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

Code Name Last Trading Strike Price Underlying In/Out-
Date ($) ($) the-Money(%)
----------------------------------------------------------------------------
26815 HT-GAC @EC1711A 21/11 8.20 21.05 156.71
12261 SGGEELY@EC1711B 21/11 11.78 27.40 132.60
11783 BI-AAC @EC1711A 21/11 87.90 173.50 97.38
17214 GSTENCT@EC1711A 22/11 210.20 391.80 86.39
11679 UB-ZTE @EC1711A 22/11 15.80 28.80 82.28
15567 HS-AAC @EC1711B 23/11 98.83 173.50 75.55
28311 UB-AAC @EC1711A 22/11 98.93 173.50 75.38
14646 BI-AAC @EC1711B 22/11 98.93 173.50 75.38
14507 HT-AAC @EC1711A 22/11 98.93 173.50 75.38
15148 GSPINAN@EC1711B 21/11 46.93 77.85 65.89
14202 HTTENCT@EC1711B 22/11 238.00 391.80 64.62
29522 GSTENCT@EC1711B 22/11 238.88 391.80 64.02
12232 HSTENCT@EC1711A 20/11 239.08 391.80 63.88
13138 BITENCT@EC1711A 21/11 239.08 391.80 63.88
28277 GSPINAN@EC1711A 21/11 48.88 77.85 59.27
20872 HTPINAN@EC1711A 23/11 48.88 77.85 59.27
15221 UBPINAN@EC1711A 16/11 48.93 77.85 59.10
29939 HT-CGHL@EC1711A 22/11 15.02 23.45 56.13
14717 GSTENCT@EC1711C 21/11 258.20 391.80 51.74
18486 HSTENCT@EC1711H 22/11 268.80 391.80 45.76
18158 BITENCT@EC1711E 22/11 268.98 391.80 45.66
18114 GSTENCT@EC1711I 22/11 269.08 391.80 45.61
16177 UBPINAN@EC1711C 22/11 54.00 77.85 44.17
16668 HSPINAN@EC1711D 17/11 56.43 77.85 37.96
16694 GSPINAN@EC1711E 17/11 56.43 77.85 37.96
16416 GSTENCT@EC1711G 17/11 286.88 391.80 36.57
16133 UBTENCT@EC1711E 21/11 287.30 391.80 36.37
16716 BIPINAN@EC1711C 21/11 58.73 77.85 32.56
16771 GSPINAN@EC1711G 22/11 58.85 77.85 32.29
16881 CSTENCT@EC1711G 22/11 300.20 391.80 30.51
29536 CS-CUNI@EC1711A 22/11 8.99 11.64 29.48
12105 UB-CUNI@EC1711A 22/11 8.99 11.64 29.48
28456 GS-CUNI@EC1711A 22/11 8.99 11.64 29.48
13188 UBFOSUN@EC1711A 21/11 13.68 17.60 28.65
16705 UB-CNBM@EC1711A 21/11 5.51 7.05 27.95
16068 HSTENCT@EC1711C 20/11 308.88 391.80 26.85
16779 GS-CKA @EC1711A 23/11 51.88 65.70 26.64
11990 HTJIANC@EC1711A 20/11 9.89 11.84 19.72
25892 HSJIANC@EC1711A 21/11 9.89 11.84 19.72
18155 BI-ICBC@EC1711C 22/11 5.09 6.06 19.06
18809 GS-ICBC@EC1711D 22/11 5.09 6.06 19.06
24754 GS-GEG @EC1711A 21/11 46.51 55.35 19.01
15820 GSKSOFT@EC1711A 23/11 17.80 20.95 17.70
16961 GSCNOOC@EC1711B 22/11 9.01 10.60 17.65
14477 HT-ICBC@EC1711B 21/11 5.19 6.06 16.81
14651 BI-ICBC@EC1711A 21/11 5.19 6.06 16.76
15595 UB-ICBC@EC1711A 21/11 5.19 6.06 16.76
14797 CS-ICBC@EC1711B 21/11 5.19 6.06 16.76
17115 GS-ICBC@EC1711C 21/11 5.19 6.06 16.76
27591 HT-CUNI@EC1711A 23/11 10.02 11.64 16.17
15873 GS-ICBC@EC1711B 21/11 5.30 6.06 14.34
28256 HSTENCT@EC1711I 21/11 346.08 391.80 13.21
28559 GSTENCT@EC1711L 21/11 346.08 391.80 13.21
16123 CS-GR&F@EC1711A 21/11 15.48 17.36 12.14
23759 GSTENCT@EC1711J 21/11 350.20 391.80 11.88
21511 GS-HKEX@EC1711A 22/11 208.88 233.20 11.64
27823 BI-HKEX@EC1711A 22/11 209.00 233.20 11.58
12673 HTAIRCN@EC1711A 21/11 7.01 7.82 11.55
16801 GSCSA50@EC1711A 21/11 13.92 15.52 11.49
17045 UBCSA50@EC1711A 21/11 13.92 15.52 11.49
15355 GS-HSBC@EC1711A 21/11 68.00 75.35 10.81
14456 HT-HSBC@EC1711A 22/11 68.00 75.35 10.81
16802 GSFTA50@EC1711A 21/11 13.60 15.04 10.59
27567 GS-HKEX@EC1711B 21/11 212.00 233.20 10.00
29164 HT-HKEX@EC1711A 22/11 212.00 233.20 10.00
16293 GS-COVS@EC1711A 17/11 22.27 24.00 7.77
18400 HS-COVS@EC1711A 17/11 22.27 24.00 7.77
14930 UBCLIFE@EC1711B 22/11 25.05 26.90 7.39
20834 HSCLIFE@EC1711B 22/11 25.05 26.90 7.39
16921 CSCLIFE@EC1711C 22/11 25.05 26.90 7.39
16885 GSCLIFE@EC1711C 22/11 25.05 26.90 7.39
28155 HTTENCT@EC1711E 21/11 366.08 391.80 7.03
26415 GSTENCT@EC1711K 21/11 366.08 391.80 7.03
29121 HSTENCT@EC1711J 21/11 366.08 391.80 7.03
25418 UBTENCT@EC1711G 21/11 366.08 391.80 7.03
28491 GS-CKH @EC1711A 22/11 91.92 98.05 6.67
27952 UB-CKH @EC1711A 22/11 91.93 98.05 6.66
11806 JP-COSL@EC1711A 22/11 6.89 7.28 5.66
16565 HS-ICBC@EC1711B 21/11 5.77 6.06 5.03
28651 HT-ICBC@EC1711A 22/11 5.78 6.06 4.84
16022 UB-HSBC@EC1711C 16/11 71.88 75.35 4.83
11505 UBCNOOC@EC1711A 22/11 10.12 10.60 4.74
29172 GSCSA50@EC1711B 23/11 14.90 15.52 4.16
17017 UB-CGS @EC1711A 21/11 6.28 6.52 3.82
16715 BI-GEG @EC1711C 21/11 53.93 55.35 2.63
27392 HTCLIFE@EC1711A 22/11 26.28 26.90 2.36
17111 GS-BOCL@EC1711B 21/11 3.69 3.77 2.17
15334 CSCLIFE@EC1711A 22/11 26.33 26.90 2.16
20587 GS-CUNI@EC1711B 17/11 11.40 11.64 2.11
18472 UB-CUNI@EC1711B 17/11 11.40 11.64 2.11
16929 UBPETCH@EC1711A 21/11 5.19 5.24 0.96
17005 GSPETCH@EC1711A 21/11 5.19 5.24 0.96
24713 EA-CNBM@EC1711A 23/11 6.99 7.05 0.86
15719 BI-HSBC@EC1711B 22/11 75.05 75.35 0.40
26658 GS-AIA @EC1711B 21/11 65.05 65.30 0.38
25436 UB-AIA @EC1711B 21/11 65.05 65.30 0.38
26360 CS-AIA @EC1711B 21/11 65.05 65.30 0.38
18234 BICITSE@EC1711A 21/11 16.88 16.80 -0.47
29072 CS-HKEX@EC1711A 22/11 235.18 233.20 -0.84
28774 UB-HKEX@EC1711A 22/11 235.20 233.20 -0.85
27896 GS-HKEX@EC1711D 22/11 235.20 233.20 -0.85
28673 BI-HKEX@EC1711B 22/11 235.20 233.20 -0.85
28656 HTSANDS@EC1711A 21/11 36.80 36.35 -1.22
16053 CSMEITU@EC1711B 17/11 11.48 11.30 -1.57
16181 SGMEITU@EC1711B 22/11 11.50 11.30 -1.74
16505 GSCLIFE@EC1711B 17/11 27.43 26.90 -1.93
16576 CS-HSBC@EC1711C 21/11 76.93 75.35 -2.05
15931 UB-HSBC@EC1711A 21/11 76.93 75.35 -2.05
17662 HT-HSBC@EC1711B 21/11 76.93 75.35 -2.05
16262 GS-HSBC@EC1711B 21/11 76.93 75.35 -2.05
29439 GSTENCT@EC1711M 21/11 400.08 391.80 -2.07
28425 BITENCT@EC1711F 21/11 400.08 391.80 -2.07
16476 GS-CCB @EC1711A 17/11 6.89 6.69 -2.90
16342 UB-CCB @EC1711B 17/11 6.89 6.69 -2.90
17567 CS-CMOB@EC1711B 21/11 81.20 78.10 -3.81
16791 UBSANDS@EC1711B 21/11 37.93 36.35 -4.17
17935 GSSANDS@EC1711B 21/11 37.93 36.35 -4.17
17467 CSSANDS@EC1711A 21/11 37.93 36.35 -4.17
16757 UBCKINF@EC1711A 22/11 72.05 68.90 -4.37
16176 UBMEITU@EC1711B 22/11 11.88 11.30 -4.88
16112 HSMEITU@EC1711A 23/11 11.88 11.30 -4.88
17191 GS-AGBK@EC1711A 20/11 3.79 3.59 -5.28
27935 BI-AGBK@EC1711A 21/11 3.79 3.59 -5.28
27842 UBSPDRG@EC1711A 22/11 1000.00 947.00 -5.30
16175 UB-MTRC@EC1711A 22/11 47.88 45.20 -5.60
17621 GS-HSBC@EC1711E 22/11 80.05 75.35 -5.87
26376 CS-HSBC@EC1711E 22/11 80.05 75.35 -5.87
19301 HS-CMOB@EC1711A 22/11 83.46 78.10 -6.42
16118 HSSTANC@EC1711B 23/11 79.88 74.70 -6.48
18440 UB-CMOB@EC1711C 21/11 83.56 78.10 -6.53
16738 GS-CMOB@EC1711B 21/11 83.56 78.10 -6.53
18473 BI-CMOB@EC1711B 23/11 83.56 78.10 -6.53
23603 GS-HKEX@EC1711C 21/11 251.08 233.20 -7.12
26109 JP-HSBC@EC1711C 17/11 82.02 75.35 -8.13
18117 GS-HSBC@EC1711F 17/11 82.03 75.35 -8.14
26397 GS-COVS@EC1711B 22/11 26.55 24.00 -9.60
28905 HT-CCB @EC1711A 22/11 7.50 6.69 -10.80
16036 BI-CKH @EC1711A 23/11 110.00 98.05 -10.86
16521 GS-CCB @EC1711B 21/11 7.51 6.69 -10.92
28521 BI-CCB @EC1711A 21/11 7.51 6.69 -10.92
12832 UB-CCB @EC1711A 21/11 7.51 6.69 -10.92
27924 HT-CRL @EC1711A 20/11 24.98 22.25 -10.93
25405 UB-CKH @EC1711B 16/11 110.10 98.05 -10.94
21316 BIJIANC@EC1711A 22/11 13.30 11.84 -10.98
28880 HT-GOME@EC1711A 22/11 1.08 0.96 -11.11
16055 UBSTANC@EC1711A 17/11 84.88 74.70 -11.99
17044 UBCP&CC@EC1711A 21/11 6.29 5.53 -12.08
24747 GSCP&CC@EC1711A 21/11 6.29 5.53 -12.08
13505 BISANDS@EC1711A 21/11 41.45 36.35 -12.30
14481 HTSANDS@EC1711B 21/11 41.46 36.35 -12.33
16701 UBSANDS@EC1711A 21/11 41.46 36.35 -12.33
28478 UB-BOCL@EC1711A 21/11 4.39 3.77 -14.12
28563 GS-BOCL@EC1711A 23/11 4.39 3.77 -14.12
16523 UB-AGBK@EC1711A 21/11 4.19 3.59 -14.32
16383 UBBOCOM@EC1711A 21/11 6.76 5.78 -14.50
24460 GS-CMOB@EC1711A 21/11 91.52 78.10 -14.67
23734 UB-CMOB@EC1711A 21/11 91.57 78.10 -14.71
15814 UB-CTEL@EC1711A 17/11 4.41 3.75 -14.97
14478 HTCCCCL@EC1711A 21/11 10.77 8.83 -18.01
14873 HSCCCCL@EC1711A 21/11 10.77 8.83 -18.01
27507 HTCCOAL@EC1711A 22/11 4.41 3.53 -19.95
16038 BIMEITU@EC1711A 21/11 14.38 11.30 -21.42
29113 GSCRAIL@EC1711A 21/11 7.50 5.89 -21.47
16887 GSLENOV@EC1711A 21/11 5.69 4.44 -21.97
24478 UBLENOV@EC1711A 21/11 5.69 4.44 -21.97
16115 HS-IGG @EC1711A 23/11 13.28 9.49 -28.54
14872 HS-CRCC@EC1711A 21/11 13.52 9.17 -32.17
27533 GS-HUAP@EC1711A 17/11 8.89 5.37 -39.60
22737 HS-L&F @EC1711A 21/11 7.99 3.65 -54.32
---------------------------------------------------------------------------
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(%)
---------------------------------------------------------------------------
28777 UBPETCH@EP1711B 21/11 4.93 5.24 -6.29
16642 CSCLIFE@EP1711B 22/11 24.95 26.90 -7.82
16471 UBCLIFE@EP1711C 22/11 24.95 26.90 -7.82
15717 BISANDS@EP1711B 21/11 32.28 36.35 -12.61
12890 UBCLIFE@EP1711A 20/11 23.18 26.90 -16.05
16588 GS-HSBC@EP1711C 22/11 63.98 75.35 -17.77
15536 BI-HSBC@EP1711A 21/11 62.00 75.35 -21.53
22368 UB-AIA @EP1711A 17/11 51.83 65.30 -25.99
16468 UB-ICBC@EP1711C 22/11 4.59 6.06 -32.03
16411 HSTENCT@EP1711G 21/11 268.88 391.80 -45.72
16726 UBTENCT@EP1711F 21/11 268.88 391.80 -45.72
16739 GSTENCT@EP1711H 21/11 268.48 391.80 -45.93
16724 CSTENCT@EP1711F 21/11 268.48 391.80 -45.93
17679 HTTENCT@EP1711D 21/11 260.88 391.80 -50.18
16165 HSTENCT@EP1711D 21/11 260.68 391.80 -50.30
16093 CSTENCT@EP1711D 20/11 258.68 391.80 -51.46
16407 HSTENCT@EP1711F 17/11 254.80 391.80 -53.77
16081 UBTENCT@EP1711C 17/11 244.78 391.80 -60.06
16107 GSTENCT@EP1711F 17/11 244.78 391.80 -60.06
16695 GSPINAN@EP1711F 22/11 47.98 77.85 -62.26
---------------------------------------------------------------------------
Remarks: (+) = In-the-Money
(-) = Out-the_Money