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SECURITIES AND

DERIVATIVES MARKETS

QUARTERLY REPORT

Third Quarter 2015

Market Highlights

1 Securities and Derivatives Markets Quarterly Report (3rd Quarter 2015)

Main Board

Highlights 3rd Quarter 2015 3rd Quarter 2014

No. of listed companies 1,605 1,521No. of listed securities 10,009 8,955 Equities Ordinary shares 1,606 1,522 Preference shares 7 3 Warrants 5,646 4,801 Equity 13 7 Derivative 5,633 4,794 Equity linked instrument 0 0 Callable bull/bear contracts 1,871 1,918 Unit trusts/mutual funds 143 133 Debt securities 736 578No. of trading only stocks Nasdaq stocks 6 7 iShares 2 2

No. of trading days 63 64Total turnover in value (HK$ mil.) * 6,343,886.31 4,496,605.26Total turnover in shares (Mil. shs) 14,175,931.32 9,376,840.85Total number of trades (deals) 92,852,311 65,411,508Total market capitalisation (HK$ mil.) 22,965,987.58 24,248,110.50Average P/E ratio (times) 9.40 10.69Average dividend yield (%) 3.59 3.41Number of exchange participants

– Trading 505 499– Non-trading 35 37

Turnover in value (HK$ mil.)Highest 235,970.30 (08/07) 100,486.84 (03/09)Lowest 63,691.03 (15/09) 42,906.47 (21/07)

Turnover in shares (Mil. shs)Highest 315,750.42 (06/07) 194,955.84 (10/09)Lowest 154,178.41 (07/09) 94,484.29 (21/07)

Total number of trades (deals)Highest 3,179,179 (08/07) 1,354,621 (03/09)Lowest 990,482 (14/08) 706,292 (21/07)

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

Market Highlights


Growth Enterprise Market (GEM)


No. of listed companies 211 200No. of listed securities 212 200 Equities 211 200 Warrants 1 0

No. of trading days 63 64Total turnover in value (HK$ mil.) * 51,374.04 39,161.42Total turnover in shares (Mil. shs) 138,270.91 91,704.03Total number of trades (deals) 1,382,669 1,013,981Total market capitalisation (HK$ mil.) 224,157.68 180,171.37Average P/E ratio (times) 68.53 11.52Average dividend yield (%) 0.46 0.62

Turnover in value (HK$ mil.)Highest 2,105.44 (06/07) 1,357.85 (25/09)Lowest 316.14 (04/09) 371.61 (25/07)

Turnover in shares (Mil. shs)Highest 5,252.77 (06/07) 2,748.30 (25/09)Lowest 1,077.71 (24/09) 825.32 (25/08)

Total number of trades (deals)Highest 59,485 (06/07) 26,215 (25/09)Lowest 9,884 (04/09) 10,704 (14/07)

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

Market Highlights


Derivatives Market Highlights


All futures and options products (excluding stock options)No. of trading days 63.0 64.0Total contract volume 27,928,170 16,183,661 Equity index products 27,662,011 16,017,437 Equity products 170,322 123,371 Interest rates products 13 10 RMB Currency Futures 86,580 42,843 Gold Futures # – 0 London Metal Mini Futures * 9,244 –Average daily contract volume 443,304 252,870

Total open interest as at the quarter end (contracts) 3,043,778 1,964,462 Equity index products 3,010,043 1,932,837 Equity products 17,768 20,040 Interest rates products 3 5 RMB Currency Futures 15,645 11,580 Gold Futures # – 0 London Metal Mini Futures * 319 –

* Trading in London Metal Mini Futures commenced on 01 Dec 2014# Trading in Gold Futures suspended with effect from 27 May 2015

Stock optionsNo. of newly introduced stock options classes 0 3No. of stock options as at the quarter end Class 82 77 Series 33,116 21,888

Total premium (HK$ mil.) 22,706.73 11,835.64 Call 7,921.17 6,183.52 Put 14,785.56 5,652.12Average daily premium (HK$ mil.) 360.42 184.93Total contract volume 23,674,156 19,462,284 Call 11,329,178 10,154,013 Put 12,344,978 9,308,271Average daily contract volume 375,780 304,098Total open interest as at the quarter end (contracts) 6,679,004 6,016,138 Call 3,203,591 2,756,132 Put 3,475,413 3,260,006Total number of trades 1,063,632 776,920Average daily number of trades 16,883 12,139Total contracts exercised 2,975,292 1,773,366Average premium per contract (HK$) 959.14 608.13Average contract per trade (contracts) 22 25

Put volume/call volume 1.09 0.92Average daily contract volume/open interest 5.6% 5.1%

All futures and options productsTotal contract volume 51,602,326 35,645,945Total open interest as at the quarter end (contracts) 9,722,782 7,980,600

Market Highlights


Clearing and Settlement Statistics

Securities Market 3rd Quarter 2015 3rd Quarter 2014

Average Daily Exchange Trades Handled by CCASS– Number of trades 1,449,054 1,037,135– Value of trades (HK$bil.) 98.7 70.7– Share quantity Involved (bil shares) 226.6 147.9Average Daily Settlement Instructions (“SIs”) Settled by CCASS– Number of SIs 101,225 87,928– Value of SIs (HK$bil.) 244.0 206.3– Share quantity involved (bil. Shares) 58.3 57.8Average Daily Investor SIs (“ISIs”) Settled by CCASS– Number of ISIs 390 406– Value of ISIs (HK$mil.) 220.3 166.2– Share quantity involved (mil. shares) 193.1 69.3Average Daily Settlement Efficiency of CNS Stock Positions on Due Day (T+2) (%) 99.93 99.90Average Daily Settlement Efficiency of CNS Stock Positions on the Day following the Due Day (T+3) (%) 99.99 99.99Average Daily Buy-ins Executed on T+3– Number of brokers involved 4 5– Number of buy-ins 4 5– Value of buy-ins (HK$mil) 4.2 2.6Shares Deposited in the CCASS Depository *– Number of shares (bil shares) 5,398.0 4,262.9– Percentage of total issued shares of the admitted securities 74.44 71.01– Value of shares (HK$bil) 14,074.1 14,144.9– Percentage of the total market capitalisation of the admitted securities 56.13 52.56Derivatives MarketOpen Interest– Equity Index Futures 548,207 439,167– Stock Futures 17,768 20,040– Gold Futures ^ – 0– Interest Rates Futures 3 5– RMB Currency Futures 15,645 11,580– London Metal Mini Futures # 319 –– Equity Index Options 2,461,836 1,493,670– Stock Options 6,679,004 6,016,138Cumulative Stock Options Exercised– Share quantity involved (mil. shs) 3,703 1,942– Value of shares (HK$bil.) 67 41

* Share quantity and market value of securities in non-HKD currency are included# Trading in London Metal Mini Futures commenced on 01 Dec 2014^ Trading in Gold Futures suspended with effect from 27 May 2015

Main Board Equities


Equity Turnover

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

2014 Q3 875,838.39 3,158,832.53 52,249,276 Q4 946,664.36 3,489,289.62 56,518,3772015 Q1 774,786.99 3,405,759.83 56,467,243 Q2 2,486,785.70 6,796,873.72 94,261,256 Q3 1,241,453.02 4,136,147.76 73,808,111

Equity Trading Statistics

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

2014 Q3 64 49,356.76 60,457 Q4 62 56,278.86 61,7372015 Q1 61 55,832.13 60,314 Q2 60 113,281.23 72,107 Q3 63 65,653.14 56,039

Main Board Equities


20 Most Advanced Stocksfor 3rd quarter 2015

Closing priceRank Code Stock End of Sep 2015 End of Jun 2015 % up

1 01321 CHINA NEWCITY 10.980 3.170 246.37 2 01048 NOVO GROUP 3.570 1.490 139.60 3 02212 FB MINING 2.840 1.220 132.79 4 01315 VISION FAME 5.600 2.820 98.58 5 00708 EVERG HEALTH 1.020 0.525 A 94.29 6 02098 ZALL DEV 5.180 3.100 67.10 7 00530 GOLDIN FIN HOLD 16.500 9.980 65.33 8 01253 BROADGREENSTATE 1.700 1.053 A 61.44 9 06863 HUISHAN DAIRY 2.790 1.770 57.63 10 00901 EAGLERIDE INV 1.020 0.680 50.00 11 00147 CHAOYUE GROUP 0.660 0.450 46.67 12 03813 POU SHENG INT’L 1.310 0.900 45.56 13 00251 SEA HOLDINGS 8.830 6.230 41.73 14 01636 CMRU 2.370 1.740 36.21 15 01368 XTEP INT’L 3.850 2.840 35.56 16 00776 JF FURNISHINGS 8.510 6.400 32.97 17 00676 PEGASUS INT’L 2.200 1.660 32.53 18 02066 SHENGJINGBANK 10.920 8.540 27.87 19 00819 TIANNENG POWER 4.700 3.700 27.03 20 00628 SINO CREDIT 1.570 1.260 24.60

A Adjusted

20 Most Declined Stocksfor 3rd quarter 2015

Closing priceRank Code Stock End of Sep 2015 End of Jun 2015 % down

1 00736 CHINA PPT INV 0.127 2.370 -94.64 2 01246 NGAISHUN HOLD 0.015 0.140 A -89.29 3 00269 CRTG 0.034 0.168 -79.76 4 00263 GT GROUP HLDG 0.920 4.430 -79.23 5 00943 EFORCE HOLDINGS 0.106 0.495 -78.59 6 01226 CH INV FIN GP 0.080 0.320 -75.00 7 00326 CHINA STAR ENT 0.030 0.119 -74.79 8 00433 NORTH MINING 0.091 0.350 -74.00 9 01227 NATIONAL INV 0.300 1.070 -71.96 10 01328 INT’L ELITE 0.228 0.800 -71.50 11 00149 CH AGRI-PROD EX 0.116 0.390 -70.26 12 00205 SEEC MEDIA 0.130 0.420 -69.05 13 00805 GLENCORE-S 9.990 31.750 -68.54 14 00585 IMAGI INT’L 0.112 0.350 -68.00 15 00036 FE HLDGS INTL 1.050 3.250 -67.69 16 01613 SYNERTONE 0.158 0.485 -67.42 17 00401 WANJIA GROUP 0.580 1.700 -65.88 18 01280 HUIYIN SMARTCOM 0.670 1.950 -65.64 19 00847 KAZ MINERALS-S 8.950 26.000 -65.58 20 00643 CARRY WEALTH 1.320 3.770 -64.99

A Adjusted

Main Board Equities


20 Most Active Stocks by Valuefor 3rd quarter 2015Rank Code Stock Turnover (HK$ mil.) % of total

1 00700 TENCENT 200,323.35 4.84 2 02318 PING AN 151,924.15 3.67 3 00388 HKEX 141,866.61 3.43 4 00939 CCB 118,883.29 2.87 5 01398 ICBC 111,827.29 2.70 6 00941 CHINA MOBILE 111,140.84 2.69 7 03988 BANK OF CHINA 101,329.60 2.45 8 01299 AIA 92,612.52 2.24 9 00005 HSBC HOLDINGS 89,223.76 2.16 10 02628 CHINA LIFE 85,465.69 2.07 11 06837 HAITONG SEC 54,911.25 1.33 12 00001 CKH HOLDINGS 54,068.20 1.31 13 03968 CM BANK 49,928.74 1.21 14 00857 PETROCHINA 46,109.04 1.11 15 01113 CK PROPERTY 45,715.95 1.11 16 01928 SANDS CHINA LTD 43,299.98 1.05 17 00883 CNOOC 42,921.55 1.04 18 06030 CITIC SEC 41,487.17 1.00 19 00688 CHINA OVERSEAS 40,287.25 0.97 20 00027 GALAXY ENT 36,633.05 0.89

Total 1,659,959.27 40.13

20 Most Active Stock by Sharesfor 3rd quarter 2015Rank Code Stock Turnover (Mil. shs) % of total

1 00261 CCT LAND 103,816.62 8.36 2 01246 NGAISHUN HOLD 32,020.61 2.58 3 03988 BANK OF CHINA 25,479.98 2.05 4 01398 ICBC 21,867.32 1.76 5 00939 CCB 20,012.86 1.61 6 00364 PING SHAN TEA 19,055.15 1.53 7 00433 NORTH MINING 16,283.19 1.31 8 01076 IMPERIAL PAC 14,697.71 1.18 9 00981 SMIC 14,267.56 1.15 10 00136 MASCOTTE HOLD 14,071.13 1.13 11 00736 CHINA PPT INV 13,633.89 1.10 12 00326 CHINA STAR ENT 11,421.16 0.92 13 00493 GOME 10,778.46 0.87 14 01288 ABC 10,546.94 0.85 15 01217 CH INNOVATION 9,551.95 0.77 16 00582 LANDING INTL 9,196.44 0.74 17 00724 SINO-TECH INT’L 8,969.02 0.72 18 01060 ALI PICTURES 7,631.09 0.61 19 01102 ENVIRO ENERGY 7,525.19 0.61 20 00397 JUN YANG FIN 7,469.72 0.60

Total 378,296.00 30.47

Main Board Equities


Market Capitalisation of listed companies for Main Board

HK$ mil.

2014 Q3 24,248,110.50 Q4 24,892,419.042015 Q1 26,534,266.95 Q2 28,754,383.61 Q3 22,965,987.58

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

Properties & Construction(14.31%)

Financials(28.60%)

Telecommunications(10.19%)

Consumer Services(6.02%)

Consumer Goods(11.31%)

Industrials(4.63%)

Materials(1.83%)

Energy(3.78%)

Conglomerates(4.93%)

Information Technology(8.02%)

Utilities (6.37%)

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

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

Main Board Equities


50 Leading Companies by Market Capitalisationas at the 3rd quarter end 2015

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

1 00941 China Mobile Ltd. 1,879,607.87 8.18 2 00939 China Construction Bank Corporation – H Shares 1,238,149.20 5.39 3 00700 Tencent Holdings Ltd. 1,215,539.27 5.29 4 00005 HSBC Holdings plc 1,127,813.07 4.91 5 01299 AIA Group Ltd. 482,511.04 2.10 6 00267 CITIC Ltd. 410,172.70 1.79 7 02378 Prudential plc * – 407,515.43 N.A. 8 01398 Industrial and Commercial Bank of China Ltd. – H Shares 387,101.44 1.69 9 00001 CK Hutchison Holdings Ltd. 386,739.79 1.68 10 00883 CNOOC Ltd. 354,054.33 1.54 11 00016 Sun Hung Kai Properties Ltd. 289,108.90 1.26 12 02318 Ping An Insurance (Group) Co. of China Ltd. – H Shares 285,614.57 1.24 13 03988 Bank of China Ltd. – H Shares 278,462.18 1.21 14 00011 Hang Seng Bank Ltd. 266,128.51 1.16 15 02388 BOC Hong Kong (Holdings) Ltd. 240,530.75 1.05 16 00762 China Unicom (Hong Kong) Ltd. 234,920.87 1.02 17 00945 Manulife Financial Corporation * – 233,199.61 N.A. 18 00688 China Overseas Land & Investment Ltd. 230,737.60 1.00 19 01113 Cheung Kong Property Holdings Ltd. 217,492.88 0.95 20 00388 Hong Kong Exchanges and Clearing Ltd. 213,669.22 0.93 21 02628 China Life Insurance Co. Ltd. – H Shares 199,423.49 0.87 22 00066 MTR Corporation Ltd. 196,526.59 0.86 23 02888 Standard Chartered PLC 189,619.70 0.83 24 03328 Bank of Communications Co., Ltd. – H Shares 188,013.70 0.82 25 01928 Sands China Ltd. 188,010.89 0.82 26 01038 Cheung Kong Infrastructure Holdings Ltd. 174,483.06 0.76 27 00003 Hong Kong and China Gas Co. Ltd., The 167,879.33 0.73 28 00002 CLP Holdings Ltd. 167,124.71 0.73 29 00566 Hanergy Thin Film Power Group Ltd. 163,231.16 0.71 30 00006 Power Assets Holdings Ltd. 156,014.53 0.68 31 00012 Henderson Land Development Co. Ltd. 152,368.55 0.66 32 00805 Glencore plc * – 132,501.42 N.A. 33 00004 Wharf (Holdings) Ltd., The 131,849.69 0.57 34 00019 Swire Pacific Ltd. 125,998.87 0.55 35 01109 China Resources Land Ltd. 125,865.86 0.55 36 01972 Swire Properties Ltd. 125,190.00 0.55 37 00386 China Petroleum & Chemical Corporation – H Shares 120,168.30 0.52 38 00530 Goldin Financial Holdings Ltd. 115,280.25 0.50 39 00857 PetroChina Co. Ltd. – H Shares 113,301.09 0.49 40 00656 Fosun International Ltd. 102,977.89 0.45 41 01044 Hengan International Group Co. Ltd. 92,256.15 0.40 42 01288 Agricultural Bank of China Ltd. – H Shares 90,064.75 0.39 43 00966 China Taiping Insurance Holdings Co. Ltd. 86,436.15 0.38 44 03968 China Merchants Bank Co., Ltd. – H Shares 85,849.85 0.37 45 00836 China Resources Power Holdings Co. Ltd. 84,858.09 0.37 46 00027 Galaxy Entertainment Group Ltd. 83,886.11 0.37 47 00151 Want Want China Holdings Ltd. 83,240.78 0.36 48 02601 China Pacific Insurance (Group) Co., Ltd. – H Shares 79,512.35 0.35 49 00101 Hang Lung Properties Ltd. 78,066.46 0.34 50 01913 PRADA S.p.A. 75,997.07 0.33Total 13,481,849.60 58.70Market Total 22,965,987.58 100.00

Notes:

* not included in Market Total

Main Board Equities


Short Selling (value)

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

2014 Q3 464,325.10 4,535,766.69 10.24 Q4 537,312.82 5,005,118.22 10.742015 Q1 502,684.62 5,272,006.50 9.53 Q2 812,595.30 9,894,068.82 8.21 Q3 673,434.03 6,395,260.35 10.53

* Included Market total for Main Board and GEM

Short Selling (share)

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

2014 Q3 45,864.62 9,468,544.88 0.48 Q4 50,290.13 9,599,469.09 0.522015 Q1 42,342.54 11,464,887.20 0.37 Q2 66,878.15 14,614,838.29 0.46 Q3 63,796.36 14,314,202.23 0.45

* 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.) #

2014 Q3 27 2 48,806.13 Q4 27 1 100,054.422015 Q1 16 3 19,653.73 Q2 16 2 108,838.86 Q3 19 7 26,086.55

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

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

Main Board Equities


Newly Listed Companiesfor 3rd quarter 2015

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

03882 Sky Light Holdings Ltd. 2015/07/02 800,319,000 677.0802286 Chen Xing Development Holdings Ltd. 2015/07/03 500,000,000 300.0003839 Chia Tai Enterprises International Ltd. 2015/07/03 240,718,372 –02193 Man King Holdings Ltd. 2015/07/03 415,000,000 92.0001986 Tsaker Chemical Group Ltd. 2015/07/03 501,125,000 505.7606878 Differ Group Holding Co. Ltd. * 2015/07/06 1,000,000,000 –01456 Guolian Securities Co., Ltd. – H Shares 2015/07/06 442,640,000 3,541.1202699 Xinming China Holdings Ltd. 2015/07/06 1,880,000,000 672.1001509 Harmonicare Medical Holdings Ltd. 2015/07/07 770,324,085 1,614.9800799 IGG Inc * 2015/07/07 1,394,753,599 –01461 LUZHENG FUTURES Co. Ltd. – H shares 2015/07/07 277,090,000 919.9406836 Tianyun International Holdings Ltd. 2015/07/07 1,000,000,000 320.0001498 PuraPharm Corporation Ltd. 2015/07/08 225,000,000 425.3602666 Universal Medical Fin & Technical Advisory Services Co. Ltd. 2015/07/08 1,716,304,580 3,654.3203737 Zhongzhi Pharmaceutical Holdings Ltd. 2015/07/13 800,000,000 492.0006896 Golden Throat Holdings Group Co. Ltd. 2015/07/15 749,183,000 940.3001486 C Cheng Holdings Ltd. * 2015/08/03 180,000,000 –03966 Mastercraft International Holdings Ltd. * 2015/08/05 480,000,000 –03969 China Railway Signal & Communication Corporation Ltd. -H Shs 2015/08/07 1,968,801,000 11,275.8601718 Wan Kei Group Holdings Ltd. 2015/08/11 800,000,000 170.0001483 U Banquet Group Holding Ltd. * 2015/08/31 465,000,000 –01499 LEAP Holdings Group Ltd. 2015/09/02 2,288,000,000 143.0000863 Branding China Group Ltd. * 2015/09/08 246,810,194 –01683 LC Group Holdings Ltd. 2015/09/08 500,000,000 125.0000974 China Shun Ke Long Holdings Ltd. 2015/09/10 290,457,000 217.7302086 Advanced Card Systems Holdings Ltd. * 2015/09/29 284,057,682 –Total 26,086.55

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

Rules effective from 1 July 2008.

Main Board Equities


Withdrawal of Listed Companiesfor 3rd quarter 2015

Code Company name Last trading date Delisted date

06883 Melco Crown Entertainment Ltd. 2015/06/29 2015/07/06

Main Board Equities


Company Name Changesfor 3rd quarter 2015

Code Old name New name Effective date Adoption date

00648 China Renji Medical Group Ltd. China Wah Yan Healthcare Ltd. 2015/06/25 2015/07/0300413 South China (China) Ltd. South China Holdings Co. Ltd. 2015/06/09 2015/07/0800589 Ports Design Ltd. Portico International Holdings Ltd. 2015/06/04 2015/07/1501332 Qualipak International Holdings Ltd. China Optoelectronics Holding Group Co., Ltd. 2015/06/19 2015/07/1600885 Forefront Group Ltd. Rentian Technology Holdings Ltd. 2015/07/14 2015/07/2000279 Freeman Financial Corporation Ltd. # Freeman Financial Corporation Ltd. 2015/06/24 2015/07/2000875 Cypress Jade Agricultural Holdings Ltd. China Finance Investment Holdings Ltd. 2015/07/06 2015/07/2200065 DeTeam Co. Ltd. Grand Ocean Advanced Resources Co. Ltd. 2015/06/16 2015/07/2202211 Jintian Pharmaceutical Group Ltd. Universal Health International Group Holding Ltd. 2015/06/18 2015/07/2400428 Harmony Asset Ltd. Huge China Holdings Ltd. 2015/06/29 2015/07/2900273 Willie International Holdings Ltd. Mason Financial Holdings Ltd. 2015/07/09 2015/07/2901201 Kith Holdings Ltd. Tesson Holdings Ltd. 2015/06/30 2015/07/3000915 Linmark Group Ltd. Daohe Global Group Ltd. 2015/06/23 2015/07/3002389 Genvon Group Ltd. Beijing Enterprises Medical and Health Industry Group Ltd. 2015/07/09 2015/08/0302255 Haichang Holdings Ltd. Haichang Ocean Park Holdings Ltd. 2015/06/30 2015/08/0301250 Jin Cai Holdings Co. Ltd. Beijing Enterprises Clean Energy Group Ltd. 2015/06/26 2015/08/0300472 JLF Investment Co. Ltd. New Silkroad Culturaltainment Ltd. 2015/07/10 2015/08/0300109 Good Fellow Resources Holdings Ltd. Good Resources Holdings Ltd. 2015/06/29 2015/08/0400334 Proview International Holdings Ltd. TCL Display Technology Holdings Ltd. 2015/06/25 2015/08/0501027 Jicheng Umbrella Holdings Ltd. China Jicheng Holdings Ltd. 2015/06/29 2015/08/1101280 Huiyin Household Appliances (Holdings) Co., Ltd. Huiyin Smart Community Co., Ltd. 2015/07/16 2015/08/1400611 China Nuclear Industry 23 International Corporation Ltd. China Nuclear Energy Technology Corporation Ltd. 2015/07/14 2015/08/1701322 CW Group Holdings Ltd. # CW Group Holdings Ltd. 2015/06/29 2015/08/1900397 Jun Yang Solar Power Investments Ltd. Jun Yang Financial Holdings Ltd. 2015/08/04 2015/09/0801269 China Vehicle Components Technology Holdings Ltd. China First Capital Group Ltd. 2015/08/17 2015/09/1400817 Franshion Properties (China) Ltd. China Jinmao Holdings Group Ltd. 2015/09/09 2015/09/1600185 Heng Fai Enterprises Ltd. ZH International Holdings Ltd. 2015/09/07 2015/09/1601141 Mission Capital Holdings Ltd. Skyway Securities Group Ltd. 2015/08/13 2015/09/1701365 China Rundong Auto Group Ltd. China Greenland Rundong Auto Group Ltd. 2015/08/14 2015/09/2302080 Magnum Entertainment Group Holdings Ltd. AUX International Holdings Ltd. 2015/08/27 2015/09/30

# Change of Chinese name only

Main Board Equities


Bonus Issues/Bonus Warrantsfor 3rd quarter 2015

Code Company Particulars Ex-date

03777 China Fiber Optic Network System Group Ltd. 2 for 10 2015/07/0201513 Livzon Pharmaceutical Group Inc. – H Shares 3 for 10 2015/07/0200239 Pak Fah Yeow International Ltd. 1 for 5 2015/07/0201103 Shanghai Tonva Petrochemical Co., Ltd. – H Shares 5 for 10 2015/07/0201082 Hong Kong Education (Int’l) Investments Ltd. 1 for 2 rts shares 2015/07/0700885 Rentian Technology Holdings Ltd. 9 for 1 2015/07/0802341 EcoGreen International Group Ltd. 1 for 10 2015/07/1300738 Le Saunda Holdings Ltd. 1 for 10 2015/07/1602338 Weichai Power Co. Ltd. – H Shares 10 for 10 2015/07/1601271 Grand Ming Group Holdings Ltd. 1 for 10 2015/07/2702318 Ping An Insurance (Group) Co. of China Ltd. – H Shares 10 for 10 2015/07/2701468 UKF (Holdings) Ltd. 1 for 5 2015/07/2901319 Oi Wah Pawnshop Credit Holdings Ltd. 3 for 1 2015/08/0402228 CECEP COSTIN New Materials Group Ltd. 2 for 1 2015/08/1101246 Ngai Shun Holdings Ltd. 4 for 1 2015/08/2101222 Wang On Group Ltd. 2 for 1 2015/08/2500248 HKC International Holdings Ltd. 1 for 4 2015/08/2700213 National Electronics Holdings Ltd. 1 for 10 2015/08/2700896 Hanison Construction Holdings Ltd. 1 for 4 2015/08/2802333 Great Wall Motor Co. Ltd. – H Shares 20 for 10 2015/09/30

Main Board Equities


Share Split/Consolidationfor 3rd quarter 2015

Code Company Particulars Effective date

01699 China Putian Food Holding Ltd. Split 1 into 2 2015/07/0202728 Yuhua Energy Holdings Ltd. Split 1 into 2 2015/07/0801069 China Agroforestry Low-Carbon Holdings Ltd. Split 1 into 5 2015/07/0900802 RCG Holdings Ltd. Consolidation 4 into 1 2015/07/2001363 CT Environmental Group Ltd. Split 1 into 4 2015/07/2201326 Pegasus Entertainment Holdings Ltd. Split 1 into 4 2015/07/2200745 China National Culture Group Ltd. Consolidation 2 into 1 2015/07/2400413 South China Holdings Co. Ltd. Split 1 into 2 2015/07/2400931 China LNG Group Ltd. Split 1 into 5 2015/08/1000854 Willas-Array Electronics (Holdings) Ltd. Consolidation 5 into 1 2015/08/1703823 Tech Pro Technology Development Ltd. Split 1 into 4 2015/08/1801253 Broad Greenstate International Co. Ltd. Split 1 into 4 2015/08/1900708 Evergrande Health Industry Group Ltd. Split 1 into 10 2015/08/2500378 CIAM Group Ltd. Split 1 into 5 2015/09/1400299 SinoCom Software Group Ltd. Split 1 into 10 2015/09/1601360 Mega Expo Holdings Ltd. Split 1 into 5 2015/09/2201335 Sheen Tai Holdings Group Co. Ltd. Split 1 into 4 2015/09/25

Main Board Equities


Rights Issues & Open Offersfor 3rd quarter 2015

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

Jul 01104 APAC Resources Ltd. Open offer 1 for 2 @$0.10 306.39 00254 National United Resources Holdings Ltd. Open offer 1 for 2 @$0.26 484.03 01136 TCC International Holdings Ltd. Rts 1 for 2 @$2.20 3,625.21 02324 Capital VC Ltd. Open offer 7 for 1 @$0.25 342.35 (after consolidation 5 into 1) 00275 Hanny Holdings Ltd. Rts 6 for 1 @$0.16 770.55 (after consolidation 2 into 1) 00582 Landing International Development Ltd. Rts 10 for 1 @$0.35 6,543.69 (after consolidation 10 into 1) 00305 Wuling Motors Holdings Ltd. Open offer 1 for 5 @$0.70 212.52 01036 Vanke Property (Overseas) Ltd. Rts 1 for 2 @$8.04 1,043.93 00769 China Rare Earth Holdings Ltd. Rts 2 for 5 @$0.60 401.43 01082 Hong Kong Education (Int’l) Investments Ltd. Rts 4 for 1 @$0.295 384.61 with bonus 1 for 2 rts shs 01029 IRC Ltd. Open offer 4 for 15 @$0.315 408.23Aug 00313 Richly Field China Development Ltd. Open offer 1 for 3 @$0.083 246.65 01046 Universe International Holdings Ltd. Rts 2 for 1 @$0.202 120.55 00181 Fujian Holdings Ltd. Open offer 1 for 2 @$0.40 106.85 00235 China Strategic Holdings Ltd. Rts 1 for 2 @$0.15 499.39 00764 Eternity Investment Ltd. Rts 1 for 1 @$0.70 413.00 00802 RCG Holdings Ltd. Open offer 5 for 1 @$0.25 313.28 (after consolidation 4 into 1) 00905 Mastermind Capital Ltd. Open offer 2 for 1 @$0.30 280.56 00745 China National Culture Group Ltd. Open offer 1 for 1 @$0.10 490.72 (after consolidation 2 into 1) 01130 China Environmental Resources Group Ltd. Open offer 1 for 2 @$0.29 136.71 00456 New City Development Group Ltd. Open offer 1 for 4 @$0.28 178.14Sep 00280 King Fook Holdings Ltd. Rts 2 for 5 @$0.60 156.63 01049 Celestial Asia Securities Holdings Ltd. Rts 1 for 2 @$0.40 110.83 02327 U-Home Group Holdings Ltd. Open offer 1 for 2 @$0.26 213.20 00221 PNG Resources Holdings Ltd. Rts 5 for 2 @$0.105 348.32 01111 Chong Hing Bank Ltd. Rts 1 for 2 @$17.05 3,708.38 01303 Huili Resources (Group) Ltd. Open offer 1 for 2 @$0.50 250.00

Total 22,096.15

Main Board Equities


Placing*

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

2015Jul 00800 A8 NEW MEDIA 120,000,000 0.5700 68.40 00630 AMCO UNITED 61,200,000 0.3280 20.07 04605 BOCOM 15USDPREF 122,500,000 156.0000 19,110.00 00718 BESTWAY INT’L 205,000,000 0.8800 180.40 01008 BRILLIANT CIR 79,416,000 1.7000 135.01 00048 C AUTO INT DECO 276,480,000 0.3450 95.39 00149 CH AGRI-PROD EX 387,000,000 0.2450 94.82 00039 CH BEIDAHUANG 39,800,000 2.4300 96.71 00572 CH FOR YOU GP 656,000,000 0.2600 170.56 01041 CH NEW ENGY PWR 390,600,000 0.2010 78.51 00471 CMMB VISION 730,615,382 0.2600 189.96 00080 CNEWECON FUND 103,020,000 0.3850 39.66 00707 CO-PROSPERITY 338,840,000 0.4500 152.48 01678 CREATIVE HOME 180,000,000 1.2800 230.40 01090 DA MING INT’L 103,750,000 3.6900 382.84 00547 DIGITAL DOMAIN 210,000,000 0.4710 98.91 06128 EARTHASIA 20,000,000 1.0500 21.00 00717 EMPEROR CAPITAL 500,000,000 0.8800 440.00 03360 FE HORIZON 658,000,000 6.9000 4,540.20 00801 GOLDEN MEDITECH 140,000,000 1.0000 140.00 00474 HAO TIAN DEV 240,000,000 0.9000 216.00 00145 HK BLDG & LOAN 50,000,000 0.8900 44.50 01673 HUAZHANG TECH 33,000,000 3.6000 118.80 01280 HUIYIN SMARTCOM 35,000,000 1.7700 61.95 00397 JUN YANG FIN 889,300,000 0.1580 140.51 00391 MEI AH ENTER 280,000,000 1.0000 280.00 01107 MODERN LAND 320,000,000 1.0500 336.00 00472 NEW SILKROAD 600,000,000 0.6600 396.00 00055 NEWAY GROUP 352,280,000 0.2400 84.55 00166 NEWTIMES ENERGY 415,000,000 0.2680 111.22 00061 NORTH ASIA RES 1,762,300,000 0.1450 255.53 01011 NT PHARMA 259,650,000 1.8600 482.95 01968 PEAK SPORT 280,000,000 2.4800 694.40 01348 QUALI-SMART 30,000,000 2.9500 88.50 02010 REAL NUTRI 59,000,000 2.0000 118.00 00527 RUIFENG RENEW 249,880,000 0.8000 199.90 03822 SAM WOO CONS 20,000,000 3.0100 60.20 00485 SHIHUA DEV 486,760,000 0.1240 60.36 00198 SMI HOLDINGS 600,000,000 0.7500 450.00 01166 SOLARTECH INT’L 226,780,000 0.1700 38.55 01908 SOUTHWEST ECO 60,000,000 3.8600 231.60 00188 SUNWAH KINGSWAY 290,000,000 0.3500 101.50 00058 SUNWAY INT’L 290,960,000 0.3350 97.47 00621 TAUNG GOLD 1,424,640,000 0.1070 152.44 01300 TRIGIANT 261,000,000 2.2700 592.47 01046 UNIVERSE INT’L 586,350,000 0.3411 200.00 01178 VITOP BIOENERGY 225,000,000 0.1500 33.75 00505 XINGYE COPPER 109,914,000 0.8800 96.72

Main Board Equities



02393 YESTAR INTL 307,700,000 3.0000 923.10 02213 YI HUA STORE 31,630,000 2.7200 86.03Aug 01096 ACTIVE GROUP 60,000,000 0.7000 42.00 01375 CC SECURITIES 592,119,000 4.2800 2,534.27 00986 CH ENV ENERGY 620,000,000 0.1340 83.08 00875 CHINA FIN INV 173,552,043 0.3780 65.60 00139 CHINA JINHAI 4,000,000,000 0.2500 1,000.00 00235 CHINA STRATEGIC 7,000,000,000 0.1500 1,050.00 00378 CIAM GROUP-NEW 35,000,000 7.7300 270.55 00479 CIL HOLDINGS 250,000,000 0.1000 25.00 00267 CITIC 859,218,000 13.9500 11,986.09 00705 DINGHE MINING 612,000,000 0.1850 113.22 01884 EPRINT GROUP 50,000,000 1.1220 56.10 01822 E-RENTAL CAR 500,000,000 0.3000 150.00 00094 GREENHEART GP 160,000,000 0.9300 148.80 01365 GREENLAND RD 251,942,800 2.8900 728.11 00145 HK BLDG & LOAN 24,000,000 0.8900 21.36 01280 HUIYIN SMARTCOM 163,850,000 1.0000 163.85 01076 IMPERIAL PAC 3,466,000,000 0.2250 779.85 01366 JIANGNAN GP 370,806,000 1.9500 723.07 00663 KING STONE ENGY 668,000,000 0.2750 183.70 01237 MERRY GARDEN 272,600,000 0.5500 149.93 00276 MONGOLIA ENERGY 29,648,181 0.3400 10.08 01140 OP FIN INV 900,000,000 1.5000 1,350.00 00810 OPES ASIA 52,662,000 0.5100 26.86 00886 SILVER BASE 166,000,000 1.3100 217.46 00993 SIMSEN INT’L 1,702,435,038 0.2750 468.17 01106 SINO HAIJING 59,830,000 1.5000 89.75 02012 SUNSHINE OIL 111,214,210 0.7500 83.41 00455 TIANDA PHARMA 280,517,724 0.3900 109.40 01327 TIME2U 160,000,000 0.4000 64.00 01468 UKF 405,000,000 0.2010 81.41 01178 VITOP BIOENERGY 108,680,000 0.1500 16.30 01400 WANG TAI HLDG 240,000,000 1.5000 360.00 01282 WWTT 18,611,994,100 0.1800 3,350.16 02213 YI HUA STORE 6,380,000 2.7200 17.35 02098 ZALL DEV 53,448,000 2.9000 155.00 01220 ZHIDAO INT’L 330,000,000 0.9850 325.05Sep 01003 21 HOLDINGS 1,731,416,556 0.4000 692.57 00030 ABC COM (HOLD) 214,138,000 0.1890 40.47 03344 ADDCHANCE 90,000,000 1.0500 94.50 00959 AMAX INT HOLD 25,000,000 0.6400 16.00 00789 ARTINI 95,200,000 0.1050 10.00 00039 CH BEIDAHUANG 150,000,000 1.3365 200.48 00670 CHINA EAST AIR 465,910,000 7.4900 3,489.67 00612 CHINA INV FUND 183,000,000 0.4000 73.20 01019 CONVOY 491,700,000 0.3500 172.10 00117 EYANG HOLDINGS 81,100,000 1.1500 93.27 00231 MADEX INTL HOLD 613,400,000 0.1630 99.98 06108 NEW RAY MEDIC 241,000,000 0.2850 68.69 00433 NORTH MINING 2,900,000,000 0.0800 232.00 00850 PETROASIAN 100,000,000 0.1380 13.80

Main Board Equities



00981 SMIC 323,518,848 0.6593 213.30 02012 SUNSHINE OIL 100,000,000 0.5000 50.00 00539 VICTORY CITY 186,460,000 1.0000 186.46 00475 ZHONG FA ZHAN 9,000,000 2.1000 18.90Total 65,802.67

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

Main Board Warrants


Warrant Trading Statistics

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

2014 Q3 1,251.17 626,632.51 627,883.68 Q4 1,124.93 601,944.06 603,068.992015 Q1 1,242.98 897,585.47 898,828.45 Q2 1,727.22 1,721,585.57 1,723,312.78 Q3 723.63 1,090,657.45 1,091,381.08

Warrant Market Value

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

2014 Q3 7 3,338.72 4,794 76,683.23 4,801 80,021.95 Q4 10 3,031.11 4,938 146,741.31 4,948 149,772.412015 Q1 12 2,484.83 4,806 148,902.89 4,818 151,387.72 Q2 14 4,383.11 5,680 197,036.57 5,694 201,419.68 Q3 13 2,472.60 5,633 84,057.90 5,646 86,530.49

New Listing Statistics – Warrants

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

2014 Q3 2 1,951 44,515.12 Q4 3 1,986 48,705.912015 Q1 2 1,498 40,081.11 Q2 2 2,124 68,662.15 Q3 1 1,552 46,018.14

Newly Listed Equity Warrantsfor 3rd quarter 2015

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

01437 Miramar Hotel & Investment Co. Ltd. Warrants 2018 1,558,524,375 2015/07/21 2018/01/19 –

Total –

Main Board Warrants


Newly Listed Derivative Warrantsfor 3rd quarter 2015 Amount No. of raisedCode Derivative warrants issue (units) Listing date Expiry (HK$ mil.)

23242 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Mar 2016 A 100,000,000 2015/07/02 2016/03/02 25.0023245 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Dec 2015 A 100,000,000 2015/07/02 2015/12/02 15.0023243 BNP Paribas Arbit Issu B.V. – HKEx European Wts Jan 2016 D 100,000,000 2015/07/02 2016/01/05 33.0023262 Goldman Sachs SP (Asia) – China Cinda Euro Wts Apr 2017 A 300,000,000 2015/07/02 2017/04/28 45.0023237 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jan 2016 B 80,000,000 2015/07/02 2016/01/04 36.4823233 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jul 2017 A 500,000,000 2015/07/02 2017/07/18 75.0023259 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Jan 2016 A 50,000,000 2015/07/02 2016/01/04 58.9023260 Goldman Sachs SP (Asia) – Guotai Junani European Wts Mar16A 150,000,000 2015/07/02 2016/03/30 37.5023238 Goldman Sachs SP (Asia) – HSBC European Warrants Jan 2016 B 150,000,000 2015/07/02 2016/01/04 37.5023231 Macquarie Bank Ltd. – Ali Pictures European Warrants Dec17 A 40,000,000 2015/07/02 2017/12/04 10.0023258 Macquarie Bank Ltd. – CITIC Bank European Wts Jan 2016 B 17,000,000 2015/07/02 2016/01/05 10.0123240 Macquarie Bank Ltd. – China Life European Wts Jan 2016 D 50,000,000 2015/07/02 2016/01/05 10.0023227 Macquarie Bank Ltd. – Galaxy Ent European Put Wts Jan 2016 A 40,000,000 2015/07/02 2016/01/04 10.0023251 Macquarie Bank Ltd. – Sands China European Put Wts Mar 2016 A 40,000,000 2015/07/02 2016/03/02 10.0023239 Macquarie Bank Ltd. – Tencent European Warrants Jan 2016 C 18,000,000 2015/07/02 2016/01/05 10.0823228 Macquarie Bank Ltd. – Xinyi Glass European Wts Jun 2016 A 20,000,000 2015/07/02 2016/06/02 10.0223250 Standard Chartered Bank – China Mobile Euro Wts Dec 2015 A 80,000,000 2015/07/02 2015/12/24 48.0023246 Standard Chartered Bank – A50 China Euro Warrants Jun 2016 A 100,000,000 2015/07/02 2016/06/03 15.0023247 Standard Chartered Bank – HS H-SHARE European Wts Dec 2015 B 50,000,000 2015/07/02 2015/12/24 31.5023249 Standard Chartered Bank – PetroChina European Wts Dec 2015 A 60,000,000 2015/07/02 2015/12/29 25.8023254 SGA Societe Generale Acceptance N.V. – Stanchart Eu Wt Mar16 A 6,000,000 2015/07/02 2016/03/03 10.0223257 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Jan 16 C 50,000,000 2015/07/02 2016/01/06 61.5019052 # Credit Suisse AG – A50 China European Warrants Nov 2015 B 150,000,000 2015/07/02 2015/11/30 15.4521402 # Credit Suisse AG – Ping An European Warrants Jun 2016 A 150,000,000 2015/07/02 2016/06/30 18.3023264 BOCI Asia Ltd. – Galaxy Ent European Warrants Dec 2015 A 100,000,000 2015/07/03 2015/12/24 34.0023265 BOCI Asia Ltd. – Galaxy Ent European Put Warrants Dec 2015 B 100,000,000 2015/07/03 2015/12/14 29.0023266 BOCI Asia Ltd. – Tencent Holdings European Wts Mar 2016 A 100,000,000 2015/07/03 2016/03/21 18.0023275 BNP Paribas Arbit Issu B.V. – CITIC Euro Warrants Feb 2016 A 100,000,000 2015/07/03 2016/02/02 25.0023273 BNP Paribas Arbit Issu B.V. – HS H-SHARE Euro Wts Jan 2016 B 50,000,000 2015/07/03 2016/01/05 16.5023274 BNP Paribas Arbit Issu B.V. – ICBC European Wts Feb 2016 A 80,000,000 2015/07/03 2016/02/02 27.2023272 BNP Paribas Arbit Issu B.V. – Ping An European Wt Aug 2016 A 150,000,000 2015/07/03 2016/08/02 28.5023276 BNP Paribas Arbit Issu B.V. – Sands China Euro Wt Jan 2016 A 60,000,000 2015/07/03 2016/01/05 15.0023267 Credit Suisse AG – AIA European Put Warrants Jan 2016 A 50,000,000 2015/07/03 2016/01/04 12.5023268 HK Bank – Foxconn European Warrants Jan 2016 A 50,000,000 2015/07/03 2016/01/04 12.5023269 HK Bank – SMIC European Warrants Jun 2016 A 80,000,000 2015/07/03 2016/06/30 20.0023271 HK Bank – Tencent European Warrants Nov 2015 A 50,000,000 2015/07/03 2015/11/30 45.0023298 J P Morgan SP BV – China Shenhua European Wts Apr 2016 A 100,000,000 2015/07/03 2016/04/29 25.2023263 Macquarie Bank Ltd. – CGS European Warrants Jul 2016 A 50,000,000 2015/07/03 2016/07/05 12.5023278 Macquarie Bank Ltd. – CITIC Sec European Warrants Mar 2016 A 20,000,000 2015/07/03 2016/03/02 10.0023279 Macquarie Bank Ltd. – Tencent European Put Wts Jan 2016 D 15,000,000 2015/07/03 2016/01/05 10.0123277 Standard Chartered Bank – CGN Power European Warrants Dec15A 50,000,000 2015/07/03 2015/12/28 20.0023285 UBS AG – Agricultural Bank European Warrants Jan 2016 A 50,000,000 2015/07/03 2016/01/07 11.50

Main Board Warrants


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

23290 UBS AG – BankComm European Warrants Dec 2015 A 40,000,000 2015/07/03 2015/12/22 27.2023283 UBS AG – CITIC Bank European Warrants Dec 2015 B 40,000,000 2015/07/03 2015/12/11 23.6023293 UBS AG – CITIC Sec European Warrants Nov 2015 B 70,000,000 2015/07/03 2015/11/30 32.9023292 UBS AG – CM Bank European Warrants Dec 2015 A 100,000,000 2015/07/03 2015/12/23 23.0023289 UBS AG – CSOP A50 ETF European Warrants Jan 2016 A 80,000,000 2015/07/03 2016/01/11 138.4023288 UBS AG – Guotai Junani European Warrants Jan 2016 A 20,000,000 2015/07/03 2016/01/11 31.0023294 UBS AG – Haitong Sec European Warrants Dec 2015 B 70,000,000 2015/07/03 2015/12/28 29.4023281 UBS AG – Tencent Holdings European Warrants Mar 2016 C 500,000,000 2015/07/03 2016/03/29 85.0023325 Credit Suisse AG – Ch Overseas European Warrants Dec 2015 B 70,000,000 2015/07/06 2015/12/30 16.8023326 Credit Suisse AG – China Vanke European Warrants Jan 2016 A 70,000,000 2015/07/06 2016/01/05 18.9023328 Credit Suisse AG – Wanda Comm European Warrants Jan 2016 A 70,000,000 2015/07/06 2016/01/05 61.6023347 Bank of East Asia – Haitong Sec European Warrants Feb 2016 A 40,000,000 2015/07/06 2016/02/02 10.0023336 J P Morgan SP BV – Anhui Conch European Warrants Feb 2016 A 80,000,000 2015/07/06 2016/02/02 20.0023343 J P Morgan SP BV – CC Bank European Wts Nov 2015 C 100,000,000 2015/07/06 2015/11/30 34.5023338 J P Morgan SP BV – CGN Power European Warrants Dec 2016 A 100,000,000 2015/07/06 2016/12/30 15.0023341 J P Morgan SP BV – CPIC European Warrants Feb 2016 A 100,000,000 2015/07/06 2016/02/02 37.5023330 J P Morgan SP BV – CSOP A50 ETF European Warrants Jan 2016 A 100,000,000 2015/07/06 2016/01/05 83.9023331 J P Morgan SP BV – HS H-SHARE European Warrants Mar 2017 A 200,000,000 2015/07/06 2017/03/30 30.2023329 J P Morgan SP BV – HSI European Warrants Feb 2016 A 300,000,000 2015/07/06 2016/02/26 75.3023340 J P Morgan SP BV – China Vanke European Warrants Mar 2016 A 80,000,000 2015/07/06 2016/03/01 20.3223305 Macquarie Bank Ltd. – CAM CSI300 European Wts Feb 2016 A 25,000,000 2015/07/06 2016/02/02 10.0023299 Macquarie Bank Ltd. – China Shenhua European Wts Feb 2016 A 40,000,000 2015/07/06 2016/02/02 10.0023302 Macquarie Bank Ltd. – China Tel European Warrants Mar 2016 A 40,000,000 2015/07/06 2016/03/02 10.0423300 Macquarie Bank Ltd. – Stanchart European Warrants Mar 2016 A 16,000,000 2015/07/06 2016/03/02 10.0323308 Standard Chartered Bank – Anhui Conch Euro Wts Jan 2016 A 80,000,000 2015/07/06 2016/01/26 12.0023344 Standard Chartered Bank – CAM CSI300 European Wts Feb 2016 A 100,000,000 2015/07/06 2016/02/15 42.0023307 Standard Chartered Bank – CITIC Bank European Wts Jan 2016 A 80,000,000 2015/07/06 2016/01/08 20.0023323 UBS AG – Anhui Conch European Warrants Jan 2016 A 70,000,000 2015/07/06 2016/01/11 17.5023322 UBS AG – CAM CSI300 European Warrants Jan 2016 A 40,000,000 2015/07/06 2016/01/11 24.8023319 UBS AG – A50 China European Warrants Mar 2016 C 300,000,000 2015/07/06 2016/03/24 57.0023320 UBS AG – HSBC European Warrants Jan 2016 B 100,000,000 2015/07/06 2016/01/11 27.0023317 UBS AG – HSI European Warrants Jan 2016 C 300,000,000 2015/07/06 2016/01/28 45.0023316 UBS AG – HSI European Put Warrants Jan 2016 B 300,000,000 2015/07/06 2016/01/28 75.0023324 UBS AG – Ping An European Warrants Dec 2015 C 100,000,000 2015/07/06 2015/12/24 102.0023311 UBS AG – China Vanke European Warrants Jan 2016 A 100,000,000 2015/07/06 2016/01/11 35.5013889 # Credit Suisse AG – HSBC European Wts Mar 2016 500,000,000 2015/07/06 2016/03/30 12.0019049 # Credit Suisse AG – CSOP A50 ETF European Warrants Oct 2015 A 150,000,000 2015/07/06 2015/10/30 16.2023405 BNP Paribas Arbit Issu B.V. – CAM CSI300 Euro Wts Feb 2016 A 40,000,000 2015/07/07 2016/02/02 10.8023400 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Feb 2016 A 50,000,000 2015/07/07 2016/02/02 27.5023396 BNP Paribas Arbit Issu B.V. – CNOOC European Wts Jan 2016 A 40,000,000 2015/07/07 2016/01/05 19.6023451 BNP Paribas Arbit Issu B.V. – CRRC European Wts Feb 2016 A 50,000,000 2015/07/07 2016/02/02 17.0023395 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Feb 2016 A 100,000,000 2015/07/07 2016/02/02 25.0023465 Credit Suisse AG – CAM CSI300 European Warrants Jan 2016 A 70,000,000 2015/07/07 2016/01/11 39.2023373 Credit Suisse AG – China Cinda European Warrants Jan 2016 A 70,000,000 2015/07/07 2016/01/11 21.70

Main Board Warrants



23457 Credit Suisse AG – CITIC European Warrants Jan 2016 B 70,000,000 2015/07/07 2016/01/29 12.6023366 Credit Suisse AG – China Mobile European Warrants Jan 2016 A 80,000,000 2015/07/07 2016/01/11 57.6023369 Credit Suisse AG – China Railway European Warrants Sep 2016A 70,000,000 2015/07/07 2016/09/30 17.5023459 Credit Suisse AG – CRCC European Warrants Feb 2016 A 70,000,000 2015/07/07 2016/02/29 14.0023361 Credit Suisse AG – CRRC European Warrants Jan 2016 A 70,000,000 2015/07/07 2016/01/11 17.5023456 Credit Suisse AG – China Shenhua European Wts May 2016 A 70,000,000 2015/07/07 2016/05/30 12.6023362 Credit Suisse AG – Fosun Intl European Warrants Jan 2016 A 70,000,000 2015/07/07 2016/01/11 17.5023363 Credit Suisse AG – Galaxy Ent European Warrants Jan 2016 A 80,000,000 2015/07/07 2016/01/11 30.4023372 Credit Suisse AG – HKEx European Warrants Dec 2015 H 150,000,000 2015/07/07 2015/12/30 52.5023365 Credit Suisse AG – HSBC European Wts Jan 2016 B 80,000,000 2015/07/07 2016/01/11 36.0023466 Credit Suisse AG – HSCEI European Warrants Nov 2015 C 128,000,000 2015/07/07 2015/11/27 19.2023471 Credit Suisse AG – HSCEI European Put Warrants Dec 2015 E 128,000,000 2015/07/07 2015/12/30 20.4823367 Credit Suisse AG – Haitong Sec European Warrants Jan 2016 A 70,000,000 2015/07/07 2016/01/11 24.5023352 Credit Suisse AG – Ping An European Warrants Aug 2016 B 150,000,000 2015/07/07 2016/08/01 22.5023371 Credit Suisse AG – Tencent Holdings European Wts Nov 2015 C 80,000,000 2015/07/07 2015/11/30 88.0023370 Credit Suisse AG – Tencent Holdings European Wts Feb 2016 D 150,000,000 2015/07/07 2016/02/29 25.5023454 Goldman Sachs SP (Asia) – CAM CSI300 European Wts Jan 2016 A 60,000,000 2015/07/07 2016/01/08 27.3023435 Goldman Sachs SP (Asia) – CC Bank European Wts Jan 2016 A 100,000,000 2015/07/07 2016/01/08 52.4023437 Goldman Sachs SP (Asia) – China Life Euro Wts Nov 2015 B 100,000,000 2015/07/07 2015/11/25 30.3023441 Goldman Sachs SP (Asia) – Fosun Intl European Wts Feb 2016 A 50,000,000 2015/07/07 2016/02/02 17.4023411 Goldman Sachs SP (Asia) – HSCEI European Warrants Nov 2015 C 200,000,000 2015/07/07 2015/11/27 30.8023412 Goldman Sachs SP (Asia) – HSCEI European Put Wts Dec 2015 G 200,000,000 2015/07/07 2015/12/30 30.8023410 Goldman Sachs SP (Asia) – HSI European Warrants Nov 2015 E 200,000,000 2015/07/07 2015/11/27 47.2023438 Goldman Sachs Sp (Asia) – ICBC European Warrants Jan 2016 A 80,000,000 2015/07/07 2016/01/07 31.0423349 Macquarie Bank Ltd. – CRRC European Warrants Mar 2017 A 20,000,000 2015/07/07 2017/03/02 10.0023348 Macquarie Bank Ltd. – Tencent European Warrants Jul 2016 B 60,000,000 2015/07/07 2016/07/05 12.2423356 Standard Chartered Bank – CRRC European Warrants Jan 2016 A 100,000,000 2015/07/07 2016/01/18 25.0023360 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Jan16B 50,000,000 2015/07/07 2016/01/06 23.2523359 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Feb16A 50,000,000 2015/07/07 2016/02/03 57.5023358 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Jan 16 C 60,000,000 2015/07/07 2016/01/06 60.0023432 UBS AG – CC Bank European Warrants Jan 2016 A 100,000,000 2015/07/07 2016/01/18 36.0023429 UBS AG – CSOP A50 ETF European Warrants Oct 2016 A 300,000,000 2015/07/07 2016/10/31 87.0023427 UBS AG – HSCEI European Warrants Nov 2015 C 100,000,000 2015/07/07 2015/11/27 15.0023424 UBS AG – HSCEI European Warrants Feb 2016 A 100,000,000 2015/07/07 2016/02/26 15.0023428 UBS AG – HSCEI European Put Warrants Mar 2016 C 100,000,000 2015/07/07 2016/03/30 25.5023415 UBS AG – HSI European Warrants Nov 2015 G 300,000,000 2015/07/07 2015/11/27 68.1023416 UBS AG – HSI European Warrants Dec 2015 J 300,000,000 2015/07/07 2015/12/30 45.0023417 UBS AG – HSI European Put Warrants Jan 2016 D 300,000,000 2015/07/07 2016/01/28 75.0023423 UBS AG – HSI European Put Warrants Jan 2016 E 300,000,000 2015/07/07 2016/01/28 75.0023430 UBS AG – ICBC European Warrants Dec 2015 C 100,000,000 2015/07/07 2015/12/29 43.0023431 UBS AG – ICBC European Warrants Jan 2016 A 100,000,000 2015/07/07 2016/01/06 55.0023434 UBS AG – SPDR Gold Trust European Warrants Feb 2016 A 50,000,000 2015/07/07 2016/02/29 18.0017477 # Credit Suisse AG – CNOOC European Warrants Oct 2015 B 200,000,000 2015/07/07 2015/10/26 10.0023504 Credit Suisse AG – CGS European Warrants Dec 2015 A 70,000,000 2015/07/08 2015/12/30 10.50

Main Board Warrants



23512 Credit Suisse AG – CITIC Bank European Warrants Dec 2015 A 70,000,000 2015/07/08 2015/12/11 25.2023515 Credit Suisse AG – GCL-Poly Energy European Wts Jan 2016 A 70,000,000 2015/07/08 2016/01/11 21.0023518 Credit Suisse AG – HS H-SHARE European Warrants Nov 2015 A 70,000,000 2015/07/08 2015/11/27 53.9023516 Credit Suisse AG – Sands China European Warrants Jan 2016 A 70,000,000 2015/07/08 2016/01/11 17.5023514 Credit Suisse AG – Shimao Property European Warrants Jan16 A 70,000,000 2015/07/08 2016/01/28 10.5023500 Goldman Sachs SP (Asia) – CRRC European Warrants Jan 2016 A 80,000,000 2015/07/08 2016/01/11 20.4023502 Goldman Sachs SP (Asia) – CRRC European Warrants Mar 2016 A 80,000,000 2015/07/08 2016/03/30 21.2823505 Goldman Sachs SP (Asia) – HKEx European Warrants Jan 2016 B 200,000,000 2015/07/08 2016/01/29 92.0023498 Goldman Sachs SP (Asia) – HS H-SHARE European Wts Jan 2017 A 200,000,000 2015/07/08 2017/01/18 32.2023499 Goldman Sachs SP (Asia) – HS H-SHARE European Wts Mar 2017 A 200,000,000 2015/07/08 2017/03/30 30.0023503 Goldman Sachs SP (Asia) – HSI European Put Wts Nov 2015 F 200,000,000 2015/07/08 2015/11/27 30.0023497 HK Bank – CC Bank European Warrants Jan 2016 A 50,000,000 2015/07/08 2016/01/29 25.0023490 HK Bank – China Life European Warrants Jan 2016 A 80,000,000 2015/07/08 2016/01/29 26.4023492 HK Bank – Ping An European Warrants Jan 2016 A 80,000,000 2015/07/08 2016/01/29 80.0023494 HK Bank – Tencent European Warrants Jan 2016 A 80,000,000 2015/07/08 2016/01/29 110.4023473 Macquarie Bank Ltd. – BOCL European Warrants Feb 2016 B 22,000,000 2015/07/08 2016/02/02 10.0323475 Macquarie Bank Ltd. – China Life European Wts Feb 2016 C 23,000,000 2015/07/08 2016/02/02 10.0123507 SGA Societe Generale Acceptance N.V. – CRRC Euro Wts Feb16 A 60,000,000 2015/07/08 2016/02/03 15.0023509 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Feb 2016 D 200,000,000 2015/07/08 2016/02/03 86.0023510 UBS AG – CC Bank European Warrants Jan 2016 B 100,000,000 2015/07/08 2016/01/25 73.0019095 # BOCI Asia Ltd. – CSOP A50 ETF European Warrants Apr 2016 A 100,000,000 2015/07/08 2016/04/25 14.2023525 BNP Paribas Arbit Issu B.V. – Ch Comm Cons Eur Wt Mar 2016 A 100,000,000 2015/07/09 2016/03/02 21.0023530 BNP Paribas Arbit Issu B.V. – Ch Ship Cont Eur Wt Feb 2016 A 40,000,000 2015/07/09 2016/02/02 24.0023529 BNP Paribas Arbit Issu B.V. – GCL-Poly Euro Wts Feb 2016 A 50,000,000 2015/07/09 2016/02/02 18.5023521 BNP Paribas Arbit Issu B.V. – Li & Fung Euro Wts Feb 2016 A 30,000,000 2015/07/09 2016/02/02 17.1023528 BNP Paribas Arbit Issu B.V. – Sh Pharma Euro Wts Feb 2016 A 50,000,000 2015/07/09 2016/02/02 19.5023536 Credit Suisse AG – CSOP A50 ETF European Warrants Feb 2016 A 150,000,000 2015/07/09 2016/02/26 28.5023534 Credit Suisse AG – Galaxy Ent European Put Wts Dec 2015 D 60,000,000 2015/07/09 2015/12/01 15.0023520 Credit Suisse AG – Sands China European Put Wts Jan 2016 B 60,000,000 2015/07/09 2016/01/11 23.4023572 J P Morgan SP BV – CAM CSI300 European Warrants Mar 2016 A 100,000,000 2015/07/09 2016/03/01 37.5023566 J P Morgan SP BV – CGN Power European Warrants Feb 2016 A 60,000,000 2015/07/09 2016/02/02 48.1823563 J P Morgan SP BV – CITIC Bank European Warrants Feb 2016 B 100,000,000 2015/07/09 2016/02/02 42.3023567 J P Morgan SP BV – CITIC European Warrants Feb 2016 A 100,000,000 2015/07/09 2016/02/02 15.1023564 J P Morgan SP BV – CM Bank European Warrants Feb 2016 B 100,000,000 2015/07/09 2016/02/02 25.1023570 J P Morgan SP BV – A50 China European Warrants Jan 2016 B 100,000,000 2015/07/09 2016/01/04 104.2023561 J P Morgan SP BV – Galaxy Ent European Warrants Feb 2016 A 100,000,000 2015/07/09 2016/02/02 25.2023562 J P Morgan SP BV – Galaxy Ent European Put Wts Feb 2016 B 100,000,000 2015/07/09 2016/02/02 25.3023558 J P Morgan SP BV – HSCEI European Wts Feb 2016 E 200,000,000 2015/07/09 2016/02/26 35.2023557 J P Morgan SP BV – HSI European Warrants Feb 2016 C 300,000,000 2015/07/09 2016/02/26 75.0023565 J P Morgan SP BV – ICBC European Warrants Jan 2016 C 100,000,000 2015/07/09 2016/01/04 38.6023568 J P Morgan SP BV – Ping An European Warrants Feb 2016 B 100,000,000 2015/07/09 2016/02/02 55.5023573 J P Morgan SP BV – Sands China European Put Wts Feb 2016 B 100,000,000 2015/07/09 2016/02/02 25.1023542 Macquarie Bank Ltd. – CC Bank European Warrants Feb 2016 A 31,000,000 2015/07/09 2016/02/02 10.1423543 Macquarie Bank Ltd. – CPIC European Warrants Mar 2016 A 25,000,000 2015/07/09 2016/03/02 10.00

Main Board Warrants



23540 Macquarie Bank Ltd. – GAC European Wts Apr 2018 A 40,000,000 2015/07/09 2018/04/04 10.0023539 Macquarie Bank Ltd. – Haitong Sec European Wts Feb 2016 A 37,000,000 2015/07/09 2016/02/02 10.1423537 Macquarie Bank Ltd. – Lenovo European Warrants Oct 2017 A 40,000,000 2015/07/09 2017/10/03 10.0023541 Macquarie Bank Ltd. – Sands China European Wts Apr 2016 A 40,000,000 2015/07/09 2016/04/05 10.0023544 Standard Chartered Bank – CSOP A50 ETF Euro Wts Apr 2016 A 100,000,000 2015/07/09 2016/04/18 15.0023545 Standard Chartered Bank – A50 China Euro Warrants Jun 2016 B 100,000,000 2015/07/09 2016/06/27 15.0023533 SGA Societe Generale Acceptance NV – HSCEI Eu Put Wt Dec 2015G 150,000,000 2015/07/09 2015/12/30 22.5023519 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jan16 F 150,000,000 2015/07/09 2016/01/28 37.5023546 UBS AG – CAM CSI300 European Warrants Dec 2015 A 40,000,000 2015/07/09 2015/12/28 24.0023552 UBS AG – CSOP A50 ETF European Warrants Apr 2016 A 300,000,000 2015/07/09 2016/04/18 48.0023554 UBS AG – Galaxy Ent European Put Warrants Nov 2015 B 60,000,000 2015/07/09 2015/11/24 24.0023553 UBS AG – HKEx European Warrants Dec 2015 J 300,000,000 2015/07/09 2015/12/02 87.0023555 UBS AG – Sands China European Put Warrants Jan 2016 B 60,000,000 2015/07/09 2016/01/08 22.5023556 UBS AG – Wynn Macau European Warrants Oct 2016 A 40,000,000 2015/07/09 2016/10/07 10.0023580 BOCI Asia Ltd. – China Life European Warrants Jan 2016 A 100,000,000 2015/07/10 2016/01/18 36.0023581 BOCI Asia Ltd. – CSOP A50 ETF European Warrants Mar 2016 B 100,000,000 2015/07/10 2016/03/07 17.0023582 BOCI Asia Ltd. – CSOP A50 ETF European Warrants Apr 2016 B 100,000,000 2015/07/10 2016/04/06 16.0023584 BOCI Asia Ltd. – A50 China European Warrants Apr 2016 B 100,000,000 2015/07/10 2016/04/11 16.0023578 BOCI Asia Ltd. – HSBC European Put Warrants Feb 2016 A 100,000,000 2015/07/10 2016/02/01 47.0023602 BNP Paribas Arbit Issu B.V. – AIA European Wts Dec 2015 C 50,000,000 2015/07/10 2015/12/02 10.5023608 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Jan 2016 A 80,000,000 2015/07/10 2016/01/05 14.4023606 BNP Paribas Arbit Issu B.V. – HSBC European Wts Feb 2016 A 40,000,000 2015/07/10 2016/02/02 12.0023607 BNP Paribas Arbit Issu B.V. – Ping An European Wt Jan 2016 A 40,000,000 2015/07/10 2016/01/05 20.8023594 Credit Suisse AG – CSOP A50 ETF European Warrants Mar 2016 B 150,000,000 2015/07/10 2016/03/30 30.0023609 Credit Suisse AG – A50 China European Warrants Mar 2016 D 150,000,000 2015/07/10 2016/03/30 22.5023610 Credit Suisse AG – HKEx European Warrants Nov 2015 H 150,000,000 2015/07/10 2015/11/27 37.5023611 Credit Suisse AG – Ping An European Warrants Jan 2016 B 80,000,000 2015/07/10 2016/01/11 86.4023592 HK Bank – Agricultural Bank European Warrants Jan 2016 A 80,000,000 2015/07/10 2016/01/29 20.0023585 HK Bank – CAM CSI300 European Warrants Jan 2016 A 80,000,000 2015/07/10 2016/01/29 24.0023590 HK Bank – BOCL European Warrants Jan 2016 B 80,000,000 2015/07/10 2016/01/29 32.0023586 HK Bank – HSCEI European Put Warrants Dec 2015 F 180,000,000 2015/07/10 2015/12/30 27.0023589 HK Bank – HSI European Warrants Dec 2015 F 180,000,000 2015/07/10 2015/12/30 27.0023588 HK Bank – HSI European Warrants Jan 2016 B 180,000,000 2015/07/10 2016/01/28 45.0023587 HK Bank – HSI European Put Warrants Jan 2016 A 180,000,000 2015/07/10 2016/01/28 45.0023620 J P Morgan SP BV – SHK Ppt European Warrants Oct 2016 A 200,000,000 2015/07/10 2016/10/31 30.2023615 Macquarie Bank Ltd. – Avichina European Warrants Mar 2017 A 40,000,000 2015/07/10 2017/03/02 10.0023577 Macquarie Bank Ltd. – BOCL European Warrants Apr 2016 A 40,000,000 2015/07/10 2016/04/05 10.0023614 Macquarie Bank Ltd. – China Life European Wts Mar 2016 A 40,000,000 2015/07/10 2016/03/02 10.0023574 Macquarie Bank Ltd. – Wynn Macau European Wts Mar 2016 A 37,000,000 2015/07/10 2016/03/02 10.0323598 Standard Chartered Bank – BOCL European Warrants Jan 2016 A 100,000,000 2015/07/10 2016/01/11 25.0023596 Standard Chartered Bank – CC Bank European Wts Jan 2016 C 100,000,000 2015/07/10 2016/01/11 35.0023624 Standard Chartered Bank – China Mobile Euro Wts Jul 2017 A 100,000,000 2015/07/10 2017/07/17 15.0023597 Standard Chartered Bank – ICBC European Warrants Dec 2015 A 100,000,000 2015/07/10 2015/12/28 15.0023623 Standard Chartered Bank – PetroChina European Wts Jul 2016 A 80,000,000 2015/07/10 2016/07/25 31.20

Main Board Warrants



23626 Standard Chartered Bank – Ping An European Wts Jan 2016 A 80,000,000 2015/07/10 2016/01/11 56.0023622 Standard Chartered Bank – Sands China Euro Wts Dec 2015 A 80,000,000 2015/07/10 2015/12/24 20.0023621 Standard Chartered Bank – China Vanke European Wts Feb 2016A 50,000,000 2015/07/10 2016/02/01 12.5023593 SGA Societe Generale Acceptance N.V – COVS Eu Wts Apr 2016 A 25,000,000 2015/07/10 2016/04/06 10.0023612 SGA Societe Generale Acceptance N.V. – Galaxy Eu Put Wt Jan16B 80,000,000 2015/07/10 2016/01/06 16.0023616 UBS AG – CSCL European Warrants Jan 2016 A 30,000,000 2015/07/10 2016/01/11 11.1023618 UBS AG – HSI European Warrants Jan 2016 F 300,000,000 2015/07/10 2016/01/28 45.0023692 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Jan 2016 B 60,000,000 2015/07/13 2016/01/05 22.2023693 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Feb 2016 B 50,000,000 2015/07/13 2016/02/02 41.5023690 BNP Paribas Arbit Issu B.V. – HKEx European Wts Feb 2016 B 80,000,000 2015/07/13 2016/02/02 30.4023691 BNP Paribas Arbit Issu B.V. – HKEx European Wts Jun 2016 B 80,000,000 2015/07/13 2016/06/02 24.8023659 Credit Suisse AG – China Life European Warrants Dec 2015 B 80,000,000 2015/07/13 2015/12/11 28.0023660 Credit Suisse AG – HKEx European Warrants Dec 2015 I 150,000,000 2015/07/13 2015/12/30 34.5023633 Credit Suisse AG – HSI European Warrants Nov 2015 G 128,000,000 2015/07/13 2015/11/27 23.0423634 Credit Suisse AG – HSI European Warrants Nov 2015 H 128,000,000 2015/07/13 2015/11/27 21.7623635 Credit Suisse AG – Ping An European Warrants Dec 2016 B 150,000,000 2015/07/13 2016/12/29 24.0023686 Goldman Sachs SP (Asia) – BOCL European Warrants Jan 2016 B 100,000,000 2015/07/13 2016/01/05 43.6023684 Goldman Sachs SP (Asia) – HKEx European Warrants Jan 2016 C 250,000,000 2015/07/13 2016/01/18 63.7523687 Goldman Sachs SP (Asia) – Ping An European Wts Jan 2016 A 80,000,000 2015/07/13 2016/01/18 76.2423669 J P Morgan SP BV – CITIC Sec European Warrants Jan 2016 A 100,000,000 2015/07/13 2016/01/04 28.6023665 J P Morgan SP BV – China Life European Warrants Mar 2016 A 100,000,000 2015/07/13 2016/03/02 28.7023672 J P Morgan SP BV – CRRC European Warrants Apr 2016 A 100,000,000 2015/07/13 2016/04/01 25.1023628 J P Morgan SP BV – Guotai Junani European Warrants Oct 2016A 80,000,000 2015/07/13 2016/10/04 20.0023663 J P Morgan SP BV – HKEx European Warrants Mar 2016 B 200,000,000 2015/07/13 2016/03/02 55.4023662 J P Morgan SP BV – HKEx European Warrants Apr 2016 A 200,000,000 2015/07/13 2016/04/01 50.6023661 J P Morgan SP BV – HSBC European Warrants Feb 2016 A 100,000,000 2015/07/13 2016/02/02 25.2023667 J P Morgan SP BV – HSCEI European Wts Mar 2016 B 200,000,000 2015/07/13 2016/03/30 50.2023668 J P Morgan SP BV – HSCEI European Put Warrants Jan 2016 D 200,000,000 2015/07/13 2016/01/28 50.4023629 J P Morgan SP BV – HSI European Warrants Jan 2016 F 300,000,000 2015/07/13 2016/01/28 75.6023666 J P Morgan SP BV – HSI European Put Warrants Jan 2016 G 300,000,000 2015/07/13 2016/01/28 75.0023671 J P Morgan SP BV – Kingsoft European Warrants Apr 2016 A 80,000,000 2015/07/13 2016/04/05 27.5223664 J P Morgan SP BV – Ping An European Warrants Jan 2016 B 100,000,000 2015/07/13 2016/01/05 56.6023630 J P Morgan SP BV – Ping An European Warrants Jun 2017 A 200,000,000 2015/07/13 2017/06/01 30.4023670 J P Morgan SP BV – Tencent European Warrants Dec 2015 F 100,000,000 2015/07/13 2015/12/02 86.7023650 Macquarie Bank Ltd. – China Coal European Wts Apr 2016 A 18,000,000 2015/07/13 2016/04/05 10.0123652 Standard Chartered Bank – HSCEI European Put Wts Jan 2016 C 100,000,000 2015/07/13 2016/01/28 25.0023631 Standard Chartered Bank – HSI European Warrants Dec 2015 G 100,000,000 2015/07/13 2015/12/30 15.0023632 Standard Chartered Bank – HSI European Put Wts Nov 2015 E 100,000,000 2015/07/13 2015/11/27 15.0023637 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Feb16A 50,000,000 2015/07/13 2016/02/03 29.0023643 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Feb16B 50,000,000 2015/07/13 2016/02/03 15.0023657 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jan 2016 H 200,000,000 2015/07/13 2016/01/05 52.0023645 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jan 2016 G 150,000,000 2015/07/13 2016/01/28 38.2523648 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Nov 15 E 150,000,000 2015/07/13 2015/11/27 27.7523655 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt Feb16A 40,000,000 2015/07/13 2016/02/03 11.20

Main Board Warrants



23658 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Feb 16 A 60,000,000 2015/07/13 2016/02/03 57.0023675 UBS AG – BYD European Warrants Jan 2016 A 50,000,000 2015/07/13 2016/01/18 34.0023677 UBS AG – CITIC Sec European Warrants Jan 2016 A 50,000,000 2015/07/13 2016/01/05 12.5023681 UBS AG – HSI European Warrants Jan 2016 G 300,000,000 2015/07/13 2016/01/28 75.0023678 UBS AG – Haitong Sec European Warrants Dec 2015 C 70,000,000 2015/07/13 2015/12/07 10.5023676 UBS AG – Kingsoft European Warrants Jan 2016 B 100,000,000 2015/07/13 2016/01/18 40.0018308 # HK Bank – CNOOC European Warrants Feb 2016 A 150,000,000 2015/07/13 2016/02/22 11.8523704 BOCI Asia Ltd. – CAM CSI300 European Warrants Dec 2015 A 100,000,000 2015/07/14 2015/12/28 48.0023706 BOCI Asia Ltd. – BOCL European Warrants Jan 2016 A 100,000,000 2015/07/14 2016/01/18 48.0023703 BOCI Asia Ltd. – China Life European Warrants Jan 2016 B 100,000,000 2015/07/14 2016/01/11 43.0023699 BOCI Asia Ltd. – China Mobile European Warrants Dec 2015 B 100,000,000 2015/07/14 2015/12/23 36.0023698 BOCI Asia Ltd. – HSBC European Warrants Jan 2016 A 100,000,000 2015/07/14 2016/01/11 23.0023701 BOCI Asia Ltd. – Lenovo European Warrants Jun 2016 A 100,000,000 2015/07/14 2016/06/27 15.0023702 BOCI Asia Ltd. – Ping An European Warrants Dec 2015 D 100,000,000 2015/07/14 2015/12/22 60.0023773 BNP Paribas Arbit Issu B.V. – CAM CSI300 Euro Wts Nov 2015 A 65,000,000 2015/07/14 2015/11/03 10.4023775 BNP Paribas Arbit Issu B.V. – Ch Shenhua Euro Wts Feb 2016 A 60,000,000 2015/07/14 2016/02/02 10.2023776 BNP Paribas Arbit Issu B.V. – HS H-SHARE Euro Wts Feb 2016 A 40,000,000 2015/07/14 2016/02/02 32.8023707 BNP Paribas Arbit Issu B.V. – HSI European Wts Jan 2016 B 100,000,000 2015/07/14 2016/01/28 25.0023708 BNP Paribas Arbit Issu B.V. – HSI European Wts Jan 2016 C 100,000,000 2015/07/14 2016/01/28 35.0023774 BNP Paribas Arbit Issu B.V. – Lenovo European Wts Jul 2016 A 100,000,000 2015/07/14 2016/07/05 15.0023765 Credit Suisse AG – Ping An European Warrants Jan 2016 C 70,000,000 2015/07/14 2016/01/28 61.6023739 Credit Suisse AG – Tencent Holdings European Wts Jan 2016 C 150,000,000 2015/07/14 2016/01/28 25.5023733 Goldman Sachs SP (Asia) – CITIC Sec European Wts Jan 2016 B 68,000,000 2015/07/14 2016/01/14 20.6723736 Goldman Sachs SP (Asia) – CITIC Sec European Wts Jan 2016 C 68,000,000 2015/07/14 2016/01/14 17.0023738 Goldman Sachs SP (Asia) – Haitong Sec Euro Wts Jan 2016 A 80,000,000 2015/07/14 2016/01/14 20.3223709 HK Bank – China Life European Warrants Dec 2015 C 88,000,000 2015/07/14 2015/12/31 22.0023722 HK Bank – HKEx European Warrants Dec 2015 J 180,000,000 2015/07/14 2015/12/31 36.0023731 HK Bank – HSCEI European Warrants Jan 2016 A 180,000,000 2015/07/14 2016/01/28 45.0023728 HK Bank – HSI European Warrants Dec 2015 G 180,000,000 2015/07/14 2015/12/30 39.6023730 HK Bank – HSI European Put Warrants Jan 2016 C 180,000,000 2015/07/14 2016/01/28 45.0023724 HK Bank – Haitong Sec European Warrants Jan 2016 A 80,000,000 2015/07/14 2016/01/29 20.0023723 HK Bank – Lenovo European Warrants Jun 2016 C 128,000,000 2015/07/14 2016/06/27 19.2023727 HK Bank – Ping An European Warrants Jan 2016 B 50,000,000 2015/07/14 2016/01/29 37.5023768 J P Morgan SP BV – BYD European Warrants Mar 2018 A 200,000,000 2015/07/14 2018/03/29 30.0023770 J P Morgan SP BV – Galaxy Ent European Warrants Jan 2016 B 100,000,000 2015/07/14 2016/01/05 20.8023767 J P Morgan SP BV – Ping An European Warrants Feb 2016 C 100,000,000 2015/07/14 2016/02/01 72.2023769 J P Morgan SP BV – Sands China European Warrants Jan 2016 B 100,000,000 2015/07/14 2016/01/05 23.0023741 Macquarie Bank Ltd. – CNOOC European Warrants Mar 2016 A 15,000,000 2015/07/14 2016/03/02 10.0123754 Macquarie Bank Ltd. – Sinopec Corp European Wts Apr 2016 A 25,000,000 2015/07/14 2016/04/05 10.0023695 Macquarie Bank Ltd. – China Taiping European Wts Mar 2016 A 30,000,000 2015/07/14 2016/03/02 10.1423747 Macquarie Bank Ltd. – HKEx European Warrants Mar 2016 A 40,000,000 2015/07/14 2016/03/02 10.0023751 Macquarie Bank Ltd. – HKEx European Put Warrants Feb 2016 A 40,000,000 2015/07/14 2016/02/02 10.0023761 Macquarie Bank Ltd. – HSBC European Warrants Apr 2016 B 26,000,000 2015/07/14 2016/04/05 10.4823757 Macquarie Bank Ltd. – ICBC European Warrants Feb 2016 A 25,000,000 2015/07/14 2016/02/02 10.00

Main Board Warrants



23697 Macquarie Bank Ltd. – Kingsoft European Warrants Mar 2016 B 30,000,000 2015/07/14 2016/03/02 10.0223696 Macquarie Bank Ltd. – PICC Group European Wts Jun 2016 A 20,000,000 2015/07/14 2016/06/02 11.9023760 Macquarie Bank Ltd. – Ping An European Warrants Feb 2016 B 25,000,000 2015/07/14 2016/02/02 10.0023740 Macquarie Bank Ltd. – Tencent European Warrants Jul 2016 C 60,000,000 2015/07/14 2016/07/05 15.0023742 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Feb 2016 E 200,000,000 2015/07/14 2016/02/03 50.0023743 SGA Societe Generale Acceptance N.V. – Kingsoft Eu Wt Feb16B 35,000,000 2015/07/14 2016/02/03 11.7323762 UBS AG – HKEx European Warrants Jan 2016 E 300,000,000 2015/07/14 2016/01/25 66.0023763 UBS AG – HKEx European Warrants Jan 2016 F 300,000,000 2015/07/14 2016/01/18 75.0023694 UBS AG – HSI European Put Warrants Oct 2015 F 300,000,000 2015/07/14 2015/10/29 45.0023764 UBS AG – Ping An European Warrants Jan 2016 A 100,000,000 2015/07/14 2016/01/13 60.0023919 BNP Paribas Arbit Issu B.V. – CAM CSI300 Euro Wts Dec 2015 A 40,000,000 2015/07/15 2015/12/02 13.6023929 BNP Paribas Arbit Issu B.V. – BOCL European Wts Dec 2015 B 50,000,000 2015/07/15 2015/12/02 22.5023928 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Feb 2016 B 40,000,000 2015/07/15 2016/02/02 20.0023921 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Jan 2016 C 80,000,000 2015/07/15 2016/01/05 21.6023942 BNP Paribas Arbit Issu B.V. – CM Bank Euro Warrants Jan 2016 B 60,000,000 2015/07/15 2016/01/05 14.4023925 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Jan 2017 B 100,000,000 2015/07/15 2017/01/04 16.0023916 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Jan 2016 A 80,000,000 2015/07/15 2016/01/05 12.0023940 BNP Paribas Arbit Issu B.V. – HSCEI European Wts Feb 2016 B 100,000,000 2015/07/15 2016/02/26 30.0023936 BNP Paribas Arbit Issu B.V. – HSI European Wts Feb 2016 B 100,000,000 2015/07/15 2016/02/26 31.0023934 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts Feb 2016 A 100,000,000 2015/07/15 2016/02/26 25.0023930 BNP Paribas Arbit Issu B.V. – ICBC European Wts Feb 2016 B 50,000,000 2015/07/15 2016/02/02 29.5023922 BNP Paribas Arbit Issu B.V. – Ping An European Wt Jan 2016 B 40,000,000 2015/07/15 2016/01/05 19.2023941 BNP Paribas Arbit Issu B.V. – Tencent Hldgs Eu Wt Jan 2016 A 100,000,000 2015/07/15 2016/01/05 22.0023887 Credit Suisse AG – HSCEI European Warrants Jan 2016 A 150,000,000 2015/07/15 2016/01/28 37.5023888 Credit Suisse AG – HSCEI European Put Warrants Jan 2016 B 150,000,000 2015/07/15 2016/01/28 37.5023816 Credit Suisse AG – HSI European Warrants Nov 2015 I 200,000,000 2015/07/15 2015/11/27 34.0023812 Credit Suisse AG – HSI European Warrants Dec 2015 H 200,000,000 2015/07/15 2015/12/30 46.0023818 Credit Suisse AG – HSI European Warrants Jan 2016 B 200,000,000 2015/07/15 2016/01/28 50.0023865 Credit Suisse AG – HSI European Put Warrants Jan 2016 C 200,000,000 2015/07/15 2016/01/28 50.0023795 Goldman Sachs SP (Asia) – HSBC European Warrants Jan 2016 C 120,000,000 2015/07/15 2016/01/15 39.1223824 Goldman Sachs SP (Asia) – HSCEI European Warrants Feb 2016 B 150,000,000 2015/07/15 2016/02/26 33.7523825 Goldman Sachs SP (Asia) – HSCEI European Put Wts Jan 2016 A 150,000,000 2015/07/15 2016/01/28 37.9523794 Goldman Sachs SP (Asia) – HS H-SHARE European Wts Jan 2016 C 80,000,000 2015/07/15 2016/01/20 53.6023797 Goldman Sachs SP (Asia) – HS H-SHARE European Wts Dec 2017 A 200,000,000 2015/07/15 2017/12/28 50.0023822 Goldman Sachs SP (Asia) – HSI European Warrants Nov 2015 G 150,000,000 2015/07/15 2015/11/27 25.9523823 Goldman Sachs SP (Asia) – HSI European Warrants Jan 2016 B 150,000,000 2015/07/15 2016/01/28 38.2523819 Goldman Sachs SP (Asia) – HSI European Put Wts Oct 2015 E 150,000,000 2015/07/15 2015/10/29 28.8023821 Goldman Sachs SP (Asia) – HSI European Put Wts Jan 2016 A 150,000,000 2015/07/15 2016/01/28 37.6523808 HK Bank – Agricultural Bank European Warrants Jul 2016 A 80,000,000 2015/07/15 2016/07/29 20.0023809 HK Bank – CC Bank European Warrants Jan 2016 B 80,000,000 2015/07/15 2016/01/29 28.0023811 HK Bank – CM Bank European Warrants Feb 2016 A 100,000,000 2015/07/15 2016/02/01 15.0023806 HK Bank – CNOOC European Warrants Jun 2017 A 180,000,000 2015/07/15 2017/06/30 27.0023782 HK Bank – HSI European Warrants Nov 2015 G 280,000,000 2015/07/15 2015/11/27 56.0023783 HK Bank – HSI European Warrants Jan 2016 D 280,000,000 2015/07/15 2016/01/28 70.00

Main Board Warrants



23805 HK Bank – Tencent European Put Warrants Dec 2016 C 150,000,000 2015/07/15 2016/12/30 37.5023894 J P Morgan SP BV – Agricultural Bk Euro Warrants Mar 2016 A 100,000,000 2015/07/15 2016/03/01 25.3023914 J P Morgan SP BV – AIA European Warrants Jan 2016 A 100,000,000 2015/07/15 2016/01/05 25.1023883 J P Morgan SP BV – CAM CSI300 European Warrants Dec 2015 B 100,000,000 2015/07/15 2015/12/02 27.2023884 J P Morgan SP BV – CAM CSI300 European Warrants Feb 2016 B 100,000,000 2015/07/15 2016/02/01 25.1023895 J P Morgan SP BV – BankComm European Warrants Feb 2016 A 100,000,000 2015/07/15 2016/02/01 70.8023899 J P Morgan SP BV – CGS European Warrants Dec 2016 A 100,000,000 2015/07/15 2016/12/01 25.2023898 J P Morgan SP BV – China Cinda European Warrants Feb 2016 A 80,000,000 2015/07/15 2016/02/02 21.9223906 J P Morgan SP BV – CITIC Sec European Warrants Mar 2016 A 100,000,000 2015/07/15 2016/03/01 33.3023892 J P Morgan SP BV – CKP European Warrants Feb 2016 A 100,000,000 2015/07/15 2016/02/01 39.1023890 J P Morgan SP BV – China Mob European Wts Feb 2016 A 100,000,000 2015/07/15 2016/02/01 64.6023902 J P Morgan SP BV – Ch Overseas European Warrants Mar 2016 A 100,000,000 2015/07/15 2016/03/01 25.1023882 J P Morgan SP BV – CSOP A50 ETF European Warrants Jul 2016 B 100,000,000 2015/07/15 2016/07/29 15.5023886 J P Morgan SP BV – HKEx European Warrants Feb 2016 C 300,000,000 2015/07/15 2016/02/01 75.9023880 J P Morgan SP BV – HSCEI European Wts Oct 2015 E 200,000,000 2015/07/15 2015/10/29 30.2023792 J P Morgan SP BV – HSCEI European Wts Jan 2016 E 200,000,000 2015/07/15 2016/01/28 50.0023913 J P Morgan SP BV – HSCEI European Put Warrants Feb 2016 F 200,000,000 2015/07/15 2016/02/26 50.6023881 J P Morgan SP BV – HS H-SHARE European Warrants Jan 2016 B 100,000,000 2015/07/15 2016/01/29 56.0023791 J P Morgan SP BV – HSI European Warrants Jan 2016 H 300,000,000 2015/07/15 2016/01/28 75.3023789 J P Morgan SP BV – HSI European Warrants Feb 2016 D 300,000,000 2015/07/15 2016/02/26 75.3023788 J P Morgan SP BV – HSI European Warrants Mar 2016 B 300,000,000 2015/07/15 2016/03/30 75.0023879 J P Morgan SP BV – HSI European Put Warrants Jan 2016 I 300,000,000 2015/07/15 2016/01/28 75.3023908 J P Morgan SP BV – HSI European Put Warrants Feb 2016 E 300,000,000 2015/07/15 2016/02/26 75.0023907 J P Morgan SP BV – Kingsoft European Warrants Mar 2016 A 100,000,000 2015/07/15 2016/03/01 25.8023904 J P Morgan SP BV – Ping An European Warrants Feb 2016 D 100,000,000 2015/07/15 2016/02/03 99.7023903 J P Morgan SP BV – Ping An European Warrants Mar 2016 A 100,000,000 2015/07/15 2016/03/02 86.3023889 J P Morgan SP BV – Tencent European Warrants Feb 2016 C 100,000,000 2015/07/15 2016/02/02 130.2023911 J P Morgan SP BV – Tracker Fund European Warrants Apr 2016 A 100,000,000 2015/07/15 2016/04/11 15.1023910 J P Morgan SP BV – Wanda Comm European Warrants Jan 2016 A 60,000,000 2015/07/15 2016/01/29 49.2623778 Macquarie Bank Ltd. – Agricultural Bk Euro Warrants Mar 2016 B 23,000,000 2015/07/15 2016/03/02 10.0123802 Macquarie Bank Ltd. – CITIC Bank European Wts Apr 2016 A 28,000,000 2015/07/15 2016/04/05 10.0223779 Macquarie Bank Ltd. – CKH European Warrants Jul 2017 A 40,000,000 2015/07/15 2017/07/04 10.0023781 Macquarie Bank Ltd. – HKEx European Warrants Dec 2015 C 50,000,000 2015/07/15 2015/12/02 10.1023780 Macquarie Bank Ltd. – HKEx European Warrants Feb 2016 B 30,000,000 2015/07/15 2016/02/02 10.2023801 Standard Chartered Bank – China Life European Wts Aug 2016 A 80,000,000 2015/07/15 2016/08/08 35.2023798 Standard Chartered Bank – HKEx European Warrants Jun 2016 B 100,000,000 2015/07/15 2016/06/03 48.0023799 Standard Chartered Bank – HKEx European Put Wts Feb 2016 C 60,000,000 2015/07/15 2016/02/15 15.0023800 Standard Chartered Bank – Kingsoft European Wts Feb 2016 A 60,000,000 2015/07/15 2016/02/29 15.0023859 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Jan 16 A 80,000,000 2015/07/15 2016/01/06 35.2023855 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Feb 16 A 80,000,000 2015/07/15 2016/02/03 53.6023854 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Feb 2016 A 100,000,000 2015/07/15 2016/02/03 43.0023785 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Feb 2016C 150,000,000 2015/07/15 2016/02/26 37.5023864 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt Jan16C 150,000,000 2015/07/15 2016/01/28 37.5023861 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Nov 2015 F 150,000,000 2015/07/15 2015/11/27 28.50

Main Board Warrants



23863 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Dec 2015 F 150,000,000 2015/07/15 2015/12/30 27.7523787 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jan 2016 H 150,000,000 2015/07/15 2016/01/28 37.5023862 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Oct 15 E 150,000,000 2015/07/15 2015/10/29 31.5023860 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Feb 16 A 150,000,000 2015/07/15 2016/02/26 37.5023853 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Feb 16 B 60,000,000 2015/07/15 2016/02/03 51.6023850 UBS AG – BYD European Warrants Jan 2016 B 50,000,000 2015/07/15 2016/01/18 23.0023851 UBS AG – CC Bank European Warrants Oct 2015 B 100,000,000 2015/07/15 2015/10/30 41.0023852 UBS AG – CC Bank European Warrants Jan 2016 C 100,000,000 2015/07/15 2016/01/18 79.0023832 UBS AG – China Mobile European Warrants Dec 2015 C 100,000,000 2015/07/15 2015/12/22 60.0023835 UBS AG – China Mobile European Warrants Jan 2016 A 100,000,000 2015/07/15 2016/01/14 80.0023842 UBS AG – Fosun Intl European Warrants Jan 2016 B 50,000,000 2015/07/15 2016/01/14 12.5023849 UBS AG – A50 China European Warrants Jan 2016 A 300,000,000 2015/07/15 2016/01/25 75.0023866 UBS AG – HKEx European Warrants Jan 2016 G 300,000,000 2015/07/15 2016/01/25 90.0023846 UBS AG – HSCEI European Warrants Nov 2015 D 200,000,000 2015/07/15 2015/11/27 68.0023830 UBS AG – HSCEI European Warrants Jan 2016 A 200,000,000 2015/07/15 2016/01/28 50.0023847 UBS AG – HSCEI European Warrants Jan 2016 B 200,000,000 2015/07/15 2016/01/28 56.0023831 UBS AG – HSCEI European Warrants Mar 2016 D 200,000,000 2015/07/15 2016/03/30 50.0023874 UBS AG – HSCEI European Put Warrants Jan 2016 C 200,000,000 2015/07/15 2016/01/28 50.0023873 UBS AG – HSCEI European Put Warrants Mar 2016 E 200,000,000 2015/07/15 2016/03/30 50.0023843 UBS AG – HSI European Warrants Jan 2016 I 300,000,000 2015/07/15 2016/01/28 75.0023845 UBS AG – HSI European Warrants Jan 2016 J 300,000,000 2015/07/15 2016/01/28 90.0023829 UBS AG – HSI European Warrants Mar 2016 B 300,000,000 2015/07/15 2016/03/30 75.0023868 UBS AG – HSI European Put Warrants Jan 2016 K 300,000,000 2015/07/15 2016/01/28 75.0023869 UBS AG – HSI European Put Warrants Jan 2016 L 300,000,000 2015/07/15 2016/01/28 75.0023867 UBS AG – PetroChina European Warrants Dec 2015 A 50,000,000 2015/07/15 2015/12/29 16.0023953 BOCI Asia Ltd. – Agricultural Bk European Wts Dec 2015 A 100,000,000 2015/07/16 2015/12/31 22.0023952 BOCI Asia Ltd. – BYD European Warrants Jan 2016 A 100,000,000 2015/07/16 2016/01/08 31.0023949 BOCI Asia Ltd. – CC Bank European Warrants Jan 2016 A 100,000,000 2015/07/16 2016/01/25 38.0023956 BOCI Asia Ltd. – CITIC Sec European Warrants Feb 2016 A 100,000,000 2015/07/16 2016/02/29 30.0023951 BOCI Asia Ltd. – China Mobile European Warrants Dec 2015 C 100,000,000 2015/07/16 2015/12/31 47.0023947 BOCI Asia Ltd. – HSBC European Warrants Jan 2016 B 100,000,000 2015/07/16 2016/01/18 29.0023955 BOCI Asia Ltd. – Ping An European Warrants Jan 2016 A 100,000,000 2015/07/16 2016/01/25 65.0023948 BOCI Asia Ltd. – Tencent Holdings European Wts Feb 2016 C 100,000,000 2015/07/16 2016/02/11 15.0024052 Credit Suisse AG – BOCL European Warrants Jan 2016 A 80,000,000 2015/07/16 2016/01/28 30.4024048 Credit Suisse AG – CC Bank European Warrants Jan 2016 A 80,000,000 2015/07/16 2016/01/28 50.4024053 Credit Suisse AG – China Life European Warrants Jan 2016 A 80,000,000 2015/07/16 2016/01/28 30.4024047 Credit Suisse AG – China Mobile European Warrants Jan 2016 B 80,000,000 2015/07/16 2016/01/28 62.4024046 Credit Suisse AG – HSI European Put Warrants Jan 2016 D 200,000,000 2015/07/16 2016/01/28 50.0024050 Credit Suisse AG – ICBC European Warrants Jan 2016 A 80,000,000 2015/07/16 2016/01/28 40.0024056 Credit Suisse AG – Ping An European Warrants Jun 2017 A 150,000,000 2015/07/16 2017/06/30 22.5024058 Credit Suisse AG – Ping An European Warrants Sep 2017 A 150,000,000 2015/07/16 2017/09/29 30.0024055 Credit Suisse AG – Ping An European Put Warrants Jan 2016 D 80,000,000 2015/07/16 2016/01/28 68.0023958 HK Bank – CAM CSI300 European Warrants Jan 2016 B 80,000,000 2015/07/16 2016/01/29 28.0023972 HK Bank – BOCL European Warrants Jan 2016 C 80,000,000 2015/07/16 2016/01/29 24.00

Main Board Warrants



23971 HK Bank – China Life European Warrants Jan 2016 B 100,000,000 2015/07/16 2016/01/29 25.0023966 HK Bank – China Mobile European Warrants Dec 2015 C 80,000,000 2015/07/16 2015/12/31 36.0023965 HK Bank – HSCEI European Warrants Jan 2016 B 180,000,000 2015/07/16 2016/01/28 45.0023959 HK Bank – HSI European Warrants Dec 2015 H 180,000,000 2015/07/16 2015/12/30 32.4023973 HK Bank – PetroChina European Warrants Jan 2016 A 80,000,000 2015/07/16 2016/01/29 36.0024042 J P Morgan SP BV – CHALCO European Warrants Mar 2016 A 60,000,000 2015/07/16 2016/03/01 19.4424037 J P Morgan SP BV – China Coal European Warrants Mar 2016 A 60,000,000 2015/07/16 2016/03/01 28.8624044 J P Morgan SP BV – China Gas Hold European Wts Oct 2016 A 100,000,000 2015/07/16 2016/10/03 25.1024038 J P Morgan SP BV – China Tel European Warrants Apr 2016 A 80,000,000 2015/07/16 2016/04/01 27.6824040 J P Morgan SP BV – Shimao Property European Wts Apr 2016 A 80,000,000 2015/07/16 2016/04/05 20.2423995 Macquarie Bank Ltd. – Anhui Conch European Wts Apr 2016 A 34,000,000 2015/07/16 2016/04/05 10.2023982 Macquarie Bank Ltd. – AIA European Warrants Feb 2016 B 25,000,000 2015/07/16 2016/02/02 10.0024008 Macquarie Bank Ltd. – BOCHK European Warrants Oct 2016 A 35,000,000 2015/07/16 2016/10/04 10.1924025 Macquarie Bank Ltd. – CGS European Warrants Jul 2017 A 30,000,000 2015/07/16 2017/07/04 10.0524017 Macquarie Bank Ltd. – CITIC Sec European Warrants Jul 2016 A 20,000,000 2015/07/16 2016/07/05 10.0423992 Macquarie Bank Ltd. – CKP European Warrants Apr 2016 B 20,000,000 2015/07/16 2016/04/05 10.2624016 Macquarie Bank Ltd. – CM Bank European Warrants Jul 2016 A 40,000,000 2015/07/16 2016/07/05 10.0023994 Macquarie Bank Ltd. – China Overseas European Wts Apr 2016 B 36,000,000 2015/07/16 2016/04/05 10.1523978 Macquarie Bank Ltd. – Chi Res Land European Wts Mar 2016 A 40,000,000 2015/07/16 2016/03/02 10.0024014 Macquarie Bank Ltd. – China Tel European Warrants Feb 2016 A 40,000,000 2015/07/16 2016/02/02 10.0023991 Macquarie Bank Ltd. – China Taiping European Wts Feb 2016 B 40,000,000 2015/07/16 2016/02/02 10.0024010 Macquarie Bank Ltd. – China Unicom European Wts Oct 2017 A 40,000,000 2015/07/16 2017/10/03 10.0424009 Macquarie Bank Ltd. – Galaxy Ent European Wts Apr 2016 A 25,000,000 2015/07/16 2016/04/05 10.1324001 Macquarie Bank Ltd. – HSBC European Warrants Feb 2016 A 27,000,000 2015/07/16 2016/02/02 10.2623977 Macquarie Bank Ltd. – PetroChina European Wts Jul 2018 A 60,000,000 2015/07/16 2018/07/04 15.0023990 Macquarie Bank Ltd. – PICC Group European Wts Apr 2016 A 25,000,000 2015/07/16 2016/04/05 10.0023976 Macquarie Bank Ltd. – Tencent European Put Wts Oct 2016 A 60,000,000 2015/07/16 2016/10/04 15.0024034 Standard Chartered Bank – CAM CSI300 European Wts Feb 2016 B 60,000,000 2015/07/16 2016/02/01 27.0024002 Standard Chartered Bank – CC Bank European Wts Jul 2016 A 80,000,000 2015/07/16 2016/07/29 32.0024003 Standard Chartered Bank – CITIC Sec European Wts Feb 2016 A 80,000,000 2015/07/16 2016/02/11 20.0024030 Standard Chartered Bank – CSOP A50 ETF Euro Wts Apr 2016 B 100,000,000 2015/07/16 2016/04/05 25.0024035 SGA Societe Generale Acceptance N.V. – CRRC Euro Wts Mar16 A 60,000,000 2015/07/16 2016/03/03 15.0024036 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt Mar16A 40,000,000 2015/07/16 2016/03/03 12.0024004 UBS AG – CKH European Warrants Dec 2016 B 300,000,000 2015/07/16 2016/12/20 45.0024007 UBS AG – Sinopec Corp European Warrants Jan 2016 A 70,000,000 2015/07/16 2016/01/18 23.1024005 UBS AG – SHK Ppt European Warrants Oct 2016 A 200,000,000 2015/07/16 2016/10/24 30.0024064 BOCI Asia Ltd. – HSCEI European Warrants Feb 2016 A 100,000,000 2015/07/17 2016/02/26 23.0024060 BOCI Asia Ltd. – HSI European Warrants Dec 2015 C 100,000,000 2015/07/17 2015/12/30 21.0024063 BOCI Asia Ltd. – HSI European Put Warrants Jan 2016 A 100,000,000 2015/07/17 2016/01/28 27.0024077 Credit Suisse AG – CC Bank European Put Warrants Jan 2016 B 70,000,000 2015/07/17 2016/01/28 35.0024079 Credit Suisse AG – China Life European Put Wts Jan 2016 B 70,000,000 2015/07/17 2016/01/28 21.0024080 Credit Suisse AG – HKEx European Put Warrants Jan 2016 C 80,000,000 2015/07/17 2016/01/28 20.0024078 Credit Suisse AG – HSBC European Put Warrants Jan 2016 C 70,000,000 2015/07/17 2016/01/28 25.2024070 Goldman Sachs SP (Asia) – BOCL European Warrants Jan 2016 C 100,000,000 2015/07/17 2016/01/28 32.40

Main Board Warrants



24068 Goldman Sachs SP (Asia) – CC Bank European Wts Jan 2016 B 100,000,000 2015/07/17 2016/01/28 55.5024071 Goldman Sachs SP (Asia) – Tencent European Put Wt Jun 2016 B 300,000,000 2015/07/17 2016/06/29 54.9024073 HK Bank – Anhui Conch European Warrants Jan 2016 A 80,000,000 2015/07/17 2016/01/29 20.0024074 HK Bank – CRRC European Warrants Jan 2016 A 100,000,000 2015/07/17 2016/01/29 25.0024072 HK Bank – China Tel European Warrants Jan 2016 A 80,000,000 2015/07/17 2016/01/29 20.0024091 J P Morgan SP BV – China Life European Put Wts Apr 2016 A 100,000,000 2015/07/17 2016/04/05 28.8024090 J P Morgan SP BV – HSBC European Put Warrants Feb 2016 B 100,000,000 2015/07/17 2016/02/03 38.0024066 Macquarie Bank Ltd. – Minsheng Bank European Wts Apr 2017 A 50,000,000 2015/07/17 2017/04/04 12.5024065 Macquarie Bank Ltd. – Lenovo European Warrants Feb 2016 A 10,000,000 2015/07/17 2016/02/02 10.0024089 Standard Chartered Bank – HSBC European Warrants Apr 2016 A 100,000,000 2015/07/17 2016/04/11 25.0024083 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Mar16C 300,000,000 2015/07/17 2016/03/03 55.5024084 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jun16A 300,000,000 2015/07/17 2016/06/03 48.0024087 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Jul 2016A 300,000,000 2015/07/17 2016/07/06 49.5024081 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jan 2016 I 150,000,000 2015/07/17 2016/01/28 23.2524082 UBS AG – CSOP A50 ETF European Warrants May 2016 C 300,000,000 2015/07/17 2016/05/23 45.0024102 Credit Suisse AG – HSCEI European Warrants Jan 2016 C 128,000,000 2015/07/20 2016/01/28 32.0024104 Credit Suisse AG – HSCEI European Warrants Feb 2016 A 128,000,000 2015/07/20 2016/02/26 32.0024110 Credit Suisse AG – HSCEI European Put Warrants Jan 2016 D 128,000,000 2015/07/20 2016/01/28 38.4024109 Credit Suisse AG – HSCEI European Put Warrants Mar 2016 B 128,000,000 2015/07/20 2016/03/30 64.0024100 Credit Suisse AG – HS H-SHARE European Warrants Jan 2016 B 70,000,000 2015/07/20 2016/01/19 65.1024127 J P Morgan SP BV – Greatwall Motor European Wts Apr 2016 A 100,000,000 2015/07/20 2016/04/05 58.7024098 Macquarie Bank Ltd. – BankComm European Warrants Feb 2016 A 25,000,000 2015/07/20 2016/02/02 10.3824123 Standard Chartered Bank – BOCL European Warrants Feb 2016 A 80,000,000 2015/07/20 2016/02/01 20.0024126 Standard Chartered Bank – CGN Power European Warrants Feb16A 50,000,000 2015/07/20 2016/02/22 12.5024118 Standard Chartered Bank – China Mobile Euro Wts Jan 2016 A 100,000,000 2015/07/20 2016/01/25 60.0024116 Standard Chartered Bank – Haitong Sec Euro Wts Feb 2016 A 80,000,000 2015/07/20 2016/02/11 20.0024125 Standard Chartered Bank – PetroChina European Wts Apr 2016 A 80,000,000 2015/07/20 2016/04/05 20.0024092 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Feb 2016 A 100,000,000 2015/07/20 2016/02/03 38.0024093 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Feb 2016 B 100,000,000 2015/07/20 2016/02/03 53.0024099 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Feb16B 50,000,000 2015/07/20 2016/02/03 61.0024097 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Feb 16 C 60,000,000 2015/07/20 2016/02/03 40.2024159 BNP Paribas Arbit Issu B.V. – Avichina European Wts Feb 16 A 80,000,000 2015/07/21 2016/02/02 20.0024160 BNP Paribas Arbit Issu B.V. – China Cinda Eur Wts Feb 2016 A 50,000,000 2015/07/21 2016/02/02 22.0024169 BNP Paribas Arbit Issu B.V. – CITIC Sec Euro Wts Feb 2016 A 60,000,000 2015/07/21 2016/02/02 24.6024170 BNP Paribas Arbit Issu B.V. – Minsheng Bk Euro Wt Dec 2015 A 40,000,000 2015/07/21 2015/12/31 27.6024179 BNP Paribas Arbit Issu B.V. – CNBM European Wts Feb 2016 A 30,000,000 2015/07/21 2016/02/02 24.6024158 BNP Paribas Arbit Issu B.V. – Fosun Intl European Wts Feb16A 80,000,000 2015/07/21 2016/02/02 24.0024164 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Feb 2016 A 60,000,000 2015/07/21 2016/02/02 29.4024161 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Feb 2016 A 40,000,000 2015/07/21 2016/02/02 22.8024165 BNP Paribas Arbit Issu B.V. – Sands China Euro Wt Feb 2016 A 60,000,000 2015/07/21 2016/02/02 19.8024156 Credit Suisse AG – HSBC European Wts Dec 2015 D 80,000,000 2015/07/21 2015/12/30 12.8024144 Credit Suisse AG – HSCEI European Warrants Feb 2016 B 128,000,000 2015/07/21 2016/02/26 19.2024149 Goldman Sachs SP (Asia) – Galaxy Ent European Wts Jan 2016 B 80,000,000 2015/07/21 2016/01/29 29.6024152 Goldman Sachs SP (Asia) – Sands China Euro Wts Jan 2016 A 80,000,000 2015/07/21 2016/01/29 23.52

Main Board Warrants



24141 HK Bank – CITIC Sec European Warrants Jan 2016 A 80,000,000 2015/07/21 2016/01/29 20.0024132 HK Bank – CNOOC European Warrants Dec 2016 B 180,000,000 2015/07/21 2016/12/28 27.0024135 HK Bank – Sinopec Corp European Warrants Jan 2016 A 80,000,000 2015/07/21 2016/01/29 36.0024139 HK Bank – CPIC European Warrants Jan 2016 A 50,000,000 2015/07/21 2016/01/29 15.0024140 HK Bank – HS H-SHARE European Warrants Jan 2016 A 50,000,000 2015/07/21 2016/01/29 30.0024143 HK Bank – PetroChina European Warrants Jan 2016 B 80,000,000 2015/07/21 2016/01/29 28.0024130 Macquarie Bank Ltd. – China Life European Put Warrants Feb16D 40,000,000 2015/07/21 2016/02/02 10.0024178 Standard Chartered Bank – CAM CSI300 European Wts Apr 2016 A 80,000,000 2015/07/21 2016/04/01 24.0024171 Standard Chartered Bank – China Overseas Euro Wt Jan 2016 A 80,000,000 2015/07/21 2016/01/12 12.0024176 Standard Chartered Bank – Greatwall Motor Euro Wt Apr 2016 A 50,000,000 2015/07/21 2016/04/05 12.5024177 Standard Chartered Bank – HSHI ETF European Put Wts May 16 A 40,000,000 2015/07/21 2016/05/09 18.0024174 Standard Chartered Bank – ZTE European Warrants Feb 2016 A 50,000,000 2015/07/21 2016/02/24 12.5024153 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt Feb 2016 A 100,000,000 2015/07/21 2016/02/03 30.5024155 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Feb16A 25,000,000 2015/07/21 2016/02/03 14.0024154 SGA Societe Generale Acceptance N.V. – Shenhua Eu Wt Sep 16 A 40,000,000 2015/07/21 2016/09/05 10.0024145 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Feb16A 80,000,000 2015/07/21 2016/02/03 28.8024146 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Feb16A 80,000,000 2015/07/21 2016/02/03 22.4024147 SGA Societe Generale Acceptance NV – Sands Ch Eu Put Wt Mar16A 80,000,000 2015/07/21 2016/03/03 30.0020906 # Standard Chartered Bank – HKEx European Warrants Dec 2015 C 100,000,000 2015/07/21 2015/12/28 18.7021778 # Standard Chartered Bank – HKEx European Warrants Jan 2016 C 100,000,000 2015/07/21 2016/01/04 11.0024186 Credit Suisse AG – CITIC Sec European Warrants Jan 2016 A 60,000,000 2015/07/22 2016/01/28 25.8024185 Credit Suisse AG – CNOOC European Warrants Dec 2016 A 150,000,000 2015/07/22 2016/12/29 22.5024187 Credit Suisse AG – HSI European Put Warrants Jan 2016 E 128,000,000 2015/07/22 2016/01/28 32.0024189 Credit Suisse AG – HSI European Put Warrants Jan 2016 F 128,000,000 2015/07/22 2016/01/28 34.5624209 Goldman Sachs SP (Asia) – China Life Euro Wts Jan 2016 A 80,000,000 2015/07/22 2016/01/28 26.4824210 Goldman Sachs SP (Asia) – China Life Euro Wts Jan 2016 B 80,000,000 2015/07/22 2016/01/28 41.6824212 Goldman Sachs SP (Asia) – Lenovo European Wts Dec 2016 A 80,000,000 2015/07/22 2016/12/29 20.0824208 Goldman Sachs SP (Asia) – Ping An European Wts Jan 2016 B 80,000,000 2015/07/22 2016/01/28 87.2024207 J P Morgan SP BV – A50 China European Warrants Oct 2016 A 200,000,000 2015/07/22 2016/10/21 33.8024205 J P Morgan SP BV – PetroChina European Warrants Dec 2015 B 100,000,000 2015/07/22 2015/12/30 42.3024180 Macquarie Bank Ltd. – BOCL European Put Warrants Feb 2016 C 35,000,000 2015/07/22 2016/02/02 10.0124181 Macquarie Bank Ltd. – Greatwall Motor European Wts Feb 2016 B 30,000,000 2015/07/22 2016/02/02 10.0224193 Standard Chartered Bank – China Life European Wts Jan 2016 B 100,000,000 2015/07/22 2016/01/25 20.0024190 Standard Chartered Bank – Sinopec Corp Euro Wts Feb 2016 A 80,000,000 2015/07/22 2016/02/29 20.0024204 Standard Chartered Bank – HSCEI European Put Wts Jan 2016 D 100,000,000 2015/07/22 2016/01/28 15.0024194 Standard Chartered Bank – HSI European Warrants Jan 2016 A 100,000,000 2015/07/22 2016/01/28 25.0024195 Standard Chartered Bank – HSI European Put Wts Jan 2016 B 100,000,000 2015/07/22 2016/01/28 25.0024192 Standard Chartered Bank – Kingsoft European Wts Jan 2016 B 60,000,000 2015/07/22 2016/01/22 15.0024200 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Feb 2016 A 100,000,000 2015/07/22 2016/02/03 32.5024197 SGA Societe Generale Acceptance N.V. – CGS Euro Wts Jun 16 A 60,000,000 2015/07/22 2016/06/03 15.0024184 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Feb16C 50,000,000 2015/07/22 2016/02/03 24.5024201 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Feb 2016A 60,000,000 2015/07/22 2016/02/03 38.4024182 UBS AG – BYD European Warrants Aug 2017 A 300,000,000 2015/07/22 2017/08/28 75.0024183 UBS AG – Greatwall Motor European Warrants Jan 2016 A 30,000,000 2015/07/22 2016/01/25 14.40

Main Board Warrants



24203 UBS AG – Ping An European Warrants Jan 2016 B 100,000,000 2015/07/22 2016/01/21 100.0024217 BOCI Asia Ltd. – CM Bank European Warrants Feb 2016 B 100,000,000 2015/07/23 2016/02/11 25.0024218 BOCI Asia Ltd. – Haitong Sec European Warrants Jan 2016 A 100,000,000 2015/07/23 2016/01/18 27.0024213 BOCI Asia Ltd. – PetroChina European Warrants Feb 2016 A 100,000,000 2015/07/23 2016/02/11 42.0024246 Credit Suisse AG – China Life European Warrants Jan 2016 C 70,000,000 2015/07/23 2016/01/28 17.5024221 HK Bank – Agricultural Bank European Warrants Jan 2016 B 80,000,000 2015/07/23 2016/01/29 20.0024219 HK Bank – China Overseas European Warrants Dec 2015 A 100,000,000 2015/07/23 2015/12/31 15.0024224 HK Bank – Kingsoft European Warrants Jan 2016 A 80,000,000 2015/07/23 2016/01/29 20.0024234 SGA Societe Generale Acceptance NV – Minsheng Bk Eu Wt Feb16 B 12,000,000 2015/07/23 2016/02/03 10.4424235 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Dec 15 B 80,000,000 2015/07/23 2015/12/03 28.0024240 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Feb 2016A 80,000,000 2015/07/23 2016/02/03 38.0024236 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Feb 2016 F 200,000,000 2015/07/23 2016/02/03 69.0024239 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt May 2016 A 100,000,000 2015/07/23 2016/05/05 46.0024225 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Jan 2016D 150,000,000 2015/07/23 2016/01/28 36.0024226 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Jan 2016E 150,000,000 2015/07/23 2016/01/28 29.2524229 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Mar 2016B 150,000,000 2015/07/23 2016/03/30 24.7524233 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt Feb16D 150,000,000 2015/07/23 2016/02/26 22.5024232 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt Mar16C 150,000,000 2015/07/23 2016/03/30 22.5024243 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Feb 2016 B 80,000,000 2015/07/23 2016/02/03 33.6024245 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Feb 16 A 500,000,000 2015/07/23 2016/02/03 77.5024244 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Jul 16 C 500,000,000 2015/07/23 2016/07/06 125.0024271 BNP Paribas Arbit Issu B.V. – CHALCO European Wts Feb 2016 A 50,000,000 2015/07/24 2016/02/02 25.5024270 BNP Paribas Arbit Issu B.V. – Haitong Sec Eu Wts Feb 2016 A 50,000,000 2015/07/24 2016/02/02 17.0024273 Credit Suisse AG – Lenovo European Warrants Jun 2016 B 120,000,000 2015/07/24 2016/06/29 18.0024275 Goldman Sachs SP (Asia) – AIA European Warrants Feb 2016 A 80,000,000 2015/07/24 2016/02/02 20.0024274 Goldman Sachs SP (Asia) – China Cinda Euro Wts Jan 2016 B 80,000,000 2015/07/24 2016/01/28 33.6024276 Goldman Sachs SP (Asia) – Guotai Junani European Wts Sep16 A 100,000,000 2015/07/24 2016/09/29 18.6024268 Macquarie Bank Ltd. – HKEx European Warrants Jan 2016 E 55,000,000 2015/07/24 2016/01/05 10.0124248 Macquarie Bank Ltd. – Yanzhou Coal European Wts Jan 2018 A 40,000,000 2015/07/24 2018/01/03 10.0024269 Standard Chartered Bank – BYD European Warrants Feb 2018 A 50,000,000 2015/07/24 2018/02/26 12.5024254 Standard Chartered Bank – China Coal European Wts Jul 2016 A 60,000,000 2015/07/24 2016/07/11 15.0024258 Standard Chartered Bank – CRCC European Warrants Mar 2016 A 50,000,000 2015/07/24 2016/03/29 12.5024253 Standard Chartered Bank – China Shenhua Euro Wts Apr 2016 A 80,000,000 2015/07/24 2016/04/22 12.0024259 Standard Chartered Bank – YZ Coal European Wts Sep 2016 A 60,000,000 2015/07/24 2016/09/05 15.0024255 Standard Chartered Bank – Zijin Mining Euro Wts Aug 2016 A 50,000,000 2015/07/24 2016/08/01 12.5024250 SGA Societe Generale Acceptance N.V – HS H-SH Eu Put Wt Feb16D 50,000,000 2015/07/24 2016/02/03 18.2524252 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jan 16 J 150,000,000 2015/07/24 2016/01/28 24.0024249 SGA Societe Generale Acceptance N.V – Ping An Eu Put Wt Feb16D 60,000,000 2015/07/24 2016/02/03 37.8024260 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Feb 16 B 60,000,000 2015/07/24 2016/02/03 100.8024265 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Feb 16 C 60,000,000 2015/07/24 2016/02/03 68.4024287 Credit Suisse AG – AIA European Warrants Dec 2015 B 80,000,000 2015/07/27 2015/12/31 25.2024291 Goldman Sachs SP (Asia) – CGS European Warrants Apr 2016 A 80,000,000 2015/07/27 2016/04/15 20.0024292 Goldman Sachs SP (Asia) – Ch Overseas European Wts Mar 2016 A 60,000,000 2015/07/27 2016/03/30 19.8624281 HK Bank – CITIC Bank European Warrants Jan 2016 A 50,000,000 2015/07/27 2016/01/29 20.00

Main Board Warrants



24282 HK Bank – Greatwall Motor European Warrants Feb 2016 A 50,000,000 2015/07/27 2016/02/29 15.0024285 HK Bank – HSCEI European Put Warrants Jan 2016 C 180,000,000 2015/07/27 2016/01/28 27.0024278 HK Bank – Link REIT European Warrants Jan 2016 A 80,000,000 2015/07/27 2016/01/29 20.0024277 HK Bank – PetroChina European Warrants Oct 2015 B 100,000,000 2015/07/27 2015/10/30 15.0024286 Macquarie Bank Ltd. – CC Bank European Warrants Mar 2016 A 24,000,000 2015/07/27 2016/03/02 10.0324290 Macquarie Bank Ltd. – CKH European Warrants Feb 2016 B 10,000,000 2015/07/27 2016/02/02 10.0624288 Macquarie Bank Ltd. – China Mobile European Wts Dec 2015 A 55,000,000 2015/07/27 2015/12/02 10.0717631 # HK Bank – CNOOC European Warrants Oct 2015 A 420,000,000 2015/07/27 2015/10/30 18.0624305 J P Morgan SP BV – China Unicom European Warrants Oct 2016 A 100,000,000 2015/07/28 2016/10/03 25.1024299 Macquarie Bank Ltd. – Sinopec Corp European Wts Feb 2016 A 30,000,000 2015/07/28 2016/02/02 10.0824293 Macquarie Bank Ltd. – Guotai Junani European Warrants Oct17A 40,000,000 2015/07/28 2017/10/03 10.0024298 Standard Chartered Bank – CGS European Warrants May 2016 A 80,000,000 2015/07/28 2016/05/23 20.0024294 Standard Chartered Bank – Evergrande European Wts Jul 2016 A 50,000,000 2015/07/28 2016/07/18 21.0024297 Standard Chartered Bank – SPDR Gold Trust Euro Wt Jul 2016 A 50,000,000 2015/07/28 2016/07/28 36.5024304 UBS AG – CITIC Sec European Warrants Jan 2016 B 50,000,000 2015/07/28 2016/01/27 18.5024301 UBS AG – China Unicom European Warrants Feb 2017 A 100,000,000 2015/07/28 2017/02/13 25.0010349 BNP Paribas Arbit Issu B.V. – Gold European Wts Jun 2016 A 100,000,000 2015/07/29 2016/06/16 25.0010350 BNP Paribas Arbit Issu B.V. – Gold European Put Wts Jun 16 B 100,000,000 2015/07/29 2016/06/16 25.0010351 BNP Paribas Arbit Issu B.V. – Oil Futures Euro Wt May 2016 A 100,000,000 2015/07/29 2016/05/18 25.0010352 BNP Paribas Arbit Issu B.V. – Oil Futures Eu Put Wt May 16 B 100,000,000 2015/07/29 2016/05/18 25.0024318 HK Bank – CHALCO European Warrants Jan 2016 A 40,000,000 2015/07/29 2016/01/29 10.0024311 HK Bank – HSI European Warrants Jan 2016 F 250,000,000 2015/07/29 2016/01/28 62.5024310 HK Bank – HSI European Put Warrants Jan 2016 E 250,000,000 2015/07/29 2016/01/28 62.5024320 HK Bank – HSI European Put Warrants Jan 2016 G 250,000,000 2015/07/29 2016/01/28 62.5024317 HK Bank – Zijin Mining European Warrants Feb 2016 A 40,000,000 2015/07/29 2016/02/29 10.0024306 Macquarie Bank Ltd. – Tencent European Warrants Feb 2016 A 15,000,000 2015/07/29 2016/02/02 10.0224309 Macquarie Bank Ltd. – Tencent European Warrants Feb 2016 B 12,000,000 2015/07/29 2016/02/02 10.0424321 SGA Societe Generale Acceptance N.V. – CMob Eu Put Wt Jan16B 80,000,000 2015/07/29 2016/01/06 22.8024322 SGA Societe Generale Acceptance N.V. – ChiUnicom Eu Wt Oct16 A 100,000,000 2015/07/29 2016/10/05 25.0024326 BOCI Asia Ltd. – AIA European Warrants Feb 2016 A 100,000,000 2015/07/30 2016/02/15 38.0024325 BOCI Asia Ltd. – Sinopec Corp European Warrants Feb 2016 A 100,000,000 2015/07/30 2016/02/05 31.0024334 BNP Paribas Arbit Issu B.V. – Agricultural Bank Eu Wt Feb16A 40,000,000 2015/07/30 2016/02/02 14.0024335 BNP Paribas Arbit Issu B.V. – BYD European Wts Feb 2016 A 40,000,000 2015/07/30 2016/02/02 20.4024332 BNP Paribas Arbit Issu B.V. – CM Bank Euro Warrants Feb 2016 A 50,000,000 2015/07/30 2016/02/02 14.0024333 BNP Paribas Arbit Issu B.V. – Kingsoft Euro Wts Feb 2016 A 50,000,000 2015/07/30 2016/02/02 12.5024331 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Jan 2016 B 30,000,000 2015/07/30 2016/01/05 12.0024324 BNP Paribas Arbit Issu B.V. – SPDR Gold Trust Euro Wt Feb16A 22,000,000 2015/07/30 2016/02/02 10.1224355 J P Morgan SP BV – HSI European Put Warrants Jan 2016 J 300,000,000 2015/07/30 2016/01/28 45.3024356 J P Morgan SP BV – Sands China European Put Wts Apr 2016 A 100,000,000 2015/07/30 2016/04/05 35.8024351 J P Morgan SP BV – SPDR Gold Trust European Wts Feb 2016 A 50,000,000 2015/07/30 2016/02/23 25.4524353 J P Morgan SP BV – SPDR Gold Trust European Wts Mar 2016 A 50,000,000 2015/07/30 2016/03/22 15.0024323 Macquarie Bank Ltd. – Tencent European Put Wts Feb 2016 C 15,000,000 2015/07/30 2016/02/02 10.0424337 Standard Chartered Bank – CTel European Warrants Sep 2016 A 60,000,000 2015/07/30 2016/09/26 30.0024338 Standard Chartered Bank – China Unicom Euro Wts Mar 2016 A 60,000,000 2015/07/30 2016/03/29 39.00

Main Board Warrants



24346 SGA Societe Generale Acceptance NV – Ch Ship Cont Eu Wt Aug16A 30,000,000 2015/07/30 2016/08/03 20.4024328 SGA Societe Generale Acceptance N.V. – HKEx Eu Put Wt Feb16G 200,000,000 2015/07/30 2016/02/03 30.0024330 SGA Societe Generale Acceptance N.V. – HSBC Eu Put Wt Feb16 B 100,000,000 2015/07/30 2016/02/03 25.0024339 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jan 2016 K 150,000,000 2015/07/30 2016/01/28 24.7524340 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Feb 2016 B 150,000,000 2015/07/30 2016/02/26 22.5024350 UBS AG – PetroChina European Warrants Dec 2015 B 50,000,000 2015/07/30 2015/12/23 17.5024365 Credit Suisse AG – AIA European Warrants Feb 2016 A 80,000,000 2015/07/31 2016/02/01 20.0024363 Goldman Sachs SP (Asia) – China Life Euro Wts Jan 2016 C 80,000,000 2015/07/31 2016/01/20 19.2024360 Goldman Sachs SP (Asia) – Sinopec Corp European Wts Feb 2016 A 80,000,000 2015/07/31 2016/02/02 36.2424364 Goldman Sachs SP (Asia) – HKEx European Warrants Feb 2016 A 200,000,000 2015/07/31 2016/02/01 56.2024359 Goldman Sachs Sp (Asia) – ICBC European Warrants Jan 2016 B 80,000,000 2015/07/31 2016/01/26 29.3624361 Goldman Sachs SP (Asia) – PetroChina European Wts Feb 2016 A 80,000,000 2015/07/31 2016/02/01 41.7624358 HK Bank – AIA European Warrants Feb 2016 A 80,000,000 2015/07/31 2016/02/01 20.0024357 HK Bank – Sands China European Warrants Feb 2016 A 80,000,000 2015/07/31 2016/02/01 20.8024379 BNP Paribas Arbit Issu B.V. – CKH European Wts Jan 2016 A 40,000,000 2015/08/03 2016/01/05 18.0024378 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Mar 2016 A 40,000,000 2015/08/03 2016/03/02 24.8024373 Credit Suisse AG – HKEx European Warrants Feb 2016 B 100,000,000 2015/08/03 2016/02/02 25.0024439 Goldman Sachs SP (Asia) – HKEx European Warrants Feb 2016 B 250,000,000 2015/08/03 2016/02/05 40.0024438 Goldman Sachs SP (Asia) – Tencent European Wt Feb 2016 C 300,000,000 2015/08/03 2016/02/02 45.0024431 J P Morgan SP BV – AIA European Warrants Feb 2016 A 100,000,000 2015/08/03 2016/02/02 44.9024417 J P Morgan SP BV – BOCL European Warrants Feb 2016 A 100,000,000 2015/08/03 2016/02/02 40.2024418 J P Morgan SP BV – China Life European Warrants Feb 2016 B 100,000,000 2015/08/03 2016/02/02 25.1024421 J P Morgan SP BV – Sinopec Corp European Warrants Mar 2016 A 100,000,000 2015/08/03 2016/03/02 39.4024428 J P Morgan SP BV – HSCEI European Wts Jan 2016 F 200,000,000 2015/08/03 2016/01/28 42.4024437 J P Morgan SP BV – HSCEI European Put Warrants Jan 2016 G 200,000,000 2015/08/03 2016/01/28 32.0024412 J P Morgan SP BV – HSI European Warrants Feb 2016 F 300,000,000 2015/08/03 2016/02/26 75.0024413 J P Morgan SP BV – HSI European Warrants Mar 2016 C 300,000,000 2015/08/03 2016/03/30 76.5024426 J P Morgan SP BV – HSI European Put Warrants Jan 2016 K 300,000,000 2015/08/03 2016/01/28 49.8024414 J P Morgan SP BV – ICBC European Warrants Nov 2015 B 100,000,000 2015/08/03 2015/11/04 15.1024420 J P Morgan SP BV – PetroChina European Warrants Feb 2016 B 100,000,000 2015/08/03 2016/02/02 44.8024397 Macquarie Bank Ltd. – BOCL European Warrants Mar 2016 B 25,000,000 2015/08/03 2016/03/02 10.0024393 Macquarie Bank Ltd. – CITIC Sec European Warrants Apr 2016 A 25,000,000 2015/08/03 2016/04/05 10.1824400 Macquarie Bank Ltd. – China Life European Wts Mar 2016 B 40,000,000 2015/08/03 2016/03/02 10.0024395 Macquarie Bank Ltd. – China Mobile European Put Wts Mar16A 35,000,000 2015/08/03 2016/03/02 10.0824384 Macquarie Bank Ltd. – HKEx European Put Warrants Jul 2016 D 40,000,000 2015/08/03 2016/07/05 10.0024407 Macquarie Bank Ltd. – Haitong Sec European Wts May 2016 B 30,000,000 2015/08/03 2016/05/04 10.0824366 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Mar16A 50,000,000 2015/08/03 2016/03/03 25.0024368 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Apr16A 50,000,000 2015/08/03 2016/04/06 14.5024372 SGA Societe Generale Acceptance N.V – HS H-SH Eu Put Wt Mar16B 50,000,000 2015/08/03 2016/03/03 47.0024375 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Mar 16 A 120,000,000 2015/08/03 2016/03/03 49.8024409 UBS AG – HSI European Warrants Nov 2015 H 300,000,000 2015/08/03 2015/11/27 48.0024443 Credit Suisse AG – Tencent Holdings European Wts Feb 2016 E 80,000,000 2015/08/04 2016/02/04 104.8024453 Macquarie Bank Ltd. – BYD European Warrants Mar 2016 A 12,000,000 2015/08/04 2016/03/02 10.0124446 Macquarie Bank Ltd. – CSOP A50 ETF European Wts Jul 2016 B 40,000,000 2015/08/04 2016/07/05 10.00

Main Board Warrants



24445 Macquarie Bank Ltd. – A50 China European Warrants Apr 2016 B 65,000,000 2015/08/04 2016/04/05 10.0824447 Macquarie Bank Ltd. – HKEx European Warrants Jul 2016 E 40,000,000 2015/08/04 2016/07/05 10.0024450 Macquarie Bank Ltd. – HSBC European Put Warrants Mar 2016 A 20,000,000 2015/08/04 2016/03/02 10.0624444 Macquarie Bank Ltd. – PetroChina European Wts Feb 2016 C 20,000,000 2015/08/04 2016/02/02 10.0024465 Standard Chartered Bank – HSCEI European Warrants Jan 2016 E 100,000,000 2015/08/04 2016/01/28 15.0024468 Standard Chartered Bank – HSCEI European Put Wts Feb 2016 B 100,000,000 2015/08/04 2016/02/26 15.0024454 Standard Chartered Bank – HSI European Warrants Jan 2016 C 100,000,000 2015/08/04 2016/01/28 15.0024462 Standard Chartered Bank – HSI European Put Wts Jan 2016 D 100,000,000 2015/08/04 2016/01/28 15.0024463 Standard Chartered Bank – HSI European Put Wts Jan 2016 E 100,000,000 2015/08/04 2016/01/28 20.0024442 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt Jan16F 150,000,000 2015/08/04 2016/01/28 22.5024497 Credit Suisse AG – HSCEI European Put Warrants Mar 2016 C 150,000,000 2015/08/05 2016/03/30 22.5024501 Credit Suisse AG – Ping An European Warrants Feb 2016 B 80,000,000 2015/08/05 2016/02/29 25.6024481 Goldman Sachs SP (Asia) – A50 China European Wts Feb 2016 A 80,000,000 2015/08/05 2016/02/05 65.1224482 Goldman Sachs SP (Asia) – A50 China European Wts Jun 2016 C 80,000,000 2015/08/05 2016/06/30 12.1624477 HK Bank – Agricultural Bank European Warrants Feb 2016 A 80,000,000 2015/08/05 2016/02/29 20.0024475 HK Bank – CC Bank European Warrants Feb 2016 A 80,000,000 2015/08/05 2016/02/29 32.0024473 HK Bank – China Life European Warrants Dec 2015 D 100,000,000 2015/08/05 2015/12/28 18.0024471 HK Bank – Ping An European Warrants Feb 2016 A 100,000,000 2015/08/05 2016/02/29 40.0024474 HK Bank – Tencent European Warrants Jan 2016 B 180,000,000 2015/08/05 2016/01/29 27.0024505 J P Morgan SP BV – Ch Ship Cont European Warrants Apr 2016 A 60,000,000 2015/08/05 2016/04/05 24.5424504 J P Morgan SP BV – Geely Auto European Warrants Jul 2016 A 60,000,000 2015/08/05 2016/07/05 28.4424502 J P Morgan SP BV – MCC European Warrants Apr 2016 A 60,000,000 2015/08/05 2016/04/05 34.0224503 J P Morgan SP BV – New World Dev European Wts May 2016 A 50,000,000 2015/08/05 2016/05/04 35.3524500 Macquarie Bank Ltd. – Greatwall Motor European Wts Mar 2016 A 30,000,000 2015/08/05 2016/03/02 10.0224483 Standard Chartered Bank – Sinopec Corp Euro Wts Aug 2016 A 80,000,000 2015/08/05 2016/08/01 20.0024488 Standard Chartered Bank – Galaxy Ent European Wts Feb 2016 B 80,000,000 2015/08/05 2016/02/05 12.0024487 Standard Chartered Bank – Sands China Euro Wts Jan 2016 C 80,000,000 2015/08/05 2016/01/04 12.0024492 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Mar16C 50,000,000 2015/08/05 2016/03/03 47.0024510 HK Bank – CAM CSI300 European Warrants Feb 2016 A 60,000,000 2015/08/06 2016/02/29 22.8024509 HK Bank – China Unicom European Warrants Sep 2016 A 100,000,000 2015/08/06 2016/09/30 15.0024508 HK Bank – China Unicom European Warrants Feb 2017 A 100,000,000 2015/08/06 2017/02/06 15.0024507 HK Bank – HKEx European Warrants Jan 2016 A 180,000,000 2015/08/06 2016/01/26 27.0024506 HK Bank – Lenovo European Warrants Dec 2016 A 100,000,000 2015/08/06 2016/12/29 15.0024512 Macquarie Bank Ltd. – China Life European Wts Dec 2015 B 45,000,000 2015/08/06 2015/12/02 10.0424529 Macquarie Bank Ltd. – CNBM European Warrants Mar 2016 A 15,000,000 2015/08/06 2016/03/02 10.0224536 Macquarie Bank Ltd. – Sinopec Corp European Wts Jan 2016 C 40,000,000 2015/08/06 2016/01/05 10.2024531 Macquarie Bank Ltd. – Ping An European Warrants Jan 2016 A 25,000,000 2015/08/06 2016/01/05 10.0024535 Macquarie Bank Ltd. – Sands China European Wts Dec 2015 A 52,000,000 2015/08/06 2015/12/02 10.0424513 Standard Chartered Bank – AIA European Warrants Feb 2016 A 80,000,000 2015/08/06 2016/02/22 20.0024520 Standard Chartered Bank – CAM CSI300 European Wts Mar 2016 A 80,000,000 2015/08/06 2016/03/31 25.6024525 Standard Chartered Bank – CNOOC European Warrants Jun 2017 A 80,000,000 2015/08/06 2017/06/27 12.0024518 Standard Chartered Bank – CSOP A50 ETF Euro Wts Dec 2015 C 50,000,000 2015/08/06 2015/12/28 19.5024519 Standard Chartered Bank – A50 China Euro Warrants Mar 2016 C 80,000,000 2015/08/06 2016/03/21 12.0024522 Standard Chartered Bank – HS H-SHARE European Wts Mar 2016 A 80,000,000 2015/08/06 2016/03/18 40.00

Main Board Warrants



24526 Standard Chartered Bank – Ping An European Wts Mar 2016 A 100,000,000 2015/08/06 2016/03/02 25.0024527 Standard Chartered Bank – Tencent Hldg Euro Wts Mar 2016 A 100,000,000 2015/08/06 2016/03/02 71.0024534 SGA Societe Generale Acceptance N.V. – Lenovo Eu Wt Jan 17 A 80,000,000 2015/08/06 2017/01/05 12.0024544 Goldman Sachs SP (Asia) – CITIC European Warrants Mar 2016 B 60,000,000 2015/08/07 2016/03/04 58.1424545 Goldman Sachs SP (Asia) – Sands China Euro Wts Feb 2016 A 80,000,000 2015/08/07 2016/02/11 29.1224555 J P Morgan SP BV – HKEx European Put Wts Feb 2016 D 100,000,000 2015/08/07 2016/02/02 15.5024542 Macquarie Bank Ltd. – Anhui Conch European Wts Feb 2016 B 51,000,000 2015/08/07 2016/02/02 10.1024546 Macquarie Bank Ltd. – Agricultural Bk Euro Warrants May 2016 A 20,000,000 2015/08/07 2016/05/04 10.0024554 Macquarie Bank Ltd. – China Shenhua European Wts Apr 2016 A 40,000,000 2015/08/07 2016/04/05 10.0024540 Macquarie Bank Ltd. – HSBC European Warrants Dec 2015 A 30,000,000 2015/08/07 2015/12/07 10.1424547 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Feb 2016E 150,000,000 2015/08/07 2016/02/26 33.0024548 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt Apr16A 150,000,000 2015/08/07 2016/04/28 37.5024551 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Mar 2016 B 150,000,000 2015/08/07 2016/03/30 23.2524552 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Mar 2016 C 150,000,000 2015/08/07 2016/03/30 24.0024553 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jan 16 L 150,000,000 2015/08/07 2016/01/28 26.2524541 SGA Societe Generale Acceptance N.V – Tencent Eu Put Wt Jul16D 400,000,000 2015/08/07 2016/07/06 68.0024588 Credit Suisse AG – Ping An European Warrants Feb 2016 C 80,000,000 2015/08/10 2016/02/29 34.4024598 Goldman Sachs SP (Asia) – HSCEI European Warrants Jan 2016 B 150,000,000 2015/08/10 2016/01/28 26.8524590 Goldman Sachs SP (Asia) – HSCEI European Put Wts Mar 2016 A 150,000,000 2015/08/10 2016/03/30 24.6024600 Goldman Sachs SP (Asia) – HSI European Put Wts Jan 2016 C 150,000,000 2015/08/10 2016/01/28 24.6024559 HK Bank – BOCL European Warrants Feb 2016 A 80,000,000 2015/08/10 2016/02/29 24.0024556 HK Bank – China Shenhua European Warrants Aug 2016 A 80,000,000 2015/08/10 2016/08/31 14.4024557 HK Bank – Ping An European Warrants Feb 2016 B 80,000,000 2015/08/10 2016/02/29 20.0024605 J P Morgan SP BV – Haitong Int’l European Warrants Mar 2016A 60,000,000 2015/08/10 2016/03/01 54.1224602 J P Morgan SP BV – Lenovo European Warrants Dec 2016 A 70,000,000 2015/08/10 2016/12/30 10.5724603 J P Morgan SP BV – NCI European Warrants Mar 2016 A 60,000,000 2015/08/10 2016/03/03 22.8024583 Standard Chartered Bank – CRRC European Warrants Feb 2016 A 100,000,000 2015/08/10 2016/02/26 19.0024578 Standard Chartered Bank – Galaxy Ent Euro Put Wts Jan 2016 B 60,000,000 2015/08/10 2016/01/26 15.0024582 Standard Chartered Bank – Sands China Eu Put Wts Mar 2016 A 60,000,000 2015/08/10 2016/03/01 15.0024586 SGA Societe Generale Acceptance N.V. – CCoal Eu Wt Jun 2016 A 18,000,000 2015/08/10 2016/06/03 10.0824562 SGA Societe Generale Acceptance N.V. – CMob Eu Put Wt Mar16A 80,000,000 2015/08/10 2016/03/03 48.8024560 SGA Societe Generale Acceptance N.V – HS H-SH Eu Put Wt May16A 50,000,000 2015/08/10 2016/05/05 51.5024563 SGA Societe Generale Acceptance N.V – Ping An Eu Put Wt Mar16B 120,000,000 2015/08/10 2016/03/03 30.0024561 SGA Societe Generale Acceptance NV – Sands Ch Eu Put Wt Apr16A 80,000,000 2015/08/10 2016/04/06 36.4024585 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Jun16A 16,000,000 2015/08/10 2016/06/03 10.0824566 UBS AG – PetroChina European Warrants Jan 2016 A 50,000,000 2015/08/10 2016/01/26 19.5024577 UBS AG – Ping An European Put Warrants Feb 2016 A 70,000,000 2015/08/10 2016/02/11 21.0015898 # Credit Suisse AG – Tencent Holdings European Wts Dec 2015 A 120,000,000 2015/08/10 2015/12/14 11.7624637 Bank of East Asia – China Life European Warrants Jun 2016 A 40,000,000 2015/08/11 2016/06/30 10.0024635 Bank of East Asia – Foxconn European Warrants Apr 2016 A 36,000,000 2015/08/11 2016/04/01 10.0824633 Bank of East Asia – Galaxy Ent European Warrants Apr 2016 A 40,000,000 2015/08/11 2016/04/01 10.0024627 Bank of East Asia – Great Wall Motor European Wts Feb 2016 A 40,000,000 2015/08/11 2016/02/16 10.0024638 Bank of East Asia – HKEx European Warrants Jun 2016 A 40,000,000 2015/08/11 2016/06/08 10.0024609 HK Bank – AIA European Warrants Feb 2016 B 80,000,000 2015/08/11 2016/02/29 28.00

Main Board Warrants



24612 HK Bank – CITIC Sec European Warrants Feb 2016 A 80,000,000 2015/08/11 2016/02/29 24.0024616 HK Bank – China Life European Warrants Feb 2016 A 100,000,000 2015/08/11 2016/02/29 25.0024610 HK Bank – Ch Ship Cont European Warrants Feb 2016 A 60,000,000 2015/08/11 2016/02/29 21.0024611 HK Bank – GCL-Poly Energy European Warrants Feb 2016 A 60,000,000 2015/08/11 2016/02/29 15.0024608 HK Bank – Galaxy Ent European Put Warrants Feb 2016 A 60,000,000 2015/08/11 2016/02/29 15.0024626 HK Bank – HSCEI European Put Warrants Mar 2016 A 180,000,000 2015/08/11 2016/03/30 27.0024613 HK Bank – PetroChina European Warrants Feb 2016 A 80,000,000 2015/08/11 2016/02/29 36.0024617 HK Bank – PetroChina European Warrants Jul 2018 A 180,000,000 2015/08/11 2018/07/03 27.0024606 Macquarie Bank Ltd. – CNOOC European Warrants Mar 2016 B 15,000,000 2015/08/11 2016/03/02 10.0124607 Macquarie Bank Ltd. – NCI European Warrants Mar 2016 B 25,000,000 2015/08/11 2016/03/02 10.0024640 Macquarie Bank Ltd. – GCL-Poly Energy European Wts Jun 2016 A 26,000,000 2015/08/12 2016/06/02 10.0124648 Macquarie Bank Ltd. – ICBC European Warrants Mar 2016 A 40,000,000 2015/08/12 2016/03/02 10.0024642 Standard Chartered Bank – Angang Steel European Wts Mar 16 A 50,000,000 2015/08/12 2016/03/07 12.5024647 Standard Chartered Bank – CGS European Warrants Apr 2016 A 80,000,000 2015/08/12 2016/04/22 12.0024645 Standard Chartered Bank – Haitong Sec Euro Wts Mar 2016 A 80,000,000 2015/08/12 2016/03/14 20.0024650 HK Bank – Geely Auto European Warrants Feb 2016 A 50,000,000 2015/08/13 2016/02/29 12.5024649 HK Bank – Greatwall Motor European Warrants Jun 2016 A 60,000,000 2015/08/13 2016/06/30 15.0024656 J P Morgan SP BV – CAM CSI300 European Warrants Jan 2016 B 100,000,000 2015/08/13 2016/01/04 15.4024658 J P Morgan SP BV – ICBC European Warrants Mar 2016 A 100,000,000 2015/08/13 2016/03/01 35.5024653 Macquarie Bank Ltd. – CEB Bank European Warrants Apr 2016 A 20,000,000 2015/08/13 2016/04/05 10.1224651 Macquarie Bank Ltd. – Foxconn European Warrants Jun 2016 A 14,000,000 2015/08/13 2016/06/02 10.0224655 Standard Chartered Bank – China Overseas Euro Wt Feb 2016 A 100,000,000 2015/08/13 2016/02/23 18.0024654 Standard Chartered Bank – Ping An European Wts Feb 2016 A 100,000,000 2015/08/13 2016/02/15 25.0024661 Goldman Sachs SP (Asia) – HSI European Warrants Dec 2015 G 150,000,000 2015/08/14 2015/12/30 22.5024660 J P Morgan SP BV – Ping An European Put Warrants Feb 2016 E 100,000,000 2015/08/14 2016/02/01 59.9024659 Macquarie Bank Ltd. – Lenovo European Warrants Mar 2016 A 10,000,000 2015/08/14 2016/03/02 10.0124664 Credit Suisse AG – Sands China European Warrants Feb 2016 A 80,000,000 2015/08/17 2016/02/29 20.0024666 Credit Suisse AG – Sands China European Put Wts Feb 2016 B 70,000,000 2015/08/17 2016/02/29 21.0024673 Goldman Sachs SP (Asia) – AIA European Warrants Mar 2016 A 80,000,000 2015/08/17 2016/03/04 30.1624672 J P Morgan SP BV – CC Bank European Wts Mar 2016 A 150,000,000 2015/08/17 2016/03/01 37.6524671 J P Morgan SP BV – Sands China European Warrants Mar 2016 A 120,000,000 2015/08/17 2016/03/02 30.2419194 # Goldman Sachs SP (Asia) – Tencent European Wt Dec 2015 B 150,000,000 2015/08/17 2015/12/14 10.3524681 Credit Suisse AG – HSBC European Wts Feb 2016 A 80,000,000 2015/08/18 2016/02/29 20.8024678 Macquarie Bank Ltd. – Ch Southern Air Euro Wts Feb 2017 A 40,000,000 2015/08/18 2017/02/02 10.0024676 Macquarie Bank Ltd. – Sands China European Wts Mar 2016 B 40,000,000 2015/08/18 2016/03/02 10.1624677 Macquarie Bank Ltd. – Tencent European Warrants Oct 2016 B 60,000,000 2015/08/18 2016/10/04 15.0023948 # BOCI Asia Ltd. – Tencent Holdings European Wts Feb 2016 C 120,000,000 2015/08/18 2016/02/11 10.6824710 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Mar 2016 A 60,000,000 2015/08/19 2016/03/02 28.8024711 BNP Paribas Arbit Issu B.V. – Ch Unicom Euro Wt Oct 2016 A 80,000,000 2015/08/19 2016/10/04 13.6024704 BNP Paribas Arbit Issu B.V. – Ping An European Wt Mar 2016 A 60,000,000 2015/08/19 2016/03/02 18.6024713 Bank of East Asia – CNBM European Warrants Nov 2017 A 56,000,000 2015/08/19 2017/11/29 10.0824716 Bank of East Asia – Galaxy Ent European Put Wts Mar 2016 A 40,000,000 2015/08/19 2016/03/31 10.0024718 Bank of East Asia – Li & Fung European Warrants Mar 2016 A 32,000,000 2015/08/19 2016/03/30 10.2424719 Bank of East Asia – Tencent Holdings European Wts Dec 2016 A 40,000,000 2015/08/19 2016/12/28 10.00

Main Board Warrants



24717 Bank of East Asia – Yanzhou Coal European Wts Feb 2016 A 38,000,000 2015/08/19 2016/02/29 10.2624698 J P Morgan SP BV – Agricultural Bk Euro Warrants Mar 2016 B 100,000,000 2015/08/19 2016/03/02 26.4024700 J P Morgan SP BV – CC Bank European Wts Mar 2016 B 100,000,000 2015/08/19 2016/03/01 35.2024701 J P Morgan SP BV – CITIC Bank European Warrants Mar 2016 A 100,000,000 2015/08/19 2016/03/02 31.3024689 J P Morgan SP BV – HKEx European Warrants Apr 2016 B 300,000,000 2015/08/19 2016/04/01 77.1024699 J P Morgan SP BV – HSCEI European Put Warrants Mar 2016 C 200,000,000 2015/08/19 2016/03/30 30.2024696 J P Morgan SP BV – HSI European Warrants Dec 2015 F 300,000,000 2015/08/19 2015/12/30 53.1024692 J P Morgan SP BV – China Mengniu European Wts Apr 2016 A 50,000,000 2015/08/19 2016/04/05 14.0024693 J P Morgan SP BV – Ping An European Warrants Apr 2016 A 100,000,000 2015/08/19 2016/04/01 25.9024702 J P Morgan SP BV – Tencent European Warrants Jun 2016 A 300,000,000 2015/08/19 2016/06/30 46.5024682 Macquarie Bank Ltd. – CC Bank European Warrants Mar 2016 B 24,000,000 2015/08/19 2016/03/02 10.0624683 Macquarie Bank Ltd. – CITIC Bank European Wts Mar 2016 A 20,000,000 2015/08/19 2016/03/02 10.1424685 Macquarie Bank Ltd. – HKEx European Warrants Dec 2015 D 45,000,000 2015/08/19 2015/12/02 10.0424687 Standard Chartered Bank – HSBC European Warrants Jan 2016 B 80,000,000 2015/08/19 2016/01/04 19.2024686 Standard Chartered Bank – Techtronic Ind Euro Wts Feb 2016 A 50,000,000 2015/08/19 2016/02/29 12.5024756 BNP Paribas Arbit Issu B.V. – CITIC Bank Euro Wts Mar 2016 A 40,000,000 2015/08/20 2016/03/02 18.8024752 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF Eu Wts Jul 2016 B 100,000,000 2015/08/20 2016/07/05 15.0024753 BNP Paribas Arbit Issu B.V. – KECL European Wts Mar 2016 A 20,000,000 2015/08/20 2016/03/02 10.8024778 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Feb 2016 A 80,000,000 2015/08/20 2016/02/26 70.4024720 Goldman Sachs SP (Asia) – HSI European Put Wts Jan 2016 D 150,000,000 2015/08/20 2016/01/28 23.5524775 Goldman Sachs SP (Asia) – Ping An European Wts Feb 2016 A 80,000,000 2015/08/20 2016/02/26 24.4824777 Goldman Sachs SP (Asia) – Ping An European Wts Feb 2016 B 80,000,000 2015/08/20 2016/02/26 34.7224736 HK Bank – China Mobile European Warrants Feb 2016 A 80,000,000 2015/08/20 2016/02/29 24.0024723 HK Bank – China Overseas European Warrants Feb 2016 A 80,000,000 2015/08/20 2016/02/29 20.0024733 HK Bank – HSCEI European Warrants Jan 2016 D 180,000,000 2015/08/20 2016/01/28 27.0024735 HK Bank – HSCEI European Warrants Feb 2016 A 180,000,000 2015/08/20 2016/02/26 45.0024727 HK Bank – HSI European Warrants Jan 2016 I 180,000,000 2015/08/20 2016/01/28 27.0024729 HK Bank – HSI European Warrants Jan 2016 J 180,000,000 2015/08/20 2016/01/28 27.0024731 HK Bank – HSI European Warrants Feb 2016 B 180,000,000 2015/08/20 2016/02/26 45.0024725 HK Bank – HSI European Put Warrants Jan 2016 H 180,000,000 2015/08/20 2016/01/28 27.0024724 HK Bank – HSI European Put Warrants Feb 2016 A 180,000,000 2015/08/20 2016/02/26 45.0024737 HK Bank – Yanzhou Coal European Warrants Dec 2017 A 80,000,000 2015/08/20 2017/12/22 14.4024759 J P Morgan SP BV – Ch Oilfield Euro Wts Mar 2016 A 80,000,000 2015/08/20 2016/03/09 12.0024772 J P Morgan SP BV – Greatwall Motor European Wts Jun 2016 A 80,000,000 2015/08/20 2016/06/01 20.0824765 J P Morgan SP BV – Techtronic European Warrants Apr 2016 A 40,000,000 2015/08/20 2016/04/01 10.4024742 Macquarie Bank Ltd. – HKEx European Warrants Jan 2016 F 67,000,000 2015/08/20 2016/01/04 10.0524738 Macquarie Bank Ltd. – HKEx European Put Warrants Mar 2016 B 40,000,000 2015/08/20 2016/03/02 10.0024722 Macquarie Bank Ltd. – Tencent European Warrants Feb 2016 D 12,000,000 2015/08/20 2016/02/02 10.0124744 UBS AG – CKP European Warrants Jan 2016 B 50,000,000 2015/08/20 2016/01/25 16.7524745 UBS AG – Lenovo European Warrants Feb 2016 A 15,000,000 2015/08/20 2016/02/22 15.3024743 UBS AG – Tencent Holdings European Warrants Jan 2016 B 500,000,000 2015/08/20 2016/01/26 75.0015627 # Credit Suisse AG – HKEx European Warrants Dec 2015 B 100,000,000 2015/08/20 2015/12/21 10.6024791 Goldman Sachs SP (Asia) – Galaxy Ent Euro Put Wts Mar 2016 A 60,000,000 2015/08/21 2016/03/31 34.4424792 Goldman Sachs SP (Asia) – PetroChina European Wts Mar 2016 A 60,000,000 2015/08/21 2016/03/04 34.98

Main Board Warrants



24788 Goldman Sachs SP (Asia) – Sands China Eur Put Wts Mar 2016 A 60,000,000 2015/08/21 2016/03/31 31.7424779 HK Bank – Lenovo European Warrants Dec 2016 B 100,000,000 2015/08/21 2016/12/12 20.0024782 HK Bank – Lenovo European Warrants Dec 2017 A 100,000,000 2015/08/21 2017/12/29 25.0024783 J P Morgan SP BV – Lenovo European Warrants Dec 2016 B 150,000,000 2015/08/21 2016/12/12 22.6524781 Macquarie Bank Ltd. – PetroChina European Wts Apr 2016 A 15,000,000 2015/08/21 2016/04/05 10.0224796 BOCI Asia Ltd. – HKEx European Warrants Feb 2016 A 100,000,000 2015/08/24 2016/02/15 19.0024802 BOCI Asia Ltd. – ICBC European Warrants Mar 2016 A 100,000,000 2015/08/24 2016/03/07 36.0024804 BOCI Asia Ltd. – Sands China European Put Wts Apr 2016 B 100,000,000 2015/08/24 2016/04/06 36.0024797 BOCI Asia Ltd. – Tencent Holdings European Wts Jul 2016 C 100,000,000 2015/08/24 2016/07/11 19.0024935 BNP Paribas Arbit Issu B.V. – CITIC Sec Euro Wts Mar 2016 A 60,000,000 2015/08/24 2016/03/02 22.8024936 BNP Paribas Arbit Issu B.V. – Ch Shenhua Euro Wts Apr 2016 A 60,000,000 2015/08/24 2016/04/05 13.2024929 BNP Paribas Arbit Issu B.V. – Kingsoft Euro Wts Mar 2016 A 60,000,000 2015/08/24 2016/03/02 28.8024939 BNP Paribas Arbit Issu B.V. – Lenovo European Wts Dec 2016 B 100,000,000 2015/08/24 2016/12/28 16.0024876 Credit Suisse AG – Lenovo European Warrants Feb 2016 A 70,000,000 2015/08/24 2016/02/29 42.0024875 Credit Suisse AG – Lenovo European Warrants Dec 2016 A 130,000,000 2015/08/24 2016/12/12 22.1024943 Bank of East Asia – BYD European Warrants Mar 2016 A 40,000,000 2015/08/24 2016/03/31 12.0024940 Bank of East Asia – Lenovo European Warrants Dec 2016 B 62,500,000 2015/08/24 2016/12/28 10.0024871 Bank of East Asia – Lenovo European Warrants Dec 2017 A 50,000,000 2015/08/24 2017/12/29 12.5024923 Goldman Sachs SP (Asia) – Agri Bk European Wts Feb 2016 A 100,000,000 2015/08/24 2016/02/29 25.5024921 Goldman Sachs SP (Asia) – AIA European Warrants Mar 2016 B 80,000,000 2015/08/24 2016/03/04 36.0824922 Goldman Sachs SP (Asia) – Tencent European Wt Jun 2016 C 300,000,000 2015/08/24 2016/06/10 46.2024822 HK Bank – Foxconn European Warrants Feb 2016 A 50,000,000 2015/08/24 2016/02/29 15.0024814 HK Bank – Kingsoft European Warrants Feb 2016 A 60,000,000 2015/08/24 2016/02/29 18.0024823 HK Bank – Tencent European Warrants Feb 2016 E 50,000,000 2015/08/24 2016/02/29 56.5024820 HK Bank – Tencent European Warrants May 2016 A 180,000,000 2015/08/24 2016/05/30 27.0024891 J P Morgan SP BV – AIA European Put Warrants Apr 2016 A 100,000,000 2015/08/24 2016/04/05 27.0024902 J P Morgan SP BV – BEA European Warrants Jun 2016 A 70,000,000 2015/08/24 2016/06/30 10.6424904 J P Morgan SP BV – Minsheng Bank European Wts Mar 2017 A 100,000,000 2015/08/24 2017/03/31 15.1024890 J P Morgan SP BV – China Shenhua European Wts Apr 2016 B 100,000,000 2015/08/24 2016/04/01 17.5024901 J P Morgan SP BV – HS H-SHARE European Warrants Dec 2017 A 200,000,000 2015/08/24 2017/12/28 31.6024847 Macquarie Bank Ltd. – CITIC European Warrants Aug 2016 A 40,000,000 2015/08/24 2016/08/02 10.0024851 Macquarie Bank Ltd. – Lenovo European Warrants Feb 2018 A 50,000,000 2015/08/24 2018/02/02 12.5024849 Macquarie Bank Ltd. – China Vanke European Warrants May 16 A 40,000,000 2015/08/24 2016/05/04 10.0024834 Standard Chartered Bank – CITIC European Warrants Feb 2016 A 80,000,000 2015/08/24 2016/02/01 12.0024827 Standard Chartered Bank – HSI European Warrants Dec 2015 H 100,000,000 2015/08/24 2015/12/30 19.0024829 Standard Chartered Bank – HSI European Put Wts Mar 2016 B 100,000,000 2015/08/24 2016/03/30 25.0024846 Standard Chartered Bank – Lenovo European Wts Dec 2016 A 100,000,000 2015/08/24 2016/12/12 15.0024856 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt Apr 2016 A 100,000,000 2015/08/24 2016/04/06 31.5024857 SGA Societe Generale Acceptance N.V. – BOCom Eu Wt Jun 2016A 12,000,000 2015/08/24 2016/06/03 10.4424862 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Mar 2016 A 100,000,000 2015/08/24 2016/03/03 55.0024860 SGA Societe Generale Acceptance N.V. – CITBK Eu Wt May 16 A 15,000,000 2015/08/24 2016/05/05 10.2024864 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Mar 16 B 80,000,000 2015/08/24 2016/03/03 31.2024865 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Mar 2016 B 100,000,000 2015/08/24 2016/03/03 25.5024809 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Mar 2016D 150,000,000 2015/08/24 2016/03/30 37.50

Main Board Warrants



24805 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Jan18A 300,000,000 2015/08/24 2018/01/05 46.5024812 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Feb 2016 C 150,000,000 2015/08/24 2016/02/26 37.5024867 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Mar 2016 A 100,000,000 2015/08/24 2016/03/03 41.5024807 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Mar 16 C 120,000,000 2015/08/24 2016/03/03 51.6024806 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Apr 16 A 120,000,000 2015/08/24 2016/04/06 84.0024808 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Apr 16 B 120,000,000 2015/08/24 2016/04/06 30.0024886 UBS AG – Sinopec Corp European Warrants Jan 2016 B 70,000,000 2015/08/24 2016/01/25 19.9524885 UBS AG – China Tel European Warrants Jan 2016 A 40,000,000 2015/08/24 2016/01/22 11.0024884 UBS AG – China Unicom European Warrants Sep 2016 A 100,000,000 2015/08/24 2016/09/26 15.0024882 UBS AG – Ping An European Warrants Feb 2016 B 150,000,000 2015/08/24 2016/02/22 63.0024965 Credit Suisse AG – Link REIT European Warrants Feb 2016 A 80,000,000 2015/08/25 2016/02/29 20.0025022 Goldman Sachs SP (Asia) – BOCL European Warrants Mar 2016 A 80,000,000 2015/08/25 2016/03/31 29.8425020 Goldman Sachs SP (Asia) – CC Bank European Wts Mar 2016 A 80,000,000 2015/08/25 2016/03/31 43.2025019 Goldman Sachs SP (Asia) – HSI European Warrants Dec 2015 H 100,000,000 2015/08/25 2015/12/30 15.3025023 Goldman Sachs SP (Asia) – Ping An European Wts Feb 2016 C 80,000,000 2015/08/25 2016/02/26 36.3224950 HK Bank – Sinopec Corp European Warrants Feb 2016 A 80,000,000 2015/08/25 2016/02/29 32.0024951 HK Bank – Galaxy Ent European Warrants Feb 2016 B 60,000,000 2015/08/25 2016/02/29 24.0024949 HK Bank – HKEx European Warrants Jan 2016 B 180,000,000 2015/08/25 2016/01/29 28.8024953 HK Bank – Ping An European Warrants Feb 2016 C 80,000,000 2015/08/25 2016/02/29 32.0025016 J P Morgan SP BV – BankComm European Warrants Apr 2016 A 100,000,000 2015/08/25 2016/04/01 48.5024973 J P Morgan SP BV – China Life European Warrants Mar 2016 B 100,000,000 2015/08/25 2016/03/02 25.0025014 J P Morgan SP BV – HSBC European Warrants Feb 2016 C 100,000,000 2015/08/25 2016/02/02 35.7024968 J P Morgan SP BV – HSCEI European Wts Mar 2016 D 200,000,000 2015/08/25 2016/03/30 50.0024960 Macquarie Bank Ltd. – BankComm European Warrants Mar 2016 A 15,000,000 2015/08/25 2016/03/02 10.0124964 Macquarie Bank Ltd. – China Res Gas European Wts Mar 2016 A 30,000,000 2015/08/25 2016/03/02 10.0224963 Macquarie Bank Ltd. – SHK Ppt European Warrants Apr 2016 A 19,000,000 2015/08/25 2016/04/05 10.3624961 Macquarie Bank Ltd. – Tencent European Warrants Mar 2016 A 12,000,000 2015/08/25 2016/03/02 10.0124962 Macquarie Bank Ltd. – Tencent European Warrants Mar 2016 B 16,000,000 2015/08/25 2016/03/02 10.0024975 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Mar16D 300,000,000 2015/08/25 2016/03/03 45.0024977 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Jul16B 300,000,000 2015/08/25 2016/07/06 45.0024979 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Apr 2016E 300,000,000 2015/08/25 2016/04/06 45.0024982 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Dec 2016B 300,000,000 2015/08/25 2016/12/05 75.0025007 UBS AG – AIA European Warrants Jan 2016 A 100,000,000 2015/08/25 2016/01/26 26.5025011 UBS AG – CAM CSI300 European Warrants Jan 2016 B 40,000,000 2015/08/25 2016/01/27 22.0025000 UBS AG – CC Bank European Warrants Jan 2016 D 100,000,000 2015/08/25 2016/01/29 24.0025009 UBS AG – ICBC European Warrants Jan 2016 B 100,000,000 2015/08/25 2016/01/21 16.0025044 BOCI Asia Ltd. – Anhui Conch European Warrants Mar 2016 A 100,000,000 2015/08/26 2016/03/29 26.0025049 BOCI Asia Ltd. – BOC HK European Warrants Dec 2016 A 100,000,000 2015/08/26 2016/12/19 30.0025052 BOCI Asia Ltd. – BOCL European Warrants Feb 2016 A 100,000,000 2015/08/26 2016/02/11 21.0025046 BOCI Asia Ltd. – CC Bank European Warrants Mar 2016 A 100,000,000 2015/08/26 2016/03/07 44.0025048 BOCI Asia Ltd. – CKP European Warrants Feb 2016 A 100,000,000 2015/08/26 2016/02/01 29.0025051 BOCI Asia Ltd. – China Life European Warrants Feb 2016 A 100,000,000 2015/08/26 2016/02/29 28.0025047 BOCI Asia Ltd. – Lenovo European Warrants Dec 2016 A 100,000,000 2015/08/26 2016/12/12 15.0025042 BOCI Asia Ltd. – PetroChina European Warrants Mar 2016 A 100,000,000 2015/08/26 2016/03/03 40.00

Main Board Warrants



25068 BNP Paribas Arbit Issu B.V. – CAM CSI300 Euro Wts Mar 2016 A 50,000,000 2015/08/26 2016/03/02 14.5025072 BNP Paribas Arbit Issu B.V. – BOCL European Wts Mar 2016 A 50,000,000 2015/08/26 2016/03/02 20.5025075 BNP Paribas Arbit Issu B.V. – CKP European Warrants Mar 16 A 40,000,000 2015/08/26 2016/03/02 12.4025067 BNP Paribas Arbit Issu B.V. – China Tel Euro Wts Feb 2016 A 50,000,000 2015/08/26 2016/02/02 15.5025069 BNP Paribas Arbit Issu B.V. – Ping An European Wt Mar 2016 B 50,000,000 2015/08/26 2016/03/02 12.5025087 Credit Suisse AG – AIA European Warrants Jan 2016 B 80,000,000 2015/08/26 2016/01/29 18.4025089 Credit Suisse AG – BOCL European Warrants Jan 2016 B 70,000,000 2015/08/26 2016/01/29 11.9025091 Credit Suisse AG – Sinopec Corp European Warrants Jan 2016 A 70,000,000 2015/08/26 2016/01/29 13.3025088 Credit Suisse AG – ChiUnicom European Warrants Sep 2016 B 70,000,000 2015/08/26 2016/09/30 12.6025086 Credit Suisse AG – Fosun Intl European Warrants Jan 2016 B 70,000,000 2015/08/26 2016/01/29 10.5025085 Credit Suisse AG – HSBC European Wts Jan 2016 D 80,000,000 2015/08/26 2016/01/29 30.4025084 Credit Suisse AG – HSCEI European Warrants Feb 2016 C 150,000,000 2015/08/26 2016/02/26 22.5025081 Credit Suisse AG – HSI European Warrants Jan 2016 G 150,000,000 2015/08/26 2016/01/28 22.5025083 Credit Suisse AG – HSI European Put Warrants Jan 2016 H 150,000,000 2015/08/26 2016/01/28 22.5025106 Credit Suisse AG – Haitong Sec European Warrants Feb 2016 A 70,000,000 2015/08/26 2016/02/29 17.5025096 Credit Suisse AG – ICBC European Warrants Feb 2016 A 70,000,000 2015/08/26 2016/02/29 21.0025105 Credit Suisse AG – Kingsoft European Warrants Mar 2016 A 70,000,000 2015/08/26 2016/03/31 17.5025100 Credit Suisse AG – Ping An European Warrants Mar 2016 A 80,000,000 2015/08/26 2016/03/14 28.0025032 HK Bank – BOC HK European Warrants Apr 2016 A 80,000,000 2015/08/26 2016/04/29 12.0025027 HK Bank – BOCL European Warrants Jul 2016 A 80,000,000 2015/08/26 2016/07/29 24.0025025 HK Bank – HS H-SHARE European Warrants Dec 2017 A 100,000,000 2015/08/26 2017/12/29 15.0025031 HK Bank – Lenovo European Warrants Feb 2016 A 50,000,000 2015/08/26 2016/02/29 25.0025035 HK Bank – SHK Ppt European Warrants Feb 2017 A 100,000,000 2015/08/26 2017/02/01 15.0025126 J P Morgan SP BV – CSOP A50 ETF European Warrants Oct 2016 B 200,000,000 2015/08/26 2016/10/31 30.0025117 J P Morgan SP BV – Galaxy Ent European Warrants Mar 2016 A 100,000,000 2015/08/26 2016/03/02 25.0025121 J P Morgan SP BV – Galaxy Ent European Put Wts Apr 2016 A 100,000,000 2015/08/26 2016/04/01 25.1025124 J P Morgan SP BV – Sands China European Warrants May 2016 A 100,000,000 2015/08/26 2016/05/04 25.2025108 Macquarie Bank Ltd. – China Life European Wts Feb 2016 E 37,000,000 2015/08/26 2016/02/02 10.1425111 Macquarie Bank Ltd. – A50 China European Warrants Feb 2016 A 67,000,000 2015/08/26 2016/02/01 10.0525109 Macquarie Bank Ltd. – Galaxy Ent European Put Wts Apr 2016 B 40,000,000 2015/08/26 2016/04/05 10.0025056 Macquarie Bank Ltd. – Ping An European Warrants Mar 2016 A 40,000,000 2015/08/26 2016/03/02 10.0025058 Standard Chartered Bank – CC Bank European Wts Feb 2016 A 80,000,000 2015/08/26 2016/02/29 19.2025062 Standard Chartered Bank – Sinopec Corp Euro Wts Mar 2016 B 60,000,000 2015/08/26 2016/03/07 15.0025063 Standard Chartered Bank – China Unicom Euro Wts Sep 2016 A 80,000,000 2015/08/26 2016/09/30 12.0025066 Standard Chartered Bank – ICBC European Warrants Feb 2016 A 80,000,000 2015/08/26 2016/02/29 16.8025059 Standard Chartered Bank – Ping An European Wts Feb 2016 B 80,000,000 2015/08/26 2016/02/29 20.0025054 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Jan 2016 B 150,000,000 2015/08/26 2016/01/06 24.0025112 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Jan 16 M 150,000,000 2015/08/26 2016/01/28 23.2525101 UBS AG – CSOP A50 ETF European Warrants Jun 2016 E 300,000,000 2015/08/26 2016/06/27 45.0025102 UBS AG – Galaxy Ent European Warrants Jan 2016 A 70,000,000 2015/08/26 2016/01/04 21.0025104 UBS AG – HSCEI European Put Warrants Sep 2016 A 100,000,000 2015/08/26 2016/09/29 25.0025132 BOCI Asia Ltd. – AIA European Warrants Mar 2016 A 100,000,000 2015/08/27 2016/03/14 33.0025136 BOCI Asia Ltd. – HSI European Warrants Mar 2016 A 100,000,000 2015/08/27 2016/03/30 15.0025137 BOCI Asia Ltd. – HSI European Put Warrants Feb 2016 A 100,000,000 2015/08/27 2016/02/26 15.00

Main Board Warrants



25135 BOCI Asia Ltd. – Ping An European Warrants Mar 2016 A 100,000,000 2015/08/27 2016/03/14 32.0025156 Credit Suisse AG – Agricultural Bank European Wts Feb 2016 A 70,000,000 2015/08/27 2016/02/29 11.2025144 Credit Suisse AG – BYD European Warrants Jan 2016 A 70,000,000 2015/08/27 2016/01/29 26.6025151 Credit Suisse AG – China Cinda European Warrants Feb 2016 A 70,000,000 2015/08/27 2016/02/29 17.5025150 Credit Suisse AG – CITIC Sec European Warrants Feb 2016 A 70,000,000 2015/08/27 2016/02/29 28.0025149 Credit Suisse AG – Greatwall Motor European Wts Feb 2016 A 70,000,000 2015/08/27 2016/02/29 21.0025181 Goldman Sachs SP (Asia) – HSBC European Warrants Apr 2016 A 120,000,000 2015/08/27 2016/04/08 44.4025177 Goldman Sachs SP (Asia) – HSCEI European Put Wts Jun 2016 A 100,000,000 2015/08/27 2016/06/29 25.7025172 Goldman Sachs SP (Asia) – HSI European Warrants Jan 2016 E 100,000,000 2015/08/27 2016/01/28 18.3025170 Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2016 A 100,000,000 2015/08/27 2016/03/30 25.2025180 Goldman Sachs SP (Asia) – Lenovo European Wts Dec 2016 B 80,000,000 2015/08/27 2016/12/12 12.0025130 HK Bank – HKEx European Warrants Feb 2016 A 180,000,000 2015/08/27 2016/02/29 45.0025131 HK Bank – HSI European Warrants Feb 2016 C 180,000,000 2015/08/27 2016/02/26 45.0025143 HK Bank – HSI European Put Warrants Jan 2016 K 180,000,000 2015/08/27 2016/01/28 27.0025129 HK Bank – Sands China European Warrants Mar 2016 A 80,000,000 2015/08/27 2016/03/02 24.0025197 J P Morgan SP BV – CGN Power European Warrants Apr 2016 A 60,000,000 2015/08/27 2016/04/05 34.0825194 J P Morgan SP BV – Sinopec Corp European Warrants Apr 2016 A 100,000,000 2015/08/27 2016/04/01 53.2025200 J P Morgan SP BV – Cathay Pacific European Warrants Dec 16 A 60,000,000 2015/08/27 2016/12/01 15.0025187 J P Morgan SP BV – CSOP A50 ETF European Warrants Mar 2016 A 200,000,000 2015/08/27 2016/03/31 30.2025188 J P Morgan SP BV – A50 China European Warrants Mar 2017 A 200,000,000 2015/08/27 2017/03/31 33.2025199 J P Morgan SP BV – Galaxy Ent European Warrants Apr 2016 B 100,000,000 2015/08/27 2016/04/05 31.4025185 J P Morgan SP BV – HSCEI European Wts Nov 2015 F 200,000,000 2015/08/27 2015/11/27 30.0025183 J P Morgan SP BV – HSI European Warrants Jan 2016 L 200,000,000 2015/08/27 2016/01/28 30.6025139 J P Morgan SP BV – HSI European Warrants Mar 2016 D 200,000,000 2015/08/27 2016/03/30 50.2025191 J P Morgan SP BV – PetroChina European Warrants Apr 2016 A 100,000,000 2015/08/27 2016/04/01 56.9025190 J P Morgan SP BV – PetroChina European Warrants Jun 2018 A 200,000,000 2015/08/27 2018/06/29 30.0025154 Standard Chartered Bank – Fosun Intl European Warrants Aug16A 80,000,000 2015/08/27 2016/08/29 20.0025160 UBS AG – CAM CSI300 European Warrants Mar 2016 A 40,000,000 2015/08/27 2016/03/08 27.2025167 UBS AG – A50 China European Warrants Dec 2016 B 300,000,000 2015/08/27 2016/12/30 57.0025161 UBS AG – HSI European Warrants Feb 2016 A 300,000,000 2015/08/27 2016/02/26 56.1025164 UBS AG – HSI European Warrants Mar 2016 C 300,000,000 2015/08/27 2016/03/30 75.0025166 UBS AG – HSI European Put Warrants Mar 2016 D 300,000,000 2015/08/27 2016/03/30 75.0025264 BNP Paribas Arbit Issu B.V. – AIA European Wts Mar 2016 B 60,000,000 2015/08/28 2016/03/02 15.0025244 BNP Paribas Arbit Issu B.V. – BJ Ent Water Euro Wts Mar 16 A 25,000,000 2015/08/28 2016/03/02 13.5025259 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Mar 2016 A 100,000,000 2015/08/28 2016/03/02 25.0025268 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Mar 2016 A 30,000,000 2015/08/28 2016/03/02 12.9025248 BNP Paribas Arbit Issu B.V. – Greatwall Motor Eu Wt Mar 16 A 40,000,000 2015/08/28 2016/03/02 11.6025254 BNP Paribas Arbit Issu B.V. – HKEx European Wts Mar 2016 D 40,000,000 2015/08/28 2016/03/02 10.0025258 BNP Paribas Arbit Issu B.V. – HSBC European Wts Mar 2016 A 40,000,000 2015/08/28 2016/03/02 10.4025273 BNP Paribas Arbit Issu B.V. – HSCEI European Wts Mar 2016 C 100,000,000 2015/08/28 2016/03/30 25.0025271 BNP Paribas Arbit Issu B.V. – HSI European Wts Mar 2017 A 100,000,000 2015/08/28 2017/03/30 34.0025274 BNP Paribas Arbit Issu B.V. – ICBC European Wts Mar 2016 A 50,000,000 2015/08/28 2016/03/02 16.5025303 Credit Suisse AG – China Life European Warrants Jan 2016 D 80,000,000 2015/08/28 2016/01/28 14.4025301 Credit Suisse AG – HSI European Warrants Jan 2016 I 150,000,000 2015/08/28 2016/01/28 22.50

Main Board Warrants



25302 Credit Suisse AG – HSI European Put Warrants Mar 2016 A 150,000,000 2015/08/28 2016/03/30 37.5025220 Goldman Sachs SP (Asia) – China Mobile Euro Wts Feb 2016 A 100,000,000 2015/08/28 2016/02/29 56.9025202 Goldman Sachs SP (Asia) – HKEx European Warrants Jan 2016 D 300,000,000 2015/08/28 2016/01/20 58.8025209 Goldman Sachs SP (Asia) – HKEx European Warrants Jan 2016 E 300,000,000 2015/08/28 2016/01/29 45.9025470 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2016 B 100,000,000 2015/08/28 2016/03/30 26.7025477 Goldman Sachs SP (Asia) – HSI European Put Wts Apr 2016 A 100,000,000 2015/08/28 2016/04/28 25.1025223 Goldman Sachs SP (Asia) – Tencent European Wt Jun 2016 D 300,000,000 2015/08/28 2016/06/30 46.8025293 HK Bank – AIA European Warrants Mar 2016 A 80,000,000 2015/08/28 2016/03/31 24.0025299 HK Bank – CC Bank European Warrants Feb 2016 B 80,000,000 2015/08/28 2016/02/29 28.0025290 HK Bank – HSCEI European Warrants Nov 2015 D 180,000,000 2015/08/28 2015/11/27 27.0025289 HK Bank – HSCEI European Warrants Mar 2016 B 180,000,000 2015/08/28 2016/03/30 45.0025292 HK Bank – PetroChina European Warrants Feb 2016 B 80,000,000 2015/08/28 2016/02/29 28.0025294 HK Bank – Ping An European Warrants Feb 2016 D 80,000,000 2015/08/28 2016/02/29 24.0025416 J P Morgan SP BV – CKH European Warrants Apr 2016 A 100,000,000 2015/08/28 2016/04/05 56.1025414 J P Morgan SP BV – A50 China European Warrants Dec 2016 B 200,000,000 2015/08/28 2016/12/30 32.6025451 J P Morgan SP BV – HKEx European Warrants May 2016 A 200,000,000 2015/08/28 2016/05/31 50.2025454 J P Morgan SP BV – HKEx European Put Wts Jun 2016 A 200,000,000 2015/08/28 2016/06/30 50.0025439 J P Morgan SP BV – HSBC European Warrants Apr 2016 A 100,000,000 2015/08/28 2016/04/01 25.1025411 J P Morgan SP BV – HSCEI European Put Warrants Jul 2016 A 200,000,000 2015/08/28 2016/07/28 50.2025228 J P Morgan SP BV – HSI European Warrants Apr 2016 A 300,000,000 2015/08/28 2016/04/28 75.3025398 J P Morgan SP BV – HSI European Put Warrants Mar 2016 E 300,000,000 2015/08/28 2016/03/30 75.0025458 J P Morgan SP BV – ICBC European Warrants May 2016 A 100,000,000 2015/08/28 2016/05/03 40.9025461 J P Morgan SP BV – Link REIT European Warrants Jul 2016 A 80,000,000 2015/08/28 2016/07/05 27.3625464 J P Morgan SP BV – Sinopharm European Warrants May 2016 A 60,000,000 2015/08/28 2016/05/03 29.5225465 J P Morgan SP BV – Tencent European Put Warrants Dec 2016 C 200,000,000 2015/08/28 2016/12/30 36.0025413 J P Morgan SP BV – Tracker Fund European Warrants Dec 2016 A 100,000,000 2015/08/28 2016/12/29 17.9025243 Macquarie Bank Ltd. – CC Bank European Warrants Jan 2016 C 32,000,000 2015/08/28 2016/01/11 10.0225384 Macquarie Bank Ltd. – Ch Comm Cons European Put Wts Oct16A 40,000,000 2015/08/28 2016/10/04 10.0025393 Macquarie Bank Ltd. – CM Bank European Put Warrants Jul 16 B 40,000,000 2015/08/28 2016/07/05 10.0025365 Macquarie Bank Ltd. – China Mobile European Wts Mar 2016 B 40,000,000 2015/08/28 2016/03/02 10.0025233 Macquarie Bank Ltd. – CNOOC European Warrants Aug 2018 A 40,000,000 2015/08/28 2018/08/02 10.0025392 Macquarie Bank Ltd. – A50 China European Put Wts Dec 2016 B 40,000,000 2015/08/28 2016/12/02 10.0025391 Macquarie Bank Ltd. – Galaxy Ent European Put Wts Mar 2016 A 40,000,000 2015/08/28 2016/03/02 10.0025367 Macquarie Bank Ltd. – HKEx European Put Warrants Mar 2016 C 40,000,000 2015/08/28 2016/03/02 10.0025229 Macquarie Bank Ltd. – ICBC European Warrants Feb 2016 B 40,000,000 2015/08/28 2016/02/02 10.0025389 Macquarie Bank Ltd. – Tencent European Warrants Mar 2016 D 12,000,000 2015/08/28 2016/03/02 18.4325386 Macquarie Bank Ltd. – Tencent European Put Wts Mar 2016 C 13,000,000 2015/08/28 2016/03/02 10.0125482 Standard Chartered Bank – AIA European Warrants Jan 2016 A 80,000,000 2015/08/28 2016/01/26 12.0025480 Standard Chartered Bank – CGN Power European Warrants Aug16A 40,000,000 2015/08/28 2016/08/19 28.8025285 Standard Chartered Bank – HSCEI European Warrants Feb 2016 C 100,000,000 2015/08/28 2016/02/26 15.0025286 Standard Chartered Bank – HSCEI European Put Wts Mar 2016 B 100,000,000 2015/08/28 2016/03/30 15.0025277 Standard Chartered Bank – HSI European Warrants Jan 2016 F 100,000,000 2015/08/28 2016/01/28 20.0025279 Standard Chartered Bank – HSI European Put Wts Mar 2016 C 100,000,000 2015/08/28 2016/03/30 25.0025481 Standard Chartered Bank – PetroChina European Wts Mar 2016 A 60,000,000 2015/08/28 2016/03/07 15.00

Main Board Warrants



25319 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Mar16A 50,000,000 2015/08/28 2016/03/03 23.0025338 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Apr 2016 B 200,000,000 2015/08/28 2016/04/06 50.0025325 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Mar16D 50,000,000 2015/08/28 2016/03/03 49.5025332 SGA Societe Generale Acceptance N.V – HS H-SHARE Eu Wts Apr16B 50,000,000 2015/08/28 2016/04/06 33.5025333 SGA Societe Generale Acceptance N.V – HS H-SH Eu Put Wt Apr16C 50,000,000 2015/08/28 2016/04/06 23.7525350 SGA Societe Generale Acceptance N.V. – Lenovo Eu Wt Dec 16 A 70,000,000 2015/08/28 2016/12/28 10.5025361 SGA Societe Generale Acceptance N.V. – Lenovo Eu Wt Jan 18 A 70,000,000 2015/08/28 2018/01/04 10.5025308 UBS AG – AIA European Warrants Feb 2016 A 100,000,000 2015/08/28 2016/02/29 35.0025313 UBS AG – CC Bank European Warrants Feb 2016 A 70,000,000 2015/08/28 2016/02/29 35.0025317 UBS AG – HKEx European Put Warrants May 2016 A 100,000,000 2015/08/28 2016/05/26 21.0025311 UBS AG – HSCEI European Warrants Mar 2016 F 100,000,000 2015/08/28 2016/03/30 25.0025309 UBS AG – PetroChina European Warrants Jun 2018 A 300,000,000 2015/08/28 2018/06/27 45.0025304 UBS AG – Tencent Holdings European Warrants Feb 2016 C 50,000,000 2015/08/28 2016/02/02 35.5025704 BNP Paribas Arbit Issu B.V. – BankComm Euro Wts Mar 2016 A 40,000,000 2015/08/31 2016/03/02 25.2025656 BNP Paribas Arbit Issu B.V. – China Life Euro Wts Mar 2016 B 80,000,000 2015/08/31 2016/03/02 20.0025665 BNP Paribas Arbit Issu B.V. – Ch Mobile Euro Wts Mar 2016 B 30,000,000 2015/08/31 2016/03/02 13.8025661 BNP Paribas Arbit Issu B.V. – Ch Mobile Eu Put Wt Dec 2016 B 80,000,000 2015/08/31 2016/12/02 20.0025668 BNP Paribas Arbit Issu B.V. – Sinopec Corp Eu Wts Mar 2016 B 50,000,000 2015/08/31 2016/03/02 15.0025571 BNP Paribas Arbit Issu B.V. – A50 China Euro Wts Dec 2016 A 100,000,000 2015/08/31 2016/12/02 16.0025687 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Mar 2016 A 80,000,000 2015/08/31 2016/03/02 23.2025578 BNP Paribas Arbit Issu B.V. – HKEx European Wts Feb 2016 C 80,000,000 2015/08/31 2016/02/01 16.8025697 BNP Paribas Arbit Issu B.V. – ICBC European Wts Mar 2016 B 60,000,000 2015/08/31 2016/03/02 27.0025667 BNP Paribas Arbit Issu B.V. – Ping An European Wt Mar 2016 C 80,000,000 2015/08/31 2016/03/02 27.2025703 BNP Paribas Arbit Issu B.V. – Sands China Euro Wt Mar 2016 A 80,000,000 2015/08/31 2016/03/02 26.4025836 Credit Suisse AG – AIA European Warrants Mar 2016 A 80,000,000 2015/08/31 2016/03/01 24.0025837 Credit Suisse AG – CC Bank European Warrants Mar 2016 A 80,000,000 2015/08/31 2016/03/01 30.4025834 Credit Suisse AG – China Life European Warrants Mar 2016 A 80,000,000 2015/08/31 2016/03/01 20.0025814 Credit Suisse AG – CSOP A50 ETF European Warrants Dec 2016 B 150,000,000 2015/08/31 2016/12/30 22.5025828 Credit Suisse AG – HKEx European Warrants Mar 2016 B 150,000,000 2015/08/31 2016/03/31 27.0025829 Credit Suisse AG – HKEx European Warrants Mar 2016 C 150,000,000 2015/08/31 2016/03/01 37.5025830 Credit Suisse AG – HKEx European Put Warrants Jun 2016 B 100,000,000 2015/08/31 2016/06/30 15.0025799 Credit Suisse AG – HSCEI European Warrants Mar 2016 D 108,000,000 2015/08/31 2016/03/30 27.0025789 Credit Suisse AG – HSI European Warrants Mar 2016 B 150,000,000 2015/08/31 2016/03/30 37.5025795 Credit Suisse AG – HSI European Put Warrants Mar 2016 C 150,000,000 2015/08/31 2016/03/30 37.5025835 Credit Suisse AG – Ping An European Warrants Mar 2016 B 80,000,000 2015/08/31 2016/03/01 32.0025904 Goldman Sachs SP (Asia) – China Life Euro Wts Mar 2016 A 100,000,000 2015/08/31 2016/03/31 32.3025889 Goldman Sachs SP (Asia) – CNOOC European Warrants Mar 2016 A 80,000,000 2015/08/31 2016/03/31 56.4825882 Goldman Sachs SP (Asia) – A50 China European Wts May 2016 A 100,000,000 2015/08/31 2016/05/30 95.5025958 Goldman Sachs SP (Asia) – A50 China European Wts Dec 2017 A 100,000,000 2015/08/31 2017/12/29 25.0025888 Goldman Sachs SP (Asia) – Galaxy Ent European Wts Mar 2016 B 80,000,000 2015/08/31 2016/03/31 26.8025868 Goldman Sachs SP (Asia) – HSCEI European Warrants Mar 2016 B 100,000,000 2015/08/31 2016/03/30 25.1025876 Goldman Sachs SP (Asia) – HSCEI European Put Wts Mar 2016 C 100,000,000 2015/08/31 2016/03/30 25.2025877 Goldman Sachs SP (Asia) – HSCEI European Put Wts May 2016 A 100,000,000 2015/08/31 2016/05/30 25.0025881 Goldman Sachs SP (Asia) – HS H-SHARE European Wts Mar 2016 A 100,000,000 2015/08/31 2016/03/30 54.70

Main Board Warrants



25878 Goldman Sachs SP (Asia) – HS H-SHARE European Wts Sep 2018 A 100,000,000 2015/08/31 2018/09/27 25.0025937 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2016 C 100,000,000 2015/08/31 2016/03/30 25.0025942 Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2016 D 100,000,000 2015/08/31 2016/03/30 25.0025891 Goldman Sachs SP (Asia) – Ping An European Wts Mar 2016 A 100,000,000 2015/08/31 2016/03/30 35.1025607 HK Bank – China Life European Warrants Mar 2016 A 100,000,000 2015/08/31 2016/03/01 25.0025609 HK Bank – China Mobile European Warrants Mar 2016 A 60,000,000 2015/08/31 2016/03/01 42.0025564 HK Bank – A50 China European Warrants Dec 2016 C 180,000,000 2015/08/31 2016/12/30 27.0025605 HK Bank – Galaxy Ent European Warrants Mar 2016 A 60,000,000 2015/08/31 2016/03/31 15.0025516 HK Bank – HSCEI European Warrants Mar 2016 C 180,000,000 2015/08/31 2016/03/30 27.0025558 HK Bank – HSCEI European Warrants Mar 2016 D 180,000,000 2015/08/31 2016/03/30 45.0025568 HK Bank – HSI European Warrants Jan 2016 L 180,000,000 2015/08/31 2016/01/28 27.0025528 HK Bank – HSI European Warrants Mar 2016 A 180,000,000 2015/08/31 2016/03/30 45.0025560 HK Bank – HSI European Warrants Mar 2016 B 180,000,000 2015/08/31 2016/03/30 45.0025608 HK Bank – Tencent European Warrants Mar 2016 C 60,000,000 2015/08/31 2016/03/01 48.0025961 J P Morgan SP BV – AIA European Warrants Apr 2016 B 100,000,000 2015/08/31 2016/04/05 25.7026048 J P Morgan SP BV – CAM CSI300 European Warrants Apr 2016 A 100,000,000 2015/08/31 2016/04/05 29.8026070 J P Morgan SP BV – BOCL European Warrants May 2016 A 100,000,000 2015/08/31 2016/05/04 25.5026067 J P Morgan SP BV – CC Bank European Wts Apr 2016 A 100,000,000 2015/08/31 2016/04/29 41.5026130 J P Morgan SP BV – CKP European Warrants May 2016 A 100,000,000 2015/08/31 2016/05/03 31.4025602 J P Morgan SP BV – China Life European Warrants Jan 2016 D 100,000,000 2015/08/31 2016/01/04 31.8026097 J P Morgan SP BV – China Mob European Wts Apr 2016 A 100,000,000 2015/08/31 2016/04/01 49.2026129 J P Morgan SP BV – Ch Overseas European Warrants Jul 2016 A 100,000,000 2015/08/31 2016/07/04 25.4025597 J P Morgan SP BV – CSOP A50 ETF European Warrants Mar 2016 B 200,000,000 2015/08/31 2016/03/31 32.6026040 J P Morgan SP BV – A50 China European Warrants Mar 2016 A 100,000,000 2015/08/31 2016/03/01 42.2026074 J P Morgan SP BV – Galaxy Ent European Warrants May 2016 A 100,000,000 2015/08/31 2016/05/03 27.9026066 J P Morgan SP BV – HKEx European Warrants Jun 2016 B 200,000,000 2015/08/31 2016/06/02 57.4026065 J P Morgan SP BV – HSBC European Warrants May 2016 A 100,000,000 2015/08/31 2016/05/03 34.0025593 J P Morgan SP BV – HSCEI European Wts Mar 2016 E 200,000,000 2015/08/31 2016/03/30 50.0026050 J P Morgan SP BV – HS H-SHARE European Warrants Mar 2016 A 100,000,000 2015/08/31 2016/03/01 53.7025588 J P Morgan SP BV – HSI European Warrants Mar 2016 F 300,000,000 2015/08/31 2016/03/30 77.1026014 J P Morgan SP BV – HSI European Put Warrants Jun 2016 A 300,000,000 2015/08/31 2016/06/29 75.6026071 J P Morgan SP BV – PetroChina European Warrants Mar 2016 A 100,000,000 2015/08/31 2016/03/02 45.7025962 J P Morgan SP BV – Ping An European Warrants Apr 2016 B 100,000,000 2015/08/31 2016/04/05 25.2026077 J P Morgan SP BV – Sands China European Warrants Apr 2016 B 100,000,000 2015/08/31 2016/04/05 30.4026150 Macquarie Bank Ltd. – China Mobile European Put Wts Jul 18 A 40,000,000 2015/08/31 2018/07/03 10.0025955 Macquarie Bank Ltd. – A50 China European Put Wts Jan 2018 A 40,000,000 2015/08/31 2018/01/03 10.0026132 Macquarie Bank Ltd. – HKEx European Put Warrants Apr 2016 B 40,000,000 2015/08/31 2016/04/05 10.0025612 SGA Societe Generale Acceptance N.V. – AIA Eur Wt Mar 2016 A 100,000,000 2015/08/31 2016/03/03 22.0025610 SGA Societe Generale Acceptance N.V. – AIA Eur Wt May 2016 A 100,000,000 2015/08/31 2016/05/05 44.5025614 SGA Societe Generale Acceptance N.V. – CAM CSI300 Eu Wt Apr16A 50,000,000 2015/08/31 2016/04/06 31.0025613 SGA Societe Generale Acceptance N.V. – CLife Eu Wt Mar 2016 B 150,000,000 2015/08/31 2016/03/03 48.0025708 SGA Societe Generale Acceptance N.V. – Ch Mob Eu Wt Mar 16 C 80,000,000 2015/08/31 2016/03/03 52.8025484 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Dec16A 300,000,000 2015/08/31 2016/12/05 75.0025514 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Nov 2016B 300,000,000 2015/08/31 2016/11/03 75.00

Main Board Warrants



25716 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt Mar16A 80,000,000 2015/08/31 2016/03/03 24.4025736 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt May16A 80,000,000 2015/08/31 2016/05/05 20.0025755 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Mar 2016 C 200,000,000 2015/08/31 2016/03/03 51.0025781 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt Mar 2016 C 100,000,000 2015/08/31 2016/03/03 44.0025759 SGA Societe Generale Acceptance N.V. – HSBC Eu Wt May 2016 B 100,000,000 2015/08/31 2016/05/05 58.0025512 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Apr 2016 A 150,000,000 2015/08/31 2016/04/28 38.2525489 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Jun 2016 A 150,000,000 2015/08/31 2016/06/29 37.5025788 SGA Societe Generale Acceptance N.V. – Ping An Eu Wt Mar 16 D 120,000,000 2015/08/31 2016/03/03 60.0025646 UBS AG – BOCL European Warrants Apr 2016 A 70,000,000 2015/08/31 2016/04/22 21.0025648 UBS AG – Galaxy Ent European Warrants Mar 2016 A 70,000,000 2015/08/31 2016/03/01 21.0025643 UBS AG – HSBC European Warrants Mar 2016 B 100,000,000 2015/08/31 2016/03/01 46.0025647 UBS AG – HSCEI European Warrants Mar 2016 G 100,000,000 2015/08/31 2016/03/30 25.0025616 UBS AG – HSI European Warrants Mar 2016 E 300,000,000 2015/08/31 2016/03/30 75.0025641 UBS AG – HSI European Put Warrants Mar 2016 F 300,000,000 2015/08/31 2016/03/30 75.0025644 UBS AG – Ping An European Warrants Mar 2016 A 150,000,000 2015/08/31 2016/03/08 42.0023845 # UBS AG – HSI European Warrants Jan 2016 J 200,000,000 2015/08/31 2016/01/28 21.8026445 Credit Suisse AG – China Mobile European Put Wts Mar 2016 A 70,000,000 2015/09/01 2016/03/02 28.0026442 Credit Suisse AG – HSBC European Wts Mar 2016 A 80,000,000 2015/09/01 2016/03/02 46.4026454 Credit Suisse AG – Ping An European Put Warrants Mar 2016 C 70,000,000 2015/09/01 2016/03/02 17.5026534 Goldman Sachs SP (Asia) – Tencent European Put Wt Dec 2016 D 60,000,000 2015/09/01 2016/12/30 15.0026228 HK Bank – CM Bank European Warrants Apr 2016 A 80,000,000 2015/09/01 2016/04/29 20.0026216 HK Bank – CNOOC European Warrants Feb 2016 B 50,000,000 2015/09/01 2016/02/29 25.0026221 HK Bank – Sinopec Corp European Warrants Feb 2016 B 80,000,000 2015/09/01 2016/02/29 28.0026252 HK Bank – HKEx European Warrants Mar 2016 B 180,000,000 2015/09/01 2016/03/31 45.0026220 HK Bank – Haitong Sec European Warrants Apr 2016 A 80,000,000 2015/09/01 2016/04/29 20.0026810 J P Morgan SP BV – Anhui Conch European Warrants Jul 2016 A 80,000,000 2015/09/01 2016/07/05 20.0826738 J P Morgan SP BV – CNOOC European Warrants Jun 2016 A 100,000,000 2015/09/01 2016/06/30 47.4026692 J P Morgan SP BV – Sinopec Corp European Warrants Jun 2016 A 100,000,000 2015/09/01 2016/06/30 48.9026786 J P Morgan SP BV – CSOP A50 ETF European Warrants Dec 2016 A 200,000,000 2015/09/01 2016/12/30 30.0026791 J P Morgan SP BV – Henderson Land Dev European Wt Jul 2016 A 60,000,000 2015/09/01 2016/07/04 19.8026645 J P Morgan SP BV – HSCEI European Wts Apr 2016 A 200,000,000 2015/09/01 2016/04/28 51.6026644 J P Morgan SP BV – HSI European Warrants Apr 2016 B 300,000,000 2015/09/01 2016/04/28 75.6026271 J P Morgan SP BV – Ping An European Warrants Dec 2016 A 100,000,000 2015/09/01 2016/12/30 15.2026809 J P Morgan SP BV – SHK Ppt European Warrants Apr 2016 A 60,000,000 2015/09/01 2016/04/05 17.3426259 Macquarie Bank Ltd. – CM Bank European Warrants May 2016 A 67,000,000 2015/09/01 2016/05/04 10.0526270 Macquarie Bank Ltd. – HKEx European Warrants Apr 2016 C 40,000,000 2015/09/01 2016/04/05 10.0026471 Macquarie Bank Ltd. – Ping An European Warrants May 2016 A 30,000,000 2015/09/01 2016/05/04 10.0226178 Standard Chartered Bank – CAM CSI300 European Wts Apr 2016 B 60,000,000 2015/09/01 2016/04/29 33.0026158 Standard Chartered Bank – China Mobile Euro Wts Feb 2016 A 80,000,000 2015/09/01 2016/02/05 36.8026215 Standard Chartered Bank – CSOP A50 ETF Euro Wts Jan 2017 B 80,000,000 2015/09/01 2017/01/06 12.0026156 Standard Chartered Bank – Galaxy Ent European Wts Aug 2016 A 80,000,000 2015/09/01 2016/08/08 24.8026294 Standard Chartered Bank – HKEx European Warrants Apr 2016 B 150,000,000 2015/09/01 2016/04/01 37.5026184 Standard Chartered Bank – Tencent Hldg Euro Wts Jun 2016 A 200,000,000 2015/09/01 2016/06/20 30.0026321 SGA Societe Generale Acceptance N.V. – CKH Euro Wt Mar 2016A 30,000,000 2015/09/01 2016/03/03 23.70

Main Board Warrants



26312 SGA Societe Generale Acceptance N.V. – CKH Euro Wt Dec 2017A 300,000,000 2015/09/01 2017/12/05 75.0026274 SGA Societe Generale Acceptance N.V – COVS Eu Wts Sep 2016 A 25,000,000 2015/09/01 2016/09/05 10.0026439 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Mar 2016A 60,000,000 2015/09/01 2016/03/03 23.7026328 SGA Societe Generale Acceptance N.V. – Petch Eu Wt Apr 2016A 60,000,000 2015/09/01 2016/04/06 48.0026287 SGA Societe Generale Acceptance N.V. – PICC Eu Wts Aug 2016A 15,000,000 2015/09/01 2016/08/03 10.2026560 UBS AG – Sinopec Corp European Warrants Mar 2016 A 60,000,000 2015/09/01 2016/03/08 26.4026552 UBS AG – HSCEI European Put Warrants Mar 2016 H 200,000,000 2015/09/01 2016/03/30 50.0026535 UBS AG – HSI European Warrants Mar 2016 G 300,000,000 2015/09/01 2016/03/30 88.5026536 UBS AG – HSI European Warrants Mar 2016 H 300,000,000 2015/09/01 2016/03/30 75.0026543 UBS AG – HSI European Warrants Mar 2016 I 300,000,000 2015/09/01 2016/03/30 75.0026551 UBS AG – HSI European Put Warrants Mar 2016 J 300,000,000 2015/09/01 2016/03/30 75.0026629 UBS AG – ICBC European Warrants Feb 2016 A 100,000,000 2015/09/01 2016/02/25 26.0026563 UBS AG – PetroChina European Warrants Mar 2016 A 50,000,000 2015/09/01 2016/03/08 21.0026949 BOCI Asia Ltd. – CAM CSI300 European Warrants Mar 2016 A 100,000,000 2015/09/02 2016/03/14 44.0026914 BOCI Asia Ltd. – Sinopec Corp European Warrants Mar 2016 A 100,000,000 2015/09/02 2016/03/31 41.0026945 BOCI Asia Ltd. – CSOP A50 ETF European Warrants Dec 2016 C 100,000,000 2015/09/02 2016/12/22 15.0026882 BOCI Asia Ltd. – Galaxy Ent European Warrants Mar 2016 A 100,000,000 2015/09/02 2016/03/29 29.0026883 BOCI Asia Ltd. – Galaxy Ent European Put Warrants Apr 2016 A 100,000,000 2015/09/02 2016/04/05 27.0026877 BOCI Asia Ltd. – HSBC European Warrants Mar 2016 A 100,000,000 2015/09/02 2016/03/24 33.0026916 BOCI Asia Ltd. – Tencent Holdings European Wts Jun 2016 C 100,000,000 2015/09/02 2016/06/03 17.0026927 BOCI Asia Ltd. – Tencent Holdings European Put Wts Dec 2016 B 100,000,000 2015/09/02 2016/12/21 21.0026979 Credit Suisse AG – Galaxy Ent European Warrants Mar 2016 A 80,000,000 2015/09/02 2016/03/02 21.6026956 Credit Suisse AG – HSCEI European Put Warrants Mar 2016 E 108,000,000 2015/09/02 2016/03/30 27.0027029 Credit Suisse AG – PetroChina European Warrants Mar 2016 A 80,000,000 2015/09/02 2016/03/02 28.0027404 Bank of East Asia – CM Bank European Warrants Nov 2016 A 40,000,000 2015/09/02 2016/11/28 10.0027391 Bank of East Asia – CSOP A50 ETF European Wts Dec 2016 A 70,000,000 2015/09/02 2016/12/30 10.5027454 Bank of East Asia – HKEx European Put Warrants Jul 2016 A 40,000,000 2015/09/02 2016/07/07 10.0027412 Bank of East Asia – HS H-SHARE European Warrants Dec 2017 A 70,000,000 2015/09/02 2017/12/28 10.5027420 Bank of East Asia – Tencent Holdings European Put Wts Oct16A 40,000,000 2015/09/02 2016/10/20 10.0027248 Goldman Sachs SP (Asia) – Sinopec Corp European Wts Mar 2016 A 80,000,000 2015/09/02 2016/03/31 33.9227217 Goldman Sachs SP (Asia) – HKEx European Warrants Mar 2016 A 150,000,000 2015/09/02 2016/03/31 43.5027223 Goldman Sachs SP (Asia) – HSBC European Warrants Apr 2016 B 100,000,000 2015/09/02 2016/04/08 46.1026858 HK Bank – HSCEI European Put Warrants Mar 2016 E 180,000,000 2015/09/02 2016/03/30 45.0026854 HK Bank – HSI European Put Warrants Mar 2016 C 180,000,000 2015/09/02 2016/03/30 45.0027049 J P Morgan SP BV – CAM CSI300 European Warrants May 2016 A 100,000,000 2015/09/02 2016/05/03 26.0027216 J P Morgan SP BV – CITIC Sec European Warrants May 2016 A 100,000,000 2015/09/02 2016/05/04 33.6027089 J P Morgan SP BV – Galaxy Ent European Warrants Mar 2016 B 100,000,000 2015/09/02 2016/03/01 25.4027170 J P Morgan SP BV – Galaxy Ent European Put Wts Apr 2016 C 100,000,000 2015/09/02 2016/04/05 25.2027182 J P Morgan SP BV – Sands China European Warrants Mar 2016 B 100,000,000 2015/09/02 2016/03/01 34.7027025 Macquarie Bank Ltd. – Sinopec Corp European Wts Apr 2016 B 25,000,000 2015/09/02 2016/04/05 10.0027024 Macquarie Bank Ltd. – Galaxy Ent European Wts Apr 2016 C 40,000,000 2015/09/02 2016/04/05 10.0027022 Macquarie Bank Ltd. – Galaxy Ent European Put Wts May 2016 A 40,000,000 2015/09/02 2016/05/04 10.0027020 Macquarie Bank Ltd. – Greatwall Motor European Wts Apr 2016 A 40,000,000 2015/09/02 2016/04/05 10.0026817 Macquarie Bank Ltd. – HSBC European Warrants Apr 2016 C 27,000,000 2015/09/02 2016/04/05 10.37

Main Board Warrants



26816 Macquarie Bank Ltd. – Sands China European Wts Apr 2016 B 36,000,000 2015/09/02 2016/04/05 10.0127311 Standard Chartered Bank – Agricultural Bk Eur Wts Feb 2016 A 80,000,000 2015/09/02 2016/02/24 12.0027339 Standard Chartered Bank – BOCL European Warrants Mar 2016 B 80,000,000 2015/09/02 2016/03/22 16.0027312 Standard Chartered Bank – CITIC Sec European Wts Mar 2016 A 80,000,000 2015/09/02 2016/03/21 20.0027301 Standard Chartered Bank – CKP European Warrants May 2016 A 60,000,000 2015/09/02 2016/05/03 15.0027318 Standard Chartered Bank – HSBC European Warrants Apr 2016 B 80,000,000 2015/09/02 2016/04/18 20.0027313 Standard Chartered Bank – Haitong Sec Euro Wts Mar 2016 B 80,000,000 2015/09/02 2016/03/21 20.0027267 Standard Chartered Bank – SHK P European Warrants Mar 2016 A 60,000,000 2015/09/02 2016/03/07 15.0027687 Goldman Sachs SP (Asia) – HKEx European Put Wts May 2016 B 80,000,000 2015/09/04 2016/05/30 20.3227634 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2016 F 100,000,000 2015/09/04 2016/03/30 39.1027537 Goldman Sachs SP (Asia) – HSI European Put Wts Feb 2016 A 100,000,000 2015/09/04 2016/02/26 25.9027612 Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2016 E 100,000,000 2015/09/04 2016/03/30 25.7027773 J P Morgan SP BV – China Cinda European Warrants Apr 2016 A 80,000,000 2015/09/04 2016/04/01 20.4027501 Macquarie Bank Ltd. – A50 China European Warrants Dec 2016 C 67,000,000 2015/09/04 2016/12/02 10.0527495 Standard Chartered Bank – HSCEI European Warrants Mar 2016 C 100,000,000 2015/09/04 2016/03/30 25.0027456 Standard Chartered Bank – HSCEI European Put Wts Apr 2016 A 100,000,000 2015/09/04 2016/04/28 25.0027458 Standard Chartered Bank – HSI European Warrants Mar 2016 E 100,000,000 2015/09/04 2016/03/30 25.0027455 Standard Chartered Bank – HSI European Put Wts Mar 2016 D 100,000,000 2015/09/04 2016/03/30 25.0027718 UBS AG – China Mobile European Put Warrants Mar 2016 A 100,000,000 2015/09/04 2016/03/08 47.5027688 UBS AG – HSBC European Put Warrants Mar 2016 C 80,000,000 2015/09/04 2016/03/08 39.6027766 UBS AG – Tencent Holdings European Put Warrants Dec 2016 A 500,000,000 2015/09/04 2016/12/30 125.0028181 Goldman Sachs SP (Asia) – HSCEI European Warrants Mar 2016 D 100,000,000 2015/09/07 2016/03/30 15.3028221 J P Morgan SP BV – AviChina European Warrants Sep 2017 A 60,000,000 2015/09/07 2017/09/04 15.0028224 J P Morgan SP BV – BankComm European Warrants Jul 2016 A 100,000,000 2015/09/07 2016/07/29 58.2028229 J P Morgan SP BV – Brilliance Chi European Wts Dec 2016 A 80,000,000 2015/09/07 2016/12/30 20.0828254 J P Morgan SP BV – Ping An European Put Warrants May 2016 A 100,000,000 2015/09/07 2016/05/03 33.4027839 Standard Chartered Bank – China Life European Wts Feb 2016 A 100,000,000 2015/09/07 2016/02/22 30.0027911 Standard Chartered Bank – CNOOC European Warrants Mar 2016 A 60,000,000 2015/09/07 2016/03/24 30.0027859 Standard Chartered Bank – Sinopec Corp Euro Wts Mar 2016 C 60,000,000 2015/09/07 2016/03/18 15.0027917 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Mar 2016 A 100,000,000 2015/09/07 2016/03/03 20.5027916 SGA Societe Generale Acceptance N.V. – BOCL Eu Wt Jun 2016 A 100,000,000 2015/09/07 2016/06/03 42.5027918 SGA Societe Generale Acceptance N.V. – CCB Eur Wt Jun 2016 A 100,000,000 2015/09/07 2016/06/03 65.0028154 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Apr 2016A 80,000,000 2015/09/07 2016/04/06 28.0028108 SGA Societe Generale Acceptance N.V. – CP&CC Eu Wt Jun 2016A 80,000,000 2015/09/07 2016/06/03 52.0028096 SGA Societe Generale Acceptance N.V. – ICBC Eu Wt Jun 2016 A 100,000,000 2015/09/07 2016/06/03 52.0028176 SGA Societe Generale Acceptance N.V. – Stanchart Eu Wt Oct16A 10,000,000 2015/09/07 2016/10/05 10.0028516 Credit Suisse AG – BOCL European Warrants Mar 2016 A 80,000,000 2015/09/08 2016/03/31 20.0028635 J P Morgan SP BV – Agricultural Bk Euro Warrants Jul 2016 A 100,000,000 2015/09/08 2016/07/29 25.1028649 J P Morgan SP BV – CITIC Bank European Warrants Jun 2016 A 100,000,000 2015/09/08 2016/06/30 48.8028587 J P Morgan SP BV – HSBC European Put Warrants May 2016 B 100,000,000 2015/09/08 2016/05/03 39.8028483 SGA Societe Generale Acceptance N.V. – CGS Euro Wts Dec 17 A 100,000,000 2015/09/08 2017/12/04 20.0028465 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt May16A 40,000,000 2015/09/08 2016/05/05 15.2028435 SGA Societe Generale Acceptance N.V. – CITIC Sec Eu Wt Jun16A 40,000,000 2015/09/08 2016/06/03 11.4028427 SGA Societe Generale Acceptance N.V. – CNOOC Eu Wt Jul 2017A 300,000,000 2015/09/08 2017/07/05 45.00

Main Board Warrants



28359 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt May16A 150,000,000 2015/09/08 2016/05/30 37.5028367 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Mar 2016 D 150,000,000 2015/09/08 2016/03/30 28.5028387 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Mar 16 E 150,000,000 2015/09/08 2016/03/30 32.2510353 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Sep 16 A 150,000,000 2015/09/08 2016/09/09 37.5010354 SGA Societe Generale Acceptance NV – Nikkei 225 Eu Wt Mar 17 A 150,000,000 2015/09/08 2017/03/10 37.5010355 SGA Societe Generale Acceptance NV – N225 Eu Put Wt Sep 2016 B 150,000,000 2015/09/08 2016/09/09 37.5029046 Credit Suisse AG – BOC HK European Warrants Oct 2016 A 70,000,000 2015/09/09 2016/10/03 10.5028781 Goldman Sachs SP (Asia) – China Cinda Euro Wts Apr 2016 A 50,000,000 2015/09/09 2016/04/29 18.8528900 Goldman Sachs SP (Asia) – CITIC Sec European Wts Apr 2016 A 80,000,000 2015/09/09 2016/04/29 20.8828981 Goldman Sachs SP (Asia) – Ch Overseas European Wts Apr 2016 A 80,000,000 2015/09/09 2016/04/29 24.0029074 Goldman Sachs SP (Asia) – CSOP A50 ETF Euro Wts Apr 2016 B 50,000,000 2015/09/09 2016/04/29 52.8529226 Goldman Sachs SP (Asia) – HSCEI European Warrants Mar 2016 E 100,000,000 2015/09/09 2016/03/30 27.4029238 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2016 G 100,000,000 2015/09/09 2016/03/30 26.0029239 Goldman Sachs SP (Asia) – HSI European Put Wts Apr 2016 B 100,000,000 2015/09/09 2016/04/28 25.0028848 Goldman Sachs SP (Asia) – PetroChina European Wts Apr 2016 A 50,000,000 2015/09/09 2016/04/29 31.5029083 Goldman Sachs SP (Asia) – Ping An European Wts Mar 2016 B 100,000,000 2015/09/09 2016/03/30 78.1028664 HK Bank – BOCL European Warrants Jul 2016 B 80,000,000 2015/09/09 2016/07/29 24.0028779 HK Bank – HSCEI European Warrants Mar 2016 F 180,000,000 2015/09/09 2016/03/30 45.0028710 HK Bank – HSI European Warrants Mar 2016 D 180,000,000 2015/09/09 2016/03/30 45.0028662 HK Bank – Lenovo European Warrants Dec 2017 B 100,000,000 2015/09/09 2017/12/27 15.0028709 HK Bank – Ping An European Warrants Dec 2016 B 180,000,000 2015/09/09 2016/12/30 27.0029135 J P Morgan SP BV – China Railway European Wts Aug 2017 A 60,000,000 2015/09/09 2017/08/02 15.0629165 J P Morgan SP BV – HSCEI European Put Warrants May 2016 A 200,000,000 2015/09/09 2016/05/30 52.6029179 J P Morgan SP BV – HSI European Put Warrants May 2016 A 300,000,000 2015/09/09 2016/05/30 75.0029084 J P Morgan SP BV – Tencent European Put Warrants Dec 2016 D 200,000,000 2015/09/09 2016/12/01 30.0029004 SGA Societe Generale Acceptance N.V. – Kingsoft Eu Wt Apr16A 40,000,000 2015/09/09 2016/04/06 16.0029035 SGA Societe Generale Acceptance N.V – Sands China Eu Wt Apr16B 80,000,000 2015/09/09 2016/04/06 21.6029505 BOCI Asia Ltd. – HSCEI European Warrants Mar 2016 A 100,000,000 2015/09/10 2016/03/30 16.0029539 BOCI Asia Ltd. – HSCEI European Put Warrants May 2016 A 100,000,000 2015/09/10 2016/05/30 20.0029484 BOCI Asia Ltd. – HSI European Warrants Mar 2016 B 100,000,000 2015/09/10 2016/03/30 18.0029486 BOCI Asia Ltd. – HSI European Put Warrants Mar 2016 C 100,000,000 2015/09/10 2016/03/30 18.0029704 Credit Suisse AG – CITIC Sec European Warrants Mar 2016 A 50,000,000 2015/09/10 2016/03/14 16.5029707 Credit Suisse AG – Haitong Sec European Warrants Mar 2016 A 50,000,000 2015/09/10 2016/03/14 12.5029852 J P Morgan SP BV – BOCL European Warrants Jul 2016 A 100,000,000 2015/09/10 2016/07/29 27.9029781 J P Morgan SP BV – Galaxy Ent European Warrants Jun 2016 A 100,000,000 2015/09/10 2016/06/01 39.0029856 J P Morgan SP BV – ICBC European Warrants Jul 2016 A 100,000,000 2015/09/10 2016/07/29 40.6029636 Macquarie Bank Ltd. – CPIC European Warrants May 2016 A 30,000,000 2015/09/10 2016/05/04 10.0529763 Macquarie Bank Ltd. – Evergrande European Wts Jan 2018 A 100,000,000 2015/09/10 2018/01/03 25.0029623 Macquarie Bank Ltd. – ICBC European Warrants May 2016 A 30,000,000 2015/09/10 2016/05/04 10.0529387 Standard Chartered Bank – CNOOC European Put Wts Nov 2016 B 100,000,000 2015/09/10 2016/11/07 16.5029348 SGA Societe Generale Acceptance N.V. – BOCHK Eu Wt Aug 2016B 50,000,000 2015/09/10 2016/08/03 14.0029639 SGA Societe Generale Acceptance N.V. – Galaxy Ent Eu Wt May16B 80,000,000 2015/09/10 2016/05/05 32.0029593 SGA Societe Generale Acceptance N.V. – HSBC Eu Put Wt Apr16 A 100,000,000 2015/09/10 2016/04/06 40.0029382 SGA Societe Generale Acceptance N.V – Haitong Sec Eu Wt Jun16A 40,000,000 2015/09/10 2016/06/03 10.00

Main Board Warrants



29596 SGA Societe Generale Acceptance N.V – Ping An Eu Put Wt May16A 120,000,000 2015/09/10 2016/05/05 33.0029603 SGA Societe Generale Acceptance N.V – Tencent Eu Put Wt Dec16A 500,000,000 2015/09/10 2016/12/05 125.0029640 UBS AG – CNOOC European Warrants Jul 2018 A 100,000,000 2015/09/10 2018/07/26 21.0029659 UBS AG – Sinopec Corp European Warrants Mar 2016 B 60,000,000 2015/09/10 2016/03/15 31.2029644 UBS AG – Galaxy Ent European Warrants Feb 2016 A 70,000,000 2015/09/10 2016/02/23 19.2529647 UBS AG – Galaxy Ent European Put Warrants Mar 2016 B 60,000,000 2015/09/10 2016/03/09 15.0029657 UBS AG – PetroChina European Warrants Mar 2016 B 50,000,000 2015/09/10 2016/03/15 31.0029651 UBS AG – Sands China European Put Warrants Mar 2016 A 60,000,000 2015/09/10 2016/03/09 15.0029935 BOCI Asia Ltd. – Agricultural Bk European Wts May 2016 A 100,000,000 2015/09/11 2016/05/30 25.0011011 BOCI Asia Ltd. – BOCL European Warrants May 2016 A 100,000,000 2015/09/11 2016/05/23 29.0029863 BOCI Asia Ltd. – CC Bank European Warrants May 2016 A 100,000,000 2015/09/11 2016/05/03 40.0011010 BOCI Asia Ltd. – ICBC European Warrants May 2016 A 100,000,000 2015/09/11 2016/05/10 36.0011014 Goldman Sachs SP (Asia) – HSCEI European Put Wts May 2016 B 100,000,000 2015/09/11 2016/05/30 25.3011012 Goldman Sachs SP (Asia) – HSI European Put Wts Apr 2016 C 100,000,000 2015/09/11 2016/04/28 25.4011020 Goldman Sachs Sp (Asia) – ICBC European Warrants Mar 2016 A 80,000,000 2015/09/11 2016/03/31 24.9611058 Goldman Sachs SP (Asia) – Ping An Euro Put Wts Mar 2016 C 60,000,000 2015/09/11 2016/03/31 24.9011061 J P Morgan SP BV – China Life European Put Wts May 2016 A 100,000,000 2015/09/11 2016/05/03 25.1011070 J P Morgan SP BV – Guotai Junani European Warrants Apr 2016A 60,000,000 2015/09/11 2016/04/05 39.6011060 J P Morgan SP BV – HSBC European Warrants Jun 2016 A 100,000,000 2015/09/11 2016/06/02 43.1011062 J P Morgan SP BV – HSI European Warrants May 2016 B 300,000,000 2015/09/11 2016/05/30 75.3011069 J P Morgan SP BV – HSI European Warrants May 2016 C 300,000,000 2015/09/11 2016/05/30 75.6011019 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Mar 2016E 150,000,000 2015/09/11 2016/03/30 22.5011018 SGA Societe Generale Acceptance N.V. – HSCEI Eu Wt Apr 2016B 150,000,000 2015/09/11 2016/04/28 37.5011029 UBS AG – Agricultural Bank European Warrants Mar 2016 A 50,000,000 2015/09/11 2016/03/10 12.5011028 UBS AG – China Cinda European Warrants Mar 2016 A 50,000,000 2015/09/11 2016/03/10 14.0011040 UBS AG – CNOOC European Warrants Mar 2016 A 100,000,000 2015/09/11 2016/03/10 74.0011026 UBS AG – HSBC European Warrants Feb 2016 A 100,000,000 2015/09/11 2016/02/24 18.0011057 UBS AG – China Mengniu European Warrants Jul 2016 A 70,000,000 2015/09/11 2016/07/11 32.2011056 UBS AG – Tencent Holdings European Warrants Feb 2016 D 500,000,000 2015/09/11 2016/02/22 75.0011120 BNP Paribas Arbit Issu B.V. – AIA European Wts Apr 2016 B 50,000,000 2015/09/14 2016/04/05 15.5011114 BNP Paribas Arbit Issu B.V. – HSBC European Wts Apr 2016 B 40,000,000 2015/09/14 2016/04/05 17.6011092 BNP Paribas Arbit Issu B.V. – HSCEI European Wts Mar 2016 D 100,000,000 2015/09/14 2016/03/30 27.0011095 BNP Paribas Arbit Issu B.V. – HSCEI Euro Put Wts Mar 2016 E 100,000,000 2015/09/14 2016/03/30 25.0011083 BNP Paribas Arbit Issu B.V. – HSI European Wts Mar 2016 A 80,000,000 2015/09/14 2016/03/30 20.0011090 BNP Paribas Arbit Issu B.V. – HSI Euro Put Wts Mar 2016 B 80,000,000 2015/09/14 2016/03/30 21.6011101 BNP Paribas Arbit Issu B.V. – PetroCh Euro Wts Mar 2016 B 40,000,000 2015/09/14 2016/03/02 15.2011136 Credit Suisse AG – HS H-SHARE European Warrants Feb 2016 A 80,000,000 2015/09/14 2016/02/26 32.0011079 Macquarie Bank Ltd. – BOCL European Warrants Apr 2016 B 40,000,000 2015/09/14 2016/04/05 10.0011073 Macquarie Bank Ltd. – CC Bank European Warrants Apr 2016 B 30,000,000 2015/09/14 2016/04/05 10.0211077 Macquarie Bank Ltd. – China Life European Wts Apr 2016 B 40,000,000 2015/09/14 2016/04/05 10.0011123 Macquarie Bank Ltd. – Minsheng Bank European Wts Apr 2016 A 16,000,000 2015/09/14 2016/04/05 10.0811122 Macquarie Bank Ltd. – Kingsoft European Warrants May 2016 A 26,000,000 2015/09/14 2016/05/04 10.0111128 SGA Societe Generale Acceptance N.V. – AGBK Eu Wt Jun 2016 A 100,000,000 2015/09/14 2016/06/03 34.5011131 SGA Societe Generale Acceptance N.V. – CLife Eu Wt May 2016 A 150,000,000 2015/09/14 2016/05/05 48.75

Main Board Warrants



11133 SGA Societe Generale Acceptance N.V. – CLife Eu Put Wt Jul16A 150,000,000 2015/09/14 2016/07/06 47.2511168 UBS AG – CC Bank European Warrants Mar 2016 A 100,000,000 2015/09/14 2016/03/14 43.0011149 UBS AG – CITIC Sec European Warrants Mar 2016 A 40,000,000 2015/09/14 2016/03/14 10.0011143 UBS AG – China Overseas European Warrants Mar 2016 A 70,000,000 2015/09/14 2016/03/24 10.5011142 UBS AG – HSBC European Warrants Apr 2016 A 100,000,000 2015/09/14 2016/04/11 45.0011153 UBS AG – HSI European Warrants Jun 2016 A 300,000,000 2015/09/14 2016/06/29 75.0011158 UBS AG – HSI European Put Warrants Jun 2016 B 300,000,000 2015/09/14 2016/06/29 75.0011146 UBS AG – Stanchart European Warrants Apr 2016 A 20,000,000 2015/09/14 2016/04/11 10.0025942 # Goldman Sachs SP (Asia) – HSI European Put Wts Mar 2016 D 100,000,000 2015/09/14 2016/03/30 20.1011369 Credit Suisse AG – BOC HK European Warrants Mar 2016 B 70,000,000 2015/09/15 2016/03/14 17.5011400 Goldman Sachs SP (Asia) – AIA European Warrants Mar 2016 C 80,000,000 2015/09/15 2016/03/31 38.3211394 Goldman Sachs SP (Asia) – CC Bank European Wts Apr 2016 A 80,000,000 2015/09/15 2016/04/29 42.0011302 Goldman Sachs SP (Asia) – China Mobile Euro Wts Jan 2016 C 80,000,000 2015/09/15 2016/01/29 50.0811292 Goldman Sachs SP (Asia) – China Mobile Euro Wts Mar 2017 A 300,000,000 2015/09/15 2017/03/23 45.0011403 Goldman Sachs SP (Asia) – Galaxy Ent European Wts Mar 2016 C 80,000,000 2015/09/15 2016/03/31 30.3211258 Goldman Sachs SP (Asia) – HKEx European Warrants Apr 2016 B 300,000,000 2015/09/15 2016/04/15 75.0011407 Goldman Sachs SP (Asia) – Sands China Euro Wts Apr 2016 A 80,000,000 2015/09/15 2016/04/29 20.1611203 HK Bank – CC Bank European Warrants Jul 2016 A 80,000,000 2015/09/15 2016/07/29 28.0011237 HK Bank – CITIC Sec European Warrants Jul 2016 A 80,000,000 2015/09/15 2016/07/29 20.0011240 HK Bank – CKP European Warrants Jun 2016 A 60,000,000 2015/09/15 2016/06/30 22.8011239 HK Bank – Galaxy Ent European Warrants Jun 2016 A 80,000,000 2015/09/15 2016/06/30 20.0011235 HK Bank – HSCEI European Put Warrants Apr 2016 A 180,000,000 2015/09/15 2016/04/28 45.0011220 HK Bank – HSI European Put Warrants Mar 2016 E 180,000,000 2015/09/15 2016/03/30 45.0011204 HK Bank – PetroChina European Warrants Mar 2016 A 60,000,000 2015/09/15 2016/03/31 22.8011423 J P Morgan SP BV – HSI European Put Warrants Mar 2016 G 300,000,000 2015/09/15 2016/03/30 46.5011426 J P Morgan SP BV – HSI European Put Warrants Apr 2016 C 300,000,000 2015/09/15 2016/04/28 75.0011361 Macquarie Bank Ltd. – China Life European Put Warrants Apr16C 40,000,000 2015/09/15 2016/04/05 10.0011377 Macquarie Bank Ltd. – CNBM European Warrants May 2016 A 15,000,000 2015/09/15 2016/05/04 10.5011368 Macquarie Bank Ltd. – KECL European Warrants Jul 2018 A 40,000,000 2015/09/15 2018/07/04 10.0011387 Standard Chartered Bank – BOC HK European Wts May 2016 B 60,000,000 2015/09/15 2016/05/09 15.0011331 Standard Chartered Bank – CC Bank European Wts Mar 2016 A 80,000,000 2015/09/15 2016/03/14 22.4011336 SGA Societe Generale Acceptance N.V. – ChiUnicom Eu Wt Dec17 A 100,000,000 2015/09/15 2017/12/05 25.0011337 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jun 2016 A 200,000,000 2015/09/15 2016/06/03 50.0011351 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Mar 2017 A 200,000,000 2015/09/15 2017/03/03 50.0011308 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt Mar16F 150,000,000 2015/09/15 2016/03/30 35.2511307 SGA Societe Generale Acceptance N.V. – HSCEI Eu Put Wt Dec16A 150,000,000 2015/09/15 2016/12/29 37.5011312 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt Apr 16 B 150,000,000 2015/09/15 2016/04/28 37.5011321 SGA Societe Generale Acceptance N.V. – HSI Eu Put Wt May 16 A 150,000,000 2015/09/15 2016/05/30 37.5011353 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Sep 16 B 500,000,000 2015/09/15 2016/09/05 125.0011440 BNP Paribas Arbit Issu B.V. – CC Bank Euro Wts Apr 2016 A 50,000,000 2015/09/16 2016/04/05 19.0011438 BNP Paribas Arbit Issu B.V. – Galaxy Ent Euro Wts Jul 2016 A 50,000,000 2015/09/16 2016/07/05 20.5011434 BNP Paribas Arbit Issu B.V. – HS H-SHARE Euro Wts Apr 2016 A 30,000,000 2015/09/16 2016/04/05 15.6011448 Credit Suisse AG – Ch Overseas European Warrants Mar 2016 A 70,000,000 2015/09/16 2016/03/24 12.6011453 Credit Suisse AG – HKEx European Put Warrants Feb 2016 C 70,000,000 2015/09/16 2016/02/26 14.70

Main Board Warrants



10356 J P Morgan SP BV – N225 Index Euro Wts Mar 2016 A 100,000,000 2015/09/16 2016/03/11 15.3011442 UBS AG – Greatwall Motor European Warrants Mar 2016 A 30,000,000 2015/09/16 2016/03/15 10.3511446 UBS AG – HSI European Warrants Mar 2016 K 300,000,000 2015/09/16 2016/03/30 45.0011489 BOCI Asia Ltd. – BOC HK European Warrants Oct 2016 A 100,000,000 2015/09/17 2016/10/11 25.0011480 BOCI Asia Ltd. – China Cinda European Warrants Apr 2016 A 100,000,000 2015/09/17 2016/04/25 38.0011495 BOCI Asia Ltd. – CITIC Sec European Warrants May 2016 A 100,000,000 2015/09/17 2016/05/03 35.0011498 BOCI Asia Ltd. – Haitong Sec European Warrants Aug 2016 A 100,000,000 2015/09/17 2016/08/29 31.0011487 BOCI Asia Ltd. – Sands China European Put Wts May 2016 A 100,000,000 2015/09/17 2016/05/10 33.0011639 Credit Suisse AG – AIA European Warrants May 2016 A 80,000,000 2015/09/17 2016/05/30 20.0011509 HK Bank – AIA European Warrants Mar 2016 B 80,000,000 2015/09/17 2016/03/31 20.0011510 HK Bank – China Life European Warrants Feb 2016 B 100,000,000 2015/09/17 2016/02/29 15.0011508 HK Bank – China Mobile European Warrants Mar 2016 B 60,000,000 2015/09/17 2016/03/31 24.0011501 HK Bank – HSI European Warrants Mar 2016 F 180,000,000 2015/09/17 2016/03/30 27.0011503 HK Bank – HSI European Warrants Mar 2016 G 180,000,000 2015/09/17 2016/03/30 45.0011634 HK Bank – HSI European Put Warrants Mar 2016 H 180,000,000 2015/09/17 2016/03/30 45.0011534 HK Bank – Tencent European Warrants Jun 2016 D 100,000,000 2015/09/17 2016/06/29 16.0010357 J P Morgan SP BV – N225 Idx Euro Put Wts Sep 2016 A 100,000,000 2015/09/17 2016/09/09 25.7011470 Macquarie Bank Ltd. – BOCL European Put Warrants Apr 2016 C 40,000,000 2015/09/17 2016/04/05 10.0011478 Macquarie Bank Ltd. – BYD European Warrants May 2016 A 17,000,000 2015/09/17 2016/05/04 10.0111467 Macquarie Bank Ltd. – Kingdee Int’l European Wts May 2016 A 22,000,000 2015/09/17 2016/05/04 10.0111630 Standard Chartered Bank – BYD European Warrants Aug 2016 A 50,000,000 2015/09/17 2016/08/08 40.0011624 Standard Chartered Bank – HSI European Warrants Mar 2016 F 100,000,000 2015/09/17 2016/03/30 25.0011631 Standard Chartered Bank – Kingsoft European Wts Aug 2016 A 50,000,000 2015/09/17 2016/08/08 14.7511546 SGA Societe Generale Acceptance N.V. – CITIC Euro Wt May17 A 40,000,000 2015/09/17 2017/05/04 10.0011567 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Nov 2016 A 200,000,000 2015/09/17 2016/11/03 50.0011588 SGA Societe Generale Acceptance N.V. – HKEx Eu Wt Jun 2017 A 200,000,000 2015/09/17 2017/06/05 52.0011635 SGA Societe Generale Acceptance N.V. – HSI Eur Wt Mar 2016 F 150,000,000 2015/09/17 2016/03/30 25.5011597 SGA Societe Generale Acceptance N.V. – JIANC Eu Wt Dec 2016A 60,000,000 2015/09/17 2016/12/05 15.0011606 SGA Societe Generale Acceptance NV – Yanzhou Coal Eu Wt Sep17A 150,000,000 2015/09/17 2017/09/05 22.5011632 UBS AG – CKH European Warrants Jun 2017 B 300,000,000 2015/09/17 2017/06/23 45.0011676 Credit Suisse AG – China Life European Warrants Feb 2016 A 80,000,000 2015/09/18 2016/02/26 12.0011672 Standard Chartered Bank – HSI European Put Wts Feb 2016 A 100,000,000 2015/09/18 2016/02/26 31.0011720 Goldman Sachs SP (Asia) – Agri Bk European Wts May 2016 A 100,000,000 2015/09/21 2016/05/30 25.3011735 Goldman Sachs SP (Asia) – BOCL European Warrants Jul 2016 A 100,000,000 2015/09/21 2016/07/22 34.8011736 Goldman Sachs SP (Asia) – PetroChina European Wts May 2016 A 50,000,000 2015/09/21 2016/05/04 39.0511741 Goldman Sachs SP (Asia) – Sands China Euro Wts May 2016 A 80,000,000 2015/09/21 2016/05/31 30.4011762 J P Morgan SP BV – CPIC European Warrants Jul 2016 A 80,000,000 2015/09/21 2016/07/04 23.5211744 J P Morgan SP BV – JX Copper European Warrants Mar 2017 A 80,000,000 2015/09/21 2017/03/03 20.0811704 Macquarie Bank Ltd. – AIA European Warrants Apr 2016 A 30,000,000 2015/09/21 2016/04/05 10.0211714 Macquarie Bank Ltd. – Lenovo European Warrants May 2018 A 40,000,000 2015/09/21 2018/05/03 10.0011699 Standard Chartered Bank – Haitong Sec Euro Wts May 2016 A 80,000,000 2015/09/21 2016/05/23 20.0011680 Standard Chartered Bank – PetroChina European Wts Aug 2016 A 80,000,000 2015/09/21 2016/08/01 33.6011683 Standard Chartered Bank – Sands China Euro Wts Mar 2016 B 80,000,000 2015/09/21 2016/03/24 12.8010363 SGA Societe Generale Acceptance NV – N225 Eu Put Wt Jun 2016 B 150,000,000 2015/09/21 2016/06/10 37.50

Main Board Warrants



10358 UBS AG – Nikkei 225 European Warrants Mar 2016 A 100,000,000 2015/09/21 2016/03/11 17.0010360 UBS AG – Nikkei 225 European Warrants Jun 2016 A 100,000,000 2015/09/21 2016/06/10 25.0010359 UBS AG – Nikkei 225 European Warrants Dec 2016 A 100,000,000 2015/09/21 2016/12/09 25.0010361 UBS AG – Nikkei 225 European Put Warrants Jun 2016 B 100,000,000 2015/09/21 2016/06/10 25.0010362 UBS AG – Nikkei 225 European Put Warrants Dec 2016 B 100,000,000 2015/09/21 2016/12/09 25.0025795 # Credit Suisse AG – HSI European Put Warrants Mar 2016 C 130,000,000 2015/09/21 2016/03/30 15.4711846 Credit Suisse AG – HSBC European Put Warrants Mar 2016 B 50,000,000 2015/09/22 2016/03/30 17.5011776 HK Bank – CNOOC European Warrants Jul 2018 A 180,000,000 2015/09/22 2018/07/31 32.4011769 HK Bank – CSOP A50 ETF European Warrants Dec 2016 A 100,000,000 2015/09/22 2016/12/29 15.0011796 HK Bank – HSCEI European Warrants Mar 2016 H 180,000,000 2015/09/22 2016/03/30 45.0011765 HK Bank – HSCEI European Put Warrants Mar 2016 G 180,000,000 2015/09/22 2016/03/30 45.0011774 HK Bank – Sands China European Warrants Jul 2016 A 60,000,000 2015/09/22 2016/07/29 18.0011830 Macquarie Bank Ltd. – China Life European Wts Apr 2016 D 40,000,000 2015/09/22 2016/04/05 10.0011812 Standard Chartered Bank – HKEx European Put Wts May 2016 A 80,000,000 2015/09/22 2016/05/26 14.4011803 Standard Chartered Bank – Jiangxi Copper Euro Wts Nov 2016 A 80,000,000 2015/09/22 2016/11/07 20.0011942 Credit Suisse AG – Fosun Intl European Warrants Mar 2016 B 70,000,000 2015/09/23 2016/03/22 17.5011902 Macquarie Bank Ltd. – CKH European Warrants Apr 2016 A 15,000,000 2015/09/23 2016/04/05 10.0111938 Macquarie Bank Ltd. – Fosun Intl European Warrants Jul 2016A 40,000,000 2015/09/23 2016/07/05 10.0011876 Standard Chartered Bank – AIA European Warrants Mar 2016 A 80,000,000 2015/09/23 2016/03/22 23.2011878 Standard Chartered Bank – AIA European Put Wts Apr 2016 A 60,000,000 2015/09/23 2016/04/05 15.0011880 Standard Chartered Bank – CKH European Warrants Apr 2016 A 80,000,000 2015/09/23 2016/04/01 30.4011854 Standard Chartered Bank – China Life Euro Put Wts Mar 2016 A 100,000,000 2015/09/23 2016/03/24 20.0011987 UBS AG – CITIC European Warrants Apr 2016 A 70,000,000 2015/09/23 2016/04/26 10.5011975 UBS AG – Galaxy Ent European Put Warrants Feb 2016 B 60,000,000 2015/09/23 2016/02/24 24.0011953 UBS AG – Haitong Sec European Warrants May 2016 A 70,000,000 2015/09/23 2016/05/11 17.5012113 BOCI Asia Ltd. – China Life European Put Warrants Apr 2016 A 100,000,000 2015/09/24 2016/04/28 30.0012106 BOCI Asia Ltd. – HSBC European Put Warrants May 2016 A 100,000,000 2015/09/24 2016/05/06 41.0012109 BOCI Asia Ltd. – PetroChina European Warrants Apr 2016 A 100,000,000 2015/09/24 2016/04/06 44.0012110 BOCI Asia Ltd. – Ping An European Put Warrants May 2016 A 100,000,000 2015/09/24 2016/05/03 31.0012127 Credit Suisse AG – China Cinda European Warrants Apr 2016 A 70,000,000 2015/09/24 2016/04/29 17.5012126 Credit Suisse AG – CRRC European Warrants Mar 2016 A 70,000,000 2015/09/24 2016/03/21 11.2012129 J P Morgan SP BV – BOCL European Put Wts Apr 2016 A 80,000,000 2015/09/24 2016/04/05 20.0812128 J P Morgan SP BV – CC Bank Euro Put Wts Apr 2016 B 80,000,000 2015/09/24 2016/04/05 28.4812130 Macquarie Bank Ltd. – CRRC European Warrants Sep 2016 A 40,000,000 2015/09/24 2016/09/29 10.0811988 Standard Chartered Bank – CRRC European Warrants Mar 2016 A 80,000,000 2015/09/24 2016/03/23 12.8012114 SGA Societe Generale Acceptance N.V. – BOCL Eu Put Wt May16A 100,000,000 2015/09/24 2016/05/05 27.0012115 SGA Societe Generale Acceptance N.V. – CCB Euro Put Wt May16A 100,000,000 2015/09/24 2016/05/05 35.5012116 SGA Societe Generale Acceptance N.V. – Fosun Intl Eu Wt Jul16A 40,000,000 2015/09/24 2016/07/06 11.0012118 SGA Societe Generale Acceptance N.V. – HKEx Eu Put Wt Jun16B 200,000,000 2015/09/24 2016/06/03 38.0012120 SGA Societe Generale Acceptance N.V. – ICBC Eu Put Wt May16A 100,000,000 2015/09/24 2016/05/05 35.5012121 UBS AG – Ping An European Warrants Feb 2016 C 150,000,000 2015/09/24 2016/02/22 22.5012122 UBS AG – Sands China European Warrants Feb 2016 A 70,000,000 2015/09/24 2016/02/29 11.9012124 UBS AG – Sands China European Put Warrants Mar 2016 B 60,000,000 2015/09/24 2016/03/23 22.5012145 BNP Paribas Arbit Issu B.V. – R&F Ppt Euro Wts Mar 2017 A 60,000,000 2015/09/25 2017/03/02 15.00

Main Board Warrants



12146 BNP Paribas Arbit Issu B.V. – Jiangxi Copper Eu Wt Nov 2016A 60,000,000 2015/09/25 2016/11/02 15.0012143 BNP Paribas Arbit Issu B.V. – SHK Ppt Euro Wts Apr 2016 A 30,000,000 2015/09/25 2016/04/05 13.8012151 BNP Paribas Arbit Issu B.V. – Tracker Fund Euro Wts Jan 17 A 70,000,000 2015/09/25 2017/01/04 10.5012144 BNP Paribas Arbit Issu B.V. – Wynn Macau Euro Wts Jul 2016 A 60,000,000 2015/09/25 2016/07/05 15.0012142 Credit Suisse AG – AIA European Put Warrants Feb 2016 B 50,000,000 2015/09/25 2016/02/29 12.5012148 Credit Suisse AG – HSBC European Wts Apr 2016 A 80,000,000 2015/09/25 2016/04/29 12.0012135 Credit Suisse AG – Ping An European Put Warrants Mar 2016 D 70,000,000 2015/09/25 2016/03/31 19.6012133 Credit Suisse AG – Tencent Holdings Euro Put Wts Nov 2016 A 100,000,000 2015/09/25 2016/11/30 17.0012152 Goldman Sachs SP (Asia) – China Shenhua Euro Wts Dec 2016 A 60,000,000 2015/09/25 2016/12/29 15.0012131 Macquarie Bank Ltd. – Tencent European Warrants Apr 2016 B 10,000,000 2015/09/25 2016/04/05 10.0012132 Macquarie Bank Ltd. – Tencent European Warrants Apr 2016 C 17,000,000 2015/09/25 2016/04/05 10.0112149 SGA Societe Generale Acceptance N.V. – CRRC Euro Wts Aug16 A 60,000,000 2015/09/25 2016/08/03 15.0012150 SGA Societe Generale Acceptance N.V. – Galaxy Eu Put Wt Apr16A 80,000,000 2015/09/25 2016/04/06 20.0012164 J P Morgan SP BV – CRRC European Warrants Sep 2016 A 100,000,000 2015/09/29 2016/09/01 25.1012153 Macquarie Bank Ltd. – Tencent European Put Wts Apr 2016 D 21,000,000 2015/09/29 2016/04/05 10.0412163 Macquarie Bank Ltd. – China Vanke European Warrants May 16 B 40,000,000 2015/09/29 2016/05/04 10.0012159 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt Apr16C 30,000,000 2015/09/29 2016/04/06 25.2012160 SGA Societe Generale Acceptance NV – CSOP A50 ETF Eu Wt May16B 30,000,000 2015/09/29 2016/05/05 21.0012162 SGA Societe Generale Acceptance N.V. – A50 Ch Eu Wt Apr 2016F 30,000,000 2015/09/29 2016/04/06 31.2012169 Bank of East Asia – Ch Comm Cons European Wts Nov 2016 A 40,000,000 2015/09/30 2016/11/18 10.0012167 Bank of East Asia – CITIC European Put Warrants Sep 2016 B 40,000,000 2015/09/30 2016/09/30 10.0012168 Bank of East Asia – CNOOC European Put Warrants Jan 2017 A 40,000,000 2015/09/30 2017/01/03 10.0012180 Goldman Sachs SP (Asia) – HSI European Warrants Mar 2016 H 100,000,000 2015/09/30 2016/03/30 17.0012179 Goldman Sachs SP (Asia) – HSI European Warrants Apr 2016 D 100,000,000 2015/09/30 2016/04/28 25.2012166 Macquarie Bank Ltd. – CC Bank European Warrants Apr 2016 C 40,000,000 2015/09/30 2016/04/05 10.0012165 SGA Societe Generale Acceptance N.V. – Tencent Eu Wt Apr 16 E 50,000,000 2015/09/30 2016/04/06 56.5012172 SGA Societe Generale Acceptance N.V. – Ch Vanke Eu Wts Apr16 A 40,000,000 2015/09/30 2016/04/06 10.4012176 UBS AG – China Mobile European Warrants Mar 2016 B 100,000,000 2015/09/30 2016/03/23 66.0012173 UBS AG – Galaxy Ent European Put Warrants Mar 2016 C 60,000,000 2015/09/30 2016/03/29 15.0012177 UBS AG – Lenovo European Warrants Dec 2017 A 100,000,000 2015/09/30 2017/12/20 19.5012175 UBS AG – Tencent Holdings European Warrants Jul 2016 A 300,000,000 2015/09/30 2016/07/05 45.00Total 46,018.14

# Further issue

Main Board Debt Securities


Debt Securities Trading Statistics

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

2014 Q3 – 3,414.81 Q4 – 1,264.592015 Q1 – 1,023.80 Q2 – 2,000.30 Q3 – 5,208.52

Debt Securities Nominal Value

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

2014 Q3 578 1,990,202.04 Q4 640 2,221,339.572015 Q1 665 2,393,288.98 Q2 708 2,637,617.58 Q3 736 2,750,133.27

New Listing Statistics – Debt Securities

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

2014 Q3 61 199,702.38 Q4 75 267,144.562015 Q1 38 186,536.69 Q2 59 307,836.43 Q3 37 141,193.57



Newly Listed Debt Securitiesfor 3rd quarter 2015

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

05536 Bank of China Ltd. 2.125% Notes 2018 USD 1,000,000,000 2015/07/02 2018/06/30 7,781.9805537 Bank of China Ltd. 2.875% Notes 2020 USD 800,000,000 2015/07/02 2020/06/30 6,223.5905538 Bank of China Ltd. 3.875% Notes 2025 USD 500,000,000 2015/07/02 2025/06/30 3,873.7905539 China SCE Property Holdings Ltd. 10.00% Senior Notes 2020 USD 350,000,000 2015/07/03 2020/07/02 2,703.8285718 Unican Ltd. 5.15% Guaranteed CNY Notes 2018 RMB 1,000,000,000 2015/07/03 2018/07/02 1,249.8005540 China Life Insurance Co. Ltd. Core Tier 2 Capital Securities USD 1,280,000,000 2015/07/06 – 9,984.0005970 # Wuzhou International Holdings Ltd. 13.75% Senior Notes 2018 USD 100,000,000 2015/07/07 2018/09/26 780.0005541 China Overseas Land International (Cayman) Ltd. 1.75% Guar. Notes 2019 EUR 600,000,000 2015/07/16 2019/07/15 5,096.7405542 Tencent Holdings Ltd. 4.70% Senior Notes 2035 USD 100,000,000 2015/07/16 2035/07/15 775.0004227 The Govt of the HKSAR of the PRC 2.13% Bonds 2030 HKD 600,000,000 2015/07/17 2030/07/16 589.1405821 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2024 HKD 20,000,000 2015/07/17 2024/09/12 –05543 YONGDA Investment Ltd. 3.75% Guaranteed Bonds 2020 USD 400,000,000 2015/07/22 2020/07/21 3,105.2405544 Boom Up Investments Ltd. 3.25% Credit Enhanced Bonds 2020 USD 300,000,000 2015/07/24 2020/07/23 2,327.3005546 Zhaohai Investment (BVI) Ltd. 3.10% Guaranteed Bonds 2018 USD 300,000,000 2015/07/24 2018/07/23 2,326.2205547 Zhaohai Investment (BVI) Ltd. 4.00% Guaranteed Bonds 2020 USD 500,000,000 2015/07/24 2020/07/23 3,878.0105545 Goldwind New Energy (HK) Investment Ltd. 2.50% Credit Enhanced Bonds 2018 USD 300,000,000 2015/07/27 2018/07/24 2,329.7505855 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2031 HKD 20,000,000 2015/07/28 2031/11/14 –05548 CCBL (Cayman) Corporation Ltd. 3.25% Guaranteed Notes 2020 USD 500,000,000 2015/07/29 2020/07/28 3,834.9105549 Eastern Creation II Investment Holdings Ltd. 1.50% Notes 2019 EUR 600,000,000 2015/07/30 2019/07/29 5,115.5205550 COSL Singapore Capital Ltd. 3.50% Guaranteed Notes 2020 USD 500,000,000 2015/07/31 2020/07/30 3,881.2405551 COSL Singapore Capital Ltd. 4.50% Guaranteed Notes 2025 USD 500,000,000 2015/07/31 2025/07/30 3,876.1305552 MINMETALS BOUNTEOUS FINANCE (BVI) LTD. 3.50% Guaranteed Bonds 2020 USD 500,000,000 2015/07/31 2020/07/30 3,880.5405553 MINMETALS BOUNTEOUS FINANCE (BVI) LTD. 4.75% Guaranteed Bonds 2025 USD 500,000,000 2015/07/31 2025/07/30 3,894.4685719 Rosy Capital Global Ltd. 5.25% Guaranteed CNY Notes 2018 RMB 1,300,000,000 2015/07/31 2018/07/30 1,622.4005554 China Merchants Finance Co. Ltd. 3.50% Guaranteed Notes 2020 USD 200,000,000 2015/08/04 2020/08/03 1,556.8005555 China Merchants Finance Co. Ltd. 4.75% Guaranteed Notes 2025 USD 500,000,000 2015/08/04 2025/08/03 3,890.1785705 # Orient Hongsheng Ltd. 6.50% Guaranteed CNY Bonds 2017 RMB 620,000,000 2015/08/06 2017/11/26 778.6005855 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2031 HKD 30,000,000 2015/08/07 2031/11/14 –04228 The Govt of the HKSAR of the PRC iBonds 2018 HKD 10,000,000,000 2015/08/10 2018/08/07 10,000.0005821 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2024 HKD 10,000,000 2015/08/11 2024/09/12 –05855 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2031 HKD 10,000,000 2015/08/11 2031/11/14 –05556 CAR Inc. 6.00% Senior Notes 2021 USD 300,000,000 2015/08/12 2021/02/11 2,313.1105557 Oceanwide Holdings International 2015 Co., Ltd. 9.625% Guar. Senior N2020 USD 400,000,000 2015/08/12 2020/08/11 3,120.0005558 Shanghai Electric Power Finance Ltd. 3.625% Guar. Bonds 2020 USD 500,000,000 2015/08/12 2020/08/11 3,883.4305559 Greentown China Holdings Ltd. 5.875% Senior Notes 2020 USD 500,000,000 2015/08/12 2020/08/11 548.3605524 # Dawn Victor Ltd. 5.50% Guaranteed Bonds 2018 USD 185,000,000 2015/08/12 2018/06/05 1,446.6185720 HNA Tourism Finance Ltd. 9.25% Guaranteed CNY Notes 2017 RMB 450,000,000 2015/08/13 2017/08/12 552.2004061 Hong Kong Monetary Authority, The 0.46% Exchange Fund Notes Aug 2017 HKD 1,200,000,000 2015/08/20 2017/08/21 1,199.5205831 # Eastern Creation II Investment Holdings Ltd. 2.625% Guar. Notes 2017 USD 225,000,000 2015/08/21 2017/11/20 1,754.2805560 Azure Orbit II International Finance Ltd. 3.125% Guaranteed Notes 2020 USD 385,000,000 2015/08/24 2020/08/21 2,991.7105561 Azure Orbit II International Finance Ltd. Floating Rate Guaranteed Notes 2018 EUR 100,000,000 2015/08/24 2018/08/21 870.78



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

05821 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2024 HKD 10,000,000 2015/09/10 2024/09/12 –05855 # Skyfame Realty (Holdings) Ltd. 0.10% Bonds 2031 HKD 20,000,000 2015/09/10 2031/11/14 –05562 Greenland Global Investment Ltd. 4.30% Notes 2017 USD 300,000,000 2015/09/17 2017/09/16 2,340.0005563 Shanghai Pudong Development Bank Co., Ltd., HK Branch 2.50% Notes 2018 USD 500,000,000 2015/09/18 2018/09/17 3,890.4905564 CSCI Finance (2015) Co. Ltd. 3.125% Credit Enhanced Bonds 2020 USD 200,000,000 2015/09/18 2020/09/17 1,558.6405565 Swire Pacific MTN Financing Ltd. 3.875% Guar. Notes 2025 USD 500,000,000 2015/09/22 2025/09/21 3,895.8305566 Industrial and Commercial Bank of China Ltd. 4.875% Tier 2 Capital Notes 2025 USD 2,000,000,000 2015/09/22 2025/09/21 15,473.48Total 141,193.57

# 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

2014 Q3 350,528.48 17,291.58 78.56 367,898.62 8.18 Q4 516,125.20 24,602.84 100.91 540,828.95 10.882015 Q1 534,465.77 20,224.94 146.89 554,837.60 10.59 Q2 780,241.86 25,576.54 775.90 806,594.30 8.26 Q3 568,942.55 22,063.78 92.32 591,098.64 9.32

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.)

2014 Q3 121 582,204.26 11 191,896.58 1 1,418.33 133 775,519.16 Q4 122 559,491.12 11 205,636.83 1 1,764.52 134 766,892.472015 Q1 126 566,607.94 11 207,324.24 1 2,077.14 138 776,009.32 Q2 130 565,937.82 11 204,798.09 1 2,635.24 142 773,371.15 Q3 131 483,672.20 11 187,754.18 1 1,739.34 143 673,165.72

New Listing Unit Trust and Mutual Funds Statistics

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

2014 Q3 1 487.50 Q4 3 –2015 Q1 5 – Q2 4 – Q3 1 –

Main Board Unit Trusts and Mutual Funds


Newly Listed Unit Trust and Mutual Fundsfor 3rd quarter 2015

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

83156/03156 GFI MSCI China A International ETF GF International Investment n.a. n.a. n.a. n.a. 2015/07/29 Management Limited

Main Board Callable Bull/Bear Contracts


Callable Bull/Bear Contracts Trading Statistics Number Market value Turnover value (HK$ mil.) (HK$ mil.)2014 Q3 1,918 61,358.71 338,575.61 Q4 1,579 55,419.48 336,442.502015 Q1 1,641 51,783.06 379,789.64 Q2 1,905 84,638.00 433,656.16 Q3 1,871 104,265.78 520,050.32

New Listings Callable Bull/Bear Contracts Statistics No. of newly listed CBBC Amount raised (HK$ mil.)2014 Q3 2,307 111,530.32 Q4 2,482 122,022.542015 Q1 2,287 101,545.07 Q2 3,066 133,613.20 Q3 3,799 161,333.51



Newly Listed Callable Bull/Bear Contractsfor 3rd quarter 2015 No. of Amount raisedCode Callable Bull/Bear Contracts issue (units) Listing date Expiry (HK$ mil.)

60106 BNP Paribas Arbit Issu B.V. – CC Bank R Bull CBBC Dec 2015 B 100,000,000 2015/07/02 2015/12/30 25.0060197 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 R 200,000,000 2015/07/02 2016/02/26 50.0060117 BNP Paribas Arbit Issu B.V. – TCH R Bear CBBC Dec 2015 B 50,000,000 2015/07/02 2015/12/30 12.5060075 Credit Suisse AG – HSCEI R Bull CBBC Nov 2015 J 108,000,000 2015/07/02 2015/11/27 27.0060077 Credit Suisse AG – HSCEI R Bull CBBC Nov 2015 K 108,000,000 2015/07/02 2015/11/27 27.0060196 Credit Suisse AG – HSI R Bull CBBC Jan 2016 A 200,000,000 2015/07/02 2016/01/28 50.0060088 Credit Suisse AG – HSI R Bull CBBC Jan 2016 X 200,000,000 2015/07/02 2016/01/28 50.0060093 Credit Suisse AG – HSI R Bull CBBC Jan 2016 Y 200,000,000 2015/07/02 2016/01/28 50.0060074 Credit Suisse AG – HSI R Bear CBBC Nov 2015 Q 200,000,000 2015/07/02 2015/11/27 50.0060080 Credit Suisse AG – HSI R Bear CBBC Nov 2015 S 200,000,000 2015/07/02 2015/11/27 50.0069996 HK Bank – China Mobile R Bull CBBC Jul 2016 A 120,000,000 2015/07/02 2016/07/18 30.0069981 HK Bank – CSOP A50 ETF R Bull CBBC Mar 2016 J 200,000,000 2015/07/02 2016/03/14 50.0069983 HK Bank – A50 R Bull CBBC Mar 2016 I 200,000,000 2015/07/02 2016/03/14 50.0069985 HK Bank – HKEx R Bull CBBC Jul 2016 D 80,000,000 2015/07/02 2016/07/18 20.0060013 HK Bank – HSCEI R Bull CBBC Mar 2016 G 100,000,000 2015/07/02 2016/03/30 25.0069979 HK Bank – HSI R Bull CBBC Jul 2016 D 150,000,000 2015/07/02 2016/07/28 37.5069977 HK Bank – TCH R Bull CBBC Jun 2016 C 100,000,000 2015/07/02 2016/06/27 25.0060189 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 U 200,000,000 2015/07/02 2016/03/30 50.0060192 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 V 200,000,000 2015/07/02 2016/03/30 50.0060194 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 B 200,000,000 2015/07/02 2015/10/29 50.0060195 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 G 200,000,000 2015/07/02 2015/11/27 50.0060047 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 P 100,000,000 2015/07/02 2015/10/29 25.0060069 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 Q 100,000,000 2015/07/02 2015/10/29 25.0060184 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 R 100,000,000 2015/07/02 2015/10/29 25.0060065 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 D 100,000,000 2015/07/02 2015/10/29 25.0060027 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 Q 200,000,000 2015/07/02 2016/02/26 50.0060043 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov15 A 200,000,000 2015/07/02 2015/11/27 50.0060144 UBS AG – HSCEI R Bull CBBC Dec 2015 M 200,000,000 2015/07/02 2015/12/30 50.0060170 UBS AG – HSI R Bull CBBC Jan 2016 Q 200,000,000 2015/07/02 2016/01/28 50.0060168 UBS AG – HSI R Bull CBBC Feb 2016 T 200,000,000 2015/07/02 2016/02/26 50.0060147 UBS AG – HSI R Bull CBBC Mar 2016 C 200,000,000 2015/07/02 2016/03/30 50.0060169 UBS AG – HSI R Bull CBBC Mar 2016 D 200,000,000 2015/07/02 2016/03/30 50.0060125 UBS AG – HSI R Bear CBBC Oct 2015 E 200,000,000 2015/07/02 2015/10/29 50.0060124 UBS AG – HSI R Bear CBBC Oct 2015 W 200,000,000 2015/07/02 2015/10/29 50.0060258 Credit Suisse AG – HSI R Bull CBBC Mar 2016 J 200,000,000 2015/07/03 2016/03/30 50.0060277 Credit Suisse AG – HSI R Bull CBBC Mar 2016 K 200,000,000 2015/07/03 2016/03/30 50.0060300 Credit Suisse AG – HSI R Bull CBBC Mar 2016 L 200,000,000 2015/07/03 2016/03/30 50.0060325 Credit Suisse AG – HSI R Bear CBBC Oct 2015 E 200,000,000 2015/07/03 2015/10/29 50.0060314 Credit Suisse AG – HSI R Bear CBBC Oct 2015 W 200,000,000 2015/07/03 2015/10/29 50.0060216 HK Bank – CNOOC R Bull CBBC Jul 2016 A 60,000,000 2015/07/03 2016/07/25 15.0060209 HK Bank – Sinopec Corp R Bull CBBC Jul 2016 B 80,000,000 2015/07/03 2016/07/25 20.0060235 HK Bank – Lenovo R Bull CBBC Sep 2016 B 60,000,000 2015/07/03 2016/09/12 15.0060213 HK Bank – PetCh R Bull CBBC Jul 2016 A 60,000,000 2015/07/03 2016/07/25 15.00



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

60221 HK Bank – Ping An R Bull CBBC Apr 2016 I 188,000,000 2015/07/03 2016/04/18 47.0060257 HK Bank – Sands China R Bear CBBC Aug 2016 A 60,000,000 2015/07/03 2016/08/22 30.0060243 HK Bank – TCH R Bull CBBC Apr 2016 B 100,000,000 2015/07/03 2016/04/18 25.0060245 HK Bank – TCH R Bull CBBC Apr 2016 C 100,000,000 2015/07/03 2016/04/25 25.0060242 HK Bank – TCH R Bull CBBC Jul 2016 A 100,000,000 2015/07/03 2016/07/11 25.0060397 J P Morgan SP BV – HSCEI R Bear CBBC Dec 2015 I 100,000,000 2015/07/03 2015/12/30 25.0060199 J P Morgan SP BV – HSI R Bull CBBC Feb 2016 Q 200,000,000 2015/07/03 2016/02/26 50.0060355 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 W 200,000,000 2015/07/03 2016/03/30 50.0060380 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 D 200,000,000 2015/07/03 2015/10/29 50.0060383 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 H 200,000,000 2015/07/03 2015/11/27 50.0060302 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 S 100,000,000 2015/07/03 2015/10/29 25.0060313 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 E 100,000,000 2015/07/03 2015/10/29 25.0060207 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 Q 200,000,000 2015/07/03 2016/01/28 50.0060312 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 U 200,000,000 2015/07/03 2016/01/28 50.0060354 UBS AG – HSCEI R Bear CBBC Oct 2015 L 200,000,000 2015/07/03 2015/10/29 50.0060334 UBS AG – HSI R Bull CBBC Jan 2016 X 200,000,000 2015/07/03 2016/01/28 50.0060349 UBS AG – HSI R Bull CBBC Feb 2016 F 200,000,000 2015/07/03 2016/02/26 50.0060331 UBS AG – HSI R Bull CBBC Feb 2016 U 200,000,000 2015/07/03 2016/02/26 50.0060350 UBS AG – HSI R Bear CBBC Nov 2015 Q 200,000,000 2015/07/03 2015/11/27 50.0060352 UBS AG – HSI R Bear CBBC Nov 2015 R 200,000,000 2015/07/03 2015/11/27 50.0060353 UBS AG – HSI R Bear CBBC Nov 2015 S 200,000,000 2015/07/03 2015/11/27 50.0060609 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bear CBBC Oct15A 100,000,000 2015/07/06 2015/10/29 25.0060604 BNP Paribas Arbit Issu B.V. – A50 R Bear CBBC Nov 2015 E 100,000,000 2015/07/06 2015/11/27 25.0060591 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Dec 2015 W 100,000,000 2015/07/06 2015/12/30 25.0060412 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 P 200,000,000 2015/07/06 2016/01/28 50.0060550 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 Q 200,000,000 2015/07/06 2016/01/28 50.0060405 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 S 200,000,000 2015/07/06 2016/02/26 50.0060545 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 T 200,000,000 2015/07/06 2016/02/26 50.0060553 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 I 200,000,000 2015/07/06 2015/10/29 50.0060587 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 J 200,000,000 2015/07/06 2015/10/29 50.0060585 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 F 200,000,000 2015/07/06 2015/11/27 50.0061003 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 G 200,000,000 2015/07/06 2015/11/27 50.0060951 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jan 2016 E 100,000,000 2015/07/06 2016/01/28 25.0060957 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Nov 2015 E 100,000,000 2015/07/06 2015/11/27 25.0060958 Credit Suisse AG – A50 China R Bull CBBC Jan 2016 E 100,000,000 2015/07/06 2016/01/28 25.0060998 Credit Suisse AG – A50 China R Bear CBBC Nov 2015 E 100,000,000 2015/07/06 2015/11/27 25.0060431 Credit Suisse AG – HSI R Bull CBBC Mar 2016 M 200,000,000 2015/07/06 2016/03/30 50.0060436 Credit Suisse AG – HSI R Bull CBBC Mar 2016 N 200,000,000 2015/07/06 2016/03/30 50.0060451 Credit Suisse AG – HSI R Bull CBBC Mar 2016 O 200,000,000 2015/07/06 2016/03/30 50.0060615 Credit Suisse AG – HSI R Bull CBBC Mar 2016 P 200,000,000 2015/07/06 2016/03/30 50.0060636 Credit Suisse AG – HSI R Bull CBBC Mar 2016 Q 200,000,000 2015/07/06 2016/03/30 50.0060637 Credit Suisse AG – HSI R Bear CBBC Oct 2015 D 200,000,000 2015/07/06 2015/10/29 50.0060950 Credit Suisse AG – HSI R Bear CBBC Oct 2015 H 200,000,000 2015/07/06 2015/10/29 50.0060639 Credit Suisse AG – HSI R Bear CBBC Oct 2015 J 200,000,000 2015/07/06 2015/10/29 50.0060644 Credit Suisse AG – HSI R Bear CBBC Oct 2015 X 200,000,000 2015/07/06 2015/10/29 50.00




61007 Bank of East Asia – CSOP A50 ETF R Bull CBBC Mar 2016 B 60,000,000 2015/07/06 2016/03/16 15.0061009 Bank of East Asia – A50 China R Bull CBBC Apr 2016 B 60,000,000 2015/07/06 2016/04/21 15.0061015 Bank of East Asia – Haitong Sec R Bull CBBC May 2016 A 30,000,000 2015/07/06 2016/05/26 18.0061013 Bank of East Asia – Lenovo R Bull CBBC Sep 2016 A 40,000,000 2015/07/06 2016/09/22 10.0060404 HK Bank – China Mobile R Bull CBBC Oct 2016 A 120,000,000 2015/07/06 2016/10/24 30.0060401 HK Bank – CC Bank R Bull CBBC Sep 2016 E 100,000,000 2015/07/06 2016/09/26 25.0060399 HK Bank – CITIC Sec R Bull CBBC Jul 2016 A 60,000,000 2015/07/06 2016/07/25 27.0060846 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Mar 2016 B 100,000,000 2015/07/06 2016/03/02 25.0060859 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Apr 2016 A 100,000,000 2015/07/06 2016/04/01 25.0060868 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC May 2016 A 100,000,000 2015/07/06 2016/05/04 27.0060899 J P Morgan SP BV – A50 China R Bull CBBC May 2016 A 100,000,000 2015/07/06 2016/05/04 25.0060536 J P Morgan SP BV – HSCEI R Bull CBBC Dec 2015 G 100,000,000 2015/07/06 2015/12/30 25.0060718 J P Morgan SP BV – HSCEI R Bear CBBC Feb 2016 C 100,000,000 2015/07/06 2016/02/26 25.0060428 J P Morgan SP BV – HSI R Bull CBBC Jan 2016 N 200,000,000 2015/07/06 2016/01/28 50.0060532 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 X 200,000,000 2015/07/06 2016/03/30 50.0060737 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 Y 200,000,000 2015/07/06 2016/03/30 50.0060738 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 U 200,000,000 2015/07/06 2015/10/29 50.0060745 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 V 200,000,000 2015/07/06 2015/10/29 50.0060760 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 I 200,000,000 2015/07/06 2015/11/27 50.0060928 J P Morgan SP BV – Ping An R Bull CBBC Mar 2016 C 100,000,000 2015/07/06 2016/03/02 25.0060942 J P Morgan SP BV – Ping An R Bull CBBC May 2016 A 100,000,000 2015/07/06 2016/05/04 25.0060943 J P Morgan SP BV – Tencent R Bull CBBC Jul 2016 A 100,000,000 2015/07/06 2016/07/04 25.0060506 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 T 100,000,000 2015/07/06 2015/10/29 25.0060513 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 U 100,000,000 2015/07/06 2015/10/29 25.0060515 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 V 100,000,000 2015/07/06 2015/10/29 25.0060452 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 F 100,000,000 2015/07/06 2015/10/29 25.0060478 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 G 100,000,000 2015/07/06 2015/10/29 25.0060525 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 H 100,000,000 2015/07/06 2015/10/29 25.0060772 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jan16C 100,000,000 2015/07/06 2016/01/28 25.0060802 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Jan16D 100,000,000 2015/07/06 2016/01/28 30.0060809 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jan16B 100,000,000 2015/07/06 2016/01/28 25.0060810 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Jan16C 100,000,000 2015/07/06 2016/01/28 30.0060424 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan 16V 200,000,000 2015/07/06 2016/01/28 50.0060481 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan 16W 200,000,000 2015/07/06 2016/01/28 50.0060812 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15T 200,000,000 2015/07/06 2015/12/30 50.0060679 UBS AG – HSCEI R Bull CBBC Jan 2016 I 200,000,000 2015/07/06 2016/01/28 50.0060844 UBS AG – HSCEI R Bear CBBC Oct 2015 M 200,000,000 2015/07/06 2015/10/29 50.0060645 UBS AG – HSI R Bull CBBC Feb 2016 M 200,000,000 2015/07/06 2016/02/26 50.0060655 UBS AG – HSI R Bull CBBC Feb 2016 R 200,000,000 2015/07/06 2016/02/26 50.0060656 UBS AG – HSI R Bull CBBC Feb 2016 V 200,000,000 2015/07/06 2016/02/26 50.0060713 UBS AG – HSI R Bull CBBC Feb 2016 W 200,000,000 2015/07/06 2016/02/26 50.0060706 UBS AG – HSI R Bull CBBC Mar 2016 E 200,000,000 2015/07/06 2016/03/30 50.0060827 UBS AG – HSI R Bear CBBC Oct 2015 F 200,000,000 2015/07/06 2015/10/29 50.0060840 UBS AG – HSI R Bear CBBC Oct 2015 V 200,000,000 2015/07/06 2015/10/29 50.0060834 UBS AG – HSI R Bear CBBC Oct 2015 X 200,000,000 2015/07/06 2015/10/29 50.00




60841 UBS AG – HSI R Bear CBBC Nov 2015 T 200,000,000 2015/07/06 2015/11/27 50.0060842 UBS AG – HSI R Bear CBBC Nov 2015 U 200,000,000 2015/07/06 2015/11/27 50.0061386 BNP Paribas Arbit Issu B.V. – CC Bank R Bull CBBC Dec 2015 C 100,000,000 2015/07/07 2015/12/30 25.0061394 BNP Paribas Arbit Issu B.V. – CC Bank R Bear CBBC Dec 2015 B 100,000,000 2015/07/07 2015/12/30 25.0061347 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15Q 150,000,000 2015/07/07 2015/12/30 37.5061349 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bear CBBC Oct15B 100,000,000 2015/07/07 2015/10/29 25.0061366 BNP Paribas Arbit Issu B.V. – HKEx R Bull CBBC Dec 2015 E 40,000,000 2015/07/07 2015/12/30 10.0061355 BNP Paribas Arbit Issu B.V. – HS H-SH ETF R Bull CBBC Jan16B 60,000,000 2015/07/07 2016/01/28 15.0061333 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 E 100,000,000 2015/07/07 2015/11/27 25.0061340 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 F 100,000,000 2015/07/07 2015/11/27 25.0061343 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Dec 2015 X 100,000,000 2015/07/07 2015/12/30 25.0061078 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 A 250,000,000 2015/07/07 2016/01/28 62.5061320 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 B 250,000,000 2015/07/07 2016/01/28 62.5061321 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 L 250,000,000 2015/07/07 2016/01/28 62.5061077 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 V 250,000,000 2015/07/07 2016/01/28 62.5061332 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 A 200,000,000 2015/07/07 2015/10/29 50.0061326 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 K 200,000,000 2015/07/07 2015/10/29 50.0061329 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 L 200,000,000 2015/07/07 2015/10/29 50.0061330 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 M 200,000,000 2015/07/07 2015/10/29 50.0061382 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Dec 2015 E 68,000,000 2015/07/07 2015/12/30 17.0061383 BNP Paribas Arbit Issu B.V. – Ping An R Bear CBBC Dec 2015 B 68,000,000 2015/07/07 2015/12/30 17.0061381 BNP Paribas Arbit Issu B.V. – TCH R Bull CBBC Dec 2015 D 50,000,000 2015/07/07 2015/12/30 14.0061211 Credit Suisse AG – China Mobile R Bull CBBC Jan 2016 A 50,000,000 2015/07/07 2016/01/28 12.5061231 Credit Suisse AG – China Life R Bull CBBC Mar 2016 A 50,000,000 2015/07/07 2016/03/30 12.5061208 Credit Suisse AG – HS H-SH ETF R Bull CBBC Jan 2016 C 50,000,000 2015/07/07 2016/01/28 12.5061156 Credit Suisse AG – HSCEI R Bull CBBC Dec 2015 N 128,000,000 2015/07/07 2015/12/30 32.0061157 Credit Suisse AG – HSCEI R Bear CBBC Oct 2015 I 128,000,000 2015/07/07 2015/10/29 32.0061160 Credit Suisse AG – HSCEI R Bear CBBC Nov 2015 C 128,000,000 2015/07/07 2015/11/27 32.0061072 Credit Suisse AG – HSI R Bull CBBC Feb 2016 A 200,000,000 2015/07/07 2016/02/26 50.0061073 Credit Suisse AG – HSI R Bull CBBC Feb 2016 B 200,000,000 2015/07/07 2016/02/26 50.0061066 Credit Suisse AG – HSI R Bull CBBC Feb 2016 C 200,000,000 2015/07/07 2016/02/26 50.0061074 Credit Suisse AG – HSI R Bull CBBC Feb 2016 D 200,000,000 2015/07/07 2016/02/26 50.0061411 Credit Suisse AG – HSI R Bull CBBC Feb 2016 E 200,000,000 2015/07/07 2016/02/26 50.0061419 Credit Suisse AG – HSI R Bull CBBC Feb 2016 F 200,000,000 2015/07/07 2016/02/26 50.0061426 Credit Suisse AG – HSI R Bull CBBC Feb 2016 G 200,000,000 2015/07/07 2016/02/26 50.0061060 Credit Suisse AG – HSI R Bull CBBC Feb 2016 Z 200,000,000 2015/07/07 2016/02/26 50.0061405 Credit Suisse AG – HSI R Bear CBBC Oct 2015 V 200,000,000 2015/07/07 2015/10/29 50.0061429 Credit Suisse AG – HSI R Bear CBBC Nov 2015 P 200,000,000 2015/07/07 2015/11/27 50.0061432 Credit Suisse AG – HSI R Bear CBBC Nov 2015 R 200,000,000 2015/07/07 2015/11/27 50.0061427 Credit Suisse AG – HSI R Bear CBBC Nov 2015 T 200,000,000 2015/07/07 2015/11/27 50.0061428 Credit Suisse AG – HSI R Bear CBBC Dec 2015 R 200,000,000 2015/07/07 2015/12/30 50.0061431 Credit Suisse AG – HSI R Bear CBBC Dec 2015 S 200,000,000 2015/07/07 2015/12/30 50.0061442 Credit Suisse AG – HSI R Bear CBBC Dec 2015 T 200,000,000 2015/07/07 2015/12/30 50.0061234 Credit Suisse AG – Ping An R Bull CBBC Jan 2016 C 50,000,000 2015/07/07 2016/01/28 12.5061229 Credit Suisse AG – TCH R Bull CBBC Jan 2016 A 50,000,000 2015/07/07 2016/01/28 12.50




61016 J P Morgan SP BV – HSI R Bull CBBC Jan 2016 O 200,000,000 2015/07/07 2016/01/28 50.0061022 J P Morgan SP BV – HSI R Bull CBBC Feb 2016 J 200,000,000 2015/07/07 2016/02/26 50.0061097 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 Z 200,000,000 2015/07/07 2016/03/30 50.0061088 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 W 100,000,000 2015/07/07 2015/10/29 25.0061089 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 X 100,000,000 2015/07/07 2015/10/29 25.0061293 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 Y 100,000,000 2015/07/07 2015/10/29 25.0061318 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 Z 100,000,000 2015/07/07 2015/10/29 25.0061079 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 I 100,000,000 2015/07/07 2015/10/29 25.0061081 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 J 100,000,000 2015/07/07 2015/10/29 25.0061319 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 K 100,000,000 2015/07/07 2015/10/29 25.0061253 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 P 200,000,000 2015/07/07 2016/01/28 50.0061264 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 R 200,000,000 2015/07/07 2016/01/28 50.0061025 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 X 200,000,000 2015/07/07 2016/01/28 50.0061024 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 R 200,000,000 2015/07/07 2016/02/26 50.0061042 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 S 200,000,000 2015/07/07 2016/02/26 50.0061059 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 T 200,000,000 2015/07/07 2016/02/26 50.0061241 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 U 200,000,000 2015/07/07 2016/02/26 50.0061248 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 V 200,000,000 2015/07/07 2016/02/26 50.0061256 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 W 200,000,000 2015/07/07 2016/02/26 50.0061267 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 X 200,000,000 2015/07/07 2016/02/26 50.0061287 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov15 D 200,000,000 2015/07/07 2015/11/27 50.0061274 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec15 U 200,000,000 2015/07/07 2015/12/30 50.0061288 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec15 V 200,000,000 2015/07/07 2015/12/30 50.0061473 UBS AG – HSCEI R Bull CBBC Jan 2016 J 200,000,000 2015/07/07 2016/01/28 50.0061467 UBS AG – HSCEI R Bull CBBC Feb 2016 G 200,000,000 2015/07/07 2016/02/26 50.0061505 UBS AG – HSCEI R Bull CBBC Feb 2016 H 200,000,000 2015/07/07 2016/02/26 50.0061502 UBS AG – HSCEI R Bull CBBC Mar 2016 C 200,000,000 2015/07/07 2016/03/30 50.0061591 UBS AG – HSCEI R Bear CBBC Oct 2015 N 200,000,000 2015/07/07 2015/10/29 50.0061565 UBS AG – HSCEI R Bear CBBC Nov 2015 I 200,000,000 2015/07/07 2015/11/27 50.0061566 UBS AG – HSCEI R Bear CBBC Nov 2015 J 200,000,000 2015/07/07 2015/11/27 50.0061497 UBS AG – HSI R Bull CBBC Feb 2016 A 200,000,000 2015/07/07 2016/02/26 50.0061615 UBS AG – HSI R Bull CBBC Feb 2016 D 200,000,000 2015/07/07 2016/02/26 50.0061461 UBS AG – HSI R Bull CBBC Feb 2016 X 200,000,000 2015/07/07 2016/02/26 50.0061459 UBS AG – HSI R Bull CBBC Mar 2016 F 200,000,000 2015/07/07 2016/03/30 50.0061482 UBS AG – HSI R Bull CBBC Mar 2016 G 200,000,000 2015/07/07 2016/03/30 50.0061500 UBS AG – HSI R Bull CBBC Mar 2016 H 200,000,000 2015/07/07 2016/03/30 50.0061594 UBS AG – HSI R Bull CBBC Mar 2016 I 200,000,000 2015/07/07 2016/03/30 50.0061519 UBS AG – HSI R Bear CBBC Oct 2015 J 200,000,000 2015/07/07 2015/10/29 50.0061525 UBS AG – HSI R Bear CBBC Oct 2015 N 200,000,000 2015/07/07 2015/10/29 50.0061551 UBS AG – HSI R Bear CBBC Oct 2015 Q 200,000,000 2015/07/07 2015/10/29 50.0061522 UBS AG – HSI R Bear CBBC Nov 2015 V 200,000,000 2015/07/07 2015/11/27 50.0061541 UBS AG – HSI R Bear CBBC Nov 2015 W 200,000,000 2015/07/07 2015/11/27 50.0061544 UBS AG – HSI R Bear CBBC Nov 2015 X 200,000,000 2015/07/07 2015/11/27 50.0061548 UBS AG – HSI R Bear CBBC Nov 2015 Y 200,000,000 2015/07/07 2015/11/27 50.0061556 UBS AG – HSI R Bear CBBC Nov 2015 Z 200,000,000 2015/07/07 2015/11/27 50.00




61761 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15R 150,000,000 2015/07/08 2015/12/30 37.5061762 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15S 150,000,000 2015/07/08 2015/12/30 37.5061768 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 M 150,000,000 2015/07/08 2015/12/30 37.5061773 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 N 150,000,000 2015/07/08 2015/12/30 37.5061758 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 G 100,000,000 2015/07/08 2015/11/27 25.0061759 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2015 X 100,000,000 2015/07/08 2015/12/30 25.0061725 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Nov 2015 D 100,000,000 2015/07/08 2015/11/27 25.0061723 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 U 250,000,000 2015/07/08 2016/02/26 62.5061739 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 V 250,000,000 2015/07/08 2016/02/26 62.5061740 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 W 250,000,000 2015/07/08 2016/02/26 62.5061724 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 H 200,000,000 2015/07/08 2015/11/27 50.0061783 Credit Suisse AG – HSI R Bull CBBC Jan 2016 B 200,000,000 2015/07/08 2016/01/28 50.0061785 Credit Suisse AG – HSI R Bull CBBC Jan 2016 C 200,000,000 2015/07/08 2016/01/28 50.0061790 Credit Suisse AG – HSI R Bull CBBC Jan 2016 D 200,000,000 2015/07/08 2016/01/28 50.0061793 Credit Suisse AG – HSI R Bull CBBC Jan 2016 G 200,000,000 2015/07/08 2016/01/28 50.0061697 Credit Suisse AG – HSI R Bear CBBC Nov 2015 U 200,000,000 2015/07/08 2015/11/27 50.0061700 Credit Suisse AG – HSI R Bear CBBC Nov 2015 V 200,000,000 2015/07/08 2015/11/27 50.0061703 Credit Suisse AG – HSI R Bear CBBC Nov 2015 Z 200,000,000 2015/07/08 2015/11/27 50.0061695 Credit Suisse AG – HSI R Bear CBBC Dec 2015 U 200,000,000 2015/07/08 2015/12/30 50.0061699 Credit Suisse AG – HSI R Bear CBBC Dec 2015 V 200,000,000 2015/07/08 2015/12/30 50.0061701 Credit Suisse AG – HSI R Bear CBBC Dec 2015 W 200,000,000 2015/07/08 2015/12/30 50.0061781 Bank of East Asia – CC Bank R Bull CBBC May 2016 C 60,000,000 2015/07/08 2016/05/26 15.0061782 Bank of East Asia – CSOP A50 ETF R Bull CBBC May 2016 A 60,000,000 2015/07/08 2016/05/12 15.0061778 Bank of East Asia – HKEx R Bull CBBC Apr 2016 B 40,000,000 2015/07/08 2016/04/19 13.2061779 Bank of East Asia – HS H-SH ETF R Bull CBBC May 2016 B 40,000,000 2015/07/08 2016/05/24 10.0061780 Bank of East Asia – Ping An R Bull CBBC May 2016 C 40,000,000 2015/07/08 2016/05/27 10.0061667 HK Bank – CC Bank R Bear CBBC Sep 2016 A 40,000,000 2015/07/08 2016/09/05 10.0061672 HK Bank – China Life R Bear CBBC Apr 2016 A 50,000,000 2015/07/08 2016/04/25 25.5061665 HK Bank – A50 R Bull CBBC Apr 2016 F 200,000,000 2015/07/08 2016/04/25 60.0061662 HK Bank – A50 R Bull CBBC May 2016 C 200,000,000 2015/07/08 2016/05/30 50.0061677 HK Bank – HKEx R Bull CBBC Jan 2016 I 80,000,000 2015/07/08 2016/01/25 20.0061678 HK Bank – HKEx R Bull CBBC Jun 2016 J 80,000,000 2015/07/08 2016/06/20 25.6061675 HK Bank – HKEx R Bear CBBC Jul 2016 C 50,000,000 2015/07/08 2016/07/11 12.5061655 HK Bank – HSCEI R Bull CBBC Mar 2016 H 100,000,000 2015/07/08 2016/03/30 25.0061673 HK Bank – HSCEI R Bull CBBC Mar 2016 I 100,000,000 2015/07/08 2016/03/30 25.0061652 HK Bank – HSCEI R Bull CBBC Apr 2016 E 100,000,000 2015/07/08 2016/04/28 25.0061629 HK Bank – HSCEI R Bear CBBC Mar 2016 J 68,000,000 2015/07/08 2016/03/30 17.0061642 HK Bank – HSCEI R Bear CBBC Apr 2016 I 68,000,000 2015/07/08 2016/04/28 17.0061616 HK Bank – HSI R Bull CBBC Jan 2016 N 150,000,000 2015/07/08 2016/01/28 37.5061661 HK Bank – HSI R Bull CBBC Jul 2016 E 400,000,000 2015/07/08 2016/07/28 100.0061658 HK Bank – HSI R Bull CBBC Aug 2016 A 400,000,000 2015/07/08 2016/08/30 100.0061625 HK Bank – HSI R Bear CBBC Jan 2016 F 150,000,000 2015/07/08 2016/01/28 37.5061617 HK Bank – HSI R Bear CBBC Mar 2016 U 100,000,000 2015/07/08 2016/03/30 25.0061624 HK Bank – HSI R Bear CBBC Mar 2016 V 100,000,000 2015/07/08 2016/03/30 25.0061777 Macquarie Bank Ltd. – HSI R Bull CBBC Oct 2015 A 40,000,000 2015/07/08 2015/10/29 10.04




61774 Macquarie Bank Ltd. – HSI R Bear CBBC Oct 2015 A 40,000,000 2015/07/08 2015/10/29 10.0061733 Standard Chartered Bank – Galaxy Ent R Bull CBBC Mar 2016 A 50,000,000 2015/07/08 2016/03/02 27.5061729 Standard Chartered Bank – HKEx R Bull CBBC Mar 2016 A 50,000,000 2015/07/08 2016/03/24 12.5061731 Standard Chartered Bank – HKEx R Bear CBBC Feb 2016 B 50,000,000 2015/07/08 2016/02/11 12.5061735 Standard Chartered Bank – HSCEI R Bull CBBC Oct 2015 J 100,000,000 2015/07/08 2015/10/29 25.0061736 Standard Chartered Bank – HSCEI R Bear CBBC Oct 2015 F 100,000,000 2015/07/08 2015/10/29 25.0061737 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 L 100,000,000 2015/07/08 2015/10/29 25.0061679 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jan16G 200,000,000 2015/07/08 2016/01/28 50.0061680 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16I 200,000,000 2015/07/08 2016/02/26 50.0061681 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16J 200,000,000 2015/07/08 2016/02/26 50.0061683 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Dec15H 200,000,000 2015/07/08 2015/12/30 50.0061688 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Dec15I 200,000,000 2015/07/08 2015/12/30 50.0061691 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Dec15J 200,000,000 2015/07/08 2015/12/30 50.0061682 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16C 200,000,000 2015/07/08 2016/01/28 50.0061684 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16D 200,000,000 2015/07/08 2016/01/28 50.0061690 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16E 200,000,000 2015/07/08 2016/01/28 50.0061722 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov15 B 200,000,000 2015/07/08 2015/11/27 50.0061721 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov15 Y 200,000,000 2015/07/08 2015/11/27 50.0061838 UBS AG – HSI R Bull CBBC Dec 2015 X 200,000,000 2015/07/08 2015/12/30 50.0061841 UBS AG – HSI R Bull CBBC Dec 2015 Y 200,000,000 2015/07/08 2015/12/30 50.0061836 UBS AG – HSI R Bull CBBC Jan 2016 Y 200,000,000 2015/07/08 2016/01/28 50.0061837 UBS AG – HSI R Bull CBBC Jan 2016 Z 200,000,000 2015/07/08 2016/01/28 50.0061842 UBS AG – HSI R Bull CBBC Feb 2016 Y 200,000,000 2015/07/08 2016/02/26 50.0061813 UBS AG – HSI R Bear CBBC Oct 2015 R 200,000,000 2015/07/08 2015/10/29 50.0061796 UBS AG – HSI R Bear CBBC Nov 2015 A 200,000,000 2015/07/08 2015/11/27 50.0061833 UBS AG – HSI R Bear CBBC Nov 2015 G 200,000,000 2015/07/08 2015/11/27 50.0061811 UBS AG – HSI R Bear CBBC Dec 2015 A 200,000,000 2015/07/08 2015/12/30 50.0061812 UBS AG – HSI R Bear CBBC Dec 2015 B 200,000,000 2015/07/08 2015/12/30 50.0061821 UBS AG – HSI R Bear CBBC Dec 2015 C 200,000,000 2015/07/08 2015/12/30 50.0061902 Credit Suisse AG – HKEx R Bull CBBC Dec 2015 G 100,000,000 2015/07/09 2015/12/30 25.0061904 Credit Suisse AG – HKEx R Bull CBBC Dec 2015 H 100,000,000 2015/07/09 2015/12/30 38.0061903 Credit Suisse AG – HKEx R Bear CBBC Nov 2015 D 100,000,000 2015/07/09 2015/11/27 32.0061892 Credit Suisse AG – HSCEI R Bull CBBC Nov 2015 L 108,000,000 2015/07/09 2015/11/27 27.0061899 Credit Suisse AG – HSCEI R Bull CBBC Nov 2015 M 108,000,000 2015/07/09 2015/11/27 27.0061910 Credit Suisse AG – HSI R Bull CBBC Jan 2016 F 200,000,000 2015/07/09 2016/01/28 50.0061913 Credit Suisse AG – HSI R Bull CBBC Jan 2016 H 200,000,000 2015/07/09 2016/01/28 50.0061914 Credit Suisse AG – HSI R Bull CBBC Jan 2016 I 200,000,000 2015/07/09 2016/01/28 50.0061920 Credit Suisse AG – HSI R Bull CBBC Jan 2016 J 200,000,000 2015/07/09 2016/01/28 50.0061880 Credit Suisse AG – HSI R Bear CBBC Nov 2015 A 200,000,000 2015/07/09 2015/11/27 50.0061881 Credit Suisse AG – HSI R Bear CBBC Nov 2015 B 200,000,000 2015/07/09 2015/11/27 50.0061992 Bank of East Asia – Galaxy Ent R Bull CBBC Feb 2016 A 120,000,000 2015/07/09 2016/02/29 30.0061990 Bank of East Asia – HKEx R Bull CBBC May 2016 A 40,000,000 2015/07/09 2016/05/06 10.0061991 Bank of East Asia – HKEx R Bear CBBC May 2016 A 40,000,000 2015/07/09 2016/05/09 10.0061993 Bank of East Asia – Sands China R Bull CBBC Jun 2016 A 120,000,000 2015/07/09 2016/06/03 30.0061999 Bank of East Asia – Sands China R Bull CBBC Aug 2016 A 120,000,000 2015/07/09 2016/08/09 30.00




61847 HK Bank – CSOP A50 ETF R Bull CBBC Mar 2016 K 200,000,000 2015/07/09 2016/03/07 50.0061849 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2016 E 200,000,000 2015/07/09 2016/04/11 50.0061856 HK Bank – CSOP A50 ETF R Bull CBBC May 2016 C 200,000,000 2015/07/09 2016/05/06 50.0061858 HK Bank – A50 R Bull CBBC Apr 2016 G 200,000,000 2015/07/09 2016/04/11 50.0061857 HK Bank – A50 R Bull CBBC May 2016 D 200,000,000 2015/07/09 2016/05/09 50.0061862 HK Bank – HKEx R Bull CBBC Jul 2016 E 80,000,000 2015/07/09 2016/07/04 20.0061848 HK Bank – HSCEI R Bull CBBC Jul 2016 B 100,000,000 2015/07/09 2016/07/28 25.0061867 HK Bank – HSI R Bull CBBC Apr 2016 O 150,000,000 2015/07/09 2016/04/28 37.5061866 HK Bank – HSI R Bear CBBC May 2016 K 100,000,000 2015/07/09 2016/05/30 25.0061878 HK Bank – HSI R Bear CBBC Jun 2016 E 100,000,000 2015/07/09 2016/06/29 25.0061853 HK Bank – HSI R Bear CBBC Jul 2016 A 100,000,000 2015/07/09 2016/07/28 25.0061879 HK Bank – HSI R Bear CBBC Aug 2016 A 400,000,000 2015/07/09 2016/08/30 100.0061860 HK Bank – Ping An R Bull CBBC Feb 2016 I 188,000,000 2015/07/09 2016/02/29 47.0061846 HK Bank – Ping An R Bull CBBC Apr 2016 J 188,000,000 2015/07/09 2016/04/13 47.0061985 J P Morgan SP BV – China Life R Bull CBBC Mar 2016 B 100,000,000 2015/07/09 2016/03/30 27.0061979 J P Morgan SP BV – A50 China R Bull CBBC Jan 2016 D 100,000,000 2015/07/09 2016/01/28 25.0061981 J P Morgan SP BV – HKEx R Bull CBBC Jan 2016 A 100,000,000 2015/07/09 2016/01/28 25.0061984 J P Morgan SP BV – HKEx R Bull CBBC Feb 2016 A 100,000,000 2015/07/09 2016/02/26 25.0061972 J P Morgan SP BV – HSCEI R Bull CBBC Mar 2016 G 100,000,000 2015/07/09 2016/03/30 25.0061978 J P Morgan SP BV – HSCEI R Bear CBBC Jan 2016 F 100,000,000 2015/07/09 2016/01/28 25.0061974 J P Morgan SP BV – HSCEI R Bear CBBC Mar 2016 A 100,000,000 2015/07/09 2016/03/30 25.0061958 J P Morgan SP BV – HSI R Bull CBBC Dec 2015 Z 200,000,000 2015/07/09 2015/12/30 50.0061961 J P Morgan SP BV – HSI R Bull CBBC Jan 2016 P 200,000,000 2015/07/09 2016/01/28 50.0061962 J P Morgan SP BV – HSI R Bull CBBC Feb 2016 I 200,000,000 2015/07/09 2016/02/26 50.0061963 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 F 200,000,000 2015/07/09 2016/03/30 50.0061946 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 A 200,000,000 2015/07/09 2015/10/29 50.0061947 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 W 200,000,000 2015/07/09 2015/10/29 50.0061948 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 K 200,000,000 2015/07/09 2015/11/27 50.0061887 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 B 100,000,000 2015/07/09 2015/10/29 25.0061890 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 M 100,000,000 2015/07/09 2015/10/29 25.0061908 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 Y 200,000,000 2015/07/09 2016/01/28 50.0061909 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov15 Z 200,000,000 2015/07/09 2015/11/27 50.0061942 UBS AG – HKEx R Bull CBBC Aug 2016 A 50,000,000 2015/07/09 2016/08/15 20.2561938 UBS AG – HSI R Bull CBBC Jan 2016 A 200,000,000 2015/07/09 2016/01/28 50.0061941 UBS AG – HSI R Bull CBBC Jan 2016 B 200,000,000 2015/07/09 2016/01/28 50.0061937 UBS AG – HSI R Bull CBBC Feb 2016 C 200,000,000 2015/07/09 2016/02/26 50.0061935 UBS AG – HSI R Bull CBBC Feb 2016 Z 200,000,000 2015/07/09 2016/02/26 50.0061936 UBS AG – HSI R Bull CBBC Mar 2016 J 200,000,000 2015/07/09 2016/03/30 50.0061929 UBS AG – HSI R Bear CBBC Oct 2015 T 200,000,000 2015/07/09 2015/10/29 50.0061933 UBS AG – HSI R Bear CBBC Nov 2015 E 200,000,000 2015/07/09 2015/11/27 50.0061932 UBS AG – HSI R Bear CBBC Nov 2015 I 200,000,000 2015/07/09 2015/11/27 50.0061934 UBS AG – HSI R Bear CBBC Dec 2015 D 200,000,000 2015/07/09 2015/12/30 50.0062162 BNP Paribas Arbit Issu B.V. – Ch Mob R Bear CBBC Dec 2015 B 75,000,000 2015/07/10 2015/12/31 18.7562136 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15T 150,000,000 2015/07/10 2015/12/31 46.5062139 BNP Paribas Arbit Issu B.V. – A50 R Bear CBBC Nov 2015 F 100,000,000 2015/07/10 2015/11/30 25.00




62143 BNP Paribas Arbit Issu B.V. – HKEx R Bull CBBC Dec 2015 F 40,000,000 2015/07/10 2015/12/31 13.6062142 BNP Paribas Arbit Issu B.V. – HS H-SH ETF R Bull CBBC Jan16C 60,000,000 2015/07/10 2016/01/29 15.0062134 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 I 200,000,000 2015/07/10 2015/11/27 50.0062161 BNP Paribas Arbit Issu B.V. – TCH R Bear CBBC Dec 2015 C 50,000,000 2015/07/10 2015/12/31 19.0062065 Credit Suisse AG – BOCL R Bull CBBC Feb 2016 A 60,000,000 2015/07/10 2016/02/25 15.0062063 Credit Suisse AG – CCB R Bull CBBC Feb 2016 A 60,000,000 2015/07/10 2016/02/25 15.0062039 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2016 A 100,000,000 2015/07/10 2016/02/25 32.0062041 Credit Suisse AG – A50 China R Bull CBBC Feb 2016 A 100,000,000 2015/07/10 2016/02/25 25.0062042 Credit Suisse AG – A50 China R Bull CBBC Feb 2016 B 100,000,000 2015/07/10 2016/02/25 31.0062050 Credit Suisse AG – A50 China R Bull CBBC Feb 2016 C 100,000,000 2015/07/10 2016/02/25 38.0062054 Credit Suisse AG – HKEx R Bull CBBC Feb 2016 A 100,000,000 2015/07/10 2016/02/25 45.0062059 Credit Suisse AG – HKEx R Bull CBBC Feb 2016 B 100,000,000 2015/07/10 2016/02/25 25.0062101 Credit Suisse AG – HKEx R Bull CBBC Mar 2016 A 100,000,000 2015/07/10 2016/03/31 47.0062102 Credit Suisse AG – HKEx R Bull CBBC Mar 2016 B 100,000,000 2015/07/10 2016/03/31 65.0062036 Credit Suisse AG – HS H-SH ETF R Bull CBBC Feb 2016 A 60,000,000 2015/07/10 2016/02/25 15.0062071 Credit Suisse AG – HSI R Bull CBBC Feb 2016 H 200,000,000 2015/07/10 2016/02/26 50.0062072 Credit Suisse AG – HSI R Bull CBBC Feb 2016 I 200,000,000 2015/07/10 2016/02/26 50.0062073 Credit Suisse AG – HSI R Bull CBBC Feb 2016 J 200,000,000 2015/07/10 2016/02/26 50.0062110 Credit Suisse AG – HSI R Bear CBBC Nov 2015 C 200,000,000 2015/07/10 2015/11/27 50.0062103 Credit Suisse AG – HSI R Bear CBBC Dec 2015 X 200,000,000 2015/07/10 2015/12/30 50.0062111 Credit Suisse AG – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/07/10 2015/12/30 50.0062112 Credit Suisse AG – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/07/10 2016/01/28 50.0062064 Credit Suisse AG – ICBC R Bull CBBC Feb 2016 A 60,000,000 2015/07/10 2016/02/25 15.0062028 HK Bank – CSOP A50 ETF R Bear CBBC Jul 2016 B 40,000,000 2015/07/10 2016/07/25 10.0062004 HK Bank – A50 R Bear CBBC Jul 2016 A 50,000,000 2015/07/10 2016/07/25 12.5062002 HK Bank – Galaxy Ent R Bull CBBC Jun 2016 A 50,000,000 2015/07/10 2016/06/27 26.0062027 HK Bank – HKEx R Bear CBBC Jun 2016 B 50,000,000 2015/07/10 2016/06/30 12.5062029 HK Bank – HSI R Bull CBBC Sep 2016 A 400,000,000 2015/07/10 2016/09/29 100.0062030 HK Bank – HSI R Bull CBBC Sep 2016 B 150,000,000 2015/07/10 2016/09/29 37.5062032 HK Bank – HSI R Bull CBBC Sep 2016 C 150,000,000 2015/07/10 2016/09/29 37.5062003 HK Bank – Sands China R Bull CBBC Jul 2016 A 50,000,000 2015/07/10 2016/07/29 19.5062000 HK Bank – TCH R Bear CBBC Apr 2016 D 100,000,000 2015/07/10 2016/04/18 25.0062129 J P Morgan SP BV – HSCEI R Bull CBBC Apr 2016 A 100,000,000 2015/07/10 2016/04/28 25.0062131 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 A 100,000,000 2015/07/10 2016/04/28 25.0062115 J P Morgan SP BV – HSI R Bull CBBC Jan 2016 W 200,000,000 2015/07/10 2016/01/28 50.0062033 J P Morgan SP BV – HSI R Bull CBBC Feb 2016 L 200,000,000 2015/07/10 2016/02/26 50.0062117 J P Morgan SP BV – HSI R Bull CBBC Feb 2016 M 200,000,000 2015/07/10 2016/02/26 50.0062118 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 B 200,000,000 2015/07/10 2016/03/30 50.0062119 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 X 200,000,000 2015/07/10 2015/10/29 50.0062120 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 L 200,000,000 2015/07/10 2015/11/27 50.0062128 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 F 200,000,000 2015/07/10 2015/12/30 50.0062035 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 C 100,000,000 2015/07/10 2015/10/29 25.0062034 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 N 100,000,000 2015/07/10 2015/10/29 25.0062074 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Nov15 S 200,000,000 2015/07/10 2015/11/27 50.0062081 UBS AG – HSCEI R Bull CBBC Mar 2016 D 200,000,000 2015/07/10 2016/03/30 50.00




62096 UBS AG – HSCEI R Bull CBBC Mar 2016 E 200,000,000 2015/07/10 2016/03/30 50.0062077 UBS AG – HSI R Bull CBBC Jan 2016 C 200,000,000 2015/07/10 2016/01/28 50.0062080 UBS AG – HSI R Bull CBBC Jan 2016 T 200,000,000 2015/07/10 2016/01/28 50.0062100 UBS AG – HSI R Bear CBBC Nov 2015 F 200,000,000 2015/07/10 2015/11/27 50.0062099 UBS AG – HSI R Bear CBBC Nov 2015 H 200,000,000 2015/07/10 2015/11/27 50.0062472 BNP Paribas Arbit Issu B.V. – CC Bank R Bull CBBC Dec 2015 D 100,000,000 2015/07/13 2015/12/31 25.0062445 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 O 150,000,000 2015/07/13 2015/12/31 46.5062466 BNP Paribas Arbit Issu B.V. – HKEx R Bull CBBC Dec 2015 G 40,000,000 2015/07/13 2015/12/31 10.0062468 BNP Paribas Arbit Issu B.V. – HKEx R Bull CBBC Dec 2015 H 40,000,000 2015/07/13 2015/12/31 18.0062440 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 H 100,000,000 2015/07/13 2015/11/27 25.0062441 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Dec 2015 Y 100,000,000 2015/07/13 2015/12/30 25.0062215 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 B 250,000,000 2015/07/13 2015/12/30 62.5062434 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 C 250,000,000 2015/07/13 2015/12/30 62.5062219 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 F 250,000,000 2015/07/13 2015/12/30 62.5062431 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2015 W 250,000,000 2015/07/13 2015/12/30 62.5062433 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 C 250,000,000 2015/07/13 2016/01/28 62.5062214 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 W 250,000,000 2015/07/13 2016/01/28 62.5062217 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 X 250,000,000 2015/07/13 2016/01/28 62.5062435 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 J 200,000,000 2015/07/13 2015/11/27 50.0062436 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 K 200,000,000 2015/07/13 2015/11/27 50.0062437 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 L 200,000,000 2015/07/13 2015/11/27 50.0062438 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 M 200,000,000 2015/07/13 2015/11/27 50.0062439 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 N 200,000,000 2015/07/13 2015/11/27 50.0062469 BNP Paribas Arbit Issu B.V. – TCH R Bull CBBC Dec 2015 E 50,000,000 2015/07/13 2015/12/31 15.0062368 Credit Suisse AG – China Life R Bull CBBC Apr 2016 A 70,000,000 2015/07/13 2016/04/28 17.5062354 Credit Suisse AG – HKEx R Bull CBBC Feb 2016 C 100,000,000 2015/07/13 2016/02/25 47.0062359 Credit Suisse AG – HKEx R Bull CBBC Feb 2016 D 100,000,000 2015/07/13 2016/02/25 32.0062361 Credit Suisse AG – HKEx R Bear CBBC Dec 2015 B 100,000,000 2015/07/13 2015/12/30 53.0062365 Credit Suisse AG – HKEx R Bear CBBC Dec 2015 C 100,000,000 2015/07/13 2015/12/30 32.0062334 Credit Suisse AG – HSCEI R Bull CBBC Jan 2016 E 108,000,000 2015/07/13 2016/01/28 27.0062337 Credit Suisse AG – HSCEI R Bull CBBC Jan 2016 F 108,000,000 2015/07/13 2016/01/28 27.0062338 Credit Suisse AG – HSCEI R Bear CBBC Nov 2015 D 108,000,000 2015/07/13 2015/11/27 27.0062350 Credit Suisse AG – HSCEI R Bear CBBC Nov 2015 E 108,000,000 2015/07/13 2015/11/27 27.0062220 Credit Suisse AG – HSI R Bull CBBC Feb 2016 K 200,000,000 2015/07/13 2016/02/26 50.0062225 Credit Suisse AG – HSI R Bull CBBC Feb 2016 L 200,000,000 2015/07/13 2016/02/26 50.0062227 Credit Suisse AG – HSI R Bull CBBC Feb 2016 M 200,000,000 2015/07/13 2016/02/26 50.0062235 Credit Suisse AG – HSI R Bull CBBC Feb 2016 N 200,000,000 2015/07/13 2016/02/26 50.0062236 Credit Suisse AG – HSI R Bull CBBC Feb 2016 O 200,000,000 2015/07/13 2016/02/26 50.0062237 Credit Suisse AG – HSI R Bull CBBC Feb 2016 P 200,000,000 2015/07/13 2016/02/26 50.0062239 Credit Suisse AG – HSI R Bull CBBC Feb 2016 Q 200,000,000 2015/07/13 2016/02/26 50.0062246 Credit Suisse AG – HSI R Bull CBBC Feb 2016 T 200,000,000 2015/07/13 2016/02/26 68.0062332 Credit Suisse AG – HSI R Bull CBBC Feb 2016 U 200,000,000 2015/07/13 2016/02/26 50.0062506 Credit Suisse AG – HSI R Bull CBBC Feb 2016 V 200,000,000 2015/07/13 2016/02/26 56.0062492 Credit Suisse AG – HSI R Bear CBBC Nov 2015 F 200,000,000 2015/07/13 2015/11/27 50.0062486 Credit Suisse AG – HSI R Bear CBBC Nov 2015 O 200,000,000 2015/07/13 2015/11/27 50.00




62487 Credit Suisse AG – HSI R Bear CBBC Nov 2015 W 200,000,000 2015/07/13 2015/11/27 50.0062488 Credit Suisse AG – HSI R Bear CBBC Nov 2015 X 200,000,000 2015/07/13 2015/11/27 50.0062369 Credit Suisse AG – TCH R Bull CBBC Feb 2016 A 100,000,000 2015/07/13 2016/02/25 31.0062370 Credit Suisse AG – TCH R Bear CBBC Dec 2015 A 100,000,000 2015/07/13 2015/12/30 31.0062173 HK Bank – HKEx R Bull CBBC Sep 2016 A 80,000,000 2015/07/13 2016/09/26 30.4062165 HK Bank – HKEx R Bull CBBC Oct 2016 A 80,000,000 2015/07/13 2016/10/12 20.0062174 HK Bank – HKEx R Bull CBBC Oct 2016 B 80,000,000 2015/07/13 2016/10/05 24.0062164 HK Bank – HKEx R Bear CBBC May 2016 A 50,000,000 2015/07/13 2016/05/30 12.5062179 HK Bank – HSI R Bull CBBC Jun 2016 K 150,000,000 2015/07/13 2016/06/29 37.5062177 HK Bank – HSI R Bull CBBC Jul 2016 F 150,000,000 2015/07/13 2016/07/28 37.5062175 HK Bank – TCH R Bull CBBC Feb 2016 I 100,000,000 2015/07/13 2016/02/22 25.0062176 HK Bank – TCH R Bull CBBC Feb 2016 J 100,000,000 2015/07/13 2016/02/01 25.0062178 HK Bank – TCH R Bull CBBC Jun 2016 D 100,000,000 2015/07/13 2016/06/27 25.0062180 HK Bank – TCH R Bear CBBC Jun 2016 D 100,000,000 2015/07/13 2016/06/13 25.0062211 J P Morgan SP BV – HSCEI R Bull CBBC Apr 2016 B 100,000,000 2015/07/13 2016/04/28 25.0062501 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 B 100,000,000 2015/07/13 2016/04/28 25.0062212 J P Morgan SP BV – HSI R Bull CBBC Jan 2016 L 200,000,000 2015/07/13 2016/01/28 50.0062376 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 A 200,000,000 2015/07/13 2016/03/30 50.0062213 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 G 200,000,000 2015/07/13 2016/03/30 50.0062210 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 E 200,000,000 2015/07/13 2016/04/28 50.0062377 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 F 200,000,000 2015/07/13 2016/04/28 50.0062499 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 G 200,000,000 2015/07/13 2016/04/28 50.0062375 J P Morgan SP BV – HSI R Bear CBBC Oct 2015 Z 200,000,000 2015/07/13 2015/10/29 50.0062380 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 M 200,000,000 2015/07/13 2015/11/27 50.0062382 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 N 200,000,000 2015/07/13 2015/11/27 50.0062383 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 O 200,000,000 2015/07/13 2015/11/27 50.0062381 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 B 200,000,000 2015/07/13 2016/01/28 50.0062493 Standard Chartered Bank – HKEx R Bull CBBC May 2016 A 50,000,000 2015/07/13 2016/05/30 17.5062494 Standard Chartered Bank – HKEx R Bear CBBC Mar 2016 C 50,000,000 2015/07/13 2016/03/29 16.0062250 Standard Chartered Bank – HSCEI R Bear CBBC Oct 2015 G 100,000,000 2015/07/13 2015/10/29 25.0062247 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 D 100,000,000 2015/07/13 2015/10/29 25.0062251 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 F 100,000,000 2015/07/13 2015/10/29 25.0062252 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 I 100,000,000 2015/07/13 2015/10/29 25.0062374 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 J 100,000,000 2015/07/13 2015/10/29 25.0062483 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 L 100,000,000 2015/07/13 2015/10/29 25.0062476 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 M 100,000,000 2015/07/13 2015/10/29 25.0062248 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 O 100,000,000 2015/07/13 2015/10/29 25.0062371 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 P 100,000,000 2015/07/13 2015/10/29 25.0062372 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 Q 100,000,000 2015/07/13 2015/10/29 25.0062485 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 R 100,000,000 2015/07/13 2015/10/29 25.0062181 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jan16H 200,000,000 2015/07/13 2016/01/28 50.0062185 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jan16I 200,000,000 2015/07/13 2016/01/28 50.0062188 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jan16J 200,000,000 2015/07/13 2016/01/28 50.0062253 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16A 200,000,000 2015/07/13 2016/03/30 66.0062255 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16B 200,000,000 2015/07/13 2016/03/30 58.00




62257 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16F 200,000,000 2015/07/13 2016/01/28 50.0062275 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16I 200,000,000 2015/07/13 2016/01/28 50.0062277 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan 16N 200,000,000 2015/07/13 2016/01/28 50.0062269 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan 16S 200,000,000 2015/07/13 2016/01/28 50.0062191 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan 16Z 200,000,000 2015/07/13 2016/01/28 50.0062279 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb 16A 200,000,000 2015/07/13 2016/02/26 50.0062280 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb 16E 200,000,000 2015/07/13 2016/02/26 50.0062282 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb 16F 200,000,000 2015/07/13 2016/02/26 50.0062196 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar 16E 200,000,000 2015/07/13 2016/03/30 50.0062197 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar 16F 200,000,000 2015/07/13 2016/03/30 50.0062258 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar 16G 400,000,000 2015/07/13 2016/03/30 100.0062267 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar 16H 400,000,000 2015/07/13 2016/03/30 100.0062261 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 16A 400,000,000 2015/07/13 2016/04/28 100.0062276 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 16B 400,000,000 2015/07/13 2016/04/28 100.0062285 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15L 200,000,000 2015/07/13 2015/12/30 50.0062288 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15M 200,000,000 2015/07/13 2015/12/30 50.0062293 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15O 200,000,000 2015/07/13 2015/12/30 50.0062206 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15W 200,000,000 2015/07/13 2015/12/30 50.0062207 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15X 400,000,000 2015/07/13 2015/12/30 100.0062208 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15Y 400,000,000 2015/07/13 2015/12/30 100.0062283 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Dec 15Z 200,000,000 2015/07/13 2015/12/30 50.0062297 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan 16G 400,000,000 2015/07/13 2016/01/28 100.0062316 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan 16H 400,000,000 2015/07/13 2016/01/28 100.0062325 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan 16I 400,000,000 2015/07/13 2016/01/28 100.0062416 UBS AG – HSCEI R Bull CBBC Jan 2016 K 200,000,000 2015/07/13 2016/01/28 50.0062409 UBS AG – HSCEI R Bull CBBC Feb 2016 I 200,000,000 2015/07/13 2016/02/26 50.0062410 UBS AG – HSCEI R Bull CBBC Feb 2016 J 200,000,000 2015/07/13 2016/02/26 50.0062411 UBS AG – HSCEI R Bull CBBC Mar 2016 F 200,000,000 2015/07/13 2016/03/30 50.0062428 UBS AG – HSCEI R Bear CBBC Oct 2015 O 200,000,000 2015/07/13 2015/10/29 50.0062430 UBS AG – HSCEI R Bear CBBC Nov 2015 K 200,000,000 2015/07/13 2015/11/27 50.0062389 UBS AG – HSI R Bull CBBC Feb 2016 B 200,000,000 2015/07/13 2016/02/26 50.0062398 UBS AG – HSI R Bull CBBC Feb 2016 E 200,000,000 2015/07/13 2016/02/26 50.0062393 UBS AG – HSI R Bull CBBC Feb 2016 G 200,000,000 2015/07/13 2016/02/26 50.0062415 UBS AG – HSI R Bull CBBC Feb 2016 H 200,000,000 2015/07/13 2016/02/26 50.0062385 UBS AG – HSI R Bull CBBC Mar 2016 K 200,000,000 2015/07/13 2016/03/30 50.0062392 UBS AG – HSI R Bull CBBC Mar 2016 L 200,000,000 2015/07/13 2016/03/30 50.0062396 UBS AG – HSI R Bull CBBC Mar 2016 M 200,000,000 2015/07/13 2016/03/30 50.0062413 UBS AG – HSI R Bull CBBC Mar 2016 N 200,000,000 2015/07/13 2016/03/30 50.0062400 UBS AG – HSI R Bull CBBC Apr 2016 A 200,000,000 2015/07/13 2016/04/28 50.0062401 UBS AG – HSI R Bull CBBC Apr 2016 B 200,000,000 2015/07/13 2016/04/28 50.0062406 UBS AG – HSI R Bull CBBC Apr 2016 C 200,000,000 2015/07/13 2016/04/28 50.0062417 UBS AG – HSI R Bear CBBC Oct 2015 Y 200,000,000 2015/07/13 2015/10/29 50.0062418 UBS AG – HSI R Bear CBBC Nov 2015 J 200,000,000 2015/07/13 2015/11/27 50.0062423 UBS AG – HSI R Bear CBBC Nov 2015 K 200,000,000 2015/07/13 2015/11/27 50.0062421 UBS AG – HSI R Bear CBBC Dec 2015 E 200,000,000 2015/07/13 2015/12/30 50.00




62422 UBS AG – HSI R Bear CBBC Dec 2015 F 200,000,000 2015/07/13 2015/12/30 50.0062425 UBS AG – HSI R Bear CBBC Dec 2015 G 200,000,000 2015/07/13 2015/12/30 50.0062669 BNP Paribas Arbit Issu B.V. – Ch Mob R Bull CBBC Dec 2015 C 75,000,000 2015/07/14 2015/12/31 18.7562668 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Nov 2015 E 100,000,000 2015/07/14 2015/11/27 25.0062667 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Dec 2015 Z 100,000,000 2015/07/14 2015/12/30 25.0062666 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 B 200,000,000 2015/07/14 2015/10/29 50.0062665 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 C 200,000,000 2015/07/14 2015/10/29 50.0062663 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 O 200,000,000 2015/07/14 2015/10/29 50.0062661 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 P 200,000,000 2015/07/14 2015/10/29 50.0062662 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 Q 200,000,000 2015/07/14 2015/10/29 50.0062670 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Dec 2015 F 68,000,000 2015/07/14 2015/12/31 17.0062611 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 A 128,000,000 2015/07/14 2016/03/30 32.0062613 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 B 128,000,000 2015/07/14 2016/03/30 34.5662612 Credit Suisse AG – HSCEI R Bull CBBC Apr 2016 A 128,000,000 2015/07/14 2016/04/28 32.0062614 Credit Suisse AG – HSCEI R Bear CBBC Oct 2015 J 128,000,000 2015/07/14 2015/10/29 32.0062595 Credit Suisse AG – HSI R Bull CBBC Mar 2016 R 200,000,000 2015/07/14 2016/03/30 50.0062599 Credit Suisse AG – HSI R Bull CBBC Mar 2016 S 200,000,000 2015/07/14 2016/03/30 50.0062607 Credit Suisse AG – HSI R Bull CBBC Mar 2016 T 200,000,000 2015/07/14 2016/03/30 50.0062616 Credit Suisse AG – HSI R Bull CBBC Mar 2016 U 200,000,000 2015/07/14 2016/03/30 50.0062631 Credit Suisse AG – HSI R Bull CBBC Apr 2016 D 200,000,000 2015/07/14 2016/04/28 50.0062632 Credit Suisse AG – HSI R Bull CBBC Apr 2016 E 200,000,000 2015/07/14 2016/04/28 50.0062635 Credit Suisse AG – HSI R Bull CBBC Apr 2016 F 200,000,000 2015/07/14 2016/04/28 50.0062636 Credit Suisse AG – HSI R Bull CBBC Apr 2016 G 200,000,000 2015/07/14 2016/04/28 56.0062688 Credit Suisse AG – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/07/14 2015/12/30 50.0062693 Credit Suisse AG – HSI R Bear CBBC Dec 2015 K 200,000,000 2015/07/14 2015/12/30 50.0062697 Credit Suisse AG – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/07/14 2015/12/30 50.0062687 Credit Suisse AG – HSI R Bear CBBC Dec 2015 Z 200,000,000 2015/07/14 2015/12/30 50.0062617 Credit Suisse AG – HSI R Bear CBBC Jan 2016 F 200,000,000 2015/07/14 2016/01/28 50.0062618 Credit Suisse AG – HSI R Bear CBBC Jan 2016 G 200,000,000 2015/07/14 2016/01/28 50.0062620 Credit Suisse AG – HSI R Bear CBBC Jan 2016 H 200,000,000 2015/07/14 2016/01/28 50.0062513 HK Bank – China Life R Bull CBBC Oct 2016 A 60,000,000 2015/07/14 2016/10/31 39.0062514 HK Bank – China Life R Bull CBBC Nov 2016 A 60,000,000 2015/07/14 2016/11/28 48.0062517 HK Bank – HKEx R Bear CBBC Jun 2016 C 50,000,000 2015/07/14 2016/06/27 16.0062552 HK Bank – HSCEI R Bull CBBC Aug 2016 D 100,000,000 2015/07/14 2016/08/30 25.0062562 HK Bank – HSCEI R Bull CBBC Sep 2016 A 100,000,000 2015/07/14 2016/09/29 25.0062564 HK Bank – HSCEI R Bear CBBC May 2016 G 68,000,000 2015/07/14 2016/05/30 17.0062527 HK Bank – HSI R Bull CBBC Jul 2016 G 150,000,000 2015/07/14 2016/07/28 37.5062529 HK Bank – HSI R Bull CBBC Aug 2016 B 150,000,000 2015/07/14 2016/08/30 37.5062530 HK Bank – HSI R Bull CBBC Sep 2016 D 150,000,000 2015/07/14 2016/09/29 37.5062531 HK Bank – HSI R Bull CBBC Oct 2016 A 150,000,000 2015/07/14 2016/10/28 37.5062551 HK Bank – HSI R Bear CBBC Apr 2016 R 100,000,000 2015/07/14 2016/04/28 25.0062532 HK Bank – HSI R Bear CBBC May 2016 L 100,000,000 2015/07/14 2016/05/30 25.0062550 HK Bank – HSI R Bear CBBC Jun 2016 F 100,000,000 2015/07/14 2016/06/29 25.0062523 HK Bank – Haitong Sec R Bull CBBC Sep 2016 A 60,000,000 2015/07/14 2016/09/26 25.2062508 HK Bank – Lenovo R Bull CBBC Aug 2016 C 60,000,000 2015/07/14 2016/08/29 16.20




62507 HK Bank – Ping An R Bull CBBC Oct 2016 B 188,000,000 2015/07/14 2016/10/31 47.0062526 HK Bank – TCH R Bull CBBC Jan 2016 L 100,000,000 2015/07/14 2016/01/25 25.0062518 HK Bank – TCH R Bear CBBC Jul 2016 B 100,000,000 2015/07/14 2016/07/18 25.0062853 J P Morgan SP BV – HKEx R Bull CBBC Oct 2016 A 100,000,000 2015/07/14 2016/10/28 25.0062819 J P Morgan SP BV – HKEx R Bull CBBC Dec 2016 A 100,000,000 2015/07/14 2016/12/30 39.0062587 J P Morgan SP BV – HSCEI R Bull CBBC Apr 2016 C 100,000,000 2015/07/14 2016/04/28 25.0062589 J P Morgan SP BV – HSCEI R Bull CBBC Apr 2016 D 100,000,000 2015/07/14 2016/04/28 25.0062826 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 A 100,000,000 2015/07/14 2016/07/28 25.0062827 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 B 100,000,000 2015/07/14 2016/07/28 25.0062828 J P Morgan SP BV – HSCEI R Bull CBBC Aug 2016 A 100,000,000 2015/07/14 2016/08/30 25.0062844 J P Morgan SP BV – HSCEI R Bull CBBC Aug 2016 B 100,000,000 2015/07/14 2016/08/30 25.0062849 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 C 100,000,000 2015/07/14 2016/04/28 25.0062850 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 D 100,000,000 2015/07/14 2016/04/28 25.0062590 J P Morgan SP BV – HSI R Bull CBBC Feb 2016 N 200,000,000 2015/07/14 2016/02/26 50.0062591 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 H 200,000,000 2015/07/14 2016/04/28 50.0062637 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 P 200,000,000 2015/07/14 2015/11/27 50.0062640 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 Q 200,000,000 2015/07/14 2015/11/27 50.0062643 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 G 200,000,000 2015/07/14 2015/12/30 50.0062644 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 C 200,000,000 2015/07/14 2016/01/28 50.0062645 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 D 200,000,000 2015/07/14 2016/01/28 50.0062647 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 H 200,000,000 2015/07/14 2016/02/26 50.0062851 J P Morgan SP BV – Ping An R Bull CBBC Oct 2016 A 100,000,000 2015/07/14 2016/10/28 25.0062792 J P Morgan SP BV – Ping An R Bull CBBC Dec 2016 A 100,000,000 2015/07/14 2016/12/30 25.0062794 J P Morgan SP BV – Tencent R Bull CBBC Jun 2016 A 100,000,000 2015/07/14 2016/06/30 25.0062802 J P Morgan SP BV – Tencent R Bull CBBC Aug 2016 A 100,000,000 2015/07/14 2016/08/31 25.0062621 Macquarie Bank Ltd. – HSI R Bull CBBC Oct 2015 B 40,000,000 2015/07/14 2015/10/29 10.4062622 Macquarie Bank Ltd. – HSI R Bull CBBC Oct 2015 C 40,000,000 2015/07/14 2015/10/29 10.0062623 Macquarie Bank Ltd. – HSI R Bear CBBC Oct 2015 B 40,000,000 2015/07/14 2015/10/29 10.4062624 Macquarie Bank Ltd. – HSI R Bear CBBC Oct 2015 C 40,000,000 2015/07/14 2015/10/29 10.2062630 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2015 A 40,000,000 2015/07/14 2015/11/27 10.0062593 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Jan 2016B 50,000,000 2015/07/14 2016/01/22 12.5062594 Standard Chartered Bank – A50 China R Bull CBBC Feb 2016 A 50,000,000 2015/07/14 2016/02/26 12.5062573 Standard Chartered Bank – HSCEI R Bull CBBC Oct 2015 K 100,000,000 2015/07/14 2015/10/29 25.0062570 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 E 150,000,000 2015/07/14 2015/10/29 37.5062571 Standard Chartered Bank – HSI R Bull CBBC Oct 2015 H 150,000,000 2015/07/14 2015/10/29 37.5062569 Standard Chartered Bank – HSI R Bear CBBC Oct 2015 S 150,000,000 2015/07/14 2015/10/29 37.5062648 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16K 200,000,000 2015/07/14 2016/02/26 50.0062652 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16L 200,000,000 2015/07/14 2016/02/26 50.0062653 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16M 200,000,000 2015/07/14 2016/02/26 50.0062656 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Dec15K 200,000,000 2015/07/14 2015/12/30 50.0062655 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16G 200,000,000 2015/07/14 2016/01/28 50.0062576 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 M 200,000,000 2015/07/14 2016/01/28 50.0062574 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 I 200,000,000 2015/07/14 2016/03/30 50.0062583 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 J 200,000,000 2015/07/14 2016/03/30 50.0062657 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 K 400,000,000 2015/07/14 2016/03/30 100.00




62584 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 J 200,000,000 2015/07/14 2016/01/28 50.0062586 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 K 200,000,000 2015/07/14 2016/01/28 50.0062658 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 L 200,000,000 2015/07/14 2016/01/28 50.0062659 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 M 200,000,000 2015/07/14 2016/01/28 50.0062660 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 N 400,000,000 2015/07/14 2016/01/28 100.0062786 UBS AG – China Mobile R Bull CBBC Jul 2016 C 50,000,000 2015/07/14 2016/07/25 12.5062771 UBS AG – HKEx R Bull CBBC Aug 2016 B 50,000,000 2015/07/14 2016/08/22 13.5062772 UBS AG – HKEx R Bull CBBC Sep 2016 A 50,000,000 2015/07/14 2016/09/05 18.5062783 UBS AG – HSCEI R Bull CBBC Jan 2016 L 200,000,000 2015/07/14 2016/01/28 50.0062740 UBS AG – HSCEI R Bull CBBC Feb 2016 K 200,000,000 2015/07/14 2016/02/26 50.0062741 UBS AG – HSCEI R Bull CBBC Mar 2016 G 200,000,000 2015/07/14 2016/03/30 50.0062777 UBS AG – HSCEI R Bear CBBC Oct 2015 P 200,000,000 2015/07/14 2015/10/29 50.0062782 UBS AG – HSCEI R Bear CBBC Nov 2015 L 200,000,000 2015/07/14 2015/11/27 50.0062701 UBS AG – HSI R Bull CBBC Feb 2016 J 200,000,000 2015/07/14 2016/02/26 50.0062706 UBS AG – HSI R Bull CBBC Feb 2016 K 200,000,000 2015/07/14 2016/02/26 50.0062704 UBS AG – HSI R Bull CBBC Mar 2016 O 200,000,000 2015/07/14 2016/03/30 50.0062711 UBS AG – HSI R Bull CBBC Mar 2016 P 200,000,000 2015/07/14 2016/03/30 50.0062726 UBS AG – HSI R Bull CBBC Apr 2016 D 200,000,000 2015/07/14 2016/04/28 50.0062739 UBS AG – HSI R Bull CBBC Apr 2016 E 200,000,000 2015/07/14 2016/04/28 50.0062714 UBS AG – HSI R Bull CBBC May 2016 A 200,000,000 2015/07/14 2016/05/30 50.0062718 UBS AG – HSI R Bull CBBC May 2016 B 200,000,000 2015/07/14 2016/05/30 50.0062742 UBS AG – HSI R Bear CBBC Nov 2015 L 200,000,000 2015/07/14 2015/11/27 50.0062748 UBS AG – HSI R Bear CBBC Nov 2015 M 200,000,000 2015/07/14 2015/11/27 50.0062745 UBS AG – HSI R Bear CBBC Dec 2015 H 200,000,000 2015/07/14 2015/12/30 50.0062746 UBS AG – HSI R Bear CBBC Dec 2015 I 200,000,000 2015/07/14 2015/12/30 50.0062764 UBS AG – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/07/14 2015/12/30 50.0062769 UBS AG – HSI R Bear CBBC Dec 2015 K 200,000,000 2015/07/14 2015/12/30 50.0062770 UBS AG – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/07/14 2015/12/30 50.0062785 UBS AG – TCH R Bull CBBC Oct 2016 A 50,000,000 2015/07/14 2016/10/17 13.7563730 BNP Paribas Arbit Issu B.V. – Ch Mob R Bull CBBC Dec 2015 D 75,000,000 2015/07/15 2015/12/31 18.7563731 BNP Paribas Arbit Issu B.V. – CC Bank R Bull CBBC Dec 2015 E 100,000,000 2015/07/15 2015/12/31 25.0063645 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15U 150,000,000 2015/07/15 2015/12/31 51.0063649 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15V 150,000,000 2015/07/15 2015/12/31 37.5063658 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15W 150,000,000 2015/07/15 2015/12/31 37.5063661 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bear CBBC Oct15C 100,000,000 2015/07/15 2015/10/29 25.0063665 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 P 150,000,000 2015/07/15 2015/12/31 49.5063678 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 Q 150,000,000 2015/07/15 2015/12/31 37.5063686 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 R 150,000,000 2015/07/15 2015/12/31 37.5063698 BNP Paribas Arbit Issu B.V. – A50 R Bear CBBC Nov 2015 G 100,000,000 2015/07/15 2015/11/30 25.0063712 BNP Paribas Arbit Issu B.V. – HKEx R Bull CBBC Dec 2015 I 40,000,000 2015/07/15 2015/12/31 13.6063711 BNP Paribas Arbit Issu B.V. – HS H-SH ETF R Bull CBBC Jan16D 60,000,000 2015/07/15 2016/01/29 15.0063472 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 I 100,000,000 2015/07/15 2015/11/27 25.0063473 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 J 100,000,000 2015/07/15 2015/11/27 25.0063475 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 K 100,000,000 2015/07/15 2015/11/27 25.0063481 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 L 100,000,000 2015/07/15 2015/11/27 25.00




63478 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2015 Y 100,000,000 2015/07/15 2015/12/30 25.0063482 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2015 Z 100,000,000 2015/07/15 2015/12/30 25.0063486 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Dec 2015 A 100,000,000 2015/07/15 2015/12/30 25.0063487 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Dec 2015 M 100,000,000 2015/07/15 2015/12/30 25.0063604 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 D 250,000,000 2015/07/15 2016/01/28 82.5063421 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 A 250,000,000 2015/07/15 2016/02/26 62.5063439 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 B 250,000,000 2015/07/15 2016/02/26 62.5063441 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 C 250,000,000 2015/07/15 2016/02/26 62.5063443 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 D 250,000,000 2015/07/15 2016/02/26 62.5063605 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 E 250,000,000 2015/07/15 2016/02/26 75.0063606 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 F 250,000,000 2015/07/15 2016/02/26 65.0063611 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 G 250,000,000 2015/07/15 2016/02/26 62.5063614 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 H 250,000,000 2015/07/15 2016/02/26 62.5063000 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 X 250,000,000 2015/07/15 2016/02/26 62.5063001 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 Y 250,000,000 2015/07/15 2016/02/26 62.5063021 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 Z 250,000,000 2015/07/15 2016/02/26 62.5063458 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 O 200,000,000 2015/07/15 2015/11/27 50.0063459 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 P 200,000,000 2015/07/15 2015/11/27 50.0063464 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 Q 200,000,000 2015/07/15 2015/11/27 50.0063467 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 R 200,000,000 2015/07/15 2015/11/27 50.0063468 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 S 200,000,000 2015/07/15 2015/11/27 50.0063469 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 T 200,000,000 2015/07/15 2015/11/27 50.0063638 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 U 200,000,000 2015/07/15 2015/11/27 50.0063639 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 V 200,000,000 2015/07/15 2015/11/27 50.0063718 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Dec 2015 G 68,000,000 2015/07/15 2015/12/31 17.0063050 Credit Suisse AG – HSCEI R Bull CBBC Apr 2016 B 128,000,000 2015/07/15 2016/04/28 32.0063052 Credit Suisse AG – HSCEI R Bull CBBC Apr 2016 C 128,000,000 2015/07/15 2016/04/28 32.0063056 Credit Suisse AG – HSCEI R Bull CBBC Apr 2016 D 128,000,000 2015/07/15 2016/04/28 37.1263058 Credit Suisse AG – HSCEI R Bear CBBC Nov 2015 F 128,000,000 2015/07/15 2015/11/27 32.0063025 Credit Suisse AG – HSI R Bull CBBC Apr 2016 H 200,000,000 2015/07/15 2016/04/28 50.0063027 Credit Suisse AG – HSI R Bull CBBC Apr 2016 I 200,000,000 2015/07/15 2016/04/28 50.0063028 Credit Suisse AG – HSI R Bull CBBC Apr 2016 J 200,000,000 2015/07/15 2016/04/28 50.0063036 Credit Suisse AG – HSI R Bull CBBC Apr 2016 K 200,000,000 2015/07/15 2016/04/28 50.0063038 Credit Suisse AG – HSI R Bull CBBC Apr 2016 L 200,000,000 2015/07/15 2016/04/28 50.0063048 Credit Suisse AG – HSI R Bull CBBC Apr 2016 M 200,000,000 2015/07/15 2016/04/28 50.0063060 Credit Suisse AG – HSI R Bull CBBC May 2016 A 200,000,000 2015/07/15 2016/05/30 50.0063061 Credit Suisse AG – HSI R Bull CBBC May 2016 B 200,000,000 2015/07/15 2016/05/30 50.0063063 Credit Suisse AG – HSI R Bull CBBC May 2016 C 200,000,000 2015/07/15 2016/05/30 50.0063065 Credit Suisse AG – HSI R Bull CBBC May 2016 D 200,000,000 2015/07/15 2016/05/30 56.0063067 Credit Suisse AG – HSI R Bull CBBC May 2016 E 200,000,000 2015/07/15 2016/05/30 50.0063176 Credit Suisse AG – HSI R Bull CBBC May 2016 F 200,000,000 2015/07/15 2016/05/30 70.0063577 Credit Suisse AG – HSI R Bear CBBC Jan 2016 I 200,000,000 2015/07/15 2016/01/28 50.0063579 Credit Suisse AG – HSI R Bear CBBC Jan 2016 J 200,000,000 2015/07/15 2016/01/28 50.0063580 Credit Suisse AG – HSI R Bear CBBC Jan 2016 K 200,000,000 2015/07/15 2016/01/28 50.0063582 Credit Suisse AG – HSI R Bear CBBC Jan 2016 L 200,000,000 2015/07/15 2016/01/28 50.00




63587 Credit Suisse AG – HSI R Bear CBBC Jan 2016 M 200,000,000 2015/07/15 2016/01/28 50.0063593 Credit Suisse AG – HSI R Bear CBBC Jan 2016 N 200,000,000 2015/07/15 2016/01/28 50.0063594 Credit Suisse AG – HSI R Bear CBBC Jan 2016 O 200,000,000 2015/07/15 2016/01/28 50.0063603 Credit Suisse AG – HSI R Bear CBBC Jan 2016 P 200,000,000 2015/07/15 2016/01/28 50.0062888 HK Bank – ABC R Bull CBBC Aug 2016 B 80,000,000 2015/07/15 2016/08/29 20.0062873 HK Bank – CITIC Sec R Bull CBBC Aug 2016 B 60,000,000 2015/07/15 2016/08/29 39.0062933 HK Bank – HKEx R Bull CBBC Jun 2016 K 80,000,000 2015/07/15 2016/06/27 20.0062925 HK Bank – HKEx R Bull CBBC Jul 2016 F 80,000,000 2015/07/15 2016/07/11 20.0062866 HK Bank – HKEx R Bear CBBC Feb 2016 E 40,000,000 2015/07/15 2016/02/01 14.0062891 HK Bank – HKEx R Bear CBBC Jul 2016 D 50,000,000 2015/07/15 2016/07/18 26.5062865 HK Bank – HS H-SH ETF R Bull CBBC Jul 2016 A 100,000,000 2015/07/15 2016/07/28 25.0062863 HK Bank – HS H-SH ETF R Bull CBBC Sep 2016 B 100,000,000 2015/07/15 2016/09/29 25.0062860 HK Bank – HSCEI R Bull CBBC Jul 2016 C 100,000,000 2015/07/15 2016/07/28 25.0062861 HK Bank – HSCEI R Bull CBBC Aug 2016 E 100,000,000 2015/07/15 2016/08/30 25.0062924 HK Bank – HSCEI R Bull CBBC Sep 2016 B 100,000,000 2015/07/15 2016/09/29 25.0062859 HK Bank – HSCEI R Bear CBBC Apr 2016 J 68,000,000 2015/07/15 2016/04/28 17.0062856 HK Bank – HSI R Bull CBBC Mar 2016 M 150,000,000 2015/07/15 2016/03/30 37.5062854 HK Bank – HSI R Bull CBBC Jul 2016 H 150,000,000 2015/07/15 2016/07/28 37.5062857 HK Bank – HSI R Bull CBBC Aug 2016 C 400,000,000 2015/07/15 2016/08/30 100.0062917 HK Bank – HSI R Bull CBBC Aug 2016 D 150,000,000 2015/07/15 2016/08/30 37.5062914 HK Bank – HSI R Bull CBBC Sep 2016 E 150,000,000 2015/07/15 2016/09/29 37.5062862 HK Bank – HSI R Bear CBBC Mar 2016 W 100,000,000 2015/07/15 2016/03/30 25.0062858 HK Bank – HSI R Bear CBBC Jul 2016 B 400,000,000 2015/07/15 2016/07/28 100.0062877 HK Bank – Ping An R Bear CBBC Apr 2016 B 40,000,000 2015/07/15 2016/04/29 10.0062938 HK Bank – TCH R Bull CBBC Jun 2016 E 100,000,000 2015/07/15 2016/06/27 25.0062935 HK Bank – TCH R Bull CBBC Jul 2016 B 100,000,000 2015/07/15 2016/07/25 25.0062890 HK Bank – TCH R Bear CBBC Jul 2016 C 100,000,000 2015/07/15 2016/07/11 25.0062999 J P Morgan SP BV – HSCEI R Bull CBBC Jun 2016 A 100,000,000 2015/07/15 2016/06/29 25.0063177 J P Morgan SP BV – HSCEI R Bull CBBC Jun 2016 B 100,000,000 2015/07/15 2016/06/29 25.0063519 J P Morgan SP BV – HSCEI R Bull CBBC Dec 2016 A 100,000,000 2015/07/15 2016/12/29 25.0063523 J P Morgan SP BV – HSCEI R Bull CBBC Dec 2016 B 100,000,000 2015/07/15 2016/12/29 25.0063524 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 E 100,000,000 2015/07/15 2016/04/28 25.0062976 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 H 200,000,000 2015/07/15 2016/03/30 50.0062977 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 I 200,000,000 2015/07/15 2016/04/28 50.0063185 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 J 200,000,000 2015/07/15 2016/04/28 50.0063187 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 K 200,000,000 2015/07/15 2016/04/28 50.0062980 J P Morgan SP BV – HSI R Bull CBBC May 2016 A 200,000,000 2015/07/15 2016/05/30 50.0062997 J P Morgan SP BV – HSI R Bull CBBC May 2016 B 200,000,000 2015/07/15 2016/05/30 50.0063190 J P Morgan SP BV – HSI R Bull CBBC May 2016 C 200,000,000 2015/07/15 2016/05/30 50.0063208 J P Morgan SP BV – HSI R Bull CBBC May 2016 D 200,000,000 2015/07/15 2016/05/30 50.0062998 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 A 200,000,000 2015/07/15 2016/06/29 50.0063211 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 B 200,000,000 2015/07/15 2016/06/29 50.0063212 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 C 200,000,000 2015/07/15 2016/06/29 50.0063218 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 D 200,000,000 2015/07/15 2016/06/29 60.0063219 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 A 200,000,000 2015/07/15 2016/07/28 70.00




63220 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 A 200,000,000 2015/07/15 2016/10/28 90.0063222 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 A 200,000,000 2015/07/15 2016/11/29 100.0063231 J P Morgan SP BV – HSI R Bull CBBC Dec 2016 A 200,000,000 2015/07/15 2016/12/29 110.0063232 J P Morgan SP BV – HSI R Bull CBBC Dec 2016 B 200,000,000 2015/07/15 2016/12/29 130.0063501 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 R 200,000,000 2015/07/15 2015/11/27 50.0063504 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 S 200,000,000 2015/07/15 2015/11/27 50.0063506 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 H 200,000,000 2015/07/15 2015/12/30 50.0063510 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 I 200,000,000 2015/07/15 2015/12/30 50.0063515 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/07/15 2016/01/28 50.0063517 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 F 200,000,000 2015/07/15 2016/01/28 50.0063084 Standard Chartered Bank – HSCEI R Bull CBBC Nov 2015 A 100,000,000 2015/07/15 2015/11/27 25.0063085 Standard Chartered Bank – HSCEI R Bull CBBC Nov 2015 B 100,000,000 2015/07/15 2015/11/27 25.0063086 Standard Chartered Bank – HSCEI R Bear CBBC Nov 2015 A 100,000,000 2015/07/15 2015/11/27 25.0063076 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 E 100,000,000 2015/07/15 2015/11/27 25.0063080 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 F 100,000,000 2015/07/15 2015/11/27 25.0063081 Standard Chartered Bank – HSI R Bull CBBC Dec 2015 A 100,000,000 2015/07/15 2015/12/30 28.0063498 Standard Chartered Bank – HSI R Bull CBBC Dec 2015 B 150,000,000 2015/07/15 2015/12/30 37.5063488 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 A 100,000,000 2015/07/15 2015/11/27 25.0063489 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 B 150,000,000 2015/07/15 2015/11/27 37.5063496 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 C 100,000,000 2015/07/15 2015/11/27 25.0063500 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 D 150,000,000 2015/07/15 2015/11/27 37.5062974 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jan16K 200,000,000 2015/07/15 2016/01/28 50.0062952 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16N 200,000,000 2015/07/15 2016/02/26 54.0062970 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16O 200,000,000 2015/07/15 2016/02/26 50.0062975 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16P 200,000,000 2015/07/15 2016/02/26 50.0063087 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16C 200,000,000 2015/07/15 2016/03/30 54.0063089 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16H 200,000,000 2015/07/15 2016/01/28 50.0063091 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16I 200,000,000 2015/07/15 2016/01/28 50.0062944 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 B 200,000,000 2015/07/15 2016/01/28 50.0062945 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 F 200,000,000 2015/07/15 2016/01/28 50.0062946 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 G 200,000,000 2015/07/15 2016/01/28 50.0062947 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 H 200,000,000 2015/07/15 2016/01/28 50.0062941 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 J 200,000,000 2015/07/15 2016/01/28 50.0062942 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 T 200,000,000 2015/07/15 2016/01/28 50.0063560 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 B 200,000,000 2015/07/15 2016/02/26 50.0063119 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 C 200,000,000 2015/07/15 2016/02/26 50.0063131 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 I 200,000,000 2015/07/15 2016/02/26 50.0063139 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 J 200,000,000 2015/07/15 2016/02/26 50.0063150 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 K 200,000,000 2015/07/15 2016/02/26 50.0063152 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 L 200,000,000 2015/07/15 2016/02/26 50.0063548 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 M 200,000,000 2015/07/15 2016/02/26 50.0063120 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 Y 200,000,000 2015/07/15 2016/02/26 50.0063130 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 Z 200,000,000 2015/07/15 2016/02/26 50.0062943 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 L 400,000,000 2015/07/15 2016/03/30 100.0063114 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 M 400,000,000 2015/07/15 2016/03/30 116.00




63552 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 N 200,000,000 2015/07/15 2016/03/30 50.0063553 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 O 400,000,000 2015/07/15 2016/03/30 112.0063554 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 P 200,000,000 2015/07/15 2016/03/30 50.0063563 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 Q 200,000,000 2015/07/15 2016/03/30 50.0063115 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 C 400,000,000 2015/07/15 2016/04/28 112.0063555 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 D 400,000,000 2015/07/15 2016/04/28 100.0063568 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 E 400,000,000 2015/07/15 2016/04/28 100.0062951 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 O 400,000,000 2015/07/15 2016/01/28 100.0063097 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 P 200,000,000 2015/07/15 2016/01/28 50.0063102 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 Q 200,000,000 2015/07/15 2016/01/28 50.0063106 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 R 200,000,000 2015/07/15 2016/01/28 50.0063109 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 S 200,000,000 2015/07/15 2016/01/28 50.0063113 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 T 200,000,000 2015/07/15 2016/01/28 50.0063525 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 U 200,000,000 2015/07/15 2016/01/28 50.0063526 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 V 200,000,000 2015/07/15 2016/01/28 50.0063121 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 A 400,000,000 2015/07/15 2016/02/26 124.0063134 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 B 400,000,000 2015/07/15 2016/02/26 120.0063528 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 C 400,000,000 2015/07/15 2016/02/26 100.0063546 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 D 400,000,000 2015/07/15 2016/02/26 100.0063279 UBS AG – HSCEI R Bull CBBC Mar 2016 H 200,000,000 2015/07/15 2016/03/30 50.0063314 UBS AG – HSCEI R Bull CBBC Apr 2016 A 200,000,000 2015/07/15 2016/04/28 50.0063277 UBS AG – HSCEI R Bull CBBC May 2016 A 200,000,000 2015/07/15 2016/05/30 50.0063284 UBS AG – HSCEI R Bull CBBC Jun 2016 A 200,000,000 2015/07/15 2016/06/29 50.0063286 UBS AG – HSCEI R Bull CBBC Jun 2016 B 200,000,000 2015/07/15 2016/06/29 55.0063326 UBS AG – HSCEI R Bull CBBC Jun 2016 C 200,000,000 2015/07/15 2016/06/29 55.0063402 UBS AG – HSCEI R Bear CBBC Oct 2015 Q 200,000,000 2015/07/15 2015/10/29 50.0063412 UBS AG – HSCEI R Bear CBBC Oct 2015 R 200,000,000 2015/07/15 2015/10/29 50.0063407 UBS AG – HSCEI R Bear CBBC Nov 2015 M 200,000,000 2015/07/15 2015/11/27 50.0063238 UBS AG – HSI R Bull CBBC Apr 2016 F 200,000,000 2015/07/15 2016/04/28 50.0063242 UBS AG – HSI R Bull CBBC Apr 2016 G 200,000,000 2015/07/15 2016/04/28 50.0063243 UBS AG – HSI R Bull CBBC May 2016 C 200,000,000 2015/07/15 2016/05/30 50.0063245 UBS AG – HSI R Bull CBBC May 2016 D 200,000,000 2015/07/15 2016/05/30 50.0063249 UBS AG – HSI R Bull CBBC May 2016 E 200,000,000 2015/07/15 2016/05/30 50.0063239 UBS AG – HSI R Bull CBBC Jun 2016 A 200,000,000 2015/07/15 2016/06/29 50.0063244 UBS AG – HSI R Bull CBBC Jun 2016 B 200,000,000 2015/07/15 2016/06/29 50.0063247 UBS AG – HSI R Bull CBBC Jun 2016 C 200,000,000 2015/07/15 2016/06/29 50.0063253 UBS AG – HSI R Bull CBBC Jun 2016 D 200,000,000 2015/07/15 2016/06/29 50.0063266 UBS AG – HSI R Bull CBBC Jun 2016 E 200,000,000 2015/07/15 2016/06/29 50.0063268 UBS AG – HSI R Bull CBBC Jun 2016 F 200,000,000 2015/07/15 2016/06/29 54.0063270 UBS AG – HSI R Bull CBBC Jun 2016 G 200,000,000 2015/07/15 2016/06/29 58.0063275 UBS AG – HSI R Bull CBBC Jun 2016 H 200,000,000 2015/07/15 2016/06/29 74.0063258 UBS AG – HSI R Bull CBBC Jul 2016 A 200,000,000 2015/07/15 2016/07/28 50.0063267 UBS AG – HSI R Bull CBBC Jul 2016 B 200,000,000 2015/07/15 2016/07/28 50.0063269 UBS AG – HSI R Bull CBBC Jul 2016 C 200,000,000 2015/07/15 2016/07/28 54.0063272 UBS AG – HSI R Bull CBBC Jul 2016 D 200,000,000 2015/07/15 2016/07/28 66.00




63276 UBS AG – HSI R Bull CBBC Jul 2016 E 200,000,000 2015/07/15 2016/07/28 78.0063288 UBS AG – HSI R Bull CBBC Jul 2016 F 200,000,000 2015/07/15 2016/07/28 50.0063296 UBS AG – HSI R Bull CBBC Jul 2016 G 200,000,000 2015/07/15 2016/07/28 73.0063304 UBS AG – HSI R Bull CBBC Aug 2016 A 200,000,000 2015/07/15 2016/08/30 93.0063308 UBS AG – HSI R Bull CBBC Aug 2016 B 200,000,000 2015/07/15 2016/08/30 104.0063309 UBS AG – HSI R Bull CBBC Aug 2016 C 200,000,000 2015/07/15 2016/08/30 53.0063368 UBS AG – HSI R Bear CBBC Nov 2015 N 200,000,000 2015/07/15 2015/11/27 50.0063327 UBS AG – HSI R Bear CBBC Dec 2015 M 200,000,000 2015/07/15 2015/12/30 50.0063334 UBS AG – HSI R Bear CBBC Dec 2015 N 200,000,000 2015/07/15 2015/12/30 50.0063352 UBS AG – HSI R Bear CBBC Dec 2015 O 200,000,000 2015/07/15 2015/12/30 50.0063366 UBS AG – HSI R Bear CBBC Dec 2015 P 200,000,000 2015/07/15 2015/12/30 50.0063385 UBS AG – HSI R Bear CBBC Dec 2015 Q 200,000,000 2015/07/15 2015/12/30 50.0063393 UBS AG – HSI R Bear CBBC Dec 2015 R 200,000,000 2015/07/15 2015/12/30 50.0063331 UBS AG – HSI R Bear CBBC Jan 2016 A 200,000,000 2015/07/15 2016/01/28 50.0063342 UBS AG – HSI R Bear CBBC Jan 2016 B 200,000,000 2015/07/15 2016/01/28 50.0063349 UBS AG – HSI R Bear CBBC Jan 2016 C 200,000,000 2015/07/15 2016/01/28 50.0063353 UBS AG – HSI R Bear CBBC Jan 2016 D 200,000,000 2015/07/15 2016/01/28 50.0063361 UBS AG – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/07/15 2016/01/28 50.0063367 UBS AG – HSI R Bear CBBC Jan 2016 F 200,000,000 2015/07/15 2016/01/28 50.0063379 UBS AG – HSI R Bear CBBC Jan 2016 G 200,000,000 2015/07/15 2016/01/28 50.0063382 UBS AG – HSI R Bear CBBC Jan 2016 H 200,000,000 2015/07/15 2016/01/28 50.0063388 UBS AG – HSI R Bear CBBC Jan 2016 I 200,000,000 2015/07/15 2016/01/28 50.0063397 UBS AG – HSI R Bear CBBC Feb 2016 A 200,000,000 2015/07/15 2016/02/26 50.0063399 UBS AG – HSI R Bear CBBC Feb 2016 B 200,000,000 2015/07/15 2016/02/26 50.0063398 UBS AG – HSI R Bear CBBC Mar 2016 A 200,000,000 2015/07/15 2016/03/30 50.0063401 UBS AG – HSI R Bear CBBC Mar 2016 B 200,000,000 2015/07/15 2016/03/30 50.0064296 BNP Paribas Arbit Issu B.V. – Ch Mob R Bull CBBC Dec 2015 E 75,000,000 2015/07/16 2015/12/31 18.7564286 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15X 150,000,000 2015/07/16 2015/12/31 37.5064289 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15Y 150,000,000 2015/07/16 2015/12/31 37.5064293 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 S 150,000,000 2015/07/16 2015/12/31 37.5064278 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 M 100,000,000 2015/07/16 2015/11/27 25.0064261 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2015 B 100,000,000 2015/07/16 2015/12/30 25.0064280 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Nov 2015 F 100,000,000 2015/07/16 2015/11/27 25.0064281 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Nov 2015 G 100,000,000 2015/07/16 2015/11/27 25.0064233 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 E 250,000,000 2015/07/16 2016/01/28 62.5064245 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 F 250,000,000 2015/07/16 2016/01/28 62.5064254 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 J 250,000,000 2015/07/16 2016/01/28 62.5064255 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 K 250,000,000 2015/07/16 2016/01/28 62.5064256 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 D 200,000,000 2015/07/16 2015/10/29 50.0064137 Credit Suisse AG – BOCL R Bull CBBC Jan 2016 A 80,000,000 2015/07/16 2016/01/28 20.0064144 Credit Suisse AG – China Mobile R Bull CBBC Jan 2016 B 80,000,000 2015/07/16 2016/01/28 20.0064154 Credit Suisse AG – China Mobile R Bull CBBC Jan 2016 C 80,000,000 2015/07/16 2016/01/28 20.0064165 Credit Suisse AG – China Mobile R Bull CBBC Feb 2016 A 80,000,000 2015/07/16 2016/02/26 20.0064131 Credit Suisse AG – CCB R Bull CBBC Jan 2016 A 80,000,000 2015/07/16 2016/01/28 20.0064130 Credit Suisse AG – China Life R Bull CBBC Jun 2016 A 100,000,000 2015/07/16 2016/06/29 25.00




64116 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jan 2016 F 100,000,000 2015/07/16 2016/01/28 25.0064118 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jan 2016 G 100,000,000 2015/07/16 2016/01/28 25.0064120 Credit Suisse AG – A50 China R Bull CBBC Jan 2016 F 100,000,000 2015/07/16 2016/01/28 25.0064123 Credit Suisse AG – A50 China R Bull CBBC Jan 2016 G 100,000,000 2015/07/16 2016/01/28 25.0063980 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 A 128,000,000 2015/07/16 2016/02/26 32.0063983 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 B 128,000,000 2015/07/16 2016/02/26 32.0063966 Credit Suisse AG – HSCEI R Bear CBBC Nov 2015 G 128,000,000 2015/07/16 2015/11/27 32.0064056 Credit Suisse AG – HSI R Bull CBBC Feb 2016 A 200,000,000 2015/07/16 2016/02/26 50.0064065 Credit Suisse AG – HSI R Bull CBBC Feb 2016 B 200,000,000 2015/07/16 2016/02/26 50.0064067 Credit Suisse AG – HSI R Bull CBBC Feb 2016 C 200,000,000 2015/07/16 2016/02/26 50.0064304 Credit Suisse AG – HSI R Bull CBBC Feb 2016 D 200,000,000 2015/07/16 2016/02/26 50.0064054 Credit Suisse AG – HSI R Bull CBBC Feb 2016 R 200,000,000 2015/07/16 2016/02/26 50.0064042 Credit Suisse AG – HSI R Bull CBBC Feb 2016 S 200,000,000 2015/07/16 2016/02/26 56.0064047 Credit Suisse AG – HSI R Bull CBBC Feb 2016 W 200,000,000 2015/07/16 2016/02/26 50.0064049 Credit Suisse AG – HSI R Bull CBBC Feb 2016 X 200,000,000 2015/07/16 2016/02/26 50.0064050 Credit Suisse AG – HSI R Bull CBBC Feb 2016 Y 200,000,000 2015/07/16 2016/02/26 50.0064025 Credit Suisse AG – HSI R Bull CBBC Jul 2016 A 200,000,000 2015/07/16 2016/07/28 72.0064029 Credit Suisse AG – HSI R Bull CBBC Jul 2016 B 200,000,000 2015/07/16 2016/07/28 122.0064033 Credit Suisse AG – HSI R Bull CBBC Jul 2016 C 200,000,000 2015/07/16 2016/07/28 104.0063994 Credit Suisse AG – HSI R Bear CBBC Jan 2016 Q 200,000,000 2015/07/16 2016/01/28 50.0063999 Credit Suisse AG – HSI R Bear CBBC Jan 2016 R 200,000,000 2015/07/16 2016/01/28 50.0064000 Credit Suisse AG – HSI R Bear CBBC Jan 2016 S 200,000,000 2015/07/16 2016/01/28 50.0064008 Credit Suisse AG – HSI R Bear CBBC Jan 2016 T 200,000,000 2015/07/16 2016/01/28 50.0064023 Credit Suisse AG – HSI R Bear CBBC Jan 2016 U 200,000,000 2015/07/16 2016/01/28 50.0063951 Credit Suisse AG – HSI R Bear CBBC Feb 2016 C 200,000,000 2015/07/16 2016/02/26 50.0063958 Credit Suisse AG – HSI R Bear CBBC Feb 2016 D 200,000,000 2015/07/16 2016/02/26 50.0063960 Credit Suisse AG – HSI R Bear CBBC Feb 2016 E 200,000,000 2015/07/16 2016/02/26 50.0063962 Credit Suisse AG – HSI R Bear CBBC Feb 2016 F 200,000,000 2015/07/16 2016/02/26 50.0064134 Credit Suisse AG – ICBC R Bull CBBC Jan 2016 A 80,000,000 2015/07/16 2016/01/28 20.0064127 Credit Suisse AG – Ping An R Bull CBBC Jan 2016 D 100,000,000 2015/07/16 2016/01/28 25.0064129 Credit Suisse AG – Ping An R Bull CBBC Jan 2016 E 100,000,000 2015/07/16 2016/01/28 25.0064124 Credit Suisse AG – TCH R Bull CBBC Jan 2016 B 80,000,000 2015/07/16 2016/01/28 20.0063845 HK Bank – BOCL R Bull CBBC Sep 2016 A 100,000,000 2015/07/16 2016/09/29 25.0063856 HK Bank – BOCL R Bull CBBC Oct 2016 A 100,000,000 2015/07/16 2016/10/31 25.0063792 HK Bank – Minsheng Bank R Bull CBBC Oct 2016 B 60,000,000 2015/07/16 2016/10/31 15.0063887 HK Bank – CSOP A50 ETF R Bear CBBC Jul 2016 C 40,000,000 2015/07/16 2016/07/25 10.0063793 HK Bank – A50 R Bull CBBC Jun 2016 B 200,000,000 2015/07/16 2016/06/27 50.0063866 HK Bank – A50 R Bull CBBC Jul 2016 A 200,000,000 2015/07/16 2016/07/25 60.0063876 HK Bank – A50 R Bull CBBC Aug 2016 A 200,000,000 2015/07/16 2016/08/29 80.0063885 HK Bank – A50 R Bear CBBC Aug 2016 A 50,000,000 2015/07/16 2016/08/29 12.5063802 HK Bank – HKEx R Bull CBBC Jun 2016 L 80,000,000 2015/07/16 2016/06/30 44.8063803 HK Bank – HKEx R Bull CBBC Jul 2016 G 80,000,000 2015/07/16 2016/07/06 52.8063819 HK Bank – HKEx R Bull CBBC Sep 2016 B 80,000,000 2015/07/16 2016/09/30 68.8063789 HK Bank – HSCEI R Bull CBBC Sep 2016 C 100,000,000 2015/07/16 2016/09/29 25.0063790 HK Bank – HSCEI R Bull CBBC Oct 2016 A 100,000,000 2015/07/16 2016/10/28 25.00




63767 HK Bank – HSCEI R Bull CBBC Nov 2016 A 100,000,000 2015/07/16 2016/11/29 28.0063773 HK Bank – HSCEI R Bull CBBC Dec 2016 A 100,000,000 2015/07/16 2016/12/29 44.0063801 HK Bank – HSCEI R Bear CBBC May 2016 H 68,000,000 2015/07/16 2016/05/30 17.0063749 HK Bank – HSI R Bull CBBC Aug 2016 E 150,000,000 2015/07/16 2016/08/30 37.5063755 HK Bank – HSI R Bull CBBC Sep 2016 F 150,000,000 2015/07/16 2016/09/29 37.5063756 HK Bank – HSI R Bull CBBC Sep 2016 G 150,000,000 2015/07/16 2016/09/29 37.5063757 HK Bank – HSI R Bull CBBC Oct 2016 B 400,000,000 2015/07/16 2016/10/28 100.0063760 HK Bank – HSI R Bull CBBC Oct 2016 C 400,000,000 2015/07/16 2016/10/28 100.0063735 HK Bank – HSI R Bull CBBC Nov 2016 A 150,000,000 2015/07/16 2016/11/29 37.5063759 HK Bank – HSI R Bull CBBC Nov 2016 B 400,000,000 2015/07/16 2016/11/29 104.0063766 HK Bank – HSI R Bull CBBC Nov 2016 C 400,000,000 2015/07/16 2016/11/29 100.0063747 HK Bank – HSI R Bull CBBC Dec 2016 A 150,000,000 2015/07/16 2016/12/29 37.5063763 HK Bank – HSI R Bull CBBC Dec 2016 B 400,000,000 2015/07/16 2016/12/29 128.0063774 HK Bank – HSI R Bull CBBC Dec 2016 C 400,000,000 2015/07/16 2016/12/29 152.0063780 HK Bank – HSI R Bear CBBC Apr 2016 S 100,000,000 2015/07/16 2016/04/28 25.0063778 HK Bank – HSI R Bear CBBC May 2016 M 100,000,000 2015/07/16 2016/05/30 25.0063777 HK Bank – HSI R Bear CBBC Jun 2016 G 100,000,000 2015/07/16 2016/06/29 25.0063786 HK Bank – HSI R Bear CBBC Aug 2016 B 400,000,000 2015/07/16 2016/08/30 100.0063784 HK Bank – HSI R Bear CBBC Sep 2016 A 400,000,000 2015/07/16 2016/09/29 100.0063827 HK Bank – TCH R Bull CBBC Jul 2016 C 100,000,000 2015/07/16 2016/07/11 25.0063835 HK Bank – TCH R Bull CBBC Aug 2016 A 100,000,000 2015/07/16 2016/08/29 44.0063967 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 I 200,000,000 2015/07/16 2016/03/30 50.0063968 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 L 200,000,000 2015/07/16 2016/04/28 50.0063969 J P Morgan SP BV – HSI R Bull CBBC May 2016 E 200,000,000 2015/07/16 2016/05/30 50.0063975 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 B 200,000,000 2015/07/16 2016/07/28 50.0063891 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 T 200,000,000 2015/07/16 2015/11/27 50.0063892 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/07/16 2015/12/30 50.0063895 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 K 200,000,000 2015/07/16 2015/12/30 50.0063896 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 G 200,000,000 2015/07/16 2016/01/28 50.0064298 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Feb 2016A 50,000,000 2015/07/16 2016/02/19 12.5064300 Standard Chartered Bank – A50 China R Bull CBBC Mar 2016 A 50,000,000 2015/07/16 2016/03/11 12.5063947 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 G 100,000,000 2015/07/16 2015/11/27 25.0063950 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 H 100,000,000 2015/07/16 2015/11/27 25.0063946 Standard Chartered Bank – HSI R Bull CBBC Dec 2015 C 150,000,000 2015/07/16 2015/12/30 37.5063942 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 E 100,000,000 2015/07/16 2015/11/27 25.0063944 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 F 150,000,000 2015/07/16 2015/11/27 37.5063931 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 A 150,000,000 2015/07/16 2015/12/30 37.5064107 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Dec15L 200,000,000 2015/07/16 2015/12/30 50.0064110 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Dec15M 200,000,000 2015/07/16 2015/12/30 50.0063907 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 D 200,000,000 2015/07/16 2016/02/26 50.0063897 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 R 200,000,000 2015/07/16 2016/03/30 50.0063903 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 S 200,000,000 2015/07/16 2016/03/30 50.0063904 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 T 200,000,000 2015/07/16 2016/03/30 50.0064113 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 U 200,000,000 2015/07/16 2016/03/30 50.0064114 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 V 200,000,000 2015/07/16 2016/03/30 50.00




63912 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 E 200,000,000 2015/07/16 2016/02/26 50.0063915 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 F 200,000,000 2015/07/16 2016/02/26 50.0063926 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 G 200,000,000 2015/07/16 2016/02/26 50.0063927 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 H 200,000,000 2015/07/16 2016/02/26 50.0063928 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 I 200,000,000 2015/07/16 2016/02/26 50.0063930 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 J 200,000,000 2015/07/16 2016/02/26 50.0064106 UBS AG – HSCEI R Bear CBBC Nov 2015 N 200,000,000 2015/07/16 2015/11/27 50.0064175 UBS AG – HSI R Bull CBBC Jan 2016 D 200,000,000 2015/07/16 2016/01/28 50.0064170 UBS AG – HSI R Bull CBBC Jan 2016 I 200,000,000 2015/07/16 2016/01/28 50.0064217 UBS AG – HSI R Bull CBBC Feb 2016 I 200,000,000 2015/07/16 2016/02/26 50.0064174 UBS AG – HSI R Bull CBBC Feb 2016 N 200,000,000 2015/07/16 2016/02/26 50.0064176 UBS AG – HSI R Bull CBBC Feb 2016 O 200,000,000 2015/07/16 2016/02/26 50.0064204 UBS AG – HSI R Bull CBBC Feb 2016 P 200,000,000 2015/07/16 2016/02/26 50.0064199 UBS AG – HSI R Bull CBBC Mar 2016 Q 200,000,000 2015/07/16 2016/03/30 50.0064215 UBS AG – HSI R Bull CBBC Mar 2016 R 200,000,000 2015/07/16 2016/03/30 50.0064225 UBS AG – HSI R Bull CBBC Mar 2016 S 200,000,000 2015/07/16 2016/03/30 50.0064313 UBS AG – HSI R Bull CBBC Mar 2016 T 200,000,000 2015/07/16 2016/03/30 50.0064226 UBS AG – HSI R Bull CBBC Apr 2016 H 200,000,000 2015/07/16 2016/04/28 50.0064230 UBS AG – HSI R Bull CBBC Jul 2016 H 200,000,000 2015/07/16 2016/07/28 50.0064231 UBS AG – HSI R Bull CBBC Jul 2016 I 200,000,000 2015/07/16 2016/07/28 50.0064069 UBS AG – HSI R Bear CBBC Dec 2015 S 200,000,000 2015/07/16 2015/12/30 50.0064083 UBS AG – HSI R Bear CBBC Dec 2015 T 200,000,000 2015/07/16 2015/12/30 50.0064087 UBS AG – HSI R Bear CBBC Dec 2015 U 200,000,000 2015/07/16 2015/12/30 50.0064095 UBS AG – HSI R Bear CBBC Dec 2015 V 200,000,000 2015/07/16 2015/12/30 50.0064068 UBS AG – HSI R Bear CBBC Jan 2016 J 200,000,000 2015/07/16 2016/01/28 50.0064076 UBS AG – HSI R Bear CBBC Jan 2016 K 200,000,000 2015/07/16 2016/01/28 50.0064086 UBS AG – HSI R Bear CBBC Jan 2016 L 200,000,000 2015/07/16 2016/01/28 50.0064088 UBS AG – HSI R Bear CBBC Jan 2016 M 200,000,000 2015/07/16 2016/01/28 50.0064097 UBS AG – HSI R Bear CBBC Jan 2016 N 200,000,000 2015/07/16 2016/01/28 50.0064103 UBS AG – HSI R Bear CBBC Jan 2016 O 200,000,000 2015/07/16 2016/01/28 50.0064105 UBS AG – HSI R Bear CBBC Jan 2016 P 200,000,000 2015/07/16 2016/01/28 50.0064738 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15C 150,000,000 2015/07/17 2015/12/31 37.5064735 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Dec15Z 150,000,000 2015/07/17 2015/12/31 37.5064744 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Dec 2015 T 150,000,000 2015/07/17 2015/12/31 37.5064731 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2015 C 100,000,000 2015/07/17 2015/12/30 25.0064729 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 M 250,000,000 2015/07/17 2016/01/28 62.5064725 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 N 250,000,000 2015/07/17 2016/01/28 62.5064722 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 R 250,000,000 2015/07/17 2016/01/28 62.5064724 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 I 250,000,000 2015/07/17 2016/02/26 62.5064727 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 J 250,000,000 2015/07/17 2016/02/26 62.5064753 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Dec 2015 H 68,000,000 2015/07/17 2015/12/31 17.0064574 Credit Suisse AG – China Life R Bull CBBC May 2016 A 80,000,000 2015/07/17 2016/05/31 30.4064560 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2016 B 100,000,000 2015/07/17 2016/02/25 25.0064561 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2016 C 100,000,000 2015/07/17 2016/02/25 25.0064562 Credit Suisse AG – A50 China R Bull CBBC Feb 2016 D 100,000,000 2015/07/17 2016/02/25 25.00




64718 Credit Suisse AG – HS H-SH ETF R Bull CBBC Jan 2016 D 100,000,000 2015/07/17 2016/01/28 25.0064721 Credit Suisse AG – HS H-SH ETF R Bull CBBC Jan 2016 E 100,000,000 2015/07/17 2016/01/28 25.0064694 Credit Suisse AG – HSI R Bull CBBC Mar 2016 E 200,000,000 2015/07/17 2016/03/30 50.0064827 Credit Suisse AG – HSI R Bull CBBC Mar 2016 F 200,000,000 2015/07/17 2016/03/30 50.0064835 Credit Suisse AG – HSI R Bull CBBC Mar 2016 G 200,000,000 2015/07/17 2016/03/30 50.0064842 Credit Suisse AG – HSI R Bull CBBC Mar 2016 H 200,000,000 2015/07/17 2016/03/30 50.0064587 Credit Suisse AG – HSI R Bull CBBC Mar 2016 V 200,000,000 2015/07/17 2016/03/30 50.0064599 Credit Suisse AG – HSI R Bull CBBC Mar 2016 W 200,000,000 2015/07/17 2016/03/30 50.0064600 Credit Suisse AG – HSI R Bull CBBC Mar 2016 X 200,000,000 2015/07/17 2016/03/30 50.0064601 Credit Suisse AG – HSI R Bull CBBC Mar 2016 Y 200,000,000 2015/07/17 2016/03/30 50.0064603 Credit Suisse AG – HSI R Bull CBBC Mar 2016 Z 200,000,000 2015/07/17 2016/03/30 50.0064496 Credit Suisse AG – HSI R Bear CBBC Feb 2016 G 200,000,000 2015/07/17 2016/02/26 50.0064514 Credit Suisse AG – HSI R Bear CBBC Feb 2016 H 200,000,000 2015/07/17 2016/02/26 50.0064515 Credit Suisse AG – HSI R Bear CBBC Feb 2016 I 200,000,000 2015/07/17 2016/02/26 50.0064522 Credit Suisse AG – HSI R Bear CBBC Feb 2016 J 200,000,000 2015/07/17 2016/02/26 50.0064530 Credit Suisse AG – HSI R Bear CBBC Feb 2016 K 200,000,000 2015/07/17 2016/02/26 50.0064532 Credit Suisse AG – HSI R Bear CBBC Feb 2016 L 200,000,000 2015/07/17 2016/02/26 50.0064581 Credit Suisse AG – Ping An R Bull CBBC Feb 2016 A 100,000,000 2015/07/17 2016/02/25 25.0064573 Credit Suisse AG – TCH R Bull CBBC Feb 2016 B 100,000,000 2015/07/17 2016/02/25 25.0064848 Bank of East Asia – China Mobile R Bull CBBC Aug 2016 A 40,000,000 2015/07/17 2016/08/08 10.0064849 Bank of East Asia – COVS R Bull CBBC Jul 2016 A 40,000,000 2015/07/17 2016/07/14 20.0064847 Bank of East Asia – CITIC Sec R Bull CBBC Dec 2016 A 40,000,000 2015/07/17 2016/12/06 24.0064844 Bank of East Asia – Haitong Sec R Bull CBBC Dec 2016 A 40,000,000 2015/07/17 2016/12/08 18.0064454 HK Bank – China Mobile R Bull CBBC Jul 2016 B 120,000,000 2015/07/17 2016/07/05 30.0064377 HK Bank – China Mobile R Bull CBBC Oct 2016 B 120,000,000 2015/07/17 2016/10/05 30.0064396 HK Bank – China Mobile R Bull CBBC Nov 2016 A 120,000,000 2015/07/17 2016/11/07 30.0064348 HK Bank – China Life R Bull CBBC Jul 2016 A 60,000,000 2015/07/17 2016/07/14 46.2064353 HK Bank – CSOP A50 ETF R Bull CBBC Feb 2016 L 200,000,000 2015/07/17 2016/02/29 50.0064355 HK Bank – CSOP A50 ETF R Bull CBBC Mar 2016 L 200,000,000 2015/07/17 2016/03/07 50.0064325 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2016 F 200,000,000 2015/07/17 2016/04/18 50.0064326 HK Bank – CSOP A50 ETF R Bull CBBC May 2016 D 200,000,000 2015/07/17 2016/05/30 50.0064376 HK Bank – A50 R Bull CBBC Mar 2016 J 200,000,000 2015/07/17 2016/03/07 50.0064371 HK Bank – A50 R Bull CBBC Apr 2016 H 50,000,000 2015/07/17 2016/04/18 12.5064358 HK Bank – A50 R Bull CBBC Jun 2016 C 200,000,000 2015/07/17 2016/06/06 50.0064352 HK Bank – HKEx R Bull CBBC Feb 2016 F 80,000,000 2015/07/17 2016/02/01 20.0064337 HK Bank – HSCEI R Bear CBBC Apr 2016 K 68,000,000 2015/07/17 2016/04/28 17.0064331 HK Bank – HSI R Bear CBBC Dec 2016 A 100,000,000 2015/07/17 2016/12/29 25.0064338 HK Bank – Ping An R Bull CBBC Nov 2016 A 188,000,000 2015/07/17 2016/11/29 47.0064349 HK Bank – TCH R Bull CBBC Jan 2016 M 100,000,000 2015/07/17 2016/01/25 25.0064772 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 K 200,000,000 2015/07/17 2016/03/30 50.0064786 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 M 200,000,000 2015/07/17 2016/04/28 50.0064779 J P Morgan SP BV – HSI R Bull CBBC May 2016 F 200,000,000 2015/07/17 2016/05/30 50.0064798 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 E 200,000,000 2015/07/17 2016/06/29 50.0064808 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 C 200,000,000 2015/07/17 2016/07/28 50.0064555 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 U 200,000,000 2015/07/17 2015/11/27 50.00




64556 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/07/17 2015/12/30 50.0064819 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 M 200,000,000 2015/07/17 2015/12/30 50.0064822 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 H 200,000,000 2015/07/17 2016/01/28 50.0064547 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 I 150,000,000 2015/07/17 2015/11/27 37.5064553 Standard Chartered Bank – HSI R Bull CBBC Dec 2015 D 100,000,000 2015/07/17 2015/12/30 25.0064533 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 G 100,000,000 2015/07/17 2015/11/27 25.0064544 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 H 100,000,000 2015/07/17 2015/11/27 25.0064461 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 W 200,000,000 2015/07/17 2016/03/30 50.0064470 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 X 200,000,000 2015/07/17 2016/03/30 50.0064825 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 Y 200,000,000 2015/07/17 2016/03/30 50.0064488 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 K 200,000,000 2015/07/17 2016/02/26 50.0064489 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 L 200,000,000 2015/07/17 2016/02/26 50.0064651 UBS AG – HSI R Bull CBBC Feb 2016 L 200,000,000 2015/07/17 2016/02/26 50.0064680 UBS AG – HSI R Bull CBBC Feb 2016 Q 200,000,000 2015/07/17 2016/02/26 50.0064664 UBS AG – HSI R Bull CBBC Mar 2016 U 200,000,000 2015/07/17 2016/03/30 50.0064629 UBS AG – HSI R Bull CBBC Mar 2016 V 200,000,000 2015/07/17 2016/03/30 50.0064659 UBS AG – HSI R Bull CBBC Mar 2016 W 200,000,000 2015/07/17 2016/03/30 50.0064673 UBS AG – HSI R Bull CBBC Mar 2016 X 200,000,000 2015/07/17 2016/03/30 50.0064682 UBS AG – HSI R Bull CBBC Apr 2016 I 200,000,000 2015/07/17 2016/04/28 50.0064687 UBS AG – HSI R Bull CBBC May 2016 F 200,000,000 2015/07/17 2016/05/30 50.0064693 UBS AG – HSI R Bull CBBC Jun 2016 I 200,000,000 2015/07/17 2016/06/29 50.0064607 UBS AG – HSI R Bear CBBC Dec 2015 W 200,000,000 2015/07/17 2015/12/30 50.0064628 UBS AG – HSI R Bear CBBC Dec 2015 X 200,000,000 2015/07/17 2015/12/30 50.0064611 UBS AG – HSI R Bear CBBC Jan 2016 Q 200,000,000 2015/07/17 2016/01/28 50.0064612 UBS AG – HSI R Bear CBBC Jan 2016 R 200,000,000 2015/07/17 2016/01/28 50.0064621 UBS AG – HSI R Bear CBBC Jan 2016 S 200,000,000 2015/07/17 2016/01/28 50.0065047 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2015 N 100,000,000 2015/07/20 2015/11/27 25.0065023 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Jan 2016 S 250,000,000 2015/07/20 2016/01/28 62.5065025 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 K 250,000,000 2015/07/20 2016/02/26 62.5065041 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 L 250,000,000 2015/07/20 2016/02/26 62.5065043 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Feb 2016 M 250,000,000 2015/07/20 2016/02/26 62.5064946 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 C 108,000,000 2015/07/20 2016/03/30 27.0064948 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 D 108,000,000 2015/07/20 2016/03/30 27.0064949 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 B 108,000,000 2015/07/20 2015/12/30 27.0064952 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 C 108,000,000 2015/07/20 2015/12/30 27.0064957 Credit Suisse AG – HSI R Bull CBBC Mar 2016 A 200,000,000 2015/07/20 2016/03/30 50.0064953 Credit Suisse AG – HSI R Bull CBBC Apr 2016 N 200,000,000 2015/07/20 2016/04/28 50.0064956 Credit Suisse AG – HSI R Bull CBBC Apr 2016 O 200,000,000 2015/07/20 2016/04/28 50.0064959 Credit Suisse AG – HSI R Bull CBBC Apr 2016 P 200,000,000 2015/07/20 2016/04/28 50.0064965 Credit Suisse AG – HSI R Bull CBBC Apr 2016 Q 200,000,000 2015/07/20 2016/04/28 50.0064973 Credit Suisse AG – HSI R Bull CBBC Apr 2016 R 200,000,000 2015/07/20 2016/04/28 50.0064913 Credit Suisse AG – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/07/20 2016/01/28 50.0064915 Credit Suisse AG – HSI R Bear CBBC Jan 2016 W 200,000,000 2015/07/20 2016/01/28 50.0064906 Credit Suisse AG – HSI R Bear CBBC Feb 2016 M 200,000,000 2015/07/20 2016/02/26 50.0064914 Credit Suisse AG – HSI R Bear CBBC Feb 2016 N 200,000,000 2015/07/20 2016/02/26 50.00




64919 Credit Suisse AG – HSI R Bear CBBC Feb 2016 O 200,000,000 2015/07/20 2016/02/26 50.0064878 HK Bank – AIA R Bull CBBC Sep 2016 A 60,000,000 2015/07/20 2016/09/26 30.0064875 HK Bank – BOCL R Bull CBBC Sep 2016 B 100,000,000 2015/07/20 2016/09/12 25.0064870 HK Bank – CITIC Sec R Bull CBBC Sep 2016 A 60,000,000 2015/07/20 2016/09/26 42.0064872 HK Bank – Minsheng Bank R Bull CBBC Oct 2016 C 60,000,000 2015/07/20 2016/10/04 15.0064876 HK Bank – CNOOC R Bull CBBC Jul 2016 B 60,000,000 2015/07/20 2016/07/25 15.0064852 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2016 G 200,000,000 2015/07/20 2016/04/25 50.0064869 HK Bank – A50 R Bull CBBC Apr 2016 I 200,000,000 2015/07/20 2016/04/25 50.0064851 HK Bank – HSI R Bull CBBC Sep 2016 H 400,000,000 2015/07/20 2016/09/29 100.0064877 HK Bank – Lenovo R Bull CBBC Sep 2016 C 60,000,000 2015/07/20 2016/09/26 15.0064889 HK Bank – Ping An R Bull CBBC Oct 2016 C 188,000,000 2015/07/20 2016/10/17 47.0065001 J P Morgan SP BV – HSI R Bull CBBC May 2016 G 200,000,000 2015/07/20 2016/05/30 50.0065005 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 F 200,000,000 2015/07/20 2016/06/29 50.0065006 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 D 200,000,000 2015/07/20 2016/07/28 50.0064943 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 V 200,000,000 2015/07/20 2015/11/27 50.0064944 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 N 200,000,000 2015/07/20 2015/12/30 50.0065007 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 I 200,000,000 2015/07/20 2016/01/28 50.0064890 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 J 100,000,000 2015/07/20 2015/11/27 25.0064891 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 K 150,000,000 2015/07/20 2015/11/27 37.5064896 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 I 150,000,000 2015/07/20 2015/11/27 37.5064898 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 J 100,000,000 2015/07/20 2015/11/27 25.0064937 SGA Societe Generale Acceptance N.V. – HKEx R Bull CBBC Feb16E 200,000,000 2015/07/20 2016/02/26 50.0064922 SGA Societe Generale Acceptance N.V. – HKEx R Bull CBBC Mar16D 200,000,000 2015/07/20 2016/03/30 66.0064920 SGA Societe Generale Acceptance N.V. – HKEx R Bull CBBC Apr16A 200,000,000 2015/07/20 2016/04/28 86.0064923 SGA Societe Generale Acceptance N.V. – HKEx R Bear CBBC Nov15D 200,000,000 2015/07/20 2015/11/27 94.0064924 SGA Societe Generale Acceptance N.V. – HKEx R Bear CBBC Dec15B 200,000,000 2015/07/20 2015/12/30 134.0064899 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jan16L 200,000,000 2015/07/20 2016/01/28 50.0064902 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 G 200,000,000 2015/07/20 2016/02/26 50.0064904 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 H 200,000,000 2015/07/20 2016/02/26 50.0065000 UBS AG – HSCEI R Bull CBBC Apr 2016 B 200,000,000 2015/07/20 2016/04/28 50.0064974 UBS AG – HSI R Bull CBBC May 2016 G 200,000,000 2015/07/20 2016/05/30 50.0064985 UBS AG – HSI R Bull CBBC May 2016 H 200,000,000 2015/07/20 2016/05/30 50.0064995 UBS AG – HSI R Bull CBBC May 2016 I 200,000,000 2015/07/20 2016/05/30 50.0064998 UBS AG – HSI R Bull CBBC May 2016 J 200,000,000 2015/07/20 2016/05/30 50.0064992 UBS AG – HSI R Bull CBBC Jun 2016 J 200,000,000 2015/07/20 2016/06/29 50.0064996 UBS AG – HSI R Bull CBBC Jun 2016 K 200,000,000 2015/07/20 2016/06/29 50.0064939 UBS AG – HSI R Bear CBBC Jan 2016 T 200,000,000 2015/07/20 2016/01/28 50.0064940 UBS AG – HSI R Bear CBBC Jan 2016 U 200,000,000 2015/07/20 2016/01/28 50.0064941 UBS AG – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/07/20 2016/01/28 50.0062030# HK Bank – HSI R Bull CBBC Sep 2016 B 200,000,000 2015/07/20 2016/09/29 10.4065299 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 A 250,000,000 2015/07/21 2016/12/29 62.5065303 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 B 250,000,000 2015/07/21 2016/12/29 62.5065304 BNP Paribas Arbit Issu B.V. – TCH R Bull CBBC Dec 2015 F 50,000,000 2015/07/21 2015/12/31 12.5065222 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 C 108,000,000 2015/07/21 2016/02/26 27.0065225 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 D 108,000,000 2015/07/21 2016/02/26 27.00




65228 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 D 108,000,000 2015/07/21 2015/12/30 27.0065185 Credit Suisse AG – HSI R Bull CBBC Feb 2016 E 200,000,000 2015/07/21 2016/02/26 50.0065199 Credit Suisse AG – HSI R Bull CBBC Feb 2016 F 200,000,000 2015/07/21 2016/02/26 50.0065211 Credit Suisse AG – HSI R Bull CBBC Feb 2016 G 200,000,000 2015/07/21 2016/02/26 50.0065217 Credit Suisse AG – HSI R Bull CBBC Feb 2016 Z 200,000,000 2015/07/21 2016/02/26 50.0065262 Credit Suisse AG – HSI R Bear CBBC Dec 2015 K 200,000,000 2015/07/21 2015/12/30 50.0065241 Credit Suisse AG – HSI R Bear CBBC Dec 2015 M 200,000,000 2015/07/21 2015/12/30 50.0065242 Credit Suisse AG – HSI R Bear CBBC Dec 2015 N 200,000,000 2015/07/21 2015/12/30 50.0065251 Bank of East Asia – CC Bank R Bull CBBC Jul 2016 A 60,000,000 2015/07/21 2016/07/19 15.0065246 Bank of East Asia – CSOP A50 ETF R Bull CBBC May 2016 B 60,000,000 2015/07/21 2016/05/12 15.0065245 Bank of East Asia – HKEx R Bull CBBC Jun 2016 A 40,000,000 2015/07/21 2016/06/24 16.0065243 Bank of East Asia – HS H-SH ETF R Bull CBBC May 2016 C 40,000,000 2015/07/21 2016/05/24 10.0065248 Bank of East Asia – Ping An R Bull CBBC May 2016 D 40,000,000 2015/07/21 2016/05/27 10.0065071 HK Bank – China Mobile R Bull CBBC Oct 2016 C 120,000,000 2015/07/21 2016/10/19 30.0065091 HK Bank – China Life R Bull CBBC Jul 2016 B 60,000,000 2015/07/21 2016/07/25 30.0065086 HK Bank – CSOP A50 ETF R Bull CBBC May 2016 E 200,000,000 2015/07/21 2016/05/09 50.0065088 HK Bank – CSOP A50 ETF R Bull CBBC May 2016 F 200,000,000 2015/07/21 2016/05/23 50.0065090 HK Bank – A50 R Bull CBBC May 2016 E 200,000,000 2015/07/21 2016/05/09 50.0065056 HK Bank – HSCEI R Bull CBBC Jul 2016 D 100,000,000 2015/07/21 2016/07/28 25.0065068 HK Bank – HSI R Bull CBBC Jul 2016 I 400,000,000 2015/07/21 2016/07/28 100.0065057 HK Bank – HSI R Bull CBBC Aug 2016 F 150,000,000 2015/07/21 2016/08/30 37.5065093 HK Bank – Ping An R Bull CBBC Nov 2016 B 188,000,000 2015/07/21 2016/11/07 47.0065259 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 C 100,000,000 2015/07/21 2016/07/28 25.0065252 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 N 200,000,000 2015/07/21 2016/04/28 50.0065253 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 G 200,000,000 2015/07/21 2016/06/29 50.0065257 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 W 200,000,000 2015/07/21 2015/11/27 50.0065315 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 O 200,000,000 2015/07/21 2015/12/30 50.0065111 Standard Chartered Bank – HSCEI R Bear CBBC Nov 2015 B 100,000,000 2015/07/21 2015/11/27 25.0065098 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 L 100,000,000 2015/07/21 2015/11/27 25.0065100 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 M 100,000,000 2015/07/21 2015/11/27 25.0065107 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 K 150,000,000 2015/07/21 2015/11/27 37.5065183 SGA Societe Generale Acceptance N.V. – BOCL R Bull CBBC Mar16A 100,000,000 2015/07/21 2016/03/30 25.0065176 SGA Societe Generale Acceptance N.V. – BOCL R Bull CBBC Aug16A 100,000,000 2015/07/21 2016/08/30 25.0065113 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jan16F 100,000,000 2015/07/21 2016/01/28 34.0065119 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jan16G 100,000,000 2015/07/21 2016/01/28 25.0065118 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Feb16F 100,000,000 2015/07/21 2016/02/26 25.0065117 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Mar16D 100,000,000 2015/07/21 2016/03/30 26.0065127 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jan16 E 100,000,000 2015/07/21 2016/01/28 25.0065126 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Feb16 F 100,000,000 2015/07/21 2016/02/26 25.0065125 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Mar16 C 100,000,000 2015/07/21 2016/03/30 25.0065128 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Dec15A 100,000,000 2015/07/21 2015/12/30 25.0065132 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 Z 200,000,000 2015/07/21 2016/03/30 50.0065136 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 W 200,000,000 2015/07/21 2016/01/28 50.0065163 SGA Societe Generale Acceptance N.V. – ICBC R Bull CBBC Jul16A 100,000,000 2015/07/21 2016/07/28 25.0065168 SGA Societe Generale Acceptance NV – PingAn R Bull CBBC Mar16B 200,000,000 2015/07/21 2016/03/30 50.00




65175 SGA Societe Generale Acceptance NV – PingAn R Bull CBBC Apr16A 200,000,000 2015/07/21 2016/04/28 50.0065149 SGA Societe Generale Acceptance N.V. – TCH R Bull CBBC Feb16A 200,000,000 2015/07/21 2016/02/26 64.0065159 SGA Societe Generale Acceptance N.V. – TCH R Bull CBBC Mar16A 200,000,000 2015/07/21 2016/03/30 50.0065158 SGA Societe Generale Acceptance N.V. – TCH R Bull CBBC Apr16A 200,000,000 2015/07/21 2016/04/28 50.0065162 SGA Societe Generale Acceptance N.V. – TCH R Bear CBBC Feb16A 200,000,000 2015/07/21 2016/02/26 50.0065283 UBS AG – HSCEI R Bull CBBC Feb 2016 L 200,000,000 2015/07/21 2016/02/26 50.0065287 UBS AG – HSCEI R Bear CBBC Nov 2015 O 200,000,000 2015/07/21 2015/11/27 50.0065276 UBS AG – HSI R Bull CBBC Apr 2016 J 200,000,000 2015/07/21 2016/04/28 50.0065281 UBS AG – HSI R Bull CBBC Apr 2016 K 200,000,000 2015/07/21 2016/04/28 50.0065265 UBS AG – HSI R Bull CBBC Jun 2016 L 200,000,000 2015/07/21 2016/06/29 50.0065286 UBS AG – HSI R Bear CBBC Oct 2015 Y 200,000,000 2015/07/21 2015/10/29 50.0065285 UBS AG – HSI R Bear CBBC Jan 2016 W 200,000,000 2015/07/21 2016/01/28 50.0065307 UBS AG – Ping An R Bull CBBC Aug 2016 D 50,000,000 2015/07/21 2016/08/15 12.5065392 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2016 D 100,000,000 2015/07/22 2016/02/25 25.0065402 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Mar 2016 A 100,000,000 2015/07/22 2016/03/31 25.0065404 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jan 2016 A 100,000,000 2015/07/22 2016/01/28 25.0065407 Credit Suisse AG – A50 China R Bull CBBC Mar 2016 A 100,000,000 2015/07/22 2016/03/31 25.0065409 Credit Suisse AG – A50 China R Bear CBBC Jan 2016 A 100,000,000 2015/07/22 2016/01/28 25.0065411 Credit Suisse AG – A50 China R Bear CBBC Jan 2016 B 100,000,000 2015/07/22 2016/01/28 25.0065412 Credit Suisse AG – HKEx R Bear CBBC Jan 2016 A 100,000,000 2015/07/22 2016/01/28 25.0065364 Credit Suisse AG – HSI R Bull CBBC Mar 2016 B 200,000,000 2015/07/22 2016/03/30 50.0065388 Credit Suisse AG – HSI R Bull CBBC Mar 2016 C 200,000,000 2015/07/22 2016/03/30 50.0065391 Credit Suisse AG – HSI R Bull CBBC Mar 2016 I 200,000,000 2015/07/22 2016/03/30 50.0065418 Credit Suisse AG – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/07/22 2016/01/28 50.0065420 Credit Suisse AG – HSI R Bear CBBC Mar 2016 A 200,000,000 2015/07/22 2016/03/30 50.0065416 Credit Suisse AG – Ping An R Bull CBBC Mar 2016 A 100,000,000 2015/07/22 2016/03/31 25.0065414 Credit Suisse AG – TCH R Bull CBBC Mar 2016 A 100,000,000 2015/07/22 2016/03/31 25.0065325 HK Bank – CSOP A50 ETF R Bear CBBC Aug 2016 A 40,000,000 2015/07/22 2016/08/08 10.0065326 HK Bank – A50 R Bear CBBC Sep 2016 A 50,000,000 2015/07/22 2016/09/26 12.5065319 HK Bank – Galaxy Ent R Bull CBBC Oct 2016 A 50,000,000 2015/07/22 2016/10/31 25.0065321 HK Bank – HKEx R Bull CBBC Jul 2016 H 100,000,000 2015/07/22 2016/07/06 32.0065320 HK Bank – HKEx R Bull CBBC Oct 2016 C 100,000,000 2015/07/22 2016/10/12 45.0065324 HK Bank – Ping An R Bull CBBC Dec 2016 A 188,000,000 2015/07/22 2016/12/19 47.0065317 HK Bank – Sands China R Bull CBBC Aug 2016 A 50,000,000 2015/07/22 2016/08/29 26.0065327 HK Bank – TCH R Bull CBBC Jul 2016 D 100,000,000 2015/07/22 2016/07/18 25.0065331 HK Bank – TCH R Bull CBBC Jul 2016 E 100,000,000 2015/07/22 2016/07/05 25.0065336 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 H 200,000,000 2015/07/22 2016/06/29 50.0065344 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 E 200,000,000 2015/07/22 2016/07/28 50.0065450 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 X 200,000,000 2015/07/22 2015/11/27 50.0065452 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 P 200,000,000 2015/07/22 2015/12/30 50.0065346 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 N 150,000,000 2015/07/22 2015/11/27 37.5065347 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 O 100,000,000 2015/07/22 2015/11/27 25.0065345 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 L 100,000,000 2015/07/22 2015/11/27 25.0065335 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 K 200,000,000 2015/07/22 2016/01/28 50.0065332 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 F 400,000,000 2015/07/22 2016/04/28 100.00




65446 UBS AG – A50 China R Bull CBBC Feb 2016 E 50,000,000 2015/07/22 2016/02/22 12.5065442 UBS AG – HSCEI R Bear CBBC Oct 2015 S 200,000,000 2015/07/22 2015/10/29 50.0065423 UBS AG – HSI R Bull CBBC May 2016 K 200,000,000 2015/07/22 2016/05/30 50.0065429 UBS AG – HSI R Bull CBBC May 2016 L 200,000,000 2015/07/22 2016/05/30 50.0065430 UBS AG – HSI R Bull CBBC Sep 2016 A 200,000,000 2015/07/22 2016/09/29 68.0065440 UBS AG – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/07/22 2015/12/30 50.0065436 UBS AG – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/07/22 2016/01/28 50.0065443 UBS AG – TCH R Bull CBBC Sep 2016 B 50,000,000 2015/07/22 2016/09/12 12.5065444 UBS AG – Tencent R Bear CBBC May 2016 A 50,000,000 2015/07/22 2016/05/23 12.5065666 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 C 250,000,000 2015/07/23 2016/12/29 62.5065670 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 E 200,000,000 2015/07/23 2015/10/29 50.0065531 Credit Suisse AG – China Mobile R Bull CBBC Feb 2016 B 70,000,000 2015/07/23 2016/02/26 17.5065530 Credit Suisse AG – China Mobile R Bull CBBC Mar 2016 A 70,000,000 2015/07/23 2016/03/31 17.5065540 Credit Suisse AG – HS H-SH ETF R Bull CBBC Mar 2016 A 60,000,000 2015/07/23 2016/03/31 15.0065639 Credit Suisse AG – HSI R Bull CBBC May 2016 G 200,000,000 2015/07/23 2016/05/30 50.0065662 Credit Suisse AG – HSI R Bull CBBC May 2016 H 200,000,000 2015/07/23 2016/05/30 50.0065543 Credit Suisse AG – HSI R Bear CBBC Nov 2015 M 200,000,000 2015/07/23 2015/11/27 50.0065547 Credit Suisse AG – HSI R Bear CBBC Nov 2015 O 200,000,000 2015/07/23 2015/11/27 50.0065533 Credit Suisse AG – Ping An R Bull CBBC Mar 2016 B 100,000,000 2015/07/23 2016/03/31 25.0065536 Credit Suisse AG – Ping An R Bull CBBC Mar 2016 C 100,000,000 2015/07/23 2016/03/31 25.0065467 HK Bank – China Mobile R Bear CBBC Jul 2016 B 60,000,000 2015/07/23 2016/07/05 15.0065528 HK Bank – COVS R Bull CBBC Sep 2016 A 50,000,000 2015/07/23 2016/09/30 15.0065527 HK Bank – COVS R Bull CBBC Oct 2016 A 50,000,000 2015/07/23 2016/10/31 25.0065464 HK Bank – CITIC Sec R Bull CBBC Aug 2016 C 60,000,000 2015/07/23 2016/08/15 33.6065483 HK Bank – CNOOC R Bear CBBC Jul 2016 A 40,000,000 2015/07/23 2016/07/25 10.0065478 HK Bank – Sinopec Corp R Bear CBBC Jul 2016 B 40,000,000 2015/07/23 2016/07/25 10.0065454 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2016 H 200,000,000 2015/07/23 2016/04/06 50.0065455 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2016 I 200,000,000 2015/07/23 2016/04/11 50.0065459 HK Bank – A50 R Bull CBBC Apr 2016 J 200,000,000 2015/07/23 2016/04/06 50.0065460 HK Bank – A50 R Bull CBBC Apr 2016 K 200,000,000 2015/07/23 2016/04/11 50.0065489 HK Bank – HSCEI R Bull CBBC Oct 2016 B 100,000,000 2015/07/23 2016/10/28 25.0065491 HK Bank – HSI R Bull CBBC Oct 2016 D 150,000,000 2015/07/23 2016/10/28 37.5065500 HK Bank – HSI R Bull CBBC Nov 2016 D 150,000,000 2015/07/23 2016/11/29 37.5065503 HK Bank – HSI R Bull CBBC Dec 2016 D 150,000,000 2015/07/23 2016/12/29 37.5065525 HK Bank – HSI R Bear CBBC Mar 2016 X 100,000,000 2015/07/23 2016/03/30 25.0065526 HK Bank – HSI R Bear CBBC Mar 2016 Y 100,000,000 2015/07/23 2016/03/30 25.0065481 HK Bank – PetCh R Bear CBBC Jul 2016 A 40,000,000 2015/07/23 2016/07/25 10.0065678 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 L 200,000,000 2015/07/23 2016/03/30 50.0065679 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 O 200,000,000 2015/07/23 2016/04/28 50.0065672 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 Y 200,000,000 2015/07/23 2015/11/27 50.0065676 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 Q 200,000,000 2015/07/23 2015/12/30 50.0065560 Macquarie Bank Ltd. – HSI R Bull CBBC Oct 2015 D 40,000,000 2015/07/23 2015/10/29 10.2065568 Macquarie Bank Ltd. – HSI R Bull CBBC Nov 2015 A 40,000,000 2015/07/23 2015/11/27 10.0065549 Standard Chartered Bank – Galaxy Ent R Bull CBBC Jul 2016 A 50,000,000 2015/07/23 2016/07/04 35.0065550 Standard Chartered Bank – HKEx R Bull CBBC Jun 2016 A 50,000,000 2015/07/23 2016/06/27 12.50




65558 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 P 100,000,000 2015/07/23 2015/11/27 25.0065559 Standard Chartered Bank – HSI R Bull CBBC Dec 2015 E 150,000,000 2015/07/23 2015/12/30 37.5065552 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 B 150,000,000 2015/07/23 2015/12/30 37.5065574 UBS AG – China Mobile R Bear CBBC Apr 2016 A 50,000,000 2015/07/23 2016/04/18 12.5065625 UBS AG – A50 China R Bull CBBC Mar 2016 B 50,000,000 2015/07/23 2016/03/14 12.5065572 UBS AG – HKEx R Bull CBBC Sep 2016 B 50,000,000 2015/07/23 2016/09/19 12.5065610 UBS AG – HSCEI R Bull CBBC Jun 2016 D 200,000,000 2015/07/23 2016/06/29 50.0065637 UBS AG – HSI R Bull CBBC Apr 2016 L 200,000,000 2015/07/23 2016/04/28 50.0065599 UBS AG – HSI R Bull CBBC Jun 2016 M 200,000,000 2015/07/23 2016/06/29 50.0065638 UBS AG – HSI R Bull CBBC Jul 2016 J 200,000,000 2015/07/23 2016/07/28 50.0065609 UBS AG – HSI R Bull CBBC Aug 2016 D 200,000,000 2015/07/23 2016/08/30 79.0065598 UBS AG – HSI R Bear CBBC Dec 2015 Z 200,000,000 2015/07/23 2015/12/30 50.0065595 UBS AG – Ping An R Bull CBBC Sep 2016 B 50,000,000 2015/07/23 2016/09/05 12.5065627 UBS AG – TCH R Bull CBBC Oct 2016 B 50,000,000 2015/07/23 2016/10/03 12.5065636 UBS AG – Tencent R Bear CBBC Jun 2016 A 50,000,000 2015/07/23 2016/06/13 12.5065835 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 A 250,000,000 2015/07/24 2016/11/29 62.5065831 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 D 250,000,000 2015/07/24 2016/12/29 62.5065754 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Oct 2015 Z 200,000,000 2015/07/24 2015/10/29 50.0065746 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 W 200,000,000 2015/07/24 2015/11/27 50.0065837 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Nov 2015 X 200,000,000 2015/07/24 2015/11/27 50.0065786 Credit Suisse AG – HKEx R Bull CBBC Jan 2016 C 100,000,000 2015/07/24 2016/01/28 25.0065782 Credit Suisse AG – HKEx R Bull CBBC Feb 2016 E 100,000,000 2015/07/24 2016/02/25 25.0065787 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 E 108,000,000 2015/07/24 2016/03/30 27.0065790 Credit Suisse AG – HSCEI R Bear CBBC Nov 2015 H 108,000,000 2015/07/24 2015/11/27 27.0065854 Credit Suisse AG – HSI R Bull CBBC Jun 2016 A 200,000,000 2015/07/24 2016/06/29 50.0065855 Credit Suisse AG – HSI R Bull CBBC Jun 2016 B 200,000,000 2015/07/24 2016/06/29 50.0065857 Credit Suisse AG – HSI R Bull CBBC Jun 2016 C 200,000,000 2015/07/24 2016/06/29 50.0065898 Credit Suisse AG – HSI R Bull CBBC Jun 2016 D 200,000,000 2015/07/24 2016/06/29 50.0065849 Credit Suisse AG – HSI R Bear CBBC Jan 2016 J 200,000,000 2015/07/24 2016/01/28 50.0065850 Credit Suisse AG – HSI R Bear CBBC Jan 2016 K 200,000,000 2015/07/24 2016/01/28 50.0065791 Credit Suisse AG – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/07/24 2016/01/28 50.0065800 Credit Suisse AG – HSI R Bear CBBC Jan 2016 Z 200,000,000 2015/07/24 2016/01/28 50.0065684 HK Bank – ABC R Bull CBBC Oct 2016 C 80,000,000 2015/07/24 2016/10/31 20.0065695 HK Bank – BOCL R Bull CBBC Nov 2016 A 100,000,000 2015/07/24 2016/11/28 25.0065681 HK Bank – China Mobile R Bull CBBC Oct 2016 D 120,000,000 2015/07/24 2016/10/12 30.0065680 HK Bank – Minsheng Bank R Bull CBBC Oct 2016 D 60,000,000 2015/07/24 2016/10/18 15.0065702 HK Bank – CNOOC R Bull CBBC Jul 2016 C 60,000,000 2015/07/24 2016/07/25 15.0065700 HK Bank – Sinopec Corp R Bull CBBC Jul 2016 C 80,000,000 2015/07/24 2016/07/25 20.0065701 HK Bank – Sinopec Corp R Bull CBBC Oct 2016 A 80,000,000 2015/07/24 2016/10/31 20.0065740 HK Bank – A50 R Bull CBBC Aug 2016 B 200,000,000 2015/07/24 2016/08/01 76.0065724 HK Bank – HKEx R Bull CBBC Sep 2016 C 100,000,000 2015/07/24 2016/09/26 50.0065737 HK Bank – HKEx R Bull CBBC Oct 2016 D 100,000,000 2015/07/24 2016/10/31 77.0065718 HK Bank – HSCEI R Bear CBBC Aug 2016 B 68,000,000 2015/07/24 2016/08/30 17.0065719 HK Bank – HSCEI R Bear CBBC Aug 2016 C 68,000,000 2015/07/24 2016/08/30 17.0065704 HK Bank – HSI R Bull CBBC Dec 2016 E 400,000,000 2015/07/24 2016/12/29 100.00




65709 HK Bank – HSI R Bear CBBC Aug 2016 C 100,000,000 2015/07/24 2016/08/30 25.0065688 HK Bank – PetCh R Bull CBBC Jul 2016 B 60,000,000 2015/07/24 2016/07/25 15.0065699 HK Bank – PetCh R Bull CBBC Oct 2016 A 60,000,000 2015/07/24 2016/10/31 15.0065685 HK Bank – SHK Ppt R Bull CBBC Dec 2016 A 60,000,000 2015/07/24 2016/12/30 15.0065899 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Apr 2016 B 100,000,000 2015/07/24 2016/04/15 25.0065903 J P Morgan SP BV – A50 China R Bull CBBC Apr 2016 A 100,000,000 2015/07/24 2016/04/15 25.0065906 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 M 200,000,000 2015/07/24 2016/03/30 50.0065912 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 P 200,000,000 2015/07/24 2016/04/28 50.0065915 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 A 200,000,000 2015/07/24 2015/11/27 50.0065772 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 Z 200,000,000 2015/07/24 2015/11/27 50.0065916 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 I 200,000,000 2015/07/24 2016/02/26 50.0065781 Macquarie Bank Ltd. – HSI R Bull CBBC Nov 2015 B 40,000,000 2015/07/24 2015/11/27 10.0065838 Standard Chartered Bank – HSI R Bull CBBC Nov 2015 Q 150,000,000 2015/07/24 2015/11/27 37.5065765 Standard Chartered Bank – HSI R Bull CBBC Jan 2016 A 150,000,000 2015/07/24 2016/01/28 37.5065771 Standard Chartered Bank – HSI R Bull CBBC Feb 2016 A 100,000,000 2015/07/24 2016/02/26 25.0065760 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 M 150,000,000 2015/07/24 2015/11/27 37.5065829 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 L 200,000,000 2015/07/24 2016/01/28 50.0065828 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 A 200,000,000 2015/07/24 2016/03/30 50.0065744 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 X 200,000,000 2015/07/24 2016/01/28 50.0065871 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2016 A 50,000,000 2015/07/24 2016/03/21 12.5065866 UBS AG – HSBC R Bull CBBC Nov 2016 A 50,000,000 2015/07/24 2016/11/21 12.5065875 UBS AG – HSI R Bull CBBC May 2016 M 200,000,000 2015/07/24 2016/05/30 50.0065885 UBS AG – HSI R Bull CBBC May 2016 N 200,000,000 2015/07/24 2016/05/30 50.0065877 UBS AG – HSI R Bull CBBC Jun 2016 N 200,000,000 2015/07/24 2016/06/29 50.0065874 UBS AG – HSI R Bull CBBC Sep 2016 B 200,000,000 2015/07/24 2016/09/29 90.0065864 UBS AG – HSI R Bear CBBC Nov 2015 L 200,000,000 2015/07/24 2015/11/27 50.0065858 UBS AG – HSI R Bear CBBC Dec 2015 H 200,000,000 2015/07/24 2015/12/30 50.0065861 UBS AG – HSI R Bear CBBC Dec 2015 I 200,000,000 2015/07/24 2015/12/30 50.0065937 Credit Suisse AG – HSI R Bull CBBC Apr 2016 S 200,000,000 2015/07/27 2016/04/28 50.0065938 Credit Suisse AG – HSI R Bull CBBC Apr 2016 T 200,000,000 2015/07/27 2016/04/28 50.0065939 Credit Suisse AG – HSI R Bear CBBC Jan 2016 L 200,000,000 2015/07/27 2016/01/28 50.0065941 Credit Suisse AG – HSI R Bear CBBC Jan 2016 M 200,000,000 2015/07/27 2016/01/28 50.0065958 Credit Suisse AG – HSI R Bear CBBC Jan 2016 N 200,000,000 2015/07/27 2016/01/28 50.0065921 HK Bank – CUni R Bull CBBC Sep 2016 A 50,000,000 2015/07/27 2016/09/26 12.5065920 HK Bank – HKEx R Bull CBBC Jul 2016 I 100,000,000 2015/07/27 2016/07/05 25.0065918 HK Bank – HSI R Bull CBBC Jun 2016 L 150,000,000 2015/07/27 2016/06/29 37.5065917 HK Bank – HSI R Bull CBBC Jul 2016 J 150,000,000 2015/07/27 2016/07/28 37.5065919 HK Bank – TCH R Bull CBBC Aug 2016 B 100,000,000 2015/07/27 2016/08/08 25.0066014 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC May 2016 B 100,000,000 2015/07/27 2016/05/27 25.0066015 J P Morgan SP BV – A50 China R Bull CBBC May 2016 B 100,000,000 2015/07/27 2016/05/27 25.0065984 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 F 100,000,000 2015/07/27 2016/04/28 25.0065929 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 Q 200,000,000 2015/07/27 2016/04/28 50.0065999 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 F 200,000,000 2015/07/27 2016/07/28 50.0065981 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 R 200,000,000 2015/07/27 2015/12/30 50.0066002 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 S 200,000,000 2015/07/27 2015/12/30 50.00




66019 J P Morgan SP BV – Tencent R Bull CBBC Jul 2016 B 100,000,000 2015/07/27 2016/07/22 25.0065931 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC May 2016A 50,000,000 2015/07/27 2016/05/30 12.5065933 Standard Chartered Bank – A50 China R Bull CBBC Apr 2016 A 50,000,000 2015/07/27 2016/04/25 12.5065936 Standard Chartered Bank – HSCEI R Bear CBBC Jan 2016 A 100,000,000 2015/07/27 2016/01/28 25.0065934 Standard Chartered Bank – HSI R Bull CBBC Feb 2016 B 100,000,000 2015/07/27 2016/02/26 25.0065935 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 N 100,000,000 2015/07/27 2015/11/27 25.0065922 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 N 200,000,000 2015/07/27 2016/02/26 50.0065928 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 M 200,000,000 2015/07/27 2016/02/26 50.0065968 UBS AG – China Mobile R Bull CBBC Jul 2016 D 50,000,000 2015/07/27 2016/07/18 12.5065963 UBS AG – CSOP A50 ETF R Bull CBBC Apr 2016 A 50,000,000 2015/07/27 2016/04/11 14.2565975 UBS AG – HSI R Bull CBBC May 2016 O 200,000,000 2015/07/27 2016/05/30 50.0065965 UBS AG – HSI R Bull CBBC Jul 2016 K 200,000,000 2015/07/27 2016/07/28 50.0065976 UBS AG – HSI R Bear CBBC Dec 2015 M 200,000,000 2015/07/27 2015/12/30 50.0065980 UBS AG – HSI R Bear CBBC Dec 2015 N 200,000,000 2015/07/27 2015/12/30 50.0066037 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 E 250,000,000 2015/07/28 2016/12/29 62.5066042 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2015 I 200,000,000 2015/07/28 2015/12/30 50.0066030 Credit Suisse AG – HSI R Bull CBBC Apr 2016 U 200,000,000 2015/07/28 2016/04/28 50.0066044 Credit Suisse AG – HSI R Bull CBBC Apr 2016 V 200,000,000 2015/07/28 2016/04/28 50.0066023 Credit Suisse AG – HSI R Bear CBBC Jan 2016 Q 200,000,000 2015/07/28 2016/01/28 50.0066029 Credit Suisse AG – HSI R Bear CBBC Jan 2016 R 200,000,000 2015/07/28 2016/01/28 50.0066059 Bank of East Asia – China Mobile R Bull CBBC Nov 2016 A 40,000,000 2015/07/28 2016/11/25 10.0066058 Bank of East Asia – HKEx R Bull CBBC Jul 2016 A 40,000,000 2015/07/28 2016/07/14 10.0066055 Bank of East Asia – HSBC Holdings R Bull CBBC Jun 2016 A 60,000,000 2015/07/28 2016/06/21 15.0066060 Bank of East Asia – PetCh R Bull CBBC Jun 2016 A 60,000,000 2015/07/28 2016/06/06 15.0066056 Bank of East Asia – TCH R Bull CBBC Jun 2016 A 40,000,000 2015/07/28 2016/06/22 10.0066078 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jun 2016 A 100,000,000 2015/07/28 2016/06/16 25.0066080 J P Morgan SP BV – A50 China R Bull CBBC Jun 2016 A 100,000,000 2015/07/28 2016/06/16 25.0066084 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 Q 200,000,000 2015/07/28 2016/03/30 50.0066083 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 S 200,000,000 2015/07/28 2016/04/28 50.0066022 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 T 200,000,000 2015/07/28 2015/12/30 50.0066085 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 U 200,000,000 2015/07/28 2015/12/30 50.0066020 Standard Chartered Bank – HKEx R Bull CBBC Sep 2016 A 50,000,000 2015/07/28 2016/09/30 22.5066024 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 B 400,000,000 2015/07/28 2016/03/30 100.0066026 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 G 400,000,000 2015/07/28 2016/04/28 100.0066028 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 Y 200,000,000 2015/07/28 2016/01/28 50.0066074 UBS AG – China Mobile R Bull CBBC Aug 2016 A 50,000,000 2015/07/28 2016/08/08 12.5066071 UBS AG – HSI R Bull CBBC Apr 2016 M 200,000,000 2015/07/28 2016/04/28 50.0066072 UBS AG – HSI R Bull CBBC May 2016 P 200,000,000 2015/07/28 2016/05/30 50.0066049 UBS AG – HSI R Bear CBBC Oct 2015 Y 200,000,000 2015/07/28 2015/10/29 50.0066053 UBS AG – HSI R Bear CBBC Dec 2015 O 200,000,000 2015/07/28 2015/12/30 50.0066052 UBS AG – TCH R Bull CBBC Oct 2016 C 50,000,000 2015/07/28 2016/10/17 12.5066123 BNP Paribas Arbit Issu B.V. – Ch Mob R Bull CBBC Dec 2015 F 75,000,000 2015/07/29 2015/12/31 18.7566122 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 B 250,000,000 2015/07/29 2016/11/29 62.5066158 Credit Suisse AG – HKEx R Bear CBBC Jan 2016 B 100,000,000 2015/07/29 2016/01/28 25.0066121 Credit Suisse AG – HSI R Bull CBBC Apr 2016 W 200,000,000 2015/07/29 2016/04/28 50.00




66129 Credit Suisse AG – HSI R Bear CBBC Jan 2016 I 200,000,000 2015/07/29 2016/01/28 50.0066144 Credit Suisse AG – HSI R Bear CBBC Jan 2016 O 200,000,000 2015/07/29 2016/01/28 50.0066145 Credit Suisse AG – HSI R Bear CBBC Jan 2016 S 200,000,000 2015/07/29 2016/01/28 50.0066100 HK Bank – AIA R Bull CBBC Sep 2016 B 60,000,000 2015/07/29 2016/09/12 27.0066106 HK Bank – China Mobile R Bull CBBC Jul 2016 C 120,000,000 2015/07/29 2016/07/12 30.0066088 HK Bank – CITIC Sec R Bull CBBC Jul 2016 B 60,000,000 2015/07/29 2016/07/29 31.2066101 HK Bank – CSOP A50 ETF R Bull CBBC Mar 2016 M 200,000,000 2015/07/29 2016/03/21 50.0066104 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2016 A 200,000,000 2015/07/29 2016/07/25 50.0066105 HK Bank – A50 R Bull CBBC Mar 2016 K 200,000,000 2015/07/29 2016/03/21 50.0066086 HK Bank – HSCEI R Bull CBBC Jul 2016 E 100,000,000 2015/07/29 2016/07/28 25.0066108 HK Bank – HSCEI R Bull CBBC Aug 2016 F 100,000,000 2015/07/29 2016/08/30 25.0066089 HK Bank – Haitong Sec R Bull CBBC Nov 2016 A 60,000,000 2015/07/29 2016/11/01 17.4066098 HK Bank – TCH R Bull CBBC Aug 2016 C 100,000,000 2015/07/29 2016/08/15 25.0066162 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jul 2016 A 100,000,000 2015/07/29 2016/07/15 28.0066168 J P Morgan SP BV – A50 China R Bull CBBC Jul 2016 A 100,000,000 2015/07/29 2016/07/15 25.0066119 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 I 200,000,000 2015/07/29 2016/06/29 50.0066174 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 G 200,000,000 2015/07/29 2016/07/28 50.0066175 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 B 200,000,000 2015/07/29 2015/11/27 50.0066161 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 V 200,000,000 2015/07/29 2015/12/30 50.0066115 Standard Chartered Bank – HSI R Bull CBBC Feb 2016 C 100,000,000 2015/07/29 2016/02/26 25.0066120 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 O 150,000,000 2015/07/29 2015/11/27 37.5066109 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 C 200,000,000 2015/07/29 2016/03/30 50.0066152 UBS AG – HSI R Bull CBBC Apr 2016 N 200,000,000 2015/07/29 2016/04/28 50.0066147 UBS AG – HSI R Bull CBBC Jun 2016 O 200,000,000 2015/07/29 2016/06/29 50.0066153 UBS AG – HSI R Bear CBBC Dec 2015 P 200,000,000 2015/07/29 2015/12/30 50.0066154 UBS AG – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/07/29 2016/01/28 50.0066183 Credit Suisse AG – HSI R Bull CBBC Apr 2016 X 200,000,000 2015/07/30 2016/04/28 50.0066180 Credit Suisse AG – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/07/30 2016/01/28 50.0066182 Credit Suisse AG – HSI R Bear CBBC Jan 2016 W 200,000,000 2015/07/30 2016/01/28 50.0066195 Bank of East Asia – BOCL R Bull CBBC Jul 2016 A 50,000,000 2015/07/30 2016/07/22 12.5066184 Bank of East Asia – COVS R Bull CBBC Nov 2016 A 30,000,000 2015/07/30 2016/11/11 11.7066185 Bank of East Asia – CKH R Bull CBBC Apr 2016 A 40,000,000 2015/07/30 2016/04/20 10.0066190 Bank of East Asia – China Life R Bull CBBC Jul 2016 A 120,000,000 2015/07/30 2016/07/28 30.0066186 Bank of East Asia – Haitong Sec R Bull CBBC Dec 2016 B 35,000,000 2015/07/30 2016/12/16 10.8566206 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Aug 2016 A 100,000,000 2015/07/30 2016/08/12 25.0066208 J P Morgan SP BV – A50 China R Bear CBBC Apr 2016 A 100,000,000 2015/07/30 2016/04/15 25.0066209 J P Morgan SP BV – A50 China R Bear CBBC May 2016 A 100,000,000 2015/07/30 2016/05/13 34.0066215 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 D 100,000,000 2015/07/30 2016/07/28 25.0066197 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 H 200,000,000 2015/07/30 2016/07/28 50.0066200 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 J 200,000,000 2015/07/30 2016/01/28 50.0066177 Standard Chartered Bank – HSI R Bull CBBC Feb 2016 D 100,000,000 2015/07/30 2016/02/26 25.0066178 Standard Chartered Bank – HSI R Bull CBBC Feb 2016 E 100,000,000 2015/07/30 2016/02/26 25.0066176 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 P 100,000,000 2015/07/30 2015/11/27 25.0066232 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 F 250,000,000 2015/07/31 2016/12/29 62.5066233 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 G 250,000,000 2015/07/31 2016/12/29 62.50




66254 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/07/31 2015/12/30 50.0066248 BNP Paribas Arbit Issu B.V. – Petrochina R Bull CBBC Jan16 A 60,000,000 2015/07/31 2016/01/29 15.0066252 BNP Paribas Arbit Issu B.V. – Petrochina R Bear CBBC Jan16 A 40,000,000 2015/07/31 2016/01/29 10.0066245 Credit Suisse AG – HSI R Bull CBBC Apr 2016 A 200,000,000 2015/07/31 2016/04/28 50.0066243 Credit Suisse AG – HSI R Bull CBBC Apr 2016 Y 200,000,000 2015/07/31 2016/04/28 50.0066244 Credit Suisse AG – HSI R Bull CBBC Apr 2016 Z 200,000,000 2015/07/31 2016/04/28 50.0066246 Credit Suisse AG – HSI R Bear CBBC Jan 2016 P 200,000,000 2015/07/31 2016/01/28 50.0066247 Credit Suisse AG – HSI R Bear CBBC Jan 2016 T 200,000,000 2015/07/31 2016/01/28 50.0066255 Credit Suisse AG – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/07/31 2016/01/28 50.0066221 HK Bank – CSOP A50 ETF R Bull CBBC Apr 2016 J 200,000,000 2015/07/31 2016/04/25 50.0066222 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2016 B 200,000,000 2015/07/31 2016/06/27 62.0066217 HK Bank – A50 R Bull CBBC May 2016 F 200,000,000 2015/07/31 2016/05/31 50.0066229 HK Bank – HKEx R Bear CBBC Mar 2016 B 50,000,000 2015/07/31 2016/03/31 12.5066224 HK Bank – HS H-SH ETF R Bull CBBC Nov 2016 A 100,000,000 2015/07/31 2016/11/29 30.0066278 J P Morgan SP BV – A50 China R Bear CBBC Jun 2016 A 100,000,000 2015/07/31 2016/06/17 25.0066271 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 G 100,000,000 2015/07/31 2016/04/28 25.0066273 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 T 200,000,000 2015/07/31 2016/04/28 50.0066230 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 J 200,000,000 2015/07/31 2016/06/29 50.0066272 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 I 200,000,000 2015/07/31 2016/07/28 50.0066275 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 D 200,000,000 2015/07/31 2015/11/27 50.0066276 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 E 200,000,000 2015/07/31 2015/11/27 50.0066235 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 A 100,000,000 2015/07/31 2016/04/28 25.0066236 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 B 100,000,000 2015/07/31 2016/04/28 25.0066237 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 C 150,000,000 2015/07/31 2016/04/28 37.5066238 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 Q 100,000,000 2015/07/31 2015/11/27 25.0066239 Standard Chartered Bank – HSI R Bear CBBC Nov 2015 R 150,000,000 2015/07/31 2015/11/27 37.5066240 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 O 200,000,000 2015/07/31 2016/02/26 50.0066241 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 Z 200,000,000 2015/07/31 2016/01/28 50.0066263 UBS AG – HSI R Bull CBBC May 2016 Q 200,000,000 2015/07/31 2016/05/30 50.0066256 UBS AG – HSI R Bull CBBC Jun 2016 P 200,000,000 2015/07/31 2016/06/29 50.0066264 UBS AG – HSI R Bear CBBC Nov 2015 N 200,000,000 2015/07/31 2015/11/27 50.0066265 UBS AG – HSI R Bear CBBC Feb 2016 C 200,000,000 2015/07/31 2016/02/26 50.0066407 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bear CBBC Nov15A 100,000,000 2015/08/03 2015/11/30 25.0066408 BNP Paribas Arbit Issu B.V. – A50 R Bear CBBC Nov 2015 H 100,000,000 2015/08/03 2015/11/30 25.0066406 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Mar 2016 A 100,000,000 2015/08/03 2016/03/30 25.0066405 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Apr 2016 A 100,000,000 2015/08/03 2016/04/28 25.0066305 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 C 250,000,000 2015/08/03 2016/11/29 62.5066310 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 D 250,000,000 2015/08/03 2016/11/29 62.5066390 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 E 250,000,000 2015/08/03 2016/11/29 62.5066309 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 H 250,000,000 2015/08/03 2016/12/29 62.5066311 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 I 250,000,000 2015/08/03 2016/12/29 62.5066377 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 J 250,000,000 2015/08/03 2016/12/29 62.5066383 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 K 250,000,000 2015/08/03 2016/12/29 62.5066388 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 L 250,000,000 2015/08/03 2016/12/29 62.5066391 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 A 200,000,000 2015/08/03 2016/03/30 50.00




66394 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 B 200,000,000 2015/08/03 2016/03/30 50.0066395 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 C 200,000,000 2015/08/03 2016/03/30 50.0066399 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 D 200,000,000 2015/08/03 2016/03/30 50.0066398 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 A 200,000,000 2015/08/03 2016/04/28 50.0066312 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 F 108,000,000 2015/08/03 2016/03/30 27.0066283 Credit Suisse AG – HSI R Bull CBBC Apr 2016 B 200,000,000 2015/08/03 2016/04/28 50.0066284 Credit Suisse AG – HSI R Bull CBBC Apr 2016 C 200,000,000 2015/08/03 2016/04/28 50.0066288 Credit Suisse AG – HSI R Bull CBBC Jun 2016 E 200,000,000 2015/08/03 2016/06/29 50.0066293 Credit Suisse AG – HSI R Bull CBBC Jun 2016 F 200,000,000 2015/08/03 2016/06/29 50.0066313 Credit Suisse AG – HSI R Bull CBBC Jun 2016 G 200,000,000 2015/08/03 2016/06/29 50.0066319 Credit Suisse AG – HSI R Bull CBBC Jun 2016 H 200,000,000 2015/08/03 2016/06/29 50.0066350 Credit Suisse AG – HSI R Bull CBBC Jun 2016 I 200,000,000 2015/08/03 2016/06/29 50.0066352 Credit Suisse AG – HSI R Bear CBBC Feb 2016 P 200,000,000 2015/08/03 2016/02/26 50.0066353 Credit Suisse AG – HSI R Bear CBBC Feb 2016 Q 200,000,000 2015/08/03 2016/02/26 50.0066355 Credit Suisse AG – HSI R Bear CBBC Feb 2016 R 200,000,000 2015/08/03 2016/02/26 50.0066356 Credit Suisse AG – HSI R Bear CBBC Feb 2016 S 200,000,000 2015/08/03 2016/02/26 50.0066360 Credit Suisse AG – HSI R Bear CBBC Feb 2016 T 200,000,000 2015/08/03 2016/02/26 50.0066361 Credit Suisse AG – HSI R Bear CBBC Feb 2016 U 200,000,000 2015/08/03 2016/02/26 50.0066410 Credit Suisse AG – HSI R Bear CBBC Feb 2016 V 200,000,000 2015/08/03 2016/02/26 50.0066414 Credit Suisse AG – HSI R Bear CBBC Feb 2016 W 200,000,000 2015/08/03 2016/02/26 50.0066415 Credit Suisse AG – HSI R Bear CBBC Feb 2016 X 200,000,000 2015/08/03 2016/02/26 50.0066462 J P Morgan SP BV – A50 China R Bull CBBC May 2016 C 100,000,000 2015/08/03 2016/05/19 25.0066466 J P Morgan SP BV – A50 China R Bear CBBC May 2016 B 100,000,000 2015/08/03 2016/05/19 25.0066467 J P Morgan SP BV – HKEx R Bull CBBC Oct 2016 B 100,000,000 2015/08/03 2016/10/14 25.0066300 J P Morgan SP BV – HSCEI R Bull CBBC Jun 2016 C 100,000,000 2015/08/03 2016/06/29 25.0066457 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 E 100,000,000 2015/08/03 2016/07/28 25.0066468 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 H 100,000,000 2015/08/03 2016/04/28 25.0066301 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 K 200,000,000 2015/08/03 2016/06/29 50.0066474 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 L 200,000,000 2015/08/03 2016/06/29 50.0066303 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 J 200,000,000 2015/08/03 2016/07/28 50.0066460 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 K 200,000,000 2015/08/03 2016/07/28 50.0066475 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 L 200,000,000 2015/08/03 2016/07/28 50.0066476 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 M 200,000,000 2015/08/03 2016/07/28 50.0066477 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 A 200,000,000 2015/08/03 2016/09/29 50.0066469 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 F 200,000,000 2015/08/03 2015/11/27 50.0066471 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 W 200,000,000 2015/08/03 2015/12/30 50.0066472 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 X 200,000,000 2015/08/03 2015/12/30 50.0066334 Standard Chartered Bank – HKEx R Bull CBBC Oct 2016 A 50,000,000 2015/08/03 2016/10/03 12.5066332 Standard Chartered Bank – HKEx R Bear CBBC Jan 2016 B 50,000,000 2015/08/03 2016/01/22 12.5066346 Standard Chartered Bank – HSCEI R Bull CBBC Jun 2016 A 100,000,000 2015/08/03 2016/06/29 25.0066321 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 D 150,000,000 2015/08/03 2016/04/28 37.5066322 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 E 100,000,000 2015/08/03 2016/04/28 25.0066330 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 A 100,000,000 2015/08/03 2016/06/29 25.0066339 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 C 100,000,000 2015/08/03 2015/12/30 25.0066340 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 D 100,000,000 2015/08/03 2015/12/30 25.00




66344 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 E 150,000,000 2015/08/03 2015/12/30 37.5066279 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 P 200,000,000 2015/08/03 2016/02/26 50.0066280 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 Q 200,000,000 2015/08/03 2016/02/26 50.0066335 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 R 200,000,000 2015/08/03 2016/02/26 50.0066336 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 L 200,000,000 2015/08/03 2016/01/28 50.0066337 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 M 200,000,000 2015/08/03 2016/01/28 50.0066338 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 P 200,000,000 2015/08/03 2016/01/28 50.0066455 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 Q 200,000,000 2015/08/03 2016/01/28 50.0066456 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 R 400,000,000 2015/08/03 2016/01/28 100.0066282 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 N 200,000,000 2015/08/03 2016/02/26 50.0066423 UBS AG – HSCEI R Bull CBBC Apr 2016 C 200,000,000 2015/08/03 2016/04/28 50.0066454 UBS AG – HSCEI R Bear CBBC Nov 2015 P 200,000,000 2015/08/03 2015/11/27 50.0066416 UBS AG – HSI R Bull CBBC Apr 2016 O 200,000,000 2015/08/03 2016/04/28 50.0066422 UBS AG – HSI R Bull CBBC Apr 2016 P 200,000,000 2015/08/03 2016/04/28 50.0066425 UBS AG – HSI R Bull CBBC Apr 2016 Q 200,000,000 2015/08/03 2016/04/28 50.0066418 UBS AG – HSI R Bull CBBC May 2016 R 200,000,000 2015/08/03 2016/05/30 50.0066424 UBS AG – HSI R Bull CBBC May 2016 S 200,000,000 2015/08/03 2016/05/30 50.0066427 UBS AG – HSI R Bull CBBC May 2016 T 200,000,000 2015/08/03 2016/05/30 50.0066433 UBS AG – HSI R Bull CBBC May 2016 U 200,000,000 2015/08/03 2016/05/30 65.0066417 UBS AG – HSI R Bull CBBC Jun 2016 Q 200,000,000 2015/08/03 2016/06/29 50.0066420 UBS AG – HSI R Bull CBBC Jun 2016 R 200,000,000 2015/08/03 2016/06/29 50.0066428 UBS AG – HSI R Bull CBBC Jun 2016 S 200,000,000 2015/08/03 2016/06/29 53.0066436 UBS AG – HSI R Bull CBBC Jun 2016 T 200,000,000 2015/08/03 2016/06/29 73.0066432 UBS AG – HSI R Bull CBBC Jul 2016 L 200,000,000 2015/08/03 2016/07/28 59.0066440 UBS AG – HSI R Bear CBBC Nov 2015 J 200,000,000 2015/08/03 2015/11/27 50.0066451 UBS AG – HSI R Bear CBBC Nov 2015 M 200,000,000 2015/08/03 2015/11/27 50.0066437 UBS AG – HSI R Bear CBBC Dec 2015 S 200,000,000 2015/08/03 2015/12/30 50.0066446 UBS AG – HSI R Bear CBBC Dec 2015 T 200,000,000 2015/08/03 2015/12/30 50.0066450 UBS AG – HSI R Bear CBBC Dec 2015 U 200,000,000 2015/08/03 2015/12/30 50.0066453 UBS AG – HSI R Bear CBBC Dec 2015 V 200,000,000 2015/08/03 2015/12/30 50.0066543 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Feb 2016 E 100,000,000 2015/08/04 2016/02/25 35.0066542 Credit Suisse AG – CSOP A50 ETF R Bear CBBC Jan 2016 B 80,000,000 2015/08/04 2016/01/28 20.0066548 Credit Suisse AG – A50 China R Bull CBBC Feb 2016 F 100,000,000 2015/08/04 2016/02/25 30.0066545 Credit Suisse AG – A50 China R Bear CBBC Jan 2016 C 80,000,000 2015/08/04 2016/01/28 20.0066547 Credit Suisse AG – A50 China R Bear CBBC Jan 2016 D 80,000,000 2015/08/04 2016/01/28 20.0066550 Credit Suisse AG – HKEx R Bear CBBC Jan 2016 C 100,000,000 2015/08/04 2016/01/28 25.0066620 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 G 108,000,000 2015/08/04 2016/03/30 27.0066617 Credit Suisse AG – HSCEI R Bear CBBC Jan 2016 B 108,000,000 2015/08/04 2016/01/28 27.0066619 Credit Suisse AG – HSCEI R Bear CBBC Jan 2016 C 108,000,000 2015/08/04 2016/01/28 27.0066611 Credit Suisse AG – HSI R Bull CBBC Apr 2016 H 200,000,000 2015/08/04 2016/04/28 50.0066613 Credit Suisse AG – HSI R Bull CBBC Apr 2016 I 200,000,000 2015/08/04 2016/04/28 50.0066612 Credit Suisse AG – HSI R Bull CBBC Apr 2016 R 200,000,000 2015/08/04 2016/04/28 50.0066614 Credit Suisse AG – HSI R Bull CBBC Jun 2016 J 200,000,000 2015/08/04 2016/06/29 50.0066615 Credit Suisse AG – HSI R Bull CBBC Jun 2016 K 200,000,000 2015/08/04 2016/06/29 50.0066621 Credit Suisse AG – HSI R Bull CBBC Jun 2016 L 200,000,000 2015/08/04 2016/06/29 60.00




66622 Credit Suisse AG – HSI R Bull CBBC Jun 2016 M 200,000,000 2015/08/04 2016/06/29 60.0066532 Credit Suisse AG – HSI R Bear CBBC Feb 2016 C 200,000,000 2015/08/04 2016/02/26 50.0066538 Credit Suisse AG – HSI R Bear CBBC Feb 2016 D 200,000,000 2015/08/04 2016/02/26 50.0066540 Credit Suisse AG – HSI R Bear CBBC Feb 2016 F 200,000,000 2015/08/04 2016/02/26 50.0066610 Credit Suisse AG – HSI R Bear CBBC Feb 2016 G 200,000,000 2015/08/04 2016/02/26 50.0066530 Credit Suisse AG – HSI R Bear CBBC Feb 2016 Y 200,000,000 2015/08/04 2016/02/26 50.0066531 Credit Suisse AG – HSI R Bear CBBC Feb 2016 Z 200,000,000 2015/08/04 2016/02/26 50.0066552 Credit Suisse AG – TCH R Bear CBBC Jan 2016 A 60,000,000 2015/08/04 2016/01/28 15.0066497 HK Bank – CC Bank R Bull CBBC Dec 2016 A 100,000,000 2015/08/04 2016/12/19 25.0066504 HK Bank – CNOOC R Bull CBBC Oct 2016 B 60,000,000 2015/08/04 2016/10/31 15.0066498 HK Bank – Sinopec Corp R Bull CBBC Jul 2016 D 80,000,000 2015/08/04 2016/07/18 20.0066478 HK Bank – Galaxy Ent R Bull CBBC Oct 2016 B 50,000,000 2015/08/04 2016/10/31 34.0066487 HK Bank – HKEx R Bear CBBC Jun 2016 D 50,000,000 2015/08/04 2016/06/13 12.5066486 HK Bank – HSCEI R Bear CBBC May 2016 I 68,000,000 2015/08/04 2016/05/30 17.0066483 HK Bank – HSI R Bull CBBC Jul 2016 K 150,000,000 2015/08/04 2016/07/28 37.5066479 HK Bank – HSI R Bear CBBC Mar 2016 Z 100,000,000 2015/08/04 2016/03/30 25.0066480 HK Bank – HSI R Bear CBBC Apr 2016 T 100,000,000 2015/08/04 2016/04/28 25.0066482 HK Bank – HSI R Bear CBBC May 2016 N 100,000,000 2015/08/04 2016/05/30 25.0066484 HK Bank – HSI R Bear CBBC Sep 2016 B 400,000,000 2015/08/04 2016/09/29 100.0066509 HK Bank – Haitong Sec R Bull CBBC Oct 2016 A 60,000,000 2015/08/04 2016/10/31 21.0066506 HK Bank – Lenovo R Bull CBBC Dec 2016 A 60,000,000 2015/08/04 2016/12/19 16.2066500 HK Bank – PetCh R Bull CBBC Jul 2016 C 60,000,000 2015/08/04 2016/07/25 15.0066496 HK Bank – Ping An R Bull CBBC Oct 2016 D 188,000,000 2015/08/04 2016/10/31 47.0066493 HK Bank – Ping An R Bull CBBC Nov 2016 C 188,000,000 2015/08/04 2016/11/28 47.0066490 HK Bank – Ping An R Bull CBBC Dec 2016 B 188,000,000 2015/08/04 2016/12/19 47.0066489 HK Bank – SHK Ppt R Bull CBBC Dec 2016 B 60,000,000 2015/08/04 2016/12/19 21.0066485 HK Bank – TCH R Bear CBBC Mar 2016 A 100,000,000 2015/08/04 2016/03/31 25.0066488 HK Bank – TCH R Bear CBBC Jun 2016 E 100,000,000 2015/08/04 2016/06/27 25.0066685 J P Morgan SP BV – HSCEI R Bull CBBC Sep 2016 A 100,000,000 2015/08/04 2016/09/29 25.0066658 J P Morgan SP BV – HSI R Bull CBBC May 2016 H 200,000,000 2015/08/04 2016/05/30 50.0066666 J P Morgan SP BV – HSI R Bull CBBC May 2016 I 200,000,000 2015/08/04 2016/05/30 50.0066669 J P Morgan SP BV – HSI R Bull CBBC May 2016 J 200,000,000 2015/08/04 2016/05/30 50.0066605 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 J 200,000,000 2015/08/04 2015/11/27 50.0066607 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/08/04 2015/12/30 50.0066673 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 K 200,000,000 2015/08/04 2016/01/28 50.0066591 Standard Chartered Bank – HSCEI R Bear CBBC Dec 2015 A 100,000,000 2015/08/04 2015/12/30 25.0066595 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 F 150,000,000 2015/08/04 2016/04/28 37.5066592 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 B 100,000,000 2015/08/04 2016/06/29 25.0066594 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 F 100,000,000 2015/08/04 2015/12/30 25.0066554 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Feb16A 100,000,000 2015/08/04 2016/02/26 25.0066570 SGA Societe Generale Acceptance NV – HS HI R Bull CBBC Apr16A 100,000,000 2015/08/04 2016/04/28 25.0066568 SGA Societe Generale Acceptance NV – HS HI R Bull CBBC Jul16A 100,000,000 2015/08/04 2016/07/28 25.0066567 SGA Societe Generale Acceptance NV – HS HI R Bull CBBC Oct16A 100,000,000 2015/08/04 2016/10/28 25.0066578 SGA Societe Generale Acceptance NV – HS HI R Bear CBBC Feb16A 100,000,000 2015/08/04 2016/02/26 25.0066582 SGA Societe Generale Acceptance NV – HS HI R Bear CBBC Apr16A 100,000,000 2015/08/04 2016/04/28 25.00




66512 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16D 200,000,000 2015/08/04 2016/03/30 50.0066515 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16J 200,000,000 2015/08/04 2016/01/28 50.0066565 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jan16 O 200,000,000 2015/08/04 2016/01/28 50.0066523 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 D 200,000,000 2015/08/04 2016/03/30 50.0066524 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 O 200,000,000 2015/08/04 2016/02/26 50.0066528 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 P 200,000,000 2015/08/04 2016/02/26 50.0066640 UBS AG – HSI R Bull CBBC Apr 2016 R 200,000,000 2015/08/04 2016/04/28 50.0066656 UBS AG – HSI R Bull CBBC Apr 2016 S 200,000,000 2015/08/04 2016/04/28 50.0066653 UBS AG – HSI R Bull CBBC May 2016 V 200,000,000 2015/08/04 2016/05/30 50.0066657 UBS AG – HSI R Bull CBBC May 2016 W 200,000,000 2015/08/04 2016/05/30 50.0066655 UBS AG – HSI R Bull CBBC Jun 2016 U 200,000,000 2015/08/04 2016/06/29 50.0066623 UBS AG – HSI R Bear CBBC Dec 2015 E 200,000,000 2015/08/04 2015/12/30 50.0066627 UBS AG – HSI R Bear CBBC Dec 2015 Q 200,000,000 2015/08/04 2015/12/30 50.0066635 UBS AG – HSI R Bear CBBC Dec 2015 W 200,000,000 2015/08/04 2015/12/30 50.0066631 UBS AG – HSI R Bear CBBC Jan 2016 A 200,000,000 2015/08/04 2016/01/28 50.0066633 UBS AG – HSI R Bear CBBC Jan 2016 B 200,000,000 2015/08/04 2016/01/28 50.0066624 UBS AG – HSI R Bear CBBC Jan 2016 Z 200,000,000 2015/08/04 2016/01/28 50.0066843 Credit Suisse AG – HSI R Bull CBBC Apr 2016 J 200,000,000 2015/08/05 2016/04/28 50.0066845 Credit Suisse AG – HSI R Bull CBBC Apr 2016 N 200,000,000 2015/08/05 2016/04/28 50.0066846 Credit Suisse AG – HSI R Bull CBBC Apr 2016 O 200,000,000 2015/08/05 2016/04/28 50.0066841 Credit Suisse AG – HSI R Bear CBBC Feb 2016 H 200,000,000 2015/08/05 2016/02/26 50.0066842 Credit Suisse AG – HSI R Bear CBBC Feb 2016 I 200,000,000 2015/08/05 2016/02/26 50.0066850 Credit Suisse AG – HSI R Bear CBBC Feb 2016 J 200,000,000 2015/08/05 2016/02/26 50.0066921 Bank of East Asia – CITIC Sec R Bull CBBC Aug 2016 A 20,000,000 2015/08/05 2016/08/08 10.4066938 Bank of East Asia – Galaxy Ent R Bull CBBC Dec 2016 A 120,000,000 2015/08/05 2016/12/23 30.0066925 Bank of East Asia – HKEx R Bull CBBC Jun 2016 B 40,000,000 2015/08/05 2016/06/14 10.0066919 Bank of East Asia – Haitong Sec R Bull CBBC Dec 2016 C 25,000,000 2015/08/05 2016/12/22 10.7566922 Bank of East Asia – Lenovo R Bull CBBC Dec 2016 A 40,000,000 2015/08/05 2016/12/29 10.0066722 HK Bank – CUni R Bull CBBC Oct 2016 A 50,000,000 2015/08/05 2016/10/31 13.5066710 HK Bank – CUni R Bull CBBC Nov 2016 A 50,000,000 2015/08/05 2016/11/28 20.0066707 HK Bank – China Life R Bear CBBC Sep 2016 A 50,000,000 2015/08/05 2016/09/12 25.0066804 HK Bank – Minsheng Bank R Bull CBBC Oct 2016 E 60,000,000 2015/08/05 2016/10/31 18.0066803 HK Bank – Minsheng Bank R Bear CBBC Oct 2016 A 40,000,000 2015/08/05 2016/10/31 10.0066755 HK Bank – CSOP A50 ETF R Bear CBBC Jun 2016 D 40,000,000 2015/08/05 2016/06/06 10.0066776 HK Bank – A50 R Bull CBBC Apr 2016 L 200,000,000 2015/08/05 2016/04/25 50.0066756 HK Bank – A50 R Bull CBBC Sep 2016 A 200,000,000 2015/08/05 2016/09/05 50.0066757 HK Bank – A50 R Bear CBBC Mar 2016 E 50,000,000 2015/08/05 2016/03/23 12.5066799 HK Bank – Galaxy Ent R Bull CBBC Nov 2016 A 50,000,000 2015/08/05 2016/11/28 41.5066709 HK Bank – HSI R Bull CBBC Jul 2016 L 150,000,000 2015/08/05 2016/07/28 37.5066782 HK Bank – Lenovo R Bull CBBC Oct 2016 A 60,000,000 2015/08/05 2016/10/03 19.8066688 HK Bank – Ping An R Bear CBBC Jun 2016 B 40,000,000 2015/08/05 2016/06/06 10.0066786 HK Bank – Sands China R Bull CBBC Sep 2016 A 50,000,000 2015/08/05 2016/09/26 12.5066748 HK Bank – TCH R Bull CBBC Jun 2016 F 100,000,000 2015/08/05 2016/06/29 25.0066754 HK Bank – TCH R Bull CBBC Aug 2016 D 100,000,000 2015/08/05 2016/08/08 30.0066887 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Apr 2016 C 100,000,000 2015/08/05 2016/04/15 25.00




66892 J P Morgan SP BV – HKEx R Bull CBBC Nov 2016 A 100,000,000 2015/08/05 2016/11/18 25.0066815 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 M 200,000,000 2015/08/05 2016/06/29 50.0066876 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 N 200,000,000 2015/08/05 2016/06/29 50.0066817 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 P 200,000,000 2015/08/05 2015/11/27 50.0066816 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 Z 200,000,000 2015/08/05 2015/12/30 50.0066914 J P Morgan SP BV – Tencent R Bear CBBC Mar 2016 A 100,000,000 2015/08/05 2016/03/18 25.0066916 J P Morgan SP BV – Tencent R Bear CBBC Apr 2016 A 100,000,000 2015/08/05 2016/04/15 26.0066809 Standard Chartered Bank – HKEx R Bull CBBC Feb 2016 C 50,000,000 2015/08/05 2016/02/29 17.5066807 Standard Chartered Bank – HKEx R Bear CBBC Dec 2015 A 50,000,000 2015/08/05 2015/12/31 20.0066813 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 G 150,000,000 2015/08/05 2016/04/28 37.5066814 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 C 150,000,000 2015/08/05 2016/06/29 37.5066811 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 G 100,000,000 2015/08/05 2015/12/30 25.0066767 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb16 S 200,000,000 2015/08/05 2016/02/26 50.0066768 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 Q 200,000,000 2015/08/05 2016/02/26 50.0066771 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 R 200,000,000 2015/08/05 2016/02/26 50.0066861 UBS AG – HSBC R Bull CBBC Sep 2016 A 50,000,000 2015/08/05 2016/09/19 12.5066870 UBS AG – HSI R Bull CBBC Mar 2016 Y 200,000,000 2015/08/05 2016/03/30 50.0066854 UBS AG – HSI R Bull CBBC Apr 2016 T 200,000,000 2015/08/05 2016/04/28 50.0066867 UBS AG – HSI R Bull CBBC Apr 2016 U 200,000,000 2015/08/05 2016/04/28 50.0066873 UBS AG – HSI R Bull CBBC Apr 2016 V 200,000,000 2015/08/05 2016/04/28 50.0066857 UBS AG – HSI R Bull CBBC Aug 2016 E 200,000,000 2015/08/05 2016/08/30 63.0066858 UBS AG – HSI R Bear CBBC Jan 2016 C 200,000,000 2015/08/05 2016/01/28 50.0066862 UBS AG – HSI R Bear CBBC Jan 2016 D 200,000,000 2015/08/05 2016/01/28 50.0066864 UBS AG – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/08/05 2016/01/28 50.0067010 Credit Suisse AG – HSI R Bull CBBC Feb 2016 H 200,000,000 2015/08/06 2016/02/26 50.0067011 Credit Suisse AG – HSI R Bull CBBC Feb 2016 I 200,000,000 2015/08/06 2016/02/26 50.0067012 Credit Suisse AG – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/08/06 2015/12/30 50.0066971 HK Bank – COVS R Bull CBBC Sep 2016 B 50,000,000 2015/08/06 2016/09/26 29.0066946 HK Bank – Galaxy Ent R Bull CBBC Nov 2016 B 50,000,000 2015/08/06 2016/11/14 12.5066970 HK Bank – Galaxy Ent R Bear CBBC Nov 2016 A 50,000,000 2015/08/06 2016/11/14 12.5066989 HK Bank – HSI R Bull CBBC Aug 2016 G 150,000,000 2015/08/06 2016/08/30 37.5066987 HK Bank – Sands China R Bear CBBC Nov 2016 A 50,000,000 2015/08/06 2016/11/14 12.5066988 HK Bank – Sands China R Bear CBBC Dec 2016 B 50,000,000 2015/08/06 2016/12/19 12.5066942 HK Bank – SHK Ppt R Bull CBBC Jul 2016 A 60,000,000 2015/08/06 2016/07/25 15.0066943 HK Bank – SHK Ppt R Bear CBBC Oct 2016 A 50,000,000 2015/08/06 2016/10/05 12.5066995 HK Bank – TCH R Bear CBBC Jul 2016 D 100,000,000 2015/08/06 2016/07/05 25.0067054 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jun 2016 B 100,000,000 2015/08/06 2016/06/17 25.0067038 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 U 200,000,000 2015/08/06 2016/04/28 50.0067049 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 N 200,000,000 2015/08/06 2016/07/28 50.0067004 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 Q 200,000,000 2015/08/06 2015/11/27 50.0067061 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 L 200,000,000 2015/08/06 2016/01/28 50.0067056 J P Morgan SP BV – Tencent R Bull CBBC Jul 2016 C 100,000,000 2015/08/06 2016/07/15 25.0067058 J P Morgan SP BV – Tencent R Bear CBBC Apr 2016 B 100,000,000 2015/08/06 2016/04/15 25.0067001 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Jul 2016A 50,000,000 2015/08/06 2016/07/04 12.5067002 Standard Chartered Bank – CSOP A50 ETF R Bear CBBC Mar 2016A 50,000,000 2015/08/06 2016/03/14 12.50




67003 Standard Chartered Bank – A50 China R Bull CBBC Jul 2016 A 50,000,000 2015/08/06 2016/07/04 12.5067005 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 H 100,000,000 2015/08/06 2016/04/28 25.0067007 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 D 150,000,000 2015/08/06 2016/06/29 37.5067017 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 H 300,000,000 2015/08/06 2016/04/28 75.0067020 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 I 300,000,000 2015/08/06 2016/04/28 75.0067015 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 A 300,000,000 2015/08/06 2016/05/30 75.0067019 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 B 300,000,000 2015/08/06 2016/05/30 75.0067022 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 A 300,000,000 2015/08/06 2016/03/30 75.0067029 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 B 300,000,000 2015/08/06 2016/03/30 75.0067028 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 A 300,000,000 2015/08/06 2016/04/28 75.0067033 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 B 300,000,000 2015/08/06 2016/04/28 75.0067014 UBS AG – HSI R Bull CBBC Apr 2016 W 200,000,000 2015/08/06 2016/04/28 50.0067013 UBS AG – HSI R Bear CBBC Jan 2016 F 200,000,000 2015/08/06 2016/01/28 50.0067130 Credit Suisse AG – HSI R Bull CBBC Feb 2016 J 200,000,000 2015/08/07 2016/02/26 50.0067129 Credit Suisse AG – Ping An R Bull CBBC Feb 2016 B 60,000,000 2015/08/07 2016/02/25 15.0067168 Bank of East Asia – Galaxy Ent R Bull CBBC Dec 2016 B 20,000,000 2015/08/07 2016/12/30 10.6067163 Bank of East Asia – Galaxy Ent R Bear CBBC Jun 2016 A 12,000,000 2015/08/07 2016/06/27 10.3267172 Bank of East Asia – Haitong Sec R Bull CBBC Dec 2016 D 40,000,000 2015/08/07 2016/12/16 10.0067175 Bank of East Asia – Lenovo R Bull CBBC Dec 2016 B 40,000,000 2015/08/07 2016/12/09 10.0067171 Bank of East Asia – Sands China R Bull CBBC Dec 2016 A 15,000,000 2015/08/07 2016/12/19 10.6567170 Bank of East Asia – Sands China R Bear CBBC Dec 2016 A 12,000,000 2015/08/07 2016/12/19 11.7667078 HK Bank – ABC R Bear CBBC Sep 2016 A 40,000,000 2015/08/07 2016/09/19 10.0067071 HK Bank – BOCL R Bear CBBC Sep 2016 A 40,000,000 2015/08/07 2016/09/19 10.0067081 HK Bank – Galaxy Ent R Bull CBBC Dec 2016 A 50,000,000 2015/08/07 2016/12/19 12.5067064 HK Bank – Galaxy Ent R Bear CBBC Dec 2016 A 50,000,000 2015/08/07 2016/12/19 45.5067160 HK Bank – Sands China R Bear CBBC Nov 2016 B 50,000,000 2015/08/07 2016/11/04 12.5067134 J P Morgan SP BV – HSI R Bull CBBC May 2016 K 200,000,000 2015/08/07 2016/05/30 50.0067084 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 O 200,000,000 2015/08/07 2016/07/28 50.0067083 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 R 200,000,000 2015/08/07 2015/11/27 50.0067132 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 M 200,000,000 2015/08/07 2016/01/28 50.0067097 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 E 100,000,000 2015/08/07 2016/06/29 25.0067098 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 A 100,000,000 2015/08/07 2016/08/30 25.0067090 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 H 150,000,000 2015/08/07 2015/12/30 37.5067095 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 I 150,000,000 2015/08/07 2015/12/30 37.5067107 UBS AG – CUni R Bull CBBC Dec 2015 A 50,000,000 2015/08/07 2015/12/21 12.5067106 UBS AG – Galaxy Ent R Bull CBBC Jun 2016 A 100,000,000 2015/08/07 2016/06/20 25.0067114 UBS AG – HSI R Bull CBBC Feb 2016 S 200,000,000 2015/08/07 2016/02/26 50.0067102 UBS AG – HSI R Bear CBBC Jan 2016 G 200,000,000 2015/08/07 2016/01/28 50.0067109 UBS AG – Sands China R Bull CBBC Mar 2016 A 100,000,000 2015/08/07 2016/03/21 25.0067367 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Mar 2016 B 100,000,000 2015/08/10 2016/03/31 25.0067371 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Mar 2016 C 100,000,000 2015/08/10 2016/03/31 25.0067364 Credit Suisse AG – HS H-SH ETF R Bull CBBC Mar 2016 B 80,000,000 2015/08/10 2016/03/31 20.0067321 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 E 108,000,000 2015/08/10 2016/02/26 27.0067355 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 F 108,000,000 2015/08/10 2016/02/26 27.0067360 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 E 108,000,000 2015/08/10 2015/12/30 27.00




67362 Credit Suisse AG – HSI R Bull CBBC Mar 2016 D 200,000,000 2015/08/10 2016/03/30 50.0067311 Credit Suisse AG – HSI R Bull CBBC Mar 2016 J 200,000,000 2015/08/10 2016/03/30 50.0067312 Credit Suisse AG – HSI R Bull CBBC Mar 2016 K 200,000,000 2015/08/10 2016/03/30 50.0067314 Credit Suisse AG – HSI R Bull CBBC Mar 2016 L 200,000,000 2015/08/10 2016/03/30 50.0067363 Credit Suisse AG – HSI R Bull CBBC Apr 2016 P 200,000,000 2015/08/10 2016/04/28 64.0067374 Credit Suisse AG – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/08/10 2015/12/30 50.0067381 Credit Suisse AG – HSI R Bear CBBC Dec 2015 K 200,000,000 2015/08/10 2015/12/30 50.0067257 HK Bank – CAM CSI300 R Bull CBBC Sep 2016 B 100,000,000 2015/08/10 2016/09/26 48.0067258 HK Bank – CAM CSI300 R Bull CBBC Oct 2016 A 100,000,000 2015/08/10 2016/10/31 94.0067246 HK Bank – CGN Power R Bull CBBC Dec 2016 A 40,000,000 2015/08/10 2016/12/19 10.0067261 HK Bank – CM Bank R Bull CBBC Sep 2016 A 40,000,000 2015/08/10 2016/09/26 11.2067243 HK Bank – CRRC R Bull CBBC Dec 2016 A 40,000,000 2015/08/10 2016/12/19 10.0067259 HK Bank – Evergrande R Bull CBBC Nov 2016 A 60,000,000 2015/08/10 2016/11/28 15.0067260 HK Bank – Evergrande R Bull CBBC Dec 2016 A 60,000,000 2015/08/10 2016/12/19 15.0067202 HK Bank – Gome R Bull CBBC Dec 2016 A 40,000,000 2015/08/10 2016/12/19 16.4067200 HK Bank – HKEx R Bull CBBC Oct 2016 E 100,000,000 2015/08/10 2016/10/24 35.0067176 HK Bank – HKEx R Bull CBBC Nov 2016 A 100,000,000 2015/08/10 2016/11/07 44.0067449 J P Morgan SP BV – CAM CSI300 R Bull CBBC Aug 2016 A 100,000,000 2015/08/10 2016/08/19 25.0067450 J P Morgan SP BV – CAM CSI300 R Bull CBBC Sep 2016 A 100,000,000 2015/08/10 2016/09/15 25.0067276 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 F 100,000,000 2015/08/10 2016/07/28 25.0067282 J P Morgan SP BV – HSI R Bull CBBC May 2016 L 200,000,000 2015/08/10 2016/05/30 50.0067281 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 P 200,000,000 2015/08/10 2016/07/28 50.0067451 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 S 200,000,000 2015/08/10 2015/11/27 50.0067462 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 A 200,000,000 2015/08/10 2015/12/30 50.0067289 Standard Chartered Bank – CAM CSI300 R Bull CBBC Aug 2016 A 50,000,000 2015/08/10 2016/08/31 20.0067292 Standard Chartered Bank – CAM CSI300 R Bull CBBC Sep 2016 A 50,000,000 2015/08/10 2016/09/29 32.5067302 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 F 150,000,000 2015/08/10 2016/06/29 37.5067308 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 G 150,000,000 2015/08/10 2016/06/29 37.5067320 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 J 150,000,000 2015/08/10 2015/12/30 37.5067262 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Feb16Q 200,000,000 2015/08/10 2016/02/26 50.0067263 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Dec15N 200,000,000 2015/08/10 2015/12/30 50.0067275 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 E 200,000,000 2015/08/10 2016/03/30 50.0067309 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 S 200,000,000 2015/08/10 2016/01/28 50.0067310 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 T 400,000,000 2015/08/10 2016/01/28 100.0067408 UBS AG – HSCEI R Bull CBBC Dec 2015 N 200,000,000 2015/08/10 2015/12/30 50.0067444 UBS AG – HSCEI R Bear CBBC Nov 2015 Q 200,000,000 2015/08/10 2015/11/27 50.0067395 UBS AG – HSI R Bull CBBC Apr 2016 X 200,000,000 2015/08/10 2016/04/28 50.0067402 UBS AG – HSI R Bull CBBC May 2016 X 200,000,000 2015/08/10 2016/05/30 50.0067398 UBS AG – HSI R Bull CBBC Jul 2016 M 200,000,000 2015/08/10 2016/07/28 50.0067443 UBS AG – HSI R Bear CBBC Jan 2016 J 200,000,000 2015/08/10 2016/01/28 50.0067442 UBS AG – HSI R Bear CBBC Feb 2016 D 200,000,000 2015/08/10 2016/02/26 50.0067527 Credit Suisse AG – CAM CSI300 R Bull CBBC Jun 2016 A 80,000,000 2015/08/11 2016/06/29 34.4067533 Credit Suisse AG – CAM CSI300 R Bull CBBC Jun 2016 B 80,000,000 2015/08/11 2016/06/29 20.0067534 Credit Suisse AG – CAM CSI300 R Bull CBBC Jun 2016 C 80,000,000 2015/08/11 2016/06/29 20.0067519 Credit Suisse AG – CGN Power R Bull CBBC Aug 2016 A 40,000,000 2015/08/11 2016/08/30 10.00




67517 Credit Suisse AG – CRRC R Bull CBBC Mar 2016 A 40,000,000 2015/08/11 2016/03/30 10.0067515 Credit Suisse AG – Gome R Bull CBBC Jan 2016 A 40,000,000 2015/08/11 2016/01/28 13.6067542 Credit Suisse AG – HSI R Bull CBBC Apr 2016 Q 200,000,000 2015/08/11 2016/04/28 50.0067543 Credit Suisse AG – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/08/11 2016/01/28 50.0067463 HK Bank – AIA R Bull CBBC Sep 2016 C 60,000,000 2015/08/11 2016/09/26 15.0067494 HK Bank – China Life R Bull CBBC Sep 2016 A 60,000,000 2015/08/11 2016/09/26 48.6067478 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2016 B 200,000,000 2015/08/11 2016/07/25 56.0067486 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2016 A 200,000,000 2015/08/11 2016/08/15 64.0067464 HK Bank – A50 R Bear CBBC Oct 2016 A 50,000,000 2015/08/11 2016/10/31 12.5067490 HK Bank – HSCEI R Bull CBBC Sep 2016 D 100,000,000 2015/08/11 2016/09/29 25.0067493 HK Bank – HSCEI R Bull CBBC Oct 2016 C 100,000,000 2015/08/11 2016/10/28 25.0067500 HK Bank – HSCEI R Bull CBBC Nov 2016 B 100,000,000 2015/08/11 2016/11/29 25.0067501 HK Bank – HSCEI R Bear CBBC Aug 2016 D 68,000,000 2015/08/11 2016/08/30 17.0067497 HK Bank – PetCh R Bear CBBC Oct 2016 B 40,000,000 2015/08/11 2016/10/31 10.0067508 HK Bank – Sh Electric R Bull CBBC Dec 2016 A 40,000,000 2015/08/11 2016/12/19 10.0067496 HK Bank – TCH R Bull CBBC Aug 2016 E 100,000,000 2015/08/11 2016/08/29 25.0067512 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 I 100,000,000 2015/08/11 2016/04/28 25.0067513 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 B 150,000,000 2015/08/11 2016/08/30 37.5067509 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 K 100,000,000 2015/08/11 2015/12/30 25.0067537 UBS AG – HSI R Bull CBBC Mar 2016 Z 200,000,000 2015/08/11 2016/03/30 50.0067541 UBS AG – ICBC R Bull CBBC Jul 2016 A 100,000,000 2015/08/11 2016/07/25 25.0067560 Credit Suisse AG – China Comm Constr R Bull CBBC Apr 2016 A 50,000,000 2015/08/12 2016/04/29 12.5067563 Credit Suisse AG – HSI R Bull CBBC Feb 2016 K 200,000,000 2015/08/12 2016/02/26 50.0067559 Credit Suisse AG – HSI R Bear CBBC Feb 2016 K 200,000,000 2015/08/12 2016/02/26 50.0067561 Credit Suisse AG – HSI R Bear CBBC Mar 2016 B 200,000,000 2015/08/12 2016/03/30 50.0067557 HK Bank – CNOOC R Bull CBBC Dec 2016 A 60,000,000 2015/08/12 2016/12/19 15.0067548 HK Bank – Sinopec Corp R Bull CBBC Nov 2016 A 80,000,000 2015/08/12 2016/11/28 20.0067555 HK Bank – Sinopec Corp R Bull CBBC Dec 2016 A 80,000,000 2015/08/12 2016/12/19 20.0067544 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2016 B 100,000,000 2015/08/12 2016/08/10 25.0067556 HK Bank – PetCh R Bull CBBC Dec 2016 A 60,000,000 2015/08/12 2016/12/19 15.0067583 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 O 200,000,000 2015/08/12 2016/06/29 50.0067587 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 Q 200,000,000 2015/08/12 2016/07/28 50.0067572 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 B 200,000,000 2015/08/12 2015/12/30 50.0067589 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 H 200,000,000 2015/08/12 2015/12/30 50.0067558 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 J 150,000,000 2015/08/12 2016/04/28 37.5067570 UBS AG – HSI R Bull CBBC Jun 2016 V 200,000,000 2015/08/12 2016/06/29 50.0067564 UBS AG – HSI R Bear CBBC Dec 2015 X 200,000,000 2015/08/12 2015/12/30 50.0067621 Credit Suisse AG – HSI R Bull CBBC Jan 2016 K 200,000,000 2015/08/13 2016/01/28 50.0067622 Credit Suisse AG – HSI R Bear CBBC Dec 2015 M 200,000,000 2015/08/13 2015/12/30 50.0067617 Bank of East Asia – CAM CSI300 R Bull CBBC Jul 2016 A 50,000,000 2015/08/13 2016/07/05 12.5067592 Bank of East Asia – China Comm Constr R Bull CBBC Jun 2016 A 40,000,000 2015/08/13 2016/06/02 10.0067615 Bank of East Asia – CGN Power R Bull CBBC Jul 2016 A 100,000,000 2015/08/13 2016/07/06 25.0067597 Bank of East Asia – CRRC R Bull CBBC Dec 2016 A 40,000,000 2015/08/13 2016/12/16 10.0067591 Bank of East Asia – PetCh R Bull CBBC Jun 2016 B 40,000,000 2015/08/13 2016/06/17 10.0067669 J P Morgan SP BV – AIA R Bull CBBC Sep 2016 A 100,000,000 2015/08/13 2016/09/15 25.00




67657 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Apr 2016 D 100,000,000 2015/08/13 2016/04/15 25.0067666 J P Morgan SP BV – A50 China R Bull CBBC Jun 2016 B 100,000,000 2015/08/13 2016/06/17 25.0067656 J P Morgan SP BV – HKEx R Bull CBBC Nov 2016 B 100,000,000 2015/08/13 2016/11/18 32.0067652 J P Morgan SP BV – HKEx R Bear CBBC Mar 2016 A 100,000,000 2015/08/13 2016/03/31 25.0067654 J P Morgan SP BV – HKEx R Bear CBBC Mar 2016 B 100,000,000 2015/08/13 2016/03/31 32.0067641 J P Morgan SP BV – HSBC R Bull CBBC Aug 2016 A 100,000,000 2015/08/13 2016/08/31 25.0067645 J P Morgan SP BV – HSBC R Bull CBBC Oct 2016 A 100,000,000 2015/08/13 2016/10/28 25.0067647 J P Morgan SP BV – HSBC R Bear CBBC Apr 2016 A 100,000,000 2015/08/13 2016/04/15 25.0067590 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 P 200,000,000 2015/08/13 2016/06/29 50.0067674 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 N 200,000,000 2015/08/13 2015/11/27 50.0067670 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 T 200,000,000 2015/08/13 2015/11/27 50.0067658 J P Morgan SP BV – Ping An R Bull CBBC Sep 2016 A 100,000,000 2015/08/13 2016/09/15 25.0067663 J P Morgan SP BV – Ping An R Bull CBBC Oct 2016 B 100,000,000 2015/08/13 2016/10/14 25.0067665 J P Morgan SP BV – Tencent R Bull CBBC Sep 2016 A 100,000,000 2015/08/13 2016/09/15 25.0067638 UBS AG – HSI R Bull CBBC Apr 2016 Y 200,000,000 2015/08/13 2016/04/28 50.0067639 UBS AG – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/08/13 2015/12/30 50.0067732 Credit Suisse AG – HSI R Bull CBBC Mar 2016 M 200,000,000 2015/08/14 2016/03/30 50.0067730 Credit Suisse AG – HSI R Bear CBBC Nov 2015 M 200,000,000 2015/08/14 2015/11/27 50.0067728 Credit Suisse AG – HSI R Bear CBBC Nov 2015 W 200,000,000 2015/08/14 2015/11/27 50.0067701 HK Bank – CAM CSI300 R Bull CBBC Jun 2016 A 100,000,000 2015/08/14 2016/06/06 35.0067693 HK Bank – CAM CSI300 R Bull CBBC Aug 2016 B 100,000,000 2015/08/14 2016/08/22 74.0067716 HK Bank – CGN Power R Bull CBBC Aug 2016 A 40,000,000 2015/08/14 2016/08/22 10.0067725 HK Bank – CSOP A50 ETF R Bear CBBC Aug 2016 B 40,000,000 2015/08/14 2016/08/01 10.0067687 HK Bank – HS H-SH ETF R Bull CBBC Aug 2016 B 100,000,000 2015/08/14 2016/08/08 25.0067726 HK Bank – HSI R Bear CBBC Jun 2016 H 100,000,000 2015/08/14 2016/06/29 25.0067676 HK Bank – Ping An R Bear CBBC Jun 2016 C 40,000,000 2015/08/14 2016/06/06 10.0067675 HK Bank – TCH R Bear CBBC Aug 2016 A 100,000,000 2015/08/14 2016/08/22 25.0067757 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jun 2016 C 100,000,000 2015/08/14 2016/06/17 25.0067751 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 Q 200,000,000 2015/08/14 2016/06/29 50.0067747 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 R 200,000,000 2015/08/14 2016/07/28 50.0067759 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 U 200,000,000 2015/08/14 2015/11/27 50.0067760 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 I 200,000,000 2015/08/14 2015/12/30 50.0067735 UBS AG – HSI R Bull CBBC Jun 2016 W 200,000,000 2015/08/14 2016/06/29 50.0067733 UBS AG – HSI R Bear CBBC Nov 2015 J 200,000,000 2015/08/14 2015/11/27 50.0067794 Credit Suisse AG – HSI R Bull CBBC Feb 2016 L 200,000,000 2015/08/17 2016/02/26 50.0067796 Credit Suisse AG – HSI R Bull CBBC Feb 2016 M 200,000,000 2015/08/17 2016/02/26 50.0067798 Credit Suisse AG – HSI R Bull CBBC Feb 2016 N 200,000,000 2015/08/17 2016/02/26 50.0067797 Credit Suisse AG – HSI R Bear CBBC Dec 2015 N 200,000,000 2015/08/17 2015/12/30 50.0067791 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 S 200,000,000 2015/08/17 2016/07/28 50.0067804 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 V 200,000,000 2015/08/17 2015/11/27 50.0067792 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2015 B 40,000,000 2015/08/17 2015/11/27 10.2067790 Standard Chartered Bank – HSCEI R Bear CBBC Jan 2016 B 100,000,000 2015/08/17 2016/01/28 25.0067773 Standard Chartered Bank – HSI R Bull CBBC May 2016 A 100,000,000 2015/08/17 2016/05/30 25.0067775 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 C 100,000,000 2015/08/17 2016/08/30 29.5067801 UBS AG – HSI R Bull CBBC May 2016 G 200,000,000 2015/08/17 2016/05/30 50.00




67802 UBS AG – HSI R Bull CBBC May 2016 H 200,000,000 2015/08/17 2016/05/30 50.0067799 UBS AG – HSI R Bull CBBC May 2016 Y 200,000,000 2015/08/17 2016/05/30 50.0067800 UBS AG – HSI R Bull CBBC May 2016 Z 200,000,000 2015/08/17 2016/05/30 50.0067803 UBS AG – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/08/17 2015/12/30 50.0067821 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 G 108,000,000 2015/08/18 2016/02/26 27.0067822 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 H 108,000,000 2015/08/18 2016/03/30 27.0067823 Credit Suisse AG – HSI R Bull CBBC Mar 2016 N 200,000,000 2015/08/18 2016/03/30 50.0067824 Credit Suisse AG – HSI R Bull CBBC Mar 2016 O 200,000,000 2015/08/18 2016/03/30 50.0067825 Credit Suisse AG – HSI R Bull CBBC Mar 2016 P 200,000,000 2015/08/18 2016/03/30 50.0067826 Credit Suisse AG – HSI R Bull CBBC Mar 2016 Q 200,000,000 2015/08/18 2016/03/30 50.0067819 Credit Suisse AG – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/08/18 2015/12/30 50.0067820 Credit Suisse AG – HSI R Bear CBBC Dec 2015 K 200,000,000 2015/08/18 2015/12/30 50.0067866 Credit Suisse AG – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/08/18 2015/12/30 50.0067868 J P Morgan SP BV – HSCEI R Bull CBBC Jun 2016 D 100,000,000 2015/08/18 2016/06/29 25.0067867 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 I 100,000,000 2015/08/18 2016/04/28 25.0067869 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 R 200,000,000 2015/08/18 2016/06/29 50.0067885 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 T 200,000,000 2015/08/18 2016/07/28 50.0067805 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 W 200,000,000 2015/08/18 2015/11/27 50.0067806 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 J 200,000,000 2015/08/18 2015/12/30 50.0067818 Standard Chartered Bank – HSI R Bull CBBC Apr 2016 K 150,000,000 2015/08/18 2016/04/28 37.5067807 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 L 100,000,000 2015/08/18 2015/12/30 25.0067861 UBS AG – CAM CSI300 R Bull CBBC Aug 2016 A 50,000,000 2015/08/18 2016/08/22 12.5067865 UBS AG – HSI R Bull CBBC Apr 2016 F 200,000,000 2015/08/18 2016/04/28 50.0067864 UBS AG – HSI R Bull CBBC Apr 2016 Z 200,000,000 2015/08/18 2016/04/28 50.0067862 UBS AG – HSI R Bull CBBC Jun 2016 X 200,000,000 2015/08/18 2016/06/29 50.0067834 UBS AG – HSI R Bear CBBC Dec 2015 H 200,000,000 2015/08/18 2015/12/30 50.0067827 UBS AG – HSI R Bear CBBC Dec 2015 Z 200,000,000 2015/08/18 2015/12/30 50.0067846 UBS AG – TCH R Bull CBBC Sep 2016 C 50,000,000 2015/08/18 2016/09/19 12.5068245 BNP Paribas Arbit Issu B.V. – HKEx R Bear CBBC Dec 2015 C 40,000,000 2015/08/19 2015/12/31 10.0068240 BNP Paribas Arbit Issu B.V. – HS H ETF R Bull CBBC Jan 2016E 60,000,000 2015/08/19 2016/01/29 15.0068061 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 F 250,000,000 2015/08/19 2016/11/29 62.5068063 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 G 250,000,000 2015/08/19 2016/11/29 62.5068076 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 H 250,000,000 2015/08/19 2016/11/29 62.5068062 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 M 250,000,000 2015/08/19 2016/12/29 62.5068079 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 N 250,000,000 2015/08/19 2016/12/29 62.5068584 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 O 250,000,000 2015/08/19 2016/12/29 62.5068068 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 E 200,000,000 2015/08/19 2016/03/30 50.0068070 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 F 200,000,000 2015/08/19 2016/03/30 50.0068075 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 G 200,000,000 2015/08/19 2016/03/30 50.0068089 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 H 200,000,000 2015/08/19 2016/03/30 50.0068103 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 I 200,000,000 2015/08/19 2016/03/30 50.0068069 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 B 200,000,000 2015/08/19 2016/04/28 50.0068071 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 C 200,000,000 2015/08/19 2016/04/28 50.0068096 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 D 200,000,000 2015/08/19 2016/04/28 50.0068106 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 E 200,000,000 2015/08/19 2016/04/28 50.00




68594 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 F 200,000,000 2015/08/19 2016/04/28 50.0068270 BNP Paribas Arbit Issu B.V. – Petroch R Bull CBBC Jan 2016 B 60,000,000 2015/08/19 2016/01/29 15.0068252 BNP Paribas Arbit Issu B.V. – Ping An R Bear CBBC Dec 2015 C 40,000,000 2015/08/19 2015/12/31 10.0068248 BNP Paribas Arbit Issu B.V. – TCH R Bear CBBC Dec 2015 D 50,000,000 2015/08/19 2015/12/31 12.5068052 Credit Suisse AG – HSI R Bull CBBC Apr 2016 S 200,000,000 2015/08/19 2016/04/28 50.0068054 Credit Suisse AG – HSI R Bull CBBC Apr 2016 T 200,000,000 2015/08/19 2016/04/28 50.0068058 Credit Suisse AG – HSI R Bull CBBC Apr 2016 U 200,000,000 2015/08/19 2016/04/28 50.0068203 Credit Suisse AG – HSI R Bull CBBC May 2016 I 200,000,000 2015/08/19 2016/05/30 50.0068205 Credit Suisse AG – HSI R Bull CBBC May 2016 J 200,000,000 2015/08/19 2016/05/30 50.0068239 Credit Suisse AG – HSI R Bull CBBC May 2016 K 200,000,000 2015/08/19 2016/05/30 50.0068278 Credit Suisse AG – HSI R Bull CBBC May 2016 L 200,000,000 2015/08/19 2016/05/30 50.0068282 Credit Suisse AG – HSI R Bull CBBC May 2016 M 200,000,000 2015/08/19 2016/05/30 50.0068338 Credit Suisse AG – HSI R Bear CBBC Feb 2016 E 200,000,000 2015/08/19 2016/02/26 50.0068305 Credit Suisse AG – HSI R Bear CBBC Feb 2016 M 200,000,000 2015/08/19 2016/02/26 50.0068328 Credit Suisse AG – HSI R Bear CBBC Feb 2016 N 200,000,000 2015/08/19 2016/02/26 50.0068375 Credit Suisse AG – HSI R Bear CBBC Feb 2016 P 200,000,000 2015/08/19 2016/02/26 50.0068384 Credit Suisse AG – HSI R Bear CBBC Feb 2016 V 200,000,000 2015/08/19 2016/02/26 50.0068388 Credit Suisse AG – HSI R Bear CBBC Feb 2016 W 200,000,000 2015/08/19 2016/02/26 50.0067959 HK Bank – CAM CSI300 R Bull CBBC Oct 2016 B 100,000,000 2015/08/19 2016/10/17 38.0067984 HK Bank – China Mobile R Bull CBBC Nov 2016 B 120,000,000 2015/08/19 2016/11/14 30.0068006 HK Bank – China Life R Bull CBBC Sep 2016 B 60,000,000 2015/08/19 2016/09/12 15.0067982 HK Bank – CRRC R Bull CBBC Nov 2016 A 40,000,000 2015/08/19 2016/11/21 10.0067901 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2016 C 100,000,000 2015/08/19 2016/06/27 25.0067933 HK Bank – A50 R Bull CBBC Jun 2016 D 100,000,000 2015/08/19 2016/06/27 25.0067980 HK Bank – HKEx R Bull CBBC Oct 2016 F 100,000,000 2015/08/19 2016/10/05 25.0067892 HK Bank – HSCEI R Bull CBBC Jul 2016 F 100,000,000 2015/08/19 2016/07/28 25.0067968 HK Bank – HSI R Bull CBBC Jul 2016 M 150,000,000 2015/08/19 2016/07/28 37.5067971 HK Bank – HSI R Bear CBBC May 2016 O 100,000,000 2015/08/19 2016/05/30 25.0067994 HK Bank – Ping An R Bull CBBC Nov 2016 D 188,000,000 2015/08/19 2016/11/07 47.0067887 HK Bank – Sh Electric R Bull CBBC Nov 2016 A 40,000,000 2015/08/19 2016/11/21 10.0067977 HK Bank – TCH R Bull CBBC Jul 2016 F 100,000,000 2015/08/19 2016/07/04 25.0068400 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 G 100,000,000 2015/08/19 2016/07/28 25.0068025 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 S 200,000,000 2015/08/19 2016/06/29 50.0068580 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 T 200,000,000 2015/08/19 2016/06/29 50.0068393 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 U 200,000,000 2015/08/19 2016/07/28 50.0068557 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 V 200,000,000 2015/08/19 2016/07/28 50.0068555 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 A 200,000,000 2015/08/19 2016/08/30 50.0068519 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 B 200,000,000 2015/08/19 2016/09/29 50.0068548 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 X 200,000,000 2015/08/19 2015/11/27 50.0068478 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 K 200,000,000 2015/08/19 2015/12/30 50.0068479 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 N 200,000,000 2015/08/19 2016/01/28 50.0068477 J P Morgan SP BV – Tencent R Bear CBBC Mar 2016 B 100,000,000 2015/08/19 2016/03/30 25.0068046 Standard Chartered Bank – HSI R Bull CBBC May 2016 B 100,000,000 2015/08/19 2016/05/30 25.0068109 Standard Chartered Bank – HSI R Bull CBBC May 2016 C 150,000,000 2015/08/19 2016/05/30 37.5068154 Standard Chartered Bank – HSI R Bull CBBC May 2016 D 100,000,000 2015/08/19 2016/05/30 25.00




68027 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 H 100,000,000 2015/08/19 2016/06/29 25.0068047 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 M 150,000,000 2015/08/19 2015/12/30 37.5068049 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 N 100,000,000 2015/08/19 2015/12/30 25.0068155 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 O 100,000,000 2015/08/19 2015/12/30 25.0068160 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 P 150,000,000 2015/08/19 2015/12/30 37.5068435 UBS AG – CAM CSI300 R Bull CBBC Sep 2016 A 50,000,000 2015/08/19 2016/09/26 12.5068438 UBS AG – HSI R Bull CBBC May 2016 K 200,000,000 2015/08/19 2016/05/30 50.0068433 UBS AG – HSI R Bull CBBC Jun 2016 L 200,000,000 2015/08/19 2016/06/29 50.0068427 UBS AG – HSI R Bull CBBC Jun 2016 Y 200,000,000 2015/08/19 2016/06/29 50.0068429 UBS AG – HSI R Bull CBBC Jun 2016 Z 200,000,000 2015/08/19 2016/06/29 50.0068437 UBS AG – HSI R Bull CBBC Jul 2016 N 200,000,000 2015/08/19 2016/07/28 50.0068474 UBS AG – HSI R Bear CBBC Dec 2015 E 200,000,000 2015/08/19 2015/12/30 50.0068450 UBS AG – HSI R Bear CBBC Dec 2015 S 200,000,000 2015/08/19 2015/12/30 50.0068455 UBS AG – HSI R Bear CBBC Jan 2016 K 200,000,000 2015/08/19 2016/01/28 50.0068457 UBS AG – HSI R Bear CBBC Feb 2016 E 200,000,000 2015/08/19 2016/02/26 50.0068465 UBS AG – HSI R Bear CBBC Feb 2016 F 200,000,000 2015/08/19 2016/02/26 50.0068475 UBS AG – HSI R Bear CBBC Feb 2016 G 200,000,000 2015/08/19 2016/02/26 50.0068769 Credit Suisse AG – HSI R Bull CBBC Jun 2016 N 200,000,000 2015/08/20 2016/06/29 50.0068770 Credit Suisse AG – HSI R Bull CBBC Jun 2016 O 200,000,000 2015/08/20 2016/06/29 50.0068716 Credit Suisse AG – HSI R Bear CBBC Mar 2016 C 200,000,000 2015/08/20 2016/03/30 50.0068718 Credit Suisse AG – HSI R Bear CBBC Mar 2016 D 200,000,000 2015/08/20 2016/03/30 50.0068719 Credit Suisse AG – HSI R Bear CBBC Mar 2016 E 200,000,000 2015/08/20 2016/03/30 50.0068720 Credit Suisse AG – HSI R Bear CBBC Mar 2016 F 200,000,000 2015/08/20 2016/03/30 50.0068726 Credit Suisse AG – HSI R Bear CBBC Mar 2016 G 200,000,000 2015/08/20 2016/03/30 50.0068599 HK Bank – AIA R Bull CBBC Oct 2016 A 60,000,000 2015/08/20 2016/10/17 15.0068664 HK Bank – COVS R Bull CBBC Oct 2016 B 50,000,000 2015/08/20 2016/10/17 29.5068638 HK Bank – Sinopec Corp R Bear CBBC Jul 2016 C 40,000,000 2015/08/20 2016/07/27 10.0068611 HK Bank – HKEx R Bull CBBC Sep 2016 D 100,000,000 2015/08/20 2016/09/29 55.0068600 HK Bank – HKEx R Bull CBBC Nov 2016 B 100,000,000 2015/08/20 2016/11/07 46.0068623 HK Bank – HKEx R Bear CBBC Jul 2016 E 50,000,000 2015/08/20 2016/07/18 12.5068673 HK Bank – HSI R Bull CBBC Jul 2016 N 150,000,000 2015/08/20 2016/07/28 37.5068674 HK Bank – HSI R Bull CBBC Oct 2016 E 150,000,000 2015/08/20 2016/10/28 37.5068695 HK Bank – HSI R Bear CBBC Jun 2016 I 100,000,000 2015/08/20 2016/06/29 25.0068672 HK Bank – HSI R Bear CBBC Jul 2016 C 400,000,000 2015/08/20 2016/07/28 100.0068666 HK Bank – TCH R Bull CBBC Jul 2016 G 100,000,000 2015/08/20 2016/07/25 27.0068671 HK Bank – TCH R Bear CBBC Jul 2016 E 100,000,000 2015/08/20 2016/07/25 25.0068699 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 U 200,000,000 2015/08/20 2016/06/29 50.0068772 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 B 200,000,000 2015/08/20 2016/08/30 50.0068697 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 Y 200,000,000 2015/08/20 2015/11/27 50.0068771 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 G 200,000,000 2015/08/20 2015/12/30 50.0068794 J P Morgan SP BV – Tencent R Bull CBBC Jun 2016 B 100,000,000 2015/08/20 2016/06/29 25.0068711 Standard Chartered Bank – HSI R Bull CBBC May 2016 E 100,000,000 2015/08/20 2016/05/30 25.0068712 Standard Chartered Bank – HSI R Bull CBBC May 2016 F 100,000,000 2015/08/20 2016/05/30 25.0068713 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 Q 150,000,000 2015/08/20 2015/12/30 37.5068715 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 R 100,000,000 2015/08/20 2015/12/30 25.00




68733 UBS AG – HSI R Bull CBBC Apr 2016 L 200,000,000 2015/08/20 2016/04/28 50.0068749 UBS AG – HSI R Bear CBBC Dec 2015 Q 200,000,000 2015/08/20 2015/12/30 50.0068727 UBS AG – HSI R Bear CBBC Jan 2016 L 200,000,000 2015/08/20 2016/01/28 50.0068761 UBS AG – HSI R Bear CBBC Jan 2016 M 200,000,000 2015/08/20 2016/01/28 50.0068765 UBS AG – HSI R Bear CBBC Jan 2016 N 200,000,000 2015/08/20 2016/01/28 50.0068768 UBS AG – HSI R Bear CBBC Feb 2016 H 200,000,000 2015/08/20 2016/02/26 50.0068728 UBS AG – TCH R Bull CBBC Oct 2016 D 50,000,000 2015/08/20 2016/10/17 12.5068869 Credit Suisse AG – HSI R Bull CBBC Jul 2016 D 200,000,000 2015/08/21 2016/07/28 50.0068863 Credit Suisse AG – HSI R Bear CBBC Apr 2016 B 200,000,000 2015/08/21 2016/04/28 50.0068866 Credit Suisse AG – HSI R Bear CBBC Apr 2016 C 200,000,000 2015/08/21 2016/04/28 50.0068903 Credit Suisse AG – HSI R Bear CBBC Apr 2016 E 200,000,000 2015/08/21 2016/04/28 50.0068829 HK Bank – CNOOC R Bull CBBC Nov 2016 A 60,000,000 2015/08/21 2016/11/07 15.0068852 HK Bank – HSI R Bull CBBC Jul 2016 O 150,000,000 2015/08/21 2016/07/28 37.5068813 HK Bank – Ping An R Bull CBBC Nov 2016 E 188,000,000 2015/08/21 2016/11/28 47.0068795 HK Bank – TCH R Bull CBBC Jul 2016 H 100,000,000 2015/08/21 2016/07/25 25.0068809 HK Bank – TCH R Bull CBBC Aug 2016 F 100,000,000 2015/08/21 2016/08/22 25.0068941 J P Morgan SP BV – HSCEI R Bull CBBC Aug 2016 C 100,000,000 2015/08/21 2016/08/30 25.0068858 J P Morgan SP BV – HSI R Bull CBBC May 2016 M 200,000,000 2015/08/21 2016/05/30 50.0068917 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 C 200,000,000 2015/08/21 2016/08/30 50.0068859 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/08/21 2015/12/30 50.0068918 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 O 200,000,000 2015/08/21 2016/01/28 50.0068857 Standard Chartered Bank – A50 China R Bull CBBC Jun 2016 A 50,000,000 2015/08/21 2016/06/27 12.5068855 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 I 100,000,000 2015/08/21 2016/06/29 25.0068856 Standard Chartered Bank – HSI R Bear CBBC Dec 2015 S 150,000,000 2015/08/21 2015/12/30 37.5068949 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 J 200,000,000 2015/08/21 2016/04/28 50.0068951 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 K 200,000,000 2015/08/21 2016/04/28 50.0068966 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 J 200,000,000 2015/08/21 2016/01/28 50.0068972 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 O 200,000,000 2015/08/21 2016/01/28 50.0068956 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 U 200,000,000 2015/08/21 2016/01/28 50.0068963 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 V 200,000,000 2015/08/21 2016/01/28 50.0068870 UBS AG – HSI R Bull CBBC Jun 2016 N 200,000,000 2015/08/21 2016/06/29 50.0068876 UBS AG – HSI R Bear CBBC Jan 2016 O 200,000,000 2015/08/21 2016/01/28 50.0068873 UBS AG – HSI R Bear CBBC Feb 2016 I 200,000,000 2015/08/21 2016/02/26 50.0068881 UBS AG – HSI R Bear CBBC Feb 2016 J 200,000,000 2015/08/21 2016/02/26 50.0068893 UBS AG – Ping An R Bull CBBC Nov 2016 A 100,000,000 2015/08/21 2016/11/14 25.0069362 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2016 A 100,000,000 2015/08/24 2016/12/29 25.0069363 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Mar 2016 B 100,000,000 2015/08/24 2016/03/30 25.0069037 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 I 250,000,000 2015/08/24 2016/11/29 62.5069038 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 P 250,000,000 2015/08/24 2016/12/29 62.5069334 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 J 200,000,000 2015/08/24 2016/03/30 50.0069313 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 G 200,000,000 2015/08/24 2016/04/28 50.0069365 Credit Suisse AG – HSI R Bull CBBC Jul 2016 E 200,000,000 2015/08/24 2016/07/28 50.0069368 Credit Suisse AG – HSI R Bull CBBC Jul 2016 F 200,000,000 2015/08/24 2016/07/28 50.0069375 Credit Suisse AG – HSI R Bull CBBC Jul 2016 G 200,000,000 2015/08/24 2016/07/28 50.0069381 Credit Suisse AG – HSI R Bull CBBC Jul 2016 H 200,000,000 2015/08/24 2016/07/28 50.00




69382 Credit Suisse AG – HSI R Bull CBBC Jul 2016 I 200,000,000 2015/08/24 2016/07/28 50.0069384 Credit Suisse AG – HSI R Bear CBBC Feb 2016 Y 200,000,000 2015/08/24 2016/02/26 50.0069395 Credit Suisse AG – HSI R Bear CBBC Feb 2016 Z 200,000,000 2015/08/24 2016/02/26 50.0069233 J P Morgan SP BV – HSI R Bull CBBC Feb 2016 U 200,000,000 2015/08/24 2016/02/26 50.0069249 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 S 200,000,000 2015/08/24 2016/03/30 50.0068981 J P Morgan SP BV – HSI R Bull CBBC May 2016 N 200,000,000 2015/08/24 2016/05/30 50.0069256 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 Z 200,000,000 2015/08/24 2015/11/27 50.0069296 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 M 200,000,000 2015/08/24 2015/12/30 50.0069299 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 P 200,000,000 2015/08/24 2016/01/28 50.0069053 Standard Chartered Bank – HSCEI R Bull CBBC Aug 2016 A 100,000,000 2015/08/24 2016/08/30 25.0069058 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 J 100,000,000 2015/08/24 2016/06/29 25.0069073 Standard Chartered Bank – HSI R Bull CBBC Oct 2016 A 100,000,000 2015/08/24 2016/10/28 26.0069095 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 A 150,000,000 2015/08/24 2016/01/28 37.5069096 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 B 100,000,000 2015/08/24 2016/01/28 25.0069108 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 L 300,000,000 2015/08/24 2016/04/28 75.0069007 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 C 200,000,000 2015/08/24 2016/05/30 50.0069128 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 W 200,000,000 2015/08/24 2016/01/28 50.0069018 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 S 200,000,000 2015/08/24 2016/02/26 50.0069030 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 T 200,000,000 2015/08/24 2016/02/26 50.0069033 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 U 200,000,000 2015/08/24 2016/02/26 50.0069137 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 V 200,000,000 2015/08/24 2016/02/26 50.0069144 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 W 400,000,000 2015/08/24 2016/02/26 100.0069204 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 C 300,000,000 2015/08/24 2016/04/28 75.0069500 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2016 B 50,000,000 2015/08/24 2016/03/07 12.5069456 UBS AG – A50 China R Bull CBBC Mar 2016 C 50,000,000 2015/08/24 2016/03/14 12.5069452 UBS AG – HSI R Bull CBBC Apr 2016 A 200,000,000 2015/08/24 2016/04/28 50.0069506 UBS AG – HSI R Bear CBBC Jan 2016 P 200,000,000 2015/08/24 2016/01/28 50.0069507 UBS AG – HSI R Bear CBBC Feb 2016 K 200,000,000 2015/08/24 2016/02/26 50.0069501 UBS AG – TCH R Bull CBBC Dec 2016 A 50,000,000 2015/08/24 2016/12/19 12.5060149 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bear CBBC Mar16A 100,000,000 2015/08/25 2016/03/31 25.0060152 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Mar 2016 A 100,000,000 2015/08/25 2016/03/31 25.0060156 BNP Paribas Arbit Issu B.V. – A50 R Bear CBBC Mar 2016 A 100,000,000 2015/08/25 2016/03/31 25.0060140 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2016 B 100,000,000 2015/08/25 2016/12/29 25.0060141 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Apr 2016 B 100,000,000 2015/08/25 2016/04/28 25.0060126 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 J 250,000,000 2015/08/25 2016/11/29 62.5060132 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 Q 250,000,000 2015/08/25 2016/12/29 62.5060135 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 K 200,000,000 2015/08/25 2016/03/30 50.0060139 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 L 200,000,000 2015/08/25 2016/03/30 50.0060136 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 H 200,000,000 2015/08/25 2016/04/28 50.0069926 Credit Suisse AG – HSCEI R Bull CBBC Feb 2016 H 108,000,000 2015/08/25 2016/02/26 27.0069928 Credit Suisse AG – HSCEI R Bear CBBC Nov 2015 I 108,000,000 2015/08/25 2015/11/27 27.0069963 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 F 108,000,000 2015/08/25 2015/12/30 27.0069971 Credit Suisse AG – HSI R Bull CBBC Apr 2016 V 200,000,000 2015/08/25 2016/04/28 50.0069978 Credit Suisse AG – HSI R Bull CBBC May 2016 N 200,000,000 2015/08/25 2016/05/30 50.0069991 Credit Suisse AG – HSI R Bull CBBC May 2016 O 200,000,000 2015/08/25 2016/05/30 50.00




69982 Credit Suisse AG – HSI R Bull CBBC Jun 2016 P 200,000,000 2015/08/25 2016/06/29 50.0060003 Credit Suisse AG – HSI R Bull CBBC Jun 2016 Q 200,000,000 2015/08/25 2016/06/29 58.0060004 Credit Suisse AG – HSI R Bull CBBC Jun 2016 R 200,000,000 2015/08/25 2016/06/29 64.0060001 Credit Suisse AG – HSI R Bull CBBC Jul 2016 J 200,000,000 2015/08/25 2016/07/28 50.0060016 Credit Suisse AG – HSI R Bull CBBC Jul 2016 K 200,000,000 2015/08/25 2016/07/28 74.0060017 Credit Suisse AG – HSI R Bear CBBC Nov 2015 O 200,000,000 2015/08/25 2015/11/27 50.0060018 Credit Suisse AG – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/08/25 2016/01/28 50.0060023 Credit Suisse AG – HSI R Bear CBBC Feb 2016 C 200,000,000 2015/08/25 2016/02/26 50.0069551 HK Bank – CC Bank R Bear CBBC Oct 2016 A 40,000,000 2015/08/25 2016/10/03 10.0069553 HK Bank – A50 R Bull CBBC May 2016 G 100,000,000 2015/08/25 2016/05/09 25.0069557 HK Bank – HSCEI R Bull CBBC Oct 2016 D 100,000,000 2015/08/25 2016/10/28 25.0069568 HK Bank – HSCEI R Bear CBBC Apr 2016 L 68,000,000 2015/08/25 2016/04/28 17.0069532 HK Bank – HSI R Bull CBBC Jul 2016 P 150,000,000 2015/08/25 2016/07/28 37.5069572 HK Bank – TCH R Bull CBBC Jul 2016 I 100,000,000 2015/08/25 2016/07/18 25.0069509 HK Bank – TCH R Bull CBBC Aug 2016 G 100,000,000 2015/08/25 2016/08/01 25.0069798 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jun 2016 D 100,000,000 2015/08/25 2016/06/17 25.0069830 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jul 2016 B 100,000,000 2015/08/25 2016/07/15 25.0069852 J P Morgan SP BV – A50 China R Bull CBBC Jul 2016 B 100,000,000 2015/08/25 2016/07/15 25.0060053 J P Morgan SP BV – A50 China R Bull CBBC Aug 2016 A 100,000,000 2015/08/25 2016/08/19 25.0069855 J P Morgan SP BV – A50 China R Bear CBBC Jul 2016 A 100,000,000 2015/08/25 2016/07/15 25.0060059 J P Morgan SP BV – HSCEI R Bull CBBC Dec 2016 C 100,000,000 2015/08/25 2016/12/29 25.0060055 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 J 100,000,000 2015/08/25 2016/04/28 25.0069789 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 C 200,000,000 2015/08/25 2016/03/30 50.0060072 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 V 200,000,000 2015/08/25 2016/04/28 50.0060062 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 V 200,000,000 2015/08/25 2016/06/29 50.0060068 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 D 200,000,000 2015/08/25 2016/08/30 50.0060071 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 E 200,000,000 2015/08/25 2016/08/30 50.0060073 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 B 200,000,000 2015/08/25 2016/10/28 50.0060081 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 F 200,000,000 2015/08/25 2015/11/27 50.0069583 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 N 200,000,000 2015/08/25 2015/12/30 50.0060038 Macquarie Bank Ltd. – HSI R Bull CBBC Nov 2015 C 40,000,000 2015/08/25 2015/11/27 10.2060039 Macquarie Bank Ltd. – HSI R Bull CBBC Nov 2015 D 40,000,000 2015/08/25 2015/11/27 10.0060041 Macquarie Bank Ltd. – HSI R Bear CBBC Nov 2015 C 40,000,000 2015/08/25 2015/11/27 10.2060044 Macquarie Bank Ltd. – HSI R Bear CBBC Dec 2015 A 40,000,000 2015/08/25 2015/12/30 10.0069896 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Jun 2016A 50,000,000 2015/08/25 2016/06/20 12.5069897 Standard Chartered Bank – A50 China R Bull CBBC Jun 2016 B 50,000,000 2015/08/25 2016/06/13 12.5069588 Standard Chartered Bank – HSI R Bull CBBC May 2016 G 100,000,000 2015/08/25 2016/05/30 25.0069893 Standard Chartered Bank – HSI R Bull CBBC May 2016 H 150,000,000 2015/08/25 2016/05/30 37.5069585 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 C 100,000,000 2015/08/25 2016/01/28 25.0069923 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 D 100,000,000 2015/08/25 2016/01/28 25.0069657 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16E 200,000,000 2015/08/25 2016/03/30 50.0069658 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16K 200,000,000 2015/08/25 2016/01/28 50.0069754 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr 16M 200,000,000 2015/08/25 2016/04/28 50.0069600 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May 16D 200,000,000 2015/08/25 2016/05/30 50.0069671 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May 16E 200,000,000 2015/08/25 2016/05/30 50.00




69716 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May 16F 200,000,000 2015/08/25 2016/05/30 50.0069736 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May 16G 200,000,000 2015/08/25 2016/05/30 50.0069755 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan 16Q 200,000,000 2015/08/25 2016/01/28 50.0060051 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb 16A 200,000,000 2015/08/25 2016/02/26 50.0069601 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb 16X 200,000,000 2015/08/25 2016/02/26 50.0069655 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb 16Y 200,000,000 2015/08/25 2016/02/26 50.0060046 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb 16Z 200,000,000 2015/08/25 2016/02/26 50.0060116 UBS AG – HSCEI R Bull CBBC Sep 2016 A 200,000,000 2015/08/25 2016/09/29 50.0060101 UBS AG – HSI R Bull CBBC Apr 2016 D 200,000,000 2015/08/25 2016/04/28 50.0060086 UBS AG – HSI R Bull CBBC Jun 2016 A 200,000,000 2015/08/25 2016/06/29 50.0060102 UBS AG – HSI R Bull CBBC Aug 2016 F 200,000,000 2015/08/25 2016/08/30 50.0060118 UBS AG – HSI R Bear CBBC Dec 2015 T 200,000,000 2015/08/25 2015/12/30 50.0060122 UBS AG – HSI R Bear CBBC Jan 2016 H 200,000,000 2015/08/25 2016/01/28 50.0060123 UBS AG – HSI R Bear CBBC Jan 2016 Q 200,000,000 2015/08/25 2016/01/28 50.0060456 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Mar16B 100,000,000 2015/08/26 2016/03/31 28.0060304 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2016 A 100,000,000 2015/08/26 2016/11/29 25.0060306 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Mar 2016 C 100,000,000 2015/08/26 2016/03/30 25.0060205 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 K 250,000,000 2015/08/26 2016/11/29 62.5060200 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 R 250,000,000 2015/08/26 2016/12/29 62.5060214 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 S 250,000,000 2015/08/26 2016/12/29 62.5060295 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 M 200,000,000 2015/08/26 2016/03/30 50.0060296 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 I 200,000,000 2015/08/26 2016/04/28 50.0060453 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 J 200,000,000 2015/08/26 2016/04/28 50.0060362 Credit Suisse AG – China Life R Bull CBBC Sep 2016 A 80,000,000 2015/08/26 2016/09/30 20.0060348 Credit Suisse AG – A50 China R Bull CBBC Mar 2016 C 100,000,000 2015/08/26 2016/03/31 25.0060447 Credit Suisse AG – A50 China R Bull CBBC Mar 2016 D 100,000,000 2015/08/26 2016/03/31 26.0060317 Credit Suisse AG – HSI R Bull CBBC May 2016 P 200,000,000 2015/08/26 2016/05/30 50.0060328 Credit Suisse AG – HSI R Bull CBBC May 2016 Q 200,000,000 2015/08/26 2016/05/30 50.0060336 Credit Suisse AG – HSI R Bull CBBC May 2016 R 200,000,000 2015/08/26 2016/05/30 50.0060311 Credit Suisse AG – HSI R Bull CBBC Jun 2016 S 200,000,000 2015/08/26 2016/06/29 50.0060320 Credit Suisse AG – HSI R Bull CBBC Jun 2016 T 200,000,000 2015/08/26 2016/06/29 50.0060327 Credit Suisse AG – HSI R Bull CBBC Jun 2016 U 200,000,000 2015/08/26 2016/06/29 50.0060337 Credit Suisse AG – HSI R Bull CBBC Jun 2016 V 200,000,000 2015/08/26 2016/06/29 50.0060309 Credit Suisse AG – HSI R Bull CBBC Jul 2016 L 200,000,000 2015/08/26 2016/07/28 50.0060338 Credit Suisse AG – HSI R Bull CBBC Jul 2016 M 200,000,000 2015/08/26 2016/07/28 50.0060339 Credit Suisse AG – HSI R Bull CBBC Aug 2016 A 200,000,000 2015/08/26 2016/08/30 54.0060341 Credit Suisse AG – HSI R Bull CBBC Aug 2016 B 200,000,000 2015/08/26 2016/08/30 76.0060430 Credit Suisse AG – HSI R Bear CBBC Mar 2016 H 200,000,000 2015/08/26 2016/03/30 50.0060432 Credit Suisse AG – HSI R Bear CBBC Mar 2016 I 200,000,000 2015/08/26 2016/03/30 50.0060433 Credit Suisse AG – HSI R Bear CBBC Mar 2016 J 200,000,000 2015/08/26 2016/03/30 50.0060434 Credit Suisse AG – HSI R Bear CBBC Mar 2016 K 200,000,000 2015/08/26 2016/03/30 50.0060442 Credit Suisse AG – HSI R Bear CBBC Mar 2016 L 200,000,000 2015/08/26 2016/03/30 50.0060361 Credit Suisse AG – Ping An R Bull CBBC May 2016 A 100,000,000 2015/08/26 2016/05/31 25.0060357 Credit Suisse AG – TCH R Bull CBBC Jan 2016 C 80,000,000 2015/08/26 2016/01/29 20.0060180 HK Bank – China Life R Bear CBBC Oct 2016 A 50,000,000 2015/08/26 2016/10/31 18.00




60158 HK Bank – CNOOC R Bear CBBC Apr 2016 A 40,000,000 2015/08/26 2016/04/25 10.0060161 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2016 C 100,000,000 2015/08/26 2016/08/01 33.0060160 HK Bank – Gome R Bull CBBC Nov 2016 A 40,000,000 2015/08/26 2016/11/21 21.6060179 HK Bank – HSCEI R Bull CBBC Aug 2016 G 100,000,000 2015/08/26 2016/08/30 28.0060175 HK Bank – HSCEI R Bear CBBC May 2016 J 68,000,000 2015/08/26 2016/05/30 17.0060164 HK Bank – HSI R Bull CBBC Sep 2016 I 150,000,000 2015/08/26 2016/09/29 37.5060165 HK Bank – HSI R Bull CBBC Nov 2016 E 150,000,000 2015/08/26 2016/11/29 37.5060166 HK Bank – HSI R Bull CBBC Dec 2016 F 150,000,000 2015/08/26 2016/12/29 37.5060172 HK Bank – HSI R Bear CBBC Jun 2016 J 100,000,000 2015/08/26 2016/06/29 25.0060157 HK Bank – HSI R Bear CBBC Aug 2016 D 100,000,000 2015/08/26 2016/08/30 25.0060163 HK Bank – Haitong Sec R Bull CBBC Sep 2016 B 60,000,000 2015/08/26 2016/09/26 27.6060162 HK Bank – Ping An R Bull CBBC Nov 2016 F 188,000,000 2015/08/26 2016/11/14 47.0060159 HK Bank – TCH R Bull CBBC Aug 2016 H 100,000,000 2015/08/26 2016/08/15 28.0060464 J P Morgan SP BV – A50 China R Bull CBBC Sep 2016 A 100,000,000 2015/08/26 2016/09/15 25.0060463 J P Morgan SP BV – A50 China R Bear CBBC Jun 2016 B 100,000,000 2015/08/26 2016/06/17 25.0060465 J P Morgan SP BV – HKEx R Bear CBBC Mar 2016 C 100,000,000 2015/08/26 2016/03/18 25.0060475 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 H 100,000,000 2015/08/26 2016/07/28 25.0060466 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 K 100,000,000 2015/08/26 2016/04/28 25.0060233 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 E 200,000,000 2015/08/26 2016/03/30 50.0060483 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 J 200,000,000 2015/08/26 2016/03/30 50.0060491 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 W 200,000,000 2015/08/26 2016/07/28 50.0060487 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 F 200,000,000 2015/08/26 2016/08/30 50.0060490 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 C 200,000,000 2015/08/26 2016/09/29 50.0060508 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 B 200,000,000 2015/08/26 2016/11/29 50.0060476 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 J 200,000,000 2015/08/26 2015/11/27 50.0060477 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 O 200,000,000 2015/08/26 2015/12/30 50.0060480 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 Q 200,000,000 2015/08/26 2016/01/28 50.0060427 Macquarie Bank Ltd. – HSI R Bear CBBC Dec 2015 B 40,000,000 2015/08/26 2015/12/30 10.0060255 Standard Chartered Bank – HSI R Bull CBBC May 2016 I 150,000,000 2015/08/26 2016/05/30 37.5060248 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 A 100,000,000 2015/08/26 2016/07/28 25.0060239 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 E 150,000,000 2015/08/26 2016/01/28 37.5060294 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 F 100,000,000 2015/08/26 2016/01/28 25.0060222 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 N 200,000,000 2015/08/26 2016/04/28 50.0060223 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 H 200,000,000 2015/08/26 2016/05/30 50.0060226 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 I 200,000,000 2015/08/26 2016/05/30 50.0060281 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 J 200,000,000 2015/08/26 2016/05/30 50.0060283 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 K 200,000,000 2015/08/26 2016/05/30 50.0060289 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 L 200,000,000 2015/08/26 2016/05/30 50.0060290 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 M 200,000,000 2015/08/26 2016/05/30 50.0060292 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jan16 L 200,000,000 2015/08/26 2016/01/28 50.0060291 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 C 200,000,000 2015/08/26 2016/02/26 50.0060293 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 C 400,000,000 2015/08/26 2016/03/30 100.0060403 UBS AG – CAM CSI300 R Bull CBBC Oct 2016 A 100,000,000 2015/08/26 2016/10/24 25.0060395 UBS AG – CSOP A50 ETF R Bull CBBC Feb 2016 A 50,000,000 2015/08/26 2016/02/22 12.5060398 UBS AG – CSOP A50 ETF R Bull CBBC Apr 2016 B 50,000,000 2015/08/26 2016/04/11 12.50




60391 UBS AG – A50 China R Bull CBBC Apr 2016 A 50,000,000 2015/08/26 2016/04/18 12.5060393 UBS AG – A50 China R Bull CBBC Jun 2016 A 50,000,000 2015/08/26 2016/06/13 12.5060388 UBS AG – HSI R Bull CBBC Apr 2016 G 200,000,000 2015/08/26 2016/04/28 50.0060378 UBS AG – HSI R Bull CBBC May 2016 M 200,000,000 2015/08/26 2016/05/30 50.0060410 UBS AG – HSI R Bull CBBC May 2016 N 200,000,000 2015/08/26 2016/05/30 50.0060390 UBS AG – HSI R Bull CBBC Jul 2016 O 200,000,000 2015/08/26 2016/07/28 50.0060376 UBS AG – HSI R Bull CBBC Aug 2016 G 200,000,000 2015/08/26 2016/08/30 50.0060377 UBS AG – HSI R Bull CBBC Aug 2016 H 200,000,000 2015/08/26 2016/08/30 50.0060407 UBS AG – HSI R Bear CBBC Jan 2016 R 200,000,000 2015/08/26 2016/01/28 50.0060418 UBS AG – HSI R Bear CBBC Jan 2016 S 200,000,000 2015/08/26 2016/01/28 50.0060419 UBS AG – HSI R Bear CBBC Jan 2016 T 200,000,000 2015/08/26 2016/01/28 50.0060406 UBS AG – HSI R Bear CBBC Feb 2016 L 200,000,000 2015/08/26 2016/02/26 50.0060426 UBS AG – HSI R Bear CBBC Feb 2016 M 200,000,000 2015/08/26 2016/02/26 50.0060822 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Mar 2016 B 100,000,000 2015/08/27 2016/03/31 29.0060743 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2016 B 100,000,000 2015/08/27 2016/11/29 27.0060748 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2016 C 100,000,000 2015/08/27 2016/11/29 25.0060749 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2016 C 100,000,000 2015/08/27 2016/12/29 25.0060761 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Apr 2016 C 100,000,000 2015/08/27 2016/04/28 25.0060586 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 L 250,000,000 2015/08/27 2016/11/29 62.5060593 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 M 250,000,000 2015/08/27 2016/11/29 62.5060704 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 N 250,000,000 2015/08/27 2016/11/29 62.5060705 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 O 250,000,000 2015/08/27 2016/11/29 62.5060707 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 P 250,000,000 2015/08/27 2016/11/29 62.5060581 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 T 250,000,000 2015/08/27 2016/12/29 62.5060590 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 U 250,000,000 2015/08/27 2016/12/29 62.5060702 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 V 250,000,000 2015/08/27 2016/12/29 77.5060703 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 W 250,000,000 2015/08/27 2016/12/29 72.5060710 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 N 200,000,000 2015/08/27 2016/03/30 50.0060716 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 O 200,000,000 2015/08/27 2016/03/30 50.0060715 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 K 200,000,000 2015/08/27 2016/04/28 50.0060821 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 L 200,000,000 2015/08/27 2016/04/28 50.0060828 BNP Paribas Arbit Issu B.V. – Petroch R Bull CBBC Jan 2016 C 60,000,000 2015/08/27 2016/01/29 15.0060823 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Mar 2016 A 40,000,000 2015/08/27 2016/03/31 10.0060776 Credit Suisse AG – HSCEI R Bull CBBC Jun 2016 A 108,000,000 2015/08/27 2016/06/29 27.0060777 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 G 108,000,000 2015/08/27 2015/12/30 27.0060764 Credit Suisse AG – HSI R Bull CBBC Apr 2016 W 200,000,000 2015/08/27 2016/04/28 50.0060771 Credit Suisse AG – HSI R Bull CBBC Jun 2016 A 200,000,000 2015/08/27 2016/06/29 74.0060763 Credit Suisse AG – HSI R Bull CBBC Jun 2016 W 200,000,000 2015/08/27 2016/06/29 50.0060766 Credit Suisse AG – HSI R Bull CBBC Jun 2016 X 200,000,000 2015/08/27 2016/06/29 50.0060767 Credit Suisse AG – HSI R Bull CBBC Jun 2016 Y 200,000,000 2015/08/27 2016/06/29 50.0060770 Credit Suisse AG – HSI R Bull CBBC Jun 2016 Z 200,000,000 2015/08/27 2016/06/29 60.0060769 Credit Suisse AG – HSI R Bull CBBC Jul 2016 N 200,000,000 2015/08/27 2016/07/28 50.0060773 Credit Suisse AG – HSI R Bull CBBC Aug 2016 C 200,000,000 2015/08/27 2016/08/30 92.0060798 Credit Suisse AG – HSI R Bear CBBC Feb 2016 J 200,000,000 2015/08/27 2016/02/26 50.0060804 Credit Suisse AG – HSI R Bear CBBC Feb 2016 Q 200,000,000 2015/08/27 2016/02/26 50.00




60805 Credit Suisse AG – HSI R Bear CBBC Mar 2016 M 200,000,000 2015/08/27 2016/03/30 50.0060808 Credit Suisse AG – HSI R Bear CBBC Mar 2016 N 200,000,000 2015/08/27 2016/03/30 50.0060801 Credit Suisse AG – HSI R Bear CBBC Apr 2016 F 200,000,000 2015/08/27 2016/04/28 50.0060814 Credit Suisse AG – HSI R Bear CBBC Apr 2016 G 200,000,000 2015/08/27 2016/04/28 50.0060534 HK Bank – AIA R Bull CBBC Nov 2016 A 60,000,000 2015/08/27 2016/11/01 15.0060528 HK Bank – CM Bank R Bull CBBC Oct 2016 A 40,000,000 2015/08/27 2016/10/03 20.4060556 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2016 D 100,000,000 2015/08/27 2016/06/27 27.0060566 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2016 D 100,000,000 2015/08/27 2016/08/08 31.0060510 HK Bank – A50 R Bull CBBC Jul 2016 B 100,000,000 2015/08/27 2016/07/18 28.0060511 HK Bank – A50 R Bull CBBC Aug 2016 C 100,000,000 2015/08/27 2016/08/15 25.0060533 HK Bank – HS H-SH ETF R Bull CBBC Oct 2016 A 100,000,000 2015/08/27 2016/10/31 25.0060539 HK Bank – HSCEI R Bull CBBC Oct 2016 E 100,000,000 2015/08/27 2016/10/28 32.0060535 HK Bank – HSI R Bull CBBC Dec 2016 G 40,000,000 2015/08/27 2016/12/29 10.0060552 HK Bank – HSI R Bear CBBC May 2016 P 100,000,000 2015/08/27 2016/05/30 25.0060530 HK Bank – PetCh R Bull CBBC Oct 2016 B 60,000,000 2015/08/27 2016/10/19 15.0060522 HK Bank – PetCh R Bull CBBC Nov 2016 A 60,000,000 2015/08/27 2016/11/23 15.0060514 HK Bank – Ping An R Bull CBBC Oct 2016 E 188,000,000 2015/08/27 2016/10/31 47.0060518 HK Bank – Ping An R Bull CBBC Nov 2016 G 188,000,000 2015/08/27 2016/11/07 47.0060568 HK Bank – TCH R Bull CBBC Apr 2016 D 100,000,000 2015/08/27 2016/04/18 25.0060519 HK Bank – TCH R Bull CBBC Jul 2016 J 100,000,000 2015/08/27 2016/07/18 25.0060922 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Aug 2016 B 100,000,000 2015/08/27 2016/08/19 25.0060919 J P Morgan SP BV – A50 China R Bull CBBC Oct 2016 A 100,000,000 2015/08/27 2016/10/14 25.0060921 J P Morgan SP BV – A50 China R Bear CBBC Aug 2016 A 100,000,000 2015/08/27 2016/08/19 25.0060908 J P Morgan SP BV – HKEx R Bull CBBC Oct 2016 C 100,000,000 2015/08/27 2016/10/14 25.0060913 J P Morgan SP BV – HKEx R Bear CBBC Feb 2016 A 100,000,000 2015/08/27 2016/02/19 25.0060613 J P Morgan SP BV – HSCEI R Bull CBBC Aug 2016 D 100,000,000 2015/08/27 2016/08/30 25.0060937 J P Morgan SP BV – HSCEI R Bear CBBC Mar 2016 B 100,000,000 2015/08/27 2016/03/30 25.0060614 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 N 200,000,000 2015/08/27 2016/03/30 50.0060782 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 O 200,000,000 2015/08/27 2016/03/30 50.0060626 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 W 200,000,000 2015/08/27 2016/06/29 50.0060783 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 X 200,000,000 2015/08/27 2016/06/29 50.0060792 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 X 200,000,000 2015/08/27 2016/07/28 50.0060785 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 G 200,000,000 2015/08/27 2016/08/30 50.0060786 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 D 200,000,000 2015/08/27 2016/09/29 50.0060790 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 C 200,000,000 2015/08/27 2016/10/28 50.0060793 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 R 200,000,000 2015/08/27 2015/11/27 50.0060924 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 A 200,000,000 2015/08/27 2015/12/30 50.0060795 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 Z 200,000,000 2015/08/27 2015/12/30 50.0060796 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 R 200,000,000 2015/08/27 2016/01/28 50.0060926 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 J 200,000,000 2015/08/27 2016/02/26 50.0060898 J P Morgan SP BV – Tencent R Bull CBBC Jun 2016 C 100,000,000 2015/08/27 2016/06/17 25.0060903 J P Morgan SP BV – Tencent R Bear CBBC Apr 2016 C 100,000,000 2015/08/27 2016/04/15 25.0060652 Standard Chartered Bank – CAM CSI300 R Bull CBBC Aug 2016 B 50,000,000 2015/08/27 2016/08/31 16.5060661 Standard Chartered Bank – HKEx R Bull CBBC Jun 2016 B 50,000,000 2015/08/27 2016/06/27 13.0060665 Standard Chartered Bank – HKEx R Bear CBBC Mar 2016 D 50,000,000 2015/08/27 2016/03/07 13.50




60632 Standard Chartered Bank – HSCEI R Bull CBBC Jul 2016 A 100,000,000 2015/08/27 2016/07/28 25.0060648 Standard Chartered Bank – HSCEI R Bear CBBC Jan 2016 C 100,000,000 2015/08/27 2016/01/28 25.0060627 Standard Chartered Bank – HSI R Bull CBBC May 2016 J 100,000,000 2015/08/27 2016/05/30 25.0060701 Standard Chartered Bank – HSI R Bull CBBC May 2016 K 150,000,000 2015/08/27 2016/05/30 37.5060629 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 B 150,000,000 2015/08/27 2016/07/28 37.5060630 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 C 100,000,000 2015/08/27 2016/07/28 25.0060696 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 G 100,000,000 2015/08/27 2016/01/28 25.0060700 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 H 100,000,000 2015/08/27 2016/01/28 25.0060574 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 N 200,000,000 2015/08/27 2016/05/30 50.0060575 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 O 200,000,000 2015/08/27 2016/05/30 50.0060666 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 P 200,000,000 2015/08/27 2016/05/30 60.0060668 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 Q 200,000,000 2015/08/27 2016/05/30 56.0060669 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 R 200,000,000 2015/08/27 2016/05/30 52.0060674 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 S 200,000,000 2015/08/27 2016/05/30 50.0060675 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 T 200,000,000 2015/08/27 2016/05/30 50.0060692 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 U 200,000,000 2015/08/27 2016/05/30 50.0060693 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 D 200,000,000 2015/08/27 2016/02/26 50.0060694 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 E 200,000,000 2015/08/27 2016/02/26 50.0060893 UBS AG – HKEx R Bull CBBC Oct 2016 B 50,000,000 2015/08/27 2016/10/17 12.5060948 UBS AG – HSCEI R Bull CBBC May 2016 B 200,000,000 2015/08/27 2016/05/30 50.0060949 UBS AG – HSCEI R Bear CBBC Dec 2015 C 100,000,000 2015/08/27 2015/12/30 25.0060829 UBS AG – HSI R Bull CBBC May 2016 C 200,000,000 2015/08/27 2016/05/30 50.0060894 UBS AG – HSI R Bull CBBC May 2016 D 200,000,000 2015/08/27 2016/05/30 50.0060839 UBS AG – HSI R Bull CBBC May 2016 I 200,000,000 2015/08/27 2016/05/30 50.0060847 UBS AG – HSI R Bull CBBC May 2016 J 200,000,000 2015/08/27 2016/05/30 50.0060849 UBS AG – HSI R Bull CBBC May 2016 L 200,000,000 2015/08/27 2016/05/30 50.0060855 UBS AG – HSI R Bull CBBC May 2016 O 200,000,000 2015/08/27 2016/05/30 50.0060897 UBS AG – HSI R Bull CBBC Jun 2016 B 200,000,000 2015/08/27 2016/06/29 50.0060843 UBS AG – HSI R Bull CBBC Jul 2016 P 200,000,000 2015/08/27 2016/07/28 50.0060865 UBS AG – HSI R Bull CBBC Jul 2016 Q 200,000,000 2015/08/27 2016/07/28 50.0060891 UBS AG – HSI R Bull CBBC Jul 2016 R 200,000,000 2015/08/27 2016/07/28 50.0060866 UBS AG – HSI R Bull CBBC Aug 2016 I 200,000,000 2015/08/27 2016/08/30 62.0060877 UBS AG – HSI R Bull CBBC Sep 2016 C 200,000,000 2015/08/27 2016/09/29 86.0060878 UBS AG – HSI R Bull CBBC Sep 2016 D 200,000,000 2015/08/27 2016/09/29 96.0060941 UBS AG – HSI R Bear CBBC Dec 2015 U 200,000,000 2015/08/27 2015/12/30 50.0060940 UBS AG – HSI R Bear CBBC Jan 2016 U 200,000,000 2015/08/27 2016/01/28 50.0060944 UBS AG – HSI R Bear CBBC Feb 2016 N 200,000,000 2015/08/27 2016/02/26 50.0060946 UBS AG – HSI R Bear CBBC Feb 2016 O 200,000,000 2015/08/27 2016/02/26 50.0060947 UBS AG – HSI R Bear CBBC Feb 2016 P 200,000,000 2015/08/27 2016/02/26 50.0060939 UBS AG – Ping An R Bull CBBC Oct 2016 B 100,000,000 2015/08/27 2016/10/24 25.0061448 BNP Paribas Arbit Issu B.V. – CAM CSI300 R Bull CBBC Sep16 A 100,000,000 2015/08/28 2016/09/30 25.0061450 BNP Paribas Arbit Issu B.V. – HKEx R Bull CBBC Dec 2015 J 40,000,000 2015/08/28 2015/12/31 14.0061451 BNP Paribas Arbit Issu B.V. – HKEx R Bear CBBC Dec 2015 D 40,000,000 2015/08/28 2015/12/31 10.0061449 BNP Paribas Arbit Issu B.V. – HS H ETF R Bull CBBC Jan 2016F 60,000,000 2015/08/28 2016/01/29 15.0061447 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Mar 2016 D 100,000,000 2015/08/28 2016/03/30 25.00




61192 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 Q 250,000,000 2015/08/28 2016/11/29 62.5061195 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 R 250,000,000 2015/08/28 2016/11/29 62.5061334 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 S 250,000,000 2015/08/28 2016/11/29 75.0061354 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 T 250,000,000 2015/08/28 2016/11/29 62.5061364 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 U 250,000,000 2015/08/28 2016/11/29 62.5061379 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 V 250,000,000 2015/08/28 2016/11/29 62.5061384 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 C 250,000,000 2015/08/28 2016/12/29 62.5061194 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 X 250,000,000 2015/08/28 2016/12/29 62.5061344 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 Y 250,000,000 2015/08/28 2016/12/29 62.5061345 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 Z 250,000,000 2015/08/28 2016/12/29 62.5061413 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 P 200,000,000 2015/08/28 2016/03/30 50.0061417 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 Q 200,000,000 2015/08/28 2016/03/30 50.0061441 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 R 200,000,000 2015/08/28 2016/03/30 50.0061416 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 M 200,000,000 2015/08/28 2016/04/28 50.0061418 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 N 200,000,000 2015/08/28 2016/04/28 50.0061580 Credit Suisse AG – CAM CSI300 R Bull CBBC Jun 2016 D 80,000,000 2015/08/28 2016/06/30 20.0061726 Credit Suisse AG – BOCL R Bull CBBC Apr 2016 A 70,000,000 2015/08/28 2016/04/29 17.5061714 Credit Suisse AG – CCB R Bull CBBC Apr 2016 A 70,000,000 2015/08/28 2016/04/29 17.5061592 Credit Suisse AG – China Life R Bull CBBC Nov 2016 A 80,000,000 2015/08/28 2016/11/30 20.0061606 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Apr 2016 A 100,000,000 2015/08/28 2016/04/29 26.0061621 Credit Suisse AG – A50 China R Bull CBBC Apr 2016 A 100,000,000 2015/08/28 2016/04/29 27.0061601 Credit Suisse AG – HKEx R Bull CBBC Mar 2016 C 100,000,000 2015/08/28 2016/03/31 28.0061595 Credit Suisse AG – HKEx R Bull CBBC Jun 2016 A 100,000,000 2015/08/28 2016/06/30 36.0061593 Credit Suisse AG – HKEx R Bull CBBC Jul 2016 A 100,000,000 2015/08/28 2016/07/29 44.0061574 Credit Suisse AG – HS H-SH ETF R Bull CBBC Mar 2016 C 80,000,000 2015/08/28 2016/03/31 20.0061579 Credit Suisse AG – HS H-SH ETF R Bull CBBC Apr 2016 A 80,000,000 2015/08/28 2016/04/29 20.0061647 Credit Suisse AG – HSCEI R Bull CBBC Jul 2016 A 108,000,000 2015/08/28 2016/07/28 27.0061644 Credit Suisse AG – HSCEI R Bull CBBC Aug 2016 A 108,000,000 2015/08/28 2016/08/30 27.0061654 Credit Suisse AG – HSCEI R Bear CBBC Jan 2016 D 108,000,000 2015/08/28 2016/01/28 27.0061534 Credit Suisse AG – HSI R Bull CBBC Jun 2016 B 200,000,000 2015/08/28 2016/06/29 50.0061543 Credit Suisse AG – HSI R Bull CBBC Jun 2016 C 200,000,000 2015/08/28 2016/06/29 50.0061516 Credit Suisse AG – HSI R Bull CBBC Jul 2016 O 200,000,000 2015/08/28 2016/07/28 50.0061542 Credit Suisse AG – HSI R Bull CBBC Jul 2016 P 200,000,000 2015/08/28 2016/07/28 50.0061554 Credit Suisse AG – HSI R Bull CBBC Jul 2016 Q 200,000,000 2015/08/28 2016/07/28 50.0061728 Credit Suisse AG – HSI R Bull CBBC Jul 2016 R 200,000,000 2015/08/28 2016/07/28 50.0061538 Credit Suisse AG – HSI R Bull CBBC Aug 2016 D 200,000,000 2015/08/28 2016/08/30 50.0061546 Credit Suisse AG – HSI R Bull CBBC Aug 2016 E 200,000,000 2015/08/28 2016/08/30 50.0061562 Credit Suisse AG – HSI R Bull CBBC Aug 2016 F 200,000,000 2015/08/28 2016/08/30 50.0061571 Credit Suisse AG – HSI R Bull CBBC Sep 2016 A 200,000,000 2015/08/28 2016/09/29 50.0061659 Credit Suisse AG – HSI R Bull CBBC Oct 2016 A 200,000,000 2015/08/28 2016/10/28 50.0061664 Credit Suisse AG – HSI R Bull CBBC Oct 2016 B 200,000,000 2015/08/28 2016/10/28 54.0061710 Credit Suisse AG – HSI R Bull CBBC Oct 2016 C 200,000,000 2015/08/28 2016/10/28 78.0061570 Credit Suisse AG – HSI R Bull CBBC Nov 2016 A 200,000,000 2015/08/28 2016/11/29 50.0061660 Credit Suisse AG – HSI R Bull CBBC Nov 2016 B 200,000,000 2015/08/28 2016/11/29 50.0061692 Credit Suisse AG – HSI R Bull CBBC Nov 2016 C 200,000,000 2015/08/28 2016/11/29 60.00




61711 Credit Suisse AG – HSI R Bull CBBC Nov 2016 D 200,000,000 2015/08/28 2016/11/29 88.0061709 Credit Suisse AG – HSI R Bull CBBC Dec 2016 A 200,000,000 2015/08/28 2016/12/29 68.0061713 Credit Suisse AG – HSI R Bull CBBC Dec 2016 B 200,000,000 2015/08/28 2016/12/29 94.0061766 Credit Suisse AG – HSI R Bear CBBC Feb 2016 D 200,000,000 2015/08/28 2016/02/26 50.0061808 Credit Suisse AG – HSI R Bear CBBC Feb 2016 F 200,000,000 2015/08/28 2016/02/26 50.0061786 Credit Suisse AG – HSI R Bear CBBC Mar 2016 O 200,000,000 2015/08/28 2016/03/30 50.0061805 Credit Suisse AG – HSI R Bear CBBC Mar 2016 P 200,000,000 2015/08/28 2016/03/30 50.0061732 Credit Suisse AG – HSI R Bear CBBC Apr 2016 H 200,000,000 2015/08/28 2016/04/28 50.0061760 Credit Suisse AG – HSI R Bear CBBC Apr 2016 I 200,000,000 2015/08/28 2016/04/28 50.0061810 Credit Suisse AG – HSI R Bear CBBC Apr 2016 J 200,000,000 2015/08/28 2016/04/28 50.0061715 Credit Suisse AG – ICBC R Bull CBBC Apr 2016 A 70,000,000 2015/08/28 2016/04/29 17.5061587 Credit Suisse AG – Ping An R Bull CBBC Mar 2016 D 100,000,000 2015/08/28 2016/03/31 25.0061588 Credit Suisse AG – Ping An R Bull CBBC Apr 2016 A 100,000,000 2015/08/28 2016/04/29 25.0061602 Credit Suisse AG – TCH R Bull CBBC Mar 2016 B 100,000,000 2015/08/28 2016/03/31 30.0061084 HK Bank – CC Bank R Bull CBBC Dec 2016 B 100,000,000 2015/08/28 2016/12/30 25.0061075 HK Bank – CNOOC R Bull CBBC Nov 2016 B 60,000,000 2015/08/28 2016/11/28 17.4061076 HK Bank – Sinopec Corp R Bull CBBC Nov 2016 B 80,000,000 2015/08/28 2016/11/28 20.0061086 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2016 C 100,000,000 2015/08/28 2016/07/18 41.0061005 HK Bank – CSOP A50 ETF R Bear CBBC Aug 2016 C 40,000,000 2015/08/28 2016/08/15 10.0061010 HK Bank – A50 R Bull CBBC Dec 2016 A 100,000,000 2015/08/28 2016/12/30 35.0061021 HK Bank – A50 R Bear CBBC Oct 2016 B 50,000,000 2015/08/28 2016/10/31 12.5061023 HK Bank – HKEx R Bear CBBC Jun 2016 E 50,000,000 2015/08/28 2016/06/27 12.5060996 HK Bank – HSCEI R Bull CBBC Nov 2016 C 100,000,000 2015/08/28 2016/11/29 32.0060997 HK Bank – HSCEI R Bear CBBC Jun 2016 A 68,000,000 2015/08/28 2016/06/29 17.0060968 HK Bank – HSI R Bull CBBC Jul 2016 Q 150,000,000 2015/08/28 2016/07/28 37.5060990 HK Bank – HSI R Bull CBBC Aug 2016 H 150,000,000 2015/08/28 2016/08/30 37.5060960 HK Bank – HSI R Bull CBBC Nov 2016 F 150,000,000 2015/08/28 2016/11/29 37.5060993 HK Bank – HSI R Bear CBBC Apr 2016 U 100,000,000 2015/08/28 2016/04/28 25.0060995 HK Bank – HSI R Bear CBBC May 2016 Q 100,000,000 2015/08/28 2016/05/30 25.0060953 HK Bank – HSI R Bear CBBC Jul 2016 D 100,000,000 2015/08/28 2016/07/28 25.0060967 HK Bank – HSI R Bear CBBC Nov 2016 A 400,000,000 2015/08/28 2016/11/29 100.0061080 HK Bank – PetCh R Bull CBBC Nov 2016 B 60,000,000 2015/08/28 2016/11/28 15.0061027 HK Bank – TCH R Bull CBBC Aug 2016 I 100,000,000 2015/08/28 2016/08/15 37.0061055 HK Bank – TCH R Bear CBBC Aug 2016 B 100,000,000 2015/08/28 2016/08/15 25.0061957 J P Morgan SP BV – HSCEI R Bull CBBC Oct 2016 A 100,000,000 2015/08/28 2016/10/28 25.0061959 J P Morgan SP BV – HSCEI R Bull CBBC Nov 2016 A 100,000,000 2015/08/28 2016/11/29 25.0061973 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 L 100,000,000 2015/08/28 2016/04/28 25.0061197 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 P 200,000,000 2015/08/28 2016/03/30 50.0061199 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 D 200,000,000 2015/08/28 2016/07/28 50.0061196 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 Y 200,000,000 2015/08/28 2016/07/28 50.0061198 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 Z 200,000,000 2015/08/28 2016/07/28 50.0061206 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 E 200,000,000 2015/08/28 2016/09/29 50.0061207 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 D 200,000,000 2015/08/28 2016/10/28 50.0061205 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 C 200,000,000 2015/08/28 2016/11/29 50.0061214 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 D 200,000,000 2015/08/28 2016/11/29 60.00




61220 J P Morgan SP BV – HSI R Bull CBBC Dec 2016 C 200,000,000 2015/08/28 2016/12/29 70.0061975 J P Morgan SP BV – HSI R Bull CBBC Jan 2017 A 200,000,000 2015/08/28 2017/01/26 96.0061453 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 P 200,000,000 2015/08/28 2015/11/27 50.0061474 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 Q 200,000,000 2015/08/28 2015/11/27 50.0061452 J P Morgan SP BV – HSI R Bear CBBC Nov 2015 S 200,000,000 2015/08/28 2015/11/27 50.0061486 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 W 200,000,000 2015/08/28 2015/12/30 50.0061510 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 S 200,000,000 2015/08/28 2016/01/28 50.0061511 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 K 200,000,000 2015/08/28 2016/02/26 50.0061247 Standard Chartered Bank – HSI R Bull CBBC May 2016 L 100,000,000 2015/08/28 2016/05/30 25.0061249 Standard Chartered Bank – HSI R Bull CBBC May 2016 M 100,000,000 2015/08/28 2016/05/30 25.0061251 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 K 100,000,000 2015/08/28 2016/06/29 25.0061257 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 L 150,000,000 2015/08/28 2016/06/29 37.5061824 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 I 150,000,000 2015/08/28 2016/01/28 37.5061828 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 J 100,000,000 2015/08/28 2016/01/28 25.0061276 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jun16A 100,000,000 2015/08/28 2016/06/29 25.0061273 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Jul16A 100,000,000 2015/08/28 2016/07/28 25.0061271 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Aug16A 100,000,000 2015/08/28 2016/08/30 25.0061269 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Sep16A 100,000,000 2015/08/28 2016/09/29 25.0061261 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Oct16A 100,000,000 2015/08/28 2016/10/28 25.0061277 SGA Societe Generale Acceptance N.V – CSA50 R Bear CBBC Mar16A 100,000,000 2015/08/28 2016/03/30 29.0061283 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jun16 A 100,000,000 2015/08/28 2016/06/29 25.0061282 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jul16 A 100,000,000 2015/08/28 2016/07/28 25.0061280 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Aug16 A 100,000,000 2015/08/28 2016/08/30 25.0061278 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Sep16 A 100,000,000 2015/08/28 2016/09/29 25.0061291 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Mar16A 100,000,000 2015/08/28 2016/03/30 25.0061292 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC Apr16A 100,000,000 2015/08/28 2016/04/28 25.0061298 SGA Societe Generale Acceptance N.V. – A50 R Bear CBBC May16A 100,000,000 2015/08/28 2016/05/30 30.5061115 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16F 200,000,000 2015/08/28 2016/03/30 50.0061117 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16G 200,000,000 2015/08/28 2016/03/30 50.0061300 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Mar16H 200,000,000 2015/08/28 2016/03/30 50.0061092 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Apr16A 200,000,000 2015/08/28 2016/04/28 50.0061108 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Apr16B 200,000,000 2015/08/28 2016/04/28 50.0061087 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC May16A 200,000,000 2015/08/28 2016/05/30 53.0061095 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC May16B 200,000,000 2015/08/28 2016/05/30 50.0061121 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16L 200,000,000 2015/08/28 2016/01/28 50.0061122 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Jan16M 200,000,000 2015/08/28 2016/01/28 50.0061309 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Feb16A 200,000,000 2015/08/28 2016/02/26 50.0061134 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 A 200,000,000 2015/08/28 2016/03/30 50.0061125 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 F 200,000,000 2015/08/28 2016/03/30 55.0061137 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 I 200,000,000 2015/08/28 2016/03/30 50.0061128 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 J 200,000,000 2015/08/28 2016/03/30 51.0061142 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar16 V 200,000,000 2015/08/28 2016/03/30 50.0061146 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 O 200,000,000 2015/08/28 2016/04/28 50.0061153 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 P 200,000,000 2015/08/28 2016/04/28 50.0061163 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 Q 200,000,000 2015/08/28 2016/04/28 50.00




61165 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 R 200,000,000 2015/08/28 2016/04/28 50.0061819 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 S 200,000,000 2015/08/28 2016/04/28 50.0061823 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 T 200,000,000 2015/08/28 2016/04/28 50.0061124 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 V 400,000,000 2015/08/28 2016/05/30 100.0061126 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 W 400,000,000 2015/08/28 2016/05/30 100.0061162 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 X 400,000,000 2015/08/28 2016/05/30 100.0061313 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 F 200,000,000 2015/08/28 2016/02/26 50.0061166 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 D 200,000,000 2015/08/28 2016/03/30 50.0061169 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 E 200,000,000 2015/08/28 2016/03/30 50.0061184 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 F 200,000,000 2015/08/28 2016/03/30 50.0061185 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 G 200,000,000 2015/08/28 2016/03/30 50.0061186 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 H 400,000,000 2015/08/28 2016/03/30 100.0061322 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 I 200,000,000 2015/08/28 2016/03/30 50.0061324 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 J 200,000,000 2015/08/28 2016/03/30 50.0061191 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 D 400,000,000 2015/08/28 2016/04/28 100.0061951 UBS AG – CSOP A50 ETF R Bull CBBC Feb 2016 B 50,000,000 2015/08/28 2016/02/22 12.5061952 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2016 C 50,000,000 2015/08/28 2016/03/14 12.5061955 UBS AG – A50 China R Bull CBBC Mar 2016 D 50,000,000 2015/08/28 2016/03/07 12.5061956 UBS AG – A50 China R Bull CBBC Mar 2016 E 50,000,000 2015/08/28 2016/03/21 12.5061950 UBS AG – HKEx R Bull CBBC Nov 2016 B 100,000,000 2015/08/28 2016/11/28 28.0061911 UBS AG – HSCEI R Bull CBBC Oct 2016 A 200,000,000 2015/08/28 2016/10/28 50.0061874 UBS AG – HSI R Bull CBBC May 2016 P 200,000,000 2015/08/28 2016/05/30 50.0061883 UBS AG – HSI R Bull CBBC May 2016 Q 200,000,000 2015/08/28 2016/05/30 50.0061889 UBS AG – HSI R Bull CBBC May 2016 R 200,000,000 2015/08/28 2016/05/30 50.0061891 UBS AG – HSI R Bull CBBC May 2016 S 200,000,000 2015/08/28 2016/05/30 50.0061834 UBS AG – HSI R Bull CBBC Jun 2016 J 200,000,000 2015/08/28 2016/06/29 50.0061872 UBS AG – HSI R Bull CBBC Jun 2016 K 200,000,000 2015/08/28 2016/06/29 50.0061873 UBS AG – HSI R Bull CBBC Jun 2016 O 200,000,000 2015/08/28 2016/06/29 50.0061905 UBS AG – HSI R Bull CBBC Jun 2016 P 200,000,000 2015/08/28 2016/06/29 50.0061907 UBS AG – HSI R Bull CBBC Sep 2016 E 200,000,000 2015/08/28 2016/09/29 63.0061875 UBS AG – HSI R Bull CBBC Oct 2016 A 200,000,000 2015/08/28 2016/10/28 89.0061877 UBS AG – HSI R Bull CBBC Oct 2016 B 200,000,000 2015/08/28 2016/10/28 110.0061906 UBS AG – HSI R Bull CBBC Oct 2016 C 200,000,000 2015/08/28 2016/10/28 53.0061928 UBS AG – HSI R Bear CBBC Jan 2016 I 200,000,000 2015/08/28 2016/01/28 50.0061918 UBS AG – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/08/28 2016/01/28 50.0061949 UBS AG – HSI R Bear CBBC Jan 2016 W 200,000,000 2015/08/28 2016/01/28 50.0061919 UBS AG – HSI R Bear CBBC Feb 2016 Q 200,000,000 2015/08/28 2016/02/26 50.0061922 UBS AG – HSI R Bear CBBC Feb 2016 R 200,000,000 2015/08/28 2016/02/26 50.0061923 UBS AG – HSI R Bear CBBC Feb 2016 S 200,000,000 2015/08/28 2016/02/26 50.0061931 UBS AG – HSI R Bear CBBC Feb 2016 T 200,000,000 2015/08/28 2016/02/26 50.0062561 BNP Paribas Arbit Issu B.V. – CAM CSI300 R Bull CBBC Sep16 B 100,000,000 2015/08/31 2016/09/30 25.0062548 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Mar16C 100,000,000 2015/08/31 2016/03/31 25.0062553 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Mar16D 100,000,000 2015/08/31 2016/03/31 30.0062557 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Mar 2016 C 100,000,000 2015/08/31 2016/03/31 26.0062567 BNP Paribas Arbit Issu B.V. – HS H ETF R Bull CBBC Jan 2016G 60,000,000 2015/08/31 2016/01/29 15.00




62547 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Apr 2016 D 100,000,000 2015/08/31 2016/04/28 25.0062240 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 A 250,000,000 2015/08/31 2016/11/29 62.5062218 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 W 250,000,000 2015/08/31 2016/11/29 105.0062230 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 X 250,000,000 2015/08/31 2016/11/29 65.0062231 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 Y 250,000,000 2015/08/31 2016/11/29 62.5062238 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 Z 250,000,000 2015/08/31 2016/11/29 62.5062226 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 B 250,000,000 2015/08/31 2016/12/29 90.0062222 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 D 250,000,000 2015/08/31 2016/12/29 95.0062229 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 E 250,000,000 2015/08/31 2016/12/29 72.5062232 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 F 250,000,000 2015/08/31 2016/12/29 62.5062536 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 G 250,000,000 2015/08/31 2016/12/29 62.5062538 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 S 200,000,000 2015/08/31 2016/03/30 50.0062542 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 T 200,000,000 2015/08/31 2016/03/30 50.0062543 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 U 200,000,000 2015/08/31 2016/03/30 50.0062544 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 V 200,000,000 2015/08/31 2016/03/30 50.0062572 BNP Paribas Arbit Issu B.V. – TCH R Bull CBBC Sep 2016 A 50,000,000 2015/08/31 2016/09/30 12.5062744 Credit Suisse AG – HSCEI R Bull CBBC Sep 2016 A 108,000,000 2015/08/31 2016/09/29 27.0062747 Credit Suisse AG – HSCEI R Bull CBBC Oct 2016 A 108,000,000 2015/08/31 2016/10/28 31.3262577 Credit Suisse AG – HSI R Bull CBBC Jun 2016 D 200,000,000 2015/08/31 2016/06/29 50.0062625 Credit Suisse AG – HSI R Bull CBBC Jun 2016 E 200,000,000 2015/08/31 2016/06/29 50.0062634 Credit Suisse AG – HSI R Bull CBBC Jun 2016 F 200,000,000 2015/08/31 2016/06/29 50.0062641 Credit Suisse AG – HSI R Bull CBBC Jun 2016 G 200,000,000 2015/08/31 2016/06/29 50.0062578 Credit Suisse AG – HSI R Bull CBBC Jul 2016 S 200,000,000 2015/08/31 2016/07/28 50.0062603 Credit Suisse AG – HSI R Bull CBBC Aug 2016 G 200,000,000 2015/08/31 2016/08/30 50.0062605 Credit Suisse AG – HSI R Bull CBBC Aug 2016 H 200,000,000 2015/08/31 2016/08/30 50.0062639 Credit Suisse AG – HSI R Bull CBBC Aug 2016 I 200,000,000 2015/08/31 2016/08/30 50.0062649 Credit Suisse AG – HSI R Bull CBBC Sep 2016 B 200,000,000 2015/08/31 2016/09/29 50.0062651 Credit Suisse AG – HSI R Bull CBBC Sep 2016 C 200,000,000 2015/08/31 2016/09/29 50.0062654 Credit Suisse AG – HSI R Bull CBBC Sep 2016 D 200,000,000 2015/08/31 2016/09/29 50.0062692 Credit Suisse AG – HSI R Bull CBBC Sep 2016 E 200,000,000 2015/08/31 2016/09/29 58.0062908 Credit Suisse AG – HSI R Bull CBBC Sep 2016 F 200,000,000 2015/08/31 2016/09/29 50.0062650 Credit Suisse AG – HSI R Bull CBBC Oct 2016 D 200,000,000 2015/08/31 2016/10/28 50.0062681 Credit Suisse AG – HSI R Bull CBBC Oct 2016 E 200,000,000 2015/08/31 2016/10/28 50.0062683 Credit Suisse AG – HSI R Bull CBBC Oct 2016 F 200,000,000 2015/08/31 2016/10/28 50.0062690 Credit Suisse AG – HSI R Bull CBBC Oct 2016 G 200,000,000 2015/08/31 2016/10/28 50.0062707 Credit Suisse AG – HSI R Bull CBBC Oct 2016 H 200,000,000 2015/08/31 2016/10/28 56.0062717 Credit Suisse AG – HSI R Bull CBBC Oct 2016 I 200,000,000 2015/08/31 2016/10/28 72.0062734 Credit Suisse AG – HSI R Bull CBBC Oct 2016 J 200,000,000 2015/08/31 2016/10/28 96.0062910 Credit Suisse AG – HSI R Bull CBBC Oct 2016 K 200,000,000 2015/08/31 2016/10/28 50.0062911 Credit Suisse AG – HSI R Bull CBBC Oct 2016 L 200,000,000 2015/08/31 2016/10/28 50.0062685 Credit Suisse AG – HSI R Bull CBBC Nov 2016 E 200,000,000 2015/08/31 2016/11/29 50.0062728 Credit Suisse AG – HSI R Bull CBBC Nov 2016 F 200,000,000 2015/08/31 2016/11/29 78.0062732 Credit Suisse AG – HSI R Bull CBBC Nov 2016 G 200,000,000 2015/08/31 2016/11/29 76.0062735 Credit Suisse AG – HSI R Bull CBBC Nov 2016 H 200,000,000 2015/08/31 2016/11/29 106.0062729 Credit Suisse AG – HSI R Bull CBBC Dec 2016 C 200,000,000 2015/08/31 2016/12/29 84.00




62743 Credit Suisse AG – HSI R Bull CBBC Dec 2016 D 200,000,000 2015/08/31 2016/12/29 116.0062784 Credit Suisse AG – HSI R Bear CBBC Mar 2016 Q 200,000,000 2015/08/31 2016/03/30 50.0062798 Credit Suisse AG – HSI R Bear CBBC Mar 2016 R 200,000,000 2015/08/31 2016/03/30 50.0062775 Credit Suisse AG – HSI R Bear CBBC Apr 2016 K 200,000,000 2015/08/31 2016/04/28 50.0062789 Credit Suisse AG – HSI R Bear CBBC Apr 2016 L 200,000,000 2015/08/31 2016/04/28 50.0062795 Credit Suisse AG – HSI R Bear CBBC Apr 2016 M 200,000,000 2015/08/31 2016/04/28 50.0062799 Credit Suisse AG – HSI R Bear CBBC Apr 2016 N 200,000,000 2015/08/31 2016/04/28 50.0062750 Credit Suisse AG – HSI R Bear CBBC May 2016 A 200,000,000 2015/08/31 2016/05/30 50.0062779 Credit Suisse AG – HSI R Bear CBBC May 2016 B 200,000,000 2015/08/31 2016/05/30 50.0062793 Credit Suisse AG – HSI R Bear CBBC May 2016 C 200,000,000 2015/08/31 2016/05/30 50.0062800 Credit Suisse AG – HSI R Bear CBBC May 2016 D 200,000,000 2015/08/31 2016/05/30 50.0062020 HK Bank – AIA R Bear CBBC Jun 2016 A 40,000,000 2015/08/31 2016/06/27 27.2062053 HK Bank – CAM CSI300 R Bull CBBC Sep 2016 C 100,000,000 2015/08/31 2016/09/26 25.0062045 HK Bank – BOCL R Bull CBBC Dec 2016 A 100,000,000 2015/08/31 2016/12/30 25.0062082 HK Bank – China Mobile R Bull CBBC Nov 2016 C 120,000,000 2015/08/31 2016/11/28 43.2062040 HK Bank – CC Bank R Bull CBBC Nov 2016 C 100,000,000 2015/08/31 2016/11/28 25.0062058 HK Bank – China Life R Bull CBBC Aug 2016 A 60,000,000 2015/08/31 2016/08/29 45.0062052 HK Bank – Evergrande R Bull CBBC Nov 2016 B 60,000,000 2015/08/31 2016/11/28 15.0062187 HK Bank – HSCEI R Bull CBBC Aug 2016 H 100,000,000 2015/08/31 2016/08/30 25.0062016 HK Bank – HSCEI R Bull CBBC Dec 2016 B 100,000,000 2015/08/31 2016/12/29 25.0062205 HK Bank – HSCEI R Bear CBBC Jul 2016 A 68,000,000 2015/08/31 2016/07/28 17.0062202 HK Bank – HSCEI R Bear CBBC Oct 2016 A 68,000,000 2015/08/31 2016/10/28 17.0062014 HK Bank – HSI R Bull CBBC Jul 2016 R 150,000,000 2015/08/31 2016/07/28 37.5062021 HK Bank – HSI R Bull CBBC Jul 2016 S 150,000,000 2015/08/31 2016/07/28 37.5062186 HK Bank – HSI R Bull CBBC Jul 2016 T 150,000,000 2015/08/31 2016/07/28 37.5062024 HK Bank – HSI R Bull CBBC Aug 2016 I 150,000,000 2015/08/31 2016/08/30 37.5062182 HK Bank – HSI R Bull CBBC Aug 2016 J 150,000,000 2015/08/31 2016/08/30 37.5062015 HK Bank – HSI R Bull CBBC Oct 2016 F 150,000,000 2015/08/31 2016/10/28 37.5061976 HK Bank – HSI R Bear CBBC Apr 2016 V 100,000,000 2015/08/31 2016/04/28 25.0061986 HK Bank – HSI R Bear CBBC May 2016 R 100,000,000 2015/08/31 2016/05/30 25.0062008 HK Bank – HSI R Bear CBBC Jul 2016 E 100,000,000 2015/08/31 2016/07/28 25.0061987 HK Bank – HSI R Bear CBBC Oct 2016 A 400,000,000 2015/08/31 2016/10/28 100.0062216 HK Bank – HSI R Bear CBBC Oct 2016 B 100,000,000 2015/08/31 2016/10/28 25.0062079 HK Bank – Ping An R Bull CBBC Nov 2016 H 188,000,000 2015/08/31 2016/11/28 47.0062025 HK Bank – TCH R Bear CBBC Sep 2016 A 100,000,000 2015/08/31 2016/09/12 25.0062254 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 I 100,000,000 2015/08/31 2016/07/28 25.0062256 J P Morgan SP BV – HSCEI R Bull CBBC Dec 2016 D 100,000,000 2015/08/31 2016/12/29 25.0062266 J P Morgan SP BV – HSCEI R Bull CBBC Jan 2017 A 100,000,000 2015/08/31 2017/01/26 25.0062949 J P Morgan SP BV – HSCEI R Bull CBBC Jan 2017 B 100,000,000 2015/08/31 2017/01/26 25.0062950 J P Morgan SP BV – HSCEI R Bear CBBC Mar 2016 C 100,000,000 2015/08/31 2016/03/30 25.0062953 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 M 100,000,000 2015/08/31 2016/04/28 25.0062272 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 R 200,000,000 2015/08/31 2016/03/30 50.0062922 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 T 200,000,000 2015/08/31 2016/03/30 50.0062926 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 U 200,000,000 2015/08/31 2016/03/30 50.0062287 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 Y 200,000,000 2015/08/31 2016/06/29 50.00




62268 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 E 200,000,000 2015/08/31 2016/07/28 50.0062923 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 F 200,000,000 2015/08/31 2016/07/28 50.0062927 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 G 200,000,000 2015/08/31 2016/07/28 50.0062932 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 H 200,000,000 2015/08/31 2016/07/28 50.0062289 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 H 200,000,000 2015/08/31 2016/08/30 50.0062928 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 I 200,000,000 2015/08/31 2016/08/30 50.0062934 J P Morgan SP BV – HSI R Bull CBBC Jan 2017 B 200,000,000 2015/08/31 2017/01/26 50.0062936 J P Morgan SP BV – HSI R Bull CBBC Feb 2017 A 200,000,000 2015/08/31 2017/02/27 60.0062955 J P Morgan SP BV – HSI R Bull CBBC Mar 2017 A 200,000,000 2015/08/31 2017/03/30 84.0062913 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/08/31 2015/12/30 50.0062915 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 T 200,000,000 2015/08/31 2016/01/28 50.0062916 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 U 200,000,000 2015/08/31 2016/01/28 50.0062918 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 L 200,000,000 2015/08/31 2016/02/26 50.0062919 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 M 200,000,000 2015/08/31 2016/02/26 50.0062920 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 N 200,000,000 2015/08/31 2016/02/26 50.0062921 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 O 200,000,000 2015/08/31 2016/02/26 50.0062386 Standard Chartered Bank – HSCEI R Bull CBBC Jul 2016 B 100,000,000 2015/08/31 2016/07/28 25.0062387 Standard Chartered Bank – HSCEI R Bear CBBC Jan 2016 D 100,000,000 2015/08/31 2016/01/28 25.0062209 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 M 100,000,000 2015/08/31 2016/06/29 25.0062407 Standard Chartered Bank – HSI R Bull CBBC Jun 2016 N 150,000,000 2015/08/31 2016/06/29 37.5062419 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 D 100,000,000 2015/08/31 2016/07/28 25.0062482 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 E 150,000,000 2015/08/31 2016/07/28 37.5062502 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 F 100,000,000 2015/08/31 2016/07/28 25.0062503 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 K 100,000,000 2015/08/31 2016/01/28 25.0062533 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 L 150,000,000 2015/08/31 2016/01/28 37.5062534 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 M 100,000,000 2015/08/31 2016/01/28 25.0062104 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC May16C 200,000,000 2015/08/31 2016/05/30 50.0062348 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jun16A 200,000,000 2015/08/31 2016/06/29 64.0062360 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jun16B 200,000,000 2015/08/31 2016/06/29 50.0062362 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jun16C 200,000,000 2015/08/31 2016/06/29 50.0062349 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Jul16A 200,000,000 2015/08/31 2016/07/28 56.0062353 SGA Societe Generale Acceptance NV – HSCEI R Bull CBBC Aug16A 200,000,000 2015/08/31 2016/08/30 50.0062364 SGA Societe Generale Acceptance NV – HSCEI R Bear CBBC Mar16A 200,000,000 2015/08/31 2016/03/30 50.0062145 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 U 200,000,000 2015/08/31 2016/04/28 50.0062148 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 V 200,000,000 2015/08/31 2016/04/28 50.0062321 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 W 200,000,000 2015/08/31 2016/04/28 50.0062323 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Apr16 X 200,000,000 2015/08/31 2016/04/28 50.0062125 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 A 200,000,000 2015/08/31 2016/06/29 50.0062150 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 B 200,000,000 2015/08/31 2016/06/29 50.0062153 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 C 200,000,000 2015/08/31 2016/06/29 50.0062159 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 D 200,000,000 2015/08/31 2016/06/29 50.0062167 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 E 200,000,000 2015/08/31 2016/06/29 50.0062312 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 F 200,000,000 2015/08/31 2016/06/29 50.0062314 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 G 200,000,000 2015/08/31 2016/06/29 50.0062315 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 H 200,000,000 2015/08/31 2016/06/29 50.00




62124 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 A 400,000,000 2015/08/31 2016/07/28 100.0062291 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 B 200,000,000 2015/08/31 2016/07/28 74.0062298 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 C 200,000,000 2015/08/31 2016/07/28 62.0062302 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 D 200,000,000 2015/08/31 2016/07/28 50.0062310 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 E 200,000,000 2015/08/31 2016/07/28 50.0062108 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 A 400,000,000 2015/08/31 2016/08/30 100.0062294 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 B 200,000,000 2015/08/31 2016/08/30 66.0062300 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 C 200,000,000 2015/08/31 2016/08/30 54.0062309 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 D 200,000,000 2015/08/31 2016/08/30 50.0062105 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 A 400,000,000 2015/08/31 2016/09/29 100.0062292 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 B 200,000,000 2015/08/31 2016/09/29 70.0062299 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 C 200,000,000 2015/08/31 2016/09/29 58.0062308 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 D 200,000,000 2015/08/31 2016/09/29 50.0062329 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 K 200,000,000 2015/08/31 2016/03/30 50.0062330 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 L 200,000,000 2015/08/31 2016/03/30 50.0062331 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 M 200,000,000 2015/08/31 2016/03/30 50.0062342 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 N 200,000,000 2015/08/31 2016/03/30 50.0062343 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 O 200,000,000 2015/08/31 2016/03/30 50.0062344 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 E 400,000,000 2015/08/31 2016/04/28 100.0062347 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 F 400,000,000 2015/08/31 2016/04/28 100.0062345 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 A 400,000,000 2015/08/31 2016/05/30 100.0062912 UBS AG – CAM CSI300 R Bull CBBC Oct 2016 B 100,000,000 2015/08/31 2016/10/31 25.0062894 UBS AG – CSOP A50 ETF R Bull CBBC Apr 2016 C 50,000,000 2015/08/31 2016/04/18 12.5062898 UBS AG – CSOP A50 ETF R Bull CBBC May 2016 A 50,000,000 2015/08/31 2016/05/09 12.5062902 UBS AG – A50 China R Bull CBBC Apr 2016 B 50,000,000 2015/08/31 2016/04/11 15.0062900 UBS AG – A50 China R Bull CBBC May 2016 A 50,000,000 2015/08/31 2016/05/09 12.5062886 UBS AG – HKEx R Bull CBBC Oct 2016 C 100,000,000 2015/08/31 2016/10/03 36.0062845 UBS AG – HSCEI R Bull CBBC Sep 2016 B 200,000,000 2015/08/31 2016/09/29 50.0062855 UBS AG – HSCEI R Bull CBBC Oct 2016 B 200,000,000 2015/08/31 2016/10/28 50.0062883 UBS AG – HSCEI R Bear CBBC Dec 2015 D 200,000,000 2015/08/31 2015/12/30 50.0062885 UBS AG – HSCEI R Bear CBBC Dec 2015 E 200,000,000 2015/08/31 2015/12/30 50.0062801 UBS AG – HSI R Bull CBBC Apr 2016 J 200,000,000 2015/08/31 2016/04/28 50.0062804 UBS AG – HSI R Bull CBBC Apr 2016 K 200,000,000 2015/08/31 2016/04/28 50.0062807 UBS AG – HSI R Bull CBBC May 2016 V 200,000,000 2015/08/31 2016/05/30 50.0062805 UBS AG – HSI R Bull CBBC Jun 2016 Q 200,000,000 2015/08/31 2016/06/29 50.0062821 UBS AG – HSI R Bull CBBC Jun 2016 R 200,000,000 2015/08/31 2016/06/29 50.0062808 UBS AG – HSI R Bull CBBC Jul 2016 S 200,000,000 2015/08/31 2016/07/28 50.0062835 UBS AG – HSI R Bull CBBC Jul 2016 T 200,000,000 2015/08/31 2016/07/28 97.0062837 UBS AG – HSI R Bull CBBC Jul 2016 U 200,000,000 2015/08/31 2016/07/28 61.0062843 UBS AG – HSI R Bull CBBC Jul 2016 V 200,000,000 2015/08/31 2016/07/28 50.0062834 UBS AG – HSI R Bull CBBC Aug 2016 J 200,000,000 2015/08/31 2016/08/30 69.0062822 UBS AG – HSI R Bull CBBC Sep 2016 F 200,000,000 2015/08/31 2016/09/29 50.0062830 UBS AG – HSI R Bull CBBC Sep 2016 G 200,000,000 2015/08/31 2016/09/29 61.0062829 UBS AG – HSI R Bull CBBC Oct 2016 D 200,000,000 2015/08/31 2016/10/28 55.0062839 UBS AG – HSI R Bull CBBC Oct 2016 E 200,000,000 2015/08/31 2016/10/28 97.00




62840 UBS AG – HSI R Bull CBBC Oct 2016 F 200,000,000 2015/08/31 2016/10/28 108.0062841 UBS AG – HSI R Bull CBBC Oct 2016 G 200,000,000 2015/08/31 2016/10/28 154.0062836 UBS AG – HSI R Bull CBBC Nov 2016 A 200,000,000 2015/08/31 2016/11/29 55.0062838 UBS AG – HSI R Bull CBBC Nov 2016 B 200,000,000 2015/08/31 2016/11/29 69.0062875 UBS AG – HSI R Bear CBBC Jan 2016 C 200,000,000 2015/08/31 2016/01/28 50.0062881 UBS AG – HSI R Bear CBBC Jan 2016 G 200,000,000 2015/08/31 2016/01/28 50.0062868 UBS AG – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/08/31 2016/01/28 50.0062870 UBS AG – HSI R Bear CBBC Jan 2016 Z 200,000,000 2015/08/31 2016/01/28 50.0062869 UBS AG – HSI R Bear CBBC Feb 2016 U 200,000,000 2015/08/31 2016/02/26 50.0062880 UBS AG – HSI R Bear CBBC Feb 2016 V 200,000,000 2015/08/31 2016/02/26 50.0062882 UBS AG – HSI R Bear CBBC Feb 2016 W 200,000,000 2015/08/31 2016/02/26 50.0062904 UBS AG – HSI R Bear CBBC Feb 2016 X 200,000,000 2015/08/31 2016/02/26 50.0062906 UBS AG – Ping An R Bull CBBC Oct 2016 C 100,000,000 2015/08/31 2016/10/31 25.0062907 UBS AG – Ping An R Bull CBBC Nov 2016 B 100,000,000 2015/08/31 2016/11/07 25.0062893 UBS AG – TCH R Bull CBBC Feb 2016 A 50,000,000 2015/08/31 2016/02/15 12.5063151 BNP Paribas Arbit Issu B.V. – CAM CSI300 R Bull CBBC Sep16 C 100,000,000 2015/09/01 2016/09/30 25.0063142 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Mar16E 100,000,000 2015/09/01 2016/03/31 25.0063149 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Mar 2016 D 100,000,000 2015/09/01 2016/03/31 25.0063154 BNP Paribas Arbit Issu B.V. – HS H ETF R Bull CBBC Jan 2016H 60,000,000 2015/09/01 2016/01/29 15.0063140 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2016 D 100,000,000 2015/09/01 2016/11/29 25.0063122 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 B 250,000,000 2015/09/01 2016/11/29 62.5063127 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 C 250,000,000 2015/09/01 2016/11/29 62.5063112 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 H 250,000,000 2015/09/01 2016/12/29 97.5063116 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 I 250,000,000 2015/09/01 2016/12/29 77.5063128 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 K 250,000,000 2015/09/01 2016/12/29 62.5063117 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 L 250,000,000 2015/09/01 2016/12/29 62.5063129 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 O 200,000,000 2015/09/01 2016/04/28 50.0063137 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 P 200,000,000 2015/09/01 2016/04/28 50.0063138 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 Q 200,000,000 2015/09/01 2016/04/28 50.0063156 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Mar 2016 B 68,000,000 2015/09/01 2016/03/31 17.0063170 Credit Suisse AG – CSOP A50 ETF R Bull CBBC May 2016 A 100,000,000 2015/09/01 2016/05/31 28.0063172 Credit Suisse AG – A50 China R Bull CBBC May 2016 A 100,000,000 2015/09/01 2016/05/31 27.0063174 Credit Suisse AG – HS H-SH ETF R Bull CBBC May 2016 A 80,000,000 2015/09/01 2016/05/31 20.0063183 Credit Suisse AG – HSI R Bull CBBC Aug 2016 J 200,000,000 2015/09/01 2016/08/30 50.0063189 Credit Suisse AG – HSI R Bull CBBC Aug 2016 K 200,000,000 2015/09/01 2016/08/30 50.0063175 Credit Suisse AG – HSI R Bull CBBC Sep 2016 G 200,000,000 2015/09/01 2016/09/29 66.0063179 Credit Suisse AG – HSI R Bull CBBC Sep 2016 H 200,000,000 2015/09/01 2016/09/29 58.0063180 Credit Suisse AG – HSI R Bull CBBC Sep 2016 I 200,000,000 2015/09/01 2016/09/29 50.0063195 Credit Suisse AG – HSI R Bull CBBC Sep 2016 J 200,000,000 2015/09/01 2016/09/29 50.0063196 Credit Suisse AG – HSI R Bull CBBC Sep 2016 K 200,000,000 2015/09/01 2016/09/29 50.0063198 Credit Suisse AG – HSI R Bull CBBC Sep 2016 L 200,000,000 2015/09/01 2016/09/29 50.0063182 Credit Suisse AG – HSI R Bull CBBC Oct 2016 M 200,000,000 2015/09/01 2016/10/28 50.0063193 Credit Suisse AG – HSI R Bull CBBC Oct 2016 N 200,000,000 2015/09/01 2016/10/28 50.0063159 Credit Suisse AG – HSI R Bear CBBC Mar 2016 S 200,000,000 2015/09/01 2016/03/30 50.0063166 Credit Suisse AG – HSI R Bear CBBC Mar 2016 T 200,000,000 2015/09/01 2016/03/30 50.00




63165 Credit Suisse AG – HSI R Bear CBBC Apr 2016 O 200,000,000 2015/09/01 2016/04/28 50.0063160 Credit Suisse AG – HSI R Bear CBBC May 2016 E 200,000,000 2015/09/01 2016/05/30 50.0063162 Credit Suisse AG – HSI R Bear CBBC May 2016 F 200,000,000 2015/09/01 2016/05/30 50.0063167 Credit Suisse AG – HSI R Bear CBBC May 2016 G 200,000,000 2015/09/01 2016/05/30 50.0063168 Credit Suisse AG – HSI R Bear CBBC May 2016 H 200,000,000 2015/09/01 2016/05/30 50.0063169 Credit Suisse AG – HSI R Bear CBBC May 2016 I 200,000,000 2015/09/01 2016/05/30 50.0062987 HK Bank – AIA R Bull CBBC Sep 2016 D 60,000,000 2015/09/01 2016/09/26 15.0062958 HK Bank – CAM CSI300 R Bull CBBC Oct 2016 C 100,000,000 2015/09/01 2016/10/17 25.0062959 HK Bank – CAM CSI300 R Bull CBBC Nov 2016 A 100,000,000 2015/09/01 2016/11/28 25.0062965 HK Bank – BOCL R Bull CBBC Dec 2016 B 100,000,000 2015/09/01 2016/12/12 25.0063002 HK Bank – China Mobile R Bull CBBC Dec 2016 A 120,000,000 2015/09/01 2016/12/12 38.4062992 HK Bank – CC Bank R Bull CBBC Dec 2016 C 100,000,000 2015/09/01 2016/12/12 25.0062989 HK Bank – CITIC Sec R Bull CBBC Jul 2016 C 60,000,000 2015/09/01 2016/07/25 33.6062995 HK Bank – CM Bank R Bull CBBC Dec 2016 A 40,000,000 2015/09/01 2016/12/12 20.4062986 HK Bank – CNOOC R Bull CBBC Dec 2016 B 60,000,000 2015/09/01 2016/12/12 15.0062962 HK Bank – Sinopec Corp R Bull CBBC Dec 2016 B 80,000,000 2015/09/01 2016/12/12 20.0062996 HK Bank – HS H-SH ETF R Bull CBBC Dec 2016 A 100,000,000 2015/09/01 2016/12/30 25.0062990 HK Bank – Haitong Sec R Bull CBBC Oct 2016 B 60,000,000 2015/09/01 2016/10/31 22.2062981 HK Bank – TCH R Bull CBBC Apr 2016 E 100,000,000 2015/09/01 2016/04/18 25.0062983 HK Bank – TCH R Bull CBBC Sep 2016 A 100,000,000 2015/09/01 2016/09/26 31.0062984 HK Bank – TCH R Bull CBBC Oct 2016 A 100,000,000 2015/09/01 2016/10/17 39.0062979 HK Bank – TCH R Bear CBBC Sep 2016 B 100,000,000 2015/09/01 2016/09/26 25.0062978 HK Bank – TCH R Bear CBBC Oct 2016 A 100,000,000 2015/09/01 2016/10/17 25.0063044 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 V 200,000,000 2015/09/01 2016/03/30 50.0063046 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 W 200,000,000 2015/09/01 2016/04/28 50.0063057 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 X 200,000,000 2015/09/01 2016/04/28 50.0063054 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 I 200,000,000 2015/09/01 2016/07/28 50.0063066 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 E 200,000,000 2015/09/01 2016/10/28 50.0063070 J P Morgan SP BV – HSI R Bull CBBC Feb 2017 B 200,000,000 2015/09/01 2017/02/27 56.0063071 J P Morgan SP BV – HSI R Bull CBBC Mar 2017 B 200,000,000 2015/09/01 2017/03/30 76.0063090 J P Morgan SP BV – HSI R Bull CBBC Apr 2017 A 200,000,000 2015/09/01 2017/04/27 100.0063092 J P Morgan SP BV – HSI R Bull CBBC May 2017 A 200,000,000 2015/09/01 2017/05/29 120.0063094 J P Morgan SP BV – HSI R Bull CBBC Jun 2017 A 200,000,000 2015/09/01 2017/06/29 140.0063045 J P Morgan SP BV – HSI R Bull CBBC Sep 2017 A 200,000,000 2015/09/01 2017/09/28 50.0063039 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/09/01 2016/01/28 50.0063040 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 W 200,000,000 2015/09/01 2016/01/28 50.0063041 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 P 200,000,000 2015/09/01 2016/02/26 50.0063043 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 Q 200,000,000 2015/09/01 2016/02/26 50.0063203 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 R 200,000,000 2015/09/01 2016/02/26 50.0063204 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 S 200,000,000 2015/09/01 2016/02/26 50.0063016 Standard Chartered Bank – CAM CSI300 R Bull CBBC Aug 2016 C 50,000,000 2015/09/01 2016/08/22 18.5063011 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Jun 2016B 50,000,000 2015/09/01 2016/06/20 12.5063012 Standard Chartered Bank – A50 China R Bull CBBC Jun 2016 C 50,000,000 2015/09/01 2016/06/13 12.5063157 Standard Chartered Bank – HKEx R Bull CBBC Jul 2016 A 50,000,000 2015/09/01 2016/07/04 13.7563005 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 G 100,000,000 2015/09/01 2016/07/28 25.00




63006 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 H 100,000,000 2015/09/01 2016/07/28 25.0063007 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 D 100,000,000 2015/09/01 2016/08/30 25.0063010 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 E 100,000,000 2015/09/01 2016/08/30 34.0063003 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 N 100,000,000 2015/09/01 2016/01/28 25.0063004 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 A 150,000,000 2015/09/01 2016/02/26 37.5063017 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 I 200,000,000 2015/09/01 2016/06/29 50.0063024 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 F 200,000,000 2015/09/01 2016/07/28 50.0063110 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 G 200,000,000 2015/09/01 2016/07/28 50.0063111 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 H 200,000,000 2015/09/01 2016/07/28 50.0063023 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 E 200,000,000 2015/09/01 2016/08/30 50.0063018 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 E 200,000,000 2015/09/01 2016/09/29 50.0063107 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Oct16 A 400,000,000 2015/09/01 2016/10/28 100.0063105 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Nov16 A 400,000,000 2015/09/01 2016/11/29 100.0063103 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Dec16 A 400,000,000 2015/09/01 2016/12/29 100.0063099 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb17 A 400,000,000 2015/09/01 2017/02/27 120.0063101 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Feb17 B 400,000,000 2015/09/01 2017/02/27 104.0063098 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar17 A 400,000,000 2015/09/01 2017/03/30 128.0063100 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Mar17 B 400,000,000 2015/09/01 2017/03/30 112.0063026 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Feb16 G 200,000,000 2015/09/01 2016/02/26 50.0063029 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 G 200,000,000 2015/09/01 2016/04/28 50.0063034 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 H 200,000,000 2015/09/01 2016/04/28 50.0063037 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 I 200,000,000 2015/09/01 2016/04/28 50.0063328 UBS AG – China Mobile R Bull CBBC Oct 2016 B 50,000,000 2015/09/01 2016/10/17 12.5063329 UBS AG – CSOP A50 ETF R Bull CBBC Apr 2016 D 50,000,000 2015/09/01 2016/04/11 16.5063330 UBS AG – A50 China R Bull CBBC Apr 2016 C 50,000,000 2015/09/01 2016/04/25 12.5063320 UBS AG – HKEx R Bull CBBC Dec 2016 A 100,000,000 2015/09/01 2016/12/05 27.5063282 UBS AG – HSI R Bull CBBC Jun 2016 C 200,000,000 2015/09/01 2016/06/29 50.0063273 UBS AG – HSI R Bull CBBC Jun 2016 U 200,000,000 2015/09/01 2016/06/29 50.0063283 UBS AG – HSI R Bull CBBC Jul 2016 W 200,000,000 2015/09/01 2016/07/28 50.0063298 UBS AG – HSI R Bull CBBC Jul 2016 X 200,000,000 2015/09/01 2016/07/28 50.0063299 UBS AG – HSI R Bull CBBC Jul 2016 Y 200,000,000 2015/09/01 2016/07/28 55.0063278 UBS AG – HSI R Bull CBBC Aug 2016 K 200,000,000 2015/09/01 2016/08/30 50.0063281 UBS AG – HSI R Bull CBBC Aug 2016 L 200,000,000 2015/09/01 2016/08/30 50.0063303 UBS AG – HSI R Bull CBBC Aug 2016 M 200,000,000 2015/09/01 2016/08/30 65.0063313 UBS AG – HSI R Bull CBBC Aug 2016 N 200,000,000 2015/09/01 2016/08/30 75.0063280 UBS AG – HSI R Bull CBBC Sep 2016 H 200,000,000 2015/09/01 2016/09/29 50.0063295 UBS AG – HSI R Bull CBBC Sep 2016 I 200,000,000 2015/09/01 2016/09/29 50.0063302 UBS AG – HSI R Bull CBBC Oct 2016 H 200,000,000 2015/09/01 2016/10/28 59.0063312 UBS AG – HSI R Bull CBBC Oct 2016 I 200,000,000 2015/09/01 2016/10/28 69.0063318 UBS AG – HSI R Bull CBBC Nov 2016 C 200,000,000 2015/09/01 2016/11/29 85.0063319 UBS AG – HSI R Bull CBBC Nov 2016 D 200,000,000 2015/09/01 2016/11/29 102.0063252 UBS AG – HSI R Bear CBBC Jan 2016 A 200,000,000 2015/09/01 2016/01/28 50.0063255 UBS AG – HSI R Bear CBBC Jan 2016 D 200,000,000 2015/09/01 2016/01/28 50.0063213 UBS AG – HSI R Bear CBBC Jan 2016 J 200,000,000 2015/09/01 2016/01/28 50.0063259 UBS AG – HSI R Bear CBBC Feb 2016 A 200,000,000 2015/09/01 2016/02/26 50.00




63264 UBS AG – HSI R Bear CBBC Feb 2016 B 200,000,000 2015/09/01 2016/02/26 50.0063215 UBS AG – HSI R Bear CBBC Feb 2016 Y 200,000,000 2015/09/01 2016/02/26 50.0063254 UBS AG – HSI R Bear CBBC Feb 2016 Z 200,000,000 2015/09/01 2016/02/26 50.0063325 UBS AG – TCH R Bull CBBC Aug 2016 B 50,000,000 2015/09/01 2016/08/15 12.5063562 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2016 E 100,000,000 2015/09/02 2016/11/29 25.0063544 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 D 250,000,000 2015/09/02 2016/11/29 62.5063545 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 E 250,000,000 2015/09/02 2016/11/29 62.5063547 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 M 250,000,000 2015/09/02 2016/12/29 62.5063549 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 W 200,000,000 2015/09/02 2016/03/30 50.0063550 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 X 200,000,000 2015/09/02 2016/03/30 50.0063559 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 R 200,000,000 2015/09/02 2016/04/28 50.0063442 Credit Suisse AG – CAM CSI300 R Bull CBBC May 2016 A 80,000,000 2015/09/02 2016/05/31 20.0063445 Credit Suisse AG – HSI R Bull CBBC Aug 2016 L 200,000,000 2015/09/02 2016/08/30 50.0063444 Credit Suisse AG – HSI R Bull CBBC Sep 2016 M 200,000,000 2015/09/02 2016/09/29 50.0063446 Credit Suisse AG – HSI R Bull CBBC Sep 2016 N 200,000,000 2015/09/02 2016/09/29 50.0063456 Credit Suisse AG – HSI R Bull CBBC Sep 2016 O 200,000,000 2015/09/02 2016/09/29 70.0063457 Credit Suisse AG – HSI R Bull CBBC Nov 2016 I 200,000,000 2015/09/02 2016/11/29 76.0063447 Credit Suisse AG – HSI R Bull CBBC Dec 2016 E 200,000,000 2015/09/02 2016/12/29 92.0063461 Credit Suisse AG – HSI R Bear CBBC Apr 2016 Q 200,000,000 2015/09/02 2016/04/28 50.0063484 Credit Suisse AG – HSI R Bear CBBC Apr 2016 R 200,000,000 2015/09/02 2016/04/28 50.0063505 Credit Suisse AG – HSI R Bear CBBC Apr 2016 S 200,000,000 2015/09/02 2016/04/28 50.0063463 Credit Suisse AG – HSI R Bear CBBC May 2016 J 200,000,000 2015/09/02 2016/05/30 50.0063474 Credit Suisse AG – HSI R Bear CBBC Jun 2016 A 200,000,000 2015/09/02 2016/06/29 50.0063480 Credit Suisse AG – HSI R Bear CBBC Jun 2016 B 200,000,000 2015/09/02 2016/06/29 50.0063509 Credit Suisse AG – HSI R Bear CBBC Jun 2016 C 200,000,000 2015/09/02 2016/06/29 50.0063502 Credit Suisse AG – HSI R Bear CBBC Jul 2016 A 200,000,000 2015/09/02 2016/07/28 50.0063380 HK Bank – CAM CSI300 R Bull CBBC Dec 2016 A 100,000,000 2015/09/02 2016/12/21 126.0063387 HK Bank – China Mobile R Bear CBBC Nov 2016 A 60,000,000 2015/09/02 2016/11/29 15.0063395 HK Bank – CNOOC R Bull CBBC Dec 2016 C 60,000,000 2015/09/02 2016/12/05 16.8063372 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2016 D 100,000,000 2015/09/02 2016/07/25 25.0063371 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2016 E 100,000,000 2015/09/02 2016/08/08 26.0063373 HK Bank – CSOP A50 ETF R Bull CBBC Aug 2016 F 100,000,000 2015/09/02 2016/08/15 25.0063374 HK Bank – A50 R Bull CBBC Oct 2016 A 100,000,000 2015/09/02 2016/10/24 25.0063375 HK Bank – A50 R Bull CBBC Dec 2016 B 100,000,000 2015/09/02 2016/12/29 26.0063403 HK Bank – A50 R Bear CBBC Jul 2016 B 50,000,000 2015/09/02 2016/07/18 12.5063390 HK Bank – HKEx R Bull CBBC Oct 2016 G 100,000,000 2015/09/02 2016/10/17 51.0063392 HK Bank – HKEx R Bull CBBC Oct 2016 H 100,000,000 2015/09/02 2016/10/12 36.0063391 HK Bank – HKEx R Bear CBBC Jul 2016 F 50,000,000 2015/09/02 2016/07/11 12.5063369 HK Bank – HSCEI R Bull CBBC Nov 2016 D 100,000,000 2015/09/02 2016/11/29 29.0063370 HK Bank – HSCEI R Bull CBBC Dec 2016 C 100,000,000 2015/09/02 2016/12/29 35.0063356 HK Bank – HSCEI R Bear CBBC Sep 2016 A 68,000,000 2015/09/02 2016/09/29 17.0063359 HK Bank – HSI R Bull CBBC Jul 2016 U 150,000,000 2015/09/02 2016/07/28 37.5063345 HK Bank – HSI R Bull CBBC Aug 2016 K 400,000,000 2015/09/02 2016/08/30 100.0063363 HK Bank – HSI R Bull CBBC Aug 2016 L 150,000,000 2015/09/02 2016/08/30 37.5063336 HK Bank – HSI R Bull CBBC Sep 2016 J 150,000,000 2015/09/02 2016/09/29 37.50




63340 HK Bank – HSI R Bull CBBC Sep 2016 K 150,000,000 2015/09/02 2016/09/29 37.5063346 HK Bank – HSI R Bull CBBC Nov 2016 G 400,000,000 2015/09/02 2016/11/29 100.0063341 HK Bank – HSI R Bull CBBC Dec 2016 H 400,000,000 2015/09/02 2016/12/29 124.0063355 HK Bank – HSI R Bear CBBC Sep 2016 C 100,000,000 2015/09/02 2016/09/29 25.0063351 HK Bank – HSI R Bear CBBC Oct 2016 C 100,000,000 2015/09/02 2016/10/28 25.0063376 HK Bank – Ping An R Bull CBBC Nov 2016 I 188,000,000 2015/09/02 2016/11/21 47.0063364 HK Bank – Ping An R Bull CBBC Dec 2016 C 188,000,000 2015/09/02 2016/12/05 47.0063365 HK Bank – Ping An R Bear CBBC Oct 2016 A 40,000,000 2015/09/02 2016/10/31 10.0063589 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC May 2016 C 100,000,000 2015/09/02 2016/05/20 25.0063590 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jun 2016 E 100,000,000 2015/09/02 2016/06/17 25.0063616 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jul 2016 C 100,000,000 2015/09/02 2016/07/15 25.0063636 J P Morgan SP BV – A50 China R Bull CBBC Apr 2016 B 100,000,000 2015/09/02 2016/04/15 25.0063637 J P Morgan SP BV – A50 China R Bull CBBC May 2016 D 100,000,000 2015/09/02 2016/05/20 25.0063646 J P Morgan SP BV – A50 China R Bull CBBC Jun 2016 C 100,000,000 2015/09/02 2016/06/17 25.0063650 J P Morgan SP BV – A50 China R Bear CBBC Jul 2016 B 100,000,000 2015/09/02 2016/07/15 25.0063652 J P Morgan SP BV – A50 China R Bear CBBC Aug 2016 B 100,000,000 2015/09/02 2016/08/12 25.0063657 J P Morgan SP BV – HKEx R Bull CBBC Nov 2016 C 100,000,000 2015/09/02 2016/11/18 25.0063669 J P Morgan SP BV – HKEx R Bull CBBC Dec 2016 B 100,000,000 2015/09/02 2016/12/16 25.0063485 J P Morgan SP BV – HSCEI R Bull CBBC Aug 2016 E 100,000,000 2015/09/02 2016/08/30 25.0063492 J P Morgan SP BV – HSCEI R Bull CBBC Mar 2017 A 100,000,000 2015/09/02 2017/03/30 25.0063497 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 N 100,000,000 2015/09/02 2016/04/28 25.0063425 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 W 200,000,000 2015/09/02 2016/03/30 50.0063424 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 Y 200,000,000 2015/09/02 2016/04/28 50.0063428 J P Morgan SP BV – HSI R Bull CBBC May 2016 O 200,000,000 2015/09/02 2016/05/30 50.0063429 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 J 200,000,000 2015/09/02 2016/08/30 50.0063434 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 F 200,000,000 2015/09/02 2016/10/28 50.0063435 J P Morgan SP BV – HSI R Bull CBBC Dec 2016 D 200,000,000 2015/09/02 2016/12/29 50.0063436 J P Morgan SP BV – HSI R Bull CBBC Jul 2017 A 200,000,000 2015/09/02 2017/07/28 110.0063691 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/09/02 2016/01/28 50.0063700 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/09/02 2016/01/28 50.0063706 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 Z 200,000,000 2015/09/02 2016/01/28 50.0063720 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 T 200,000,000 2015/09/02 2016/02/26 50.0063725 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 U 200,000,000 2015/09/02 2016/02/26 50.0063679 J P Morgan SP BV – Ping An R Bull CBBC Nov 2016 A 100,000,000 2015/09/02 2016/11/18 25.0063653 J P Morgan SP BV – Tencent R Bull CBBC Oct 2016 A 100,000,000 2015/09/02 2016/10/14 25.0063680 J P Morgan SP BV – Tencent R Bull CBBC Nov 2016 A 100,000,000 2015/09/02 2016/11/18 25.0063654 J P Morgan SP BV – Tencent R Bear CBBC Jul 2016 A 100,000,000 2015/09/02 2016/07/15 25.0063404 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 I 150,000,000 2015/09/02 2016/07/28 37.5063408 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 J 100,000,000 2015/09/02 2016/07/28 25.0063415 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 K 150,000,000 2015/09/02 2016/07/28 37.5063417 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 F 150,000,000 2015/09/02 2016/08/30 37.5063422 Standard Chartered Bank – HSI R Bear CBBC Jan 2016 O 100,000,000 2015/09/02 2016/01/28 25.0063450 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 J 200,000,000 2015/09/02 2016/06/29 50.0063451 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 J 200,000,000 2015/09/02 2016/04/28 50.0063453 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 K 200,000,000 2015/09/02 2016/04/28 50.00




63454 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 L 200,000,000 2015/09/02 2016/04/28 50.0063518 UBS AG – HSI R Bull CBBC Jun 2016 V 200,000,000 2015/09/02 2016/06/29 50.0063539 UBS AG – HSI R Bull CBBC Jun 2016 W 200,000,000 2015/09/02 2016/06/29 50.0063513 UBS AG – HSI R Bull CBBC Jul 2016 Z 200,000,000 2015/09/02 2016/07/28 50.0063511 UBS AG – HSI R Bull CBBC Sep 2016 J 200,000,000 2015/09/02 2016/09/29 50.0063536 UBS AG – HSI R Bull CBBC Sep 2016 K 200,000,000 2015/09/02 2016/09/29 50.0063540 UBS AG – HSI R Bear CBBC Mar 2016 C 200,000,000 2015/09/02 2016/03/30 50.0063541 UBS AG – HSI R Bear CBBC Mar 2016 D 200,000,000 2015/09/02 2016/03/30 50.0063542 UBS AG – HSI R Bear CBBC Mar 2016 E 200,000,000 2015/09/02 2016/03/30 50.0063543 UBS AG – HSI R Bear CBBC Mar 2016 F 200,000,000 2015/09/02 2016/03/30 50.0063959 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Mar16F 100,000,000 2015/09/04 2016/03/31 25.0063970 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Mar 2016 E 100,000,000 2015/09/04 2016/03/31 25.0063934 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2016 D 100,000,000 2015/09/04 2016/12/29 25.0063940 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Apr 2016 E 100,000,000 2015/09/04 2016/04/28 25.0063925 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 F 250,000,000 2015/09/04 2016/11/29 62.5063918 Credit Suisse AG – HSI R Bull CBBC Feb 2016 O 200,000,000 2015/09/04 2016/02/26 50.0063917 Credit Suisse AG – HSI R Bull CBBC Mar 2016 R 200,000,000 2015/09/04 2016/03/30 50.0063914 Credit Suisse AG – HSI R Bull CBBC Apr 2016 X 200,000,000 2015/09/04 2016/04/28 50.0063881 Credit Suisse AG – HSI R Bear CBBC Mar 2016 U 200,000,000 2015/09/04 2016/03/30 50.0063882 Credit Suisse AG – HSI R Bear CBBC Mar 2016 V 200,000,000 2015/09/04 2016/03/30 50.0063877 Credit Suisse AG – HSI R Bear CBBC May 2016 K 200,000,000 2015/09/04 2016/05/30 50.0063879 Credit Suisse AG – HSI R Bear CBBC May 2016 L 200,000,000 2015/09/04 2016/05/30 50.0063890 Credit Suisse AG – HSI R Bear CBBC May 2016 M 200,000,000 2015/09/04 2016/05/30 50.0063875 Bank of East Asia – China Comm Constr R Bull CBBC Dec 2016 A 40,000,000 2015/09/04 2016/12/16 10.0063857 Bank of East Asia – CKH R Bull CBBC Dec 2016 A 40,000,000 2015/09/04 2016/12/30 10.0063872 Bank of East Asia – Sinopec Corp R Bull CBBC Dec 2016 A 40,000,000 2015/09/04 2016/12/30 10.0063874 Bank of East Asia – Haitong Sec R Bull CBBC Dec 2016 E 30,000,000 2015/09/04 2016/12/08 10.5063873 Bank of East Asia – PetCh R Bull CBBC Dec 2016 A 40,000,000 2015/09/04 2016/12/30 10.0063776 HK Bank – AIA R Bull CBBC Sep 2016 E 60,000,000 2015/09/04 2016/09/26 19.8063794 HK Bank – China Life R Bull CBBC Aug 2016 B 60,000,000 2015/09/04 2016/08/29 23.4063768 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2016 E 100,000,000 2015/09/04 2016/06/13 25.0063795 HK Bank – CSOP A50 ETF R Bull CBBC Jun 2016 F 100,000,000 2015/09/04 2016/06/27 25.0063796 HK Bank – CSOP A50 ETF R Bear CBBC Aug 2016 D 40,000,000 2015/09/04 2016/08/01 10.0063798 HK Bank – A50 R Bull CBBC Oct 2016 B 100,000,000 2015/09/04 2016/10/24 32.0063812 HK Bank – A50 R Bull CBBC Oct 2016 C 100,000,000 2015/09/04 2016/10/17 25.0063762 HK Bank – HSCEI R Bull CBBC Oct 2016 F 100,000,000 2015/09/04 2016/10/28 31.0063752 HK Bank – HSI R Bull CBBC Sep 2016 L 150,000,000 2015/09/04 2016/09/29 37.5063751 HK Bank – HSI R Bull CBBC Oct 2016 G 150,000,000 2015/09/04 2016/10/28 37.5063753 HK Bank – HSI R Bull CBBC Oct 2016 H 150,000,000 2015/09/04 2016/10/28 37.5063737 HK Bank – HSI R Bear CBBC Aug 2016 E 150,000,000 2015/09/04 2016/08/30 37.5063775 HK Bank – PetCh R Bull CBBC Dec 2016 B 60,000,000 2015/09/04 2016/12/12 15.0063781 HK Bank – Ping An R Bear CBBC Oct 2016 B 40,000,000 2015/09/04 2016/10/31 10.0063830 HK Bank – TCH R Bull CBBC Jun 2016 G 100,000,000 2015/09/04 2016/06/27 25.0064147 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Apr 2016 E 100,000,000 2015/09/04 2016/04/15 25.0064150 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Aug 2016 C 100,000,000 2015/09/04 2016/08/19 25.00




64151 J P Morgan SP BV – A50 China R Bull CBBC Jul 2016 C 100,000,000 2015/09/04 2016/07/15 25.0064096 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 D 200,000,000 2015/09/04 2016/03/30 50.0064112 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 X 200,000,000 2015/09/04 2016/03/30 50.0064119 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 J 200,000,000 2015/09/04 2016/07/28 50.0064146 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 F 200,000,000 2015/09/04 2016/09/29 50.0064138 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 E 200,000,000 2015/09/04 2016/11/29 50.0063851 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/09/04 2016/01/28 50.0064075 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 F 200,000,000 2015/09/04 2016/01/28 50.0064074 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 G 200,000,000 2015/09/04 2016/01/28 50.0064079 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 H 200,000,000 2015/09/04 2016/01/28 50.0063849 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 V 200,000,000 2015/09/04 2016/02/26 50.0063850 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 W 200,000,000 2015/09/04 2016/02/26 50.0064082 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 X 200,000,000 2015/09/04 2016/02/26 50.0064169 J P Morgan SP BV – Ping An R Bull CBBC Sep 2016 B 100,000,000 2015/09/04 2016/09/15 25.0064164 J P Morgan SP BV – Ping An R Bull CBBC Oct 2016 C 100,000,000 2015/09/04 2016/10/14 25.0064162 J P Morgan SP BV – Tencent R Bull CBBC Jul 2016 D 100,000,000 2015/09/04 2016/07/15 25.0063846 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 L 100,000,000 2015/09/04 2016/07/28 25.0063852 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 M 150,000,000 2015/09/04 2016/07/28 37.5063847 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 G 100,000,000 2015/09/04 2016/08/30 25.0063831 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 B 100,000,000 2015/09/04 2016/02/26 25.0063833 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 C 150,000,000 2015/09/04 2016/02/26 37.5063853 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 Y 200,000,000 2015/09/04 2016/05/30 50.0063921 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 Z 200,000,000 2015/09/04 2016/05/30 50.0063854 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 B 200,000,000 2015/09/04 2016/05/30 50.0063855 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 C 200,000,000 2015/09/04 2016/05/30 50.0064071 UBS AG – CAM CSI300 R Bull CBBC Sep 2016 B 100,000,000 2015/09/04 2016/09/12 25.0064063 UBS AG – CSOP A50 ETF R Bull CBBC Mar 2016 D 50,000,000 2015/09/04 2016/03/14 12.5064070 UBS AG – A50 China R Bull CBBC Mar 2016 F 50,000,000 2015/09/04 2016/03/21 13.5064045 UBS AG – HSI R Bull CBBC May 2016 W 200,000,000 2015/09/04 2016/05/30 50.0064021 UBS AG – HSI R Bull CBBC Jun 2016 M 200,000,000 2015/09/04 2016/06/29 50.0064061 UBS AG – HSI R Bull CBBC Jul 2016 F 200,000,000 2015/09/04 2016/07/28 50.0063990 UBS AG – HSI R Bull CBBC Jul 2016 J 200,000,000 2015/09/04 2016/07/28 50.0063992 UBS AG – HSI R Bull CBBC Jul 2016 K 200,000,000 2015/09/04 2016/07/28 50.0064020 UBS AG – HSI R Bull CBBC Jul 2016 M 200,000,000 2015/09/04 2016/07/28 50.0063998 UBS AG – HSI R Bull CBBC Aug 2016 O 200,000,000 2015/09/04 2016/08/30 50.0063971 UBS AG – HSI R Bear CBBC Mar 2016 G 200,000,000 2015/09/04 2016/03/30 50.0063972 UBS AG – HSI R Bear CBBC Mar 2016 H 200,000,000 2015/09/04 2016/03/30 50.0063977 UBS AG – HSI R Bear CBBC Mar 2016 I 200,000,000 2015/09/04 2016/03/30 50.0063988 UBS AG – HSI R Bear CBBC Mar 2016 J 200,000,000 2015/09/04 2016/03/30 50.0064072 UBS AG – Ping An R Bull CBBC Nov 2016 C 100,000,000 2015/09/04 2016/11/14 25.0064299 BNP Paribas Arbit Issu B.V. – HKEx R Bull CBBC Sep 2016 A 40,000,000 2015/09/07 2016/09/30 10.0064265 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 N 250,000,000 2015/09/07 2016/12/29 62.5064270 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 O 250,000,000 2015/09/07 2016/12/29 62.5064290 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 Y 200,000,000 2015/09/07 2016/03/30 50.0064292 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 S 200,000,000 2015/09/07 2016/04/28 50.00




64301 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Dec 2016 A 68,000,000 2015/09/07 2016/12/30 17.0064308 Credit Suisse AG – HSCEI R Bull CBBC Mar 2016 I 108,000,000 2015/09/07 2016/03/30 27.0064307 Credit Suisse AG – HSCEI R Bull CBBC May 2016 A 108,000,000 2015/09/07 2016/05/30 27.0064346 Credit Suisse AG – HSI R Bull CBBC Feb 2016 U 200,000,000 2015/09/07 2016/02/26 50.0064339 Credit Suisse AG – HSI R Bull CBBC Mar 2016 S 200,000,000 2015/09/07 2016/03/30 50.0064336 Credit Suisse AG – HSI R Bull CBBC Apr 2016 A 200,000,000 2015/09/07 2016/04/28 50.0064335 Credit Suisse AG – HSI R Bear CBBC Feb 2016 H 200,000,000 2015/09/07 2016/02/26 50.0064321 Credit Suisse AG – HSI R Bear CBBC Apr 2016 T 200,000,000 2015/09/07 2016/04/28 50.0064327 Credit Suisse AG – HSI R Bear CBBC Apr 2016 U 200,000,000 2015/09/07 2016/04/28 50.0064354 Credit Suisse AG – HSI R Bear CBBC Apr 2016 V 200,000,000 2015/09/07 2016/04/28 50.0064357 Credit Suisse AG – HSI R Bear CBBC May 2016 N 200,000,000 2015/09/07 2016/05/30 50.0064206 HK Bank – CITIC Sec R Bull CBBC Sep 2016 B 60,000,000 2015/09/07 2016/09/26 27.0064198 HK Bank – CNOOC R Bull CBBC Oct 2016 C 60,000,000 2015/09/07 2016/10/26 15.0064203 HK Bank – CNOOC R Bull CBBC Nov 2016 C 60,000,000 2015/09/07 2016/11/14 15.0064210 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2016 E 100,000,000 2015/09/07 2016/07/11 25.0064211 HK Bank – A50 R Bull CBBC Aug 2016 D 100,000,000 2015/09/07 2016/08/15 25.0064216 HK Bank – A50 R Bull CBBC Oct 2016 D 100,000,000 2015/09/07 2016/10/17 25.0064172 HK Bank – HKEx R Bull CBBC Oct 2016 I 100,000,000 2015/09/07 2016/10/17 25.0064196 HK Bank – HSCEI R Bull CBBC Sep 2016 E 100,000,000 2015/09/07 2016/09/29 25.0064177 HK Bank – HSI R Bull CBBC Jul 2016 V 150,000,000 2015/09/07 2016/07/28 37.5064180 HK Bank – HSI R Bear CBBC Jul 2016 F 100,000,000 2015/09/07 2016/07/28 25.0064243 J P Morgan SP BV – CSOP A50 ETF R Bull CBBC Jul 2016 D 100,000,000 2015/09/07 2016/07/15 25.0064246 J P Morgan SP BV – A50 China R Bull CBBC Jun 2016 D 100,000,000 2015/09/07 2016/06/17 25.0064248 J P Morgan SP BV – HKEx R Bull CBBC Oct 2016 D 100,000,000 2015/09/07 2016/10/14 25.0064241 J P Morgan SP BV – HSCEI R Bull CBBC Jun 2016 E 100,000,000 2015/09/07 2016/06/29 25.0064363 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 Y 200,000,000 2015/09/07 2016/03/30 50.0064365 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 Z 200,000,000 2015/09/07 2016/04/28 50.0064367 J P Morgan SP BV – HSI R Bull CBBC Feb 2017 C 200,000,000 2015/09/07 2017/02/27 50.0064368 J P Morgan SP BV – HSI R Bull CBBC Mar 2017 C 200,000,000 2015/09/07 2017/03/30 50.0064218 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 Y 200,000,000 2015/09/07 2016/02/26 50.0064221 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 Z 200,000,000 2015/09/07 2016/02/26 50.0064222 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 A 200,000,000 2015/09/07 2016/03/30 50.0064223 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 B 200,000,000 2015/09/07 2016/03/30 50.0064303 Standard Chartered Bank – HKEx R Bull CBBC Jun 2016 C 50,000,000 2015/09/07 2016/06/27 12.5064224 Standard Chartered Bank – HSCEI R Bear CBBC Feb 2016 A 100,000,000 2015/09/07 2016/02/26 25.0064229 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 N 150,000,000 2015/09/07 2016/07/28 37.5064232 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 O 150,000,000 2015/09/07 2016/07/28 37.5064227 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 D 100,000,000 2015/09/07 2016/02/26 25.0064228 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 E 150,000,000 2015/09/07 2016/02/26 37.5064235 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 B 200,000,000 2015/09/07 2016/05/30 50.0064238 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 D 200,000,000 2015/09/07 2016/05/30 50.0064239 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 E 200,000,000 2015/09/07 2016/05/30 50.0064359 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 F 200,000,000 2015/09/07 2016/05/30 50.0064306 UBS AG – HSI R Bull CBBC Jun 2016 D 200,000,000 2015/09/07 2016/06/29 50.0064305 UBS AG – HSI R Bull CBBC Jun 2016 X 200,000,000 2015/09/07 2016/06/29 50.00




64513 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Mar 2016 E 100,000,000 2015/09/08 2016/03/30 25.0064510 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 A 250,000,000 2015/09/08 2016/12/29 62.5064511 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 Z 200,000,000 2015/09/08 2016/03/30 50.0064518 Credit Suisse AG – HSI R Bull CBBC May 2016 S 200,000,000 2015/09/08 2016/05/30 50.0064539 Credit Suisse AG – HSI R Bull CBBC May 2016 T 200,000,000 2015/09/08 2016/05/30 50.0064523 Credit Suisse AG – HSI R Bear CBBC Feb 2016 R 200,000,000 2015/09/08 2016/02/26 50.0064524 Credit Suisse AG – HSI R Bear CBBC Feb 2016 S 200,000,000 2015/09/08 2016/02/26 50.0064453 HK Bank – China Life R Bull CBBC Aug 2016 C 60,000,000 2015/09/08 2016/08/08 21.0064465 HK Bank – CNOOC R Bull CBBC Dec 2016 D 60,000,000 2015/09/08 2016/12/08 15.0064466 HK Bank – CNOOC R Bear CBBC Dec 2016 A 40,000,000 2015/09/08 2016/12/08 10.0064400 HK Bank – Sinopec Corp R Bull CBBC Dec 2016 C 80,000,000 2015/09/08 2016/12/08 20.0064382 HK Bank – PetCh R Bear CBBC Dec 2016 A 40,000,000 2015/09/08 2016/12/08 10.0064491 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 K 200,000,000 2015/09/08 2016/08/30 50.0064736 J P Morgan SP BV – HSI R Bull CBBC Jan 2017 C 200,000,000 2015/09/08 2017/01/26 50.0064739 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/09/08 2015/12/30 50.0064640 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 T 200,000,000 2015/09/08 2016/01/28 50.0064672 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 U 200,000,000 2015/09/08 2016/01/28 50.0064684 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 C 200,000,000 2015/09/08 2016/03/30 50.0064733 J P Morgan SP BV – HSI R Bear CBBC Apr 2016 A 200,000,000 2015/09/08 2016/04/28 50.0064485 Standard Chartered Bank – CSOP A50 ETF R Bull CBBC Jun 2016C 50,000,000 2015/09/08 2016/06/27 12.5064490 Standard Chartered Bank – A50 China R Bull CBBC Jun 2016 D 50,000,000 2015/09/08 2016/06/20 12.5064480 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 P 100,000,000 2015/09/08 2016/07/28 25.0064483 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 Q 150,000,000 2015/09/08 2016/07/28 37.5064468 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 F 150,000,000 2015/09/08 2016/02/26 37.5064478 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 G 100,000,000 2015/09/08 2016/02/26 25.0064509 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Feb17A 100,000,000 2015/09/08 2017/02/27 25.0064507 SGA Societe Generale Acceptance N.V – CSA50 R Bull CBBC Apr17A 100,000,000 2015/09/08 2017/04/27 29.0064506 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Apr16 B 100,000,000 2015/09/08 2016/04/28 25.0064499 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Jun16 B 100,000,000 2015/09/08 2016/06/29 25.0064493 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Aug16 B 100,000,000 2015/09/08 2016/08/30 25.0064492 SGA Societe Generale Acceptance N.V. – A50 R Bull CBBC Oct16 A 100,000,000 2015/09/08 2016/10/28 25.0064467 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 K 200,000,000 2015/09/08 2016/06/29 50.0064516 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 G 200,000,000 2015/09/08 2016/05/30 50.0064540 UBS AG – CC Bank R Bull CBBC Jul 2016 A 50,000,000 2015/09/08 2016/07/18 12.5064598 UBS AG – HSI R Bull CBBC Jul 2016 A 200,000,000 2015/09/08 2016/07/28 50.0064559 UBS AG – HSI R Bear CBBC Feb 2016 D 200,000,000 2015/09/08 2016/02/26 50.0064549 UBS AG – ICBC R Bull CBBC Aug 2016 A 50,000,000 2015/09/08 2016/08/22 12.5065080 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 G 250,000,000 2015/09/09 2016/11/29 62.5065468 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 A 200,000,000 2015/09/09 2016/03/30 50.0065466 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 T 200,000,000 2015/09/09 2016/04/28 50.0065087 BNP Paribas Arbit Issu B.V. – Petroch R Bull CBBC Jan 2016 D 60,000,000 2015/09/09 2016/01/29 15.0065112 Credit Suisse AG – HSI R Bull CBBC Mar 2016 A 200,000,000 2015/09/09 2016/03/30 50.0065109 Credit Suisse AG – HSI R Bull CBBC Mar 2016 B 200,000,000 2015/09/09 2016/03/30 50.0065182 Credit Suisse AG – HSI R Bull CBBC Mar 2016 C 200,000,000 2015/09/09 2016/03/30 50.0065099 Credit Suisse AG – HSI R Bull CBBC Mar 2016 T 200,000,000 2015/09/09 2016/03/30 50.00




65334 Credit Suisse AG – HSI R Bear CBBC Mar 2016 W 200,000,000 2015/09/09 2016/03/30 50.0065358 Credit Suisse AG – HSI R Bear CBBC Mar 2016 X 200,000,000 2015/09/09 2016/03/30 50.0065361 Credit Suisse AG – HSI R Bear CBBC Mar 2016 Y 200,000,000 2015/09/09 2016/03/30 50.0064840 HK Bank – CGN Power R Bull CBBC Dec 2016 B 40,000,000 2015/09/09 2016/12/21 10.0064816 HK Bank – CITIC Sec R Bull CBBC Oct 2016 A 60,000,000 2015/09/09 2016/10/31 33.0064773 HK Bank – A50 R Bear CBBC Jul 2016 C 50,000,000 2015/09/09 2016/07/11 12.5064810 HK Bank – HKEx R Bull CBBC Nov 2016 C 100,000,000 2015/09/09 2016/11/14 25.0064766 HK Bank – Ping An R Bull CBBC Oct 2016 F 188,000,000 2015/09/09 2016/10/24 47.0064791 HK Bank – TCH R Bull CBBC Jul 2016 K 100,000,000 2015/09/09 2016/07/04 25.0064792 HK Bank – TCH R Bull CBBC Aug 2016 J 100,000,000 2015/09/09 2016/08/22 25.0064797 HK Bank – TCH R Bull CBBC Sep 2016 B 100,000,000 2015/09/09 2016/09/05 25.0065463 J P Morgan SP BV – A50 China R Bear CBBC Jun 2016 C 100,000,000 2015/09/09 2016/06/17 25.0065457 J P Morgan SP BV – HKEx R Bear CBBC Apr 2016 A 100,000,000 2015/09/09 2016/04/15 25.0065451 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 J 100,000,000 2015/09/09 2016/07/28 25.0065506 J P Morgan SP BV – HSCEI R Bear CBBC Mar 2016 D 100,000,000 2015/09/09 2016/03/30 25.0065510 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 A 200,000,000 2015/09/09 2016/04/28 50.0064858 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 K 200,000,000 2015/09/09 2016/07/28 50.0065511 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 O 200,000,000 2015/09/09 2016/07/28 50.0065522 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 F 200,000,000 2015/09/09 2016/11/29 50.0065524 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/09/09 2016/01/28 50.0065529 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 W 200,000,000 2015/09/09 2016/01/28 50.0064893 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2016 A 40,000,000 2015/09/09 2016/03/30 10.6064961 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2016 B 40,000,000 2015/09/09 2016/03/30 10.0064972 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2016 C 40,000,000 2015/09/09 2016/03/30 10.2065063 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2016 D 40,000,000 2015/09/09 2016/03/30 10.4064895 Macquarie Bank Ltd. – HSI R Bear CBBC Mar 2016 A 40,000,000 2015/09/09 2016/03/30 10.0064921 Macquarie Bank Ltd. – HSI R Bear CBBC Mar 2016 B 40,000,000 2015/09/09 2016/03/30 10.2064938 Macquarie Bank Ltd. – HSI R Bear CBBC Mar 2016 C 40,000,000 2015/09/09 2016/03/30 10.4064951 Macquarie Bank Ltd. – HSI R Bear CBBC Mar 2016 D 40,000,000 2015/09/09 2016/03/30 10.6064854 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 R 100,000,000 2015/09/09 2016/07/28 25.0064855 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 H 100,000,000 2015/09/09 2016/08/30 25.0064856 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 H 150,000,000 2015/09/09 2016/02/26 37.5064853 Standard Chartered Bank – Ping An R Bull CBBC Aug 2016 A 30,000,000 2015/09/09 2016/08/19 22.5064841 Standard Chartered Bank – TCH R Bear CBBC Jun 2016 A 50,000,000 2015/09/09 2016/06/06 12.5064859 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 I 200,000,000 2015/09/09 2016/07/28 50.0064866 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 M 200,000,000 2015/09/09 2016/04/28 50.0065365 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 H 200,000,000 2015/09/09 2016/05/30 50.0065437 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 I 200,000,000 2015/09/09 2016/05/30 50.0065472 UBS AG – HSI R Bull CBBC Jun 2016 I 200,000,000 2015/09/09 2016/06/29 50.0065484 UBS AG – HSI R Bull CBBC Jul 2016 N 200,000,000 2015/09/09 2016/07/28 50.0065474 UBS AG – HSI R Bull CBBC Aug 2016 P 200,000,000 2015/09/09 2016/08/30 50.0065493 UBS AG – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/09/09 2016/01/28 50.0065505 UBS AG – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/09/09 2016/01/28 50.0067081# HK Bank – Galaxy Ent R Bull CBBC Dec 2016 A 180,000,000 2015/09/09 2016/12/19 10.9865991 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Mar 2016 F 100,000,000 2015/09/10 2016/03/30 25.00




65706 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 H 250,000,000 2015/09/10 2016/11/29 62.5065708 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 I 250,000,000 2015/09/10 2016/11/29 62.5065698 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 J 250,000,000 2015/09/10 2016/12/29 62.5065751 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 U 200,000,000 2015/09/10 2016/04/28 50.0065979 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 V 200,000,000 2015/09/10 2016/04/28 50.0065978 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 H 100,000,000 2015/09/10 2015/12/30 25.0065911 Credit Suisse AG – HSI R Bull CBBC Mar 2016 E 200,000,000 2015/09/10 2016/03/30 50.0065946 Credit Suisse AG – HSI R Bull CBBC Mar 2016 U 200,000,000 2015/09/10 2016/03/30 50.0065942 Credit Suisse AG – HSI R Bull CBBC Apr 2016 B 200,000,000 2015/09/10 2016/04/28 50.0065908 Credit Suisse AG – HSI R Bull CBBC Apr 2016 Y 200,000,000 2015/09/10 2016/04/28 50.0065940 Credit Suisse AG – HSI R Bull CBBC Apr 2016 Z 200,000,000 2015/09/10 2016/04/28 50.0065910 Credit Suisse AG – HSI R Bull CBBC May 2016 U 200,000,000 2015/09/10 2016/05/30 50.0065950 Credit Suisse AG – HSI R Bull CBBC May 2016 V 200,000,000 2015/09/10 2016/05/30 50.0065951 Credit Suisse AG – HSI R Bear CBBC Apr 2016 W 200,000,000 2015/09/10 2016/04/28 50.0065970 Credit Suisse AG – HSI R Bear CBBC Apr 2016 X 200,000,000 2015/09/10 2016/04/28 50.0065977 Credit Suisse AG – HSI R Bear CBBC Apr 2016 Y 200,000,000 2015/09/10 2016/04/28 50.0065575 HK Bank – HSI R Bull CBBC Nov 2016 H 400,000,000 2015/09/10 2016/11/29 100.0065615 HK Bank – HSI R Bull CBBC Dec 2016 I 400,000,000 2015/09/10 2016/12/29 120.0065548 HK Bank – HSI R Bear CBBC Aug 2016 F 100,000,000 2015/09/10 2016/08/30 25.0065546 HK Bank – HSI R Bear CBBC Sep 2016 D 100,000,000 2015/09/10 2016/09/29 25.0066069 J P Morgan SP BV – HSCEI R Bull CBBC Jul 2016 K 100,000,000 2015/09/10 2016/07/28 25.0066040 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 O 100,000,000 2015/09/10 2016/04/28 25.0065993 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 B 200,000,000 2015/09/10 2016/04/28 50.0066006 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 N 200,000,000 2015/09/10 2016/07/28 50.0066077 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 P 200,000,000 2015/09/10 2016/07/28 50.0066079 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 L 200,000,000 2015/09/10 2016/08/30 50.0066073 J P Morgan SP BV – HSI R Bull CBBC Jan 2017 D 200,000,000 2015/09/10 2017/01/26 50.0066081 J P Morgan SP BV – HSI R Bull CBBC Feb 2017 D 200,000,000 2015/09/10 2017/02/27 50.0066112 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/09/10 2016/01/28 50.0066130 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 D 200,000,000 2015/09/10 2016/03/30 50.0066134 J P Morgan SP BV – HSI R Bear CBBC Apr 2016 B 200,000,000 2015/09/10 2016/04/28 50.0066027 J P Morgan SP BV – Tencent R Bear CBBC May 2016 A 100,000,000 2015/09/10 2016/05/20 25.0065753 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 S 150,000,000 2015/09/10 2016/07/28 37.5065755 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 T 150,000,000 2015/09/10 2016/07/28 37.5065780 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 I 100,000,000 2015/09/10 2016/02/26 25.0065618 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 A 200,000,000 2015/09/10 2016/05/30 50.0065616 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 L 200,000,000 2015/09/10 2016/06/29 50.0065619 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 N 200,000,000 2015/09/10 2016/04/28 50.0065620 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 J 400,000,000 2015/09/10 2016/05/30 100.0065992 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 K 200,000,000 2015/09/10 2016/05/30 50.0065865 UBS AG – HSI R Bull CBBC Jun 2016 L 200,000,000 2015/09/10 2016/06/29 50.0065904 UBS AG – HSI R Bull CBBC Jun 2016 Y 200,000,000 2015/09/10 2016/06/29 50.0065792 UBS AG – HSI R Bull CBBC Jul 2016 B 200,000,000 2015/09/10 2016/07/28 50.0065868 UBS AG – HSI R Bull CBBC Aug 2016 Q 200,000,000 2015/09/10 2016/08/30 50.0065901 UBS AG – HSI R Bull CBBC Aug 2016 R 200,000,000 2015/09/10 2016/08/30 50.00




65890 UBS AG – HSI R Bear CBBC Mar 2016 K 200,000,000 2015/09/10 2016/03/30 50.0066494 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2016 E 100,000,000 2015/09/11 2016/12/29 25.0066510 BNP Paribas Arbit Issu B.V. – HSCEI R Bear CBBC Apr 2016 F 100,000,000 2015/09/11 2016/04/28 25.0066491 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 B 200,000,000 2015/09/11 2016/03/30 50.0066492 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 C 200,000,000 2015/09/11 2016/03/30 50.0066533 BNP Paribas Arbit Issu B.V. – Petroch R Bull CBBC Jan 2016 E 60,000,000 2015/09/11 2016/01/29 15.0066740 Credit Suisse AG – HSCEI R Bull CBBC Jun 2016 B 100,000,000 2015/09/11 2016/06/29 29.0066741 Credit Suisse AG – HSCEI R Bull CBBC Jul 2016 B 100,000,000 2015/09/11 2016/07/28 34.0066772 Credit Suisse AG – HSCEI R Bear CBBC Dec 2015 I 100,000,000 2015/09/11 2015/12/30 25.0066694 Credit Suisse AG – HSI R Bull CBBC Jun 2016 H 200,000,000 2015/09/11 2016/06/29 50.0066737 Credit Suisse AG – HSI R Bull CBBC Jun 2016 I 200,000,000 2015/09/11 2016/06/29 50.0066830 Credit Suisse AG – HSI R Bull CBBC Jun 2016 J 200,000,000 2015/09/11 2016/06/29 50.0066853 Credit Suisse AG – HSI R Bear CBBC Feb 2016 F 200,000,000 2015/09/11 2016/02/26 50.0066831 Credit Suisse AG – HSI R Bear CBBC Feb 2016 T 200,000,000 2015/09/11 2016/02/26 50.0066930 Credit Suisse AG – HSI R Bear CBBC Mar 2016 A 200,000,000 2015/09/11 2016/03/30 50.0066920 Credit Suisse AG – HSI R Bear CBBC Mar 2016 Z 200,000,000 2015/09/11 2016/03/30 50.0066167 HK Bank – AIA R Bull CBBC Oct 2016 B 60,000,000 2015/09/11 2016/10/24 15.0066172 HK Bank – AIA R Bull CBBC Nov 2016 B 60,000,000 2015/09/11 2016/11/28 15.0066212 HK Bank – CAM CSI300 R Bull CBBC Dec 2016 B 40,000,000 2015/09/11 2016/12/07 22.0066198 HK Bank – CM Bank R Bull CBBC Nov 2016 A 40,000,000 2015/09/11 2016/11/28 16.0066150 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2016 F 100,000,000 2015/09/11 2016/07/25 25.0066173 HK Bank – Evergrande R Bull CBBC Dec 2016 B 60,000,000 2015/09/11 2016/12/07 15.0067293 J P Morgan SP BV – HSCEI R Bull CBBC Jun 2016 F 100,000,000 2015/09/11 2016/06/29 25.0067298 J P Morgan SP BV – HSCEI R Bull CBBC Sep 2016 B 100,000,000 2015/09/11 2016/09/29 25.0067266 J P Morgan SP BV – HSCEI R Bear CBBC May 2016 A 100,000,000 2015/09/11 2016/05/30 25.0067135 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 C 200,000,000 2015/09/11 2016/04/28 50.0066342 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 Z 200,000,000 2015/09/11 2016/06/29 50.0067241 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 R 200,000,000 2015/09/11 2016/07/28 50.0067211 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 G 200,000,000 2015/09/11 2016/11/29 50.0067237 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 H 200,000,000 2015/09/11 2016/11/29 50.0067242 J P Morgan SP BV – HSI R Bull CBBC Dec 2016 E 200,000,000 2015/09/11 2016/12/29 50.0067250 J P Morgan SP BV – HSI R Bull CBBC Jan 2017 E 200,000,000 2015/09/11 2017/01/26 50.0066351 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 E 200,000,000 2015/09/11 2016/03/30 50.0067089 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 F 200,000,000 2015/09/11 2016/03/30 50.0067113 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 G 200,000,000 2015/09/11 2016/03/30 50.0067306 Standard Chartered Bank – CAM CSI300 R Bull CBBC Apr 2016 A 50,000,000 2015/09/11 2016/04/29 20.0067317 Standard Chartered Bank – China Life R Bull CBBC May 2016 A 50,000,000 2015/09/11 2016/05/03 22.5066216 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 U 100,000,000 2015/09/11 2016/07/28 25.0066257 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 J 100,000,000 2015/09/11 2016/02/26 25.0066412 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 M 200,000,000 2015/09/11 2016/06/29 50.0066541 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 J 200,000,000 2015/09/11 2016/07/28 50.0066691 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 K 200,000,000 2015/09/11 2016/07/28 50.0066534 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 F 200,000,000 2015/09/11 2016/08/30 50.0066645 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 G 200,000,000 2015/09/11 2016/08/30 50.0066593 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 F 200,000,000 2015/09/11 2016/09/29 50.00




66439 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 O 200,000,000 2015/09/11 2016/04/28 50.0066443 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 P 200,000,000 2015/09/11 2016/04/28 50.0067044 UBS AG – HSCEI R Bull CBBC Nov 2016 A 200,000,000 2015/09/11 2016/11/29 50.0066941 UBS AG – HSI R Bull CBBC Jul 2016 C 200,000,000 2015/09/11 2016/07/28 50.0066957 UBS AG – HSI R Bull CBBC Sep 2016 L 200,000,000 2015/09/11 2016/09/29 50.0066977 UBS AG – HSI R Bull CBBC Oct 2016 J 200,000,000 2015/09/11 2016/10/28 50.0066985 UBS AG – HSI R Bull CBBC Nov 2016 E 200,000,000 2015/09/11 2016/11/29 57.0067031 UBS AG – HSI R Bull CBBC Nov 2016 F 200,000,000 2015/09/11 2016/11/29 102.0067048 UBS AG – HSI R Bear CBBC Feb 2016 Q 200,000,000 2015/09/11 2016/02/26 50.0067050 UBS AG – HSI R Bear CBBC Feb 2016 U 200,000,000 2015/09/11 2016/02/26 50.0067072 UBS AG – HSI R Bear CBBC Feb 2016 X 200,000,000 2015/09/11 2016/02/26 50.0067383 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 J 250,000,000 2015/09/14 2016/11/29 62.5067495 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 K 250,000,000 2015/09/14 2016/11/29 62.5067473 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 P 250,000,000 2015/09/14 2016/12/29 65.0067475 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 Q 250,000,000 2015/09/14 2016/12/29 62.5067504 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 W 200,000,000 2015/09/14 2016/04/28 50.0067530 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 X 200,000,000 2015/09/14 2016/04/28 50.0067405 Credit Suisse AG – HSI R Bull CBBC May 2016 W 200,000,000 2015/09/14 2016/05/30 50.0067406 Credit Suisse AG – HSI R Bull CBBC May 2016 X 200,000,000 2015/09/14 2016/05/30 50.0067407 Credit Suisse AG – HSI R Bull CBBC May 2016 Y 200,000,000 2015/09/14 2016/05/30 50.0067456 Credit Suisse AG – HSI R Bear CBBC Mar 2016 R 200,000,000 2015/09/14 2016/03/30 50.0067411 Credit Suisse AG – HSI R Bear CBBC Apr 2016 A 200,000,000 2015/09/14 2016/04/28 50.0067409 Credit Suisse AG – HSI R Bear CBBC Apr 2016 Z 200,000,000 2015/09/14 2016/04/28 50.0067461 Credit Suisse AG – HSI R Bear CBBC May 2016 O 200,000,000 2015/09/14 2016/05/30 50.0067341 HK Bank – Sinopec Corp R Bear CBBC Oct 2016 A 40,000,000 2015/09/14 2016/10/31 10.0067331 HK Bank – HSCEI R Bear CBBC May 2016 K 68,000,000 2015/09/14 2016/05/30 17.0067376 HK Bank – HSI R Bull CBBC Aug 2016 M 150,000,000 2015/09/14 2016/08/30 37.5067342 HK Bank – HSI R Bull CBBC Sep 2016 M 150,000,000 2015/09/14 2016/09/29 37.5067330 HK Bank – PetCh R Bull CBBC Dec 2016 C 60,000,000 2015/09/14 2016/12/19 15.0067400 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 G 200,000,000 2015/09/14 2016/09/29 50.0067662 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 G 200,000,000 2015/09/14 2016/10/28 50.0067660 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 V 200,000,000 2015/09/14 2016/02/26 50.0067661 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 H 200,000,000 2015/09/14 2016/03/30 50.0067384 Standard Chartered Bank – HSCEI R Bull CBBC Jul 2016 C 100,000,000 2015/09/14 2016/07/28 25.0067385 Standard Chartered Bank – HSCEI R Bear CBBC Feb 2016 B 100,000,000 2015/09/14 2016/02/26 25.0067399 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 I 150,000,000 2015/09/14 2016/08/30 37.5067386 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 K 150,000,000 2015/09/14 2016/02/26 37.5067388 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 L 150,000,000 2015/09/14 2016/02/26 37.5067328 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 C 200,000,000 2015/09/14 2016/05/30 50.0067552 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 L 200,000,000 2015/09/14 2016/07/28 74.0067575 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 M 200,000,000 2015/09/14 2016/07/28 62.0067598 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 N 200,000,000 2015/09/14 2016/07/28 50.0067569 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 H 200,000,000 2015/09/14 2016/08/30 66.0067593 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 I 200,000,000 2015/09/14 2016/08/30 54.0067553 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 G 200,000,000 2015/09/14 2016/09/29 70.00




67584 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 H 200,000,000 2015/09/14 2016/09/29 58.0067628 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 I 200,000,000 2015/09/14 2016/09/29 50.0067401 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 P 200,000,000 2015/09/14 2016/03/30 50.0067643 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 Q 200,000,000 2015/09/14 2016/04/28 50.0067640 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 L 200,000,000 2015/09/14 2016/05/30 50.0067469 UBS AG – HSI R Bull CBBC Jun 2016 E 200,000,000 2015/09/14 2016/06/29 50.0067465 UBS AG – HSI R Bull CBBC Jun 2016 Z 200,000,000 2015/09/14 2016/06/29 50.0067468 UBS AG – HSI R Bear CBBC Dec 2015 B 200,000,000 2015/09/14 2015/12/30 50.0067470 UBS AG – HSI R Bear CBBC Dec 2015 C 200,000,000 2015/09/14 2015/12/30 50.0067940 BNP Paribas Arbit Issu B.V. – CAM CSI300 R Bull CBBC Sep16 D 100,000,000 2015/09/15 2016/09/30 25.0067928 BNP Paribas Arbit Issu B.V. – CSOP A50 ETF R Bull CBBC Mar16G 100,000,000 2015/09/15 2016/03/31 25.0067924 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 R 250,000,000 2015/09/15 2016/12/29 62.5067926 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 S 250,000,000 2015/09/15 2016/12/29 62.5067927 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 T 250,000,000 2015/09/15 2016/12/29 62.5067705 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 P 200,000,000 2015/09/15 2016/03/30 50.0067756 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 S 200,000,000 2015/09/15 2016/03/30 50.0067830 Credit Suisse AG – HSI R Bull CBBC Mar 2016 X 200,000,000 2015/09/15 2016/03/30 50.0067782 Credit Suisse AG – HSI R Bull CBBC Apr 2016 C 200,000,000 2015/09/15 2016/04/28 50.0067784 Credit Suisse AG – HSI R Bull CBBC Apr 2016 I 200,000,000 2015/09/15 2016/04/28 50.0067795 Credit Suisse AG – HSI R Bull CBBC Apr 2016 O 200,000,000 2015/09/15 2016/04/28 50.0067787 Credit Suisse AG – HSI R Bull CBBC Apr 2016 R 200,000,000 2015/09/15 2016/04/28 50.0067776 Credit Suisse AG – HSI R Bear CBBC Apr 2016 D 200,000,000 2015/09/15 2016/04/28 50.0067778 Credit Suisse AG – HSI R Bear CBBC Apr 2016 J 200,000,000 2015/09/15 2016/04/28 50.0067779 Credit Suisse AG – HSI R Bear CBBC Apr 2016 M 200,000,000 2015/09/15 2016/04/28 50.0067831 Credit Suisse AG – HSI R Bear CBBC Apr 2016 N 200,000,000 2015/09/15 2016/04/28 50.0067777 Credit Suisse AG – HSI R Bear CBBC Apr 2016 P 200,000,000 2015/09/15 2016/04/28 50.0067678 HK Bank – HSI R Bull CBBC Oct 2016 I 150,000,000 2015/09/15 2016/10/28 37.5067688 HK Bank – HSI R Bull CBBC Nov 2016 I 150,000,000 2015/09/15 2016/11/29 37.5067673 HK Bank – HSI R Bear CBBC May 2016 S 100,000,000 2015/09/15 2016/05/30 25.0067696 HK Bank – HSI R Bear CBBC Dec 2016 B 400,000,000 2015/09/15 2016/12/29 100.0067904 J P Morgan SP BV – HSI R Bull CBBC Mar 2016 Z 200,000,000 2015/09/15 2016/03/30 50.0067905 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 D 200,000,000 2015/09/15 2016/04/28 50.0067873 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 I 200,000,000 2015/09/15 2016/03/30 50.0067876 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 J 200,000,000 2015/09/15 2016/03/30 50.0067907 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 K 200,000,000 2015/09/15 2016/03/30 50.0067894 J P Morgan SP BV – HSI R Bear CBBC Apr 2016 C 200,000,000 2015/09/15 2016/04/28 50.0067711 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 V 150,000,000 2015/09/15 2016/07/28 37.5067718 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 J 100,000,000 2015/09/15 2016/08/30 25.0067719 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 K 100,000,000 2015/09/15 2016/08/30 25.0067741 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 L 150,000,000 2015/09/15 2016/08/30 37.5067748 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 M 100,000,000 2015/09/15 2016/02/26 25.0067852 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC May16 D 200,000,000 2015/09/15 2016/05/30 50.0067838 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 N 200,000,000 2015/09/15 2016/06/29 50.0067853 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 O 200,000,000 2015/09/15 2016/06/29 50.0067870 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 P 200,000,000 2015/09/15 2016/06/29 50.00




67872 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 Q 200,000,000 2015/09/15 2016/03/30 50.0067916 UBS AG – HSI R Bull CBBC Jun 2016 F 200,000,000 2015/09/15 2016/06/29 50.0067922 UBS AG – HSI R Bull CBBC Jun 2016 G 200,000,000 2015/09/15 2016/06/29 50.0067919 UBS AG – HSI R Bull CBBC Aug 2016 S 200,000,000 2015/09/15 2016/08/30 50.0067921 UBS AG – HSI R Bull CBBC Aug 2016 T 200,000,000 2015/09/15 2016/08/30 50.0067915 UBS AG – HSI R Bear CBBC Dec 2015 D 200,000,000 2015/09/15 2015/12/30 50.0067909 UBS AG – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/09/15 2016/01/28 50.0068175 BNP Paribas Arbit Issu B.V. – A50 Ch R Bull CBBC Mar 2016 F 100,000,000 2015/09/16 2016/03/31 25.0068180 BNP Paribas Arbit Issu B.V. – HS H ETF R Bull CBBC Jan 2016I 60,000,000 2015/09/16 2016/01/29 15.0068162 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Nov 2016 F 100,000,000 2015/09/16 2016/11/29 25.0068165 BNP Paribas Arbit Issu B.V. – HSCEI R Bull CBBC Dec 2016 F 100,000,000 2015/09/16 2016/12/29 25.0068348 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 L 250,000,000 2015/09/16 2016/11/29 62.5068134 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 C 250,000,000 2015/09/16 2016/12/29 62.5068347 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 F 250,000,000 2015/09/16 2016/12/29 62.5068125 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 U 250,000,000 2015/09/16 2016/12/29 62.5068135 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 X 250,000,000 2015/09/16 2016/12/29 62.5068146 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 A 200,000,000 2015/09/16 2016/03/30 50.0068039 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 T 200,000,000 2015/09/16 2016/03/30 50.0068040 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 W 200,000,000 2015/09/16 2016/03/30 50.0068042 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 X 200,000,000 2015/09/16 2016/03/30 50.0068140 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 Y 200,000,000 2015/09/16 2016/04/28 50.0068149 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 Z 200,000,000 2015/09/16 2016/04/28 50.0068183 BNP Paribas Arbit Issu B.V. – TCH R Bull CBBC Sep 2016 B 50,000,000 2015/09/16 2016/09/30 12.5068217 Credit Suisse AG – HSCEI R Bull CBBC May 2016 B 100,000,000 2015/09/16 2016/05/30 25.0068219 Credit Suisse AG – HSCEI R Bull CBBC May 2016 C 100,000,000 2015/09/16 2016/05/30 25.0068253 Credit Suisse AG – HSI R Bull CBBC Apr 2016 H 200,000,000 2015/09/16 2016/04/28 50.0068259 Credit Suisse AG – HSI R Bull CBBC Apr 2016 J 200,000,000 2015/09/16 2016/04/28 50.0068267 Credit Suisse AG – HSI R Bull CBBC May 2016 G 200,000,000 2015/09/16 2016/05/30 50.0068256 Credit Suisse AG – HSI R Bull CBBC May 2016 H 200,000,000 2015/09/16 2016/05/30 50.0068238 Credit Suisse AG – HSI R Bull CBBC May 2016 Z 200,000,000 2015/09/16 2016/05/30 50.0068237 Credit Suisse AG – HSI R Bull CBBC Jun 2016 K 200,000,000 2015/09/16 2016/06/29 50.0068249 Credit Suisse AG – HSI R Bull CBBC Jun 2016 N 200,000,000 2015/09/16 2016/06/29 50.0068258 Credit Suisse AG – HSI R Bull CBBC Jun 2016 O 200,000,000 2015/09/16 2016/06/29 50.0068208 Credit Suisse AG – HSI R Bear CBBC Feb 2016 H 200,000,000 2015/09/16 2016/02/26 50.0068212 Credit Suisse AG – HSI R Bear CBBC Feb 2016 R 200,000,000 2015/09/16 2016/02/26 50.0068230 Credit Suisse AG – HSI R Bear CBBC Feb 2016 S 200,000,000 2015/09/16 2016/02/26 50.0068214 Credit Suisse AG – HSI R Bear CBBC Mar 2016 Q 200,000,000 2015/09/16 2016/03/30 50.0068209 Credit Suisse AG – HSI R Bear CBBC Mar 2016 S 200,000,000 2015/09/16 2016/03/30 50.0068220 Credit Suisse AG – HSI R Bear CBBC Mar 2016 T 200,000,000 2015/09/16 2016/03/30 50.0068223 Credit Suisse AG – HSI R Bear CBBC Mar 2016 U 200,000,000 2015/09/16 2016/03/30 50.0068221 Credit Suisse AG – HSI R Bear CBBC Apr 2016 L 200,000,000 2015/09/16 2016/04/28 50.0068224 Credit Suisse AG – HSI R Bear CBBC Apr 2016 O 200,000,000 2015/09/16 2016/04/28 50.0068228 Credit Suisse AG – HSI R Bear CBBC Apr 2016 Q 200,000,000 2015/09/16 2016/04/28 50.0068215 Credit Suisse AG – HSI R Bear CBBC Apr 2016 S 200,000,000 2015/09/16 2016/04/28 50.0068207 Bank of East Asia – ABC R Bull CBBC Dec 2016 A 80,000,000 2015/09/16 2016/12/19 20.00




68195 Bank of East Asia – AIA R Bull CBBC Dec 2016 A 60,000,000 2015/09/16 2016/12/29 15.0068193 Bank of East Asia – BOCL R Bull CBBC Dec 2016 A 60,000,000 2015/09/16 2016/12/08 15.0068206 Bank of East Asia – CC Bank R Bull CBBC Dec 2016 A 50,000,000 2015/09/16 2016/12/09 12.5068201 Bank of East Asia – China Life R Bull CBBC Dec 2016 A 80,000,000 2015/09/16 2016/12/28 20.0067962 HK Bank – China Mobile R Bear CBBC Jul 2016 C 60,000,000 2015/09/16 2016/07/18 15.0067985 HK Bank – A50 R Bull CBBC Sep 2016 B 100,000,000 2015/09/16 2016/09/05 25.0067955 HK Bank – HSCEI R Bull CBBC Sep 2016 F 100,000,000 2015/09/16 2016/09/29 25.0067943 HK Bank – HSI R Bull CBBC Sep 2016 N 150,000,000 2015/09/16 2016/09/29 37.5067992 HK Bank – HSI R Bull CBBC Oct 2016 J 150,000,000 2015/09/16 2016/10/28 37.5067964 HK Bank – PetCh R Bear CBBC Aug 2016 B 40,000,000 2015/09/16 2016/08/01 10.0068065 J P Morgan SP BV – HSCEI R Bear CBBC Mar 2016 E 100,000,000 2015/09/16 2016/03/30 25.0068382 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 E 200,000,000 2015/09/16 2016/04/28 50.0068380 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 H 200,000,000 2015/09/16 2016/06/29 50.0068373 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 S 200,000,000 2015/09/16 2016/07/28 50.0068386 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 M 200,000,000 2015/09/16 2016/08/30 50.0068055 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/09/16 2016/01/28 50.0068354 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 G 200,000,000 2015/09/16 2016/01/28 50.0068365 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 T 200,000,000 2015/09/16 2016/01/28 50.0068043 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/09/16 2016/01/28 50.0068372 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 L 200,000,000 2015/09/16 2016/02/26 50.0068064 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 P 200,000,000 2015/09/16 2016/02/26 50.0068390 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2016 E 40,000,000 2015/09/16 2016/03/30 10.0068031 Standard Chartered Bank – CAM CSI300 R Bull CBBC May 2016 A 50,000,000 2015/09/16 2016/05/06 20.5068024 Standard Chartered Bank – CSOP A50 R Bull CBBC Jul 2016 B 50,000,000 2015/09/16 2016/07/07 12.5068030 Standard Chartered Bank – A50 China R Bull CBBC Jul 2016 B 50,000,000 2015/09/16 2016/07/27 12.5068012 Standard Chartered Bank – HSCEI R Bull CBBC Jul 2016 D 100,000,000 2015/09/16 2016/07/28 25.0068100 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 W 100,000,000 2015/09/16 2016/07/28 25.0068102 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 X 150,000,000 2015/09/16 2016/07/28 37.5068107 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 Y 100,000,000 2015/09/16 2016/07/28 25.0068233 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 Z 100,000,000 2015/09/16 2016/07/28 25.0067998 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 N 150,000,000 2015/09/16 2016/02/26 37.5067999 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 O 100,000,000 2015/09/16 2016/02/26 25.0068122 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 P 100,000,000 2015/09/16 2016/02/26 25.0068018 Standard Chartered Bank – TCH R Bull CBBC Jun 2016 A 50,000,000 2015/09/16 2016/06/30 12.5068066 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun 16Q 400,000,000 2015/09/16 2016/06/29 100.0068080 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul 16O 200,000,000 2015/09/16 2016/07/28 50.0068088 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul 16P 200,000,000 2015/09/16 2016/07/28 50.0068093 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul 16Q 200,000,000 2015/09/16 2016/07/28 50.0068271 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul 16R 200,000,000 2015/09/16 2016/07/28 50.0067995 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr 16R 200,000,000 2015/09/16 2016/04/28 50.0067997 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr 16S 200,000,000 2015/09/16 2016/04/28 50.0067996 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May 16M 200,000,000 2015/09/16 2016/05/30 50.0068099 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May 16N 200,000,000 2015/09/16 2016/05/30 50.0068280 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May 16O 200,000,000 2015/09/16 2016/05/30 50.0068337 UBS AG – HSCEI R Bull CBBC Oct 2016 C 200,000,000 2015/09/16 2016/10/28 50.00




68336 UBS AG – HSCEI R Bull CBBC Nov 2016 B 200,000,000 2015/09/16 2016/11/29 50.0068332 UBS AG – HSI R Bull CBBC Jun 2016 N 200,000,000 2015/09/16 2016/06/29 50.0068326 UBS AG – HSI R Bull CBBC Jul 2016 H 200,000,000 2015/09/16 2016/07/28 50.0068322 UBS AG – HSI R Bull CBBC Aug 2016 U 200,000,000 2015/09/16 2016/08/30 50.0068333 UBS AG – HSI R Bull CBBC Aug 2016 V 200,000,000 2015/09/16 2016/08/30 50.0068321 UBS AG – HSI R Bull CBBC Sep 2016 M 200,000,000 2015/09/16 2016/09/29 50.0068331 UBS AG – HSI R Bull CBBC Sep 2016 N 200,000,000 2015/09/16 2016/09/29 50.0068292 UBS AG – HSI R Bear CBBC Dec 2015 E 200,000,000 2015/09/16 2015/12/30 50.0068293 UBS AG – HSI R Bear CBBC Dec 2015 G 200,000,000 2015/09/16 2015/12/30 50.0068296 UBS AG – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/09/16 2015/12/30 50.0068307 UBS AG – HSI R Bear CBBC Dec 2015 O 200,000,000 2015/09/16 2015/12/30 50.0068313 UBS AG – HSI R Bear CBBC Dec 2015 R 200,000,000 2015/09/16 2015/12/30 50.0068314 UBS AG – HSI R Bear CBBC Dec 2015 V 200,000,000 2015/09/16 2015/12/30 50.0068315 UBS AG – HSI R Bear CBBC Dec 2015 W 200,000,000 2015/09/16 2015/12/30 50.0068320 UBS AG – HSI R Bear CBBC Jan 2016 J 200,000,000 2015/09/16 2016/01/28 50.0068506 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 M 250,000,000 2015/09/17 2016/11/29 62.5068507 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 M 200,000,000 2015/09/17 2016/04/28 50.0068551 Credit Suisse AG – HSI R Bull CBBC Jul 2016 T 200,000,000 2015/09/17 2016/07/28 50.0068554 Credit Suisse AG – HSI R Bull CBBC Jul 2016 U 200,000,000 2015/09/17 2016/07/28 50.0068566 Credit Suisse AG – HSI R Bull CBBC Jul 2016 V 200,000,000 2015/09/17 2016/07/28 50.0068567 Credit Suisse AG – HSI R Bull CBBC Jul 2016 W 200,000,000 2015/09/17 2016/07/28 50.0068571 Credit Suisse AG – HSI R Bull CBBC Jul 2016 X 200,000,000 2015/09/17 2016/07/28 50.0068572 Credit Suisse AG – HSI R Bull CBBC Jul 2016 Y 200,000,000 2015/09/17 2016/07/28 50.0068579 Credit Suisse AG – HSI R Bull CBBC Jul 2016 Z 200,000,000 2015/09/17 2016/07/28 50.0068585 Credit Suisse AG – HSI R Bear CBBC Mar 2016 V 200,000,000 2015/09/17 2016/03/30 50.0068582 Credit Suisse AG – HSI R Bear CBBC Apr 2016 R 200,000,000 2015/09/17 2016/04/28 50.0068586 Credit Suisse AG – HSI R Bear CBBC Apr 2016 V 200,000,000 2015/09/17 2016/04/28 50.0068581 Credit Suisse AG – HSI R Bear CBBC May 2016 P 200,000,000 2015/09/17 2016/05/30 50.0068590 Credit Suisse AG – HSI R Bear CBBC May 2016 R 200,000,000 2015/09/17 2016/05/30 50.0068422 HK Bank – BOCL R Bull CBBC Aug 2016 E 100,000,000 2015/09/17 2016/08/29 25.0068431 HK Bank – CC Bank R Bull CBBC Aug 2016 E 100,000,000 2015/09/17 2016/08/22 25.0068425 HK Bank – China Life R Bull CBBC Aug 2016 D 60,000,000 2015/09/17 2016/08/22 15.0068436 HK Bank – CSOP A50 ETF R Bull CBBC Jul 2016 G 100,000,000 2015/09/17 2016/07/08 25.0068432 HK Bank – HKEx R Bull CBBC Sep 2016 E 100,000,000 2015/09/17 2016/09/29 25.0068405 HK Bank – HSCEI R Bull CBBC Dec 2016 D 100,000,000 2015/09/17 2016/12/29 25.0068397 HK Bank – HSI R Bull CBBC Dec 2016 J 150,000,000 2015/09/17 2016/12/29 37.5068434 HK Bank – HSI R Bear CBBC Dec 2016 C 400,000,000 2015/09/17 2016/12/29 100.0068424 HK Bank – Ping An R Bull CBBC Oct 2016 G 188,000,000 2015/09/17 2016/10/31 47.0068416 HK Bank – TCH R Bull CBBC Jul 2016 L 100,000,000 2015/09/17 2016/07/25 25.0068640 J P Morgan SP BV – HSCEI R Bear CBBC Jan 2016 G 100,000,000 2015/09/17 2016/01/28 25.0068527 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 L 200,000,000 2015/09/17 2016/07/28 50.0068541 J P Morgan SP BV – HSI R Bull CBBC Jul 2016 Q 200,000,000 2015/09/17 2016/07/28 50.0068529 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 N 200,000,000 2015/09/17 2016/08/30 50.0068549 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 H 200,000,000 2015/09/17 2016/10/28 50.0068641 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 V 200,000,000 2015/09/17 2016/01/28 50.00




68643 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 L 200,000,000 2015/09/17 2016/03/30 50.0068461 Standard Chartered Bank – HKEx R Bull CBBC Aug 2016 B 50,000,000 2015/09/17 2016/08/08 12.5068462 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 A 150,000,000 2015/09/17 2016/07/28 37.5068483 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 B 150,000,000 2015/09/17 2016/07/28 37.5068486 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 C 100,000,000 2015/09/17 2016/07/28 25.0068520 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 Q 150,000,000 2015/09/17 2016/02/26 37.5068521 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 R 150,000,000 2015/09/17 2016/02/26 37.5068444 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 R 200,000,000 2015/09/17 2016/06/29 50.0068453 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 J 200,000,000 2015/09/17 2016/08/30 50.0068454 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 K 200,000,000 2015/09/17 2016/08/30 50.0068456 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 L 200,000,000 2015/09/17 2016/08/30 50.0068458 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 M 200,000,000 2015/09/17 2016/08/30 50.0068496 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 T 200,000,000 2015/09/17 2016/04/28 50.0068505 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 U 200,000,000 2015/09/17 2016/04/28 50.0068487 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 P 200,000,000 2015/09/17 2016/05/30 50.0068604 UBS AG – HSI R Bull CBBC Jun 2016 H 200,000,000 2015/09/17 2016/06/29 50.0068614 UBS AG – HSI R Bull CBBC Jul 2016 D 200,000,000 2015/09/17 2016/07/28 50.0068618 UBS AG – HSI R Bull CBBC Jul 2016 E 200,000,000 2015/09/17 2016/07/28 50.0068620 UBS AG – HSI R Bull CBBC Jul 2016 I 200,000,000 2015/09/17 2016/07/28 50.0068608 UBS AG – HSI R Bull CBBC Aug 2016 W 200,000,000 2015/09/17 2016/08/30 50.0068616 UBS AG – HSI R Bull CBBC Aug 2016 X 200,000,000 2015/09/17 2016/08/30 50.0068596 UBS AG – HSI R Bull CBBC Sep 2016 O 200,000,000 2015/09/17 2016/09/29 50.0068621 UBS AG – HSI R Bull CBBC Oct 2016 K 200,000,000 2015/09/17 2016/10/28 50.0068624 UBS AG – HSI R Bear CBBC Jan 2016 F 200,000,000 2015/09/17 2016/01/28 50.0068636 UBS AG – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/09/17 2016/01/28 50.0068639 UBS AG – HSI R Bear CBBC Feb 2016 D 200,000,000 2015/09/17 2016/02/26 50.0068628 UBS AG – HSI R Bear CBBC Feb 2016 Y 200,000,000 2015/09/17 2016/02/26 50.0068735 Credit Suisse AG – China Life R Bull CBBC Apr 2016 B 80,000,000 2015/09/18 2016/04/29 35.2068731 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jun 2016 A 100,000,000 2015/09/18 2016/06/30 25.0068710 Credit Suisse AG – CSOP A50 ETF R Bull CBBC Jul 2016 A 100,000,000 2015/09/18 2016/07/29 25.0068734 Credit Suisse AG – A50 China R Bull CBBC Jun 2016 A 100,000,000 2015/09/18 2016/06/30 25.0068738 Credit Suisse AG – HKEx R Bull CBBC May 2016 A 80,000,000 2015/09/18 2016/05/31 20.0068741 Credit Suisse AG – HKEx R Bear CBBC Mar 2016 A 80,000,000 2015/09/18 2016/03/31 20.0068766 Credit Suisse AG – HSI R Bull CBBC Mar 2016 I 200,000,000 2015/09/18 2016/03/30 50.0068758 Credit Suisse AG – HSI R Bull CBBC Mar 2016 Y 200,000,000 2015/09/18 2016/03/30 50.0068759 Credit Suisse AG – HSI R Bull CBBC Mar 2016 Z 200,000,000 2015/09/18 2016/03/30 50.0068753 Credit Suisse AG – HSI R Bear CBBC Feb 2016 F 200,000,000 2015/09/18 2016/02/26 50.0068767 Credit Suisse AG – HSI R Bear CBBC Feb 2016 T 200,000,000 2015/09/18 2016/02/26 50.0068748 Credit Suisse AG – HSI R Bear CBBC Mar 2016 W 200,000,000 2015/09/18 2016/03/30 50.0068754 Credit Suisse AG – HSI R Bear CBBC Mar 2016 X 200,000,000 2015/09/18 2016/03/30 50.0068751 Credit Suisse AG – HSI R Bear CBBC Apr 2016 W 200,000,000 2015/09/18 2016/04/28 50.0068736 Credit Suisse AG – Ping An R Bull CBBC Jul 2016 A 100,000,000 2015/09/18 2016/07/29 25.0068747 Credit Suisse AG – TCH R Bull CBBC Jun 2016 A 80,000,000 2015/09/18 2016/06/30 20.0068655 HK Bank – HSI R Bull CBBC Nov 2016 J 150,000,000 2015/09/18 2016/11/29 37.5068662 HK Bank – HSI R Bear CBBC Sep 2016 E 100,000,000 2015/09/18 2016/09/29 25.00




68660 HK Bank – HSI R Bear CBBC Oct 2016 D 100,000,000 2015/09/18 2016/10/28 25.0068650 HK Bank – Haitong Sec R Bull CBBC Aug 2016 B 60,000,000 2015/09/18 2016/08/29 21.0068648 HK Bank – TCH R Bear CBBC Oct 2016 B 100,000,000 2015/09/18 2016/10/31 25.0068779 J P Morgan SP BV – A50 China R Bull CBBC Aug 2016 B 100,000,000 2015/09/18 2016/08/12 25.0068780 J P Morgan SP BV – HKEx R Bull CBBC Oct 2016 E 100,000,000 2015/09/18 2016/10/14 25.0068777 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 O 200,000,000 2015/09/18 2016/08/30 50.0068783 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 P 200,000,000 2015/09/18 2016/08/30 50.0068788 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 H 200,000,000 2015/09/18 2016/09/29 50.0068781 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 I 200,000,000 2015/09/18 2016/10/28 50.0068683 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 W 200,000,000 2015/09/18 2016/01/28 50.0068686 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 M 200,000,000 2015/09/18 2016/03/30 50.0068688 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 G 150,000,000 2015/09/18 2016/07/28 37.5068690 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 I 150,000,000 2015/09/18 2016/07/28 37.5068679 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 S 100,000,000 2015/09/18 2016/02/26 25.0068682 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 T 150,000,000 2015/09/18 2016/02/26 37.5068698 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 S 200,000,000 2015/09/18 2016/06/29 50.0068709 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 T 200,000,000 2015/09/18 2016/06/29 50.0068692 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 S 200,000,000 2015/09/18 2016/07/28 50.0068670 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 R 200,000,000 2015/09/18 2016/03/30 50.0068677 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Mar16 S 200,000,000 2015/09/18 2016/03/30 50.0068668 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 V 200,000,000 2015/09/18 2016/04/28 50.0068669 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 W 200,000,000 2015/09/18 2016/04/28 50.0068776 UBS AG – HSCEI R Bear CBBC Jan 2016 A 100,000,000 2015/09/18 2016/01/28 25.0068775 UBS AG – HSI R Bull CBBC Jun 2016 S 200,000,000 2015/09/18 2016/06/29 50.0068773 UBS AG – HSI R Bear CBBC Jan 2016 A 200,000,000 2015/09/18 2016/01/28 50.0068774 UBS AG – HSI R Bear CBBC Jan 2016 C 200,000,000 2015/09/18 2016/01/28 50.0068807 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 O 200,000,000 2015/09/21 2016/04/28 50.0068821 Credit Suisse AG – HSI R Bull CBBC Jun 2016 L 200,000,000 2015/09/21 2016/06/29 50.0068820 Credit Suisse AG – HSI R Bear CBBC Apr 2016 X 200,000,000 2015/09/21 2016/04/28 50.0068854 J P Morgan SP BV – HSI R Bull CBBC Apr 2016 F 200,000,000 2015/09/21 2016/04/28 50.0068853 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 Q 200,000,000 2015/09/21 2016/08/30 50.0068826 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 Q 200,000,000 2015/09/21 2016/02/26 50.0068828 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 T 200,000,000 2015/09/21 2016/02/26 50.0068850 J P Morgan SP BV – HSI R Bear CBBC Apr 2016 D 200,000,000 2015/09/21 2016/04/28 50.0068806 Macquarie Bank Ltd. – HSI R Bull CBBC Mar 2016 F 35,000,000 2015/09/21 2016/03/30 10.6468802 Macquarie Bank Ltd. – HSI R Bear CBBC Mar 2016 E 35,000,000 2015/09/21 2016/03/30 10.2268799 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 M 100,000,000 2015/09/21 2016/07/28 25.0068814 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 N 200,000,000 2015/09/21 2016/08/30 50.0068818 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 O 200,000,000 2015/09/21 2016/08/30 50.0068797 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 Q 200,000,000 2015/09/21 2016/05/30 50.0068796 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun16 A 200,000,000 2015/09/21 2016/06/29 50.0068822 UBS AG – HSI R Bull CBBC Jun 2016 A 200,000,000 2015/09/21 2016/06/29 50.0068899 Credit Suisse AG – HSI R Bull CBBC Feb 2016 E 200,000,000 2015/09/22 2016/02/26 50.0068900 Credit Suisse AG – HSI R Bear CBBC Dec 2015 B 200,000,000 2015/09/22 2015/12/30 50.0068919 Bank of East Asia – CAM CSI300 R Bull CBBC Dec 2016 A 80,000,000 2015/09/22 2016/12/30 20.00




68920 Bank of East Asia – China Mobile R Bull CBBC Jan 2017 A 40,000,000 2015/09/22 2017/01/04 10.0068909 Bank of East Asia – HS H-SH ETF R Bull CBBC Dec 2016 A 40,000,000 2015/09/22 2016/12/28 10.0068901 Bank of East Asia – HSBC Holdings R Bull CBBC Dec 2016 A 50,000,000 2015/09/22 2016/12/05 12.5068921 Bank of East Asia – PetCh R Bull CBBC Jan 2017 A 50,000,000 2015/09/22 2017/01/06 12.5068877 HK Bank – China Mobile R Bull CBBC Nov 2016 D 120,000,000 2015/09/22 2016/11/14 30.0068884 HK Bank – CM Bank R Bull CBBC Oct 2016 B 40,000,000 2015/09/22 2016/10/03 10.0068871 HK Bank – CNOOC R Bull CBBC Oct 2016 D 60,000,000 2015/09/22 2016/10/31 15.0068872 HK Bank – CNOOC R Bear CBBC Dec 2016 B 40,000,000 2015/09/22 2016/12/01 10.0068883 HK Bank – HKEx R Bull CBBC Oct 2016 J 100,000,000 2015/09/22 2016/10/24 51.0068886 HK Bank – PetCh R Bull CBBC Dec 2016 D 60,000,000 2015/09/22 2016/12/19 15.0068885 HK Bank – Ping An R Bull CBBC Nov 2016 J 188,000,000 2015/09/22 2016/11/21 47.0068879 HK Bank – TCH R Bull CBBC Oct 2016 B 100,000,000 2015/09/22 2016/10/31 28.0068878 HK Bank – TCH R Bear CBBC Oct 2016 C 100,000,000 2015/09/22 2016/10/24 25.0068929 J P Morgan SP BV – CAM CSI300 R Bull CBBC Aug 2016 B 100,000,000 2015/09/22 2016/08/19 25.0068894 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 I 200,000,000 2015/09/22 2016/09/29 50.0068934 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 J 200,000,000 2015/09/22 2016/10/28 50.0068931 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 I 200,000,000 2015/09/22 2016/11/29 50.0068965 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 Z 200,000,000 2015/09/22 2016/01/28 50.0068935 J P Morgan SP BV – HSI R Bear CBBC Apr 2016 E 200,000,000 2015/09/22 2016/04/28 50.0068887 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 L 100,000,000 2015/09/22 2016/07/28 25.0068890 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 N 150,000,000 2015/09/22 2016/07/28 37.5068891 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 U 150,000,000 2015/09/22 2016/02/26 37.5068892 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 V 150,000,000 2015/09/22 2016/02/26 37.5068898 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 J 200,000,000 2015/09/22 2016/09/29 50.0068924 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun16 B 200,000,000 2015/09/22 2016/06/29 50.0069097 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 O 250,000,000 2015/09/23 2016/11/29 62.5069104 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Nov 2016 P 250,000,000 2015/09/23 2016/11/29 62.5069099 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 G 250,000,000 2015/09/23 2016/12/29 62.5068998 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 U 200,000,000 2015/09/23 2016/03/30 50.0069000 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 V 200,000,000 2015/09/23 2016/03/30 50.0068999 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 P 200,000,000 2015/09/23 2016/04/28 50.0069061 Credit Suisse AG – HSI R Bull CBBC Jun 2016 M 200,000,000 2015/09/23 2016/06/29 50.0069062 Credit Suisse AG – HSI R Bull CBBC Jun 2016 P 200,000,000 2015/09/23 2016/06/29 50.0069065 Credit Suisse AG – HSI R Bull CBBC Jun 2016 Q 200,000,000 2015/09/23 2016/06/29 50.0069003 Credit Suisse AG – HSI R Bear CBBC Dec 2015 C 200,000,000 2015/09/23 2015/12/30 50.0069024 Credit Suisse AG – HSI R Bear CBBC Dec 2015 D 200,000,000 2015/09/23 2015/12/30 50.0069039 Credit Suisse AG – HSI R Bear CBBC Dec 2015 G 200,000,000 2015/09/23 2015/12/30 50.0069052 Credit Suisse AG – HSI R Bear CBBC Dec 2015 H 200,000,000 2015/09/23 2015/12/30 50.0069120 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 J 200,000,000 2015/09/23 2016/09/29 50.0069123 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 K 200,000,000 2015/09/23 2016/10/28 50.0069130 J P Morgan SP BV – HSI R Bull CBBC Dec 2016 F 200,000,000 2015/09/23 2016/12/29 50.0068992 J P Morgan SP BV – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/09/23 2015/12/30 50.0069106 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 X 200,000,000 2015/09/23 2016/01/28 50.0069110 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 U 200,000,000 2015/09/23 2016/02/26 50.0069117 J P Morgan SP BV – HSI R Bear CBBC Apr 2016 F 200,000,000 2015/09/23 2016/04/28 50.00




68989 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 O 100,000,000 2015/09/23 2016/07/28 25.0069131 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 P 100,000,000 2015/09/23 2016/07/28 25.0068982 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 W 100,000,000 2015/09/23 2016/02/26 25.0068991 Standard Chartered Bank – Ping An R Bull CBBC Aug 2016 B 50,000,000 2015/09/23 2016/08/26 12.5069066 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 T 200,000,000 2015/09/23 2016/07/28 50.0069067 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jul16 U 200,000,000 2015/09/23 2016/07/28 50.0069001 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 R 200,000,000 2015/09/23 2016/05/30 50.0068969 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun16 C 200,000,000 2015/09/23 2016/06/29 50.0069002 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun16 D 200,000,000 2015/09/23 2016/06/29 50.0069089 UBS AG – HSI R Bull CBBC Jul 2016 L 200,000,000 2015/09/23 2016/07/28 50.0069091 UBS AG – HSI R Bull CBBC Aug 2016 Y 200,000,000 2015/09/23 2016/08/30 50.0069068 UBS AG – HSI R Bear CBBC Dec 2015 B 200,000,000 2015/09/23 2015/12/30 50.0069070 UBS AG – HSI R Bear CBBC Dec 2015 C 200,000,000 2015/09/23 2015/12/30 50.0069075 UBS AG – HSI R Bear CBBC Dec 2015 D 200,000,000 2015/09/23 2015/12/30 50.0069082 UBS AG – HSI R Bear CBBC Dec 2015 E 200,000,000 2015/09/23 2015/12/30 50.0069242 BNP Paribas Arbit Issu B.V. – HS H ETF R Bull CBBC Jan 2016J 60,000,000 2015/09/24 2016/01/29 15.0069223 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 K 250,000,000 2015/09/24 2016/12/29 62.5069235 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 Q 200,000,000 2015/09/24 2016/04/28 50.0069244 BNP Paribas Arbit Issu B.V. – Ping An R Bull CBBC Dec 2016 B 68,000,000 2015/09/24 2016/12/30 17.0069253 Credit Suisse AG – CCB R Bull CBBC May 2016 A 70,000,000 2015/09/24 2016/05/27 17.5069251 Credit Suisse AG – China Life R Bull CBBC May 2016 B 80,000,000 2015/09/24 2016/05/27 29.6069258 Credit Suisse AG – CRRC R Bull CBBC May 2016 A 70,000,000 2015/09/24 2016/05/27 17.5069261 Credit Suisse AG – HSI R Bull CBBC May 2016 E 200,000,000 2015/09/24 2016/05/30 50.0069262 Credit Suisse AG – HSI R Bull CBBC May 2016 I 200,000,000 2015/09/24 2016/05/30 50.0069289 Credit Suisse AG – HSI R Bull CBBC May 2016 J 200,000,000 2015/09/24 2016/05/30 50.0069293 Credit Suisse AG – HSI R Bull CBBC May 2016 K 200,000,000 2015/09/24 2016/05/30 50.0069245 Credit Suisse AG – HSI R Bear CBBC Dec 2015 I 200,000,000 2015/09/24 2015/12/30 50.0069297 Credit Suisse AG – HSI R Bear CBBC Dec 2015 Q 200,000,000 2015/09/24 2015/12/30 50.0069300 Credit Suisse AG – HSI R Bear CBBC Dec 2015 T 200,000,000 2015/09/24 2015/12/30 50.0069252 Credit Suisse AG – ICBC R Bull CBBC May 2016 A 70,000,000 2015/09/24 2016/05/27 17.5069259 Credit Suisse AG – TCH R Bull CBBC Apr 2016 A 80,000,000 2015/09/24 2016/04/29 20.0069151 HK Bank – CAM CSI300 R Bull CBBC Sep 2016 D 100,000,000 2015/09/24 2016/09/19 32.0069152 HK Bank – BOCL R Bear CBBC Oct 2016 A 40,000,000 2015/09/24 2016/10/17 10.0069173 HK Bank – CSOP A50 ETF R Bull CBBC May 2016 G 100,000,000 2015/09/24 2016/05/31 25.0069175 HK Bank – A50 R Bull CBBC Jul 2016 C 100,000,000 2015/09/24 2016/07/29 25.0069155 HK Bank – HKEx R Bull CBBC Sep 2016 F 100,000,000 2015/09/24 2016/09/30 25.0069142 HK Bank – HSCEI R Bull CBBC Oct 2016 G 100,000,000 2015/09/24 2016/10/28 25.0069177 HK Bank – HSI R Bull CBBC Sep 2016 O 150,000,000 2015/09/24 2016/09/29 37.5069160 HK Bank – Ping An R Bull CBBC Oct 2016 H 40,000,000 2015/09/24 2016/10/26 10.0069153 HK Bank – TCH R Bull CBBC Sep 2016 C 100,000,000 2015/09/24 2016/09/12 25.0069330 J P Morgan SP BV – HSI R Bull CBBC Oct 2016 L 200,000,000 2015/09/24 2016/10/28 50.0069329 J P Morgan SP BV – HSI R Bull CBBC Nov 2016 J 200,000,000 2015/09/24 2016/11/29 50.0069211 Macquarie Bank Ltd. – HSI R Bear CBBC Mar 2016 F 40,000,000 2015/09/24 2016/03/30 10.0069198 Standard Chartered Bank – China Life R Bull CBBC Aug 2016 A 50,000,000 2015/09/24 2016/08/22 12.5069191 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 R 100,000,000 2015/09/24 2016/07/28 25.00




69207 Standard Chartered Bank – HSI R Bull CBBC Jul 2016 Y 100,000,000 2015/09/24 2016/07/28 25.0069182 Standard Chartered Bank – HSI R Bear CBBC Feb 2016 X 100,000,000 2015/09/24 2016/02/26 25.0069192 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 U 200,000,000 2015/09/24 2016/06/29 50.0069194 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 P 200,000,000 2015/09/24 2016/08/30 50.0069197 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 S 200,000,000 2015/09/24 2016/05/30 50.0069328 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 T 200,000,000 2015/09/24 2016/05/30 50.0069196 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun16 E 200,000,000 2015/09/24 2016/06/29 50.0069311 UBS AG – HSCEI R Bull CBBC Jun 2016 E 200,000,000 2015/09/24 2016/06/29 50.0069319 UBS AG – HSI R Bull CBBC Jun 2016 T 200,000,000 2015/09/24 2016/06/29 50.0069320 UBS AG – HSI R Bull CBBC Jul 2016 O 200,000,000 2015/09/24 2016/07/28 50.0069327 UBS AG – HSI R Bull CBBC Aug 2016 Z 200,000,000 2015/09/24 2016/08/30 50.0069306 UBS AG – HSI R Bear CBBC Dec 2015 G 200,000,000 2015/09/24 2015/12/30 50.0069388 Credit Suisse AG – HSI R Bull CBBC May 2016 A 200,000,000 2015/09/25 2016/05/30 50.0069387 Credit Suisse AG – HSI R Bull CBBC May 2016 M 200,000,000 2015/09/25 2016/05/30 50.0069385 Credit Suisse AG – HSI R Bear CBBC Jan 2016 D 200,000,000 2015/09/25 2016/01/28 50.0069386 Credit Suisse AG – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/09/25 2016/01/28 50.0069389 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 R 200,000,000 2015/09/25 2016/08/30 50.0069407 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 N 200,000,000 2015/09/25 2016/03/30 50.0069383 Standard Chartered Bank – HSI R Bull CBBC Aug 2016 M 150,000,000 2015/09/25 2016/08/30 37.5069331 Standard Chartered Bank – HSI R Bear CBBC Mar 2016 A 150,000,000 2015/09/25 2016/03/30 37.5069340 Standard Chartered Bank – HSI R Bear CBBC Mar 2016 B 100,000,000 2015/09/25 2016/03/30 25.0069341 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 Q 200,000,000 2015/09/25 2016/08/30 50.0069372 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 X 200,000,000 2015/09/25 2016/04/28 50.0069403 UBS AG – HSI R Bull CBBC Jun 2016 B 200,000,000 2015/09/25 2016/06/29 50.0069404 UBS AG – HSI R Bull CBBC Jul 2016 P 200,000,000 2015/09/25 2016/07/28 50.0069399 UBS AG – HSI R Bear CBBC Dec 2015 L 200,000,000 2015/09/25 2015/12/30 50.0069400 UBS AG – HSI R Bear CBBC Dec 2015 O 200,000,000 2015/09/25 2015/12/30 50.0069414 BNP Paribas Arbit Issu B.V. – HSI R Bull CBBC Dec 2016 N 250,000,000 2015/09/29 2016/12/29 62.5069498 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Mar 2016 Z 200,000,000 2015/09/29 2016/03/30 50.0069499 BNP Paribas Arbit Issu B.V. – HSI R Bear CBBC Apr 2016 R 200,000,000 2015/09/29 2016/04/28 50.0069445 Credit Suisse AG – HSI R Bull CBBC Apr 2016 K 200,000,000 2015/09/29 2016/04/28 50.0069444 Credit Suisse AG – HSI R Bull CBBC Apr 2016 N 200,000,000 2015/09/29 2016/04/28 50.0069510 Credit Suisse AG – HSI R Bear CBBC Dec 2015 V 200,000,000 2015/09/29 2015/12/30 50.0069511 Credit Suisse AG – HSI R Bear CBBC Dec 2015 Y 200,000,000 2015/09/29 2015/12/30 50.0069512 J P Morgan SP BV – HSCEI R Bull CBBC Sep 2016 C 100,000,000 2015/09/29 2016/09/29 25.0069518 J P Morgan SP BV – HSCEI R Bear CBBC Apr 2016 P 100,000,000 2015/09/29 2016/04/28 25.0069427 J P Morgan SP BV – HSI R Bull CBBC Jun 2016 F 200,000,000 2015/09/29 2016/06/29 50.0069439 J P Morgan SP BV – HSI R Bull CBBC Sep 2016 K 200,000,000 2015/09/29 2016/09/29 50.0069535 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 E 200,000,000 2015/09/29 2016/01/28 50.0069525 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 W 200,000,000 2015/09/29 2016/02/26 50.0069417 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Aug16 R 200,000,000 2015/09/29 2016/08/30 50.0069416 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 K 200,000,000 2015/09/29 2016/09/29 50.0069426 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Sep16 L 200,000,000 2015/09/29 2016/09/29 50.0069475 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 Y 200,000,000 2015/09/29 2016/04/28 50.0069497 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Apr16 Z 200,000,000 2015/09/29 2016/04/28 50.00




69538 UBS AG – HSI R Bull CBBC Jun 2016 J 200,000,000 2015/09/29 2016/06/29 50.0069537 UBS AG – HSI R Bull CBBC Aug 2016 E 200,000,000 2015/09/29 2016/08/30 50.0069540 UBS AG – HSI R Bear CBBC Dec 2015 R 200,000,000 2015/09/29 2015/12/30 50.0069554 UBS AG – HSI R Bear CBBC Dec 2015 V 200,000,000 2015/09/29 2015/12/30 50.0069544 UBS AG – HSI R Bear CBBC Jan 2016 D 200,000,000 2015/09/29 2016/01/28 50.0069558 UBS AG – TCH R Bull CBBC Jun 2016 B 50,000,000 2015/09/29 2016/06/13 12.5069734 BNP Paribas Arbit Issu B.V. – Ch Mob R Bull CBBC Dec 2016 A 75,000,000 2015/09/30 2016/12/30 18.7569623 Credit Suisse AG – HSI R Bull CBBC Jul 2016 D 200,000,000 2015/09/30 2016/07/28 50.0069637 Credit Suisse AG – HSI R Bull CBBC Jul 2016 E 200,000,000 2015/09/30 2016/07/28 50.0069589 Credit Suisse AG – HSI R Bear CBBC Dec 2015 B 200,000,000 2015/09/30 2015/12/30 50.0069582 Credit Suisse AG – HSI R Bear CBBC Feb 2016 A 200,000,000 2015/09/30 2016/02/26 50.0069739 Bank of East Asia – COVS R Bull CBBC Dec 2016 A 20,000,000 2015/09/30 2016/12/08 10.0069662 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 S 200,000,000 2015/09/30 2016/08/30 50.0069729 J P Morgan SP BV – HSI R Bull CBBC Aug 2016 T 200,000,000 2015/09/30 2016/08/30 50.0069574 J P Morgan SP BV – HSI R Bear CBBC Jan 2016 Y 200,000,000 2015/09/30 2016/01/28 50.0069701 J P Morgan SP BV – HSI R Bear CBBC Feb 2016 Y 200,000,000 2015/09/30 2016/02/26 50.0069702 J P Morgan SP BV – HSI R Bear CBBC Mar 2016 O 200,000,000 2015/09/30 2016/03/30 50.0069561 Standard Chartered Bank – HSI R Bear CBBC Mar 2016 C 150,000,000 2015/09/30 2016/03/30 37.5069575 Standard Chartered Bank – HSI R Bear CBBC Mar 2016 D 100,000,000 2015/09/30 2016/03/30 25.0069648 SGA Societe Generale Acceptance N.V. – HSI R Bull CBBC Jun16 V 200,000,000 2015/09/30 2016/06/29 50.0069571 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC May16 U 200,000,000 2015/09/30 2016/05/30 50.0069562 SGA Societe Generale Acceptance N.V. – HSI R Bear CBBC Jun16 F 200,000,000 2015/09/30 2016/06/29 50.0069581 UBS AG – HSI R Bull CBBC Jul 2016 R 200,000,000 2015/09/30 2016/07/28 50.00Total 161,333.51

# Further issue

DR/ELI/Trading Only Stocks Trading Statistics


Depositary Receipt Trading Statistics

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

2014 Q3 4 24.18 Q4 4 81.702015 Q1 4 43.92 Q2 4 107.08 Q3 4 67.99

Equity Linked Instrument Trading Statistics


2014 Q3 – – Q4 – –2015 Q1 – – Q2 – – Q3 – –

NASDAQ Stocks


2014 Q3 7 0.63 Q4 7 1.272015 Q1 7 0.20 Q2 6 0.48 Q3 6 0.01

iShares


2014 Q3 2 0.01 Q4 2 –2015 Q1 2 – Q2 2 – Q3 2 –

GEM Equities


Equity Turnover – GEM

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

2014 Q3 91,704.03 39,161.42 1,013,981 Q4 77,002.94 34,223.56 888,6482015 Q1 74,102.98 31,767.18 912,664 Q2 254,155.08 131,631.55 2,815,024 Q3 137,580.38 51,332.73 1,377,832

Equity Trading Statistics – GEM

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

2014 Q3 64 611.90 38,621 Q4 62 551.99 38,5122015 Q1 61 520.77 34,807 Q2 60 2,193.86 46,760 Q3 63 814.81 37,256

20 Most Advanced GEM Stocksfor 3rd quarter 2015

Closing priceRank Code Stock End of Sep 2015 End of Jun 2015 % up

1 08006 SINO SPLENDID 0.690 0.233 A 196.14 2 08078 CHINA3D DIGIT 1.880 1.000 88.00 3 08147 MILLENNIUM PG 12.400 7.000 77.14 4 08218 ECHO INT HOLD 2.600 1.540 A 68.83 5 08279 AGTECH HOLDINGS 1.680 1.110 51.35 6 08260 ZEBRA STRAT 1.380 0.990 39.39 7 08195 L&A INTL HOLD 3.150 2.320 35.78 8 08207 CREDIT CHINA 2.000 1.630 22.70 9 08246 NORTH NEWENERGY 4.260 3.550 20.00 10 08326 JC GROUP HLDG 2.730 2.350 16.17 11 08036 GOLDENMARS 2.670 2.400 11.25 12 08163 MERDEKAMOBILE 0.186 0.170 A 9.41 13 08189 TEDA BIOMEDICAL 1.230 1.150 6.96 14 08099 CH WOOD OPT 2.590 2.500 3.60 15 08295 ASIAN CAPITAL H 0.370 0.365 1.37

A Adjusted

GEM Equities


20 Most Declined GEM Stocksfor 3rd quarter 2015

Closing priceRank Code Stock End of Sep 2015 End of Jun 2015 % down

1 08355 I-CONTROL 0.305 5.000 -93.90 2 08238 WINTO GROUP 0.037 0.550 -93.27 3 08018 FINSOFT FIN 0.078 0.900 -91.33 4 08212 CELEBRATE INT 0.066 0.710 -90.70 5 08153 CODE AGRI 0.158 0.760 A -79.21 6 08021 WLS HOLDINGS 0.250 1.050 -76.19 7 08081 CMG CUL INV 0.051 0.202 -74.75 8 08019 HAO WEN HLDGS 0.027 0.098 -72.45 9 08242 MEGALOGICTECH 0.218 0.790 -72.41 10 08215 FIRST CREDIT 0.099 0.345 -71.30 11 08086 DX.COM HOLDINGS 0.042 0.145 -71.03 12 08029 SUN INT’L 0.780 2.525 A -69.11 13 08125 KATE CHINA 2.900 8.980 -67.71 14 08148 AURUM PACIFIC 0.081 0.248 -67.34 15 08181 KONGSHUMUNION 0.400 1.180 -66.10 16 08132 CHINAOILGANGRAN 0.129 0.380 -66.05 17 08201 PPS INT’L 0.038 0.108 -64.81 18 08173 PAN ASIA MINING 0.106 0.290 -63.45 19 08226 SUNRISE C TECH 0.255 0.690 -63.04 20 08112 FOCUS MEDIA 0.610 1.600 -61.88

A Adjusted

GEM Equities


20 Most Active GEM Stocks by Valuefor 3rd quarter 2015

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

1 08207 CREDIT CHINA 7,050.41 13.73 2 08132 CHINAOILGANGRAN 2,023.45 3.94 3 08018 FINSOFT FIN 1,912.97 3.73 4 08083 INNOVATIONPAY 1,819.41 3.54 5 08167 NEO TELEMEDIA 1,566.51 3.05 6 08137 HONBRIDGE 1,449.94 2.82 7 08325 CHINA SMARTPAY 1,411.73 2.75 8 08195 L&A INTL HOLD 1,392.51 2.71 9 08355 I-CONTROL 1,333.41 2.60 10 08109 CREATIVE ENERGY 1,212.95 2.36 11 08158 CRMI 1,201.67 2.34 12 08029 SUN INT’L 956.11 1.86 13 08007 GLOBALSTRAT 903.98 1.76 14 08021 WLS HOLDINGS 764.50 1.49 15 08005 YUXING INFOTECH 755.64 1.47 16 08238 WINTO GROUP 713.70 1.39 17 08081 CMG CUL INV 688.10 1.34 18 08226 SUNRISE C TECH 666.64 1.30 19 08369 LAP KEI ENGRG 651.06 1.27 20 08315 KF SECURITY 598.50 1.17

Total 29,073.19 56.64

GEM Equities


20 Most Active GEM Stock by Sharesfor 3rd quarter 2015

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

1 08018 FINSOFT FIN 10,332.46 7.51 2 08132 CHINAOILGANGRAN 10,033.66 7.29 3 08238 WINTO GROUP 8,401.75 6.11 4 08081 CMG CUL INV 7,141.79 5.19 5 08201 PPS INT’L 4,407.10 3.20 6 08171 CHINA TRENDS 4,293.20 3.12 7 08207 CREDIT CHINA 4,014.31 2.92 8 08109 CREATIVE ENERGY 3,957.82 2.88 9 08086 DX.COM HOLDINGS 3,772.88 2.74 10 08212 CELEBRATE INT 3,392.23 2.47 11 08007 GLOBALSTRAT 3,378.21 2.46 12 08148 AURUM PACIFIC 2,986.74 2.17 13 08083 INNOVATIONPAY 2,859.77 2.08 14 08019 HAO WEN HLDGS 2,846.09 2.07 15 08158 CRMI 2,693.07 1.96 16 08173 PAN ASIA MINING 2,027.81 1.47 17 08120 CH DEMETER INV 2,013.49 1.46 18 08203 KAISUN ENERGY 1,840.18 1.34 19 08167 NEO TELEMEDIA 1,753.84 1.27 20 08021 WLS HOLDINGS 1,694.57 1.23

Total 83,840.98 60.94

GEM Equities


Market Capitalisation of Listed Companies for GEMas at the quarter end

HK$ mil.

2014 Q3 180,171.37 Q4 179,409.872015 Q1 207,611.93 Q2 326,139.64 Q3 224,157.68

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

Information Technology(23.06%)

Properties & Construction (6.84%)

Consumer Services (21.83%)

Telecommunications (6.54%)

Utilities (0.70%)

Financials (9.77%)

Materials (3.58%)

Industrials (8.23%)

Consumer Goods(18.63%)

Energy (0.76%)

Conglomerates (0.07%)

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

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

GEM Equities


50 Leading Companies by Market Capitalisation – GEMas at the 3rd quarter end 2015

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

1 08147 Millennium Pacific Group Holdings Ltd. 12,964.94 5.782 08195 L & A International Holdings Ltd. 12,600.00 5.623 08137 Honbridge Holdings Ltd. 8,333.53 3.724 08279 AGTech Holdings Ltd. 7,646.61 3.415 08158 China Regenerative Medicine International Ltd. 7,476.68 3.346 08032 Viva China Holdings Ltd. 7,340.01 3.277 08138 Beijing Tong Ren Tang Chinese Medicine Co. Ltd. 7,165.58 3.208 08207 Credit China Holdings Ltd. 6,659.52 2.979 08008 Sunevision Holdings Ltd. 5,550.47 2.4810 08006 Sino Splendid Holdings Ltd. 4,436.99 1.9811 08167 Neo Telemedia Ltd. 4,192.69 1.8712 08316 Pak Wing Group (Holdings) Ltd. 4,080.00 1.8213 08005 Yuxing InfoTech Investment Holdings Ltd. 3,836.96 1.7114 08050 Yunbo Digital Synergy Group Ltd. 3,526.25 1.5715 08170 KSL Holdings Ltd. 3,495.20 1.5616 08245 On Real International Holdings Ltd. 3,408.00 1.5217 08172 Lajin Entertainment Network Group Ltd. 3,237.02 1.4418 08156 China Vanguard Group Ltd. 3,145.70 1.4019 08140 ICO Group Ltd. 2,950.00 1.3220 08083 China Innovationpay Group Ltd. 2,856.88 1.2721 08237 Link Holdings Ltd. 2,716.00 1.2122 08315 King Force Security Holdings Ltd. 2,688.00 1.2023 08099 China Wood Optimization (Holding) Ltd. 2,590.00 1.1624 08267 Linekong Interactive Group Co., Ltd. 2,549.81 1.1425 08097 Pinestone Captial Ltd. 2,544.00 1.1326 08361 China Parenting Network Holdings Ltd. 2,176.18 0.9727 08218 Echo International Holdings Group Ltd. 2,080.00 0.9328 08058 Shandong Luoxin Pharmaceutical Group Stock Co., Ltd. – H Shs 2,007.63 0.9029 08325 China Smartpay Group Holdings Ltd. 1,915.33 0.8530 08246 Northern New Energy Holdings Ltd. 1,828.22 0.8231 08078 China 3D Digital Entertainment Ltd. 1,801.40 0.8032 08311 Perfect Optronics Ltd. 1,765.59 0.7933 08016 Changhong Jiahua Holdings Ltd. 1,745.58 0.7834 08123 First China Financial Network Holdings Ltd. 1,722.22 0.7735 08090 China Assurance Finance Group Ltd. 1,696.36 0.7636 08155 South China Land Ltd. 1,576.17 0.7037 08261 Haitian Hydropower International Ltd. 1,572.48 0.7038 08088 AID Partners Capital Holdings Ltd. 1,522.20 0.6839 08248 FDB Holdings Ltd. 1,416.80 0.6340 08143 Hua Xia Healthcare Holdings Ltd. 1,409.98 0.6341 08077 KVB Kunlun Financial Group Ltd. 1,402.80 0.6342 08068 New Universe International Group Ltd. 1,389.18 0.6243 08075 Media Asia Group Holdings Ltd. 1,367.08 0.6144 08041 Luxey International (Holdings) Ltd. 1,356.24 0.6145 08021 WLS Holdings Ltd. 1,271.78 0.5746 08132 China Oil Gangran Energy Group Holdings Ltd. 1,234.45 0.5547 08209 Major Holdings Ltd. 1,152.00 0.5148 08066 Phoenitron Holdings Ltd. 1,129.79 0.5049 08020 Chanceton Financial Group Ltd. 1,110.00 0.5050 08189 Tianjin TEDA Biomedical Engineering Co. Ltd. – H Shares 1,103.93 0.49

Total 166,744.20 74.39Market Total 224,157.68 100.00

GEM Equities


New Listing Statistics – equities for GEM

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

2014 Q3 8 480.88 Q4 5 1,083.242015 Q1 9 626.75 Q2 5 404.40 Q3 7 777.74

Newly Listed Companies for GEMfor 3rd quarter 2015

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

08361 China Parenting Network Holdings Ltd. 2015/07/08 1,026,500,000 384.3408027 KPM Holding Ltd. 2015/07/10 400,000,000 50.0008316 Pak Wing Group (Holdings) Ltd. 2015/08/10 800,000,000 70.0008369 Lap Kei Engineering (Holdings) Ltd. 2015/09/25 1,280,000,000 80.0008177 REF Holdings Ltd. 2015/09/25 256,000,000 48.0008248 FDB Holdings Ltd. 2015/09/30 1,232,000,000 77.0008245 On Real International Holdings Ltd. 2015/09/30 480,000,000 68.40

Total 777.74

Withdrawal of Listed Companies – GEMfor 3rd quarter 2015

Code Company name Last trading date Delisted date

08056 Differ Group Holding Co. Ltd. * 2015/07/03 2015/07/06 §08002 IGG Inc * 2015/07/06 2015/07/07 §08320 C Cheng Holdings Ltd. * 2015/07/31 2015/08/03 §08146 Mastercraft International Holdings Ltd. * 2015/08/04 2015/08/05 §08010 Sing Pao Media Enterprises Ltd. 2005/04/28 2015/08/1808107 U Banquet Group Holding Ltd. * 2015/08/28 2015/08/31 §08219 Branding China Group Ltd. * 2015/09/07 2015/09/08 §08253 Sanmenxia Tianyuan Aluminum Co. Ltd. – H Shares 2012/03/29 2015/09/1008210 Advanced Card Systems Holdings Ltd. * 2015/09/25 2015/09/29 §

* 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.

GEM Equities


Company Name Changes for GEMfor 3rd quarter 2015

Code Old name New name Effective date Adoption date

08179 Gayety Holdings Ltd. Food Idea Holdings Ltd. 2015/06/29 2015/07/0808147 Millennium Pacific Group Holdings Ltd. # Millennium Pacific Group Holdings Ltd. 2015/05/29 2015/07/0808120 Oriental Unicorn Agricultural Group Ltd. China Demeter Investments Ltd. 2015/06/02 2015/07/1308267 Linekong Interactive Co., Ltd. Linekong Interactive Group Co., Ltd. 2015/07/21 2015/07/3108018 Finsoft Corporation Finsoft Financial Investment Holdings Ltd. 2015/06/08 2015/08/0308172 China Star Cultural Media Group Ltd. Lajin Entertainment Network Group Ltd. 2015/07/03 2015/08/0708186 China Asean Resources Ltd. IR Resources Ltd. 2015/08/11 2015/08/3108250 China Natural Investment Co. Ltd. Silk Road Energy Services Group Ltd. 2015/07/30 2015/08/3108246 Noble House (China) Holdings Ltd. Northern New Energy Holdings Ltd. 2015/08/25 2015/09/17

# Change of Chinese name only

Bonus Issues/Bonus Warrants for GEMfor 3rd quarter 2015

Code Company Particulars Ex-date

08006 Sino Splendid Holdings Ltd. 9 for 1 2015/09/1508268 Deson Construction International Holdings Ltd. 1 for 4 2015/09/2208109 Creative Energy Solutions Holdings Ltd. 1 for 2 2015/09/30

Share Split/Consolidation for GEMfor 3rd quarter 2015

Code Company Particulars Effective date

08218 Echo International Holdings Group Ltd. Split 1 into 4 2015/07/1508029 Sun International Resources Ltd. Split 1 into 2 2015/07/2708051 TeleEye Holdings Ltd. Split 1 into 50 2015/08/1408315 King Force Security Holdings Ltd. Split 1 into 10 2015/08/1708153 Code Agriculture (Holdings) Ltd. Consolidation 10 into 1 2015/08/2408103 Tai Shing International (Holdings) Ltd. Consolidation 2 into 1 2015/09/09

Rights Issues & Open Offers for GEMfor 3rd quarter 2015

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

Jul 08212 Celebrate International Holdings Ltd. Open offer 30 for 1 @$0.105 225.47 (after consolidation 20 into 1) 08009 Chinese Energy Holdings Ltd. Open offer 1 for 1 @$0.15 162.00 (after consolidation 2 into 1) 08163 Merdeka Mobile Group Ltd. Open offer 2 for 1 @$0.09 68.95Sep 08179 Food Idea Holdings Ltd. Rts 1 for 2 @$0.105 201.60 08037 Rui Kang Pharmaceutical Group Investments Ltd. Rts 4 for 1 @$0.18 181.93 08200 Sau San Tong Holdings Ltd. Open offer 1 for 1 @$0.10 182.11 08087 China 33 Media Group Ltd. Open offer 7 for 1 @$0.10 504.00

Total 1,526.06

GEM Equities


Placing*

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

2015Jul 08090 CHI ASSURANCE 18,860,000 1.5900 29.99 08166 CHINA ECO-FARM 629,000,000 0.2000 125.80 08325 CHINA SMARTPAY 63,953,488 2.1500 137.50 08109 CREATIVE ENERGY 190,000,000 0.1650 31.35 08207 CREDIT CHINA 94,112,000 1.7000 159.99 08158 CRMI 1,150,000,000 0.4000 460.00 08100 GET HOLDINGS 39,080,000 0.4900 19.15 08003 GREAT WORLD 65,000,000 0.6200 40.30 08256 NETEL 30,000,000 0.2420 7.26 08265 POWERWELL PAC 35,200,000 0.7250 25.52 08103 TAI SHING-NEW 216,644,771 0.0850 18.41

Aug 08088 AID PARTNERS 4,005,392,000 0.2200 881.19 08081 CMG CUL INV 2,500,002,000 0.1000 250.00 08356 CNC HOLDINGS 260,000,000 0.2500 65.00 08046 HENG XIN CHINA 240,000,000 0.1000 24.00 08163 MERDEKAMOBILE 76,000,000 0.1200 9.12 08256 NETEL 20,000,000 0.1790 3.58 08026 PROSTEN TECH 136,270,000 0.4300 58.60 08047 SKY FOREVER 88,363,469 0.1720 15.20 08226 SUNRISE C TECH 103,623,000 0.4300 44.56

Sep 08078 CHINA3D DIGIT 800,000,000 0.2500 200.00 08266 GOLD TAT GP 447,000,000 0.0950 42.47 08046 HENG XIN CHINA 30,000,000 0.1000 3.00 08172 LAJIN ENT 459,934,954 1.0500 482.93 08150 SEAMLESS GREEN 212,300,000 0.1280 27.17 08047 SKY FOREVER 265,000,000 0.1500 39.75 08269 WEALTHGLORY-20K 380,000,000 0.1070 40.66 08135 ZMFY GLASS 106,000,000 0.4700 49.82

Total 3,292.31

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

GEM Warrants


Warrant Trading and Market Value Statistics – GEM

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

2014 Q3 0 0.00 0.00 Q4 0 0.00 0.002015 Q1 0 0.00 0.00 Q2 0 0.00 0.00 Q3 1 41.31 18.74

Newly Listed Equity GEM Warrantsfor 3rd quarter 2015

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

08151 Luxey International (Holdings) Ltd. Warrants 2016 177,544,576 2015/07/14 2016/07/12 –

Total –

Stock Market Indices


Hang Seng Index

Chart on CloseIndex

20000

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29000HIGH(15/04/28)=28442.750 LOW(15/09/29)=20556.600 CLOSE(15/09/30)=20846.300

10 MAV 50 MAV

07/15 08/15 09/1504/15 05/15 06/1507/14 08/14 09/14 10/14 11/14 12/14 01/15 02/15 03/15

S&P/HKEx LargeCap Index

Chart on CloseIndex

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35500HIGH(15/04/27)=34685.390 LOW(15/09/29)=25245.780 CLOSE(15/09/30)=25563.430

10 MAV 50 MAV

07/15 08/15 09/1504/15 05/15 06/1507/14 08/14 09/14 10/14 11/14 12/14 01/15 02/15 03/15

S&P/HKEx GEM Index

Chart on CloseIndex

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850HIGH(15/06/01)=822.360 LOW(15/08/25)=462.900 CLOSE(15/09/30)=461.580

10 MAV 50 MAV

07/15 08/15 09/1507/14 08/14 09/14 10/14 11/14 12/14 01/15 02/15 03/15 04/15 05/15 06/15



Hong Kong Stock Market Indices

End of Sep 2015 End of Jun 2015Index Close Close Change %

S&P/HKEx LargeCap Index 25563.43 32097.85 – 20.36%

S&P/HKEx GEM Index 461.58 759.52 – 39.23%

HANG SENG INDEX 20846.30 26250.03 – 20.59%SECTORIAL INDICES Finance 28532.36 37847.38 – 24.61% Utilities 51590.14 53858.18 – 4.21% Properties 29418.68 35144.58 – 16.29% Commerce & Industry 11973.08 14701.88 – 18.56%

HANG SENG CHINA-AFFILIATED CORPORATIONS INDEX 3901.65 4876.74 – 19.99%HANG SENG CHINA ENTERPRISES INDEX 9405.50 12981.23 – 27.55%



WORLD INDICES

End of Sep 2015 End of Jun 2015Index Close Close Change %

HONG KONG S&P/HKEx LargeCap Index 25563.43 32097.85 – 20.36% Hang Seng Index 20846.30 26250.03 – 20.59%AUSTRALIA All Ordinaries Index 5058.60 5451.20 – 7.20%JAKARTA Composite Index 4223.91 4910.66 – 13.98%JAPAN Nikkei (225) 17388.15 20235.73 – 14.07%KOREA Composite Index 1962.81 2074.20 – 5.37%KUALA LUMPUR Composite Index 1621.04 1706.64 – 5.02%MANILA Composite Index 6893.98 7564.50 – 8.86%NEW ZEALAND NZSE (50) 5593.36 5726.96 – 2.33%SHANGHAI A Shares Index 3197.37 4479.90 – 28.63% B Shares Index 309.71 431.85 – 28.28%SHENZHEN A Shares Index 1795.36 2577.47 – 30.34% B Shares Index 1050.74 1462.21 – 28.14%SINGAPORE FTSE Straits Times Index 2790.89 3317.33 – 15.87%TAIWAN Taipei Weighted Stock Index 8181.24 9323.02 – 12.25%THAILAND SET Index 1349.00 1504.55 – 10.34%NEW YORK DJIA 16284.70 17619.51 – 7.58% Nasdaq Composite Index 4620.17 4986.87 – 7.35%TORONTO S&P/TSX Composite Index 13306.96 14553.33 – 8.56%GERMANY DAX Capital Value Index 4847.12 5491.63 – 11.74%LONDON FTSE (100) 6061.61 6520.98 – 7.04%

Derivatives Market – Futures and Options


Contract Volume by Derivatives Products

ContractsDerivatives product 3rd Quarter 2015 3rd Quarter 2014

Hang Seng Index Futures 5,212,839 4,270,694Hang Seng Index Options 2,093,981 1,912,755Mini-Hang Seng Index Futures 3,064,596 1,644,415Mini-Hang Seng Index Options 264,749 251,411H-shares Index Futures 9,576,380 5,067,604H-shares Index Options 5,215,983 2,013,385Mini H-shares Index Futures 2,164,280 779,761Flexible Hang Seng Index Options 1,300 200Flexible H-shares Index Options 5,347 15,861HSI Dividend Point Index Futures 2,102 5,404HSCEI Dividend Point Index Futures 56,952 44,905HSI Volatility Index Futures 139 107CES China 120 Index Futures 3,363 10,935IBOVESPA Futures 0 0MICEX Index Futures 0 0S&P BSE Sensex Index Futures 0 0FTSE/JSE Top40 Futures 0 0Stock Futures 170,322 123,371Stock Options 23,674,156 19,462,284Three-month HIBOR Futures 10 10One-month HIBOR Futures 3 0Three-year Exchange Fund Note Futures1 0 0RMB Currency Futures – USD/CNH Futures 86,580 42,843Gold Futures2 – 0London Aluminium Mini Futures3 1,864 –London Zinc Mini Futures4 2,664 –London Copper Mini Futures5 4,716 –Total 51,602,326 35,645,945

1 1 Trading in 3-Year Exchange Fund Note Futures suspended with effect from 14 Sep 20152 Trading in Gold Futures suspended with effect from 27 May 20153 Trading in London Aluminium Mini Futures commenced on 01 Dec 20144 Trading in London Zinc Mini Futures commenced on 01 Dec 20145 Trading in London Copper Mini Futures commenced on 01 Dec 2014



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

2014 Q3 4,270,694 131,566 Q4 4,534,728 99,1952015 Q1 3,925,409 115,396 Q2 4,892,457 120,329 Q3 5,212,839 102,582

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

2014 Q3 1,644,415 9,081 Q4 2,131,008 7,4722015 Q1 1,834,431 7,247 Q2 2,535,820 10,316 Q3 3,064,596 7,431

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

2014 Q3 1,912,755 254,144 Q4 2,118,013 169,9502015 Q1 1,691,364 203,839 Q2 2,107,749 202,300 Q3 2,093,981 257,268

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

2014 Q3 5,067,604 209,592 Q4 6,612,741 259,1732015 Q1 6,635,210 303,145 Q2 9,273,172 317,137 Q3 9,576,380 349,891

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

2014 Q3 11,835.64 19,462,284 6,016,138 Q4 15,471.60 23,238,909 6,320,1472015 Q1 17,410.66 22,162,657 6,545,827 Q2 30,404.09 31,431,575 7,635,003 Q3 22,706.73 23,674,156 6,679,004



Stock Options Premium by Classfor 3rd Quarter 2015

PremiumOptions class (HK$ mil.) % of total

X ISHARES A50 A50 2,996.92 13.20%ANHUI CONCH ACC 194.06 0.85%AIA AIA 778.28 3.43%CHALCO ALC 15.12 0.07%CAM CSI300 AMC 877.56 3.86%BANKCOMM BCM 51.80 0.23%BANK OF E ASIA BEA 7.90 0.03%BELLE INT’L BIH 15.27 0.07%BOC HONG KONG BOC 109.22 0.48%BYD COMPANY BYD 18.21 0.08%CHINA COMM CONS CCC 125.37 0.55%CHINA COAL CCE 9.41 0.04%CHINA COSCO CCS 2.13 0.01%CHINA CINDA CDA 26.66 0.12%CHINA MOBILE CHT 1,026.83 4.52%CHINA UNICOM CHU 163.28 0.72%CITIC CIT 121.87 0.54%CKH HOLDINGS CKH 283.60 1.25%CHINA LIFE CLI 1,086.89 4.79%CLP HOLDINGS CLP 14.26 0.06%CM BANK CMB 214.43 0.94%CNOOC CNC 231.29 1.02%CHINA OVERSEAS COL 235.38 1.04%CATHAY PAC AIR CPA 3.03 0.01%SINOPEC CORP CPC 143.97 0.63%CPIC CPI 146.86 0.65%CHINA RAIL CONS CRC 18.56 0.08%CHINA RAILWAY CRG 26.91 0.12%CHINA RES LAND CRL 31.95 0.14%X WISECSI300ETF CS3 0.24 0.00%CSOP A50 ETF CSA 2,719.38 11.98%CHINA SHENHUA CSE 118.51 0.52%CITIC BANK CTB 49.05 0.22%CHINA TELECOM CTC 48.12 0.21%CITIC SEC CTS 21.08 0.09%DONGFENG GROUP DFM 16.65 0.07%ESPRIT HOLDINGS ESP 1.12 0.00%FIH FIH 0.54 0.00%GALAXY ENT GLX 443.75 1.95%GREATWALL MOTOR GWM 76.60 0.34%HAITONG SEC HAI 55.48 0.24%HS H-SHARE ETF HCF 29.66 0.13%POWER ASSETS HEH 31.02 0.14%HKEX HEX 3,226.52 14.21%HENGAN INT’L HGN 12.29 0.05%HSBC HOLDINGS HKB 636.60 2.80%HK & CHINA GAS HKG 14.80 0.07%HENDERSON LAND HLD 51.54 0.23%HUANENG POWER HNP 22.70 0.10%HANG SENG BANK HSB 42.79 0.19%JIANGXI COPPER JXC 61.26 0.27%KUNLUN ENERGY KLE 29.48 0.13%KINGSOFT KSO 63.05 0.28%LENOVO GROUP LEN 140.85 0.62%LI & FUNG LIF 33.82 0.15%MENGNIU DAIRY MEN 8.07 0.04%MGM CHINA MGM 2.29 0.01%MINSHENG BANK MSB 122.34 0.54%



PremiumOptions class (HK$ mil.) % of total

MTR CORPORATION MTR 14.87 0.07%CNBM NBM 51.64 0.23%NCI NCL 13.48 0.06%NEW WORLD DEV NWD 13.57 0.06%PING AN PAI 1,649.36 7.26%PETROCHINA PEC 347.56 1.53%PICC P&C PIC 85.62 0.38%PICC GROUP PIN 28.54 0.13%GCL-POLY ENERGY PLE 4.63 0.02%R&F PROPERTIES RFP 43.69 0.19%SANDS CHINA LTD SAN 229.80 1.01%SHK PPT SHK 621.20 2.74%STANCHART STC 16.12 0.07%SWIRE PACIFIC A SWA 52.97 0.23%TENCENT TCH 1,417.72 6.24%TRACKER FUND TRF 20.17 0.09%WHARF HOLDINGS WHL 64.56 0.28%WANT WANT CHINA WWC 7.75 0.03%ABC XAB 112.94 0.50%BANK OF CHINA XBC 204.26 0.90%CCB XCC 394.91 1.74%ICBC XIC 212.77 0.94%YANZHOU COAL YZC 38.28 0.17%ZIJIN MINING ZJM 3.67 0.02%Total 22,706.73 100.00%



Stock Options Contract Volume by Classfor 3rd Quarter 2015 ContractOptions class volume % of totalX ISHARES A50 A50 1,170,032 4.94%ANHUI CONCH ACC 156,595 0.66%AIA AIA 606,545 2.56%CHALCO ALC 22,721 0.10%CAM CSI300 AMC 177,978 0.75%BANKCOMM BCM 155,669 0.66%BANK OF E ASIA BEA 33,404 0.14%BELLE INT’L BIH 26,784 0.11%BOC HONG KONG BOC 226,107 0.96%BYD COMPANY BYD 10,999 0.05%CHINA COMM CONS CCC 214,063 0.90%CHINA COAL CCE 51,004 0.22%CHINA COSCO CCS 9,656 0.04%CHINA CINDA CDA 17,667 0.07%CHINA MOBILE CHT 704,460 2.98%CHINA UNICOM CHU 179,798 0.76%CITIC CIT 253,271 1.07%CKH HOLDINGS CKH 192,446 0.81%CHINA LIFE CLI 920,468 3.89%CLP HOLDINGS CLP 26,943 0.11%CM BANK CMB 376,076 1.59%CNOOC CNC 522,916 2.21%CHINA OVERSEAS COL 137,866 0.58%CATHAY PAC AIR CPA 4,401 0.02%SINOPEC CORP CPC 295,699 1.25%CPIC CPI 122,136 0.52%CHINA RAIL CONS CRC 37,041 0.16%CHINA RAILWAY CRG 53,172 0.22%CHINA RES LAND CRL 13,217 0.06%X WISECSI300ETF CS3 551 0.00%CSOP A50 ETF CSA 810,422 3.42%CHINA SHENHUA CSE 274,209 1.16%CITIC BANK CTB 142,586 0.60%CHINA TELECOM CTC 105,215 0.44%CITIC SEC CTS 23,605 0.10%DONGFENG GROUP DFM 17,513 0.07%ESPRIT HOLDINGS ESP 19,728 0.08%FIH FIH 2,344 0.01%GALAXY ENT GLX 291,827 1.23%GREATWALL MOTOR GWM 113,557 0.48%HAITONG SEC HAI 27,114 0.11%HS H-SHARE ETF HCF 7,353 0.03%POWER ASSETS HEH 44,130 0.19%HKEX HEX 3,270,655 13.82%HENGAN INT’L HGN 10,980 0.05%HSBC HOLDINGS HKB 942,787 3.98%HK & CHINA GAS HKG 36,355 0.15%HENDERSON LAND HLD 31,749 0.13%HUANENG POWER HNP 28,599 0.12%HANG SENG BANK HSB 102,388 0.43%JIANGXI COPPER JXC 104,673 0.44%KUNLUN ENERGY KLE 35,396 0.15%KINGSOFT KSO 30,089 0.13%LENOVO GROUP LEN 105,393 0.45%LI & FUNG LIF 57,251 0.24%MENGNIU DAIRY MEN 6,723 0.03%MGM CHINA MGM 5,626 0.02%MINSHENG BANK MSB 95,160 0.40%MTR CORPORATION MTR 34,839 0.15%



ContractOptions class volume % of totalCNBM NBM 48,345 0.20%NCI NCL 8,723 0.04%NEW WORLD DEV NWD 29,108 0.12%PING AN PAI 1,498,459 6.33%PETROCHINA PEC 505,077 2.13%PICC P&C PIC 71,798 0.30%PICC GROUP PIN 17,602 0.07%GCL-POLY ENERGY PLE 5,462 0.02%R&F PROPERTIES RFP 60,118 0.25%SANDS CHINA LTD SAN 493,381 2.08%SHK PPT SHK 188,637 0.80%STANCHART STC 54,789 0.23%SWIRE PACIFIC A SWA 48,904 0.21%TENCENT TCH 2,796,169 11.81%TRACKER FUND TRF 43,994 0.19%WHARF HOLDINGS WHL 37,157 0.16%WANT WANT CHINA WWC 25,713 0.11%ABC XAB 98,299 0.42%BANK OF CHINA XBC 1,186,469 5.01%CCB XCC 1,675,914 7.08%ICBC XIC 1,235,233 5.22%YANZHOU COAL YZC 38,328 0.16%ZIJIN MINING ZJM 8,526 0.04%Total 23,674,156 100.00%

Clearing & Settlement


Average Daily Settlement Instructions (SIs) Settled in CCASS

(both delivering and receiving SIs are counted)

SIs by shares SIs by value

Year/Month Number of SIs (bil. shs) (HK$bil.)

2014 Q3 87,928 57.80 206.26

Q4 92,208 58.24 220.11

2015 Q1 90,242 44.99 209.79

Q2 122,363 72.45 372.55

Q3 101,225 58.26 243.97

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.)

2014 Q3 406 69.28 166.15

Q4 415 651.43 249.41

2015 Q1 401 49.48 165.36

Q2 716 231.32 289.16

Q3 390 193.07 220.27

Securities under CCASS Custody

(balances at quarter end)

% of issued % of market

Number of shares of capitalisation of

shares admitted Market value admitted

Year/Month (bil. shs) securities (HK$ bil.) securities

2014 Q3 4,262.88 71.01 14,144.85 52.56

Q4 4,450.01 71.29 14,911.90 54.09

2015 Q1 4,489.32 71.67 15,975.62 54.46

Q2 4,952.17 73.78 17,891.63 57.24

Q3 5,397.98 74.44 14,074.11 56.13

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

2014 Q3 1,037,135 100 147,929.94 100 70,720.94 100

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

2015 Q1 1,182,398 100 187,686.03 100 85,005.00 100

Q2 1,864,260 100 242,342.57 100 158,049.69 100

Q3 1,449,054 100 226,605.64 100 98,705.62 100

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 efficiency

Year/Month stock positions (%) (Mil. shs) (%)

2014 Q3 79,378 95.92 25,196.56 91.36

Q4 79,394 96.28 26,827.51 91.18

2015 Q1 78,902 96.40 24,508.05 93.29

Q2 119,864 96.54 51,102.24 88.81

Q3 85,219 96.81 30,285.88 93.26

Average Daily Settlement Efficiency of CNS Stock Positions

Settlement efficiency (%)

Year/Month S day S + 1 day

2014 Q3 99.90 99.99

Q4 99.88 99.99

2015 Q1 99.93 99.99

Q2 99.96 99.99

Q3 99.93 99.99



Open Interest by Derivatives Products

Contracts

Derivatives product 3rd Quarter 2015 3rd Quarter 2014

Hang Seng Index Futures 102,582 131,566Hang Seng Index Options 257,268 254,144Mini-Hang Seng Index Futures 7,431 9,081Mini-Hang Seng Index Options 7,571 7,945H-shares Index Futures 349,891 209,592H-shares Index Options 2,165,685 1,194,591Mini H-shares Index Futures 5,022 4,703Flexible Hang Seng Index Options 1,400 50Flexible H-shares Index Options 29,912 36,940HSI Dividend Point Index Futures 6,381 6,979HSCEI Dividend Point Index Futures 76,873 77,187HSI Volatility Index Futures 0 14CES China 120 Index Futures 27 45IBOVESPA Futures 0 0MICEX Index Futures 0 0S&P BSE Sensex Index Futures 0 0FTSE/JSE Top40 Futures 0 0Stock Futures 17,768 20,040Stock Options 6,679,004 6,016,138Three-month HIBOR Futures 0 5One-month HIBOR Futures 3 0Three-year Exchange Fund Note Futures1 – 0RMB Currency Futures – USD/CNH Futures 15,645 11,580Gold Futures2 – 0London Aluminium Mini Futures3 84 –London Zinc Mini Futures4 106 –London Copper Mini Futures5 129 –

Total 9,722,782 7,980,600

1 Trading in 3-Year Exchange Fund Note Futures suspended with effect from 14 Sep 20152 Trading in Gold Futures suspended with effect from 27 May 20153 Trading in London Aluminium Mini Futures commenced on 01 Dec 20144 Trading in London Zinc Mini Futures commenced on 01 Dec 20145 Trading in London Copper Mini Futures commenced on 01 Dec 2014



Stock Options Open Interest by Class

as at the end of 3rd Quarter 2015 Open interest

Options class (contracts) % of total

X ISHARES A50 A50 292,912 4.39ANHUI CONCH ACC 42,948 0.64AIA AIA 92,258 1.38CHALCO ALC 6,685 0.10CAM CSI300 AMC 17,174 0.26BANKCOMM BCM 61,234 0.92BANK OF E ASIA BEA 9,983 0.15BELLE INT’L BIH 9,948 0.15BOC HONG KONG BOC 59,688 0.89BYD COMPANY BYD 3,315 0.05CHINA COMM CONS CCC 39,771 0.60CHINA COAL CCE 12,337 0.18CHINA COSCO CCS 11,049 0.17CHINA CINDA CDA 5,306 0.08CHINA MOBILE CHT 122,524 1.83CHINA UNICOM CHU 43,281 0.65CITIC CIT 81,923 1.23CKH HOLDINGS CKH 39,367 0.59CHINA LIFE CLI 185,808 2.78CLP HOLDINGS CLP 7,094 0.11CM BANK CMB 132,660 1.99CNOOC CNC 193,491 2.90CHINA OVERSEAS COL 41,625 0.62CATHAY PAC AIR CPA 1,434 0.02SINOPEC CORP CPC 127,031 1.90CPIC CPI 17,358 0.26CHINA RAIL CONS CRC 12,186 0.18CHINA RAILWAY CRG 16,330 0.24CHINA RES LAND CRL 7,085 0.11X WISECSI300ETF CS3 6 0.00CSOP A50 ETF CSA 157,751 2.36CHINA SHENHUA CSE 87,886 1.32CITIC BANK CTB 104,047 1.56CHINA TELECOM CTC 43,535 0.65CITIC SEC CTS 6,169 0.09DONGFENG GROUP DFM 6,121 0.09ESPRIT HOLDINGS ESP 13,595 0.20FIH FIH 1,313 0.02GALAXY ENT GLX 50,285 0.75GREATWALL MOTOR GWM 28,697 0.43HAITONG SEC HAI 10,486 0.16HS H-SHARE ETF HCF 1,920 0.03POWER ASSETS HEH 8,474 0.13



Open interest

Options class (contracts) % of total

HKEX HEX 650,903 9.75HENGAN INT’L HGN 2,398 0.04HSBC HOLDINGS HKB 342,785 5.13HK & CHINA GAS HKG 10,083 0.15HENDERSON LAND HLD 12,066 0.18HUANENG POWER HNP 6,565 0.10HANG SENG BANK HSB 66,694 1.00JIANGXI COPPER JXC 26,462 0.40KUNLUN ENERGY KLE 18,149 0.27KINGSOFT KSO 13,728 0.21LENOVO GROUP LEN 32,950 0.49LI & FUNG LIF 13,128 0.20MENGNIU DAIRY MEN 1,103 0.02MGM CHINA MGM 2,358 0.04MINSHENG BANK MSB 40,363 0.60MTR CORPORATION MTR 10,040 0.15CNBM NBM 27,632 0.41NCI NCL 1,918 0.03NEW WORLD DEV NWD 11,575 0.17PING AN PAI 378,634 5.67PETROCHINA PEC 143,133 2.14PICC P&C PIC 18,368 0.28PICC GROUP PIN 6,110 0.09GCL-POLY ENERGY PLE 1,550 0.02R&F PROPERTIES RFP 15,491 0.23SANDS CHINA LTD SAN 83,446 1.25SHK PPT SHK 34,374 0.51STANCHART STC 30,066 0.45SWIRE PACIFIC A SWA 9,586 0.14TENCENT TCH 633,552 9.49TRACKER FUND TRF 16,985 0.25WHARF HOLDINGS WHL 8,916 0.13WANT WANT CHINA WWC 4,740 0.07ABC XAB 59,545 0.89BANK OF CHINA XBC 642,793 9.62CCB XCC 568,149 8.51ICBC XIC 499,290 7.48YANZHOU COAL YZC 15,423 0.23ZIJIN MINING ZJM 3,863 0.06Total 6,679,004 100.00

Exchange Participants Statistics


Stock Exchange

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

2014 Q3 556 (967) 499 (904) 37 (43) 20 (20) Q4 558 (969) 500 (904) 40 (47) 18 (18)2015 Q1 553 (962) 500 (902) 36 (43) 17 (17) Q2 553 (962) 500 (900) 37 (46) 16 (16) Q3 556 (965) 505 (905) 35 (44) 16 (16)

( ) No. of trading rights

Futures Exchange

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

2014 Q3 229 (253) 177 (199) – 52 (54) Q4 231 (255) 179 (201) – 52 (54)2015 Q1 231 (255) 179 (201) – 52 (54) Q2 230 (254) 177 (199) – 53 (55) Q3 230 (254) 177 (199) – 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 Clearing Year/month Clearing Participants Participants

2014 Q3 150 9 Q4 152 92015 Q1 152 9 Q2 150 9 Q3 149 9

SEOCH Participants

General Clearing Year/month Direct Clearing Participants Participants

2014 Q3 63 9 Q4 65 92015 Q1 66 9 Q2 68 9 Q3 67 9

HKSCC Participants

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

2014 Q3 480 9 43 Q4 481 10 422015 Q1 477 10 42 Q2 478 10 42 Q3 482 10 43

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

Acronyms


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

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