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

Code Name Last Trading Strike Price Underlying In/Out-
Date ($) ($) the-Money(%)
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13797 MBSUNAC@EC1810A 11/10 15.08 19.98 32.49
12350 GS-KECL@EC1810A 15/10 7.28 8.62 18.41
12526 CS-KECL@EC1810A 16/10 7.50 8.62 14.93
11844 HTCNOOC@EC1810A 11/10 12.88 14.28 10.87
22996 GS-CMOB@EC1810C 18/10 71.93 78.50 9.13
15191 GSCNOOC@EC1810C 18/10 14.20 14.28 0.56
11849 HTPETCH@EC1810A 12/10 6.00 5.99 -0.17
21481 UBSUNRT@EC1810A 15/10 9.38 9.35 -0.32
17223 CS-CRCH@EC1810B 15/10 8.01 7.93 -1.00
13638 MB-SZIH@EC1810A 12/10 15.28 14.62 -4.32
11850 HTPINAN@EC1810A 18/10 76.80 72.10 -6.12
11949 UBPINAN@EC1810C 11/10 76.88 72.10 -6.22
12332 CSPINAN@EC1810E 12/10 77.28 72.10 -6.70
14423 VT-SPA @EC1810B 15/10 89.93 82.45 -8.32
12202 GS-CRRC@EC1810A 12/10 7.48 6.81 -8.96
11869 CS-CRCH@EC1810A 11/10 8.78 7.93 -9.68
23523 GS-COVS@EC1810C 12/10 25.05 22.60 -9.78
12412 HT-CRRC@EC1810A 16/10 7.68 6.81 -11.33
18521 HSPINAN@EC1810B 18/10 81.33 72.10 -11.35
18124 UB-LINK@EC1810A 18/10 80.85 71.55 -11.50
12439 UB-CTIH@EC1810A 15/10 27.88 24.65 -11.59
12336 CSAVICN@EC1810A 12/10 5.28 4.57 -13.45
20361 UB-MTRC@EC1810A 18/10 45.59 39.30 -13.80
14533 GSPINAN@EC1810D 18/10 83.93 72.10 -14.10
22018 CS-HSBC@EC1810C 18/10 76.93 66.05 -14.14
13366 UB-HSBC@EC1810C 18/10 76.93 66.05 -14.14
19226 GS-HSBC@EC1810B 18/10 76.93 66.05 -14.14
12376 HT-GZPC@EC1810A 16/10 29.00 24.40 -15.86
17243 CSCITBK@EC1810A 18/10 5.69 4.76 -16.34
12419 HTAVICN@EC1810A 16/10 5.48 4.57 -16.61
12548 GSPICCG@EC1810A 18/10 4.08 3.39 -16.91
24783 CS-HKEX@EC1810G 18/10 238.58 196.70 -17.55
21881 GS-HKEX@EC1810I 18/10 238.58 196.70 -17.55
14246 GS-CMBC@EC1810A 18/10 6.66 5.42 -18.59
11969 BIBOCHK@EC1810A 18/10 42.05 34.10 -18.91
11983 CSBOCHK@EC1810B 18/10 42.05 34.10 -18.91
13402 GSBOCHK@EC1810B 18/10 42.05 34.10 -18.91
12723 BI-CMB @EC1810A 18/10 35.55 28.60 -19.55
16793 GS-CMB @EC1810B 18/10 35.55 28.60 -19.55
17241 CS-CMB @EC1810A 18/10 35.55 28.60 -19.55
12277 BI-CKH @EC1810A 18/10 102.12 81.90 -19.80
11867 CSPICCG@EC1810A 11/10 4.25 3.39 -20.24
22010 CS-CRL @EC1810B 18/10 30.35 24.20 -20.26
20724 UBCLIFE@EC1810B 15/10 20.93 16.66 -20.40
20775 CSCLIFE@EC1810C 15/10 20.93 16.66 -20.40
21376 GSCLIFE@EC1810C 15/10 20.93 16.66 -20.40
12472 GS-HSBC@EC1810A 18/10 86.91 66.05 -24.00
11871 CS-CUNI@EC1810A 11/10 11.68 8.81 -24.57
29377 UB-CGNP@EC1810A 15/10 2.38 1.79 -24.79
11588 HT-COVS@EC1810A 18/10 30.05 22.60 -24.79
28840 UB-CMBC@EC1810A 15/10 7.23 5.42 -25.07
13610 CSCP&CC@EC1810A 16/10 8.99 6.72 -25.25
12437 UB-BOCL@EC1810A 15/10 4.38 3.27 -25.34
29824 HT-CGNP@EC1810A 12/10 2.40 1.79 -25.42
14147 GSCP&CC@EC1810A 16/10 9.01 6.72 -25.42
13978 UBCP&CC@EC1810A 16/10 9.01 6.72 -25.42
19428 GS-ICBC@EC1810A 18/10 7.01 5.16 -26.39
22227 UBTENCT@EC1810G 15/10 368.20 267.00 -27.49
22692 VTTENCT@EC1810H 15/10 368.20 267.00 -27.49
22822 GSTENCT@EC1810J 15/10 368.20 267.00 -27.49
24956 JPTENCT@EC1810J 16/10 368.20 267.00 -27.49
14410 BI-PSBC@EC1810A 18/10 6.51 4.68 -28.11
12324 CS-WUXI@EC1810A 12/10 86.88 62.40 -28.18
15455 VT-CCB @EC1810B 18/10 8.51 6.09 -28.44
11955 UB-AIA @EC1810A 11/10 84.88 60.50 -28.72
11702 BI-SGC @EC1810A 15/10 51.88 36.75 -29.16
14796 UB-HKEX@EC1810E 18/10 278.10 196.70 -29.27
13073 GS-CCB @EC1810A 18/10 8.61 6.09 -29.27
12925 BI-CCB @EC1810A 18/10 8.61 6.09 -29.27
19028 UB-CCB @EC1810A 18/10 8.61 6.09 -29.27
14986 CS-HKEX@EC1810E 18/10 278.20 196.70 -29.30
12354 GS-AIA @EC1810A 15/10 85.88 60.50 -29.55
12445 VTTENCT@EC1810D 15/10 380.00 267.00 -29.74
18368 GSSTANC@EC1810A 18/10 83.93 58.85 -29.88
13438 UBAMCS3@EC1810A 18/10 51.20 35.75 -30.18
15346 HTAMCS3@EC1810A 18/10 51.20 35.75 -30.18
13620 GSAMCS3@EC1810A 18/10 51.20 35.75 -30.18
13808 HT-CSPC@EC1810B 15/10 21.93 15.08 -31.23
14225 CS-CSPC@EC1810B 15/10 21.93 15.08 -31.24
13555 HS-CSPC@EC1810A 15/10 21.93 15.08 -31.24
12937 BI-CSPC@EC1810A 15/10 21.93 15.08 -31.24
18289 CS-GAC @EC1810A 11/10 10.65 7.30 -31.45
19615 GS-GAC @EC1810A 11/10 10.65 7.30 -31.45
23308 UBCHNRE@EC1810A 16/10 2.03 1.39 -31.53
19568 HT-HKEX@EC1810C 11/10 288.88 196.70 -31.91
15977 SG-BRIC@EC1810A 18/10 15.90 10.76 -32.33
14378 GSSANDS@EC1810A 18/10 49.33 33.15 -32.80
17403 UBSANDS@EC1810A 18/10 49.33 33.15 -32.80
13249 JPEVERG@EC1810A 11/10 28.82 19.30 -33.03
13450 HSTENCT@EC1810C 15/10 400.18 267.00 -33.28
22803 JPTENCT@EC1810I 15/10 400.20 267.00 -33.28
19874 VTTENCT@EC1810G 15/10 400.20 267.00 -33.28
13695 GSTENCT@EC1810F 15/10 400.20 267.00 -33.28
17092 BITENCT@EC1810D 15/10 400.20 267.00 -33.28
12813 GSTENCT@EC1810A 12/10 406.08 267.00 -34.25
12950 UBTENCT@EC1810B 12/10 406.08 267.00 -34.25
20765 CSTENCT@EC1810F 12/10 406.08 267.00 -34.25
13019 JPTENCT@EC1810E 12/10 406.06 267.00 -34.25
12623 CSBYDEI@EC1810B 18/10 13.28 8.69 -34.56
11813 UB-HKEX@EC1810B 11/10 303.88 196.70 -35.27
12400 HT-BRIC@EC1810A 16/10 16.88 10.76 -36.26
22215 HT-HKEX@EC1810E 11/10 311.88 196.70 -36.93
23302 UBTINGY@EC1810A 16/10 19.88 12.46 -37.32
11996 CSCSHCL@EC1810A 11/10 4.63 2.88 -37.80
23033 UBXINYI@EC1810A 15/10 14.38 8.83 -38.60
11868 CS-CRBH@EC1810A 11/10 44.88 27.30 -39.17
17481 CSFOSUN@EC1810A 18/10 19.70 11.98 -39.19
11411 BIFOSUN@EC1810A 18/10 19.70 11.98 -39.19
18355 GSFOSUN@EC1810B 18/10 19.70 11.98 -39.19
12413 HTCSHCL@EC1810A 16/10 4.75 2.88 -39.37
11997 CS-CSDC@EC1810A 11/10 1.55 0.92 -40.65
22265 UBAGILE@EC1810A 16/10 15.02 8.82 -41.28
11998 CSEVERG@EC1810A 11/10 32.88 19.30 -41.30
17812 HT-SMIC@EC1810A 11/10 11.88 6.92 -41.75
20526 GS-CGDN@EC1810A 18/10 13.84 7.98 -42.33
13220 GSGEELY@EC1810B 11/10 22.43 12.90 -42.49
13062 CSGEELY@EC1810B 11/10 22.43 12.90 -42.49
11592 HTTENCT@EC1810B 11/10 468.88 267.00 -43.06
11999 CS-CICC@EC1810A 11/10 20.98 11.88 -43.37
20171 HT-GEG @EC1810B 18/10 76.05 42.80 -43.72
19830 GS-GEG @EC1810B 18/10 76.05 42.80 -43.72
12327 CSANTAS@EC1810A 12/10 54.38 30.35 -44.19
12108 CS-BRIC@EC1810A 15/10 19.38 10.76 -44.48
12403 HT-BRIC@EC1810B 15/10 19.40 10.76 -44.54
18335 BICLIFE@EC1810A 15/10 30.05 16.66 -44.56
21772 UBCLIFE@EC1810A 18/10 30.05 16.66 -44.56
23684 GS-CGDN@EC1810B 18/10 14.66 7.98 -45.56
25166 HT-CGDN@EC1810B 11/10 14.75 7.98 -45.91
22137 CSCLIFE@EC1810B 16/10 31.05 16.66 -46.34
12375 HT-CTCM@EC1810B 16/10 8.38 4.48 -46.54
21146 UBLEE&M@EC1810A 18/10 12.60 6.67 -47.06
12371 HT-SPHG@EC1810A 16/10 3.00 1.56 -48.00
24046 CSGFSEC@EC1810A 12/10 17.28 8.96 -48.15
13363 GSGEELY@EC1810C 15/10 24.93 12.90 -48.26
11709 BI-CNBM@EC1810A 15/10 11.48 5.91 -48.52
13428 UBGEELY@EC1810C 18/10 25.43 12.90 -49.27
12634 GSGEELY@EC1810A 18/10 25.43 12.90 -49.27
13821 BIGEELY@EC1810B 15/10 25.65 12.90 -49.71
13726 CSGEELY@EC1810C 15/10 25.65 12.90 -49.71
11665 HT-BBMG@EC1810A 11/10 4.68 2.32 -50.43
11866 CS-BAIC@EC1810A 11/10 10.38 5.11 -50.77
12370 HT-WHG @EC1810A 16/10 11.98 5.84 -51.25
19143 CS3SBIO@EC1810A 16/10 23.33 11.34 -51.39
25156 HTKINGB@EC1810A 11/10 48.48 22.95 -52.66
12420 HT-SUNY@EC1810C 16/10 151.08 71.30 -52.81
20925 HT-CGDN@EC1810A 11/10 16.98 7.98 -52.99
11707 BI-SBPH@EC1810A 15/10 13.25 6.19 -53.29
14360 UB3SBIO@EC1810A 18/10 25.05 11.34 -54.73
23305 UBGFSEC@EC1810A 16/10 19.88 8.96 -54.93
12451 CS-WYNN@EC1810A 15/10 35.37 15.92 -54.99
12247 UBMELCO@EC1810A 12/10 31.88 14.08 -55.83
29010 HT-GWMC@EC1810A 11/10 10.68 4.65 -56.46
21145 UBNTRAG@EC1810A 15/10 23.88 10.32 -56.78
12233 UB-WYNN@EC1810A 12/10 38.01 15.92 -58.11
17884 JP-GWMC@EC1810B 18/10 12.90 4.65 -63.95
27329 HT-FDG @EC1810A 11/10 0.60 0.08 -87.50
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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(%)
---------------------------------------------------------------------------
19043 UBTENCT@EP1810F 12/10 405.68 267.00 34.18
18663 GSTENCT@EP1810I 18/10 383.68 267.00 30.41
11138 UB-BYD @EP1810A 15/10 53.88 47.50 11.84
13176 UB-AIA @EP1810B 18/10 65.60 60.50 7.77
14151 GS-AIA @EP1810C 18/10 65.60 60.50 7.77
13872 CS-AIA @EP1810B 18/10 63.83 60.50 5.22
19317 CSPINAN@EP1810F 16/10 74.63 72.10 3.39
13207 GS-AIA @EP1810B 18/10 61.95 60.50 2.34
11812 UBPETCH@EP1810A 11/10 5.18 5.99 -15.64
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Remarks: (+) = In-the-Money
(-) = Out-the_Money