securities and derivatives markets quarterly report · market highlights 2 securities and...

SECURITIES AND

DERIVATIVES MARKETS

QUARTERLY REPORT

Second Quarter 2013

Market Highlights

1 Securities and Derivatives Markets Quarterly Report (2nd Quarter 2013)

Main Board

Highlights 2nd Quarter 2013 2nd Quarter 2012

No. of listed companies 1,384 1,342No. of listed securities 7,991 6,747 Equities Ordinary shares 1,385 1,343 Preference shares 3 3 Warrants 4,905 4,046 Equity 10 14 Derivative 4,895 4,032 Equity linked instrument 0 0 Callable bull/bear contracts 1,222 1021 Unit trusts/mutual funds 121 103 Debt securities 355 231No. of trading only stocks Nasdaq stocks 7 7 iShares 2 2

No. of trading days 60 61Total turnover in value (HK$ mil.) * 3,722,955.78 3,054,292.16Total turnover in shares (Mil. shs) 8,712,875.48 8,211,427.70Total number of trades (deals) 57,258,564 44,746,737Total market capitalisation (HK$ mil.) 20,607,719.38 18,351,873.28Average P/E ratio (times) 9.80 8.78Average dividend yield (%) 3.33 3.47Number of exchange participants

– Trading 507 503– Non-trading 42 39

Turnover in value (HK$ mil.)Highest 97,169.63 (21/06) 76,534.41 (31/05)Lowest 42,633.39 (27/05) 36,673.28 (28/05)

Turnover in shares (Mil. shs)Highest 205,743.98 (20/06) 168,227.42 (16/05)Lowest 93,356.54 (29/04) 87,792.75 (30/04)

Total number of trades (deals)Highest 1,504,632 (25/06) 1,002,391 (16/05)Lowest 701,288 (29/04) 567,529 (28/05)

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

Market Highlights


Growth Enterprise Market (GEM)


No. of listed companies 183 177No. of listed securities 183 179 Equities 183 177 Warrants 0 2

No. of trading days 60 61Total turnover in value (HK$ mil.) * 15,384.62 6,875.14Total turnover in shares (Mil. shs) 38,483.69 33,829.05Total number of trades (deals) 413,646 228,063Total market capitalisation (HK$ mil.) 98,730.52 77,357.91Average P/E ratio (times) 33.95 17.36Average dividend yield (%) 0.93 0.53

Turnover in value (HK$ mil.)Highest 875.41 (07/05) 353.03 (13/04)Lowest 111.99 (03/04) 52.11 (25/06)

Turnover in shares (Mil. shs)Highest 1,320.90 (26/04) 1,562.26 (13/04)Lowest 356.46 (09/04) 198.35 (22/06)

Total number of trades (deals)Highest 15,938 (07/05) 6,459 (02/04)Lowest 3,549 (15/04) 2,009 (25/06)

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

Market Highlights


Derivatives Market Highlights


All futures and options products (excluding stock options)No. of trading days 60.0 61.0Total contract volume 18,449,749 16,842,634 Equity index products 18,293,427 16,782,405 Equity products 110,084 60,172 Interest rates products 0 55 RMB Currency Futures 46,238 – Gold Futures 0 2Average daily contract volume 307,496 276,109

Total open interest as at the quarter end (contracts) 1,716,051 1,054,101 Equity index products 1,690,765 1,043,526 Equity products 18,258 10,510 Interest rates products 0 65 RMB Currency Futures 7,028 – Gold Futures 0 0

Stock options No. of newly introduced stock options classes 0 0No. of stock options as at the quarter end Class 65 63 Series 17,304 14,708

Total premium (HK$ mil.) 9,361.17 8,578.21 Call 3,525.89 3,006.23 Put 5,835.29 5,571.98Average daily premium (HK$ mil.) 156.02 140.63Total contract volume 15,369,742 13,741,210 Call 7,012,176 5,810,627 Put 8,357,566 7,930,583Average daily contract volume 256,162 225,266Total open interest as at the quarter end (contracts) 4,810,169 5,060,742 Call 2,219,643 1,926,473 Put 2,590,526 3,134,269Total number of trades 658,657 577,189Average daily number of trades 10,978 9,462Total contracts exercised 2,114,831 1,992,879Average premium per contract (HK$) 609.07 624.27Average contract per trade (contracts) 23 24

Put volume/call volume 1.19 1.36Average daily contract volume/open interest 5.3% 4.5%

All futures and options productsTotal contract volume 33,819,491 30,583,844Total open interest as at the quarter end (contracts) 6,526,220 6,114,843

Market Highlights


Clearing and Settlement Statistics

Securities Market 2nd Quarter 2013 2nd Quarter 2012

Average Daily Exchange Trades Handled by CCASS– Number of trades 960,186 737,075– Value of trades (HK$bil.) 62.2 50.2– Share quantity Involved (bil shares) 145.8 135.2Average Daily Settlement Instructions (“SIs”) Settled by CCASS– Number of SIs 81,848 70,419– Value of SIs (HK$bil.) 218.9 179.8– Share quantity involved (bil. Shares) 58.4 43.0Average Daily Investor SIs (“ISIs”) Settled by CCASS– Number of ISIs 386 329– Value of ISIs (HK$mil.) 229.9 254.7– Share quantity involved (mil. shares) 70.5 115.4Average Daily Settlement Efficiency of CNS Stock Positions on Due Day (T+2) (%) 99.89 99.91Average Daily Settlement Efficiency of CNS Stock Positions on the Day following the Due Day (T+3) (%) 99.99 99.99Average Daily Buy-ins Executed on T+3– Number of brokers involved 4 2– Number of buy-ins 4 2– Value of buy-ins (HK$mil) 4.7 0.5Shares Deposited in the CCASS Depository * – Number of shares (bil shares) 3,726.3 3,713.6– Percentage of total issued shares of the admitted securities 70.11 70.37– Value of shares (HK$bil) 11,616.4 10,006.9– Percentage of the total market capitalisation of the admitted securities 51.72 50.29Derivatives MarketOpen Interest– Equity Index Futures 390,823 304,527– Stock Futures 18,258 10,510– Gold Futures 0 0– Interest Rates Futures 0 65– RMB Currency Futures 7,028 –– Equity Index Options 1,299,942 738,999– Stock Options 4,810,169 5,060,742Cumulative Stock Options Exercised– Share quantity involved (mil. shs) 2,478 2,048– Value of shares (HK$bil.) 39 31

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

Main Board Equities


Equity Turnover

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

2012 Q2 409,732.26 2,175,416.95 36,208,311 Q3 437,269.47 2,123,255.03 35,393,350 Q4 524,830.38 2,473,053.10 40,125,1882013 Q1 668,094.05 3,081,052.48 47,851,601 Q2 535,314.29 2,706,214.49 47,274,428

Equity Trading Statistics

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

2012 Q2 61 35,662.57 60,081 Q3 64 33,175.86 59,990 Q4 61 40,541.85 61,6332013 Q1 59 52,221.23 64,388 Q2 60 45,103.57 57,245

Main Board Equities


20 Most Advanced Stocksfor 2nd quarter 2013

Closing priceRank Code Stock End of Jun 2013 End of Mar 2013 % up

1 00169 HENGLI COMM PPT 4.180 0.345 1,111.59 2 00582 GREENFIELD CHEM 0.445 0.086 417.44 3 01808 ENTERPRISE DEV 0.640 0.200 220.00 4 00337 SPG LAND 8.190 2.780 194.60 5 00106 SHENZHEN HI-TEC 0.930 0.385 141.56 6 02668 PAK TAK INT'L 1.200 0.500 140.00 7 00508 DINGYI GP INV 0.570 0.240 137.50 8 01152 FORNTON GROUP 2.400 1.100 118.18 9 00777 NETDRAGON 19.360 8.880 118.02 10 01046 UNIVERSE INT'L 0.124 0.058 113.79 11 00439 CLIMAX INT'L 0.280 0.133 110.53 12 02088 XIWANG SUGAR 1.640 0.780 110.26 13 01182 C Y FOUNDATION 0.207 0.106 95.28 14 01236 QIANLONG TECH 1.620 0.840 92.86 15 01282 WWTT 0.365 0.190 92.11 16 00869 PLAYMATES TOYS 1.410 0.750 88.00 17 00362 C ZENITH CHEM 0.385 0.209 84.21 18 03888 KINGSOFT 12.820 7.140 79.55 19 00095 NEW HERITAGE 0.465 0.260 78.85 20 00176 UNITED PACIFIC 0.710 0.400 77.50

A Adjusted

20 Most Declined Stocksfor 2nd quarter 2013

Closing priceRank Code Stock End of Jun 2013 End of Mar 2013 % down

1 00377 NEW ISLAND 0.410 1.390 -70.50 2 02366 QJY MEDIA 0.119 0.345 -65.51 3 00648 CHINA RENJI 0.021 0.060 -65.00 4 00847 KAZAKHMYS-S 31.050 83.900 -62.99 5 00690 UNI-BIO GROUP 0.167 0.425 -60.71 6 00412 HERITAGE INT’L 0.175 0.392 A -55.36 7 03335 DBA TELECOM 2.030 4.520 -55.09 8 03330 LINGBAO GOLD 1.340 2.920 -54.11 9 01818 ZHAOJIN MINING 4.990 10.420 -52.11 10 01733 WINSWAY 0.440 0.900 -51.11 11 00975 MONGOL MINING 1.440 2.850 -49.47 12 00379 PME 0.236 0.455 -48.13 13 01004 RISING DEV HOLD 0.305 0.580 -47.41 14 01171 YANZHOU COAL 5.560 10.460 -46.85 15 00326 CHINA STAR ENT 0.208 0.390 -46.67 16 02899 ZIJIN MINING 1.370 2.560 -46.48 17 00631 SANY INT’L 1.950 3.590 -45.68 18 01229 NAN NAN RES 0.360 0.640 -43.75 19 00139 ICUBE TECH 0.115 0.200 -42.50 20 01938 CHU KONG PIPE 2.200 3.800 -42.11

A Adjusted

Main Board Equities


20 Most Active Stocks by Valuefor 2nd quarter 2013Rank Code Stock Turnover (HK$ mil.) % of total

1 01398 ICBC 113,449.09 4.19 2 00939 CCB 102,169.37 3.78 3 00941 CHINA MOBILE 78,635.99 2.91 4 03988 BANK OF CHINA 76,555.18 2.83 5 00005 HSBC HOLDINGS 75,486.72 2.79 6 00700 TENCENT 72,871.43 2.69 7 01299 AIA 54,284.14 2.01 8 00883 CNOOC 47,763.23 1.76 9 02628 CHINA LIFE 45,613.20 1.69 10 02318 PING AN 44,123.40 1.63 11 00857 PETROCHINA 43,998.97 1.63 12 00386 SINOPEC CORP 40,837.13 1.51 13 00016 SHK PPT 37,191.29 1.37 14 00001 CHEUNG KONG 34,498.20 1.27 15 00027 GALAXY ENT 34,152.87 1.26 16 01988 MINSHENG BANK 33,071.11 1.22 17 00388 HKEX 32,080.21 1.19 18 00013 HUTCHISON 31,333.99 1.16 19 01088 CHINA SHENHUA 30,876.97 1.14 20 00688 CHINA OVERSEAS 29,625.80 1.09

Total 1,058,618.28 39.12

20 Most Active Stock by Sharesfor 2nd quarter 2013Rank Code Stock Turnover (Mil. shs) % of total

1 03988 BANK OF CHINA 22,050.03 4.12 2 01398 ICBC 21,931.80 4.10 3 00939 CCB 17,104.60 3.20 4 03800 GCL-POLY ENERGY 11,958.80 2.23 5 00981 SMIC 11,486.79 2.15 6 01288 ABC 8,359.19 1.56 7 00566 HANERGY SOLAR 6,953.65 1.30 8 00702 SINO OIL & GAS 6,563.70 1.23 9 00386 SINOPEC CORP 5,526.98 1.03 10 00152 SHENZHEN INT’L 5,507.82 1.03 11 00622 ENERCHINA HOLD 5,177.01 0.97 12 00857 PETROCHINA 4,777.34 0.89 13 00076 SOUTH SEA PETRO 4,145.97 0.77 14 00261 CCT TECH INT’L 4,069.38 0.76 15 03333 EVERGRANDE 3,748.79 0.70 16 01988 MINSHENG BANK 3,725.97 0.70 17 00136 MASCOTTE HOLD 3,608.13 0.67 18 01094 C P PROCUREMENT 3,553.66 0.66 19 00883 CNOOC 3,458.01 0.65 20 00493 GOME 3,397.73 0.63

Total 157,105.35 29.35

Main Board Equities


Market Capitalisation of listed companies for Main Board

HK$ mil.

2012 Q2 18,351,873.28 Q3 19,575,154.28 Q4 21,871,730.172013 Q1 21,865,919.62 Q2 20,607,719.38

Market Capitalisation by Hang Seng Industry Classification System * - Main BoardQuarter-end figures

Properties & Construction(14.72%)

Financials(29.96%)

Telecommunications(9.98%)

Services(10.03%)

Consumer Goods(11.20%)

Industrial Goods(1.74%)

Materials(2.10%)

Energy(6.59%)

Conglomerates(3.24%)

Information Technology(4.84%)

Utilities (5.60%)

Main Board Equities


50 Leading Companies by Market Capitalisationas at the 2nd quarter end 2013

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

1 00941 China Mobile Ltd. 1,628,173.24 7.90 2 00005 HSBC Holdings plc 1,513,389.73 7.34 3 00939 China Construction Bank Corporation – H Shares 1,319,891.09 6.40 4 00883 CNOOC Ltd. 587,545.39 2.85 5 00700 Tencent Holdings Ltd. 563,283.05 2.73 6 01398 Industrial and Commercial Bank of China Ltd. – H Shares 424,422.88 2.06 7 02888 Standard Chartered PLC 413,135.78 2.00 8 01299 AIA Group Ltd. 395,645.40 1.92 9 00013 Hutchison Whampoa Ltd. 347,677.89 1.69 10 02378 Prudential plc * – 322,724.49 N.A. 11 01928 Sands China Ltd. 294,479.12 1.43 12 00016 Sun Hung Kai Properties Ltd. 267,361.96 1.30 13 03988 Bank of China Ltd. – H Shares 266,755.06 1.29 14 02388 BOC Hong Kong (Holdings) Ltd. 252,160.81 1.22 15 00001 Cheung Kong (Holdings) Ltd. 243,660.49 1.18 16 00762 China Unicom (Hong Kong) Ltd. 243,432.83 1.18 17 00945 Manulife Financial Corporation * – 229,549.58 N.A. 18 00805 Glencore Xstrata plc * – 228,103.41 N.A. 19 00011 Hang Seng Bank Ltd. 219,288.36 1.06 20 00004 Wharf (Holdings) Ltd., The 197,538.22 0.96 21 00003 Hong Kong and China Gas Co. Ltd., The 181,251.35 0.88 22 01913 PRADA S.p.A. 180,141.21 0.87 23 03328 Bank of Communications Co., Ltd. – H Shares 175,059.31 0.85 24 00857 PetroChina Co. Ltd. – H Shares 174,065.93 0.84 25 00688 China Overseas Land & Investment Ltd. 166,312.74 0.81 26 00066 MTR Corporation Ltd. 165,800.22 0.80 27 02318 Ping An Insurance (Group) Co. of China Ltd. – H Shares 163,372.03 0.79 28 00027 Galaxy Entertainment Group Ltd. 159,987.01 0.78 29 00002 CLP Holdings Ltd. 158,534.77 0.77 30 00151 Want Want China Holdings Ltd. 144,446.91 0.70 31 00006 Power Assets Holdings Ltd. 142,782.10 0.69 32 00019 Swire Pacific Ltd. 139,846.35 0.68 33 00386 China Petroleum & Chemical Corporation – H Shares 139,303.37 0.68 34 02628 China Life Insurance Co. Ltd. – H Shares 136,917.62 0.66 35 00388 Hong Kong Exchanges and Clearing Ltd. 135,130.76 0.66 36 01972 Swire Properties Ltd. 134,257.50 0.65 37 01038 Cheung Kong Infrastructure Holdings Ltd. 129,035.21 0.63 38 01109 China Resources Land Ltd. 123,572.12 0.60 39 00012 Henderson Land Development Co. Ltd. 122,987.93 0.60 40 00101 Hang Lung Properties Ltd. 121,142.85 0.59 41 00322 Tingyi (Cayman Islands) Holding Corp. 112,996.73 0.55 42 00135 Kunlun Energy Co. Ltd. 111,002.03 0.54 43 01128 Wynn Macau, Ltd. 108,938.55 0.53 44 06808 Sun Art Retail Group Ltd. 107,035.49 0.52 45 00880 SJM Holdings Ltd. 104,676.76 0.51 46 01044 Hengan International Group Co. Ltd. 104,052.01 0.50 47 01288 Agricultural Bank of China Ltd. – H Shares 98,364.23 0.48 48 06883 Melco Crown Entertainment Ltd. 97,483.81 0.47 49 01880 Belle International Holdings Ltd. 89,908.92 0.44 50 00494 Li & Fung Ltd. 89,121.85 0.43 Total 13,195,368.98 64.03 Market Total 20,607,719.38 100.00

Notes:

* not included in Market Total

Main Board Equities


Short Selling (value)

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

2012 Q2 297,380.47 3,061,167.30 9.71 Q3 295,053.14 2,967,517.56 9.94 Q4 285,387.99 3,416,543.59 8.352013 Q1 407,011.47 4,387,021.75 9.28 Q2 402,326.06 3,738,340.40 10.76

* Included Market total for Main Board and GEM

Short Selling (share)

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

2012 Q2 30,899.22 8,245,256.75 0.37 Q3 29,541.26 8,151,536.18 0.36 Q4 28,450.72 7,779,826.30 0.372013 Q1 39,479.17 10,186,659.76 0.39 Q2 41,554.24 8,751,359.18 0.47

* 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.) #

2012 Q2 10 0 20,429.18 Q3 12 2 13,628.71 Q4 13 0 45,234.542013 Q1 10 0 8,124.40 Q2 6 1 30,416.14

* 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

Main Board Equities


Newly Listed Companiesfor 2nd quarter 2013

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

06881 China Galaxy Securities Co., Ltd. – H Shares 2013/05/22 1,690,984,633 8,515.0002386 SINOPEC Engineering (Group) Co., Ltd. – H Shares 2013/05/23 1,460,800,000 13,944.0001270 Langham Hospitality Inv and Langham Hospitality Inv Ltd. -SS 2013/05/30 2,000,000,000 4,260.8703836 China Harmony Auto Holding Ltd. 2013/06/13 1,075,126,000 1,672.7701369 Wuzhou International Holdings Ltd. 2013/06/13 4,562,901,914 1,391.7006888 Freetech Road Recycling Technology (Holdings) Ltd. 2013/06/26 1,040,000,000 631.8000954 Changmao Biochemical Engineering Co. Ltd. – H Shares * 2013/06/28 183,700,000 –Total 30,416.14

* 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.

Main Board Equities


Withrawal of Listed Companiesfor 2nd quarter 2013

Code Company name Last trading date Delisted date

00739 Zhejiang Glass Co. Ltd. – H Shares 2010/04/30 2013/05/31

Main Board Equities


Company Name Changesfor 2nd quarter 2013

Code Old name New name Effective date Adoption date

00397 China Gogreen Assets Investment Ltd. Jun Yang Solar Power Investments Ltd. 2013/03/21 2013/05/0800542 Morning Star Resources Ltd. Ceneric (Holdings) Ltd. 2013/04/08 2013/05/0900577 Paul Y. Engineering Group Ltd. Louis XIII Holdings Ltd. 2013/04/03 2013/05/1500805 Glencore International plc Glencore Xstrata plc 2013/05/02 2013/05/2900559 Hua Yi Copper Holdings Ltd. Guocang Group Ltd. 2013/05/02 2013/05/3100112 Chi Cheung Investment Co., Ltd. LT Holdings Ltd. 2013/06/19 2013/06/2700527 China Ruifeng Galaxy Renewable Energy Holdings Ltd. China Ruifeng Renewable Energy Holdings Ltd. 2013/05/08 2013/06/2700099 Wong’s International (Holdings) Ltd. Wong’s International Holdings Ltd. 2013/06/27 2013/06/27

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

Main Board Equities


Bonus Issues/Bonus Warrantsfor 2nd quarter 2013

Code Company Particulars Ex-date

01127 1010 Printing Group Ltd. 1 for 10 2013/04/2402268 Youyuan International Holdings Ltd. 1 for 10 2013/05/0700148 Kingboard Chemical Holdings Ltd. 2 for 10 2013/05/0803389 Hengdeli Holdings Ltd. 1 for 10 2013/05/2003688 Top Spring International Holdings Ltd. 2 for 5 2013/05/20 (with option to receive Bonus perpetual subordinated convertible securities in lieu of all or part of the bonus shs)00091 New Smart Energy Group Ltd. 2 2014 wts for 1 rts shs 2013/05/2200856 VST Holdings Ltd. 2 for 10 2013/05/2701628 Yuzhou Properties Co. Ltd. 2 for 10 2013/05/3100833 Alltronics Holdings Ltd. 1 for 10 2013/06/0300012 Henderson Land Development Co. Ltd. 1 for 10 2013/06/0500003 Hong Kong and China Gas Co. Ltd., The 1 for 10 2013/06/0700386 China Petroleum & Chemical Corporation – H Shares 3 for 10 2013/06/1000131 Cheuk Nang (Holdings) Ltd. 1 2014 wt for 50 2013/06/1300895 Dongjiang Environmental Co. Ltd. – H Shares 5 for 10 2013/06/18

Share Split/Consolidationfor 2nd quarter 2013

Code Company Particulars Effective date

00055 Neway Group Holdings Ltd. Consolidation 10 into 1 2013/04/0501191 Yueshou Environmental Holdings Ltd. Consolidation 20 into 1 2013/04/1801175 FU JI Food and Catering Services Holdings Ltd. Consolidation 10 into 1 2013/05/0700155 China Solar Energy Holdings Ltd. Consolidation 10 into 1 2013/05/1600091 New Smart Energy Group Ltd. Consolidation 2 into 1 2013/05/2100901 Radford Capital Investment Ltd. Consolidation 10 into 1 2013/05/2101803 ASR Holdings Ltd. Split 1 into 2 2013/05/2400577 Louis XIII Holdings Ltd. Consolidation 10 into 1 2013/05/2700279 Freeman Financial Corporation Ltd. Consolidation 10 into 1 2013/05/3100899 Asia Resources Holdings Ltd. Consolidation 25 into 1 2013/06/0300102 Summit Ascent Holdings Ltd. Split 1 into 2 2013/06/0301008 Brilliant Circle Holdings International Ltd. Split 1 into 2 2013/06/1102324 Capital VC Ltd. Consolidation 10 into 1 2013/06/1401180 Paradise Entertainment Ltd. Consolidation 10 into 1 2013/06/19

Main Board Equities


Rights Issues & Open Offersfor 2nd quarter 2013

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

Apr 01127 1010 Printing Group Ltd. Rts 2 for 5 @$0.50 100.00 00665 Haitong International Securities Group Ltd. Rts 1 for 2 @$2.55 1,167.06 00102 Summit Ascent Holdings Ltd. Open offer 3 for 10 @$1.20 85.66 00764 Eternity Investment Ltd. Open offer 1 for 2 @$1.20 182.67 00993 Simsen International Corporation Ltd. Rts 3 for 1 @$0.095 181.17 00546 Fufeng Group Ltd. Rts 1 for 5 @$1.80 626.78 00723 Sustainable Forest Holdings Ltd. Open offer 1 for 6 @$0.0534 63.06 with bonus 1 wt for 1 offer shMay 00272 Shui On Land Ltd. Rts 1 for 3 @$1.84 3,680.79 00136 Mascotte Holdings Ltd. Rts 4 for 1 @$0.07 515.61 00412 Heritage International Holdings Ltd. Rts 1 for 2 @$0.215 202.04 00518 Tungtex (Holdings) Co. Ltd. Rts 1 for 5 @$0.80 56.28 01883 CITIC Telecom International Holdings Ltd. Rts 3 for 8 @$2.02 1,825.52Jun 01175 FU JI Food and Catering Services Holdings Ltd. Open offer 1 for 1 @$0.74 40.06 (after consolidation 10 into 1) 01049 Celestial Asia Securities Holdings Ltd. Rts 1 for 2 @$0.30 55.41 00616 Easyknit Enterprises Holdings Ltd. Rts 3 for 1 @$0.10 123.58 00091 New Smart Energy Group Ltd. Rts 1 for 10 @$0.13 43.15 with bonus 2 2014 wts for 1 rts sh (after consolidation 2 into 1) 02328 PICC Property and Casualty Co. Ltd. – H Shares Rts 1.1 H shares for 10 H shares @$5.38 2,249.77 00280 King Fook Holdings Ltd. Rts 1 for 2 @$0.55 119.64 03989 New Environmental Energy Holdings Ltd. Rts 3 for 2 @$0.20 558.68

Total 11,876.93

Main Board Equities


Placing*

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

2013Mar ** 00204 CHINA INV DEV 14,600,000 0.500 7.30 03918 NAGACORP 200,000,000 6.050 1,210.00Apr 00835 ASIA COAL 400,000,000 0.120 48.00 00024 BURWILL 397,052,000 0.122 48.44 01130 CHINA ENV RES 24,000,000 0.265 6.36 00587 HUA HAN 58,000,000 2.020 117.16 01029 IRC 817,536,000 0.940 768.48 00348 LUNG CHEONG 2,000,000,000 0.200 400.00 00342 NEWOCEAN ENERGY 166,500,000 4.680 779.22 01099 SINOPHARM 165,668,190 24.600 4,075.44May 00940 C ANIMAL HEALTH 53,079,270 1.879 99.74 00940 C ANIMAL HEALTH 53,079,270 1.879 99.74 00643 CARRY WEALTH 89,234,000 0.350 31.23 01269 CHINA VEH COM 64,000,000 1.300 83.20 01019 CONVOY 19,000,000 2.300 43.70 00508 DINGYI GP INV 475,000,000 0.300 142.50 01102 ENVIRO ENERGY 77,500,000 0.150 11.63 00279 FREEMAN FIN-NEW 42,067,480 0.100 4.21 03303 JUTAL OIL SER 50,000,000 1.730 86.50 00402 MONGOLIA INV 360,000,000 0.250 90.00 00901 RADFORD CAPITAL 242,079,719 0.065 15.74 00934 SINOPEC KANTONS 412,500,000 6.500 2,681.25 00729 SINOPOLYBATTERY 1,200,000,000 0.220 264.00 00757 SOLARGIGA 222,220,000 0.360 80.00 00928 TACK FIORI 22,910,489 0.540 12.37 00690 UNI-BIO GROUP 260,000,000 0.150 39.00 00913 UNITY INV HOLD 38,807,040 0.690 26.78Jun 00745 CH RAILSMEDIA 88,200,000 0.340 29.99 00670 CHINA EAST AIR 698,865,000 2.320 1,621.37 01130 CHINA ENV RES 30,453,958 0.200 6.09 00439 CLIMAX INT’L 241,580,000 0.100 24.16 01159 KARCE INTL HOLD 140,468,000 0.210 29.50 01323 NEWTREE GROUP 40,000,000 2.100 84.00 00802 RCG 98,600,000 0.355 35.00 00376 REORIENT GROUP 27,000,000 3.050 82.35 00223 SRGL 412,470,000 0.080 33.00 02349 WATER PROPERTY 50,000,000 0.660 33.00 00570 WINTEAM PHARMA 225,000,000 3.100 697.50Total 13,947.92

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

** Supplementary information update for previous quarters.

Main Board Warrants


Warrant Trading Statistics

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

2012 Q2 22.75 382,702.18 382,724.93 Q3 10.37 355,739.26 355,749.63 Q4 18.06 382,100.50 382,118.562013 Q1 25.69 605,817.72 605,843.41 Q2 5.48 428,993.08 428,998.56

Warrant Market Value

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

2012 Q2 14 378.29 4,032 64,850.10 4,046 65,228.38 Q3 12 335.18 3,903 77,929.72 3,915 78,264.90 Q4 10 521.90 3,747 105,257.03 3,757 105,778.922013 Q1 11 359.52 4,484 70,659.35 4,495 71,018.87 Q2 10 231.90 4,895 56,917.10 4,905 57,149.00

New Listing Statistics – Warrants

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

2012 Q2 2 1,373 44,256.44 Q3 0 1,328 36,903.66 Q4 0 1,605 42,042.212013 Q1 1 1,880 48,254.00 Q2 2 1,684 41,005.85

Newly Listed Equity Warrantsfor 2nd quarter 2013

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

00944 Cheuk Nang (Holdings) Ltd. Warrants 2014 35,772,792 2013/06/25 2014/06/24 –01042 New Smart Energy Group Ltd. Warrants 2014 66,384,732 2013/06/25 2014/06/23 –

Total –

Main Board Warrants


Newly Listed Derivative Warrantsfor 2nd quarter 2013 Amount No. of raisedCode Derivative warrants issue (units) Listing date Expiry (HK$ mil.)

24683 BOCI Asia Ltd. – China Mobile European Warrants Aug 2013 A 100,000,000 2013/04/02 2013/08/08 17.0024681 BOCI Asia Ltd. – Ping An European Warrants Sep 2013 A 100,000,000 2013/04/02 2013/09/03 19.0024678 BOCI Asia Ltd. – Tencent Holdings European Wts Sep 2013 A 100,000,000 2013/04/02 2013/09/03 15.0024699 Credit Suisse AG – KECL European Warrants Aug 2013 A 70,000,000 2013/04/02 2013/08/05 11.9024700 Daiwa Capital Mkt – CCB European Warrants Aug 2013 A 128,000,000 2013/04/02 2013/08/26 23.0424695 Goldman Sachs SP (Asia) – Dongfeng European Wts Jun 2014 A 80,000,000 2013/04/02 2014/06/19 13.3624696 Goldman Sachs SP (Asia) – Tencent European Wt Aug 2013 C 80,000,000 2013/04/02 2013/08/05 12.2424677 J P Morgan SP BV – China Railway European Wts Oct 2013 A 60,000,000 2013/04/02 2013/10/02 15.0024672 J P Morgan SP BV – Henderson Land Dev European Wt Oct 2013 A 200,000,000 2013/04/02 2013/10/02 50.0024671 J P Morgan SP BV – Kerry Ppt European Warrants Nov 2013 A 40,000,000 2013/04/02 2013/11/01 10.0024668 J P Morgan SP BV – Sa Sa Int'l European Warrants Dec 2014 A 80,000,000 2013/04/02 2014/12/31 20.0024666 J P Morgan SP BV – Tencent European Warrants Oct 2013 E 200,000,000 2013/04/02 2013/10/02 50.0024664 J P Morgan SP BV – Tencent European Put Warrants Oct 2013 D 200,000,000 2013/04/02 2013/10/02 50.0024663 J P Morgan SP BV – Tingyi European Warrants Dec 2013 A 100,000,000 2013/04/02 2013/12/02 25.0024662 J P Morgan SP BV – Yuexiu Property European Wts Nov 2013 A 80,000,000 2013/04/02 2013/11/11 20.0024692 SGA Societe Generale Acceptance N.V – Anhui Conch Eu Wt Sep13A 100,000,000 2013/04/02 2013/09/16 25.0024693 SGA Societe Generale Acceptance N.V. – CNBM Eu Wt Sep 2013 A 30,000,000 2013/04/02 2013/09/16 20.7024687 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Sep2013 A 50,000,000 2013/04/02 2013/09/16 22.0024701 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Sep 2013 B 300,000,000 2013/04/02 2013/09/27 45.0024685 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Aug13 A 300,000,000 2013/04/02 2013/08/05 51.0024694 UBS AG – HSI European Put Warrants Dec 2013 C 300,000,000 2013/04/02 2013/12/30 45.0021625# Goldman Sachs SP (Asia) – Tencent European Wt Aug 2013 B 150,000,000 2013/04/02 2013/08/05 12.7524723 Credit Suisse – Cheung Kong European Put Warrants Oct 2013 A 70,000,000 2013/04/03 2013/10/02 26.6024719 Credit Suisse AG – Tencent Holdings European Wts Jul 2013 E 100,000,000 2013/04/03 2013/07/16 15.0024717 J P Morgan SP BV – China Coal European Warrants Oct 2013 A 40,000,000 2013/04/03 2013/10/02 12.2024718 J P Morgan SP BV – CKI Holdings European Warrants Oct 2013 A 50,000,000 2013/04/03 2013/10/02 12.5024731 J P Morgan SP BV – CNBM European Warrants Oct 2013 A 80,000,000 2013/04/03 2013/10/02 39.6824730 J P Morgan SP BV – CNBM European Warrants Jun 2014 A 200,000,000 2013/04/03 2014/06/09 50.0024716 J P Morgan SP BV – China Tel European Warrants Oct 2013 B 180,000,000 2013/04/03 2013/10/02 45.5424713 J P Morgan SP BV – Datang European Wts Oct 2013 A 40,000,000 2013/04/03 2013/10/02 10.0024711 J P Morgan SP BV – HSI European Put Warrants Oct 2013 B 200,000,000 2013/04/03 2013/10/30 50.0024710 J P Morgan SP BV – Samsonite European Warrants Oct 2013 A 100,000,000 2013/04/03 2013/10/02 25.0024706 J P Morgan SP BV – Weigao Group European Warrants Sep 2014 A 200,000,000 2013/04/03 2014/09/01 50.0024722 Macquarie Bank Ltd. – China Mobile European Wts Aug 2013 A 120,000,000 2013/04/03 2013/08/02 18.0024724 Macquarie Bank Ltd. – Chi Res Power European Wts Oct 2013 A 120,000,000 2013/04/03 2013/10/03 30.6024720 Macquarie Bank Ltd. – Tencent European Put Wts Oct 2013 A 250,000,000 2013/04/03 2013/10/03 62.7524704 Standard Chartered Bank – Tencent Hldg Euro Wts Aug 2013 C 100,000,000 2013/04/03 2013/08/05 15.0024702 Standard Chartered Bank – Tencent Hldg Euro Wts Oct 2013 A 100,000,000 2013/04/03 2013/10/04 25.0024725 UBS AG – China Mobile European Warrants Jul 2013 F 200,000,000 2013/04/03 2013/07/29 30.0024727 UBS AG – HKEx European Warrants Sep 2013 C 100,000,000 2013/04/03 2013/09/16 30.0024729 UBS AG – Tencent Holdings European Warrants Oct 2013 A 200,000,000 2013/04/03 2013/10/09 50.0024759 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Nov 2013 A 100,000,000 2013/04/05 2013/11/04 25.00

Main Board Warrants


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

24756 BNP Paribas Arbit Issu B.V. – HLand Dev Euro Wts Nov 2013 A 69,000,000 2013/04/05 2013/11/04 13.1124757 BNP Paribas Arbit Issu B.V. – Jiangxi Copper Eu Wt Dec2013 A 100,000,000 2013/04/05 2013/12/03 15.0024753 BNP Paribas Arbit Issu B.V. – SHK Ppt Euro Wts Nov 2013 A 92,000,000 2013/04/05 2013/11/04 23.0024758 BNP Paribas Arbit Issu B.V. – Ting Yi European Wts Feb 2014 A 100,000,000 2013/04/05 2014/02/05 25.0024765 Credit Suisse AG – GCL-Poly Energy European Wts Aug 2013 A 70,000,000 2013/04/05 2013/08/26 11.2024770 Daiwa Capital Mkt – CNOOC European Warrants Feb 2014 A 158,000,000 2013/04/05 2014/02/12 39.5024739 Goldman Sachs SP (Asia) – BOCL European Warrants Nov 2013 A 80,000,000 2013/04/05 2013/11/26 12.6424746 Goldman Sachs SP (Asia) – CITIC Bank European Wts Dec 2013 A 80,000,000 2013/04/05 2013/12/02 20.5624742 Goldman Sachs SP (Asia) – Minsheng Bank Euro Wts Oct 2013 A 80,000,000 2013/04/05 2013/10/31 56.0824766 Goldman Sachs SP (Asia) – Haitong Sec Euro Wts Nov 2013 A 80,000,000 2013/04/05 2013/11/25 12.0824751 Goldman Sachs SP (Asia) – Tencent European Wt Dec 2013 A 120,000,000 2013/04/05 2013/12/02 30.2424752 HK Bank – Tencent European Warrants Aug 2013 C 160,000,000 2013/04/05 2013/08/05 24.0024738 HK Bank – Tencent European Warrants Oct 2013 A 160,000,000 2013/04/05 2013/10/07 40.0024737 J P Morgan SP BV – China Life European Warrants Sep 2013 E 300,000,000 2013/04/05 2013/09/13 45.0024736 J P Morgan SP BV – China Life European Warrants Nov 2013 A 300,000,000 2013/04/05 2013/11/01 75.0024735 J P Morgan Int'l Der. Ltd. – HSCEI European Wts Oct 2013 C 300,000,000 2013/04/05 2013/10/30 75.0024734 J P Morgan SP BV – HSCEI European Put Warrants Dec 2013 C 300,000,000 2013/04/05 2013/12/30 75.0024733 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Oct13 A 200,000,000 2013/04/05 2013/10/28 50.0024782 BNP Paribas Arbit Issu B.V. – HSI European Wts Sep 2013 A 200,000,000 2013/04/08 2013/09/27 32.0024781 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts Oct 2013 B 200,000,000 2013/04/08 2013/10/30 54.0024780 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts Nov 2013 A 200,000,000 2013/04/08 2013/11/28 50.0024783 Credit Suisse AG – Sands China European Warrants Oct 2013 A 50,000,000 2013/04/08 2013/10/09 12.5024778 Daiwa Capital Mkt – China Life European Warrants Oct 2013 D 168,000,000 2013/04/08 2013/10/08 42.0024777 Goldman Sachs SP (Asia) – EFUND CSI100 Euro Wts Sep 2013 A 100,000,000 2013/04/08 2013/09/11 15.6024775 Macquarie Bank Ltd. – Evergrande European Wts Oct 2013 B 80,000,000 2013/04/08 2013/10/07 20.3224776 Macquarie Bank Ltd. – NCI European Warrants Jan 2014 A 100,000,000 2013/04/08 2014/01/03 25.0024779 Macquarie Bank Ltd. – Sands China European Wts Nov 2013 A 100,000,000 2013/04/08 2013/11/04 25.0024772 Standard Chartered Bank – SHK P European Warrants Oct 2013 A 60,000,000 2013/04/08 2013/10/08 18.0024808 Credit Suisse AG – A50 China European Warrants Aug 2013 C 70,000,000 2013/04/09 2013/08/08 26.6024809 Credit Suisse AG – Hutchison European Warrants Aug 2013 A 70,000,000 2013/04/09 2013/08/13 16.1024786 Merrill Lynch Int'l & Co. C.V. – AIA Euro Wts Dec 2013 A 60,000,000 2013/04/09 2013/12/24 10.8624802 Merrill Lynch Int'l & Co. C.V. – CK(H) Euro Wts Aug 2013 A 80,000,000 2013/04/09 2013/08/28 12.0824788 Merrill Lynch Int'l & Co. C.V. – China Life Eu Wt Oct 2013 B 80,000,000 2013/04/09 2013/10/28 12.2424795 Merrill Lynch Int'l & Co. C.V. – China Life Eu Wt Nov 2013 A 80,000,000 2013/04/09 2013/11/15 12.0024793 Merrill Lynch Int'l & Co. C.V. – Ch Mobile Eur Wt Jan 2014 A 60,000,000 2013/04/09 2014/01/13 16.2024792 Merrill Lynch Int'l & Co. C.V. – Ping An Euro Wts Oct 2013 A 40,000,000 2013/04/09 2013/10/15 14.2024797 Merrill Lynch Int'l & Co. C.V. – SHK Ppt Euro Wts Sep 2013 B 40,000,000 2013/04/09 2013/09/02 10.0024796 Merrill Lynch Int'l & Co. C.V. – SHK Ppt Euro Wts Oct 2013 A 40,000,000 2013/04/09 2013/10/28 10.2024791 Merrill Lynch Int'l & Co. C.V. – Tencent Eu Put Wt Aug2013 C 80,000,000 2013/04/09 2013/08/26 15.6024805 Standard Chartered Bank – CC Bank European Wts Oct 2013 A 60,000,000 2013/04/09 2013/10/10 18.0024804 Standard Chartered Bank – China Life European Wts Oct 2013 B 100,000,000 2013/04/09 2013/10/24 25.0024806 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Oct13 B 30,000,000 2013/04/09 2013/10/09 22.5024807 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Nov13A 100,000,000 2013/04/09 2013/11/04 19.0024815 UBS AG – China Life European Warrants Nov 2013 A 200,000,000 2013/04/09 2013/11/11 50.00

Main Board Warrants



24814 UBS AG – CSOP A50 ETF European Warrants Aug 2013 B 100,000,000 2013/04/09 2013/08/22 65.0024811 UBS AG – ICBC European Warrants Nov 2013 A 100,000,000 2013/04/09 2013/11/18 20.0020303# HK Bank – Zoomlion European Warrants Sep 2013 A 170,000,000 2013/04/09 2013/09/30 10.3724860 Credit Suisse AG – China Coal European Warrants Oct 2013 A 70,000,000 2013/04/10 2013/10/15 19.6024846 Credit Suisse AG – Cheung Kong European Warrants Aug 2013 A 70,000,000 2013/04/10 2013/08/26 19.6024858 Credit Suisse AG – CM Bank European Warrants May 2014 A 70,000,000 2013/04/10 2014/05/26 10.5024849 Credit Suisse AG – Sinopec Corp European Warrants Aug 2013 B 70,000,000 2013/04/10 2013/08/30 12.6024851 Credit Suisse AG – HKEx European Warrants Sep 2013 B 70,000,000 2013/04/10 2013/09/23 29.4024835 Credit Suisse AG – Nine Dragons European Warrants Dec 2013 A 70,000,000 2013/04/10 2013/12/24 10.5024848 Credit Suisse AG – New World Dev European Wts Jul 2013 C 50,000,000 2013/04/10 2013/07/12 22.5024856 Credit Suisse AG – Tencent Holdings European Wts Sep 2013 C 70,000,000 2013/04/10 2013/09/27 13.3024857 Credit Suisse AG – Tencent Holdings European Wts Oct 2013 A 70,000,000 2013/04/10 2013/10/04 10.5024847 Credit Suisse AG – Wharf European Warrants Jul 2013 A 70,000,000 2013/04/10 2013/07/29 10.5024834 Daiwa Capital Mkt – ICBC European Warrants Sep 2013 B 128,000,000 2013/04/10 2013/09/23 30.7224868 Goldman Sachs SP (Asia) – HSCEI European Warrants Dec 2013 B 150,000,000 2013/04/10 2013/12/30 22.5024874 Goldman Sachs SP (Asia) – HSCEI European Put Wts Mar 2014 A 150,000,000 2013/04/10 2014/03/28 38.8524875 Goldman Sachs SP (Asia) – HSI European Warrants Oct 2013 C 150,000,000 2013/04/10 2013/10/30 23.1024827 Macquarie Bank Ltd. – China COSCO European Wts Oct 2013 A 80,000,000 2013/04/10 2013/10/09 20.0024837 Macquarie Bank Ltd. – Ch LongYuan European Wts Oct 2014 A 150,000,000 2013/04/10 2014/10/06 22.5024833 Macquarie Bank Ltd. – CSR Times European Warrants Mar 2014 A 150,000,000 2013/04/10 2014/03/04 37.5024832 Macquarie Bank Ltd. – Jiangxi Copper European Wts Dec 2013 A 150,000,000 2013/04/10 2013/12/23 22.5024829 Macquarie Bank Ltd. – Shui On Land European Wts Nov 2013 A 80,000,000 2013/04/10 2013/11/04 20.0024820 Standard Chartered Bank – Evergrande European Wts Nov 2013 A 60,000,000 2013/04/10 2013/11/04 16.8024822 Standard Chartered Bank – Hutchison Euro Euro Wts Oct 2013 B 100,000,000 2013/04/10 2013/10/11 25.0024823 Standard Chartered Bank – ICBC European Warrants Oct 2013 B 100,000,000 2013/04/10 2013/10/10 25.0024865 UBS AG – CC Bank European Warrants Aug 2013 B 100,000,000 2013/04/10 2013/08/26 21.0024862 UBS AG – Minsheng Bank European Warrants Oct 2013 A 30,000,000 2013/04/10 2013/10/09 14.4024866 UBS AG – HSCEI European Warrants Dec 2013 C 100,000,000 2013/04/10 2013/12/30 15.0024864 UBS AG – Ping An European Warrants Aug 2013 C 100,000,000 2013/04/10 2013/08/27 15.0024923 BOCI Asia Ltd. – China Life European Warrants Sep 2013 B 100,000,000 2013/04/11 2013/09/23 15.0024921 BOCI Asia Ltd. – HSI European Warrants Sep 2013 A 100,000,000 2013/04/11 2013/09/27 15.0024922 BOCI Asia Ltd. – Sands China European Warrants Sep 2013 A 100,000,000 2013/04/11 2013/09/23 16.0024924 BOCI Asia Ltd. – Tencent Holdings European Put Wts Dec 2013 A 100,000,000 2013/04/11 2013/12/02 25.0024900 Goldman Sachs SP (Asia) – BYD European Warrants Dec 2013 A 80,000,000 2013/04/11 2013/12/02 20.7224926 Goldman Sachs SP (Asia) – CC Bank European Wts Nov 2013 A 80,000,000 2013/04/11 2013/11/28 21.5224925 Goldman Sachs SP (Asia) – China Life Euro Put Wts Feb 2014 A 80,000,000 2013/04/11 2014/02/27 20.0824893 Goldman Sachs SP (Asia) – Cathay Pacific Euro Wts Dec 2014 A 80,000,000 2013/04/11 2014/12/30 20.2424895 Goldman Sachs SP (Asia) – Chi Resources Euro Wt Dec 2013 A 80,000,000 2013/04/11 2013/12/31 20.0024899 Goldman Sachs SP (Asia) – China Tel European Wts Dec 2013 A 80,000,000 2013/04/11 2013/12/02 20.6424894 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts Dec 2013 A 80,000,000 2013/04/11 2013/12/31 20.3224929 Goldman Sachs SP (Asia) – HSBC European Put Wts Aug 2013 A 80,000,000 2013/04/11 2013/08/29 12.5624902 HK Bank – Minsheng Bank European Warrants Oct 2013 A 50,000,000 2013/04/11 2013/10/15 35.0024901 HK Bank – Minsheng Bank European Warrants Nov 2013 A 60,000,000 2013/04/11 2013/11/04 31.2024931 Macquarie Bank Ltd. – Anhui Conch European Wts Dec 2013 A 150,000,000 2013/04/11 2013/12/03 37.50

Main Board Warrants



24935 Macquarie Bank Ltd. – Chinares Cement European Wt Oct 2013 A 80,000,000 2013/04/11 2013/10/10 20.0024876 Merrill Lynch Int'l & Co. C.V. – CC Bank Euro Wts Aug 2013 B 60,000,000 2013/04/11 2013/08/26 13.6824884 Merrill Lynch Int'l & Co. C.V. – CC Bank Euro Wts Sep 2013 A 60,000,000 2013/04/11 2013/09/23 12.3624890 Merrill Lynch Int'l & Co. C.V. – HSBC Euro Wts Sep 2013 A 40,000,000 2013/04/11 2013/09/04 16.0024891 Merrill Lynch Int'l & Co. C.V. – HSBC Euro Wts Sep 2013 B 60,000,000 2013/04/11 2013/09/17 14.0424885 Merrill Lynch Int'l & Co. C.V. – Hutchison Eur Wt Oct 2013 A 40,000,000 2013/04/11 2013/10/29 15.0024886 Merrill Lynch Int'l & Co. C.V. – Hutchison Eur Wt Oct 2013 B 40,000,000 2013/04/11 2013/10/21 20.4024882 Merrill Lynch Int'l & Co. C.V. – ICBC Euro Wts Sep 2013 B 60,000,000 2013/04/11 2013/09/23 15.0024877 Merrill Lynch Int'l & Co. C.V. – ICBC Euro Wts Nov 2013 A 60,000,000 2013/04/11 2013/11/18 12.7824936 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Oct 2013 A 150,000,000 2013/04/11 2013/10/02 22.5023915# Standard Chartered Bank – China Life European Wts Nov 2013 B 130,000,000 2013/04/11 2013/11/22 10.0124951 BOCI Asia Ltd. – HSBC European Warrants Aug 2013 B 100,000,000 2013/04/12 2013/08/08 16.0024953 BOCI Asia Ltd. – Hutchison European Warrants Aug 2013 A 100,000,000 2013/04/12 2013/08/19 21.0024950 BOCI Asia Ltd. – PetroChina European Warrants Oct 2013 A 100,000,000 2013/04/12 2013/10/21 18.0024992 BNP Paribas Arbit Issu B.V. – Anhui Conch Euro Wt Jan 2014 A 100,000,000 2013/04/12 2014/01/03 27.0024990 BNP Paribas Arbit Issu B.V. – AIA European Put Wt Jan 2014 B 100,000,000 2013/04/12 2014/01/03 26.0024991 BNP Paribas Arbit Issu B.V. – CITIC Bank Euro Wts Jan 2014 A 85,000,000 2013/04/12 2014/01/03 22.9524988 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Jan 2014 B 100,000,000 2013/04/12 2014/01/03 25.0025002 BNP Paribas Arbit Issu B.V. – China Overseas Eu Wt Jan 2014A 100,000,000 2013/04/12 2014/01/03 25.0024986 BNP Paribas Arbit Issu B.V. – Evergrande Euro Wts Jan 2014 A 100,000,000 2013/04/12 2014/01/03 34.0025007 BNP Paribas Arbit Issu B.V. – Hutchison Euro Wts Nov 2013 B 100,000,000 2013/04/12 2013/11/04 30.0025006 BNP Paribas Arbit Issu B.V. – Li & Fung Euro Wts Apr 2015 A 100,000,000 2013/04/12 2015/04/02 25.0024998 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Jan 2014 B 100,000,000 2013/04/12 2014/01/03 25.0024993 BNP Paribas Arbit Issu B.V. – Tencent Eu Put Wt Jan 2014 A 100,000,000 2013/04/12 2014/01/03 25.0024954 HK Bank – CITIC Bank European Warrants Nov 2013 A 60,000,000 2013/04/12 2013/11/18 15.0024963 HK Bank – China Life European Warrants Oct 2013 B 200,000,000 2013/04/12 2013/10/28 30.0024957 HK Bank – Minsheng Bank European Warrants Dec 2014 B 200,000,000 2013/04/12 2014/12/31 50.0024959 HK Bank – Minsheng Bank European Warrants Jun 2015 A 250,000,000 2013/04/12 2015/06/04 50.0024962 Macquarie Bank Ltd. – Angang Steel European Wts Oct 2013 B 80,000,000 2013/04/12 2013/10/15 25.6824961 Macquarie Bank Ltd. – Ch Southern Air Euro Wts Oct 2013 A 80,000,000 2013/04/12 2013/10/15 28.8024960 Macquarie Bank Ltd. – Ping An European Warrants Nov 2013 A 180,000,000 2013/04/12 2013/11/04 45.0024949 Merrill Lynch Int'l & Co. C.V. – Sinopec Euro Wts Sep 2013 B 40,000,000 2013/04/12 2013/09/16 22.8024943 Merrill Lynch Int'l & Co. C.V. – Ch Telecom Eu Wt Jul 2013 B 80,000,000 2013/04/12 2013/07/30 12.0824940 Merrill Lynch Int'l & Co. C.V. – PetroChina Eu Wt Sep 2013 A 40,000,000 2013/04/12 2013/09/23 10.2024938 Merrill Lynch Int'l & Co. C.V. – Tencent Euro Wts Nov 2013 B 80,000,000 2013/04/12 2013/11/25 20.0024937 Merrill Lynch Int'l & Co. C.V. – Tencent Eu Put Wt Nov 2013A 80,000,000 2013/04/12 2013/11/18 20.0024939 Merrill Lynch Int'l & Co. C.V. – Wharf Euro Wts Jul 2013 B 70,000,000 2013/04/12 2013/07/29 11.0624973 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Sep 2013 D 300,000,000 2013/04/12 2013/09/27 46.5024965 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jul13 C 300,000,000 2013/04/12 2013/07/30 45.0024964 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Sep13 C 300,000,000 2013/04/12 2013/09/27 54.0024981 UBS AG – CNOOC European Warrants Feb 2014 B 100,000,000 2013/04/12 2014/02/05 17.5024979 UBS AG – Hutchison European Warrants Oct 2013 A 100,000,000 2013/04/12 2013/10/03 35.5024977 UBS AG – ICBC European Warrants Sep 2013 B 100,000,000 2013/04/12 2013/09/23 20.0024984 UBS AG – PICC European Warrants Dec 2013 A 100,000,000 2013/04/12 2013/12/16 15.00

Main Board Warrants



24975 UBS AG – Yurun Food European Warrants Sep 2013 A 50,000,000 2013/04/12 2013/09/05 12.7525009 BOCI Asia Ltd. – China Life European Warrants Nov 2013 A 100,000,000 2013/04/15 2013/11/01 15.0025008 BOCI Asia Ltd. – Ch Overseas European Warrants Nov 2013 B 100,000,000 2013/04/15 2013/11/15 18.0025011 BOCI Asia Ltd. – Ping An European Warrants Oct 2013 A 100,000,000 2013/04/15 2013/10/31 25.0010180 BNP Paribas Arbit Issu B.V. – AUD/USD European Wts Nov 2013 B 100,000,000 2013/04/15 2013/11/28 25.0010179 BNP Paribas Arbit Issu B.V. – AUD/USD Euro Put Wts Nov 2013 A 100,000,000 2013/04/15 2013/11/28 25.0010178 BNP Paribas Arbit Issu B.V. – USD/YEN Eur Put Wts Nov 2013 B 100,000,000 2013/04/15 2013/11/28 25.0025053 Credit Suisse AG – AIA European Warrants Dec 2013 A 80,000,000 2013/04/15 2013/12/24 12.0025035 Credit Suisse AG – China Life European Warrants Oct 2013 A 70,000,000 2013/04/15 2013/10/28 10.5025051 Credit Suisse – China Railway European Warrants Sep 2013 A 70,000,000 2013/04/15 2013/09/30 10.5025027 Credit Suisse AG – China Shenhua European Wts Sep 2013 B 70,000,000 2013/04/15 2013/09/30 10.5025052 Credit Suisse AG – Evergrande European Warrants Sep 2013 A 70,000,000 2013/04/15 2013/09/02 10.5025049 Credit Suisse AG – Galaxy Ent European Warrants Oct 2013 A 70,000,000 2013/04/15 2013/10/21 10.5025022 Credit Suisse AG – HSI European Warrants Oct 2013 C 150,000,000 2013/04/15 2013/10/30 22.5025031 Credit Suisse AG – ICBC European Warrants Sep 2013 B 70,000,000 2013/04/15 2013/09/30 12.6025030 Credit Suisse AG – ICBC European Warrants Nov 2013 A 70,000,000 2013/04/15 2013/11/25 10.5025032 Credit Suisse AG – Ping An European Warrants Sep 2013 A 70,000,000 2013/04/15 2013/09/30 10.5025023 Credit Suisse AG – Tencent Holdings European Wts Sep 2013 D 100,000,000 2013/04/15 2013/09/30 15.0025025 Credit Suisse AG – Tencent Holdings European Wts Sep 2013 E 100,000,000 2013/04/15 2013/09/30 20.0025090 Daiwa Capital Mkt – HSCEI European Put Warrants Nov 2013 A 100,000,000 2013/04/15 2013/11/28 25.0025089 Daiwa Capital Mkt – HSI European Put Warrants Oct 2013 B 200,000,000 2013/04/15 2013/10/30 50.0025042 Goldman Sachs SP (Asia) – HSI European Put Wts Jul 2013 C 200,000,000 2013/04/15 2013/07/30 30.4025014 HK Bank – CAM CSI300 European Warrants Sep 2013 B 100,000,000 2013/04/15 2013/09/16 15.0025015 HK Bank – CNOOC European Warrants Nov 2014 A 150,000,000 2013/04/15 2014/11/17 34.5025012 HK Bank – China Shenhua European Warrants Nov 2013 B 80,000,000 2013/04/15 2013/11/18 12.0025013 HK Bank – HKEx European Warrants Nov 2013 B 60,000,000 2013/04/15 2013/11/18 15.0025125 J P Morgan SP BV – AIA European Warrants Jan 2014 A 200,000,000 2013/04/15 2014/01/03 30.0025075 J P Morgan SP BV – China Life European Warrants Oct 2013 B 300,000,000 2013/04/15 2013/10/02 45.0025083 J P Morgan SP BV – A50 China European Warrants Oct 2013 A 200,000,000 2013/04/15 2013/10/15 71.2025081 J P Morgan SP BV – A50 China European Warrants Nov 2013 A 200,000,000 2013/04/15 2013/11/04 53.0025084 J P Morgan SP BV – Ping An European Warrants Oct 2013 B 200,000,000 2013/04/15 2013/10/02 34.0025124 J P Morgan SP BV – Yurun Food European Warrants Oct 2013 A 50,000,000 2013/04/15 2013/10/15 12.5025047 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Nov 2013 A 50,000,000 2013/04/15 2013/11/04 12.5025048 Macquarie Bank Ltd. – A50 China European Warrants Oct 2013 A 50,000,000 2013/04/15 2013/10/03 10.0025112 Merrill Lynch Int'l & Co. C.V. – CC Bank Euro Wts Sep 2013 B 40,000,000 2013/04/15 2013/09/24 11.0025117 Merrill Lynch Int'l & Co. C.V. – HSI European Wts Sep 2013 I 100,000,000 2013/04/15 2013/09/27 15.3025119 Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Dec 2013 B 100,000,000 2013/04/15 2013/12/30 15.9025123 Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Dec 2013 C 100,000,000 2013/04/15 2013/12/30 16.9025118 Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Mar 2014 A 100,000,000 2013/04/15 2014/03/28 25.0025111 Merrill Lynch Int'l & Co. C.V. – ICBC Euro Wts Oct 2013 A 40,000,000 2013/04/15 2013/10/15 10.2025106 Merrill Lynch Int'l & Co. C.V. – Ping An Euro Wts Oct 2013 B 40,000,000 2013/04/15 2013/10/28 14.6025108 Merrill Lynch Int'l & Co. C.V. – SHK Ppt Euro Wts Oct 2013 B 40,000,000 2013/04/15 2013/10/22 22.4025109 Merrill Lynch Int'l & Co. C.V. – Tencent Euro Wts Oct 2013 B 80,000,000 2013/04/15 2013/10/02 12.0025043 Standard Chartered Bank – BOCL European Warrants Jan 2014 A 100,000,000 2013/04/15 2014/01/03 46.00

Main Board Warrants



25038 Standard Chartered Bank – CC Bank European Wts Dec 2013 A 100,000,000 2013/04/15 2013/12/31 45.0025037 Standard Chartered Bank – China Life European Wts Dec 2013 B 150,000,000 2013/04/15 2013/12/31 37.5025040 Standard Chartered Bank – CNOOC European Warrants Feb 2014 A 150,000,000 2013/04/15 2014/02/05 22.5025039 Standard Chartered Bank – ICBC European Warrants Dec 2013 A 100,000,000 2013/04/15 2013/12/04 40.0025041 Standard Chartered Bank – PetroChina European Wts Dec 2013 A 150,000,000 2013/04/15 2013/12/04 37.5025044 Standard Chartered Bank – Ping An European Wts Oct 2013 B 100,000,000 2013/04/15 2013/10/30 40.0025046 Standard Chartered Bank – Ping An Euro Put Wts Jul 2013 B 100,000,000 2013/04/15 2013/07/29 15.0025017 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt Nov 2013 A 80,000,000 2013/04/15 2013/11/18 13.2025021 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Jan 2014 A 100,000,000 2013/04/15 2014/01/27 15.0025063 SGA Societe Generale Acceptance N.V. – CCCCL Eu Wt Oct 2013 A 30,000,000 2013/04/15 2013/10/16 13.3525066 SGA Societe Generale Acceptance N.V – Chi COSCO Eu Wt Oct13 A 40,000,000 2013/04/15 2013/10/16 10.8025062 SGA Societe Generale Acceptance N.V. – CCoal Eu Wt Oct 2013 A 30,000,000 2013/04/15 2013/10/16 10.0525054 SGA Societe Generale Acceptance N.V. – CITBK Eu Wt Oct2013A 50,000,000 2013/04/15 2013/10/16 12.5025085 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Oct2013 B 200,000,000 2013/04/15 2013/10/07 35.0025086 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Oct2013 C 200,000,000 2013/04/15 2013/10/30 30.0025018 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Feb2014 A 120,000,000 2013/04/15 2014/02/05 18.0025069 SGA Societe Generale Acceptance N.V. – Geely Auto Eu Wt Sep13B 50,000,000 2013/04/15 2013/09/18 17.5025068 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Sep13A 100,000,000 2013/04/15 2013/09/09 27.0025087 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Sep 2013 A 150,000,000 2013/04/15 2013/09/04 46.5025088 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Sep 2013 B 150,000,000 2013/04/15 2013/09/23 27.0025019 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Oct 2013 A 100,000,000 2013/04/15 2013/10/02 38.5025020 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Oct13 A 100,000,000 2013/04/15 2013/10/16 39.5025067 SGA Societe Generale Acceptance N.V. – Yurun Food Eu Wt Oct13A 30,000,000 2013/04/15 2013/10/16 14.4025072 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Oct13A 25,000,000 2013/04/15 2013/10/16 12.2525104 UBS AG – China Life European Warrants Sep 2013 E 200,000,000 2013/04/15 2013/09/30 34.0025101 UBS AG – China Life European Warrants Oct 2013 B 200,000,000 2013/04/15 2013/10/15 50.0025105 UBS AG – HSBC European Warrants Sep 2013 D 100,000,000 2013/04/15 2013/09/10 31.0025100 UBS AG – HSI European Warrants Sep 2013 F 300,000,000 2013/04/15 2013/09/27 45.0025091 UBS AG – HSI European Put Warrants Sep 2013 E 300,000,000 2013/04/15 2013/09/27 63.0025170 Credit Suisse AG – Angang Steel European Warrants Oct 2013 A 60,000,000 2013/04/16 2013/10/18 16.8025164 Credit Suisse AG – Ch LongYuan European Warrants Sep 2013 A 60,000,000 2013/04/16 2013/09/30 21.0025166 Credit Suisse AG – Minsheng Bank European Wts Oct 2013 A 60,000,000 2013/04/16 2013/10/18 51.6025167 Credit Suisse AG – ChiUnicom European Warrants Oct 2013 A 60,000,000 2013/04/16 2013/10/18 33.0025163 Credit Suisse AG – HSI European Put Warrants Dec 2013 A 150,000,000 2013/04/16 2013/12/30 22.5025172 Credit Suisse AG – Ping An European Warrants Oct 2013 A 80,000,000 2013/04/16 2013/10/18 21.6025150 Goldman Sachs SP (Asia) – China Life Euro Wts Oct 2013 B 120,000,000 2013/04/16 2013/10/30 19.0825149 Goldman Sachs SP (Asia) – CNOOC European Warrants Oct 2013 A 80,000,000 2013/04/16 2013/10/30 36.2425145 Goldman Sachs SP (Asia) – Evergrande European Wts Nov 2013 A 80,000,000 2013/04/16 2013/11/28 20.4025151 Goldman Sachs SP (Asia) – A50 China European Wts Oct 2013 A 80,000,000 2013/04/16 2013/10/30 42.4825146 Goldman Sachs SP (Asia) – Ping An European Wts Nov 2013 B 80,000,000 2013/04/16 2013/11/28 35.5225148 Goldman Sachs SP (Asia) – Weichai Power Euro Wts Feb 2014 A 80,000,000 2013/04/16 2014/02/27 24.9625131 HK Bank – China Life European Warrants Sep 2013 C 120,000,000 2013/04/16 2013/09/30 19.2025136 HK Bank – HSI European Warrants Sep 2013 G 200,000,000 2013/04/16 2013/09/27 30.0025132 HK Bank – Ping An European Warrants Oct 2013 C 80,000,000 2013/04/16 2013/10/16 21.60

Main Board Warrants



25134 HK Bank – SHK Ppt European Warrants Dec 2013 A 60,000,000 2013/04/16 2013/12/31 18.0025143 J P Morgan SP BV – Angang Steel European Warrants Oct 2013 A 40,000,000 2013/04/16 2013/10/15 10.0025126 J P Morgan SP BV – HSI European Warrants Oct 2013 C 300,000,000 2013/04/16 2013/10/30 75.0025160 Macquarie Bank Ltd. – Cheung Kong European Wts Nov 2013 A 150,000,000 2013/04/16 2013/11/04 37.5025161 Macquarie Bank Ltd. – China Life European Wts Nov 2013 B 75,000,000 2013/04/16 2013/11/04 11.2525156 Macquarie Bank Ltd. – SHK Ppt European Warrants Nov 2013 A 150,000,000 2013/04/16 2013/11/04 37.5025162 Macquarie Bank Ltd. – Yanzhou Coal European Wts Apr 2014 A 150,000,000 2013/04/16 2014/04/02 22.5025137 Standard Chartered Bank – Galaxy Ent European Wts Oct 2013 A 100,000,000 2013/04/16 2013/10/21 15.0025152 SGA Societe Generale Acceptance N.V – Anhui Conch Eu Wt Dec13A 100,000,000 2013/04/16 2013/12/04 25.0025139 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Oct13A 100,000,000 2013/04/16 2013/10/28 20.5025138 SGA Societe Generale Acceptance N.V. – CRail Eu Wt Dec2013 A 50,000,000 2013/04/16 2013/12/09 12.5025177 UBS AG – A50 China European Warrants Oct 2013 A 100,000,000 2013/04/16 2013/10/15 45.0025178 UBS AG – Lumena Newmat European Warrants Jan 2014 A 100,000,000 2013/04/16 2014/01/20 25.0025186 BOCI Asia Ltd. – BOCL European Warrants Dec 2013 A 100,000,000 2013/04/17 2013/12/16 22.0025187 BOCI Asia Ltd. – HSI European Warrants Sep 2013 B 100,000,000 2013/04/17 2013/09/27 17.0025188 BOCI Asia Ltd. – HSI European Put Warrants Oct 2013 B 100,000,000 2013/04/17 2013/10/30 20.0025195 Credit Suisse AG – CNOOC European Warrants Feb 2014 A 70,000,000 2013/04/17 2014/02/10 10.5025197 Credit Suisse AG – Hutchison European Warrants Jul 2013 B 80,000,000 2013/04/17 2013/07/22 12.0025198 Credit Suisse AG – Lumena Newmat European Wts Dec 2013 A 60,000,000 2013/04/17 2013/12/23 15.0025215 Goldman Sachs SP (Asia) – BankComm European Wts Feb 2014 A 80,000,000 2013/04/17 2014/02/27 20.0825217 Goldman Sachs SP (Asia) – Esprit European Wts Sep 2014 A 80,000,000 2013/04/17 2014/09/29 20.0025223 Goldman Sachs SP (Asia) – A50 China Euro Put Wts Oct 2013 B 80,000,000 2013/04/17 2013/10/30 26.9625218 Goldman Sachs SP (Asia) – Yurun Food European Wts Feb 2014 A 80,000,000 2013/04/17 2014/02/27 30.8825189 HK Bank – Agricultural Bank European Warrants Nov 2013 A 80,000,000 2013/04/17 2013/11/18 13.6025184 HK Bank – HSCEI European Put Warrants Dec 2013 C 180,000,000 2013/04/17 2013/12/30 37.8025185 HK Bank – HWL European Warrants Sep 2013 A 100,000,000 2013/04/17 2013/09/24 15.0025181 J P Morgan SP BV – Evergrande European Warrants Oct 2013 A 150,000,000 2013/04/17 2013/10/16 37.5025190 J P Morgan SP BV – GCL-Poly European Warrants Nov 2013 A 200,000,000 2013/04/17 2013/11/04 50.0025180 J P Morgan SP BV – Sands China European Warrants Nov 2013 A 200,000,000 2013/04/17 2013/11/04 50.0025191 Macquarie Bank Ltd. – China Railway European Wts Oct 2013 B 80,000,000 2013/04/17 2013/10/03 12.0025182 Macquarie Bank Ltd. – China Shenhua European Wts Feb 2014 A 150,000,000 2013/04/17 2014/02/17 22.5025183 Macquarie Bank Ltd. – Geely Auto European Wts Nov 2013 A 80,000,000 2013/04/17 2013/11/04 20.0025194 Macquarie Bank Ltd. – Yurun Food European Wts Oct 2013 A 80,000,000 2013/04/17 2013/10/17 22.6425203 UBS AG – China Life European Put Warrants Nov 2013 B 100,000,000 2013/04/17 2013/11/19 25.0025199 UBS AG – A50 China European Put Warrants Oct 2013 B 50,000,000 2013/04/17 2013/10/16 21.5025209 UBS AG – HSI European Warrants Oct 2013 B 300,000,000 2013/04/17 2013/10/30 45.0025200 UBS AG – Hutchison European Warrants Sep 2013 B 200,000,000 2013/04/17 2013/09/24 33.0025202 UBS AG – Hutchison European Warrants Oct 2013 B 200,000,000 2013/04/17 2013/10/16 86.0025230 BOCI Asia Ltd. – CNBM European Warrants Jan 2014 A 100,000,000 2013/04/18 2014/01/27 15.0025231 BOCI Asia Ltd. – China Shenhua European Warrants Nov 2013 B 100,000,000 2013/04/18 2013/11/25 15.0025245 BNP Paribas Arbit Issu B.V. – Minsheng Bk Euro Wt Jun 2015 A 100,000,000 2013/04/18 2015/06/02 17.0025244 BNP Paribas Arbit Issu B.V. – Sinopec Corp Eu Wts Nov 2013 A 100,000,000 2013/04/18 2013/11/04 27.0025243 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Sep 2013 A 100,000,000 2013/04/18 2013/09/02 19.0025246 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Dec 2013 A 100,000,000 2013/04/18 2013/12/03 16.00

Main Board Warrants



25224 Goldman Sachs Sp (Asia) – ICBC European Warrants Nov 2013 A 60,000,000 2013/04/18 2013/11/28 10.0825225 Goldman Sachs SP (Asia) – Mongol Mining Euro Wt Mar 2014 A 50,000,000 2013/04/18 2014/03/31 12.8025228 HK Bank – ICBC European Warrants Oct 2013 A 80,000,000 2013/04/18 2013/10/03 12.8025242 J P Morgan SP BV – Sh Electric European Warrants Dec 2013 A 50,000,000 2013/04/18 2013/12/02 12.5025240 J P Morgan SP BV – Wharf European Warrants Dec 2013 A 100,000,000 2013/04/18 2013/12/02 25.0025236 Macquarie Bank Ltd. – CPIC European Warrants Jan 2014 A 60,000,000 2013/04/18 2014/01/03 10.2025226 Macquarie Bank Ltd. – HK Gas European Warrants Dec 2014 A 150,000,000 2013/04/18 2014/12/02 37.5025239 Macquarie Bank Ltd. – HSCEI European Warrants Dec 2013 B 70,000,000 2013/04/18 2013/12/30 10.5025232 Macquarie Bank Ltd. – HSCEI European Put Warrants Dec 2013 A 70,000,000 2013/04/18 2013/12/30 11.8325233 Macquarie Bank Ltd. – Hutchison European Warrants Aug 2013 A 60,000,000 2013/04/18 2013/08/30 15.0025247 UBS AG – HKEx European Warrants Dec 2014 B 300,000,000 2013/04/18 2014/12/24 45.0025254 Macquarie Bank Ltd. – BankComm European Warrants Oct 2013 A 80,000,000 2013/04/19 2013/10/09 12.0025248 Macquarie Bank Ltd. – China Coal European Wts Nov 2013 A 80,000,000 2013/04/19 2013/11/04 20.0025263 Macquarie Bank Ltd. – A50 China European Put Wts Jul 2014 A 200,000,000 2013/04/19 2014/07/03 30.0025251 Macquarie Bank Ltd. – Sh Electric European Wts Dec 2013 A 80,000,000 2013/04/19 2013/12/03 20.0025264 Standard Chartered Bank – China COSCO European Wt Nov 2013 B 60,000,000 2013/04/19 2013/11/04 21.0025265 Standard Chartered Bank – Lenovo European Wts Jul 2014 A 100,000,000 2013/04/19 2014/07/02 25.0025259 SGA Societe Generale Acceptance N.V. – Lenovo Eu Wt Oct 13 A 50,000,000 2013/04/19 2013/10/21 25.0025277 BOCI Asia Ltd. – Lenovo European Warrants Nov 2013 A 100,000,000 2013/04/22 2013/11/04 25.0025299 Credit Suisse AG – Sinopec Corp European Warrants Sep 2013 A 50,000,000 2013/04/22 2013/09/13 16.5025303 Credit Suisse AG – HKEx European Put Warrants Oct 2013 A 70,000,000 2013/04/22 2013/10/25 22.4025302 Credit Suisse AG – Lenovo European Warrants Oct 2013 A 50,000,000 2013/04/22 2013/10/25 17.5025301 Credit Suisse AG – Yanzhou Coal European Warrants Oct 2013 A 50,000,000 2013/04/22 2013/10/08 17.5025311 Citigroup Global Mkt H Inc. – CC Bank European Wt Sep 2013 A 100,000,000 2013/04/22 2013/09/23 20.0025317 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Sep 2013 A 100,000,000 2013/04/22 2013/09/23 16.0025319 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Oct 2013 B 100,000,000 2013/04/22 2013/10/02 30.0025325 Citigroup Global Mkt H Inc. – HKEx European Wts Sep 2013 B 100,000,000 2013/04/22 2013/09/24 25.0025332 Citigroup Global Mkt H Inc. – HKEx Euro Put Wts Jul 2013 A 70,000,000 2013/04/22 2013/07/22 44.1025313 Citigroup Global Mkt H Inc. – Hutchison Euro Wts Sep 2013 B 100,000,000 2013/04/22 2013/09/16 35.0025304 Citigroup Global Mkt H Inc. – Hutchison Eu Put Wt Sep 2013 A 70,000,000 2013/04/22 2013/09/25 40.6025268 HK Bank – Evergrande European Warrants Oct 2013 A 60,000,000 2013/04/22 2013/10/28 15.0025271 HK Bank – Lenovo European Warrants Oct 2013 A 60,000,000 2013/04/22 2013/10/22 31.8025267 HK Bank – Lenovo European Warrants Dec 2013 A 60,000,000 2013/04/22 2013/12/09 21.6025286 J P Morgan SP BV – China Mob European Wts Nov 2013 A 200,000,000 2013/04/22 2013/11/01 50.0025274 J P Morgan SP BV – Evergrande European Warrants Nov 2013 A 100,000,000 2013/04/22 2013/11/04 25.0025285 J P Morgan SP BV – Zijin Mining European Warrants Nov 2013 A 88,000,000 2013/04/22 2013/11/01 22.0025279 Standard Chartered Bank – HKEx European Warrants Sep 2013 B 100,000,000 2013/04/22 2013/09/09 25.0025288 Standard Chartered Bank – SPDR Gold Trust Euro Wt Apr 2014 A 50,000,000 2013/04/22 2014/04/25 25.0025273 SGA Societe Generale Acceptance N.V. – ChiUnicom Eu Wt Oct13 B 30,000,000 2013/04/22 2013/10/23 13.3525290 UBS AG – China Mobile European Warrants Sep 2013 A 100,000,000 2013/04/22 2013/09/23 15.0025289 UBS AG – HKEx European Warrants Sep 2013 D 100,000,000 2013/04/22 2013/09/23 31.0025293 UBS AG – SPDR Gold Trust European Warrants Oct 2013 A 100,000,000 2013/04/22 2013/10/21 38.0025292 UBS AG – Yanzhou Coal European Wts Oct 2013 A 30,000,000 2013/04/22 2013/10/21 11.4025278 UBS AG – Zhaojin Mining European Warrants Aug 2014 A 100,000,000 2013/04/22 2014/08/11 25.00

Main Board Warrants



25294 UBS AG – Zijin Mining European Warrants Sep 2013 A 60,000,000 2013/04/22 2013/09/19 13.5018212# Merrill Lynch Int'l & Co. C.V. – HKEx Euro Wts Jul 2013 A 300,000,000 2013/04/22 2013/07/25 10.2025396 BOCI Asia Ltd. – Anhui Conch European Warrants Nov 2013 A 100,000,000 2013/04/23 2013/11/25 25.0025394 BOCI Asia Ltd. – Agricultural Bk European Warrants Nov2013 A 100,000,000 2013/04/23 2013/11/25 15.0025393 BOCI Asia Ltd. – Sinopec Corp European Warrants Oct 2013 A 100,000,000 2013/04/23 2013/10/02 19.0025392 BOCI Asia Ltd. – SHK Ppt European Warrants Sep 2013 A 100,000,000 2013/04/23 2013/09/23 21.0010183 BNP Paribas Arbit Issu B.V. – Gold European Wts Dec 2013 B 100,000,000 2013/04/23 2013/12/06 25.0010182 BNP Paribas Arbit Issu B.V. – Gold European Put Wts Dec13 A 100,000,000 2013/04/23 2013/12/06 25.0025481 Credit Suisse – SPDR Gold Trust European Warrants Oct 2013 B 50,000,000 2013/04/23 2013/10/25 12.5025480 Credit Suisse AG – SPDR Gold Trust Euro Put Wts Oct 2013 A 50,000,000 2013/04/23 2013/10/25 12.5025484 Credit Suisse AG – Zhaojin Mining European Wts Oct 2013 A 50,000,000 2013/04/23 2013/10/25 32.0025482 Credit Suisse AG – Zijin Mining European Warrants Oct 2013 A 50,000,000 2013/04/23 2013/10/25 12.5025488 Daiwa Capital Mkt – CCB European Warrants Dec 2013 A 128,000,000 2013/04/23 2013/12/02 20.4825489 Daiwa Capital Mkt – CCB European Put Warrants Oct 2013 A 80,000,000 2013/04/23 2013/10/23 21.6025397 Goldman Sachs SP (Asia) – Agri Bk European Wts Nov 2013 A 80,000,000 2013/04/23 2013/11/18 12.0825404 Goldman Sachs SP (Asia) – Angang Steel Euro Wts Dec 2013 A 50,000,000 2013/04/23 2013/12/30 22.3025398 Goldman Sachs SP (Asia) – China Shenhua Euro Wts Sep 2013 B 80,000,000 2013/04/23 2013/09/27 12.1625416 Goldman Sachs SP (Asia) – Lenovo European Wts Oct 2013 A 80,000,000 2013/04/23 2013/10/30 36.8025415 Goldman Sachs SP (Asia) – Yanzhou Coal Euro Wts Dec 2013 B 80,000,000 2013/04/23 2013/12/30 50.4825367 J P Morgan SP BV – CHALCO European Warrants Nov 2013 A 48,000,000 2013/04/23 2013/11/01 12.1025365 J P Morgan SP BV – CPIC European Warrants Nov 2013 A 180,000,000 2013/04/23 2013/11/01 45.0025341 J P Morgan SP BV – HSI European Warrants Apr 2014 A 500,000,000 2013/04/23 2014/04/29 125.0025350 J P Morgan SP BV – HSI European Put Warrants Oct 2013 D 500,000,000 2013/04/23 2013/10/30 125.0025362 J P Morgan SP BV – Haitong Sec European Warrants Sep 2014 A 150,000,000 2013/04/23 2014/09/01 37.5025337 J P Morgan SP BV – PICC European Warrants Dec 2013 A 150,000,000 2013/04/23 2013/12/20 22.5025426 J P Morgan SP BV – SPDR Gold Trust European Wts Nov 2013 A 100,000,000 2013/04/23 2013/11/20 25.0025420 J P Morgan SP BV – SPDR Gold Trust Euro Put Wts Dec 2013 A 100,000,000 2013/04/23 2013/12/18 25.0025389 J P Morgan SP BV – Wharf European Warrants Nov 2013 A 100,000,000 2013/04/23 2013/11/01 25.0025335 Macquarie Bank Ltd. – CNOOC European Warrants Nov 2014 A 150,000,000 2013/04/23 2014/11/17 22.5025405 Macquarie Bank Ltd. – Zhaojin Mining Euro Wts Dec 2014 A 150,000,000 2013/04/23 2014/12/02 37.5025406 Macquarie Bank Ltd. – Zijin Mining European Wts Jul 2014 A 75,000,000 2013/04/23 2014/07/03 18.7525413 Standard Chartered Bank – CTel European Warrants Nov 2013 A 60,000,000 2013/04/23 2013/11/05 15.0025409 Standard Chartered Bank – Lenovo European Wts Dec 2013 A 60,000,000 2013/04/23 2013/12/02 24.0025414 Standard Chartered Bank – SPDR Gold Trust Euro Wt Oct 2013 A 50,000,000 2013/04/23 2013/10/28 50.0025408 Standard Chartered Bank – YZ Coal European Wts Sep 2014 A 100,000,000 2013/04/23 2014/09/02 25.0025407 Standard Chartered Bank – Zhaojin Mining Euro Wts Mar 2014 A 100,000,000 2013/04/23 2014/03/31 25.0025451 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Oct2013 B 100,000,000 2013/04/23 2013/10/30 17.0025477 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Aug13B 80,000,000 2013/04/23 2013/08/26 32.4025464 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Oct13A 80,000,000 2013/04/23 2013/10/23 54.4025439 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Oct 13 B 100,000,000 2013/04/23 2013/10/09 23.5010181 SGA Societe Generale Acceptance N.V. – USD/YEN Eu Wt Nov13 A 50,000,000 2013/04/23 2013/11/27 12.5025454 SGA Societe Generale Acceptance NV – Zijin Mining Eu Wt Sep13A 50,000,000 2013/04/23 2013/09/23 10.0025333 UBS AG – CC Bank European Warrants Sep 2013 C 100,000,000 2013/04/23 2013/09/19 33.5025564 BOCI Asia Ltd. – Cheung Kong European Warrants Sep 2013 A 100,000,000 2013/04/24 2013/09/30 28.00

Main Board Warrants



25563 BOCI Asia Ltd. – Chi Res Land European Warrants Dec 2013 A 100,000,000 2013/04/24 2013/12/10 25.0025568 BOCI Asia Ltd. – A50 China European Warrants Sep 2013 B 100,000,000 2013/04/24 2013/09/23 20.0025560 Credit Suisse AG – CNOOC European Warrants Sep 2013 A 70,000,000 2013/04/24 2013/09/27 17.5025593 Credit Suisse AG – Greatwall Motor European Wts Aug 2013 A 70,000,000 2013/04/24 2013/08/30 10.5025579 Credit Suisse AG – HSCEI European Warrants Dec 2013 A 70,000,000 2013/04/24 2013/12/30 10.5025585 Credit Suisse AG – PetroChina European Warrants Nov 2013 A 70,000,000 2013/04/24 2013/11/29 10.5025607 Credit Suisse AG – Poly HK Inv European Warrants Sep 2013 A 70,000,000 2013/04/24 2013/09/06 14.0025597 Credit Suisse AG – Yurun Food European Warrants Oct 2013 A 70,000,000 2013/04/24 2013/10/11 17.5025605 Credit Suisse AG – ZTE European Warrants Sep 2013 A 70,000,000 2013/04/24 2013/09/27 10.5025610 Citigroup Global Mkt H Inc. – Cheung Kong Euro Wt Sep 2013 A 100,000,000 2013/04/24 2013/09/02 20.0025612 Citigroup Global Mkt H Inc. – ICBC European Wts Oct 2013 A 100,000,000 2013/04/24 2013/10/08 20.0025531 Goldman Sachs SP (Asia) – China Coal European Wts Dec 2013 B 60,000,000 2013/04/24 2013/12/30 20.8225528 Goldman Sachs SP (Asia) – Minsheng Bank Euro Wts Oct 2013 B 60,000,000 2013/04/24 2013/10/11 35.2225559 Goldman Sachs SP (Asia) – CRCC European Warrants Dec 2013 A 60,000,000 2013/04/24 2013/12/30 30.3625502 Goldman Sachs SP (Asia) – HSI European Put Wts Dec 2013 B 150,000,000 2013/04/24 2013/12/30 22.9525516 HK Bank – China Tel European Warrants Nov 2013 A 80,000,000 2013/04/24 2013/11/04 20.0025514 HK Bank – A50 China European Warrants Aug 2013 A 80,000,000 2013/04/24 2013/08/26 12.0025512 HK Bank – Ping An European Warrants Nov 2013 A 80,000,000 2013/04/24 2013/11/04 20.0025510 Merrill Lynch Int'l & Co. C.V. – CNOOC Euro Wts Nov 2014 A 80,000,000 2013/04/24 2014/11/17 12.0025511 Merrill Lynch Int'l & Co. C.V. – PetroChina Eu Wt Dec 2013 A 80,000,000 2013/04/24 2013/12/23 35.6025571 Standard Chartered Bank – Jiangxi Copper Euro Wts Nov 2013 A 100,000,000 2013/04/24 2013/11/04 25.0025573 Standard Chartered Bank – Li & Fung European Wts Dec 2014 A 100,000,000 2013/04/24 2014/12/24 15.0025569 Standard Chartered Bank – Zijin Mining Euro Wts Nov 2013 B 50,000,000 2013/04/24 2013/11/29 17.5025608 UBS AG – CNOOC European Warrants Oct 2013 A 100,000,000 2013/04/24 2013/10/28 18.5025578 UBS AG – China Tel European Warrants Oct 2013 A 100,000,000 2013/04/24 2013/10/23 25.0025609 UBS AG – Tencent Holdings European Warrants Oct 2013 B 200,000,000 2013/04/24 2013/10/02 35.0025658 BOCI Asia Ltd. – CC Bank European Put Warrants Nov 2013 A 100,000,000 2013/04/25 2013/11/11 25.0025657 BOCI Asia Ltd. – China Life European Put Warrants Dec 2013 A 100,000,000 2013/04/25 2013/12/16 25.0025660 BOCI Asia Ltd. – ICBC European Warrants Dec 2013 A 100,000,000 2013/04/25 2013/12/03 15.0025661 Daiwa Capital Mkt – Hutchison European Warrants Oct 2013 B 128,000,000 2013/04/25 2013/10/15 56.3225665 Daiwa Capital Mkt – Hutchison European Put Wts Oct 2013 C 80,000,000 2013/04/25 2013/10/25 22.4025646 Goldman Sachs SP (Asia) – CC Bank European Wts Jul 2013 C 80,000,000 2013/04/25 2013/07/29 12.7225647 Goldman Sachs SP (Asia) – China Mobile Euro Wts Oct 2013 A 80,000,000 2013/04/25 2013/10/02 17.4425641 Goldman Sachs SP (Asia) – Sinopec Corp European Wts Oct 2013 B 80,000,000 2013/04/25 2013/10/30 30.6425644 Goldman Sachs SP (Asia) – HKEx European Warrants Oct 2013 B 80,000,000 2013/04/25 2013/10/30 44.7225631 Goldman Sachs SP (Asia) – HSBC European Warrants Nov 2013 A 80,000,000 2013/04/25 2013/11/28 29.2825630 J P Morgan SP BV – Minsheng Bank European Wts Dec 2014 B 200,000,000 2013/04/25 2014/12/29 30.0025668 Macquarie Bank Ltd. – HSBC European Warrants Oct 2013 A 150,000,000 2013/04/25 2013/10/03 22.5025667 Macquarie Bank Ltd. – Hang Seng Bank European Wts Sep 2013 A 150,000,000 2013/04/25 2013/09/03 22.5025656 Standard Chartered Bank – R&F Ppt European Wts Nov 2013 A 100,000,000 2013/04/25 2013/11/04 25.0025648 Standard Chartered Bank – HS H-SHARE European Wts Nov 2013 A 100,000,000 2013/04/25 2013/11/04 33.0025649 Standard Chartered Bank – HS H-SHARE European Wts Nov 2014 A 150,000,000 2013/04/25 2014/11/04 37.5025613 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Sep13 B 150,000,000 2013/04/25 2013/09/30 39.0025614 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Sep13 C 150,000,000 2013/04/25 2013/09/25 22.50

Main Board Warrants



25697 UBS AG – HKEx European Warrants Oct 2013 A 100,000,000 2013/04/25 2013/10/24 68.0025687 UBS AG – KECL European Warrants Oct 2013 A 100,000,000 2013/04/25 2013/10/28 15.0025877 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Oct 2013 B 100,000,000 2013/04/26 2013/10/03 19.0025880 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Aug 2014 A 100,000,000 2013/04/26 2014/08/04 19.0025876 BNP Paribas Arbit Issu B.V. – HKEx European Wts Oct 2013 A 57,000,000 2013/04/26 2013/10/03 14.2525878 BNP Paribas Arbit Issu B.V. – Hutchison Euro Wts Oct 2013 B 100,000,000 2013/04/26 2013/10/03 17.0025879 BNP Paribas Arbit Issu B.V. – Zijin Mining Eu Wts Sep 2014 A 79,000,000 2013/04/26 2014/09/02 25.2825836 Credit Suisse AG – CSOP A50 ETF European Warrants Aug 2013 B 80,000,000 2013/04/26 2013/08/19 16.0025828 Credit Suisse AG – HSBC European Wts Sep 2013 B 80,000,000 2013/04/26 2013/09/09 21.6025829 Credit Suisse AG – HSBC European Put Warrants Jul 2013 D 80,000,000 2013/04/26 2013/07/29 15.2025834 Credit Suisse AG – HSI European Put Warrants Oct 2013 D 150,000,000 2013/04/26 2013/10/30 25.5025835 Credit Suisse AG – HSI European Put Warrants Oct 2013 E 150,000,000 2013/04/26 2013/10/30 24.0025882 Citigroup Global Mkt H Inc. – Ch Overseas Eu Put Wt Sep 13 B 100,000,000 2013/04/26 2013/09/23 25.0025887 Citigroup Global Mkt H Inc. – HSBC European Wts Dec 2013 A 100,000,000 2013/04/26 2013/12/23 30.0025886 Citigroup Global Mkt H Inc. – PetroChina Euro Wts Dec 2013 C 100,000,000 2013/04/26 2013/12/23 40.0025881 Citigroup Global Mkt H Inc. – Sands China Euro Wt Jul 2013 C 100,000,000 2013/04/26 2013/07/29 16.0025883 Citigroup Global Mkt H Inc. – Sands China Eu Put Wt Dec 13 A 70,000,000 2013/04/26 2013/12/23 28.0025837 Daiwa Capital Mkt – BOCL European Warrants Oct 2013 A 158,000,000 2013/04/26 2013/10/02 23.7025868 Daiwa Capital Mkt – CSOP A50 ETF European Wts Sep 2013 B 108,000,000 2013/04/26 2013/09/02 22.6825867 Daiwa Capital Mkt – CSOP A50 ETF European Wts Dec 2013 A 128,000,000 2013/04/26 2013/12/23 19.2025838 Daiwa Capital Mkt – ICBC European Warrants Nov 2013 A 128,000,000 2013/04/26 2013/11/26 19.2025779 Goldman Sachs SP (Asia) – CAM CSI300 European Wts Dec 2013 C 80,000,000 2013/04/26 2013/12/30 20.0025787 Goldman Sachs SP (Asia) – SPDR Gold Trust Euro Wt Dec 2013 A 80,000,000 2013/04/26 2013/12/30 26.3225759 HK Bank – China Mobile European Warrants Nov 2013 A 100,000,000 2013/04/26 2013/11/04 25.0025755 HK Bank – HSI European Warrants Oct 2013 B 150,000,000 2013/04/26 2013/10/30 37.5025758 HK Bank – HSI European Put Warrants Dec 2013 B 250,000,000 2013/04/26 2013/12/30 37.5025732 J P Morgan SP BV – Agricultural Bk Euro Warrants Dec 2013 A 100,000,000 2013/04/26 2013/12/02 25.0025703 J P Morgan SP BV – BOCL European Warrants Nov 2013 B 200,000,000 2013/04/26 2013/11/04 50.0025704 J P Morgan SP BV – CSOP A50 ETF European Warrants Nov 2013 A 150,000,000 2013/04/26 2013/11/04 51.0025729 J P Morgan SP BV – Luk Fook Hold European Wts Dec 2013 A 60,000,000 2013/04/26 2013/12/02 15.0025788 Standard Chartered Bank – CNOOC European Warrants Sep 2013 A 60,000,000 2013/04/26 2013/09/25 11.1025789 Standard Chartered Bank – China Shenhua Euro Wts Nov 2013 A 100,000,000 2013/04/26 2013/11/05 25.0025799 Standard Chartered Bank – HSI European Put Wts Jul 2013 C 100,000,000 2013/04/26 2013/07/30 15.6025795 Standard Chartered Bank – ICBC European Warrants Nov 2013 A 100,000,000 2013/04/26 2013/11/05 25.0010184 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Dec 13 A 100,000,000 2013/04/26 2013/12/13 25.0010185 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Dec 13 B 100,000,000 2013/04/26 2013/12/13 25.0010186 SGA Societe Generale Acceptance NV – N225 Eu Put Wt Dec 2013 C 100,000,000 2013/04/26 2013/12/13 25.0025814 UBS AG – Geely Auto European Warrants Oct 2013 A 50,000,000 2013/04/26 2013/10/25 14.0025875 UBS AG – Jiangxi Copper European Warrants Oct 2014 A 60,000,000 2013/04/26 2014/10/27 15.0025889 BOCI Asia Ltd. – Galaxy Ent European Warrants Nov 2013 A 100,000,000 2013/04/29 2013/11/04 17.0025891 BOCI Asia Ltd. – HKEx European Warrants Oct 2013 C 100,000,000 2013/04/29 2013/10/02 24.0025888 BOCI Asia Ltd. – ICBC European Put Warrants Nov 2013 A 100,000,000 2013/04/29 2013/11/04 25.0025948 BNP Paribas Arbit Issu B.V. – CHALCO European Wts Feb 2014 A 31,000,000 2013/04/29 2014/02/05 10.2325945 BNP Paribas Arbit Issu B.V. – China Res Gas Eu Wt Dec 2013 A 60,000,000 2013/04/29 2013/12/05 15.00

Main Board Warrants



25951 BNP Paribas Arbit Issu B.V. – Greatwall Motor Eu Wt Dec 13 A 100,000,000 2013/04/29 2013/12/03 29.0025946 BNP Paribas Arbit Issu B.V. – Shanghai Electric Eu Wt Feb14A 32,000,000 2013/04/29 2014/02/05 10.5625949 BNP Paribas Arbit Issu B.V. – Weichai Power Eu Wt Dec 2013 A 64,000,000 2013/04/29 2013/12/03 18.5625942 Macquarie Bank Ltd. – Ping An European Warrants Oct 2013 B 70,000,000 2013/04/29 2013/10/03 10.5025904 UBS AG – HSCEI European Warrants Oct 2013 A 100,000,000 2013/04/29 2013/10/30 15.0026065 BOCI Asia Ltd. – Minsheng Bank European Warrants Sep 2013 A 100,000,000 2013/04/30 2013/09/09 18.0026064 BOCI Asia Ltd. – China Unicom European Warrants Nov 2013 A 100,000,000 2013/04/30 2013/11/11 15.0026050 BOCI Asia Ltd. – Hutchison European Warrants Oct 2013 A 100,000,000 2013/04/30 2013/10/18 19.0026070 Credit Suisse AG – Sinopharm European Warrants Sep 2013 B 70,000,000 2013/04/30 2013/09/30 10.5026071 Credit Suisse AG – SJM Holdings European Warrants Sep 2013 B 70,000,000 2013/04/30 2013/09/30 10.5025959 Goldman Sachs SP (Asia) – CITIC Bank European Wts Mar 2014 A 80,000,000 2013/04/30 2014/03/28 20.1625966 Goldman Sachs SP (Asia) – CNOOC European Warrants Nov 2014 A 100,000,000 2013/04/30 2014/11/17 15.3025955 HK Bank – Anhui Conch European Warrants Nov 2013 A 60,000,000 2013/04/30 2013/11/04 15.0025958 HK Bank – China Unicom European Warrants Oct 2013 A 100,000,000 2013/04/30 2013/10/29 15.0026014 J P Morgan SP BV – Galaxy Ent European Warrants Nov 2013 A 200,000,000 2013/04/30 2013/11/04 50.0025979 J P Morgan SP BV – Yanzhou Coal European Warrants Nov 2013 B 50,000,000 2013/04/30 2013/11/15 12.5026067 Macquarie Bank Ltd. – BYD European Warrants Nov 2013 A 150,000,000 2013/04/30 2013/11/04 37.5026074 Macquarie Bank Ltd. – Galaxy Ent European Wts Nov 2013 A 50,000,000 2013/04/30 2013/11/04 12.5026066 Macquarie Bank Ltd. – Greatwall Motor European Wts Nov 2013 A 150,000,000 2013/04/30 2013/11/04 37.5026046 Standard Chartered Bank – NCI European Warrants Dec 2013 A 60,000,000 2013/04/30 2013/12/31 15.0026048 UBS AG – Anhui Conch European Warrants Oct 2013 A 100,000,000 2013/04/30 2013/10/29 30.0026077 UBS AG – Ping An European Warrants Oct 2013 B 100,000,000 2013/04/30 2013/10/21 45.0026216 Credit Suisse AG – Hutchison European Put Wts Aug 2013 B 70,000,000 2013/05/02 2013/08/30 10.5026221 Credit Suisse AG – ZTE European Warrants Nov 2013 A 60,000,000 2013/05/02 2013/11/05 10.8026226 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Dec 2013 A 80,000,000 2013/05/02 2013/12/30 41.8426178 J P Morgan SP BV – CITIC Bank European Warrants Nov 2013 A 100,000,000 2013/05/02 2013/11/04 25.0026233 J P Morgan SP BV – CNOOC European Warrants Nov 2014 A 300,000,000 2013/05/02 2014/11/17 45.0026185 J P Morgan SP BV – Link Reit European Warrants Dec 2013 A 80,000,000 2013/05/02 2013/12/02 20.0026158 J P Morgan SP BV – PetroChina European Warrants Nov 2013 A 100,000,000 2013/05/02 2013/11/01 25.0026228 J P Morgan SP BV – Sands China European Put Wts Nov 2013 B 200,000,000 2013/05/02 2013/11/04 50.0026157 J P Morgan SP BV – Weichai Power European Wts Dec 2013 A 80,000,000 2013/05/02 2013/12/02 20.0026156 Macquarie Bank Ltd. – A50 China European Warrants Aug 2013 A 50,000,000 2013/05/02 2013/08/02 10.0026152 Macquarie Bank Ltd. – Shui On Land European Wts Mar 2014 A 60,000,000 2013/05/02 2014/03/04 15.0026097 Merrill Lynch Int'l & Co. C.V. – CAM CSI300 Eu Wt Oct 2013 A 60,000,000 2013/05/02 2013/10/15 11.1026147 Merrill Lynch Int'l & Co. C.V. – CAM CSI300 Eu Wt Dec 2013 A 40,000,000 2013/05/02 2013/12/09 10.0026150 Merrill Lynch Int'l & Co. C.V. – China Life Eu Wt Oct 2013 C 70,000,000 2013/05/02 2013/10/25 10.6426148 Merrill Lynch Int'l & Co. C.V. – Ch Life Eur Put Wt Feb 14 A 60,000,000 2013/05/02 2014/02/20 12.3026087 Merrill Lynch Int'l & Co. C.V. – HSCEI Euro Put Wt Dec 13 D 100,000,000 2013/05/02 2013/12/30 21.3026132 Merrill Lynch Int'l & Co. C.V. – Hutchison Eur Wt Aug 2013 A 60,000,000 2013/05/02 2013/08/30 10.5626130 Merrill Lynch Int'l & Co. C.V. – Hutchison Eur Wt Oct 2013 C 60,000,000 2013/05/02 2013/10/04 10.5626151 Merrill Lynch Int'l & Co. C.V. – Hutchison Eu Put Wt Nov 13 A 40,000,000 2013/05/02 2013/11/11 15.2026093 Merrill Lynch Int'l & Co. C.V. – Wharf Euro Wts Dec 2013 A 25,000,000 2013/05/02 2013/12/30 10.3826271 Credit Suisse AG – CC Bank European Warrants Sep 2013 A 70,000,000 2013/05/03 2013/09/23 11.9026328 Credit Suisse AG – HSCEI European Warrants Oct 2013 A 70,000,000 2013/05/03 2013/10/30 10.50

Main Board Warrants



26287 Credit Suisse AG – HSI European Put Warrants Sep 2013 D 150,000,000 2013/05/03 2013/09/27 22.5026327 Credit Suisse AG – HSI European Put Warrants Nov 2013 A 150,000,000 2013/05/03 2013/11/28 22.5026270 Credit Suisse AG – ICBC European Warrants Oct 2013 A 70,000,000 2013/05/03 2013/10/03 12.6026259 Bank of East Asia – BYD European Warrants Oct 2013 A 50,000,000 2013/05/03 2013/10/28 10.5026387 Bank of East Asia – China COSCO European Warrants Feb 2014 A 50,000,000 2013/05/03 2014/02/04 12.5026334 Bank of East Asia – Ch Mobile European Warrants Jan 2014 A 50,000,000 2013/05/03 2014/01/02 13.5026366 Bank of East Asia – China Overseas Euro Warrants Feb 2014 A 60,000,000 2013/05/03 2014/02/04 15.0026393 Bank of East Asia – Galaxy Ent European Warrants Feb 2014 A 50,000,000 2013/05/03 2014/02/04 12.5026368 Bank of East Asia – Zhaojin Mining European Wts Feb 2015 A 90,000,000 2013/05/03 2015/02/02 22.5026264 Macquarie Bank Ltd. – Agricultural Bk Euro Warrants Feb 2014 A 80,000,000 2013/05/03 2014/02/05 20.0026260 Macquarie Bank Ltd. – CITIC Bank European Wts Jan 2014 A 80,000,000 2013/05/03 2014/01/03 20.0026234 Merrill Lynch Int'l & Co. C.V. – ChiUnicom Eu Wts Apr 2014 A 80,000,000 2013/05/03 2014/04/22 12.0026246 Standard Chartered Bank – Agricultural Bk Eur Wts Dec 2013 A 60,000,000 2013/05/03 2013/12/04 15.0026252 Standard Chartered Bank – HuanengPower Euro Wts Aug 2013 A 50,000,000 2013/05/03 2013/08/05 21.0026251 Standard Chartered Bank – HuanengPower Euro Wts Dec 2013 A 50,000,000 2013/05/03 2013/12/06 17.5089010 UBS AG – CSOP A50 ETF European Warrants Dec 2013 B 25,000,000 2013/05/03 2013/12/30 10.3726445 HK Bank – HSI European Put Warrants Aug 2013 D 180,000,000 2013/05/06 2013/08/29 27.0026442 HK Bank – Sands China European Warrants Oct 2013 A 80,000,000 2013/05/06 2013/10/02 12.0026514 Macquarie Bank Ltd. – CC Bank European Put Wts Dec 2013 B 100,000,000 2013/05/06 2013/12/03 25.0026447 Macquarie Bank Ltd. – Ch Comm Cons European Wts Dec 2014 A 150,000,000 2013/05/06 2014/12/02 22.5026486 Macquarie Bank Ltd. – CM Bank European Warrants Jul 2014 A 150,000,000 2013/05/06 2014/07/03 22.5026511 Macquarie Bank Ltd. – ICBC European Put Warrants Dec 2013 B 100,000,000 2013/05/06 2013/12/03 25.0026473 Macquarie Bank Ltd. – Link REIT European Warrants Mar 2014 A 150,000,000 2013/05/06 2014/03/04 22.5026494 Standard Chartered Bank – Sinopec Corp Euro Wts Nov 2013 A 80,000,000 2013/05/06 2013/11/08 20.0026552 UBS AG – Galaxy Ent European Warrants Nov 2013 A 80,000,000 2013/05/06 2013/11/05 20.0026534 UBS AG – HSI European Warrants Oct 2013 C 300,000,000 2013/05/06 2013/10/30 45.0026543 UBS AG – HSI European Put Warrants Sep 2013 G 300,000,000 2013/05/06 2013/09/27 51.0026536 UBS AG – Hutchison European Warrants Sep 2013 C 200,000,000 2013/05/06 2013/09/30 39.0026545 UBS AG – Lumena Newmat European Warrants Dec 2013 A 100,000,000 2013/05/06 2013/12/30 25.0026560 UBS AG – Sands China European Warrants Sep 2013 A 60,000,000 2013/05/06 2013/09/16 12.0026551 UBS AG – Tencent Holdings European Put Warrants Sep 2013 D 100,000,000 2013/05/06 2013/09/25 15.0026786 Credit Suisse AG – China Coal European Warrants Aug 2013 A 60,000,000 2013/05/07 2013/08/30 12.0026651 Credit Suisse AG – Jiangxi Copper European Wts Dec 2013 A 70,000,000 2013/05/07 2013/12/02 17.5026914 Goldman Sachs SP (Asia) – HSI European Put Wts Aug 2013 B 150,000,000 2013/05/07 2013/08/29 23.2526916 Goldman Sachs SP (Asia) – HSI European Put Wts Sep 2013 B 150,000,000 2013/05/07 2013/09/27 22.8026616 HK Bank – CNOOC European Warrants Feb 2014 A 120,000,000 2013/05/07 2014/02/11 18.0026583 HK Bank – CSOP A50 ETF European Warrants Dec 2013 A 80,000,000 2013/05/07 2013/12/31 30.4026692 Macquarie Bank Ltd. – Agricultural Bk Euro Put Wt Oct 2013 A 100,000,000 2013/05/07 2013/10/09 18.9026637 Macquarie Bank Ltd. – CRCC European Warrants Jan 2015 A 150,000,000 2013/05/07 2015/01/05 22.5026679 Macquarie Bank Ltd. – Stanchart European Warrants Jul 2014 A 250,000,000 2013/05/07 2014/07/03 62.5026645 Standard Chartered Bank – HSI European Warrants Sep 2013 D 100,000,000 2013/05/07 2013/09/27 15.0026755 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Nov13A 25,000,000 2013/05/07 2013/11/11 12.7526884 UBS AG – AIA European Warrants Dec 2013 A 100,000,000 2013/05/07 2013/12/24 19.0026883 UBS AG – China Coal European Warrants Nov 2013 A 40,000,000 2013/05/07 2013/11/06 12.00

Main Board Warrants



26835 UBS AG – HSCEI European Put Warrants Dec 2013 D 100,000,000 2013/05/07 2013/12/30 20.0026858 UBS AG – Wynn Macau European Warrants Nov 2013 A 50,000,000 2013/05/07 2013/11/06 12.5026948 Credit Suisse AG – AIA European Warrants Nov 2013 A 80,000,000 2013/05/08 2013/11/11 13.6026947 Credit Suisse AG – CNBM European Warrants Nov 2013 A 60,000,000 2013/05/08 2013/11/11 37.2026949 Daiwa Capital Mkt – Galaxy Ent European Warrants Nov 2013 A 98,000,000 2013/05/08 2013/11/01 27.4426928 Goldman Sachs SP (Asia) – JIANC European Warrants Jun 2014 A 80,000,000 2013/05/08 2014/06/27 20.0826917 Goldman Sachs SP (Asia) – KECL European Warrants Dec 2014 B 80,000,000 2013/05/08 2014/12/15 12.1626945 Goldman Sachs SP (Asia) – Tencent European Wt Oct 2013 B 80,000,000 2013/05/08 2013/10/31 12.0826972 UBS AG – Sinopec Corp European Warrants Nov 2013 A 100,000,000 2013/05/08 2013/11/07 26.0026979 UBS AG – HSI European Warrants Aug 2013 B 300,000,000 2013/05/08 2013/08/29 45.0026976 UBS AG – Ping An European Put Warrants Nov 2013 A 100,000,000 2013/05/08 2013/11/07 40.0026977 UBS AG – Sands China European Warrants Nov 2013 A 60,000,000 2013/05/08 2013/11/07 21.0027094 Credit Suisse AG – SUNAC European Warrants Nov 2013 A 50,000,000 2013/05/09 2013/11/11 36.0027089 Credit Suisse AG – Tencent Holdings Euro Put Wts Sep 2013 F 80,000,000 2013/05/09 2013/09/30 13.6027021 HK Bank – Minsheng Bank European Warrants Dec 2013 A 50,000,000 2013/05/09 2013/12/02 63.5027022 HK Bank – HSI European Put Warrants Sep 2013 H 150,000,000 2013/05/09 2013/09/27 22.5027023 HK Bank – HSI European Put Warrants Nov 2013 A 150,000,000 2013/05/09 2013/11/28 22.5027020 HK Bank – Tencent European Put Warrants Oct 2013 B 100,000,000 2013/05/09 2013/10/18 15.0027026 Standard Chartered Bank – AIA European Warrants Feb 2014 A 100,000,000 2013/05/09 2014/02/26 19.0027041 Standard Chartered Bank – China Mobile Eur Put Wt Nov 2013 B 80,000,000 2013/05/09 2013/11/15 20.0027025 Standard Chartered Bank – Ping An European Wts Aug 2013 D 100,000,000 2013/05/09 2013/08/27 15.0027024 Standard Chartered Bank – Tencent Hldg Euro Wts Sep 2013 B 100,000,000 2013/05/09 2013/09/25 15.0027136 UBS AG – CITIC Bank European Warrants Nov 2013 A 50,000,000 2013/05/09 2013/11/08 12.5027117 UBS AG – Esprit European Warrants Aug 2014 A 100,000,000 2013/05/09 2014/08/08 25.0027141 UBS AG – Tencent Holdings European Warrants Nov 2013 A 100,000,000 2013/05/09 2013/11/08 25.0027221 Daiwa Capital Mkt – Agricultural Bank European Wts Nov 2013 A 108,000,000 2013/05/10 2013/11/11 27.0027180 Daiwa Capital Mkt – CCB European Warrants Nov 2013 A 128,000,000 2013/05/10 2013/11/11 19.2027216 Daiwa Capital Mkt – HSBC European Warrants Oct 2013 B 128,000,000 2013/05/10 2013/10/02 35.8427217 Daiwa Capital Mkt – HSBC European Put Warrants Sep 2013 C 98,000,000 2013/05/10 2013/09/09 34.3027182 Daiwa Capital Mkt – Hutchison European Warrants Oct 2013 D 108,000,000 2013/05/10 2013/10/21 28.0827488 Goldman Sachs SP (Asia) – CC Bank European Wts Dec 2013 A 80,000,000 2013/05/10 2013/12/27 20.0027331 Goldman Sachs SP (Asia) – CITIC Pacific Euro Wts Nov 2013 A 60,000,000 2013/05/10 2013/11/29 25.5627305 Goldman Sachs SP (Asia) – Ch Mer Hold Euro Wts Jan 2014 A 60,000,000 2013/05/10 2014/01/30 15.0027491 Goldman Sachs SP (Asia) – Geely Auto European Wts Jan 2014 A 60,000,000 2013/05/10 2014/01/30 15.7827149 HK Bank – A50 China European Warrants Aug 2014 A 200,000,000 2013/05/10 2014/08/01 30.0027170 HK Bank – HWL European Warrants Oct 2013 B 80,000,000 2013/05/10 2013/10/03 40.0027179 HK Bank – HWL European Warrants Dec 2013 A 80,000,000 2013/05/10 2013/12/31 56.0027257 UBS AG – China Shenhua European Warrants Jan 2014 A 80,000,000 2013/05/10 2014/01/27 20.0027242 UBS AG – HSI European Warrants Feb 2014 A 300,000,000 2013/05/10 2014/02/27 45.0027251 UBS AG – New World European Warrants Oct 2014 A 100,000,000 2013/05/10 2014/10/20 25.0027248 UBS AG – Tencent Holdings European Put Warrants Sep 2013 E 100,000,000 2013/05/10 2013/09/24 18.0027301 UBS AG – ZTE European Warrants Nov 2013 B 100,000,000 2013/05/10 2013/11/05 20.0020867# Daiwa Capital Mkt – HSCEI European Warrants Jun 2013 D 300,000,000 2013/05/10 2013/06/27 19.5011058 BNP Paribas Arbit Issu B.V. – BOCL European Put Wts Apr 2014 A 100,000,000 2013/05/13 2014/04/02 25.00

Main Board Warrants



11059 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Jan 2015 A 100,000,000 2013/05/13 2015/01/05 25.0011061 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Jan 2014 A 100,000,000 2013/05/13 2014/01/03 25.0011062 BNP Paribas Arbit Issu B.V. – PICC Group Euro Wts Jan 2014 A 90,000,000 2013/05/13 2014/01/03 22.5011060 BNP Paribas Arbit Issu B.V. – Tencent Eu Put Wt Jan 2014 C 100,000,000 2013/05/13 2014/01/03 25.0029330 Credit Suisse AG – Ch Oil & Gas European Warrants Dec 2013 A 50,000,000 2013/05/13 2013/12/23 12.5027495 Credit Suisse AG – HSI European Put Warrants Aug 2013 D 150,000,000 2013/05/13 2013/08/29 22.5011010 Credit Suisse AG – PICC Group European Warrants Nov 2013 A 60,000,000 2013/05/13 2013/11/12 15.0011011 Credit Suisse AG – PICC Group European Warrants Nov 2013 B 60,000,000 2013/05/13 2013/11/12 15.0011040 Daiwa Capital Mkt – BOC HK European Put Warrants May 2014 A 80,000,000 2013/05/13 2014/05/02 20.0011019 Daiwa Capital Mkt – China Life European Warrants Nov 2013 B 168,000,000 2013/05/13 2013/11/15 25.2011014 Daiwa Capital Mkt – China Life European Put Wts Nov 2013 A 80,000,000 2013/05/13 2013/11/12 24.8011020 Daiwa Capital Mkt – ICBC European Warrants Dec 2013 A 128,000,000 2013/05/13 2013/12/24 19.2011018 Daiwa Capital Mkt – ICBC European Put Warrants Nov 2013 B 80,000,000 2013/05/13 2013/11/12 24.0011057 Bank of East Asia – PICC Group European Warrants Jan 2014 A 50,000,000 2013/05/13 2014/01/13 13.0027517 HK Bank – Esprit European Warrants Jun 2014 A 120,000,000 2013/05/13 2014/06/30 30.0027501 HK Bank – Tencent European Warrants Oct 2013 C 150,000,000 2013/05/13 2013/10/07 22.5027497 Macquarie Bank Ltd. – Esprit European Warrants Sep 2014 A 120,000,000 2013/05/13 2014/09/02 30.0011012 Macquarie Bank Ltd. – PICC Group European Wts Dec 2013 A 50,000,000 2013/05/13 2013/12/03 12.5027546 Nomura Int'l plc – BOCL European Warrants Aug 2014 A 100,000,000 2013/05/13 2014/08/01 15.7027987 Nomura Int'l plc – China Agri European Warrants Feb 2014 A 50,000,000 2013/05/13 2014/02/18 12.5027978 Nomura Int'l plc – China Coal European Warrants Dec 2013 A 50,000,000 2013/05/13 2013/12/31 12.7527940 Nomura Int'l plc – CITIC Bank European Warrants Dec 2013 A 50,000,000 2013/05/13 2013/12/31 12.6027555 Nomura Int'l plc – China Life European Warrants Nov 2013 A 100,000,000 2013/05/13 2013/11/28 15.0027991 Nomura Int'l plc – Ch Oil & Gas European Warrants Aug 2014 A 50,000,000 2013/05/13 2014/08/28 12.9527545 Nomura Int'l plc – China Shenhua European Wts Feb 2014 A 80,000,000 2013/05/13 2014/02/17 12.0027844 Nomura Int'l plc – PICC Group European Warrants Dec 2013 A 50,000,000 2013/05/13 2013/12/02 13.7527802 Nomura Int'l plc – Ping An European Warrants Dec 2013 A 50,000,000 2013/05/13 2013/12/02 13.9527544 Nomura Int'l plc – Renhe Comm European Warrants Dec 2015 A 50,000,000 2013/05/13 2015/12/18 12.7527996 SGA Societe Generale Acceptance N.V. – PICC Gp Eu Wts Nov13A 50,000,000 2013/05/13 2013/11/13 13.7511044 UBS AG – CNOOC European Put Warrants Nov 2014 B 80,000,000 2013/05/13 2014/11/07 20.0011056 UBS AG – PICC Group European Warrants Nov 2013 A 60,000,000 2013/05/13 2013/11/12 15.0012833# Merrill Lynch Int'l & Co. C.V. – HSBC Euro Put Wt Dec 2013 200,000,000 2013/05/13 2013/12/11 10.4022339# UBS AG – HSI European Put Warrants Jul 2013 A 200,000,000 2013/05/13 2013/07/30 14.4011197 Credit Suisse AG – HKEx European Warrants Aug 2013 B 70,000,000 2013/05/14 2013/08/26 10.5011211 Credit Suisse AG – HKEx European Warrants Sep 2013 C 70,000,000 2013/05/14 2013/09/27 29.4011237 Citigroup Global Mkt H Inc. – Galaxy Ent Euro Wts Dec 2013 A 100,000,000 2013/05/14 2013/12/18 40.0011235 Citigroup Global Mkt H Inc. – Galaxy Ent Euro Wts Mar 2014 A 100,000,000 2013/05/14 2014/03/19 40.0011240 Citigroup Global Mkt H Inc. – Sands China Euro Wt Nov 2013 A 100,000,000 2013/05/14 2013/11/20 25.0011239 Citigroup Global Mkt H Inc. – Sands China Euro Wt Feb 2014 A 100,000,000 2013/05/14 2014/02/19 25.0011136 Daiwa Capital Mkt – AIA European Warrants Mar 2014 A 108,000,000 2013/05/14 2014/03/03 21.6011168 Daiwa Capital Mkt – AIA European Put Warrants Dec 2013 B 80,000,000 2013/05/14 2013/12/13 20.0011129 Daiwa Capital Mkt – Ping An European Warrants Oct 2013 A 108,000,000 2013/05/14 2013/10/02 30.2411132 Daiwa Capital Mkt – Ping An European Warrants Nov 2013 A 108,000,000 2013/05/14 2013/11/01 17.2811133 Daiwa Capital Mkt – Ping An European Put Warrants Nov 2013 B 80,000,000 2013/05/14 2013/11/14 40.00

Main Board Warrants



11138 Goldman Sachs SP (Asia) – CNBM European Warrants Jun 2014 A 80,000,000 2013/05/14 2014/06/16 12.8011149 Goldman Sachs SP (Asia) – Ch Ship Dev Euro Wts Nov 2013 A 60,000,000 2013/05/14 2013/11/28 20.2211165 Goldman Sachs SP (Asia) – Chow Tai Fook Euro Wts Aug 2014 B 80,000,000 2013/05/14 2014/08/18 12.0011064 Goldman Sachs SP (Asia) – HSCEI European Put Wts Oct 2013 A 150,000,000 2013/05/14 2013/10/30 27.0011160 Goldman Sachs SP (Asia) – Li & Fung European Wts Dec 2014 A 80,000,000 2013/05/14 2014/12/24 12.2411167 Goldman Sachs SP (Asia) – Zhaojin Mining Euro Wts Nov 2014 A 80,000,000 2013/05/14 2014/11/26 12.3211073 HK Bank – Haitong Sec European Warrants Dec 2013 A 100,000,000 2013/05/14 2013/12/05 15.0011074 HK Bank – Jiangxi Copper European Warrants Aug 2014 A 80,000,000 2013/05/14 2014/08/04 20.0011077 HK Bank – PICC Group European Warrants Nov 2013 A 100,000,000 2013/05/14 2013/11/13 25.0011075 HK Bank – Ping An European Warrants Aug 2013 A 100,000,000 2013/05/14 2013/08/30 15.0011070 HK Bank – SPDR Gold Trust European Warrants Nov 2013 A 80,000,000 2013/05/14 2013/11/18 20.0011079 Standard Chartered Bank – China Coal European Wts Jan 2014 A 60,000,000 2013/05/14 2014/01/09 24.0011090 Standard Chartered Bank – Jiangxi Copper Euro Wts Jan 2014 A 100,000,000 2013/05/14 2014/01/09 25.0011103 Standard Chartered Bank – SPDR Gold Trust Euro Wt Jul 2014 A 100,000,000 2013/05/14 2014/07/25 44.0011063 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Sep13B 100,000,000 2013/05/14 2013/09/23 15.0011122 UBS AG – AIA European Warrants Nov 2013 A 100,000,000 2013/05/14 2013/11/11 20.0011128 UBS AG – AIA European Warrants Feb 2014 A 100,000,000 2013/05/14 2014/02/17 25.0011234 UBS AG – CC Bank European Warrants Sep 2013 D 100,000,000 2013/05/14 2013/09/27 20.0011112 UBS AG – CITIC Sec European Warrants Oct 2013 A 80,000,000 2013/05/14 2013/10/29 15.2011115 UBS AG – Galaxy Ent European Warrants Nov 2013 B 80,000,000 2013/05/14 2013/11/01 15.2011121 UBS AG – Haitong Sec European Warrants May 2014 A 80,000,000 2013/05/14 2014/05/26 20.0024125# Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Jul 2013 B 240,000,000 2013/05/14 2013/07/30 10.0812104 Credit Suisse AG – BOC HK European Warrants Sep 2014 A 70,000,000 2013/05/15 2014/09/26 12.6012101 Credit Suisse AG – BYD European Warrants Sep 2013 A 70,000,000 2013/05/15 2013/09/30 11.2011880 Credit Suisse AG – CC Bank European Warrants Nov 2013 A 70,000,000 2013/05/15 2013/11/15 17.5011957 Credit Suisse AG – CC Bank European Put Warrants Sep 2013 B 60,000,000 2013/05/15 2013/09/23 18.0012103 Credit Suisse AG – China Mobile European Warrants Sep 2013 A 70,000,000 2013/05/15 2013/09/23 10.5012102 Credit Suisse AG – China Mobile European Warrants Oct 2013 A 70,000,000 2013/05/15 2013/10/28 11.9012105 Credit Suisse AG – Greatwall Motor European Wts Oct 2013 A 50,000,000 2013/05/15 2013/10/28 14.0011783 Credit Suisse AG – HSBC European Put Warrants Sep 2013 C 60,000,000 2013/05/15 2013/09/09 16.8011439 Credit Suisse AG – HSI European Put Warrants Sep 2013 E 150,000,000 2013/05/15 2013/09/27 22.5011782 Credit Suisse AG – HSI European Put Warrants Sep 2013 F 150,000,000 2013/05/15 2013/09/27 27.0012106 Credit Suisse AG – Jiangxi Copper European Wts Jan 2014 A 60,000,000 2013/05/15 2014/01/27 15.0011879 Credit Suisse AG – ZTE European Warrants Sep 2013 B 70,000,000 2013/05/15 2013/09/09 10.5012108 Daiwa Capital Mkt – China Mobile European Wts Sep 2013 B 128,000,000 2013/05/15 2013/09/23 19.2012109 Daiwa Capital Mkt – China Mobile European Wts Nov 2013 A 128,000,000 2013/05/15 2013/11/15 42.2412110 Daiwa Capital Mkt – China Mobile European Put Wts Nov 2013 B 80,000,000 2013/05/15 2013/11/15 29.6012107 Daiwa Capital Mkt – HKEx European Warrants Sep 2014 A 128,000,000 2013/05/15 2014/09/05 19.2012111 Daiwa Capital Mkt – HKEx European Put Warrants Jul 2014 A 80,000,000 2013/05/15 2014/07/02 20.0011387 Goldman Sachs SP (Asia) – AIA European Put Wts Dec 2013 B 80,000,000 2013/05/15 2013/12/30 20.1611394 Goldman Sachs SP (Asia) – China Life Euro Wts Jan 2014 A 80,000,000 2013/05/15 2014/01/30 20.0011370 Goldman Sachs SP (Asia) – A50 China European Wts Oct 2013 C 80,000,000 2013/05/15 2013/10/30 31.2011438 Goldman Sachs SP (Asia) – HSBC European Put Wts Nov 2013 B 80,000,000 2013/05/15 2013/11/29 36.0011368 Goldman Sachs SP (Asia) – Yurun Food European Wts Mar 2014 A 60,000,000 2013/05/15 2014/03/31 31.02

Main Board Warrants



11351 Goldman Sachs SP (Asia) – Zoomlion European Wts Dec 2013 A 60,000,000 2013/05/15 2013/12/31 31.4411307 HK Bank – AIA European Put Warrants Dec 2013 B 80,000,000 2013/05/15 2013/12/02 20.0011302 HK Bank – China Unicom European Warrants Apr 2014 A 100,000,000 2013/05/15 2014/04/23 15.0011329 Macquarie Bank Ltd. – China Gas Hold Euro Wts Oct 2014 A 150,000,000 2013/05/15 2014/10/28 27.0011331 Macquarie Bank Ltd. – MGM China European Warrants Apr 2014 A 100,000,000 2013/05/15 2014/04/02 25.0011333 Macquarie Bank Ltd – Skyworth Digital European Wts Feb 2016 A 120,000,000 2013/05/15 2016/02/15 30.0011242 Merrill Lynch Int'l & Co. C.V. – HSBC Euro Wts Nov 2013 A 70,000,000 2013/05/15 2013/11/01 11.4811283 Merrill Lynch Int'l & Co. C.V. – HSI European Wts Oct 2013 B 100,000,000 2013/05/15 2013/10/30 15.5011241 Merrill Lynch Int'l & Co. C.V. – Ping An Euro Wts Oct 2013 C 70,000,000 2013/05/15 2013/10/28 11.3411244 Merrill Lynch Int'l & Co. C.V. – Tencent Euro Wts Sep 2013 B 80,000,000 2013/05/15 2013/09/24 12.0811258 Merrill Lynch Int'l & Co. C.V. – Tencent Euro Wts Dec 2013 A 60,000,000 2013/05/15 2013/12/16 12.3612112 Standard Chartered Bank – BOC HK European Wts Sep 2014 A 100,000,000 2013/05/15 2014/09/23 15.0011308 Standard Chartered Bank – China COSCO European Wt Jan 2014 A 60,000,000 2013/05/15 2014/01/06 15.0011312 Standard Chartered Bank – Ch Ship Cont Euro Wts Dec 2013 A 60,000,000 2013/05/15 2013/12/03 15.0012113 Standard Chartered Bank – HSBC European Put Wts Jan 2014 A 100,000,000 2013/05/15 2014/01/08 39.0011635 UBS AG – CC Bank European Warrants Nov 2013 A 100,000,000 2013/05/15 2013/11/21 16.0011448 UBS AG – Esprit European Warrants Apr 2014 A 100,000,000 2013/05/15 2014/04/08 25.0011481 UBS AG – HSBC European Warrants Nov 2013 A 100,000,000 2013/05/15 2013/11/06 21.0011581 UBS AG – HSCEI European Put Warrants Sep 2013 C 100,000,000 2013/05/15 2013/09/27 19.0011704 UBS AG – HSI European Warrants Dec 2013 D 300,000,000 2013/05/15 2013/12/30 45.0011744 UBS AG – HSI European Put Warrants Nov 2013 A 300,000,000 2013/05/15 2013/11/28 87.0011478 UBS AG – ICBC European Warrants Dec 2013 A 100,000,000 2013/05/15 2013/12/24 15.0011455 UBS AG – PetroChina European Warrants Sep 2013 A 60,000,000 2013/05/15 2013/09/23 13.2011534 UBS AG – SPDR Gold Trust European Warrants Nov 2013 A 100,000,000 2013/05/15 2013/11/25 25.0012158 BNP Paribas Arbit Issu B.V. – AIA European Wts Sep 2014 A 100,000,000 2013/05/16 2014/09/02 25.0012156 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Sep 2013 A 100,000,000 2013/05/16 2013/09/30 16.0012157 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Dec 2014 B 100,000,000 2013/05/16 2014/12/01 27.0012154 BNP Paribas Arbit Issu B.V. – HSBC European Wts Sep 2013 A 100,000,000 2013/05/16 2013/09/03 16.0012153 BNP Paribas Arbit Issu B.V. – HSCEI European Wts Dec 2013 C 100,000,000 2013/05/16 2013/12/30 15.0012152 BNP Paribas Arbit Issu B.V. – HSCEI Euro Put Wts Dec 2013 B 100,000,000 2013/05/16 2013/12/30 16.0012151 BNP Paribas Arbit Issu B.V. – HSI European Wts Feb 2014 A 100,000,000 2013/05/16 2014/02/27 15.0012155 BNP Paribas Arbit Issu B.V. – Ping An European Wt Jul 2014 A 100,000,000 2013/05/16 2014/07/03 28.0012143 Credit Suisse AG – AIA European Warrants Jan 2014 B 70,000,000 2013/05/16 2014/01/27 17.5012144 Credit Suisse AG – AIA European Put Warrants Nov 2013 B 70,000,000 2013/05/16 2013/11/25 17.5012136 Credit Suisse – Cheung Kong European Put Warrants Sep 2013 A 70,000,000 2013/05/16 2013/09/30 12.6012140 Credit Suisse AG – ChiUnicom European Warrants Sep 2014 A 70,000,000 2013/05/16 2014/09/29 10.5012134 Credit Suisse AG – A50 China European Warrants Sep 2013 A 70,000,000 2013/05/16 2013/09/30 12.6012139 Credit Suisse AG – Geely Auto European Warrants Sep 2013 A 70,000,000 2013/05/16 2013/09/30 10.5012141 Credit Suisse AG – Galaxy Ent European Warrants Sep 2013 A 70,000,000 2013/05/16 2013/09/30 10.5012142 Credit Suisse AG – Galaxy Ent European Put Wts Nov 2013 A 70,000,000 2013/05/16 2013/11/15 17.5012135 Credit Suisse AG – HSI European Warrants Dec 2013 B 150,000,000 2013/05/16 2013/12/30 22.5012137 Credit Suisse AG – Ping An European Warrants Aug 2013 B 70,000,000 2013/05/16 2013/08/30 12.6012146 Credit Suisse AG – Sands China European Put Wts Nov 2013 A 60,000,000 2013/05/16 2013/11/15 15.0012138 Credit Suisse AG – SHK Ppt European Warrants Oct 2013 A 60,000,000 2013/05/16 2013/10/28 16.80

Main Board Warrants



12145 Credit Suisse AG – SHK Ppt European Put Warrants Nov 2013 B 60,000,000 2013/05/16 2013/11/15 31.8012133 Citigroup Global Mkt H Inc. – A50 China Euro Wts Nov 2013 B 100,000,000 2013/05/16 2013/11/20 50.0012132 Citigroup Global Mkt H Inc. – A50 China Euro Wts Feb 2014 A 100,000,000 2013/05/16 2014/02/19 40.0012131 Citigroup Global Mkt H Inc. – A50 China Eu Put Wt Nov 2013 A 150,000,000 2013/05/16 2013/11/20 52.5012161 Daiwa Capital Mkt – HSI European Put Warrants Oct 2013 C 200,000,000 2013/05/16 2013/10/30 30.0012162 Daiwa Capital Mkt – HSI European Put Warrants Nov 2013 A 200,000,000 2013/05/16 2013/11/28 50.0012159 Daiwa Capital Mkt – Tencent Holdings European Wts Feb 2014 A 168,000,000 2013/05/16 2014/02/10 30.2412160 Daiwa Capital Mkt – Tencent Holdings Euro Put Wts Dec 2013 A 108,000,000 2013/05/16 2013/12/12 27.0012125 HK Bank – HSI European Put Warrants Oct 2013 C 200,000,000 2013/05/16 2013/10/30 36.0012124 HK Bank – HSI European Put Warrants Nov 2013 B 150,000,000 2013/05/16 2013/11/28 37.5012126 HK Bank – PICC Group European Warrants Dec 2013 A 80,000,000 2013/05/16 2013/12/02 20.0012120 J P Morgan SP BV – AIA European Warrants Dec 2013 A 200,000,000 2013/05/16 2013/12/02 50.0012118 J P Morgan Int'l Der. Ltd. – CC Bank European Wts Dec 2013 A 200,000,000 2013/05/16 2013/12/02 50.0012119 J P Morgan SP BV – China Life European Warrants Oct 2013 C 200,000,000 2013/05/16 2013/10/10 30.0012114 J P Morgan SP BV – Galaxy Ent European Warrants Dec 2013 A 200,000,000 2013/05/16 2013/12/02 50.0012115 J P Morgan SP BV – Galaxy Ent European Put Wts Dec 2013 B 200,000,000 2013/05/16 2013/12/02 50.0012116 J P Morgan SP BV – Skyworth Digital European Wts Dec 2013 A 50,000,000 2013/05/16 2013/12/30 12.5012117 J P Morgan SP BV – Zhaojin Mining European Wts Nov 2014 A 150,000,000 2013/05/16 2014/11/25 22.5012127 Macquarie Bank Ltd. – Avichina European Warrants Dec 2013 A 50,000,000 2013/05/16 2013/12/03 12.5012128 Macquarie Bank Ltd. – China Life European Wts Apr 2014 A 100,000,000 2013/05/16 2014/04/02 25.0012130 Macquarie Bank Ltd. – Melco Int'l Dev Euro Wts Jan 2014 A 100,000,000 2013/05/16 2014/01/03 25.0012129 Macquarie Bank Ltd. – Shougang Res European Wts Jan 2014 A 50,000,000 2013/05/16 2014/01/03 12.5012123 Standard Chartered Bank – Minsheng Bank Euro Wts Feb 2015 A 100,000,000 2013/05/16 2015/02/02 17.0012122 Standard Chartered Bank – China Mobile Euro Wts Dec 2013 A 100,000,000 2013/05/16 2013/12/19 25.0012121 Standard Chartered Bank – PetroChina European Wts Feb 2014 A 100,000,000 2013/05/16 2014/02/05 25.0012150 UBS AG – BYD European Warrants Nov 2013 A 80,000,000 2013/05/16 2013/11/15 20.0012147 UBS AG – China Mobile European Warrants Sep 2013 B 100,000,000 2013/05/16 2013/09/30 15.0012149 UBS AG – Galaxy Ent European Put Warrants Nov 2013 C 40,000,000 2013/05/16 2013/11/15 10.0012148 UBS AG – Sands China European Put Warrants Nov 2013 B 40,000,000 2013/05/16 2013/11/15 10.0012199 Credit Suisse AG – GCL-Poly Energy European Wts Sep 2013 A 70,000,000 2013/05/20 2013/09/23 10.5012200 Credit Suisse AG – HSCEI European Warrants Dec 2013 B 100,000,000 2013/05/20 2013/12/30 15.0012201 Credit Suisse AG – HSCEI European Warrants Sep 2014 A 100,000,000 2013/05/20 2014/09/29 15.0012198 Daiwa Capital Mkt – Sands China European Warrants Nov 2013 A 98,000,000 2013/05/20 2013/11/01 21.5612172 HK Bank – CC Bank European Warrants Dec 2013 A 80,000,000 2013/05/20 2013/12/02 20.0012173 HK Bank – China Life European Warrants Nov 2013 A 150,000,000 2013/05/20 2013/11/18 22.5012175 HK Bank – China Mobile European Warrants Dec 2013 A 80,000,000 2013/05/20 2013/12/02 20.0012174 HK Bank – Zhaojin Mining European Warrants Oct 2014 A 150,000,000 2013/05/20 2014/10/06 37.5012195 HK Bank – Zijin Mining European Warrants Jan 2014 A 150,000,000 2013/05/20 2014/01/02 37.5012193 J P Morgan SP BV – Cheung Kong European Warrants Dec 2013 B 100,000,000 2013/05/20 2013/12/03 25.0012192 J P Morgan SP BV – China Mob European Wts Dec 2013 A 200,000,000 2013/05/20 2013/12/02 50.0012197 J P Morgan SP BV – Geely Auto European Warrants Nov 2013 A 100,000,000 2013/05/20 2013/11/20 25.0012187 J P Morgan SP BV – HSBC European Warrants Dec 2013 A 200,000,000 2013/05/20 2013/12/03 50.0012186 J P Morgan SP BV – Hutchison European Warrants Dec 2013 B 100,000,000 2013/05/20 2013/12/02 25.0012191 J P Morgan SP BV – Lenovo European Warrants Dec 2013 A 100,000,000 2013/05/20 2013/12/03 25.00

Main Board Warrants



12190 J P Morgan SP BV – PetroChina European Warrants Dec 2013 A 100,000,000 2013/05/20 2013/12/02 25.0012189 J P Morgan SP BV – Ping An European Warrants Dec 2013 A 150,000,000 2013/05/20 2013/12/03 37.5012188 J P Morgan SP BV – Tencent European Warrants Dec 2013 A 200,000,000 2013/05/20 2013/12/03 50.0012196 Macquarie Bank Ltd. – AAC Acoustic European Wts Nov 2013 A 100,000,000 2013/05/20 2013/11/19 25.0012166 Merrill Lynch Int'l & Co. C.V. – CC Bank Euro Wts Nov 2013 A 40,000,000 2013/05/20 2013/11/25 10.0012167 Merrill Lynch Int'l & Co. C.V. – CC Bank Euro Wts Nov 2013 B 70,000,000 2013/05/20 2013/11/21 10.9912169 Merrill Lynch Int'l & Co. C.V. – Ch Life Eur Put Wt Nov 13 B 40,000,000 2013/05/20 2013/11/25 10.0012168 Merrill Lynch Int'l & Co. C.V. – HSBC Euro Wts Nov 2013 B 40,000,000 2013/05/20 2013/11/25 10.4012164 Merrill Lynch Int'l & Co. C.V. – ICBC Euro Wts Dec 2013 A 70,000,000 2013/05/20 2013/12/27 11.9012165 Merrill Lynch Int'l & Co. C.V. – ICBC Euro Wts Dec 2013 B 40,000,000 2013/05/20 2013/12/02 10.0012163 Merrill Lynch Int'l & Co. C.V. – Ping An Euro Put Wts Nov13A 40,000,000 2013/05/20 2013/11/20 14.8012184 Nomura Int'l plc – CITIC Sec European Warrants Oct 2013 A 100,000,000 2013/05/20 2013/10/25 15.9012183 Nomura Int'l plc – Ch Ship Cont European Warrants Dec 2013 A 50,000,000 2013/05/20 2013/12/30 12.5012185 Nomura Int'l plc – Lenovo European Warrants Oct 2013 A 80,000,000 2013/05/20 2013/10/28 12.3212181 Nomura Int'l plc – MCC European Warrants Dec 2014 A 50,000,000 2013/05/20 2014/12/18 12.6012178 Nomura Int'l plc – New World Dev European Wts Mar 2015 A 50,000,000 2013/05/20 2015/03/02 12.6012179 Nomura Int'l plc – Poly European Warrants Nov 2013 A 50,000,000 2013/05/20 2013/11/29 18.2512177 Nomura Int'l plc – SHK P European Warrants Dec 2013 A 50,000,000 2013/05/20 2013/12/02 18.3512176 Nomura Int'l plc – Wharf European Warrants Dec 2013 A 50,000,000 2013/05/20 2013/12/02 16.7512182 Nomura Int'l plc – Weichai Power European Warrants Feb2014 A 50,000,000 2013/05/20 2014/02/28 12.5012180 Nomura Int'l plc – Yanzhou Coal European Warrants Nov 2013 A 50,000,000 2013/05/20 2013/11/20 12.5512170 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Oct 2013 A 120,000,000 2013/05/20 2013/10/09 18.0012194 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Oct 2013 A 300,000,000 2013/05/20 2013/10/30 45.0012171 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Sep 2013 B 100,000,000 2013/05/20 2013/09/30 20.5010187 SGA Societe Generale Acceptance N.V. – USD/YEN Eu Wt Nov13 B 50,000,000 2013/05/20 2013/11/27 12.5010188 SGA Societe Generale Acceptance N.V – USD/YEN Eu Put Wt Nov13C 50,000,000 2013/05/20 2013/11/27 13.0012213 Daiwa Capital Mkt – Galaxy Ent European Put Wts Nov 2013 B 80,000,000 2013/05/21 2013/11/21 20.0012217 J P Morgan SP BV – PICC Group European Warrants Nov 2013 A 68,000,000 2013/05/21 2013/11/05 10.2012208 Macquarie Bank Ltd. – AIA European Warrants Apr 2014 A 50,000,000 2013/05/21 2014/04/02 12.5512202 Merrill Lynch Int'l & Co. C.V. – China Coal Eur Wts Dec 13 A 40,000,000 2013/05/21 2013/12/23 10.0012204 Merrill Lynch Int'l & Co. C.V. – Ch Telecom Eu Wt Sep 2013 B 70,000,000 2013/05/21 2013/09/30 10.8512205 Merrill Lynch Int'l & Co. C.V. – Galaxy Ent Eu Wts Nov2013 A 40,000,000 2013/05/21 2013/11/22 10.0012203 Merrill Lynch Int'l & Co. C.V. – Lenovo Euro Wts Dec 2013 A 40,000,000 2013/05/21 2013/12/02 16.8012207 Standard Chartered Bank – Chi Res Power Euro Wts Mar 2014 A 80,000,000 2013/05/21 2014/03/05 20.0012209 Standard Chartered Bank – Galaxy Ent European Wts Sep 2013 A 100,000,000 2013/05/21 2013/09/23 20.6012210 Standard Chartered Bank – Galaxy Ent Euro Put Wts Jan 2014 A 100,000,000 2013/05/21 2014/01/08 25.0012211 Standard Chartered Bank – PICC Group European Wts Nov 2013 A 60,000,000 2013/05/21 2013/11/05 16.2012212 Standard Chartered Bank – PICC Group European Wts May 2014 A 60,000,000 2013/05/21 2014/05/08 15.0012206 SGA Societe Generale Acceptance N.V. – SJM Hold Eu Wt Dec13A 80,000,000 2013/05/21 2013/12/16 12.0012214 UBS AG – Anhui Conch European Warrants Nov 2013 A 100,000,000 2013/05/21 2013/11/05 15.0012216 UBS AG – BankComm European Warrants Oct 2013 A 50,000,000 2013/05/21 2013/10/08 10.0012215 UBS AG – CITIC Pacific European Warrants Nov 2013 A 36,000,000 2013/05/21 2013/11/20 10.0812226 Credit Suisse AG – Agricultural Bank European Wts Nov 2013 A 70,000,000 2013/05/22 2013/11/04 11.2012225 Credit Suisse AG – Sinopec Corp European Warrants Sep 2013 A 70,000,000 2013/05/22 2013/09/23 11.20

Main Board Warrants



12232 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts Oct 2013 A 80,000,000 2013/05/22 2013/10/10 12.2412230 Goldman Sachs SP (Asia) – PICC Group European Wts Dec 2013 A 80,000,000 2013/05/22 2013/12/30 20.0012233 Goldman Sachs SP (Asia) – Sands China Euro Wts Feb 2014 A 80,000,000 2013/05/22 2014/02/28 20.0012231 Goldman Sachs SP (Asia) – Wharf European Warrants Feb 2014 A 60,000,000 2013/05/22 2014/02/27 24.0612222 HK Bank – Tencent European Warrants Dec 2013 A 100,000,000 2013/05/22 2013/12/02 25.0012219 J P Morgan SP BV – HSBC European Put Warrants Dec 2013 B 100,000,000 2013/05/22 2013/12/02 27.8012218 J P Morgan SP BV – Stanchart European Warrants Jul 2014 A 80,000,000 2013/05/22 2014/07/02 12.0012224 Merrill Lynch Int'l & Co. C.V. – AIA Euro Put Wts Dec 2013 B 80,000,000 2013/05/22 2013/12/09 12.5612220 Merrill Lynch Int'l & Co. C.V. – CNOOC Eu Put Wts Sep 2014 A 40,000,000 2013/05/22 2014/09/08 10.0012221 Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Nov 2013 C 100,000,000 2013/05/22 2013/11/28 25.0012223 Standard Chartered Bank – Zhaojin Mining Euro Wts Aug 2014 A 100,000,000 2013/05/22 2014/08/08 15.0012229 UBS AG – PICC Group European Warrants Nov 2013 B 60,000,000 2013/05/22 2013/11/05 13.2012227 UBS AG – Ping An European Warrants Oct 2013 C 100,000,000 2013/05/22 2013/10/28 24.0012228 UBS AG – Ping An European Warrants Nov 2013 B 100,000,000 2013/05/22 2013/11/04 15.0024653# UBS AG – Tencent Holdings European Put Warrants Aug 2013 C 250,000,000 2013/05/22 2013/08/26 10.7512245 BOCI Asia Ltd. – China Life European Warrants Nov 2013 B 100,000,000 2013/05/23 2013/11/22 15.0012246 BOCI Asia Ltd. – CNOOC European Warrants Feb 2014 A 100,000,000 2013/05/23 2014/02/12 15.0012244 BOCI Asia Ltd. – HSI European Warrants Dec 2013 B 100,000,000 2013/05/23 2013/12/30 15.0012243 BOCI Asia Ltd. – HSI European Put Warrants Dec 2013 A 100,000,000 2013/05/23 2013/12/30 25.0012255 Credit Suisse AG – Anhui Conch European Warrants Nov 2013 A 60,000,000 2013/05/23 2013/11/29 11.4012256 Credit Suisse AG – China Coal European Warrants Oct 2013 B 60,000,000 2013/05/23 2013/10/31 12.0012258 Credit Suisse AG – CITIC Bank European Warrants Nov 2013 A 50,000,000 2013/05/23 2013/11/01 16.0012257 Credit Suisse AG – CITIC Pacific European Warrants Sep 13 A 70,000,000 2013/05/23 2013/09/30 10.5012259 Credit Suisse AG – Li & Fung European Warrants Nov 2013 A 50,000,000 2013/05/23 2013/11/22 24.0012254 Credit Suisse – SPDR Gold Trust European Warrants Nov 2013 A 60,000,000 2013/05/23 2013/11/18 10.8012251 J P Morgan SP BV – Anhui Conch European Put Warrants Dec13 A 200,000,000 2013/05/23 2013/12/02 50.0012237 J P Morgan SP BV – AIA European Put Warrants Dec 2013 B 100,000,000 2013/05/23 2013/12/02 25.0012250 J P Morgan SP BV – Esprit European Put Warrants Jul 2014 A 80,000,000 2013/05/23 2014/07/02 20.0012236 J P Morgan SP BV – Want Want Ch European Warrants Aug 2014 A 120,000,000 2013/05/23 2014/08/01 30.0012240 Macquarie Bank Ltd. – China Coal European Wts Dec 2013 A 80,000,000 2013/05/23 2013/12/03 20.0012239 Standard Chartered Bank – AIA European Put Warrants Mar 14 A 80,000,000 2013/05/23 2014/03/28 20.0012247 Standard Chartered Bank – China Coal European Wts Dec 2013 A 100,000,000 2013/05/23 2013/12/02 45.0012248 Standard Chartered Bank – China Coal European Put Wt Jul14 A 100,000,000 2013/05/23 2014/07/04 22.5012238 Standard Chartered Bank – ICBC European Warrants Dec 2013 B 100,000,000 2013/05/23 2013/12/24 15.0012249 Standard Chartered Bank – Li & Fung European Wts Nov 2013 A 50,000,000 2013/05/23 2013/11/28 22.5012241 SGA Societe Generale Acceptance N.V. – CCoal Eu Wt Nov 2013 A 40,000,000 2013/05/23 2013/11/25 11.4012234 SGA Societe Generale Acceptance N.V. – Shenhua Eu Wt Feb 14 A 100,000,000 2013/05/23 2014/02/17 15.0012242 SGA Societe Generale Acceptance N.V – Evergrande Eu Wt Oct13 A 50,000,000 2013/05/23 2013/10/09 15.2512252 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Sep 2013 C 120,000,000 2013/05/23 2013/09/02 18.0012235 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Nov 2013 A 100,000,000 2013/05/23 2013/11/25 27.5012253 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Oct 13 C 120,000,000 2013/05/23 2013/10/02 18.0012263 UBS AG – CPIC European Warrants Dec 2013 A 80,000,000 2013/05/23 2013/12/09 20.0012261 UBS AG – HSCEI European Put Warrants Oct 2013 B 100,000,000 2013/05/23 2013/10/30 15.0012260 UBS AG – PICC European Warrants Aug 2014 A 100,000,000 2013/05/23 2014/08/21 15.00

Main Board Warrants



12262 UBS AG – SJM Holdings European Warrants Dec 2013 A 80,000,000 2013/05/23 2013/12/16 15.6024147# UBS AG – Tencent Holdings European Put Warrants Aug 2013 B 300,000,000 2013/05/23 2013/08/05 11.4024275# Merrill Lynch Int'l & Co. C.V. – Tencent Eu Put Wt Oct2013 A 70,000,000 2013/05/23 2013/10/28 10.8512275 BOCI Asia Ltd. – China Mobile European Put Wts Nov 2013 A 100,000,000 2013/05/24 2013/11/15 18.0012276 BOCI Asia Ltd. – HSBC European Put Warrants Nov 2013 A 100,000,000 2013/05/24 2013/11/08 19.0012277 BOCI Asia Ltd. – Tencent Holdings European Wts Dec 2013 B 100,000,000 2013/05/24 2013/12/03 18.0012289 BNP Paribas Arbit Issu B.V. – BYD European Wts Dec 2013 A 67,000,000 2013/05/24 2013/12/03 20.1012292 BNP Paribas Arbit Issu B.V. – CITIC Sec Euro Wts Dec 2013 A 100,000,000 2013/05/24 2013/12/03 15.0012285 BNP Paribas Arbit Issu B.V. – First Pacific Eu Wt Feb 2015 A 79,000,000 2013/05/24 2015/02/03 20.5412293 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Jan 2017 A 100,000,000 2013/05/24 2017/01/04 25.0012287 BNP Paribas Arbit Issu B.V. – Poly HK Inv Eur Wts Dec 2013 A 22,000,000 2013/05/24 2013/12/03 10.3412291 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Dec 2014 A 77,000,000 2013/05/24 2014/12/02 26.1812290 BNP Paribas Arbit Issu B.V. – Tencent Eu Put Wt Nov 2013 A 77,000,000 2013/05/24 2013/11/04 18.4812286 BNP Paribas Arbit Issu B.V. – Yuexiu Property Eu Wt Feb 14 A 40,000,000 2013/05/24 2014/02/05 10.4012288 BNP Paribas Arbit Issu B.V. – Zhaojin Mining Eu Wt Aug 14 A 100,000,000 2013/05/24 2014/08/04 15.0012280 Credit Suisse AG – Tencent Holdings Euro Put Wts Sep 2013 G 80,000,000 2013/05/24 2013/09/23 12.0012294 Daiwa Capital Mkt – Tencent Holdings European Wts Feb 2014 B 168,000,000 2013/05/24 2014/02/18 42.0012279 HK Bank – China Coal European Warrants Jan 2014 A 80,000,000 2013/05/24 2014/01/06 20.0012278 HK Bank – Yanzhou Coal European Warrants Jan 2014 A 70,000,000 2013/05/24 2014/01/06 28.0012295 Macquarie Bank Ltd. – Tencent European Warrants Jan 2014 A 250,000,000 2013/05/24 2014/01/03 62.5012274 Macquarie Bank Ltd. – Tencent European Put Wts Dec 2013 A 250,000,000 2013/05/24 2013/12/03 62.5012273 Nomura Int'l plc – BOC HK European Warrants Dec 2014 A 50,000,000 2013/05/24 2014/12/01 12.9512266 Nomura Int'l plc – BYD European Warrants Nov 2013 A 50,000,000 2013/05/24 2013/11/25 15.1512265 Nomura Int'l plc – CITIC Bank European Put Warrants Dec 13 B 50,000,000 2013/05/24 2013/12/02 12.7012269 Nomura Int'l plc – Esprit European Warrants May 2014 A 50,000,000 2013/05/24 2014/05/20 12.5512271 Nomura Int'l plc – Esprit European Put Warrants Mar 2014 A 50,000,000 2013/05/24 2014/03/31 12.9012268 Nomura Int'l plc – HSBC European Warrants Feb 2014 A 50,000,000 2013/05/24 2014/02/28 13.0512267 Nomura Int'l plc – HSBC European Put Warrants Dec 2013 A 50,000,000 2013/05/24 2013/12/02 12.9012264 Nomura Int'l plc – Link REIT European Put Wts Mar 2014 A 50,000,000 2013/05/24 2014/03/31 14.6512272 Nomura Int'l plc – Ping An European Put Warrants Dec 2013 B 50,000,000 2013/05/24 2013/12/02 12.7012270 Nomura Int'l plc – Tencent Holdings Euro Warrants Jun 2014 A 80,000,000 2013/05/24 2014/06/30 20.3212282 Standard Chartered Bank – Anhui Conch Euro Wts Nov 2013 A 100,000,000 2013/05/24 2013/11/01 15.0012281 Standard Chartered Bank – CITIC Pacific Euro Wts Nov 2014 A 100,000,000 2013/05/24 2014/11/04 25.0012283 UBS AG – Tencent Holdings European Warrants Jan 2014 A 100,000,000 2013/05/24 2014/01/27 25.0012284 UBS AG – Tencent Holdings European Put Warrants Dec 2013 A 100,000,000 2013/05/24 2013/12/05 19.5014630 BOCI Asia Ltd. – Tencent Holdings European Wts Dec 2013 C 100,000,000 2013/05/27 2013/12/30 25.0014944 BOCI Asia Ltd. – Tencent Holdings European Put Wts Nov 2013 A 100,000,000 2013/05/27 2013/11/04 18.0010189 BNP Paribas Arbit Issu B.V. – USD/YEN Euro Wts Nov 2013 C 100,000,000 2013/05/27 2013/11/29 25.0015597 Credit Suisse AG – Tencent Holdings European Wts Nov 2013 B 100,000,000 2013/05/27 2013/11/26 25.0017394 Credit Suisse AG – Tencent Holdings European Wts Nov 2013 C 100,000,000 2013/05/27 2013/11/26 25.0015586 Credit Suisse AG – Tencent Holdings Euro Put Wts Oct 2013 B 100,000,000 2013/05/27 2013/10/28 16.0015415 Credit Suisse AG – Tencent Holdings Euro Put Wts Dec 2013 A 100,000,000 2013/05/27 2013/12/05 15.0012662 HK Bank – BYD European Warrants Jan 2014 A 60,000,000 2013/05/27 2014/01/06 16.8012299 HK Bank – CITIC Bank European Warrants Dec 2013 A 60,000,000 2013/05/27 2013/12/02 15.00

Main Board Warrants



12297 HK Bank – Datang Power European Warrants Dec 2013 A 60,000,000 2013/05/27 2013/12/02 15.0012298 HK Bank – Link REIT European Warrants Jan 2014 A 60,000,000 2013/05/27 2014/01/06 15.0012695 HK Bank – Tencent European Warrants Dec 2013 B 100,000,000 2013/05/27 2013/12/02 25.0013462 HK Bank – Tencent European Put Warrants Oct 2013 D 120,000,000 2013/05/27 2013/10/21 20.4014428 HK Bank – Tencent European Put Warrants Dec 2013 C 120,000,000 2013/05/27 2013/12/05 18.0012296 J P Morgan SP BV – China Coal European Warrants Dec 2013 A 40,000,000 2013/05/27 2013/12/02 10.0017271 J P Morgan SP BV – China Shenhua Euro Put Wts Jan 2014 A 100,000,000 2013/05/27 2014/01/02 25.0017277 J P Morgan SP BV – Tencent European Warrants Dec 2013 C 200,000,000 2013/05/27 2013/12/02 50.0017094 J P Morgan SP BV – Tencent European Warrants Feb 2014 A 200,000,000 2013/05/27 2014/02/04 50.0017092 J P Morgan SP BV – Tencent European Put Warrants Dec 2013 B 200,000,000 2013/05/27 2013/12/02 50.0016722 Macquarie Bank Ltd. – Dongfeng Motor European Wts Mar 2014 A 120,000,000 2013/05/27 2014/03/04 18.0016878 Macquarie Bank Ltd. – Hysan Dev European Warrants Feb 2014 A 120,000,000 2013/05/27 2014/02/05 30.0015201 Standard Chartered Bank – Tencent Hldg Euro Wts Dec 2013 B 100,000,000 2013/05/27 2013/12/04 25.0015225 Standard Chartered Bank – Tencent Hldg Eu Put Wts Oct 2013 B 100,000,000 2013/05/27 2013/10/21 16.0015869 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Nov 2013 B 120,000,000 2013/05/27 2013/11/11 21.0016298 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Dec13A 50,000,000 2013/05/27 2013/12/02 17.7516661 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Nov2013 A 50,000,000 2013/05/27 2013/11/11 12.5016299 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Sep 13 E 150,000,000 2013/05/27 2013/09/27 27.0017360 UBS AG – Galaxy Ent European Warrants Nov 2013 D 80,000,000 2013/05/27 2013/11/29 20.0017321 UBS AG – HSBC European Put Warrants Nov 2013 B 100,000,000 2013/05/27 2013/11/22 36.0017396 UBS AG – Tencent Holdings European Warrants Nov 2013 B 200,000,000 2013/05/27 2013/11/26 50.0017393 UBS AG – Tencent Holdings European Put Warrants Oct 2013 C 200,000,000 2013/05/27 2013/10/21 32.0019187 BOCI Asia Ltd. – AIA European Warrants Jan 2014 A 100,000,000 2013/05/28 2014/01/13 25.0019136 BOCI Asia Ltd. – CAM CSI300 European Warrants Dec 2013 A 100,000,000 2013/05/28 2013/12/30 15.0019386 BOCI Asia Ltd. – HSBC European Warrants Sep 2013 A 100,000,000 2013/05/28 2013/09/09 20.0020578 BNP Paribas Arbit Issu B.V. – AAC Acoustic Eu Wts Dec 2013 A 72,000,000 2013/05/28 2013/12/03 24.4820425 BNP Paribas Arbit Issu B.V. – Agile Ppt Euro Wt Aug 2014 A 100,000,000 2013/05/28 2014/08/04 17.0020588 BNP Paribas Arbit Issu B.V. – China Coal Euro Wts Jan 2014 A 53,000,000 2013/05/28 2014/01/03 16.9620431 BNP Paribas Arbit Issu B.V. – Ch Ship Cont Eur Wt Jan 2014 A 53,000,000 2013/05/28 2014/01/03 13.2520411 BNP Paribas Arbit Issu B.V. – Datang Power Eu Wts Feb 2014 A 28,000,000 2013/05/28 2014/02/05 10.0820480 BNP Paribas Arbit Issu B.V. – HSBC Euro Put Wts Dec 2013 A 100,000,000 2013/05/28 2013/12/03 46.0020420 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Dec 2013 B 100,000,000 2013/05/28 2013/12/03 25.0020475 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Mar 2014 A 100,000,000 2013/05/28 2014/03/04 26.0020537 BNP Paribas Arbit Issu B.V. – Wharf European Wts Dec 2013 A 80,000,000 2013/05/28 2013/12/03 20.0020626 BNP Paribas Arbit Issu B.V. – Yanzhou Coal Eur Wt Dec 2013 A 44,000,000 2013/05/28 2013/12/03 11.8821331 Credit Suisse AG – GCL-Poly Energy European Wts Aug 2013 B 70,000,000 2013/05/28 2013/08/30 11.2021348 Credit Suisse – Huaneng Power European Warrants Sep 2013 A 60,000,000 2013/05/28 2013/09/23 33.6021325 Credit Suisse AG – Hutchison European Warrants Sep 2013 A 80,000,000 2013/05/28 2013/09/23 16.0021350 Credit Suisse AG – Link REIT European Warrants Dec 2013 A 60,000,000 2013/05/28 2013/12/09 15.0010190 Daiwa Capital Mkt – Nikkei 225 Index European Wts Dec 2013 A 250,000,000 2013/05/28 2013/12/13 62.5010191 Daiwa Capital Mkt – Nikkei 225 Index European Wts Dec 2013 B 250,000,000 2013/05/28 2013/12/13 62.5010192 Daiwa Capital Mkt – Nikkei 225 Index European Wts Dec 2013 C 250,000,000 2013/05/28 2013/12/13 62.7510193 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Dec 2013 D 250,000,000 2013/05/28 2013/12/13 62.5010194 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Dec 2013 E 250,000,000 2013/05/28 2013/12/13 62.75

Main Board Warrants



10195 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Dec 2013 F 250,000,000 2013/05/28 2013/12/13 62.5019477 Goldman Sachs SP (Asia) – Ch Overseas European Wts Dec 2013 A 80,000,000 2013/05/28 2013/12/30 20.4819428 Goldman Sachs SP (Asia) – HKEx European Warrants Nov 2013 B 80,000,000 2013/05/28 2013/11/28 38.7219839 Goldman Sachs SP (Asia) – Tencent European Wt Dec 2013 B 80,000,000 2013/05/28 2013/12/30 20.0019845 Goldman Sachs SP (Asia) – Tencent European Put Wt Dec 2013 C 80,000,000 2013/05/28 2013/12/30 20.0020114 Goldman Sachs SP (Asia) – ZTE European Warrants May 2014 A 80,000,000 2013/05/28 2014/05/30 20.0818785 HK Bank – HSCEI European Warrants Sep 2014 A 200,000,000 2013/05/28 2014/09/29 30.0018795 HK Bank – HSCEI European Put Warrants Oct 2013 B 200,000,000 2013/05/28 2013/10/30 30.0018796 HK Bank – HWL European Warrants Sep 2013 B 100,000,000 2013/05/28 2013/09/23 20.0018783 HK Bank – Tencent European Warrants Jul 2014 A 150,000,000 2013/05/28 2014/07/02 37.5018617 HK Bank – Tencent European Put Warrants Dec 2013 D 100,000,000 2013/05/28 2013/12/02 27.0021129 J P Morgan SP BV – HKEx European Warrants Jun 2014 A 300,000,000 2013/05/28 2014/06/20 45.0021157 J P Morgan SP BV – HSI European Warrants Dec 2013 A 300,000,000 2013/05/28 2013/12/30 75.0021132 J P Morgan SP BV – HSI European Put Warrants Nov 2013 A 300,000,000 2013/05/28 2013/11/28 75.0020267 Macquarie Bank Ltd. – Golden Eagle European Wts Aug 2014 A 120,000,000 2013/05/28 2014/08/04 30.0020169 Macquarie Bank Ltd. – Kerry Ppt European Warrants Feb 2014 A 120,000,000 2013/05/28 2014/02/05 30.0017773 Merrill Lynch Int'l & Co. C.V. – AIA Euro Wts Dec 2013 D 40,000,000 2013/05/28 2013/12/23 10.0017758 Merrill Lynch Int'l & Co. C.V. – AIA Euro Wts Apr 2014 A 40,000,000 2013/05/28 2014/04/24 10.0017752 Merrill Lynch Int'l & Co. C.V. – AIA Euro Put Wts Dec 2013 C 40,000,000 2013/05/28 2013/12/02 10.0017497 Merrill Lynch Int'l & Co. C.V. – Ch Mobile Eur Wt Oct 2013 B 80,000,000 2013/05/28 2013/10/29 13.0417680 Merrill Lynch Int'l & Co. C.V. – Ch Mobile Eur Wt Dec 2013 A 40,000,000 2013/05/28 2013/12/09 10.0017994 Merrill Lynch Int'l & Co. C.V. – Tencent Euro Wts Dec 2013 C 40,000,000 2013/05/28 2013/12/02 10.2017984 Merrill Lynch Int'l & Co. C.V. – Tencent Euro Wts Jan 2014 A 40,000,000 2013/05/28 2014/01/20 10.2017851 Merrill Lynch Int'l & Co. C.V. – Tencent Euro Wts Feb 2014 A 40,000,000 2013/05/28 2014/02/17 10.0017840 Merrill Lynch Int'l & Co. C.V. – Tencent Eu Put Wt Dec 2013B 40,000,000 2013/05/28 2013/12/10 10.0017810 Merrill Lynch Int'l & Co. C.V. – Tencent Eu Put Wt Mar 2014A 40,000,000 2013/05/28 2014/03/28 10.0018876 Standard Chartered Bank – Belle Int'l European Wts Mar 2014A 80,000,000 2013/05/28 2014/03/24 20.0017997 SGA Societe Generale Acceptance N.V. – BYD Eu Wt Nov 2013 A 40,000,000 2013/05/28 2013/11/11 12.0018094 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Nov13A 100,000,000 2013/05/28 2013/11/25 15.5020663 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Jan 2014A 180,000,000 2013/05/28 2014/01/29 36.0020785 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Mar 2014A 180,000,000 2013/05/28 2014/03/31 36.0018531 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Jan15 A 200,000,000 2013/05/28 2015/01/19 32.0020954 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Oct 13 A 150,000,000 2013/05/28 2013/10/28 22.5018052 SGA Societe Generale Acceptance N.V. – CNBM Eu Wt Jun 2014 A 150,000,000 2013/05/28 2014/06/04 22.5018079 SGA Societe Generale Acceptance N.V. – CPIC Euro Wt Dec 2013A 100,000,000 2013/05/28 2013/12/23 20.0018160 SGA Societe Generale Acceptance N.V. – Esprit Eu Wt Jun2014A 150,000,000 2013/05/28 2014/06/23 28.5018239 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Dec13A 100,000,000 2013/05/28 2013/12/23 25.0018265 SGA Societe Generale Acceptance N.V. – JIANC Eu Wt Jan 2014A 100,000,000 2013/05/28 2014/01/22 15.0018267 SGA Societe Generale Acceptance NV – NewWorld Dev Eu Wt Jan15A 100,000,000 2013/05/28 2015/01/05 15.0018344 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Sep13A 100,000,000 2013/05/28 2013/09/16 15.0021125 UBS AG – Link REIT European Warrants Jan 2014 A 100,000,000 2013/05/28 2014/01/09 25.0023369# Merrill Lynch Int'l & Co. C.V. – HSI European Wts Aug 2013 C 170,000,000 2013/05/28 2013/08/29 10.3721818 BNP Paribas Arbit Issu B.V. – China EB Int'l Eu Wts Dec 13 A 53,000,000 2013/05/29 2013/12/03 26.5021813 BNP Paribas Arbit Issu B.V. – CKI Holdings Eu Wts Feb 2014 A 80,000,000 2013/05/29 2014/02/05 20.00

Main Board Warrants



21816 BNP Paribas Arbit Issu B.V. – Esprit European Wts Sep 2014 A 72,000,000 2013/05/29 2014/09/02 18.7221821 BNP Paribas Arbit Issu B.V. – HK Gas European Wts Jan 2015 A 44,000,000 2013/05/29 2015/01/05 11.0021812 Daiwa Capital Mkt – Hutchison European Put Wts Nov 2013 A 80,000,000 2013/05/29 2013/11/28 33.6021711 Goldman Sachs SP (Asia) – BYD European Warrants Nov 2013 B 80,000,000 2013/05/29 2013/11/08 16.1621707 Goldman Sachs SP (Asia) – China Mobile Euro Wts Dec 2013 B 80,000,000 2013/05/29 2013/12/30 22.5621729 Goldman Sachs SP (Asia) – China Mobile Euro Wts Dec 2013 C 80,000,000 2013/05/29 2013/12/30 20.0821588 HK Bank – HSI European Warrants Sep 2013 I 200,000,000 2013/05/29 2013/09/27 30.0021419 HK Bank – HSI European Warrants Oct 2013 D 200,000,000 2013/05/29 2013/10/30 30.0021563 HK Bank – HSI European Warrants Dec 2013 C 200,000,000 2013/05/29 2013/12/30 30.0021416 J P Morgan Int'l Der. Ltd. – COSCO Pac Euro Wts Nov 2014 A 100,000,000 2013/05/29 2014/11/03 15.0021404 J P Morgan SP BV – HS Bank European Warrants Dec 2013 A 40,000,000 2013/05/29 2013/12/02 10.0021352 J P Morgan SP BV – HSI European Warrants Dec 2014 A 500,000,000 2013/05/29 2014/12/30 125.0021648 Macquarie Bank Ltd. – Luk Fook Hold European Wts Jul 2014 A 50,000,000 2013/05/29 2014/07/03 12.5021785 UBS AG – HSI European Warrants Nov 2013 B 300,000,000 2013/05/29 2013/11/28 75.0010198 UBS AG – Nikkei 225 European Warrants Dec 2013 C 100,000,000 2013/05/29 2013/12/13 25.0010199 UBS AG – Nikkei 225 European Warrants Dec 2013 D 100,000,000 2013/05/29 2013/12/13 25.0010196 UBS AG – Nikkei 225 European Put Warrants Dec 2013 A 100,000,000 2013/05/29 2013/12/13 25.0010197 UBS AG – Nikkei 225 European Put Warrants Dec 2013 B 100,000,000 2013/05/29 2013/12/13 25.0022244# Goldman Sachs SP (Asia) – HSI European Warrants Aug 2013 A 230,000,000 2013/05/29 2013/08/29 10.1221876 HK Bank – AIA European Warrants Dec 2013 C 100,000,000 2013/05/30 2013/12/31 25.0021922 HK Bank – HKEx European Warrants Sep 2013 A 80,000,000 2013/05/30 2013/09/24 20.0022024 HK Bank – HKEx European Warrants Dec 2013 B 80,000,000 2013/05/30 2013/12/02 20.8021859 HK Bank – Ping An European Warrants Sep 2013 A 120,000,000 2013/05/30 2013/09/24 19.2021864 HK Bank – Ping An European Warrants Oct 2013 D 100,000,000 2013/05/30 2013/10/07 28.0021852 J P Morgan SP BV – Chi Res Power European Wts Dec 2013 A 80,000,000 2013/05/30 2013/12/02 20.0021822 J P Morgan SP BV – HSBC European Warrants Dec 2013 C 200,000,000 2013/05/30 2013/12/02 50.0022211 Macquarie Bank Ltd. – CITIC Sec European Warrants Nov 2013 A 120,000,000 2013/05/30 2013/11/25 18.0022217 Macquarie Bank Ltd. – China Mobile European Wts Dec 2013 B 120,000,000 2013/05/30 2013/12/02 18.0022116 Merrill Lynch Int'l & Co. C.V. – CNOOC Eu Put Wts Mar 2014 A 60,000,000 2013/05/30 2014/03/24 12.3622156 Merrill Lynch Int'l & Co. C.V. – Sinopec Euro Wts Dec 2013 A 40,000,000 2013/05/30 2013/12/02 10.2022064 Merrill Lynch Int'l & Co. C.V. – Ch Shenhua Eu Wt Feb 2014 A 70,000,000 2013/05/30 2014/02/17 10.5022033 Merrill Lynch Int'l & Co. C.V. – Ch Shenhua Eu Wt Mar 2014 A 40,000,000 2013/05/30 2014/03/10 10.2022199 Merrill Lynch Int'l & Co. C.V. – Hutchison Eur Wt Oct 2013 D 70,000,000 2013/05/30 2013/10/15 10.7822030 Merrill Lynch Int'l & Co. C.V. – Hutchison Eur Wt Dec 2013 A 40,000,000 2013/05/30 2013/12/23 12.4022197 Merrill Lynch Int'l & Co. C.V. – Hutchison Eu Put Wt Jan 14 A 40,000,000 2013/05/30 2014/01/13 17.4022090 Merrill Lynch Int'l & Co. C.V. – JX Copper Eu Wts Jun 2014 A 60,000,000 2013/05/30 2014/06/20 10.8622259 UBS AG – China Mobile European Warrants Oct 2013 B 100,000,000 2013/05/30 2013/10/28 27.0022257 UBS AG – HKEx European Warrants Oct 2013 B 100,000,000 2013/05/30 2013/10/30 61.0022254 UBS AG – Li & Fung European Warrants Dec 2014 A 100,000,000 2013/05/30 2014/12/24 20.0022307 BOCI Asia Ltd. – CNOOC European Put Warrants Jan 2014 A 100,000,000 2013/05/31 2014/01/27 25.0022309 Macquarie Bank Ltd. – Henganintl European Wts Dec 2013 A 120,000,000 2013/05/31 2013/12/03 30.0022272 Nomura Int'l plc – CSOP A50 ETF European Warrants Dec 2013 A 50,000,000 2013/05/31 2013/12/02 12.7022273 Nomura Int'l plc – CSOP A50 ETF European Warrants Dec 2013 B 80,000,000 2013/05/31 2013/12/23 12.0022278 Nomura Int'l plc – CSOP A50 ETF European Warrants Nov 2015 A 100,000,000 2013/05/31 2015/11/02 15.20

Main Board Warrants



22282 Nomura Int'l plc – A50 China European Warrants Nov 2013 B 80,000,000 2013/05/31 2013/11/11 15.8422304 Nomura Int'l plc – A50 China European Warrants Mar 2014 A 50,000,000 2013/05/31 2014/03/31 14.8022291 Nomura Int'l plc – A50 China European Put Wts Dec 2014 A 80,000,000 2013/05/31 2014/12/01 12.8822270 Nomura Int'l plc – HKEx European Warrants Dec 2014 A 80,000,000 2013/05/31 2014/12/24 12.0022271 Nomura Int'l plc – HKEx European Warrants Dec 2015 A 50,000,000 2013/05/31 2015/12/31 12.5022265 Nomura Int'l plc – JIANC European Warrants Jan 2014 A 80,000,000 2013/05/31 2014/01/20 12.0022267 Nomura Int'l plc – JIANC European Warrants Mar 2015 A 50,000,000 2013/05/31 2015/03/31 12.9522292 Nomura Int'l plc – Zhaojin Mining European Wts Mar 2014 A 80,000,000 2013/05/31 2014/03/24 12.0022320 Standard Chartered Bank – ICBC European Warrants Nov 2013 B 100,000,000 2013/05/31 2013/11/26 15.0022260 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Oct 2013 A 120,000,000 2013/05/31 2013/10/02 18.0022262 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Oct 2013 A 50,000,000 2013/05/31 2013/10/23 26.5022263 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Nov 13 A 120,000,000 2013/05/31 2013/11/04 23.4022346 BOCI Asia Ltd. – CC Bank European Warrants Dec 2013 A 100,000,000 2013/06/03 2013/12/09 16.0022331 BOCI Asia Ltd. – China Mobile European Warrants Nov 2013 B 100,000,000 2013/06/03 2013/11/15 15.0022487 Credit Suisse AG – Tencent Holdings European Wts Jan 2014 A 100,000,000 2013/06/03 2014/01/24 18.0022460 Citigroup Global Mkt H Inc. – Galaxy Ent Eu Put Wt Dec 13 B 60,000,000 2013/06/03 2013/12/02 15.0022471 Citigroup Global Mkt H Inc. – Ping An Euro Wts Oct 2013 A 100,000,000 2013/06/03 2013/10/09 30.5022456 Citigroup Global Mkt H Inc. – Tencent European Wts Dec 2013 A 100,000,000 2013/06/03 2013/12/04 25.0022581 Bank of East Asia – JIANC European Warrants Feb 2014 A 60,000,000 2013/06/03 2014/02/24 15.0022552 Bank of East Asia – Li & Fung European Warrants Dec 2014 A 80,000,000 2013/06/03 2014/12/24 13.6022322 Goldman Sachs SP (Asia) – HSI European Put Wts Sep 2013 C 150,000,000 2013/06/03 2013/09/27 22.5022545 J P Morgan SP BV – Ch Overseas European Warrants Mar 2014 A 100,000,000 2013/06/03 2014/03/03 25.0022505 J P Morgan SP BV – ICBC European Warrants Dec 2013 A 180,000,000 2013/06/03 2013/12/02 47.7022522 J P Morgan SP BV – ICBC European Warrants Dec 2013 B 180,000,000 2013/06/03 2013/12/02 45.0022369 Standard Chartered Bank – China Life European Wts Apr 2014 A 100,000,000 2013/06/03 2014/04/01 15.0022349 Standard Chartered Bank – HSBC European Warrants Feb 2014 A 100,000,000 2013/06/03 2014/02/21 20.0022441 Standard Chartered Bank – Link REIT European Wts Dec 2013 A 80,000,000 2013/06/03 2013/12/02 12.0022433 Standard Chartered Bank – PetroChina European Wts Oct 2013 A 80,000,000 2013/06/03 2013/10/28 20.0022498 Standard Chartered Bank – Ping An European Wts Oct 2013 C 100,000,000 2013/06/03 2013/10/28 17.0010200 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Dec 13 D 100,000,000 2013/06/03 2013/12/13 25.0010201 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Dec 13 E 100,000,000 2013/06/03 2013/12/13 25.0010202 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Dec 13 F 100,000,000 2013/06/03 2013/12/13 25.0010203 SGA Societe Generale Acceptance NV – N225 Eu Put Wt Dec 2013 G 100,000,000 2013/06/03 2013/12/13 25.0010204 SGA Societe Generale Acceptance NV – N225 Eu Put Wt Dec 2013 H 100,000,000 2013/06/03 2013/12/13 25.0022615 UBS AG – Wynn Macau European Warrants Dec 2013 A 50,000,000 2013/06/03 2013/12/02 12.5022682 Credit Suisse AG – China Gas Hold European Wts Dec 2013 A 50,000,000 2013/06/04 2013/12/03 29.0022641 Credit Suisse AG – China Mobile European Warrants Oct 2013 B 70,000,000 2013/06/04 2013/10/28 10.5022631 Credit Suisse AG – CSOP A50 ETF European Warrants Sep 2013 A 80,000,000 2013/06/04 2013/09/12 31.2022691 Credit Suisse AG – Xinyi Glass European Warrants Dec 2013 A 50,000,000 2013/06/04 2013/12/03 26.5022733 Goldman Sachs SP (Asia) – Anhui Conch Euro Wts Oct 2013 A 80,000,000 2013/06/04 2013/10/22 12.0822735 Goldman Sachs SP (Asia) – Ch LongYuan Euro Wts Dec 2013 A 60,000,000 2013/06/04 2013/12/30 32.7022738 Goldman Sachs SP (Asia) – Huaneng European Wts Jan 2014 A 60,000,000 2013/06/04 2014/01/30 40.4422734 Goldman Sachs SP (Asia) – Lenovo European Wts Jan 2014 A 68,000,000 2013/06/04 2014/01/30 24.2822732 Goldman Sachs SP (Asia) – PetroChina European Wts Dec 2013 A 80,000,000 2013/06/04 2013/12/30 29.36

Main Board Warrants



10205 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Dec 13 I 150,000,000 2013/06/04 2013/12/13 23.2522621 UBS AG – China Life European Warrants Jan 2014 A 300,000,000 2013/06/04 2014/01/23 54.0022714 UBS AG – CSOP A50 ETF European Warrants Oct 2013 A 50,000,000 2013/06/04 2013/10/28 17.5010208 UBS AG – Nikkei 225 European Warrants Dec 2013 G 100,000,000 2013/06/04 2013/12/13 25.0010209 UBS AG – Nikkei 225 European Warrants Dec 2013 H 100,000,000 2013/06/04 2013/12/13 25.0010206 UBS AG – Nikkei 225 European Put Warrants Dec 2013 E 100,000,000 2013/06/04 2013/12/13 25.0010207 UBS AG – Nikkei 225 European Put Warrants Dec 2013 F 100,000,000 2013/06/04 2013/12/13 25.0022622 UBS AG – Tencent Holdings European Warrants Jun 2014 A 200,000,000 2013/06/04 2014/06/24 30.0022902 Daiwa Capital Mkt – China Mobile European Wts Oct 2013 A 128,000,000 2013/06/05 2013/10/02 30.7222919 Daiwa Capital Mkt – China Mobile European Wts Nov 2013 C 128,000,000 2013/06/05 2013/11/01 21.7622890 Goldman Sachs SP (Asia) – CAM CSI300 Euro Put Wts Mar 2014 A 80,000,000 2013/06/05 2014/03/31 20.0022879 Goldman Sachs SP (Asia) – China Life Euro Wts Mar 2014 A 120,000,000 2013/06/05 2014/03/28 18.0022842 Goldman Sachs SP (Asia) – A50 China European Wts Dec 2013 A 80,000,000 2013/06/05 2013/12/30 31.6022849 Goldman Sachs Sp (Asia) – ICBC European Warrants Mar 2014 A 68,000,000 2013/06/05 2014/03/28 17.2022880 Goldman Sachs SP (Asia) – China Mengniu Euro Wt Dec 2013 A 80,000,000 2013/06/05 2013/12/31 20.2422838 Macquarie Bank Ltd. – Xinyi Glass European Wts Dec 2013 A 80,000,000 2013/06/05 2013/12/06 22.7222739 Merrill Lynch Int'l & Co. C.V. – A50 China Eur Wt Sep 2013 A 80,000,000 2013/06/05 2013/09/13 12.0022746 Merrill Lynch Int'l & Co. C.V. – A50 China Eur Wt Oct 2013 A 40,000,000 2013/06/05 2013/10/28 15.4022820 Standard Chartered Bank – Anhui Conch Euro Wts Jan 2014 A 100,000,000 2013/06/05 2014/01/17 25.0022781 Standard Chartered Bank – BYD European Warrants Dec 2013 A 50,000,000 2013/06/05 2013/12/04 12.5022806 Standard Chartered Bank – China Mobile Euro Wts Nov 2013 C 100,000,000 2013/06/05 2013/11/11 16.0022804 Standard Chartered Bank – Lenovo European Wts Dec 2013 B 100,000,000 2013/06/05 2013/12/04 25.0022815 Standard Chartered Bank – YZ Coal European Wts Dec 2013 B 50,000,000 2013/06/05 2013/12/20 12.5022889 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Dec 2013 A 100,000,000 2013/06/05 2013/12/16 15.0022755 SGA Societe Generale Acceptance N.V. – PICC P&C Eu Wt May14A 150,000,000 2013/06/05 2014/05/26 23.2522946 UBS AG – China Mobile European Warrants Dec 2013 A 100,000,000 2013/06/05 2013/12/23 15.0022833 UBS AG – Hutchison European Warrants Oct 2013 C 100,000,000 2013/06/05 2013/10/28 43.0022941 UBS AG – Link REIT European Warrants Dec 2013 A 80,000,000 2013/06/05 2013/12/16 20.0023020 BNP Paribas Arbit Issu B.V. – BankComm Euro Wts Jan 2014 A 52,000,000 2013/06/06 2014/01/03 13.5223027 BNP Paribas Arbit Issu B.V. – CQRC Bank Euro Wts Feb 2014 A 30,000,000 2013/06/06 2014/02/05 10.2023021 BNP Paribas Arbit Issu B.V. – CSR European Wts Jan 2014 A 27,000,000 2013/06/06 2014/01/03 14.5823037 BNP Paribas Arbit Issu B.V. – Huaneng Euro Wts Jan 2014 A 38,000,000 2013/06/06 2014/01/03 12.1623100 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Dec 2013 A 100,000,000 2013/06/06 2013/12/03 20.0023039 BNP Paribas Arbit Issu B.V. – Zoomlion Euro Wts Jan 2016 A 100,000,000 2013/06/06 2016/01/05 25.0023064 Daiwa Capital Mkt – Agricultural Bank Euro Put Wt Apr 2014 A 80,000,000 2013/06/06 2014/04/01 20.0023090 Daiwa Capital Mkt – CNOOC European Put Warrants Jun 2014 A 80,000,000 2013/06/06 2014/06/03 20.0023067 Daiwa Capital Mkt – Ping An European Warrants Nov 2013 C 108,000,000 2013/06/06 2013/11/01 41.0423066 Daiwa Capital Mkt – Ping An European Put Warrants Dec 2013 A 80,000,000 2013/06/06 2013/12/05 20.0023016 Goldman Sachs SP (Asia) – HSBC European Warrants Nov 2013 C 80,000,000 2013/06/06 2013/11/18 15.2823012 Goldman Sachs SP (Asia) – Link REIT European Wts May 2014 A 80,000,000 2013/06/06 2014/05/30 20.0023006 Goldman Sachs SP (Asia) – Swrie Pacific A Euro Wt Dec 2013 A 68,000,000 2013/06/06 2013/12/30 17.0722998 J P Morgan SP BV – BankComm European Warrants Dec 2013 A 80,000,000 2013/06/06 2013/12/05 20.0022996 J P Morgan SP BV – Sinopec Corp European Warrants Dec 2013 A 150,000,000 2013/06/06 2013/12/05 37.5022968 J P Morgan SP BV – CSOP A50 ETF European Warrants Dec 2013 A 200,000,000 2013/06/06 2013/12/30 50.00

Main Board Warrants



22992 J P Morgan SP BV – China Shenhua European Wts Feb 2014 A 200,000,000 2013/06/06 2014/02/04 50.0022955 J P Morgan SP BV – Datang European Wts Jan 2014 A 40,000,000 2013/06/06 2014/01/02 10.6022948 J P Morgan SP BV – SHK Ppt European Warrants Jan 2014 A 100,000,000 2013/06/06 2014/01/02 25.2023004 Macquarie Bank Ltd. – GAC European Wts Dec 2014 A 120,000,000 2013/06/06 2014/12/02 30.0023000 Macquarie Bank Ltd. – Link REIT European Warrants Mar 2014 B 120,000,000 2013/06/06 2014/03/04 30.0023060 Standard Chartered Bank – Agricultural Bk Eur Wts Jan 2014 A 80,000,000 2013/06/06 2014/01/30 14.4023063 Standard Chartered Bank – A50 China Euro Warrants Dec 2013 B 100,000,000 2013/06/06 2013/12/05 25.0023052 Standard Chartered Bank – Ping An European Wts Feb 2014 A 100,000,000 2013/06/06 2014/02/06 25.0023056 Standard Chartered Bank – Tencent Hldg Euro Wts Jan 2014 A 100,000,000 2013/06/06 2014/01/24 19.5023055 Standard Chartered Bank – Tencent Hldg Eu Put Wts Dec 2013 C 100,000,000 2013/06/06 2013/12/05 30.0023099 UBS AG – Cheung Kong European Warrants Dec 2013 B 50,000,000 2013/06/06 2013/12/09 22.5023223 Credit Suisse AG – HSI European Warrants Nov 2013 B 150,000,000 2013/06/07 2013/11/28 25.5023233 Credit Suisse AG – Link REIT European Warrants Sep 2013 A 70,000,000 2013/06/07 2013/09/09 10.5023234 Credit Suisse AG – New World Dev European Wts Oct 2014 A 70,000,000 2013/06/07 2014/10/13 10.5023244 Credit Suisse AG – New World Dev European Wts Dec 2014 A 70,000,000 2013/06/07 2014/12/22 12.6010213 Daiwa Capital Mkt – Nikkei 225 Index European Wts Dec 2013 J 250,000,000 2013/06/07 2013/12/13 62.5010210 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Dec 2013 G 250,000,000 2013/06/07 2013/12/13 62.5010211 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Dec 2013 H 250,000,000 2013/06/07 2013/12/13 62.5010212 Daiwa Capital Mkt – Nikkei 225 Index Euro Put Wts Dec 2013 I 250,000,000 2013/06/07 2013/12/13 62.5023144 HK Bank – AIA European Warrants Dec 2013 D 120,000,000 2013/06/07 2013/12/30 30.0023178 HK Bank – China Mobile European Warrants Dec 2013 B 120,000,000 2013/06/07 2013/12/30 30.0023203 HK Bank – China Mobile European Warrants Dec 2013 C 120,000,000 2013/06/07 2013/12/09 33.6023156 HK Bank – Geely Auto European Warrants Dec 2013 A 60,000,000 2013/06/07 2013/12/09 19.2023169 HK Bank – HSI European Put Warrants Nov 2013 C 250,000,000 2013/06/07 2013/11/28 47.5023113 HK Bank – PICC Group European Warrants Dec 2013 B 80,000,000 2013/06/07 2013/12/09 20.0023220 Macquarie Bank Ltd. – A50 China European Warrants Jan 2014 A 50,000,000 2013/06/07 2014/01/03 12.5023222 Macquarie Bank Ltd. – A50 China European Put Wts Jan 2014 B 50,000,000 2013/06/07 2014/01/03 12.5023206 SGA Societe Generale Acceptance N.V – Ch Overseas Eu Wt Dec13A 100,000,000 2013/06/07 2013/12/30 15.5023208 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Oct 2013 B 80,000,000 2013/06/07 2013/10/09 20.0023210 SGA Societe Generale Acceptance N.V. – Link REIT Eu Wt Apr14A 60,000,000 2013/06/07 2014/04/28 13.2023212 SGA Societe Generale Acceptance N.V. – SHK P Eu Wt Dec 2013A 50,000,000 2013/06/07 2013/12/30 13.0023217 UBS AG – CC Bank European Warrants Oct 2013 A 100,000,000 2013/06/07 2013/10/07 17.0023291 BNP Paribas Arbit Issu B.V. – Cheung Kong Eu Put Wt Jan 14 A 70,000,000 2013/06/10 2014/01/03 17.5023287 BNP Paribas Arbit Issu B.V. – HSBC Euro Put Wts Jan 2014 A 100,000,000 2013/06/10 2014/01/03 26.0023286 BNP Paribas Arbit Issu B.V. – SHK Ppt Eu Put Wts Jan 2014 A 100,000,000 2013/06/10 2014/01/03 26.0023270 Daiwa Capital Mkt – China Telecom European Wts Feb 2014 A 80,000,000 2013/06/10 2014/02/10 20.0023248 J P Morgan SP BV – Sinopharm European Warrants Jan 2014 A 80,000,000 2013/06/10 2014/01/02 20.0023282 Macquarie Bank Ltd. – CITIC Pacific European Wts Jan 2014 B 80,000,000 2013/06/10 2014/01/03 20.0023256 Macquarie Bank Ltd. – China Life European Wts Jan 2014 A 55,000,000 2013/06/10 2014/01/03 10.1823260 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Sep 2013 B 100,000,000 2013/06/10 2013/09/25 27.5021969# Merrill Lynch Int'l & Co. C.V. – A50 China Eur Wt Sep 2014 A 110,000,000 2013/06/10 2014/09/15 10.1223439 BNP Paribas Arbit Issu B.V. – Cheung Kong Euro Wt Jan 2014 B 65,000,000 2013/06/11 2014/01/03 18.2023444 BNP Paribas Arbit Issu B.V. – Fortune Reit Eu Wts Dec 2015 A 50,000,000 2013/06/11 2015/12/01 12.5023426 BNP Paribas Arbit Issu B.V. – Geely Auto Euro Wts Jan 2014 A 100,000,000 2013/06/11 2014/01/03 34.00

Main Board Warrants



23425 BNP Paribas Arbit Issu B.V. – Lenovo European Wts Jan 2014 A 90,000,000 2013/06/11 2014/01/03 33.3023422 BNP Paribas Arbit Issu B.V. – Ping An European Wt Jan 2014 A 100,000,000 2013/06/11 2014/01/03 25.0023380 Citigroup Global Mkt H Inc. – AIA European Wts Dec 2013 B 100,000,000 2013/06/11 2013/12/16 41.0023355 Citigroup Global Mkt H Inc. – Ping An Euro Wts Dec 2013 A 100,000,000 2013/06/11 2013/12/10 46.0023375 Citigroup Global Mkt H Inc. – SJM Holdings Eu Wt Dec 2013 A 100,000,000 2013/06/11 2013/12/23 25.0023354 Citigroup Global Mkt H Inc. – Tencent Euro Put Wt Dec 2013 B 70,000,000 2013/06/11 2013/12/10 17.5023351 Goldman Sachs SP (Asia) – Cheung Kong Euro Wts Jan 2014 A 80,000,000 2013/06/11 2014/01/30 24.3223420 Goldman Sachs SP (Asia) – Ch Overseas Euro Put Wt Feb 2014 A 80,000,000 2013/06/11 2014/02/27 20.0023345 Goldman Sachs SP (Asia) – China Railway Euro Wts Feb 2014 A 68,000,000 2013/06/11 2014/02/27 17.6823346 Goldman Sachs SP (Asia) – Henganintl European Wts Oct 2015 A 100,000,000 2013/06/11 2015/10/02 15.4023353 Goldman Sachs SP (Asia) – Poly HK Inv Euro Wts Jan 2014 A 60,000,000 2013/06/11 2014/01/30 19.5623404 Macquarie Bank Ltd. – Galaxy Ent European Wts Jan 2014 B 40,000,000 2013/06/11 2014/01/03 10.0023403 Macquarie Bank Ltd. – Galaxy Ent European Put Wts Jan 2014 A 40,000,000 2013/06/11 2014/01/03 10.0023312 Standard Chartered Bank – Foxconn European Wts Dec 2013 A 40,000,000 2013/06/11 2013/12/10 16.0023318 Standard Chartered Bank – Foxconn European Wts Dec 2016 A 100,000,000 2013/06/11 2016/12/02 25.0023332 Standard Chartered Bank – Galaxy Ent European Wts Jan 2014 B 100,000,000 2013/06/11 2014/01/03 25.0023337 Standard Chartered Bank – Sands China Euro Wts Jan 2014 A 100,000,000 2013/06/11 2014/01/03 25.0023297 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Dec14 A 150,000,000 2013/06/11 2014/12/29 27.0023301 SGA Societe Generale Acceptance N.V. – Shenhua Eu Wt Jan 14 A 100,000,000 2013/06/11 2014/01/20 18.0023303 SGA Societe Generale Acceptance N.V. – KECL Eu Wt Dec 2014 A 100,000,000 2013/06/11 2014/12/22 15.0023309 SGA Societe Generale Acceptance N.V. – Li & Fung Eu Wt Dec14 A 100,000,000 2013/06/11 2014/12/29 18.5023397 SGA Societe Generale Acceptance N.V. – Lenovo Eu Wt Oct 14 A 150,000,000 2013/06/11 2014/10/06 22.5023401 SGA Societe Generale Acceptance N.V. – Zhaojin Eu Wt Aug14 A 100,000,000 2013/06/11 2014/08/11 15.0023408 UBS AG – Ping An European Warrants Dec 2013 A 100,000,000 2013/06/11 2013/12/09 15.0021237# Standard Chartered Bank – PetroChina European Wts Nov 2013 A 420,000,000 2013/06/11 2013/11/01 10.0823507 BOCI Asia Ltd. – CSOP A50 ETFEuropean Warrants Sep 2013 A 100,000,000 2013/06/13 2013/09/16 27.0023519 Credit Suisse AG – CC Bank European Warrants Sep 2013 C 70,000,000 2013/06/13 2013/09/23 10.5023550 Credit Suisse AG – CITIC Sec European Warrants Nov 2013 A 70,000,000 2013/06/13 2013/11/29 10.5023547 Credit Suisse AG – CSR European Warrants Dec 2013 A 50,000,000 2013/06/13 2013/12/13 17.5023518 Credit Suisse AG – Geely Auto European Warrants Oct 2013 A 50,000,000 2013/06/13 2013/10/18 11.5023535 Credit Suisse – Henderson Land European Warrants Dec 2013 A 50,000,000 2013/06/13 2013/12/13 16.5023512 Credit Suisse AG – SHK Ppt European Warrants Oct 2013 B 60,000,000 2013/06/13 2013/10/15 19.2023522 Credit Suisse AG – Wharf European Warrants Dec 2013 A 50,000,000 2013/06/13 2013/12/13 20.0023551 Goldman Sachs SP (Asia) – Lenovo European Put Wts Jan 2014 B 68,000,000 2013/06/13 2014/01/30 47.7423472 HK Bank – Anhui Conch European Warrants Nov 2013 B 100,000,000 2013/06/13 2013/11/18 15.0023470 HK Bank – Cheung Kong European Warrants Dec 2013 B 80,000,000 2013/06/13 2013/12/31 24.8023466 HK Bank – China Life European Warrants Oct 2013 C 128,000,000 2013/06/13 2013/10/17 20.4823467 HK Bank – China Life European Warrants Feb 2014 A 128,000,000 2013/06/13 2014/02/04 19.2023477 Macquarie Bank Ltd. – Hang Seng Bank European Wts Dec 2013 A 120,000,000 2013/06/13 2013/12/03 18.0023480 Macquarie Bank Ltd. – Swrie Pacific A Euro Wts Feb 2014 A 120,000,000 2013/06/13 2014/02/05 30.0023454 Merrill Lynch Int'l & Co. C.V. – HKEx Euro Wts Oct 2013 B 40,000,000 2013/06/13 2013/10/23 22.8023460 Merrill Lynch Int'l & Co. C.V. – SHK Ppt Euro Wts Dec 2013 A 40,000,000 2013/06/13 2013/12/23 10.2023482 Standard Chartered Bank – HSI European Warrants Nov 2013 A 100,000,000 2013/06/13 2013/11/28 15.0023494 Standard Chartered Bank – HSI European Put Wts Oct 2013 A 150,000,000 2013/06/13 2013/10/30 28.50

Main Board Warrants



23493 Standard Chartered Bank – HSI European Put Wts Nov 2013 B 100,000,000 2013/06/13 2013/11/28 15.0023496 Standard Chartered Bank – Wynn Macau European Wts Nov 2013 A 60,000,000 2013/06/13 2013/11/25 13.2023508 SGA Societe Generale Acceptance N.V – Anhui Conch Eu Wt Dec13B 100,000,000 2013/06/13 2013/12/16 25.0023476 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Sep14A 100,000,000 2013/06/13 2014/09/01 15.0023509 UBS AG – HSI European Put Warrants Oct 2013 D 300,000,000 2013/06/13 2013/10/30 45.0023686 Daiwa Capital Mkt – CCB European Warrants Oct 2013 B 128,000,000 2013/06/14 2013/10/08 32.0023715 Daiwa Capital Mkt – CCB European Warrants Dec 2013 B 128,000,000 2013/06/14 2013/12/13 32.0023679 Bank of East Asia – CITIC Pacific European Wts Oct 2014 A 80,000,000 2013/06/14 2014/10/28 13.6023683 Bank of East Asia – CM Bank European Warrants Dec 2013 A 80,000,000 2013/06/14 2013/12/24 12.0023674 Bank of East Asia – China Overseas Eur Put Wts Jan 2014 B 60,000,000 2013/06/14 2014/01/07 15.0023682 Bank of East Asia – PICC European Warrants May 2014 A 80,000,000 2013/06/14 2014/05/23 12.0023585 Goldman Sachs SP (Asia) – China Mobile Euro Wts Nov 2013 A 100,000,000 2013/06/14 2013/11/04 15.2023579 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Dec 2013 B 80,000,000 2013/06/14 2013/12/30 20.2423648 Goldman Sachs SP (Asia) – HSI European Put Wts Oct 2013 D 150,000,000 2013/06/14 2013/10/30 22.6523646 Goldman Sachs SP (Asia) – HSI European Put Wts Dec 2013 C 150,000,000 2013/06/14 2013/12/30 37.8023647 Goldman Sachs SP (Asia) – HSI European Put Wts Dec 2013 D 150,000,000 2013/06/14 2013/12/30 23.7023589 HK Bank – Cheung Kong European Warrants Oct 2013 A 150,000,000 2013/06/14 2013/10/25 24.0023592 HK Bank – Sands China European Warrants Oct 2013 B 80,000,000 2013/06/14 2013/10/31 27.2023721 J P Morgan SP BV – HSI European Warrants Dec 2013 B 300,000,000 2013/06/14 2013/12/30 75.0023726 J P Morgan SP BV – HSI European Warrants Dec 2013 C 300,000,000 2013/06/14 2013/12/30 75.0023673 Macquarie Bank Ltd. – Country Garden European Wts Dec 2013 A 50,000,000 2013/06/14 2013/12/13 12.5023599 Macquarie Bank Ltd. – Foxconn European Warrants Jan 2014 A 50,000,000 2013/06/14 2014/01/03 18.5523604 Macquarie Bank Ltd. – Zoomlion European Warrants Dec 2015 A 120,000,000 2013/06/14 2015/12/28 18.0023627 Standard Chartered Bank – Dongfeng European Wts Nov 2013 A 100,000,000 2013/06/14 2013/11/25 15.0023638 Standard Chartered Bank – Dongfeng European Wts Dec 2014 A 100,000,000 2013/06/14 2014/12/03 22.0023639 Standard Chartered Bank – Wharf European Warrants Nov 2013 A 100,000,000 2013/06/14 2013/11/26 17.5023654 SGA Societe Generale Acceptance N.V. – CMB Eu Wts Dec 2013 A 150,000,000 2013/06/14 2013/12/30 22.5023655 SGA Societe Generale Acceptance N.V. – CPIC Eur Wt Oct 2013 A 80,000,000 2013/06/14 2013/10/30 12.0010214 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Dec 13 J 150,000,000 2013/06/14 2013/12/13 37.5010215 SGA Societe Generale Acceptance NV – N225 Eu Put Wt Dec 2013 K 150,000,000 2013/06/14 2013/12/13 37.5010217 UBS AG – Nikkei 225 European Warrants Dec 2013 J 100,000,000 2013/06/14 2013/12/13 25.0010218 UBS AG – Nikkei 225 European Warrants Dec 2013 K 100,000,000 2013/06/14 2013/12/13 15.0010216 UBS AG – Nikkei 225 European Put Warrants Dec 2013 I 100,000,000 2013/06/14 2013/12/13 25.0023662 UBS AG – PetroChina European Warrants Nov 2013 A 70,000,000 2013/06/14 2013/11/04 10.5023917 BOCI Asia Ltd. – Sands China European Warrants Nov 2013 A 100,000,000 2013/06/17 2013/11/20 22.0024024 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Aug 2014 A 100,000,000 2013/06/17 2014/08/04 25.0023992 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Oct 2013 C 100,000,000 2013/06/17 2013/10/03 16.0023987 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Jan 2014 A 100,000,000 2013/06/17 2014/01/27 15.0024026 BNP Paribas Arbit Issu B.V. – HSBC European Wts Jan 2014 B 100,000,000 2013/06/17 2014/01/03 25.0024006 BNP Paribas Arbit Issu B.V. – ICBC European Wts Aug 2014 A 100,000,000 2013/06/17 2014/08/04 25.0023984 Credit Suisse AG – Ch Agri-Ind European Warrants Dec 2013 A 50,000,000 2013/06/17 2013/12/16 12.5023976 Credit Suisse AG – China Mobile European Warrants Oct 2013 C 70,000,000 2013/06/17 2013/10/02 10.5023954 Credit Suisse AG – China Mobile European Put Wts Nov 2013 A 70,000,000 2013/06/17 2013/11/29 10.5023947 Credit Suisse AG – HKEx European Warrants Oct 2013 B 50,000,000 2013/06/17 2013/10/28 21.00

Main Board Warrants



23951 Credit Suisse AG – Hutchison European Warrants Sep 2013 B 70,000,000 2013/06/17 2013/09/30 10.5023986 Credit Suisse AG – China Mengniu European Warrants Dec2013 A 50,000,000 2013/06/17 2013/12/16 12.5023979 Credit Suisse AG – Nine Dragons European Warrants Dec 2013 B 50,000,000 2013/06/17 2013/12/16 21.5023960 Credit Suisse AG – PICC Group European Warrants Dec 2013 A 70,000,000 2013/06/17 2013/12/02 10.5023985 Credit Suisse AG – Sinopharm European Warrants Dec 2013 A 50,000,000 2013/06/17 2013/12/16 12.5023909 HK Bank – CC Bank European Warrants Nov 2013 A 120,000,000 2013/06/17 2013/11/26 18.0023905 HK Bank – China Mobile European Warrants Dec 2013 D 120,000,000 2013/06/17 2013/12/23 30.0023872 HK Bank – Link REIT European Warrants Feb 2014 A 120,000,000 2013/06/17 2014/02/04 30.0023912 HK Bank – PetroChina European Warrants Jan 2014 A 120,000,000 2013/06/17 2014/01/06 30.0023857 HK Bank – Zoomlion European Warrants Dec 2015 A 120,000,000 2013/06/17 2015/12/28 18.0023966 J P Morgan SP BV – Lenovo European Warrants Oct 2013 A 80,000,000 2013/06/17 2013/10/28 20.0023962 Macquarie Bank Ltd. – Angang Steel European Wts Jan 2014 B 40,000,000 2013/06/17 2014/01/03 10.0023964 Macquarie Bank Ltd. – CLP European Warrants May 2014 A 120,000,000 2013/06/17 2014/05/05 30.0023961 Macquarie Bank Ltd. – Ping An European Warrants Jan 2014 A 40,000,000 2013/06/17 2014/01/03 10.0023748 Merrill Lynch Int'l & Co. C.V. – CK(H) Euro Wts Dec 2013 B 40,000,000 2013/06/17 2013/12/02 10.6023736 Merrill Lynch Int'l & Co. C.V. – Ch Mobile Eur Wt Nov 2013 A 80,000,000 2013/06/17 2013/11/01 12.0023734 Merrill Lynch Int'l & Co. C.V. – Ch Mobile Eur Wt Jan 2014 B 40,000,000 2013/06/17 2014/01/13 10.0023752 Merrill Lynch Int'l & Co. C.V. – A50 China Eur Wt Nov 2013 A 80,000,000 2013/06/17 2013/11/18 12.0023753 Merrill Lynch Int'l & Co. C.V. – A50 China Eur Wt Dec 2013 A 80,000,000 2013/06/17 2013/12/02 12.0023758 Merrill Lynch Int'l & Co. C.V. – A50 China Eur Wt Dec 2013 B 40,000,000 2013/06/17 2013/12/18 10.0023771 Merrill Lynch Int'l & Co. C.V. – A50 China Eur Wt Dec 2013 C 40,000,000 2013/06/17 2013/12/17 10.0023791 Merrill Lynch Int'l & Co. C.V. – HSCEI Euro Wts Sep 2013 B 100,000,000 2013/06/17 2013/09/27 15.7023809 Merrill Lynch Int'l & Co. C.V. – HSI European Wts Oct 2013 E 100,000,000 2013/06/17 2013/10/30 15.5023793 Merrill Lynch Int'l & Co. C.V. – HSI European Wts Nov 2013 D 100,000,000 2013/06/17 2013/11/28 15.1023794 Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Oct 2013 C 100,000,000 2013/06/17 2013/10/30 15.5023805 Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Oct 2013 D 100,000,000 2013/06/17 2013/10/30 15.6023772 Merrill Lynch Int'l & Co. C.V. – HSI Euro Put Wts Dec 2013 D 100,000,000 2013/06/17 2013/12/30 25.0023937 Nomura Int'l plc – China Life European Warrants Dec 2013 A 80,000,000 2013/06/17 2013/12/24 12.1623839 Nomura Int'l plc – Henganintl European Warrants Sep 2015 A 80,000,000 2013/06/17 2015/09/24 12.9623831 Nomura Int'l plc – PetroChina European Warrants Oct 2013 A 80,000,000 2013/06/17 2013/10/30 12.0023828 Nomura Int'l plc – Shui On Land EEuropean Warrants Jun2014 A 50,000,000 2013/06/17 2014/06/18 12.5023923 Nomura Int'l plc – SMIC European Warrants Jun 2015 A 50,000,000 2013/06/17 2015/06/18 12.5523932 Standard Chartered Bank – Minsheng Bank Euro Wts Dec 2014 A 100,000,000 2013/06/17 2014/12/22 17.4023927 Standard Chartered Bank – HKEx European Warrants Dec 2013 A 80,000,000 2013/06/17 2013/12/16 32.0023967 Standard Chartered Bank – PICC Group European Wts Dec 2013 A 100,000,000 2013/06/17 2013/12/02 15.0023975 Standard Chartered Bank – PICC Group European Wts Jan 2014 A 100,000,000 2013/06/17 2014/01/06 25.0023931 Standard Chartered Bank – Wharf European Warrants Nov 2013 B 100,000,000 2013/06/17 2013/11/25 30.5023814 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Dec 2013 A 100,000,000 2013/06/17 2013/12/16 25.0023938 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Dec 13 A 150,000,000 2013/06/17 2013/12/02 27.0023827 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Nov 2013 A 100,000,000 2013/06/17 2013/11/25 17.5023939 SGA Societe Generale Acceptance N.V. – PICC Gp Eu Wts Jan14A 50,000,000 2013/06/17 2014/01/13 12.5024003 UBS AG – HSI European Warrants Oct 2013 E 300,000,000 2013/06/17 2013/10/30 54.0023841 UBS AG – HSI European Put Warrants Dec 2013 E 300,000,000 2013/06/17 2013/12/30 45.0023993 UBS AG – KECL European Warrants Dec 2014 A 80,000,000 2013/06/17 2014/12/15 12.00

Main Board Warrants



24107 BOCI Asia Ltd. – Sinopec Corp European Warrants Dec 2013 A 100,000,000 2013/06/18 2013/12/05 15.0024108 Credit Suisse AG – Sinopec Corp European Warrants Dec 2013 A 60,000,000 2013/06/18 2013/12/20 15.0024110 Citigroup Global Mkt H Inc. – HSI European Wts Oct 2013 A 100,000,000 2013/06/18 2013/10/30 15.0024105 HK Bank – BOCL European Warrants Dec 2013 A 100,000,000 2013/06/18 2013/12/10 16.0024090 HK Bank – China Life European Warrants Oct 2013 D 120,000,000 2013/06/18 2013/10/07 18.0024104 HK Bank – HSI European Put Warrants Oct 2013 E 150,000,000 2013/06/18 2013/10/30 22.5024103 HK Bank – HSI European Put Warrants Dec 2013 D 120,000,000 2013/06/18 2013/12/30 30.0024041 J P Morgan SP BV – China Agri European Warrants Dec 2013 A 50,000,000 2013/06/18 2013/12/31 12.5024029 J P Morgan SP BV – China Unicom European Warrants Apr 2014 A 200,000,000 2013/06/18 2014/04/22 30.0024027 J P Morgan SP BV – PICC Group European Warrants Dec 2013 A 100,000,000 2013/06/18 2013/12/31 25.0024088 Macquarie Bank Ltd. – Bank of EA European Wts Dec 2014 A 120,000,000 2013/06/18 2014/12/02 30.0024075 Macquarie Bank Ltd. – Minsheng Bank European Wts Jan 2014 A 80,000,000 2013/06/18 2014/01/03 20.0024106 Macquarie Bank Ltd. – Tencent European Put Wts Jan 2014 B 200,000,000 2013/06/18 2014/01/03 48.2024045 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Dec 2013 A 300,000,000 2013/06/18 2013/12/30 75.0024067 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Dec 13 B 300,000,000 2013/06/18 2013/12/30 78.0024043 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Nov13B 100,000,000 2013/06/18 2013/11/18 20.0024111 UBS AG – China Mobile European Warrants Dec 2013 B 100,000,000 2013/06/18 2013/12/17 30.0024114 UBS AG – HSBC European Warrants Nov 2013 C 80,000,000 2013/06/18 2013/11/18 13.6024112 UBS AG – SHK Ppt European Warrants Dec 2013 A 80,000,000 2013/06/18 2013/12/30 26.4024113 UBS AG – SHK Ppt European Warrants Dec 2013 B 80,000,000 2013/06/18 2013/12/19 12.0024173 BNP Paribas Arbit Issu B.V. – Agricultural Bank Eu Wt Feb14A 100,000,000 2013/06/19 2014/02/05 15.0024138 BNP Paribas Arbit Issu B.V. – Angang Steel Eur Wt Feb 2014 A 22,000,000 2013/06/19 2014/02/05 10.3424148 BNP Paribas Arbit Issu B.V. – Chi Resources Eu Wt Jul 2014 A 78,000,000 2013/06/19 2014/07/03 21.0624196 BNP Paribas Arbit Issu B.V. – Ch Shenhua Euro Wts Mar 2014 A 100,000,000 2013/06/19 2014/03/04 15.0024172 BNP Paribas Arbit Issu B.V. – China Tel Euro Wts Feb 2014 A 85,000,000 2013/06/19 2014/02/05 21.2524202 BNP Paribas Arbit Issu B.V. – HS H-SHARE Euro Wts Jan 2014 A 38,000,000 2013/06/19 2014/01/03 10.6424198 BNP Paribas Arbit Issu B.V. – Lumena Newmat Eu Wt Jul 2014 A 43,000,000 2013/06/19 2014/07/03 10.7524188 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Jan 2014 B 92,000,000 2013/06/19 2014/01/03 23.9224237 Credit Suisse AG – Anhui Conch European Warrants Jan 2014 A 50,000,000 2013/06/19 2014/01/27 12.5024242 Credit Suisse AG – CITIC Bank European Warrants Dec 2013 A 50,000,000 2013/06/19 2013/12/20 17.0024234 Credit Suisse AG – Evergrande European Warrants Oct 2013 A 70,000,000 2013/06/19 2013/10/28 11.2024233 Credit Suisse AG – HSBC European Wts Sep 2013 D 70,000,000 2013/06/19 2013/09/23 12.6024229 Credit Suisse AG – HSI European Warrants Oct 2013 F 150,000,000 2013/06/19 2013/10/30 25.5024230 Credit Suisse AG – HSI European Put Warrants Dec 2013 C 150,000,000 2013/06/19 2013/12/30 22.5024238 Credit Suisse AG – KECL European Warrants Dec 2013 A 50,000,000 2013/06/19 2013/12/20 33.5024262 Credit Suisse AG – Shenzhen Int'l European Wts Apr 2014 A 50,000,000 2013/06/19 2014/04/28 12.5024131 Goldman Sachs SP (Asia) – CC Bank European Wts Dec 2013 B 80,000,000 2013/06/19 2013/12/30 20.1624136 Goldman Sachs SP (Asia) – China Life Euro Wts Dec 2013 A 120,000,000 2013/06/19 2013/12/30 20.0424122 Goldman Sachs SP (Asia) – China Mobile Euro Wts Dec 2013 D 120,000,000 2013/06/19 2013/12/30 30.1224129 Goldman Sachs SP (Asia) – Sinopec Corp European Wts Dec 2013 A 120,000,000 2013/06/19 2013/12/30 30.4824133 Goldman Sachs SP (Asia) – China Shenhua Euro Wts Jan 2014 A 80,000,000 2013/06/19 2014/01/30 12.5624120 HK Bank – CITIC Sec European Warrants Apr 2014 A 100,000,000 2013/06/19 2014/04/30 25.0024121 HK Bank – Sinopec Corp European Warrants Jan 2014 A 80,000,000 2013/06/19 2014/01/06 20.0024119 Macquarie Bank Ltd. – BankComm European Warrants Dec 2013 A 80,000,000 2013/06/19 2013/12/03 12.00

Main Board Warrants



24214 Macquarie Bank Ltd. – China Agri European Wts Jan 2014 A 80,000,000 2013/06/19 2014/01/03 20.0024206 Macquarie Bank Ltd. – Cheung Kong European Wts Jan 2014 B 120,000,000 2013/06/19 2014/01/03 30.0024215 Macquarie Bank Ltd. – New World Dev European Wts Jan 2015 B 120,000,000 2013/06/19 2015/01/05 18.0024220 Macquarie Bank Ltd. – SHK Ppt European Warrants Jan 2014 A 120,000,000 2013/06/19 2014/01/03 18.0024221 SGA Societe Generale Acceptance N.V. – HWL Eur Wt Oct 2013 C 100,000,000 2013/06/19 2013/10/30 26.0024222 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Dec 13 A 100,000,000 2013/06/19 2013/12/18 25.0024263 UBS AG – HSCEI European Put Warrants Mar 2014 A 100,000,000 2013/06/19 2014/03/28 25.0024228 UBS AG – Link REIT European Warrants Dec 2013 B 80,000,000 2013/06/19 2013/12/23 20.0024223 UBS AG – SJM Holdings European Warrants Dec 2013 B 80,000,000 2013/06/19 2013/12/23 13.6015115# HK Bank – HSCEI European Warrants Dec 2013 200,000,000 2013/06/19 2013/12/30 14.8024415# HK Bank – A50 China European Warrants Jan 2014 A 200,000,000 2013/06/19 2014/01/02 10.8024575 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Jan 2014 B 100,000,000 2013/06/20 2014/01/03 28.0024589 BNP Paribas Arbit Issu B.V. – Ch Ship Dev Euro Wts Mar 2014A 22,000,000 2013/06/20 2014/03/04 10.1224568 BNP Paribas Arbit Issu B.V. – HSI European Wts Feb 2014 B 100,000,000 2013/06/20 2014/02/27 26.0024570 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts Feb 2014 C 100,000,000 2013/06/20 2014/02/27 30.0024574 BNP Paribas Arbit Issu B.V. – Poly HK Inv Eur Wts Feb 2014 A 20,000,000 2013/06/20 2014/02/05 10.0024580 BNP Paribas Arbit Issu B.V. – Sinopharm Euro Wts Mar 2014 A 92,000,000 2013/06/20 2014/03/04 23.9224571 BNP Paribas Arbit Issu B.V. – SHK Ppt Euro Wts Jan 2014 B 100,000,000 2013/06/20 2014/01/02 26.0024572 BNP Paribas Arbit Issu B.V. – Sino Land Euro Wt Aug 2015 A 100,000,000 2013/06/20 2015/08/04 25.0024587 BNP Paribas Arbit Issu B.V. – Wynn Macau Euro Wts Feb 2014 A 100,000,000 2013/06/20 2014/02/05 25.0024579 BNP Paribas Arbit Issu B.V. – Yurun Food Euro Wts Jan 2014 B 22,000,000 2013/06/20 2014/01/03 10.3424406 Credit Suisse AG – BOCL European Warrants Dec 2013 A 70,000,000 2013/06/20 2013/12/09 10.5024463 Credit Suisse AG – CC Bank European Warrants Oct 2013 A 70,000,000 2013/06/20 2013/10/09 10.5024476 Credit Suisse AG – China Coal European Warrants Nov 2013 A 70,000,000 2013/06/20 2013/11/25 11.2024455 Credit Suisse AG – Cheung Kong European Warrants Dec 2013 B 60,000,000 2013/06/20 2013/12/02 16.2024471 Credit Suisse AG – Minsheng Bank European Wts Oct 2013 B 60,000,000 2013/06/20 2013/10/11 18.6024467 Credit Suisse AG – China Mobile European Warrants Dec 2013 A 70,000,000 2013/06/20 2013/12/20 17.5024477 Credit Suisse AG – CSOP A50 ETF European Warrants Oct 2013 A 70,000,000 2013/06/20 2013/10/28 17.5024405 Credit Suisse AG – China Shenhua European Wts Jan 2014 A 70,000,000 2013/06/20 2014/01/27 10.5024482 Credit Suisse AG – A50 China European Warrants Oct 2013 A 70,000,000 2013/06/20 2013/10/07 12.6024400 Credit Suisse AG – HSCEI European Warrants Sep 2013 A 80,000,000 2013/06/20 2013/09/27 13.6024492 Credit Suisse AG – HSI European Warrants Sep 2013 G 150,000,000 2013/06/20 2013/09/27 28.5024486 Credit Suisse AG – HSI European Put Warrants Dec 2013 D 150,000,000 2013/06/20 2013/12/30 27.0024462 Credit Suisse AG – Hutchison European Warrants Oct 2013 A 70,000,000 2013/06/20 2013/10/03 15.4024465 Credit Suisse AG – ICBC European Warrants Oct 2013 B 70,000,000 2013/06/20 2013/10/15 10.5024468 Credit Suisse AG – Ping An European Warrants Oct 2013 B 70,000,000 2013/06/20 2013/10/11 12.6024548 Credit Suisse AG – Yanzhou Coal European Warrants Nov 2013 A 70,000,000 2013/06/20 2013/11/04 11.2024433 Daiwa Capital Mkt – China Mobile European Wts Dec 2013 A 128,000,000 2013/06/20 2013/12/19 37.1224441 Daiwa Capital Mkt – China Mobile European Put Wts Nov 2013 D 80,000,000 2013/06/20 2013/11/26 16.0024432 Daiwa Capital Mkt – HSBC European Put Warrants Dec 2013 A 80,000,000 2013/06/20 2013/12/19 20.0024447 Daiwa Capital Mkt – ICBC European Warrants Nov 2013 C 128,000,000 2013/06/20 2013/11/01 23.0424385 Bank of East Asia – Belle European Warrants Mar 2014 A 80,000,000 2013/06/20 2014/03/20 12.0024396 Bank of East Asia – CITIC Sec European Warrants Jan 2014 A 80,000,000 2013/06/20 2014/01/02 12.0024549 Bank of East Asia – Minsheng Bank European Warrants Jan 15 A 80,000,000 2013/06/20 2015/01/08 12.00

Main Board Warrants



24567 Bank of East Asia – Foxconn European Warrants Feb 2014 A 40,000,000 2013/06/20 2014/02/06 10.4024558 Bank of East Asia – HKEx European Warrants Feb 2014 A 80,000,000 2013/06/20 2014/02/04 12.4824565 Bank of East Asia – Wynn Macau European Warrants Feb 2014 A 60,000,000 2013/06/20 2014/02/12 15.0024424 Goldman Sachs SP (Asia) – Galaxy Ent Euro Wts Jan 2014 A 120,000,000 2013/06/20 2014/01/30 30.4824416 Goldman Sachs SP (Asia) – HSBC European Warrants Jan 2014 A 120,000,000 2013/06/20 2014/01/30 35.2824281 Goldman Sachs SP (Asia) – HSI European Warrants Oct 2013 E 150,000,000 2013/06/20 2013/10/30 22.5024422 Goldman Sachs SP (Asia) – Link REIT European Wts Mar 2014 A 120,000,000 2013/06/20 2014/03/31 30.2424419 Goldman Sachs SP (Asia) – New World Dev Euro Wts Dec 2013 A 68,000,000 2013/06/20 2013/12/30 27.2024498 J P Morgan Int'l Der. Ltd. – CC Bank European Wts Jan 2014 A 200,000,000 2013/06/20 2014/01/02 50.0024266 J P Morgan SP BV – CITIC Sec European Warrants May 2014 A 100,000,000 2013/06/20 2014/05/02 25.0024511 J P Morgan SP BV – China Life European Warrants Jan 2014 A 300,000,000 2013/06/20 2014/01/02 75.0024349 J P Morgan SP BV – China Mob European Wts Jan 2014 A 200,000,000 2013/06/20 2014/01/02 50.0024514 J P Morgan SP BV – HSI European Put Warrants Dec 2013 D 300,000,000 2013/06/20 2013/12/30 75.0024515 J P Morgan SP BV – Hutchison European Warrants Jan 2014 A 150,000,000 2013/06/20 2014/01/02 48.9024517 J P Morgan SP BV – ICBC European Warrants Jan 2014 A 200,000,000 2013/06/20 2014/01/02 50.0024523 J P Morgan SP BV – PetroChina European Warrants Jan 2014 B 100,000,000 2013/06/20 2014/01/02 25.0024524 J P Morgan SP BV – Ping An European Warrants Dec 2013 B 200,000,000 2013/06/20 2013/12/31 50.0024352 Macquarie Bank Ltd. – China Coal European Wts Dec 2013 B 80,000,000 2013/06/20 2013/12/03 16.2424429 Macquarie Bank Ltd. – China Mobile European Wts Dec 2013 C 120,000,000 2013/06/20 2013/12/03 18.1224537 Macquarie Bank Ltd. – Huaneng Power European Wts Jan 2014 A 50,000,000 2013/06/20 2014/01/03 12.5024354 Macquarie Bank Ltd. – PetroChina European Wts Jan 2014 B 80,000,000 2013/06/20 2014/01/03 16.1624398 Standard Chartered Bank – Sinopec Corp Euro Wts Dec 2013 A 80,000,000 2013/06/20 2013/12/27 20.0024296 SGA Societe Generale Acceptance N.V – Belle Int'l Eu Wt Mar14A 150,000,000 2013/06/20 2014/03/24 22.5024300 SGA Societe Generale Acceptance N.V. – CCoal Eu Wt Dec 2013 A 40,000,000 2013/06/20 2013/12/23 15.4024302 SGA Societe Generale Acceptance N.V. – CITIC Pac Eu Wt Oct14A 150,000,000 2013/06/20 2014/10/29 24.0024361 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Oct 2013D 120,000,000 2013/06/20 2013/10/09 20.4024362 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Dec 2013A 120,000,000 2013/06/20 2013/12/30 19.8024448 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Dec 13 B 150,000,000 2013/06/20 2013/12/23 37.5024452 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Nov13A 100,000,000 2013/06/20 2013/11/18 31.5024449 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jan 2014 A 300,000,000 2013/06/20 2014/01/06 45.0024380 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Dec 2013 A 120,000,000 2013/06/20 2013/12/18 51.0024327 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Dec 2013 C 300,000,000 2013/06/20 2013/12/30 84.0024329 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Dec 2013 D 300,000,000 2013/06/20 2013/12/30 75.0024348 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Dec 13 E 300,000,000 2013/06/20 2013/12/30 75.0024368 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Nov 2013 B 100,000,000 2013/06/20 2013/11/04 19.0024311 SGA Societe Generale Acceptance N.V. – SHK P Eu Wt Oct 2013B 100,000,000 2013/06/20 2013/10/21 21.5024313 SGA Societe Generale Acceptance NV – Zijin Mining Eu Wt Nov13A 100,000,000 2013/06/20 2013/11/27 15.0024319 SGA Societe Generale Acceptance N.V. – ZTE Eu Wt May 2014 A 100,000,000 2013/06/20 2014/05/26 15.0024425 UBS AG – China Life European Warrants Dec 2013 A 200,000,000 2013/06/20 2013/12/23 50.0024427 UBS AG – HSI European Warrants Dec 2013 F 300,000,000 2013/06/20 2013/12/30 75.0024661 BOCI Asia Ltd. – A50 China European Warrants Oct 2013 A 100,000,000 2013/06/21 2013/10/30 26.0024633 BOCI Asia Ltd. – Ping An European Warrants Oct 2013 B 100,000,000 2013/06/21 2013/10/30 24.0024657 BOCI Asia Ltd. – SHK Ppt European Warrants Dec 2013 A 100,000,000 2013/06/21 2013/12/23 25.0010219 BNP Paribas Arbit Issu B.V. – Nikkei 225 Index Eu Wt Dec13A 100,000,000 2013/06/21 2013/12/13 24.30

Main Board Warrants



10220 BNP Paribas Arbit Issu B.V. – Nikkei 225 Eu Put Wt Mar14A 100,000,000 2013/06/21 2014/03/14 25.0024707 Citigroup Global Mkt H Inc. – China Mobile Eur Wt Dec 2013 B 100,000,000 2013/06/21 2013/12/30 31.0024712 Citigroup Global Mkt H Inc. – Ping An Euro Wts Dec 2013 B 100,000,000 2013/06/21 2013/12/30 57.0024721 Citigroup Global Mkt H Inc. – Sands China Euro Wt Dec 2013 B 100,000,000 2013/06/21 2013/12/30 33.0024709 Citigroup Global Mkt H Inc. – SHK Ppt Euro Wts Dec 2013 B 100,000,000 2013/06/21 2013/12/30 28.0024732 Citigroup Global Mkt H Inc. – Tencent European Wts Dec 2013 C 100,000,000 2013/06/21 2013/12/30 33.0024667 Goldman Sachs SP (Asia) – HSCEI European Put Wts Jun 2014 A 150,000,000 2013/06/21 2014/06/27 38.5524673 Goldman Sachs SP (Asia) – HSI European Warrants Oct 2013 F 150,000,000 2013/06/21 2013/10/30 24.4524674 Goldman Sachs SP (Asia) – HSI European Put Wts Apr 2014 A 150,000,000 2013/06/21 2014/04/29 38.1024669 Goldman Sachs SP (Asia) – Yanzhou Coal Euro Wts Feb 2014 A 80,000,000 2013/06/21 2014/02/27 26.0824632 HK Bank – Agricultural Bank European Warrants Jan 2014 A 80,000,000 2013/06/21 2014/01/06 20.0024624 HK Bank – CC Bank European Warrants Dec 2013 B 80,000,000 2013/06/21 2013/12/31 20.0024625 HK Bank – HKEx European Warrants Jan 2014 A 200,000,000 2013/06/21 2014/01/06 30.0024618 HK Bank – HSI European Put Warrants Jan 2014 A 200,000,000 2013/06/21 2014/01/29 50.0024591 J P Morgan SP BV – China Life European Warrants Jan 2014 B 300,000,000 2013/06/21 2014/01/02 45.0024750 Macquarie Bank Ltd. – Lee & Man Paper European Wt Jan 2014 A 50,000,000 2013/06/21 2014/01/14 15.0524760 Macquarie Bank Ltd. – Poly HK Inv European Wts Jan 2014 A 50,000,000 2013/06/21 2014/01/02 12.5024763 Macquarie Bank Ltd. – Wharf European Warrants Jan 2014 A 120,000,000 2013/06/21 2014/01/03 30.0024755 Macquarie Bank Ltd. – Yuexiu Property Euro Wts Jan 2014 A 70,000,000 2013/06/21 2014/01/27 10.5024686 Standard Chartered Bank – CAM CSI300 European Wts Oct 2013 A 100,000,000 2013/06/21 2013/10/07 20.0024684 Standard Chartered Bank – CC Bank European Wts Jan 2014 A 100,000,000 2013/06/21 2014/01/07 25.0024680 Standard Chartered Bank – China Mobile Euro Wts Dec 2013 B 100,000,000 2013/06/21 2013/12/23 27.0024689 Standard Chartered Bank – CSOP A50 ETF Euro Wts Oct 2013 B 50,000,000 2013/06/21 2013/10/28 13.0024676 Standard Chartered Bank – HSI European Warrants Oct 2013 B 150,000,000 2013/06/21 2013/10/30 22.5024675 Standard Chartered Bank – HSI European Put Wts Dec 2013 A 100,000,000 2013/06/21 2013/12/30 15.0024688 Standard Chartered Bank – PetroChina European Wts Dec 2013 B 80,000,000 2013/06/21 2013/12/23 20.0024691 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Dec 2013 B 100,000,000 2013/06/21 2013/12/23 26.5024698 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Oct13 C 30,000,000 2013/06/21 2013/10/21 11.5524598 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Nov 2013B 50,000,000 2013/06/21 2013/11/06 12.7524614 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jan 2014A 50,000,000 2013/06/21 2014/01/06 14.5024595 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Dec 13 F 300,000,000 2013/06/21 2013/12/30 75.0024705 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Dec 2013B 60,000,000 2013/06/21 2013/12/23 20.4024749 UBS AG – Agricultural Bank European Warrants Nov 2013 A 70,000,000 2013/06/21 2013/11/25 10.5024740 UBS AG – BOCL European Warrants Dec 2013 A 100,000,000 2013/06/21 2013/12/09 15.0024748 UBS AG – CC Bank European Warrants Dec 2013 A 100,000,000 2013/06/21 2013/12/20 26.0024745 UBS AG – ICBC European Warrants Oct 2013 A 100,000,000 2013/06/21 2013/10/29 19.0024817 BOCI Asia Ltd. – PetroChina European Warrants Dec 2013 A 100,000,000 2013/06/24 2013/12/30 20.0024771 Goldman Sachs SP (Asia) – CC Bank European Wts Dec 2013 C 80,000,000 2013/06/24 2013/12/30 20.5624773 Goldman Sachs SP (Asia) – CC Bank Euro Put Wts Jan 2014 A 80,000,000 2013/06/24 2014/01/30 30.5624774 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jan 2014 A 80,000,000 2013/06/24 2014/01/30 20.0824840 Goldman Sachs SP (Asia) – China Mobile Eu Put Wts Jan 2014 B 80,000,000 2013/06/24 2014/01/30 23.5224769 Goldman Sachs SP (Asia) – Galaxy Ent Euro Put Wts Jan 2014 B 80,000,000 2013/06/24 2014/01/30 21.2024821 HK Bank – CM Bank European Warrants Dec 2013 A 100,000,000 2013/06/24 2013/12/30 15.0024831 HK Bank – Galaxy Ent European Warrants Dec 2013 A 80,000,000 2013/06/24 2013/12/23 20.00

Main Board Warrants



24818 HK Bank – HSI European Warrants Dec 2013 E 200,000,000 2013/06/24 2013/12/30 30.0024819 HK Bank – HSI European Warrants Dec 2013 F 200,000,000 2013/06/24 2013/12/30 30.0024794 J P Morgan SP BV – HSCEI European Put Warrants Dec 2013 D 300,000,000 2013/06/24 2013/12/30 75.0024767 Macquarie Bank Ltd. – CHALCO European Warrants Jul 2014 A 50,000,000 2013/06/24 2014/07/03 12.5024830 Macquarie Bank Ltd. – China COSCO European Wts Feb 2014 A 50,000,000 2013/06/24 2014/02/05 12.5024768 Macquarie Bank Ltd. – Chinares Cement European Wt Dec 2013 A 50,000,000 2013/06/24 2013/12/24 12.5024825 Macquarie Bank Ltd. – Chi Res Land European Wts Dec 2013 A 120,000,000 2013/06/24 2013/12/03 18.0024839 Standard Chartered Bank – BOCL European Warrants May 2014 A 60,000,000 2013/06/24 2014/05/09 15.0024836 Standard Chartered Bank – BOCL European Warrants Dec 2014 A 100,000,000 2013/06/24 2014/12/24 16.4024801 Standard Chartered Bank – Galaxy Ent European Wts Mar 2014 A 100,000,000 2013/06/24 2014/03/07 25.0024803 Standard Chartered Bank – HSBC European Warrants Nov 2013 C 100,000,000 2013/06/24 2013/11/26 22.0024764 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jan14A 50,000,000 2013/06/24 2014/01/06 17.0024911 Credit Suisse AG – Ch Oil & Gas European Warrants Dec 2013 B 50,000,000 2013/06/25 2013/12/24 12.5024889 Credit Suisse AG – Galaxy Ent European Warrants Dec 2013 A 70,000,000 2013/06/25 2013/12/24 17.5024888 Credit Suisse AG – Galaxy Ent European Put Wts Nov 2013 B 70,000,000 2013/06/25 2013/11/25 10.5024958 Citigroup Global Mkt H Inc. – HSI European Wts Dec 2013 E 100,000,000 2013/06/25 2013/12/30 18.0024933 Goldman Sachs SP (Asia) – Belle Int'l Euro Wts Mar 2014 A 80,000,000 2013/06/25 2014/03/17 12.0824930 Goldman Sachs SP (Asia) – Sinopec Corp European Wts Jan 2014 A 80,000,000 2013/06/25 2014/01/30 23.6824927 Goldman Sachs SP (Asia) – A50 China European Wts Aug 2014 A 120,000,000 2013/06/25 2014/08/01 18.0024928 Goldman Sachs SP (Asia) – SHK Ppt European Wts Jan 2014 A 80,000,000 2013/06/25 2014/01/30 40.4024872 HK Bank – China Shenhua European Warrants Feb 2014 A 100,000,000 2013/06/25 2014/02/04 15.0024869 HK Bank – HSCEI European Warrants Mar 2014 A 200,000,000 2013/06/25 2014/03/28 50.0024867 HK Bank – ICBC European Warrants Oct 2013 B 100,000,000 2013/06/25 2013/10/30 16.0024945 J P Morgan SP BV – Galaxy Ent European Warrants Dec 2013 D 150,000,000 2013/06/25 2013/12/30 37.5024944 J P Morgan SP BV – Galaxy Ent European Put Wts Dec 2013 C 150,000,000 2013/06/25 2013/12/30 37.5024934 J P Morgan SP BV – Sands China European Warrants Dec 2013 A 150,000,000 2013/06/25 2013/12/30 37.5024914 Macquarie Bank Ltd. – PICC Group European Wts Apr 2014 A 40,000,000 2013/06/25 2014/04/02 10.0024913 Macquarie Bank Ltd. – Sands China European Wts Jan 2014 A 40,000,000 2013/06/25 2014/01/03 10.0024852 Merrill Lynch Int'l & Co. C.V. – CC Bank Euro Wts Dec 2013 A 40,000,000 2013/06/25 2013/12/27 10.0024855 Merrill Lynch Int'l & Co. C.V. – Ch Mobile Eur Wt Dec 2013 B 40,000,000 2013/06/25 2013/12/10 10.0024842 Merrill Lynch Int'l & Co. C.V. – Ch Mobile Eu Put Wt Nov 13 B 80,000,000 2013/06/25 2013/11/26 12.1624853 Merrill Lynch Int'l & Co. C.V. – ICBC Euro Wts Nov 2013 B 40,000,000 2013/06/25 2013/11/27 10.2024845 Merrill Lynch Int'l & Co. C.V. – Ping An Euro Wts Dec 2013 A 40,000,000 2013/06/25 2013/12/27 10.0024854 Merrill Lynch Int'l & Co. C.V. – SHK Ppt Euro Wts Dec 2013 B 80,000,000 2013/06/25 2013/12/19 12.0024892 Standard Chartered Bank – CITIC Sec European Wts Dec 2013 B 100,000,000 2013/06/25 2013/12/24 15.0024878 Standard Chartered Bank – CNOOC European Warrants Jan 2015 A 100,000,000 2013/06/25 2015/01/05 16.0024896 Standard Chartered Bank – HuanengPower Euro Wts Jan 2014 A 60,000,000 2013/06/25 2014/01/06 24.0024861 SGA Societe Generale Acceptance N.V. – CK(H) Eu Wt Jan 2014A 50,000,000 2013/06/25 2014/01/06 15.7524880 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Feb14A 100,000,000 2013/06/25 2014/02/05 25.0024863 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt May14A 100,000,000 2013/06/25 2014/05/19 16.0024887 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Dec13B 25,000,000 2013/06/25 2013/12/30 10.8824908 UBS AG – China Tel European Warrants Nov 2013 A 70,000,000 2013/06/25 2013/11/25 10.5024910 UBS AG – GCL-Poly Energy European Warrants Dec 2013 A 60,000,000 2013/06/25 2013/12/24 16.8024907 UBS AG – Galaxy Ent European Warrants Dec 2013 A 80,000,000 2013/06/25 2013/12/24 20.00

Main Board Warrants



24905 UBS AG – KECL European Warrants Aug 2014 A 100,000,000 2013/06/25 2014/08/25 25.0024920 UBS AG – Sands China European Warrants Dec 2013 A 60,000,000 2013/06/25 2013/12/24 15.0024906 UBS AG – Yanzhou Coal European Wts Dec 2013 A 30,000,000 2013/06/25 2013/12/24 11.4020013# Standard Chartered Bank – CNBM European Warrants Dec 2013 A 200,000,000 2013/06/25 2013/12/13 10.8024980 BOCI Asia Ltd. – CC Bank European Warrants Dec 2013 B 100,000,000 2013/06/26 2013/12/13 17.0024978 BOCI Asia Ltd. – Galaxy Ent European Warrants Nov 2013 B 100,000,000 2013/06/26 2013/11/29 28.0024982 BOCI Asia Ltd. – ICBC European Warrants Nov 2013 B 100,000,000 2013/06/26 2013/11/05 18.0024996 BNP Paribas Arbit Issu B.V. – Belle Int'l Euro Wt Jul 2015 A 100,000,000 2013/06/26 2015/07/03 25.0024994 BNP Paribas Arbit Issu B.V. – BOCL European Wts Mar 2014 A 100,000,000 2013/06/26 2014/03/04 25.0024987 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Jan 2014 A 100,000,000 2013/06/26 2014/01/03 28.0024985 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Feb 2014 A 100,000,000 2013/06/26 2014/02/05 26.0024989 BNP Paribas Arbit Issu B.V. – Huaneng Euro Wts Jan 2014 B 40,000,000 2013/06/26 2014/01/03 16.8025059 Goldman Sachs Sp (Asia) – ICBC European Warrants Oct 2013 B 80,000,000 2013/06/26 2013/10/29 12.0025057 Goldman Sachs SP (Asia) – PetroChina European Wts Jan 2014 A 80,000,000 2013/06/26 2014/01/30 21.9225060 Goldman Sachs SP (Asia) – Ping An European Wts Dec 2013 A 100,000,000 2013/06/26 2013/12/30 25.0024976 HK Bank – HSI European Warrants Dec 2013 G 200,000,000 2013/06/26 2013/12/30 30.0024972 HK Bank – Sands China European Warrants Dec 2013 A 100,000,000 2013/06/26 2013/12/24 18.0024970 Macquarie Bank Ltd. – CC Bank European Warrants Jan 2014 A 120,000,000 2013/06/26 2014/01/03 30.4825034 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Jan 2014 A 40,000,000 2013/06/26 2014/01/03 10.0025033 Macquarie Bank Ltd. – Huaneng Power European Wts Jan 2014 B 50,000,000 2013/06/26 2014/01/03 13.2524969 Merrill Lynch Int'l & Co. C.V. – Sinopec Euro Wts Dec 2013 B 70,000,000 2013/06/26 2013/12/13 10.5024968 Merrill Lynch Int'l & Co. C.V. – A50 China Eu Put Wt Oct13 B 50,000,000 2013/06/26 2013/10/28 10.9524967 Merrill Lynch Int'l & Co. C.V. – HSBC Euro Put Wt Dec 2013 A 40,000,000 2013/06/26 2013/12/31 10.0025000 Merrill Lynch Int'l & Co. C.V. – HSI European Wts Oct 2013 F 100,000,000 2013/06/26 2013/10/30 15.0024966 Merrill Lynch Int'l & Co. C.V. – PetroChina Eu Wt Dec 2013 B 40,000,000 2013/06/26 2013/12/27 11.2025001 Standard Chartered Bank – Galaxy Ent European Wts May 2014 A 80,000,000 2013/06/26 2014/05/30 20.0025003 Standard Chartered Bank – Galaxy Ent Euro Put Wts May 2014 B 80,000,000 2013/06/26 2014/05/02 26.4025005 Standard Chartered Bank – MGM China European Wts Jan 2014 A 80,000,000 2013/06/26 2014/01/07 20.0025010 Standard Chartered Bank – MGM China European Wts May 2014 A 80,000,000 2013/06/26 2014/05/05 20.0025004 Standard Chartered Bank – Sands China Eu Put Wts Apr 2014 A 80,000,000 2013/06/26 2014/04/04 20.0025036 UBS AG – CC Bank European Warrants Dec 2013 B 100,000,000 2013/06/26 2013/12/31 38.0025056 UBS AG – Evergrande European Warrants Oct 2013 A 50,000,000 2013/06/26 2013/10/28 10.0025055 UBS AG – GCL-Poly Energy European Warrants Jan 2014 A 60,000,000 2013/06/26 2014/01/13 11.4025050 UBS AG – PICC Group European Warrants Dec 2013 A 60,000,000 2013/06/26 2013/12/27 15.0024522# HK Bank – HSI European Warrants Sep 2013 E 200,000,000 2013/06/26 2013/09/27 10.8025110 BOCI Asia Ltd. – China Life European Warrants Dec 2013 B 100,000,000 2013/06/27 2013/12/31 18.0025107 BOCI Asia Ltd. – China Mobile European Warrants Jan 2014 A 100,000,000 2013/06/27 2014/01/02 18.0025193 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Feb 2014 B 100,000,000 2013/06/27 2014/02/05 25.0025192 BNP Paribas Arbit Issu B.V. – CPIC European Wts Feb 2014 A 100,000,000 2013/06/27 2014/02/05 25.0025201 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Feb 2014 A 100,000,000 2013/06/27 2014/02/05 25.0025196 BNP Paribas Arbit Issu B.V. – ICBC European Wts Jan 2014 C 100,000,000 2013/06/27 2014/01/03 15.0025174 BNP Paribas Arbit Issu B.V. – Zijin Mining Eu Wts Jan 2015 A 65,000,000 2013/06/27 2015/01/05 16.2525283 Credit Suisse AG – CAM CSI300 European Warrants Dec 2013 A 70,000,000 2013/06/27 2013/12/09 11.2025212 Credit Suisse AG – CC Bank European Warrants Dec 2013 A 70,000,000 2013/06/27 2013/12/23 11.20

Main Board Warrants



25229 Credit Suisse AG – China Life European Warrants Oct 2013 B 70,000,000 2013/06/27 2013/10/07 10.5025235 Credit Suisse AG – CNOOC European Warrants Nov 2014 A 70,000,000 2013/06/27 2014/11/17 10.5025238 Credit Suisse AG – CSOP A50 ETF European Warrants Aug 2014 A 70,000,000 2013/06/27 2014/08/01 10.5025241 Credit Suisse AG – HSI European Warrants Dec 2013 E 200,000,000 2013/06/27 2013/12/30 32.0025249 Credit Suisse AG – HSI European Warrants Dec 2013 F 200,000,000 2013/06/27 2013/12/30 38.0025253 Credit Suisse AG – HSI European Warrants Dec 2013 G 200,000,000 2013/06/27 2013/12/30 30.0025255 Credit Suisse AG – HSI European Put Warrants Mar 2014 A 200,000,000 2013/06/27 2014/03/28 44.0025256 Credit Suisse AG – HSI European Put Warrants Mar 2014 B 200,000,000 2013/06/27 2014/03/28 50.0025213 Credit Suisse AG – ICBC European Warrants Nov 2013 B 70,000,000 2013/06/27 2013/11/29 11.9025237 Credit Suisse AG – PICC Group European Warrants Jan 2014 A 70,000,000 2013/06/27 2014/01/10 14.0025222 Credit Suisse AG – Tencent Holdings European Wts Nov 2013 D 70,000,000 2013/06/27 2013/11/25 10.5025219 Credit Suisse AG – Tencent Holdings European Wts Jun 2014 A 70,000,000 2013/06/27 2014/06/30 10.5025169 Daiwa Capital Mkt – CCB European Warrants Dec 2013 C 128,000,000 2013/06/27 2013/12/23 21.7625210 Daiwa Capital Mkt – HSCEI European Put Warrants Dec 2013 C 100,000,000 2013/06/27 2013/12/30 25.0025211 Daiwa Capital Mkt – HSCEI European Put Warrants Mar 2014 A 100,000,000 2013/06/27 2014/03/28 25.0025206 Daiwa Capital Mkt – HSI European Put Warrants Dec 2013 B 200,000,000 2013/06/27 2013/12/30 50.0025207 Daiwa Capital Mkt – HSI European Put Warrants Dec 2013 C 200,000,000 2013/06/27 2013/12/30 50.0025297 Goldman Sachs SP (Asia) – Minsheng Bank Euro Wts Jan 2014 A 80,000,000 2013/06/27 2014/01/30 56.4825291 Goldman Sachs SP (Asia) – CQRC Bank European Wts Mar 2014 A 68,000,000 2013/06/27 2014/03/31 17.0725287 Goldman Sachs SP (Asia) – Greatwall Motor Eur Wts Jan 2014 A 100,000,000 2013/06/27 2014/01/30 32.8025296 Goldman Sachs SP (Asia) – Lenovo European Wts Mar 2014 A 80,000,000 2013/06/27 2014/03/31 46.7225093 HK Bank – AIA European Warrants Jan 2014 A 88,000,000 2013/06/27 2014/01/06 22.0025079 HK Bank – Minsheng Bank European Warrants Dec 2013 B 60,000,000 2013/06/27 2013/12/31 30.6025082 HK Bank – China Mobile European Warrants Dec 2013 E 88,000,000 2013/06/27 2013/12/31 24.6425080 HK Bank – HWL European Warrants Dec 2013 B 60,000,000 2013/06/27 2013/12/31 43.8025078 J P Morgan SP BV – Anhui Conch European Warrants Jan 2014 A 150,000,000 2013/06/27 2014/01/20 22.5025315 J P Morgan Int'l Der. Ltd. – CC Bank European Wts Jan 2014 B 200,000,000 2013/06/27 2014/01/02 50.0025314 J P Morgan SP BV – China Mob European Wts Jan 2014 B 200,000,000 2013/06/27 2014/01/02 50.0025064 J P Morgan SP BV – CSOP A50 ETF European Warrants Dec 2013 B 200,000,000 2013/06/27 2013/12/31 50.0025070 J P Morgan SP BV – CSOP A50 ETF European Warrants Dec 2013 C 200,000,000 2013/06/27 2013/12/31 58.8025061 J P Morgan SP BV – A50 China European Warrants Dec 2013 A 200,000,000 2013/06/27 2013/12/31 50.0025071 J P Morgan SP BV – A50 China European Warrants Dec 2013 B 200,000,000 2013/06/27 2013/12/31 73.2025310 J P Morgan Int'l Der. Ltd. – HSCEI European Wts Jan 2014 A 300,000,000 2013/06/27 2014/01/29 75.0025312 J P Morgan SP BV – HSCEI European Put Warrants Feb 2014 A 300,000,000 2013/06/27 2014/02/27 75.0025074 J P Morgan SP BV – HSI European Warrants Dec 2013 F 300,000,000 2013/06/27 2013/12/30 75.0025307 J P Morgan SP BV – HSI European Warrants Dec 2013 G 500,000,000 2013/06/27 2013/12/30 125.0025306 J P Morgan SP BV – HSI European Warrants Jan 2014 B 500,000,000 2013/06/27 2014/01/29 126.5025305 J P Morgan SP BV – HSI European Put Warrants Jan 2014 A 500,000,000 2013/06/27 2014/01/29 125.0025300 J P Morgan SP BV – ICBC European Warrants Jan 2014 B 200,000,000 2013/06/27 2014/01/02 50.0025077 J P Morgan SP BV – Yanzhou Coal European Warrants Dec 2013 A 60,000,000 2013/06/27 2013/12/31 15.0025076 J P Morgan SP BV – Zijin Mining European Warrants Feb 2014 A 80,000,000 2013/06/27 2014/02/05 20.0025140 Macquarie Bank Ltd. – Agricultural Bk Euro Warrants Feb 2014 B 100,000,000 2013/06/27 2014/02/05 25.0025141 Macquarie Bank Ltd. – CITIC Bank European Wts Feb 2014 A 100,000,000 2013/06/27 2014/02/05 25.0025159 Macquarie Bank Ltd. – ICBC European Warrants Feb 2014 A 100,000,000 2013/06/27 2014/02/05 26.00

Main Board Warrants



25102 Merrill Lynch Int'l & Co. C.V. – HKEx Euro Wts Oct 2013 C 40,000,000 2013/06/27 2013/10/17 12.6025097 Merrill Lynch Int'l & Co. C.V. – HKEx Euro Wts Jan 2014 A 80,000,000 2013/06/27 2014/01/06 12.0025095 Merrill Lynch Int'l & Co. C.V. – HKEx Euro Wts Dec 2015 A 80,000,000 2013/06/27 2015/12/23 12.0025171 Standard Chartered Bank – AIA European Warrants Dec 2013 A 100,000,000 2013/06/27 2013/12/09 25.0025113 Standard Chartered Bank – China Railway Euro Wts Dec 2013 A 70,000,000 2013/06/27 2013/12/02 11.2025115 Standard Chartered Bank – HSI European Warrants Dec 2013 B 100,000,000 2013/06/27 2013/12/30 25.0025165 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Jan 2014 A 100,000,000 2013/06/27 2014/01/06 25.0025173 SGA Societe Generale Acceptance N.V – Evergrande Eu Wt Dec13 A 50,000,000 2013/06/27 2013/12/30 21.0025272 UBS AG – BOCL European Warrants Jan 2014 A 100,000,000 2013/06/27 2014/01/13 25.0025281 UBS AG – BYD European Warrants Dec 2013 A 80,000,000 2013/06/27 2013/12/27 26.4025133 UBS AG – Minsheng Bank European Warrants Dec 2014 A 70,000,000 2013/06/27 2014/12/22 10.5025270 UBS AG – China Mobile European Warrants Dec 2013 C 100,000,000 2013/06/27 2013/12/27 32.0025282 UBS AG – CNOOC European Warrants Dec 2014 A 100,000,000 2013/06/27 2014/12/08 25.0025280 UBS AG – CSOP A50 ETF European Warrants Dec 2013 A 100,000,000 2013/06/27 2013/12/27 50.0025284 UBS AG – A50 China European Warrants Aug 2014 B 300,000,000 2013/06/27 2014/08/15 45.0025135 UBS AG – HSCEI European Warrants Sep 2013 D 100,000,000 2013/06/27 2013/09/27 15.0025116 UBS AG – HSI European Warrants Dec 2013 G 300,000,000 2013/06/27 2013/12/30 45.0025122 UBS AG – HSI European Warrants Dec 2013 H 300,000,000 2013/06/27 2013/12/30 75.0025257 UBS AG – HSI European Put Warrants Dec 2013 I 300,000,000 2013/06/27 2013/12/30 75.0025275 UBS AG – ICBC European Warrants Dec 2013 B 100,000,000 2013/06/27 2013/12/27 28.0025261 UBS AG – Ping An European Warrants Dec 2013 B 100,000,000 2013/06/27 2013/12/27 42.0025377 BOCI Asia Ltd. – HSBC European Warrants Dec 2013 A 100,000,000 2013/06/28 2013/12/16 32.0025376 BOCI Asia Ltd. – HSI European Warrants Dec 2013 D 100,000,000 2013/06/28 2013/12/30 18.0025375 BOCI Asia Ltd. – HSI European Put Warrants Dec 2013 C 100,000,000 2013/06/28 2013/12/30 20.0025385 Credit Suisse AG – Agricultural Bank European Wts Jan 2014 A 70,000,000 2013/06/28 2014/01/10 10.5025384 Credit Suisse AG – AIA European Warrants Oct 2013 A 70,000,000 2013/06/28 2013/10/21 12.6025423 Credit Suisse AG – BOCL European Warrants Jan 2014 A 70,000,000 2013/06/28 2014/01/13 17.5025421 Credit Suisse AG – CC Bank European Warrants Dec 2013 B 70,000,000 2013/06/28 2013/12/30 21.7025381 Credit Suisse AG – CSOP A50 ETF European Warrants Jul 2015 A 100,000,000 2013/06/28 2015/07/06 17.0025386 Credit Suisse AG – HKEx European Warrants Oct 2013 C 70,000,000 2013/06/28 2013/10/21 24.5025390 Credit Suisse AG – HKEx European Warrants Jan 2014 A 70,000,000 2013/06/28 2014/01/27 10.5025422 Credit Suisse AG – ICBC European Warrants Dec 2013 A 70,000,000 2013/06/28 2013/12/30 23.8025382 Credit Suisse AG – Link REIT European Warrants Jan 2014 A 60,000,000 2013/06/28 2014/01/27 10.8025391 Credit Suisse AG – Ping An European Warrants Oct 2013 C 70,000,000 2013/06/28 2013/10/02 11.2025380 Citigroup Global Mkt H Inc. – SJM Holdings Eu Wt Jan 2014 B 100,000,000 2013/06/28 2014/01/30 25.0025379 Citigroup Global Mkt H Inc. – Tencent Euro Put Wt Dec 2013 D 100,000,000 2013/06/28 2013/12/27 17.0025403 Daiwa Capital Mkt – CSOP A50 ETF European Wts Dec 2013 B 98,000,000 2013/06/28 2013/12/27 32.3425418 Daiwa Capital Mkt – CSOP A50 ETF European Put Wts Dec 2014 A 98,000,000 2013/06/28 2014/12/23 14.7025410 Daiwa Capital Mkt – HSI European Warrants Dec 2013 D 200,000,000 2013/06/28 2013/12/30 34.0025417 Daiwa Capital Mkt – HSI European Warrants Dec 2013 E 200,000,000 2013/06/28 2013/12/30 30.0025326 HK Bank – HSI European Warrants Dec 2013 H 200,000,000 2013/06/28 2013/12/30 30.0025336 J P Morgan SP BV – AIA European Warrants Jan 2014 B 200,000,000 2013/06/28 2014/01/02 50.0025374 J P Morgan SP BV – CAM CSI300 European Warrants Mar 2014 A 200,000,000 2013/06/28 2014/03/31 50.0025355 J P Morgan SP BV – BEA European Warrants Jul 2014 A 50,000,000 2013/06/28 2014/07/02 12.50

Main Board Warrants



25334 J P Morgan SP BV – BOCL European Warrants Dec 2013 A 200,000,000 2013/06/28 2013/12/31 50.0025354 J P Morgan SP BV – BYD European Warrants Jan 2014 A 80,000,000 2013/06/28 2014/01/02 21.3625352 J P Morgan SP BV – Ch Overseas European Warrants Jul 2014 A 180,000,000 2013/06/28 2014/07/02 45.0025351 J P Morgan SP BV – Chi Res Land European Warrants Feb 2014 A 100,000,000 2013/06/28 2014/02/05 25.0025327 J P Morgan SP BV – Foxconn European Warrants Jan 2014 A 40,000,000 2013/06/28 2014/01/02 12.0825348 J P Morgan SP BV – HS Bank European Warrants Jan 2014 A 40,000,000 2013/06/28 2014/01/02 10.0025347 J P Morgan Int'l Der. Ltd. – HSCEI European Wts Dec 2013 E 200,000,000 2013/06/28 2013/12/30 50.0025330 J P Morgan SP BV – HSI European Warrants Dec 2013 H 500,000,000 2013/06/28 2013/12/30 125.0025346 J P Morgan SP BV – JX Copper European Warrants Jul 2014 A 100,000,000 2013/06/28 2014/07/02 15.1025353 J P Morgan SP BV – Lumena Newmat European Wts Jan 2014 A 60,000,000 2013/06/28 2014/01/13 10.0825328 J P Morgan SP BV – Ping An European Warrants Dec 2013 C 200,000,000 2013/06/28 2013/12/31 50.0025345 J P Morgan SP BV – Sands China European Warrants Jan 2014 A 150,000,000 2013/06/28 2014/01/02 37.5025340 J P Morgan SP BV – ZTE European Warrants Jul 2014 A 80,000,000 2013/06/28 2014/07/02 20.0025318 Macquarie Bank Ltd. – China EB Ltd Euro Warrants Mar 2014 A 100,000,000 2013/06/28 2014/03/03 15.1025419 Macquarie Bank Ltd. – Haitong Sec European Wts May 2014 A 80,000,000 2013/06/28 2014/05/26 12.0025357 Standard Chartered Bank – Anhui Conch Euro Wts Mar 2014 A 80,000,000 2013/06/28 2014/03/05 20.0025369 Standard Chartered Bank – BOCL European Put Wts Feb 2014 A 100,000,000 2013/06/28 2014/02/05 25.0025361 Standard Chartered Bank – BYD European Warrants Oct 2013 B 80,000,000 2013/06/28 2013/10/28 24.0025356 Standard Chartered Bank – CC Bank European Wts Jan 2014 B 100,000,000 2013/06/28 2014/01/09 25.0025371 Standard Chartered Bank – China Coal European Wts Jan 2014 B 100,000,000 2013/06/28 2014/01/28 40.0025372 Standard Chartered Bank – China Life European Wts Jun 2014 B 100,000,000 2013/06/28 2014/06/06 30.0025370 Standard Chartered Bank – China Life Euro Put Wts Jun 2014 A 100,000,000 2013/06/28 2014/06/27 25.0025363 Standard Chartered Bank – ICBC European Warrants Jan 2014 A 100,000,000 2013/06/28 2014/01/06 26.0025368 Standard Chartered Bank – ICBC European Put Wts Jan 2014 B 100,000,000 2013/06/28 2014/01/06 26.0025320 SGA Societe Generale Acceptance N.V – Ch Overseas Eu Wt Dec13B 100,000,000 2013/06/28 2013/12/30 15.0025321 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Dec 2013 G 300,000,000 2013/06/28 2013/12/30 75.0025322 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Dec 2013 H 300,000,000 2013/06/28 2013/12/30 75.0025323 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Dec 13 I 300,000,000 2013/06/28 2013/12/30 75.0025324 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Dec 13 J 300,000,000 2013/06/28 2013/12/30 99.0025395 UBS AG – HSCEI European Put Warrants Feb 2014 A 100,000,000 2013/06/28 2014/02/27 25.0025400 UBS AG – PetroChina European Warrants Dec 2013 B 70,000,000 2013/06/28 2013/12/30 17.5025401 UBS AG – SPDR Gold Trust European Warrants Dec 2013 A 100,000,000 2013/06/28 2013/12/30 45.0025399 UBS AG – Tencent Holdings European Warrants Dec 2013 B 100,000,000 2013/06/28 2013/12/03 18.00Total 41,005.85

# Further issue

Main Board Debt Securities


Debt Securities Trading Statistics

Turnover value Exchange fund notes (HK$ mil) Market total (HK$ mil)2012 Q2 – 1,069.72 Q3 – 742.85 Q4 – 567.602013 Q1 – 585.65 Q2 – 1,818.61

Debt Securities Nominal Value

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

2012 Q2 231 754,232.63 Q3 247 811,545.76 Q4 269 883,784.512013 Q1 299 960,682.29 Q2 355 1,185,676.77

New Listing Statistics – Debt Securities

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

2012 Q2 30 113,905.00 Q3 26 77,396.31 Q4 29 80,894.772013 Q1 37 113,959.19 Q2 69 237,646.45



Newly Listed Debt Securitiesfor 2nd quarter 2013

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

85916 China Minmetals Corporation 3.65% CNY Bonds 2016 RMB 2,500,000,000 2013/04/02 2016/03/28 3,122.5005916 Ch State Construct Fin (Cayman) I Ltd. 3.125% Guar. Notes 2018 USD 500,000,000 2013/04/03 2018/04/02 3,882.1485917 Dorsett Hospitality International Ltd. 6% CNY Bonds 2018 RMB 850,000,000 2013/04/05 2018/04/03 1,064.1205902# Greentown China Holdings Ltd. 8.50% Senior Notes 2018 USD 300,000,000 2013/04/08 2018/02/04 2,398.5005917 SmarTone Finance Ltd. 3.875% Guaranteed Notes 2023 USD 200,000,000 2013/04/09 2023/04/08 1,542.9205919 Central Plaza Development Ltd. 8.375% Senior Perpetual CapSec USD 400,000,000 2013/04/09 – 3,120.0005918 CITIC Pacific Ltd. 6.375% Notes 2020 USD 500,000,000 2013/04/11 2020/04/10 3,900.0005920 CIFI Holdings (Group) Co. Ltd. 12.25% Senior Notes 2018 USD 275,000,000 2013/04/16 2018/04/15 2,145.0005921 CNPC General Capital Ltd. 1.45% Guaranteed Senior Notes 2016 USD 750,000,000 2013/04/17 2016/04/16 5,844.0305922 CNPC General Capital Ltd. 1.95% Guaranteed Senior Notes 2018 USD 500,000,000 2013/04/17 2018/04/16 3,900.0005923 CNPC General Capital Ltd. 3.40% Guaranteed Senior Notes 2023 USD 750,000,000 2013/04/17 2023/04/16 5,848.0105924 FPC Treasury Ltd. 4.5% 4.5% Guaranteed Bonds 2023 USD 400,000,000 2013/04/17 2023/04/16 3,120.0085918 Asia Standard Int’l Group Ltd. 6.5% CNY Senior Notes 2018 RMB 500,000,000 2013/04/18 2018/04/17 627.6005925 Texhong Textile Group Ltd. 6.5% Senior Notes 2019 USD 200,000,000 2013/04/19 2019/01/18 1,551.0005926 Yingde Gases Investment Ltd. 8.125% Senior Notes 2018 USD 300,000,000 2013/04/23 2018/04/22 2,328.2105927 Sinopec Capital (2013) Ltd. 1.25% Senior Notes 2016 USD 750,000,000 2013/04/25 2016/04/24 5,834.7305928 Sinopec Capital (2013) Ltd. 1.875% Senior Notes 2018 USD 1,000,000,000 2013/04/25 2018/04/24 7,790.0205929 Sinopec Capital (2013) Ltd. 3.125% Senior Notes 2023 USD 1,250,000,000 2013/04/25 2023/04/24 9,693.6505930 Sinopec Capital (2013) Ltd. 4.25% Senior Notes 2043 USD 500,000,000 2013/04/25 2043/04/24 3,874.4685919 China Datang Corporation 3.6% CNY Bonds 2016 RMB 2,500,000,000 2013/04/26 2016/04/25 3,141.0005931 China Oil And Gas Group Ltd. 5.25% Senior Notes 2018 USD 350,000,000 2013/04/26 2018/04/25 2,730.0005934 Hong Kong Mortgage Corporation Ltd. The FR Notes 2014 USD 240,000,000 2013/04/26 2014/04/25 1,872.0085920 Lai Fung Holdings Ltd. 6.875% Senior CNY Notes 2018 RMB 1,800,000,000 2013/04/26 2018/04/25 2,261.5205932 Minmetals Land Capital Ltd. 5.50% Guaranteed Bonds 2018 USD 225,000,000 2013/04/29 2018/04/26 1,755.0005933 Minmetals Land Capital Ltd. 6.50% Guaranteed Bonds 2023 USD 125,000,000 2013/04/29 2023/04/26 975.0085921 Golden Wheel Tiandi Hldgs Co. Ltd. 11.25% Senior CNY Notes 2016 RMB 600,000,000 2013/05/03 2016/04/25 755.0405935 Sinochem Global Capital Co. Ltd. Subordinated Guaranteed Perpetual USD 600,000,000 2013/05/03 – 4,680.00 Capital Securities05926# Yingde Gases Investment Ltd. 8.125% Senior Notes 2018 USD 125,000,000 2013/05/03 2018/04/22 1,007.9105936 Parkson Retail Group Ltd. 4.50% Notes 2018 USD 500,000,000 2013/05/06 2018/05/03 3,900.0005937 CITIC Securities Finance 2013 Co., Ltd. 2.5% Credit Enhanced Bonds 2018 USD 800,000,000 2013/05/06 2018/05/03 6,224.5805938 Beijing Enterprises Water Capital Management Ltd. 4.625% Guaranteed Bonds 2018 USD 500,000,000 2013/05/07 2018/05/06 3,900.0004217 The Government of the HKSAR of the PRC 0.34% Bonds 2016 HKD 3,000,000,000 2013/05/10 2016/05/09 2,991.9005939 CNOOC Finance (2013) Ltd. 1.125% Guaranteed Notes 2016 USD 750,000,000 2013/05/10 2016/05/09 5,829.4105940 CNOOC Finance (2013) Ltd. 1.75% Guaranteed Notes 2018 USD 750,000,000 2013/05/10 2018/05/09 5,823.0305941 CNOOC Finance (2013) Ltd. 3.00% Guaranteed Notes 2023 USD 2,000,000,000 2013/05/10 2023/05/09 15,362.4205942 CNOOC Finance (2013) Ltd. 4.25% Guaranteed Notes 2043 USD 500,000,000 2013/05/10 2043/05/09 3,842.0985922 Greentown China Holdings Ltd. 5.625% Senior CNY Notes 2016 RMB 2,500,000,000 2013/05/14 2016/05/13 3,158.2505943 Yuexiu REIT MTN Co. Ltd. 3.1% Notes 2018 USD 350,000,000 2013/05/15 2018/05/14 2,730.0005944 Want Want China Finance Ltd. 1.875% Guaranteed Notes 2018 USD 600,000,000 2013/05/15 2018/05/14 4,675.1385923 I.T Ltd. 6.25% Senior CNY Notes 2018 RMB 1,000,000,000 2013/05/16 2018/05/15 1,263.3005945 CRCC Yuxiang Ltd. 3.50% Guaranteed Notes 2023 USD 800,000,000 2013/05/20 2023/05/16 6,218.6005946 Poly Property Group Co., Ltd. 4.75% Notes 2018 USD 500,000,000 2013/05/20 2018/05/16 3,900.0005947 Societe Generale Callable Zero Coupon Notes 2043 USD 50,000,000 2013/05/21 2043/05/21 390.0004038 Hong Kong Monetary Authority 0.15% Exchange Fund Notes 2015 HKD 1,200,000,000 2013/05/21 2015/05/20 1,198.92



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

05948 Bright Food Hong Kong Ltd. 3% Guaranteed Notes 2018 USD 500,000,000 2013/05/22 2018/05/21 3,877.9705949 IFC Development (Corporate Treasury) Ltd. 2.375% Guaranteed Notes 2019 USD 500,000,000 2013/05/22 2019/05/21 3,868.6905950 Golden Eagle Retail Group Ltd. 4.625% Senior Notes 2023 USD 400,000,000 2013/05/22 2023/05/21 3,106.9305951 CITIC Pacific Ltd. 8.625% Perpetual Subordinated Capital Securities USD 800,000,000 2013/05/23 – 6,240.0005951# CITIC Pacific Ltd. 8.625% Perpetual Subordinated Capital Securities USD 200,000,000 2013/05/23 – 1,567.8005952 R-REIT International Finance Ltd. 4.1% Guaranteed Notes 2018 USD 150,000,000 2013/05/23 2018/05/22 1,164.7705953 State Grid Overseas Invest(2013)Ltd.1.75% Senior Guar. N2018 USD 500,000,000 2013/05/23 2018/05/22 3,893.8805954 State Grid Overseas Invest(2013)Ltd.3.125% Senior Guar.N2023 USD 1,000,000,000 2013/05/23 2023/05/22 7,720.6005955 State Grid Overseas Invest(2013)Ltd.4.375% Senior Guar.N2043 USD 500,000,000 2013/05/23 2043/05/22 3,825.2085925 Brave Rise Investments Ltd. 4.7% Garanteed CNY Bonds 2016 RMB 230,000,000 2013/05/27 2016/05/24 291.0085924 Powerlong Real Estate Hldgs Ltd. 9.50% Senior CNY Notes 2016 RMB 800,000,000 2013/05/28 2016/05/27 1,012.4805956 CDaye Non-Ferrous Metals Mining USD Settled 0.5% Conv.B2018 RMB 820,000,000 2013/05/31 2018/05/30 1,038.8604039 Hong Kong Monetary Authority 1.09% Exchange Fund Notes 2023 HKD 800,000,000 2013/06/06 2023/06/05 772.0885926 Eastern Air Overseas (HK) Corp. Ltd. 3.875% Guar. CNY B2016 RMB 2,200,000,000 2013/06/06 2016/06/05 2,785.2085927 Uni-President China Holdings Ltd. 3.5% CNY Notes 2016 RMB 1,000,000,000 2013/06/07 2016/06/06 1,266.2005957 Huaneng Hong Kong Capital Ltd. 3.375% Guaranteed Bonds 2018 USD 400,000,000 2013/06/13 2018/06/11 3,112.6005958 MTR Corporation Ltd. 3.65% Notes 2043 USD 90,000,000 2013/06/18 2043/06/17 702.0004040 Hong Kong Monetary Authority 7.24% Exchange Fund Notes 2003 HKD 1,000,000,000 2013/06/18 2018/06/18 999.5004015# Hong Kong Monetary Authority 1.57% Exchange Fund Notes 2016 HKD 1,200,000,000 2013/06/18 2016/06/13 1,241.6405959 Societe Generale Callable Zero Coupon Notes 2043 A USD 25,000,000 2013/06/18 2043/06/18 195.0005960 Societe Generale Callable Zero Coupon Notes 2043 B USD 30,000,000 2013/06/21 2043/06/21 234.0005961 Societe Generale Callable Zero Coupon Notes 2043 C USD 20,000,000 2013/06/24 2043/06/24 156.0004218 The Govt of the HKSAR of the PRC iBonds 2016 HKD 10,000,000,000 2013/06/25 2016/06/24 10,000.0086607 Ministry of Finance of the PRC 2.87% CNY Bonds 2016 RMB 7,000,000,000 2013/06/28 2016/06/27 8,831.9086608 Ministry of Finance of the PRC 3.02% CNY Bonds 2018 RMB 2,700,000,000 2013/06/28 2018/06/27 3,406.5986609 Ministry of Finance of the PRC 3.09% CNY Bonds 2020 RMB 1,200,000,000 2013/06/28 2020/06/27 1,514.0486610 Ministry of Finance of the PRC 3.16% CNY Bonds 2023 RMB 1,100,000,000 2013/06/28 2023/06/27 1,387.8786611 Ministry of Finance of the PRC 3.60% CNY Bonds 2028 RMB 500,000,000 2013/06/28 2028/06/27 630.8586612 Ministry of Finance of the PRC 3.95% CNY Bonds 2043 RMB 500,000,000 2013/06/28 2043/06/27 630.85

Total 237,646.45# Further issue

Main Board Unit Trusts and Mutual Funds


Unit Trusts and Mutual Funds Trading Statistics

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

2012 Q2 92,849.35 16,848.41 66.55 109,764.32 3.59 Q3 99,979.83 14,391.15 105.35 114,476.33 3.86 Q4 213,637.42 22,489.26 51.26 236,177.94 6.932013 Q1 309,073.10 22,090.25 84.66 331,248.01 7.57 Q2 232,045.35 27,829.00 41.10 259,915.45 6.98

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

Unit Trusts and Mutual Funds Market Value

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

2012 Q2 92 711,788.89 9 136,167.04 2 2,367.38 103 850,323.31 Q3 96 808,879.98 9 158,736.84 2 2,157.57 107 969,774.39 Q4 100 839,802.08 9 174,124.01 2 1,474.98 111 1,015,401.072013 Q1 100 808,762.75 9 188,509.03 2 1,445.61 111 998,717.39 Q2 110 577,695.30 9 174,766.41 2 1,290.35 121 753,752.05

New Listing Unit Trust and Mutual Funds Statistics

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

2012 Q2 3 – Q3 4 – Q4 4 –2013 Q1 – – Q2 10 –

Main Board Unit Trusts and Mutual Funds


Newly Listed Unit Trust and Mutual Fundsfor 2nd quarter 2013

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

03013 db x-trackers MSCI AC Asia Ex Jap H Div DB Platinum Advisors n.a. n.a. n.a. n.a. 2013/04/11 Yield Idx UCITS ETF03105 db x-trackers MSCI Bangladesh IM Index DB Platinum Advisors n.a. n.a. n.a. n.a. 2013/04/11 UCITS ETF03106 db x-trackers MSCI Pakistan IM Index DB Platinum Advisors n.a. n.a. n.a. n.a. 2013/04/11 UCITS ETF03016 db x-trackers MSCI Philippines IM Index DB Platinum Advisors n.a. n.a. n.a. n.a. 2013/04/11 UCITS ETF03065 db x-trackers MSCI Singapore IM Index DB Platinum Advisors n.a. n.a. n.a. n.a. 2013/04/11 UCITS ETF02805 Vanguard FTSE Asia ex Japan Index ETF The Vanguard Group, Inc. n.a. n.a. n.a. n.a. 2013/05/1583136/ Harvest MSCI China A 50 Index ETF Harvest Global Investments Limited n.a. n.a. n.a. n.a. 2013/06/060313603040 Horizons MSCI China ETF Mirae Asset Global Investments n.a. n.a. n.a. n.a. 2013/06/17 (Hong Kong) Limited03110 Horizons Hang Seng High Dividend Yield ETF Mirae Asset Global Investments n.a. n.a. n.a. n.a. 2013/06/17 (Hong Kong) Limited83139/ iShares RMB BOND INDEX ETF BlackRock Asset Management n.a. n.a. n.a. n.a. 2013/06/1803139 North Asia Limited

Main Board Callable Bull/Bear Contracts


Callable Bull/Bear Contracts Trading Statistics Number Market value Turnover value (HK$ mil.) (HK$ mil.)2012 Q2 1,021 46,730.67 385,316.23 Q3 1,104 49,099.81 367,897.88 Q4 1,214 53,414.12 315,589.202013 Q1 1,276 45,190.12 355,912.23 Q2 1,222 52,676.48 326,008.67

New Listings Callable Bull/Bear Contracts Statistics No. of newly listed CBBC Amount raised (HK$ mil.)2012 Q2 1,530 91,955.65 Q3 1,656 94,844.71 Q4 1,451 80,018.422013 Q1 1,922 100,336.26 Q2 2,415 132,125.62



Newly Listed Callable Bull/Bear Contractsfor 2nd quarter 2013 No. of Amount raisedCode Callable Bull/Bear Contracts issue (units) Listing date Expiry (HK$ mil.)66727 Credit Suisse AG – HSI R Bull CBBC Nov 2013 O 300,000,000 2013/04/02 2013/11/28 75.0066763 Credit Suisse AG – HSI R Bear CBBC Sep 2013 F 300,000,000 2013/04/02 2013/09/27 75.0066733 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 A 150,000,000 2013/04/02 2013/07/30 37.8066734 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 B 150,000,000 2013/04/02 2013/07/30 38.8566735 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 C 150,000,000 2013/04/02 2013/07/30 38.2566739 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 D 150,000,000 2013/04/02 2013/07/30 37.5066744 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 E 150,000,000 2013/04/02 2013/07/30 39.1566706 HK Bank – A50 R Bull CBBC Sep 2013 F 100,000,000 2013/04/02 2013/09/16 25.0066709 HK Bank – A50 R Bull CBBC Nov 2013 B 100,000,000 2013/04/02 2013/11/06 29.0066705 HK Bank – HSI R Bull CBBC Aug 2013 K 100,000,000 2013/04/02 2013/08/29 25.0066720 HK Bank – TCH R Bull CBBC Nov 2013 B 50,000,000 2013/04/02 2013/11/25 26.5066712 HK Bank – TCH R Bear CBBC Aug 2013 D 50,000,000 2013/04/02 2013/08/12 15.0066747 UBS AG – China Life R Bull CBBC Oct 2013 A 100,000,000 2013/04/02 2013/10/07 25.0066748 UBS AG – HKEx R Bull CBBC Dec 2013 A 100,000,000 2013/04/02 2013/12/16 25.0066756 UBS AG – HSBC R Bear CBBC Sep 2013 B 100,000,000 2013/04/02 2013/09/09 25.0066731 UBS AG – HSI R Bull CBBC Feb 2014 C 350,000,000 2013/04/02 2014/02/27 87.5066745 UBS AG – HSI R Bull CBBC Mar 2014 A 350,000,000 2013/04/02 2014/03/28 87.5066764 UBS AG – HSI R Bear CBBC Sep 2013 Q 350,000,000 2013/04/02 2013/09/27 87.5066765 UBS AG – HSI R Bear CBBC Sep 2013 R 300,000,000 2013/04/02 2013/09/27 75.0066752 UBS AG – Hutchison R Bull CBBC Dec 2013 A 100,000,000 2013/04/02 2013/12/16 25.0066786 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 D 300,000,000 2013/04/03 2013/07/30 75.0066784 Credit Suisse AG – HSI R Bear CBBC Sep 2013 G 300,000,000 2013/04/03 2013/09/27 75.0066785 Credit Suisse AG – HSI R Bear CBBC Sep 2013 H 300,000,000 2013/04/03 2013/09/27 75.0066793 Credit Suisse AG – HSI R Bear CBBC Sep 2013 I 300,000,000 2013/04/03 2013/09/27 75.0066798 UBS AG – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/04/03 2013/12/30 75.0066807 UBS AG – HSI R Bull CBBC Dec 2013 J 350,000,000 2013/04/03 2013/12/30 87.5066787 UBS AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/04/03 2013/08/29 75.0066788 UBS AG – HSI R Bear CBBC Sep 2013 S 300,000,000 2013/04/03 2013/09/27 75.0066841 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 E 300,000,000 2013/04/05 2013/12/30 75.0066903 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/04/05 2013/12/30 75.0066842 Credit Suisse AG – HSI R Bull CBBC Nov 2013 P 300,000,000 2013/04/05 2013/11/28 75.0066845 Credit Suisse AG – HSI R Bull CBBC Nov 2013 Q 300,000,000 2013/04/05 2013/11/28 75.0066894 Credit Suisse AG – HSI R Bull CBBC Nov 2013 R 300,000,000 2013/04/05 2013/11/28 75.0066857 Credit Suisse AG – HSI R Bear CBBC Sep 2013 J 300,000,000 2013/04/05 2013/09/27 75.0066829 HK Bank – CC Bank R Bull CBBC Aug 2013 D 80,000,000 2013/04/05 2013/08/28 20.0066827 HK Bank – China Life R Bear CBBC Sep 2013 C 50,000,000 2013/04/05 2013/09/30 14.0066809 HK Bank – HSCEI R Bull CBBC Dec 2013 C 100,000,000 2013/04/05 2013/12/30 25.0066828 HK Bank – SHK Ppt R Bear CBBC Sep 2013 C 50,000,000 2013/04/05 2013/09/23 12.5066817 HK Bank – TCH R Bull CBBC Dec 2013 A 50,000,000 2013/04/05 2013/12/23 25.5066811 HK Bank – TCH R Bear CBBC Nov 2013 A 50,000,000 2013/04/05 2013/11/06 16.0066850 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 J 100,000,000 2013/04/05 2013/07/30 25.0066899 UBS AG – HSCEI R Bull CBBC Oct 2013 D 100,000,000 2013/04/05 2013/10/30 25.0066896 UBS AG – HSI R Bull CBBC Nov 2013 T 300,000,000 2013/04/05 2013/11/28 75.00



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

66846 UBS AG – HSI R Bull CBBC Mar 2014 B 350,000,000 2013/04/05 2014/03/28 87.5066861 UBS AG – HSI R Bear CBBC Sep 2013 T 350,000,000 2013/04/05 2013/09/27 87.5066870 UBS AG – HSI R Bear CBBC Sep 2013 U 350,000,000 2013/04/05 2013/09/27 87.5066986 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 S 300,000,000 2013/04/08 2013/12/30 75.0066945 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 E 300,000,000 2013/04/08 2013/07/30 75.0066936 Credit Suisse AG – HSI R Bull CBBC Nov 2013 S 300,000,000 2013/04/08 2013/11/28 75.0066993 Credit Suisse AG – HSI R Bull CBBC Nov 2013 T 300,000,000 2013/04/08 2013/11/28 75.0066994 Credit Suisse AG – HSI R Bull CBBC Nov 2013 U 300,000,000 2013/04/08 2013/11/28 75.0066995 Credit Suisse AG – HSI R Bull CBBC Nov 2013 V 300,000,000 2013/04/08 2013/11/28 75.0066937 Credit Suisse AG – HSI R Bear CBBC Sep 2013 K 300,000,000 2013/04/08 2013/09/27 75.0066942 Credit Suisse AG – HSI R Bear CBBC Sep 2013 L 300,000,000 2013/04/08 2013/09/27 75.0066906 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 F 150,000,000 2013/04/08 2013/07/30 37.9567003 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 G 150,000,000 2013/04/08 2013/07/30 37.6567017 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 H 150,000,000 2013/04/08 2013/07/30 38.8567019 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 I 150,000,000 2013/04/08 2013/07/30 37.8067020 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 J 150,000,000 2013/04/08 2013/07/30 38.5567037 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 K 150,000,000 2013/04/08 2013/07/30 38.8567042 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 L 150,000,000 2013/04/08 2013/07/30 37.9566909 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 A 150,000,000 2013/04/08 2013/07/30 38.4066928 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 B 150,000,000 2013/04/08 2013/07/30 38.4066951 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 R 100,000,000 2013/04/08 2013/09/27 25.0066985 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 S 100,000,000 2013/04/08 2013/09/27 25.0066933 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 K 100,000,000 2013/04/08 2013/07/30 25.0067001 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 I 200,000,000 2013/04/08 2013/07/30 50.0067002 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 I 200,000,000 2013/04/08 2013/07/30 50.0066988 UBS AG – HSI R Bull CBBC Oct 2013 Z 300,000,000 2013/04/08 2013/10/30 75.0066991 UBS AG – HSI R Bull CBBC Feb 2014 D 300,000,000 2013/04/08 2014/02/27 75.0066990 UBS AG – HSI R Bull CBBC Mar 2014 C 350,000,000 2013/04/08 2014/03/28 87.5066946 UBS AG – HSI R Bear CBBC Jul 2013 Z 300,000,000 2013/04/08 2013/07/30 75.0066949 UBS AG – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/04/08 2013/08/29 75.0067056 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 D 300,000,000 2013/04/09 2013/12/30 75.0067064 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 F 300,000,000 2013/04/09 2013/07/30 75.0067052 Credit Suisse AG – HSI R Bull CBBC Nov 2013 W 300,000,000 2013/04/09 2013/11/28 75.0067054 Credit Suisse AG – HSI R Bull CBBC Nov 2013 X 300,000,000 2013/04/09 2013/11/28 75.0067049 Credit Suisse AG – HSI R Bear CBBC Sep 2013 M 300,000,000 2013/04/09 2013/09/27 75.0067070 Credit Suisse AG – HSI R Bear CBBC Sep 2013 N 300,000,000 2013/04/09 2013/09/27 75.0067077 Credit Suisse AG – HSI R Bear CBBC Sep 2013 O 300,000,000 2013/04/09 2013/09/27 75.0067079 Credit Suisse AG – HSI R Bear CBBC Sep 2013 P 300,000,000 2013/04/09 2013/09/27 75.0067044 HK Bank – HSI R Bull CBBC Oct 2013 H 100,000,000 2013/04/09 2013/10/30 25.0067045 HK Bank – HSI R Bear CBBC Nov 2013 K 400,000,000 2013/04/09 2013/11/28 100.0067063 UBS AG – HSI R Bull CBBC Nov 2013 U 300,000,000 2013/04/09 2013/11/28 75.0067058 UBS AG – HSI R Bull CBBC Feb 2014 E 350,000,000 2013/04/09 2014/02/27 87.5067084 UBS AG – HSI R Bear CBBC Jul 2013 S 300,000,000 2013/04/09 2013/07/30 75.0067086 UBS AG – HSI R Bear CBBC Aug 2013 O 350,000,000 2013/04/09 2013/08/29 87.5067097 Credit Suisse AG – HSI R Bull CBBC Oct 2013 N 300,000,000 2013/04/10 2013/10/30 75.00




67098 Credit Suisse AG – HSI R Bear CBBC Jul 2013 W 300,000,000 2013/04/10 2013/07/30 75.0067132 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 M 150,000,000 2013/04/10 2013/07/30 38.1067124 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 C 150,000,000 2013/04/10 2013/07/30 38.7067087 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 N 200,000,000 2013/04/10 2013/07/30 50.0067088 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 J 200,000,000 2013/04/10 2013/07/30 50.0067100 UBS AG – CNBM R Bear CBBC Sep 2013 A 50,000,000 2013/04/10 2013/09/09 13.0067101 UBS AG – A50 China R Bear CBBC Aug 2013 C 100,000,000 2013/04/10 2013/08/12 25.0067107 UBS AG – Galaxy Ent R Bear CBBC Aug 2013 A 50,000,000 2013/04/10 2013/08/26 23.5067099 UBS AG – HKEx R Bear CBBC Sep 2013 A 100,000,000 2013/04/10 2013/09/30 25.0067117 UBS AG – HSI R Bull CBBC Nov 2013 V 300,000,000 2013/04/10 2013/11/28 75.0067123 UBS AG – HSI R Bull CBBC Dec 2013 K 350,000,000 2013/04/10 2013/12/30 87.5067119 UBS AG – HSI R Bull CBBC Feb 2014 F 350,000,000 2013/04/10 2014/02/27 87.5067091 UBS AG – HSI R Bear CBBC Aug 2013 R 300,000,000 2013/04/10 2013/08/29 75.0067108 UBS AG – SHK Ppt R Bear CBBC Nov 2013 A 100,000,000 2013/04/10 2013/11/04 25.0067106 UBS AG – TCH R Bear CBBC Sep 2013 A 100,000,000 2013/04/10 2013/09/02 25.5067152 Credit Suisse AG – HSI R Bull CBBC Oct 2013 O 300,000,000 2013/04/11 2013/10/30 75.0067154 Credit Suisse AG – HSI R Bear CBBC Jul 2013 Z 300,000,000 2013/04/11 2013/07/30 75.0067134 HK Bank – CUni R Bear CBBC Sep 2013 A 40,000,000 2013/04/11 2013/09/23 10.4067133 HK Bank – China Life R Bull CBBC Dec 2013 A 60,000,000 2013/04/11 2013/12/23 27.0067140 HK Bank – China Shenhua R Bear CBBC Dec 2013 B 40,000,000 2013/04/11 2013/12/18 10.0067135 HK Bank – Yanzhou Coal R Bull CBBC Nov 2013 A 50,000,000 2013/04/11 2013/11/25 12.5067150 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 O 200,000,000 2013/04/11 2013/07/30 50.0067151 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 K 200,000,000 2013/04/11 2013/07/30 50.0067160 UBS AG – CSOP A50 ETF R Bear CBBC Jul 2013 D 100,000,000 2013/04/11 2013/07/22 25.0067153 UBS AG – HSI R Bull CBBC Oct 2013 A 300,000,000 2013/04/11 2013/10/30 75.0067158 UBS AG – HSI R Bull CBBC Dec 2013 L 300,000,000 2013/04/11 2013/12/30 75.0067155 UBS AG – HSI R Bear CBBC Jul 2013 U 300,000,000 2013/04/11 2013/07/30 75.0067156 UBS AG – HSI R Bear CBBC Sep 2013 V 300,000,000 2013/04/11 2013/09/27 75.0067311 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2013 G 200,000,000 2013/04/12 2013/12/30 50.0067179 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/04/12 2013/12/30 75.0067181 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 G 300,000,000 2013/04/12 2013/12/30 75.0067184 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/04/12 2013/12/30 75.0067175 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 K 300,000,000 2013/04/12 2013/12/30 75.0067177 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 N 300,000,000 2013/04/12 2013/12/30 75.0067312 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 G 300,000,000 2013/04/12 2013/07/30 75.0067314 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 H 300,000,000 2013/04/12 2013/07/30 75.0067315 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 I 300,000,000 2013/04/12 2013/07/30 75.0067316 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 J 300,000,000 2013/04/12 2013/07/30 75.0067317 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 K 300,000,000 2013/04/12 2013/07/30 75.0067318 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 L 300,000,000 2013/04/12 2013/07/30 75.0067324 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 M 300,000,000 2013/04/12 2013/07/30 75.0067335 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 N 300,000,000 2013/04/12 2013/07/30 75.0067389 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 O 300,000,000 2013/04/12 2013/07/30 75.0067186 Credit Suisse AG – HSI R Bull CBBC Sep 2013 E 300,000,000 2013/04/12 2013/09/27 75.0067185 Credit Suisse AG – HSI R Bull CBBC Sep 2013 X 300,000,000 2013/04/12 2013/09/27 75.00




67196 Credit Suisse AG – HSI R Bull CBBC Oct 2013 P 300,000,000 2013/04/12 2013/10/30 75.0067199 Credit Suisse AG – HSI R Bull CBBC Oct 2013 W 300,000,000 2013/04/12 2013/10/30 75.0067359 Credit Suisse AG – HSI R Bull CBBC Nov 2013 B 300,000,000 2013/04/12 2013/11/28 75.0067208 Credit Suisse AG – HSI R Bull CBBC Nov 2013 Y 300,000,000 2013/04/12 2013/11/28 75.0067209 Credit Suisse AG – HSI R Bull CBBC Nov 2013 Z 300,000,000 2013/04/12 2013/11/28 75.0067432 Credit Suisse AG – HSI R Bear CBBC Jul 2013 A 300,000,000 2013/04/12 2013/07/30 75.0067433 Credit Suisse AG – HSI R Bear CBBC Jul 2013 C 300,000,000 2013/04/12 2013/07/30 75.0067367 Credit Suisse AG – HSI R Bear CBBC Jul 2013 R 300,000,000 2013/04/12 2013/07/30 75.0067381 Credit Suisse AG – HSI R Bear CBBC Jul 2013 T 300,000,000 2013/04/12 2013/07/30 75.0067378 Credit Suisse AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/04/12 2013/08/29 75.0067412 Credit Suisse AG – HSI R Bear CBBC Aug 2013 U 300,000,000 2013/04/12 2013/08/29 75.0067422 Credit Suisse AG – HSI R Bear CBBC Aug 2013 V 300,000,000 2013/04/12 2013/08/29 75.0067255 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 N 150,000,000 2013/04/12 2013/07/30 37.6567258 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 O 150,000,000 2013/04/12 2013/07/30 38.1067259 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 P 150,000,000 2013/04/12 2013/07/30 37.6567260 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 D 150,000,000 2013/04/12 2013/07/30 37.8067263 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 E 150,000,000 2013/04/12 2013/07/30 38.1067264 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 F 150,000,000 2013/04/12 2013/07/30 37.5067265 J P Morgan SP BV – HSI R Bear CBBC Jul 2013 L 300,000,000 2013/04/12 2013/07/30 75.0067271 J P Morgan SP BV – HSI R Bear CBBC Jul 2013 M 300,000,000 2013/04/12 2013/07/30 75.0067275 J P Morgan SP BV – HSI R Bear CBBC Jul 2013 N 300,000,000 2013/04/12 2013/07/30 75.0067276 J P Morgan SP BV – HSI R Bear CBBC Jul 2013 O 300,000,000 2013/04/12 2013/07/30 75.0067281 J P Morgan SP BV – HSI R Bear CBBC Jul 2013 P 300,000,000 2013/04/12 2013/07/30 75.0067435 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 D 60,000,000 2013/04/12 2013/09/27 15.0067459 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 E 60,000,000 2013/04/12 2013/09/27 15.0067460 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 F 60,000,000 2013/04/12 2013/09/27 15.0067447 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 H 60,000,000 2013/04/12 2013/09/27 15.0067449 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 I 60,000,000 2013/04/12 2013/09/27 15.0067450 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 J 60,000,000 2013/04/12 2013/09/27 15.0067451 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 K 60,000,000 2013/04/12 2013/09/27 15.0067452 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 L 60,000,000 2013/04/12 2013/09/27 15.0067461 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 M 60,000,000 2013/04/12 2013/09/27 15.0067174 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 T 100,000,000 2013/04/12 2013/09/27 25.0067358 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 U 100,000,000 2013/04/12 2013/09/27 25.0067336 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 L 100,000,000 2013/04/12 2013/07/30 25.0067338 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 M 100,000,000 2013/04/12 2013/07/30 25.0067168 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 H 200,000,000 2013/04/12 2013/07/30 50.0067299 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 J 200,000,000 2013/04/12 2013/07/30 50.0067161 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 M 200,000,000 2013/04/12 2013/07/30 50.0067282 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 O 200,000,000 2013/04/12 2013/08/29 50.0067292 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 P 200,000,000 2013/04/12 2013/08/29 50.0067304 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 L 200,000,000 2013/04/12 2013/07/30 50.0067309 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 M 200,000,000 2013/04/12 2013/07/30 50.0067310 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 N 200,000,000 2013/04/12 2013/07/30 50.0067529 UBS AG – China Life R Bull CBBC Aug 2013 B 100,000,000 2013/04/12 2013/08/19 45.00




67528 UBS AG – China Life R Bear CBBC Dec 2013 A 100,000,000 2013/04/12 2013/12/09 25.0067519 UBS AG – CSOP A50 ETF R Bull CBBC Jan 2014 A 100,000,000 2013/04/12 2014/01/27 25.0067506 UBS AG – Evergrande R Bull CBBC Mar 2014 A 50,000,000 2013/04/12 2014/03/17 12.5067511 UBS AG – A50 China R Bull CBBC Jan 2014 C 100,000,000 2013/04/12 2014/01/27 25.0067462 UBS AG – HSCEI R Bear CBBC Jul 2013 E 100,000,000 2013/04/12 2013/07/30 25.0067463 UBS AG – HSCEI R Bear CBBC Aug 2013 B 100,000,000 2013/04/12 2013/08/29 25.0067210 UBS AG – HSI R Bull CBBC Oct 2013 D 300,000,000 2013/04/12 2013/10/30 75.0067240 UBS AG – HSI R Bull CBBC Nov 2013 W 300,000,000 2013/04/12 2013/11/28 75.0067218 UBS AG – HSI R Bull CBBC Dec 2013 M 300,000,000 2013/04/12 2013/12/30 75.0067254 UBS AG – HSI R Bull CBBC Feb 2014 G 300,000,000 2013/04/12 2014/02/27 75.0067225 UBS AG – HSI R Bull CBBC Mar 2014 D 350,000,000 2013/04/12 2014/03/28 87.5067497 UBS AG – HSI R Bull CBBC Mar 2014 E 300,000,000 2013/04/12 2014/03/28 75.0067498 UBS AG – HSI R Bull CBBC Mar 2014 F 300,000,000 2013/04/12 2014/03/28 75.0067493 UBS AG – HSI R Bull CBBC May 2014 A 300,000,000 2013/04/12 2014/05/29 75.0067496 UBS AG – HSI R Bull CBBC May 2014 B 300,000,000 2013/04/12 2014/05/29 75.0067480 UBS AG – HSI R Bull CBBC Jul 2014 A 300,000,000 2013/04/12 2014/07/30 75.0067470 UBS AG – HSI R Bear CBBC Jul 2013 V 300,000,000 2013/04/12 2013/07/30 75.0067473 UBS AG – HSI R Bear CBBC Jul 2013 W 300,000,000 2013/04/12 2013/07/30 75.0067464 UBS AG – HSI R Bear CBBC Jul 2013 X 300,000,000 2013/04/12 2013/07/30 75.0067469 UBS AG – HSI R Bear CBBC Jul 2013 Y 300,000,000 2013/04/12 2013/07/30 75.0067468 UBS AG – HSI R Bear CBBC Aug 2013 N 350,000,000 2013/04/12 2013/08/29 87.5067534 UBS AG – HSI R Bear CBBC Aug 2013 S 350,000,000 2013/04/12 2013/08/29 87.5067532 UBS AG – Petrochina R Bull CBBC Oct 2013 B 100,000,000 2013/04/12 2013/10/21 25.0062125# Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2012 H 180,000,000 2013/04/12 2012/08/30 20.8867537 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 O 300,000,000 2013/04/15 2013/12/30 75.0067589 Credit Suisse AG – HSI R Bull CBBC Sep 2013 T 300,000,000 2013/04/15 2013/09/27 75.0067593 Credit Suisse AG – HSI R Bull CBBC Sep 2013 Z 300,000,000 2013/04/15 2013/09/27 75.0067590 Credit Suisse AG – HSI R Bull CBBC Oct 2013 Q 300,000,000 2013/04/15 2013/10/30 75.0067637 Credit Suisse AG – HSI R Bull CBBC Oct 2013 T 300,000,000 2013/04/15 2013/10/30 75.0067551 Credit Suisse AG – HSI R Bull CBBC Oct 2013 X 300,000,000 2013/04/15 2013/10/30 75.0067592 Credit Suisse AG – HSI R Bull CBBC Nov 2013 A 300,000,000 2013/04/15 2013/11/28 75.0067552 Credit Suisse AG – HSI R Bull CBBC Dec 2013 A 300,000,000 2013/04/15 2013/12/30 99.0067553 Credit Suisse AG – HSI R Bull CBBC Dec 2013 B 300,000,000 2013/04/15 2013/12/30 93.0067562 Credit Suisse AG – HSI R Bull CBBC Dec 2013 C 300,000,000 2013/04/15 2013/12/30 85.5067563 Credit Suisse AG – HSI R Bull CBBC Dec 2013 D 300,000,000 2013/04/15 2013/12/30 79.5067564 Credit Suisse AG – HSI R Bull CBBC Dec 2013 E 300,000,000 2013/04/15 2013/12/30 75.0067547 Credit Suisse AG – HSI R Bear CBBC Aug 2013 W 300,000,000 2013/04/15 2013/08/29 75.0067548 Credit Suisse AG – HSI R Bear CBBC Aug 2013 X 300,000,000 2013/04/15 2013/08/29 75.0067549 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/04/15 2013/08/29 75.0067550 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Z 300,000,000 2013/04/15 2013/08/29 75.0067644 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 G 150,000,000 2013/04/15 2013/07/30 38.7067645 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 H 150,000,000 2013/04/15 2013/07/30 37.8067646 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 I 150,000,000 2013/04/15 2013/07/30 37.9567650 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 J 150,000,000 2013/04/15 2013/07/30 37.6567652 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 K 150,000,000 2013/04/15 2013/07/30 37.95




67597 J P Morgan SP BV – HSI R Bull CBBC Jul 2013 W 300,000,000 2013/04/15 2013/07/30 75.0067598 J P Morgan SP BV – HSI R Bull CBBC Jul 2013 X 300,000,000 2013/04/15 2013/07/30 75.0067599 J P Morgan SP BV – HSI R Bull CBBC Jul 2013 Y 300,000,000 2013/04/15 2013/07/30 75.0067600 J P Morgan SP BV – HSI R Bull CBBC Jul 2013 Z 300,000,000 2013/04/15 2013/07/30 75.0067596 J P Morgan SP BV – HSI R Bear CBBC Jul 2013 Q 300,000,000 2013/04/15 2013/07/30 75.0067658 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 G 60,000,000 2013/04/15 2013/09/27 15.0067659 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 H 60,000,000 2013/04/15 2013/09/27 15.0067535 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 V 100,000,000 2013/04/15 2013/09/27 25.0067536 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 W 100,000,000 2013/04/15 2013/09/27 25.0067621 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Oct13 A 100,000,000 2013/04/15 2013/10/30 25.0067627 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Oct13 B 100,000,000 2013/04/15 2013/10/30 25.0067628 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Oct13 C 100,000,000 2013/04/15 2013/10/30 25.0067630 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBCOct13 A 100,000,000 2013/04/15 2013/10/30 25.0067634 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Oct13B 100,000,000 2013/04/15 2013/10/30 25.0067636 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Oct13C 100,000,000 2013/04/15 2013/10/30 25.0067614 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 K 200,000,000 2013/04/15 2013/07/30 50.0067617 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 O 200,000,000 2013/04/15 2013/07/30 50.0067638 UBS AG – HSI R Bull CBBC Dec 2013 N 300,000,000 2013/04/15 2013/12/30 75.0067543 UBS AG – HSI R Bull CBBC Feb 2014 H 300,000,000 2013/04/15 2014/02/27 75.0067542 UBS AG – HSI R Bull CBBC Mar 2014 G 300,000,000 2013/04/15 2014/03/28 75.0067539 UBS AG – HSI R Bull CBBC Apr 2014 A 300,000,000 2013/04/15 2014/04/29 75.0067544 UBS AG – HSI R Bull CBBC Apr 2014 B 300,000,000 2013/04/15 2014/04/29 75.0067641 UBS AG – HSI R Bear CBBC Aug 2013 A 300,000,000 2013/04/15 2013/08/29 75.0067538 UBS AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/04/15 2013/08/29 75.0067639 UBS AG – HSI R Bear CBBC Sep 2013 W 300,000,000 2013/04/15 2013/09/27 75.0067640 UBS AG – HSI R Bear CBBC Oct 2013 L 300,000,000 2013/04/15 2013/10/30 75.0067747 Credit Suisse AG – HSI R Bull CBBC Aug 2013 Z 300,000,000 2013/04/16 2013/08/29 75.0067748 Credit Suisse AG – HSI R Bull CBBC Oct 2013 R 300,000,000 2013/04/16 2013/10/30 75.0067754 Credit Suisse AG – HSI R Bull CBBC Oct 2013 U 300,000,000 2013/04/16 2013/10/30 75.0067680 Credit Suisse AG – HSI R Bull CBBC Feb 2014 A 300,000,000 2013/04/16 2014/02/27 75.0067709 Credit Suisse AG – HSI R Bull CBBC Feb 2014 B 300,000,000 2013/04/16 2014/02/27 75.0067716 Credit Suisse AG – HSI R Bull CBBC Feb 2014 C 300,000,000 2013/04/16 2014/02/27 75.0067718 Credit Suisse AG – HSI R Bull CBBC Feb 2014 D 300,000,000 2013/04/16 2014/02/27 75.0067719 Credit Suisse AG – HSI R Bull CBBC Feb 2014 E 300,000,000 2013/04/16 2014/02/27 75.0067730 Credit Suisse AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/04/16 2013/08/29 75.0067732 Credit Suisse AG – HSI R Bear CBBC Aug 2013 M 300,000,000 2013/04/16 2013/08/29 75.0067723 Credit Suisse AG – HSI R Bear CBBC Aug 2013 N 300,000,000 2013/04/16 2013/08/29 75.0067733 Credit Suisse AG – HSI R Bear CBBC Aug 2013 O 300,000,000 2013/04/16 2013/08/29 75.0067671 HK Bank – A50 R Bull CBBC Sep 2013 G 100,000,000 2013/04/16 2013/09/30 25.0067664 HK Bank – A50 R Bear CBBC Sep 2013 C 50,000,000 2013/04/16 2013/09/30 12.5067672 HK Bank – HKEx R Bear CBBC Nov 2013 B 50,000,000 2013/04/16 2013/11/11 12.5067662 HK Bank – HSCEI R Bear CBBC Sep 2013 B 68,000,000 2013/04/16 2013/09/27 17.0067660 HK Bank – HSI R Bear CBBC Aug 2013 J 100,000,000 2013/04/16 2013/08/29 25.0067661 HK Bank – HSI R Bear CBBC Sep 2013 K 100,000,000 2013/04/16 2013/09/27 25.0067673 HK Bank – Ping An R Bull CBBC Oct 2013 B 60,000,000 2013/04/16 2013/10/21 15.00




67674 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 N 100,000,000 2013/04/16 2013/07/30 25.0067755 UBS AG – HSI R Bull CBBC Sep 2013 M 300,000,000 2013/04/16 2013/09/27 75.0067757 UBS AG – HSI R Bull CBBC Sep 2013 S 300,000,000 2013/04/16 2013/09/27 75.0067746 UBS AG – HSI R Bear CBBC Aug 2013 B 300,000,000 2013/04/16 2013/08/29 75.0067742 UBS AG – HSI R Bear CBBC Oct 2013 M 300,000,000 2013/04/16 2013/10/30 75.0067744 UBS AG – HSI R Bear CBBC Nov 2013 D 300,000,000 2013/04/16 2013/11/28 75.0067745 UBS AG – HSI R Bear CBBC Dec 2013 D 300,000,000 2013/04/16 2013/12/30 75.0067791 Credit Suisse AG – HSI R Bull CBBC Sep 2013 F 300,000,000 2013/04/17 2013/09/27 75.0067807 Credit Suisse AG – HSI R Bull CBBC Sep 2013 K 300,000,000 2013/04/17 2013/09/27 75.0067810 Credit Suisse AG – HSI R Bull CBBC Oct 2013 V 300,000,000 2013/04/17 2013/10/30 75.0067779 Credit Suisse AG – HSI R Bear CBBC Sep 2013 Q 300,000,000 2013/04/17 2013/09/27 75.0067784 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 Q 150,000,000 2013/04/17 2013/07/30 37.9567785 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 R 150,000,000 2013/04/17 2013/07/30 38.4067787 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 S 150,000,000 2013/04/17 2013/07/30 37.8067790 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 T 150,000,000 2013/04/17 2013/07/30 37.8067769 HK Bank – BOCL R Bull CBBC Nov 2013 C 80,000,000 2013/04/17 2013/11/25 20.0067771 HK Bank – CUni R Bull CBBC Nov 2013 A 50,000,000 2013/04/17 2013/11/25 13.5067768 HK Bank – CNBM R Bear CBBC Sep 2013 B 50,000,000 2013/04/17 2013/09/30 12.5067767 HK Bank – CNOOC R Bull CBBC Dec 2013 A 60,000,000 2013/04/17 2013/12/23 19.8067763 HK Bank – CSOP A50 ETF R Bear CBBC Oct 2013 A 40,000,000 2013/04/17 2013/10/28 10.0067778 HK Bank – PetCh R Bull CBBC Nov 2013 A 60,000,000 2013/04/17 2013/11/25 15.0067782 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 P 200,000,000 2013/04/17 2013/07/30 50.0067811 UBS AG – China Life R Bull CBBC Jul 2013 E 100,000,000 2013/04/17 2013/07/29 25.0067817 UBS AG – HSI R Bull CBBC Sep 2013 J 300,000,000 2013/04/17 2013/09/27 75.0067816 UBS AG – HSI R Bull CBBC Sep 2013 T 300,000,000 2013/04/17 2013/09/27 75.0067813 UBS AG – HSI R Bull CBBC Oct 2013 C 300,000,000 2013/04/17 2013/10/30 75.0067820 UBS AG – HSI R Bear CBBC Nov 2013 E 300,000,000 2013/04/17 2013/11/28 75.0067821 UBS AG – HSI R Bear CBBC Dec 2013 E 350,000,000 2013/04/17 2013/12/30 87.5067863 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 A 300,000,000 2013/04/18 2013/12/30 75.0067864 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 P 300,000,000 2013/04/18 2013/12/30 75.0067865 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 R 300,000,000 2013/04/18 2013/12/30 75.0067836 Credit Suisse AG – A50 China R Bull CBBC Oct 2013 A 60,000,000 2013/04/18 2013/10/25 15.0067837 Credit Suisse AG – A50 China R Bear CBBC Jul 2013 A 60,000,000 2013/04/18 2013/07/26 15.0067839 Credit Suisse AG – A50 China R Bear CBBC Jul 2013 B 60,000,000 2013/04/18 2013/07/26 15.0067844 Credit Suisse AG – A50 China R Bear CBBC Jul 2013 C 60,000,000 2013/04/18 2013/07/26 15.0067866 Credit Suisse AG – HSI R Bull CBBC Sep 2013 Y 300,000,000 2013/04/18 2013/09/27 75.0067868 Credit Suisse AG – HSI R Bull CBBC Oct 2013 S 300,000,000 2013/04/18 2013/10/30 75.0067867 Credit Suisse AG – HSI R Bull CBBC Nov 2013 C 300,000,000 2013/04/18 2013/11/28 75.0067856 Credit Suisse AG – HSI R Bear CBBC Aug 2013 K 300,000,000 2013/04/18 2013/08/29 75.0067855 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/04/18 2013/08/29 75.0067875 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 U 120,000,000 2013/04/18 2013/07/30 30.3667876 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 V 120,000,000 2013/04/18 2013/07/30 30.2467877 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 W 120,000,000 2013/04/18 2013/07/30 30.9667882 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 X 120,000,000 2013/04/18 2013/07/30 30.1267830 HK Bank – CNBM R Bull CBBC Oct 2013 B 50,000,000 2013/04/18 2013/10/21 12.50




67829 HK Bank – CNBM R Bull CBBC Nov 2013 A 50,000,000 2013/04/18 2013/11/18 12.5067831 HK Bank – China Shenhua R Bull CBBC Mar 2014 B 60,000,000 2013/04/18 2014/03/18 15.0067824 HK Bank – HSI R Bull CBBC Nov 2013 G 100,000,000 2013/04/18 2013/11/28 25.0067826 HK Bank – HSI R Bull CBBC Nov 2013 H 100,000,000 2013/04/18 2013/11/28 25.0067825 HK Bank – HSI R Bear CBBC Oct 2013 I 100,000,000 2013/04/18 2013/10/30 25.0067833 HK Bank – Yanzhou Coal R Bull CBBC Dec 2013 A 50,000,000 2013/04/18 2013/12/23 12.5067873 J P Morgan SP BV – HSI R Bull CBBC Jul 2013 F 300,000,000 2013/04/18 2013/07/30 75.0067874 J P Morgan SP BV – HSI R Bull CBBC Jul 2013 H 300,000,000 2013/04/18 2013/07/30 75.0067860 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 X 100,000,000 2013/04/18 2013/09/27 25.0067861 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 O 100,000,000 2013/04/18 2013/07/30 25.0067858 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 G 200,000,000 2013/04/18 2013/07/30 50.0067834 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 L 200,000,000 2013/04/18 2013/07/30 50.0067835 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 Q 200,000,000 2013/04/18 2013/07/30 50.0067871 UBS AG – HSI R Bull CBBC Oct 2013 E 300,000,000 2013/04/18 2013/10/30 75.0067869 UBS AG – HSI R Bull CBBC Oct 2013 H 300,000,000 2013/04/18 2013/10/30 75.0067870 UBS AG – HSI R Bull CBBC Oct 2013 I 300,000,000 2013/04/18 2013/10/30 75.0067872 UBS AG – HSI R Bear CBBC Dec 2013 F 350,000,000 2013/04/18 2013/12/30 87.5067980 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 P 300,000,000 2013/04/19 2013/07/30 75.0067976 Credit Suisse AG – HSI R Bull CBBC Sep 2013 C 300,000,000 2013/04/19 2013/09/27 75.0067902 Credit Suisse AG – HSI R Bear CBBC Jul 2013 A 300,000,000 2013/04/19 2013/07/30 75.0067977 Credit Suisse AG – HSI R Bear CBBC Sep 2013 S 300,000,000 2013/04/19 2013/09/27 75.0067943 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 Q 150,000,000 2013/04/19 2013/12/30 37.5067928 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 R 150,000,000 2013/04/19 2013/12/30 37.5067942 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 T 150,000,000 2013/04/19 2013/12/30 37.5067915 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 U 150,000,000 2013/04/19 2013/12/30 37.5067924 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 V 150,000,000 2013/04/19 2013/12/30 37.5067944 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 I 150,000,000 2013/04/19 2013/08/29 37.5067945 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 J 150,000,000 2013/04/19 2013/08/29 37.5067947 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 K 150,000,000 2013/04/19 2013/08/29 37.5067964 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 L 150,000,000 2013/04/19 2013/08/29 37.5067887 HK Bank – China Mobile R Bull CBBC Nov 2013 C 120,000,000 2013/04/19 2013/11/26 30.0067888 HK Bank – China Life R Bull CBBC Sep 2013 B 60,000,000 2013/04/19 2013/09/18 15.0067883 HK Bank – HSI R Bull CBBC Nov 2013 I 100,000,000 2013/04/19 2013/11/28 25.0067884 HK Bank – Hutchison R Bull CBBC Nov 2013 C 60,000,000 2013/04/19 2013/11/18 15.0067904 UBS AG – Sinopec Corp R Bull CBBC Nov 2013 A 100,000,000 2013/04/19 2013/11/25 25.0067971 UBS AG – HSI R Bull CBBC Dec 2013 O 300,000,000 2013/04/19 2013/12/30 75.0067968 UBS AG – HSI R Bull CBBC Mar 2014 H 350,000,000 2013/04/19 2014/03/28 87.5067975 UBS AG – HSI R Bull CBBC Mar 2014 I 350,000,000 2013/04/19 2014/03/28 87.5067905 UBS AG – HSI R Bear CBBC Jul 2013 S 300,000,000 2013/04/19 2013/07/30 75.0065326# HK Bank – A50 R Bull CBBC Jul 2013 A 180,000,000 2013/04/19 2013/07/22 14.0467982 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 X 300,000,000 2013/04/22 2013/12/30 75.0067984 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 Y 300,000,000 2013/04/22 2013/12/30 75.0068030 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 Q 300,000,000 2013/04/22 2013/07/30 75.0068031 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 R 300,000,000 2013/04/22 2013/07/30 75.0068032 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 S 300,000,000 2013/04/22 2013/07/30 75.00




67995 Credit Suisse AG – HSI R Bull CBBC Sep 2013 D 300,000,000 2013/04/22 2013/09/27 75.0067985 Credit Suisse AG – HSI R Bull CBBC Nov 2013 D 300,000,000 2013/04/22 2013/11/28 75.0067992 Credit Suisse AG – HSI R Bull CBBC Nov 2013 E 300,000,000 2013/04/22 2013/11/28 75.0067994 Credit Suisse AG – HSI R Bull CBBC Nov 2013 F 300,000,000 2013/04/22 2013/11/28 75.0068042 Credit Suisse AG – HSI R Bear CBBC Jul 2013 C 300,000,000 2013/04/22 2013/07/30 75.0068043 Credit Suisse AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/04/22 2013/08/29 75.0068061 Credit Suisse AG – HSI R Bear CBBC Aug 2013 R 300,000,000 2013/04/22 2013/08/29 75.0068071 Credit Suisse AG – HSI R Bear CBBC Sep 2013 T 300,000,000 2013/04/22 2013/09/27 75.0068194 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 B 150,000,000 2013/04/22 2013/12/30 37.5067997 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 H 150,000,000 2013/04/22 2013/12/30 37.5068193 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 P 150,000,000 2013/04/22 2013/12/30 37.5067996 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 S 150,000,000 2013/04/22 2013/12/30 37.5068195 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 M 150,000,000 2013/04/22 2013/08/29 37.5068196 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 N 150,000,000 2013/04/22 2013/08/29 37.5068202 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 O 150,000,000 2013/04/22 2013/08/29 37.5068113 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 F 150,000,000 2013/04/22 2013/07/30 38.5568110 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 Y 150,000,000 2013/04/22 2013/07/30 38.1068112 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 Z 150,000,000 2013/04/22 2013/07/30 37.8068096 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 L 150,000,000 2013/04/22 2013/07/30 37.5068107 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 M 150,000,000 2013/04/22 2013/07/30 37.8068170 J P Morgan SP BV – HSI R Bull CBBC Sep 2013 A 300,000,000 2013/04/22 2013/09/27 75.0068115 J P Morgan SP BV – HSI R Bear CBBC Sep 2013 A 300,000,000 2013/04/22 2013/09/27 75.0068024 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 P 100,000,000 2013/04/22 2013/07/30 25.0068016 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 R 200,000,000 2013/04/22 2013/07/30 50.0068020 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 S 200,000,000 2013/04/22 2013/07/30 50.0068011 UBS AG – HSI R Bull CBBC Oct 2013 F 300,000,000 2013/04/22 2013/10/30 75.0068009 UBS AG – HSI R Bull CBBC Dec 2013 P 300,000,000 2013/04/22 2013/12/30 75.0068012 UBS AG – HSI R Bull CBBC Feb 2014 I 350,000,000 2013/04/22 2014/02/27 87.5067999 UBS AG – HSI R Bull CBBC Mar 2014 J 350,000,000 2013/04/22 2014/03/28 87.5068040 UBS AG – HSI R Bear CBBC Jul 2013 V 300,000,000 2013/04/22 2013/07/30 75.0068039 UBS AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/04/22 2013/08/29 75.0068038 UBS AG – HSI R Bear CBBC Nov 2013 F 350,000,000 2013/04/22 2013/11/28 87.5068224 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 C 300,000,000 2013/04/23 2013/12/30 75.0068228 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 E 300,000,000 2013/04/23 2013/12/30 75.0068231 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/04/23 2013/12/30 75.0068233 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 L 300,000,000 2013/04/23 2013/12/30 75.0068246 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 M 300,000,000 2013/04/23 2013/12/30 75.0068223 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 Z 300,000,000 2013/04/23 2013/12/30 75.0068369 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 T 300,000,000 2013/04/23 2013/07/30 75.0068370 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 U 300,000,000 2013/04/23 2013/07/30 75.0068259 Credit Suisse AG – HSI R Bull CBBC Oct 2013 A 300,000,000 2013/04/23 2013/10/30 75.0068261 Credit Suisse AG – HSI R Bull CBBC Oct 2013 B 300,000,000 2013/04/23 2013/10/30 75.0068258 Credit Suisse AG – HSI R Bull CBBC Oct 2013 Y 300,000,000 2013/04/23 2013/10/30 75.0068262 Credit Suisse AG – HSI R Bull CBBC Oct 2013 Z 300,000,000 2013/04/23 2013/10/30 75.0068366 Credit Suisse AG – HSI R Bull CBBC Mar 2014 A 300,000,000 2013/04/23 2014/03/28 75.00




68367 Credit Suisse AG – HSI R Bull CBBC Mar 2014 B 300,000,000 2013/04/23 2014/03/28 78.0068368 Credit Suisse AG – HSI R Bull CBBC Mar 2014 C 300,000,000 2013/04/23 2014/03/28 84.0068354 Credit Suisse AG – HSI R Bear CBBC Jul 2013 T 300,000,000 2013/04/23 2013/07/30 75.0068362 Credit Suisse AG – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/04/23 2013/08/29 75.0068365 Credit Suisse AG – HSI R Bear CBBC Nov 2013 A 300,000,000 2013/04/23 2013/11/28 75.0068212 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 D 150,000,000 2013/04/23 2013/12/30 37.5068214 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 E 150,000,000 2013/04/23 2013/12/30 37.5068326 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 G 150,000,000 2013/04/23 2013/12/30 37.5068328 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 M 150,000,000 2013/04/23 2013/12/30 37.5068352 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 C 150,000,000 2013/04/23 2013/08/29 37.5068336 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Aug 2013 P 150,000,000 2013/04/23 2013/08/29 37.5068416 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 G 150,000,000 2013/04/23 2013/07/30 38.2568412 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 J 150,000,000 2013/04/23 2013/07/30 38.2568413 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 M 150,000,000 2013/04/23 2013/07/30 37.8068209 HK Bank – HSCEI R Bear CBBC Oct 2013 C 68,000,000 2013/04/23 2013/10/30 17.0068278 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 Y 100,000,000 2013/04/23 2013/09/27 25.0068221 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 B 200,000,000 2013/04/23 2013/07/30 50.0068220 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 F 200,000,000 2013/04/23 2013/07/30 50.0068215 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 Q 200,000,000 2013/04/23 2013/08/29 50.0068217 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 R 200,000,000 2013/04/23 2013/08/29 50.0068219 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 T 200,000,000 2013/04/23 2013/07/30 50.0068270 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 U 200,000,000 2013/04/23 2013/07/30 50.0068400 UBS AG – China Mobile R Bear CBBC Nov 2013 A 100,000,000 2013/04/23 2013/11/18 25.0068389 UBS AG – CNBM R Bull CBBC Dec 2013 A 50,000,000 2013/04/23 2013/12/16 12.5068402 UBS AG – CNOOC R Bull CBBC Dec 2013 A 100,000,000 2013/04/23 2013/12/16 25.0068399 UBS AG – A50 China R Bull CBBC Feb 2014 A 100,000,000 2013/04/23 2014/02/17 25.0068404 UBS AG – HSBC R Bull CBBC Dec 2013 A 100,000,000 2013/04/23 2013/12/09 25.0068249 UBS AG – HSI R Bull CBBC Nov 2013 X 300,000,000 2013/04/23 2013/11/28 75.0068257 UBS AG – HSI R Bull CBBC Nov 2013 Y 350,000,000 2013/04/23 2013/11/28 87.5068279 UBS AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/04/23 2013/08/29 75.0068280 UBS AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/04/23 2013/08/29 75.0068312 UBS AG – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/04/23 2013/08/29 75.0061141# HK Bank – HSCEI R Bull CBBC Oct 2013 B 188,000,000 2013/04/23 2013/10/30 10.3468533 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 V 300,000,000 2013/04/24 2013/07/30 75.0068536 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 W 300,000,000 2013/04/24 2013/07/30 75.0068506 Credit Suisse AG – HSI R Bull CBBC Sep 2013 B 300,000,000 2013/04/24 2013/09/27 75.0068505 Credit Suisse AG – HSI R Bull CBBC Nov 2013 G 300,000,000 2013/04/24 2013/11/28 75.0068454 Credit Suisse AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/04/24 2013/08/29 75.0068531 Credit Suisse AG – HSI R Bear CBBC Aug 2013 U 300,000,000 2013/04/24 2013/08/29 75.0068456 Credit Suisse AG – HSI R Bear CBBC Oct 2013 A 300,000,000 2013/04/24 2013/10/30 75.0068463 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 N 150,000,000 2013/04/24 2013/12/30 37.5068504 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 O 150,000,000 2013/04/24 2013/12/30 37.5068509 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 A 150,000,000 2013/04/24 2013/09/27 37.5068518 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 B 150,000,000 2013/04/24 2013/09/27 37.5068537 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 N 150,000,000 2013/04/24 2013/07/30 38.85




68541 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 O 150,000,000 2013/04/24 2013/07/30 39.0068547 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 P 150,000,000 2013/04/24 2013/07/30 37.6568440 HK Bank – ABC R Bear CBBC Jan 2014 A 40,000,000 2013/04/24 2014/01/16 10.0068435 HK Bank – AIA R Bear CBBC Oct 2013 B 50,000,000 2013/04/24 2013/10/07 17.0068448 HK Bank – Evergrande R Bull CBBC Jan 2014 A 60,000,000 2013/04/24 2014/01/28 15.0068432 HK Bank – A50 R Bull CBBC Sep 2013 H 100,000,000 2013/04/24 2013/09/16 25.0068433 HK Bank – A50 R Bull CBBC Sep 2013 I 100,000,000 2013/04/24 2013/09/30 25.0068421 HK Bank – HSI R Bull CBBC Dec 2013 F 100,000,000 2013/04/24 2013/12/30 25.0068444 HK Bank – Sands China R Bull CBBC Dec 2013 D 60,000,000 2013/04/24 2013/12/18 15.0068550 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 A 300,000,000 2013/04/24 2013/10/30 75.0068551 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 B 300,000,000 2013/04/24 2013/10/30 75.0068552 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 C 300,000,000 2013/04/24 2013/10/30 75.0068566 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 D 300,000,000 2013/04/24 2013/10/30 75.0068567 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 E 300,000,000 2013/04/24 2013/10/30 75.0068569 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 F 300,000,000 2013/04/24 2013/10/30 75.0068549 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 A 300,000,000 2013/04/24 2013/10/30 75.0068457 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 Q 100,000,000 2013/04/24 2013/07/30 25.0068527 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 V 200,000,000 2013/04/24 2013/07/30 50.0068528 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 W 200,000,000 2013/04/24 2013/07/30 50.0068524 UBS AG – HSBC R Bull CBBC Jun 2014 A 100,000,000 2013/04/24 2014/06/16 25.0068458 UBS AG – HSI R Bull CBBC Dec 2013 Q 300,000,000 2013/04/24 2013/12/30 75.0068462 UBS AG – HSI R Bull CBBC Feb 2014 J 350,000,000 2013/04/24 2014/02/27 87.5068519 UBS AG – HSI R Bear CBBC Jul 2013 W 300,000,000 2013/04/24 2013/07/30 75.0068522 UBS AG – HSI R Bear CBBC Jul 2013 Y 350,000,000 2013/04/24 2013/07/30 87.5068520 UBS AG – HSI R Bear CBBC Aug 2013 A 300,000,000 2013/04/24 2013/08/29 75.0063482# HK Bank – HSI R Bull CBBC Jul 2013 C 200,000,000 2013/04/24 2013/07/30 11.2068646 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 X 300,000,000 2013/04/25 2013/07/30 75.0068624 Credit Suisse AG – HSI R Bull CBBC Nov 2013 H 300,000,000 2013/04/25 2013/11/28 75.0068625 Credit Suisse AG – HSI R Bull CBBC Nov 2013 I 300,000,000 2013/04/25 2013/11/28 75.0068634 Credit Suisse AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/04/25 2013/08/29 75.0068626 Credit Suisse AG – HSI R Bear CBBC Aug 2013 V 300,000,000 2013/04/25 2013/08/29 75.0068631 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/04/25 2013/08/29 75.0068627 Credit Suisse AG – HSI R Bear CBBC Sep 2013 U 300,000,000 2013/04/25 2013/09/27 75.0068623 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 J 150,000,000 2013/04/25 2013/12/30 37.5068639 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 W 150,000,000 2013/04/25 2013/12/30 37.5068640 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 X 150,000,000 2013/04/25 2013/12/30 37.5068638 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 C 150,000,000 2013/04/25 2013/09/27 37.5068648 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 K 150,000,000 2013/04/25 2013/07/30 38.1068651 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 N 150,000,000 2013/04/25 2013/07/30 37.8068652 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 Q 150,000,000 2013/04/25 2013/07/30 38.1068650 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 Q 150,000,000 2013/04/25 2013/07/30 38.5568599 HK Bank – China Shenhua R Bull CBBC Jul 2014 A 60,000,000 2013/04/25 2014/07/18 15.0068598 HK Bank – China Shenhua R Bear CBBC Jan 2014 A 40,000,000 2013/04/25 2014/01/14 10.0068573 HK Bank – HSCEI R Bull CBBC Nov 2013 C 100,000,000 2013/04/25 2013/11/28 25.0068571 HK Bank – HSI R Bear CBBC Oct 2013 J 400,000,000 2013/04/25 2013/10/30 100.00




68582 HK Bank – TCH R Bull CBBC Sep 2013 B 50,000,000 2013/04/25 2013/09/30 12.5068653 J P Morgan SP BV – HSI R Bear CBBC Sep 2013 B 300,000,000 2013/04/25 2013/09/27 75.0068654 J P Morgan SP BV – HSI R Bear CBBC Sep 2013 C 300,000,000 2013/04/25 2013/09/27 75.0068655 J P Morgan SP BV – HSI R Bear CBBC Sep 2013 D 300,000,000 2013/04/25 2013/09/27 75.0068600 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 Z 100,000,000 2013/04/25 2013/09/27 25.0068601 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 R 100,000,000 2013/04/25 2013/07/30 25.0068622 UBS AG – HSCEI R Bear CBBC Aug 2013 C 100,000,000 2013/04/25 2013/08/29 25.0068645 UBS AG – HSI R Bull CBBC Dec 2013 R 350,000,000 2013/04/25 2013/12/30 87.5068604 UBS AG – HSI R Bull CBBC Feb 2014 K 300,000,000 2013/04/25 2014/02/27 75.0068644 UBS AG – HSI R Bull CBBC Feb 2014 L 350,000,000 2013/04/25 2014/02/27 87.5068643 UBS AG – HSI R Bull CBBC Mar 2014 K 350,000,000 2013/04/25 2014/03/28 87.5068642 UBS AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/04/25 2013/08/29 75.0068641 UBS AG – HSI R Bear CBBC Sep 2013 X 300,000,000 2013/04/25 2013/09/27 75.0068710 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 Q 300,000,000 2013/04/26 2013/12/30 75.0068709 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 W 300,000,000 2013/04/26 2013/12/30 75.0068714 Credit Suisse AG – HSI R Bull CBBC Sep 2013 P 300,000,000 2013/04/26 2013/09/27 75.0068715 Credit Suisse AG – HSI R Bull CBBC Sep 2013 Q 300,000,000 2013/04/26 2013/09/27 75.0068712 Credit Suisse AG – HSI R Bull CBBC Oct 2013 C 300,000,000 2013/04/26 2013/10/30 75.0068713 Credit Suisse AG – HSI R Bull CBBC Oct 2013 D 300,000,000 2013/04/26 2013/10/30 75.0068701 Credit Suisse AG – HSI R Bear CBBC Aug 2013 N 300,000,000 2013/04/26 2013/08/29 75.0068656 Credit Suisse AG – HSI R Bear CBBC Sep 2013 V 300,000,000 2013/04/26 2013/09/27 75.0068657 Credit Suisse AG – HSI R Bear CBBC Sep 2013 W 300,000,000 2013/04/26 2013/09/27 75.0068699 Credit Suisse AG – HSI R Bear CBBC Oct 2013 B 300,000,000 2013/04/26 2013/10/30 75.0068711 Credit Suisse AG – HSI R Bear CBBC Oct 2013 C 300,000,000 2013/04/26 2013/10/30 75.0068727 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 Y 150,000,000 2013/04/26 2013/12/30 37.5068673 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 D 150,000,000 2013/04/26 2013/09/27 37.5068697 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 E 150,000,000 2013/04/26 2013/09/27 37.5068698 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 F 150,000,000 2013/04/26 2013/09/27 37.5068728 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 R 150,000,000 2013/04/26 2013/07/30 38.8568732 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 S 150,000,000 2013/04/26 2013/07/30 38.7068733 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 U 150,000,000 2013/04/26 2013/07/30 38.2568734 Goldman Sachs SP (Asia) – HSI R Bull CBBC Jul 2013 V 150,000,000 2013/04/26 2013/07/30 38.4068667 HK Bank – Anhui Conch R Bull CBBC Sep 2014 A 50,000,000 2013/04/26 2014/09/29 12.5068663 HK Bank – CNOOC R Bull CBBC Oct 2013 B 60,000,000 2013/04/26 2013/10/28 19.8068664 HK Bank – HKEx R Bull CBBC Nov 2013 B 60,000,000 2013/04/26 2013/11/25 19.2068661 HK Bank – HSI R Bear CBBC Aug 2013 K 100,000,000 2013/04/26 2013/08/29 25.0068662 HK Bank – HSI R Bear CBBC Aug 2013 L 100,000,000 2013/04/26 2013/08/29 25.0068665 HK Bank – PetCh R Bull CBBC Dec 2013 A 60,000,000 2013/04/26 2013/12/23 15.0068666 HK Bank – PetCh R Bear CBBC Nov 2013 A 40,000,000 2013/04/26 2013/11/25 10.0068668 Standard Chartered Bank – HSI R Bull CBBC Dec 2013 A 200,000,000 2013/04/26 2013/12/30 50.0068669 Standard Chartered Bank – HSI R Bear CBBC Dec 2013 A 200,000,000 2013/04/26 2013/12/30 50.0068726 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 A 200,000,000 2013/04/26 2013/07/30 50.0068678 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 C 200,000,000 2013/04/26 2013/07/30 50.0068720 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 E 200,000,000 2013/04/26 2013/07/30 50.0068725 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 P 200,000,000 2013/04/26 2013/07/30 50.00




68658 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 S 200,000,000 2013/04/26 2013/08/29 50.0068674 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 T 200,000,000 2013/04/26 2013/08/29 50.0068675 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 U 200,000,000 2013/04/26 2013/08/29 50.0068676 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 V 200,000,000 2013/04/26 2013/08/29 50.0068677 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 W 200,000,000 2013/04/26 2013/08/29 50.0068659 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 X 200,000,000 2013/04/26 2013/07/30 50.0068660 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 Y 200,000,000 2013/04/26 2013/07/30 50.0068679 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jul13 Z 200,000,000 2013/04/26 2013/07/30 50.0068682 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 A 200,000,000 2013/04/26 2013/08/29 50.0068683 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 B 200,000,000 2013/04/26 2013/08/29 50.0068684 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 C 200,000,000 2013/04/26 2013/08/29 50.0068685 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 D 200,000,000 2013/04/26 2013/08/29 50.0068692 UBS AG – China Mobile R Bear CBBC Oct 2013 A 100,000,000 2013/04/26 2013/10/21 25.0068691 UBS AG – China Mobile R Bear CBBC Nov 2013 B 100,000,000 2013/04/26 2013/11/25 25.0068690 UBS AG – China Shenhua R Bull CBBC Apr 2014 A 100,000,000 2013/04/26 2014/04/07 25.0068689 UBS AG – China Shenhua R Bear CBBC Dec 2013 B 100,000,000 2013/04/26 2013/12/16 25.0068686 UBS AG – Evergrande R Bull CBBC Jan 2014 A 100,000,000 2013/04/26 2014/01/20 25.0068718 UBS AG – HSI R Bull CBBC Dec 2013 S 300,000,000 2013/04/26 2013/12/30 75.0068716 UBS AG – HSI R Bull CBBC Feb 2014 M 350,000,000 2013/04/26 2014/02/27 87.5068717 UBS AG – HSI R Bull CBBC Feb 2014 N 300,000,000 2013/04/26 2014/02/27 75.0068719 UBS AG – HSI R Bull CBBC Mar 2014 L 300,000,000 2013/04/26 2014/03/28 75.0068695 UBS AG – HSI R Bear CBBC Sep 2013 Y 300,000,000 2013/04/26 2013/09/27 75.0068696 UBS AG – HSI R Bear CBBC Sep 2013 Z 350,000,000 2013/04/26 2013/09/27 87.5068670 UBS AG – HSI R Bear CBBC Oct 2013 N 350,000,000 2013/04/26 2013/10/30 87.5068672 UBS AG – HSI R Bear CBBC Oct 2013 O 300,000,000 2013/04/26 2013/10/30 75.0068693 UBS AG – Petrochina R Bear CBBC Dec 2013 A 100,000,000 2013/04/26 2013/12/02 25.0068687 UBS AG – Sands China R Bull CBBC Mar 2014 A 100,000,000 2013/04/26 2014/03/17 25.0068694 UBS AG – TCH R Bull CBBC Sep 2013 A 100,000,000 2013/04/26 2013/09/23 25.0068688 UBS AG – Yanzhou Coal R Bull CBBC Nov 2013 A 50,000,000 2013/04/26 2013/11/18 12.5068737 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 Y 300,000,000 2013/04/29 2013/07/30 75.0068749 Credit Suisse AG – HSI R Bull CBBC Sep 2013 R 300,000,000 2013/04/29 2013/09/27 75.0068751 Credit Suisse AG – HSI R Bull CBBC Oct 2013 G 300,000,000 2013/04/29 2013/10/30 75.0068738 Credit Suisse AG – HSI R Bear CBBC Aug 2013 W 300,000,000 2013/04/29 2013/08/29 75.0068748 Credit Suisse AG – HSI R Bear CBBC Sep 2013 X 300,000,000 2013/04/29 2013/09/27 75.0068752 Credit Suisse AG – HSI R Bear CBBC Sep 2013 Y 300,000,000 2013/04/29 2013/09/27 75.0068775 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 A 150,000,000 2013/04/29 2013/12/30 37.5068776 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 F 150,000,000 2013/04/29 2013/12/30 37.5068774 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 Z 150,000,000 2013/04/29 2013/12/30 37.5068764 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 G 150,000,000 2013/04/29 2013/09/27 37.5068765 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 H 150,000,000 2013/04/29 2013/09/27 37.5068766 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 I 150,000,000 2013/04/29 2013/09/27 37.5068767 Goldman Sachs SP (Asia) – HSI R Bear CBBC Jul 2013 R 150,000,000 2013/04/29 2013/07/30 37.6568753 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 I 60,000,000 2013/04/29 2013/09/27 15.0068754 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 J 60,000,000 2013/04/29 2013/09/27 15.0068758 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 K 60,000,000 2013/04/29 2013/09/27 15.00




68759 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 L 60,000,000 2013/04/29 2013/09/27 15.0068760 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 M 60,000,000 2013/04/29 2013/09/27 15.0068761 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 N 60,000,000 2013/04/29 2013/09/27 15.0068735 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 A 100,000,000 2013/04/29 2013/09/27 25.0068736 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 H 100,000,000 2013/04/29 2013/09/27 25.0068747 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul13 D 200,000,000 2013/04/29 2013/07/30 50.0068773 UBS AG – Anhui Conch R Bull CBBC Jul 2014 A 100,000,000 2013/04/29 2014/07/07 25.0068772 UBS AG – HSCEI R Bull CBBC Dec 2013 A 100,000,000 2013/04/29 2013/12/30 25.0068771 UBS AG – HSI R Bull CBBC Nov 2013 A 300,000,000 2013/04/29 2013/11/28 75.0068769 UBS AG – HSI R Bull CBBC Nov 2013 Z 300,000,000 2013/04/29 2013/11/28 75.0068741 UBS AG – HSI R Bull CBBC Dec 2013 T 300,000,000 2013/04/29 2013/12/30 75.0068770 UBS AG – HSI R Bull CBBC Mar 2014 M 300,000,000 2013/04/29 2014/03/28 75.0068740 UBS AG – HSI R Bear CBBC Jul 2013 V 300,000,000 2013/04/29 2013/07/30 75.0068768 UBS AG – HSI R Bear CBBC Dec 2013 G 350,000,000 2013/04/29 2013/12/30 87.5068785 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 D 300,000,000 2013/04/30 2013/12/30 75.0068784 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 S 300,000,000 2013/04/30 2013/12/30 75.0068806 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 D 300,000,000 2013/04/30 2013/07/30 75.0068807 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 G 300,000,000 2013/04/30 2013/07/30 75.0068805 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jul 2013 Z 300,000,000 2013/04/30 2013/07/30 75.0068813 Credit Suisse AG – HSI R Bull CBBC Sep 2013 S 300,000,000 2013/04/30 2013/09/27 75.0068802 Credit Suisse AG – HSI R Bull CBBC Nov 2013 M 300,000,000 2013/04/30 2013/11/28 75.0068801 Credit Suisse AG – HSI R Bull CBBC Nov 2013 N 300,000,000 2013/04/30 2013/11/28 75.0068812 Credit Suisse AG – HSI R Bull CBBC Nov 2013 O 300,000,000 2013/04/30 2013/11/28 75.0068819 Credit Suisse AG – HSI R Bear CBBC Jul 2013 C 300,000,000 2013/04/30 2013/07/30 75.0068820 Credit Suisse AG – HSI R Bear CBBC Jul 2013 T 300,000,000 2013/04/30 2013/07/30 75.0068821 Credit Suisse AG – HSI R Bear CBBC Sep 2013 Z 300,000,000 2013/04/30 2013/09/27 75.0068815 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 C 150,000,000 2013/04/30 2013/12/30 37.5068799 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 I 150,000,000 2013/04/30 2013/12/30 37.5068800 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 K 150,000,000 2013/04/30 2013/12/30 37.5068814 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 L 150,000,000 2013/04/30 2013/12/30 37.5068816 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 J 150,000,000 2013/04/30 2013/09/27 37.5068817 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 K 150,000,000 2013/04/30 2013/09/27 37.5068818 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 L 150,000,000 2013/04/30 2013/09/27 37.5068780 HK Bank – China Life R Bear CBBC Aug 2013 D 50,000,000 2013/04/30 2013/08/19 12.5068782 HK Bank – CNBM R Bull CBBC Sep 2013 B 50,000,000 2013/04/30 2013/09/30 12.5068783 HK Bank – Sinopec Corp R Bull CBBC Nov 2013 B 80,000,000 2013/04/30 2013/11/25 20.0068779 HK Bank – HSI R Bull CBBC Sep 2013 I 100,000,000 2013/04/30 2013/09/27 25.0068781 HK Bank – Yanzhou Coal R Bull CBBC Nov 2013 B 50,000,000 2013/04/30 2013/11/25 12.5068825 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 N 60,000,000 2013/04/30 2013/09/27 15.0068826 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 O 60,000,000 2013/04/30 2013/09/27 15.0068827 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 P 60,000,000 2013/04/30 2013/09/27 15.0068810 Standard Chartered Bank – HSI R Bear CBBC Jul 2013 S 100,000,000 2013/04/30 2013/07/30 25.0068797 UBS AG – HSI R Bull CBBC Oct 2013 G 300,000,000 2013/04/30 2013/10/30 75.0068798 UBS AG – HSI R Bull CBBC Oct 2013 J 300,000,000 2013/04/30 2013/10/30 75.0068795 UBS AG – HSI R Bull CBBC Nov 2013 B 350,000,000 2013/04/30 2013/11/28 87.50




68792 UBS AG – HSI R Bull CBBC Dec 2013 U 350,000,000 2013/04/30 2013/12/30 87.5068793 UBS AG – HSI R Bull CBBC Dec 2013 V 350,000,000 2013/04/30 2013/12/30 87.5068794 UBS AG – HSI R Bull CBBC Dec 2013 W 350,000,000 2013/04/30 2013/12/30 87.5068796 UBS AG – HSI R Bull CBBC Dec 2013 X 350,000,000 2013/04/30 2013/12/30 87.5068790 UBS AG – HSI R Bull CBBC Jan 2014 A 300,000,000 2013/04/30 2014/01/29 75.0068791 UBS AG – HSI R Bull CBBC Jan 2014 B 300,000,000 2013/04/30 2014/01/29 75.0068822 UBS AG – HSI R Bear CBBC Aug 2013 B 300,000,000 2013/04/30 2013/08/29 75.0068823 UBS AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/04/30 2013/08/29 75.0068824 UBS AG – HSI R Bear CBBC Nov 2013 G 350,000,000 2013/04/30 2013/11/28 87.5068854 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/05/02 2013/12/30 75.0068855 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 G 300,000,000 2013/05/02 2013/12/30 75.0068856 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/05/02 2013/12/30 75.0068843 Credit Suisse AG – HSI R Bull CBBC Sep 2013 M 300,000,000 2013/05/02 2013/09/27 75.0068845 Credit Suisse AG – HSI R Bull CBBC Sep 2013 N 300,000,000 2013/05/02 2013/09/27 75.0068846 Credit Suisse AG – HSI R Bull CBBC Sep 2013 U 300,000,000 2013/05/02 2013/09/27 75.0068836 Credit Suisse AG – HSI R Bear CBBC Aug 2013 M 300,000,000 2013/05/02 2013/08/29 75.0068837 Credit Suisse AG – HSI R Bear CBBC Aug 2013 O 300,000,000 2013/05/02 2013/08/29 75.0068838 Credit Suisse AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/05/02 2013/08/29 75.0068842 Credit Suisse AG – HSI R Bear CBBC Sep 2013 F 300,000,000 2013/05/02 2013/09/27 75.0068831 HK Bank – BOCL R Bear CBBC Dec 2013 B 40,000,000 2013/05/02 2013/12/19 10.0068830 HK Bank – CNOOC R Bear CBBC Aug 2013 B 40,000,000 2013/05/02 2013/08/19 10.0068833 HK Bank – ICBC R Bull CBBC Nov 2013 A 80,000,000 2013/05/02 2013/11/25 20.0068832 HK Bank – ICBC R Bear CBBC Nov 2013 B 40,000,000 2013/05/02 2013/11/25 10.0068828 J P Morgan SP BV – HSI R Bull CBBC Sep 2013 B 300,000,000 2013/05/02 2013/09/27 75.0068829 J P Morgan SP BV – HSI R Bull CBBC Sep 2013 C 300,000,000 2013/05/02 2013/09/27 75.0068840 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 A 300,000,000 2013/05/02 2013/12/30 75.0068841 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 B 300,000,000 2013/05/02 2013/12/30 75.0068850 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 O 60,000,000 2013/05/02 2013/09/27 15.0068853 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 P 60,000,000 2013/05/02 2013/09/27 15.0068847 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 Q 60,000,000 2013/05/02 2013/09/27 15.0068858 UBS AG – HSI R Bull CBBC Oct 2013 K 300,000,000 2013/05/02 2013/10/30 75.0068860 UBS AG – HSI R Bull CBBC Oct 2013 L 300,000,000 2013/05/02 2013/10/30 75.0068859 UBS AG – HSI R Bull CBBC Dec 2013 Y 350,000,000 2013/05/02 2013/12/30 87.5068834 UBS AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/05/02 2013/08/29 75.0068835 UBS AG – HSI R Bear CBBC Sep 2013 A 300,000,000 2013/05/02 2013/09/27 75.0068857 UBS AG – HSI R Bear CBBC Sep 2013 I 300,000,000 2013/05/02 2013/09/27 75.0068886 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 A 300,000,000 2013/05/03 2013/12/30 75.0068871 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 O 300,000,000 2013/05/03 2013/12/30 75.0068887 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 P 300,000,000 2013/05/03 2013/12/30 75.0068890 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 R 300,000,000 2013/05/03 2013/12/30 75.0068891 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 U 300,000,000 2013/05/03 2013/12/30 75.0068885 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2013 V 300,000,000 2013/05/03 2013/12/30 75.0068869 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 A 300,000,000 2013/05/03 2013/08/29 75.0068870 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 B 300,000,000 2013/05/03 2013/08/29 75.0068877 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 C 300,000,000 2013/05/03 2013/08/29 75.00




68895 Credit Suisse AG – HSI R Bull CBBC Oct 2013 E 300,000,000 2013/05/03 2013/10/30 75.0068893 Credit Suisse AG – HSI R Bull CBBC Oct 2013 I 300,000,000 2013/05/03 2013/10/30 75.0068894 Credit Suisse AG – HSI R Bull CBBC Nov 2013 P 300,000,000 2013/05/03 2013/11/28 75.0068896 Credit Suisse AG – HSI R Bull CBBC Nov 2013 Q 300,000,000 2013/05/03 2013/11/28 75.0068879 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/05/03 2013/08/29 75.0068880 Credit Suisse AG – HSI R Bear CBBC Aug 2013 R 300,000,000 2013/05/03 2013/08/29 75.0068878 Credit Suisse AG – HSI R Bear CBBC Sep 2013 G 300,000,000 2013/05/03 2013/09/27 75.0068892 Credit Suisse AG – HSI R Bear CBBC Sep 2013 H 300,000,000 2013/05/03 2013/09/27 75.0068903 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 A 150,000,000 2013/05/03 2013/08/29 38.2568904 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 B 150,000,000 2013/05/03 2013/08/29 37.8068907 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 C 150,000,000 2013/05/03 2013/08/29 37.9568908 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 D 150,000,000 2013/05/03 2013/08/29 38.8568862 HK Bank – Sinopec Corp R Bear CBBC Nov 2013 B 40,000,000 2013/05/03 2013/11/18 10.0068866 HK Bank – CSOP A50 ETF R Bull CBBC Oct 2013 C 80,000,000 2013/05/03 2013/10/15 20.0068868 HK Bank – Galaxy Ent R Bull CBBC Sep 2013 B 50,000,000 2013/05/03 2013/09/30 17.0068861 HK Bank – HSI R Bull CBBC Oct 2013 I 100,000,000 2013/05/03 2013/10/30 25.0068897 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 G 100,000,000 2013/05/03 2013/09/27 25.0068872 Standard Chartered Bank – HSI R Bull CBBC Dec 2013 B 200,000,000 2013/05/03 2013/12/30 50.0068874 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 A 100,000,000 2013/05/03 2013/08/29 25.0068873 Standard Chartered Bank – HSI R Bear CBBC Dec 2013 B 200,000,000 2013/05/03 2013/12/30 50.0068875 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 X 200,000,000 2013/05/03 2013/08/29 50.0068883 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 Y 200,000,000 2013/05/03 2013/08/29 50.0068884 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 Z 200,000,000 2013/05/03 2013/08/29 50.0068876 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 E 200,000,000 2013/05/03 2013/08/29 50.0068898 UBS AG – HSI R Bull CBBC Oct 2013 N 300,000,000 2013/05/03 2013/10/30 75.0068899 UBS AG – HSI R Bull CBBC Nov 2013 C 300,000,000 2013/05/03 2013/11/28 75.0068901 UBS AG – HSI R Bull CBBC Nov 2013 D 300,000,000 2013/05/03 2013/11/28 75.0068900 UBS AG – HSI R Bull CBBC Dec 2013 Z 300,000,000 2013/05/03 2013/12/30 75.0068881 UBS AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/05/03 2013/08/29 75.0068902 UBS AG – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/05/03 2013/08/29 75.0068882 UBS AG – HSI R Bear CBBC Nov 2013 H 350,000,000 2013/05/03 2013/11/28 87.5068934 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 F 300,000,000 2013/05/06 2013/09/27 75.0068935 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 G 300,000,000 2013/05/06 2013/09/27 75.0068911 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 D 300,000,000 2013/05/06 2013/08/29 75.0068912 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 E 300,000,000 2013/05/06 2013/08/29 75.0068913 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 F 300,000,000 2013/05/06 2013/08/29 75.0068939 Credit Suisse AG – HSI R Bull CBBC Sep 2013 I 300,000,000 2013/05/06 2013/09/27 75.0068937 Credit Suisse AG – HSI R Bull CBBC Sep 2013 V 300,000,000 2013/05/06 2013/09/27 75.0068936 Credit Suisse AG – HSI R Bull CBBC Nov 2013 R 300,000,000 2013/05/06 2013/11/28 75.0068938 Credit Suisse AG – HSI R Bull CBBC Nov 2013 S 300,000,000 2013/05/06 2013/11/28 75.0068941 Credit Suisse AG – HSI R Bull CBBC Nov 2013 T 300,000,000 2013/05/06 2013/11/28 75.0068918 Credit Suisse AG – HSI R Bull CBBC Jan 2014 A 300,000,000 2013/05/06 2014/01/29 75.0068919 Credit Suisse AG – HSI R Bull CBBC Jan 2014 B 300,000,000 2013/05/06 2014/01/29 75.0068920 Credit Suisse AG – HSI R Bull CBBC Jan 2014 C 300,000,000 2013/05/06 2014/01/29 75.0068917 Credit Suisse AG – HSI R Bear CBBC Aug 2013 X 300,000,000 2013/05/06 2013/08/29 75.00




68914 Credit Suisse AG – HSI R Bear CBBC Sep 2013 I 300,000,000 2013/05/06 2013/09/27 75.0068915 Credit Suisse AG – HSI R Bear CBBC Sep 2013 J 300,000,000 2013/05/06 2013/09/27 75.0068916 Credit Suisse AG – HSI R Bear CBBC Sep 2013 N 300,000,000 2013/05/06 2013/09/27 75.0068921 Credit Suisse AG – HSI R Bear CBBC Nov 2013 B 300,000,000 2013/05/06 2013/11/28 75.0068922 Credit Suisse AG – HSI R Bear CBBC Nov 2013 C 300,000,000 2013/05/06 2013/11/28 75.0068923 Credit Suisse AG – HSI R Bear CBBC Nov 2013 D 300,000,000 2013/05/06 2013/11/28 75.0068958 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 E 150,000,000 2013/05/06 2013/08/29 39.0068959 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 F 150,000,000 2013/05/06 2013/08/29 38.4068960 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 G 150,000,000 2013/05/06 2013/08/29 38.1068961 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 H 150,000,000 2013/05/06 2013/08/29 37.8068951 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 Q 60,000,000 2013/05/06 2013/09/27 15.0068952 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 R 60,000,000 2013/05/06 2013/09/27 15.0068949 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 R 60,000,000 2013/05/06 2013/09/27 15.0068950 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Sep 2013 S 60,000,000 2013/05/06 2013/09/27 15.0068909 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 B 100,000,000 2013/05/06 2013/09/27 25.0068910 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 B 100,000,000 2013/05/06 2013/08/29 25.0068932 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 C 100,000,000 2013/05/06 2013/08/29 25.0068933 Standard Chartered Bank – HSI R Bear CBBC Dec 2013 C 200,000,000 2013/05/06 2013/12/30 50.0068927 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 F 200,000,000 2013/05/06 2013/08/29 50.0068928 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 G 200,000,000 2013/05/06 2013/08/29 50.0068929 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 F 200,000,000 2013/05/06 2013/08/29 50.0068931 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 G 200,000,000 2013/05/06 2013/08/29 50.0068948 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 H 200,000,000 2013/05/06 2013/08/29 50.0068957 UBS AG – CC Bank R Bull CBBC Dec 2013 B 100,000,000 2013/05/06 2013/12/16 25.0068953 UBS AG – HSBC R Bull CBBC Nov 2013 B 100,000,000 2013/05/06 2013/11/11 25.0068943 UBS AG – HSI R Bull CBBC Oct 2013 M 300,000,000 2013/05/06 2013/10/30 75.0068942 UBS AG – HSI R Bull CBBC Oct 2013 O 300,000,000 2013/05/06 2013/10/30 75.0068944 UBS AG – HSI R Bull CBBC Nov 2013 E 300,000,000 2013/05/06 2013/11/28 75.0068946 UBS AG – HSI R Bull CBBC Dec 2013 A 300,000,000 2013/05/06 2013/12/30 75.0068924 UBS AG – HSI R Bear CBBC Aug 2013 A 300,000,000 2013/05/06 2013/08/29 75.0068926 UBS AG – HSI R Bear CBBC Sep 2013 J 300,000,000 2013/05/06 2013/09/27 75.0068925 UBS AG – HSI R Bear CBBC Oct 2013 P 350,000,000 2013/05/06 2013/10/30 87.5068955 UBS AG – Hutchison R Bull CBBC Oct 2013 B 100,000,000 2013/05/06 2013/10/28 25.0068980 Credit Suisse AG – HSI R Bull CBBC Sep 2013 H 300,000,000 2013/05/07 2013/09/27 75.0068977 Credit Suisse AG – HSI R Bull CBBC Oct 2013 J 300,000,000 2013/05/07 2013/10/30 75.0068984 Credit Suisse AG – HSI R Bull CBBC Oct 2013 N 300,000,000 2013/05/07 2013/10/30 75.0068985 Credit Suisse AG – HSI R Bull CBBC Oct 2013 O 300,000,000 2013/05/07 2013/10/30 75.0068972 Credit Suisse AG – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/05/07 2013/08/29 75.0068974 Credit Suisse AG – HSI R Bear CBBC Sep 2013 O 300,000,000 2013/05/07 2013/09/27 75.0068973 Credit Suisse AG – HSI R Bear CBBC Oct 2013 D 300,000,000 2013/05/07 2013/10/30 75.0068969 HK Bank – ABC R Bull CBBC Feb 2014 A 80,000,000 2013/05/07 2014/02/28 20.0068967 HK Bank – China Mobile R Bull CBBC Nov 2013 D 120,000,000 2013/05/07 2013/11/11 30.0068966 HK Bank – HSCEI R Bull CBBC Sep 2013 D 100,000,000 2013/05/07 2013/09/27 25.0068963 HK Bank – HSI R Bull CBBC Sep 2013 J 100,000,000 2013/05/07 2013/09/27 25.0068962 HK Bank – HSI R Bull CBBC Nov 2013 J 100,000,000 2013/05/07 2013/11/28 25.00




68965 HK Bank – HSI R Bull CBBC Dec 2013 G 400,000,000 2013/05/07 2013/12/30 100.0068968 HK Bank – Hutchison R Bull CBBC Nov 2013 D 60,000,000 2013/05/07 2013/11/28 15.0068970 HK Bank – SHK Ppt R Bull CBBC Jan 2014 A 60,000,000 2013/05/07 2014/01/16 15.0068981 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 J 200,000,000 2013/05/07 2013/08/29 50.0068982 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 L 200,000,000 2013/05/07 2013/08/29 50.0068983 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 I 200,000,000 2013/05/07 2013/08/29 50.0068989 UBS AG – HSI R Bull CBBC Dec 2013 B 350,000,000 2013/05/07 2013/12/30 87.5068986 UBS AG – HSI R Bull CBBC Jan 2014 C 300,000,000 2013/05/07 2014/01/29 75.0068988 UBS AG – HSI R Bull CBBC Jan 2014 D 300,000,000 2013/05/07 2014/01/29 75.0068971 UBS AG – HSI R Bear CBBC Sep 2013 K 300,000,000 2013/05/07 2013/09/27 75.0061140# HK Bank – HSI R Bear CBBC Nov 2013 I 280,000,000 2013/05/07 2013/11/28 22.1269001 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 J 300,000,000 2013/05/08 2013/09/27 75.0069031 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 K 300,000,000 2013/05/08 2013/09/27 75.0069030 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 U 300,000,000 2013/05/08 2013/09/27 75.0068999 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 G 300,000,000 2013/05/08 2013/08/29 75.0069000 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 H 300,000,000 2013/05/08 2013/08/29 75.0069002 Credit Suisse AG – A50 China R Bull CBBC Oct 2013 B 50,000,000 2013/05/08 2013/10/25 12.5069003 Credit Suisse AG – A50 China R Bull CBBC Nov 2013 A 50,000,000 2013/05/08 2013/11/29 12.5069004 Credit Suisse AG – A50 China R Bull CBBC Nov 2013 B 50,000,000 2013/05/08 2013/11/29 12.5069027 Credit Suisse AG – HSI R Bull CBBC Jan 2014 D 300,000,000 2013/05/08 2014/01/29 75.0069028 Credit Suisse AG – HSI R Bull CBBC Jan 2014 E 300,000,000 2013/05/08 2014/01/29 75.0069029 Credit Suisse AG – HSI R Bull CBBC Jan 2014 F 300,000,000 2013/05/08 2014/01/29 75.0069005 Credit Suisse AG – HSI R Bear CBBC Aug 2013 K 300,000,000 2013/05/08 2013/08/29 75.0069015 Credit Suisse AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/05/08 2013/08/29 75.0069007 Credit Suisse AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/05/08 2013/08/29 75.0069009 Credit Suisse AG – HSI R Bear CBBC Aug 2013 U 300,000,000 2013/05/08 2013/08/29 75.0069020 Credit Suisse AG – HSI R Bear CBBC Aug 2013 V 300,000,000 2013/05/08 2013/08/29 75.0069008 Credit Suisse AG – HSI R Bear CBBC Sep 2013 Q 300,000,000 2013/05/08 2013/09/27 75.0069006 Credit Suisse AG – HSI R Bear CBBC Sep 2013 R 300,000,000 2013/05/08 2013/09/27 75.0069010 Credit Suisse AG – HSI R Bear CBBC Sep 2013 S 300,000,000 2013/05/08 2013/09/27 75.0069012 Credit Suisse AG – HSI R Bear CBBC Sep 2013 T 300,000,000 2013/05/08 2013/09/27 75.0069011 Credit Suisse AG – HSI R Bear CBBC Oct 2013 E 300,000,000 2013/05/08 2013/10/30 75.0069013 Credit Suisse AG – HSI R Bear CBBC Oct 2013 F 300,000,000 2013/05/08 2013/10/30 75.0069021 Credit Suisse AG – HSI R Bear CBBC Oct 2013 G 300,000,000 2013/05/08 2013/10/30 75.0069014 Credit Suisse AG – HSI R Bear CBBC Nov 2013 E 300,000,000 2013/05/08 2013/11/28 75.0069032 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 A 150,000,000 2013/05/08 2013/08/29 38.2569034 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 B 150,000,000 2013/05/08 2013/08/29 37.9569035 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 C 150,000,000 2013/05/08 2013/08/29 38.2569036 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 D 150,000,000 2013/05/08 2013/08/29 37.9568992 HK Bank – COVS R Bull CBBC Nov 2013 C 50,000,000 2013/05/08 2013/11/11 12.5068993 HK Bank – CNOOC R Bull CBBC Nov 2013 B 60,000,000 2013/05/08 2013/11/11 15.0068990 HK Bank – Galaxy Ent R Bull CBBC Nov 2013 A 50,000,000 2013/05/08 2013/11/25 20.0068991 HK Bank – Sands China R Bull CBBC Nov 2013 B 60,000,000 2013/05/08 2013/11/25 15.0068994 HK Bank – Yanzhou Coal R Bull CBBC Dec 2013 B 50,000,000 2013/05/08 2013/12/23 12.5069026 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 C 100,000,000 2013/05/08 2013/09/27 25.00




68995 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 D 100,000,000 2013/05/08 2013/08/29 25.0069022 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 C 200,000,000 2013/05/08 2013/08/29 50.0069023 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 D 200,000,000 2013/05/08 2013/08/29 50.0069024 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 J 200,000,000 2013/05/08 2013/08/29 50.0069025 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 K 200,000,000 2013/05/08 2013/08/29 50.0069040 UBS AG – HSI R Bull CBBC Nov 2013 G 300,000,000 2013/05/08 2013/11/28 75.0069037 UBS AG – HSI R Bull CBBC Nov 2013 H 300,000,000 2013/05/08 2013/11/28 75.0069039 UBS AG – HSI R Bull CBBC Dec 2013 D 350,000,000 2013/05/08 2013/12/30 87.5069038 UBS AG – HSI R Bull CBBC Jan 2014 E 300,000,000 2013/05/08 2014/01/29 75.0068996 UBS AG – HSI R Bear CBBC Aug 2013 N 300,000,000 2013/05/08 2013/08/29 75.0068997 UBS AG – HSI R Bear CBBC Sep 2013 G 300,000,000 2013/05/08 2013/09/27 75.0068998 UBS AG – HSI R Bear CBBC Dec 2013 H 350,000,000 2013/05/08 2013/12/30 87.5069041 Credit Suisse AG – HSI R Bull CBBC Nov 2013 U 300,000,000 2013/05/09 2013/11/28 75.0069042 Credit Suisse AG – HSI R Bull CBBC Nov 2013 V 300,000,000 2013/05/09 2013/11/28 75.0069043 Credit Suisse AG – HSI R Bull CBBC Nov 2013 W 300,000,000 2013/05/09 2013/11/28 75.0069054 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/05/09 2013/08/29 75.0069055 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Z 300,000,000 2013/05/09 2013/08/29 75.0069067 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 I 150,000,000 2013/05/09 2013/08/29 38.1069066 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 E 150,000,000 2013/05/09 2013/08/29 37.5069047 HK Bank – Anhui Conch R Bull CBBC Sep 2014 B 50,000,000 2013/05/09 2014/09/18 12.5069048 HK Bank – AIA R Bull CBBC Nov 2013 B 60,000,000 2013/05/09 2013/11/25 15.0069046 HK Bank – CUni R Bull CBBC Oct 2013 C 50,000,000 2013/05/09 2013/10/28 12.5069045 HK Bank – Galaxy Ent R Bear CBBC Jan 2014 A 40,000,000 2013/05/09 2014/01/27 30.0069044 HK Bank – HSI R Bull CBBC Oct 2013 J 100,000,000 2013/05/09 2013/10/30 25.0069049 HK Bank – Ping An R Bull CBBC Nov 2013 A 60,000,000 2013/05/09 2013/11/25 15.0069060 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 A 60,000,000 2013/05/09 2013/10/30 15.0069061 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 B 60,000,000 2013/05/09 2013/10/30 15.0069062 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 C 60,000,000 2013/05/09 2013/10/30 15.0069058 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 A 60,000,000 2013/05/09 2013/10/30 15.0069052 UBS AG – HSI R Bull CBBC Jan 2014 F 350,000,000 2013/05/09 2014/01/29 87.5069056 UBS AG – HSI R Bear CBBC Oct 2013 Q 300,000,000 2013/05/09 2013/10/30 75.0069057 UBS AG – HSI R Bear CBBC Nov 2013 I 350,000,000 2013/05/09 2013/11/28 87.5069065 UBS AG – SHK Ppt R Bull CBBC Jan 2014 B 100,000,000 2013/05/09 2014/01/27 25.0069063 UBS AG – TCH R Bull CBBC Nov 2013 A 100,000,000 2013/05/09 2013/11/11 31.5069097 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2013 C 200,000,000 2013/05/10 2013/12/30 50.0069099 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 T 300,000,000 2013/05/10 2013/09/27 75.0069098 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 Z 300,000,000 2013/05/10 2013/09/27 75.0069116 Credit Suisse AG – HSI R Bull CBBC Oct 2013 P 300,000,000 2013/05/10 2013/10/30 75.0069117 Credit Suisse AG – HSI R Bull CBBC Oct 2013 W 300,000,000 2013/05/10 2013/10/30 75.0069078 Credit Suisse AG – HSI R Bear CBBC Aug 2013 N 300,000,000 2013/05/10 2013/08/29 75.0069081 Credit Suisse AG – HSI R Bear CBBC Sep 2013 K 300,000,000 2013/05/10 2013/09/27 75.0069082 Credit Suisse AG – HSI R Bear CBBC Oct 2013 H 300,000,000 2013/05/10 2013/10/30 75.0069118 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 J 150,000,000 2013/05/10 2013/08/29 38.1069076 HK Bank – CC Bank R Bull CBBC Jan 2014 A 80,000,000 2013/05/10 2014/01/21 20.0069074 HK Bank – CNBM R Bull CBBC Dec 2013 A 50,000,000 2013/05/10 2013/12/30 14.00




69075 HK Bank – CNBM R Bull CBBC Dec 2013 B 50,000,000 2013/05/10 2013/12/09 12.5069070 HK Bank – HSI R Bull CBBC Nov 2013 K 100,000,000 2013/05/10 2013/11/28 25.0069069 HK Bank – HSI R Bull CBBC Dec 2013 H 100,000,000 2013/05/10 2013/12/30 25.0069071 HK Bank – HSI R Bear CBBC Dec 2013 E 400,000,000 2013/05/10 2013/12/30 100.0069073 HK Bank – ICBC R Bull CBBC Nov 2013 B 80,000,000 2013/05/10 2013/11/04 20.0069072 HK Bank – TCH R Bull CBBC Oct 2013 B 50,000,000 2013/05/10 2013/10/28 18.0069100 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 D 100,000,000 2013/05/10 2013/09/27 25.0069095 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 E 200,000,000 2013/05/10 2013/08/29 50.0069094 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 F 200,000,000 2013/05/10 2013/09/27 50.0069096 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 L 200,000,000 2013/05/10 2013/08/29 50.0069110 UBS AG – Anhui Conch R Bull CBBC Aug 2014 A 100,000,000 2013/05/10 2014/08/18 25.0069111 UBS AG – CUni R Bull CBBC Dec 2013 A 100,000,000 2013/05/10 2013/12/09 25.0069106 UBS AG – CNBM R Bull CBBC Nov 2013 A 50,000,000 2013/05/10 2013/11/04 12.5069105 UBS AG – CNBM R Bear CBBC Nov 2013 A 50,000,000 2013/05/10 2013/11/18 12.5069113 UBS AG – Galaxy Ent R Bull CBBC Aug 2013 B 50,000,000 2013/05/10 2013/08/19 15.0069115 UBS AG – Galaxy Ent R Bull CBBC Sep 2013 B 50,000,000 2013/05/10 2013/09/30 37.5069112 UBS AG – Galaxy Ent R Bear CBBC Oct 2013 A 50,000,000 2013/05/10 2013/10/28 33.5069101 UBS AG – HSI R Bull CBBC Oct 2013 P 300,000,000 2013/05/10 2013/10/30 75.0069102 UBS AG – HSI R Bull CBBC Nov 2013 I 300,000,000 2013/05/10 2013/11/28 75.0069103 UBS AG – HSI R Bull CBBC Dec 2013 C 300,000,000 2013/05/10 2013/12/30 75.0069083 UBS AG – HSI R Bear CBBC Aug 2013 O 300,000,000 2013/05/10 2013/08/29 75.0069091 UBS AG – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/05/10 2013/08/29 75.0069092 UBS AG – HSI R Bear CBBC Aug 2013 R 350,000,000 2013/05/10 2013/08/29 87.5069093 UBS AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/05/10 2013/08/29 75.0069104 UBS AG – Ping An R Bull CBBC Oct 2013 C 100,000,000 2013/05/10 2013/10/28 25.0069109 UBS AG – Yanzhou Coal R Bull CBBC Nov 2013 B 50,000,000 2013/05/10 2013/11/11 12.5069108 UBS AG – Yanzhou Coal R Bull CBBC Jun 2014 A 50,000,000 2013/05/10 2014/06/30 12.5069107 UBS AG – Yanzhou Coal R Bear CBBC Dec 2013 A 50,000,000 2013/05/10 2013/12/09 12.5069122 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 E 300,000,000 2013/05/13 2013/09/27 75.0069148 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 S 300,000,000 2013/05/13 2013/09/27 75.0069121 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 I 300,000,000 2013/05/13 2013/08/29 75.0069150 Credit Suisse AG – HSI R Bull CBBC Jan 2014 G 300,000,000 2013/05/13 2014/01/29 75.0069151 Credit Suisse AG – HSI R Bull CBBC Jan 2014 H 300,000,000 2013/05/13 2014/01/29 75.0069152 Credit Suisse AG – HSI R Bull CBBC Jan 2014 I 300,000,000 2013/05/13 2014/01/29 75.0069120 Credit Suisse AG – HSI R Bear CBBC Aug 2013 W 300,000,000 2013/05/13 2013/08/29 75.0069119 Credit Suisse AG – HSI R Bear CBBC Sep 2013 L 300,000,000 2013/05/13 2013/09/27 75.0069153 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 Q 150,000,000 2013/05/13 2013/12/30 37.5069167 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 R 150,000,000 2013/05/13 2013/12/30 37.5069168 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 T 150,000,000 2013/05/13 2013/12/30 37.5069169 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 U 150,000,000 2013/05/13 2013/12/30 37.5069170 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Dec 2013 V 150,000,000 2013/05/13 2013/12/30 37.5069137 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 K 150,000,000 2013/05/13 2013/08/29 38.5569144 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 L 150,000,000 2013/05/13 2013/08/29 38.7069125 HK Bank – CAM CSI300 R Bull CBBC Oct 2013 A 60,000,000 2013/05/13 2013/10/21 15.0069123 HK Bank – CAM CSI300 R Bull CBBC Nov 2013 A 60,000,000 2013/05/13 2013/11/18 22.80




69130 HK Bank – Minsheng Bank R Bull CBBC Oct 2013 B 40,000,000 2013/05/13 2013/10/15 10.0069131 HK Bank – Minsheng Bank R Bull CBBC Nov 2013 A 40,000,000 2013/05/13 2013/11/11 10.0069129 HK Bank – Minsheng Bank R Bear CBBC Nov 2013 A 40,000,000 2013/05/13 2013/11/11 10.0069126 HK Bank – CPIC R Bull CBBC Oct 2013 A 60,000,000 2013/05/13 2013/10/28 18.6069147 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 H 200,000,000 2013/05/13 2013/08/29 50.0069132 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 M 200,000,000 2013/05/13 2013/08/29 50.0069145 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 N 200,000,000 2013/05/13 2013/08/29 50.0069146 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 O 200,000,000 2013/05/13 2013/08/29 50.0069155 UBS AG – CAM CSI300 R Bull CBBC Feb 2014 A 40,000,000 2013/05/13 2014/02/10 10.0069154 UBS AG – CAM CSI300 R Bear CBBC Dec 2013 A 40,000,000 2013/05/13 2013/12/16 10.6069162 UBS AG – Minsheng Bank R Bull CBBC Nov 2013 A 50,000,000 2013/05/13 2013/11/25 12.5069161 UBS AG – Minsheng Bank R Bear CBBC Oct 2013 A 50,000,000 2013/05/13 2013/10/28 12.5069157 UBS AG – CPIC R Bull CBBC Nov 2013 A 30,000,000 2013/05/13 2013/11/04 11.2569156 UBS AG – CPIC R Bear CBBC Oct 2013 A 30,000,000 2013/05/13 2013/10/07 13.0569160 UBS AG – HSI R Bull CBBC Oct 2013 R 300,000,000 2013/05/13 2013/10/30 75.0069159 UBS AG – HSI R Bull CBBC Dec 2013 E 300,000,000 2013/05/13 2013/12/30 75.0069158 UBS AG – HSI R Bull CBBC Jan 2014 G 300,000,000 2013/05/13 2014/01/29 75.0069135 UBS AG – HSI R Bear CBBC Aug 2013 B 300,000,000 2013/05/13 2013/08/29 75.0069133 UBS AG – HSI R Bear CBBC Aug 2013 X 300,000,000 2013/05/13 2013/08/29 75.0069134 UBS AG – HSI R Bear CBBC Sep 2013 L 300,000,000 2013/05/13 2013/09/27 75.0069136 UBS AG – HSI R Bear CBBC Oct 2013 R 350,000,000 2013/05/13 2013/10/30 87.5069166 UBS AG – Lenovo R Bull CBBC Dec 2013 C 50,000,000 2013/05/13 2013/12/09 12.5069165 UBS AG – Lenovo R Bear CBBC Oct 2013 A 50,000,000 2013/05/13 2013/10/28 12.5069164 UBS AG – PICC Group R Bull CBBC Dec 2013 A 50,000,000 2013/05/13 2013/12/16 12.5069163 UBS AG – PICC Group R Bear CBBC Nov 2013 A 50,000,000 2013/05/13 2013/11/11 12.5069218 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 L 300,000,000 2013/05/14 2013/09/27 75.0069223 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 M 300,000,000 2013/05/14 2013/09/27 75.0069211 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 J 300,000,000 2013/05/14 2013/08/29 75.0069226 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 K 300,000,000 2013/05/14 2013/08/29 75.0069229 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/05/14 2013/08/29 75.0069214 Credit Suisse AG – HSI R Bull CBBC Feb 2014 F 300,000,000 2013/05/14 2014/02/27 75.0069215 Credit Suisse AG – HSI R Bull CBBC Feb 2014 G 300,000,000 2013/05/14 2014/02/27 75.0069216 Credit Suisse AG – HSI R Bull CBBC Feb 2014 H 300,000,000 2013/05/14 2014/02/27 75.0069217 Credit Suisse AG – HSI R Bull CBBC Feb 2014 I 300,000,000 2013/05/14 2014/02/27 75.0069192 Credit Suisse AG – HSI R Bear CBBC Aug 2013 M 300,000,000 2013/05/14 2013/08/29 75.0069191 Credit Suisse AG – HSI R Bear CBBC Sep 2013 P 300,000,000 2013/05/14 2013/09/27 75.0069213 Credit Suisse AG – HSI R Bear CBBC Sep 2013 U 300,000,000 2013/05/14 2013/09/27 75.0069236 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 A 150,000,000 2013/05/14 2014/01/29 37.5069237 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 B 150,000,000 2013/05/14 2014/01/29 37.5069238 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 C 150,000,000 2013/05/14 2014/01/29 37.5069239 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 D 150,000,000 2013/05/14 2014/01/29 37.5069240 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 E 150,000,000 2013/05/14 2014/01/29 37.5069212 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Sep 2013 M 150,000,000 2013/05/14 2013/09/27 37.5069233 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 M 150,000,000 2013/05/14 2013/08/29 38.1069234 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 N 150,000,000 2013/05/14 2013/08/29 37.65




69235 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 O 150,000,000 2013/05/14 2013/08/29 38.1069177 HK Bank – BOCL R Bull CBBC Mar 2014 A 80,000,000 2013/05/14 2014/03/18 20.0069182 HK Bank – China Mobile R Bull CBBC Dec 2013 B 120,000,000 2013/05/14 2013/12/02 30.0069176 HK Bank – Cheung Kong R Bull CBBC Dec 2013 A 60,000,000 2013/05/14 2013/12/02 15.0069174 HK Bank – A50 R Bull CBBC Sep 2013 J 100,000,000 2013/05/14 2013/09/30 25.0069171 HK Bank – HSI R Bull CBBC Nov 2013 L 100,000,000 2013/05/14 2013/11/28 25.0069172 HK Bank – HSI R Bull CBBC Dec 2013 I 400,000,000 2013/05/14 2013/12/30 100.0069183 HK Bank – Lenovo R Bear CBBC Jan 2014 A 40,000,000 2013/05/14 2014/01/21 10.0069185 HK Bank – PICC Group R Bull CBBC Nov 2013 A 50,000,000 2013/05/14 2013/11/25 12.5069184 HK Bank – PICC Group R Bull CBBC Dec 2013 A 50,000,000 2013/05/14 2013/12/12 12.5069181 HK Bank – TCH R Bull CBBC Oct 2013 C 50,000,000 2013/05/14 2013/10/15 13.5069188 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 E 100,000,000 2013/05/14 2013/08/29 25.0069189 Standard Chartered Bank – HSI R Bear CBBC Dec 2013 D 200,000,000 2013/05/14 2013/12/30 50.0069190 Standard Chartered Bank – HSI R Bear CBBC Dec 2013 E 200,000,000 2013/05/14 2013/12/30 50.0069186 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 P 200,000,000 2013/05/14 2013/08/29 50.0069187 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 Q 200,000,000 2013/05/14 2013/08/29 50.0069194 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 R 200,000,000 2013/05/14 2013/08/29 50.0069201 UBS AG – AIA R Bull CBBC May 2014 A 100,000,000 2013/05/14 2014/05/26 25.0069200 UBS AG – AIA R Bear CBBC Feb 2014 A 100,000,000 2013/05/14 2014/02/10 25.0069203 UBS AG – CNOOC R Bull CBBC Nov 2013 A 100,000,000 2013/05/14 2013/11/04 25.0069197 UBS AG – A50 China R Bull CBBC Jan 2014 D 100,000,000 2013/05/14 2014/01/20 25.0069207 UBS AG – HKEx R Bull CBBC Nov 2013 A 100,000,000 2013/05/14 2013/11/25 25.0069210 UBS AG – HSBC R Bear CBBC Dec 2013 A 100,000,000 2013/05/14 2013/12/09 25.0069196 UBS AG – HSCEI R Bull CBBC Nov 2013 A 100,000,000 2013/05/14 2013/11/28 25.0069195 UBS AG – HSCEI R Bear CBBC Aug 2013 D 100,000,000 2013/05/14 2013/08/29 25.0069231 UBS AG – HSI R Bull CBBC Oct 2013 Q 300,000,000 2013/05/14 2013/10/30 75.0069230 UBS AG – HSI R Bull CBBC Nov 2013 J 300,000,000 2013/05/14 2013/11/28 75.0069193 UBS AG – HSI R Bear CBBC Sep 2013 Q 300,000,000 2013/05/14 2013/09/27 75.0069232 UBS AG – HSI R Bear CBBC Sep 2013 R 300,000,000 2013/05/14 2013/09/27 75.0069209 UBS AG – Hutchison R Bull CBBC Nov 2013 A 100,000,000 2013/05/14 2013/11/25 25.0069199 UBS AG – ICBC R Bull CBBC Nov 2013 A 100,000,000 2013/05/14 2013/11/04 25.0069198 UBS AG – Sands China R Bull CBBC Nov 2013 A 100,000,000 2013/05/14 2013/11/25 25.0069208 UBS AG – SHK Ppt R Bull CBBC Jan 2014 C 100,000,000 2013/05/14 2014/01/13 25.0069206 UBS AG – TCH R Bull CBBC Dec 2013 B 100,000,000 2013/05/14 2013/12/16 25.0069267 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Aug 2013 A 300,000,000 2013/05/15 2013/08/29 75.0069268 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 N 300,000,000 2013/05/15 2013/09/27 75.0069289 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 P 300,000,000 2013/05/15 2013/09/27 75.0069293 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 Q 300,000,000 2013/05/15 2013/09/27 75.0069270 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 R 300,000,000 2013/05/15 2013/09/27 75.0069252 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 M 300,000,000 2013/05/15 2013/08/29 75.0069253 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 N 300,000,000 2013/05/15 2013/08/29 75.0069265 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 O 300,000,000 2013/05/15 2013/08/29 75.0069279 Credit Suisse AG – HSI R Bull CBBC Jan 2014 J 300,000,000 2013/05/15 2014/01/29 75.0069282 Credit Suisse AG – HSI R Bull CBBC Jan 2014 K 300,000,000 2013/05/15 2014/01/29 75.0069283 Credit Suisse AG – HSI R Bull CBBC Jan 2014 L 300,000,000 2013/05/15 2014/01/29 75.00




69258 Credit Suisse AG – HSI R Bear CBBC Aug 2013 O 300,000,000 2013/05/15 2013/08/29 75.0069259 Credit Suisse AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/05/15 2013/08/29 75.0069311 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 F 150,000,000 2013/05/15 2014/01/29 37.5069312 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 G 150,000,000 2013/05/15 2014/01/29 37.5069313 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 H 150,000,000 2013/05/15 2014/01/29 37.5069314 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 I 150,000,000 2013/05/15 2014/01/29 37.5069316 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 J 150,000,000 2013/05/15 2014/01/29 37.5069261 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 A 150,000,000 2013/05/15 2013/12/30 37.5069262 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 B 150,000,000 2013/05/15 2013/12/30 37.5069307 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 P 120,000,000 2013/05/15 2013/08/29 30.1269309 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 Q 120,000,000 2013/05/15 2013/08/29 30.1269310 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 R 120,000,000 2013/05/15 2013/08/29 30.1269308 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 F 120,000,000 2013/05/15 2013/08/29 30.0069246 HK Bank – AIA R Bear CBBC Nov 2013 B 50,000,000 2013/05/15 2013/11/25 24.5069247 HK Bank – Cheung Kong R Bear CBBC Dec 2013 A 50,000,000 2013/05/15 2013/12/02 12.5069245 HK Bank – HSCEI R Bull CBBC Oct 2013 C 100,000,000 2013/05/15 2013/10/30 25.0069300 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 G 300,000,000 2013/05/15 2013/10/30 75.0069304 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 H 300,000,000 2013/05/15 2013/10/30 75.0069301 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 A 300,000,000 2013/05/15 2013/11/28 75.0069305 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 B 300,000,000 2013/05/15 2013/11/28 75.0069303 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 C 300,000,000 2013/05/15 2013/12/30 75.0069306 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 D 300,000,000 2013/05/15 2013/12/30 75.0069241 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 D 60,000,000 2013/05/15 2013/10/30 15.0069242 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 E 60,000,000 2013/05/15 2013/10/30 15.0069243 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 F 60,000,000 2013/05/15 2013/10/30 15.0069244 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 G 60,000,000 2013/05/15 2013/10/30 15.0069248 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 I 100,000,000 2013/05/15 2013/09/27 25.0069251 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 F 100,000,000 2013/05/15 2013/08/29 25.0069249 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 A 100,000,000 2013/05/15 2013/10/30 25.0069250 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 B 100,000,000 2013/05/15 2013/10/30 25.0069255 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 K 200,000,000 2013/05/15 2013/08/29 50.0069294 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 M 200,000,000 2013/05/15 2013/08/29 50.0069254 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 G 200,000,000 2013/05/15 2013/09/27 50.0069256 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 S 200,000,000 2013/05/15 2013/08/29 50.0069257 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 T 200,000,000 2013/05/15 2013/08/29 50.0069295 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 U 200,000,000 2013/05/15 2013/08/29 50.0069273 UBS AG – AIA R Bear CBBC Mar 2014 A 100,000,000 2013/05/15 2014/03/17 25.0069275 UBS AG – China Mobile R Bull CBBC Nov 2013 C 100,000,000 2013/05/15 2013/11/04 25.0069276 UBS AG – COVS R Bull CBBC Nov 2013 A 50,000,000 2013/05/15 2013/11/04 14.0069278 UBS AG – Cheung Kong R Bull CBBC Nov 2013 A 100,000,000 2013/05/15 2013/11/04 25.0069272 UBS AG – China Life R Bull CBBC Oct 2013 B 100,000,000 2013/05/15 2013/10/21 25.0069277 UBS AG – HKEx R Bear CBBC Nov 2013 A 100,000,000 2013/05/15 2013/11/11 25.5069299 UBS AG – HSCEI R Bull CBBC Oct 2013 E 100,000,000 2013/05/15 2013/10/30 25.0069298 UBS AG – HSI R Bull CBBC Oct 2013 B 300,000,000 2013/05/15 2013/10/30 75.0069297 UBS AG – HSI R Bull CBBC Nov 2013 K 300,000,000 2013/05/15 2013/11/28 75.00




69296 UBS AG – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/05/15 2013/12/30 75.0069264 UBS AG – HSI R Bear CBBC Aug 2013 U 300,000,000 2013/05/15 2013/08/29 75.0069271 UBS AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/05/15 2013/08/29 75.0069322 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/05/16 2013/08/29 75.0069323 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/05/16 2013/08/29 75.0069324 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 R 300,000,000 2013/05/16 2013/08/29 75.0069325 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/05/16 2013/08/29 75.0069326 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/05/16 2013/08/29 75.0069333 Credit Suisse AG – HSI R Bull CBBC Nov 2013 B 300,000,000 2013/05/16 2013/11/28 75.0069331 Credit Suisse AG – HSI R Bull CBBC Nov 2013 X 300,000,000 2013/05/16 2013/11/28 75.0069338 Credit Suisse AG – HSI R Bull CBBC Jan 2014 N 300,000,000 2013/05/16 2014/01/29 75.0069340 Credit Suisse AG – HSI R Bear CBBC Aug 2013 R 300,000,000 2013/05/16 2013/08/29 75.0069339 Credit Suisse AG – HSI R Bear CBBC Sep 2013 V 300,000,000 2013/05/16 2013/09/27 75.0069341 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 C 150,000,000 2013/05/16 2013/12/30 37.5069321 HK Bank – China Life R Bull CBBC Oct 2013 B 60,000,000 2013/05/16 2013/10/18 15.0069320 HK Bank – HSI R Bull CBBC Oct 2013 K 100,000,000 2013/05/16 2013/10/30 25.0069319 HK Bank – HSI R Bull CBBC Nov 2013 M 400,000,000 2013/05/16 2013/11/28 100.0069327 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 J 100,000,000 2013/05/16 2013/09/27 25.0069328 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 G 100,000,000 2013/05/16 2013/08/29 25.0069334 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 V 200,000,000 2013/05/16 2013/08/29 50.0069330 UBS AG – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/05/16 2013/12/30 75.0069329 UBS AG – HSI R Bull CBBC Jan 2014 H 300,000,000 2013/05/16 2014/01/29 75.0069343 UBS AG – HSI R Bull CBBC Mar 2014 N 300,000,000 2013/05/16 2014/03/28 75.0069349 UBS AG – HSI R Bull CBBC Mar 2014 O 300,000,000 2013/05/16 2014/03/28 75.0069342 UBS AG – HSI R Bull CBBC Apr 2014 C 300,000,000 2013/05/16 2014/04/29 75.0069348 UBS AG – HSI R Bull CBBC May 2014 C 300,000,000 2013/05/16 2014/05/29 75.0069346 UBS AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/05/16 2013/08/29 75.0069345 UBS AG – HSI R Bear CBBC Aug 2013 Z 300,000,000 2013/05/16 2013/08/29 75.0069344 UBS AG – HSI R Bear CBBC Sep 2013 S 350,000,000 2013/05/16 2013/09/27 87.5069347 UBS AG – HSI R Bear CBBC Oct 2013 S 300,000,000 2013/05/16 2013/10/30 75.0069368 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 O 300,000,000 2013/05/20 2013/09/27 75.0069366 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 U 300,000,000 2013/05/20 2013/08/29 75.0069367 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 V 300,000,000 2013/05/20 2013/08/29 75.0069357 Credit Suisse AG – HSI R Bull CBBC Oct 2013 R 300,000,000 2013/05/20 2013/10/30 75.0069358 Credit Suisse AG – HSI R Bull CBBC Oct 2013 U 300,000,000 2013/05/20 2013/10/30 75.0069365 Credit Suisse AG – HSI R Bull CBBC Jan 2014 O 300,000,000 2013/05/20 2014/01/29 75.0069363 Credit Suisse AG – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/05/20 2013/08/29 75.0069362 Credit Suisse AG – HSI R Bear CBBC Aug 2013 X 300,000,000 2013/05/20 2013/08/29 75.0069364 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 K 150,000,000 2013/05/20 2014/01/29 37.5069353 HK Bank – China Shenhua R Bull CBBC Aug 2014 A 60,000,000 2013/05/20 2014/08/25 15.0069354 HK Bank – Evergrande R Bull CBBC Feb 2014 A 60,000,000 2013/05/20 2014/02/24 15.0069351 HK Bank – Lenovo R Bear CBBC Jan 2014 B 40,000,000 2013/05/20 2014/01/16 11.6069356 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 N 200,000,000 2013/05/20 2013/08/29 50.0069355 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 W 200,000,000 2013/05/20 2013/08/29 50.0069369 UBS AG – HSI R Bull CBBC Oct 2013 S 300,000,000 2013/05/20 2013/10/30 75.00




69360 UBS AG – HSI R Bull CBBC Nov 2013 L 350,000,000 2013/05/20 2013/11/28 87.5069359 UBS AG – HSI R Bull CBBC Jan 2014 I 300,000,000 2013/05/20 2014/01/29 75.0069361 UBS AG – HSI R Bear CBBC Oct 2013 T 300,000,000 2013/05/20 2013/10/30 75.0069377 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 A 300,000,000 2013/05/21 2013/08/29 75.0069378 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 B 300,000,000 2013/05/21 2013/08/29 75.0069379 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 C 300,000,000 2013/05/21 2013/08/29 75.0069373 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 W 300,000,000 2013/05/21 2013/08/29 75.0069374 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 X 300,000,000 2013/05/21 2013/08/29 75.0069375 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/05/21 2013/08/29 75.0069376 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 Z 300,000,000 2013/05/21 2013/08/29 75.0069371 Credit Suisse AG – HSI R Bull CBBC Nov 2013 C 300,000,000 2013/05/21 2013/11/28 75.0069370 Credit Suisse AG – HSI R Bull CBBC Nov 2013 Y 300,000,000 2013/05/21 2013/11/28 75.0069382 Credit Suisse AG – HSI R Bear CBBC Aug 2013 K 300,000,000 2013/05/21 2013/08/29 75.0069380 Credit Suisse AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/05/21 2013/08/29 75.0069381 Credit Suisse AG – HSI R Bear CBBC Aug 2013 V 300,000,000 2013/05/21 2013/08/29 75.0069393 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 G 150,000,000 2013/05/21 2013/08/29 37.9569395 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 H 150,000,000 2013/05/21 2013/08/29 38.8569397 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 B 300,000,000 2013/05/21 2013/10/30 75.0069398 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 C 300,000,000 2013/05/21 2013/10/30 75.0069400 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 D 300,000,000 2013/05/21 2013/10/30 75.0069396 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 A 300,000,000 2013/05/21 2013/11/28 75.0069399 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 B 300,000,000 2013/05/21 2013/11/28 75.0069383 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 B 100,000,000 2013/05/21 2013/10/30 25.0069384 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 C 100,000,000 2013/05/21 2013/10/30 25.0069385 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 D 100,000,000 2013/05/21 2013/10/30 25.0069386 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 E 100,000,000 2013/05/21 2013/10/30 25.0069392 UBS AG – China Shenhua R Bull CBBC Jul 2014 A 100,000,000 2013/05/21 2014/07/21 25.0069387 UBS AG – Evergrande R Bull CBBC Feb 2014 A 100,000,000 2013/05/21 2014/02/17 25.0069372 UBS AG – HSI R Bull CBBC Nov 2013 M 300,000,000 2013/05/21 2013/11/28 75.0069390 UBS AG – HSI R Bull CBBC Mar 2014 P 300,000,000 2013/05/21 2014/03/28 75.0069388 UBS AG – HSI R Bear CBBC Sep 2013 T 300,000,000 2013/05/21 2013/09/27 75.0069389 UBS AG – HSI R Bear CBBC Oct 2013 U 300,000,000 2013/05/21 2013/10/30 75.0061013# HK Bank – CSOP A50 ETF R Bull CBBC Sep 2013 B 180,000,000 2013/05/21 2013/09/30 13.5069415 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 H 300,000,000 2013/05/22 2013/09/27 75.0069408 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 E 300,000,000 2013/05/22 2013/08/29 75.0069410 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 F 300,000,000 2013/05/22 2013/08/29 75.0069412 Credit Suisse AG – HSI R Bull CBBC Feb 2014 J 300,000,000 2013/05/22 2014/02/27 75.0069426 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/05/22 2013/08/29 75.0069413 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 L 150,000,000 2013/05/22 2014/01/29 37.5069427 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 D 150,000,000 2013/05/22 2013/12/30 37.5069428 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 E 150,000,000 2013/05/22 2013/12/30 37.5069429 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 I 120,000,000 2013/05/22 2013/08/29 30.0069403 HK Bank – HSI R Bear CBBC Oct 2013 K 100,000,000 2013/05/22 2013/10/30 25.0069404 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 H 100,000,000 2013/05/22 2013/08/29 25.0069407 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 X 200,000,000 2013/05/22 2013/08/29 50.00




69424 UBS AG – Sinopec Corp R Bull CBBC Nov 2013 B 100,000,000 2013/05/22 2013/11/04 25.0069411 UBS AG – HSI R Bull CBBC Apr 2014 D 300,000,000 2013/05/22 2014/04/29 75.0069416 UBS AG – HSI R Bear CBBC Sep 2013 U 300,000,000 2013/05/22 2013/09/27 75.0069425 UBS AG – Hutchison R Bear CBBC Nov 2013 A 100,000,000 2013/05/22 2013/11/11 25.0069422 UBS AG – Ping An R Bull CBBC Nov 2013 B 100,000,000 2013/05/22 2013/11/25 25.0069417 UBS AG – Ping An R Bear CBBC Nov 2013 A 100,000,000 2013/05/22 2013/11/18 25.0069423 UBS AG – TCH R Bull CBBC Dec 2013 C 100,000,000 2013/05/22 2013/12/16 45.5069438 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 I 300,000,000 2013/05/23 2013/09/27 75.0069437 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Aug 2013 G 300,000,000 2013/05/23 2013/08/29 75.0069453 Credit Suisse AG – HSI R Bull CBBC Nov 2013 D 300,000,000 2013/05/23 2013/11/28 75.0069454 Credit Suisse AG – HSI R Bull CBBC Nov 2013 E 300,000,000 2013/05/23 2013/11/28 75.0069433 Credit Suisse AG – HSI R Bear CBBC Sep 2013 W 300,000,000 2013/05/23 2013/09/27 75.0069434 Credit Suisse AG – HSI R Bear CBBC Sep 2013 X 300,000,000 2013/05/23 2013/09/27 75.0069455 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 M 150,000,000 2013/05/23 2014/01/29 37.5069458 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 N 150,000,000 2013/05/23 2014/01/29 37.5069459 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 O 150,000,000 2013/05/23 2014/01/29 37.5069436 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 F 150,000,000 2013/05/23 2013/12/30 37.5069460 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 G 150,000,000 2013/05/23 2013/12/30 37.5069430 HK Bank – ABC R Bull CBBC Jan 2014 A 80,000,000 2013/05/23 2014/01/27 20.0069431 HK Bank – Minsheng Bank R Bull CBBC Dec 2013 A 40,000,000 2013/05/23 2013/12/30 13.6069439 UBS AG – HSI R Bull CBBC Nov 2013 N 300,000,000 2013/05/23 2013/11/28 75.0069444 UBS AG – HSI R Bull CBBC Nov 2013 O 300,000,000 2013/05/23 2013/11/28 75.0069435 UBS AG – HSI R Bear CBBC Jan 2014 A 300,000,000 2013/05/23 2014/01/29 75.0069445 UBS AG – PICC Group R Bull CBBC Jan 2014 A 50,000,000 2013/05/23 2014/01/13 12.5063707# HK Bank – HSI R Bear CBBC Dec 2013 A 280,000,000 2013/05/23 2013/12/30 32.7669477 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Sep 2013 M 300,000,000 2013/05/24 2013/09/27 75.0069485 Credit Suisse AG – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/05/24 2013/12/30 75.0069489 Credit Suisse AG – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/05/24 2013/12/30 75.0069491 Credit Suisse AG – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/05/24 2013/12/30 75.0069471 Credit Suisse AG – HSI R Bear CBBC Oct 2013 I 300,000,000 2013/05/24 2013/10/30 75.0069462 HK Bank – Sinopec Corp R Bull CBBC Oct 2013 B 80,000,000 2013/05/24 2013/10/28 20.0069461 HK Bank – Ping An R Bear CBBC Nov 2013 A 40,000,000 2013/05/24 2013/11/11 10.0069473 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 C 100,000,000 2013/05/24 2013/10/30 25.0069474 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 D 100,000,000 2013/05/24 2013/10/30 25.0069464 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Oct13A 100,000,000 2013/05/24 2013/10/30 25.0069465 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Oct13B 100,000,000 2013/05/24 2013/10/30 25.0069468 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Oct13A 100,000,000 2013/05/24 2013/10/30 25.0069469 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Oct13B 100,000,000 2013/05/24 2013/10/30 25.0069470 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Oct 13D 100,000,000 2013/05/24 2013/10/30 25.0069476 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug 13B 200,000,000 2013/05/24 2013/08/29 50.0069475 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug 13I 200,000,000 2013/05/24 2013/08/29 50.0069484 UBS AG – HSI R Bull CBBC Oct 2013 T 300,000,000 2013/05/24 2013/10/30 75.0069483 UBS AG – HSI R Bull CBBC Apr 2014 E 300,000,000 2013/05/24 2014/04/29 75.0069472 UBS AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/05/24 2013/08/29 75.0069478 UBS AG – TCH R Bull CBBC Dec 2013 D 100,000,000 2013/05/24 2013/12/02 26.50




69492 UBS AG – TCH R Bear CBBC Nov 2013 A 100,000,000 2013/05/24 2013/11/25 26.0069479 UBS AG – TCH R Bear CBBC Feb 2014 A 100,000,000 2013/05/24 2014/02/10 80.0069534 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 A 300,000,000 2013/05/27 2014/04/29 75.0069535 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 B 300,000,000 2013/05/27 2014/04/29 75.0069537 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 C 300,000,000 2013/05/27 2014/04/29 75.0069538 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 D 300,000,000 2013/05/27 2014/04/29 75.0069531 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 A 300,000,000 2013/05/27 2013/12/30 75.0069533 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 B 300,000,000 2013/05/27 2013/12/30 75.0069505 Credit Suisse AG – HSI R Bull CBBC Feb 2014 K 300,000,000 2013/05/27 2014/02/27 75.0069558 Credit Suisse AG – HSI R Bull CBBC Feb 2014 L 300,000,000 2013/05/27 2014/02/27 75.0069559 Credit Suisse AG – HSI R Bull CBBC Feb 2014 M 300,000,000 2013/05/27 2014/02/27 75.0069560 Credit Suisse AG – HSI R Bull CBBC Feb 2014 N 300,000,000 2013/05/27 2014/02/27 75.0069561 Credit Suisse AG – HSI R Bull CBBC Feb 2014 O 300,000,000 2013/05/27 2014/02/27 75.0069511 Credit Suisse AG – HSI R Bear CBBC Aug 2013 N 300,000,000 2013/05/27 2013/08/29 75.0069512 Credit Suisse AG – HSI R Bear CBBC Aug 2013 W 300,000,000 2013/05/27 2013/08/29 75.0069509 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/05/27 2013/08/29 75.0069510 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Z 300,000,000 2013/05/27 2013/08/29 75.0069506 Credit Suisse AG – HSI R Bear CBBC Oct 2013 J 300,000,000 2013/05/27 2013/10/30 75.0069508 Credit Suisse AG – HSI R Bear CBBC Oct 2013 K 300,000,000 2013/05/27 2013/10/30 75.0069572 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 P 120,000,000 2013/05/27 2014/01/29 30.0069573 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 Q 120,000,000 2013/05/27 2014/01/29 30.0069574 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 R 120,000,000 2013/05/27 2014/01/29 30.0069513 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 H 120,000,000 2013/05/27 2013/12/30 30.0069514 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 I 120,000,000 2013/05/27 2013/12/30 30.0069515 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 J 120,000,000 2013/05/27 2013/12/30 30.0069539 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 S 150,000,000 2013/05/27 2013/08/29 38.2569540 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 T 150,000,000 2013/05/27 2013/08/29 38.8569541 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 U 150,000,000 2013/05/27 2013/08/29 37.8069542 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 V 150,000,000 2013/05/27 2013/08/29 38.4069543 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 W 150,000,000 2013/05/27 2013/08/29 37.5069544 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 X 150,000,000 2013/05/27 2013/08/29 38.1069545 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 Y 150,000,000 2013/05/27 2013/08/29 38.4069546 Goldman Sachs SP (Asia) – HSI R Bull CBBC Aug 2013 Z 150,000,000 2013/05/27 2013/08/29 37.5069575 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 J 150,000,000 2013/05/27 2013/08/29 38.5569576 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 K 150,000,000 2013/05/27 2013/08/29 37.9569577 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 L 150,000,000 2013/05/27 2013/08/29 38.4069578 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 M 150,000,000 2013/05/27 2013/08/29 39.1569579 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 N 150,000,000 2013/05/27 2013/08/29 38.8569493 HK Bank – Hutchison R Bull CBBC Oct 2013 B 60,000,000 2013/05/27 2013/10/28 15.0069494 HK Bank – Hutchison R Bull CBBC Dec 2013 A 60,000,000 2013/05/27 2013/12/30 15.0069522 HK Bank – TCH R Bull CBBC Nov 2013 C 50,000,000 2013/05/27 2013/11/18 24.0069524 HK Bank – TCH R Bull CBBC Nov 2013 D 50,000,000 2013/05/27 2013/11/04 19.0069581 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 C 300,000,000 2013/05/27 2013/11/28 75.0069582 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 D 300,000,000 2013/05/27 2013/11/28 75.0069583 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 E 300,000,000 2013/05/27 2013/12/30 75.00




69585 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/05/27 2013/12/30 75.0069587 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 E 300,000,000 2013/05/27 2013/10/30 75.0069586 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 C 300,000,000 2013/05/27 2013/11/28 75.0069562 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 H 100,000,000 2013/05/27 2013/10/30 25.0069563 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 I 100,000,000 2013/05/27 2013/10/30 25.0069564 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 J 100,000,000 2013/05/27 2013/10/30 25.0069565 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 K 100,000,000 2013/05/27 2013/10/30 25.0069567 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Oct 2013 L 100,000,000 2013/05/27 2013/10/30 25.0069580 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 F 100,000,000 2013/05/27 2013/10/30 25.0069495 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 K 100,000,000 2013/05/27 2013/09/27 25.0069526 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 L 100,000,000 2013/05/27 2013/09/27 25.0069525 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 M 100,000,000 2013/05/27 2013/09/27 25.0069496 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 I 100,000,000 2013/05/27 2013/08/29 25.0069497 Standard Chartered Bank – HSI R Bear CBBC Aug 2013 J 100,000,000 2013/05/27 2013/08/29 25.0069527 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 A 200,000,000 2013/05/27 2013/08/29 50.0069528 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 H 200,000,000 2013/05/27 2013/08/29 50.0069529 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 H 200,000,000 2013/05/27 2013/09/27 50.0069530 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 A 200,000,000 2013/05/27 2013/08/29 50.0069498 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 Y 200,000,000 2013/05/27 2013/08/29 50.0069501 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 Z 200,000,000 2013/05/27 2013/08/29 50.0069502 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 A 200,000,000 2013/05/27 2013/09/27 50.0069553 UBS AG – CSOP A50 ETF R Bull CBBC Nov 2013 A 100,000,000 2013/05/27 2013/11/11 25.0069552 UBS AG – CSOP A50 ETF R Bear CBBC Oct 2013 A 100,000,000 2013/05/27 2013/10/28 25.0069551 UBS AG – A50 China R Bull CBBC Jan 2014 E 100,000,000 2013/05/27 2014/01/13 25.0069550 UBS AG – A50 China R Bear CBBC Oct 2013 B 100,000,000 2013/05/27 2013/10/28 25.0069555 UBS AG – HKEx R Bear CBBC Nov 2013 B 100,000,000 2013/05/27 2013/11/25 25.0069557 UBS AG – HSBC R Bull CBBC Dec 2013 B 100,000,000 2013/05/27 2013/12/23 25.0069556 UBS AG – HSBC R Bear CBBC Dec 2013 B 100,000,000 2013/05/27 2013/12/02 25.0069548 UBS AG – HSCEI R Bear CBBC Sep 2013 A 100,000,000 2013/05/27 2013/09/27 25.0069549 UBS AG – HSCEI R Bear CBBC Sep 2013 B 100,000,000 2013/05/27 2013/09/27 25.0069568 UBS AG – HSI R Bull CBBC Oct 2013 U 300,000,000 2013/05/27 2013/10/30 75.0069571 UBS AG – HSI R Bull CBBC Oct 2013 V 300,000,000 2013/05/27 2013/10/30 75.0069570 UBS AG – HSI R Bull CBBC Dec 2013 J 300,000,000 2013/05/27 2013/12/30 75.0069517 UBS AG – HSI R Bear CBBC Aug 2013 A 300,000,000 2013/05/27 2013/08/29 75.0069518 UBS AG – HSI R Bear CBBC Aug 2013 N 300,000,000 2013/05/27 2013/08/29 75.0069516 UBS AG – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/05/27 2013/08/29 75.0069519 UBS AG – HSI R Bear CBBC Aug 2013 V 300,000,000 2013/05/27 2013/08/29 75.0069554 UBS AG – TCH R Bull CBBC Jan 2014 A 100,000,000 2013/05/27 2014/01/20 25.0069547 UBS AG – TCH R Bear CBBC Nov 2013 B 100,000,000 2013/05/27 2013/11/11 33.0069604 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 C 300,000,000 2013/05/28 2013/12/30 75.0069600 Credit Suisse AG – HSI R Bull CBBC Jan 2014 P 300,000,000 2013/05/28 2014/01/29 75.0069601 Credit Suisse AG – HSI R Bull CBBC Jan 2014 Q 300,000,000 2013/05/28 2014/01/29 75.0069602 Credit Suisse AG – HSI R Bull CBBC Jan 2014 R 300,000,000 2013/05/28 2014/01/29 75.0069611 Credit Suisse AG – HSI R Bear CBBC Aug 2013 M 300,000,000 2013/05/28 2013/08/29 75.0069612 Credit Suisse AG – HSI R Bear CBBC Aug 2013 O 300,000,000 2013/05/28 2013/08/29 75.00




69605 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 S 120,000,000 2013/05/28 2014/01/29 30.0069606 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 K 120,000,000 2013/05/28 2013/12/30 30.0069607 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 L 120,000,000 2013/05/28 2013/12/30 30.0069608 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Dec 2013 M 120,000,000 2013/05/28 2013/12/30 30.0069593 HK Bank – AIA R Bull CBBC Nov 2013 C 60,000,000 2013/05/28 2013/11/04 19.8069596 HK Bank – CSOP A50 ETF R Bull CBBC Nov 2013 B 80,000,000 2013/05/28 2013/11/11 20.0069597 HK Bank – A50 R Bull CBBC Oct 2013 E 100,000,000 2013/05/28 2013/10/28 25.0069598 HK Bank – HSI R Bull CBBC Dec 2013 J 100,000,000 2013/05/28 2013/12/30 25.0069595 HK Bank – TCH R Bull CBBC Oct 2013 D 50,000,000 2013/05/28 2013/10/21 16.0069599 HK Bank – TCH R Bear CBBC Nov 2013 B 50,000,000 2013/05/28 2013/11/25 19.5069594 HK Bank – TCH R Bear CBBC Dec 2013 A 50,000,000 2013/05/28 2013/12/16 25.0069589 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 K 200,000,000 2013/05/28 2013/08/29 50.0069588 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 M 200,000,000 2013/05/28 2013/08/29 50.0069590 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 E 200,000,000 2013/05/28 2013/08/29 50.0069591 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 F 200,000,000 2013/05/28 2013/08/29 50.0069592 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 H 200,000,000 2013/05/28 2013/08/29 50.0069617 UBS AG – HSI R Bull CBBC Sep 2013 I 300,000,000 2013/05/28 2013/09/27 75.0069603 UBS AG – HSI R Bull CBBC Nov 2013 P 300,000,000 2013/05/28 2013/11/28 75.0069616 UBS AG – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/05/28 2013/12/30 75.0069615 UBS AG – HSI R Bear CBBC Aug 2013 R 350,000,000 2013/05/28 2013/08/29 87.5069613 UBS AG – HSI R Bear CBBC Aug 2013 W 300,000,000 2013/05/28 2013/08/29 75.0069610 UBS AG – TCH R Bull CBBC Dec 2013 E 100,000,000 2013/05/28 2013/12/23 33.0068951# Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Sep 2013 Q 220,000,000 2013/05/28 2013/09/27 10.1269624 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 E 300,000,000 2013/05/29 2014/04/29 75.0069634 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 D 300,000,000 2013/05/29 2013/12/30 75.0069625 Credit Suisse AG – HSI R Bull CBBC Dec 2013 J 300,000,000 2013/05/29 2013/12/30 75.0069626 Credit Suisse AG – HSI R Bull CBBC Dec 2013 K 300,000,000 2013/05/29 2013/12/30 75.0069627 Credit Suisse AG – HSI R Bear CBBC Aug 2013 P 300,000,000 2013/05/29 2013/08/29 75.0069628 Credit Suisse AG – HSI R Bear CBBC Aug 2013 R 300,000,000 2013/05/29 2013/08/29 75.0069631 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 O 150,000,000 2013/05/29 2013/08/29 38.4069632 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 P 150,000,000 2013/05/29 2013/08/29 38.5569633 Goldman Sachs SP (Asia) – HSI R Bear CBBC Aug 2013 Q 150,000,000 2013/05/29 2013/08/29 37.6569640 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 E 300,000,000 2013/05/29 2013/11/28 75.0069644 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 F 300,000,000 2013/05/29 2013/11/28 75.0069638 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 G 300,000,000 2013/05/29 2013/12/30 75.0069639 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/05/29 2013/12/30 75.0069641 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/05/29 2013/12/30 75.0069642 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 J 300,000,000 2013/05/29 2013/12/30 75.0069645 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 D 300,000,000 2013/05/29 2013/11/28 75.0069646 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 E 300,000,000 2013/05/29 2013/11/28 75.0069648 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 F 300,000,000 2013/05/29 2013/11/28 75.0069647 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 A 300,000,000 2013/05/29 2013/12/30 75.0069649 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 B 300,000,000 2013/05/29 2013/12/30 75.0069629 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 G 100,000,000 2013/05/29 2013/10/30 25.0069630 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Oct 2013 H 100,000,000 2013/05/29 2013/10/30 25.00




69618 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 B 200,000,000 2013/05/29 2013/08/29 50.0069619 UBS AG – AIA R Bull CBBC Jun 2014 A 100,000,000 2013/05/29 2014/06/16 25.0069621 UBS AG – HSI R Bull CBBC Oct 2013 X 300,000,000 2013/05/29 2013/10/30 75.0069620 UBS AG – HSI R Bull CBBC Nov 2013 S 350,000,000 2013/05/29 2013/11/28 87.5069636 UBS AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/05/29 2013/08/29 75.0069637 UBS AG – HSI R Bear CBBC Sep 2013 V 300,000,000 2013/05/29 2013/09/27 75.0069656 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 F 300,000,000 2013/05/30 2014/04/29 75.0069657 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 G 300,000,000 2013/05/30 2014/04/29 75.0069693 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 H 300,000,000 2013/05/30 2014/04/29 75.0069695 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 I 300,000,000 2013/05/30 2014/04/29 75.0069685 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 E 300,000,000 2013/05/30 2013/12/30 75.0069686 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 F 300,000,000 2013/05/30 2013/12/30 75.0069687 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 G 300,000,000 2013/05/30 2013/12/30 75.0069688 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 H 300,000,000 2013/05/30 2013/12/30 75.0069689 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 I 300,000,000 2013/05/30 2013/12/30 75.0069690 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 J 300,000,000 2013/05/30 2013/12/30 75.0069691 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 K 300,000,000 2013/05/30 2013/12/30 75.0069742 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 L 300,000,000 2013/05/30 2013/12/30 75.0069743 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 M 300,000,000 2013/05/30 2013/12/30 75.0069662 Credit Suisse AG – HSI R Bull CBBC Dec 2013 L 300,000,000 2013/05/30 2013/12/30 75.0069666 Credit Suisse AG – HSI R Bull CBBC Dec 2013 N 300,000,000 2013/05/30 2013/12/30 75.0069667 Credit Suisse AG – HSI R Bull CBBC Dec 2013 O 300,000,000 2013/05/30 2013/12/30 75.0069668 Credit Suisse AG – HSI R Bull CBBC Dec 2013 P 300,000,000 2013/05/30 2013/12/30 75.0069681 Credit Suisse AG – HSI R Bull CBBC Dec 2013 Q 300,000,000 2013/05/30 2013/12/30 75.0069682 Credit Suisse AG – HSI R Bull CBBC Dec 2013 R 300,000,000 2013/05/30 2013/12/30 75.0069708 Credit Suisse AG – HSI R Bear CBBC Aug 2013 K 300,000,000 2013/05/30 2013/08/29 75.0069712 Credit Suisse AG – HSI R Bear CBBC Aug 2013 L 300,000,000 2013/05/30 2013/08/29 75.0069744 Credit Suisse AG – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/05/30 2013/08/29 75.0069700 Credit Suisse AG – HSI R Bear CBBC Aug 2013 S 300,000,000 2013/05/30 2013/08/29 75.0069704 Credit Suisse AG – HSI R Bear CBBC Aug 2013 T 300,000,000 2013/05/30 2013/08/29 75.0069746 Credit Suisse AG – HSI R Bear CBBC Aug 2013 V 300,000,000 2013/05/30 2013/08/29 75.0069705 Credit Suisse AG – HSI R Bear CBBC Aug 2013 X 300,000,000 2013/05/30 2013/08/29 75.0069747 Credit Suisse AG – HSI R Bear CBBC Sep 2013 Y 300,000,000 2013/05/30 2013/09/27 75.0069669 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 T 120,000,000 2013/05/30 2014/01/29 30.0069670 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 U 120,000,000 2013/05/30 2014/01/29 30.0069671 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 V 120,000,000 2013/05/30 2014/01/29 30.0069697 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 W 120,000,000 2013/05/30 2014/01/29 30.0069699 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 X 120,000,000 2013/05/30 2014/01/29 30.0069715 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2014 A 120,000,000 2013/05/30 2014/01/29 30.0069716 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2014 B 120,000,000 2013/05/30 2014/01/29 30.0069717 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2014 C 120,000,000 2013/05/30 2014/01/29 30.0069748 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 A 150,000,000 2013/05/30 2013/09/27 38.4069749 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 B 150,000,000 2013/05/30 2013/09/27 39.0069750 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 C 150,000,000 2013/05/30 2013/09/27 37.6569752 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 D 150,000,000 2013/05/30 2013/09/27 38.10




69753 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 E 150,000,000 2013/05/30 2013/09/27 37.9569754 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 F 150,000,000 2013/05/30 2013/09/27 37.8069756 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 G 150,000,000 2013/05/30 2013/09/27 37.5069759 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 H 150,000,000 2013/05/30 2013/09/27 37.5069760 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 I 150,000,000 2013/05/30 2013/09/27 37.9569650 HK Bank – CAM CSI300 R Bull CBBC Nov 2013 B 60,000,000 2013/05/30 2013/11/04 15.0069652 HK Bank – CPIC R Bull CBBC Nov 2013 A 60,000,000 2013/05/30 2013/11/25 15.0069654 HK Bank – HKEx R Bull CBBC Oct 2013 C 60,000,000 2013/05/30 2013/10/07 15.0069651 HK Bank – PetCh R Bear CBBC Nov 2013 B 40,000,000 2013/05/30 2013/11/25 10.0069761 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 K 300,000,000 2013/05/30 2013/12/30 75.0069762 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 L 300,000,000 2013/05/30 2013/12/30 75.0069763 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 G 300,000,000 2013/05/30 2013/11/28 75.0069764 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 H 300,000,000 2013/05/30 2013/11/28 75.0069731 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 A 100,000,000 2013/05/30 2013/11/28 25.0069719 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 A 100,000,000 2013/05/30 2013/11/28 25.0069721 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 B 100,000,000 2013/05/30 2013/11/28 25.0069722 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 C 100,000,000 2013/05/30 2013/11/28 25.0069723 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 D 100,000,000 2013/05/30 2013/11/28 25.0069724 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 E 100,000,000 2013/05/30 2013/11/28 25.0069730 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 F 100,000,000 2013/05/30 2013/11/28 25.0069655 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug13 N 200,000,000 2013/05/30 2013/08/29 50.0069673 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 I 200,000,000 2013/05/30 2013/09/27 50.0069684 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 J 200,000,000 2013/05/30 2013/09/27 50.0069679 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 A 200,000,000 2013/05/30 2013/10/30 50.0069674 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 I 200,000,000 2013/05/30 2013/08/29 50.0069676 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 J 200,000,000 2013/05/30 2013/08/29 50.0069678 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 L 200,000,000 2013/05/30 2013/08/29 50.0069718 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Aug13 M 200,000,000 2013/05/30 2013/08/29 50.0069732 UBS AG – China Life R Bear CBBC Dec 2013 B 100,000,000 2013/05/30 2013/12/23 25.0069672 UBS AG – HSI R Bull CBBC Oct 2013 Y 300,000,000 2013/05/30 2013/10/30 75.0069680 UBS AG – HSI R Bull CBBC Nov 2013 Q 300,000,000 2013/05/30 2013/11/28 75.0069658 UBS AG – HSI R Bull CBBC Dec 2013 K 300,000,000 2013/05/30 2013/12/30 75.0069659 UBS AG – HSI R Bull CBBC Dec 2013 L 300,000,000 2013/05/30 2013/12/30 75.0069660 UBS AG – HSI R Bull CBBC Mar 2014 Q 300,000,000 2013/05/30 2014/03/28 75.0069733 UBS AG – HSI R Bear CBBC Aug 2013 B 300,000,000 2013/05/30 2013/08/29 75.0069735 UBS AG – HSI R Bear CBBC Aug 2013 M 300,000,000 2013/05/30 2013/08/29 75.0069736 UBS AG – HSI R Bear CBBC Aug 2013 Q 300,000,000 2013/05/30 2013/08/29 75.0069734 UBS AG – HSI R Bear CBBC Aug 2013 U 300,000,000 2013/05/30 2013/08/29 75.0069739 UBS AG – HSI R Bear CBBC Aug 2013 Y 300,000,000 2013/05/30 2013/08/29 75.0069788 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 J 300,000,000 2013/05/31 2014/04/29 75.0069789 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 K 300,000,000 2013/05/31 2014/04/29 75.0069784 Credit Suisse AG – HSI R Bull CBBC Jan 2014 S 300,000,000 2013/05/31 2014/01/29 75.0069809 Credit Suisse AG – HSI R Bull CBBC Jan 2014 T 300,000,000 2013/05/31 2014/01/29 75.0069810 Credit Suisse AG – HSI R Bull CBBC Jan 2014 U 300,000,000 2013/05/31 2014/01/29 75.0069815 Credit Suisse AG – HSI R Bear CBBC Sep 2013 F 300,000,000 2013/05/31 2013/09/27 75.00




69817 Credit Suisse AG – HSI R Bear CBBC Sep 2013 G 300,000,000 2013/05/31 2013/09/27 75.0069814 Credit Suisse AG – HSI R Bear CBBC Sep 2013 Z 300,000,000 2013/05/31 2013/09/27 75.0069811 Credit Suisse AG – HSI R Bear CBBC Oct 2013 L 300,000,000 2013/05/31 2013/10/30 75.0069816 Credit Suisse AG – HSI R Bear CBBC Oct 2013 M 300,000,000 2013/05/31 2013/10/30 75.0069819 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 Y 120,000,000 2013/05/31 2014/01/29 30.0069822 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 Z 120,000,000 2013/05/31 2014/01/29 30.0069823 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2014 D 120,000,000 2013/05/31 2014/01/29 30.0069824 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Jan 2014 E 120,000,000 2013/05/31 2014/01/29 30.0069830 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 A 150,000,000 2013/05/31 2013/09/27 38.7069825 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 J 150,000,000 2013/05/31 2013/09/27 37.5069826 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 K 150,000,000 2013/05/31 2013/09/27 40.2069827 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 L 150,000,000 2013/05/31 2013/09/27 38.4069829 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 M 150,000,000 2013/05/31 2013/09/27 38.8569775 HK Bank – CSOP A50 ETF R Bear CBBC Jan 2014 A 40,000,000 2013/05/31 2014/01/13 10.0069776 HK Bank – CSOP A50 ETF R Bear CBBC Feb 2014 A 40,000,000 2013/05/31 2014/02/17 10.0069766 HK Bank – HSCEI R Bull CBBC Nov 2013 D 100,000,000 2013/05/31 2013/11/28 25.0069765 HK Bank – HSCEI R Bear CBBC Nov 2013 C 68,000,000 2013/05/31 2013/11/28 17.0069772 HK Bank – HSI R Bear CBBC Sep 2013 L 100,000,000 2013/05/31 2013/09/27 25.0069768 HK Bank – HSI R Bear CBBC Oct 2013 L 100,000,000 2013/05/31 2013/10/30 25.0069767 HK Bank – HSI R Bear CBBC Nov 2013 L 100,000,000 2013/05/31 2013/11/28 25.0069774 HK Bank – HSI R Bear CBBC Nov 2013 M 100,000,000 2013/05/31 2013/11/28 25.0069781 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 E 100,000,000 2013/05/31 2013/10/30 25.0069782 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 F 100,000,000 2013/05/31 2013/10/30 25.0069777 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep 13K 200,000,000 2013/05/31 2013/09/27 50.0069787 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep 13L 200,000,000 2013/05/31 2013/09/27 50.0069778 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13B 200,000,000 2013/05/31 2013/09/27 50.0069779 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13C 200,000,000 2013/05/31 2013/09/27 50.0069780 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13D 200,000,000 2013/05/31 2013/09/27 50.0069803 UBS AG – HSBC R Bear CBBC Nov 2013 A 100,000,000 2013/05/31 2013/11/18 25.0069798 UBS AG – HSCEI R Bear CBBC Oct 2013 A 100,000,000 2013/05/31 2013/10/30 25.0069797 UBS AG – HSI R Bull CBBC Nov 2013 T 300,000,000 2013/05/31 2013/11/28 75.0069786 UBS AG – HSI R Bull CBBC Mar 2014 R 300,000,000 2013/05/31 2014/03/28 75.0069818 UBS AG – HSI R Bear CBBC Sep 2013 P 300,000,000 2013/05/31 2013/09/27 75.0069791 UBS AG – HSI R Bear CBBC Sep 2013 W 300,000,000 2013/05/31 2013/09/27 75.0069793 UBS AG – HSI R Bear CBBC Sep 2013 X 300,000,000 2013/05/31 2013/09/27 75.0069802 UBS AG – TCH R Bear CBBC Dec 2013 B 100,000,000 2013/05/31 2013/12/02 28.0069891 Credit Suisse AG – HSI R Bull CBBC Nov 2013 F 300,000,000 2013/06/03 2013/11/28 75.0069893 Credit Suisse AG – HSI R Bull CBBC Nov 2013 Z 300,000,000 2013/06/03 2013/11/28 75.0069841 Credit Suisse AG – HSI R Bear CBBC Sep 2013 H 300,000,000 2013/06/03 2013/09/27 75.0069838 Credit Suisse AG – HSI R Bear CBBC Oct 2013 N 300,000,000 2013/06/03 2013/10/30 75.0069840 Credit Suisse AG – HSI R Bear CBBC Oct 2013 O 300,000,000 2013/06/03 2013/10/30 75.0069885 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Jan 2014 E 120,000,000 2013/06/03 2014/01/29 30.0069832 HK Bank – Hutchison R Bear CBBC Oct 2013 A 50,000,000 2013/06/03 2013/10/28 12.5069831 HK Bank – Lenovo R Bull CBBC Jan 2014 A 60,000,000 2013/06/03 2014/01/27 15.0069836 HK Bank – PICC Group R Bull CBBC Feb 2014 A 50,000,000 2013/06/03 2014/02/26 12.50




69837 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 O 100,000,000 2013/06/03 2013/09/27 25.0069844 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 M 200,000,000 2013/06/03 2013/09/27 50.0069843 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 B 200,000,000 2013/06/03 2013/10/30 50.0069845 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 E 200,000,000 2013/06/03 2013/09/27 50.0069849 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 F 200,000,000 2013/06/03 2013/09/27 50.0069854 UBS AG – Minsheng Bank R Bull CBBC Oct 2013 A 50,000,000 2013/06/03 2013/10/07 12.5069853 UBS AG – Minsheng Bank R Bull CBBC Nov 2013 B 50,000,000 2013/06/03 2013/11/11 12.5069897 UBS AG – HSI R Bull CBBC Feb 2014 O 300,000,000 2013/06/03 2014/02/27 75.0069850 UBS AG – HSI R Bear CBBC Sep 2013 Y 300,000,000 2013/06/03 2013/09/27 75.0069851 UBS AG – HSI R Bear CBBC Sep 2013 Z 300,000,000 2013/06/03 2013/09/27 75.0069842 UBS AG – HSI R Bear CBBC Oct 2013 V 300,000,000 2013/06/03 2013/10/30 75.0069882 UBS AG – Hutchison R Bull CBBC Dec 2013 B 100,000,000 2013/06/03 2013/12/16 25.0069881 UBS AG – Lenovo R Bull CBBC Dec 2013 D 50,000,000 2013/06/03 2013/12/09 12.5069878 UBS AG – Lenovo R Bear CBBC Jan 2014 A 50,000,000 2013/06/03 2014/01/13 12.5069859 UBS AG – PICC Group R Bull CBBC Jan 2014 B 50,000,000 2013/06/03 2014/01/27 12.5069904 Credit Suisse AG – HSI R Bull CBBC Nov 2013 B 300,000,000 2013/06/04 2013/11/28 75.0069912 Credit Suisse AG – HSI R Bull CBBC Nov 2013 C 300,000,000 2013/06/04 2013/11/28 75.0069906 Credit Suisse AG – HSI R Bull CBBC Nov 2013 X 300,000,000 2013/06/04 2013/11/28 75.0069911 Credit Suisse AG – HSI R Bull CBBC Nov 2013 Y 300,000,000 2013/06/04 2013/11/28 75.0069898 Credit Suisse AG – HSI R Bear CBBC Sep 2013 I 300,000,000 2013/06/04 2013/09/27 75.0069929 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 Z 120,000,000 2013/06/04 2013/11/28 30.0069928 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 A 120,000,000 2013/06/04 2013/11/28 30.0069930 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 B 120,000,000 2013/06/04 2013/09/27 30.2469935 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 C 120,000,000 2013/06/04 2013/09/27 30.2469936 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 D 120,000,000 2013/06/04 2013/09/27 30.4869937 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 E 120,000,000 2013/06/04 2013/09/27 30.3669938 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 M 300,000,000 2013/06/04 2013/12/30 75.0069940 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 N 300,000,000 2013/06/04 2013/12/30 75.0069949 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 I 300,000,000 2013/06/04 2013/11/28 75.0069950 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 J 300,000,000 2013/06/04 2013/11/28 75.0069942 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 C 300,000,000 2013/06/04 2013/12/30 75.0069951 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 D 300,000,000 2013/06/04 2013/12/30 75.0069913 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 B 100,000,000 2013/06/04 2013/11/28 25.0069914 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 C 100,000,000 2013/06/04 2013/11/28 25.0069920 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 D 100,000,000 2013/06/04 2013/11/28 25.0069921 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 N 200,000,000 2013/06/04 2013/09/27 50.0069922 UBS AG – HSI R Bull CBBC Oct 2013 Z 300,000,000 2013/06/04 2013/10/30 75.0069924 UBS AG – HSI R Bull CBBC Dec 2013 M 300,000,000 2013/06/04 2013/12/30 75.0069925 UBS AG – HSI R Bull CBBC Mar 2014 S 300,000,000 2013/06/04 2014/03/28 75.0069900 UBS AG – HSI R Bear CBBC Sep 2013 A 300,000,000 2013/06/04 2013/09/27 75.0069901 UBS AG – HSI R Bear CBBC Oct 2013 W 350,000,000 2013/06/04 2013/10/30 87.5069984 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 N 300,000,000 2013/06/05 2013/12/30 75.0069985 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 O 300,000,000 2013/06/05 2013/12/30 75.0069955 Credit Suisse AG – HSI R Bull CBBC Jan 2014 V 300,000,000 2013/06/05 2014/01/29 75.0069968 Credit Suisse AG – HSI R Bull CBBC Jan 2014 W 300,000,000 2013/06/05 2014/01/29 75.00




69971 Credit Suisse AG – HSI R Bear CBBC Sep 2013 N 300,000,000 2013/06/05 2013/09/27 75.0069972 Credit Suisse AG – HSI R Bear CBBC Sep 2013 O 300,000,000 2013/06/05 2013/09/27 75.0069969 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 V 120,000,000 2013/06/05 2013/10/30 30.0069970 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 W 120,000,000 2013/06/05 2013/10/30 30.0069973 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 A 120,000,000 2013/06/05 2013/10/30 30.0069953 HK Bank – HSI R Bull CBBC Oct 2013 L 100,000,000 2013/06/05 2013/10/30 25.0069952 HK Bank – HSI R Bull CBBC Nov 2013 N 100,000,000 2013/06/05 2013/11/28 25.0069986 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 O 300,000,000 2013/06/05 2013/12/30 75.0069995 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 P 300,000,000 2013/06/05 2013/12/30 75.0060000 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 Q 300,000,000 2013/06/05 2013/12/30 75.0060002 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 K 300,000,000 2013/06/05 2013/11/28 75.0060010 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 L 300,000,000 2013/06/05 2013/11/28 75.0060001 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 E 300,000,000 2013/06/05 2013/12/30 75.0069954 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 Q 100,000,000 2013/06/05 2013/09/27 25.0069982 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 G 200,000,000 2013/06/05 2013/09/27 50.0069962 UBS AG – HSI R Bull CBBC Nov 2013 R 300,000,000 2013/06/05 2013/11/28 75.0069967 UBS AG – HSI R Bull CBBC Nov 2013 U 300,000,000 2013/06/05 2013/11/28 75.0069957 UBS AG – HSI R Bull CBBC Dec 2013 N 300,000,000 2013/06/05 2013/12/30 75.0069981 UBS AG – HSI R Bear CBBC Sep 2013 I 300,000,000 2013/06/05 2013/09/27 75.0069974 UBS AG – HSI R Bear CBBC Oct 2013 X 300,000,000 2013/06/05 2013/10/30 75.0067824# HK Bank – HSI R Bull CBBC Nov 2013 G 180,000,000 2013/06/05 2013/11/28 18.0060065 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 L 300,000,000 2013/06/06 2014/04/29 75.0060066 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 M 300,000,000 2013/06/06 2014/04/29 75.0060067 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 N 300,000,000 2013/06/06 2014/04/29 75.0060070 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 O 300,000,000 2013/06/06 2014/04/29 90.0060062 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 P 300,000,000 2013/06/06 2013/12/30 75.0060063 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 Q 300,000,000 2013/06/06 2013/12/30 75.0060035 Credit Suisse AG – HSI R Bull CBBC Jan 2014 M 300,000,000 2013/06/06 2014/01/29 75.0060026 Credit Suisse AG – HSI R Bull CBBC Jan 2014 X 300,000,000 2013/06/06 2014/01/29 75.0060031 Credit Suisse AG – HSI R Bull CBBC Jan 2014 Y 300,000,000 2013/06/06 2014/01/29 75.0060032 Credit Suisse AG – HSI R Bull CBBC Jan 2014 Z 300,000,000 2013/06/06 2014/01/29 75.0060027 Credit Suisse AG – HSI R Bull CBBC Feb 2014 P 300,000,000 2013/06/06 2014/02/27 75.0060038 Credit Suisse AG – HSI R Bear CBBC Sep 2013 K 300,000,000 2013/06/06 2013/09/27 75.0060036 Credit Suisse AG – HSI R Bear CBBC Sep 2013 M 300,000,000 2013/06/06 2013/09/27 75.0060029 Credit Suisse AG – HSI R Bear CBBC Oct 2013 Q 300,000,000 2013/06/06 2013/10/30 75.0060030 Credit Suisse AG – HSI R Bear CBBC Nov 2013 F 300,000,000 2013/06/06 2013/11/28 75.0060083 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 Z 120,000,000 2013/06/06 2013/10/30 30.0060075 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 B 120,000,000 2013/06/06 2013/10/30 30.0060086 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 N 150,000,000 2013/06/06 2013/09/27 37.6560087 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 O 150,000,000 2013/06/06 2013/09/27 38.1060019 HK Bank – CPIC R Bull CBBC Dec 2013 C 60,000,000 2013/06/06 2013/12/23 29.4060012 HK Bank – HSI R Bull CBBC Jan 2014 A 400,000,000 2013/06/06 2014/01/29 100.0060014 HK Bank – HSI R Bull CBBC Jan 2014 B 400,000,000 2013/06/06 2014/01/29 100.0060011 HK Bank – HSI R Bear CBBC Oct 2013 M 100,000,000 2013/06/06 2013/10/30 25.0060016 HK Bank – Ping An R Bear CBBC Oct 2013 A 40,000,000 2013/06/06 2013/10/28 10.00




60015 HK Bank – SHK Ppt R Bear CBBC Dec 2013 A 50,000,000 2013/06/06 2013/12/30 12.5060080 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 E 100,000,000 2013/06/06 2013/11/28 25.0060082 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 F 100,000,000 2013/06/06 2013/11/28 25.0060081 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 G 100,000,000 2013/06/06 2013/11/28 25.0060061 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 R 100,000,000 2013/06/06 2013/09/27 25.0060024 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 G 100,000,000 2013/06/06 2013/10/30 25.0060040 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep 13O 200,000,000 2013/06/06 2013/09/27 50.0060049 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct 13C 200,000,000 2013/06/06 2013/10/30 50.0060051 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13H 200,000,000 2013/06/06 2013/09/27 50.0060060 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13I 200,000,000 2013/06/06 2013/09/27 50.0060078 UBS AG – China Life R Bear CBBC Nov 2013 A 100,000,000 2013/06/06 2013/11/18 25.0060033 UBS AG – HSI R Bull CBBC Oct 2013 A 300,000,000 2013/06/06 2013/10/30 75.0060079 UBS AG – HSI R Bull CBBC Dec 2013 O 300,000,000 2013/06/06 2013/12/30 75.0060034 UBS AG – HSI R Bull CBBC Mar 2014 T 350,000,000 2013/06/06 2014/03/28 87.5060023 UBS AG – HSI R Bull CBBC May 2014 D 300,000,000 2013/06/06 2014/05/29 75.0060022 UBS AG – HSI R Bull CBBC Jun 2014 A 300,000,000 2013/06/06 2014/06/27 75.0060077 UBS AG – HSI R Bear CBBC Sep 2013 J 300,000,000 2013/06/06 2013/09/27 75.0060076 UBS AG – HSI R Bear CBBC Oct 2013 Y 300,000,000 2013/06/06 2013/10/30 75.0060020 UBS AG – HSI R Bear CBBC Feb 2014 A 300,000,000 2013/06/06 2014/02/27 75.0060021 UBS AG – HSI R Bear CBBC Apr 2014 A 300,000,000 2013/06/06 2014/04/29 75.0060112 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 R 300,000,000 2013/06/07 2013/12/30 75.0060089 Credit Suisse AG – HSI R Bull CBBC Feb 2014 Q 300,000,000 2013/06/07 2014/02/27 75.0060094 Credit Suisse AG – HSI R Bull CBBC Feb 2014 R 300,000,000 2013/06/07 2014/02/27 75.0060102 Credit Suisse AG – HSI R Bear CBBC Sep 2013 L 300,000,000 2013/06/07 2013/09/27 75.0060103 Credit Suisse AG – HSI R Bear CBBC Sep 2013 P 300,000,000 2013/06/07 2013/09/27 75.0060111 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 C 120,000,000 2013/06/07 2013/10/30 30.0060104 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 C 120,000,000 2013/06/07 2013/10/30 30.0060113 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 F 120,000,000 2013/06/07 2013/09/27 30.2460088 HK Bank – HSCEI R Bear CBBC Dec 2013 C 68,000,000 2013/06/07 2013/12/30 17.0060118 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 M 300,000,000 2013/06/07 2013/11/28 75.0060114 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 F 300,000,000 2013/06/07 2013/12/30 75.0060098 UBS AG – HSI R Bull CBBC Nov 2013 V 300,000,000 2013/06/07 2013/11/28 75.0060097 UBS AG – HSI R Bull CBBC Mar 2014 U 300,000,000 2013/06/07 2014/03/28 75.0060101 UBS AG – HSI R Bear CBBC Sep 2013 O 300,000,000 2013/06/07 2013/09/27 75.0060099 UBS AG – SHK Ppt R Bear CBBC Dec 2013 A 100,000,000 2013/06/07 2013/12/23 25.0060174 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 S 300,000,000 2013/06/10 2013/12/30 75.0060175 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 T 300,000,000 2013/06/10 2013/12/30 75.0060176 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 U 300,000,000 2013/06/10 2013/12/30 75.0060129 Credit Suisse AG – HSI R Bull CBBC Nov 2013 D 300,000,000 2013/06/10 2013/11/28 75.0060130 Credit Suisse AG – HSI R Bull CBBC Nov 2013 E 300,000,000 2013/06/10 2013/11/28 75.0060131 Credit Suisse AG – HSI R Bull CBBC Nov 2013 U 300,000,000 2013/06/10 2013/11/28 75.0060152 Credit Suisse AG – HSI R Bear CBBC Sep 2013 R 300,000,000 2013/06/10 2013/09/27 75.0060126 Credit Suisse AG – HSI R Bear CBBC Nov 2013 G 300,000,000 2013/06/10 2013/11/28 75.0060135 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 B 120,000,000 2013/06/10 2013/10/30 30.0060173 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 D 120,000,000 2013/06/10 2013/10/30 30.00




60166 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 D 120,000,000 2013/06/10 2013/10/30 30.0060172 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 E 120,000,000 2013/06/10 2013/10/30 30.0060163 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 P 150,000,000 2013/06/10 2013/09/27 38.1060164 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 Q 150,000,000 2013/06/10 2013/09/27 37.9560165 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 R 150,000,000 2013/06/10 2013/09/27 38.7060178 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 N 300,000,000 2013/06/10 2013/11/28 75.0060177 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 G 300,000,000 2013/06/10 2013/12/30 75.0060155 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 H 100,000,000 2013/06/10 2013/11/28 25.0060156 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 I 100,000,000 2013/06/10 2013/11/28 25.0060157 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Nov 2013 J 100,000,000 2013/06/10 2013/11/28 25.0060122 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 H 100,000,000 2013/06/10 2013/10/30 25.0060158 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 J 200,000,000 2013/06/10 2013/09/27 50.0060140 UBS AG – HSCEI R Bear CBBC Sep 2013 C 100,000,000 2013/06/10 2013/09/27 25.0060144 UBS AG – HSI R Bull CBBC Nov 2013 W 300,000,000 2013/06/10 2013/11/28 75.0060150 UBS AG – HSI R Bull CBBC Nov 2013 Y 300,000,000 2013/06/10 2013/11/28 75.0060146 UBS AG – HSI R Bull CBBC Feb 2014 P 300,000,000 2013/06/10 2014/02/27 75.0060123 UBS AG – HSI R Bear CBBC Sep 2013 K 300,000,000 2013/06/10 2013/09/27 75.0060159 UBS AG – HSI R Bear CBBC Sep 2013 N 300,000,000 2013/06/10 2013/09/27 75.0060137 UBS AG – Ping An R Bear CBBC Oct 2013 A 100,000,000 2013/06/10 2013/10/07 25.0060184 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 P 300,000,000 2013/06/11 2014/04/29 90.0060181 Credit Suisse AG – HSI R Bull CBBC Dec 2013 S 300,000,000 2013/06/11 2013/12/30 75.0060183 Credit Suisse AG – HSI R Bull CBBC Dec 2013 T 300,000,000 2013/06/11 2013/12/30 75.0060190 Credit Suisse AG – HSI R Bear CBBC Sep 2013 U 300,000,000 2013/06/11 2013/09/27 75.0060191 Credit Suisse AG – HSI R Bear CBBC Sep 2013 V 300,000,000 2013/06/11 2013/09/27 75.0060189 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 S 100,000,000 2013/06/11 2013/09/27 25.0060187 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 P 200,000,000 2013/06/11 2013/09/27 50.0060179 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 K 200,000,000 2013/06/11 2013/09/27 50.0060180 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 L 200,000,000 2013/06/11 2013/09/27 50.0060200 UBS AG – China Mobile R Bear CBBC Feb 2014 A 100,000,000 2013/06/11 2014/02/10 25.0060201 UBS AG – CC Bank R Bull CBBC Jan 2014 A 100,000,000 2013/06/11 2014/01/27 25.0060197 UBS AG – China Life R Bull CBBC Jan 2014 A 100,000,000 2013/06/11 2014/01/20 25.0060185 UBS AG – HSI R Bull CBBC Oct 2013 D 300,000,000 2013/06/11 2013/10/30 75.0060194 UBS AG – HSI R Bear CBBC Sep 2013 G 300,000,000 2013/06/11 2013/09/27 75.0060193 UBS AG – HSI R Bear CBBC Nov 2013 J 300,000,000 2013/06/11 2013/11/28 75.0060199 UBS AG – ICBC R Bull CBBC Feb 2014 A 100,000,000 2013/06/11 2014/02/10 25.0060227 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2013 D 200,000,000 2013/06/13 2013/12/30 50.0060217 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 Q 300,000,000 2013/06/13 2014/04/29 90.0060236 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 R 300,000,000 2013/06/13 2014/04/29 90.0060237 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 S 300,000,000 2013/06/13 2014/04/29 90.0060238 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 T 300,000,000 2013/06/13 2014/04/29 75.0060241 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 U 300,000,000 2013/06/13 2014/04/29 75.0060242 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 V 300,000,000 2013/06/13 2014/04/29 75.0060243 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 W 300,000,000 2013/06/13 2014/04/29 75.0060233 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 V 300,000,000 2013/06/13 2013/12/30 75.0060234 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 W 300,000,000 2013/06/13 2013/12/30 75.00




60235 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 X 300,000,000 2013/06/13 2013/12/30 75.0060293 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2013 Y 300,000,000 2013/06/13 2013/12/30 75.0060277 Credit Suisse AG – HSI R Bull CBBC Jan 2014 E 300,000,000 2013/06/13 2014/01/29 75.0060282 Credit Suisse AG – HSI R Bull CBBC Jan 2014 F 300,000,000 2013/06/13 2014/01/29 75.0060220 Credit Suisse AG – HSI R Bull CBBC Jan 2014 G 300,000,000 2013/06/13 2014/01/29 75.0060221 Credit Suisse AG – HSI R Bull CBBC Jan 2014 J 300,000,000 2013/06/13 2014/01/29 75.0060245 Credit Suisse AG – HSI R Bull CBBC Jan 2014 K 300,000,000 2013/06/13 2014/01/29 75.0060246 Credit Suisse AG – HSI R Bull CBBC Jan 2014 L 300,000,000 2013/06/13 2014/01/29 75.0060256 Credit Suisse AG – HSI R Bull CBBC Jan 2014 O 300,000,000 2013/06/13 2014/01/29 75.0060284 Credit Suisse AG – HSI R Bear CBBC Oct 2013 S 300,000,000 2013/06/13 2013/10/30 75.0060289 Credit Suisse AG – HSI R Bear CBBC Oct 2013 T 300,000,000 2013/06/13 2013/10/30 75.0060290 Credit Suisse AG – HSI R Bear CBBC Oct 2013 U 300,000,000 2013/06/13 2013/10/30 75.0060224 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 E 120,000,000 2013/06/13 2013/10/30 30.0060300 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 F 120,000,000 2013/06/13 2013/10/30 30.0060302 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 G 120,000,000 2013/06/13 2013/10/30 30.0060295 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 F 120,000,000 2013/06/13 2013/10/30 30.0060297 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 G 120,000,000 2013/06/13 2013/10/30 30.0060340 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 G 150,000,000 2013/06/13 2013/09/27 38.4060337 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 S 150,000,000 2013/06/13 2013/09/27 37.8060338 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 T 150,000,000 2013/06/13 2013/09/27 38.7060339 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 U 150,000,000 2013/06/13 2013/09/27 38.2560214 HK Bank – China Mobile R Bear CBBC Oct 2013 B 50,000,000 2013/06/13 2013/10/15 12.5060216 HK Bank – Cheung Kong R Bull CBBC Nov 2013 B 60,000,000 2013/06/13 2013/11/18 15.0060213 HK Bank – China Life R Bear CBBC Nov 2013 B 50,000,000 2013/06/13 2013/11/11 12.5060212 HK Bank – A50 R Bull CBBC Nov 2013 C 100,000,000 2013/06/13 2013/11/11 25.0060210 HK Bank – HSI R Bull CBBC Dec 2013 K 100,000,000 2013/06/13 2013/12/30 25.0060209 HK Bank – HSI R Bear CBBC Nov 2013 N 100,000,000 2013/06/13 2013/11/28 25.0060215 HK Bank – SHK Ppt R Bull CBBC Dec 2013 A 60,000,000 2013/06/13 2013/12/30 15.6060351 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 R 300,000,000 2013/06/13 2013/12/30 75.0060361 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 S 300,000,000 2013/06/13 2013/12/30 75.0060362 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 T 300,000,000 2013/06/13 2013/12/30 75.0060365 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 U 300,000,000 2013/06/13 2013/12/30 75.0060367 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 O 300,000,000 2013/06/13 2013/11/28 75.0060369 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 P 300,000,000 2013/06/13 2013/11/28 75.0060368 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 H 300,000,000 2013/06/13 2013/12/30 75.0060325 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 G 100,000,000 2013/06/13 2013/11/28 25.0060333 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 H 100,000,000 2013/06/13 2013/11/28 25.0060334 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 I 100,000,000 2013/06/13 2013/11/28 25.0060335 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Nov 2013 J 100,000,000 2013/06/13 2013/11/28 25.0060321 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 A 100,000,000 2013/06/13 2013/12/30 25.0060332 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 B 100,000,000 2013/06/13 2013/12/30 25.0060257 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 T 100,000,000 2013/06/13 2013/09/27 25.0060219 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 Q 200,000,000 2013/06/13 2013/09/27 50.0060291 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 R 200,000,000 2013/06/13 2013/09/27 50.0060225 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 D 200,000,000 2013/06/13 2013/10/30 50.00




60226 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 M 200,000,000 2013/06/13 2013/09/27 50.0060292 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 N 200,000,000 2013/06/13 2013/09/27 50.0060312 UBS AG – CPIC R Bull CBBC Dec 2013 B 30,000,000 2013/06/13 2013/12/09 11.1060320 UBS AG – HKEx R Bear CBBC Nov 2013 C 100,000,000 2013/06/13 2013/11/25 25.0060307 UBS AG – HSCEI R Bear CBBC Oct 2013 B 100,000,000 2013/06/13 2013/10/30 25.0060262 UBS AG – HSI R Bull CBBC Oct 2013 W 300,000,000 2013/06/13 2013/10/30 75.0060261 UBS AG – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/06/13 2013/12/30 75.0060222 UBS AG – HSI R Bull CBBC Dec 2013 P 300,000,000 2013/06/13 2013/12/30 75.0060223 UBS AG – HSI R Bull CBBC Mar 2014 V 350,000,000 2013/06/13 2014/03/28 87.5060259 UBS AG – HSI R Bull CBBC Mar 2014 W 300,000,000 2013/06/13 2014/03/28 75.0060258 UBS AG – HSI R Bull CBBC Apr 2014 F 300,000,000 2013/06/13 2014/04/29 75.0060306 UBS AG – HSI R Bear CBBC Sep 2013 M 300,000,000 2013/06/13 2013/09/27 75.0060305 UBS AG – HSI R Bear CBBC Oct 2013 A 300,000,000 2013/06/13 2013/10/30 75.0060304 UBS AG – HSI R Bear CBBC Oct 2013 Z 300,000,000 2013/06/13 2013/10/30 75.0060319 UBS AG – Petrochina R Bull CBBC Nov 2013 A 100,000,000 2013/06/13 2013/11/18 25.0065129# UBS AG – HSCEI R Bull CBBC Sep 2013 B 200,000,000 2013/06/13 2013/09/27 10.0060384 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 X 300,000,000 2013/06/14 2014/04/29 75.0060428 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 Y 300,000,000 2013/06/14 2014/04/29 75.0060414 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 A 300,000,000 2013/06/14 2013/11/28 75.0060417 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 B 300,000,000 2013/06/14 2013/11/28 75.0060418 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 C 300,000,000 2013/06/14 2013/11/28 75.0060427 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 D 300,000,000 2013/06/14 2013/11/28 75.0060387 Credit Suisse AG – HSI R Bull CBBC Dec 2013 U 300,000,000 2013/06/14 2013/12/30 75.0060391 Credit Suisse AG – HSI R Bull CBBC Dec 2013 V 300,000,000 2013/06/14 2013/12/30 75.0060392 Credit Suisse AG – HSI R Bull CBBC Dec 2013 W 300,000,000 2013/06/14 2013/12/30 75.0060394 Credit Suisse AG – HSI R Bull CBBC Dec 2013 X 300,000,000 2013/06/14 2013/12/30 75.0060395 Credit Suisse AG – HSI R Bull CBBC Dec 2013 Y 300,000,000 2013/06/14 2013/12/30 75.0060448 Credit Suisse AG – HSI R Bear CBBC Sep 2013 W 300,000,000 2013/06/14 2013/09/27 75.0060449 Credit Suisse AG – HSI R Bear CBBC Sep 2013 X 300,000,000 2013/06/14 2013/09/27 75.0060436 Credit Suisse AG – HSI R Bear CBBC Oct 2013 V 300,000,000 2013/06/14 2013/10/30 75.0060437 Credit Suisse AG – HSI R Bear CBBC Oct 2013 W 300,000,000 2013/06/14 2013/10/30 75.0060386 Credit Suisse AG – HSI R Bear CBBC Dec 2013 A 300,000,000 2013/06/14 2013/12/30 75.0060482 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 H 120,000,000 2013/06/14 2013/10/30 30.0060488 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 I 120,000,000 2013/06/14 2013/10/30 30.0060489 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 X 120,000,000 2013/06/14 2013/10/30 30.0060490 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 H 120,000,000 2013/06/14 2013/10/30 30.0060511 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 I 120,000,000 2013/06/14 2013/10/30 30.0060480 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 V 150,000,000 2013/06/14 2013/09/27 38.4060481 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 W 150,000,000 2013/06/14 2013/09/27 37.9560383 HK Bank – China Mobile R Bear CBBC Nov 2013 A 50,000,000 2013/06/14 2013/11/25 12.5060377 HK Bank – Cheung Kong R Bear CBBC Nov 2013 B 50,000,000 2013/06/14 2013/11/04 12.5060376 HK Bank – HSI R Bear CBBC Oct 2013 N 100,000,000 2013/06/14 2013/10/30 25.0060373 HK Bank – HSI R Bear CBBC Nov 2013 O 100,000,000 2013/06/14 2013/11/28 25.0060374 HK Bank – HSI R Bear CBBC Dec 2013 F 400,000,000 2013/06/14 2013/12/30 100.0060513 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 V 300,000,000 2013/06/14 2013/12/30 75.00




60515 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 W 300,000,000 2013/06/14 2013/12/30 75.0060520 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 X 300,000,000 2013/06/14 2013/12/30 75.0060527 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 Y 300,000,000 2013/06/14 2013/12/30 75.0060529 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 Q 300,000,000 2013/06/14 2013/11/28 75.0060528 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 I 300,000,000 2013/06/14 2013/12/30 75.0060479 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 C 100,000,000 2013/06/14 2013/12/30 25.0060475 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 A 100,000,000 2013/06/14 2013/12/30 25.0060477 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 B 100,000,000 2013/06/14 2013/12/30 25.0060478 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 C 100,000,000 2013/06/14 2013/12/30 25.0060429 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 U 100,000,000 2013/06/14 2013/09/27 25.0060430 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 I 100,000,000 2013/06/14 2013/10/30 25.0060431 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 J 100,000,000 2013/06/14 2013/10/30 25.0060401 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 E 200,000,000 2013/06/14 2013/10/30 50.0060402 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 F 200,000,000 2013/06/14 2013/10/30 50.0060403 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 O 200,000,000 2013/06/14 2013/09/27 50.0060404 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 P 200,000,000 2013/06/14 2013/09/27 50.0060405 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 Q 200,000,000 2013/06/14 2013/09/27 50.0060470 UBS AG – HSCEI R Bear CBBC Nov 2013 A 100,000,000 2013/06/14 2013/11/28 25.0060400 UBS AG – HSI R Bull CBBC Nov 2013 J 300,000,000 2013/06/14 2013/11/28 75.0060399 UBS AG – HSI R Bull CBBC Dec 2013 C 300,000,000 2013/06/14 2013/12/30 75.0060450 UBS AG – HSI R Bear CBBC Sep 2013 Q 300,000,000 2013/06/14 2013/09/27 75.0060451 UBS AG – HSI R Bear CBBC Sep 2013 R 300,000,000 2013/06/14 2013/09/27 75.0060452 UBS AG – HSI R Bear CBBC Oct 2013 E 300,000,000 2013/06/14 2013/10/30 75.0060463 UBS AG – HSI R Bear CBBC Oct 2013 F 300,000,000 2013/06/14 2013/10/30 75.0060464 UBS AG – HSI R Bear CBBC Dec 2013 I 300,000,000 2013/06/14 2013/12/30 75.0060465 UBS AG – HSI R Bear CBBC Dec 2013 J 300,000,000 2013/06/14 2013/12/30 75.0060473 UBS AG – Hutchison R Bear CBBC Dec 2013 A 100,000,000 2013/06/14 2013/12/09 25.0060557 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 A 300,000,000 2013/06/17 2014/04/29 75.0060582 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 B 300,000,000 2013/06/17 2014/04/29 75.0060583 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 C 300,000,000 2013/06/17 2014/04/29 75.0060666 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 D 300,000,000 2013/06/17 2014/04/29 90.0060674 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 E 300,000,000 2013/06/17 2014/04/29 90.0060550 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 Z 300,000,000 2013/06/17 2014/04/29 75.0060551 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 E 300,000,000 2013/06/17 2013/11/28 75.0060552 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 F 300,000,000 2013/06/17 2013/11/28 75.0060661 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 G 300,000,000 2013/06/17 2013/11/28 75.0060663 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 H 300,000,000 2013/06/17 2013/11/28 75.0060664 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 I 300,000,000 2013/06/17 2013/11/28 75.0060665 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 J 300,000,000 2013/06/17 2013/11/28 75.0060600 Credit Suisse AG – HSI R Bull CBBC Jan 2014 H 300,000,000 2013/06/17 2014/01/29 75.0060604 Credit Suisse AG – HSI R Bull CBBC Jan 2014 I 300,000,000 2013/06/17 2014/01/29 75.0060609 Credit Suisse AG – HSI R Bull CBBC Jan 2014 P 300,000,000 2013/06/17 2014/01/29 75.0060660 Credit Suisse AG – HSI R Bull CBBC Jan 2014 Q 300,000,000 2013/06/17 2014/01/29 75.0060655 Credit Suisse AG – HSI R Bull CBBC Mar 2014 D 300,000,000 2013/06/17 2014/03/28 84.0060656 Credit Suisse AG – HSI R Bull CBBC Mar 2014 E 300,000,000 2013/06/17 2014/03/28 99.00




60657 Credit Suisse AG – HSI R Bull CBBC Mar 2014 F 300,000,000 2013/06/17 2014/03/28 75.0060711 Credit Suisse AG – HSI R Bear CBBC Oct 2013 X 300,000,000 2013/06/17 2013/10/30 75.0060712 Credit Suisse AG – HSI R Bear CBBC Oct 2013 Y 300,000,000 2013/06/17 2013/10/30 75.0060716 Credit Suisse AG – HSI R Bear CBBC Oct 2013 Z 300,000,000 2013/06/17 2013/10/30 75.0060635 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 A 120,000,000 2013/06/17 2013/10/30 30.0060636 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 J 120,000,000 2013/06/17 2013/10/30 30.0060807 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 C 120,000,000 2013/06/17 2013/11/28 30.0060826 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 D 120,000,000 2013/06/17 2013/11/28 30.0060804 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 B 120,000,000 2013/06/17 2013/11/28 30.0060805 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 C 120,000,000 2013/06/17 2013/11/28 30.0060709 Bank of East Asia – Ping An R Bull CBBC Jun 2014 A 60,000,000 2013/06/17 2014/06/26 15.0060706 Bank of East Asia – Sands China R Bull CBBC Jun 2014 A 60,000,000 2013/06/17 2014/06/26 15.0060762 Goldman Sachs SP (Asia) – HSI R Bull CBBC Sep 2013 H 120,000,000 2013/06/17 2013/09/27 30.3660763 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 X 120,000,000 2013/06/17 2013/09/27 30.2460767 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 Y 120,000,000 2013/06/17 2013/09/27 30.1260771 Goldman Sachs SP (Asia) – HSI R Bear CBBC Sep 2013 Z 120,000,000 2013/06/17 2013/09/27 30.2460546 HK Bank – CC Bank R Bear CBBC Nov 2013 A 40,000,000 2013/06/17 2013/11/25 10.0060545 HK Bank – Minsheng Bank R Bear CBBC Dec 2013 A 40,000,000 2013/06/17 2013/12/23 10.0060543 HK Bank – HKEx R Bear CBBC Nov 2013 C 50,000,000 2013/06/17 2013/11/11 12.5060532 HK Bank – HSI R Bull CBBC Nov 2013 O 100,000,000 2013/06/17 2013/11/28 25.0060531 HK Bank – HSI R Bull CBBC Dec 2013 L 100,000,000 2013/06/17 2013/12/30 25.0060530 HK Bank – HSI R Bear CBBC Nov 2013 P 100,000,000 2013/06/17 2013/11/28 25.0060541 HK Bank – Hutchison R Bull CBBC Dec 2013 B 60,000,000 2013/06/17 2013/12/16 15.0060544 HK Bank – TCH R Bear CBBC Nov 2013 C 50,000,000 2013/06/17 2013/11/04 13.0060848 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 I 300,000,000 2013/06/17 2013/10/30 75.0060871 J P Morgan SP BV – HSI R Bull CBBC Oct 2013 J 300,000,000 2013/06/17 2013/10/30 75.0060845 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 G 300,000,000 2013/06/17 2013/11/28 75.0060854 J P Morgan SP BV – HSI R Bull CBBC Nov 2013 H 300,000,000 2013/06/17 2013/11/28 75.0060843 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 C 300,000,000 2013/06/17 2013/12/30 75.0060847 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 E 300,000,000 2013/06/17 2013/12/30 75.0060840 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 Z 300,000,000 2013/06/17 2013/12/30 75.0060827 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 F 300,000,000 2013/06/17 2013/10/30 75.0060837 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 G 300,000,000 2013/06/17 2013/10/30 75.0060839 J P Morgan SP BV – HSI R Bear CBBC Oct 2013 H 300,000,000 2013/06/17 2013/10/30 75.0060829 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 R 300,000,000 2013/06/17 2013/11/28 75.0060838 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 S 300,000,000 2013/06/17 2013/11/28 75.0060830 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 J 300,000,000 2013/06/17 2013/12/30 75.0060718 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 D 100,000,000 2013/06/17 2013/12/30 25.0060720 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 E 100,000,000 2013/06/17 2013/12/30 25.0060723 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 F 100,000,000 2013/06/17 2013/12/30 25.0060719 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 D 100,000,000 2013/06/17 2013/12/30 25.0060584 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 S 200,000,000 2013/06/17 2013/09/27 50.0060586 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 R 200,000,000 2013/06/17 2013/09/27 50.0060642 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 S 200,000,000 2013/06/17 2013/09/27 50.0060653 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 T 200,000,000 2013/06/17 2013/09/27 50.00




60746 UBS AG – HKEx R Bull CBBC Dec 2013 B 100,000,000 2013/06/17 2013/12/23 25.0060743 UBS AG – HSCEI R Bear CBBC Sep 2013 D 100,000,000 2013/06/17 2013/09/27 25.0060641 UBS AG – HSI R Bull CBBC Oct 2013 C 300,000,000 2013/06/17 2013/10/30 75.0060637 UBS AG – HSI R Bull CBBC Dec 2013 D 300,000,000 2013/06/17 2013/12/30 75.0060640 UBS AG – HSI R Bull CBBC Dec 2013 E 300,000,000 2013/06/17 2013/12/30 75.0060733 UBS AG – HSI R Bear CBBC Sep 2013 H 300,000,000 2013/06/17 2013/09/27 75.0060734 UBS AG – HSI R Bear CBBC Sep 2013 S 300,000,000 2013/06/17 2013/09/27 75.0060739 UBS AG – HSI R Bear CBBC Sep 2013 T 300,000,000 2013/06/17 2013/09/27 75.0060735 UBS AG – HSI R Bear CBBC Oct 2013 G 300,000,000 2013/06/17 2013/10/30 75.0060736 UBS AG – HSI R Bear CBBC Oct 2013 H 300,000,000 2013/06/17 2013/10/30 75.0060747 UBS AG – Hutchison R Bull CBBC Nov 2013 B 100,000,000 2013/06/17 2013/11/18 25.0060956 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 F 300,000,000 2013/06/18 2014/04/29 75.0060976 Credit Suisse AG – HSI R Bull CBBC Feb 2014 S 300,000,000 2013/06/18 2014/02/27 75.0060981 Credit Suisse AG – HSI R Bull CBBC Feb 2014 T 300,000,000 2013/06/18 2014/02/27 75.0060982 Credit Suisse AG – HSI R Bull CBBC Feb 2014 U 300,000,000 2013/06/18 2014/02/27 75.0060921 Credit Suisse AG – HSI R Bear CBBC Oct 2013 A 300,000,000 2013/06/18 2013/10/30 75.0060922 Credit Suisse AG – HSI R Bear CBBC Oct 2013 B 300,000,000 2013/06/18 2013/10/30 75.0060923 Credit Suisse AG – HSI R Bear CBBC Oct 2013 C 300,000,000 2013/06/18 2013/10/30 75.0060924 Credit Suisse AG – HSI R Bear CBBC Oct 2013 D 300,000,000 2013/06/18 2013/10/30 75.0061033 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 K 120,000,000 2013/06/18 2013/10/30 30.0061045 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 J 120,000,000 2013/06/18 2013/10/30 30.0060895 HK Bank – AIA R Bear CBBC Nov 2013 C 50,000,000 2013/06/18 2013/11/11 17.5060898 HK Bank – CNOOC R Bear CBBC Nov 2013 A 40,000,000 2013/06/18 2013/11/25 10.0060886 HK Bank – HSCEI R Bull CBBC Jan 2014 A 100,000,000 2013/06/18 2014/01/29 25.0060885 HK Bank – HSCEI R Bear CBBC Jan 2014 A 68,000,000 2013/06/18 2014/01/29 17.0060872 HK Bank – HSI R Bull CBBC Feb 2014 B 400,000,000 2013/06/18 2014/02/27 120.0060878 HK Bank – HSI R Bear CBBC Dec 2013 G 400,000,000 2013/06/18 2013/12/30 100.0060887 HK Bank – ICBC R Bear CBBC Nov 2013 C 40,000,000 2013/06/18 2013/11/25 10.0060901 HK Bank – PICC Group R Bull CBBC Jan 2014 A 50,000,000 2013/06/18 2014/01/27 12.5060969 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 E 100,000,000 2013/06/18 2013/09/27 25.0060919 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 K 100,000,000 2013/06/18 2013/10/30 25.0060950 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 T 200,000,000 2013/06/18 2013/09/27 50.0060914 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 U 200,000,000 2013/06/18 2013/09/27 50.0060918 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep13 V 200,000,000 2013/06/18 2013/09/27 50.0061003 UBS AG – CC Bank R Bear CBBC Jan 2014 A 100,000,000 2013/06/18 2014/01/13 25.0061018 UBS AG – Cheung Kong R Bear CBBC Dec 2013 A 100,000,000 2013/06/18 2013/12/23 25.0061014 UBS AG – Sinopec Corp R Bull CBBC Dec 2013 A 100,000,000 2013/06/18 2013/12/09 25.0061004 UBS AG – Sinopec Corp R Bear CBBC Nov 2013 A 100,000,000 2013/06/18 2013/11/25 25.0061002 UBS AG – A50 China R Bull CBBC Mar 2014 A 100,000,000 2013/06/18 2014/03/10 25.0061000 UBS AG – HSCEI R Bull CBBC May 2014 A 100,000,000 2013/06/18 2014/05/29 25.0060996 UBS AG – HSCEI R Bull CBBC Jun 2014 B 100,000,000 2013/06/18 2014/06/27 25.0060986 UBS AG – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/06/18 2013/12/30 75.0060987 UBS AG – HSI R Bull CBBC Mar 2014 X 350,000,000 2013/06/18 2014/03/28 87.5060925 UBS AG – HSI R Bear CBBC Oct 2013 I 300,000,000 2013/06/18 2013/10/30 75.0060949 UBS AG – HSI R Bear CBBC Oct 2013 L 350,000,000 2013/06/18 2013/10/30 87.50




60948 UBS AG – HSI R Bear CBBC Oct 2013 M 300,000,000 2013/06/18 2013/10/30 75.0060940 UBS AG – HSI R Bear CBBC Nov 2013 K 300,000,000 2013/06/18 2013/11/28 75.0061113 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2013 E 200,000,000 2013/06/19 2013/12/30 50.0061116 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 G 300,000,000 2013/06/19 2014/04/29 75.0061127 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 H 300,000,000 2013/06/19 2014/04/29 75.0061129 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 I 300,000,000 2013/06/19 2014/04/29 75.0061130 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 J 300,000,000 2013/06/19 2014/04/29 75.0061246 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 K 300,000,000 2013/06/19 2014/04/29 75.0061165 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 K 300,000,000 2013/06/19 2013/11/28 75.0061166 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 L 300,000,000 2013/06/19 2013/11/28 75.0061167 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 M 300,000,000 2013/06/19 2013/11/28 75.0061244 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 N 300,000,000 2013/06/19 2013/11/28 75.0061245 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 O 300,000,000 2013/06/19 2013/11/28 75.0061133 Credit Suisse AG – HSI R Bull CBBC Dec 2013 G 300,000,000 2013/06/19 2013/12/30 75.0061197 Credit Suisse AG – HSI R Bull CBBC Dec 2013 M 300,000,000 2013/06/19 2013/12/30 75.0061132 Credit Suisse AG – HSI R Bull CBBC Dec 2013 Z 300,000,000 2013/06/19 2013/12/30 75.0061218 Credit Suisse AG – HSI R Bear CBBC Sep 2013 J 300,000,000 2013/06/19 2013/09/27 75.0061219 Credit Suisse AG – HSI R Bear CBBC Oct 2013 G 300,000,000 2013/06/19 2013/10/30 75.0061134 Credit Suisse AG – HSI R Bear CBBC Dec 2013 B 300,000,000 2013/06/19 2013/12/30 75.0061198 Credit Suisse AG – HSI R Bear CBBC Dec 2013 C 300,000,000 2013/06/19 2013/12/30 75.0061150 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 L 120,000,000 2013/06/19 2013/10/30 30.0061231 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 F 120,000,000 2013/06/19 2013/11/28 30.0061232 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 D 120,000,000 2013/06/19 2013/11/28 30.0061236 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 E 120,000,000 2013/06/19 2013/11/28 30.0061102 HK Bank – Sinopec Corp R Bull CBBC Dec 2013 A 80,000,000 2013/06/19 2013/12/23 20.0061112 HK Bank – Sinopec Corp R Bear CBBC Dec 2013 A 40,000,000 2013/06/19 2013/12/23 10.0061046 HK Bank – HSCEI R Bear CBBC Nov 2013 D 68,000,000 2013/06/19 2013/11/28 17.0061047 HK Bank – HSI R Bear CBBC Oct 2013 O 100,000,000 2013/06/19 2013/10/30 25.0061095 HK Bank – Hutchison R Bear CBBC Nov 2013 C 50,000,000 2013/06/19 2013/11/11 12.5061096 HK Bank – ICBC R Bull CBBC Dec 2013 A 80,000,000 2013/06/19 2013/12/02 20.0061089 HK Bank – TCH R Bull CBBC Nov 2013 E 50,000,000 2013/06/19 2013/11/25 12.5061149 Standard Chartered Bank – HSI R Bull CBBC Sep 2013 X 100,000,000 2013/06/19 2013/09/27 25.0061169 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 L 100,000,000 2013/06/19 2013/10/30 25.0061170 Standard Chartered Bank – HSI R Bear CBBC Dec 2013 F 200,000,000 2013/06/19 2013/12/30 50.0061157 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep 13U 200,000,000 2013/06/19 2013/09/27 50.0061158 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct 13G 200,000,000 2013/06/19 2013/10/30 50.0061161 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13W 200,000,000 2013/06/19 2013/09/27 50.0061222 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13X 200,000,000 2013/06/19 2013/09/27 50.0061223 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13Y 200,000,000 2013/06/19 2013/09/27 50.0061227 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Sep 13Z 200,000,000 2013/06/19 2013/09/27 50.0061195 UBS AG – AIA R Bear CBBC Mar 2014 B 100,000,000 2013/06/19 2014/03/31 25.0061196 UBS AG – CNOOC R Bear CBBC Nov 2013 A 100,000,000 2013/06/19 2013/11/11 25.0061151 UBS AG – HSI R Bull CBBC Nov 2013 K 300,000,000 2013/06/19 2013/11/28 75.0061156 UBS AG – HSI R Bull CBBC Nov 2013 L 300,000,000 2013/06/19 2013/11/28 75.0061241 UBS AG – HSI R Bull CBBC Dec 2013 B 350,000,000 2013/06/19 2013/12/30 87.50




61193 UBS AG – HSI R Bull CBBC Mar 2014 Y 300,000,000 2013/06/19 2014/03/28 75.0061180 UBS AG – HSI R Bull CBBC Jun 2014 B 300,000,000 2013/06/19 2014/06/27 75.0061181 UBS AG – HSI R Bull CBBC Jun 2014 C 300,000,000 2013/06/19 2014/06/27 75.0061189 UBS AG – HSI R Bull CBBC Jun 2014 D 300,000,000 2013/06/19 2014/06/27 75.0061173 UBS AG – HSI R Bull CBBC Aug 2014 A 300,000,000 2013/06/19 2014/08/28 75.0061178 UBS AG – HSI R Bull CBBC Aug 2014 B 300,000,000 2013/06/19 2014/08/28 75.0061182 UBS AG – HSI R Bull CBBC Aug 2014 C 300,000,000 2013/06/19 2014/08/28 75.0061171 UBS AG – HSI R Bull CBBC Sep 2014 A 300,000,000 2013/06/19 2014/09/29 79.5061172 UBS AG – HSI R Bull CBBC Sep 2014 B 300,000,000 2013/06/19 2014/09/29 75.0061240 UBS AG – HSI R Bear CBBC Sep 2013 U 300,000,000 2013/06/19 2013/09/27 75.0061238 UBS AG – HSI R Bear CBBC Oct 2013 N 300,000,000 2013/06/19 2013/10/30 75.0061239 UBS AG – HSI R Bear CBBC Oct 2013 O 300,000,000 2013/06/19 2013/10/30 75.0061237 UBS AG – HSI R Bear CBBC Nov 2013 L 300,000,000 2013/06/19 2013/11/28 75.0061194 UBS AG – ICBC R Bear CBBC Nov 2013 A 100,000,000 2013/06/19 2013/11/11 25.0061331 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2013 H 200,000,000 2013/06/20 2013/12/30 50.0061337 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2013 F 200,000,000 2013/06/20 2013/12/30 50.0061295 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 A 300,000,000 2013/06/20 2014/03/28 120.0061299 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 B 300,000,000 2013/06/20 2014/03/28 105.0061304 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 C 300,000,000 2013/06/20 2014/03/28 105.0061306 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 D 300,000,000 2013/06/20 2014/03/28 90.0061307 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 E 300,000,000 2013/06/20 2014/03/28 90.0061311 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 F 300,000,000 2013/06/20 2014/03/28 90.0061315 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 G 300,000,000 2013/06/20 2014/03/28 75.0061317 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 H 300,000,000 2013/06/20 2014/03/28 75.0061318 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 I 300,000,000 2013/06/20 2014/03/28 75.0061319 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 J 300,000,000 2013/06/20 2014/03/28 75.0061321 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 K 300,000,000 2013/06/20 2014/03/28 75.0061322 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 L 300,000,000 2013/06/20 2014/03/28 75.0061323 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 M 300,000,000 2013/06/20 2014/03/28 75.0061324 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 N 300,000,000 2013/06/20 2014/03/28 75.0061327 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 O 300,000,000 2013/06/20 2014/03/28 75.0061328 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 P 300,000,000 2013/06/20 2014/03/28 75.0061329 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 Q 300,000,000 2013/06/20 2014/03/28 75.0061330 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 R 300,000,000 2013/06/20 2014/03/28 75.0061380 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 S 300,000,000 2013/06/20 2014/03/28 120.0061383 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 T 300,000,000 2013/06/20 2014/03/28 120.0061396 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 P 300,000,000 2013/06/20 2013/11/28 75.0061397 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 Q 300,000,000 2013/06/20 2013/11/28 75.0061398 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 R 300,000,000 2013/06/20 2013/11/28 75.0061399 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 S 300,000,000 2013/06/20 2013/11/28 75.0061400 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 T 300,000,000 2013/06/20 2013/11/28 75.0061401 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2013 U 300,000,000 2013/06/20 2013/11/28 75.0061384 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 A 300,000,000 2013/06/20 2014/01/29 75.0061385 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 B 300,000,000 2013/06/20 2014/01/29 75.0061386 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 C 300,000,000 2013/06/20 2014/01/29 75.00




61388 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 D 300,000,000 2013/06/20 2014/01/29 75.0061394 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 E 300,000,000 2013/06/20 2014/01/29 75.0061395 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 F 300,000,000 2013/06/20 2014/01/29 75.0061350 Credit Suisse AG – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/06/20 2013/12/30 75.0061351 Credit Suisse AG – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/06/20 2013/12/30 75.0061352 Credit Suisse AG – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/06/20 2013/12/30 75.0061353 Credit Suisse AG – HSI R Bull CBBC Dec 2013 J 300,000,000 2013/06/20 2013/12/30 75.0061354 Credit Suisse AG – HSI R Bull CBBC Dec 2013 K 300,000,000 2013/06/20 2013/12/30 75.0061408 Credit Suisse AG – HSI R Bull CBBC Jan 2014 N 300,000,000 2013/06/20 2014/01/29 75.0061407 Credit Suisse AG – HSI R Bull CBBC Jan 2014 R 300,000,000 2013/06/20 2014/01/29 75.0061409 Credit Suisse AG – HSI R Bull CBBC Jan 2014 S 300,000,000 2013/06/20 2014/01/29 75.0061410 Credit Suisse AG – HSI R Bull CBBC Jan 2014 T 300,000,000 2013/06/20 2014/01/29 84.0061411 Credit Suisse AG – HSI R Bull CBBC Jan 2014 U 300,000,000 2013/06/20 2014/01/29 99.0061419 Credit Suisse AG – HSI R Bull CBBC Feb 2014 V 300,000,000 2013/06/20 2014/02/27 75.0061413 Credit Suisse AG – HSI R Bull CBBC Apr 2014 A 300,000,000 2013/06/20 2014/04/29 75.0061414 Credit Suisse AG – HSI R Bull CBBC Apr 2014 B 300,000,000 2013/06/20 2014/04/29 75.0061416 Credit Suisse AG – HSI R Bull CBBC Apr 2014 C 300,000,000 2013/06/20 2014/04/29 79.5061417 Credit Suisse AG – HSI R Bull CBBC Apr 2014 D 300,000,000 2013/06/20 2014/04/29 96.0061418 Credit Suisse AG – HSI R Bull CBBC Apr 2014 E 300,000,000 2013/06/20 2014/04/29 109.5061422 Credit Suisse AG – HSI R Bear CBBC Oct 2013 H 300,000,000 2013/06/20 2013/10/30 75.0061425 Credit Suisse AG – HSI R Bear CBBC Oct 2013 P 300,000,000 2013/06/20 2013/10/30 75.0061427 Credit Suisse AG – HSI R Bear CBBC Oct 2013 R 300,000,000 2013/06/20 2013/10/30 75.0061421 Credit Suisse AG – HSI R Bear CBBC Nov 2013 H 300,000,000 2013/06/20 2013/11/28 75.0061423 Credit Suisse AG – HSI R Bear CBBC Nov 2013 I 300,000,000 2013/06/20 2013/11/28 75.0061426 Credit Suisse AG – HSI R Bear CBBC Nov 2013 J 300,000,000 2013/06/20 2013/11/28 75.0061420 Credit Suisse AG – HSI R Bear CBBC Feb 2014 A 300,000,000 2013/06/20 2014/02/27 75.0061462 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 B 120,000,000 2013/06/20 2013/11/28 30.0061466 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 E 120,000,000 2013/06/20 2013/11/28 30.0061355 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 G 120,000,000 2013/06/20 2013/11/28 30.0061356 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 M 120,000,000 2013/06/20 2013/11/28 30.0061357 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 O 120,000,000 2013/06/20 2013/11/28 30.0061358 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 Q 120,000,000 2013/06/20 2013/11/28 30.0061461 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 T 120,000,000 2013/06/20 2013/11/28 30.0061456 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 A 120,000,000 2013/06/20 2014/03/28 30.0061457 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 B 120,000,000 2013/06/20 2014/03/28 30.0061459 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 C 120,000,000 2013/06/20 2014/03/28 30.0061460 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 D 120,000,000 2013/06/20 2014/03/28 30.0061428 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 F 120,000,000 2013/06/20 2013/11/28 30.0061429 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 G 120,000,000 2013/06/20 2013/11/28 30.0061467 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 H 120,000,000 2013/06/20 2013/11/28 30.0061468 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 I 120,000,000 2013/06/20 2013/11/28 30.0061402 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 A 150,000,000 2013/06/20 2013/10/30 38.5561403 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 B 150,000,000 2013/06/20 2013/10/30 38.1061404 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 C 150,000,000 2013/06/20 2013/10/30 38.7061405 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 D 150,000,000 2013/06/20 2013/10/30 38.25




61406 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 E 150,000,000 2013/06/20 2013/10/30 38.2561248 HK Bank – China Mobile R Bull CBBC Feb 2014 A 120,000,000 2013/06/20 2014/02/24 30.0061247 HK Bank – HSI R Bear CBBC Nov 2013 Q 100,000,000 2013/06/20 2013/11/28 25.0061477 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/06/20 2013/12/30 75.0061481 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 I 300,000,000 2013/06/20 2013/12/30 75.0061485 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 J 300,000,000 2013/06/20 2013/12/30 75.0061476 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 A 300,000,000 2013/06/20 2014/01/29 75.0061480 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 B 300,000,000 2013/06/20 2014/01/29 75.0061483 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 C 300,000,000 2013/06/20 2014/01/29 75.0061475 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 A 300,000,000 2013/06/20 2014/02/27 75.0061478 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 B 300,000,000 2013/06/20 2014/02/27 75.0061482 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 C 300,000,000 2013/06/20 2014/02/27 75.0061474 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 A 300,000,000 2013/06/20 2014/03/28 75.0061471 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 T 300,000,000 2013/06/20 2013/11/28 75.0061473 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 U 300,000,000 2013/06/20 2013/11/28 75.0061469 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 K 300,000,000 2013/06/20 2013/12/30 75.0061470 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 L 300,000,000 2013/06/20 2013/12/30 75.0061472 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 M 300,000,000 2013/06/20 2013/12/30 75.0061359 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 G 100,000,000 2013/06/20 2013/12/30 25.0061360 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 H 100,000,000 2013/06/20 2013/12/30 25.0061361 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 I 100,000,000 2013/06/20 2013/12/30 25.0061362 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 E 100,000,000 2013/06/20 2013/12/30 25.0061363 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 F 100,000,000 2013/06/20 2013/12/30 25.0061364 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 G 100,000,000 2013/06/20 2013/12/30 25.0061365 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 H 100,000,000 2013/06/20 2013/12/30 25.0061366 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 I 100,000,000 2013/06/20 2013/12/30 25.0061367 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 J 100,000,000 2013/06/20 2013/12/30 25.0061369 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 K 100,000,000 2013/06/20 2013/12/30 25.0061370 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 L 100,000,000 2013/06/20 2013/12/30 25.0061371 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 M 100,000,000 2013/06/20 2013/12/30 25.0061338 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 A 100,000,000 2013/06/20 2013/11/28 25.0061339 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 B 100,000,000 2013/06/20 2013/11/28 25.0061340 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 C 100,000,000 2013/06/20 2013/11/28 25.0061346 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 D 100,000,000 2013/06/20 2013/11/28 25.0061347 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 E 100,000,000 2013/06/20 2013/11/28 25.0061348 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 F 100,000,000 2013/06/20 2013/11/28 25.0061341 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 M 100,000,000 2013/06/20 2013/10/30 25.0061254 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 V 200,000,000 2013/06/20 2013/09/27 50.0061256 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 W 200,000,000 2013/06/20 2013/09/27 50.0061260 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 X 200,000,000 2013/06/20 2013/09/27 50.0061264 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 Y 200,000,000 2013/06/20 2013/09/27 50.0061266 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 Z 200,000,000 2013/06/20 2013/09/27 50.0061262 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 H 200,000,000 2013/06/20 2013/10/30 50.0061265 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 I 200,000,000 2013/06/20 2013/10/30 50.0061267 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 J 200,000,000 2013/06/20 2013/10/30 51.00




61268 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 K 200,000,000 2013/06/20 2013/10/30 56.0061453 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 L 200,000,000 2013/06/20 2013/10/30 50.0061454 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 M 200,000,000 2013/06/20 2013/10/30 50.0061372 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 A 200,000,000 2013/06/20 2013/10/30 50.0061373 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 B 200,000,000 2013/06/20 2013/10/30 50.0061375 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 C 200,000,000 2013/06/20 2013/10/30 50.0061376 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 D 200,000,000 2013/06/20 2013/10/30 50.0061377 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 E 200,000,000 2013/06/20 2013/10/30 50.0061378 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 F 200,000,000 2013/06/20 2013/10/30 50.0061379 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 G 200,000,000 2013/06/20 2013/10/30 50.0061440 UBS AG – China Mobile R Bull CBBC Dec 2013 A 100,000,000 2013/06/20 2013/12/16 25.0061439 UBS AG – China Mobile R Bull CBBC Jun 2014 B 100,000,000 2013/06/20 2014/06/23 25.0061442 UBS AG – CC Bank R Bull CBBC Feb 2014 A 100,000,000 2013/06/20 2014/02/24 25.0061441 UBS AG – CC Bank R Bear CBBC Dec 2013 A 100,000,000 2013/06/20 2013/12/16 25.0061434 UBS AG – China Life R Bull CBBC Feb 2014 A 100,000,000 2013/06/20 2014/02/17 48.5061433 UBS AG – China Life R Bear CBBC Jan 2014 A 100,000,000 2013/06/20 2014/01/06 27.0061432 UBS AG – CSOP A50 ETF R Bear CBBC Nov 2013 A 100,000,000 2013/06/20 2013/11/25 25.0061431 UBS AG – A50 China R Bull CBBC Feb 2014 B 100,000,000 2013/06/20 2014/02/10 25.0061430 UBS AG – A50 China R Bear CBBC Nov 2013 A 100,000,000 2013/06/20 2013/11/18 25.0061444 UBS AG – HKEx R Bear CBBC Dec 2013 A 100,000,000 2013/06/20 2013/12/16 25.0061446 UBS AG – HSBC R Bull CBBC Dec 2013 C 100,000,000 2013/06/20 2013/12/23 25.0061284 UBS AG – HSI R Bull CBBC Sep 2013 U 300,000,000 2013/06/20 2013/09/27 75.0061287 UBS AG – HSI R Bull CBBC Sep 2013 V 300,000,000 2013/06/20 2013/09/27 75.0061283 UBS AG – HSI R Bull CBBC Nov 2013 M 300,000,000 2013/06/20 2013/11/28 75.0061293 UBS AG – HSI R Bull CBBC Dec 2013 F 300,000,000 2013/06/20 2013/12/30 75.0061285 UBS AG – HSI R Bull CBBC Dec 2013 J 300,000,000 2013/06/20 2013/12/30 75.0061282 UBS AG – HSI R Bull CBBC Mar 2014 Z 300,000,000 2013/06/20 2014/03/28 75.0061269 UBS AG – HSI R Bull CBBC Apr 2014 G 300,000,000 2013/06/20 2014/04/29 75.0061271 UBS AG – HSI R Bull CBBC Apr 2014 H 300,000,000 2013/06/20 2014/04/29 75.0061272 UBS AG – HSI R Bull CBBC Apr 2014 I 300,000,000 2013/06/20 2014/04/29 75.0061280 UBS AG – HSI R Bull CBBC May 2014 E 300,000,000 2013/06/20 2014/05/29 75.0061448 UBS AG – HSI R Bear CBBC Oct 2013 K 300,000,000 2013/06/20 2013/10/30 75.0061449 UBS AG – HSI R Bear CBBC Oct 2013 P 300,000,000 2013/06/20 2013/10/30 75.0061450 UBS AG – HSI R Bear CBBC Oct 2013 Q 300,000,000 2013/06/20 2013/10/30 75.0061451 UBS AG – HSI R Bear CBBC Oct 2013 R 300,000,000 2013/06/20 2013/10/30 75.0061452 UBS AG – HSI R Bear CBBC Oct 2013 T 300,000,000 2013/06/20 2013/10/30 75.0061455 UBS AG – HSI R Bear CBBC Oct 2013 U 300,000,000 2013/06/20 2013/10/30 75.0061447 UBS AG – HSI R Bear CBBC Nov 2013 M 300,000,000 2013/06/20 2013/11/28 75.0061445 UBS AG – Hutchison R Bull CBBC Jan 2014 A 100,000,000 2013/06/20 2014/01/13 25.0061436 UBS AG – ICBC R Bull CBBC Feb 2014 B 100,000,000 2013/06/20 2014/02/10 25.0061520 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 U 300,000,000 2013/06/21 2014/03/28 75.0061526 Credit Suisse AG – HSI R Bull CBBC Jan 2014 M 300,000,000 2013/06/21 2014/01/29 75.0061524 Credit Suisse AG – HSI R Bull CBBC Jan 2014 V 300,000,000 2013/06/21 2014/01/29 75.0061525 Credit Suisse AG – HSI R Bull CBBC Jan 2014 W 300,000,000 2013/06/21 2014/01/29 75.0061494 Credit Suisse AG – HSI R Bear CBBC Nov 2013 K 300,000,000 2013/06/21 2013/11/28 75.00




61495 Credit Suisse AG – HSI R Bear CBBC Nov 2013 L 300,000,000 2013/06/21 2013/11/28 75.0061496 Credit Suisse AG – HSI R Bear CBBC Nov 2013 M 300,000,000 2013/06/21 2013/11/28 75.0061497 Credit Suisse AG – HSI R Bear CBBC Nov 2013 N 300,000,000 2013/06/21 2013/11/28 75.0061498 Credit Suisse AG – HSI R Bear CBBC Nov 2013 O 300,000,000 2013/06/21 2013/11/28 75.0061527 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 H 120,000,000 2013/06/21 2013/11/28 30.0061528 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 J 120,000,000 2013/06/21 2013/11/28 30.0061530 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 F 150,000,000 2013/06/21 2013/10/30 39.0061531 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 G 150,000,000 2013/06/21 2013/10/30 39.0061532 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 H 150,000,000 2013/06/21 2013/10/30 37.8061533 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 I 150,000,000 2013/06/21 2013/10/30 37.5061534 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 J 150,000,000 2013/06/21 2013/10/30 37.8061492 HK Bank – China Mobile R Bull CBBC Dec 2013 C 120,000,000 2013/06/21 2013/12/20 30.0061493 HK Bank – CC Bank R Bear CBBC Dec 2013 B 40,000,000 2013/06/21 2013/12/20 10.0061491 HK Bank – HSCEI R Bear CBBC Jan 2014 B 68,000,000 2013/06/21 2014/01/29 17.0061489 HK Bank – HSI R Bull CBBC Jan 2014 C 100,000,000 2013/06/21 2014/01/29 25.0061490 HK Bank – HSI R Bull CBBC Jan 2014 D 100,000,000 2013/06/21 2014/01/29 25.0061486 HK Bank – HSI R Bear CBBC Nov 2013 R 100,000,000 2013/06/21 2013/11/28 25.0061487 HK Bank – HSI R Bear CBBC Nov 2013 S 100,000,000 2013/06/21 2013/11/28 25.0061488 HK Bank – HSI R Bear CBBC Dec 2013 H 400,000,000 2013/06/21 2013/12/30 100.0061519 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 E 200,000,000 2013/06/21 2013/09/27 50.0061500 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 H 200,000,000 2013/06/21 2013/10/30 50.0061501 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 I 200,000,000 2013/06/21 2013/10/30 50.0061513 UBS AG – CAM CSI300 R Bull CBBC Dec 2013 A 40,000,000 2013/06/21 2013/12/09 11.8061512 UBS AG – CAM CSI300 R Bear CBBC Feb 2014 A 40,000,000 2013/06/21 2014/02/17 16.6061515 UBS AG – Minsheng Bank R Bull CBBC Jan 2014 A 50,000,000 2013/06/21 2014/01/20 12.5061518 UBS AG – Sinopec Corp R Bull CBBC Dec 2013 B 100,000,000 2013/06/21 2013/12/16 25.0061516 UBS AG – China Shenhua R Bull CBBC Sep 2014 A 100,000,000 2013/06/21 2014/09/29 25.0061523 UBS AG – HSI R Bull CBBC Oct 2013 E 300,000,000 2013/06/21 2013/10/30 75.0061522 UBS AG – HSI R Bull CBBC Nov 2013 G 300,000,000 2013/06/21 2013/11/28 75.0061521 UBS AG – HSI R Bull CBBC Dec 2013 K 300,000,000 2013/06/21 2013/12/30 75.0061510 UBS AG – HSI R Bull CBBC Apr 2014 J 300,000,000 2013/06/21 2014/04/29 75.0061508 UBS AG – HSI R Bull CBBC Aug 2014 D 300,000,000 2013/06/21 2014/08/28 78.0061509 UBS AG – HSI R Bull CBBC Aug 2014 E 300,000,000 2013/06/21 2014/08/28 75.0061506 UBS AG – HSI R Bull CBBC Sep 2014 C 300,000,000 2013/06/21 2014/09/29 108.0061507 UBS AG – HSI R Bull CBBC Sep 2014 D 300,000,000 2013/06/21 2014/09/29 93.0061502 UBS AG – HSI R Bear CBBC Nov 2013 N 300,000,000 2013/06/21 2013/11/28 75.0061503 UBS AG – HSI R Bear CBBC Nov 2013 O 300,000,000 2013/06/21 2013/11/28 75.0061504 UBS AG – HSI R Bear CBBC Nov 2013 P 300,000,000 2013/06/21 2013/11/28 75.0061505 UBS AG – HSI R Bear CBBC Nov 2013 Q 300,000,000 2013/06/21 2013/11/28 75.0061517 UBS AG – Petrochina R Bull CBBC Dec 2013 A 100,000,000 2013/06/21 2013/12/16 25.0061514 UBS AG – Ping An R Bull CBBC Dec 2013 A 100,000,000 2013/06/21 2013/12/23 25.0061555 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 V 300,000,000 2013/06/24 2014/03/28 75.0061556 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 W 300,000,000 2013/06/24 2014/03/28 75.0061540 Credit Suisse AG – A50 China R Bull CBBC Jan 2014 A 50,000,000 2013/06/24 2014/01/24 12.5061541 Credit Suisse AG – A50 China R Bull CBBC Jan 2014 B 50,000,000 2013/06/24 2014/01/24 12.50




61542 Credit Suisse AG – A50 China R Bear CBBC Jan 2014 A 50,000,000 2013/06/24 2014/01/24 12.5061543 Credit Suisse AG – A50 China R Bear CBBC Jan 2014 B 50,000,000 2013/06/24 2014/01/24 12.5061550 Credit Suisse AG – HSCEI R Bull CBBC Oct 2013 A 150,000,000 2013/06/24 2013/10/30 37.5061551 Credit Suisse AG – HSCEI R Bull CBBC Oct 2013 B 150,000,000 2013/06/24 2013/10/30 37.5061552 Credit Suisse AG – HSCEI R Bull CBBC Oct 2013 C 150,000,000 2013/06/24 2013/10/30 37.5061553 Credit Suisse AG – HSCEI R Bear CBBC Oct 2013 A 150,000,000 2013/06/24 2013/10/30 37.5061554 Credit Suisse AG – HSCEI R Bear CBBC Oct 2013 B 150,000,000 2013/06/24 2013/10/30 37.5061575 Credit Suisse AG – HSI R Bull CBBC Feb 2014 F 300,000,000 2013/06/24 2014/02/27 75.0061570 Credit Suisse AG – HSI R Bull CBBC Feb 2014 W 300,000,000 2013/06/24 2014/02/27 75.0061571 Credit Suisse AG – HSI R Bull CBBC Feb 2014 X 300,000,000 2013/06/24 2014/02/27 75.0061573 Credit Suisse AG – HSI R Bull CBBC Feb 2014 Y 300,000,000 2013/06/24 2014/02/27 75.0061574 Credit Suisse AG – HSI R Bull CBBC Feb 2014 Z 300,000,000 2013/06/24 2014/02/27 75.0061544 Credit Suisse AG – HSI R Bear CBBC Nov 2013 P 300,000,000 2013/06/24 2013/11/28 75.0061545 Credit Suisse AG – HSI R Bear CBBC Nov 2013 Q 300,000,000 2013/06/24 2013/11/28 75.0061546 Credit Suisse AG – HSI R Bear CBBC Nov 2013 R 300,000,000 2013/06/24 2013/11/28 75.0061579 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 I 120,000,000 2013/06/24 2013/11/28 30.0061580 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 J 120,000,000 2013/06/24 2013/11/28 30.0061577 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 K 120,000,000 2013/06/24 2013/11/28 30.0061578 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 L 120,000,000 2013/06/24 2013/11/28 30.0061594 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 D 300,000,000 2013/06/24 2013/12/30 75.0061591 J P Morgan SP BV – HSI R Bull CBBC Dec 2013 H 300,000,000 2013/06/24 2013/12/30 75.0061590 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 D 300,000,000 2013/06/24 2014/01/29 75.0061593 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 E 300,000,000 2013/06/24 2014/01/29 75.0061589 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 D 300,000,000 2013/06/24 2014/02/27 75.0061592 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 E 300,000,000 2013/06/24 2014/02/27 75.0061585 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 V 300,000,000 2013/06/24 2013/11/28 75.0061588 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 W 300,000,000 2013/06/24 2013/11/28 75.0061587 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 N 300,000,000 2013/06/24 2013/12/30 75.0061581 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 J 100,000,000 2013/06/24 2013/12/30 25.0061582 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 K 100,000,000 2013/06/24 2013/12/30 25.0061583 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 L 100,000,000 2013/06/24 2013/12/30 25.0061584 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 M 100,000,000 2013/06/24 2013/12/30 25.0061535 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 N 100,000,000 2013/06/24 2013/10/30 25.0061549 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 C 200,000,000 2013/06/24 2013/09/27 50.0061548 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 D 200,000,000 2013/06/24 2013/09/27 50.0061547 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 N 200,000,000 2013/06/24 2013/10/30 50.0061568 UBS AG – HSCEI R Bull CBBC May 2014 B 100,000,000 2013/06/24 2014/05/29 25.0061567 UBS AG – HSCEI R Bear CBBC Oct 2013 C 100,000,000 2013/06/24 2013/10/30 25.0061563 UBS AG – HSI R Bull CBBC Oct 2013 H 300,000,000 2013/06/24 2013/10/30 75.0061564 UBS AG – HSI R Bull CBBC Feb 2014 Q 300,000,000 2013/06/24 2014/02/27 75.0061565 UBS AG – HSI R Bull CBBC Feb 2014 R 300,000,000 2013/06/24 2014/02/27 75.0061566 UBS AG – HSI R Bull CBBC Feb 2014 S 300,000,000 2013/06/24 2014/02/27 75.0061558 UBS AG – HSI R Bull CBBC Jul 2014 B 300,000,000 2013/06/24 2014/07/30 84.0061559 UBS AG – HSI R Bull CBBC Jul 2014 C 300,000,000 2013/06/24 2014/07/30 78.0061557 UBS AG – HSI R Bull CBBC Aug 2014 F 300,000,000 2013/06/24 2014/08/28 135.00




61539 UBS AG – HSI R Bear CBBC Nov 2013 R 300,000,000 2013/06/24 2013/11/28 75.0061536 UBS AG – HSI R Bear CBBC Dec 2013 K 300,000,000 2013/06/24 2013/12/30 75.0061538 UBS AG – HSI R Bear CBBC Dec 2013 L 300,000,000 2013/06/24 2013/12/30 75.0061569 UBS AG – ICBC R Bear CBBC Dec 2013 A 100,000,000 2013/06/24 2013/12/02 25.0061616 Credit Suisse AG – HSI R Bull CBBC Mar 2014 G 300,000,000 2013/06/25 2014/03/28 75.0061617 Credit Suisse AG – HSI R Bull CBBC Mar 2014 H 300,000,000 2013/06/25 2014/03/28 75.0061620 Credit Suisse AG – HSI R Bear CBBC Nov 2013 S 300,000,000 2013/06/25 2013/11/28 75.0061622 Credit Suisse AG – HSI R Bear CBBC Nov 2013 T 300,000,000 2013/06/25 2013/11/28 75.0061624 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Nov 2013 L 120,000,000 2013/06/25 2013/11/28 30.0061625 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Nov 2013 M 120,000,000 2013/06/25 2013/11/28 30.0061597 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 A 150,000,000 2013/06/25 2013/10/30 38.2561599 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 B 150,000,000 2013/06/25 2013/10/30 38.1061600 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 C 150,000,000 2013/06/25 2013/10/30 38.1061601 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 D 150,000,000 2013/06/25 2013/10/30 37.5061602 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 E 150,000,000 2013/06/25 2013/10/30 37.5061612 HK Bank – Sinopec Corp R Bull CBBC Jan 2014 A 80,000,000 2013/06/25 2014/01/27 20.0061610 HK Bank – CSOP A50 ETF R Bull CBBC Jan 2014 A 80,000,000 2013/06/25 2014/01/27 20.0061611 HK Bank – CSOP A50 ETF R Bear CBBC Dec 2013 A 40,000,000 2013/06/25 2013/12/09 10.0061608 HK Bank – A50 R Bull CBBC Dec 2013 A 100,000,000 2013/06/25 2013/12/02 25.0061609 HK Bank – A50 R Bull CBBC Jan 2014 A 100,000,000 2013/06/25 2014/01/20 25.0061607 HK Bank – HSCEI R Bull CBBC Feb 2014 A 100,000,000 2013/06/25 2014/02/27 25.0061606 HK Bank – HSI R Bull CBBC Oct 2013 M 100,000,000 2013/06/25 2013/10/30 25.0061603 HK Bank – HSI R Bull CBBC Nov 2013 P 100,000,000 2013/06/25 2013/11/28 25.0061618 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 A 200,000,000 2013/06/25 2013/09/27 50.0061619 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 J 200,000,000 2013/06/25 2013/10/30 50.0061614 UBS AG – HSI R Bull CBBC Nov 2013 I 300,000,000 2013/06/25 2013/11/28 75.0061613 UBS AG – HSI R Bull CBBC Dec 2013 L 300,000,000 2013/06/25 2013/12/30 75.0061615 UBS AG – HSI R Bull CBBC Dec 2013 Z 300,000,000 2013/06/25 2013/12/30 75.0061623 UBS AG – HSI R Bear CBBC Feb 2014 B 300,000,000 2013/06/25 2014/02/27 75.0061636 Credit Suisse AG – HSI R Bull CBBC Feb 2014 G 300,000,000 2013/06/26 2014/02/27 75.0061637 Credit Suisse AG – HSI R Bull CBBC Feb 2014 H 300,000,000 2013/06/26 2014/02/27 75.0061639 Credit Suisse AG – HSI R Bear CBBC Nov 2013 U 300,000,000 2013/06/26 2013/11/28 75.0061640 Credit Suisse AG – HSI R Bear CBBC Nov 2013 V 300,000,000 2013/06/26 2013/11/28 75.0061647 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 M 120,000,000 2013/06/26 2013/10/30 30.0061650 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 K 120,000,000 2013/06/26 2013/10/30 30.0061651 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 F 150,000,000 2013/06/26 2013/10/30 38.1061652 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 G 150,000,000 2013/06/26 2013/10/30 37.5061626 HK Bank – China Mobile R Bull CBBC Dec 2013 D 120,000,000 2013/06/26 2013/12/09 30.0061628 HK Bank – CC Bank R Bull CBBC Nov 2013 A 80,000,000 2013/06/26 2013/11/25 20.0061627 HK Bank – CC Bank R Bull CBBC Dec 2013 A 80,000,000 2013/06/26 2013/12/23 20.0061630 HK Bank – China Life R Bull CBBC Dec 2013 B 60,000,000 2013/06/26 2013/12/09 27.6061629 HK Bank – ICBC R Bull CBBC Dec 2013 B 80,000,000 2013/06/26 2013/12/23 20.0061643 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 X 300,000,000 2013/06/26 2013/11/28 75.0061646 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 Y 300,000,000 2013/06/26 2013/11/28 75.0061642 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 O 300,000,000 2013/06/26 2013/12/30 75.00




61644 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 P 300,000,000 2013/06/26 2013/12/30 75.0061632 UBS AG – HSI R Bull CBBC Mar 2014 A 350,000,000 2013/06/26 2014/03/28 87.5061633 UBS AG – HSI R Bull CBBC Mar 2014 B 350,000,000 2013/06/26 2014/03/28 87.5061631 UBS AG – HSI R Bull CBBC Apr 2014 K 350,000,000 2013/06/26 2014/04/29 87.5061641 UBS AG – HSI R Bear CBBC Dec 2013 M 350,000,000 2013/06/26 2013/12/30 87.5061694 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2013 I 200,000,000 2013/06/27 2013/12/30 50.0061692 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2013 G 200,000,000 2013/06/27 2013/12/30 50.0061702 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 A 300,000,000 2013/06/27 2014/02/27 75.0061703 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 B 300,000,000 2013/06/27 2014/02/27 75.0061704 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 C 300,000,000 2013/06/27 2014/02/27 75.0061705 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 D 300,000,000 2013/06/27 2014/02/27 75.0061706 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 E 300,000,000 2013/06/27 2014/02/27 75.0061679 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 P 300,000,000 2013/06/27 2014/03/28 75.0061676 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 X 300,000,000 2013/06/27 2014/03/28 75.0061677 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 Y 300,000,000 2013/06/27 2014/03/28 75.0061678 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Mar 2014 Z 300,000,000 2013/06/27 2014/03/28 75.0061707 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 L 300,000,000 2013/06/27 2014/04/29 75.0061708 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 M 300,000,000 2013/06/27 2014/04/29 75.0061709 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Apr 2014 P 300,000,000 2013/06/27 2014/04/29 75.0061695 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 G 300,000,000 2013/06/27 2014/01/29 75.0061697 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 H 300,000,000 2013/06/27 2014/01/29 75.0061698 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 I 300,000,000 2013/06/27 2014/01/29 75.0061699 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 J 300,000,000 2013/06/27 2014/01/29 75.0061700 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 K 300,000,000 2013/06/27 2014/01/29 75.0061701 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 L 300,000,000 2013/06/27 2014/01/29 75.0061762 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 M 300,000,000 2013/06/27 2014/01/29 75.0061670 Credit Suisse AG – HSI R Bull CBBC Apr 2014 F 300,000,000 2013/06/27 2014/04/29 75.0061671 Credit Suisse AG – HSI R Bull CBBC Apr 2014 G 300,000,000 2013/06/27 2014/04/29 75.0061672 Credit Suisse AG – HSI R Bull CBBC Apr 2014 H 300,000,000 2013/06/27 2014/04/29 75.0061673 Credit Suisse AG – HSI R Bull CBBC Apr 2014 I 300,000,000 2013/06/27 2014/04/29 75.0061675 Credit Suisse AG – HSI R Bull CBBC Apr 2014 J 300,000,000 2013/06/27 2014/04/29 75.0061710 Credit Suisse AG – HSI R Bull CBBC May 2014 A 300,000,000 2013/06/27 2014/05/29 75.0061711 Credit Suisse AG – HSI R Bull CBBC May 2014 B 300,000,000 2013/06/27 2014/05/29 79.5061713 Credit Suisse AG – HSI R Bull CBBC May 2014 C 300,000,000 2013/06/27 2014/05/29 82.5061714 Credit Suisse AG – HSI R Bull CBBC Jul 2014 A 300,000,000 2013/06/27 2014/07/30 94.5061715 Credit Suisse AG – HSI R Bull CBBC Jul 2014 B 300,000,000 2013/06/27 2014/07/30 106.5061716 Credit Suisse AG – HSI R Bull CBBC Aug 2014 A 300,000,000 2013/06/27 2014/08/28 115.5061717 Credit Suisse AG – HSI R Bull CBBC Aug 2014 B 300,000,000 2013/06/27 2014/08/28 121.5061718 Credit Suisse AG – HSI R Bull CBBC Aug 2014 C 300,000,000 2013/06/27 2014/08/28 75.0061719 Credit Suisse AG – HSI R Bear CBBC Nov 2013 W 300,000,000 2013/06/27 2013/11/28 75.0061720 Credit Suisse AG – HSI R Bear CBBC Nov 2013 X 300,000,000 2013/06/27 2013/11/28 75.0061721 Credit Suisse AG – HSI R Bear CBBC Dec 2013 D 300,000,000 2013/06/27 2013/12/30 75.0061722 Credit Suisse AG – HSI R Bear CBBC Dec 2013 E 300,000,000 2013/06/27 2013/12/30 75.0061723 Credit Suisse AG – HSI R Bear CBBC Dec 2013 F 300,000,000 2013/06/27 2013/12/30 75.0061725 Credit Suisse AG – HSI R Bear CBBC Dec 2013 G 300,000,000 2013/06/27 2013/12/30 75.00




61680 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 N 120,000,000 2013/06/27 2013/10/30 30.0061682 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 O 120,000,000 2013/06/27 2013/10/30 30.0061757 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 P 120,000,000 2013/06/27 2013/10/30 30.0061758 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 Q 120,000,000 2013/06/27 2013/10/30 30.0061681 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 Y 120,000,000 2013/06/27 2013/10/30 30.0061748 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 E 120,000,000 2013/06/27 2014/03/28 30.0061749 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 F 120,000,000 2013/06/27 2014/03/28 30.0061755 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 G 120,000,000 2013/06/27 2014/03/28 30.0061759 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 L 120,000,000 2013/06/27 2013/10/30 30.0061760 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 M 120,000,000 2013/06/27 2013/10/30 30.0061761 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 N 120,000,000 2013/06/27 2013/10/30 30.0061743 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 H 150,000,000 2013/06/27 2013/10/30 37.8061744 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 I 150,000,000 2013/06/27 2013/10/30 37.5061745 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 J 150,000,000 2013/06/27 2013/10/30 38.4061747 Goldman Sachs SP (Asia) – HSI R Bear CBBC Oct 2013 K 150,000,000 2013/06/27 2013/10/30 37.6561656 HK Bank – AIA R Bull CBBC Dec 2013 C 60,000,000 2013/06/27 2013/12/09 15.0061655 HK Bank – CAM CSI300 R Bull CBBC Jan 2014 A 60,000,000 2013/06/27 2014/01/27 27.0061660 HK Bank – BOCL R Bear CBBC Feb 2014 A 40,000,000 2013/06/27 2014/02/20 10.0061658 HK Bank – CPIC R Bull CBBC Jan 2014 A 60,000,000 2013/06/27 2014/01/27 32.4061653 HK Bank – A50 R Bear CBBC Nov 2013 C 50,000,000 2013/06/27 2013/11/04 12.5061654 HK Bank – A50 R Bear CBBC Nov 2013 D 50,000,000 2013/06/27 2013/11/25 12.5061659 HK Bank – Lenovo R Bear CBBC Dec 2013 A 40,000,000 2013/06/27 2013/12/23 10.0061657 HK Bank – Ping An R Bull CBBC Nov 2013 B 60,000,000 2013/06/27 2013/11/25 15.0061773 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 F 300,000,000 2013/06/27 2014/01/29 75.0061776 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 G 300,000,000 2013/06/27 2014/01/29 75.0061779 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 H 300,000,000 2013/06/27 2014/01/29 75.0061782 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 I 300,000,000 2013/06/27 2014/01/29 75.0061772 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 F 300,000,000 2013/06/27 2014/02/27 75.0061775 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 G 300,000,000 2013/06/27 2014/02/27 75.0061778 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 H 300,000,000 2013/06/27 2014/02/27 75.0061781 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 I 300,000,000 2013/06/27 2014/02/27 75.0061770 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 B 300,000,000 2013/06/27 2014/03/28 75.0061774 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 C 300,000,000 2013/06/27 2014/03/28 75.0061777 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 D 300,000,000 2013/06/27 2014/03/28 75.0061780 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 E 300,000,000 2013/06/27 2014/03/28 75.0061768 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 B 300,000,000 2013/06/27 2013/11/28 75.0061765 J P Morgan SP BV – HSI R Bear CBBC Nov 2013 Z 300,000,000 2013/06/27 2013/11/28 75.0061763 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 Q 300,000,000 2013/06/27 2013/12/30 75.0061766 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 R 300,000,000 2013/06/27 2013/12/30 75.0061769 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 S 300,000,000 2013/06/27 2013/12/30 75.0061661 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 B 200,000,000 2013/06/27 2013/09/27 50.0061662 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 F 200,000,000 2013/06/27 2013/09/27 50.0061663 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 H 200,000,000 2013/06/27 2013/09/27 50.0061688 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 I 200,000,000 2013/06/27 2013/09/27 50.0061664 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 O 200,000,000 2013/06/27 2013/10/30 50.00




61666 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 P 200,000,000 2013/06/27 2013/10/30 50.0061668 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 Q 200,000,000 2013/06/27 2013/10/30 50.0061689 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 R 200,000,000 2013/06/27 2013/10/30 50.0061690 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 K 200,000,000 2013/06/27 2013/10/30 50.0061691 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 L 200,000,000 2013/06/27 2013/10/30 50.0061732 UBS AG – COVS R Bull CBBC Dec 2013 A 50,000,000 2013/06/27 2013/12/16 18.7561730 UBS AG – CC Bank R Bull CBBC Jan 2014 B 100,000,000 2013/06/27 2014/01/21 25.0061729 UBS AG – CC Bank R Bull CBBC Mar 2014 A 100,000,000 2013/06/27 2014/03/11 25.0061728 UBS AG – HSCEI R Bull CBBC May 2014 C 100,000,000 2013/06/27 2014/05/29 25.0061726 UBS AG – HSCEI R Bear CBBC Sep 2013 E 100,000,000 2013/06/27 2013/09/27 25.0061686 UBS AG – HSI R Bull CBBC Oct 2013 I 300,000,000 2013/06/27 2013/10/30 75.0061685 UBS AG – HSI R Bull CBBC Nov 2013 N 300,000,000 2013/06/27 2013/11/28 75.0061684 UBS AG – HSI R Bull CBBC Dec 2013 A 300,000,000 2013/06/27 2013/12/30 75.0061683 UBS AG – HSI R Bull CBBC Dec 2013 M 300,000,000 2013/06/27 2013/12/30 75.0061687 UBS AG – HSI R Bull CBBC Dec 2013 N 300,000,000 2013/06/27 2013/12/30 75.0061735 UBS AG – HSI R Bull CBBC Dec 2013 T 300,000,000 2013/06/27 2013/12/30 75.0061740 UBS AG – HSI R Bull CBBC Jul 2014 D 300,000,000 2013/06/27 2014/07/30 75.0061742 UBS AG – HSI R Bull CBBC Aug 2014 G 300,000,000 2013/06/27 2014/08/28 75.0061737 UBS AG – HSI R Bear CBBC Nov 2013 S 300,000,000 2013/06/27 2013/11/28 75.0061738 UBS AG – HSI R Bear CBBC Nov 2013 T 300,000,000 2013/06/27 2013/11/28 75.0061739 UBS AG – HSI R Bear CBBC Nov 2013 U 300,000,000 2013/06/27 2013/11/28 75.0061736 UBS AG – HSI R Bear CBBC Dec 2013 N 300,000,000 2013/06/27 2013/12/30 75.0061734 UBS AG – ICBC R Bull CBBC Dec 2013 A 100,000,000 2013/06/27 2013/12/30 25.0061733 UBS AG – ICBC R Bear CBBC Nov 2013 B 100,000,000 2013/06/27 2013/11/25 25.0061731 UBS AG – TCH R Bear CBBC Dec 2013 C 100,000,000 2013/06/27 2013/12/23 28.0061807 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2013 J 200,000,000 2013/06/28 2013/12/30 50.0061808 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2013 K 200,000,000 2013/06/28 2013/12/30 50.0061811 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 F 300,000,000 2013/06/28 2014/02/27 75.0061812 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 G 300,000,000 2013/06/28 2014/02/27 75.0061813 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 H 300,000,000 2013/06/28 2014/02/27 75.0061814 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 I 300,000,000 2013/06/28 2014/02/27 75.0061815 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 J 300,000,000 2013/06/28 2014/02/27 75.0061816 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 K 300,000,000 2013/06/28 2014/02/27 75.0061817 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2014 L 300,000,000 2013/06/28 2014/02/27 75.0061853 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 N 300,000,000 2013/06/28 2014/01/29 75.0061856 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 O 300,000,000 2013/06/28 2014/01/29 75.0061857 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Jan 2014 P 300,000,000 2013/06/28 2014/01/29 75.0061831 Credit Suisse AG – HSI R Bull CBBC Mar 2014 I 300,000,000 2013/06/28 2014/03/28 75.0061836 Credit Suisse AG – HSI R Bull CBBC Mar 2014 J 300,000,000 2013/06/28 2014/03/28 75.0061837 Credit Suisse AG – HSI R Bull CBBC Mar 2014 K 300,000,000 2013/06/28 2014/03/28 75.0061838 Credit Suisse AG – HSI R Bull CBBC Mar 2014 L 300,000,000 2013/06/28 2014/03/28 75.0061839 Credit Suisse AG – HSI R Bull CBBC Mar 2014 M 300,000,000 2013/06/28 2014/03/28 75.0061870 Credit Suisse AG – HSI R Bull CBBC Jun 2014 A 300,000,000 2013/06/28 2014/06/27 75.0061871 Credit Suisse AG – HSI R Bull CBBC Jun 2014 B 300,000,000 2013/06/28 2014/06/27 85.5061872 Credit Suisse AG – HSI R Bull CBBC Jun 2014 C 300,000,000 2013/06/28 2014/06/27 97.50




61873 Credit Suisse AG – HSI R Bull CBBC Jun 2014 D 300,000,000 2013/06/28 2014/06/27 100.5061874 Credit Suisse AG – HSI R Bull CBBC Jun 2014 E 300,000,000 2013/06/28 2014/06/27 118.5061875 Credit Suisse AG – HSI R Bear CBBC Nov 2013 Y 300,000,000 2013/06/28 2013/11/28 75.0061877 Credit Suisse AG – HSI R Bear CBBC Nov 2013 Z 300,000,000 2013/06/28 2013/11/28 75.0061878 Credit Suisse AG – HSI R Bear CBBC Dec 2013 H 300,000,000 2013/06/28 2013/12/30 75.0061879 Credit Suisse AG – HSI R Bear CBBC Dec 2013 I 300,000,000 2013/06/28 2013/12/30 75.0061880 Credit Suisse AG – HSI R Bear CBBC Dec 2013 J 300,000,000 2013/06/28 2013/12/30 75.0061861 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Oct 2013 R 120,000,000 2013/06/28 2013/10/30 30.0061858 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 H 120,000,000 2013/06/28 2014/03/28 30.0061859 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 I 120,000,000 2013/06/28 2014/03/28 30.0061860 Citigroup Global Mkt H Inc. – HSI R Bull CBBC Mar 2014 J 120,000,000 2013/06/28 2014/03/28 30.0061863 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 O 120,000,000 2013/06/28 2013/10/30 30.0061866 Citigroup Global Mkt H Inc. – HSI R Bear CBBC Oct 2013 P 120,000,000 2013/06/28 2013/10/30 30.0061919 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 K 150,000,000 2013/06/28 2013/10/30 38.8561920 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 L 150,000,000 2013/06/28 2013/10/30 38.1061922 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 M 150,000,000 2013/06/28 2013/10/30 37.9561923 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 N 150,000,000 2013/06/28 2013/10/30 38.8561924 Goldman Sachs SP (Asia) – HSI R Bull CBBC Oct 2013 O 150,000,000 2013/06/28 2013/10/30 39.3061799 HK Bank – CSOP A50 ETF R Bull CBBC Feb 2014 A 80,000,000 2013/06/28 2014/02/17 20.0061797 HK Bank – A50 R Bull CBBC Jan 2014 B 100,000,000 2013/06/28 2014/01/13 25.0061798 HK Bank – A50 R Bull CBBC Jan 2014 C 100,000,000 2013/06/28 2014/01/27 25.0061796 HK Bank – HSCEI R Bull CBBC Mar 2014 A 100,000,000 2013/06/28 2014/03/28 25.0061792 HK Bank – HSI R Bull CBBC Dec 2013 M 100,000,000 2013/06/28 2013/12/30 25.0061793 HK Bank – HSI R Bull CBBC Jan 2014 E 100,000,000 2013/06/28 2014/01/29 25.0061794 HK Bank – HSI R Bull CBBC Jan 2014 F 400,000,000 2013/06/28 2014/01/29 100.0061795 HK Bank – HSI R Bear CBBC Dec 2013 I 100,000,000 2013/06/28 2013/12/30 25.0061800 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 J 300,000,000 2013/06/28 2014/01/29 75.0061803 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 K 300,000,000 2013/06/28 2014/01/29 75.0061940 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 L 300,000,000 2013/06/28 2014/01/29 75.0061941 J P Morgan SP BV – HSI R Bull CBBC Jan 2014 M 300,000,000 2013/06/28 2014/01/29 75.0061802 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 J 300,000,000 2013/06/28 2014/02/27 75.0061935 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 K 300,000,000 2013/06/28 2014/02/27 75.0061937 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 L 300,000,000 2013/06/28 2014/02/27 75.0061939 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 M 300,000,000 2013/06/28 2014/02/27 75.0061943 J P Morgan SP BV – HSI R Bull CBBC Feb 2014 N 300,000,000 2013/06/28 2014/02/27 75.0061801 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 F 300,000,000 2013/06/28 2014/03/28 75.0061929 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 G 300,000,000 2013/06/28 2014/03/28 75.0061936 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 H 300,000,000 2013/06/28 2014/03/28 75.0061938 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 I 300,000,000 2013/06/28 2014/03/28 75.0061942 J P Morgan SP BV – HSI R Bull CBBC Mar 2014 J 300,000,000 2013/06/28 2014/03/28 75.0061933 J P Morgan SP BV – HSI R Bear CBBC Dec 2013 T 300,000,000 2013/06/28 2013/12/30 75.0061932 J P Morgan SP BV – HSI R Bear CBBC Jan 2014 A 300,000,000 2013/06/28 2014/01/29 75.0061934 J P Morgan SP BV – HSI R Bear CBBC Jan 2014 B 300,000,000 2013/06/28 2014/01/29 75.0061915 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 N 100,000,000 2013/06/28 2013/12/30 25.0061916 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 O 100,000,000 2013/06/28 2013/12/30 25.00




61917 Merrill Lynch Int’l & Co. C.V. – HSI R Bull CBBC Dec 2013 P 100,000,000 2013/06/28 2013/12/30 25.0061913 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 N 100,000,000 2013/06/28 2013/12/30 25.0061914 Merrill Lynch Int’l & Co. C.V. – HSI R Bear CBBC Dec 2013 O 100,000,000 2013/06/28 2013/12/30 25.0061804 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 G 100,000,000 2013/06/28 2013/11/28 25.0061805 Standard Chartered Bank – HSI R Bull CBBC Nov 2013 H 100,000,000 2013/06/28 2013/11/28 25.0061806 Standard Chartered Bank – HSI R Bear CBBC Oct 2013 O 100,000,000 2013/06/28 2013/10/30 25.0061818 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 J 200,000,000 2013/06/28 2013/09/27 50.0061821 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 L 200,000,000 2013/06/28 2013/09/27 50.0061823 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep13 M 200,000,000 2013/06/28 2013/09/27 50.0061824 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 S 200,000,000 2013/06/28 2013/10/30 50.0061825 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 T 200,000,000 2013/06/28 2013/10/30 50.0061852 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct13 U 200,000,000 2013/06/28 2013/10/30 50.0061846 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 M 200,000,000 2013/06/28 2013/10/30 50.0061847 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 N 200,000,000 2013/06/28 2013/10/30 50.0061848 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 O 200,000,000 2013/06/28 2013/10/30 50.0061849 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Oct13 P 200,000,000 2013/06/28 2013/10/30 50.0061869 UBS AG – ABC R Bull CBBC Jul 2014 A 100,000,000 2013/06/28 2014/07/28 25.0061907 UBS AG – BOCL R Bull CBBC Jul 2014 A 100,000,000 2013/06/28 2014/07/21 25.0061867 UBS AG – CSOP A50 ETF R Bull CBBC Jan 2014 B 100,000,000 2013/06/28 2014/01/13 25.0061910 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2014 A 100,000,000 2013/06/28 2014/03/10 25.0061909 UBS AG – A50 China R Bull CBBC Feb 2014 C 100,000,000 2013/06/28 2014/02/17 25.0061908 UBS AG – A50 China R Bull CBBC Apr 2014 A 100,000,000 2013/06/28 2014/04/07 25.0061906 UBS AG – HSCEI R Bull CBBC Apr 2014 A 100,000,000 2013/06/28 2014/04/29 25.0061905 UBS AG – HSCEI R Bear CBBC Oct 2013 D 100,000,000 2013/06/28 2013/10/30 25.0061842 UBS AG – HSI R Bull CBBC Nov 2013 H 300,000,000 2013/06/28 2013/11/28 75.0061840 UBS AG – HSI R Bull CBBC Nov 2013 O 300,000,000 2013/06/28 2013/11/28 75.0061841 UBS AG – HSI R Bull CBBC Dec 2013 Y 300,000,000 2013/06/28 2013/12/30 75.0061899 UBS AG – HSI R Bull CBBC Mar 2014 C 300,000,000 2013/06/28 2014/03/28 90.0061902 UBS AG – HSI R Bull CBBC Mar 2014 D 300,000,000 2013/06/28 2014/03/28 75.0061895 UBS AG – HSI R Bull CBBC May 2014 F 300,000,000 2013/06/28 2014/05/29 114.0061897 UBS AG – HSI R Bull CBBC Sep 2014 E 300,000,000 2013/06/28 2014/09/29 75.0061901 UBS AG – HSI R Bull CBBC Sep 2014 F 300,000,000 2013/06/28 2014/09/29 75.0061903 UBS AG – HSI R Bull CBBC Dec 2014 A 300,000,000 2013/06/28 2014/12/30 75.0061904 UBS AG – HSI R Bull CBBC Dec 2014 B 300,000,000 2013/06/28 2014/12/30 75.0061881 UBS AG – HSI R Bear CBBC Nov 2013 V 300,000,000 2013/06/28 2013/11/28 75.0061882 UBS AG – HSI R Bear CBBC Nov 2013 W 300,000,000 2013/06/28 2013/11/28 75.0061883 UBS AG – HSI R Bear CBBC Nov 2013 X 300,000,000 2013/06/28 2013/11/28 75.0061887 UBS AG – HSI R Bear CBBC Dec 2013 O 300,000,000 2013/06/28 2013/12/30 75.0061890 UBS AG – HSI R Bear CBBC Dec 2013 P 300,000,000 2013/06/28 2013/12/30 75.0061892 UBS AG – HSI R Bear CBBC Dec 2013 Q 300,000,000 2013/06/28 2013/12/30 75.0061893 UBS AG – HSI R Bear CBBC Dec 2013 R 300,000,000 2013/06/28 2013/12/30 75.0061868 UBS AG – ICBC R Bull CBBC Jun 2014 A 100,000,000 2013/06/28 2014/06/30 25.00Total 132,125.62

# Further issue

DR/ELI/Trading Only Stocks Trading Statistics


Depositary Receipt Trading Statistics

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

2012 Q2 4 14.88 Q3 4 10.47 Q4 4 18.622013 Q1 4 15.07 Q2 4 20.85

Equity Linked Instrument Trading Statistics


2012 Q2 – – Q3 – – Q4 – –2013 Q1 – – Q2 – –

NASDAQ Stocks


2012 Q2 7 0.14 Q3 7 0.49 Q4 7 0.002013 Q1 7 0.25 Q2 7 0.03

iShares


2012 Q2 2 – Q3 2 – Q4 2 –2013 Q1 2 – Q2 2 –

GEM Equities


Equity Turnover – GEM

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

2012 Q2 33,806.65 6,874.87 228,059 Q3 33,483.43 5,395.70 206,623 Q4 45,943.00 9,037.19 329,4202013 Q1 55,775.21 12,379.11 371,122 Q2 38,483.69 15,384.62 413,646

Equity Trading Statistics – GEM

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

2012 Q2 61 112.70 30,145 Q3 64 84.31 26,114 Q4 61 148.15 27,4342013 Q1 59 209.82 33,356 Q2 60 256.41 37,193

20 Most Advanced GEM Stocksfor 2nd quarter 2013

Closing priceRank Code Stock End of Jun 2013 End of Mar 2013 % up

1 08171 CHINA TRENDS 0.029 0.013 123.08 2 08272 C FOOD&BEV GP 0.450 0.210 A 114.29 3 08072 ROMA GROUP 1.430 0.740 93.24 4 08271 GDC 0.300 0.168 78.57 5 08102 SHANGHAI FUDAN 5.300 3.110 70.42 6 08150 SEAMLESS GREEN 1.330 0.820 62.20 7 08050 YUNBO DIGITAL 0.285 0.177 61.02 8 08215 FIRST CREDIT 0.186 0.121 53.72 9 08270 CHINA LEASON 0.495 0.325 52.31 10 08292 HC INTL 6.580 4.390 49.89 11 08039 PEGASUS ENT 0.880 0.590 49.15 12 08179 GAYETY HLDGS 0.132 0.089 48.31 13 08212 CELEBRATE INT 0.510 0.345 47.83 14 08078 CHINA3D DIGIT 0.204 0.138 47.83 15 08020 CHANCETON FIN 0.750 0.520 A 44.23 16 08279 AGTECH HOLDINGS 0.485 0.340 42.65 17 08123 FIRST CHINA NET 0.143 0.106 34.91 18 08132 FAIRSON HLDGS 0.163 0.122 33.61 19 08231 FUDANZHANGJIANG 4.500 3.400 32.35 20 08356 CNC HOLDINGS 0.780 0.590 32.20

A Adjusted

GEM Equities


20 Most Declined GEM Stocksfor 2nd quarter 2013

Closing priceRank Code Stock End of Jun 2013 End of Mar 2013 % down

1 08242 MEGALOGICTECH 0.167 1.000 -83.30 2 08037 LONGLIFE GROUP 0.071 0.173 -58.96 3 08079 UL CREATIVITY 0.315 0.560 A -43.75 4 08120 ORI UNICORN 0.445 0.780 -42.95 5 08076 SING LEE 0.116 0.200 -42.00 6 08066 PHOENITRON HOLD 0.275 0.435 -36.78 7 08175 CHI DIGITAL LIC 0.197 0.300 -34.33 8 08111 CT SOLARPOWER 0.077 0.114 -32.46 9 08167 NEO TELEMEDIA 0.420 0.620 -32.26 10 08153 CODE AGRI 0.062 0.090 -31.11 11 08178 CHINA INFO TECH 0.195 0.280 -30.36 12 08148 AURUM PACIFIC 0.270 0.385 -29.87 13 08269 WEALTH GLORY 0.149 0.210 -29.05 14 08286 CCOE 0.210 0.295 -28.81 15 08137 HONBRIDGE 1.020 1.420 -28.17 16 08058 LUOXIN PHARMA 7.500 10.280 -27.04 17 08029 SUN INT’L 0.540 0.740 -27.03 18 08198 MELCOLOT 0.550 0.740 -25.68 19 08025 ACR HOLDINGS 0.550 0.730 -24.66 20 08048 H.K. JEWELRY 0.275 0.365 -24.66

A Adjusted

GEM Equities


20 Most Active GEM Stocks by Valuefor 2nd quarter 2013

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

1 08138 TONGRENTANGCM 3,568.58 23.20 2 08008 SUNEVISION 567.49 3.69 3 08137 HONBRIDGE 552.58 3.59 4 08017 LONG SUCCESS 526.90 3.42 5 08356 CNC HOLDINGS 512.97 3.33 6 08078 CHINA3D DIGIT 373.71 2.43 7 08212 CELEBRATE INT 363.87 2.37 8 08090 CHI ASSURANCE 352.30 2.29 9 08058 LUOXIN PHARMA 336.04 2.18 10 08269 WEALTH GLORY 331.23 2.15 11 08231 FUDANZHANGJIANG 320.54 2.08 12 08167 NEO TELEMEDIA 307.23 2.00 13 08279 AGTECH HOLDINGS 302.57 1.97 14 08250 CHI NATURAL INV 286.48 1.86 15 08102 SHANGHAI FUDAN 275.77 1.79 16 08150 SEAMLESS GREEN 272.10 1.77 17 08270 CHINA LEASON 268.65 1.75 18 08120 ORI UNICORN 241.07 1.57 19 08072 ROMA GROUP 228.28 1.48 20 08260 ZEBRA STRAT 226.06 1.47

Total 10,214.42 66.39

GEM Equities


20 Most Active GEM Stock by Sharesfor 2nd quarter 2013

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

1 08250 CHI NATURAL INV 2,868.78 7.45 2 08171 CHINA TRENDS 2,581.56 6.71 3 08078 CHINA3D DIGIT 1,927.16 5.01 4 08269 WEALTH GLORY 1,680.21 4.37 5 08037 LONGLIFE GROUP 1,653.01 4.30 6 08079 UL CREATIVITY 1,559.83 4.05 7 08100 M DREAM INWORLD 1,405.08 3.65 8 08103 TAI SHING 1,261.33 3.28 9 08215 FIRST CREDIT 1,213.00 3.15 10 08108 FAVA INT’L 1,112.73 2.89 11 08019 HAO WEN HLDGS 1,086.75 2.82 12 08212 CELEBRATE INT 789.72 2.05 13 08266 M TEL 783.60 2.04 14 08356 CNC HOLDINGS 720.80 1.87 15 08167 NEO TELEMEDIA 684.80 1.78 16 08017 LONG SUCCESS 680.11 1.77 17 08161 CHINALOTSYNERGY 649.58 1.69 18 08279 AGTECH HOLDINGS 609.03 1.58 19 08270 CHINA LEASON 598.13 1.55 20 08085 HK LIFE SCI 537.24 1.40

Total 24,402.45 63.41

GEM Equities


Market Capitalisation of Listed Companies for GEMas at the quarter end

HK$ mil.

2012 Q2 77,357.91 Q3 73,436.35 Q4 78,398.982013 Q1 87,318.43 Q2 98,730.52

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

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

Information Technology(27.36%)

Properties & Construction (1.93%)

Services (19.93%)Telecommunications (0.51%)

Utilities (2.95%)

Financials (9.49%)

Materials (8.98%)

Industrial Goods (3.80%)

Consumer Goods(21.62%)

Energy (3.42%)Conglomerates (0.00%)

GEM Equities


50 Leading Companies by Market Capitalisation – GEMas at the 2nd quarter end 2013

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

1 08138 Beijing Tong Ren Tang Chinese Medicine Co. Ltd. 8,881.00 9.002 08137 Honbridge Holdings Ltd. 6,339.99 6.423 08008 Sunevision Holdings Ltd. 5,411.05 5.484 08292 HC International, Inc. 3,782.36 3.835 08122 LifeTech Scientific Corporation 2,915.00 2.956 08032 Viva China Holdings Ltd. 2,582.47 2.627 08086 ePRO Ltd. 2,445.37 2.488 08035 Binhai Investment Co. Ltd. 2,307.23 2.349 08270 China Leason CBM & Shale Gas Group Co. Ltd. 2,298.04 2.3310 08279 AGTech Holdings Ltd. 2,071.14 2.1011 08090 China Assurance Finance Group Ltd. 1,858.97 1.8812 08020 Chanceton Financial Group Ltd. 1,665.00 1.6913 08155 South China Land Ltd. 1,620.88 1.6414 08207 Credit China Holdings Ltd. 1,600.63 1.6215 08231 Shanghai Fudan-Zhangjiang Bio-Pharmaceutical Co. Ltd. -H Shs 1,530.00 1.5516 08158 China Bio-Med Regeneration Technology Ltd. 1,495.97 1.5217 08005 Yuxing InfoTech Investment Holdings Ltd. 1,379.93 1.4018 08232 China U-Ton Holdings Ltd. 1,344.00 1.3619 08128 China Ground Source Energy Ltd. 1,335.30 1.3520 08356 CNC Holdings Ltd. 1,306.29 1.3221 08102 Shanghai Fudan Microelectronics Group Co. Ltd. – H Shares 1,284.35 1.3022 08198 MelcoLot Ltd. 1,284.07 1.3023 08058 Shandong Luoxin Pharmacy Stock Co. Ltd. – H Shares 1,234.20 1.2524 08072 Roma Group Ltd. 1,144.00 1.1625 08167 Neo Telemedia Ltd. 1,027.29 1.0426 08083 China Innovationpay Group Ltd. 983.79 1.0027 08161 China LotSynergy Holdings Ltd. 872.99 0.8828 08066 Phoenitron Holdings Ltd. 869.50 0.8829 08025 Asian Capital Resources (Holdings) Ltd. 817.04 0.8330 08219 Branding China Group Ltd. 752.77 0.7631 08046 Heng Xin China Holdings Ltd. 673.80 0.6832 08075 Media Asia Group Holdings Ltd. 657.01 0.6733 08016 Changhong Jiahua Holdings Ltd. 656.60 0.6734 08030 Flying Financial Service Holdings Ltd. 653.16 0.6635 08175 China Digital Licensing (Group) Ltd. 650.20 0.6636 08085 Hong Kong Life Sciences and Technologies Group Ltd. 648.51 0.6637 08109 Creative Energy Solutions Holdings Ltd. 641.91 0.6538 08017 Long Success International (Holdings) Ltd. 619.70 0.6339 08306 China Nonferrous Metals Co. Ltd. 612.96 0.6240 08261 Haitian Hydropower International Ltd. 610.00 0.6241 08240 China City Railway Transportation Technology Hldgs Co. Ltd. 592.00 0.6042 08123 First China Financial Network Holdings Ltd. 576.14 0.5843 08250 China Natural Investment Co. Ltd. 564.16 0.5744 08325 Oriental City Group Holdings Ltd. 552.00 0.5645 08006 China.com Inc. 526.22 0.5346 08189 Tianjin TEDA Biomedical Engineering Co. Ltd. – H Shares 514.65 0.5247 08206 China Communication Telecom Services Co. Ltd. 504.93 0.5148 08150 Seamless Green China (Holdings) Ltd. 504.71 0.5149 08029 Sun International Resources Ltd. 500.90 0.5150 08220 Bingo Group Holdings Ltd. 480.64 0.49Total 76,180.86 77.16Market Total 98,730.52 100.00

GEM Equities


New Listing Statistics – equities for GEM

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

2012 Q2 4 617.66 Q3 3 179.40 Q4 2 139.502013 Q1 1 60.00 Q2 5 887.80

Newly Listed Companies for GEMfor 2nd quarter 2013

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

08260 Zebra Strategic Holdings Ltd. 2013/04/10 400,000,000 41.0008138 Beijing Tong Ren Tang Chinese Medicine Co. Ltd. 2013/05/07 830,000,000 699.2008276 Huazhang Technology Holding Ltd. 2013/05/16 272,000,000 81.6008145 Telecom Service One Holdings Ltd. 2013/05/30 120,000,000 30.0008201 PPS International (Holdings) Ltd. 2013/06/17 100,000,000 36.00Total 887.80

Withdrawal of listed Companies – GEMfor 2nd quarter 2013

Code Company name Last trading date Delisted date

08208 Changmao Biochemical Engineering Co. Ltd. – H Shares * 2013/06/27 2013/06/28 §

* 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 2013

Code Old name New name Effective date Adoption date

08176 China AU Group Holdings Ltd. EDS Wellness Holdings Ltd. 2013/03/08 2013/04/2908215 First Credit Holdings Ltd. First Credit Finance Group Ltd. 2013/04/29 2013/05/1308063 Trasy Gold Ex Ltd. Well Way Group Ltd. 2013/05/29 2013/06/28

GEM Equities


Bonus Issues/Bonus Warrants for GEMfor 2nd quarter 2013

Code Company Particulars Ex-date

08020 Chanceton Financial Group Ltd. 3 for 1 2013/04/25

Share Split/Consolidation for GEMfor 2nd quarter 2013

Code Company Particulars Effective date

08272 Chinese Food and Beverage Group Ltd. Consolidation 10 into 1 2013/04/0508109 Creative Energy Solutions Holdings Ltd. Split 1 into 10 2013/04/2308047 China Neng Xiao Technology (Group) Ltd. Consolidation 10 into 1 2013/05/1408079 Unlimited Creativity Holdings Ltd. Consolidation 20 into 1 2013/06/1808306 China Nonferrous Metals Co. Ltd. Consolidation 5 into 1 2013/06/20

Rights Issues & Open Offers for GEMfor 2nd quarter 2013

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

May 08022 TLT Lottotainment Group Ltd. Open offer 2 for 1 @$0.50 65.65 08351 Larry Jewelry International Co. Ltd. Open offer 3 for 10 @$0.11 33.60

Total 99.25

GEM Equities


Placing*

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

2013Mar ** 08053 PIZU GROUP 87,000,000 0.161 14.01 08050 YUNBO DIGITAL 125,000,000 0.145 18.13Apr 08047 CHI NENG XIAO 349,480,000 0.072 25.16 08158 CHINA BIO-MED 1,500,000,000 0.165 247.50 08270 CHINA LEASON 400,000,000 0.250 100.00 08078 CHINA3D DIGIT 300,000,000 0.100 30.00 08215 FIRST CREDIT 200,000,000 0.090 18.00 08048 H.K. JEWELRY 173,410,000 0.340 58.96 08046 HENG XIN CHINA 100,000,000 0.250 25.00 08103 TAI SHING 57,000,000 0.140 7.98May 08279 AGTECH HOLDINGS 406,521,739 0.345 140.25 08116 C FORTUNE INV 225,449,977 0.100 22.54 08150 SEAMLESS GREEN 5,000,000 0.700 3.50Jun 08078 CHINA3D DIGIT 300,000,000 0.100 30.00 08266 M TEL 274,000,000 0.085 23.29 08120 ORI UNICORN 78,000,000 0.500 39.00 08022 TLT LOTTOTAIN 13,110,000 0.600 7.87

Total 811.18

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

** Supplementary information update for previous quarters.

GEM Warrants


Warrant Trading and Market Value Statistics – GEM

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

2012 Q2 2 0.27 15.17 Q3 1 0.13 8.00 Q4 1 0.01 8.002013 Q1 0 0.85 0.00 Q2 0 0.00 0.00

Newly Listed Equity GEM Warrantsfor 2nd quarter 2013

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

Nil

Total –

Stock Market Indices


Hang Seng Index

Chart on ClosePrice

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18000

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26000HIGH(13/01/30)=23822.060 LOW(12/06/04)=18185.590 CLOSE(13/06/28)=20803.290

10 MAV 50 MAV

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

S&P/HKEx LargeCap Index

Chart on CloseIndex

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30000HIGH(13/01/30)=28357.520 LOW(12/06/04)=21822.380 CLOSE(13/06/28)=24823.710

10 MAV 50 MAV

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

S&P/HKEx GEM Index

Chart on CloseIndex

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500HIGH(12/04/05)=445.670 LOW(12/10/08)=341.550 CLOSE(13/06/28)=392.100

10 MAV 50 MAV

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



Hong Kong Stock Market Indices

End of Jun 2013 End of Mar 2013Index Close Close Change %

S&P/HKEx LargeCap Index 24,823.71 26,597.26 – 6.67%

S&P/HKEx GEM Index 392.10 400.38 – 2.07%

HANG SENG INDEX 20,803.29 22,299.63 – 6.71%SECTORIAL INDICES Finance 29,297.68 31,536.57 – 7.10% Utilities 50,801.22 56,114.25 – 9.47% Properties 28,436.00 30,591.29 – 7.05% Commerce & Industry 11,653.99 12,360.83 – 5.72%

HANG SENG CHINA-AFFILIATED CORPORATIONS INDEX 4,028.72 4,362.55 – 7.65%HANG SENG CHINA ENTERPRISES INDEX 9,311.44 10,896.22 – 14.54%



WORLD INDICES

End of Jun 2013 End of Mar 2013Index Close Close Change %

HONG KONG S&P/HKEx LargeCap Index 24,823.71 26,597.26 – 6.67% Hang Seng Index 20,803.29 22,299.63 – 6.71%AUSTRALIA All Ordinaries Index 4,775.41 4,979.87 – 4.11%JAKARTA Composite Index 4,818.90 4,940.99 – 2.47%JAPAN Nikkei (225) 13,677.32 12,397.91 + 10.32%KOREA Composite Index 1,863.32 2,004.89 – 7.06%KUALA LUMPUR Composite Index 1,773.54 1,671.63 + 6.10%MANILA Composite Index 6,465.28 6,847.47 – 5.58%NEW ZEALAND NZSE (50) 4,440.17 4,422.75 + 0.39%SHANGHAI A Shares Index 2,071.26 2,340.92 – 11.52% B Shares Index 238.66 263.80 – 9.53%SHENZHEN A Shares Index 925.75 967.96 – 4.36% B Shares Index 775.94 791.26 – 1.94%SINGAPORE FTSE Straits Times Index 3,150.44 3,308.10 – 4.77%TAIWAN Taipei Weighted Stock Index 8,062.21 7,918.61 + 1.81%THAILAND SET Index 1,451.90 1,561.06 – 6.99%NEW YORK DJIA 14,909.60 14,578.54 + 2.27% Nasdaq Composite Index 3,403.25 3,267.52 + 4.15%TORONTO S&P/TSX Composite Index 12,129.11 12,749.90 – 4.87%GERMANY DAX Capital Value Index 4,209.43 4,245.47 – 0.85%LONDON FTSE (100) 6,215.47 6,411.70 – 3.06%

Derivatives Market – Futures and Options


Contract Volume by Derivatives Products

ContractsDerivatives product 2nd Quarter 2013 2nd Quarter 2012

Hang Seng Index Futures 5,468,244 5,405,446Hang Seng Index Options 2,598,223 2,661,654Mini-Hang Seng Index Futures 2,169,689 2,278,107Mini-Hang Seng Index Options 335,245 349,946H-shares Index Futures 5,259,192 3,973,006H-shares Index Options 1,910,329 1,609,830Mini H-shares Index Futures 486,689 448,935Flexible Hang Seng Index Options 486 3,500Flexible H-shares Index Options 8,720 2,925HSI Dividend Point Index Futures 1,412 4,329HSCEI Dividend Point Index Futures 54,939 43,884HSI Volatility Index Futures 259 664IBOVESPA Futures 0 7MICEX Index Futures 0 8S&P BSE Sensex Index Futures 0 164FTSE/JSE Top40 Futures 0 0Stock Futures 110,084 60,172Stock Options 15,369,742 13,741,210Three-month HIBOR Futures 0 55One-month HIBOR Futures 0 0Three-year Exchange Fund Note Futures 0 0RMB Currency Futures – USD/CNH Futures1 46,238 –Gold Futures 0 2Total 33,819,491 30,583,844

1 Trading in RMB Currency Futures – USD/CNH Futures commenced on 17 Sep 2012

2 Formerly Sensex Index Futures



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

2012 Q2 5,405,446 103,069 Q3 4,924,352 124,794 Q4 4,882,303 139,3442013 Q1 4,871,620 107,939 Q2 5,468,244 101,093

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

2012 Q2 2,278,107 6,063 Q3 2,086,235 7,350 Q4 1,832,074 6,6382013 Q1 1,873,375 6,897 Q2 2,169,689 7,096

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

2012 Q2 2,661,654 346,519 Q3 2,289,204 364,960 Q4 2,115,315 260,7852013 Q1 2,269,370 316,226 Q2 2,598,223 282,528

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

2012 Q2 3,973,006 127,099 Q3 3,813,494 142,443 Q4 4,276,867 181,9092013 Q1 4,549,577 147,677 Q2 5,259,192 197,763

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

2012 Q2 8,578.21 13,741,210 5,060,742 Q3 7,354.69 13,428,912 4,658,740 Q4 7,341.35 14,366,259 4,031,9612013 Q1 10,840.90 16,408,792 4,758,454 Q2 9,361.17 15,369,742 4,810,169



Stock Options Premium by Classfor 2nd Quarter 2013

PremiumOptions class (HK$ mil.) % of total

X ISHARES A50 A50 884.21 9.45%ABC ABC 123.76 1.32%ANHUI CONCH ACC 52.18 0.56%AIA AIA 295.72 3.16%CHALCO ALC 19.26 0.21%CAM CSI300 AMC 41.63 0.44%BANK OF CHINA BCL 136.67 1.46%BANKCOMM BCM 33.07 0.35%BANK OF E ASIA BEA 2.01 0.02%BELLE INT’L BIH 33.09 0.35%BOC HONG KONG BOC 55.94 0.60%BYD COMPANY BYD 19.55 0.21%CCB CCB 361.76 3.86%CHINA COMM CONS CCC 18.64 0.20%CHINA COAL CCE 46.10 0.49%CHINA COSCO CCS 4.11 0.04%CHINA MOBILE CHT 707.27 7.56%CHINA UNICOM CHU 65.90 0.70%CITIC PACIFIC CIT 23.09 0.25%CHEUNG KONG CKH 273.98 2.93%CHINA LIFE CLI 555.75 5.94%CLP HOLDINGS CLP 19.99 0.21%CM BANK CMB 91.35 0.98%CNOOC CNC 172.37 1.84%CHINA OVERSEAS COL 144.46 1.54%CATHAY PAC AIR CPA 1.71 0.02%SINOPEC CORP CPC 145.68 1.56%CPIC CPI 94.83 1.01%CHINA RAIL CONS CRC 11.07 0.12%CHINA RAILWAY CRG 4.73 0.05%X WISECSI300ETF CS3 1.08 0.01%CSOP A50 ETF CSA 79.69 0.85%CHINA SHENHUA CSE 162.93 1.74%CITIC BANK CTB 11.41 0.12%CHINA TELECOM CTC 28.09 0.30%ESPRIT HOLDINGS ESP 5.39 0.06%FIH FIH 3.46 0.04%GALAXY ENT GLX 519.85 5.55%POWER ASSETS HEH 48.84 0.52%HKEX HEX 288.38 3.08%HSBC HOLDINGS HKB 505.68 5.40%HK & CHINA GAS HKG 15.47 0.17%HENDERSON LAND HLD 36.22 0.39%HUANENG POWER HNP 38.48 0.41%HANG SENG BANK HSB 11.16 0.12%HUTCHISON HWL 262.00 2.80%ICBC ICB 261.16 2.79%JIANGXI COPPER JXC 101.12 1.08%LI & FUNG LIF 45.45 0.49%MTR CORPORATION MTR 11.79 0.13%CNBM NBM 87.13 0.93%NEW WORLD DEV NWD 36.19 0.39%PING AN PAI 610.47 6.52%PETROCHINA PEC 164.83 1.76%PICC P&C PIC 60.24 0.64%R&F PROPERTIES RFP 3.79 0.04%SANDS CHINA LTD SAN 229.80 2.45%SHK PPT SHK 337.62 3.61%STANCHART STC 5.51 0.06%SWIRE PACIFIC A SWA 33.06 0.35%TENCENT TCH 662.40 7.08%TRACKER FUND TRF 8.96 0.10%WHARF HOLDINGS WHL 82.08 0.88%YANZHOU COAL YZC 145.80 1.56%ZIJIN MINING ZJM 15.77 0.17%Total 9,361.17 100.00%



Stock Options Contract Volume by Classfor 2nd Quarter 2013 ContractOptions class volume % of total

X ISHARES A50 A50 570,849 3.71%ABC ABC 74,058 0.48%ANHUI CONCH ACC 96,358 0.63%AIA AIA 383,847 2.50%CHALCO ALC 52,265 0.34%CAM CSI300 AMC 28,952 0.19%BANK OF CHINA BCL 1,023,281 6.66%BANKCOMM BCM 135,503 0.88%BANK OF E ASIA BEA 13,002 0.08%BELLE INT’L BIH 77,626 0.51%BOC HONG KONG BOC 173,573 1.13%BYD COMPANY BYD 26,016 0.17%CCB CCB 1,666,585 10.84%CHINA COMM CONS CCC 86,743 0.56%CHINA COAL CCE 110,077 0.72%CHINA COSCO CCS 23,854 0.16%CHINA MOBILE CHT 825,706 5.37%CHINA UNICOM CHU 78,363 0.51%CITIC PACIFIC CIT 44,378 0.29%CHEUNG KONG CKH 153,648 1.00%CHINA LIFE CLI 672,744 4.38%CLP HOLDINGS CLP 43,026 0.28%CM BANK CMB 320,843 2.09%CNOOC CNC 329,314 2.14%CHINA OVERSEAS COL 97,238 0.63%CATHAY PAC AIR CPA 4,054 0.03%SINOPEC CORP CPC 266,635 1.73%CPIC CPI 87,843 0.57%CHINA RAIL CONS CRC 39,281 0.26%CHINA RAILWAY CRG 19,656 0.13%X WISECSI300ETF CS3 862 0.01%CSOP A50 ETF CSA 57,334 0.37%CHINA SHENHUA CSE 213,997 1.39%CITIC BANK CTB 57,580 0.37%CHINA TELECOM CTC 86,530 0.56%ESPRIT HOLDINGS ESP 117,142 0.76%FIH FIH 15,511 0.10%GALAXY ENT GLX 460,045 2.99%POWER ASSETS HEH 59,405 0.39%HKEX HEX 948,048 6.17%HSBC HOLDINGS HKB 786,732 5.12%HK & CHINA GAS HKG 33,846 0.22%HENDERSON LAND HLD 32,295 0.21%HUANENG POWER HNP 50,331 0.33%HANG SENG BANK HSB 45,923 0.30%HUTCHISON HWL 178,975 1.16%ICBC ICB 1,392,537 9.06%JIANGXI COPPER JXC 161,775 1.05%LI & FUNG LIF 63,072 0.41%MTR CORPORATION MTR 33,857 0.22%CNBM NBM 96,041 0.62%NEW WORLD DEV NWD 64,441 0.42%PING AN PAI 573,220 3.73%PETROCHINA PEC 267,906 1.74%PICC P&C PIC 66,727 0.43%R&F PROPERTIES RFP 15,469 0.10%SANDS CHINA LTD SAN 524,971 3.42%SHK PPT SHK 161,851 1.05%STANCHART STC 34,050 0.22%SWIRE PACIFIC A SWA 39,211 0.26%TENCENT TCH 959,503 6.24%TRACKER FUND TRF 26,535 0.17%WHARF HOLDINGS WHL 57,515 0.37%YANZHOU COAL YZC 120,036 0.78%ZIJIN MINING ZJM 41,151 0.27%Total 15,369,742 100.00%

Clearing & Settlement


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

2012 Q2 70,419 43.03 179.84 Q3 66,152 42.10 156.14 Q4 76,640 50.63 198.542013 Q1 89,261 59.01 268.79 Q2 81,848 58.43 218.85

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

2012 Q2 329 115.35 254.73 Q3 313 96.41 164.42 Q4 378 114.69 213.722013 Q1 463 240.85 251.98 Q2 386 70.50 229.88

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

2012 Q2 3,713.59 70.37 10,006.88 50.29 Q3 3,672.03 69.98 10,816.76 50.71 Q4 3,663.66 70.30 12,330.06 51.732013 Q1 3,673.74 69.58 12,345.00 51.66 Q2 3,726.30 70.11 11,616.39 51.72

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



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

2012 Q2 737,075 100 135,165.30 100 50,166.62 100 Q3 686,075 100 127,363.30 100 46,310.30 100 Q4 804,910 100 127,520.75 100 55,786.39 1002013 Q1 990,740 100 172,627.79 100 74,164.38 100 Q2 960,186 100 145,842.29 100 62,161.42 100

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) (%)

2012 Q2 52,112 96.20 15,324.06 94.21 Q3 51,862 95.93 15,577.24 93.76 Q4 61,879 95.79 19,248.65 92.002013 Q1 71,626 96.07 24,342.25 92.71 Q2 65,358 96.26 20,347.75 92.80

Average Daily Settlement Efficiency of CNS Stock Positions

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

2012 Q2 99.91 99.99 Q3 99.91 99.99 Q4 99.90 99.992013 Q1 99.91 99.99 Q2 99.89 99.99



Open Interest by Derivatives Products

ContractsDerivatives product 2nd Quarter 2013 2nd Quarter 2012

Hang Seng Index Futures 101,093 103,069Hang Seng Index Options 282,528 346,519Mini-Hang Seng Index Futures 7,096 6,063Mini-Hang Seng Index Options 8,909 12,617H-shares Index Futures 197,763 127,099H-shares Index Options 973,057 361,728Mini H-shares Index Futures 4,047 3,236Flexible Hang Seng Index Options 10,932 11,010Flexible H-shares Index Options 24,516 7,125HSI Dividend Point Index Futures 5,259 5,412HSCEI Dividend Point Index Futures 75,519 59,548HSI Volatility Index Futures 46 77IBOVESPA Futures 0 0MICEX Index Futures 0 0S&P BSE Sensex Index Futures2 0 23FTSE/JSE Top40 Futures 0 0Stock Futures 18,258 10,510Stock Options 4,810,169 5,060,742Three-month HIBOR Futures 0 65One-month HIBOR Futures 0 0Three-year Exchange Fund Note Futures 0 0RMB Currency Futures – USD/CNH Futures1 7,028 –Gold Futures 0 0

Total 6,526,220 6,114,8431 Trading in RMB Currency Futures – USD/CNH Futures commenced on 17 Sep 20122 Formerly Sensex Index Futures



Stock Options Open Interest by Classas at the end of 2nd Quarter 2013 Open interestOptions class (contracts) % of total

X ISHARES A50 A50 173,651 3.61ABC ABC 28,421 0.59ANHUI CONCH ACC 20,269 0.42AIA AIA 89,826 1.87CHALCO ALC 14,322 0.30CAM CSI300 AMC 11,148 0.23BANK OF CHINA BCL 595,383 12.38BANKCOMM BCM 68,540 1.42BANK OF E ASIA BEA 5,645 0.12BELLE INT’L BIH 15,709 0.33BOC HONG KONG BOC 46,728 0.97BYD COMPANY BYD 4,342 0.09CCB CCB 700,456 14.56CHINA COMM CONS CCC 19,428 0.40CHINA COAL CCE 61,235 1.27CHINA COSCO CCS 13,072 0.27CHINA MOBILE CHT 182,340 3.79CHINA UNICOM CHU 27,046 0.56CITIC PACIFIC CIT 15,466 0.32CHEUNG KONG CKH 24,661 0.51CHINA LIFE CLI 147,690 3.07CLP HOLDINGS CLP 14,840 0.31CM BANK CMB 93,955 1.95CNOOC CNC 137,522 2.86CHINA OVERSEAS COL 31,320 0.65CATHAY PAC AIR CPA 3,163 0.07SINOPEC CORP CPC 118,551 2.46CPIC CPI 21,963 0.46CHINA RAIL CONS CRC 17,139 0.36CHINA RAILWAY CRG 7,789 0.16X WISECSI300ETF CS3 454 0.01CSOP A50 ETF CSA 17,588 0.37CHINA SHENHUA CSE 85,299 1.77CITIC BANK CTB 20,997 0.44CHINA TELECOM CTC 33,466 0.70ESPRIT HOLDINGS ESP 13,614 0.28FIH FIH 5,078 0.11GALAXY ENT GLX 84,016 1.75POWER ASSETS HEH 14,668 0.30HKEX HEX 170,957 3.55HSBC HOLDINGS HKB 196,279 4.08HK & CHINA GAS HKG 10,684 0.22HENDERSON LAND HLD 6,093 0.13



Open interestOptions class (contracts) % of total

HUANENG POWER HNP 17,175 0.36HANG SENG BANK HSB 18,175 0.38HUTCHISON HWL 33,131 0.69ICBC ICB 593,666 12.34JIANGXI COPPER JXC 24,104 0.50LI & FUNG LIF 26,582 0.55MTR CORPORATION MTR 12,868 0.27CNBM NBM 27,745 0.58NEW WORLD DEV NWD 19,591 0.41PING AN PAI 158,247 3.29PETROCHINA PEC 101,748 2.12PICC P&C PIC 18,251 0.38R&F PROPERTIES RFP 4,502 0.09SANDS CHINA LTD SAN 105,480 2.19SHK PPT SHK 26,392 0.55STANCHART STC 11,377 0.24SWIRE PACIFIC A SWA 10,186 0.21TENCENT TCH 155,661 3.24TRACKER FUND TRF 13,336 0.28WHARF HOLDINGS WHL 11,473 0.24YANZHOU COAL YZC 37,952 0.79ZIJIN MINING ZJM 11,714 0.24

Total 4,810,169 100.00

Exchange Participants Statistics


Stock Exchange

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

2012 Q2 563 (988) 503 (921) 39 (46) 21 (21) Q3 568 (994) 506 (923) 41 (50) 21 (21) Q4 571 (996) 511 (928) 39 (47) 21 (21)2013 Q1 572 (997) 509 (924) 42 (52) 21 (21) Q2 569 (987) 507 (918) 42 (49) 20 (20)

( ) No. of trading rights

Futures Exchange

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

2012 Q2 234 (258) 185 (207) – 49 (51) Q3 235 (259) 185 (207) – 50 (52) Q4 234 (258) 185 (207) – 49 (51)2013 Q1 230 (254) 181 (203) – 49 (51) Q2 233 (257) 180 (202) – 53 (55)

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

2012 Q2 158 10 Q3 158 9 Q4 158 92013 Q1 154 8 Q2 154 8

SEOCH Participants

General ClearingYear/month Direct Clearing Participants Participants

2012 Q2 59 8 Q3 62 8 Q4 63 92013 Q1 63 9 Q2 62 9

HKSCC Participants

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

2012 Q2 489 8 48 Q3 491 9 47 Q4 493 9 462013 Q1 491 9 45 Q2 488 9 44

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

Acronyms


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

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