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

Code Name Last Trading Strike Price Underlying In/Out-
Date ($) ($) the-Money(%)
----------------------------------------------------------------------------
16161 HSGEELY@EC1711C 24/11 9.28 27.45 195.80
27172 HSGEELY@EC1711A 24/11 9.78 27.45 180.67
26815 HT-GAC @EC1711A 21/11 8.20 20.70 152.44
12261 SGGEELY@EC1711B 21/11 11.78 27.45 133.02
14524 HS-AAC @EC1711A 24/11 83.88 173.30 106.60
15378 HS-SUNY@EC1711A 24/11 71.88 142.00 97.55
11783 BI-AAC @EC1711A 21/11 87.90 173.30 97.16
17214 GSTENCT@EC1711A 22/11 210.20 403.40 91.91
25440 GSCSHEN@EC1711A 24/11 10.53 19.08 81.25
11679 UB-ZTE @EC1711A 22/11 15.80 28.00 77.22
15567 HS-AAC @EC1711B 23/11 98.83 173.30 75.35
28311 UB-AAC @EC1711A 22/11 98.93 173.30 75.17
14646 BI-AAC @EC1711B 22/11 98.93 173.30 75.17
14507 HT-AAC @EC1711A 22/11 98.93 173.30 75.17
15207 HSPINAN@EC1711A 24/11 46.00 78.85 71.41
14202 HTTENCT@EC1711B 22/11 238.00 403.40 69.50
29522 GSTENCT@EC1711B 22/11 238.88 403.40 68.87
12232 HSTENCT@EC1711A 20/11 239.08 403.40 68.73
13138 BITENCT@EC1711A 21/11 239.08 403.40 68.73
15148 GSPINAN@EC1711B 21/11 46.93 78.85 68.02
28277 GSPINAN@EC1711A 21/11 48.88 78.85 61.31
20872 HTPINAN@EC1711A 23/11 48.88 78.85 61.31
16069 HSPINAN@EC1711B 24/11 49.38 78.85 59.68
14717 GSTENCT@EC1711C 21/11 258.20 403.40 56.24
15870 GSTENCT@EC1711D 24/11 264.88 403.40 52.30
18486 HSTENCT@EC1711H 22/11 268.80 403.40 50.07
18158 BITENCT@EC1711E 22/11 268.98 403.40 49.97
18114 GSTENCT@EC1711I 22/11 269.08 403.40 49.92
29939 HT-CGHL@EC1711A 22/11 15.02 22.15 47.47
16177 UBPINAN@EC1711C 22/11 54.00 78.85 46.02
16094 CSTENCT@EC1711E 24/11 286.68 403.40 40.71
16416 GSTENCT@EC1711G 17/11 286.88 403.40 40.62
16133 UBTENCT@EC1711E 21/11 287.30 403.40 40.41
16242 CSPINAN@EC1711B 24/11 56.38 78.85 39.85
16475 JPPINAN@EC1711C 24/11 56.40 78.85 39.80
16668 HSPINAN@EC1711D 17/11 56.43 78.85 39.73
16694 GSPINAN@EC1711E 17/11 56.43 78.85 39.73
16881 CSTENCT@EC1711G 22/11 300.20 403.40 34.38
16716 BIPINAN@EC1711C 21/11 58.73 78.85 34.26
17946 CSPINAN@EC1711D 24/11 58.73 78.85 34.26
16771 GSPINAN@EC1711G 22/11 58.85 78.85 33.98
16705 UB-CNBM@EC1711A 21/11 5.51 7.28 32.12
16068 HSTENCT@EC1711C 20/11 308.88 403.40 30.60
15558 HS-GEG @EC1711A 24/11 42.88 55.70 29.90
29536 CS-CUNI@EC1711A 22/11 8.99 11.66 29.70
12105 UB-CUNI@EC1711A 22/11 8.99 11.66 29.70
28456 GS-CUNI@EC1711A 22/11 8.99 11.66 29.70
13171 CSFOSUN@EC1711A 24/11 13.28 17.06 28.46
22646 HTFOSUN@EC1711A 24/11 13.28 17.06 28.46
15587 BITENCT@EC1711B 24/11 316.08 403.40 27.63
16779 GS-CKA @EC1711A 23/11 51.88 65.10 25.48
13188 UBFOSUN@EC1711A 21/11 13.68 17.06 24.71
18155 BI-ICBC@EC1711C 22/11 5.09 6.19 21.61
18809 GS-ICBC@EC1711D 22/11 5.09 6.19 21.61
24754 GS-GEG @EC1711A 21/11 46.51 55.70 19.76
14477 HT-ICBC@EC1711B 21/11 5.19 6.19 19.31
14651 BI-ICBC@EC1711A 21/11 5.19 6.19 19.27
15595 UB-ICBC@EC1711A 21/11 5.19 6.19 19.27
14797 CS-ICBC@EC1711B 21/11 5.19 6.19 19.27
17115 GS-ICBC@EC1711C 21/11 5.19 6.19 19.27
11990 HTJIANC@EC1711A 20/11 9.89 11.66 17.90
25892 HSJIANC@EC1711A 21/11 9.89 11.66 17.90
16961 GSCNOOC@EC1711B 22/11 9.01 10.60 17.65
15820 GSKSOFT@EC1711A 23/11 17.80 20.85 17.13
11805 JPAIRCN@EC1711A 24/11 7.00 8.18 16.86
15873 GS-ICBC@EC1711B 21/11 5.30 6.19 16.79
12673 HTAIRCN@EC1711A 21/11 7.01 8.18 16.69
27627 JP-CUNI@EC1711A 24/11 10.00 11.66 16.60
28256 HSTENCT@EC1711I 21/11 346.08 403.40 16.56
28559 GSTENCT@EC1711L 21/11 346.08 403.40 16.56
27591 HT-CUNI@EC1711A 23/11 10.02 11.66 16.37
23759 GSTENCT@EC1711J 21/11 350.20 403.40 15.19
29944 HTBOCHK@EC1711A 24/11 32.28 37.15 15.09
16249 CS-NCI @EC1711A 24/11 47.28 53.55 13.26
16801 GSCSA50@EC1711A 21/11 13.92 15.74 13.07
17045 UBCSA50@EC1711A 21/11 13.92 15.74 13.07
16802 GSFTA50@EC1711A 21/11 13.60 15.26 12.21
21511 GS-HKEX@EC1711A 22/11 208.88 233.80 11.93
27823 BI-HKEX@EC1711A 22/11 209.00 233.80 11.87
16123 CS-GR&F@EC1711A 21/11 15.48 17.24 11.37
15937 CS-COVS@EC1711A 24/11 21.48 23.85 11.03
15355 GS-HSBC@EC1711A 21/11 68.00 75.25 10.66
14456 HT-HSBC@EC1711A 22/11 68.00 75.25 10.66
27689 HS-HKEX@EC1711A 24/11 211.80 233.80 10.39
27567 GS-HKEX@EC1711B 21/11 212.00 233.80 10.28
29164 HT-HKEX@EC1711A 22/11 212.00 233.80 10.28
28155 HTTENCT@EC1711E 21/11 366.08 403.40 10.19
26415 GSTENCT@EC1711K 21/11 366.08 403.40 10.19
29121 HSTENCT@EC1711J 21/11 366.08 403.40 10.19
25418 UBTENCT@EC1711G 21/11 366.08 403.40 10.19
25666 JPTENCT@EC1711I 24/11 366.08 403.40 10.19
17722 JPFTA50@EC1711A 24/11 13.90 15.26 9.78
16565 HS-ICBC@EC1711B 21/11 5.77 6.19 7.28
26144 JP-ICBC@EC1711C 24/11 5.77 6.19 7.28
14930 UBCLIFE@EC1711B 22/11 25.05 26.85 7.19
20834 HSCLIFE@EC1711B 22/11 25.05 26.85 7.19
16921 CSCLIFE@EC1711C 22/11 25.05 26.85 7.19
16885 GSCLIFE@EC1711C 22/11 25.05 26.85 7.19
16293 GS-COVS@EC1711A 17/11 22.27 23.85 7.09
18400 HS-COVS@EC1711A 17/11 22.27 23.85 7.09
28651 HT-ICBC@EC1711A 22/11 5.78 6.19 7.09
28360 JP-CKH @EC1711A 24/11 91.88 98.25 6.93
26673 HS-CKH @EC1711A 24/11 91.90 98.25 6.91
28491 GS-CKH @EC1711A 22/11 91.92 98.25 6.89
27952 UB-CKH @EC1711A 22/11 91.93 98.25 6.87
11806 JP-COSL@EC1711A 22/11 6.89 7.33 6.39
29172 GSCSA50@EC1711B 23/11 14.90 15.74 5.64
17136 CSCSA50@EC1711A 24/11 14.90 15.74 5.64
17069 HTCSA50@EC1711A 24/11 14.90 15.74 5.64
24669 HSSTANC@EC1711A 24/11 70.60 74.25 5.17
11505 UBCNOOC@EC1711A 22/11 10.12 10.60 4.74
24713 EA-CNBM@EC1711A 23/11 6.99 7.28 4.15
15744 GS-AIA @EC1711A 24/11 63.38 65.90 3.98
16166 HSSANDS@EC1711A 24/11 34.88 36.25 3.93
26214 HT-GEG @EC1711A 24/11 53.93 55.70 3.29
16715 BI-GEG @EC1711C 21/11 53.93 55.70 3.28
15002 CS-CUNI@EC1711B 24/11 11.38 11.66 2.46
17111 GS-BOCL@EC1711B 21/11 3.69 3.78 2.44
18472 UB-CUNI@EC1711B 17/11 11.40 11.66 2.28
20587 GS-CUNI@EC1711B 17/11 11.40 11.66 2.28
27392 HTCLIFE@EC1711A 22/11 26.28 26.85 2.17
15334 CSCLIFE@EC1711A 22/11 26.33 26.85 1.97
17017 UB-CGS @EC1711A 21/11 6.28 6.40 1.91
26671 HS-CGS @EC1711A 24/11 6.29 6.40 1.75
16255 CS-L&F @EC1711A 24/11 3.61 3.66 1.39
26658 GS-AIA @EC1711B 21/11 65.05 65.90 1.31
25436 UB-AIA @EC1711B 21/11 65.05 65.90 1.31
26360 CS-AIA @EC1711B 21/11 65.05 65.90 1.31
28328 CSTENCT@EC1711H 24/11 399.99 403.40 0.85
29439 GSTENCT@EC1711M 21/11 400.08 403.40 0.83
28425 BITENCT@EC1711F 21/11 400.08 403.40 0.83
15719 BI-HSBC@EC1711B 22/11 75.05 75.25 0.27
16929 UBPETCH@EC1711A 21/11 5.19 5.20 0.19
17005 GSPETCH@EC1711A 21/11 5.19 5.20 0.19
16778 BI-CCB @EC1711B 24/11 6.80 6.81 0.15
18234 BICITSE@EC1711A 21/11 16.88 16.82 -0.36
29072 CS-HKEX@EC1711A 22/11 235.18 233.80 -0.59
28774 UB-HKEX@EC1711A 22/11 235.20 233.80 -0.60
27896 GS-HKEX@EC1711D 22/11 235.20 233.80 -0.60
28673 BI-HKEX@EC1711B 22/11 235.20 233.80 -0.60
16044 CS-CCB @EC1711A 24/11 6.88 6.81 -1.02
16342 UB-CCB @EC1711B 17/11 6.89 6.81 -1.16
16476 GS-CCB @EC1711A 17/11 6.89 6.81 -1.16
28656 HTSANDS@EC1711A 21/11 36.80 36.25 -1.49
28322 HSCLIFE@EC1711A 24/11 27.38 26.85 -1.94
16505 GSCLIFE@EC1711B 17/11 27.43 26.85 -2.11
16576 CS-HSBC@EC1711C 21/11 76.93 75.25 -2.18
15931 UB-HSBC@EC1711A 21/11 76.93 75.25 -2.18
17662 HT-HSBC@EC1711B 21/11 76.93 75.25 -2.18
16262 GS-HSBC@EC1711B 21/11 76.93 75.25 -2.18
17546 JP-HSBC@EC1711B 24/11 76.93 75.25 -2.18
16053 CSMEITU@EC1711B 17/11 11.48 11.10 -3.31
16181 SGMEITU@EC1711B 22/11 11.50 11.10 -3.48
16924 JPMEITU@EC1711B 24/11 11.50 11.10 -3.48
17567 CS-CMOB@EC1711B 21/11 81.20 78.15 -3.75
16791 UBSANDS@EC1711B 21/11 37.93 36.25 -4.43
17935 GSSANDS@EC1711B 21/11 37.93 36.25 -4.43
17467 CSSANDS@EC1711A 21/11 37.93 36.25 -4.43
26249 HTSANDS@EC1711C 24/11 37.94 36.25 -4.45
17191 GS-AGBK@EC1711A 20/11 3.79 3.62 -4.49
27935 BI-AGBK@EC1711A 21/11 3.79 3.62 -4.49
23073 JP-AGBK@EC1711A 24/11 3.79 3.62 -4.49
27842 UBSPDRG@EC1711A 22/11 1000.00 950.50 -4.95
16175 UB-MTRC@EC1711A 22/11 47.88 45.35 -5.28
16757 UBCKINF@EC1711A 22/11 72.05 68.20 -5.34
26368 CSCKINF@EC1711B 24/11 72.05 68.20 -5.34
17621 GS-HSBC@EC1711E 22/11 80.05 75.25 -6.00
26376 CS-HSBC@EC1711E 22/11 80.05 75.25 -6.00
17603 BI-HSBC@EC1711D 24/11 80.05 75.25 -6.00
16159 HS-CMBC@EC1711A 24/11 8.00 7.51 -6.13
19301 HS-CMOB@EC1711A 22/11 83.46 78.15 -6.36
18440 UB-CMOB@EC1711C 21/11 83.56 78.15 -6.47
16738 GS-CMOB@EC1711B 21/11 83.56 78.15 -6.47
18473 BI-CMOB@EC1711B 23/11 83.56 78.15 -6.47
16176 UBMEITU@EC1711B 22/11 11.88 11.10 -6.57
16112 HSMEITU@EC1711A 23/11 11.88 11.10 -6.57
25065 JPCEAIR@EC1711A 24/11 4.68 4.36 -6.84
12380 CSKSOFT@EC1711A 24/11 22.38 20.85 -6.84
23603 GS-HKEX@EC1711C 21/11 251.08 233.80 -6.88
24134 HT-HKEX@EC1711B 24/11 251.08 233.80 -6.88
16118 HSSTANC@EC1711B 23/11 79.88 74.25 -7.05
29008 CS-HSBC@EC1711A 24/11 81.98 75.25 -8.21
26109 JP-HSBC@EC1711C 17/11 82.02 75.25 -8.25
18117 GS-HSBC@EC1711F 17/11 82.03 75.25 -8.27
17646 UB-HSBC@EC1711E 24/11 82.03 75.25 -8.27
22201 HT-HSBC@EC1711C 24/11 82.03 75.25 -8.27
28905 HT-CCB @EC1711A 22/11 7.50 6.81 -9.20
16521 GS-CCB @EC1711B 21/11 7.51 6.81 -9.32
28521 BI-CCB @EC1711A 21/11 7.51 6.81 -9.32
12832 UB-CCB @EC1711A 21/11 7.51 6.81 -9.32
26397 GS-COVS@EC1711B 22/11 26.55 23.85 -10.17
16036 BI-CKH @EC1711A 23/11 110.00 98.25 -10.68
27924 HT-CRL @EC1711A 20/11 24.98 22.00 -11.93
21316 BIJIANC@EC1711A 22/11 13.30 11.66 -12.33
12178 CS-CTEL@EC1711A 24/11 4.40 3.85 -12.50
16055 UBSTANC@EC1711A 17/11 84.88 74.25 -12.52
13505 BISANDS@EC1711A 21/11 41.45 36.25 -12.55
14481 HTSANDS@EC1711B 21/11 41.46 36.25 -12.57
16701 UBSANDS@EC1711A 21/11 41.46 36.25 -12.57
15814 UB-CTEL@EC1711A 17/11 4.41 3.85 -12.70
17044 UBCP&CC@EC1711A 21/11 6.29 5.48 -12.88
24747 GSCP&CC@EC1711A 21/11 6.29 5.48 -12.88
28880 HT-GOME@EC1711A 22/11 1.08 0.94 -12.96
16523 UB-AGBK@EC1711A 21/11 4.19 3.62 -13.60
28478 UB-BOCL@EC1711A 21/11 4.39 3.78 -13.90
28563 GS-BOCL@EC1711A 23/11 4.39 3.78 -13.90
16383 UBBOCOM@EC1711A 21/11 6.76 5.82 -13.91
24460 GS-CMOB@EC1711A 21/11 91.52 78.15 -14.61
23734 UB-CMOB@EC1711A 21/11 91.57 78.15 -14.66
28255 JPCITBK@EC1711A 24/11 6.00 5.02 -16.33
15971 HT-CRRC@EC1711A 24/11 8.68 7.15 -17.63
17471 CS-CRRC@EC1711A 24/11 8.69 7.15 -17.72
14478 HTCCCCL@EC1711A 21/11 10.77 8.80 -18.29
14873 HSCCCCL@EC1711A 21/11 10.77 8.80 -18.29
24198 HTCSHIP@EC1711A 24/11 5.25 4.21 -19.81
27366 HTLENOV@EC1711A 24/11 5.59 4.44 -20.57
27507 HTCCOAL@EC1711A 22/11 4.41 3.49 -20.86
29113 GSCRAIL@EC1711A 21/11 7.50 5.87 -21.73
16887 GSLENOV@EC1711A 21/11 5.69 4.44 -21.97
24478 UBLENOV@EC1711A 21/11 5.69 4.44 -21.97
16038 BIMEITU@EC1711A 21/11 14.38 11.10 -22.81
16115 HS-IGG @EC1711A 23/11 13.28 9.48 -28.61
14872 HS-CRCC@EC1711A 21/11 13.52 9.11 -32.62
14407 CS-CRCC@EC1711A 24/11 13.52 9.11 -32.62
22581 JP-HUAP@EC1711A 24/11 8.88 5.39 -39.30
27533 GS-HUAP@EC1711A 17/11 8.89 5.39 -39.37
22737 HS-L&F @EC1711A 21/11 7.99 3.66 -54.19
22484 JP-L&F @EC1711A 24/11 8.00 3.66 -54.25
---------------------------------------------------------------------------
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 5.20 -5.48
16642 CSCLIFE@EP1711B 22/11 24.95 26.85 -7.62
16471 UBCLIFE@EP1711C 22/11 24.95 26.85 -7.62
15717 BISANDS@EP1711B 21/11 32.28 36.25 -12.30
15930 CS-HSBC@EP1711B 24/11 65.48 75.25 -14.92
12890 UBCLIFE@EP1711A 20/11 23.18 26.85 -15.83
16588 GS-HSBC@EP1711C 22/11 63.98 75.25 -17.61
15536 BI-HSBC@EP1711A 21/11 62.00 75.25 -21.37
28164 JPCNOOC@EP1711A 24/11 8.50 10.60 -24.71
11269 BICNOOC@EP1711A 24/11 8.50 10.60 -24.71
26812 HSCNOOC@EP1711A 24/11 8.49 10.60 -24.85
16067 HS-AIA @EP1711A 24/11 51.88 65.90 -27.02
22368 UB-AIA @EP1711A 17/11 51.83 65.90 -27.15
16468 UB-ICBC@EP1711C 22/11 4.59 6.19 -34.86
11954 JPTRAHK@EP1711A 24/11 20.50 29.35 -43.17
16212 BITENCT@EP1711D 24/11 275.00 403.40 -46.69
16726 UBTENCT@EP1711F 21/11 268.88 403.40 -50.03
16411 HSTENCT@EP1711G 21/11 268.88 403.40 -50.03
16739 GSTENCT@EP1711H 21/11 268.48 403.40 -50.25
16724 CSTENCT@EP1711F 21/11 268.48 403.40 -50.25
17679 HTTENCT@EP1711D 21/11 260.88 403.40 -54.63
16165 HSTENCT@EP1711D 21/11 260.68 403.40 -54.75
16083 UBTENCT@EP1711D 24/11 258.88 403.40 -55.83
16093 CSTENCT@EP1711D 20/11 258.68 403.40 -55.95
16100 GSTENCT@EP1711E 24/11 255.00 403.40 -58.20
16407 HSTENCT@EP1711F 17/11 254.80 403.40 -58.32
16695 GSPINAN@EP1711F 22/11 47.98 78.85 -64.34
15743 CSTENCT@EP1711C 24/11 244.98 403.40 -64.67
16107 GSTENCT@EP1711F 17/11 244.78 403.40 -64.80
16081 UBTENCT@EP1711C 17/11 244.78 403.40 -64.80
16190 CSPINAN@EP1711A 24/11 44.08 78.85 -78.88
16072 HSPINAN@EP1711C 24/11 43.88 78.85 -79.69
---------------------------------------------------------------------------
Remarks: (+) = In-the-Money
(-) = Out-the_Money