Derivative Call Warrants to be expired
--------------------------------------

Code Name Last Trading Strike Price Underlying In/Out-
Date ($) ($) the-Money(%)
----------------------------------------------------------------------------
13440 HSEVERG@EC1710A 25/10 8.28 31.55 281.04
25456 HSGEELY@EC1710B 25/10 7.88 26.30 233.76
14508 EA-ZTE @EC1710A 23/10 12.88 26.85 108.46
14216 MB-ZTE @EC1711A 27/10 13.14 26.85 104.34
14248 CS-ZTE @EC1710A 25/10 13.56 26.85 98.01
14521 HS-AAC @EC1710A 25/10 76.88 140.10 82.23
14635 JP-SUNY@EC1711A 27/10 68.68 114.70 67.01
14366 SC-SHKP@EC1710A 23/10 79.44 132.00 66.15
26162 GS-SHKP@EC1710A 23/10 79.48 132.00 66.08
26602 HS-SHKP@EC1710A 25/10 79.49 132.00 66.06
14577 MBTENCT@EC1711E 27/10 215.88 349.60 61.94
14166 HSPINAN@EC1710A 25/10 42.00 67.15 59.88
13421 UB-AAC @EC1710A 24/10 90.88 140.10 54.16
28036 GSCSA50@EC1710A 23/10 9.50 14.62 53.89
26353 BICSA50@EC1710A 25/10 9.50 14.62 53.89
28908 BPCSA50@EC1711A 27/10 9.50 14.62 53.89
26657 HSCSA50@EC1710A 24/10 9.51 14.62 53.73
19040 HSTENCT@EC1710B 23/10 227.80 349.60 53.47
11820 MB-GAC @EC1711A 27/10 13.18 20.15 52.88
14417 MBTENCT@EC1711D 27/10 230.88 349.60 51.42
17926 HT-ACMT@EC1710A 23/10 22.88 34.40 50.35
27006 BIPINAN@EC1710A 23/10 45.38 67.15 47.97
28920 GSTENCT@EC1710B 25/10 248.00 349.60 40.97
14338 UBTENCT@EC1710D 25/10 248.20 349.60 40.85
12434 BITENCT@EC1710D 25/10 248.20 349.60 40.85
12916 CSTENCT@EC1710D 25/10 248.20 349.60 40.85
16659 BI-SUNY@EC1711A 26/10 82.93 114.70 38.31
11763 MBCSHEN@EC1711A 27/10 13.89 18.88 35.96
21347 BICSHEN@EC1710A 20/10 13.90 18.88 35.80
29309 HTCSHEN@EC1710A 20/10 13.90 18.88 35.80
14722 JPTENCT@EC1711C 26/10 259.00 349.60 34.98
14908 HSTENCT@EC1710D 23/10 259.08 349.60 34.94
14716 GSTENCT@EC1710D 23/10 259.08 349.60 34.94
14726 CSTENCT@EC1710E 23/10 259.08 349.60 34.94
14733 BITENCT@EC1710E 23/10 259.08 349.60 34.94
14940 UBTENCT@EC1710E 23/10 259.08 349.60 34.94
11991 HTHAIER@EC1710A 24/10 15.88 20.95 31.93
15209 HSPINAN@EC1710B 25/10 50.95 67.15 31.80
27116 JPPINAN@EC1711A 26/10 51.00 67.15 31.67
15803 BPPINAN@EC1711A 27/10 51.00 67.15 31.67
14974 MBPINAN@EC1711A 27/10 51.00 67.15 31.67
14875 GSPINAN@EC1710B 20/10 51.05 67.15 31.54
14919 CSPINAN@EC1710C 20/10 51.05 67.15 31.54
15698 UBPINAN@EC1710A 20/10 51.05 67.15 31.54
28365 HTPINAN@EC1710A 23/10 51.05 67.15 31.54
15718 BIPINAN@EC1711B 27/10 51.05 67.15 31.54
13886 MBTENCT@EC1711C 27/10 270.88 349.60 29.06
20121 BI-CRL @EC1710A 24/10 18.88 24.10 27.65
14840 JPTENCT@EC1711D 27/10 279.79 349.60 24.95
14624 GSCSA50@EC1710B 24/10 12.00 14.62 21.83
11522 GS-HKEX@EC1710A 23/10 180.98 220.20 21.67
14631 GSFTA50@EC1710A 24/10 11.80 14.16 20.00
14047 JPCLIFE@EC1711B 27/10 20.88 24.60 17.82
16111 HSFTA50@EC1710A 23/10 12.02 14.16 17.80
13156 HSCLIFE@EC1710A 24/10 20.93 24.60 17.53
13486 MBTENCT@EC1711A 27/10 300.88 349.60 16.19
18403 JPTENCT@EC1711H 26/10 301.03 349.60 16.13
16210 BITENCT@EC1710G 20/10 301.08 349.60 16.12
12984 HS-GEG @EC1710A 25/10 45.88 52.85 15.19
14111 MB-HSBC@EC1711A 27/10 66.88 76.50 14.38
17163 GSFTA50@EC1711B 26/10 12.40 14.16 14.19
27444 CS-ICBC@EC1710A 25/10 5.52 6.30 14.13
16566 HS-ICBC@EC1710A 24/10 5.53 6.30 13.92
14636 JP-LINK@EC1711A 27/10 58.88 66.40 12.77
13230 JPCLIFE@EC1711A 26/10 21.88 24.60 12.43
14325 MB-HKEX@EC1711C 27/10 195.88 220.20 12.42
15621 GSCLIFE@EC1710A 20/10 21.90 24.60 12.33
20425 BPCLIFE@EC1711A 27/10 21.90 24.60 12.33
15638 HSCLIFE@EC1710B 24/10 21.93 24.60 12.18
26433 JP-ACMT@EC1710A 25/10 30.88 34.40 11.40
14123 JPCSHEN@EC1711A 27/10 17.01 18.88 11.01
13801 HSCCCCL@EC1710A 20/10 8.99 9.97 10.90
14690 CS-LINK@EC1710A 25/10 59.88 66.40 10.89
14426 GSCCCCL@EC1710A 20/10 9.00 9.97 10.78
26780 HTCCCCL@EC1710A 24/10 9.00 9.97 10.78
24241 JPCCCCL@EC1711A 27/10 9.00 9.97 10.78
16553 GS-ICBC@EC1710C 23/10 5.69 6.30 10.72
15043 BICCCCL@EC1710A 20/10 9.01 9.97 10.65
13855 CSCCCCL@EC1710A 24/10 9.01 9.97 10.65
27138 HSCRAIL@EC1710A 24/10 5.99 6.62 10.52
24989 JPCRAIL@EC1710A 25/10 6.00 6.62 10.33
18905 SGCRAIL@EC1711A 26/10 6.00 6.62 10.33
16312 HSCSA50@EC1710B 23/10 13.30 14.62 9.92
16397 GSCSA50@EC1710C 23/10 13.30 14.62 9.92
29465 JP-GEG @EC1711A 26/10 48.48 52.85 9.01
14222 CSCSHEN@EC1710A 25/10 17.33 18.88 8.94
14475 HT-GEG @EC1710A 20/10 48.68 52.85 8.57
15228 MB-GEG @EC1711A 27/10 48.88 52.85 8.12
17928 GS-GEG @EC1710C 20/10 48.93 52.85 8.01
29039 MB-CTIH@EC1711A 27/10 22.88 24.60 7.52
13975 CS-CKA @EC1710A 24/10 62.28 66.70 7.10
13827 SGCITIC@EC1711A 26/10 10.88 11.54 6.07
26369 MBCITIC@EC1711A 27/10 10.88 11.54 6.07
28746 BPCITIC@EC1711A 27/10 10.88 11.54 6.07
28050 GSCITIC@EC1710A 20/10 10.89 11.54 5.97
20114 BICITIC@EC1710A 20/10 10.89 11.54 5.97
16078 BITENCT@EC1711C 26/10 330.68 349.60 5.72
16236 HSTENCT@EC1710E 20/10 330.80 349.60 5.68
14684 MBTENCT@EC1711F 27/10 330.88 349.60 5.66
16138 JPTENCT@EC1711F 26/10 331.00 349.60 5.62
28903 BI-AIA @EC1710A 24/10 57.00 60.20 5.61
16015 UBTENCT@EC1710F 20/10 331.08 349.60 5.59
16128 CSTENCT@EC1710G 20/10 331.08 349.60 5.59
15826 GSTENCT@EC1710G 20/10 331.08 349.60 5.59
28708 MB-ICBC@EC1711A 27/10 5.98 6.30 5.35
28958 HT-AIA @EC1710A 24/10 57.25 60.20 5.15
28581 CS-ICBC@EC1711A 27/10 6.02 6.30 4.65
12836 UB-ICBC@EC1710B 20/10 6.03 6.30 4.48
11900 GS-ICBC@EC1710A 24/10 6.03 6.30 4.48
12814 JP-ICBC@EC1711A 26/10 6.03 6.30 4.48
16146 GS-CKH @EC1710A 24/10 98.00 101.50 3.57
11809 MB-HSBC@EC1711B 27/10 73.88 76.50 3.55
16577 CS-HSBC@EC1710B 20/10 73.93 76.50 3.48
15775 GS-HSBC@EC1710A 20/10 73.93 76.50 3.48
17453 UB-HSBC@EC1711D 27/10 73.93 76.50 3.48
29240 CS-AIA @EC1710C 25/10 58.28 60.20 3.29
13884 MBCLIFE@EC1711A 27/10 23.88 24.60 3.02
15126 JP-AIA @EC1710B 25/10 58.85 60.20 2.29
13125 MB-AIA @EC1711A 27/10 58.88 60.20 2.24
15078 UB-AIA @EC1710A 23/10 58.93 60.20 2.16
15149 GS-AIA @EC1710A 23/10 58.93 60.20 2.16
15540 BI-AIA @EC1710B 23/10 58.93 60.20 2.16
14454 JPSTANC@EC1711A 26/10 76.88 77.75 1.13
27834 BISANDS@EC1710A 24/10 37.28 37.50 0.59
18045 JPSANDS@EC1710C 25/10 37.30 37.50 0.54
20120 BI-CTEL@EC1710A 24/10 4.00 4.02 0.50
11088 JP-CTEL@EC1711A 26/10 4.00 4.02 0.50
25495 GSSANDS@EC1710A 23/10 37.33 37.50 0.46
14001 MBBOCHK@EC1711A 27/10 38.88 38.50 -0.98
28536 JP-CCB @EC1710A 25/10 7.07 6.93 -1.98
27291 JPKSOFT@EC1711A 27/10 20.20 19.80 -1.98
16441 UB-GEG @EC1710C 23/10 53.93 52.85 -2.00
16666 HS-GEG @EC1710C 23/10 53.93 52.85 -2.00
16808 GS-GEG @EC1710B 23/10 53.93 52.85 -2.00
16439 CS-GEG @EC1711A 27/10 53.93 52.85 -2.00
12156 BIKSOFT@EC1710A 20/10 20.25 19.80 -2.22
11678 UBKSOFT@EC1710A 20/10 20.25 19.80 -2.22
28899 HTKSOFT@EC1710A 23/10 20.25 19.80 -2.22
15167 JP-HSBC@EC1711A 27/10 78.78 76.50 -2.89
17769 GS-HSBC@EC1710C 20/10 78.83 76.50 -2.96
17602 CS-HSBC@EC1710C 25/10 78.83 76.50 -2.96
17905 UB-HSBC@EC1711F 27/10 78.83 76.50 -2.96
13441 HSSANDS@EC1710A 25/10 38.88 37.50 -3.55
14833 CSSTANC@EC1711A 27/10 80.88 77.75 -3.87
13677 HSCNOOC@EC1710A 25/10 10.38 9.96 -4.05
21966 SGPINAN@EC1711A 26/10 70.00 67.15 -4.07
14173 HS-CMOB@EC1710A 25/10 82.74 79.30 -4.15
14182 MB-HKEX@EC1711B 27/10 230.88 220.20 -4.63
13793 HSCITBK@EC1710A 25/10 5.38 5.13 -4.65
23511 UB-HKEX@EC1710B 20/10 230.98 220.20 -4.67
16491 JP-HKEX@EC1711A 26/10 231.00 220.20 -4.68
17004 GS-HKEX@EC1710B 20/10 231.08 220.20 -4.71
16936 CS-HKEX@EC1710E 25/10 231.08 220.20 -4.71
28250 UB-BEA @EC1710A 24/10 36.88 35.05 -4.96
28886 HT-BEA @EC1710A 24/10 36.93 35.05 -5.09
16806 HT-CMOB@EC1710A 25/10 83.70 79.30 -5.26
16731 JP-CMOB@EC1711B 26/10 85.63 79.30 -7.39
14829 CS-CMOB@EC1711C 27/10 85.63 79.30 -7.39
15332 UB-CMOB@EC1710A 20/10 85.67 79.30 -7.44
15515 GS-CMOB@EC1710A 20/10 85.67 79.30 -7.44
16651 BI-CMOB@EC1710B 20/10 85.67 79.30 -7.44
15945 UBCLIFE@EC1710C 23/10 26.80 24.60 -8.21
15947 GSCLIFE@EC1710B 23/10 26.80 24.60 -8.21
12989 HSCLIFE@EC1710C 23/10 26.80 24.60 -8.21
28933 JPCLIFE@EC1710A 25/10 26.80 24.60 -8.21
28727 HS-AGBK@EC1710A 25/10 3.98 3.65 -8.29
16555 GSCITIC@EC1710B 24/10 12.67 11.54 -8.92
15006 MB-PWRA@EC1711A 27/10 74.57 67.80 -9.08
22432 HS-CUNI@EC1710A 25/10 12.48 11.22 -10.10
19418 GS-CUNI@EC1710A 24/10 12.50 11.22 -10.24
24793 CS-CUNI@EC1710A 24/10 12.52 11.22 -10.38
25168 JP-FIH @EC1710A 25/10 2.77 2.46 -11.16
14406 HSPETCH@EC1710A 25/10 5.70 5.01 -12.11
15523 JPPETCH@EC1711A 27/10 5.71 5.01 -12.26
12965 MBPETCH@EC1711A 27/10 5.78 5.01 -13.32
15956 JP-CMOB@EC1710C 24/10 91.52 79.30 -13.35
14232 CS-YZCM@EC1711A 27/10 8.98 7.78 -13.36
15674 GSPETCH@EC1710A 20/10 5.79 5.01 -13.47
15333 UBPETCH@EC1710A 20/10 5.79 5.01 -13.47
15406 CSPETCH@EC1711A 27/10 5.79 5.01 -13.47
26522 HS-SMIC@EC1711A 26/10 12.20 10.44 -14.43
15997 BPMEITU@EC1711A 27/10 13.58 11.60 -14.58
15684 UB-CMBC@EC1710A 24/10 8.69 7.42 -14.61
15789 HTMEITU@EC1711A 27/10 13.59 11.60 -14.63
13679 HS-FIH @EC1710A 25/10 2.89 2.46 -14.73
14772 BP-GWMC@EC1711A 27/10 12.50 10.62 -15.04
27195 HS-HTSE@EC1710A 25/10 15.18 12.84 -15.42
16155 GS-HTSE@EC1710A 23/10 15.20 12.84 -15.53
16905 JP-HTSE@EC1711A 27/10 15.20 12.84 -15.53
18254 BI-HTSE@EC1710A 23/10 15.22 12.84 -15.64
24371 HT-HTSE@EC1710A 24/10 15.22 12.84 -15.64
16292 CS-HTSE@EC1710A 25/10 15.22 12.84 -15.64
22757 CS-SMIC@EC1710A 25/10 12.38 10.44 -15.67
11290 MBLENOV@EC1711A 27/10 5.48 4.57 -16.61
15877 CSLENOV@EC1711A 27/10 5.49 4.57 -16.76
13558 BPCP&CC@EC1711A 27/10 6.90 5.73 -16.96
14563 BICP&CC@EC1710A 20/10 6.91 5.73 -17.08
13154 HSKSOFT@EC1710A 25/10 23.88 19.80 -17.09
13602 MB-HKEX@EC1711A 27/10 265.88 220.20 -17.18
26640 GS-HKEX@EC1710C 24/10 266.08 220.20 -17.24
26308 CS-HKEX@EC1710F 25/10 266.08 220.20 -17.24
14351 UBKSOFT@EC1711A 27/10 23.93 19.80 -17.26
24148 HTALIPG@EC1710A 24/10 1.55 1.27 -18.06
14756 UBCRAIL@EC1710A 24/10 8.08 6.62 -18.07
12935 HTCP&CC@EC1710A 25/10 7.00 5.73 -18.14
13669 BIKSOFT@EC1710B 25/10 24.25 19.80 -18.35
22827 MB-CKH @EC1711A 27/10 125.88 101.50 -19.37
12550 JP-CMOB@EC1711A 27/10 99.26 79.30 -20.11
13539 CSCP&CC@EC1710A 25/10 7.18 5.73 -20.19
16101 GSKSOFT@EC1710A 24/10 24.88 19.80 -20.42
13051 MBKSOFT@EC1711A 27/10 24.88 19.80 -20.42
13987 JP-KECL@EC1711A 26/10 9.35 7.37 -21.18
15786 HT-IGG @EC1711A 27/10 13.90 10.84 -22.01
14102 HTCP&CC@EC1711A 27/10 7.38 5.73 -22.36
14121 MB-CTEL@EC1711A 27/10 5.33 4.02 -24.58
12856 MB-COVS@EC1711A 27/10 34.68 25.65 -26.04
16780 BILENOV@EC1710A 24/10 6.38 4.57 -28.37
11992 HTZHJIN@EC1710A 24/10 9.98 6.71 -32.77
14040 MBCNOOC@EC1711A 27/10 14.88 9.96 -33.06
20013 JP-CLPG@EC1710A 25/10 10.00 6.21 -37.90
22405 SC-CGNP@EC1710A 24/10 4.88 2.25 -53.89
---------------------------------------------------------------------------
Remarks: (+) = In-the-Money
(-) = Out-the_Money


Derivative Put Warrants to be expired
-------------------------------------

Code Name Last Trading Strike Price Underlying In/Out-
Date ($) ($) the-Money(%)
---------------------------------------------------------------------------
13456 MBPETCH@EP1711B 27/10 5.51 5.01 9.07
13658 JPCP&CC@EP1710A 25/10 5.80 5.73 1.21
16888 GS-CCB @EP1710B 20/10 5.99 6.93 -15.69
13014 MB-CCB @EP1711A 27/10 5.98 6.93 -15.89
16657 BI-CCB @EP1710C 23/10 5.87 6.93 -18.06
16469 UB-CCB @EP1710B 23/10 5.87 6.93 -18.06
16579 UB-AIA @EP1710B 25/10 48.73 60.20 -23.54
14430 MB-HKEX@EP1711D 27/10 170.88 220.20 -28.86
13442 MB-HSBC@EP1711C 27/10 58.88 76.50 -29.93
15827 GS-HSBC@EP1710B 20/10 58.83 76.50 -30.04
13370 JP-GEG @EP1711B 27/10 40.40 52.85 -30.82
16470 UB-GEG @EP1710D 20/10 40.35 52.85 -30.98
15848 BITENCT@EP1710F 20/10 240.88 349.60 -45.13
15899 HTTENCT@EP1710E 24/10 240.88 349.60 -45.13
14729 MBTENCT@EP1711G 27/10 240.88 349.60 -45.13
15816 JPTENCT@EP1711E 26/10 240.80 349.60 -45.18
15353 GSTENCT@EP1710E 20/10 240.68 349.60 -45.26
15664 GSTENCT@EP1710F 23/10 236.68 349.60 -47.71
15401 CSTENCT@EP1710F 25/10 236.68 349.60 -47.71
14370 JPTENCT@EP1711B 27/10 222.88 349.60 -56.86
28762 CSTENCT@EP1710C 25/10 210.98 349.60 -65.70
13483 HTTENCT@EP1710C 20/10 210.88 349.60 -65.78
15821 JPPINAN@EP1711B 26/10 39.93 67.15 -68.17
13011 BIPINAN@EP1710B 24/10 39.88 67.15 -68.38
13384 JPTENCT@EP1710B 25/10 190.00 349.60 -84.00
13893 BPTENCT@EP1711A 27/10 190.00 349.60 -84.00
26515 BITENCT@EP1710B 24/10 189.90 349.60 -84.10
14933 HT-BYD @EP1710A 24/10 40.00 75.80 -89.50
13737 MBTENCT@EP1711B 27/10 180.88 349.60 -93.28
---------------------------------------------------------------------------
Remarks: (+) = In-the-Money
(-) = Out-the_Money