· XLS file · Web view · 2018-02-154.0999999999999996. 0 0. 2950116 274886. 70284975 6549016. 300500000 28000000. 431148506 34113225. 0 0. 45738204 4261796. 225375000 21000000

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CPMI IOSCO Quantitative Disclosure Template - SIX x-clear Ltd (Q1/2017)

Based on CPMI-IOSCO Public Quantitative Disclosure Standard for Central Counterparties (February 2015)

4 Credit risk (Principle 4)4.1 Total value of default resources (excluding initial and retained variation margin), split by clearing service if default funds are segregated by clearing service

As at Quarter EndCash Markets (Bonds / Equities)

Prefunded - Own Capital Before 0 0Prefunded - Own Capital Alongside 2,950,116 274,886Prefunded - Own Capital After 70,284,975 6,549,016Prefunded - Aggregate Participant Contributions - Required 300,500,000 28,000,000

431,148,506 34,113,225

Prefunded - Other 0 0

45,738,204 4,261,796

225,375,000 21,000,000

300,500,000 28,000,000

Committed - Other 365,905,632 34,094,368

4.2 KccpQuarterly

Cash Markets Derivatives

0 0

4.3 Value of pre-funded default resources (excluding initial and retained variation margin) held for each clearing service, in total and split byAs at Quarter End

Cash Markets DerivativesCash deposited at a central bank of issue of the currency concerned Market Value Pre-Haircut 161,155,249 n.a.Cash deposited at a central bank of issue of the currency concerned Market Value Post-Haircut 161,155,249 n.a.Cash deposited at other central banks Market Value Pre-Haircut n.a. n.a.Cash deposited at other central banks Market Value Post-Haircut n.a. n.a.Secured cash deposited at commercial banks (including reverse repoMarket Value Pre-Haircut n.a. n.a.Secured cash deposited at commercial banks (including reverse repoMarket Value Post-Haircut n.a. n.a.Unsecured cash deposited at commercial banks Market Value Pre-Haircut 138,285,761 16,719,492Unsecured cash deposited at commercial banks Market Value Post-Haircut 131,018,306 16,170,069Non-Cash Bonds Market Value Pre-Haircut 160,331,853 22,310,204Non-Cash Bonds Market Value Post-Haircut 140,934,599 19,918,618Non-Cash Equities Market Value Pre-Haircut n.a. n.a.Non-Cash Equities Market Value Post-Haircut n.a. n.a.

Derivatives (Derivates / SLB)

Prefunded - Aggregate Participant Contributions - Post-Haircut Posted

Committed - Own/parent funds that are committed to address a participant default (or round of participant defaults)Committed - Aggregate participant commitments to address an initial participant default (or initial round of participant defaults)

Committed - Aggregate participant commitments to replenish the default fund to deal with a subsequent participant default (or round of partiicpant defaults) after the initial participant default (or round of participant defaults) has been addressed

Kccp - Kccp need only be reported by those CCPs which are, or seek to be a "qualifying CCP" under relevant law

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4.4 DisclosuresCash Markets Derivatives

Cover 2 Cover 2

Cover 1 Peak Day in 12 Months 193,986,136 34,841,512

Cover 1 Average in 12 Months 29,203,328 10,019,957

Cover 1 # of Days - 7

Cover 1 Amount of Excess - 2,589,150

Cover 2 Peak Day in 12 Months 357,311,884 37,845,020

Cover 2 Average in 12 Months 40,171,482 12,077,912

Cover 2 # of Days 2 12

Cover 2 Amount of Excess 43,872,336 3,527,064

5 Collateral (Principle 5)5.1 Assets eligible as initial margin, and the respective haircuts applied

Update as changes are made

See Lending Norms of SIX x-clear Ltd:

5.2 Assets Eligible for pre-funded participant contributions to the default resources, and the respective haircuts applied (if different from 5.1)Update as changes are made

See Lending Norms of SIX x-clear Ltd:

5.3 Results of testing of haircutsQuarterly

Haircut validationconfidence interval targeted through the calculation of haircuts 99%assumed holding/liquidation period for the assets accepted, Bonds: 7 dayslook-back period used for testing the haircuts 2 years

0

6 Margin (Principle 6)6.1

QuarterlyCash Markets Derivatives

House 0 0Client Gross Position 0 0Client Net Position 0 0Total If not Segregated 299,873,984 164,342,250

State whether the CCP is subject to a minimum “Cover 1” or “Cover 2” requirement in relation to total pre-funded default resources.

For each clearing service, state the number of business days within which the CCP assumes it will close out the default when calculating credit exposures that would potentially need to be covered by the default fund.

Equities: 2 business days

Bonds: 7 business days

Options: 5 business days

Futures, Forwards,

Equities and SLB: 2 business daysFor each clearing service, what is the estimated largest aggregate

stress loss (in excess of initial margin) that would be caused by the default of any single participant and its affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?Report the number of business days, if any, on which the above amount exceeded actual pre-funded default resources (in excess of initial margin) and by how much.For each clearing service, what is the estimated largest aggregate stress loss (in excess of initial margin) that would be caused by the default of any two participants and their affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?Report the number of business days, if any, on which the above amount exceeded actual pre-funded default resources (in excess of initial margin) and by how much.

Average number of business days during the look-back period on which the fall in value during the assumed holding/liquidation period exceeded the haircut on an asset.

For each clearing service, total initial margin required, split by house and client(or combined total if not segregated)

xclear-lendingnorms-151101-en.pdf

xclear-lendingnorms-151101-en.pdf

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6.2 For each clearing service, total initial margin held, split by house and clientQuarterly

Cash Markets DerivativesTotal (if not segregated) Cash deposited at a central bank of issue of the curr Market Value Pre-Haircut 314,548,588 0Total (if not segregated) Cash deposited at a central bank of issue of the curr Market Value Post-Haircut 314,548,588 0Total (if not segregated) Cash deposited at other central banks Market Value Pre-Haircut 0 0Total (if not segregated) Cash deposited at other central banks Market Value Post-Haircut 0 0Total (if not segregated) Cash deposited at commercial banks Market Value Pre-Haircut 219,140,988 0Total (if not segregated) Cash deposited at commercial banks Market Value Post-Haircut 201,333,761 0Total (if not segregated) Bonds Market Value Pre-Haircut 614,959,238 0Total (if not segregated) Bonds Market Value Post-Haircut 537,795,359 0Total (if not segregated) Equities Market Value Pre-Haircut 0 0Total (if not segregated) Equities Market Value Post-Haircut 0 0Total (if not segregated) Non-Cash - Other Market Value Pre-Haircut 0 0Total (if not segregated) Non-Cash - Other Market Value Post-Haircut 0 0House Cash deposited at a central bank of issue of the curr Market Value Pre-Haircut 0 0House Cash deposited at a central bank of issue of the curr Market Value Post-Haircut 0 0House Cash deposited at other central banks Market Value Pre-Haircut 0 0House Cash deposited at other central banks Market Value Post-Haircut 0 0House Cash deposited at commercial banks Market Value Pre-Haircut 0 56,201,847House Cash deposited at commercial banks Market Value Post-Haircut 0 55,663,253House Bonds Market Value Pre-Haircut 0 40,590,647House Bonds Market Value Post-Haircut 0 38,279,256House Non-Cash - Other Market Value Pre-Haircut 0 21,058,237House Non-Cash - Other Market Value Post-Haircut 0 0Client Cash deposited at a central bank of issue of the curr Market Value Pre-Haircut 0 0Client Cash deposited at a central bank of issue of the curr Market Value Post-Haircut 0 0Client Cash deposited at other central banks Market Value Pre-Haircut 0 0Client Cash deposited at other central banks Market Value Post-Haircut 0 0Client Cash deposited at commercial banks Market Value Pre-Haircut 0 20,907,295Client Cash deposited at commercial banks Market Value Post-Haircut 0 20,907,295Client Bonds Market Value Pre-Haircut 0 0Client Bonds Market Value Post-Haircut 0 0Client Non-Cash - Other Market Value Pre-Haircut 0 30,424,351Client Non-Cash - Other Market Value Post-Haircut 0 22,469,631Total (if not segregated) Cash deposited at a central bank of issue of the curr Market Value Pre-Haircut 0 0Total (if not segregated) Cash deposited at a central bank of issue of the curr Market Value Post-Haircut 0 0Total (if not segregated) Cash deposited at other central banks Market Value Pre-Haircut 0 0Total (if not segregated) Cash deposited at other central banks Market Value Post-Haircut 0 0Total (if not segregated) Cash deposited at commercial banks Market Value Pre-Haircut 0 0Total (if not segregated) Cash deposited at commercial banks Market Value Post-Haircut 0 0Total (if not segregated) Bonds Market Value Pre-Haircut 0 0Total (if not segregated) Bonds Market Value Post-Haircut 0 0Total (if not segregated) Non-Cash - Other Market Value Pre-Haircut 0 0Total (if not segregated) Non-Cash - Other Market Value Post-Haircut 0 0

6.3 Initial Margin rates on individual contracts, where the CCP sets such ratesUpdate as changes are made

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6.4 Type of initial margin model used (e.g. portfolio simulation or risk aggregation) for each clearing service and the key model design parameters for each initial margin model applied to that clearing serviceQuarterly

Cash Markets x-clear ZürichCash Markets x-clear Norwegian BranchDerivatives x-clear Norwegian Branch

SECOM Initial Margin Model

Type of initial margin model: Risk aggregation n.a n.aConfidence level targeted: 0.99 n.a n.aSample/data look-back period: 2 years n.a n.a

none n.a n.a

Close-out periods by product: n.a n.a

See chapter 5.2 of n.a n.a

Frequency of parameter reviews: monthly n.a n.a

RMS Margin Validation

Type of initial margin model: Portfolio simulation n.a n.aConfidence level targeted: 0.99 n.a n.aSample/data look-back period: as of 2008 (EWMA) n.a n.a

EWMA with Lambda = 0.95 n.a n.a

Close-out periods by product: n.a n.a

n.a. n.a n.a

Frequency of parameter reviews: yearly n.a n.a

CLARA Margin Model

Type of initial margin model: n.a Portfolio simulation Portfolio simulation

Confidence level targeted: n.a 0.99 0.99Sample/data look-back period: n.a 2 years 2 years

n.a

Close-out periods by product: n.a 2 - 10 days 2 - 10 days

n.a n.a n.a

Frequency of parameter reviews: n.a

Adjustments or scalars or weighting, if any, applied to historical data (e.g. toreflect changes in volatility:

Equities = 2 daysBonds = 7 days

For risk aggregation models, the margin rate per contract and details of theoffsets between different contracts:





We consider 500 days unweighted returns, 60 days unweighted returns and 60 days weighted returns (lambda = 0,94) for setting of margin rates. For implied volatility estimates, EWMA with lambda of 0,9x is considered.


Monthly for main underlying instruments, quarterly for all instruments. Additional ad-hoc reviews upon need.

xcl-500-en.pdf

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6.5 Results of back-testing of initial margin. At a minimum, this should include, for each clearing service and each initial margin model applied to that clearing service:Quarterly

x-clear Zürich (SECOM)x-clear Norwegian Branch (CLARA)

Peak 6 2

Number of observations Peak 261 258

Achieved coverage level Peak 97.41% 99.22%

Peak -19,005,254 -1,877,344

Average 1 0

Number of observations Average 249 224

Achieved coverage level Average 99.72% 99.96%

Average Expected shortfall -719,578 -313,441

6.6 Average Total Variation Margin Paid to the CCP by participants each businessQuarterly; Average per business day over the Quarter

6.7 Maximum total variation margin paid to the CCP on any given business day over the periodQuarterly; Maximum over Quarter

6.8 Maximum aggregate initial margin call on any given business day over the periodQuarterly; Maximum over Quarter

7 Liquidity Risk (Principle 7)7.1 Multiple Items

QuarterlyAll clearing services

Yes

500,000,000

(b) Cash deposited at other central banks 0

0

(d) Unsecured cash deposited at commercial banks 470,913,145

0

0

706,586,288

(h) other 0

Yes

0

7.2 Size and composition of any supplementary liquidity risk resources for each clearing service above those qualifying liquid resources above.Quarterly


Number of times over the past twelve months that margin coverage held against any account fell below the actual marked-to-market exposure of that member account – based on daily back-testing results

highest number of breaches for any account / membermaximum number of observations for any account / memberworst confidence level achieved

Where breaches of initial margin coverage (as defined in 6.5(a)) have occurred, report on size of uncovered exposure

Biggest breach for any account / member


Average number of breaches

average number of observations for any account / memberAverage confidence level achieved


State whether the clearing service maintains sufficient liquid resources to 'Cover 1' or 'Cover 2'.Size and composition of qualifying liquid resources for each clearing service

(a) Cash deposited at a central bank of issue of the currency concerned

Size and composition of qualifying liquid resources for each clearing serviceSize and composition of qualifying liquid resources for each clearing service

(c) Secured cash deposited at commercial banks (including reverse repo)

Size and composition of qualifying liquid resources for each clearing service


(e) secured committed lines of credit (ie those for which collateral/security will be provided by the CCP if drawn) including committed foreign exchange swaps and committed repos;


(f) unsecured committed lines of credit (ie which the CCP may draw without providing collateral/security);


(g) highly marketable collateral held in custody and investments that are readily available and convertible into cash with prearranged and highly reliable funding arrangements even in extreme but plausible market conditions;

Size and composition of qualifying liquid resources for each clearing serviceState whether the CCP has routine access to central bank liquidity or facilities.Details regarding the schedule of payments or priority for allocating payments, if such exists, and any applicable rule, policy, procedure, and governance arrangement around such decision making.

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0 0

7.3 Liquidity Risk - 7.3; Multiple ItemsQuarterly

Aggregate CCP level

reported quarterly CHF 1,741,411,469

No. of days in quarter # 0

Amount of excess on each day CHF 0

Peak day amount in previous twelve months CHF 1,741,411,469

measured in CHF equivalent reported quarterly

AUD 538,763CAD 1,477,383CHF 1,547,490,678DKK 10,873,468EUR 126,056,636GBP 114,201,822HKD 526JPY 5,684,203NOK 85,792,286SEK 19,734,914SGD 439,826USD 63,526,730

No. of days in quarter

AUD 2CAD 2CHF 2DKK 2EUR 2GBP 2HKD 2JPY 2NOK 2SEK 2SGD 2USD 0

amount of excess in CHF equivalent

AUD 539,377CAD 1,469,161CHF 152,439,340DKK 12,272,526EUR 280,803,394GBP 115,079,659HKD 526JPY 5,683,614NOK 70,114,892SEK 21,886,202SGD 439,826USD 0

Size and composition of any supplementary liquidity risk resources for each clearing service above those qualifying liquid resources in 7.1

What is the estimated largest same-day and, where relevant, intraday and multiday payment obligation in total that would be caused by the default of any single participant and its affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?

Report the number of business days, if any, on which the above amount exceeded its qualifying liquid resources (identified as in 7.1, and available at the point the breach occurred), and by how much.

What is the actual largest intraday and multiday payment obligation of a single participant and its affiliates (including transactions cleared for indirect participants) over the past twelve months?

What is the estimated largest same-day and, where relevant, intraday and multiday payment obligation in each relevant currency that would be caused by the default of any single participant and its affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?

Report the number of business days, if any, on which the above amounts exceeded its qualifying liquid resources in each relevant currency (as identified in 7.1 and available at the point the breach occurred), and by how much.

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12 Exchange of value settlement systems (Principle 12)12.1 Percentage of settlements by value effected using a DvP, DvD or PvP settlement mechanism


100% 100%

0% 0%

0% 0%

12.2 Percentage of settlements by volume effected using a DvP, DvD or PvP settlement mechanismQuarterly


100% 100%

0% 0%

0% 0%

13 Default rules and procedures (Principle 13)13.1 CCPs are encouraged, subject to legal constraints on timing and content, to disclose as soon as practicable quantitative information related to defaults

Ad-Hoc; As Time PermitsCash Markets Derivatives

Amount of loss versus amount of initial margin n.a. n.a.Amount of other financial resources used to cover losses n.a. n.a.Proportion of client positions closed-out/ported n.a. n.a.Appropriate references to other published material related to the defa n.a. n.a.

14 Segregation and portability (Principle 14)14.1 Total Client Positions held in the following as a share of notional values cleared or of the settlement value of securities transactions


Total Client Positions held in individually segregated accounts 0% 21%Total Client Positions held in omnibus client-only accounts, other t 0% 8%Total Client Positions held in legally segregated but operationally c 0% 0%Total Client Positions held in comingled house and client accounts 100% 36%

Percentage of settlements by value effected using a DvP settlement mechanismPercentage of settlements by value effected using a DvD settlement mechanismPercentage of settlements by value effected using a PvP settlement mechanism

Percentage of settlements by volume effected using a DvP settlement mechanismPercentage of settlements by volume effected using a DvD settlement mechanismPercentage of settlements by volume effected using a PvP settlement mechanism

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15 General business risk (Principle 15)15.1 Multiple items

AnnualSIX x-clear Ltd

Value of liquid net assets funded by equity 83283996Six months of current operating expenses 9238824

15.2 General business risk; Financial DisclosuresAnnual

SIX x-clear LtdTotal Revenue 30958388Total Expenditure -32281329Profits -1322941Total Assets 1580254532Total Liabilities 1496970536Explain if collateral posted by clearing participants is held on or off Only the effectively used collateral remains on x-clear's balance sheet.Additional items as necessary n/a

15.3 General business risk; Income breakdownAnnual

SIX x-clear Ltd

0.6886

0.2916

16 Custody and investment risks (Principle 16)16.1 Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, split by whether it was received as initial margin or default fund contribution

Quarterly, at Quarter EndSIX x-clear Ltd

674,298,719

312,935,500

Percentage of total income that comes from fees related to provision of clearing servicesPercentage of total income that comes from the reinvestment (or rehypothecation) of assets provided by clearing participants

Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, received as initial margin Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, received as default fund contribution

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16.2 How total cash received from participants (16.1) is held/deposited/invested, including;Quarterly

SIX x-clear Ltd

45.5%

as cash deposits at other central banks 0.0%

as cash deposits at commercial banks 50.1%

in money market funds 0.0%

in other forms 0.0%

CHF 26.3%

EUR 1.7%

USD 16.5%

NOK 5.7%

100% sight depositsPercentage of total participant cash invested in securities Domestic sovereign government bonds n.a.Percentage of total participant cash invested in securities Other sovereign government bonds 4.4%Percentage of total participant cash invested in securities Agency Bonds n.a.Percentage of total participant cash invested in securities State/municipal bonds n.a.Percentage of total participant cash invested in securities Other instruments n.a.Percentage of total participant cash invested in securities percentage split by currency of these securities CCY #1 n.a.Percentage of total participant cash invested in securities percentage split by currency of these securities CCY #2 n.a.Percentage of total participant cash invested in securities weighted average maturity of securities n.a.

0

State the number of times over the previous quarter in which this limit has been exceeded. 0

Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)

as cash deposits at central banks of issue of the currency deposited

Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)

Additional Description as needed


split by currency of these cash deposits (including reverse repo) and money market funds








weighted average maturity of these cash deposits (including reverse repo) and money market funds

Additional Description as needed

Provide an estimate of the risk on the investment portfolio (excluding central bank and commercial bank deposits) (99% one-day VaR, or equivalent)

State if the CCP investment policy sets a limit on the proportion of the investment portfolio that may be allocated to a single counterparty, and the size of that limit.

There is no client cash deposited at other entities.

x-clear Norwegian Branch: 25% per counterparty with the exception of the Kingdom of Norway.

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17 Operational risk (Principle 17)17.1 Operational availability target for the core system(s) involved in clearing (whether or not outsourced) over specified period for the system (e.g. 99.99% over a twelve-month period)


99.80% 99.80%

17.2 Actual availability of the core system(s) over the previous twelve month periodQuarterly

Cash Markets DerivativesActual availability of the core system(s) over the previous twelve mon 99.99% 100.00%

17.3 Total number and duration of failuresQuarterly


1 in a subservice, 15 Minutes outage of the subservic 0

17.4 Recovery time objective(s)Quarterly

Cash Markets DerivativesRecovery time objective(s) (e.g. within two hours) within two hours Within two hours

18 Access and participation requirements (Principle 18)18.1 Number of clearing members, by clearing service


Category of membership GCM 12 5Category of membership ICM 53 9Type of participant Bank 65 7Type of participant Other 0 7Participants Domestic 48 0Participants Foreign 17 14

18.2 Open Position ConcentrationQuarterly


Average n.a. 81%

Peak during Quarter n.a. 84%

For each clearing service with 25 or more members Average 76% n.a.

For each clearing service with 25 or more members Peak during Quarter 86% n.a.



Operational availability target for the core system(s) involved in clearing (whether or not outsourced) over specified period for the system (e.g. 99.99% over a twelve-month period)

Total number and duration of failures affecting the core system(s) involved in clearing over the previous twelve month period

For each clearing service with ten or more members, but fewer than 25 members

Percentage of open positions held by the largest five clearing members, including both house and client, in aggregate


Percentage of open positions held by the largest five clearing members, including both house and client, in aggregatePercentage of open positions held by the largest five clearing members, including both house and client, in aggregatePercentage of open positions held by the largest five clearing members, including both house and client, in aggregatePercentage of open positions held by the largest ten clearing members, including both house and client, in aggregatePercentage of open positions held by the largest ten clearing members, including both house and client, in aggregate

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18.3 Initial Margin ConcentrationQuarterly


Average n.a. 67%

Peak during Quarter n.a. 73%





18.4 Segregated Default Fund ConcentrationQuarterly

Cash Market Segment Derivatives Segment

n.a. 89.3%

For each segregated default fund with 25 or more members 67.6% n.a.

For each segregated default fund with 25 or more members 78.7% n.a.

20 FMI-links (Principle 20)20.1 FMI Links, Value of Trades

Quarterlyx-clear Zürich x-clear Norwegian Branch

39.6% 30.5%

26.7% n.a.

20.2 FMI Links, Initial Margin or equivalent financial resouces providedQuarterly

x-clear Zürich x-clear Norwegian Branch

260,969,319 55,207,776

100,008,515 n.a.


Percentage of initial margin posted by the largest five clearing members, including both house and client, in aggregate


Percentage of initial margin posted by the largest five clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest five clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest five clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest ten clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest ten clearing members, including both house and client, in aggregate

For each segregated default fund with ten or more members, but fewer than 25 members:

Percentage of participant contributions to the default fund contributed by largest five clearing members in aggregatePercentage of participant contributions to the default fund contributed by largest five clearing members in aggregatePercentage of participant contributions to the default fund contributed by largest ten clearing members in aggregate

Value of open trades cleared through LCH.Clearnet – as a share of total open trade values/total notional values cleared as at quarter endValue of open trades cleared through EuroCCP – as a share of total open trade values/total notional values cleared as at quarter end

Margins or equivalent financial resources provided to LCH.Clearnet by the CCP to cover the potential future exposure of LCH.Clearnet on contracts cleared across linkMargins or equivalent financial resources provided to EuroCCP by the CCP to cover the potential future exposure of EuroCCP on contracts cleared across link

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20.3 FMI Links, Initial Margin or equivalent financial resouces collectedQuarterly

x-clear Zürich x-clear Norwegian Branch

91,569,177 23,400,669

53,642,566 n.a.

20.4 FMI Links, Results of Back-testing coverageQuarterly

20.5 FMI Links, Additional pre-funded financial resources provided toQuarterly

20.6 FMI Links, Additional pre-funded financial resources collected fromQuarterly

20.7 FMI Links, Cross MarginingQuarterly


0.0% 0.0%

0.0% 0.0%

23 Disclosure of rules, key procedures and market data (Principle 23)23.1 Average Daily Volumes

Quarterly, Average Per Business DayCash Markets Derivatives

Average Daily Volumes of cleared trades Equities 1,143,297 n.a.Averge Daily Amounts (CHF) of cleared trades Equities 9,983,353,555 n.a.Average Daily Volumes of cleared trades Bonds 1,237 n.a.Averge Daily Amounts (CHF) of cleared trades Bonds 206,747,614 n.a.Average Daily Volumes of cleared trades Derivatives n.a. 675Average Daily Volumes of cleared trades SLB n.a. 12

23.2 Disclosure of rules, key procedures, and market data; Non-Yet-SettledQuarterly, At Quarter End


Equity 8,966,812,906 n.a.

Bonds 905,000,365 n.a.

Derivatives n.a. 805,233,787

SLB n.a. 7,264,777

Margins or equivalent financial resources collected from LCH.Clearnet to cover the potential future exposure to LCH.Clearnet on contracts cleared across link (at market value and post-haircut)Margins or equivalent financial resources collected from EuroCCP to cover the potential future exposure to EuroCCP on contracts cleared across link (at market value and post-haircut)

Value of trades subject to cross margining, by clearing service, as a percentage of total trade values/total notional values clearedReduction in total initial margin held by the CCP as a result of crossmargining, as a percentage of total initial margin that would otherwise have been held.

Gross notional outstanding/total settlement value of novated but not-yetsettled securities transactionsGross notional outstanding/total settlement value of novated but not-yetsettled securities transactionsGross notional outstanding/total settlement value of novated but not-yetsettled securities transactionsGross notional outstanding/total settlement value of novated but not-yetsettled securities transactions

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23.3 Disclosure of rules, key procedures, and market data; Execution FacilityQuarterly, At Quarter End


Aquis MTF 13,625 0

Aquis MTF 98,471,126 0

BATS MTF 118,021 0

BATS MTF 1,801,726,094 0

Chi-X MTF 302,355 0

Chi-X MTF 1,511,898,007 0

Sigma X MTF 4,267 0

Sigma X MTF 27,383,953 0

Traiana MTF 4,121 0

Traiana MTF 426,099,391 0

Turquoise MTF 272,201 0

Turquoise MTF 1,392,930,615 0

Equiduct MTF 6,675 0

Equiduct MTF 51,441,053 0

London Stock Exchange 152,062 0

London Stock Exchange 1,163,988,403 0

SIX Swiss Exchange - Small & MidCap Segment 49,018 0

SIX Swiss Exchange - Small & MidCap Segment 767,222,892 0

UBS MTF 81,841 0

UBS MTF 686,379,512 0

SIX Swiss Exchange - Blue Chip Segment 59,363 0

SIX Swiss Exchange - Blue Chip Segment 1,851,034,745 0

Oslo Börs main 69,661 665

Oslo Börs main 326,588,257 0

Oslo Axess (no derivatives) 1,775 0

Oslo Axess (no derivatives) 4,206,866 0

Oslo Connect (OTC derivatives 0 12

Average daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venue

Average daily volumes submitted by Execution facility or matching/confirmation venue

Total value of default resources in CHF (excluding initial and retained variation margin), split by clearing service if default funds are segregated by clearing serviceAs at Quarter End

Cash Markets (Bonds / Equities)Prefunded - Own Capital Before 0Prefunded - Own Capital Alongside 2,950,116Prefunded - Own Capital After 70,284,975Prefunded - Aggregate Participant Contributions - Required 300,500,000

Prefunded - Aggregate Participant Contributions - Post-Haircut Posted 431,148,506Prefunded - Other 0

45,738,204

225,375,000

300,500,000

Committed - Other 365,905,632

Committed - Own/parent funds that are committed to address a participant default (or round of participant defaults)

Committed - Aggregate participant commitments to address an initial participant default (or initial round of participant defaults)

Committed - Aggregate participant commitments to replenish the default fund to deal with a subsequent participant default (or round of partiicpant defaults) after the initial participant default (or round of participant defaults) has been addressed

Total value of default resources in CHF (excluding initial and retained variation margin), split by clearing service if default funds are segregated by clearing service

Derivatives (Derivates / SLB)0

274,8866,549,016

28,000,00034,113,225

0

4,261,796

21,000,000

28,000,000

34,094,368

KccpQuarterly


0 0Kccp - Kccp need only be reported by those CCPs which are, or seek to be a "qualifying CCP" under relevant law

Value of pre-funded default resources (excluding initial and retained variation margin) held for each clearing service, in total and split byAs at Quarter End

Cash deposited at a central bank of issue of the currency concernedCash deposited at a central bank of issue of the currency concernedCash deposited at other central banksCash deposited at other central banksSecured cash deposited at commercial banks (including reverse repo)Secured cash deposited at commercial banks (including reverse repo)Unsecured cash deposited at commercial banksUnsecured cash deposited at commercial banksNon-Cash BondsNon-Cash BondsNon-Cash EquitiesNon-Cash Equities

Value of pre-funded default resources (excluding initial and retained variation margin) held for each clearing service, in total and split by

Cash Markets DerivativesMarket Value Pre-Haircut 161,155,249 n.a.Market Value Post-Haircut 161,155,249 n.a.Market Value Pre-Haircut n.a. n.a.Market Value Post-Haircut n.a. n.a.Market Value Pre-Haircut n.a. n.a.Market Value Post-Haircut n.a. n.a.Market Value Pre-Haircut 138,285,761 16,719,492Market Value Post-Haircut 131,018,306 16,170,069Market Value Pre-Haircut 160,331,853 22,310,204Market Value Post-Haircut 140,934,599 19,918,618Market Value Pre-Haircut n.a. n.a.Market Value Post-Haircut n.a. n.a.

DisclosuresQuarterly

Cover 1

Cover 1

Cover 1

Cover 1

Cover 2

Cover 2

Cover 2Cover 2

State whether the CCP is subject to a minimum “Cover 1” or “Cover 2” requirement in relation to total pre-funded default resources.

For each clearing service, state the number of business days within which the CCP assumes it will close out the default when calculating credit exposures that would potentially need to be covered by the default fund.

For each clearing service, what is the estimated largest aggregate stress loss (in excess of initial margin) that would be caused by the default of any single participant and its affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?

Report the number of business days, if any, on which the above amount exceeded actual pre-funded default resources (in excess of initial margin) and by how much.

For each clearing service, what is the estimated largest aggregate stress loss (in excess of initial margin) that would be caused by the default of any two participants and their affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?

Report the number of business days, if any, on which the above amount exceeded actual pre-funded default resources (in excess of initial margin) and by how much.


Cover 2 Cover 2

Peak Day in 12 Months 193,986,136 34,841,512

Average in 12 Months 29,203,328 10,019,957

# of Days 0 7

Amount of Excess 0 2,589,150

Peak Day in 12 Months 357,311,884 37,845,020

Average in 12 Months 40,171,482 12,077,912

# of Days 2 12 Amount of Excess 43,872,336 3,527,064

Equities: 2 business daysBonds: 7 business days

Options: 5 business daysFutures, Forwards, Equities and SLB: 2 business days

Assets eligible as initial margin, and the respective haircuts appliedUpdate as changes are made

See Lending Norms of SIX x-clear Ltd:xclear-

lendingnorms-151101-en.pdf

Assets Eligible for pre-funded participant contributions to the default resources, and the respective haircuts applied (if different from 5.1)Update as changes are made

See Lending Norms of SIX x-clear Ltd:xclear-

lendingnorms-151101-en.pdf

Assets Eligible for pre-funded participant contributions to the default resources, and the respective haircuts applied (if different from 5.1)

Results of testing of haircutsQuarterly

Haircut validation

99%

Bonds: 7 days

look-back period used for testing the haircuts 2 years

0

confidence interval targeted through the calculation of haircutsassumed holding/liquidation period for the assets accepted,

Average number of business days during the look-back period on which the fall in value during the assumed holding/liquidation period exceeded the haircut on an asset.

Quarterlyx-clear Zürich x-clear Norwegian Branch

House 0 0Client Gross Position 0 0Client Net Position 0 0Total If not Segregated 299,873,984 164,342,250

The initial margin figures include ‘base-line’ initial margin, concentration- and stress margin-add-ons as well as ‘retained MTM/VM’ (the latter only for margins of x-clear Norwegian branch).Further, collateral in form of cleared instruments (typically equities) are included in the margins for the derivatives segment.

For each clearing service, total initial margin required, split by house and client(or combined total if not segregated)

The initial margin figures include ‘base-line’ initial margin, concentration- and stress margin-add-ons as well as ‘retained MTM/VM’ (the latter only for margins of x-clear Norwegian branch).Further, collateral in form of cleared instruments (typically equities) are included in the margins for the derivatives segment.

For each clearing service, total initial margin held, split by house and clientQuarterly

Total (if not segregated) Cash deposited at a central bank of issue of the currency concernedTotal (if not segregated) Cash deposited at a central bank of issue of the currency concernedTotal (if not segregated) Cash deposited at other central banksTotal (if not segregated) Cash deposited at other central banksTotal (if not segregated) Cash deposited at commercial banksTotal (if not segregated) Cash deposited at commercial banksTotal (if not segregated) BondsTotal (if not segregated) BondsTotal (if not segregated) EquitiesTotal (if not segregated) EquitiesTotal (if not segregated) Non-Cash - OtherTotal (if not segregated) Non-Cash - OtherHouse Cash deposited at a central bank of issue of the currency concernedHouse Cash deposited at a central bank of issue of the currency concernedHouse Cash deposited at other central banksHouse Cash deposited at other central banksHouse Cash deposited at commercial banksHouse Cash deposited at commercial banksHouse BondsHouse BondsHouse Non-Cash - OtherHouse Non-Cash - OtherClient Cash deposited at a central bank of issue of the currency concernedClient Cash deposited at a central bank of issue of the currency concernedClient Cash deposited at other central banksClient Cash deposited at other central banksClient Cash deposited at commercial banksClient Cash deposited at commercial banksClient BondsClient BondsClient Non-Cash - OtherClient Non-Cash - OtherTotal (if not segregated) Cash deposited at a central bank of issue of the currency concernedTotal (if not segregated) Cash deposited at a central bank of issue of the currency concernedTotal (if not segregated) Cash deposited at other central banksTotal (if not segregated) Cash deposited at other central banksTotal (if not segregated) Cash deposited at commercial banksTotal (if not segregated) Cash deposited at commercial banksTotal (if not segregated) BondsTotal (if not segregated) BondsTotal (if not segregated) Non-Cash - OtherTotal (if not segregated) Non-Cash - Other

x-clear Zürich x-clear Norwegian BranchMarket Value Pre-Haircut 314,548,588Market Value Post-Haircut 314,548,588Market Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-Haircut 219,140,988Market Value Post-Haircut 201,333,761Market Value Pre-Haircut 614,959,238Market Value Post-Haircut 537,795,359Market Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-Haircut 56,201,847Market Value Post-Haircut 55,663,253Market Value Pre-Haircut 40,590,647Market Value Post-Haircut 38,279,256Market Value Pre-Haircut 21,058,237Market Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-Haircut 20,907,295Market Value Post-Haircut 20,907,295Market Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-Haircut 30,424,351Market Value Post-Haircut 22,469,631Market Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-HaircutMarket Value Pre-HaircutMarket Value Post-Haircut

Initial Margin rates on individual contracts, where the CCP sets such rates

ISIN ISIN Name / Ticker IM-rate x-clear ZürichAEDFXA0M6V00 DP WORLD/IA USD2 7.5AN8068571086 SCHLUMBERGER/NA USD0.01 7.5ANN4327C1220 HUNTER DOUGLAS/IA EUR0.24 3.5ANN4327C1303 HUNTER DOUGLAS/PREF SHS 12.5ARP290071876 COME/NA ARS10 27.5AT000000STR1 STRABAG SE/IA ON 3.5AT00000AMAG3 AMAG AUSTRIA M/IA ON 3.5AT00000FACC2 FACC/IA ON 7.5AT00000OESD0 OEST STAATS HLD/IA EUR1 12.5AT00000VIE62 FLUGHAFEN WIEN/IA ON 3.5AT0000603709 AGRANA/IA ON 7.5AT0000606306 RAIFF BANK INT/IA ON 7.5AT0000609607 PORR/IA ON 7.5AT0000609664 PORR/PARTIZIPSCH. 12.5AT0000613005 C-QUADRAT INVES/AKT. 7.5AT0000617907 ECO BUSINESS-IM/IA ON 12.5AT0000624705 BKS BANK/IA 3.5AT0000624739 BKS BANK/VORZ.AKT. OHNE STIMMREC 12.5AT0000625108 OBERBANK/IA ON 3.5AT0000625132 OBERBANK/VORZ.AKT. 3.5AT0000625504 BTV/IA ON 12.5AT0000625538 BTV/VORZ.AKT. OHNE STIMMRECHT 12.5AT0000640552 BURGENLAND HLDG/IA ON 12.5AT0000641352 CA IMM ANLAGEN/IA ON 7.5AT0000644505 LENZING/IA ON 7.5AT0000652011 ERSTE GROUP BK/IA ON 7.5AT0000652250 S IMMO/IA ON 7.5AT0000676903 RHI/IA ON 7.5AT0000690151 MASCHINENFAB HE/IA ON 12.5AT0000692306 TG HOLDING/IA ON 12.5AT0000697750 CONWERT IMMOINV/IA 3.5AT0000720008 TELEKOM AUSTRIA/IA ON 7.5AT0000723606 LINZ TEXTIL HOL/IA 12.5AT0000728209 JOS MANNER CO/IA ON 12.5AT0000730007 ANDRITZ/IA ON 7.5AT0000737705 BWT/IA ON 3.5AT0000741053 EVN/IA 3.5AT0000741301 WIENER PRIVATBK/IA ON 12.5AT0000743059 OMV/IA ON 7.5AT0000746409 VERBUND/IA ON 7.5AT0000747555 UPDATE SOFTWARE/IA ON 12.5AT0000758008 OTTAKR GETRAENK/IA ON 12.5AT0000758032 OTTAKR GETRAENK/VORZ.AKT. 12.5AT0000758305 PALFINGER/IA ON 7.5AT0000762406 FRAUENTHAL HOLD/IA ON 3.5AT0000764626 HTI HITECH IND/IA ON 17.5AT0000767306 RATH/IA ON 12.5AT0000779061 SCHLUMBERGER/IA 12.5AT0000779079 SCHLUMBERGER/IA 12.5AT0000785407 FABASOFT/IA ON 7.5AT0000785555 SEMPERIT/IA ON 7.5AT0000797303 STADLAUER MALZF/AKT. 12.5AT0000800800 PANKL RACING SY/IA ON 12.5AT0000808209 SW UMWELTTECHNI/IA EUR7.27 12.5

AT0000809058 IMMOFINANZ/IA ON 7.5AT0000815402 UBM DEVELOPMENT/AKT. 7.5AT0000816301 UNTERNEHMENS IN/IA ON 12.5AT0000818802 DO CO/IA 7.5AT0000820659 KTM INDUSTR/BR SH NPV 12.5AT0000821103 UNIQA INSUR GR/IA ON 7.5AT0000827209 WARIMPEX FIN-U./IA ON 7.5AT0000831706 WIENERBERGER AG/IA ON 12.5AT0000834007 WOLFORD/IA ON 3.5AT0000837307 ZUMTOBEL GROUP/IA ON 12.5AT0000908504 VIENNA INSUR GR/IA ON 7.5AT0000922554 ROSENBAUER INTE/IA ON 7.5AT0000937503 VOESTALPINE/IA ON 7.5AT0000938204 MAYR-MELNHOF KA/IA ON 3.5AT0000946652 SCHOELLER-BLECK/IA ON 7.5AT0000969985 AT S AUSTRIA/IA ON 7.5AT0000A00XX9 POLYTEC HOLDING/IA ON 7.5AT0000A00Y78 PETRO WELT TECH/AKT. 7.5AT0000A0E9W5 S T/IA ON 7.5AT0000A0VKN8 LIFE SETTLEM HO/GENUSSSCH. 12.5AT0000A0Z9G3 GURKTALER/IA ON 12.5AT0000A0Z9H1 GURKTALER/VORZ.AKT. 12.5AT0000A146S5 ETV MONT TECH/NA ON 12.5AT0000A18XM4 AMS/IA ON 17.5AT0000A1DBN3 S IMMO/GENUSSSCH. 2004-1.7.30 ZUM 12.5AT0000A1HRJ8 ATB AUSTRIA ANT/ANSPRUCH AUF BARA 12.5AT0000A1QDN1 HIRSCH SERVO/NA ON 12.5AT0000APOST4 OESTERREICH POS/IA ON 7.5AT000KAPSCH9 KAPSCH/IA ON 7.5AT00BUWOG001 BUWOG/IA ON 3.5AT0TEAKHOLZ8 TEAK HOLZ INT./IA ON 12.5AU00000088E2 88 ENERGY/NA ON 12.5AU000000AEE7 AURA ENERGY/NA ON 22.5AU000000AOQ0 AFRICAN PETRO /NA ON 17.5AU000000BKY0 BERKELEY ENERGI/SHS 12.5AU000000BSE5 BASE RES/NA ON 22.5AU000000CFU6 CERAMIC FUEL CE/NA ON 12.5AU000000CZA6 COAL OF AFRICA/NA ON 12.5AU000000FCR2 FERRUM CRESCENT/NA ON 12.5AU000000FND9 FINDERS RESOURC/NA ON 7.5AU000000GBP6 GLOBAL PETROLEU/NA ON 12.5AU000000JPR6 JUPITER ENERGY/NA ON 12.5AU000000MNC7 METMINCO/NA ON 12.5AU000000NYO7 NYOTA MINERALS/NA ON 12.5AU000000OEX8 OILEX/NA ON 12.5AU000000PDZ2 PRAIRIE MINING/NA ON 17.5AU000000RMP0 RED EMPEROR/NA ON 12.5AU000000RNT0 RENT.COM.AU/NA ON 22.5AU000000RRS3 RANGE RESOURCES/NA ON 12.5AU000000S320 SOUTH32/NA ON 7.5AU000000SO44 SALT LAKE POT/NA ON 12.5AU000000TOU2 TLOU ENERGY/NA ON 12.5AU000000WLF3 WOLF MINERALS/NA ON 12.5AU0000XINAC5 GLADSTONE PACIF/NA 12.5AU0000XINAJ0 SEEING MACHINES/NA 12.5AU0000XINAK8 INTL FERRO META/NA ON 12.5AU0000XINAS1 CAP-XX LD/NA ON 12.5

AU0000XINET1 MOSMAN OIL/NA ON 12.5AU0000XINEX3 IRONRIDGE RESOU/NA ON 12.5AU000A0CANX1 NORWOOD IMMUNOL/NA ON 12.5AU000XINEAB4 HARVEST MIN/SHS 12.5AU000XINEAC2 BOS GLOBAL/NA ON 12.5BBP8264S1054 SAGICOR FINAN/NA ON 12.5BE0003008019 BNB/NA ON 3.5BE0003020139 COFIMINES/NA ON 12.5BE0003084770 MONDELLO/NA ON 12.5BE0003215143 FLORIDIENNE/NA ON 7.5BE0003279784 ST-GOBAIN GLASS/NA ON 12.5BE0003282812 ASPHALTCO/ACT PREF 12.5BE0003395978 GENERALE SUCRER/NA 12.5BE0003417228 GENTSE HAVENBEH/PARTS DE FONDATE 12.5BE0003463685 SUCRAF/NA ON 12.5BE0003470755 SOLVAY/NA ON 7.5BE0003503118 PCB/NA ON 12.5BE0003545531 SOLVAC/NA ON 12.5BE0003555639 TESSENDERLO/NA ON 7.5BE0003565737 KBC GROUPE/NA ON 7.5BE0003571792 WOLUWE SHOPP C./CERT.IMM. 3.5BE0003573814 TER BEKE/NA ON 7.5BE0003575835 ROSIER/NA ON 12.5BE0003592038 CIE DU BOIS SAU/NA ON 3.5BE0003593044 COFINIMMO/NA ON 3.5BE0003599108 IMMOBEL/NA ON 7.5BE0003600112 WOLUWE EXTENSI./CERT.IMM. 7.5BE0003602134 MOURY CONSTRUCT/NA ON 3.5BE0003604155 LOTUS BAKERIES/NA ON 3.5BE0003605160 DISTRILAND/CERT.IMM. 12.5BE0003608198 KORTRIJK RING S/CERT.IMM. 12.5BE0003620318 PLACE STEGUDULE/CERT.IMM. 12.5BE0003625366 SAPEC/NA ON 7.5BE0003654655 SABCA/NA ON 12.5BE0003656676 RECTICEL/NA ON 7.5BE0003661726 AVENUE DE BEAUL/CERT.IMM. 3.5BE0003663748 SMARTPHOTO GR/NA ON 7.5BE0003674851 BASILIX/CERT.IMM. 27.5BE0003676872 ANTARES/CERT.IMM. 12.5BE0003678894 BEFIMMO/NA ON 3.5BE0003680916 FIN NEUFCOUR/NA ON 12.5BE0003696102 ACCENTIS/NA ON 7.5BE0003698124 DIEGEM KENNEDY/CERT.IMM. 7.5BE0003699130 GIMV/NA ON 3.5BE0003700144 HAMON/NA ON 12.5BE0003707214 RESILUX/NA ON 12.5BE0003717312 SOFINA/NA ON 3.5BE0003720340 RETAIL ESTATES/NA ON 3.5BE0003723377 BELUGA/NA ON 12.5BE0003724383 WERELDHAVE BE/NA ON 3.5BE0003730448 QUEST FOR GROWT/ACT 7.5BE0003731453 MIKO/NA ON 3.5BE0003734481 W.E.B./NA ON 3.5BE0003735496 ORANGE BE/NA ON 7.5BE0003739530 UCB/NA ON 7.5BE0003740546 IMMO GENK-ZUID/CERT.IMM. 7.5BE0003741551 RMG/NA ON 7.5

BE0003743573 SIOEN INDUSTRIE/NA ON 7.5BE0003746600 INTERVEST OF W/NA ON 7.5BE0003748622 IEP INVEST/NA ON 7.5BE0003752665 FOUNTAIN/NA ON 12.5BE0003754687 VAST RET BELG/NA ON 3.5BE0003755692 AGFA-GEVAERT/NA ON 12.5BE0003760742 HOME INVEST BEL/NA ON 3.5BE0003762763 DUVEL MOORTGAT/NA ON 12.5BE0003763779 WDP/NA ON 3.5BE0003764785 ACKERMANS V HAA/NA ON 7.5BE0003765790 GREENYARD/NA ON 7.5BE0003766806 IBA/NA ON 7.5BE0003770840 LEASINVEST REAL/NA ON 7.5BE0003773877 SOFTIMAT/NA ON 7.5BE0003783975 CHEMINS FER CHI/NA ON 12.5BE0003786036 CONNECT GROUP/NA ON 17.5BE0003789063 DECEUNINCK/NA ON 3.5BE0003790079 BARCO/NA ON 3.5BE0003797140 GBL/NA ON 7.5BE0003798155 SPADEL/NA ON 3.5BE0003804219 THINK-MEDIA/NA ON 12.5BE0003806230 ZENITEL/NA ON 12.5BE0003807246 PICANOL/NA ON 7.5BE0003808251 EXMAR/NA ON 7.5BE0003809267 ZENOBE GRAMME/CERT.IMM. 12.5BE0003810273 PROXIMUS/ACT 3.5BE0003816338 EURONAV/NA ON 7.5BE0003818359 GALAPAGOS/NA ON 12.5BE0003820371 EVS BROADCAST E/NA ON 7.5BE0003822393 ELIA SYSTEM OP./NA ON 3.5BE0003823409 FINANCIERE TUBI/NA ON 7.5BE0003825420 CAMPINE/NA ON 12.5BE0003826436 TELENET GROUP H/NA ON 7.5BE0003827442 ZETES INDUSTRIE/NA ON 7.5BE0003836534 OPTION/NA ON 12.5BE0003837540 ATENOR/NA ON 3.5BE0003839561 VAN DE VELDE/NA ON 12.5BE0003844611 MDXH/NA ON 12.5BE0003846632 THROMBOGENICS/NA ON 12.5BE0003851681 AEDIFICA/NA ON 3.5BE0003853703 MONTEA/NA ON 3.5BE0003856730 ASCENCIO/NA ON 3.5BE0003858751 JENSEN-GROUP/NA ON 3.5BE0003864817 TIGENIX/NA ON 12.5BE0003867844 KBC ANCORA/NA ON 7.5BE0003868859 ALFACAM GROUP/NA ON 12.5BE0003870871 BANIMMO/NA ON 7.5BE0003874915 FAGRON/NA ON 22.5BE0003875920 ARPADIS GROUP/NA ON 12.5BE0003877942 ABLYNX/NA ON 12.5BE0003878957 VGP/NA ON 12.5BE0003880979 KEYWARE TECH/NA ON 12.5BE0003881019 FIXINOX/NA ON 12.5BE0003883031 CFE/NA ON 7.5BE0003884047 UMICORE/NA ON 7.5BE0003887073 HANZ.CAR.SHIP./NA EUR1000 12.5BE0003893139 IMMO MOURY/NA ON 3.5

BE0003898187 SIPEF/NA ON 3.5BE0003899193 REALDOLMEN/NA ON 7.5BE0010026350 SUCRAF/PARTS BENEF. 12.5BE0010125376 DGA/NA ON 12.5BE0010381029 CHARB. DU BONNI/IA ON 12.5BE0010566900 CENT.SOC.BRUXEL/NA ON 12.5BE0011253011 IMMO FOND'ROY/NA ON 12.5BE0011254027 IMMO FOND'ROY/NA ON 12.5BE0011520740 IPM PRINTING/NA ON 12.5BE0012378593 SVK/NA ON 12.5BE0012652427 BRUXELLOISE HAB/NA ON 12.5BE0013546636 LENDIT GOSS TUR/ACT. 12.5BE0015534143 EURAL PARKING/NA ON 12.5BE0017609521 UTEXBEL/NA ON 12.5BE0020575115 BELRECA/NA ON 12.5BE0020918638 BOUWONDERN.VOOR/NA ON 12.5BE0022780820 VDK SPAARBANK/NA ON 12.5BE0024825904 DEFI/NA ON 12.5BE0026342551 DIERKUNDE ANTWE/NA ON 12.5BE0036367895 DIERKUNDE ANTWE/NA ON 12.5BE0049483135 EUPEN FINANZ/NA ON 12.5BE0057677594 GROTT.HAN ROCHE/NA ON 12.5BE0101619600 FLERONHASSELT/CERT.IMM. 12.5BE0123251614 STE ROY COURSES/NA ON 12.5BE0129618261 T.M.S./NA ON 12.5BE0129984044 VEEMARKT ST-MIC/NA ON 12.5BE0157892739 PANTECH/NA ON 12.5BE0165385973 MELEXIS/NA ON 7.5BE0172505399 BNP PAR. FORT./NA ON 12.5BE0941243520 ALIAXIS/NA ON 12.5BE0941244536 ETEX/NA ON 12.5BE0942448938 OPTIMCO/NA ON 12.5BE0944264663 SIBELCO/NA ON 12.5BE0945246784 FIMMOBEL/NA ON 12.5BE0945331669 ARKIMEDES-FONDS/NA ON 12.5BE0946620946 DALENYS/ACT 7.5BE0947790037 VOLKSVERMOGEN/NA ON 12.5BE0974256852 COLRUYT/NA ON 3.5BE0974258874 BEKAERT/NA ON 7.5BE0974259880 D'IETEREN/NA ON 7.5BE0974260896 CELYAD/NA ON 12.5BE0974263924 TEXAF/NA ON 3.5BE0974264930 AGEAS/NA ON 7.5BE0974265945 FLUXYS BELGIUM/NA ON 3.5BE0974266950 ECONOCOM GROUP/NA ON 7.5BE0974268972 BPOST/NA ON 7.5BE0974269012 ADC SIIC/NA ON 12.5BE0974271034 VIOHALCO/NA 12.5BE0974272040 QRF/NA ON 3.5BE0974273055 CP INVEST/NA ON 3.5BE0974274061 KINEPOLIS GROUP/NA ON 7.5BE0974275076 4ENERGY INVEST/NA 12.5BE0974276082 ONTEX GROUP/NA ON 7.5BE0974278104 ABO-GROUP/NA 27.5BE0974280126 BONE THERAPEUT/NA ON 7.5BE0974281132 BIOCARTIS GROUP/NA ON 7.5BE0974282148 TINC/NA ON 3.5

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CH0032912732 UBS SLI R/ANTEILE KLASSE -(CHF) A-D 3.5CH0032991348 BC JURA/ACT. 7.5CH0033023216 C FR FIN LOCAL/3.5 OB 20190828 V 1CH0033037679 COOP RABOBANK/3.5 EURO MEDIUM-T 1CH0033361673 U-BLOX HLDG/NA CHF0.9 12.5CH0033470748 PFANDBRIEFZENTR/3.25 SCHWEIZER PF 1CH0033585271 GRANDE DIXENCE/3.375 2007-27.9.17 1CH0033596476 EIB/3.375 OB 20271015 V 2.3CH0033624211 PROCIMMO SW COM/ANTEILE 3.5CH0033813293 LALIQUE GROUP/NA CHF0.2 12.5CH0033902419 RATP/3.25 EURO MEDIUM-TERM NOTES 1CH0033961746 PFANDBRIEFBANK/3.375 SCHWEIZER PF 1CH0034389707 ALPIQ HLDG/NA CHF10 7.5CH0034476959 ENR RUSSIA INVT/IA CHF12.4 27.5CH0034493137 CDC/3.25 EURO MEDIUM-TERM NOTE 2 1CH0034995214 PATRIMON SW RE/ANTEILE 3.5CH0035031340 REGION ILE DE F/3.25 EURO MEDIUM-TE 1CH0035089793 FILMCONFECT/IA CHF0.01 27.5CH0035613691 PFANDBRIEFBANK/3.25 SCHWEIZER PFA 1CH0035678728 BASELLANDSCHAFT/3 2007-14.12.2017 1CH0035789210 UBS /4.125 EMTN 20171227 N 1CH0036702964 KT BASEL-STADT/3.25 OB 20200131 1CH0037204515 PFANDBRIEFZENTR/3 SCHWEIZER PFAND 1CH0037430946 SWC(CH)RE IFCA/NAMEN-ANTEILE -FA C 3.5CH0037502884 CBC SCHWEIZ/NA CHF10 27.5CH0037972392 CS NY/4.875 EMTN 20180314 N 1CH0038285679 ORASCOM DEVL/NA CHF23.2 7.5CH0038388911 SULZER AG/NA CHF0.01 7.5CH0038389992 BB BIOTECH/NA CHF0.20 7.5CH0038459415 NOVARTIS/NA OST CHF0.5 12.5CH0038539232 BIG/3.25 EURO MEDIUM-TERM NOTES 2 1CH0038863350 NESTLE/NA CHF0.1 3.5CH0038903107 MOKU GOLDMINES/IA CHF0.02 12.5CH0039077687 POLEN/3.625 EMTN 20170421 V 1CH0039139404 STADT ZUERICH/2.875 OB 20210421 1CH0039165268 EIB/3.25 OB 20180430 V 1CH0039193450 KOMMUNEKREDIT/3.25 EURO MEDIUM 1CH0039266512 ENTWBK EUROPARA/3.375 EMTN 20201 2.3CH0039310377 SWISS LIFE HLDG/NA OST CHF17 12.5CH0039415010 REALSTONE SW PR/UNITS 3.5CH0039480675 HESSEN/3.25 2008-22.5.17 1CH0039542854 MCH GROUP/NA CHF10 3.5CH0039621724 PROV QUEBEC/3.375 EURO MEDIUM-TE 1CH0039651184 ENERGIEDIENST H/NA CHF0.1 3.5CH0039821084 METALL ZUG/NA CHF25 3.5CH0039852493 EMISSIONSZ EGW/3.5 OB 20180518 V 1CH0042899630 PFANDBRIEFZENTR/3.5 SCHWEIZER PFA 1CH0043140794 CDC/3.625 EMTN 20180416 V 1CH0043174397 COOP RABOBANK/FIX.AND FLOATING RA 1CH0043238366 ARYZTA/NA CHF0.02 27.5CH0043526547 GLOBAL POWER/IA CHF0.01 12.5CH0043595203 PROV ONTARIO/3.75 EURO MEDIUM-TE 1CH0043918413 STADT ZUERICH/3.5 2008-14.8.20 1CH0044004684 AARGAUISCHE KB/3.5 2008-14.8.17 1CH0044781141 JB PHYSGD/ANTEILE KLASSE -A- 3.5CH0044781174 JB PHYSGD/ANTEILE KLASSE -A- (EUR) 3.5CH0044781232 JB PHYSGD/ANTEILE KLASSE -A- (CHF) 3.5

CH0044781257 JB PHYSGD/ANTEILE KLASSE -AX- 3.5CH0044821699 JB PHYSGD/ANTEILE KLASSE -AX- (EUR) 3.5CH0044821731 JB PHYSGD/ANTEILE KLASSE -AX- (CHF) 3.5CH0045259980 PFANDBRIEFZENTR/3.125 SCHWEIZER P 1CH0045490817 GENERAL ELECTRI/4.5 EURO MEDIUM-T 1CH0046229917 ALPIQ HLDG/3.875 OB 20181030 V S574 2.3CH0046254477 VILLE DE PARIS/3.25 EURO MEDIUM-TER 1CH0046354608 RATP/3.25 EURO MEDIUM-TERM NOTES 1CH0047533523 ZKB GOLD ETF/ANTEILE KLASSE -AA (EU 3.5CH0047533549 ZKB GOLD ETF/ANTEILE KLASSE -AA (US 3.5CH0048265513 TRANSOCEAN/NA CHF0.10 12.5CH0048758525 BRIT COLUMBIA/2.875 EURO MEDIUM-T 1CH0048854746 CASTLE PRIVATE/NA CHF5 3.5CH0049463091 KOMMUNALBANKEN /2.875 2009-9.5.17 1CH0049484618 PROV QUEBEC/3.875 EURO MEDIUM-TE 1CH0049668624 STADT BERN/2.625 OB 20190130 1CH0049836759 STADT ZUERICH/2.75 OB 20190220 1CH0049874594 PFANDBRIEFZENTR/2.625 SCHWEIZER P 1CH0100128351 EIB/3 2009-14.4.21 1CH0100128385 WELTBANK/2.75 2009-7.5.19 1CH0100185955 GATEGROUP HLDG/NA CHF5 7.5CH0100191136 RELIEF THER HLG/NA CHF0.01 27.5CH0100262069 KOMMUNALFIN/3 EURO MEDIUM-TERM 1CH0100345682 BRIT COLUMBIA/2.875 EURO MEDIUM-T 1CH0100484697 STADT BIEL/2.625 OB 20190412 1CH0100524187 KT BERN/2.625 OB 20200424 1CH0100525382 CADES/3 2009-21.4.21 1CH0100683017 INTAM ENTWICKL /2.75 EURO MEDIUM- 1CH0100837282 KARDEX/NA CHF7.35 7.5CH0101032537 PROV ONTARIO/3.375 EURO MEDIUM-T 1CH0101526678 AFR.ENTWICKLG B/2.625 OB 20190325 1CH0101589353 COOP RABOBANK/3.625 EURO MEDIUM 1CH0101768064 SNCF MOBILITES/2.75 2009-11.06.18 1CH0102307383 EDC/2.625 EURO MEDIUM-TERM NOTES 1CH0102356745 EMISSIONSZ EGW/2.625 OB 20170626 1CH0102484968 JULIUS BAER GRP/NA CHF0.02 7.5CH0102530786 ISHRS SWDGB 1-3/ANTEILE 3.5CH0102659627 GAM HLDG/NA CHF0.05 7.5CH0103078231 SNCF RESEAU/3 EURO MEDIUM-TERM N 1CH0103164577 BKW/3.375 2009-29.7.19 1CH0103165012 KT TESSIN/2.5 2009-4.11.21 1CH0103165020 ALPIQ HLDG/3 2009-25.11.19 3.8CH0103165046 EUROFIMA BASEL/2.125 2009-10.11.17 1CH0103326762 ZKB GOLD ETF/ANTEILE KLASSE -AAH- ( 3.5CH0103447766 JB PHYSGD/ANTEILE KLASSE -A- (GBP) 3.5CH0103447790 JB PHYSGD/ANTEILE KLASSE -AX- GBP 3.5CH0104007577 FIN FONCIER/2.875 EURO MEDIUM-TER 1CH0104136236 ISHRS GOLD (CH)/ANTEILE KLASSE -A- 3.5CH0104136285 ISHS GD CHF HDG/ANTEILE KLASSE -A- 3.5CH0104136319 ISHS GD EUR HDG/ANTEILE KLASSE -A- 3.5CH0104493058 STADT ZUERICH/2.375 2009-10.9.18 1CH0104493298 ZKB GOLD ETF/ANTEILE KLASSE -AA (GB 3.5CH0104493306 ZKB GOLD ETF/ANTEILE KLASSE -AAH (G 3.5CH0104691628 SWISSCOM/3.25 2009-14.09.18 1CH0104760001 LUZERNER KB/2.375 2009-10.9.18 1CH0105134891 PFANDBRIEFZENTR/2.125 SCHWEIZER P 1CH0105134925 PFANDBRIEFZENTR/2.625 SCHWEIZER P 1

CH0105202995 LAFARGEHOLCIM/4 EURO MEDIUM TER 1CH0105335498 ICO/2.25 EURO MEDIUM-TERM NOTES 2 1CH0105376641 BNG/2.5 EURO MEDIUM-TERM NOTES 2 1CH0105994203 C FR FIN LOCAL/2.5 2009-2.5.18 1CH0105994401 UBS SXI RE FD/ANTEILE KLASSE -(CHF) 3.5CH0105995762 VORARLB LHYBK/2.625 2009-30.10.19 O 1CH0106027128 UBS GLD CHF HGD/ANTEILE KLASSE -(CH 3.5CH0106027144 UBS GLD EUR HDG/ANTEILE KLASSE -(EU 3.5CH0106027193 UBS ETF GOLD/ANTEILE KLASSE -(USD) 3.5CH0106220491 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106322123 EKSPORTFINANS A/2.5 EURO MEDIUM-T 1CH0106337592 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106337634 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106337691 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106337758 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106338160 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106338178 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106338269 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106338327 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106342659 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106342949 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343095 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343160 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343228 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343368 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343442 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343475 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343566 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106343715 UBS LONDON/NOTES 2010-OPEN END O 12.5CH0106344374 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106344630 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106345488 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106345793 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106346015 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106346544 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106346650 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106346700 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106346734 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106346825 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106346858 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106346908 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106346957 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106347005 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106347062 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106348060 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106350058 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106364364 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106364380 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106364422 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106364471 UBS LONDON/NOTES 2010-OPEN END O 12.5CH0106364661 UBS LONDON/NOTES 2010-OPEN END O 12.5CH0106364869 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106365205 UBS LONDON/NOTES 2010-OPEN END O 12.5CH0106365296 UBS LONDON/NOTES 2010-OPEN END O 12.5CH0106365593 UBS LONDON/NOTES 2010-OPEN END O 12.5CH0106365767 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106365841 UBS LONDON/NOTES 2010-OPEN END O 12.5

CH0106366229 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106370825 UBS LONDON/NOTES 2009-OPEN END O 12.5CH0106379933 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106381624 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106381715 UBS LONDON/ETC NOTES 2009-OPEN E 12.5CH0106383778 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106383919 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106384024 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106384222 UBS LONDON/ETC NOTES 2010-OPEN E 12.5CH0106385914 UBS LONDON/INDEX LINKED NOTE 2009 12.5CH0106405845 JB PHYS SILVER/ANTEILE KLASSE A 7.5CH0106405860 JB PHYS SILVER/ANTEILE KLASSE -A EU 3.5CH0106405894 JB PHYS SILVER/ANTEILE KLASSE -A CH 7.5CH0106405928 JB PHYS SILVER/ANTEILE KLASSE -A GB 7.5CH0106405951 JB PHYS SILVER/ANTEILE KLASSE -AX- 7.5CH0106406181 JB PHYS SILVER/ANTEILE KLASSE -AX E 7.5CH0106406199 JB PHYS SILVER/ANTEILE KLASSE -AX C 7.5CH0106406207 JB PHYS SILVER/ANTEILE KLASSE -AX G 7.5CH0106406215 JB PHYS PLATIN/ANTEILE KLASSE -A- 3.5CH0106406231 JB PHYS PLATIN/ANTEILE KLASSE -A EU 3.5CH0106406280 JB PHYS PLATIN/ANTEILE KLASSE -A CH 3.5CH0106407049 JB PHYS PLATIN/ANTEILE KLASSE -A GB 3.5CH0106407098 JB PHYS PLATIN/ANTEILE KLASSE -AX- 3.5CH0106407155 JB PHYS PLATIN/ANTEILE KLASSE -AX E 3.5CH0106407171 JB PHYS PLATIN/ANTEILE KLASSE -AX C 3.5CH0106407197 JB PHYS PLATIN/ANTEILE KLASSE -AX G 3.5CH0106407205 JB PHYS PALLAD/ANTEILE KLASSE -A- 7.5CH0106407213 JB PHYS PALLAD/ANTEILE KLASSE -A EU 7.5CH0106407239 JB PHYS PALLAD/ANTEILE KLASSE -A CH 12.5CH0106407254 JB PHYS PALLAD/ANTEILE KLASSE -A GB 7.5CH0106407262 JB PHYS PALLAD/ANTEILE KLASSE -AX- 7.5CH0106407312 JB PHYS PALLAD/ANTEILE KLASSE -AX E 7.5CH0106407320 JB PHYS PALLAD/ANTEILE KLASSE -AX C 7.5CH0106407353 JB PHYS PALLAD/ANTEILE KLASSE -AX G 7.5CH0106443218 UBS LONDON/INDEX LINKED NOTES 200 12.5CH0106466847 UBS LONDON/INDEX-LINKED NOTES 200 12.5CH0106473702 UBS LONDON/INDEX LINKED NOTES 200 12.5CH0106596916 CWTH BK AUSTRAL/3.00 EURO MEDIUM 1CH0106602714 PFANDBRIEFZENTR/2.375 SCHWEIZER P 1CH0106680777 C FR FIN LOCAL/2.625 2009-12.8.19 1CH0106848440 KT GENF/2.5 2009-27.11.19 1CH0106942508 SNCF MOBILITES/2.375 EURO MEDIUM- 1CH0106962753 EMISSIONSZENTR /2.5 2009-27.11.19 S 1CH0107012129 KT BERN/2.5 2009-26.11.21 1CH0107130822 BALOISE HLDG/1.5 2009-17.11.16 WAN 1CH0107134683 EIB/2.625 2010-11.2.25 1CH0107134717 KRED WIEDERAUFB/2.25 2010-12.8.20 1CH0107212968 PROV ONTARIO/2.5 EURO MEDIUM-TER 1CH0107559392 PROV QUEBEC/2.875 EURO MEDIUM-TE 1CH0107685445 BASELLANDSCHAFT/2.5 2009-16.12.19 1CH0107746130 WESTPAC BANKING/3.125 EURO MEDIU 1CH0107991892 LUZERNER KB/2.5 2010-07.01.22 1CH0108071116 ZUGER KB/2.125 2009-22.12.17 1CH0108503795 MEYER BURGER TE/NAMEN-AKT 12.5CH0108734846 ZUERCHER KB/2.125 2010-5.2.18 SERIE 1CH0108753523 FANTASTIC COMP/IA CHF0.01 12.5CH0108785608 PFANDBRIEFBANK/2.375 SCHWEIZER PF 1

CH0108792059 NWB/2 EURO MEDIUM-TERM NOTES 201 1CH0109141371 KOMMUNALFIN/2.25 EURO MEDIUM-TE 1CH0109152725 REPOWER/2.375 2010-20.7.22 2.3CH0109152741 STADT ZUERICH/2.125 2010-10.6.20 1CH0109152758 STADT BERN/2.5 2010-1.4.25 2.3CH0109155827 AFD/2.625 EURO MEDIUM-TERM NOTE 1CH0109156262 ASIA ENTWICKLUN/2.75 2010-12.2.30 2.3CH0109361813 DANSKE BANK/2.25 EURO MEDIUM-TER 1CH0109370178 KOMMUNEKREDIT/2.25 EURO MEDIUM 1CH0109411238 BNG/2.375 EURO MEDIUM-TERM NOTES 1CH0109497690 STADT WINTERTHU/2.75 2010-28.1.30 2.3CH0109559580 PFANDBRIEFZENTR/2 SCHWEIZER PFAND 1CH0109559598 PFANDBRIEFZENTR/2.5 SCHWEIZER PFA 1CH0109674470 AXPO HLDG/2.625 2010-26.2.20 1CH0109674488 AXPO HLDG/3.125 2010-26.2.25 3.8CH0109736824 CIF EUROMORTGAG/2.375 2010-5.3.19 1CH0109889128 AKADEMISKA HUS/2.125 EURO MEDIUM 1CH0109967858 CMCIOILSFUSADIS/ANTEILE 7.5CH0109967908 CMCIOILSFEUADIS/ANTEILE 7.5CH0109987112 NWB/2.25 EURO MEDIUM-TERM NOTES 1CH0110118574 KW LINTHLIMMERN/2.75 2010-10.3.22 2.3CH0110240600 ARBONIA/NA CHF4.2 7.5CH0110303119 LECLANCHE/NA CHF1.5 7.5CH0110335871 NIEDEROESTERREI/2.125 2010-15.08.17 1CH0110346225 EIB/2.125 2010-22.1.2020 1CH0110411565 WELTBANK/2.5 EURO MEDIUM-TERM N 2.3CH0110442859 CREDIT SUISSE/3.375 2010-16.3.20 2.3CH0110493225 KT BERN/2.375 2010-25.3.22 1CH0110680714 KERNKW LEIBSTAD/2.5 2010-29.3.19 2.3CH0110741086 EIB/1.75 2010-21.4.17 1CH0110798540 KOMMUNALFIN/1.75 2010-26.5.17 1CH0110798631 UBS LONDON/ETC NOTES 2010-NO FIXE 12.5CH0110814065 BC VAUDOISE/2.5 2010-25.3.20 1CH0110814214 UBS LONDON/ETC NOTES 2010-NO FIXE 12.5CH0110814404 UBS LONDON/ETC NOTES 2010-NO FIXE 12.5CH0110819445 DNB BOLIGKREDIT/2.25 EURO MEDIUM- 1CH0110822324 UBS LONDON/ETC NOTES 2010-NO FIXE 12.5CH0110823181 UBS LONDON/ETC NOTES 2010-NO FIXE 12.5CH0110825160 UBS LONDON/ETC NOTES 2010-NO FIXE 12.5CH0110904098 NORDRHEIN-WESTF/2.5 EURO MEDIUM- 2.3CH0110994776 KOMMUNALFIN/2.5 EURO MEDIUM-TE 2.3CH0111007206 PFANDBRIEFBANK/2.25 SCHWEIZER PFA 1CH0111008048 PFANDBRIEFBANK/2.625 SCHWEIZER PF 2.3CH0111056666 KRED WIEDERAUFB/2.00 2010-1.10.19 1CH0111174576 EDF/2.25 EMTN 20170929 V 1CH0111191133 KT GENF/2.5 2010-6.4.22 1CH0111297443 HSBC SFH/2.375 EMTN 20180907 V 1CH0111677362 ORIOR/NA CHF4 3.5CH0111762537 UBS ETF SMIM/ANTEILE KLASSE -(CHF) 3.5CH0111825805 PFANDBRIEFZENTR/1.75 SCHWEIZER PF 3.8CH0111826514 BNG/2.75 EURO MEDIUM-TERM NOTES 2.3CH0111862063 C FR FIN LOCAL/2.875 2010-23.4.30 2.3CH0111865611 BRIT COLUMBIA/2.5 EURO MEDIUM-TE 2.3CH0111878457 NWB/2.5 2010-23.4.30 2.3CH0111999816 SCHWEIZ EIDG/2 2010-28.04.21 1CH0112086951 BNG/2.125 EURO MEDIUM-TERM NOTE 1CH0112120503 EIB/2.625 2010-23.4.30 2.3

CH0112120537 LGT FINANCE/2.5 2010-12.5.17 1CH0112138794 PROV ONTARIO/2.375 2010-7.5.2020 1CH0112262933 EBN/2.125 EURO MEDIUM-TERM NOTES 1CH0112263006 REGION ILE DE F/1.625 EURO MEDIUM-T 1CH0112272783 ZUERCHER KB/2.125 2010-12.3.20 SERI 1CH0112403875 ST.GALLER KB/2.25 2010-11.5.20 1CH0112933483 KT BERN/2.25 2010-31.5.23 1CH0112933756 KT BASELSTADT/1.875 2010-31.5.19 1CH0113480161 KT GENF/2.125 2010-15.6.2020 1CH0113678400 BASELLANDSCHAFT/1.75 2010-25.6.19 1CH0113872284 CIBC/1.75 EURO MEDIUM-TERM NOTES 1CH0113982562 ZUERCHER KB/2.125 2010-29.6.22 SERI 1CH0113987033 CREDIT SUISSE/2.375 EMTN 20170621 V 1CH0114260257 PFANDBRIEFBANK/2.125 SCHWEIZER PF 1CH0114261446 LUZERNER KB/1.875 2010-30.6.20 1CH0114511428 NATIONAL AUS BK/2.25 EURO MEDIUM- 1CH0114634493 FIN FONCIER/2 EURO MEDIUM-TERM N 1CH0114695379 SWISSCOM/2.625 2010-31.8.22 1CH0114695403 KT BERN/1.75 2010-24.9.25 2.3CH0114695429 KT GENF/2.125 2010-27.10.28 2.3CH0114839266 KW HINTERRHEIN/2.375 2010-28.7.22 2.3CH0115013226 NWB/1.875 EURO MEDIUM-TERM NOTES 1CH0115108109 CIF EUROMORTGAG/2 2010-30.1.19 1CH0115457530 FIN FONCIER/2.625 2010-23.8.30 3.8CH0115457670 COOP RABOBANK/2 EURO MEDIUM-TER 1CH0115595487 EIB/2 EURO MEDIUM-TERM NOTES 2010 1CH0115967389 PFANDBRIEFBANK/1.875 SCHWEIZER PF 1CH0115967397 PFANDBRIEFBANK/2.25 SCHWEIZER PFA 2.3CH0116014934 UBS ETF PLTN/ANTEILE KLASSE -(USD) 3.5CH0116015352 CMCIOILSFCHADIS/ANTEILE 7.5CH0116103448 BNG/1.75 EURO MEDIUM-TERM NOTES 1CH0116103489 CA HOME LOAN/1.75 EURO MEDIUM-T 1CH0116306868 ZUERCHER KB/2 2010-8.9.25 SERIE 114 2.3CH0116403517 DNB BOLIGKREDIT/2 EURO MEDIUM-TE 3.8CH0116492213 THURGAUER KB/1.25 2010-15.9.17 1CH0116706752 PFANDBRIEFZENTR/1.5 SCHWEIZER PFA 1CH0116712636 RAIFFEISEN SCHW/1.375 2010-21.9.17 1CH0116712644 RAIFFEISEN SCHW/2 2010-21.9.23 2.3CH0117076155 PFANDBRIEFBANK/1.375 SCHWEIZER PF 1CH0117076379 PFANDBRIEFBANK/1.875 SCHWEIZER PF 3.8CH0117332814 COOPGRUPPE GEN/2 2010-29.9.17 1CH0117605458 ZUERICH VERS GE/NOTES 2011-PERPETU 1CH0117606472 MIGROSGENBUND/2 2011-3.5.17 1CH0117615143 ZUGER KB/1.875 2010-14.10.2020 1CH0117615374 FIN FONCIER/2.25 EURO MEDIUM-TERM 1CH0117683794 BALOISE HLDG/2.875 2010-14.10.20 1CH0117843596 BKW/1.875 2010-15.10.18 1CH0117843745 BKW/2.5 2010-15.10.2030 3.8CH0118095667 BASLER KB/1.875 2010-26.10.26 2.3CH0118109773 BASLER KB/1.5 2010-26.10.18 1CH0118173803 PFANDBRIEFBANK/1.375 SCHWEIZER PF 1CH0118173829 PFANDBRIEFBANK/1.625 SCHWEIZER PF 1CH0118480059 GALENICA/2.5 2010-27.10.17 1CH0118530366 PEACH PROPERTY/NA CHF1 3.5CH0118531521 EMISSIONSZENTR /1.75 2010-4.11.20 S 1CH0118532735 AFD/1.875 EURO MEDIUM-TERM NOTE 2.3CH0118532776 SWEDBANK MORTGA/1.625 EURO MEDI 1

CH0118532834 COOP RABOBANK/2 EMTN 20180131 V 1CH0118596888 BNG/1.5 2010-3.11.17 1CH0118607909 BASELLANDSCHAFT/1.75 2010-9.11.20 1CH0118668257 BNG/2.125 2010-9.11.29 2.3CH0118768057 CS REAL FD HOSP/ANTEILE 3.5CH0118848982 BNG/2 EURO MEDIUM-TERM NOTES 201 2.3CH0118882353 NORWEGIAN RAILW/1.375 2010-15.11.1 1CH0118886735 SNCF RESEAU/2 EURO MEDIUM-TERM N 2.3CH0118923876 SBI DM GV 1-3/ANTEILE KLASSE -(CHF) 3.5CH0118923892 SBI DM GV 3-7/ANTEILE KLASSE -(CHF) 3.5CH0118923918 SBI DM GV 7-15/ANTEILE KLASSE -(CHF 3.5CH0118929022 UBS ETF PLLDM/ANTEILE KLASSE -(USD) 7.5CH0118929048 UBS SILVER/ANTEILE KLASSE -(USD) A- 7.5CH0119015060 PFANDBRIEFZENTR/1.75 SCHWEIZER PF 1CH0119015086 PFANDBRIEFZENTR/2 SCHWEIZER PFAND 1CH0119153663 BASLER KB/2 2010-15.11.32 3.8CH0119468368 KT TESSIN/2.125 2010-24.11.34 3.8CH0119533278 CREDIT SUISSE/3.125 EURO MEDIUM-TE 2.3CH0119542634 EIB/2.00 2010-30.11.35 3.8CH0119729793 ZUERCHER KB/2 2010-30.11.34 SERIE 1 3.8CH0119858659 KT AARGAU/2 2010-15.12.28 2.3CH0119983077 LUZERNER KB/1.875 2010-26.11.35 3.8CH0120057804 ZUGER KB/1.75 2010-3.12.19 1CH0120096398 DEUTSCHE BAHN F/1.75 2010-3.6.20 1CH0120168486 PFANDBRIEFBANK/2.125 SCHWEIZER PF 2.3CH0120381592 LUZERNER KB/2 2010-6.12.33 3.8CH0120401325 ING/1.875 2010-29.08.18 1CH0120408122 ZUERCHER KB/2 2010-14.12.40 SERIE 1 5.4CH0120736852 LUZERNER KB/2 2010-27.12.39 5.4CH0120743346 HSBC SFH/2.00 EURO MEDIUM-TERM N 1CH0120847899 ST.GALLER KB/2.125 2010-27.12.40 5.4CH0121668229 GLOBAL HEALTH G/IA CHF0.1 12.5CH0122456756 ZUERCHER KB/2 2011-21.1.21 SERIE 11 1CH0122488411 GRANDE DIXENCE/2.375 2011-10.6.21 3.8CH0122512145 RAIFFEISEN SCHW/2.125 2011-4.2.19 1CH0122512152 RAIFFEISEN SCHW/2.625 2011-4.2.26 2.3CH0122526608 ENAG ENERGIEFIN/2.625 2011-31.1.23 2.3CH0122787564 PFANDBRIEFBANK/2.125 SCHWEIZER PF 1CH0122787606 PFANDBRIEFBANK/2.375 SCHWEIZER PF 1CH0122811554 DANSKE BANK/2.25 EURO MEDIUM-TER 1CH0122951673 BNPP HM LN SFH/2.375 EMTN 2020100 1CH0122955377 DNB BOLIGKREDIT/2.25 2011-25.1.21 1CH0122956177 KOMMUNALFIN/1.625 EURO MEDIUM- 1CH0123069038 SWEDBANK MORTGA/2.125 EURO MEDI 1CH0123360254 EKSPORTFINANS A/2.25 EURO MEDIUM- 1CH0123385756 SNCF MOBILITES/2.25 EURO MEDIUM-T 1CH0123385772 NORDEA MTG BK/2.375 EURO MEDIUM 3.8CH0123423276 STADT ZUERICH/2.375 2011-21.2.24 1CH0123555424 ABN AMRO/2.25 EURO MEDIUM-TERM 1CH0123575091 MATERIELLSEL/MATERIELLSEL/2.125 EM 1CH0123590991 KT GENF/2.25 2011-22.2.21 1CH0123918424 AKADEMISKA HUS/2.25 EURO MEDIUM- 1CH0124071959 BNG/2.25 EURO MEDIUM-TERM NOTES 1CH0124131001 THURGAUER KB/2.25 2011-25.2.21 1CH0124138816 PFANDBRIEFBANK/2 SCHWEIZER PFANDB 1CH0124138840 PFANDBRIEFBANK/2.5 SCHWEIZER PFAN 2.3CH0124205532 NWB/2.25 2011-24.02.21 1

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CH0200044813 ARYZTA/(NO MIN./NO MAX.) 2013-PERP 2.3CH0200044821 BALOISE HLDG/1.75 2013-26.04.23 1CH0200252788 TELEFONICA EMIS/3.45 2012-14.12.202 2.3CH0200252812 AUSNET SVCS/1.125 EMTN 20190418 V 1CH0200252820 CABEI/1.5 MTN 20200204 V 1CH0200252838 LGT BK/1.875 2013-08.02.23 1CH0200295548 DAETWYLER HLDG/1.125 2012-07.06.18 1CH0200370218 EMISSIONSZENTR /0.875 2012-24.03.23 1CH0200373915 ADCB FIN/(NO MIN./NO MAX.) EURO-M 1CH0200404173 GLDM SACHS GRP/1.5 EURO MEDIUM T 1CH0201215511 GLARNER KB/NOTES 2012-PERPETUAL N 2.3CH0201225197 KDB/1 EURO MEDIUM TERM NOTE 2012 1CH0201297212 PFANDBRIEFBANK/0.375 SCHWEIZER PF 1CH0201591705 PFANDBRIEFZENTR/0.875 SCHWEIZER P 1CH0202406440 ICICI BK DUBAI/2.75 MEDIUM TERM NO 2.3CH0203695629 KOMMUNALFIN/0.875 EURO MEDIUM T 1CH0203737892 ZUERCHER KB/(NO MIN.-NO MAX) 2013- 1CH0203872863 ZUERCHER KB/1.125 2013-29.01.24 SER 1CH0204017005 AUCKLAND CO/1.125 MTN 20240207 V 1CH0204276213 STADT WINTERTHU/1.5 2013-24.01.36 3.8CH0204365651 KT BERN/1.25 2013-07.02.28 2.3CH0204477241 BORAL/2.25 EMTN 20200220 V 1CH0204477258 NATIONAL AUS BK/1.625 EMTN 202309 1CH0204477290 CRH/1.375 2013-15.3.23 1CH0204477308 CREDIT AGRICOLE/1.75 EURO MEDIUM 1CH0204477688 CWTH BK AUSTRAL/0.875 EMTN 202002 1CH0204567256 PFANDBRIEFZENTR/1.375 SCHWEIZER P 2.3CH0204567322 CORP ANDINA FOM/1.375 EURO MEDIU 1CH0204574914 GAS NAT. FENSO./2.125 EURO MEDIUM- 1CH0204678020 KOREA GAS/1.125 MEDIUM TERM NOTE 1CH0204790759 ST.GALLER KB/1.5 2013-12.02.31 2.3CH0204811076 SWISSGRID/1 2013-30.01.20 1CH0204811100 SWISSGRID/1.625 2013-30.01.25 2.3CH0204819301 EFG FUNDING/4.75 RESETTABLE NOTES 2.3CH0204975426 EIB/1.375 2013-21.02.28 2.3CH0205276683 STRAUMANN HLDG/1.625 2013-30.04.2 1CH0205276725 KT BERN/1.5 2013-15.05.29 2.3CH0205276790 SCHINDLER HLDG/0.375 EXCHANGEABLE 3.8CH0205287706 ANZ NEW ZEALAND/0.875 EURO MEDIU 1CH0205310904 SCHWYZER KB/1.125 2013-20.2.23 1CH0205409011 GLDM SACHS GRP/1.625 EURO MEDIUM 1CH0205500017 STADT LUGANO/1.75 2013-20.02.43 7.2CH0205819433 RZD CAPITAL/2.177 2013-26.2.18 1CH0205819441 RZD CAPITAL/2.73 2013-26.02.21 2.3CH0205832618 PROV QUEBEC/1.125 EURO MEDIUM-TE 1CH0206074871 PFANDBRIEFBANK/0.5 SCHWEIZER PFAN 1CH0206368174 PFANDBRIEFZENTR/0.5 SCHWEIZER PFA 1CH0206594498 SLOWAKEI/1.375 2013-16.10.19 1CH0206594506 SLOWAKEI/2.125 2013-16.10.23 2.3CH0206728823 STADT BERN/1.5 2013-25.02.28 2.3CH0206894740 GRAUBUENDNER KB/1.375 2013-11.03.2 2.3CH0206903764 PHILIP MRRS INT/0.875 2013-11.03.19 1CH0206992270 THURGAUER KB/1.5 2013-04.03.27 2.3CH0207413185 KT TESSIN/1.875 2013-18.03.38 3.8CH0207550010 BNG/1.125 2013-19.4.23 1CH0207960649 NORDEA BANK/0.875 EURO MEDIUM TE 1CH0207961084 BAUWERK PARKETT/4.125 2013-21.5.18 1

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CH0214926088 EMMI FINANZ/1.625 2013-12.07.23 1CH0214926096 AEVIS VICT/3.5 2013-02.07.18 2.3CH0215064350 PFANDBRIEFZENTR/1.5 SCHWEIZER PFA 2.3CH0215076313 KOREA WEST POWE/1.625 2013-26.03.1 1CH0215076339 ABN AMRO/1.5 EMTN 20191227 SR 1CH0215076354 BC SANTANDER CL/1.75 2013-26.09.19 1CH0215275519 COOP RABOBANK/1 EURO MEDIUM TER 1CH0215278448 SWEDISH MATCH/2.125 GLOBAL MEDIU 1CH0215376325 EIB/1.75 2013-28.06.33 3.8CH0215645661 SPS/1.125 2013-11.07.18 1CH0215650711 KERNKW GOESGEN/2 2013-30.09.20 3.8CH0215650737 SPS/2 2013-21.10.20 1CH0215690402 METROPOLITAN LI/1.125 2013-18.06.20 1CH0216320710 SVENSK EXPORTKR/1.25 EURO MEDIUM 1CH0217374286 OEST KONTROLLBK/1.125 2013-24.07.20 1CH0217579736 BANCO CHILE/1.125 2013-25.07.17 1CH0217579777 EMISSIONSZENTR /1.375 2013-24.07.23 1CH0217579785 EMISSIONSZENTR /1.75 2013-24.07.28 2.3CH0217677605 ENBW INTL FINAN/1.25 2013-12.07.18 1CH0217677654 ENBW INTL FINAN/2.25 2013-12.07.23 7.2CH0217678538 VORARLB LHYBK/1.375 2013-25.07.18 1CH0217756631 PFANDBRIEFBANK/1.25 SCHWEIZER PFA 1CH0217756656 PFANDBRIEFBANK/1.75 SCHWEIZER PFA 1CH0217825311 KT ST.GALLEN/1.75 2013-18.07.28 2.3CH0217825337 KT ST.GALLEN/2 2013-16.07.38 3.8CH0217850673 KT ZUERICH/1.25 2013-29.07.22 1CH0217850681 KT ZUERICH/1.625 2013-29.07.26 2.3CH0217850699 KT ZUERICH/2 2013-29.07.38 5.4CH0217986378 KOREA NATL OIL/1.625 GLOBAL MEDIU 1CH0218517875 PFANDBRIEFZENTR/1.375 SCHWEIZER P 1CH0218517891 PFANDBRIEFZENTR/1.75 SCHWEIZER PF 2.3CH0219080048 CORP ANDINA FOM/1.5 EURO MEDIUM- 1CH0220684614 PFANDBRIEFBANK/1.375 SCHWEIZER PF 1CH0220734930 DZ BANK/3.238 2013-30.08.23 2.3CH0221386136 GEORG FISCHER F/1.5 2013-12.09.18 1CH0221386144 GEORG FISCHER F/2 1/2 2013-12.09.22 1CH0221616417 RAIFFETFSGOLDO/ANTEILE -A USD- 3.5CH0221732040 ST.GALLER KB/1.5 2013-13.09.22 1CH0221803791 CS GROUP/(NO MIN./NO MAX) 2013-PE 3.8CH0221961730 KT BERN/1.25 2013-20.09.21 1CH0221999813 STADT ZUERICH/1.625 2013-26.09.24 1CH0222000413 STADT ZUERICH/2.125 2013-26.09.33 3.8CH0222050921 KT GENF/2 2013-20.03.26 1CH0222050939 KT GENF/2.25 2013-20.09.2029 2.3CH0222136506 PFANDBRIEFZENTR/1.125 SCHWEIZER P 1CH0222136654 ALLREAL HLDG/2 2013-23.09.20 1CH0222261494 THURGAUER KB/1.75 2013-30.09.24 2.3CH0222359421 SVENSKA HANDELS/1.25 EURO MEDIUM 1CH0222418235 KEPCO/1.5 2013-23.04.19 1CH0222418268 MFINANCE FRANCE/2.5 EMTN 20181008 3.8CH0222418300 TELEFONICA EMIS/2.595 EMTN 2020102 1CH0222433291 CWTH BK AUSTRAL/1 EURO-MEDIUM T 1CH0222705979 ZUERICH VERS GE/1.125 2013-18.09.19 1CH0222705987 ZUERICH VERS GE/1.875 2013-18.09.23 2.3CH0222760826 SCHWYZER KB/1.375 2013-24.09.21 1CH0222948678 KUONI REISEN HL/1 1/2 2013-28.10.19 2.3CH0223311959 GLARNER KB/1 2013-04.10.19 1

CH0223321990 SCOR/(NO-MINNO-MAX) 2013-PERP 1CH0223523298 KDB/1.375 EURO MEDIUM TERM NOTES 1CH0223643260 STADT BERN/2.125 2013-11.10.38 3.8CH0224396983 SCHWEIZ EIDG/1.25 2014-28.05.26 2.3CH0224397007 SCHWEIZ EIDG/2 2014-25.06.64 13.9CH0224397171 SCHWEIZ EIDG/0.5 2015-27.05.30 3.8CH0224397338 SCHWEIZ EIDG/0.5 BONDS 2016-30.5.58 3.8CH0224397346 SCHWEIZ EIDG/0 BONDS 2016-22.06.29 3.8CH0224485927 KT WAADT/2 2013-24.10.33 3.8CH0224486362 RBC/0.75 2013-23.10.18 1CH0224574647 WALLISER KB/1.5 2013-28.10.22 1CH0224581824 KT LUZERN/2 2013-28.10.33 3.8CH0224761509 SIKA/1.125 2013-14.11.19 1CH0224761517 SIKA/1.875 2013-14.11.23 2.3CH0224761525 KT ZUERICH/0.5 2013-06.06.19 1CH0224761533 KT ZUERICH/1.375 2013-06.12.23 1CH0224761541 PARGESA HLDG/1.5 2013-10.12.18 1CH0224798972 SCHW.RUECKVERS/7.5 FIXED WITH COU 2.3CH0224904018 ZUGER KB/1.125 2013-29.10.20 1CH0224923497 MOBIMO HLDG/1.5 2013-29.10.18 1CH0224923513 SCHAFFHAUSER KB/1.75 2013-28.10.25 2.3CH0225071585 HILTI/0.875 2013-30.10.18 1CH0225071593 HILTI/1.875 2013-30.10.23 1CH0225173167 CEMBRA MONEY BK/NA CHF1 3.5CH0225173290 KOREA RAILROAD/1.5 2013-02.12.19 1CH0225173308 FIAT CHRYSLER/4 EMTN 20171122 V GA 1CH0225173316 ALFA HOLDING/4 2013-16.01.18 2.3CH0225173332 CORP ANDINA FOM/2 MTN 20240205 V 1CH0225227021 STADT LAUSANNE/(NO MIN.) FLOATING 1CH0225323283 ABN AMRO/1.125 EURO MEDIUM-TERM 1CH0225710588 GLENCORE FINANC/2.125 EURO MEDIUM 13.9CH0225941464 PFANDBRIEFZENTR/0.375 SCHWEIZER P 1CH0225941605 PFANDBRIEFZENTR/1.25 SCHWEIZER PF 1CH0226274204 UBS ETF MS HEUR/ANTEILE KLASSE -(EU 3.5CH0226274212 UBS ETF MS HUSD/ANTEILE KLASSE -(US 3.5CH0226274246 UBSETFCHMSCISW/ANTEILE KLASSE -A-D 3.5CH0226274261 GAZ CAPITAL/2.85 2013-25.10.19 2.3CH0226747746 VTB CAP/2.9 EURO MEDIUM TERM NOTE 1CH0226752290 UNIBAIL-RODAMCO/2 EMTN 20231120 2.3CH0226869052 KT TESSIN/0.625 2013-21.03.19 1CH0226869060 KT TESSIN/1.375 2013-21.11.22 1CH0226976816 ISHRSCHFCRPBD/ANTEILE KLASSE -A- 3.5CH0227342232 SWISS LIFE HLDG/0 WANDELANLEIHE 20 3.8CH0227343164 KT BASELSTADT/0.5 2013-28.11.18 1CH0227678973 STADT LAUSANNE/1.375 2013-27.11.23 1CH0227694574 SPITALVER LIMMA/1.875 2013-29.11.23 1CH0227975528 CEMBRA MONEY BK/1.125 2013-29.11.1 1CH0227976492 STADT GENF/1.625 2013-12.12.24 2.3CH0228138274 KT SOLOTHURN/2 2013-02.12.38 5.4CH0228138282 KT SOLOTHURN/2 2013-02.12.43 5.4CH0228199243 ENAP/2.875 2013-5.12.18 2.3CH0228207574 BANCO CHILE/1.5 2013-03.12.19 1CH0228518533 CABEI/1.5 MTN 20191216 V 1CH0228531437 KW LINTHLIMMERN/2.375 2013-10.12.2 3.8CH0228531452 LAFARGEHOLCIM/2 EURO MEDIUM TER 1CH0228531460 STADT ZUERICH/2 2013-18.12.43 5.4CH0228531478 STADT LUGANO/0.875 2013-09.12.20 1

CH0228622384 PFANDBRIEFBANK/1.5 SCHWEIZER PFAN 1CH0228622392 PFANDBRIEFBANK/2.125 SCHWEIZER PF 3.8CH0228674930 KT GENF/2.25 2013-06.12.38 3.8CH0229001000 CDC/1.25 EMTN 20201216 V 1CH0229318099 GPB EUROBOND FI/5.125 2014-13.05.24 5.4CH0229318107 BC SANTANDER CL/1 2014-31.07.17 1CH0229318131 CABEI/1.875 MTN 20220225 V 1CH0229571655 PFANDBRIEFZENTR/0.25 SCHWEIZER PF 1CH0229571770 PFANDBRIEFZENTR/1.375 SCHWEIZER P 1CH0229751927 BCO BRASIL CAYM/2.5 2013-20.06.19 3.8CH0229881138 PSP SWISS PROPE/1.375 2014-04.02.20 1CH0229881153 STADT WINTERTHU/2.25 2014-10.02.39 3.8CH0230277821 DANSKE BANK/(NO.MIN./NO.MAX.) EUR 2.3CH0231351104 THURGAUER KB/INHABER-PARTIZIPSCH. 3.5CH0232635869 BNZ INTL FNDG L/1.375 GLOBAL MEDIU 1CH0232663549 ABN AMRO/1.125 EURO MEDIUM-TERM 1CH0232698719 ZUERCHER KB/1.5 2014-27.01.23 SERIE 1CH0232842341 PROV QUEBEC/1.5 EURO MEDIUM TERM 1CH0232973955 BOBST GRP/2.125 2014-20.2.19 1CH0233004172 EIB/1.625 2014-04.02.25 CLIMATE AWA 2.3CH0233216016 PFANDBRIEFBANK/1.125 SCHWEIZER PF 1CH0233226213 RAIFFEISEN SCHW/1.625 2014-7.2.22 1CH0233226262 ASB FINANCE/1.125 EURO MEDIUM TE 1CH0233341657 FREIBURGER KB/1.125 2014-05.02.21 1CH0233680203 LGT BK/1.5 2014-10.05.21 1CH0233720660 BFCM/1.125 EURO MEDIUM TERM NOTE 1CH0233911772 CWTH BK AUSTRAL/1.5 EMTN 20220207 1CH0233911988 NATIONAL AUS BK/1.5 2014-07.02.24 C 2.3CH0234274444 ALLREAL HLDG/1.25 2014-2.4.19 1CH0234274493 SPS/1.75 2014-16.04.21 1CH0234487384 ANZ NEW ZEALAND/1 EMTN 20200310 1CH0234487392 BHARAT PETROLEU/3 2014-20.12.19 1CH0234487400 BENDIGO ADEL/1.125 EMTN 20190325 1CH0234487418 BANCO SAFRA/1.85 MTN 20170627 V 1CH0234487426 BHARTI AIRTEL/3 2014-31.03.20 1CH0234789193 FIN FONCIER/1.5 EURO MEDIUM-TERM 1CH0234833371 ALLIANZ/3.25 2014-PERPETUAL SUBORD 1CH0234833678 INTERSHOP HLDG/1.5 2014-14.02.19 1CH0234835475 KT TESSIN/0.32 2014-18.05.18 1CH0235034110 CA HOME LOAN/1.125 2014-12.08.21 1CH0235475339 PFANDBRIEFZENTR/0.25 SCHWEIZER PF 1CH0235475347 PFANDBRIEFZENTR/1 SCHWEIZER PFAND 1CH0235475354 PFANDBRIEFZENTR/1.625 SCHWEIZER P 2.3CH0235834154 DEUTSCHE BAHN F/1.5 2014-26.08.24 1CH0236122724 SGS/1.375 2014-25.2.22 1CH0236122740 SGS/1.75 2014-27.02.24 1CH0236331127 EXPIMP BANK KOR/1.125 EURO MEDIUM 1CH0236516784 STADT ZUERICH/1.125 2014-6.3.23 1CH0236516834 STADT ZUERICH/1.75 2014-6.3.29 2.3CH0236669591 KT ZUERICH/1.25 2014-07.03.24 1CH0236686843 THURGAUER KB/1.375 2014-28.08.23 1CH0236803992 ENTWBK EUROPARA/1 EMTN 20230306 1CH0237027252 SVENSKA HANDELS/0.625 EURO MEDIU 1CH0237552085 GIVAUDAN/1 2014-18.09.20 1CH0237552101 GIVAUDAN/1.75 2014-19.03.24 2.3CH0237639502 GLDM SACHS GRP/1.25 EURO MEDIUM 1CH0237649964 PFANDBRIEFBANK/2.125 SCHWEIZER PF 5.4

CH0237650814 SCHWYZER KB/0.75 2014-12.03.20 1CH0237935637 ISHS SWISSDIVCH/ANTEILE KLASSE -A- 3.5CH0237935652 ISHCORE SPI CH/ANTEILE 3.5CH0238053091 BP CAPITAL MARK/1 2014-28.08.20 1CH0238053125 BP CAPITAL MARK/1.75 2014-28.02.24 2.3CH0238315656 BPCE/1 1/2 EURO MEDIUM-TERM NOTES 1CH0238315664 CREDIT AGRICOLE/2.125 EURO MEDIUM 2.3CH0238315672 CN CONSTRUCTION/1.375 MTN 2019052 1CH0238315680 FIRSTRAND BANK/2 2014-28.05.19 5.4CH0238315698 J.SAFRA SARASIN/1 2014-28.05.20 1CH0238339433 BANCO CHILE/1.25 2014-21.03.19 1CH0238627142 BOSSARD HLDG/NA CHF5 3.5CH0238765116 AUCKLAND CO/1.5 MTN 20251128 V 2.3CH0238841891 PFANDBRIEFBANK/1 SCHWEIZER PFANDB 1CH0239034314 KIWIBANK/0.875 2014-04.04.19 1CH0239193169 NORDEA BANK/0.75 EURO MEDIUM-TE 1CH0239229302 SFS GROUP/NA CHF0.1 3.5CH0239312207 BC VAUDOISE/1.5 2014-28.03.24 1CH0239322495 COOP RABOBANK/1.125 2014-08.04.21 1CH0239498675 RBC/0.625 2014-09.04.19 1CH0239518779 HIAG IMMO/NA CHF1 3.5CH0239713297 KT BERN/1.25 2014-22.04.24 1CH0239840124 PFANDBRIEFBANK/1.375 SCHWEIZER PF 1CH0240109592 AEVIS VICT/2.75 2014-4.6.19 2.3CH0240109600 JULIUS BAER GRP/4.25 (FIX-FLOATER) 2 1CH0240109618 GZO WETZIKON/1.875 2014-12.06.24 1CH0240109774 ENGADINER KRAFT/1.625 2014-25.4.24 3.8CH0240330008 STADT ZUERICH/(NO MIN.) FLOATING R 1CH0240330016 STADT ZUERICH/1 2014-25.04.22 1CH0240623741 PFANDBRIEFZENTR/0.25 SCHWEIZER PF 1CH0240623758 PFANDBRIEFZENTR/0.875 SCHWEIZER P 1CH0240625902 SCHOEN KLINIK/3.25 2014-30.5.19 2.3CH0240656733 TEMENOS GRP/2 2014-31.01.19 1CH0240672193 SYNGENTA FIN/0.75 2014-01.11.19 1CH0240672227 SYNGENTA FIN/1.625 2014-01.11.24 3.8CH0240672235 SYNGENTA FIN/2.125 2014-01.11.29 3.8CH0240884707 REGIO EMMENTAL/1.625 2014-17.04.23 1CH0240907094 ABN AMRO/1.125 MEDIUM TERM NOTE 1CH0241392783 CREDIT AGRICOLE/1.25 EURO MEDIUM- 1CH0241528741 BNG/1.25 2014-30.4.24 1CH0241530960 STADT LAUSANNE/1 2014-29.4.22 1CH0241634929 METROPOLITAN LI/0.75 2014-17.4.19 1CH0241926309 PFANDBRIEFBANK/1 SCHWEIZER PFANDB 1CH0241926317 PFANDBRIEFBANK/1.5 SCHWEIZER PFAN 3.8CH0242193974 EMISSIONSZENTR /1.625 2014-08.05.29 2.3CH0242214853 BANCO BILBAO VI/1.375 MTN 20170509 1CH0242214887 FENIX OUT IN/NA CHF1 7.5CH0242595277 PFANDBRIEFZENTR/0.5 SCHWEIZER PFA 1CH0242596143 PFANDBRIEFZENTR/1.125 SCHWEIZER P 1CH0242606942 AIR TECH GROUP/NA CHF5 7.5CH0242984067 MOBIMO HLDG/1.625 2014-19.05.21 1CH0243017081 JPMORGAN CHASE/1.125 EURO MEDIUM 1CH0243069256 BFCM/1.125 EMTN 20200522 V 1CH0243069280 BFCM/2 EMTN 20240522 V 2.3CH0243069355 PHILIP MRRS INT/0.75 2014-16.12.19 1CH0243069363 PHILIP MRRS INT/1.625 2014-16.05.24 2.3CH0243154884 GRAUBUENDNER KB/0.75 2014-07.05.21 1

CH0243273759 CA HOME LOAN/1.125 2014-05.06.24 1CH0243273791 BK OF COMMS/0.875 2014-26.6.17 1CH0243483812 NY LIFE GLB FDG/0.5 2014-13.05.2019 1CH0243808182 RAIFFEISEN SCHW/(NO MIN./NO MAX.) 1CH0243871735 VALIANT BK/1 2014-22.11.19 1CH0244006414 PFANDBRIEFBANK/0.875 SCHWEIZER PF 1CH0244017502 CONZZETA/NA CHF2 3.5CH0244100266 UBS/5.125 2014-15.5.24 TIER 2 SUBOR 3.8CH0244175201 FREIBURGER KB/1.25 2014-03.06.24 1CH0244653520 COOPGRUPPE GEN/0.875 2014-16.06.21 1CH0244692528 OC OERLIKON COR/1.25 2014-17.6.19 1CH0244692536 OC OERLIKON COR/2.625 2014-17.6.24 3.8CH0244692569 KT APPENZELL A./0.25 2014-15.07.19 1CH0244717978 AUCHAN/1.5 EURO MEDIUM TERM NOTE 3.8CH0244725328 INVESTCORP S.A./4.75 2014-12.6.19 2.3CH0244767585 UBS GROUP/NA CHF0.1 7.5CH0244830441 FONDO MIVIV/1.25 2014-13.06.18 1CH0244975063 STADT WINTERTHU/1.5 2014-06.06.29 2.3CH0245138950 BANCO GENERAL/1.625 2014-18.06.18 1CH0245146185 AARGAUISCHE KB/1 2014-19-06-23 1CH0245239287 VON ROLL HLDG/1.25 WANDELANLEIHE 13.9CH0245536799 EUROFIMA BASEL/0.625 2014-30.6.21 1CH0245691537 NANT DE DRANCE/1.75 2014-18.7.24 2.3CH0245691552 BQUE CANT GENEV/2.875 2014-PERPET 1CH0245823189 GLOBAL BANK/3 2014-26.11.18 2.3CH0245863474 ZUERICH VERS GE/2.75 2014-OPEN END 2.3CH0245863987 PFANDBRIEFZENTR/1.5 SCHWEIZER PFA 2.3CH0245865834 NATIONAL AUS BK/1 2014-10.12.21 1CH0245865842 ACCOR/1.75 2014-27.06.22 1CH0245865859 CN CONSTRUCTION/3.45 MTN 20170627 1CH0245865883 WESTPAC SEC/0.625 EMTN 20200902 V 3.8CH0246198037 NC KAZ TEMI ZHO/2.59 2014-20.06.19 3.8CH0246199050 NC KAZ TEMI ZHO/3.638 2014-20.06.22 7.2CH0246788183 CREDITO/1.125 2014-26.06.19 1CH0246920208 LUZERNER KB/1.125 2014-30.06.23 1CH0246921537 ADUNO HLDG/1.125 2014-16.07.21 1CH0247163618 OP CORP BANK/1 2014-14.7.21 1CH0247611228 CPH CHEM PAP HL/2.75 2014-10.07.19 2.3CH0247611236 CITYCHAMP WATCH/3.625 2014-24.07.1 3.8CH0247611251 ZUERICH VERS GE/0.625 2014-22.07.20 1CH0247611269 ZUERICH VERS GE/1.5 2014-22.07.26 2.3CH0247754366 KT GENF/0.625 2014-30.07.21 1CH0247754382 KT GENF/1.625 2014-30.07.29 2.3CH0247776138 SWISSCOM/1.5 2014-14.07.26 2.3CH0247849992 PFANDBRIEFBANK/1 SCHWEIZER PFANDB 1CH0247902890 TOTAL CAP INT/1 2014-29.08.24 2.3CH0247902908 WELLS FARGO /0.625 EMTN 20200903 V 1CH0247902916 WELLS FARGO /1.25 EMTN 20240903 V 2.3CH0247904557 POLEN/1 EMTN 20210917 V 3.8CH0248166669 NORDRHEIN-WESTF/0.875 EMTN 20240 2.3CH0248204627 PFANDBRIEFZENTR/0.25 SCHWEIZER PF 1CH0248209642 PFANDBRIEFZENTR/1 SCHWEIZER PFAND 1CH0248259456 CREDIT SUISSE/0.75 EURO MEDIUM TE 1CH0248531110 VTB CAP/(NO MIN./NO MAX.) 2014-24.1 5.4CH0248542877 FCA CAPITAL SU/1.5 2014-25.07.17 1CH0248890490 ALPIQ HLDG/2.625 2014-29.07.24 13.9CH0248890573 STADT ZUERICH/0.25 2014-21.08.19 1

CH0249088136 PFANDBRIEFBANK/1 SCHWEIZER PFANDB 1CH0249483659 KT GENF/1 2014-29.09.26 3.8CH0249483667 KT GENF/1.375 2014-29.09.34 3.8CH0249483683 SCHW.RUECKVERS/1 EMTN 20240917 V 2.3CH0249899110 BOBST GRP/1.5 2014-30.09.20 1CH0251429384 KT TESSIN/0.625 2014-09.05.22 1CH0251885791 KOMMUNALFIN/0.75 2014-17.09.24 2.3CH0252379802 MOBIMO HLDG/1.875 2014-16.09.24 1CH0252510414 KT BERN/1.25 2014-12.09.2030 3.8CH0252511925 LANSFORS HYPOT/0.875 EMTN 2024091 2.3CH0252620700 PERROT DUVAL HL/IA CHF50 12.5CH0252703050 KW LINTHLIMMERN/1.25 2014-11.09.24 2.3CH0252740250 ST.GALLER KB/0.625 2014-09.09.22 1CH0252903684 KT BASELLANDSCH/0.5 2014-30.03.22 1CH0252903726 KT BASELLANDSCH/1 2014-30.03.27 2.3CH0252903767 KT BASELLANDSCH/1.375 2014-29.09.34 3.8CH0253225921 EBN/0.5 2014-22.09.22 2.3CH0253225954 EBN/0.875 2014-22.09.26 2.3CH0253243346 EMISSIONSZENTR /0.75 2014-24.09.24 2.3CH0253243353 EMISSIONSZENTR /1.125 2014-24.09.29 2.3CH0253445131 MEYER BURGER TE/5.5 (EX 4 ) 2014-24. 13.9CH0253514753 BAT INTL FIN/0.625 EMTN 20210908 V 1CH0253514761 BAT INTL FIN/1.375 EMTN 20260908 V 2.3CH0253514779 RIETER HLDG/1.5 2014-29.09.20 1CH0253592734 CRH FINANCE/1.375 2014-30.09.22 1CH0253592742 BKW/0.125 CONVERTILBLE BONDS 2014 13.9CH0253592759 CLARIANT/2.125 2014-17.10.24 2.3CH0253592767 IMPLENIA/1.625 2014-15.10.24 3.8CH0253592783 ARYZTA/(NO MIN./NO MAX.) 2014-PERP 3.8CH0253609082 PFANDBRIEFZENTR/0.125 SCHWEIZER P 1CH0253609231 PFANDBRIEFZENTR/0.75 SCHWEIZER PF 1CH0253612581 STADT ZUERICH/1 2014-30.03.27 2.3CH0253612763 STADT BIEL/1.375 2014-24.09.29 2.3CH0253613530 BUCHER INDUSTRI/0.625 2014-02.10.20 1CH0253613548 BUCHER INDUSTRI/1.375 2014-02.10.24 2.3CH0254147504 SWISSCOM/1.5 2014-28.9.29 2.3CH0254212225 KT ZUERICH/0.375 2014-06.10.21 1CH0254212233 KT ZUERICH/1 2014-6.10.27 2.3CH0254281626 FIAT CHRYSLER/3.125 EURO MEDIUM-TE 3.8CH0254281634 INDL COMM BK/1 2014-17.12.19 1CH0254281642 MMBOLEO/0.75 2014-12.11.19 1CH0254281659 CABEI/0.5 2014-26.11.18 TRANCHE A 1CH0254282202 METROPOLITAN LI/1 2014-19.09.22 1CH0254284778 COOPGRUPPE GEN/1 2014-29.9.23 1CH0254849513 ZUGER KB/0.625 2014-17.10.22 1CH0254859116 CS AG LDN/1 EURO-MEDIUM TERM NOT 1CH0255191709 HYUNDAI CAP SER/0.5 GMTN 2014-20.1 1CH0255286707 BP CAPITAL MARK/0.75 2014-27.09.21 1CH0255287010 CEMBRA MONEY BK/0.75 2014-14.10.19 1CH0255287028 CEMBRA MONEY BK/1.25 2014-14.10.22 1CH0255439751 PSYCH DIENSTE/0.75 2014-10.10.22 1CH0255475276 LINDT SPRUENG/(NO MIN.) NOTES 201 1CH0255475284 LINDT SPRUENG/0.5 2014-08.10.20 1CH0255475292 LINDT SPRUENG/1 2014-08.10.24 1CH0255497452 SCOR/NOTES 2014-OPEN END VARIABLE 2.3CH0255590801 CREDIT AGRICOLE/1 2014-08.10.21 1CH0255678325 PFANDBRIEFBANK/0.375 SCHWEIZER PF 2.3

CH0255678333 PFANDBRIEFBANK/1 SCHWEIZER PFANDB 2.3CH0255678341 PFANDBRIEFBANK/1.375 SCHWEIZER PF 3.8CH0255893023 BANCO SAFRA/1.5 MEDIUM TERM NOTE 3.8CH0255893049 GLENCORE FINANC/1.25 EMTN 2020120 13.9CH0255893056 CABEI/1.125 MTN 20230224 V T B 1CH0255893064 WESTPAC BANKING/0.5 EMTN 20220202 1CH0255893072 CA HOME LOAN/0.5 EURO MEDIUM TER 2.3CH0255893080 HELVETIA VERSIC/(NO MIN./NO MAX.) 2 1CH0255893098 HELVETIA VERSIC/(NO MIN./NO MAX.) 2 2.3CH0255893114 HELVETIA VERSIC/0.75 2014-28.10.20 3.8CH0255893122 HELVETIA VERSIC/1.5 2014-28.04.25 3.8CH0255896190 THURGAUER KB/0.375 2014-23.10.2020 1CH0256379097 MOLECULAR PARTN/NA CHF0.1 12.5CH0256424794 ORIFLAME HLDG/NA CHF1.5 7.5CH0256434595 PFANDBRIEFZENTR/0.25 SCHWEIZER PF 1CH0256434603 PFANDBRIEFZENTR/0.75 SCHWEIZER PF 1CH0256886505 NIEDEROESTERREI/0.375 2014-27.04.21 1CH0256886539 NIEDEROESTERREI/0.5 2014-27.10.22 2.3CH0257042165 SPS/1 2014-10.12.19 1CH0257042173 SPS/2 2014-10.12.24 1CH0257754561 KT TESSIN/0.75 2014-13.11.24 1CH0258404455 PROV QUEBEC/0.75 EURO MEDIUM TER 2.3CH0258586384 PFANDBRIEFBANK/0.75 SCHWEIZER PFA 1CH0258586392 PFANDBRIEFBANK/1.5 SCHWEIZER PFAN 3.8CH0259810585 PFANDBRIEFZENTR/1.25 SCHWEIZER PF 2.3CH0260067779 CORP ANDINA FOM/1.5 2014-01.12.28 2.3CH0260296618 CREDITO/0.875 2014-23.11.18 1CH0260496283 SPBK 1 N-NORGE/0.875 EURO MEDIUM 2.3CH0260515751 KT SOLOTHURN/0.375 2014-15.12.21 1CH0260515769 KT SOLOTHURN/0.625 2014-13.12.24 1CH0260769382 AT T/0.5 2014-04.12.19 1CH0260769424 AT T/1.375 2014-04.12.24 2.3CH0260769440 AT T/1.875 2014-04.12.30 3.8CH0261178039 KR EXPRESSWAY/(NO MIN./NO MAX) 20 1CH0261399064 BALOISE HLDG/1.125 2014-19.12.24 2.3CH0261541863 STADT LUGANO/0.875 2014-09.12.24 2.3CH0261561382 KT WAADT/0.5 2014-18.12.24 2.3CH0261627415 PFANDBRIEFBANK/1.5 SCHWEIZER PFAN 5.4CH0262085076 AARGAUISCHE KB/0.875 2015-23.1.30 2.3CH0262286237 WALLISER KB/0.375 2014-15.12.21 1CH0262286252 WALLISER KB/0.625 2014-15.12.23 1CH0262881441 SCHW.RUECKVERS/0.75 2015-21.01.27 2.3CH0262881458 PSP SWISS PROPE/1 2015-06.02.25 1CH0262883199 GRANDE DIXENCE/1.375 2015-18.02.25 5.4CH0262883363 CREDIT AGRICOLE/0.625 EURO MEDIUM 1CH0262888933 VP BANK/0.5 2015-07.04.21 1CH0262888941 VP BANK/0.875 2015-07.10.24 2.3CH0263432970 PFANDBRIEFZENTR/0.5 SCHWEIZER PFA 1CH0263432988 PFANDBRIEFZENTR/1 SCHWEIZER PFAND 2.3CH0264227015 PFANDBRIEFBANK/0.625 SCHWEIZER PF 2.3CH0265801198 FREIBURGER KB/0.55 2015-03.02.25 2.3CH0266153656 ST.GALLER KB/0.25 2015-28.01.21 1CH0266307377 KT BERN/0.625 2015-11.02.32 2.3CH0266437950 LUZERNER KB/0.375 2015-30.01.23 1CH0266836128 ENGADINER KRAFT/0.125 2015-02.03.22 2.3CH0266836144 KT TESSIN/0.125 2015-06.03.25 1CH0266842696 CREDIT AGRICOLE/0.375 EURO MEDIUM 1

CH0266842704 CREDIT AGRICOLE/1 EURO MEDIUM TER 2.3CH0267020045 NY LIFE GLB FDG/0.375 2015-2.2.22 1CH0267222310 PFANDBRIEFBANK/0.375 SCHWEIZER PF 3.8CH0267291224 SUNRISE COMM GR/NA CHF1 7.5CH0267596697 ZUERCHER KB/(MIN. 0 ) VARIABLE RATE 1CH0267855986 KT BASELLANDSCH/0.125 2015-26.02.26 1CH0267855994 KT BASELLANDSCH/0.625 2015-26.02.36 7.2CH0267856000 STADT GENF/0.125 2015-12.02.25 2.3CH0268100226 KT BASELSTADT/0.5 2015-23.02.35 5.4CH0268786982 PFANDBRIEFZENTR/0.625 SCHWEIZER P 3.8CH0268988158 PARGESA HLDG/0.875 2015-24.04.24 2.3CH0268988174 SWISSCOM/0.25 2015-17.04.23 TRANCH 1CH0268988182 SWISSCOM/1 2015-17.04.35 TRANCHE 2 3.8CH0269382088 SWISSGRID/0.625 2015-25.2.30 2.3CH0269697659 LUZERNER KB/(MIN. 0 ) VARIABLE RATE 1CH0269697931 SCHAFFHAUSER KB/0.375 2015-16.2.27 2.3CH0269698772 HIRSLANDEN/1.625 2015-25.02.21 1CH0269698798 HIRSLANDEN/2 2015-25.02.25 2.3CH0269699176 GLARNER KB/0.375 2015-26.02.27 2.3CH0269796212 THURGAUER KB/0.5 2015-16.02.29 2.3CH0269836703 MACQUARIE BANK/0.625 2015-04.09.23 1CH0270017830 SCHWYZER KB/0.25 2015-4.3.27 2.3CH0270190983 NOVARTIS/0.25 2015-13.05.25 2.3CH0270190991 NOVARTIS/0.625 2015-13.11.29 3.8CH0270191007 NOVARTIS/1.05 2015-11.05.35 3.8CH0270373803 KT SOLOTHURN/1 2015-20.2.45 7.2CH0270382093 CORP ANDINA FOM/0.5 EURO MEDIUM 2.3CH0270586206 STADT LAUSANNE/0.625 2015-04.03.30 2.3CH0271171685 APPLE/0.375 2015-25.11.24 1CH0271171693 APPLE/0.75 2015-25.2.30 2.3CH0271288547 PFANDBRIEFBANK/0.5 SCHWEIZER PFAN 2.3CH0271288554 PFANDBRIEFBANK/0.875 SCHWEIZER PF 3.8CH0271737097 BC JURA/0.625 2015-04.03.25 2.3CH0271819812 ZUGER KB/0.5 2015-03.03.27 2.3CH0272024669 JPMORGAN CHASE/0.5 2015-04.12.23 1CH0272154177 KT BASELLANDSCH/1 2015-05.03.40 3.8CH0272748754 RAIFFEISEN SCHW/3 2015-OPEN END N 1CH0273037892 WALLISER KB/0.25 2015-16.03.23 1CH0273347820 ALLREAL HLDG/0.75 2015-31.03.21 1CH0273347838 ALLREAL HLDG/1.375 2015-31.03.25 2.3CH0273485380 PFANDBRIEFZENTR/0.375 SCHWEIZER P 1CH0273485398 PFANDBRIEFZENTR/0.625 SCHWEIZER P 2.3CH0273755824 SWISS AUTO 2015/0.23 2015-24.03.19 A 1CH0273755840 SWISS AUTO 2015/0.40 2015-25.3.19 AS 3.8CH0273761350 STADT WINTERTHU/0.15 2015-27.03.23 1CH0273774791 INTERSHOP HLDG /NA CHF10 3.5CH0273925989 DEUTSCHE BANK/0.625 EMTN 20231219 2.3CH0274253514 FREIBURGER KB/0.6 2015-09.04.27 2.3CH0274314787 BASELLANDSCHAFT/0.75 2015-30.03.28 2.3CH0274740262 ZUERCHER KB/0.25 2015-31.03.21 SERIE 1CH0274758827 MONDELEZ INTL/0.625 2015-30.12.21 1CH0274758835 MONDELEZ INTL/1.125 2015-30.12.25 2.3CH0275352125 THURGAUER KB/0.375 2015-31.03.25 2.3CH0275527882 AARGAUISCHE KB/0.625 2015-13.04.28 2.3CH0275764600 BASLER KB/3 2015-OPEN END TIER 1 1CH0275776430 INTERSHOP HLDG/1.125 2015-17.04.23 1CH0276237648 GEBERIT/0.05 2015-17.04.19 1

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IE00B3S5XW04 SPDR BA EUR GOV/SHS EXCHANGE TRA 12.5IE00B3SC9K16 UBS MSCI USA/ACCUM.PTG.SHS CLASS - 3.5IE00B3T8LK23 SPDR BAR STG AG/SHS EXCHANGE TRAD 12.5IE00B3T9LM79 SPDR BAR COR BD/SHS EXCHANGE TRAD 12.5IE00B3VPKB53 SOUR UTI S P US/ACCUM.PTG.SHS EXCH 12.5IE00B3VSSL01 SOU TECH S P US/ACCUM.PTG.SHS EXCH 12.5IE00B3VTMJ91 ISHS GOVT 1-3/ACCUM SHS EUR EXCHA 12.5IE00B3VTML14 ISHS GOVT 3-7/ACCUM SHS EUR EXCHA 12.5IE00B3VTN290 ISHS GOVT 7-10/ACCUM.PTG.SHS EXCH 12.5IE00B3VVMM84 VANG FTSE EM MA/PTG.SHS EXCHANGE 12.5IE00B3VWKZ07 ISHS MSCI UK LA/ACCUM.PTG.SHS EXCH 7.5IE00B3VWLG82 ISHS MSCI UK SM/ACCUM.PTG.SHS EXC 12.5IE00B3VWM098 ISHS MSCI USA/ACCUM.PTG.SHS EXCHA 3.5IE00B3VWMM18 ISHS MSCI EMU/ACCUM.PTG.SHS EXCH 7.5IE00B3VWN179 ISHS USD BD 1-3/ACCUM SHS USD EXCH 12.5IE00B3VWN393 ISHS USD BD 3-7/ACCUM SHS USD EXCH 12.5IE00B3VWN518 ISHS BD 7-10/ACCUM SHS USD EXCHAN 3.5IE00B3VY0M37 SPDR US CORP/SHS EXCHANGE TRADED 12.5IE00B3W74078 SPDR BAR UK GIL/SHS EXCHANGE TRAD 12.5IE00B3WJKG14 ISHA IN TECH SC/ACCUM.SHS EXCHANGE 12.5IE00B3WMTH43 SOU HEA CARE/ACCUM.PTG.SHS EXCHA 12.5IE00B3X0KQ36 UBS FTSE 100 SF/ACCUM.PTG.SHS CLASS 7.5IE00B3X3R831 HSBC MSCI MALAY/SHS EXCHANGE TRA 12.5IE00B3XM3R14 SOUR S P US SEL/ACCUM.PTG.SHS EXCH 12.5IE00B3XXRP09 VANG S P 500/PTG.SHS EXCHANGE TRAD 12.5IE00B3Y8X563 ISHS S P500 GBP/ACCUM SHS GBP EXCH 12.5IE00B3YC1100 SOU IND S P/ACCUM.PTG.SHS EXCHANG 12.5IE00B3YCGJ38 SOURCE S P 500/ACCUM.SHS EXCHANGE 12.5IE00B3YLTY66 SPDR MSCI ACWI/ACCUM.SHS EXCHANG 12.5IE00B3Z0X395 HSBC MSCI KOREA/SHS EXCHANGE TRA 12.5IE00B3Z3FS74 UBS MSCI EMG/ACCUM.PTG.SHS CLASS 7.5IE00B3ZW0K18 ISHS S P500 EUR/ACCUM.SHS EXCHANG 12.5IE00B40QP990 SOURCE PHYSICAL/CERTIFICATES 2011-3 12.5IE00B41RYL63 SSGA BAR AGG BD/SHS EXCHANGE TRA 12.5IE00B428Z604 ISHS SPA GOV BD/SHS EUR EXCHANGE T 12.5IE00B42NKQ00 ISHS S P ENER/ACCUM.PTG.SHS EXCHAN 12.5IE00B42Q4896 SOU FIN S P/ACCUM.PTG.SHS EXCHANG 12.5IE00B42TW061 HSBC FTSE 100/SHS EXCHANGE TRADED 12.5IE00B42WWV65 VANGUAR UK GILT/PTG.SHS GBP 12.5IE00B42YS929 ISHS MSCI WORLD/ACCUM SHS GBP EX 12.5IE00B42Z5J44 ISHS MSCI JAPAN/ACCUM.SHS EUR EXC 12.5IE00B431K857 SPDR MSCI EM/ACCUM.SHS EXCHANGE 12.5IE00B435BG20 SOU CON STA S P/ACCUM.PTG.SHS EXC 12.5IE00B435CG94 SOU EN S P/ACCUM.PTG.SHS EXCHANGE 12.5IE00B43HR379 ISH HELT CAR SC/ACCUM.SHS EXCHANGE 12.5IE00B43VDT70 SOURCE PHYSICAL/CERTIFICATE 2011-31 12.5IE00B441G979 ISHS MSCI WORLD/ACCUM.SHS EXCHAN 12.5IE00B449XP68 SOU CON DIS S P/ACCUM.PTG.SHS EXCH 12.5IE00B44CGS96 ISHS US AGG BD/SHS EXCHANGE TRADE 12.5IE00B44CND37 SPDR BAR TER BD/SHS EXCHANGE TRAD 12.5IE00B44T3H88 HSBC MSCI CHINA/SHS EXCHANGE TRAD 12.5IE00B44Z5B48 SPDR MSCI ACWI/ACCUM.SHS EXCHANG 12.5IE00B454X613 SPDR EM MKT LAT/ACCUM.SHS EXCHAN 12.5IE00B4556L06 ISHARES PHY MET/REGD.SECURED PREC 12.5IE00B459R192 SPDR BAR US AG/SHS EXCHANGE TRADE 12.5IE00B4613386 SPDR BAR EMG MK/SHS EXCHAGE TRAD 12.5IE00B466KX20 SPDR MSCI EM/ACCUM.SHS EXCHANGE 12.5

IE00B4694Z11 SSGA BAR COR BD/SHS EXCHANGE TRAD 12.5IE00B469F816 SPDR MSCI EM MK/ACCUM.SHS EXCHAN 12.5IE00B46G8275 HSBC MSCI INDON/SHS EXCHANGE TRA 12.5IE00B48X4842 SPDR EM SMA CAP/ACCUM.SHS EXCHAG 12.5IE00B4JNQZ49 ISHS S P FINAN/ACCUM.PTG.SHS EXCHA 12.5IE00B4JY5R22 UBS S P 500 SF/ACCUM.PTG.SHS CLASS 3.5IE00B4K48X80 ISHS MSCI EUROP/ACCUM SHS EUR EXC 12.5IE00B4K6B022 HSBC STOXX 50/SHS EXCHANGE TRADED 12.5IE00B4L5Y983 ISHS CR MSCI WD/ACCUM.SHS EXCHAN 12.5IE00B4L5YC18 ISHS MSCI EM/ACCUM SHS USD EXCHAN 12.5IE00B4L5YX21 ISHS CR JP IMI/ACCUM.SHS EXCHANGE T 12.5IE00B4L5ZG21 ISH EUR CO EX-F/SHS EXCHANGE TRADE 12.5IE00B4L5ZY03 ISHS EUR EX 1-5/EUR SHS EUR EXCHANG 12.5IE00B4L60045 ISHS EUR CO 1-5/EUR SHS EUR EXCHAN 12.5IE00B4L60H17 ISHS GBP CRP BD/SHS EXCHANGE TRAD 12.5IE00B4LHWP62 ISHARES PHY MET/REGD.SECURED PREC 12.5IE00B4LJS984 SOURCE PHYSICAL/CERTIFICATE 2011-31 12.5IE00B4M7GH52 ISHS MSCI PLND/ACCUM.SHS EXCHANGE 12.5IE00B4MCHD36 ISHS S P CON DI/ACCUM.PTG.SHS EXCH 12.5IE00B4NCWG09 ISHARES PHY MET/REGD.SECURED PREC 12.5IE00B4ND3602 ISHARES PHY MET/REGD.SECURED PREC 12.5IE00B4P11460 PIMCO EM MK AD/ACCUM.PTG.SHS EXC 12.5IE00B4PY7Y77 ISHS GBP HI YLD/SHS EXCHANGE TRADE 12.5IE00B4QNHH68 GO DAX DAILY 2X/SHS EXCHANGE TRAD 12.5IE00B4QNHZ41 GO DAX DAILY 2X/SHS EXCHANGE TRAD 12.5IE00B4QNJJ23 GO FTSE 100 LEV/SHS EXCHANGE TRADE 12.5IE00B4QNK008 GO FTSE 100 SPR/ACCUM.SHS EXCHANG 12.5IE00B4TS3815 HSBC MSCI EM LT/SHS USD EXCHANGE T 12.5IE00B4TXPP71 SOUR LGIM COMM/SHS EXCHANGE TRA 12.5IE00B4WPHX27 LONG DAT AL COM/SHS EXCHANGE TRA 12.5IE00B4WXJD03 ISHS MSCI PAC/SHS EXCHANGE TRADED 12.5IE00B4WXJG34 ISHS EUR GO 5-7/SHS EXCHANGE TRADE 12.5IE00B4WXJH41 IS EUR GO 10-15/SHS EUR EXCHANGE TR 12.5IE00B4WXJJ64 ISHS CO EUR GOV/SHS EUR EXCHANGE T 12.5IE00B4WXJK79 ISHS UK GILTS/SHS EXCHANGE TRADED F 12.5IE00B4X9L533 HSBC MSCI WORLD/SHS EXCHANGE TRA 12.5IE00B4XVDC01 OVOCA GOLD/NA EUR0.125 12.5IE00B4YBJ215 SPDR S P 400 US/ACCUM.SHS EXCHANG 12.5IE00B50XJX92 UBS CMCI COM/ACCUM.PTG.SHS CLASS - 12.5IE00B51B7Z02 HSBC MSCI CAN/SHS EXCHANGE TRADED 12.5IE00B5280Y01 UBS HFRX GLB/ACCUM.PTG.SHS CLASS - 3.5IE00B52MJD48 ISHS NIKKEI 225/ACCUM.PTG.SHS EXCHA 3.5IE00B52MJY50 ISHS CR PAC/ACCUM.PTG.SHS EXCHANG 12.5IE00B52SF786 ISHVII MSCI CAN/ACCUM.PTG.SHS EXCH 12.5IE00B52SFT06 ISHS MSCI USA/ACCUM.PTG.SHS EXCHA 3.5IE00B52VJ196 ISHS DJ EUR SUS/ACCUM.SHS EXCHANG 12.5IE00B52XQP83 ISHA MSCI SO AF/ACCUM.SHS EXCHANG 12.5IE00B5377D42 ISHAR MSCI AUST/ACCUM.SHS EXCHAN 12.5IE00B539F030 ISHS MSCI UK/ACCUM.SHS EXCHANGE T 12.5IE00B53B4246 UBS HFRX GLB/ACCUM.PTG.SHS CLASS - 7.5IE00B53H0131 UBS CMCI COM/ACCUM.PTG.SHS CLASS 3.5IE00B53HP851 ISHS FTSE 100/ACCUM.PTG.SHS EXCHAN 12.5IE00B53L3W79 ISHS CR EU STX/ACCUM.PTG.SHS EXCHA 12.5IE00B53L4350 ISHS DOW JNS IN/ACCUM.PTG.SHS EXCH 3.5IE00B53L4X51 ISHS FTSE MIB/ACCUM.PTG.SHS EXCHA 12.5IE00B53PTF40 UBS HFRX GLB/ACCUM.PTG.SHS CLASS - 12.5IE00B53QDK08 ISHS MSCI JAP/ACCUM SHS USD EXCHA 3.5

IE00B53QG562 ISHS MSCI EMU/ACCUM.PTG.SHS EXCH 3.5IE00B53SZB19 ISHS NASDAQ 100/ACCUM.PTG.SHS EXC 3.5IE00B54DDP56 UBS HFRX GLB/ACCUM.PTG.SHS CLASS - 12.5IE00B54HQ477 UBS MSCI JAPAN/ACCUM.PTG.SHS CLAS 7.5IE00B579F325 SOURCE PHYSICAL/CERTIFICATES 2015-3 12.5IE00B57S5Q22 HSBC MSCI SOUTH/SHS EXCHANGE TRA 12.5IE00B57X3V84 ISHS DJ GLB SUS/ACCUM.SHS EXCHANGE 12.5IE00B58FQX63 UBS CMCI COM/ACCUM.PTG.SHS CLASS 3.5IE00B58HMN42 UBS CMCI COM/ACCUM.PTG.SHS CLASS 3.5IE00B58ZM503 UBS BLO COM IND/ACCUM.PTG.SHS CLA 3.5IE00B598DX38 UBS BLO COM IND/ACCUM.PTG.SHS CLA 3.5IE00B5993T22 UBS BLO COM IND/ACCUM.PTG.SHS CLA 12.5IE00B59HWB19 INDPT NEWS/NA EUR0.01 7.5IE00B59L7C92 ISHS MSCI BRAZ/ACCUM.SHS EXCHANGE 17.5IE00B5B1MZ58 UBS MSCI EMU/ACCUM.PTG.SHS CLASS 3.5IE00B5B3W843 UBS BLO COM IND/ACCUM.PTG.SHS CLA 3.5IE00B5B5TG76 SOU EUR STX/PTG.SHS EXCHANGE TRAD 12.5IE00B5BD5K76 HSBC MSCI EURP/SHS EXCHANGE TRADE 12.5IE00B5BMR087 ISHS CR S P 500/ACCUM.PTG.SHS EXCHA 12.5IE00B5BRQB73 HSBC MSCI TURK/SHS EXCHANGE TRADE 12.5IE00B5KQNG97 HSBC S P 500/SHS EXCHANGE TRADED F 12.5IE00B5L01S80 HSBC FTSE EPRA/SHS EXCHANGE TRADE 12.5IE00B5L65R35 ISHS GBP CO 0-5/SHS GBP EXCHANGE TR 12.5IE00B5L8K969 ISHS MSCI EM AS/ACCUM.SHS EXCHANG 12.5IE00B5LJZQ16 HSBC MSCI RUS C/SHS EXCHANGE TRAD 12.5IE00B5LP3W10 HSBC MSCI EM FR/SHS EXCHANGE TRAD 12.5IE00B5M1WJ87 SPDR S P EUR DI/SHS EXCHANGE TRADE 12.5IE00B5M4WH52 ISHS EM LOC GOV/USD SHS USD EXCHA 12.5IE00B5MJYB88 SOU STX 600 TEL/ACCUM.PTG.SHS EXCH 12.5IE00B5MJYC95 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5MJYX09 SOU STOXX EUR/ACCUM.PTG.SHS EXCH 12.5IE00B5MJYY16 SOU STX 600 HEA/ACCUM.PTG.SHS EXC 12.5IE00B5MTWD60 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5MTWH09 SOU STX 600 OIL/ACCUM.PTG.SHS EXCH 12.5IE00B5MTWY73 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5MTWZ80 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5MTXJ97 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5MTXK03 SOU STX 600 UTI/ACCUM.PTG.SHS EXCH 12.5IE00B5MTY077 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5MTY309 SOU STX 600 CON/ACCUM.PTG.SHS EXC 12.5IE00B5MTYK77 SOU STX 600 FIN/ACCUM.PTG.SHS EXCH 12.5IE00B5MTYL84 SOU STX 600 FD/ACCUM.PTG.SHS EXCH 12.5IE00B5MTZ488 SOU STX 600 MED/ACCUM.PTG.SHS EXC 12.5IE00B5MTZ595 SOU STX 600 PRS/ACCUM.PTG.SHS EXCH 12.5IE00B5MTZM66 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5NDLN01 SOURCE RDX/PTG.SHS EXCHANGE TRAD 12.5IE00B5NLX835 SOU STOXX 600/ACCUM.PTG.SHS EXCH 12.5IE00B5PYL424 UBS SOL GLO OIL/SHS EXCHANGE TRADE 12.5IE00B5SG8Z57 HSBC MSCI PACI/SHS EXCHANGE TRADE 12.5IE00B5SSQT16 HSBC MSCI EMER/SHS EXCHANGE TRAD 12.5IE00B5TZCY80 UBS MSCI CAN/ACCUM.PTG.SHS CLASS - 7.5IE00B5V87390 ISHS MSCI RUS/ACCUM.SHS EXCHANGE 7.5IE00B5VX7566 HSBC MSCI JAP/SHS EXCHANGE TRADED 12.5IE00B5W34K94 HSBC MSCI BRAZI/SHS EXCHANGE TRAD 12.5IE00B5W4TY14 ISHS MSCI KOREA/USD EXCHANGE TRAD 12.5IE00B5WFQ436 HSBC MSCI USA/SHS EXCHANGE TRADED 12.5IE00B5WHFQ43 ISHS MSCI MEX/ACCUM.SHS EXCHANGE 12.5

IE00B5ZR2157 PIMCO EUR SH MT/PTG.SHS EXCHANGE 12.5IE00B60SWT88 SOU FTSE 100/ACCUM.SHS EXCHANGE T 12.5IE00B60SWV01 SOU FTSE 250/ACCUM.SHS EXCHANGE T 12.5IE00B60SWW18 SOU STO EU 600/ACCUM.SHS EXCHANGE 12.5IE00B60SWX25 SOU EUR STX/ACCUM.PTG.SHS EXCHAN 12.5IE00B60SWY32 MSCI EUR SR ETF/ACCUM.SHS EXCHANG 12.5IE00B60SX063 SOU STO EUR MID/ACCUM.SHS EXCHAN 12.5IE00B60SX170 MSCI USA SR/ACCUM.SHS EXCHANGE T 12.5IE00B60SX287 SOU MSCI JAPAN/ACCUM.SHS EXCHANG 12.5IE00B60SX394 MSCI WRLD/ACCUM.SHS EXCHANGE TR 12.5IE00B60SX402 RUS 2000 SR/ACCUM.SHS EXCHANGE TR 12.5IE00B622SG73 PIMCO STR SH MT/PTG.SHS EXCHANGE 12.5IE00B64PTF05 HSBC FTSE 250/SHS EXCHANGE TRADED 12.5IE00B652H904 ISHS EM DIV/SHS USD EXCHANGE TRAD 12.5IE00B66B5T26 PROVIDENCE RES/NA EUR0.1 12.5IE00B66F4759 ISHS HY CORP BD/SHS EUR EXCHANGE T 12.5IE00B67B7N93 PIMCO US DL SH/PTG.SHS EXCHANGE TR 12.5IE00B6QGFW01 ISHS EM ASI LOC/USD SHS USD EXCHAN 12.5IE00B6R51Z18 ISHS OIL GAS/ACCUM.SHS EXCHANGE T 12.5IE00B6R52036 ISHS GLD PROD/ACCUM.SHS EXCHANGE 12.5IE00B6R52143 ISHS AGRIBUSIN/ACCUM.SHS USD 12.5IE00B6R52259 ISHS MSCI ACWI/ACCUM.SHS EXCHANGE 12.5IE00B6S2Z822 SPDR S P UK DIV/SHS EXCHANGE TRADE 12.5IE00B6SKRB38 ESCHER GP HLDGS/NA EUR0.005 12.5IE00B6SPMN59 ISH VI EDG 500/ACCUM SHS USD EXCHA 12.5IE00B6TLBW47 ISHS USD EM COR/SHS EXCHANGE TRAD 12.5IE00B6X2VY59 ISHS EUR COR BD/EUR SHS EUR EXCHAN 12.5IE00B6X4BP29 BOOST ISSUER/REGD.SECURITIES 2012- 12.5IE00B6YX5B26 SPDR S P EMERG/SHS EXCHANGE TRADE 12.5IE00B6YX5C33 SPDR S P 500/SHS EXCHANGE TRADED F 12.5IE00B6YX5D40 SPDR S P US DIV/SHS EXCHANGE TRADE 12.5IE00B6YX5F63 SSGA BAR EU GOV/SHS EXCHANGE TRA 12.5IE00B6YX5K17 SSGA BAR 1-5 YR/SHS EXCHANGE TRADE 12.5IE00B6YX5L24 SSGA BAR 15+YR/SHS EXCHANGE TRADE 12.5IE00B6YX5M31 SPDR BAR EUR HG/SHS EXCHANGE TRAD 12.5IE00B7452L46 SPDR UK ALL SHS/ACCUM.SHS EXCHANG 12.5IE00B74DQ490 ISHS GL CO BN/PTG.SHS EXCHANGE TRA 12.5IE00B76BRD76 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B77D4428 UBS MSCI USA/SHS EXCHANGE TRADED 12.5IE00B78JSG98 UBS MSCI USA VA/SHS EXCHANGE TRAD 12.5IE00B7GBL799 SPDR CIT ASI BD/SHS EXCHANGE TRADE 12.5IE00B7J7TB45 ISHS GLB CRP BD/SHS EXCHANGE TRADE 12.5IE00B7K93397 UBS ETF S P 500/SHS EXCHANGE TRADE 3.5IE00B7KMNP07 UBS SOL GL GOLD/SHS EXCHANGE TRAD 12.5IE00B7KQ7B66 UBS MSCI WORLD/SHS EXCHANGE TRAD 12.5IE00B7LFXY77 SPDR MER LY ME/SHS EXCHANGE TRADE 12.5IE00B7LGZ558 ISHS FR GOV BD/SHS EUR EXCHANGE TR 12.5IE00B7LW6Y90 ISHS ITA GOV BD/SHS EXCHANGE TRADE 12.5IE00B7MXFZ59 SPDR EM IN LI/SHS EXCHANGE TRADED 12.5IE00B7N3YW49 PIMCO SH-T HG/PTG.SHS EXCHANGE TR 12.5IE00B7SD4R47 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B7SX5Y86 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B7VB3908 BOOST ISSUER/REGD.SECURITIES 2012-3 12.5IE00B7WK2W23 UBS MSCI AC ASI/ACCUM.PTG.SHS CLAS 12.5IE00B7XD2195 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B7XYN974 ISHS MSCI JAPAN/ACCUM SHS GBP EXC 12.5IE00B7Y34M31 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5

IE00B7ZQC614 BOOST ISSUER/REGD.ETP SECURITIES 12.5IE00B802KR88 SPDR US LOW VOL/ACCUM.SHS EXCHAN 12.5IE00B810Q511 VANG FTSE 100/PTG.SHS GBP 12.5IE00B84D7P43 FIN BAR TRAD/PTG.SHS EXCHANGE TRA 3.5IE00B86MWN23 ISH VI EDG EUR/SHS EUR EXCHANGE TR 12.5IE00B873CW36 BOOST ISSUER/ETFPLUS 2013-30.11.26 12.5IE00B878KX55 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B87G8S03 ISHS AAA-AA BD/PTG.SHS EXCHANGE TR 12.5IE00B87RLX93 ISHS EUR CO BD/SHS EXCHANGE TRADED 12.5IE00B88D2999 BOOST ISSUER/REGD.LEVERAGE DAILY E 12.5IE00B88DZ566 ISHS S P 500/ACCUM SHS HEDGED CHF E 3.5IE00B8BVCK12 ISHS MSCI WORLD/ACCUM SHS HEDGED 3.5IE00B8CJW150 SM US EN INF/PTG.SHS -B- USD 12.5IE00B8FHGS14 ISH VI EDG VOL/SHS USD EXCHANGE TR 12.5IE00B8GF1M35 SPDR REAL EST/SHS EXCHANGE TRADED 12.5IE00B8GKDB10 VN HG DV ETF/PTG.SHS EXCHANGE TRA 12.5IE00B8GKPP93 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8HGT870 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8J37J31 ISHS MSCI JAP/ACCUM.SHS EXCHANGE 7.5IE00B8JF9153 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8JG1787 BOOST ISSUER/REGD.COMMODITY SECUR 12.5IE00B8JVMZ80 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8K7KM88 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8KD3F05 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8KGV557 ISH VI EDG EM/ACCUM SHS USD EXCHA 12.5IE00B8KMSQ34 CFSDBX S P 500/ACCUM SHS -3C- HEDG 12.5IE00B8KQFS66 ISHS GLB HY BD/SHS EXCHANGE TRADED 12.5IE00B8NB3063 BOOST ISSUER/ETFPLUS 2013-30.11.26 12.5IE00B8VC8061 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8VZVH32 BOOST ISSUER/REGD.ETP SECURITIES 20 12.5IE00B8W5C578 BOOST ISSUER/ETP SECURITIES 2012-30 12.5IE00B8X9NW27 FI TR US LA CAP/ACCUM.SHS EXCHANGE 12.5IE00B8X9NX34 FI TR EM MK ALP/ACCUM.SHS EXCHANG 12.5IE00B8X9NY41 FIR TR EURO ALP/ACCUM.PTG.SHS EXCH 12.5IE00B8X9NZ57 FI TR UK ALPHA/ACCUM.SHS EXCHANGE 12.5IE00B910VR50 SPDR MCSI EMU/ACCUM.SHS EXCHANGE 12.5IE00B945VV12 VAN FTSE DV EU/PTG.SHS EXCHANGE TR 12.5IE00B94QKC83 BOOST ISSUER/LEVERAGE DAILY ETP 201 12.5IE00B94QKF15 BOOST ISSUER/SHORT DAILY ETP 2013-3 12.5IE00B94QKG22 BOOST ISSUER/SHORT DAILY ETP 2013-3 12.5IE00B94QKJ52 BOOST ISSUER/LEVERAGE DAILY ETP 201 12.5IE00B94QKS44 BOOST ISSUER/LEVERAGE DAILY ETP 201 12.5IE00B94QKT50 BOOST ISSUER/SHORT DAILY ETP 2013-3 12.5IE00B94QKW89 BOOST ISSUER/SHORT DAILY ETP 2013-3 12.5IE00B94QKX96 BOOST ISSUER/LEVERAGE DAILY ETP 201 12.5IE00B94QL251 BOOST ISSUER/SHORT DAILY ETP 2013-3 12.5IE00B94QL699 BOOST ISSUER/LEVERAGE DAILY ETP 201 12.5IE00B94QL921 BOOST ISSUER/SHORT DAILY ETP 2013-3 12.5IE00B94QLN63 BOOST ISSUER/LEVERAGE DAILY ETP 201 12.5IE00B94QLR02 BOOST ISSUER/SHORT DAILY ETP 2013-3 12.5IE00B94ZB998 SM US EN INF/PTG.SHS -A- USD 12.5IE00B95FFX04 UBS MAP BA 7 SF/ACCUM.PTG.SHS EXC 12.5IE00B95PGT31 VAN FTSE JAP/PTG.SHS EXCHANGE TRAD 12.5IE00B97C0C31 KIBO MINING /NA EUR0.015 12.5IE00B988C465 ISHS GLB HY BD/SHS HEDGED CHF EXCH 3.5IE00B99FL386 SSGA BAR US HY/PTG.SHS EXCHANGE TR 12.5IE00B9CQXS71 SPDR S P GL DIV/PTG.SHS EXCHANGE TR 12.5

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IE00BLS09N40 BOOST ISSUER/ETFPLUS - ETC/ETN 2014- 12.5IE00BLS09P63 BOOST ISSUER/ETFPLUS - ETC/ETN 2014- 12.5IE00BLSNMW37 POW GL BUY ARCH/SHS EXCHANGE TRA 12.5IE00BLY1QG30 FUNDLOGIC MS/PTG.SHS EXCHANGE TR 12.5IE00BM67HJ62 CON DBX FTSE AW/ACCUM.PTG.SHS EX 12.5IE00BM67HK77 CON DB-X HEALTH/ACCUM.PTG.SHS EX 12.5IE00BM67HL84 CON DB-X WR FIN/ACCUM.PTG.SHS EXC 12.5IE00BM67HM91 CON DBX WRL EN/ACCUM.PTG.SHS EXC 12.5IE00BM67HN09 CON DBX WRL CON/ACCUM.PTG.SHS EX 12.5IE00BM67HP23 CON DBX WLD DIS/ACCUM.PTG.SHS EX 12.5IE00BM67HQ30 CON DBX WLD UTI/ACCUM.PTG.SHS EX 12.5IE00BM67HR47 CON DBX WLD TEL/ACCUM.PTG.SHS EX 12.5IE00BM67HS53 CON DBX WLD MAT/ACCUM.PTG.SHS E 12.5IE00BM67HT60 CO DBX INF TEC/ACCUM.PTG.SHS EXCH 12.5IE00BM67HV82 CON DBX WLD IND/ACCUM.PTG.SHS EX 12.5IE00BM67HW99 CFSDBX S P 500/ACCUM SHS -1C- HEDG 12.5IE00BM67HX07 CFSDBX S P 500/ACCUM SHS -2C- HEDG 12.5IE00BMP3HG27 UBS ETF DJ DIV/PTG.SHS EXCHANGE TRA 12.5IE00BMP3HJ57 UBS ETF EMU CYC/PTG.SHS EXCHANGE T 12.5IE00BMP3HL79 UBS ETF EMU DEF/PTG.SHS EXCHANGE T 12.5IE00BMP3HN93 UBS ETF UK RESP/PTG.SHS CLASS -A- GB 12.5IE00BMW3NY56 SM GS EQ IN EUR/ACCUM.PTG.SHS EXC 12.5IE00BMW3QX54 GO UCITS ROBO/ACCUM.SHS EXCHANGE 12.5IE00BNH72088 SPDR CON BD ETF/PTG.SHS EXCHANGE T 12.5IE00BP3QZ601 ISH IV EDG QLTY/ACCUM SHS USD EXCH 12.5IE00BP3QZ825 ISH IV EDG MOM/ACCUM SHS USD EXC 12.5IE00BP3QZB59 ISH IV EDG VAL/ACCUM SHS USD EXCHA 12.5IE00BP3QZD73 ISH IV EDG FACT/ACCUM SHS USD EXCH 12.5IE00BP3QZG05 ISH TA-35 ISRL/ACCUM SHS USD 12.5IE00BP3QZJ36 ISH MSCI FRAN/ACCUM.PTG.SHS EXCHA 12.5IE00BP46NG52 SSGA SPDR MERR/PTG.SHS EXCHANGE T 12.5IE00BP9F2H18 PIM LD US CORP/PTG.SHS EXCHANGE TR 12.5IE00BP9F2J32 PIM LD EUR CORP/PTG.SHS EXCHANGE 12.5IE00BPRCH686 SOU JPX 400 ETF/ACCUM.PTG.SHS EXCH 12.5IE00BPVLQD13 CON DBX JPXN/PTG.SHS EXCHANGE TRA 12.5IE00BPVLQF37 CON DBX JPXN/PTG.SHS EXCHANGE TRA 12.5IE00BPYPPK00 FL MS SCIE US/ACCUM.PTG.SHS EXCHA 12.5IE00BQ70R696 SOU NASDAQ BIO/ACCUM.PTG.SHS EXC 12.5IE00BQN1K562 ISH IV ED EU QL/ACCUM SHS EUR EXCH 12.5IE00BQN1K786 ISH IV EDG FACT/ACCUM SHS EUR EXCH 12.5IE00BQN1K901 ISH IV EDG VAL/ACCUM SHS EUR EXCHA 12.5IE00BQN1KC32 ISH IV EDG FAC/ACCUM SHS EUR EXCHA 12.5IE00BQQ3Q067 WIS EM EQ INC/PTG.SHS EXCHANGE TR 12.5IE00BQQP9F84 VANECK GLD MIN/ACCUM SHS -A- USD E 12.5IE00BQQP9G91 VANECK JUN GLD/ACCUM SHS -A- USD E 12.5IE00BQQP9H09 VANECK VEC MORN/ACCUM SHS -A- USD 12.5IE00BQT3VN15 ISHS US EQ BUY/ACCUM.PTG.SHS EXCH 12.5IE00BQT3W831 ISHS JPX-NI 400/ACCUM SHS EUR 12.5IE00BQT3WG13 ISH MSCI CHIN A/ACCUM.PTG.SHS EXCH 12.5IE00BQWJFQ70 SPDR MORNI M-A/PTG.SHS EXCHANGE 12.5IE00BQXKVQ19 CONC DB XTR SE/ACCUM.PTG.SHS EXCH 12.5IE00BQZJBM26 WIS EM SMCAP/PTG.SHS EXCHANGE TR 12.5IE00BQZJBQ63 WISD US EQTY IN/PTG.SHS EXCHANGE T 12.5IE00BQZJBT94 WISD US SMACAP/PTG.SHS EXCHANGE 12.5IE00BQZJBX31 WIS EUR EQ INC/PTG.SHS EXCHANGE TR 12.5IE00BQZJC527 WIS EUR SMLCAP/PTG.SHS EXCHANGE T 12.5IE00BRHZ0398 ISHS TARG UK RE/PTG.SHS EXCHANGE T 12.5

IE00BRHZ0620 ISH III TRG US/PTG.SHS EXCHANGE TRA 12.5IE00BRK94N63 SOUR RBIS EQTY/ACCUM SHS -A- EUR EX 12.5IE00BRKWGL70 SOURCE S P 500/ACCUM.PTG.SHS EXCH 12.5IE00BS7K8821 SSGA BARCL 35/PTG.SHS EXCHANGE TR 12.5IE00BSJCQV56 SSQA EPRA RE/ACCUM.PTG.SHS EXCHA 12.5IE00BSKRJX20 ISHS USD GOV 20/EUR SHS EUR EXCHAN 12.5IE00BSKRJZ44 ISHS USD TR 20/PTG.SHS EXCHANGE TR 12.5IE00BSKRK281 ISHS EUR BBB-BB/EUR SHS EUR EXCHAN 12.5IE00BSKS1J57 NOM NIK 225 EUR/ACCUM.PTG.SHS EXC 12.5IE00BSMSXM06 NOM NIK 225 USD/ACCUM.PTG.SHS EX 12.5IE00BSPLC298 SSGA EURO SMALL/ACCUM.PTG.SHS EX 12.5IE00BSPLC306 SSGA EURO VALUE/ACCUM.PTG.SHS EX 12.5IE00BSPLC413 SSGA USA SMALL/ACCUM.PTG.SHS EXC 12.5IE00BSPLC520 SSGA USA VALUE/ACCUM.PTG.SHS EXC 12.5IE00BSVYHP04 GO EM LOC BND/SHS EXCHANGE TRADE 12.5IE00BSVYHQ11 GO LO GLB GV BD/SHS EXCHANGE TRAD 12.5IE00BSVYHT42 GO EUR CRP BD/SHS EXCHANGE TRADED 12.5IE00BSVYHV63 GO GLB CRP BD/SHS EXCHANGE TRADED 12.5IE00BT9PVG14 FT SWITZ ALPH/ACCUM SHS -A- CHF EXC 12.5IE00BTFR5140 UBS MAP BA 7 SF/ACCUM.PTG.SHS EXC 12.5IE00BTGD1B38 CON DBX JPXN/ACCUM.PTG.SHS EXCHA 12.5IE00BTN1Y115 MEDTRONIC/NA USD0.0001 7.5IE00BVC3VM20 ISHS 2018 CORP/PTG.SHS EXCHANGE TR 12.5IE00BVDPJP67 ISHS MSCI EX-UK/SHS HEDGED GBP EXC 12.5IE00BVFB1H83 WISDTR ISEQ 20/PTG.SHS EXCHANGE TR 12.5IE00BVFZGC04 BOOST ISSUER/ETFPLUS - ETC/ETN 2015- 12.5IE00BVFZGD11 BOOST ISSUER/ETFPLUS - ETC/ETN 12.5IE00BVFZGF35 BOOST ISSUER/ETFPLUS - ETC/ETN 2015- 12.5IE00BVFZGG42 BOOST ISSUER/ETFPLUS - ETC/ETN 2015- 12.5IE00BVFZGH58 BOOST ISSUER/ETFPLUS - ETC/ETN 2015- 12.5IE00BVFZGK87 BOOST ISSUER/ETFPLUS - ETC/ETN 12.5IE00BVFZGL94 BOOST ISSUER/ETFPLUS - ETC/ETN 2015- 12.5IE00BVGC3741 MALIN CORP/NA EUR0.001 12.5IE00BVGC6751 SOU JPX 400 ETF/ACCUM.PTG.SHS EXCH 12.5IE00BVVSZ262 NOM JPX-NIK EUR/ACCUM.PTG.SHS EX 12.5IE00BVVSZ379 NOM JPX-NIK USD/ACCUM.PTG.SHS EX 12.5IE00BVXBGY20 WISTRE GERM EQU/PTG.SHS EXCHANGE 12.5IE00BVXBH163 WISD EUROPE EQT/PTG.SHS EXCHANGE 12.5IE00BVXC4854 WISD JAP EQT/PTG.SHS EXCHANGE TRA 12.5IE00BVZ6SP04 PIMCO EUR SH MT/ACCUM.PTG.SHS EX 12.5IE00BVZ6SQ11 PIMCO SH-T HG/ACCUM.PTG.SHS EXCH 12.5IE00BWB8X525 PERMANENT TSB/NA EUR0.5 12.5IE00BWBXM278 SSGA S P US DIS/ACCUM.PTG.SHS EXCH 12.5IE00BWBXM385 SSGA S P US STA/ACCUM.PTG.SHS EXCH 12.5IE00BWBXM492 SSGA S P EN SEL/ACCUM.PTG.SHS EXCH 12.5IE00BWBXM500 SSGA S P US FIN/ACCUM.PTG.SHS EXCH 12.5IE00BWBXM617 SSGA S P US HEA/ACCUM.PTG.SHS EXCH 12.5IE00BWBXM724 SSGA S P US IND/ACCUM.PTG.SHS EXCH 12.5IE00BWBXM831 SSGA S P US MAT/ACCUM.PTG.SHS EXC 12.5IE00BWBXM948 SSGA S P TECH/ACCUM.PTG.SHS EXCHA 12.5IE00BWBXMB69 SSGA S P UTILIT/ACCUM.PTG.SHS EXCH 12.5IE00BWC52F58 PIM LD US CORP/ACCUM.PTG.SHS EXCH 3.5IE00BWC52G65 PIMCO SH-T HG/ACCUM.PTG.SHS EXCH 3.5IE00BWFDP688 SOU ST EUR EXP/ACCUM.PTG.SHS EXCH 12.5IE00BWFDP795 SOU ST JAP EXP/ACCUM.PTG.SHS EXCH 12.5IE00BWK1SP74 ISH VII EMU CHF/ACCUM.PTG.SHS EXCH 7.5IE00BWT3KJ20 UBS LOW VOLAT/ACCUM.PTG.SHS EXCH 12.5

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US4495972022 IG SEISMIC/NA 12.5US45409E1010 INDIABULLS REAL/SHS SPONSORED GLO 12.5US4581401001 INTEL/NA USD0.001 7.5US45866F1049 INTERCONT EXCH/NA 7.5US4592001014 IBM/NA USD0.2 7.5US4593781051 NIO/NA 12.5US4601461035 INTL PAPER/NA USD1 7.5US46627J3023 HALYK BANK/SHS SPONSORED GLOBAL 12.5US46630Q2021 VTB BANK/SHS SPONSORED GLOBAL DE 12.5US4781601046 JOHNSON JOHNS/NA USD1 3.5US48122U2042 SISTEMA/SHS SPONSORED GLOBAL DEPO 12.5US48268G1004 KT G CORP/SHS SPONSORED GLOBAL DE 7.5US48666E6086 KAZKOMMERTSBANK/SHS SPONSORED 12.5US48666V2043 KAZMUNAYGAS/SHS SPONSORED GLOBA 12.5US48668G2057 KCELL/SHS SPONSORED GLOBAL DEPOSI 12.5US50186Q2021 LG ELECTRONICS/PFD SHS SP. GLB. DEP 12.5US50218G2066 LSR GROUP/SHS SPONSORED GLOBAL D 12.5US5223862005 SOLIDERE/SHS -A- SPONSORED GLOBAL 12.5US52634T2006 LENTA/SHS SPONSORED GLOBAL DEPOSI 12.5US5324571083 ELI LILLY CO/NA ON 7.5US54569T1060 LOTTE SHOPPING/SHS SPONSORED GLO 12.5US55279C2008 MD MED GR INV/SHS SPONSORED GLOB 12.5US55302T2042 MHP/SHS SPONSORED GLOBAL DEPOSIT 12.5US55315J1025 MMC NORILSK NIC/NA OST ON 12.5US5591892048 MAGNITOGORSK IR/SHS SPONSORED GL 12.5US55953Q2021 MAGNIT/SHS SPONSORED GLOBAL DEPO 12.5US5603172082 MAIL.RU GROUP/SHS SPONSORED GLOB 12.5US5801351017 MCDONALD'S/NA USD0.01 3.5US58517T2096 MEGAFON/SHS SPONSORED GLOBAL DEP 12.5US5927691031 MEXA GOLD/NA 12.5US6084642023 MOL/SHS SPONSORED AMERICAN DEPOS 12.5US64110W1027 NETEASE/SHS SPONSORED AMERICAN D 12.5US65557T2050 NORD GOLD/SHS SPONSORED GLOBAL D 12.5US6677131012 NWEST OIL GAS/NA USD0.001 12.5US6698881090 NOVATEK/SHS SPONSORED GLOBAL DEP 12.5US67011E2046 NLMK/SHS SPONSORED GLOBAL DEPOSIT 12.5US67011U2087 NOVOROSS PORT/SHS SPONSORED GLO 12.5US6708662019 O'KEY GROUP/SHS SPONSORED GLOBAL 12.5US67102R3049 OMV PETROM/SHS SPONSORED GLOBAL 12.5US67778Q2003 OIL GAS DEVT/SHS SPONSORED GLOBAL 12.5US67812M2070 ROSNEFT/SHS SPONSORED GLOBAL DEPO 12.5US68555D2062 ORASCOM TEL MED/SHS SPONSORED G 12.5US69331C1080 PG E CORP/NA ON 3.5US69338N2062 PIK GROUP/SHS SPONSORED GLOBAL DE 7.5US69343P1057 LUKOIL/SHS SPONSORED AMERICAN DE 12.5US69343X2071 ROSSETI/SHS SPONSORED GLOBAL DEPO 12.5US70450Y1038 PAYPAL HLDGS/REG SH 7.5US7134481081 PEPSICO/NA USD0.0167 3.5US7170811035 PFIZER/NA USD0.05 7.5US7181721090 PHILIP MRRS INT/NA ON 3.5US71922G2093 PHOSAGRO/SHS SPONSORED GLOBAL D 12.5US7434651060 PROPHOTONIX/NA USD0.001 22.5US7496552057 ROS AGRO/SHS GLOBAL DEPOSIT RECEIP 12.5US75945L2025 RELIANCE CAPITA/SHS SPONSORED GLO 12.5US75945T2050 RELIANCE COMMUN/SHS SPONSORED G 12.5US7594701077 RELIANCE INDUST/SHS SPONSORED GLO 12.5US75970X1054 RENDATO/NA 12.5

US7785291078 ROSTELECOM/SHS SPONSORED AMERIC 12.5US7821834048 RUSHYDRO/SHS SP ADR REPR 100 SHS 12.5US78467X1090 SPDR DJ IND AVG/TRUST UNITS 12.5US7960502018 SAMSUNG ELECTRO/NON-VTG PFD SHS 12.5US7960508882 SAMSUNG ELECTRO/SHS SP GLOBAL DE 12.5US80585Y3080 SBERBANK/SHS SPONSORED AMERICAN 12.5US8181503025 SEVERSTAL/SHS SPONSORED GLOBAL D 12.5US82455T2033 SHIN KONG FINAN/SHS SPONSORED GL 12.5US83367U2050 ROMGAZ SA/SHS SPONSORED GLOBAL D 12.5US83367Y2072 ELECTRICA/SHS SP GDR REPR4 SHS R-S 12.5US8565522039 STATE BANK OF I/SHS SPONSORED GLOB 12.5US8688612048 SURGUTNEFTEGAS/SHS SPONSORED AM 12.5US87238U2033 TCS GROUP HLDG/NA KL A USD1 12.5US87260R2013 TMK/SHS SPONSORED GLOBAL DEPOSIT 12.5US87656Y4061 TATA STEEL/SHS SPONSORED GLOBAL D 12.5US8766292051 TATNEFT/SHS SPONSORED AMERICAN D 12.5US87927T2024 TELECOM EGYPT/SHS SPONSORED GLOB 12.5US88579Y1010 3M/NA USD0.01 3.5US8935561006 TRANSCONTAINER/SHS SPONSORED GL 12.5US89355W1036 TRANSATL CAPIT/NA USD0.001 12.5US9098832093 UNITED CO RUS/SHS SPONSORED GLOBA 12.5US91912E1055 VALE/SHS SPONSORED AMERICAN DEPO 12.5US92343V1044 VERIZON COMM /NA USD0.1 7.5US92718P2039 VIMETCO/SHS SPONSORED GLOBAL DEP 12.5US9726572095 WINBOND ELEC/SHS SPONSORED GLOBA 7.5US9815741064 WORLDWIDE ENRG/NA 12.5US98387E2054 X5 RETAIL GROUP/SHS SPONSORED GLO 12.5US9841211033 XEROX/NA USD1 17.5US98935J1025 ZENITH BANK/SHS SPONSORED GLOBAL 12.5US98956P1021 ZIMMER BIOMET/NA USD0.01 7.5USD USD #N/AUSU009251047 AION DIAGNOST/NA 12.5USU026281027 FORTUNE MNGMT/NA USD0.00001 12.5USU1022Q1196 BPRE BIOPOWER/PFD SHS REG-S 12.5USU3823M2062 GOLDFISH HLDGS/NA 12.5USU4492Q1225 ICC INTL COALIT/NA 12.5USU618801075 MUSICMUSICMUSIC/NA 12.5USU834501038 SOMERO ENTERPRI/NA USD0.001 12.5USX607461166 OTP BANK/SHS SPONSORED GLOBAL DE 12.5USY097891193 RELIANCE INFRA/SHS SPONSORED GLOB 12.5USY150411251 CHINA STEEL/SHS SPONSORED GLOBAL 12.5USY384721251 HYUNDAI MOTOR/SHS SPONSORED GLO 12.5USY4211T1145 ITC/SHS SPONSORED GLOBAL DEPOSIT R 7.5USY5217N1183 LARSEN TOUBRO/SHS SPONSORED GLOB 12.5USY541641194 MAHINDRA MAHI/SHS UNSPONSORED G 12.5USY854791065 TATA POWER/SHS SPONSORED GLOBAL 7.5VG1574371129 CHAGALA GROUP/IA USD0.1 12.5VGG008271162 ADAMAS FINANCE/NA 12.5VGG017801082 ALL ASIA ASSET/NA 12.5VGG042401007 AMUR MINERALS/NA ON 12.5VGG0697K1066 ATLAS MARA/NA 12.5VGG1195V1076 BLUESTAR SECUT/NA 12.5VGG203461055 CHAARAT GOLD/NA USD0.01 12.5VGG2803G1028 DOLPHIN CAP INV/NA EUR0.01 12.5VGG290991014 EASTER PRTY HLD/NA ON 12.5VGG3191T1021 EUROPEAN METALS/NA ON 12.5VGG3338A1075 FALANX GROUP/NA 12.5

VGG359451074 FLEX LNG/NA USD0.01 17.5VGG3637V1094 FORMULAFIRST/IA CHF0.01 3.5VGG379591065 GEM DIAMONDS/NA OST USD0.01 12.5VGG393181034 GLOBAL LOCK SAF/NA ON 12.5VGG3960L1085 GOLDEN SAINT RS/NA ON 12.5VGG4265J1030 ASIANLOGIC/NA 12.5VGG548121059 SYMPHONY INTERN/NA ON 12.5VGG550931015 LIVERMORE INVMT/NA 12.5VGG574851074 WALCOM GROUP/NA 12.5VGG5S26K1079 MAYAN ENERGY/NA ON 12.5VGG614091012 MINDS + MACHS/NA 12.5VGG636111004 MYANMAR INV INT/NA ON 12.5VGG636111186 MYANMAR INV INT/C OS MIL 0.75 12.5VGG6361G1072 MYSQUAR/NA 12.5VGG640631039 NCONDEZI ENERGY/NA ON 12.5VGG666521197 NORTHWEST INV/NA GBP0.005 12.5VGG6844A1158 POLO RESOURCES/NA ON 12.5VGG7223M1005 PREMIER AFR MIN/NA ON 12.5VGG7552A1075 UPLAND RESOUR/NA 12.5VGG7996N1298 SEFTON RESOURCE/IA 12.5VGG870911077 TECHFINANCIALS/NA 12.5VGG878801031 THALASSA HLDG /NA USD0.01 12.5VGG885761061 THUNDERBIRD RES/NA 12.5VGG955191074 WEST PIONEER PR/NA USD0.1 12.5VGG9888M1023 ZANAGA IRON ORE/NA ON 12.5XC000A1W9ME3 REPLY/QUOTA FRAZIONALE 12.5XS0416722857 CODEIS SEC/REGD.NOTES 2009-WITHOU 12.5XS1051723895 AIR BERLIN/5.625 FIXED RATE NOTES 2 13.9XS1073720911 SG ISSUER/ETFPLUS 2014-OPEN END ON 12.5XS1073721307 SG ISSUER/ETFPLUS 2014-OPEN END ON 12.5XS1073721646 SG ISSUER/ETFPLUS 2014-OPEN END ON 12.5XS1073721729 SG ISSUER/ETFPLUS 2014-OPEN END ON 12.5XS1101723622 SG ISSUER/ETFPLUS 2014-OPEN END ON 12.5XS1331888609 FORD MOTOR CRED/4.05 NOTES 2015-10 1ZAE000002275 DRDGOLD/IA ZAR1 12.5ZAE000006284 SAPPI/NA ZAR1 12.5ZAE000015228 HARMONY GOLD MI/NA ZAR0.5 12.5ZAE000017745 DATATEC/NA ZAR0.01 12.5ZAE000018123 GOLD FIELDS/NA ZAR0.5 12.5ZAE000026639 BARLOWORLD/NA ZAR0.05 12.5ZAE000043485 ANGLOGOLD ASHAN/NA ZAR0.25 12.5ZAE000076014 PETMIN/NA ZAR0.25 7.5ZAE000083648 IMPALA PLAT HLD/NA ZAR0.025 12.5ZAE000096541 TONGAAT HULETT/NA ZAR1 12.5ZAE000127460 SACOIL HOLDINGS/NA ON 12.5ZM0000000037 ZCCM INVTS/NA OST ZMW0.01 12.5ZM0000000201 ZAMBEEF PRODUCT/NA ZMW0.01 12.5

Initial Margin rates on individual contracts, where the CCP sets such rates

IM-rate x-clear Norwegian Branch#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

80#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A



#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

55#N/A

30#N/A#N/A

2040

#N/A#N/A#N/A#N/A#N/A#N/A#N/A

20#N/A

30#N/A

15#N/A#N/A#N/A#N/A

30#N/A#N/A#N/A

30#N/A#N/A1004040

#N/A15

#N/A40

#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

817

#N/A

#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

1617

#N/A30

#N/A60

#N/A#N/A#N/A

25#N/A#N/A#N/A#N/A

40#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A


#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

5#N/A#N/A#N/A#N/A













#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A











#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

16#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A



#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

16#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A









#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A

0#N/A

0#N/A#N/A#N/A#N/A#N/A#N/A

60#N/A

5060

100#N/A

80#N/A

60#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A#N/A


















8116

13#N/A

#N/A#N/A#N/A#N/A

19121017

#N/A#N/A#N/A#N/A#N/A#N/A

11#N/A

15#N/A

108


917149

#N/A#N/A#N/A#N/A#N/A

8#N/A#N/A#N/A

986

12#N/A

1110

#N/A16

#N/A8

10#N/A#N/A#N/A

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Type of initial margin model used (e.g. portfolio simulation or risk aggregation) for each clearing service and the key model design parameters for each initial margin model applied to that clearing serviceQuarterly

Cash Markets x-clear ZürichType of initial margin model: Risk aggregationConfidence level targeted: 99%Sample/data look-back period: 2 years

none

Close-out periods by product:

See chapter 5.2 of

Frequency of parameter reviews: monthly

RMS Margin Validation

Type of initial margin model: Portfolio simulationConfidence level targeted: 99%Sample/data look-back period: as of 2008 (EWMA)

EWMA with Lambda = 0.95

Close-out periods by product:

n.a.

Frequency of parameter reviews: yearly

CLARA Margin Model

Type of initial margin model: n.aConfidence level targeted: n.aSample/data look-back period: n.a

n.aClose-out periods by product: n.a

n.a

Frequency of parameter reviews:n.a

SECOM Initial Margin Model









clr-xcl-500-en.pdf

Type of initial margin model used (e.g. portfolio simulation or risk aggregation) for each clearing service and the key model design parameters for each initial margin model applied to that clearing service

Cash Markets x-clear Norwegian Branch Derivatives x-clear Norwegian Branchn.a n.an.a n.an.a n.a

n.a n.a

n.a n.a

n.a n.a

n.a n.a

n.a n.an.a n.an.a n.a

n.a n.a

n.a n.a

n.a n.a

n.a n.a

Portfolio simulation Portfolio simulation99% 99%2 years 2 years

2 - 10 days 2 - 10 days

n.a n.a

We consider 500 days unweighted returns, 60 days unweighted returns and 60 days weighted returns (lambda = 0,94) for setting of margin rates. For implied volatility estimates, EWMA with lambda of 0,9x is considered.

Monthly for main underlying instruments, quarterly for all instruments. Additional ad-hoc reviews upon need.

clr-xcl-500-en.pdf

Type of initial margin model used (e.g. portfolio simulation or risk aggregation) for each clearing service and the key model design parameters for each initial margin model applied to that clearing service

Results of back-testing of initial margin. At a minimum, this should include, for each clearing service and each initial margin model applied to that clearing service:Quarterly

Peak

Number of observations Peak

Achieved coverage level Peak worst confidence level achieved

Peak

Average Average number of breaches

Number of observations Average

Achieved coverage level Average Average confidence level achieved

Average Expected shortfall


highest number of breaches for any account / member

maximum number of observations for any account / member


Biggest breach for any account / member


average number of observations for any account / member


Results of back-testing of initial margin. At a minimum, this should include, for each clearing service and each initial margin model applied to that clearing service:

x-clear Zürich (SECOM) x-clear Norwegian Branch (CLARA)

6 2

261 258

97.41% 99.22%

-19,005,254 -1,877,344

1 0

249 224

99.72% 99.96%

-719,578 -313,441

Liquidity Risk - 7.1; Multiple ItemsQuarterly

(b) Cash deposited at other central banks

(h) other

State whether the clearing service maintains sufficient liquid resources to 'Cover 1' or 'Cover 2'.


(a) Cash deposited at a central bank of issue of the currency concerned

Size and composition of qualifying liquid resources for each clearing serviceSize and composition of qualifying liquid resources for each clearing service

(c) Secured cash deposited at commercial banks (including reverse repo)


(d) Unsecured cash deposited at commercial banks


(e) secured committed lines of credit (ie those for which collateral/security will be provided by the CCP if drawn) including committed foreign exchange swaps and committed repos;


(f) unsecured committed lines of credit (ie which the CCP may draw without providing collateral/security);


(g) highly marketable collateral held in custody and investments that are readily available and convertible into cash with prearranged and highly reliable funding arrangements even in extreme but plausible market conditions;

Size and composition of qualifying liquid resources for each clearing serviceState whether the CCP has routine access to central bank liquidity or facilities.

Details regarding the schedule of payments or priority for allocating payments, if such exists, and any applicable rule, policy, procedure, and governance arrangement around such decision making.

All clearing services

Yes

500,000,000

0

0

470,913,145

0

0

706,586,288

0

Yes

Size and composition of any supplementary liquidity risk resources for each clearing service above those qualifying liquid resources above.Quarterly


0 0Size and composition of any supplementary liquidity risk resources for each clearing service above those qualifying liquid resources in 7.1

Size and composition of any supplementary liquidity risk resources for each clearing service above those qualifying liquid resources above.

Liquidity RiskQuarterly

What is the estimated largest same-day and, where relevant, intraday and multiday payment obligation in total that would be caused by the default of any single participant and its affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?

Report the number of business days, if any, on which the above amount exceeded its qualifying liquid resources (identified as in 7.1, and available at the point the breach occurred), and by how much.

What is the actual largest intraday and multiday payment obligation of a single participant and its affiliates (including transactions cleared for indirect participants) over the past twelve months?

What is the estimated largest same-day and, where relevant, intraday and multiday payment obligation in each relevant currency that would be caused by the default of any single participant and its affiliates (including transactions cleared for indirect participants) in extreme but plausible market conditions?

Report the number of business days, if any, on which the above amounts exceeded its qualifying liquid resources in each relevant currency (as identified in 7.1 and available at the point the breach occurred), and by how much.

Aggregate CCP level

reported quarterly CHF 1,741,411,469

No. of days in quarter # 0

Amount of excess on each day CHF 0

CHF 1,741,411,469

AUD 538,763CAD 1,477,383CHF 1,547,490,678DKK 10,873,468EUR 126,056,636GBP 114,201,822HKD 526JPY 5,684,203NOK 85,792,286SEK 19,734,914SGD 439,826USD 63,526,730

No. of days in quarter

AUD 2CAD 2CHF 2DKK 2EUR 2GBP 2HKD 2JPY 2NOK 2SEK 2SGD 2USD 0AUD 539,377CAD 1,469,161CHF 152,439,340DKK 12,272,526EUR 280,803,394GBP 115,079,659HKD 526JPY 5,683,614NOK 70,114,892SEK 21,886,202SGD 439,826USD 0

Peak day amount in previous twelve months

measured in CHF equivalent reported quarterly

amount of excess in CHF equivalent

Percentage of settlements by value effected using a DvP, DvD or PvP settlement mechanismQuarterly

Percentage of settlements by value effected using a DvP settlement mechanismPercentage of settlements by value effected using a DvD settlement mechanismPercentage of settlements by value effected using a PvP settlement mechanism

Percentage of settlements by value effected using a DvP, DvD or PvP settlement mechanism

Cash Markets Derivatives100% 100%

0% 0%0% 0%

Percentage of settlements by volume effected using a DvP, DvD or PvP settlement mechanismQuarterly

Percentage of settlements by volume effected using a DvP settlement mechanismPercentage of settlements by volume effected using a DvD settlement mechanismPercentage of settlements by volume effected using a PvP settlement mechanism

Percentage of settlements by volume effected using a DvP, DvD or PvP settlement mechanism

Cash Markets Derivatives100% 100%

0% 0%0% 0%

CCPs are encouraged, subject to legal constraints on timing and content, to disclose as soon as practicable quantitative information related to defaultsAd-Hoc; As Time Permits

Amount of loss versus amount of initial marginAmount of other financial resources used to cover lossesProportion of client positions closed-out/portedAppropriate references to other published material related to the defaults

CCPs are encouraged, subject to legal constraints on timing and content, to disclose as soon as practicable quantitative information related to defaults

Cash Markets Derivativesn.a. n.a.n.a. n.a.n.a. n.a.n.a. n.a.

Total Client Positions held in the following as a share of notional values cleared or of the settlement value of securities transactionsQuarterly

Cash MarketsTotal Client Positions held in individually segregated accounts 0%Total Client Positions held in omnibus client-only accounts, other than LSOC accounts 0%Total Client Positions held in legally segregated but operationally comingled (LSOC) accounts 0%Total Client Positions held in comingled house and client accounts 100%

Total Client Positions held in the following as a share of notional values cleared or of the settlement value of securities transactions

Derivatives21%

8%0%

36%

General business risk; 15.1, multiple itemsAnnual

SIX x-clear LtdValue of liquid net assets funded by equity 83,283,996 Six months of current operating expenses 9,238,824

Under this item a CCP should disclose the amount of liquid net assets funded by equity which can absorb general business losses. This should, at a minimum, equal at least six months of current operating expenses in accordance with Principle 15. The CCP should not include in its disclosure for 15.1(a) such amount of its own capital as must be allocated or held for other purposes, such as “skin in the game” in the default waterfall, and is not therefore available to cover business risks.

Under this item a CCP should disclose the amount of liquid net assets funded by equity which can absorb general business losses. This should, at a minimum, equal at least six months of current operating expenses in accordance with Principle 15. The CCP should not include in its disclosure for 15.1(a) such amount of its own capital as must be allocated or held for other purposes, such as “skin in the game” in the default waterfall, and is not therefore available to cover business risks.

The CCP should not include in its disclosure for 15.1(a) such amount of its own capital as must be allocated or held for other purposes, such as “skin in the game” in the default waterfall, and is not therefore available to cover business risks.

General business risk; Financial DisclosuresAnnual

Total RevenueTotal ExpenditureProfitsTotal AssetsTotal LiabilitiesExplain if collateral posted by clearing participants is held on or off the CCP's balance sheetAdditional items as necessary

SIX x-clear Ltd 30,958,388 -32,281,329 -1,322,941 1,580,254,532 1,496,970,536 Only the effectively used collateral remains on x-clear's balance sheet.n/a

General business risk; Income breakdownAnnual

Percentage of total income that comes from fees related to provision of clearing servicesPercentage of total income that comes from the reinvestment (or rehypothecation) of assets provided by clearing participants

SIX x-clear Ltd68.9%

29.2%

Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, split by whether it was received as initial margin or default fund contributionQuarterly

SIX x-clear Ltd

674,298,719

312,935,500

Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, received as initial margin Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, received as default fund contribution

Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, split by whether it was received as initial margin or default fund contribution

Total cash (but not securities) received from participants, regardless of the form in which it is held, deposited or invested, split by whether it was received as initial margin or default fund contribution

How total cash received from participants (16.1) is held/deposited/invested, including;Quarterly

Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)Percentage of total participant cash held as cash deposits (inlcuding through reverse repo)






Percentage of total participant cash invested in securitiesPercentage of total participant cash invested in securitiesPercentage of total participant cash invested in securitiesPercentage of total participant cash invested in securitiesPercentage of total participant cash invested in securitiesPercentage of total participant cash invested in securitiesPercentage of total participant cash invested in securitiesPercentage of total participant cash invested in securities

State the number of times over the previous quarter in which this limit has been exceeded.

Provide an estimate of the risk on the investment portfolio (excluding central bank and commercial bank deposits) (99% one-day VaR, or equivalent)

State if the CCP investment policy sets a limit on the proportion of the investment portfolio that may be allocated to a single counterparty, and the size of that limit.

How total cash received from participants (16.1) is held/deposited/invested, including;

as cash deposits at central banks of issue of the currency depositedas cash deposits at other central banksas cash deposits at commercial banksin money market fundsin other forms Additional Description as needed

CHF

EUR

USD

NOK

Domestic sovereign government bondsOther sovereign government bondsAgency BondsState/municipal bondsOther instruments Additional Description as neededpercentage split by currency of these securities CCY #1percentage split by currency of these securities CCY #2weighted average maturity of securities

split by currency of these cash deposits (including reverse repo) and money market fundssplit by currency of these cash deposits (including reverse repo) and money market fundssplit by currency of these cash deposits (including reverse repo) and money market fundssplit by currency of these cash deposits (including reverse repo) and money market fundsweighted average maturity of these cash deposits (including reverse repo) and money market funds

SIX x-clear Ltd45.5%

50.1%

26.3%

1.7%

16.5%

5.7%

100% sight deposits

n.a.4.4%

n.a.n.a.n.a.n.a.n.a.n.a.

0

x-clear Zürich: All client cash is deposited at SIS and the SNB. There is no client cash deposited at other entities.

x-clear Norwegian Branch: 25% per counterparty with the exception of the Kingdom of Norway.

Operational availability target for the core system(s) involved in clearing (whether or not outsourced) over specified period for the system (e.g. 99.99% over a twelve-month period)Quarterly

Cash Markets

99.8%Operational availability target for the core system(s) involved in clearing (whether or not outsourced) over specified period for the system (e.g. 99.99% over a twelve-month period)


Derivatives

100%


Actual availability of the core system(s) over the previous twelve month periodQuarterly

Cash MarketsActual availability of the core system(s) over the previous twelve month period 99.99%

Derivatives100%

Total number and duration of failuresQuarterly

Cash Markets

Total number and duration of failures affecting the core system(s) involved in clearing over the previous twelve month period

1 in a subservice, 15 Minutes outage of the subservice

Derivatives

0

Recovery time objective(s)Quarterly

Cash Markets DerivativesRecovery time objective(s) (e.g. within two hours) within two hours Within two hours

Number of clearing members, by clearing serviceQuarterly

Cash Markets DerivativesCategory of membership GCM 12 5Category of membership ICM 53 9Type of participant Bank 65 7Type of participant Other 0 7Participants Domestic 48 0Participants Foreign 17 14

Members participating in both Cash Markets and Derivatives markets are listed (only) under Derivatives.

Open Position ConcentrationQuarterly

For each clearing service with ten or more members, but fewer than 25 membersFor each clearing service with ten or more members, but fewer than 25 membersFor each clearing service with 25 or more membersFor each clearing service with 25 or more membersFor each clearing service with 25 or more membersFor each clearing service with 25 or more members

Average

Peak during Quarter

Average

Peak during Quarter

Average

Peak during Quarter

Percentage of open positions held by the largest five clearing members, including both house and client, in aggregatePercentage of open positions held by the largest five clearing members, including both house and client, in aggregatePercentage of open positions held by the largest five clearing members, including both house and client, in aggregatePercentage of open positions held by the largest five clearing members, including both house and client, in aggregatePercentage of open positions held by the largest ten clearing members, including both house and client, in aggregatePercentage of open positions held by the largest ten clearing members, including both house and client, in aggregate


n.a. 81%

n.a. 84%

76% n.a.

86% n.a.

89% n.a.

93% n.a.

Initial Margin ConcentrationQuarterly

For each clearing service with ten or more members, but fewer than 25 membersFor each clearing service with ten or more members, but fewer than 25 membersFor each clearing service with 25 or more membersFor each clearing service with 25 or more membersFor each clearing service with 25 or more membersFor each clearing service with 25 or more members

Cash Markets

Average n.a.

Peak during Quarter n.a.

Average 75%

Peak during Quarter 96%

Average 86%

Peak during Quarter 98%

Percentage of initial margin posted by the largest five clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest five clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest five clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest five clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest ten clearing members, including both house and client, in aggregatePercentage of initial margin posted by the largest ten clearing members, including both house and client, in aggregate

Derivatives

67%

73%

n.a.

n.a.

n.a.

n.a.

Segregated Default Fund ConcentrationQuarterly

For each segregated default fund with 25 or more members

For each segregated default fund with 25 or more members

For each segregated default fund with ten or more members, but fewer than 25 members:

Cash Market Segment

n.a.

67.6%

78.7%

Percentage of participant contributions to the default fund contributed by largest five clearing members in aggregatePercentage of participant contributions to the default fund contributed by largest five clearing members in aggregatePercentage of participant contributions to the default fund contributed by largest ten clearing members in aggregate

Derivatives Segment

89.3%

n.a.

n.a.

FMI Links, Value of TradesQuarterly

x-clear Zürich

39.6%

26.7%

Value of open trades cleared through LCH.Clearnet – as a share of total open trade values/total notional values cleared as at quarter endValue of open trades cleared through EuroCCP – as a share of total open trade values/total notional values cleared as at quarter end

x-clear Norwegian Branch

30.5%

n.a.

FMI Links, Margins or equivalent financial resouces providedQuarterly

x-clear Zürich

260,969,319

100,008,515

Margins or equivalent financial resources provided to LCH.Clearnet by the CCP to cover the potential future exposure of LCH.Clearnet on contracts cleared across link

Margins or equivalent financial resources provided to EuroCCP by the CCP to cover the potential future exposure of EuroCCP on contracts cleared across link


55,207,776

n.a.

FMI Links, Margins or equivalent financial resouces collectedQuarterly

x-clear Zürich

91,569,177

53,642,566

Margins or equivalent financial resources collected from LCH.Clearnet to cover the potential future exposure to LCH.Clearnet on contracts cleared across link (at market value and post-haircut)

Margins or equivalent financial resources collected from EuroCCP to cover the potential future exposure to EuroCCP on contracts cleared across link (at market value and post-haircut)


23,400,669

n.a.

FMI Links, Cross MarginingQuarterly

Value of trades subject to cross margining, by clearing service, as a percentage of total trade values/total notional values clearedReduction in total initial margin held by the CCP as a result of crossmargining, as a percentage of total initial margin that would otherwise have been held.


0.0% 0.0%

0.0% 0.0%

Disclosure of rules, key procedures, and market data; Average Daily VolumesQuarterly, Average Per Business Day

Cash Markets DerivativesAverage Daily Volumes of cleared trades Equities 1,143,297 n.a.Averge Daily Amounts (CHF) of cleared tradesEquities 9,983,353,555 n.a.Average Daily Volumes of cleared trades Bonds 1,237 n.a.Averge Daily Amounts (CHF) of cleared tradesBonds 206,747,614 n.a.Average Daily Volumes of cleared trades Derivatives n.a. 675Average Daily Volumes of cleared trades SLB n.a. 12

Disclosure of rules, key procedures, and market data; Non-Yet-SettledQuarterly, At Quarter End

Gross notional outstanding/total settlement value of novated but not-yetsettled securities transactionsGross notional outstanding/total settlement value of novated but not-yetsettled securities transactionsGross notional outstanding/total settlement value of novated but not-yetsettled securities transactionsGross notional outstanding/total settlement value of novated but not-yetsettled securities transactions

Cash Markets DerivativesEquity 8,966,812,906 n.a.Bonds 905,000,365 n.a.Derivatives n.a. 805,233,787SLB n.a. 7,264,777

Disclosure of rules, key procedures, and market data; Execution FacilityQuarterly, At Quarter End

Average daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venue

Average daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venueAverage daily contract values in CHF submitted by Execution facility or matching/confirmation venueAverage daily volumes submitted by Execution facility or matching/confirmation venue

Cash Markets DerivativesAquis MTF 13,625Aquis MTF 98,471,126BATS MTF 118,021BATS MTF 1,801,726,094Chi-X MTF 302,355Chi-X MTF 1,511,898,007Sigma X MTF 4,267Sigma X MTF 27,383,953Traiana MTF 4,121Traiana MTF 426,099,391Turquoise MTF 272,201Turquoise MTF 1,392,930,615Equiduct MTF 6,675Equiduct MTF 51,441,053London Stock Exchange 152,062London Stock Exchange 1,163,988,403SIX Swiss Exchange - Small & MidCap Segment 49,018SIX Swiss Exchange - Small & MidCap Segment 767,222,892UBS MTF 81,841UBS MTF 686,379,512SIX Swiss Exchange - Blue Chip Segment 59,363SIX Swiss Exchange - Blue Chip Segment 1,851,034,745Oslo Börs main 69,661 665Oslo Börs main 326,588,257Oslo Axess (no derivatives) 1,775Oslo Axess (no derivatives) 4,206,866Oslo Connect (OTC derivatives 12

Documents

· XLS file · Web view · 2018-02-154.0999999999999996. 0 0. 2950116 274886. 70284975 6549016. 300500000 28000000. 431148506 34113225. 0 0. 45738204 4261796. 225375000 21000000