107 HK Bank – BOCL European Warrants Jul 2015 C 80,000,000 2014/12/11 2015/07/31 24.0018117 HK Bank – CSOP A50 ETF European Warrants Apr 2015 C 50,000,000 2014/12/11 2015/04/08 25.0018115 HK Bank – CSOP A50 ETF European Warrants Nov 2015 A 200,000,000 2014/12/11 2015/11/16 30.0018104 HK Bank – HSCEI European Put Warrants May 2015 A 100,000,000 2014/12/11 2015/05/28 15.0018105 HK Bank – KECL European Warrants Dec 2016 A 100,000,000 2014/12/11 2016/12/12 15.0018106 HK Bank – Ping An European Warrants Jun 2015 B 80,000,000 2014/12/11 2015/06/10 24.0018151 J P Morgan SP BV – Agricultural Bk Euro Warrants Dec 2015 A 200,000,000 2014/12/11 2015/12/01 31.6018149 J P Morgan SP BV – BankComm European Warrants Aug 2015 B 80,000,000 2014/12/11 2015/08/03 20.0818153 J P Morgan SP BV – CGS European Warrants Aug 2016 A 100,000,000 2014/12/11 2016/08/03 25.2018154 J P Morgan SP BV – China Cinda European Warrants Jul 2015 A 100,000,000 2014/12/11 2015/07/03 25.4018152 J P Morgan SP BV – CITIC Sec European Warrants Jul 2015 A 100,000,000 2014/12/11 2015/07/03 25.2018150 J P Morgan SP BV – Minsheng Bank European Wts Aug 2015 A 80,000,000 2014/12/11 2015/08/03 30.6418144 J P Morgan SP BV – CSOP A50 ETF European Warrants Apr 2015 C 200,000,000 2014/12/11 2015/04/02 41.8018148 J P Morgan SP BV – China Shenhua European Wts Jun 2015 A 80,000,000 2014/12/11 2015/06/02 12.1618146 J P Morgan SP BV – A50 China European Warrants Apr 2015 B 200,000,000 2014/12/11 2015/04/02 30.4018128 J P Morgan SP BV – HSI European Put Warrants Jun 2015 C 500,000,000 2014/12/11 2015/06/29 125.0018129 J P Morgan SP BV – HSI European Put Warrants Jun 2015 D 500,000,000 2014/12/11 2015/06/29 125.0018103 Standard Chartered Bank – BOCL European Warrants Oct 2015 A 80,000,000 2014/12/11 2015/10/29 20.0018088 Standard Chartered Bank – CC Bank European Wts Aug 2015 A 100,000,000 2014/12/11 2015/08/28 15.0018134 Standard Chartered Bank – CGS European Warrants Oct 2016 A 60,000,000 2014/12/11 2016/10/07 15.0018090 Standard Chartered Bank – China Life European Wts Jun 2015 C 100,000,000 2014/12/11 2015/06/02 15.0018091 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jun 2015 E 60,000,000 2014/12/11 2015/06/10 15.00

Main Board Warrants



18092 Standard Chartered Bank – A50 China Euro Warrants Jul 2015 A 60,000,000 2014/12/11 2015/07/10 15.0018087 Standard Chartered Bank – ICBC European Warrants Jan 2016 A 80,000,000 2014/12/11 2016/01/27 12.0018089 Standard Chartered Bank – Ping An European Wts Jun 2015 B 100,000,000 2014/12/11 2015/06/10 25.0018130 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Sep15B 100,000,000 2014/12/11 2015/09/02 25.0018099 SGA Societe Generale Acceptance N.V. – BYD Eu Wt Aug 2015 A 30,000,000 2014/12/11 2015/08/05 15.6018132 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Jul 2015A 80,000,000 2014/12/11 2015/07/06 20.0018100 SGA Societe Generale Acceptance N.V. – KECL Eu Wt Sep 2017 A 100,000,000 2014/12/11 2017/09/04 16.5018131 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Aug 15 B 80,000,000 2014/12/11 2015/08/05 23.6018137 UBS AG – BOCL European Warrants Jan 2016 A 100,000,000 2014/12/11 2016/01/12 25.0018138 UBS AG – CGS European Warrants May 2016 A 70,000,000 2014/12/11 2016/05/16 17.5018139 UBS AG – CITIC Sec European Warrants Aug 2015 A 70,000,000 2014/12/11 2015/08/10 19.6018135 UBS AG – China Life European Warrants Sep 2015 B 100,000,000 2014/12/11 2015/09/14 25.0018136 UBS AG – China Shenhua European Warrants May 2015 A 60,000,000 2014/12/11 2015/05/26 10.6816920 # Daiwa Capital Mkt – A50 China European Put Wts Oct 2015 A 210,000,000 2014/12/11 2015/10/20 17.2218162 BOCI Asia Ltd. – HSCEI European Warrants Jul 2015 A 100,000,000 2014/12/12 2015/07/30 15.0018163 BOCI Asia Ltd. – HSCEI European Warrants Nov 2015 A 100,000,000 2014/12/12 2015/11/27 24.0018164 BOCI Asia Ltd. – HSCEI European Put Warrants Jun 2015 A 100,000,000 2014/12/12 2015/06/29 15.0018209 Credit Suisse AG – Agricultural Bank European Wts Aug 2015 B 80,000,000 2014/12/12 2015/08/31 20.0018199 Credit Suisse AG – Angang Steel European Warrants Jun 2015 A 60,000,000 2014/12/12 2015/06/11 27.0018205 Credit Suisse AG – BOCL European Warrants Aug 2015 B 80,000,000 2014/12/12 2015/08/31 20.0018208 Credit Suisse AG – CC Bank European Warrants Jun 2015 B 80,000,000 2014/12/12 2015/06/11 22.4018206 Credit Suisse AG – CITIC Bank European Warrants Jun 2015 A 80,000,000 2014/12/12 2015/06/29 20.0018200 Credit Suisse AG – China Life European Warrants Jul 2015 A 80,000,000 2014/12/12 2015/07/30 20.0018210 Credit Suisse AG – China Mobile European Warrants Jun 2015 A 80,000,000 2014/12/12 2015/06/11 20.0018197 Credit Suisse AG – CSOP A50 ETF European Warrants Jun 2015 B 80,000,000 2014/12/12 2015/06/11 39.2018198 Credit Suisse AG – A50 China European Warrants Jun 2015 A 80,000,000 2014/12/12 2015/06/11 38.4018207 Credit Suisse AG – ICBC European Warrants Jul 2015 B 80,000,000 2014/12/12 2015/07/30 20.0018204 Credit Suisse AG – PetroChina European Warrants Jun 2015 A 80,000,000 2014/12/12 2015/06/29 20.0018202 Credit Suisse AG – Ping An European Warrants Jun 2015 D 80,000,000 2014/12/12 2015/06/11 25.6018217 Goldman Sachs SP (Asia) – BOCL European Warrants Oct 2015 A 80,000,000 2014/12/12 2015/10/02 20.0018216 Goldman Sachs SP (Asia) – CC Bank European Wts Jun 2015 B 80,000,000 2014/12/12 2015/06/30 20.5618179 HK Bank – CC Bank European Warrants Jul 2015 C 80,000,000 2014/12/12 2015/07/31 20.0018175 HK Bank – China Life European Warrants Jul 2015 B 80,000,000 2014/12/12 2015/07/31 20.0018178 HK Bank – Minsheng Bank European Warrants Jul 2015 B 50,000,000 2014/12/12 2015/07/31 22.5018172 HK Bank – A50 China European Warrants Mar 2015 A 50,000,000 2014/12/12 2015/03/31 12.5018170 HK Bank – Galaxy Ent European Warrants Jun 2015 C 80,000,000 2014/12/12 2015/06/30 28.0018180 HK Bank – HSCEI European Warrants Jun 2015 A 200,000,000 2014/12/12 2015/06/29 30.0018173 HK Bank – HSI European Warrants Jun 2015 C 200,000,000 2014/12/12 2015/06/29 30.0018174 HK Bank – HSI European Put Warrants Apr 2015 G 200,000,000 2014/12/12 2015/04/29 30.0018176 HK Bank – ICBC European Warrants Aug 2015 A 80,000,000 2014/12/12 2015/08/31 20.0018171 HK Bank – Sands China European Warrants Jun 2015 C 80,000,000 2014/12/12 2015/06/30 20.0018212 J P Morgan Int’l Der. Ltd. – HSCEI European Wts Jun 2015 A 250,000,000 2014/12/12 2015/06/29 37.5018213 J P Morgan Int’l Der. Ltd. – HSCEI European Wts Jul 2015 B 250,000,000 2014/12/12 2015/07/30 37.7518215 Macquarie Bank Ltd. – A50 China European Warrants Jul 2015 A 30,000,000 2014/12/12 2015/07/03 10.50

Main Board Warrants



18214 Macquarie Bank Ltd. – Ping An European Warrants Jul 2015 B 32,000,000 2014/12/12 2015/07/03 10.2418166 Nomura Int’l plc – CITIC Bank European Warrants Jul 2015 A 50,000,000 2014/12/12 2015/07/30 13.0018168 Nomura Int’l plc – CITIC Sec European Warrants Jul 2015 A 50,000,000 2014/12/12 2015/07/30 19.7518165 Nomura Int’l plc – Geely Auto European Warrants Sep 2015 A 80,000,000 2014/12/12 2015/09/30 26.4018169 Nomura Int’l plc – Haitong Sec European Warrants Jul 2015 A 50,000,000 2014/12/12 2015/07/30 13.7518167 Nomura Int’l plc – NCI European Warrants Jun 2015 A 50,000,000 2014/12/12 2015/06/30 12.6018193 Standard Chartered Bank – Agricultural Bk Eur Wts Nov 2015 A 80,000,000 2014/12/12 2015/11/30 12.0018157 Standard Chartered Bank – CAM CSI300 European Wts Jul 2015 A 60,000,000 2014/12/12 2015/07/02 15.0018190 Standard Chartered Bank – CC Bank European Wts Sep 2015 A 80,000,000 2014/12/12 2015/09/01 20.0018161 Standard Chartered Bank – HSCEI European Put Wts Jun 2015 B 100,000,000 2014/12/12 2015/06/29 25.0018191 Standard Chartered Bank – KECL European Warrants Dec 2016 A 100,000,000 2014/12/12 2016/12/12 15.0018158 Standard Chartered Bank – Ping An European Wts Mar 2015 C 80,000,000 2014/12/12 2015/03/27 20.0018159 Standard Chartered Bank – Ping An Euro Put Wts Jun 2015 C 80,000,000 2014/12/12 2015/06/11 32.0018194 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Aug 2015 B 100,000,000 2014/12/12 2015/08/05 25.0018184 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Jan 2016 A 80,000,000 2014/12/12 2016/01/06 20.0018195 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Aug15 A 40,000,000 2014/12/12 2015/08/05 23.2018181 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Aug15A 70,000,000 2014/12/12 2015/08/05 22.7518182 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Aug 2015A 70,000,000 2014/12/12 2015/08/05 23.4518183 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Put Wt Jul15C 70,000,000 2014/12/12 2015/07/06 40.6018196 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Sep 2015 B 100,000,000 2014/12/12 2015/09/02 25.0018185 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Sep 2015 A 80,000,000 2014/12/12 2015/09/02 20.0018156 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Jul 2015B 60,000,000 2014/12/12 2015/07/06 15.0018186 UBS AG – CC Bank European Warrants Jul 2015 B 100,000,000 2014/12/12 2015/07/31 25.0018187 UBS AG – CSOP A50 ETF European Put Warrants May 2016 A 100,000,000 2014/12/12 2016/05/30 25.0018189 UBS AG – Haitong Sec European Warrants Sep 2015 A 70,000,000 2014/12/12 2015/09/21 17.5018188 UBS AG – Ping An European Warrants Jul 2015 A 100,000,000 2014/12/12 2015/07/13 50.0013298 # HK Bank – Ping An European Warrants Oct 2016 A 230,000,000 2014/12/12 2016/10/21 27.1416128 # Goldman Sachs SP (Asia) – Ping An European Wts Apr 2015 A 80,000,000 2014/12/12 2015/04/02 32.0016635 # J P Morgan SP BV – Sinopec Corp European Warrants Dec 2015 A 200,000,000 2014/12/12 2015/12/30 14.8022888 # UBS AG – A50 China European Warrants Aug 2016 A 300,000,000 2014/12/12 2016/08/01 23.7018222 BOCI Asia Ltd. – CC Bank European Warrants May 2015 A 100,000,000 2014/12/15 2015/05/11 26.0018219 BOCI Asia Ltd. – CITIC Sec European Warrants Jul 2015 A 100,000,000 2014/12/15 2015/07/20 27.0018220 BOCI Asia Ltd. – Minsheng Bank European Warrants Jun 2015 A 100,000,000 2014/12/15 2015/06/29 43.0018218 BOCI Asia Ltd. – Haitong Sec European Warrants Aug 2015 B 100,000,000 2014/12/15 2015/08/24 26.0018221 BOCI Asia Ltd. – ICBC European Warrants Aug 2015 A 100,000,000 2014/12/15 2015/08/17 28.0018224 Credit Suisse AG – Zijin Mining European Warrants Aug 2015 A 70,000,000 2014/12/15 2015/08/10 10.5018236 Daiwa Capital Mkt – Agricultural Bank European Wts Jul 2015 B 108,000,000 2014/12/15 2015/07/20 27.0018232 Daiwa Capital Mkt – BOCL European Warrants Sep 2015 A 108,000,000 2014/12/15 2015/09/08 27.0018229 Daiwa Capital Mkt – CCB European Warrants Jun 2015 A 128,000,000 2014/12/15 2015/06/15 44.8018231 Daiwa Capital Mkt – CCB European Warrants Aug 2015 A 128,000,000 2014/12/15 2015/08/19 32.0018233 Daiwa Capital Mkt – China Life European Warrants Aug 2015 A 158,000,000 2014/12/15 2015/08/14 39.5018237 Daiwa Capital Mkt – CNOOC European Put Warrants Dec 2015 A 80,000,000 2014/12/15 2015/12/15 20.0018228 Daiwa Capital Mkt – A50 China European Warrants Dec 2015 A 168,000,000 2014/12/15 2015/12/08 42.0018287 Bank of East Asia – CGS European Warrants Dec 2015 B 60,000,000 2014/12/15 2015/12/31 15.00

Main Board Warrants



18225 Bank of East Asia – Minsheng Bank European Warrants Dec 16 A 200,000,000 2014/12/15 2016/12/28 50.0018226 Bank of East Asia – A50 China European Warrants Nov 2016 A 150,000,000 2014/12/15 2016/11/28 37.5018286 Bank of East Asia – Haitong Sec European Warrants Jul 2015 A 40,000,000 2014/12/15 2015/07/30 10.0018257 Goldman Sachs SP (Asia) – AIA European Warrants Jun 2015 B 80,000,000 2014/12/15 2015/06/30 21.4418258 Goldman Sachs SP (Asia) – AIA European Warrants Dec 2015 A 80,000,000 2014/12/15 2015/12/30 20.4018256 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jun 2015 A 80,000,000 2014/12/15 2015/06/30 36.4818261 Goldman Sachs SP (Asia) – Ping An European Wts Jun 2015 B 80,000,000 2014/12/15 2015/06/30 56.4018262 Goldman Sachs SP (Asia) – Ping An European Wts Jun 2015 C 80,000,000 2014/12/15 2015/06/30 32.8018259 Goldman Sachs SP (Asia) – Sands China Euro Wts Jun 2015 A 80,000,000 2014/12/15 2015/06/30 20.4818260 Goldman Sachs SP (Asia) – Sands China Euro Wts Jun 2015 B 80,000,000 2014/12/15 2015/06/30 31.6818278 J P Morgan SP BV – Agricultural Bk Euro Warrants Sep 2015 A 100,000,000 2014/12/15 2015/09/02 25.1018280 J P Morgan SP BV – BOCL European Warrants Jul 2015 A 100,000,000 2014/12/15 2015/07/03 25.2018281 J P Morgan Int’l Der. Ltd. – CC Bank European Wts Aug 2015 A 100,000,000 2014/12/15 2015/08/04 25.7018283 J P Morgan SP BV – CM Bank European Warrants Aug 2016 A 100,000,000 2014/12/15 2016/08/02 25.0018274 J P Morgan SP BV – CSOP A50 ETF European Warrants Jul 2015 C 100,000,000 2014/12/15 2015/07/02 25.4018275 J P Morgan SP BV – CSOP A50 ETF Euro Put Wts Jul 2015 D 100,000,000 2014/12/15 2015/07/02 26.9018276 J P Morgan SP BV – A50 China European Warrants Jul 2015 B 100,000,000 2014/12/15 2015/07/02 25.2018282 J P Morgan SP BV – HSI European Put Warrants Mar 2015 F 500,000,000 2014/12/15 2015/03/30 75.0018277 J P Morgan SP BV – Haitong Sec European Warrants Sep 2015 A 100,000,000 2014/12/15 2015/09/02 25.5018279 J P Morgan SP BV – ICBC European Warrants Jul 2015 B 100,000,000 2014/12/15 2015/07/03 25.3018273 J P Morgan SP BV – Kingsoft European Warrants Aug 2015 A 150,000,000 2014/12/15 2015/08/04 37.5018272 J P Morgan SP BV – Ping An European Warrants Jul 2015 A 150,000,000 2014/12/15 2015/07/02 37.6518284 Macquarie Bank Ltd. – Agricultural Bk Euro Warrants Aug 2015 A 40,000,000 2014/12/15 2015/08/04 10.0018243 Macquarie Bank Ltd. – BOCL European Warrants Jan 2016 A 40,000,000 2014/12/15 2016/01/05 10.0018285 Macquarie Bank Ltd. – CC Bank European Warrants Aug 2015 A 40,000,000 2014/12/15 2015/08/04 10.0018238 Macquarie Bank Ltd. – China Life European Wts Aug 2015 A 40,000,000 2014/12/15 2015/08/04 10.0018247 Macquarie Bank Ltd. – CPIC European Warrants Jul 2015 B 40,000,000 2014/12/15 2015/07/03 10.0018244 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Jul 2015 A 30,000,000 2014/12/15 2015/07/03 10.0218245 Macquarie Bank Ltd. – A50 China European Warrants Jul 2015 B 35,000,000 2014/12/15 2015/07/03 10.1918242 Macquarie Bank Ltd. – Galaxy Ent European Wts Jul 2015 A 40,000,000 2014/12/15 2015/07/03 10.0018241 Macquarie Bank Ltd. – NCI European Warrants Aug 2015 A 40,000,000 2014/12/15 2015/08/04 10.0018246 Macquarie Bank Ltd. – PICC P&C European Warrants May 2016 A 40,000,000 2014/12/15 2016/05/04 10.0018227 Standard Chartered Bank – Haitong Sec Euro Wts Aug 2015 B 60,000,000 2014/12/15 2015/08/31 15.0018271 Standard Chartered Bank – Ping An European Wts Oct 2016 A 200,000,000 2014/12/15 2016/10/21 30.0018255 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Sep 2015 A 100,000,000 2014/12/15 2015/09/02 25.0018253 SGA Societe Generale Acceptance N.V. – Ch Cinda Eu Wt Jul15A 40,000,000 2014/12/15 2015/07/06 11.0018252 SGA Societe Generale Acceptance N.V. – CITBK Eu Wt Jul 15 B 30,000,000 2014/12/15 2015/07/06 10.0518251 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Dec 2015 B 150,000,000 2014/12/15 2015/12/02 37.5018250 SGA Societe Generale Acceptance N.V. – CMB Eu Wts Dec 2016 A 100,000,000 2014/12/15 2016/12/05 25.0018249 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Aug15 B 40,000,000 2014/12/15 2015/08/05 13.6018223 SGA Societe Generale Acceptance N.V. – HKEx Eu Put Wt Jul15C 300,000,000 2014/12/15 2015/07/06 49.5018248 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Nov 16 A 600,000,000 2014/12/15 2016/11/02 90.0018264 UBS AG – CAM CSI300 European Warrants Oct 2015 A 40,000,000 2014/12/15 2015/10/12 10.0018266 UBS AG – CITIC Sec European Warrants Sep 2015 A 70,000,000 2014/12/15 2015/09/08 17.50

Main Board Warrants



18269 UBS AG – CSOP A50 ETF European Warrants Jun 2015 C 80,000,000 2014/12/15 2015/06/15 26.4018268 UBS AG – A50 China European Warrants Jun 2015 B 80,000,000 2014/12/15 2015/06/15 20.0018263 UBS AG – Ping An European Warrants Jul 2015 B 100,000,000 2014/12/15 2015/07/27 38.0018270 UBS AG – Ping An European Warrants Oct 2016 A 300,000,000 2014/12/15 2016/10/21 45.0018303 BOCI Asia Ltd. – BOCL European Warrants Sep 2015 A 100,000,000 2014/12/16 2015/09/29 34.0018300 BOCI Asia Ltd. – CC Bank European Warrants Aug 2015 A 100,000,000 2014/12/16 2015/08/31 34.0018299 BOCI Asia Ltd. – China Life European Warrants Dec 2015 A 100,000,000 2014/12/16 2015/12/14 28.0018302 BOCI Asia Ltd. – CM Bank European Warrants Sep 2016 A 100,000,000 2014/12/16 2016/09/27 31.0018301 BOCI Asia Ltd. – ICBC European Warrants Jan 2016 A 100,000,000 2014/12/16 2016/01/27 39.0018304 BOCI Asia Ltd. – KECL European Warrants Dec 2016 A 100,000,000 2014/12/16 2016/12/12 15.0018297 BOCI Asia Ltd. – Ping An European Warrants Jul 2015 A 100,000,000 2014/12/16 2015/07/07 46.0018296 BOCI Asia Ltd. – Ping An European Warrants Nov 2016 A 100,000,000 2014/12/16 2016/11/04 15.0018298 BOCI Asia Ltd. – Ping An European Put Warrants Jun 2015 C 100,000,000 2014/12/16 2015/06/29 53.0018328 BNP Paribas Arbit Issu B.V. – BankComm Euro Wts Aug 2015 A 60,000,000 2014/12/16 2015/08/04 18.6018329 BNP Paribas Arbit Issu B.V. – CM Bank Euro Warrants Dec 2016 B 80,000,000 2014/12/16 2016/12/02 20.0018327 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Aug 2015 A 100,000,000 2014/12/16 2015/08/04 25.0018331 BNP Paribas Arbit Issu B.V. – HSCEI European Wts Dec 2015 A 100,000,000 2014/12/16 2015/12/30 25.0018337 Credit Suisse AG – CC Bank European Put Warrants Jun 2015 C 70,000,000 2014/12/16 2015/06/15 32.9018339 Credit Suisse AG – CITIC Sec European Warrants Jul 2015 B 80,000,000 2014/12/16 2015/07/13 35.2018335 Credit Suisse AG – Sinopec Corp European Warrants Jun 2015 B 80,000,000 2014/12/16 2015/06/15 20.0018341 Credit Suisse AG – A50 China European Warrants Jun 2015 B 80,000,000 2014/12/16 2015/06/29 42.4018340 Credit Suisse AG – Haitong Sec European Warrants Jul 2015 A 80,000,000 2014/12/16 2015/07/30 20.0018342 Credit Suisse AG – NCI European Warrants Jul 2015 A 70,000,000 2014/12/16 2015/07/13 17.5018334 Credit Suisse AG – PetroChina European Warrants Jun 2015 B 80,000,000 2014/12/16 2015/06/08 17.6018338 Credit Suisse AG – PICC European Warrants Dec 2015 A 70,000,000 2014/12/16 2015/12/28 17.5018336 Credit Suisse AG – PICC Group European Warrants Jul 2015 A 70,000,000 2014/12/16 2015/07/30 17.5018332 Credit Suisse AG – Tencent Holdings European Wts Apr 2015 C 100,000,000 2014/12/16 2015/04/28 44.0018333 Credit Suisse AG – Tencent Holdings European Wts Jun 2016 A 100,000,000 2014/12/16 2016/06/29 18.0018293 Goldman Sachs SP (Asia) – CAM CSI300 European Wts Aug 2015 A 80,000,000 2014/12/16 2015/08/27 20.0818294 Goldman Sachs SP (Asia) – CAM CSI300 Euro Put Wts Jun 2015 A 80,000,000 2014/12/16 2015/06/30 26.9618288 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Jun 2015 B 80,000,000 2014/12/16 2015/06/30 44.2418289 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Dec 2016 B 80,000,000 2014/12/16 2016/12/30 20.0818290 Goldman Sachs SP (Asia) – CSOP A50 ETF Eu Put Wts Dec 2016 C 80,000,000 2014/12/16 2016/12/30 20.0818291 Goldman Sachs SP (Asia) – A50 China European Wts Jun 2015 B 80,000,000 2014/12/16 2015/06/30 27.5218295 Goldman Sachs SP (Asia) – A50 China European Wts Dec 2016 D 80,000,000 2014/12/16 2016/12/30 20.4818292 Goldman Sachs SP (Asia) – A50 China Euro Put Wts Dec 2016 C 80,000,000 2014/12/16 2016/12/30 20.0018306 HK Bank – BOCL European Warrants Aug 2015 C 80,000,000 2014/12/16 2015/08/31 20.0018308 HK Bank – CNOOC European Warrants Feb 2016 A 150,000,000 2014/12/16 2016/02/22 22.5018316 HK Bank – CSOP A50 ETF European Warrants Jun 2015 C 60,000,000 2014/12/16 2015/06/30 39.0018307 HK Bank – HWL European Warrants Jun 2015 A 60,000,000 2014/12/16 2015/06/30 15.0018310 J P Morgan SP BV – China Life European Warrants Jul 2015 A 100,000,000 2014/12/16 2015/07/03 25.1018347 J P Morgan SP BV – HSI European Warrants Jun 2015 E 500,000,000 2014/12/16 2015/06/29 75.0018311 J P Morgan SP BV – HSI European Warrants Jul 2015 A 600,000,000 2014/12/16 2015/07/30 150.0018312 J P Morgan SP BV – HSI European Warrants Jul 2015 B 600,000,000 2014/12/16 2015/07/30 150.60

Main Board Warrants



18309 J P Morgan SP BV – Ping An European Warrants Nov 2016 A 300,000,000 2014/12/16 2016/11/01 45.3018317 Macquarie Bank Ltd. – China Life European Wts Jun 2015 B 55,000,000 2014/12/16 2015/06/02 10.0118322 Macquarie Bank Ltd. – Fosun Intl European Warrants Oct 2016A 40,000,000 2014/12/16 2016/10/04 10.0018346 Macquarie Bank Ltd. – Sands China European Wts Jul 2015 A 40,000,000 2014/12/16 2015/07/03 10.0018305 Macquarie Bank Ltd. – Singyes Solar European Wts Oct 2015 A 40,000,000 2014/12/16 2015/10/16 10.0018344 Macquarie Bank Ltd. – Zoomlion European Warrants Jul 2015 A 30,000,000 2014/12/16 2015/07/03 10.2018352 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jan 2017 A 150,000,000 2014/12/16 2017/01/03 37.5018353 Standard Chartered Bank – CSOP A50 ETF Eu Put Wts Mar 2017 A 150,000,000 2014/12/16 2017/03/31 37.5018354 Standard Chartered Bank – A50 China Euro Warrants Mar 2017 A 150,000,000 2014/12/16 2017/03/31 38.2518321 Standard Chartered Bank – HKEx European Warrants Nov 2015 D 100,000,000 2014/12/16 2015/11/27 15.0018350 Standard Chartered Bank – HKEx European Put Wts Aug 2015 B 80,000,000 2014/12/16 2015/08/31 19.2018351 Standard Chartered Bank – HSCEI European Warrants Jul 2015 B 100,000,000 2014/12/16 2015/07/30 17.0018318 Standard Chartered Bank – HSCEI European Warrants Sep 2015 A 100,000,000 2014/12/16 2015/09/29 25.0018319 Standard Chartered Bank – ICBC European Warrants Sep 2015 B 80,000,000 2014/12/16 2015/09/02 20.0018320 Standard Chartered Bank – Jiangxi Copper Euro Wts Apr 2016 A 80,000,000 2014/12/16 2016/04/28 12.0018348 Standard Chartered Bank – Ping An European Wts Jul 2015 A 80,000,000 2014/12/16 2015/07/07 20.0018349 Standard Chartered Bank – Sands China Euro Wts Jul 2015 A 100,000,000 2014/12/16 2015/07/06 25.0018313 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt Aug 2015 A 100,000,000 2014/12/16 2015/08/05 25.0018323 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Jun 2015 A 80,000,000 2014/12/16 2015/06/03 26.8018314 SGA Societe Generale Acceptance N.V – Ch Oilfield Eu Wt Aug15A 100,000,000 2014/12/16 2015/08/05 25.0018315 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Mar 2016 A 300,000,000 2014/12/16 2016/03/02 45.0018325 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Jun 15 D 80,000,000 2014/12/16 2015/06/03 39.6018326 UBS AG – CNOOC European Warrants Dec 2015 A 100,000,000 2014/12/16 2015/12/23 15.6018358 BOCI Asia Ltd. – CNOOC European Warrants Feb 2016 A 100,000,000 2014/12/17 2016/02/22 15.0018355 BOCI Asia Ltd. – HKEx European Warrants Jun 2016 A 100,000,000 2014/12/17 2016/06/27 22.0018357 BOCI Asia Ltd. – PetroChina European Warrants Jul 2015 A 100,000,000 2014/12/17 2015/07/07 40.0018359 BOCI Asia Ltd. – SHK Ppt European Warrants May 2015 B 100,000,000 2014/12/17 2015/05/08 35.0018356 BOCI Asia Ltd. – Tencent Holdings European Wts Dec 2015 B 100,000,000 2014/12/17 2015/12/21 15.0018372 Daiwa Capital Mkt – CSOP A50 ETF European Wts Dec 2015 C 158,000,000 2014/12/17 2015/12/15 39.5018373 Daiwa Capital Mkt – A50 China European Warrants Dec 2015 B 158,000,000 2014/12/17 2015/12/01 41.0818362 HK Bank – CITIC Sec European Warrants Aug 2015 A 100,000,000 2014/12/17 2015/08/31 25.0018360 HK Bank – Haitong Sec European Warrants Aug 2015 B 100,000,000 2014/12/17 2015/08/31 25.0018377 J P Morgan SP BV – BYD European Warrants Jul 2015 A 100,000,000 2014/12/17 2015/07/03 25.3018376 J P Morgan SP BV – Ch Comm Cons European Warrants Jul 2015 B 60,000,000 2014/12/17 2015/07/03 19.6218374 J P Morgan SP BV – Haitong Sec European Warrants Jul 2015 A 100,000,000 2014/12/17 2015/07/03 25.5018375 J P Morgan SP BV – Wynn Macau European Warrants Oct 2015 A 80,000,000 2014/12/17 2015/10/05 20.0018364 Macquarie Bank Ltd. – Sinopec Corp European Wts Jul 2015 B 20,000,000 2014/12/17 2015/07/03 10.0018366 Standard Chartered Bank – Tencent Hldg Euro Wts Sep 2015 C 100,000,000 2014/12/17 2015/09/21 15.0018365 Standard Chartered Bank – Tencent Hldg Eu Put Wts Jun 2015 C 100,000,000 2014/12/17 2015/06/16 46.0018367 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jun 2015B 70,000,000 2014/12/17 2015/06/03 56.0018363 SGA Societe Generale Acceptance N.V. – GCL-Poly Eu Wt Aug15A 50,000,000 2014/12/17 2015/08/05 17.7518369 UBS AG – Minsheng Bank European Warrants Jul 2015 A 40,000,000 2014/12/17 2015/07/27 17.6018368 UBS AG – CSOP A50 ETF European Warrants Jun 2016 A 300,000,000 2014/12/17 2016/06/20 75.0018424 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Mar 2016 A 80,000,000 2014/12/18 2016/03/02 12.00

Main Board Warrants



18427 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Aug 2016 B 100,000,000 2014/12/18 2016/08/02 25.0018425 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Nov 2016 A 100,000,000 2014/12/18 2016/11/02 25.0018422 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Jul 2016 A 100,000,000 2014/12/18 2016/07/05 19.0018423 BNP Paribas Arbit Issu B.V. – Tencent Eu Put Wt Dec 2016 A 80,000,000 2014/12/18 2016/12/02 20.0018408 Credit Suisse AG – CNOOC European Warrants Feb 2016 A 100,000,000 2014/12/18 2016/02/22 15.0018406 Credit Suisse AG – CSOP A50 ETF European Warrants Nov 2015 A 150,000,000 2014/12/18 2015/11/02 27.0018389 Credit Suisse AG – HSI European Warrants May 2015 A 128,000,000 2014/12/18 2015/05/28 24.3218390 Credit Suisse AG – HSI European Warrants Jun 2015 A 128,000,000 2014/12/18 2015/06/29 32.0018392 Credit Suisse AG – HSI European Warrants Jun 2015 B 128,000,000 2014/12/18 2015/06/29 32.0018403 Credit Suisse AG – HSI European Put Warrants Apr 2015 E 128,000,000 2014/12/18 2015/04/29 19.2018405 Credit Suisse AG – HSI European Put Warrants Jun 2015 C 128,000,000 2014/12/18 2015/06/29 32.0018409 Credit Suisse AG – Kingsoft European Warrants May 2015 A 70,000,000 2014/12/18 2015/05/08 10.5018410 Credit Suisse AG – PetroChina European Warrants Jun 2015 C 80,000,000 2014/12/18 2015/06/17 37.6018428 Credit Suisse AG – Ping An European Warrants Oct 2016 A 150,000,000 2014/12/18 2016/10/28 22.5018407 Credit Suisse AG – Tencent Holdings European Wts Aug 2015 B 150,000,000 2014/12/18 2015/08/24 24.0018413 Daiwa Capital Mkt – CCCCL European Warrants Oct 2015 A 68,000,000 2014/12/18 2015/10/02 25.8418414 Daiwa Capital Mkt – Hutchison European Warrants Aug 2015 A 80,000,000 2014/12/18 2015/08/03 36.0018415 Daiwa Capital Mkt – Hutchison European Put Wts Dec 2015 A 108,000,000 2014/12/18 2015/12/18 27.0018411 Daiwa Capital Mkt – Tencent Holdings Euro Put Wts Dec 2015 A 98,000,000 2014/12/18 2015/12/18 24.5018436 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jun 2015 B 80,000,000 2014/12/18 2015/06/30 48.6418431 Goldman Sachs SP (Asia) – Ch Oilfield European Wts Dec 2015A 60,000,000 2014/12/18 2015/12/30 15.1218432 Goldman Sachs SP (Asia) – Cathay Pacific Euro Wts Dec 2015 A 60,000,000 2014/12/18 2015/12/30 15.1218435 Goldman Sachs SP (Asia) – China Tel European Wts Jun 2015 A 80,000,000 2014/12/18 2015/06/30 22.0018430 Goldman Sachs Sp (Asia) – ICBC European Warrants Jun 2015 A 60,000,000 2014/12/18 2015/06/30 15.2418433 Goldman Sachs SP (Asia) – Tencent European Wt Aug 2015 A 150,000,000 2014/12/18 2015/08/31 22.5018439 Goldman Sachs SP (Asia) – China Vanke European Wts Aug 2015A 60,000,000 2014/12/18 2015/08/31 15.0018387 HK Bank – CITIC Bank European Warrants Jul 2015 A 50,000,000 2014/12/18 2015/07/31 15.0018384 HK Bank – Minsheng Bank European Warrants Jul 2015 C 50,000,000 2014/12/18 2015/07/31 20.0018382 HK Bank – Ping An European Warrants Jun 2015 C 80,000,000 2014/12/18 2015/06/01 28.0018383 HK Bank – Ping An European Put Warrants Jun 2015 D 60,000,000 2014/12/18 2015/06/17 24.0018381 HK Bank – Tencent European Warrants Jun 2016 A 180,000,000 2014/12/18 2016/06/28 28.8018385 HK Bank – Yanzhou Coal European Warrants Jun 2015 A 50,000,000 2014/12/18 2015/06/30 17.5018379 J P Morgan SP BV – China Tel European Warrants Aug 2015 A 80,000,000 2014/12/18 2015/08/04 20.0018378 J P Morgan SP BV – SJM Holdings European Warrants Nov 2016 A 80,000,000 2014/12/18 2016/11/02 20.2418440 J P Morgan SP BV – Tencent European Warrants May 2015 A 100,000,000 2014/12/18 2015/05/04 26.1018420 Macquarie Bank Ltd. – Air China European Warrants Oct 2015 A 20,000,000 2014/12/18 2015/10/05 10.0018402 Macquarie Bank Ltd. – BYD European Warrants Aug 2015 A 20,000,000 2014/12/18 2015/08/04 10.0018419 Macquarie Bank Ltd. – Ch Comm Cons European Wts Oct 2015 A 25,000,000 2014/12/18 2015/10/05 10.0018418 Macquarie Bank Ltd. – China COSCO European Wts Dec 2015 A 33,000,000 2014/12/18 2015/12/02 10.1618401 Macquarie Bank Ltd. – Hanergy TFP European Warrants Sep 15 A 22,000,000 2014/12/18 2015/09/16 10.0118416 Standard Chartered Bank – Agricultural Bk Eur Wts Dec 2015 A 60,000,000 2014/12/18 2015/12/30 15.0018397 Standard Chartered Bank – Geely Auto European Wts Aug 2015 A 40,000,000 2014/12/18 2015/08/19 10.0018398 Standard Chartered Bank – HSI European Warrants Jul 2015 C 100,000,000 2014/12/18 2015/07/30 25.0018399 Standard Chartered Bank – HSI European Put Wts Jul 2015 D 100,000,000 2014/12/18 2015/07/30 30.00

Main Board Warrants



18394 Standard Chartered Bank – MGM China European Wts Aug 2015 A 40,000,000 2014/12/18 2015/08/05 10.0018396 Standard Chartered Bank – Wynn Macau European Wts Aug 2015 A 40,000,000 2014/12/18 2015/08/12 10.0018388 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Jan 2016B 300,000,000 2014/12/18 2016/01/04 48.0018417 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jun15B 70,000,000 2014/12/18 2015/06/03 58.8018380 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Sep 15 B 500,000,000 2014/12/18 2015/09/02 82.5018429 UBS AG – Kingsoft European Warrants Jun 2015 B 100,000,000 2014/12/18 2015/06/29 25.0018450 BOCI Asia Ltd. – China Cinda European Warrants Jul 2015 A 100,000,000 2014/12/19 2015/07/13 23.0018451 BOCI Asia Ltd. – GCL-Poly Energy European Warrants Oct 2015A 100,000,000 2014/12/19 2015/10/05 24.0018453 BOCI Asia Ltd. – Galaxy Ent European Warrants Jul 2015 A 100,000,000 2014/12/19 2015/07/08 33.0018448 BOCI Asia Ltd. – HSBC European Warrants Sep 2015 A 100,000,000 2014/12/19 2015/09/07 25.0018452 BOCI Asia Ltd. – Sands China European Warrants Jul 2015 A 100,000,000 2014/12/19 2015/07/13 27.0018454 Goldman Sachs SP (Asia) – CNOOC European Warrants Dec 2015 A 120,000,000 2014/12/19 2015/12/31 18.6018446 HK Bank – Cheung Kong European Warrants Jun 2015 A 60,000,000 2014/12/19 2015/06/30 18.0018441 HK Bank – CNOOC European Warrants Dec 2015 A 150,000,000 2014/12/19 2015/12/23 22.5018461 HK Bank – CSOP A50 ETF European Warrants Mar 2016 A 180,000,000 2014/12/19 2016/03/31 45.0018445 HK Bank – China Shenhua European Warrants Sep 2015 B 80,000,000 2014/12/19 2015/09/30 20.0018443 HK Bank – China Tel European Warrants Jun 2015 A 60,000,000 2014/12/19 2015/06/30 15.0018447 HK Bank – Dongfeng Motor European Warrants Nov 2016 A 80,000,000 2014/12/19 2016/11/25 12.8018460 HK Bank – A50 China European Warrants Mar 2016 B 180,000,000 2014/12/19 2016/03/31 45.0018469 J P Morgan SP BV – CAM CSI300 European Put Warrants Jul 15 A 100,000,000 2014/12/19 2015/07/03 25.1018468 Macquarie Bank Ltd. – CNOOC European Warrants Sep 2015 A 15,000,000 2014/12/19 2015/09/02 10.0218467 Macquarie Bank Ltd. – Kingsoft European Warrants Sep 2015 A 35,000,000 2014/12/19 2015/09/02 10.0118459 Standard Chartered Bank – Ch Comm Cons Eur Wts Jun 2015 B 50,000,000 2014/12/19 2015/06/01 25.0018462 Standard Chartered Bank – HSCEI European Warrants Jun 2015 C 100,000,000 2014/12/19 2015/06/29 25.0018466 Standard Chartered Bank – Kingsoft European Wts Aug 2015 A 100,000,000 2014/12/19 2015/08/05 25.0018458 Standard Chartered Bank – SJM Hold European Wts Apr 2016 A 60,000,000 2014/12/19 2016/04/29 15.0018463 Standard Chartered Bank – Tencent Hldg Euro Wts Dec 2015 B 200,000,000 2014/12/19 2015/12/18 30.0018464 Standard Chartered Bank – Tencent Hldg Euro Wts Dec 2016 A 200,000,000 2014/12/19 2016/12/19 30.0018457 Standard Chartered Bank – Xinyi Glass Euro Wts Oct 2015 A 40,000,000 2014/12/19 2015/10/02 10.0018455 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Jul 15 A 100,000,000 2014/12/19 2015/07/06 45.0011332 # J P Morgan SP BV – HSBC European Warrants Mar 2016 500,000,000 2014/12/19 2016/03/30 13.5029410 # Standard Chartered Bank – Tencent Hldg Euro Wts Oct 2015 A 200,000,000 2014/12/19 2015/10/26 13.2018491 BNP Paribas Arbit Issu B.V. – Chi Res Land Eu Wt Mar 2016 A 60,000,000 2014/12/22 2016/03/02 15.0018492 BNP Paribas Arbit Issu B.V. – Evergrande Euro Wts Aug 2015 A 40,000,000 2014/12/22 2015/08/04 10.0018489 BNP Paribas Arbit Issu B.V. – HSBC European Wts Dec 2015 C 100,000,000 2014/12/22 2015/12/02 25.0018490 BNP Paribas Arbit Issu B.V. – Hutchison Euro Wts Jul 2015 B 80,000,000 2014/12/22 2015/07/03 20.0018506 Goldman Sachs SP (Asia) – HSI European Warrants Apr 2015 D 150,000,000 2014/12/22 2015/04/29 22.8018507 Goldman Sachs SP (Asia) – HSI European Put Wts Sep 2015 A 150,000,000 2014/12/22 2015/09/29 37.5018477 HK Bank – Ch Comm Cons European Warrants Aug 2015 A 50,000,000 2014/12/22 2015/08/31 20.0018476 HK Bank – China Railway European Warrants Aug 2015 A 50,000,000 2014/12/22 2015/08/31 17.5018479 HK Bank – A50 China European Warrants Apr 2015 C 50,000,000 2014/12/22 2015/04/02 33.0018480 HK Bank – A50 China European Warrants Apr 2015 D 50,000,000 2014/12/22 2015/04/02 47.5018475 HK Bank – HKEx European Warrants Aug 2015 A 180,000,000 2014/12/22 2015/08/12 27.0018478 HK Bank – Yanzhou Coal European Warrants Jun 2015 B 50,000,000 2014/12/22 2015/06/30 20.00

Main Board Warrants



18486 J P Morgan SP BV – China Mob European Wts May 2015 C 200,000,000 2014/12/22 2015/05/04 94.6018501 J P Morgan SP BV – China Railway European Wts Sep 2015 A 40,000,000 2014/12/22 2015/09/01 17.5218505 J P Morgan SP BV – CSOP A50 ETF European Warrants Nov 2015 A 500,000,000 2014/12/22 2015/11/02 81.0018488 J P Morgan SP BV – HSBC European Warrants Jul 2015 A 200,000,000 2014/12/22 2015/07/03 56.2018504 J P Morgan SP BV – HSI European Put Warrants Jul 2015 C 500,000,000 2014/12/22 2015/07/30 125.0018502 J P Morgan SP BV – MGM China European Warrants Sep 2015 A 60,000,000 2014/12/22 2015/09/02 15.0018487 J P Morgan SP BV – Tencent European Warrants Sep 2015 C 600,000,000 2014/12/22 2015/09/02 90.0018494 Macquarie Bank Ltd. – Anhui Conch European Wts Aug 2015 A 40,000,000 2014/12/22 2015/08/04 10.0018498 Macquarie Bank Ltd. – Bank of EA European Wts Jul 2016 A 40,000,000 2014/12/22 2016/07/05 10.0018496 Macquarie Bank Ltd. – Ch Comm Cons European Wts Dec 2017 A 40,000,000 2014/12/22 2017/12/04 10.0018495 Macquarie Bank Ltd. – China Railway European Wts Oct 2015 A 25,000,000 2014/12/22 2015/10/05 10.0018500 Macquarie Bank Ltd. – HSBC European Warrants Sep 2015 A 60,000,000 2014/12/22 2015/09/02 10.4418499 Macquarie Bank Ltd. – Poly HK Inv European Wts Jan 2016 A 40,000,000 2014/12/22 2016/01/05 10.0018497 Macquarie Bank Ltd. – Stanchart European Warrants Jul 2015 C 40,000,000 2014/12/22 2015/07/03 10.0018493 Standard Chartered Bank – HSBC European Warrants Sep 2015 A 100,000,000 2014/12/22 2015/09/01 15.0018470 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Jul 2015 A 100,000,000 2014/12/22 2015/07/06 25.0018482 UBS AG – BYD European Warrants Jul 2015 A 50,000,000 2014/12/22 2015/07/20 20.0018485 UBS AG – Ch Comm Cons European Warrants May 2015 A 40,000,000 2014/12/22 2015/05/26 24.0018483 UBS AG – Sinopec Corp European Warrants Jun 2015 A 70,000,000 2014/12/22 2015/06/22 30.1018484 UBS AG – China Railway European Warrants Jun 2015 B 40,000,000 2014/12/22 2015/06/22 10.0018481 UBS AG – Hutchison European Warrants Jun 2015 B 100,000,000 2014/12/22 2015/06/29 45.0017631 # HK Bank – CNOOC European Warrants Oct 2015 A 230,000,000 2014/12/22 2015/10/30 10.5818523 BOCI Asia Ltd. – CSOP A50 ETF European Warrants Dec 2016 B 100,000,000 2014/12/23 2016/12/28 24.0018522 BOCI Asia Ltd. – CSOP A50 ETF European Put Warrants Dec 16 A 100,000,000 2014/12/23 2016/12/21 25.0018519 BOCI Asia Ltd. – A50 China European Warrants Dec 2016 B 100,000,000 2014/12/23 2016/12/22 22.0018520 BOCI Asia Ltd. – A50 China European Warrants Dec 2016 C 100,000,000 2014/12/23 2016/12/23 27.0018521 BOCI Asia Ltd. – A50 China European Put Warrants Dec 2016 D 100,000,000 2014/12/23 2016/12/30 29.0018550 Credit Suisse AG – AIA European Warrants Jun 2015 B 80,000,000 2014/12/23 2015/06/29 14.4018527 Credit Suisse AG – Ch Comm Cons European Warrants Jun 2015 A 60,000,000 2014/12/23 2015/06/02 33.0018533 Credit Suisse AG – Cheung Kong European Warrants Dec 2015 A 150,000,000 2014/12/23 2015/12/14 22.5018530 Credit Suisse AG – Cheung Kong European Warrants Aug 2017 A 150,000,000 2014/12/23 2017/08/01 31.5018540 Credit Suisse AG – CM Bank European Warrants Jul 2016 A 150,000,000 2014/12/23 2016/07/29 33.0018528 Credit Suisse AG – Minsheng Bank European Wts Dec 2016 A 150,000,000 2014/12/23 2016/12/19 30.0018554 Credit Suisse AG – China Mobile European Warrants Apr 2015 C 80,000,000 2014/12/23 2015/04/30 38.4018553 Credit Suisse AG – China Mobile European Warrants May 2015 A 80,000,000 2014/12/23 2015/05/07 24.0018556 Credit Suisse AG – China Mobile European Put Wts Apr 2015 D 70,000,000 2014/12/23 2015/04/30 10.5018555 Credit Suisse AG – China Mobile European Put Wts Oct 2015 A 70,000,000 2014/12/23 2015/10/02 11.9018539 Credit Suisse AG – Ch Oilfield European Warrants Jul 2015 A 80,000,000 2014/12/23 2015/07/31 12.8018557 Credit Suisse AG – Sinopec Corp European Warrants Jun 2015 C 80,000,000 2014/12/23 2015/06/22 26.4018552 Credit Suisse AG – China Tel European Warrants Jun 2015 A 70,000,000 2014/12/23 2015/06/29 14.7018558 Credit Suisse AG – GCL-Poly Energy European Wts May 2015 A 80,000,000 2014/12/23 2015/05/29 14.4018535 Credit Suisse AG – Galaxy Ent European Warrants May 2015 A 80,000,000 2014/12/23 2015/05/22 18.4018537 Credit Suisse AG – Galaxy Ent European Put Wts May 2015 B 70,000,000 2014/12/23 2015/05/22 18.2018551 Credit Suisse AG – Gome European Warrants May 2016 A 70,000,000 2014/12/23 2016/05/16 14.70

Main Board Warrants



18526 Credit Suisse AG – HSBC European Wts May 2015 A 80,000,000 2014/12/23 2015/05/11 12.0018524 Credit Suisse AG – HSBC European Wts Aug 2015 A 80,000,000 2014/12/23 2015/08/31 13.6018549 Credit Suisse AG – Hutchison European Warrants Jun 2015 A 80,000,000 2014/12/23 2015/06/01 14.4018548 Credit Suisse AG – Sands China European Warrants Jun 2015 A 80,000,000 2014/12/23 2015/06/22 20.0018541 Credit Suisse AG – Sands China European Put Wts May 2015 A 70,000,000 2014/12/23 2015/05/22 15.4018542 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2015 H 150,000,000 2014/12/23 2015/03/30 22.5018509 HK Bank – Agricultural Bank European Warrants Aug 2015 B 80,000,000 2014/12/23 2015/08/31 20.0018517 HK Bank – Agricultural Bank European Warrants Sep 2015 A 80,000,000 2014/12/23 2015/09/30 20.0018510 HK Bank – China Mobile European Warrants Apr 2015 B 80,000,000 2014/12/23 2015/04/27 24.0018511 HK Bank – Kingsoft European Warrants Jun 2015 A 80,000,000 2014/12/23 2015/06/23 12.0018516 HK Bank – MGM China European Warrants Sep 2015 A 80,000,000 2014/12/23 2015/09/30 20.0018512 HK Bank – PICC European Warrants Apr 2016 A 80,000,000 2014/12/23 2016/04/26 14.4018515 HK Bank – Tencent European Warrants Mar 2016 A 180,000,000 2014/12/23 2016/03/02 27.0018513 HK Bank – Tencent European Warrants Jun 2016 B 180,000,000 2014/12/23 2016/06/30 28.8018514 HK Bank – Tencent European Warrants Dec 2016 A 180,000,000 2014/12/23 2016/12/30 27.0018571 J P Morgan SP BV – HSBC European Warrants Sep 2015 A 200,000,000 2014/12/23 2015/09/02 55.8018570 J P Morgan SP BV – HSI European Warrants May 2015 C 500,000,000 2014/12/23 2015/05/28 75.0018569 Macquarie Bank Ltd. – CHALCO European Warrants Jul 2015 B 40,000,000 2014/12/23 2015/07/03 10.0018568 Macquarie Bank Ltd. – Angang Steel European Wts Jul 2015 B 25,000,000 2014/12/23 2015/07/03 10.8018559 Macquarie Bank Ltd. – BJ Ent Water European Wts Jul 2015 A 35,000,000 2014/12/23 2015/07/03 10.0118536 Macquarie Bank Ltd. – Ch Modern D European Warrants Jul 15 A 40,000,000 2014/12/23 2015/07/03 10.0018532 Macquarie Bank Ltd. – CITIC Sec European Warrants Jul 2015 A 20,000,000 2014/12/23 2015/07/10 10.0018538 Macquarie Bank Ltd. – CNBM European Warrants Dec 2017 A 50,000,000 2014/12/23 2017/12/05 12.5018534 Macquarie Bank Ltd. – China Mengniu European Wts Aug 2015 A 36,000,000 2014/12/23 2015/08/04 10.0118529 Macquarie Bank Ltd. – Tencent European Put Wts Jul 2015 A 23,000,000 2014/12/23 2015/07/03 10.0318518 Standard Chartered Bank – Hutchison Euro Euro Wts Jul 2015 A 100,000,000 2014/12/23 2015/07/03 25.0018543 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Jul 2015 B 100,000,000 2014/12/23 2015/07/06 25.0018546 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jan17A 500,000,000 2014/12/23 2017/01/04 100.0018547 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jan 2017B 500,000,000 2014/12/23 2017/01/04 95.0018561 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Jul15A 80,000,000 2014/12/23 2015/07/06 29.2018562 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Jun 2015 B 100,000,000 2014/12/23 2015/06/03 22.5018544 SGA Societe Generale Acceptance N.V. – Ch Mengniu Eu Wt Aug15A 35,000,000 2014/12/23 2015/08/05 10.1518545 SGA Societe Generale Acceptance N.V. – SJM Hold Eu Wt Dec16A 60,000,000 2014/12/23 2016/12/05 15.0018508 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Mar 16 A 500,000,000 2014/12/23 2016/03/02 75.0018564 UBS AG – China Mobile European Warrants Apr 2015 D 100,000,000 2014/12/23 2015/04/30 48.0018567 UBS AG – A50 China European Put Warrants Mar 2016 B 100,000,000 2014/12/23 2016/03/31 25.0018565 UBS AG – HSBC European Warrants Jun 2015 A 100,000,000 2014/12/23 2015/06/03 24.0018563 UBS AG – KECL European Warrants Aug 2017 A 100,000,000 2014/12/23 2017/08/24 15.0018566 UBS AG – Tencent Holdings European Warrants Jun 2016 A 500,000,000 2014/12/23 2016/06/28 75.0018574 BOCI Asia Ltd. – CC Bank European Warrants Aug 2015 B 100,000,000 2014/12/24 2015/08/03 36.0018572 BOCI Asia Ltd. – CGS European Warrants Jul 2016 A 100,000,000 2014/12/24 2016/07/25 39.0018575 BOCI Asia Ltd. – Minsheng Bank European Warrants Dec 2016 A 100,000,000 2014/12/24 2016/12/19 23.0018573 BOCI Asia Ltd. – Tencent Holdings European Wts Dec 2015 C 100,000,000 2014/12/24 2015/12/24 15.0018596 Credit Suisse AG – CSOP A50 ETF European Warrants Dec 2015 A 150,000,000 2014/12/24 2015/12/08 30.00

Main Board Warrants



18597 Credit Suisse AG – CSOP A50 ETF European Warrants Jun 2016 A 150,000,000 2014/12/24 2016/06/13 31.5018594 Credit Suisse AG – A50 China European Warrants Nov 2015 A 150,000,000 2014/12/24 2015/11/27 27.0018593 Credit Suisse AG – A50 China European Warrants Dec 2016 B 150,000,000 2014/12/24 2016/12/23 33.0018595 Credit Suisse AG – A50 China European Warrants Dec 2016 C 150,000,000 2014/12/24 2016/12/23 40.5018601 Credit Suisse AG – Galaxy Ent European Warrants Jun 2015 B 80,000,000 2014/12/24 2015/06/29 29.6018590 Credit Suisse AG – HSI European Warrants Jun 2015 D 128,000,000 2014/12/24 2015/06/29 20.4818589 Credit Suisse AG – HSI European Warrants Jul 2015 B 128,000,000 2014/12/24 2015/07/30 19.2018591 Credit Suisse AG – HSI European Put Warrants Jun 2015 E 128,000,000 2014/12/24 2015/06/29 32.0018592 Credit Suisse AG – HSI European Put Warrants Jun 2015 F 128,000,000 2014/12/24 2015/06/29 32.0018602 Credit Suisse AG – Sands China European Warrants Jun 2015 B 80,000,000 2014/12/24 2015/06/29 20.0018598 Credit Suisse AG – Tencent Holdings Euro Put Wts Apr 2015 D 70,000,000 2014/12/24 2015/04/30 23.1018600 Credit Suisse AG – Tencent Holdings Euro Put Wts Oct 2015 A 100,000,000 2014/12/24 2015/10/30 25.0018599 Credit Suisse AG – Tencent Holdings Euro Put Wts Aug 2016 A 100,000,000 2014/12/24 2016/08/29 25.0018579 HK Bank – CGS European Warrants Sep 2015 A 100,000,000 2014/12/24 2015/09/30 25.0018582 HK Bank – Ch Oilfield European Warrants Nov 2015 A 80,000,000 2014/12/24 2015/11/24 15.2018580 HK Bank – Sinopec Corp European Warrants Jun 2015 B 60,000,000 2014/12/24 2015/06/30 18.0018577 HK Bank – CSOP A50 ETF European Put Warrants Mar 2017 A 150,000,000 2014/12/24 2017/03/24 28.5018576 HK Bank – A50 China European Warrants Dec 2016 B 200,000,000 2014/12/24 2016/12/28 36.0018583 HK Bank – Galaxy Ent European Warrants Jun 2015 D 60,000,000 2014/12/24 2015/06/30 30.0018581 HK Bank – PetroChina European Warrants Jun 2015 B 60,000,000 2014/12/24 2015/06/30 21.0018584 HK Bank – Sands China European Warrants Jun 2015 D 60,000,000 2014/12/24 2015/06/30 18.0018626 J P Morgan SP BV – Ch Comm Cons European Warrants Aug 2016 A 100,000,000 2014/12/24 2016/08/02 25.1018625 J P Morgan SP BV – CITIC Sec European Warrants Aug 2015 A 100,000,000 2014/12/24 2015/08/03 38.8018623 J P Morgan SP BV – Geely Auto European Warrants Jul 2015 A 100,000,000 2014/12/24 2015/07/03 25.7018629 J P Morgan SP BV – Galaxy Ent European Warrants May 2015 B 100,000,000 2014/12/24 2015/05/04 25.9018630 J P Morgan SP BV – HSI European Warrants Jul 2015 D 500,000,000 2014/12/24 2015/07/30 75.0018624 J P Morgan SP BV – Haitong Sec European Put Warrants Aug15 B 50,000,000 2014/12/24 2015/08/03 19.2018627 J P Morgan SP BV – Sands China European Warrants Jul 2015 B 100,000,000 2014/12/24 2015/07/03 25.4018610 Macquarie Bank Ltd. – Air China European Warrants Dec 2017 A 40,000,000 2014/12/24 2017/12/04 10.0018585 Macquarie Bank Ltd. – Beijing Air European Warrants Dec 17 A 40,000,000 2014/12/24 2017/12/04 10.0018611 Macquarie Bank Ltd. – CRCC European Warrants Dec 2017 A 34,000,000 2014/12/24 2017/12/04 10.2018612 Macquarie Bank Ltd. – Tencent European Warrants Jul 2015 B 25,000,000 2014/12/24 2015/07/03 10.0018588 Standard Chartered Bank – HSBC European Warrants Sep 2015 B 100,000,000 2014/12/24 2015/09/02 30.0018587 Standard Chartered Bank – Li & Fung European Wts Sep 2015 A 40,000,000 2014/12/24 2015/09/08 14.0018586 Standard Chartered Bank – Tencent Hldg Euro Wts Jul 2015 A 40,000,000 2014/12/24 2015/07/06 24.0018613 Standard Chartered Bank – Tencent Hldg Eu Put Wts Jul 2015 B 60,000,000 2014/12/24 2015/07/06 21.0018604 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Aug15A 60,000,000 2014/12/24 2015/08/05 38.4018603 SGA Societe Generale Acceptance N.V. – CRail Eu Wt Jul 2015A 25,000,000 2014/12/24 2015/07/06 14.2518607 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Dec 2015A 500,000,000 2014/12/24 2015/12/02 105.0018605 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Jul15B 80,000,000 2014/12/24 2015/07/06 43.2018606 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt Jul15A 80,000,000 2014/12/24 2015/07/06 27.2018608 SGA Societe Generale Acceptance N.V. – Li & Fung Eu Wt Aug15 A 20,000,000 2014/12/24 2015/08/05 10.2018609 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Aug15A 80,000,000 2014/12/24 2015/08/05 37.6018616 UBS AG – AIA European Warrants Jun 2015 A 100,000,000 2014/12/24 2015/06/23 25.00

Main Board Warrants



18622 UBS AG – Geely Auto European Warrants Jul 2015 A 40,000,000 2014/12/24 2015/07/09 10.0018621 UBS AG – Galaxy Ent European Warrants Apr 2015 B 60,000,000 2014/12/24 2015/04/29 22.2018618 UBS AG – HSI European Put Warrants Jun 2015 D 300,000,000 2014/12/24 2015/06/29 79.5018619 UBS AG – HSI European Put Warrants Jun 2015 E 300,000,000 2014/12/24 2015/06/29 75.0018620 UBS AG – Sands China European Warrants Jun 2015 A 60,000,000 2014/12/24 2015/06/23 19.2018615 UBS AG – SJM Holdings European Warrants Nov 2016 A 40,000,000 2014/12/24 2016/11/28 10.0018614 UBS AG – Wynn Macau European Warrants Sep 2015 A 40,000,000 2014/12/24 2015/09/29 10.0018636 BOCI Asia Ltd. – CAM CSI300 European Warrants Aug 2015 A 100,000,000 2014/12/29 2015/08/31 30.0018631 BOCI Asia Ltd. – CSOP A50 ETF European Warrants Dec 2015 B 100,000,000 2014/12/29 2015/12/14 25.0018632 BOCI Asia Ltd. – CSOP A50 ETF European Warrants Nov 2016 A 100,000,000 2014/12/29 2016/11/07 25.0018634 BOCI Asia Ltd. – A50 China European Warrants Nov 2015 A 100,000,000 2014/12/29 2015/11/30 23.0018633 BOCI Asia Ltd. – A50 China European Warrants Nov 2016 A 100,000,000 2014/12/29 2016/11/28 25.0018648 Credit Suisse AG – AIA European Warrants Nov 2015 A 80,000,000 2014/12/29 2015/11/23 12.0018649 Credit Suisse AG – CNOOC European Put Warrants Oct 2016 B 120,000,000 2014/12/29 2016/10/31 30.0018647 Credit Suisse AG – Kingsoft European Warrants Jun 2015 A 80,000,000 2014/12/29 2015/06/22 12.8018650 Credit Suisse AG – Lenovo European Warrants Jul 2016 A 130,000,000 2014/12/29 2016/07/25 19.5018644 HK Bank – AIA European Warrants Jun 2015 B 80,000,000 2014/12/29 2015/06/30 20.0018643 HK Bank – BYD European Warrants Jun 2015 A 50,000,000 2014/12/29 2015/06/30 15.0018642 HK Bank – China Mobile European Warrants Jun 2015 A 80,000,000 2014/12/29 2015/06/30 32.0018639 HK Bank – CSOP A50 ETF European Warrants Dec 2015 D 200,000,000 2014/12/29 2015/12/08 48.0018640 HK Bank – CSOP A50 ETF European Warrants Dec 2015 E 200,000,000 2014/12/29 2015/12/31 50.0018641 HK Bank – CSOP A50 ETF European Warrants Mar 2016 B 200,000,000 2014/12/29 2016/03/31 50.0018637 HK Bank – A50 China European Warrants Nov 2015 B 200,000,000 2014/12/29 2015/11/24 46.0018638 HK Bank – A50 China European Warrants Jun 2016 A 200,000,000 2014/12/29 2016/06/30 50.0018672 J P Morgan SP BV – BYD European Warrants Aug 2015 A 100,000,000 2014/12/29 2015/08/03 49.5018668 J P Morgan SP BV – Sinopec Corp European Warrants Aug 2015 A 100,000,000 2014/12/29 2015/08/04 25.5018669 J P Morgan SP BV – Ch Railway Cons European Wts May 2016 A 80,000,000 2014/12/29 2016/05/03 20.0818671 J P Morgan SP BV – CSOP A50 ETF European Warrants May 2016 A 300,000,000 2014/12/29 2016/05/03 75.0018670 J P Morgan SP BV – A50 China European Warrants Jul 2016 A 300,000,000 2014/12/29 2016/07/04 75.3018656 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Jan 2017 A 40,000,000 2014/12/29 2017/01/04 10.0018657 Macquarie Bank Ltd. – A50 China European Warrants Jan 2017 A 40,000,000 2014/12/29 2017/01/04 10.0018655 Macquarie Bank Ltd. – Geely Auto European Wts Oct 2015 A 35,000,000 2014/12/29 2015/10/05 10.5018654 Macquarie Bank Ltd. – Tencent European Warrants Jul 2015 C 20,000,000 2014/12/29 2015/07/03 11.7818664 Standard Chartered Bank – AIA European Warrants May 2015 A 100,000,000 2014/12/29 2015/05/11 22.0018663 Standard Chartered Bank – Ch Comm Cons Eur Wts Sep 2016 A 80,000,000 2014/12/29 2016/09/02 20.0018662 Standard Chartered Bank – China Railway Euro Wts Oct 2015 A 40,000,000 2014/12/29 2015/10/02 10.0018646 Standard Chartered Bank – A50 China Euro Warrants Nov 2015 A 200,000,000 2014/12/29 2015/11/24 52.0018653 Standard Chartered Bank – A50 China Euro Warrants Mar 2016 A 200,000,000 2014/12/29 2016/03/31 50.0018651 Standard Chartered Bank – A50 China Euro Warrants Sep 2016 A 200,000,000 2014/12/29 2016/09/30 50.0018658 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Aug 2015 B 150,000,000 2014/12/29 2015/08/05 26.2518659 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Aug16B 500,000,000 2014/12/29 2016/08/03 102.5018645 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Aug 2016B 500,000,000 2014/12/29 2016/08/03 75.0018660 SGA Societe Generale Acceptance N.V. – PICC P&C Eu Wt May16 A 100,000,000 2014/12/29 2016/05/04 19.0018665 SGA Societe Generale Acceptance N.V. – SJM Hold Eu Wt Nov16A 80,000,000 2014/12/29 2016/11/02 12.00

Main Board Warrants



18661 SGA Societe Generale Acceptance N.V. – Wynn Macau Eu Wt Aug15A 50,000,000 2014/12/29 2015/08/05 10.0018666 UBS AG – BYD European Warrants Jul 2015 B 50,000,000 2014/12/29 2015/07/27 25.0018667 UBS AG – Ch Comm Cons European Warrants Jul 2015 B 40,000,000 2014/12/29 2015/07/20 42.0018675 BOCI Asia Ltd. – HSI European Warrants May 2015 A 100,000,000 2014/12/30 2015/05/28 15.0018676 BOCI Asia Ltd. – HSI European Warrants Jul 2015 C 100,000,000 2014/12/30 2015/07/30 18.0018674 BOCI Asia Ltd. – HSI European Put Warrants Aug 2015 A 100,000,000 2014/12/30 2015/08/28 25.0018683 Credit Suisse AG – CSOP A50 ETF European Warrants Mar 2016 A 150,000,000 2014/12/30 2016/03/21 37.5018685 Credit Suisse AG – CSOP A50 ETF European Warrants Apr 2016 A 150,000,000 2014/12/30 2016/04/29 37.5018687 Credit Suisse AG – CSOP A50 ETF European Warrants Jul 2016 A 150,000,000 2014/12/30 2016/07/29 37.5018704 Credit Suisse AG – CSOP A50 ETF Euro Put Wts Nov 2015 B 100,000,000 2014/12/30 2015/11/30 18.0018705 Credit Suisse AG – CSOP A50 ETF Euro Put Wts May 2016 A 100,000,000 2014/12/30 2016/05/23 20.0018681 Credit Suisse AG – A50 China European Warrants Mar 2016 A 150,000,000 2014/12/30 2016/03/30 37.5018682 Credit Suisse AG – A50 China European Warrants Jul 2016 A 150,000,000 2014/12/30 2016/07/29 37.5018707 Credit Suisse AG – A50 China European Put Wts Mar 2016 B 100,000,000 2014/12/30 2016/03/30 25.0018706 Credit Suisse AG – A50 China European Put Wts Dec 2016 D 100,000,000 2014/12/30 2016/12/22 25.0018700 HK Bank – CRCC European Warrants Dec 2015 A 100,000,000 2014/12/30 2015/12/31 25.0018701 HK Bank – Geely Auto European Warrants Sep 2015 A 50,000,000 2014/12/30 2015/09/30 12.5018691 HK Bank – HSCEI European Warrants Sep 2015 B 180,000,000 2014/12/30 2015/09/29 27.0018692 HK Bank – HSCEI European Put Warrants Jun 2015 B 180,000,000 2014/12/30 2015/06/29 45.0018690 HK Bank – HSI European Warrants May 2015 E 180,000,000 2014/12/30 2015/05/28 27.0018703 HK Bank – HSI European Warrants Jun 2015 F 180,000,000 2014/12/30 2015/06/29 45.0018688 HK Bank – HSI European Put Warrants Jun 2015 D 180,000,000 2014/12/30 2015/06/29 45.0018689 HK Bank – HSI European Put Warrants Jun 2015 E 180,000,000 2014/12/30 2015/06/29 45.0018702 HK Bank – SJM Holdings European Warrants Sep 2016 A 100,000,000 2014/12/30 2016/09/30 25.0018715 J P Morgan SP BV – BYD European Warrants Aug 2015 B 100,000,000 2014/12/30 2015/08/03 35.4018713 J P Morgan SP BV – China Life European Warrants Dec 2015 C 100,000,000 2014/12/30 2015/12/01 15.0018716 J P Morgan SP BV – Li & Fung European Warrants Aug 2015 A 50,000,000 2014/12/30 2015/08/03 17.0018714 J P Morgan SP BV – Ping An European Put Warrants Jun 2015 C 150,000,000 2014/12/30 2015/06/04 51.9018711 Macquarie Bank Ltd. – Avichina European Warrants Oct 2015 A 30,000,000 2014/12/30 2015/10/05 10.0218698 Macquarie Bank Ltd. – BYD European Warrants Oct 2015 A 15,000,000 2014/12/30 2015/10/05 10.0118699 Macquarie Bank Ltd. – CRCC European Warrants Aug 2015 A 20,000,000 2014/12/30 2015/08/04 10.0018697 Macquarie Bank Ltd. – Tencent European Warrants Jul 2015 D 25,000,000 2014/12/30 2015/07/03 10.0018709 Standard Chartered Bank – BYD European Warrants Jan 2016 A 40,000,000 2014/12/30 2016/01/04 21.2018710 Standard Chartered Bank – China COSCO European Wt Jul 2015 A 40,000,000 2014/12/30 2015/07/03 13.2018678 Standard Chartered Bank – CRCC European Warrants Aug 2015 A 40,000,000 2014/12/30 2015/08/28 24.8018679 Standard Chartered Bank – CSOP A50 ETF Euro Wts Mar 2016 A 200,000,000 2014/12/30 2016/03/03 50.0018680 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jul 2016 A 200,000,000 2014/12/30 2016/07/27 50.0018708 Standard Chartered Bank – Geely Auto European Wts Sep 2015 A 40,000,000 2014/12/30 2015/09/18 10.0018677 Standard Chartered Bank – Galaxy Ent European Wts Jul 2015 A 80,000,000 2014/12/30 2015/07/02 17.6018693 SGA Societe Generale Acceptance NV – CSOP A50 Eu Put Wt Dec15A 400,000,000 2014/12/30 2015/12/02 70.0018694 SGA Societe Generale Acceptance NV – CSOP A50 Eu Put Wt Jan17B 400,000,000 2014/12/30 2017/01/04 90.0018695 SGA Societe Generale Acceptance N.V. – ZTE Eu Wt Dec 2015 A 80,000,000 2014/12/30 2015/12/09 12.0018719 BNP Paribas Arbit Issu B.V. – Geely Auto Euro Wts Aug 2015 A 50,000,000 2014/12/31 2015/08/04 12.5018721 BNP Paribas Arbit Issu B.V. – PICC Group Euro Wts Nov 2015 A 50,000,000 2014/12/31 2015/11/03 12.50

Main Board Warrants



18717 BNP Paribas Arbit Issu B.V. – Poly HK Inv Eur Wts Apr 2016 A 31,000,000 2014/12/31 2016/04/05 10.5418720 BNP Paribas Arbit Issu B.V. – SFCE European Wts Dec 2015 A 70,000,000 2014/12/31 2015/12/02 10.5018718 BNP Paribas Arbit Issu B.V. – Yuexiu Property Eu Wt Apr 16 A 47,000,000 2014/12/31 2016/04/05 11.7518740 Credit Suisse AG – Agricultural Bank European Wts Nov 2015 A 80,000,000 2014/12/31 2015/11/27 12.8018741 Credit Suisse AG – BOC HK European Warrants Oct 2015 A 70,000,000 2014/12/31 2015/10/30 10.5018744 Credit Suisse AG – CC Bank European Warrants Jun 2015 D 80,000,000 2014/12/31 2015/06/30 20.0018743 Credit Suisse AG – China Mobile European Warrants Jun 2015 B 80,000,000 2014/12/31 2015/06/30 32.0018746 Credit Suisse AG – CSOP A50 ETF European Warrants Jun 2015 C 80,000,000 2014/12/31 2015/06/30 80.0018749 Credit Suisse AG – CSOP A50 ETF Euro Put Wts Dec 2016 A 100,000,000 2014/12/31 2016/12/21 22.0018745 Credit Suisse AG – A50 China European Warrants Aug 2016 C 150,000,000 2014/12/31 2016/08/01 22.5018723 Credit Suisse AG – HSBC European Put Warrants Apr 2015 C 60,000,000 2014/12/31 2015/04/30 12.0018724 Credit Suisse AG – Ping An European Put Warrants Jun 2015 E 60,000,000 2014/12/31 2015/06/04 22.8018739 Credit Suisse AG – Sinopharm European Warrants Jul 2015 A 70,000,000 2014/12/31 2015/07/27 11.2018725 Credit Suisse AG – SHK Ppt European Warrants Apr 2015 A 80,000,000 2014/12/31 2015/04/30 17.6018728 Credit Suisse AG – SHK Ppt European Put Warrants Jun 2015 A 60,000,000 2014/12/31 2015/06/30 28.8018726 Credit Suisse AG – SHK Ppt European Put Warrants Aug 2017 A 100,000,000 2014/12/31 2017/08/01 18.0018742 Credit Suisse AG – Tencent Holdings European Wts Jun 2015 B 80,000,000 2014/12/31 2015/06/30 42.4018738 Credit Suisse AG – ZTE European Warrants Dec 2015 A 70,000,000 2014/12/31 2015/12/09 10.5018754 Bank of East Asia – Ch Comm Cons European Wts Dec 2015 A 80,000,000 2014/12/31 2015/12/31 20.0018755 Bank of East Asia – CM Bank European Warrants Apr 2016 A 50,000,000 2014/12/31 2016/04/29 12.5018756 Bank of East Asia – CM Bank European Put Warrants Mar 2016 A 50,000,000 2014/12/31 2016/03/30 12.5018753 Bank of East Asia – CNOOC European Warrants Jan 2016 A 80,000,000 2014/12/31 2016/01/06 16.0018752 Bank of East Asia – Kingsoft European Warrants Feb 2016 A 50,000,000 2014/12/31 2016/02/29 12.5018761 J P Morgan SP BV – CAM CSI300 European Warrants Aug 2015 B 100,000,000 2014/12/31 2015/08/04 25.4018763 J P Morgan SP BV – CC Bank Euro Put Wts Jun 2015 A 100,000,000 2014/12/31 2015/06/08 25.8018757 J P Morgan SP BV – CITIC Bank European Warrants Oct 2015 A 100,000,000 2014/12/31 2015/10/02 25.0018760 J P Morgan SP BV – HSCEI European Put Warrants Jun 2015 B 300,000,000 2014/12/31 2015/06/29 45.3018758 J P Morgan SP BV – Ping An European Warrants Jun 2015 D 100,000,000 2014/12/31 2015/06/04 35.7018762 J P Morgan SP BV – SHK Ppt European Warrants Aug 2015 A 60,000,000 2014/12/31 2015/08/04 15.3018751 Macquarie Bank Ltd. – China Taiping European Wts Aug 2015 A 40,000,000 2014/12/31 2015/08/04 10.0018750 Macquarie Bank Ltd. – Huaneng Power European Wts Aug 2015 A 25,000,000 2014/12/31 2015/08/04 10.6518722 SGA Societe Generale Acceptance N.V. – SHK P Eu Wt Jul 2015A 50,000,000 2014/12/31 2015/07/06 18.0018732 UBS AG – BOCL European Warrants Sep 2015 A 100,000,000 2014/12/31 2015/09/08 25.0018731 UBS AG – CM Bank European Warrants Feb 2016 A 100,000,000 2014/12/31 2016/02/11 25.0018734 UBS AG – Minsheng Bank European Warrants Jul 2015 B 40,000,000 2014/12/31 2015/07/20 15.2018729 UBS AG – CSOP A50 ETF European Warrants Jan 2017 A 300,000,000 2014/12/31 2017/01/16 75.0018730 UBS AG – A50 China European Warrants Apr 2017 A 300,000,000 2014/12/31 2017/04/24 75.0018736 UBS AG – HSI European Warrants Jul 2015 A 300,000,000 2014/12/31 2015/07/30 45.0018737 UBS AG – HSI European Warrants Jul 2015 B 300,000,000 2014/12/31 2015/07/30 45.0018733 UBS AG – ICBC European Warrants Sep 2015 A 100,000,000 2014/12/31 2015/09/21 25.0018735 UBS AG – SHK Ppt European Warrants May 2015 A 50,000,000 2014/12/31 2015/05/26 12.75Total 48,705.91

# Further issue

Main Board Debt Securities


Debt Securities Trading Statistics

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

2013 Q4 – 886.672014 Q1 – 695.99 Q2 – 711.36 Q3 – 3,414.81 Q4 – 1,264.59

Debt Securities Nominal Value

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

2013 Q4 403 1,378,794.082014 Q1 456 1,541,903.06 Q2 531 1,839,650.08 Q3 578 1,990,202.04 Q4 640 2,221,339.57

New Listing Statistics – Debt Securities

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

2013 Q4 48 190,108.732014 Q1 62 175,574.56 Q2 83 318,930.32 Q3 61 199,702.38 Q4 75 267,144.56



Newly Listed Debt Securitiesfor 4th quarter 2014

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

05807 Zhejiang Energy Group (Hong Kong) Ltd. 2.30% Bonds 2017 USD 300,000,000 2014/10/03 2017/09/30 2,336.5605808 Bank of Communications Co., Ltd. Tier 2 Capital Bonds 2024 USD 1,200,000,000 2014/10/06 2024/10/03 9,307.0205809 Bank of Communications Co., Ltd. Tier 2 Capital Bonds 2026 EUR 500,000,000 2014/10/06 2026/10/03 4,880.7705810 Geely Automobile Holdings Ltd. 5.25% Senior Notes 2019 USD 300,000,000 2014/10/07 2019/10/06 2,340.0005755 # China Agri-Products Exchange Ltd. 1% Notes 2024 HKD 120,000,000 2014/10/07 2024/09/30 –05755 # China Agri-Products Exchange Ltd. 1% Notes 2024 HKD 40,000,000 2014/10/08 2024/09/30 –05806 Far East Horizon Ltd. 4.25% Notes 2019 SGD 200,000,000 2014/10/09 2019/10/08 1,215.7605811 Sunshine 100 China Holdings Ltd. 12.75% Senior Notes 2017 USD 115,000,000 2014/10/09 2017/10/08 895.9105812 Huatai International Finance I Ltd. 3.625% Credit Enhanced Bonds 2019 USD 400,000,000 2014/10/09 2019/10/08 3,117.3285983 # Times Property Holdings Ltd. 10.375% Senior CNY Notes 2017 RMB 600,000,000 2014/10/15 2017/07/16 760.5585995 Bohai General Capital Ltd. 6.40% Guaranteed CNY Bonds 2017 RMB 1,000,000,000 2014/10/17 2017/10/16 1,266.3005813 Advance Wisdom Investments Ltd. 2.10% Guaranteed Notes 2017 USD 300,000,000 2014/10/17 2017/10/16 2,333.5205814 Greenland Global Investment Ltd. 3.50% Notes 2017 USD 500,000,000 2014/10/20 2017/10/17 3,868.6505815 Korean Reinsurance Co. Subordinated Capital Securities USD 200,000,000 2014/10/22 – 1,553.1005816 Dianjian Haixing Ltd. Senior Guaranteed Perpetual Securities USD 500,000,000 2014/10/22 – 3,900.0085996 Yunnan Energy Investment (Overseas) Co. Ltd. 5.50% CNY Bonds 2017 RMB 600,000,000 2014/10/22 2017/10/21 758.1205817 ENN Energy Holdings Ltd. 3.25% Bonds 2019 USD 400,000,000 2014/10/24 2019/10/23 3,104.4605818 Hebei Iron & Steel (Hong Kong) International Trade Co., Ltd. 2.75% USD 500,000,000 2014/10/28 2017/10/27 3,891.19 Credit Enhanced Notes 201705819 China Resources Land Ltd. 6.10% Notes 2029 HKD 3,500,000,000 2014/10/29 2029/10/28 3,500.0005821 Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2024 HKD 10,000,000 2014/10/29 2024/09/12 –05776 # CITIC Pacific Ltd. 4.70% Notes 2024 USD 90,000,000 2014/10/30 2024/01/18 725.8505820 CITIC Securities Finance MTN Co., Ltd. 3.50% Guar. Notes 2019 USD 650,000,000 2014/10/31 2019/10/30 5,067.2105822 King Power Capital Ltd. 3.875% Guaranteed Notes 2019 USD 300,000,000 2014/11/04 2019/11/03 2,339.0405823 King Power Capital Ltd. 5.625% Guaranteed Notes 2024 USD 700,000,000 2014/11/04 2024/11/03 5,428.2885997 Hong Kong Aviation Ltd. 7.50% Guaranteed CNY Notes 2016 RMB 800,000,000 2014/11/05 2016/11/04 1,012.1505821 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2024 HKD 50,000,000 2014/11/06 2024/09/12 –05824 New World China Land Ltd. 5.375% Notes 2019 USD 900,000,000 2014/11/07 2019/11/06 6,997.2604224 The Govt of the HKSAR of the PRC 0.83% Bonds 2017 HKD 3,000,000,000 2014/11/07 2017/11/06 2,986.8005825 China Oil And Gas Group Ltd. 5.00% Senior Notes 2020 USD 300,000,000 2014/11/10 2020/05/07 2,340.0085998 China Construction Bank Corporation Tier 2 Dated Capital CNY B2024 RMB 2,000,000,000 2014/11/13 2024/11/12 2,532.0005827 SDSC International Finance Ltd. 3.625% Credit Enhanced Bonds 2019 USD 200,000,000 2014/11/13 2019/11/12 1,552.8105826 Nexteer Automotive Group Ltd. 5.875% Senior Notes 2021 USD 250,000,000 2014/11/14 2021/11/15 1,950.0005828 Bank of China Ltd. 5.00% Tier 2 Capital Notes 2024 USD 3,000,000,000 2014/11/14 2024/11/13 23,303.5805829 Double Rosy Ltd. 3.625% Guaranteed Notes 2019 USD 800,000,000 2014/11/19 2019/11/18 6,208.3685999 China Construction Bank (Asia) Corporation Ltd. 3.30% CNY Notes 2016 RMB 700,000,000 2014/11/19 2016/11/18 886.4186000 China Construction Bank (Asia) Corporation Ltd. 3.75% CNY Notes 2019 RMB 1,000,000,000 2014/11/19 2019/11/18 1,266.3085700 China Construction Bank (Asia) Corporation Ltd. 3.95% CNY Notes 2021 RMB 1,000,000,000 2014/11/19 2021/11/18 1,266.3085701 China Construction Bank (Asia) Corporation Ltd. 4.08 % CNY Notes 2024 RMB 600,000,000 2014/11/19 2024/11/18 759.7805830 Hong Kong Mortgage Corporation Ltd., The FR Notes 2015 GBP 100,000,000 2014/11/19 2015/11/18 1,212.50




85946 # Universal Number One Co., Ltd. 5.70% Guar. Secured CNY Bonds 2017 RMB 600,000,000 2014/11/19 2017/01/29 760.2085995 # Bohai General Capital Ltd. 6.40% Guaranteed CNY Bonds 2017 RMB 500,000,000 2014/11/19 2017/10/16 633.5005821 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2024 HKD 40,000,000 2014/11/19 2024/09/12 –85702 China High Speed Transmission Equipment Group Co., Ltd. 8.30% RMB 650,000,000 2014/11/20 2017/11/19 819.26 Guar. CNY Bonds 201785703 Wanhua Chemcial International Holding Co., Ltd. 4.50% Guar. CNY Bonds 2017 RMB 1,000,000,000 2014/11/20 2017/11/19 1,267.0004056 Hong Kong Monetary Authority 0.37% Exchange Fund Notes 2016 HKD 1,200,000,000 2014/11/20 2016/11/21 1,199.4005831 Eastern Creation II Investment Holdings Ltd. 2.625% Guar. Notes 2017 USD 700,000,000 2014/11/21 2017/11/20 5,451.7005832 Eastern Creation II Investment Holdings Ltd. 3.25% Guar. Notes 2020 USD 300,000,000 2014/11/21 2020/01/20 2,334.2205833 Bank of East Asia, Ltd., The Tier 2 Capital Dated Subordinated Notes 2024 USD 500,000,000 2014/11/21 2024/11/20 3,884.7185704 China Singyes Solar Technologies Holdings Ltd. 7.875% Senior CNY Notes 2017 RMB 560,000,000 2014/11/24 2017/11/21 706.9286622 Ministry of Finance of the PRC 2.74% CNY Bonds 2017 RMB 4,000,000,000 2014/11/24 2017/11/21 5,066.0086623 Ministry of Finance of the PRC 3.00% CNY Bonds 2019 RMB 3,000,000,000 2014/11/24 2019/11/21 3,799.5086624 Ministry of Finance of the PRC 3.38% CNY Bonds 2024 RMB 2,000,000,000 2014/11/24 2024/11/21 2,533.0005834 CNPC General Capital Ltd. 1.95% Guaranteed Notes 2017A USD 500,000,000 2014/11/26 2017/11/25 3,890.7605835 CNPC General Capital Ltd. FR Guaranteed Notes 2017B USD 300,000,000 2014/11/26 2017/11/25 2,340.0005836 CNPC General Capital Ltd. 2.70% Guaranteed Notes 2019 USD 700,000,000 2014/11/26 2019/11/25 5,430.9085705 Orient Hongsheng Ltd. 6.50% Guaranteed CNY Bonds 2017 RMB 900,000,000 2014/11/27 2017/11/26 1,137.4285706 Yufu Eternity Ltd. 5.625% Guaranteed CNY Notes 2017 RMB 500,000,000 2014/11/27 2017/11/26 631.9005837 Amipeace Ltd. 2.375% Guaranteed Notes 2017 USD 300,000,000 2014/11/27 2017/11/26 2,336.2305838 Amipeace Ltd. 3.125% Guaranteed Notes 2019 USD 300,000,000 2014/11/27 2019/11/26 2,326.9205839 HC International, Inc. 5.00% Convertible Bonds 2019 HKD 780,000,000 2014/11/28 2019/11/27 780.0005840 Alibaba Group Holding Ltd. Floating Rate Senior Notes 2017A USD 300,000,000 2014/12/01 2017/11/28 2,340.0005841 Alibaba Group Holding Ltd. 1.625% Senior Notes 2017B USD 1,000,000,000 2014/12/01 2017/11/28 7,791.3405842 Alibaba Group Holding Ltd. 2.50% Senior Notes 2019 USD 2,250,000,000 2014/12/01 2019/11/28 17,482.9505843 Alibaba Group Holding Ltd. 3.125% Senior Notes 2021 USD 1,500,000,000 2014/12/01 2021/11/28 11,648.2805844 Alibaba Group Holding Ltd. 3.60% Senior Notes 2024 USD 2,250,000,000 2014/12/01 2024/11/28 17,517.8905845 Alibaba Group Holding Ltd. 4.50% Senior Notes 2034 USD 700,000,000 2014/12/01 2034/11/28 5,429.3705846 Yuexiu Property Co. Ltd. 6.10% Notes 2029 HKD 2,300,000,000 2014/12/01 2029/11/28 2,300.0005847 Huayi Finance I Ltd. 4.00% Guaranteed Notes 2019 USD 350,000,000 2014/12/03 2019/12/02 2,721.9205848 Central Plaza Development Ltd. 7.125% Senior Perpetual Capital Securities USD 450,000,000 2014/12/03 – 3,510.0005849 CDBL Funding 1 3.25% Guaranteed Notes 2019 USD 250,000,000 2014/12/03 2019/12/02 1,939.6705850 CDBL Funding 1 4.25% Guaranteed Notes 2024 USD 400,000,000 2014/12/03 2024/12/02 3,091.6785707 Carnival Group International Holdings Ltd. 11.50% Senior CNY Bonds 2016 RMB 500,000,000 2014/12/05 2016/12/04 630.2504057 Hong Kong Monetary Authority 1.84% Exchange Fund Notes 2024 HKD 800,000,000 2014/12/09 2024/12/09 806.4005851 Logan Property Holdings Co. Ltd. 9.75% Senior Notes 2017 USD 250,000,000 2014/12/09 2017/12/08 1,950.0005853 Yuzhou Properties Co. Ltd. 9.00% Senior Notes 2019 USD 250,000,000 2014/12/09 2019/12/08 1,950.0005852 Agricultural Bank of China Ltd. HK Branch 2.25% Notes 2017 USD 500,000,000 2014/12/10 2017/12/09 3,887.6405854 Chinalco Finance Holdings Ltd. 3.625% Credit Enhanced Bonds 2019 USD 500,000,000 2014/12/12 2019/12/11 3,881.8305855 Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2031 HKD 20,000,000 2014/12/12 2031/11/14 –




85708 Zhuhai Da Heng Qin Investment Co., Ltd. 4.75% RMB 1,500,000,000 2014/12/12 2017/12/11 1,882.50 Credit Enchanced CNY Bonds 201786625 Ministry of Finance of the PRC 2.93% CNY Bonds 2016 RMB 3,000,000,000 2014/12/12 2016/12/11 3,765.0005811 # Sunshine 100 China Holdings Ltd. 12.75% Senior Notes 2017 USD 100,000,000 2014/12/15 2017/10/08 788.7485709 Golden Wheel Tiandi Holdings Co. Ltd. 10.80% Senior CNY Notes 2017 RMB 300,000,000 2014/12/17 2017/12/16 375.7505795 # Charming Light Investments Ltd. 3.75% Guaranteed Notes 2019 USD 500,000,000 2014/12/19 2019/09/03 3,838.4605855 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2031 HKD 40,000,000 2014/12/22 2031/11/14 –04058 Hong Kong Monetary Authority 1.32% Exchange Fund Notes 2019 HKD 1,000,000,000 2014/12/23 2019/12/23 997.3004034 # Hong Kong Monetary Authority 0.27% Exchange Fund Notes 2017 HKD 1,200,000,000 2014/12/23 2017/12/18 1,177.4485710 Jingneng Clean Energy Investment Holdings Ltd. 4.30% RMB 1,000,000,000 2014/12/24 2017/12/23 1,246.80 Senior Guar CNY Bonds 2017Total 267,144.56

# 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 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 Q4 516,125.20 24,602.84 100.91 540,828.95 10.88

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 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 Q4 122 559,491.12 11 205,636.83 1 1,764.52 134 766,892.47

New Listing Unit Trust and Mutual Funds Statistics

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

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

Main Board Unit Trusts and Mutual Funds


Newly Listed Unit Trust and Mutual Fundsfor 4th 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

03141 BMO Asia USD Investment BMO Global Asset Management n.a. n.a. n.a. n.a. 2014/11/13 Grade Bond ETF (Asia) Limited03143 BMO Hong Kong Banks ETF BMO Global Asset Management n.a. n.a. n.a. n.a. 2014/11/13 (Asia) Limited03145 BMO Asia High Dividend ETF BMO Global Asset Management n.a. n.a. n.a. n.a. 2014/11/13 (Asia) Limited

Main Board Callable Bull/Bear Contracts


Callable Bull/Bear Contracts Trading Statistics Number Market value Turnover value (HK$ mil.) (HK$ mil.)2013 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 Q4 1,579 55,419.48 336,442.50

New Listings Callable Bull/Bear Contracts Statistics No. of newly listed CBBC Amount raised (HK$ mil.)2013 Q4 2,156 112,648.012014 Q1 3,115 146,272.13 Q2 2,079 93,001.85 Q3 2,307 111,530.32 Q4 2,482 122,022.54



Newly Listed Callable Bull/Bear Contractsfor 4th quarter 2014 No. of Amount raisedCode Callable Bull/Bear Contracts issue (units) Listing date Expiry (HK$ mil.)

68285 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 K 200,000,000 2014/10/03 2015/06/29 50.0068286 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 B 200,000,000 2014/10/03 2015/03/30 50.0068294 Credit Suisse AG – HSI R Bull CBBC May 2015 U 238,000,000 2014/10/03 2015/05/28 59.5068295 Credit Suisse AG – HSI R Bull CBBC May 2015 V 238,000,000 2014/10/03 2015/05/28 59.5068300 Credit Suisse AG – HSI R Bull CBBC May 2015 W 238,000,000 2014/10/03 2015/05/28 59.5068289 Credit Suisse AG – HSI R Bear CBBC Jan 2015 F 238,000,000 2014/10/03 2015/01/29 59.5068290 Credit Suisse AG – HSI R Bear CBBC Jan 2015 N 238,000,000 2014/10/03 2015/01/29 59.5068250 HK Bank – Sinopec Corp R Bear CBBC Sep 2015 A 40,000,000 2014/10/03 2015/09/29 10.0068245 HK Bank – HKEx R Bear CBBC Jun 2015 B 50,000,000 2014/10/03 2015/06/29 12.5068265 HK Bank – TCH R Bear CBBC Jul 2015 F 100,000,000 2014/10/03 2015/07/27 25.0068243 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 R 300,000,000 2014/10/03 2015/07/30 75.0068244 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 U 300,000,000 2014/10/03 2015/02/26 75.0068293 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 B 50,000,000 2014/10/03 2015/02/26 12.5068281 Standard Chartered Bank – Sinopec Corp R Bear CBBC Mar 2015A 80,000,000 2014/10/03 2015/03/27 20.0068283 Standard Chartered Bank – HKEx R Bull CBBC Apr 2015 B 80,000,000 2014/10/03 2015/04/01 20.0068282 Standard Chartered Bank – HKEx R Bear CBBC Mar 2015 B 80,000,000 2014/10/03 2015/03/02 20.0068284 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 E 100,000,000 2014/10/03 2015/02/26 25.0068291 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 V 200,000,000 2014/10/03 2015/04/29 50.0068274 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 F 200,000,000 2014/10/03 2015/05/28 50.0068276 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 G 200,000,000 2014/10/03 2015/05/28 50.0068269 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 G 200,000,000 2014/10/03 2015/06/29 50.0068273 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 H 200,000,000 2014/10/03 2015/06/29 50.0068268 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 C 200,000,000 2014/10/03 2015/07/30 50.0068272 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 D 200,000,000 2014/10/03 2015/07/30 50.0068277 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 M 200,000,000 2014/10/03 2015/01/29 50.0068292 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 C 400,000,000 2014/10/03 2015/03/30 100.0068302 UBS AG – HSI R Bull CBBC Feb 2015 X 350,000,000 2014/10/03 2015/02/26 87.5068301 UBS AG – HSI R Bull CBBC Apr 2015 K 300,000,000 2014/10/03 2015/04/29 75.0068288 UBS AG – HSI R Bear CBBC Jan 2015 I 300,000,000 2014/10/03 2015/01/29 75.0068287 UBS AG – HSI R Bear CBBC Jan 2015 K 300,000,000 2014/10/03 2015/01/29 75.0068402 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 C 200,000,000 2014/10/06 2015/03/30 50.0068338 Credit Suisse AG – China Mobile R Bear CBBC Feb 2015 D 50,000,000 2014/10/06 2015/02/27 12.5068344 Credit Suisse AG – HSI R Bull CBBC Apr 2015 B 238,000,000 2014/10/06 2015/04/29 59.5068339 Credit Suisse AG – HSI R Bull CBBC Apr 2015 F 238,000,000 2014/10/06 2015/04/29 59.5068346 Credit Suisse AG – HSI R Bear CBBC Feb 2015 C 238,000,000 2014/10/06 2015/02/26 59.5068345 Credit Suisse AG – HSI R Bear CBBC Feb 2015 F 238,000,000 2014/10/06 2015/02/26 59.5068334 Credit Suisse AG – TCH R Bear CBBC Jan 2015 D 50,000,000 2014/10/06 2015/01/30 12.5068390 Citigroup Global Mkt H Inc. – China Life R Bull CBBC Jul15 A 50,000,000 2014/10/06 2015/07/07 12.5068393 Citigroup Global Mkt H Inc. – Hutchison R Bear CBBC Apr 15 A 60,000,000 2014/10/06 2015/04/20 15.0068400 Citigroup Global Mkt H Inc. – Hutchison R Bear CBBC Apr 15 B 60,000,000 2014/10/06 2015/04/20 15.0068388 Citigroup Global Mkt H Inc. – Ping An R Bear CBBC Apr 2015 B 80,000,000 2014/10/06 2015/04/22 20.0068319 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 B 150,000,000 2014/10/06 2015/01/29 38.5568327 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 C 150,000,000 2014/10/06 2015/01/29 39.15



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

68332 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 D 150,000,000 2014/10/06 2015/01/29 38.1068333 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 E 150,000,000 2014/10/06 2015/01/29 38.4068380 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 F 150,000,000 2014/10/06 2015/01/29 49.9568316 HK Bank – CSOP A50 ETF R Bull CBBC May 2015 D 200,000,000 2014/10/06 2015/05/18 50.0068310 HK Bank – A50 R Bull CBBC May 2015 D 200,000,000 2014/10/06 2015/05/18 50.0068303 HK Bank – HSI R Bull CBBC Jun 2015 H 100,000,000 2014/10/06 2015/06/29 25.0068377 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 D 300,000,000 2014/10/06 2015/06/29 75.0068378 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 S 300,000,000 2014/10/06 2015/07/30 75.0068379 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 V 300,000,000 2014/10/06 2015/02/26 75.0068355 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 N 100,000,000 2014/10/06 2015/08/28 25.0068375 UBS AG – Galaxy Ent R Bull CBBC Oct 2015 B 50,000,000 2014/10/06 2015/10/26 12.5068376 UBS AG – HSBC R Bull CBBC Sep 2015 C 100,000,000 2014/10/06 2015/09/14 25.0068341 UBS AG – HSI R Bull CBBC Mar 2015 H 300,000,000 2014/10/06 2015/03/30 75.0068340 UBS AG – HSI R Bull CBBC Jun 2015 F 300,000,000 2014/10/06 2015/06/29 75.0068374 UBS AG – HSI R Bear CBBC Jan 2015 R 300,000,000 2014/10/06 2015/01/29 75.0068360 UBS AG – HSI R Bear CBBC Feb 2015 M 300,000,000 2014/10/06 2015/02/26 75.0068404 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 G 200,000,000 2014/10/07 2015/06/29 50.0068406 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 H 200,000,000 2014/10/07 2015/06/29 50.0068561 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 D 200,000,000 2014/10/07 2015/03/30 50.0068495 Credit Suisse AG – HSI R Bull CBBC Jun 2015 R 238,000,000 2014/10/07 2015/06/29 59.5068499 Credit Suisse AG – HSI R Bull CBBC Jun 2015 S 238,000,000 2014/10/07 2015/06/29 59.5068515 Credit Suisse AG – HSI R Bull CBBC Jun 2015 T 238,000,000 2014/10/07 2015/06/29 59.5068543 Credit Suisse AG – HSI R Bull CBBC Jul 2015 G 238,000,000 2014/10/07 2015/07/30 59.5068548 Credit Suisse AG – HSI R Bull CBBC Jul 2015 H 238,000,000 2014/10/07 2015/07/30 59.5068575 Credit Suisse AG – HSI R Bear CBBC Feb 2015 G 238,000,000 2014/10/07 2015/02/26 59.5068576 Credit Suisse AG – HSI R Bear CBBC Feb 2015 O 238,000,000 2014/10/07 2015/02/26 59.5068555 Credit Suisse AG – HSI R Bear CBBC Jun 2015 A 238,000,000 2014/10/07 2015/06/29 59.5068556 Credit Suisse AG – HSI R Bear CBBC Jun 2015 B 238,000,000 2014/10/07 2015/06/29 59.5068587 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15S 80,000,000 2014/10/07 2015/04/24 20.0068598 Citigroup Global Mkt H Inc. – China Mobile R Bear CBBC Apr15T 80,000,000 2014/10/07 2015/04/24 20.0068584 Citigroup Global Mkt H Inc. – HSBC R Bear CBBC Apr 2015 C 80,000,000 2014/10/07 2015/04/15 20.0068565 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 D 150,000,000 2014/10/07 2015/01/29 39.0068574 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 G 150,000,000 2014/10/07 2015/01/29 39.7568429 HK Bank – China Mobile R Bear CBBC Jul 2015 H 60,000,000 2014/10/07 2015/07/06 15.0068438 HK Bank – Cheung Kong R Bear CBBC Jul 2015 B 50,000,000 2014/10/07 2015/07/06 12.5068426 HK Bank – Galaxy Ent R Bear CBBC Jul 2015 C 60,000,000 2014/10/07 2015/07/06 15.0068421 HK Bank – HSI R Bear CBBC May 2015 K 100,000,000 2014/10/07 2015/05/28 25.0068415 HK Bank – HSI R Bear CBBC Jul 2015 C 100,000,000 2014/10/07 2015/07/30 25.0068428 HK Bank – Ping An R Bull CBBC Oct 2015 A 60,000,000 2014/10/07 2015/10/26 15.0068427 HK Bank – Ping An R Bear CBBC Apr 2015 A 40,000,000 2014/10/07 2015/04/29 10.0068414 HK Bank – TCH R Bear CBBC Jul 2015 G 100,000,000 2014/10/07 2015/07/16 25.0068442 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 B 300,000,000 2014/10/07 2015/06/29 75.0068439 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 T 300,000,000 2014/10/07 2015/07/30 75.0068580 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 U 300,000,000 2014/10/07 2015/07/30 75.0068563 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 W 300,000,000 2014/10/07 2015/02/26 75.00




68557 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 C 50,000,000 2014/10/07 2015/02/26 13.0068559 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 D 50,000,000 2014/10/07 2015/02/26 12.5068560 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 E 50,000,000 2014/10/07 2015/02/26 12.7568447 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 O 100,000,000 2014/10/07 2015/08/28 25.0068452 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 A 100,000,000 2014/10/07 2015/10/29 25.0068451 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 I 100,000,000 2014/10/07 2015/02/26 25.0068492 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 F 200,000,000 2014/10/07 2015/04/29 50.0068488 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 X 200,000,000 2014/10/07 2015/04/29 50.0068489 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 Y 200,000,000 2014/10/07 2015/04/29 50.0068491 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 Z 200,000,000 2014/10/07 2015/04/29 50.0068481 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 I 200,000,000 2014/10/07 2015/06/29 50.0068485 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 J 200,000,000 2014/10/07 2015/06/29 50.0068466 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 E 200,000,000 2014/10/07 2015/07/30 50.0068484 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 F 200,000,000 2014/10/07 2015/07/30 50.0068493 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 N 200,000,000 2014/10/07 2015/01/29 50.0068562 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 O 200,000,000 2014/10/07 2015/01/29 50.0068535 UBS AG – HSI R Bull CBBC Mar 2015 K 350,000,000 2014/10/07 2015/03/30 87.5068534 UBS AG – HSI R Bull CBBC May 2015 L 300,000,000 2014/10/07 2015/05/28 75.0068577 UBS AG – HSI R Bear CBBC Feb 2015 N 300,000,000 2014/10/07 2015/02/26 75.0068578 UBS AG – HSI R Bear CBBC Feb 2015 O 300,000,000 2014/10/07 2015/02/26 75.0068849 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 L 200,000,000 2014/10/08 2015/06/29 50.0068862 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 M 200,000,000 2014/10/08 2015/06/29 50.0068867 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 N 200,000,000 2014/10/08 2015/06/29 50.0068922 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 O 200,000,000 2014/10/08 2015/06/29 50.0068905 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 W 200,000,000 2014/10/08 2015/06/29 50.0069205 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 E 200,000,000 2014/10/08 2015/03/30 50.0069206 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 F 200,000,000 2014/10/08 2015/03/30 50.0069210 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 G 200,000,000 2014/10/08 2015/03/30 50.0069247 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 H 200,000,000 2014/10/08 2015/03/30 50.0068811 Credit Suisse AG – HSI R Bull CBBC May 2015 A 238,000,000 2014/10/08 2015/05/28 59.5068833 Credit Suisse AG – HSI R Bull CBBC May 2015 B 238,000,000 2014/10/08 2015/05/28 59.5068778 Credit Suisse AG – HSI R Bull CBBC May 2015 X 238,000,000 2014/10/08 2015/05/28 59.5068787 Credit Suisse AG – HSI R Bull CBBC May 2015 Y 238,000,000 2014/10/08 2015/05/28 59.5068803 Credit Suisse AG – HSI R Bull CBBC May 2015 Z 238,000,000 2014/10/08 2015/05/28 59.5069608 Credit Suisse AG – HSI R Bull CBBC Jun 2015 U 238,000,000 2014/10/08 2015/06/29 59.5069555 Credit Suisse AG – HSI R Bear CBBC Feb 2015 D 238,000,000 2014/10/08 2015/02/26 59.5069531 Credit Suisse AG – HSI R Bear CBBC Feb 2015 P 238,000,000 2014/10/08 2015/02/26 59.5069533 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Q 238,000,000 2014/10/08 2015/02/26 59.5069556 Credit Suisse AG – HSI R Bear CBBC Feb 2015 V 238,000,000 2014/10/08 2015/02/26 59.5069586 Credit Suisse AG – HSI R Bear CBBC Mar 2015 M 238,000,000 2014/10/08 2015/03/30 59.5069607 Credit Suisse AG – HSI R Bear CBBC Mar 2015 N 238,000,000 2014/10/08 2015/03/30 59.5069417 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 E 150,000,000 2014/10/08 2015/01/29 37.5069461 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 F 150,000,000 2014/10/08 2015/01/29 37.8069423 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 H 150,000,000 2014/10/08 2015/01/29 38.2568617 HK Bank – Anhui Conch R Bull CBBC Dec 2015 A 50,000,000 2014/10/08 2015/12/18 12.50




68611 HK Bank – Sinopec Corp R Bull CBBC Oct 2015 A 80,000,000 2014/10/08 2015/10/26 20.0068606 HK Bank – HSI R Bull CBBC Jun 2015 I 100,000,000 2014/10/08 2015/06/29 25.0068607 HK Bank – HSI R Bear CBBC May 2015 L 100,000,000 2014/10/08 2015/05/28 25.0068608 HK Bank – HSI R Bear CBBC May 2015 M 400,000,000 2014/10/08 2015/05/28 100.0068609 HK Bank – HSI R Bear CBBC May 2015 N 400,000,000 2014/10/08 2015/05/28 100.0068610 HK Bank – HSI R Bear CBBC May 2015 O 400,000,000 2014/10/08 2015/05/28 100.0068605 HK Bank – TCH R Bull CBBC Jul 2015 G 100,000,000 2014/10/08 2015/07/06 25.0068629 HK Bank – TCH R Bull CBBC Jul 2015 H 100,000,000 2014/10/08 2015/07/13 25.0068613 HK Bank – TCH R Bear CBBC Jul 2015 H 100,000,000 2014/10/08 2015/07/23 25.0068691 J P Morgan SP BV – HSI R Bull CBBC May 2015 C 300,000,000 2014/10/08 2015/05/28 75.0068664 J P Morgan SP BV – HSI R Bull CBBC May 2015 Z 300,000,000 2014/10/08 2015/05/28 75.0068632 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 K 300,000,000 2014/10/08 2015/06/29 75.0068665 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 L 300,000,000 2014/10/08 2015/06/29 75.0068680 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 M 300,000,000 2014/10/08 2015/06/29 75.0068649 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 V 300,000,000 2014/10/08 2015/07/30 75.0068689 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 W 300,000,000 2014/10/08 2015/07/30 75.0069645 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/10/08 2015/02/26 75.0069646 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/10/08 2015/02/26 75.0068923 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 B 100,000,000 2014/10/08 2015/10/29 25.0068990 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 C 100,000,000 2014/10/08 2015/10/29 25.0069163 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 D 100,000,000 2014/10/08 2015/10/29 25.0069107 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 B 100,000,000 2014/10/08 2015/02/26 25.0069129 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 F 100,000,000 2014/10/08 2015/02/26 25.0068756 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 H 200,000,000 2014/10/08 2015/05/28 50.0068757 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 I 200,000,000 2014/10/08 2015/05/28 50.0068763 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 J 200,000,000 2014/10/08 2015/05/28 50.0068742 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 K 200,000,000 2014/10/08 2015/06/29 50.0068693 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 G 200,000,000 2014/10/08 2015/07/30 50.0068743 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 H 400,000,000 2014/10/08 2015/07/30 100.0068744 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 I 400,000,000 2014/10/08 2015/07/30 100.0069166 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 P 200,000,000 2014/10/08 2015/01/29 50.0069180 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 Q 200,000,000 2014/10/08 2015/01/29 50.0069189 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 R 200,000,000 2014/10/08 2015/01/29 50.0069190 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 S 200,000,000 2014/10/08 2015/01/29 50.0069202 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 D 400,000,000 2014/10/08 2015/03/30 100.0069204 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 E 400,000,000 2014/10/08 2015/03/30 100.0069105 UBS AG – HSI R Bull CBBC Mar 2015 I 350,000,000 2014/10/08 2015/03/30 87.5069087 UBS AG – HSI R Bull CBBC Apr 2015 L 300,000,000 2014/10/08 2015/04/29 75.0069088 UBS AG – HSI R Bull CBBC Apr 2015 M 300,000,000 2014/10/08 2015/04/29 75.0069014 UBS AG – HSI R Bull CBBC May 2015 M 300,000,000 2014/10/08 2015/05/28 75.0069064 UBS AG – HSI R Bull CBBC May 2015 N 300,000,000 2014/10/08 2015/05/28 75.0069063 UBS AG – HSI R Bull CBBC Jun 2015 G 300,000,000 2014/10/08 2015/06/29 75.0069071 UBS AG – HSI R Bull CBBC Jun 2015 H 300,000,000 2014/10/08 2015/06/29 75.0069086 UBS AG – HSI R Bull CBBC Jun 2015 I 300,000,000 2014/10/08 2015/06/29 75.0069291 UBS AG – HSI R Bear CBBC Jan 2015 S 300,000,000 2014/10/08 2015/01/29 75.00




69396 UBS AG – HSI R Bear CBBC Jan 2015 T 300,000,000 2014/10/08 2015/01/29 75.0069277 UBS AG – HSI R Bear CBBC Feb 2015 P 300,000,000 2014/10/08 2015/02/26 75.0069351 UBS AG – HSI R Bear CBBC Feb 2015 Q 300,000,000 2014/10/08 2015/02/26 75.0069905 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 P 200,000,000 2014/10/09 2015/06/29 50.0069916 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Q 200,000,000 2014/10/09 2015/06/29 50.0060129 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 I 200,000,000 2014/10/09 2015/03/30 50.0060130 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 J 200,000,000 2014/10/09 2015/03/30 50.0060131 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 K 200,000,000 2014/10/09 2015/03/30 50.0060083 Credit Suisse AG – HKEx R Bear CBBC Feb 2015 D 50,000,000 2014/10/09 2015/02/27 12.5060089 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/10/09 2015/05/28 59.5060091 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/10/09 2015/05/28 59.5060092 Credit Suisse AG – HSI R Bull CBBC May 2015 E 238,000,000 2014/10/09 2015/05/28 59.5060217 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/10/09 2015/05/28 59.5060220 Credit Suisse AG – HSI R Bear CBBC Mar 2015 O 238,000,000 2014/10/09 2015/03/30 59.5060224 Credit Suisse AG – HSI R Bear CBBC Mar 2015 P 238,000,000 2014/10/09 2015/03/30 59.5060225 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Q 238,000,000 2014/10/09 2015/03/30 59.5060227 Credit Suisse AG – HSI R Bear CBBC Mar 2015 R 238,000,000 2014/10/09 2015/03/30 59.5060236 Credit Suisse AG – HSI R Bear CBBC Mar 2015 S 238,000,000 2014/10/09 2015/03/30 59.5060237 Credit Suisse AG – HSI R Bear CBBC Mar 2015 T 238,000,000 2014/10/09 2015/03/30 59.5060238 Credit Suisse AG – HSI R Bear CBBC Mar 2015 U 238,000,000 2014/10/09 2015/03/30 59.5060218 Credit Suisse AG – HSI R Bear CBBC Jun 2015 C 238,000,000 2014/10/09 2015/06/29 59.5060082 Credit Suisse AG – TCH R Bear CBBC Feb 2015 E 50,000,000 2014/10/09 2015/02/27 12.5060168 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15H 80,000,000 2014/10/09 2015/06/05 20.0060189 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Jun15 A 60,000,000 2014/10/09 2015/06/12 15.0060192 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Jun15 B 60,000,000 2014/10/09 2015/06/12 15.0060195 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Jun15 C 60,000,000 2014/10/09 2015/06/12 15.0060196 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Jun15 D 60,000,000 2014/10/09 2015/06/12 15.0060186 Citigroup Global Mkt H Inc. – Galaxy Ent R Bear CBBC Apr15 C 60,000,000 2014/10/09 2015/04/17 15.0060187 Citigroup Global Mkt H Inc. – Galaxy Ent R Bear CBBC Apr15 D 60,000,000 2014/10/09 2015/04/17 15.0060181 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 G 50,000,000 2014/10/09 2015/05/04 13.0060182 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 H 50,000,000 2014/10/09 2015/05/04 14.5060183 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 I 50,000,000 2014/10/09 2015/05/04 16.0060169 Citigroup Global Mkt H Inc. – HKEx R Bear CBBC Apr 2015 A 50,000,000 2014/10/09 2015/04/17 12.5060170 Citigroup Global Mkt H Inc. – HKEx R Bear CBBC Apr 2015 B 50,000,000 2014/10/09 2015/04/17 12.5060171 Citigroup Global Mkt H Inc. – HKEx R Bear CBBC Apr 2015 C 50,000,000 2014/10/09 2015/04/17 12.5060173 Citigroup Global Mkt H Inc. – HKEx R Bear CBBC Apr 2015 D 50,000,000 2014/10/09 2015/04/17 12.5060184 Citigroup Global Mkt H Inc. – Hutchison R Bear CBBC May 15 A 60,000,000 2014/10/09 2015/05/08 15.0060185 Citigroup Global Mkt H Inc. – Hutchison R Bear CBBC May 15 B 60,000,000 2014/10/09 2015/05/08 15.0060144 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 F 200,000,000 2014/10/09 2015/04/30 50.0060146 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 G 200,000,000 2014/10/09 2015/04/30 50.0060147 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 H 200,000,000 2014/10/09 2015/04/30 50.0060150 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 I 200,000,000 2014/10/09 2015/04/30 50.0060167 Citigroup Global Mkt H Inc. – TCH R Bear CBBC Apr 2015 J 200,000,000 2014/10/09 2015/04/30 50.0060135 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 G 150,000,000 2014/10/09 2015/01/29 37.5060141 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 H 150,000,000 2014/10/09 2015/01/29 37.95




60138 Goldman Sachs SP (Asia) – HSI R Bear CBBC Feb 2015 A 150,000,000 2014/10/09 2015/02/26 37.6569790 HK Bank – Cheung Kong R Bull CBBC Jun 2015 C 60,000,000 2014/10/09 2015/06/29 15.0069792 HK Bank – Cheung Kong R Bull CBBC Jul 2015 B 60,000,000 2014/10/09 2015/07/06 15.0069882 HK Bank – Cheung Kong R Bull CBBC Jul 2015 C 60,000,000 2014/10/09 2015/07/13 16.8069732 HK Bank – HSCEI R Bull CBBC Jun 2015 C 100,000,000 2014/10/09 2015/06/29 25.0069765 HK Bank – HSCEI R Bull CBBC Jul 2015 B 100,000,000 2014/10/09 2015/07/30 25.0069796 HK Bank – HSI R Bull CBBC Jul 2015 C 400,000,000 2014/10/09 2015/07/30 100.0069803 HK Bank – HSI R Bull CBBC Jul 2015 D 400,000,000 2014/10/09 2015/07/30 100.0069878 HK Bank – HSI R Bear CBBC Apr 2015 Q 100,000,000 2014/10/09 2015/04/29 25.0069647 HK Bank – HSI R Bear CBBC May 2015 P 100,000,000 2014/10/09 2015/05/28 25.0069651 HK Bank – HSI R Bear CBBC Jul 2015 D 100,000,000 2014/10/09 2015/07/30 25.0069775 HK Bank – TCH R Bear CBBC Jul 2015 I 100,000,000 2014/10/09 2015/07/30 25.0069991 J P Morgan SP BV – HSI R Bull CBBC May 2015 B 300,000,000 2014/10/09 2015/05/28 75.0060033 J P Morgan SP BV – HSI R Bull CBBC May 2015 N 300,000,000 2014/10/09 2015/05/28 75.0060032 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 H 300,000,000 2014/10/09 2015/06/29 75.0069942 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 I 300,000,000 2014/10/09 2015/06/29 75.0069994 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 J 300,000,000 2014/10/09 2015/06/29 75.0069949 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 X 300,000,000 2014/10/09 2015/07/30 75.0060034 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 Y 300,000,000 2014/10/09 2015/07/30 75.0060031 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 C 300,000,000 2014/10/09 2015/08/28 75.0060096 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 N 300,000,000 2014/10/09 2015/01/29 75.0060098 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 A 300,000,000 2014/10/09 2015/02/26 75.0060097 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/10/09 2015/02/26 75.0060240 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 A 300,000,000 2014/10/09 2015/03/30 75.0060065 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 E 100,000,000 2014/10/09 2015/10/29 25.0060066 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 F 100,000,000 2014/10/09 2015/10/29 25.0060142 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 H 100,000,000 2014/10/09 2015/02/26 25.0060143 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 J 100,000,000 2014/10/09 2015/02/26 25.0060019 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 K 200,000,000 2014/10/09 2015/04/29 50.0060025 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 K 200,000,000 2014/10/09 2015/05/28 50.0060106 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 L 200,000,000 2014/10/09 2015/05/28 50.0060008 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 L 200,000,000 2014/10/09 2015/06/29 50.0060014 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 M 200,000,000 2014/10/09 2015/06/29 50.0060000 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 J 400,000,000 2014/10/09 2015/07/30 100.0060007 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 K 200,000,000 2014/10/09 2015/07/30 50.0060012 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 L 200,000,000 2014/10/09 2015/07/30 50.0060026 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 N 200,000,000 2014/10/09 2015/02/26 50.0060029 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 O 200,000,000 2014/10/09 2015/02/26 50.0060030 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 P 200,000,000 2014/10/09 2015/02/26 50.0060111 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 Q 200,000,000 2014/10/09 2015/02/26 50.0060113 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 R 200,000,000 2014/10/09 2015/02/26 50.0060035 UBS AG – HSI R Bull CBBC Mar 2015 J 350,000,000 2014/10/09 2015/03/30 87.5060040 UBS AG – HSI R Bull CBBC Apr 2015 N 300,000,000 2014/10/09 2015/04/29 75.0060043 UBS AG – HSI R Bull CBBC Apr 2015 O 300,000,000 2014/10/09 2015/04/29 75.0060042 UBS AG – HSI R Bull CBBC Jun 2015 J 300,000,000 2014/10/09 2015/06/29 75.00




60057 UBS AG – HSI R Bull CBBC Jun 2015 K 300,000,000 2014/10/09 2015/06/29 75.0060049 UBS AG – HSI R Bull CBBC Jul 2015 E 300,000,000 2014/10/09 2015/07/30 75.0060061 UBS AG – HSI R Bull CBBC Jul 2015 F 300,000,000 2014/10/09 2015/07/30 75.0060208 UBS AG – HSI R Bear CBBC Jan 2015 U 300,000,000 2014/10/09 2015/01/29 75.0060210 UBS AG – HSI R Bear CBBC Jan 2015 Y 300,000,000 2014/10/09 2015/01/29 75.0060211 UBS AG – HSI R Bear CBBC Feb 2015 R 300,000,000 2014/10/09 2015/02/26 75.0060212 UBS AG – HSI R Bear CBBC Feb 2015 S 300,000,000 2014/10/09 2015/02/26 75.0060219 UBS AG – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/10/09 2015/02/26 75.0060312 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 R 200,000,000 2014/10/10 2015/06/29 50.0060313 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 V 200,000,000 2014/10/10 2015/06/29 50.0060314 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 X 200,000,000 2014/10/10 2015/06/29 50.0060462 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 L 200,000,000 2014/10/10 2015/03/30 50.0060471 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 M 200,000,000 2014/10/10 2015/03/30 50.0060352 Credit Suisse AG – HSI R Bull CBBC May 2015 G 238,000,000 2014/10/10 2015/05/28 59.5060353 Credit Suisse AG – HSI R Bull CBBC May 2015 H 238,000,000 2014/10/10 2015/05/28 59.5060354 Credit Suisse AG – HSI R Bull CBBC May 2015 I 238,000,000 2014/10/10 2015/05/28 59.5060355 Credit Suisse AG – HSI R Bull CBBC May 2015 J 238,000,000 2014/10/10 2015/05/28 59.5060520 Credit Suisse AG – HSI R Bull CBBC May 2015 K 238,000,000 2014/10/10 2015/05/28 59.5060523 Credit Suisse AG – HSI R Bull CBBC May 2015 L 238,000,000 2014/10/10 2015/05/28 59.5060524 Credit Suisse AG – HSI R Bull CBBC May 2015 M 238,000,000 2014/10/10 2015/05/28 59.5060526 Credit Suisse AG – HSI R Bull CBBC May 2015 N 238,000,000 2014/10/10 2015/05/28 59.5060497 Credit Suisse AG – HSI R Bear CBBC Mar 2015 V 238,000,000 2014/10/10 2015/03/30 59.5060498 Credit Suisse AG – HSI R Bear CBBC Mar 2015 W 238,000,000 2014/10/10 2015/03/30 59.5060502 Credit Suisse AG – HSI R Bear CBBC Mar 2015 X 238,000,000 2014/10/10 2015/03/30 59.5060503 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Y 238,000,000 2014/10/10 2015/03/30 59.5060505 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Z 238,000,000 2014/10/10 2015/03/30 59.5060507 Credit Suisse AG – HSI R Bear CBBC Apr 2015 O 238,000,000 2014/10/10 2015/04/29 59.5060509 Credit Suisse AG – HSI R Bear CBBC Apr 2015 P 238,000,000 2014/10/10 2015/04/29 59.5060532 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 I 150,000,000 2014/10/10 2015/01/29 41.5560389 Goldman Sachs SP (Asia) – HSI R Bear CBBC Feb 2015 B 150,000,000 2014/10/10 2015/02/26 38.4060282 HK Bank – AIA R Bear CBBC Jun 2015 A 40,000,000 2014/10/10 2015/06/29 10.0060284 HK Bank – China Mobile R Bear CBBC Jul 2015 I 60,000,000 2014/10/10 2015/07/27 15.0060256 HK Bank – CUni R Bull CBBC Aug 2015 A 50,000,000 2014/10/10 2015/08/31 14.0060265 HK Bank – Galaxy Ent R Bear CBBC Jul 2015 D 60,000,000 2014/10/10 2015/07/13 15.0060246 HK Bank – HSI R Bull CBBC Jun 2015 J 100,000,000 2014/10/10 2015/06/29 25.0060264 HK Bank – HSI R Bull CBBC Jun 2015 K 100,000,000 2014/10/10 2015/06/29 25.0060251 HK Bank – HSI R Bull CBBC Jul 2015 E 100,000,000 2014/10/10 2015/07/30 25.0060252 HK Bank – HSI R Bull CBBC Aug 2015 A 100,000,000 2014/10/10 2015/08/28 25.0060259 HK Bank – HSI R Bull CBBC Aug 2015 B 400,000,000 2014/10/10 2015/08/28 100.0060260 HK Bank – HSI R Bull CBBC Aug 2015 C 400,000,000 2014/10/10 2015/08/28 108.0060254 HK Bank – HSI R Bull CBBC Sep 2015 A 100,000,000 2014/10/10 2015/09/29 25.0060261 HK Bank – HSI R Bear CBBC Apr 2015 R 100,000,000 2014/10/10 2015/04/29 25.0060262 HK Bank – HSI R Bear CBBC May 2015 Q 100,000,000 2014/10/10 2015/05/28 25.0060278 HK Bank – Hutchison R Bull CBBC Sep 2015 A 60,000,000 2014/10/10 2015/09/29 15.0060277 HK Bank – Hutchison R Bear CBBC Jun 2015 A 50,000,000 2014/10/10 2015/06/29 12.50




60285 HK Bank – TCH R Bull CBBC Jun 2015 H 100,000,000 2014/10/10 2015/06/08 25.0060302 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 N 300,000,000 2014/10/10 2015/06/29 75.0060310 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 A 300,000,000 2014/10/10 2015/07/30 75.0060300 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 Z 300,000,000 2014/10/10 2015/07/30 75.0060356 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 B 300,000,000 2014/10/10 2015/03/30 75.0060365 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 C 300,000,000 2014/10/10 2015/03/30 75.0060375 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 D 300,000,000 2014/10/10 2015/03/30 75.0060531 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 E 300,000,000 2014/10/10 2015/03/30 75.0060473 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 F 50,000,000 2014/10/10 2015/02/26 13.0060479 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 G 50,000,000 2014/10/10 2015/02/26 12.5060482 Macquarie Bank Ltd. – HSI R Bear CBBC Feb 2015 H 50,000,000 2014/10/10 2015/02/26 12.7560513 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 G 100,000,000 2014/10/10 2015/10/29 25.0060515 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 H 100,000,000 2014/10/10 2015/10/29 25.0060319 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 C 100,000,000 2014/10/10 2015/02/26 25.0060321 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 L 100,000,000 2014/10/10 2015/02/26 25.0060455 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 O 100,000,000 2014/10/10 2015/02/26 25.0060461 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 Q 100,000,000 2014/10/10 2015/02/26 25.0060331 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 O 200,000,000 2014/10/10 2015/04/29 50.0060334 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 W 200,000,000 2014/10/10 2015/04/29 50.0060335 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 T 200,000,000 2014/10/10 2015/01/29 50.0060340 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 U 200,000,000 2014/10/10 2015/01/29 50.0060384 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 S 200,000,000 2014/10/10 2015/02/26 50.0060387 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 T 200,000,000 2014/10/10 2015/02/26 50.0060454 UBS AG – Cheung Kong R Bull CBBC Oct 2015 A 50,000,000 2014/10/10 2015/10/19 12.5060426 UBS AG – Galaxy Ent R Bull CBBC Nov 2015 A 50,000,000 2014/10/10 2015/11/09 12.5060351 UBS AG – HSI R Bull CBBC Mar 2015 L 350,000,000 2014/10/10 2015/03/30 87.5060392 UBS AG – HSI R Bull CBBC Mar 2015 N 300,000,000 2014/10/10 2015/03/30 75.0060350 UBS AG – HSI R Bull CBBC Apr 2015 P 300,000,000 2014/10/10 2015/04/29 75.0060349 UBS AG – HSI R Bull CBBC May 2015 O 300,000,000 2014/10/10 2015/05/28 75.0060394 UBS AG – HSI R Bull CBBC May 2015 P 300,000,000 2014/10/10 2015/05/28 75.0060396 UBS AG – HSI R Bull CBBC May 2015 Q 300,000,000 2014/10/10 2015/05/28 75.0060527 UBS AG – HSI R Bull CBBC Jul 2015 G 300,000,000 2014/10/10 2015/07/30 75.0060484 UBS AG – HSI R Bear CBBC Feb 2015 U 300,000,000 2014/10/10 2015/02/26 75.0060486 UBS AG – HSI R Bear CBBC Feb 2015 V 300,000,000 2014/10/10 2015/02/26 75.0060489 UBS AG – HSI R Bear CBBC Feb 2015 W 300,000,000 2014/10/10 2015/02/26 75.0060496 UBS AG – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/10/10 2015/02/26 75.0060485 UBS AG – HSI R Bear CBBC Mar 2015 I 300,000,000 2014/10/10 2015/03/30 75.0060488 UBS AG – HSI R Bear CBBC Mar 2015 J 300,000,000 2014/10/10 2015/03/30 75.0060495 UBS AG – HSI R Bear CBBC Mar 2015 K 300,000,000 2014/10/10 2015/03/30 75.0060435 UBS AG – Hutchison R Bull CBBC Oct 2015 A 50,000,000 2014/10/10 2015/10/05 12.5060401 UBS AG – Kingsoft R Bull CBBC Jun 2016 B 50,000,000 2014/10/10 2016/06/06 12.5060402 UBS AG – Sands China R Bull CBBC Aug 2015 A 50,000,000 2014/10/10 2015/08/10 12.5060412 UBS AG – TCH R Bull CBBC Jun 2015 D 100,000,000 2014/10/10 2015/06/22 25.0060415 UBS AG – TCH R Bull CBBC Jun 2015 E 100,000,000 2014/10/10 2015/06/08 25.0060409 UBS AG – Tencent R Bear CBBC Apr 2015 B 100,000,000 2014/10/10 2015/04/20 25.00




60641 Credit Suisse AG – HSI R Bull CBBC May 2015 O 238,000,000 2014/10/13 2015/05/28 59.5060643 Credit Suisse AG – HSI R Bull CBBC May 2015 P 238,000,000 2014/10/13 2015/05/28 59.5060636 Credit Suisse AG – HSI R Bull CBBC May 2015 Q 238,000,000 2014/10/13 2015/05/28 59.5060637 Credit Suisse AG – HSI R Bull CBBC May 2015 R 238,000,000 2014/10/13 2015/05/28 59.5060639 Credit Suisse AG – HSI R Bull CBBC May 2015 S 238,000,000 2014/10/13 2015/05/28 59.5060640 Credit Suisse AG – HSI R Bull CBBC May 2015 T 238,000,000 2014/10/13 2015/05/28 59.5060646 Credit Suisse AG – HSI R Bull CBBC May 2015 U 238,000,000 2014/10/13 2015/05/28 59.5060647 Credit Suisse AG – HSI R Bull CBBC May 2015 V 238,000,000 2014/10/13 2015/05/28 59.5060582 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Q 238,000,000 2014/10/13 2015/04/29 59.5060583 Credit Suisse AG – HSI R Bear CBBC Apr 2015 R 238,000,000 2014/10/13 2015/04/29 59.5060567 HK Bank – Anhui Conch R Bull CBBC Dec 2015 B 50,000,000 2014/10/13 2015/12/16 12.5060558 HK Bank – China Mobile R Bull CBBC Sep 2015 A 120,000,000 2014/10/13 2015/09/29 30.0060561 HK Bank – China Life R Bear CBBC Apr 2015 A 60,000,000 2014/10/13 2015/04/27 16.8060557 HK Bank – HKEx R Bull CBBC Sep 2015 A 60,000,000 2014/10/13 2015/09/29 25.2060547 HK Bank – HSCEI R Bear CBBC Apr 2015 C 68,000,000 2014/10/13 2015/04/29 17.0060536 HK Bank – HSI R Bull CBBC Jul 2015 F 100,000,000 2014/10/13 2015/07/30 25.0060544 HK Bank – HSI R Bear CBBC Jun 2015 B 100,000,000 2014/10/13 2015/06/29 25.0060537 HK Bank – HSI R Bear CBBC Jul 2015 E 100,000,000 2014/10/13 2015/07/30 25.0060548 HK Bank – Kingsoft R Bull CBBC Oct 2015 A 50,000,000 2014/10/13 2015/10/26 31.0060550 HK Bank – SHK Ppt R Bear CBBC Oct 2015 B 50,000,000 2014/10/13 2015/10/19 12.5060698 J P Morgan SP BV – HSI R Bull CBBC May 2015 K 300,000,000 2014/10/13 2015/05/28 75.0060672 J P Morgan SP BV – HSI R Bull CBBC May 2015 P 300,000,000 2014/10/13 2015/05/28 75.0060691 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 O 300,000,000 2014/10/13 2015/06/29 75.0060706 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 B 300,000,000 2014/10/13 2015/07/30 75.0060588 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 F 300,000,000 2014/10/13 2015/03/30 75.0060602 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 G 300,000,000 2014/10/13 2015/03/30 75.0060644 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2015 A 50,000,000 2014/10/13 2015/03/30 12.7560645 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2015 B 50,000,000 2014/10/13 2015/03/30 12.5060649 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 I 100,000,000 2014/10/13 2015/10/29 25.0060585 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 K 100,000,000 2014/10/13 2015/02/26 25.0060584 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 R 100,000,000 2014/10/13 2015/02/26 25.0060604 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 M 200,000,000 2014/10/13 2015/05/28 50.0060615 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 N 200,000,000 2014/10/13 2015/05/28 50.0060609 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 N 400,000,000 2014/10/13 2015/06/29 100.0060631 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 O 400,000,000 2014/10/13 2015/06/29 100.0060635 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 C 400,000,000 2014/10/13 2015/04/29 100.0060581 UBS AG – China Mobile R Bear CBBC Mar 2015 B 100,000,000 2014/10/13 2015/03/23 25.0060580 UBS AG – A50 China R Bull CBBC May 2015 A 100,000,000 2014/10/13 2015/05/04 25.0060670 UBS AG – HSI R Bull CBBC Mar 2015 Q 350,000,000 2014/10/13 2015/03/30 87.5060655 UBS AG – HSI R Bull CBBC Apr 2015 Q 300,000,000 2014/10/13 2015/04/29 75.0060656 UBS AG – HSI R Bull CBBC May 2015 R 300,000,000 2014/10/13 2015/05/28 75.0060657 UBS AG – HSI R Bull CBBC Jun 2015 L 300,000,000 2014/10/13 2015/06/29 75.0060660 UBS AG – HSI R Bull CBBC Jul 2015 H 300,000,000 2014/10/13 2015/07/30 75.0060572 UBS AG – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/10/13 2015/02/26 75.0060579 UBS AG – HSI R Bear CBBC Mar 2015 L 350,000,000 2014/10/13 2015/03/30 87.50




60806 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Jun15C 100,000,000 2014/10/14 2015/06/29 25.0060800 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 C 100,000,000 2014/10/14 2015/06/29 25.0060807 Credit Suisse AG – HSI R Bull CBBC May 2015 W 238,000,000 2014/10/14 2015/05/28 59.5060730 Credit Suisse AG – HSI R Bear CBBC Apr 2015 S 238,000,000 2014/10/14 2015/04/29 59.5060772 Citigroup Global Mkt H Inc. – Sands China R Bull CBBC Apr15C 60,000,000 2014/10/14 2015/04/13 15.0060760 Citigroup Global Mkt H Inc. – Sands China R Bull CBBC May15A 60,000,000 2014/10/14 2015/05/19 15.0060774 Citigroup Global Mkt H Inc. – Sands China R Bear CBBC Apr15B 60,000,000 2014/10/14 2015/04/13 15.0060779 Citigroup Global Mkt H Inc. – Sands China R Bear CBBC Apr15C 60,000,000 2014/10/14 2015/04/13 15.0060762 Citigroup Global Mkt H Inc. – TCH R Bull CBBC Jun 2015 D 200,000,000 2014/10/14 2015/06/15 50.0060787 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 J 150,000,000 2014/10/14 2015/01/29 40.2060789 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 K 150,000,000 2014/10/14 2015/01/29 42.7560784 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jan 2015 I 150,000,000 2014/10/14 2015/01/29 37.6560723 HK Bank – HSI R Bull CBBC Aug 2015 D 100,000,000 2014/10/14 2015/08/28 25.0060718 HK Bank – HSI R Bull CBBC Sep 2015 B 100,000,000 2014/10/14 2015/09/29 25.0060724 HK Bank – HSI R Bull CBBC Sep 2015 C 100,000,000 2014/10/14 2015/09/29 25.0060720 HK Bank – HSI R Bull CBBC Oct 2015 A 100,000,000 2014/10/14 2015/10/29 25.0060714 HK Bank – HSI R Bear CBBC Jun 2015 C 100,000,000 2014/10/14 2015/06/29 25.0060726 HK Bank – Ping An R Bull CBBC Jul 2015 B 60,000,000 2014/10/14 2015/07/27 15.0060826 J P Morgan SP BV – HSI R Bull CBBC May 2015 Q 300,000,000 2014/10/14 2015/05/28 75.0060819 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 C 300,000,000 2014/10/14 2015/07/30 75.0060820 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 D 300,000,000 2014/10/14 2015/07/30 75.0060831 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 D 300,000,000 2014/10/14 2015/08/28 75.0060732 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 H 300,000,000 2014/10/14 2015/03/30 75.0060737 Standard Chartered Bank – Galaxy Ent R Bull CBBC Oct 2015 A 50,000,000 2014/10/14 2015/10/15 12.5060746 Standard Chartered Bank – Galaxy Ent R Bear CBBC Jul 2015 A 50,000,000 2014/10/14 2015/07/10 12.5060745 Standard Chartered Bank – Sands China R Bull CBBC Jul 2015 B 50,000,000 2014/10/14 2015/07/15 12.5060799 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 E 200,000,000 2014/10/14 2015/04/29 50.0060810 UBS AG – HSI R Bull CBBC Mar 2015 R 300,000,000 2014/10/14 2015/03/30 75.0060813 UBS AG – HSI R Bull CBBC Apr 2015 R 300,000,000 2014/10/14 2015/04/29 75.0060812 UBS AG – HSI R Bull CBBC May 2015 S 300,000,000 2014/10/14 2015/05/28 75.0060816 UBS AG – HSI R Bull CBBC May 2015 T 300,000,000 2014/10/14 2015/05/28 75.0060727 UBS AG – HSI R Bear CBBC Feb 2015 Z 350,000,000 2014/10/14 2015/02/26 87.5060808 UBS AG – HSI R Bear CBBC Mar 2015 M 300,000,000 2014/10/14 2015/03/30 75.0060890 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 E 200,000,000 2014/10/15 2015/06/29 50.0060886 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 T 200,000,000 2014/10/15 2015/06/29 50.0060889 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 U 200,000,000 2014/10/15 2015/06/29 50.0060909 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 N 200,000,000 2014/10/15 2015/03/30 50.0060870 Credit Suisse AG – HSI R Bull CBBC May 2015 A 238,000,000 2014/10/15 2015/05/28 59.5060872 Credit Suisse AG – HSI R Bull CBBC May 2015 B 238,000,000 2014/10/15 2015/05/28 59.5060907 Credit Suisse AG – HSI R Bear CBBC Apr 2015 T 238,000,000 2014/10/15 2015/04/29 59.5060897 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 G 100,000,000 2014/10/15 2015/04/14 25.0060901 Citigroup Global Mkt H Inc. – A50 China R Bull CBBC Apr 15 H 100,000,000 2014/10/15 2015/04/14 25.0060833 HK Bank – ABC R Bear CBBC May 2015 B 40,000,000 2014/10/15 2015/05/11 10.0060844 HK Bank – Galaxy Ent R Bull CBBC Jun 2015 B 80,000,000 2014/10/15 2015/06/29 20.0060848 HK Bank – HKEx R Bull CBBC Jul 2015 B 60,000,000 2014/10/15 2015/07/13 15.00




60857 HK Bank – HSI R Bull CBBC Jun 2015 L 100,000,000 2014/10/15 2015/06/29 25.0060863 HK Bank – HSI R Bull CBBC Jul 2015 G 100,000,000 2014/10/15 2015/07/30 25.0060859 HK Bank – HSI R Bull CBBC Aug 2015 E 100,000,000 2014/10/15 2015/08/28 25.0060834 HK Bank – ICBC R Bear CBBC May 2015 A 40,000,000 2014/10/15 2015/05/11 10.0060854 HK Bank – Lenovo R Bull CBBC Aug 2015 C 60,000,000 2014/10/15 2015/08/31 15.0060846 HK Bank – Sands China R Bull CBBC Jul 2015 D 80,000,000 2014/10/15 2015/07/17 20.0060836 HK Bank – TCH R Bull CBBC Jun 2015 I 100,000,000 2014/10/15 2015/06/18 25.0060864 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 E 300,000,000 2014/10/15 2015/07/30 75.0060868 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 F 300,000,000 2014/10/15 2015/07/30 75.0060902 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/10/15 2015/02/26 75.0060904 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 A 300,000,000 2014/10/15 2015/04/29 75.0060906 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 B 300,000,000 2014/10/15 2015/04/29 75.0060895 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 A 100,000,000 2014/10/15 2015/11/27 25.0060896 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 B 100,000,000 2014/10/15 2015/11/27 25.0060879 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 O 200,000,000 2014/10/15 2015/05/28 50.0060880 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 P 200,000,000 2014/10/15 2015/05/28 50.0060884 UBS AG – HSI R Bull CBBC Apr 2015 S 300,000,000 2014/10/15 2015/04/29 75.0060881 UBS AG – HSI R Bull CBBC Jun 2015 M 300,000,000 2014/10/15 2015/06/29 75.0060910 UBS AG – HSI R Bear CBBC Jan 2015 T 300,000,000 2014/10/15 2015/01/29 75.0061041 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 F 200,000,000 2014/10/16 2015/06/29 50.0060955 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 O 200,000,000 2014/10/16 2015/03/30 50.0060956 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 P 200,000,000 2014/10/16 2015/03/30 50.0061033 Credit Suisse AG – HSI R Bull CBBC May 2015 X 238,000,000 2014/10/16 2015/05/28 59.5061034 Credit Suisse AG – HSI R Bull CBBC May 2015 Y 238,000,000 2014/10/16 2015/05/28 59.5061035 Credit Suisse AG – HSI R Bull CBBC May 2015 Z 238,000,000 2014/10/16 2015/05/28 59.5060963 Credit Suisse AG – HSI R Bear CBBC Apr 2015 U 238,000,000 2014/10/16 2015/04/29 59.5060964 Credit Suisse AG – HSI R Bear CBBC Apr 2015 V 238,000,000 2014/10/16 2015/04/29 59.5060969 Credit Suisse AG – HSI R Bear CBBC Apr 2015 W 238,000,000 2014/10/16 2015/04/29 59.5061042 Citigroup Global Mkt H Inc. – AIA R Bull CBBC Jun 2015 B 100,000,000 2014/10/16 2015/06/18 25.0060992 Citigroup Global Mkt H Inc. – China Mobile R Bull CBBC Jun15I 80,000,000 2014/10/16 2015/06/18 20.0061022 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Apr15 C 60,000,000 2014/10/16 2015/04/15 15.0061024 Citigroup Global Mkt H Inc. – Galaxy Ent R Bull CBBC Apr15 D 60,000,000 2014/10/16 2015/04/15 15.0061000 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 J 50,000,000 2014/10/16 2015/05/12 12.5061002 Citigroup Global Mkt H Inc. – HKEx R Bull CBBC May 2015 K 50,000,000 2014/10/16 2015/05/12 12.5061015 Citigroup Global Mkt H Inc. – Hutchison R Bull CBBC Jun 15 A 60,000,000 2014/10/16 2015/06/24 15.0060936 HK Bank – CC Bank R Bull CBBC Aug 2015 D 80,000,000 2014/10/16 2015/08/24 20.0060942 HK Bank – CC Bank R Bear CBBC May 2015 A 40,000,000 2014/10/16 2015/05/11 10.0060951 HK Bank – Minsheng Bank R Bear CBBC May 2015 B 40,000,000 2014/10/16 2015/05/11 10.0060915 HK Bank – HSI R Bull CBBC Aug 2015 F 100,000,000 2014/10/16 2015/08/28 25.0060917 HK Bank – ICBC R Bull CBBC Jul 2015 C 80,000,000 2014/10/16 2015/07/20 20.0060916 HK Bank – ICBC R Bull CBBC Aug 2015 B 80,000,000 2014/10/16 2015/08/10 20.0060991 J P Morgan SP BV – HSI R Bull CBBC May 2015 I 300,000,000 2014/10/16 2015/05/28 75.0060987 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 P 300,000,000 2014/10/16 2015/06/29 75.0061037 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 R 300,000,000 2014/10/16 2015/06/29 75.0060986 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 G 300,000,000 2014/10/16 2015/07/30 75.00




60952 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 A 300,000,000 2014/10/16 2015/02/26 75.0060954 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 I 300,000,000 2014/10/16 2015/03/30 75.0061039 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 C 100,000,000 2014/10/16 2015/11/27 25.0060959 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 S 100,000,000 2014/10/16 2015/02/26 25.0060962 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 T 100,000,000 2014/10/16 2015/02/26 25.0060981 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 H 200,000,000 2014/10/16 2015/04/29 50.0060982 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 V 200,000,000 2014/10/16 2015/01/29 50.0061031 UBS AG – HSI R Bull CBBC Jun 2015 N 300,000,000 2014/10/16 2015/06/29 75.0061032 UBS AG – HSI R Bull CBBC Jul 2015 I 300,000,000 2014/10/16 2015/07/30 75.0060970 UBS AG – HSI R Bear CBBC Jan 2015 S 300,000,000 2014/10/16 2015/01/29 75.0060971 UBS AG – HSI R Bear CBBC Feb 2015 C 300,000,000 2014/10/16 2015/02/26 75.0060976 UBS AG – HSI R Bear CBBC Mar 2015 N 350,000,000 2014/10/16 2015/03/30 87.5061175 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 D 200,000,000 2014/10/17 2015/06/29 50.0061178 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 Q 200,000,000 2014/10/17 2015/03/30 50.0061212 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 R 200,000,000 2014/10/17 2015/03/30 50.0061104 Credit Suisse AG – HSI R Bull CBBC Apr 2015 G 238,000,000 2014/10/17 2015/04/29 59.5061110 Credit Suisse AG – HSI R Bull CBBC Apr 2015 L 238,000,000 2014/10/17 2015/04/29 59.5061129 Credit Suisse AG – HSI R Bull CBBC Apr 2015 M 238,000,000 2014/10/17 2015/04/29 59.5061094 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/10/17 2015/05/28 59.5061189 Credit Suisse AG – HSI R Bear CBBC Apr 2015 E 238,000,000 2014/10/17 2015/04/29 59.5061130 Credit Suisse AG – HSI R Bear CBBC Apr 2015 X 238,000,000 2014/10/17 2015/04/29 59.5061144 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Y 238,000,000 2014/10/17 2015/04/29 59.5061161 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Z 238,000,000 2014/10/17 2015/04/29 59.5061174 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 L 150,000,000 2014/10/17 2015/01/29 37.8061173 Goldman Sachs SP (Asia) – HSI R Bear CBBC Feb 2015 C 150,000,000 2014/10/17 2015/02/26 37.9561167 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 A 150,000,000 2014/10/17 2015/03/30 37.8061052 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 H 300,000,000 2014/10/17 2015/07/30 75.0061119 J P Morgan SP BV – HSI R Bear CBBC Jan 2015 N 300,000,000 2014/10/17 2015/01/29 75.0061127 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/10/17 2015/02/26 75.0061203 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 J 300,000,000 2014/10/17 2015/03/30 75.0061064 Standard Chartered Bank – AIA R Bull CBBC May 2015 A 50,000,000 2014/10/17 2015/05/05 12.5061055 Standard Chartered Bank – AIA R Bear CBBC May 2015 A 50,000,000 2014/10/17 2015/05/05 12.5061180 Standard Chartered Bank – HKEx R Bull CBBC Aug 2015 A 80,000,000 2014/10/17 2015/08/18 28.0061053 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 J 100,000,000 2014/10/17 2015/10/29 25.0061181 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 F 100,000,000 2014/10/17 2015/02/26 25.0061182 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 H 100,000,000 2014/10/17 2015/02/26 25.0061111 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 Q 200,000,000 2014/10/17 2015/05/28 50.0061113 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 U 200,000,000 2014/10/17 2015/02/26 50.0061116 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 V 200,000,000 2014/10/17 2015/02/26 50.0061118 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 W 200,000,000 2014/10/17 2015/02/26 50.0061043 UBS AG – HSI R Bull CBBC Apr 2015 T 300,000,000 2014/10/17 2015/04/29 75.0061050 UBS AG – HSI R Bull CBBC Jun 2015 O 300,000,000 2014/10/17 2015/06/29 75.0061202 UBS AG – HSI R Bear CBBC Jan 2015 U 300,000,000 2014/10/17 2015/01/29 75.0061193 UBS AG – HSI R Bear CBBC Feb 2015 E 300,000,000 2014/10/17 2015/02/26 75.0061201 UBS AG – HSI R Bear CBBC Feb 2015 Q 300,000,000 2014/10/17 2015/02/26 75.00




61246 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 S 200,000,000 2014/10/20 2015/06/29 50.0061248 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Y 200,000,000 2014/10/20 2015/06/29 50.0061290 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 S 200,000,000 2014/10/20 2015/03/30 50.0061262 Credit Suisse AG – HSI R Bull CBBC Jun 2015 V 238,000,000 2014/10/20 2015/06/29 59.5061264 Credit Suisse AG – HSI R Bull CBBC Jun 2015 W 238,000,000 2014/10/20 2015/06/29 59.5061312 Credit Suisse AG – HSI R Bull CBBC Jun 2015 Y 238,000,000 2014/10/20 2015/06/29 59.5061270 Credit Suisse AG – HSI R Bull CBBC Jul 2015 I 238,000,000 2014/10/20 2015/07/30 59.5061272 Credit Suisse AG – HSI R Bull CBBC Jul 2015 J 238,000,000 2014/10/20 2015/07/30 59.5061274 Credit Suisse AG – HSI R Bull CBBC Jul 2015 K 238,000,000 2014/10/20 2015/07/30 59.5061275 Credit Suisse AG – HSI R Bull CBBC Jul 2015 L 238,000,000 2014/10/20 2015/07/30 59.5061295 Credit Suisse AG – HSI R Bear CBBC Feb 2015 P 238,000,000 2014/10/20 2015/02/26 59.5061304 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Q 238,000,000 2014/10/20 2015/02/26 59.5061299 Credit Suisse AG – HSI R Bear CBBC Mar 2015 O 238,000,000 2014/10/20 2015/03/30 59.5061306 Credit Suisse AG – HSI R Bear CBBC Mar 2015 P 238,000,000 2014/10/20 2015/03/30 59.5061311 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Q 238,000,000 2014/10/20 2015/03/30 59.5061266 Citigroup Global Mkt H Inc. – CSOP A50 ETF R Bear CBBC Apr15E 100,000,000 2014/10/20 2015/04/20 25.0061268 Citigroup Global Mkt H Inc. – A50 China R Bear CBBC Apr 15 E 100,000,000 2014/10/20 2015/04/20 25.0061216 HK Bank – CNOOC R Bear CBBC Aug 2015 A 40,000,000 2014/10/20 2015/08/03 10.0061213 HK Bank – HSI R Bear CBBC May 2015 R 100,000,000 2014/10/20 2015/05/28 25.0061215 HK Bank – HSI R Bear CBBC May 2015 S 100,000,000 2014/10/20 2015/05/28 25.0061229 HK Bank – PetCh R Bull CBBC Oct 2015 A 60,000,000 2014/10/20 2015/10/28 15.0061228 HK Bank – PetCh R Bear CBBC Jul 2015 C 40,000,000 2014/10/20 2015/07/31 10.0061221 HK Bank – Ping An R Bull CBBC Aug 2015 A 60,000,000 2014/10/20 2015/08/17 15.0061222 HK Bank – TCH R Bear CBBC Jul 2015 J 100,000,000 2014/10/20 2015/07/16 25.0061232 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 S 300,000,000 2014/10/20 2015/06/29 75.0061234 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 I 300,000,000 2014/10/20 2015/07/30 75.0061281 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/10/20 2015/02/26 75.0061316 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 K 300,000,000 2014/10/20 2015/03/30 75.0061288 Standard Chartered Bank – HSBC R Bull CBBC Oct 2015 A 50,000,000 2014/10/20 2015/10/22 12.5061240 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 K 200,000,000 2014/10/20 2015/10/29 50.0061241 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 L 100,000,000 2014/10/20 2015/10/29 25.0061245 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 M 100,000,000 2014/10/20 2015/10/29 25.0061285 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 J 100,000,000 2014/10/20 2015/02/26 25.0061254 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 N 200,000,000 2014/10/20 2015/04/29 50.0061259 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 W 200,000,000 2014/10/20 2015/01/29 50.0061260 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 X 200,000,000 2014/10/20 2015/01/29 50.0061279 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 X 200,000,000 2014/10/20 2015/02/26 50.0061315 UBS AG – HSI R Bull CBBC Mar 2015 P 350,000,000 2014/10/20 2015/03/30 87.5061236 UBS AG – HSI R Bull CBBC Jun 2015 P 300,000,000 2014/10/20 2015/06/29 75.0061310 UBS AG – HSI R Bear CBBC Feb 2015 R 300,000,000 2014/10/20 2015/02/26 75.0061307 UBS AG – HSI R Bear CBBC Mar 2015 O 300,000,000 2014/10/20 2015/03/30 75.0061352 Credit Suisse AG – HSI R Bull CBBC Jul 2015 M 238,000,000 2014/10/21 2015/07/30 59.5061353 Credit Suisse AG – HSI R Bull CBBC Jul 2015 N 238,000,000 2014/10/21 2015/07/30 59.5061357 Credit Suisse AG – HSI R Bull CBBC Jul 2015 O 238,000,000 2014/10/21 2015/07/30 59.5061358 Credit Suisse AG – HSI R Bull CBBC Jul 2015 P 238,000,000 2014/10/21 2015/07/30 59.50




61381 Credit Suisse AG – HSI R Bull CBBC Jul 2015 Q 238,000,000 2014/10/21 2015/07/30 59.5061341 Credit Suisse AG – HSI R Bear CBBC Mar 2015 S 238,000,000 2014/10/21 2015/03/30 59.5061377 Credit Suisse AG – HSI R Bear CBBC Mar 2015 T 238,000,000 2014/10/21 2015/03/30 59.5061380 Credit Suisse AG – HSI R Bear CBBC Mar 2015 U 238,000,000 2014/10/21 2015/03/30 59.5061383 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 M 150,000,000 2014/10/21 2015/01/29 42.9061387 Goldman Sachs SP (Asia) – HSI R Bear CBBC May 2015 A 150,000,000 2014/10/21 2015/05/28 38.1061348 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 T 300,000,000 2014/10/21 2015/06/29 75.0061350 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 J 300,000,000 2014/10/21 2015/07/30 75.0061376 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 L 300,000,000 2014/10/21 2015/03/30 75.0061317 Standard Chartered Bank – China Mobile R Bull CBBC May 2015A 50,000,000 2014/10/21 2015/05/22 12.5061322 Standard Chartered Bank – China Mobile R Bear CBBC Mar 2015E 50,000,000 2014/10/21 2015/03/20 12.5061351 Standard Chartered Bank – HSI R Bull CBBC Apr 2015 U 100,000,000 2014/10/21 2015/04/29 25.0061346 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr15 D 200,000,000 2014/10/21 2015/04/29 50.0061343 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 R 200,000,000 2014/10/21 2015/05/28 50.0061366 UBS AG – HSI R Bull CBBC Mar 2015 S 300,000,000 2014/10/21 2015/03/30 75.0061368 UBS AG – HSI R Bull CBBC Apr 2015 U 300,000,000 2014/10/21 2015/04/29 75.0061375 UBS AG – HSI R Bull CBBC May 2015 U 300,000,000 2014/10/21 2015/05/28 75.0061323 UBS AG – HSI R Bear CBBC Jan 2015 Y 300,000,000 2014/10/21 2015/01/29 75.0061361 UBS AG – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/10/21 2015/02/26 75.0061365 UBS AG – HSI R Bear CBBC Feb 2015 W 350,000,000 2014/10/21 2015/02/26 87.5061423 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 C 200,000,000 2014/10/22 2015/06/29 50.0061421 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/10/22 2015/05/28 59.5061422 Credit Suisse AG – HSI R Bull CBBC May 2015 E 238,000,000 2014/10/22 2015/05/28 59.5061406 Credit Suisse AG – HSI R Bear CBBC Mar 2015 V 238,000,000 2014/10/22 2015/03/30 59.5061407 Credit Suisse AG – HSI R Bear CBBC Mar 2015 W 238,000,000 2014/10/22 2015/03/30 59.5061425 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Y 238,000,000 2014/10/22 2015/03/30 59.5061403 HK Bank – ABC R Bear CBBC May 2015 C 40,000,000 2014/10/22 2015/05/18 10.0061404 HK Bank – CNOOC R Bull CBBC Jul 2015 D 60,000,000 2014/10/22 2015/07/13 15.0061405 HK Bank – CNOOC R Bull CBBC Oct 2015 D 60,000,000 2014/10/22 2015/10/19 18.0061398 HK Bank – CSOP A50 ETF R Bear CBBC Jul 2015 A 40,000,000 2014/10/22 2015/07/27 10.0061395 HK Bank – HSI R Bear CBBC May 2015 T 100,000,000 2014/10/22 2015/05/28 25.0061397 HK Bank – HSI R Bear CBBC May 2015 U 400,000,000 2014/10/22 2015/05/28 100.0061401 HK Bank – Kingsoft R Bear CBBC Aug 2015 A 40,000,000 2014/10/22 2015/08/31 20.4061402 HK Bank – Ping An R Bear CBBC Jul 2015 B 40,000,000 2014/10/22 2015/07/27 10.0061400 HK Bank – TCH R Bear CBBC Jul 2015 K 100,000,000 2014/10/22 2015/07/08 25.0061419 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 E 300,000,000 2014/10/22 2015/06/29 75.0061415 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 K 300,000,000 2014/10/22 2015/07/30 75.0061410 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 P 400,000,000 2014/10/22 2015/06/29 100.0061411 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 Q 400,000,000 2014/10/22 2015/06/29 100.0061412 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 D 400,000,000 2014/10/22 2015/04/29 100.0061413 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 E 400,000,000 2014/10/22 2015/04/29 100.0061436 UBS AG – HSI R Bull CBBC Mar 2015 T 300,000,000 2014/10/22 2015/03/30 75.0061434 UBS AG – HSI R Bull CBBC May 2015 V 300,000,000 2014/10/22 2015/05/28 75.0061431 UBS AG – HSI R Bull CBBC Jun 2015 Q 300,000,000 2014/10/22 2015/06/29 75.0061409 UBS AG – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/10/22 2015/02/26 75.00




61466 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/10/23 2015/05/28 59.5061467 Credit Suisse AG – HSI R Bull CBBC May 2015 M 238,000,000 2014/10/23 2015/05/28 59.5061476 Credit Suisse AG – HSI R Bear CBBC Feb 2015 D 238,000,000 2014/10/23 2015/02/26 59.5061477 Credit Suisse AG – HSI R Bear CBBC Feb 2015 V 238,000,000 2014/10/23 2015/02/26 59.5061486 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jan 2015 N 150,000,000 2014/10/23 2015/01/29 37.8061437 HK Bank – HSI R Bull CBBC Jun 2015 M 100,000,000 2014/10/23 2015/06/29 25.0061458 HK Bank – HSI R Bear CBBC Apr 2015 S 100,000,000 2014/10/23 2015/04/29 25.0061438 HK Bank – ICBC R Bull CBBC Aug 2015 C 80,000,000 2014/10/23 2015/08/17 20.0061442 HK Bank – TCH R Bull CBBC Jun 2015 J 100,000,000 2014/10/23 2015/06/29 25.0061448 HK Bank – TCH R Bear CBBC Aug 2015 A 100,000,000 2014/10/23 2015/08/31 25.0061459 J P Morgan SP BV – HSI R Bull CBBC May 2015 M 300,000,000 2014/10/23 2015/05/28 75.0061481 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 M 300,000,000 2014/10/23 2015/03/30 75.0061483 Standard Chartered Bank – HSI R Bull CBBC Aug 2015 P 100,000,000 2014/10/23 2015/08/28 25.0061485 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 C 100,000,000 2014/10/23 2015/02/26 25.0061468 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun 15R 400,000,000 2014/10/23 2015/06/29 100.0061472 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan 15Y 200,000,000 2014/10/23 2015/01/29 50.0061463 UBS AG – HSI R Bull CBBC Jun 2015 R 300,000,000 2014/10/23 2015/06/29 75.0061480 UBS AG – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/10/23 2015/02/26 75.0061478 UBS AG – HSI R Bear CBBC Mar 2015 P 300,000,000 2014/10/23 2015/03/30 75.0061487 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 T 200,000,000 2014/10/24 2015/03/30 50.0061497 Credit Suisse AG – HSI R Bull CBBC Apr 2015 K 238,000,000 2014/10/24 2015/04/29 59.5061496 Credit Suisse AG – HSI R Bull CBBC Apr 2015 N 238,000,000 2014/10/24 2015/04/29 59.5061494 Credit Suisse AG – HSI R Bear CBBC May 2015 C 238,000,000 2014/10/24 2015/05/28 59.5061495 Credit Suisse AG – HSI R Bear CBBC May 2015 D 238,000,000 2014/10/24 2015/05/28 59.5061489 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan15 Z 200,000,000 2014/10/24 2015/01/29 50.0061500 UBS AG – CNOOC R Bull CBBC Jul 2015 A 50,000,000 2014/10/24 2015/07/20 12.5061498 UBS AG – HSI R Bull CBBC Apr 2015 V 300,000,000 2014/10/24 2015/04/29 75.0061490 UBS AG – HSI R Bear CBBC Jan 2015 U 300,000,000 2014/10/24 2015/01/29 75.0061539 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 A 200,000,000 2014/10/27 2015/06/29 50.0061526 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 U 200,000,000 2014/10/27 2015/03/30 50.0061540 Credit Suisse AG – HSI R Bull CBBC Apr 2015 H 238,000,000 2014/10/27 2015/04/29 59.5061541 Credit Suisse AG – HSI R Bull CBBC Apr 2015 O 238,000,000 2014/10/27 2015/04/29 59.5061532 Credit Suisse AG – HSI R Bear CBBC Feb 2015 P 238,000,000 2014/10/27 2015/02/26 59.5061533 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Q 238,000,000 2014/10/27 2015/02/26 59.5061531 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Z 238,000,000 2014/10/27 2015/03/30 59.5061549 Goldman Sachs SP (Asia) – HSI R Bull CBBC Feb 2015 A 150,000,000 2014/10/27 2015/02/26 42.1561550 Goldman Sachs SP (Asia) – HSI R Bear CBBC Apr 2015 A 150,000,000 2014/10/27 2015/04/29 38.8561515 HK Bank – Sinopec Corp R Bull CBBC Oct 2015 B 80,000,000 2014/10/27 2015/10/26 20.0061519 HK Bank – Galaxy Ent R Bull CBBC Jul 2015 E 80,000,000 2014/10/27 2015/07/06 20.0061502 HK Bank – HSI R Bull CBBC Jul 2015 H 100,000,000 2014/10/27 2015/07/30 25.0061525 HK Bank – Sands China R Bull CBBC Aug 2015 A 80,000,000 2014/10/27 2015/08/10 20.0061512 HK Bank – TCH R Bear CBBC Jul 2015 L 100,000,000 2014/10/27 2015/07/27 25.0061547 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/10/27 2015/02/26 75.0061535 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 N 300,000,000 2014/10/27 2015/03/30 75.0061536 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May15 S 200,000,000 2014/10/27 2015/05/28 50.00




61527 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 Y 200,000,000 2014/10/27 2015/02/26 50.0061545 UBS AG – HSI R Bull CBBC Mar 2015 U 350,000,000 2014/10/27 2015/03/30 87.5061528 UBS AG – HSI R Bear CBBC Jan 2015 T 300,000,000 2014/10/27 2015/01/29 75.0061530 UBS AG – HSI R Bear CBBC Mar 2015 Q 350,000,000 2014/10/27 2015/03/30 87.5061616 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 B 200,000,000 2014/10/28 2015/06/29 50.0061617 Credit Suisse AG – HSI R Bull CBBC Mar 2015 C 238,000,000 2014/10/28 2015/03/30 59.5061624 Credit Suisse AG – HSI R Bull CBBC Mar 2015 D 238,000,000 2014/10/28 2015/03/30 59.5061600 Credit Suisse AG – HSI R Bull CBBC May 2015 N 238,000,000 2014/10/28 2015/05/28 59.5061608 Credit Suisse AG – HSI R Bull CBBC May 2015 O 238,000,000 2014/10/28 2015/05/28 59.5061610 Credit Suisse AG – HSI R Bull CBBC May 2015 P 238,000,000 2014/10/28 2015/05/28 59.5061607 Credit Suisse AG – HSI R Bull CBBC Jun 2015 A 238,000,000 2014/10/28 2015/06/29 59.5061609 Credit Suisse AG – HSI R Bull CBBC Jun 2015 B 238,000,000 2014/10/28 2015/06/29 59.5061612 Credit Suisse AG – HSI R Bull CBBC Jun 2015 C 238,000,000 2014/10/28 2015/06/29 59.5061613 Credit Suisse AG – HSI R Bull CBBC Jun 2015 D 238,000,000 2014/10/28 2015/06/29 59.5061603 Credit Suisse AG – HSI R Bull CBBC Jun 2015 Z 238,000,000 2014/10/28 2015/06/29 59.5061620 Credit Suisse AG – HSI R Bear CBBC Mar 2015 O 238,000,000 2014/10/28 2015/03/30 59.5061618 Credit Suisse AG – HSI R Bear CBBC Mar 2015 R 238,000,000 2014/10/28 2015/03/30 59.5061619 Credit Suisse AG – HSI R Bear CBBC Mar 2015 X 238,000,000 2014/10/28 2015/03/30 59.5061566 HK Bank – CUni R Bull CBBC Oct 2015 A 50,000,000 2014/10/28 2015/10/26 12.5061577 HK Bank – Sinopec Corp R Bear CBBC Jul 2015 A 40,000,000 2014/10/28 2015/07/27 10.0061551 HK Bank – HSI R Bull CBBC Jun 2015 N 100,000,000 2014/10/28 2015/06/29 25.0061558 HK Bank – HSI R Bull CBBC Jul 2015 I 400,000,000 2014/10/28 2015/07/30 100.0061552 HK Bank – HSI R Bear CBBC Apr 2015 T 100,000,000 2014/10/28 2015/04/29 25.0061564 HK Bank – HSI R Bear CBBC May 2015 V 400,000,000 2014/10/28 2015/05/28 100.0061573 HK Bank – Lenovo R Bear CBBC Jun 2015 E 40,000,000 2014/10/28 2015/06/10 10.0061575 HK Bank – PetCh R Bull CBBC Nov 2015 A 60,000,000 2014/10/28 2015/11/30 15.6061594 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 Q 300,000,000 2014/10/28 2015/06/29 75.0061599 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 U 300,000,000 2014/10/28 2015/06/29 75.0061591 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 L 300,000,000 2014/10/28 2015/07/30 75.0061582 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/10/28 2015/02/26 75.0061615 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 V 100,000,000 2014/10/28 2015/06/29 25.0061583 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 O 100,000,000 2014/10/28 2015/02/26 25.0061584 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 Q 100,000,000 2014/10/28 2015/02/26 25.0061614 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb 15Z 200,000,000 2014/10/28 2015/02/26 50.0061578 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar 15F 200,000,000 2014/10/28 2015/03/30 50.0061625 UBS AG – HSI R Bull CBBC Apr 2015 W 350,000,000 2014/10/28 2015/04/29 87.5061622 UBS AG – HSI R Bear CBBC Feb 2015 S 300,000,000 2014/10/28 2015/02/26 75.0061690 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 I 200,000,000 2014/10/29 2015/06/29 50.0061665 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 J 200,000,000 2014/10/29 2015/06/29 50.0061667 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Z 200,000,000 2014/10/29 2015/06/29 50.0061631 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 V 200,000,000 2014/10/29 2015/03/30 50.0061670 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 W 200,000,000 2014/10/29 2015/03/30 50.0061680 Credit Suisse AG – HSI R Bull CBBC Jun 2015 F 238,000,000 2014/10/29 2015/06/29 59.5061679 Credit Suisse AG – HSI R Bull CBBC Jun 2015 G 238,000,000 2014/10/29 2015/06/29 59.5061681 Credit Suisse AG – HSI R Bull CBBC Jun 2015 H 238,000,000 2014/10/29 2015/06/29 59.50




61682 Credit Suisse AG – HSI R Bull CBBC Jun 2015 I 238,000,000 2014/10/29 2015/06/29 59.5061640 Credit Suisse AG – HSI R Bear CBBC Mar 2015 P 238,000,000 2014/10/29 2015/03/30 59.5061637 Credit Suisse AG – HSI R Bear CBBC Mar 2015 S 238,000,000 2014/10/29 2015/03/30 59.5061638 Credit Suisse AG – HSI R Bear CBBC Mar 2015 T 238,000,000 2014/10/29 2015/03/30 59.5061639 Credit Suisse AG – HSI R Bear CBBC Mar 2015 U 238,000,000 2014/10/29 2015/03/30 59.5061676 Credit Suisse AG – HSI R Bear CBBC Mar 2015 V 238,000,000 2014/10/29 2015/03/30 59.5061691 Goldman Sachs SP (Asia) – HSI R Bull CBBC Feb 2015 B 150,000,000 2014/10/29 2015/02/26 48.6061683 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 M 300,000,000 2014/10/29 2015/07/30 75.0061685 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 N 300,000,000 2014/10/29 2015/07/30 75.0061672 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 O 300,000,000 2014/10/29 2015/07/30 75.0061687 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 P 300,000,000 2014/10/29 2015/07/30 75.0061628 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/10/29 2015/02/26 75.0061642 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 W 100,000,000 2014/10/29 2015/06/29 25.0061673 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 X 100,000,000 2014/10/29 2015/06/29 25.0061643 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 F 100,000,000 2014/10/29 2015/02/26 25.0061649 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Apr15D 100,000,000 2014/10/29 2015/04/29 25.0061650 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Apr15 A 100,000,000 2014/10/29 2015/04/29 25.0061652 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 S 200,000,000 2014/10/29 2015/06/29 50.0061655 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 T 200,000,000 2014/10/29 2015/06/29 50.0061658 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 U 200,000,000 2014/10/29 2015/06/29 50.0061662 UBS AG – HSI R Bull CBBC May 2015 W 300,000,000 2014/10/29 2015/05/28 75.0061661 UBS AG – HSI R Bull CBBC Jun 2015 T 300,000,000 2014/10/29 2015/06/29 75.0061675 UBS AG – HSI R Bull CBBC Jun 2015 V 300,000,000 2014/10/29 2015/06/29 75.0061633 UBS AG – HSI R Bear CBBC Jan 2015 Y 300,000,000 2014/10/29 2015/01/29 75.0061632 UBS AG – HSI R Bear CBBC Feb 2015 V 300,000,000 2014/10/29 2015/02/26 75.0061648 UBS AG – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/10/29 2015/02/26 75.0061647 UBS AG – HSI R Bear CBBC May 2015 C 300,000,000 2014/10/29 2015/05/28 75.0061646 UBS AG – HSI R Bear CBBC Jun 2015 A 300,000,000 2014/10/29 2015/06/29 75.0061731 Credit Suisse AG – HSI R Bull CBBC Apr 2015 P 238,000,000 2014/10/30 2015/04/29 59.5061733 Credit Suisse AG – HSI R Bull CBBC Apr 2015 Q 238,000,000 2014/10/30 2015/04/29 59.5061735 Credit Suisse AG – HSI R Bull CBBC Apr 2015 R 238,000,000 2014/10/30 2015/04/29 59.5061743 Credit Suisse AG – HSI R Bear CBBC Apr 2015 F 238,000,000 2014/10/30 2015/04/29 59.5061745 Credit Suisse AG – HSI R Bear CBBC Apr 2015 O 238,000,000 2014/10/30 2015/04/29 59.5061744 Credit Suisse AG – HSI R Bear CBBC Apr 2015 R 238,000,000 2014/10/30 2015/04/29 59.5061702 HK Bank – AIA R Bull CBBC Jun 2015 D 60,000,000 2014/10/30 2015/06/29 15.0061698 HK Bank – HSCEI R Bull CBBC Jul 2015 C 100,000,000 2014/10/30 2015/07/30 25.0061697 HK Bank – HSI R Bull CBBC Jun 2015 O 100,000,000 2014/10/30 2015/06/29 25.0061695 HK Bank – HSI R Bull CBBC Jul 2015 J 100,000,000 2014/10/30 2015/07/30 25.0061701 HK Bank – Lenovo R Bull CBBC Aug 2015 D 40,000,000 2014/10/30 2015/08/17 10.0061699 HK Bank – TCH R Bull CBBC Jul 2015 I 100,000,000 2014/10/30 2015/07/13 25.0061700 HK Bank – TCH R Bull CBBC Jul 2015 J 100,000,000 2014/10/30 2015/07/06 25.0061737 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 G 300,000,000 2014/10/30 2015/06/29 75.0061736 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 Q 300,000,000 2014/10/30 2015/07/30 75.0061738 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 A 300,000,000 2014/10/30 2015/02/26 75.0061703 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2015 C 50,000,000 2014/10/30 2015/03/30 12.50




61730 Standard Chartered Bank – HKEx R Bull CBBC Mar 2015 A 80,000,000 2014/10/30 2015/03/03 20.0061729 Standard Chartered Bank – HKEx R Bull CBBC May 2015 A 80,000,000 2014/10/30 2015/05/28 20.0061724 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 Y 100,000,000 2014/10/30 2015/06/29 25.0061725 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 Z 100,000,000 2014/10/30 2015/06/29 25.0061727 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 D 100,000,000 2014/10/30 2015/11/27 25.0061739 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 M 200,000,000 2014/10/30 2015/07/30 50.0061740 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 N 200,000,000 2014/10/30 2015/07/30 50.0061741 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 G 200,000,000 2014/10/30 2015/03/30 50.0061723 UBS AG – HSI R Bull CBBC Apr 2015 A 350,000,000 2014/10/30 2015/04/29 87.5061706 UBS AG – HSI R Bull CBBC Apr 2015 X 300,000,000 2014/10/30 2015/04/29 75.0061720 UBS AG – HSI R Bull CBBC Apr 2015 Y 300,000,000 2014/10/30 2015/04/29 75.0061721 UBS AG – HSI R Bull CBBC Apr 2015 Z 300,000,000 2014/10/30 2015/04/29 75.0061722 UBS AG – HSI R Bull CBBC May 2015 X 300,000,000 2014/10/30 2015/05/28 75.0061704 UBS AG – HSI R Bull CBBC Jun 2015 W 300,000,000 2014/10/30 2015/06/29 75.0061719 UBS AG – HSI R Bull CBBC Jun 2015 X 300,000,000 2014/10/30 2015/06/29 75.0061705 UBS AG – HSI R Bull CBBC Jul 2015 J 300,000,000 2014/10/30 2015/07/30 75.0061755 UBS AG – HSI R Bear CBBC Feb 2015 R 350,000,000 2014/10/30 2015/02/26 87.5061748 UBS AG – HSI R Bear CBBC Mar 2015 R 300,000,000 2014/10/30 2015/03/30 75.0061749 UBS AG – HSI R Bear CBBC Mar 2015 S 300,000,000 2014/10/30 2015/03/30 75.0061747 UBS AG – HSI R Bear CBBC Apr 2015 B 300,000,000 2014/10/30 2015/04/29 79.5061758 Credit Suisse AG – HSI R Bull CBBC May 2015 T 238,000,000 2014/10/31 2015/05/28 59.5061759 Credit Suisse AG – HSI R Bull CBBC May 2015 U 238,000,000 2014/10/31 2015/05/28 59.5061769 Credit Suisse AG – HSI R Bear CBBC May 2015 E 238,000,000 2014/10/31 2015/05/28 59.5061770 Credit Suisse AG – HSI R Bear CBBC May 2015 F 238,000,000 2014/10/31 2015/05/28 59.5061763 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 R 300,000,000 2014/10/31 2015/07/30 75.0061762 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 E 300,000,000 2014/10/31 2015/08/28 75.0061757 Standard Chartered Bank – China Life R Bear CBBC May 2015 A 50,000,000 2014/10/31 2015/05/11 12.5061764 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 N 200,000,000 2014/10/31 2015/02/26 50.0061761 UBS AG – HSI R Bull CBBC Apr 2015 B 300,000,000 2014/10/31 2015/04/29 75.0061771 UBS AG – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/10/31 2015/02/26 75.0061781 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 K 200,000,000 2014/11/03 2015/06/29 50.0061800 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 X 200,000,000 2014/11/03 2015/03/30 50.0061790 Credit Suisse AG – HSI R Bull CBBC May 2015 A 238,000,000 2014/11/03 2015/05/28 59.5061782 Credit Suisse AG – HSI R Bull CBBC May 2015 V 238,000,000 2014/11/03 2015/05/28 59.5061783 Credit Suisse AG – HSI R Bull CBBC May 2015 W 238,000,000 2014/11/03 2015/05/28 59.5061803 Credit Suisse AG – HSI R Bear CBBC Feb 2015 D 238,000,000 2014/11/03 2015/02/26 59.5061806 Credit Suisse AG – HSI R Bear CBBC Feb 2015 V 238,000,000 2014/11/03 2015/02/26 59.5061811 Goldman Sachs SP (Asia) – HSI R Bull CBBC Feb 2015 C 150,000,000 2014/11/03 2015/02/26 47.8561773 HK Bank – HKEx R Bull CBBC Jun 2015 E 60,000,000 2014/11/03 2015/06/29 15.0061774 HK Bank – HSI R Bull CBBC Aug 2015 G 100,000,000 2014/11/03 2015/08/28 25.0061775 HK Bank – HSI R Bear CBBC Apr 2015 U 100,000,000 2014/11/03 2015/04/29 25.0061776 HK Bank – Kingsoft R Bull CBBC Nov 2015 A 80,000,000 2014/11/03 2015/11/30 46.4061772 HK Bank – Kingsoft R Bull CBBC Dec 2015 A 80,000,000 2014/11/03 2015/12/21 56.0061779 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 S 300,000,000 2014/11/03 2015/07/30 75.0061780 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 F 300,000,000 2014/11/03 2015/08/28 75.00




61799 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 G 300,000,000 2014/11/03 2015/08/28 75.0061798 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 O 300,000,000 2014/11/03 2015/03/30 75.0061793 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 V 200,000,000 2014/11/03 2015/06/29 50.0061794 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 O 200,000,000 2014/11/03 2015/02/26 50.0061795 UBS AG – CSOP A50 ETF R Bull CBBC Jun 2015 A 100,000,000 2014/11/03 2015/06/08 25.0061778 UBS AG – HSI R Bull CBBC Apr 2015 D 350,000,000 2014/11/03 2015/04/29 87.5061777 UBS AG – HSI R Bull CBBC May 2015 Y 300,000,000 2014/11/03 2015/05/28 75.0061801 UBS AG – HSI R Bear CBBC Feb 2015 W 300,000,000 2014/11/03 2015/02/26 75.0061802 UBS AG – HSI R Bear CBBC Mar 2015 T 300,000,000 2014/11/03 2015/03/30 75.0061796 UBS AG – Kingsoft R Bull CBBC Jun 2015 A 20,000,000 2014/11/03 2015/06/15 10.0061910 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 G 200,000,000 2014/11/04 2015/06/29 50.0061860 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 Y 200,000,000 2014/11/04 2015/03/30 50.0061881 Credit Suisse AG – HSI R Bull CBBC May 2015 B 238,000,000 2014/11/04 2015/05/28 59.5061887 Credit Suisse AG – HSI R Bull CBBC May 2015 X 238,000,000 2014/11/04 2015/05/28 59.5061890 Credit Suisse AG – HSI R Bull CBBC May 2015 Y 238,000,000 2014/11/04 2015/05/28 59.5061892 Credit Suisse AG – HSI R Bull CBBC May 2015 Z 238,000,000 2014/11/04 2015/05/28 59.5061899 Credit Suisse AG – HSI R Bull CBBC Jun 2015 J 238,000,000 2014/11/04 2015/06/29 59.5061853 Credit Suisse AG – HSI R Bear CBBC Mar 2015 O 238,000,000 2014/11/04 2015/03/30 59.5061856 Credit Suisse AG – HSI R Bear CBBC Mar 2015 R 238,000,000 2014/11/04 2015/03/30 59.5061848 Credit Suisse AG – HSI R Bear CBBC Mar 2015 W 238,000,000 2014/11/04 2015/03/30 59.5061857 Credit Suisse AG – HSI R Bear CBBC Mar 2015 X 238,000,000 2014/11/04 2015/03/30 59.5061849 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Z 238,000,000 2014/11/04 2015/03/30 59.5061909 Goldman Sachs SP (Asia) – HSI R Bull CBBC Feb 2015 D 150,000,000 2014/11/04 2015/02/26 46.9561839 HK Bank – Minsheng Bank R Bull CBBC Sep 2015 B 40,000,000 2014/11/04 2015/09/21 10.0061815 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2015 B 200,000,000 2014/11/04 2015/06/29 50.0061817 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2015 B 200,000,000 2014/11/04 2015/07/06 50.0061818 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2015 C 200,000,000 2014/11/04 2015/07/13 50.0061822 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2015 D 200,000,000 2014/11/04 2015/07/20 50.0061829 HK Bank – A50 R Bull CBBC Jun 2015 B 200,000,000 2014/11/04 2015/06/29 50.0061814 HK Bank – A50 R Bull CBBC Jul 2015 A 200,000,000 2014/11/04 2015/07/13 50.0061816 HK Bank – A50 R Bull CBBC Jul 2015 B 200,000,000 2014/11/04 2015/07/20 50.0061831 HK Bank – A50 R Bull CBBC Jul 2015 C 200,000,000 2014/11/04 2015/07/06 50.0061836 HK Bank – A50 R Bear CBBC Nov 2015 A 50,000,000 2014/11/04 2015/11/09 12.5061838 HK Bank – HKEx R Bear CBBC Jul 2015 C 50,000,000 2014/11/04 2015/07/06 12.5061813 HK Bank – HSI R Bull CBBC May 2015 C 100,000,000 2014/11/04 2015/05/28 25.0061812 HK Bank – HSI R Bear CBBC May 2015 W 100,000,000 2014/11/04 2015/05/28 25.0061837 HK Bank – Kingsoft R Bear CBBC Sep 2015 A 40,000,000 2014/11/04 2015/09/29 16.8061902 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 H 300,000,000 2014/11/04 2015/08/28 75.0061908 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/11/04 2015/02/26 75.0061847 Standard Chartered Bank – HKEx R Bear CBBC Mar 2015 C 80,000,000 2014/11/04 2015/03/05 20.0061846 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 J 100,000,000 2014/11/04 2015/02/26 25.0061842 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 H 200,000,000 2014/11/04 2015/03/30 50.0061862 UBS AG – HSI R Bull CBBC Apr 2015 C 300,000,000 2014/11/04 2015/04/29 75.0061866 UBS AG – HSI R Bull CBBC Apr 2015 E 300,000,000 2014/11/04 2015/04/29 75.0061879 UBS AG – HSI R Bull CBBC May 2015 Z 300,000,000 2014/11/04 2015/05/28 75.00




61880 UBS AG – HSI R Bull CBBC Jul 2015 K 300,000,000 2014/11/04 2015/07/30 75.0061841 UBS AG – HSI R Bear CBBC Feb 2015 C 300,000,000 2014/11/04 2015/02/26 75.0061858 UBS AG – HSI R Bear CBBC Feb 2015 Q 300,000,000 2014/11/04 2015/02/26 75.0061859 UBS AG – Kingsoft R Bull CBBC Jun 2015 B 20,000,000 2014/11/04 2015/06/29 10.0065950# HK Bank – HSI R Bear CBBC Apr 2015 N 180,000,000 2014/11/04 2015/04/29 13.6861999 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 H 200,000,000 2014/11/05 2015/06/29 50.0062000 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 M 200,000,000 2014/11/05 2015/06/29 50.0062002 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 N 200,000,000 2014/11/05 2015/06/29 50.0061932 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 E 200,000,000 2014/11/05 2015/03/30 50.0061933 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 F 200,000,000 2014/11/05 2015/03/30 50.0061929 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 Z 200,000,000 2014/11/05 2015/03/30 50.0062032 Credit Suisse AG – HSI R Bull CBBC Apr 2015 I 238,000,000 2014/11/05 2015/04/29 59.5062033 Credit Suisse AG – HSI R Bull CBBC Apr 2015 J 238,000,000 2014/11/05 2015/04/29 59.5062030 Credit Suisse AG – HSI R Bull CBBC Apr 2015 S 238,000,000 2014/11/05 2015/04/29 59.5062034 Credit Suisse AG – HSI R Bull CBBC Apr 2015 T 238,000,000 2014/11/05 2015/04/29 59.5062029 Credit Suisse AG – HSI R Bull CBBC Jul 2015 R 238,000,000 2014/11/05 2015/07/30 59.5061948 Credit Suisse AG – HSI R Bear CBBC Feb 2015 B 238,000,000 2014/11/05 2015/02/26 59.5061958 Credit Suisse AG – HSI R Bear CBBC Feb 2015 C 238,000,000 2014/11/05 2015/02/26 59.5062028 Credit Suisse AG – HSI R Bear CBBC Feb 2015 G 238,000,000 2014/11/05 2015/02/26 59.5061946 Credit Suisse AG – HSI R Bear CBBC Feb 2015 P 238,000,000 2014/11/05 2015/02/26 59.5061947 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Q 238,000,000 2014/11/05 2015/02/26 59.5062035 Goldman Sachs SP (Asia) – HSI R Bull CBBC Feb 2015 E 150,000,000 2014/11/05 2015/02/26 45.3062036 Goldman Sachs SP (Asia) – HSI R Bull CBBC Feb 2015 F 150,000,000 2014/11/05 2015/02/26 52.3561991 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 T 300,000,000 2014/11/05 2015/07/30 75.0061985 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 I 300,000,000 2014/11/05 2015/08/28 75.0061990 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 J 300,000,000 2014/11/05 2015/08/28 75.0061961 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/11/05 2015/02/26 75.0061962 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 P 300,000,000 2014/11/05 2015/03/30 75.0061963 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 Q 300,000,000 2014/11/05 2015/03/30 75.0061984 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 R 300,000,000 2014/11/05 2015/03/30 75.0061992 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2015 D 50,000,000 2014/11/05 2015/03/30 12.7561993 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2015 E 50,000,000 2014/11/05 2015/03/30 12.5061937 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 A 100,000,000 2014/11/05 2015/06/29 25.0061938 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 S 100,000,000 2014/11/05 2015/02/26 25.0061939 Standard Chartered Bank – Kingsoft R Bull CBBC Dec 2015 A 40,000,000 2014/11/05 2015/12/02 28.4061940 Standard Chartered Bank – Kingsoft R Bull CBBC Dec 2015 B 40,000,000 2014/11/05 2015/12/03 20.4061941 Standard Chartered Bank – Kingsoft R Bull CBBC Dec 2015 C 40,000,000 2014/11/05 2015/12/04 12.4061942 Standard Chartered Bank – Kingsoft R Bear CBBC Nov 2015 A 40,000,000 2014/11/05 2015/11/04 16.8061943 Standard Chartered Bank – Kingsoft R Bear CBBC Nov 2015 B 40,000,000 2014/11/05 2015/11/05 28.8061944 Standard Chartered Bank – Kingsoft R Bear CBBC Nov 2015 C 40,000,000 2014/11/05 2015/11/06 40.8061972 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 W 200,000,000 2014/11/05 2015/06/29 50.0061974 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 X 200,000,000 2014/11/05 2015/06/29 50.0061978 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 Y 200,000,000 2014/11/05 2015/06/29 50.0061913 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 O 200,000,000 2014/11/05 2015/07/30 50.0061914 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 Q 200,000,000 2014/11/05 2015/02/26 50.00




61920 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 R 200,000,000 2014/11/05 2015/02/26 50.0061979 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 S 200,000,000 2014/11/05 2015/02/26 50.0061981 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 I 200,000,000 2014/11/05 2015/03/30 50.0061982 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 F 400,000,000 2014/11/05 2015/04/29 100.0061983 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 G 400,000,000 2014/11/05 2015/04/29 100.0062003 UBS AG – HSI R Bull CBBC Apr 2015 F 300,000,000 2014/11/05 2015/04/29 75.0062027 UBS AG – HSI R Bull CBBC Jun 2015 Y 300,000,000 2014/11/05 2015/06/29 75.0062004 UBS AG – HSI R Bull CBBC Jul 2015 L 300,000,000 2014/11/05 2015/07/30 75.0061936 UBS AG – HSI R Bear CBBC Feb 2015 E 300,000,000 2014/11/05 2015/02/26 75.0061934 UBS AG – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/11/05 2015/02/26 75.0061935 UBS AG – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/11/05 2015/02/26 75.0062022 UBS AG – HSI R Bear CBBC Mar 2015 U 300,000,000 2014/11/05 2015/03/30 76.5062023 UBS AG – HSI R Bear CBBC Mar 2015 V 300,000,000 2014/11/05 2015/03/30 75.0062006 UBS AG – HSI R Bear CBBC Apr 2015 C 300,000,000 2014/11/05 2015/04/29 82.5062110 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/11/06 2015/05/28 59.5062112 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/11/06 2015/05/28 59.5062111 Credit Suisse AG – HSI R Bull CBBC May 2015 E 238,000,000 2014/11/06 2015/05/28 59.5062115 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/11/06 2015/05/28 59.5062119 Credit Suisse AG – HSI R Bear CBBC Mar 2015 M 238,000,000 2014/11/06 2015/03/30 59.5062120 Credit Suisse AG – HSI R Bear CBBC Mar 2015 N 238,000,000 2014/11/06 2015/03/30 59.5062118 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Y 238,000,000 2014/11/06 2015/03/30 59.5062134 Goldman Sachs SP (Asia) – HSI R Bear CBBC May 2015 B 150,000,000 2014/11/06 2015/05/28 42.1562060 HK Bank – Anhui Conch R Bull CBBC Jun 2016 A 50,000,000 2014/11/06 2016/06/27 12.5062038 HK Bank – China Mobile R Bull CBBC Jul 2015 K 120,000,000 2014/11/06 2015/07/20 30.0062059 HK Bank – China Mobile R Bull CBBC Jul 2015 L 120,000,000 2014/11/06 2015/07/13 30.0062066 HK Bank – China Life R Bull CBBC Jul 2015 C 60,000,000 2014/11/06 2015/07/24 15.0062057 HK Bank – CSOP A50 ETF R Bull CBBC May 2015 E 200,000,000 2014/11/06 2015/05/18 50.0062055 HK Bank – A50 R Bull CBBC May 2015 E 200,000,000 2014/11/06 2015/05/18 50.0062039 HK Bank – Galaxy Ent R Bull CBBC Jul 2015 F 80,000,000 2014/11/06 2015/07/13 20.0062062 HK Bank – Great Wall Motor R Bull CBBC Jun 2016 A 40,000,000 2014/11/06 2016/06/27 10.0062054 HK Bank – HSCEI R Bull CBBC Jun 2015 D 100,000,000 2014/11/06 2015/06/29 25.0062041 HK Bank – HSI R Bull CBBC Jul 2015 K 100,000,000 2014/11/06 2015/07/30 25.0062042 HK Bank – HSI R Bull CBBC Jul 2015 L 100,000,000 2014/11/06 2015/07/30 25.0062050 HK Bank – HSI R Bull CBBC Jul 2015 M 400,000,000 2014/11/06 2015/07/30 100.0062063 HK Bank – Kingsoft R Bull CBBC Aug 2015 C 50,000,000 2014/11/06 2015/08/31 15.0062065 HK Bank – Ping An R Bull CBBC Jul 2015 C 60,000,000 2014/11/06 2015/07/24 15.0062064 HK Bank – Sands China R Bull CBBC Jul 2015 E 80,000,000 2014/11/06 2015/07/24 20.0062069 HK Bank – Wharf Holdings R Bull CBBC Oct 2015 A 40,000,000 2014/11/06 2015/10/26 10.0062072 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 W 300,000,000 2014/11/06 2015/07/30 75.0062071 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 K 300,000,000 2014/11/06 2015/08/28 75.0062117 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/11/06 2015/02/26 75.0062073 Standard Chartered Bank – HSI R Bull CBBC Jul 2015 A 100,000,000 2014/11/06 2015/07/30 25.0062074 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 H 100,000,000 2014/11/06 2015/02/26 25.0062091 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 P 400,000,000 2014/11/06 2015/07/30 100.0062096 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 Q 400,000,000 2014/11/06 2015/07/30 100.00




62099 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 R 400,000,000 2014/11/06 2015/07/30 100.0062100 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 S 200,000,000 2014/11/06 2015/07/30 50.0062101 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 T 200,000,000 2014/11/06 2015/07/30 50.0062102 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 T 200,000,000 2014/11/06 2015/02/26 50.0062104 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 U 200,000,000 2014/11/06 2015/02/26 50.0062105 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 J 200,000,000 2014/11/06 2015/03/30 50.0062103 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 H 200,000,000 2014/11/06 2015/04/29 50.0062108 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 I 200,000,000 2014/11/06 2015/04/29 50.0062081 UBS AG – HSI R Bull CBBC Apr 2015 G 350,000,000 2014/11/06 2015/04/29 87.5062080 UBS AG – HSI R Bull CBBC May 2015 A 300,000,000 2014/11/06 2015/05/28 75.0062077 UBS AG – HSI R Bull CBBC Jun 2015 Z 300,000,000 2014/11/06 2015/06/29 75.0062131 UBS AG – HSI R Bear CBBC Feb 2015 S 300,000,000 2014/11/06 2015/02/26 75.0062129 UBS AG – HSI R Bear CBBC Mar 2015 W 300,000,000 2014/11/06 2015/03/30 75.0062219 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 O 200,000,000 2014/11/07 2015/06/29 50.0062178 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 G 200,000,000 2014/11/07 2015/03/30 50.0062211 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 I 200,000,000 2014/11/07 2015/03/30 50.0062215 Credit Suisse AG – HSI R Bull CBBC Jun 2015 E 238,000,000 2014/11/07 2015/06/29 59.5062213 Credit Suisse AG – HSI R Bull CBBC Jun 2015 K 238,000,000 2014/11/07 2015/06/29 59.5062214 Credit Suisse AG – HSI R Bull CBBC Jun 2015 L 238,000,000 2014/11/07 2015/06/29 59.5062165 Credit Suisse AG – HSI R Bear CBBC Feb 2015 E 238,000,000 2014/11/07 2015/02/26 59.5062173 Credit Suisse AG – HSI R Bear CBBC Feb 2015 F 238,000,000 2014/11/07 2015/02/26 59.5062164 Credit Suisse AG – HSI R Bear CBBC Feb 2015 O 238,000,000 2014/11/07 2015/02/26 59.5062212 Credit Suisse AG – HSI R Bear CBBC Mar 2015 P 238,000,000 2014/11/07 2015/03/30 59.5062201 Bank of East Asia – Anhui Conch R Bull CBBC Dec 2015 A 200,000,000 2014/11/07 2015/12/22 50.0062195 Bank of East Asia – Great Wall Motor R Bull CBBC Dec 2015 A 150,000,000 2014/11/07 2015/12/30 37.5062196 Bank of East Asia – Great Wall Motor R Bear CBBC Dec 2015 A 80,000,000 2014/11/07 2015/12/30 20.0062197 Bank of East Asia – Kingsoft R Bull CBBC Oct 2015 A 40,000,000 2014/11/07 2015/10/22 20.0062200 Bank of East Asia – Kingsoft R Bull CBBC Dec 2015 A 40,000,000 2014/11/07 2015/12/22 26.0062217 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 A 300,000,000 2014/11/07 2015/07/30 75.0062188 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 L 300,000,000 2014/11/07 2015/08/28 75.0062136 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 V 300,000,000 2014/11/07 2015/02/26 75.0062185 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 W 300,000,000 2014/11/07 2015/02/26 75.0062139 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 S 300,000,000 2014/11/07 2015/03/30 75.0062189 Standard Chartered Bank – Anhui Conch R Bull CBBC Nov 2015 A 50,000,000 2014/11/07 2015/11/30 12.5062190 Standard Chartered Bank – Anhui Conch R Bull CBBC Dec 2015 A 50,000,000 2014/11/07 2015/12/31 12.5062174 Standard Chartered Bank – HSI R Bull CBBC Jul 2015 B 100,000,000 2014/11/07 2015/07/30 25.0062191 Standard Chartered Bank – HSI R Bull CBBC Jul 2015 C 100,000,000 2014/11/07 2015/07/30 25.0062175 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 C 100,000,000 2014/11/07 2015/02/26 25.0062176 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 O 100,000,000 2014/11/07 2015/02/26 25.0062142 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug15 A 400,000,000 2014/11/07 2015/08/28 100.0062145 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 X 200,000,000 2014/11/07 2015/02/26 50.0062143 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 K 200,000,000 2014/11/07 2015/03/30 50.0062148 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 L 200,000,000 2014/11/07 2015/03/30 50.0062179 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 M 200,000,000 2014/11/07 2015/03/30 50.0062182 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 N 200,000,000 2014/11/07 2015/03/30 50.00




62183 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 O 200,000,000 2014/11/07 2015/03/30 50.0062184 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 P 200,000,000 2014/11/07 2015/03/30 50.0062159 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 J 200,000,000 2014/11/07 2015/04/29 50.0062206 UBS AG – HSI R Bull CBBC Apr 2015 H 300,000,000 2014/11/07 2015/04/29 75.0062207 UBS AG – HSI R Bull CBBC May 2015 B 300,000,000 2014/11/07 2015/05/28 75.0062208 UBS AG – HSI R Bull CBBC May 2015 C 300,000,000 2014/11/07 2015/05/28 75.0062210 UBS AG – HSI R Bull CBBC Jul 2015 M 350,000,000 2014/11/07 2015/07/30 87.5062161 UBS AG – HSI R Bear CBBC Feb 2015 N 300,000,000 2014/11/07 2015/02/26 75.0062162 UBS AG – HSI R Bear CBBC Feb 2015 O 300,000,000 2014/11/07 2015/02/26 75.0062251 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 J 200,000,000 2014/11/10 2015/03/30 50.0062255 Credit Suisse AG – HSI R Bull CBBC Jun 2015 M 238,000,000 2014/11/10 2015/06/29 59.5062257 Credit Suisse AG – HSI R Bull CBBC Jun 2015 N 238,000,000 2014/11/10 2015/06/29 59.5062277 Credit Suisse AG – HSI R Bear CBBC Feb 2015 A 238,000,000 2014/11/10 2015/02/26 59.5062279 Credit Suisse AG – HSI R Bear CBBC Feb 2015 D 238,000,000 2014/11/10 2015/02/26 59.5062283 Credit Suisse AG – HSI R Bear CBBC Feb 2015 V 238,000,000 2014/11/10 2015/02/26 59.5062285 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 B 150,000,000 2014/11/10 2015/03/30 39.7562239 HK Bank – China Mobile R Bull CBBC Jul 2015 M 120,000,000 2014/11/10 2015/07/23 30.0062242 HK Bank – CITIC R Bull CBBC Jun 2015 A 40,000,000 2014/11/10 2015/06/29 10.0062249 HK Bank – CM Bank R Bull CBBC Aug 2015 A 40,000,000 2014/11/10 2015/08/31 10.0062228 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2015 C 200,000,000 2014/11/10 2015/06/15 50.0062246 HK Bank – China Shenhua R Bull CBBC Sep 2015 A 40,000,000 2014/11/10 2015/09/29 12.8062247 HK Bank – China Shenhua R Bear CBBC Sep 2015 A 40,000,000 2014/11/10 2015/09/29 16.0062233 HK Bank – A50 R Bull CBBC Jun 2015 C 200,000,000 2014/11/10 2015/06/15 50.0062248 HK Bank – GCL-Poly Energy R Bull CBBC Dec 2015 B 40,000,000 2014/11/10 2015/12/14 10.0062241 HK Bank – Galaxy Ent R Bull CBBC Jul 2015 G 80,000,000 2014/11/10 2015/07/20 20.0062225 HK Bank – HSI R Bull CBBC Jun 2015 P 100,000,000 2014/11/10 2015/06/29 25.0062227 HK Bank – HSI R Bull CBBC Jun 2015 Q 100,000,000 2014/11/10 2015/06/29 25.0062220 HK Bank – HSI R Bull CBBC Aug 2015 H 100,000,000 2014/11/10 2015/08/28 25.0062236 HK Bank – Sands China R Bull CBBC Aug 2015 B 80,000,000 2014/11/10 2015/08/03 20.0062235 HK Bank – TCH R Bull CBBC Jun 2015 K 100,000,000 2014/11/10 2015/06/24 25.0062237 HK Bank – TCH R Bull CBBC Jun 2015 L 100,000,000 2014/11/10 2015/06/17 25.0062276 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 X 300,000,000 2014/11/10 2015/07/30 75.0062250 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/11/10 2015/02/26 75.0062253 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2015 F 50,000,000 2014/11/10 2015/03/30 12.5062258 Standard Chartered Bank – Galaxy Ent R Bull CBBC Sep 2015 A 50,000,000 2014/11/10 2015/09/18 12.5062260 Standard Chartered Bank – Galaxy Ent R Bear CBBC Aug 2015 A 50,000,000 2014/11/10 2015/08/24 12.5062261 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 E 100,000,000 2014/11/10 2015/03/30 25.0062267 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 Q 100,000,000 2014/11/10 2015/02/26 25.0062269 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 Z 200,000,000 2014/11/10 2015/06/29 50.0062275 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 Q 200,000,000 2014/11/10 2015/03/30 50.0062252 UBS AG – HSI R Bull CBBC May 2015 D 300,000,000 2014/11/10 2015/05/28 75.0062280 UBS AG – HSI R Bear CBBC Feb 2015 P 300,000,000 2014/11/10 2015/02/26 75.0062282 UBS AG – HSI R Bear CBBC Mar 2015 X 350,000,000 2014/11/10 2015/03/30 87.5062377 Credit Suisse AG – China Mobile R Bull CBBC Feb 2015 C 50,000,000 2014/11/11 2015/02/27 12.5062380 Credit Suisse AG – China Mobile R Bull CBBC Feb 2015 D 50,000,000 2014/11/11 2015/02/27 12.50




62382 Credit Suisse AG – HSI R Bull CBBC Apr 2015 U 238,000,000 2014/11/11 2015/04/29 59.5062383 Credit Suisse AG – HSI R Bull CBBC Apr 2015 V 238,000,000 2014/11/11 2015/04/29 59.5062325 Credit Suisse AG – HSI R Bear CBBC Mar 2015 S 238,000,000 2014/11/11 2015/03/30 59.5062332 Credit Suisse AG – HSI R Bear CBBC Mar 2015 T 238,000,000 2014/11/11 2015/03/30 59.5062381 Credit Suisse AG – HSI R Bear CBBC Mar 2015 U 238,000,000 2014/11/11 2015/03/30 59.5062375 Credit Suisse AG – TCH R Bull CBBC Feb 2015 C 50,000,000 2014/11/11 2015/02/27 12.5062376 Credit Suisse AG – TCH R Bull CBBC Feb 2015 D 50,000,000 2014/11/11 2015/02/27 12.5062295 HK Bank – AIA R Bull CBBC Sep 2015 B 60,000,000 2014/11/11 2015/09/29 15.0062286 HK Bank – BOCL R Bull CBBC Aug 2015 B 80,000,000 2014/11/11 2015/08/31 20.0062288 HK Bank – BOCL R Bear CBBC Aug 2015 A 40,000,000 2014/11/11 2015/08/31 10.0062293 HK Bank – HSI R Bull CBBC Aug 2015 I 100,000,000 2014/11/11 2015/08/28 25.0062374 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 C 300,000,000 2014/11/11 2015/07/30 75.0062316 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 A 300,000,000 2014/11/11 2015/02/26 75.0062350 Standard Chartered Bank – CNOOC R Bull CBBC Apr 2015 A 50,000,000 2014/11/11 2015/04/15 12.5062351 Standard Chartered Bank – CNOOC R Bear CBBC Apr 2015 A 50,000,000 2014/11/11 2015/04/20 12.5062334 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 F 100,000,000 2014/11/11 2015/03/30 25.0062337 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 T 100,000,000 2014/11/11 2015/02/26 25.0062338 Standard Chartered Bank – PetCh R Bull CBBC May 2015 A 50,000,000 2014/11/11 2015/05/20 12.5062339 Standard Chartered Bank – PetCh R Bear CBBC Jul 2015 A 50,000,000 2014/11/11 2015/07/07 12.5062296 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug15 B 400,000,000 2014/11/11 2015/08/28 100.0062297 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 V 200,000,000 2014/11/11 2015/02/26 50.0062299 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 W 200,000,000 2014/11/11 2015/02/26 50.0062298 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 Y 200,000,000 2014/11/11 2015/02/26 50.0062309 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 Z 200,000,000 2014/11/11 2015/02/26 50.0062359 UBS AG – China Mobile R Bull CBBC Jun 2015 D 100,000,000 2014/11/11 2015/06/08 25.0062355 UBS AG – CSOP A50 ETF R Bull CBBC Apr 2015 A 100,000,000 2014/11/11 2015/04/20 25.0062369 UBS AG – HKEx R Bull CBBC Sep 2015 H 100,000,000 2014/11/11 2015/09/08 25.0062370 UBS AG – HSI R Bull CBBC Apr 2015 I 350,000,000 2014/11/11 2015/04/29 87.5062372 UBS AG – HSI R Bear CBBC Feb 2015 U 350,000,000 2014/11/11 2015/02/26 87.5062354 UBS AG – HSI R Bear CBBC Mar 2015 Y 300,000,000 2014/11/11 2015/03/30 75.0062368 UBS AG – TCH R Bull CBBC Jun 2015 F 100,000,000 2014/11/11 2015/06/15 25.0062360 UBS AG – Tencent R Bear CBBC Apr 2015 C 100,000,000 2014/11/11 2015/04/20 25.0062389 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 L 200,000,000 2014/11/12 2015/06/29 50.0062385 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 W 200,000,000 2014/11/12 2015/06/29 50.0062418 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 K 200,000,000 2014/11/12 2015/03/30 50.0062434 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 L 200,000,000 2014/11/12 2015/03/30 50.0062411 Credit Suisse AG – HSI R Bull CBBC Apr 2015 W 238,000,000 2014/11/12 2015/04/29 59.5062413 Credit Suisse AG – HSI R Bull CBBC Apr 2015 X 238,000,000 2014/11/12 2015/04/29 59.5062421 Credit Suisse AG – HSI R Bull CBBC Apr 2015 Y 238,000,000 2014/11/12 2015/04/29 59.5062422 Credit Suisse AG – HSI R Bear CBBC Feb 2015 B 238,000,000 2014/11/12 2015/02/26 59.5062423 Credit Suisse AG – HSI R Bear CBBC Feb 2015 C 238,000,000 2014/11/12 2015/02/26 59.5062425 Credit Suisse AG – HSI R Bear CBBC Feb 2015 P 238,000,000 2014/11/12 2015/02/26 59.5062433 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 C 150,000,000 2014/11/12 2015/03/30 40.5062406 HK Bank – CNOOC R Bull CBBC Oct 2015 E 60,000,000 2014/11/12 2015/10/30 19.2062405 HK Bank – CNOOC R Bear CBBC Jul 2015 B 40,000,000 2014/11/12 2015/07/31 10.00




62396 HK Bank – HSI R Bear CBBC Apr 2015 V 100,000,000 2014/11/12 2015/04/29 25.0062393 HK Bank – HSI R Bear CBBC May 2015 X 100,000,000 2014/11/12 2015/05/28 25.0062398 HK Bank – TCH R Bull CBBC Jun 2015 M 100,000,000 2014/11/12 2015/06/29 25.0062401 HK Bank – TCH R Bear CBBC Aug 2015 B 100,000,000 2014/11/12 2015/08/31 25.0062435 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 D 300,000,000 2014/11/12 2015/07/30 75.0062417 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 M 300,000,000 2014/11/12 2015/08/28 75.0062436 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Q 300,000,000 2014/11/12 2015/02/26 75.0062407 Standard Chartered Bank – Sands China R Bull CBBC Jul 2015 C 50,000,000 2014/11/12 2015/07/16 12.5062408 Standard Chartered Bank – Sands China R Bear CBBC Apr 2015 C 50,000,000 2014/11/12 2015/04/14 12.5062409 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 A 200,000,000 2014/11/12 2015/06/29 50.0062410 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 B 200,000,000 2014/11/12 2015/06/29 50.0062415 UBS AG – HSI R Bull CBBC Jul 2015 N 300,000,000 2014/11/12 2015/07/30 75.0062416 UBS AG – HSI R Bull CBBC Jul 2015 O 300,000,000 2014/11/12 2015/07/30 75.0062428 UBS AG – HSI R Bear CBBC Feb 2015 V 300,000,000 2014/11/12 2015/02/26 75.0062431 UBS AG – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/11/12 2015/02/26 75.0062430 UBS AG – HSI R Bear CBBC Mar 2015 Z 300,000,000 2014/11/12 2015/03/30 75.0062469 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/11/13 2015/05/28 59.5062486 Credit Suisse AG – HSI R Bear CBBC Mar 2015 O 238,000,000 2014/11/13 2015/03/30 59.5062485 Credit Suisse AG – HSI R Bear CBBC Mar 2015 V 238,000,000 2014/11/13 2015/03/30 59.5062487 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 A 150,000,000 2014/11/13 2015/03/30 42.4562460 HK Bank – China Mobile R Bull CBBC Oct 2015 A 120,000,000 2014/11/13 2015/10/30 36.0062441 HK Bank – Galaxy Ent R Bear CBBC Jul 2015 E 60,000,000 2014/11/13 2015/07/13 15.0062443 HK Bank – Galaxy Ent R Bear CBBC Jul 2015 F 60,000,000 2014/11/13 2015/07/31 15.0062451 HK Bank – Galaxy Ent R Bear CBBC Oct 2015 A 60,000,000 2014/11/13 2015/10/30 15.0062447 HK Bank – Galaxy Ent R Bear CBBC Nov 2015 A 60,000,000 2014/11/13 2015/11/30 16.2062454 HK Bank – Galaxy Ent R Bear CBBC Dec 2015 A 60,000,000 2014/11/13 2015/12/21 20.4062439 HK Bank – HSI R Bull CBBC Apr 2015 F 100,000,000 2014/11/13 2015/04/29 25.0062440 HK Bank – HSI R Bear CBBC May 2015 Y 100,000,000 2014/11/13 2015/05/28 25.0062444 HK Bank – Sands China R Bear CBBC Apr 2015 B 60,000,000 2014/11/13 2015/04/29 15.0062450 HK Bank – Sands China R Bear CBBC Oct 2015 A 60,000,000 2014/11/13 2015/10/30 15.0062492 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 R 300,000,000 2014/11/13 2015/02/26 75.0062488 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 T 300,000,000 2014/11/13 2015/03/30 75.0062466 Standard Chartered Bank – China Life R Bear CBBC Apr 2015 A 50,000,000 2014/11/13 2015/04/02 25.0062476 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 F 100,000,000 2014/11/13 2015/02/26 25.0062472 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 P 200,000,000 2014/11/13 2015/02/26 50.0062468 UBS AG – HSI R Bull CBBC Apr 2015 J 350,000,000 2014/11/13 2015/04/29 87.5062483 UBS AG – HSI R Bear CBBC Feb 2015 R 300,000,000 2014/11/13 2015/02/26 75.0062499 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 P 200,000,000 2014/11/14 2015/06/29 50.0062501 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Q 200,000,000 2014/11/14 2015/06/29 50.0062576 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 M 200,000,000 2014/11/14 2015/03/30 50.0062529 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/11/14 2015/05/28 59.5062527 Credit Suisse AG – HSI R Bull CBBC May 2015 E 238,000,000 2014/11/14 2015/05/28 59.5062530 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/11/14 2015/05/28 59.5062532 Credit Suisse AG – HSI R Bear CBBC Feb 2015 E 238,000,000 2014/11/14 2015/02/26 59.5062531 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Q 238,000,000 2014/11/14 2015/02/26 59.50




62526 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 B 150,000,000 2014/11/14 2015/03/30 39.7562573 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 D 150,000,000 2014/11/14 2015/03/30 37.8062493 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 N 300,000,000 2014/11/14 2015/08/28 75.0062494 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 O 300,000,000 2014/11/14 2015/08/28 75.0062571 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 S 300,000,000 2014/11/14 2015/02/26 75.0062570 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 U 300,000,000 2014/11/14 2015/02/26 75.0062574 Macquarie Bank Ltd. – HSI R Bear CBBC Mar 2015 A 50,000,000 2014/11/14 2015/03/30 12.5062505 Standard Chartered Bank – China Life R Bull CBBC Aug 2015 A 50,000,000 2014/11/14 2015/08/03 30.0062507 Standard Chartered Bank – Galaxy Ent R Bull CBBC May 2015 A 50,000,000 2014/11/14 2015/05/08 12.5062508 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 D 100,000,000 2014/11/14 2015/02/26 25.0062550 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 E 100,000,000 2014/11/14 2015/02/26 25.0062551 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 I 100,000,000 2014/11/14 2015/02/26 25.0062506 Standard Chartered Bank – Hutchison R Bull CBBC Apr 2015 A 50,000,000 2014/11/14 2015/04/02 12.5062513 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 U 200,000,000 2014/11/14 2015/07/30 50.0062514 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 V 200,000,000 2014/11/14 2015/07/30 50.0062517 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 R 200,000,000 2014/11/14 2015/03/30 50.0062524 UBS AG – HSCEI R Bull CBBC Sep 2015 A 100,000,000 2014/11/14 2015/09/29 25.0062518 UBS AG – HSI R Bull CBBC May 2015 E 300,000,000 2014/11/14 2015/05/28 75.0062523 UBS AG – HSI R Bull CBBC Jun 2015 C 300,000,000 2014/11/14 2015/06/29 75.0062552 UBS AG – HSI R Bear CBBC Feb 2015 L 300,000,000 2014/11/14 2015/02/26 75.0062569 UBS AG – HSI R Bear CBBC Feb 2015 M 300,000,000 2014/11/14 2015/02/26 75.0062652 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 D 100,000,000 2014/11/17 2015/06/29 25.0062647 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 E 200,000,000 2014/11/17 2015/06/29 50.0062595 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 Q 200,000,000 2014/11/17 2015/03/30 50.0062594 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 R 200,000,000 2014/11/17 2015/03/30 50.0062599 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 S 200,000,000 2014/11/17 2015/03/30 50.0062653 Credit Suisse AG – HSI R Bull CBBC Jun 2015 O 238,000,000 2014/11/17 2015/06/29 59.5062655 Credit Suisse AG – HSI R Bull CBBC Jun 2015 P 238,000,000 2014/11/17 2015/06/29 59.5062656 Credit Suisse AG – HSI R Bull CBBC Jun 2015 Q 238,000,000 2014/11/17 2015/06/29 59.5062662 Credit Suisse AG – HSI R Bull CBBC Jun 2015 R 238,000,000 2014/11/17 2015/06/29 59.5062617 Credit Suisse AG – HSI R Bear CBBC Feb 2015 A 238,000,000 2014/11/17 2015/02/26 59.5062618 Credit Suisse AG – HSI R Bear CBBC Feb 2015 D 238,000,000 2014/11/17 2015/02/26 59.5062616 Credit Suisse AG – HSI R Bear CBBC Feb 2015 F 238,000,000 2014/11/17 2015/02/26 59.5062620 Credit Suisse AG – HSI R Bear CBBC Feb 2015 G 238,000,000 2014/11/17 2015/02/26 59.5062621 Credit Suisse AG – HSI R Bear CBBC Feb 2015 O 238,000,000 2014/11/17 2015/02/26 59.5062631 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 C 150,000,000 2014/11/17 2015/03/30 46.5062630 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 E 150,000,000 2014/11/17 2015/03/30 42.0062622 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 E 300,000,000 2014/11/17 2015/07/30 75.0062623 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 P 300,000,000 2014/11/17 2015/08/28 75.0062587 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/11/17 2015/02/26 75.0062583 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/11/17 2015/02/26 75.0062586 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/11/17 2015/02/26 75.0062589 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 U 300,000,000 2014/11/17 2015/03/30 75.0062603 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 L 100,000,000 2014/11/17 2015/02/26 25.0062607 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 R 100,000,000 2014/11/17 2015/02/26 25.00




62590 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 C 200,000,000 2014/11/17 2015/06/29 50.0062624 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 W 200,000,000 2014/11/17 2015/07/30 50.0062591 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 N 200,000,000 2014/11/17 2015/02/26 50.0062593 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 S 200,000,000 2014/11/17 2015/03/30 50.0062625 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 K 200,000,000 2014/11/17 2015/04/29 50.0062626 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 L 200,000,000 2014/11/17 2015/04/29 50.0062627 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 M 200,000,000 2014/11/17 2015/04/29 50.0062636 UBS AG – HSI R Bull CBBC Apr 2015 K 300,000,000 2014/11/17 2015/04/29 75.0062632 UBS AG – HSI R Bull CBBC May 2015 F 300,000,000 2014/11/17 2015/05/28 75.0062637 UBS AG – HSI R Bull CBBC Jun 2015 B 300,000,000 2014/11/17 2015/06/29 75.0062640 UBS AG – HSI R Bull CBBC Jul 2015 P 300,000,000 2014/11/17 2015/07/30 75.0062611 UBS AG – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/11/17 2015/02/26 75.0062612 UBS AG – HSI R Bear CBBC Feb 2015 W 300,000,000 2014/11/17 2015/02/26 75.0062613 UBS AG – HSI R Bear CBBC Mar 2015 C 300,000,000 2014/11/17 2015/03/30 75.0062614 UBS AG – HSI R Bear CBBC Mar 2015 H 350,000,000 2014/11/17 2015/03/30 87.5062792 Credit Suisse AG – HSI R Bull CBBC Apr 2015 A 238,000,000 2014/11/18 2015/04/29 59.5062794 Credit Suisse AG – HSI R Bull CBBC Apr 2015 C 238,000,000 2014/11/18 2015/04/29 59.5062740 Credit Suisse AG – HSI R Bear CBBC Mar 2015 R 238,000,000 2014/11/18 2015/03/30 59.5062741 Credit Suisse AG – HSI R Bear CBBC Mar 2015 W 238,000,000 2014/11/18 2015/03/30 59.5062703 HK Bank – AIA R Bull CBBC Jul 2015 A 60,000,000 2014/11/18 2015/07/06 15.0062701 HK Bank – China Mobile R Bull CBBC Oct 2015 B 120,000,000 2014/11/18 2015/10/30 30.0062670 HK Bank – A50 R Bull CBBC Aug 2015 A 200,000,000 2014/11/18 2015/08/31 50.0062676 HK Bank – GCL-Poly Energy R Bull CBBC Apr 2016 A 40,000,000 2014/11/18 2016/04/08 10.0062686 HK Bank – GCL-Poly Energy R Bull CBBC Apr 2016 B 40,000,000 2014/11/18 2016/04/18 10.0062668 HK Bank – HKEx R Bull CBBC Sep 2015 B 60,000,000 2014/11/18 2015/09/30 15.0062669 HK Bank – HKEx R Bull CBBC Sep 2015 C 60,000,000 2014/11/18 2015/09/30 15.0062664 HK Bank – HSCEI R Bull CBBC May 2015 A 100,000,000 2014/11/18 2015/05/28 25.0062663 HK Bank – HSI R Bull CBBC Oct 2015 B 100,000,000 2014/11/18 2015/10/29 25.0062667 HK Bank – TCH R Bull CBBC Jul 2015 K 100,000,000 2014/11/18 2015/07/20 25.0062665 HK Bank – TCH R Bull CBBC Aug 2015 C 100,000,000 2014/11/18 2015/08/31 25.0062666 HK Bank – TCH R Bull CBBC Aug 2015 D 100,000,000 2014/11/18 2015/08/24 25.0062745 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 G 300,000,000 2014/11/18 2015/07/30 75.0062746 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 H 300,000,000 2014/11/18 2015/07/30 75.0062704 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 V 300,000,000 2014/11/18 2015/02/26 75.0062777 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 F 100,000,000 2014/11/18 2015/02/26 25.0062782 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 B 100,000,000 2014/11/18 2015/02/26 25.0062723 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jun15F 100,000,000 2014/11/18 2015/06/29 25.0062721 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jul15A 100,000,000 2014/11/18 2015/07/30 25.0062726 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jun15C 100,000,000 2014/11/18 2015/06/29 25.0062727 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jun 15E 100,000,000 2014/11/18 2015/06/29 25.0062739 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar 15T 200,000,000 2014/11/18 2015/03/30 50.0062768 UBS AG – CC Bank R Bull CBBC Aug 2015 C 100,000,000 2014/11/18 2015/08/17 25.0062769 UBS AG – CNOOC R Bull CBBC Oct 2015 C 100,000,000 2014/11/18 2015/10/05 25.0062774 UBS AG – Sinopec Corp R Bull CBBC Sep 2015 B 100,000,000 2014/11/18 2015/09/29 25.0062763 UBS AG – CSOP A50 ETF R Bull CBBC May 2015 A 100,000,000 2014/11/18 2015/05/11 25.00




62754 UBS AG – A50 China R Bull CBBC Apr 2015 C 100,000,000 2014/11/18 2015/04/13 25.0062772 UBS AG – HKEx R Bull CBBC Nov 2015 A 100,000,000 2014/11/18 2015/11/30 25.0062783 UBS AG – HSI R Bull CBBC May 2015 G 300,000,000 2014/11/18 2015/05/28 75.0062785 UBS AG – HSI R Bull CBBC May 2015 I 300,000,000 2014/11/18 2015/05/28 75.0062786 UBS AG – HSI R Bull CBBC Jun 2015 D 300,000,000 2014/11/18 2015/06/29 75.0062706 UBS AG – HSI R Bear CBBC Feb 2015 C 300,000,000 2014/11/18 2015/02/26 75.0062714 UBS AG – HSI R Bear CBBC Feb 2015 Q 300,000,000 2014/11/18 2015/02/26 75.0062718 UBS AG – HSI R Bear CBBC Mar 2015 G 350,000,000 2014/11/18 2015/03/30 87.5062767 UBS AG – ICBC R Bull CBBC Aug 2015 A 100,000,000 2014/11/18 2015/08/10 25.0062770 UBS AG – Petrochina R Bull CBBC Jun 2015 B 100,000,000 2014/11/18 2015/06/15 25.0062771 UBS AG – TCH R Bull CBBC Jun 2015 G 100,000,000 2014/11/18 2015/06/29 25.0062857 Credit Suisse AG – HSI R Bull CBBC May 2015 Y 238,000,000 2014/11/19 2015/05/28 59.5062858 Credit Suisse AG – HSI R Bull CBBC May 2015 Z 238,000,000 2014/11/19 2015/05/28 59.5062854 Credit Suisse AG – HSI R Bear CBBC Feb 2015 B 238,000,000 2014/11/19 2015/02/26 59.5062856 Credit Suisse AG – HSI R Bear CBBC Feb 2015 C 238,000,000 2014/11/19 2015/02/26 59.5062853 Credit Suisse AG – HSI R Bear CBBC Feb 2015 V 238,000,000 2014/11/19 2015/02/26 59.5062812 HK Bank – Minsheng Bank R Bull CBBC Jul 2015 C 40,000,000 2014/11/19 2015/07/31 10.0062815 HK Bank – Minsheng Bank R Bull CBBC Oct 2015 A 40,000,000 2014/11/19 2015/10/30 10.0062796 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2015 A 200,000,000 2014/11/19 2015/08/03 50.0062797 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2015 B 200,000,000 2014/11/19 2015/08/31 50.0062802 HK Bank – A50 R Bull CBBC Aug 2015 B 200,000,000 2014/11/19 2015/08/31 50.0062809 HK Bank – TCH R Bear CBBC Aug 2015 C 100,000,000 2014/11/19 2015/08/31 25.0062810 HK Bank – TCH R Bear CBBC Aug 2015 D 100,000,000 2014/11/19 2015/08/17 25.0062863 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 V 300,000,000 2014/11/19 2015/06/29 75.0062828 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 W 300,000,000 2014/11/19 2015/02/26 75.0062827 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 V 300,000,000 2014/11/19 2015/03/30 75.0062816 Standard Chartered Bank – A50 China R Bull CBBC Aug 2015 A 50,000,000 2014/11/19 2015/08/18 12.5062851 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 G 100,000,000 2014/11/19 2015/02/26 25.0062861 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 E 100,000,000 2014/11/19 2015/02/26 25.0062826 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 X 200,000,000 2014/11/19 2015/07/30 50.0062850 UBS AG – HSCEI R Bull CBBC Aug 2015 A 100,000,000 2014/11/19 2015/08/28 25.0062860 UBS AG – HSI R Bull CBBC May 2015 J 350,000,000 2014/11/19 2015/05/28 87.5062859 UBS AG – HSI R Bull CBBC Jul 2015 Q 300,000,000 2014/11/19 2015/07/30 75.0062819 UBS AG – HSI R Bear CBBC Feb 2015 E 300,000,000 2014/11/19 2015/02/26 75.0062844 UBS AG – HSI R Bear CBBC Feb 2015 N 300,000,000 2014/11/19 2015/02/26 75.0062843 UBS AG – HSI R Bear CBBC Feb 2015 O 300,000,000 2014/11/19 2015/02/26 75.0062829 UBS AG – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/11/19 2015/02/26 75.0062836 UBS AG – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/11/19 2015/02/26 75.0062835 UBS AG – HSI R Bear CBBC Mar 2015 J 300,000,000 2014/11/19 2015/03/30 75.0061241# Standard Chartered Bank – HSI R Bull CBBC Oct 2015 L 180,000,000 2014/11/19 2014/07/30 10.8062974 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 T 200,000,000 2014/11/20 2015/06/29 50.0062888 Credit Suisse AG – HSI R Bull CBBC Jun 2015 S 238,000,000 2014/11/20 2015/06/29 59.5062947 Credit Suisse AG – HSI R Bull CBBC Jun 2015 T 238,000,000 2014/11/20 2015/06/29 59.5062865 Credit Suisse AG – HSI R Bull CBBC Jul 2015 S 238,000,000 2014/11/20 2015/07/30 59.5062944 Credit Suisse AG – HSI R Bear CBBC Mar 2015 X 238,000,000 2014/11/20 2015/03/30 59.50




62945 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Z 238,000,000 2014/11/20 2015/03/30 59.5062868 Credit Suisse AG – HSI R Bear CBBC Jul 2015 A 238,000,000 2014/11/20 2015/07/30 59.5062871 Credit Suisse AG – HSI R Bear CBBC Jul 2015 B 238,000,000 2014/11/20 2015/07/30 59.5062961 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 F 150,000,000 2014/11/20 2015/03/30 51.7562963 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 G 150,000,000 2014/11/20 2015/03/30 53.8562964 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 H 150,000,000 2014/11/20 2015/03/30 55.2062951 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 W 300,000,000 2014/11/20 2015/06/29 75.0062952 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 J 300,000,000 2014/11/20 2015/07/30 75.0062953 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 W 300,000,000 2014/11/20 2015/03/30 75.0062954 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 C 300,000,000 2014/11/20 2015/04/29 75.0062956 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 D 300,000,000 2014/11/20 2015/04/29 75.0062975 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 W 100,000,000 2014/11/20 2015/02/26 25.0062900 Standard Chartered Bank – Lenovo R Bear CBBC Sep 2015 A 50,000,000 2014/11/20 2015/09/10 12.5062890 Standard Chartered Bank – Ping An R Bear CBBC May 2015 A 50,000,000 2014/11/20 2015/05/22 12.5062891 Standard Chartered Bank – TCH R Bull CBBC Aug 2015 C 80,000,000 2014/11/20 2015/08/19 20.0062892 Standard Chartered Bank – TCH R Bear CBBC Aug 2015 A 80,000,000 2014/11/20 2015/08/20 20.0062924 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2015 F 100,000,000 2014/11/20 2015/03/23 25.0062941 UBS AG – HKEx R Bull CBBC Oct 2015 D 100,000,000 2014/11/20 2015/10/05 25.0062946 UBS AG – HSI R Bull CBBC Jun 2015 A 300,000,000 2014/11/20 2015/06/29 75.0062922 UBS AG – HSI R Bear CBBC Feb 2015 P 300,000,000 2014/11/20 2015/02/26 75.0062923 UBS AG – HSI R Bear CBBC Feb 2015 S 300,000,000 2014/11/20 2015/02/26 75.0062942 UBS AG – HSI R Bear CBBC Feb 2015 U 300,000,000 2014/11/20 2015/02/26 75.0062905 UBS AG – HSI R Bear CBBC Mar 2015 K 300,000,000 2014/11/20 2015/03/30 75.0062907 UBS AG – HSI R Bear CBBC Mar 2015 L 300,000,000 2014/11/20 2015/03/30 75.0062943 UBS AG – HSI R Bear CBBC Mar 2015 N 350,000,000 2014/11/20 2015/03/30 87.5062925 UBS AG – Sands China R Bull CBBC Jul 2015 C 100,000,000 2014/11/20 2015/07/27 25.0062929 UBS AG – Tencent R Bear CBBC Apr 2015 D 100,000,000 2014/11/20 2015/04/27 25.0063086 Credit Suisse AG – HSI R Bull CBBC Apr 2015 D 238,000,000 2014/11/21 2015/04/29 59.5063087 Credit Suisse AG – HSI R Bull CBBC Apr 2015 E 238,000,000 2014/11/21 2015/04/29 59.5063085 Credit Suisse AG – HSI R Bear CBBC Feb 2015 E 238,000,000 2014/11/21 2015/02/26 59.5063084 Credit Suisse AG – HSI R Bear CBBC Feb 2015 P 238,000,000 2014/11/21 2015/02/26 59.5063063 Bank of East Asia – GCL-Poly Energy R Bull CBBC May 2016 A 300,000,000 2014/11/21 2016/05/25 75.0063064 Bank of East Asia – GCL-Poly Energy R Bull CBBC Jun 2016 A 300,000,000 2014/11/21 2016/06/28 75.0063058 Bank of East Asia – Galaxy Ent R Bull CBBC Aug 2015 A 100,000,000 2014/11/21 2015/08/26 25.0063067 Bank of East Asia – Sands China R Bull CBBC May 2015 B 100,000,000 2014/11/21 2015/05/06 25.0063074 Bank of East Asia – TCH R Bear CBBC Sep 2015 A 40,000,000 2014/11/21 2015/09/22 10.0062999 HK Bank – AIA R Bull CBBC Sep 2015 C 60,000,000 2014/11/21 2015/09/29 15.0062998 HK Bank – BOCL R Bull CBBC Jul 2015 D 80,000,000 2014/11/21 2015/07/20 20.0062997 HK Bank – HKEx R Bull CBBC Sep 2015 D 60,000,000 2014/11/21 2015/09/29 15.0062976 HK Bank – HSI R Bull CBBC Sep 2015 D 100,000,000 2014/11/21 2015/09/29 25.0062977 HK Bank – HSI R Bull CBBC Oct 2015 C 100,000,000 2014/11/21 2015/10/29 25.0062980 HK Bank – TCH R Bull CBBC Jun 2015 N 100,000,000 2014/11/21 2015/06/15 25.0063000 HK Bank – TCH R Bull CBBC Aug 2015 E 100,000,000 2014/11/21 2015/08/04 25.0062991 HK Bank – TCH R Bear CBBC Jul 2015 M 100,000,000 2014/11/21 2015/07/29 25.0063091 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 X 300,000,000 2014/11/21 2015/06/29 75.00




63038 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 K 300,000,000 2014/11/21 2015/07/30 75.0063076 Standard Chartered Bank – HKEx R Bull CBBC Aug 2015 B 80,000,000 2014/11/21 2015/08/03 20.0063001 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 E 400,000,000 2014/11/21 2015/06/29 100.0063021 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 F 200,000,000 2014/11/21 2015/06/29 50.0063036 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 O 200,000,000 2014/11/21 2015/06/29 50.0063089 UBS AG – HSI R Bull CBBC Jul 2015 R 300,000,000 2014/11/21 2015/07/30 75.0063056 UBS AG – HSI R Bear CBBC Feb 2015 Z 350,000,000 2014/11/21 2015/02/26 87.5063120 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 U 200,000,000 2014/11/24 2015/06/29 50.0063272 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 C 200,000,000 2014/11/24 2015/03/30 50.0063128 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 N 200,000,000 2014/11/24 2015/03/30 50.0063270 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 O 200,000,000 2014/11/24 2015/03/30 50.0063130 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 P 200,000,000 2014/11/24 2015/03/30 50.0063134 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 T 200,000,000 2014/11/24 2015/03/30 50.0063269 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 U 200,000,000 2014/11/24 2015/03/30 50.0063119 Credit Suisse AG – HSI R Bull CBBC Apr 2015 B 238,000,000 2014/11/24 2015/04/29 59.5063220 Credit Suisse AG – HSI R Bull CBBC Apr 2015 F 238,000,000 2014/11/24 2015/04/29 59.5063115 Credit Suisse AG – HSI R Bull CBBC Apr 2015 Z 238,000,000 2014/11/24 2015/04/29 59.5063185 Credit Suisse AG – HSI R Bear CBBC Feb 2015 A 238,000,000 2014/11/24 2015/02/26 59.5063208 Credit Suisse AG – HSI R Bear CBBC Feb 2015 D 238,000,000 2014/11/24 2015/02/26 59.5063218 Credit Suisse AG – HSI R Bear CBBC Feb 2015 F 238,000,000 2014/11/24 2015/02/26 59.5063219 Credit Suisse AG – HSI R Bear CBBC Feb 2015 G 238,000,000 2014/11/24 2015/02/26 59.5063180 Credit Suisse AG – HSI R Bear CBBC Feb 2015 Q 238,000,000 2014/11/24 2015/02/26 59.5063252 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 I 150,000,000 2014/11/24 2015/03/30 38.2563258 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 J 150,000,000 2014/11/24 2015/03/30 38.1063266 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 K 150,000,000 2014/11/24 2015/03/30 38.4063095 HK Bank – HKEx R Bull CBBC Sep 2015 E 60,000,000 2014/11/24 2015/09/29 21.0063093 HK Bank – PetCh R Bear CBBC Jul 2015 D 40,000,000 2014/11/24 2015/07/06 10.0063097 HK Bank – TCH R Bull CBBC Aug 2015 F 100,000,000 2014/11/24 2015/08/03 25.0063109 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 Q 300,000,000 2014/11/24 2015/08/28 75.0063268 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 R 300,000,000 2014/11/24 2015/08/28 75.0063107 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 A 300,000,000 2014/11/24 2015/02/26 75.0063267 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Q 300,000,000 2014/11/24 2015/02/26 75.0063106 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Y 300,000,000 2014/11/24 2015/02/26 75.0063139 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 Y 100,000,000 2014/11/24 2015/02/26 25.0063238 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 G 100,000,000 2014/11/24 2015/02/26 25.0063239 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 J 100,000,000 2014/11/24 2015/02/26 25.0063152 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 O 200,000,000 2014/11/24 2015/02/26 50.0063150 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 U 200,000,000 2014/11/24 2015/03/30 50.0063162 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 N 200,000,000 2014/11/24 2015/04/29 50.0063114 UBS AG – HSI R Bull CBBC Apr 2015 L 300,000,000 2014/11/24 2015/04/29 75.0063113 UBS AG – HSI R Bull CBBC May 2015 H 300,000,000 2014/11/24 2015/05/28 75.0063222 UBS AG – HSI R Bear CBBC Feb 2015 L 300,000,000 2014/11/24 2015/02/26 75.0063232 UBS AG – HSI R Bear CBBC Feb 2015 M 300,000,000 2014/11/24 2015/02/26 75.0063172 UBS AG – HSI R Bear CBBC Feb 2015 R 300,000,000 2014/11/24 2015/02/26 75.0063174 UBS AG – HSI R Bear CBBC Feb 2015 V 300,000,000 2014/11/24 2015/02/26 75.00




63231 UBS AG – HSI R Bear CBBC Mar 2015 I 300,000,000 2014/11/24 2015/03/30 75.0063179 UBS AG – HSI R Bear CBBC Mar 2015 O 300,000,000 2014/11/24 2015/03/30 75.0063175 UBS AG – HSI R Bear CBBC Apr 2015 D 300,000,000 2014/11/24 2015/04/29 75.0063382 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 D 200,000,000 2014/11/25 2015/06/29 50.0063361 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 F 200,000,000 2014/11/25 2015/06/29 50.0063385 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 S 200,000,000 2014/11/25 2015/06/29 50.0063388 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 D 200,000,000 2014/11/25 2015/03/30 50.0063496 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 H 200,000,000 2014/11/25 2015/03/30 50.0063352 Credit Suisse AG – HSI R Bull CBBC Jun 2015 U 238,000,000 2014/11/25 2015/06/29 59.5063399 Credit Suisse AG – HSI R Bull CBBC Jun 2015 V 238,000,000 2014/11/25 2015/06/29 59.5063353 Credit Suisse AG – HSI R Bull CBBC Jun 2015 X 238,000,000 2014/11/25 2015/06/29 59.5063401 Credit Suisse AG – HSI R Bull CBBC Jun 2015 Y 238,000,000 2014/11/25 2015/06/29 59.5063425 Credit Suisse AG – HSI R Bear CBBC Mar 2015 M 238,000,000 2014/11/25 2015/03/30 59.5063443 Credit Suisse AG – HSI R Bear CBBC Mar 2015 N 238,000,000 2014/11/25 2015/03/30 59.5063467 Credit Suisse AG – HSI R Bear CBBC Mar 2015 P 238,000,000 2014/11/25 2015/03/30 59.5063464 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Q 238,000,000 2014/11/25 2015/03/30 59.5063469 Credit Suisse AG – HSI R Bear CBBC Mar 2015 U 238,000,000 2014/11/25 2015/03/30 59.5063468 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Y 238,000,000 2014/11/25 2015/03/30 59.5063472 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 L 150,000,000 2014/11/25 2015/03/30 38.1063303 HK Bank – China Mobile R Bear CBBC Jul 2015 J 60,000,000 2014/11/25 2015/07/06 15.0063284 HK Bank – Cheung Kong R Bull CBBC Oct 2015 A 60,000,000 2014/11/25 2015/10/26 15.0063307 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2015 E 200,000,000 2014/11/25 2015/07/27 50.0063306 HK Bank – HKEx R Bear CBBC Jul 2015 D 50,000,000 2014/11/25 2015/07/06 12.5063277 HK Bank – HSI R Bull CBBC Aug 2015 J 400,000,000 2014/11/25 2015/08/28 100.0063273 HK Bank – HSI R Bear CBBC Jun 2015 D 100,000,000 2014/11/25 2015/06/29 25.0063276 HK Bank – HSI R Bear CBBC Jun 2015 E 400,000,000 2014/11/25 2015/06/29 100.0063275 HK Bank – HSI R Bear CBBC Jul 2015 F 100,000,000 2014/11/25 2015/07/30 25.0063304 HK Bank – TCH R Bull CBBC Jul 2015 L 100,000,000 2014/11/25 2015/07/27 25.0063302 HK Bank – TCH R Bear CBBC Jul 2015 N 100,000,000 2014/11/25 2015/07/27 25.0063412 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 A 300,000,000 2014/11/25 2015/07/30 75.0063308 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 S 300,000,000 2014/11/25 2015/08/28 75.0063407 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 T 300,000,000 2014/11/25 2015/08/28 75.0063482 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 U 300,000,000 2014/11/25 2015/08/28 75.0063309 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 R 300,000,000 2014/11/25 2015/02/26 75.0063314 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 S 300,000,000 2014/11/25 2015/02/26 75.0063421 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 U 300,000,000 2014/11/25 2015/02/26 75.0063489 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 X 300,000,000 2014/11/25 2015/03/30 75.0063333 Standard Chartered Bank – HKEx R Bear CBBC Mar 2015 D 80,000,000 2014/11/25 2015/03/24 20.0063398 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 A 150,000,000 2014/11/25 2015/02/26 37.5063334 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 Z 150,000,000 2014/11/25 2015/02/26 37.5063371 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 C 150,000,000 2014/11/25 2015/02/26 37.5063368 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 S 150,000,000 2014/11/25 2015/02/26 37.5063366 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 Y 200,000,000 2014/11/25 2015/07/30 50.0063342 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 Q 200,000,000 2014/11/25 2015/02/26 50.0063367 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb15 R 200,000,000 2014/11/25 2015/02/26 50.00




63349 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 O 200,000,000 2014/11/25 2015/04/29 50.0063327 UBS AG – HSI R Bull CBBC Jun 2015 E 300,000,000 2014/11/25 2015/06/29 75.0063326 UBS AG – HSI R Bull CBBC Jul 2015 S 300,000,000 2014/11/25 2015/07/30 75.0063402 UBS AG – HSI R Bull CBBC Jul 2015 T 300,000,000 2014/11/25 2015/07/30 75.0063478 UBS AG – HSI R Bear CBBC Feb 2015 K 300,000,000 2014/11/25 2015/02/26 75.0063481 UBS AG – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/11/25 2015/02/26 75.0063473 UBS AG – HSI R Bear CBBC Mar 2015 P 300,000,000 2014/11/25 2015/03/30 75.0063475 UBS AG – HSI R Bear CBBC Mar 2015 Q 300,000,000 2014/11/25 2015/03/30 75.0063528 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 C 200,000,000 2014/11/26 2015/06/29 50.0063661 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 V 200,000,000 2014/11/26 2015/03/30 50.0063749 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 W 200,000,000 2014/11/26 2015/03/30 50.0063554 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/11/26 2015/05/28 59.5063555 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/11/26 2015/05/28 59.5063658 Credit Suisse AG – HSI R Bull CBBC May 2015 E 238,000,000 2014/11/26 2015/05/28 59.5063712 Credit Suisse AG – HSI R Bear CBBC Feb 2015 O 238,000,000 2014/11/26 2015/02/26 59.5063536 Credit Suisse AG – HSI R Bear CBBC Mar 2015 O 238,000,000 2014/11/26 2015/03/30 59.5063540 Credit Suisse AG – HSI R Bear CBBC Mar 2015 S 238,000,000 2014/11/26 2015/03/30 59.5063698 Credit Suisse AG – HSI R Bear CBBC Mar 2015 T 238,000,000 2014/11/26 2015/03/30 59.5063543 Credit Suisse AG – HSI R Bear CBBC Mar 2015 V 238,000,000 2014/11/26 2015/03/30 59.5063542 Credit Suisse AG – HSI R Bear CBBC Apr 2015 E 238,000,000 2014/11/26 2015/04/29 59.5063678 Credit Suisse AG – HSI R Bear CBBC Apr 2015 S 238,000,000 2014/11/26 2015/04/29 59.5063711 Credit Suisse AG – HSI R Bear CBBC Apr 2015 T 238,000,000 2014/11/26 2015/04/29 59.5063547 Credit Suisse AG – HSI R Bear CBBC Apr 2015 U 238,000,000 2014/11/26 2015/04/29 59.5063718 Credit Suisse AG – HSI R Bear CBBC Apr 2015 V 238,000,000 2014/11/26 2015/04/29 59.5063551 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Z 238,000,000 2014/11/26 2015/04/29 59.5063545 Credit Suisse AG – HSI R Bear CBBC May 2015 G 238,000,000 2014/11/26 2015/05/28 59.5063549 Credit Suisse AG – HSI R Bear CBBC May 2015 H 238,000,000 2014/11/26 2015/05/28 59.5063552 Credit Suisse AG – HSI R Bear CBBC Jun 2015 D 238,000,000 2014/11/26 2015/06/29 59.5063747 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 M 150,000,000 2014/11/26 2015/03/30 37.6563506 HK Bank – HSCEI R Bear CBBC Jul 2015 B 68,000,000 2014/11/26 2015/07/30 17.0063500 HK Bank – HSI R Bear CBBC Jun 2015 F 100,000,000 2014/11/26 2015/06/29 25.0063498 HK Bank – HSI R Bear CBBC Jul 2015 G 100,000,000 2014/11/26 2015/07/30 25.0063515 HK Bank – HSI R Bear CBBC Jul 2015 H 100,000,000 2014/11/26 2015/07/30 25.0063517 HK Bank – HSI R Bear CBBC Aug 2015 B 100,000,000 2014/11/26 2015/08/28 25.0063510 HK Bank – TCH R Bear CBBC Aug 2015 E 100,000,000 2014/11/26 2015/08/31 25.0063509 HK Bank – TCH R Bear CBBC Sep 2015 A 100,000,000 2014/11/26 2015/09/07 25.0063858 J P Morgan SP BV – HKEx R Bull CBBC Sep 2015 A 100,000,000 2014/11/26 2015/09/15 25.0063866 J P Morgan SP BV – HKEx R Bear CBBC Mar 2015 A 100,000,000 2014/11/26 2015/03/18 25.0063767 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 W 300,000,000 2014/11/26 2015/07/30 75.0063519 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 V 300,000,000 2014/11/26 2015/08/28 75.0063523 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 W 300,000,000 2014/11/26 2015/08/28 75.0063777 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 X 300,000,000 2014/11/26 2015/08/28 75.0063524 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 P 300,000,000 2014/11/26 2015/02/26 75.0063780 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 T 300,000,000 2014/11/26 2015/02/26 75.0063819 J P Morgan SP BV – Tencent R Bull CBBC Jun 2015 A 100,000,000 2014/11/26 2015/06/15 25.00




63833 J P Morgan SP BV – Tencent R Bear CBBC Apr 2015 A 100,000,000 2014/11/26 2015/04/27 25.0063655 Macquarie Bank Ltd. – HSI R Bull CBBC Apr 2015 A 50,000,000 2014/11/26 2015/04/29 12.5063645 Macquarie Bank Ltd. – HSI R Bear CBBC Apr 2015 A 50,000,000 2014/11/26 2015/04/29 12.5063730 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 B 100,000,000 2014/11/26 2015/02/26 25.0063560 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 H 100,000,000 2014/11/26 2015/02/26 25.0063563 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 O 100,000,000 2014/11/26 2015/02/26 25.0063731 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 Q 120,000,000 2014/11/26 2015/02/26 30.0063757 Standard Chartered Bank – HSI R Bear CBBC Feb 2015 T 100,000,000 2014/11/26 2015/02/26 25.0063568 Standard Chartered Bank – Hutchison R Bull CBBC Mar 2015 A 50,000,000 2014/11/26 2015/03/18 12.5063574 Standard Chartered Bank – ICBC R Bull CBBC Jul 2015 A 50,000,000 2014/11/26 2015/07/30 12.5063575 Standard Chartered Bank – Ping An R Bull CBBC Nov 2015 A 50,000,000 2014/11/26 2015/11/19 12.5063581 Standard Chartered Bank – Ping An R Bull CBBC Nov 2015 B 50,000,000 2014/11/26 2015/11/20 12.5063594 Standard Chartered Bank – Ping An R Bear CBBC Aug 2015 A 50,000,000 2014/11/26 2015/08/19 12.5063605 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 X 200,000,000 2014/11/26 2015/06/29 50.0063606 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 V 200,000,000 2014/11/26 2015/03/30 50.0063611 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 W 200,000,000 2014/11/26 2015/03/30 50.0063639 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 X 200,000,000 2014/11/26 2015/03/30 50.0063525 UBS AG – HSI R Bull CBBC May 2015 L 300,000,000 2014/11/26 2015/05/28 75.0063526 UBS AG – HSI R Bull CBBC May 2015 T 350,000,000 2014/11/26 2015/05/28 87.5063809 UBS AG – HSI R Bull CBBC Jul 2015 U 300,000,000 2014/11/26 2015/07/30 75.0063805 UBS AG – HSI R Bull CBBC Aug 2015 A 300,000,000 2014/11/26 2015/08/28 75.0063803 UBS AG – HSI R Bear CBBC Feb 2015 W 300,000,000 2014/11/26 2015/02/26 75.0063781 UBS AG – HSI R Bear CBBC Mar 2015 S 300,000,000 2014/11/26 2015/03/30 75.0063789 UBS AG – HSI R Bear CBBC Mar 2015 T 300,000,000 2014/11/26 2015/03/30 75.0063793 UBS AG – HSI R Bear CBBC Mar 2015 W 300,000,000 2014/11/26 2015/03/30 75.0063931 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 A 200,000,000 2014/11/27 2015/06/29 50.0063944 Credit Suisse AG – HSI R Bull CBBC Apr 2015 G 238,000,000 2014/11/27 2015/04/29 59.5063950 Credit Suisse AG – HSI R Bull CBBC Apr 2015 L 238,000,000 2014/11/27 2015/04/29 59.5063951 Credit Suisse AG – HSI R Bear CBBC Apr 2015 X 238,000,000 2014/11/27 2015/04/29 59.5063962 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Y 238,000,000 2014/11/27 2015/04/29 59.5063907 HK Bank – HKEx R Bear CBBC Jul 2015 E 50,000,000 2014/11/27 2015/07/20 12.5063903 HK Bank – HSCEI R Bear CBBC Jun 2015 A 68,000,000 2014/11/27 2015/06/29 17.0063895 HK Bank – HSI R Bear CBBC Aug 2015 C 100,000,000 2014/11/27 2015/08/28 25.0063876 HK Bank – HSI R Bear CBBC Sep 2015 A 100,000,000 2014/11/27 2015/09/29 25.0063896 HK Bank – HSI R Bear CBBC Sep 2015 B 100,000,000 2014/11/27 2015/09/29 25.0063912 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 Y 300,000,000 2014/11/27 2015/08/28 75.0063999 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 Z 300,000,000 2014/11/27 2015/08/28 75.0063915 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 X 300,000,000 2014/11/27 2015/02/26 75.0064008 J P Morgan SP BV – HSI R Bear CBBC Feb 2015 Z 300,000,000 2014/11/27 2015/02/26 75.0064000 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 Y 300,000,000 2014/11/27 2015/03/30 75.0063938 Standard Chartered Bank – HKEx R Bull CBBC Mar 2015 B 80,000,000 2014/11/27 2015/03/23 20.0063923 Standard Chartered Bank – HKEx R Bull CBBC Aug 2015 C 80,000,000 2014/11/27 2015/08/03 32.0063926 Standard Chartered Bank – HKEx R Bear CBBC Mar 2015 E 80,000,000 2014/11/27 2015/03/30 20.0063927 Standard Chartered Bank – HSI R Bull CBBC Feb 2015 X 120,000,000 2014/11/27 2015/02/26 30.0063928 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 Z 200,000,000 2014/11/27 2015/07/30 50.00




63930 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 P 400,000,000 2014/11/27 2015/04/29 100.0063985 UBS AG – HSI R Bull CBBC Apr 2015 M 300,000,000 2014/11/27 2015/04/29 75.0063984 UBS AG – HSI R Bull CBBC May 2015 U 300,000,000 2014/11/27 2015/05/28 75.0063960 UBS AG – HSI R Bull CBBC Jun 2015 F 300,000,000 2014/11/27 2015/06/29 75.0063975 UBS AG – HSI R Bear CBBC Mar 2015 X 300,000,000 2014/11/27 2015/03/30 75.0063980 UBS AG – HSI R Bear CBBC Mar 2015 Y 300,000,000 2014/11/27 2015/03/30 75.0063972 UBS AG – HSI R Bear CBBC Apr 2015 E 300,000,000 2014/11/27 2015/04/29 75.0064067 Credit Suisse AG – HSI R Bull CBBC Jun 2015 E 238,000,000 2014/11/28 2015/06/29 59.5064068 Credit Suisse AG – HSI R Bull CBBC Jun 2015 K 238,000,000 2014/11/28 2015/06/29 59.5064054 Credit Suisse AG – HSI R Bear CBBC Apr 2015 P 238,000,000 2014/11/28 2015/04/29 59.5064065 Credit Suisse AG – HSI R Bear CBBC Apr 2015 W 238,000,000 2014/11/28 2015/04/29 59.5064091 Bank of East Asia – CITIC R Bull CBBC Nov 2015 A 40,000,000 2014/11/28 2015/11/26 10.0064090 Bank of East Asia – Sinopec Corp R Bull CBBC Jul 2015 A 80,000,000 2014/11/28 2015/07/27 20.0064092 Bank of East Asia – HKEx R Bull CBBC Aug 2015 A 40,000,000 2014/11/28 2015/08/28 10.4064029 HK Bank – HSI R Bull CBBC Aug 2015 K 100,000,000 2014/11/28 2015/08/28 25.0064042 HK Bank – TCH R Bull CBBC Aug 2015 G 100,000,000 2014/11/28 2015/08/24 25.0064045 HK Bank – TCH R Bear CBBC Jul 2015 O 100,000,000 2014/11/28 2015/07/27 25.0064087 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 A 300,000,000 2014/11/28 2015/08/28 75.0064088 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 Z 300,000,000 2014/11/28 2015/03/30 75.0064049 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 Q 200,000,000 2014/11/28 2015/04/29 50.0064086 UBS AG – HSI R Bull CBBC May 2015 V 350,000,000 2014/11/28 2015/05/28 87.5064069 UBS AG – HSI R Bull CBBC Jul 2015 V 300,000,000 2014/11/28 2015/07/30 75.0064047 UBS AG – HSI R Bear CBBC Mar 2015 Z 300,000,000 2014/11/28 2015/03/30 75.0064050 UBS AG – HSI R Bear CBBC Apr 2015 F 300,000,000 2014/11/28 2015/04/29 75.0064215 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 M 200,000,000 2014/12/01 2015/06/29 50.0064113 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 A 200,000,000 2014/12/01 2015/03/30 50.0064106 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 B 200,000,000 2014/12/01 2015/03/30 50.0064233 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/12/01 2015/05/28 59.5064245 Credit Suisse AG – HSI R Bull CBBC May 2015 X 238,000,000 2014/12/01 2015/05/28 59.5064254 Credit Suisse AG – HSI R Bull CBBC May 2015 Y 238,000,000 2014/12/01 2015/05/28 59.5064278 Credit Suisse AG – HSI R Bull CBBC May 2015 Z 238,000,000 2014/12/01 2015/05/28 59.5064123 Credit Suisse AG – HSI R Bear CBBC Mar 2015 R 238,000,000 2014/12/01 2015/03/30 59.5064130 Credit Suisse AG – HSI R Bear CBBC Mar 2015 X 238,000,000 2014/12/01 2015/03/30 59.5064134 Credit Suisse AG – HSI R Bear CBBC Apr 2015 F 238,000,000 2014/12/01 2015/04/29 59.5064131 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Q 238,000,000 2014/12/01 2015/04/29 59.5064289 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 D 150,000,000 2014/12/01 2015/03/30 47.2564300 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 E 150,000,000 2014/12/01 2015/03/30 49.3564304 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 F 150,000,000 2014/12/01 2015/03/30 49.6564170 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 Y 300,000,000 2014/12/01 2015/06/29 75.0064313 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 E 300,000,000 2014/12/01 2015/07/30 75.0064174 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 B 300,000,000 2014/12/01 2015/08/28 75.0064095 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 A 300,000,000 2014/12/01 2015/03/30 75.0064097 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 B 300,000,000 2014/12/01 2015/03/30 75.0064105 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 C 300,000,000 2014/12/01 2015/03/30 75.0064176 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 D 300,000,000 2014/12/01 2015/03/30 75.00




64196 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 E 300,000,000 2014/12/01 2015/04/29 75.0064199 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 G 100,000,000 2014/12/01 2015/03/30 25.0064204 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 H 120,000,000 2014/12/01 2015/03/30 30.0064281 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 I 120,000,000 2014/12/01 2015/03/30 30.0064165 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 Y 200,000,000 2014/12/01 2015/06/29 50.0064144 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 A 200,000,000 2014/12/01 2015/07/30 50.0064137 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 B 200,000,000 2014/12/01 2015/07/30 50.0064114 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 R 200,000,000 2014/12/01 2015/04/29 50.0064217 UBS AG – HSI R Bull CBBC Apr 2015 N 300,000,000 2014/12/01 2015/04/29 75.0064231 UBS AG – HSI R Bull CBBC May 2015 A 300,000,000 2014/12/01 2015/05/28 75.0064230 UBS AG – HSI R Bull CBBC Jun 2015 I 300,000,000 2014/12/01 2015/06/29 75.0064280 UBS AG – HSI R Bull CBBC Jul 2015 W 300,000,000 2014/12/01 2015/07/30 75.0064116 UBS AG – HSI R Bear CBBC Mar 2015 C 300,000,000 2014/12/01 2015/03/30 75.0064120 UBS AG – HSI R Bear CBBC Mar 2015 H 300,000,000 2014/12/01 2015/03/30 75.0064118 UBS AG – HSI R Bear CBBC Apr 2015 G 300,000,000 2014/12/01 2015/04/29 75.0064610 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Jun15D 100,000,000 2014/12/02 2015/06/29 25.0064595 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 E 100,000,000 2014/12/02 2015/06/29 25.0064544 Credit Suisse AG – HSI R Bull CBBC Jul 2015 T 238,000,000 2014/12/02 2015/07/30 59.5064547 Credit Suisse AG – HSI R Bull CBBC Jul 2015 U 238,000,000 2014/12/02 2015/07/30 59.5064565 Credit Suisse AG – HSI R Bull CBBC Jul 2015 V 238,000,000 2014/12/02 2015/07/30 59.5064573 Credit Suisse AG – HSI R Bear CBBC Mar 2015 P 238,000,000 2014/12/02 2015/03/30 59.5064574 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Q 238,000,000 2014/12/02 2015/03/30 59.5064372 HK Bank – China Life R Bull CBBC Aug 2015 A 60,000,000 2014/12/02 2015/08/31 18.0064373 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2015 F 200,000,000 2014/12/02 2015/07/29 50.0064374 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2015 G 200,000,000 2014/12/02 2015/07/22 50.0064347 HK Bank – A50 R Bull CBBC Jul 2015 D 200,000,000 2014/12/02 2015/07/27 50.0064350 HK Bank – A50 R Bull CBBC Jul 2015 E 200,000,000 2014/12/02 2015/07/20 50.0064355 HK Bank – HSI R Bull CBBC Jul 2015 N 100,000,000 2014/12/02 2015/07/30 25.0064358 HK Bank – HSI R Bull CBBC Jul 2015 O 100,000,000 2014/12/02 2015/07/30 25.0064371 HK Bank – HSI R Bull CBBC Jul 2015 P 100,000,000 2014/12/02 2015/07/30 25.0064325 HK Bank – Sands China R Bull CBBC Aug 2015 C 80,000,000 2014/12/02 2015/08/31 20.0064621 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 Z 300,000,000 2014/12/02 2015/06/29 75.0064611 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 J 300,000,000 2014/12/02 2015/08/28 75.0064640 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 F 300,000,000 2014/12/02 2015/03/30 75.0064628 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 F 300,000,000 2014/12/02 2015/04/29 75.0064396 Standard Chartered Bank – GCL-Poly Energy R Bull CBBC Aug15A 20,000,000 2014/12/02 2015/08/18 11.0064484 Standard Chartered Bank – GCL-Poly Energy R Bear CBBC May15A 20,000,000 2014/12/02 2015/05/22 12.0064376 Standard Chartered Bank – HKEx R Bull CBBC Apr 2015 C 50,000,000 2014/12/02 2015/04/17 12.5064587 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 I 120,000,000 2014/12/02 2015/03/30 30.0064528 UBS AG – CC Bank R Bull CBBC Sep 2015 A 100,000,000 2014/12/02 2015/09/07 25.0064488 UBS AG – HSI R Bull CBBC Apr 2015 R 300,000,000 2014/12/02 2015/04/29 75.0064489 UBS AG – HSI R Bull CBBC Apr 2015 S 300,000,000 2014/12/02 2015/04/29 75.0064522 UBS AG – HSI R Bull CBBC Apr 2015 T 300,000,000 2014/12/02 2015/04/29 75.0064581 UBS AG – HSI R Bear CBBC Mar 2015 G 300,000,000 2014/12/02 2015/03/30 75.0064847 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 G 200,000,000 2014/12/03 2015/06/29 50.00




64844 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 N 200,000,000 2014/12/03 2015/06/29 50.0064694 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 X 200,000,000 2014/12/03 2015/03/30 50.0064735 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 Y 200,000,000 2014/12/03 2015/03/30 50.0064825 Credit Suisse AG – HSI R Bull CBBC Jun 2015 L 238,000,000 2014/12/03 2015/06/29 59.5064835 Credit Suisse AG – HSI R Bull CBBC Jun 2015 M 238,000,000 2014/12/03 2015/06/29 59.5064842 Credit Suisse AG – HSI R Bull CBBC Jun 2015 O 238,000,000 2014/12/03 2015/06/29 59.5064753 Credit Suisse AG – HSI R Bear CBBC Mar 2015 N 238,000,000 2014/12/03 2015/03/30 59.5064738 Credit Suisse AG – HSI R Bear CBBC Mar 2015 U 238,000,000 2014/12/03 2015/03/30 59.5064744 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Y 238,000,000 2014/12/03 2015/03/30 59.5064665 HK Bank – HSCEI R Bull CBBC Jul 2015 D 100,000,000 2014/12/03 2015/07/30 25.0064651 HK Bank – HSI R Bull CBBC Jun 2015 R 100,000,000 2014/12/03 2015/06/29 25.0064664 HK Bank – HSI R Bull CBBC Jun 2015 S 100,000,000 2014/12/03 2015/06/29 25.0064889 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 C 300,000,000 2014/12/03 2015/07/30 75.0064890 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 K 300,000,000 2014/12/03 2015/08/28 75.0064680 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 H 300,000,000 2014/12/03 2015/03/30 75.0064893 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 J 300,000,000 2014/12/03 2015/03/30 75.0064895 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 L 300,000,000 2014/12/03 2015/03/30 75.0064898 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 G 300,000,000 2014/12/03 2015/04/29 75.0064863 Standard Chartered Bank – China Life R Bull CBBC May 2015 A 50,000,000 2014/12/03 2015/05/18 25.0064852 Standard Chartered Bank – China Life R Bear CBBC May 2015 B 50,000,000 2014/12/03 2015/05/22 17.5064851 Standard Chartered Bank – CSOP A50 ETF R Bear CBBC Sep 2015A 40,000,000 2014/12/03 2015/09/18 10.0064849 Standard Chartered Bank – A50 China R Bear CBBC Sep 2015 A 40,000,000 2014/12/03 2015/09/18 10.0064870 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 J 120,000,000 2014/12/03 2015/03/30 30.0064872 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 K 120,000,000 2014/12/03 2015/03/30 30.0064913 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 W 200,000,000 2014/12/03 2015/06/29 50.0064914 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 O 200,000,000 2014/12/03 2015/07/30 50.0064904 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 T 200,000,000 2014/12/03 2015/07/30 50.0064822 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 Y 200,000,000 2014/12/03 2015/03/30 50.0064808 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 S 200,000,000 2014/12/03 2015/04/29 50.0064888 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2015 G 100,000,000 2014/12/03 2015/03/23 25.0064883 UBS AG – A50 China R Bull CBBC Apr 2015 D 100,000,000 2014/12/03 2015/04/27 25.0064881 UBS AG – HSCEI R Bull CBBC Apr 2015 A 100,000,000 2014/12/03 2015/04/29 25.0064876 UBS AG – HSI R Bull CBBC May 2015 B 300,000,000 2014/12/03 2015/05/28 75.0064877 UBS AG – HSI R Bull CBBC Jul 2015 X 300,000,000 2014/12/03 2015/07/30 75.0064878 UBS AG – HSI R Bull CBBC Jul 2015 Y 300,000,000 2014/12/03 2015/07/30 75.0064786 UBS AG – HSI R Bear CBBC Mar 2015 A 300,000,000 2014/12/03 2015/03/30 75.0064673 UBS AG – HSI R Bear CBBC Apr 2015 H 300,000,000 2014/12/03 2015/04/29 75.0064772 UBS AG – HSI R Bear CBBC Apr 2015 I 300,000,000 2014/12/03 2015/04/29 75.0064937 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 H 200,000,000 2014/12/04 2015/06/29 50.0064938 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 E 200,000,000 2014/12/04 2015/03/30 50.0064943 Credit Suisse AG – HSI R Bull CBBC Apr 2015 H 238,000,000 2014/12/04 2015/04/29 59.5064941 Credit Suisse AG – HSI R Bull CBBC Apr 2015 M 238,000,000 2014/12/04 2015/04/29 59.5064951 Credit Suisse AG – HSI R Bear CBBC Apr 2015 O 238,000,000 2014/12/04 2015/04/29 59.5064952 Credit Suisse AG – HSI R Bear CBBC Apr 2015 R 238,000,000 2014/12/04 2015/04/29 59.5064953 Credit Suisse AG – HSI R Bear CBBC Apr 2015 S 238,000,000 2014/12/04 2015/04/29 59.50




64931 HK Bank – COVS R Bull CBBC Sep 2015 A 50,000,000 2014/12/04 2015/09/30 17.5064936 HK Bank – China Life R Bull CBBC Aug 2015 B 60,000,000 2014/12/04 2015/08/17 21.0064915 HK Bank – China Life R Bear CBBC Sep 2015 A 50,000,000 2014/12/04 2015/09/30 32.5064919 HK Bank – China Life R Bear CBBC Oct 2015 A 50,000,000 2014/12/04 2015/10/30 22.5064925 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2015 C 200,000,000 2014/12/04 2015/08/04 50.0064926 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2015 D 200,000,000 2014/12/04 2015/08/11 50.0064929 HK Bank – A50 R Bull CBBC Aug 2015 C 200,000,000 2014/12/04 2015/08/04 50.0064930 HK Bank – A50 R Bull CBBC Aug 2015 D 200,000,000 2014/12/04 2015/08/11 50.0064924 HK Bank – HSI R Bull CBBC Jun 2015 T 100,000,000 2014/12/04 2015/06/29 25.0064920 HK Bank – HSI R Bull CBBC Jul 2015 Q 100,000,000 2014/12/04 2015/07/30 25.0064956 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 H 300,000,000 2014/12/04 2015/08/28 75.0064959 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 M 300,000,000 2014/12/04 2015/03/30 75.0064961 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 H 300,000,000 2014/12/04 2015/04/29 75.0064946 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 J 100,000,000 2014/12/04 2015/03/30 25.0064945 UBS AG – China Life R Bull CBBC Jul 2015 C 50,000,000 2014/12/04 2015/07/13 15.7564944 UBS AG – China Life R Bear CBBC May 2015 A 50,000,000 2014/12/04 2015/05/18 24.5064939 UBS AG – HSI R Bull CBBC May 2015 C 300,000,000 2014/12/04 2015/05/28 75.0064940 UBS AG – HSI R Bull CBBC Jun 2015 H 300,000,000 2014/12/04 2015/06/29 75.0064948 UBS AG – HSI R Bear CBBC Mar 2015 N 300,000,000 2014/12/04 2015/03/30 75.0064949 UBS AG – HSI R Bear CBBC Apr 2015 J 300,000,000 2014/12/04 2015/04/29 75.0065052 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 F 100,000,000 2014/12/05 2015/06/29 25.0065033 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jul 2015 A 50,000,000 2014/12/05 2015/07/30 12.5065034 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jul 2015 B 50,000,000 2014/12/05 2015/07/30 12.5065040 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jul 2015 C 50,000,000 2014/12/05 2015/07/30 12.5065041 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jul 2015 A 50,000,000 2014/12/05 2015/07/30 12.5065043 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jul 2015 B 50,000,000 2014/12/05 2015/07/30 12.5065021 Credit Suisse AG – A50 China R Bull CBBC Jul 2015 A 50,000,000 2014/12/05 2015/07/30 12.5065022 Credit Suisse AG – A50 China R Bull CBBC Jul 2015 B 50,000,000 2014/12/05 2015/07/30 12.5065023 Credit Suisse AG – A50 China R Bear CBBC Jul 2015 A 50,000,000 2014/12/05 2015/07/30 12.5065025 Credit Suisse AG – A50 China R Bear CBBC Jul 2015 B 50,000,000 2014/12/05 2015/07/30 12.5064995 Credit Suisse AG – HSI R Bull CBBC Apr 2015 I 238,000,000 2014/12/05 2015/04/29 59.5064992 Credit Suisse AG – HSI R Bull CBBC Apr 2015 N 238,000,000 2014/12/05 2015/04/29 59.5065047 Credit Suisse AG – HSI R Bear CBBC Apr 2015 T 238,000,000 2014/12/05 2015/04/29 59.5064966 HK Bank – CITIC R Bull CBBC Oct 2015 A 40,000,000 2014/12/05 2015/10/30 10.0064964 HK Bank – Sinopec Corp R Bull CBBC Nov 2015 A 80,000,000 2014/12/05 2015/11/30 20.0064981 HK Bank – A50 R Bull CBBC Aug 2015 E 200,000,000 2014/12/05 2015/08/06 50.0064985 HK Bank – HSI R Bull CBBC Aug 2015 L 100,000,000 2014/12/05 2015/08/28 25.0064965 HK Bank – HSI R Bear CBBC May 2015 Z 100,000,000 2014/12/05 2015/05/28 25.0064972 HK Bank – Lenovo R Bear CBBC Aug 2015 A 40,000,000 2014/12/05 2015/08/31 10.0064962 HK Bank – PetCh R Bull CBBC Nov 2015 B 60,000,000 2014/12/05 2015/11/30 15.0064969 HK Bank – Ping An R Bull CBBC Oct 2015 B 60,000,000 2014/12/05 2015/10/26 15.0064973 HK Bank – Ping An R Bear CBBC Oct 2015 A 40,000,000 2014/12/05 2015/10/27 10.0065088 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 A 300,000,000 2014/12/05 2015/06/29 75.0065080 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 N 300,000,000 2014/12/05 2015/03/30 75.0065087 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 I 300,000,000 2014/12/05 2015/04/29 75.00




65056 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 Z 200,000,000 2014/12/05 2015/03/30 50.0065010 UBS AG – AIA R Bear CBBC Apr 2015 A 100,000,000 2014/12/05 2015/04/20 25.0065011 UBS AG – CC Bank R Bear CBBC Jun 2015 A 100,000,000 2014/12/05 2015/06/08 25.0065006 UBS AG – CSOP A50 ETF R Bear CBBC May 2015 A 100,000,000 2014/12/05 2015/05/11 25.0065005 UBS AG – A50 China R Bear CBBC May 2015 A 100,000,000 2014/12/05 2015/05/18 25.0065001 UBS AG – HSI R Bull CBBC May 2015 Z 350,000,000 2014/12/05 2015/05/28 87.5064998 UBS AG – HSI R Bull CBBC Jun 2015 J 300,000,000 2014/12/05 2015/06/29 75.0065063 UBS AG – HSI R Bear CBBC Mar 2015 Q 300,000,000 2014/12/05 2015/03/30 75.0065068 UBS AG – HSI R Bear CBBC Apr 2015 K 300,000,000 2014/12/05 2015/04/29 75.0065071 UBS AG – HSI R Bear CBBC Apr 2015 L 350,000,000 2014/12/05 2015/04/29 87.5065009 UBS AG – ICBC R Bear CBBC May 2015 A 100,000,000 2014/12/05 2015/05/18 25.0065018 UBS AG – Petrochina R Bull CBBC Oct 2015 B 100,000,000 2014/12/05 2015/10/12 25.0065008 UBS AG – Ping An R Bull CBBC Oct 2015 A 100,000,000 2014/12/05 2015/10/19 25.0065163 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 E 200,000,000 2014/12/08 2015/06/29 50.0065175 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 L 200,000,000 2014/12/08 2015/06/29 50.0065162 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 O 200,000,000 2014/12/08 2015/06/29 50.0065225 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 P 200,000,000 2014/12/08 2015/06/29 50.0065168 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 W 200,000,000 2014/12/08 2015/06/29 50.0065217 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 F 200,000,000 2014/12/08 2015/03/30 50.0065285 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 G 200,000,000 2014/12/08 2015/03/30 50.0065222 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2015 Z 200,000,000 2014/12/08 2015/03/30 50.0065136 Credit Suisse AG – HSI R Bull CBBC Apr 2015 J 238,000,000 2014/12/08 2015/04/29 59.5065159 Credit Suisse AG – HSI R Bull CBBC Apr 2015 S 238,000,000 2014/12/08 2015/04/29 59.5065149 Credit Suisse AG – HSI R Bull CBBC Apr 2015 T 238,000,000 2014/12/08 2015/04/29 59.5065246 Credit Suisse AG – HSI R Bull CBBC Apr 2015 U 238,000,000 2014/12/08 2015/04/29 59.5065252 Credit Suisse AG – HSI R Bull CBBC Apr 2015 V 238,000,000 2014/12/08 2015/04/29 59.5065276 Credit Suisse AG – HSI R Bear CBBC Mar 2015 T 238,000,000 2014/12/08 2015/03/30 59.5065281 Credit Suisse AG – HSI R Bear CBBC Mar 2015 W 238,000,000 2014/12/08 2015/03/30 59.5065283 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Z 238,000,000 2014/12/08 2015/03/30 59.5065257 Credit Suisse AG – HSI R Bear CBBC Apr 2015 V 238,000,000 2014/12/08 2015/04/29 59.5065259 Credit Suisse AG – HSI R Bear CBBC Apr 2015 X 238,000,000 2014/12/08 2015/04/29 59.5065286 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 N 150,000,000 2014/12/08 2015/03/30 39.1565287 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 O 150,000,000 2014/12/08 2015/03/30 39.7565299 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 P 150,000,000 2014/12/08 2015/03/30 39.3065090 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 C 300,000,000 2014/12/08 2015/06/29 75.0065327 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 D 300,000,000 2014/12/08 2015/06/29 75.0065107 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 D 300,000,000 2014/12/08 2015/07/30 75.0065111 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 I 300,000,000 2014/12/08 2015/08/28 75.0065324 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 E 300,000,000 2014/12/08 2015/03/30 75.0065326 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 G 300,000,000 2014/12/08 2015/03/30 75.0065325 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 J 300,000,000 2014/12/08 2015/04/29 75.0065132 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 B 200,000,000 2014/12/08 2015/06/29 50.0065118 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 Z 200,000,000 2014/12/08 2015/06/29 50.0065113 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 S 200,000,000 2014/12/08 2015/07/30 50.0065125 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 W 200,000,000 2014/12/08 2015/07/30 50.00




65242 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 D 200,000,000 2014/12/08 2015/03/30 50.0065228 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 F 200,000,000 2014/12/08 2015/03/30 50.0065303 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 G 200,000,000 2014/12/08 2015/03/30 50.0065241 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 T 200,000,000 2014/12/08 2015/04/29 50.0065304 UBS AG – CNOOC R Bull CBBC Oct 2015 D 100,000,000 2014/12/08 2015/10/19 25.0065211 UBS AG – HSI R Bull CBBC Apr 2015 U 350,000,000 2014/12/08 2015/04/29 87.5065243 UBS AG – HSI R Bull CBBC May 2015 D 300,000,000 2014/12/08 2015/05/28 75.0065185 UBS AG – HSI R Bull CBBC Jun 2015 L 300,000,000 2014/12/08 2015/06/29 75.0065199 UBS AG – HSI R Bull CBBC Jun 2015 M 300,000,000 2014/12/08 2015/06/29 75.0065176 UBS AG – HSI R Bull CBBC Aug 2015 B 300,000,000 2014/12/08 2015/08/28 75.0065307 UBS AG – HSI R Bear CBBC Mar 2015 I 300,000,000 2014/12/08 2015/03/30 75.0065320 UBS AG – HSI R Bear CBBC Mar 2015 P 300,000,000 2014/12/08 2015/03/30 75.0065321 UBS AG – HSI R Bear CBBC Mar 2015 T 300,000,000 2014/12/08 2015/03/30 75.0065319 UBS AG – HSI R Bear CBBC Apr 2015 M 300,000,000 2014/12/08 2015/04/29 75.0065452 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jun 2015 Q 200,000,000 2014/12/09 2015/06/29 50.0065450 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 A 200,000,000 2014/12/09 2015/04/29 50.0065458 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jun 2015 A 50,000,000 2014/12/09 2015/06/30 12.5065459 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jun 2015 A 50,000,000 2014/12/09 2015/06/30 12.5065460 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jun 2015 B 50,000,000 2014/12/09 2015/06/30 13.0065462 Credit Suisse AG – A50 China R Bull CBBC Jun 2015 A 50,000,000 2014/12/09 2015/06/30 12.5065464 Credit Suisse AG – A50 China R Bear CBBC Jun 2015 A 50,000,000 2014/12/09 2015/06/30 12.5065467 Credit Suisse AG – A50 China R Bear CBBC Jun 2015 B 50,000,000 2014/12/09 2015/06/30 13.0065536 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/12/09 2015/05/28 59.5065528 Credit Suisse AG – HSI R Bull CBBC May 2015 T 238,000,000 2014/12/09 2015/05/28 59.5065533 Credit Suisse AG – HSI R Bull CBBC May 2015 V 238,000,000 2014/12/09 2015/05/28 59.5065442 Credit Suisse AG – HSI R Bear CBBC Mar 2015 R 238,000,000 2014/12/09 2015/03/30 59.5065444 Credit Suisse AG – HSI R Bear CBBC Mar 2015 X 238,000,000 2014/12/09 2015/03/30 59.5065446 Credit Suisse AG – HSI R Bear CBBC Apr 2015 P 238,000,000 2014/12/09 2015/04/29 59.5065430 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Y 238,000,000 2014/12/09 2015/04/29 59.5065457 Credit Suisse AG – HSI R Bear CBBC May 2015 I 238,000,000 2014/12/09 2015/05/28 59.5065540 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 G 150,000,000 2014/12/09 2015/03/30 39.4565547 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 H 150,000,000 2014/12/09 2015/03/30 39.1565380 HK Bank – BOCL R Bull CBBC Aug 2015 C 80,000,000 2014/12/09 2015/08/17 20.0065351 HK Bank – CC Bank R Bull CBBC Aug 2015 E 80,000,000 2014/12/09 2015/08/17 20.0065340 HK Bank – Minsheng Bank R Bull CBBC Nov 2015 A 40,000,000 2014/12/09 2015/11/30 10.0065336 HK Bank – Minsheng Bank R Bear CBBC May 2015 C 40,000,000 2014/12/09 2015/05/13 10.0065345 HK Bank – Minsheng Bank R Bear CBBC Aug 2015 A 40,000,000 2014/12/09 2015/08/05 10.0065390 HK Bank – CNOOC R Bull CBBC Oct 2015 F 60,000,000 2014/12/09 2015/10/05 15.0065385 HK Bank – Sinopec Corp R Bull CBBC Nov 2015 B 80,000,000 2014/12/09 2015/11/30 20.0065329 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2015 E 200,000,000 2014/12/09 2015/08/18 50.0065348 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2015 F 200,000,000 2014/12/09 2015/08/28 50.0065347 HK Bank – CSOP A50 ETF R Bear CBBC Aug 2015 A 40,000,000 2014/12/09 2015/08/31 10.0065328 HK Bank – A50 R Bull CBBC Aug 2015 F 200,000,000 2014/12/09 2015/08/28 50.0065330 HK Bank – A50 R Bull CBBC Aug 2015 G 200,000,000 2014/12/09 2015/08/18 50.0065335 HK Bank – A50 R Bear CBBC Nov 2015 B 50,000,000 2014/12/09 2015/11/13 12.50




65346 HK Bank – A50 R Bear CBBC Nov 2015 C 50,000,000 2014/12/09 2015/11/09 12.5065388 HK Bank – HSI R Bear CBBC May 2015 C 100,000,000 2014/12/09 2015/05/28 25.0065391 HK Bank – HSI R Bear CBBC May 2015 P 100,000,000 2014/12/09 2015/05/28 25.0065377 HK Bank – ICBC R Bull CBBC Aug 2015 D 80,000,000 2014/12/09 2015/08/17 20.0065382 HK Bank – PetCh R Bull CBBC Dec 2015 A 60,000,000 2014/12/09 2015/12/21 15.0065364 HK Bank – TCH R Bear CBBC Aug 2015 F 100,000,000 2014/12/09 2015/08/10 25.0065568 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 H 300,000,000 2014/12/09 2015/07/30 75.0065572 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 L 300,000,000 2014/12/09 2015/08/28 75.0065402 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 I 300,000,000 2014/12/09 2015/03/30 75.0065407 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 K 300,000,000 2014/12/09 2015/03/30 75.0065574 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 K 300,000,000 2014/12/09 2015/04/29 75.0065409 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 K 120,000,000 2014/12/09 2015/03/30 30.0065414 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 L 120,000,000 2014/12/09 2015/03/30 30.0065418 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 M 100,000,000 2014/12/09 2015/03/30 25.0065470 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Aug15A 100,000,000 2014/12/09 2015/08/28 25.0065473 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Aug15B 100,000,000 2014/12/09 2015/08/28 25.0065469 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Sep15A 100,000,000 2014/12/09 2015/09/29 25.0065471 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Sep15B 100,000,000 2014/12/09 2015/09/29 25.0065478 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jul15A 100,000,000 2014/12/09 2015/07/30 25.0065491 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jul15B 100,000,000 2014/12/09 2015/07/30 25.0065489 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Aug15A 100,000,000 2014/12/09 2015/08/28 25.0065513 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Aug15 A 100,000,000 2014/12/09 2015/08/28 25.0065523 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Aug15 B 100,000,000 2014/12/09 2015/08/28 25.0065492 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Sep15 A 100,000,000 2014/12/09 2015/09/29 25.0065520 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Sep15 B 100,000,000 2014/12/09 2015/09/29 25.0065525 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jul15A 100,000,000 2014/12/09 2015/07/30 25.0065527 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jul15B 100,000,000 2014/12/09 2015/07/30 25.0065526 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Aug15A 100,000,000 2014/12/09 2015/08/28 25.0065454 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 A 200,000,000 2014/12/09 2015/06/29 50.0065455 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 V 200,000,000 2014/12/09 2015/07/30 50.0065392 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 U 200,000,000 2014/12/09 2015/04/29 50.0065560 UBS AG – HSI R Bull CBBC Apr 2015 V 350,000,000 2014/12/09 2015/04/29 87.5065549 UBS AG – HSI R Bull CBBC Jun 2015 N 300,000,000 2014/12/09 2015/06/29 75.0065559 UBS AG – HSI R Bull CBBC Jul 2015 A 300,000,000 2014/12/09 2015/07/30 75.0065558 UBS AG – HSI R Bull CBBC Jul 2015 Z 300,000,000 2014/12/09 2015/07/30 75.0065420 UBS AG – HSI R Bear CBBC Mar 2015 W 300,000,000 2014/12/09 2015/03/30 75.0065429 UBS AG – HSI R Bear CBBC Mar 2015 X 300,000,000 2014/12/09 2015/03/30 75.0065423 UBS AG – HSI R Bear CBBC Apr 2015 N 300,000,000 2014/12/09 2015/04/29 75.0065728 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 G 100,000,000 2014/12/10 2015/06/29 25.0065727 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Jun 2015 B 100,000,000 2014/12/10 2015/06/29 25.0065684 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/12/10 2015/05/28 59.5065685 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/12/10 2015/05/28 59.5065688 Credit Suisse AG – HSI R Bull CBBC May 2015 X 238,000,000 2014/12/10 2015/05/28 59.5065704 Credit Suisse AG – HSI R Bull CBBC Aug 2015 A 238,000,000 2014/12/10 2015/08/28 59.5065740 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Q 238,000,000 2014/12/10 2015/04/29 59.50




65737 Credit Suisse AG – HSI R Bear CBBC Apr 2015 W 238,000,000 2014/12/10 2015/04/29 59.5065719 Credit Suisse AG – HSI R Bear CBBC May 2015 J 238,000,000 2014/12/10 2015/05/28 59.5065724 Credit Suisse AG – HSI R Bear CBBC May 2015 K 238,000,000 2014/12/10 2015/05/28 59.5065706 Credit Suisse AG – HSI R Bear CBBC Aug 2015 A 238,000,000 2014/12/10 2015/08/28 59.5065718 Credit Suisse AG – HSI R Bear CBBC Aug 2015 B 238,000,000 2014/12/10 2015/08/28 59.5065612 HK Bank – China Life R Bull CBBC Oct 2015 A 60,000,000 2014/12/10 2015/10/26 15.0065603 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 A 200,000,000 2014/12/10 2015/12/22 50.0065604 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 B 200,000,000 2014/12/10 2015/12/18 50.0065605 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 C 200,000,000 2014/12/10 2015/12/16 50.0065590 HK Bank – A50 R Bull CBBC Sep 2015 A 200,000,000 2014/12/10 2015/09/25 50.0065593 HK Bank – A50 R Bull CBBC Sep 2015 B 200,000,000 2014/12/10 2015/09/21 50.0065594 HK Bank – A50 R Bull CBBC Sep 2015 C 200,000,000 2014/12/10 2015/09/14 50.0065595 HK Bank – A50 R Bear CBBC Nov 2015 D 50,000,000 2014/12/10 2015/11/02 12.5065606 HK Bank – Galaxy Ent R Bear CBBC Jul 2015 G 60,000,000 2014/12/10 2015/07/27 15.0065602 HK Bank – HSCEI R Bull CBBC Jul 2015 E 100,000,000 2014/12/10 2015/07/30 25.0065598 HK Bank – HSI R Bull CBBC Jul 2015 R 100,000,000 2014/12/10 2015/07/30 25.0065599 HK Bank – HSI R Bear CBBC May 2015 Q 100,000,000 2014/12/10 2015/05/28 25.0065607 HK Bank – Ping An R Bull CBBC Nov 2015 A 60,000,000 2014/12/10 2015/11/09 15.0065609 HK Bank – Ping An R Bear CBBC Nov 2015 A 40,000,000 2014/12/10 2015/11/09 10.0065610 HK Bank – Ping An R Bear CBBC Nov 2015 B 40,000,000 2014/12/10 2015/11/30 10.0065699 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 M 300,000,000 2014/12/10 2015/07/30 75.0065701 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 M 300,000,000 2014/12/10 2015/08/28 75.0065638 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 O 300,000,000 2014/12/10 2015/03/30 75.0065639 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 L 300,000,000 2014/12/10 2015/04/29 75.0065744 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 M 300,000,000 2014/12/10 2015/04/29 75.0065645 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Sep 2015A 50,000,000 2014/12/10 2015/09/29 12.5065662 Standard Chartered Bank – CSOP A50 ETF R Bear CBBC Sep 2015B 50,000,000 2014/12/10 2015/09/21 12.5065655 Standard Chartered Bank – A50 China R Bull CBBC Sep 2015 A 50,000,000 2014/12/10 2015/09/29 12.5065666 Standard Chartered Bank – A50 China R Bear CBBC Sep 2015 B 50,000,000 2014/12/10 2015/09/21 12.5065676 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 L 120,000,000 2014/12/10 2015/03/30 30.0065695 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 V 200,000,000 2014/12/10 2015/04/29 50.0065681 UBS AG – HSI R Bull CBBC May 2015 E 300,000,000 2014/12/10 2015/05/28 75.0065678 UBS AG – HSI R Bull CBBC May 2015 K 350,000,000 2014/12/10 2015/05/28 87.5065679 UBS AG – HSI R Bull CBBC Jul 2015 B 300,000,000 2014/12/10 2015/07/30 75.0065781 UBS AG – HSI R Bear CBBC Mar 2015 Y 300,000,000 2014/12/10 2015/03/30 75.0065771 UBS AG – HSI R Bear CBBC Apr 2015 O 300,000,000 2014/12/10 2015/04/29 75.0065760 UBS AG – HSI R Bear CBBC May 2015 D 300,000,000 2014/12/10 2015/05/28 75.0065782 UBS AG – HSI R Bear CBBC Jun 2015 B 300,000,000 2014/12/10 2015/06/29 75.0065858 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 B 200,000,000 2014/12/11 2015/04/29 50.0065861 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 C 200,000,000 2014/12/11 2015/04/29 50.0065928 Credit Suisse AG – HSI R Bull CBBC Jun 2015 N 238,000,000 2014/12/11 2015/06/29 59.5065921 Credit Suisse AG – HSI R Bull CBBC Jun 2015 P 238,000,000 2014/12/11 2015/06/29 59.5065929 Credit Suisse AG – HSI R Bull CBBC Jun 2015 Q 238,000,000 2014/12/11 2015/06/29 59.5065835 Credit Suisse AG – HSI R Bear CBBC Mar 2015 P 238,000,000 2014/12/11 2015/03/30 59.5065838 Credit Suisse AG – HSI R Bear CBBC Apr 2015 F 238,000,000 2014/12/11 2015/04/29 59.50




65837 Credit Suisse AG – HSI R Bear CBBC May 2015 L 238,000,000 2014/12/11 2015/05/28 59.5065844 Bank of East Asia – A50 China R Bull CBBC Jan 2016 A 80,000,000 2014/12/11 2016/01/28 20.0065848 Bank of East Asia – Ping An R Bull CBBC Nov 2015 A 80,000,000 2014/12/11 2015/11/25 20.0065849 Bank of East Asia – Ping An R Bear CBBC Aug 2015 A 80,000,000 2014/12/11 2015/08/13 20.0065820 HK Bank – CM Bank R Bull CBBC Sep 2015 A 40,000,000 2014/12/11 2015/09/30 10.0065822 HK Bank – CNOOC R Bull CBBC Oct 2015 G 60,000,000 2014/12/11 2015/10/19 17.4065794 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 D 200,000,000 2014/12/11 2015/12/21 50.0065800 HK Bank – CSOP A50 ETF R Bear CBBC Aug 2015 B 40,000,000 2014/12/11 2015/08/24 10.0065827 HK Bank – PetCh R Bull CBBC Oct 2015 B 60,000,000 2014/12/11 2015/10/26 15.0065814 HK Bank – Sands China R Bear CBBC Oct 2015 B 60,000,000 2014/12/11 2015/10/26 15.0065812 HK Bank – TCH R Bear CBBC Aug 2015 G 100,000,000 2014/12/11 2015/08/20 25.0065968 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 T 300,000,000 2014/12/11 2015/07/30 75.0065963 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 N 300,000,000 2014/12/11 2015/08/28 75.0065828 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 N 300,000,000 2014/12/11 2015/04/29 75.0065866 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 O 300,000,000 2014/12/11 2015/04/29 75.0065868 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 P 300,000,000 2014/12/11 2015/04/29 75.0065975 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 M 100,000,000 2014/12/11 2015/03/30 25.0065976 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 N 100,000,000 2014/12/11 2015/03/30 25.0065850 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 N 120,000,000 2014/12/11 2015/03/30 30.0065854 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 O 100,000,000 2014/12/11 2015/03/30 25.0065893 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Aug15C 100,000,000 2014/12/11 2015/08/28 25.0065891 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Sep15C 100,000,000 2014/12/11 2015/09/29 25.0065899 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jul15C 100,000,000 2014/12/11 2015/07/30 25.0065898 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Aug15B 100,000,000 2014/12/11 2015/08/28 25.0065912 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Aug15 C 100,000,000 2014/12/11 2015/08/28 25.0065909 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Sep15 C 100,000,000 2014/12/11 2015/09/29 25.0065918 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jul15C 100,000,000 2014/12/11 2015/07/30 25.0065917 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Aug15B 100,000,000 2014/12/11 2015/08/28 25.0065919 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Aug15C 100,000,000 2014/12/11 2015/08/28 26.5065887 UBS AG – Minsheng Bank R Bull CBBC Aug 2015 A 100,000,000 2014/12/11 2015/08/03 25.0065878 UBS AG – CSOP A50 ETF R Bull CBBC Jun 2015 B 100,000,000 2014/12/11 2015/06/15 25.0065869 UBS AG – A50 China R Bull CBBC Jun 2015 A 100,000,000 2014/12/11 2015/06/29 25.0065930 UBS AG – HSCEI R Bull CBBC Jul 2015 A 100,000,000 2014/12/11 2015/07/30 25.0065936 UBS AG – HSI R Bull CBBC Jun 2015 O 350,000,000 2014/12/11 2015/06/29 87.5065931 UBS AG – HSI R Bull CBBC Jul 2015 D 300,000,000 2014/12/11 2015/07/30 75.0065829 UBS AG – HSI R Bear CBBC Mar 2015 Z 300,000,000 2014/12/11 2015/03/30 75.0065831 UBS AG – HSI R Bear CBBC Apr 2015 P 300,000,000 2014/12/11 2015/04/29 75.0065977 UBS AG – HSI R Bear CBBC Jun 2015 C 350,000,000 2014/12/11 2015/06/29 87.5065978 UBS AG – HSI R Bear CBBC Jun 2015 D 350,000,000 2014/12/11 2015/06/29 87.5065888 UBS AG – ICBC R Bull CBBC Aug 2015 B 100,000,000 2014/12/11 2015/08/17 25.0065881 UBS AG – Ping An R Bear CBBC May 2015 B 100,000,000 2014/12/11 2015/05/18 25.0065890 UBS AG – Tencent R Bear CBBC Apr 2015 E 100,000,000 2014/12/11 2015/04/13 25.0066034 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 A 200,000,000 2014/12/12 2015/12/30 50.0066053 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 B 200,000,000 2014/12/12 2015/12/30 50.0066055 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 C 200,000,000 2014/12/12 2015/12/30 50.00




66029 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 D 200,000,000 2014/12/12 2015/04/29 50.0066030 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 E 200,000,000 2014/12/12 2015/04/29 50.0066074 Credit Suisse AG – HSI R Bull CBBC Jul 2015 W 238,000,000 2014/12/12 2015/07/30 59.5066083 Credit Suisse AG – HSI R Bull CBBC Jul 2015 X 238,000,000 2014/12/12 2015/07/30 59.5066086 Credit Suisse AG – HSI R Bull CBBC Jul 2015 Y 238,000,000 2014/12/12 2015/07/30 59.5066024 Credit Suisse AG – HSI R Bear CBBC Mar 2015 N 238,000,000 2014/12/12 2015/03/30 59.5066026 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Q 238,000,000 2014/12/12 2015/03/30 59.5066023 Credit Suisse AG – HSI R Bear CBBC Mar 2015 U 238,000,000 2014/12/12 2015/03/30 59.5066027 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Y 238,000,000 2014/12/12 2015/03/30 59.5066109 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 I 150,000,000 2014/12/12 2015/03/30 39.6066112 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 T 150,000,000 2014/12/12 2015/03/30 42.7566114 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 U 150,000,000 2014/12/12 2015/03/30 51.4566013 HK Bank – Minsheng Bank R Bull CBBC Nov 2015 B 40,000,000 2014/12/12 2015/11/09 10.0066010 HK Bank – CNOOC R Bear CBBC Jul 2015 C 40,000,000 2014/12/12 2015/07/13 10.0065987 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 E 200,000,000 2014/12/12 2015/12/23 50.0065994 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 F 200,000,000 2014/12/12 2015/12/17 50.0065995 HK Bank – A50 R Bull CBBC Dec 2015 A 200,000,000 2014/12/12 2015/12/23 50.0065999 HK Bank – A50 R Bull CBBC Dec 2015 B 200,000,000 2014/12/12 2015/12/22 50.0066000 HK Bank – Galaxy Ent R Bear CBBC Oct 2015 B 60,000,000 2014/12/12 2015/10/12 15.0065981 HK Bank – HSCEI R Bull CBBC Jul 2015 F 100,000,000 2014/12/12 2015/07/30 25.0066009 HK Bank – HSCEI R Bull CBBC Aug 2015 B 100,000,000 2014/12/12 2015/08/28 25.0065984 HK Bank – HSCEI R Bear CBBC Oct 2015 A 68,000,000 2014/12/12 2015/10/29 17.0065986 HK Bank – HSCEI R Bear CBBC Nov 2015 A 68,000,000 2014/12/12 2015/11/27 17.0066012 HK Bank – Ping An R Bull CBBC Oct 2015 C 60,000,000 2014/12/12 2015/10/19 15.0066002 HK Bank – TCH R Bear CBBC Aug 2015 H 100,000,000 2014/12/12 2015/08/17 25.0066108 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 J 300,000,000 2014/12/12 2015/07/30 75.0066106 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 O 300,000,000 2014/12/12 2015/08/28 75.0066014 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 P 300,000,000 2014/12/12 2015/03/30 75.0066015 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 Q 300,000,000 2014/12/12 2015/04/29 75.0066056 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 O 100,000,000 2014/12/12 2015/03/30 25.0066058 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 P 120,000,000 2014/12/12 2015/03/30 30.0066049 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Aug15C 100,000,000 2014/12/12 2015/08/28 25.0066052 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 R 200,000,000 2014/12/12 2015/07/30 50.0066019 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 H 200,000,000 2014/12/12 2015/03/30 50.0066022 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 W 200,000,000 2014/12/12 2015/04/29 50.0066087 UBS AG – CSOP A50 ETF R Bull CBBC Jul 2015 A 100,000,000 2014/12/12 2015/07/06 25.0066093 UBS AG – A50 China R Bull CBBC Jun 2015 B 100,000,000 2014/12/12 2015/06/08 25.0066060 UBS AG – HSI R Bull CBBC May 2015 G 350,000,000 2014/12/12 2015/05/28 87.5066059 UBS AG – HSI R Bull CBBC Jun 2015 P 300,000,000 2014/12/12 2015/06/29 75.0066042 UBS AG – HSI R Bear CBBC Mar 2015 H 300,000,000 2014/12/12 2015/03/30 75.0066037 UBS AG – HSI R Bear CBBC Apr 2015 Q 300,000,000 2014/12/12 2015/04/29 75.0066044 UBS AG – HSI R Bear CBBC May 2015 E 350,000,000 2014/12/12 2015/05/28 87.5066066 UBS AG – HSI R Bear CBBC May 2015 F 300,000,000 2014/12/12 2015/05/28 75.0066069 UBS AG – HSI R Bear CBBC Jun 2015 E 300,000,000 2014/12/12 2015/06/29 75.0066073 UBS AG – HSI R Bear CBBC Jun 2015 F 300,000,000 2014/12/12 2015/06/29 75.00




64969# HK Bank – Ping An R Bull CBBC Oct 2015 B 120,000,000 2014/12/12 2015/10/26 30.0066178 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Jun15E 100,000,000 2014/12/15 2015/06/29 25.0066177 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Jun 2015 H 100,000,000 2014/12/15 2015/06/29 25.0066195 Credit Suisse AG – HSI R Bull CBBC Jun 2015 H 238,000,000 2014/12/15 2015/06/29 59.5066190 Credit Suisse AG – HSI R Bull CBBC Jun 2015 I 238,000,000 2014/12/15 2015/06/29 59.5066186 Credit Suisse AG – HSI R Bull CBBC Jun 2015 R 238,000,000 2014/12/15 2015/06/29 59.5066152 Credit Suisse AG – HSI R Bear CBBC Mar 2015 T 238,000,000 2014/12/15 2015/03/30 59.5066153 Credit Suisse AG – HSI R Bear CBBC Mar 2015 W 238,000,000 2014/12/15 2015/03/30 59.5066164 Bank of East Asia – CNOOC R Bull CBBC Jul 2015 A 80,000,000 2014/12/15 2015/07/31 20.0066213 Bank of East Asia – Galaxy Ent R Bear CBBC Dec 2015 A 100,000,000 2014/12/15 2015/12/02 25.0066128 HK Bank – CSOP A50 ETF R Bull CBBC Jan 2016 A 200,000,000 2014/12/15 2016/01/18 50.0066145 HK Bank – CSOP A50 ETF R Bull CBBC Jan 2016 B 200,000,000 2014/12/15 2016/01/11 50.0066122 HK Bank – CSOP A50 ETF R Bear CBBC Sep 2015 A 40,000,000 2014/12/15 2015/09/07 10.0066120 HK Bank – A50 R Bull CBBC Jan 2016 A 200,000,000 2014/12/15 2016/01/11 50.0066147 HK Bank – A50 R Bull CBBC Jan 2016 B 200,000,000 2014/12/15 2016/01/18 50.0066123 HK Bank – HSCEI R Bull CBBC Jul 2015 G 100,000,000 2014/12/15 2015/07/30 25.0066124 HK Bank – HSCEI R Bear CBBC May 2015 G 68,000,000 2014/12/15 2015/05/28 17.0066119 HK Bank – HSI R Bull CBBC Jul 2015 S 100,000,000 2014/12/15 2015/07/30 25.0066121 HK Bank – HSI R Bull CBBC Jul 2015 T 100,000,000 2014/12/15 2015/07/30 25.0066115 HK Bank – HSI R Bear CBBC Jul 2015 I 100,000,000 2014/12/15 2015/07/30 25.0066209 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 B 300,000,000 2014/12/15 2015/06/29 75.0066208 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 P 300,000,000 2014/12/15 2015/08/28 75.0066184 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 Q 300,000,000 2014/12/15 2015/03/30 75.0066175 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 Q 120,000,000 2014/12/15 2015/03/30 30.0066172 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 P 100,000,000 2014/12/15 2015/03/30 25.0066165 Standard Chartered Bank – Ping An R Bull CBBC Nov 2015 C 50,000,000 2014/12/15 2015/11/18 12.5066168 Standard Chartered Bank – Ping An R Bear CBBC Aug 2015 B 50,000,000 2014/12/15 2015/08/19 12.5066169 Standard Chartered Bank – Sands China R Bear CBBC May 2015 B 50,000,000 2014/12/15 2015/05/07 12.5066180 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Sep15D 100,000,000 2014/12/15 2015/09/29 25.0066183 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Sep15 D 100,000,000 2014/12/15 2015/09/29 25.0066176 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 C 200,000,000 2014/12/15 2015/06/29 50.0066150 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 K 200,000,000 2014/12/15 2015/03/30 50.0066200 UBS AG – HSI R Bull CBBC May 2015 F 300,000,000 2014/12/15 2015/05/28 75.0066197 UBS AG – HSI R Bull CBBC May 2015 I 300,000,000 2014/12/15 2015/05/28 75.0066206 UBS AG – HSI R Bull CBBC Jun 2015 S 300,000,000 2014/12/15 2015/06/29 75.0066154 UBS AG – HSI R Bear CBBC Apr 2015 R 300,000,000 2014/12/15 2015/04/29 75.0066161 UBS AG – HSI R Bear CBBC Jun 2015 G 350,000,000 2014/12/15 2015/06/29 87.5066243 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 D 200,000,000 2014/12/16 2015/12/30 50.0066301 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 E 200,000,000 2014/12/16 2015/12/30 50.0066305 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 F 200,000,000 2014/12/16 2015/12/30 50.0066310 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 G 200,000,000 2014/12/16 2015/12/30 50.0066346 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 F 200,000,000 2014/12/16 2015/04/29 50.0066350 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 G 200,000,000 2014/12/16 2015/04/29 50.0066249 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jun 2015 B 60,000,000 2014/12/16 2015/06/30 15.0066252 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jun 2015 C 60,000,000 2014/12/16 2015/06/30 15.00




66255 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jun 2015 C 60,000,000 2014/12/16 2015/06/30 15.0066256 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jun 2015 D 60,000,000 2014/12/16 2015/06/30 15.0066259 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jun 2015 E 60,000,000 2014/12/16 2015/06/30 16.8066260 Credit Suisse AG – A50 China R Bull CBBC Jun 2015 B 60,000,000 2014/12/16 2015/06/30 15.0066263 Credit Suisse AG – A50 China R Bull CBBC Jun 2015 C 60,000,000 2014/12/16 2015/06/30 15.0066264 Credit Suisse AG – A50 China R Bear CBBC Jun 2015 C 60,000,000 2014/12/16 2015/06/30 15.0066265 Credit Suisse AG – A50 China R Bear CBBC Jun 2015 D 60,000,000 2014/12/16 2015/06/30 15.0066268 Credit Suisse AG – A50 China R Bear CBBC Jun 2015 E 60,000,000 2014/12/16 2015/06/30 17.4066271 Credit Suisse AG – HSI R Bull CBBC Aug 2015 B 238,000,000 2014/12/16 2015/08/28 59.5066272 Credit Suisse AG – HSI R Bull CBBC Aug 2015 C 238,000,000 2014/12/16 2015/08/28 59.5066273 Credit Suisse AG – HSI R Bull CBBC Aug 2015 D 238,000,000 2014/12/16 2015/08/28 59.5066312 Credit Suisse AG – HSI R Bull CBBC Aug 2015 E 238,000,000 2014/12/16 2015/08/28 59.5066313 Credit Suisse AG – HSI R Bull CBBC Aug 2015 F 238,000,000 2014/12/16 2015/08/28 59.5066319 Credit Suisse AG – HSI R Bear CBBC Apr 2015 R 238,000,000 2014/12/16 2015/04/29 59.5066321 Credit Suisse AG – HSI R Bear CBBC Apr 2015 S 238,000,000 2014/12/16 2015/04/29 59.5066322 Credit Suisse AG – HSI R Bear CBBC Apr 2015 T 238,000,000 2014/12/16 2015/04/29 59.5066330 Credit Suisse AG – HSI R Bear CBBC Apr 2015 V 238,000,000 2014/12/16 2015/04/29 59.5066332 Credit Suisse AG – HSI R Bear CBBC Apr 2015 X 238,000,000 2014/12/16 2015/04/29 59.5066355 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 J 150,000,000 2014/12/16 2015/03/30 42.4566358 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 K 150,000,000 2014/12/16 2015/03/30 39.9066351 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 V 150,000,000 2014/12/16 2015/03/30 39.0066352 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 W 150,000,000 2014/12/16 2015/03/30 38.8566353 Goldman Sachs SP (Asia) – HSI R Bear CBBC May 2015 C 150,000,000 2014/12/16 2015/05/28 40.3566236 HK Bank – BOCL R Bull CBBC Sep 2015 A 80,000,000 2014/12/16 2015/09/30 20.0066234 HK Bank – CC Bank R Bull CBBC Sep 2015 A 80,000,000 2014/12/16 2015/09/30 20.0066239 HK Bank – Minsheng Bank R Bull CBBC Nov 2015 C 40,000,000 2014/12/16 2015/11/02 10.0066215 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 G 200,000,000 2014/12/16 2015/12/29 50.0066233 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 H 200,000,000 2014/12/16 2015/12/30 50.0066217 HK Bank – CSOP A50 ETF R Bear CBBC Sep 2015 B 40,000,000 2014/12/16 2015/09/08 10.0066229 HK Bank – CSOP A50 ETF R Bear CBBC Sep 2015 C 40,000,000 2014/12/16 2015/09/09 10.0066238 HK Bank – China Shenhua R Bull CBBC Sep 2015 B 40,000,000 2014/12/16 2015/09/30 14.0066221 HK Bank – A50 R Bull CBBC Aug 2015 H 200,000,000 2014/12/16 2015/08/24 50.0066222 HK Bank – A50 R Bull CBBC Aug 2015 I 200,000,000 2014/12/16 2015/08/31 50.0066227 HK Bank – A50 R Bear CBBC Sep 2015 B 50,000,000 2014/12/16 2015/09/21 14.0066226 HK Bank – A50 R Bear CBBC Oct 2015 B 50,000,000 2014/12/16 2015/10/05 16.0066240 HK Bank – HKEx R Bull CBBC Oct 2015 A 60,000,000 2014/12/16 2015/10/12 15.0066241 HK Bank – HKEx R Bull CBBC Oct 2015 B 60,000,000 2014/12/16 2015/10/19 15.0066235 HK Bank – ICBC R Bull CBBC Sep 2015 A 80,000,000 2014/12/16 2015/09/30 20.0066230 HK Bank – Ping An R Bull CBBC Nov 2015 B 120,000,000 2014/12/16 2015/11/30 30.0066237 HK Bank – Sands China R Bull CBBC Oct 2015 A 80,000,000 2014/12/16 2015/10/26 20.0066276 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 I 300,000,000 2014/12/16 2015/06/29 75.0066245 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 M 300,000,000 2014/12/16 2015/06/29 75.0066311 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 Q 300,000,000 2014/12/16 2015/07/30 75.0066275 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 F 300,000,000 2014/12/16 2015/08/28 75.0066339 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 R 300,000,000 2014/12/16 2015/03/30 75.00




66338 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 S 300,000,000 2014/12/16 2015/03/30 75.0066278 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun 15E 200,000,000 2014/12/16 2015/06/29 50.0066248 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun 15U 200,000,000 2014/12/16 2015/06/29 50.0066279 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul 15U 200,000,000 2014/12/16 2015/07/30 50.0066280 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul 15X 200,000,000 2014/12/16 2015/07/30 50.0066340 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr 15X 200,000,000 2014/12/16 2015/04/29 50.0066344 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr 15Y 200,000,000 2014/12/16 2015/04/29 50.0066299 UBS AG – CNOOC R Bull CBBC Nov 2015 A 100,000,000 2014/12/16 2015/11/09 25.0066285 UBS AG – CSOP A50 ETF R Bull CBBC May 2015 B 100,000,000 2014/12/16 2015/05/18 29.0066298 UBS AG – CSOP A50 ETF R Bull CBBC Jun 2015 C 100,000,000 2014/12/16 2015/06/29 25.0066297 UBS AG – CSOP A50 ETF R Bear CBBC Jun 2015 A 100,000,000 2014/12/16 2015/06/08 26.5066296 UBS AG – A50 China R Bull CBBC Jul 2015 A 100,000,000 2014/12/16 2015/07/06 25.0066295 UBS AG – A50 China R Bear CBBC May 2015 B 100,000,000 2014/12/16 2015/05/18 25.0066300 UBS AG – HKEx R Bull CBBC Jul 2015 B 100,000,000 2014/12/16 2015/07/13 25.0066293 UBS AG – HSCEI R Bull CBBC Sep 2015 B 100,000,000 2014/12/16 2015/09/29 25.0066294 UBS AG – HSCEI R Bull CBBC Sep 2015 C 100,000,000 2014/12/16 2015/09/29 25.0066291 UBS AG – HSCEI R Bear CBBC Apr 2015 A 100,000,000 2014/12/16 2015/04/29 25.0066288 UBS AG – HSI R Bull CBBC Apr 2015 F 300,000,000 2014/12/16 2015/04/29 75.0066246 UBS AG – HSI R Bull CBBC Apr 2015 G 300,000,000 2014/12/16 2015/04/29 75.0066247 UBS AG – HSI R Bull CBBC Jul 2015 C 300,000,000 2014/12/16 2015/07/30 75.0066282 UBS AG – HSI R Bull CBBC Aug 2015 C 300,000,000 2014/12/16 2015/08/28 75.0066337 UBS AG – HSI R Bear CBBC Mar 2015 C 300,000,000 2014/12/16 2015/03/30 75.0066336 UBS AG – HSI R Bear CBBC Apr 2015 S 300,000,000 2014/12/16 2015/04/29 75.0066334 UBS AG – HSI R Bear CBBC May 2015 G 300,000,000 2014/12/16 2015/05/28 75.0066335 UBS AG – HSI R Bear CBBC May 2015 H 300,000,000 2014/12/16 2015/05/28 75.0065607# HK Bank – Hutchison R Bull CBBC Oct 2014 C 120,000,000 2014/12/16 2014/10/16 17.4066395 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 H 200,000,000 2014/12/17 2015/12/30 50.0066394 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 H 200,000,000 2014/12/17 2015/04/29 50.0066417 Credit Suisse AG – HSI R Bull CBBC May 2015 C 238,000,000 2014/12/17 2015/05/28 59.5066398 Credit Suisse AG – HSI R Bull CBBC May 2015 Z 238,000,000 2014/12/17 2015/05/28 59.5066415 Credit Suisse AG – HSI R Bear CBBC Mar 2015 R 238,000,000 2014/12/17 2015/03/30 59.5066416 Credit Suisse AG – HSI R Bear CBBC Mar 2015 X 238,000,000 2014/12/17 2015/03/30 59.5066414 Credit Suisse AG – HSI R Bear CBBC Mar 2015 Z 238,000,000 2014/12/17 2015/03/30 59.5066378 HK Bank – CC Bank R Bear CBBC May 2015 B 40,000,000 2014/12/17 2015/05/04 10.0066360 HK Bank – A50 R Bear CBBC Oct 2015 C 50,000,000 2014/12/17 2015/10/05 12.5066369 HK Bank – ICBC R Bear CBBC Oct 2015 A 40,000,000 2014/12/17 2015/10/26 10.0066380 HK Bank – TCH R Bull CBBC Aug 2015 H 100,000,000 2014/12/17 2015/08/10 25.0066384 HK Bank – TCH R Bull CBBC Aug 2015 I 100,000,000 2014/12/17 2015/08/03 25.0066383 HK Bank – TCH R Bear CBBC Sep 2015 B 100,000,000 2014/12/17 2015/09/07 25.0066433 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 Q 300,000,000 2014/12/17 2015/08/28 75.0066407 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 T 300,000,000 2014/12/17 2015/03/30 75.0066408 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 U 300,000,000 2014/12/17 2015/03/30 75.0066406 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 R 300,000,000 2014/12/17 2015/04/29 75.0066428 Macquarie Bank Ltd. – HSI R Bear CBBC May 2015 A 50,000,000 2014/12/17 2015/05/28 12.5066432 Macquarie Bank Ltd. – HSI R Bear CBBC May 2015 B 50,000,000 2014/12/17 2015/05/28 12.50




66405 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 R 100,000,000 2014/12/17 2015/03/30 25.0066418 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 S 120,000,000 2014/12/17 2015/03/30 30.0066399 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 Q 120,000,000 2014/12/17 2015/03/30 30.0066410 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 R 100,000,000 2014/12/17 2015/03/30 25.0066388 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 F 200,000,000 2014/12/17 2015/06/29 50.0066390 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 M 200,000,000 2014/12/17 2015/03/30 50.0066391 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 Q 200,000,000 2014/12/17 2015/03/30 50.0066422 UBS AG – HSI R Bull CBBC Apr 2015 H 350,000,000 2014/12/17 2015/04/29 87.5066420 UBS AG – HSI R Bull CBBC Jun 2015 U 300,000,000 2014/12/17 2015/06/29 75.0066423 UBS AG – HSI R Bear CBBC Mar 2015 G 300,000,000 2014/12/17 2015/03/30 75.0066424 UBS AG – HSI R Bear CBBC May 2015 I 300,000,000 2014/12/17 2015/05/28 75.0066425 UBS AG – HSI R Bear CBBC May 2015 J 300,000,000 2014/12/17 2015/05/28 75.0066427 UBS AG – HSI R Bear CBBC Jun 2015 H 350,000,000 2014/12/17 2015/06/29 87.5066467 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 I 200,000,000 2014/12/18 2015/12/30 50.0066468 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 J 200,000,000 2014/12/18 2015/12/30 50.0066483 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 I 200,000,000 2014/12/18 2015/04/29 50.0066484 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 J 200,000,000 2014/12/18 2015/04/29 50.0066472 Credit Suisse AG – HSI R Bull CBBC Jun 2015 E 238,000,000 2014/12/18 2015/06/29 59.5066476 Credit Suisse AG – HSI R Bull CBBC Jun 2015 K 238,000,000 2014/12/18 2015/06/29 59.5066469 Credit Suisse AG – HSI R Bull CBBC Jun 2015 S 238,000,000 2014/12/18 2015/06/29 59.5066471 Credit Suisse AG – HSI R Bull CBBC Jun 2015 T 238,000,000 2014/12/18 2015/06/29 59.5066488 Credit Suisse AG – HSI R Bear CBBC May 2015 M 238,000,000 2014/12/18 2015/05/28 59.5066489 Credit Suisse AG – HSI R Bear CBBC May 2015 N 238,000,000 2014/12/18 2015/05/28 59.5066493 Credit Suisse AG – HSI R Bear CBBC May 2015 O 238,000,000 2014/12/18 2015/05/28 59.5066507 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 L 150,000,000 2014/12/18 2015/03/30 38.7066508 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 M 150,000,000 2014/12/18 2015/03/30 43.5066506 Goldman Sachs SP (Asia) – HSI R Bear CBBC Mar 2015 X 150,000,000 2014/12/18 2015/03/30 37.9566440 HK Bank – Minsheng Bank R Bear CBBC Jul 2015 B 40,000,000 2014/12/18 2015/07/27 10.0066441 HK Bank – Sinopec Corp R Bear CBBC Jul 2015 B 40,000,000 2014/12/18 2015/07/13 10.0066439 HK Bank – PetCh R Bear CBBC Aug 2015 B 40,000,000 2014/12/18 2015/08/03 10.0066444 HK Bank – Ping An R Bull CBBC Nov 2015 C 120,000,000 2014/12/18 2015/11/02 30.0066445 HK Bank – Ping An R Bull CBBC Nov 2015 D 120,000,000 2014/12/18 2015/11/16 30.0066448 HK Bank – Ping An R Bull CBBC Nov 2015 E 120,000,000 2014/12/18 2015/11/23 30.0066449 HK Bank – Ping An R Bull CBBC Nov 2015 F 120,000,000 2014/12/18 2015/11/23 30.0066442 HK Bank – Sands China R Bear CBBC Aug 2015 B 60,000,000 2014/12/18 2015/08/31 15.0066437 HK Bank – TCH R Bear CBBC Sep 2015 C 100,000,000 2014/12/18 2015/09/29 25.0066453 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 L 300,000,000 2014/12/18 2015/06/29 75.0066450 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 B 300,000,000 2014/12/18 2015/08/28 75.0066480 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 X 300,000,000 2014/12/18 2015/03/30 75.0066482 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 S 300,000,000 2014/12/18 2015/04/29 75.0066500 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 T 300,000,000 2014/12/18 2015/04/29 75.0066504 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 U 300,000,000 2014/12/18 2015/04/29 75.0066477 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 T 120,000,000 2014/12/18 2015/03/30 30.0066478 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 U 100,000,000 2014/12/18 2015/03/30 25.0066460 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 O 200,000,000 2014/12/18 2015/06/29 50.00




66462 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 N 200,000,000 2014/12/18 2015/07/30 50.0066487 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar15 R 200,000,000 2014/12/18 2015/03/30 50.0066485 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 Z 200,000,000 2014/12/18 2015/04/29 50.0066456 UBS AG – HSI R Bull CBBC May 2015 H 300,000,000 2014/12/18 2015/05/28 75.0066454 UBS AG – HSI R Bull CBBC Jul 2015 G 300,000,000 2014/12/18 2015/07/30 75.0066498 UBS AG – HSI R Bear CBBC Mar 2015 A 300,000,000 2014/12/18 2015/03/30 75.0066497 UBS AG – HSI R Bear CBBC May 2015 K 300,000,000 2014/12/18 2015/05/28 75.0066496 UBS AG – HSI R Bear CBBC Jun 2015 I 300,000,000 2014/12/18 2015/06/29 75.0066531 Credit Suisse AG – HSI R Bull CBBC May 2015 D 238,000,000 2014/12/19 2015/05/28 59.5066530 Credit Suisse AG – HSI R Bull CBBC May 2015 V 238,000,000 2014/12/19 2015/05/28 59.5066538 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Q 238,000,000 2014/12/19 2015/04/29 59.5066539 Credit Suisse AG – HSI R Bear CBBC Apr 2015 W 238,000,000 2014/12/19 2015/04/29 59.5066532 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Y 238,000,000 2014/12/19 2015/04/29 59.5066549 Goldman Sachs SP (Asia) – HSI R Bull CBBC Mar 2015 N 150,000,000 2014/12/19 2015/03/30 38.4066548 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jun 2015 A 150,000,000 2014/12/19 2015/06/29 41.1066519 HK Bank – CNOOC R Bull CBBC Nov 2015 A 60,000,000 2014/12/19 2015/11/30 19.2066518 HK Bank – Sinopec Corp R Bull CBBC Dec 2015 A 80,000,000 2014/12/19 2015/12/21 20.0066515 HK Bank – HSCEI R Bear CBBC Jun 2015 B 68,000,000 2014/12/19 2015/06/29 17.0066509 HK Bank – HSI R Bear CBBC Jul 2015 J 100,000,000 2014/12/19 2015/07/30 25.0066512 HK Bank – HSI R Bear CBBC Jul 2015 K 100,000,000 2014/12/19 2015/07/30 25.0066517 HK Bank – TCH R Bull CBBC Jul 2015 M 100,000,000 2014/12/19 2015/07/20 25.0066523 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 R 300,000,000 2014/12/19 2015/08/28 75.0066543 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 V 300,000,000 2014/12/19 2015/03/30 75.0066528 UBS AG – HSI R Bull CBBC May 2015 A 350,000,000 2014/12/19 2015/05/28 87.5066524 UBS AG – HSI R Bull CBBC Jun 2015 R 300,000,000 2014/12/19 2015/06/29 75.0066540 UBS AG – HSI R Bear CBBC Apr 2015 T 300,000,000 2014/12/19 2015/04/29 75.0066542 UBS AG – HSI R Bear CBBC May 2015 L 350,000,000 2014/12/19 2015/05/28 87.5066575 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 K 200,000,000 2014/12/22 2015/12/30 50.0066576 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 L 200,000,000 2014/12/22 2015/12/30 50.0066579 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 M 200,000,000 2014/12/22 2015/12/30 50.0066580 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 N 200,000,000 2014/12/22 2015/12/30 50.0066581 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 O 200,000,000 2014/12/22 2015/12/30 50.0066620 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 K 200,000,000 2014/12/22 2015/04/29 50.0066621 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 L 200,000,000 2014/12/22 2015/04/29 50.0066572 Credit Suisse AG – HSI R Bull CBBC May 2015 F 238,000,000 2014/12/22 2015/05/28 59.5066573 Credit Suisse AG – HSI R Bull CBBC Jun 2015 U 238,000,000 2014/12/22 2015/06/29 59.5066560 Credit Suisse AG – HSI R Bull CBBC Jul 2015 A 238,000,000 2014/12/22 2015/07/30 59.5066562 Credit Suisse AG – HSI R Bull CBBC Jul 2015 B 238,000,000 2014/12/22 2015/07/30 59.5066563 Credit Suisse AG – HSI R Bull CBBC Jul 2015 C 238,000,000 2014/12/22 2015/07/30 59.5066564 Credit Suisse AG – HSI R Bull CBBC Jul 2015 D 238,000,000 2014/12/22 2015/07/30 59.5066566 Credit Suisse AG – HSI R Bull CBBC Jul 2015 E 238,000,000 2014/12/22 2015/07/30 59.5066571 Credit Suisse AG – HSI R Bull CBBC Jul 2015 F 238,000,000 2014/12/22 2015/07/30 59.5066559 Credit Suisse AG – HSI R Bull CBBC Jul 2015 Z 238,000,000 2014/12/22 2015/07/30 59.5066574 Credit Suisse AG – HSI R Bull CBBC Aug 2015 G 238,000,000 2014/12/22 2015/08/28 59.5066617 Credit Suisse AG – HSI R Bear CBBC Apr 2015 F 238,000,000 2014/12/22 2015/04/29 59.50




66614 Credit Suisse AG – HSI R Bear CBBC May 2015 P 238,000,000 2014/12/22 2015/05/28 59.5066615 Credit Suisse AG – HSI R Bear CBBC May 2015 Q 238,000,000 2014/12/22 2015/05/28 59.5066619 Credit Suisse AG – HSI R Bear CBBC May 2015 R 238,000,000 2014/12/22 2015/05/28 59.5066613 Credit Suisse AG – HSI R Bear CBBC Jun 2015 E 238,000,000 2014/12/22 2015/06/29 59.5066600 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 O 300,000,000 2014/12/22 2015/06/29 75.0066601 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 K 300,000,000 2014/12/22 2015/07/30 75.0066597 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 S 300,000,000 2014/12/22 2015/08/28 75.0066603 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 T 300,000,000 2014/12/22 2015/08/28 75.0066622 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 Y 300,000,000 2014/12/22 2015/03/30 75.0066624 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 Z 300,000,000 2014/12/22 2015/03/30 75.0066623 J P Morgan SP BV – HSI R Bear CBBC Apr 2015 V 300,000,000 2014/12/22 2015/04/29 75.0066588 Macquarie Bank Ltd. – HSI R Bull CBBC Apr 2015 B 40,000,000 2014/12/22 2015/04/29 10.0066590 Macquarie Bank Ltd. – HSI R Bull CBBC Apr 2015 C 40,000,000 2014/12/22 2015/04/29 10.2066591 Macquarie Bank Ltd. – HSI R Bear CBBC May 2015 C 40,000,000 2014/12/22 2015/05/28 10.0066594 Macquarie Bank Ltd. – HSI R Bear CBBC May 2015 D 40,000,000 2014/12/22 2015/05/28 10.2066583 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 V 100,000,000 2014/12/22 2015/03/30 25.0066584 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 W 120,000,000 2014/12/22 2015/03/30 30.0066585 Standard Chartered Bank – HSI R Bull CBBC Mar 2015 X 120,000,000 2014/12/22 2015/03/30 30.0066605 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 S 100,000,000 2014/12/22 2015/03/30 25.0066607 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 T 100,000,000 2014/12/22 2015/03/30 25.0066586 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 A 200,000,000 2014/12/22 2015/07/30 50.0066587 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 B 200,000,000 2014/12/22 2015/07/30 50.0066595 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 C 200,000,000 2014/12/22 2015/04/29 50.0066557 UBS AG – HSI R Bull CBBC Apr 2015 I 300,000,000 2014/12/22 2015/04/29 75.0066556 UBS AG – HSI R Bull CBBC May 2015 L 300,000,000 2014/12/22 2015/05/28 75.0066558 UBS AG – HSI R Bull CBBC May 2015 T 300,000,000 2014/12/22 2015/05/28 75.0066612 UBS AG – HSI R Bear CBBC Mar 2015 N 300,000,000 2014/12/22 2015/03/30 75.0066610 UBS AG – HSI R Bear CBBC Apr 2015 U 300,000,000 2014/12/22 2015/04/29 75.0066611 UBS AG – HSI R Bear CBBC Apr 2015 V 300,000,000 2014/12/22 2015/04/29 75.0068428# HK Bank – Ping An R Bull CBBC Oct 2015 A 180,000,000 2014/12/22 2015/10/26 44.2866683 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 P 200,000,000 2014/12/23 2015/12/30 50.0066684 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 Q 200,000,000 2014/12/23 2015/12/30 50.0066798 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 R 200,000,000 2014/12/23 2015/12/30 50.0066803 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 M 200,000,000 2014/12/23 2015/04/29 50.0066804 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 N 200,000,000 2014/12/23 2015/04/29 50.0066858 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 O 200,000,000 2014/12/23 2015/04/29 50.0066726 Credit Suisse AG – HSI R Bull CBBC Jun 2015 F 238,000,000 2014/12/23 2015/06/29 59.5066703 Credit Suisse AG – HSI R Bull CBBC Jun 2015 L 238,000,000 2014/12/23 2015/06/29 59.5066706 Credit Suisse AG – HSI R Bull CBBC Jun 2015 M 238,000,000 2014/12/23 2015/06/29 59.5066806 Credit Suisse AG – HSI R Bull CBBC Jun 2015 N 238,000,000 2014/12/23 2015/06/29 59.5066719 Credit Suisse AG – HSI R Bull CBBC Jun 2015 O 238,000,000 2014/12/23 2015/06/29 59.5066696 Credit Suisse AG – HSI R Bull CBBC Jun 2015 V 238,000,000 2014/12/23 2015/06/29 59.5066697 Credit Suisse AG – HSI R Bull CBBC Jun 2015 X 238,000,000 2014/12/23 2015/06/29 59.5066698 Credit Suisse AG – HSI R Bull CBBC Jun 2015 Y 238,000,000 2014/12/23 2015/06/29 59.5066712 Credit Suisse AG – HSI R Bull CBBC Jul 2015 M 238,000,000 2014/12/23 2015/07/30 59.50




66721 Credit Suisse AG – HSI R Bull CBBC Jul 2015 N 238,000,000 2014/12/23 2015/07/30 59.5066727 Credit Suisse AG – HSI R Bull CBBC Jul 2015 O 238,000,000 2014/12/23 2015/07/30 59.5066732 Credit Suisse AG – HSI R Bull CBBC Jul 2015 P 238,000,000 2014/12/23 2015/07/30 59.5066723 Credit Suisse AG – HSI R Bull CBBC Aug 2015 H 238,000,000 2014/12/23 2015/08/28 59.5066731 Credit Suisse AG – HSI R Bull CBBC Aug 2015 I 238,000,000 2014/12/23 2015/08/28 59.5066733 Credit Suisse AG – HSI R Bull CBBC Aug 2015 J 238,000,000 2014/12/23 2015/08/28 59.5066829 Credit Suisse AG – HSI R Bull CBBC Aug 2015 K 238,000,000 2014/12/23 2015/08/28 59.5066828 Credit Suisse AG – HSI R Bull CBBC Sep 2015 A 238,000,000 2014/12/23 2015/09/29 59.5066837 Credit Suisse AG – HSI R Bull CBBC Sep 2015 B 238,000,000 2014/12/23 2015/09/29 73.7866834 Credit Suisse AG – HSI R Bull CBBC Oct 2015 A 238,000,000 2014/12/23 2015/10/29 64.2666846 Credit Suisse AG – HSI R Bear CBBC May 2015 S 238,000,000 2014/12/23 2015/05/28 59.5066850 Credit Suisse AG – HSI R Bear CBBC May 2015 T 238,000,000 2014/12/23 2015/05/28 59.5066854 Credit Suisse AG – HSI R Bear CBBC May 2015 U 238,000,000 2014/12/23 2015/05/28 59.5066841 Credit Suisse AG – HSI R Bear CBBC Jun 2015 F 238,000,000 2014/12/23 2015/06/29 59.5066842 Credit Suisse AG – HSI R Bear CBBC Jun 2015 G 238,000,000 2014/12/23 2015/06/29 59.5066845 Credit Suisse AG – HSI R Bear CBBC Jun 2015 H 238,000,000 2014/12/23 2015/06/29 59.5066769 Goldman Sachs SP (Asia) – HSI R Bull CBBC Apr 2015 A 150,000,000 2014/12/23 2015/04/29 37.6566767 Goldman Sachs SP (Asia) – HSI R Bear CBBC Apr 2015 C 150,000,000 2014/12/23 2015/04/29 37.6566768 Goldman Sachs SP (Asia) – HSI R Bear CBBC Apr 2015 D 150,000,000 2014/12/23 2015/04/29 37.6566668 HK Bank – CUni R Bull CBBC Oct 2015 B 50,000,000 2014/12/23 2015/10/26 12.5066646 HK Bank – HSI R Bull CBBC Aug 2015 M 100,000,000 2014/12/23 2015/08/28 25.0066661 HK Bank – HSI R Bull CBBC Aug 2015 N 100,000,000 2014/12/23 2015/08/28 25.0066663 HK Bank – HSI R Bull CBBC Sep 2015 E 100,000,000 2014/12/23 2015/09/29 25.0066643 HK Bank – HSI R Bull CBBC Oct 2015 D 100,000,000 2014/12/23 2015/10/29 25.0066662 HK Bank – HSI R Bull CBBC Oct 2015 E 100,000,000 2014/12/23 2015/10/29 25.0066656 HK Bank – HSI R Bear CBBC Jul 2015 L 400,000,000 2014/12/23 2015/07/30 100.0066657 HK Bank – HSI R Bear CBBC Aug 2015 D 100,000,000 2014/12/23 2015/08/28 25.0066658 HK Bank – HSI R Bear CBBC Sep 2015 C 100,000,000 2014/12/23 2015/09/29 25.0066669 HK Bank – ICBC R Bear CBBC Sep 2015 A 40,000,000 2014/12/23 2015/09/30 10.0066647 HK Bank – TCH R Bull CBBC Sep 2015 A 100,000,000 2014/12/23 2015/09/29 26.0066653 HK Bank – TCH R Bear CBBC Sep 2015 D 100,000,000 2014/12/23 2015/09/14 25.0066666 HK Bank – TCH R Bear CBBC Sep 2015 E 100,000,000 2014/12/23 2015/09/07 25.0066634 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Apr 2015 A 100,000,000 2014/12/23 2015/04/22 25.0066635 J P Morgan SP BV – CSOP A50 ETF R Bear CBBC Apr 2015 A 100,000,000 2014/12/23 2015/04/22 25.0066629 J P Morgan SP BV – A50 China R Bull CBBC Apr 2015 A 100,000,000 2014/12/23 2015/04/23 25.0066627 J P Morgan SP BV – A50 China R Bear CBBC Apr 2015 B 100,000,000 2014/12/23 2015/04/23 25.0066638 J P Morgan SP BV – HKEx R Bull CBBC Sep 2015 B 100,000,000 2014/12/23 2015/09/15 25.0066630 J P Morgan SP BV – HKEx R Bear CBBC Apr 2015 A 100,000,000 2014/12/23 2015/04/01 25.0066675 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 X 300,000,000 2014/12/23 2015/07/30 75.0066735 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 U 300,000,000 2014/12/23 2015/08/28 75.0066736 J P Morgan SP BV – HSI R Bull CBBC Sep 2015 A 300,000,000 2014/12/23 2015/09/29 75.0066739 J P Morgan SP BV – HSI R Bull CBBC Sep 2015 B 300,000,000 2014/12/23 2015/09/29 75.0066742 J P Morgan SP BV – HSI R Bull CBBC Dec 2015 A 300,000,000 2014/12/23 2015/12/30 75.0066756 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 B 300,000,000 2014/12/23 2015/03/30 75.0066757 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 C 300,000,000 2014/12/23 2015/03/30 75.00




66861 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 D 300,000,000 2014/12/23 2015/03/30 75.0066625 J P Morgan SP BV – Tencent R Bull CBBC Apr 2015 A 100,000,000 2014/12/23 2015/04/14 25.0066640 J P Morgan SP BV – Tencent R Bear CBBC Apr 2015 B 100,000,000 2014/12/23 2015/04/14 25.0066781 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 B 100,000,000 2014/12/23 2015/06/29 25.0066685 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 U 120,000,000 2014/12/23 2015/03/30 30.0066688 Standard Chartered Bank – HSI R Bear CBBC Mar 2015 V 120,000,000 2014/12/23 2015/03/30 30.0066785 Standard Chartered Bank – TCH R Bull CBBC Aug 2015 D 80,000,000 2014/12/23 2015/08/26 20.0066786 Standard Chartered Bank – TCH R Bear CBBC Aug 2015 B 80,000,000 2014/12/23 2015/08/27 20.0066671 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 X 200,000,000 2014/12/23 2015/06/29 50.0066770 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 Y 200,000,000 2014/12/23 2015/06/29 50.0066857 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 D 200,000,000 2014/12/23 2015/04/29 50.0066673 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May15 A 200,000,000 2014/12/23 2015/05/28 50.0066771 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May15 B 200,000,000 2014/12/23 2015/05/28 50.0066776 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May15 C 200,000,000 2014/12/23 2015/05/28 50.0066793 UBS AG – HSI R Bull CBBC May 2015 B 300,000,000 2014/12/23 2015/05/28 75.0066676 UBS AG – HSI R Bull CBBC May 2015 V 300,000,000 2014/12/23 2015/05/28 75.0066680 UBS AG – HSI R Bull CBBC Jun 2015 Y 300,000,000 2014/12/23 2015/06/29 75.0066678 UBS AG – HSI R Bull CBBC Jul 2015 H 300,000,000 2014/12/23 2015/07/30 75.0066788 UBS AG – HSI R Bull CBBC Jul 2015 I 300,000,000 2014/12/23 2015/07/30 75.0066794 UBS AG – HSI R Bull CBBC Jul 2015 L 300,000,000 2014/12/23 2015/07/30 75.0066787 UBS AG – HSI R Bull CBBC Aug 2015 D 300,000,000 2014/12/23 2015/08/28 75.0066792 UBS AG – HSI R Bull CBBC Aug 2015 E 300,000,000 2014/12/23 2015/08/28 75.0066807 UBS AG – HSI R Bear CBBC Mar 2015 I 300,000,000 2014/12/23 2015/03/30 75.0066815 UBS AG – HSI R Bear CBBC Mar 2015 P 350,000,000 2014/12/23 2015/03/30 87.5066814 UBS AG – HSI R Bear CBBC Apr 2015 W 300,000,000 2014/12/23 2015/04/29 75.0066809 UBS AG – HSI R Bear CBBC May 2015 M 300,000,000 2014/12/23 2015/05/28 75.0066811 UBS AG – HSI R Bear CBBC May 2015 N 300,000,000 2014/12/23 2015/05/28 75.0066937 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 S 200,000,000 2014/12/24 2015/12/30 50.0066942 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 P 200,000,000 2014/12/24 2015/04/29 50.0067028 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 Q 200,000,000 2014/12/24 2015/04/29 50.0066951 Credit Suisse AG – HSI R Bull CBBC May 2015 T 238,000,000 2014/12/24 2015/05/28 59.5066961 Credit Suisse AG – HSI R Bull CBBC May 2015 Y 238,000,000 2014/12/24 2015/05/28 59.5066973 Credit Suisse AG – HSI R Bull CBBC Jul 2015 R 238,000,000 2014/12/24 2015/07/30 59.5066976 Credit Suisse AG – HSI R Bull CBBC Aug 2015 L 238,000,000 2014/12/24 2015/08/28 59.5066978 Credit Suisse AG – HSI R Bull CBBC Aug 2015 M 238,000,000 2014/12/24 2015/08/28 59.5066983 Credit Suisse AG – HSI R Bull CBBC Sep 2015 C 238,000,000 2014/12/24 2015/09/29 59.5066986 Credit Suisse AG – HSI R Bull CBBC Dec 2015 A 238,000,000 2014/12/24 2015/12/30 59.5067002 Credit Suisse AG – HSI R Bear CBBC May 2015 V 238,000,000 2014/12/24 2015/05/28 59.5067003 Credit Suisse AG – HSI R Bear CBBC May 2015 W 238,000,000 2014/12/24 2015/05/28 59.5067004 Credit Suisse AG – HSI R Bear CBBC Jun 2015 I 238,000,000 2014/12/24 2015/06/29 59.5067005 Credit Suisse AG – HSI R Bear CBBC Jun 2015 J 238,000,000 2014/12/24 2015/06/29 59.5067010 Credit Suisse AG – HSI R Bear CBBC Jun 2015 K 238,000,000 2014/12/24 2015/06/29 59.5066987 Credit Suisse AG – HSI R Bear CBBC Jul 2015 C 238,000,000 2014/12/24 2015/07/30 59.5066988 Credit Suisse AG – HSI R Bear CBBC Jul 2015 D 238,000,000 2014/12/24 2015/07/30 59.5066909 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 I 200,000,000 2014/12/24 2015/12/29 50.00




66915 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 J 200,000,000 2014/12/24 2015/12/30 50.0066910 HK Bank – A50 R Bull CBBC Aug 2015 J 200,000,000 2014/12/24 2015/08/31 50.0066913 HK Bank – A50 R Bull CBBC Aug 2015 K 200,000,000 2014/12/24 2015/08/24 50.0066871 HK Bank – HSI R Bull CBBC Oct 2015 F 100,000,000 2014/12/24 2015/10/29 25.0066862 HK Bank – HSI R Bear CBBC Sep 2015 D 100,000,000 2014/12/24 2015/09/29 25.0066870 HK Bank – HSI R Bear CBBC Oct 2015 B 100,000,000 2014/12/24 2015/10/29 25.0066896 HK Bank – Ping An R Bull CBBC Dec 2015 A 120,000,000 2014/12/24 2015/12/07 30.0066899 HK Bank – Ping An R Bull CBBC Dec 2015 B 120,000,000 2014/12/24 2015/12/14 30.0066900 HK Bank – Ping An R Bull CBBC Dec 2015 C 120,000,000 2014/12/24 2015/12/16 30.0066903 HK Bank – Ping An R Bull CBBC Dec 2015 D 120,000,000 2014/12/24 2015/12/18 30.0066906 HK Bank – Ping An R Bull CBBC Dec 2015 E 120,000,000 2014/12/24 2015/12/21 30.0066923 HK Bank – Ping An R Bull CBBC Dec 2015 F 120,000,000 2014/12/24 2015/12/09 30.0066886 HK Bank – TCH R Bull CBBC Aug 2015 J 100,000,000 2014/12/24 2015/08/03 30.0066890 HK Bank – TCH R Bull CBBC Aug 2015 K 100,000,000 2014/12/24 2015/08/31 26.0066891 HK Bank – TCH R Bull CBBC Sep 2015 B 100,000,000 2014/12/24 2015/09/21 25.0066895 HK Bank – TCH R Bull CBBC Sep 2015 C 100,000,000 2014/12/24 2015/09/03 25.0066873 HK Bank – TCH R Bear CBBC Aug 2015 I 100,000,000 2014/12/24 2015/08/03 25.0066876 HK Bank – TCH R Bear CBBC Sep 2015 F 100,000,000 2014/12/24 2015/09/21 25.0066929 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 E 300,000,000 2014/12/24 2015/07/30 75.0067024 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 G 300,000,000 2014/12/24 2015/07/30 75.0066928 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 V 300,000,000 2014/12/24 2015/08/28 75.0066933 J P Morgan SP BV – HSI R Bull CBBC Sep 2015 C 300,000,000 2014/12/24 2015/09/29 75.0067026 J P Morgan SP BV – HSI R Bull CBBC Sep 2015 D 300,000,000 2014/12/24 2015/09/29 75.0067027 J P Morgan SP BV – HSI R Bull CBBC Dec 2015 B 300,000,000 2014/12/24 2015/12/30 75.0067022 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 E 300,000,000 2014/12/24 2015/03/30 75.0067019 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 H 300,000,000 2014/12/24 2015/03/30 75.0067020 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 M 300,000,000 2014/12/24 2015/03/30 75.0066948 Macquarie Bank Ltd. – HSI R Bull CBBC May 2015 A 40,000,000 2014/12/24 2015/05/28 10.0066949 Macquarie Bank Ltd. – HSI R Bull CBBC May 2015 B 40,000,000 2014/12/24 2015/05/28 10.2066950 Macquarie Bank Ltd. – HSI R Bull CBBC May 2015 C 40,000,000 2014/12/24 2015/05/28 10.4066996 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 H 100,000,000 2014/12/24 2015/06/29 25.0066995 Standard Chartered Bank – HSI R Bear CBBC Apr 2015 H 100,000,000 2014/12/24 2015/04/29 25.0067001 Standard Chartered Bank – HSI R Bear CBBC Apr 2015 I 100,000,000 2014/12/24 2015/04/29 25.0066925 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr15 H 200,000,000 2014/12/24 2015/04/29 50.0067017 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May15 D 200,000,000 2014/12/24 2015/05/28 50.0066993 UBS AG – Sinopec Corp R Bull CBBC Oct 2015 C 100,000,000 2014/12/24 2015/10/05 25.0066936 UBS AG – HSI R Bull CBBC Apr 2015 J 350,000,000 2014/12/24 2015/04/29 87.5066935 UBS AG – HSI R Bull CBBC May 2015 C 300,000,000 2014/12/24 2015/05/28 75.0067014 UBS AG – HSI R Bear CBBC May 2015 O 300,000,000 2014/12/24 2015/05/28 75.0067015 UBS AG – HSI R Bear CBBC May 2015 P 350,000,000 2014/12/24 2015/05/28 87.5067011 UBS AG – HSI R Bear CBBC Jun 2015 K 300,000,000 2014/12/24 2015/06/29 75.0067012 UBS AG – HSI R Bear CBBC Jun 2015 L 300,000,000 2014/12/24 2015/06/29 75.0067013 UBS AG – HSI R Bear CBBC Jun 2015 M 300,000,000 2014/12/24 2015/06/29 75.0066990 UBS AG – Ping An R Bull CBBC Oct 2015 B 100,000,000 2014/12/24 2015/10/05 25.0067152 Credit Suisse AG – HSI R Bull CBBC Aug 2015 N 238,000,000 2014/12/29 2015/08/28 59.50




67153 Credit Suisse AG – HSI R Bull CBBC Aug 2015 O 238,000,000 2014/12/29 2015/08/28 59.5067161 Credit Suisse AG – HSI R Bull CBBC Aug 2015 P 238,000,000 2014/12/29 2015/08/28 59.5067107 Credit Suisse AG – HSI R Bear CBBC May 2015 C 238,000,000 2014/12/29 2015/05/28 59.5067097 Credit Suisse AG – HSI R Bear CBBC May 2015 X 238,000,000 2014/12/29 2015/05/28 59.5067098 Credit Suisse AG – HSI R Bear CBBC May 2015 Y 238,000,000 2014/12/29 2015/05/28 59.5067106 Credit Suisse AG – HSI R Bear CBBC May 2015 Z 238,000,000 2014/12/29 2015/05/28 59.5067145 Credit Suisse AG – Ping An R Bull CBBC Jul 2015 A 50,000,000 2014/12/29 2015/07/31 12.5067146 Credit Suisse AG – Ping An R Bull CBBC Jul 2015 B 50,000,000 2014/12/29 2015/07/31 12.5067150 Credit Suisse AG – Ping An R Bull CBBC Jul 2015 C 50,000,000 2014/12/29 2015/07/31 12.5067151 Credit Suisse AG – Ping An R Bull CBBC Jul 2015 D 50,000,000 2014/12/29 2015/07/31 12.5067127 Credit Suisse AG – TCH R Bull CBBC Jun 2015 A 50,000,000 2014/12/29 2015/06/01 12.5067132 Credit Suisse AG – TCH R Bear CBBC Apr 2015 A 50,000,000 2014/12/29 2015/04/30 12.5067134 Credit Suisse AG – TCH R Bear CBBC Apr 2015 B 50,000,000 2014/12/29 2015/04/30 12.5067135 Credit Suisse AG – TCH R Bear CBBC Apr 2015 C 50,000,000 2014/12/29 2015/04/30 12.5067108 Goldman Sachs SP (Asia) – HSI R Bull CBBC Apr 2015 B 150,000,000 2014/12/29 2015/04/29 37.6567117 Goldman Sachs SP (Asia) – HSI R Bull CBBC Apr 2015 C 150,000,000 2014/12/29 2015/04/29 37.5067091 HK Bank – CNOOC R Bull CBBC Nov 2015 B 60,000,000 2014/12/29 2015/11/30 21.0067045 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 K 200,000,000 2014/12/29 2015/12/29 50.0067044 HK Bank – A50 R Bull CBBC Dec 2015 C 200,000,000 2014/12/29 2015/12/29 50.0067086 HK Bank – Galaxy Ent R Bull CBBC Oct 2015 A 80,000,000 2014/12/29 2015/10/26 20.0067087 HK Bank – Galaxy Ent R Bull CBBC Nov 2015 A 80,000,000 2014/12/29 2015/11/09 20.0067034 HK Bank – Galaxy Ent R Bear CBBC Oct 2015 C 60,000,000 2014/12/29 2015/10/26 15.0067036 HK Bank – Galaxy Ent R Bear CBBC Nov 2015 B 60,000,000 2014/12/29 2015/11/09 15.0067088 HK Bank – Sands China R Bull CBBC Nov 2015 A 80,000,000 2014/12/29 2015/11/02 20.0067037 HK Bank – Sands China R Bear CBBC Nov 2015 A 60,000,000 2014/12/29 2015/11/09 15.0067039 HK Bank – TCH R Bull CBBC Oct 2015 A 100,000,000 2014/12/29 2015/10/12 25.0067042 HK Bank – TCH R Bull CBBC Nov 2015 A 100,000,000 2014/12/29 2015/11/09 32.0067038 HK Bank – TCH R Bear CBBC Oct 2015 A 100,000,000 2014/12/29 2015/10/12 25.0067119 J P Morgan SP BV – HSI R Bull CBBC Jun 2015 P 300,000,000 2014/12/29 2015/06/29 75.0067049 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 G 300,000,000 2014/12/29 2015/03/30 75.0067163 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 I 300,000,000 2014/12/29 2015/03/30 75.0067154 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC May 2015A 50,000,000 2014/12/29 2015/05/04 12.5067155 Standard Chartered Bank – A50 China R Bull CBBC Jun 2015 A 50,000,000 2014/12/29 2015/06/09 12.5067083 Standard Chartered Bank – HSI R Bear CBBC Apr 2015 J 120,000,000 2014/12/29 2015/04/29 30.0067084 Standard Chartered Bank – HSI R Bear CBBC Apr 2015 K 120,000,000 2014/12/29 2015/04/29 30.0067062 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Aug15D 100,000,000 2014/12/29 2015/08/28 25.0067060 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Sep15E 100,000,000 2014/12/29 2015/09/29 25.0067063 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Sep15F 100,000,000 2014/12/29 2015/09/29 25.0067064 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jul15D 100,000,000 2014/12/29 2015/07/30 25.0067066 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Aug15D 100,000,000 2014/12/29 2015/08/28 28.5067072 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Aug15 D 100,000,000 2014/12/29 2015/08/28 25.0067073 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Aug15 E 100,000,000 2014/12/29 2015/08/28 25.0067070 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Sep15 E 100,000,000 2014/12/29 2015/09/29 25.0067076 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jul15D 100,000,000 2014/12/29 2015/07/30 27.0067079 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Aug15D 100,000,000 2014/12/29 2015/08/28 37.50




67124 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun15 W 200,000,000 2014/12/29 2015/06/29 50.0067123 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul15 Y 200,000,000 2014/12/29 2015/07/30 50.0067158 UBS AG – HSI R Bull CBBC Apr 2015 K 350,000,000 2014/12/29 2015/04/29 87.5067157 UBS AG – HSI R Bull CBBC Jun 2015 B 300,000,000 2014/12/29 2015/06/29 75.0067156 UBS AG – HSI R Bull CBBC Jun 2015 Z 300,000,000 2014/12/29 2015/06/29 75.0067162 UBS AG – HSI R Bull CBBC Sep 2015 A 300,000,000 2014/12/29 2015/09/29 91.5067054 UBS AG – HSI R Bear CBBC Mar 2015 T 300,000,000 2014/12/29 2015/03/30 75.0067056 UBS AG – HSI R Bear CBBC Mar 2015 W 300,000,000 2014/12/29 2015/03/30 75.0067058 UBS AG – HSI R Bear CBBC Mar 2015 X 300,000,000 2014/12/29 2015/03/30 75.0067160 UBS AG – Tencent R Bear CBBC Apr 2015 F 100,000,000 2014/12/29 2015/04/08 25.0067226 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 T 200,000,000 2014/12/30 2015/12/30 50.0067227 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 U 200,000,000 2014/12/30 2015/12/30 50.0067228 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 V 200,000,000 2014/12/30 2015/12/30 50.0067199 Credit Suisse AG – BOCL R Bull CBBC Jul 2015 A 50,000,000 2014/12/30 2015/07/31 12.5067208 Credit Suisse AG – BOCL R Bull CBBC Jul 2015 B 50,000,000 2014/12/30 2015/07/31 12.5067209 Credit Suisse AG – BOCL R Bear CBBC May 2015 A 50,000,000 2014/12/30 2015/05/29 12.5067181 Credit Suisse AG – CCB R Bull CBBC Jul 2015 A 50,000,000 2014/12/30 2015/07/31 12.5067184 Credit Suisse AG – CCB R Bull CBBC Jul 2015 B 50,000,000 2014/12/30 2015/07/31 12.5067185 Credit Suisse AG – CCB R Bear CBBC May 2015 A 50,000,000 2014/12/30 2015/05/29 12.5067220 Credit Suisse AG – CNOOC R Bull CBBC Jun 2015 A 50,000,000 2014/12/30 2015/06/30 12.5067221 Credit Suisse AG – CNOOC R Bull CBBC Jun 2015 B 50,000,000 2014/12/30 2015/06/30 12.5067223 Credit Suisse AG – CNOOC R Bear CBBC May 2015 A 50,000,000 2014/12/30 2015/05/11 12.5067225 Credit Suisse AG – CNOOC R Bear CBBC May 2015 B 50,000,000 2014/12/30 2015/05/11 15.0067210 Credit Suisse AG – Sinopec Corp R Bull CBBC May 2015 A 50,000,000 2014/12/30 2015/05/29 12.5067218 Credit Suisse AG – Sinopec Corp R Bull CBBC May 2015 B 50,000,000 2014/12/30 2015/05/29 12.5067236 Credit Suisse AG – HSI R Bull CBBC May 2015 B 238,000,000 2014/12/30 2015/05/28 59.5067238 Credit Suisse AG – HSI R Bull CBBC May 2015 E 238,000,000 2014/12/30 2015/05/28 59.5067171 Credit Suisse AG – HSI R Bear CBBC Jul 2015 E 238,000,000 2014/12/30 2015/07/30 59.5067172 Credit Suisse AG – HSI R Bear CBBC Jul 2015 F 238,000,000 2014/12/30 2015/07/30 59.5067175 Credit Suisse AG – HSI R Bear CBBC Jul 2015 G 238,000,000 2014/12/30 2015/07/30 59.5067186 Credit Suisse AG – ICBC R Bull CBBC Jun 2015 A 50,000,000 2014/12/30 2015/06/30 12.5067187 Credit Suisse AG – ICBC R Bull CBBC Jun 2015 B 50,000,000 2014/12/30 2015/06/30 12.5067189 Credit Suisse AG – ICBC R Bear CBBC May 2015 A 50,000,000 2014/12/30 2015/05/29 12.5067239 Goldman Sachs SP (Asia) – HSI R Bull CBBC Apr 2015 D 150,000,000 2014/12/30 2015/04/29 37.5067240 Goldman Sachs SP (Asia) – HSI R Bull CBBC Apr 2015 E 150,000,000 2014/12/30 2015/04/29 37.5067180 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 C 300,000,000 2014/12/30 2015/07/30 75.0067179 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 W 300,000,000 2014/12/30 2015/08/28 75.0067177 J P Morgan SP BV – HSI R Bull CBBC Sep 2015 E 300,000,000 2014/12/30 2015/09/29 75.0067170 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 A 300,000,000 2014/12/30 2015/03/30 75.0067168 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 K 300,000,000 2014/12/30 2015/03/30 75.0067235 UBS AG – HSI R Bull CBBC May 2015 Z 350,000,000 2014/12/30 2015/05/28 87.5067230 UBS AG – HSI R Bull CBBC Jun 2015 C 300,000,000 2014/12/30 2015/06/29 75.0067229 UBS AG – HSI R Bull CBBC Jul 2015 K 300,000,000 2014/12/30 2015/07/30 75.0067231 UBS AG – HSI R Bull CBBC Aug 2015 F 300,000,000 2014/12/30 2015/08/28 75.0067176 UBS AG – HSI R Bear CBBC Mar 2015 Y 350,000,000 2014/12/30 2015/03/30 87.50




65380# HK Bank – BOCL R Bull CBBC Aug 2015 C 180,000,000 2014/12/30 2015/08/17 13.5066012# HK Bank – Ping An R Bull CBBC Oct 2015 C 180,000,000 2014/12/30 2015/10/19 24.8467297 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15A 100,000,000 2014/12/31 2015/12/30 25.0067294 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 A 100,000,000 2014/12/31 2015/12/30 25.0067299 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2015 A 100,000,000 2014/12/31 2015/12/30 25.0067374 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 W 200,000,000 2014/12/31 2015/12/30 50.0067378 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 X 200,000,000 2014/12/31 2015/12/30 50.0067276 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 R 200,000,000 2014/12/31 2015/04/29 50.0067281 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 S 200,000,000 2014/12/31 2015/04/29 50.0067282 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2015 T 200,000,000 2014/12/31 2015/04/29 50.0067316 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Aug 2015 A 50,000,000 2014/12/31 2015/08/28 12.5067323 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Aug 2015 B 50,000,000 2014/12/31 2015/08/28 12.5067324 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jul 2015 C 50,000,000 2014/12/31 2015/07/30 14.5067325 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jul 2015 D 50,000,000 2014/12/31 2015/07/30 17.5067326 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jul 2015 E 50,000,000 2014/12/31 2015/07/30 22.5067330 Credit Suisse AG – A50 China R Bull CBBC Aug 2015 A 50,000,000 2014/12/31 2015/08/28 12.5067331 Credit Suisse AG – A50 China R Bull CBBC Aug 2015 B 50,000,000 2014/12/31 2015/08/28 12.5067332 Credit Suisse AG – A50 China R Bear CBBC Jul 2015 C 50,000,000 2014/12/31 2015/07/30 15.0067335 Credit Suisse AG – A50 China R Bear CBBC Jul 2015 D 50,000,000 2014/12/31 2015/07/30 18.0067336 Credit Suisse AG – A50 China R Bear CBBC Jul 2015 E 50,000,000 2014/12/31 2015/07/30 23.0067353 Credit Suisse AG – HSI R Bull CBBC May 2015 A 238,000,000 2014/12/31 2015/05/28 59.5067355 Credit Suisse AG – HSI R Bull CBBC May 2015 M 238,000,000 2014/12/31 2015/05/28 59.5067349 Credit Suisse AG – HSI R Bull CBBC May 2015 U 238,000,000 2014/12/31 2015/05/28 59.5067350 Credit Suisse AG – HSI R Bull CBBC May 2015 X 238,000,000 2014/12/31 2015/05/28 59.5067311 Credit Suisse AG – HSI R Bear CBBC Apr 2015 F 238,000,000 2014/12/31 2015/04/29 59.5067309 Credit Suisse AG – HSI R Bear CBBC Apr 2015 P 238,000,000 2014/12/31 2015/04/29 59.5067312 Credit Suisse AG – HSI R Bear CBBC Apr 2015 Q 238,000,000 2014/12/31 2015/04/29 59.5067314 Credit Suisse AG – HSI R Bear CBBC Apr 2015 W 238,000,000 2014/12/31 2015/04/29 59.5067379 Goldman Sachs SP (Asia) – HSI R Bull CBBC Apr 2015 F 150,000,000 2014/12/31 2015/04/29 37.5067250 HK Bank – AIA R Bear CBBC Oct 2015 A 40,000,000 2014/12/31 2015/10/26 10.0067246 HK Bank – China Mobile R Bear CBBC Nov 2015 A 60,000,000 2014/12/31 2015/11/16 15.0067242 HK Bank – CSOP A50 ETF R Bull CBBC Dec 2015 L 200,000,000 2014/12/31 2015/12/23 50.0067241 HK Bank – A50 R Bull CBBC Dec 2015 D 200,000,000 2014/12/31 2015/12/23 50.0067255 HK Bank – HSI R Bull CBBC Aug 2015 O 100,000,000 2014/12/31 2015/08/28 25.0067251 HK Bank – HSI R Bull CBBC Sep 2015 F 100,000,000 2014/12/31 2015/09/29 25.0067245 HK Bank – Hutchison R Bull CBBC Dec 2015 A 60,000,000 2014/12/31 2015/12/21 15.0067243 HK Bank – TCH R Bull CBBC Oct 2015 B 100,000,000 2014/12/31 2015/10/12 25.0067244 HK Bank – TCH R Bull CBBC Oct 2015 C 100,000,000 2014/12/31 2015/10/05 25.0067381 J P Morgan SP BV – HSI R Bull CBBC Jul 2015 D 300,000,000 2014/12/31 2015/07/30 75.0067382 J P Morgan SP BV – HSI R Bull CBBC Aug 2015 J 300,000,000 2014/12/31 2015/08/28 75.0067257 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 V 300,000,000 2014/12/31 2015/03/30 75.0067260 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 X 300,000,000 2014/12/31 2015/03/30 75.0067383 J P Morgan SP BV – HSI R Bear CBBC Mar 2015 Y 300,000,000 2014/12/31 2015/03/30 75.0067337 Standard Chartered Bank – HSI R Bull CBBC Jun 2015 I 120,000,000 2014/12/31 2015/06/29 30.0067302 Standard Chartered Bank – HSI R Bear CBBC Apr 2015 L 120,000,000 2014/12/31 2015/04/29 30.00




67341 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Dec15A 100,000,000 2014/12/31 2015/12/30 25.0067342 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Dec 15A 100,000,000 2014/12/31 2015/12/30 25.0067315 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun 15A 200,000,000 2014/12/31 2015/06/29 50.0067363 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun 15B 200,000,000 2014/12/31 2015/06/29 50.0067304 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul 15Z 200,000,000 2014/12/31 2015/07/30 50.0067308 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr 15O 200,000,000 2014/12/31 2015/04/29 50.0067271 UBS AG – CSOP A50 ETF R Bull CBBC Sep 2015 A 100,000,000 2014/12/31 2015/09/07 25.0067267 UBS AG – A50 China R Bull CBBC Dec 2015 A 100,000,000 2014/12/31 2015/12/21 25.0067360 UBS AG – HSI R Bull CBBC May 2015 D 350,000,000 2014/12/31 2015/05/28 87.5067358 UBS AG – HSI R Bull CBBC Jul 2015 M 300,000,000 2014/12/31 2015/07/30 75.0067359 UBS AG – HSI R Bull CBBC Jul 2015 O 300,000,000 2014/12/31 2015/07/30 75.0067357 UBS AG – HSI R Bull CBBC Aug 2015 G 300,000,000 2014/12/31 2015/08/28 75.0067262 UBS AG – HSI R Bear CBBC May 2015 Q 300,000,000 2014/12/31 2015/05/28 75.0067263 UBS AG – HSI R Bear CBBC May 2015 R 350,000,000 2014/12/31 2015/05/28 87.5067261 UBS AG – HSI R Bear CBBC Jun 2015 N 300,000,000 2014/12/31 2015/06/29 75.0067275 UBS AG – Tencent R Bear CBBC Apr 2015 G 100,000,000 2014/12/31 2015/04/27 25.00Total 122,022.54

# Further issue

DR/ELI/Trading Only Stocks Trading Statistics


Depositary Receipt Trading Statistics

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

2013 Q4 4 5.782014 Q1 5 276.71 Q2 5 68.00 Q3 4 24.18 Q4 4 81.70

Equity Linked Instrument Trading Statistics


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

NASDAQ Stocks


2013 Q4 7 0.032014 Q1 7 0.39 Q2 7 1.28 Q3 7 0.63 Q4 7 1.27

iShares


2013 Q4 2 –2014 Q1 2 – Q2 2 – Q3 2 0.01 Q4 2 –

GEM Equities


Equity Turnover – GEM

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

2013 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 Q4 77,002.94 34,223.56 888,648

Equity Trading Statistics – GEM

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

2013 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 Q4 62 551.99 38,512

20 Most Advanced GEM Stocksfor 4th quarter 2014

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

1 08007 DIGITALHONGKONG 9.360 2.020 363.37 2 08051 TELEEYE HOLDING 16.000 4.350 267.82 3 08337 DIRECTEL 1.050 0.345 204.35 4 08003 GREAT WORLD 0.360 0.131 174.81 5 08261 HAITIAN HYDRO 1.790 0.670 167.16 6 08315 KF SECURITY 4.200 1.650 154.55 7 08172 CHINASTARCMG 0.970 0.405 139.51 8 08077 KVB KUNLUN FG 0.900 0.395 127.85 9 08209 MAJOR HLDGS 6.100 3.030 101.32 10 08250 CHI NATURAL INV 0.465 0.238 95.38 11 08053 PIZU GROUP 0.310 0.163 90.18 12 08162 LOCO HK 2.810 1.480 89.86 13 08181 KONGSHUMUNION 0.860 0.475 81.05 14 08088 CROSBY CAPITAL 2.480 1.380 79.71 15 08218 ECHO INT HOLD 2.480 1.400 77.14 16 08041 LUXEY INT’L 0.280 0.165 69.70 17 08201 PPS INT’L 0.335 0.202 A 65.84 18 08005 YUXING INFOTECH 1.680 1.060 58.49 19 08011 POLYARD PETRO 0.198 0.125 58.40 20 08056 DIFFER GROUP 2.450 1.580 55.06

A Adjusted

GEM Equities


20 Most Declined GEM Stocksfor 4th quarter 2014

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

1 08222 E LIGHTING 0.600 4.440 -86.49 2 08179 GAYETY HLDGS 0.203 0.850 -76.12 3 08202 INNO-TECH HOLD 0.111 0.322 A -65.53 4 08047 SKY FOREVER 0.620 1.540 -59.74 5 08101 JIA MENG HLDG 0.185 0.410 -54.88 6 08212 CELEBRATE INT 0.074 0.147 -49.66 7 08078 CHINA3D DIGIT 0.025 0.049 -48.98 8 08326 JC GROUP HLDG 1.500 2.830 -47.00 9 08009 CHI ENGY HOLD 0.127 0.237 -46.41 10 08150 SEAMLESS GREEN 0.280 0.500 -44.00 11 08176 EDS WELLNESS 2.350 3.950 -40.51 12 08021 WLS HOLDINGS 0.111 0.186 -40.32 13 08025 ACR HOLDINGS 0.245 0.410 -40.24 14 08255 CHINA BINARY 0.790 1.290 -38.76 15 08311 PERFECT OPT 1.990 3.140 -36.62 16 08072 ROMA GROUP 0.077 0.120 A -35.83 17 08237 LINK HOLDINGS 1.780 2.770 A -35.74 18 08046 HENG XIN CHINA 0.145 0.220 -34.09 19 08173 PAN ASIA MINING 0.226 0.340 -33.53 20 08228 NATIONAL ARTS 0.127 0.188 -32.45

A Adjusted

GEM Equities


20 Most Active GEM Stocks by Valuefor 4th quarter 2014

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

1 08083 INNOVATIONPAY 2,269.70 6.63 2 08047 SKY FOREVER 1,599.31 4.67 3 08002 IGG 1,453.38 4.25 4 08179 GAYETY HLDGS 1,250.72 3.65 5 08201 PPS INT’L 1,191.91 3.48 6 08055 CHI E-LEARNING 914.95 2.67 7 08222 E LIGHTING 912.24 2.67 8 08250 CHI NATURAL INV 829.86 2.42 9 08326 JC GROUP HLDG 779.98 2.28 10 08207 CREDIT CHINA 755.85 2.21 11 08123 FIRST CHINA NET 737.81 2.16 12 08138 TONGRENTANGCM 677.66 1.98 13 08311 PERFECT OPT 643.47 1.88 14 08363 SDM GROUP 639.44 1.87 15 08088 CROSBY CAPITAL 612.60 1.79 16 08237 LINK HOLDINGS 567.79 1.66 17 08168 UKF 547.02 1.60 18 08132 CHINAOILGANGRAN 528.67 1.54 19 08058 LUOXIN PHARMA 526.04 1.54 20 08050 YUNBO DIGITAL 459.02 1.34

Total 17,897.41 52.30

GEM Equities


20 Most Active GEM Stock by Sharesfor 4th quarter 2014

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

1 08078 CHINA3D DIGIT 8,074.68 10.49 2 08072 ROMA GROUP 6,846.00 8.89 3 08132 CHINAOILGANGRAN 3,982.60 5.17 4 08083 INNOVATIONPAY 2,752.43 3.57 5 08201 PPS INT’L 2,451.51 3.18 6 08179 GAYETY HLDGS 1,991.68 2.59 7 08250 CHI NATURAL INV 1,980.59 2.57 8 08266 GOLD TAT GP 1,950.86 2.53 9 08168 UKF 1,586.60 2.06 10 08055 CHI E-LEARNING 1,558.45 2.02 11 08171 CHINA TRENDS 1,479.91 1.92 12 08123 FIRST CHINA NET 1,372.42 1.78 13 08192 GLOBAL ENERGY 1,329.71 1.73 14 08269 WEALTH GLORY 1,192.11 1.55 15 08047 SKY FOREVER 1,177.78 1.53 16 08158 CHINA BIO-MED 1,161.21 1.51 17 08212 CELEBRATE INT 1,107.19 1.44 18 08009 CHI ENGY HOLD 1,079.41 1.40 19 08100 GET HOLDINGS 983.47 1.28 20 08081 CMG CUL INV 950.69 1.23

Total 45,009.30 58.45

GEM Equities


Market Capitalisation of Listed Companies for GEMas at the quarter end

HK$ mil.

2013 Q4 134,002.062014 Q1 172,776.82 Q2 164,166.52 Q3 180,171.37 Q4 179,409.87

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

Information Technology(27.73%)

Properties & Construction (3.13%)

Consumer Services (22.50%)

Telecommunications (2.33%)

Utilities (1.00%)

Financials (12.17%)

Materials (6.50%)

Industrial (4.63%)

Consumer Goods(19.14%)

Energy (0.88%)Conglomerates (0.00%)

* 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.

GEM Equities


50 Leading Companies by Market Capitalisation – GEMas at the 4th quarter end 2014

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

1 08138 Beijing Tong Ren Tang Chinese Medicine Co. Ltd. 8,947.40 4.992 08137 Honbridge Holdings Ltd. 7,176.14 4.003 08032 Viva China Holdings Ltd. 6,798.96 3.794 08008 Sunevision Holdings Ltd. 5,620.06 3.135 08207 Credit China Holdings Ltd. 5,604.81 3.126 08050 Yunbo Digital Synergy Group Ltd. 5,099.50 2.847 08237 Link Holdings Ltd. 4,984.00 2.788 08018 Finsoft Corporation 4,940.00 2.759 08279 AGTech Holdings Ltd. 3,996.35 2.2310 08195 L & A International Holdings Ltd. 3,800.00 2.1211 08002 IGG Inc 3,780.68 2.1112 08267 Linekong Interactive Co., Ltd. 3,624.42 2.0213 08083 China Innovationpay Group Ltd. 3,475.41 1.9414 08201 PPS International (Holdings) Ltd. 3,350.00 1.8715 08123 First China Financial Network Holdings Ltd. 3,249.48 1.8116 08158 China Bio-Med Regeneration Technology Ltd. 3,216.48 1.7917 08005 Yuxing InfoTech Investment Holdings Ltd. 3,010.76 1.6818 08156 China Vanguard Group Ltd. 2,702.45 1.5119 08315 King Force Security Holdings Ltd. 2,688.00 1.5020 08311 Perfect Optronics Ltd. 2,626.80 1.4621 08250 China Natural Investment Co. Ltd. 2,544.71 1.4222 08058 Shandong Luoxin Pharmaceutical Group Stock Co., Ltd. – H Shs 2,468.40 1.3823 08056 Differ Group Holding Co. Ltd. 2,450.00 1.3724 08198 MelcoLot Ltd. 2,170.43 1.2125 08147 Millennium Pacific Group Holdings Ltd. 1,902.92 1.0626 08055 China E-Learning Group Ltd. 1,864.28 1.0427 08006 Sino Splendid Holdings Ltd. 1,858.39 1.0428 08077 KVB Kunlun Financial Group Ltd. 1,800.00 1.0029 08261 Haitian Hydropower International Ltd. 1,790.00 1.0030 08170 KSL Holdings Ltd. 1,685.92 0.9431 08007 DIGITALHONGKONG.COM 1,684.80 0.9432 08155 South China Land Ltd. 1,509.10 0.8433 08019 Hao Wen Holdings Ltd. 1,448.06 0.8134 08016 Changhong Jiahua Holdings Ltd. 1,411.01 0.7935 08090 China Assurance Finance Group Ltd. 1,382.88 0.7736 08309 Runway Global Holdings Co. Ltd. 1,374.00 0.7737 08059 Glory Flame Holdings Ltd. 1,302.00 0.7338 08276 Huazhang Technology Holding Ltd. 1,196.80 0.6739 08325 China Smartpay Group Holdings Ltd. 1,181.95 0.6640 08088 Crosby Capital Ltd. 1,173.47 0.6541 08307 Medicskin Holdings Ltd. 1,172.00 0.6542 08356 CNC Holdings Ltd. 1,163.39 0.6543 08099 China Wood Optimization (Holding) Ltd. 1,130.00 0.6344 08162 Loco Hong Kong Holdings Ltd. 1,124.00 0.6345 08337 Directel Holdings Ltd. 1,089.38 0.6146 08020 Chanceton Financial Group Ltd. 1,065.60 0.5947 08128 China Ground Source Energy Industry Group Ltd. 1,045.56 0.5848 08117 China Primary Energy Holdings Ltd. 919.41 0.5149 08132 China Oil Gangran Energy Group Holdings Ltd. 915.33 0.5150 08172 China Star Cultural Media Group Ltd. 892.27 0.50

Total 133,407.74 74.36Market Total 179,409.87 100.00

GEM Equities


New Listing Statistics – equities for GEM

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

2013 Q4 12 1,873.362014 Q1 5 496.33 Q2 1 100.00 Q3 8 480.88 Q4 5 1,083.24

Newly Listed Companies for GEMfor 4th quarter 2014

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

08195 L & A International Holdings Ltd. 2014/10/10 400,000,000 60.0008363 SDM Group Holdings Ltd. 2014/10/14 200,000,000 75.0008170 KSL Holdings Ltd. 2014/12/05 411,200,000 61.6808307 Medicskin Holdings Ltd. 2014/12/18 400,000,000 60.0008267 Linekong Interactive Co., Ltd. 2014/12/30 369,838,464 826.56

Total 1,083.24

Withdrawal of listed Companies – GEMfor 4th quarter 2014

Code Company name Last trading date Delisted date

08292 HC International, Inc. * 2014/10/09 2014/10/10 §

* 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 4th quarter 2014

Code Old name New name Effective date Adoption date

08108 FAVA International Holdings Ltd. Grand Peace Group Holdings Ltd. 2014/09/02 2014/10/0908239 Ming Kei Holdings Ltd. Capital Finance Holdings Ltd. 2014/10/10 2014/11/1108100 M Dream Inworld Ltd. GET Holdings Ltd. 2014/10/21 2014/11/2408022 TLT Lottotainment Group Ltd. Evershine Group Holdings Ltd. 2014/11/26 2014/12/0908117 China Primary Resources Holdings Ltd. China Primary Energy Holdings Ltd. 2014/11/18 2014/12/18

GEM Equities


Bonus Issues/Bonus Warrants for GEMfor 4th quarter 2014

Code Company Particulars Ex-date

NIL

Share Split/Consolidation for GEMfor 4th quarter 2014

Code Company Particulars Effective date

08237 Link Holdings Ltd. Split 1 into 10 2014/10/1608202 Inno-Tech Holdings Ltd. Consolidation 10 into 1 2014/10/3008201 PPS International (Holdings) Ltd. Split 1 into 10 2014/11/1708072 Roma Group Ltd. Consolidation 16 into 1 2014/11/2508156 China Vanguard Group Ltd. Split 1 into 4 2014/12/1708215 First Credit Finance Group Ltd. Consolidation 10 into 1 2014/12/29

Rights Issues & Open Offers for GEMfor 4th quarter 2014

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

Oct 08037 Rui Kang Pharmaceutical Group Investments Ltd. Rts 1 for 2 @$0.16 53.63 08165 Jian ePayment Systems Ltd. Open offer 1 for 2 @$0.05 32.27 08063 Well Way Group Ltd. Open offer 2 for 1 @$0.30 152.91Nov 08202 Inno-Tech Holdings Ltd. Open offer 25 for 1 @$0.215 145.18 (after consolidation 10 into 1)Dec 08225 Venturepharm Laboratories Ltd. Rts 3 for 2 @$0.10 54.92 08072 Roma Group Ltd. Rts 3 for 1 @$0.09 286.48 (after consolidation 16 into 1) 08079 Unlimited Creativity Holdings Ltd. Rts 5 for 2 @$0.08 125.84

Total 851.23

GEM Equities


Placing*

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

2014Sep ** 08175 C DIGITAL CUL 295,000,000 0.1200 35.40Oct 08148 AURUM PACIFIC 50,000,000 0.6500 32.50 08212 CELEBRATE INT 198,830,000 0.1320 26.25 08325 CHINA SMARTPAY 68,490,000 1.4600 100.00 08123 FIRST CHINA NET 889,998,000 0.4100 364.90 08100 GET HOLDINGS 319,260,000 0.1210 38.63 08003 GREAT WORLD 225,500,000 0.1250 28.19 08001 ORIENTSEC INT 60,000,000 0.9800 58.80 08021 WLS HOLDINGS 79,900,000 0.1770 14.14 08130 ZHI CHENG H 60,000,000 0.5000 30.00Nov 08148 AURUM PACIFIC 50,000,000 0.6500 32.50 08055 CHI E-LEARNING 465,000,000 0.5390 250.64 08007 DIGITALHONGKONG 30,000,000 1.5000 45.00 08036 GOLDENMARS 15,000,000 0.9400 14.10 08180 NEW RAY MEDIC 160,000,000 0.5600 89.60 08246 NOBLE HOUSE H 56,000,000 0.6500 36.40 08120 ORI UNICORN 260,000,000 0.1750 45.50Dec 08078 CHINA3D DIGIT 1,013,100,000 0.0270 27.35 08101 JIA MENG HLDG 80,000,000 0.2130 17.04 08256 NETEL 7,027,027 0.1850 1.30 08068 NU INT’L 100,000,000 0.3000 30.00 08028 TIMELESS 201,700,000 0.1450 29.25 08269 WEALTH GLORY 220,000,000 0.3000 66.00 08130 ZHI CHENG H 39,600,000 0.5000 19.80

Total 1,433.28

* 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 Q4 0 0.00 0.002014 Q1 0 0.00 0.00 Q2 0 0.00 0.00 Q3 0 0.00 0.00 Q4 0 0.00 0.00

Newly Listed Equity GEM Warrantsfor 4th 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

20000

21200

20600

21800

22400

23000

23600

24200

24800

25400

26000HIGH(14/09/03)=25317.950 LOW(14/03/20)=21182.160 CLOSE(14/12/31)=23605.040

10 MAV 50 MAV

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

S&P/HKEx LargeCap Index

Chart on CloseIndex

25000

25600

26200

26800

27400

28000

28600

29200

29800

30400

31000HIGH(14/09/03)=30786.740 LOW(14/02/05)=25657.640 CLOSE(14/12/31)=28711.000

10 MAV 50 MAV

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

S&P/HKEx GEM Index

Chart on CloseIndex

420

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620HIGH(14/03/07)=581.160 LOW(13/12/23)=454.940 CLOSE(14/12/31)=477.720

10 MAV 50 MAV

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



Hong Kong Stock Market Indices

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

S&P/HKEx LargeCap Index 28711.00 27881.60 + 2.97%

S&P/HKEx GEM Index 477.72 507.18 – 5.81%

HANG SENG INDEX 23605.04 22932.98 + 2.93%SECTORIAL INDICES Finance 33903.48 31081.75 + 9.08% Utilities 54558.98 51358.27 + 6.23% Properties 30545.47 29006.34 + 5.31% Commerce & Industry 13221.29 13903.46 – 4.91%

HANG SENG CHINA-AFFILIATED CORPORATIONS INDEX 4350.00 4402.05 – 1.18%HANG SENG CHINA ENTERPRISES INDEX 11984.69 10310.40 + 16.24%



WORLD INDICES

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

HONG KONG S&P/HKEx LargeCap Index 28711.00 27881.60 + 2.97% Hang Seng Index 23605.04 22932.98 + 2.93%AUSTRALIA All Ordinaries Index 5388.60 5296.76 + 1.73%JAKARTA Composite Index 5226.95 5137.58 + 1.74%JAPAN Nikkei (225) 17450.77 16173.52 + 7.90%KOREA Composite Index 1915.59 2020.09 – 5.17%KUALA LUMPUR Composite Index 1761.25 1846.31 – 4.61%MANILA Composite Index 7230.57 7283.07 – 0.72%NEW ZEALAND NZSE (50) 5568.28 5255.04 + 5.96%SHANGHAI A Shares Index 3388.63 2474.59 + 36.94% B Shares Index 291.04 268.16 + 8.53%SHENZHEN A Shares Index 1478.45 1393.01 + 6.13% B Shares Index 1028.81 979.63 + 5.02%SINGAPORE FTSE Straits Times Index 3365.15 3276.74 + 2.70%TAIWAN Taipei Weighted Stock Index 9307.26 8966.92 + 3.80%THAILAND SET Index 1497.67 1585.67 – 5.55%NEW YORK DJIA 17823.07 17042.90 + 4.58% Nasdaq Composite Index 4736.05 4493.39 + 5.40%TORONTO S&P/TSX Composite Index 14632.44 14960.51 – 2.19%GERMANY DAX Capital Value Index 5044.71 4874.28 + 3.50%LONDON FTSE (100) 6566.09 6622.72 – 0.86%

Derivatives Market – Futures and Options


Contract Volume by Derivatives Products

ContractsDerivatives product 4th Quarter 2014 4th Quarter 2013

Hang Seng Index Futures 4,534,728 4,314,395Hang Seng Index Options 2,118,013 1,774,047Mini-Hang Seng Index Futures 2,131,008 1,573,318Mini-Hang Seng Index Options 276,842 237,173H-shares Index Futures 6,612,741 5,527,741H-shares Index Options 2,716,432 2,290,397Mini H-shares Index Futures 1,292,073 616,619Flexible Hang Seng Index Options 0 0Flexible H-shares Index Options 3,450 3,914HSI Dividend Point Index Futures 70 1,400HSCEI Dividend Point Index Futures 50,041 34,496HSI Volatility Index Futures 31 169CES China 120 Index Futures 10,756 23,901IBOVESPA Futures 0 0MICEX Index Futures 0 0S&P BSE Sensex Index Futures 0 0FTSE/JSE Top40 Futures 0 0Stock Futures 122,185 86,788Stock Options 23,238,909 15,367,765Three-month HIBOR Futures 0 2One-month HIBOR Futures 0 0Three-year Exchange Fund Note Futures 0 0RMB Currency Futures – USD/CNH Futures 53,349 40,548Gold Futures 0 0London Aluminium Mini Futures1 1,644 –London Zinc Mini Futures2 2,828 –London Copper Mini Futures3 4,318 –Total 43,169,418 31,892,673

1 Trading in London Aluminium Mini Futures commenced on 01 Dec 20142 Trading in London Zinc Mini Futures commenced on 01 Dec 20143 Trading in London Copper Mini Futures commenced on 01 Dec 2014



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

2013 Q4 4,314,395 107,3042014 Q1 4,368,013 104,527 Q2 3,893,812 126,964 Q3 4,270,694 131,566 Q4 4,534,728 99,195

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

2013 Q4 1,573,318 5,8352014 Q1 1,648,258 7,441 Q2 1,536,157 7,067 Q3 1,644,415 9,081 Q4 2,131,008 7,472

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

2013 Q4 1,774,047 173,1762014 Q1 1,759,351 201,802 Q2 1,728,591 184,741 Q3 1,912,755 254,144 Q4 2,118,013 169,950

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

2013 Q4 5,527,741 217,6462014 Q1 5,647,145 199,566 Q2 4,656,807 217,624 Q3 5,067,604 209,592 Q4 6,612,741 259,173

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

2013 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 Q4 15,471.60 23,238,909 6,320,147



Stock Options Premium by Classfor 4th Quarter 2014

PremiumOptions class (HK$ mil.) % of total

X ISHARES A50 A50 2,878.44 18.60%ABC ABC/XAB 80.24 0.52%ANHUI CONCH ACC 93.74 0.61%AIA AIA 357.63 2.31%CHALCO ALC 4.87 0.03%CAM CSI300 AMC 293.37 1.90%BANK OF CHINA BCL/XBC 132.55 0.86%BANKCOMM BCM 24.03 0.16%BANK OF E ASIA BEA 2.27 0.01%BELLE INT’L BIH 10.59 0.07%BOC HONG KONG BOC 35.46 0.23%BYD COMPANY BYD 60.74 0.39%CCB CCB/XCC 356.06 2.30%CHINA COMM CONS CCC 92.62 0.60%CHINA COAL CCE 7.77 0.05%CHINA COSCO CCS 5.31 0.03%CHINA CINDA CDA 17.39 0.11%CHINA MOBILE CHT 923.22 5.97%CHINA UNICOM CHU 62.68 0.41%CITIC CIT 97.64 0.63%CHEUNG KONG CKH 361.74 2.34%CHINA LIFE CLI 518.84 3.35%CLP HOLDINGS CLP 9.49 0.06%CM BANK CMB 117.29 0.76%CNOOC CNC 269.53 1.74%CHINA OVERSEAS COL 178.76 1.16%CATHAY PAC AIR CPA 4.18 0.03%SINOPEC CORP CPC 188.90 1.22%CPIC CPI 155.21 1.00%CHINA RAIL CONS CRC 8.52 0.06%CHINA RAILWAY CRG 4.02 0.03%CHINA RES LAND CRL 1.11 0.01%X WISECSI300ETF CS3 0.11 0.00%CSOP A50 ETF CSA 1,319.93 8.53%CHINA SHENHUA CSE 52.48 0.34%CITIC BANK CTB 66.13 0.43%CHINA TELECOM CTC 43.24 0.28%DONGFENG GROUP DFM 13.88 0.09%ESPRIT HOLDINGS ESP 3.13 0.02%FIH FIH 1.25 0.01%GALAXY ENT GLX 563.96 3.65%GREATWALL MOTOR GWM 56.02 0.36%HAITONG SEC HAI 13.33 0.09%POWER ASSETS HEH 20.07 0.13%HKEX HEX 1,146.30 7.41%HENGAN INT’L HGN 6.24 0.04%HSBC HOLDINGS HKB 550.01 3.55%HK & CHINA GAS HKG 7.98 0.05%HENDERSON LAND HLD 34.76 0.22%HUANENG POWER HNP 19.44 0.13%HANG SENG BANK HSB 7.08 0.05%HUTCHISON HWL 290.18 1.88%ICBC ICB/XIC 208.65 1.35%JIANGXI COPPER JXC 22.04 0.14%KUNLUN ENERGY KLE 48.64 0.31%KINGSOFT KSO 44.77 0.29%LENOVO GROUP LEN 49.25 0.32%LI & FUNG LIF 25.33 0.16%



PremiumOptions class (HK$ mil.) % of total

MENGNIU DAIRY MEN 1.32 0.01%MGM CHINA MGM 3.32 0.02%MINSHENG BANK MSB 128.97 0.83%MTR CORPORATION MTR 5.15 0.03%CNBM NBM 23.40 0.15%NEW WORLD DEV NWD 17.62 0.11%PING AN PAI 1,245.23 8.05%PETROCHINA PEC 281.06 1.82%PICC P&C PIC 29.94 0.19%PICC GROUP PIN 11.51 0.07%GCL-POLY ENERGY PLE 4.85 0.03%R&F PROPERTIES RFP 3.93 0.03%SANDS CHINA LTD SAN 293.76 1.90%SHK PPT SHK 243.25 1.57%STANCHART STC 32.83 0.21%SWIRE PACIFIC A SWA 20.21 0.13%TENCENT TCH 1,057.61 6.84%TRACKER FUND TRF 13.59 0.09%WHARF HOLDINGS WHL 22.83 0.15%WANT WANT CHINA WWC 3.70 0.02%YANZHOU COAL YZC 54.57 0.35%ZIJIN MINING ZJM 4.55 0.03%Total 15,471.60 100.00%



Stock Options Contract Volume by Classfor 4th Quarter 2014 ContractOptions class volume % of totalX ISHARES A50 A50 1,467,176 6.31%ABC ABC/XAB 69,354 0.30%ANHUI CONCH ACC 186,677 0.80%AIA AIA 430,121 1.85%CHALCO ALC 14,332 0.06%CAM CSI300 AMC 109,218 0.47%BANK OF CHINA BCL/XBC 1,535,646 6.61%BANKCOMM BCM 100,062 0.43%BANK OF E ASIA BEA 14,335 0.06%BELLE INT’L BIH 23,953 0.10%BOC HONG KONG BOC 117,855 0.51%BYD COMPANY BYD 31,592 0.14%CCB CCB/XCC 2,241,431 9.65%CHINA COMM CONS CCC 183,784 0.79%CHINA COAL CCE 40,852 0.18%CHINA COSCO CCS 38,283 0.16%CHINA CINDA CDA 18,383 0.08%CHINA MOBILE CHT 758,132 3.26%CHINA UNICOM CHU 73,893 0.32%CITIC CIT 200,436 0.86%CHEUNG KONG CKH 147,951 0.64%CHINA LIFE CLI 663,787 2.86%CLP HOLDINGS CLP 19,101 0.08%CM BANK CMB 304,025 1.31%CNOOC CNC 603,807 2.60%CHINA OVERSEAS COL 134,018 0.58%CATHAY PAC AIR CPA 10,941 0.05%SINOPEC CORP CPC 399,530 1.72%CPIC CPI 145,307 0.63%CHINA RAIL CONS CRC 31,213 0.13%CHINA RAILWAY CRG 13,745 0.06%CHINA RES LAND CRL 713 0.00%X WISECSI300ETF CS3 138 0.00%CSOP A50 ETF CSA 667,718 2.87%CHINA SHENHUA CSE 152,870 0.66%CITIC BANK CTB 215,694 0.93%CHINA TELECOM CTC 66,157 0.28%DONGFENG GROUP DFM 14,234 0.06%ESPRIT HOLDINGS ESP 34,848 0.15%FIH FIH 5,370 0.02%GALAXY ENT GLX 324,388 1.40%GREATWALL MOTOR GWM 102,665 0.44%HAITONG SEC HAI 6,502 0.03%POWER ASSETS HEH 28,678 0.12%HKEX HEX 2,699,322 11.62%HENGAN INT’L HGN 7,892 0.03%HSBC HOLDINGS HKB 731,005 3.15%HK & CHINA GAS HKG 19,181 0.08%HENDERSON LAND HLD 22,308 0.10%HUANENG POWER HNP 30,784 0.13%HANG SENG BANK HSB 34,160 0.15%HUTCHISON HWL 156,563 0.67%ICBC ICB/XIC 1,618,886 6.97%JIANGXI COPPER JXC 55,481 0.24%KUNLUN ENERGY KLE 63,402 0.27%KINGSOFT KSO 42,735 0.18%LENOVO GROUP LEN 74,202 0.32%LI & FUNG LIF 30,710 0.13%MENGNIU DAIRY MEN 1,575 0.01%



ContractOptions class volume % of totalMGM CHINA MGM 10,271 0.04%MINSHENG BANK MSB 121,678 0.52%MTR CORPORATION MTR 17,855 0.08%CNBM NBM 45,087 0.19%NEW WORLD DEV NWD 39,723 0.17%PING AN PAI 1,070,475 4.61%PETROCHINA PEC 478,080 2.06%PICC P&C PIC 34,587 0.15%PICC GROUP PIN 19,023 0.08%GCL-POLY ENERGY PLE 8,520 0.04%R&F PROPERTIES RFP 18,737 0.08%SANDS CHINA LTD SAN 470,388 2.02%SHK PPT SHK 109,860 0.47%STANCHART STC 124,326 0.53%SWIRE PACIFIC A SWA 22,329 0.10%TENCENT TCH 3,127,850 13.46%TRACKER FUND TRF 39,780 0.17%WHARF HOLDINGS WHL 20,901 0.09%WANT WANT CHINA WWC 12,241 0.05%YANZHOU COAL YZC 89,778 0.39%ZIJIN MINING ZJM 20,299 0.09%Total 23,238,909 100.00%

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 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 Q4 92,208 58.24 220.11

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 Q4 412 143.96 203.732014 Q1 418 195.82 302.92 Q2 334 169.36 188.57 Q3 406 69.28 166.15 Q4 415 651.43 249.41

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

2013 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 Q4 4,450.01 71.29 14,911.90 54.09

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 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 Q4 1,151,087 100 154,712.04 100 80,060.20 100

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 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 Q4 79,394 96.28 26,827.51 91.18

Average Daily Settlement Efficiency of CNS Stock Positions

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

2013 Q4 99.91 99.992014 Q1 99.91 99.99 Q2 99.90 99.99 Q3 99.90 99.99 Q4 99.88 99.99



Open Interest by Derivatives Products

ContractsDerivatives product 4th Quarter 2014 4th Quarter 2013

Hang Seng Index Futures 99,195 107,304Hang Seng Index Options 169,950 173,176Mini-Hang Seng Index Futures 7,472 5,835Mini-Hang Seng Index Options 5,734 4,665H-shares Index Futures 259,173 217,646H-shares Index Options 991,190 858,416Mini H-shares Index Futures 3,588 3,608Flexible Hang Seng Index Options 50 506Flexible H-shares Index Options 25,440 25,099HSI Dividend Point Index Futures 3,480 4,599HSCEI Dividend Point Index Futures 48,174 51,075HSI Volatility Index Futures 2 21CES China 120 Index Futures 93 203IBOVESPA Futures 0 0MICEX Index Futures 0 0S&P BSE Sensex Index Futures 0 0FTSE/JSE Top40 Futures 0 0Stock Futures 14,916 18,409Stock Options 6,320,147 4,740,818Three-month HIBOR Futures 5 1One-month HIBOR Futures 0 0Three-year Exchange Fund Note Futures 0 0RMB Currency Futures – USD/CNH Futures 9,747 18,701Gold Futures 0 0London Aluminium Mini Futures1 270 –London Zinc Mini Futures2 445 –London Copper Mini Futures3 1,335 –

Total 7,960,406 6,230,0821 Trading in London Aluminium Mini Futures commenced on 01 Dec 20142 Trading in London Zinc Mini Futures commenced on 01 Dec 20143 Trading in London Copper Mini Futures commenced on 01 Dec 2014



Stock Options Open Interest by Classas at the end of 4th Quarter 2014 Open interestOptions class (contracts) % of total

X ISHARES A50 A50 404,870 6.41ABC ABC/XAB 37,143 0.59ANHUI CONCH ACC 55,177 0.87AIA AIA 79,231 1.25CHALCO ALC 5,530 0.09CAM CSI300 AMC 26,311 0.42BANK OF CHINA BCL/XBC 523,821 8.29BANKCOMM BCM 30,009 0.47BANK OF E ASIA BEA 5,490 0.09BELLE INT’L BIH 13,514 0.21BOC HONG KONG BOC 28,511 0.45BYD COMPANY BYD 9,814 0.16CCB CCB/XCC 766,996 12.14CHINA COMM CONS CCC 64,668 1.02CHINA COAL CCE 13,758 0.22CHINA COSCO CCS 15,258 0.24CHINA CINDA CDA 3,954 0.06CHINA MOBILE CHT 169,381 2.68CHINA UNICOM CHU 39,652 0.63CITIC CIT 51,525 0.82CHEUNG KONG CKH 22,164 0.35CHINA LIFE CLI 135,626 2.15CLP HOLDINGS CLP 4,729 0.07CM BANK CMB 107,225 1.70CNOOC CNC 183,454 2.90CHINA OVERSEAS COL 35,365 0.56CATHAY PAC AIR CPA 1,668 0.03SINOPEC CORP CPC 147,317 2.33CPIC CPI 28,099 0.44CHINA RAIL CONS CRC 6,994 0.11CHINA RAILWAY CRG 3,252 0.05CHINA RES LAND CRL 374 0.01X WISECSI300ETF CS3 174 0.00CSOP A50 ETF CSA 138,666 2.19CHINA SHENHUA CSE 32,928 0.52CITIC BANK CTB 104,417 1.65CHINA TELECOM CTC 25,157 0.40DONGFENG GROUP DFM 4,610 0.07ESPRIT HOLDINGS ESP 11,728 0.19FIH FIH 1,637 0.03GALAXY ENT GLX 58,474 0.93GREATWALL MOTOR GWM 25,429 0.40HAITONG SEC HAI 1,958 0.03



Open interestOptions class (contracts) % of total

POWER ASSETS HEH 4,451 0.07HKEX HEX 487,012 7.71HENGAN INT’L HGN 1,445 0.02HSBC HOLDINGS HKB 264,934 4.19HK & CHINA GAS HKG 6,904 0.11HENDERSON LAND HLD 4,618 0.07HUANENG POWER HNP 7,257 0.11HANG SENG BANK HSB 12,892 0.20HUTCHISON HWL 31,635 0.50ICBC ICB/XIC 581,393 9.20JIANGXI COPPER JXC 16,457 0.26KUNLUN ENERGY KLE 32,324 0.51KINGSOFT KSO 12,310 0.19LENOVO GROUP LEN 27,422 0.43LI & FUNG LIF 16,113 0.25MENGNIU DAIRY MEN 891 0.01MGM CHINA MGM 2,161 0.03MINSHENG BANK MSB 53,891 0.85MTR CORPORATION MTR 5,061 0.08CNBM NBM 19,835 0.31NEW WORLD DEV NWD 14,704 0.23PING AN PAI 266,375 4.21PETROCHINA PEC 167,097 2.64PICC P&C PIC 8,354 0.13PICC GROUP PIN 9,384 0.15GCL-POLY ENERGY PLE 1,386 0.02R&F PROPERTIES RFP 10,944 0.17SANDS CHINA LTD SAN 88,171 1.40SHK PPT SHK 24,065 0.38STANCHART STC 58,306 0.92SWIRE PACIFIC A SWA 5,206 0.08TENCENT TCH 588,727 9.32TRACKER FUND TRF 16,933 0.27WHARF HOLDINGS WHL 6,323 0.10WANT WANT CHINA WWC 2,949 0.05YANZHOU COAL YZC 26,476 0.42ZIJIN MINING ZJM 9,683 0.15Total 6,320,147 100.00

Exchange Participants Statistics


Stock Exchange

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

2013 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) Q4 558 (969) 500 (904) 40 (47) 18 (18)

( ) No. of trading rights

Futures Exchange

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

2013 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) Q4 231 (255) 179 (201) – 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 ClearingYear / month Clearing Participants Participants

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

SEOCH Participants

General ClearingYear / month Direct Clearing Participants Participants

2013 Q4 62 92014 Q1 62 9 Q2 63 9 Q3 63 9 Q4 65 9

HKSCC Participants

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

2013 Q4 485 9 432014 Q1 486 9 43 Q2 481 9 43 Q3 480 9 43 Q4 481 10 42

* 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 REPORT · Market Highlights 2 Securities and Derivatives Markets Quarterly Report (4th Quarter 2014) Growth Enterprise Market (GEM) Highlights