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SECURITIES AND DERIVATIVESMARKETS QUARTERLY REPORT

Second Quarter 2018

Market HigHligHts

1securities and Derivatives Markets Quarterly report (2nd Quarter 2018)

Market Highlights – Main Board

Highlights 2nd Quarter 2018 2nd Quarter 2017

No. of listed companies 1,848 1,746No. of listed securities 12,969 9,930 equities Ordinary shares 1,849 1,747 Preference shares 16 10 Warrants 7,190 4,368 equity 1 8 Derivative 7,189 4,360 equity linked instrument 0 0 Callable bull/bear contracts 2,650 2,667 Unit trusts/mutual funds 147 168 Debt securities 1,117 970No. of trading only stocks Nasdaq stocks 6 6 ishares 0 2

No. of trading days 60 59total turnover in value (Hk$mil.) * 6,369,437.22 4,548,613.07total turnover in shares (mil. shs) 12,136,712.34 9,052,922.60total number of trades (deals) 97,354,946 66,569,027total market capitalisation (Hk$mil.) 32,855,932.37 28,412,843.17average P/e ratio (times) 11.76 14.04average dividend yield (%) 3.32 2.96Number of exchange participants – trading 635 589 – Non-trading 30 34

turnover in value (Hk$mil.) Highest 203,754.12 (31/05) 116,954.88 (09/06) lowest 77,375.91 (11/06) 60,803.62 (29/05)

turnover in shares (mil. shs) Highest 269,204.75 (26/04) 222,423.42 (07/04) lowest 144,608.15 (13/06) 104,586.93 (29/05)

total number of trades (deals) Highest 2,302,822 (19/06) 1,647,294 (05/04) lowest 1,289,204 (11/06) 877,364 (29/05)

* included turnover value traded in non-HkD currency securities.

Market HigHligHts


Market Highlights – GEM

Highlights 2nd Quarter 2018 2nd Quarter 2017

No. of listed companies 367 288No. of listed securities 368 289 equities 367 288 Warrants 1 1

No. of trading days 60 59total turnover in value (Hk$mil.) * 41,444.89 42,516.61total turnover in shares (mil. shs) 84,816.78 144,650.63total number of trades (deals) 1,252,478 1,348,491total market capitalisation (Hk$mil.) 248,066.40 267,662.50average P/e ratio (times) 42.35 36.51average dividend yield (%) 0.27 0.34

turnover in value (Hk$mil.) Highest 1,908.70 (31/05) 1,043.16 (27/06) lowest 388.95 (30/04) 458.56 (24/04)

turnover in shares (mil. shs) Highest 2,871.69 (31/05) 9,113.39 (28/06) lowest 918.61 (30/04) 1,324.44 (02/05)

total number of trades (deals) Highest 40,272 (16/04) 51,033 (27/06) lowest 11,626 (30/04) 13,770 (03/04)

* included turnover value traded in non-HkD currency securities.

Market HigHligHts


Derivatives Market Highlights

Highlights 2nd Quarter 2nd Quarter 2018 2017

All futures and options products (excluding stock options)No. of trading days 60 59total contract volume 38,470,936 25,254,553 equity index products 37,909,593 25,072,981 equity products 121,288 31,094 Bond Futures * – 6,680 interest rates products 441 0 rMB Currency products 389,712 142,975 gold Futures # 48,347 – iron Ore Futures ^ 964 – london Metal Mini Futures 591 823average daily contract volume 641,182 428,043

total open interest as at the quarter end (contracts) 3,819,002 3,732,312 equity index products 3,769,726 3,691,480 equity products 16,417 6,563 Bond Futures * – 666 interest rates products 456 40 rMB Currency products 32,134 33,553 gold Futures # 208 – iron Ore Futures ^ 54 – london Metal Mini Futures 7 10

* trading in Bond Futures commenced on 10 apr 2017 and suspended with effect from 08 Dec 2017# trading in gold Futures commenced on 10 Jul 2017^ trading in iron Ore Futures commenced on 13 Nov 2017

Stock optionsNo. of newly introduced stock options classes 0 3No. of stock options as at the quarter end Class 89 87 series 34,978 31,958

total premium (Hk$mil.) 20,957.48 9,477.49 Call 8,966.77 5,291.19 Put 11,990.71 4,186.30average daily premium (Hk$mil.) 349.29 160.64total contract volume 28,891,853 21,947,446 Call 14,168,985 11,605,403 Put 14,722,868 10,342,043average daily contract volume 481,531 371,991total open interest as at the quarter end (contracts) 9,255,436 7,582,918 Call 4,478,540 3,699,782 Put 4,776,896 3,883,136total number of trades 1,117,354 791,693average daily number of trades 18,623 13,419total contracts exercised 2,780,590 2,092,871average premium per contract (Hk$) 725.38 431.83average contract per trade (contracts) 26 28

Put volume/call volume 1.04 0.89average daily contract volume/open interest 5.2% 4.9%

All futures and options productstotal contract volume 67,362,789 47,201,999total open interest as at the quarter end (contracts) 13,074,438 11,315,230

MARKET HIGHLIGHTS

4Securities and Derivatives Markets Quarterly Report (2nd Quarter 2018)

Clearing and Settlement Statistics

Securities Market 2nd Quarter 2018 2nd Quarter 2017

Average Daily Exchange Trades Handled by CCASS– Number of trades 1,633,677 1,150,564– Value of trades (HK$bil.) 106.6 77.4– Share quantity Involved (bil shares) 203.7 155.9Average Daily Settlement Instructions (“SIs”) Settled by CCASS– Number of SIs 104,188 89,205– Value of SIs (HK$bil.) 291.7 224.8– Share quantity involved (bil. Shares) 50.8 48.9Average Daily Investor SIs (“ISIs”) Settled by CCASS– Number of ISIs 303 321– Value of ISIs (HK$mil.) 190.5 147.6– Share quantity involved (mil. shares) 352.6 212.6Average Daily Settlement Efficiency of CNS Stock Positions on Due Day (T+2) (%) 99.87 99.91Average Daily Settlement Efficiency of CNS Stock Positions on the Day following the Due Day (T+3) (%) 99.99 99.99Average Daily Buy-ins Executed on T+3– Number of brokers involved 4 2– Number of buy-ins 5 2– Value of buy-ins (HK$mil) 4.7 1.2Shares Deposited in the CCASS Depository *– Number of shares (bil shares) 6,663.6 6,264.7– Percentage of total issued shares of the admitted securities 76.69 75.18– Value of shares (HK$bil) 21,197.1 18,013.1– Percentage of the total market capitalisation of the admitted securities 59.56 57.34

Derivatives Market 2nd Quarter 2018 2nd Quarter 2017

Open Interest– Equity Index Futures 612,543 610,090– Stock Futures 16,417 6,563– 5-Year MOF T-Bond Futures ^ – 666– Interest Rates Futures 456 40– RMB Currency Futures 28,161 32,516– Gold Futures + 208 –– Iron Ore Futures ^^ 54 –– London Metal Mini Futures 7 10– Equity Index Options 3,157,183 3,081,390– Stock Options 9,255,436 7,582,918– RMB Currency Options 3,973 1,037Cumulative Stock Options Exercised– Share quantity involved (mil. shs) 2,554 1,944– Value of shares (HK$bil.) 70 41

* Share quantity and market value of securities in non-HKD currency are included^ Trading in 5-Year MOF T-Bond Futures commenced on 10 Apr 2017 and suspended with effect from 08 Dec 2017+ Trading in Gold Futures commenced on 10 Jul 2017^^ Trading in Iron Ore Futures commenced on 13 Nov 2017

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Equity Turnover

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

2017 Q2 888,545.35 3,419,708.45 55,686,986 Q3 961,543.54 4,503,339.92 65,867,472 Q4 905,785.89 4,868,645.15 66,454,0832018 Q1 922,529.87 6,442,430.45 82,448,315 Q2 764,395.06 4,893,924.22 74,184,981

Equity Trading Statistics

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

2017 Q2 59 57,961.16 61,409 Q3 64 70,364.69 68,370 Q4 61 79,813.85 73,2632018 Q1 61 105,613.61 78,139 Q2 60 81,565.40 65,969

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20 Most Advanced Stocksfor 2nd quarter 2018

Closing priceRank Code Stock End of Jun 2018 End of Mar 2018 % up

1 01647 sHis ltD 1.870 0.700 167.14 2 01889 saNai HealtH gP 0.520 0.200 160.00 3 00758 JUNeFielD grOUP 0.630 0.260 142.31 4 00708 eVerg HealtH 7.300 3.090 136.25 5 01611 PaNtrONiCs HlDg 2.520 1.150 119.13 6 00082 V1 grOUP 0.480 0.220 118.18 7 01660 ZHaOBaNgJi PPt 8.800 4.390 100.46 8 00241 ali HealtH 7.570 3.900 94.10 9 01106 siNO HaiJiNg 0.300 0.159 88.68 10 00456 NeW CitY DeV 0.590 0.330 78.79 11 01220 ZHiDaO iNt’l 1.200 0.680 76.47 12 01347 HUa HONg seMi 26.950 15.540 73.42 13 00556 PaN asia eNVirO 1.500 0.870 72.41 14 01709 seasON PaCiFiC 0.600 0.350 71.43 15 01298 teCHCOMP 3.940 2.300 71.30 16 00653 BONJOUr HOlD 0.380 0.227 67.40 17 00264 asCeNt iNt’l 1.480 0.900 64.44 18 00496 kaseN 2.950 1.830 61.20 19 01822 HONgDa FiN 0.295 0.183 61.20 20 02083 NatUre HOMe 1.640 1.020 60.78

a adjusted

20 Most Declined Stocksfor 2nd quarter 2018

Closing priceRank Code Stock End of Jun 2018 End of Mar 2018 % down

1 00279 FreeMaN FiNteCH 0.088 1.400 -93.71 2 01369 WUZHOU iNt’l 0.063 0.770 -91.82 3 02200 HOsa iNt’l 0.290 2.780 -89.57 4 01439 MOBile iNterNet 0.385 2.190 -82.42 5 03326 PerFeCt grOUP 0.710 3.380 -78.99 6 00378 FDg kiNetiC 0.151 0.570 -73.51 7 00932 sHUNteN iNtl 0.325 1.150 -71.74 8 01536 YUk WiNg gP 0.530 1.840 -71.20 9 00633 CH all aCCess 0.800 2.500 -68.00 10 02326 NPe HOlDiNgs 0.055 0.161 -65.84 11 01322 CW grOUP HOlD 0.440 1.220 -63.93 12 01219 teNWOW iNt’l 0.465 1.280 -63.67 13 02277 HUarONg iNV 0.445 1.190 -62.61 14 00712 COMteC sOlar 0.087 0.227 -61.67 15 00875 CHiNa FiN iNV 0.094 0.240 a -60.83 16 01103 DasHeNg agr FiN 0.086 0.215 -60.00 17 01194 MUNsUN CaPital 0.320 0.800 a -60.00 18 01239 teaMWaY iNtl gP 0.022 0.054 -59.26 19 00058 sUNWaY iNtl-NeW 0.200 0.470 a -57.45 20 00486 rUsal 2.050 4.750 -56.84

a adjusted

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20 Most Active Stocks by Valuefor 2nd quarter 2018Rank Code Stock Turnover (HK$ mil.) % of total

1 00700 teNCeNt 598,529.59 12.23 2 02318 PiNg aN 240,861.43 4.92 3 00939 CCB 155,680.40 3.18 4 01398 iCBC 103,304.43 2.11 5 01299 aia 101,946.53 2.08 6 00388 HkeX 88,726.17 1.81 7 00005 HsBC HOlDiNgs 81,744.58 1.67 8 03988 BaNk OF CHiNa 77,872.70 1.59 9 00941 CHiNa MOBile 69,707.30 1.42 10 00386 siNOPeC COrP 67,127.52 1.37 11 00883 CNOOC 66,756.14 1.36 12 00175 geelY aUtO 64,563.04 1.32 13 02382 sUNNY OPtiCal 63,970.09 1.31 14 00857 PetrOCHiNa 59,629.33 1.22 15 02018 aaC teCH 55,906.21 1.14 16 01093 CsPC PHarMa 51,952.89 1.06 17 00027 galaXY eNt 49,514.59 1.01 18 02628 CHiNa liFe 47,942.35 0.98 19 02007 COUNtrY garDeN 47,404.39 0.97 20 03968 CM BaNk 40,197.48 0.82

Total 2,133,337.17 43.59

20 Most Active Stock by Sharesfor 2nd quarter 2018Rank Code Stock Turnover (mil. shs) % of total

1 00279 FreeMaN FiNteCH 42,050.95 5.50 2 00939 CCB 19,691.54 2.58 3 03988 BaNk OF CHiNa 18,919.82 2.48 4 01398 iCBC 15,843.64 2.07 5 00582 laNDiNg iNtl 13,089.95 1.71 6 00136 HeNgteN Net 12,464.55 1.63 7 01051 g-resOUrCes 10,549.67 1.38 8 00857 PetrOCHiNa 9,961.67 1.30 9 01288 aBC 9,445.11 1.24 10 00386 siNOPeC COrP 8,946.32 1.17 11 01369 WUZHOU iNt’l 8,227.48 1.08 12 00729 FDg eVeHiCles 7,706.19 1.01 13 03800 gCl-POlY eNergY 7,100.21 0.93 14 00486 rUsal 5,525.31 0.72 15 00883 CNOOC 5,129.83 0.67 16 01194 MUNsUN CaP-NeW 5,083.43 0.67 17 01060 ali PiCtUres 4,970.01 0.65 18 01752 tOP eDUCatiON 4,389.50 0.57 19 02799 CHiNa HUarONg 4,312.89 0.56 20 00621 taUNg gOlD 4,272.54 0.56

Total 217,680.62 28.48

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Market Capitalisation of Listed Companies for Main Board

HK$ mil.

2017 Q2 28,412,843.17 Q3 31,140,799.89 Q4 33,717,995.172018 Q1 34,138,548.54 Q2 32,855,932.37

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

Industrials

Information Technology

Conglomerates

Energy

Materials

Consumer Goods

Telecommunications

Utilities

Financials

Properties & Construction

Consumer Services

15.43%

27.35%

5.17%

12.13%

7.20%

5.91%

3.74%1.76%

3.87%3.15%

14.29%

* Hang seng industry Classification system (HsiCs) is provided by Hang seng indexes Company limited.

Note: New Hang seng industry Classification system took effect on 9 september 2013.

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50 Leading Companies by Market Capitalisationas at the 2nd quarter end 2018

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

1 00700 tencent Holdings ltd. 3,742,712.19 11.39 2 00939 China Construction Bank Corporation – H shares 1,743,025.57 5.31 3 00005 HsBC Holdings plc 1,496,381.61 4.55 4 00941 China Mobile ltd. 1,427,141.16 4.34 5 01299 aia group ltd. 828,427.92 2.52 6 00883 CNOOC ltd. 604,526.55 1.84 7 02318 Ping an insurance (group) Co. of China, ltd. – H shares 537,715.05 1.64 8 01398 industrial and Commercial Bank of China ltd. – H shares 509,481.04 1.55 9 02378 Prudential plc * – 466,535.89 N.a. 10 02388 BOC Hong kong (Holdings) ltd. 390,664.23 1.19 11 00011 Hang seng Bank ltd. 375,103.54 1.14 12 00016 sun Hung kai Properties ltd. 343,005.07 1.04 13 01928 sands China ltd. 338,963.85 1.03 14 03988 Bank of China ltd. – H shares 325,290.66 0.99 15 00267 CitiC ltd. 321,738.30 0.98 16 00001 Ck Hutchison Holdings ltd. 320,958.85 0.98 17 02007 Country garden Holdings Co. ltd. 300,024.88 0.91 18 00762 China Unicom (Hong kong) ltd. 299,861.62 0.91 19 00388 Hong kong exchanges and Clearing ltd. 294,235.18 0.90 20 00688 China Overseas land & investment ltd. 283,217.81 0.86 21 00945 Manulife Financial Corporation * – 279,684.54 N.a. 22 03333 China evergrande group 263,567.58 0.80 23 00027 galaxy entertainment group ltd. 262,346.37 0.80 24 00066 Mtr Corporation ltd. 260,810.58 0.79 25 02888 standard Chartered PlC 240,851.70 0.73 26 00003 Hong kong and China gas Co. ltd., the 231,103.90 0.70 27 01113 Ck asset Holdings ltd. 230,354.16 0.70 28 00002 ClP Holdings ltd. 213,485.07 0.65 29 03328 Bank of Communications Co., ltd. – H shares 210,421.29 0.64 30 01109 China resources land ltd. 183,323.35 0.56 31 00175 geely automobile Holdings ltd. 182,693.05 0.56 32 00012 Henderson land Development Co. ltd. 182,652.33 0.56 33 00386 China Petroleum & Chemical Corporation – H shares 178,849.20 0.54 34 01972 swire Properties ltd. 169,650.00 0.52 35 01997 Wharf real estate investment Co. ltd. 169,573.30 0.52 36 02382 sunny Optical technology (group) Co. ltd. 160,162.00 0.49 37 00384 China gas Holdings ltd. 156,756.79 0.48 38 01038 Ck infrastructure Holdings ltd. 154,136.81 0.47 39 01177 sino Biopharmaceutical ltd. 152,159.01 0.46 40 02628 China life insurance Co. ltd. – H shares 150,683.79 0.46 41 01093 CsPC Pharmaceutical group ltd. 147,959.54 0.45 42 02313 shenzhou international group Holdings ltd. 145,587.09 0.44 43 02018 aaC technologies Holdings inc. 135,031.00 0.41 44 03968 China Merchants Bank Co., ltd. – H shares 132,906.59 0.40 45 01128 Wynn Macau, ltd. 131,223.20 0.40 46 00656 Fosun international ltd. 126,727.15 0.39 47 00857 PetroChina Co. ltd. – H shares 125,960.43 0.38 48 00960 longfor Properties Co. ltd. 125,425.15 0.38 49 00291 China resources Beer (Holdings) Co. ltd. 123,603.14 0.38 50 01918 sunac China Holdings ltd. 120,846.13 0.37Total 19,551,324.79 59.51Market Total 32,855,932.37 100.00

Notes:* not included in Market total

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Short Selling (value)

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

2017 Q2 504,352.77 4,591,129.68 10.99 Q3 589,099.69 5,964,717.45 9.88 Q4 648,919.41 6,544,565.64 9.922018 Q1 988,343.62 8,909,838.11 11.09 Q2 772,146.39 6,410,882.11 12.04

* included Market total for Main Board and geM

Short Selling (share)

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

2017 Q2 49,419.09 9,197,573.22 0.54 Q3 55,768.04 10,542,397.64 0.53 Q4 52,727.59 11,978,771.34 0.442018 Q1 73,962.52 15,407,195.88 0.48 Q2 62,536.85 12,221,529.12 0.51

* included Market total for Main Board and geM

New Listing Companies Statistics

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

2017 Q2 13 3 40,164.53 Q3 18 4 30,967.64 Q4 30 5 39,356.512018 Q1 31 5 22,173.45 Q2 20 2 24,826.14

* included only the transfers of listing from geM to Main Board pursuant to the revised rule 9.24 of geM listing rules and to the new Chapter 9a of the Main

Board listing rules effective from 1 July 2008# all funds raised are attributed to the initial public offers of newly listed companies

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Newly Listed Companiesfor 2nd quarter 2018

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

01726 Hke Holdings ltd. 2018/04/18 800,000,000 110.0001671 tianjin tianbao energy Co., ltd. – H shares 2018/04/27 44,320,000 84.2101833 Ping an Healthcare and technology Co. ltd. 2018/05/04 1,067,294,200 8,773.1601742 HPC Holdings ltd. 2018/05/11 1,600,000,000 180.0001750 reM group (Holdings) ltd. 2018/05/11 1,800,000,000 135.0001752 top education group ltd. 2018/05/11 2,588,548,000 232.1602119 tsit Wing international Holdings ltd. 2018/05/11 761,093,112 544.6603613 Beijing tong ren tang Chinese Medicine Co. ltd. * 2018/05/29 837,100,000 –01598 China 21st Century education group ltd. 2018/05/29 1,236,000,000 447.4801978 lH group ltd. 2018/05/30 800,000,000 220.0001451 Ms group Holdings ltd. 2018/06/01 200,000,000 67.0006119 tian Yuan group Holdings ltd. 2018/06/01 600,000,000 127.5001757 affluent Foundation Holdings ltd. 2018/06/07 1,200,000,000 102.0001751 sing On Holdings ltd. * 2018/06/12 672,000,000 –01806 Huifu Payment ltd. 2018/06/15 1,251,462,961 1,689.4806098 Country garden services Holdings Co. ltd. 2018/06/19 2,500,000,000 –02003 VCreDit Holdings ltd. 2018/06/21 497,303,869 1,371.4401916 Jiangxi Bank Co., ltd. – H shares 2018/06/26 1,170,000,000 7,476.3001749 shanshan Brand Management Co., ltd. – H shares 2018/06/27 33,400,000 126.2501587 shineroad international Holdings ltd. 2018/06/27 680,000,000 127.5001620 CteH inc. 2018/06/28 1,200,000,000 108.0006100 Wise talent information technology Co., ltd. 2018/06/29 495,559,464 2,904.00

Total 24,826.14

* transfers of listing from geM to Main Board pursuant to the revised rule 9.24 of the geM listing rules and to the new Chapter 9a of the Main Board listing

rules effective from 1 July 2008.

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Withdrawal of Listed Companiesfor 2nd quarter 2018

Code Company Last trading date Delisted date

01893 China National Materials Co. ltd. – H shares 2018/04/16 2018/04/24

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Company Name Changesfor 2nd quarter 2018

Code Old name New name Effective date Adoption date

00860 O luxe Holdings ltd. We solutions ltd. 2018/02/28 2018/04/1006123 On time logistics Holdings ltd. YtO express (international) Holdings ltd. 2018/02/28 2018/04/1001326 Pegasus entertainment Holdings ltd. transmit entertainment ltd. 2018/03/13 2018/04/1300186 grande Holdings ltd., the Nimble Holdings Co. ltd. 2018/02/14 2018/04/1801152 infinity Financial group (Holdings) ltd. Momentum Financial Holdings ltd. 2018/03/21 2018/04/1900707 Co-Prosperity Holdings ltd. asia television Holdings ltd. 2018/03/16 2018/04/2000888 roadshow Holdings ltd. Bison Finance group ltd. 2018/03/16 2018/04/2301140 OP Financial investments ltd. OP Financial ltd. 2018/03/26 2018/04/2400767 Pacific Plywood Holdings ltd. asia Pacific silk road investment Co. ltd. 2018/04/13 2018/04/3000331 Fse engineering Holdings ltd. Fse services group ltd. 2018/04/11 2018/05/0400952 China Oceanwide international Financial ltd. China tonghai international Financial ltd. 2018/04/11 2018/05/0700397 Jun Yang Financial Holdings ltd. Power Financial group ltd. 2018/04/11 2018/05/1000445 China Fire safety enterprise group ltd. CiMC-tianDa Holdings Co. ltd. 2018/04/24 2018/05/1800007 Hoifu energy group ltd. Hong kong Finance investment Holding group ltd. 2018/04/19 2018/06/0600524 e-kong group ltd. great Wall Belt & road Holdings ltd. 2018/04/23 2018/06/0800340 China Mining resources group ltd. tongguan gold group ltd. 2018/04/27 2018/06/1101660 sanroc international Holdings ltd. Zhaobangji Properties Holdings ltd. 2018/05/16 2018/06/1300577 the 13 Holdings ltd. south shore Holdings ltd. 2018/05/09 2018/06/2701070 tCl Multimedia technology Holdings ltd. tCl electronics Holdings ltd. 2018/05/23 2018/06/2803393 Wasion group Holdings ltd. Wasion Holdings ltd. 2018/05/30 2018/06/29

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Bonus Issues/Bonus Warrantsfor 2nd quarter 2018

Code Company Particulars Ex-date

00771 automated systems Holdings ltd. 2 for 10 2018/05/2102238 guangzhou automobile group Co., ltd. – H shares 4 for 10 2018/06/0100094 greenheart group ltd. 1 for 10 2018/06/0401177 sino Biopharmaceutical ltd. 1 for 2 2018/06/0400012 Henderson land Development Co. ltd. 1 for 10 2018/06/0500003 Hong kong and China gas Co. ltd., the 1 for 10 2018/06/0801812 shandong Chenming Paper Holdings ltd. – H shares 5 for 10 2018/06/1501513 livzon Pharmaceutical group inc. – H shares 3 for 10 2018/06/2201988 China Minsheng Banking Corp., ltd. – H shares 2 for 10 2018/06/2500096 Yusei Holdings ltd. 1 for 5 2018/06/2602328 PiCC Property and Casualty Co. ltd. – H shares 5 for 10 2018/06/27

Share Split/Consolidationfor 2nd quarter 2018

Code Company Particulars Effective date

01059 kantone Holdings ltd. Consolidation 5 into 1 2018/04/1000340 tongguan gold group ltd. Consolidation 10 into 1 2018/04/3001194 Munsun Capital group ltd. Consolidation 20 into 1 2018/05/2801007 Daqing Dairy Holdings ltd. Consolidation 2 into 1 2018/05/2900058 sunway international Holdings ltd. Consolidation 10 into 1 2018/06/0401181 tang Palace (China) Holdings ltd. split 1 into 2 2018/06/0500875 China Finance investment Holdings ltd. Consolidation 10 into 1 2018/06/25

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Rights Issues & Open Offersfor 2nd quarter 2018

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

Jun 00559 Detai New energy group ltd. rts 2 for 1 @$0.052 544.11 01007 Daqing Dairy Holdings ltd. Open offer 1 for 5 @$0.1025 10.36 (after consolidation 2 into 1)

Total 554.47

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Placing*

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

2018apr 00888 BisON FiNaNCe 187,500,000 1.4400 270.00 00371 BJ eNt Water 169,491,525 5.9000 1,000.00 00159 BrOCkMaN MiNiNg 780,000,000 0.1000 78.00 02312 CH FiN leasiNg 220,000,000 0.1350 29.70 00810 CH iNterNet iNV 109,170,000 0.1350 14.74 03818 CHiNa DONgXiaNg 9,000,000 1.2900 11.61 03818 CHiNa DONgXiaNg 202,310,000 1.3500 273.12 01130 CHiNa eNV res 339,400,000 0.2550 86.55 00348 CHiNaHealtHWise 1,420,000,000 0.1100 156.20 00471 CMMB VisiON 375,000,000 0.2400 90.00 01543 JOiN-sHare 261,030,000 1.4200 370.66 02327 MeilleUreHealtH 124,800,000 0.3500 43.68 01539 sYNergY grOUP 50,000,000 1.0900 54.50 00891 triNitY 1,846,000,000 1.2000 2,215.20May 01958 BaiC MOtOr 420,000,000 7.8900 3,313.80 01191 CHiNa geM HlDgs 540,000,000 0.1200 64.80 01371 CHiNa lOtsYN 1,034,500,000 0.1160 120.00 00445 CiMC-tiaNDa 673,225,000 0.3660 246.40 01589 CNlP 321,068,999 2.8000 898.99 02298 COsMO laDY 121,443,213 4.2000 510.06 01218 easYkNit iNt’l 11,900,000 4.6000 54.74 00223 eliFe HlDgs 306,875,000 0.1280 39.28 00500 FrONtier ser 640,000,000 1.3000 832.00 01822 HONgDa FiN 176,580,000 0.3000 52.97 00428 HUge CHiNa 14,000,000 0.7900 11.06 02014 OZNer Water 90,000,000 2.0000 180.00 01251 sPt eNergY 306,958,000 0.7800 239.43 01613 sYNertONe 653,016,000 0.0800 52.24 00515 tC Ori ligHt 205,927,043 0.1000 20.59 00826 tiaNgONg iNt’l 300,000,000 1.6000 480.00 00570 traD CHi MeD 604,296,222 4.4300 2,677.03Jun 02623 aDD NeW eNergY 322,348,000 0.1150 37.07 02309 BirMiNgHaM sPts 1,380,080,000 0.1050 144.91 00832 CeNtral CHiNa 282,000,000 3.6500 1,029.30 01259 CH CHilD Care 231,687,000 0.1300 30.12 00139 CH sOFt POWer 2,000,000,000 0.1000 200.00 00370 CHiNa Best 1,452,000,000 0.0700 101.64 01313 CHiNares CeMeNt 450,000,000 9.3000 4,185.00 00118 COsMOs MaCH 145,000,000 0.5500 79.75 06878 DiFFer grOUP 610,378,000 0.5300 323.50 00223 eliFe HlDgs 76,500,000 0.1280 9.79

MaiN BOarD eQUities


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

01548 geNsCriPt BiO 75,000,000 26.5000 1,987.50 02327 MeilleUreHealtH 31,200,000 0.3500 10.92 00360 NeW FOCUs aUtO 1,904,761,905 0.4200 800.00 03301 rONsHiNeCHiNa 103,500,000 10.6200 1,099.17 01709 seasON PaCiFiC 123,800,000 0.4850 60.04 00981 sMiC 61,526,473 10.6500 655.26 00542 tFg iNtl gP 164,712,000 0.2550 42.00 00872 tUs iNtl 295,000,000 0.5370 158.42 01400 WaNg tai HlDg 310,000,000 0.1000 31.00 00994 WiN WiN WaY 100,000,000 0.8400 84.00

Total 25,556.75

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

MaiN BOarD WarraNts


Warrant Trading Statistics

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

2017 Q2 77.29 534,338.11 534,415.40 Q3 18.64 795,264.76 795,283.40 Q4 19.27 952,919.10 952,938.382018 Q1 14.79 1,420,399.00 1,420,413.79 Q2 0.26 798,436.24 798,436.50

Warrant Market Value

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

2017 Q2 8 507.43 4,360 96,450.95 4,368 96,958.38 Q3 7 389.34 5,373 136,754.02 5,380 137,143.36 Q4 7 236.46 6,094 165,919.23 6,101 166,155.692018 Q1 4 61.57 6,963 118,398.35 6,967 118,459.92 Q2 1 48.51 7,189 70,085.05 7,190 70,133.56

New Listing Statistics – Warrants

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

2017 Q2 3 1,532 29,325.10 Q3 0 2,448 46,575.04 Q4 0 2,507 54,250.292018 Q1 0 3,076 69,887.42 Q2 0 2,709 58,049.31

Newly Listed Equity Warrantsfor 2nd quarter 2018

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

Nil

Total –

MaiN BOarD WarraNts


Newly Listed Derivative Warrantsfor 2nd quarter 2018

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

29226 BOCi asia ltd. – China life european Warrants aug 2018 B 100,000,000 2018/04/03 2018/08/29 15.0029232 BOCi asia ltd. – China life european Warrants sep 2018 C 100,000,000 2018/04/03 2018/09/27 21.8029237 BOCi asia ltd. – China Mobile european Warrants sep 2018 C 100,000,000 2018/04/03 2018/09/20 44.6029197 BOCi asia ltd. – HsBC european Warrants aug 2018 D 200,000,000 2018/04/03 2018/08/29 70.4029192 BOCi asia ltd. – HsBC european Warrants sep 2018 B 200,000,000 2018/04/03 2018/09/24 55.2029238 BOCi asia ltd. – sUNaC european Warrants aug 2018 a 50,000,000 2018/04/03 2018/08/24 20.9529189 BOCi asia ltd. – tencent european Wts Jul 2018 e 200,000,000 2018/04/03 2018/07/26 73.2029171 BOCi asia ltd. – tencent european Wts sep 2018 C 200,000,000 2018/04/03 2018/09/24 77.6029191 BOCi asia ltd. – tencent european Wts sep 2018 D 200,000,000 2018/04/03 2018/09/17 106.6029486 Credit suisse ag – Bank of China european Warrants Jul 2018 e 50,000,000 2018/04/03 2018/07/19 10.0029461 Credit suisse ag – HkeX european Warrants Jul 2018 i 200,000,000 2018/04/03 2018/07/25 30.0029423 Credit suisse ag – Ping an european Warrants Jul 2018 F 150,000,000 2018/04/03 2018/07/09 42.0029428 Credit suisse ag – Ping an european Warrants Jul 2018 g 150,000,000 2018/04/03 2018/07/24 66.0029484 Credit suisse ag – sands China european Warrants Jul 2018 C 50,000,000 2018/04/03 2018/07/27 10.0029452 Credit suisse ag – tencent european Wts Jul 2018 k 250,000,000 2018/04/03 2018/07/03 37.5029453 Credit suisse ag – tencent european Wts Oct 2018 a 250,000,000 2018/04/03 2018/10/02 75.0029543 goldman sachs sP (asia) – HkeX european Warrants sep 2018 k 150,000,000 2018/04/03 2018/09/20 22.5029210 goldman sachs sP (asia) – NCi european Warrants Oct 2018 a 40,000,000 2018/04/03 2018/10/03 10.4829205 goldman sachs sP (asia) – Ping an european Wts aug 2018 B 100,000,000 2018/04/03 2018/08/13 30.6029540 goldman sachs sP (asia) – Ping an european Wts aug 2018 C 100,000,000 2018/04/03 2018/08/24 34.7029211 goldman sachs sP (asia) – tencent european Wt Jul 2018 P 150,000,000 2018/04/03 2018/07/26 31.5029203 goldman sachs sP (asia) – tencent european Wt aug 2018 k 150,000,000 2018/04/03 2018/08/21 52.5029569 goldman sachs sP (asia) – tencent european Wt sep 2018 a 150,000,000 2018/04/03 2018/09/24 38.8529581 goldman sachs sP (asia) – Yanzhou Coal euro Wts aug 2018 a 70,000,000 2018/04/03 2018/08/24 10.5029537 goldman sachs sP (asia) – Za Onine european Warrants Jun 19 a 80,000,000 2018/04/03 2019/06/28 12.0029167 Hk Bank – Hsi european Warrants sep 2018 e 150,000,000 2018/04/03 2018/09/27 22.5029414 J P Morgan sP BV – CHalCO european Warrants Oct 2018 a 30,000,000 2018/04/03 2018/10/02 13.3229389 J P Morgan sP BV – China life european Put Wts Jun 2019 a 100,000,000 2018/04/03 2019/06/03 25.1029410 J P Morgan sP BV – CNBM european Warrants Feb 2019 a 100,000,000 2018/04/03 2019/02/28 15.1029400 J P Morgan sP BV – CsOP a50 etF european Warrants Jul 2018 B 100,000,000 2018/04/03 2018/07/31 51.8029403 J P Morgan sP BV – a50 China european Warrants Jul 2018 B 100,000,000 2018/04/03 2018/07/31 43.0029404 J P Morgan sP BV – Hsi european Warrants Oct 2018 e 300,000,000 2018/04/03 2018/10/30 75.3029405 J P Morgan sP BV – Maanshan iron european Warrants Oct 2018 a 60,000,000 2018/04/03 2018/10/02 17.8829387 J P Morgan sP BV – tencent european Put Warrants Oct 2018 a 250,000,000 2018/04/03 2018/10/02 65.0029331 Macquarie Bank ltd. – greatwall Motor european Wts Dec 2018 B 10,000,000 2018/04/03 2018/12/31 15.0529239 Macquarie Bank ltd. – HkeX european Warrants Oct 2018 e 8,000,000 2018/04/03 2018/10/03 13.9229241 Macquarie Bank ltd. – HkeX european Warrants Nov 2018 B 50,000,000 2018/04/03 2018/11/02 13.1029333 Macquarie Bank ltd. – HkeX european Warrants Dec 2019 a 60,000,000 2018/04/03 2019/12/31 19.1429286 Macquarie Bank ltd. – HkeX european Put Warrants Nov 2018 C 40,000,000 2018/04/03 2018/11/02 10.0029490 sg issuer – China Coal european Warrants Oct 2018 a 30,000,000 2018/04/03 2018/10/31 10.0529498 sg issuer – CM Bank european Warrants Oct 2018 a 40,000,000 2018/04/03 2018/10/31 10.0029505 sg issuer – HsBC european Warrants aug 2018 e 80,000,000 2018/04/03 2018/08/31 22.40

MaiN BOarD WarraNts



29508 sg issuer – tencent european Warrants Jul 2018 g 200,000,000 2018/04/03 2018/07/31 55.0029513 sg issuer – tencent european Put Warrants sep 2018 D 100,000,000 2018/04/03 2018/09/28 19.0029516 sg issuer – Za Onine european Warrants Jul 2019 a 100,000,000 2018/04/03 2019/07/02 15.0029356 UBs ag – aia european Warrants aug 2018 B 100,000,000 2018/04/03 2018/08/28 32.7029372 UBs ag – China Coal european Warrants Oct 2018 a 40,000,000 2018/04/03 2018/10/02 10.3629377 UBs ag – CgN Power european Warrants Oct 2018 a 40,000,000 2018/04/03 2018/10/22 10.0029373 UBs ag – HsCei european Warrants aug 2018 a 100,000,000 2018/04/03 2018/08/30 15.3029110 UBs ag – Hsi european Warrants sep 2018 C 200,000,000 2018/04/03 2018/09/27 32.0029139 UBs ag – Hsi european Warrants Oct 2018 a 200,000,000 2018/04/03 2018/10/30 32.0029368 UBs ag – Hsi european Put Warrants aug 2018 g 200,000,000 2018/04/03 2018/08/30 33.0029366 UBs ag – sands China european Warrants Jul 2018 C 50,000,000 2018/04/03 2018/07/27 10.3529339 UBs ag – tencent european Warrants Jul 2018 e 300,000,000 2018/04/03 2018/07/03 63.3029345 UBs ag – tencent european Warrants Jul 2018 F 300,000,000 2018/04/03 2018/07/03 78.0029352 UBs ag – tencent european Warrants Jul 2018 g 300,000,000 2018/04/03 2018/07/26 59.7029354 UBs ag – tencent european Warrants Jul 2018 H 300,000,000 2018/04/03 2018/07/03 94.2029353 UBs ag – tencent european Put Warrants aug 2018 a 200,000,000 2018/04/03 2018/08/13 70.6029376 UBs ag – tencent european Put Warrants Oct 2018 a 200,000,000 2018/04/03 2018/10/03 51.0029639 BOCi asia ltd. – CHalCO european Warrants Oct 2018 a 50,000,000 2018/04/04 2018/10/29 28.5529651 BOCi asia ltd. – Country garden european Warrants Oct 2018 B 70,000,000 2018/04/04 2018/10/29 10.7829647 BOCi asia ltd. – China Overseas european Warrants sep 2018 a 70,000,000 2018/04/04 2018/09/27 11.4129623 BOCi asia ltd. – China shenhua european Warrants Dec 2018 a 70,000,000 2018/04/04 2018/12/24 11.6929657 BOCi asia ltd. – evergrande european Warrants sep 2018 a 50,000,000 2018/04/04 2018/09/24 26.4029601 BOCi asia ltd. – Jiangxi Copper european Warrants Jan 2019 a 70,000,000 2018/04/04 2019/01/28 17.5029644 BOCi asia ltd. – sands China european Warrants Oct 2018 a 60,000,000 2018/04/04 2018/10/08 15.3629655 BOCi asia ltd. – China Vanke european Warrants sep 2018 a 50,000,000 2018/04/04 2018/09/24 15.6529636 BOCi asia ltd. – Yanzhou Coal european Warrants Dec 2018 B 70,000,000 2018/04/04 2018/12/24 10.8529801 BNP Paribas issuance B.V. – Ping an european Wt aug 2018 D 60,000,000 2018/04/04 2018/08/02 11.4029798 BNP Paribas issuance B.V. – tencent euro Wts Dec 2018 C 80,000,000 2018/04/04 2018/12/04 24.0029768 BNP Paribas issuance B.V. – tencent euro Wts Mar 2019 a 80,000,000 2018/04/04 2019/03/04 36.8029848 Credit suisse ag – China life european Warrants aug 2018 a 120,000,000 2018/04/04 2018/08/31 18.0029859 Credit suisse ag – China shenhua european Wts Jul 2018 a 70,000,000 2018/04/04 2018/07/24 10.5029864 Credit suisse ag – HtsC european Warrants Oct 2018 C 80,000,000 2018/04/04 2018/10/03 20.0029863 Credit suisse ag – tencent european Wts Oct 2018 B 250,000,000 2018/04/04 2018/10/03 80.0029866 goldman sachs sP (asia) – CM Bank european Wts Jul 2018 D 60,000,000 2018/04/04 2018/07/24 10.1429914 goldman sachs sP (asia) – CM Bank european Wts Jul 2018 e 60,000,000 2018/04/04 2018/07/26 10.3229874 goldman sachs sP (asia) – HsBC european Warrants aug 2018 e 80,000,000 2018/04/04 2018/08/31 20.1629907 goldman sachs sP (asia) – Ping an european Wts Jul 2018 k 100,000,000 2018/04/04 2018/07/04 45.5029904 goldman sachs sP (asia) – Ping an european Wts aug 2018 D 100,000,000 2018/04/04 2018/08/24 54.9029819 Haitong int'l sec – CHalCO european Warrants sep 2018 a 30,000,000 2018/04/04 2018/09/18 15.9029840 Haitong int'l sec – CHalCO european Warrants Oct 2018 a 30,000,000 2018/04/04 2018/10/04 14.1029824 Haitong int'l sec – CgN Power european Warrants Oct 2018 a 40,000,000 2018/04/04 2018/10/19 10.0029831 Haitong int'l sec – CNBM european Warrants sep 2018 a 15,000,000 2018/04/04 2018/09/20 14.1029830 Haitong int'l sec – CNBM european Warrants Feb 2019 a 100,000,000 2018/04/04 2019/02/21 16.7029805 J P Morgan sP BV – keCl european Warrants Oct 2018 a 40,000,000 2018/04/04 2018/10/05 11.44

MaiN BOarD WarraNts



29593 Macquarie Bank ltd. – China Coal european Wts Jan 2019 a 29,000,000 2018/04/04 2019/01/03 10.1229594 Macquarie Bank ltd. – gaC european Wts Oct 2018 a 40,000,000 2018/04/04 2018/10/04 10.7629596 Macquarie Bank ltd. – gaC european Wts Dec 2018 a 40,000,000 2018/04/04 2018/12/04 10.1629707 Macquarie Bank ltd. – gaC european Put Warrants Dec 2018 B 40,000,000 2018/04/04 2018/12/04 10.0029592 Macquarie Bank ltd. – NCi european Warrants Nov 2018 B 20,000,000 2018/04/04 2018/11/02 10.3829813 sg issuer – Ping an european Warrants Dec 2019 B 80,000,000 2018/04/04 2019/12/02 12.0029815 sg issuer – tencent european Warrants sep 2018 e 200,000,000 2018/04/04 2018/09/28 83.0029711 UBs ag – Ch longYuan european Warrants Oct 2018 a 13,000,000 2018/04/04 2018/10/29 11.0529761 UBs ag – gaC european Warrants Nov 2018 a 70,000,000 2018/04/04 2018/11/26 17.6429758 UBs ag – kingdee intl european Warrants Oct 2018 a 25,000,000 2018/04/04 2018/10/03 26.3029760 UBs ag – samsonite european Warrants Oct 2018 a 30,000,000 2018/04/04 2018/10/03 14.1029672 Bank Vontobel – CitiC sec european Warrants aug 2018 B 70,000,000 2018/04/04 2018/08/09 11.2029670 Bank Vontobel – sunny Optical european Warrants aug 2018 a 80,000,000 2018/04/04 2018/08/02 12.7229704 Bank Vontobel – sunny Optical european Warrants aug 2018 B 80,000,000 2018/04/04 2018/08/28 22.4029659 Bank Vontobel – Yanzhou Coal european Warrants aug 2018 a 70,000,000 2018/04/04 2018/08/24 10.5029658 Bank Vontobel – Yanzhou Coal european Warrants sep 2018 a 70,000,000 2018/04/04 2018/09/10 10.5729938 BNP Paribas issuance B.V. – agricultural Bank eu Wt Nov 2018 a 40,000,000 2018/04/06 2018/11/02 10.4011001 BNP Paribas issuance B.V. – Minsheng Bk euro Wt Nov 2018 B 40,000,000 2018/04/06 2018/11/02 12.4029933 BNP Paribas issuance B.V. – CsOP a50 etF eu Wts Jan 2019 a 40,000,000 2018/04/06 2019/01/03 24.4029932 BNP Paribas issuance B.V. – HkeX european Wts aug 2018 C 80,000,000 2018/04/06 2018/08/02 12.0029920 BNP Paribas issuance B.V. – PiCC european Wts Nov 2018 a 80,000,000 2018/04/06 2018/11/02 12.0011066 Credit suisse ag – China Coal european Warrants Oct 2018 a 40,000,000 2018/04/06 2018/10/05 10.8011065 Credit suisse ag – Jiangxi Copper european Wts Dec 2018 a 80,000,000 2018/04/06 2018/12/14 12.0011069 Credit suisse ag – kB laminates european Warrants Oct 2018 a 40,000,000 2018/04/06 2018/10/05 10.0011062 Credit suisse ag – tencent european Wts Jul 2018 l 250,000,000 2018/04/06 2018/07/05 37.5011036 Hk Bank – galaxy ent european Put Warrants aug 2018 a 30,000,000 2018/04/06 2018/08/29 12.0011034 Hk Bank – Hsi european Warrants sep 2018 F 180,000,000 2018/04/06 2018/09/27 32.4011035 Hk Bank – kingboard Chem european Warrants Oct 2018 a 50,000,000 2018/04/06 2018/10/31 12.5011032 Haitong int'l sec – aia european Put Warrants Jul 2018 B 100,000,000 2018/04/06 2018/07/16 31.3011031 Haitong int'l sec – aia european Put Warrants sep 2018 a 100,000,000 2018/04/06 2018/09/20 25.0011030 Haitong int'l sec – BYD european Put Warrants Oct 2018 a 20,000,000 2018/04/06 2018/10/08 10.1211014 Haitong int'l sec – CC Bank european Put Warrants aug 2018 e 100,000,000 2018/04/06 2018/08/24 46.0011016 Haitong int'l sec – CC Bank european Put Warrants Oct 2018 a 100,000,000 2018/04/06 2018/10/08 35.0011013 Haitong int'l sec – China east air european Wts Jun 2020 a 100,000,000 2018/04/06 2020/06/30 25.0011024 Haitong int'l sec – CsPC Pharma european Warrants Oct 2018 a 100,000,000 2018/04/06 2018/10/08 30.8011033 Haitong int'l sec – galaxy ent european Put Wts Jul 2018 B 65,000,000 2018/04/06 2018/07/17 10.5311010 Haitong int'l sec – galaxy ent european Put Wts sep 2018 B 40,000,000 2018/04/06 2018/09/12 16.9611011 Haitong int'l sec – HkeX european Put Warrants Dec 2018 e 100,000,000 2018/04/06 2018/12/31 25.0011006 Haitong int'l sec – HsBC european Put Warrants sep 2018 B 50,000,000 2018/04/06 2018/09/20 10.7511009 Haitong int'l sec – HsBC european Put Warrants Dec 2018 a 50,000,000 2018/04/06 2018/12/31 31.8011021 Haitong int'l sec – sMiC european Warrants Dec 2018 B 100,000,000 2018/04/06 2018/12/31 25.0011023 Haitong int'l sec – sMiC european Warrants Mar 2019 B 100,000,000 2018/04/06 2019/03/29 25.0011025 Haitong int'l sec – Zoomlion european Warrants Oct 2018 a 35,000,000 2018/04/06 2018/10/30 11.5511052 J P Morgan sP BV – Country garden european Wts Nov 2018 C 100,000,000 2018/04/06 2018/11/30 25.20

MaiN BOarD WarraNts



11055 J P Morgan sP BV – CkH Holdings european Warrants Oct 2018 a 100,000,000 2018/04/06 2018/10/31 38.0011057 J P Morgan sP BV – gaC european Warrants sep 2018 a 70,000,000 2018/04/06 2018/09/28 10.7111060 J P Morgan sP BV – Haitong sec european Warrants Oct 2018 a 40,000,000 2018/04/06 2018/10/08 27.4811050 J P Morgan sP BV – Ping an european Put Warrants Oct 2018 B 100,000,000 2018/04/06 2018/10/08 37.8011049 J P Morgan sP BV – tencent european Warrants Jul 2018 i 250,000,000 2018/04/06 2018/07/06 37.7511047 Macquarie Bank ltd. – Chinasoft int'l european Wt Feb 2019 a 8,000,000 2018/04/06 2019/02/15 10.6911046 Macquarie Bank ltd. – gaC european Wts Jul 2019 a 40,000,000 2018/04/06 2019/07/03 11.2011038 Macquarie Bank ltd. – greatwall Motor euro Put Wt apr 2019 a 8,000,000 2018/04/06 2019/04/02 11.1511037 Macquarie Bank ltd. – NCi european Put Warrants apr 2019 a 22,000,000 2018/04/06 2019/04/02 10.4511043 Macquarie Bank ltd. – sinopec seg european Wts Jun 2019 a 7,000,000 2018/04/06 2019/06/28 10.3011072 sg issuer – Hsi european Warrants Mar 2019 a 150,000,000 2018/04/06 2019/03/28 27.7511078 sg issuer – Hsi european Put Warrants aug 2018 e 150,000,000 2018/04/06 2018/08/30 23.2511084 sg issuer – Hsi european Put Warrants aug 2018 F 150,000,000 2018/04/06 2018/08/30 27.7511085 sg issuer – Hsi european Put Warrants sep 2018 C 150,000,000 2018/04/06 2018/09/27 33.0011074 sg issuer – tencent european Warrants sep 2018 F 200,000,000 2018/04/06 2018/09/28 61.0011121 BOCi asia ltd. – HkeX european Put Warrants Nov 2018 B 100,000,000 2018/04/09 2018/11/26 25.1011113 BOCi asia ltd. – HsBC european Put Warrants sep 2018 C 60,000,000 2018/04/09 2018/09/20 11.8811117 BOCi asia ltd. – Ping an european Warrants aug 2018 C 100,000,000 2018/04/09 2018/08/27 47.9011118 BOCi asia ltd. – Ping an european Warrants Oct 2018 a 100,000,000 2018/04/09 2018/10/04 65.0011110 BOCi asia ltd. – tencent european Put Wts sep 2018 e 100,000,000 2018/04/09 2018/09/24 18.1011139 Credit suisse ag – BYD Company european Warrants Feb 2019 a 100,000,000 2018/04/09 2019/02/11 16.0011147 Credit suisse ag – HsBC european Wts aug 2018 C 100,000,000 2018/04/09 2018/08/24 29.0011144 Credit suisse ag – PiCC group european Warrants Jul 2018 C 50,000,000 2018/04/09 2018/07/24 10.0011145 Credit suisse ag – Ping an european Warrants Jul 2018 H 150,000,000 2018/04/09 2018/07/09 51.0011158 goldman sachs sP (asia) – BOC Hk european Wts Jul 2018 B 60,000,000 2018/04/09 2018/07/26 10.0811156 goldman sachs sP (asia) – BYD Company european Wts Feb 2019 a 80,000,000 2018/04/09 2019/02/11 12.0011103 goldman sachs sP (asia) – Cka european Warrants sep 2018 a 60,000,000 2018/04/09 2018/09/20 10.0211153 goldman sachs sP (asia) – China life euro Wts aug 2018 C 100,000,000 2018/04/09 2018/08/29 15.0011152 goldman sachs sP (asia) – China life euro Wts Nov 2018 B 100,000,000 2018/04/09 2018/11/27 15.0011097 goldman sachs sP (asia) – CNBM european Warrants Jul 2018 B 40,000,000 2018/04/09 2018/07/09 28.8011107 goldman sachs sP (asia) – CNBM european Warrants Jul 2018 C 40,000,000 2018/04/09 2018/07/09 41.8811151 goldman sachs sP (asia) – sinopec Corp euro Wts Jul 2018 C 60,000,000 2018/04/09 2018/07/09 13.5011105 goldman sachs sP (asia) – Fosun intl european Wts Jul 2018 B 70,000,000 2018/04/09 2018/07/26 10.5011106 goldman sachs sP (asia) – a50 China european Wts Jul 2018 C 80,000,000 2018/04/09 2018/07/09 49.8411148 goldman sachs sP (asia) – tencent european Put Wt Jul 2018 Q 100,000,000 2018/04/09 2018/07/09 15.0011124 UBs ag – aaC tech european Warrants sep 2018 a 100,000,000 2018/04/09 2018/09/26 17.9011127 UBs ag – Brilliance Chi european Warrants Oct 2018 a 70,000,000 2018/04/09 2018/10/29 17.9211128 UBs ag – BYD european Warrants Feb 2019 B 100,000,000 2018/04/09 2019/02/21 17.0011138 UBs ag – BYD european Put Warrants Oct 2018 a 30,000,000 2018/04/09 2018/10/22 18.6911137 UBs ag – BYD electronic european Warrants Oct 2018 a 40,000,000 2018/04/09 2018/10/08 12.8811135 UBs ag – CsPC Pharma european Warrants Oct 2018 C 40,000,000 2018/04/09 2018/10/12 13.6411133 UBs ag – kingsoft european Warrants sep 2018 a 100,000,000 2018/04/09 2018/09/20 28.1011109 Bank Vontobel – aaC tech european Warrants Oct 2018 a 60,000,000 2018/04/09 2018/10/25 10.1411086 Bank Vontobel – China Unicom european Warrants Oct 2018 C 20,000,000 2018/04/09 2018/10/29 10.18

MaiN BOarD WarraNts



11093 Bank Vontobel – evergrande european Warrants Oct 2018 a 40,000,000 2018/04/09 2018/10/25 17.8811089 Bank Vontobel – tencent european Warrants Nov 2018 a 100,000,000 2018/04/09 2018/11/02 43.2011094 Bank Vontobel – tencent european Put Warrants Oct 2018 C 100,000,000 2018/04/09 2018/10/08 30.1011169 BOCi asia ltd. – Ping an european Warrants aug 2018 D 100,000,000 2018/04/10 2018/08/31 74.2011170 BOCi asia ltd. – Ping an european Warrants aug 2018 e 100,000,000 2018/04/10 2018/08/24 71.9011159 BOCi asia ltd. – tencent european Wts Jul 2018 F 200,000,000 2018/04/10 2018/07/26 77.4011166 BOCi asia ltd. – tencent european Wts Jul 2018 g 200,000,000 2018/04/10 2018/07/30 98.8011165 BOCi asia ltd. – tencent european Wts Oct 2018 a 200,000,000 2018/04/10 2018/10/31 108.8011224 BNP Paribas issuance B.V. – tencent eu Put Wt Nov 2018 D 80,000,000 2018/04/10 2018/11/02 26.4011240 Credit suisse ag – Cgs european Warrants sep 2018 a 30,000,000 2018/04/10 2018/09/18 11.7011239 Credit suisse ag – Ch longYuan european Warrants Oct 2018 a 20,000,000 2018/04/10 2018/10/09 16.0011226 Credit suisse ag – China south air european Wts Jul 2018 a 20,000,000 2018/04/10 2018/07/24 11.6011238 Credit suisse ag – a50 China european Warrants Jul 2018 B 50,000,000 2018/04/10 2018/07/23 15.5011231 Credit suisse ag – greatwall Motor european Wts Oct 2018 C 20,000,000 2018/04/10 2018/10/09 16.0011237 Credit suisse ag – Haitong sec european Warrants Oct 2018 a 25,000,000 2018/04/10 2018/10/09 17.5011233 Credit suisse ag – Nexteer european Warrants Nov 2018 a 40,000,000 2018/04/10 2018/11/30 10.0011243 Credit suisse ag – tencent euro Put Wts sep 2018 a 100,000,000 2018/04/10 2018/09/28 19.0011250 goldman sachs sP (asia) – BYD Company european Wts aug 2018 a 40,000,000 2018/04/10 2018/08/01 20.6811255 goldman sachs sP (asia) – Ch Comm Cons euro Wts Jul 2018 B 40,000,000 2018/04/10 2018/07/26 10.0011260 goldman sachs sP (asia) – China life euro Wts Oct 2018 B 80,000,000 2018/04/10 2018/10/26 12.0011245 goldman sachs sP (asia) – geely auto european Wts Jul 2018 F 80,000,000 2018/04/10 2018/07/24 12.0011246 goldman sachs sP (asia) – geely auto european Wts aug 2018 B 80,000,000 2018/04/10 2018/08/28 12.0011247 goldman sachs sP (asia) – HkeX european Warrants sep 2018 l 150,000,000 2018/04/10 2018/09/20 22.5011261 goldman sachs sP (asia) – kingsoft european Wts Jul 2018 B 60,000,000 2018/04/10 2018/07/23 10.0211257 goldman sachs sP (asia) – Ping an european Wts Jul 2018 l 100,000,000 2018/04/10 2018/07/26 32.5011256 goldman sachs sP (asia) – sUNaC european Warrants Jul 2018 B 40,000,000 2018/04/10 2018/07/24 10.1611248 goldman sachs sP (asia) – tencent european Wt sep 2018 B 150,000,000 2018/04/10 2018/09/17 53.7011217 Hk Bank – BYD european Warrants Feb 2019 B 100,000,000 2018/04/10 2019/02/21 15.0011222 Hk Bank – China life european Warrants sep 2018 D 100,000,000 2018/04/10 2018/09/28 16.0011223 Hk Bank – Hsi european Put Warrants Oct 2018 a 180,000,000 2018/04/10 2018/10/30 27.0011219 Hk Bank – tencent european Warrants Jul 2018 i 150,000,000 2018/04/10 2018/07/31 34.5011221 Hk Bank – tencent european Put Warrants sep 2018 C 100,000,000 2018/04/10 2018/09/24 18.0011215 Macquarie Bank ltd. – BYD european Put Warrants Dec 2018 B 10,000,000 2018/04/10 2018/12/04 10.0211216 Macquarie Bank ltd. – Minsheng Bank euro Put Wts Dec 2018 a 18,000,000 2018/04/10 2018/12/04 10.0411214 Macquarie Bank ltd. – FiH Mobile european Warrants Nov 2018 a 40,000,000 2018/04/10 2018/11/02 10.0011262 sg issuer – aia european Warrants aug 2018 a 30,000,000 2018/04/10 2018/08/31 10.3511264 sg issuer – China life european Warrants Oct 2018 C 70,000,000 2018/04/10 2018/10/31 10.5011267 sg issuer – CM Bank european Warrants Nov 2018 a 40,000,000 2018/04/10 2018/11/30 10.0011272 sg issuer – CPiC eur Wt Nov 2018 a 35,000,000 2018/04/10 2018/11/30 10.1511273 sg issuer – China taiping european Warrants Nov 2018 a 30,000,000 2018/04/10 2018/11/30 10.5011277 sg issuer – a50 China european Warrants Oct 2018 B 25,000,000 2018/04/10 2018/10/31 11.6311274 sg issuer – HsBC european Warrants Nov 2018 a 50,000,000 2018/04/10 2018/11/30 14.0011276 sg issuer – HsCei etF european Warrants Oct 2018 B 25,000,000 2018/04/10 2018/10/31 11.2511275 sg issuer – PiCC group european Warrants Oct 2018 a 30,000,000 2018/04/10 2018/10/31 11.70

MaiN BOarD WarraNts



11184 UBs ag – BYD european Warrants Jan 2019 a 100,000,000 2018/04/10 2019/01/08 15.0011174 UBs ag – China life european Warrants sep 2018 B 200,000,000 2018/04/10 2018/09/27 34.8011176 UBs ag – gaC european Warrants Dec 2018 a 70,000,000 2018/04/10 2018/12/03 13.3011178 UBs ag – greatwall Motor european Warrants Jul 2018 a 70,000,000 2018/04/10 2018/07/23 10.5011177 UBs ag – greatwall Motor european Warrants Dec 2019 a 70,000,000 2018/04/10 2019/12/20 10.5711171 UBs ag – HkeX european Warrants Jul 2018 J 300,000,000 2018/04/10 2018/07/10 45.9011172 UBs ag – HkeX european Warrants Jul 2018 k 300,000,000 2018/04/10 2018/07/13 46.5011181 UBs ag – HsBC european Warrants Jul 2018 D 100,000,000 2018/04/10 2018/07/26 15.0011183 UBs ag – HsBC european Warrants aug 2018 a 100,000,000 2018/04/10 2018/08/28 27.4011179 UBs ag – igg european Warrants sep 2018 B 60,000,000 2018/04/10 2018/09/21 11.6411213 UBs ag – China Mengniu european Warrants sep 2018 a 70,000,000 2018/04/10 2018/09/14 10.5711180 UBs ag – Nexteer european Warrants Oct 2018 B 70,000,000 2018/04/10 2018/10/03 10.5711205 UBs ag – Ping an european Warrants aug 2018 C 100,000,000 2018/04/10 2018/08/24 36.4011206 UBs ag – Ping an european Warrants aug 2018 D 100,000,000 2018/04/10 2018/08/31 20.6011209 UBs ag – Ping an european Warrants sep 2018 e 100,000,000 2018/04/10 2018/09/18 45.2011207 UBs ag – Ping an european Warrants Feb 2020 a 300,000,000 2018/04/10 2020/02/21 45.3011208 UBs ag – Ping an european Put Warrants Oct 2018 B 100,000,000 2018/04/10 2018/10/10 36.5011192 UBs ag – tencent european Warrants Jul 2018 i 300,000,000 2018/04/10 2018/07/26 133.2011203 UBs ag – tencent european Warrants Jul 2018 J 300,000,000 2018/04/10 2018/07/31 148.8011194 UBs ag – tencent european Warrants aug 2018 B 300,000,000 2018/04/10 2018/08/21 87.3011200 UBs ag – tencent european Warrants aug 2018 C 300,000,000 2018/04/10 2018/08/21 45.0011202 UBs ag – tencent european Warrants sep 2018 B 300,000,000 2018/04/10 2018/09/20 58.8011189 Bank Vontobel – BYD Company european Warrants Oct 2018 a 30,000,000 2018/04/10 2018/10/09 24.3311185 Bank Vontobel – CNBM european Warrants Oct 2018 a 15,000,000 2018/04/10 2018/10/10 19.0811191 Bank Vontobel – greatwall Motor european Warrants Oct 2018 C 15,000,000 2018/04/10 2018/10/10 13.5311187 Bank Vontobel – iCBC european Warrants aug 2018 C 40,000,000 2018/04/10 2018/08/08 12.4011190 Bank Vontobel – JiaNC european Warrants Mar 2019 a 60,000,000 2018/04/10 2019/03/04 15.0611314 BOCi asia ltd. – Bank of China european Warrants sep 2018 a 80,000,000 2018/04/11 2018/09/20 26.7211316 BOCi asia ltd. – BYD Company european Warrants Feb 2019 a 100,000,000 2018/04/11 2019/02/11 15.0011311 BOCi asia ltd. – iCBC european Warrants sep 2018 a 80,000,000 2018/04/11 2018/09/24 43.3611307 BOCi asia ltd. – tencent european Wts sep 2018 F 200,000,000 2018/04/11 2018/09/20 32.2011301 BOCi asia ltd. – tencent european Wts Oct 2018 B 200,000,000 2018/04/11 2018/10/29 126.2011345 Credit suisse ag – CPiC european Warrants Oct 2018 a 50,000,000 2018/04/11 2018/10/10 12.5011344 Credit suisse ag – China taiping european Warrants Oct 2018 a 40,000,000 2018/04/11 2018/10/10 11.2011338 Credit suisse ag – Ping an european Warrants Jul 2018 i 150,000,000 2018/04/11 2018/07/26 57.0011343 Credit suisse ag – tencent european Wts Jul 2018 M 250,000,000 2018/04/11 2018/07/26 87.5011340 Credit suisse ag – tencent european Wts aug 2018 a 250,000,000 2018/04/11 2018/08/29 67.5011362 goldman sachs sP (asia) – BYD Company european Wts Feb 2019 B 80,000,000 2018/04/11 2019/02/21 12.0011359 goldman sachs sP (asia) – China life euro Wts sep 2018 g 100,000,000 2018/04/11 2018/09/27 15.0011367 goldman sachs sP (asia) – CPiC european Warrants Nov 2018 a 50,000,000 2018/04/11 2018/11/27 10.0011371 goldman sachs sP (asia) – tencent european Wt Jul 2018 r 150,000,000 2018/04/11 2018/07/27 54.6011360 goldman sachs sP (asia) – tencent european Put Wt aug 2018 l 100,000,000 2018/04/11 2018/08/13 25.8011287 Hk Bank – CNOOC european Warrants Dec 2019 a 200,000,000 2018/04/11 2019/12/31 50.0011286 Haitong int'l sec – China Mobile european Wts sep 2018 B 80,000,000 2018/04/11 2018/09/24 12.00

MaiN BOarD WarraNts



11284 Haitong int'l sec – HsBC european Warrants Jul 2018 D 80,000,000 2018/04/11 2018/07/26 12.0011285 Haitong int'l sec – HsBC european Warrants Mar 2019 a 80,000,000 2018/04/11 2019/03/29 28.0011281 Haitong int'l sec – tencent european Warrants aug 2018 H 150,000,000 2018/04/11 2018/08/21 22.5011278 Haitong int'l sec – tencent european Warrants Mar 2019 a 150,000,000 2018/04/11 2019/03/01 42.0011317 Macquarie Bank ltd. – aia european Warrants Nov 2018 a 4,500,000 2018/04/11 2018/11/02 10.1411318 Macquarie Bank ltd. – CNOOC european Warrants Nov 2018 a 19,000,000 2018/04/11 2018/11/02 10.5311319 Macquarie Bank ltd. – tencent european Warrants Nov 2018 a 7,000,000 2018/04/11 2018/11/01 10.0311351 sg issuer – CHalCO european Warrants Nov 2018 a 15,000,000 2018/04/11 2018/11/30 10.9511346 sg issuer – China Mobile european Warrants Nov 2018 a 40,000,000 2018/04/11 2018/11/30 10.0011355 sg issuer – CNOOC european Warrants Nov 2018 a 25,000,000 2018/04/11 2018/11/30 10.3811352 sg issuer – sinopec Corp european Warrants Nov 2018 a 40,000,000 2018/04/11 2018/11/30 10.8011353 sg issuer – China shenhua european Warrants Dec 2018 a 50,000,000 2018/04/11 2018/12/31 10.0011348 sg issuer – China Unicom european Warrants Nov 2018 a 15,000,000 2018/04/11 2018/11/30 11.2511357 sg issuer – PetroChina european Warrants sep 2018 B 50,000,000 2018/04/11 2018/09/28 11.0011358 sg issuer – Zijin Mining european Warrants Nov 2018 a 20,000,000 2018/04/11 2018/11/30 10.0011295 UBs ag – BYD Company european Warrants aug 2018 a 30,000,000 2018/04/11 2018/08/01 17.8211296 UBs ag – China life european Warrants sep 2018 C 200,000,000 2018/04/11 2018/09/24 30.0011327 UBs ag – CPiC european Warrants Oct 2018 a 40,000,000 2018/04/11 2018/10/11 12.4011289 UBs ag – China taiping european Warrants aug 2018 a 50,000,000 2018/04/11 2018/08/24 10.5511323 UBs ag – geely auto european Warrants aug 2018 a 40,000,000 2018/04/11 2018/08/24 11.3211321 UBs ag – greatwall Motor european Warrants Oct 2018 C 12,000,000 2018/04/11 2018/10/11 10.2411291 UBs ag – Hsi european Warrants aug 2018 H 200,000,000 2018/04/11 2018/08/30 35.8011292 UBs ag – Hsi european Put Warrants aug 2018 i 200,000,000 2018/04/11 2018/08/30 35.4011337 UBs ag – kingdee intl european Warrants Jun 2019 a 100,000,000 2018/04/11 2019/06/21 20.4011300 UBs ag – kingsoft european Warrants aug 2018 B 60,000,000 2018/04/11 2018/08/16 18.3011329 UBs ag – NCi european Warrants Oct 2018 a 30,000,000 2018/04/11 2018/10/15 10.8911335 UBs ag – Zte european Warrants Jul 2018 a 40,000,000 2018/04/11 2018/07/31 10.3211334 UBs ag – Zte european Warrants sep 2018 a 40,000,000 2018/04/11 2018/09/20 11.1623821 # J P Morgan sP BV – Hsi european Warrants aug 2018 g 200,000,000 2018/04/11 2018/08/30 12.2011404 BOCi asia ltd. – CC Bank european Warrants Jul 2018 g 100,000,000 2018/04/12 2018/07/23 15.2011416 BOCi asia ltd. – Ck asset european Warrants sep 2018 a 60,000,000 2018/04/12 2018/09/26 13.9211406 BOCi asia ltd. – CNOOC european Warrants sep 2018 a 100,000,000 2018/04/12 2018/09/20 34.3011412 BOCi asia ltd. – China tel european Warrants sep 2018 a 80,000,000 2018/04/12 2018/09/24 12.1611411 BOCi asia ltd. – Fosun intl european Warrants Oct 2018 a 80,000,000 2018/04/12 2018/10/24 18.7211417 BOCi asia ltd. – geely auto european Warrants aug 2018 C 100,000,000 2018/04/12 2018/08/27 27.4011429 BOCi asia ltd. – HkeX european Warrants sep 2018 g 200,000,000 2018/04/12 2018/09/26 48.0011410 BOCi asia ltd. – PetroChina european Warrants Oct 2018 a 100,000,000 2018/04/12 2018/10/15 30.3011436 Credit suisse ag – BJ ent Water european Warrants Oct 2018 a 20,000,000 2018/04/12 2018/10/11 10.4011435 Credit suisse ag – China life european Warrants Nov 2018 a 120,000,000 2018/04/12 2018/11/30 18.0011431 Credit suisse ag – China Mobile european Warrants sep 2018 B 70,000,000 2018/04/12 2018/09/28 12.6011430 Credit suisse ag – HsBC european Wts aug 2018 D 100,000,000 2018/04/12 2018/08/06 18.5011441 Credit suisse ag – Ping an european Warrants Jul 2018 J 150,000,000 2018/04/12 2018/07/24 57.0011445 Credit suisse ag – Ping an european Warrants Jul 2018 k 150,000,000 2018/04/12 2018/07/31 82.5011438 Credit suisse ag – sinopharm european Warrants Oct 2018 a 30,000,000 2018/04/12 2018/10/11 16.50

MaiN BOarD WarraNts



11452 goldman sachs sP (asia) – Minsheng Bank euro Wts Jul 2018 C 40,000,000 2018/04/12 2018/07/12 10.0011451 goldman sachs sP (asia) – CNOOC european Warrants Jul 2018 e 80,000,000 2018/04/12 2018/07/24 12.0011450 goldman sachs sP (asia) – sinopec Corp euro Wts Jul 2018 D 60,000,000 2018/04/12 2018/07/23 10.0811378 goldman sachs sP (asia) – CsOP a50 etF euro Wts Jun 2019 a 150,000,000 2018/04/12 2019/06/21 22.5011458 goldman sachs sP (asia) – Ping an european Wts Jul 2018 M 100,000,000 2018/04/12 2018/07/19 17.4011449 goldman sachs sP (asia) – sHk Ppt european Wts Jul 2018 a 40,000,000 2018/04/12 2018/07/24 10.0011459 goldman sachs sP (asia) – tencent european Wt Jul 2018 s 150,000,000 2018/04/12 2018/07/26 36.3011460 goldman sachs sP (asia) – tencent european Wt Jul 2018 t 150,000,000 2018/04/12 2018/07/26 49.6511375 Haitong int'l sec – tencent european Warrants Dec 2018 C 150,000,000 2018/04/12 2018/12/19 37.5011374 Haitong int'l sec – tencent european Warrants Dec 2019 a 150,000,000 2018/04/12 2019/12/23 31.5011380 sg issuer – Bank of China european Warrants Oct 2018 B 80,000,000 2018/04/12 2018/10/31 12.4011381 sg issuer – Bank of China european Warrants Nov 2018 a 80,000,000 2018/04/12 2018/11/30 26.4011383 sg issuer – CC Bank european Warrants Oct 2018 a 60,000,000 2018/04/12 2018/10/31 30.0011384 sg issuer – CC Bank european Warrants Nov 2018 a 60,000,000 2018/04/12 2018/11/30 24.6011387 sg issuer – China life european Warrants sep 2018 C 150,000,000 2018/04/12 2018/09/28 24.0011388 sg issuer – geely auto european Warrants Nov 2018 a 40,000,000 2018/04/12 2018/11/30 12.0011418 sg issuer – HkeX european Put Warrants Jul 2019 a 100,000,000 2018/04/12 2019/07/31 25.0011389 sg issuer – HsBC european Warrants sep 2018 a 80,000,000 2018/04/12 2018/09/28 16.4011419 sg issuer – tencent european Put Warrants sep 2018 g 150,000,000 2018/04/12 2018/09/28 45.0011424 sg issuer – tencent european Put Warrants Jan 2019 B 150,000,000 2018/04/12 2019/01/31 37.5011398 UBs ag – China life european Warrants sep 2018 D 200,000,000 2018/04/12 2018/09/07 30.0011397 UBs ag – China south air european Warrants Oct 2018 B 11,000,000 2018/04/12 2018/10/15 12.9111372 UBs ag – Hsi european Warrants Jul 2018 g 200,000,000 2018/04/12 2018/07/30 30.0011390 UBs ag – lenovo european Warrants Oct 2018 a 34,000,000 2018/04/12 2018/10/26 11.0511395 UBs ag – luye Pharma european Warrants Dec 2018 a 40,000,000 2018/04/12 2018/12/17 10.0411399 UBs ag – sino Biopharm european Warrants Oct 2018 a 40,000,000 2018/04/12 2018/10/15 10.4411393 UBs ag – sinopharm european Warrants Oct 2018 a 20,000,000 2018/04/12 2018/10/15 14.1211506 Credit suisse ag – China life european Warrants sep 2018 F 120,000,000 2018/04/13 2018/09/28 20.4011507 Credit suisse ag – CsOP a50 etF european Warrants Jun 2019 a 150,000,000 2018/04/13 2019/06/21 22.5011504 Credit suisse ag – luye Pharma european Warrants Dec 2018 a 60,000,000 2018/04/13 2018/12/28 15.0011515 goldman sachs sP (asia) – geely auto european Wts aug 2018 C 80,000,000 2018/04/13 2018/08/24 15.5211512 goldman sachs sP (asia) – HsBC european Warrants sep 2018 B 80,000,000 2018/04/13 2018/09/24 12.0011533 goldman sachs sP (asia) – Hsi european Put Wts aug 2018 H 150,000,000 2018/04/13 2018/08/30 24.1511534 goldman sachs sP (asia) – Hsi european Put Wts aug 2018 i 150,000,000 2018/04/13 2018/08/30 22.5011513 goldman sachs sP (asia) – tencent european Put Wt sep 2018 C 100,000,000 2018/04/13 2018/09/24 15.0011477 Hk Bank – CitiC Bank european Warrants Oct 2018 a 40,000,000 2018/04/13 2018/10/31 12.0011476 Hk Bank – Minsheng Bank european Warrants Oct 2018 a 25,000,000 2018/04/13 2018/10/31 11.0011463 Hk Bank – China Mobile european Warrants Oct 2018 a 40,000,000 2018/04/13 2018/10/31 14.0011474 Hk Bank – sinopec Corp european Warrants Oct 2018 a 40,000,000 2018/04/13 2018/10/31 10.0011468 Hk Bank – CPiC european Warrants Oct 2018 a 40,000,000 2018/04/13 2018/10/31 10.0011471 Hk Bank – Hsi european Warrants Oct 2018 B 180,000,000 2018/04/13 2018/10/30 27.0011469 Hk Bank – NCi european Warrants Oct 2018 a 40,000,000 2018/04/13 2018/10/31 10.0011555 J P Morgan sP BV – 3sBiO european Warrants Oct 2018 a 25,000,000 2018/04/13 2018/10/31 10.0811546 J P Morgan sP BV – China everbright ltd european Wts Dec 18 a 60,000,000 2018/04/13 2018/12/31 15.00

MaiN BOarD WarraNts



11547 J P Morgan sP BV – China gas Hold european Wts Dec 2018 a 60,000,000 2018/04/13 2018/12/31 22.6811543 J P Morgan sP BV – China life european Warrants Dec 2018 a 100,000,000 2018/04/13 2018/12/05 15.0011550 J P Morgan sP BV – China Mobile european Put Wts Nov 2018 a 100,000,000 2018/04/13 2018/11/02 25.0011549 J P Morgan sP BV – HsBC european Put Warrants Nov 2018 a 100,000,000 2018/04/13 2018/11/02 25.9011553 J P Morgan sP BV – Jiangxi Copper european Warrants Dec 18 a 80,000,000 2018/04/13 2018/12/17 12.0011540 J P Morgan sP BV – luye Pharma european Warrants Dec 2018 a 40,000,000 2018/04/13 2018/12/31 10.3211535 J P Morgan sP BV – sino Biopharm european Warrants Oct 2018 a 40,000,000 2018/04/13 2018/10/31 10.1611551 J P Morgan sP BV – sunny Optical european Warrants Nov 2018 B 100,000,000 2018/04/13 2018/11/02 25.0011538 J P Morgan sP BV – WuXi Bio european Warrants Oct 2018 a 40,000,000 2018/04/13 2018/10/31 10.1211486 Macquarie Bank ltd. – CsOP a50 etF european Wts Nov 2018 a 11,000,000 2018/04/13 2018/11/02 10.2111487 Macquarie Bank ltd. – a50 China european Warrants Nov 2018 a 16,000,000 2018/04/13 2018/11/02 10.4211489 Macquarie Bank ltd. – tencent european Warrants Oct 2018 i 40,000,000 2018/04/13 2018/10/26 10.0811488 Macquarie Bank ltd. – tencent european Warrants Nov 2018 B 8,000,000 2018/04/13 2018/11/01 16.9111516 sg issuer – CkH Holdings european Warrants sep 2018 a 50,000,000 2018/04/13 2018/09/28 10.0011526 sg issuer – Henderson land european Warrants Dec 2018 a 30,000,000 2018/04/13 2018/12/31 10.5011519 sg issuer – HsCei european Warrants Jan 2019 a 50,000,000 2018/04/13 2019/01/30 12.5011518 sg issuer – HsCei european Put Warrants Dec 2018 C 50,000,000 2018/04/13 2018/12/28 11.0011520 sg issuer – Hsi european Warrants sep 2018 D 100,000,000 2018/04/13 2018/09/27 15.5011525 sg issuer – Hsi european Warrants Nov 2018 C 100,000,000 2018/04/13 2018/11/29 15.0011521 sg issuer – Hsi european Put Warrants sep 2018 e 100,000,000 2018/04/13 2018/09/27 20.0011530 sg issuer – New World Dev eu Wt Dec 2018 a 13,000,000 2018/04/13 2018/12/31 10.1411500 UBs ag – China Mobile european Warrants sep 2018 B 100,000,000 2018/04/13 2018/09/20 15.7011502 UBs ag – China Mobile european Put Warrants Oct 2018 a 70,000,000 2018/04/13 2018/10/12 30.2411498 UBs ag – CrrC european Warrants Oct 2018 a 11,000,000 2018/04/13 2018/10/29 10.4511493 UBs ag – guotai Junan i european Warrants Nov 2018 a 30,000,000 2018/04/13 2018/11/26 10.9811491 UBs ag – Minth group european Warrants Nov 2018 a 30,000,000 2018/04/13 2018/11/26 14.4311496 UBs ag – Nexteer european Warrants Nov 2018 a 45,000,000 2018/04/13 2018/11/12 11.2511490 UBs ag – sHk Ppt european Warrants Oct 2018 a 30,000,000 2018/04/13 2018/10/12 17.9111494 UBs ag – techtronic ind european Warrants Oct 2018 a 22,000,000 2018/04/13 2018/10/12 11.5911482 Bank Vontobel – CNOOC european Warrants Oct 2018 B 20,000,000 2018/04/13 2018/10/31 12.0011483 Bank Vontobel – tencent european Warrants Jul 2018 D 100,000,000 2018/04/13 2018/07/19 20.4011484 Bank Vontobel – tencent european Warrants Jul 2018 e 100,000,000 2018/04/13 2018/07/24 31.6011610 BNP Paribas issuance B.V. – BOCl european Wts apr 2019 B 50,000,000 2018/04/16 2019/04/02 15.5011608 BNP Paribas issuance B.V. – China Mobile euro Wts Nov 2018 a 40,000,000 2018/04/16 2018/11/02 12.0011611 BNP Paribas issuance B.V. – galaxy ent euro Wts Mar 2019 a 40,000,000 2018/04/16 2019/03/04 24.0011607 BNP Paribas issuance B.V. – Ping an european Wt Jan 2019 C 60,000,000 2018/04/16 2019/01/03 36.0011605 BNP Paribas issuance B.V. – tencent euro Wts Dec 2018 D 80,000,000 2018/04/16 2018/12/04 36.0011633 Credit suisse ag – Car inc european Warrants Oct 2018 a 15,000,000 2018/04/16 2018/10/15 11.5511629 Credit suisse ag – China Mobile european Warrants sep 2018 C 70,000,000 2018/04/16 2018/09/28 10.5011630 Credit suisse ag – sh Pharma european Warrants Oct 2018 a 40,000,000 2018/04/16 2018/10/16 10.0011648 goldman sachs sP (asia) – CkH Holdings european Wts sep 18 a 60,000,000 2018/04/16 2018/09/20 10.1411652 goldman sachs sP (asia) – CNOOC european Warrants Oct 2018 a 80,000,000 2018/04/16 2018/10/16 31.3611649 goldman sachs sP (asia) – China Overseas european Wts sep 18 a 80,000,000 2018/04/16 2018/09/28 12.0011653 goldman sachs sP (asia) – Ping an euro Put Wts Jul 2018 N 60,000,000 2018/04/16 2018/07/26 21.00

MaiN BOarD WarraNts



11650 goldman sachs sP (asia) – tencent european Wt sep 2018 D 150,000,000 2018/04/16 2018/09/20 22.5011636 Haitong int'l sec – CC Bank european Warrants Oct 2018 B 150,000,000 2018/04/16 2018/10/31 67.5011638 Haitong int'l sec – CC Bank european Warrants Nov 2018 a 150,000,000 2018/04/16 2018/11/30 67.5011639 Haitong int'l sec – CC Bank european Warrants Nov 2018 B 150,000,000 2018/04/16 2018/11/30 57.0011640 Haitong int'l sec – CC Bank european Warrants Dec 2018 B 150,000,000 2018/04/16 2018/12/31 55.5011644 Haitong int'l sec – China Mobile european Wts Dec 2018 a 60,000,000 2018/04/16 2018/12/31 21.8411645 Haitong int'l sec – China Mobile european Wts Dec 2018 B 60,000,000 2018/04/16 2018/12/31 16.4411647 Haitong int'l sec – China Mobile european Wts Jan 2019 a 60,000,000 2018/04/16 2019/01/28 15.0011588 Haitong int'l sec – Ch Overseas european Warrants Oct 2018 a 60,000,000 2018/04/16 2018/10/24 11.1611589 Haitong int'l sec – Ch Overseas european Warrants Feb 2019 a 40,000,000 2018/04/16 2019/02/08 10.0011600 Haitong int'l sec – geely auto european Warrants Nov 2018 a 50,000,000 2018/04/16 2018/11/20 18.2511601 Haitong int'l sec – geely auto european Warrants Nov 2018 B 50,000,000 2018/04/16 2018/11/20 15.3511602 Haitong int'l sec – geely auto european Warrants Dec 2018 a 50,000,000 2018/04/16 2018/12/31 14.5011580 Haitong int'l sec – HkeX european Warrants Nov 2018 a 150,000,000 2018/04/16 2018/11/01 37.5011583 Haitong int'l sec – HkeX european Warrants Nov 2018 B 150,000,000 2018/04/16 2018/11/30 24.0011582 Haitong int'l sec – HkeX european Warrants Dec 2018 F 150,000,000 2018/04/16 2018/12/31 37.5011587 Haitong int'l sec – HkeX european Warrants Dec 2018 g 150,000,000 2018/04/16 2018/12/24 22.5011597 Haitong int'l sec – HsBC european Warrants Oct 2018 a 60,000,000 2018/04/16 2018/10/31 20.7011599 Haitong int'l sec – HsBC european Warrants Nov 2018 B 60,000,000 2018/04/16 2018/11/20 15.7211592 Haitong int'l sec – tencent european Warrants Oct 2018 B 150,000,000 2018/04/16 2018/10/18 40.8011591 Haitong int'l sec – tencent european Warrants Nov 2018 a 150,000,000 2018/04/16 2018/11/16 53.5511593 Haitong int'l sec – tencent european Warrants Nov 2018 B 150,000,000 2018/04/16 2018/11/02 38.1011594 Haitong int'l sec – tencent european Warrants Dec 2018 D 150,000,000 2018/04/16 2018/12/04 37.5011622 J P Morgan sP BV – anhui Conch european Warrants Nov 2018 a 50,000,000 2018/04/16 2018/11/01 12.6511628 J P Morgan sP BV – Car inc european Warrants Feb 2020 a 50,000,000 2018/04/16 2020/02/03 12.5011625 J P Morgan sP BV – CPiC european Warrants Nov 2018 a 50,000,000 2018/04/16 2018/11/02 13.8511623 J P Morgan sP BV – HsBC european Warrants Nov 2018 B 50,000,000 2018/04/16 2018/11/02 13.9011613 J P Morgan sP BV – kB laminates european Warrants Feb 2019 a 50,000,000 2018/04/16 2019/02/01 12.5011621 J P Morgan sP BV – kingdee intl european Warrants May 2019 a 50,000,000 2018/04/16 2019/05/02 13.0511619 J P Morgan sP BV – sinopharm european Warrants Nov 2018 a 40,000,000 2018/04/16 2018/11/01 17.8411556 Macquarie Bank ltd. – CNBM european Warrants Nov 2018 a 7,700,000 2018/04/16 2018/11/02 10.1111558 Macquarie Bank ltd. – CNBM european Put Warrants Jan 2019 a 5,000,000 2018/04/16 2019/01/03 10.2711562 Macquarie Bank ltd. – geely auto european Wts Nov 2018 a 4,000,000 2018/04/16 2018/11/02 12.1811561 Macquarie Bank ltd. – kingdee int'l european Wts Dec 2018 B 7,000,000 2018/04/16 2018/12/18 10.0511567 Macquarie Bank ltd. – Ping an european Warrants Nov 2018 a 17,000,000 2018/04/16 2018/11/02 10.0511579 UBs ag – gF sec european Warrants Oct 2018 B 70,000,000 2018/04/16 2018/10/11 10.5011573 UBs ag – Hsi european Warrants Oct 2018 C 200,000,000 2018/04/16 2018/10/30 37.6011577 UBs ag – Hsi european Warrants Nov 2018 B 200,000,000 2018/04/16 2018/11/29 34.6011576 UBs ag – Hsi european Warrants Dec 2018 a 200,000,000 2018/04/16 2018/12/28 33.6011570 UBs ag – Hsi european Put Warrants Oct 2018 B 200,000,000 2018/04/16 2018/10/30 30.8011568 UBs ag – Hsi european Put Warrants Nov 2018 a 200,000,000 2018/04/16 2018/11/29 38.2011578 UBs ag – WH group european Warrants Jul 2019 a 50,000,000 2018/04/16 2019/07/24 10.4019255 # goldman sachs sP (asia) – Ping an european Wts May 2018 k 40,000,000 2018/04/16 2018/05/28 23.2011709 BOCi asia ltd. – CNBM european Warrants Oct 2018 a 20,000,000 2018/04/17 2018/10/22 18.88

MaiN BOarD WarraNts



11700 BOCi asia ltd. – CsPC Pharma european Warrants sep 2018 a 50,000,000 2018/04/17 2018/09/24 13.3011711 BOCi asia ltd. – kingdee int'l european Warrants sep 2018 a 25,000,000 2018/04/17 2018/09/13 33.7811712 BOCi asia ltd. – kingdee int'l european Warrants sep 2018 B 25,000,000 2018/04/17 2018/09/24 32.0011707 BOCi asia ltd. – sino Biopharm european Warrants Oct 2018 a 50,000,000 2018/04/17 2018/10/22 13.8011702 BOCi asia ltd. – sinopharm european Warrants Oct 2018 a 50,000,000 2018/04/17 2018/10/22 28.0511723 BNP Paribas issuance B.V. – agricultural Bank eu Wt Jan 19 a 40,000,000 2018/04/17 2019/01/03 14.0011726 BNP Paribas issuance B.V. – Minsheng Bk euro Wt Jan 2019 a 40,000,000 2018/04/17 2019/01/03 25.2011725 BNP Paribas issuance B.V. – Chinasoft int'l euro Wts Nov18 a 10,000,000 2018/04/17 2018/11/02 10.0011724 BNP Paribas issuance B.V. – China Unicom euro Wt Nov 2018 a 40,000,000 2018/04/17 2018/11/02 28.4011757 Credit suisse ag – Conch Cement european Warrants Oct 2018 a 50,000,000 2018/04/17 2018/10/16 12.5011752 Credit suisse ag – BYD electronic european Wts Oct 2018 a 40,000,000 2018/04/17 2018/10/16 10.0011755 Credit suisse ag – CC Bank european Warrants aug 2018 F 50,000,000 2018/04/17 2018/08/31 11.1011756 Credit suisse ag – CNBM european Warrants Jul 2018 B 20,000,000 2018/04/17 2018/07/31 10.8011753 Credit suisse ag – Dongfeng Motor european Warrants Oct 18 a 15,000,000 2018/04/17 2018/10/16 12.0011750 Credit suisse ag – geely auto european Warrants aug 2018 C 80,000,000 2018/04/17 2018/08/31 14.5611754 Credit suisse ag – Baiyunshan Ph european Warrants Oct 2018 a 35,000,000 2018/04/17 2018/10/16 10.3311748 Credit suisse ag – HtsC european Warrants sep 2018 a 70,000,000 2018/04/17 2018/09/28 10.5011743 Credit suisse ag – kingdee int'l european Warrants Jan 2019 a 70,000,000 2018/04/17 2019/01/17 17.5011745 Credit suisse ag – tencent european Wts Jul 2018 N 250,000,000 2018/04/17 2018/07/23 37.5011746 Credit suisse ag – tencent european Wts sep 2018 B 250,000,000 2018/04/17 2018/09/20 45.0011744 Credit suisse ag – WH group european Warrants Oct 2018 a 15,000,000 2018/04/17 2018/10/16 11.2511740 goldman sachs sP (asia) – CsOP a50 etF euro Wts sep 2018 C 80,000,000 2018/04/17 2018/09/11 43.7611735 goldman sachs sP (asia) – China Unicom euro Wts aug 2018 a 50,000,000 2018/04/17 2018/08/30 12.4511734 goldman sachs sP (asia) – HsBC european Warrants aug 2018 F 80,000,000 2018/04/17 2018/08/31 21.9211741 goldman sachs sP (asia) – Haitong sec euro Wts Oct 2018 a 40,000,000 2018/04/17 2018/10/02 24.0411738 goldman sachs sP (asia) – PetroChina european Wts sep 2018 a 80,000,000 2018/04/17 2018/09/26 12.0011698 Hk Bank – BYD electronic eeuropean Warrants Oct 2018 a 50,000,000 2018/04/17 2018/10/31 12.5011697 Hk Bank – gaC group european Warrants Nov 2018 a 80,000,000 2018/04/17 2018/11/19 12.0011695 Hk Bank – geely auto european Warrants Oct 2018 a 80,000,000 2018/04/17 2018/10/31 24.0011699 Hk Bank – Hsi european Put Warrants Nov 2018 a 180,000,000 2018/04/17 2018/11/29 28.8011664 Haitong int'l sec – 3sBiO european Warrants Oct 2018 a 40,000,000 2018/04/17 2018/10/30 13.6011659 Haitong int'l sec – Conch Cement european Warrants Nov 2018 a 40,000,000 2018/04/17 2018/11/30 15.6011665 Haitong int'l sec – BBMg european Warrants Oct 2018 a 28,000,000 2018/04/17 2018/10/18 12.0411655 Haitong int'l sec – China eB ltd european Warrants Dec 2018 a 40,000,000 2018/04/17 2018/12/24 10.0011658 Haitong int'l sec – CMs european Warrants Dec 2018 a 40,000,000 2018/04/17 2018/12/18 16.4011680 Haitong int'l sec – CNBM european Warrants sep 2019 a 80,000,000 2018/04/17 2019/09/30 20.8011657 Haitong int'l sec – China res Beer european Warrants Oct 18 a 50,000,000 2018/04/17 2018/10/30 30.5011660 Haitong int'l sec – CsPC Pharma european Warrants Nov 2018 a 40,000,000 2018/04/17 2018/11/30 17.6011661 Haitong int'l sec – CsPC Pharma european Warrants Nov 2018 B 40,000,000 2018/04/17 2018/11/16 12.0011654 Haitong int'l sec – galaxy ent european Warrants Nov 2018 a 40,000,000 2018/04/17 2018/11/30 16.4011656 Haitong int'l sec – kingdee int'l european Wts Mar 2019 a 80,000,000 2018/04/17 2019/03/29 20.0011667 Haitong int'l sec – luye Pharma european Warrants Nov 2018 a 68,000,000 2018/04/17 2018/11/05 17.0011668 Haitong int'l sec – luye Pharma european Warrants Dec 2018 a 68,000,000 2018/04/17 2018/12/28 17.0011662 Haitong int'l sec – sino Biopharm european Wts Nov 2018 a 40,000,000 2018/04/17 2018/11/16 10.40

MaiN BOarD WarraNts



11671 Haitong int'l sec – WuXi Bio european Warrants Oct 2018 a 68,000,000 2018/04/17 2018/10/30 17.0011732 J P Morgan sP BV – BYD Company european Warrants aug 2018 a 60,000,000 2018/04/17 2018/08/01 34.8011733 J P Morgan sP BV – CMs european Warrants Nov 2018 a 60,000,000 2018/04/17 2018/11/30 15.2411729 J P Morgan sP BV – Chinares Cement euro Warrants Nov 2018 a 30,000,000 2018/04/17 2018/11/02 15.4811727 J P Morgan sP BV – sUNaC european Warrants aug 2018 B 60,000,000 2018/04/17 2018/08/31 23.9411715 Macquarie Bank ltd. – HsBC european Warrants apr 2019 a 22,000,000 2018/04/17 2019/04/02 10.3211716 Macquarie Bank ltd. – HsBC european Put Warrants Jan 2019 C 14,000,000 2018/04/17 2019/01/03 10.0911717 Macquarie Bank ltd. – tencent european Warrants Oct 2018 J 40,000,000 2018/04/17 2018/10/26 24.1211719 Macquarie Bank ltd. – tencent european Warrants Nov 2018 C 8,000,000 2018/04/17 2018/11/01 26.9411720 Macquarie Bank ltd. – tencent european Warrants Nov 2018 D 8,000,000 2018/04/17 2018/11/01 39.3311689 Macquarie Bank ltd. – YOFC european Warrants Jul 2019 a 7,000,000 2018/04/17 2019/07/19 10.8611682 Bank Vontobel – Hsi european Warrants Dec 2018 B 100,000,000 2018/04/17 2018/12/28 16.1011684 Bank Vontobel – Hsi european Put Warrants aug 2018 g 100,000,000 2018/04/17 2018/08/30 15.1011688 Bank Vontobel – Hsi european Put Warrants sep 2018 e 100,000,000 2018/04/17 2018/09/27 18.8018614 # J P Morgan sP BV – Ping an european Warrants aug 2018 a 100,000,000 2018/04/17 2018/08/31 130.0011758 BOCi asia ltd. – aia european Warrants sep 2018 B 100,000,000 2018/04/18 2018/09/26 23.6011772 BOCi asia ltd. – CHalCO european Warrants aug 2018 a 50,000,000 2018/04/18 2018/08/20 19.2011769 BOCi asia ltd. – CC Bank european Warrants sep 2018 a 80,000,000 2018/04/18 2018/09/20 20.0811770 BOCi asia ltd. – CC Bank european Warrants sep 2018 B 80,000,000 2018/04/18 2018/09/27 15.9211764 BOCi asia ltd. – sinopec Corp european Warrants sep 2018 a 50,000,000 2018/04/18 2018/09/26 11.7511774 BOCi asia ltd. – CPiC european Warrants Nov 2018 a 50,000,000 2018/04/18 2018/11/26 15.4511768 BOCi asia ltd. – geely auto european Warrants sep 2018 a 100,000,000 2018/04/18 2018/09/04 20.4011767 BOCi asia ltd. – geely auto european Warrants Oct 2018 a 100,000,000 2018/04/18 2018/10/29 29.4011762 BOCi asia ltd. – galaxy ent european Warrants Oct 2018 a 60,000,000 2018/04/18 2018/10/29 24.2411773 BOCi asia ltd. – PiCC group european Warrants aug 2018 a 50,000,000 2018/04/18 2018/08/28 10.3511843 BNP Paribas issuance B.V. – aia european Wts Jan 2019 B 40,000,000 2018/04/18 2019/01/03 21.6011836 BNP Paribas issuance B.V. – China life euro Wts Dec 2018 B 70,000,000 2018/04/18 2018/12/04 11.2011837 BNP Paribas issuance B.V. – CPiC european Wts Nov 2018 a 40,000,000 2018/04/18 2018/11/02 13.6011838 BNP Paribas issuance B.V. – NCi european Wts Nov 2018 a 40,000,000 2018/04/18 2018/11/02 18.8011839 BNP Paribas issuance B.V. – PiCC group euro Wts Nov 2018 a 40,000,000 2018/04/18 2018/11/02 16.4011840 BNP Paribas issuance B.V. – Ping an european Wt sep 2018 a 40,000,000 2018/04/18 2018/09/04 23.2011866 Credit suisse ag – BaiC Motor european Warrants Oct 2018 a 15,000,000 2018/04/18 2018/10/18 13.9511872 Credit suisse ag – China Cinda european Warrants aug 2018 a 60,000,000 2018/04/18 2018/08/24 11.4011862 Credit suisse ag – Minsheng Bank european Wts Jul 2018 B 50,000,000 2018/04/18 2018/07/31 11.0511868 Credit suisse ag – China res Beer european Warrants Oct 18 a 20,000,000 2018/04/18 2018/10/18 10.4011869 Credit suisse ag – Chinares Cement european Warrants Oct 18 a 20,000,000 2018/04/18 2018/10/18 10.4011861 Credit suisse ag – CsOP a50 etF european Warrants aug 2018 a 50,000,000 2018/04/18 2018/08/24 18.7511871 Credit suisse ag – China Unicom european Warrants Oct 2018 a 30,000,000 2018/04/18 2018/10/18 15.6011867 Credit suisse ag – PiCC group european Warrants Oct 2018 a 50,000,000 2018/04/18 2018/10/18 17.5011858 Credit suisse ag – Ping an european Warrants aug 2018 D 150,000,000 2018/04/18 2018/08/31 192.0011859 Credit suisse ag – Ping an european Warrants aug 2018 e 150,000,000 2018/04/18 2018/08/31 145.5011860 Credit suisse ag – Ping an european Warrants sep 2018 F 150,000,000 2018/04/18 2018/09/28 72.0011881 goldman sachs sP (asia) – aaC tech euro Wts sep 2018 C 60,000,000 2018/04/18 2018/09/26 10.0811891 goldman sachs sP (asia) – aia european Warrants sep 2018 a 80,000,000 2018/04/18 2018/09/20 29.44

MaiN BOarD WarraNts



11873 goldman sachs sP (asia) – CrCC european Warrants aug 2018 C 40,000,000 2018/04/18 2018/08/27 15.8811882 goldman sachs sP (asia) – Ping an european Wts aug 2018 e 100,000,000 2018/04/18 2018/08/24 77.6011884 goldman sachs sP (asia) – Ping an european Wts Oct 2018 a 100,000,000 2018/04/18 2018/10/02 65.0011887 goldman sachs sP (asia) – Ping an european Wts Dec 2018 D 60,000,000 2018/04/18 2018/12/28 73.9811844 Haitong int'l sec – CNOOC european Warrants Oct 2018 a 30,000,000 2018/04/18 2018/10/18 19.5011849 Haitong int'l sec – PetroChina european Warrants Oct 2018 a 60,000,000 2018/04/18 2018/10/19 19.8011845 Haitong int'l sec – Ping an european Warrants aug 2018 g 80,000,000 2018/04/18 2018/08/24 104.0011850 Haitong int'l sec – Ping an european Warrants Oct 2018 a 80,000,000 2018/04/18 2018/10/24 96.0011853 J P Morgan sP BV – aia european Warrants Nov 2018 a 100,000,000 2018/04/18 2018/11/02 25.9011855 J P Morgan sP BV – aia european Put Warrants Oct 2018 B 100,000,000 2018/04/18 2018/10/31 33.4011857 J P Morgan sP BV – anta sports european Warrants Nov 2018 a 40,000,000 2018/04/18 2018/11/02 20.6011791 Macquarie Bank ltd. – China Mobile european Wts Nov 2018 C 10,500,000 2018/04/18 2018/11/01 10.1211777 Macquarie Bank ltd. – sinopec Corp european Wts Nov 2018 a 27,000,000 2018/04/18 2018/11/02 10.1011781 Macquarie Bank ltd. – sinopec Corp european Wts Dec 2018 a 31,000,000 2018/04/18 2018/12/04 10.2011789 Macquarie Bank ltd. – China tel european Warrants Nov 2018 a 36,000,000 2018/04/18 2018/11/02 10.1211793 Macquarie Bank ltd. – Jiangxi Copper european Wts Mar 2019 a 6,500,000 2018/04/18 2019/03/04 10.1911792 Macquarie Bank ltd. – stanchart european Warrants Oct 2018 B 12,000,000 2018/04/18 2018/10/31 10.0111784 Macquarie Bank ltd. – tencent european Put Wts Oct 2018 k 22,000,000 2018/04/18 2018/10/26 10.0311790 Macquarie Bank ltd. – tencent european Put Wts Nov 2018 e 7,000,000 2018/04/18 2018/11/01 18.4711903 sg issuer – aia european Warrants sep 2018 B 60,000,000 2018/04/18 2018/09/28 17.1011905 sg issuer – aia european Warrants Oct 2018 a 60,000,000 2018/04/18 2018/10/31 15.0011906 sg issuer – aia european Put Warrants Oct 2018 B 60,000,000 2018/04/18 2018/10/31 15.0011892 sg issuer – China Oilfield european Warrants Dec 2018 a 10,000,000 2018/04/18 2018/12/31 10.5011893 sg issuer – PiCC group european Warrants Nov 2018 a 30,000,000 2018/04/18 2018/11/30 11.7011894 sg issuer – Ping an european Warrants sep 2018 B 50,000,000 2018/04/18 2018/09/28 27.0011895 sg issuer – Ping an european Warrants sep 2018 C 50,000,000 2018/04/18 2018/09/28 14.7511896 sg issuer – PsBC european Warrants Dec 2018 a 30,000,000 2018/04/18 2018/12/31 11.7011897 sg issuer – stanchart european Warrants Nov 2018 a 25,000,000 2018/04/18 2018/11/30 10.0011899 sg issuer – Wynn Macau european Warrants Nov 2018 a 25,000,000 2018/04/18 2018/11/30 11.5011828 UBs ag – aia european Warrants sep 2018 a 100,000,000 2018/04/18 2018/09/03 29.2011823 UBs ag – CNOOC european Warrants aug 2018 a 40,000,000 2018/04/18 2018/08/20 12.6011824 UBs ag – CNOOC european Put Warrants Oct 2018 a 40,000,000 2018/04/18 2018/10/26 32.4811816 UBs ag – HkeX european Warrants sep 2018 D 300,000,000 2018/04/18 2018/09/20 60.6011813 UBs ag – HkeX european Warrants Oct 2018 B 50,000,000 2018/04/18 2018/10/18 49.3511814 UBs ag – HkeX european Warrants Oct 2018 C 300,000,000 2018/04/18 2018/10/10 46.5011817 UBs ag – HkeX european Put Warrants Oct 2018 D 300,000,000 2018/04/18 2018/10/26 45.6011810 UBs ag – PetroChina european Warrants sep 2018 a 70,000,000 2018/04/18 2018/09/28 11.4811812 UBs ag – PetroChina european Put Warrants Oct 2018 a 40,000,000 2018/04/18 2018/10/18 13.8811797 UBs ag – Ping an european Warrants Jul 2018 e 100,000,000 2018/04/18 2018/07/23 76.9011798 UBs ag – Ping an european Warrants Jul 2018 F 100,000,000 2018/04/18 2018/07/27 63.0011800 UBs ag – Ping an european Warrants sep 2018 F 100,000,000 2018/04/18 2018/09/20 48.8011804 UBs ag – Ping an european Warrants sep 2018 g 100,000,000 2018/04/18 2018/09/27 23.6011801 UBs ag – Ping an european Warrants sep 2019 a 300,000,000 2018/04/18 2019/09/23 52.5011851 Bank Vontobel – Hsi european Warrants aug 2018 H 100,000,000 2018/04/18 2018/08/30 15.20

MaiN BOarD WarraNts



11832 Bank Vontobel – Hsi european Warrants sep 2018 F 100,000,000 2018/04/18 2018/09/27 19.5011831 Bank Vontobel – Hsi european Put Warrants Nov 2018 a 100,000,000 2018/04/18 2018/11/29 17.0011829 Bank Vontobel – Yanzhou Coal european Warrants Dec 2018 a 70,000,000 2018/04/18 2018/12/12 10.8511969 BOCi asia ltd. – BOC Hk european Warrants Oct 2018 a 70,000,000 2018/04/19 2018/10/24 10.5011972 BOCi asia ltd. – Ch Comm Cons european Warrants sep 2018 a 50,000,000 2018/04/19 2018/09/24 15.3511968 BOCi asia ltd. – CitiC Bank european Warrants Oct 2018 a 50,000,000 2018/04/19 2018/10/29 12.7511967 BOCi asia ltd. – Minsheng Bank european Warrants Oct 2018 a 50,000,000 2018/04/19 2018/10/29 12.8011970 BOCi asia ltd. – iCBC european Warrants sep 2018 B 80,000,000 2018/04/19 2018/09/28 14.7211971 BOCi asia ltd. – iCBC european Warrants sep 2018 C 80,000,000 2018/04/19 2018/09/20 23.4411973 BOCi asia ltd. – Ping an european Warrants sep 2018 D 100,000,000 2018/04/19 2018/09/24 26.5011976 BOCi asia ltd. – Ping an european Warrants sep 2018 e 100,000,000 2018/04/19 2018/09/20 44.3011944 BNP Paribas issuance B.V. – Ping an european Wt Feb 2019 a 60,000,000 2018/04/19 2019/02/04 39.6011939 BNP Paribas issuance B.V. – tencent euro Wts Nov 2018 e 80,000,000 2018/04/19 2018/11/02 25.6011940 BNP Paribas issuance B.V. – tencent euro Wts Feb 2019 B 80,000,000 2018/04/19 2019/02/04 40.0011977 Credit suisse ag – aia european Warrants sep 2018 B 70,000,000 2018/04/19 2018/09/28 19.9511978 Credit suisse ag – aia european Warrants Oct 2018 a 70,000,000 2018/04/19 2018/10/31 17.5011983 Credit suisse ag – BOC Hk european Warrants Oct 2018 B 70,000,000 2018/04/19 2018/10/24 10.5012108 Credit suisse ag – Brilliance Chi european Wts Oct 2018 a 55,000,000 2018/04/19 2018/10/22 10.7311999 Credit suisse ag – CiCC european Warrants Oct 2018 a 50,000,000 2018/04/19 2018/10/18 12.5011997 Credit suisse ag – CsDC european Warrants Oct 2018 a 40,000,000 2018/04/19 2018/10/18 10.0011996 Credit suisse ag – COsCO sh Hold european Warrants Oct 2018 a 20,000,000 2018/04/19 2018/10/18 10.0011998 Credit suisse ag – evergrande european Warrants Oct 2018 a 40,000,000 2018/04/19 2018/10/18 17.2012107 Credit suisse ag – HkeX european Warrants Oct 2018 C 250,000,000 2018/04/19 2018/10/11 37.5012111 Credit suisse ag – HkeX european Warrants Oct 2018 D 250,000,000 2018/04/19 2018/10/10 37.5011986 Credit suisse ag – HsCei etF european Warrants Jul 2018 B 60,000,000 2018/04/19 2018/07/31 10.2011984 Credit suisse ag – PiCC european Warrants Mar 2019 a 100,000,000 2018/04/19 2019/03/26 15.0012106 Credit suisse ag – Ping an european Warrants sep 2018 g 150,000,000 2018/04/19 2018/09/27 42.7511995 Credit suisse ag – Za Onine european Warrants Jun 2019 B 100,000,000 2018/04/19 2019/06/28 15.0012202 goldman sachs sP (asia) – CrrC european Warrants Oct 2018 a 40,000,000 2018/04/19 2018/10/19 10.1612175 goldman sachs sP (asia) – HkeX european Warrants Oct 2018 C 150,000,000 2018/04/19 2018/10/26 22.5012188 goldman sachs sP (asia) – HkeX european Warrants Oct 2018 D 150,000,000 2018/04/19 2018/10/10 22.5012211 goldman sachs sP (asia) – NCi european Warrants Oct 2018 B 40,000,000 2018/04/19 2018/10/08 13.0412197 goldman sachs sP (asia) – Ping an european Wts aug 2018 F 80,000,000 2018/04/19 2018/08/22 25.0412191 goldman sachs sP (asia) – tencent european Wt sep 2018 e 150,000,000 2018/04/19 2018/09/20 26.1012196 goldman sachs sP (asia) – tencent european Wt sep 2018 F 150,000,000 2018/04/19 2018/09/24 22.5011919 Haitong int’l sec – aia european Warrants aug 2018 a 100,000,000 2018/04/19 2018/08/29 33.0011921 Haitong int’l sec – aia european Warrants Oct 2018 B 100,000,000 2018/04/19 2018/10/31 26.0011920 Haitong int’l sec – aia european Warrants Nov 2018 a 100,000,000 2018/04/19 2018/11/30 41.0011915 Haitong int’l sec – aia european Put Warrants Oct 2018 a 100,000,000 2018/04/19 2018/10/31 33.0011927 Haitong int’l sec – anta sports european Warrants Nov 2018 a 30,000,000 2018/04/19 2018/11/02 15.0011924 Haitong int’l sec – PiCC group european Warrants Jul 2018 a 50,000,000 2018/04/19 2018/07/24 10.5011925 Haitong int’l sec – PiCC group european Warrants Nov 2018 a 35,000,000 2018/04/19 2018/11/28 11.9011928 Haitong int’l sec – Ping an european Warrants Jul 2018 C 100,000,000 2018/04/19 2018/07/30 102.0011932 Haitong int’l sec – Ping an european Warrants sep 2018 i 100,000,000 2018/04/19 2018/09/26 41.00

MaiN BOarD WarraNts



11929 Haitong int’l sec – Ping an european Warrants Nov 2018 a 100,000,000 2018/04/19 2018/11/30 72.0011933 Haitong int’l sec – Ping an european Warrants Nov 2018 B 100,000,000 2018/04/19 2018/11/30 56.0011935 Haitong int’l sec – Ping an european Warrants Nov 2018 C 100,000,000 2018/04/19 2018/11/30 41.0011936 Haitong int’l sec – Ping an european Warrants Nov 2018 D 100,000,000 2018/04/19 2018/11/30 30.0012151 J P Morgan sP BV – BYD electronic european Wts Nov 2018 a 60,000,000 2018/04/19 2018/11/01 15.4212164 J P Morgan sP BV – CNOOC european Warrants Nov 2018 B 100,000,000 2018/04/19 2018/11/01 41.9012174 J P Morgan sP BV – sinopec Corp european Warrants Oct 2018 a 100,000,000 2018/04/19 2018/10/30 25.2012152 J P Morgan sP BV – Cr Beer european Warrants Nov 2018 a 30,000,000 2018/04/19 2018/11/01 13.9812169 J P Morgan sP BV – li Ning european Warrants Mar 2019 a 60,000,000 2018/04/19 2019/03/04 15.1212167 J P Morgan sP BV – MgM China european Warrants Dec 2018 a 80,000,000 2018/04/19 2018/12/03 20.0812155 J P Morgan sP BV – PetroChina european Warrants Oct 2018 a 100,000,000 2018/04/19 2018/10/02 23.1012168 J P Morgan sP BV – Ping an european Warrants aug 2018 e 200,000,000 2018/04/19 2018/08/01 64.8011965 Macquarie Bank ltd. – BYD european Warrants Nov 2018 B 11,000,000 2018/04/19 2018/11/02 10.0111966 Macquarie Bank ltd. – tencent european Warrants Nov 2018 F 9,000,000 2018/04/19 2018/11/01 64.8512133 sg issuer – Cgs european Warrants apr 2019 a 15,000,000 2018/04/19 2019/04/30 13.3512145 sg issuer – gaC european Warrants Nov 2018 a 50,000,000 2018/04/19 2018/11/30 10.0012116 sg issuer – galaxy ent european Warrants Oct 2018 a 40,000,000 2018/04/19 2018/10/31 30.4012118 sg issuer – galaxy ent european Warrants Oct 2018 B 40,000,000 2018/04/19 2018/10/31 18.4012130 sg issuer – galaxy ent european Put Warrants Oct 2018 C 40,000,000 2018/04/19 2018/10/31 15.2012140 sg issuer – greatwall Motor european Warrants Nov 2018 a 10,000,000 2018/04/19 2018/11/30 10.1012144 sg issuer – greatwall Motor european Warrants Dec 2019 a 80,000,000 2018/04/19 2019/12/31 12.0012146 sg issuer – HtsC european Warrants apr 2019 a 40,000,000 2018/04/19 2019/04/30 11.4012149 sg issuer – kingdee intl european Warrants apr 2019 a 50,000,000 2018/04/19 2019/04/30 14.0011955 UBs ag – aia european Warrants Oct 2018 a 100,000,000 2018/04/19 2018/10/18 25.0011963 UBs ag – CNOOC european Warrants Dec 2019 a 100,000,000 2018/04/19 2019/12/16 25.0011956 UBs ag – geely auto european Put Warrants sep 2018 B 70,000,000 2018/04/19 2018/09/21 25.7611952 UBs ag – HsBC european Warrants aug 2018 B 100,000,000 2018/04/19 2018/08/24 17.0011953 UBs ag – HsBC european Warrants Oct 2018 a 100,000,000 2018/04/19 2018/10/31 16.3011964 UBs ag – li Ning european Warrants Mar 2019 B 50,000,000 2018/04/19 2019/03/08 12.5511945 UBs ag – Ping an european Warrants aug 2018 e 100,000,000 2018/04/19 2018/08/31 120.3011949 UBs ag – Ping an european Warrants Oct 2018 C 100,000,000 2018/04/19 2018/10/18 104.8012112 UBs ag – Ping an european Warrants Dec 2018 a 100,000,000 2018/04/19 2018/12/17 55.1011946 UBs ag – Ping an european Warrants Oct 2019 a 100,000,000 2018/04/19 2019/10/21 128.2011948 UBs ag – Ping an european Warrants Mar 2020 a 100,000,000 2018/04/19 2020/03/23 122.8011909 Bank Vontobel – aia european Warrants Jul 2018 a 60,000,000 2018/04/19 2018/07/19 10.8011908 Bank Vontobel – aia european Warrants Nov 2018 a 60,000,000 2018/04/19 2018/11/02 15.1811914 Bank Vontobel – BOC Hk european Warrants Oct 2018 a 70,000,000 2018/04/19 2018/10/29 10.7811938 Bank Vontobel – CNOOC european Warrants Jul 2018 a 50,000,000 2018/04/19 2018/07/24 17.3011911 Bank Vontobel – HsBC european Warrants Nov 2018 B 40,000,000 2018/04/19 2018/11/02 10.2023911 # J P Morgan sP BV – Hsi european Warrants aug 2018 H 300,000,000 2018/04/19 2018/08/30 49.8012305 BOCi asia ltd. – Bank of China european Warrants sep 2018 B 80,000,000 2018/04/20 2018/09/24 12.3212306 BOCi asia ltd. – Bank of China european Warrants Dec 2018 B 80,000,000 2018/04/20 2018/12/18 15.0412300 BOCi asia ltd. – Country garden european Warrants Dec 2018 a 50,000,000 2018/04/20 2018/12/31 12.6012277 BOCi asia ltd. – CkH Holdings european Warrants Oct 2018 a 30,000,000 2018/04/20 2018/10/24 11.28

MaiN BOarD WarraNts



12309 BOCi asia ltd. – CNOOC european Warrants Oct 2018 a 50,000,000 2018/04/20 2018/10/29 12.7512302 BOCi asia ltd. – China res land european Warrants Oct 2018 a 70,000,000 2018/04/20 2018/10/29 10.7112303 BOCi asia ltd. – evergrande european Warrants Dec 2018 a 50,000,000 2018/04/20 2018/12/24 20.5512293 BOCi asia ltd. – gaC group european Warrants Nov 2018 a 50,000,000 2018/04/20 2018/11/27 10.8512276 BOCi asia ltd. – HsBC european Warrants Oct 2018 a 100,000,000 2018/04/20 2018/10/26 18.0012295 BOCi asia ltd. – Haitong sec european Warrants Oct 2018 a 25,000,000 2018/04/20 2018/10/03 18.2512288 BOCi asia ltd. – New World Dev european Warrants Dec 2018 a 30,000,000 2018/04/20 2018/12/31 12.4812281 BOCi asia ltd. – sHk Ppt european Warrants sep 2018 a 40,000,000 2018/04/20 2018/09/24 10.5612301 BOCi asia ltd. – sUNaC european Warrants sep 2018 a 50,000,000 2018/04/20 2018/09/24 25.3512272 BOCi asia ltd. – tencent european Wts sep 2018 g 200,000,000 2018/04/20 2018/09/24 59.2012274 BOCi asia ltd. – tencent european Wts sep 2018 H 200,000,000 2018/04/20 2018/09/28 91.0012299 BOCi asia ltd. – Za Onine european Warrants Jun 2019 a 100,000,000 2018/04/20 2019/06/28 15.5012220 BNP Paribas issuance B.V. – CNOOC european Wts Jan 2019 a 40,000,000 2018/04/20 2019/01/03 17.6012219 BNP Paribas issuance B.V. – evergrande euro Wts Jan 2019 a 50,000,000 2018/04/20 2019/01/03 25.0012215 BNP Paribas issuance B.V. – geely auto euro Wts Dec 2018 a 60,000,000 2018/04/20 2018/12/04 17.4012221 BNP Paribas issuance B.V. – sUNaC european Wts apr 2019 B 40,000,000 2018/04/20 2019/04/02 27.2012327 Credit suisse ag – anta sports european Warrants Oct 2018 a 25,000,000 2018/04/20 2018/10/19 11.0012336 Credit suisse ag – avichina european Warrants Oct 2018 a 15,000,000 2018/04/20 2018/10/19 16.5012334 Credit suisse ag – CsPC Pharma european Warrants sep 2018 B 40,000,000 2018/04/20 2018/09/28 10.0012326 Credit suisse ag – geely auto european Put Wts Oct 2018 a 40,000,000 2018/04/20 2018/10/31 10.0012339 Credit suisse ag – iCBC european Warrants aug 2018 D 70,000,000 2018/04/20 2018/08/31 10.5012333 Credit suisse ag – Ping an european Warrants aug 2018 F 150,000,000 2018/04/20 2018/08/22 57.0012330 Credit suisse ag – Ping an european Warrants Oct 2018 D 150,000,000 2018/04/20 2018/10/31 82.5012332 Credit suisse ag – Ping an european Warrants Oct 2018 e 150,000,000 2018/04/20 2018/10/19 151.5012328 Credit suisse ag – Ping an european Warrants Nov 2018 a 150,000,000 2018/04/20 2018/11/30 112.5012329 Credit suisse ag – Ping an european Warrants Nov 2018 B 150,000,000 2018/04/20 2018/11/30 174.0012324 Credit suisse ag – WuXi Bio european Warrants Oct 2018 a 40,000,000 2018/04/20 2018/10/19 10.0012322 Bank of east asia – Ping an european Warrants Jul 2019 a 30,000,000 2018/04/20 2019/07/31 30.0012319 Bank of east asia – Yanzhou Coal european Wts May 2019 a 40,000,000 2018/04/20 2019/05/02 10.0012354 goldman sachs sP (asia) – aia european Warrants Oct 2018 a 80,000,000 2018/04/20 2018/10/22 20.0012349 goldman sachs sP (asia) – HsBC european Warrants sep 2018 C 80,000,000 2018/04/20 2018/09/26 12.0012355 goldman sachs sP (asia) – iCBC european Warrants sep 2018 a 80,000,000 2018/04/20 2018/09/24 14.5612350 goldman sachs sP (asia) – keCl european Warrants Oct 2018 a 50,000,000 2018/04/20 2018/10/22 16.2512365 goldman sachs sP (asia) – sands China ltd euro Wts aug 2018 D 80,000,000 2018/04/20 2018/08/22 12.0012353 goldman sachs sP (asia) – tencent european Wt sep 2018 g 150,000,000 2018/04/20 2018/09/24 32.1012338 J P Morgan sP BV – Brilliance Chi european Wts Nov 2018 a 60,000,000 2018/04/20 2018/11/05 15.0612317 Macquarie Bank ltd. – Bank of China european Warrants Nov18 a 40,000,000 2018/04/20 2018/11/02 10.0412313 Macquarie Bank ltd. – Country garden european Wts Jan 2019 B 4,800,000 2018/04/20 2019/01/03 10.0812315 Macquarie Bank ltd. – CMs european Warrants Jun 2019 a 24,700,000 2018/04/20 2019/06/18 10.0012312 Macquarie Bank ltd. – li Ning european Warrants Jun 2019 a 40,000,000 2018/04/20 2019/06/18 10.0012341 sg issuer – Brilliance Chi european Warrants Nov 2018 a 40,000,000 2018/04/20 2018/11/30 10.0012342 sg issuer – China res land european Warrants Nov 2018 a 40,000,000 2018/04/20 2018/11/30 12.4012344 sg issuer – CrrC european Warrants Nov 2018 a 15,000,000 2018/04/20 2018/11/30 10.8012343 sg issuer – COsCO ship Hold european Warrants Nov 2018 a 20,000,000 2018/04/20 2018/11/30 10.60

MaiN BOarD WarraNts



12345 sg issuer – NCi european Warrants Nov 2018 a 25,000,000 2018/04/20 2018/11/30 10.1312346 sg issuer – sJM Hold eu Wt Nov 2018 a 15,000,000 2018/04/20 2018/11/30 10.0512348 sg issuer – sUNaC european Warrants Nov 2018 a 15,000,000 2018/04/20 2018/11/30 10.0512251 UBs ag – Ch longYuan european Warrants Oct 2019 a 50,000,000 2018/04/20 2019/10/28 12.5012255 UBs ag – Fosun Pharma european Warrants Nov 2019 a 11,000,000 2018/04/20 2019/11/19 15.9812247 UBs ag – Melco int’l Dev european Warrants Oct 2018 a 50,000,000 2018/04/20 2018/10/19 12.8012248 UBs ag – MgM China european Warrants Nov 2018 a 50,000,000 2018/04/20 2018/11/19 14.2512222 UBs ag – sands China ltd european Warrants aug 2018 C 70,000,000 2018/04/20 2018/08/22 13.7912223 UBs ag – sands China ltd european Warrants Nov 2018 a 70,000,000 2018/04/20 2018/11/19 18.2012236 UBs ag – sands China ltd european Put Warrants sep 2018 a 50,000,000 2018/04/20 2018/09/20 18.3512233 UBs ag – Wynn Macau european Warrants Oct 2018 a 70,000,000 2018/04/20 2018/10/19 18.2012269 Bank Vontobel – China life european Warrants Oct 2018 D 100,000,000 2018/04/20 2018/10/31 26.1012270 Bank Vontobel – sinopec Corp european Warrants Nov 2018 a 40,000,000 2018/04/20 2018/11/02 11.6012337 Bank Vontobel – galaxy ent european Warrants Nov 2018 a 40,000,000 2018/04/20 2018/11/01 15.4412267 Bank Vontobel – Hk & China gas european Warrants Nov 2018 a 20,000,000 2018/04/20 2018/11/01 11.1812260 Bank Vontobel – Ping an european Warrants aug 2018 D 40,000,000 2018/04/20 2018/08/28 26.8012424 BOCi asia ltd. – CsOP a50 etF european Warrants sep 2018 C 40,000,000 2018/04/23 2018/09/18 23.7612426 BOCi asia ltd. – CsOP a50 etF european Warrants sep 2018 D 40,000,000 2018/04/23 2018/09/24 19.0012427 BOCi asia ltd. – a50 China european Warrants sep 2018 a 40,000,000 2018/04/23 2018/09/03 10.4812431 BOCi asia ltd. – HsCei european Warrants Nov 2018 a 100,000,000 2018/04/23 2018/11/29 22.1012428 BOCi asia ltd. – Hsi european Warrants Oct 2018 a 100,000,000 2018/04/23 2018/10/30 17.5012430 BOCi asia ltd. – Hsi european Put Warrants sep 2018 a 100,000,000 2018/04/23 2018/09/27 18.6012448 Credit suisse ag – tencent european Wts Jul 2018 O 250,000,000 2018/04/23 2018/07/26 37.5012451 Credit suisse ag – Wynn Macau european Warrants Oct 2018 a 40,000,000 2018/04/23 2018/10/22 12.4012479 goldman sachs sP (asia) – gaC european Warrants Nov 2018 a 50,000,000 2018/04/23 2018/11/27 12.5012476 goldman sachs sP (asia) – greatwall Motor eur Wts Oct 2018 a 30,000,000 2018/04/23 2018/10/03 21.3912472 goldman sachs sP (asia) – HsBC european Warrants Oct 2018 a 80,000,000 2018/04/23 2018/10/24 12.0012480 goldman sachs sP (asia) – HtsC european Warrants Dec 2018 B 50,000,000 2018/04/23 2018/12/28 12.5012478 goldman sachs sP (asia) – iCBC european Warrants sep 2018 B 80,000,000 2018/04/23 2018/09/20 18.4012475 goldman sachs sP (asia) – tencent european Wt sep 2018 H 150,000,000 2018/04/23 2018/09/24 36.9012442 Hk Bank – PiCC P&C european Warrants Mar 2019 a 80,000,000 2018/04/23 2019/03/29 12.0012441 Hk Bank – sands China european Warrants Oct 2018 a 50,000,000 2018/04/23 2018/10/31 12.5012407 Haitong int’l sec – aia european Warrants sep 2018 B 40,000,000 2018/04/23 2018/09/24 20.0012408 Haitong int’l sec – aia european Warrants sep 2018 C 60,000,000 2018/04/23 2018/09/20 24.0012409 Haitong int’l sec – aia european Warrants sep 2018 D 60,000,000 2018/04/23 2018/09/24 13.8012419 Haitong int’l sec – avichina european Warrants Oct 2018 a 10,000,000 2018/04/23 2018/10/23 10.9012400 Haitong int’l sec – Brilliance Chi european Warrants Oct 18 a 40,000,000 2018/04/23 2018/10/23 10.8012403 Haitong int’l sec – Brilliance Chi european Warrants Oct 18 B 60,000,000 2018/04/23 2018/10/22 11.4012382 Haitong int’l sec – CPiC european Warrants Nov 2018 a 40,000,000 2018/04/23 2018/11/19 13.2012397 Haitong int’l sec – Chi res land european Warrants Oct 2018 a 68,000,000 2018/04/23 2018/10/26 11.5612393 Haitong int’l sec – Chi res land european Warrants Nov 2018 a 40,000,000 2018/04/23 2018/11/20 13.2012386 Haitong int’l sec – Chinares Pharma european Warrants apr19 a 80,000,000 2018/04/23 2019/04/29 20.8012412 Haitong int’l sec – CrrC european Warrants Oct 2018 a 30,000,000 2018/04/23 2018/10/23 12.3012410 Haitong int’l sec – CrrC european Warrants Nov 2018 a 20,000,000 2018/04/23 2018/11/20 12.20

MaiN BOarD WarraNts



12413 Haitong int’l sec – COsCO sh Hold european Warrants Oct 18 a 30,000,000 2018/04/23 2018/10/23 13.8012375 Haitong int’l sec – trad Chi Med european Warrants Oct 2018 B 20,000,000 2018/04/23 2018/10/23 11.6012376 Haitong int’l sec – Baiyunshan Ph european Warrants Oct 18 a 35,000,000 2018/04/23 2018/10/23 11.5512387 Haitong int’l sec – HsBC european Warrants aug 2018 a 40,000,000 2018/04/23 2018/08/28 18.4012388 Haitong int’l sec – HsBC european Warrants aug 2018 B 100,000,000 2018/04/23 2018/08/24 17.0012390 Haitong int’l sec – HsBC european Warrants sep 2018 C 100,000,000 2018/04/23 2018/09/21 21.0012391 Haitong int’l sec – keCl european Warrants sep 2018 a 40,000,000 2018/04/23 2018/09/24 12.0012381 Haitong int’l sec – li Ning european Warrants Mar 2019 B 90,000,000 2018/04/23 2019/03/29 26.1012416 Haitong int’l sec – Ping an european Warrants Jul 2018 D 80,000,000 2018/04/23 2018/07/25 24.8012418 Haitong int’l sec – Ping an european Warrants Jul 2018 e 80,000,000 2018/04/23 2018/07/30 14.4012417 Haitong int’l sec – Ping an european Warrants aug 2018 H 80,000,000 2018/04/23 2018/08/22 26.4012379 Haitong int’l sec – sinopharm european Warrants Nov 2018 a 40,000,000 2018/04/23 2018/11/19 14.4012371 Haitong int’l sec – sihuan Pharm european Warrants Oct 2018 a 40,000,000 2018/04/23 2018/10/23 13.2012422 Haitong int’l sec – sunny Optical european Wts Jul 2018 C 100,000,000 2018/04/23 2018/07/27 20.0012423 Haitong int’l sec – sunny Optical european Wts sep 2018 a 100,000,000 2018/04/23 2018/09/21 22.0012420 Haitong int’l sec – sunny Optical european Wts Oct 2018 C 100,000,000 2018/04/23 2018/10/23 34.0012392 Haitong int’l sec – tencent european Warrants Jul 2018 i 80,000,000 2018/04/23 2018/07/31 13.6012369 Haitong int’l sec – Want Want China european Warrants Dec 18 a 30,000,000 2018/04/23 2018/12/20 17.1012370 Haitong int’l sec – WH group european Warrants Oct 2018 a 30,000,000 2018/04/23 2018/10/23 13.5012404 Haitong int’l sec – Yanzhou Coal european Warrants aug 2018 C 18,000,000 2018/04/23 2018/08/27 19.2612405 Haitong int’l sec – Yanzhou Coal european Warrants Dec 2018 C 100,000,000 2018/04/23 2018/12/24 17.0012463 J P Morgan sP BV – a50 China european Warrants aug 2018 a 100,000,000 2018/04/23 2018/08/31 41.6012458 J P Morgan sP BV – kingboard Chem european Warrants Dec 18 a 60,000,000 2018/04/23 2018/12/03 15.9012459 J P Morgan sP BV – Melco int’l Dev european Wts Nov 2018 a 60,000,000 2018/04/23 2018/11/02 16.6812460 J P Morgan sP BV – sands China european Warrants Oct 2018 a 100,000,000 2018/04/23 2018/10/03 24.3012455 J P Morgan sP BV – tencent european Warrants Jul 2018 J 250,000,000 2018/04/23 2018/07/31 38.0012456 J P Morgan sP BV – tencent european Warrants Jul 2018 k 250,000,000 2018/04/23 2018/07/31 43.7512453 J P Morgan sP BV – tencent european Warrants aug 2018 i 250,000,000 2018/04/23 2018/08/21 52.5012452 J P Morgan sP BV – tencent european Warrants sep 2018 C 250,000,000 2018/04/23 2018/09/20 39.0012457 J P Morgan sP BV – tencent european Put Warrants Oct 2018 B 250,000,000 2018/04/23 2018/10/02 40.5012464 Macquarie Bank ltd. – Fosun Pharma european Wts Feb 2019 a 11,300,000 2018/04/23 2019/02/18 10.0112470 Macquarie Bank ltd. – kB laminates european Warrants Mar 19 a 36,500,000 2018/04/23 2019/03/18 10.0012437 UBs ag – Bank of China european Warrants Oct 2018 a 70,000,000 2018/04/23 2018/10/22 21.0012435 UBs ag – CC Bank european Warrants sep 2018 a 70,000,000 2018/04/23 2018/09/20 20.4412439 UBs ag – China taiping european Warrants Oct 2018 a 40,000,000 2018/04/23 2018/10/22 12.3612440 UBs ag – Fosun intl european Warrants aug 2018 C 70,000,000 2018/04/23 2018/08/28 14.1412433 UBs ag – iCBC european Warrants sep 2018 a 70,000,000 2018/04/23 2018/09/14 23.3812447 Bank Vontobel – Bank of China european Warrants sep 2018 B 60,000,000 2018/04/23 2018/09/20 15.6612444 Bank Vontobel – CkH Holdings european Warrants Nov 2018 B 30,000,000 2018/04/23 2018/11/01 21.0012443 Bank Vontobel – HsBC european Put Warrants sep 2018 B 40,000,000 2018/04/23 2018/09/03 11.6412446 Bank Vontobel – tencent european Warrants sep 2018 D 100,000,000 2018/04/23 2018/09/17 25.0012445 Bank Vontobel – tencent european Warrants Oct 2018 D 100,000,000 2018/04/23 2018/10/22 50.0012487 BNP Paribas issuance B.V. – Bank of China euro Wts Feb 19 a 50,000,000 2018/04/24 2019/02/04 13.5012484 BNP Paribas issuance B.V. – HkeX european Wts apr 2019 C 80,000,000 2018/04/24 2019/04/02 20.00

MaiN BOarD WarraNts



12482 BNP Paribas issuance B.V. – HsBC european Wts Dec 2018 a 40,000,000 2018/04/24 2018/12/04 14.4012483 BNP Paribas issuance B.V. – HsBC european Wts Feb 2019 a 40,000,000 2018/04/24 2019/02/04 10.8012481 BNP Paribas issuance B.V. – tencent european Wts apr 2019 D 80,000,000 2018/04/24 2019/04/02 44.0012521 Credit suisse ag – HsBC european Wts aug 2018 e 100,000,000 2018/04/24 2018/08/24 15.0012526 Credit suisse ag – kunlun energy european Warrants Oct 2018 a 25,000,000 2018/04/24 2018/10/23 10.0012527 Credit suisse ag – tencent european Wts Jul 2018 P 250,000,000 2018/04/24 2018/07/23 40.0012543 goldman sachs sP (asia) – aia european Warrants sep 2018 B 80,000,000 2018/04/24 2018/09/24 12.0012542 goldman sachs sP (asia) – CC Bank european Wts sep 2018 B 80,000,000 2018/04/24 2018/09/20 22.6412544 goldman sachs sP (asia) – iCBC european Warrants sep 2018 C 80,000,000 2018/04/24 2018/09/14 22.8012548 goldman sachs sP (asia) – PiCC group european Wts Oct 2018 a 50,000,000 2018/04/24 2018/10/24 12.5012545 goldman sachs sP (asia) – sands China ltd euro Wts sep 2018 a 80,000,000 2018/04/24 2018/09/28 17.4412549 goldman sachs sP (asia) – Yanzhou Coal euro Wts Dec 2018 a 70,000,000 2018/04/24 2018/12/20 10.5012490 Hk Bank – aaC tech european Warrants Nov 2018 a 150,000,000 2018/04/24 2018/11/30 37.5012530 J P Morgan sP BV – Bank of China european Warrants aug 2018 D 100,000,000 2018/04/24 2018/08/31 16.1012529 J P Morgan sP BV – CC Bank european Wts sep 2018 C 100,000,000 2018/04/24 2018/09/28 33.1012534 J P Morgan sP BV – Ch Overseas european Warrants Oct 2018 a 100,000,000 2018/04/24 2018/10/31 15.2012535 J P Morgan sP BV – geely auto european Warrants Oct 2018 a 100,000,000 2018/04/24 2018/10/31 25.3012540 J P Morgan sP BV – Hsi european Warrants Dec 2018 B 300,000,000 2018/04/24 2018/12/28 45.9012533 J P Morgan sP BV – lenovo european Warrants sep 2018 a 100,000,000 2018/04/24 2018/09/04 20.7012539 J P Morgan sP BV – NCi european Warrants Nov 2018 a 100,000,000 2018/04/24 2018/11/02 25.3012538 J P Morgan sP BV – PiCC group european Warrants Nov 2018 a 60,000,000 2018/04/24 2018/11/02 16.8612497 Macquarie Bank ltd. – HkeX european Warrants Nov 2018 D 8,000,000 2018/04/24 2018/11/02 12.4912493 Macquarie Bank ltd. – PiCC group european Wts Jan 2019 a 25,000,000 2018/04/24 2019/01/03 10.0012495 Macquarie Bank ltd. – sands China european Wts Dec 2018 a 28,000,000 2018/04/24 2018/12/04 10.8112496 Macquarie Bank ltd. – sands China european Put Wts Jan 2019 a 25,000,000 2018/04/24 2019/01/03 10.0812491 Macquarie Bank ltd. – goldwind european Warrants May 2019 a 33,000,000 2018/04/24 2019/05/16 10.0312503 UBs ag – Bank of e asia european Warrants Jul 2019 a 25,000,000 2018/04/24 2019/07/22 10.2812501 UBs ag – BOC Hk european Warrants sep 2018 a 60,000,000 2018/04/24 2018/09/24 10.0812515 UBs ag – Ping an european Warrants Mar 2019 a 100,000,000 2018/04/24 2019/03/25 107.4012514 UBs ag – Ping an european Warrants aug 2019 a 100,000,000 2018/04/24 2019/08/19 79.2012509 UBs ag – tencent european Warrants aug 2018 D 300,000,000 2018/04/24 2018/08/29 212.7012504 UBs ag – tencent european Warrants sep 2018 D 300,000,000 2018/04/24 2018/09/17 104.1012506 UBs ag – tencent european Warrants sep 2018 e 300,000,000 2018/04/24 2018/09/21 76.5012499 UBs ag – tencent european Put Warrants sep 2018 C 200,000,000 2018/04/24 2018/09/21 49.8012516 Bank Vontobel – CHalCO european Warrants Nov 2018 a 20,000,000 2018/04/24 2018/11/26 11.4212519 Bank Vontobel – Ck asset european Warrants Dec 2018 a 30,000,000 2018/04/24 2018/12/03 16.5012517 Bank Vontobel – HkeX european Put Warrants Nov 2018 B 100,000,000 2018/04/24 2018/11/28 19.5012520 Bank Vontobel – kunlun energy european Warrants Oct 2018 B 25,000,000 2018/04/24 2018/10/31 22.5312518 Bank Vontobel – kingsoft european Warrants Nov 2018 a 30,000,000 2018/04/24 2018/11/26 15.3011459 # goldman sachs sP (asia) – tencent european Wt Jul 2018 s 150,000,000 2018/04/24 2018/07/26 31.0512573 BOCi asia ltd. – CC Bank european Warrants sep 2018 C 80,000,000 2018/04/25 2018/09/26 50.6412575 BOCi asia ltd. – CC Bank european Warrants sep 2018 D 80,000,000 2018/04/25 2018/09/24 36.8012591 BOCi asia ltd. – China life european Warrants Oct 2018 B 100,000,000 2018/04/25 2018/10/29 25.1012590 BOCi asia ltd. – China Mobile european Warrants Dec 2018 a 100,000,000 2018/04/25 2018/12/20 18.40

MaiN BOarD WarraNts



12583 BOCi asia ltd. – kingsoft european Warrants sep 2018 a 70,000,000 2018/04/25 2018/09/27 10.9912588 BOCi asia ltd. – kingsoft european Warrants sep 2018 B 70,000,000 2018/04/25 2018/09/20 16.8012595 BOCi asia ltd. – NCi european Warrants Nov 2018 a 50,000,000 2018/04/25 2018/11/26 12.8512601 BOCi asia ltd. – sMiC european Warrants Nov 2018 a 70,000,000 2018/04/25 2018/11/29 10.5712581 BOCi asia ltd. – tencent european Wts Oct 2018 C 200,000,000 2018/04/25 2018/10/29 110.0012579 BOCi asia ltd. – tencent european Put Wts Jan 2019 a 100,000,000 2018/04/25 2019/01/24 21.2012623 Credit suisse ag – BYD electronic european Wts Oct 2018 B 40,000,000 2018/04/25 2018/10/24 10.0012622 Credit suisse ag – HkeX european Put Warrants Nov 2018 C 100,000,000 2018/04/25 2018/11/19 18.0012645 goldman sachs sP (asia) – CsOP a50 etF euro Wts Oct 2018 a 80,000,000 2018/04/25 2018/10/30 65.8412649 goldman sachs sP (asia) – CsOP a50 etF euro Wts Nov 2018 a 80,000,000 2018/04/25 2018/11/29 90.9612644 goldman sachs sP (asia) – CsOP a50 etF euro Wts Jun 2019 B 150,000,000 2018/04/25 2019/06/21 22.5012634 goldman sachs sP (asia) – geely auto european Wts Oct 2018 a 80,000,000 2018/04/25 2018/10/24 16.2412638 goldman sachs sP (asia) – lenovo european Wts aug 2018 B 60,000,000 2018/04/25 2018/08/28 14.8812646 goldman sachs sP (asia) – PsBC european Warrants sep 2018 a 40,000,000 2018/04/25 2018/09/24 10.0012642 goldman sachs sP (asia) – tencent european Wt Jul 2018 U 150,000,000 2018/04/25 2018/07/24 28.8012639 goldman sachs sP (asia) – tencent european Wt sep 2018 i 150,000,000 2018/04/25 2018/09/24 36.6012628 J P Morgan sP BV – geely auto european Put Warrants Nov 18 a 100,000,000 2018/04/25 2018/11/02 25.5012631 J P Morgan sP BV – HkeX european Put Wts Nov 2018 C 200,000,000 2018/04/25 2018/11/30 31.2012632 J P Morgan sP BV – tencent european Warrants sep 2018 D 200,000,000 2018/04/25 2018/09/24 31.4012630 J P Morgan sP BV – tencent european Put Warrants Dec 2018 a 200,000,000 2018/04/25 2018/12/31 51.2012625 J P Morgan sP BV – China Vanke european Warrants Oct 2018 a 50,000,000 2018/04/25 2018/10/02 13.3012570 Macquarie Bank ltd. – agile Ppt european Warrants apr 2019 a 38,000,000 2018/04/25 2019/04/15 10.6012562 Macquarie Bank ltd. – China Cinda european Wts Mar 2019 a 40,000,000 2018/04/25 2019/03/04 10.0412563 Macquarie Bank ltd. – gaC european Put Warrants Feb 2019 a 8,000,000 2018/04/25 2019/02/04 13.7612566 Macquarie Bank ltd. – Nexteer european Warrants Jun 2019 a 28,000,000 2018/04/25 2019/06/24 10.0212555 UBs ag – Brilliance Chi european Warrants Nov 2018 a 40,000,000 2018/04/25 2018/11/12 12.4412616 UBs ag – BYD Company european Warrants Oct 2018 B 20,000,000 2018/04/25 2018/10/02 11.8612556 UBs ag – BYD electronic european Warrants Nov 2018 a 40,000,000 2018/04/25 2018/11/12 10.1212602 UBs ag – CsOP a50 etF european Warrants Jul 2018 C 35,000,000 2018/04/25 2018/07/25 10.1512607 UBs ag – CsOP a50 etF european Warrants Oct 2018 a 11,000,000 2018/04/25 2018/10/25 10.9912611 UBs ag – a50 China european Warrants aug 2018 C 20,000,000 2018/04/25 2018/08/24 10.1012553 UBs ag – gaC european Warrants Oct 2018 a 40,000,000 2018/04/25 2018/10/25 10.1212557 UBs ag – geely auto european Warrants Oct 2018 a 50,000,000 2018/04/25 2018/10/25 18.6512618 UBs ag – Haitong sec european Warrants Oct 2018 a 20,000,000 2018/04/25 2018/10/02 10.1012620 UBs ag – Nine Dragons Paper european Warrants Nov 2018 a 60,000,000 2018/04/25 2018/11/01 10.2012621 UBs ag – New World Dev european Warrants Dec 2019 a 70,000,000 2018/04/25 2019/12/10 11.0612614 UBs ag – Ping an european Warrants Jun 2020 a 300,000,000 2018/04/25 2020/06/23 45.3012615 UBs ag – Ping an european Put Warrants Jul 2018 g 50,000,000 2018/04/25 2018/07/30 18.0012612 UBs ag – tencent european Warrants Jul 2018 k 300,000,000 2018/04/25 2018/07/25 48.3012613 UBs ag – tencent european Put Warrants Jul 2018 l 200,000,000 2018/04/25 2018/07/25 94.0012617 UBs ag – China Vanke european Warrants aug 2018 B 60,000,000 2018/04/25 2018/08/24 11.0412558 Bank Vontobel – HsCei european Warrants aug 2018 a 150,000,000 2018/04/25 2018/08/30 23.1012559 Bank Vontobel – HsCei european Warrants Dec 2018 a 150,000,000 2018/04/25 2018/12/28 23.1012560 Bank Vontobel – HsCei european Put Warrants Jul 2018 a 150,000,000 2018/04/25 2018/07/30 26.70

MaiN BOarD WarraNts



12561 Bank Vontobel – HsCei european Put Warrants Dec 2018 B 150,000,000 2018/04/25 2018/12/28 30.0012661 Credit suisse ag – aaC tech european Warrants sep 2018 a 100,000,000 2018/04/26 2018/09/28 15.0012665 Credit suisse ag – CHalCO european Wts aug 2018 B 30,000,000 2018/04/26 2018/08/20 10.5012664 Credit suisse ag – Brilliance Chi european Wts Oct 2018 B 40,000,000 2018/04/26 2018/10/31 10.0012660 Credit suisse ag – Ping an european Put Warrants Jul 2018 l 70,000,000 2018/04/26 2018/07/25 12.6012663 Credit suisse ag – tencent european Wts sep 2018 C 250,000,000 2018/04/26 2018/09/24 37.5012706 goldman sachs sP (asia) – China Cinda euro Wts aug 2018 a 70,000,000 2018/04/26 2018/08/24 10.5012702 goldman sachs sP (asia) – HkeX european Warrants Dec 2018 C 150,000,000 2018/04/26 2018/12/24 22.5012705 goldman sachs sP (asia) – HkeX european Put Wts Oct 2018 e 100,000,000 2018/04/26 2018/10/26 15.0012651 Hk Bank – Country garden european Warrants Nov 2018 B 150,000,000 2018/04/26 2018/11/30 37.5012653 Hk Bank – tencent european Warrants sep 2018 D 150,000,000 2018/04/26 2018/09/26 22.5012654 Hk Bank – tencent european Warrants sep 2018 e 150,000,000 2018/04/26 2018/09/18 36.0012652 Hk Bank – tencent european Put Warrants Oct 2018 a 150,000,000 2018/04/26 2018/10/31 37.5012669 Haitong int’l sec – tencent european Warrants Jul 2018 J 150,000,000 2018/04/26 2018/07/26 58.5012688 Haitong int’l sec – tencent european Warrants Jul 2018 k 150,000,000 2018/04/26 2018/07/26 39.0012697 Haitong int’l sec – tencent european Warrants Jul 2018 l 150,000,000 2018/04/26 2018/07/26 22.5012672 Haitong int’l sec – tencent european Warrants sep 2018 D 150,000,000 2018/04/26 2018/09/24 67.5012692 Haitong int’l sec – tencent european Warrants sep 2018 e 150,000,000 2018/04/26 2018/09/24 45.0012693 Haitong int’l sec – tencent european Warrants sep 2018 F 150,000,000 2018/04/26 2018/09/18 37.5012699 Haitong int’l sec – tencent european Warrants sep 2018 g 150,000,000 2018/04/26 2018/09/24 25.5012700 Haitong int’l sec – tencent european Warrants sep 2018 H 150,000,000 2018/04/26 2018/09/20 22.5012659 J P Morgan sP BV – Ch longYuan european Warrants May 2019 a 70,000,000 2018/04/26 2019/05/31 10.5712658 J P Morgan sP BV – CNOOC european Put Warrants aug 2018 B 100,000,000 2018/04/26 2018/08/02 25.1012656 Macquarie Bank ltd. – aia european Warrants Oct 2018 a 35,000,000 2018/04/26 2018/10/03 10.2612707 sg issuer – China taiping european Warrants Oct 2018 a 30,000,000 2018/04/26 2018/10/31 10.2012713 sg issuer – Ping an european Put Warrants sep 2018 D 50,000,000 2018/04/26 2018/09/28 18.0012714 sg issuer – sunny Optical european Warrants sep 2018 a 60,000,000 2018/04/26 2018/09/28 10.2012712 sg issuer – China Vanke european Warrants Oct 2018 a 25,000,000 2018/04/26 2018/10/31 11.0012657 UBs ag – CaM Csi300 european Warrants sep 2018 a 70,000,000 2018/04/26 2018/09/24 11.1312718 BOCi asia ltd. – aaC tech european Warrants Oct 2018 a 100,000,000 2018/04/27 2018/10/03 20.5012723 BOCi asia ltd. – CM Bank european Warrants Oct 2018 a 50,000,000 2018/04/27 2018/10/24 11.5512727 BOCi asia ltd. – sinopec Corp european Warrants Oct 2018 a 60,000,000 2018/04/27 2018/10/30 15.0612728 BOCi asia ltd. – CrrC european Warrants Oct 2018 a 50,000,000 2018/04/27 2018/10/30 18.8512725 BOCi asia ltd. – PetroChina european Warrants sep 2018 a 70,000,000 2018/04/27 2018/09/26 10.5712719 BOCi asia ltd. – sunny Optical european Warrants Oct 2018 a 100,000,000 2018/04/27 2018/10/26 26.0012720 BOCi asia ltd. – sunny Optical european Warrants Nov 2018 a 100,000,000 2018/04/27 2018/11/02 31.7012715 BOCi asia ltd. – tencent european Wts sep 2018 i 200,000,000 2018/04/27 2018/09/28 31.0012787 BNP Paribas issuance B.V. – agricultural Bank eu Wt aug 19 a 40,000,000 2018/04/27 2019/08/02 11.6012784 BNP Paribas issuance B.V. – sinopec Corp eu Wts Jan 2019 a 40,000,000 2018/04/27 2019/01/03 13.6012783 BNP Paribas issuance B.V. – PetroChina euro Wts Jan 2019 a 40,000,000 2018/04/27 2019/01/03 10.8012789 BNP Paribas issuance B.V. – tracker Fund euro Wts Dec 2018 a 70,000,000 2018/04/27 2018/12/21 11.2012806 Credit suisse ag – China Huarong european Warrants Oct 2018 a 30,000,000 2018/04/27 2018/10/26 11.4012803 Credit suisse ag – HkeX european Warrants Dec 2018 a 200,000,000 2018/04/27 2018/12/24 30.0012805 Credit suisse ag – sunny Optical european Warrants aug 2018 a 100,000,000 2018/04/27 2018/08/28 21.00

MaiN BOarD WarraNts



12808 Credit suisse ag – tencent european Wts Jul 2018 Q 250,000,000 2018/04/27 2018/07/26 82.5012815 goldman sachs sP (asia) – aaC tech euro Wts sep 2018 D 70,000,000 2018/04/27 2018/09/26 10.5012816 goldman sachs sP (asia) – Hsi european Put Wts sep 2018 C 150,000,000 2018/04/27 2018/09/27 22.5012813 goldman sachs sP (asia) – tencent european Wt Oct 2018 a 150,000,000 2018/04/27 2018/10/19 52.8012810 goldman sachs sP (asia) – tencent european Wt Dec 2018 B 150,000,000 2018/04/27 2018/12/24 53.8512760 Haitong int’l sec – CaM Csi300 european Warrants sep 2018 a 68,000,000 2018/04/27 2018/09/24 10.2012753 Haitong int’l sec – BOC Hk european Warrants sep 2018 a 68,000,000 2018/04/27 2018/09/28 11.5612758 Haitong int’l sec – BOC Hk european Warrants sep 2018 B 50,000,000 2018/04/27 2018/09/24 11.5012759 Haitong int’l sec – BOC Hk european Warrants Oct 2018 a 72,000,000 2018/04/27 2018/10/26 10.8012744 Haitong int’l sec – CC Bank european Warrants Jul 2018 F 100,000,000 2018/04/27 2018/07/30 30.0012745 Haitong int’l sec – CC Bank european Warrants Jul 2018 g 100,000,000 2018/04/27 2018/07/30 16.0012746 Haitong int’l sec – CC Bank european Warrants aug 2018 F 100,000,000 2018/04/27 2018/08/28 17.0012756 Haitong int’l sec – CitiC sec european Warrants Nov 2018 a 68,000,000 2018/04/27 2018/11/27 10.2012749 Haitong int’l sec – Ch southern air european Warrants Oct 18 a 20,000,000 2018/04/27 2018/10/29 12.2012754 Haitong int’l sec – CsDC european Warrants Oct 2018 a 60,000,000 2018/04/27 2018/10/08 11.4012755 Haitong int’l sec – CsDC european Warrants Feb 2019 a 40,000,000 2018/04/27 2019/02/28 10.0012734 Haitong int’l sec – geely auto european Warrants aug 2018 B 50,000,000 2018/04/27 2018/08/24 11.5012737 Haitong int’l sec – geely auto european Warrants Oct 2018 B 50,000,000 2018/04/27 2018/10/29 12.5012738 Haitong int’l sec – HkeX european Warrants sep 2018 i 150,000,000 2018/04/27 2018/09/20 24.0012739 Haitong int’l sec – HkeX european Warrants Oct 2018 F 150,000,000 2018/04/27 2018/10/29 22.5012750 Haitong int’l sec – sUNaC european Warrants sep 2018 a 20,000,000 2018/04/27 2018/09/21 10.4012752 Haitong int’l sec – sUNaC european Warrants sep 2018 B 30,000,000 2018/04/27 2018/09/28 10.5012751 Haitong int’l sec – sUNaC european Warrants Nov 2018 B 20,000,000 2018/04/27 2018/11/28 11.6012757 Haitong int’l sec – tencent european Put Warrants sep 2018 i 150,000,000 2018/04/27 2018/09/21 27.0012818 J P Morgan sP BV – aaC tech european Warrants Oct 2018 B 100,000,000 2018/04/27 2018/10/02 15.3012817 J P Morgan sP BV – aaC tech european Warrants Feb 2019 a 100,000,000 2018/04/27 2019/02/11 15.6012831 J P Morgan sP BV – aaC tech european Put Warrants Mar 2019 a 60,000,000 2018/04/27 2019/03/29 15.0612828 J P Morgan sP BV – CaM Csi300 european Warrants Oct 2018 B 100,000,000 2018/04/27 2018/10/31 25.1012829 J P Morgan sP BV – China Huarong european Warrants Nov 2018 a 60,000,000 2018/04/27 2018/11/02 24.4812819 J P Morgan sP BV – tencent european Warrants sep 2018 e 250,000,000 2018/04/27 2018/09/28 54.2512821 J P Morgan sP BV – tencent european Warrants Oct 2018 C 250,000,000 2018/04/27 2018/10/31 39.2512825 J P Morgan sP BV – tencent european Warrants Oct 2018 D 250,000,000 2018/04/27 2018/10/31 37.5012826 J P Morgan sP BV – tencent european Warrants Dec 2018 B 250,000,000 2018/04/27 2018/12/31 38.0012729 Macquarie Bank ltd. – CsPC Pharma european Warrants Mar 19 a 26,000,000 2018/04/27 2019/03/18 10.0912733 Macquarie Bank ltd. – FiH Mobile european Warrants Mar 2019 a 36,000,000 2018/04/27 2019/03/04 10.0412780 Macquarie Bank ltd. – HtsC european Warrants apr 2019 a 33,500,000 2018/04/27 2019/04/16 10.0512782 Macquarie Bank ltd. – skyworth Digital european Wts apr 19 a 12,000,000 2018/04/27 2019/04/16 10.0412795 sg issuer – CsOP a50 etF european Warrants Oct 2018 B 20,000,000 2018/04/27 2018/10/31 24.0012798 sg issuer – CsOP a50 etF european Warrants Oct 2018 C 20,000,000 2018/04/27 2018/10/31 13.4012800 sg issuer – a50 China european Warrants Oct 2018 C 20,000,000 2018/04/27 2018/10/31 20.4012792 sg issuer – tencent european Warrants Jul 2018 H 200,000,000 2018/04/27 2018/07/31 47.0012793 sg issuer – tencent european Warrants sep 2018 H 200,000,000 2018/04/27 2018/09/28 60.0012801 sg issuer – tencent european Warrants sep 2018 i 200,000,000 2018/04/27 2018/09/28 78.0012777 UBs ag – aaC tech european Warrants Oct 2018 a 70,000,000 2018/04/27 2018/10/03 11.20

MaiN BOarD WarraNts



12779 UBs ag – China shenhua european Warrants sep 2018 B 70,000,000 2018/04/27 2018/09/18 11.1312778 UBs ag – sunny Optical european Warrants aug 2018 B 50,000,000 2018/04/27 2018/08/28 11.2512775 Bank Vontobel – aaC tech european Warrants Oct 2018 B 60,000,000 2018/04/27 2018/10/02 10.2612773 Bank Vontobel – agricultural Bank european Warrants Dec 18 a 30,000,000 2018/04/27 2018/12/03 10.8012768 Bank Vontobel – China Overseas european Warrants Oct 2018 B 60,000,000 2018/04/27 2018/10/26 15.1812764 Bank Vontobel – CsOP a50 etF european Warrants sep 2018 a 40,000,000 2018/04/27 2018/09/11 16.0412762 Bank Vontobel – CsOP a50 etF european Warrants Oct 2018 B 40,000,000 2018/04/27 2018/10/31 34.0012763 Bank Vontobel – CsOP a50 etF european Warrants Nov 2018 a 40,000,000 2018/04/27 2018/11/06 50.0412772 Bank Vontobel – China shenhua european Warrants Dec 2018 B 60,000,000 2018/04/27 2018/12/27 10.1412776 Bank Vontobel – Ping an european Put Warrants Oct 2018 C 40,000,000 2018/04/27 2018/10/29 32.8012848 BOCi asia ltd. – aaC tech european Warrants Oct 2018 B 100,000,000 2018/04/30 2018/10/04 21.3012847 BOCi asia ltd. – Bank of China european Warrants Oct 2018 B 80,000,000 2018/04/30 2018/10/15 24.0812865 Credit suisse ag – aaC tech european Warrants sep 2018 B 100,000,000 2018/04/30 2018/09/28 15.0012866 Credit suisse ag – tencent european Wts sep 2018 D 250,000,000 2018/04/30 2018/09/24 45.0012869 Credit suisse ag – tencent european Wts Oct 2018 C 250,000,000 2018/04/30 2018/10/29 75.0012859 Hk Bank – aaC tech european Warrants sep 2018 C 80,000,000 2018/04/30 2018/09/28 12.0012851 Hk Bank – CNOOC european Warrants Oct 2018 a 40,000,000 2018/04/30 2018/10/31 16.0012857 Hk Bank – CsOP a50 etF european Warrants Oct 2018 a 20,000,000 2018/04/30 2018/10/31 14.0012849 Hk Bank – Hsi european Warrants Oct 2018 C 150,000,000 2018/04/30 2018/10/30 22.5012850 Hk Bank – Hsi european Put Warrants sep 2018 g 150,000,000 2018/04/30 2018/09/27 22.5012852 Hk Bank – lenovo european Warrants Oct 2018 a 40,000,000 2018/04/30 2018/10/31 10.0012834 Haitong int’l sec – BYD electronic european Wts Oct 2018 a 40,000,000 2018/04/30 2018/10/30 10.8012835 Haitong int’l sec – BYD electronic european Wts Nov 2018 a 50,000,000 2018/04/30 2018/11/30 12.5012903 Haitong int’l sec – China life european Warrants sep 2018 e 80,000,000 2018/04/30 2018/09/28 12.0012905 Haitong int’l sec – China life european Warrants Mar 2019 a 80,000,000 2018/04/30 2019/03/27 12.0012912 Haitong int’l sec – China life european Warrants Jul 2019 a 80,000,000 2018/04/30 2019/07/02 25.6012913 Haitong int’l sec – China life european Warrants Jul 2019 B 80,000,000 2018/04/30 2019/07/31 20.8012838 Haitong int’l sec – CsOP a50 etF european Warrants Nov 2018 a 20,000,000 2018/04/30 2018/11/20 29.2012841 Haitong int’l sec – CsOP a50 etF european Warrants Jun 2019 B 200,000,000 2018/04/30 2019/06/21 32.0012910 Haitong int’l sec – gaC european Put Warrants Jan 2019 a 50,000,000 2018/04/30 2019/01/18 12.5012895 Haitong int’l sec – galaxy ent european Put Wts Nov 2018 B 38,000,000 2018/04/30 2018/11/08 12.1612896 Haitong int’l sec – HkeX european Put Warrants Oct 2018 g 80,000,000 2018/04/30 2018/10/26 13.6012893 Haitong int’l sec – HsBC european Put Warrants aug 2018 C 100,000,000 2018/04/30 2018/08/31 24.0012902 Haitong int’l sec – Ping an european Put Warrants Oct 2018 B 80,000,000 2018/04/30 2018/10/30 31.2012901 Haitong int’l sec – Ping an european Put Warrants Dec 2018 a 80,000,000 2018/04/30 2018/12/28 24.8012908 Haitong int’l sec – tencent european Put Warrants Jul 2018 M 100,000,000 2018/04/30 2018/07/30 25.0012906 Haitong int’l sec – tencent european Put Warrants sep 2018 J 200,000,000 2018/04/30 2018/09/21 52.0012871 sg issuer – aaC tech european Warrants sep 2018 a 70,000,000 2018/04/30 2018/09/28 10.5012873 sg issuer – aaC tech european Warrants Dec 2018 B 60,000,000 2018/04/30 2018/12/31 11.1012874 sg issuer – Minsheng Bank european Warrants Nov 2018 a 15,000,000 2018/04/30 2018/11/30 10.2012887 sg issuer – HkeX european Warrants Jun 2019 B 150,000,000 2018/04/30 2019/06/28 37.5012881 sg issuer – HkeX european Put Warrants Nov 2018 a 100,000,000 2018/04/30 2018/11/30 15.0012878 sg issuer – keCl european Warrants Dec 2018 a 18,000,000 2018/04/30 2018/12/31 10.9812877 sg issuer – kingdee intl european Warrants Jul 2019 a 40,000,000 2018/04/30 2019/07/31 10.00

MaiN BOarD WarraNts



12891 sg issuer – lenovo european Warrants Oct 2018 a 36,000,000 2018/04/30 2018/10/31 10.0812879 sg issuer – Meitu european Warrants Dec 2018 a 40,000,000 2018/04/30 2018/12/31 10.0012842 Bank Vontobel – geely auto european Warrants Nov 2018 a 40,000,000 2018/04/30 2018/11/02 12.8012843 Bank Vontobel – HkeX european Put Warrants Nov 2018 C 100,000,000 2018/04/30 2018/11/01 21.1012844 Bank Vontobel – HkeX european Put Warrants Dec 2018 D 100,000,000 2018/04/30 2018/12/28 17.9012845 Bank Vontobel – HsBC european Put Warrants Nov 2018 C 40,000,000 2018/04/30 2018/11/05 23.5612927 BOCi asia ltd. – CC Bank european Warrants aug 2018 D 70,000,000 2018/05/02 2018/08/27 14.0012925 BOCi asia ltd. – CC Bank european Warrants Oct 2018 a 70,000,000 2018/05/02 2018/10/24 29.9612937 BOCi asia ltd. – CsPC Pharma european Warrants Oct 2018 a 60,000,000 2018/05/02 2018/10/22 10.3212934 BOCi asia ltd. – Henderson land european Warrants Dec 2018 a 40,000,000 2018/05/02 2018/12/24 11.1612936 BOCi asia ltd. – link reit european Warrants Oct 2018 a 70,000,000 2018/05/02 2018/10/29 10.8512940 BOCi asia ltd. – sino Biopharm european Warrants sep 2018 a 50,000,000 2018/05/02 2018/09/24 10.0512939 BOCi asia ltd. – sinopharm european Warrants Nov 2018 a 50,000,000 2018/05/02 2018/11/26 27.8012930 BOCi asia ltd. – Yanzhou Coal european Warrants sep 2018 C 70,000,000 2018/05/02 2018/09/24 10.5012971 Credit suisse ag – lenovo european Warrants Nov 2018 a 50,000,000 2018/05/02 2018/11/01 14.0012972 Credit suisse ag – Meitu european Warrants Nov 2018 a 60,000,000 2018/05/02 2018/11/30 15.0012922 goldman sachs sP (asia) – aaC tech euro Wts aug 2018 B 70,000,000 2018/05/02 2018/08/02 10.5012921 goldman sachs sP (asia) – anhui Conch european Wts sep 2018 a 50,000,000 2018/05/02 2018/09/13 10.0012979 goldman sachs sP (asia) – BOC Hk european Wts sep 2018 a 60,000,000 2018/05/02 2018/09/27 10.0812976 goldman sachs sP (asia) – BOCl european Warrants Oct 2018 D 80,000,000 2018/05/02 2018/10/12 19.2012980 goldman sachs sP (asia) – China Mobile euro Wts sep 2018 D 80,000,000 2018/05/02 2018/09/26 12.0012975 goldman sachs sP (asia) – HkeX european Warrants Dec 2018 D 150,000,000 2018/05/02 2018/12/20 27.3012924 goldman sachs sP (asia) – sunny Optical euro Wts aug 2018 B 70,000,000 2018/05/02 2018/08/01 10.5012917 goldman sachs sP (asia) – tencent european Wt sep 2018 J 150,000,000 2018/05/02 2018/09/24 45.3012919 goldman sachs sP (asia) – tencent european Put Wt sep 2018 k 100,000,000 2018/05/02 2018/09/21 18.3012973 goldman sachs sP (asia) – Yanzhou Coal euro Wts sep 2018 C 70,000,000 2018/05/02 2018/09/20 10.5012948 Macquarie Bank ltd. – China life european Wts Nov 2018 B 13,000,000 2018/05/02 2018/11/01 10.1112949 Macquarie Bank ltd. – HsBC european Warrants Nov 2018 B 10,200,000 2018/05/02 2018/11/01 10.0612943 Macquarie Bank ltd. – MtrC european Warrants Nov 2018 a 29,000,000 2018/05/02 2018/11/02 10.1812914 Macquarie Bank ltd. – Ping an european Warrants Nov 2018 B 20,000,000 2018/05/02 2018/11/02 14.1412915 Macquarie Bank ltd. – Ping an european Warrants Nov 2018 C 34,000,000 2018/05/02 2018/11/02 10.2012964 UBs ag – anta sports european Warrants Oct 2018 a 40,000,000 2018/05/02 2018/10/26 16.5612958 UBs ag – BankComm european Warrants sep 2018 a 45,000,000 2018/05/02 2018/09/28 10.9412967 UBs ag – Chinares Cement european Warrants Oct 2018 a 30,000,000 2018/05/02 2018/10/26 19.8012956 UBs ag – HsCei etF european Warrants Nov 2018 a 50,000,000 2018/05/02 2018/11/02 22.5012959 UBs ag – Huaneng Power european Warrants Nov 2018 a 20,000,000 2018/05/02 2018/11/19 10.0212957 UBs ag – lenovo european Warrants Nov 2018 a 40,000,000 2018/05/02 2018/11/01 11.2412950 UBs ag – tencent european Warrants Oct 2018 B 300,000,000 2018/05/02 2018/10/19 109.8012951 UBs ag – tencent european Warrants Oct 2018 C 300,000,000 2018/05/02 2018/10/15 141.9012955 UBs ag – tencent european Warrants Nov 2018 a 300,000,000 2018/05/02 2018/11/01 76.5013006 Credit suisse ag – CC Bank european Warrants sep 2018 a 50,000,000 2018/05/03 2018/09/28 13.0013015 Credit suisse ag – galaxy ent european Warrants aug 2018 a 50,000,000 2018/05/03 2018/08/23 20.0013008 Credit suisse ag – sinopharm european Warrants Nov 2018 a 25,000,000 2018/05/03 2018/11/16 13.0012998 Credit suisse ag – tencent european Wts aug 2018 B 250,000,000 2018/05/03 2018/08/02 47.50

MaiN BOarD WarraNts



13000 Credit suisse ag – tencent european Wts sep 2018 e 250,000,000 2018/05/03 2018/09/17 37.5013001 Credit suisse ag – tencent european Wts sep 2018 F 250,000,000 2018/05/03 2018/09/24 37.5013039 goldman sachs sP (asia) – Ping an european Wts aug 2018 g 100,000,000 2018/05/03 2018/08/24 35.0013038 goldman sachs sP (asia) – Ping an european Wts sep 2018 F 100,000,000 2018/05/03 2018/09/20 45.5013037 goldman sachs sP (asia) – tencent european Wt aug 2018 M 150,000,000 2018/05/03 2018/08/03 32.4013033 goldman sachs sP (asia) – tencent european Wt Oct 2018 B 150,000,000 2018/05/03 2018/10/12 48.6012988 Haitong int’l sec – aaC tech european Warrants sep 2018 B 100,000,000 2018/05/03 2018/09/26 15.0012991 Haitong int’l sec – aaC tech european Warrants sep 2018 C 100,000,000 2018/05/03 2018/09/21 18.0012990 Haitong int’l sec – aaC tech european Warrants Nov 2018 a 100,000,000 2018/05/03 2018/11/26 15.0012985 Haitong int’l sec – aaC tech european Put Warrants Mar 2019 a 100,000,000 2018/05/03 2019/03/25 25.0012983 Haitong int’l sec – sinopec Corp european Wts Nov 2018 C 40,000,000 2018/05/03 2018/11/05 13.6012981 Haitong int’l sec – sinopec Corp european Put Wts Nov 18 B 25,000,000 2018/05/03 2018/11/05 11.2513032 J P Morgan sP BV – CM Bank european Warrants Nov 2018 a 60,000,000 2018/05/03 2018/11/30 15.1813026 J P Morgan sP BV – HkeX european Warrants sep 2018 g 200,000,000 2018/05/03 2018/09/20 30.4013030 J P Morgan sP BV – Henderson land european Wt Nov 2018 a 60,000,000 2018/05/03 2018/11/30 15.1213031 J P Morgan sP BV – Huaneng Power european Wts Nov 2018 a 60,000,000 2018/05/03 2018/11/05 17.8213018 J P Morgan sP BV – kingsoft european Warrants aug 2018 a 70,000,000 2018/05/03 2018/08/24 11.1313024 J P Morgan sP BV – tencent european Warrants aug 2018 J 250,000,000 2018/05/03 2018/08/03 44.2513019 J P Morgan sP BV – tencent european Warrants Oct 2018 e 250,000,000 2018/05/03 2018/10/19 91.2513017 J P Morgan sP BV – tracker Fund european Warrants Nov 2018 a 100,000,000 2018/05/03 2018/11/12 15.3012995 Macquarie Bank ltd. – BYD electronic european Wts Mar 2019 a 35,000,000 2018/05/03 2019/03/15 10.2612992 Macquarie Bank ltd. – Chinares Cement european Wt apr 2019 a 9,000,000 2018/05/03 2019/04/15 11.1318888 # J P Morgan sP BV – Ping an european Warrants Jun 2018 B 150,000,000 2018/05/03 2018/06/29 14.1013062 Credit suisse ag – geely auto european Warrants Oct 2018 B 80,000,000 2018/05/04 2018/10/18 20.0013063 Credit suisse ag – HkeX european Warrants Nov 2018 D 200,000,000 2018/05/04 2018/11/05 50.0013065 Credit suisse ag – Ping an european Put Warrants Nov 2018 C 70,000,000 2018/05/04 2018/11/05 17.5013066 Credit suisse ag – tencent euro Put Wts Nov 2018 a 100,000,000 2018/05/04 2018/11/05 25.0013073 goldman sachs sP (asia) – CC Bank european Wts Oct 2018 a 80,000,000 2018/05/04 2018/10/24 22.9613074 goldman sachs sP (asia) – China Mobile euro Wts sep 2018 e 80,000,000 2018/05/04 2018/09/26 12.0013075 goldman sachs sP (asia) – galaxy ent european Wts aug 2018 B 80,000,000 2018/05/04 2018/08/23 20.5613079 goldman sachs sP (asia) – Hsi european Warrants Oct 2018 B 150,000,000 2018/05/04 2018/10/30 22.5013076 goldman sachs sP (asia) – Hsi european Put Wts Oct 2018 a 150,000,000 2018/05/04 2018/10/30 22.5013072 goldman sachs sP (asia) – tencent european Put Wt sep 2018 l 100,000,000 2018/05/04 2018/09/24 15.0013049 Hk Bank – Ping an european Warrants aug 2018 B 80,000,000 2018/05/04 2018/08/27 40.0013050 Hk Bank – tencent european Warrants aug 2018 e 150,000,000 2018/05/04 2018/08/09 30.0013048 Hk Bank – tencent european Warrants Oct 2018 B 150,000,000 2018/05/04 2018/10/12 52.5013060 J P Morgan sP BV – geely auto european Put Warrants Dec 18 B 100,000,000 2018/05/04 2018/12/31 25.1013059 J P Morgan sP BV – Hsi european Warrants Dec 2018 C 300,000,000 2018/05/04 2018/12/28 75.6013046 Macquarie Bank ltd. – CC Bank european Warrants Nov 2018 a 26,000,000 2018/05/04 2018/11/05 10.4813054 Macquarie Bank ltd. – China Coal european Put Wts apr 19 a 22,000,000 2018/05/04 2019/04/02 10.2313055 Macquarie Bank ltd. – Ch Oilfield european Wts Jan 2019 a 6,400,000 2018/05/04 2019/01/16 10.1113045 Macquarie Bank ltd. – geely auto european Wts Dec 2018 a 35,000,000 2018/05/04 2018/12/04 10.0513056 Macquarie Bank ltd. – PiCC group european Put Wts Jan 2019 B 26,000,000 2018/05/04 2019/01/03 10.0113080 sg issuer – Brilliance Chi european Warrants Nov 2018 B 40,000,000 2018/05/04 2018/11/05 10.00

MaiN BOarD WarraNts



13083 sg issuer – China Cinda european Warrants Nov 2018 a 40,000,000 2018/05/04 2018/11/30 10.0013085 sg issuer – HkeX european Warrants Oct 2018 D 150,000,000 2018/05/04 2018/10/31 38.2513086 sg issuer – sunny Optical european Warrants Nov 2018 a 60,000,000 2018/05/04 2018/11/30 15.0013087 sg issuer – tencent european Warrants aug 2018 F 200,000,000 2018/05/04 2018/08/03 43.0013090 sg issuer – tencent european Warrants Oct 2018 a 200,000,000 2018/05/04 2018/10/31 72.0013091 sg issuer – tencent european Warrants Oct 2018 B 200,000,000 2018/05/04 2018/10/31 48.0013068 UBs ag – air China european Warrants Feb 2019 a 60,000,000 2018/05/04 2019/02/21 10.2013069 UBs ag – China Overseas european Warrants sep 2018 a 70,000,000 2018/05/04 2018/09/03 10.5013071 UBs ag – China shenhua european Warrants Nov 2018 a 70,000,000 2018/05/04 2018/11/23 10.5013067 UBs ag – Hsi european Warrants sep 2018 D 200,000,000 2018/05/04 2018/09/27 31.0013053 Bank Vontobel – aaC tech european Warrants sep 2018 a 60,000,000 2018/05/04 2018/09/28 10.1413044 Bank Vontobel – COsCO sh Hold european Warrants Dec 2018 a 15,000,000 2018/05/04 2018/12/27 10.3513040 Bank Vontobel – Hang seng Bank european Warrants Dec 2018 a 20,000,000 2018/05/04 2018/12/03 13.1813043 Bank Vontobel – lenovo european Warrants Dec 2018 a 40,000,000 2018/05/04 2018/12/27 15.9613058 Bank Vontobel – sunny Optical european Warrants aug 2018 C 80,000,000 2018/05/04 2018/08/28 17.8413119 BNP Paribas issuance B.V. – Ping an european Wt apr 2019 B 40,000,000 2018/05/07 2019/04/02 22.8013118 BNP Paribas issuance B.V. – Ping an eur Put Wts Oct 2018 g 40,000,000 2018/05/07 2018/10/03 26.4013120 BNP Paribas issuance B.V. – tencent european Wts apr 2019 e 80,000,000 2018/05/07 2019/04/02 36.8013121 BNP Paribas issuance B.V. – tencent eu Put Wt apr 2019 F 80,000,000 2018/05/07 2019/04/02 22.4013134 Credit suisse ag – air China european Warrants Feb 2019 a 50,000,000 2018/05/07 2019/02/21 10.0013135 Credit suisse ag – geely auto european Put Wts Nov 2018 B 40,000,000 2018/05/07 2018/11/30 10.0013133 Credit suisse ag – Ping an european Warrants aug 2018 g 150,000,000 2018/05/07 2018/08/06 60.0013169 goldman sachs sP (asia) – agricultural Bank euro Wts sep 18 a 80,000,000 2018/05/07 2018/09/20 12.0013166 goldman sachs sP (asia) – HkeX european Warrants Oct 2018 F 150,000,000 2018/05/07 2018/10/26 31.5013167 goldman sachs sP (asia) – HkeX european Warrants Oct 2018 g 150,000,000 2018/05/07 2018/10/25 23.4013165 goldman sachs sP (asia) – Ping an european Wts aug 2018 H 100,000,000 2018/05/07 2018/08/20 30.5013168 goldman sachs sP (asia) – Ping an euro Put Wts sep 2018 g 60,000,000 2018/05/07 2018/09/24 13.2013107 Hk Bank – geely auto european Warrants Nov 2018 a 80,000,000 2018/05/07 2018/11/06 20.0013106 Hk Bank – HkeX european Put Warrants Oct 2018 B 80,000,000 2018/05/07 2018/10/29 12.0013126 J P Morgan sP BV – CsOP a50 etF european Warrants Oct 2018 B 100,000,000 2018/05/07 2018/10/31 62.7013129 J P Morgan sP BV – a50 China european Warrants Nov 2018 a 100,000,000 2018/05/07 2018/11/06 69.7013123 J P Morgan sP BV – galaxy ent european Warrants aug 2018 a 100,000,000 2018/05/07 2018/08/30 29.7013131 J P Morgan sP BV – Ping an european Warrants sep 2018 e 150,000,000 2018/05/07 2018/09/18 30.9013130 J P Morgan sP BV – Ping an european Warrants Oct 2018 C 150,000,000 2018/05/07 2018/10/02 63.0013132 J P Morgan sP BV – Ping an european Put Warrants Oct 2018 D 150,000,000 2018/05/07 2018/10/05 40.6513122 J P Morgan sP BV – tencent european Warrants aug 2018 k 250,000,000 2018/05/07 2018/08/06 46.0013109 Macquarie Bank ltd. – aia european Put Warrants Dec 2018 a 25,000,000 2018/05/07 2018/12/04 10.2013099 Macquarie Bank ltd. – CHalCO european Warrants Dec 2018 a 16,500,000 2018/05/07 2018/12/04 10.0513098 Macquarie Bank ltd. – Country garden european Put Wts Jan 19 C 36,000,000 2018/05/07 2019/01/03 10.0113113 Macquarie Bank ltd. – Henganintl european Wts Jun 2019 a 12,000,000 2018/05/07 2019/06/04 10.9313105 Macquarie Bank ltd. – HN renewables european Wts Jun 2019 a 16,800,000 2018/05/07 2019/06/18 10.0113101 Macquarie Bank ltd. – kingsoft european Put Warrants Jan 19 a 36,000,000 2018/05/07 2019/01/03 10.1213136 sg issuer – Ping an european Warrants sep 2018 e 80,000,000 2018/05/07 2018/09/28 54.4013151 sg issuer – Ping an european Warrants Oct 2018 a 80,000,000 2018/05/07 2018/10/31 52.80

MaiN BOarD WarraNts



13152 sg issuer – Ping an european Warrants sep 2019 a 500,000,000 2018/05/07 2019/09/30 75.0013147 sg issuer – Ping an european Put Warrants sep 2018 F 50,000,000 2018/05/07 2018/09/28 11.5013162 UBs ag – Mengniu Dairy european Warrants sep 2018 B 40,000,000 2018/05/07 2018/09/21 10.4013157 UBs ag – tencent european Warrants sep 2018 F 300,000,000 2018/05/07 2018/09/24 52.5013158 UBs ag – tencent european Warrants Nov 2018 C 300,000,000 2018/05/07 2018/11/27 75.3013153 UBs ag – tencent european Put Warrants Nov 2018 B 300,000,000 2018/05/07 2018/11/06 98.7013095 Bank Vontobel – galaxy ent european Warrants Oct 2018 a 40,000,000 2018/05/07 2018/10/02 18.8013096 Bank Vontobel – Ping an european Warrants Nov 2018 D 40,000,000 2018/05/07 2018/11/07 31.8413092 Bank Vontobel – Ping an european Put Warrants Nov 2018 C 40,000,000 2018/05/07 2018/11/27 21.0413093 Bank Vontobel – tencent european Warrants aug 2018 H 100,000,000 2018/05/07 2018/08/29 49.9013094 Bank Vontobel – tencent european Put Warrants Dec 2018 B 100,000,000 2018/05/07 2018/12/20 19.9014302 # J P Morgan sP BV – CaM Csi300 european Warrants aug 2018 a 150,000,000 2018/05/07 2018/08/31 10.8013178 BNP Paribas issuance B.V. – genscript Bio euro Wts Dec 18 a 40,000,000 2018/05/08 2018/12/04 24.4013183 Credit suisse ag – BYD Company european Warrants Nov 2018 a 25,000,000 2018/05/08 2018/11/09 18.7513180 Credit suisse ag – China lit european Warrants Oct 2019 a 100,000,000 2018/05/08 2019/10/31 25.0013181 Credit suisse ag – Hua Hong semi european Warrants Nov 2018 a 30,000,000 2018/05/08 2018/11/07 12.3013207 goldman sachs sP (asia) – aia european Put Wts Oct 2018 B 60,000,000 2018/05/08 2018/10/24 11.7613220 goldman sachs sP (asia) – geely auto european Wts Oct 2018 B 80,000,000 2018/05/08 2018/10/18 16.0813208 goldman sachs sP (asia) – HsBC european Put Wts aug 2018 g 70,000,000 2018/05/08 2018/08/31 10.5013209 goldman sachs sP (asia) – Ping an european Wts sep 2018 H 120,000,000 2018/05/08 2018/09/26 51.1213200 J P Morgan sP BV – BYD Company european Warrants Nov 2018 a 60,000,000 2018/05/08 2018/11/07 35.5213203 J P Morgan sP BV – China lit european Warrants Nov 2018 a 60,000,000 2018/05/08 2018/11/07 29.4613201 J P Morgan sP BV – CNBM european Warrants sep 2019 a 100,000,000 2018/05/08 2019/09/23 19.3013197 J P Morgan sP BV – Hang seng Bank european Warrants Dec 18 a 40,000,000 2018/05/08 2018/12/03 22.8413199 J P Morgan sP BV – sHk Ppt european Warrants Nov 2018 a 60,000,000 2018/05/08 2018/11/07 24.0013198 J P Morgan sP BV – stanchart european Warrants aug 2018 B 36,000,000 2018/05/08 2018/08/31 10.0413205 J P Morgan sP BV – Wharf reic european Warrants Nov 2018 a 60,000,000 2018/05/08 2018/11/07 23.5813189 Macquarie Bank ltd. – China lit european Warrants Mar 2019 a 7,000,000 2018/05/08 2019/03/15 10.3713190 Macquarie Bank ltd. – China lit european Warrants Jul 2019 a 7,000,000 2018/05/08 2019/07/15 11.1113192 Macquarie Bank ltd. – razer european Warrants Dec 2018 a 16,000,000 2018/05/08 2018/12/14 10.1813191 Macquarie Bank ltd. – razer european Warrants Jul 2019 a 12,500,000 2018/05/08 2019/07/15 10.3113184 Macquarie Bank ltd. – tencent european Put Wts Nov 2018 g 25,000,000 2018/05/08 2018/11/27 10.0013185 Macquarie Bank ltd. – tencent european Put Wts Dec 2018 a 7,000,000 2018/05/08 2018/12/03 14.8013187 Macquarie Bank ltd. – Wharf reic european Warrants Jul 2019 a 9,000,000 2018/05/08 2019/07/19 10.2113210 sg issuer – BOCom european Warrants Dec 2018 a 18,000,000 2018/05/08 2018/12/31 10.0813213 sg issuer – BYD Company european Warrants Nov 2018 a 13,000,000 2018/05/08 2018/11/30 10.7913214 sg issuer – Ch Molybdenum european Warrants Nov 2018 a 13,000,000 2018/05/08 2018/11/30 10.1413215 sg issuer – HsBC european Warrants Nov 2018 B 100,000,000 2018/05/08 2018/11/30 20.0013216 sg issuer – iCBC european Warrants sep 2018 B 60,000,000 2018/05/08 2018/09/28 12.3013218 sg issuer – sands China european Warrants Nov 2018 a 40,000,000 2018/05/08 2018/11/30 12.4013219 sg issuer – Yanzhou Coal eu Wt Dec 2018 C 80,000,000 2018/05/08 2018/12/31 12.0013175 UBs ag – aia european Warrants sep 2018 B 100,000,000 2018/05/08 2018/09/24 15.2013176 UBs ag – aia european Put Warrants Oct 2018 B 100,000,000 2018/05/08 2018/10/24 39.6013172 UBs ag – HsBC european Warrants sep 2018 B 100,000,000 2018/05/08 2018/09/20 24.20

MaiN BOarD WarraNts



13173 UBs ag – HsBC european Warrants Dec 2018 a 100,000,000 2018/05/08 2018/12/27 15.4013174 UBs ag – HsBC european Put Warrants Nov 2018 a 100,000,000 2018/05/08 2018/11/07 46.1013177 UBs ag – Yanzhou Coal european Wts Dec 2018 B 100,000,000 2018/05/08 2018/12/20 15.0013228 Credit suisse ag – China lit european Warrants Nov 2018 a 50,000,000 2018/05/09 2018/11/08 25.0013232 Credit suisse ag – Crphoenixhealth european Warrants Feb 19 a 40,000,000 2018/05/09 2019/02/28 10.0013231 Credit suisse ag – genscript Bio european Warrants Nov 2018 a 30,000,000 2018/05/09 2018/11/08 16.5013241 Credit suisse ag – HsBC european Wts Oct 2018 a 100,000,000 2018/05/09 2018/10/26 15.0013235 Credit suisse ag – Hang seng Bank european Warrants sep 19 a 100,000,000 2018/05/09 2019/09/30 25.0013242 Credit suisse ag – sHk Ppt european Warrants aug 2018 a 40,000,000 2018/05/09 2018/08/31 10.4013257 goldman sachs sP (asia) – galaxy ent european Wts aug 2018 C 80,000,000 2018/05/09 2018/08/29 19.4413254 goldman sachs sP (asia) – HsBC european Warrants Dec 2018 B 80,000,000 2018/05/09 2018/12/27 12.0013262 goldman sachs sP (asia) – Hsi european Warrants sep 2018 D 150,000,000 2018/05/09 2018/09/27 22.5013258 goldman sachs sP (asia) – tencent european Wt Oct 2018 C 150,000,000 2018/05/09 2018/10/25 22.5013261 goldman sachs sP (asia) – tencent european Wt Nov 2018 a 150,000,000 2018/05/09 2018/11/30 45.0013247 J P Morgan sP BV – Ch Oilfield euro Wts Dec 2019 a 60,000,000 2018/05/09 2019/12/31 15.0013249 J P Morgan sP BV – evergrande european Warrants Oct 2018 a 50,000,000 2018/05/09 2018/10/18 20.2013248 J P Morgan sP BV – HsBC european Warrants sep 2018 D 100,000,000 2018/05/09 2018/09/03 15.3013227 Macquarie Bank ltd. – Henganintl european Put Wts Mar 19 a 12,000,000 2018/05/09 2019/03/04 10.5013226 Macquarie Bank ltd. – HkeX european Warrants Dec 2018 B 5,000,000 2018/05/09 2018/12/04 10.2113243 Macquarie Bank ltd. – tencent european Warrants Nov 2018 H 40,000,000 2018/05/09 2018/11/27 10.0013244 Macquarie Bank ltd. – tencent european Warrants Nov 2018 i 40,000,000 2018/05/09 2018/11/27 23.6813245 Macquarie Bank ltd. – tencent european Warrants Dec 2018 B 10,200,000 2018/05/09 2018/12/03 10.0513225 sg issuer – CaM Csi300 european Warrants Oct 2018 a 60,000,000 2018/05/09 2018/10/31 10.2013221 sg issuer – China lit european Warrants Oct 2019 a 100,000,000 2018/05/09 2019/10/31 25.0013222 sg issuer – Wharf Holdings european Warrants Nov 2018 a 40,000,000 2018/05/09 2018/11/30 10.0013224 sg issuer – Wharf reic european Warrants Nov 2018 a 18,000,000 2018/05/09 2018/11/30 10.0813277 UBs ag – Ck asset european Warrants Nov 2018 a 40,000,000 2018/05/09 2018/11/12 10.8413278 UBs ag – China lit european Warrants Dec 2018 a 11,000,000 2018/05/09 2018/12/10 10.8413274 UBs ag – China Unicom european Warrants Nov 2018 a 15,000,000 2018/05/09 2018/11/12 11.1613266 UBs ag – Baiyunshan Ph european Warrants Nov 2018 a 25,000,000 2018/05/09 2018/11/12 10.7013282 UBs ag – Hua Hong semi european Warrants Nov 2018 a 30,000,000 2018/05/09 2018/11/12 11.9713281 UBs ag – Yongda auto european Warrants Jul 2019 a 50,000,000 2018/05/09 2019/07/11 10.3013336 Credit suisse ag – Ck asset european Warrants sep 2018 a 40,000,000 2018/05/10 2018/09/26 10.0013335 Credit suisse ag – evergrande european Warrants sep 2018 a 40,000,000 2018/05/10 2018/09/20 16.0013334 Credit suisse ag – Baiyunshan Ph european Warrants Nov 2018 a 30,000,000 2018/05/10 2018/11/09 11.4013299 Bank of east asia – CNOOC european Warrants Oct 2019 a 40,000,000 2018/05/10 2019/10/02 10.0013283 Bank of east asia – sino-Ocean gp european Warrants Nov 18 a 20,000,000 2018/05/10 2018/11/09 11.7813363 goldman sachs sP (asia) – geely auto european Wts Oct 2018 C 80,000,000 2018/05/10 2018/10/22 12.0013357 goldman sachs sP (asia) – Hsi european Put Wts sep 2018 e 150,000,000 2018/05/10 2018/09/27 22.5013358 goldman sachs sP (asia) – kingsoft european Wts sep 2018 a 60,000,000 2018/05/10 2018/09/20 10.0213361 goldman sachs sP (asia) – Ping an european Wts sep 2018 i 100,000,000 2018/05/10 2018/09/27 44.3013359 goldman sachs sP (asia) – sHk Ppt european Wts aug 2018 a 60,000,000 2018/05/10 2018/08/24 10.0813286 Hk Bank – sands China european Warrants Nov 2018 a 50,000,000 2018/05/10 2018/11/30 12.5013285 Hk Bank – tencent european Warrants sep 2018 F 100,000,000 2018/05/10 2018/09/24 16.00

MaiN BOarD WarraNts



13313 Haitong int’l sec – China lit european Warrants Nov 2018 a 20,000,000 2018/05/10 2018/11/20 10.8013315 Haitong int’l sec – genscript Bio european Warrants Nov 18 a 25,000,000 2018/05/10 2018/11/12 11.7513314 Haitong int’l sec – Hua Hong semi european Warrants Nov 18 a 30,000,000 2018/05/10 2018/11/12 11.1013316 Haitong int’l sec – Wharf reic european Warrants Nov 2018 a 25,000,000 2018/05/10 2018/11/20 11.2513339 J P Morgan sP BV – Baiyunshan Ph european Wts Dec 2018 a 40,000,000 2018/05/10 2018/12/03 21.5213342 J P Morgan sP BV – tencent european Warrants Nov 2018 a 250,000,000 2018/05/10 2018/11/30 62.7513340 J P Morgan sP BV – tencent european Warrants Dec 2018 C 250,000,000 2018/05/10 2018/12/31 63.7513297 Macquarie Bank ltd. – BYD Company european Warrants Dec 18 C 12,000,000 2018/05/10 2018/12/04 10.0713298 Macquarie Bank ltd. – CkH Holdings european Warrants Jan 19 a 18,000,000 2018/05/10 2019/01/03 10.0413294 Macquarie Bank ltd. – Ch longYuan european Wts Dec 2019 a 40,000,000 2018/05/10 2019/12/17 10.0413345 sg issuer – Ck asset european Warrants Nov 2018 a 26,000,000 2018/05/10 2018/11/30 10.0113353 sg issuer – CNBM european Warrants Nov 2018 a 10,000,000 2018/05/10 2018/11/30 11.6013350 sg issuer – link reit european Warrants Dec 2018 a 26,000,000 2018/05/10 2018/12/31 10.0113348 sg issuer – MgM China european Warrants Nov 2018 a 40,000,000 2018/05/10 2018/11/30 13.4013356 sg issuer – sJM Holdings eu Wt Dec 2018 a 11,000,000 2018/05/10 2018/12/31 10.0113329 UBs ag – HsBC european Warrants aug 2018 C 100,000,000 2018/05/10 2018/08/10 18.9013331 UBs ag – HsBC european Warrants Nov 2018 B 100,000,000 2018/05/10 2018/11/09 25.3013326 UBs ag – Hang seng Bank european Warrants Nov 2018 a 70,000,000 2018/05/10 2018/11/09 37.3113319 UBs ag – Hsi european Warrants Oct 2018 e 200,000,000 2018/05/10 2018/10/30 31.0013318 UBs ag – Hsi european Put Warrants Oct 2018 D 200,000,000 2018/05/10 2018/10/30 51.8013317 UBs ag – Melco int’l Dev european Warrants Nov 2018 a 50,000,000 2018/05/10 2018/11/09 12.5013288 Bank Vontobel – agricultural Bank european Warrants sep 18 a 40,000,000 2018/05/10 2018/09/24 10.0013290 Bank Vontobel – CNBM european Warrants Nov 2018 a 15,000,000 2018/05/10 2018/11/12 16.3413292 Bank Vontobel – geely auto european Warrants Oct 2018 B 50,000,000 2018/05/10 2018/10/30 10.0513291 Bank Vontobel – galaxy ent european Warrants Nov 2018 B 40,000,000 2018/05/10 2018/11/01 13.9613289 Bank Vontobel – lenovo european Warrants Oct 2018 a 40,000,000 2018/05/10 2018/10/29 10.6413385 BOCi asia ltd. – BYD Company european Warrants Nov 2018 a 50,000,000 2018/05/11 2018/11/26 28.9513386 BOCi asia ltd. – China lit european Warrants Nov 2018 a 30,000,000 2018/05/11 2018/11/12 11.7313404 goldman sachs sP (asia) – aaC tech euro Wts aug 2018 C 70,000,000 2018/05/11 2018/08/24 10.5013402 goldman sachs sP (asia) – BOC Hk european Wts Oct 2018 B 60,000,000 2018/05/11 2018/10/24 10.8013401 goldman sachs sP (asia) – BYD Company european Wts Nov 2018 a 40,000,000 2018/05/11 2018/11/16 11.7213406 goldman sachs sP (asia) – China lit european Warrants Nov 18 a 50,000,000 2018/05/11 2018/11/12 12.5013399 goldman sachs sP (asia) – China lit european Warrants Oct 19 a 80,000,000 2018/05/11 2019/10/31 20.0013408 goldman sachs sP (asia) – Hsi european Warrants aug 2018 J 150,000,000 2018/05/11 2018/08/30 22.5013396 J P Morgan sP BV – Henganintl european Warrants Dec 2018 a 60,000,000 2018/05/11 2018/12/03 21.0013395 J P Morgan sP BV – HsBC european Warrants sep 2018 e 150,000,000 2018/05/11 2018/09/03 41.1013394 J P Morgan sP BV – HsBC european Warrants Oct 2018 B 150,000,000 2018/05/11 2018/10/02 25.0513390 Macquarie Bank ltd. – tencent european Warrants Dec 2018 C 9,000,000 2018/05/11 2018/12/03 36.9113392 Macquarie Bank ltd. – tencent european Warrants Dec 2018 D 8,000,000 2018/05/11 2018/12/03 20.0913393 Macquarie Bank ltd. – tencent european Warrants Dec 2018 e 7,000,000 2018/05/11 2018/12/03 10.4613397 sg issuer – Jiangxi Copper european Warrants Dec 2018 a 70,000,000 2018/05/11 2018/12/31 10.5013380 UBs ag – C transmission european Warrants Dec 2018 a 30,000,000 2018/05/11 2018/12/17 10.0213366 UBs ag – HsBC european Warrants Oct 2018 C 100,000,000 2018/05/11 2018/10/24 43.5013365 UBs ag – HsBC european Put Warrants Oct 2018 B 100,000,000 2018/05/11 2018/10/26 15.40

MaiN BOarD WarraNts



13382 UBs ag – NagaCorp european Warrants Nov 2018 a 5,000,000 2018/05/11 2018/11/19 10.0013364 UBs ag – tencent european Put Warrants Oct 2018 D 300,000,000 2018/05/11 2018/10/29 54.3013379 UBs ag – Wharf reic european Warrants Nov 2018 a 50,000,000 2018/05/11 2018/11/12 16.7513383 UBs ag – Xiabuxiabu european Warrants Nov 2018 a 30,000,000 2018/05/11 2018/11/26 10.0213419 BOCi asia ltd. – igg european Warrants sep 2018 B 60,000,000 2018/05/14 2018/09/24 12.3613415 BOCi asia ltd. – Ping an european Warrants Oct 2018 B 100,000,000 2018/05/14 2018/10/29 36.0013413 BOCi asia ltd. – tencent european Put Wts sep 2018 J 100,000,000 2018/05/14 2018/09/27 23.2013464 BNP Paribas issuance B.V. – Bank of China euro Wts Dec 2018 a 50,000,000 2018/05/14 2018/12/04 13.5010002 BNP Paribas issuance B.V. – gold european Wts Dec 2018 a 50,000,000 2018/05/14 2018/12/21 15.0010003 BNP Paribas issuance B.V. – gold euro Put Wts Dec 2018 B 50,000,000 2018/05/14 2018/12/21 15.5013463 BNP Paribas issuance B.V. – Ping an european Wt Jan 2019 D 60,000,000 2018/05/14 2019/01/03 31.8013459 BNP Paribas issuance B.V. – Ping an eur Put Wts apr 2019 C 50,000,000 2018/05/14 2019/04/02 32.0013451 BNP Paribas issuance B.V. – tencent european Wts Dec 2018 e 80,000,000 2018/05/14 2018/12/04 28.0013454 BNP Paribas issuance B.V. – tencent european Wts Jul 2019 a 80,000,000 2018/05/14 2019/07/03 25.6013452 BNP Paribas issuance B.V. – tencent eu Put Wt Dec 2018 F 80,000,000 2018/05/14 2018/12/04 26.4013475 Credit suisse ag – Ping an european Warrants Nov 2018 D 150,000,000 2018/05/14 2018/11/13 120.0013474 Credit suisse ag – tencent european Wts Dec 2018 a 250,000,000 2018/05/14 2018/12/31 75.0013507 goldman sachs sP (asia) – CNOOC european Warrants aug 2018 B 80,000,000 2018/05/14 2018/08/24 32.0013511 goldman sachs sP (asia) – Hsi european Warrants Nov 2018 a 150,000,000 2018/05/14 2018/11/29 22.5013514 goldman sachs sP (asia) – Hsi european Put Wts Nov 2018 B 150,000,000 2018/05/14 2018/11/29 22.5013508 goldman sachs sP (asia) – sunny Optical euro Wts sep 2018 a 70,000,000 2018/05/14 2018/09/14 10.5013506 goldman sachs sP (asia) – tencent european Wt Dec 2018 C 150,000,000 2018/05/14 2018/12/27 43.2013449 Hk Bank – PiCC group european Warrants Nov 2018 a 40,000,000 2018/05/14 2018/11/30 12.0013448 Hk Bank – sHk Ppt european Warrants Nov 2018 a 40,000,000 2018/05/14 2018/11/30 14.0013450 Hk Bank – tencent european Warrants Oct 2018 C 150,000,000 2018/05/14 2018/10/22 33.0013477 J P Morgan sP BV – Ch Molybdenum european Warrants Oct 2018 a 40,000,000 2018/05/14 2018/10/02 20.3213476 J P Morgan sP BV – CNOOC european Put Warrants Dec 2019 a 100,000,000 2018/05/14 2019/12/31 25.0013487 J P Morgan sP BV – sinopec Corp european Warrants Jan 2019 a 100,000,000 2018/05/14 2019/01/31 26.1013479 J P Morgan sP BV – tencent european Warrants sep 2018 F 250,000,000 2018/05/14 2018/09/28 55.0013465 Macquarie Bank ltd. – sinopec Corp european Wts Jan 2019 B 40,000,000 2018/05/14 2019/01/03 10.0413468 Macquarie Bank ltd. – FiH Mobile european Warrants Jun 2019 a 33,000,000 2018/05/14 2019/06/04 10.0313472 Macquarie Bank ltd. – tencent european Warrants Dec 2018 F 10,000,000 2018/05/14 2018/12/03 60.5213488 sg issuer – CNOOC european Warrants Nov 2018 B 18,000,000 2018/05/14 2018/11/30 10.0813489 sg issuer – Huaneng Power european Warrants Nov 2018 a 20,000,000 2018/05/14 2018/11/30 10.2013494 sg issuer – tencent european Warrants Nov 2018 a 200,000,000 2018/05/14 2018/11/30 57.0013500 sg issuer – tencent european Warrants Dec 2018 B 200,000,000 2018/05/14 2018/12/31 32.0013498 sg issuer – tencent european Put Warrants Nov 2018 B 20,000,000 2018/05/14 2018/11/30 13.4013438 UBs ag – CaM Csi300 european Warrants Oct 2018 a 70,000,000 2018/05/14 2018/10/24 16.4513447 UBs ag – CM Bank european Warrants Nov 2018 a 50,000,000 2018/05/14 2018/11/23 10.2513431 UBs ag – CsOP a50 etF european Warrants sep 2018 C 30,000,000 2018/05/14 2018/09/24 11.4013435 UBs ag – CsOP a50 etF european Warrants Nov 2018 a 30,000,000 2018/05/14 2018/11/13 11.0713428 UBs ag – geely auto european Warrants Oct 2018 C 50,000,000 2018/05/14 2018/10/24 10.2513420 UBs ag – geely auto european Put Warrants Oct 2018 B 50,000,000 2018/05/14 2018/10/26 11.4513439 UBs ag – HsCei european Warrants Dec 2018 a 100,000,000 2018/05/14 2018/12/28 15.10

MaiN BOarD WarraNts



13443 UBs ag – HsCei european Put Warrants Dec 2018 B 100,000,000 2018/05/14 2018/12/28 17.3023727 # J P Morgan sP BV – CsPC Pharma european Warrants sep 2018 a 60,000,000 2018/05/14 2018/09/28 28.2023920 # J P Morgan sP BV – Hsi european Put Warrants Oct 2018 B 300,000,000 2018/05/14 2018/10/30 26.1013520 BOCi asia ltd. – CNOOC european Warrants Oct 2018 B 50,000,000 2018/05/15 2018/10/31 28.5513518 BOCi asia ltd. – PetroChina european Warrants Nov 2018 a 60,000,000 2018/05/15 2018/11/26 15.2413553 BNP Paribas issuance B.V. – aaC tech euro Wts May 2019 a 80,000,000 2018/05/15 2019/05/02 20.0010006 BNP Paribas issuance B.V. – aUD/UsD european Wts Dec 2018 a 50,000,000 2018/05/15 2018/12/21 12.5010007 BNP Paribas issuance B.V. – aUD/UsD euro Put Wts Dec 2018 B 50,000,000 2018/05/15 2018/12/21 12.5013551 BNP Paribas issuance B.V. – CkH european Wts Mar 2019 a 40,000,000 2018/05/15 2019/03/04 10.0013545 BNP Paribas issuance B.V. – China life euro Wts Jul 2019 a 60,000,000 2018/05/15 2019/07/03 15.0013627 BNP Paribas issuance B.V. – CPiC european Wts Dec 2018 a 40,000,000 2018/05/15 2018/12/04 10.0010009 BNP Paribas issuance B.V. – eUr/UsD euro Wts Dec 2018 a 100,000,000 2018/05/15 2018/12/21 33.0010010 BNP Paribas issuance B.V. – eUr/UsD euro Put Wt Dec 2018 B 100,000,000 2018/05/15 2018/12/21 32.0010004 BNP Paribas issuance B.V. – gBP/UsD european Wts Dec 2018 a 50,000,000 2018/05/15 2018/12/21 17.0010005 BNP Paribas issuance B.V. – gBP/UsD european Put Wt Dec 18 B 50,000,000 2018/05/15 2018/12/21 16.0013549 BNP Paribas issuance B.V. – galaxy ent euro Wts Oct 2018 a 40,000,000 2018/05/15 2018/10/03 15.6013544 BNP Paribas issuance B.V. – HkeX european Wts Mar 2019 a 80,000,000 2018/05/15 2019/03/04 20.0013538 BNP Paribas issuance B.V. – HsBC european Wts Feb 2019 B 40,000,000 2018/05/15 2019/02/04 18.8013540 BNP Paribas issuance B.V. – HsBC euro Put Wts Feb 2019 C 40,000,000 2018/05/15 2019/02/04 18.4013554 BNP Paribas issuance B.V. – Hang seng Bank eu Wt Jan 2019 a 20,000,000 2018/05/15 2019/01/03 10.4013614 Credit suisse ag – Ch Molybdenum european Wts Nov 2018 a 30,000,000 2018/05/15 2018/11/14 19.5013610 Credit suisse ag – sinopec Corp european Warrants Oct 2018 a 50,000,000 2018/05/15 2018/10/23 14.0013607 Credit suisse ag – CsPC Pharma european Warrants sep 2018 C 40,000,000 2018/05/15 2018/09/20 18.0013608 Credit suisse ag – CsPC Pharma european Warrants Oct 2018 a 40,000,000 2018/05/15 2018/10/08 12.8013620 goldman sachs sP (asia) – CaM Csi300 european Wts Oct 2018 a 80,000,000 2018/05/15 2018/10/24 12.0013616 goldman sachs sP (asia) – CC Bank european Wts sep 2018 C 80,000,000 2018/05/15 2018/09/20 12.0013619 goldman sachs sP (asia) – Ping an european Wts Oct 2018 B 100,000,000 2018/05/15 2018/10/26 17.6013618 goldman sachs sP (asia) – tencent european Wt Oct 2018 e 150,000,000 2018/05/15 2018/10/26 22.5013617 goldman sachs sP (asia) – tencent european Put Wt Oct 2018 D 100,000,000 2018/05/15 2018/10/29 15.0013521 Hk Bank – CNOOC european Warrants Dec 2019 B 150,000,000 2018/05/15 2019/12/31 37.5013572 Hk Bank – CsPC Pharma european Warrants aug 2018 a 50,000,000 2018/05/15 2018/08/31 24.0013555 Hk Bank – CsPC Pharma european Warrants Oct 2018 a 80,000,000 2018/05/15 2018/10/22 24.0013562 Hk Bank – CsPC Pharma european Warrants Nov 2018 a 80,000,000 2018/05/15 2018/11/14 20.0013565 Hk Bank – sino Biopharm european Warrants Nov 2018 a 80,000,000 2018/05/15 2018/11/30 20.0013536 Haitong int’l sec – aaC tech european Warrants Dec 2018 a 100,000,000 2018/05/15 2018/12/28 25.0013535 Haitong int’l sec – BYD Company european Warrants Oct 2018 B 25,000,000 2018/05/15 2018/10/31 12.5013532 Haitong int’l sec – China lit european Warrants aug 2019 a 100,000,000 2018/05/15 2019/08/22 26.0013534 Haitong int’l sec – Baiyunshan Ph european Warrants Nov 18 a 25,000,000 2018/05/15 2018/11/15 11.7513526 Haitong int’l sec – HsBC european Warrants Oct 2018 B 50,000,000 2018/05/15 2018/10/02 15.0013596 J P Morgan sP BV – sinopec Corp eu Put Wt Nov 2018 a 100,000,000 2018/05/15 2018/11/02 28.1013595 J P Morgan sP BV – CsPC Pharma european Warrants Jan 2019 a 50,000,000 2018/05/15 2019/01/02 13.3013594 J P Morgan sP BV – HsCei european Put Warrants Dec 2018 B 200,000,000 2018/05/15 2018/12/28 39.8013590 J P Morgan sP BV – Hsi european Put Warrants Nov 2018 D 300,000,000 2018/05/15 2018/11/29 75.3013597 J P Morgan sP BV – tencent european Warrants Dec 2018 D 250,000,000 2018/05/15 2018/12/31 86.25

MaiN BOarD WarraNts



13599 J P Morgan sP BV – tencent european Warrants Mar 2019 B 250,000,000 2018/05/15 2019/03/29 72.7513589 Macquarie Bank ltd. – aaC tech european Wts Feb 2019 a 5,000,000 2018/05/15 2019/02/04 10.0113581 Macquarie Bank ltd. – CitiC european Warrants Jan 2019 a 12,500,000 2018/05/15 2019/01/03 10.1113588 Macquarie Bank ltd. – CPiC european Put Warrants Jan 2019 a 38,000,000 2018/05/15 2019/01/03 10.1813579 Macquarie Bank ltd. – Hang seng Bank european Wts Dec 2018 a 14,000,000 2018/05/15 2018/12/04 10.3313585 Macquarie Bank ltd. – MgM China european Put Warrants apr 19 a 26,000,000 2018/05/15 2019/04/02 10.1913582 Macquarie Bank ltd. – PiCC P&C european Warrants Jul 2019 a 40,000,000 2018/05/15 2019/07/03 10.0013587 Macquarie Bank ltd. – swire Pacific a euro Put Wts apr 19 B 14,000,000 2018/05/15 2019/04/02 10.1613600 sg issuer – CsPC Pharma european Warrants sep 2018 B 40,000,000 2018/05/15 2018/09/28 11.4013601 sg issuer – CsPC Pharma european Warrants Nov 2018 a 40,000,000 2018/05/15 2018/11/30 20.0013573 UBs ag – CsPC Pharma european Warrants Nov 2018 B 40,000,000 2018/05/15 2018/11/14 21.6813577 UBs ag – CsPC Pharma european Warrants Nov 2018 C 40,000,000 2018/05/15 2018/11/30 11.6813574 UBs ag – CsPC Pharma european Warrants Dec 2018 a 40,000,000 2018/05/15 2018/12/17 19.5613516 Bank Vontobel – BYD Company european Warrants Nov 2018 a 20,000,000 2018/05/15 2018/11/27 12.1613630 BOCi asia ltd. – CsPC Pharma european Warrants sep 2018 B 50,000,000 2018/05/16 2018/09/26 19.9013631 BOCi asia ltd. – CsPC Pharma european Warrants sep 2018 C 50,000,000 2018/05/16 2018/09/20 13.9013628 BOCi asia ltd. – galaxy ent european Warrants Nov 2018 a 60,000,000 2018/05/16 2018/11/26 23.9413634 BOCi asia ltd. – HkeX european Warrants Dec 2018 C 200,000,000 2018/05/16 2018/12/21 35.6013629 BOCi asia ltd. – HsBC european Warrants Nov 2018 a 100,000,000 2018/05/16 2018/11/27 16.4010011 BNP Paribas issuance B.V. – Oil Futures euro Wt May 2019 a 50,000,000 2018/05/16 2019/05/20 12.5010014 BNP Paribas issuance B.V. – Oil Futures eu Put Wt May 2019 B 50,000,000 2018/05/16 2019/05/20 17.5013673 Credit suisse ag – CitiC european Warrants sep 2018 a 30,000,000 2018/05/16 2018/09/28 23.4013676 Credit suisse ag – CNOOC european Warrants Oct 2018 a 40,000,000 2018/05/16 2018/10/26 14.4013682 Credit suisse ag – CNOOC european Put Warrants sep 2019 a 100,000,000 2018/05/16 2019/09/30 25.0013670 Credit suisse ag – CPiC european Warrants Nov 2018 a 50,000,000 2018/05/16 2018/11/30 12.5013671 Credit suisse ag – China taiping european Warrants sep 2018 a 60,000,000 2018/05/16 2018/09/20 10.0813680 Credit suisse ag – PetroChina european Warrants Nov 2018 a 60,000,000 2018/05/16 2018/11/15 15.0013663 Credit suisse ag – Ping an european Warrants sep 2018 H 150,000,000 2018/05/16 2018/09/20 28.5013681 Credit suisse ag – tsingtao Brew european Warrants Nov 2018 a 30,000,000 2018/05/16 2018/11/15 22.2013694 Bank of east asia – CsPC Pharma european Warrants Feb 2019 a 40,000,000 2018/05/16 2019/02/15 14.4013635 Bank of east asia – sino-Ocean gp european Put Wts Nov 18 B 20,000,000 2018/05/16 2018/11/16 11.7613696 goldman sachs sP (asia) – aia european Warrants sep 2018 C 80,000,000 2018/05/16 2018/09/20 24.5613697 goldman sachs sP (asia) – geely auto european Wts sep 2018 a 80,000,000 2018/05/16 2018/09/20 12.0013703 goldman sachs sP (asia) – galaxy ent european Wts sep 2018 B 80,000,000 2018/05/16 2018/09/20 12.0013707 goldman sachs sP (asia) – link reit european Wts Dec 2018 a 50,000,000 2018/05/16 2018/12/28 12.5013695 goldman sachs sP (asia) – tencent european Wt Oct 2018 F 150,000,000 2018/05/16 2018/10/22 40.8013662 J P Morgan sP BV – BaiC Motor european Warrants Nov 2018 a 50,000,000 2018/05/16 2018/11/30 37.1513661 J P Morgan sP BV – CsPC Pharma european Warrants sep 2018 B 60,000,000 2018/05/16 2018/09/28 15.9013651 Macquarie Bank ltd. – sh Pharma european Warrants apr 2019 a 31,600,000 2018/05/16 2019/04/16 10.0213654 Macquarie Bank ltd. – sJM Holdings european Wts Dec 2018 a 10,000,000 2018/05/16 2018/12/31 10.6913652 Macquarie Bank ltd. – sJM Holdings european Wts May 2019 a 10,500,000 2018/05/16 2019/05/15 10.2313659 Macquarie Bank ltd. – WuXi Bio european Warrants Dec 2018 a 40,000,000 2018/05/16 2018/12/31 10.0013686 sg issuer – CgN Power eu Wts Nov 2018 a 40,000,000 2018/05/16 2018/11/30 10.0013688 sg issuer – CNOOC european Put Warrants Oct 2018 a 30,000,000 2018/05/16 2018/10/31 10.05

MaiN BOarD WarraNts



13687 sg issuer – sinopec Corp european Put Warrants Oct 2018 a 35,000,000 2018/05/16 2018/10/31 10.1513689 sg issuer – HsBC european Put Warrants Oct 2018 a 60,000,000 2018/05/16 2018/10/31 24.9013691 sg issuer – PetroChina european Warrants Nov 2018 a 40,000,000 2018/05/16 2018/11/30 11.2013692 sg issuer – PetroChina european Put Warrants Nov 2018 B 35,000,000 2018/05/16 2018/11/30 10.1513693 sg issuer – tencent european Warrants Oct 2018 C 200,000,000 2018/05/16 2018/10/31 33.0013647 UBs ag – Ch Oilfield european Warrants Dec 2019 a 70,000,000 2018/05/16 2019/12/30 17.5013646 UBs ag – kingdee intl european Warrants Jan 2019 a 100,000,000 2018/05/16 2019/01/10 18.1013642 UBs ag – PetroChina european Warrants Nov 2018 a 70,000,000 2018/05/16 2018/11/15 17.6413643 UBs ag – sino Biopharm european Warrants Mar 2019 a 40,000,000 2018/05/16 2019/03/11 13.0813640 Bank Vontobel – CNOOC european Warrants Nov 2018 a 30,000,000 2018/05/16 2018/11/30 12.7813641 Bank Vontobel – tencent european Warrants Jul 2019 a 100,000,000 2018/05/16 2019/07/03 38.0013710 BOCi asia ltd. – tencent european Wts aug 2018 g 200,000,000 2018/05/17 2018/08/24 30.4013711 BOCi asia ltd. – tencent european Wts sep 2018 k 200,000,000 2018/05/17 2018/09/27 30.4010017 BNP Paribas issuance B.V. – UsD/CNH european Wts Dec 2018 a 50,000,000 2018/05/17 2018/12/21 15.0010018 BNP Paribas issuance B.V. – UsD/CNH european Put Wts Dec 18 B 50,000,000 2018/05/17 2018/12/21 12.5010015 BNP Paribas issuance B.V. – UsD/YeN euro Wts Dec 2018 a 50,000,000 2018/05/17 2018/12/21 13.0010016 BNP Paribas issuance B.V. – UsD/YeN eur Put Wts Dec 2018 B 50,000,000 2018/05/17 2018/12/21 15.0013734 Credit suisse ag – aaC tech european Put Warrants Mar 2019 a 80,000,000 2018/05/17 2019/03/18 16.8013728 Credit suisse ag – CNBM european Warrants sep 2018 a 20,000,000 2018/05/17 2018/09/24 17.0013727 Credit suisse ag – China res Beer european Warrants Nov 18 a 25,000,000 2018/05/17 2018/11/16 14.5013752 Credit suisse ag – China state Con european Warrants sep 19 a 80,000,000 2018/05/17 2019/09/30 20.0013726 Credit suisse ag – geely auto european Warrants Oct 2018 C 80,000,000 2018/05/17 2018/10/22 15.2013735 Credit suisse ag – r&F Ppt european Warrants Nov 2018 a 60,000,000 2018/05/17 2018/11/16 15.0013731 Credit suisse ag – PetroChina european Put Warrants Nov 18 B 40,000,000 2018/05/17 2018/11/16 12.0013725 Credit suisse ag – tencent european Wts Oct 2018 D 250,000,000 2018/05/17 2018/10/25 47.5013757 goldman sachs sP (asia) – BOCl european Warrants sep 2018 B 80,000,000 2018/05/17 2018/09/20 14.6413754 goldman sachs sP (asia) – China shenhua euro Wts Dec 2018 a 70,000,000 2018/05/17 2018/12/24 10.5013720 goldman sachs sP (asia) – CsPC Pharma european Wts Oct 18 a 40,000,000 2018/05/17 2018/10/05 10.0013721 goldman sachs sP (asia) – CsPC Pharma european Wts Nov 18 a 40,000,000 2018/05/17 2018/11/29 11.4813712 Hk Bank – sinopec Corp european Warrants Nov 2018 a 150,000,000 2018/05/17 2018/11/30 37.5013713 Hk Bank – PetroChina european Warrants Nov 2018 a 150,000,000 2018/05/17 2018/11/30 37.5013714 Hk Bank – sUNaC european Warrants Nov 2018 B 50,000,000 2018/05/17 2018/11/30 20.0013718 Hk Bank – sUNaC european Warrants Nov 2018 C 50,000,000 2018/05/17 2018/11/30 13.0013722 J P Morgan sP BV – galaxy ent european Warrants Dec 2018 a 100,000,000 2018/05/17 2018/12/03 30.5013741 UBs ag – China lit european Warrants sep 2019 a 100,000,000 2018/05/17 2019/09/30 25.7013739 UBs ag – Mapleleaf edu european Warrants Dec 2018 a 40,000,000 2018/05/17 2018/12/24 10.0013750 UBs ag – Henderson land Dev european Warrants Nov 2018 a 40,000,000 2018/05/17 2018/11/19 10.0013749 UBs ag – Hua Hong semi european Warrants Dec 2018 a 25,000,000 2018/05/17 2018/12/10 11.0313751 UBs ag – tencent european Put Warrants sep 2018 g 200,000,000 2018/05/17 2018/09/24 30.6013823 BOCi asia ltd. – aia european Warrants Oct 2018 a 100,000,000 2018/05/18 2018/10/29 15.3013821 BOCi asia ltd. – geely auto european Warrants Oct 2018 B 100,000,000 2018/05/18 2018/10/22 16.3013813 BNP Paribas issuance B.V. – sinopec Corp eu Wts apr 2019 a 40,000,000 2018/05/18 2019/04/02 16.4013872 Credit suisse ag – aia european Put Warrants Oct 2018 B 60,000,000 2018/05/18 2018/10/24 13.8013870 Credit suisse ag – China life european Put Wts Jan 2019 a 50,000,000 2018/05/18 2019/01/31 12.50

MaiN BOarD WarraNts



13873 Credit suisse ag – China lit european Warrants sep 2019 a 100,000,000 2018/05/18 2019/09/30 25.0013876 Credit suisse ag – HsBC european Put Warrants Oct 2018 B 60,000,000 2018/05/18 2018/10/31 28.2013880 Credit suisse ag – kingdee int’l european Warrants Feb 2019 a 50,000,000 2018/05/18 2019/02/28 12.5013903 goldman sachs sP (asia) – HsBC european Warrants sep 2018 D 80,000,000 2018/05/18 2018/09/20 12.0013900 goldman sachs sP (asia) – Ping an euro Put Wts sep 2018 J 60,000,000 2018/05/18 2018/09/05 14.1613902 goldman sachs sP (asia) – sunny Optical euro Wts Oct 2018 a 60,000,000 2018/05/18 2018/10/26 10.0213894 goldman sachs sP (asia) – tencent european Wt Nov 2018 B 150,000,000 2018/05/18 2018/11/19 49.3513896 goldman sachs sP (asia) – tencent european Put Wt aug 2018 N 100,000,000 2018/05/18 2018/08/30 26.2013832 Haitong int’l sec – BaiC Motor european Warrants Dec 2018 a 80,000,000 2018/05/18 2018/12/20 12.0013811 Haitong int’l sec – BaiC Motor european Warrants Dec 2019 a 80,000,000 2018/05/18 2019/12/31 20.0013787 Haitong int’l sec – BYD Company european Warrants Nov 2018 a 40,000,000 2018/05/18 2018/11/20 28.0013790 Haitong int’l sec – Country garden european Warrants Nov 18 C 60,000,000 2018/05/18 2018/11/30 19.8013791 Haitong int’l sec – Country garden european Warrants Nov 18 D 60,000,000 2018/05/18 2018/11/19 15.0013763 Haitong int’l sec – China gas Hold european Warrants Dec 18 B 50,000,000 2018/05/18 2018/12/28 19.0013804 Haitong int’l sec – Ch Oilfield european Warrants Dec 2019 a 80,000,000 2018/05/18 2019/12/19 21.6013767 Haitong int’l sec – sinopec Corp european Wts Oct 2018 a 100,000,000 2018/05/18 2018/10/26 38.0013838 Haitong int’l sec – China state Con european Warrants sep 19 a 80,000,000 2018/05/18 2019/09/18 20.0013810 Haitong int’l sec – China shenhua european Warrants Dec 18 a 68,000,000 2018/05/18 2018/12/20 12.2413780 Haitong int’l sec – CsPC Pharma european Warrants sep 2018 C 50,000,000 2018/05/18 2018/09/28 22.5013808 Haitong int’l sec – CsPC Pharma european Warrants Oct 2018 B 50,000,000 2018/05/18 2018/10/22 17.0013778 Haitong int’l sec – CsPC Pharma european Warrants Nov 2018 C 50,000,000 2018/05/18 2018/11/19 27.0013776 Haitong int’l sec – China taiping european Warrants Nov 18 a 40,000,000 2018/05/18 2018/11/19 13.6013759 Haitong int’l sec – geely auto european Warrants sep 2018 a 80,000,000 2018/05/18 2018/09/26 12.8013826 Haitong int’l sec – greentown China european Wts Dec 2018 C 60,000,000 2018/05/18 2018/12/18 15.6013772 Haitong int’l sec – Baiyunshan Ph european Warrants sep 18 a 40,000,000 2018/05/18 2018/09/18 32.0013768 Haitong int’l sec – link reit european Warrants Dec 2018 a 38,000,000 2018/05/18 2018/12/18 11.4013788 Haitong int’l sec – sands China european Warrants Oct 2018 a 40,000,000 2018/05/18 2018/10/25 12.4013786 Haitong int’l sec – sino Biopharm european Wts Mar 2019 a 40,000,000 2018/05/18 2019/03/01 13.6013802 Haitong int’l sec – sh Pharma european Warrants sep 2018 a 40,000,000 2018/05/18 2018/09/21 12.4013799 Haitong int’l sec – sunny Optical european Put Wts Nov 2018 B 68,000,000 2018/05/18 2018/11/06 13.6013758 Haitong int’l sec – tsingtao Brew european Warrants Nov 18 a 30,000,000 2018/05/18 2018/11/19 17.1013809 Haitong int’l sec – Xinyi glass european Warrants Jan 2019 a 60,000,000 2018/05/18 2019/01/25 10.8013866 Haitong int’l sec – Yue Yuen ind european Warrants Mar 2019 a 20,000,000 2018/05/18 2019/03/29 10.6013845 Haitong int’l sec – YuHua edu european Warrants Dec 2019 a 80,000,000 2018/05/18 2019/12/31 20.0013868 J P Morgan sP BV – CNOOC european Warrants Oct 2018 a 100,000,000 2018/05/18 2018/10/31 33.9013883 J P Morgan sP BV – Ch Overseas european Warrants Dec 2018 a 100,000,000 2018/05/18 2018/12/03 36.1013881 J P Morgan sP BV – sinopec Corp european Warrants Jan 2019 B 100,000,000 2018/05/18 2019/01/03 30.4013869 J P Morgan sP BV – kingdee intl european Warrants Jan 2019 a 60,000,000 2018/05/18 2019/01/10 10.1413867 J P Morgan sP BV – PetroChina european Put Warrants Oct 18 B 100,000,000 2018/05/18 2018/10/16 16.0013885 J P Morgan sP BV – Zhongsheng Hold european Warrants Dec 18 a 60,000,000 2018/05/18 2018/12/03 20.8213862 Macquarie Bank ltd. – anhui Conch european Wts Dec 2018 a 25,000,000 2018/05/18 2018/12/04 10.0013859 Macquarie Bank ltd. – aia european Warrants Dec 2018 B 33,000,000 2018/05/18 2018/12/04 10.0313857 Macquarie Bank ltd. – BaiC Motor european Warrants Nov 2018 a 10,700,000 2018/05/18 2018/11/19 10.4313854 Macquarie Bank ltd. – BaiC Motor european Warrants Dec 2018 a 65,000,000 2018/05/18 2018/12/24 10.34

MaiN BOarD WarraNts



13864 Macquarie Bank ltd. – CrrC european Warrants Dec 2018 a 14,000,000 2018/05/18 2018/12/04 10.2313865 Macquarie Bank ltd. – CrrC european Warrants Jun 2019 a 12,000,000 2018/05/18 2019/06/28 10.8013860 Macquarie Bank ltd. – CsDC european Warrants Feb 2019 a 37,000,000 2018/05/18 2019/02/15 10.5513858 Macquarie Bank ltd. – Baiyunshan Ph european Warrants May 19 a 14,700,000 2018/05/18 2019/05/16 10.0413905 sg issuer – HkeX european Warrants sep 2018 D 150,000,000 2018/05/18 2018/09/28 22.5013906 sg issuer – tencent european Warrants Oct 2018 D 200,000,000 2018/05/18 2018/10/31 30.0013910 sg issuer – tencent european Warrants Nov 2018 C 200,000,000 2018/05/18 2018/11/30 30.0013846 UBs ag – CsPC Pharma european Warrants Dec 2018 B 40,000,000 2018/05/18 2018/12/07 14.7613847 UBs ag – CsPC Pharma european Warrants Dec 2018 C 40,000,000 2018/05/18 2018/12/24 18.1613852 UBs ag – geely auto european Warrants Nov 2018 a 50,000,000 2018/05/18 2018/11/13 10.5513925 BOCi asia ltd. – HsBC european Warrants sep 2018 D 100,000,000 2018/05/21 2018/09/28 17.3013935 Credit suisse ag – iCBC european Warrants sep 2018 a 70,000,000 2018/05/21 2018/09/24 11.5513992 Credit suisse ag – sino Biopharm european Wts Nov 2018 a 50,000,000 2018/05/21 2018/11/30 12.5013933 Credit suisse ag – sunny Optical european Put Wts Nov 2018 a 100,000,000 2018/05/21 2018/11/09 21.0014003 goldman sachs sP (asia) – CC Bank european Wts sep 2018 D 80,000,000 2018/05/21 2018/09/20 12.0014000 goldman sachs sP (asia) – CNOOC european Warrants Oct 2018 B 80,000,000 2018/05/21 2018/10/26 30.8013994 goldman sachs sP (asia) – PetroChina european Wts aug 2018 B 80,000,000 2018/05/21 2018/08/29 12.0014004 goldman sachs sP (asia) – sunny Optical euro Wts sep 2018 B 70,000,000 2018/05/21 2018/09/20 10.5013958 Haitong int’l sec – CNBM european Warrants Nov 2018 a 10,000,000 2018/05/21 2018/11/22 10.7013945 Haitong int’l sec – China Overseas european Warrants Nov 18 a 40,000,000 2018/05/21 2018/11/30 12.0013948 Haitong int’l sec – China Overseas european Put Wts Nov18 B 60,000,000 2018/05/21 2018/11/30 11.4013949 Haitong int’l sec – China Unicom european Warrants aug 2018 a 20,000,000 2018/05/21 2018/08/28 13.6013952 Haitong int’l sec – China Unicom european Warrants Nov 2018 a 20,000,000 2018/05/21 2018/11/22 10.8013943 Haitong int’l sec – New World Dev european Warrants Dec 18 a 20,000,000 2018/05/21 2018/12/18 12.0013953 Haitong int’l sec – Zall group european Warrants sep 2018 a 40,000,000 2018/05/21 2018/09/26 10.8013956 Haitong int’l sec – Zall group european Warrants Dec 2018 a 40,000,000 2018/05/21 2018/12/18 10.8013993 J P Morgan sP BV – HsCei etF european Warrants Oct 2018 B 100,000,000 2018/05/21 2018/10/31 36.8013932 Macquarie Bank ltd. – China Overseas european Wts Dec 2018 B 38,000,000 2018/05/21 2018/12/04 10.3013919 Macquarie Bank ltd. – Chi res Power european Wts apr 2019 a 4,700,000 2018/05/21 2019/04/18 10.1113913 Macquarie Bank ltd. – geely auto european Wts Dec 2018 B 4,000,000 2018/05/21 2018/12/04 10.2413927 Macquarie Bank ltd. – kingboard Chem european Wts Feb 2019 a 30,000,000 2018/05/21 2019/02/15 10.9213911 Macquarie Bank ltd. – Ping an european Warrants sep 2018 C 36,500,000 2018/05/21 2018/09/04 10.0413914 Macquarie Bank ltd. – Ping an european Warrants Oct 2018 D 36,000,000 2018/05/21 2018/10/03 10.0113928 Macquarie Bank ltd. – Za Onine european Warrants Dec 2018 a 13,000,000 2018/05/21 2018/12/14 10.7414019 sg issuer – aaC tech european Warrants sep 2018 B 60,000,000 2018/05/21 2018/09/28 13.2014058 sg issuer – aaC tech european Put Warrants Feb 2019 a 80,000,000 2018/05/21 2019/02/28 20.0014006 sg issuer – aia european Put Warrants Nov 2018 a 60,000,000 2018/05/21 2018/11/30 24.9014060 sg issuer – Country garden european Warrants Nov 2018 a 60,000,000 2018/05/21 2018/11/30 15.3014024 sg issuer – Ch gas Hold eu Wt Nov 2018 a 30,000,000 2018/05/21 2018/11/20 15.3014025 sg issuer – Ch gas Hold eu Wt Dec 2018 a 30,000,000 2018/05/21 2018/12/05 10.8014007 sg issuer – China lit european Warrants Jun 2019 a 100,000,000 2018/05/21 2019/06/28 25.0014016 sg issuer – CsPC Pharma european Warrants Oct 2018 B 40,000,000 2018/05/21 2018/10/31 13.4014017 sg issuer – CsPC Pharma european Warrants Nov 2018 B 40,000,000 2018/05/21 2018/11/30 10.0014030 sg issuer – China Unicom european Warrants Nov 2018 B 13,000,000 2018/05/21 2018/11/30 10.01

MaiN BOarD WarraNts



14033 sg issuer – China Unicom european Put Warrants Nov 2018 C 12,000,000 2018/05/21 2018/11/30 10.0814038 sg issuer – geely auto european Warrants sep 2018 C 60,000,000 2018/05/21 2018/09/28 10.2014039 sg issuer – geely auto european Put Warrants Oct 2018 a 50,000,000 2018/05/21 2018/10/31 10.0014056 sg issuer – HsCei european Put Warrants sep 2018 B 70,000,000 2018/05/21 2018/09/27 12.6014057 sg issuer – Hsi european Put Warrants aug 2018 g 100,000,000 2018/05/21 2018/08/30 15.0014043 sg issuer – sands China european Put Warrants Nov 2018 B 40,000,000 2018/05/21 2018/11/30 12.0014048 sg issuer – sHk Ppt european Warrants Dec 2018 a 13,000,000 2018/05/21 2018/12/31 10.0114054 sg issuer – sunny Optical european Warrants Dec 2018 a 60,000,000 2018/05/21 2018/12/31 15.0014049 sg issuer – sunny Optical european Put Warrants Nov 2018 B 60,000,000 2018/05/21 2018/11/30 12.9014055 sg issuer – Wharf reic european Warrants Dec 2018 a 18,000,000 2018/05/21 2018/12/31 10.0813959 UBs ag – aaC tech european Put Warrants Mar 2019 a 100,000,000 2018/05/21 2019/03/18 20.6013963 UBs ag – aia european Warrants Nov 2018 a 100,000,000 2018/05/21 2018/11/20 29.5013978 UBs ag – sinopec Corp european Warrants Oct 2018 a 35,000,000 2018/05/21 2018/10/23 10.2913989 UBs ag – Nine Dragons Paper european Warrants Nov 2018 B 70,000,000 2018/05/21 2018/11/26 17.5013961 UBs ag – PetroChina european Put Warrants Nov 2018 B 40,000,000 2018/05/21 2018/11/20 18.0013969 UBs ag – sunny Optical european Warrants sep 2018 C 100,000,000 2018/05/21 2018/09/20 16.3013937 Bank Vontobel – China Mobile european Warrants Dec 2018 a 40,000,000 2018/05/21 2018/12/03 13.2813939 Bank Vontobel – sinopec Corp european Warrants Dec 2018 a 30,000,000 2018/05/21 2018/12/03 11.3113938 Bank Vontobel – HkeX european Put Warrants Dec 2018 e 100,000,000 2018/05/21 2018/12/24 17.4013936 Bank Vontobel – MtrC european Warrants Dec 2018 a 40,000,000 2018/05/21 2018/12/27 10.4014061 BNP Paribas issuance B.V. – CsPC Pharma euro Wts Dec 2018 a 50,000,000 2018/05/23 2018/12/04 14.0014065 BNP Paribas issuance B.V. – CsPC Pharma euro Wts Jan 2019 a 50,000,000 2018/05/23 2019/01/03 13.5014144 Credit suisse ag – China eB int’l european Wts Dec 2018 a 40,000,000 2018/05/23 2018/12/31 10.0014146 Credit suisse ag – CgN Power european Warrants sep 2018 a 70,000,000 2018/05/23 2018/09/28 10.5014142 Credit suisse ag – CM Bank european Warrants sep 2018 B 70,000,000 2018/05/23 2018/09/20 10.5014141 Credit suisse ag – HsCei etF european Warrants Oct 2018 a 30,000,000 2018/05/23 2018/10/31 11.7014143 Credit suisse ag – kB laminates european Warrants Dec 2018 a 60,000,000 2018/05/23 2018/12/31 15.0014150 goldman sachs sP (asia) – aaC tech euro Wts aug 2018 D 70,000,000 2018/05/23 2018/08/29 10.5014151 goldman sachs sP (asia) – aia european Put Wts Oct 2018 C 60,000,000 2018/05/23 2018/10/24 12.1814147 goldman sachs sP (asia) – sinopec Corp euro Wts Oct 2018 a 60,000,000 2018/05/23 2018/10/23 15.0014148 goldman sachs sP (asia) – HsBC european Warrants sep 2018 e 80,000,000 2018/05/23 2018/09/20 12.0014172 goldman sachs sP (asia) – Hsi european Warrants sep 2018 F 150,000,000 2018/05/23 2018/09/27 22.5014178 goldman sachs sP (asia) – Hsi european Put Wts aug 2018 k 150,000,000 2018/05/23 2018/08/30 22.5014069 Hk Bank – aia european Warrants Nov 2018 a 50,000,000 2018/05/23 2018/11/30 15.0014083 Hk Bank – China gas Hold european Warrants Nov 2018 a 50,000,000 2018/05/23 2018/11/30 12.5014074 Hk Bank – China lit european Warrants Nov 2018 a 25,000,000 2018/05/23 2018/11/30 10.0014081 Hk Bank – CsOP a50 etF european Warrants Jun 2019 a 200,000,000 2018/05/23 2019/06/27 30.0014082 Hk Bank – a50 China european Warrants Jul 2019 a 200,000,000 2018/05/23 2019/07/02 30.0014067 Hk Bank – Hsi european Put Warrants aug 2018 l 150,000,000 2018/05/23 2018/08/30 22.5014129 Haitong int’l sec – CsPC Pharma european Warrants sep 2018 D 40,000,000 2018/05/23 2018/09/28 15.6014133 Haitong int’l sec – CsPC Pharma european Warrants Dec 2018 B 40,000,000 2018/05/23 2018/12/31 18.8014134 Haitong int’l sec – CsPC Pharma european Warrants Dec 2018 C 40,000,000 2018/05/23 2018/12/18 15.2014137 Haitong int’l sec – CsPC Pharma european Warrants Feb 2019 a 40,000,000 2018/05/23 2019/02/18 14.8014128 Haitong int’l sec – CsPC Pharma european Put Warrants Dec 18 a 28,000,000 2018/05/23 2018/12/31 10.92

MaiN BOarD WarraNts



14094 Macquarie Bank ltd. – anta sports european Wts Jun 2019 a 12,500,000 2018/05/23 2019/06/14 10.0814091 Macquarie Bank ltd. – CkH european Put Warrants Jan 2019 B 21,000,000 2018/05/23 2019/01/03 10.0214093 Macquarie Bank ltd. – CM Bank european Put Warrants Jan 19 a 25,000,000 2018/05/23 2019/01/03 10.2314089 Macquarie Bank ltd. – China tel european Warrants apr 2019 a 40,000,000 2018/05/23 2019/04/02 10.0014085 Macquarie Bank ltd. – MtrC european Warrants apr 2019 a 40,000,000 2018/05/23 2019/04/02 10.0814088 Macquarie Bank ltd. – New World Dev european Wts Dec 2018 a 20,000,000 2018/05/23 2018/12/04 10.1814152 sg issuer – CsPC Pharma european Warrants sep 2018 C 50,000,000 2018/05/23 2018/09/21 21.0014156 sg issuer – Hsi european Put Warrants Nov 2018 D 100,000,000 2018/05/23 2018/11/29 15.0014153 sg issuer – tencent european Warrants aug 2018 g 200,000,000 2018/05/23 2018/08/31 30.0014155 sg issuer – Za Onine european Warrants Nov 2018 a 13,000,000 2018/05/23 2018/11/22 10.0114096 UBs ag – CsPC Pharma european Warrants sep 2018 C 60,000,000 2018/05/23 2018/09/28 30.6614103 UBs ag – CsPC Pharma european Warrants sep 2018 D 60,000,000 2018/05/23 2018/09/24 15.1814097 UBs ag – CsPC Pharma european Warrants Oct 2018 D 60,000,000 2018/05/23 2018/10/05 22.7414105 UBs ag – CsPC Pharma european Warrants Nov 2018 D 60,000,000 2018/05/23 2018/11/07 21.3014104 UBs ag – Fosun Pharma european Warrants Nov 2018 a 15,000,000 2018/05/23 2018/11/26 11.3914213 BNP Paribas issuance B.V. – anta sports euro Wt Dec 2018 a 40,000,000 2018/05/24 2018/12/04 16.8014212 BNP Paribas issuance B.V. – genscript Bio euro Wts Jan 2019 a 40,000,000 2018/05/24 2019/01/03 28.8014226 Credit suisse ag – Bank of China european Warrants Oct 2018 C 60,000,000 2018/05/24 2018/10/31 10.2014223 Credit suisse ag – CsPC Pharma european Warrants sep 2018 D 40,000,000 2018/05/24 2018/09/24 10.8014225 Credit suisse ag – CsPC Pharma european Warrants Oct 2018 B 40,000,000 2018/05/24 2018/10/22 18.0014229 Credit suisse ag – a50 China european Warrants Jun 2019 a 150,000,000 2018/05/24 2019/06/21 22.5014227 Credit suisse ag – Za Onine european Warrants Nov 2018 a 20,000,000 2018/05/24 2018/11/23 14.0014245 goldman sachs sP (asia) – CkH Holdings european Wts Nov 18 a 60,000,000 2018/05/24 2018/11/29 16.1414246 goldman sachs sP (asia) – Minsheng Bank euro Wts Oct 2018 a 40,000,000 2018/05/24 2018/10/24 11.6814249 goldman sachs sP (asia) – lenovo european Wts Oct 2018 a 60,000,000 2018/05/24 2018/10/25 12.9014253 goldman sachs sP (asia) – Ping an european Wts Oct 2018 C 100,000,000 2018/05/24 2018/10/26 32.4014247 goldman sachs sP (asia) – sunny Optical euro Wts sep 2018 C 70,000,000 2018/05/24 2018/09/20 10.5014211 Hk Bank – agricultural Bank european Warrants Nov 2018 B 50,000,000 2018/05/24 2018/11/30 12.5014205 Hk Bank – Bank of China european Warrants Nov 2018 a 50,000,000 2018/05/24 2018/11/30 12.5014210 Hk Bank – CC Bank european Warrants Nov 2018 a 50,000,000 2018/05/24 2018/11/30 17.5014204 Hk Bank – China lit european Warrants Jun 2019 a 150,000,000 2018/05/24 2019/06/28 37.5014198 Hk Bank – iCBC european Warrants Nov 2018 a 50,000,000 2018/05/24 2018/11/30 12.5014285 Haitong int’l sec – Hsi european Warrants Oct 2018 a 200,000,000 2018/05/24 2018/10/30 30.6014284 Haitong int’l sec – Hsi european Warrants Jan 2019 B 200,000,000 2018/05/24 2019/01/30 39.0014287 Haitong int’l sec – Hsi european Warrants Mar 2019 a 200,000,000 2018/05/24 2019/03/28 40.0014281 Haitong int’l sec – Hsi european Put Warrants Nov 2018 a 200,000,000 2018/05/24 2018/11/29 37.2014279 Haitong int’l sec – Hsi european Put Warrants Jan 2019 a 150,000,000 2018/05/24 2019/01/30 27.0014266 Haitong int’l sec – igg european Warrants Nov 2018 a 50,000,000 2018/05/24 2018/11/26 12.5014267 Haitong int’l sec – igg european Warrants Nov 2018 B 50,000,000 2018/05/24 2018/11/26 13.5014268 Haitong int’l sec – igg european Put Warrants Nov 2018 C 50,000,000 2018/05/24 2018/11/26 12.5014275 Haitong int’l sec – lee & Man Paper european Warrants Feb 19 a 50,000,000 2018/05/24 2019/02/28 13.5014277 Haitong int’l sec – ND Paper european Warrants Feb 2019 a 50,000,000 2018/05/24 2019/02/18 15.5014233 J P Morgan sP BV – CNBM european Warrants Oct 2018 a 40,000,000 2018/05/24 2018/10/16 29.5614244 J P Morgan sP BV – CsPC Pharma european Warrants Oct 2018 a 60,000,000 2018/05/24 2018/10/31 22.92

MaiN BOarD WarraNts



14236 J P Morgan sP BV – ND Paper european Warrants Mar 2019 a 80,000,000 2018/05/24 2019/03/01 20.1614183 Macquarie Bank ltd. – genscript Bio european Warrants Jul 19 a 15,000,000 2018/05/24 2019/07/12 12.3214184 Macquarie Bank ltd. – sHk Ppt european Warrants Feb 2019 a 19,000,000 2018/05/24 2019/02/04 10.2214185 Macquarie Bank ltd. – sHk Ppt european Put Wts Feb 2019 B 19,000,000 2018/05/24 2019/02/04 10.0714258 sg issuer – Conch Cement european Warrants Nov 2018 a 25,000,000 2018/05/24 2018/11/30 10.2514263 sg issuer – CkH Holdings european Warrants Nov 2018 a 30,000,000 2018/05/24 2018/11/30 13.9514254 sg issuer – CNBM european Warrants sep 2018 B 10,000,000 2018/05/24 2018/09/28 10.8014262 sg issuer – CrCC european Warrants Nov 2018 a 16,000,000 2018/05/24 2018/11/30 10.0814257 sg issuer – CsPC Pharma european Warrants sep 2018 D 50,000,000 2018/05/24 2018/09/21 10.2514265 sg issuer – kingdee intl european Warrants sep 2018 a 10,000,000 2018/05/24 2018/09/28 10.5014218 UBs ag – CitiC Bank european Warrants Nov 2018 a 70,000,000 2018/05/24 2018/11/23 17.5014219 UBs ag – China south air european Warrants sep 2018 a 14,000,000 2018/05/24 2018/09/24 10.0214215 UBs ag – kingdee intl european Warrants Mar 2019 a 100,000,000 2018/05/24 2019/03/22 18.8014179 Bank Vontobel – HkeX european Warrants May 2019 a 100,000,000 2018/05/24 2019/05/31 25.3014197 Bank Vontobel – sUNaC european Warrants sep 2018 a 30,000,000 2018/05/24 2018/09/17 13.0814294 BNP Paribas issuance B.V. – tencent european Wts Oct 2018 i 80,000,000 2018/05/25 2018/10/03 24.0014289 BNP Paribas issuance B.V. – tencent european Wts Jan 2019 J 80,000,000 2018/05/25 2019/01/03 20.0014290 BNP Paribas issuance B.V. – tencent european Wts apr 2019 g 80,000,000 2018/05/25 2019/04/02 31.2014295 BNP Paribas issuance B.V. – tencent eu Put Wt Jan 2019 k 80,000,000 2018/05/25 2019/01/03 24.0014372 goldman sachs sP (asia) – China Unicom euro Wts aug 2018 B 60,000,000 2018/05/25 2018/08/27 47.2214377 goldman sachs sP (asia) – Ping an european Wts sep 2018 k 100,000,000 2018/05/25 2018/09/20 17.6014378 goldman sachs sP (asia) – sands China ltd euro Wts Oct 2018 a 80,000,000 2018/05/25 2018/10/24 18.9614368 goldman sachs sP (asia) – tencent european Wt Oct 2018 g 150,000,000 2018/05/25 2018/10/26 22.5014367 goldman sachs sP (asia) – tencent european Wt Nov 2018 C 150,000,000 2018/05/25 2018/11/27 42.9014313 Hk Bank – evergrande european Warrants Nov 2018 B 40,000,000 2018/05/25 2018/11/30 11.2014322 Hk Bank – Hsi european Warrants Nov 2018 C 150,000,000 2018/05/25 2018/11/29 37.5014324 Hk Bank – Hsi european Warrants Dec 2018 B 150,000,000 2018/05/25 2018/12/28 22.5014320 Hk Bank – Hsi european Put Warrants Nov 2018 B 150,000,000 2018/05/25 2018/11/29 37.5014315 Hk Bank – sMiC european Warrants Jan 2019 a 100,000,000 2018/05/25 2019/01/11 15.0014330 Haitong int’l sec – CsPC Pharma european Warrants sep 2018 e 50,000,000 2018/05/25 2018/09/21 11.5014329 Haitong int’l sec – CsPC Pharma european Warrants Nov 2018 D 50,000,000 2018/05/25 2018/11/26 20.5014328 Haitong int’l sec – CsPC Pharma european Put Wts Dec 2018 D 50,000,000 2018/05/25 2018/12/31 22.5014347 Haitong int’l sec – li Ning european Warrants Mar 2019 C 50,000,000 2018/05/25 2019/03/01 10.5014344 Haitong int’l sec – Meitu european Warrants Mar 2019 a 80,000,000 2018/05/25 2019/03/28 20.8014342 Haitong int’l sec – NCi european Warrants Nov 2018 a 40,000,000 2018/05/25 2018/11/26 12.0014343 Haitong int’l sec – PiCC group european Warrants Nov 2018 B 25,000,000 2018/05/25 2018/11/26 10.2514331 Haitong int’l sec – Ping an european Warrants Oct 2018 C 80,000,000 2018/05/25 2018/10/26 39.2014333 Haitong int’l sec – Ping an european Warrants Oct 2018 D 80,000,000 2018/05/25 2018/10/26 28.0014336 Haitong int’l sec – Ping an european Warrants Oct 2018 e 80,000,000 2018/05/25 2018/10/29 16.8014352 J P Morgan sP BV – genscript Bio european Warrants Dec 2018 a 40,000,000 2018/05/25 2018/12/03 21.6014350 J P Morgan sP BV – link reit european Warrants Dec 2018 a 50,000,000 2018/05/25 2018/12/03 12.6014326 Macquarie Bank ltd. – China Huarong european Wts Mar 2019 a 20,000,000 2018/05/25 2019/03/18 10.0014311 Macquarie Bank ltd. – CrPH european Warrants Jun 2019 a 39,000,000 2018/05/25 2019/06/14 10.1414327 Macquarie Bank ltd. – CsPC Pharma european Wts Dec 2018 B 35,000,000 2018/05/25 2018/12/03 10.01

MaiN BOarD WarraNts



14354 sg issuer – CitiC sec european Warrants Dec 2018 B 70,000,000 2018/05/25 2018/12/31 10.5014355 sg issuer – Hsi european Put Warrants Nov 2018 e 100,000,000 2018/05/25 2018/11/29 15.0014360 UBs ag – 3sBiO european Warrants Oct 2018 a 30,000,000 2018/05/25 2018/10/24 10.9814363 UBs ag – agile Ppt european Warrants Dec 2018 a 40,000,000 2018/05/25 2018/12/17 10.6414358 UBs ag – BaiC Motor european Warrants sep 2019 a 40,000,000 2018/05/25 2019/09/30 10.0014364 UBs ag – Country garden european Warrants Jan 2019 a 60,000,000 2018/05/25 2019/01/21 10.6814365 UBs ag – China res Beer european Warrants Oct 2018 a 30,000,000 2018/05/25 2018/10/25 10.6214361 UBs ag – Crphoenixhealth european Warrants Dec 2018 a 40,000,000 2018/05/25 2018/12/24 10.0014357 UBs ag – China travel Hk european Warrants Dec 2018 a 15,000,000 2018/05/25 2018/12/24 10.8214301 Bank Vontobel – CM Bank european Warrants Dec 2018 a 40,000,000 2018/05/25 2018/12/04 10.0414310 Bank Vontobel – Power assets european Warrants Nov 2018 a 30,000,000 2018/05/25 2018/11/30 11.4914307 Bank Vontobel – sands China european Warrants Dec 2018 a 40,000,000 2018/05/25 2018/12/04 10.4014306 Bank Vontobel – sHk Ppt european Warrants Dec 2018 a 30,000,000 2018/05/25 2018/12/03 17.1014300 Bank Vontobel – Wharf Holdings european Warrants Dec 2018 a 40,000,000 2018/05/25 2018/12/04 14.0412334 # Credit suisse ag – CsPC Pharma european Warrants sep 2018 B 40,000,000 2018/05/25 2018/09/28 15.8014418 BOCi asia ltd. – CNOOC european Warrants Nov 2018 a 50,000,000 2018/05/28 2018/11/28 18.5514419 BOCi asia ltd. – sinopec Corp european Warrants Nov 2018 a 60,000,000 2018/05/28 2018/11/30 15.2414421 BOCi asia ltd. – China shenhua european Warrants Nov 2018 a 80,000,000 2018/05/28 2018/11/27 12.0014414 BOCi asia ltd. – PetroChina european Warrants Nov 2018 B 60,000,000 2018/05/28 2018/11/29 15.0614410 BOCi asia ltd. – PsBC european Warrants Oct 2018 a 50,000,000 2018/05/28 2018/10/24 16.0514470 BOCi asia ltd. – Yanzhou Coal european Warrants Dec 2018 C 70,000,000 2018/05/28 2018/12/10 10.5014448 BNP Paribas issuance B.V. – CNOOC european Wts Jan 2019 B 40,000,000 2018/05/28 2019/01/03 22.0014467 BNP Paribas issuance B.V. – PetroChina euro Wts Jan 2019 B 40,000,000 2018/05/28 2019/01/03 12.8014462 BNP Paribas issuance B.V. – sino Biopharm euro Wts Jan 2019 a 40,000,000 2018/05/28 2019/01/03 11.6014424 Credit suisse ag – BaiC Motor european Warrants Jul 2019 a 80,000,000 2018/05/28 2019/07/31 20.0014527 goldman sachs sP (asia) – CC Bank european Wts sep 2018 e 80,000,000 2018/05/28 2018/09/24 23.4414525 goldman sachs sP (asia) – greatwall Motor eur Wts Dec 2019 a 70,000,000 2018/05/28 2019/12/20 10.5014533 goldman sachs sP (asia) – Ping an european Wts Oct 2018 D 100,000,000 2018/05/28 2018/10/24 26.1014534 goldman sachs sP (asia) – tencent european Put Wt Oct 2018 H 100,000,000 2018/05/28 2018/10/30 15.0014479 J P Morgan sP BV – CitiC Bank european Warrants Oct 2018 a 100,000,000 2018/05/28 2018/10/31 36.7014515 J P Morgan sP BV – Mapleleaf edu european Warrants Dec 2018 a 50,000,000 2018/05/28 2018/12/03 12.8014500 J P Morgan sP BV – Chinares Pharma european Warrants Jan 19 a 60,000,000 2018/05/28 2019/01/31 10.1414489 J P Morgan sP BV – Chi res Power european Wts May 2019 a 50,000,000 2018/05/28 2019/05/03 12.5514486 J P Morgan sP BV – trad Chi Med european Warrants Oct 2018 a 50,000,000 2018/05/28 2018/10/15 34.7014503 J P Morgan sP BV – r&F Ppt european Warrants Nov 2018 a 60,000,000 2018/05/28 2018/11/09 11.6414498 J P Morgan sP BV – Hua Hong semi european Warrants Nov 2018 a 50,000,000 2018/05/28 2018/11/06 15.9014506 J P Morgan sP BV – logan PPt european Warrants Mar 2019 a 50,000,000 2018/05/28 2019/03/01 12.5514482 J P Morgan sP BV – Maanshan iron european Warrants Dec 2018 a 60,000,000 2018/05/28 2018/12/03 23.3414487 J P Morgan sP BV – Minth group european Warrants Dec 2018 a 50,000,000 2018/05/28 2018/12/03 19.1514522 J P Morgan sP BV – PetroChina european Warrants Dec 2018 B 100,000,000 2018/05/28 2018/12/03 25.1014514 J P Morgan sP BV – PetroChina european Put Warrants Dec 18 a 100,000,000 2018/05/28 2018/12/03 28.4014504 J P Morgan sP BV – sino-Ocean gp european Warrants Dec 2018 a 30,000,000 2018/05/28 2018/12/03 12.3914484 J P Morgan sP BV – sihuan Pharm european Warrants Dec 2018 a 50,000,000 2018/05/28 2018/12/03 17.7514474 J P Morgan sP BV – Want Want Ch european Warrants Nov 2018 a 50,000,000 2018/05/28 2018/11/30 39.45

MaiN BOarD WarraNts



14509 J P Morgan sP BV – YOFC european Warrants Dec 2018 a 50,000,000 2018/05/28 2018/12/31 35.8514492 J P Morgan sP BV – YuHua edu european Warrants Dec 2019 a 50,000,000 2018/05/28 2019/12/02 12.6514401 Macquarie Bank ltd. – Brilliance Chi euro Wts Dec 2018 a 40,000,000 2018/05/28 2018/12/31 10.3214399 Macquarie Bank ltd. – Brilliance Chi euro Wts Mar 2019 a 40,000,000 2018/05/28 2019/03/15 10.2014397 Macquarie Bank ltd. – ClP european Warrants Dec 2018 a 32,000,000 2018/05/28 2018/12/14 10.5014394 Macquarie Bank ltd. – PsBC european Warrants Mar 2019 a 21,000,000 2018/05/28 2019/03/15 10.1614444 sg issuer – CNOOC european Warrants Oct 2018 B 20,000,000 2018/05/28 2018/10/31 11.0014447 sg issuer – CNOOC european Put Warrants Nov 2018 C 20,000,000 2018/05/28 2018/11/30 11.0014458 sg issuer – PetroChina european Warrants sep 2018 C 50,000,000 2018/05/28 2018/09/28 10.5014465 sg issuer – tencent european Warrants sep 2018 J 200,000,000 2018/05/28 2018/09/28 30.0014468 sg issuer – Yanzhou Coal eu Wt sep 2018 C 80,000,000 2018/05/28 2018/09/28 12.0014427 UBs ag – CNOOC european Warrants Oct 2018 B 40,000,000 2018/05/28 2018/10/26 17.0814425 UBs ag – CNOOC european Warrants Nov 2018 a 40,000,000 2018/05/28 2018/11/27 12.2814441 UBs ag – CNOOC european Put Warrants Oct 2019 a 100,000,000 2018/05/28 2019/10/14 25.0014435 UBs ag – sinopec Corp european Warrants Nov 2018 a 50,000,000 2018/05/28 2018/11/27 12.7514440 UBs ag – kunlun energy european Warrants Nov 2018 a 25,000,000 2018/05/28 2018/11/27 10.7014429 UBs ag – PetroChina european Warrants Nov 2018 C 70,000,000 2018/05/28 2018/11/27 17.5014392 Bank Vontobel – CHalCO european Warrants Dec 2018 a 20,000,000 2018/05/28 2018/12/27 15.1814387 Bank Vontobel – New World Dev european Warrants Dec 2018 a 15,000,000 2018/05/28 2018/12/31 10.0514389 Bank Vontobel – PetroChina european Warrants Nov 2018 B 50,000,000 2018/05/28 2018/11/27 18.5014423 Bank Vontobel – swire Pacific a european Warrants Oct 2018 B 30,000,000 2018/05/28 2018/10/22 10.5914391 Bank Vontobel – Zijin Mining european Warrants Dec 2018 a 30,000,000 2018/05/28 2018/12/03 11.7314626 Credit suisse ag – BJ ent Water european Warrants Nov 2018 a 20,000,000 2018/05/29 2018/11/28 10.4014601 Credit suisse ag – sinopec Corp european Warrants Nov 2018 a 50,000,000 2018/05/29 2018/11/28 13.5014603 Credit suisse ag – genscript Bio european Warrants Nov 2018 B 30,000,000 2018/05/29 2018/11/28 16.5014629 Credit suisse ag – genscript Bio european Warrants Nov 2018 C 30,000,000 2018/05/29 2018/11/28 21.6014625 Credit suisse ag – Maanshan iron european Warrants Nov 2018 a 30,000,000 2018/05/29 2018/11/28 10.2014656 goldman sachs sP (asia) – aaC tech euro Wts Dec 2018 a 70,000,000 2018/05/29 2018/12/24 10.5014650 goldman sachs sP (asia) – PetroChina european Wts sep 2018 B 80,000,000 2018/05/29 2018/09/26 12.0014654 goldman sachs sP (asia) – sHk Ppt european Wts sep 2018 a 40,000,000 2018/05/29 2018/09/14 10.4814657 goldman sachs sP (asia) – stanchart european Wts sep 2018 a 50,000,000 2018/05/29 2018/09/24 10.0014662 goldman sachs sP (asia) – Yanzhou Coal euro Wts sep 2018 D 70,000,000 2018/05/29 2018/09/20 10.5014593 Hk Bank – aaC tech european Warrants Dec 2018 a 100,000,000 2018/05/29 2018/12/03 25.0014537 Haitong int’l sec – China travel Hk european Warrants Dec 18 a 32,000,000 2018/05/29 2018/12/18 10.8814550 Haitong int’l sec – genscript Bio european Warrants Dec 18 a 30,000,000 2018/05/29 2018/12/03 17.1014539 Haitong int’l sec – sihuan Pharm european Warrants Dec 2018 a 30,000,000 2018/05/29 2018/12/18 15.3014548 Haitong int’l sec – sinotrans european Warrants Dec 2018 a 30,000,000 2018/05/29 2018/12/18 15.9014536 Haitong int’l sec – Want Want China european Warrants Dec 18 B 18,000,000 2018/05/29 2018/12/18 11.7014581 Macquarie Bank ltd. – China life european Wts Jan 2019 B 10,500,000 2018/05/29 2019/01/03 10.0514578 Macquarie Bank ltd. – China life european Wts Feb 2019 a 40,000,000 2018/05/29 2019/02/04 10.0014595 Macquarie Bank ltd. – sinopec Corp euro Put Wts Dec 2018 B 25,000,000 2018/05/29 2018/12/04 10.1514575 Macquarie Bank ltd. – COsCO ship Hold european Wts apr 19 a 13,000,000 2018/05/29 2019/04/02 10.1114588 Macquarie Bank ltd. – PetroChina european Wts Jan 2019 B 34,000,000 2018/05/29 2019/01/03 10.1314596 Macquarie Bank ltd. – tencent european Warrants Dec 2018 g 40,000,000 2018/05/29 2018/12/24 10.00

MaiN BOarD WarraNts



14597 Macquarie Bank ltd. – tencent european Warrants Dec 2018 H 30,000,000 2018/05/29 2018/12/24 17.3114554 sg issuer – China Coal european Warrants Nov 2018 a 30,000,000 2018/05/29 2018/11/30 10.2014607 sg issuer – CitiC Bank european Warrants Nov 2018 a 26,000,000 2018/05/29 2018/11/30 10.0114608 sg issuer – COsCO ship Hold european Warrants Dec 2018 a 20,000,000 2018/05/29 2018/12/31 14.2014609 sg issuer – iCBC european Warrants Oct 2018 a 60,000,000 2018/05/29 2018/10/31 19.2014615 sg issuer – kingdee intl european Warrants Nov 2018 a 10,000,000 2018/05/29 2018/11/30 10.0014616 sg issuer – Ping an european Warrants sep 2018 g 80,000,000 2018/05/29 2018/09/28 16.4014620 sg issuer – Ping an european Warrants Oct 2018 B 80,000,000 2018/05/29 2018/10/31 32.4014621 sg issuer – sands China european Warrants Nov 2018 C 40,000,000 2018/05/29 2018/11/30 10.0014565 sg issuer – tencent european Warrants aug 2018 H 20,000,000 2018/05/29 2018/08/31 37.8014567 sg issuer – tencent european Warrants aug 2018 i 20,000,000 2018/05/29 2018/08/31 16.8014572 sg issuer – tencent european Warrants Dec 2018 C 200,000,000 2018/05/29 2018/12/31 30.0014574 sg issuer – tencent european Warrants sep 2019 a 200,000,000 2018/05/29 2019/09/30 77.0014571 sg issuer – tencent european Put Warrants sep 2018 k 150,000,000 2018/05/29 2018/09/28 30.7514643 UBs ag – Mtr Corporation european Warrants Jan 2019 a 70,000,000 2018/05/29 2019/01/28 23.5214637 UBs ag – sino Biopharm european Warrants Nov 2018 a 40,000,000 2018/05/29 2018/11/23 12.6814644 UBs ag – Wynn Macau european Warrants Nov 2018 a 70,000,000 2018/05/29 2018/11/28 22.4714746 Credit suisse ag – Mapleleaf edu european Warrants Nov 2018 a 50,000,000 2018/05/30 2018/11/29 16.5014753 Credit suisse ag – Huaneng Power european Warrants Nov 2018 a 30,000,000 2018/05/30 2018/11/29 13.2014823 Credit suisse ag – kingdee int’l european Warrants Feb 2019 B 60,000,000 2018/05/30 2019/02/28 15.0014742 Credit suisse ag – tencent euro Put Wts sep 2018 g 100,000,000 2018/05/30 2018/09/28 21.0014745 Credit suisse ag – Want Want european Warrants Nov 2018 a 20,000,000 2018/05/30 2018/11/29 15.6014841 goldman sachs sP (asia) – China shenhua euro Wts sep 2018 B 70,000,000 2018/05/30 2018/09/18 10.5014855 goldman sachs sP (asia) – galaxy ent european Wts sep 2018 C 80,000,000 2018/05/30 2018/09/24 25.3614824 goldman sachs sP (asia) – keCl european Warrants sep 2018 B 50,000,000 2018/05/30 2018/09/20 14.3014849 goldman sachs sP (asia) – kingsoft european Wts sep 2018 B 60,000,000 2018/05/30 2018/09/21 10.0814850 goldman sachs sP (asia) – Za Onine european Warrants Nov 18 a 30,000,000 2018/05/30 2018/11/15 15.0014720 Haitong int’l sec – Mapleleaf edu european Warrants Nov 18 a 50,000,000 2018/05/30 2018/11/30 15.5014755 Haitong int’l sec – goodbaby intl european Warrants Dec 18 a 12,000,000 2018/05/30 2018/12/31 11.6414757 Haitong int’l sec – H&H intl Hldg european Warrants Mar 20 a 80,000,000 2018/05/30 2020/03/30 20.0014719 Haitong int’l sec – Maanshan iron european Wts Nov 2018 a 30,000,000 2018/05/30 2018/11/30 12.0014721 Haitong int’l sec – sands China european Warrants Nov 2018 a 40,000,000 2018/05/30 2018/11/30 10.8014727 Haitong int’l sec – YuHua edu european Warrants Dec 2019 B 80,000,000 2018/05/30 2019/12/31 20.0014740 J P Morgan sP BV – Bank of China european Warrants Nov 2018 a 100,000,000 2018/05/30 2018/11/30 15.0014737 J P Morgan sP BV – Fosun Pharma european Warrants Dec 2018 a 25,000,000 2018/05/30 2018/12/03 12.0014730 J P Morgan sP BV – Hsi european Put Warrants Dec 2018 D 300,000,000 2018/05/30 2018/12/28 75.3014731 J P Morgan sP BV – Hsi european Put Warrants Dec 2018 e 300,000,000 2018/05/30 2018/12/28 75.3014739 J P Morgan sP BV – iCBC european Warrants Dec 2018 a 100,000,000 2018/05/30 2018/12/03 25.1014738 J P Morgan sP BV – New World Dev european Wts Dec 2018 a 30,000,000 2018/05/30 2018/12/04 13.6214736 J P Morgan sP BV – sino Biopharm european Warrants Dec 2018 a 40,000,000 2018/05/30 2018/12/31 10.0814741 J P Morgan sP BV – WH group european Warrants Oct 2018 a 60,000,000 2018/05/30 2018/10/12 26.7014701 Macquarie Bank ltd. – CiCC european Warrants Jan 2019 a 40,000,000 2018/05/30 2019/01/15 10.2814710 Macquarie Bank ltd. – CrCC european Put Warrants Jan 2019 B 12,000,000 2018/05/30 2019/01/03 10.7814664 Macquarie Bank ltd. – Haitong sec european Wts May 2019 a 8,000,000 2018/05/30 2019/05/02 10.38

MaiN BOarD WarraNts



14709 Macquarie Bank ltd. – sands China european Wts Jan 2019 B 5,000,000 2018/05/30 2019/01/03 10.8514666 Macquarie Bank ltd. – tencent european Warrants Jan 2019 C 10,000,000 2018/05/30 2019/01/02 10.0014672 Macquarie Bank ltd. – tencent european Warrants Jan 2019 D 7,000,000 2018/05/30 2019/01/02 11.6814696 Macquarie Bank ltd. – tencent european Warrants Jan 2019 e 7,500,000 2018/05/30 2019/01/02 20.4614669 Macquarie Bank ltd. – Za Onine european Warrants Mar 2019 a 10,000,000 2018/05/30 2019/03/15 10.9114767 sg issuer – CaM Csi300 european Warrants aug 2018 a 50,000,000 2018/05/30 2018/08/31 10.7514774 sg issuer – CaM Csi300 european Warrants Dec 2018 a 40,000,000 2018/05/30 2018/12/31 10.0014789 sg issuer – CC Bank european Put Warrants Nov 2018 B 40,000,000 2018/05/30 2018/11/30 12.2014780 sg issuer – China life european Warrants Jul 2019 a 120,000,000 2018/05/30 2019/07/31 18.0014781 sg issuer – Ch Molybdenum european Warrants Nov 2018 B 15,000,000 2018/05/30 2018/11/08 10.5014788 sg issuer – CsOP a50 etF european Warrants Nov 2018 a 25,000,000 2018/05/30 2018/11/30 10.7514777 sg issuer – CsOP a50 etF european Warrants Mar 2019 a 20,000,000 2018/05/30 2019/03/29 21.8014791 sg issuer – gF sec european Warrants sep 2019 a 70,000,000 2018/05/30 2019/09/30 17.5014760 sg issuer – HkeX european Warrants Dec 2018 D 200,000,000 2018/05/30 2018/12/31 30.0014761 sg issuer – HkeX european Warrants Mar 2019 a 200,000,000 2018/05/30 2019/03/29 50.0014792 sg issuer – Haitong sec european Warrants Dec 2018 a 11,000,000 2018/05/30 2018/12/31 10.3414793 sg issuer – Huaneng Power european Warrants Dec 2018 a 20,000,000 2018/05/30 2018/12/31 11.2014794 sg issuer – iCBC european Put Wt Nov 2018 a 40,000,000 2018/05/30 2018/11/30 11.8014785 sg issuer – NCi european Warrants Dec 2018 a 30,000,000 2018/05/30 2018/12/31 12.4514787 sg issuer – Ping an european Warrants Feb 2020 a 500,000,000 2018/05/30 2020/02/28 75.0014763 sg issuer – tencent european Put Warrants Oct 2018 e 150,000,000 2018/05/30 2018/10/31 22.5014821 UBs ag – Ch longYuan european Warrants May 2019 a 65,000,000 2018/05/30 2019/05/24 10.1414815 UBs ag – CNOOC european Warrants Dec 2019 B 70,000,000 2018/05/30 2019/12/20 10.5014796 UBs ag – HkeX european Warrants Oct 2018 e 300,000,000 2018/05/30 2018/10/24 46.2014798 UBs ag – HkeX european Warrants Oct 2018 F 300,000,000 2018/05/30 2018/10/30 61.5014795 UBs ag – HkeX european Warrants Dec 2018 a 300,000,000 2018/05/30 2018/12/24 45.0014808 UBs ag – kunlun energy european Warrants sep 2018 B 45,000,000 2018/05/30 2018/09/21 10.5314801 UBs ag – tencent european Warrants aug 2018 e 300,000,000 2018/05/30 2018/08/29 46.5014802 UBs ag – tencent european Warrants sep 2018 H 300,000,000 2018/05/30 2018/09/24 45.0014807 UBs ag – tencent european Put Warrants sep 2018 i 200,000,000 2018/05/30 2018/09/28 85.8014860 BNP Paribas issuance B.V. – CC Bank euro Wts Jan 2019 D 40,000,000 2018/05/31 2019/01/03 11.2014864 BNP Paribas issuance B.V. – CC Bank euro Wts apr 2019 a 40,000,000 2018/05/31 2019/04/02 10.0014857 BNP Paribas issuance B.V. – HsBC european Wts apr 2019 a 40,000,000 2018/05/31 2019/04/02 15.6014858 BNP Paribas issuance B.V. – HsBC european Wts Jul 2019 B 40,000,000 2018/05/31 2019/07/03 12.8014866 BNP Paribas issuance B.V. – iCBC european Wts Jan 2019 D 40,000,000 2018/05/31 2019/01/03 13.6014865 BNP Paribas issuance B.V. – iCBC european Wts apr 2019 a 40,000,000 2018/05/31 2019/04/02 12.8015022 Credit suisse ag – Bank of China european Warrants Oct 2018 D 60,000,000 2018/05/31 2018/10/12 10.2015139 Credit suisse ag – Cki Holdings european Warrants Nov 2018 a 40,000,000 2018/05/31 2018/11/30 13.2015069 Credit suisse ag – CNOOC european Warrants sep 2019 B 100,000,000 2018/05/31 2019/09/24 18.0015066 Credit suisse ag – China shenhua european Wts Nov 2018 C 70,000,000 2018/05/31 2018/11/23 10.5014986 Credit suisse ag – HkeX european Warrants Oct 2018 e 200,000,000 2018/05/31 2018/10/24 30.0014987 Credit suisse ag – HsBC european Wts sep 2018 B 100,000,000 2018/05/31 2018/09/24 23.0015072 Credit suisse ag – Haitong sec european Warrants Nov 2018 a 25,000,000 2018/05/31 2018/11/30 17.0014994 Credit suisse ag – iCBC european Warrants sep 2018 B 70,000,000 2018/05/31 2018/09/20 11.20

MaiN BOarD WarraNts



15039 Credit suisse ag – NCi european Warrants Nov 2018 a 40,000,000 2018/05/31 2018/11/30 15.2015058 Credit suisse ag – sands China european Warrants sep 2018 a 60,000,000 2018/05/31 2018/09/24 10.2015173 goldman sachs sP (asia) – BOCl european Warrants Oct 2018 e 80,000,000 2018/05/31 2018/10/26 12.0015191 goldman sachs sP (asia) – CNOOC european Warrants Oct 2018 C 80,000,000 2018/05/31 2018/10/24 48.4015187 goldman sachs sP (asia) – a50 China european Wts aug 2018 B 80,000,000 2018/05/31 2018/08/31 16.4815196 goldman sachs sP (asia) – Hsi european Warrants Oct 2018 C 150,000,000 2018/05/31 2018/10/30 22.5015188 goldman sachs sP (asia) – PetroChina european Wts sep 2018 C 80,000,000 2018/05/31 2018/09/26 24.5614966 Hk Bank – China Overseas european Warrants Nov 2018 a 80,000,000 2018/05/31 2018/11/27 12.8014983 Hk Bank – Hsi european Put Warrants sep 2018 H 150,000,000 2018/05/31 2018/09/27 22.5014984 Hk Bank – Hsi european Put Warrants Nov 2018 D 150,000,000 2018/05/31 2018/11/29 22.5015157 J P Morgan sP BV – COsCO sh Hold european Warrants Dec 2018 a 50,000,000 2018/05/31 2018/12/03 19.7015155 J P Morgan sP BV – keCl european Warrants Dec 2018 a 40,000,000 2018/05/31 2018/12/03 13.6415156 J P Morgan sP BV – kingsoft european Warrants Dec 2018 a 60,000,000 2018/05/31 2018/12/31 15.0615146 J P Morgan sP BV – NagaCorp european Warrants May 2019 a 60,000,000 2018/05/31 2019/05/03 15.1215144 J P Morgan sP BV – sUNaC european Warrants Dec 2018 B 60,000,000 2018/05/31 2018/12/03 22.8014938 Macquarie Bank ltd. – Beijing air european Wts apr 2019 a 40,000,000 2018/05/31 2019/04/18 10.0814905 Macquarie Bank ltd. – China Mobile european Wts Dec 2018 a 4,400,000 2018/05/31 2018/12/04 10.0014894 Macquarie Bank ltd. – HkeX european Warrants Dec 2018 C 10,000,000 2018/05/31 2018/12/04 10.4114898 Macquarie Bank ltd. – HkeX european Warrants Dec 2018 D 60,000,000 2018/05/31 2018/12/04 15.0014935 Macquarie Bank ltd. – HkeX european Put Warrants Dec 2018 e 12,000,000 2018/05/31 2018/12/04 10.2214934 Macquarie Bank ltd. – HsBC european Warrants Dec 2018 C 4,100,000 2018/05/31 2018/12/04 10.2114878 Macquarie Bank ltd. – kingsoft european Warrants Dec 2018 B 40,000,000 2018/05/31 2018/12/04 10.0014943 Macquarie Bank ltd. – Ping an european Warrants Dec 2018 a 17,000,000 2018/05/31 2018/12/04 10.2214950 Macquarie Bank ltd. – Ping an european Warrants Dec 2018 B 30,000,000 2018/05/31 2018/12/04 10.1414958 Macquarie Bank ltd. – Ping an european Warrants Dec 2018 C 37,000,000 2018/05/31 2018/12/04 10.0614900 Macquarie Bank ltd. – sinopharm european Warrants May 2019 a 13,000,000 2018/05/31 2019/05/16 10.0214869 Macquarie Bank ltd. – tencent european Warrants Jan 2019 F 8,500,000 2018/05/31 2019/01/02 34.3514870 Macquarie Bank ltd. – tencent european Warrants Jan 2019 g 9,000,000 2018/05/31 2019/01/02 56.9215262 sg issuer – aia european Warrants aug 2018 B 60,000,000 2018/05/31 2018/08/31 12.3015263 sg issuer – galaxy ent european Warrants Nov 2018 a 40,000,000 2018/05/31 2018/11/30 21.6015265 sg issuer – keCl european Warrants Oct 2018 a 20,000,000 2018/05/31 2018/10/31 10.2015232 sg issuer – Maanshan iron european Warrants sep 2018 a 33,000,000 2018/05/31 2018/09/28 10.0715246 sg issuer – ND Paper european Warrants Nov 2018 a 70,000,000 2018/05/31 2018/11/19 12.6015269 sg issuer – ND Paper european Warrants Nov 2018 B 70,000,000 2018/05/31 2018/11/01 15.4015275 sg issuer – Ping an european Warrants Nov 2018 a 80,000,000 2018/05/31 2018/11/30 35.6015289 sg issuer – Want Want China european Warrants Nov 2018 a 14,000,000 2018/05/31 2018/11/30 10.5015529 BOCi asia ltd. – CC Bank european Warrants sep 2018 e 70,000,000 2018/06/01 2018/09/20 18.2715498 BOCi asia ltd. – CsPC Pharma european Warrants Nov 2018 a 50,000,000 2018/06/01 2018/11/12 14.8015625 Credit suisse ag – Brilliance Chi european Wts Dec 2018 a 40,000,000 2018/06/01 2018/12/03 10.0015589 Credit suisse ag – Ch Molybdenum european Wts Nov 2018 B 30,000,000 2018/06/01 2018/11/08 18.6015599 Credit suisse ag – lenovo european Warrants Oct 2018 a 50,000,000 2018/06/01 2018/10/26 10.0015597 Credit suisse ag – sUNaC european Warrants Dec 2018 a 40,000,000 2018/06/01 2018/12/03 24.0015795 goldman sachs sP (asia) – CNOOC european Warrants sep 2018 a 80,000,000 2018/06/01 2018/09/03 40.0815754 goldman sachs sP (asia) – sinopec Corp euro Wts sep 2018 a 60,000,000 2018/06/01 2018/09/28 10.02

MaiN BOarD WarraNts



15757 goldman sachs sP (asia) – CPiC european Warrants Oct 2018 a 70,000,000 2018/06/01 2018/10/03 10.5015756 goldman sachs sP (asia) – lenovo european Wts Oct 2018 B 60,000,000 2018/06/01 2018/10/26 10.0815773 goldman sachs sP (asia) – Ping an european Wts Oct 2018 e 100,000,000 2018/06/01 2018/10/26 15.0015366 Hk Bank – Meitu european Warrants Feb 2019 a 60,000,000 2018/06/01 2019/02/28 15.0015356 Hk Bank – Za Onine european Warrants Nov 2018 a 35,000,000 2018/06/01 2018/11/30 10.5015295 Haitong int’l sec – ali Pictures european Warrants Dec 2019 a 40,000,000 2018/06/01 2019/12/18 19.6015346 Haitong int’l sec – CaM Csi300 european Warrants Oct 2018 a 60,000,000 2018/06/01 2018/10/24 11.4015348 Haitong int’l sec – CaM Csi300 european Warrants Jun 2019 a 40,000,000 2018/06/01 2019/06/28 11.6015303 Haitong int’l sec – CsOP a50 etF european Warrants Oct 2018 B 30,000,000 2018/06/01 2018/10/25 16.2015331 Haitong int’l sec – a50 China european Warrants Dec 2018 a 30,000,000 2018/06/01 2018/12/03 18.0015565 J P Morgan sP BV – aia european Warrants sep 2018 B 100,000,000 2018/06/01 2018/09/28 25.3015563 J P Morgan sP BV – China life european Warrants Oct 2018 B 100,000,000 2018/06/01 2018/10/02 15.1015566 J P Morgan sP BV – CsPC Pharma european Warrants Dec 2018 a 60,000,000 2018/06/01 2018/12/03 16.6815583 J P Morgan sP BV – Meitu european Warrants Nov 2018 a 100,000,000 2018/06/01 2018/11/30 16.6015533 J P Morgan sP BV – Ping an european Warrants Dec 2018 B 150,000,000 2018/06/01 2018/12/03 37.5015415 Macquarie Bank ltd. – BYD Company european Put Wts Jan 19 a 16,000,000 2018/06/01 2019/01/03 10.0015430 Macquarie Bank ltd. – lenovo european Warrants Feb 2019 a 40,000,000 2018/06/01 2019/02/04 10.5615402 Macquarie Bank ltd. – tencent european Put Wts Dec 2018 i 22,000,000 2018/06/01 2018/12/24 10.0115410 Macquarie Bank ltd. – tencent european Put Wts Jan 2019 H 6,000,000 2018/06/01 2019/01/02 16.4315655 sg issuer – CC Bank european Warrants sep 2018 a 60,000,000 2018/06/01 2018/09/28 18.3015649 sg issuer – CitiC Bank european Warrants Oct 2018 a 23,000,000 2018/06/01 2018/10/31 10.1215666 sg issuer – China life european Warrants Jun 2019 a 120,000,000 2018/06/01 2019/06/28 22.2015696 sg issuer – CNOOC european Warrants sep 2019 a 200,000,000 2018/06/01 2019/09/30 34.0015704 sg issuer – iCBC european Warrants sep 2018 C 60,000,000 2018/06/01 2018/09/28 16.2015746 sg issuer – Maanshan iron european Warrants Nov 2018 a 35,000,000 2018/06/01 2018/11/30 10.1515750 sg issuer – shimao Ppt eu Wt Nov 2018 a 40,000,000 2018/06/01 2018/11/30 10.0015387 UBs ag – Brilliance Chi european Warrants Oct 2018 B 70,000,000 2018/06/01 2018/10/30 12.1815370 UBs ag – Ch longYuan european Warrants Jun 2019 a 50,000,000 2018/06/01 2019/06/24 12.5015384 UBs ag – China res Beer european Warrants Nov 2018 a 25,000,000 2018/06/01 2018/11/09 11.4015397 UBs ag – Chinares Cement european Warrants sep 2019 a 70,000,000 2018/06/01 2019/09/23 17.5015389 UBs ag – CsPC Pharma european Warrants Dec 2018 D 60,000,000 2018/06/01 2018/12/13 16.2015388 UBs ag – PetroChina european Warrants Nov 2018 D 70,000,000 2018/06/01 2018/11/22 22.5415375 UBs ag – tencent european Warrants sep 2018 J 300,000,000 2018/06/01 2018/09/24 97.8015383 UBs ag – tencent european Put Warrants Oct 2018 e 200,000,000 2018/06/01 2018/10/26 51.8015455 Bank Vontobel – CC Bank european Warrants Oct 2018 B 50,000,000 2018/06/01 2018/10/24 16.0015447 Bank Vontobel – CNOOC european Warrants Oct 2018 C 50,000,000 2018/06/01 2018/10/29 25.0515491 Bank Vontobel – HkeX european Warrants sep 2018 C 100,000,000 2018/06/01 2018/09/28 16.7015453 Bank Vontobel – New World Dev european Warrants Dec 2019 a 80,000,000 2018/06/01 2019/12/10 15.6815474 Bank Vontobel – tencent european Warrants Nov 2018 B 100,000,000 2018/06/01 2018/11/27 26.2015957 Credit suisse ag – sinopec Corp european Warrants Oct 2018 B 50,000,000 2018/06/04 2018/10/26 16.0015949 Credit suisse ag – Chinares Cement european Warrants Jul 19 a 60,000,000 2018/06/04 2019/07/31 15.0015950 Credit suisse ag – CsPC Pharma european Warrants Nov 2018 a 40,000,000 2018/06/04 2018/11/26 14.4015958 Credit suisse ag – sunny Optical european Warrants sep 2018 D 100,000,000 2018/06/04 2018/09/20 17.0016105 goldman sachs sP (asia) – Ch Comm Cons euro Wts sep 2018 a 40,000,000 2018/06/04 2018/09/20 13.56

MaiN BOarD WarraNts



16131 goldman sachs sP (asia) – CNOOC european Warrants sep 2019 a 100,000,000 2018/06/04 2019/09/25 15.0016091 goldman sachs sP (asia) – China Overseas european Wts sep 18 B 80,000,000 2018/06/04 2018/09/07 12.0016106 goldman sachs sP (asia) – Ping an european Wts Jun 2020 a 200,000,000 2018/06/04 2020/06/22 30.0016164 goldman sachs sP (asia) – tencent european Put Wt sep 2018 M 100,000,000 2018/06/04 2018/09/28 18.0015852 J P Morgan sP BV – Brilliance Chi european Wts Oct 2018 a 70,000,000 2018/06/04 2018/10/30 11.6215817 J P Morgan sP BV – Chinares Cement euro Warrants Dec 2018 a 30,000,000 2018/06/04 2018/12/31 29.8815808 J P Morgan sP BV – li & Fung european Warrants Dec 2018 a 60,000,000 2018/06/04 2018/12/31 15.0615863 J P Morgan sP BV – lenovo european Warrants Nov 2018 a 100,000,000 2018/06/04 2018/11/01 15.9015796 J P Morgan sP BV – PetroChina european Warrants Nov 2018 a 100,000,000 2018/06/04 2018/11/08 25.6015833 J P Morgan sP BV – shenzhen int’l european Warrants apr 19 a 60,000,000 2018/06/04 2019/04/30 15.0615802 J P Morgan sP BV – WuXi Bio european Warrants Dec 2018 a 40,000,000 2018/06/04 2018/12/31 10.1215977 sg issuer – Brilliance Chi european Warrants Oct 2018 a 50,000,000 2018/06/04 2018/10/24 10.0015979 sg issuer – sinopec Corp european Warrants sep 2018 a 35,000,000 2018/06/04 2018/09/27 10.6815982 sg issuer – CsPC Pharma european Warrants Nov 2018 C 50,000,000 2018/06/04 2018/11/26 17.7516082 sg issuer – a50 China european Warrants Dec 2018 a 25,000,000 2018/06/04 2018/12/03 11.2516023 sg issuer – lenovo european Warrants Dec 2018 a 35,000,000 2018/06/04 2018/12/31 10.1516037 sg issuer – tencent european Warrants Feb 2019 a 200,000,000 2018/06/04 2019/02/28 76.0016045 sg issuer – tencent european Warrants May 2019 a 200,000,000 2018/06/04 2019/05/31 76.0015897 UBs ag – China gas Hold european Warrants Dec 2018 a 35,000,000 2018/06/04 2018/12/04 10.2615940 UBs ag – ClP Holdings european Warrants Dec 2018 a 50,000,000 2018/06/04 2018/12/14 10.7515939 UBs ag – Mapleleaf edu european Warrants Jan 2019 a 30,000,000 2018/06/04 2019/01/28 10.1115943 UBs ag – CsOP a50 etF european Warrants sep 2018 D 40,000,000 2018/06/04 2018/09/11 10.0415894 UBs ag – Baiyunshan Ph european Warrants Dec 2018 a 17,000,000 2018/06/04 2018/12/04 10.1215869 UBs ag – Za Onine european Warrants Dec 2018 a 12,000,000 2018/06/04 2018/12/04 10.2516289 BOCi asia ltd. – kingdee int’l european Warrants Mar 2019 a 70,000,000 2018/06/05 2019/03/22 17.5016422 BNP Paribas issuance B.V. – aaC tech euro Wts Jan 2019 B 80,000,000 2018/06/05 2019/01/03 12.0016346 BNP Paribas issuance B.V. – CNOOC european Wts Oct 2019 a 100,000,000 2018/06/05 2019/10/03 15.0016366 BNP Paribas issuance B.V. – PetroChina euro Wts Mar 2019 a 40,000,000 2018/06/05 2019/03/04 15.6016333 BNP Paribas issuance B.V. – sunny Optical eu Wt Jan 2019 B 80,000,000 2018/06/05 2019/01/03 20.0016941 Credit suisse ag – Ch Comm Cons european Warrants sep 2018 a 25,000,000 2018/06/05 2018/09/20 10.5016947 Credit suisse ag – Conch Venture european Warrants Dec 2018 a 30,000,000 2018/06/05 2018/12/04 15.0016922 Credit suisse ag – HsBC european Wts Nov 2018 a 100,000,000 2018/06/05 2018/11/02 20.0016911 Credit suisse ag – Ping an european Warrants sep 2018 i 150,000,000 2018/06/05 2018/09/20 33.0016926 Credit suisse ag – shenzhen int’l european Wts Dec 2018 a 40,000,000 2018/06/05 2018/12/31 10.0016825 goldman sachs sP (asia) – CC Bank european Wts sep 2018 F 80,000,000 2018/06/05 2018/09/20 30.5616793 goldman sachs sP (asia) – CM Bank european Wts Oct 2018 B 60,000,000 2018/06/05 2018/10/24 10.0816908 goldman sachs sP (asia) – Hsi european Put Wts Nov 2018 C 150,000,000 2018/06/05 2018/11/29 24.3016837 goldman sachs sP (asia) – iCBC european Warrants sep 2018 D 80,000,000 2018/06/05 2018/09/20 21.1216906 goldman sachs sP (asia) – sUNaC european Warrants sep 2018 a 40,000,000 2018/06/05 2018/09/20 10.0016508 Haitong int’l sec – Chinares Cement european Warrants Oct 18 B 30,000,000 2018/06/05 2018/10/16 45.6016536 Haitong int’l sec – Chinares Cement european Warrants sep 19 a 100,000,000 2018/06/05 2019/09/30 26.0016548 Haitong int’l sec – Ch south City european Warrants Dec 18 a 50,000,000 2018/06/05 2018/12/18 15.5016569 Haitong int’l sec – Foxconn european Warrants Feb 2019 a 50,000,000 2018/06/05 2019/02/28 13.0016442 Haitong int’l sec – Hang lung Ppt european Warrants Feb 19 a 50,000,000 2018/06/05 2019/02/18 12.50

MaiN BOarD WarraNts



16500 Haitong int’l sec – PetroChina european Warrants sep 2018 a 80,000,000 2018/06/05 2018/09/26 13.6016627 Haitong int’l sec – PetroChina european Warrants Nov 2018 a 80,000,000 2018/06/05 2018/11/28 20.0016445 Haitong int’l sec – Poly Property european Wts Dec 2018 a 30,000,000 2018/06/05 2018/12/18 13.2016482 Haitong int’l sec – sihuan Pharm european Warrants Dec 2018 B 30,000,000 2018/06/05 2018/12/18 12.3016641 J P Morgan sP BV – Ck asset european Warrants Dec 2018 a 100,000,000 2018/06/05 2018/12/31 25.1016658 J P Morgan sP BV – Baiyunshan Ph european Wts Dec 2018 B 40,000,000 2018/06/05 2018/12/31 18.6816653 J P Morgan sP BV – HsBC european Put Warrants Dec 2018 B 100,000,000 2018/06/05 2018/12/31 25.4016184 Macquarie Bank ltd. – CNOOC european Warrants Jan 2019 a 13,500,000 2018/06/05 2019/01/03 10.0716298 Macquarie Bank ltd. – Cathay Pacific european Wts May 2019 a 8,000,000 2018/06/05 2019/05/02 10.0016191 Macquarie Bank ltd. – sUNaC european Warrants Jan 2019 a 23,000,000 2018/06/05 2019/01/03 10.0117000 sg issuer – Conch Cement european Warrants sep 2018 B 30,000,000 2018/06/05 2018/09/28 12.7517012 sg issuer – BYD Company european Warrants Dec 2018 B 13,000,000 2018/06/05 2018/12/31 11.7017057 sg issuer – CNOOC european Warrants Oct 2018 C 21,000,000 2018/06/05 2018/10/31 10.0817036 sg issuer – Chinares Cement european Warrants Oct 2018 a 10,000,000 2018/06/05 2018/10/10 16.3017048 sg issuer – Chinares Cement european Warrants Dec 2018 a 10,000,000 2018/06/05 2018/12/04 12.3016978 sg issuer – Hsi european Warrants Oct 2018 e 100,000,000 2018/06/05 2018/10/30 15.0016981 sg issuer – Hsi european Warrants Oct 2018 F 100,000,000 2018/06/05 2018/10/30 15.0016987 sg issuer – Hsi european Warrants Dec 2018 B 100,000,000 2018/06/05 2018/12/28 15.0016951 sg issuer – Hsi european Put Warrants sep 2018 F 100,000,000 2018/06/05 2018/09/27 15.0016991 sg issuer – Hsi european Put Warrants Dec 2018 C 100,000,000 2018/06/05 2018/12/28 25.0017066 sg issuer – li & Fung european Warrants Dec 2018 a 40,000,000 2018/06/05 2018/12/31 10.0017070 sg issuer – sJM Holdings eu Wt Dec 2018 B 11,000,000 2018/06/05 2018/12/04 10.0117054 sg issuer – China Vanke european Warrants Dec 2018 a 25,000,000 2018/06/05 2018/12/31 10.0017076 sg issuer – Zijin Mining european Warrants Dec 2018 a 20,000,000 2018/06/05 2018/12/31 10.2016676 UBs ag – 3sBiO european Warrants Dec 2018 a 30,000,000 2018/06/05 2018/12/04 14.2216667 UBs ag – Baiyunshan Ph european Warrants Dec 2018 B 25,000,000 2018/06/05 2018/12/04 14.5816679 UBs ag – Huaneng Power european Warrants Dec 2018 a 20,000,000 2018/06/05 2018/12/04 10.2216706 UBs ag – sJM Holdings european Warrants Dec 2018 a 20,000,000 2018/06/05 2018/12/04 13.8416746 UBs ag – tingyi european Warrants Jan 2019 a 40,000,000 2018/06/05 2019/01/28 10.0016270 Bank Vontobel – aia european Warrants sep 2018 B 50,000,000 2018/06/05 2018/09/24 11.7016248 Bank Vontobel – China Unicom european Warrants Oct 2018 D 15,000,000 2018/06/05 2018/10/26 16.6516241 Bank Vontobel – HkeX european Warrants Oct 2018 a 100,000,000 2018/06/05 2018/10/30 36.0016213 Bank Vontobel – PetroChina european Warrants Nov 2018 C 50,000,000 2018/06/05 2018/11/26 12.4017101 BOCi asia ltd. – iCBC european Warrants sep 2018 D 80,000,000 2018/06/06 2018/09/14 12.1617116 BOCi asia ltd. – PetroChina european Warrants Dec 2018 a 60,000,000 2018/06/06 2018/12/24 25.2017100 BOCi asia ltd. – tencent european Wts sep 2018 l 200,000,000 2018/06/06 2018/09/28 40.4017092 BOCi asia ltd. – tencent european Wts Oct 2018 D 200,000,000 2018/06/06 2018/10/22 58.2017247 Credit suisse ag – Conch Cement european Warrants sep 2018 a 40,000,000 2018/06/06 2018/09/20 14.4017240 Credit suisse ag – agricultural Bank european Wts sep 2018 C 70,000,000 2018/06/06 2018/09/20 10.5017238 Credit suisse ag – Bank of China european Warrants sep 2018 a 60,000,000 2018/06/06 2018/09/20 10.8017227 Credit suisse ag – CC Bank european Warrants sep 2018 B 50,000,000 2018/06/06 2018/09/20 21.0017243 Credit suisse ag – CitiC Bank european Warrants Oct 2018 a 30,000,000 2018/06/06 2018/10/24 10.2017241 Credit suisse ag – CM Bank european Warrants Oct 2018 a 60,000,000 2018/06/06 2018/10/24 10.2017223 Credit suisse ag – Chinares Cement european Warrants Oct 18 B 20,000,000 2018/06/06 2018/10/22 40.00

MaiN BOarD WarraNts



17237 Credit suisse ag – iCBC european Warrants sep 2018 C 50,000,000 2018/06/06 2018/09/20 14.0017226 Credit suisse ag – tencent euro Put Wts Oct 2018 e 100,000,000 2018/06/06 2018/10/30 17.0017246 Credit suisse ag – Zijin Mining european Warrants Oct 2018 a 30,000,000 2018/06/06 2018/10/08 10.2017309 goldman sachs sP (asia) – CaM Csi300 european Wts Dec 2018 a 80,000,000 2018/06/06 2018/12/06 20.0017319 goldman sachs sP (asia) – BOCl european Warrants Nov 2018 B 80,000,000 2018/06/06 2018/11/23 12.0017308 goldman sachs sP (asia) – China Mobile euro Wts Oct 2018 a 80,000,000 2018/06/06 2018/10/26 25.9217321 goldman sachs sP (asia) – Hsi european Warrants sep 2018 g 150,000,000 2018/06/06 2018/09/27 22.5017320 goldman sachs sP (asia) – Haitong sec euro Wts Dec 2018 a 40,000,000 2018/06/06 2018/12/06 10.0017249 J P Morgan sP BV – China life european Warrants Jan 2019 a 100,000,000 2018/06/06 2019/01/31 15.3017257 J P Morgan sP BV – CsOP a50 etF european Warrants Nov 2018 a 100,000,000 2018/06/06 2018/11/16 53.7017251 J P Morgan sP BV – Fosun intl european Warrants Oct 2018 a 70,000,000 2018/06/06 2018/10/31 10.5017167 Macquarie Bank ltd. – CsPC Pharma european Wts Oct 2018 a 23,500,000 2018/06/06 2018/10/12 10.0617210 Macquarie Bank ltd. – CsPC Pharma european Wts Jan 2019 a 20,000,000 2018/06/06 2019/01/15 10.3817222 Macquarie Bank ltd. – li & Fung european Warrants May 2019 a 15,000,000 2018/06/06 2019/05/15 10.4417211 Macquarie Bank ltd. – li & Fung european Put Warrants Mar 19 a 24,000,000 2018/06/06 2019/03/15 10.3217154 Macquarie Bank ltd. – Yuexiu Property euro Wts Feb 2019 a 34,000,000 2018/06/06 2019/02/15 10.3017264 sg issuer – Bank of China european Warrants Dec 2018 a 60,000,000 2018/06/06 2018/12/31 15.0017269 sg issuer – Fosun intl european Warrants Dec 2018 B 50,000,000 2018/06/06 2018/12/31 12.5017277 sg issuer – HsBC european Warrants Oct 2018 B 80,000,000 2018/06/06 2018/10/31 20.4017290 sg issuer – Ping an european Warrants Oct 2018 C 80,000,000 2018/06/06 2018/10/31 50.4017304 sg issuer – stanchart european Warrants Oct 2018 a 23,000,000 2018/06/06 2018/10/31 10.0117123 UBs ag – aia european Warrants Oct 2018 C 100,000,000 2018/06/06 2018/10/02 38.6017140 UBs ag – Bank of China european Warrants Nov 2018 a 70,000,000 2018/06/06 2018/11/23 10.5017129 UBs ag – iCBC european Warrants sep 2018 B 70,000,000 2018/06/06 2018/09/24 14.9817134 UBs ag – iCBC european Warrants Nov 2018 a 70,000,000 2018/06/06 2018/11/23 11.4817361 BOCi asia ltd. – anhui Conch european Warrants Dec 2018 a 40,000,000 2018/06/07 2018/12/24 15.0417360 BOCi asia ltd. – sinopec Corp european Warrants Nov 2018 B 50,000,000 2018/06/07 2018/11/22 22.9017365 BOCi asia ltd. – Chinares Cement european Warrants Oct 2018 a 20,000,000 2018/06/07 2018/10/10 34.8417369 BOCi asia ltd. – Chinares Cement european Warrants Jun 2019 a 100,000,000 2018/06/07 2019/06/28 25.0017324 BOCi asia ltd. – HsBC european Warrants Nov 2018 B 80,000,000 2018/06/07 2018/11/23 16.8017370 BOCi asia ltd. – sands China ltd european Warrants Nov 2018 a 80,000,000 2018/06/07 2018/11/27 27.1217476 Credit suisse ag – aia european Warrants sep 2018 C 70,000,000 2018/06/07 2018/09/20 21.0017481 Credit suisse ag – Fosun intl european Warrants Oct 2018 a 70,000,000 2018/06/07 2018/10/24 10.5017500 Credit suisse ag – Baiyunshan Ph european Warrants Dec 2018 a 30,000,000 2018/06/07 2018/12/06 16.5017519 Credit suisse ag – travelsky tech european Wts Dec 2018 a 40,000,000 2018/06/07 2018/12/06 10.4017488 Credit suisse ag – Xinyi solar european Warrants Dec 2018 a 30,000,000 2018/06/07 2018/12/06 13.5017490 Credit suisse ag – Zhaojin Mining european Warrants Dec 18 a 20,000,000 2018/06/07 2018/12/06 15.4017755 goldman sachs sP (asia) – anhui Conch european Wts sep 2018 B 40,000,000 2018/06/07 2018/09/20 12.9617774 goldman sachs sP (asia) – Minsheng Bank euro Wts Oct 2018 B 50,000,000 2018/06/07 2018/10/12 10.0017740 goldman sachs sP (asia) – China Mobile euro Wts sep 2018 F 80,000,000 2018/06/07 2018/09/20 14.6417761 goldman sachs sP (asia) – CNBM european Warrants sep 2018 a 40,000,000 2018/06/07 2018/09/24 23.4417770 goldman sachs sP (asia) – CsPC Pharma european Wts sep 2018 a 40,000,000 2018/06/07 2018/09/20 10.0017614 J P Morgan sP BV – BBMg european Warrants sep 2018 a 40,000,000 2018/06/07 2018/09/28 10.2417530 J P Morgan sP BV – Minsheng Bank european Wts Dec 2018 B 100,000,000 2018/06/07 2018/12/06 38.70

MaiN BOarD WarraNts



17630 J P Morgan sP BV – Ch Merchants european Warrants Feb 2019 a 70,000,000 2018/06/07 2019/02/04 17.6417524 J P Morgan sP BV – gCl-Poly european Warrants Dec 2018 a 70,000,000 2018/06/07 2018/12/03 10.6417600 J P Morgan sP BV – gJ int’l european Warrants Nov 2018 B 60,000,000 2018/06/07 2018/11/23 11.2217556 J P Morgan sP BV – Haitong sec european Warrants Dec 2018 a 25,000,000 2018/06/07 2018/12/06 15.5017652 J P Morgan sP BV – Huaneng Power european Wts Dec 2018 a 60,000,000 2018/06/07 2018/12/31 16.1417531 J P Morgan sP BV – sJM Holdings european Warrants Dec 2018 a 40,000,000 2018/06/07 2018/12/06 23.8017623 J P Morgan sP BV – Yuexiu Property european Wts Feb 2019 a 60,000,000 2018/06/07 2019/02/04 15.3017400 Macquarie Bank ltd. – Ck asset european Warrants Jan 2019 a 23,000,000 2018/06/07 2019/01/03 10.0117385 Macquarie Bank ltd. – Chinares Cement european Wt Jul 2019 a 6,000,000 2018/06/07 2019/07/15 11.1417396 Macquarie Bank ltd. – CsOP a50 etF european Wts Jan 2019 a 20,000,000 2018/06/07 2019/01/03 11.2617397 Macquarie Bank ltd. – a50 China european Warrants Jan 2019 a 19,000,000 2018/06/07 2019/01/03 11.3617394 Macquarie Bank ltd. – China Vanke european Wts Mar 2019 a 22,000,000 2018/06/07 2019/03/15 12.1717395 Macquarie Bank ltd. – Wynn Macau european Wts Jan 2019 a 24,000,000 2018/06/07 2019/01/15 10.3917672 sg issuer – CPiC eur Wt Dec 2018 a 35,000,000 2018/06/07 2018/12/31 10.1517702 sg issuer – Hsi european Warrants apr 2019 a 150,000,000 2018/06/07 2019/04/29 37.5017676 sg issuer – Want Want China european Warrants Dec 2018 a 12,000,000 2018/06/07 2018/12/31 10.0817405 UBs ag – agricultural Bank european Warrants Nov 2018 a 70,000,000 2018/06/07 2018/11/23 20.9317432 UBs ag – CitiC Bank european Warrants Oct 2018 a 70,000,000 2018/06/07 2018/10/26 23.8017418 UBs ag – Minsheng Bank european Warrants Nov 2018 a 50,000,000 2018/06/07 2018/11/23 26.5517461 UBs ag – sinopec Corp european Warrants Oct 2018 B 50,000,000 2018/06/07 2018/10/30 23.6017456 UBs ag – PsBC european Warrants Dec 2018 a 40,000,000 2018/06/07 2018/12/06 14.3617403 UBs ag – sands China ltd european Warrants Oct 2018 a 70,000,000 2018/06/07 2018/10/24 22.6117881 Credit suisse ag – China railway european Warrants Dec 2018 a 30,000,000 2018/06/08 2018/12/07 10.8017888 Credit suisse ag – Haier elec european Warrants Dec 2018 a 30,000,000 2018/06/08 2018/12/07 11.1018094 goldman sachs sP (asia) – aaC tech euro Wts sep 2018 e 70,000,000 2018/06/08 2018/09/24 10.5018105 goldman sachs sP (asia) – BOCl european Warrants Nov 2018 C 80,000,000 2018/06/08 2018/11/23 12.0018070 goldman sachs sP (asia) – HsBC european Warrants Nov 2018 a 80,000,000 2018/06/08 2018/11/13 12.0018110 goldman sachs sP (asia) – PsBC european Warrants sep 2018 B 40,000,000 2018/06/08 2018/09/20 12.5618109 goldman sachs sP (asia) – PsBC european Warrants Dec 2018 a 40,000,000 2018/06/08 2018/12/07 10.0017822 Haitong int’l sec – aaC tech european Warrants Dec 2018 B 100,000,000 2018/06/08 2018/12/24 15.0017870 Haitong int’l sec – aia european Warrants Dec 2018 a 80,000,000 2018/06/08 2018/12/31 51.2017869 Haitong int’l sec – China life european Warrants Oct 2018 D 100,000,000 2018/06/08 2018/10/02 16.0017805 Haitong int’l sec – China Mobile european Wts Oct 2018 a 100,000,000 2018/06/08 2018/10/31 21.0017793 Haitong int’l sec – CNOOC european Warrants Oct 2018 B 50,000,000 2018/06/08 2018/10/31 25.0017797 Haitong int’l sec – CNOOC european Warrants Dec 2018 a 50,000,000 2018/06/08 2018/12/10 17.0017777 Haitong int’l sec – galaxy ent european Warrants Dec 2018 a 50,000,000 2018/06/08 2018/12/03 16.5017776 Haitong int’l sec – HsBC european Warrants Nov 2018 C 80,000,000 2018/06/08 2018/11/30 17.6017878 Haitong int’l sec – iCBC european Warrants Nov 2018 a 100,000,000 2018/06/08 2018/11/28 21.0017817 Haitong int’l sec – lenovo european Warrants Dec 2018 a 40,000,000 2018/06/08 2018/12/10 12.0017791 Haitong int’l sec – PetroChina european Warrants Nov 2018 B 100,000,000 2018/06/08 2018/11/23 42.0017837 Haitong int’l sec – Ping an european Warrants Nov 2018 e 80,000,000 2018/06/08 2018/11/30 28.0018004 J P Morgan sP BV – Chinares Cement euro Warrants Oct 2018 a 30,000,000 2018/06/08 2018/10/30 56.4617983 J P Morgan sP BV – galaxy ent european Warrants Dec 2018 B 100,000,000 2018/06/08 2018/12/10 38.9017984 J P Morgan sP BV – galaxy ent european Put Wts Dec 2018 C 100,000,000 2018/06/08 2018/12/31 25.30

MaiN BOarD WarraNts



17998 J P Morgan sP BV – iCBC european Warrants Dec 2018 B 100,000,000 2018/06/08 2018/12/10 25.0017980 J P Morgan sP BV – sands China european Warrants Dec 2018 B 100,000,000 2018/06/08 2018/12/10 25.2018021 sg issuer – China Mobile european Warrants sep 2018 a 70,000,000 2018/06/08 2018/09/28 10.5018056 sg issuer – Ch Molybdenum european Warrants Dec 2018 a 15,000,000 2018/06/08 2018/12/07 10.3518010 sg issuer – Chinares Cement european Warrants Oct 2018 B 12,000,000 2018/06/08 2018/10/29 24.6018057 sg issuer – gaC european Warrants Dec 2019 a 80,000,000 2018/06/08 2019/12/31 20.0018066 sg issuer – sUNaC european Warrants Oct 2018 a 30,000,000 2018/06/08 2018/10/31 10.5017947 UBs ag – China National Building european Wts sep 2018 a 20,000,000 2018/06/08 2018/09/24 12.2617964 UBs ag – China National Building european Wts Oct 2018 a 20,000,000 2018/06/08 2018/10/26 16.7017927 UBs ag – CNOOC european Warrants Nov 2018 B 40,000,000 2018/06/08 2018/11/01 22.0017930 UBs ag – COsCO ship Hold european Warrants Dec 2018 a 15,000,000 2018/06/08 2018/12/07 10.1717895 UBs ag – galaxy ent european Warrants Oct 2018 a 70,000,000 2018/06/08 2018/10/26 29.0517906 UBs ag – Wynn Macau european Put Warrants Dec 2018 a 40,000,000 2018/06/08 2018/12/07 13.9218292 Credit suisse ag – Chinares Cement european Warrants Oct 18 C 20,000,000 2018/06/11 2018/10/29 42.0018295 Credit suisse ag – Chinares Cement european Warrants apr 19 a 60,000,000 2018/06/11 2019/04/30 15.0018289 Credit suisse ag – gaC european Warrants Oct 2018 a 70,000,000 2018/06/11 2018/10/18 10.5018142 Credit suisse ag – tencent euro Put Wts sep 2018 H 150,000,000 2018/06/11 2018/09/21 22.5018290 Credit suisse ag – WuXi Bio european Warrants Dec 2018 a 40,000,000 2018/06/11 2018/12/10 10.0018354 goldman sachs sP (asia) – agricultural Bank euro Wts sep 18 B 80,000,000 2018/06/11 2018/09/20 12.0018333 goldman sachs sP (asia) – China life euro Wts Jan 2019 a 100,000,000 2018/06/11 2019/01/28 16.5018352 goldman sachs sP (asia) – China Mobile euro Wts Oct 2018 B 80,000,000 2018/06/11 2018/10/26 12.0018355 goldman sachs sP (asia) – Fosun intl european Wts Oct 2018 B 70,000,000 2018/06/11 2018/10/24 10.5018368 goldman sachs sP (asia) – stanchart european Wts Oct 2018 a 40,000,000 2018/06/11 2018/10/24 16.1618187 Haitong int’l sec – Chinares Cement european Warrants Jan 19 a 40,000,000 2018/06/11 2019/01/28 10.4018226 Haitong int’l sec – r&F Ppt european Warrants Dec 2018 a 40,000,000 2018/06/11 2018/12/18 11.6018239 Haitong int’l sec – HsCei european Put Warrants Dec 2018 C 100,000,000 2018/06/11 2018/12/28 15.7018248 Haitong int’l sec – Hsi european Warrants Nov 2018 B 150,000,000 2018/06/11 2018/11/29 22.5018235 Haitong int’l sec – Hsi european Put Warrants Oct 2018 B 150,000,000 2018/06/11 2018/10/30 24.0018191 Haitong int’l sec – sUNaC european Warrants Jan 2019 a 40,000,000 2018/06/11 2019/01/28 24.8018192 Haitong int’l sec – China Vanke european Warrants Dec 2018 a 40,000,000 2018/06/11 2018/12/18 14.4018225 Haitong int’l sec – WuXi Bio european Warrants Dec 2018 a 80,000,000 2018/06/11 2018/12/18 22.4018302 J P Morgan sP BV – CaM Csi300 european Warrants Dec 2018 a 100,000,000 2018/06/11 2018/12/31 25.1018296 J P Morgan sP BV – China gas Hold european Wts Feb 2019 a 60,000,000 2018/06/11 2019/02/01 17.8218322 J P Morgan sP BV – Cgs european Warrants Dec 2018 B 50,000,000 2018/06/11 2018/12/31 16.0018329 J P Morgan sP BV – Chinares Cement euro Warrants aug 2019 a 100,000,000 2018/06/11 2019/08/02 25.1018304 J P Morgan sP BV – HsCei etF european Warrants Dec 2018 a 100,000,000 2018/06/11 2018/12/31 39.3018309 J P Morgan sP BV – Hsi european Put Warrants Jan 2019 B 300,000,000 2018/06/11 2019/01/30 75.0018153 Macquarie Bank ltd. – towngas China european Wts Jul 2019 a 8,000,000 2018/06/11 2019/07/02 10.4618283 sg issuer – China railway european Warrants Dec 2018 a 20,000,000 2018/06/11 2018/12/31 10.0018250 sg issuer – Hsi european Put Warrants Nov 2018 F 150,000,000 2018/06/11 2018/11/29 30.7518270 sg issuer – Hsi european Put Warrants Dec 2018 D 150,000,000 2018/06/11 2018/12/28 24.0018271 sg issuer – Hsi european Put Warrants Dec 2018 e 150,000,000 2018/06/11 2018/12/28 37.5018140 UBs ag – Chinares Cement european Warrants Dec 2018 a 10,000,000 2018/06/11 2018/12/10 12.6318138 UBs ag – China taiping european Warrants Dec 2018 a 50,000,000 2018/06/11 2018/12/10 16.10

MaiN BOarD WarraNts



18124 UBs ag – link reit european Warrants Oct 2018 a 70,000,000 2018/06/11 2018/10/24 14.3518134 UBs ag – Yanzhou Coal european Wts Dec 2018 C 60,000,000 2018/06/11 2018/12/11 11.4018132 # J P Morgan sP BV – tencent european Warrants aug 2018 C 300,000,000 2018/06/11 2018/08/31 48.3023317 # UBs ag – China Mengniu european Warrants aug 2018 a 60,000,000 2018/06/11 2018/08/07 10.2018464 BOCi asia ltd. – China lit european Warrants Dec 2018 a 30,000,000 2018/06/12 2018/12/24 32.1918444 BOCi asia ltd. – China Mobile european Warrants Nov 2018 a 100,000,000 2018/06/12 2018/11/26 32.7018434 BOCi asia ltd. – CsPC Pharma european Warrants Nov 2018 B 50,000,000 2018/06/12 2018/11/26 15.1518428 BOCi asia ltd. – galaxy ent european Warrants Nov 2018 B 60,000,000 2018/06/12 2018/11/29 21.0618442 BOCi asia ltd. – sino Biopharm european Warrants Dec 2018 a 50,000,000 2018/06/12 2018/12/27 13.1518449 BOCi asia ltd. – tencent european Wts Oct 2018 e 200,000,000 2018/06/12 2018/10/26 31.6018447 BOCi asia ltd. – tencent european Put Wts sep 2018 M 100,000,000 2018/06/12 2018/09/27 30.6018682 Credit suisse ag – Cgs european Warrants Dec 2018 a 30,000,000 2018/06/12 2018/12/11 16.5018652 goldman sachs sP (asia) – Ch Comm Cons euro Wts sep 2018 B 60,000,000 2018/06/12 2018/09/20 10.0818659 goldman sachs sP (asia) – HkeX european Warrants sep 2018 M 150,000,000 2018/06/12 2018/09/26 27.0018657 goldman sachs sP (asia) – PiCC group european Wts Oct 2018 B 40,000,000 2018/06/12 2018/10/26 10.3218656 goldman sachs sP (asia) – sUNaC european Warrants sep 2018 B 40,000,000 2018/06/12 2018/09/20 16.8018663 goldman sachs sP (asia) – tencent european Put Wt Oct 2018 i 100,000,000 2018/06/12 2018/10/24 15.0018546 Hk Bank – China life european Warrants Jan 2019 a 80,000,000 2018/06/12 2019/01/28 14.4018519 Hk Bank – Chinares Cement european Warrants Dec 2018 a 80,000,000 2018/06/12 2018/12/31 20.0018513 Hk Bank – CsPC Pharma european Warrants Dec 2018 a 80,000,000 2018/06/12 2018/12/11 20.0018514 Hk Bank – a50 China european Warrants Jan 2019 a 25,000,000 2018/06/12 2019/01/03 11.2518540 Hk Bank – galaxy ent european Warrants Oct 2018 a 50,000,000 2018/06/12 2018/10/26 18.0018545 Hk Bank – lenovo european Warrants Dec 2018 a 40,000,000 2018/06/12 2018/12/31 10.0018498 Hk Bank – Ping an european Warrants Oct 2018 a 80,000,000 2018/06/12 2018/10/31 14.4018521 Hk Bank – Ping an european Warrants Oct 2018 B 80,000,000 2018/06/12 2018/10/24 32.0018520 Hk Bank – sunny Optical european Warrants Dec 2018 a 80,000,000 2018/06/12 2018/12/31 20.0018465 Hk Bank – tencent european Warrants Oct 2018 D 100,000,000 2018/06/12 2018/10/26 20.0018615 Haitong int’l sec – China gas Hold european Warrants Jan 19 a 30,000,000 2018/06/12 2019/01/18 15.9018617 Haitong int’l sec – Cgs european Warrants Dec 2018 a 50,000,000 2018/06/12 2018/12/31 23.5018626 Haitong int’l sec – stanchart european Warrants Nov 2018 a 48,000,000 2018/06/12 2018/11/26 11.0418649 J P Morgan sP BV – Cki Holdings european Warrants Nov 2018 a 60,000,000 2018/06/12 2018/11/30 10.9218633 J P Morgan sP BV – Chinares Cement euro Warrants Dec 2018 B 40,000,000 2018/06/12 2018/12/11 10.0418650 J P Morgan sP BV – Ch state Con european Warrants sep 2019 a 80,000,000 2018/06/12 2019/09/25 12.1618651 J P Morgan sP BV – China taiping european Wts Dec 2018 a 60,000,000 2018/06/12 2018/12/31 15.1818645 J P Morgan sP BV – genscript Bio european Warrants Dec 2018 B 40,000,000 2018/06/12 2018/12/31 19.0818632 J P Morgan sP BV – Ping an european Put Warrants Dec 2018 C 100,000,000 2018/06/12 2018/12/31 25.1018638 J P Morgan sP BV – goldwind european Warrants May 2019 a 60,000,000 2018/06/12 2019/05/06 15.0618528 Macquarie Bank ltd. – China gas Hold euro Wts Mar 2019 a 24,000,000 2018/06/12 2019/03/15 10.3418523 Macquarie Bank ltd. – gaC european Wts Mar 2019 a 6,000,000 2018/06/12 2019/03/04 10.7618547 Macquarie Bank ltd. – NCi european Warrants Feb 2019 a 26,600,000 2018/06/12 2019/02/04 10.0318522 Macquarie Bank ltd. – Ping an european Put Warrants Jan 19 B 24,000,000 2018/06/12 2019/01/03 10.2718665 sg issuer – China gas Hold eu Wt Dec 2018 B 20,000,000 2018/06/12 2018/12/31 10.0018670 sg issuer – Chinares Cement european Warrants Nov 2018 a 10,000,000 2018/06/12 2018/11/09 19.0018673 sg issuer – Chinares Cement european Warrants Dec 2018 B 10,000,000 2018/06/12 2018/12/31 12.50

MaiN BOarD WarraNts



18680 sg issuer – tencent european Warrants sep 2018 l 200,000,000 2018/06/12 2018/09/28 54.0018599 UBs ag – BBMg european Warrants Dec 2018 a 30,000,000 2018/06/12 2018/12/11 14.4318593 UBs ag – BOCl european Put Warrants Dec 2018 B 50,000,000 2018/06/12 2018/12/11 18.8518577 UBs ag – CC Bank european Put Warrants Dec 2018 a 50,000,000 2018/06/12 2018/12/11 27.7018597 UBs ag – China Huarong european Warrants Oct 2018 a 30,000,000 2018/06/12 2018/10/26 10.0218572 UBs ag – China Cinda european Warrants Feb 2019 a 40,000,000 2018/06/12 2019/02/11 10.4818576 UBs ag – China life european Put Warrants Jan 2019 a 70,000,000 2018/06/12 2019/01/24 11.0618551 UBs ag – galaxy ent european Put Warrants Dec 2018 a 50,000,000 2018/06/12 2018/12/11 17.8518578 UBs ag – iCBC european Put Warrants Dec 2018 a 50,000,000 2018/06/12 2018/12/11 21.2018595 UBs ag – kingboard Chem european Warrants Dec 2018 a 30,000,000 2018/06/12 2018/12/17 10.1718575 UBs ag – PiCC group european Warrants Nov 2018 a 40,000,000 2018/06/12 2018/11/21 14.9218566 UBs ag – sands China ltd european Put Warrants Dec 2018 a 50,000,000 2018/06/12 2018/12/11 12.7018378 Bank Vontobel – aia european Warrants Dec 2018 a 50,000,000 2018/06/12 2018/12/11 35.0018381 Bank Vontobel – HsBC european Warrants Jan 2019 a 40,000,000 2018/06/12 2019/01/04 10.4818422 Bank Vontobel – HsBC european Put Warrants Dec 2018 a 40,000,000 2018/06/12 2018/12/21 10.8418386 Bank Vontobel – iCBC european Warrants Dec 2018 a 40,000,000 2018/06/12 2018/12/21 12.0818423 Bank Vontobel – Ping an european Warrants Dec 2018 D 30,000,000 2018/06/12 2018/12/21 14.4618426 Bank Vontobel – tencent european Warrants Oct 2018 e 100,000,000 2018/06/12 2018/10/26 16.0018425 Bank Vontobel – tencent european Put Warrants Dec 2018 C 100,000,000 2018/06/12 2018/12/11 36.1018427 Bank Vontobel – Yanzhou Coal european Warrants Nov 2018 a 85,000,000 2018/06/12 2018/11/29 12.9218767 Credit suisse ag – BBMg european Warrants Dec 2018 a 25,000,000 2018/06/13 2018/12/12 12.2518749 Credit suisse ag – CC Bank european Put Warrants Dec 2018 a 50,000,000 2018/06/13 2018/12/12 16.0018766 Credit suisse ag – iCBC european Put Warrants Nov 2018 a 50,000,000 2018/06/13 2018/11/23 12.5018775 Credit suisse ag – tencent euro Put Wts sep 2018 i 150,000,000 2018/06/13 2018/09/12 24.0018772 Credit suisse ag – Wynn Macau european Warrants Nov 2018 a 40,000,000 2018/06/13 2018/11/30 11.2018876 goldman sachs sP (asia) – angang steel euro Wts Dec 2018 a 40,000,000 2018/06/13 2018/12/13 20.2018868 goldman sachs sP (asia) – galaxy ent european Wts Oct 2018 a 80,000,000 2018/06/13 2018/10/26 23.5218885 goldman sachs sP (asia) – HsCei etF european Wts Dec 2018 a 50,000,000 2018/06/13 2018/12/13 17.2518867 goldman sachs sP (asia) – Hsi european Put Wts Oct 2018 D 150,000,000 2018/06/13 2018/10/30 22.5018891 goldman sachs sP (asia) – iCBC european Warrants Nov 2018 a 80,000,000 2018/06/13 2018/11/23 12.0018745 Haitong int’l sec – kingsoft european Warrants Dec 2018 a 40,000,000 2018/06/13 2018/12/18 10.4018730 Haitong int’l sec – sunny Optical european Wts Dec 2018 a 100,000,000 2018/06/13 2018/12/18 25.0018866 J P Morgan sP BV – Hsi european Put Warrants Jan 2019 C 300,000,000 2018/06/13 2019/01/30 75.0018864 J P Morgan sP BV – sJM Holdings european Warrants Dec 2019 a 40,000,000 2018/06/13 2019/12/31 10.0418856 J P Morgan sP BV – tencent european Warrants Dec 2018 e 250,000,000 2018/06/13 2018/12/12 62.5018706 Macquarie Bank ltd. – BaiC Motor european Warrants apr 2019 a 6,700,000 2018/06/13 2019/04/02 10.0618729 Macquarie Bank ltd. – Chow tai Fook european Wts Jul 2019 B 40,000,000 2018/06/13 2019/07/15 10.2018727 Macquarie Bank ltd. – shenzhen int’l european Wts Feb 2019 a 40,000,000 2018/06/13 2019/02/08 10.0818826 UBs ag – aaC tech european Warrants Feb 2019 a 60,000,000 2018/06/13 2019/02/11 10.5618787 UBs ag – China Overseas european Warrants sep 2018 B 70,000,000 2018/06/13 2018/09/28 10.5018813 UBs ag – Mengniu Dairy european Warrants Dec 2018 a 50,000,000 2018/06/13 2018/12/24 15.6518830 UBs ag – PetroChina european Warrants Oct 2018 B 50,000,000 2018/06/13 2018/10/09 10.6518832 UBs ag – Want Want Ch european Warrants Jan 2019 a 12,000,000 2018/06/13 2019/01/14 10.6218702 Bank Vontobel – China life european Warrants Jun 2019 a 100,000,000 2018/06/13 2019/06/05 25.40

MaiN BOarD WarraNts



18687 Bank Vontobel – geely auto european Warrants Nov 2018 B 50,000,000 2018/06/13 2018/11/13 10.0518686 Bank Vontobel – galaxy ent european Warrants Dec 2018 a 40,000,000 2018/06/13 2018/12/13 24.0418694 Bank Vontobel – sunny Optical european Warrants sep 2018 a 80,000,000 2018/06/13 2018/09/20 12.3218705 Bank Vontobel – tencent european Warrants Oct 2018 F 100,000,000 2018/06/13 2018/10/26 15.1018975 BOCi asia ltd. – galaxy ent european Warrants Oct 2018 B 50,000,000 2018/06/14 2018/10/30 16.5019143 Credit suisse ag – 3sBiO european Warrants Oct 2018 a 25,000,000 2018/06/14 2018/10/23 10.0019130 Credit suisse ag – gF sec european Warrants apr 2019 a 40,000,000 2018/06/14 2019/04/30 10.0019172 Credit suisse ag – PetroChina european Warrants Dec 2018 a 60,000,000 2018/06/14 2018/12/13 19.8019181 Credit suisse ag – tencent european Wts Dec 2018 B 250,000,000 2018/06/14 2018/12/13 70.0019221 goldman sachs sP (asia) – geely auto european Wts Nov 2018 a 80,000,000 2018/06/14 2018/11/13 12.9619226 goldman sachs sP (asia) – HsBC european Warrants Oct 2018 B 80,000,000 2018/06/14 2018/10/24 21.5219266 goldman sachs sP (asia) – kingsoft european Wts Oct 2018 a 60,000,000 2018/06/14 2018/10/05 10.0219263 goldman sachs sP (asia) – Ping an euro Put Wts sep 2018 l 60,000,000 2018/06/14 2018/09/19 11.8219267 goldman sachs sP (asia) – tencent european Put Wt sep 2018 N 100,000,000 2018/06/14 2018/09/20 21.2018942 Hk Bank – Chinares Cement european Warrants Dec 2018 B 80,000,000 2018/06/14 2018/12/13 20.0018943 Hk Bank – CsOP a50 etF european Warrants Jan 2019 a 30,000,000 2018/06/14 2019/01/03 10.5018926 Hk Bank – galaxy ent european Warrants Dec 2018 a 40,000,000 2018/06/14 2018/12/31 11.2018966 Hk Bank – genscript Bio european Warrants Dec 2018 a 50,000,000 2018/06/14 2018/12/31 15.0018970 Hk Bank – PiCC group european Warrants Dec 2018 a 40,000,000 2018/06/14 2018/12/31 10.0018974 Hk Bank – sands China european Warrants Dec 2018 a 40,000,000 2018/06/14 2018/12/31 14.4018920 Hk Bank – sino Biopharm european Warrants Dec 2018 a 100,000,000 2018/06/14 2018/12/31 25.0018969 Hk Bank – WuXi Bio european Warrants Dec 2018 a 80,000,000 2018/06/14 2018/12/31 20.0019047 Haitong int’l sec – geely auto european Warrants Dec 2018 B 50,000,000 2018/06/14 2018/12/31 14.0019072 Haitong int’l sec – geely auto european Warrants Dec 2018 C 50,000,000 2018/06/14 2018/12/31 18.0019046 Haitong int’l sec – kingboard Chem european Warrants Feb 19 a 50,000,000 2018/06/14 2019/02/08 17.5019085 Haitong int’l sec – kingsoft european Warrants Oct 2018 a 68,000,000 2018/06/14 2018/10/30 11.5619082 Haitong int’l sec – kingsoft european Warrants Dec 2018 B 68,000,000 2018/06/14 2018/12/24 19.7219080 Haitong int’l sec – sJM Holdings european Warrants Nov 2018 a 20,000,000 2018/06/14 2018/11/28 18.2019213 Haitong int’l sec – tianneng Power european Warrants Mar 19 a 50,000,000 2018/06/14 2019/03/18 14.0019094 Haitong int’l sec – Wynn Macau european Warrants Nov 2018 a 40,000,000 2018/06/14 2018/11/23 10.8019188 J P Morgan sP BV – CC Bank european Put Wts Jan 2019 a 100,000,000 2018/06/14 2019/01/02 25.6019214 J P Morgan sP BV – China lit european Warrants aug 2019 a 60,000,000 2018/06/14 2019/08/05 15.0019211 J P Morgan sP BV – China Overseas european Put Wts Jan 2019 B 100,000,000 2018/06/14 2019/01/02 25.2019190 J P Morgan sP BV – geely auto european Warrants Dec 2018 C 100,000,000 2018/06/14 2018/12/31 25.2019182 J P Morgan sP BV – China Mengniu european Wts Dec 2018 a 60,000,000 2018/06/14 2018/12/31 15.3618985 Macquarie Bank ltd. – Ch Molybdenum european Wts May 2019 a 10,000,000 2018/06/14 2019/05/15 12.4118979 Macquarie Bank ltd. – China Overseas european Wts Feb 2019 a 40,000,000 2018/06/14 2019/02/04 10.0018976 Macquarie Bank ltd. – CPiC european Warrants Feb 2019 a 40,000,000 2018/06/14 2019/02/04 10.0818983 Macquarie Bank ltd. – Meitu european Warrants Mar 2019 a 40,000,000 2018/06/14 2019/03/15 10.6018984 Macquarie Bank ltd. – WuXi Bio european Warrants Jun 2019 a 26,000,000 2018/06/14 2019/06/14 10.3219028 UBs ag – CC Bank european Warrants Oct 2018 a 70,000,000 2018/06/14 2018/10/24 19.8119032 UBs ag – CC Bank european Warrants Nov 2018 a 70,000,000 2018/06/14 2018/11/27 11.4119025 UBs ag – China life european Warrants Jan 2019 B 100,000,000 2018/06/14 2019/01/28 21.1019026 UBs ag – China life european Warrants Mar 2019 a 100,000,000 2018/06/14 2019/03/26 15.20

MaiN BOarD WarraNts



19045 UBs ag – CsPC Pharma european Put Warrants Dec 2018 e 30,000,000 2018/06/14 2018/12/13 10.8919006 UBs ag – geely auto european Warrants Dec 2018 a 50,000,000 2018/06/14 2018/12/20 10.8519043 UBs ag – tencent european Put Warrants Oct 2018 F 200,000,000 2018/06/14 2018/10/19 51.8018899 Bank Vontobel – CNBM european Warrants sep 2019 a 60,000,000 2018/06/14 2019/09/25 13.4418892 Bank Vontobel – HkeX european Warrants Oct 2018 B 100,000,000 2018/06/14 2018/10/26 16.8018893 Bank Vontobel – kingsoft european Warrants Jan 2019 a 40,000,000 2018/06/14 2019/01/04 12.4818900 Bank Vontobel – lenovo european Warrants Jan 2019 a 40,000,000 2018/06/14 2019/01/04 10.0821428 # J P Morgan sP BV – Hsi european Put Warrants sep 2018 C 200,000,000 2018/06/14 2018/09/27 20.0019292 BOCi asia ltd. – aia european Warrants Nov 2018 a 80,000,000 2018/06/15 2018/11/23 20.0819279 BOCi asia ltd. – sands China ltd european Warrants Nov 2018 B 60,000,000 2018/06/15 2018/11/23 15.2419316 BNP Paribas issuance B.V. – ali Health european Wts Jan 19 a 80,000,000 2018/06/15 2019/01/03 20.0019324 Credit suisse ag – China life european Warrants Jan 2019 B 120,000,000 2018/06/15 2019/01/28 22.8019326 Credit suisse ag – HsBC european Wts Nov 2018 B 100,000,000 2018/06/15 2018/11/13 17.0019325 Credit suisse ag – iCBC european Warrants Nov 2018 B 70,000,000 2018/06/15 2018/11/23 11.9019317 Credit suisse ag – Ping an european Put Warrants Oct 2018 F 70,000,000 2018/06/15 2018/10/23 21.0019405 goldman sachs sP (asia) – CNOOC european Warrants Oct 2018 D 80,000,000 2018/06/15 2018/10/25 35.1219403 goldman sachs sP (asia) – China Unicom euro Wts Oct 2018 a 60,000,000 2018/06/15 2018/10/10 17.2219393 goldman sachs sP (asia) – HsBC european Warrants Nov 2018 B 80,000,000 2018/06/15 2018/11/05 14.9619428 goldman sachs sP (asia) – iCBC european Warrants Oct 2018 a 80,000,000 2018/06/15 2018/10/24 12.0019441 goldman sachs sP (asia) – sunny Optical euro Wts sep 2018 D 70,000,000 2018/06/15 2018/09/20 10.5019305 Hk Bank – Fosun intl european Warrants Dec 2018 a 50,000,000 2018/06/15 2018/12/31 12.5019315 Hk Bank – HkeX european Put Warrants Dec 2018 a 80,000,000 2018/06/15 2018/12/20 12.0019268 Hk Bank – Hsi european Warrants Nov 2018 e 180,000,000 2018/06/15 2018/11/29 27.0019314 Hk Bank – Mengniu european Warrants Dec 2018 a 40,000,000 2018/06/15 2018/12/31 10.0019309 Hk Bank – Nine Dragons european Warrants Feb 2019 a 80,000,000 2018/06/15 2019/02/11 12.8019382 J P Morgan sP BV – China Unicom european Warrants Oct 2018 a 100,000,000 2018/06/15 2018/10/16 24.9019338 J P Morgan sP BV – PiCC group european Warrants Dec 2018 a 60,000,000 2018/06/15 2018/12/31 15.0019350 J P Morgan sP BV – tencent european Warrants sep 2018 g 250,000,000 2018/06/15 2018/09/17 56.2519364 J P Morgan sP BV – tencent european Warrants Oct 2018 F 250,000,000 2018/06/15 2018/10/31 37.7519381 J P Morgan sP BV – tencent european Put Warrants Oct 2018 g 250,000,000 2018/06/15 2018/10/31 38.5019392 J P Morgan sP BV – Za Onine european Warrants Nov 2018 a 30,000,000 2018/06/15 2018/11/21 14.8519585 Credit suisse ag – CNBM european Warrants sep 2019 a 80,000,000 2018/06/19 2019/09/30 20.0019569 Credit suisse ag – HkeX european Put Warrants Dec 2018 B 100,000,000 2018/06/19 2018/12/20 15.0019596 Credit suisse ag – WH group european Warrants Nov 2019 a 60,000,000 2018/06/19 2019/11/11 10.8019610 goldman sachs sP (asia) – sinopec Corp euro Wts sep 2018 B 30,000,000 2018/06/19 2018/09/27 10.1419605 goldman sachs sP (asia) – Chi res land euro Wts Oct 2018 B 70,000,000 2018/06/19 2018/10/26 10.5019614 goldman sachs sP (asia) – a50 China european Wts Oct 2018 a 80,000,000 2018/06/19 2018/10/30 37.5219615 goldman sachs sP (asia) – gaC european Warrants Oct 2018 a 70,000,000 2018/06/19 2018/10/18 10.5019613 goldman sachs sP (asia) – Ping an european Wts Oct 2018 F 100,000,000 2018/06/19 2018/10/11 44.6019478 Hk Bank – HsCei european Warrants Jan 2019 a 100,000,000 2018/06/19 2019/01/30 16.0019465 Hk Bank – Hsi european Warrants Dec 2018 D 180,000,000 2018/06/19 2018/12/28 36.0019448 Hk Bank – Hsi european Put Warrants Oct 2018 D 180,000,000 2018/06/19 2018/10/30 27.0019444 Hk Bank – Hsi european Put Warrants Dec 2018 C 180,000,000 2018/06/19 2018/12/28 27.0019533 J P Morgan sP BV – CC Bank european Wts Dec 2018 a 100,000,000 2018/06/19 2018/12/31 26.30

MaiN BOarD WarraNts



19540 J P Morgan sP BV – Ch Molybdenum european Warrants Jan 2019 a 30,000,000 2018/06/19 2019/01/02 15.9919538 J P Morgan sP BV – Haier elec european Warrants Jan 2019 a 40,000,000 2018/06/19 2019/01/02 14.6019531 J P Morgan sP BV – iCBC european Warrants Dec 2018 C 100,000,000 2018/06/19 2018/12/31 64.9019550 J P Morgan sP BV – ND Paper european Warrants Feb 2019 a 70,000,000 2018/06/19 2019/02/11 13.5119522 J P Morgan sP BV – sh Petrochem european Warrants Dec 2018 a 20,000,000 2018/06/19 2018/12/31 11.1019521 Macquarie Bank ltd. – Ch Comm Cons european Wts aug 2019 a 12,000,000 2018/06/19 2019/08/02 10.2419509 Macquarie Bank ltd. – CNBM european Warrants Jan 2019 B 9,000,000 2018/06/19 2019/01/03 10.0319511 Macquarie Bank ltd. – Xinyi solar european Warrants Jun 19 a 17,000,000 2018/06/19 2019/06/18 10.0119618 sg issuer – Chinares Cement european Warrants Dec 2018 C 100,000,000 2018/06/19 2018/12/18 25.0019623 sg issuer – Chinares Cement european Warrants sep 2019 a 100,000,000 2018/06/19 2019/09/30 25.0019479 Bank Vontobel – Hsi european Warrants Feb 2019 a 100,000,000 2018/06/19 2019/02/27 25.2019484 Bank Vontobel – Hsi european Warrants Jun 2019 a 100,000,000 2018/06/19 2019/06/27 25.1019501 Bank Vontobel – Hsi european Put Warrants Mar 2019 B 100,000,000 2018/06/19 2019/03/28 25.1019500 Bank Vontobel – Hsi european Put Warrants Jun 2019 B 100,000,000 2018/06/19 2019/06/27 25.1019758 Credit suisse ag – Mengniu Dairy european Wts Dec 2018 a 40,000,000 2018/06/20 2018/12/31 10.0019753 Credit suisse ag – Xinyi solar european Warrants Dec 2018 B 25,000,000 2018/06/20 2018/12/19 10.0019830 goldman sachs sP (asia) – galaxy ent european Wts Oct 2018 B 80,000,000 2018/06/20 2018/10/24 15.7619844 goldman sachs sP (asia) – HkeX european Warrants Oct 2018 H 150,000,000 2018/06/20 2018/10/26 22.5019808 goldman sachs sP (asia) – Hsi european Put Wts Nov 2018 D 150,000,000 2018/06/20 2018/11/29 22.5019819 goldman sachs sP (asia) – tracker Fund european Wts Dec 18 a 70,000,000 2018/06/20 2018/12/20 10.5019822 goldman sachs sP (asia) – tracker Fund european Put Wts Dec 18 B 70,000,000 2018/06/20 2018/12/20 10.5019636 Hk Bank – Chinares Cement european Warrants Dec 2018 C 100,000,000 2018/06/20 2018/12/31 25.0019695 Hk Bank – Chinares Cement european Warrants Dec 2018 D 100,000,000 2018/06/20 2018/12/04 18.0019681 Haitong int’l sec – China Unicom european Warrants Nov 2018 B 20,000,000 2018/06/20 2018/11/26 17.0019646 Haitong int’l sec – China Unicom european Warrants Jun 2019 a 80,000,000 2018/06/20 2019/06/28 13.6019689 Haitong int’l sec – kB laminates european Warrants Dec 2018 a 80,000,000 2018/06/20 2018/12/20 21.6019692 Haitong int’l sec – kB laminates european Warrants Dec 2018 B 80,000,000 2018/06/20 2018/12/28 15.2019690 Haitong int’l sec – kB laminates european Warrants Feb 2019 a 80,000,000 2018/06/20 2019/02/28 20.0019750 J P Morgan sP BV – HsBC european Warrants Dec 2018 C 100,000,000 2018/06/20 2018/12/31 25.1019720 J P Morgan sP BV – shenzhen invest european Warrants Dec 18 a 30,000,000 2018/06/20 2018/12/31 10.2619703 Macquarie Bank ltd. – CM Bank european Put Warrants apr 19 a 40,000,000 2018/06/20 2019/04/02 10.0019698 Macquarie Bank ltd. – kingsoft european Put Warrants apr 19 a 34,000,000 2018/06/20 2019/04/02 10.0619701 Macquarie Bank ltd. – lenovo european Put Warrants Mar 2019 a 20,000,000 2018/06/20 2019/03/04 10.0019798 sg issuer – Mengniu Dairy european Warrants sep 2018 a 55,000,000 2018/06/20 2018/09/28 10.1819803 sg issuer – Mengniu Dairy european Warrants Dec 2018 a 40,000,000 2018/06/20 2018/12/31 10.0019777 sg issuer – sunny Optical european Warrants sep 2018 B 50,000,000 2018/06/20 2018/09/28 10.0019781 sg issuer – sunny Optical european Warrants Dec 2018 B 50,000,000 2018/06/20 2018/12/31 12.5019789 sg issuer – tencent european Put Warrants Oct 2018 F 150,000,000 2018/06/20 2018/10/31 33.7519705 UBs ag – BOC Hk european Warrants Jan 2019 a 60,000,000 2018/06/20 2019/01/28 15.0019707 UBs ag – CkH Holdings european Warrants Nov 2018 a 40,000,000 2018/06/20 2018/11/23 20.8819709 UBs ag – li Ning european Warrants Jun 2019 B 50,000,000 2018/06/20 2019/06/11 10.0019708 UBs ag – Mengniu Dairy european Warrants Dec 2018 B 70,000,000 2018/06/20 2018/12/19 17.7119706 UBs ag – sunart retail european Warrants Jan 2019 a 40,000,000 2018/06/20 2019/01/31 11.1619715 UBs ag – tsingtao Brew european Warrants Nov 2018 a 30,000,000 2018/06/20 2018/11/08 17.85

MaiN BOarD WarraNts



19711 UBs ag – WH group european Warrants Nov 2019 a 50,000,000 2018/06/20 2019/11/11 11.4019712 UBs ag – WuXi Bio european Warrants Dec 2018 a 40,000,000 2018/06/20 2018/12/11 10.0019899 BOCi asia ltd. – agricultural Bank european Wts Nov 2018 a 60,000,000 2018/06/21 2018/11/23 14.8219901 BOCi asia ltd. – agricultural Bank european Wts Feb 2019 a 60,000,000 2018/06/21 2019/02/18 13.6219889 BOCi asia ltd. – Bank of China european Warrants Dec 2018 C 80,000,000 2018/06/21 2018/12/28 13.1219896 BOCi asia ltd. – Bank of China european Warrants Dec 2018 D 80,000,000 2018/06/21 2018/12/20 18.9619885 BOCi asia ltd. – Mengniu Dairy european Warrants Nov 2018 a 50,000,000 2018/06/21 2018/11/27 17.1519882 BOCi asia ltd. – sMiC european Warrants Mar 2019 a 80,000,000 2018/06/21 2019/03/29 20.2419963 Credit suisse ag – Ch Molybdenum european Wts Dec 2018 a 30,000,000 2018/06/21 2018/12/20 19.5019931 Credit suisse ag – genscript Bio european Warrants Dec 2018 a 30,000,000 2018/06/21 2018/12/20 18.0019940 Credit suisse ag – Hua Hong semi european Warrants Dec 2018 a 30,000,000 2018/06/21 2018/12/20 15.0019968 Credit suisse ag – kB laminates european Warrants Dec 2018 B 60,000,000 2018/06/21 2018/12/20 15.0020022 goldman sachs sP (asia) – Cka european Warrants Nov 2018 a 50,000,000 2018/06/21 2018/11/23 10.4020020 goldman sachs sP (asia) – China lit european Warrants May 19 a 80,000,000 2018/06/21 2019/05/30 20.0019997 goldman sachs sP (asia) – iCBC european Warrants sep 2018 e 80,000,000 2018/06/21 2018/09/24 12.0020012 goldman sachs sP (asia) – Mengniu Dairy euro Wt sep 2018 a 70,000,000 2018/06/21 2018/09/21 10.5020026 goldman sachs sP (asia) – Ping an european Wts Nov 2018 a 100,000,000 2018/06/21 2018/11/23 17.9019855 Hk Bank – China lit european Warrants Jun 2019 B 100,000,000 2018/06/21 2019/06/28 25.0019857 Hk Bank – Chinares Cement european Warrants Jan 2019 a 100,000,000 2018/06/21 2019/01/31 25.0019978 J P Morgan sP BV – Zte european Warrants Dec 2018 a 50,000,000 2018/06/21 2018/12/20 13.4519908 Macquarie Bank ltd. – Minsheng Bank european Wts Jan 2019 a 20,000,000 2018/06/21 2019/01/03 10.0019905 Macquarie Bank ltd. – China CrsC european Warrants Jun 2019 a 7,000,000 2018/06/21 2019/06/14 10.8219925 Macquarie Bank ltd. – Virscend edu european Warrants apr 20 a 40,000,000 2018/06/21 2020/04/16 10.2019902 Macquarie Bank ltd. – YuHua edu european Warrants Nov 2019 a 40,000,000 2018/06/21 2019/11/18 10.0819919 Macquarie Bank ltd. – Zte european Warrants apr 2019 a 32,000,000 2018/06/21 2019/04/15 10.1119914 Macquarie Bank ltd. – Zte european Warrants Jun 2019 a 24,000,000 2018/06/21 2019/06/14 10.1019980 sg issuer – BBMg european Warrants Dec 2018 a 20,000,000 2018/06/21 2018/12/20 10.0019988 sg issuer – China Overseas european Warrants Dec 2018 a 40,000,000 2018/06/21 2018/12/31 10.0019990 sg issuer – sMiC european Warrants Dec 2018 C 70,000,000 2018/06/21 2018/12/14 10.5019904 UBs ag – Hua Hong semi european Warrants Dec 2018 B 25,000,000 2018/06/21 2018/12/20 12.8319903 UBs ag – Zte european Warrants Dec 2018 a 40,000,000 2018/06/21 2018/12/20 13.1619995 UBs ag – Zte european Warrants Jan 2019 a 40,000,000 2018/06/21 2019/01/14 15.4419991 UBs ag – Zte european Warrants Feb 2019 a 40,000,000 2018/06/21 2019/02/18 11.7219880 Bank Vontobel – Bank of China european Warrants Jan 2019 a 60,000,000 2018/06/21 2019/01/04 21.0019864 Bank Vontobel – CC Bank european Warrants sep 2018 C 50,000,000 2018/06/21 2018/09/24 17.4519866 Bank Vontobel – CitiC sec european Warrants Jan 2019 B 50,000,000 2018/06/21 2019/01/04 12.5519929 Bank Vontobel – China Overseas european Warrants Jan 2019 a 50,000,000 2018/06/21 2019/01/04 12.6019874 Bank Vontobel – tencent european Warrants Oct 2018 g 100,000,000 2018/06/21 2018/10/22 39.0020098 Credit suisse ag – Zte european Warrants Dec 2018 a 40,000,000 2018/06/22 2018/12/21 15.2020099 Credit suisse ag – Zte european Warrants Dec 2018 B 40,000,000 2018/06/22 2018/12/21 12.0020292 goldman sachs sP (asia) – anhui Conch european Wts Oct 2018 a 40,000,000 2018/06/22 2018/10/25 10.0020285 goldman sachs sP (asia) – Bank of China european Wts Dec 18 B 80,000,000 2018/06/22 2018/12/24 20.0020279 goldman sachs sP (asia) – CC Bank european Wts sep 2018 g 80,000,000 2018/06/22 2018/09/26 28.4020297 goldman sachs sP (asia) – CNBM european Warrants Oct 2018 a 40,000,000 2018/06/22 2018/10/26 35.28

MaiN BOarD WarraNts



20283 goldman sachs sP (asia) – iCBC european Warrants Dec 2018 a 80,000,000 2018/06/22 2018/12/24 22.8820073 Hk Bank – agricultural Bank european Warrants Dec 2018 a 80,000,000 2018/06/22 2018/12/31 12.0020061 Hk Bank – BOC Hk european Warrants Dec 2018 a 80,000,000 2018/06/22 2018/12/31 20.0020038 Hk Bank – Bank of China european Warrants Dec 2018 a 80,000,000 2018/06/22 2018/12/31 20.0020055 Hk Bank – CC Bank european Warrants Dec 2018 a 80,000,000 2018/06/22 2018/12/31 28.0020035 Hk Bank – iCBC european Warrants Dec 2018 a 80,000,000 2018/06/22 2018/12/31 20.0020033 Hk Bank – kingdee intl european Warrants Feb 2019 a 100,000,000 2018/06/22 2019/02/21 15.0020088 Hk Bank – sMiC european Warrants Dec 2018 B 100,000,000 2018/06/22 2018/12/31 15.0020172 Haitong int’l sec – angang steel european Warrants Dec 2018 B 20,000,000 2018/06/22 2018/12/24 16.4020215 Haitong int’l sec – Bank of China european Warrants Jan 19 a 100,000,000 2018/06/22 2019/01/31 15.0020205 Haitong int’l sec – Ch Comm Cons european Warrants Dec 2018 a 20,000,000 2018/06/22 2018/12/24 10.2020209 Haitong int’l sec – Ch Comm Cons european Warrants Dec 2018 B 40,000,000 2018/06/22 2018/12/24 13.2020108 Haitong int’l sec – CkH Holdings european Warrants Nov 2018 a 38,000,000 2018/06/22 2018/11/02 12.5420210 Haitong int’l sec – Minsheng Bank european Warrants Mar 19 a 20,000,000 2018/06/22 2019/03/28 21.2020214 Haitong int’l sec – Minsheng Bank european Warrants May 19 B 20,000,000 2018/06/22 2019/05/20 16.6020165 Haitong int’l sec – galaxy ent european Warrants Oct 2018 a 50,000,000 2018/06/22 2018/10/30 22.0020171 Haitong int’l sec – galaxy ent european Warrants Oct 2018 B 40,000,000 2018/06/22 2018/10/24 10.0020201 Haitong int’l sec – Meitu european Warrants Feb 2019 a 80,000,000 2018/06/22 2019/02/21 14.4020135 Haitong int’l sec – sHk Ppt european Warrants Dec 2018 a 25,000,000 2018/06/22 2018/12/21 10.2520176 Haitong int’l sec – tencent european Put Warrants Dec 2018 e 100,000,000 2018/06/22 2018/12/24 28.0020184 Haitong int’l sec – Zte european Warrants Dec 2018 a 80,000,000 2018/06/22 2018/12/31 24.8020189 Haitong int’l sec – Zte european Warrants Dec 2018 B 80,000,000 2018/06/22 2018/12/31 20.0020231 J P Morgan sP BV – Bank of China european Put Wts Feb 2019 a 100,000,000 2018/06/22 2019/02/01 25.3020270 J P Morgan sP BV – CkH Holdings european Warrants Jan 2019 a 100,000,000 2018/06/22 2019/01/03 41.2020232 J P Morgan sP BV – CM Bank european Warrants Jan 2019 a 100,000,000 2018/06/22 2019/01/03 25.3020218 J P Morgan sP BV – genscript Bio european Warrants Jan 2019 a 40,000,000 2018/06/22 2019/01/03 14.7220273 J P Morgan sP BV – HkeX european Warrants Dec 2018 C 200,000,000 2018/06/22 2018/12/20 30.0020221 J P Morgan sP BV – iCBC european Put Wts Dec 2018 D 100,000,000 2018/06/22 2018/12/31 25.7020095 UBs ag – Ch Molybdenum european Warrants Dec 2018 a 30,000,000 2018/06/22 2018/12/21 17.6720097 UBs ag – HsCei european Put Warrants sep 2018 B 100,000,000 2018/06/22 2018/09/27 25.0020377 Credit suisse ag – CkH Holdings european Warrants Nov 2018 a 50,000,000 2018/06/25 2018/11/22 17.5020372 Credit suisse ag – HkeX european Warrants Dec 2018 C 200,000,000 2018/06/25 2018/12/20 30.0020384 Credit suisse ag – sMiC european Warrants Dec 2018 a 60,000,000 2018/06/25 2018/12/14 10.0220483 goldman sachs sP (asia) – CM Bank european Wts Nov 2018 a 70,000,000 2018/06/25 2018/11/23 10.5020501 goldman sachs sP (asia) – China tel european Wts Oct 2018 B 60,000,000 2018/06/25 2018/10/26 11.6420486 goldman sachs sP (asia) – lenovo european Wts Oct 2018 C 60,000,000 2018/06/25 2018/10/25 15.9620513 goldman sachs sP (asia) – Ping an european Wts Oct 2018 g 100,000,000 2018/06/25 2018/10/29 15.0020519 goldman sachs sP (asia) – Ping an european Wts Nov 2018 B 100,000,000 2018/06/25 2018/11/23 42.1020393 J P Morgan sP BV – China Mobile european Wts Dec 2018 B 100,000,000 2018/06/25 2018/12/31 25.2020408 J P Morgan sP BV – CNOOC european Warrants sep 2019 a 200,000,000 2018/06/25 2019/09/30 30.2020404 J P Morgan sP BV – sinopec Corp european Warrants Dec 2018 a 100,000,000 2018/06/25 2018/12/31 38.6020398 J P Morgan sP BV – gaC european Warrants Dec 2019 a 60,000,000 2018/06/25 2019/12/20 12.0020386 J P Morgan sP BV – Hsi european Warrants Jan 2019 D 300,000,000 2018/06/25 2019/01/30 75.6020345 Macquarie Bank ltd. – BBMg european Warrants Jan 2019 a 20,000,000 2018/06/25 2019/01/16 10.00

MaiN BOarD WarraNts



20352 Macquarie Bank ltd. – CM Bank european Warrants Jul 2019 a 40,000,000 2018/06/25 2019/07/03 10.0020348 Macquarie Bank ltd. – Huadian Fuxin european Warrants May 19 a 30,000,000 2018/06/25 2019/05/16 10.0220411 sg issuer – CC Bank european Warrants Dec 2018 a 60,000,000 2018/06/25 2018/12/31 22.8020418 sg issuer – China eB ltd european Warrants Dec 2018 a 60,000,000 2018/06/25 2018/12/20 10.5020420 sg issuer – China Mobile european Warrants Oct 2018 a 50,000,000 2018/06/25 2018/10/31 10.5020427 sg issuer – Ch Molybdenum european Warrants Dec 2018 B 15,000,000 2018/06/25 2018/12/31 10.9520431 sg issuer – HkeX european Warrants Oct 2018 e 150,000,000 2018/06/25 2018/10/31 22.5020436 sg issuer – iCBC european Warrants Dec 2018 a 60,000,000 2018/06/25 2018/12/31 18.3020480 sg issuer – Meitu european Warrants Mar 2019 a 80,000,000 2018/06/25 2019/03/08 13.6020354 UBs ag – China lit european Warrants May 2019 a 100,000,000 2018/06/25 2019/05/30 25.0020355 UBs ag – gaC european Warrants Dec 2018 B 11,000,000 2018/06/25 2018/12/28 13.7320353 UBs ag – Hk & China gas european Warrants Dec 2018 a 16,000,000 2018/06/25 2018/12/28 10.5420362 UBs ag – Hsi european Warrants Dec 2018 B 200,000,000 2018/06/25 2018/12/28 50.0020365 UBs ag – Hsi european Put Warrants sep 2018 e 200,000,000 2018/06/25 2018/09/27 31.2020366 UBs ag – Hsi european Put Warrants Nov 2018 C 200,000,000 2018/06/25 2018/11/29 41.2020361 UBs ag – Mtr Corporation european Warrants Oct 2018 a 60,000,000 2018/06/25 2018/10/24 10.2620312 Bank Vontobel – BOC Hk european Warrants Mar 2019 a 50,000,000 2018/06/25 2019/03/25 12.6020327 Bank Vontobel – evergrande european Warrants Jan 2019 a 40,000,000 2018/06/25 2019/01/04 12.3220341 Bank Vontobel – greatwall Motor european Warrants Dec 2018 a 15,000,000 2018/06/25 2018/12/24 13.4920340 Bank Vontobel – HkeX european Warrants Mar 2019 a 100,000,000 2018/06/25 2019/03/01 18.0020310 Bank Vontobel – Ping an european Put Warrants Jan 2019 a 40,000,000 2018/06/25 2019/01/03 20.0020806 BOCi asia ltd. – aia european Warrants Dec 2018 a 80,000,000 2018/06/26 2018/12/28 29.9220561 BOCi asia ltd. – CaM Csi300 european Warrants Nov 2018 a 65,000,000 2018/06/26 2018/11/29 10.2120812 BOCi asia ltd. – CsPC Pharma european Warrants Nov 2018 C 60,000,000 2018/06/26 2018/11/23 18.3020558 BOCi asia ltd. – a50 China european Warrants Nov 2018 a 40,000,000 2018/06/26 2018/11/26 10.6020811 BOCi asia ltd. – galaxy ent european Warrants Dec 2018 a 50,000,000 2018/06/26 2018/12/06 16.9520802 BOCi asia ltd. – HkeX european Warrants Nov 2018 C 150,000,000 2018/06/26 2018/11/27 23.2520803 BOCi asia ltd. – HsBC european Warrants Nov 2018 C 100,000,000 2018/06/26 2018/11/27 19.8020562 BOCi asia ltd. – HsCei etF european Warrants Dec 2018 a 40,000,000 2018/06/26 2018/12/06 13.0820782 Credit suisse ag – CitiC sec european Warrants Nov 2018 C 60,000,000 2018/06/26 2018/11/23 10.0220775 Credit suisse ag – China life european Warrants Oct 2018 C 120,000,000 2018/06/26 2018/10/22 20.4020771 Credit suisse ag – China Mobile european Warrants Oct 2018 a 50,000,000 2018/06/26 2018/10/31 10.0020785 Credit suisse ag – greatwall Motor european Wts Dec 2018 a 20,000,000 2018/06/26 2018/12/27 15.0020774 Credit suisse ag – HkeX european Warrants sep 2018 g 200,000,000 2018/06/26 2018/09/26 33.0020783 Credit suisse ag – Haitong sec european Warrants Dec 2018 a 25,000,000 2018/06/26 2018/12/27 20.0020801 Credit suisse ag – tencent european Wts sep 2018 J 250,000,000 2018/06/26 2018/09/26 75.0020765 Credit suisse ag – tencent european Wts Oct 2018 F 250,000,000 2018/06/26 2018/10/19 65.0021003 goldman sachs sP (asia) – aaC tech euro Wts Nov 2018 a 60,000,000 2018/06/26 2018/11/26 10.0220998 goldman sachs sP (asia) – CkH Holdings european Wts Oct 18 a 40,000,000 2018/06/26 2018/10/25 12.0820983 goldman sachs sP (asia) – CNOOC european Warrants Oct 2018 e 60,000,000 2018/06/26 2018/10/10 35.3420990 goldman sachs sP (asia) – galaxy ent european Wts Dec 2018 a 60,000,000 2018/06/26 2018/12/06 16.7420980 goldman sachs sP (asia) – Hsi european Warrants Dec 2018 a 150,000,000 2018/06/26 2018/12/28 22.5010019 Haitong int’l sec – Baba european Warrants Jan 2019 a 8,000,000 2018/06/26 2019/01/18 20.2310020 Haitong int’l sec – Baba european Warrants Jan 2019 B 8,000,000 2018/06/26 2019/01/18 15.89

MaiN BOarD WarraNts



10021 Haitong int’l sec – Baba european Put Warrants Jan 2019 C 8,000,000 2018/06/26 2019/01/18 15.2520884 J P Morgan sP BV – agricultural Bank euro Warrants Jan 2019 a 100,000,000 2018/06/26 2019/01/02 25.0020902 J P Morgan sP BV – aia european Warrants Dec 2018 a 100,000,000 2018/06/26 2018/12/31 32.5020840 J P Morgan sP BV – CaM Csi300 european Warrants Feb 2019 a 100,000,000 2018/06/26 2019/02/01 25.1020940 J P Morgan sP BV – BBMg european Warrants Jan 2019 a 40,000,000 2018/06/26 2019/01/02 14.6420877 J P Morgan sP BV – Bank of China european Warrants Jan 2019 a 100,000,000 2018/06/26 2019/01/02 25.1020847 J P Morgan sP BV – CC Bank european Wts Oct 2018 a 100,000,000 2018/06/26 2018/10/02 22.4020852 J P Morgan sP BV – CC Bank european Wts Dec 2018 B 100,000,000 2018/06/26 2018/12/31 26.5020947 J P Morgan sP BV – CgN Power european Warrants Jan 2019 a 60,000,000 2018/06/26 2019/01/02 15.0620930 J P Morgan sP BV – CiCC european Warrants Jan 2019 a 50,000,000 2018/06/26 2019/01/02 12.5520972 J P Morgan sP BV – COsCO ship Dev european Warrants Mar 19 a 40,000,000 2018/06/26 2019/03/04 10.0420921 J P Morgan sP BV – gF sec european Warrants apr 2019 a 70,000,000 2018/06/26 2019/04/30 10.6420649 J P Morgan sP BV – HsCei european Wts Mar 2019 a 200,000,000 2018/06/26 2019/03/28 50.0020892 J P Morgan sP BV – Hsi european Warrants Nov 2018 e 300,000,000 2018/06/26 2018/11/29 45.9020853 J P Morgan sP BV – iCBC european Warrants Jan 2019 a 100,000,000 2018/06/26 2019/01/02 25.5020909 J P Morgan sP BV – Meitu european Warrants Mar 2019 a 70,000,000 2018/06/26 2019/03/08 10.5020905 J P Morgan sP BV – sunny Optical european Warrants Jan 2019 a 100,000,000 2018/06/26 2019/01/02 25.1020634 J P Morgan sP BV – Zte european Warrants Dec 2018 B 40,000,000 2018/06/26 2018/12/31 12.9620615 Macquarie Bank ltd. – CC Bank european Warrants Jan 2019 a 34,000,000 2018/06/26 2019/01/03 10.0320598 Macquarie Bank ltd. – CitiC sec european Warrants Mar 2019 a 9,000,000 2018/06/26 2019/03/04 10.8420571 Macquarie Bank ltd. – HkeX european Warrants Jan 2019 a 7,000,000 2018/06/26 2019/01/03 11.4920579 Macquarie Bank ltd. – HkeX european Warrants Jan 2019 B 11,000,000 2018/06/26 2019/01/03 10.4820581 Macquarie Bank ltd. – HkeX european Warrants Jan 2019 C 40,000,000 2018/06/26 2019/01/03 10.0020588 Macquarie Bank ltd. – HkeX european Warrants Jan 2019 D 20,000,000 2018/06/26 2019/01/03 10.1820618 Macquarie Bank ltd. – Ping an european Warrants Jan 2019 C 20,000,000 2018/06/26 2019/01/03 11.2820620 Macquarie Bank ltd. – Ping an european Warrants Jan 2019 D 30,000,000 2018/06/26 2019/01/03 10.0821038 sg issuer – Conch Cement european Warrants Dec 2018 a 25,000,000 2018/06/26 2018/12/31 15.5021097 sg issuer – agricultural Bank european Warrants Nov 2018 a 70,000,000 2018/06/26 2018/11/30 11.2021009 sg issuer – aia european Warrants sep 2018 C 60,000,000 2018/06/26 2018/09/28 18.3021034 sg issuer – CaM Csi300 european Warrants Dec 2018 B 60,000,000 2018/06/26 2018/12/31 15.0021011 sg issuer – BOC Hk european Warrants Dec 2018 a 40,000,000 2018/06/26 2018/12/31 10.0021042 sg issuer – CC Bank european Warrants sep 2018 B 40,000,000 2018/06/26 2018/09/28 10.8021050 sg issuer – China life european Warrants Oct 2018 D 120,000,000 2018/06/26 2018/10/31 23.4021101 sg issuer – China life european Warrants Jan 2019 a 120,000,000 2018/06/26 2019/01/31 18.0021104 sg issuer – sinopec Corp european Warrants Dec 2018 a 40,000,000 2018/06/26 2018/12/31 16.2021059 sg issuer – China Unicom european Warrants sep 2018 a 18,000,000 2018/06/26 2018/09/28 10.0821063 sg issuer – geely auto european Warrants Oct 2018 B 50,000,000 2018/06/26 2018/10/31 14.0021062 sg issuer – galaxy ent european Warrants Oct 2018 D 40,000,000 2018/06/26 2018/10/31 10.2021064 sg issuer – HkeX european Warrants sep 2018 e 150,000,000 2018/06/26 2018/09/28 24.0021028 sg issuer – HsBC european Warrants Oct 2018 C 80,000,000 2018/06/26 2018/10/31 16.8021126 sg issuer – Hsi european Warrants Dec 2018 F 150,000,000 2018/06/26 2018/12/28 37.5021128 sg issuer – Hsi european Warrants Dec 2018 g 150,000,000 2018/06/26 2018/12/28 37.5021083 sg issuer – Jiangxi Copper european Warrants Feb 2019 a 70,000,000 2018/06/26 2019/02/28 13.6521086 sg issuer – PetroChina european Warrants Dec 2018 a 40,000,000 2018/06/26 2018/12/31 20.00

MaiN BOarD WarraNts



21105 sg issuer – Ping an european Warrants sep 2018 H 80,000,000 2018/06/26 2018/09/28 30.8021125 sg issuer – Ping an european Warrants Oct 2018 D 80,000,000 2018/06/26 2018/10/31 14.0020546 UBs ag – CC Bank european Warrants sep 2018 B 70,000,000 2018/06/26 2018/09/28 16.3820548 UBs ag – CC Bank european Warrants Dec 2018 B 70,000,000 2018/06/26 2018/12/28 23.5920724 UBs ag – China life european Warrants Oct 2018 B 200,000,000 2018/06/26 2018/10/22 34.2020687 UBs ag – sinopec Corp european Warrants sep 2018 a 60,000,000 2018/06/26 2018/09/26 10.8620695 UBs ag – sinopec Corp european Warrants Oct 2018 C 50,000,000 2018/06/26 2018/10/08 26.9020733 UBs ag – galaxy ent european Warrants Nov 2018 a 70,000,000 2018/06/26 2018/11/02 10.5720734 UBs ag – galaxy ent european Warrants Dec 2018 B 50,000,000 2018/06/26 2018/12/03 14.3020705 UBs ag – HkeX european Warrants Nov 2018 B 300,000,000 2018/06/26 2018/11/05 45.3020536 UBs ag – Hsi european Warrants Nov 2018 D 200,000,000 2018/06/26 2018/11/29 38.4020525 UBs ag – Hsi european Warrants Dec 2018 C 200,000,000 2018/06/26 2018/12/28 50.0020537 UBs ag – Hsi european Warrants Dec 2018 D 200,000,000 2018/06/26 2018/12/28 32.4020663 UBs ag – Hsi european Put Warrants Nov 2018 e 200,000,000 2018/06/26 2018/11/29 34.4020669 UBs ag – Hsi european Put Warrants Dec 2018 e 200,000,000 2018/06/26 2018/12/28 50.0020670 UBs ag – iCBC european Warrants Dec 2018 B 70,000,000 2018/06/26 2018/12/28 19.6720549 UBs ag – PetroChina european Warrants Oct 2018 C 50,000,000 2018/06/26 2018/10/12 21.8520764 UBs ag – sands China ltd european Warrants sep 2018 B 40,000,000 2018/06/26 2018/09/26 12.8020758 UBs ag – sands China ltd european Warrants Oct 2018 B 50,000,000 2018/06/26 2018/10/03 10.3520731 UBs ag – Wynn Macau european Warrants Dec 2018 B 40,000,000 2018/06/26 2018/12/28 12.5220550 UBs ag – Zte european Warrants Dec 2018 B 30,000,000 2018/06/26 2018/12/28 13.8920629 Bank Vontobel – CC Bank european Warrants sep 2018 D 50,000,000 2018/06/26 2018/09/26 17.5020624 Bank Vontobel – CM Bank european Warrants Dec 2018 B 40,000,000 2018/06/26 2018/12/03 10.8020627 Bank Vontobel – tencent european Warrants sep 2018 e 100,000,000 2018/06/26 2018/09/26 28.0021294 BOCi asia ltd. – genscript Bio european Warrants Nov 2018 a 40,000,000 2018/06/27 2018/11/27 14.0821290 BOCi asia ltd. – kunlun energy european Warrants Nov 2018 a 40,000,000 2018/06/27 2018/11/20 12.8821273 BOCi asia ltd. – Meitu european Warrants Mar 2019 a 100,000,000 2018/06/27 2019/03/08 16.6021323 BOCi asia ltd. – Nine Dragons european Warrants Nov 2018 a 70,000,000 2018/06/27 2018/11/23 12.5321303 Credit suisse ag – agricultural Bank european Wts Nov 2018 a 60,000,000 2018/06/27 2018/11/23 10.0221302 Credit suisse ag – aia european Warrants sep 2018 D 70,000,000 2018/06/27 2018/09/26 17.5021317 Credit suisse ag – galaxy ent european Warrants Dec 2018 a 50,000,000 2018/06/27 2018/12/06 17.5021318 Credit suisse ag – Jiangxi Copper european Wts Jan 2019 a 80,000,000 2018/06/27 2019/01/21 12.0021306 Credit suisse ag – PetroChina european Warrants sep 2018 a 50,000,000 2018/06/27 2018/09/26 10.0021144 Hk Bank – CaM Csi300 european Warrants Nov 2018 a 100,000,000 2018/06/27 2018/11/30 15.0021157 Hk Bank – HkeX european Warrants Nov 2018 B 100,000,000 2018/06/27 2018/11/30 15.0021140 Hk Bank – Hsi european Warrants Nov 2018 F 100,000,000 2018/06/27 2018/11/29 15.0021132 Hk Bank – Hsi european Put Warrants Dec 2018 e 100,000,000 2018/06/27 2018/12/28 25.0021301 J P Morgan sP BV – BYD Company european Warrants Jan 2019 a 60,000,000 2018/06/27 2019/01/03 18.7221187 Macquarie Bank ltd. – BOCl european Put Warrants Mar 2019 a 40,000,000 2018/06/27 2019/03/04 10.0021186 Macquarie Bank ltd. – CC Bank european Put Wts Jan 2019 B 28,000,000 2018/06/27 2019/01/03 10.3021191 Macquarie Bank ltd. – CM Bank european Warrants Mar 2019 a 40,000,000 2018/06/27 2019/03/04 10.0021185 Macquarie Bank ltd. – China Mobile european Wts Jan 2019 B 24,500,000 2018/06/27 2019/01/03 10.0221182 Macquarie Bank ltd. – HsBC european Warrants Feb 2019 a 18,000,000 2018/06/27 2019/02/04 10.5521184 Macquarie Bank ltd. – HsBC european Warrants Dec 2019 a 24,500,000 2018/06/27 2019/12/31 10.12

MaiN BOarD WarraNts



21195 Macquarie Bank ltd. – kingsoft european Warrants Jan 2019 B 29,600,000 2018/06/27 2019/01/03 10.0021329 sg issuer – CHalCO european Warrants Dec 2018 a 22,000,000 2018/06/27 2018/12/31 10.0121332 sg issuer – Cgs european Warrants Dec 2018 a 25,000,000 2018/06/27 2018/12/31 10.0021345 sg issuer – CitiC european Warrants Dec 2018 a 13,000,000 2018/06/27 2018/12/31 10.0121350 sg issuer – Cki Holdings european Warrants Dec 2018 a 30,000,000 2018/06/27 2018/12/31 10.0521333 sg issuer – China lit european Warrants Jul 2019 a 100,000,000 2018/06/27 2019/07/31 20.0021334 sg issuer – China Mobile european Put Warrants Oct 2018 B 70,000,000 2018/06/27 2018/10/31 10.5021330 sg issuer – Cathay Pac air euro european Warrants sep 2019 a 80,000,000 2018/06/27 2019/09/30 14.4021353 sg issuer – galaxy ent european Put Warrants Dec 2018 a 40,000,000 2018/06/27 2018/12/31 10.0021355 sg issuer – gF sec european Warrants Dec 2018 B 9,000,000 2018/06/27 2018/12/31 10.0821356 sg issuer – greatwall Motor european Warrants Dec 2018 a 13,000,000 2018/06/27 2018/12/31 10.0121324 sg issuer – HkeX european Warrants Dec 2018 e 150,000,000 2018/06/27 2018/12/31 22.5021357 sg issuer – Haitong sec european Warrants Dec 2018 B 15,000,000 2018/06/27 2018/12/31 10.0521358 sg issuer – MgM China european Warrants Dec 2018 a 40,000,000 2018/06/27 2018/12/31 10.0021325 sg issuer – sMiC european Warrants Jan 2019 a 80,000,000 2018/06/27 2019/01/11 12.4021359 sg issuer – WH group european Warrants Dec 2018 a 14,000,000 2018/06/27 2018/12/31 10.0821223 UBs ag – Conch Cement european Warrants sep 2018 B 35,000,000 2018/06/27 2018/09/28 10.9621228 UBs ag – CHalCO european Warrants Dec 2018 a 20,000,000 2018/06/27 2018/12/28 10.0821226 UBs ag – Bank of China european Warrants Dec 2018 C 70,000,000 2018/06/27 2018/12/20 10.6421245 UBs ag – China east air european Warrants Nov 2018 a 20,000,000 2018/06/27 2018/11/16 15.7821232 UBs ag – Cgs european Warrants Dec 2018 a 30,000,000 2018/06/27 2018/12/28 10.4721222 UBs ag – gF sec european Warrants apr 2019 a 70,000,000 2018/06/27 2019/04/23 10.6421231 UBs ag – r&F Ppt european Warrants Nov 2018 a 70,000,000 2018/06/27 2018/11/09 10.5721196 UBs ag – Haitong int’l european Warrants Dec 2018 a 20,000,000 2018/06/27 2018/12/28 10.0621197 UBs ag – Meitu european Warrants Mar 2019 a 60,000,000 2018/06/27 2019/03/08 10.2621204 UBs ag – Melco int’l Dev european Warrants Dec 2018 a 40,000,000 2018/06/27 2018/12/27 10.0821258 UBs ag – stanchart european Warrants Dec 2018 a 20,000,000 2018/06/27 2018/12/28 10.8821246 UBs ag – WH group european Warrants Dec 2019 a 100,000,000 2018/06/27 2019/12/30 25.0021262 UBs ag – Xinyi glass european Warrants Mar 2019 a 60,000,000 2018/06/27 2019/03/22 10.8621402 BNP Paribas issuance B.V. – Conch Cement euro Wt Jan 2019 a 40,000,000 2018/06/28 2019/01/03 14.0021393 BNP Paribas issuance B.V. – China life euro Wts Jul 2019 B 60,000,000 2018/06/28 2019/07/03 16.2021391 BNP Paribas issuance B.V. – galaxy ent euro Wts Jan 2019 B 40,000,000 2018/06/28 2019/01/03 20.4021387 BNP Paribas issuance B.V. – PsBC european Warrants Jan 2019 a 30,000,000 2018/06/28 2019/01/03 10.5021386 BNP Paribas issuance B.V. – sinopharm euro Wts Jan 2019 a 40,000,000 2018/06/28 2019/01/03 18.0021392 BNP Paribas issuance B.V. – sJM Holdings eu Wts Jan 2019 a 30,000,000 2018/06/28 2019/01/03 27.9021528 Credit suisse ag – CHalCO european Wts Dec 2018 a 30,000,000 2018/06/28 2018/12/27 16.5021525 Credit suisse ag – BYD Company european Warrants Dec 2018 B 25,000,000 2018/06/28 2018/12/20 14.5021532 Credit suisse ag – Meitu european Warrants May 2019 a 60,000,000 2018/06/28 2019/05/24 15.0021377 goldman sachs sP (asia) – agricultural Bank euro Wts Nov 18 a 80,000,000 2018/06/28 2018/11/26 12.0021548 goldman sachs sP (asia) – CaM Csi300 european Wts Dec 2018 B 80,000,000 2018/06/28 2018/12/28 20.0021366 goldman sachs sP (asia) – CC Bank european Wts sep 2018 H 80,000,000 2018/06/28 2018/09/28 28.5621376 goldman sachs sP (asia) – China life euro Wts Oct 2018 C 80,000,000 2018/06/28 2018/10/22 12.0021553 goldman sachs sP (asia) – China Unicom euro Wts sep 2018 a 40,000,000 2018/06/28 2018/09/28 14.5221378 goldman sachs sP (asia) – Fosun intl european Wts Dec 2018 a 70,000,000 2018/06/28 2018/12/20 10.50

MaiN BOarD WarraNts



21552 goldman sachs sP (asia) – HkeX european Warrants Nov 2018 C 150,000,000 2018/06/28 2018/11/27 22.5021557 goldman sachs sP (asia) – iCBC european Warrants sep 2018 F 80,000,000 2018/06/28 2018/09/28 20.9621367 goldman sachs sP (asia) – sands China ltd euro Wts sep 2018 B 80,000,000 2018/06/28 2018/09/28 20.9621551 goldman sachs sP (asia) – sunny Optical euro Wts Oct 2018 B 70,000,000 2018/06/28 2018/10/15 10.5021405 Hk Bank – aia european Warrants Dec 2018 a 80,000,000 2018/06/28 2018/12/31 20.0021413 Hk Bank – aia european Put Warrants Dec 2018 B 80,000,000 2018/06/28 2018/12/31 20.0021403 Hk Bank – Hsi european Warrants Dec 2018 F 180,000,000 2018/06/28 2018/12/28 45.0021496 J P Morgan sP BV – China life european Warrants Oct 2018 C 100,000,000 2018/06/28 2018/10/31 16.2021499 J P Morgan sP BV – China life european Warrants Jun 2019 B 100,000,000 2018/06/28 2019/06/28 15.1021518 J P Morgan sP BV – HkeX european Warrants Nov 2018 D 200,000,000 2018/06/28 2018/11/30 30.2021509 J P Morgan sP BV – Hua Hong semi european Warrants Jan 2019 a 100,000,000 2018/06/28 2019/01/02 49.7021502 J P Morgan sP BV – sunny Optical european Put Wts Mar 2019 a 100,000,000 2018/06/28 2019/03/01 25.2021515 J P Morgan sP BV – Wynn Macau european Warrants Jan 2019 a 60,000,000 2018/06/28 2019/01/03 15.3021447 Macquarie Bank ltd. – geely auto european Wts Jan 2019 a 35,000,000 2018/06/28 2019/01/04 10.1921453 Macquarie Bank ltd. – sunny Optical european Wts Feb 2019 a 40,000,000 2018/06/28 2019/02/04 10.0821448 Macquarie Bank ltd. – tencent european Warrants Jan 2019 i 40,000,000 2018/06/28 2019/01/28 10.0021449 Macquarie Bank ltd. – tencent european Warrants Jan 2019 J 17,000,000 2018/06/28 2019/01/28 10.0121533 sg issuer – China Oilfield european Warrants Oct 2019 a 100,000,000 2018/06/28 2019/10/09 15.0021534 sg issuer – CrCC european Warrants Dec 2018 a 18,000,000 2018/06/28 2018/12/31 10.0821535 sg issuer – CrCC european Warrants Dec 2019 a 120,000,000 2018/06/28 2019/12/31 18.0021538 sg issuer – China telecom european Warrants Dec 2018 a 36,000,000 2018/06/28 2018/12/31 10.2621539 sg issuer – Henderson land european Warrants Dec 2018 B 40,000,000 2018/06/28 2018/12/31 10.0021545 sg issuer – Hsi european Warrants Dec 2018 H 150,000,000 2018/06/28 2018/12/28 37.5021540 sg issuer – kingdee intl european Warrants Jan 2019 a 70,000,000 2018/06/28 2019/01/10 10.5021541 sg issuer – New World Dev eu Wt Dec 2018 B 10,000,000 2018/06/28 2018/12/31 10.0021542 sg issuer – sHk Ppt european Warrants Dec 2018 B 20,000,000 2018/06/28 2018/12/31 13.6021543 sg issuer – sunny Optical european Warrants Dec 2018 C 60,000,000 2018/06/28 2018/12/31 15.0021472 UBs ag – guotai Junan i european Warrants Dec 2018 a 40,000,000 2018/06/28 2018/12/28 10.0421485 UBs ag – HtsC european Warrants apr 2019 a 70,000,000 2018/06/28 2019/04/09 10.5021489 UBs ag – MtrC european Put Warrants Dec 2018 a 40,000,000 2018/06/28 2018/12/28 10.2421471 UBs ag – samsonite european Warrants Jan 2019 a 30,000,000 2018/06/28 2019/01/21 15.6021454 UBs ag – Yongda auto european Warrants Mar 2019 a 40,000,000 2018/06/28 2019/03/29 10.0021414 Bank Vontobel – agricultural Bank european Warrants Jan 19 a 40,000,000 2018/06/28 2019/01/04 11.6021421 Bank Vontobel – CitiC sec european Warrants Feb 2019 a 60,000,000 2018/06/28 2019/02/11 15.0021424 Bank Vontobel – CkH Holdings european Warrants Jan 2019 a 30,000,000 2018/06/28 2019/01/07 27.0321381 Bank Vontobel – CsPC Pharma european Warrants sep 2018 a 40,000,000 2018/06/28 2018/09/28 13.8021380 Bank Vontobel – CsPC Pharma european Warrants Nov 2018 a 40,000,000 2018/06/28 2018/11/09 12.8021419 Bank Vontobel – galaxy ent european Warrants Nov 2018 C 50,000,000 2018/06/28 2018/11/26 10.0521426 Bank Vontobel – HkeX european Warrants Dec 2018 F 100,000,000 2018/06/28 2018/12/03 15.0021415 Bank Vontobel – iCBC european Warrants Jan 2019 a 40,000,000 2018/06/28 2019/01/07 12.7621427 Bank Vontobel – Ping an european Warrants Jan 2019 B 40,000,000 2018/06/28 2019/01/28 23.2021417 Bank Vontobel – sUNaC european Warrants Nov 2018 a 30,000,000 2018/06/28 2018/11/30 11.4321444 Bank Vontobel – sunny Optical european Warrants Oct 2018 a 80,000,000 2018/06/28 2018/10/26 12.0821420 Bank Vontobel – sunny Optical european Warrants Nov 2018 a 80,000,000 2018/06/28 2018/11/23 22.40

MaiN BOarD WarraNts



21438 Bank Vontobel – Zijin Mining european Warrants Mar 2019 a 30,000,000 2018/06/28 2019/03/01 12.9021574 BOCi asia ltd. – Bank of China european Warrants Dec 2018 e 80,000,000 2018/06/29 2018/12/27 19.1221563 BOCi asia ltd. – CC Bank european Warrants Oct 2018 B 50,000,000 2018/06/29 2018/10/03 15.3021565 BOCi asia ltd. – iCBC european Warrants Dec 2018 a 60,000,000 2018/06/29 2018/12/17 13.7421566 BOCi asia ltd. – iCBC european Warrants Dec 2018 B 60,000,000 2018/06/29 2018/12/20 23.4621627 Credit suisse ag – BBMg european Warrants Dec 2018 B 25,000,000 2018/06/29 2018/12/28 12.0021618 Credit suisse ag – CC Bank european Warrants sep 2018 C 50,000,000 2018/06/29 2018/09/28 10.0021621 Credit suisse ag – Hua Hong semi european Warrants Dec 2018 B 30,000,000 2018/06/29 2018/12/28 15.6021616 Credit suisse ag – iCBC european Warrants Dec 2018 a 50,000,000 2018/06/29 2018/12/17 11.0021688 Haitong int’l sec – BBMg european Warrants Dec 2018 B 30,000,000 2018/06/29 2018/12/31 11.4021675 Haitong int’l sec – BYD Company european Warrants Jan 2019 a 30,000,000 2018/06/29 2019/01/03 13.5021670 Haitong int’l sec – China gas Hold european Warrants Mar 19 a 30,000,000 2018/06/29 2019/03/08 14.4021696 Haitong int’l sec – Cgs european Warrants Dec 2018 B 40,000,000 2018/06/29 2018/12/31 13.2021695 Haitong int’l sec – Ch Molybdenum european Warrants Dec 18 a 30,000,000 2018/06/29 2018/12/18 11.7021691 Haitong int’l sec – CsDC european Warrants Feb 2019 B 50,000,000 2018/06/29 2019/02/28 12.5021682 Haitong int’l sec – iCBC european Warrants Dec 2018 a 50,000,000 2018/06/29 2018/12/31 13.5021674 Haitong int’l sec – lenovo european Warrants Mar 2019 a 40,000,000 2018/06/29 2019/03/29 11.2021680 Haitong int’l sec – Meitu european Warrants Mar 2019 B 100,000,000 2018/06/29 2019/03/08 16.0021681 Haitong int’l sec – Meitu european Warrants Dec 2019 a 80,000,000 2018/06/29 2019/12/31 20.8021679 Haitong int’l sec – NCi european Warrants Dec 2018 a 40,000,000 2018/06/29 2018/12/31 12.4021694 Haitong int’l sec – stanchart european Warrants Dec 2018 a 25,000,000 2018/06/29 2018/12/31 11.5021672 Haitong int’l sec – tencent european Put Warrants Dec 2018 F 80,000,000 2018/06/29 2018/12/20 12.8021668 Haitong int’l sec – WH group european Warrants Dec 2018 a 20,000,000 2018/06/29 2018/12/31 16.4021610 J P Morgan sP BV – Hsi european Warrants Feb 2019 a 300,000,000 2018/06/29 2019/02/27 75.0021612 J P Morgan sP BV – Haitong sec european Warrants Jan 2019 a 30,000,000 2018/06/29 2019/01/03 12.1521608 Macquarie Bank ltd. – Beijing air european Wts Jul 2019 a 5,000,000 2018/06/29 2019/07/12 10.0121591 Macquarie Bank ltd. – China life european Put Warrants Feb 19 B 16,000,000 2018/06/29 2019/02/04 10.0321601 Macquarie Bank ltd. – geely auto european Put Wts Feb 2019 B 40,000,000 2018/06/29 2019/02/04 10.1221585 Macquarie Bank ltd. – galaxy ent european Wts Feb 2019 a 24,000,000 2018/06/29 2019/02/04 10.1021586 Macquarie Bank ltd. – galaxy ent european Put Wts Feb 2019 B 20,000,000 2018/06/29 2019/02/04 10.4621600 Macquarie Bank ltd. – kingdee int’l european Wts Nov 2019 a 40,000,000 2018/06/29 2019/11/18 10.0021589 Macquarie Bank ltd. – Wynn Macau european Put Wts Jan 19 B 27,000,000 2018/06/29 2019/01/14 10.2121593 Macquarie Bank ltd. – Zoomlion european Warrants Jul 2019 a 17,000,000 2018/06/29 2019/07/16 10.0121639 sg issuer – CC Bank european Warrants sep 2018 C 40,000,000 2018/06/29 2018/09/28 11.8021651 sg issuer – HkeX european Warrants sep 2018 F 150,000,000 2018/06/29 2018/09/28 23.2521635 sg issuer – HsCei european Warrants Dec 2018 D 150,000,000 2018/06/29 2018/12/28 37.5021659 sg issuer – HtsC european Warrants Dec 2018 a 9,000,000 2018/06/29 2018/12/31 10.0821660 sg issuer – iCBC european Warrants sep 2018 D 40,000,000 2018/06/29 2018/09/28 11.0021662 sg issuer – Ping an european Warrants Dec 2018 C 80,000,000 2018/06/29 2018/12/31 43.2021667 sg issuer – tencent european Warrants Nov 2018 D 200,000,000 2018/06/29 2018/11/30 38.0011520 # sg issuer – Hsi european Warrants sep 2018 D 200,000,000 2018/06/29 2018/09/27 10.00Total 58,049.31

# Further issue

MaiN BOarD DeBt seCUrities


Debt Securities Trading Statistics

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

2017 Q2 43.84 23,757.24 Q3 73.43 17,878.71 Q4 43.07 9,866.802018 Q1 73.73 11,423.14 Q2 8.66 11,216.39

Debt Securities Nominal Value

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

2017 Q2 970 3,676,742.43 Q3 996 3,801,628.13 Q4 1,047 4,033,192.432018 Q1 1,095 4,228,190.05 Q2 1,117 4,313,245.30

New Listing Statistics – Debt Securities

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

2017 Q2 79 332,799.81 Q3 59 214,236.64 Q4 100 334,930.822018 Q1 79 260,424.86 Q2 74 268,843.96



Newly Listed Debt Securitiesfor 2nd quarter 2018

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

04453 shandong iron and steel Xinheng international Co. ltd. 6.90% guar. Bonds 2020 UsD 150,000,000 2018/04/03 2020/03/29 1,167.8504454 tongfang aqua 2017 ltd. 5.375% guaranteed Bonds 2021 UsD 300,000,000 2018/04/03 2021/03/29 2,300.3904455 lenovo group ltd. 4.75% Notes 2023 UsD 750,000,000 2018/04/03 2023/03/29 5,845.3885735 Car inc. 6.50% senior CNY Notes 2021 rMB 400,000,000 2018/04/06 2021/04/04 493.1704426 # greenland global investment ltd. 5.25% Notes 2021 UsD 60,000,000 2018/04/06 2021/02/12 454.1104457 aia group ltd. 3.90% Notes 2028 UsD 500,000,000 2018/04/09 2028/04/06 3,887.8304456 lvqi Holdings Co., ltd. 8.50% senior Bonds 2019 UsD 100,000,000 2018/04/10 2019/04/08 780.0004458 ease trade global ltd. 5.20% guaranteed Notes 2021 UsD 350,000,000 2018/04/11 2021/04/10 2,730.0004459 Bank of China ltd., singapore Branch Fr Notes 2021 UsD 800,000,000 2018/04/18 2021/04/17 6,240.0004460 Bank of China ltd., singapore Branch Fr Notes 2023 UsD 700,000,000 2018/04/18 2023/04/17 5,460.0004461 Bank of China ltd., luxembourg Branch Fr Notes 2021B eUr 700,000,000 2018/04/18 2021/04/17 6,804.9104462 Bank of China ltd., acting through its sydney branch Fr Notes 2021C aUD 800,000,000 2018/04/18 2021/04/17 4,881.0404463 China sCe Property Holdings ltd. 7.45% senior Notes 2021 UsD 600,000,000 2018/04/18 2021/04/17 4,680.0004464 kunzhi ltd. 6.25% guaranteed Bonds 2020 UsD 425,000,000 2018/04/18 2020/10/17 3,315.0004465 Vanke real estate (Hong kong) Co. ltd. 4.15% Notes 2023 UsD 971,000,000 2018/04/19 2023/04/18 7,561.6004466 CitiC ltd. 5.07% Notes 2048 UsD 200,000,000 2018/04/19 2048/04/18 1,552.8604467 Westwood group Holdings ltd. 4.875% guaranteed Notes 2021 UsD 800,000,000 2018/04/20 2021/04/19 6,230.0204468 Westwood group Holdings ltd. 5.375% guaranteed Notes 2023 UsD 400,000,000 2018/04/20 2023/10/19 3,092.3904209 # the government of the Hksar of the PrC 2.46% Bonds 2021 HkD 4,000,000,000 2018/04/20 2021/08/04 4,046.0004469 Jingrui Holdings ltd. 9.45% senior Notes 2021 UsD 350,000,000 2018/04/24 2021/04/23 2,730.0004471 Vertex Capital investment ltd. 4.15% guaranteed Bonds 2019 UsD 500,000,000 2018/04/24 2019/04/22 3,900.0004473 CiFi Holdings (group) Co. ltd. 6.875% senior Notes 2021 UsD 500,000,000 2018/04/24 2021/04/23 3,900.0004472 Xinjiang transportation Construction invest Holding Co. ltd. 6.25% Bonds 2019 UsD 150,000,000 2018/04/25 2019/04/22 1,170.0004470 Yango (Cayman) investment ltd. 9.875% guar. senior Notes2021 UsD 110,000,000 2018/04/26 2021/04/19 841.0804474 CiCC Hong kong Finance 2016 MtN ltd. Fr Notes 2021 UsD 600,000,000 2018/04/26 2021/04/25 4,680.0004475 China Overseas Fin (Cayman) Vii ltd. 4.25% guar. Notes 2023 UsD 750,000,000 2018/04/27 2023/04/26 5,840.8704476 China Overseas Fin (Cayman) Vii ltd. 4.75% guar. Notes 2028 UsD 750,000,000 2018/04/27 2028/04/26 5,829.2905088 # Jiayuan international group ltd. 8.125% senior secured N2019 UsD 100,000,000 2018/04/27 2019/01/17 784.8804477 Yuexiu reit MtN Co. ltd. 4.75% guaranteed Notes 2021 UsD 400,000,000 2018/04/30 2021/04/27 3,097.8505044 # Yankuang group (Cayman) ltd. 4.75% Bonds 2020 UsD 300,000,000 2018/05/02 2020/11/30 2,318.1704478 CNOOC Finance (2015) U.s.a. llC 4.375% guaranteed Notes 2028 UsD 1,000,000,000 2018/05/03 2028/05/02 7,768.1004479 CNOOC Finance (2015) U.s.a. llC 3.75% guaranteed Notes 2028 UsD 450,000,000 2018/05/03 2023/05/02 3,488.6604480 Beijing enterprises Water Capital Management Holdings ltd. 4.95% guar Bonds 2023 UsD 500,000,000 2018/05/03 2023/05/02 3,891.4604481 state grid Overseas investment (2016) ltd. 3.75% senior guar Notes 2023 UsD 950,000,000 2018/05/03 2023/05/02 7,394.5904482 state grid Overseas investment (2016) ltd. 4.25% senior guar Notes 2028 UsD 800,000,000 2018/05/03 2028/05/02 6,217.8504483 MCC Holding (Hong kong) Corporation ltd. 4.95% senior guar Perpetual securities UsD 500,000,000 2018/05/03 – 3,900.0005078 # luso international Banking ltd. 5.375% subordinated Capital Notes 2027 UsD 93,200,000 2018/05/03 2027/12/28 726.0785735 # Car inc. 6.50% senior CNY Notes 2021 rMB 350,000,000 2018/05/03 2021/04/04 428.5204484 Hong seng ltd. 8.50% guaranteed senior Notes 2019 UsD 250,000,000 2018/05/04 2019/05/01 1,950.0004447 # Huaxin Pharmaceutical (Hk) Co., ltd. 6.80% guar. Notes 2021 UsD 56,000,000 2018/05/04 2021/03/15 436.8004458 # ease trade global ltd. 5.20% guaranteed Notes 2021 UsD 150,000,000 2018/05/08 2021/04/10 1,169.9504485 Yuzhou Properties Co. ltd. 7.90% senior Notes 2021 UsD 200,000,000 2018/05/14 2021/05/11 1,560.0004486 Hong kong Mortgage Corporation ltd., the Floating rate Notes 2020 HkD 300,000,000 2018/05/15 2020/05/14 299.95



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

04487 southwest securities int'l securities ltd. 6.75% Bonds 2019 UsD 150,000,000 2018/05/16 2019/05/13 1,170.0004488 iCBCil Finance Co. ltd. Floating rate Notes 2021B UsD 900,000,000 2018/05/16 2021/05/15 7,020.0004489 iCBCil Finance Co. ltd. Floating rate Notes 2023 UsD 600,000,000 2018/05/16 2023/05/15 4,680.0004490 Hong kong Mortgage Corporation ltd., the Floating rate Notes 2020B HkD 1,000,000,000 2018/05/16 2020/05/15 1,000.0004492 guang Ying investment ltd. 4.25% guaranteed Bonds 2021 UsD 250,000,000 2018/05/17 2021/05/16 1,935.1204491 China Huadian Overseas Development 2018 ltd. 3.875% guaranteed Bonds 2023 UsD 600,000,000 2018/05/18 2023/05/17 4,637.4104493 Bank of Communications Co., ltd. Hong kong Branch Floating rate Notes 2021 UsD 600,000,000 2018/05/18 2021/05/17 4,680.0004494 Bank of Communications Co., ltd. Hong kong Branch Floating rate Notes 2023 UsD 700,000,000 2018/05/18 2023/05/17 5,460.0004496 excel Capital global ltd. senior Perpetual Capital securities UsD 200,000,000 2018/05/18 – 1,560.0004215 # the government of the Hksar of the PrC 1.10% Bonds 2023 HkD 2,500,000,000 2018/05/18 2023/01/17 2,347.5004495 Bank of Communications Co., ltd. Hong kong Branch 2.95% Notes 2020B HkD 3,000,000,000 2018/05/21 2020/05/18 3,000.0004499 southwest securities int'l securities ltd. 6.00% Bonds 2019 HkD 780,000,000 2018/05/21 2019/05/10 780.0004072 Hong kong Monetary authority, the 1.79% exchange Fund Notes 2020 HkD 1,200,000,000 2018/05/23 2020/05/21 1,197.0004464 # kunzhi ltd. 6.25% guaranteed Bonds 2020 UsD 65,000,000 2018/05/23 2020/10/17 507.0005100 kunzhi ltd. Floating rate guaranteed Bonds 2021 UsD 310,000,000 2018/05/23 2021/05/21 2,418.0004498 Zhongsheng group Holdings ltd. Zero Coupon Conv. Bonds 2023 HkD 4,700,000,000 2018/05/24 2023/05/23 4,700.0004497 aViC int'l Finance & investment ltd. 4.375% guar. Bonds 2021 UsD 400,000,000 2018/05/24 2021/05/23 3,112.4505102 top Yield Ventures ltd. 9.75 senior Notes 2019 UsD 120,000,000 2018/05/25 2019/05/23 925.2405103 greenland global investment ltd. 6.75% Notes 2019 UsD 500,000,000 2018/05/25 2019/05/22 3,900.0005101 Vanke real estate (Hong kong) Co. ltd. Floating rate Notes 2023 UsD 650,000,000 2018/05/28 2023/05/25 5,070.0005104 China great Wall int'l Hldgs iii ltd. 4.375% guar. Notes 2023 UsD 600,000,000 2018/05/28 2023/05/25 4,659.0405105 angang steel Co. ltd. Zero Coupon Convertible Bonds 2023 HkD 1,850,000,000 2018/05/28 2023/05/25 1,850.0005107 FPC Capital ltd. 5.75% guaranteed Bonds 2025 UsD 175,000,000 2018/05/31 2025/05/30 1,365.0005106 China Overseas grand Oceans Finance iV (Cayman) ltd. 4.875% guar. Notes 2021 UsD 500,000,000 2018/06/04 2021/06/01 3,896.7705108 China Merchants Bank Co., ltd., Hk Branch Flotating rate Notes 2021 UsD 500,000,000 2018/06/04 2021/06/01 3,900.0005109 times China Holdings ltd. 7.85% senior Notes 2021 UsD 450,000,000 2018/06/05 2021/06/04 3,510.0005110 guorui Properties ltd. 10.00% senior Notes 2020 UsD 100,000,000 2018/06/08 2020/06/07 780.0005113 Bank of China ltd., Hong kong Branch 2.85% Notes 2020B HkD 3,000,000,000 2018/06/08 2020/06/07 3,000.0005114 Bank of China ltd., london Branch Floating rate Notes 2021 UsD 500,000,000 2018/06/08 2021/06/07 3,900.0005115 Bank of China ltd., london Branch Floating rate Notes 2023 UsD 500,000,000 2018/06/08 2023/06/07 3,900.0005111 China Construction Bank Corporation, Hong kong Branch Floating rate Notes 2021 UsD 900,000,000 2018/06/11 2021/06/08 7,020.0005112 China Construction Bank Corporation, Hong kong Branch Floating rate Notes 2023 UsD 600,000,000 2018/06/11 2023/06/08 4,680.0005116 China everbright Bank Co. ltd., Hk Branch Floating rate Notes 2021 UsD 300,000,000 2018/06/14 2021/06/13 2,340.0005117 Qingdao Jiaozhou Bay Development Co., ltd. 6.50% Bonds 2021 UsD 120,000,000 2018/06/15 2021/06/14 925.9905073 # Urumqi gaoxin investment and Development group Co. ltd. 5.20% Bonds 2020 UsD 73,000,000 2018/06/15 2020/12/20 564.7905118 industrial and Commercial Bank of China (asia) ltd. Floating rate green Bonds 2021 UsD 200,000,000 2018/06/22 2021/06/21 1,560.0005119 industrial and Commercial Bank of China (asia) ltd. Floating rate green Bonds 2023 UsD 200,000,000 2018/06/22 2023/06/21 1,560.0005120 industrial and Commercial Bank of China (asia) ltd. 3.00% green Bonds 2020 HkD 2,600,000,000 2018/06/22 2020/06/21 2,600.0005121 greenland Hong kong Holdings ltd. 7.875% Bonds 2019 UsD 200,000,000 2018/06/27 2019/06/25 1,560.0005122 greenland global investment ltd. Floating rate Notes 2021 UsD 250,000,000 2018/06/27 2021/09/26 1,950.0005123 Horse gallop Finance ltd. Floating rate guar. Notes 2021 UsD 700,000,000 2018/06/29 2021/06/28 5,460.0005124 Zhenro Properties group ltd. 10.50% senior Notes 2020 UsD 250,000,000 2018/06/29 2020/06/28 1,916.01Total 268,843.96

# Further issue

MaiN BOarD UNit trUsts aND MUtUal FUNDs


Unit Trusts and Mutual Funds Trading Statistics

Leveraged Exchange and Inverse Real Estate Traded Products Investment Fund (ETF) (L&I Products) Trusts (REITs) Others Total % of (HK$ mil.) (HK$ mil.) (HK$ mil.) (HK$ mil.) (HK$ mil.) market total

2017 Q2 287,085.90 40,415.94 22,355.40 35.41 349,892.65 7.69 Q3 256,464.87 31,956.70 23,257.20 99.96 311,778.73 5.26 Q4 249,162.50 13,254.17 22,643.22 96.64 285,156.54 4.392018 Q1 352,766.39 30,133.06 30,117.82 98.32 413,115.59 4.66 Q2 251,843.88 23,169.94 24,750.59 51.70 299,816.11 4.71

Note: turnover value traded in non-HkD currency securities have been included

Unit Trusts and Mutual Funds Market Value

Leveraged Real Estate Exchange and Inverse Investment Traded Products Trusts No. of Funds (ETF) No. of (L&I Products) No. of (REITs) No. of Others No. of Total issues (HK$ mil.) issues (HK$ mil.) issues (HK$ mil.) issues (HK$ mil.) issues (HK$ mil.)

2017 Q2 126 596,939.76 30 4,650.20 11 241,870.58 1 1,045.24 168 844,505.77 Q3 107 601,666.46 27 4,213.20 11 251,920.21 1 1,110.76 146 858,910.64 Q4 106 632,535.18 27 3,442.75 11 276,508.56 1 1,162.33 145 913,648.812018 Q1 106 612,842.81 27 4,509.75 11 263,218.35 1 941.89 145 881,512.80 Q2 108 593,609.09 27 5,188.57 11 268,855.16 1 902.36 145 868,555.18

New Listing Unit Trust and Mutual Funds Statistics

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

2017 Q2 – – Q3 1 – Q4 3 –2018 Q1 1 – Q2 4 –

MaiN BOarD UNit trUsts aND MUtUal FUNDs


Newly Listed Unit Trust and Mutual Fundsfor 2nd quarter 2018

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

03186/83186/ CiCC kraneshares Csi China China international Capital n.a. n.a. n.a. n.a. 2018/04/10 09186 internet index etF Corporation Hong kong asset Management limited03169/83169/ Vanguard total China index etF Vanguard investments Hong kong n.a. n.a. n.a. n.a. 2018/05/10 09169 limited02813/82813 ChinaaMC Bloomberg Barclays China asset Management n.a. n.a. n.a. n.a. 2018/06/06 China treasury + Policy Bank (Hong kong) limited Bond index etF02812 samsung Csi China Dragon samsung asset Management n.a. n.a. n.a. n.a. 2018/06/20 internet etF (Hong kong) limited

MaiN BOarD CallaBle BUll/Bear CONtraCts


Callable Bull/Bear Contracts Trading Statistics

Number Market value Turnover value (HK$ mil.) (HK$ mil.)2017 Q2 2,667 83,611.38 220,839.34 Q3 3,257 119,305.67 302,173.15 Q4 3,374 114,271.35 383,700.912018 Q1 3,476 116,066.49 581,996.64 Q2 2,650 82,658.60 366,044.00

New Listings Callable Bull/Bear Contracts Statistics

No. of newly listed CBBC Amount raised (HK$ mil.)2017 Q2 2,224 75,481.22 Q3 3,799 122,666.17 Q4 4,704 144,771.122018 Q1 7,440 234,572.95 Q2 5,371 173,579.03



Newly Listed Callable Bull/Bear Contractsfor 2nd quarter 2018 No. of issue Amount raisedCode Callable Bull/Bear Contracts (units) Listing date Expiry (HK$ mil.)

59218 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 F 250,000,000 2018/04/03 2019/12/30 62.5059219 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 g 250,000,000 2018/04/03 2019/12/30 62.5059220 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 H 250,000,000 2018/04/03 2019/12/30 62.5059238 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 i 250,000,000 2018/04/03 2019/12/30 62.5059239 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 J 250,000,000 2018/04/03 2019/12/30 62.5059240 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 k 250,000,000 2018/04/03 2019/12/30 62.5059241 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 l 250,000,000 2018/04/03 2019/12/30 62.5059242 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 M 250,000,000 2018/04/03 2019/12/30 62.5059243 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/04/03 2019/12/30 62.5059244 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 O 250,000,000 2018/04/03 2019/12/30 62.5059245 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/04/03 2019/12/30 62.5059237 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 a 250,000,000 2018/04/03 2018/07/30 62.5059233 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 F 250,000,000 2018/04/03 2018/07/30 62.5059234 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 Q 250,000,000 2018/04/03 2018/07/30 62.5059235 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 r 250,000,000 2018/04/03 2018/07/30 62.5059236 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 s 250,000,000 2018/04/03 2018/07/30 62.5059229 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 W 250,000,000 2018/04/03 2018/07/30 62.5059230 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 X 250,000,000 2018/04/03 2018/07/30 62.5059231 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 Y 250,000,000 2018/04/03 2018/07/30 62.5059232 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 Z 250,000,000 2018/04/03 2018/07/30 62.5059222 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 e 50,000,000 2018/04/03 2018/09/27 12.5059224 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 F 50,000,000 2018/04/03 2018/09/27 12.5059221 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 O 50,000,000 2018/04/03 2018/09/27 12.5059223 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 W 50,000,000 2018/04/03 2018/09/27 12.5059227 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 a 50,000,000 2018/04/03 2018/11/29 12.5059228 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 C 50,000,000 2018/04/03 2018/11/29 12.5059225 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 Y 50,000,000 2018/04/03 2018/11/29 17.5059226 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 Z 50,000,000 2018/04/03 2018/11/29 12.5059376 Credit suisse ag – CC Bank r Bull CBBC Nov 2018 J 80,000,000 2018/04/03 2018/11/29 20.0059355 Credit suisse ag – HkeX r Bull CBBC sep 2018 s 50,000,000 2018/04/03 2018/09/27 12.5059354 Credit suisse ag – HsBC r Bull CBBC sep 2018 t 100,000,000 2018/04/03 2018/09/27 25.0059362 Credit suisse ag – HsBC r Bear CBBC sep 2018 C 50,000,000 2018/04/03 2018/09/27 12.5059374 Credit suisse ag – HsCei r Bear CBBC Jul 2018 C 100,000,000 2018/04/03 2018/07/30 25.0059348 Credit suisse ag – Hsi r Bull CBBC Mar 2019 s 200,000,000 2018/04/03 2019/03/28 50.0059352 Credit suisse ag – Hsi r Bull CBBC Mar 2019 t 200,000,000 2018/04/03 2019/03/28 50.0059349 Credit suisse ag – Hsi r Bull CBBC Jul 2019 J 200,000,000 2018/04/03 2019/07/30 50.0059351 Credit suisse ag – Hsi r Bull CBBC Jul 2019 k 200,000,000 2018/04/03 2019/07/30 50.0059353 Credit suisse ag – Hsi r Bull CBBC sep 2019 Q 200,000,000 2018/04/03 2019/09/27 50.0059346 Credit suisse ag – Hsi r Bull CBBC sep 2019 V 200,000,000 2018/04/03 2019/09/27 50.0059347 Credit suisse ag – Hsi r Bull CBBC sep 2019 W 200,000,000 2018/04/03 2019/09/27 50.0059350 Credit suisse ag – Hsi r Bull CBBC sep 2019 X 200,000,000 2018/04/03 2019/09/27 50.0059361 Credit suisse ag – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/04/03 2018/08/30 50.0059367 Credit suisse ag – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/03 2018/08/30 50.00


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


59369 Credit suisse ag – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/04/03 2018/08/30 50.0059371 Credit suisse ag – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/04/03 2018/08/30 50.0059373 Credit suisse ag – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/04/03 2018/08/30 50.0059368 Credit suisse ag – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/04/03 2018/09/27 50.0059370 Credit suisse ag – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/04/03 2018/09/27 50.0059372 Credit suisse ag – Hsi r Bear CBBC sep 2018 k 200,000,000 2018/04/03 2018/09/27 50.0059358 Credit suisse ag – iCBC r Bull CBBC sep 2018 J 80,000,000 2018/04/03 2018/09/27 20.0059375 Credit suisse ag – Ping an r Bull CBBC sep 2018 l 80,000,000 2018/04/03 2018/09/27 20.0059359 Credit suisse ag – Ping an r Bull CBBC Dec 2018 D 80,000,000 2018/04/03 2018/12/28 20.0059366 Credit suisse ag – Ping an r Bear CBBC Nov 2018 B 50,000,000 2018/04/03 2018/11/29 12.5059357 Credit suisse ag – tencent r Bull CBBC sep 2018 F 50,000,000 2018/04/03 2018/09/27 12.5059356 Credit suisse ag – tencent r Bull CBBC Oct 2018 P 50,000,000 2018/04/03 2018/10/30 12.5059360 Credit suisse ag – tencent r Bull CBBC Oct 2018 Q 50,000,000 2018/04/03 2018/10/30 17.5059363 Credit suisse ag – tencent r Bull CBBC Dec 2018 B 50,000,000 2018/04/03 2018/12/28 18.5059364 Credit suisse ag – tencent r Bull CBBC Dec 2018 C 50,000,000 2018/04/03 2018/12/28 22.0059365 Credit suisse ag – tencent r Bear CBBC Nov 2018 a 50,000,000 2018/04/03 2018/11/29 12.5059248 Bank of east asia – Ping an r Bull CBBC Oct 2018 g 120,000,000 2018/04/03 2018/10/30 30.0059249 Bank of east asia – Ping an r Bull CBBC Oct 2018 H 120,000,000 2018/04/03 2018/10/30 30.0059246 Bank of east asia – tencent r Bull CBBC Oct 2018 W 40,000,000 2018/04/03 2018/10/30 10.0059247 Bank of east asia – tencent r Bull CBBC Oct 2018 X 40,000,000 2018/04/03 2018/10/30 10.0059430 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 g 100,000,000 2018/04/03 2018/12/31 25.0059437 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 O 100,000,000 2018/04/03 2018/12/31 25.0059432 goldman sachs sP (asia) – China life r Bull CBBC Dec 2018 i 100,000,000 2018/04/03 2018/12/31 25.0059435 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Oct 2018r 100,000,000 2018/04/03 2018/10/30 25.0059436 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Oct 2018s 100,000,000 2018/04/03 2018/10/25 25.0059433 goldman sachs sP (asia) – galaxy ent r Bull CBBC Nov 2018 i 100,000,000 2018/04/03 2018/11/28 25.0059434 goldman sachs sP (asia) – galaxy ent r Bull CBBC Nov 2018 J 100,000,000 2018/04/03 2018/11/27 25.0059275 goldman sachs sP (asia) – HkeX r Bull CBBC Oct 2018 B 100,000,000 2018/04/03 2018/10/29 25.0059273 goldman sachs sP (asia) – HkeX r Bull CBBC Oct 2018 O 100,000,000 2018/04/03 2018/10/19 25.0059274 goldman sachs sP (asia) – HkeX r Bull CBBC Oct 2018 r 100,000,000 2018/04/03 2018/10/29 25.0059276 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 C 100,000,000 2018/04/03 2018/12/27 25.0059288 goldman sachs sP (asia) – HsCei r Bull CBBC Oct 2019 e 200,000,000 2018/04/03 2019/10/30 50.0059256 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/04/03 2019/10/30 50.0059255 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/04/03 2019/10/30 50.0059258 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 F 200,000,000 2018/04/03 2019/11/28 50.0059259 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/04/03 2019/11/28 50.0059261 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/04/03 2019/11/28 50.2059257 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/04/03 2019/11/28 50.0059260 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/04/03 2019/12/30 50.0059289 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 s 200,000,000 2018/04/03 2018/07/30 50.2059420 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 V 200,000,000 2018/04/03 2018/07/30 50.0059421 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 X 200,000,000 2018/04/03 2018/07/30 50.0059422 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 Y 200,000,000 2018/04/03 2018/07/30 50.2059423 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 Z 200,000,000 2018/04/03 2018/07/30 50.0059431 goldman sachs sP (asia) – Ping an r Bull CBBC Oct 2018 D 100,000,000 2018/04/03 2018/10/25 25.00




59270 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 s 100,000,000 2018/04/03 2018/12/31 25.0059271 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 t 100,000,000 2018/04/03 2018/12/31 25.0059272 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 U 100,000,000 2018/04/03 2018/12/31 25.0059263 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 H 100,000,000 2018/04/03 2018/08/28 25.0059264 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 k 100,000,000 2018/04/03 2018/08/29 25.0059265 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 l 100,000,000 2018/04/03 2018/08/30 25.0059266 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 M 100,000,000 2018/04/03 2018/08/31 25.0059267 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 N 100,000,000 2018/04/03 2018/08/20 28.2059268 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 O 100,000,000 2018/04/03 2018/08/21 30.0059269 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 P 100,000,000 2018/04/03 2018/08/22 33.6059262 goldman sachs sP (asia) – tencent r Bull CBBC aug 2018 W 100,000,000 2018/04/03 2018/08/27 25.0059424 goldman sachs sP (asia) – tencent r Bull CBBC sep 2018 D 100,000,000 2018/04/03 2018/09/24 25.0059425 goldman sachs sP (asia) – tencent r Bull CBBC sep 2018 e 100,000,000 2018/04/03 2018/09/27 25.0059426 goldman sachs sP (asia) – tencent r Bull CBBC sep 2018 F 100,000,000 2018/04/03 2018/09/28 30.3059427 goldman sachs sP (asia) – tencent r Bull CBBC sep 2018 g 100,000,000 2018/04/03 2018/09/27 34.0059428 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 C 100,000,000 2018/04/03 2018/12/31 25.0059429 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 D 100,000,000 2018/04/03 2018/12/31 32.3059277 Hk Bank – aaC tech r Bull CBBC Oct 2018 F 40,000,000 2018/04/03 2018/10/29 10.0059284 Hk Bank – CC Bank r Bear CBBC sep 2018 F 50,000,000 2018/04/03 2018/09/10 12.5059282 Hk Bank – China life r Bull CBBC Oct 2018 B 40,000,000 2018/04/03 2018/10/08 22.0059217 Hk Bank – galaxy ent r Bull CBBC aug 2018 k 80,000,000 2018/04/03 2018/08/06 20.0059215 Hk Bank – HkeX r Bull CBBC Jul 2018 Q 50,000,000 2018/04/03 2018/07/23 12.5059286 Hk Bank – HkeX r Bear CBBC sep 2018 e 40,000,000 2018/04/03 2018/09/27 10.0059214 Hk Bank – HsCei r Bull CBBC Dec 2018 Q 60,000,000 2018/04/03 2018/12/28 15.0059278 Hk Bank – HsCei r Bear CBBC aug 2018 e 50,000,000 2018/04/03 2018/08/30 12.5059212 Hk Bank – Hsi r Bull CBBC Dec 2018 V 150,000,000 2018/04/03 2018/12/28 37.5059213 Hk Bank – Hsi r Bull CBBC Mar 2019 l 100,000,000 2018/04/03 2019/03/28 25.0059279 Hk Bank – Hsi r Bear CBBC aug 2018 M 150,000,000 2018/04/03 2018/08/30 37.5059280 Hk Bank – Hsi r Bear CBBC aug 2018 N 150,000,000 2018/04/03 2018/08/30 37.5059281 Hk Bank – Hsi r Bear CBBC sep 2018 Z 150,000,000 2018/04/03 2018/09/27 37.5059283 Hk Bank – iCBC r Bear CBBC sep 2018 e 50,000,000 2018/04/03 2018/09/10 12.5059216 Hk Bank – Ping an r Bull CBBC Oct 2018 N 100,000,000 2018/04/03 2018/10/04 25.0059287 Hk Bank – Ping an r Bear CBBC Jul 2018 B 80,000,000 2018/04/03 2018/07/23 20.0059209 Hk Bank – tencent r Bull CBBC aug 2018 X 60,000,000 2018/04/03 2018/08/02 15.0059210 Hk Bank – tencent r Bull CBBC aug 2018 Y 60,000,000 2018/04/03 2018/08/23 15.0059211 Hk Bank – tencent r Bull CBBC sep 2018 F 60,000,000 2018/04/03 2018/09/20 21.0059285 Hk Bank – tencent r Bear CBBC aug 2018 Y 50,000,000 2018/04/03 2018/08/20 15.0059290 Haitong int’l sec – tencent r Bull CBBC sep 2018 l 40,000,000 2018/04/03 2018/09/18 10.0059291 Haitong int’l sec – tencent r Bull CBBC sep 2018 M 40,000,000 2018/04/03 2018/09/20 10.0059336 J P Morgan sP BV – CC Bank r Bull CBBC Jul 2018 J 100,000,000 2018/04/03 2018/07/13 25.0059333 J P Morgan sP BV – HkeX r Bull CBBC Jul 2018 H 40,000,000 2018/04/03 2018/07/13 10.0059334 J P Morgan sP BV – HkeX r Bear CBBC Jul 2018 F 40,000,000 2018/04/03 2018/07/13 10.0059337 J P Morgan sP BV – HsCei r Bear CBBC apr 2019 a 100,000,000 2018/04/03 2019/04/29 25.0059320 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 V 200,000,000 2018/04/03 2019/10/30 50.0059323 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 X 200,000,000 2018/04/03 2019/10/30 50.00




59319 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/04/03 2019/11/28 50.0059322 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/04/03 2019/11/28 50.0059321 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/04/03 2019/12/30 50.0059318 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 P 200,000,000 2018/04/03 2019/12/30 50.0059324 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 X 200,000,000 2018/04/03 2019/12/30 50.0059325 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 l 200,000,000 2018/04/03 2018/07/30 50.0059339 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 t 200,000,000 2018/04/03 2018/07/30 50.0059341 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/04/03 2018/08/30 50.0059340 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/04/03 2018/08/30 50.0059345 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/04/03 2018/08/30 50.0059338 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 l 200,000,000 2018/04/03 2018/08/30 50.0059342 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/04/03 2018/08/30 50.0059343 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 O 200,000,000 2018/04/03 2018/08/30 50.0059344 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/04/03 2018/08/30 50.0059335 J P Morgan sP BV – Ping an r Bull CBBC Jul 2018 D 100,000,000 2018/04/03 2018/07/13 25.0059328 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 B 50,000,000 2018/04/03 2018/07/13 15.0059329 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 D 50,000,000 2018/04/03 2018/07/13 21.0059314 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 U 50,000,000 2018/04/03 2018/07/13 12.5059315 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 V 50,000,000 2018/04/03 2018/07/13 12.5059316 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 W 50,000,000 2018/04/03 2018/07/13 12.5059317 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 X 50,000,000 2018/04/03 2018/07/13 13.0059326 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 Y 50,000,000 2018/04/03 2018/07/13 12.5059327 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 Z 50,000,000 2018/04/03 2018/07/13 12.5059330 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 P 50,000,000 2018/04/03 2018/07/13 12.5059331 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 Q 50,000,000 2018/04/03 2018/07/13 12.5059332 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 r 50,000,000 2018/04/03 2018/07/13 12.5059417 sg issuer – CC Bank r Bull CBBC sep 2018 s 100,000,000 2018/04/03 2018/09/18 25.0059413 sg issuer – China life r Bull CBBC Jan 2019 a 40,000,000 2018/04/03 2019/01/30 10.4059414 sg issuer – geely auto r Bear CBBC Nov 2018 B 40,000,000 2018/04/03 2018/11/05 13.0059418 sg issuer – HkeX r Bull CBBC Nov 2018 s 50,000,000 2018/04/03 2018/11/14 12.5059415 sg issuer – HkeX r Bear CBBC Jul 2018 e 50,000,000 2018/04/03 2018/07/19 12.5059394 sg issuer – HsBC r Bull CBBC sep 2018 M 100,000,000 2018/04/03 2018/09/10 25.0059390 sg issuer – Hsi r Bull CBBC sep 2019 X 200,000,000 2018/04/03 2019/09/27 50.0059392 sg issuer – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/04/03 2019/10/30 50.0059391 sg issuer – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/04/03 2019/10/30 50.0059407 sg issuer – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/04/03 2019/11/28 50.0059408 sg issuer – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/04/03 2019/11/28 50.0059409 sg issuer – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/04/03 2019/11/28 50.0059410 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/04/03 2019/11/28 50.0059393 sg issuer – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/04/03 2019/12/30 50.0059411 sg issuer – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/04/03 2019/12/30 50.0059412 sg issuer – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/04/03 2019/12/30 50.0059379 sg issuer – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/03 2018/08/30 50.0059380 sg issuer – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/04/03 2018/08/30 50.0059381 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/04/03 2018/09/27 50.00




59383 sg issuer – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/04/03 2018/10/30 50.0059385 sg issuer – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/04/03 2018/10/30 50.0059386 sg issuer – Hsi r Bear CBBC Oct 2018 O 200,000,000 2018/04/03 2018/10/30 50.0059382 sg issuer – Hsi r Bear CBBC Oct 2018 Y 200,000,000 2018/04/03 2018/10/30 50.0059384 sg issuer – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/04/03 2018/10/30 50.0059387 sg issuer – Hsi r Bear CBBC Nov 2018 X 200,000,000 2018/04/03 2018/11/29 50.0059388 sg issuer – Hsi r Bear CBBC Nov 2018 Y 200,000,000 2018/04/03 2018/11/29 50.0059389 sg issuer – Hsi r Bear CBBC Nov 2018 Z 200,000,000 2018/04/03 2018/11/29 50.0059419 sg issuer – iCBC r Bull CBBC sep 2018 t 60,000,000 2018/04/03 2018/09/21 15.0059395 sg issuer – Ping an r Bull CBBC Nov 2018 J 100,000,000 2018/04/03 2018/11/20 25.0059397 sg issuer – Ping an r Bull CBBC Nov 2018 M 100,000,000 2018/04/03 2018/11/13 25.0059398 sg issuer – Ping an r Bull CBBC Dec 2018 Q 100,000,000 2018/04/03 2018/12/12 25.0059416 sg issuer – Ping an r Bear CBBC aug 2018 a 100,000,000 2018/04/03 2018/08/08 25.0059399 sg issuer – tencent r Bull CBBC aug 2018 O 80,000,000 2018/04/03 2018/08/02 21.6059400 sg issuer – tencent r Bull CBBC aug 2018 s 80,000,000 2018/04/03 2018/08/06 25.6059403 sg issuer – tencent r Bull CBBC sep 2018 C 80,000,000 2018/04/03 2018/09/24 29.6059402 sg issuer – tencent r Bull CBBC sep 2018 V 80,000,000 2018/04/03 2018/09/19 20.0059401 sg issuer – tencent r Bull CBBC sep 2018 X 80,000,000 2018/04/03 2018/09/10 34.4059404 sg issuer – tencent r Bull CBBC Oct 2018 r 80,000,000 2018/04/03 2018/10/03 20.0059405 sg issuer – tencent r Bull CBBC Oct 2018 s 80,000,000 2018/04/03 2018/10/11 20.0059406 sg issuer – tencent r Bull CBBC Oct 2018 t 80,000,000 2018/04/03 2018/10/22 39.2059396 sg issuer – tencent r Bull CBBC Nov 2018 C 80,000,000 2018/04/03 2018/11/08 20.0059377 sg issuer – tencent r Bear CBBC Jul 2018 P 80,000,000 2018/04/03 2018/07/18 20.0059378 sg issuer – tencent r Bear CBBC Jul 2018 Q 80,000,000 2018/04/03 2018/07/20 20.0059303 UBs ag – HkeX r Bull CBBC sep 2018 V 50,000,000 2018/04/03 2018/09/24 12.5059293 UBs ag – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/04/03 2019/10/30 50.0059292 UBs ag – Hsi r Bull CBBC Oct 2019 t 250,000,000 2018/04/03 2019/10/30 62.5059295 UBs ag – Hsi r Bull CBBC Oct 2019 V 200,000,000 2018/04/03 2019/10/30 50.0059294 UBs ag – Hsi r Bull CBBC Nov 2019 B 250,000,000 2018/04/03 2019/11/28 62.5059296 UBs ag – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/04/03 2019/12/30 62.5059313 UBs ag – Hsi r Bull CBBC Dec 2019 U 250,000,000 2018/04/03 2019/12/30 62.5059297 UBs ag – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/04/03 2019/12/30 50.0059312 UBs ag – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/04/03 2019/12/30 62.5059306 UBs ag – Hsi r Bear CBBC Jul 2018 Q 250,000,000 2018/04/03 2018/07/30 62.5059307 UBs ag – Hsi r Bear CBBC Jul 2018 V 200,000,000 2018/04/03 2018/07/30 50.0059308 UBs ag – Hsi r Bear CBBC Jul 2018 W 250,000,000 2018/04/03 2018/07/30 62.5059309 UBs ag – Hsi r Bear CBBC aug 2018 Z 250,000,000 2018/04/03 2018/08/30 62.5059304 UBs ag – Ping an r Bull CBBC Jul 2018 a 80,000,000 2018/04/03 2018/07/09 20.0059305 UBs ag – Ping an r Bull CBBC Jul 2018 B 80,000,000 2018/04/03 2018/07/16 20.0059300 UBs ag – tencent r Bull CBBC Jul 2018 B 30,000,000 2018/04/03 2018/07/23 10.2059301 UBs ag – tencent r Bull CBBC aug 2018 r 30,000,000 2018/04/03 2018/08/07 10.8059302 UBs ag – tencent r Bull CBBC aug 2018 s 30,000,000 2018/04/03 2018/08/21 16.8059299 UBs ag – tencent r Bull CBBC sep 2018 V 30,000,000 2018/04/03 2018/09/06 10.2059298 UBs ag – tencent r Bull CBBC Oct 2018 N 30,000,000 2018/04/03 2018/10/24 10.2059310 UBs ag – tencent r Bear CBBC aug 2018 a 30,000,000 2018/04/03 2018/08/07 10.20




59311 UBs ag – tencent r Bear CBBC aug 2018 B 30,000,000 2018/04/03 2018/08/13 10.5059201 Bank Vontobel – Hsi r Bull CBBC Nov 2018 F 100,000,000 2018/04/03 2018/11/29 25.7059202 Bank Vontobel – Hsi r Bull CBBC Nov 2018 g 100,000,000 2018/04/03 2018/11/29 25.7059203 Bank Vontobel – Hsi r Bull CBBC Nov 2018 H 100,000,000 2018/04/03 2018/11/29 25.6059204 Bank Vontobel – Hsi r Bull CBBC Nov 2018 i 100,000,000 2018/04/03 2018/11/29 25.7059253 Bank Vontobel – Hsi r Bull CBBC Nov 2018 J 100,000,000 2018/04/03 2018/11/29 25.7059250 Bank Vontobel – Hsi r Bear CBBC sep 2018 r 100,000,000 2018/04/03 2018/09/27 25.8059251 Bank Vontobel – Hsi r Bear CBBC sep 2018 s 100,000,000 2018/04/03 2018/09/27 25.8059252 Bank Vontobel – Hsi r Bear CBBC sep 2018 t 100,000,000 2018/04/03 2018/09/27 25.7059205 Bank Vontobel – tencent r Bull CBBC sep 2018 k 40,000,000 2018/04/03 2018/09/17 10.2459206 Bank Vontobel – tencent r Bull CBBC sep 2018 l 40,000,000 2018/04/03 2018/09/20 18.5659207 Bank Vontobel – tencent r Bull CBBC sep 2018 M 40,000,000 2018/04/03 2018/09/19 13.9259208 Bank Vontobel – tencent r Bull CBBC sep 2018 N 40,000,000 2018/04/03 2018/09/18 10.2059254 Bank Vontobel – tencent r Bear CBBC Jul 2018 N 40,000,000 2018/04/03 2018/07/24 10.2859453 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 P 100,000,000 2018/04/04 2018/11/29 25.0059454 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 Q 100,000,000 2018/04/04 2018/11/29 25.0059456 BNP Paribas issuance B.V. – galaxy ent r Bull CBBC Nov 2018 a 150,000,000 2018/04/04 2018/11/29 37.5059457 BNP Paribas issuance B.V. – HkeX r Bear CBBC Jul 2018 r 50,000,000 2018/04/04 2018/07/30 12.5059458 BNP Paribas issuance B.V. – HsCei r Bear CBBC Jul 2018 F 100,000,000 2018/04/04 2018/07/30 25.0059459 BNP Paribas issuance B.V. – HsCei r Bear CBBC Jul 2018 g 100,000,000 2018/04/04 2018/07/30 25.0059455 BNP Paribas issuance B.V. – Ping an r Bear CBBC Nov 2018 D 200,000,000 2018/04/04 2018/11/29 50.0059542 Credit suisse ag – aia r Bull CBBC Nov 2018 a 70,000,000 2018/04/04 2018/11/29 17.5059525 Credit suisse ag – Bank of China r Bull CBBC Nov 2018 F 80,000,000 2018/04/04 2018/11/29 20.0059543 Credit suisse ag – galaxy ent r Bull CBBC Nov 2018 B 50,000,000 2018/04/04 2018/11/29 12.5059523 Credit suisse ag – HkeX r Bull CBBC Oct 2018 U 50,000,000 2018/04/04 2018/10/30 12.5059528 Credit suisse ag – HsBC r Bull CBBC Nov 2018 C 70,000,000 2018/04/04 2018/11/29 17.5059537 Credit suisse ag – HsCei r Bear CBBC Jul 2018 D 100,000,000 2018/04/04 2018/07/30 25.0059536 Credit suisse ag – Hsi r Bull CBBC apr 2019 H 200,000,000 2018/04/04 2019/04/29 50.0059521 Credit suisse ag – Hsi r Bull CBBC Jul 2019 l 200,000,000 2018/04/04 2019/07/30 50.0059520 Credit suisse ag – Hsi r Bull CBBC sep 2019 r 200,000,000 2018/04/04 2019/09/27 50.0059522 Credit suisse ag – Hsi r Bull CBBC sep 2019 Y 200,000,000 2018/04/04 2019/09/27 50.0059535 Credit suisse ag – Hsi r Bull CBBC sep 2019 Z 200,000,000 2018/04/04 2019/09/27 50.0059529 Credit suisse ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/04/04 2018/08/30 50.0059526 Credit suisse ag – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/04/04 2018/08/30 50.0059531 Credit suisse ag – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/04/04 2018/08/30 50.0059533 Credit suisse ag – Hsi r Bear CBBC aug 2018 W 200,000,000 2018/04/04 2018/08/30 50.0059527 Credit suisse ag – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/04/04 2018/09/27 50.0059530 Credit suisse ag – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/04/04 2018/09/27 50.0059532 Credit suisse ag – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/04/04 2018/09/27 50.0059534 Credit suisse ag – Hsi r Bear CBBC sep 2018 O 200,000,000 2018/04/04 2018/09/27 50.0059524 Credit suisse ag – Ping an r Bull CBBC Nov 2018 P 80,000,000 2018/04/04 2018/11/29 20.0059538 Credit suisse ag – tencent r Bull CBBC sep 2018 g 50,000,000 2018/04/04 2018/09/27 12.5059540 Credit suisse ag – tencent r Bull CBBC sep 2018 H 50,000,000 2018/04/04 2018/09/27 12.5059539 Credit suisse ag – tencent r Bull CBBC Nov 2018 J 50,000,000 2018/04/04 2018/11/29 12.5059541 Credit suisse ag – tencent r Bear CBBC Oct 2018 D 50,000,000 2018/04/04 2018/10/30 12.50




59477 Bank of east asia – CC Bank r Bull CBBC Nov 2018 C 60,000,000 2018/04/04 2018/11/02 15.0059472 Bank of east asia – galaxy ent r Bull CBBC Nov 2018 D 16,000,000 2018/04/04 2018/11/02 10.4059473 Bank of east asia – galaxy ent r Bull CBBC Nov 2018 e 16,000,000 2018/04/04 2018/11/02 10.4059475 Bank of east asia – HkeX r Bull CBBC Nov 2018 N 40,000,000 2018/04/04 2018/11/02 10.0059474 Bank of east asia – HsBC r Bull CBBC Nov 2018 B 60,000,000 2018/04/04 2018/11/02 15.0059476 Bank of east asia – Ping an r Bull CBBC Nov 2018 i 120,000,000 2018/04/04 2018/11/02 30.0059440 Bank of east asia – tencent r Bull CBBC Nov 2018 r 40,000,000 2018/04/04 2018/11/02 10.0059470 Bank of east asia – tencent r Bull CBBC Nov 2018 s 40,000,000 2018/04/04 2018/11/02 10.0059471 Bank of east asia – tencent r Bull CBBC Nov 2018 t 40,000,000 2018/04/04 2018/11/02 10.0059550 goldman sachs sP (asia) – aaC tech r Bull CBBC Dec 2018 i 100,000,000 2018/04/04 2018/12/28 25.0059548 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 H 100,000,000 2018/04/04 2018/12/31 25.0059464 goldman sachs sP (asia) – HkeX r Bull CBBC Oct 2018 C 100,000,000 2018/04/04 2018/10/19 25.0059551 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 F 100,000,000 2018/04/04 2018/12/27 25.0059552 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 D 100,000,000 2018/04/04 2018/12/28 25.0059490 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/04/04 2019/12/30 50.0059491 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 P 200,000,000 2018/04/04 2019/12/30 50.0059460 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 H 200,000,000 2018/04/04 2020/01/30 50.0059461 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 i 200,000,000 2018/04/04 2020/01/30 50.2059467 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/04/04 2018/08/30 50.0059468 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/04/04 2018/08/30 50.0059469 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 k 200,000,000 2018/04/04 2018/08/30 50.0059549 goldman sachs sP (asia) – iCBC r Bull CBBC Dec 2018 t 100,000,000 2018/04/04 2018/12/28 25.0059462 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 V 100,000,000 2018/04/04 2018/12/28 25.0059463 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 W 100,000,000 2018/04/04 2018/12/28 25.0059465 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 k 100,000,000 2018/04/04 2018/10/29 25.0059466 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 l 100,000,000 2018/04/04 2018/10/29 25.0059544 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 M 100,000,000 2018/04/04 2018/10/02 25.0059545 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 N 100,000,000 2018/04/04 2018/10/03 25.0059546 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 O 100,000,000 2018/04/04 2018/10/04 28.9059547 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 B 80,000,000 2018/04/04 2018/12/31 34.3259448 Hk Bank – aia r Bull CBBC Oct 2018 M 80,000,000 2018/04/04 2018/10/02 20.0059449 Hk Bank – CC Bank r Bull CBBC sep 2018 M 100,000,000 2018/04/04 2018/09/13 25.0059446 Hk Bank – geely auto r Bear CBBC Oct 2018 e 40,000,000 2018/04/04 2018/10/02 14.0059447 Hk Bank – galaxy ent r Bull CBBC Oct 2018 e 80,000,000 2018/04/04 2018/10/22 20.0059444 Hk Bank – HkeX r Bull CBBC Oct 2018 Y 50,000,000 2018/04/04 2018/10/04 12.5059445 Hk Bank – HkeX r Bear CBBC Oct 2018 H 40,000,000 2018/04/04 2018/10/04 10.0059452 Hk Bank – HsCei r Bear CBBC aug 2018 F 50,000,000 2018/04/04 2018/08/30 12.5059439 Hk Bank – Hsi r Bull CBBC Dec 2018 H 150,000,000 2018/04/04 2018/12/28 37.5059450 Hk Bank – Hsi r Bear CBBC aug 2018 O 150,000,000 2018/04/04 2018/08/30 37.5059451 Hk Bank – Hsi r Bear CBBC sep 2018 a 150,000,000 2018/04/04 2018/09/27 37.5059438 Hk Bank – Ping an r Bull CBBC Oct 2018 J 100,000,000 2018/04/04 2018/10/11 25.0059441 Hk Bank – tencent r Bull CBBC sep 2018 g 60,000,000 2018/04/04 2018/09/28 15.0059442 Hk Bank – tencent r Bull CBBC sep 2018 H 60,000,000 2018/04/04 2018/09/03 15.0059443 Hk Bank – tencent r Bear CBBC sep 2018 M 50,000,000 2018/04/04 2018/09/13 20.0059494 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/04/04 2019/11/28 50.00




59502 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/04/04 2019/11/28 50.0059493 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/04/04 2019/12/30 50.0059501 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/04/04 2019/12/30 50.0059495 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 M 200,000,000 2018/04/04 2018/07/30 50.0059496 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/04 2018/08/30 50.0059497 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/04/04 2018/08/30 50.0059503 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/04/04 2018/08/30 50.0059504 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/04/04 2018/08/30 50.0059500 J P Morgan sP BV – Ping an r Bull CBBC Jul 2018 e 100,000,000 2018/04/04 2018/07/13 25.0059498 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 g 50,000,000 2018/04/04 2018/07/13 12.5059499 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 i 50,000,000 2018/04/04 2018/07/13 12.5059492 Macquarie Bank ltd. – Ping an r Bull CBBC Dec 2018 C 5,000,000 2018/04/04 2018/12/28 15.7459505 sg issuer – galaxy ent r Bull CBBC Oct 2018 e 80,000,000 2018/04/04 2018/10/26 20.0059509 sg issuer – HkeX r Bull CBBC Dec 2018 M 50,000,000 2018/04/04 2018/12/14 12.5059517 sg issuer – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/04/04 2019/10/30 50.0059516 sg issuer – Hsi r Bull CBBC Oct 2019 l 200,000,000 2018/04/04 2019/10/30 50.0059518 sg issuer – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/04/04 2019/11/28 50.0059519 sg issuer – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/04/04 2019/12/30 50.0059507 sg issuer – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/04/04 2018/09/27 50.0059512 sg issuer – Hsi r Bear CBBC Oct 2018 a 200,000,000 2018/04/04 2018/10/30 50.0059508 sg issuer – Hsi r Bear CBBC Nov 2018 B 200,000,000 2018/04/04 2018/11/29 50.0059513 sg issuer – Hsi r Bear CBBC Nov 2018 C 200,000,000 2018/04/04 2018/11/29 50.0059514 sg issuer – Hsi r Bear CBBC Dec 2018 k 200,000,000 2018/04/04 2018/12/28 50.0059515 sg issuer – Hsi r Bear CBBC Dec 2018 l 200,000,000 2018/04/04 2018/12/28 50.0059510 sg issuer – tencent r Bull CBBC Nov 2018 D 80,000,000 2018/04/04 2018/11/30 20.0059506 sg issuer – tencent r Bull CBBC Dec 2018 r 80,000,000 2018/04/04 2018/12/21 20.0059511 sg issuer – tencent r Bull CBBC Dec 2018 s 80,000,000 2018/04/04 2018/12/21 20.0059481 UBs ag – China life r Bull CBBC aug 2019 a 40,000,000 2018/04/04 2019/08/19 11.2059479 UBs ag – Hsi r Bull CBBC Nov 2019 C 250,000,000 2018/04/04 2019/11/28 62.5059478 UBs ag – Hsi r Bull CBBC Nov 2019 U 250,000,000 2018/04/04 2019/11/28 62.5059480 UBs ag – Hsi r Bull CBBC Dec 2019 Y 250,000,000 2018/04/04 2019/12/30 62.5059484 UBs ag – Hsi r Bear CBBC Jul 2018 H 250,000,000 2018/04/04 2018/07/30 62.5059486 UBs ag – Hsi r Bear CBBC Jul 2018 k 250,000,000 2018/04/04 2018/07/30 62.5059483 UBs ag – Hsi r Bear CBBC Jul 2018 X 200,000,000 2018/04/04 2018/07/30 50.0059482 UBs ag – Hsi r Bear CBBC aug 2018 a 250,000,000 2018/04/04 2018/08/30 62.5059485 UBs ag – Hsi r Bear CBBC aug 2018 C 250,000,000 2018/04/04 2018/08/30 62.5059487 UBs ag – Hsi r Bear CBBC aug 2018 D 250,000,000 2018/04/04 2018/08/30 62.5059488 UBs ag – Ping an r Bull CBBC Oct 2018 P 80,000,000 2018/04/04 2018/10/30 20.0059489 UBs ag – tencent r Bull CBBC aug 2018 t 30,000,000 2018/04/04 2018/08/28 10.2059646 Credit suisse ag – CC Bank r Bull CBBC Dec 2018 D 80,000,000 2018/04/06 2018/12/28 20.0059639 Credit suisse ag – sinopec Corp r Bull CBBC Nov 2018 C 60,000,000 2018/04/06 2018/11/29 15.0059644 Credit suisse ag – CsOP a50 etF r Bull CBBC Oct 2018 D 50,000,000 2018/04/06 2018/10/30 12.5059645 Credit suisse ag – CsOP a50 etF r Bull CBBC Oct 2018 e 50,000,000 2018/04/06 2018/10/30 12.5059637 Credit suisse ag – galaxy ent r Bull CBBC Oct 2018 C 50,000,000 2018/04/06 2018/10/30 12.5059638 Credit suisse ag – galaxy ent r Bear CBBC Oct 2018 B 50,000,000 2018/04/06 2018/10/30 12.50




59640 Credit suisse ag – HkeX r Bull CBBC Nov 2018 e 50,000,000 2018/04/06 2018/11/29 12.5059649 Credit suisse ag – Hsi r Bull CBBC Mar 2019 U 200,000,000 2018/04/06 2019/03/28 50.0059651 Credit suisse ag – Hsi r Bull CBBC apr 2019 C 200,000,000 2018/04/06 2019/04/29 50.0059647 Credit suisse ag – Hsi r Bull CBBC Jul 2019 M 200,000,000 2018/04/06 2019/07/30 50.0059648 Credit suisse ag – Hsi r Bull CBBC Jul 2019 N 200,000,000 2018/04/06 2019/07/30 50.0059650 Credit suisse ag – Hsi r Bull CBBC Jul 2019 O 200,000,000 2018/04/06 2019/07/30 50.0059636 Credit suisse ag – Hsi r Bull CBBC sep 2019 e 200,000,000 2018/04/06 2019/09/27 50.0059633 Credit suisse ag – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/04/06 2018/08/30 50.0059631 Credit suisse ag – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/04/06 2018/08/30 50.0059635 Credit suisse ag – Hsi r Bear CBBC aug 2018 Y 200,000,000 2018/04/06 2018/08/30 50.0059632 Credit suisse ag – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/04/06 2018/09/27 50.0059634 Credit suisse ag – Hsi r Bear CBBC sep 2018 r 200,000,000 2018/04/06 2018/09/27 50.0059643 Credit suisse ag – sUNaC r Bull CBBC Jan 2019 B 100,000,000 2018/04/06 2019/01/30 25.0059642 Credit suisse ag – tencent r Bull CBBC Oct 2018 r 50,000,000 2018/04/06 2018/10/30 12.5059641 Credit suisse ag – tencent r Bull CBBC Nov 2018 k 50,000,000 2018/04/06 2018/11/29 12.5059652 Credit suisse ag – tencent r Bull CBBC Nov 2018 l 50,000,000 2018/04/06 2018/11/29 22.5059669 goldman sachs sP (asia) – Bank of China r Bull CBBC Feb 2019 i 100,000,000 2018/04/06 2019/02/26 25.0059666 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/04/06 2019/12/30 50.2059664 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/04/06 2019/12/30 50.2059665 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 r 200,000,000 2018/04/06 2019/12/30 50.0059569 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 a 200,000,000 2018/04/06 2018/09/27 50.0059570 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/04/06 2018/09/27 50.0059571 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/04/06 2018/09/27 50.0059663 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/04/06 2018/09/27 50.2059667 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 P 100,000,000 2018/04/06 2018/10/08 25.0059668 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 Q 100,000,000 2018/04/06 2018/10/09 25.0059566 Hk Bank – aaC tech r Bull CBBC Oct 2018 g 40,000,000 2018/04/06 2018/10/22 10.0059568 Hk Bank – Country garden r Bull CBBC Nov 2018 F 40,000,000 2018/04/06 2018/11/05 10.0059565 Hk Bank – geely auto r Bull CBBC sep 2018 Q 40,000,000 2018/04/06 2018/09/17 10.0059564 Hk Bank – galaxy ent r Bear CBBC Oct 2018 C 40,000,000 2018/04/06 2018/10/22 10.0059559 Hk Bank – HkeX r Bull CBBC Oct 2018 Z 50,000,000 2018/04/06 2018/10/18 12.5059563 Hk Bank – HsCei r Bull CBBC Dec 2018 r 60,000,000 2018/04/06 2018/12/28 15.0059560 Hk Bank – Hsi r Bull CBBC Dec 2018 i 150,000,000 2018/04/06 2018/12/28 37.5059561 Hk Bank – Hsi r Bull CBBC Mar 2019 M 150,000,000 2018/04/06 2019/03/28 37.5059562 Hk Bank – Hsi r Bear CBBC aug 2018 P 150,000,000 2018/04/06 2018/08/30 37.5059567 Hk Bank – iCBC r Bull CBBC sep 2018 N 100,000,000 2018/04/06 2018/09/17 25.0059558 Hk Bank – Ping an r Bull CBBC Oct 2018 O 100,000,000 2018/04/06 2018/10/02 25.0059556 Hk Bank – tencent r Bull CBBC aug 2018 W 60,000,000 2018/04/06 2018/08/30 15.0059557 Hk Bank – tencent r Bull CBBC Oct 2018 U 60,000,000 2018/04/06 2018/10/02 21.0059553 Haitong int’l sec – HkeX r Bull CBBC Oct 2018 B 40,000,000 2018/04/06 2018/10/24 10.0059555 Haitong int’l sec – Ping an r Bull CBBC Oct 2018 F 30,000,000 2018/04/06 2018/10/10 10.4759554 Haitong int’l sec – tencent r Bull CBBC sep 2018 N 40,000,000 2018/04/06 2018/09/24 10.0059621 J P Morgan sP BV – Bank of China r Bull CBBC Nov 2018 a 150,000,000 2018/04/06 2018/11/16 37.5059619 J P Morgan sP BV – China Mobile r Bull CBBC aug 2018 B 100,000,000 2018/04/06 2018/08/17 25.0059618 J P Morgan sP BV – galaxy ent r Bull CBBC aug 2018 C 80,000,000 2018/04/06 2018/08/17 20.00




59616 J P Morgan sP BV – HkeX r Bull CBBC Jul 2018 i 40,000,000 2018/04/06 2018/07/13 10.0059617 J P Morgan sP BV – HkeX r Bull CBBC Jul 2018 J 50,000,000 2018/04/06 2018/07/13 12.5059624 J P Morgan sP BV – Hsi r Bull CBBC Oct 2018 X 200,000,000 2018/04/06 2018/10/30 50.0059626 J P Morgan sP BV – Hsi r Bull CBBC Oct 2018 Y 200,000,000 2018/04/06 2018/10/30 50.0059625 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 a 200,000,000 2018/04/06 2019/11/28 50.0059610 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/04/06 2019/11/28 50.0059623 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 W 200,000,000 2018/04/06 2019/11/28 50.0059609 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/04/06 2019/12/30 50.0059622 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/04/06 2019/12/30 50.0059629 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 B 200,000,000 2018/04/06 2018/08/30 50.0059630 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/04/06 2018/08/30 50.0059606 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/04/06 2018/08/30 50.0059607 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 W 200,000,000 2018/04/06 2018/08/30 50.0059608 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/04/06 2018/08/30 50.0059627 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Y 200,000,000 2018/04/06 2018/08/30 50.0059628 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Z 200,000,000 2018/04/06 2018/08/30 50.0059620 J P Morgan sP BV – sunny Optical r Bull CBBC Jul 2018 e 40,000,000 2018/04/06 2018/07/13 10.0059611 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 e 50,000,000 2018/04/06 2018/07/13 12.5059612 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 F 50,000,000 2018/04/06 2018/07/13 12.5059613 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 s 50,000,000 2018/04/06 2018/07/13 12.5059614 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 t 50,000,000 2018/04/06 2018/07/13 12.5059615 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 U 50,000,000 2018/04/06 2018/07/13 12.5059576 Macquarie Bank ltd. – HkeX r Bull CBBC Oct 2018 k 16,000,000 2018/04/06 2018/10/26 11.0959577 Macquarie Bank ltd. – HkeX r Bull CBBC Oct 2018 l 16,000,000 2018/04/06 2018/10/26 10.6459578 Macquarie Bank ltd. – tencent r Bull CBBC Oct 2018 B 12,000,000 2018/04/06 2018/10/31 12.3759579 Macquarie Bank ltd. – tencent r Bull CBBC Oct 2018 C 12,000,000 2018/04/06 2018/10/31 11.3459653 sg issuer – aaC tech r Bull CBBC Dec 2018 B 40,000,000 2018/04/06 2018/12/07 10.0059659 sg issuer – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/04/06 2019/10/30 50.0059660 sg issuer – Hsi r Bull CBBC Oct 2019 O 200,000,000 2018/04/06 2019/10/30 50.0059661 sg issuer – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/04/06 2019/11/28 50.0059662 sg issuer – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/04/06 2019/12/30 50.0059657 sg issuer – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/04/06 2018/09/27 50.0059658 sg issuer – Hsi r Bear CBBC Nov 2018 e 200,000,000 2018/04/06 2018/11/29 50.0059654 sg issuer – tencent r Bull CBBC Nov 2018 a 80,000,000 2018/04/06 2018/11/23 20.0059655 sg issuer – tencent r Bull CBBC Dec 2018 t 80,000,000 2018/04/06 2018/12/14 20.0059656 sg issuer – tencent r Bull CBBC Dec 2018 U 80,000,000 2018/04/06 2018/12/21 20.0059599 UBs ag – CC Bank r Bull CBBC Oct 2018 l 80,000,000 2018/04/06 2018/10/08 20.0059602 UBs ag – China life r Bull CBBC sep 2018 l 40,000,000 2018/04/06 2018/09/17 10.0059593 UBs ag – HkeX r Bull CBBC Oct 2018 Y 50,000,000 2018/04/06 2018/10/31 12.5059594 UBs ag – HkeX r Bull CBBC Nov 2018 H 50,000,000 2018/04/06 2018/11/12 12.5059603 UBs ag – HsCei r Bull CBBC Nov 2019 D 100,000,000 2018/04/06 2019/11/28 25.0059604 UBs ag – HsCei r Bear CBBC aug 2018 B 100,000,000 2018/04/06 2018/08/30 25.0059585 UBs ag – Hsi r Bull CBBC Oct 2019 B 250,000,000 2018/04/06 2019/10/30 62.5059586 UBs ag – Hsi r Bull CBBC Oct 2019 J 250,000,000 2018/04/06 2019/10/30 62.5059583 UBs ag – Hsi r Bull CBBC Oct 2019 X 250,000,000 2018/04/06 2019/10/30 62.50




59588 UBs ag – Hsi r Bull CBBC Nov 2019 a 250,000,000 2018/04/06 2019/11/28 62.5059587 UBs ag – Hsi r Bull CBBC Nov 2019 D 250,000,000 2018/04/06 2019/11/28 62.5059584 UBs ag – Hsi r Bull CBBC Nov 2019 e 250,000,000 2018/04/06 2019/11/28 62.5059605 UBs ag – Hsi r Bull CBBC Dec 2019 Z 250,000,000 2018/04/06 2019/12/30 62.5059582 UBs ag – Hsi r Bear CBBC Jul 2018 J 250,000,000 2018/04/06 2018/07/30 62.5059591 UBs ag – Hsi r Bear CBBC Jul 2018 l 250,000,000 2018/04/06 2018/07/30 62.5059580 UBs ag – Hsi r Bear CBBC Jul 2018 r 250,000,000 2018/04/06 2018/07/30 62.5059592 UBs ag – Hsi r Bear CBBC aug 2018 e 250,000,000 2018/04/06 2018/08/30 62.5059581 UBs ag – Hsi r Bear CBBC aug 2018 F 250,000,000 2018/04/06 2018/08/30 62.5059589 UBs ag – Hsi r Bear CBBC aug 2018 O 250,000,000 2018/04/06 2018/08/30 62.5059590 UBs ag – Hsi r Bear CBBC aug 2018 Y 250,000,000 2018/04/06 2018/08/30 62.5059601 UBs ag – iCBC r Bull CBBC sep 2018 g 100,000,000 2018/04/06 2018/09/17 25.0059600 UBs ag – iCBC r Bull CBBC Nov 2018 D 100,000,000 2018/04/06 2018/11/08 25.0059595 UBs ag – tencent r Bull CBBC Oct 2018 O 30,000,000 2018/04/06 2018/10/29 10.2059596 UBs ag – tencent r Bull CBBC Nov 2018 F 30,000,000 2018/04/06 2018/11/05 10.2059597 UBs ag – tencent r Bear CBBC Jul 2018 e 30,000,000 2018/04/06 2018/07/16 11.8559598 UBs ag – tencent r Bear CBBC aug 2018 C 30,000,000 2018/04/06 2018/08/08 10.2059572 Bank Vontobel – Hsi r Bull CBBC Nov 2018 k 100,000,000 2018/04/06 2018/11/29 25.6059573 Bank Vontobel – Hsi r Bull CBBC Nov 2018 l 100,000,000 2018/04/06 2018/11/29 25.6059574 Bank Vontobel – Hsi r Bear CBBC sep 2018 U 100,000,000 2018/04/06 2018/09/27 25.9059575 Bank Vontobel – Hsi r Bear CBBC sep 2018 V 100,000,000 2018/04/06 2018/09/27 25.8059704 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 B 250,000,000 2018/04/09 2018/07/30 62.5059711 Credit suisse ag – aia r Bear CBBC Nov 2018 a 50,000,000 2018/04/09 2018/11/29 12.5059712 Credit suisse ag – BYD Company r Bull CBBC Nov 2018 D 50,000,000 2018/04/09 2018/11/29 12.5059705 Credit suisse ag – Hsi r Bull CBBC Mar 2019 V 200,000,000 2018/04/09 2019/03/28 50.0059708 Credit suisse ag – Hsi r Bull CBBC Jul 2019 P 200,000,000 2018/04/09 2019/07/30 50.0059713 Credit suisse ag – Hsi r Bear CBBC aug 2018 Z 200,000,000 2018/04/09 2018/08/30 50.0059714 Credit suisse ag – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/04/09 2018/09/27 50.0059715 Credit suisse ag – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/04/09 2018/09/27 50.0059716 Credit suisse ag – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/04/09 2018/09/27 50.0059707 Credit suisse ag – Ping an r Bull CBBC Nov 2018 Q 80,000,000 2018/04/09 2018/11/29 20.0059710 Credit suisse ag – Ping an r Bear CBBC Nov 2018 C 50,000,000 2018/04/09 2018/11/29 12.5059706 Credit suisse ag – tencent r Bull CBBC Oct 2018 s 50,000,000 2018/04/09 2018/10/30 17.0059709 Credit suisse ag – tencent r Bull CBBC Dec 2018 D 50,000,000 2018/04/09 2018/12/28 26.0059747 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Nov 2018 i 100,000,000 2018/04/09 2018/11/19 25.0059748 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Nov 2018 J 100,000,000 2018/04/09 2018/11/20 25.0059749 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Nov 2018 k 100,000,000 2018/04/09 2018/11/21 25.0059687 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/04/09 2019/12/30 50.0059717 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/04/09 2019/12/30 50.0059688 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/04/09 2019/12/30 50.0059718 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 Q 200,000,000 2018/04/09 2018/07/30 50.0059719 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 t 200,000,000 2018/04/09 2018/07/30 50.0059720 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 l 200,000,000 2018/04/09 2018/08/30 50.2059694 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 X 100,000,000 2018/04/09 2018/12/27 25.0059743 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 r 100,000,000 2018/04/09 2018/10/22 25.00




59744 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 s 100,000,000 2018/04/09 2018/10/23 25.0059745 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 C 80,000,000 2018/04/09 2018/12/31 28.4059746 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 D 80,000,000 2018/04/09 2018/12/31 32.8859676 Hk Bank – CM Bank r Bull CBBC Jan 2019 a 100,000,000 2018/04/09 2019/01/14 25.0059675 Hk Bank – CPiC r Bull CBBC Nov 2018 F 100,000,000 2018/04/09 2018/11/12 25.0059674 Hk Bank – HkeX r Bear CBBC Oct 2018 i 40,000,000 2018/04/09 2018/10/11 10.0059671 Hk Bank – Hsi r Bull CBBC Dec 2018 J 100,000,000 2018/04/09 2018/12/28 25.0059678 Hk Bank – Hsi r Bull CBBC Dec 2018 k 100,000,000 2018/04/09 2018/12/28 25.0059672 Hk Bank – Hsi r Bear CBBC aug 2018 Q 100,000,000 2018/04/09 2018/08/30 25.0059677 Hk Bank – tencent r Bull CBBC aug 2018 O 60,000,000 2018/04/09 2018/08/16 15.0059670 Hk Bank – tencent r Bull CBBC aug 2018 Z 60,000,000 2018/04/09 2018/08/13 15.0059673 Hk Bank – tencent r Bear CBBC Oct 2018 l 50,000,000 2018/04/09 2018/10/04 12.5059689 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 B 12,300,000 2018/04/09 2018/10/31 10.0159690 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 C 10,800,000 2018/04/09 2018/10/31 10.0559691 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 D 9,600,000 2018/04/09 2018/10/31 10.0659692 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 e 8,600,000 2018/04/09 2018/10/31 10.0259693 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 F 7,800,000 2018/04/09 2018/10/31 10.0159741 sg issuer – aaC tech r Bull CBBC Nov 2018 C 40,000,000 2018/04/09 2018/11/22 10.0059726 sg issuer – aia r Bull CBBC Dec 2018 i 60,000,000 2018/04/09 2018/12/07 15.0059727 sg issuer – BYD Company r Bull CBBC Nov 2018 C 50,000,000 2018/04/09 2018/11/05 12.5059742 sg issuer – BYD Company r Bull CBBC Dec 2018 D 50,000,000 2018/04/09 2018/12/07 12.5059734 sg issuer – a50 China r Bull CBBC Nov 2018 e 50,000,000 2018/04/09 2018/11/23 12.5059721 sg issuer – geely auto r Bull CBBC Nov 2018 B 40,000,000 2018/04/09 2018/11/09 10.0059728 sg issuer – HkeX r Bull CBBC Dec 2018 N 50,000,000 2018/04/09 2018/12/03 12.5059740 sg issuer – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/04/09 2019/12/30 50.0059735 sg issuer – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/04/09 2018/10/30 50.0059736 sg issuer – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/04/09 2018/10/30 50.0059737 sg issuer – Hsi r Bear CBBC Nov 2018 F 200,000,000 2018/04/09 2018/11/29 50.0059738 sg issuer – Hsi r Bear CBBC Dec 2018 M 200,000,000 2018/04/09 2018/12/28 50.0059739 sg issuer – Hsi r Bear CBBC Dec 2018 N 200,000,000 2018/04/09 2018/12/28 50.0059722 sg issuer – Ping an r Bull CBBC Dec 2018 r 100,000,000 2018/04/09 2018/12/12 25.0059729 sg issuer – Ping an r Bull CBBC Dec 2018 s 100,000,000 2018/04/09 2018/12/07 25.0059723 sg issuer – sunny Optical r Bull CBBC Dec 2018 F 40,000,000 2018/04/09 2018/12/07 10.0059724 sg issuer – sunny Optical r Bull CBBC Dec 2018 g 40,000,000 2018/04/09 2018/12/10 10.0059730 sg issuer – tencent r Bull CBBC Oct 2018 U 80,000,000 2018/04/09 2018/10/26 20.0059731 sg issuer – tencent r Bull CBBC Nov 2018 e 80,000,000 2018/04/09 2018/11/23 20.0059725 sg issuer – tencent r Bull CBBC Dec 2018 V 80,000,000 2018/04/09 2018/12/07 20.0059732 sg issuer – Zte r Bull CBBC Nov 2018 a 50,000,000 2018/04/09 2018/11/29 22.5059733 sg issuer – Zte r Bull CBBC Dec 2018 a 50,000,000 2018/04/09 2018/12/21 12.5059698 UBs ag – Hsi r Bull CBBC Oct 2019 U 250,000,000 2018/04/09 2019/10/30 62.5059697 UBs ag – Hsi r Bull CBBC Dec 2019 D 250,000,000 2018/04/09 2019/12/30 62.5059695 UBs ag – Hsi r Bull CBBC Dec 2019 Q 250,000,000 2018/04/09 2019/12/30 62.5059696 UBs ag – Hsi r Bull CBBC Dec 2019 V 200,000,000 2018/04/09 2019/12/30 50.0059701 UBs ag – Hsi r Bear CBBC Jul 2018 s 250,000,000 2018/04/09 2018/07/30 62.5059702 UBs ag – Hsi r Bear CBBC aug 2018 i 250,000,000 2018/04/09 2018/08/30 62.50




59703 UBs ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/04/09 2018/08/30 50.0059699 UBs ag – Ping an r Bull CBBC Oct 2018 Q 80,000,000 2018/04/09 2018/10/23 20.0059700 UBs ag – Ping an r Bull CBBC Oct 2018 r 80,000,000 2018/04/09 2018/10/16 20.0059679 Bank Vontobel – Hsi r Bull CBBC Nov 2018 M 100,000,000 2018/04/09 2018/11/29 25.4059680 Bank Vontobel – Hsi r Bull CBBC Nov 2018 N 100,000,000 2018/04/09 2018/11/29 25.4059681 Bank Vontobel – Hsi r Bear CBBC sep 2018 W 100,000,000 2018/04/09 2018/09/27 25.4059686 Bank Vontobel – Hsi r Bear CBBC sep 2018 X 100,000,000 2018/04/09 2018/09/27 25.4059684 Bank Vontobel – tencent r Bull CBBC sep 2018 O 40,000,000 2018/04/09 2018/09/24 45.4059685 Bank Vontobel – tencent r Bull CBBC sep 2018 P 40,000,000 2018/04/09 2018/09/21 27.4059682 Bank Vontobel – tencent r Bear CBBC Jul 2018 O 40,000,000 2018/04/09 2018/07/26 10.2459683 Bank Vontobel – tencent r Bear CBBC Jul 2018 P 40,000,000 2018/04/09 2018/07/25 10.2059753 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Q 250,000,000 2018/04/10 2019/12/30 62.5059818 Credit suisse ag – BYD Company r Bull CBBC Dec 2018 a 50,000,000 2018/04/10 2018/12/28 12.5059819 Credit suisse ag – CsOP a50 etF r Bull CBBC Nov 2018 a 50,000,000 2018/04/10 2018/11/29 12.5059811 Credit suisse ag – geely auto r Bull CBBC Nov 2018 a 40,000,000 2018/04/10 2018/11/29 15.2059810 Credit suisse ag – Hsi r Bull CBBC Jul 2019 Q 200,000,000 2018/04/10 2019/07/30 50.0059814 Credit suisse ag – Hsi r Bear CBBC aug 2018 F 200,000,000 2018/04/10 2018/08/30 50.0059815 Credit suisse ag – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/04/10 2018/09/27 50.0059816 Credit suisse ag – Hsi r Bear CBBC Oct 2018 D 200,000,000 2018/04/10 2018/10/30 50.0059817 Credit suisse ag – Hsi r Bear CBBC Oct 2018 e 200,000,000 2018/04/10 2018/10/30 50.0059813 Credit suisse ag – Ping an r Bull CBBC Dec 2018 e 80,000,000 2018/04/10 2018/12/28 20.0059812 Credit suisse ag – tencent r Bull CBBC Nov 2018 M 50,000,000 2018/04/10 2018/11/29 16.5059832 goldman sachs sP (asia) – China life r Bull CBBC Dec 2018 J 100,000,000 2018/04/10 2018/12/27 25.0059769 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 g 100,000,000 2018/04/10 2018/12/27 25.0059828 goldman sachs sP (asia) – HsCei r Bear CBBC Jul 2018 B 200,000,000 2018/04/10 2018/07/30 50.0059764 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 J 200,000,000 2018/04/10 2020/01/30 50.0059765 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 k 200,000,000 2018/04/10 2020/01/30 50.0059820 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 l 200,000,000 2018/04/10 2020/01/30 50.0059770 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 e 200,000,000 2018/04/10 2018/09/27 50.0059771 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/04/10 2018/09/27 50.0059772 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/04/10 2018/09/27 50.0059768 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 D 100,000,000 2018/04/10 2018/12/27 25.0059766 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 Y 100,000,000 2018/04/10 2018/12/27 25.0059767 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 Z 100,000,000 2018/04/10 2018/12/31 25.0059829 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 e 100,000,000 2018/04/10 2018/12/27 25.0059830 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 e 80,000,000 2018/04/10 2018/12/31 20.0059831 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 F 80,000,000 2018/04/10 2018/12/27 42.4059760 Hk Bank – BYD Company r Bull CBBC sep 2018 e 50,000,000 2018/04/10 2018/09/24 12.5059762 Hk Bank – China Mobile r Bull CBBC Oct 2018 k 50,000,000 2018/04/10 2018/10/18 12.5059763 Hk Bank – CNOOC r Bull CBBC Oct 2018 J 50,000,000 2018/04/10 2018/10/22 12.5059755 Hk Bank – sinopec Corp r Bull CBBC Nov 2018 B 80,000,000 2018/04/10 2018/11/12 20.0059761 Hk Bank – geely auto r Bull CBBC sep 2018 r 40,000,000 2018/04/10 2018/09/03 10.0059752 Hk Bank – Hsi r Bull CBBC Dec 2018 l 150,000,000 2018/04/10 2018/12/28 37.5059757 Hk Bank – Hsi r Bear CBBC aug 2018 r 100,000,000 2018/04/10 2018/08/30 25.0059759 Hk Bank – Hsi r Bear CBBC aug 2018 s 150,000,000 2018/04/10 2018/08/30 37.50




59754 Hk Bank – NCi r Bull CBBC Nov 2018 B 40,000,000 2018/04/10 2018/11/19 10.0059751 Hk Bank – Ping an r Bull CBBC Oct 2018 H 100,000,000 2018/04/10 2018/10/25 25.0059758 Hk Bank – Ping an r Bear CBBC Oct 2018 i 80,000,000 2018/04/10 2018/10/11 20.0059750 Hk Bank – tencent r Bull CBBC aug 2018 D 60,000,000 2018/04/10 2018/08/09 15.0059756 Hk Bank – tencent r Bear CBBC Oct 2018 M 50,000,000 2018/04/10 2018/10/11 12.5059826 sg issuer – Hsi r Bull CBBC Oct 2019 D 200,000,000 2018/04/10 2019/10/30 50.0059827 sg issuer – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/04/10 2019/12/30 50.0059824 sg issuer – Hsi r Bear CBBC Nov 2018 g 200,000,000 2018/04/10 2018/11/29 50.0059825 sg issuer – Hsi r Bear CBBC Dec 2018 O 200,000,000 2018/04/10 2018/12/28 50.0059821 sg issuer – Ping an r Bull CBBC Nov 2018 N 100,000,000 2018/04/10 2018/11/23 25.0059822 sg issuer – Ping an r Bull CBBC Dec 2018 t 100,000,000 2018/04/10 2018/12/14 25.0059823 sg issuer – tencent r Bull CBBC Dec 2018 W 80,000,000 2018/04/10 2018/12/07 20.0059802 UBs ag – BOCl r Bear CBBC sep 2018 a 50,000,000 2018/04/10 2018/09/17 12.5059783 UBs ag – China Mobile r Bull CBBC sep 2018 B 80,000,000 2018/04/10 2018/09/24 20.0059781 UBs ag – CC Bank r Bull CBBC aug 2018 k 80,000,000 2018/04/10 2018/08/16 20.0059782 UBs ag – CC Bank r Bull CBBC Oct 2018 M 80,000,000 2018/04/10 2018/10/22 20.0059800 UBs ag – CC Bank r Bear CBBC sep 2018 a 50,000,000 2018/04/10 2018/09/24 12.5059787 UBs ag – CsOP a50 etF r Bull CBBC sep 2018 F 50,000,000 2018/04/10 2018/09/17 12.5059786 UBs ag – CsOP a50 etF r Bull CBBC Oct 2018 e 50,000,000 2018/04/10 2018/10/22 12.5059788 UBs ag – a50 China r Bull CBBC sep 2018 C 50,000,000 2018/04/10 2018/09/24 12.5059789 UBs ag – a50 China r Bull CBBC Oct 2018 a 50,000,000 2018/04/10 2018/10/08 12.5059793 UBs ag – galaxy ent r Bull CBBC aug 2018 D 40,000,000 2018/04/10 2018/08/20 10.0059803 UBs ag – galaxy ent r Bear CBBC aug 2018 a 40,000,000 2018/04/10 2018/08/20 10.0059777 UBs ag – HkeX r Bull CBBC Oct 2018 B 50,000,000 2018/04/10 2018/10/08 12.5059776 UBs ag – HkeX r Bull CBBC Oct 2018 Z 50,000,000 2018/04/10 2018/10/22 12.5059778 UBs ag – HkeX r Bull CBBC Nov 2018 i 50,000,000 2018/04/10 2018/11/19 12.5059794 UBs ag – HkeX r Bear CBBC Jul 2018 B 50,000,000 2018/04/10 2018/07/16 12.5059795 UBs ag – HkeX r Bear CBBC Oct 2018 a 50,000,000 2018/04/10 2018/10/15 14.0059775 UBs ag – HsBC r Bull CBBC sep 2018 l 80,000,000 2018/04/10 2018/09/10 20.0059792 UBs ag – HsBC r Bear CBBC aug 2018 B 50,000,000 2018/04/10 2018/08/20 12.5059773 UBs ag – Hsi r Bull CBBC sep 2019 B 250,000,000 2018/04/10 2019/09/27 62.5059809 UBs ag – Hsi r Bull CBBC Dec 2019 e 250,000,000 2018/04/10 2019/12/30 62.5059807 UBs ag – Hsi r Bear CBBC aug 2018 J 250,000,000 2018/04/10 2018/08/30 62.5059804 UBs ag – Hsi r Bear CBBC aug 2018 s 250,000,000 2018/04/10 2018/08/30 62.5059805 UBs ag – Hsi r Bear CBBC aug 2018 t 250,000,000 2018/04/10 2018/08/30 62.5059806 UBs ag – Hsi r Bear CBBC sep 2018 J 250,000,000 2018/04/10 2018/09/27 62.5059808 UBs ag – Hsi r Bear CBBC sep 2018 k 250,000,000 2018/04/10 2018/09/27 62.5059784 UBs ag – iCBC r Bull CBBC sep 2018 H 100,000,000 2018/04/10 2018/09/03 25.0059785 UBs ag – iCBC r Bull CBBC Oct 2018 i 100,000,000 2018/04/10 2018/10/15 25.0059801 UBs ag – iCBC r Bear CBBC sep 2018 a 50,000,000 2018/04/10 2018/09/17 12.5059779 UBs ag – Ping an r Bull CBBC Oct 2018 s 80,000,000 2018/04/10 2018/10/24 20.0059780 UBs ag – Ping an r Bull CBBC Nov 2018 P 80,000,000 2018/04/10 2018/11/05 20.0059798 UBs ag – Ping an r Bear CBBC Oct 2018 a 80,000,000 2018/04/10 2018/10/15 20.0059799 UBs ag – Ping an r Bear CBBC Oct 2018 B 80,000,000 2018/04/10 2018/10/29 20.0059774 UBs ag – tencent r Bull CBBC sep 2018 W 30,000,000 2018/04/10 2018/09/24 10.20




59791 UBs ag – tencent r Bull CBBC sep 2018 X 30,000,000 2018/04/10 2018/09/10 12.7559790 UBs ag – tencent r Bull CBBC Oct 2018 P 30,000,000 2018/04/10 2018/10/08 11.5559796 UBs ag – tencent r Bear CBBC Jul 2018 F 30,000,000 2018/04/10 2018/07/30 15.9059797 UBs ag – tencent r Bear CBBC aug 2018 D 30,000,000 2018/04/10 2018/08/20 10.2059833 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 r 250,000,000 2018/04/11 2019/12/30 62.5059856 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 s 250,000,000 2018/04/11 2019/12/30 62.5059860 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 t 250,000,000 2018/04/11 2019/12/30 62.5059854 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 C 250,000,000 2018/04/11 2018/07/30 62.5059859 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 H 250,000,000 2018/04/11 2018/07/30 62.5059855 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 X 50,000,000 2018/04/11 2018/09/27 12.5059857 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 H 50,000,000 2018/04/11 2018/11/29 12.5059858 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 P 50,000,000 2018/04/11 2018/11/29 12.5059910 Credit suisse ag – CC Bank r Bull CBBC sep 2018 l 80,000,000 2018/04/11 2018/09/27 20.0059919 Credit suisse ag – CPiC r Bull CBBC Dec 2018 C 50,000,000 2018/04/11 2018/12/28 12.5059920 Credit suisse ag – CsOP a50 etF r Bull CBBC Nov 2018 B 50,000,000 2018/04/11 2018/11/29 12.5059916 Credit suisse ag – HkeX r Bull CBBC sep 2018 t 50,000,000 2018/04/11 2018/09/27 12.5059915 Credit suisse ag – HsBC r Bull CBBC Nov 2018 D 70,000,000 2018/04/11 2018/11/29 17.5059914 Credit suisse ag – HsBC r Bull CBBC Dec 2018 a 70,000,000 2018/04/11 2018/12/28 17.5059921 Credit suisse ag – Hsi r Bull CBBC apr 2019 i 200,000,000 2018/04/11 2019/04/29 50.0059907 Credit suisse ag – Hsi r Bull CBBC Jul 2019 r 200,000,000 2018/04/11 2019/07/30 50.0059908 Credit suisse ag – Hsi r Bull CBBC sep 2019 F 200,000,000 2018/04/11 2019/09/27 50.0059912 Credit suisse ag – Hsi r Bear CBBC aug 2018 B 200,000,000 2018/04/11 2018/08/30 50.0059913 Credit suisse ag – Hsi r Bear CBBC Oct 2018 F 200,000,000 2018/04/11 2018/10/30 50.0059911 Credit suisse ag – Ping an r Bull CBBC Nov 2018 r 80,000,000 2018/04/11 2018/11/29 20.0059909 Credit suisse ag – tencent r Bull CBBC sep 2018 i 50,000,000 2018/04/11 2018/09/27 12.5059917 Credit suisse ag – tencent r Bull CBBC Nov 2018 N 50,000,000 2018/04/11 2018/11/29 19.0059918 Credit suisse ag – tencent r Bear CBBC Oct 2018 e 50,000,000 2018/04/11 2018/10/30 12.5059853 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 P 100,000,000 2018/04/11 2018/12/27 25.0059923 goldman sachs sP (asia) – galaxy ent r Bull CBBC Dec 2018 P 100,000,000 2018/04/11 2018/12/31 25.0059852 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 H 100,000,000 2018/04/11 2018/12/27 25.0059924 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 i 100,000,000 2018/04/11 2018/12/31 25.0059869 goldman sachs sP (asia) – HsCei r Bull CBBC Dec 2019 i 200,000,000 2018/04/11 2019/12/30 50.0059848 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/04/11 2019/11/28 50.0059847 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/04/11 2019/12/30 50.0059849 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/04/11 2019/12/30 50.0059866 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 H 200,000,000 2018/04/11 2018/09/27 50.0059867 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/04/11 2018/09/27 50.2059868 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/04/11 2018/09/27 50.0059850 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 t 100,000,000 2018/04/11 2018/10/22 25.0059851 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 U 100,000,000 2018/04/11 2018/10/23 25.0059843 Hk Bank – BYD Company r Bull CBBC Dec 2018 a 50,000,000 2018/04/11 2018/12/24 12.5059844 Hk Bank – galaxy ent r Bull CBBC Oct 2018 F 80,000,000 2018/04/11 2018/10/25 20.0059835 Hk Bank – HkeX r Bull CBBC sep 2018 X 50,000,000 2018/04/11 2018/09/27 12.5059842 Hk Bank – HkeX r Bear CBBC Oct 2018 J 40,000,000 2018/04/11 2018/10/15 10.0059840 Hk Bank – HsCei r Bear CBBC aug 2018 g 50,000,000 2018/04/11 2018/08/30 12.50




59837 Hk Bank – Hsi r Bull CBBC Dec 2018 B 100,000,000 2018/04/11 2018/12/28 25.0059845 Hk Bank – Hsi r Bear CBBC aug 2018 t 100,000,000 2018/04/11 2018/08/30 25.0059839 Hk Bank – Hsi r Bear CBBC sep 2018 B 150,000,000 2018/04/11 2018/09/27 37.5059838 Hk Bank – Ping an r Bull CBBC Oct 2018 P 100,000,000 2018/04/11 2018/10/08 25.0059836 Hk Bank – tencent r Bull CBBC sep 2018 J 60,000,000 2018/04/11 2018/09/27 15.0059841 Hk Bank – tencent r Bear CBBC Oct 2018 N 50,000,000 2018/04/11 2018/10/29 12.5059846 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 g 13,700,000 2018/04/11 2018/10/15 10.0059899 sg issuer – CsOP a50 etF r Bull CBBC Dec 2018 a 40,000,000 2018/04/11 2018/12/10 10.0059893 sg issuer – HkeX r Bull CBBC Dec 2018 O 50,000,000 2018/04/11 2018/12/07 12.5059894 sg issuer – HsBC r Bull CBBC Nov 2018 Q 100,000,000 2018/04/11 2018/11/30 25.0059895 sg issuer – HsBC r Bull CBBC Dec 2018 k 100,000,000 2018/04/11 2018/12/14 25.0059903 sg issuer – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/04/11 2019/10/30 50.0059904 sg issuer – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/04/11 2019/11/28 50.0059905 sg issuer – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/04/11 2019/11/28 50.0059906 sg issuer – Hsi r Bull CBBC Dec 2019 t 200,000,000 2018/04/11 2019/12/30 50.0059902 sg issuer – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/11 2018/08/30 50.0059896 sg issuer – tencent r Bull CBBC Oct 2018 V 80,000,000 2018/04/11 2018/10/26 20.0059897 sg issuer – tencent r Bull CBBC Nov 2018 F 80,000,000 2018/04/11 2018/11/30 20.0059898 sg issuer – tencent r Bull CBBC Dec 2018 X 80,000,000 2018/04/11 2018/12/07 20.0059901 sg issuer – tencent r Bull CBBC Dec 2018 Y 80,000,000 2018/04/11 2018/12/07 20.0059900 sg issuer – tencent r Bear CBBC Oct 2018 k 80,000,000 2018/04/11 2018/10/30 20.0059887 UBs ag – BOCl r Bear CBBC sep 2018 B 50,000,000 2018/04/11 2018/09/03 12.5059886 UBs ag – China Mobile r Bear CBBC aug 2018 a 80,000,000 2018/04/11 2018/08/06 20.0059892 UBs ag – CM Bank r Bull CBBC Jan 2019 a 40,000,000 2018/04/11 2019/01/14 10.0059885 UBs ag – CNOOC r Bear CBBC Oct 2018 a 40,000,000 2018/04/11 2018/10/29 10.0059881 UBs ag – sinopec Corp r Bull CBBC Oct 2018 a 50,000,000 2018/04/11 2018/10/15 12.5059882 UBs ag – sinopec Corp r Bull CBBC Oct 2018 B 50,000,000 2018/04/11 2018/10/29 12.5059880 UBs ag – geely auto r Bear CBBC sep 2018 a 40,000,000 2018/04/11 2018/09/10 10.0059879 UBs ag – HsBC r Bull CBBC sep 2018 M 50,000,000 2018/04/11 2018/09/24 17.0059888 UBs ag – HsCei r Bull CBBC Oct 2019 D 100,000,000 2018/04/11 2019/10/30 25.0059874 UBs ag – Hsi r Bull CBBC Oct 2019 a 250,000,000 2018/04/11 2019/10/30 62.5059875 UBs ag – Hsi r Bull CBBC Oct 2019 C 250,000,000 2018/04/11 2019/10/30 62.5059873 UBs ag – Hsi r Bull CBBC Oct 2019 l 250,000,000 2018/04/11 2019/10/30 62.5059872 UBs ag – Hsi r Bull CBBC Nov 2019 g 250,000,000 2018/04/11 2019/11/28 62.5059871 UBs ag – Hsi r Bull CBBC Dec 2019 F 250,000,000 2018/04/11 2019/12/30 62.5059922 UBs ag – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/04/11 2019/12/30 50.0059889 UBs ag – Hsi r Bear CBBC Jul 2018 Y 250,000,000 2018/04/11 2018/07/30 62.5059890 UBs ag – Hsi r Bear CBBC aug 2018 U 250,000,000 2018/04/11 2018/08/30 62.5059891 UBs ag – Hsi r Bear CBBC aug 2018 V 250,000,000 2018/04/11 2018/08/30 62.5059884 UBs ag – Petrochina r Bear CBBC Oct 2018 a 40,000,000 2018/04/11 2018/10/15 10.0059876 UBs ag – tencent r Bull CBBC sep 2018 Y 30,000,000 2018/04/11 2018/09/17 10.2059877 UBs ag – tencent r Bull CBBC sep 2018 Z 30,000,000 2018/04/11 2018/09/19 10.2059878 UBs ag – tencent r Bull CBBC Oct 2018 Q 30,000,000 2018/04/11 2018/10/10 10.2059883 UBs ag – tencent r Bear CBBC aug 2018 e 30,000,000 2018/04/11 2018/08/22 10.2059861 Bank Vontobel – Hsi r Bull CBBC Nov 2018 P 40,000,000 2018/04/11 2018/11/29 10.24




59862 Bank Vontobel – Hsi r Bull CBBC Nov 2018 Q 40,000,000 2018/04/11 2018/11/29 10.2459863 Bank Vontobel – Hsi r Bear CBBC Oct 2018 H 40,000,000 2018/04/11 2018/10/30 10.3259864 Bank Vontobel – Hsi r Bear CBBC Oct 2018 i 40,000,000 2018/04/11 2018/10/30 10.2859865 Bank Vontobel – Hsi r Bear CBBC Oct 2018 J 40,000,000 2018/04/11 2018/10/30 10.2459977 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 U 250,000,000 2018/04/12 2019/12/30 62.5059983 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 V 250,000,000 2018/04/12 2019/12/30 62.5059982 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 a 250,000,000 2018/04/12 2018/07/30 62.5059981 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 D 250,000,000 2018/04/12 2018/07/30 62.5059934 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 i 250,000,000 2018/04/12 2018/07/30 62.5059979 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 t 250,000,000 2018/04/12 2018/07/30 62.5059980 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 U 250,000,000 2018/04/12 2018/07/30 62.5059978 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 O 50,000,000 2018/04/12 2018/11/29 12.5060018 Credit suisse ag – HkeX r Bull CBBC Oct 2018 V 50,000,000 2018/04/12 2018/10/30 12.5060036 Credit suisse ag – Hsi r Bull CBBC aug 2018 F 200,000,000 2018/04/12 2018/08/30 50.0060037 Credit suisse ag – Hsi r Bull CBBC aug 2018 g 200,000,000 2018/04/12 2018/08/30 50.0060006 Credit suisse ag – Hsi r Bull CBBC Mar 2019 W 200,000,000 2018/04/12 2019/03/28 50.0060007 Credit suisse ag – Hsi r Bull CBBC Jul 2019 s 200,000,000 2018/04/12 2019/07/30 50.0060008 Credit suisse ag – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/04/12 2018/08/30 50.0060041 Credit suisse ag – Hsi r Bear CBBC aug 2018 g 200,000,000 2018/04/12 2018/08/30 50.0060043 Credit suisse ag – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/04/12 2018/08/30 50.0060050 Credit suisse ag – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/04/12 2018/09/27 50.0060052 Credit suisse ag – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/04/12 2018/09/27 50.0060011 Credit suisse ag – tencent r Bull CBBC Oct 2018 t 50,000,000 2018/04/12 2018/10/30 12.5060016 Credit suisse ag – tencent r Bull CBBC Oct 2018 U 50,000,000 2018/04/12 2018/10/30 20.0060009 Credit suisse ag – tencent r Bull CBBC Nov 2018 O 50,000,000 2018/04/12 2018/11/29 12.5060055 Credit suisse ag – tencent r Bull CBBC Nov 2018 P 50,000,000 2018/04/12 2018/11/29 18.5060096 goldman sachs sP (asia) – China life r Bull CBBC Feb 2019 a 100,000,000 2018/04/12 2019/02/27 25.0060098 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 e 100,000,000 2018/04/12 2018/12/31 25.0060102 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 F 100,000,000 2018/04/12 2018/12/31 25.0059928 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 s 200,000,000 2018/04/12 2019/10/30 50.0059945 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 t 200,000,000 2018/04/12 2019/10/30 50.0059946 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 V 200,000,000 2018/04/12 2019/10/30 50.0060061 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 e 200,000,000 2018/04/12 2018/10/30 50.0060070 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 F 200,000,000 2018/04/12 2018/10/30 50.2060079 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 g 200,000,000 2018/04/12 2018/10/30 50.0059948 goldman sachs sP (asia) – iCBC r Bull CBBC Dec 2018 U 100,000,000 2018/04/12 2018/12/31 25.0059927 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 V 100,000,000 2018/04/12 2018/10/22 25.0059947 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 W 100,000,000 2018/04/12 2018/10/22 25.0059949 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 X 100,000,000 2018/04/12 2018/10/22 25.0060089 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 F 100,000,000 2018/04/12 2018/12/31 25.0060091 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 g 80,000,000 2018/04/12 2018/12/31 24.0860092 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 H 80,000,000 2018/04/12 2018/12/31 33.5260094 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 g 80,000,000 2018/04/12 2018/12/31 20.0059933 Hk Bank – sinopec Corp r Bull CBBC Oct 2018 g 80,000,000 2018/04/12 2018/10/29 20.0059932 Hk Bank – HkeX r Bull CBBC Oct 2018 V 50,000,000 2018/04/12 2018/10/04 12.50




59939 Hk Bank – Hsi r Bull CBBC Dec 2018 D 150,000,000 2018/04/12 2018/12/28 37.5059930 Hk Bank – Hsi r Bear CBBC aug 2018 U 150,000,000 2018/04/12 2018/08/30 37.5059931 Hk Bank – Hsi r Bear CBBC sep 2018 D 100,000,000 2018/04/12 2018/09/27 25.0059929 Hk Bank – tencent r Bull CBBC sep 2018 k 60,000,000 2018/04/12 2018/09/13 15.0059944 Macquarie Bank ltd. – aaC tech r Bull CBBC apr 2019 a 19,000,000 2018/04/12 2019/04/15 10.0759943 Macquarie Bank ltd. – BYD Company r Bull CBBC apr 2019 a 40,000,000 2018/04/12 2019/04/15 10.0059941 Macquarie Bank ltd. – China Mobile r Bull CBBC Oct 2018 a 40,000,000 2018/04/12 2018/10/30 10.0059940 Macquarie Bank ltd. – China Mobile r Bull CBBC Nov 2018 a 40,000,000 2018/04/12 2018/11/29 10.1659925 Macquarie Bank ltd. – geely auto r Bull CBBC Nov 2018 B 15,000,000 2018/04/12 2018/11/29 10.1759926 Macquarie Bank ltd. – geely auto r Bull CBBC Nov 2018 C 16,000,000 2018/04/12 2018/11/29 10.1959942 Macquarie Bank ltd. – PetroChina r Bull CBBC Nov 2018 a 40,000,000 2018/04/12 2018/11/29 10.0059990 sg issuer – HkeX r Bull CBBC Nov 2018 t 50,000,000 2018/04/12 2018/11/19 12.5059998 sg issuer – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/04/12 2019/11/28 50.0059999 sg issuer – Hsi r Bull CBBC Dec 2019 U 200,000,000 2018/04/12 2019/12/30 50.0059992 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/04/12 2018/09/27 50.0059993 sg issuer – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/04/12 2018/09/27 50.0059994 sg issuer – Hsi r Bear CBBC Oct 2018 i 200,000,000 2018/04/12 2018/10/30 50.0059995 sg issuer – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/04/12 2018/10/30 50.0059996 sg issuer – Hsi r Bear CBBC Nov 2018 H 200,000,000 2018/04/12 2018/11/29 50.0059997 sg issuer – Hsi r Bear CBBC Dec 2018 P 200,000,000 2018/04/12 2018/12/28 50.0059989 sg issuer – tencent r Bull CBBC Nov 2018 H 80,000,000 2018/04/12 2018/11/30 20.0059991 sg issuer – tencent r Bull CBBC Dec 2018 Z 80,000,000 2018/04/12 2018/12/03 20.0059967 UBs ag – Bank of China r Bull CBBC Dec 2018 a 60,000,000 2018/04/12 2018/12/17 15.0059963 UBs ag – BYD Company r Bull CBBC Nov 2018 a 40,000,000 2018/04/12 2018/11/19 10.0059964 UBs ag – BYD Company r Bull CBBC Dec 2018 a 40,000,000 2018/04/12 2018/12/03 10.0059968 UBs ag – China life r Bear CBBC Oct 2018 a 50,000,000 2018/04/12 2018/10/22 14.2559965 UBs ag – CsOP a50 etF r Bull CBBC Oct 2018 F 50,000,000 2018/04/12 2018/10/08 12.5059966 UBs ag – CsOP a50 etF r Bull CBBC Oct 2018 g 50,000,000 2018/04/12 2018/10/29 12.5059961 UBs ag – geely auto r Bull CBBC Oct 2018 a 40,000,000 2018/04/12 2018/10/29 10.0059962 UBs ag – geely auto r Bull CBBC Nov 2018 B 40,000,000 2018/04/12 2018/11/19 10.6059952 UBs ag – HkeX r Bull CBBC Oct 2018 a 50,000,000 2018/04/12 2018/10/29 12.5059953 UBs ag – HkeX r Bull CBBC Nov 2018 J 50,000,000 2018/04/12 2018/11/05 12.5059954 UBs ag – HkeX r Bull CBBC Nov 2018 k 50,000,000 2018/04/12 2018/11/26 14.0059969 UBs ag – HsBC r Bull CBBC aug 2018 F 50,000,000 2018/04/12 2018/08/27 12.5059986 UBs ag – Hsi r Bull CBBC Oct 2019 e 250,000,000 2018/04/12 2019/10/30 62.5059988 UBs ag – Hsi r Bull CBBC Oct 2019 O 250,000,000 2018/04/12 2019/10/30 62.5059950 UBs ag – Hsi r Bull CBBC Nov 2019 N 250,000,000 2018/04/12 2019/11/28 62.5059971 UBs ag – Hsi r Bull CBBC Nov 2019 O 250,000,000 2018/04/12 2019/11/28 62.5059972 UBs ag – Hsi r Bull CBBC Nov 2019 P 250,000,000 2018/04/12 2019/11/28 62.5059985 UBs ag – Hsi r Bull CBBC Nov 2019 r 250,000,000 2018/04/12 2019/11/28 62.5059987 UBs ag – Hsi r Bull CBBC Nov 2019 s 250,000,000 2018/04/12 2019/11/28 62.5059970 UBs ag – Hsi r Bull CBBC Dec 2019 J 250,000,000 2018/04/12 2019/12/30 62.5059973 UBs ag – Hsi r Bear CBBC Jul 2018 Q 250,000,000 2018/04/12 2018/07/30 62.5059975 UBs ag – Hsi r Bear CBBC Jul 2018 X 250,000,000 2018/04/12 2018/07/30 62.5059951 UBs ag – Hsi r Bear CBBC Jul 2018 Z 250,000,000 2018/04/12 2018/07/30 62.50




59974 UBs ag – Hsi r Bear CBBC aug 2018 W 250,000,000 2018/04/12 2018/08/30 62.5059976 UBs ag – Hsi r Bear CBBC aug 2018 X 250,000,000 2018/04/12 2018/08/30 62.5059958 UBs ag – Ping an r Bull CBBC Oct 2018 t 80,000,000 2018/04/12 2018/10/10 20.0059959 UBs ag – Ping an r Bull CBBC Nov 2018 Q 80,000,000 2018/04/12 2018/11/12 20.0059960 UBs ag – Ping an r Bull CBBC Dec 2018 e 80,000,000 2018/04/12 2018/12/03 20.0059955 UBs ag – tencent r Bull CBBC aug 2018 U 30,000,000 2018/04/12 2018/08/08 10.2059956 UBs ag – tencent r Bull CBBC aug 2018 V 30,000,000 2018/04/12 2018/08/15 10.2059957 UBs ag – tencent r Bull CBBC aug 2018 W 30,000,000 2018/04/12 2018/08/29 13.8059984 UBs ag – tencent r Bull CBBC aug 2018 X 30,000,000 2018/04/12 2018/08/20 10.2059935 Bank Vontobel – Hsi r Bull CBBC Nov 2018 r 100,000,000 2018/04/12 2018/11/29 25.2059936 Bank Vontobel – Hsi r Bull CBBC Nov 2018 s 100,000,000 2018/04/12 2018/11/29 25.8059937 Bank Vontobel – Hsi r Bear CBBC Oct 2018 k 100,000,000 2018/04/12 2018/10/30 26.1059938 Bank Vontobel – Hsi r Bear CBBC Oct 2018 l 100,000,000 2018/04/12 2018/10/30 25.3060483 Credit suisse ag – sinopec Corp r Bull CBBC Dec 2018 B 60,000,000 2018/04/13 2018/12/11 15.0060482 Credit suisse ag – HkeX r Bear CBBC Dec 2018 a 50,000,000 2018/04/13 2018/12/11 12.5060496 Credit suisse ag – HsBC r Bull CBBC Nov 2018 e 80,000,000 2018/04/13 2018/11/28 20.0060491 Credit suisse ag – HsBC r Bull CBBC Dec 2018 B 80,000,000 2018/04/13 2018/12/12 20.0060480 Credit suisse ag – Hsi r Bull CBBC Mar 2019 X 200,000,000 2018/04/13 2019/03/28 50.0060481 Credit suisse ag – Hsi r Bull CBBC aug 2019 a 200,000,000 2018/04/13 2019/08/29 50.0060479 Credit suisse ag – Hsi r Bull CBBC sep 2019 g 200,000,000 2018/04/13 2019/09/27 50.0060465 Credit suisse ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/04/13 2018/08/30 50.0060475 Credit suisse ag – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/04/13 2018/08/30 50.0060457 Credit suisse ag – Hsi r Bear CBBC sep 2018 X 200,000,000 2018/04/13 2018/09/27 50.0060473 Credit suisse ag – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/04/13 2018/09/27 50.0060489 Credit suisse ag – tencent r Bull CBBC sep 2018 D 50,000,000 2018/04/13 2018/09/28 12.5060486 Credit suisse ag – tencent r Bear CBBC Nov 2018 B 50,000,000 2018/04/13 2018/11/29 12.5060302 Bank of east asia – HsBC r Bull CBBC Nov 2018 C 60,000,000 2018/04/13 2018/11/06 15.0060310 Bank of east asia – Ping an r Bull CBBC Nov 2018 J 120,000,000 2018/04/13 2018/11/06 30.0060317 Bank of east asia – Ping an r Bear CBBC Nov 2018 B 40,000,000 2018/04/13 2018/11/06 10.0060305 Bank of east asia – sunny Optical r Bull CBBC Nov 2018 B 40,000,000 2018/04/13 2018/11/06 10.0060293 Bank of east asia – tencent r Bull CBBC Nov 2018 U 30,000,000 2018/04/13 2018/11/06 10.5060299 Bank of east asia – tencent r Bull CBBC Nov 2018 V 30,000,000 2018/04/13 2018/11/06 10.5060301 Bank of east asia – tencent r Bear CBBC Nov 2018 C 30,000,000 2018/04/13 2018/11/06 18.0060194 goldman sachs sP (asia) – HkeX r Bull CBBC Oct 2018 W 100,000,000 2018/04/13 2018/10/30 25.0060176 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 M 200,000,000 2018/04/13 2020/01/30 50.0060181 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 N 200,000,000 2018/04/13 2020/01/30 50.0060137 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 s 200,000,000 2018/04/13 2018/07/30 50.0060174 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/04/13 2018/09/27 50.0060685 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/04/13 2018/09/27 50.0060112 Hk Bank – CsOP a50 etF r Bear CBBC sep 2018 a 40,000,000 2018/04/13 2018/09/03 10.0060113 Hk Bank – a50 China r Bull CBBC Oct 2018 i 50,000,000 2018/04/13 2018/10/15 12.5060111 Hk Bank – geely auto r Bear CBBC Oct 2018 F 40,000,000 2018/04/13 2018/10/08 10.0060115 Hk Bank – Hsi r Bull CBBC Dec 2018 X 100,000,000 2018/04/13 2018/12/28 25.0060117 Hk Bank – Hsi r Bear CBBC aug 2018 V 100,000,000 2018/04/13 2018/08/30 25.0060114 Hk Bank – tencent r Bull CBBC Oct 2018 V 60,000,000 2018/04/13 2018/10/04 15.00




60554 J P Morgan sP BV – aaC tech r Bear CBBC Jul 2018 a 40,000,000 2018/04/13 2018/07/20 10.0060439 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 t 200,000,000 2018/04/13 2019/10/30 50.0060428 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 t 200,000,000 2018/04/13 2019/11/28 50.0060424 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/04/13 2019/12/30 50.0060340 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 l 200,000,000 2018/04/13 2018/07/30 50.0060343 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 M 200,000,000 2018/04/13 2018/07/30 50.0060348 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 D 200,000,000 2018/04/13 2018/08/30 50.0060345 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 k 200,000,000 2018/04/13 2018/08/30 50.0060369 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 a 200,000,000 2018/04/13 2018/09/27 50.0060392 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/04/13 2018/09/27 50.0060410 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/04/13 2018/09/27 50.0060540 J P Morgan sP BV – Ping an r Bull CBBC Jul 2018 g 100,000,000 2018/04/13 2018/07/20 25.0060707 J P Morgan sP BV – Ping an r Bull CBBC aug 2018 g 100,000,000 2018/04/13 2018/08/17 25.0060717 J P Morgan sP BV – Ping an r Bull CBBC aug 2018 H 100,000,000 2018/04/13 2018/08/10 25.0060558 J P Morgan sP BV – sunny Optical r Bear CBBC Jul 2018 C 40,000,000 2018/04/13 2018/07/20 10.0060504 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 H 50,000,000 2018/04/13 2018/07/20 12.5060505 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 J 50,000,000 2018/04/13 2018/07/20 12.5060506 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 k 50,000,000 2018/04/13 2018/07/20 12.5060507 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 l 50,000,000 2018/04/13 2018/07/20 16.5060514 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 M 50,000,000 2018/04/13 2018/07/20 19.5060520 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 V 50,000,000 2018/04/13 2018/07/20 12.5060523 J P Morgan sP BV – tencent r Bear CBBC Jul 2018 W 50,000,000 2018/04/13 2018/07/20 12.5060285 Macquarie Bank ltd. – China life r Bull CBBC Oct 2018 B 20,000,000 2018/04/13 2018/10/30 11.7060286 Macquarie Bank ltd. – China life r Bull CBBC Oct 2018 C 20,000,000 2018/04/13 2018/10/30 11.1060278 Macquarie Bank ltd. – China life r Bear CBBC Oct 2018 a 15,000,000 2018/04/13 2018/10/30 10.4160261 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 a 11,300,000 2018/04/13 2018/11/30 10.0160593 sg issuer – aaC tech r Bull CBBC Jan 2019 a 40,000,000 2018/04/13 2019/01/30 10.0060564 sg issuer – China Mobile r Bull CBBC Feb 2019 a 100,000,000 2018/04/13 2019/02/27 25.0060569 sg issuer – China Mobile r Bull CBBC Mar 2019 a 100,000,000 2018/04/13 2019/03/28 25.0060562 sg issuer – China Mobile r Bear CBBC Oct 2018 a 100,000,000 2018/04/13 2018/10/30 25.0060613 sg issuer – CNOOC r Bull CBBC Mar 2019 a 40,000,000 2018/04/13 2019/03/28 10.0060594 sg issuer – sinopec Corp r Bull CBBC Jan 2019 a 40,000,000 2018/04/13 2019/01/30 10.0060604 sg issuer – sinopec Corp r Bull CBBC Feb 2019 a 40,000,000 2018/04/13 2019/02/27 10.0060626 sg issuer – HkeX r Bull CBBC aug 2018 F 50,000,000 2018/04/13 2018/08/29 12.5060627 sg issuer – HkeX r Bull CBBC sep 2018 l 50,000,000 2018/04/13 2018/09/26 12.5060573 sg issuer – HkeX r Bear CBBC sep 2018 H 50,000,000 2018/04/13 2018/09/27 12.5060588 sg issuer – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/04/13 2019/11/28 50.0060585 sg issuer – Hsi r Bull CBBC Nov 2019 t 200,000,000 2018/04/13 2019/11/28 50.0060590 sg issuer – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/04/13 2019/12/30 50.0060582 sg issuer – Hsi r Bear CBBC Nov 2018 i 200,000,000 2018/04/13 2018/11/29 50.0060583 sg issuer – Hsi r Bear CBBC Dec 2018 Q 200,000,000 2018/04/13 2018/12/28 50.0060629 sg issuer – Ping an r Bull CBBC Feb 2019 a 100,000,000 2018/04/13 2019/02/27 25.0060639 sg issuer – Ping an r Bull CBBC Mar 2019 a 100,000,000 2018/04/13 2019/03/28 25.0060577 sg issuer – Ping an r Bear CBBC Nov 2018 e 100,000,000 2018/04/13 2018/11/29 25.0060645 sg issuer – sunny Optical r Bull CBBC Nov 2018 e 40,000,000 2018/04/13 2018/11/29 10.00




60649 sg issuer – tencent r Bull CBBC aug 2018 t 80,000,000 2018/04/13 2018/08/30 20.0060652 sg issuer – tencent r Bull CBBC sep 2018 a 80,000,000 2018/04/13 2018/09/27 20.0060580 sg issuer – tencent r Bear CBBC aug 2018 M 80,000,000 2018/04/13 2018/08/28 20.0060339 UBs ag – Hsi r Bull CBBC Dec 2019 a 250,000,000 2018/04/13 2019/12/30 62.5060335 UBs ag – Hsi r Bull CBBC Dec 2019 k 250,000,000 2018/04/13 2019/12/30 62.5060318 UBs ag – Hsi r Bear CBBC aug 2018 N 250,000,000 2018/04/13 2018/08/30 62.5060321 UBs ag – Hsi r Bear CBBC sep 2018 l 250,000,000 2018/04/13 2018/09/27 62.5060334 UBs ag – Hsi r Bear CBBC sep 2018 M 250,000,000 2018/04/13 2018/09/27 62.5060211 Bank Vontobel – Hsi r Bull CBBC Nov 2018 t 100,000,000 2018/04/13 2018/11/29 25.3060103 Bank Vontobel – Hsi r Bear CBBC Oct 2018 M 100,000,000 2018/04/13 2018/10/30 25.2060206 Bank Vontobel – Hsi r Bear CBBC Oct 2018 N 100,000,000 2018/04/13 2018/10/30 25.5060204 Bank Vontobel – tencent r Bull CBBC sep 2018 Q 40,000,000 2018/04/13 2018/09/26 24.2860234 Bank Vontobel – tencent r Bull CBBC sep 2018 r 40,000,000 2018/04/13 2018/09/28 10.9260260 Bank Vontobel – tencent r Bull CBBC sep 2018 s 40,000,000 2018/04/13 2018/09/27 10.3660220 Bank Vontobel – tencent r Bear CBBC Jul 2018 Q 40,000,000 2018/04/13 2018/07/27 10.3260719 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 r 100,000,000 2018/04/16 2018/11/29 25.0060738 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18 a 60,000,000 2018/04/16 2018/11/29 15.0060739 BNP Paribas issuance B.V. – galaxy ent r Bull CBBC Nov 2018 B 150,000,000 2018/04/16 2018/11/29 37.5060747 BNP Paribas issuance B.V. – HkeX r Bull CBBC aug 2018 g 50,000,000 2018/04/16 2018/08/30 12.5060767 BNP Paribas issuance B.V. – HkeX r Bear CBBC Jul 2018 s 50,000,000 2018/04/16 2018/07/30 12.5060740 BNP Paribas issuance B.V. – HsBC r Bull CBBC Nov 2018 B 150,000,000 2018/04/16 2018/11/29 37.5060746 BNP Paribas issuance B.V. – HsBC r Bear CBBC sep 2018 e 150,000,000 2018/04/16 2018/09/27 37.5060973 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 W 250,000,000 2018/04/16 2019/12/30 62.5060976 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/04/16 2019/12/30 62.5060982 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Y 250,000,000 2018/04/16 2019/12/30 62.5060967 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 B 250,000,000 2018/04/16 2018/07/30 62.5060968 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 Q 250,000,000 2018/04/16 2018/07/30 62.5060768 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 s 250,000,000 2018/04/16 2018/07/30 62.5061255 Credit suisse ag – BYD Company r Bull CBBC Nov 2018 e 50,000,000 2018/04/16 2018/11/28 12.5061251 Credit suisse ag – geely auto r Bull CBBC Oct 2018 C 40,000,000 2018/04/16 2018/10/29 10.0061250 Credit suisse ag – HsBC r Bull CBBC Nov 2018 F 80,000,000 2018/04/16 2018/11/30 20.0061244 Credit suisse ag – Hsi r Bull CBBC Feb 2019 F 200,000,000 2018/04/16 2019/02/27 50.0061205 Credit suisse ag – Hsi r Bull CBBC Jul 2019 t 200,000,000 2018/04/16 2019/07/30 50.0061236 Credit suisse ag – Hsi r Bull CBBC Jul 2019 U 200,000,000 2018/04/16 2019/07/30 50.0061228 Credit suisse ag – Hsi r Bull CBBC aug 2019 B 200,000,000 2018/04/16 2019/08/29 50.0061177 Credit suisse ag – Hsi r Bull CBBC sep 2019 a 200,000,000 2018/04/16 2019/09/27 50.0061217 Credit suisse ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/04/16 2018/08/30 50.0061222 Credit suisse ag – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/16 2018/08/30 50.0061169 Credit suisse ag – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/04/16 2018/08/30 50.0061216 Credit suisse ag – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/04/16 2018/09/27 50.0061165 Credit suisse ag – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/04/16 2018/09/27 50.0061260 Credit suisse ag – Ping an r Bull CBBC Dec 2018 F 80,000,000 2018/04/16 2018/12/05 20.0061254 Credit suisse ag – tencent r Bull CBBC Dec 2018 e 50,000,000 2018/04/16 2018/12/05 12.5061380 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 Q 100,000,000 2018/04/16 2018/12/31 25.0061357 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Nov 2018 l 100,000,000 2018/04/16 2018/11/30 25.00




60943 goldman sachs sP (asia) – HkeX r Bull CBBC Oct 2018 X 100,000,000 2018/04/16 2018/10/30 25.0061359 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 g 100,000,000 2018/04/16 2018/12/31 25.0061364 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 H 100,000,000 2018/04/16 2018/12/31 25.0060941 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/04/16 2019/11/28 50.0061354 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/04/16 2019/11/28 50.0060940 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 Y 200,000,000 2018/04/16 2019/11/28 50.0060778 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/04/16 2018/08/30 50.0060801 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/04/16 2018/08/30 50.0060950 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 Y 100,000,000 2018/04/16 2018/10/30 25.0060953 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 Z 100,000,000 2018/04/16 2018/10/30 25.0060827 Hk Bank – China Mobile r Bull CBBC Oct 2018 l 50,000,000 2018/04/16 2018/10/08 12.5060896 Hk Bank – China life r Bull CBBC sep 2018 D 40,000,000 2018/04/16 2018/09/24 10.0060917 Hk Bank – sinopec Corp r Bull CBBC Oct 2018 H 80,000,000 2018/04/16 2018/10/11 20.0060881 Hk Bank – geely auto r Bull CBBC Oct 2018 C 40,000,000 2018/04/16 2018/10/02 10.0060866 Hk Bank – HkeX r Bull CBBC Oct 2018 X 50,000,000 2018/04/16 2018/10/11 12.5060871 Hk Bank – Hsi r Bull CBBC Dec 2018 e 150,000,000 2018/04/16 2018/12/28 37.5060877 Hk Bank – Hsi r Bear CBBC aug 2018 W 150,000,000 2018/04/16 2018/08/30 37.5060845 Hk Bank – NCi r Bull CBBC Dec 2018 a 40,000,000 2018/04/16 2018/12/17 10.0060919 Hk Bank – sunny Optical r Bull CBBC sep 2018 H 40,000,000 2018/04/16 2018/09/17 10.0061155 J P Morgan sP BV – HkeX r Bull CBBC Jul 2018 k 40,000,000 2018/04/16 2018/07/20 10.0061156 J P Morgan sP BV – HkeX r Bull CBBC Jul 2018 l 40,000,000 2018/04/16 2018/07/20 10.0061160 J P Morgan sP BV – HsBC r Bull CBBC aug 2018 e 100,000,000 2018/04/16 2018/08/17 25.0061130 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/04/16 2019/10/30 50.0061137 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 F 200,000,000 2018/04/16 2019/11/28 50.0061126 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/04/16 2019/11/28 50.0061125 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/04/16 2019/12/30 50.0061133 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 H 200,000,000 2018/04/16 2019/12/30 50.0061124 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/16 2018/08/30 50.0061119 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/04/16 2018/08/30 50.0061120 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/04/16 2018/09/27 50.0061121 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 e 200,000,000 2018/04/16 2018/09/27 50.0061122 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/04/16 2018/09/27 50.0061157 J P Morgan sP BV – Ping an r Bull CBBC aug 2018 i 100,000,000 2018/04/16 2018/08/17 25.0061140 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 N 50,000,000 2018/04/16 2018/07/20 12.5061146 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 O 50,000,000 2018/04/16 2018/07/20 12.5061147 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 P 50,000,000 2018/04/16 2018/07/20 12.5061152 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 Q 50,000,000 2018/04/16 2018/07/20 14.2560921 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 B 11,700,000 2018/04/16 2018/11/30 10.1161312 sg issuer – geely auto r Bull CBBC Oct 2018 F 40,000,000 2018/04/16 2018/10/22 10.0061319 sg issuer – HkeX r Bull CBBC Jul 2018 a 50,000,000 2018/04/16 2018/07/23 12.5061326 sg issuer – HsBC r Bull CBBC Nov 2018 r 100,000,000 2018/04/16 2018/11/19 25.0061304 sg issuer – Hsi r Bull CBBC Oct 2019 Q 200,000,000 2018/04/16 2019/10/30 50.0061346 sg issuer – Hsi r Bull CBBC Oct 2019 t 200,000,000 2018/04/16 2019/10/30 50.0061309 sg issuer – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/04/16 2019/11/28 50.0061353 sg issuer – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/04/16 2019/11/28 50.00




61311 sg issuer – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/04/16 2019/12/30 50.0061276 sg issuer – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/04/16 2018/10/30 50.0061280 sg issuer – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/04/16 2018/10/30 50.0061281 sg issuer – Hsi r Bear CBBC Nov 2018 J 200,000,000 2018/04/16 2018/11/29 50.0061342 sg issuer – Hsi r Bear CBBC Dec 2018 r 200,000,000 2018/04/16 2018/12/28 50.0061331 sg issuer – Ping an r Bull CBBC Nov 2018 O 100,000,000 2018/04/16 2018/11/12 25.0061339 sg issuer – tencent r Bull CBBC aug 2018 X 80,000,000 2018/04/16 2018/08/08 20.0061341 sg issuer – tencent r Bull CBBC sep 2018 e 80,000,000 2018/04/16 2018/09/24 20.0061289 sg issuer – tencent r Bear CBBC sep 2018 k 80,000,000 2018/04/16 2018/09/19 20.0061086 UBs ag – HkeX r Bull CBBC Nov 2018 l 50,000,000 2018/04/16 2018/11/27 12.5061082 UBs ag – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/04/16 2019/10/30 50.0061079 UBs ag – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/04/16 2019/11/28 50.0061070 UBs ag – Hsi r Bull CBBC Nov 2019 t 250,000,000 2018/04/16 2019/11/28 62.5061069 UBs ag – Hsi r Bull CBBC Dec 2019 B 250,000,000 2018/04/16 2019/12/30 62.5061010 UBs ag – Hsi r Bear CBBC Jul 2018 H 200,000,000 2018/04/16 2018/07/30 50.0061035 UBs ag – Hsi r Bear CBBC Jul 2018 s 250,000,000 2018/04/16 2018/07/30 62.5061022 UBs ag – Hsi r Bear CBBC aug 2018 g 250,000,000 2018/04/16 2018/08/30 62.5061105 UBs ag – Ping an r Bull CBBC Oct 2018 U 80,000,000 2018/04/16 2018/10/16 20.0061108 UBs ag – tencent r Bull CBBC Oct 2018 r 30,000,000 2018/04/16 2018/10/08 10.2060983 Bank Vontobel – Hsi r Bull CBBC Nov 2018 U 100,000,000 2018/04/16 2018/11/29 25.4061003 Bank Vontobel – Hsi r Bull CBBC Nov 2018 V 100,000,000 2018/04/16 2018/11/29 25.4060814 Bank Vontobel – Hsi r Bear CBBC Oct 2018 O 100,000,000 2018/04/16 2018/10/30 25.3060819 Bank Vontobel – Hsi r Bear CBBC Oct 2018 P 100,000,000 2018/04/16 2018/10/30 25.2061005 Bank Vontobel – tencent r Bull CBBC Oct 2018 a 40,000,000 2018/04/16 2018/10/02 10.0861588 BNP Paribas issuance B.V. – CC Bank r Bull CBBC Nov 2018 t 100,000,000 2018/04/17 2018/11/29 25.0061597 BNP Paribas issuance B.V. – HkeX r Bull CBBC aug 2018 C 50,000,000 2018/04/17 2018/08/30 12.5061565 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 a 250,000,000 2018/04/17 2019/12/30 62.5061633 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 B 250,000,000 2018/04/17 2019/12/30 62.5061644 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 C 250,000,000 2018/04/17 2019/12/30 62.5061558 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Z 250,000,000 2018/04/17 2019/12/30 62.5061569 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 F 250,000,000 2018/04/17 2018/07/30 62.5061568 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 r 250,000,000 2018/04/17 2018/07/30 62.5061612 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 Y 250,000,000 2018/04/17 2018/07/30 62.5061595 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 g 200,000,000 2018/04/17 2018/11/29 50.0061570 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 M 50,000,000 2018/04/17 2018/09/27 12.5062348 Credit suisse ag – Country garden r Bull CBBC Jan 2019 a 40,000,000 2018/04/17 2019/01/25 10.0062331 Credit suisse ag – China Mobile r Bull CBBC Nov 2018 B 70,000,000 2018/04/17 2018/11/28 17.5062249 Credit suisse ag – CC Bank r Bull CBBC Dec 2018 e 80,000,000 2018/04/17 2018/12/20 20.0062293 Credit suisse ag – CC Bank r Bull CBBC Dec 2018 F 80,000,000 2018/04/17 2018/12/07 20.0062354 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 a 50,000,000 2018/04/17 2019/01/15 12.5062357 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 B 50,000,000 2018/04/17 2019/01/18 12.5062211 Credit suisse ag – geely auto r Bear CBBC Oct 2018 B 40,000,000 2018/04/17 2018/10/31 12.0062247 Credit suisse ag – galaxy ent r Bull CBBC Nov 2018 C 50,000,000 2018/04/17 2018/11/28 12.5062248 Credit suisse ag – galaxy ent r Bull CBBC Dec 2018 a 50,000,000 2018/04/17 2018/12/04 12.5062229 Credit suisse ag – HkeX r Bull CBBC Dec 2018 a 50,000,000 2018/04/17 2018/12/06 12.50




62180 Credit suisse ag – Hsi r Bull CBBC Jul 2019 V 200,000,000 2018/04/17 2019/07/30 50.0062178 Credit suisse ag – Hsi r Bull CBBC aug 2019 C 200,000,000 2018/04/17 2019/08/29 50.0062172 Credit suisse ag – Hsi r Bull CBBC sep 2019 B 200,000,000 2018/04/17 2019/09/27 50.0062118 Credit suisse ag – Hsi r Bear CBBC aug 2018 F 200,000,000 2018/04/17 2018/08/30 50.0062104 Credit suisse ag – Hsi r Bear CBBC aug 2018 Z 200,000,000 2018/04/17 2018/08/30 50.0062110 Credit suisse ag – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/04/17 2018/09/27 50.0062102 Credit suisse ag – Hsi r Bear CBBC Oct 2018 g 200,000,000 2018/04/17 2018/10/30 50.0062332 Credit suisse ag – iCBC r Bull CBBC Dec 2018 C 80,000,000 2018/04/17 2018/12/19 20.0062200 Credit suisse ag – Ping an r Bull CBBC Dec 2018 g 80,000,000 2018/04/17 2018/12/03 20.0062208 Credit suisse ag – Ping an r Bull CBBC Dec 2018 H 80,000,000 2018/04/17 2018/12/10 20.0062342 Credit suisse ag – sUNaC r Bull CBBC Jan 2019 C 100,000,000 2018/04/17 2019/01/15 25.0062350 Credit suisse ag – sunny Optical r Bull CBBC Nov 2018 C 40,000,000 2018/04/17 2018/11/21 10.0062405 Credit suisse ag – tencent r Bull CBBC Oct 2018 V 50,000,000 2018/04/17 2018/10/31 12.5062184 Credit suisse ag – tencent r Bull CBBC Nov 2018 Q 50,000,000 2018/04/17 2018/11/13 12.5061755 Bank of east asia – aia r Bull CBBC Nov 2018 a 40,000,000 2018/04/17 2018/11/08 10.0061749 Bank of east asia – geely auto r Bull CBBC Nov 2018 B 40,000,000 2018/04/17 2018/11/08 10.0061744 Bank of east asia – galaxy ent r Bull CBBC Nov 2018 F 16,000,000 2018/04/17 2018/11/08 10.4061723 Bank of east asia – HkeX r Bull CBBC Nov 2018 O 40,000,000 2018/04/17 2018/11/08 10.0061727 Bank of east asia – HkeX r Bull CBBC Nov 2018 P 40,000,000 2018/04/17 2018/11/08 10.0061741 Bank of east asia – HsBC r Bull CBBC Nov 2018 D 60,000,000 2018/04/17 2018/11/08 15.0061747 Bank of east asia – Ping an r Bull CBBC Nov 2018 k 120,000,000 2018/04/17 2018/11/08 30.0061748 Bank of east asia – Ping an r Bull CBBC Nov 2018 l 120,000,000 2018/04/17 2018/11/08 30.0061708 Bank of east asia – tencent r Bull CBBC Nov 2018 W 30,000,000 2018/04/17 2018/11/08 10.5061716 Bank of east asia – tencent r Bull CBBC Nov 2018 X 30,000,000 2018/04/17 2018/11/08 10.5062071 goldman sachs sP (asia) – HkeX r Bull CBBC Oct 2018 Y 100,000,000 2018/04/17 2018/10/30 25.0061864 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 B 200,000,000 2018/04/17 2019/11/28 50.2061866 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 D 200,000,000 2018/04/17 2019/11/28 50.2061858 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/04/17 2019/11/28 50.0061862 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/04/17 2019/11/28 50.0061502 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/04/17 2018/10/30 50.0061505 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 i 200,000,000 2018/04/17 2018/10/30 50.0061510 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/04/17 2018/10/30 50.0061512 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/04/17 2018/10/30 50.2061514 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/04/17 2018/10/30 50.2062065 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 e 100,000,000 2018/04/17 2018/12/31 25.0062066 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 F 100,000,000 2018/04/17 2018/12/31 25.0062064 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 a 100,000,000 2018/04/17 2018/10/30 25.0061528 Hk Bank – aaC tech r Bull CBBC Oct 2018 H 40,000,000 2018/04/17 2018/10/22 10.0061519 Hk Bank – CNOOC r Bull CBBC Oct 2018 k 50,000,000 2018/04/17 2018/10/15 12.5061448 Hk Bank – CsOP a50 etF r Bull CBBC Oct 2018 N 50,000,000 2018/04/17 2018/10/15 12.5061522 Hk Bank – evergrande r Bull CBBC apr 2019 a 100,000,000 2018/04/17 2019/04/01 25.0061495 Hk Bank – a50 China r Bull CBBC Oct 2018 J 50,000,000 2018/04/17 2018/10/08 12.5061552 Hk Bank – HkeX r Bull CBBC Oct 2018 a 50,000,000 2018/04/17 2018/10/18 12.5061493 Hk Bank – HsCei r Bull CBBC Dec 2018 s 60,000,000 2018/04/17 2018/12/28 15.0061454 Hk Bank – Hsi r Bull CBBC Dec 2018 a 150,000,000 2018/04/17 2018/12/28 37.50




61492 Hk Bank – Hsi r Bull CBBC Dec 2018 C 150,000,000 2018/04/17 2018/12/28 37.5061485 Hk Bank – Hsi r Bear CBBC aug 2018 B 100,000,000 2018/04/17 2018/08/30 25.0061524 Hk Bank – Ping an r Bull CBBC Oct 2018 F 100,000,000 2018/04/17 2018/10/11 25.0061531 Hk Bank – sUNaC r Bull CBBC Jan 2019 g 100,000,000 2018/04/17 2019/01/21 25.0061543 Hk Bank – tencent r Bull CBBC aug 2018 F 60,000,000 2018/04/17 2018/08/20 15.0061397 Haitong int’l sec – BYD Company r Bull CBBC Oct 2018 a 130,000,000 2018/04/17 2018/10/05 32.5061406 Haitong int’l sec – China life r Bull CBBC Oct 2018 a 40,000,000 2018/04/17 2018/10/04 10.0061401 Haitong int’l sec – CPiC r Bull CBBC Oct 2018 a 40,000,000 2018/04/17 2018/10/04 11.8861410 Haitong int’l sec – evergrande r Bull CBBC Oct 2018 C 40,000,000 2018/04/17 2018/10/04 11.4061445 Haitong int’l sec – HkeX r Bear CBBC Oct 2018 a 40,000,000 2018/04/17 2018/10/05 10.0061381 Haitong int’l sec – tencent r Bull CBBC Oct 2018 a 40,000,000 2018/04/17 2018/10/08 10.0061384 Haitong int’l sec – tencent r Bull CBBC Oct 2018 B 40,000,000 2018/04/17 2018/10/04 10.0061416 Haitong int’l sec – tencent r Bear CBBC Oct 2018 a 40,000,000 2018/04/17 2018/10/05 12.0462002 J P Morgan sP BV – CC Bank r Bull CBBC aug 2018 N 100,000,000 2018/04/17 2018/08/10 25.0061961 J P Morgan sP BV – HkeX r Bull CBBC Jul 2018 M 40,000,000 2018/04/17 2018/07/20 10.0062048 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 M 200,000,000 2018/04/17 2019/10/30 50.0062023 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/04/17 2019/10/30 50.0062021 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 B 200,000,000 2018/04/17 2019/11/28 50.0062042 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 e 200,000,000 2018/04/17 2019/11/28 50.0062058 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/04/17 2019/11/28 50.0062013 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/04/17 2019/12/30 50.0062025 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 U 200,000,000 2018/04/17 2019/12/30 50.0062054 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 V 200,000,000 2018/04/17 2019/12/30 50.0061779 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 t 200,000,000 2018/04/17 2018/07/30 50.0061773 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 l 200,000,000 2018/04/17 2018/08/30 50.0061777 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/04/17 2018/09/27 50.0061970 J P Morgan sP BV – Ping an r Bull CBBC aug 2018 J 100,000,000 2018/04/17 2018/08/10 25.0061974 J P Morgan sP BV – Ping an r Bull CBBC aug 2018 k 100,000,000 2018/04/17 2018/08/17 25.0061932 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 r 50,000,000 2018/04/17 2018/07/20 12.5061955 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 s 50,000,000 2018/04/17 2018/07/20 12.5061957 J P Morgan sP BV – tencent r Bull CBBC Jul 2018 t 50,000,000 2018/04/17 2018/07/20 12.5061878 sg issuer – CC Bank r Bull CBBC sep 2018 t 100,000,000 2018/04/17 2018/09/21 25.0061879 sg issuer – CC Bank r Bull CBBC Oct 2018 J 100,000,000 2018/04/17 2018/10/19 25.0061805 sg issuer – China life r Bull CBBC Dec 2018 F 40,000,000 2018/04/17 2018/12/05 10.0061880 sg issuer – CM Bank r Bull CBBC apr 2019 a 60,000,000 2018/04/17 2019/04/17 15.0061927 sg issuer – CsOP a50 etF r Bull CBBC sep 2018 k 40,000,000 2018/04/17 2018/09/18 10.0061929 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 J 40,000,000 2018/04/17 2018/10/22 10.0061892 sg issuer – HkeX r Bull CBBC sep 2018 M 50,000,000 2018/04/17 2018/09/20 12.5061808 sg issuer – HsBC r Bull CBBC Nov 2018 s 100,000,000 2018/04/17 2018/11/21 25.0061833 sg issuer – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/04/17 2019/10/30 50.0061837 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/04/17 2019/11/28 50.0061841 sg issuer – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/04/17 2019/12/30 50.0061839 sg issuer – Hsi r Bull CBBC Dec 2019 r 200,000,000 2018/04/17 2019/12/30 50.0061856 sg issuer – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/04/17 2019/12/30 50.0061828 sg issuer – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/04/17 2018/08/30 50.00




61796 sg issuer – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/04/17 2018/10/30 50.0061789 sg issuer – Hsi r Bear CBBC Oct 2018 r 200,000,000 2018/04/17 2018/10/30 50.0061824 sg issuer – Hsi r Bear CBBC Nov 2018 k 200,000,000 2018/04/17 2018/11/29 50.0061804 sg issuer – Hsi r Bear CBBC Dec 2018 s 200,000,000 2018/04/17 2018/12/28 50.0061893 sg issuer – Ping an r Bull CBBC Oct 2018 V 100,000,000 2018/04/17 2018/10/08 25.0061904 sg issuer – Ping an r Bull CBBC Oct 2018 W 100,000,000 2018/04/17 2018/10/22 25.0061909 sg issuer – Ping an r Bull CBBC Dec 2018 U 100,000,000 2018/04/17 2018/12/10 25.0061810 sg issuer – Ping an r Bear CBBC Oct 2018 k 100,000,000 2018/04/17 2018/10/25 25.0061920 sg issuer – tencent r Bull CBBC Jul 2018 Y 80,000,000 2018/04/17 2018/07/26 20.0061922 sg issuer – tencent r Bull CBBC aug 2018 a 80,000,000 2018/04/17 2018/08/06 20.0061923 sg issuer – tencent r Bull CBBC sep 2018 g 80,000,000 2018/04/17 2018/09/10 20.0061815 sg issuer – tencent r Bear CBBC sep 2018 l 80,000,000 2018/04/17 2018/09/10 20.0061688 UBs ag – HkeX r Bull CBBC Jul 2018 B 50,000,000 2018/04/17 2018/07/23 12.5061690 UBs ag – HkeX r Bull CBBC Jul 2018 C 50,000,000 2018/04/17 2018/07/30 12.5061701 UBs ag – HsCei r Bull CBBC Nov 2019 e 100,000,000 2018/04/17 2019/11/28 25.0061658 UBs ag – Hsi r Bull CBBC Nov 2019 J 250,000,000 2018/04/17 2019/11/28 62.5061679 UBs ag – Hsi r Bull CBBC Nov 2019 Q 250,000,000 2018/04/17 2019/11/28 62.5061661 UBs ag – Hsi r Bull CBBC Dec 2019 C 250,000,000 2018/04/17 2019/12/30 62.5061657 UBs ag – Hsi r Bear CBBC Jul 2018 e 250,000,000 2018/04/17 2018/07/30 62.5061707 UBs ag – Hsi r Bear CBBC Jul 2018 g 250,000,000 2018/04/17 2018/07/30 62.5061655 UBs ag – Hsi r Bear CBBC Jul 2018 V 200,000,000 2018/04/17 2018/07/30 50.0061691 UBs ag – Ping an r Bull CBBC aug 2018 e 80,000,000 2018/04/17 2018/08/06 20.0061697 UBs ag – Ping an r Bull CBBC aug 2018 F 80,000,000 2018/04/17 2018/08/15 20.0061686 UBs ag – tencent r Bull CBBC sep 2018 B 30,000,000 2018/04/17 2018/09/12 10.2061627 Bank Vontobel – Hsi r Bull CBBC Nov 2018 W 100,000,000 2018/04/17 2018/11/29 25.5061629 Bank Vontobel – Hsi r Bull CBBC Nov 2018 X 100,000,000 2018/04/17 2018/11/29 25.3061496 Bank Vontobel – Hsi r Bear CBBC Oct 2018 Q 100,000,000 2018/04/17 2018/10/30 25.4062749 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18B 60,000,000 2018/04/18 2018/11/29 15.0062769 BNP Paribas issuance B.V. – HkeX r Bull CBBC aug 2018 H 50,000,000 2018/04/18 2018/08/30 12.5062772 BNP Paribas issuance B.V. – HkeX r Bear CBBC Jul 2018 t 50,000,000 2018/04/18 2018/07/30 12.5062821 BNP Paribas issuance B.V. – HsCei r Bull CBBC sep 2019 J 100,000,000 2018/04/18 2019/09/27 25.0062742 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 D 250,000,000 2018/04/18 2019/12/30 62.5062743 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 e 250,000,000 2018/04/18 2019/12/30 62.5062738 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 C 250,000,000 2018/04/18 2018/07/30 62.5062737 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 Z 250,000,000 2018/04/18 2018/07/30 62.5062765 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 H 200,000,000 2018/04/18 2018/11/29 50.0062766 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 i 200,000,000 2018/04/18 2018/11/29 50.0062820 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 M 50,000,000 2018/04/18 2018/11/29 12.5063183 Credit suisse ag – aia r Bull CBBC Jan 2019 a 70,000,000 2018/04/18 2019/01/04 17.5063184 Credit suisse ag – aia r Bull CBBC Jan 2019 B 70,000,000 2018/04/18 2019/01/24 17.5062708 Credit suisse ag – CM Bank r Bull CBBC Jan 2019 a 70,000,000 2018/04/18 2019/01/16 17.5062702 Credit suisse ag – CNOOC r Bull CBBC Jan 2019 a 50,000,000 2018/04/18 2019/01/04 12.5062706 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 C 50,000,000 2018/04/18 2019/01/24 12.5062673 Credit suisse ag – HkeX r Bull CBBC Jan 2019 a 50,000,000 2018/04/18 2019/01/23 12.5062677 Credit suisse ag – HkeX r Bull CBBC Jan 2019 B 50,000,000 2018/04/18 2019/01/17 12.50




63175 Credit suisse ag – HsBC r Bull CBBC Jan 2019 a 80,000,000 2018/04/18 2019/01/10 20.0063173 Credit suisse ag – Hsi r Bull CBBC Mar 2019 C 200,000,000 2018/04/18 2019/03/28 50.0063174 Credit suisse ag – Hsi r Bull CBBC sep 2019 C 200,000,000 2018/04/18 2019/09/27 50.0063171 Credit suisse ag – Hsi r Bull CBBC Oct 2019 B 200,000,000 2018/04/18 2019/10/30 50.0063189 Credit suisse ag – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/04/18 2019/10/30 50.0063196 Credit suisse ag – Hsi r Bull CBBC Nov 2019 k 200,000,000 2018/04/18 2019/11/28 50.0063166 Credit suisse ag – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/04/18 2018/08/30 50.0063168 Credit suisse ag – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/04/18 2018/08/30 50.0063169 Credit suisse ag – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/04/18 2018/09/27 50.0062732 Credit suisse ag – iCBC r Bull CBBC Jan 2019 a 80,000,000 2018/04/18 2019/01/23 20.0062695 Credit suisse ag – PetroChina r Bull CBBC Jan 2019 a 50,000,000 2018/04/18 2019/01/29 12.5062663 Credit suisse ag – Ping an r Bull CBBC Nov 2018 s 80,000,000 2018/04/18 2018/11/15 20.0062710 Credit suisse ag – sUNaC r Bull CBBC Jan 2019 D 100,000,000 2018/04/18 2019/01/24 25.0062681 Credit suisse ag – tencent r Bull CBBC Nov 2018 r 50,000,000 2018/04/18 2018/11/09 12.5063227 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 i 100,000,000 2018/04/18 2018/12/31 25.0063239 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 J 100,000,000 2018/04/18 2018/12/31 25.0063244 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Nov 2018 M 100,000,000 2018/04/18 2018/11/30 25.0062860 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 J 100,000,000 2018/04/18 2018/12/31 25.0062873 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 k 100,000,000 2018/04/18 2018/12/31 25.0063224 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 l 100,000,000 2018/04/18 2018/12/31 25.0062880 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 i 100,000,000 2018/04/18 2018/12/31 25.0062850 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/04/18 2019/12/30 50.0062843 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 k 200,000,000 2018/04/18 2019/12/30 50.0062844 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 N 200,000,000 2018/04/18 2019/12/30 50.0062587 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 Q 200,000,000 2018/04/18 2018/07/30 50.0062594 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 t 200,000,000 2018/04/18 2018/07/30 50.0062857 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 B 100,000,000 2018/04/18 2018/12/31 25.0063211 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 C 100,000,000 2018/04/18 2018/12/31 25.0062853 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 B 100,000,000 2018/04/18 2018/10/30 25.0063208 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 C 100,000,000 2018/04/18 2018/10/30 25.0062632 Hk Bank – aia r Bull CBBC sep 2018 F 80,000,000 2018/04/18 2018/09/27 20.0062645 Hk Bank – aia r Bear CBBC Oct 2018 C 40,000,000 2018/04/18 2018/10/08 10.0062492 Hk Bank – CC Bank r Bull CBBC sep 2018 N 100,000,000 2018/04/18 2018/09/13 25.0062484 Hk Bank – CNOOC r Bull CBBC Oct 2018 l 50,000,000 2018/04/18 2018/10/08 12.5062488 Hk Bank – sinopec Corp r Bear CBBC aug 2018 a 40,000,000 2018/04/18 2018/08/13 10.0062629 Hk Bank – galaxy ent r Bear CBBC Nov 2018 a 40,000,000 2018/04/18 2018/11/05 10.0062599 Hk Bank – HkeX r Bull CBBC Oct 2018 B 50,000,000 2018/04/18 2018/10/25 12.5062517 Hk Bank – HsCei r Bull CBBC Dec 2018 t 60,000,000 2018/04/18 2018/12/28 15.0062494 Hk Bank – Hsi r Bull CBBC Dec 2018 M 150,000,000 2018/04/18 2018/12/28 37.5062502 Hk Bank – Hsi r Bear CBBC sep 2018 F 150,000,000 2018/04/18 2018/09/27 37.5062607 Hk Bank – iCBC r Bull CBBC sep 2018 O 100,000,000 2018/04/18 2018/09/17 25.0062482 Hk Bank – PetroChina r Bull CBBC Oct 2018 l 80,000,000 2018/04/18 2018/10/22 20.0062595 Hk Bank – Ping an r Bull CBBC Oct 2018 Q 100,000,000 2018/04/18 2018/10/18 25.0062656 Hk Bank – sUNaC r Bull CBBC Mar 2019 a 100,000,000 2018/04/18 2019/03/11 25.0062490 Hk Bank – tencent r Bull CBBC aug 2018 g 60,000,000 2018/04/18 2018/08/13 15.00




63164 J P Morgan sP BV – aia r Bull CBBC sep 2018 a 100,000,000 2018/04/18 2018/09/14 25.0063156 J P Morgan sP BV – HkeX r Bull CBBC Jul 2018 N 40,000,000 2018/04/18 2018/07/20 10.0063121 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 s 200,000,000 2018/04/18 2019/10/30 50.0063137 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/04/18 2019/10/30 50.0063119 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/04/18 2019/11/28 50.0063126 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/04/18 2019/11/28 50.0063145 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/04/18 2019/12/30 50.0063102 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/04/18 2019/12/30 50.0063124 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/04/18 2019/12/30 50.0063100 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/04/18 2018/08/30 50.0063097 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/04/18 2018/08/30 50.0062836 Macquarie Bank ltd. – CM Bank r Bull CBBC Nov 2018 a 12,500,000 2018/04/18 2018/11/15 10.0662833 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 C 12,500,000 2018/04/18 2018/11/15 10.0163369 sg issuer – aia r Bull CBBC sep 2018 e 60,000,000 2018/04/18 2018/09/18 15.0063373 sg issuer – aia r Bull CBBC Dec 2018 J 60,000,000 2018/04/18 2018/12/14 15.0063258 sg issuer – China Mobile r Bull CBBC Dec 2018 s 100,000,000 2018/04/18 2018/12/12 25.0063398 sg issuer – CNOOC r Bull CBBC Oct 2018 H 40,000,000 2018/04/18 2018/10/11 10.0063390 sg issuer – sinopec Corp r Bear CBBC Dec 2018 a 40,000,000 2018/04/18 2018/12/06 10.0063268 sg issuer – galaxy ent r Bear CBBC Dec 2018 C 80,000,000 2018/04/18 2018/12/21 20.0063276 sg issuer – HkeX r Bull CBBC sep 2018 N 50,000,000 2018/04/18 2018/09/10 12.5063284 sg issuer – HkeX r Bull CBBC Dec 2018 P 50,000,000 2018/04/18 2018/12/13 12.5063288 sg issuer – HsBC r Bull CBBC sep 2018 P 100,000,000 2018/04/18 2018/09/10 25.0063314 sg issuer – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/04/18 2019/10/30 50.0063349 sg issuer – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/04/18 2019/11/28 50.0063318 sg issuer – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/04/18 2019/11/28 50.0063352 sg issuer – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/04/18 2019/12/30 50.0063307 sg issuer – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/04/18 2019/12/30 50.0063407 sg issuer – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/18 2018/08/30 50.0063249 sg issuer – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/04/18 2018/09/27 50.0063404 sg issuer – PetroChina r Bull CBBC Dec 2018 C 40,000,000 2018/04/18 2018/12/20 10.0063289 sg issuer – Ping an r Bull CBBC Oct 2018 s 100,000,000 2018/04/18 2018/10/05 25.0063292 sg issuer – sUNaC r Bull CBBC Feb 2019 B 80,000,000 2018/04/18 2019/02/21 20.0063293 sg issuer – tencent r Bull CBBC aug 2018 Q 80,000,000 2018/04/18 2018/08/03 20.0063405 sg issuer – tencent r Bear CBBC sep 2018 M 80,000,000 2018/04/18 2018/09/17 20.0062997 UBs ag – CC Bank r Bull CBBC sep 2018 i 80,000,000 2018/04/18 2018/09/24 20.0063061 UBs ag – China life r Bull CBBC sep 2018 M 40,000,000 2018/04/18 2018/09/17 10.0063059 UBs ag – China life r Bull CBBC Oct 2018 a 40,000,000 2018/04/18 2018/10/15 10.0062994 UBs ag – CNOOC r Bull CBBC Nov 2018 a 40,000,000 2018/04/18 2018/11/05 10.0063069 UBs ag – a50 China r Bull CBBC Oct 2018 B 40,000,000 2018/04/18 2018/10/15 10.0062950 UBs ag – galaxy ent r Bull CBBC Oct 2018 C 40,000,000 2018/04/18 2018/10/15 10.0062960 UBs ag – HkeX r Bull CBBC Oct 2018 C 50,000,000 2018/04/18 2018/10/24 12.5062959 UBs ag – HkeX r Bull CBBC Nov 2018 M 50,000,000 2018/04/18 2018/11/19 12.5062957 UBs ag – HkeX r Bull CBBC Dec 2018 a 50,000,000 2018/04/18 2018/12/03 12.5062955 UBs ag – HsBC r Bull CBBC Nov 2018 a 50,000,000 2018/04/18 2018/11/05 12.5062923 UBs ag – Hsi r Bull CBBC Oct 2019 N 250,000,000 2018/04/18 2019/10/30 62.50




62918 UBs ag – Hsi r Bull CBBC Oct 2019 Y 250,000,000 2018/04/18 2019/10/30 62.5062919 UBs ag – Hsi r Bull CBBC Oct 2019 Z 250,000,000 2018/04/18 2019/10/30 62.5062905 UBs ag – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/04/18 2019/11/28 50.0062906 UBs ag – Hsi r Bull CBBC Dec 2019 H 250,000,000 2018/04/18 2019/12/30 62.5062907 UBs ag – Hsi r Bull CBBC Dec 2019 i 200,000,000 2018/04/18 2019/12/30 50.0062888 UBs ag – Hsi r Bear CBBC Jul 2018 O 250,000,000 2018/04/18 2018/07/30 62.5062904 UBs ag – Hsi r Bear CBBC Jul 2018 P 250,000,000 2018/04/18 2018/07/30 62.5063013 UBs ag – iCBC r Bull CBBC Oct 2018 J 100,000,000 2018/04/18 2018/10/08 25.0062982 UBs ag – Petrochina r Bull CBBC Nov 2018 e 60,000,000 2018/04/18 2018/11/19 15.0063024 UBs ag – Ping an r Bull CBBC Nov 2018 r 80,000,000 2018/04/18 2018/11/05 20.0063048 UBs ag – Ping an r Bull CBBC Nov 2018 s 80,000,000 2018/04/18 2018/11/19 20.0062961 UBs ag – tencent r Bull CBBC sep 2018 C 30,000,000 2018/04/18 2018/09/05 10.2062964 UBs ag – tencent r Bull CBBC Oct 2018 s 30,000,000 2018/04/18 2018/10/15 10.2062976 UBs ag – tencent r Bull CBBC Oct 2018 t 30,000,000 2018/04/18 2018/10/29 10.2062839 Bank Vontobel – Hsi r Bull CBBC Dec 2018 a 100,000,000 2018/04/18 2018/12/28 25.2062885 Bank Vontobel – Hsi r Bull CBBC Dec 2018 B 100,000,000 2018/04/18 2018/12/28 25.5062428 Bank Vontobel – Hsi r Bear CBBC Oct 2018 r 100,000,000 2018/04/18 2018/10/30 25.5062837 Bank Vontobel – tencent r Bull CBBC Oct 2018 B 40,000,000 2018/04/18 2018/10/03 10.4862423 Bank Vontobel – tencent r Bear CBBC Jul 2018 r 40,000,000 2018/04/18 2018/07/30 10.0863776 Credit suisse ag – CNOOC r Bull CBBC Jan 2019 B 50,000,000 2018/04/19 2019/01/30 12.5063734 Credit suisse ag – sinopec Corp r Bull CBBC Jan 2019 a 60,000,000 2018/04/19 2019/01/22 15.0063788 Credit suisse ag – HkeX r Bull CBBC Dec 2018 B 50,000,000 2018/04/19 2018/12/05 12.5063735 Credit suisse ag – Hsi r Bull CBBC Mar 2019 D 200,000,000 2018/04/19 2019/03/28 50.0063748 Credit suisse ag – Hsi r Bull CBBC aug 2019 D 200,000,000 2018/04/19 2019/08/29 50.0063742 Credit suisse ag – Hsi r Bull CBBC Oct 2019 D 200,000,000 2018/04/19 2019/10/30 50.0063749 Credit suisse ag – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/04/19 2019/11/28 50.0063762 Credit suisse ag – Hsi r Bear CBBC aug 2018 B 200,000,000 2018/04/19 2018/08/30 50.0063781 Credit suisse ag – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/04/19 2018/08/30 50.0063751 Credit suisse ag – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/04/19 2018/08/30 50.0063784 Credit suisse ag – tencent r Bull CBBC Jan 2019 a 50,000,000 2018/04/19 2019/01/11 12.5063931 goldman sachs sP (asia) – China Mobile r Bull CBBC Dec 2018 e 100,000,000 2018/04/19 2018/12/31 25.0063938 goldman sachs sP (asia) – China Mobile r Bull CBBC Dec 2018 F 100,000,000 2018/04/19 2018/12/31 25.0063921 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 r 100,000,000 2018/04/19 2018/12/31 25.0063925 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 M 100,000,000 2018/04/19 2018/12/31 25.0063542 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 H 200,000,000 2018/04/19 2019/12/30 50.0063547 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 i 200,000,000 2018/04/19 2019/12/30 50.0063894 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 V 200,000,000 2018/04/19 2018/07/30 50.0063895 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 O 200,000,000 2018/04/19 2018/08/30 50.0063923 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 a 100,000,000 2018/04/19 2018/12/31 25.0063504 Hk Bank – aia r Bull CBBC Oct 2018 N 80,000,000 2018/04/19 2018/10/08 20.0063423 Hk Bank – HkeX r Bull CBBC Oct 2018 t 50,000,000 2018/04/19 2018/10/29 12.5063501 Hk Bank – HsCei r Bear CBBC aug 2018 H 50,000,000 2018/04/19 2018/08/30 12.5063494 Hk Bank – Hsi r Bull CBBC Dec 2018 N 150,000,000 2018/04/19 2018/12/28 37.5063525 Hk Bank – Hsi r Bear CBBC aug 2018 Z 150,000,000 2018/04/19 2018/08/30 37.5063470 Hk Bank – sUNaC r Bull CBBC Dec 2018 e 100,000,000 2018/04/19 2018/12/10 25.00




63482 Hk Bank – tencent r Bull CBBC aug 2018 t 60,000,000 2018/04/19 2018/08/30 15.0063869 J P Morgan sP BV – CNOOC r Bull CBBC sep 2018 B 80,000,000 2018/04/19 2018/09/21 20.0063859 J P Morgan sP BV – CNOOC r Bull CBBC Oct 2018 F 80,000,000 2018/04/19 2018/10/12 20.0063831 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/04/19 2019/10/30 50.0063825 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 X 200,000,000 2018/04/19 2019/11/28 50.0063824 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 N 200,000,000 2018/04/19 2019/12/30 50.0063835 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/04/19 2019/12/30 50.0063823 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 Z 200,000,000 2018/04/19 2018/07/30 50.0063874 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/04/19 2018/08/30 50.0063877 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/04/19 2018/08/30 50.0063858 J P Morgan sP BV – PetroChina r Bull CBBC sep 2018 a 100,000,000 2018/04/19 2018/09/14 25.0063856 J P Morgan sP BV – tencent r Bull CBBC aug 2018 B 50,000,000 2018/04/19 2018/08/17 19.0063850 J P Morgan sP BV – tencent r Bear CBBC aug 2018 C 50,000,000 2018/04/19 2018/08/17 12.5063549 Macquarie Bank ltd. – tencent r Bear CBBC Nov 2018 a 11,800,000 2018/04/19 2018/11/15 10.0563619 sg issuer – aia r Bull CBBC Oct 2018 B 60,000,000 2018/04/19 2018/10/24 15.0063626 sg issuer – CC Bank r Bull CBBC Nov 2018 e 100,000,000 2018/04/19 2018/11/27 25.0063704 sg issuer – CNOOC r Bull CBBC Oct 2018 i 40,000,000 2018/04/19 2018/10/22 10.0063694 sg issuer – sinopec Corp r Bull CBBC Nov 2018 D 40,000,000 2018/04/19 2018/11/12 10.0063691 sg issuer – CPiC r Bull CBBC Mar 2019 a 100,000,000 2018/04/19 2019/03/12 25.0063708 sg issuer – a50 China r Bull CBBC Nov 2018 F 50,000,000 2018/04/19 2018/11/08 12.5063705 sg issuer – galaxy ent r Bull CBBC sep 2018 g 80,000,000 2018/04/19 2018/09/18 20.0063724 sg issuer – HkeX r Bull CBBC Oct 2018 X 50,000,000 2018/04/19 2018/10/18 12.5063720 sg issuer – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/04/19 2019/10/30 50.0063560 sg issuer – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/04/19 2019/10/30 50.0063709 sg issuer – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/04/19 2019/11/28 50.0063710 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/04/19 2018/09/27 50.0063712 sg issuer – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/04/19 2018/09/27 50.0063706 sg issuer – PetroChina r Bull CBBC Dec 2018 D 40,000,000 2018/04/19 2018/12/13 10.0063571 sg issuer – Ping an r Bull CBBC sep 2018 D 100,000,000 2018/04/19 2018/09/27 25.0063572 sg issuer – Ping an r Bull CBBC Oct 2018 r 100,000,000 2018/04/19 2018/10/24 25.0063580 sg issuer – tencent r Bull CBBC aug 2018 r 80,000,000 2018/04/19 2018/08/09 20.0063597 sg issuer – tencent r Bull CBBC sep 2018 i 80,000,000 2018/04/19 2018/09/18 20.0063604 sg issuer – tencent r Bull CBBC sep 2018 J 80,000,000 2018/04/19 2018/09/27 20.0063816 UBs ag – aia r Bull CBBC sep 2018 D 50,000,000 2018/04/19 2018/09/24 12.5063811 UBs ag – CNOOC r Bear CBBC Oct 2018 B 40,000,000 2018/04/19 2018/10/29 10.0063819 UBs ag – HkeX r Bull CBBC Nov 2018 N 50,000,000 2018/04/19 2018/11/08 12.5063554 UBs ag – Hsi r Bull CBBC Oct 2019 Q 250,000,000 2018/04/19 2019/10/30 62.5063553 UBs ag – Hsi r Bull CBBC Nov 2019 F 250,000,000 2018/04/19 2019/11/28 62.5063559 UBs ag – Hsi r Bull CBBC Dec 2019 l 250,000,000 2018/04/19 2019/12/30 62.5063550 UBs ag – Hsi r Bear CBBC Jul 2018 r 250,000,000 2018/04/19 2018/07/30 62.5063799 UBs ag – Hsi r Bear CBBC Jul 2018 U 250,000,000 2018/04/19 2018/07/30 62.5063798 UBs ag – Hsi r Bear CBBC aug 2018 k 250,000,000 2018/04/19 2018/08/30 62.5063420 Bank Vontobel – Hsi r Bull CBBC Dec 2018 C 100,000,000 2018/04/19 2018/12/28 25.4063421 Bank Vontobel – Hsi r Bull CBBC Dec 2018 D 100,000,000 2018/04/19 2018/12/28 25.4064317 Credit suisse ag – aia r Bull CBBC Jan 2019 C 70,000,000 2018/04/20 2019/01/10 17.50




64297 Credit suisse ag – aia r Bear CBBC Jan 2019 a 50,000,000 2018/04/20 2019/01/18 12.5064282 Credit suisse ag – aia r Bear CBBC Feb 2019 a 50,000,000 2018/04/20 2019/02/11 12.5064331 Credit suisse ag – HsBC r Bull CBBC Dec 2018 C 100,000,000 2018/04/20 2018/12/12 25.0064247 Credit suisse ag – Hsi r Bull CBBC sep 2019 D 200,000,000 2018/04/20 2019/09/27 50.0064265 Credit suisse ag – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/04/20 2019/11/28 50.0064266 Credit suisse ag – Hsi r Bear CBBC Jul 2018 i 200,000,000 2018/04/20 2018/07/30 50.0064277 Credit suisse ag – PetroChina r Bull CBBC Feb 2019 a 60,000,000 2018/04/20 2019/02/15 15.0064276 Credit suisse ag – tencent r Bull CBBC Jan 2019 B 50,000,000 2018/04/20 2019/01/22 12.5064267 Credit suisse ag – tencent r Bear CBBC Jan 2019 a 50,000,000 2018/04/20 2019/01/03 12.5064122 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/04/20 2019/12/30 50.0064147 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/04/20 2019/12/30 50.0064339 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 X 200,000,000 2018/04/20 2018/07/30 50.0064343 goldman sachs sP (asia) – Hsi r Bear CBBC Jul 2018 Y 200,000,000 2018/04/20 2018/07/30 50.2064355 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 g 100,000,000 2018/04/20 2018/12/24 25.0064157 goldman sachs sP (asia) – tencent r Bull CBBC Oct 2018 D 100,000,000 2018/04/20 2018/10/30 25.0064095 Hk Bank – CNOOC r Bull CBBC Oct 2018 M 50,000,000 2018/04/20 2018/10/29 12.5064105 Hk Bank – CNOOC r Bear CBBC Nov 2018 a 40,000,000 2018/04/20 2018/11/05 10.0064076 Hk Bank – HkeX r Bull CBBC Nov 2018 i 50,000,000 2018/04/20 2018/11/01 12.5064086 Hk Bank – Hsi r Bull CBBC Mar 2019 N 100,000,000 2018/04/20 2019/03/28 25.0064087 Hk Bank – Hsi r Bear CBBC aug 2018 C 100,000,000 2018/04/20 2018/08/30 25.0064077 Hk Bank – Ping an r Bull CBBC Oct 2018 r 100,000,000 2018/04/20 2018/10/04 25.0064116 Hk Bank – tencent r Bull CBBC sep 2018 P 60,000,000 2018/04/20 2018/09/13 15.0064027 Haitong int’l sec – aia r Bull CBBC Oct 2018 C 120,000,000 2018/04/20 2018/10/10 30.0064025 Haitong int’l sec – China Mobile r Bull CBBC Nov 2018 a 110,000,000 2018/04/20 2018/11/05 27.5064018 Haitong int’l sec – CNOOC r Bull CBBC Nov 2018 a 70,000,000 2018/04/20 2018/11/06 17.5063961 Haitong int’l sec – HkeX r Bull CBBC Oct 2018 C 40,000,000 2018/04/20 2018/10/09 10.0063988 Haitong int’l sec – HkeX r Bull CBBC Oct 2018 D 40,000,000 2018/04/20 2018/10/09 10.0063940 Haitong int’l sec – HsBC r Bull CBBC sep 2018 e 110,000,000 2018/04/20 2018/09/04 27.5063944 Haitong int’l sec – HsBC r Bull CBBC sep 2018 F 110,000,000 2018/04/20 2018/09/04 27.5064031 Haitong int’l sec – iCBC r Bull CBBC Oct 2018 a 120,000,000 2018/04/20 2018/10/10 30.0064071 Haitong int’l sec – Ping an r Bull CBBC Oct 2018 g 25,000,000 2018/04/20 2018/10/08 10.2064072 Haitong int’l sec – Ping an r Bull CBBC Oct 2018 H 25,000,000 2018/04/20 2018/10/10 11.1364075 Haitong int’l sec – Ping an r Bull CBBC Oct 2018 i 25,000,000 2018/04/20 2018/10/08 18.4864043 Haitong int’l sec – sUNaC r Bull CBBC Oct 2018 C 40,000,000 2018/04/20 2018/10/08 18.4064005 Haitong int’l sec – tencent r Bull CBBC Oct 2018 C 40,000,000 2018/04/20 2018/10/09 10.0064367 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 W 200,000,000 2018/04/20 2018/08/30 50.0064374 J P Morgan sP BV – tencent r Bear CBBC aug 2018 D 50,000,000 2018/04/20 2018/08/17 12.5064396 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 k 40,000,000 2018/04/20 2018/11/27 10.0064454 sg issuer – HkeX r Bull CBBC Oct 2018 Y 50,000,000 2018/04/20 2018/10/23 12.5064460 sg issuer – HsBC r Bull CBBC sep 2018 r 100,000,000 2018/04/20 2018/09/21 25.0064456 sg issuer – HsBC r Bear CBBC aug 2018 a 100,000,000 2018/04/20 2018/08/24 25.0064389 sg issuer – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/04/20 2019/12/30 50.0064384 sg issuer – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/04/20 2018/10/30 50.0064393 sg issuer – tencent r Bull CBBC sep 2018 k 80,000,000 2018/04/20 2018/09/05 20.0064395 sg issuer – tencent r Bull CBBC sep 2018 l 80,000,000 2018/04/20 2018/09/10 20.00




64457 sg issuer – tencent r Bull CBBC Nov 2018 N 80,000,000 2018/04/20 2018/11/21 20.0064464 sg issuer – tencent r Bear CBBC aug 2018 N 80,000,000 2018/04/20 2018/08/31 20.0064233 UBs ag – China life r Bull CBBC Nov 2018 a 40,000,000 2018/04/20 2018/11/05 10.0064222 UBs ag – CNOOC r Bull CBBC Nov 2018 B 40,000,000 2018/04/20 2018/11/12 10.0064214 UBs ag – sinopec Corp r Bull CBBC Nov 2018 a 50,000,000 2018/04/20 2018/11/05 12.5064208 UBs ag – HsBC r Bull CBBC Nov 2018 B 50,000,000 2018/04/20 2018/11/12 12.5064198 UBs ag – Hsi r Bull CBBC Oct 2019 F 250,000,000 2018/04/20 2019/10/30 62.5064180 UBs ag – Hsi r Bull CBBC Oct 2019 s 200,000,000 2018/04/20 2019/10/30 50.0064204 UBs ag – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/04/20 2019/11/28 50.0064243 UBs ag – Hsi r Bear CBBC Jul 2018 J 200,000,000 2018/04/20 2018/07/30 50.0064240 UBs ag – Hsi r Bear CBBC Jul 2018 W 250,000,000 2018/04/20 2018/07/30 62.5064215 UBs ag – Petrochina r Bull CBBC Dec 2018 a 60,000,000 2018/04/20 2018/12/10 15.0064161 Bank Vontobel – Hsi r Bull CBBC Dec 2018 e 100,000,000 2018/04/20 2018/12/28 25.5064168 Bank Vontobel – Hsi r Bull CBBC Dec 2018 F 100,000,000 2018/04/20 2018/12/28 25.0064172 Bank Vontobel – Hsi r Bear CBBC Oct 2018 s 100,000,000 2018/04/20 2018/10/30 25.3064466 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 s 100,000,000 2018/04/23 2018/11/29 25.0064468 BNP Paribas issuance B.V. – HsCei r Bear CBBC Jul 2018 H 100,000,000 2018/04/23 2018/07/30 25.0064562 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 F 250,000,000 2018/04/23 2019/12/30 62.5064570 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 g 250,000,000 2018/04/23 2019/12/30 62.5064566 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 H 250,000,000 2018/04/23 2018/07/30 62.5064567 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 W 250,000,000 2018/04/23 2018/07/30 62.5064467 BNP Paribas issuance B.V. – Ping an r Bear CBBC Nov 2018 e 200,000,000 2018/04/23 2018/11/29 50.0064618 Credit suisse ag – galaxy ent r Bull CBBC Nov 2018 D 50,000,000 2018/04/23 2018/11/29 12.5064601 Credit suisse ag – Hsi r Bull CBBC sep 2019 i 200,000,000 2018/04/23 2019/09/27 50.0064608 Credit suisse ag – Hsi r Bull CBBC sep 2019 J 200,000,000 2018/04/23 2019/09/27 50.0064612 Credit suisse ag – Hsi r Bull CBBC sep 2019 k 200,000,000 2018/04/23 2019/09/27 50.0064633 Credit suisse ag – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/04/23 2018/08/30 50.0064623 Credit suisse ag – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/04/23 2018/08/30 50.0064634 Credit suisse ag – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/04/23 2018/09/27 50.0064624 Credit suisse ag – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/04/23 2018/09/27 50.0064620 Credit suisse ag – Ping an r Bear CBBC Nov 2018 D 50,000,000 2018/04/23 2018/11/16 12.5064616 Credit suisse ag – tencent r Bull CBBC Nov 2018 s 50,000,000 2018/04/23 2018/11/29 12.5064721 goldman sachs sP (asia) – HsCei r Bull CBBC Nov 2019 D 120,000,000 2018/04/23 2019/11/28 30.0064560 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 k 200,000,000 2018/04/23 2019/11/28 50.0064556 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 t 200,000,000 2018/04/23 2019/11/28 50.0064722 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/04/23 2018/09/27 50.0064724 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 r 200,000,000 2018/04/23 2018/09/27 50.0064727 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/04/23 2018/09/27 50.0064720 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 D 100,000,000 2018/04/23 2019/02/28 25.0064548 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 i 100,000,000 2018/04/23 2018/12/31 25.0064554 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 J 100,000,000 2018/04/23 2018/12/31 25.0064511 Hk Bank – geely auto r Bull CBBC Oct 2018 D 40,000,000 2018/04/23 2018/10/02 10.0064514 Hk Bank – galaxy ent r Bull CBBC aug 2018 l 80,000,000 2018/04/23 2018/08/27 20.0064534 Hk Bank – galaxy ent r Bear CBBC aug 2018 D 40,000,000 2018/04/23 2018/08/20 10.0064518 Hk Bank – HkeX r Bear CBBC Oct 2018 k 40,000,000 2018/04/23 2018/10/15 10.00




64510 Hk Bank – Hsi r Bull CBBC Dec 2018 P 100,000,000 2018/04/23 2018/12/28 25.0064525 Hk Bank – Hsi r Bear CBBC aug 2018 a 150,000,000 2018/04/23 2018/08/30 37.5064519 Hk Bank – Hsi r Bear CBBC aug 2018 e 150,000,000 2018/04/23 2018/08/30 37.5064529 Hk Bank – Hsi r Bear CBBC sep 2018 C 150,000,000 2018/04/23 2018/09/27 37.5064530 Hk Bank – Hsi r Bear CBBC Oct 2018 s 150,000,000 2018/04/23 2018/10/30 37.5064486 Hk Bank – tencent r Bull CBBC aug 2018 i 60,000,000 2018/04/23 2018/08/23 15.0064515 Hk Bank – tencent r Bear CBBC Oct 2018 O 50,000,000 2018/04/23 2018/10/08 12.5064636 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/04/23 2019/12/30 50.0064639 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/04/23 2019/12/30 50.0064665 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 l 200,000,000 2018/04/23 2018/07/30 50.0064651 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/04/23 2018/08/30 50.0064659 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/04/23 2018/08/30 50.0064648 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/04/23 2018/08/30 50.0064666 J P Morgan sP BV – tencent r Bull CBBC aug 2018 C 50,000,000 2018/04/23 2018/08/10 12.5064675 sg issuer – galaxy ent r Bull CBBC Oct 2018 F 80,000,000 2018/04/23 2018/10/12 20.0064678 sg issuer – galaxy ent r Bull CBBC Nov 2018 i 80,000,000 2018/04/23 2018/11/15 20.0064679 sg issuer – HkeX r Bull CBBC Oct 2018 Z 50,000,000 2018/04/23 2018/10/09 12.5064691 sg issuer – Hsi r Bull CBBC sep 2019 Y 200,000,000 2018/04/23 2019/09/27 50.0064719 sg issuer – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/04/23 2019/10/30 50.0064668 sg issuer – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/04/23 2019/10/30 50.0064672 sg issuer – Hsi r Bull CBBC Oct 2019 r 200,000,000 2018/04/23 2019/10/30 50.0064692 sg issuer – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/04/23 2019/11/28 50.0064673 sg issuer – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/04/23 2019/12/30 50.0064689 sg issuer – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/04/23 2018/09/27 50.0064714 sg issuer – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/04/23 2018/10/30 50.0064693 sg issuer – Hsi r Bear CBBC Nov 2018 l 200,000,000 2018/04/23 2018/11/29 50.0064717 sg issuer – Hsi r Bear CBBC Nov 2018 M 200,000,000 2018/04/23 2018/11/29 50.0064718 sg issuer – Hsi r Bear CBBC Dec 2018 t 200,000,000 2018/04/23 2018/12/28 50.0064680 sg issuer – Ping an r Bull CBBC Oct 2018 X 100,000,000 2018/04/23 2018/10/29 25.0064681 sg issuer – Ping an r Bull CBBC Nov 2018 P 100,000,000 2018/04/23 2018/11/23 25.0064683 sg issuer – tencent r Bull CBBC Jul 2018 U 80,000,000 2018/04/23 2018/07/25 20.0064684 sg issuer – tencent r Bull CBBC aug 2018 Y 80,000,000 2018/04/23 2018/08/06 20.0064685 sg issuer – tencent r Bull CBBC aug 2018 Z 80,000,000 2018/04/23 2018/08/07 20.0064705 sg issuer – tencent r Bull CBBC sep 2018 B 80,000,000 2018/04/23 2018/09/07 20.0064707 sg issuer – tencent r Bull CBBC sep 2018 M 80,000,000 2018/04/23 2018/09/11 20.0064695 sg issuer – tencent r Bear CBBC sep 2018 N 80,000,000 2018/04/23 2018/09/05 20.0064582 UBs ag – Hsi r Bull CBBC Nov 2019 B 250,000,000 2018/04/23 2019/11/28 62.5064589 UBs ag – Hsi r Bull CBBC Nov 2019 l 250,000,000 2018/04/23 2019/11/28 62.5064590 UBs ag – Hsi r Bear CBBC Jul 2018 k 250,000,000 2018/04/23 2018/07/30 62.5064592 UBs ag – Hsi r Bear CBBC Jul 2018 Y 250,000,000 2018/04/23 2018/07/30 62.5064583 UBs ag – tencent r Bull CBBC aug 2018 Y 30,000,000 2018/04/23 2018/08/20 10.2064587 UBs ag – tencent r Bear CBBC Oct 2018 B 30,000,000 2018/04/23 2018/10/15 10.2064479 Bank Vontobel – Hsi r Bull CBBC Dec 2018 g 100,000,000 2018/04/23 2018/12/28 25.4064599 Bank Vontobel – Hsi r Bear CBBC Oct 2018 t 100,000,000 2018/04/23 2018/10/30 25.5064471 Bank Vontobel – tencent r Bull CBBC Oct 2018 C 40,000,000 2018/04/23 2018/10/04 10.40




64478 Bank Vontobel – tencent r Bull CBBC Oct 2018 D 40,000,000 2018/04/23 2018/10/05 10.2464729 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 H 250,000,000 2018/04/24 2019/12/30 62.5064862 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 a 250,000,000 2018/04/24 2018/07/30 62.5064866 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 D 250,000,000 2018/04/24 2018/07/30 62.5064857 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 X 250,000,000 2018/04/24 2018/07/30 62.5064899 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 D 50,000,000 2018/04/24 2019/01/30 12.5064904 Credit suisse ag – a50 China r Bull CBBC Nov 2018 a 50,000,000 2018/04/24 2018/11/29 12.5064867 Credit suisse ag – Hsi r Bull CBBC sep 2019 l 200,000,000 2018/04/24 2019/09/27 50.0064879 Credit suisse ag – Hsi r Bull CBBC sep 2019 M 200,000,000 2018/04/24 2019/09/27 50.0064914 Credit suisse ag – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/04/24 2019/10/30 50.0064876 Credit suisse ag – Hsi r Bear CBBC aug 2018 g 200,000,000 2018/04/24 2018/08/30 50.0064917 Credit suisse ag – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/04/24 2018/08/30 50.0064920 Credit suisse ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/04/24 2018/08/30 50.0064875 Credit suisse ag – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/04/24 2018/09/27 50.0064927 Credit suisse ag – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/04/24 2018/09/27 50.0064878 Credit suisse ag – Ping an r Bull CBBC Nov 2018 t 80,000,000 2018/04/24 2018/11/29 20.0064881 Credit suisse ag – tencent r Bull CBBC Oct 2018 W 50,000,000 2018/04/24 2018/10/30 20.5064912 Credit suisse ag – tencent r Bull CBBC Oct 2018 X 50,000,000 2018/04/24 2018/10/30 12.5064877 Credit suisse ag – tencent r Bull CBBC Dec 2018 F 50,000,000 2018/04/24 2018/12/28 12.5064896 Credit suisse ag – tencent r Bear CBBC Dec 2018 a 50,000,000 2018/04/24 2018/12/28 12.5065049 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 s 100,000,000 2018/04/24 2018/12/31 25.0064851 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 N 100,000,000 2018/04/24 2018/12/31 25.0064757 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/04/24 2019/11/28 50.0064756 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 t 200,000,000 2018/04/24 2019/12/30 50.0065052 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 M 200,000,000 2018/04/24 2018/10/30 50.0065054 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/04/24 2018/10/30 50.0065058 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 O 200,000,000 2018/04/24 2018/10/30 50.0064856 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 H 200,000,000 2018/04/24 2018/12/27 50.0064850 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 k 100,000,000 2018/04/24 2018/12/31 25.0065042 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 l 100,000,000 2018/04/24 2018/12/31 25.0064846 Hk Bank – HkeX r Bull CBBC Oct 2018 U 50,000,000 2018/04/24 2018/10/18 12.5064747 Hk Bank – HsCei r Bear CBBC aug 2018 i 50,000,000 2018/04/24 2018/08/30 12.5064750 Hk Bank – Hsi r Bull CBBC Dec 2018 Y 150,000,000 2018/04/24 2018/12/28 37.5064730 Hk Bank – Hsi r Bear CBBC aug 2018 H 150,000,000 2018/04/24 2018/08/30 37.5064741 Hk Bank – tencent r Bull CBBC sep 2018 Q 60,000,000 2018/04/24 2018/09/06 15.0064731 Hk Bank – tencent r Bear CBBC Oct 2018 P 50,000,000 2018/04/24 2018/10/15 12.5064825 Haitong int’l sec – BYD Company r Bear CBBC Mar 2019 a 140,000,000 2018/04/24 2019/03/05 35.0064836 Haitong int’l sec – Country garden r Bear CBBC aug 2018 B 40,000,000 2018/04/24 2018/08/15 10.0064822 Haitong int’l sec – China Mobile r Bear CBBC aug 2018 a 110,000,000 2018/04/24 2018/08/08 27.5064818 Haitong int’l sec – CC Bank r Bear CBBC aug 2018 a 110,000,000 2018/04/24 2018/08/20 27.5064816 Haitong int’l sec – CNOOC r Bear CBBC aug 2018 a 70,000,000 2018/04/24 2018/08/03 17.5064794 Haitong int’l sec – HkeX r Bear CBBC Jul 2018 a 40,000,000 2018/04/24 2018/07/31 10.0064785 Haitong int’l sec – HkeX r Bear CBBC aug 2018 a 40,000,000 2018/04/24 2018/08/03 10.0064777 Haitong int’l sec – HsBC r Bear CBBC aug 2018 a 110,000,000 2018/04/24 2018/08/13 27.5064784 Haitong int’l sec – HsBC r Bear CBBC aug 2018 B 110,000,000 2018/04/24 2018/08/09 27.50




64826 Haitong int’l sec – iCBC r Bear CBBC Oct 2018 a 130,000,000 2018/04/24 2018/10/15 32.5064811 Haitong int’l sec – PetroChina r Bear CBBC aug 2018 a 150,000,000 2018/04/24 2018/08/08 37.5064837 Haitong int’l sec – Ping an r Bear CBBC aug 2018 a 20,000,000 2018/04/24 2018/08/15 12.3464840 Haitong int’l sec – Ping an r Bear CBBC aug 2018 B 20,000,000 2018/04/24 2018/08/15 16.3864802 Haitong int’l sec – tencent r Bear CBBC aug 2018 B 40,000,000 2018/04/24 2018/08/02 10.0064810 Haitong int’l sec – tencent r Bear CBBC aug 2018 C 40,000,000 2018/04/24 2018/08/03 16.1264939 J P Morgan sP BV – HkeX r Bear CBBC aug 2018 a 40,000,000 2018/04/24 2018/08/10 10.0064932 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/04/24 2019/10/30 50.0064931 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 k 200,000,000 2018/04/24 2019/10/30 50.0064944 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/04/24 2018/08/30 50.0064949 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 H 200,000,000 2018/04/24 2018/09/27 50.0064952 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/04/24 2018/09/27 50.0064930 J P Morgan sP BV – tencent r Bull CBBC aug 2018 D 40,000,000 2018/04/24 2018/08/10 10.0064936 J P Morgan sP BV – tencent r Bear CBBC aug 2018 e 50,000,000 2018/04/24 2018/08/10 12.5064937 J P Morgan sP BV – tencent r Bear CBBC aug 2018 F 50,000,000 2018/04/24 2018/08/10 12.5064940 J P Morgan sP BV – tencent r Bear CBBC aug 2018 g 50,000,000 2018/04/24 2018/08/10 12.5064758 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 D 13,300,000 2018/04/24 2018/11/15 10.0964774 Macquarie Bank ltd. – tencent r Bear CBBC Nov 2018 B 12,000,000 2018/04/24 2018/11/15 10.0465137 sg issuer – CC Bank r Bear CBBC aug 2018 B 80,000,000 2018/04/24 2018/08/10 20.0065059 sg issuer – HkeX r Bull CBBC Oct 2018 a 50,000,000 2018/04/24 2018/10/19 12.5065146 sg issuer – HkeX r Bear CBBC Nov 2018 D 50,000,000 2018/04/24 2018/11/19 12.5065114 sg issuer – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/04/24 2019/10/30 50.0065086 sg issuer – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/04/24 2019/11/28 50.0065099 sg issuer – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/04/24 2019/12/30 50.0065135 sg issuer – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/04/24 2019/12/30 50.0065090 sg issuer – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/04/24 2019/12/30 50.0065101 sg issuer – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/04/24 2018/10/30 50.0065079 sg issuer – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/04/24 2018/10/30 50.0065100 sg issuer – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/04/24 2018/10/30 50.0065102 sg issuer – Hsi r Bear CBBC Nov 2018 N 200,000,000 2018/04/24 2018/11/29 50.0065106 sg issuer – Hsi r Bear CBBC Dec 2018 U 200,000,000 2018/04/24 2018/12/28 50.0065062 sg issuer – Ping an r Bull CBBC Nov 2018 Q 100,000,000 2018/04/24 2018/11/21 25.0065147 sg issuer – Ping an r Bear CBBC Nov 2018 F 100,000,000 2018/04/24 2018/11/06 25.0065087 sg issuer – tencent r Bull CBBC Jul 2018 V 80,000,000 2018/04/24 2018/07/26 20.0065088 sg issuer – tencent r Bull CBBC aug 2018 B 80,000,000 2018/04/24 2018/08/06 20.0065065 sg issuer – tencent r Bull CBBC sep 2018 N 80,000,000 2018/04/24 2018/09/14 20.0065089 sg issuer – tencent r Bull CBBC Oct 2018 W 80,000,000 2018/04/24 2018/10/22 20.0065149 sg issuer – tencent r Bear CBBC aug 2018 O 80,000,000 2018/04/24 2018/08/07 20.0065003 UBs ag – CC Bank r Bull CBBC Nov 2018 a 80,000,000 2018/04/24 2018/11/12 20.0064969 UBs ag – HkeX r Bull CBBC Nov 2018 O 50,000,000 2018/04/24 2018/11/13 12.5064974 UBs ag – HkeX r Bull CBBC Nov 2018 P 50,000,000 2018/04/24 2018/11/21 12.5065012 UBs ag – HsCei r Bull CBBC Oct 2019 e 100,000,000 2018/04/24 2019/10/30 25.0065013 UBs ag – HsCei r Bear CBBC aug 2018 C 100,000,000 2018/04/24 2018/08/30 25.0064959 UBs ag – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/04/24 2019/11/28 50.0064956 UBs ag – Hsi r Bull CBBC Dec 2019 M 250,000,000 2018/04/24 2019/12/30 62.50




65026 UBs ag – Hsi r Bear CBBC Jul 2018 Q 250,000,000 2018/04/24 2018/07/30 62.5065031 UBs ag – Hsi r Bear CBBC Jul 2018 X 200,000,000 2018/04/24 2018/07/30 50.0065033 UBs ag – Hsi r Bear CBBC Jul 2018 Z 250,000,000 2018/04/24 2018/07/30 62.5065027 UBs ag – Hsi r Bear CBBC aug 2018 a 250,000,000 2018/04/24 2018/08/30 62.5065004 UBs ag – Ping an r Bull CBBC Oct 2018 V 80,000,000 2018/04/24 2018/10/08 20.0065018 UBs ag – tencent r Bull CBBC aug 2018 Z 30,000,000 2018/04/24 2018/08/28 10.2064987 UBs ag – tencent r Bull CBBC sep 2018 a 30,000,000 2018/04/24 2018/09/12 10.2065002 UBs ag – tencent r Bull CBBC sep 2018 D 30,000,000 2018/04/24 2018/09/03 10.2065017 UBs ag – tencent r Bull CBBC sep 2018 e 30,000,000 2018/04/24 2018/09/19 10.2064965 UBs ag – tencent r Bull CBBC Oct 2018 U 30,000,000 2018/04/24 2018/10/24 10.2064988 UBs ag – tencent r Bull CBBC Nov 2018 g 30,000,000 2018/04/24 2018/11/12 10.2064982 UBs ag – tencent r Bear CBBC aug 2018 F 30,000,000 2018/04/24 2018/08/20 10.2064984 UBs ag – tencent r Bear CBBC aug 2018 g 30,000,000 2018/04/24 2018/08/15 10.2064847 Bank Vontobel – Hsi r Bull CBBC Dec 2018 H 100,000,000 2018/04/24 2018/12/28 25.5065210 BNP Paribas issuance B.V. – HkeX r Bear CBBC Jul 2018 U 50,000,000 2018/04/25 2018/07/30 12.5065198 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 i 250,000,000 2018/04/25 2019/12/30 62.5065200 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 g 50,000,000 2018/04/25 2018/09/27 12.5065204 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 l 50,000,000 2018/04/25 2018/11/29 12.5065203 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 N 50,000,000 2018/04/25 2018/11/29 12.5065207 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 Q 50,000,000 2018/04/25 2018/11/29 12.5065304 Credit suisse ag – aia r Bull CBBC Oct 2018 D 70,000,000 2018/04/25 2018/10/30 17.5065307 Credit suisse ag – BYD Company r Bull CBBC Nov 2018 F 50,000,000 2018/04/25 2018/11/29 12.5065299 Credit suisse ag – CC Bank r Bull CBBC sep 2018 t 80,000,000 2018/04/25 2018/09/27 20.0065288 Credit suisse ag – geely auto r Bull CBBC Dec 2018 g 40,000,000 2018/04/25 2018/12/28 15.6065324 Credit suisse ag – Hsi r Bull CBBC aug 2019 e 200,000,000 2018/04/25 2019/08/29 50.0065322 Credit suisse ag – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/04/25 2019/10/30 50.0065252 Credit suisse ag – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/04/25 2018/08/30 50.0065248 Credit suisse ag – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/04/25 2018/09/27 50.0065251 Credit suisse ag – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/04/25 2018/09/27 50.0065287 Credit suisse ag – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/04/25 2018/09/27 50.0065285 Credit suisse ag – Ping an r Bull CBBC Dec 2018 i 80,000,000 2018/04/25 2018/12/14 20.0065321 Credit suisse ag – sUNaC r Bull CBBC Jan 2019 e 80,000,000 2018/04/25 2019/01/30 20.0065262 Credit suisse ag – tencent r Bull CBBC Nov 2018 t 50,000,000 2018/04/25 2018/11/29 12.5065361 Bank of east asia – CNOOC r Bull CBBC Nov 2018 B 40,000,000 2018/04/25 2018/11/16 10.0065352 Bank of east asia – galaxy ent r Bull CBBC Nov 2018 g 16,000,000 2018/04/25 2018/11/16 10.4065349 Bank of east asia – HkeX r Bull CBBC Nov 2018 Q 40,000,000 2018/04/25 2018/11/16 10.0065364 Bank of east asia – HkeX r Bull CBBC Nov 2018 r 40,000,000 2018/04/25 2018/11/16 10.0065363 Bank of east asia – Ping an r Bear CBBC Nov 2018 C 40,000,000 2018/04/25 2018/11/16 10.0065342 Bank of east asia – tencent r Bull CBBC Nov 2018 Y 30,000,000 2018/04/25 2018/11/16 10.5065346 Bank of east asia – tencent r Bear CBBC Nov 2018 D 30,000,000 2018/04/25 2018/11/16 18.0065421 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 k 100,000,000 2018/04/25 2018/12/31 25.0065417 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Nov 2018 N 100,000,000 2018/04/25 2018/11/30 25.0065400 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 O 100,000,000 2018/04/25 2018/12/31 25.0065424 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 J 100,000,000 2018/04/25 2018/12/31 25.0065407 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/04/25 2019/11/28 50.00




65413 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/04/25 2019/11/28 50.0065183 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/04/25 2018/10/30 50.0065184 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/04/25 2018/10/30 50.0065414 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 i 100,000,000 2018/04/25 2018/12/31 25.0065176 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 M 100,000,000 2018/04/25 2018/12/31 25.0065393 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 N 100,000,000 2018/04/25 2018/12/31 25.0065163 Hk Bank – CNOOC r Bull CBBC Oct 2018 N 50,000,000 2018/04/25 2018/10/22 12.5065171 Hk Bank – CsOP a50 etF r Bull CBBC Oct 2018 O 50,000,000 2018/04/25 2018/10/22 12.5065158 Hk Bank – HkeX r Bull CBBC Oct 2018 W 50,000,000 2018/04/25 2018/10/04 12.5065164 Hk Bank – HkeX r Bear CBBC Oct 2018 l 40,000,000 2018/04/25 2018/10/22 10.0065175 Hk Bank – HsCei etF r Bull CBBC Jan 2019 a 50,000,000 2018/04/25 2019/01/14 12.5065159 Hk Bank – Hsi r Bull CBBC Dec 2018 Z 150,000,000 2018/04/25 2018/12/28 37.5065160 Hk Bank – Hsi r Bear CBBC aug 2018 D 150,000,000 2018/04/25 2018/08/30 37.5065156 Hk Bank – Ping an r Bull CBBC Oct 2018 s 100,000,000 2018/04/25 2018/10/02 25.0065154 Hk Bank – tencent r Bull CBBC sep 2018 N 60,000,000 2018/04/25 2018/09/20 15.0065339 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Y 200,000,000 2018/04/25 2019/11/28 50.0065341 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/04/25 2019/11/28 50.0065326 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 D 200,000,000 2018/04/25 2018/08/30 50.0065325 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Y 200,000,000 2018/04/25 2018/08/30 50.0065333 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/04/25 2018/09/27 50.0065218 Macquarie Bank ltd. – aaC tech r Bull CBBC apr 2019 B 22,000,000 2018/04/25 2019/04/15 10.0865219 Macquarie Bank ltd. – CM Bank r Bull CBBC Nov 2018 B 15,600,000 2018/04/25 2018/11/15 10.0565212 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 e 13,400,000 2018/04/25 2018/11/15 10.0865216 Macquarie Bank ltd. – tencent r Bear CBBC Nov 2018 C 13,200,000 2018/04/25 2018/11/15 10.0765373 sg issuer – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/04/25 2019/10/30 50.0065374 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/04/25 2019/11/28 50.0065365 sg issuer – Hsi r Bear CBBC Nov 2018 O 200,000,000 2018/04/25 2018/11/29 50.0065376 sg issuer – Ping an r Bull CBBC Oct 2018 P 100,000,000 2018/04/25 2018/10/30 25.0065390 sg issuer – tencent r Bull CBBC aug 2018 C 80,000,000 2018/04/25 2018/08/29 20.0065392 sg issuer – tencent r Bull CBBC sep 2018 F 80,000,000 2018/04/25 2018/09/27 20.0065223 UBs ag – HkeX r Bull CBBC Oct 2018 g 50,000,000 2018/04/25 2018/10/11 12.5065224 UBs ag – HkeX r Bear CBBC aug 2018 a 50,000,000 2018/04/25 2018/08/20 12.5065244 UBs ag – Hsi r Bull CBBC Oct 2019 t 250,000,000 2018/04/25 2019/10/30 62.5065246 UBs ag – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/04/25 2019/12/30 62.5065221 UBs ag – Hsi r Bear CBBC Jul 2018 D 200,000,000 2018/04/25 2018/07/30 50.0065222 UBs ag – Hsi r Bear CBBC Jul 2018 H 250,000,000 2018/04/25 2018/07/30 62.5065242 UBs ag – Hsi r Bear CBBC Jul 2018 s 250,000,000 2018/04/25 2018/07/30 62.5065241 UBs ag – Hsi r Bear CBBC aug 2018 C 250,000,000 2018/04/25 2018/08/30 62.5065220 UBs ag – Hsi r Bear CBBC aug 2018 i 250,000,000 2018/04/25 2018/08/30 62.5065240 UBs ag – Ping an r Bull CBBC Nov 2018 t 80,000,000 2018/04/25 2018/11/19 20.0065227 UBs ag – tencent r Bull CBBC Oct 2018 V 30,000,000 2018/04/25 2018/10/30 10.2065230 UBs ag – tencent r Bull CBBC Oct 2018 W 30,000,000 2018/04/25 2018/10/03 10.2065232 UBs ag – tencent r Bull CBBC Oct 2018 X 30,000,000 2018/04/25 2018/10/24 10.2065233 UBs ag – tencent r Bull CBBC Oct 2018 Y 30,000,000 2018/04/25 2018/10/22 10.2065225 UBs ag – tencent r Bear CBBC Oct 2018 C 30,000,000 2018/04/25 2018/10/08 10.20




65226 UBs ag – tencent r Bear CBBC Oct 2018 D 30,000,000 2018/04/25 2018/10/15 12.4565194 Bank Vontobel – Hsi r Bull CBBC Dec 2018 i 100,000,000 2018/04/25 2018/12/28 25.3065196 Bank Vontobel – Hsi r Bull CBBC Dec 2018 J 100,000,000 2018/04/25 2018/12/28 39.0065152 Bank Vontobel – Hsi r Bear CBBC Oct 2018 U 100,000,000 2018/04/25 2018/10/30 25.3065185 Bank Vontobel – tencent r Bull CBBC Nov 2018 a 40,000,000 2018/04/25 2018/11/27 41.4865151 Bank Vontobel – tencent r Bear CBBC Jul 2018 s 40,000,000 2018/04/25 2018/07/31 10.2065563 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 J 250,000,000 2018/04/26 2019/12/30 62.5065564 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 k 250,000,000 2018/04/26 2019/12/30 62.5065566 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 l 250,000,000 2018/04/26 2019/12/30 62.5065442 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 i 250,000,000 2018/04/26 2018/07/30 62.5065470 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 t 250,000,000 2018/04/26 2018/07/30 62.5065727 Credit suisse ag – Country garden r Bull CBBC Dec 2018 a 40,000,000 2018/04/26 2018/12/28 10.0065703 Credit suisse ag – CM Bank r Bull CBBC Jan 2019 B 70,000,000 2018/04/26 2019/01/30 17.5065695 Credit suisse ag – CNOOC r Bull CBBC Dec 2018 B 50,000,000 2018/04/26 2018/12/28 12.5065753 Credit suisse ag – sinopec Corp r Bull CBBC Dec 2018 C 60,000,000 2018/04/26 2018/12/28 15.0065731 Credit suisse ag – CsOP a50 etF r Bull CBBC Oct 2018 F 50,000,000 2018/04/26 2018/10/30 12.5065733 Credit suisse ag – a50 China r Bull CBBC Oct 2018 e 50,000,000 2018/04/26 2018/10/30 12.5065692 Credit suisse ag – HkeX r Bull CBBC Nov 2018 F 50,000,000 2018/04/26 2018/11/29 12.5065787 Credit suisse ag – HsCei r Bull CBBC apr 2019 a 100,000,000 2018/04/26 2019/04/29 25.0065783 Credit suisse ag – Hsi r Bull CBBC Jul 2019 W 200,000,000 2018/04/26 2019/07/30 50.0065784 Credit suisse ag – Hsi r Bull CBBC sep 2019 N 200,000,000 2018/04/26 2019/09/27 50.0065785 Credit suisse ag – Hsi r Bull CBBC sep 2019 O 200,000,000 2018/04/26 2019/09/27 50.0065779 Credit suisse ag – Hsi r Bull CBBC Oct 2019 g 200,000,000 2018/04/26 2019/10/30 50.0065780 Credit suisse ag – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/04/26 2019/10/30 50.0065778 Credit suisse ag – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/04/26 2019/11/28 50.0065688 Credit suisse ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/04/26 2018/08/30 50.0065691 Credit suisse ag – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/26 2018/08/30 50.0065689 Credit suisse ag – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/04/26 2018/09/27 50.0065765 Credit suisse ag – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/04/26 2018/10/30 50.0065774 Credit suisse ag – Hsi r Bear CBBC Oct 2018 i 200,000,000 2018/04/26 2018/10/30 50.0065786 Credit suisse ag – PetroChina r Bull CBBC Dec 2018 a 50,000,000 2018/04/26 2018/12/28 12.5065730 Credit suisse ag – sunny Optical r Bull CBBC Oct 2018 B 40,000,000 2018/04/26 2018/10/30 10.0065570 Bank of east asia – HkeX r Bull CBBC Nov 2018 s 40,000,000 2018/04/26 2018/11/22 10.0065596 Bank of east asia – HsBC r Bull CBBC Nov 2018 e 60,000,000 2018/04/26 2018/11/22 15.0065601 Bank of east asia – PetroChina r Bull CBBC Nov 2018 B 40,000,000 2018/04/26 2018/11/22 10.0065599 Bank of east asia – Ping an r Bull CBBC Nov 2018 M 120,000,000 2018/04/26 2018/11/22 30.0065569 Bank of east asia – tencent r Bull CBBC Nov 2018 Z 30,000,000 2018/04/26 2018/11/22 10.5065888 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 t 100,000,000 2018/04/26 2018/12/31 25.0065877 goldman sachs sP (asia) – galaxy ent r Bull CBBC Dec 2018 Q 100,000,000 2018/04/26 2018/12/31 25.0065878 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 P 100,000,000 2018/04/26 2018/12/27 25.0065875 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 k 100,000,000 2018/04/26 2018/12/27 25.0065858 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 U 200,000,000 2018/04/26 2019/12/30 50.0065864 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 V 200,000,000 2018/04/26 2019/12/30 50.0065873 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/04/26 2019/12/30 50.0065555 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 a 200,000,000 2018/04/26 2018/11/29 50.00




65560 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 B 200,000,000 2018/04/26 2018/11/29 50.0065891 goldman sachs sP (asia) – iCBC r Bull CBBC Dec 2018 V 100,000,000 2018/04/26 2018/12/27 25.0065605 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 J 100,000,000 2018/04/26 2018/12/27 25.0065604 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 O 100,000,000 2018/04/26 2018/12/31 25.0065548 Hk Bank – CC Bank r Bull CBBC sep 2018 O 100,000,000 2018/04/26 2018/09/27 25.0065508 Hk Bank – sinopec Corp r Bull CBBC Oct 2018 i 80,000,000 2018/04/26 2018/10/22 20.0065545 Hk Bank – HsCei r Bull CBBC Dec 2018 U 60,000,000 2018/04/26 2018/12/28 15.0065528 Hk Bank – Hsi r Bull CBBC Dec 2018 F 150,000,000 2018/04/26 2018/12/28 37.5065542 Hk Bank – Hsi r Bear CBBC aug 2018 F 100,000,000 2018/04/26 2018/08/30 25.0065543 Hk Bank – Hsi r Bear CBBC sep 2018 e 100,000,000 2018/04/26 2018/09/27 25.0065491 Hk Bank – PetroChina r Bull CBBC Oct 2018 M 80,000,000 2018/04/26 2018/10/08 20.0065481 Hk Bank – sMiC r Bull CBBC Oct 2018 D 40,000,000 2018/04/26 2018/10/22 10.0065547 Hk Bank – sunny Optical r Bull CBBC sep 2018 i 40,000,000 2018/04/26 2018/09/17 10.0065518 Hk Bank – tencent r Bull CBBC sep 2018 U 60,000,000 2018/04/26 2018/09/27 15.0065687 J P Morgan sP BV – HkeX r Bull CBBC aug 2018 a 40,000,000 2018/04/26 2018/08/10 10.0065685 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/04/26 2019/11/28 50.0065674 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/04/26 2019/12/30 50.0065676 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 P 200,000,000 2018/04/26 2019/12/30 50.0065681 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/04/26 2019/12/30 50.0065672 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 M 200,000,000 2018/04/26 2018/07/30 50.0065671 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 k 200,000,000 2018/04/26 2018/08/30 50.0065682 J P Morgan sP BV – tencent r Bull CBBC aug 2018 e 50,000,000 2018/04/26 2018/08/10 12.5065814 sg issuer – CsOP a50 etF r Bull CBBC aug 2018 H 40,000,000 2018/04/26 2018/08/30 10.0065819 sg issuer – CsOP a50 etF r Bull CBBC sep 2018 l 40,000,000 2018/04/26 2018/09/20 10.0065820 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 k 40,000,000 2018/04/26 2018/10/24 10.0065845 sg issuer – Hsi r Bull CBBC sep 2019 C 200,000,000 2018/04/26 2019/09/27 50.0065842 sg issuer – Hsi r Bull CBBC sep 2019 Z 200,000,000 2018/04/26 2019/09/27 50.0065821 sg issuer – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/04/26 2019/12/30 50.0065792 sg issuer – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/04/26 2018/09/27 50.0065795 sg issuer – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/04/26 2018/10/30 50.0065796 sg issuer – Hsi r Bear CBBC Nov 2018 a 200,000,000 2018/04/26 2018/11/29 50.0065833 sg issuer – Hsi r Bear CBBC Nov 2018 P 200,000,000 2018/04/26 2018/11/29 50.0065838 sg issuer – Hsi r Bear CBBC Dec 2018 V 200,000,000 2018/04/26 2018/12/28 50.0065798 sg issuer – Ping an r Bull CBBC Oct 2018 Q 100,000,000 2018/04/26 2018/10/22 25.0065799 sg issuer – sUNaC r Bull CBBC apr 2019 C 80,000,000 2018/04/26 2019/04/23 20.0065800 sg issuer – sunny Optical r Bull CBBC sep 2018 C 40,000,000 2018/04/26 2018/09/24 10.0065811 sg issuer – tencent r Bull CBBC Jul 2018 C 80,000,000 2018/04/26 2018/07/31 20.0065849 sg issuer – tencent r Bull CBBC Jul 2018 D 80,000,000 2018/04/26 2018/07/30 20.0065801 sg issuer – tencent r Bull CBBC Jul 2018 P 80,000,000 2018/04/26 2018/07/26 20.0065802 sg issuer – tencent r Bear CBBC Jul 2018 r 80,000,000 2018/04/26 2018/07/26 20.0065646 UBs ag – Hsi r Bull CBBC Oct 2019 H 250,000,000 2018/04/26 2019/10/30 62.5065638 UBs ag – Hsi r Bull CBBC Oct 2019 V 250,000,000 2018/04/26 2019/10/30 62.5065640 UBs ag – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/04/26 2019/11/28 50.0065665 UBs ag – Hsi r Bull CBBC Dec 2019 O 250,000,000 2018/04/26 2019/12/30 62.5065625 UBs ag – Hsi r Bear CBBC Jul 2018 e 200,000,000 2018/04/26 2018/07/30 50.00




65635 UBs ag – Hsi r Bear CBBC Jul 2018 g 200,000,000 2018/04/26 2018/07/30 50.0065664 UBs ag – Hsi r Bear CBBC Jul 2018 O 200,000,000 2018/04/26 2018/07/30 50.0065609 UBs ag – Hsi r Bear CBBC Jul 2018 V 250,000,000 2018/04/26 2018/07/30 62.5065656 UBs ag – tencent r Bull CBBC sep 2018 F 30,000,000 2018/04/26 2018/09/17 10.2065438 Bank Vontobel – Hsi r Bear CBBC Oct 2018 V 100,000,000 2018/04/26 2018/10/30 25.2065940 BNP Paribas issuance B.V. – HkeX r Bull CBBC aug 2018 i 50,000,000 2018/04/27 2018/08/30 12.5065937 BNP Paribas issuance B.V. – HsBC r Bull CBBC Nov 2018 C 150,000,000 2018/04/27 2018/11/29 37.5065892 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jul 2018 U 250,000,000 2018/04/27 2018/07/30 62.5065939 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 J 200,000,000 2018/04/27 2018/11/29 50.0066088 Credit suisse ag – China Mobile r Bull CBBC Oct 2018 M 50,000,000 2018/04/27 2018/10/30 12.5066084 Credit suisse ag – HsBC r Bull CBBC Dec 2018 D 100,000,000 2018/04/27 2018/12/28 25.0066080 Credit suisse ag – Hsi r Bull CBBC Jul 2019 X 200,000,000 2018/04/27 2019/07/30 50.0066098 Credit suisse ag – Hsi r Bull CBBC Jul 2019 Y 200,000,000 2018/04/27 2019/07/30 50.0066104 Credit suisse ag – Hsi r Bull CBBC Jul 2019 Z 200,000,000 2018/04/27 2019/07/30 50.0066081 Credit suisse ag – Hsi r Bull CBBC aug 2019 F 200,000,000 2018/04/27 2019/08/29 50.0066108 Credit suisse ag – Hsi r Bear CBBC aug 2018 F 200,000,000 2018/04/27 2018/08/30 50.0066082 Credit suisse ag – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/04/27 2018/08/30 50.0066083 Credit suisse ag – Hsi r Bear CBBC aug 2018 Z 200,000,000 2018/04/27 2018/08/30 50.0066087 Credit suisse ag – PetroChina r Bull CBBC Nov 2018 D 50,000,000 2018/04/27 2018/11/29 12.5066121 Credit suisse ag – tencent r Bear CBBC Nov 2018 C 50,000,000 2018/04/27 2018/11/29 12.5066162 goldman sachs sP (asia) – aaC tech r Bull CBBC Dec 2018 J 40,000,000 2018/04/27 2018/12/31 10.0066163 goldman sachs sP (asia) – aaC tech r Bull CBBC Dec 2018 k 40,000,000 2018/04/27 2018/12/31 10.0065958 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 Q 100,000,000 2018/04/27 2018/12/31 25.0065946 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 l 100,000,000 2018/04/27 2018/12/31 25.0065901 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 F 200,000,000 2018/04/27 2019/11/28 50.0065906 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/04/27 2019/11/28 50.0065959 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 r 200,000,000 2018/04/27 2018/10/30 50.0065970 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/04/27 2018/10/30 50.0066164 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/04/27 2018/10/30 50.0066168 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 H 100,000,000 2018/04/27 2018/12/31 25.0066170 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 i 100,000,000 2018/04/27 2018/12/31 25.0065915 Hk Bank – HkeX r Bull CBBC Oct 2018 C 50,000,000 2018/04/27 2018/10/25 12.5065929 Hk Bank – Hsi r Bull CBBC Mar 2019 O 100,000,000 2018/04/27 2019/03/28 25.0065918 Hk Bank – Hsi r Bear CBBC aug 2018 g 100,000,000 2018/04/27 2018/08/30 25.0065917 Hk Bank – iCBC r Bull CBBC Oct 2018 C 100,000,000 2018/04/27 2018/10/02 25.0065911 Hk Bank – sMiC r Bull CBBC Nov 2018 a 40,000,000 2018/04/27 2018/11/05 10.0065930 Hk Bank – tencent r Bull CBBC Oct 2018 W 60,000,000 2018/04/27 2018/10/02 15.0066139 J P Morgan sP BV – HkeX r Bull CBBC sep 2018 a 40,000,000 2018/04/27 2018/09/14 10.0066138 J P Morgan sP BV – HsBC r Bull CBBC sep 2018 B 100,000,000 2018/04/27 2018/09/14 25.0066151 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 l 200,000,000 2018/04/27 2019/10/30 50.0066122 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 D 200,000,000 2018/04/27 2019/11/28 50.0066126 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 X 200,000,000 2018/04/27 2019/12/30 50.0066155 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 t 200,000,000 2018/04/27 2018/07/30 50.0066157 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/04/27 2018/08/30 50.0066134 J P Morgan sP BV – Ping an r Bull CBBC aug 2018 l 100,000,000 2018/04/27 2018/08/10 25.00




66067 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 l 40,000,000 2018/04/27 2018/11/15 10.0066068 sg issuer – a50 China r Bull CBBC Nov 2018 g 50,000,000 2018/04/27 2018/11/22 12.5066000 sg issuer – HkeX r Bull CBBC Nov 2018 U 50,000,000 2018/04/27 2018/11/21 12.5066034 sg issuer – HsBC r Bull CBBC Nov 2018 t 100,000,000 2018/04/27 2018/11/19 25.0066016 sg issuer – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/04/27 2019/10/30 50.0066010 sg issuer – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/04/27 2019/11/28 50.0066027 sg issuer – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/04/27 2019/12/30 50.0066015 sg issuer – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/04/27 2019/12/30 50.0066078 sg issuer – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/04/27 2018/10/30 50.0066073 sg issuer – Hsi r Bear CBBC Oct 2018 Y 200,000,000 2018/04/27 2018/10/30 50.0066002 sg issuer – tencent r Bull CBBC Jul 2018 e 80,000,000 2018/04/27 2018/07/31 20.0066050 sg issuer – tencent r Bull CBBC Jul 2018 g 80,000,000 2018/04/27 2018/07/27 20.0066066 sg issuer – tencent r Bull CBBC Jul 2018 H 80,000,000 2018/04/27 2018/07/30 20.0065989 UBs ag – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/04/27 2019/10/30 50.0065996 UBs ag – Hsi r Bull CBBC Oct 2019 W 200,000,000 2018/04/27 2019/10/30 50.0065988 UBs ag – Hsi r Bull CBBC Nov 2019 e 250,000,000 2018/04/27 2019/11/28 62.5065983 UBs ag – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/04/27 2019/11/28 50.0065999 UBs ag – Hsi r Bear CBBC Jul 2018 W 200,000,000 2018/04/27 2018/07/30 50.0065998 UBs ag – Hsi r Bear CBBC aug 2018 F 250,000,000 2018/04/27 2018/08/30 62.5066184 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 M 250,000,000 2018/04/30 2019/12/30 62.5066206 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/04/30 2019/12/30 62.5066388 Credit suisse ag – galaxy ent r Bear CBBC Nov 2018 a 50,000,000 2018/04/30 2018/11/29 12.5066359 Credit suisse ag – Hsi r Bull CBBC Jul 2019 B 200,000,000 2018/04/30 2019/07/30 50.0066355 Credit suisse ag – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/04/30 2019/10/30 50.0066406 Credit suisse ag – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/04/30 2018/08/30 50.0066361 Credit suisse ag – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/04/30 2018/09/27 50.0066409 Credit suisse ag – tencent r Bear CBBC Oct 2018 F 50,000,000 2018/04/30 2018/10/30 12.5066257 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 X 200,000,000 2018/04/30 2019/12/30 50.0066261 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/04/30 2019/12/30 50.0066411 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/04/30 2018/10/30 50.0066228 Hk Bank – galaxy ent r Bull CBBC Nov 2018 a 80,000,000 2018/04/30 2018/11/05 20.0066238 Hk Bank – Hsi r Bull CBBC Mar 2019 P 100,000,000 2018/04/30 2019/03/28 25.0066239 Hk Bank – Hsi r Bear CBBC sep 2018 g 100,000,000 2018/04/30 2018/09/27 25.0066253 Hk Bank – NCi r Bull CBBC Dec 2018 B 40,000,000 2018/04/30 2018/12/24 10.0066215 Hk Bank – tencent r Bear CBBC Oct 2018 Q 50,000,000 2018/04/30 2018/10/22 12.5066487 J P Morgan sP BV – Hsi r Bear CBBC Jul 2018 l 200,000,000 2018/04/30 2018/07/30 50.0066488 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/04/30 2018/08/30 50.0066479 J P Morgan sP BV – tencent r Bull CBBC aug 2018 F 50,000,000 2018/04/30 2018/08/10 12.5066480 J P Morgan sP BV – tencent r Bear CBBC aug 2018 H 50,000,000 2018/04/30 2018/08/10 12.5066423 sg issuer – aaC tech r Bull CBBC Dec 2018 C 40,000,000 2018/04/30 2018/12/28 10.6066424 sg issuer – BYD Company r Bull CBBC apr 2019 a 50,000,000 2018/04/30 2019/04/16 12.5066425 sg issuer – BYD Company r Bull CBBC apr 2019 B 50,000,000 2018/04/30 2019/04/30 12.5066430 sg issuer – evergrande r Bull CBBC Dec 2018 D 100,000,000 2018/04/30 2018/12/20 68.0066433 sg issuer – evergrande r Bull CBBC Oct 2019 a 100,000,000 2018/04/30 2019/10/30 25.0066420 sg issuer – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/04/30 2019/12/30 50.00




66466 sg issuer – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/04/30 2019/12/30 50.0066442 sg issuer – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/04/30 2018/08/30 50.0066456 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/04/30 2018/09/27 50.0066473 sg issuer – Ping an r Bull CBBC Oct 2018 a 100,000,000 2018/04/30 2018/10/26 25.0066413 sg issuer – tencent r Bull CBBC Jul 2018 i 80,000,000 2018/04/30 2018/07/30 20.0066435 sg issuer – tencent r Bull CBBC Jul 2018 l 80,000,000 2018/04/30 2018/07/31 20.0066477 sg issuer – tencent r Bear CBBC Jul 2018 s 80,000,000 2018/04/30 2018/07/31 20.0066290 UBs ag – Hsi r Bull CBBC Nov 2019 t 250,000,000 2018/04/30 2019/11/28 62.5066287 UBs ag – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/04/30 2019/12/30 62.5066333 UBs ag – Hsi r Bear CBBC Jul 2018 k 250,000,000 2018/04/30 2018/07/30 62.5066177 Bank Vontobel – tencent r Bull CBBC Nov 2018 B 40,000,000 2018/04/30 2018/11/28 10.1666516 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 a 250,000,000 2018/05/02 2018/08/30 62.5066529 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 B 250,000,000 2018/05/02 2018/08/30 62.5066813 Credit suisse ag – CsOP a50 etF r Bull CBBC Nov 2018 C 50,000,000 2018/05/02 2018/11/29 12.5066797 Credit suisse ag – HkeX r Bull CBBC Dec 2018 C 50,000,000 2018/05/02 2018/12/28 12.5066816 Credit suisse ag – Hsi r Bull CBBC sep 2019 P 200,000,000 2018/05/02 2019/09/27 50.0066831 Credit suisse ag – Hsi r Bull CBBC sep 2019 U 200,000,000 2018/05/02 2019/09/27 50.0066841 Credit suisse ag – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/05/02 2019/10/30 50.0066727 Credit suisse ag – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/05/02 2018/08/30 50.0066726 Credit suisse ag – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/05/02 2018/09/27 50.0066770 Credit suisse ag – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/05/02 2018/09/27 50.0066814 Credit suisse ag – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/05/02 2018/09/27 50.0066803 Credit suisse ag – Ping an r Bull CBBC Dec 2018 J 80,000,000 2018/05/02 2018/12/28 20.0066799 Credit suisse ag – tencent r Bull CBBC Dec 2018 g 50,000,000 2018/05/02 2018/12/28 12.5066853 goldman sachs sP (asia) – China life r Bull CBBC Dec 2018 k 100,000,000 2018/05/02 2018/12/27 25.0066854 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Nov 2018 O 100,000,000 2018/05/02 2018/11/30 25.0066873 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 J 100,000,000 2018/05/02 2019/12/30 25.0066534 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 C 200,000,000 2018/05/02 2018/11/29 50.0066535 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 D 200,000,000 2018/05/02 2018/11/29 50.0066537 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 e 200,000,000 2018/05/02 2018/11/29 50.0066860 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 F 100,000,000 2018/05/02 2018/11/29 25.0066852 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 k 100,000,000 2018/05/02 2018/12/31 25.0066628 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 P 100,000,000 2018/05/02 2018/12/27 25.0066844 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 J 100,000,000 2018/05/02 2018/12/27 25.0066554 Hk Bank – BYD Company r Bull CBBC apr 2019 a 50,000,000 2018/05/02 2019/04/29 12.5066561 Hk Bank – evergrande r Bull CBBC apr 2019 B 100,000,000 2018/05/02 2019/04/29 25.0066541 Hk Bank – Hsi r Bull CBBC Mar 2019 Q 100,000,000 2018/05/02 2019/03/28 25.0066546 Hk Bank – Ping an r Bull CBBC Oct 2018 V 100,000,000 2018/05/02 2018/10/11 25.0066543 Hk Bank – sMiC r Bull CBBC apr 2019 a 40,000,000 2018/05/02 2019/04/29 12.0066545 Hk Bank – sMiC r Bull CBBC Jun 2019 a 40,000,000 2018/05/02 2019/06/24 16.0066705 J P Morgan sP BV – CC Bank r Bull CBBC sep 2018 H 100,000,000 2018/05/02 2018/09/21 25.0066715 J P Morgan sP BV – galaxy ent r Bull CBBC sep 2018 a 100,000,000 2018/05/02 2018/09/21 25.0066718 J P Morgan sP BV – HkeX r Bull CBBC aug 2018 B 40,000,000 2018/05/02 2018/08/10 10.0066661 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/05/02 2019/11/28 50.0066658 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/05/02 2019/12/30 50.00




66633 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 l 200,000,000 2018/05/02 2018/08/30 50.0066657 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/05/02 2018/08/30 50.0066672 J P Morgan sP BV – Ping an r Bull CBBC sep 2018 a 100,000,000 2018/05/02 2018/09/21 25.0066574 sg issuer – HkeX r Bull CBBC sep 2018 O 50,000,000 2018/05/02 2018/09/24 12.5066596 sg issuer – HsBC r Bull CBBC Dec 2018 l 100,000,000 2018/05/02 2018/12/14 25.0066572 sg issuer – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/05/02 2019/12/30 50.0066563 sg issuer – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/05/02 2018/09/27 50.0066567 sg issuer – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/05/02 2018/10/30 50.0066571 sg issuer – Hsi r Bear CBBC Nov 2018 r 200,000,000 2018/05/02 2018/11/29 50.0066587 sg issuer – Ping an r Bull CBBC Oct 2018 B 100,000,000 2018/05/02 2018/10/11 25.0066584 sg issuer – Ping an r Bull CBBC Oct 2018 Y 100,000,000 2018/05/02 2018/10/04 25.0066588 sg issuer – sUNaC r Bull CBBC May 2019 a 80,000,000 2018/05/02 2019/05/30 20.0066589 sg issuer – tencent r Bull CBBC aug 2018 D 80,000,000 2018/05/02 2018/08/03 20.0066590 sg issuer – tencent r Bear CBBC aug 2018 P 80,000,000 2018/05/02 2018/08/06 20.0066615 UBs ag – CsOP a50 etF r Bull CBBC Oct 2018 H 50,000,000 2018/05/02 2018/10/10 12.5066605 UBs ag – CsOP a50 etF r Bull CBBC Nov 2018 a 50,000,000 2018/05/02 2018/11/02 12.5066624 UBs ag – a50 China r Bull CBBC Oct 2018 C 50,000,000 2018/05/02 2018/10/22 12.5066626 UBs ag – a50 China r Bull CBBC Oct 2018 D 50,000,000 2018/05/02 2018/10/29 12.5066627 UBs ag – Hsi r Bull CBBC Dec 2019 r 250,000,000 2018/05/02 2019/12/30 62.5066597 UBs ag – Hsi r Bear CBBC aug 2018 H 250,000,000 2018/05/02 2018/08/30 62.5066598 UBs ag – Hsi r Bear CBBC aug 2018 J 250,000,000 2018/05/02 2018/08/30 62.5066617 UBs ag – tencent r Bull CBBC sep 2018 g 30,000,000 2018/05/02 2018/09/19 10.2066533 Bank Vontobel – Hsi r Bull CBBC Dec 2018 k 100,000,000 2018/05/02 2018/12/28 25.1066511 Bank Vontobel – Hsi r Bear CBBC Oct 2018 W 100,000,000 2018/05/02 2018/10/30 25.6067040 BNP Paribas issuance B.V. – CC Bank r Bull CBBC Nov 2018 U 100,000,000 2018/05/03 2018/11/29 25.0067044 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 t 100,000,000 2018/05/03 2018/11/29 25.0067046 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18C 60,000,000 2018/05/03 2018/11/29 15.0067047 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 a 50,000,000 2018/05/03 2019/03/28 12.5066945 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 C 250,000,000 2018/05/03 2018/08/30 62.5066949 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 D 250,000,000 2018/05/03 2018/08/30 62.5067034 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 s 50,000,000 2018/05/03 2018/11/29 12.5067070 Credit suisse ag – Hsi r Bull CBBC Jul 2019 D 200,000,000 2018/05/03 2019/07/30 50.0067076 Credit suisse ag – Hsi r Bull CBBC sep 2019 Q 200,000,000 2018/05/03 2019/09/27 50.0067066 Credit suisse ag – Hsi r Bull CBBC Oct 2019 k 200,000,000 2018/05/03 2019/10/30 50.0067145 Credit suisse ag – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/05/03 2018/08/30 50.0067138 Credit suisse ag – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/05/03 2018/08/30 50.0067120 Credit suisse ag – Hsi r Bear CBBC sep 2018 X 200,000,000 2018/05/03 2018/09/27 50.0067117 Credit suisse ag – Ping an r Bull CBBC Nov 2018 U 80,000,000 2018/05/03 2018/11/23 20.0067137 Credit suisse ag – sUNaC r Bull CBBC Jan 2019 F 80,000,000 2018/05/03 2019/01/18 20.0067108 Credit suisse ag – tencent r Bull CBBC Dec 2018 H 50,000,000 2018/05/03 2018/12/21 12.5067115 Credit suisse ag – tencent r Bull CBBC Dec 2018 i 50,000,000 2018/05/03 2018/12/07 12.5067124 Credit suisse ag – tencent r Bear CBBC Oct 2018 g 50,000,000 2018/05/03 2018/10/30 12.5067148 Credit suisse ag – tencent r Bear CBBC Nov 2018 D 50,000,000 2018/05/03 2018/11/28 12.5067260 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 l 100,000,000 2018/05/03 2018/12/20 25.0067007 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 r 100,000,000 2018/05/03 2018/12/27 25.00




67168 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/05/03 2019/11/28 50.0067015 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/05/03 2019/12/30 50.0067169 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 V 200,000,000 2018/05/03 2018/10/30 50.0067173 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/05/03 2018/10/30 50.0067002 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 l 100,000,000 2018/05/03 2018/12/18 25.0067000 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 Q 100,000,000 2018/05/03 2018/12/18 25.0067001 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 r 100,000,000 2018/05/03 2018/12/18 25.0067154 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 s 100,000,000 2018/05/03 2018/12/20 25.0067155 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 t 100,000,000 2018/05/03 2018/12/20 28.4067158 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 U 100,000,000 2018/05/03 2018/12/20 35.6067161 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 k 100,000,000 2018/05/03 2018/12/20 25.0066908 Hk Bank – Hsi r Bull CBBC Dec 2018 g 150,000,000 2018/05/03 2018/12/28 37.5066899 Hk Bank – tencent r Bull CBBC sep 2018 t 60,000,000 2018/05/03 2018/09/20 15.0067235 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/05/03 2019/11/28 50.0067234 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/05/03 2019/12/30 50.0067238 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/03 2018/08/30 50.0067239 J P Morgan sP BV – tencent r Bull CBBC aug 2018 g 50,000,000 2018/05/03 2018/08/10 12.5067241 J P Morgan sP BV – tencent r Bull CBBC aug 2018 H 50,000,000 2018/05/03 2018/08/10 16.5067242 J P Morgan sP BV – tencent r Bull CBBC aug 2018 i 50,000,000 2018/05/03 2018/08/17 19.0067243 J P Morgan sP BV – tencent r Bull CBBC sep 2018 a 50,000,000 2018/05/03 2018/09/14 21.5067245 J P Morgan sP BV – tencent r Bull CBBC sep 2018 B 50,000,000 2018/05/03 2018/09/14 24.0067250 J P Morgan sP BV – tencent r Bear CBBC aug 2018 i 50,000,000 2018/05/03 2018/08/17 12.5066988 Macquarie Bank ltd. – HkeX r Bull CBBC Nov 2018 D 16,000,000 2018/05/03 2018/11/29 10.1466999 Macquarie Bank ltd. – HkeX r Bull CBBC Nov 2018 e 16,000,000 2018/05/03 2018/11/29 10.1867202 sg issuer – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/05/03 2019/11/28 50.0067211 sg issuer – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/05/03 2019/11/28 50.0067203 sg issuer – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/05/03 2019/11/28 50.0067223 sg issuer – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/05/03 2019/12/30 50.0067224 sg issuer – Hsi r Bear CBBC Oct 2018 i 200,000,000 2018/05/03 2018/10/30 50.0067225 sg issuer – Hsi r Bear CBBC Dec 2018 W 200,000,000 2018/05/03 2018/12/28 50.0067229 sg issuer – Ping an r Bear CBBC Oct 2018 l 100,000,000 2018/05/03 2018/10/30 25.0067181 sg issuer – tencent r Bull CBBC aug 2018 J 80,000,000 2018/05/03 2018/08/03 20.0067187 sg issuer – tencent r Bull CBBC aug 2018 k 80,000,000 2018/05/03 2018/08/06 20.0067188 sg issuer – tencent r Bull CBBC aug 2018 N 80,000,000 2018/05/03 2018/08/07 20.0067189 sg issuer – tencent r Bull CBBC aug 2018 P 80,000,000 2018/05/03 2018/08/07 20.0067196 sg issuer – tencent r Bull CBBC sep 2018 H 80,000,000 2018/05/03 2018/09/04 31.6067232 sg issuer – tencent r Bear CBBC aug 2018 Q 80,000,000 2018/05/03 2018/08/08 20.0066914 UBs ag – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/05/03 2019/11/28 50.0066918 UBs ag – Hsi r Bull CBBC Dec 2019 U 250,000,000 2018/05/03 2019/12/30 62.5067057 UBs ag – Hsi r Bear CBBC aug 2018 s 250,000,000 2018/05/03 2018/08/30 62.5067048 UBs ag – Hsi r Bear CBBC sep 2018 N 250,000,000 2018/05/03 2018/09/27 62.5067058 UBs ag – tencent r Bull CBBC Oct 2018 a 30,000,000 2018/05/03 2018/10/29 10.2066921 UBs ag – tencent r Bull CBBC Oct 2018 Z 30,000,000 2018/05/03 2018/10/15 10.2066929 UBs ag – tencent r Bull CBBC Nov 2018 H 30,000,000 2018/05/03 2018/11/26 10.2066930 UBs ag – tencent r Bear CBBC Oct 2018 e 30,000,000 2018/05/03 2018/10/22 10.20




67020 Bank Vontobel – Hsi r Bull CBBC Dec 2018 l 100,000,000 2018/05/03 2018/12/28 25.3067033 Bank Vontobel – Hsi r Bear CBBC Oct 2018 X 100,000,000 2018/05/03 2018/10/30 25.4067291 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 O 250,000,000 2018/05/04 2019/12/30 62.5067385 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/05/04 2019/12/30 62.5067392 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 W 250,000,000 2018/05/04 2019/12/30 62.5067370 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 e 250,000,000 2018/05/04 2018/08/30 62.5067376 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 F 250,000,000 2018/05/04 2018/08/30 62.5067504 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 g 250,000,000 2018/05/04 2018/08/30 62.5067378 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 l 50,000,000 2018/05/04 2018/09/27 12.5067694 Credit suisse ag – BYD Company r Bull CBBC Nov 2018 g 50,000,000 2018/05/04 2018/11/29 12.5067691 Credit suisse ag – geely auto r Bear CBBC Nov 2018 e 40,000,000 2018/05/04 2018/11/29 10.0067659 Credit suisse ag – HkeX r Bull CBBC Nov 2018 g 50,000,000 2018/05/04 2018/11/29 12.5067707 Credit suisse ag – HkeX r Bear CBBC Nov 2018 a 50,000,000 2018/05/04 2018/11/29 12.5067634 Credit suisse ag – Hsi r Bull CBBC sep 2019 V 200,000,000 2018/05/04 2019/09/27 50.0067684 Credit suisse ag – Hsi r Bull CBBC sep 2019 W 200,000,000 2018/05/04 2019/09/27 50.0067695 Credit suisse ag – Hsi r Bull CBBC sep 2019 X 200,000,000 2018/05/04 2019/09/27 50.0067646 Credit suisse ag – Hsi r Bull CBBC Oct 2019 l 200,000,000 2018/05/04 2019/10/30 50.0067678 Credit suisse ag – Hsi r Bull CBBC Oct 2019 M 200,000,000 2018/05/04 2019/10/30 50.0067697 Credit suisse ag – Hsi r Bear CBBC aug 2018 g 200,000,000 2018/05/04 2018/08/30 50.0067701 Credit suisse ag – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/04 2018/08/30 50.0067702 Credit suisse ag – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/05/04 2018/09/27 50.0067705 Credit suisse ag – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/05/04 2018/10/30 50.0067663 Credit suisse ag – Ping an r Bull CBBC Dec 2018 k 80,000,000 2018/05/04 2018/12/28 20.0067692 Credit suisse ag – Ping an r Bear CBBC Nov 2018 e 50,000,000 2018/05/04 2018/11/23 12.5067660 Credit suisse ag – tencent r Bull CBBC Nov 2018 U 50,000,000 2018/05/04 2018/11/30 12.5067690 Credit suisse ag – tencent r Bull CBBC Nov 2018 V 50,000,000 2018/05/04 2018/11/08 12.5067711 Credit suisse ag – tencent r Bear CBBC Nov 2018 e 50,000,000 2018/05/04 2018/11/29 12.5067714 Credit suisse ag – tencent r Bear CBBC Dec 2018 B 50,000,000 2018/05/04 2018/12/07 12.5067342 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 s 100,000,000 2018/05/04 2018/12/27 25.0067350 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/05/04 2019/11/28 50.0067496 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/05/04 2019/11/28 50.0067346 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/05/04 2019/12/30 50.0067924 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 g 200,000,000 2018/05/04 2018/11/29 50.0067926 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 H 200,000,000 2018/05/04 2018/11/29 50.0067928 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 i 200,000,000 2018/05/04 2018/11/29 50.0067338 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 O 100,000,000 2018/05/04 2018/12/27 25.0067339 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 P 100,000,000 2018/05/04 2018/12/27 25.0067911 goldman sachs sP (asia) – Ping an r Bear CBBC Dec 2018 a 80,000,000 2018/05/04 2018/12/31 20.0067914 goldman sachs sP (asia) – Ping an r Bear CBBC Dec 2018 B 80,000,000 2018/05/04 2018/12/31 20.0067886 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 a 80,000,000 2018/05/04 2018/12/31 40.7267337 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 V 100,000,000 2018/05/04 2018/12/27 25.0067488 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 W 100,000,000 2018/05/04 2018/12/27 25.0067845 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 X 80,000,000 2018/05/04 2018/12/31 27.5267847 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 Y 80,000,000 2018/05/04 2018/12/31 30.8067878 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 Z 80,000,000 2018/05/04 2018/12/31 34.16




67891 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 l 80,000,000 2018/05/04 2018/12/27 20.0067278 Hk Bank – HkeX r Bull CBBC Oct 2018 e 50,000,000 2018/05/04 2018/10/04 12.5067309 Hk Bank – HsCei r Bull CBBC Mar 2019 a 60,000,000 2018/05/04 2019/03/28 15.0067288 Hk Bank – Hsi r Bull CBBC Dec 2018 r 150,000,000 2018/05/04 2018/12/28 37.5067307 Hk Bank – Hsi r Bear CBBC sep 2018 H 150,000,000 2018/05/04 2018/09/27 37.5067275 Hk Bank – tencent r Bull CBBC sep 2018 V 60,000,000 2018/05/04 2018/09/13 15.0067295 Hk Bank – tencent r Bear CBBC Oct 2018 r 50,000,000 2018/05/04 2018/10/02 12.5067628 J P Morgan sP BV – HkeX r Bear CBBC aug 2018 B 40,000,000 2018/05/04 2018/08/10 10.0067608 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/05/04 2019/11/28 50.0067605 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 k 200,000,000 2018/05/04 2019/12/30 50.0067616 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/05/04 2019/12/30 50.0067631 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/04 2018/08/30 50.0067632 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 k 200,000,000 2018/05/04 2018/09/27 50.0067633 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/05/04 2018/09/27 50.0067452 Macquarie Bank ltd. – aaC tech r Bull CBBC apr 2019 C 22,600,000 2018/05/04 2019/04/15 10.0367404 Macquarie Bank ltd. – CPiC r Bull CBBC Nov 2018 a 8,000,000 2018/05/04 2018/11/29 10.3667405 Macquarie Bank ltd. – CPiC r Bull CBBC Nov 2018 B 9,000,000 2018/05/04 2018/11/29 10.3267410 Macquarie Bank ltd. – CPiC r Bull CBBC Nov 2018 C 10,000,000 2018/05/04 2018/11/29 10.1167401 Macquarie Bank ltd. – CPiC r Bear CBBC Nov 2018 a 7,000,000 2018/05/04 2018/11/30 10.8767403 Macquarie Bank ltd. – CPiC r Bear CBBC Nov 2018 B 8,000,000 2018/05/04 2018/11/30 10.3767420 Macquarie Bank ltd. – geely auto r Bull CBBC Nov 2018 D 16,500,000 2018/05/04 2018/11/29 10.1667415 Macquarie Bank ltd. – geely auto r Bear CBBC Nov 2018 a 10,000,000 2018/05/04 2018/11/29 10.8567485 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 F 13,700,000 2018/05/04 2018/11/15 10.0167463 Macquarie Bank ltd. – tencent r Bear CBBC Nov 2018 D 14,200,000 2018/05/04 2018/11/15 10.0567473 Macquarie Bank ltd. – tencent r Bear CBBC Nov 2018 e 13,100,000 2018/05/04 2018/11/15 10.0367828 sg issuer – geely auto r Bull CBBC Dec 2018 g 40,000,000 2018/05/04 2018/12/10 15.6067808 sg issuer – galaxy ent r Bear CBBC Oct 2018 D 80,000,000 2018/05/04 2018/10/15 20.0067802 sg issuer – Hsi r Bull CBBC sep 2019 e 200,000,000 2018/05/04 2019/09/27 50.0067719 sg issuer – Hsi r Bull CBBC Oct 2019 l 200,000,000 2018/05/04 2019/10/30 50.0067738 sg issuer – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/05/04 2019/11/28 50.0067778 sg issuer – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/05/04 2019/12/30 50.0067769 sg issuer – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/05/04 2018/09/27 50.0067807 sg issuer – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/05/04 2018/10/30 50.0067788 sg issuer – Ping an r Bull CBBC Oct 2018 H 100,000,000 2018/05/04 2018/10/23 25.0067742 sg issuer – Ping an r Bull CBBC Nov 2018 k 100,000,000 2018/05/04 2018/11/20 25.0067754 sg issuer – Ping an r Bull CBBC Dec 2018 V 100,000,000 2018/05/04 2018/12/13 25.0067759 sg issuer – tencent r Bull CBBC aug 2018 U 80,000,000 2018/05/04 2018/08/06 20.0067767 sg issuer – tencent r Bull CBBC aug 2018 V 80,000,000 2018/05/04 2018/08/07 20.0067791 sg issuer – tencent r Bull CBBC sep 2018 O 80,000,000 2018/05/04 2018/09/07 20.0067801 sg issuer – tencent r Bull CBBC sep 2018 P 80,000,000 2018/05/04 2018/09/10 20.0067841 sg issuer – tencent r Bull CBBC sep 2018 W 80,000,000 2018/05/04 2018/09/05 36.0067843 sg issuer – tencent r Bull CBBC Nov 2018 l 80,000,000 2018/05/04 2018/11/12 51.2067834 sg issuer – tencent r Bear CBBC aug 2018 r 80,000,000 2018/05/04 2018/08/07 20.0067538 UBs ag – aia r Bull CBBC Oct 2018 a 50,000,000 2018/05/04 2018/10/08 12.5067522 UBs ag – CNOOC r Bull CBBC Oct 2018 g 40,000,000 2018/05/04 2018/10/29 10.00




67535 UBs ag – CNOOC r Bull CBBC Nov 2018 C 40,000,000 2018/05/04 2018/11/26 10.0067521 UBs ag – galaxy ent r Bull CBBC Oct 2018 D 40,000,000 2018/05/04 2018/10/22 10.0067510 UBs ag – Hsi r Bull CBBC Oct 2019 B 250,000,000 2018/05/04 2019/10/30 62.5067566 UBs ag – Hsi r Bull CBBC Dec 2019 W 250,000,000 2018/05/04 2019/12/30 62.5067582 UBs ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/05/04 2018/08/30 50.0067568 UBs ag – Hsi r Bear CBBC aug 2018 t 250,000,000 2018/05/04 2018/08/30 62.5067589 UBs ag – Hsi r Bear CBBC aug 2018 U 250,000,000 2018/05/04 2018/08/30 62.5067539 UBs ag – iCBC r Bull CBBC Dec 2018 B 100,000,000 2018/05/04 2018/12/03 25.0067564 UBs ag – Ping an r Bull CBBC Oct 2018 W 80,000,000 2018/05/04 2018/10/24 20.0067513 UBs ag – tencent r Bull CBBC Oct 2018 B 30,000,000 2018/05/04 2018/10/10 10.2067555 UBs ag – tencent r Bull CBBC Oct 2018 C 30,000,000 2018/05/04 2018/10/22 10.2067597 UBs ag – tencent r Bear CBBC aug 2018 H 30,000,000 2018/05/04 2018/08/20 10.2067319 Bank Vontobel – Hsi r Bull CBBC Dec 2018 M 100,000,000 2018/05/04 2018/12/28 25.3067329 Bank Vontobel – Hsi r Bull CBBC Dec 2018 N 100,000,000 2018/05/04 2018/12/28 25.4067263 Bank Vontobel – tencent r Bull CBBC Nov 2018 C 40,000,000 2018/05/04 2018/11/29 33.5267264 Bank Vontobel – tencent r Bull CBBC Nov 2018 D 40,000,000 2018/05/04 2018/11/30 25.1667365 Bank Vontobel – tencent r Bull CBBC Dec 2018 a 40,000,000 2018/05/04 2018/12/03 10.0067310 Bank Vontobel – tencent r Bear CBBC aug 2018 C 40,000,000 2018/05/04 2018/08/06 10.2067316 Bank Vontobel – tencent r Bear CBBC aug 2018 D 40,000,000 2018/05/04 2018/08/08 10.4868085 BNP Paribas issuance B.V. – galaxy ent r Bull CBBC Nov 2018 C 150,000,000 2018/05/07 2018/11/29 37.5068119 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 B 50,000,000 2018/05/07 2019/03/28 12.5068120 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/05/07 2019/12/30 62.5068088 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 k 200,000,000 2018/05/07 2018/11/29 50.0068091 BNP Paribas issuance B.V. – Ping an r Bear CBBC Nov 2018 F 200,000,000 2018/05/07 2018/11/29 50.0068378 Credit suisse ag – BYD Company r Bull CBBC apr 2019 a 50,000,000 2018/05/07 2019/04/25 12.5068379 Credit suisse ag – BYD Company r Bull CBBC apr 2019 B 50,000,000 2018/05/07 2019/04/26 12.5068381 Credit suisse ag – BYD Company r Bull CBBC apr 2019 C 50,000,000 2018/05/07 2019/04/29 12.5068397 Credit suisse ag – HsBC r Bull CBBC Dec 2018 e 80,000,000 2018/05/07 2018/12/28 20.0068387 Credit suisse ag – Hsi r Bull CBBC aug 2019 g 200,000,000 2018/05/07 2019/08/29 50.0068388 Credit suisse ag – Hsi r Bull CBBC sep 2019 r 200,000,000 2018/05/07 2019/09/27 50.0068395 Credit suisse ag – Hsi r Bull CBBC sep 2019 s 200,000,000 2018/05/07 2019/09/27 50.0068364 Credit suisse ag – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/05/07 2018/09/27 50.0068370 Credit suisse ag – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/05/07 2018/09/27 50.0068374 Credit suisse ag – Ping an r Bull CBBC Dec 2018 l 80,000,000 2018/05/07 2018/12/14 20.0068375 Credit suisse ag – Ping an r Bull CBBC Dec 2018 M 80,000,000 2018/05/07 2018/12/28 20.0068385 Credit suisse ag – Ping an r Bear CBBC Nov 2018 F 50,000,000 2018/05/07 2018/11/29 12.5068371 Credit suisse ag – tencent r Bull CBBC Nov 2018 W 50,000,000 2018/05/07 2018/11/28 12.5068401 Credit suisse ag – tencent r Bull CBBC Nov 2018 X 50,000,000 2018/05/07 2018/11/23 12.5068234 Bank of east asia – BYD Company r Bull CBBC Mar 2019 a 40,000,000 2018/05/07 2019/03/06 10.0068251 Bank of east asia – BYD Company r Bull CBBC Mar 2019 B 40,000,000 2018/05/07 2019/03/06 10.0068264 Bank of east asia – China Mobile r Bull CBBC Mar 2019 a 60,000,000 2018/05/07 2019/03/06 15.0068278 Bank of east asia – China Mobile r Bull CBBC Mar 2019 B 60,000,000 2018/05/07 2019/03/06 15.0068229 Bank of east asia – evergrande r Bull CBBC Mar 2019 a 15,000,000 2018/05/07 2019/03/06 10.0568292 Bank of east asia – Ping an r Bull CBBC Mar 2019 a 120,000,000 2018/05/07 2019/03/06 30.0068293 Bank of east asia – sMiC r Bull CBBC Mar 2019 a 40,000,000 2018/05/07 2019/03/06 10.00




68253 Bank of east asia – tencent r Bull CBBC Mar 2019 a 30,000,000 2018/05/07 2019/03/06 10.5068550 goldman sachs sP (asia) – aaC tech r Bull CBBC Dec 2018 l 40,000,000 2018/05/07 2018/12/31 10.0068552 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 t 100,000,000 2018/05/07 2018/12/31 25.0068570 goldman sachs sP (asia) – HkeX r Bear CBBC Dec 2018 a 50,000,000 2018/05/07 2018/12/31 12.5068583 goldman sachs sP (asia) – HkeX r Bear CBBC Dec 2018 B 50,000,000 2018/05/07 2018/12/18 12.5068590 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 M 100,000,000 2018/05/07 2018/12/31 25.0068599 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/05/07 2019/12/30 50.0068065 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 O 200,000,000 2018/05/07 2020/01/30 50.0068064 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 M 100,000,000 2018/05/07 2018/12/31 25.0068054 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 N 100,000,000 2018/05/07 2018/12/31 25.0068055 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 Q 100,000,000 2018/05/07 2018/12/31 25.0068053 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 e 100,000,000 2018/05/07 2018/12/18 25.0068549 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 i 100,000,000 2018/05/07 2018/12/18 25.0067977 Hk Bank – evergrande r Bull CBBC May 2019 a 100,000,000 2018/05/07 2019/05/20 25.0067975 Hk Bank – geely auto r Bear CBBC Oct 2018 g 40,000,000 2018/05/07 2018/10/15 10.0067961 Hk Bank – HkeX r Bear CBBC Nov 2018 C 40,000,000 2018/05/07 2018/11/05 10.0067985 Hk Bank – Hsi r Bull CBBC Mar 2019 r 150,000,000 2018/05/07 2019/03/28 37.5067983 Hk Bank – Hsi r Bear CBBC sep 2018 i 150,000,000 2018/05/07 2018/09/27 37.5067931 Hk Bank – Ping an r Bull CBBC Oct 2018 t 100,000,000 2018/05/07 2018/10/02 25.0067929 Hk Bank – Ping an r Bull CBBC Oct 2018 W 100,000,000 2018/05/07 2018/10/15 25.0068008 Hk Bank – Ping an r Bear CBBC Oct 2018 J 80,000,000 2018/05/07 2018/10/22 20.0068012 Hk Bank – sMiC r Bull CBBC Jul 2019 a 40,000,000 2018/05/07 2019/07/08 18.0068011 Hk Bank – sunny Optical r Bull CBBC sep 2018 J 40,000,000 2018/05/07 2018/09/17 10.0067992 Hk Bank – tencent r Bull CBBC sep 2018 W 60,000,000 2018/05/07 2018/09/20 15.0068360 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/05/07 2019/11/28 50.0068304 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/07 2019/12/30 50.0068358 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/05/07 2019/12/30 50.0068311 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/07 2018/08/30 50.0068363 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/05/07 2018/08/30 50.0068322 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/05/07 2018/09/27 50.0068335 J P Morgan sP BV – tencent r Bull CBBC aug 2018 J 50,000,000 2018/05/07 2018/08/17 12.5068344 J P Morgan sP BV – tencent r Bull CBBC aug 2018 k 50,000,000 2018/05/07 2018/08/10 12.5068353 J P Morgan sP BV – tencent r Bull CBBC sep 2018 C 50,000,000 2018/05/07 2018/09/14 12.5068014 Macquarie Bank ltd. – HkeX r Bear CBBC Nov 2018 a 16,000,000 2018/05/07 2018/11/29 11.2668040 Macquarie Bank ltd. – HkeX r Bear CBBC Nov 2018 B 14,000,000 2018/05/07 2018/11/29 11.5268042 Macquarie Bank ltd. – HkeX r Bear CBBC Nov 2018 C 12,000,000 2018/05/07 2018/11/30 11.3468066 Macquarie Bank ltd. – Ping an r Bull CBBC Dec 2018 D 40,000,000 2018/05/07 2018/12/28 10.2068411 sg issuer – CC Bank r Bear CBBC sep 2018 F 80,000,000 2018/05/07 2018/09/20 20.0068412 sg issuer – China life r Bear CBBC Oct 2018 a 40,000,000 2018/05/07 2018/10/24 10.0068450 sg issuer – CsOP a50 etF r Bull CBBC sep 2018 M 40,000,000 2018/05/07 2018/09/20 10.0068452 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 M 40,000,000 2018/05/07 2018/11/29 10.0068453 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 N 40,000,000 2018/05/07 2018/11/30 10.0068461 sg issuer – a50 China r Bull CBBC Nov 2018 H 50,000,000 2018/05/07 2018/11/29 12.5068414 sg issuer – geely auto r Bear CBBC Nov 2018 C 40,000,000 2018/05/07 2018/11/30 19.2068489 sg issuer – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/05/07 2019/10/30 50.00




68496 sg issuer – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/05/07 2019/11/28 50.0068503 sg issuer – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/07 2019/12/30 50.0068478 sg issuer – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/05/07 2018/10/30 50.0068484 sg issuer – Hsi r Bear CBBC Nov 2018 s 200,000,000 2018/05/07 2018/11/29 50.0068487 sg issuer – Hsi r Bear CBBC Nov 2018 t 200,000,000 2018/05/07 2018/11/29 50.0068498 sg issuer – Hsi r Bear CBBC Nov 2018 U 200,000,000 2018/05/07 2018/11/29 50.0068415 sg issuer – iCBC r Bear CBBC sep 2018 D 60,000,000 2018/05/07 2018/09/27 15.0068505 sg issuer – Ping an r Bull CBBC sep 2018 e 100,000,000 2018/05/07 2018/09/28 25.0068508 sg issuer – Ping an r Bull CBBC Oct 2018 F 100,000,000 2018/05/07 2018/10/23 25.0068521 sg issuer – Ping an r Bull CBBC Oct 2018 J 100,000,000 2018/05/07 2018/10/26 25.0068512 sg issuer – Ping an r Bull CBBC Nov 2018 l 100,000,000 2018/05/07 2018/11/21 25.0068514 sg issuer – Ping an r Bull CBBC Nov 2018 r 100,000,000 2018/05/07 2018/11/26 25.0068530 sg issuer – Ping an r Bull CBBC Nov 2018 s 100,000,000 2018/05/07 2018/11/30 25.0068406 sg issuer – Ping an r Bull CBBC Dec 2018 W 100,000,000 2018/05/07 2018/12/11 25.0068407 sg issuer – Ping an r Bull CBBC Dec 2018 X 100,000,000 2018/05/07 2018/12/19 25.0068408 sg issuer – Ping an r Bull CBBC Dec 2018 Y 100,000,000 2018/05/07 2018/12/28 25.0068519 sg issuer – Ping an r Bear CBBC sep 2018 D 100,000,000 2018/05/07 2018/09/20 25.0068488 sg issuer – tencent r Bull CBBC aug 2018 F 80,000,000 2018/05/07 2018/08/07 20.0068515 sg issuer – tencent r Bull CBBC aug 2018 l 80,000,000 2018/05/07 2018/08/07 20.0068439 sg issuer – tencent r Bull CBBC sep 2018 Y 80,000,000 2018/05/07 2018/09/06 20.0068416 sg issuer – tencent r Bear CBBC aug 2018 s 80,000,000 2018/05/07 2018/08/31 20.0068418 sg issuer – tencent r Bear CBBC sep 2018 O 80,000,000 2018/05/07 2018/09/05 20.0068163 UBs ag – BYD Company r Bull CBBC Nov 2018 B 40,000,000 2018/05/07 2018/11/26 10.0068193 UBs ag – BYD Company r Bull CBBC Dec 2018 B 40,000,000 2018/05/07 2018/12/03 10.0068209 UBs ag – BYD Company r Bull CBBC Dec 2018 C 40,000,000 2018/05/07 2018/12/17 10.0068222 UBs ag – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/05/07 2019/10/30 50.0068224 UBs ag – Hsi r Bull CBBC Oct 2019 X 200,000,000 2018/05/07 2019/10/30 50.0068147 UBs ag – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/05/07 2019/11/28 50.0068127 UBs ag – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/05/07 2018/08/30 50.0068135 UBs ag – Hsi r Bear CBBC aug 2018 W 250,000,000 2018/05/07 2018/08/30 62.5068157 UBs ag – Ping an r Bull CBBC Nov 2018 U 80,000,000 2018/05/07 2018/11/12 20.0068160 UBs ag – Ping an r Bear CBBC Nov 2018 a 80,000,000 2018/05/07 2018/11/05 20.0068211 UBs ag – tencent r Bear CBBC Oct 2018 F 30,000,000 2018/05/07 2018/10/08 10.2068609 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 a 250,000,000 2018/05/08 2019/12/30 62.5068632 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 B 250,000,000 2018/05/08 2019/12/30 62.5068641 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 C 250,000,000 2018/05/08 2019/12/30 62.5068659 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 t 250,000,000 2018/05/08 2019/12/30 62.5068937 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Y 250,000,000 2018/05/08 2019/12/30 62.5068600 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 H 250,000,000 2018/05/08 2018/08/30 62.5068605 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 i 250,000,000 2018/05/08 2018/08/30 62.5068928 BNP Paribas issuance B.V. – Hsi r Bear CBBC aug 2018 J 250,000,000 2018/05/08 2018/08/30 62.5068929 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 U 50,000,000 2018/05/08 2018/09/27 12.5068991 Credit suisse ag – aia r Bull CBBC Nov 2018 B 70,000,000 2018/05/08 2018/11/23 17.5069045 Credit suisse ag – CC Bank r Bull CBBC Nov 2018 k 80,000,000 2018/05/08 2018/11/29 20.0069017 Credit suisse ag – CM Bank r Bull CBBC Jan 2019 C 70,000,000 2018/05/08 2019/01/30 17.50




68971 Credit suisse ag – galaxy ent r Bull CBBC Nov 2018 e 50,000,000 2018/05/08 2018/11/29 12.5068977 Credit suisse ag – HkeX r Bull CBBC Oct 2018 W 50,000,000 2018/05/08 2018/10/30 12.5068982 Credit suisse ag – HkeX r Bear CBBC Dec 2018 B 50,000,000 2018/05/08 2018/12/07 12.5069046 Credit suisse ag – HsBC r Bull CBBC Dec 2018 F 80,000,000 2018/05/08 2018/12/21 20.0069059 Credit suisse ag – HsCei r Bull CBBC apr 2019 B 100,000,000 2018/05/08 2019/04/29 25.0069055 Credit suisse ag – Hsi r Bull CBBC Jul 2019 F 200,000,000 2018/05/08 2019/07/30 50.0069048 Credit suisse ag – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/05/08 2019/10/30 50.0069049 Credit suisse ag – Hsi r Bull CBBC Oct 2019 O 200,000,000 2018/05/08 2019/10/30 50.0069051 Credit suisse ag – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/05/08 2019/10/30 50.0069054 Credit suisse ag – Hsi r Bull CBBC Oct 2019 Q 200,000,000 2018/05/08 2019/10/30 50.0068961 Credit suisse ag – Hsi r Bear CBBC aug 2018 F 200,000,000 2018/05/08 2018/08/30 50.0068957 Credit suisse ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/05/08 2018/08/30 50.0068943 Credit suisse ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/08 2018/08/30 50.0068944 Credit suisse ag – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/05/08 2018/08/30 50.0068969 Credit suisse ag – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/08 2018/08/30 50.0069004 Credit suisse ag – Ping an r Bull CBBC Dec 2018 N 80,000,000 2018/05/08 2018/12/21 20.0069008 Credit suisse ag – sunny Optical r Bull CBBC Nov 2018 D 40,000,000 2018/05/08 2018/11/29 10.0069010 Credit suisse ag – tencent r Bull CBBC Dec 2018 J 50,000,000 2018/05/08 2018/12/14 12.5069443 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 U 100,000,000 2018/05/08 2018/12/31 25.0069431 goldman sachs sP (asia) – galaxy ent r Bull CBBC Dec 2018 r 100,000,000 2018/05/08 2018/12/18 25.0069437 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 U 100,000,000 2018/05/08 2018/12/31 25.0069438 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 N 100,000,000 2018/05/08 2018/12/31 25.0069386 goldman sachs sP (asia) – HsCei r Bull CBBC Dec 2019 J 200,000,000 2018/05/08 2019/12/30 50.0069334 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/05/08 2019/12/30 50.0069333 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 P 200,000,000 2018/05/08 2019/12/30 50.0069346 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/05/08 2019/12/30 50.0069351 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 r 200,000,000 2018/05/08 2019/12/30 50.0068793 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/05/08 2018/08/30 50.0068802 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/08 2018/08/30 50.0068810 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/05/08 2018/09/27 50.0069354 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/05/08 2018/09/27 50.0069355 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/05/08 2018/09/27 50.0069414 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 e 100,000,000 2018/05/08 2019/02/28 25.0069430 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 r 100,000,000 2018/05/08 2018/12/31 25.0069389 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 J 100,000,000 2018/05/08 2018/12/18 25.0069394 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 k 100,000,000 2018/05/08 2018/12/31 25.0068667 Hk Bank – aBC r Bull CBBC Nov 2018 a 100,000,000 2018/05/08 2018/11/12 25.0068759 Hk Bank – aBC r Bull CBBC Nov 2018 B 100,000,000 2018/05/08 2018/11/19 25.0068735 Hk Bank – China Mobile r Bull CBBC Oct 2018 M 50,000,000 2018/05/08 2018/10/02 12.5068732 Hk Bank – CC Bank r Bull CBBC Oct 2018 C 100,000,000 2018/05/08 2018/10/08 25.0068789 Hk Bank – galaxy ent r Bull CBBC Nov 2018 B 80,000,000 2018/05/08 2018/11/12 20.0068715 Hk Bank – HkeX r Bull CBBC Oct 2018 i 50,000,000 2018/05/08 2018/10/18 12.5068784 Hk Bank – HsCei r Bull CBBC Dec 2018 V 60,000,000 2018/05/08 2018/12/28 15.0068776 Hk Bank – Hsi r Bull CBBC Dec 2018 Q 150,000,000 2018/05/08 2018/12/28 37.5068770 Hk Bank – Hsi r Bull CBBC Mar 2019 s 100,000,000 2018/05/08 2019/03/28 25.00




68711 Hk Bank – PetroChina r Bull CBBC Oct 2018 N 80,000,000 2018/05/08 2018/10/08 20.0068714 Hk Bank – Ping an r Bull CBBC Oct 2018 U 100,000,000 2018/05/08 2018/10/08 25.0068686 Hk Bank – sands China r Bull CBBC Nov 2018 a 80,000,000 2018/05/08 2018/11/19 20.0068703 Hk Bank – sands China r Bull CBBC Nov 2018 B 80,000,000 2018/05/08 2018/11/12 20.0068788 Hk Bank – sUNaC r Bull CBBC Jan 2019 H 100,000,000 2018/05/08 2019/01/14 25.0068731 Hk Bank – tencent r Bull CBBC sep 2018 Y 60,000,000 2018/05/08 2018/09/27 15.0069143 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/05/08 2019/10/30 50.0069129 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/05/08 2019/11/28 50.0069194 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/05/08 2019/11/28 50.0069123 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/05/08 2019/12/30 50.0069172 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/05/08 2019/12/30 50.0069064 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 D 200,000,000 2018/05/08 2018/08/30 50.0069093 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Y 200,000,000 2018/05/08 2018/08/30 50.0069094 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/05/08 2018/09/27 50.0069096 J P Morgan sP BV – Ping an r Bull CBBC sep 2018 B 100,000,000 2018/05/08 2018/09/21 25.0068925 Macquarie Bank ltd. – aaC tech r Bull CBBC apr 2019 D 24,000,000 2018/05/08 2019/04/15 10.0168914 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 g 12,900,000 2018/05/08 2018/11/15 10.0668915 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 H 14,400,000 2018/05/08 2018/11/15 10.0169321 sg issuer – aBC r Bull CBBC Dec 2018 C 60,000,000 2018/05/08 2018/12/28 15.0069257 sg issuer – Bank of China r Bull CBBC Feb 2019 a 100,000,000 2018/05/08 2019/02/18 25.0069262 sg issuer – CC Bank r Bull CBBC sep 2018 U 100,000,000 2018/05/08 2018/09/19 25.0069328 sg issuer – CC Bank r Bull CBBC sep 2018 V 100,000,000 2018/05/08 2018/09/28 25.0069195 sg issuer – galaxy ent r Bull CBBC Dec 2018 J 80,000,000 2018/05/08 2018/12/20 20.0069212 sg issuer – HkeX r Bull CBBC Oct 2018 B 50,000,000 2018/05/08 2018/10/29 12.5069274 sg issuer – HsBC r Bull CBBC Nov 2018 U 100,000,000 2018/05/08 2018/11/20 25.0069278 sg issuer – HsBC r Bull CBBC Nov 2018 V 100,000,000 2018/05/08 2018/11/26 25.0069215 sg issuer – Hsi r Bull CBBC Oct 2019 O 200,000,000 2018/05/08 2019/10/30 50.0069226 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/05/08 2019/11/28 50.0069240 sg issuer – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/05/08 2019/12/30 50.0069253 sg issuer – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/05/08 2019/12/30 50.0069256 sg issuer – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/05/08 2019/12/30 50.0069309 sg issuer – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/08 2018/08/30 50.0069210 sg issuer – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/05/08 2018/10/30 50.0069317 sg issuer – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/05/08 2018/10/30 50.0069318 sg issuer – Hsi r Bear CBBC Nov 2018 V 200,000,000 2018/05/08 2018/11/29 50.0069213 sg issuer – Hsi r Bear CBBC Dec 2018 X 200,000,000 2018/05/08 2018/12/28 50.0069203 sg issuer – iCBC r Bull CBBC sep 2018 U 60,000,000 2018/05/08 2018/09/28 15.0069279 sg issuer – iCBC r Bull CBBC Oct 2018 g 60,000,000 2018/05/08 2018/10/22 15.0069283 sg issuer – Ping an r Bull CBBC Oct 2018 l 100,000,000 2018/05/08 2018/10/12 25.0069291 sg issuer – sands China r Bull CBBC Dec 2018 B 60,000,000 2018/05/08 2018/12/12 15.0069299 sg issuer – sands China r Bull CBBC Dec 2018 C 60,000,000 2018/05/08 2018/12/18 15.0069208 sg issuer – tencent r Bull CBBC aug 2018 W 80,000,000 2018/05/08 2018/08/31 20.0069300 sg issuer – tencent r Bull CBBC sep 2018 Z 80,000,000 2018/05/08 2018/09/04 20.0068907 UBs ag – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/05/08 2019/10/30 50.0068836 UBs ag – Hsi r Bull CBBC Oct 2019 U 250,000,000 2018/05/08 2019/10/30 62.50




68838 UBs ag – Hsi r Bull CBBC Nov 2019 Q 250,000,000 2018/05/08 2019/11/28 62.5068842 UBs ag – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/05/08 2019/12/30 50.0068883 UBs ag – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/05/08 2019/12/30 62.5068844 UBs ag – Hsi r Bear CBBC aug 2018 a 200,000,000 2018/05/08 2018/08/30 50.0068871 UBs ag – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/05/08 2018/08/30 50.0068829 UBs ag – Hsi r Bear CBBC aug 2018 g 200,000,000 2018/05/08 2018/08/30 50.0068851 UBs ag – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/05/08 2018/08/30 50.0068827 UBs ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/08 2018/08/30 50.0068819 UBs ag – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/05/08 2018/08/30 50.0068830 UBs ag – Hsi r Bear CBBC sep 2018 O 250,000,000 2018/05/08 2018/09/27 62.5068853 UBs ag – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/05/08 2018/09/27 50.0069634 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 a 250,000,000 2018/05/09 2018/12/28 62.5069656 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 B 250,000,000 2018/05/09 2018/12/28 62.5069657 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 C 250,000,000 2018/05/09 2018/12/28 62.5069659 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 D 250,000,000 2018/05/09 2018/12/28 62.5060000 Credit suisse ag – aBC r Bull CBBC Nov 2018 a 70,000,000 2018/05/09 2018/11/29 17.5069991 Credit suisse ag – Bank of China r Bull CBBC Nov 2018 g 80,000,000 2018/05/09 2018/11/29 20.0069889 Credit suisse ag – Hsi r Bull CBBC sep 2019 t 200,000,000 2018/05/09 2019/09/27 50.0069897 Credit suisse ag – Hsi r Bull CBBC sep 2019 Y 200,000,000 2018/05/09 2019/09/27 50.0069917 Credit suisse ag – Hsi r Bull CBBC sep 2019 Z 200,000,000 2018/05/09 2019/09/27 50.0069926 Credit suisse ag – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/05/09 2018/09/27 50.0069984 Credit suisse ag – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/05/09 2018/09/27 50.0060002 Credit suisse ag – sands China r Bull CBBC Nov 2018 B 50,000,000 2018/05/09 2018/11/29 12.5060012 Credit suisse ag – sands China r Bull CBBC Dec 2018 B 50,000,000 2018/05/09 2018/12/28 12.5069542 Bank of east asia – aia r Bull CBBC Jan 2019 a 40,000,000 2018/05/09 2019/01/08 10.0069572 Bank of east asia – geely auto r Bull CBBC Jan 2019 a 40,000,000 2018/05/09 2019/01/08 10.0069615 Bank of east asia – geely auto r Bull CBBC Jan 2019 B 40,000,000 2018/05/09 2019/01/08 10.0069530 Bank of east asia – galaxy ent r Bull CBBC Jan 2019 a 16,000,000 2018/05/09 2019/01/08 10.4069541 Bank of east asia – HkeX r Bull CBBC Jan 2019 a 40,000,000 2018/05/09 2019/01/08 10.0069534 Bank of east asia – sands China r Bull CBBC Jan 2019 a 12,000,000 2018/05/09 2019/01/08 10.0869540 Bank of east asia – tencent r Bull CBBC Jan 2019 a 30,000,000 2018/05/09 2019/01/08 10.5060063 goldman sachs sP (asia) – galaxy ent r Bull CBBC Dec 2018 s 100,000,000 2018/05/09 2018/12/31 25.0060065 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 V 100,000,000 2018/05/09 2018/12/27 25.0069660 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/05/09 2019/11/28 50.0069661 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/05/09 2019/12/30 50.0069671 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/05/09 2018/09/27 50.0069681 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 X 200,000,000 2018/05/09 2018/09/27 50.2060058 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 l 100,000,000 2018/05/09 2018/12/27 25.0069527 Hk Bank – aaC tech r Bull CBBC Oct 2018 i 40,000,000 2018/05/09 2018/10/22 10.0069472 Hk Bank – CNOOC r Bull CBBC Nov 2018 B 50,000,000 2018/05/09 2018/11/12 12.5069474 Hk Bank – CNOOC r Bear CBBC Nov 2018 B 40,000,000 2018/05/09 2018/11/19 10.0069518 Hk Bank – HkeX r Bull CBBC Oct 2018 g 50,000,000 2018/05/09 2018/10/25 12.5069457 Hk Bank – Hsi r Bull CBBC Mar 2019 t 150,000,000 2018/05/09 2019/03/28 37.5069464 Hk Bank – Hsi r Bear CBBC sep 2018 J 150,000,000 2018/05/09 2018/09/27 37.5069515 Hk Bank – sands China r Bull CBBC Oct 2018 a 80,000,000 2018/05/09 2018/10/29 20.00




69496 Hk Bank – sands China r Bear CBBC Oct 2018 B 40,000,000 2018/05/09 2018/10/22 10.0069528 Hk Bank – sunny Optical r Bull CBBC Oct 2018 B 40,000,000 2018/05/09 2018/10/02 10.0069514 Hk Bank – tencent r Bull CBBC Oct 2018 X 60,000,000 2018/05/09 2018/10/02 15.0060083 J P Morgan sP BV – HsBC r Bull CBBC sep 2018 C 100,000,000 2018/05/09 2018/09/14 25.0060067 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/05/09 2019/11/28 50.0060066 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 U 200,000,000 2018/05/09 2019/12/30 50.0060093 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 k 200,000,000 2018/05/09 2018/08/30 50.0060073 J P Morgan sP BV – tencent r Bull CBBC aug 2018 l 50,000,000 2018/05/09 2018/08/17 12.5060076 J P Morgan sP BV – tencent r Bear CBBC aug 2018 J 50,000,000 2018/05/09 2018/08/17 12.5069885 Macquarie Bank ltd. – sands China r Bull CBBC Nov 2018 a 6,000,000 2018/05/09 2018/11/29 10.4769886 Macquarie Bank ltd. – sands China r Bull CBBC Nov 2018 B 8,000,000 2018/05/09 2018/11/29 11.5469844 Macquarie Bank ltd. – sands China r Bear CBBC Nov 2018 a 5,000,000 2018/05/09 2018/11/29 10.8569845 Macquarie Bank ltd. – sands China r Bear CBBC Nov 2018 B 6,500,000 2018/05/09 2018/11/29 10.6969752 sg issuer – galaxy ent r Bear CBBC Oct 2018 e 80,000,000 2018/05/09 2018/10/30 20.0069685 sg issuer – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/05/09 2019/10/30 50.0069695 sg issuer – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/05/09 2019/12/30 50.0069828 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/05/09 2018/09/27 50.0069765 sg issuer – Ping an r Bull CBBC Dec 2018 Z 100,000,000 2018/05/09 2018/12/12 25.0069790 sg issuer – Ping an r Bear CBBC sep 2018 e 100,000,000 2018/05/09 2018/09/28 25.0069815 sg issuer – tencent r Bull CBBC aug 2018 M 80,000,000 2018/05/09 2018/08/08 20.0069822 sg issuer – tencent r Bull CBBC aug 2018 O 80,000,000 2018/05/09 2018/08/09 20.0069771 sg issuer – tencent r Bear CBBC aug 2018 t 80,000,000 2018/05/09 2018/08/31 20.0060038 UBs ag – aaC tech r Bull CBBC Nov 2018 a 40,000,000 2018/05/09 2018/11/19 10.0060039 UBs ag – aaC tech r Bear CBBC Oct 2018 a 40,000,000 2018/05/09 2018/10/22 10.0060021 UBs ag – aBC r Bull CBBC Nov 2018 a 40,000,000 2018/05/09 2018/11/19 10.0060030 UBs ag – China life r Bull CBBC sep 2018 N 40,000,000 2018/05/09 2018/09/17 10.0060028 UBs ag – HkeX r Bull CBBC Oct 2018 i 40,000,000 2018/05/09 2018/10/22 10.0060019 UBs ag – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/05/09 2019/10/30 50.0060014 UBs ag – Hsi r Bull CBBC Nov 2019 F 250,000,000 2018/05/09 2019/11/28 62.5060015 UBs ag – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/05/09 2019/11/28 50.0060013 UBs ag – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/05/09 2019/11/28 50.0060031 UBs ag – Hsi r Bear CBBC sep 2018 Q 250,000,000 2018/05/09 2018/09/27 62.5060032 UBs ag – Hsi r Bear CBBC sep 2018 r 250,000,000 2018/05/09 2018/09/27 62.5060034 UBs ag – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/05/09 2018/09/27 50.0060029 UBs ag – Petrochina r Bull CBBC Dec 2018 B 60,000,000 2018/05/09 2018/12/03 15.0060025 UBs ag – sands China r Bull CBBC Nov 2018 a 60,000,000 2018/05/09 2018/11/26 15.0060026 UBs ag – sands China r Bull CBBC Dec 2018 a 60,000,000 2018/05/09 2018/12/10 15.0069453 Bank Vontobel – Hsi r Bull CBBC Dec 2018 O 100,000,000 2018/05/09 2018/12/28 25.5069456 Bank Vontobel – Hsi r Bull CBBC Dec 2018 P 100,000,000 2018/05/09 2018/12/28 25.0069529 Bank Vontobel – Hsi r Bear CBBC Nov 2018 B 100,000,000 2018/05/09 2018/11/29 25.3060145 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 D 250,000,000 2018/05/10 2019/12/30 62.5060139 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Z 250,000,000 2018/05/10 2019/12/30 62.5060436 Credit suisse ag – aBC r Bull CBBC Dec 2018 a 70,000,000 2018/05/10 2018/12/28 17.5060419 Credit suisse ag – Hsi r Bull CBBC Oct 2019 r 200,000,000 2018/05/10 2019/10/30 50.0060426 Credit suisse ag – Hsi r Bull CBBC Oct 2019 s 200,000,000 2018/05/10 2019/10/30 50.00




60414 Credit suisse ag – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/05/10 2019/11/28 50.0060417 Credit suisse ag – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/05/10 2019/11/28 50.0060437 Credit suisse ag – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/05/10 2018/08/30 50.0060443 Credit suisse ag – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/05/10 2018/08/30 50.0060438 Credit suisse ag – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/05/10 2018/09/27 50.0060447 Credit suisse ag – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/05/10 2018/09/27 50.0060435 Credit suisse ag – Ping an r Bull CBBC Nov 2018 V 80,000,000 2018/05/10 2018/11/29 20.0060432 Credit suisse ag – tencent r Bull CBBC Dec 2018 k 50,000,000 2018/05/10 2018/12/07 12.5060516 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 M 100,000,000 2018/05/10 2018/12/31 25.0060511 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Dec 2018 a 100,000,000 2018/05/10 2018/12/20 25.0060149 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 W 200,000,000 2018/05/10 2019/10/30 50.0060156 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 X 200,000,000 2018/05/10 2019/10/30 50.0060160 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/05/10 2019/10/30 50.0060294 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/05/10 2018/09/27 50.2060313 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/05/10 2018/09/27 50.2060518 goldman sachs sP (asia) – Ping an r Bear CBBC Dec 2018 C 80,000,000 2018/05/10 2018/12/20 20.0060169 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 B 100,000,000 2018/05/10 2018/12/20 25.0060171 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 M 100,000,000 2018/05/10 2018/12/31 25.0060258 Hk Bank – CsOP a50 etF r Bull CBBC Oct 2018 P 50,000,000 2018/05/10 2018/10/15 12.5060223 Hk Bank – CsOP a50 etF r Bull CBBC Nov 2018 B 50,000,000 2018/05/10 2018/11/05 12.5060195 Hk Bank – geely auto r Bull CBBC Oct 2018 e 40,000,000 2018/05/10 2018/10/08 10.0060131 Hk Bank – Hsi r Bull CBBC Mar 2019 U 150,000,000 2018/05/10 2019/03/28 37.5060179 Hk Bank – Hsi r Bear CBBC sep 2018 k 100,000,000 2018/05/10 2018/09/27 25.0060132 Hk Bank – Ping an r Bull CBBC Oct 2018 X 100,000,000 2018/05/10 2018/10/22 25.0060277 Hk Bank – sands China r Bull CBBC Nov 2018 C 80,000,000 2018/05/10 2018/11/26 20.0060189 Hk Bank – sunny Optical r Bull CBBC Oct 2018 C 40,000,000 2018/05/10 2018/10/15 10.0060129 Hk Bank – tencent r Bull CBBC Oct 2018 Y 60,000,000 2018/05/10 2018/10/04 15.0060183 Hk Bank – tencent r Bull CBBC Oct 2018 Z 60,000,000 2018/05/10 2018/10/08 15.0060469 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/05/10 2019/10/30 50.0060467 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/05/10 2019/11/28 50.0060455 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/05/10 2019/12/30 50.0060470 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/05/10 2019/12/30 50.0060488 J P Morgan sP BV – Hsi r Bear CBBC Oct 2019 a 200,000,000 2018/05/10 2019/10/30 50.0060484 J P Morgan sP BV – Hsi r Bear CBBC Nov 2019 a 200,000,000 2018/05/10 2019/11/28 50.0060471 J P Morgan sP BV – Hsi r Bear CBBC Dec 2019 a 200,000,000 2018/05/10 2019/12/30 50.0060510 J P Morgan sP BV – tencent r Bear CBBC aug 2018 k 50,000,000 2018/05/10 2018/08/17 12.5060361 sg issuer – CsOP a50 etF r Bull CBBC sep 2018 N 40,000,000 2018/05/10 2018/09/27 10.0060362 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 l 40,000,000 2018/05/10 2018/10/19 10.0060347 sg issuer – HkeX r Bull CBBC sep 2018 P 50,000,000 2018/05/10 2018/09/20 12.5060320 sg issuer – Hsi r Bull CBBC Oct 2019 Q 200,000,000 2018/05/10 2019/10/30 50.0060324 sg issuer – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/05/10 2019/10/30 50.0060333 sg issuer – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/05/10 2019/11/28 50.0060327 sg issuer – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/05/10 2019/11/28 50.0060364 sg issuer – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/05/10 2018/09/27 50.0060367 sg issuer – Hsi r Bear CBBC Oct 2018 r 200,000,000 2018/05/10 2018/10/30 50.00




60372 sg issuer – Hsi r Bear CBBC Nov 2018 W 200,000,000 2018/05/10 2018/11/29 50.0060384 sg issuer – Hsi r Bear CBBC Dec 2018 Y 200,000,000 2018/05/10 2018/12/28 50.0060349 sg issuer – Ping an r Bull CBBC Oct 2018 M 100,000,000 2018/05/10 2018/10/26 25.0060351 sg issuer – Ping an r Bull CBBC Oct 2018 N 100,000,000 2018/05/10 2018/10/29 25.0060353 sg issuer – tencent r Bull CBBC aug 2018 s 80,000,000 2018/05/10 2018/08/09 20.0060354 sg issuer – tencent r Bull CBBC aug 2018 X 80,000,000 2018/05/10 2018/08/09 20.0060355 sg issuer – tencent r Bull CBBC sep 2018 V 80,000,000 2018/05/10 2018/09/19 20.0060363 sg issuer – tencent r Bear CBBC aug 2018 U 80,000,000 2018/05/10 2018/08/29 20.0060400 UBs ag – CsOP a50 etF r Bull CBBC Nov 2018 B 50,000,000 2018/05/10 2018/11/12 12.5060412 UBs ag – geely auto r Bull CBBC aug 2018 C 40,000,000 2018/05/10 2018/08/27 12.4060399 UBs ag – Hsi r Bull CBBC Oct 2019 Q 250,000,000 2018/05/10 2019/10/30 62.5060388 UBs ag – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/05/10 2019/10/30 50.0060386 UBs ag – Hsi r Bull CBBC Nov 2019 B 250,000,000 2018/05/10 2019/11/28 62.5060397 UBs ag – Hsi r Bull CBBC Nov 2019 l 250,000,000 2018/05/10 2019/11/28 62.5060394 UBs ag – Hsi r Bull CBBC Dec 2019 Y 250,000,000 2018/05/10 2019/12/30 62.5060404 UBs ag – Hsi r Bear CBBC aug 2018 F 250,000,000 2018/05/10 2018/08/30 62.5060406 UBs ag – Hsi r Bear CBBC aug 2018 H 250,000,000 2018/05/10 2018/08/30 62.5060405 UBs ag – Hsi r Bear CBBC aug 2018 k 250,000,000 2018/05/10 2018/08/30 62.5060401 UBs ag – tencent r Bull CBBC sep 2018 k 30,000,000 2018/05/10 2018/09/03 10.2060403 UBs ag – tencent r Bull CBBC sep 2018 l 30,000,000 2018/05/10 2018/09/05 10.2060097 Bank Vontobel – Hsi r Bull CBBC Dec 2018 Q 100,000,000 2018/05/10 2018/12/28 25.4060120 Bank Vontobel – Hsi r Bull CBBC Dec 2018 r 100,000,000 2018/05/10 2018/12/28 25.2060101 Bank Vontobel – tencent r Bull CBBC Dec 2018 B 40,000,000 2018/05/10 2018/12/04 10.2460548 BOCi asia ltd. – tencent r Bull CBBC aug 2018 a 40,000,000 2018/05/11 2018/08/31 17.5260552 BOCi asia ltd. – tencent r Bear CBBC aug 2018 a 40,000,000 2018/05/11 2018/08/24 15.2060556 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18D 60,000,000 2018/05/11 2018/11/29 15.0060563 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18e 60,000,000 2018/05/11 2018/11/29 15.0060527 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 e 250,000,000 2018/05/11 2019/12/30 62.5060565 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 r 250,000,000 2018/05/11 2019/12/30 62.5060528 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 e 250,000,000 2018/05/11 2018/12/28 62.5060529 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 F 250,000,000 2018/05/11 2018/12/28 62.5060716 Credit suisse ag – CsOP a50 etF r Bull CBBC Nov 2018 D 50,000,000 2018/05/11 2018/11/29 12.5060666 Credit suisse ag – HsBC r Bull CBBC Dec 2018 g 80,000,000 2018/05/11 2018/12/19 20.0060648 Credit suisse ag – Hsi r Bull CBBC sep 2019 e 200,000,000 2018/05/11 2019/09/27 50.0060651 Credit suisse ag – Hsi r Bull CBBC Oct 2019 t 200,000,000 2018/05/11 2019/10/30 50.0060653 Credit suisse ag – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/05/11 2019/10/30 50.0060671 Credit suisse ag – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/05/11 2019/11/28 50.0060673 Credit suisse ag – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/05/11 2018/08/30 50.0060675 Credit suisse ag – Hsi r Bear CBBC aug 2018 Z 200,000,000 2018/05/11 2018/08/30 50.0060680 Credit suisse ag – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/05/11 2018/09/27 50.0060656 Credit suisse ag – Ping an r Bull CBBC Dec 2018 O 80,000,000 2018/05/11 2018/12/21 20.0060663 Credit suisse ag – Ping an r Bull CBBC Dec 2018 P 80,000,000 2018/05/11 2018/12/20 20.0060664 Credit suisse ag – tencent r Bull CBBC Nov 2018 Y 50,000,000 2018/05/11 2018/11/29 12.5060683 Credit suisse ag – tencent r Bear CBBC Nov 2018 F 50,000,000 2018/05/11 2018/11/29 12.5060848 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 O 100,000,000 2018/05/11 2018/12/20 25.00




60726 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/05/11 2019/10/30 50.0060547 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/05/11 2019/10/30 50.0060545 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/05/11 2019/11/28 50.0060723 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 a 200,000,000 2018/05/11 2018/09/27 50.0060725 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/05/11 2018/09/27 50.0060722 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 k 200,000,000 2018/05/11 2018/09/27 50.0060847 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 F 100,000,000 2018/05/11 2019/02/28 25.0060572 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 N 100,000,000 2018/05/11 2018/12/20 25.0060842 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 M 80,000,000 2018/05/11 2018/12/20 20.0060538 Hk Bank – HkeX r Bull CBBC Oct 2018 H 50,000,000 2018/05/11 2018/10/29 12.5060532 Hk Bank – Hsi r Bull CBBC Mar 2019 V 150,000,000 2018/05/11 2019/03/28 37.5060543 Hk Bank – Hsi r Bear CBBC sep 2018 l 150,000,000 2018/05/11 2018/09/27 37.5060544 Hk Bank – sands China r Bull CBBC Dec 2018 a 80,000,000 2018/05/11 2018/12/31 20.0060542 Hk Bank – tencent r Bull CBBC Oct 2018 a 60,000,000 2018/05/11 2018/10/11 15.0060729 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 a 200,000,000 2018/05/11 2019/11/28 50.0060728 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/05/11 2019/12/30 50.0060727 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 N 200,000,000 2018/05/11 2019/12/30 50.0060742 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/11 2018/08/30 50.0060756 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/05/11 2018/08/30 50.0060758 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 O 200,000,000 2018/05/11 2018/09/27 50.0060769 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/05/11 2018/09/27 50.0060735 J P Morgan sP BV – Ping an r Bull CBBC sep 2018 C 100,000,000 2018/05/11 2018/09/14 25.0060730 J P Morgan sP BV – tencent r Bear CBBC sep 2018 B 50,000,000 2018/05/11 2018/09/14 12.5060784 sg issuer – CC Bank r Bull CBBC sep 2018 W 100,000,000 2018/05/11 2018/09/12 25.0060789 sg issuer – HkeX r Bear CBBC sep 2018 i 50,000,000 2018/05/11 2018/09/28 12.5060828 sg issuer – Hsi r Bull CBBC sep 2019 r 200,000,000 2018/05/11 2019/09/27 50.0060836 sg issuer – Hsi r Bull CBBC sep 2019 s 200,000,000 2018/05/11 2019/09/27 50.0060796 sg issuer – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/05/11 2019/10/30 50.0060773 sg issuer – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/05/11 2019/11/28 50.0060776 sg issuer – Hsi r Bull CBBC Dec 2019 t 200,000,000 2018/05/11 2019/12/30 50.0060779 sg issuer – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/05/11 2019/12/30 50.0060800 sg issuer – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/05/11 2018/09/27 50.0060803 sg issuer – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/05/11 2018/10/30 50.0060802 sg issuer – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/05/11 2018/10/30 50.0060809 sg issuer – Hsi r Bear CBBC Nov 2018 D 200,000,000 2018/05/11 2018/11/29 50.0060786 sg issuer – tencent r Bull CBBC aug 2018 a 80,000,000 2018/05/11 2018/08/30 20.0060790 sg issuer – tencent r Bull CBBC aug 2018 t 80,000,000 2018/05/11 2018/08/31 20.0060616 UBs ag – HsBC r Bull CBBC sep 2018 N 50,000,000 2018/05/11 2018/09/03 12.5060636 UBs ag – HsBC r Bull CBBC sep 2018 O 50,000,000 2018/05/11 2018/09/17 12.5060579 UBs ag – Hsi r Bull CBBC Oct 2019 F 250,000,000 2018/05/11 2019/10/30 62.5060586 UBs ag – Hsi r Bull CBBC Dec 2019 Z 250,000,000 2018/05/11 2019/12/30 62.5060587 UBs ag – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/05/11 2018/08/30 50.0060640 UBs ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/05/11 2018/08/30 50.0060589 UBs ag – Hsi r Bear CBBC sep 2018 t 250,000,000 2018/05/11 2018/09/27 62.5060610 UBs ag – Hsi r Bear CBBC sep 2018 U 250,000,000 2018/05/11 2018/09/27 62.50




60642 UBs ag – Hsi r Bear CBBC sep 2018 V 250,000,000 2018/05/11 2018/09/27 62.5060611 UBs ag – sands China r Bull CBBC Nov 2018 B 60,000,000 2018/05/11 2018/11/19 15.0060612 UBs ag – tencent r Bear CBBC sep 2018 a 30,000,000 2018/05/11 2018/09/03 10.2060912 BOCi asia ltd. – HkeX r Bull CBBC sep 2018 a 50,000,000 2018/05/14 2018/09/28 14.0560914 BOCi asia ltd. – HkeX r Bear CBBC sep 2018 a 50,000,000 2018/05/14 2018/09/21 13.9560918 BOCi asia ltd. – Ping an r Bull CBBC sep 2018 a 40,000,000 2018/05/14 2018/09/28 29.3660924 BOCi asia ltd. – Ping an r Bear CBBC sep 2018 a 40,000,000 2018/05/14 2018/09/21 33.5660927 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 F 250,000,000 2018/05/14 2019/12/30 62.5060937 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 g 250,000,000 2018/05/14 2018/12/28 62.5060946 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 H 250,000,000 2018/05/14 2018/12/28 62.5060947 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 i 250,000,000 2018/05/14 2018/12/28 62.5061059 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 J 250,000,000 2018/05/14 2018/12/28 62.5061053 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 r 50,000,000 2018/05/14 2018/11/29 12.5061027 Credit suisse ag – geely auto r Bull CBBC Dec 2018 H 40,000,000 2018/05/14 2018/12/28 10.0061028 Credit suisse ag – geely auto r Bear CBBC Dec 2018 B 40,000,000 2018/05/14 2018/12/28 11.2061024 Credit suisse ag – Hsi r Bull CBBC sep 2019 B 200,000,000 2018/05/14 2019/09/27 50.0061039 Credit suisse ag – Hsi r Bull CBBC Oct 2019 V 200,000,000 2018/05/14 2019/10/30 50.0061017 Credit suisse ag – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/05/14 2018/08/30 50.0061016 Credit suisse ag – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/05/14 2018/09/27 50.0061015 Credit suisse ag – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/05/14 2018/09/27 50.0061019 Credit suisse ag – Ping an r Bull CBBC Dec 2018 Q 80,000,000 2018/05/14 2018/12/27 20.0061023 Credit suisse ag – Ping an r Bull CBBC Dec 2018 r 80,000,000 2018/05/14 2018/12/28 20.0061029 Credit suisse ag – tencent r Bull CBBC Nov 2018 a 50,000,000 2018/05/14 2018/11/29 12.5061018 Credit suisse ag – tencent r Bull CBBC Nov 2018 Z 50,000,000 2018/05/14 2018/11/23 12.5061032 Credit suisse ag – tencent r Bear CBBC Dec 2018 C 50,000,000 2018/05/14 2018/12/14 12.5061041 Credit suisse ag – tencent r Bear CBBC Dec 2018 D 50,000,000 2018/05/14 2018/12/21 12.5061077 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Dec 2018 B 100,000,000 2018/05/14 2018/12/03 25.0060977 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 W 100,000,000 2018/05/14 2018/12/21 25.0060955 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/05/14 2019/11/28 50.0060956 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/05/14 2019/11/28 50.0060926 goldman sachs sP (asia) – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/05/14 2018/08/30 50.0060951 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 X 200,000,000 2018/05/14 2018/10/30 50.2060965 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 s 100,000,000 2018/05/14 2018/12/21 25.0060970 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 t 100,000,000 2018/05/14 2018/12/21 25.0060960 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 C 100,000,000 2018/05/14 2018/12/21 25.0060963 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 F 100,000,000 2018/05/14 2018/12/21 25.0061060 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 N 80,000,000 2018/05/14 2018/12/21 20.0060886 Hk Bank – aaC tech r Bull CBBC Nov 2018 B 40,000,000 2018/05/14 2018/11/12 10.0060892 Hk Bank – aaC tech r Bull CBBC Dec 2018 a 40,000,000 2018/05/14 2018/12/10 10.0060875 Hk Bank – aia r Bear CBBC Oct 2018 D 40,000,000 2018/05/14 2018/10/15 10.0060867 Hk Bank – a50 China r Bull CBBC Nov 2018 B 50,000,000 2018/05/14 2018/11/26 12.5060873 Hk Bank – a50 China r Bull CBBC Nov 2018 C 50,000,000 2018/05/14 2018/11/12 12.5060870 Hk Bank – a50 China r Bull CBBC Jan 2019 B 50,000,000 2018/05/14 2019/01/21 12.5060897 Hk Bank – Hsi r Bull CBBC Mar 2019 W 150,000,000 2018/05/14 2019/03/28 37.5060903 Hk Bank – Hsi r Bear CBBC sep 2018 M 150,000,000 2018/05/14 2018/09/27 37.50




60907 Hk Bank – Ping an r Bull CBBC Dec 2018 a 100,000,000 2018/05/14 2018/12/10 25.0060909 Hk Bank – tencent r Bull CBBC Oct 2018 B 60,000,000 2018/05/14 2018/10/15 15.0061051 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/05/14 2019/11/28 50.0061044 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/05/14 2019/12/30 50.0061043 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 l 200,000,000 2018/05/14 2018/08/30 50.0061042 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/05/14 2018/08/30 50.0061099 sg issuer – geely auto r Bull CBBC sep 2018 k 40,000,000 2018/05/14 2018/09/28 10.0061138 sg issuer – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/05/14 2019/11/28 50.0061127 sg issuer – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/05/14 2019/11/28 50.0061141 sg issuer – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/05/14 2019/12/30 50.0061092 sg issuer – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/05/14 2018/10/30 50.0061093 sg issuer – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/05/14 2018/10/30 50.0061098 sg issuer – Hsi r Bear CBBC Dec 2018 Z 200,000,000 2018/05/14 2018/12/28 50.0061109 sg issuer – Ping an r Bull CBBC Oct 2018 i 100,000,000 2018/05/14 2018/10/24 25.0061106 sg issuer – tencent r Bull CBBC aug 2018 Q 80,000,000 2018/05/14 2018/08/31 20.0061111 sg issuer – tencent r Bull CBBC aug 2018 r 80,000,000 2018/05/14 2018/08/30 20.0061114 sg issuer – tencent r Bull CBBC sep 2018 X 80,000,000 2018/05/14 2018/09/17 20.0061150 sg issuer – tencent r Bear CBBC aug 2018 V 80,000,000 2018/05/14 2018/08/30 20.0060998 UBs ag – a50 China r Bull CBBC Nov 2018 a 50,000,000 2018/05/14 2018/11/05 12.5060993 UBs ag – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/05/14 2019/11/28 50.0060995 UBs ag – Hsi r Bull CBBC Dec 2019 D 250,000,000 2018/05/14 2019/12/30 62.5060854 UBs ag – Hsi r Bear CBBC aug 2018 t 250,000,000 2018/05/14 2018/08/30 62.5060855 UBs ag – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/05/14 2018/08/30 50.0060997 UBs ag – Ping an r Bull CBBC Nov 2018 V 80,000,000 2018/05/14 2018/11/19 20.0060999 UBs ag – tencent r Bull CBBC sep 2018 M 30,000,000 2018/05/14 2018/09/10 10.2061000 UBs ag – tencent r Bull CBBC sep 2018 N 30,000,000 2018/05/14 2018/09/19 10.2061002 UBs ag – tencent r Bull CBBC sep 2018 O 30,000,000 2018/05/14 2018/09/17 10.2061007 Bank Vontobel – Hsi r Bull CBBC Dec 2018 s 100,000,000 2018/05/14 2018/12/28 25.5061011 Bank Vontobel – Hsi r Bear CBBC Nov 2018 C 100,000,000 2018/05/14 2018/11/29 25.4061013 Bank Vontobel – Hsi r Bear CBBC Nov 2018 D 100,000,000 2018/05/14 2018/11/29 25.1061237 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 g 250,000,000 2018/05/15 2019/12/30 62.5061299 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 H 250,000,000 2018/05/15 2019/12/30 62.5061238 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 r 50,000,000 2018/05/15 2018/09/27 12.5061242 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 s 50,000,000 2018/05/15 2018/09/27 12.5061240 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 t 50,000,000 2018/05/15 2018/11/29 12.5061498 Credit suisse ag – CM Bank r Bull CBBC Jan 2019 D 70,000,000 2018/05/15 2019/01/30 17.5061482 Credit suisse ag – sinopec Corp r Bull CBBC Dec 2018 D 60,000,000 2018/05/15 2018/12/28 15.0061486 Credit suisse ag – CPiC r Bull CBBC Jan 2019 a 50,000,000 2018/05/15 2019/01/30 12.5061500 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 e 50,000,000 2018/05/15 2019/01/30 12.5061520 Credit suisse ag – Hsi r Bull CBBC sep 2019 C 200,000,000 2018/05/15 2019/09/27 50.0061525 Credit suisse ag – Hsi r Bull CBBC sep 2019 D 200,000,000 2018/05/15 2019/09/27 50.0061516 Credit suisse ag – Hsi r Bull CBBC Oct 2019 W 200,000,000 2018/05/15 2019/10/30 50.0061473 Credit suisse ag – Hsi r Bear CBBC aug 2018 g 200,000,000 2018/05/15 2018/08/30 50.0061481 Credit suisse ag – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/15 2018/08/30 50.0061467 Credit suisse ag – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/05/15 2018/08/30 50.00




61474 Credit suisse ag – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/05/15 2018/09/27 50.0061478 Credit suisse ag – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/05/15 2018/09/27 50.0061507 Credit suisse ag – Ping an r Bull CBBC Dec 2018 s 80,000,000 2018/05/15 2018/12/28 20.0061483 Credit suisse ag – sUNaC r Bull CBBC Jan 2019 g 100,000,000 2018/05/15 2019/01/30 25.0061494 Credit suisse ag – sunny Optical r Bull CBBC Dec 2018 B 40,000,000 2018/05/15 2018/12/28 10.0061504 Credit suisse ag – tencent r Bull CBBC Dec 2018 l 50,000,000 2018/05/15 2018/12/06 12.5061296 Bank of east asia – CM Bank r Bull CBBC Jan 2019 a 20,000,000 2018/05/15 2019/01/22 10.0061292 Bank of east asia – Ping an r Bull CBBC Jan 2019 a 120,000,000 2018/05/15 2019/01/22 30.0061295 Bank of east asia – Ping an r Bull CBBC Jan 2019 B 120,000,000 2018/05/15 2019/01/22 30.0061288 Bank of east asia – tencent r Bull CBBC Jan 2019 B 30,000,000 2018/05/15 2019/01/22 10.5061459 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 V 100,000,000 2018/05/15 2018/12/31 25.0061457 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 X 100,000,000 2018/05/15 2018/12/21 25.0061458 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 P 100,000,000 2018/05/15 2018/12/21 25.0061460 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 B 200,000,000 2018/05/15 2019/11/28 50.0061444 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/05/15 2019/11/28 50.0061449 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 Y 200,000,000 2018/05/15 2019/11/28 50.0061185 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 Y 200,000,000 2018/05/15 2018/10/30 50.0061186 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/05/15 2018/10/30 50.0061455 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 U 100,000,000 2018/05/15 2018/12/21 25.0061456 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 V 100,000,000 2018/05/15 2018/12/21 25.0061453 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 O 100,000,000 2018/05/15 2018/12/21 25.0061279 Hk Bank – aia r Bull CBBC Nov 2018 a 80,000,000 2018/05/15 2018/11/05 20.0061243 Hk Bank – China Mobile r Bear CBBC Oct 2018 C 40,000,000 2018/05/15 2018/10/22 10.0061271 Hk Bank – China life r Bull CBBC Oct 2018 C 40,000,000 2018/05/15 2018/10/15 10.0061227 Hk Bank – CsOP a50 etF r Bull CBBC Nov 2018 C 50,000,000 2018/05/15 2018/11/12 12.5061219 Hk Bank – CsOP a50 etF r Bull CBBC Jan 2019 a 50,000,000 2018/05/15 2019/01/28 15.0061256 Hk Bank – geely auto r Bull CBBC Nov 2018 a 40,000,000 2018/05/15 2018/11/05 10.0061272 Hk Bank – HkeX r Bull CBBC Dec 2018 a 50,000,000 2018/05/15 2018/12/17 15.0061218 Hk Bank – HsCei r Bear CBBC Oct 2018 F 50,000,000 2018/05/15 2018/10/30 12.5061193 Hk Bank – Hsi r Bull CBBC Mar 2019 X 100,000,000 2018/05/15 2019/03/28 25.0061220 Hk Bank – Hsi r Bear CBBC sep 2018 P 100,000,000 2018/05/15 2018/09/27 25.0061202 Hk Bank – Hsi r Bear CBBC Oct 2018 t 100,000,000 2018/05/15 2018/10/30 25.0061282 Hk Bank – NCi r Bull CBBC Dec 2018 C 40,000,000 2018/05/15 2018/12/24 10.0061253 Hk Bank – Ping an r Bull CBBC Nov 2018 k 100,000,000 2018/05/15 2018/11/05 25.0061275 Hk Bank – sunny Optical r Bull CBBC Nov 2018 a 40,000,000 2018/05/15 2018/11/05 10.0061232 Hk Bank – tencent r Bull CBBC Oct 2018 e 60,000,000 2018/05/15 2018/10/18 15.0061229 Hk Bank – tencent r Bull CBBC Feb 2019 a 60,000,000 2018/05/15 2019/02/18 21.0061231 Hk Bank – tencent r Bull CBBC Mar 2019 a 60,000,000 2018/05/15 2019/03/11 27.0061172 Haitong int’l sec – CNOOC r Bull CBBC Nov 2018 B 60,000,000 2018/05/15 2018/11/01 15.0061159 Haitong int’l sec – sinopec Corp r Bull CBBC Nov 2018 B 110,000,000 2018/05/15 2018/11/05 27.5061161 Haitong int’l sec – HkeX r Bull CBBC Oct 2018 e 40,000,000 2018/05/15 2018/10/31 10.0061153 Haitong int’l sec – HsBC r Bull CBBC Nov 2018 a 110,000,000 2018/05/15 2018/11/15 27.5061173 Haitong int’l sec – Ping an r Bull CBBC Oct 2018 J 25,000,000 2018/05/15 2018/10/31 10.2861178 Haitong int’l sec – Ping an r Bull CBBC Oct 2018 k 25,000,000 2018/05/15 2018/10/31 17.2561181 Haitong int’l sec – sunny Optical r Bull CBBC Nov 2018 a 60,000,000 2018/05/15 2018/11/01 15.00




61162 Haitong int’l sec – tencent r Bull CBBC Nov 2018 a 40,000,000 2018/05/15 2018/11/02 10.0061419 J P Morgan sP BV – HkeX r Bull CBBC aug 2018 C 40,000,000 2018/05/15 2018/08/17 10.0061422 J P Morgan sP BV – HkeX r Bull CBBC aug 2018 D 40,000,000 2018/05/15 2018/08/17 10.0061423 J P Morgan sP BV – HsBC r Bull CBBC sep 2018 D 100,000,000 2018/05/15 2018/09/21 25.0061433 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 D 200,000,000 2018/05/15 2019/10/30 50.0061431 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 W 200,000,000 2018/05/15 2019/11/28 50.0061430 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/05/15 2019/12/30 50.0061436 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/05/15 2019/12/30 50.0061440 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/15 2018/08/30 50.0061395 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/15 2018/08/30 50.0061387 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/05/15 2018/08/30 50.0061400 J P Morgan sP BV – tencent r Bull CBBC aug 2018 M 50,000,000 2018/05/15 2018/08/17 12.5061405 J P Morgan sP BV – tencent r Bull CBBC aug 2018 N 50,000,000 2018/05/15 2018/08/17 12.5061287 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 a 13,300,000 2018/05/15 2018/12/14 10.0461285 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 a 13,100,000 2018/05/15 2018/12/14 10.0261318 sg issuer – CPiC r Bull CBBC apr 2019 a 100,000,000 2018/05/15 2019/04/26 25.0061355 sg issuer – CsOP a50 etF r Bull CBBC sep 2018 O 40,000,000 2018/05/15 2018/09/10 10.0061356 sg issuer – CsOP a50 etF r Bull CBBC sep 2018 P 40,000,000 2018/05/15 2018/09/28 10.0061358 sg issuer – a50 China r Bull CBBC sep 2018 B 50,000,000 2018/05/15 2018/09/17 12.5061320 sg issuer – geely auto r Bull CBBC Oct 2018 g 40,000,000 2018/05/15 2018/10/31 10.0061324 sg issuer – HkeX r Bull CBBC sep 2018 Q 50,000,000 2018/05/15 2018/09/28 12.5061373 sg issuer – HsBC r Bull CBBC Nov 2018 W 100,000,000 2018/05/15 2018/11/29 25.0061360 sg issuer – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/05/15 2019/10/30 50.0061361 sg issuer – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/05/15 2019/11/28 50.0061365 sg issuer – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/05/15 2019/11/28 50.0061313 sg issuer – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/05/15 2018/10/30 50.0061315 sg issuer – Hsi r Bear CBBC Dec 2018 B 200,000,000 2018/05/15 2018/12/28 50.0061316 sg issuer – Hsi r Bear CBBC Dec 2018 C 200,000,000 2018/05/15 2018/12/28 50.0061332 sg issuer – Ping an r Bull CBBC sep 2018 F 100,000,000 2018/05/15 2018/09/28 25.0061333 sg issuer – Ping an r Bull CBBC Oct 2018 O 100,000,000 2018/05/15 2018/10/26 25.0061352 sg issuer – sunny Optical r Bull CBBC sep 2018 D 40,000,000 2018/05/15 2018/09/21 10.2061377 sg issuer – sunny Optical r Bull CBBC sep 2018 e 40,000,000 2018/05/15 2018/09/11 10.0061385 sg issuer – tencent r Bull CBBC aug 2018 Y 80,000,000 2018/05/15 2018/08/30 20.0061386 sg issuer – tencent r Bull CBBC aug 2018 Z 80,000,000 2018/05/15 2018/08/31 20.0061301 sg issuer – tencent r Bear CBBC aug 2018 W 80,000,000 2018/05/15 2018/08/30 20.0061548 UBs ag – Hsi r Bull CBBC Oct 2019 s 250,000,000 2018/05/15 2019/10/30 62.5061566 UBs ag – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/05/15 2019/11/28 50.0061567 UBs ag – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/05/15 2019/11/28 50.0061538 UBs ag – Hsi r Bear CBBC aug 2018 W 200,000,000 2018/05/15 2018/08/30 50.0061547 UBs ag – Hsi r Bear CBBC sep 2018 W 250,000,000 2018/05/15 2018/09/27 62.5061233 Bank Vontobel – Hsi r Bull CBBC Dec 2018 t 100,000,000 2018/05/15 2018/12/28 25.4061234 Bank Vontobel – tencent r Bull CBBC Dec 2018 C 40,000,000 2018/05/15 2018/12/03 10.0061626 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 i 250,000,000 2018/05/16 2019/12/30 62.5061790 Credit suisse ag – CNOOC r Bull CBBC Dec 2018 C 50,000,000 2018/05/16 2018/12/28 12.5061813 Credit suisse ag – Hsi r Bull CBBC Oct 2019 X 200,000,000 2018/05/16 2019/10/30 50.00




61771 Credit suisse ag – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/05/16 2019/11/28 50.0061797 Credit suisse ag – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/05/16 2019/11/28 50.0061812 Credit suisse ag – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/05/16 2019/12/30 50.0061769 Credit suisse ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/16 2018/08/30 50.0061770 Credit suisse ag – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/05/16 2018/09/27 50.0061801 Credit suisse ag – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/05/16 2018/10/30 50.0061816 Credit suisse ag – PetroChina r Bull CBBC Dec 2018 B 50,000,000 2018/05/16 2018/12/28 12.5061774 Credit suisse ag – Ping an r Bull CBBC Dec 2018 t 80,000,000 2018/05/16 2018/12/14 20.0061788 Credit suisse ag – sands China r Bull CBBC Jan 2019 a 50,000,000 2018/05/16 2019/01/30 12.5061785 Credit suisse ag – tencent r Bull CBBC Dec 2018 M 50,000,000 2018/05/16 2018/12/14 12.5061822 goldman sachs sP (asia) – China life r Bull CBBC Dec 2018 l 80,000,000 2018/05/16 2018/12/21 20.0061834 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Dec 2018 C 100,000,000 2018/05/16 2018/12/03 25.0061823 goldman sachs sP (asia) – galaxy ent r Bull CBBC Dec 2018 t 100,000,000 2018/05/16 2018/12/21 25.0061628 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 D 200,000,000 2018/05/16 2019/11/28 50.0061630 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/05/16 2019/11/28 50.0061631 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/05/16 2019/11/28 50.0061617 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 a 200,000,000 2018/05/16 2018/10/30 50.0061622 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/05/16 2018/10/30 50.0061818 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 P 100,000,000 2018/05/16 2018/12/21 25.0061821 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 Q 100,000,000 2018/05/16 2018/12/21 25.0061591 Hk Bank – aBC r Bull CBBC Nov 2018 C 100,000,000 2018/05/16 2018/11/26 25.0061578 Hk Bank – sinopec Corp r Bull CBBC Oct 2018 J 80,000,000 2018/05/16 2018/10/22 20.0061599 Hk Bank – CPiC r Bull CBBC Dec 2018 B 100,000,000 2018/05/16 2018/12/24 25.0061584 Hk Bank – Hsi r Bear CBBC Oct 2018 U 150,000,000 2018/05/16 2018/10/30 37.5061587 Hk Bank – Ping an r Bull CBBC Oct 2018 Y 100,000,000 2018/05/16 2018/10/15 25.0061575 Hk Bank – tencent r Bull CBBC Oct 2018 F 60,000,000 2018/05/16 2018/10/22 15.0061573 Hk Bank – tencent r Bull CBBC Nov 2018 k 60,000,000 2018/05/16 2018/11/26 24.0061681 J P Morgan sP BV – CNOOC r Bull CBBC sep 2018 C 50,000,000 2018/05/16 2018/09/21 12.5061687 J P Morgan sP BV – CNOOC r Bull CBBC Oct 2018 g 50,000,000 2018/05/16 2018/10/19 12.5061695 J P Morgan sP BV – sinopec Corp r Bull CBBC sep 2018 a 50,000,000 2018/05/16 2018/09/21 12.5061703 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/05/16 2019/12/30 50.0061667 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 D 200,000,000 2018/05/16 2018/08/30 50.0061673 J P Morgan sP BV – PetroChina r Bull CBBC Oct 2018 B 50,000,000 2018/05/16 2018/10/19 12.5061672 J P Morgan sP BV – tencent r Bull CBBC aug 2018 O 50,000,000 2018/05/16 2018/08/17 12.5061664 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 B 13,200,000 2018/05/16 2018/12/14 10.0361666 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 B 13,000,000 2018/05/16 2018/12/14 10.0861762 sg issuer – China life r Bull CBBC Oct 2018 B 40,000,000 2018/05/16 2018/10/26 10.0061714 sg issuer – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/05/16 2019/10/30 50.0061760 sg issuer – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/05/16 2019/12/30 50.0061715 sg issuer – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/05/16 2019/12/30 50.0061709 sg issuer – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/16 2018/08/30 50.0061711 sg issuer – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/05/16 2018/10/30 50.0061757 sg issuer – Hsi r Bear CBBC Dec 2018 D 200,000,000 2018/05/16 2018/12/28 50.0061719 sg issuer – PetroChina r Bull CBBC Oct 2018 F 40,000,000 2018/05/16 2018/10/30 10.0061721 sg issuer – Ping an r Bull CBBC Oct 2018 g 100,000,000 2018/05/16 2018/10/29 25.00




61722 sg issuer – tencent r Bull CBBC aug 2018 B 80,000,000 2018/05/16 2018/08/30 20.0061726 sg issuer – tencent r Bull CBBC aug 2018 C 80,000,000 2018/05/16 2018/08/31 20.0061766 sg issuer – tencent r Bull CBBC sep 2018 a 80,000,000 2018/05/16 2018/09/06 20.0061713 sg issuer – tencent r Bear CBBC aug 2018 X 80,000,000 2018/05/16 2018/08/30 20.0061646 UBs ag – HsCei r Bull CBBC sep 2019 e 100,000,000 2018/05/16 2019/09/27 25.0061650 UBs ag – Hsi r Bull CBBC Nov 2019 e 200,000,000 2018/05/16 2019/11/28 50.0061659 UBs ag – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/05/16 2019/11/28 50.0061648 UBs ag – Hsi r Bull CBBC Dec 2019 Q 250,000,000 2018/05/16 2019/12/30 62.5061632 UBs ag – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/05/16 2018/08/30 50.0061642 UBs ag – Ping an r Bull CBBC Oct 2018 X 80,000,000 2018/05/16 2018/10/08 20.0061637 UBs ag – tencent r Bull CBBC aug 2018 a 30,000,000 2018/05/16 2018/08/27 10.2061602 Bank Vontobel – HkeX r Bull CBBC Oct 2018 a 40,000,000 2018/05/16 2018/10/12 10.3661604 Bank Vontobel – HkeX r Bull CBBC Oct 2018 B 40,000,000 2018/05/16 2018/10/12 17.0861607 Bank Vontobel – HkeX r Bear CBBC Nov 2018 a 40,000,000 2018/05/16 2018/11/09 10.6861608 Bank Vontobel – HkeX r Bear CBBC Nov 2018 B 40,000,000 2018/05/16 2018/11/09 14.4061610 Bank Vontobel – Ping an r Bull CBBC Oct 2018 a 40,000,000 2018/05/16 2018/10/19 10.1261616 Bank Vontobel – Ping an r Bull CBBC Oct 2018 B 40,000,000 2018/05/16 2018/10/19 10.1261613 Bank Vontobel – Ping an r Bear CBBC Nov 2018 a 40,000,000 2018/05/16 2018/11/16 10.2861614 Bank Vontobel – Ping an r Bear CBBC Nov 2018 B 40,000,000 2018/05/16 2018/11/16 10.2461915 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18F 60,000,000 2018/05/17 2018/11/29 15.0061910 BNP Paribas issuance B.V. – HkeX r Bull CBBC aug 2018 B 50,000,000 2018/05/17 2018/08/30 12.5061914 BNP Paribas issuance B.V. – HsBC r Bull CBBC Nov 2018 D 150,000,000 2018/05/17 2018/11/29 37.5061890 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 J 250,000,000 2018/05/17 2019/12/30 62.5061903 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 k 250,000,000 2018/05/17 2019/12/30 62.5061907 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 l 250,000,000 2018/05/17 2019/12/30 62.5061836 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 k 250,000,000 2018/05/17 2018/12/28 62.5061852 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 l 250,000,000 2018/05/17 2018/12/28 62.5061861 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 M 250,000,000 2018/05/17 2018/12/28 62.5061908 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 t 50,000,000 2018/05/17 2018/09/27 12.5062181 Credit suisse ag – aia r Bull CBBC Dec 2018 a 70,000,000 2018/05/17 2018/12/28 17.5062189 Credit suisse ag – Hsi r Bull CBBC Nov 2019 t 200,000,000 2018/05/17 2019/11/28 50.0062195 Credit suisse ag – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/05/17 2019/11/28 50.0062197 Credit suisse ag – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/05/17 2019/11/28 50.0062191 Credit suisse ag – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/05/17 2019/12/30 50.0062157 Credit suisse ag – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/05/17 2018/08/30 50.0062155 Credit suisse ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/05/17 2018/08/30 50.0062147 Credit suisse ag – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/05/17 2018/08/30 50.0062187 Credit suisse ag – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/05/17 2018/10/30 50.0062177 Credit suisse ag – PetroChina r Bull CBBC Dec 2018 C 50,000,000 2018/05/17 2018/12/21 12.5062198 Credit suisse ag – tencent r Bull CBBC Dec 2018 N 50,000,000 2018/05/17 2018/12/21 12.5062209 Credit suisse ag – tencent r Bull CBBC Dec 2018 O 50,000,000 2018/05/17 2018/12/20 12.5062212 Credit suisse ag – tencent r Bull CBBC Dec 2018 P 50,000,000 2018/05/17 2018/12/28 12.5062167 Credit suisse ag – tencent r Bear CBBC Nov 2018 g 50,000,000 2018/05/17 2018/11/29 12.5062174 Credit suisse ag – tencent r Bear CBBC Dec 2018 e 50,000,000 2018/05/17 2018/12/21 12.5061937 Bank of east asia – aia r Bull CBBC Jan 2019 B 40,000,000 2018/05/17 2019/01/29 10.00




61938 Bank of east asia – aia r Bull CBBC Jan 2019 C 40,000,000 2018/05/17 2019/01/29 10.0061943 Bank of east asia – CNOOC r Bull CBBC Jan 2019 a 40,000,000 2018/05/17 2019/01/29 10.0061944 Bank of east asia – iCBC r Bull CBBC Jan 2019 a 60,000,000 2018/05/17 2019/01/29 15.0061939 Bank of east asia – PetroChina r Bull CBBC Jan 2019 a 40,000,000 2018/05/17 2019/01/29 10.0061933 Bank of east asia – tencent r Bull CBBC Jan 2019 C 30,000,000 2018/05/17 2019/01/29 10.5061934 Bank of east asia – tencent r Bull CBBC Jan 2019 D 30,000,000 2018/05/17 2019/01/29 10.5062238 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 N 100,000,000 2018/05/17 2018/12/21 25.0061971 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 Y 100,000,000 2018/05/17 2018/12/21 25.0062236 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 Q 100,000,000 2018/05/17 2018/12/21 25.0061945 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 P 200,000,000 2018/05/17 2020/01/30 50.0061949 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 Q 200,000,000 2018/05/17 2020/01/30 50.0061962 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 r 200,000,000 2018/05/17 2020/01/30 50.0061916 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 e 200,000,000 2018/05/17 2018/09/27 50.0061917 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 C 200,000,000 2018/05/17 2018/10/30 50.0061918 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 D 200,000,000 2018/05/17 2018/10/30 50.0062219 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 J 200,000,000 2018/05/17 2018/11/29 50.2062220 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 k 200,000,000 2018/05/17 2018/11/29 50.2062222 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 l 200,000,000 2018/05/17 2018/11/29 50.2062235 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 W 100,000,000 2018/05/17 2018/12/31 25.0062225 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 r 100,000,000 2018/05/17 2018/12/31 25.0062227 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 s 100,000,000 2018/05/17 2018/12/31 25.0062230 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 V 100,000,000 2018/05/17 2018/12/31 25.0061877 Hk Bank – CNOOC r Bull CBBC Nov 2018 C 50,000,000 2018/05/17 2018/11/05 12.5061871 Hk Bank – sinopec Corp r Bear CBBC Oct 2018 B 40,000,000 2018/05/17 2018/10/15 10.0061863 Hk Bank – HkeX r Bull CBBC Nov 2018 J 50,000,000 2018/05/17 2018/11/05 12.5062045 Hk Bank – HsCei r Bull CBBC Mar 2019 B 60,000,000 2018/05/17 2019/03/28 15.0061882 Hk Bank – Hsi r Bull CBBC Mar 2019 Y 150,000,000 2018/05/17 2019/03/28 37.5062063 Hk Bank – Hsi r Bull CBBC Mar 2019 Z 100,000,000 2018/05/17 2019/03/28 25.0061875 Hk Bank – PetroChina r Bull CBBC Nov 2018 C 80,000,000 2018/05/17 2018/11/05 20.0062057 Hk Bank – tencent r Bull CBBC sep 2018 Z 60,000,000 2018/05/17 2018/09/20 15.0062062 Hk Bank – tencent r Bull CBBC Oct 2018 g 60,000,000 2018/05/17 2018/10/25 15.0062060 Hk Bank – tencent r Bull CBBC Dec 2018 a 60,000,000 2018/05/17 2018/12/17 33.0062073 J P Morgan sP BV – Hsi r Bull CBBC Nov 2018 s 200,000,000 2018/05/17 2018/11/29 50.0062077 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/05/17 2019/10/30 50.0062103 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 P 200,000,000 2018/05/17 2019/12/30 50.0062072 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/17 2018/08/30 50.0062070 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/05/17 2018/08/30 50.0062078 J P Morgan sP BV – tencent r Bull CBBC aug 2018 P 50,000,000 2018/05/17 2018/08/17 12.5062082 J P Morgan sP BV – tencent r Bull CBBC aug 2018 Q 50,000,000 2018/05/17 2018/08/17 12.5062100 J P Morgan sP BV – tencent r Bull CBBC sep 2018 D 50,000,000 2018/05/17 2018/09/14 16.5061931 Macquarie Bank ltd. – aaC tech r Bull CBBC Feb 2019 a 30,500,000 2018/05/17 2019/02/13 10.0061919 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 C 12,800,000 2018/05/17 2018/12/14 10.0661928 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 C 11,000,000 2018/05/17 2018/12/14 10.0162131 sg issuer – aia r Bull CBBC Feb 2019 a 60,000,000 2018/05/17 2019/02/27 15.0062135 sg issuer – aia r Bull CBBC Mar 2019 a 60,000,000 2018/05/17 2019/03/28 15.00




62117 sg issuer – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/05/17 2019/11/28 50.0062123 sg issuer – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/05/17 2019/12/30 50.0062128 sg issuer – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/05/17 2019/12/30 50.0062129 sg issuer – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/05/17 2019/12/30 50.0062111 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/05/17 2018/09/27 50.0062115 sg issuer – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/05/17 2018/09/27 50.0062136 sg issuer – tencent r Bull CBBC sep 2018 e 80,000,000 2018/05/17 2018/09/19 20.0062138 sg issuer – tencent r Bull CBBC sep 2018 g 80,000,000 2018/05/17 2018/09/21 20.0062139 sg issuer – tencent r Bull CBBC sep 2018 U 80,000,000 2018/05/17 2018/09/26 20.0062105 sg issuer – tencent r Bear CBBC sep 2018 P 80,000,000 2018/05/17 2018/09/07 20.0062143 sg issuer – tencent r Bear CBBC Dec 2018 l 80,000,000 2018/05/17 2018/12/28 20.0062024 UBs ag – CNOOC r Bull CBBC Oct 2018 H 40,000,000 2018/05/17 2018/10/08 10.0062026 UBs ag – CNOOC r Bull CBBC Oct 2018 i 40,000,000 2018/05/17 2018/10/22 10.0062028 UBs ag – CNOOC r Bear CBBC Nov 2018 a 40,000,000 2018/05/17 2018/11/12 10.0062034 UBs ag – sinopec Corp r Bull CBBC Oct 2018 C 50,000,000 2018/05/17 2018/10/08 12.5062004 UBs ag – CsOP a50 etF r Bull CBBC sep 2018 g 50,000,000 2018/05/17 2018/09/24 12.5062008 UBs ag – a50 China r Bull CBBC sep 2018 D 50,000,000 2018/05/17 2018/09/17 12.5062035 UBs ag – HkeX r Bull CBBC Nov 2018 Q 50,000,000 2018/05/17 2018/11/07 12.5062040 UBs ag – HsBC r Bull CBBC Nov 2018 C 80,000,000 2018/05/17 2018/11/19 20.0061998 UBs ag – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/05/17 2019/10/30 50.0062003 UBs ag – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/05/17 2019/12/30 50.0061990 UBs ag – Hsi r Bull CBBC Dec 2019 V 200,000,000 2018/05/17 2019/12/30 50.0061972 UBs ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/17 2018/08/30 50.0061975 UBs ag – Hsi r Bear CBBC aug 2018 U 250,000,000 2018/05/17 2018/08/30 62.5061976 UBs ag – Hsi r Bear CBBC sep 2018 X 250,000,000 2018/05/17 2018/09/27 62.5062014 UBs ag – Petrochina r Bull CBBC Oct 2018 F 60,000,000 2018/05/17 2018/10/29 15.0062016 UBs ag – Petrochina r Bull CBBC Oct 2018 g 60,000,000 2018/05/17 2018/10/22 15.0062022 UBs ag – Petrochina r Bear CBBC Oct 2018 B 40,000,000 2018/05/17 2018/10/15 10.0062033 UBs ag – tencent r Bull CBBC aug 2018 B 30,000,000 2018/05/17 2018/08/22 10.2062030 UBs ag – tencent r Bull CBBC aug 2018 C 30,000,000 2018/05/17 2018/08/29 10.2062036 UBs ag – tencent r Bull CBBC aug 2018 D 30,000,000 2018/05/17 2018/08/20 10.2062379 BNP Paribas issuance B.V. – CC Bank r Bull CBBC Nov 2018 V 100,000,000 2018/05/18 2018/11/29 25.0062303 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 U 100,000,000 2018/05/18 2018/11/29 25.0062385 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18g 60,000,000 2018/05/18 2018/11/29 15.0062302 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 C 50,000,000 2018/05/18 2019/03/28 12.5062387 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 M 250,000,000 2018/05/18 2019/12/30 62.5062390 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/05/18 2019/12/30 62.5062394 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 O 250,000,000 2018/05/18 2019/12/30 62.5062386 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Q 250,000,000 2018/05/18 2019/12/30 62.5062289 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 N 250,000,000 2018/05/18 2018/12/28 62.5062290 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 O 250,000,000 2018/05/18 2018/12/28 62.5062292 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 P 250,000,000 2018/05/18 2018/12/28 62.5062294 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 Q 250,000,000 2018/05/18 2018/12/28 62.5062380 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 l 200,000,000 2018/05/18 2018/11/29 50.0062384 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 V 50,000,000 2018/05/18 2018/09/27 12.50




62296 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 k 50,000,000 2018/05/18 2018/11/29 12.5062295 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 U 50,000,000 2018/05/18 2018/11/29 12.5062895 Credit suisse ag – aia r Bull CBBC Dec 2018 B 70,000,000 2018/05/18 2018/12/21 17.5062897 Credit suisse ag – aia r Bear CBBC Jan 2019 B 50,000,000 2018/05/18 2019/01/30 12.5062898 Credit suisse ag – aia r Bear CBBC Jan 2019 C 50,000,000 2018/05/18 2019/01/25 12.5062859 Credit suisse ag – geely auto r Bull CBBC Dec 2018 i 40,000,000 2018/05/18 2018/12/28 10.0062861 Credit suisse ag – geely auto r Bull CBBC Jun 2019 a 100,000,000 2018/05/18 2019/06/28 25.0062858 Credit suisse ag – galaxy ent r Bull CBBC Nov 2018 F 50,000,000 2018/05/18 2018/11/29 12.5062865 Credit suisse ag – HkeX r Bull CBBC Dec 2018 D 50,000,000 2018/05/18 2018/12/28 12.5062855 Credit suisse ag – HsBC r Bull CBBC Dec 2018 H 80,000,000 2018/05/18 2018/12/28 20.0062845 Credit suisse ag – Hsi r Bull CBBC sep 2019 i 200,000,000 2018/05/18 2019/09/27 50.0062840 Credit suisse ag – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/05/18 2019/10/30 50.0062842 Credit suisse ag – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/05/18 2019/10/30 50.0062810 Credit suisse ag – Hsi r Bull CBBC Nov 2019 W 200,000,000 2018/05/18 2019/11/28 50.0062819 Credit suisse ag – Hsi r Bull CBBC Nov 2019 X 200,000,000 2018/05/18 2019/11/28 50.0062835 Credit suisse ag – Hsi r Bull CBBC Nov 2019 Y 200,000,000 2018/05/18 2019/11/28 50.0062763 Credit suisse ag – Hsi r Bear CBBC aug 2018 F 200,000,000 2018/05/18 2018/08/30 50.0062764 Credit suisse ag – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/18 2018/08/30 50.0062770 Credit suisse ag – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/05/18 2018/08/30 50.0062803 Credit suisse ag – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/05/18 2018/09/27 50.0062771 Credit suisse ag – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/05/18 2018/09/27 50.0062784 Credit suisse ag – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/05/18 2018/09/27 50.0062778 Credit suisse ag – Hsi r Bear CBBC Oct 2018 M 200,000,000 2018/05/18 2018/10/30 50.0062804 Credit suisse ag – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/05/18 2018/10/30 50.0062901 Credit suisse ag – Ping an r Bull CBBC Dec 2018 U 80,000,000 2018/05/18 2018/12/21 20.0062867 Credit suisse ag – tencent r Bull CBBC Dec 2018 Q 50,000,000 2018/05/18 2018/12/13 12.5062868 Credit suisse ag – tencent r Bull CBBC Dec 2018 r 50,000,000 2018/05/18 2018/12/28 12.5062877 Credit suisse ag – tencent r Bear CBBC Dec 2018 F 50,000,000 2018/05/18 2018/12/20 12.5062891 Credit suisse ag – tencent r Bear CBBC Dec 2018 g 50,000,000 2018/05/18 2018/12/07 18.0062532 Bank of east asia – geely auto r Bull CBBC Feb 2019 a 40,000,000 2018/05/18 2019/02/12 10.0062531 Bank of east asia – HkeX r Bull CBBC Feb 2019 a 40,000,000 2018/05/18 2019/02/12 10.0062523 Bank of east asia – tencent r Bull CBBC Feb 2019 a 30,000,000 2018/05/18 2019/02/12 10.5062524 Bank of east asia – tencent r Bull CBBC Feb 2019 B 30,000,000 2018/05/18 2019/02/12 10.5063044 goldman sachs sP (asia) – aaC tech r Bull CBBC Dec 2018 M 40,000,000 2018/05/18 2018/12/31 10.0063043 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 O 100,000,000 2018/05/18 2018/12/21 25.0062447 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Dec 2018 D 100,000,000 2018/05/18 2018/12/21 25.0063046 goldman sachs sP (asia) – galaxy ent r Bull CBBC Dec 2018 U 100,000,000 2018/05/18 2018/12/31 25.0063047 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 Z 100,000,000 2018/05/18 2018/12/31 25.0062503 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/18 2019/12/30 50.0062460 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/05/18 2019/12/30 50.0062505 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/05/18 2019/12/30 50.0062469 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/05/18 2019/12/30 50.0062243 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 e 200,000,000 2018/05/18 2018/10/30 50.0062246 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 F 200,000,000 2018/05/18 2018/10/30 50.0062251 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 g 200,000,000 2018/05/18 2018/10/30 50.00




62252 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 M 200,000,000 2018/05/18 2018/11/29 50.0062254 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 N 200,000,000 2018/05/18 2018/11/29 50.0062399 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 O 200,000,000 2018/05/18 2018/11/29 50.0062402 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 P 200,000,000 2018/05/18 2018/11/29 50.0062406 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 a 200,000,000 2018/05/18 2018/12/28 50.0062434 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 B 200,000,000 2018/05/18 2018/12/28 50.0062438 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 C 200,000,000 2018/05/18 2018/12/28 50.0062445 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 g 100,000,000 2018/05/18 2019/02/27 25.0062440 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 e 100,000,000 2018/05/18 2018/12/21 25.0062441 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 i 100,000,000 2018/05/18 2018/12/21 25.0063042 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 W 100,000,000 2018/05/18 2018/12/31 25.0062307 Hk Bank – aia r Bull CBBC Oct 2018 O 80,000,000 2018/05/18 2018/10/29 20.0062310 Hk Bank – aia r Bear CBBC Nov 2018 a 40,000,000 2018/05/18 2018/11/30 10.0062346 Hk Bank – HkeX r Bull CBBC Nov 2018 k 50,000,000 2018/05/18 2018/11/12 12.5062328 Hk Bank – HsCei r Bull CBBC Mar 2019 C 60,000,000 2018/05/18 2019/03/28 15.0062335 Hk Bank – HsCei r Bear CBBC Nov 2018 B 50,000,000 2018/05/18 2018/11/29 12.5062320 Hk Bank – Hsi r Bull CBBC Mar 2019 B 150,000,000 2018/05/18 2019/03/28 37.5062321 Hk Bank – Hsi r Bear CBBC Nov 2018 B 150,000,000 2018/05/18 2018/11/29 37.5062337 Hk Bank – Ping an r Bull CBBC Nov 2018 l 100,000,000 2018/05/18 2018/11/12 25.0062336 Hk Bank – tencent r Bull CBBC Oct 2018 D 60,000,000 2018/05/18 2018/10/15 15.0062257 Haitong int’l sec – sinopec Corp r Bull CBBC Nov 2018 C 100,000,000 2018/05/18 2018/11/02 25.0062288 Haitong int’l sec – CPiC r Bull CBBC Nov 2018 a 40,000,000 2018/05/18 2018/11/05 14.9662256 Haitong int’l sec – geely auto r Bull CBBC Nov 2018 a 40,000,000 2018/05/18 2018/11/05 10.0062255 Haitong int’l sec – HsBC r Bull CBBC Nov 2018 B 110,000,000 2018/05/18 2018/11/29 27.5062266 Haitong int’l sec – PetroChina r Bull CBBC Nov 2018 a 140,000,000 2018/05/18 2018/11/06 35.0062279 Haitong int’l sec – Ping an r Bull CBBC Nov 2018 B 25,000,000 2018/05/18 2018/11/05 10.8062287 Haitong int’l sec – sunny Optical r Bull CBBC Nov 2018 B 60,000,000 2018/05/18 2018/11/05 15.0062259 Haitong int’l sec – tencent r Bull CBBC Nov 2018 B 40,000,000 2018/05/18 2018/11/05 10.0062263 Haitong int’l sec – tencent r Bull CBBC Nov 2018 C 40,000,000 2018/05/18 2018/11/05 10.0062762 J P Morgan sP BV – HkeX r Bull CBBC sep 2018 B 40,000,000 2018/05/18 2018/09/14 10.0062701 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/05/18 2019/10/30 50.0062717 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 B 200,000,000 2018/05/18 2019/11/28 50.0062697 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/05/18 2019/11/28 50.0062696 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/05/18 2019/12/30 50.0062707 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/05/18 2019/12/30 50.0062693 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 B 200,000,000 2018/05/18 2018/08/30 50.0062692 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 k 200,000,000 2018/05/18 2018/08/30 50.0062690 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Y 200,000,000 2018/05/18 2018/08/30 50.0062746 J P Morgan sP BV – tencent r Bull CBBC aug 2018 r 50,000,000 2018/05/18 2018/08/17 14.0062753 J P Morgan sP BV – tencent r Bull CBBC aug 2018 s 50,000,000 2018/05/18 2018/08/17 12.5062760 J P Morgan sP BV – tencent r Bull CBBC sep 2018 e 50,000,000 2018/05/18 2018/09/14 12.5062511 Macquarie Bank ltd. – COVs r Bull CBBC Dec 2018 a 14,000,000 2018/05/18 2018/12/28 11.1462513 Macquarie Bank ltd. – COVs r Bull CBBC Dec 2018 B 12,000,000 2018/05/18 2018/12/28 11.2962518 Macquarie Bank ltd. – COVs r Bear CBBC Dec 2018 a 10,000,000 2018/05/18 2018/12/28 10.6762507 Macquarie Bank ltd. – HkeX r Bull CBBC Dec 2018 a 16,000,000 2018/05/18 2018/12/28 11.22




62506 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 D 12,500,000 2018/05/18 2018/12/14 10.0163023 sg issuer – aaC tech r Bull CBBC Nov 2018 D 40,000,000 2018/05/18 2018/11/07 10.0062969 sg issuer – aia r Bull CBBC Oct 2018 C 60,000,000 2018/05/18 2018/10/26 15.0062970 sg issuer – CC Bank r Bull CBBC Oct 2018 k 100,000,000 2018/05/18 2018/10/23 25.0063034 sg issuer – CNOOC r Bull CBBC Oct 2018 J 40,000,000 2018/05/18 2018/10/05 10.0063038 sg issuer – CNOOC r Bull CBBC Oct 2018 k 40,000,000 2018/05/18 2018/10/25 10.0063028 sg issuer – CNOOC r Bear CBBC aug 2018 a 40,000,000 2018/05/18 2018/08/31 10.0063027 sg issuer – sinopec Corp r Bull CBBC Oct 2018 C 40,000,000 2018/05/18 2018/10/05 10.0063025 sg issuer – sinopec Corp r Bear CBBC sep 2018 a 40,000,000 2018/05/18 2018/09/28 10.0062984 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 M 40,000,000 2018/05/18 2018/10/19 10.0062986 sg issuer – HkeX r Bull CBBC sep 2018 r 50,000,000 2018/05/18 2018/09/21 12.5062987 sg issuer – HkeX r Bull CBBC Oct 2018 C 50,000,000 2018/05/18 2018/10/05 12.5062998 sg issuer – HsBC r Bull CBBC sep 2018 U 100,000,000 2018/05/18 2018/09/27 25.0063015 sg issuer – Hsi r Bull CBBC sep 2019 U 200,000,000 2018/05/18 2019/09/27 50.0062939 sg issuer – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/05/18 2019/10/30 50.0062941 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/05/18 2019/11/28 50.0062968 sg issuer – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/18 2019/12/30 50.0062956 sg issuer – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/05/18 2019/12/30 50.0062920 sg issuer – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/18 2018/08/30 50.0062926 sg issuer – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/18 2018/08/30 50.0062931 sg issuer – Hsi r Bear CBBC Oct 2018 Y 200,000,000 2018/05/18 2018/10/30 50.0063011 sg issuer – Hsi r Bear CBBC Dec 2018 e 200,000,000 2018/05/18 2018/12/28 50.0063039 sg issuer – iCBC r Bull CBBC Oct 2018 H 60,000,000 2018/05/18 2018/10/29 15.0063040 sg issuer – PetroChina r Bull CBBC Nov 2018 g 40,000,000 2018/05/18 2018/11/23 10.0063000 sg issuer – Ping an r Bull CBBC Oct 2018 t 100,000,000 2018/05/18 2018/10/05 25.0063001 sg issuer – tencent r Bull CBBC aug 2018 D 80,000,000 2018/05/18 2018/08/30 20.0063007 sg issuer – tencent r Bull CBBC sep 2018 i 80,000,000 2018/05/18 2018/09/14 20.0063009 sg issuer – tencent r Bull CBBC sep 2018 J 80,000,000 2018/05/18 2018/09/20 20.0062903 sg issuer – tencent r Bear CBBC aug 2018 Y 80,000,000 2018/05/18 2018/08/31 20.0062672 UBs ag – CC Bank r Bull CBBC sep 2018 J 80,000,000 2018/05/18 2018/09/17 20.0062667 UBs ag – HkeX r Bull CBBC sep 2018 W 50,000,000 2018/05/18 2018/09/17 12.5062668 UBs ag – HkeX r Bull CBBC sep 2018 X 50,000,000 2018/05/18 2018/09/24 12.5062637 UBs ag – Hsi r Bull CBBC Oct 2019 t 250,000,000 2018/05/18 2019/10/30 62.5062652 UBs ag – Hsi r Bull CBBC Oct 2019 V 250,000,000 2018/05/18 2019/10/30 62.5062633 UBs ag – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/05/18 2019/11/28 50.0062654 UBs ag – Hsi r Bull CBBC Nov 2019 t 250,000,000 2018/05/18 2019/11/28 62.5062631 UBs ag – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/18 2019/12/30 50.0062574 UBs ag – Hsi r Bear CBBC aug 2018 a 200,000,000 2018/05/18 2018/08/30 50.0062577 UBs ag – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/05/18 2018/08/30 50.0062533 UBs ag – Hsi r Bear CBBC aug 2018 F 200,000,000 2018/05/18 2018/08/30 50.0062534 UBs ag – Hsi r Bear CBBC aug 2018 g 250,000,000 2018/05/18 2018/08/30 62.5062535 UBs ag – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/18 2018/08/30 50.0062614 UBs ag – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/05/18 2018/08/30 50.0062537 UBs ag – Hsi r Bear CBBC aug 2018 k 250,000,000 2018/05/18 2018/08/30 62.5062622 UBs ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/05/18 2018/08/30 50.00




62562 UBs ag – Hsi r Bear CBBC aug 2018 s 250,000,000 2018/05/18 2018/08/30 62.5062679 UBs ag – iCBC r Bull CBBC Oct 2018 k 100,000,000 2018/05/18 2018/10/08 25.0062669 UBs ag – Petrochina r Bull CBBC Oct 2018 H 60,000,000 2018/05/18 2018/10/16 15.0062684 UBs ag – Ping an r Bull CBBC Dec 2018 F 80,000,000 2018/05/18 2018/12/03 20.0062680 UBs ag – sands China r Bull CBBC Dec 2018 B 60,000,000 2018/05/18 2018/12/17 15.0062666 UBs ag – tencent r Bull CBBC aug 2018 e 30,000,000 2018/05/18 2018/08/30 10.2062662 UBs ag – tencent r Bull CBBC sep 2018 P 30,000,000 2018/05/18 2018/09/12 10.2062664 UBs ag – tencent r Bull CBBC sep 2018 t 30,000,000 2018/05/18 2018/09/26 10.2062625 UBs ag – tencent r Bear CBBC Oct 2018 g 30,000,000 2018/05/18 2018/10/10 10.2062686 UBs ag – tracker Fund r Bull CBBC Dec 2018 a 40,000,000 2018/05/18 2018/12/17 10.0062351 Bank Vontobel – Hsi r Bull CBBC Dec 2018 U 100,000,000 2018/05/18 2018/12/28 25.1062353 Bank Vontobel – Hsi r Bull CBBC Dec 2018 V 100,000,000 2018/05/18 2018/12/28 25.3062362 Bank Vontobel – tencent r Bull CBBC Dec 2018 D 40,000,000 2018/05/18 2018/12/05 10.1662369 Bank Vontobel – tencent r Bull CBBC Dec 2018 e 40,000,000 2018/05/18 2018/12/06 10.3262239 Bank Vontobel – tencent r Bear CBBC sep 2018 a 40,000,000 2018/05/18 2018/09/14 10.0063114 BOCi asia ltd. – CC Bank r Bull CBBC sep 2018 a 70,000,000 2018/05/21 2018/09/28 17.7863108 BOCi asia ltd. – HkeX r Bull CBBC sep 2018 B 40,000,000 2018/05/21 2018/09/27 11.8863106 BOCi asia ltd. – Ping an r Bull CBBC Oct 2018 a 100,000,000 2018/05/21 2018/10/05 25.4063105 BOCi asia ltd. – tencent r Bull CBBC aug 2018 B 40,000,000 2018/05/21 2018/08/30 18.0863447 BNP Paribas issuance B.V. – HkeX r Bull CBBC aug 2018 F 50,000,000 2018/05/21 2018/08/30 12.5063450 BNP Paribas issuance B.V. – HsCei r Bull CBBC sep 2019 k 100,000,000 2018/05/21 2019/09/27 25.0063451 BNP Paribas issuance B.V. – HsCei r Bull CBBC sep 2019 l 100,000,000 2018/05/21 2019/09/27 25.0063526 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/05/21 2019/12/30 62.5063532 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 s 250,000,000 2018/05/21 2019/12/30 62.5063531 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 W 250,000,000 2018/05/21 2019/12/30 62.5063070 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 r 250,000,000 2018/05/21 2018/12/28 62.5063072 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 s 250,000,000 2018/05/21 2018/12/28 62.5063073 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 t 250,000,000 2018/05/21 2018/12/28 62.5063444 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 M 200,000,000 2018/05/21 2018/11/29 50.0063389 Credit suisse ag – CC Bank r Bull CBBC Nov 2018 l 80,000,000 2018/05/21 2018/11/29 20.0063400 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 F 50,000,000 2018/05/21 2019/01/25 12.5063417 Credit suisse ag – a50 China r Bull CBBC Jan 2019 a 50,000,000 2018/05/21 2019/01/30 12.5063336 Credit suisse ag – geely auto r Bull CBBC Jun 2019 B 100,000,000 2018/05/21 2019/06/21 25.0063339 Credit suisse ag – HkeX r Bull CBBC Nov 2018 H 50,000,000 2018/05/21 2018/11/29 12.5063344 Credit suisse ag – HkeX r Bull CBBC Dec 2018 e 50,000,000 2018/05/21 2018/12/14 12.5063345 Credit suisse ag – HkeX r Bear CBBC Nov 2018 B 50,000,000 2018/05/21 2018/11/29 12.5063457 Credit suisse ag – HsCei r Bull CBBC sep 2019 a 100,000,000 2018/05/21 2019/09/27 25.0063458 Credit suisse ag – HsCei r Bear CBBC sep 2018 a 100,000,000 2018/05/21 2018/09/27 25.0063467 Credit suisse ag – HsCei r Bear CBBC sep 2018 B 100,000,000 2018/05/21 2018/09/27 25.0063333 Credit suisse ag – Hsi r Bull CBBC sep 2019 J 200,000,000 2018/05/21 2019/09/27 50.0063335 Credit suisse ag – Hsi r Bull CBBC sep 2019 k 200,000,000 2018/05/21 2019/09/27 50.0063455 Credit suisse ag – Hsi r Bull CBBC Nov 2019 a 200,000,000 2018/05/21 2019/11/28 50.0063454 Credit suisse ag – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/05/21 2019/11/28 50.0063330 Credit suisse ag – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/21 2019/12/30 50.0063334 Credit suisse ag – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/05/21 2019/12/30 50.00




63280 Credit suisse ag – Hsi r Bear CBBC aug 2018 B 200,000,000 2018/05/21 2018/08/30 50.0063278 Credit suisse ag – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/05/21 2018/08/30 50.0063295 Credit suisse ag – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/05/21 2018/09/27 50.0063287 Credit suisse ag – Hsi r Bear CBBC sep 2018 X 200,000,000 2018/05/21 2018/09/27 50.0063273 Credit suisse ag – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/05/21 2018/09/27 50.0063286 Credit suisse ag – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/05/21 2018/09/27 50.0063308 Credit suisse ag – Hsi r Bear CBBC Oct 2018 O 200,000,000 2018/05/21 2018/10/30 50.0063312 Credit suisse ag – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/05/21 2018/10/30 50.0063317 Credit suisse ag – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/05/21 2018/10/30 50.0063322 Credit suisse ag – Hsi r Bear CBBC Oct 2018 r 200,000,000 2018/05/21 2018/10/30 50.0063368 Credit suisse ag – Ping an r Bull CBBC Dec 2018 V 80,000,000 2018/05/21 2018/12/13 20.0063381 Credit suisse ag – Ping an r Bear CBBC Nov 2018 g 50,000,000 2018/05/21 2018/11/30 12.5063384 Credit suisse ag – Ping an r Bear CBBC Dec 2018 a 50,000,000 2018/05/21 2018/12/07 12.5063387 Credit suisse ag – Ping an r Bear CBBC Dec 2018 B 50,000,000 2018/05/21 2018/12/14 12.5063391 Credit suisse ag – sunny Optical r Bull CBBC Jan 2019 a 40,000,000 2018/05/21 2019/01/30 10.0063354 Credit suisse ag – tencent r Bull CBBC Nov 2018 C 50,000,000 2018/05/21 2018/11/29 12.5063365 Credit suisse ag – tencent r Bear CBBC Nov 2018 H 50,000,000 2018/05/21 2018/11/23 13.5063752 goldman sachs sP (asia) – CC Bank r Bull CBBC Dec 2018 W 100,000,000 2018/05/21 2018/12/31 25.0063737 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 a 100,000,000 2018/05/21 2018/12/31 25.0063745 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 B 100,000,000 2018/05/21 2018/12/31 25.0063747 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 r 100,000,000 2018/05/21 2018/12/21 25.0063179 goldman sachs sP (asia) – HsCei r Bear CBBC sep 2018 B 200,000,000 2018/05/21 2018/09/27 50.0063165 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 H 200,000,000 2018/05/21 2019/12/30 50.0063167 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 i 200,000,000 2018/05/21 2019/12/30 50.0063158 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 k 200,000,000 2018/05/21 2019/12/30 50.0063160 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 N 200,000,000 2018/05/21 2019/12/30 50.0063129 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/05/21 2018/09/27 50.2063115 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/05/21 2018/09/27 50.0063116 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/05/21 2018/09/27 50.2063131 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 Q 200,000,000 2018/05/21 2018/11/29 50.0063135 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 r 200,000,000 2018/05/21 2018/11/29 50.2063140 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 s 200,000,000 2018/05/21 2018/11/29 50.2063733 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 X 100,000,000 2018/05/21 2018/12/31 25.0063698 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 e 100,000,000 2018/05/21 2018/11/29 25.0063718 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 F 100,000,000 2018/05/21 2018/11/29 25.0063725 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 O 80,000,000 2018/05/21 2018/12/31 20.0063079 Hk Bank – aaC tech r Bull CBBC Nov 2018 C 40,000,000 2018/05/21 2018/11/30 10.0063085 Hk Bank – aia r Bull CBBC Nov 2018 B 80,000,000 2018/05/21 2018/11/12 20.0063084 Hk Bank – geely auto r Bull CBBC Oct 2018 F 40,000,000 2018/05/21 2018/10/22 10.0063096 Hk Bank – HkeX r Bull CBBC Nov 2018 l 50,000,000 2018/05/21 2018/11/19 12.5063074 Hk Bank – HsCei r Bear CBBC Dec 2018 a 50,000,000 2018/05/21 2018/12/28 12.5063098 Hk Bank – Hsi r Bull CBBC apr 2019 a 150,000,000 2018/05/21 2019/04/29 37.5063104 Hk Bank – Hsi r Bull CBBC apr 2019 B 150,000,000 2018/05/21 2019/04/29 37.5063087 Hk Bank – Ping an r Bull CBBC Oct 2018 Z 100,000,000 2018/05/21 2018/10/31 25.0063082 Hk Bank – sunny Optical r Bull CBBC Nov 2018 B 40,000,000 2018/05/21 2018/11/12 10.00




63093 Hk Bank – tencent r Bull CBBC Oct 2018 C 60,000,000 2018/05/21 2018/10/22 15.0063505 J P Morgan sP BV – aia r Bull CBBC sep 2018 B 100,000,000 2018/05/21 2018/09/21 25.0063486 J P Morgan sP BV – CC Bank r Bull CBBC sep 2018 i 100,000,000 2018/05/21 2018/09/21 25.0063496 J P Morgan sP BV – HsCei r Bull CBBC Dec 2019 g 100,000,000 2018/05/21 2019/12/30 25.0063485 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 g 200,000,000 2018/05/21 2019/10/30 50.0063478 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 W 200,000,000 2018/05/21 2019/10/30 50.0063477 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 e 200,000,000 2018/05/21 2019/11/28 50.0063481 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/05/21 2019/11/28 50.0063489 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/05/21 2019/12/30 50.0063479 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 X 200,000,000 2018/05/21 2019/12/30 50.0063469 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/05/21 2018/08/30 50.0063472 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 O 200,000,000 2018/05/21 2018/08/30 50.0063473 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/21 2018/08/30 50.0063475 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/05/21 2018/09/27 50.0063476 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 r 200,000,000 2018/05/21 2018/09/27 50.0063487 J P Morgan sP BV – iCBC r Bull CBBC sep 2018 F 100,000,000 2018/05/21 2018/09/21 25.0063506 J P Morgan sP BV – Ping an r Bull CBBC sep 2018 D 100,000,000 2018/05/21 2018/09/21 25.0063519 J P Morgan sP BV – tencent r Bull CBBC sep 2018 F 50,000,000 2018/05/21 2018/09/14 12.5063181 Macquarie Bank ltd. – CPiC r Bull CBBC Nov 2018 D 11,000,000 2018/05/21 2018/11/29 11.0863067 Macquarie Bank ltd. – geely auto r Bull CBBC Jan 2019 a 13,500,000 2018/05/21 2019/01/30 10.1963065 Macquarie Bank ltd. – Ping an r Bull CBBC Jan 2019 a 39,000,000 2018/05/21 2019/01/30 10.0663657 sg issuer – aaC tech r Bear CBBC Dec 2018 a 40,000,000 2018/05/21 2018/12/28 10.0063565 sg issuer – aia r Bull CBBC Oct 2018 D 60,000,000 2018/05/21 2018/10/31 15.0063658 sg issuer – aia r Bear CBBC sep 2018 B 60,000,000 2018/05/21 2018/09/20 15.0063667 sg issuer – Country garden r Bull CBBC Oct 2018 D 40,000,000 2018/05/21 2018/10/26 10.0063665 sg issuer – CC Bank r Bull CBBC Nov 2018 F 100,000,000 2018/05/21 2018/11/20 25.0063678 sg issuer – galaxy ent r Bear CBBC Oct 2018 F 80,000,000 2018/05/21 2018/10/31 20.0063569 sg issuer – HkeX r Bull CBBC Oct 2018 e 50,000,000 2018/05/21 2018/10/12 12.5063590 sg issuer – HsCei r Bull CBBC Nov 2018 X 100,000,000 2018/05/21 2018/11/29 25.0063611 sg issuer – HsCei r Bull CBBC Dec 2018 U 100,000,000 2018/05/21 2018/12/28 25.0063612 sg issuer – HsCei r Bull CBBC Dec 2018 V 100,000,000 2018/05/21 2018/12/28 25.0063610 sg issuer – HsCei r Bear CBBC Nov 2018 D 100,000,000 2018/05/21 2018/11/29 25.0063649 sg issuer – Hsi r Bull CBBC sep 2019 O 200,000,000 2018/05/21 2019/09/27 50.0063639 sg issuer – Hsi r Bull CBBC sep 2019 V 200,000,000 2018/05/21 2019/09/27 50.0063646 sg issuer – Hsi r Bull CBBC sep 2019 W 200,000,000 2018/05/21 2019/09/27 50.0063551 sg issuer – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/05/21 2019/10/30 50.0063652 sg issuer – Hsi r Bull CBBC Oct 2019 r 200,000,000 2018/05/21 2019/10/30 50.0063564 sg issuer – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/05/21 2019/12/30 50.0063558 sg issuer – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/05/21 2019/12/30 50.0063540 sg issuer – Hsi r Bear CBBC Oct 2018 i 200,000,000 2018/05/21 2018/10/30 50.0063533 sg issuer – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/05/21 2018/10/30 50.0063546 sg issuer – Hsi r Bear CBBC Nov 2018 B 200,000,000 2018/05/21 2018/11/29 50.0063541 sg issuer – Hsi r Bear CBBC Nov 2018 Q 200,000,000 2018/05/21 2018/11/29 50.0063680 sg issuer – iCBC r Bull CBBC Nov 2018 D 60,000,000 2018/05/21 2018/11/15 15.0063686 sg issuer – NCi r Bull CBBC Feb 2019 a 80,000,000 2018/05/21 2019/02/28 20.00




63579 sg issuer – Ping an r Bull CBBC Nov 2018 t 100,000,000 2018/05/21 2018/11/12 25.0063582 sg issuer – Ping an r Bull CBBC Nov 2018 U 100,000,000 2018/05/21 2018/11/30 25.0063688 sg issuer – sunny Optical r Bull CBBC Oct 2018 C 40,000,000 2018/05/21 2018/10/29 10.0063585 sg issuer – tencent r Bull CBBC aug 2018 J 80,000,000 2018/05/21 2018/08/30 20.0063587 sg issuer – tencent r Bull CBBC aug 2018 k 80,000,000 2018/05/21 2018/08/31 20.0063692 sg issuer – tencent r Bull CBBC sep 2018 k 80,000,000 2018/05/21 2018/09/05 20.0063695 sg issuer – tencent r Bull CBBC sep 2018 l 80,000,000 2018/05/21 2018/09/12 20.0063689 sg issuer – tencent r Bear CBBC sep 2018 Q 80,000,000 2018/05/21 2018/09/03 20.0063253 UBs ag – aaC tech r Bull CBBC Dec 2018 D 40,000,000 2018/05/21 2018/12/03 10.0063255 UBs ag – aaC tech r Bear CBBC Nov 2018 a 40,000,000 2018/05/21 2018/11/05 10.0063256 UBs ag – aaC tech r Bear CBBC Nov 2018 B 40,000,000 2018/05/21 2018/11/26 10.0063252 UBs ag – aia r Bull CBBC Oct 2018 B 50,000,000 2018/05/21 2018/10/15 12.5063262 UBs ag – Bank of China r Bull CBBC Dec 2018 B 60,000,000 2018/05/21 2018/12/10 15.0063248 UBs ag – CC Bank r Bull CBBC Oct 2018 N 80,000,000 2018/05/21 2018/10/22 20.0063237 UBs ag – HsBC r Bull CBBC Dec 2018 a 80,000,000 2018/05/21 2018/12/17 20.0063200 UBs ag – Hsi r Bull CBBC Oct 2018 t 200,000,000 2018/05/21 2018/10/30 50.0063199 UBs ag – Hsi r Bull CBBC Oct 2019 B 250,000,000 2018/05/21 2019/10/30 62.5063193 UBs ag – Hsi r Bull CBBC Oct 2019 i 250,000,000 2018/05/21 2019/10/30 62.5063190 UBs ag – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/05/21 2019/11/28 50.0063468 UBs ag – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/05/21 2019/12/30 50.0063195 UBs ag – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/05/21 2019/12/30 50.0063213 UBs ag – Hsi r Bear CBBC aug 2018 D 200,000,000 2018/05/21 2018/08/30 50.0063234 UBs ag – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/05/21 2018/08/30 50.0063182 UBs ag – Hsi r Bear CBBC aug 2018 O 250,000,000 2018/05/21 2018/08/30 62.5063207 UBs ag – Hsi r Bear CBBC aug 2018 Z 250,000,000 2018/05/21 2018/08/30 62.5063217 UBs ag – Hsi r Bear CBBC sep 2018 Y 250,000,000 2018/05/21 2018/09/27 62.5063222 UBs ag – Hsi r Bear CBBC sep 2018 Z 250,000,000 2018/05/21 2018/09/27 62.5063267 UBs ag – Ping an r Bull CBBC Oct 2018 Y 80,000,000 2018/05/21 2018/10/10 20.0063259 UBs ag – sunny Optical r Bull CBBC Nov 2018 B 40,000,000 2018/05/21 2018/11/12 10.0063238 UBs ag – tencent r Bull CBBC sep 2018 H 30,000,000 2018/05/21 2018/09/17 10.2063247 UBs ag – tencent r Bear CBBC Oct 2018 H 30,000,000 2018/05/21 2018/10/22 10.3563052 Bank Vontobel – HsBC r Bull CBBC Oct 2018 a 40,000,000 2018/05/21 2018/10/26 10.1263064 Bank Vontobel – HsBC r Bull CBBC Oct 2018 B 40,000,000 2018/05/21 2018/10/26 10.1663055 Bank Vontobel – HsBC r Bear CBBC Nov 2018 a 40,000,000 2018/05/21 2018/11/23 10.1663058 Bank Vontobel – HsBC r Bear CBBC Nov 2018 B 40,000,000 2018/05/21 2018/11/23 10.1663418 Bank Vontobel – Hsi r Bull CBBC Dec 2018 W 100,000,000 2018/05/21 2018/12/28 25.2063427 Bank Vontobel – Hsi r Bull CBBC Dec 2018 X 100,000,000 2018/05/21 2018/12/28 25.4063050 Bank Vontobel – Hsi r Bear CBBC Nov 2018 e 100,000,000 2018/05/21 2018/11/29 25.5063051 Bank Vontobel – Hsi r Bear CBBC Nov 2018 F 100,000,000 2018/05/21 2018/11/29 25.3063439 Bank Vontobel – tencent r Bull CBBC Dec 2018 F 40,000,000 2018/05/21 2018/12/07 10.1664089 Credit suisse ag – Hsi r Bull CBBC Oct 2019 a 200,000,000 2018/05/23 2019/10/30 50.0064090 Credit suisse ag – Hsi r Bull CBBC Oct 2019 B 200,000,000 2018/05/23 2019/10/30 50.0064091 Credit suisse ag – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/05/23 2019/10/30 50.0064101 Credit suisse ag – Hsi r Bull CBBC Oct 2019 D 200,000,000 2018/05/23 2019/10/30 50.0064104 Credit suisse ag – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/05/23 2019/10/30 50.00




64123 Credit suisse ag – Hsi r Bear CBBC aug 2018 O 200,000,000 2018/05/23 2018/08/30 50.0064130 Credit suisse ag – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/05/23 2018/09/27 50.0064132 Credit suisse ag – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/05/23 2018/09/27 50.0064135 Credit suisse ag – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/05/23 2018/10/30 50.0064113 Credit suisse ag – tencent r Bull CBBC Dec 2018 s 50,000,000 2018/05/23 2018/12/07 12.5064114 Credit suisse ag – tencent r Bear CBBC Dec 2018 H 50,000,000 2018/05/23 2018/12/14 12.5064121 Credit suisse ag – tencent r Bear CBBC Dec 2018 i 50,000,000 2018/05/23 2018/12/07 12.5064042 goldman sachs sP (asia) – HsCei r Bull CBBC Nov 2019 e 200,000,000 2018/05/23 2019/11/28 50.0063757 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 k 200,000,000 2018/05/23 2019/11/28 50.0063772 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/05/23 2019/11/28 50.0063773 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/05/23 2019/11/28 50.0063771 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 t 200,000,000 2018/05/23 2019/11/28 50.0064020 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 H 200,000,000 2018/05/23 2018/09/27 50.2064023 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/05/23 2018/09/27 50.2064036 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/05/23 2018/09/27 50.0064047 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 e 100,000,000 2018/05/23 2018/12/31 25.0063777 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 g 100,000,000 2018/05/23 2018/11/30 25.0064045 goldman sachs sP (asia) – tencent r Bear CBBC Nov 2018 a 80,000,000 2018/05/23 2018/11/30 20.0063862 Hk Bank – CC Bank r Bull CBBC Oct 2018 D 100,000,000 2018/05/23 2018/10/22 25.0063847 Hk Bank – CsOP a50 etF r Bull CBBC Jan 2019 B 50,000,000 2018/05/23 2019/01/14 12.5063848 Hk Bank – a50 China r Bull CBBC Jan 2019 C 50,000,000 2018/05/23 2019/01/14 12.5063851 Hk Bank – HkeX r Bull CBBC Dec 2018 B 50,000,000 2018/05/23 2018/12/24 20.0063836 Hk Bank – Hsi r Bull CBBC Mar 2019 C 150,000,000 2018/05/23 2019/03/28 37.5063844 Hk Bank – Hsi r Bear CBBC sep 2018 N 150,000,000 2018/05/23 2018/09/27 37.5063837 Hk Bank – Hsi r Bear CBBC Oct 2018 V 100,000,000 2018/05/23 2018/10/30 25.0063841 Hk Bank – Hsi r Bear CBBC Oct 2018 W 100,000,000 2018/05/23 2018/10/30 25.0063853 Hk Bank – sands China r Bear CBBC Nov 2018 a 40,000,000 2018/05/23 2018/11/05 10.0063796 Hk Bank – tencent r Bear CBBC Oct 2018 s 50,000,000 2018/05/23 2018/10/22 12.5063980 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/05/23 2019/11/28 50.0063998 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 X 200,000,000 2018/05/23 2019/11/28 50.0063979 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/05/23 2019/12/30 50.0063994 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 k 200,000,000 2018/05/23 2019/12/30 50.0063999 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/05/23 2018/08/30 50.0064009 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/05/23 2018/08/30 50.0064011 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 W 200,000,000 2018/05/23 2018/08/30 50.0063990 J P Morgan sP BV – tencent r Bear CBBC sep 2018 C 50,000,000 2018/05/23 2018/09/14 12.5063992 J P Morgan sP BV – tencent r Bear CBBC sep 2018 D 50,000,000 2018/05/23 2018/09/21 12.5063873 Macquarie Bank ltd. – CM Bank r Bull CBBC Mar 2019 a 10,200,000 2018/05/23 2019/03/14 10.0163876 Macquarie Bank ltd. – CM Bank r Bear CBBC Mar 2019 a 7,300,000 2018/05/23 2019/03/14 10.0063794 Macquarie Bank ltd. – galaxy ent r Bull CBBC Jan 2019 a 34,500,000 2018/05/23 2019/01/30 10.0163792 Macquarie Bank ltd. – galaxy ent r Bear CBBC Jan 2019 a 34,500,000 2018/05/23 2019/01/30 10.0163881 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 D 3,200,000 2018/05/23 2018/12/14 10.2464205 sg issuer – aaC tech r Bull CBBC Dec 2018 D 40,000,000 2018/05/23 2018/12/24 10.0064206 sg issuer – HkeX r Bull CBBC Oct 2018 F 50,000,000 2018/05/23 2018/10/29 12.5064165 sg issuer – HsBC r Bull CBBC Nov 2018 X 100,000,000 2018/05/23 2018/11/30 25.00




64148 sg issuer – Hsi r Bull CBBC sep 2019 P 200,000,000 2018/05/23 2019/09/27 50.0064153 sg issuer – Hsi r Bull CBBC sep 2019 Q 200,000,000 2018/05/23 2019/09/27 50.0064160 sg issuer – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/05/23 2019/12/30 50.0064162 sg issuer – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/05/23 2019/12/30 50.0064195 sg issuer – Hsi r Bear CBBC aug 2018 e 200,000,000 2018/05/23 2018/08/30 50.0064202 sg issuer – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/05/23 2018/09/27 50.0064219 sg issuer – NCi r Bull CBBC apr 2019 a 80,000,000 2018/05/23 2019/04/16 20.0064167 sg issuer – Ping an r Bear CBBC sep 2018 F 100,000,000 2018/05/23 2018/09/28 25.0064174 sg issuer – sunny Optical r Bear CBBC sep 2018 a 40,000,000 2018/05/23 2018/09/28 10.0064178 sg issuer – tencent r Bull CBBC aug 2018 P 80,000,000 2018/05/23 2018/08/30 20.0064182 sg issuer – tencent r Bull CBBC aug 2018 U 80,000,000 2018/05/23 2018/08/31 20.0064221 sg issuer – tencent r Bull CBBC aug 2018 V 80,000,000 2018/05/23 2018/08/31 20.0064227 sg issuer – tencent r Bull CBBC sep 2018 B 80,000,000 2018/05/23 2018/09/05 20.0064190 sg issuer – tencent r Bull CBBC sep 2018 M 80,000,000 2018/05/23 2018/09/06 20.0064226 sg issuer – tencent r Bull CBBC sep 2018 N 80,000,000 2018/05/23 2018/09/04 20.0064225 sg issuer – tencent r Bear CBBC sep 2018 r 80,000,000 2018/05/23 2018/09/03 20.0063939 UBs ag – a50 China r Bull CBBC Oct 2018 e 50,000,000 2018/05/23 2018/10/22 12.5063937 UBs ag – HsCei r Bull CBBC Oct 2019 F 100,000,000 2018/05/23 2019/10/30 25.0063897 UBs ag – Hsi r Bull CBBC Oct 2019 J 250,000,000 2018/05/23 2019/10/30 62.5063903 UBs ag – Hsi r Bull CBBC Nov 2019 F 250,000,000 2018/05/23 2019/11/28 62.5063884 UBs ag – Hsi r Bull CBBC Nov 2019 N 250,000,000 2018/05/23 2019/11/28 62.5063904 UBs ag – Hsi r Bull CBBC Dec 2019 H 250,000,000 2018/05/23 2019/12/30 62.5063915 UBs ag – Hsi r Bull CBBC Dec 2019 i 200,000,000 2018/05/23 2019/12/30 50.0063947 UBs ag – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/23 2018/08/30 50.0063955 UBs ag – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/05/23 2018/08/30 50.0063971 UBs ag – Hsi r Bear CBBC aug 2018 Y 200,000,000 2018/05/23 2018/08/30 50.0063942 UBs ag – Hsi r Bear CBBC sep 2018 a 250,000,000 2018/05/23 2018/09/27 62.5063959 UBs ag – tencent r Bear CBBC aug 2018 i 30,000,000 2018/05/23 2018/08/27 10.2063865 Bank Vontobel – HkeX r Bull CBBC Oct 2018 C 40,000,000 2018/05/23 2018/10/12 10.2063866 Bank Vontobel – Ping an r Bull CBBC Oct 2018 C 40,000,000 2018/05/23 2018/10/19 10.1663863 Bank Vontobel – tencent r Bull CBBC Dec 2018 g 40,000,000 2018/05/23 2018/12/07 10.2464017 Bank Vontobel – tencent r Bear CBBC sep 2018 B 40,000,000 2018/05/23 2018/09/14 10.0864362 Credit suisse ag – CNOOC r Bull CBBC Dec 2018 D 50,000,000 2018/05/24 2018/12/21 12.5064359 Credit suisse ag – HkeX r Bear CBBC Dec 2018 C 50,000,000 2018/05/24 2018/12/28 12.5064353 Credit suisse ag – Hsi r Bull CBBC sep 2019 l 200,000,000 2018/05/24 2019/09/27 50.0064352 Credit suisse ag – Hsi r Bull CBBC sep 2019 M 200,000,000 2018/05/24 2019/09/27 50.0064356 Credit suisse ag – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/05/24 2019/12/30 50.0064368 Credit suisse ag – Hsi r Bear CBBC aug 2018 V 200,000,000 2018/05/24 2018/08/30 50.0064370 Credit suisse ag – Hsi r Bear CBBC aug 2018 W 200,000,000 2018/05/24 2018/08/30 50.0064357 Credit suisse ag – tencent r Bull CBBC Dec 2018 t 50,000,000 2018/05/24 2018/12/14 12.5064400 goldman sachs sP (asia) – galaxy ent r Bull CBBC Feb 2019 a 100,000,000 2018/05/24 2019/02/25 25.0064229 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/05/24 2019/11/28 50.0064241 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/05/24 2019/11/28 50.0064350 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/05/24 2018/09/27 50.0064324 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 H 100,000,000 2018/05/24 2018/11/30 25.00




64325 Hk Bank – Hsi r Bull CBBC Mar 2019 F 100,000,000 2018/05/24 2019/03/28 25.0064245 Hk Bank – Hsi r Bull CBBC Mar 2019 H 100,000,000 2018/05/24 2019/03/28 25.0064327 Hk Bank – Hsi r Bear CBBC sep 2018 Q 150,000,000 2018/05/24 2018/09/27 37.5064336 Hk Bank – Ping an r Bull CBBC Dec 2018 B 100,000,000 2018/05/24 2018/12/24 25.0064330 Hk Bank – sunny Optical r Bull CBBC Nov 2018 C 40,000,000 2018/05/24 2018/11/26 10.0064246 Hk Bank – tencent r Bull CBBC Nov 2018 l 60,000,000 2018/05/24 2018/11/05 15.0064392 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/05/24 2018/08/30 50.0064391 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Z 200,000,000 2018/05/24 2018/08/30 50.0064390 J P Morgan sP BV – tencent r Bear CBBC sep 2018 e 50,000,000 2018/05/24 2018/09/14 12.5064340 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 e 13,500,000 2018/05/24 2018/12/14 10.0264347 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 F 2,100,000 2018/05/24 2018/12/14 10.0264341 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 e 13,100,000 2018/05/24 2018/12/14 10.0364490 sg issuer – galaxy ent r Bull CBBC Oct 2018 g 80,000,000 2018/05/24 2018/10/31 20.0064484 sg issuer – HkeX r Bear CBBC sep 2018 J 50,000,000 2018/05/24 2018/09/21 12.5064474 sg issuer – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/05/24 2019/10/30 50.0064489 sg issuer – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/24 2018/08/30 50.0064476 sg issuer – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/05/24 2018/09/27 50.0064480 sg issuer – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/05/24 2018/10/30 50.0064481 sg issuer – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/05/24 2018/10/30 50.0064487 sg issuer – Ping an r Bull CBBC Oct 2018 U 100,000,000 2018/05/24 2018/10/24 25.0064495 sg issuer – sunny Optical r Bear CBBC Dec 2018 a 40,000,000 2018/05/24 2018/12/28 10.0064452 sg issuer – tencent r Bull CBBC aug 2018 F 80,000,000 2018/05/24 2018/08/30 20.0064455 sg issuer – tencent r Bull CBBC aug 2018 l 80,000,000 2018/05/24 2018/08/31 20.0064458 sg issuer – tencent r Bull CBBC sep 2018 F 80,000,000 2018/05/24 2018/09/03 20.0064470 sg issuer – tencent r Bull CBBC sep 2018 t 80,000,000 2018/05/24 2018/09/04 20.0064488 sg issuer – tencent r Bear CBBC aug 2018 Z 80,000,000 2018/05/24 2018/08/31 20.0064373 UBs ag – Hsi r Bull CBBC Oct 2019 W 250,000,000 2018/05/24 2019/10/30 62.5064380 UBs ag – Hsi r Bear CBBC aug 2018 W 200,000,000 2018/05/24 2018/08/30 50.0064387 UBs ag – Hsi r Bear CBBC aug 2018 X 250,000,000 2018/05/24 2018/08/30 62.5064377 UBs ag – Hsi r Bear CBBC sep 2018 B 250,000,000 2018/05/24 2018/09/27 62.5064381 UBs ag – Hsi r Bear CBBC sep 2018 C 250,000,000 2018/05/24 2018/09/27 62.5064386 UBs ag – NCi r Bull CBBC Jan 2019 a 50,000,000 2018/05/24 2019/01/28 12.5064375 UBs ag – tencent r Bull CBBC aug 2018 F 30,000,000 2018/05/24 2018/08/27 10.2064288 Bank Vontobel – CC Bank r Bull CBBC Oct 2018 a 40,000,000 2018/05/24 2018/10/19 10.1264290 Bank Vontobel – CC Bank r Bull CBBC Oct 2018 B 40,000,000 2018/05/24 2018/10/19 10.1664291 Bank Vontobel – CC Bank r Bear CBBC Nov 2018 a 40,000,000 2018/05/24 2018/11/16 10.0864305 Bank Vontobel – CC Bank r Bear CBBC Nov 2018 B 40,000,000 2018/05/24 2018/11/16 10.2064278 Bank Vontobel – Hsi r Bull CBBC Dec 2018 Y 100,000,000 2018/05/24 2018/12/28 25.5064283 Bank Vontobel – Hsi r Bull CBBC Jan 2019 a 100,000,000 2018/05/24 2019/01/30 25.4064284 Bank Vontobel – Hsi r Bear CBBC Nov 2018 g 100,000,000 2018/05/24 2018/11/29 25.3064272 Bank Vontobel – tencent r Bull CBBC Dec 2018 H 40,000,000 2018/05/24 2018/12/07 10.1264499 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 V 100,000,000 2018/05/25 2018/11/29 25.0064497 BNP Paribas issuance B.V. – Ping an r Bear CBBC Nov 2018 g 200,000,000 2018/05/25 2018/11/29 50.0064496 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 J 50,000,000 2018/05/25 2018/11/29 17.5064632 Credit suisse ag – aBC r Bull CBBC Nov 2018 B 70,000,000 2018/05/25 2018/11/29 17.50




64628 Credit suisse ag – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/05/25 2019/12/30 50.0064629 Credit suisse ag – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/05/25 2018/08/30 50.0064635 Credit suisse ag – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/05/25 2018/09/27 50.0064640 Credit suisse ag – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/05/25 2018/10/30 50.0064630 Credit suisse ag – tencent r Bull CBBC Dec 2018 U 50,000,000 2018/05/25 2018/12/21 12.5064694 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 C 100,000,000 2018/05/25 2018/12/31 25.0064699 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 s 100,000,000 2018/05/25 2018/12/21 25.0064664 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 F 200,000,000 2018/05/25 2019/11/28 50.0064655 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/05/25 2018/09/27 50.0064697 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 i 100,000,000 2018/05/25 2018/11/30 25.0064690 goldman sachs sP (asia) – tencent r Bear CBBC Nov 2018 B 80,000,000 2018/05/25 2018/11/30 20.0064546 Hk Bank – aaC tech r Bull CBBC Nov 2018 D 40,000,000 2018/05/25 2018/11/19 10.0064545 Hk Bank – galaxy ent r Bull CBBC Nov 2018 C 80,000,000 2018/05/25 2018/11/05 20.0064538 Hk Bank – Hsi r Bull CBBC Mar 2019 g 100,000,000 2018/05/25 2019/03/28 25.0064544 Hk Bank – Hsi r Bear CBBC sep 2018 O 100,000,000 2018/05/25 2018/09/27 25.0064535 Hk Bank – tencent r Bull CBBC Nov 2018 M 60,000,000 2018/05/25 2018/11/01 15.0064547 Hk Bank – tencent r Bull CBBC Nov 2018 N 60,000,000 2018/05/25 2018/11/12 21.0064537 Hk Bank – tencent r Bear CBBC Oct 2018 t 50,000,000 2018/05/25 2018/10/29 12.5064523 Haitong int’l sec – China Mobile r Bull CBBC Nov 2018 B 110,000,000 2018/05/25 2018/11/12 27.5064508 Haitong int’l sec – COVs r Bull CBBC Nov 2018 a 40,000,000 2018/05/25 2018/11/12 11.1264521 Haitong int’l sec – CC Bank r Bull CBBC Nov 2018 a 100,000,000 2018/05/25 2018/11/12 25.0064517 Haitong int’l sec – CNOOC r Bull CBBC Nov 2018 C 60,000,000 2018/05/25 2018/11/12 15.0064504 Haitong int’l sec – HkeX r Bull CBBC Nov 2018 B 40,000,000 2018/05/25 2018/11/09 10.0064507 Haitong int’l sec – HkeX r Bull CBBC Nov 2018 C 40,000,000 2018/05/25 2018/11/12 10.0064524 Haitong int’l sec – Ping an r Bull CBBC Nov 2018 C 25,000,000 2018/05/25 2018/11/09 10.6364527 Haitong int’l sec – sunny Optical r Bull CBBC Nov 2018 C 60,000,000 2018/05/25 2018/11/13 15.0064512 Haitong int’l sec – tencent r Bull CBBC Nov 2018 D 40,000,000 2018/05/25 2018/11/12 10.0064513 Haitong int’l sec – tencent r Bull CBBC Nov 2018 e 40,000,000 2018/05/25 2018/11/13 10.0064574 J P Morgan sP BV – HkeX r Bear CBBC sep 2018 a 40,000,000 2018/05/25 2018/09/14 10.0064585 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 l 200,000,000 2018/05/25 2018/08/30 50.0064571 J P Morgan sP BV – tencent r Bull CBBC sep 2018 g 50,000,000 2018/05/25 2018/09/14 12.5064549 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 g 13,000,000 2018/05/25 2018/12/14 10.0864550 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 F 12,100,000 2018/05/25 2018/12/14 10.0164591 sg issuer – CNOOC r Bull CBBC Nov 2018 C 40,000,000 2018/05/25 2018/11/28 10.0064595 sg issuer – CNOOC r Bear CBBC Dec 2018 C 40,000,000 2018/05/25 2018/12/21 10.0064588 sg issuer – Hsi r Bull CBBC aug 2019 t 200,000,000 2018/05/25 2019/08/29 50.0064613 sg issuer – Hsi r Bull CBBC sep 2019 H 200,000,000 2018/05/25 2019/09/27 50.0064627 sg issuer – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/05/25 2019/10/30 50.0064625 sg issuer – Hsi r Bear CBBC Nov 2018 F 200,000,000 2018/05/25 2018/11/29 50.0064626 sg issuer – Hsi r Bear CBBC Nov 2018 g 200,000,000 2018/05/25 2018/11/29 50.0064602 sg issuer – sands China r Bull CBBC Feb 2019 a 60,000,000 2018/05/25 2019/02/11 15.0064615 sg issuer – tencent r Bull CBBC sep 2018 Q 80,000,000 2018/05/25 2018/09/04 20.0064617 sg issuer – tencent r Bull CBBC sep 2018 s 80,000,000 2018/05/25 2018/09/06 20.0064598 sg issuer – tencent r Bear CBBC aug 2018 a 80,000,000 2018/05/25 2018/08/31 20.4064603 sg issuer – tencent r Bear CBBC aug 2018 B 80,000,000 2018/05/25 2018/08/31 20.00




64600 sg issuer – tencent r Bear CBBC sep 2018 s 80,000,000 2018/05/25 2018/09/28 25.2064557 UBs ag – Hsi r Bull CBBC sep 2019 C 250,000,000 2018/05/25 2019/09/27 62.5064563 UBs ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/25 2018/08/30 50.0064553 UBs ag – tencent r Bull CBBC sep 2018 Q 30,000,000 2018/05/25 2018/09/21 10.2064551 UBs ag – tencent r Bear CBBC aug 2018 J 30,000,000 2018/05/25 2018/08/29 10.2064500 Bank Vontobel – tencent r Bull CBBC Dec 2018 i 40,000,000 2018/05/25 2018/12/07 10.2064767 BOCi asia ltd. – CC Bank r Bear CBBC sep 2018 a 70,000,000 2018/05/28 2018/09/28 17.5064761 BOCi asia ltd. – tencent r Bear CBBC sep 2018 a 40,000,000 2018/05/28 2018/09/28 10.0864828 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/05/28 2019/12/30 62.5064702 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 U 250,000,000 2018/05/28 2018/12/28 62.5064824 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 V 250,000,000 2018/05/28 2018/12/28 62.5064806 Credit suisse ag – Hsi r Bull CBBC Nov 2019 B 200,000,000 2018/05/28 2019/11/28 50.0064797 Credit suisse ag – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/05/28 2019/11/28 50.0064801 Credit suisse ag – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/05/28 2018/08/30 50.0064798 Credit suisse ag – Hsi r Bear CBBC aug 2018 Z 200,000,000 2018/05/28 2018/08/30 50.0064805 Credit suisse ag – PetroChina r Bull CBBC Dec 2018 D 50,000,000 2018/05/28 2018/12/20 12.5064800 Credit suisse ag – Ping an r Bull CBBC Dec 2018 W 80,000,000 2018/05/28 2018/12/21 20.0064803 Credit suisse ag – tencent r Bull CBBC Dec 2018 V 50,000,000 2018/05/28 2018/12/28 12.5064869 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Dec 2018 e 100,000,000 2018/05/28 2018/12/03 25.0064870 goldman sachs sP (asia) – HkeX r Bull CBBC Nov 2018 U 100,000,000 2018/05/28 2018/11/30 25.0064859 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/05/28 2019/12/30 50.0064703 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/05/28 2018/09/27 50.0064760 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 J 100,000,000 2018/05/28 2018/11/30 25.0064860 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 a 100,000,000 2018/05/28 2019/02/27 25.0064746 Hk Bank – Country garden r Bull CBBC Nov 2018 g 40,000,000 2018/05/28 2018/11/19 10.0064723 Hk Bank – CNOOC r Bull CBBC Oct 2018 O 50,000,000 2018/05/28 2018/10/15 12.5064745 Hk Bank – CNOOC r Bear CBBC Nov 2018 C 40,000,000 2018/05/28 2018/11/26 10.0064715 Hk Bank – sinopec Corp r Bull CBBC Nov 2018 C 80,000,000 2018/05/28 2018/11/19 20.0064734 Hk Bank – Hsi r Bull CBBC Mar 2019 i 100,000,000 2018/05/28 2019/03/28 25.0064735 Hk Bank – Hsi r Bear CBBC sep 2018 r 100,000,000 2018/05/28 2018/09/27 25.0064712 Hk Bank – PetroChina r Bull CBBC Oct 2018 O 80,000,000 2018/05/28 2018/10/29 20.0064710 Hk Bank – tencent r Bull CBBC Oct 2018 H 60,000,000 2018/05/28 2018/10/04 15.0064855 J P Morgan sP BV – HkeX r Bull CBBC sep 2018 C 40,000,000 2018/05/28 2018/09/14 10.0064829 J P Morgan sP BV – HsCei r Bear CBBC apr 2019 B 100,000,000 2018/05/28 2019/04/29 25.0064830 J P Morgan sP BV – HsCei r Bear CBBC apr 2019 C 100,000,000 2018/05/28 2019/04/29 25.0064833 J P Morgan sP BV – HsCei r Bear CBBC apr 2019 D 100,000,000 2018/05/28 2019/04/29 25.0064848 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/28 2018/08/30 50.0064834 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/05/28 2018/08/30 50.0064835 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 X 200,000,000 2018/05/28 2018/08/30 50.0064853 J P Morgan sP BV – tencent r Bear CBBC sep 2018 F 50,000,000 2018/05/28 2018/09/14 12.5064753 Macquarie Bank ltd. – tencent r Bull CBBC sep 2018 H 20,900,000 2018/05/28 2018/09/14 10.0364768 Macquarie Bank ltd. – tencent r Bull CBBC sep 2018 i 22,100,000 2018/05/28 2018/09/20 10.0364788 sg issuer – HkeX r Bull CBBC sep 2018 s 50,000,000 2018/05/28 2018/09/27 12.5064796 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/05/28 2019/11/28 50.0064769 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/05/28 2018/09/27 50.00




64776 sg issuer – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/05/28 2018/09/27 50.0064782 sg issuer – PetroChina r Bear CBBC Dec 2018 B 40,000,000 2018/05/28 2018/12/28 10.0064787 sg issuer – tencent r Bull CBBC aug 2018 N 80,000,000 2018/05/28 2018/08/31 20.0064791 sg issuer – tencent r Bull CBBC sep 2018 C 80,000,000 2018/05/28 2018/09/14 20.0064792 sg issuer – tencent r Bear CBBC sep 2018 t 80,000,000 2018/05/28 2018/09/28 21.2064815 UBs ag – CNOOC r Bull CBBC Nov 2018 D 40,000,000 2018/05/28 2018/11/19 10.0064821 UBs ag – Hsi r Bull CBBC Oct 2018 l 250,000,000 2018/05/28 2018/10/30 62.5064807 UBs ag – Hsi r Bear CBBC aug 2018 U 250,000,000 2018/05/28 2018/08/30 62.5064817 UBs ag – Petrochina r Bull CBBC Nov 2018 F 60,000,000 2018/05/28 2018/11/14 15.0064819 UBs ag – Petrochina r Bull CBBC Nov 2018 g 60,000,000 2018/05/28 2018/11/21 15.0064820 UBs ag – Petrochina r Bear CBBC Oct 2018 C 40,000,000 2018/05/28 2018/10/22 10.0064809 UBs ag – tencent r Bull CBBC sep 2018 r 30,000,000 2018/05/28 2018/09/04 10.2064812 UBs ag – tencent r Bull CBBC sep 2018 s 30,000,000 2018/05/28 2018/09/18 10.2064913 BOCi asia ltd. – HkeX r Bull CBBC sep 2018 C 40,000,000 2018/05/29 2018/09/21 10.0064906 BOCi asia ltd. – HsBC r Bull CBBC sep 2018 a 70,000,000 2018/05/29 2018/09/28 17.5064909 BOCi asia ltd. – HsBC r Bear CBBC sep 2018 a 70,000,000 2018/05/29 2018/09/27 17.6464915 BOCi asia ltd. – Ping an r Bull CBBC sep 2018 B 70,000,000 2018/05/29 2018/09/26 17.5764910 BOCi asia ltd. – tencent r Bull CBBC sep 2018 a 40,000,000 2018/05/29 2018/09/28 16.9264916 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 a 250,000,000 2018/05/29 2019/12/30 62.5064921 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 B 250,000,000 2018/05/29 2019/12/30 62.5064923 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 C 250,000,000 2018/05/29 2019/12/30 62.5064925 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 t 250,000,000 2018/05/29 2019/12/30 62.5064929 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 e 250,000,000 2018/05/29 2018/12/28 62.5064934 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 F 250,000,000 2018/05/29 2018/12/28 62.5064935 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 g 250,000,000 2018/05/29 2018/12/28 62.5064943 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 H 250,000,000 2018/05/29 2018/12/28 62.5064945 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 i 250,000,000 2018/05/29 2018/12/28 62.5064946 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 J 250,000,000 2018/05/29 2018/12/28 62.5064947 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 k 250,000,000 2018/05/29 2018/12/28 62.5064948 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 l 250,000,000 2018/05/29 2018/12/28 62.5064951 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 M 250,000,000 2018/05/29 2018/12/28 67.5064953 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 N 250,000,000 2018/05/29 2018/12/28 80.0064872 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 W 250,000,000 2018/05/29 2018/12/28 62.5064873 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 X 250,000,000 2018/05/29 2018/12/28 62.5064880 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 Y 250,000,000 2018/05/29 2018/12/28 62.5064928 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 Z 250,000,000 2018/05/29 2018/12/28 62.5065028 Credit suisse ag – aia r Bull CBBC Jan 2019 D 70,000,000 2018/05/29 2019/01/30 17.5065022 Credit suisse ag – sinopec Corp r Bull CBBC Jan 2019 B 60,000,000 2018/05/29 2019/01/30 15.0065024 Credit suisse ag – HsBC r Bull CBBC Dec 2018 i 80,000,000 2018/05/29 2018/12/14 20.0065014 Credit suisse ag – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/05/29 2019/11/28 50.0065015 Credit suisse ag – Hsi r Bull CBBC Nov 2019 D 200,000,000 2018/05/29 2019/11/28 50.0065016 Credit suisse ag – Hsi r Bull CBBC Nov 2019 e 200,000,000 2018/05/29 2019/11/28 50.0065000 Credit suisse ag – Hsi r Bear CBBC aug 2018 J 200,000,000 2018/05/29 2018/08/30 50.0065006 Credit suisse ag – Hsi r Bear CBBC aug 2018 k 200,000,000 2018/05/29 2018/08/30 50.0064998 Credit suisse ag – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/05/29 2018/09/27 50.00




65007 Credit suisse ag – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/05/29 2018/10/30 50.0065021 Credit suisse ag – PetroChina r Bull CBBC Nov 2018 e 50,000,000 2018/05/29 2018/11/29 12.5065032 Credit suisse ag – sands China r Bull CBBC Jan 2019 B 50,000,000 2018/05/29 2019/01/18 12.5065074 Credit suisse ag – tencent r Bull CBBC Dec 2018 W 50,000,000 2018/05/29 2018/12/13 12.5064995 Bank of east asia – aaC tech r Bull CBBC Feb 2019 a 40,000,000 2018/05/29 2019/02/19 10.0064985 Bank of east asia – aia r Bull CBBC Feb 2019 a 40,000,000 2018/05/29 2019/02/19 10.0064994 Bank of east asia – HkeX r Bull CBBC Feb 2019 B 40,000,000 2018/05/29 2019/02/19 10.0064977 Bank of east asia – Ping an r Bull CBBC Feb 2019 a 120,000,000 2018/05/29 2019/02/19 30.0064989 Bank of east asia – tencent r Bull CBBC Feb 2019 C 30,000,000 2018/05/29 2019/02/19 10.5064991 Bank of east asia – tencent r Bull CBBC Feb 2019 D 30,000,000 2018/05/29 2019/02/19 10.5065056 goldman sachs sP (asia) – CC Bank r Bull CBBC Feb 2019 a 100,000,000 2018/05/29 2019/02/27 25.0065055 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 D 100,000,000 2018/05/29 2018/12/31 25.0065034 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 s 200,000,000 2018/05/29 2020/01/30 50.0065040 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 t 200,000,000 2018/05/29 2020/01/30 50.0065043 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 U 200,000,000 2018/05/29 2020/01/30 50.0064894 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/05/29 2018/10/30 50.0064895 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 i 200,000,000 2018/05/29 2018/10/30 50.0064898 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/05/29 2018/10/30 50.0064902 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/05/29 2018/10/30 50.0065048 goldman sachs sP (asia) – Ping an r Bull CBBC Jan 2019 a 100,000,000 2018/05/29 2019/01/31 25.0065046 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 k 100,000,000 2018/05/29 2018/11/30 25.0065057 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 l 100,000,000 2018/05/29 2018/11/30 25.0065128 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 P 80,000,000 2018/05/29 2018/12/31 20.0064961 Hk Bank – aaC tech r Bull CBBC Nov 2018 e 40,000,000 2018/05/29 2018/11/05 10.0064954 Hk Bank – sinopec Corp r Bear CBBC Oct 2018 C 40,000,000 2018/05/29 2018/10/29 10.0064966 Hk Bank – galaxy ent r Bull CBBC Nov 2018 D 80,000,000 2018/05/29 2018/11/12 20.0064967 Hk Bank – HkeX r Bull CBBC Oct 2018 k 50,000,000 2018/05/29 2018/10/04 12.5064963 Hk Bank – Hsi r Bull CBBC Mar 2019 J 150,000,000 2018/05/29 2019/03/28 37.5064964 Hk Bank – Hsi r Bear CBBC sep 2018 Z 100,000,000 2018/05/29 2018/09/27 25.0064968 Hk Bank – tencent r Bull CBBC Nov 2018 O 60,000,000 2018/05/29 2018/11/08 15.0065112 J P Morgan sP BV – aia r Bull CBBC sep 2018 C 100,000,000 2018/05/29 2018/09/14 25.0065111 J P Morgan sP BV – HkeX r Bull CBBC sep 2018 D 40,000,000 2018/05/29 2018/09/14 10.0065108 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 Q 200,000,000 2018/05/29 2019/10/30 50.0065110 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/05/29 2019/11/28 50.0065104 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Y 200,000,000 2018/05/29 2019/11/28 50.0065109 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/29 2019/12/30 50.0065103 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/05/29 2019/12/30 50.0065078 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 D 200,000,000 2018/05/29 2018/08/30 50.0065091 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 k 200,000,000 2018/05/29 2018/08/30 60.0065075 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/29 2018/08/30 50.0065077 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 r 200,000,000 2018/05/29 2018/08/30 50.0065080 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/29 2018/08/30 50.0065084 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 U 200,000,000 2018/05/29 2018/08/30 60.0065081 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/05/29 2018/09/27 60.0064971 Macquarie Bank ltd. – tencent r Bull CBBC sep 2018 J 23,700,000 2018/05/29 2018/09/14 10.03




65064 sg issuer – aaC tech r Bull CBBC Dec 2018 e 40,000,000 2018/05/29 2018/12/06 10.0065060 sg issuer – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/05/29 2019/10/30 50.0065061 sg issuer – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/05/29 2019/12/30 50.0064882 sg issuer – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/29 2018/08/30 50.0064885 sg issuer – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/29 2018/08/30 50.0064891 sg issuer – Hsi r Bear CBBC Oct 2018 a 200,000,000 2018/05/29 2018/10/30 50.0064892 sg issuer – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/05/29 2018/10/30 50.0064886 sg issuer – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/05/29 2018/10/30 50.0064887 sg issuer – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/05/29 2018/10/30 50.0064889 sg issuer – Hsi r Bear CBBC Oct 2018 r 200,000,000 2018/05/29 2018/10/30 50.0065072 sg issuer – PetroChina r Bull CBBC Nov 2018 H 40,000,000 2018/05/29 2018/11/08 10.0065067 sg issuer – tencent r Bull CBBC aug 2018 W 80,000,000 2018/05/29 2018/08/31 20.0065066 sg issuer – tencent r Bull CBBC sep 2018 O 80,000,000 2018/05/29 2018/09/10 20.0065070 sg issuer – tencent r Bear CBBC sep 2018 U 80,000,000 2018/05/29 2018/09/06 20.0065125 UBs ag – CsOP a50 etF r Bull CBBC Oct 2018 J 50,000,000 2018/05/29 2018/10/25 12.5065121 UBs ag – Hsi r Bull CBBC Oct 2019 X 250,000,000 2018/05/29 2019/10/30 62.5065122 UBs ag – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/05/29 2019/11/28 50.0065124 UBs ag – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/05/29 2019/12/30 50.0065118 UBs ag – Hsi r Bear CBBC aug 2018 D 200,000,000 2018/05/29 2018/08/30 50.0065115 UBs ag – Hsi r Bear CBBC aug 2018 F 200,000,000 2018/05/29 2018/08/30 50.0065117 UBs ag – Hsi r Bear CBBC aug 2018 g 250,000,000 2018/05/29 2018/08/30 62.5065177 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 M 250,000,000 2018/05/30 2019/12/30 62.5065155 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Y 250,000,000 2018/05/30 2019/12/30 62.5065178 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 O 250,000,000 2018/05/30 2018/12/28 62.5065180 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 P 250,000,000 2018/05/30 2018/12/28 62.5065181 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 Q 250,000,000 2018/05/30 2018/12/28 62.5065286 Credit suisse ag – Hsi r Bull CBBC sep 2019 N 200,000,000 2018/05/30 2019/09/27 50.0065266 Credit suisse ag – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/05/30 2019/10/30 50.0065267 Credit suisse ag – Hsi r Bull CBBC Oct 2019 g 200,000,000 2018/05/30 2019/10/30 50.0065291 Credit suisse ag – Hsi r Bull CBBC Nov 2019 F 200,000,000 2018/05/30 2019/11/28 50.0065272 Credit suisse ag – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/05/30 2019/12/30 50.0065295 Credit suisse ag – Hsi r Bear CBBC aug 2018 g 200,000,000 2018/05/30 2018/08/30 50.0065298 Credit suisse ag – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/30 2018/08/30 50.0065303 Credit suisse ag – Hsi r Bear CBBC aug 2018 N 200,000,000 2018/05/30 2018/08/30 50.0065301 Credit suisse ag – Hsi r Bear CBBC aug 2018 s 200,000,000 2018/05/30 2018/08/30 50.0065294 Credit suisse ag – Hsi r Bear CBBC aug 2018 t 200,000,000 2018/05/30 2018/08/30 50.0065278 Credit suisse ag – Ping an r Bear CBBC Dec 2018 C 50,000,000 2018/05/30 2018/12/28 12.5065356 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Mar 2019 a 100,000,000 2018/05/30 2019/03/28 25.0065208 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 e 100,000,000 2018/05/30 2018/12/31 25.0065211 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 t 100,000,000 2018/05/30 2018/12/31 25.0065190 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 V 200,000,000 2018/05/30 2020/01/30 50.0065191 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 W 200,000,000 2018/05/30 2020/01/30 50.0065231 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 X 200,000,000 2018/05/30 2020/01/30 50.0065369 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 r 200,000,000 2018/05/30 2018/09/27 50.0065380 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/05/30 2018/09/27 50.00




65381 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/05/30 2018/09/27 50.0065205 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 F 100,000,000 2018/05/30 2018/12/31 25.0065209 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 M 100,000,000 2018/05/30 2018/11/30 25.0065161 Hk Bank – aBC r Bull CBBC Dec 2018 a 100,000,000 2018/05/30 2018/12/17 25.0065165 Hk Bank – aia r Bear CBBC Oct 2018 e 40,000,000 2018/05/30 2018/10/22 10.0065167 Hk Bank – CsOP a50 etF r Bear CBBC Oct 2018 a 40,000,000 2018/05/30 2018/10/02 10.0065172 Hk Bank – a50 China r Bear CBBC Oct 2018 a 40,000,000 2018/05/30 2018/10/02 10.0065170 Hk Bank – HsCei r Bear CBBC sep 2018 F 50,000,000 2018/05/30 2018/09/27 12.5065168 Hk Bank – Hsi r Bull CBBC Mar 2019 D 100,000,000 2018/05/30 2019/03/28 25.0065131 Hk Bank – Hsi r Bull CBBC Mar 2019 k 150,000,000 2018/05/30 2019/03/28 37.5065173 Hk Bank – Hsi r Bear CBBC sep 2018 g 150,000,000 2018/05/30 2018/09/27 37.5065162 Hk Bank – tencent r Bull CBBC Nov 2018 P 60,000,000 2018/05/30 2018/11/15 15.0065250 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 V 200,000,000 2018/05/30 2019/10/30 50.0065247 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/05/30 2019/11/28 50.0065238 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/05/30 2019/12/30 50.0065263 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 B 200,000,000 2018/05/30 2018/08/30 50.0065254 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Y 200,000,000 2018/05/30 2018/08/30 50.0065259 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/05/30 2018/09/27 50.0065264 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/05/30 2018/09/27 50.0065153 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 H 18,800,000 2018/05/30 2018/10/16 10.0465328 sg issuer – aBC r Bull CBBC Feb 2019 a 60,000,000 2018/05/30 2019/02/28 15.0065332 sg issuer – CC Bank r Bull CBBC Oct 2018 l 100,000,000 2018/05/30 2018/10/26 25.0065329 sg issuer – CC Bank r Bear CBBC sep 2018 g 80,000,000 2018/05/30 2018/09/27 20.0065312 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 O 40,000,000 2018/05/30 2018/11/09 10.0065313 sg issuer – a50 China r Bull CBBC Nov 2018 i 50,000,000 2018/05/30 2018/11/23 12.5065311 sg issuer – Hsi r Bull CBBC sep 2019 i 200,000,000 2018/05/30 2019/09/27 50.0065310 sg issuer – Hsi r Bull CBBC Oct 2019 D 200,000,000 2018/05/30 2019/10/30 50.0065306 sg issuer – Hsi r Bull CBBC Oct 2019 l 200,000,000 2018/05/30 2019/10/30 50.0065327 sg issuer – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/05/30 2019/11/28 50.0065308 sg issuer – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/05/30 2019/12/30 50.0065309 sg issuer – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/05/30 2019/12/30 50.0065320 sg issuer – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/05/30 2018/10/30 50.0065323 sg issuer – Hsi r Bear CBBC Dec 2018 F 200,000,000 2018/05/30 2018/12/28 50.0065337 sg issuer – iCBC r Bull CBBC Nov 2018 e 60,000,000 2018/05/30 2018/11/23 15.0065335 sg issuer – iCBC r Bear CBBC Oct 2018 D 60,000,000 2018/05/30 2018/10/22 15.0065314 sg issuer – Ping an r Bull CBBC Oct 2018 V 100,000,000 2018/05/30 2018/10/26 25.0065338 sg issuer – tencent r Bull CBBC aug 2018 O 80,000,000 2018/05/30 2018/08/31 20.0065316 sg issuer – tencent r Bull CBBC sep 2018 Y 80,000,000 2018/05/30 2018/09/12 20.0065355 UBs ag – aBC r Bull CBBC Dec 2018 a 40,000,000 2018/05/30 2018/12/19 10.0065343 UBs ag – Hsi r Bull CBBC Oct 2019 N 250,000,000 2018/05/30 2019/10/30 62.5065345 UBs ag – Hsi r Bull CBBC Oct 2019 U 250,000,000 2018/05/30 2019/10/30 62.5065344 UBs ag – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/05/30 2019/12/30 50.0065340 UBs ag – Hsi r Bull CBBC Dec 2019 M 250,000,000 2018/05/30 2019/12/30 62.5065348 UBs ag – Hsi r Bear CBBC aug 2018 H 200,000,000 2018/05/30 2018/08/30 50.0065351 UBs ag – Hsi r Bear CBBC aug 2018 Z 250,000,000 2018/05/30 2018/08/30 62.50




65350 UBs ag – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/05/30 2018/09/27 50.0065347 UBs ag – tencent r Bull CBBC sep 2018 U 30,000,000 2018/05/30 2018/09/26 10.2065150 Bank Vontobel – HkeX r Bull CBBC Oct 2018 D 40,000,000 2018/05/30 2018/10/19 10.1265132 Bank Vontobel – Hsi r Bull CBBC Jan 2019 B 100,000,000 2018/05/30 2019/01/30 25.4065138 Bank Vontobel – Hsi r Bull CBBC Jan 2019 C 100,000,000 2018/05/30 2019/01/30 25.0065139 Bank Vontobel – Hsi r Bear CBBC Nov 2018 H 100,000,000 2018/05/30 2018/11/29 25.1065141 Bank Vontobel – Hsi r Bear CBBC Nov 2018 i 100,000,000 2018/05/30 2018/11/29 25.1065187 Bank Vontobel – Hsi r Bear CBBC Nov 2018 J 100,000,000 2018/05/30 2018/11/29 25.5065144 Bank Vontobel – tencent r Bull CBBC Dec 2018 J 40,000,000 2018/05/30 2018/12/07 10.0865142 Bank Vontobel – tencent r Bear CBBC sep 2018 C 40,000,000 2018/05/30 2018/09/21 10.0465430 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 D 50,000,000 2018/05/31 2019/03/28 12.5065383 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/05/31 2019/12/30 62.5065495 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Q 250,000,000 2018/05/31 2019/12/30 62.5065419 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 i 50,000,000 2018/05/31 2018/09/27 12.5065423 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 C 50,000,000 2018/05/31 2018/11/29 12.5065461 Credit suisse ag – aia r Bear CBBC Jan 2019 D 50,000,000 2018/05/31 2019/01/24 12.5065464 Credit suisse ag – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/05/31 2019/11/28 50.0065466 Credit suisse ag – Hsi r Bull CBBC Dec 2019 H 200,000,000 2018/05/31 2019/12/30 50.0065443 Credit suisse ag – Hsi r Bear CBBC aug 2018 C 200,000,000 2018/05/31 2018/08/30 50.0065448 Credit suisse ag – Hsi r Bear CBBC aug 2018 M 200,000,000 2018/05/31 2018/08/30 50.0065450 Credit suisse ag – Hsi r Bear CBBC aug 2018 P 200,000,000 2018/05/31 2018/08/30 50.0065457 Credit suisse ag – tencent r Bull CBBC Dec 2018 X 50,000,000 2018/05/31 2018/12/28 12.5065418 goldman sachs sP (asia) – CC Bank r Bull CBBC Feb 2019 B 100,000,000 2018/05/31 2019/02/25 25.0065520 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/05/31 2019/11/28 50.0065522 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/05/31 2019/11/28 50.0065405 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 M 200,000,000 2018/05/31 2018/10/30 50.0065408 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/05/31 2018/10/30 50.0065416 goldman sachs sP (asia) – tencent r Bull CBBC Nov 2018 N 100,000,000 2018/05/31 2018/11/30 25.0065386 Hk Bank – China Overseas r Bull CBBC Nov 2018 C 40,000,000 2018/05/31 2018/11/12 10.0065391 Hk Bank – CC Bank r Bear CBBC Oct 2018 D 50,000,000 2018/05/31 2018/10/29 12.5065399 Hk Bank – CM Bank r Bull CBBC Mar 2019 a 100,000,000 2018/05/31 2019/03/11 25.0065388 Hk Bank – geely auto r Bear CBBC Oct 2018 H 40,000,000 2018/05/31 2018/10/15 12.0065398 Hk Bank – Hsi r Bear CBBC sep 2018 H 150,000,000 2018/05/31 2018/09/27 37.5065385 Hk Bank – tencent r Bull CBBC Nov 2018 Q 60,000,000 2018/05/31 2018/11/01 15.0065488 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 D 200,000,000 2018/05/31 2019/11/28 50.0065489 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 H 200,000,000 2018/05/31 2019/12/30 50.0065467 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 i 200,000,000 2018/05/31 2018/08/30 50.0065492 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 O 200,000,000 2018/05/31 2018/08/30 50.0065493 J P Morgan sP BV – Hsi r Bear CBBC aug 2018 Q 200,000,000 2018/05/31 2018/08/30 50.0065484 J P Morgan sP BV – PetroChina r Bull CBBC Oct 2018 C 100,000,000 2018/05/31 2018/10/19 25.0065476 J P Morgan sP BV – Ping an r Bull CBBC sep 2018 e 100,000,000 2018/05/31 2018/09/14 25.0065478 J P Morgan sP BV – Ping an r Bull CBBC Oct 2018 a 100,000,000 2018/05/31 2018/10/12 25.0065468 J P Morgan sP BV – tencent r Bull CBBC sep 2018 H 50,000,000 2018/05/31 2018/09/14 12.5065475 J P Morgan sP BV – tencent r Bear CBBC sep 2018 g 50,000,000 2018/05/31 2018/09/14 12.5065510 sg issuer – HsBC r Bull CBBC Nov 2018 Y 100,000,000 2018/05/31 2018/11/28 25.00




65516 sg issuer – HsCei r Bull CBBC Nov 2018 Y 100,000,000 2018/05/31 2018/11/29 25.0065500 sg issuer – Hsi r Bull CBBC sep 2019 J 200,000,000 2018/05/31 2019/09/27 50.0065506 sg issuer – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/05/31 2019/12/30 50.0065499 sg issuer – Hsi r Bear CBBC Nov 2018 X 200,000,000 2018/05/31 2018/11/29 50.0065505 sg issuer – Hsi r Bear CBBC Nov 2018 Y 200,000,000 2018/05/31 2018/11/29 50.0065511 sg issuer – Ping an r Bull CBBC Nov 2018 V 100,000,000 2018/05/31 2018/11/23 25.0065513 sg issuer – sands r Bear CBBC Nov 2018 a 60,000,000 2018/05/31 2018/11/28 15.0065501 sg issuer – tencent r Bull CBBC aug 2018 B 80,000,000 2018/05/31 2018/08/31 20.0065441 UBs ag – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/05/31 2019/11/28 50.0065432 UBs ag – Hsi r Bear CBBC sep 2018 e 250,000,000 2018/05/31 2018/09/27 62.5065433 UBs ag – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/05/31 2018/09/27 50.0065439 UBs ag – tencent r Bull CBBC sep 2018 V 30,000,000 2018/05/31 2018/09/12 10.2065579 BOCi asia ltd. – CC Bank r Bull CBBC Oct 2018 a 80,000,000 2018/06/01 2018/10/09 20.0865575 BOCi asia ltd. – HkeX r Bear CBBC Oct 2018 a 40,000,000 2018/06/01 2018/10/10 10.0465578 BOCi asia ltd. – HsBC r Bull CBBC Oct 2018 a 70,000,000 2018/06/01 2018/10/26 17.7165559 BOCi asia ltd. – tencent r Bull CBBC Oct 2018 a 40,000,000 2018/06/01 2018/10/11 10.4065562 BOCi asia ltd. – tencent r Bear CBBC Oct 2018 a 40,000,000 2018/06/01 2018/10/12 10.2065582 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 r 250,000,000 2018/06/01 2018/12/28 62.5065647 Credit suisse ag – HsCei r Bear CBBC sep 2018 C 100,000,000 2018/06/01 2018/09/27 25.0065629 Credit suisse ag – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/06/01 2019/10/30 50.0065627 Credit suisse ag – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/06/01 2019/11/28 50.0065637 Credit suisse ag – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/06/01 2018/09/27 50.0065639 Credit suisse ag – Hsi r Bear CBBC sep 2018 k 200,000,000 2018/06/01 2018/09/27 50.0065641 Credit suisse ag – Hsi r Bear CBBC sep 2018 r 200,000,000 2018/06/01 2018/09/27 50.0065645 Credit suisse ag – Hsi r Bear CBBC Oct 2019 a 200,000,000 2018/06/01 2019/10/30 50.0065631 Credit suisse ag – tencent r Bull CBBC Dec 2018 Y 50,000,000 2018/06/01 2018/12/21 12.5065636 Credit suisse ag – tencent r Bear CBBC Dec 2018 J 50,000,000 2018/06/01 2018/12/28 12.5065657 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 U 100,000,000 2018/06/01 2018/12/31 25.0065532 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/06/01 2019/11/28 50.0065533 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/06/01 2019/11/28 50.0065650 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 O 200,000,000 2018/06/01 2018/10/30 50.0065655 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/06/01 2018/10/30 50.0065535 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 B 100,000,000 2018/06/01 2019/02/27 25.0065549 Hk Bank – China Mobile r Bear CBBC Nov 2018 a 40,000,000 2018/06/01 2018/11/05 10.0065546 Hk Bank – sinopec Corp r Bear CBBC Nov 2018 a 40,000,000 2018/06/01 2018/11/05 10.0065536 Hk Bank – Hsi r Bull CBBC Mar 2019 l 150,000,000 2018/06/01 2019/03/28 37.5065551 Hk Bank – Hsi r Bear CBBC sep 2018 i 150,000,000 2018/06/01 2018/09/27 37.5065538 Hk Bank – PetroChina r Bear CBBC Nov 2018 a 40,000,000 2018/06/01 2018/11/12 10.0065552 Hk Bank – tencent r Bear CBBC Oct 2018 U 50,000,000 2018/06/01 2018/10/22 12.5065539 Hk Bank – tencent r Bear CBBC Nov 2018 D 50,000,000 2018/06/01 2018/11/05 15.0065621 J P Morgan sP BV – sinopec Corp r Bull CBBC sep 2018 B 100,000,000 2018/06/01 2018/09/14 25.0065616 J P Morgan sP BV – sinopec Corp r Bull CBBC Oct 2018 a 100,000,000 2018/06/01 2018/10/12 25.0065608 J P Morgan sP BV – Hsi r Bull CBBC Dec 2018 e 200,000,000 2018/06/01 2018/12/28 50.0065610 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/06/01 2019/12/30 50.0065612 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/06/01 2018/09/27 50.00




65615 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/06/01 2018/09/27 50.0065553 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 H 14,000,000 2018/06/01 2018/12/14 10.0465554 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 g 13,800,000 2018/06/01 2018/12/14 10.0365663 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 N 40,000,000 2018/06/01 2018/10/19 10.0065666 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 P 40,000,000 2018/06/01 2018/11/23 10.0065680 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 Q 40,000,000 2018/06/01 2018/11/30 10.0065662 sg issuer – CsOP a50 etF r Bear CBBC sep 2018 e 40,000,000 2018/06/01 2018/09/28 10.0065683 sg issuer – a50 China r Bull CBBC Oct 2018 C 50,000,000 2018/06/01 2018/10/26 12.5065684 sg issuer – a50 China r Bull CBBC Nov 2018 J 50,000,000 2018/06/01 2018/11/30 12.5065696 sg issuer – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/06/01 2019/10/30 50.0065659 sg issuer – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/06/01 2019/12/30 50.0065658 sg issuer – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/06/01 2018/10/30 50.0065699 sg issuer – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/06/01 2018/10/30 50.0065700 sg issuer – Hsi r Bear CBBC Nov 2018 e 200,000,000 2018/06/01 2018/11/29 50.0065686 sg issuer – sunny Optical r Bull CBBC Oct 2018 D 40,000,000 2018/06/01 2018/10/11 10.0065660 sg issuer – tencent r Bull CBBC aug 2018 C 80,000,000 2018/06/01 2018/08/31 20.0065693 sg issuer – tencent r Bull CBBC aug 2018 J 80,000,000 2018/06/01 2018/08/31 20.0065661 sg issuer – tencent r Bull CBBC sep 2018 Z 80,000,000 2018/06/01 2018/09/14 20.0065701 sg issuer – tencent r Bear CBBC sep 2018 V 80,000,000 2018/06/01 2018/09/14 20.0065583 UBs ag – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/06/01 2019/12/30 62.5065598 UBs ag – Hsi r Bear CBBC sep 2018 g 250,000,000 2018/06/01 2018/09/27 62.5065600 UBs ag – Hsi r Bear CBBC sep 2018 H 200,000,000 2018/06/01 2018/09/27 50.0065607 UBs ag – Hsi r Bear CBBC sep 2018 i 250,000,000 2018/06/01 2018/09/27 62.5065587 UBs ag – tencent r Bull CBBC sep 2018 W 30,000,000 2018/06/01 2018/09/07 10.2065592 UBs ag – tencent r Bull CBBC Oct 2018 D 15,000,000 2018/06/01 2018/10/15 10.0565593 UBs ag – tencent r Bull CBBC Oct 2018 e 30,000,000 2018/06/01 2018/10/22 11.8565595 UBs ag – tencent r Bear CBBC sep 2018 B 30,000,000 2018/06/01 2018/09/17 10.2065524 Bank Vontobel – tencent r Bull CBBC Dec 2018 k 40,000,000 2018/06/01 2018/12/07 10.0865530 Bank Vontobel – tencent r Bear CBBC sep 2018 D 40,000,000 2018/06/01 2018/09/21 10.0865723 Credit suisse ag – sinopec Corp r Bull CBBC Jan 2019 C 60,000,000 2018/06/04 2019/01/18 15.0065725 Credit suisse ag – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/06/04 2019/10/30 50.0065726 Credit suisse ag – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/06/04 2019/10/30 50.0065715 Credit suisse ag – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/06/04 2018/09/27 50.0065718 Credit suisse ag – Hsi r Bear CBBC Oct 2018 V 200,000,000 2018/06/04 2018/10/30 50.0065724 Credit suisse ag – Ping an r Bull CBBC Dec 2018 X 80,000,000 2018/06/04 2018/12/21 20.0065791 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 P 100,000,000 2018/06/04 2018/12/31 25.0065793 goldman sachs sP (asia) – galaxy ent r Bull CBBC Feb 2019 B 100,000,000 2018/06/04 2019/02/25 25.0065794 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 F 100,000,000 2018/06/04 2018/12/31 25.0065813 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/06/04 2019/11/28 50.0065804 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/06/04 2019/11/28 50.0065704 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/06/04 2018/10/30 50.0065702 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/06/04 2018/10/30 50.0065789 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 l 100,000,000 2018/06/04 2018/12/31 25.0065714 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/06/04 2019/12/30 50.0065712 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 X 200,000,000 2018/06/04 2018/09/27 50.00




65713 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/06/04 2018/09/27 50.0065745 sg issuer – aia r Bull CBBC Dec 2018 k 60,000,000 2018/06/04 2018/12/21 15.0065737 sg issuer – CNOOC r Bull CBBC Nov 2018 D 40,000,000 2018/06/04 2018/11/09 10.0065746 sg issuer – sinopec Corp r Bear CBBC Oct 2018 a 40,000,000 2018/06/04 2018/10/19 10.0065748 sg issuer – galaxy ent r Bull CBBC Nov 2018 J 80,000,000 2018/06/04 2018/11/23 20.0065749 sg issuer – HkeX r Bull CBBC Oct 2018 l 50,000,000 2018/06/04 2018/10/15 12.5065742 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/06/04 2019/11/28 50.0065732 sg issuer – Hsi r Bear CBBC Dec 2018 H 200,000,000 2018/06/04 2018/12/28 50.0065728 sg issuer – Hsi r Bear CBBC Dec 2018 i 200,000,000 2018/06/04 2018/12/28 50.0065751 sg issuer – PetroChina r Bull CBBC Nov 2018 i 40,000,000 2018/06/04 2018/11/19 10.0065754 sg issuer – PetroChina r Bull CBBC Dec 2018 e 40,000,000 2018/06/04 2018/12/10 10.0065757 sg issuer – tencent r Bull CBBC sep 2018 V 80,000,000 2018/06/04 2018/09/10 20.0065739 sg issuer – tencent r Bear CBBC sep 2018 W 80,000,000 2018/06/04 2018/09/20 20.0065709 UBs ag – a50 China r Bull CBBC sep 2018 e 50,000,000 2018/06/04 2018/09/10 12.5065705 UBs ag – Hsi r Bull CBBC Oct 2019 t 200,000,000 2018/06/04 2019/10/30 50.0065711 UBs ag – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/06/04 2019/11/28 50.0065707 UBs ag – Petrochina r Bull CBBC Nov 2018 H 60,000,000 2018/06/04 2018/11/21 15.0062861 # Credit suisse ag – geely auto r Bull CBBC Jun 2019 a 300,000,000 2018/06/04 2019/06/28 13.8063336 # Credit suisse ag – geely auto r Bull CBBC Jun 2019 B 300,000,000 2018/06/04 2019/06/21 10.8065830 BOCi asia ltd. – geely auto r Bull CBBC Oct 2018 a 40,000,000 2018/06/05 2018/10/15 10.0865835 BOCi asia ltd. – galaxy ent r Bull CBBC Oct 2018 a 50,000,000 2018/06/05 2018/10/15 12.7565834 BOCi asia ltd. – iCBC r Bull CBBC Oct 2018 a 80,000,000 2018/06/05 2018/10/15 20.2465829 BOCi asia ltd. – tencent r Bull CBBC Oct 2018 B 40,000,000 2018/06/05 2018/10/15 10.1265847 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/06/05 2019/12/30 62.5065850 BNP Paribas issuance B.V. – Hsi r Bear CBBC Dec 2018 s 250,000,000 2018/06/05 2018/12/28 62.5065931 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 g 50,000,000 2018/06/05 2019/01/30 12.5065920 Credit suisse ag – geely auto r Bull CBBC Jul 2019 a 100,000,000 2018/06/05 2019/07/31 25.0065914 Credit suisse ag – galaxy ent r Bull CBBC Dec 2018 B 50,000,000 2018/06/05 2018/12/28 12.5065909 Credit suisse ag – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/06/05 2019/11/28 50.0065904 Credit suisse ag – Hsi r Bull CBBC Dec 2019 i 200,000,000 2018/06/05 2019/12/30 50.0065933 Credit suisse ag – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/06/05 2018/10/30 50.0065919 Credit suisse ag – sunny Optical r Bull CBBC Jan 2019 B 40,000,000 2018/06/05 2019/01/18 10.0065846 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 H 100,000,000 2018/06/05 2018/12/21 25.0065872 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 k 200,000,000 2018/06/05 2019/11/28 50.0065969 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 r 200,000,000 2018/06/05 2018/10/30 50.0065844 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 B 100,000,000 2018/06/05 2018/12/31 25.0065856 J P Morgan sP BV – HkeX r Bear CBBC sep 2018 B 40,000,000 2018/06/05 2018/09/14 10.0065852 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 U 200,000,000 2018/06/05 2019/12/30 50.0065854 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/06/05 2018/09/27 50.0065857 J P Morgan sP BV – sunny Optical r Bull CBBC sep 2018 a 60,000,000 2018/06/05 2018/09/21 18.0065859 J P Morgan sP BV – sunny Optical r Bull CBBC sep 2018 B 60,000,000 2018/06/05 2018/09/14 15.0065863 J P Morgan sP BV – sunny Optical r Bear CBBC sep 2018 a 40,000,000 2018/06/05 2018/09/21 10.0065869 J P Morgan sP BV – sunny Optical r Bear CBBC sep 2018 B 40,000,000 2018/06/05 2018/09/14 10.0065855 J P Morgan sP BV – tencent r Bear CBBC sep 2018 H 40,000,000 2018/06/05 2018/09/14 10.0065956 sg issuer – CNOOC r Bear CBBC Oct 2018 B 40,000,000 2018/06/05 2018/10/15 10.00




65952 sg issuer – CPiC r Bull CBBC apr 2019 B 100,000,000 2018/06/05 2019/04/29 25.0065943 sg issuer – a50 China r Bull CBBC Dec 2018 a 50,000,000 2018/06/05 2018/12/04 12.5065944 sg issuer – Hsi r Bull CBBC sep 2019 k 200,000,000 2018/06/05 2019/09/27 50.0065951 sg issuer – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/06/05 2019/11/28 50.0065934 sg issuer – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/06/05 2019/12/30 50.0065945 sg issuer – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/06/05 2018/09/27 50.0065963 sg issuer – iCBC r Bull CBBC Nov 2018 F 60,000,000 2018/06/05 2018/11/26 15.0065965 sg issuer – PetroChina r Bear CBBC Oct 2018 C 40,000,000 2018/06/05 2018/10/12 10.0065967 sg issuer – sunny Optical r Bear CBBC Nov 2018 a 40,000,000 2018/06/05 2018/11/29 11.2065935 sg issuer – tencent r Bull CBBC sep 2018 J 80,000,000 2018/06/05 2018/09/07 20.0065896 UBs ag – aaC tech r Bull CBBC Oct 2018 B 40,000,000 2018/06/05 2018/10/08 10.0065894 UBs ag – CNOOC r Bull CBBC Oct 2018 J 40,000,000 2018/06/05 2018/10/22 10.0065881 UBs ag – geely auto r Bull CBBC Nov 2018 C 40,000,000 2018/06/05 2018/11/05 10.4065880 UBs ag – Hsi r Bull CBBC Nov 2019 g 250,000,000 2018/06/05 2019/11/28 62.5065897 UBs ag – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/06/05 2018/09/27 50.0065893 UBs ag – Petrochina r Bull CBBC Oct 2018 i 60,000,000 2018/06/05 2018/10/22 15.0065822 Bank Vontobel – Hsi r Bull CBBC Jan 2019 D 100,000,000 2018/06/05 2019/01/30 25.1065825 Bank Vontobel – Hsi r Bear CBBC Nov 2018 k 100,000,000 2018/06/05 2018/11/29 25.1065827 Bank Vontobel – Hsi r Bear CBBC Nov 2018 l 100,000,000 2018/06/05 2018/11/29 25.0066017 BOCi asia ltd. – HsBC r Bull CBBC Oct 2018 B 70,000,000 2018/06/06 2018/10/29 17.6466029 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 k 250,000,000 2018/06/06 2019/12/30 62.5066031 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 l 250,000,000 2018/06/06 2019/12/30 62.5066036 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 O 250,000,000 2018/06/06 2019/12/30 62.5066019 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 s 250,000,000 2018/06/06 2019/12/30 62.5066020 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 W 250,000,000 2018/06/06 2019/12/30 62.5066042 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 a 250,000,000 2018/06/06 2019/01/30 62.5066044 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 B 250,000,000 2018/06/06 2019/01/30 62.5066051 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 C 250,000,000 2018/06/06 2019/01/30 62.5066053 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 D 250,000,000 2018/06/06 2019/01/30 62.5066169 Credit suisse ag – aBC r Bull CBBC Dec 2018 B 70,000,000 2018/06/06 2018/12/28 17.5066156 Credit suisse ag – HkeX r Bear CBBC Dec 2018 D 50,000,000 2018/06/06 2018/12/28 12.5066186 Credit suisse ag – HsCei r Bear CBBC sep 2018 D 100,000,000 2018/06/06 2018/09/27 25.0066117 Credit suisse ag – Hsi r Bull CBBC Oct 2019 k 200,000,000 2018/06/06 2019/10/30 50.0066123 Credit suisse ag – Hsi r Bull CBBC Nov 2019 k 200,000,000 2018/06/06 2019/11/28 50.0066127 Credit suisse ag – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/06/06 2019/11/28 50.0066129 Credit suisse ag – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/06/06 2019/11/28 50.0066125 Credit suisse ag – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/06/06 2019/12/30 50.0066128 Credit suisse ag – Hsi r Bull CBBC Dec 2019 k 200,000,000 2018/06/06 2019/12/30 50.0066130 Credit suisse ag – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/06/06 2019/12/30 50.0066176 Credit suisse ag – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/06/06 2018/09/27 50.0066180 Credit suisse ag – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/06/06 2018/09/27 50.0066178 Credit suisse ag – Hsi r Bear CBBC Oct 2018 X 200,000,000 2018/06/06 2018/10/30 50.0066173 Credit suisse ag – Hsi r Bear CBBC sep 2019 a 200,000,000 2018/06/06 2019/09/27 50.0066174 Credit suisse ag – Hsi r Bear CBBC sep 2019 B 200,000,000 2018/06/06 2019/09/27 50.0066152 Credit suisse ag – Ping an r Bull CBBC Dec 2018 Y 80,000,000 2018/06/06 2018/12/28 20.00




66147 Credit suisse ag – tencent r Bull CBBC Dec 2018 Z 50,000,000 2018/06/06 2018/12/20 12.5066161 Credit suisse ag – tencent r Bear CBBC Dec 2018 k 50,000,000 2018/06/06 2018/12/14 12.5065971 Bank of east asia – tencent r Bull CBBC Feb 2019 e 30,000,000 2018/06/06 2019/02/19 10.5065979 goldman sachs sP (asia) – CC Bank r Bull CBBC Feb 2019 C 100,000,000 2018/06/06 2019/02/27 25.0066286 goldman sachs sP (asia) – China life r Bull CBBC Dec 2018 M 80,000,000 2018/06/06 2018/12/31 20.0065975 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 J 100,000,000 2018/06/06 2018/12/31 25.0065976 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 k 100,000,000 2018/06/06 2018/12/31 25.0065978 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 V 100,000,000 2018/06/06 2018/12/31 25.0066278 goldman sachs sP (asia) – HsCei r Bear CBBC sep 2018 C 200,000,000 2018/06/06 2018/09/27 50.0065984 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/06/06 2019/12/30 50.0065987 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 t 200,000,000 2018/06/06 2019/12/30 50.0065992 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 U 200,000,000 2018/06/06 2019/12/30 50.0065993 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 V 200,000,000 2018/06/06 2019/12/30 50.0065994 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/06/06 2019/12/30 50.0066273 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/06/06 2018/09/27 50.0066275 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/06/06 2018/10/30 50.0066277 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/06/06 2018/10/30 50.0065977 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 C 100,000,000 2018/06/06 2018/12/31 25.0066291 goldman sachs sP (asia) – Ping an r Bear CBBC Dec 2018 D 80,000,000 2018/06/06 2018/12/31 20.0065973 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 P 100,000,000 2018/06/06 2018/12/21 25.0065974 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 Q 100,000,000 2018/06/06 2018/12/31 25.0066283 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 Q 80,000,000 2018/06/06 2018/12/31 20.0066219 J P Morgan sP BV – HkeX r Bull CBBC sep 2018 e 40,000,000 2018/06/06 2018/09/21 10.0066220 J P Morgan sP BV – HkeX r Bull CBBC sep 2018 F 40,000,000 2018/06/06 2018/09/21 14.0066195 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 X 200,000,000 2018/06/06 2019/10/30 50.0066191 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/06/06 2019/11/28 50.0066190 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/06/06 2019/12/30 50.0066198 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 a 200,000,000 2018/06/06 2018/09/27 50.0066200 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/06/06 2018/09/27 50.0066212 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/06/06 2018/09/27 50.0066213 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/06/06 2018/09/27 50.0066222 J P Morgan sP BV – sunny Optical r Bull CBBC sep 2018 C 50,000,000 2018/06/06 2018/09/14 18.0066217 J P Morgan sP BV – tencent r Bear CBBC sep 2018 i 50,000,000 2018/06/06 2018/09/21 12.5066057 Macquarie Bank ltd. – galaxy ent r Bull CBBC Feb 2019 a 32,000,000 2018/06/06 2019/02/27 10.4366054 Macquarie Bank ltd. – Ping an r Bear CBBC Feb 2019 a 33,000,000 2018/06/06 2019/02/27 10.5966225 sg issuer – CC Bank r Bull CBBC Oct 2018 M 100,000,000 2018/06/06 2018/10/25 25.0066237 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 O 40,000,000 2018/06/06 2018/10/10 10.0066259 sg issuer – HkeX r Bull CBBC Oct 2018 k 50,000,000 2018/06/06 2018/10/11 12.5066249 sg issuer – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/06/06 2019/10/30 50.0066245 sg issuer – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/06/06 2019/10/30 50.0066241 sg issuer – Hsi r Bull CBBC Oct 2019 O 200,000,000 2018/06/06 2019/10/30 50.0066256 sg issuer – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/06/06 2019/11/28 50.0066258 sg issuer – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/06/06 2019/12/30 50.0066265 sg issuer – Hsi r Bear CBBC Oct 2018 O 200,000,000 2018/06/06 2018/10/30 50.0066267 sg issuer – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/06/06 2018/10/30 50.00




66269 sg issuer – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/06/06 2018/10/30 50.0066270 sg issuer – Hsi r Bear CBBC Nov 2018 H 200,000,000 2018/06/06 2018/11/29 50.0066262 sg issuer – Ping an r Bull CBBC Oct 2018 W 100,000,000 2018/06/06 2018/10/30 25.0066232 sg issuer – tencent r Bull CBBC sep 2018 e 80,000,000 2018/06/06 2018/09/14 20.0066229 sg issuer – tencent r Bull CBBC sep 2018 i 80,000,000 2018/06/06 2018/09/07 20.0066264 sg issuer – tencent r Bull CBBC sep 2018 l 80,000,000 2018/06/06 2018/09/07 20.0066271 sg issuer – tencent r Bear CBBC sep 2018 X 80,000,000 2018/06/06 2018/09/20 20.0066095 UBs ag – CsOP a50 etF r Bull CBBC Nov 2018 C 50,000,000 2018/06/06 2018/11/05 12.5066096 UBs ag – CsOP a50 etF r Bull CBBC Nov 2018 D 50,000,000 2018/06/06 2018/11/12 12.5066063 UBs ag – Hsi r Bull CBBC Nov 2019 B 250,000,000 2018/06/06 2019/11/28 62.5066058 UBs ag – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/06/06 2019/12/30 50.0066061 UBs ag – Hsi r Bull CBBC Dec 2019 r 200,000,000 2018/06/06 2019/12/30 50.0066097 UBs ag – Hsi r Bear CBBC sep 2018 k 250,000,000 2018/06/06 2018/09/27 62.5066113 UBs ag – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/06/06 2018/09/27 50.0066115 UBs ag – Hsi r Bear CBBC sep 2018 M 250,000,000 2018/06/06 2018/09/27 62.5066071 UBs ag – tencent r Bull CBBC sep 2018 Y 30,000,000 2018/06/06 2018/09/21 10.2066075 UBs ag – tencent r Bull CBBC sep 2018 Z 30,000,000 2018/06/06 2018/09/27 10.2066085 UBs ag – tencent r Bull CBBC Oct 2018 F 30,000,000 2018/06/06 2018/10/03 10.2065995 Bank Vontobel – Hsi r Bull CBBC Jan 2019 e 100,000,000 2018/06/06 2019/01/30 25.4066009 Bank Vontobel – Hsi r Bull CBBC Jan 2019 F 100,000,000 2018/06/06 2019/01/30 25.3066012 Bank Vontobel – Hsi r Bear CBBC Nov 2018 M 100,000,000 2018/06/06 2018/11/29 25.4066014 Bank Vontobel – Hsi r Bear CBBC Nov 2018 N 100,000,000 2018/06/06 2018/11/29 25.4066390 Credit suisse ag – Hsi r Bull CBBC Oct 2019 l 200,000,000 2018/06/07 2019/10/30 50.0066389 Credit suisse ag – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/06/07 2019/11/28 50.0066394 Credit suisse ag – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/06/07 2019/11/28 50.0066395 Credit suisse ag – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/06/07 2019/12/30 50.0066384 Credit suisse ag – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/06/07 2018/09/27 50.0066381 Credit suisse ag – Hsi r Bear CBBC sep 2018 O 200,000,000 2018/06/07 2018/09/27 50.0066380 Credit suisse ag – Hsi r Bear CBBC Oct 2018 Y 200,000,000 2018/06/07 2018/10/30 50.0066386 Credit suisse ag – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/06/07 2018/10/30 50.0066387 Credit suisse ag – tencent r Bull CBBC Dec 2018 a 50,000,000 2018/06/07 2018/12/28 12.5066469 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 Q 100,000,000 2018/06/07 2018/12/31 25.0066474 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Mar 2019 B 100,000,000 2018/06/07 2019/03/28 25.0066478 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 W 100,000,000 2018/06/07 2018/12/31 25.0066460 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/06/07 2019/12/30 50.0066462 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 X 200,000,000 2018/06/07 2019/12/30 50.0066463 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/06/07 2019/12/30 50.0066299 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 t 200,000,000 2018/06/07 2018/11/29 50.0066301 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 U 200,000,000 2018/06/07 2018/11/29 50.0066305 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 V 200,000,000 2018/06/07 2018/11/29 50.0066459 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 W 200,000,000 2018/06/07 2018/11/29 50.0066471 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 H 100,000,000 2018/06/07 2019/02/27 25.0066468 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 e 100,000,000 2018/06/07 2018/12/31 25.0066444 J P Morgan sP BV – CsOP a50 etF r Bull CBBC sep 2018 a 100,000,000 2018/06/07 2018/09/21 25.0066445 J P Morgan sP BV – CsOP a50 etF r Bull CBBC Oct 2018 B 100,000,000 2018/06/07 2018/10/19 25.00




66446 J P Morgan sP BV – CsOP a50 etF r Bull CBBC Nov 2018 B 100,000,000 2018/06/07 2018/11/16 25.0066447 J P Morgan sP BV – a50 China r Bull CBBC sep 2018 B 100,000,000 2018/06/07 2018/09/21 25.0066450 J P Morgan sP BV – a50 China r Bull CBBC Oct 2018 B 100,000,000 2018/06/07 2018/10/19 25.0066452 J P Morgan sP BV – a50 China r Bull CBBC Nov 2018 C 100,000,000 2018/06/07 2018/11/16 25.0066455 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/06/07 2019/10/30 50.0066454 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/06/07 2019/11/28 50.0066453 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/06/07 2019/12/30 50.0066438 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 e 200,000,000 2018/06/07 2018/09/27 50.0066439 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/06/07 2018/09/27 50.0066440 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/06/07 2018/09/27 50.0066443 J P Morgan sP BV – tencent r Bull CBBC sep 2018 i 50,000,000 2018/06/07 2018/09/14 12.5066306 Macquarie Bank ltd. – NCi r Bull CBBC Feb 2019 a 40,000,000 2018/06/07 2019/02/27 10.0066308 Macquarie Bank ltd. – NCi r Bull CBBC Feb 2019 B 40,000,000 2018/06/07 2019/02/27 10.0466309 Macquarie Bank ltd. – NCi r Bear CBBC Feb 2019 a 31,000,000 2018/06/07 2019/02/27 10.0466310 Macquarie Bank ltd. – NCi r Bear CBBC Feb 2019 B 25,000,000 2018/06/07 2019/02/27 10.1566402 sg issuer – aBC r Bull CBBC Feb 2019 B 60,000,000 2018/06/07 2019/02/20 15.0066403 sg issuer – CNOOC r Bull CBBC Oct 2018 l 40,000,000 2018/06/07 2018/10/15 10.0066429 sg issuer – sinopec Corp r Bull CBBC Oct 2018 D 40,000,000 2018/06/07 2018/10/18 10.0066419 sg issuer – HsCei r Bull CBBC Dec 2018 W 100,000,000 2018/06/07 2018/12/28 25.0066416 sg issuer – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/06/07 2019/10/30 50.0066417 sg issuer – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/06/07 2019/11/28 50.0066418 sg issuer – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/06/07 2019/12/30 50.0066398 sg issuer – Hsi r Bear CBBC Oct 2018 X 200,000,000 2018/06/07 2018/10/30 50.0066400 sg issuer – Hsi r Bear CBBC Nov 2018 i 200,000,000 2018/06/07 2018/11/29 50.0066414 sg issuer – Hsi r Bear CBBC Dec 2018 g 200,000,000 2018/06/07 2018/12/28 50.0066401 sg issuer – Hsi r Bear CBBC Dec 2018 J 200,000,000 2018/06/07 2018/12/28 50.0066405 sg issuer – NCi r Bull CBBC May 2019 a 80,000,000 2018/06/07 2019/05/22 20.0066431 sg issuer – tencent r Bull CBBC sep 2018 M 80,000,000 2018/06/07 2018/09/18 20.0066408 sg issuer – tencent r Bear CBBC sep 2018 Y 80,000,000 2018/06/07 2018/09/21 20.0066377 UBs ag – Bank of China r Bull CBBC Jan 2019 a 60,000,000 2018/06/07 2019/01/21 15.0066330 UBs ag – sinopec Corp r Bull CBBC Oct 2018 D 50,000,000 2018/06/07 2018/10/22 12.5066316 UBs ag – HsBC r Bull CBBC Oct 2018 C 50,000,000 2018/06/07 2018/10/08 12.5066325 UBs ag – HsBC r Bear CBBC sep 2018 a 50,000,000 2018/06/07 2018/09/24 12.5066326 UBs ag – HsBC r Bear CBBC Oct 2018 a 50,000,000 2018/06/07 2018/10/15 12.5066360 UBs ag – Hsi r Bull CBBC Oct 2019 B 250,000,000 2018/06/07 2019/10/30 62.5066347 UBs ag – Hsi r Bull CBBC Oct 2019 i 250,000,000 2018/06/07 2019/10/30 62.5066374 UBs ag – Hsi r Bull CBBC Oct 2019 J 250,000,000 2018/06/07 2019/10/30 62.5066311 UBs ag – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/06/07 2018/09/27 50.0066314 UBs ag – Hsi r Bear CBBC sep 2018 O 250,000,000 2018/06/07 2018/09/27 62.5066312 UBs ag – Hsi r Bear CBBC Oct 2018 a 250,000,000 2018/06/07 2018/10/30 62.5066340 UBs ag – Petrochina r Bull CBBC Oct 2018 J 60,000,000 2018/06/07 2018/10/24 15.0066334 UBs ag – Petrochina r Bull CBBC Nov 2018 i 60,000,000 2018/06/07 2018/11/05 15.0066345 UBs ag – sands China r Bull CBBC Dec 2018 C 60,000,000 2018/06/07 2018/12/17 15.0066332 UBs ag – tencent r Bear CBBC sep 2018 C 30,000,000 2018/06/07 2018/09/19 10.2066297 Bank Vontobel – CC Bank r Bull CBBC Oct 2018 C 40,000,000 2018/06/07 2018/10/19 10.20




66298 Bank Vontobel – HsBC r Bull CBBC Oct 2018 C 40,000,000 2018/06/07 2018/10/26 10.1666293 Bank Vontobel – tencent r Bull CBBC Dec 2018 l 40,000,000 2018/06/07 2018/12/07 10.3666296 Bank Vontobel – tencent r Bear CBBC Oct 2018 a 40,000,000 2018/06/07 2018/10/26 10.1266560 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 e 50,000,000 2018/06/08 2019/03/28 12.5066555 BNP Paribas issuance B.V. – HsCei r Bear CBBC Jan 2019 a 100,000,000 2018/06/08 2019/01/30 25.0066556 BNP Paribas issuance B.V. – HsCei r Bear CBBC Jan 2019 B 100,000,000 2018/06/08 2019/01/30 25.0066562 BNP Paribas issuance B.V. – Ping an r Bear CBBC Nov 2018 H 200,000,000 2018/06/08 2018/11/29 50.0066549 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 J 50,000,000 2018/06/08 2018/09/27 12.5066550 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 H 50,000,000 2018/06/08 2018/11/29 12.5066523 Credit suisse ag – CNOOC r Bull CBBC Dec 2018 e 50,000,000 2018/06/08 2018/12/28 12.5066517 Credit suisse ag – galaxy ent r Bear CBBC Dec 2018 a 50,000,000 2018/06/08 2018/12/28 12.5066513 Credit suisse ag – Hsi r Bull CBBC Oct 2019 M 200,000,000 2018/06/08 2019/10/30 50.0066512 Credit suisse ag – Hsi r Bull CBBC Nov 2019 W 200,000,000 2018/06/08 2019/11/28 50.0066519 Credit suisse ag – Hsi r Bull CBBC Dec 2019 N 200,000,000 2018/06/08 2019/12/30 50.0066515 Credit suisse ag – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/06/08 2018/09/27 50.0066521 Credit suisse ag – Hsi r Bear CBBC Oct 2018 a 200,000,000 2018/06/08 2018/10/30 50.0066518 Credit suisse ag – Ping an r Bull CBBC Dec 2018 Z 80,000,000 2018/06/08 2018/12/14 20.0066524 Credit suisse ag – tencent r Bull CBBC Jan 2019 C 50,000,000 2018/06/08 2019/01/30 12.5066484 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/06/08 2019/11/28 50.0066486 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/06/08 2019/11/28 50.0066531 J P Morgan sP BV – HsCei r Bull CBBC Dec 2019 H 100,000,000 2018/06/08 2019/12/30 25.0066540 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 s 200,000,000 2018/06/08 2019/10/30 50.0066538 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/06/08 2019/11/28 50.0066532 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/06/08 2019/12/30 50.0066530 J P Morgan sP BV – tencent r Bull CBBC sep 2018 J 50,000,000 2018/06/08 2018/09/14 12.5066570 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 P 60,000,000 2018/06/08 2018/10/31 15.0066569 sg issuer – HkeX r Bear CBBC Oct 2018 C 50,000,000 2018/06/08 2018/10/15 12.5066579 sg issuer – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/06/08 2019/11/28 50.0066565 sg issuer – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/06/08 2019/12/30 50.0066581 sg issuer – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/06/08 2019/12/30 50.0066564 sg issuer – Hsi r Bear CBBC Nov 2018 J 200,000,000 2018/06/08 2018/11/29 50.0066578 sg issuer – Hsi r Bear CBBC Nov 2018 k 200,000,000 2018/06/08 2018/11/29 50.0066573 sg issuer – sands r Bear CBBC Mar 2019 a 60,000,000 2018/06/08 2019/03/28 15.0066577 sg issuer – tencent r Bull CBBC sep 2018 g 80,000,000 2018/06/08 2018/09/14 20.0066592 sg issuer – tencent r Bull CBBC sep 2018 Q 80,000,000 2018/06/08 2018/09/12 20.0066576 sg issuer – tencent r Bear CBBC sep 2018 Z 80,000,000 2018/06/08 2018/09/12 20.0066507 UBs ag – CNOOC r Bear CBBC Oct 2018 C 40,000,000 2018/06/08 2018/10/22 10.0066491 UBs ag – Hsi r Bull CBBC Nov 2019 F 200,000,000 2018/06/08 2019/11/28 50.0066493 UBs ag – Hsi r Bull CBBC Dec 2019 P 200,000,000 2018/06/08 2019/12/30 50.0066496 UBs ag – Hsi r Bull CBBC Dec 2019 U 250,000,000 2018/06/08 2019/12/30 62.5066500 UBs ag – Hsi r Bear CBBC sep 2018 Q 250,000,000 2018/06/08 2018/09/27 62.5066497 UBs ag – Hsi r Bear CBBC Oct 2018 B 250,000,000 2018/06/08 2018/10/30 62.5066506 UBs ag – Petrochina r Bear CBBC Oct 2018 D 60,000,000 2018/06/08 2018/10/15 15.0066508 UBs ag – Ping an r Bull CBBC Oct 2018 Z 80,000,000 2018/06/08 2018/10/22 20.0066660 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 a 250,000,000 2018/06/11 2019/12/30 62.50




66692 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 B 250,000,000 2018/06/11 2019/12/30 62.5066642 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 J 250,000,000 2018/06/11 2019/12/30 62.5066653 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/06/11 2019/12/30 62.5066594 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 e 250,000,000 2018/06/11 2019/01/30 62.5066595 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 F 250,000,000 2018/06/11 2019/01/30 62.5066601 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 g 250,000,000 2018/06/11 2019/01/30 62.5066603 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 H 250,000,000 2018/06/11 2019/01/30 62.5066690 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 i 250,000,000 2018/06/11 2019/01/30 62.5066763 Credit suisse ag – CC Bank r Bull CBBC Dec 2018 g 80,000,000 2018/06/11 2018/12/28 20.0066767 Credit suisse ag – CM Bank r Bull CBBC apr 2019 a 70,000,000 2018/06/11 2019/04/29 17.5066761 Credit suisse ag – HsBC r Bull CBBC Dec 2018 J 80,000,000 2018/06/11 2018/12/28 20.0066815 Credit suisse ag – HsCei r Bull CBBC sep 2019 B 100,000,000 2018/06/11 2019/09/27 25.0066791 Credit suisse ag – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/06/11 2019/10/30 50.0066792 Credit suisse ag – Hsi r Bull CBBC Oct 2019 O 200,000,000 2018/06/11 2019/10/30 50.0066787 Credit suisse ag – Hsi r Bull CBBC Nov 2019 a 200,000,000 2018/06/11 2019/11/28 50.0066784 Credit suisse ag – Hsi r Bull CBBC Nov 2019 X 200,000,000 2018/06/11 2019/11/28 50.0066785 Credit suisse ag – Hsi r Bull CBBC Nov 2019 Y 200,000,000 2018/06/11 2019/11/28 50.0066783 Credit suisse ag – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/06/11 2018/09/27 50.0066759 Credit suisse ag – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/06/11 2018/09/27 50.0066760 Credit suisse ag – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/06/11 2018/09/27 50.0066781 Credit suisse ag – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/06/11 2018/09/27 50.0066757 Credit suisse ag – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/06/11 2018/10/30 50.0066766 Credit suisse ag – iCBC r Bull CBBC Dec 2018 D 80,000,000 2018/06/11 2018/12/28 20.0066809 Credit suisse ag – Ping an r Bull CBBC Dec 2018 B 80,000,000 2018/06/11 2018/12/21 20.0066769 Credit suisse ag – tencent r Bull CBBC Jan 2019 D 50,000,000 2018/06/11 2019/01/25 12.5066795 Credit suisse ag – tencent r Bull CBBC Jan 2019 e 50,000,000 2018/06/11 2019/01/18 12.5066798 Credit suisse ag – tencent r Bull CBBC Jan 2019 F 50,000,000 2018/06/11 2019/01/31 12.5067009 goldman sachs sP (asia) – CC Bank r Bull CBBC Feb 2019 D 100,000,000 2018/06/11 2019/02/27 25.0066991 goldman sachs sP (asia) – China life r Bull CBBC Dec 2018 N 100,000,000 2018/06/11 2018/12/31 25.0066992 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Mar 2019 C 100,000,000 2018/06/11 2019/03/28 25.0067003 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 l 100,000,000 2018/06/11 2018/12/31 25.0066956 goldman sachs sP (asia) – HsCei r Bull CBBC Dec 2019 k 200,000,000 2018/06/11 2019/12/30 50.0066952 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/06/11 2019/12/30 50.0066955 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/06/11 2019/12/30 50.0066951 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/06/11 2019/12/30 50.0066685 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 X 200,000,000 2018/06/11 2018/11/29 50.0066686 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 Y 200,000,000 2018/06/11 2018/11/29 50.0066687 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 Z 200,000,000 2018/06/11 2018/11/29 50.0066981 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 i 100,000,000 2018/06/11 2019/02/27 25.0066982 goldman sachs sP (asia) – Ping an r Bull CBBC Feb 2019 a 100,000,000 2018/06/11 2019/02/27 25.0066966 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 i 100,000,000 2018/06/11 2018/12/31 25.0066971 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 r 100,000,000 2018/06/11 2018/12/31 25.0066973 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 C 100,000,000 2018/06/11 2019/02/27 25.0066641 Haitong int’l sec – aaC tech r Bull CBBC Nov 2018 a 70,000,000 2018/06/11 2018/11/26 17.5066640 Haitong int’l sec – CNOOC r Bull CBBC Nov 2018 D 60,000,000 2018/06/11 2018/11/27 15.00




66623 Haitong int’l sec – sinopec Corp r Bull CBBC Nov 2018 D 110,000,000 2018/06/11 2018/11/28 27.5066663 Haitong int’l sec – CPiC r Bull CBBC Nov 2018 B 40,000,000 2018/06/11 2018/11/28 14.8066622 Haitong int’l sec – geely auto r Bull CBBC Nov 2018 B 40,000,000 2018/06/11 2018/11/27 10.0066629 Haitong int’l sec – HkeX r Bull CBBC Nov 2018 D 40,000,000 2018/06/11 2018/11/26 10.0066620 Haitong int’l sec – HsBC r Bull CBBC Dec 2018 a 110,000,000 2018/06/11 2018/12/11 27.5066639 Haitong int’l sec – PetroChina r Bull CBBC Nov 2018 B 130,000,000 2018/06/11 2018/11/28 32.5066646 Haitong int’l sec – Ping an r Bull CBBC Nov 2018 D 25,000,000 2018/06/11 2018/11/26 10.4566656 Haitong int’l sec – Ping an r Bull CBBC Nov 2018 e 25,000,000 2018/06/11 2018/11/26 10.1566662 Haitong int’l sec – sUNaC r Bull CBBC Nov 2018 a 40,000,000 2018/06/11 2018/11/27 18.4466631 Haitong int’l sec – tencent r Bull CBBC Nov 2018 F 40,000,000 2018/06/11 2018/11/27 10.0066636 Haitong int’l sec – tencent r Bull CBBC Nov 2018 g 40,000,000 2018/06/11 2018/11/28 10.0066638 Haitong int’l sec – tencent r Bull CBBC Nov 2018 H 40,000,000 2018/06/11 2018/11/26 14.5266906 J P Morgan sP BV – CC Bank r Bull CBBC Oct 2018 a 100,000,000 2018/06/11 2018/10/12 25.0066896 J P Morgan sP BV – HkeX r Bull CBBC Oct 2018 a 40,000,000 2018/06/11 2018/10/12 10.0066900 J P Morgan sP BV – HkeX r Bull CBBC Oct 2018 B 40,000,000 2018/06/11 2018/10/19 10.0066911 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/06/11 2019/11/28 50.0066910 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 k 200,000,000 2018/06/11 2019/12/30 50.0066912 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 P 200,000,000 2018/06/11 2019/12/30 50.0066917 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/06/11 2019/12/30 50.0066925 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 X 200,000,000 2018/06/11 2019/12/30 50.0066876 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 H 200,000,000 2018/06/11 2018/09/27 50.0066877 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/06/11 2018/09/27 50.0066887 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 J 200,000,000 2018/06/11 2018/09/27 50.0066890 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 k 200,000,000 2018/06/11 2018/09/27 50.0066928 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/06/11 2018/09/27 50.0066932 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/06/11 2018/09/27 54.0066893 J P Morgan sP BV – Ping an r Bull CBBC Oct 2018 B 100,000,000 2018/06/11 2018/10/12 25.0066891 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 a 40,000,000 2018/06/11 2018/10/12 10.0066892 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 B 40,000,000 2018/06/11 2018/10/19 10.0066755 sg issuer – COVs r Bull CBBC sep 2019 a 150,000,000 2018/06/11 2019/09/30 37.5066752 sg issuer – China life r Bull CBBC Dec 2018 g 40,000,000 2018/06/11 2018/12/20 10.0066693 sg issuer – CNOOC r Bull CBBC Dec 2018 e 40,000,000 2018/06/11 2018/12/14 10.0066716 sg issuer – CsOP a50 etF r Bull CBBC May 2019 B 60,000,000 2018/06/11 2019/05/30 15.0066695 sg issuer – galaxy ent r Bull CBBC Dec 2018 k 80,000,000 2018/06/11 2018/12/14 20.0066736 sg issuer – HkeX r Bull CBBC Oct 2018 N 50,000,000 2018/06/11 2018/10/05 12.5066739 sg issuer – HkeX r Bull CBBC Nov 2018 V 50,000,000 2018/06/11 2018/11/09 12.5066728 sg issuer – Hsi r Bull CBBC Oct 2019 r 200,000,000 2018/06/11 2019/10/30 50.0066731 sg issuer – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/06/11 2019/11/28 50.0066733 sg issuer – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/06/11 2019/12/30 50.0066734 sg issuer – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/06/11 2019/12/30 50.0066720 sg issuer – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/06/11 2018/10/30 50.0066745 sg issuer – Hsi r Bear CBBC Nov 2018 l 200,000,000 2018/06/11 2018/11/29 50.0066746 sg issuer – Hsi r Bear CBBC Nov 2018 N 200,000,000 2018/06/11 2018/11/29 50.0066747 sg issuer – Hsi r Bear CBBC Dec 2018 M 200,000,000 2018/06/11 2018/12/28 50.0066748 sg issuer – Hsi r Bear CBBC Dec 2018 N 200,000,000 2018/06/11 2018/12/28 50.00




66700 sg issuer – Ping an r Bull CBBC Oct 2018 r 100,000,000 2018/06/11 2018/10/29 25.0066699 sg issuer – Ping an r Bull CBBC Oct 2018 s 100,000,000 2018/06/11 2018/10/19 25.0066740 sg issuer – Ping an r Bull CBBC Dec 2018 a 100,000,000 2018/06/11 2018/12/28 25.0066704 sg issuer – sands China r Bull CBBC Mar 2019 a 60,000,000 2018/06/11 2019/03/28 15.0066708 sg issuer – sUNaC r Bull CBBC Jul 2019 a 80,000,000 2018/06/11 2019/07/22 20.0066742 sg issuer – tencent r Bull CBBC sep 2018 C 80,000,000 2018/06/11 2018/09/24 20.0066934 sg issuer – tencent r Bull CBBC sep 2018 O 80,000,000 2018/06/11 2018/09/27 20.0066741 sg issuer – tencent r Bull CBBC sep 2018 s 80,000,000 2018/06/11 2018/09/18 20.0066717 sg issuer – tencent r Bear CBBC sep 2018 a 80,000,000 2018/06/11 2018/09/18 20.0066719 sg issuer – tencent r Bear CBBC sep 2018 B 80,000,000 2018/06/11 2018/09/20 20.0066749 sg issuer – tencent r Bear CBBC sep 2018 C 80,000,000 2018/06/11 2018/09/21 20.0066855 UBs ag – CC Bank r Bull CBBC Oct 2018 O 80,000,000 2018/06/11 2018/10/22 20.0066867 UBs ag – China life r Bull CBBC Oct 2018 B 40,000,000 2018/06/11 2018/10/15 10.0066850 UBs ag – CNOOC r Bull CBBC Oct 2018 k 40,000,000 2018/06/11 2018/10/08 10.0066870 UBs ag – CsOP a50 etF r Bull CBBC Oct 2018 k 50,000,000 2018/06/11 2018/10/15 12.5066830 UBs ag – Hsi r Bull CBBC Oct 2019 V 250,000,000 2018/06/11 2019/10/30 62.5066819 UBs ag – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/06/11 2019/11/28 50.0066828 UBs ag – Hsi r Bull CBBC Nov 2019 t 250,000,000 2018/06/11 2019/11/28 62.5066817 UBs ag – Hsi r Bull CBBC Dec 2019 W 200,000,000 2018/06/11 2019/12/30 50.0066606 UBs ag – Hsi r Bear CBBC sep 2018 r 250,000,000 2018/06/11 2018/09/27 62.5066607 UBs ag – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/06/11 2018/09/27 50.0066614 UBs ag – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/06/11 2018/09/27 50.0066864 UBs ag – iCBC r Bull CBBC Nov 2018 e 100,000,000 2018/06/11 2018/11/05 25.0066846 UBs ag – tencent r Bull CBBC sep 2018 B 30,000,000 2018/06/11 2018/09/20 10.2066847 UBs ag – tencent r Bull CBBC sep 2018 C 30,000,000 2018/06/11 2018/09/13 10.2066848 UBs ag – tencent r Bull CBBC Oct 2018 g 30,000,000 2018/06/11 2018/10/08 10.2066673 Bank Vontobel – HkeX r Bear CBBC Nov 2018 C 40,000,000 2018/06/11 2018/11/09 17.2066674 Bank Vontobel – Hsi r Bull CBBC Jan 2019 g 100,000,000 2018/06/11 2019/01/30 25.0066680 Bank Vontobel – Hsi r Bull CBBC Jan 2019 H 100,000,000 2018/06/11 2019/01/30 25.3066683 Bank Vontobel – Hsi r Bull CBBC Jan 2019 i 100,000,000 2018/06/11 2019/01/30 25.5066681 Bank Vontobel – Hsi r Bear CBBC Nov 2018 O 100,000,000 2018/06/11 2018/11/29 25.2066671 Bank Vontobel – Ping an r Bear CBBC Nov 2018 C 40,000,000 2018/06/11 2018/11/16 10.1266666 Bank Vontobel – tencent r Bull CBBC Dec 2018 M 40,000,000 2018/06/11 2018/12/07 10.2066669 Bank Vontobel – tencent r Bull CBBC Dec 2018 N 40,000,000 2018/06/11 2018/12/07 10.3267035 BOCi asia ltd. – galaxy ent r Bull CBBC Oct 2018 B 50,000,000 2018/06/12 2018/10/15 12.5567029 BOCi asia ltd. – Ping an r Bull CBBC Oct 2018 B 70,000,000 2018/06/12 2018/10/22 21.8467032 BOCi asia ltd. – Ping an r Bear CBBC Oct 2018 a 70,000,000 2018/06/12 2018/10/12 17.5767017 BOCi asia ltd. – tencent r Bull CBBC Oct 2018 C 40,000,000 2018/06/12 2018/10/26 10.0467019 BOCi asia ltd. – tencent r Bear CBBC Oct 2018 B 40,000,000 2018/06/12 2018/10/19 10.3267014 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 C 250,000,000 2018/06/12 2019/12/30 62.5067106 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 J 250,000,000 2018/06/12 2019/01/30 62.5067206 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 e 50,000,000 2018/06/12 2018/09/27 12.5067201 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 k 50,000,000 2018/06/12 2018/09/27 13.0067205 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 N 50,000,000 2018/06/12 2018/09/27 12.5067393 Credit suisse ag – China life r Bull CBBC Dec 2018 B 40,000,000 2018/06/12 2018/12/28 10.00




67388 Credit suisse ag – China life r Bear CBBC Nov 2018 a 40,000,000 2018/06/12 2018/11/29 10.0067402 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 H 50,000,000 2018/06/12 2019/01/25 12.5067418 Credit suisse ag – a50 China r Bull CBBC Feb 2019 a 50,000,000 2018/06/12 2019/02/21 12.5067406 Credit suisse ag – geely auto r Bull CBBC Jan 2019 D 40,000,000 2018/06/12 2019/01/30 10.0067409 Credit suisse ag – HkeX r Bull CBBC Feb 2019 a 50,000,000 2018/06/12 2019/02/12 12.5067375 Credit suisse ag – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/06/12 2019/10/30 50.0067399 Credit suisse ag – Hsi r Bull CBBC Nov 2019 t 200,000,000 2018/06/12 2019/11/28 50.0067398 Credit suisse ag – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/06/12 2019/11/28 50.0067387 Credit suisse ag – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/06/12 2019/11/28 50.0067386 Credit suisse ag – Hsi r Bear CBBC Oct 2018 C 200,000,000 2018/06/12 2018/10/30 50.0067397 Credit suisse ag – Ping an r Bull CBBC Dec 2018 a 80,000,000 2018/06/12 2018/12/28 20.0067384 Credit suisse ag – Ping an r Bear CBBC Dec 2018 D 50,000,000 2018/06/12 2018/12/28 12.5067382 Credit suisse ag – tencent r Bull CBBC Jan 2019 g 50,000,000 2018/06/12 2019/01/30 12.5067411 Credit suisse ag – tencent r Bull CBBC Jan 2019 H 50,000,000 2018/06/12 2019/01/10 12.5067098 Bank of east asia – China Mobile r Bull CBBC Oct 2018 C 60,000,000 2018/06/12 2018/10/18 15.0067099 Bank of east asia – CM Bank r Bull CBBC Oct 2018 a 20,000,000 2018/06/12 2018/10/18 10.0067096 Bank of east asia – geely auto r Bull CBBC Oct 2018 C 40,000,000 2018/06/12 2018/10/18 10.0067220 Bank of east asia – galaxy ent r Bear CBBC Jan 2019 a 80,000,000 2018/06/12 2019/01/29 20.0067089 Bank of east asia – Ping an r Bull CBBC Oct 2018 i 120,000,000 2018/06/12 2018/10/18 30.0067209 Bank of east asia – tencent r Bull CBBC Oct 2018 a 30,000,000 2018/06/12 2018/10/18 10.5067101 Bank of east asia – tencent r Bull CBBC Oct 2018 Y 30,000,000 2018/06/12 2018/10/18 10.5067103 Bank of east asia – tencent r Bull CBBC Oct 2018 Z 30,000,000 2018/06/12 2018/10/18 10.5067331 goldman sachs sP (asia) – HkeX r Bull CBBC Feb 2019 a 100,000,000 2018/06/12 2019/02/27 25.0067112 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 O 200,000,000 2018/06/12 2019/10/30 50.0067119 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/06/12 2019/10/30 50.0067139 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 Q 200,000,000 2018/06/12 2019/10/30 50.0067122 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 a 200,000,000 2018/06/12 2018/11/29 50.0067123 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 B 200,000,000 2018/06/12 2018/11/29 50.0067146 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 C 200,000,000 2018/06/12 2018/11/29 50.0067330 goldman sachs sP (asia) – Ping an r Bull CBBC Feb 2019 B 100,000,000 2018/06/12 2019/02/27 25.0067326 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 D 100,000,000 2018/06/12 2019/02/27 25.0067327 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 e 100,000,000 2018/06/12 2019/02/27 25.0067328 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 F 100,000,000 2018/06/12 2019/02/27 25.0067156 Hk Bank – aaC tech r Bull CBBC Oct 2018 J 40,000,000 2018/06/12 2018/10/29 10.0067086 Hk Bank – aia r Bull CBBC Nov 2018 C 80,000,000 2018/06/12 2018/11/12 20.0067160 Hk Bank – Bank of China r Bull CBBC Jan 2019 a 100,000,000 2018/06/12 2019/01/14 25.0067087 Hk Bank – CC Bank r Bull CBBC Nov 2018 a 100,000,000 2018/06/12 2018/11/05 25.0067082 Hk Bank – CNOOC r Bull CBBC Nov 2018 D 50,000,000 2018/06/12 2018/11/19 12.5067072 Hk Bank – sinopec Corp r Bull CBBC Nov 2018 D 80,000,000 2018/06/12 2018/11/12 20.0067064 Hk Bank – geely auto r Bull CBBC Nov 2018 B 40,000,000 2018/06/12 2018/11/12 10.0067054 Hk Bank – HkeX r Bull CBBC Oct 2018 D 50,000,000 2018/06/12 2018/10/29 12.5067049 Hk Bank – HsCei r Bull CBBC Mar 2019 D 60,000,000 2018/06/12 2019/03/28 15.0067042 Hk Bank – Hsi r Bull CBBC Mar 2019 M 150,000,000 2018/06/12 2019/03/28 37.5067045 Hk Bank – Hsi r Bull CBBC Mar 2019 N 150,000,000 2018/06/12 2019/03/28 37.5067036 Hk Bank – Hsi r Bull CBBC Jun 2019 a 150,000,000 2018/06/12 2019/06/27 37.50




67080 Hk Bank – iCBC r Bull CBBC Nov 2018 a 100,000,000 2018/06/12 2018/11/05 25.0067074 Hk Bank – PetroChina r Bull CBBC Nov 2018 D 80,000,000 2018/06/12 2018/11/19 20.0067088 Hk Bank – Ping an r Bull CBBC Oct 2018 k 100,000,000 2018/06/12 2018/10/15 25.0067073 Hk Bank – Ping an r Bull CBBC Nov 2018 M 100,000,000 2018/06/12 2018/11/05 25.0067059 Hk Bank – sunny Optical r Bull CBBC Oct 2018 D 40,000,000 2018/06/12 2018/10/22 10.0067152 Hk Bank – tencent r Bull CBBC Oct 2018 i 60,000,000 2018/06/12 2018/10/22 15.0067050 Hk Bank – tencent r Bull CBBC Nov 2018 r 60,000,000 2018/06/12 2018/11/19 15.0067052 Hk Bank – tencent r Bull CBBC Dec 2018 B 60,000,000 2018/06/12 2018/12/10 15.0067276 J P Morgan sP BV – China Overseas r Bull CBBC Jul 2019 a 120,000,000 2018/06/12 2019/07/19 30.0067271 J P Morgan sP BV – China life r Bull CBBC sep 2018 a 40,000,000 2018/06/12 2018/09/21 10.0067272 J P Morgan sP BV – China life r Bull CBBC Oct 2018 a 40,000,000 2018/06/12 2018/10/19 10.0067259 J P Morgan sP BV – geely auto r Bull CBBC sep 2018 a 40,000,000 2018/06/12 2018/09/21 10.0067254 J P Morgan sP BV – geely auto r Bull CBBC Oct 2018 a 40,000,000 2018/06/12 2018/10/19 10.4067289 J P Morgan sP BV – galaxy ent r Bull CBBC Oct 2018 a 100,000,000 2018/06/12 2018/10/19 25.0067293 J P Morgan sP BV – galaxy ent r Bull CBBC Nov 2018 a 100,000,000 2018/06/12 2018/11/16 25.0067277 J P Morgan sP BV – HkeX r Bull CBBC Oct 2018 C 40,000,000 2018/06/12 2018/10/12 10.0067279 J P Morgan sP BV – HkeX r Bull CBBC Nov 2018 a 40,000,000 2018/06/12 2018/11/16 10.0067261 J P Morgan sP BV – HsBC r Bull CBBC Nov 2018 C 100,000,000 2018/06/12 2018/11/16 25.0067270 J P Morgan sP BV – HsBC r Bear CBBC sep 2018 a 100,000,000 2018/06/12 2018/09/21 25.0067267 J P Morgan sP BV – HsBC r Bear CBBC Nov 2018 a 100,000,000 2018/06/12 2018/11/09 25.0067265 J P Morgan sP BV – HsBC r Bear CBBC Dec 2018 a 100,000,000 2018/06/12 2018/12/14 25.0067318 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/06/12 2019/10/30 50.0067314 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/06/12 2019/11/28 50.0067320 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/06/12 2019/12/30 50.0067305 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/06/12 2019/12/30 50.0067236 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/06/12 2018/09/27 50.0067321 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 O 200,000,000 2018/06/12 2018/09/27 50.0067325 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/06/12 2018/09/27 50.0067237 J P Morgan sP BV – Ping an r Bull CBBC Oct 2018 C 100,000,000 2018/06/12 2018/10/19 25.0067281 J P Morgan sP BV – Ping an r Bear CBBC Oct 2018 a 100,000,000 2018/06/12 2018/10/19 25.0067283 J P Morgan sP BV – Ping an r Bear CBBC Nov 2018 a 100,000,000 2018/06/12 2018/11/16 25.0067287 J P Morgan sP BV – Ping an r Bear CBBC Dec 2018 a 100,000,000 2018/06/12 2018/12/14 25.0067303 J P Morgan sP BV – sunny Optical r Bull CBBC Oct 2018 a 40,000,000 2018/06/12 2018/10/19 10.0067296 J P Morgan sP BV – tencent r Bull CBBC sep 2018 k 50,000,000 2018/06/12 2018/09/21 12.5067298 J P Morgan sP BV – tencent r Bull CBBC sep 2018 l 50,000,000 2018/06/12 2018/09/21 12.5067252 J P Morgan sP BV – tencent r Bear CBBC sep 2018 J 50,000,000 2018/06/12 2018/09/21 12.5067301 J P Morgan sP BV – tencent r Bear CBBC sep 2018 k 50,000,000 2018/06/12 2018/09/21 12.5067111 Macquarie Bank ltd. – Ping an r Bull CBBC Jan 2019 B 39,000,000 2018/06/12 2019/01/30 10.2267107 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 i 12,000,000 2018/06/12 2018/12/14 10.1667362 sg issuer – CC Bank r Bull CBBC Oct 2018 N 100,000,000 2018/06/12 2018/10/10 25.0067347 sg issuer – geely auto r Bull CBBC Oct 2019 a 100,000,000 2018/06/12 2019/10/31 25.0067349 sg issuer – HsBC r Bull CBBC Nov 2018 Z 100,000,000 2018/06/12 2018/11/16 25.0067355 sg issuer – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/06/12 2019/10/30 50.0067357 sg issuer – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/06/12 2019/10/30 50.0067360 sg issuer – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/06/12 2019/12/30 50.00




67341 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/06/12 2018/09/27 50.0067332 sg issuer – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/06/12 2018/10/30 50.0067366 sg issuer – NCi r Bull CBBC May 2019 B 80,000,000 2018/06/12 2019/05/27 20.0067353 sg issuer – Ping an r Bull CBBC Oct 2018 P 100,000,000 2018/06/12 2018/10/18 25.0067352 sg issuer – Ping an r Bull CBBC Oct 2018 X 100,000,000 2018/06/12 2018/10/12 25.0067368 sg issuer – tencent r Bull CBBC sep 2018 k 80,000,000 2018/06/12 2018/09/14 20.0067369 sg issuer – tencent r Bull CBBC sep 2018 N 80,000,000 2018/06/12 2018/09/18 20.0067372 sg issuer – tencent r Bull CBBC Oct 2018 X 80,000,000 2018/06/12 2018/10/10 20.0067371 sg issuer – tencent r Bear CBBC sep 2018 F 80,000,000 2018/06/12 2018/09/28 20.0067180 UBs ag – HsBC r Bull CBBC Nov 2018 D 80,000,000 2018/06/12 2018/11/12 20.0067171 UBs ag – Hsi r Bull CBBC Oct 2019 W 250,000,000 2018/06/12 2019/10/30 62.5067174 UBs ag – Hsi r Bull CBBC Oct 2019 Z 250,000,000 2018/06/12 2019/10/30 62.5067170 UBs ag – Hsi r Bull CBBC Nov 2019 M 200,000,000 2018/06/12 2019/11/28 50.0067172 UBs ag – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/06/12 2019/12/30 62.5067165 UBs ag – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/06/12 2018/09/27 50.0067167 UBs ag – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/06/12 2018/09/27 50.0067186 UBs ag – Ping an r Bull CBBC Nov 2018 W 80,000,000 2018/06/12 2018/11/12 20.0067190 UBs ag – tencent r Bull CBBC sep 2018 a 30,000,000 2018/06/12 2018/09/12 10.2067192 UBs ag – tencent r Bull CBBC sep 2018 e 30,000,000 2018/06/12 2018/09/24 10.2067195 UBs ag – tencent r Bull CBBC Oct 2018 H 30,000,000 2018/06/12 2018/10/16 10.2067426 BNP Paribas issuance B.V. – CC Bank r Bull CBBC Nov 2018 W 100,000,000 2018/06/13 2018/11/29 25.0067428 BNP Paribas issuance B.V. – CC Bank r Bull CBBC Nov 2018 X 100,000,000 2018/06/13 2018/11/29 25.0067432 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 W 100,000,000 2018/06/13 2018/11/29 25.0067434 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18 H 60,000,000 2018/06/13 2018/11/29 15.0067438 BNP Paribas issuance B.V. – CsOP a50 etF r Bull CBBC Nov 18 i 60,000,000 2018/06/13 2018/11/29 15.0067446 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 i 250,000,000 2018/06/13 2019/12/30 62.5067453 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 t 250,000,000 2018/06/13 2019/12/30 62.5067419 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 k 250,000,000 2018/06/13 2019/01/30 62.5067425 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 l 250,000,000 2018/06/13 2019/01/30 62.5067439 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 N 200,000,000 2018/06/13 2018/11/29 50.0067554 Credit suisse ag – aia r Bull CBBC Dec 2018 C 70,000,000 2018/06/13 2018/12/21 17.5067540 Credit suisse ag – galaxy ent r Bull CBBC Nov 2018 g 50,000,000 2018/06/13 2018/11/29 12.5067546 Credit suisse ag – galaxy ent r Bull CBBC Dec 2018 C 50,000,000 2018/06/13 2018/12/28 12.5067551 Credit suisse ag – HkeX r Bull CBBC Jan 2019 C 50,000,000 2018/06/13 2019/01/30 12.5067618 Credit suisse ag – Hsi r Bull CBBC sep 2019 O 200,000,000 2018/06/13 2019/09/27 50.0067619 Credit suisse ag – Hsi r Bull CBBC Oct 2019 a 200,000,000 2018/06/13 2019/10/30 50.0067615 Credit suisse ag – Hsi r Bull CBBC Oct 2019 Q 200,000,000 2018/06/13 2019/10/30 50.0067612 Credit suisse ag – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/06/13 2019/11/28 50.0067508 Credit suisse ag – Hsi r Bear CBBC sep 2018 k 200,000,000 2018/06/13 2018/09/27 50.0067512 Credit suisse ag – Hsi r Bear CBBC sep 2018 r 200,000,000 2018/06/13 2018/09/27 50.0067536 Credit suisse ag – Hsi r Bear CBBC Oct 2018 D 200,000,000 2018/06/13 2018/10/30 50.0067559 Credit suisse ag – sUNaC r Bull CBBC apr 2019 a 80,000,000 2018/06/13 2019/04/29 20.0067560 Credit suisse ag – sunny Optical r Bull CBBC Feb 2019 a 40,000,000 2018/06/13 2019/02/27 10.0067563 Credit suisse ag – tencent r Bull CBBC Jan 2019 i 50,000,000 2018/06/13 2019/01/17 12.5067620 Credit suisse ag – tencent r Bull CBBC Jan 2019 J 50,000,000 2018/06/13 2019/01/31 12.50




67525 Credit suisse ag – tencent r Bear CBBC Dec 2018 l 50,000,000 2018/06/13 2018/12/14 12.5067722 goldman sachs sP (asia) – aaC tech r Bull CBBC Dec 2018 N 40,000,000 2018/06/13 2018/12/31 10.0067713 goldman sachs sP (asia) – aia r Bull CBBC Dec 2018 r 100,000,000 2018/06/13 2018/12/31 25.0067724 goldman sachs sP (asia) – galaxy ent r Bull CBBC Jan 2019 a 100,000,000 2018/06/13 2019/01/31 25.0067698 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 a 200,000,000 2018/06/13 2020/01/30 50.0067704 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 B 200,000,000 2018/06/13 2020/01/30 50.2067696 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 Y 200,000,000 2018/06/13 2020/01/30 50.0067703 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 Z 200,000,000 2018/06/13 2020/01/30 50.0067489 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/06/13 2018/10/30 50.0067492 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/06/13 2018/10/30 50.0067494 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 D 200,000,000 2018/06/13 2018/12/28 50.0067495 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 e 200,000,000 2018/06/13 2018/12/28 50.2067497 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 F 200,000,000 2018/06/13 2018/12/28 50.2067498 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 g 200,000,000 2018/06/13 2018/12/28 50.0067500 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 H 200,000,000 2018/06/13 2018/12/28 50.6067502 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 i 200,000,000 2018/06/13 2018/12/28 52.6067708 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 g 100,000,000 2018/06/13 2019/02/27 25.0067709 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 H 100,000,000 2018/06/13 2019/02/27 25.0067710 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 i 100,000,000 2018/06/13 2019/02/27 25.0067460 Hk Bank – aaC tech r Bull CBBC Dec 2018 B 40,000,000 2018/06/13 2018/12/03 10.0067465 Hk Bank – galaxy ent r Bull CBBC Nov 2018 e 80,000,000 2018/06/13 2018/11/19 20.0067467 Hk Bank – HkeX r Bull CBBC Nov 2018 M 50,000,000 2018/06/13 2018/11/12 12.5067454 Hk Bank – Hsi r Bull CBBC Mar 2019 O 100,000,000 2018/06/13 2019/03/28 25.0067472 Hk Bank – Hsi r Bull CBBC Mar 2019 Q 150,000,000 2018/06/13 2019/03/28 37.5067470 Hk Bank – Hsi r Bear CBBC Oct 2018 X 150,000,000 2018/06/13 2018/10/30 37.5067459 Hk Bank – Ping an r Bull CBBC Nov 2018 N 100,000,000 2018/06/13 2018/11/12 25.0067461 Hk Bank – sunny Optical r Bull CBBC Dec 2018 a 40,000,000 2018/06/13 2018/12/03 10.0067456 Hk Bank – tencent r Bull CBBC Oct 2018 J 60,000,000 2018/06/13 2018/10/18 15.0067455 Hk Bank – tencent r Bull CBBC Dec 2018 C 60,000,000 2018/06/13 2018/12/03 15.0067604 J P Morgan sP BV – aaC tech r Bull CBBC Oct 2018 a 50,000,000 2018/06/13 2018/10/19 12.5067606 J P Morgan sP BV – aaC tech r Bull CBBC Nov 2018 a 50,000,000 2018/06/13 2018/11/16 12.5067607 J P Morgan sP BV – aaC tech r Bear CBBC Oct 2018 a 50,000,000 2018/06/13 2018/10/19 12.5067580 J P Morgan sP BV – aia r Bull CBBC Oct 2018 a 100,000,000 2018/06/13 2018/10/19 25.0067611 J P Morgan sP BV – CNOOC r Bull CBBC Oct 2018 H 60,000,000 2018/06/13 2018/10/19 15.0067623 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/06/13 2019/10/30 50.0067622 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/06/13 2019/11/28 50.0067621 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/06/13 2019/12/30 50.0067577 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/06/13 2018/09/27 50.0067629 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 a 200,000,000 2018/06/13 2018/10/30 50.0067637 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/06/13 2018/10/30 50.0067609 J P Morgan sP BV – PetroChina r Bull CBBC Nov 2018 a 120,000,000 2018/06/13 2018/11/16 30.0067598 J P Morgan sP BV – sunny Optical r Bull CBBC Oct 2018 B 40,000,000 2018/06/13 2018/10/19 10.0067602 J P Morgan sP BV – sunny Optical r Bear CBBC Nov 2018 a 40,000,000 2018/06/13 2018/11/16 10.6067578 J P Morgan sP BV – tencent r Bull CBBC sep 2018 M 50,000,000 2018/06/13 2018/09/21 12.5067579 J P Morgan sP BV – tencent r Bull CBBC sep 2018 N 50,000,000 2018/06/13 2018/09/21 12.50




67739 sg issuer – aaC tech r Bull CBBC Nov 2018 e 40,000,000 2018/06/13 2018/11/30 10.0067727 sg issuer – aaC tech r Bear CBBC Oct 2018 a 40,000,000 2018/06/13 2018/10/26 10.0067731 sg issuer – aaC tech r Bear CBBC Nov 2018 a 40,000,000 2018/06/13 2018/11/23 13.6067751 sg issuer – Hsi r Bull CBBC sep 2019 l 200,000,000 2018/06/13 2019/09/27 50.0067753 sg issuer – Hsi r Bull CBBC sep 2019 N 200,000,000 2018/06/13 2019/09/27 50.0067757 sg issuer – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/06/13 2019/11/28 50.0067760 sg issuer – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/06/13 2019/12/30 50.0067749 sg issuer – Hsi r Bear CBBC Oct 2018 Y 200,000,000 2018/06/13 2018/10/30 50.0067740 sg issuer – sunny Optical r Bull CBBC Oct 2018 e 40,000,000 2018/06/13 2018/10/26 10.0067733 sg issuer – sunny Optical r Bear CBBC Dec 2018 B 40,000,000 2018/06/13 2018/12/28 15.8067744 sg issuer – tencent r Bull CBBC sep 2018 t 80,000,000 2018/06/13 2018/09/20 20.0067745 sg issuer – tencent r Bull CBBC sep 2018 U 80,000,000 2018/06/13 2018/09/28 20.0067747 sg issuer – tencent r Bull CBBC sep 2018 Y 80,000,000 2018/06/13 2018/09/20 20.0067748 sg issuer – tencent r Bull CBBC sep 2018 Z 80,000,000 2018/06/13 2018/09/28 20.0067746 sg issuer – tencent r Bull CBBC Oct 2018 Y 80,000,000 2018/06/13 2018/10/05 20.0067736 sg issuer – tencent r Bear CBBC sep 2018 g 80,000,000 2018/06/13 2018/09/28 20.0067680 UBs ag – aaC tech r Bull CBBC Nov 2018 B 40,000,000 2018/06/13 2018/11/26 10.0067685 UBs ag – aaC tech r Bear CBBC Oct 2018 B 40,000,000 2018/06/13 2018/10/16 10.0067687 UBs ag – Bank of China r Bull CBBC Jan 2019 B 60,000,000 2018/06/13 2019/01/28 15.0067686 UBs ag – China life r Bull CBBC sep 2018 O 40,000,000 2018/06/13 2018/09/24 10.0067679 UBs ag – CNOOC r Bull CBBC Oct 2018 l 40,000,000 2018/06/13 2018/10/10 10.0067664 UBs ag – HkeX r Bull CBBC Nov 2018 r 50,000,000 2018/06/13 2018/11/12 12.5067667 UBs ag – HkeX r Bull CBBC Nov 2018 s 50,000,000 2018/06/13 2018/11/12 12.5067648 UBs ag – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/06/13 2019/10/30 50.0067639 UBs ag – Hsi r Bull CBBC Oct 2019 X 250,000,000 2018/06/13 2019/10/30 62.5067576 UBs ag – Hsi r Bull CBBC Nov 2019 e 250,000,000 2018/06/13 2019/11/28 62.5067643 UBs ag – Hsi r Bull CBBC Dec 2019 e 250,000,000 2018/06/13 2019/12/30 62.5067572 UBs ag – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/06/13 2018/09/27 50.0067567 UBs ag – Hsi r Bear CBBC sep 2018 X 250,000,000 2018/06/13 2018/09/27 62.5067651 UBs ag – Hsi r Bear CBBC Oct 2018 C 200,000,000 2018/06/13 2018/10/30 50.0067662 UBs ag – Hsi r Bear CBBC Oct 2018 D 200,000,000 2018/06/13 2018/10/30 50.0067672 UBs ag – tencent r Bull CBBC Oct 2018 J 30,000,000 2018/06/13 2018/10/18 10.2067674 UBs ag – tencent r Bull CBBC Oct 2018 k 30,000,000 2018/06/13 2018/10/24 10.2067475 Bank Vontobel – Hsi r Bull CBBC Jan 2019 J 100,000,000 2018/06/13 2019/01/30 25.3067478 Bank Vontobel – Hsi r Bull CBBC Jan 2019 k 100,000,000 2018/06/13 2019/01/30 25.3067484 Bank Vontobel – Hsi r Bear CBBC Nov 2018 P 100,000,000 2018/06/13 2018/11/29 25.2067482 Bank Vontobel – tencent r Bull CBBC Dec 2018 O 40,000,000 2018/06/13 2018/12/07 10.0067483 Bank Vontobel – tencent r Bear CBBC Oct 2018 B 40,000,000 2018/06/13 2018/10/05 29.1667858 BOCi asia ltd. – HkeX r Bull CBBC Oct 2018 a 40,000,000 2018/06/14 2018/10/10 10.0067851 BOCi asia ltd. – tencent r Bull CBBC Oct 2018 D 40,000,000 2018/06/14 2018/10/08 10.0067855 BOCi asia ltd. – tencent r Bear CBBC Oct 2018 C 40,000,000 2018/06/14 2018/10/09 10.0867800 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 D 250,000,000 2018/06/14 2019/12/30 62.5067804 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 e 250,000,000 2018/06/14 2019/12/30 62.5067991 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 g 250,000,000 2018/06/14 2019/12/30 62.5067780 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 M 250,000,000 2018/06/14 2019/01/30 62.50




67784 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 N 250,000,000 2018/06/14 2019/01/30 62.5068071 Credit suisse ag – HkeX r Bull CBBC Dec 2018 F 50,000,000 2018/06/14 2018/12/28 12.5068100 Credit suisse ag – HsBC r Bull CBBC Jan 2019 B 80,000,000 2018/06/14 2019/01/30 20.0068095 Credit suisse ag – HsCei r Bull CBBC Oct 2019 a 100,000,000 2018/06/14 2019/10/30 25.0068096 Credit suisse ag – HsCei r Bear CBBC Oct 2018 a 100,000,000 2018/06/14 2018/10/30 25.0068097 Credit suisse ag – HsCei r Bear CBBC Oct 2018 B 100,000,000 2018/06/14 2018/10/30 25.0068094 Credit suisse ag – Hsi r Bull CBBC Oct 2019 B 200,000,000 2018/06/14 2019/10/30 50.0068087 Credit suisse ag – Hsi r Bull CBBC Nov 2019 B 200,000,000 2018/06/14 2019/11/28 50.0068089 Credit suisse ag – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/06/14 2019/11/28 50.0068090 Credit suisse ag – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/06/14 2019/12/30 50.0068059 Credit suisse ag – Hsi r Bear CBBC Oct 2018 e 200,000,000 2018/06/14 2018/10/30 50.0068060 Credit suisse ag – Hsi r Bear CBBC Oct 2018 F 200,000,000 2018/06/14 2018/10/30 50.0068062 Credit suisse ag – Hsi r Bear CBBC Nov 2018 a 200,000,000 2018/06/14 2018/11/29 50.0068081 Credit suisse ag – Hsi r Bear CBBC Nov 2018 B 200,000,000 2018/06/14 2018/11/29 50.0068080 Credit suisse ag – PetroChina r Bull CBBC Dec 2018 e 50,000,000 2018/06/14 2018/12/28 12.5068076 Credit suisse ag – tencent r Bull CBBC Jan 2019 k 50,000,000 2018/06/14 2019/01/24 12.5068101 Credit suisse ag – tencent r Bull CBBC Jan 2019 l 50,000,000 2018/06/14 2019/01/11 12.5068079 Credit suisse ag – tencent r Bear CBBC Dec 2018 M 50,000,000 2018/06/14 2018/12/28 12.5068162 goldman sachs sP (asia) – China life r Bull CBBC Feb 2019 B 100,000,000 2018/06/14 2019/02/27 25.0068145 goldman sachs sP (asia) – HkeX r Bull CBBC Feb 2019 B 100,000,000 2018/06/14 2019/02/27 25.0068148 goldman sachs sP (asia) – HsBC r Bull CBBC Jan 2019 B 100,000,000 2018/06/14 2019/01/31 25.0068133 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 C 200,000,000 2018/06/14 2020/01/30 50.2068139 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 D 200,000,000 2018/06/14 2020/01/30 50.0068136 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 e 200,000,000 2018/06/14 2020/01/30 50.0067900 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/06/14 2018/09/27 50.0067906 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 V 200,000,000 2018/06/14 2018/10/30 50.0068144 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 J 100,000,000 2018/06/14 2019/02/27 25.0068141 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 J 100,000,000 2018/06/14 2019/02/27 25.0068142 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 k 100,000,000 2018/06/14 2019/02/27 25.0068143 goldman sachs sP (asia) – tencent r Bear CBBC Feb 2019 a 100,000,000 2018/06/14 2019/02/27 25.0067849 Hk Bank – China Mobile r Bull CBBC Nov 2018 B 50,000,000 2018/06/14 2018/11/19 12.5067837 Hk Bank – China life r Bull CBBC Nov 2018 a 40,000,000 2018/06/14 2018/11/12 10.0067821 Hk Bank – CsOP a50 etF r Bull CBBC Nov 2018 D 50,000,000 2018/06/14 2018/11/19 12.5067822 Hk Bank – a50 China r Bull CBBC Nov 2018 D 50,000,000 2018/06/14 2018/11/19 12.5067836 Hk Bank – galaxy ent r Bear CBBC Nov 2018 B 40,000,000 2018/06/14 2018/11/12 10.0067826 Hk Bank – HkeX r Bull CBBC Nov 2018 N 50,000,000 2018/06/14 2018/11/19 12.5067811 Hk Bank – Hsi r Bull CBBC Mar 2019 P 150,000,000 2018/06/14 2019/03/28 37.5067810 Hk Bank – Hsi r Bull CBBC Jun 2019 B 150,000,000 2018/06/14 2019/06/27 37.5067799 Hk Bank – Hsi r Bear CBBC Oct 2018 Y 150,000,000 2018/06/14 2018/10/30 37.5067830 Hk Bank – Ping an r Bull CBBC Oct 2018 e 100,000,000 2018/06/14 2018/10/25 25.0067850 Hk Bank – sUNaC r Bull CBBC Mar 2019 B 100,000,000 2018/06/14 2019/03/11 25.0067817 Hk Bank – tencent r Bull CBBC Oct 2018 l 60,000,000 2018/06/14 2018/10/25 15.0067816 Hk Bank – tencent r Bull CBBC Nov 2018 s 60,000,000 2018/06/14 2018/11/15 15.0067827 Hk Bank – tencent r Bear CBBC Nov 2018 e 50,000,000 2018/06/14 2018/11/19 15.0068051 J P Morgan sP BV – aaC tech r Bear CBBC Nov 2018 a 40,000,000 2018/06/14 2018/11/16 13.40




68043 J P Morgan sP BV – HkeX r Bull CBBC Oct 2018 D 40,000,000 2018/06/14 2018/10/19 10.0068044 J P Morgan sP BV – HkeX r Bull CBBC Oct 2018 e 40,000,000 2018/06/14 2018/10/19 10.0068046 J P Morgan sP BV – HkeX r Bear CBBC Oct 2018 a 40,000,000 2018/06/14 2018/10/12 15.8068016 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/06/14 2019/10/30 50.0068015 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/06/14 2019/11/28 50.0068057 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/06/14 2019/12/30 50.0068017 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/06/14 2019/12/30 50.0067998 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/06/14 2018/09/27 50.0068000 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/06/14 2018/09/27 50.0068018 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 C 200,000,000 2018/06/14 2018/10/30 50.0068030 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 D 200,000,000 2018/06/14 2018/10/30 50.0068034 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 e 200,000,000 2018/06/14 2018/10/30 50.0068056 J P Morgan sP BV – sunny Optical r Bear CBBC Oct 2018 a 40,000,000 2018/06/14 2018/10/19 14.6068035 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 C 50,000,000 2018/06/14 2018/10/12 12.5068039 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 D 50,000,000 2018/06/14 2018/10/12 12.5067866 Macquarie Bank ltd. – HkeX r Bull CBBC Dec 2018 B 17,000,000 2018/06/14 2018/12/18 10.4267870 Macquarie Bank ltd. – HkeX r Bull CBBC Dec 2018 C 17,000,000 2018/06/14 2018/12/14 10.3467873 Macquarie Bank ltd. – HkeX r Bull CBBC Dec 2018 D 16,000,000 2018/06/14 2018/12/14 10.2667887 Macquarie Bank ltd. – HsBC r Bull CBBC Dec 2018 B 40,000,000 2018/06/14 2018/12/28 10.5667890 Macquarie Bank ltd. – HsBC r Bull CBBC Dec 2018 C 40,000,000 2018/06/14 2018/12/28 10.2067880 Macquarie Bank ltd. – HsBC r Bear CBBC Dec 2018 a 40,000,000 2018/06/14 2018/12/28 12.7667874 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 J 10,500,000 2018/06/14 2018/12/14 10.3767877 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 k 11,500,000 2018/06/14 2018/12/14 10.3367879 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 l 11,000,000 2018/06/14 2018/12/14 10.3768104 sg issuer – HkeX r Bull CBBC sep 2018 t 50,000,000 2018/06/14 2018/09/28 12.5068116 sg issuer – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/06/14 2019/10/30 50.0068117 sg issuer – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/06/14 2019/10/30 50.0068124 sg issuer – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/06/14 2019/10/30 50.0068126 sg issuer – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/06/14 2019/12/30 50.0068115 sg issuer – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/06/14 2018/09/27 50.0068107 sg issuer – Ping an r Bull CBBC Oct 2018 Q 100,000,000 2018/06/14 2018/10/26 25.0068108 sg issuer – sunny Optical r Bull CBBC sep 2018 F 40,000,000 2018/06/14 2018/09/28 10.0068113 sg issuer – tencent r Bull CBBC Oct 2018 B 80,000,000 2018/06/14 2018/10/12 20.0068112 sg issuer – tencent r Bull CBBC Oct 2018 D 80,000,000 2018/06/14 2018/10/05 20.0068128 sg issuer – tencent r Bull CBBC Oct 2018 e 80,000,000 2018/06/14 2018/10/05 20.0068110 sg issuer – tencent r Bull CBBC Oct 2018 Z 80,000,000 2018/06/14 2018/10/05 20.0068114 sg issuer – tencent r Bear CBBC Oct 2018 l 80,000,000 2018/06/14 2018/10/12 20.0067990 UBs ag – HkeX r Bull CBBC Nov 2018 t 50,000,000 2018/06/14 2018/11/07 12.5067939 UBs ag – Hsi r Bull CBBC Oct 2019 N 200,000,000 2018/06/14 2019/10/30 50.0067933 UBs ag – Hsi r Bull CBBC Nov 2019 l 250,000,000 2018/06/14 2019/11/28 62.5067940 UBs ag – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/06/14 2019/11/28 50.0067932 UBs ag – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/06/14 2019/12/30 50.0067915 UBs ag – Hsi r Bear CBBC sep 2018 e 250,000,000 2018/06/14 2018/09/27 62.5067916 UBs ag – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/06/14 2018/09/27 50.0067945 UBs ag – Hsi r Bear CBBC sep 2018 g 250,000,000 2018/06/14 2018/09/27 62.50




67947 UBs ag – Hsi r Bear CBBC Oct 2018 e 250,000,000 2018/06/14 2018/10/30 62.5067959 UBs ag – Hsi r Bear CBBC Oct 2018 F 250,000,000 2018/06/14 2018/10/30 62.5067970 UBs ag – Hsi r Bear CBBC Oct 2018 g 250,000,000 2018/06/14 2018/10/30 62.5067987 UBs ag – tencent r Bull CBBC Oct 2018 i 30,000,000 2018/06/14 2018/10/09 10.2067979 UBs ag – tencent r Bull CBBC Oct 2018 l 30,000,000 2018/06/14 2018/10/03 10.2067919 UBs ag – tencent r Bear CBBC Oct 2018 i 30,000,000 2018/06/14 2018/10/26 10.2067921 UBs ag – tencent r Bear CBBC Oct 2018 J 30,000,000 2018/06/14 2018/10/08 13.0567786 Bank Vontobel – Hsi r Bull CBBC Jan 2019 l 100,000,000 2018/06/14 2019/01/30 25.1067798 Bank Vontobel – Hsi r Bull CBBC Jan 2019 M 100,000,000 2018/06/14 2019/01/30 25.5067762 Bank Vontobel – Hsi r Bear CBBC Nov 2018 Q 100,000,000 2018/06/14 2018/11/29 25.1067765 Bank Vontobel – Hsi r Bear CBBC Nov 2018 r 100,000,000 2018/06/14 2018/11/29 25.3068197 BOCi asia ltd. – geely auto r Bull CBBC Oct 2018 B 40,000,000 2018/06/15 2018/10/29 10.1668196 BOCi asia ltd. – galaxy ent r Bull CBBC Oct 2018 C 50,000,000 2018/06/15 2018/10/29 12.6568198 BOCi asia ltd. – iCBC r Bull CBBC Oct 2018 B 80,000,000 2018/06/15 2018/10/29 20.3268189 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 F 50,000,000 2018/06/15 2018/09/27 12.5068192 BNP Paribas issuance B.V. – tencent r Bull CBBC sep 2018 H 50,000,000 2018/06/15 2018/09/27 12.5068195 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 O 50,000,000 2018/06/15 2018/11/29 12.5068194 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 P 50,000,000 2018/06/15 2018/11/29 12.5068270 Credit suisse ag – HsBC r Bull CBBC Jan 2019 C 80,000,000 2018/06/15 2019/01/25 20.0068265 Credit suisse ag – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/06/15 2019/10/30 50.0068266 Credit suisse ag – Hsi r Bull CBBC Oct 2019 D 200,000,000 2018/06/15 2019/10/30 50.0068268 Credit suisse ag – Hsi r Bull CBBC Nov 2019 C 200,000,000 2018/06/15 2019/11/28 50.0068269 Credit suisse ag – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/06/15 2019/12/30 62.5068272 Credit suisse ag – Hsi r Bull CBBC Dec 2019 Q 250,000,000 2018/06/15 2019/12/30 62.5068273 Credit suisse ag – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/06/15 2018/09/27 50.0068276 Credit suisse ag – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/06/15 2018/09/27 50.0068274 Credit suisse ag – Hsi r Bear CBBC Oct 2018 g 200,000,000 2018/06/15 2018/10/30 50.0068277 Credit suisse ag – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/06/15 2018/10/30 50.0068280 Credit suisse ag – tencent r Bull CBBC Jan 2019 M 50,000,000 2018/06/15 2019/01/24 12.5068217 goldman sachs sP (asia) – HkeX r Bull CBBC Dec 2018 M 100,000,000 2018/06/15 2018/12/31 25.0068202 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 F 200,000,000 2018/06/15 2020/01/30 50.0068204 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 g 200,000,000 2018/06/15 2020/01/30 50.0068207 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 H 200,000,000 2018/06/15 2020/01/30 50.0068223 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 i 200,000,000 2018/06/15 2020/01/30 50.0068291 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 X 200,000,000 2018/06/15 2018/09/27 50.0068297 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/06/15 2018/09/27 50.2068300 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/06/15 2018/09/27 50.0068213 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 l 100,000,000 2018/06/15 2019/02/27 25.0068332 goldman sachs sP (asia) – tencent r Bear CBBC Feb 2019 B 100,000,000 2018/06/15 2019/02/27 25.0068183 Hk Bank – sinopec Corp r Bull CBBC Nov 2018 e 80,000,000 2018/06/15 2018/11/19 20.0068173 Hk Bank – HkeX r Bull CBBC Nov 2018 O 50,000,000 2018/06/15 2018/11/26 12.5068165 Hk Bank – Hsi r Bull CBBC Mar 2019 r 150,000,000 2018/06/15 2019/03/28 37.5068175 Hk Bank – Hsi r Bull CBBC Jul 2019 a 150,000,000 2018/06/15 2019/07/30 37.5068182 Hk Bank – Hsi r Bull CBBC sep 2019 a 100,000,000 2018/06/15 2019/09/27 25.0068174 Hk Bank – Hsi r Bear CBBC Oct 2018 Z 100,000,000 2018/06/15 2018/10/30 25.00




68187 Hk Bank – NCi r Bull CBBC Feb 2019 a 40,000,000 2018/06/15 2019/02/11 10.0068171 Hk Bank – Ping an r Bull CBBC Nov 2018 O 100,000,000 2018/06/15 2018/11/22 25.0068164 Hk Bank – tencent r Bull CBBC Nov 2018 t 60,000,000 2018/06/15 2018/11/08 15.0068169 Hk Bank – tencent r Bull CBBC Nov 2018 U 60,000,000 2018/06/15 2018/11/22 15.0068166 Hk Bank – tencent r Bear CBBC Nov 2018 F 50,000,000 2018/06/15 2018/11/26 12.5068230 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 k 200,000,000 2018/06/15 2019/10/30 50.0068228 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 e 200,000,000 2018/06/15 2019/11/28 50.0068227 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/06/15 2019/12/30 50.0068252 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 a 200,000,000 2018/06/15 2018/09/27 50.0068238 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 X 200,000,000 2018/06/15 2018/09/27 50.0068239 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/06/15 2018/09/27 50.0068245 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/06/15 2018/09/27 50.0068233 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 e 50,000,000 2018/06/15 2018/10/12 12.5068246 J P Morgan sP BV – tencent r Bear CBBC sep 2018 l 50,000,000 2018/06/15 2018/09/21 12.5068248 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 a 50,000,000 2018/06/15 2018/10/12 12.5068328 sg issuer – Hsi r Bull CBBC Oct 2019 D 200,000,000 2018/06/15 2019/10/30 50.0068329 sg issuer – Hsi r Bull CBBC Dec 2019 t 200,000,000 2018/06/15 2019/12/30 50.0068315 sg issuer – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/06/15 2018/09/27 50.0068316 sg issuer – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/06/15 2018/10/30 50.0068325 sg issuer – Hsi r Bear CBBC Dec 2018 O 200,000,000 2018/06/15 2018/12/28 50.0068301 sg issuer – Ping an r Bull CBBC Nov 2018 a 100,000,000 2018/06/15 2018/11/26 25.0068306 sg issuer – tencent r Bull CBBC Oct 2018 C 80,000,000 2018/06/15 2018/10/05 20.0068309 sg issuer – tencent r Bull CBBC Oct 2018 F 80,000,000 2018/06/15 2018/10/12 20.0068313 sg issuer – tencent r Bull CBBC Oct 2018 i 80,000,000 2018/06/15 2018/10/12 20.0068310 sg issuer – tencent r Bull CBBC Oct 2018 J 80,000,000 2018/06/15 2018/10/05 20.0068312 sg issuer – tencent r Bull CBBC Oct 2018 k 80,000,000 2018/06/15 2018/10/05 20.0068254 UBs ag – Hsi r Bull CBBC Nov 2019 U 250,000,000 2018/06/15 2019/11/28 62.5068257 UBs ag – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/06/15 2019/12/30 50.0068260 UBs ag – Hsi r Bull CBBC Dec 2019 g 250,000,000 2018/06/15 2019/12/30 62.5068283 UBs ag – Hsi r Bear CBBC sep 2018 H 250,000,000 2018/06/15 2018/09/27 62.5068285 UBs ag – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/06/15 2018/09/27 50.0068290 UBs ag – Hsi r Bear CBBC sep 2018 J 250,000,000 2018/06/15 2018/09/27 62.5068284 UBs ag – Hsi r Bear CBBC Oct 2018 H 250,000,000 2018/06/15 2018/10/30 62.5068261 UBs ag – tencent r Bull CBBC Oct 2018 M 30,000,000 2018/06/15 2018/10/02 10.2068282 UBs ag – tencent r Bear CBBC Oct 2018 k 30,000,000 2018/06/15 2018/10/10 10.2068199 Bank Vontobel – tencent r Bull CBBC Nov 2018 e 40,000,000 2018/06/15 2018/11/16 10.1668200 Bank Vontobel – tencent r Bear CBBC Oct 2018 C 40,000,000 2018/06/15 2018/10/26 11.2068201 Bank Vontobel – tencent r Bear CBBC Oct 2018 D 40,000,000 2018/06/15 2018/10/26 10.0468400 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 H 250,000,000 2018/06/19 2019/12/30 62.5068422 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 M 250,000,000 2018/06/19 2019/12/30 62.5068405 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 O 250,000,000 2018/06/19 2019/01/30 62.5068410 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 P 250,000,000 2018/06/19 2019/01/30 62.5068413 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 Q 250,000,000 2018/06/19 2019/01/30 62.5068421 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 r 250,000,000 2018/06/19 2019/01/30 62.5068561 Credit suisse ag – geely auto r Bull CBBC Dec 2018 J 40,000,000 2018/06/19 2018/12/14 10.00




68558 Credit suisse ag – galaxy ent r Bull CBBC Dec 2018 D 50,000,000 2018/06/19 2018/12/28 12.5068563 Credit suisse ag – Hsi r Bull CBBC Nov 2019 D 200,000,000 2018/06/19 2019/11/28 50.0068539 Credit suisse ag – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/06/19 2018/09/27 50.0068546 Credit suisse ag – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/06/19 2018/09/27 50.0068547 Credit suisse ag – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/06/19 2018/09/27 50.0068562 Credit suisse ag – Ping an r Bull CBBC Dec 2018 C 80,000,000 2018/06/19 2018/12/21 20.0068568 Credit suisse ag – tencent r Bear CBBC Dec 2018 N 50,000,000 2018/06/19 2018/12/21 12.5068511 Bank of east asia – aaC tech r Bull CBBC Oct 2018 a 40,000,000 2018/06/19 2018/10/11 10.0068509 Bank of east asia – galaxy ent r Bull CBBC Oct 2018 D 16,000,000 2018/06/19 2018/10/11 10.4068518 Bank of east asia – Ping an r Bull CBBC Oct 2018 J 120,000,000 2018/06/19 2018/10/11 30.0068501 Bank of east asia – tencent r Bull CBBC Oct 2018 B 30,000,000 2018/06/19 2018/10/11 10.5068527 goldman sachs sP (asia) – CC Bank r Bull CBBC Feb 2019 e 100,000,000 2018/06/19 2019/02/27 25.0068532 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Mar 2019 D 100,000,000 2018/06/19 2019/03/27 25.0068524 goldman sachs sP (asia) – galaxy ent r Bull CBBC Jan 2019 B 100,000,000 2018/06/19 2019/01/31 25.0068467 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 r 200,000,000 2018/06/19 2019/10/30 50.0068336 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 a 200,000,000 2018/06/19 2018/09/27 50.0068465 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/06/19 2018/09/27 50.0068520 goldman sachs sP (asia) – Ping an r Bull CBBC Feb 2019 C 100,000,000 2018/06/19 2019/02/28 25.0068342 Hk Bank – China Overseas r Bull CBBC Jul 2019 a 100,000,000 2018/06/19 2019/07/22 25.0068398 Hk Bank – CNOOC r Bear CBBC Dec 2018 a 40,000,000 2018/06/19 2018/12/03 10.0068393 Hk Bank – Hsi r Bull CBBC Jul 2019 B 100,000,000 2018/06/19 2019/07/30 25.0068394 Hk Bank – Hsi r Bull CBBC sep 2019 B 100,000,000 2018/06/19 2019/09/27 25.0068390 Hk Bank – Hsi r Bear CBBC Oct 2018 a 150,000,000 2018/06/19 2018/10/30 37.5068391 Hk Bank – PetroChina r Bear CBBC Dec 2018 a 40,000,000 2018/06/19 2018/12/17 10.0068386 Hk Bank – tencent r Bull CBBC Nov 2018 V 60,000,000 2018/06/19 2018/11/01 15.0068348 Hk Bank – tencent r Bull CBBC Dec 2018 D 60,000,000 2018/06/19 2018/12/24 18.0068346 Hk Bank – tencent r Bear CBBC Nov 2018 g 50,000,000 2018/06/19 2018/11/12 12.5068473 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/06/19 2019/11/28 50.0068468 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/06/19 2018/09/27 50.0068475 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 C 200,000,000 2018/06/19 2018/09/27 50.0068486 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/06/19 2018/09/27 50.0068491 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/06/19 2018/09/27 50.0068493 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 F 50,000,000 2018/06/19 2018/10/19 12.5068500 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 B 50,000,000 2018/06/19 2018/10/19 12.5068449 Macquarie Bank ltd. – tencent r Bull CBBC Oct 2018 D 15,500,000 2018/06/19 2018/10/16 10.0368456 Macquarie Bank ltd. – tencent r Bull CBBC Oct 2018 e 14,500,000 2018/06/19 2018/10/16 10.0668460 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 i 20,600,000 2018/06/19 2018/10/16 10.0368464 Macquarie Bank ltd. – tencent r Bear CBBC Oct 2018 J 16,900,000 2018/06/19 2018/10/16 10.0668578 sg issuer – aia r Bull CBBC Dec 2018 l 60,000,000 2018/06/19 2018/12/12 15.0068574 sg issuer – China life r Bull CBBC Dec 2018 H 40,000,000 2018/06/19 2018/12/20 10.0068589 sg issuer – geely auto r Bull CBBC sep 2018 l 40,000,000 2018/06/19 2018/09/27 10.0068586 sg issuer – galaxy ent r Bull CBBC Dec 2018 l 80,000,000 2018/06/19 2018/12/14 20.0068587 sg issuer – galaxy ent r Bull CBBC Dec 2018 M 80,000,000 2018/06/19 2018/12/19 20.0068585 sg issuer – galaxy ent r Bear CBBC Oct 2018 g 80,000,000 2018/06/19 2018/10/31 20.0068592 sg issuer – HsBC r Bull CBBC Nov 2018 C 100,000,000 2018/06/19 2018/11/08 25.00




68613 sg issuer – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/06/19 2019/12/30 50.0068606 sg issuer – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/06/19 2018/09/27 50.0068607 sg issuer – Hsi r Bear CBBC Nov 2018 O 200,000,000 2018/06/19 2018/11/29 50.0068604 sg issuer – PetroChina r Bull CBBC Dec 2018 F 40,000,000 2018/06/19 2018/12/13 10.0068594 sg issuer – Ping an r Bull CBBC Nov 2018 Z 100,000,000 2018/06/19 2018/11/16 25.0068602 sg issuer – sands China r Bull CBBC Mar 2019 B 60,000,000 2018/06/19 2019/03/25 15.0068614 sg issuer – tencent r Bull CBBC Oct 2018 M 80,000,000 2018/06/19 2018/10/08 20.0068576 sg issuer – tencent r Bear CBBC Oct 2018 M 80,000,000 2018/06/19 2018/10/04 20.0068445 UBs ag – geely auto r Bull CBBC Nov 2018 D 40,000,000 2018/06/19 2018/11/12 10.0068444 UBs ag – galaxy ent r Bull CBBC Nov 2018 B 40,000,000 2018/06/19 2018/11/05 10.0068423 UBs ag – Hsi r Bull CBBC Dec 2019 H 200,000,000 2018/06/19 2019/12/30 50.0068424 UBs ag – Hsi r Bear CBBC sep 2018 B 250,000,000 2018/06/19 2018/09/27 62.5068431 UBs ag – Hsi r Bear CBBC Oct 2018 i 250,000,000 2018/06/19 2018/10/30 62.5068443 UBs ag – Hsi r Bear CBBC Oct 2018 J 250,000,000 2018/06/19 2018/10/30 62.5068446 UBs ag – tencent r Bear CBBC Oct 2018 l 30,000,000 2018/06/19 2018/10/30 10.2068338 Bank Vontobel – HkeX r Bull CBBC Oct 2018 e 40,000,000 2018/06/19 2018/10/19 10.0868339 Bank Vontobel – HsBC r Bull CBBC Nov 2018 a 40,000,000 2018/06/19 2018/11/09 10.1268341 Bank Vontobel – HsBC r Bear CBBC Dec 2018 a 40,000,000 2018/06/19 2018/12/07 10.1268340 Bank Vontobel – Ping an r Bull CBBC Oct 2018 D 40,000,000 2018/06/19 2018/10/26 10.2468637 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 s 250,000,000 2018/06/20 2019/01/30 62.5068720 Credit suisse ag – CNOOC r Bull CBBC Dec 2018 F 50,000,000 2018/06/20 2018/12/28 12.5068727 Credit suisse ag – HkeX r Bull CBBC Dec 2018 g 50,000,000 2018/06/20 2018/12/28 12.5068728 Credit suisse ag – HkeX r Bull CBBC Jan 2019 D 50,000,000 2018/06/20 2019/01/30 14.0068725 Credit suisse ag – HsCei r Bull CBBC Oct 2019 B 100,000,000 2018/06/20 2019/10/30 25.0068723 Credit suisse ag – Hsi r Bull CBBC sep 2019 P 200,000,000 2018/06/20 2019/09/27 50.0068690 Credit suisse ag – Hsi r Bull CBBC Nov 2019 e 200,000,000 2018/06/20 2019/11/28 50.0068701 Credit suisse ag – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/06/20 2018/10/30 50.0068707 Credit suisse ag – Hsi r Bear CBBC Oct 2018 i 200,000,000 2018/06/20 2018/10/30 50.0068710 Credit suisse ag – tencent r Bull CBBC Jan 2019 N 50,000,000 2018/06/20 2019/01/10 12.5068636 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/06/20 2019/10/30 50.0068634 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 D 200,000,000 2018/06/20 2018/09/27 50.0068670 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 M 100,000,000 2018/06/20 2019/02/27 25.0068644 Hk Bank – aBC r Bull CBBC Jan 2019 a 100,000,000 2018/06/20 2019/01/21 25.0068642 Hk Bank – CPiC r Bull CBBC Feb 2019 a 100,000,000 2018/06/20 2019/02/18 25.0068664 Hk Bank – Hsi r Bull CBBC Jul 2019 C 100,000,000 2018/06/20 2019/07/30 25.0068663 Hk Bank – Hsi r Bear CBBC Oct 2018 B 100,000,000 2018/06/20 2018/10/30 25.0068640 Hk Bank – PetroChina r Bull CBBC Dec 2018 a 80,000,000 2018/06/20 2018/12/03 20.0068655 Hk Bank – sunny Optical r Bull CBBC Nov 2018 D 40,000,000 2018/06/20 2018/11/19 10.0068656 Hk Bank – tencent r Bear CBBC Dec 2018 B 50,000,000 2018/06/20 2018/12/03 12.5068736 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 F 250,000,000 2018/06/20 2019/12/30 62.5068734 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 e 200,000,000 2018/06/20 2018/09/27 50.0068738 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 g 50,000,000 2018/06/20 2018/10/12 12.5068742 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 C 50,000,000 2018/06/20 2018/10/12 12.5068666 Macquarie Bank ltd. – CC Bank r Bull CBBC Dec 2018 a 38,500,000 2018/06/20 2018/12/28 10.0568668 Macquarie Bank ltd. – CC Bank r Bull CBBC Dec 2018 B 37,500,000 2018/06/20 2018/12/28 10.13




68778 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 r 60,000,000 2018/06/20 2018/11/28 15.0068794 sg issuer – Hsi r Bull CBBC sep 2019 X 200,000,000 2018/06/20 2019/09/27 50.0068780 sg issuer – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/06/20 2019/11/28 50.0068797 sg issuer – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/06/20 2019/12/30 50.0068756 sg issuer – Hsi r Bear CBBC sep 2018 B 200,000,000 2018/06/20 2018/09/27 50.0068746 sg issuer – Hsi r Bear CBBC sep 2018 Z 200,000,000 2018/06/20 2018/09/27 50.0068757 sg issuer – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/06/20 2018/10/30 50.0068760 sg issuer – PetroChina r Bull CBBC Dec 2018 g 40,000,000 2018/06/20 2018/12/18 10.0068762 sg issuer – Ping an r Bull CBBC Dec 2018 C 100,000,000 2018/06/20 2018/12/18 25.0068800 sg issuer – sunny Optical r Bear CBBC Oct 2018 a 40,000,000 2018/06/20 2018/10/26 13.8068801 sg issuer – tencent r Bull CBBC Oct 2018 N 80,000,000 2018/06/20 2018/10/05 20.0068680 UBs ag – Hsi r Bull CBBC Oct 2019 s 250,000,000 2018/06/20 2019/10/30 62.5068677 UBs ag – Hsi r Bull CBBC Nov 2019 Z 200,000,000 2018/06/20 2019/11/28 50.0068671 UBs ag – Hsi r Bear CBBC sep 2018 k 200,000,000 2018/06/20 2018/09/27 50.0068673 UBs ag – Hsi r Bear CBBC Oct 2018 k 250,000,000 2018/06/20 2018/10/30 62.5068687 UBs ag – tencent r Bull CBBC sep 2018 D 30,000,000 2018/06/20 2018/09/24 10.2068616 Bank Vontobel – Hsi N Bull CBBC Jan 2019 N 100,000,000 2018/06/20 2019/01/30 25.2068617 Bank Vontobel – Hsi N Bull CBBC Jan 2019 O 100,000,000 2018/06/20 2019/01/30 25.3068619 Bank Vontobel – Hsi N Bear CBBC Nov 2018 s 100,000,000 2018/06/20 2018/11/29 25.1068633 Bank Vontobel – Hsi N Bear CBBC Nov 2018 t 100,000,000 2018/06/20 2018/11/29 25.0068873 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/06/21 2019/12/30 62.5068867 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Y 250,000,000 2018/06/21 2019/12/30 62.5068868 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Z 250,000,000 2018/06/21 2019/12/30 62.5068896 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 t 250,000,000 2018/06/21 2019/01/30 62.5068897 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 U 250,000,000 2018/06/21 2019/01/30 62.5068921 Credit suisse ag – CPiC r Bull CBBC Feb 2019 a 50,000,000 2018/06/21 2019/02/27 12.5068912 Credit suisse ag – HkeX r Bull CBBC Jan 2019 e 50,000,000 2018/06/21 2019/01/18 14.5068903 Credit suisse ag – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/06/21 2019/10/30 50.0068905 Credit suisse ag – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/06/21 2019/10/30 50.0068910 Credit suisse ag – Hsi r Bull CBBC Nov 2019 F 200,000,000 2018/06/21 2019/11/28 50.0068926 Credit suisse ag – Hsi r Bear CBBC sep 2018 l 200,000,000 2018/06/21 2018/09/27 50.0068931 Credit suisse ag – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/06/21 2018/09/27 50.0068933 Credit suisse ag – Hsi r Bear CBBC Nov 2018 C 250,000,000 2018/06/21 2018/11/29 62.5068864 goldman sachs sP (asia) – HkeX r Bull CBBC Feb 2019 C 100,000,000 2018/06/21 2019/02/27 25.0068804 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 a 100,000,000 2018/06/21 2019/12/30 25.0068805 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 P 100,000,000 2018/06/21 2019/12/30 25.0068862 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 l 100,000,000 2018/06/21 2020/01/30 25.0069037 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 X 100,000,000 2018/06/21 2018/10/30 25.0069039 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 Y 100,000,000 2018/06/21 2018/10/30 25.0068807 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 N 100,000,000 2018/06/21 2019/02/27 25.0068859 Hk Bank – HkeX r Bear CBBC Nov 2018 D 40,000,000 2018/06/21 2018/11/26 10.0068815 Hk Bank – Hsi r Bull CBBC Jul 2019 D 150,000,000 2018/06/21 2019/07/30 37.5068816 Hk Bank – Hsi r Bull CBBC Jul 2019 e 100,000,000 2018/06/21 2019/07/30 25.0068855 Hk Bank – Hsi r Bull CBBC sep 2019 C 150,000,000 2018/06/21 2019/09/27 37.5068857 Hk Bank – Hsi r Bull CBBC Dec 2019 a 150,000,000 2018/06/21 2019/12/30 37.50




68850 Hk Bank – Hsi r Bear CBBC Oct 2018 C 100,000,000 2018/06/21 2018/10/30 25.0068861 Hk Bank – Ping an r Bear CBBC Dec 2018 a 80,000,000 2018/06/21 2018/12/31 20.0069023 J P Morgan sP BV – aaC tech r Bull CBBC Oct 2018 B 50,000,000 2018/06/21 2018/10/19 12.5069026 J P Morgan sP BV – aaC tech r Bear CBBC Nov 2018 B 40,000,000 2018/06/21 2018/11/16 10.0069016 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/06/21 2019/10/30 50.0069014 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/06/21 2019/11/28 50.0069015 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 J 250,000,000 2018/06/21 2019/12/30 62.5069029 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 F 200,000,000 2018/06/21 2018/09/27 50.0069030 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 g 200,000,000 2018/06/21 2018/09/27 50.0069034 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 H 250,000,000 2018/06/21 2018/09/27 62.5069021 J P Morgan sP BV – tencent r Bull CBBC sep 2018 O 50,000,000 2018/06/21 2018/09/21 12.5069018 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 H 50,000,000 2018/06/21 2018/10/12 12.5069019 J P Morgan sP BV – tencent r Bear CBBC sep 2018 M 50,000,000 2018/06/21 2018/09/21 12.5068972 sg issuer – COVs r Bull CBBC Oct 2019 a 100,000,000 2018/06/21 2019/10/30 25.0068997 sg issuer – galaxy ent r Bull CBBC Dec 2018 N 80,000,000 2018/06/21 2018/12/21 20.0069011 sg issuer – HkeX r Bull CBBC Oct 2018 O 50,000,000 2018/06/21 2018/10/12 12.5068962 sg issuer – Hsi r Bull CBBC sep 2019 t 200,000,000 2018/06/21 2019/09/27 50.0068965 sg issuer – Hsi r Bull CBBC Oct 2019 l 200,000,000 2018/06/21 2019/10/30 50.0068967 sg issuer – Hsi r Bull CBBC Oct 2019 Q 200,000,000 2018/06/21 2019/10/30 50.0068963 sg issuer – Hsi r Bull CBBC Nov 2019 O 200,000,000 2018/06/21 2019/11/28 50.0068976 sg issuer – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/06/21 2018/10/30 50.0068979 sg issuer – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/06/21 2018/10/30 50.0068989 sg issuer – Hsi r Bear CBBC Dec 2018 k 200,000,000 2018/06/21 2018/12/28 50.0068993 sg issuer – Hsi r Bear CBBC Dec 2018 l 200,000,000 2018/06/21 2018/12/28 50.0068956 sg issuer – sUNaC r Bull CBBC Jul 2019 B 80,000,000 2018/06/21 2019/07/30 20.0068960 sg issuer – tencent r Bull CBBC Oct 2018 O 80,000,000 2018/06/21 2018/10/12 20.0068973 sg issuer – tencent r Bull CBBC Oct 2018 P 80,000,000 2018/06/21 2018/10/04 20.0069012 sg issuer – tencent r Bear CBBC Oct 2018 N 80,000,000 2018/06/21 2018/10/05 20.0068935 UBs ag – Hsi r Bull CBBC Oct 2019 U 250,000,000 2018/06/21 2019/10/30 62.5068947 UBs ag – Hsi r Bull CBBC Oct 2019 Y 200,000,000 2018/06/21 2019/10/30 50.0068939 UBs ag – Hsi r Bull CBBC Dec 2019 i 250,000,000 2018/06/21 2019/12/30 62.5068955 UBs ag – Hsi r Bear CBBC sep 2018 a 200,000,000 2018/06/21 2018/09/27 50.0068948 UBs ag – Hsi r Bear CBBC sep 2018 l 250,000,000 2018/06/21 2018/09/27 62.5068950 UBs ag – Hsi r Bear CBBC sep 2018 M 200,000,000 2018/06/21 2018/09/27 50.0068945 UBs ag – tencent r Bull CBBC Oct 2018 N 30,000,000 2018/06/21 2018/10/18 10.2068946 UBs ag – tencent r Bull CBBC Nov 2018 i 30,000,000 2018/06/21 2018/11/12 10.2068877 Bank Vontobel – Hsi r Bull CBBC Jan 2019 P 100,000,000 2018/06/21 2019/01/30 25.2068898 Bank Vontobel – Hsi r Bear CBBC Nov 2018 U 100,000,000 2018/06/21 2018/11/29 25.1068901 Bank Vontobel – Hsi r Bear CBBC Nov 2018 V 100,000,000 2018/06/21 2018/11/29 25.2068895 Bank Vontobel – tencent r Bull CBBC Dec 2018 P 40,000,000 2018/06/21 2018/12/07 10.2869120 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 B 250,000,000 2018/06/22 2019/12/30 62.5069121 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 C 250,000,000 2018/06/22 2019/12/30 62.5069117 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 Q 250,000,000 2018/06/22 2019/12/30 62.5069125 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 V 250,000,000 2018/06/22 2019/01/30 62.5069126 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 W 250,000,000 2018/06/22 2019/01/30 62.50




69133 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 X 250,000,000 2018/06/22 2019/01/30 62.5069124 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 s 50,000,000 2018/06/22 2018/11/29 12.5069189 Credit suisse ag – China life r Bull CBBC Dec 2018 C 40,000,000 2018/06/22 2018/12/28 10.0069166 Credit suisse ag – HkeX r Bull CBBC Jan 2019 F 50,000,000 2018/06/22 2019/01/25 14.5069170 Credit suisse ag – HkeX r Bear CBBC Jan 2019 a 50,000,000 2018/06/22 2019/01/18 12.5069188 Credit suisse ag – HsCei r Bear CBBC Oct 2018 C 100,000,000 2018/06/22 2018/10/30 25.0069159 Credit suisse ag – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/06/22 2019/11/28 50.0069160 Credit suisse ag – Hsi r Bull CBBC Nov 2019 s 200,000,000 2018/06/22 2019/11/28 50.0069165 Credit suisse ag – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/06/22 2019/11/28 50.0069171 Credit suisse ag – Hsi r Bull CBBC Dec 2019 r 250,000,000 2018/06/22 2019/12/30 62.5069174 Credit suisse ag – Hsi r Bear CBBC sep 2018 O 200,000,000 2018/06/22 2018/09/27 50.0069175 Credit suisse ag – Hsi r Bear CBBC sep 2018 s 200,000,000 2018/06/22 2018/09/27 50.0069185 Credit suisse ag – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/06/22 2018/10/30 50.0069187 Credit suisse ag – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/06/22 2018/10/30 50.0069163 Credit suisse ag – Ping an r Bear CBBC Dec 2018 e 50,000,000 2018/06/22 2018/12/28 12.5069161 Credit suisse ag – tencent r Bull CBBC Jan 2019 O 50,000,000 2018/06/22 2019/01/30 12.5069298 goldman sachs sP (asia) – aia r Bull CBBC Jan 2019 a 100,000,000 2018/06/22 2019/01/31 25.0069200 goldman sachs sP (asia) – CC Bank r Bull CBBC Feb 2019 F 100,000,000 2018/06/22 2019/02/28 25.0069090 goldman sachs sP (asia) – HkeX r Bull CBBC Jan 2019 a 100,000,000 2018/06/22 2019/01/31 25.0069084 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 P 100,000,000 2018/06/22 2019/11/28 25.0069191 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 s 100,000,000 2018/06/22 2019/11/28 25.0069079 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 t 100,000,000 2018/06/22 2019/11/28 25.0069296 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 e 100,000,000 2018/06/22 2018/09/27 25.0069297 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 F 100,000,000 2018/06/22 2018/09/27 25.0069293 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 k 100,000,000 2018/06/22 2018/09/27 25.0069294 goldman sachs sP (asia) – Hsi r Bear CBBC sep 2018 V 100,000,000 2018/06/22 2018/09/27 25.0069085 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 O 100,000,000 2018/06/22 2019/02/28 25.0069192 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 P 100,000,000 2018/06/22 2019/02/28 25.0069097 Hk Bank – HsCei r Bull CBBC sep 2019 a 60,000,000 2018/06/22 2019/09/27 15.0069098 Hk Bank – HsCei r Bear CBBC Oct 2018 g 50,000,000 2018/06/22 2018/10/30 12.5069074 Hk Bank – Hsi r Bull CBBC Jul 2019 F 150,000,000 2018/06/22 2019/07/30 37.5069099 Hk Bank – Hsi r Bear CBBC Oct 2018 D 150,000,000 2018/06/22 2018/10/30 37.5069116 Hk Bank – PetroChina r Bear CBBC Nov 2018 B 50,000,000 2018/06/22 2018/11/26 12.5069069 Hk Bank – tencent r Bull CBBC Nov 2018 W 60,000,000 2018/06/22 2018/11/15 15.0069111 Hk Bank – tencent r Bear CBBC Nov 2018 H 50,000,000 2018/06/22 2018/11/05 12.5069271 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 M 250,000,000 2018/06/22 2019/10/30 62.5069247 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 X 200,000,000 2018/06/22 2019/11/28 50.0069246 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 N 250,000,000 2018/06/22 2019/12/30 62.5069285 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 i 200,000,000 2018/06/22 2018/09/27 50.0069286 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 J 250,000,000 2018/06/22 2018/09/27 62.5069288 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 k 250,000,000 2018/06/22 2018/09/27 62.5069292 J P Morgan sP BV – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/06/22 2018/09/27 50.0069273 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 i 50,000,000 2018/06/22 2018/10/12 12.5069276 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 J 50,000,000 2018/06/22 2018/10/12 12.5069277 J P Morgan sP BV – tencent r Bull CBBC Nov 2018 a 50,000,000 2018/06/22 2018/11/09 12.50




69280 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 D 50,000,000 2018/06/22 2018/10/12 12.5069243 sg issuer – Hsi r Bull CBBC sep 2019 C 200,000,000 2018/06/22 2019/09/27 50.0069230 sg issuer – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/06/22 2019/10/30 50.0069205 sg issuer – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/06/22 2019/10/30 50.0069206 sg issuer – Hsi r Bull CBBC Nov 2019 U 200,000,000 2018/06/22 2019/11/28 50.0069235 sg issuer – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/06/22 2018/10/30 50.0069236 sg issuer – Hsi r Bear CBBC Nov 2018 a 200,000,000 2018/06/22 2018/11/29 50.0069239 sg issuer – Hsi r Bear CBBC Nov 2018 P 200,000,000 2018/06/22 2018/11/29 50.0069242 sg issuer – Hsi r Bear CBBC Dec 2018 P 200,000,000 2018/06/22 2018/12/28 50.0069202 sg issuer – tencent r Bull CBBC Oct 2018 l 80,000,000 2018/06/22 2018/10/19 20.0069201 sg issuer – tencent r Bull CBBC Oct 2018 Q 80,000,000 2018/06/22 2018/10/04 20.0069207 sg issuer – tencent r Bull CBBC Oct 2018 r 80,000,000 2018/06/22 2018/10/08 20.0069211 sg issuer – tencent r Bear CBBC Oct 2018 O 80,000,000 2018/06/22 2018/10/08 20.0069152 UBs ag – Hsi r Bull CBBC Nov 2019 J 250,000,000 2018/06/22 2019/11/28 62.5069138 UBs ag – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/06/22 2019/11/28 50.0069137 UBs ag – Hsi r Bull CBBC Dec 2019 V 250,000,000 2018/06/22 2019/12/30 62.5069153 UBs ag – Hsi r Bear CBBC sep 2018 N 200,000,000 2018/06/22 2018/09/27 50.0069156 UBs ag – Hsi r Bear CBBC sep 2018 O 250,000,000 2018/06/22 2018/09/27 62.5069157 UBs ag – Hsi r Bear CBBC sep 2018 Q 250,000,000 2018/06/22 2018/09/27 62.5069144 UBs ag – tencent r Bull CBBC Oct 2018 O 30,000,000 2018/06/22 2018/10/23 10.2069147 UBs ag – tencent r Bull CBBC Nov 2018 J 30,000,000 2018/06/22 2018/11/09 10.2069066 Bank Vontobel – Hsi r Bull CBBC Jan 2019 Q 100,000,000 2018/06/22 2019/01/30 25.2069092 Bank Vontobel – Hsi r Bull CBBC Jan 2019 r 100,000,000 2018/06/22 2019/01/30 25.0069095 Bank Vontobel – tencent r Bull CBBC Dec 2018 Q 40,000,000 2018/06/22 2018/12/07 10.0069327 BOCi asia ltd. – CC Bank r Bull CBBC Oct 2018 B 80,000,000 2018/06/25 2018/10/29 20.0869387 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 i 250,000,000 2018/06/25 2019/12/30 62.5069381 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 Y 250,000,000 2018/06/25 2019/01/30 62.5069393 Credit suisse ag – aia r Bear CBBC Jan 2019 e 50,000,000 2018/06/25 2019/01/11 12.5069390 Credit suisse ag – Hsi r Bull CBBC Oct 2019 Z 200,000,000 2018/06/25 2019/10/30 50.0069395 Credit suisse ag – Hsi r Bear CBBC sep 2018 P 200,000,000 2018/06/25 2018/09/27 50.0069402 Credit suisse ag – Hsi r Bear CBBC sep 2018 Q 200,000,000 2018/06/25 2018/09/27 50.0069400 Credit suisse ag – Hsi r Bear CBBC Oct 2018 M 200,000,000 2018/06/25 2018/10/30 50.0069401 Credit suisse ag – Hsi r Bear CBBC Oct 2018 V 200,000,000 2018/06/25 2018/10/30 50.0069392 Credit suisse ag – tencent r Bull CBBC Jan 2019 P 50,000,000 2018/06/25 2019/01/11 12.5069358 goldman sachs sP (asia) – HkeX r Bull CBBC Jan 2019 B 100,000,000 2018/06/25 2019/01/29 25.0069349 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 J 100,000,000 2018/06/25 2020/01/30 25.0069322 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 a 100,000,000 2018/06/25 2018/10/30 25.0069324 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 B 100,000,000 2018/06/25 2018/10/30 25.0069316 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 Z 100,000,000 2018/06/25 2018/10/30 25.0069466 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 D 100,000,000 2018/06/25 2018/11/29 25.0069359 goldman sachs sP (asia) – Ping an r Bull CBBC Dec 2018 D 100,000,000 2018/06/25 2018/12/31 25.0069357 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 Q 100,000,000 2018/06/25 2019/02/27 25.0069302 Hk Bank – Bank of China r Bear CBBC Dec 2018 a 50,000,000 2018/06/25 2018/12/17 12.5069308 Hk Bank – HsCei r Bull CBBC sep 2019 B 60,000,000 2018/06/25 2019/09/27 15.0069313 Hk Bank – HsCei r Bull CBBC sep 2019 C 60,000,000 2018/06/25 2019/09/27 15.00




69304 Hk Bank – Hsi r Bull CBBC Jul 2019 g 100,000,000 2018/06/25 2019/07/30 25.0069306 Hk Bank – Hsi r Bear CBBC Oct 2018 e 150,000,000 2018/06/25 2018/10/30 37.5069305 Hk Bank – Hsi r Bear CBBC Oct 2018 F 150,000,000 2018/06/25 2018/10/30 37.5069315 Hk Bank – iCBC r Bull CBBC Dec 2018 a 100,000,000 2018/06/25 2018/12/24 25.0069301 Hk Bank – iCBC r Bear CBBC Nov 2018 a 50,000,000 2018/06/25 2018/11/26 12.5069307 Hk Bank – Ping an r Bull CBBC Nov 2018 P 100,000,000 2018/06/25 2018/11/26 25.0069303 Hk Bank – sunny Optical r Bear CBBC Oct 2018 a 40,000,000 2018/06/25 2018/10/15 10.0069411 J P Morgan sP BV – aia r Bull CBBC Oct 2018 B 100,000,000 2018/06/25 2018/10/12 25.0069403 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Y 200,000,000 2018/06/25 2019/12/30 50.0069404 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 F 300,000,000 2018/06/25 2018/10/30 75.0069412 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 g 200,000,000 2018/06/25 2018/10/30 50.0069413 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/06/25 2018/10/30 50.0069424 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 i 300,000,000 2018/06/25 2018/10/30 75.0069428 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 J 300,000,000 2018/06/25 2018/10/30 75.0069407 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 k 50,000,000 2018/06/25 2018/10/19 12.5069405 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 e 50,000,000 2018/06/25 2018/10/19 12.5069360 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 i 17,000,000 2018/06/25 2018/11/15 10.0869370 Macquarie Bank ltd. – tencent r Bull CBBC Nov 2018 J 18,000,000 2018/06/25 2018/11/15 10.0669439 sg issuer – aia r Bull CBBC Nov 2018 F 60,000,000 2018/06/25 2018/11/16 15.0069459 sg issuer – aia r Bull CBBC Nov 2018 g 60,000,000 2018/06/25 2018/11/23 15.0069463 sg issuer – China Mobile r Bull CBBC Dec 2018 t 100,000,000 2018/06/25 2018/12/28 25.0069458 sg issuer – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/06/25 2019/10/30 50.0069435 sg issuer – Hsi r Bull CBBC Dec 2019 D 200,000,000 2018/06/25 2019/12/30 50.0069429 sg issuer – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/06/25 2019/12/30 50.0069455 sg issuer – Hsi r Bear CBBC Oct 2018 J 200,000,000 2018/06/25 2018/10/30 50.0069433 sg issuer – Hsi r Bear CBBC Oct 2018 O 200,000,000 2018/06/25 2018/10/30 50.0069434 sg issuer – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/06/25 2018/10/30 50.0069454 sg issuer – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/06/25 2018/10/30 50.0069465 sg issuer – Hsi r Bear CBBC Nov 2018 r 200,000,000 2018/06/25 2018/11/29 50.0069445 sg issuer – tencent r Bull CBBC Oct 2018 s 80,000,000 2018/06/25 2018/10/08 20.0069451 sg issuer – tencent r Bull CBBC Oct 2018 U 80,000,000 2018/06/25 2018/10/11 20.0069342 UBs ag – Hsi r Bull CBBC Oct 2019 H 200,000,000 2018/06/25 2019/10/30 50.0069330 UBs ag – Hsi r Bull CBBC Dec 2019 l 200,000,000 2018/06/25 2019/12/30 50.0069331 UBs ag – Hsi r Bear CBBC sep 2018 r 200,000,000 2018/06/25 2018/09/27 50.0069339 UBs ag – Hsi r Bear CBBC sep 2018 t 200,000,000 2018/06/25 2018/09/27 50.0069341 UBs ag – Hsi r Bear CBBC sep 2018 U 250,000,000 2018/06/25 2018/09/27 62.5069338 UBs ag – Hsi r Bear CBBC Oct 2018 l 250,000,000 2018/06/25 2018/10/30 62.5069329 UBs ag – tencent r Bull CBBC Oct 2018 r 30,000,000 2018/06/25 2018/10/24 10.2069379 Bank Vontobel – Hsi r Bear CBBC Nov 2018 W 100,000,000 2018/06/25 2018/11/29 25.4069380 Bank Vontobel – Hsi r Bear CBBC Nov 2018 X 100,000,000 2018/06/25 2018/11/29 25.3069673 BOCi asia ltd. – CC Bank r Bull CBBC Oct 2018 C 80,000,000 2018/06/26 2018/10/08 20.0069676 BOCi asia ltd. – geely auto r Bull CBBC Oct 2018 C 40,000,000 2018/06/26 2018/10/22 10.0869690 BOCi asia ltd. – galaxy ent r Bull CBBC Oct 2018 D 50,000,000 2018/06/26 2018/10/22 12.5069680 BOCi asia ltd. – HsBC r Bull CBBC Nov 2018 a 70,000,000 2018/06/26 2018/11/05 17.7169674 BOCi asia ltd. – iCBC r Bull CBBC Oct 2018 C 80,000,000 2018/06/26 2018/10/15 20.00




69672 BOCi asia ltd. – tencent r Bull CBBC Oct 2018 e 40,000,000 2018/06/26 2018/10/22 10.6069626 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 X 100,000,000 2018/06/26 2018/11/29 25.0069627 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 Y 100,000,000 2018/06/26 2018/11/29 25.0069629 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 F 50,000,000 2018/06/26 2019/03/28 12.5069631 BNP Paribas issuance B.V. – HsCei r Bear CBBC Jan 2019 C 100,000,000 2018/06/26 2019/01/30 25.0069632 BNP Paribas issuance B.V. – HsCei r Bear CBBC Jan 2019 D 100,000,000 2018/06/26 2019/01/30 25.0069550 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 a 250,000,000 2018/06/26 2019/12/30 62.5069551 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 D 250,000,000 2018/06/26 2019/12/30 62.5069554 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 e 250,000,000 2018/06/26 2019/12/30 62.5069621 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 g 250,000,000 2018/06/26 2019/12/30 62.5069544 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 J 250,000,000 2018/06/26 2019/12/30 62.5069638 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 O 250,000,000 2018/06/26 2019/12/30 62.5069546 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 t 250,000,000 2018/06/26 2019/12/30 62.5069548 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 X 250,000,000 2018/06/26 2019/12/30 62.5069563 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 a 250,000,000 2018/06/26 2019/01/30 62.5069564 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 B 250,000,000 2018/06/26 2019/01/30 62.5069565 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 C 250,000,000 2018/06/26 2019/01/30 62.5069567 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 D 250,000,000 2018/06/26 2019/01/30 62.5069570 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 e 250,000,000 2018/06/26 2019/01/30 62.5069574 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 F 250,000,000 2018/06/26 2019/01/30 62.5069805 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 g 250,000,000 2018/06/26 2019/01/30 62.5069811 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 H 250,000,000 2018/06/26 2019/01/30 62.5069556 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 Z 250,000,000 2018/06/26 2019/01/30 62.5069628 BNP Paribas issuance B.V. – Ping an r Bear CBBC Nov 2018 i 200,000,000 2018/06/26 2018/11/29 50.0069633 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 Q 50,000,000 2018/06/26 2018/11/29 12.5069983 Credit suisse ag – aia r Bear CBBC Jan 2019 F 50,000,000 2018/06/26 2019/01/30 12.5069965 Credit suisse ag – China Mobile r Bull CBBC Dec 2018 a 70,000,000 2018/06/26 2018/12/28 17.5069954 Credit suisse ag – galaxy ent r Bull CBBC Nov 2018 H 50,000,000 2018/06/26 2018/11/29 12.5069956 Credit suisse ag – galaxy ent r Bear CBBC Dec 2018 B 50,000,000 2018/06/26 2018/12/21 12.5069957 Credit suisse ag – HkeX r Bull CBBC Feb 2019 B 50,000,000 2018/06/26 2019/02/27 14.0069960 Credit suisse ag – HkeX r Bear CBBC Jan 2019 B 50,000,000 2018/06/26 2019/01/30 12.5069947 Credit suisse ag – HsBC r Bull CBBC Dec 2018 k 80,000,000 2018/06/26 2018/12/28 20.0069953 Credit suisse ag – HsBC r Bear CBBC Dec 2018 a 50,000,000 2018/06/26 2018/12/28 12.5060069 Credit suisse ag – HsCei r Bull CBBC sep 2019 C 100,000,000 2018/06/26 2019/09/27 25.0060080 Credit suisse ag – HsCei r Bear CBBC sep 2018 e 100,000,000 2018/06/26 2018/09/27 25.0060072 Credit suisse ag – HsCei r Bear CBBC Oct 2018 D 100,000,000 2018/06/26 2018/10/30 25.0069940 Credit suisse ag – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/06/26 2019/10/30 50.0069937 Credit suisse ag – Hsi r Bull CBBC Oct 2019 X 200,000,000 2018/06/26 2019/10/30 50.0069927 Credit suisse ag – Hsi r Bull CBBC Nov 2019 a 200,000,000 2018/06/26 2019/11/28 50.0069916 Credit suisse ag – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/06/26 2019/11/28 50.0069920 Credit suisse ag – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/06/26 2019/11/28 50.0069935 Credit suisse ag – Hsi r Bull CBBC Nov 2019 P 200,000,000 2018/06/26 2019/11/28 50.0069936 Credit suisse ag – Hsi r Bull CBBC Nov 2019 t 200,000,000 2018/06/26 2019/11/28 50.0069924 Credit suisse ag – Hsi r Bull CBBC Nov 2019 V 200,000,000 2018/06/26 2019/11/28 50.0069923 Credit suisse ag – Hsi r Bull CBBC Nov 2019 X 200,000,000 2018/06/26 2019/11/28 50.00




60003 Credit suisse ag – Hsi r Bear CBBC sep 2018 U 200,000,000 2018/06/26 2018/09/27 50.0060042 Credit suisse ag – Hsi r Bear CBBC sep 2018 Y 200,000,000 2018/06/26 2018/09/27 50.0060068 Credit suisse ag – Hsi r Bear CBBC Oct 2018 a 200,000,000 2018/06/26 2018/10/30 50.0060040 Credit suisse ag – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/06/26 2018/10/30 50.0069997 Credit suisse ag – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/06/26 2018/10/30 50.0069999 Credit suisse ag – Hsi r Bear CBBC Oct 2018 X 200,000,000 2018/06/26 2018/10/30 50.0060044 Credit suisse ag – Hsi r Bear CBBC Oct 2018 Y 200,000,000 2018/06/26 2018/10/30 50.0060049 Credit suisse ag – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/06/26 2018/10/30 50.0069933 Credit suisse ag – Ping an r Bull CBBC Jan 2019 a 80,000,000 2018/06/26 2019/01/30 20.0069995 Credit suisse ag – Ping an r Bear CBBC Jan 2019 a 50,000,000 2018/06/26 2019/01/30 12.5069986 Credit suisse ag – sands China r Bull CBBC Jan 2019 C 50,000,000 2018/06/26 2019/01/24 12.5069928 Credit suisse ag – tencent r Bull CBBC Jan 2019 Q 50,000,000 2018/06/26 2019/01/30 12.5069963 Credit suisse ag – tencent r Bull CBBC Jan 2019 r 50,000,000 2018/06/26 2019/01/24 12.5069964 Credit suisse ag – tencent r Bear CBBC Jan 2019 B 50,000,000 2018/06/26 2019/01/30 12.5060081 Credit suisse ag – tencent r Bear CBBC Jan 2019 C 50,000,000 2018/06/26 2019/01/24 12.5069619 Bank of east asia – tencent r Bull CBBC Nov 2018 C 30,000,000 2018/06/26 2018/11/02 10.5060159 goldman sachs sP (asia) – Bank of China r Bull CBBC Feb 19 J 100,000,000 2018/06/26 2019/02/27 25.0060148 goldman sachs sP (asia) – China life r Bull CBBC Feb 2019 C 100,000,000 2018/06/26 2019/02/27 25.0069507 goldman sachs sP (asia) – HkeX r Bull CBBC Jan 2019 C 100,000,000 2018/06/26 2019/01/30 25.0069723 goldman sachs sP (asia) – HkeX r Bull CBBC Jan 2019 D 100,000,000 2018/06/26 2019/01/30 25.0069513 goldman sachs sP (asia) – HsBC r Bull CBBC Dec 2018 X 100,000,000 2018/06/26 2018/12/31 25.0060184 goldman sachs sP (asia) – HsCei r Bear CBBC Oct 2018 a 100,000,000 2018/06/26 2018/10/30 25.3069482 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 Q 100,000,000 2018/06/26 2019/12/30 25.0069475 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 O 100,000,000 2018/06/26 2020/01/30 25.0069477 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 P 100,000,000 2018/06/26 2020/01/30 25.0069480 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 Q 100,000,000 2018/06/26 2020/01/30 25.0069721 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 r 100,000,000 2018/06/26 2020/01/30 25.0069481 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 s 100,000,000 2018/06/26 2020/01/30 25.0069717 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 t 100,000,000 2018/06/26 2020/01/30 25.0069720 goldman sachs sP (asia) – Hsi r Bull CBBC Jan 2020 U 100,000,000 2018/06/26 2020/01/30 25.0060165 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 C 100,000,000 2018/06/26 2018/10/30 25.1060172 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 D 100,000,000 2018/06/26 2018/10/30 25.2060175 goldman sachs sP (asia) – Hsi r Bear CBBC Oct 2018 e 100,000,000 2018/06/26 2018/10/30 25.2060177 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 e 100,000,000 2018/06/26 2018/11/29 25.2060178 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 g 100,000,000 2018/06/26 2018/11/29 25.2060143 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 k 100,000,000 2018/06/26 2019/02/27 25.0069508 goldman sachs sP (asia) – Ping an r Bull CBBC Feb 2019 D 100,000,000 2018/06/26 2019/02/27 25.0069511 goldman sachs sP (asia) – Ping an r Bull CBBC Feb 2019 e 100,000,000 2018/06/26 2019/02/27 25.0069492 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 r 100,000,000 2018/06/26 2019/02/27 25.0069497 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 s 100,000,000 2018/06/26 2019/02/27 25.0069498 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 t 100,000,000 2018/06/26 2019/02/27 25.0069722 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 U 100,000,000 2018/06/26 2019/02/27 25.0060130 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 r 80,000,000 2018/06/26 2018/12/31 20.0060141 goldman sachs sP (asia) – tencent r Bear CBBC Dec 2018 s 80,000,000 2018/06/26 2018/12/31 20.0069599 Hk Bank – aBC r Bull CBBC Jan 2019 B 100,000,000 2018/06/26 2019/01/14 25.00




69543 Hk Bank – geely auto r Bull CBBC Nov 2018 C 40,000,000 2018/06/26 2018/11/26 10.0069616 Hk Bank – geely auto r Bear CBBC Nov 2018 B 40,000,000 2018/06/26 2018/11/19 14.0069532 Hk Bank – galaxy ent r Bull CBBC Nov 2018 F 80,000,000 2018/06/26 2018/11/26 20.0069604 Hk Bank – galaxy ent r Bull CBBC Nov 2018 g 80,000,000 2018/06/26 2018/11/26 20.0069606 Hk Bank – galaxy ent r Bull CBBC Dec 2018 a 80,000,000 2018/06/26 2018/12/03 20.0069612 Hk Bank – galaxy ent r Bear CBBC Nov 2018 C 40,000,000 2018/06/26 2018/11/19 10.0069533 Hk Bank – HkeX r Bull CBBC Nov 2018 P 50,000,000 2018/06/26 2018/11/26 12.5069617 Hk Bank – HkeX r Bear CBBC Dec 2018 B 40,000,000 2018/06/26 2018/12/03 10.0069590 Hk Bank – HsCei r Bull CBBC Dec 2019 a 60,000,000 2018/06/26 2019/12/30 15.0069589 Hk Bank – HsCei r Bear CBBC Oct 2018 H 50,000,000 2018/06/26 2018/10/30 12.5069521 Hk Bank – Hsi r Bull CBBC Jul 2019 H 150,000,000 2018/06/26 2019/07/30 37.5069531 Hk Bank – Hsi r Bull CBBC Jul 2019 i 150,000,000 2018/06/26 2019/07/30 37.5069587 Hk Bank – Hsi r Bull CBBC Jul 2019 J 100,000,000 2018/06/26 2019/07/30 25.0069575 Hk Bank – Hsi r Bull CBBC sep 2019 D 150,000,000 2018/06/26 2019/09/27 37.5069578 Hk Bank – Hsi r Bull CBBC Dec 2019 B 150,000,000 2018/06/26 2019/12/30 37.5069586 Hk Bank – Hsi r Bull CBBC Dec 2019 C 150,000,000 2018/06/26 2019/12/30 37.5069577 Hk Bank – Hsi r Bear CBBC Oct 2018 g 150,000,000 2018/06/26 2018/10/30 37.5069585 Hk Bank – Hsi r Bear CBBC Oct 2018 H 150,000,000 2018/06/26 2018/10/30 37.5069535 Hk Bank – tencent r Bull CBBC Nov 2018 X 60,000,000 2018/06/26 2018/11/19 15.0069537 Hk Bank – tencent r Bull CBBC Dec 2018 e 60,000,000 2018/06/26 2018/12/03 15.0069591 Hk Bank – tencent r Bear CBBC Dec 2018 C 50,000,000 2018/06/26 2018/12/10 12.5069841 J P Morgan sP BV – HkeX r Bear CBBC Oct 2018 B 40,000,000 2018/06/26 2018/10/19 10.0069905 J P Morgan sP BV – HsCei r Bull CBBC Dec 2019 i 100,000,000 2018/06/26 2019/12/30 25.0069910 J P Morgan sP BV – HsCei r Bear CBBC apr 2019 e 100,000,000 2018/06/26 2019/04/29 25.0069912 J P Morgan sP BV – HsCei r Bear CBBC apr 2019 F 100,000,000 2018/06/26 2019/04/29 25.0069788 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 l 240,000,000 2018/06/26 2019/10/30 60.0069787 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 B 200,000,000 2018/06/26 2019/11/28 50.0069801 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 g 200,000,000 2018/06/26 2019/12/30 50.0069780 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 H 240,000,000 2018/06/26 2019/12/30 60.0069842 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/06/26 2018/10/30 50.0069848 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 l 300,000,000 2018/06/26 2018/10/30 75.0069854 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 M 240,000,000 2018/06/26 2018/10/30 60.0069862 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/06/26 2018/10/30 50.0069873 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 O 300,000,000 2018/06/26 2018/10/30 75.0069881 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 P 200,000,000 2018/06/26 2018/10/30 50.0069882 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/06/26 2018/10/30 50.0069900 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 r 300,000,000 2018/06/26 2018/10/30 75.0069903 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/06/26 2018/10/30 50.0069825 J P Morgan sP BV – Ping an r Bear CBBC Oct 2018 B 100,000,000 2018/06/26 2018/10/19 25.0069803 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 l 50,000,000 2018/06/26 2018/10/19 12.5069804 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 M 50,000,000 2018/06/26 2018/10/12 12.5069820 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 N 50,000,000 2018/06/26 2018/10/12 12.5069821 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 O 50,000,000 2018/06/26 2018/10/19 12.5069814 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 F 50,000,000 2018/06/26 2018/10/19 12.5069818 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 g 50,000,000 2018/06/26 2018/10/12 12.50




69819 J P Morgan sP BV – tencent r Bear CBBC Nov 2018 a 50,000,000 2018/06/26 2018/11/09 12.5069620 Macquarie Bank ltd. – galaxy ent r Bull CBBC Jan 2019 B 39,000,000 2018/06/26 2019/01/30 10.0660338 sg issuer – China life r Bull CBBC Dec 2018 i 40,000,000 2018/06/26 2018/12/17 10.0060341 sg issuer – China life r Bull CBBC Dec 2018 J 40,000,000 2018/06/26 2018/12/19 10.0060208 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 Q 60,000,000 2018/06/26 2018/10/22 15.0060213 sg issuer – CsOP a50 etF r Bull CBBC Oct 2018 r 60,000,000 2018/06/26 2018/10/26 15.0060350 sg issuer – HkeX r Bull CBBC Oct 2018 P 50,000,000 2018/06/26 2018/10/22 12.5060256 sg issuer – HsBC r Bull CBBC Nov 2018 D 100,000,000 2018/06/26 2018/11/29 25.0060251 sg issuer – Hsi r Bull CBBC sep 2019 Y 200,000,000 2018/06/26 2019/09/27 50.0060282 sg issuer – Hsi r Bull CBBC Oct 2019 C 200,000,000 2018/06/26 2019/10/30 50.0060243 sg issuer – Hsi r Bull CBBC Oct 2019 i 200,000,000 2018/06/26 2019/10/30 50.0060331 sg issuer – Hsi r Bull CBBC Nov 2019 g 200,000,000 2018/06/26 2019/11/28 50.0060283 sg issuer – Hsi r Bull CBBC Nov 2019 N 200,000,000 2018/06/26 2019/11/28 50.0060289 sg issuer – Hsi r Bull CBBC Nov 2019 Q 200,000,000 2018/06/26 2019/11/28 50.0060291 sg issuer – Hsi r Bull CBBC Dec 2019 a 200,000,000 2018/06/26 2019/12/30 50.0060332 sg issuer – Hsi r Bull CBBC Dec 2019 C 200,000,000 2018/06/26 2019/12/30 50.0060337 sg issuer – Hsi r Bull CBBC Dec 2019 e 200,000,000 2018/06/26 2019/12/30 50.0060309 sg issuer – Hsi r Bull CBBC Dec 2019 F 200,000,000 2018/06/26 2019/12/30 50.0060214 sg issuer – Hsi r Bear CBBC Oct 2018 l 200,000,000 2018/06/26 2018/10/30 50.0060215 sg issuer – Hsi r Bear CBBC Oct 2018 Q 200,000,000 2018/06/26 2018/10/30 50.0060219 sg issuer – Hsi r Bear CBBC Nov 2018 s 200,000,000 2018/06/26 2018/11/29 50.0060227 sg issuer – Hsi r Bear CBBC Nov 2018 t 200,000,000 2018/06/26 2018/11/29 50.0060217 sg issuer – Hsi r Bear CBBC Nov 2018 U 200,000,000 2018/06/26 2018/11/29 50.0060232 sg issuer – Hsi r Bear CBBC Nov 2018 V 200,000,000 2018/06/26 2018/11/29 50.0060235 sg issuer – Hsi r Bear CBBC Nov 2018 W 200,000,000 2018/06/26 2018/11/29 50.0060236 sg issuer – Hsi r Bear CBBC Dec 2018 Q 200,000,000 2018/06/26 2018/12/28 50.0060238 sg issuer – Hsi r Bear CBBC Dec 2018 r 200,000,000 2018/06/26 2018/12/28 50.0060250 sg issuer – Hsi r Bear CBBC Dec 2018 s 200,000,000 2018/06/26 2018/12/28 50.0060352 sg issuer – iCBC r Bull CBBC Dec 2018 e 60,000,000 2018/06/26 2018/12/19 15.0060190 sg issuer – Ping an r Bull CBBC Nov 2018 B 100,000,000 2018/06/26 2018/11/15 25.0060312 sg issuer – Ping an r Bull CBBC Nov 2018 F 100,000,000 2018/06/26 2018/11/29 25.0060323 sg issuer – tencent r Bull CBBC Oct 2018 g 80,000,000 2018/06/26 2018/10/15 20.0060325 sg issuer – tencent r Bull CBBC Oct 2018 H 80,000,000 2018/06/26 2018/10/19 20.0060315 sg issuer – tencent r Bull CBBC Oct 2018 t 80,000,000 2018/06/26 2018/10/11 20.0060197 sg issuer – tencent r Bull CBBC Oct 2018 V 80,000,000 2018/06/26 2018/10/22 20.0060257 sg issuer – tencent r Bear CBBC sep 2018 D 80,000,000 2018/06/26 2018/09/27 20.0060192 sg issuer – tencent r Bear CBBC sep 2018 e 80,000,000 2018/06/26 2018/09/28 20.0060259 sg issuer – tencent r Bear CBBC sep 2018 H 80,000,000 2018/06/26 2018/09/28 20.0069779 UBs ag – CC Bank r Bull CBBC Nov 2018 B 80,000,000 2018/06/26 2018/11/15 20.0069777 UBs ag – galaxy ent r Bull CBBC Oct 2018 e 40,000,000 2018/06/26 2018/10/29 10.0069735 UBs ag – Hsi r Bull CBBC Nov 2019 e 200,000,000 2018/06/26 2019/11/28 50.0069763 UBs ag – Hsi r Bull CBBC Nov 2019 F 250,000,000 2018/06/26 2019/11/28 62.5069734 UBs ag – Hsi r Bull CBBC Nov 2019 M 250,000,000 2018/06/26 2019/11/28 62.5069742 UBs ag – Hsi r Bull CBBC Nov 2019 N 250,000,000 2018/06/26 2019/11/28 62.5069753 UBs ag – Hsi r Bull CBBC Dec 2019 B 200,000,000 2018/06/26 2019/12/30 50.00




69774 UBs ag – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/06/26 2019/12/30 50.0069732 UBs ag – Hsi r Bull CBBC Dec 2019 Q 200,000,000 2018/06/26 2019/12/30 50.0060087 UBs ag – Hsi r Bear CBBC sep 2018 V 200,000,000 2018/06/26 2018/09/27 50.0060105 UBs ag – Hsi r Bear CBBC sep 2018 W 200,000,000 2018/06/26 2018/09/27 50.0060116 UBs ag – Hsi r Bear CBBC Nov 2018 a 250,000,000 2018/06/26 2018/11/29 62.5060128 UBs ag – Hsi r Bear CBBC Nov 2018 B 200,000,000 2018/06/26 2018/11/29 50.0060088 UBs ag – Hsi r Bear CBBC Oct 2019 a 250,000,000 2018/06/26 2019/10/30 62.5060104 UBs ag – Hsi r Bear CBBC Oct 2019 B 200,000,000 2018/06/26 2019/10/30 50.0060107 UBs ag – Hsi r Bear CBBC Oct 2019 C 200,000,000 2018/06/26 2019/10/30 50.0060118 UBs ag – Hsi r Bear CBBC Oct 2019 D 250,000,000 2018/06/26 2019/10/30 62.5069760 UBs ag – tencent r Bull CBBC Oct 2018 s 30,000,000 2018/06/26 2018/10/03 10.2069761 UBs ag – tencent r Bull CBBC Oct 2018 t 30,000,000 2018/06/26 2018/10/16 10.2069775 UBs ag – tencent r Bull CBBC Oct 2018 U 30,000,000 2018/06/26 2018/10/25 10.2060124 UBs ag – tencent r Bear CBBC Oct 2018 M 30,000,000 2018/06/26 2018/10/24 10.2060125 UBs ag – tencent r Bear CBBC Oct 2018 N 30,000,000 2018/06/26 2018/10/31 10.2069715 Bank Vontobel – CC Bank r Bull CBBC Oct 2018 D 40,000,000 2018/06/26 2018/10/26 10.0069708 Bank Vontobel – CC Bank r Bear CBBC Nov 2018 C 40,000,000 2018/06/26 2018/11/16 10.0469694 Bank Vontobel – HkeX r Bear CBBC Oct 2018 a 40,000,000 2018/06/26 2018/10/19 10.1269640 Bank Vontobel – Hsi r Bull CBBC Jan 2019 s 100,000,000 2018/06/26 2019/01/30 25.2069641 Bank Vontobel – Hsi r Bull CBBC Jan 2019 t 100,000,000 2018/06/26 2019/01/30 25.3069644 Bank Vontobel – Hsi r Bull CBBC Jan 2019 U 100,000,000 2018/06/26 2019/01/30 25.1069647 Bank Vontobel – Hsi r Bull CBBC Jan 2019 V 100,000,000 2018/06/26 2019/01/30 25.4069652 Bank Vontobel – Hsi r Bull CBBC Jan 2019 W 100,000,000 2018/06/26 2019/01/30 25.3069654 Bank Vontobel – Hsi r Bull CBBC Jan 2019 X 100,000,000 2018/06/26 2019/01/30 25.2069668 Bank Vontobel – Hsi r Bull CBBC Jan 2019 Y 100,000,000 2018/06/26 2019/01/30 25.2069658 Bank Vontobel – Hsi r Bear CBBC Dec 2018 a 100,000,000 2018/06/26 2018/12/28 25.0069662 Bank Vontobel – Hsi r Bear CBBC Dec 2018 B 100,000,000 2018/06/26 2018/12/28 25.1069728 Bank Vontobel – Hsi r Bear CBBC Dec 2018 C 100,000,000 2018/06/26 2018/12/28 25.7069646 Bank Vontobel – tencent r Bull CBBC Dec 2018 r 40,000,000 2018/06/26 2018/12/14 10.0469655 Bank Vontobel – tencent r Bear CBBC Oct 2018 e 40,000,000 2018/06/26 2018/10/26 10.0860561 BOCi asia ltd. – tencent r Bear CBBC Oct 2018 D 40,000,000 2018/06/27 2018/10/29 10.4860468 BNP Paribas issuance B.V. – HsCei r Bull CBBC sep 2019 M 100,000,000 2018/06/27 2019/09/27 25.0060454 BNP Paribas issuance B.V. – tencent r Bull CBBC Dec 2018 a 50,000,000 2018/06/27 2018/12/28 12.5060710 Credit suisse ag – Country garden r Bull CBBC Dec 2018 B 40,000,000 2018/06/27 2018/12/28 10.0060703 Credit suisse ag – HkeX r Bear CBBC Jan 2019 C 50,000,000 2018/06/27 2019/01/25 12.5060711 Credit suisse ag – Hsi r Bull CBBC Oct 2019 g 200,000,000 2018/06/27 2019/10/30 50.0060713 Credit suisse ag – Hsi r Bull CBBC Oct 2019 r 200,000,000 2018/06/27 2019/10/30 50.0060712 Credit suisse ag – Hsi r Bull CBBC Dec 2019 s 200,000,000 2018/06/27 2019/12/30 50.0060668 Credit suisse ag – Hsi r Bear CBBC Oct 2018 B 200,000,000 2018/06/27 2018/10/30 50.0060672 Credit suisse ag – Hsi r Bear CBBC Oct 2018 C 200,000,000 2018/06/27 2018/10/30 50.0060670 Credit suisse ag – Hsi r Bear CBBC Nov 2018 D 200,000,000 2018/06/27 2018/11/29 50.0060674 Credit suisse ag – Hsi r Bear CBBC Nov 2018 e 200,000,000 2018/06/27 2018/11/29 50.0060684 Credit suisse ag – Hsi r Bear CBBC Nov 2018 F 200,000,000 2018/06/27 2018/11/29 50.0060698 Credit suisse ag – Hsi r Bear CBBC Nov 2018 g 200,000,000 2018/06/27 2018/11/29 50.0060702 Credit suisse ag – Hsi r Bear CBBC Dec 2018 a 250,000,000 2018/06/27 2018/12/28 62.50




60669 Credit suisse ag – Ping an r Bull CBBC Jan 2019 B 80,000,000 2018/06/27 2019/01/25 20.0060704 Credit suisse ag – tencent r Bull CBBC Jan 2019 s 50,000,000 2018/06/27 2019/01/15 12.5060705 Credit suisse ag – tencent r Bear CBBC Jan 2019 D 50,000,000 2018/06/27 2019/01/18 12.5060706 Credit suisse ag – tencent r Bear CBBC Jan 2019 e 50,000,000 2018/06/27 2019/01/25 12.5060743 goldman sachs sP (asia) – aia r Bull CBBC Jan 2019 B 100,000,000 2018/06/27 2019/01/31 25.0060751 goldman sachs sP (asia) – CsOP a50 etF r Bull CBBC Mar 2019 e 100,000,000 2018/06/27 2019/03/27 25.0060744 goldman sachs sP (asia) – galaxy ent r Bull CBBC Jan 2019 C 100,000,000 2018/06/27 2019/01/31 25.0060368 goldman sachs sP (asia) – HkeX r Bull CBBC Feb 2019 D 100,000,000 2018/06/27 2019/02/18 25.0060714 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 H 100,000,000 2018/06/27 2019/10/30 25.1060715 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 s 100,000,000 2018/06/27 2019/10/30 25.0060724 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 t 100,000,000 2018/06/27 2019/10/30 25.1060720 goldman sachs sP (asia) – Hsi r Bull CBBC Oct 2019 V 100,000,000 2018/06/27 2019/10/30 25.1060378 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 F 100,000,000 2018/06/27 2018/11/29 25.0060374 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 H 100,000,000 2018/06/27 2018/11/29 25.0060377 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 i 100,000,000 2018/06/27 2018/11/29 25.1060381 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 M 100,000,000 2018/06/27 2018/11/29 25.1060385 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 N 100,000,000 2018/06/27 2018/11/29 25.0060373 goldman sachs sP (asia) – Ping an r Bull CBBC Feb 2019 F 100,000,000 2018/06/27 2019/02/27 25.0060731 goldman sachs sP (asia) – tencent r Bull CBBC Dec 2018 W 100,000,000 2018/06/27 2018/12/31 25.0060445 Hk Bank – aaC tech r Bear CBBC Oct 2018 a 40,000,000 2018/06/27 2018/10/22 10.0060416 Hk Bank – CC Bank r Bull CBBC Feb 2019 a 100,000,000 2018/06/27 2019/02/04 25.0060442 Hk Bank – China life r Bull CBBC Jan 2019 a 40,000,000 2018/06/27 2019/01/07 14.0060431 Hk Bank – CsOP a50 etF r Bull CBBC Feb 2019 a 50,000,000 2018/06/27 2019/02/11 12.5060433 Hk Bank – CsOP a50 etF r Bear CBBC Nov 2018 a 40,000,000 2018/06/27 2018/11/12 10.0060357 Hk Bank – HkeX r Bull CBBC Dec 2018 C 50,000,000 2018/06/27 2018/12/03 12.5060359 Hk Bank – Hsi r Bull CBBC Jul 2019 k 100,000,000 2018/06/27 2019/07/30 25.0060430 Hk Bank – Hsi r Bull CBBC sep 2019 e 150,000,000 2018/06/27 2019/09/27 37.5060409 Hk Bank – Hsi r Bull CBBC Dec 2019 D 150,000,000 2018/06/27 2019/12/30 37.5060411 Hk Bank – Hsi r Bear CBBC Nov 2018 C 100,000,000 2018/06/27 2018/11/29 25.0060415 Hk Bank – Hsi r Bear CBBC Nov 2018 D 150,000,000 2018/06/27 2018/11/29 37.5060448 Hk Bank – iCBC r Bull CBBC Mar 2019 a 100,000,000 2018/06/27 2019/03/04 25.0060423 Hk Bank – tencent r Bull CBBC Nov 2018 Y 60,000,000 2018/06/27 2018/11/22 15.0060420 Hk Bank – tencent r Bear CBBC Dec 2018 D 50,000,000 2018/06/27 2018/12/17 12.5060546 J P Morgan sP BV – galaxy ent r Bull CBBC Nov 2018 B 100,000,000 2018/06/27 2018/11/09 25.0060550 J P Morgan sP BV – HsBC r Bull CBBC Nov 2018 D 100,000,000 2018/06/27 2018/11/09 25.0060493 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/06/27 2019/11/28 50.0060754 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 r 200,000,000 2018/06/27 2019/11/28 50.0060485 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 k 200,000,000 2018/06/27 2019/12/30 50.0060495 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 t 300,000,000 2018/06/27 2018/10/30 75.0060502 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/06/27 2018/10/30 50.0060503 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 V 200,000,000 2018/06/27 2018/10/30 50.0060515 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 W 300,000,000 2018/06/27 2018/10/30 75.0060519 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 X 200,000,000 2018/06/27 2018/10/30 50.0060522 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 Y 300,000,000 2018/06/27 2018/10/30 75.0060551 J P Morgan sP BV – iCBC r Bull CBBC Dec 2018 a 100,000,000 2018/06/27 2018/12/14 25.00




60526 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 P 50,000,000 2018/06/27 2018/10/19 12.5060530 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 H 50,000,000 2018/06/27 2018/10/12 12.5060451 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 M 16,000,000 2018/06/27 2018/12/14 10.0060452 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 H 13,500,000 2018/06/27 2018/12/14 10.0360820 sg issuer – aia r Bear CBBC Nov 2018 C 60,000,000 2018/06/27 2018/11/16 15.0060764 sg issuer – Bank of China r Bull CBBC May 2019 a 100,000,000 2018/06/27 2019/05/30 25.0060824 sg issuer – Country garden r Bull CBBC Dec 2018 C 40,000,000 2018/06/27 2018/12/07 10.0060832 sg issuer – Country garden r Bull CBBC Dec 2018 D 40,000,000 2018/06/27 2018/12/21 10.0060823 sg issuer – CNOOC r Bull CBBC Nov 2018 e 40,000,000 2018/06/27 2018/11/23 10.0060821 sg issuer – CPiC r Bull CBBC Jul 2019 a 100,000,000 2018/06/27 2019/07/30 25.0060785 sg issuer – HkeX r Bull CBBC Oct 2018 Q 50,000,000 2018/06/27 2018/10/26 12.5060846 sg issuer – Hsi r Bull CBBC Oct 2019 e 200,000,000 2018/06/27 2019/10/30 50.0060849 sg issuer – Hsi r Bull CBBC Nov 2019 H 200,000,000 2018/06/27 2019/11/28 50.0060850 sg issuer – Hsi r Bull CBBC Nov 2019 i 200,000,000 2018/06/27 2019/11/28 50.0060853 sg issuer – Hsi r Bear CBBC Oct 2018 X 200,000,000 2018/06/27 2018/10/30 50.0060774 sg issuer – Hsi r Bear CBBC Nov 2018 D 200,000,000 2018/06/27 2018/11/29 50.0060775 sg issuer – Hsi r Bear CBBC Nov 2018 M 200,000,000 2018/06/27 2018/11/29 50.0060762 sg issuer – Hsi r Bear CBBC Dec 2018 t 200,000,000 2018/06/27 2018/12/28 50.0060777 sg issuer – Hsi r Bear CBBC Dec 2018 U 200,000,000 2018/06/27 2018/12/28 50.0060783 sg issuer – Hsi r Bear CBBC Dec 2018 W 200,000,000 2018/06/27 2018/12/28 50.0060834 sg issuer – iCBC r Bull CBBC Dec 2018 F 60,000,000 2018/06/27 2018/12/14 15.0060765 sg issuer – Ping an r Bull CBBC Nov 2018 X 100,000,000 2018/06/27 2018/11/22 25.0060838 sg issuer – tencent r Bull CBBC Oct 2018 B 80,000,000 2018/06/27 2018/10/22 20.0060804 sg issuer – tencent r Bull CBBC Oct 2018 W 80,000,000 2018/06/27 2018/10/18 20.0060815 sg issuer – tencent r Bear CBBC Oct 2018 P 80,000,000 2018/06/27 2018/10/22 20.0060632 UBs ag – CsOP a50 etF r Bull CBBC Oct 2018 l 50,000,000 2018/06/27 2018/10/08 12.5060635 UBs ag – a50 China r Bull CBBC Oct 2018 F 50,000,000 2018/06/27 2018/10/22 12.5060630 UBs ag – HsCei r Bear CBBC Oct 2018 a 100,000,000 2018/06/27 2018/10/30 25.0060665 UBs ag – Hsi r Bull CBBC Oct 2019 F 200,000,000 2018/06/27 2019/10/30 50.0060660 UBs ag – Hsi r Bull CBBC Oct 2019 W 250,000,000 2018/06/27 2019/10/30 62.5060575 UBs ag – Hsi r Bull CBBC Nov 2019 g 250,000,000 2018/06/27 2019/11/28 62.5060578 UBs ag – Hsi r Bear CBBC Oct 2018 M 250,000,000 2018/06/27 2018/10/30 62.5060584 UBs ag – Hsi r Bear CBBC Oct 2018 N 200,000,000 2018/06/27 2018/10/30 50.0060591 UBs ag – Hsi r Bear CBBC Oct 2018 O 250,000,000 2018/06/27 2018/10/30 62.5060609 UBs ag – Hsi r Bear CBBC Oct 2018 P 250,000,000 2018/06/27 2018/10/30 62.5060622 UBs ag – Hsi r Bear CBBC Oct 2018 Q 250,000,000 2018/06/27 2018/10/30 62.5060646 UBs ag – tencent r Bear CBBC Oct 2018 O 30,000,000 2018/06/27 2018/10/18 10.2060390 Bank Vontobel – Hsi N Bull CBBC Feb 2019 a 100,000,000 2018/06/27 2019/02/27 25.0060395 Bank Vontobel – Hsi N Bull CBBC Feb 2019 B 100,000,000 2018/06/27 2019/02/27 25.2060407 Bank Vontobel – Hsi N Bear CBBC Dec 2018 D 100,000,000 2018/06/27 2018/12/28 25.1060408 Bank Vontobel – Hsi N Bear CBBC Dec 2018 e 100,000,000 2018/06/27 2018/12/28 25.4061174 Credit suisse ag – CC Bank r Bear CBBC Nov 2018 B 50,000,000 2018/06/28 2018/11/29 12.5061184 Credit suisse ag – CsOP a50 etF r Bull CBBC Jan 2019 i 50,000,000 2018/06/28 2019/01/30 12.5061191 Credit suisse ag – a50 China r Bull CBBC Jan 2019 B 50,000,000 2018/06/28 2019/01/30 12.5061144 Credit suisse ag – HkeX r Bull CBBC Feb 2019 C 50,000,000 2018/06/28 2019/02/27 15.00




61149 Credit suisse ag – HkeX r Bear CBBC Jan 2019 D 50,000,000 2018/06/28 2019/01/17 12.5061132 Credit suisse ag – Hsi r Bull CBBC Oct 2019 t 200,000,000 2018/06/28 2019/10/30 50.0061134 Credit suisse ag – Hsi r Bull CBBC Oct 2019 U 200,000,000 2018/06/28 2019/10/30 50.0061214 Credit suisse ag – Hsi r Bull CBBC Oct 2019 W 200,000,000 2018/06/28 2019/10/30 50.0061128 Credit suisse ag – Hsi r Bull CBBC Nov 2019 Y 200,000,000 2018/06/28 2019/11/28 50.0061208 Credit suisse ag – Hsi r Bull CBBC Dec 2019 t 250,000,000 2018/06/28 2019/12/30 62.5061136 Credit suisse ag – Hsi r Bear CBBC Nov 2018 H 200,000,000 2018/06/28 2018/11/29 50.0061198 Credit suisse ag – Hsi r Bear CBBC Nov 2018 i 200,000,000 2018/06/28 2018/11/29 50.0061200 Credit suisse ag – Hsi r Bear CBBC Nov 2018 J 200,000,000 2018/06/28 2018/11/29 50.0061207 Credit suisse ag – Hsi r Bear CBBC Nov 2018 k 200,000,000 2018/06/28 2018/11/29 50.0061203 Credit suisse ag – Hsi r Bear CBBC Dec 2018 B 250,000,000 2018/06/28 2018/12/28 62.5061206 Credit suisse ag – Hsi r Bear CBBC Dec 2018 C 200,000,000 2018/06/28 2018/12/28 50.0061213 Credit suisse ag – Hsi r Bear CBBC Dec 2018 D 200,000,000 2018/06/28 2018/12/28 50.0061183 Credit suisse ag – iCBC r Bear CBBC Nov 2018 B 50,000,000 2018/06/28 2018/11/29 12.5061158 Credit suisse ag – tencent r Bull CBBC Feb 2019 a 50,000,000 2018/06/28 2019/02/27 24.5061163 Credit suisse ag – tencent r Bull CBBC Feb 2019 B 50,000,000 2018/06/28 2019/02/27 29.0060996 Bank of east asia – Ping an r Bull CBBC Feb 2019 B 120,000,000 2018/06/28 2019/02/26 30.0060987 Bank of east asia – tencent r Bull CBBC Feb 2019 F 30,000,000 2018/06/28 2019/02/26 10.5060992 Bank of east asia – tencent r Bull CBBC Feb 2019 g 30,000,000 2018/06/28 2019/02/26 10.5060986 Bank of east asia – tencent r Bear CBBC Feb 2019 a 30,000,000 2018/06/28 2019/02/26 18.0060981 goldman sachs sP (asia) – HkeX r Bull CBBC Feb 2019 e 100,000,000 2018/06/28 2019/02/18 25.0060890 goldman sachs sP (asia) – Hsi r Bull CBBC Nov 2019 F 100,000,000 2018/06/28 2019/11/28 25.1061363 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 B 100,000,000 2018/06/28 2019/12/30 25.0060985 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 r 100,000,000 2018/06/28 2019/12/30 25.1060864 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 t 100,000,000 2018/06/28 2018/11/29 25.1060876 goldman sachs sP (asia) – Hsi r Bear CBBC Nov 2018 U 100,000,000 2018/06/28 2018/11/29 25.0060880 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 J 100,000,000 2018/06/28 2018/12/28 25.0060884 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 k 100,000,000 2018/06/28 2018/12/28 25.2061362 goldman sachs sP (asia) – iCBC r Bull CBBC Feb 2019 l 100,000,000 2018/06/28 2019/02/28 25.0060893 Hk Bank – aaC tech r Bull CBBC Jan 2019 a 40,000,000 2018/06/28 2019/01/07 10.0060979 Hk Bank – Bank of China r Bull CBBC Feb 2019 a 100,000,000 2018/06/28 2019/02/04 25.0060969 Hk Bank – CM Bank r Bull CBBC apr 2019 a 100,000,000 2018/06/28 2019/04/15 25.0060966 Hk Bank – CM Bank r Bull CBBC May 2019 a 100,000,000 2018/06/28 2019/05/06 25.0060898 Hk Bank – galaxy ent r Bull CBBC Dec 2018 B 80,000,000 2018/06/28 2018/12/17 20.0060964 Hk Bank – HkeX r Bull CBBC Nov 2018 Q 50,000,000 2018/06/28 2018/11/19 12.5060901 Hk Bank – HkeX r Bull CBBC Jan 2019 a 50,000,000 2018/06/28 2019/01/07 15.0060899 Hk Bank – HkeX r Bull CBBC Feb 2019 a 50,000,000 2018/06/28 2019/02/04 15.0060954 Hk Bank – Hsi r Bull CBBC Jul 2019 l 150,000,000 2018/06/28 2019/07/30 37.5060916 Hk Bank – Hsi r Bull CBBC Dec 2019 e 100,000,000 2018/06/28 2019/12/30 25.0060948 Hk Bank – Hsi r Bull CBBC Dec 2019 F 100,000,000 2018/06/28 2019/12/30 25.0060908 Hk Bank – Hsi r Bear CBBC Nov 2018 e 150,000,000 2018/06/28 2018/11/29 37.5060938 Hk Bank – Hsi r Bear CBBC Nov 2018 F 100,000,000 2018/06/28 2018/11/29 25.0060902 Hk Bank – iCBC r Bull CBBC Jan 2019 a 100,000,000 2018/06/28 2019/01/07 25.0060971 Hk Bank – Ping an r Bull CBBC Jan 2019 a 100,000,000 2018/06/28 2019/01/07 25.0061062 J P Morgan sP BV – aaC tech r Bull CBBC Oct 2018 C 40,000,000 2018/06/28 2018/10/19 10.20




61066 J P Morgan sP BV – CC Bank r Bull CBBC Oct 2018 B 100,000,000 2018/06/28 2018/10/19 25.0061058 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 F 300,000,000 2018/06/28 2019/10/30 75.0061056 J P Morgan sP BV – Hsi r Bull CBBC Oct 2019 H 300,000,000 2018/06/28 2019/10/30 75.0061078 J P Morgan sP BV – Hsi r Bear CBBC Oct 2018 Z 200,000,000 2018/06/28 2018/10/30 50.0061080 J P Morgan sP BV – Hsi r Bear CBBC Nov 2018 a 200,000,000 2018/06/28 2018/11/29 50.0061088 J P Morgan sP BV – Hsi r Bear CBBC Nov 2018 B 240,000,000 2018/06/28 2018/11/29 60.0061096 J P Morgan sP BV – Hsi r Bear CBBC Nov 2018 C 200,000,000 2018/06/28 2018/11/29 50.0061110 J P Morgan sP BV – Hsi r Bear CBBC Nov 2018 D 300,000,000 2018/06/28 2018/11/29 75.0061113 J P Morgan sP BV – Hsi r Bear CBBC Nov 2018 e 300,000,000 2018/06/28 2018/11/29 75.0061065 J P Morgan sP BV – sunny Optical r Bear CBBC Oct 2018 B 40,000,000 2018/06/28 2018/10/19 10.0061073 J P Morgan sP BV – tencent r Bull CBBC Nov 2018 B 50,000,000 2018/06/28 2018/11/09 12.5061072 J P Morgan sP BV – tencent r Bear CBBC Oct 2018 i 50,000,000 2018/06/28 2018/10/12 12.5061300 sg issuer – aaC tech r Bear CBBC Nov 2018 B 40,000,000 2018/06/28 2018/11/20 10.0061246 sg issuer – geely auto r Bull CBBC Dec 2019 a 100,000,000 2018/06/28 2019/12/30 25.0061347 sg issuer – HkeX r Bull CBBC Oct 2018 r 50,000,000 2018/06/28 2018/10/19 12.5061247 sg issuer – HkeX r Bull CBBC Dec 2018 Q 50,000,000 2018/06/28 2018/12/07 17.5061249 sg issuer – HkeX r Bull CBBC Dec 2018 r 50,000,000 2018/06/28 2018/12/13 20.0061252 sg issuer – HkeX r Bull CBBC Dec 2018 s 50,000,000 2018/06/28 2018/12/17 22.5061348 sg issuer – HsBC r Bull CBBC Dec 2018 M 100,000,000 2018/06/28 2018/12/12 25.0061349 sg issuer – HsBC r Bull CBBC Dec 2018 N 100,000,000 2018/06/28 2018/12/19 25.0061298 sg issuer – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/06/28 2019/10/30 50.0061322 sg issuer – Hsi r Bull CBBC Oct 2019 P 200,000,000 2018/06/28 2019/10/30 50.0061329 sg issuer – Hsi r Bull CBBC Nov 2019 J 200,000,000 2018/06/28 2019/11/28 50.0061330 sg issuer – Hsi r Bull CBBC Dec 2019 J 200,000,000 2018/06/28 2019/12/30 50.0061263 sg issuer – Hsi r Bear CBBC Oct 2018 H 200,000,000 2018/06/28 2018/10/30 50.0061264 sg issuer – Hsi r Bear CBBC Oct 2018 k 200,000,000 2018/06/28 2018/10/30 50.0061269 sg issuer – Hsi r Bear CBBC Nov 2018 C 200,000,000 2018/06/28 2018/11/29 50.0061267 sg issuer – Hsi r Bear CBBC Nov 2018 Z 200,000,000 2018/06/28 2018/11/29 50.0061284 sg issuer – Hsi r Bear CBBC Dec 2018 V 200,000,000 2018/06/28 2018/12/28 50.0061270 sg issuer – Hsi r Bear CBBC Dec 2018 Y 200,000,000 2018/06/28 2018/12/28 50.0061294 sg issuer – Hsi r Bear CBBC Dec 2018 Z 200,000,000 2018/06/28 2018/12/28 50.0061221 sg issuer – Ping an r Bull CBBC Oct 2018 k 100,000,000 2018/06/28 2018/10/29 25.0061230 sg issuer – Ping an r Bull CBBC Dec 2018 H 100,000,000 2018/06/28 2018/12/19 25.0061223 sg issuer – Ping an r Bear CBBC Nov 2018 g 100,000,000 2018/06/28 2018/11/20 25.0061235 sg issuer – sands China r Bull CBBC apr 2019 a 60,000,000 2018/06/28 2019/04/15 15.0061241 sg issuer – sands China r Bull CBBC apr 2019 B 60,000,000 2018/06/28 2019/04/26 15.0061302 sg issuer – sunny Optical r Bear CBBC Nov 2018 B 40,000,000 2018/06/28 2018/11/08 10.0061307 sg issuer – tencent r Bull CBBC sep 2018 k 80,000,000 2018/06/28 2018/09/28 20.0061245 sg issuer – tencent r Bull CBBC sep 2018 N 80,000,000 2018/06/28 2018/09/28 20.0061259 sg issuer – tencent r Bull CBBC Dec 2018 a 80,000,000 2018/06/28 2018/12/21 51.2061262 sg issuer – tencent r Bull CBBC Dec 2018 g 80,000,000 2018/06/28 2018/12/28 71.2061310 sg issuer – tencent r Bear CBBC sep 2018 O 80,000,000 2018/06/28 2018/09/28 20.0061117 UBs ag – Hsi r Bull CBBC Nov 2019 l 200,000,000 2018/06/28 2019/11/28 50.0061001 UBs ag – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/06/28 2019/12/30 50.0061004 UBs ag – Hsi r Bear CBBC Oct 2018 r 250,000,000 2018/06/28 2018/10/30 62.50




61008 UBs ag – Hsi r Bear CBBC Oct 2018 s 200,000,000 2018/06/28 2018/10/30 50.0061009 UBs ag – Hsi r Bear CBBC Oct 2018 t 200,000,000 2018/06/28 2018/10/30 50.0061038 UBs ag – Hsi r Bear CBBC Oct 2018 U 200,000,000 2018/06/28 2018/10/30 50.0061054 UBs ag – Hsi r Bear CBBC Oct 2018 V 200,000,000 2018/06/28 2018/10/30 50.0061055 UBs ag – Hsi r Bear CBBC Oct 2018 W 200,000,000 2018/06/28 2018/10/30 50.0061040 UBs ag – tencent r Bull CBBC Nov 2018 k 30,000,000 2018/06/28 2018/11/12 10.2061582 BOCi asia ltd. – geely auto r Bull CBBC Oct 2018 D 40,000,000 2018/06/29 2018/10/29 12.1261577 BOCi asia ltd. – HkeX r Bull CBBC Oct 2018 B 40,000,000 2018/06/29 2018/10/08 10.4061546 BOCi asia ltd. – tencent r Bull CBBC Oct 2018 F 40,000,000 2018/06/29 2018/10/29 10.0461564 BOCi asia ltd. – tencent r Bear CBBC Oct 2018 e 40,000,000 2018/06/29 2018/10/29 10.3261461 BNP Paribas issuance B.V. – CC Bank r Bull CBBC Nov 2018 Y 100,000,000 2018/06/29 2018/11/29 25.0061452 BNP Paribas issuance B.V. – CC Bank r Bear CBBC Nov 2018 Z 100,000,000 2018/06/29 2018/11/29 25.0061428 BNP Paribas issuance B.V. – HkeX r Bull CBBC May 2019 a 50,000,000 2018/06/29 2019/05/30 12.5061437 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 g 50,000,000 2018/06/29 2019/03/28 12.5061439 BNP Paribas issuance B.V. – HkeX r Bear CBBC Mar 2019 H 50,000,000 2018/06/29 2019/03/28 12.5061450 BNP Paribas issuance B.V. – HsBC r Bear CBBC Jan 2019 a 150,000,000 2018/06/29 2019/01/30 37.5061735 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 F 250,000,000 2018/06/29 2019/12/30 62.5061411 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 l 250,000,000 2018/06/29 2019/12/30 62.5061402 BNP Paribas issuance B.V. – Hsi r Bull CBBC Dec 2019 P 250,000,000 2018/06/29 2019/12/30 62.5061412 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 i 250,000,000 2018/06/29 2019/01/30 62.5061420 BNP Paribas issuance B.V. – Hsi r Bear CBBC Jan 2019 J 250,000,000 2018/06/29 2019/01/30 62.5061441 BNP Paribas issuance B.V. – Ping an r Bull CBBC Nov 2018 O 200,000,000 2018/06/29 2018/11/29 50.0061425 BNP Paribas issuance B.V. – tencent r Bear CBBC Nov 2018 l 50,000,000 2018/06/29 2018/11/29 12.5061724 Credit suisse ag – Country garden r Bull CBBC Jan 2019 B 40,000,000 2018/06/29 2019/01/30 10.0061733 Credit suisse ag – CsOP a50 etF r Bull CBBC Feb 2019 a 50,000,000 2018/06/29 2019/02/27 12.5061732 Credit suisse ag – Hsi r Bull CBBC Nov 2019 B 250,000,000 2018/06/29 2019/11/28 62.5061731 Credit suisse ag – Hsi r Bull CBBC Dec 2019 U 250,000,000 2018/06/29 2019/12/30 62.5061728 Credit suisse ag – Hsi r Bear CBBC Nov 2018 l 200,000,000 2018/06/29 2018/11/29 50.0061729 Credit suisse ag – Hsi r Bear CBBC Nov 2018 M 200,000,000 2018/06/29 2018/11/29 50.0061730 Credit suisse ag – Hsi r Bear CBBC Dec 2018 e 200,000,000 2018/06/29 2018/12/28 50.0061718 Credit suisse ag – tencent r Bull CBBC Dec 2018 e 50,000,000 2018/06/29 2018/12/28 12.5061720 Credit suisse ag – tencent r Bull CBBC Jan 2019 t 50,000,000 2018/06/29 2019/01/30 13.5061375 goldman sachs sP (asia) – HkeX r Bull CBBC Feb 2019 F 100,000,000 2018/06/29 2019/02/18 25.0061738 goldman sachs sP (asia) – HsBC r Bull CBBC Jan 2019 C 100,000,000 2018/06/29 2019/01/31 25.0061366 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 e 100,000,000 2018/06/29 2019/12/30 25.0061736 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 H 200,000,000 2018/06/29 2019/12/30 50.0061652 goldman sachs sP (asia) – Hsi r Bull CBBC Dec 2019 M 200,000,000 2018/06/29 2019/12/30 50.2061593 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 l 200,000,000 2018/06/29 2018/12/28 50.0061594 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 M 200,000,000 2018/06/29 2018/12/28 50.0061600 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 N 200,000,000 2018/06/29 2018/12/28 50.4061601 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 O 200,000,000 2018/06/29 2018/12/28 50.0061611 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 P 200,000,000 2018/06/29 2018/12/28 50.0061621 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 Q 200,000,000 2018/06/29 2018/12/28 50.2061636 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 r 200,000,000 2018/06/29 2018/12/28 50.2061651 goldman sachs sP (asia) – Hsi r Bear CBBC Dec 2018 s 200,000,000 2018/06/29 2018/12/28 50.40




61376 goldman sachs sP (asia) – Ping an r Bull CBBC Feb 2019 g 100,000,000 2018/06/29 2019/02/27 25.0061388 goldman sachs sP (asia) – tencent r Bull CBBC Feb 2019 V 100,000,000 2018/06/29 2019/02/18 25.0061490 Hk Bank – aia r Bull CBBC Nov 2018 D 80,000,000 2018/06/29 2018/11/19 20.0061491 Hk Bank – geely auto r Bull CBBC Dec 2018 a 40,000,000 2018/06/29 2018/12/03 12.0061511 Hk Bank – HkeX r Bear CBBC Nov 2018 e 40,000,000 2018/06/29 2018/11/19 10.0061476 Hk Bank – HsCei r Bear CBBC Nov 2018 C 50,000,000 2018/06/29 2018/11/29 12.5061464 Hk Bank – Hsi r Bull CBBC Jul 2019 M 100,000,000 2018/06/29 2019/07/30 25.0061472 Hk Bank – Hsi r Bull CBBC sep 2019 F 150,000,000 2018/06/29 2019/09/27 37.5061466 Hk Bank – Hsi r Bull CBBC Dec 2019 g 150,000,000 2018/06/29 2019/12/30 37.5061468 Hk Bank – Hsi r Bull CBBC Dec 2019 H 150,000,000 2018/06/29 2019/12/30 37.5061469 Hk Bank – Hsi r Bull CBBC Dec 2019 i 150,000,000 2018/06/29 2019/12/30 37.5061475 Hk Bank – Hsi r Bull CBBC Dec 2019 J 100,000,000 2018/06/29 2019/12/30 25.0061487 Hk Bank – Hsi r Bull CBBC Dec 2019 k 100,000,000 2018/06/29 2019/12/30 25.0061488 Hk Bank – Hsi r Bear CBBC Nov 2018 g 150,000,000 2018/06/29 2018/11/29 37.5061489 Hk Bank – Hsi r Bear CBBC Nov 2018 H 100,000,000 2018/06/29 2018/11/29 25.0061462 Hk Bank – tencent r Bull CBBC Dec 2018 F 60,000,000 2018/06/29 2018/12/10 15.0061501 Hk Bank – tencent r Bear CBBC Nov 2018 i 50,000,000 2018/06/29 2018/11/22 12.5061705 J P Morgan sP BV – HkeX r Bull CBBC Oct 2018 F 40,000,000 2018/06/29 2018/10/12 10.0061710 J P Morgan sP BV – HkeX r Bull CBBC Oct 2018 g 40,000,000 2018/06/29 2018/10/19 10.0061692 J P Morgan sP BV – Hsi r Bull CBBC Nov 2019 Y 300,000,000 2018/06/29 2019/11/28 75.0061689 J P Morgan sP BV – Hsi r Bull CBBC Dec 2019 Z 200,000,000 2018/06/29 2019/12/30 50.0061696 J P Morgan sP BV – Hsi r Bear CBBC Nov 2018 F 200,000,000 2018/06/29 2018/11/29 50.0061698 J P Morgan sP BV – Hsi r Bear CBBC Nov 2018 g 200,000,000 2018/06/29 2018/11/29 50.0061699 J P Morgan sP BV – tencent r Bull CBBC Oct 2018 Q 50,000,000 2018/06/29 2018/10/19 12.5061585 Macquarie Bank ltd. – tencent r Bull CBBC Dec 2018 N 16,300,000 2018/06/29 2018/12/14 10.0161592 Macquarie Bank ltd. – tencent r Bear CBBC Dec 2018 i 14,800,000 2018/06/29 2018/12/14 10.0261831 sg issuer – aia r Bull CBBC Dec 2018 M 60,000,000 2018/06/29 2018/12/05 15.0061802 sg issuer – CsOP a50 etF r Bull CBBC Nov 2018 s 60,000,000 2018/06/29 2018/11/30 15.0061803 sg issuer – a50 China r Bull CBBC Nov 2018 k 50,000,000 2018/06/29 2018/11/30 12.5061763 sg issuer – HkeX r Bull CBBC Nov 2018 W 50,000,000 2018/06/29 2018/11/20 12.5061761 sg issuer – HkeX r Bear CBBC Nov 2018 e 50,000,000 2018/06/29 2018/11/05 12.5061758 sg issuer – HsCei r Bull CBBC Dec 2018 X 100,000,000 2018/06/29 2018/12/28 25.0061759 sg issuer – HsCei r Bear CBBC Dec 2018 F 100,000,000 2018/06/29 2018/12/28 25.0061793 sg issuer – Hsi r Bull CBBC Oct 2019 r 200,000,000 2018/06/29 2019/10/30 50.0061798 sg issuer – Hsi r Bull CBBC Dec 2019 O 200,000,000 2018/06/29 2019/12/30 50.0061807 sg issuer – Hsi r Bear CBBC Nov 2018 B 200,000,000 2018/06/29 2018/11/29 50.0061814 sg issuer – Hsi r Bear CBBC Nov 2018 Q 200,000,000 2018/06/29 2018/11/29 50.0061829 sg issuer – Hsi r Bear CBBC Jan 2019 a 200,000,000 2018/06/29 2019/01/30 50.0061849 sg issuer – Hsi r Bear CBBC Jan 2019 B 200,000,000 2018/06/29 2019/01/30 50.0061776 sg issuer – PetroChina r Bull CBBC Dec 2018 H 40,000,000 2018/06/29 2018/12/28 10.0061781 sg issuer – Ping an r Bull CBBC Nov 2018 Y 100,000,000 2018/06/29 2018/11/23 25.0061792 sg issuer – sunny Optical r Bear CBBC sep 2018 B 40,000,000 2018/06/29 2018/09/28 10.0061838 sg issuer – tencent r Bull CBBC sep 2018 t 80,000,000 2018/06/29 2018/09/28 20.0061848 sg issuer – tencent r Bull CBBC Oct 2018 D 80,000,000 2018/06/29 2018/10/08 20.0061799 sg issuer – tencent r Bear CBBC Oct 2018 Q 80,000,000 2018/06/29 2018/10/08 20.00




61800 sg issuer – tencent r Bear CBBC Oct 2018 r 80,000,000 2018/06/29 2018/10/15 20.0061682 UBs ag – China life r Bull CBBC Nov 2018 B 40,000,000 2018/06/29 2018/11/05 10.0061685 UBs ag – Hsi r Bull CBBC Oct 2019 J 200,000,000 2018/06/29 2019/10/30 50.0061653 UBs ag – Hsi r Bull CBBC Oct 2019 X 250,000,000 2018/06/29 2019/10/30 62.5061683 UBs ag – Hsi r Bear CBBC Oct 2018 X 200,000,000 2018/06/29 2018/10/30 50.0061684 UBs ag – Hsi r Bear CBBC Oct 2018 Y 250,000,000 2018/06/29 2018/10/30 62.5061662 UBs ag – tencent r Bull CBBC Oct 2018 Q 30,000,000 2018/06/29 2018/10/23 10.2061665 UBs ag – tencent r Bear CBBC Oct 2018 P 30,000,000 2018/06/29 2018/10/29 10.2061523 Bank Vontobel – HkeX r Bull CBBC Jan 2019 a 40,000,000 2018/06/29 2019/01/18 11.0861530 Bank Vontobel – HkeX r Bear CBBC Nov 2018 D 40,000,000 2018/06/29 2018/11/16 10.0861527 Bank Vontobel – HsBC r Bull CBBC Feb 2019 a 40,000,000 2018/06/29 2019/02/22 10.0861539 Bank Vontobel – Hsi N Bull CBBC Feb 2019 F 100,000,000 2018/06/29 2019/02/27 25.4061540 Bank Vontobel – Hsi N Bull CBBC Feb 2019 g 100,000,000 2018/06/29 2019/02/27 25.3061544 Bank Vontobel – Hsi N Bear CBBC Dec 2018 H 100,000,000 2018/06/29 2018/12/28 25.2061513 Bank Vontobel – Hsi r Bull CBBC Feb 2019 C 100,000,000 2018/06/29 2019/02/27 25.1061515 Bank Vontobel – Hsi r Bull CBBC Feb 2019 D 100,000,000 2018/06/29 2019/02/27 25.6061518 Bank Vontobel – Hsi r Bull CBBC Feb 2019 e 100,000,000 2018/06/29 2019/02/27 29.8061533 Bank Vontobel – Hsi r Bear CBBC Dec 2018 F 100,000,000 2018/06/29 2018/12/28 25.1061535 Bank Vontobel – Hsi r Bear CBBC Dec 2018 g 100,000,000 2018/06/29 2018/12/28 25.4061521 Bank Vontobel – tencent r Bull CBBC Dec 2018 s 40,000,000 2018/06/29 2018/12/14 10.20Total 173,579.03

# Further issue

Dr/eli/traDiNg ONlY stOCks traDiNg statistiCs


Depositary Receipt Trading Statistics

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

2017 Q2 2 11.27 Q3 2 20.30 Q4 2 69.472018 Q1 1 47.76 Q2 1 15.87

Equity Linked Instrument Trading Statistics


2017 Q2 – – Q3 – – Q4 – –2018 Q1 – – Q2 – –

NASDAQ Stocks


2017 Q2 6 0.05 Q3 6 0.05 Q4 6 0.112018 Q1 6 4.30 Q2 6 0.15

iShares


2017 Q2 2 – Q3 2 0.18 Q4 – 0.182018 Q1 – – Q2 – –

geM eQUities


Equity Turnover – GEM

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

2017 Q2 144,624.15 42,516.37 1,348,433 Q3 115,376.01 34,263.33 1,107,761 Q4 120,061.70 44,257.64 1,499,2902018 Q1 108,008.14 40,458.45 1,559,834 Q2 84,808.26 41,444.85 1,252,432

Equity Trading Statistics – GEM

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

2017 Q2 59 720.62 31,530 Q3 64 535.36 30,930 Q4 61 725.54 29,5192018 Q1 61 663.25 25,938 Q2 60 690.75 33,092

20 Most Advanced GEM Stocksfor 2nd quarter 2018

Closing priceRank Code Stock End of Jun 2018 End of Mar 2018 % up

1 08419 aV PrOMOtiONs 3.040 0.530 473.58 2 08283 ZHeNg li HlDg 5.770 1.270 354.33 3 08487 isP glOBal 2.680 0.600 346.67 4 08373 iNDigO star 2.000 0.900 122.22 5 08066 PHOeNitrON HOlD 0.280 0.145 93.10 6 08083 CHiNa YOUZaN 0.940 0.500 88.00 7 08423 CHi HO DeV 2.630 1.440 82.64 8 08103 trilliON graND 2.030 1.130 79.65 9 08021 Wls HOlDiNgs 0.085 0.048 77.08 10 08026 CB glOBal 0.540 0.310 74.19 11 08491 COOl liNk 0.800 0.475 68.42 12 08231 PFC DeViCe 0.335 0.207 61.84 13 08425 HiNg MiNg HlDgs 2.020 1.260 60.32 14 08442 sg grOUP HlDgs 13.500 8.940 51.01 15 08246 NOrtH NeWeNergY 0.390 0.265 47.17 16 08358 MiriCOr 1.900 1.310 45.04 17 08445 NOBle eNg gP 1.000 0.700 42.86 18 08375 VertiCal iNt’l 0.246 0.173 42.20 19 08345 Fire rOCk 4.140 2.930 a 41.30 20 08256 Netel 0.038 0.027 40.74

a adjusted

geM eQUities


20 Most Declined GEM Stocksfor 2nd quarter 2018

Closing priceRank Code Stock End of Jun 2018 End of Mar 2018 % down

1 08275 BeaVer grOUP 0.250 2.230 -88.79 2 08446 itP HOlDiNgs 0.650 3.120 -79.17 3 08417 DaDi eDU 0.135 0.610 -77.87 4 08479 JtF iNtl 0.830 3.100 -73.23 5 08349 MeigU teCH 0.510 1.630 -68.71 6 08046 HeNg XiN CHiNa 0.012 0.036 -66.67 7 08470 lUMiNa grOUP 0.960 2.180 -55.96 8 08048 YU tak iNt’l 0.052 0.114 -54.39 9 08226 kOala FiN gP 0.065 0.141 -53.90 10 08420 NeXiON teCH 0.240 0.510 -52.94 11 08050 QUaNtUM tHiNk 0.900 1.880 -52.13 12 08372 gBg HOlDiNgs 0.193 0.400 -51.75 13 08340 ViNCO FiNaNCial 0.235 0.470 -50.00 14 08455 lai grOUP 0.860 1.540 -44.16 15 08116 C FOrtUNe iNV 0.045 0.078 -42.31 16 08366 ZJ UNiteD iNV 0.330 0.570 -42.11 17 08239 CaPital FiN 0.060 0.100 -40.00 18 08473 Mi MiNg Mart 0.315 0.520 -39.42 19 08416 HM iNtl HlDgs 0.365 0.600 -39.17 20 08309 MaNsHiNg glOBal 0.230 0.370 -37.84

a adjusted

geM eQUities


20 Most Active GEM Stocks by Valuefor 2nd quarter 2018

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

1 08083 CHiNa YOUZaN 5,283.63 12.75 2 08207 CHONgsiNg HlDgs 4,855.30 11.72 3 08469 sHeNgYe CaPital 1,829.04 4.41 4 08057 MaDisON HlDg 1,800.42 4.34 5 08283 ZHeNg li HlDg 1,259.46 3.04 6 08392 satU HOlDiNgs 1,087.46 2.62 7 08228 NatiONal arts 797.03 1.92 8 08105 kiNgsleY eDU 650.58 1.57 9 08275 BeaVer grOUP 637.45 1.54 10 08483 MaX sigHt grOUP 590.22 1.42 11 08138 tONgreNtaNgCM 552.91 1.33 12 08470 lUMiNa grOUP 546.08 1.32 13 08156 CHiNa VaNgUarD 529.97 1.28 14 08227 HaitiaNtiaN 499.81 1.21 15 08287 ZiONCOM 491.67 1.19 16 08157 XiaNgXiNg iNt 438.70 1.06 17 08545 aMUse grOUP 412.50 1.00 18 08022 eVersHiNe gP 392.35 0.95 19 08385 PrOsPerOUsPriNt 377.34 0.91 20 08279 agteCH HOlDiNgs 375.17 0.91

Total 23,407.10 56.48

geM eQUities


20 Most Active GEM Stock by Sharesfor 2nd quarter 2018

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

1 08083 CHiNa YOUZaN 5,997.41 7.07 2 08207 CHONgsiNg HlDgs 4,828.12 5.69 3 08171 CHiNa treNDs 2,774.21 3.27 4 08046 HeNg XiN CHiNa 2,507.23 2.96 5 08228 NatiONal arts 2,180.48 2.57 6 08315 kiNg FOrCe gP 1,951.46 2.30 7 08081 ie CHiNa 1,907.91 2.25 8 08250 silk rD eNergY 1,419.69 1.67 9 08148 aUrUM PaCiFiC 1,382.43 1.63 10 08105 kiNgsleY eDU 1,375.58 1.62 11 08021 Wls HOlDiNgs 1,321.60 1.56 12 08300 rOYalCateriNg 1,209.34 1.43 13 08392 satU HOlDiNgs 1,195.32 1.41 14 08385 PrOsPerOUsPriNt 1,142.44 1.35 15 08107 VisiON iNt HlDg 1,131.57 1.33 16 08299 graND t g gOlD 1,123.16 1.32 17 08157 XiaNgXiNg iNt 1,052.18 1.24 18 08057 MaDisON HlDg 1,046.38 1.23 19 08483 MaX sigHt grOUP 1,031.69 1.22 20 08166 CHiNa eCO-FarM 991.12 1.17

Total 37,569.31 44.30

geM eQUities


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

16.54%

15.58%

8.10%

27.67%0.61%1.11%

14.53%

13.11%

0.99%1.73%0.04%

Industrials

Information Technology

Conglomerates

Energy

Materials

Consumer Goods

Telecommunications

Utilities

Financials

Properties & Construction

Consumer Services

* Hang seng industry Classification system (HsiCs) is provided by Hang seng indexes Company limited.

Note: New Hang seng industry Classification system took effect on 9 september 2013.

Market Capitalisation of Listed Companies for GEMas at the quarter end

HK$ mil.

2017 Q2 267,662.50 Q3 271,598.42 Q4 280,841.442018 Q1 263,735.88 Q2 248,066.40

geM eQUities


50 Leading Companies by Market Capitalisation – GEMas at the 2nd quarter end 2018

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

1 08207 Chong sing Holdings Fintech group ltd. 20,514.79 8.27 2 08137 Honbridge Holdings ltd. 13,106.53 5.28 3 08083 China Youzan ltd. 12,117.55 4.88 4 08279 agtech Holdings ltd. 9,011.31 3.63 5 08032 Viva China Holdings ltd. 7,780.45 3.14 6 08293 singasia Holdings ltd. 7,725.00 3.11 7 08265 China trustful group ltd. 7,491.19 3.02 8 08057 Madison Holdings group ltd. 7,000.50 2.82 9 08469 sheng Ye Capital ltd. 5,320.60 2.14 10 08407 China industrial securities int’l Financial group ltd. 5,320.00 2.14 11 08176 superrobotics ltd. 3,881.19 1.56 12 08078 HMV Digital China group ltd. 3,090.38 1.25 13 08283 Zheng li Holdings ltd. 2,885.00 1.16 14 08227 Xi’an Haitiantian Holdings Co., ltd. – H shares 2,738.04 1.10 15 08158 China regenerative Medicine international ltd. 2,268.57 0.91 16 08167 Neo telemedia ltd. 2,180.58 0.88 17 08487 isP global ltd. 2,144.00 0.86 18 08156 China Vanguard You Champion Holdings ltd. 2,106.15 0.85 19 08423 Chi Ho Development Holdings ltd. 2,104.00 0.85 20 08053 Pizu group Holdings ltd. 1,921.71 0.77 21 08047 China Ocean Fishing Holdings ltd. 1,891.04 0.76 22 08022 evershine group Holdings ltd. 1,874.78 0.76 23 08170 ksl Holdings ltd. 1,809.28 0.73 24 08527 Jlogo Holdings ltd. 1,735.00 0.70 25 08462 Omnibridge Holdings ltd. 1,710.00 0.69 26 08228 National arts entertainment and Culture group ltd. 1,603.59 0.65 27 08308 gudou Holdings ltd. 1,558.20 0.63 28 08325 China smartpay group Holdings ltd. 1,496.21 0.60 29 08196 great Water Holdings ltd. 1,437.00 0.58 30 08037 China Biotech services Holdings ltd. 1,387.31 0.56 31 08030 Flying Financial service Holdings ltd. 1,367.83 0.55 32 08246 Northern New energy Holdings ltd. 1,364.81 0.55 33 08345 Fire rock Holdings ltd. 1,324.80 0.53 34 08237 link Holdings ltd. 1,308.75 0.53 35 08039 kNk Holdings ltd. 1,254.00 0.51 36 08328 Xinyi automobile glass Hong kong enterprises ltd. 1,250.90 0.50 37 08090 China assurance Finance group ltd. 1,248.05 0.50 38 08021 Wls Holdings ltd. 1,221.20 0.49 39 08050 Quantum thinking ltd. 1,220.63 0.49 40 08359 Hypebeast ltd. 1,220.00 0.49 41 08419 aV Promotions Holdings ltd. 1,216.00 0.49 42 08147 Millennium Pacific group Holdings ltd. 1,198.52 0.48 43 08172 lajin entertainment Network group ltd. 1,178.56 0.48 44 08410 edvance international Holdings ltd. 1,170.00 0.47 45 08029 sun international group ltd. 1,127.03 0.45 46 08016 Changhong Jiahua Holdings ltd. 1,120.08 0.45 47 08005 Yuxing infotech investment Holdings ltd. 1,063.82 0.43 48 08055 China e-information technology group ltd. 1,012.85 0.41 49 08316 Pak Wing group (Holdings) ltd. 1,000.00 0.40 50 08175 China Digital Culture (group) ltd. 970.09 0.39

Total 161,047.88 64.92Market Total 248,066.40 100.00

geM eQUities


New Listing Statistics – equities for GEM

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

2017 Q2 16 1,235.49 Q3 20 1,772.73 Q4 25 1,605.502018 Q1 33 2,237.28 Q2 17 1,171.84

Newly Listed Companies for GEMfor 2nd quarter 2018

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

08507 i.century Holding ltd. 2018/04/16 400,000,000 69.6008447 Ms Concept ltd. 2018/04/16 1,000,000,000 67.5008451 sunlight (1977) Holdings ltd. 2018/04/16 800,000,000 55.0008241 Ying kee tea House group ltd. 2018/04/16 360,000,000 48.6008511 Zhicheng technology group ltd. 2018/04/20 400,000,000 65.0008151 Bao shen Holdings ltd. 2018/04/23 420,000,000 50.4008107 Vision international Holdings ltd. 2018/05/04 1,000,000,000 56.2508527 Jlogo Holdings ltd. 2018/05/09 500,000,000 62.5008391 elegance Commercial and Financial Printing group ltd. 2018/05/11 440,000,000 66.0008105 kingsley edugroup ltd. 2018/05/16 800,000,000 80.0008521 st international Holdings Co. ltd. 2018/05/16 480,000,000 69.6008536 tl Natural gas Holdings ltd. 2018/05/18 500,000,000 60.0008490 Niche-tech group ltd. 2018/05/30 705,500,000 113.3908545 amuse group Holding ltd. 2018/05/31 1,000,000,000 87.5008403 Dowway Holdings ltd. 2018/06/12 2,000,000,000 72.5008357 republic Healthcare ltd. 2018/06/15 520,000,000 78.0008146 grace Wine Holdings ltd. 2018/06/27 800,000,000 70.00

Total 1,171.84

geM eQUities


Withdrawal of Listed Companies – GEMfor 2nd quarter 2018

Code Company Last trading date Delisted date

08138 Beijing tong ren tang Chinese Medicine Co. ltd. * 2018/05/28 2018/05/29 §08352 sing On Holdings ltd. * 2018/06/11 2018/06/12 §

* transfers of listing from geM to Main Board pursuant to the revised rule 9.24 of the geM listing rules and to the new Chapter 9a of the Main Board

listing rules effective from 1 July 2008.

§ effective date of the transfer of listing from geM to Main Board.

Company Name Changes for GEMfor 2nd quarter 2018

Code Old name New name Effective date Adoption date

08181 kong shum Union Property Management (Holding) ltd. Heng sheng Holdings ltd. 2018/05/08 2018/06/0808083 China innovationpay group ltd. China Youzan ltd. 2018/05/21 2018/06/1508088 Healthoo international technology Holdings ltd. aiD life science Holdings ltd. 2018/05/09 2018/06/2708242 Megalogic technology Holdings ltd. New Western group ltd. 2018/05/01 2018/06/29

Bonus Issues/Bonus Warrants for GEMfor 2nd quarter 2018

Code Company Particulars Ex-date

08345 Fire rock Holdings ltd. 1 for 1 2018/06/05

Share Split/Consolidation for GEMfor 2nd quarter 2018

Code Company Particulars Effective date

Nil

Rights Issues & Open Offers for GEMfor 2nd quarter 2018

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

May 08328 Xinyi automobile glass Hong kong enterprises ltd. rts 1 for 5 @$1.85 199.84Jun 08201 PPs international (Holdings) ltd. rts 1 for 1 @$0.18 48.60

Total 248.44

geM eQUities


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

2018apr 08148 aUrUM PaCiFiC 184,000,000 0.1800 33.12 08083 CHiNa YOUZaN 386,000,000 0.5000 193.00 08057 MaDisON HlDg 70,056,000 1.7000 119.10 08066 PHOeNitrON HOlD 75,000,000 0.2000 15.00 08026 PrOsteN HealtH 240,000,000 0.2700 64.80

May 08120 CH DeMeter FiN 184,500,000 0.1000 18.45 08059 glOrY FlaMe 80,898,000 0.5000 40.45 08119 tHiZ teCHNOlOgY 20,000,000 1.0000 20.00 08260 YiN He HlDgs 80,000,000 0.4100 32.80

Jun 08009 CHi eNgY HOlD 220,000,000 0.0380 8.36 08250 silk rD eNergY 638,000,000 0.0500 31.90 08342 ViXtel teCH 21,255,000 1.0800 22.96

Total 599.93

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

geM WarraNts


Warrant Trading and Market Value Statistics – GEM

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

2017 Q2 1 0.24 62.84 Q3 1 0.02 62.83 Q4 1 0.04 62.832018 Q1 1 0.05 62.83 Q2 1 0.03 62.83

Newly Listed Equity GEM Warrantsfor 2nd quarter 2018

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

Nil

Total –

stOCk Market iNDiCes


Hang Seng Index

Chart on CloseIndex

22000

24400

23200

25600

26800

28000

29200

30400

31600

32800

34000HIGH(18/01/26)=33154.120 LOW(17/04/19)=23825.880 CLOSE(18/06/29)=28955.110

10 MAV 50 MAV(2017/04/03-2018/06/29)

06/1804/17 05/17 06/17 07/17 08/17 09/17 10/17 11/17 12/17 01/18 02/18 03/18 04/18 05/18

S&P/HKEX LargeCap Index

Chart on CloseIndex

29500

31000

32500

34000

35500

37000

38500

40000

41500

43000

44500HIGH(18/01/26)=43382.630 LOW(17/04/19)=30087.520 CLOSE(18/06/29)=37535.520

10 MAV 50 MAV

06/1803/18 04/18 05/1804/17 05/17 06/17 07/17 08/17 09/17 10/17 11/17 12/17 01/18 02/18

(2017/04/03-2018/06/29)

S&P/HKEX GEM Index

Chart on CloseIndex

200

220

240

260

280

300

320

340

360

380

400HIGH(17/04/03)=346.820 LOW(18/06/28)=231.920 CLOSE(18/06/29)=236.080

(2017/04/03-2018/06/29) 10 MAV 50 MAV

03/18 04/18 05/1804/17 05/17 06/17 07/17 08/17 09/17 10/17 11/17 12/17 01/18 02/18 06/18



Hong Kong Stock Market Indices

End of Jun 2018 End of Mar 2018Index Close Close Change %

s&P/HkeX largeCap index 37535.52 39090.13 – 3.98%

s&P/HkeX geM index 236.08 251.66 – 6.19%

HaNg seNg iNDeX 28955.11 30093.38 – 3.78%seCtOrial iNDiCes Finance 39361.86 41272.54 – 4.63% Utilities 55143.74 56872.75 – 3.04% Properties 38780.80 40012.55 – 3.08% Commerce & industry 17606.82 18141.63 – 2.95%

HaNg seNg CHiNa-aFFiliateD COrPOratiONs iNDeX 4376.51 4408.61 – 0.73%HaNg seNg CHiNa eNterPrises iNDeX 11073.00 11998.34 – 7.71%



World Indices

End of Jun 2018 End of Mar 2018Index Close Close Change %

HONg kONg s&P/HkeX largeCap index 37535.52 39090.13 – 3.98% Hang seng index 28955.11 30093.38 – 3.78%aUstralia all Ordinaries index 6289.70 5868.90 + 7.17%Jakarta Composite index 5799.24 6188.99 – 6.30%JaPaN Nikkei (225) 22304.51 21454.30 + 3.96%kOrea kOsPi index 2326.13 2445.85 – 4.89%kUala lUMPUr Composite index 1691.50 1863.46 – 9.23%MaNila Composite index 7193.68 7979.83 – 9.85%NeW ZealaND NZse (50) 8943.13 8319.07 + 7.50%sHaNgHai a shares index 2982.00 3318.71 – 10.15% B shares index 295.00 326.87 – 9.75%sHeNZHeN a shares index 1680.91 1938.59 – 13.29% B shares index 1058.90 1154.26 – 8.26%siNgaPOre straits times index 3268.70 3427.97 – 4.65%taiWaN taipei Weighted stock index 10836.91 10919.49 – 0.76%tHailaND set index 1595.58 1776.26 – 10.17%NeW YOrk DJia 24271.41 24103.11 + 0.70% Nasdaq Composite index 7510.30 7063.45 + 6.33%tOrONtO s&P/tsX Composite index 16277.73 15367.29 + 5.92%gerMaNY DaX kursindex 5668.60 5715.45 – 0.82%lONDON Ftse 100 index 7636.93 7056.61 + 8.22%

DeriVatiVes Market – FUtUres aND OPtiONs


Contract Volume by Derivatives Products

ContractsDerivatives product 2nd Quarter 2018 2nd Quarter 2017

Hang seng index Futures 14,140,082 7,210,306Hang seng index Options 2,775,119 2,157,317Mini-Hang seng index Futures 5,419,705 2,477,810Mini-Hang seng index Options 502,343 414,159Hang seng China enterprises index Futures 8,407,737 7,255,529Hang seng China enterprises index Options 5,274,459 4,569,776Mini-Hang seng China enterprises index Futures 1,173,527 837,929Mini-Hang seng China enterprises index Options 137,459 81,389Flexible Hang seng index Options 0 0Flexible Hang seng China enterprises index Options 1,250 5,000Hsi Dividend Point index Futures 3,199 5,000HsCei Dividend Point index Futures 51,301 58,001Hsi Volatility index Futures 0 8MsCi aC asia ex Japan Ntr index Futures1 14 –Ces China 120 index Futures 50 197Ces gaming top 10 index Futures 12 0Hang seng Mainland Oil & gas index Futures 9,604 10Hang seng Mainland Banks index Futures 6,688 548Hang seng Mainland Healthcare index Futures 22 0Hang seng Mainland Properties index Futures 6,960 2Hang seng it Hardware index Futures 51 0Hang seng software & services index Futures 11 0iBOVesPa Futures 0 0MiCeX index Futures 0 0s&P Bse sensex index Futures 0 0Ftse/Jse top40 Futures 0 0stock Futures 121,288 31,094stock Options 28,891,853 21,947,4465-Year MOF t-Bond Futures2 – 6,680three-month HiBOr Futures 360 0One-month HiBOr Futures 81 0rMB Currency Futures – UsD/CNH Futures 384,483 137,833rMB Currency Options – UsD/CNH Options 2,396 2,601rMB Currency Futures – eUr/CNH Futures 663 279rMB Currency Futures – JPY/CNH Futures 400 14rMB Currency Futures – aUD/CNH Futures 208 37rMB Currency Futures – CNH/UsD Futures 1,562 2,211UsD gold Futures3 43,312 –CNH gold Futures4 5,035 –iron Ore Futures – Monthly Contracts5 964 –iron Ore Futures – Quarterly Contracts6 0 –london aluminium Mini Futures 467 312london Zinc Mini Futures 48 125london Copper Mini Futures 27 317london lead Mini Futures 0 2london Nickel Mini Futures 49 67london tin Mini Futures 0 0Total 67,362,789 47,201,999

1 trading in MsCi aC asia ex Japan Ntr index Futures commenced on 11 Jun 20182 trading in 5-Year MOF t-Bond Futures commenced on 10 apr 2017 and suspended with effect from 08 Dec 20173 trading in UsD gold Futures commenced on 10 Jul 20174 trading in CNH gold Futures commenced on 10 Jul 20175 trading in iron Ore Futures – Monthly Contracts commenced on 13 Nov 20176 trading in iron Ore Futures – Quarterly Contracts commenced on 13 Nov 2017



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

2017 Q2 7,210,306 154,581 Q3 8,254,157 161,569 Q4 9,365,175 144,6592018 Q1 12,511,293 129,784 Q2 14,140,082 123,361

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

2017 Q2 2,477,810 10,210 Q3 2,978,009 9,313 Q4 3,576,657 9,8632018 Q1 6,139,659 8,861 Q2 5,419,705 11,557

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

2017 Q2 2,157,317 352,037 Q3 2,815,590 408,078 Q4 2,844,216 344,0842018 Q1 3,591,231 381,856 Q2 2,775,119 343,600

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

2017 Q2 7,255,529 310,182 Q3 7,245,295 289,770 Q4 7,052,461 233,5912018 Q1 9,265,269 275,905 Q2 8,407,737 355,581

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

2017 Q2 9,477.49 21,947,446 7,582,918 Q3 17,345.28 30,796,045 7,937,540 Q4 26,473.83 32,091,870 8,304,6972018 Q1 36,925.03 40,592,232 9,585,088 Q2 20,957.48 28,891,853 9,255,436



Stock Options Premium by Classfor 2nd Quarter 2018

PremiumOptions class (HK$ mil.) % of total

isHares a50 a50 161.75 0.77aaC teCH aaC 368.38 1.76CONCH CeMeNt aCC 156.30 0.75aia aia 609.34 2.91CHalCO alC 20.55 0.10CaM Csi300 aMC 117.17 0.56BaNkCOMM BCM 13.68 0.07BaNk OF e asia Bea 3.33 0.02BOC HONg kONg BOC 68.64 0.33BYD COMPaNY BYD 107.02 0.51CHiNa COMM CONs CCC 26.31 0.13CHiNa COal CCe 6.20 0.03COsCO sHiP HOlD CCs 0.83 0.00CHiNa CiNDa CDa 9.16 0.04CgN POWer CgN 4.27 0.02CHiNa MOBile CHt 724.90 3.46CHiNa UNiCOM CHU 61.93 0.30CitiC Cit 13.34 0.06CkH HOlDiNgs CkH 104.24 0.50Ck asset CkP 48.41 0.23CHiNa liFe Cli 420.32 2.01ClP HOlDiNgs ClP 15.43 0.07CM BaNk CMB 322.73 1.54CNOOC CNC 232.61 1.11COUNtrY garDeN COg 151.51 0.72CHiNa OVerseas COl 144.42 0.69CatHaY PaC air CPa 3.15 0.02siNOPeC COrP CPC 249.54 1.19CPiC CPi 405.73 1.94CHiNa rail CONs CrC 4.35 0.02CHiNa railWaY Crg 8.60 0.04CHiNa res laND Crl 89.39 0.43CsOP a50 etF Csa 145.65 0.69CHiNa sHeNHUa Cse 135.53 0.65CitiC BaNk CtB 24.26 0.12CHiNa teleCOM CtC 15.74 0.08CitiC seC Cts 128.42 0.61DONgFeNg grOUP DFM 6.69 0.03eVergraNDe eVg 60.66 0.29FiH FiH 0.00 0.00gaC grOUP gaC 22.32 0.11geelY aUtO gaH 355.62 1.70galaXY eNt glX 415.03 1.98greatWall MOtOr gWM 45.84 0.22HaitONg seC Hai 52.24 0.25HsCei etF HCF 71.25 0.34POWer assets HeH 29.57 0.14HkeX HeX 991.09 4.73HeNgaN iNt’l HgN 53.82 0.26HsBC HOlDiNgs HkB 538.30 2.57Hk & CHiNa gas Hkg 7.29 0.03HeNDersON laND HlD 42.00 0.20HUaNeNg POWer HNP 18.97 0.09HaNg seNg BaNk HsB 35.67 0.17JiaNgXi COPPer JXC 29.23 0.14kUNlUN eNergY kle 8.87 0.04kiNgsOFt ksO 81.28 0.39



PremiumOptions class (HK$ mil.) % of total

leNOVO grOUP leN 32.95 0.16li & FUNg liF 11.14 0.05liNk reit lNk 33.72 0.16MeNgNiU DairY MeN 60.50 0.29MgM CHiNa MgM 17.18 0.08MiNsHeNg BaNk MsB 47.43 0.23Mtr COrPOratiON Mtr 13.22 0.06CNBM NBM 67.30 0.32NCi NCl 94.88 0.45NeW WOrlD DeV NWD 24.10 0.12PiNg aN Pai 3,651.95 17.43PetrOCHiNa PeC 167.73 0.80PiCC P&C PiC 36.26 0.17PiCC grOUP PiN 25.28 0.12gCl-POlY eNergY Ple 2.27 0.01r&F PrOPerties rFP 4.57 0.02saNDs CHiNa ltD saN 153.92 0.73sHk PPt sHk 235.21 1.12sUNNY OPtiCal sNO 261.80 1.25staNCHart stC 3.15 0.02sUNaC sUN 171.10 0.82sWire PaCiFiC a sWa 16.45 0.08teNCeNt tCH 6,607.73 31.53traCker FUND trF 2.98 0.01WHarF HOlDiNgs WHl 12.34 0.06WaNt WaNt CHiNa WWC 8.10 0.04aBC XaB 107.77 0.51BaNk OF CHiNa XBC 149.26 0.71CCB XCC 628.24 3.00iCBC XiC 229.98 1.10YaNZHOU COal YZC 81.37 0.39ZiJiN MiNiNg ZJM 8.68 0.04Total 20,957.48 100.00



Stock Options Contract Volume by Classfor 2nd Quarter 2018 ContractOptions class volume % of total

isHares a50 a50 71,526 0.25aaC teCH aaC 92,352 0.32CONCH CeMeNt aCC 262,012 0.91aia aia 471,509 1.63CHalCO alC 54,121 0.19CaM Csi300 aMC 97,229 0.34BaNkCOMM BCM 98,964 0.34BaNk OF e asia Bea 27,276 0.09BOC HONg kONg BOC 231,385 0.80BYD COMPaNY BYD 133,483 0.46CHiNa COMM CONs CCC 101,661 0.35CHiNa COal CCe 69,056 0.24COsCO sHiP HOlD CCs 12,649 0.04CHiNa CiNDa CDa 21,648 0.07CgN POWer CgN 8,541 0.03CHiNa MOBile CHt 508,366 1.76CHiNa UNiCOM CHU 100,711 0.35CitiC Cit 46,560 0.16CkH HOlDiNgs CkH 133,980 0.46Ck asset CkP 52,198 0.18CHiNa liFe Cli 739,750 2.56ClP HOlDiNgs ClP 34,421 0.12CM BaNk CMB 582,685 2.02CNOOC CNC 622,148 2.15COUNtrY garDeN COg 41,931 0.15CHiNa OVerseas COl 116,960 0.40CatHaY PaC air CPa 9,425 0.03siNOPeC COrP CPC 449,306 1.56CPiC CPi 396,637 1.37CHiNa rail CONs CrC 37,094 0.13CHiNa railWaY Crg 36,371 0.13CHiNa res laND Crl 61,199 0.21CsOP a50 etF Csa 86,827 0.30CHiNa sHeNHUa Cse 514,088 1.78CitiC BaNk CtB 142,831 0.49CHiNa teleCOM CtC 68,158 0.24CitiC seC Cts 213,821 0.74DONgFeNg grOUP DFM 11,943 0.04eVergraNDe eVg 32,005 0.11FiH FiH 0 0.00gaC grOUP gaC 11,459 0.04geelY aUtO gaH 113,969 0.39galaXY eNt glX 281,390 0.97greatWall MOtOr gWM 337,801 1.17HaitONg seC Hai 61,670 0.21HsCei etF HCF 47,450 0.16POWer assets HeH 62,387 0.22HkeX HeX 1,724,404 5.97HeNgaN iNt’l HgN 71,678 0.25HsBC HOlDiNgs HkB 976,786 3.38Hk & CHiNa gas Hkg 30,566 0.11HeNDersON laND HlD 45,259 0.16HUaNeNg POWer HNP 51,015 0.18HaNg seNg BaNk HsB 140,894 0.49JiaNgXi COPPer JXC 79,376 0.27kUNlUN eNergY kle 27,705 0.10kiNgsOFt ksO 111,747 0.39



ContractOptions class volume % of total

leNOVO grOUP leN 123,418 0.43li & FUNg liF 35,691 0.12liNk reit lNk 31,022 0.11MeNgNiU DairY MeN 84,661 0.29MgM CHiNa MgM 65,911 0.23MiNsHeNg BaNk MsB 87,489 0.30Mtr COrPOratiON Mtr 50,561 0.18CNBM NBM 109,013 0.38NCi NCl 81,396 0.28NeW WOrlD DeV NWD 69,095 0.24PiNg aN Pai 3,345,788 11.58PetrOCHiNa PeC 484,491 1.68PiCC P&C PiC 60,161 0.21PiCC grOUP PiN 52,418 0.18gCl-POlY eNergY Ple 8,211 0.03r&F PrOPerties rFP 31,422 0.11saNDs CHiNa ltD saN 360,951 1.25sHk PPt sHk 106,737 0.37sUNNY OPtiCal sNO 49,633 0.17staNCHart stC 48,058 0.17sUNaC sUN 44,528 0.15sWire PaCiFiC a sWa 29,704 0.10teNCeNt tCH 6,402,142 22.16traCker FUND trF 13,871 0.05WHarF HOlDiNgs WHl 19,311 0.07WaNt WaNt CHiNa WWC 34,820 0.12aBC XaB 115,842 0.40BaNk OF CHiNa XBC 1,480,629 5.12CCB XCC 2,798,359 9.69iCBC XiC 1,563,622 5.41YaNZHOU COal YZC 95,891 0.33ZiJiN MiNiNg ZJM 38,624 0.13Total 28,891,853 100.00

CLEARING & SETTLEMENT

227Securities and Derivatives Markets Quarterly Report (2nd Quarter 2018)

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

2017 Q2 89,205 48.85 224.77 Q3 92,762 47.05 223.72 Q4 100,956 51.97 248.472018 Q1 113,959 55.26 299.46 Q2 104,188 50.80 291.72

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

2017 Q2 321 212.60 147.64 Q3 373 155.84 468.68 Q4 352 80.73 241.172018 Q1 442 87.64 283.87 Q2 303 352.59 190.54

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

2017 Q2 6,264.71 75.18 18,013.11 57.34 Q3 6,338.49 75.53 19,870.01 57.86 Q4 6,404.15 75.30 21,768.65 58.702018 Q1 6,628.95 76.47 22,128.66 60.04 Q2 6,663.56 76.69 21,197.14 59.56

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

CleariNg & settleMeNt


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

2017 Q2 1,150,564 100 155,884.97 100 77,373.95 100 Q3 1,276,525 100 164,722.02 100 92,901.78 100 Q4 1,402,286 100 196,368.46 100 107,078.39 1002018 Q1 1,813,140 100 252,571.39 100 145,832.37 100 Q2 1,633,677 100 203,686.61 100 106,620.31 100

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

2017 Q2 76,992 96.46 29,251.62 90.51 Q3 87,811 96.38 30,609.78 90.56 Q4 94,849 96.43 33,382.69 91.272018 Q1 109,085 96.81 37,586.85 92.44 Q2 90,439 97.07 29,533.08 92.53

Average Daily Settlement Efficiency of CNS Stock Positions

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

2017 Q2 99.91 99.99 Q3 99.91 99.99 Q4 99.89 99.992018 Q1 99.89 99.99 Q2 99.87 99.99



Open Interest by Derivatives Products

ContractsDerivatives product 2nd Quarter 2018 2nd Quarter 2017

Hang seng index Futures 123,361 154,581Hang seng index Options 343,600 352,037Mini-Hang seng index Futures 11,557 10,210Mini-Hang seng index Options 12,700 13,928Hang seng China enterprises index Futures 355,581 310,182Hang seng China enterprises index Options 2,790,831 2,695,657Mini-Hang seng China enterprises index Futures 6,953 5,474Mini-Hang seng China enterprises index Options 10,052 3,102Flexible Hang seng index Options 0 0Flexible Hang seng China enterprises index Options 0 16,666Hsi Dividend Point index Futures 12,025 9,621HsCei Dividend Point index Futures 102,890 120,002Hsi Volatility index Futures 0 5MsCi aC asia ex Japan Ntr index Futures1 0 –Ces China 120 index Futures 11 11Ces gaming top 10 index Futures 0 0Hang seng Mainland Oil & gas index Futures 47 0Hang seng Mainland Banks index Futures 84 4Hang seng Mainland Healthcare index Futures 5 0Hang seng Mainland Properties index Futures 29 0Hang seng it Hardware index Futures 0 0Hang seng software & services index Futures 0 0iBOVesPa Futures 0 0MiCeX index Futures 0 0s&P Bse sensex index Futures 0 0Ftse/Jse top 40 Futures 0 0stock Futures 16,417 6,563stock Options 9,255,436 7,582,9185-Year MOF t-Bond Futures2 – 666three-month HiBOr Futures 400 40One-month HiBOr Futures 56 0rMB Currency Futures – UsD/CNH Futures 26,850 31,243rMB Currency Options – UsD/CNH Options 3,973 1,037rMB Currency Futures – eUr/CNH Futures 300 63rMB Currency Futures – JPY/CNH Futures 270 4rMB Currency Futures – aUD/CNH Futures 25 10rMB Currency Futures – CNH/UsD Futures 716 1,196UsD gold Futures3 146 –CNH gold Futures4 62 –iron Ore Futures – Monthly Contracts5 39 –iron Ore Futures – Quarterly Contracts6 15 –london aluminium Mini Futures 1 0london Zinc Mini Futures 6 1london Copper Mini Futures 0 5london lead Mini Futures 0 0london Nickel Mini Futures 0 4london tin Mini Futures 0 0Total 13,074,438 11,315,230

1 trading in MsCi aC asia ex Japan Ntr index Futures commenced on 11 Jun 20182 trading in 5-Year MOF t-Bond Futures commenced on 10 apr 2017 and suspended with effect from 08 Dec 20173 trading in UsD gold Futures commenced on 10 Jul 20174 trading in CNH gold Futures commenced on 10 Jul 20175 trading in iron Ore Futures – Monthly Contracts commenced on 13 Nov 20176 trading in iron Ore Futures – Quarterly Contracts commenced on 13 Nov 2017



Stock Options Open Interest by Classas at the end of 2nd Quarter 2018 Open interestOptions class (contracts) % of total

isHares a50 a50 29,135 0.31aaC teCH aaC 18,887 0.20CONCH CeMeNt aCC 31,804 0.34aia aia 80,708 0.87CHalCO alC 6,963 0.08CaM Csi300 aMC 15,757 0.17BaNkCOMM BCM 58,578 0.63BaNk OF e asia Bea 10,339 0.11BOC HONg kONg BOC 55,745 0.60BYD COMPaNY BYD 26,004 0.28CHiNa COMM CONs CCC 31,861 0.34CHiNa COal CCe 16,921 0.18COsCO sHiP HOlD CCs 1,612 0.02CHiNa CiNDa CDa 13,868 0.15CgN POWer CgN 4,333 0.05CHiNa MOBile CHt 166,470 1.80CHiNa UNiCOM CHU 36,601 0.40CitiC Cit 27,001 0.29CkH HOlDiNgs CkH 33,541 0.36Ck asset CkP 12,300 0.13CHiNa liFe Cli 318,265 3.44ClP HOlDiNgs ClP 8,162 0.09CM BaNk CMB 263,961 2.85CNOOC CNC 168,542 1.82COUNtrY garDeN COg 26,513 0.29CHiNa OVerseas COl 26,580 0.29CatHaY PaC air CPa 3,747 0.04siNOPeC COrP CPC 157,611 1.70CPiC CPi 129,449 1.40CHiNa rail CONs CrC 8,337 0.09CHiNa railWaY Crg 14,714 0.16CHiNa res laND Crl 13,560 0.15CsOP a50 etF Csa 33,163 0.36CHiNa sHeNHUa Cse 99,750 1.08CitiC BaNk CtB 76,999 0.83CHiNa teleCOM CtC 47,768 0.52CitiC seC Cts 98,076 1.06DONgFeNg grOUP DFM 2,381 0.03eVergraNDe eVg 15,195 0.16FiH FiH 0 0.00gaC grOUP gaC 3,105 0.03geelY aUtO gaH 20,523 0.22galaXY eNt glX 54,707 0.59



Open interestOptions class (contracts) % of total

greatWall MOtOr gWM 209,555 2.26HaitONg seC Hai 19,496 0.21HsCei etF HCF 9,382 0.10POWer assets HeH 12,359 0.13HkeX HeX 428,714 4.63HeNgaN iNt’l HgN 7,804 0.08HsBC HOlDiNgs HkB 251,045 2.71Hk & CHiNa gas Hkg 10,359 0.11HeNDersON laND HlD 9,936 0.11HUaNeNg POWer HNP 23,409 0.25HaNg seNg BaNk HsB 28,013 0.30JiaNgXi COPPer JXC 30,430 0.33kUNlUN eNergY kle 3,556 0.04kiNgsOFt ksO 18,728 0.20leNOVO grOUP leN 81,001 0.88li & FUNg liF 6,310 0.07liNk reit lNk 6,054 0.07MeNgNiU DairY MeN 13,543 0.15MgM CHiNa MgM 10,987 0.12MiNsHeNg BaNk MsB 57,083 0.62Mtr COrPOratiON Mtr 11,666 0.13CNBM NBM 17,238 0.19NCi NCl 11,120 0.12NeW WOrlD DeV NWD 24,106 0.26PiNg aN Pai 1,143,861 12.36PetrOCHiNa PeC 191,530 2.07PiCC P&C PiC 19,776 0.21PiCC grOUP PiN 9,086 0.10gCl-POlY eNergY Ple 8,303 0.09r&F PrOPerties rFP 6,216 0.07saNDs CHiNa ltD saN 62,614 0.68sHk PPt sHk 17,845 0.19sUNNY OPtiCal sNO 9,623 0.10staNCHart stC 10,199 0.11sUNaC sUN 15,116 0.16sWire PaCiFiC a sWa 5,975 0.06teNCeNt tCH 1,275,006 13.78traCker FUND trF 2,610 0.03WHarF HOlDiNgs WHl 5,455 0.06WaNt WaNt CHiNa WWC 8,218 0.09aBC XaB 49,001 0.53BaNk OF CHiNa XBC 877,398 9.48CCB XCC 1,257,743 13.59iCBC XiC 683,578 7.39YaNZHOU COal YZC 15,720 0.17ZiJiN MiNiNg ZJM 9,133 0.10Total 9,255,436 100.00

eXCHaNge PartiCiPaNts statistiCs


Stock Exchange

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

2017 Q2 639 (1035) 589 (977) 34 (42) 16 (16) Q3 657 (1053) 608 (996) 33 (41) 16 (16) Q4 669 (1066) 622 (1013) 32 (38) 15 (15)2018 Q1 673 (1070) 626 (1017) 32 (38) 15 (15) Q2 680 (1077) 635 (1026) 30 (36) 15 (15)

( ) No. of trading rights

Futures Exchange

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

2017 Q2 236 (259) 184 (205) – 52 (54) Q3 236 (259) 185 (206) – 51 (53) Q4 238 (261) 186 (207) – 52 (54)2018 Q1 241 (263) 189 (209) – 52 (54) Q2 246 (268) 192 (212) – 54 (56)

Notes:

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

(2) an exchange Participant is a corporation who may trade on or through the exchange and is licensed under the securities and Futures Ordinance to carry

on securities/futures/options dealing activity.

CleariNg PartiCiPaNts statistiCs


HKCC Participants

General ClearingYear \ month Clearing Participants Participants

2017 Q2 153 9 Q3 154 9 Q4 155 92018 Q1 157 9 Q2 160 9

SEOCH Participants

General ClearingYear \ month Direct Clearing Participants Participants

2017 Q2 63 9 Q3 63 9 Q4 62 92018 Q1 62 9 Q2 63 9

HKSCC Participants

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

2017 Q2 566 9 45 Q3 582 9 46 Q4 596 9 442018 Q1 600 9 43 Q2 608 9 43

* Non-broker participants include Clearing agency Participants, Custodian Participants and stock Pledgee Participants.

aCrONYMs


CBBC Callable Bull/Bear ContractCCass Central Clearing and settlement systemCNs Continuous Net settlementDCass Derivatives Clearing and settlement systemDr Depositary receiptDW Derivative Warranteli equity linked instrumentetF exchange traded FundHiBOr Hong kong interbank Offered rateHkCC HkFe Clearing Corporation ltdHkeX Hong kong exchanges and Clearing ltdHksCC Hong kong securities Clearing Co ltdHsiCs Hang seng industry Classification systemisi investor settlement instructionl&i Products leveraged and inverse ProductsNasDaQ National association of securities Dealer automated QuotationsP/e ratio Price/earnings ratioreits real estate investment trustsrQFii rMB Qualified Foreign institutional investorss&P standard and PoorsseOCH seHk Options Clearing House ltd, thesi settlement instructionss stapled securities

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