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Transcript of SHARES - TIERED MARGINS - Sharenet
SHARES - TIERED MARGINS
Shares - Tiered Margins, November 2016
Page 1 of 103
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
CBA.AX Commonwealth Bank of Australia Australia 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
ANZ.AX Australia & New Zealand Banking Group Ltd Australia 0-60,000 5% 60,000-315,000 10% 315,000-1,260,000 20% 40% >1,260,000 75%
BHP.AX BHP Billiton Ltd (ASX) Australia 0-80,000 5% 80,000-420,000 10% 420,000-1,680,000 20% 40% >1,680,000 75%
CSL.AX CSL Ltd Australia 0-8,000 5% 8,000-80,000 10% 80,000-336,000 20% 40% >336,000 75%
WBC.AX Westpac Banking Corp Australia 0-50,000 5% 50,000-287,500 10% 287,500-1,150,000 20% 40% >1,150,000 75%
NAB.AX National Australia Bank Ltd Australia 0-50,000 5% 50,000-312,500 10% 312,500-1,250,000 20% 40% >1,250,000 75%
TLS.AX Telstra Corp Ltd Australia 0-210,000 5% 210,000-1,680,000 10% 1,680,000-6,720,000 20% 40% >6,720,000 75%
RIO.AX Rio Tinto Ltd Australia 0-20,000 5% 20,000-180,000 10% 180,000-720,000 20% 40% >720,000 75%
WES.AX Wesfarmers Ltd Australia 0-20,000 5% 20,000-200,000 10% 200,000-800,000 20% 40% >800,000 75%
FMG.AX Fortescue Metals Group Ltd Australia 0-170,000 5% 170,000-1,487,500 10% 1,487,500-6,800,000 20% 40% >6,800,000 75%
MQG.AX Macquarie Group Ltd Australia 0-10,000 5% 10,000-100,000 10% 100,000-410,000 20% 40% >410,000 75%
NCM.AX Newcrest Mining Ltd Australia 0-35,000 5% 35,000-350,000 10% 350,000-1,470,000 20% 40% >1,470,000 75%
WOW.AX Woolworths Ltd Australia 0-30,000 5% 30,000-300,000 10% 300,000-1,410,000 20% 40% >1,410,000 75%
WPL.AX Woodside Petroleum Ltd Australia 0-25,000 5% 25,000-250,000 10% 250,000-1,200,000 20% 40% >1,200,000 75%
QAN.AX Qantas Airways Ltd Australia 0-180,000 10% 180,000-1,980,000 20% 1,980,000-5,580,000 35% 45% >5,580,000 75%
BSL.AX BlueScope Steel Ltd Australia 0-70,000 10% 70,000-700,000 20% 700,000-2,030,000 35% 45% >2,030,000 75%
VCX.AX Vicinity Centers Australia 0-160,000 10% 160,000-960,000 20% 960,000-3,200,000 35% 45% >3,200,000 75%
AMC.AX Amcor Ltd Australia 0-30,000 5% 30,000-300,000 10% 300,000-1,500,000 20% 40% >1,500,000 75%
JBH.AX JB Hi-Fi Ltd Australia 0-15,000 10% 15,000-150,000 20% 150,000-375,000 35% 45% >375,000 75%
SCG.AX Scentre Group Australia 0-100,000 5% 100,000-1,000,000 10% 1,000,000-6,000,000 20% 40% >6,000,000 75%
DMP.AX Domino's Pizza Enterprises Ltd Australia 0-6,000 10% 6,000-60,000 20% 60,000-180,000 35% 45% >180,000 75%
TCL.AX Transurban Group Australia 0-40,000 5% 40,000-400,000 10% 400,000-2,520,000 20% 40% >2,520,000 75%
CIM.AX CIMIC Group Ltd Australia 0-15,000 10% 15,000-150,000 20% 150,000-375,000 35% 45% >375,000 75%
EVN.AX Evolution Mining Ltd Australia 0-170,000 10% 170,000-510,000 20% 510,000-1,530,000 35% 45% >1,530,000 75%
S32.AX South32 Ltd (ASX) Australia 0-200,000 5% 200,000-2,000,000 10% 2,000,000-10,000,000 20% 40% >10,000,000 75%
CGF.AX Challenger Ltd Australia 0-45,000 10% 45,000-450,000 20% 450,000-1,485,000 35% 45% >1,485,000 75%
NST.AX Northern Star Resources Ltd Australia 0-90,000 10% 90,000-900,000 20% 900,000-2,520,000 35% 45% >2,520,000 75%
GPT.AX GPT Group Australia 0-80,000 10% 80,000-800,000 20% 800,000-2,480,000 35% 45% >2,480,000 75%
RMD.AX ResMed Inc (ASX) Australia 0-45,000 10% 45,000-225,000 20% 225,000-450,000 35% 45% >450,000 75%
CCL.AX Coca-Cola Amatil Ltd Australia 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
WFD.AX Westfield Group Australia 0-40,000 5% 40,000-400,000 10% 400,000-2,520,000 20% 40% >2,520,000 75%
QBE.AX QBE Insurance Group Ltd Australia 0-40,000 5% 40,000-400,000 10% 400,000-2,520,000 20% 40% >2,520,000 75%
CYB.AX CYBG PLC Australia 0-80,000 10% 80,000-480,000 20% 480,000-1,200,000 35% 45% >1,200,000 75%
SUN.AX Suncorp Group Ltd Australia 0-30,000 5% 30,000-300,000 10% 300,000-2,010,000 20% 40% >2,010,000 75%
BEN.AX Bendigo and Adelaide Bank Ltd Australia 0-35,000 10% 35,000-350,000 20% 350,000-980,000 35% 45% >980,000 75%
APA.AX APA Group Australia 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
BXB.AX Brambles Ltd Australia 0-30,000 5% 30,000-300,000 10% 300,000-2,010,000 20% 40% >2,010,000 75%
ORI.AX Orica Ltd Australia 0-25,000 10% 25,000-250,000 20% 250,000-800,000 35% 45% >800,000 75%
CWN.AX Crown Resorts Ltd Australia 0-25,000 10% 25,000-250,000 20% 250,000-700,000 35% 45% >700,000 75%
HGG.AX Henderson Group PLC Australia 0-80,000 10% 80,000-400,000 20% 400,000-800,000 35% 45% >800,000 75%
VOC.AX Vocus Communications Ltd Australia 0-45,000 10% 45,000-450,000 20% 450,000-1,485,000 35% 45% >1,485,000 75%
IPL.AX Incitec Pivot Ltd Australia 0-120,000 10% 120,000-990,000 20% 990,000-3,480,000 35% 45% >3,480,000 75%
MIN.AX Mineral Resources Ltd Australia 0-30,000 10% 30,000-300,000 20% 300,000-870,000 35% 45% >870,000 75%
STO.AX Santos Ltd Australia 0-80,000 10% 80,000-800,000 20% 800,000-5,040,000 35% 45% >5,040,000 75%
HSO.AX Healthscope Ltd Australia 0-110,000 10% 110,000-990,000 20% 990,000-3,520,000 35% 45% >3,520,000 75%
CTX.AX Caltex Australia Ltd Australia 0-10,000 5% 10,000-100,000 10% 100,000-630,000 20% 40% >630,000 75%
WOR.AX WorleyParsons Ltd Australia 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
ANN.AX Ansell Ltd Australia 0-15,000 10% 15,000-150,000 20% 150,000-405,000 35% 45% >405,000 75%
BOQ.AX Bank of Queensland Ltd Australia 0-30,000 10% 30,000-300,000 20% 300,000-900,000 35% 45% >900,000 75%
AMP.AX AMP Ltd Australia 0-60,000 5% 60,000-600,000 10% 600,000-4,020,000 20% 40% >4,020,000 75%
OSH.AX Oil Search Ltd Australia 0-50,000 5% 50,000-500,000 10% 500,000-3,000,000 20% 40% >3,000,000 75%
RRL.AX Regis Resources Ltd Australia 0-80,000 15% 80,000-800,000 25% 800,000-2,480,000 40% 55% >2,480,000 75%
FLT.AX Flight Centre Travel Group Ltd Australia 0-9,000 10% 9,000-90,000 20% 90,000-252,000 35% 45% >252,000 75%
RHC.AX Ramsay Health Care Ltd Australia 0-4,000 5% 4,000-40,000 10% 40,000-232,000 20% 40% >232,000 75%
BLD.AX Boral Ltd Australia 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
SEK.AX Seek Ltd Australia 0-20,000 10% 20,000-200,000 20% 200,000-560,000 35% 45% >560,000 75%
AWC.AX Alumina Ltd Australia 0-220,000 10% 220,000-1,980,000 20% 1,980,000-6,600,000 35% 45% >6,600,000 75%
ORG.AX Origin Energy Ltd Australia 0-60,000 5% 60,000-600,000 10% 600,000-3,480,000 20% 40% >3,480,000 75%
BKL.AX Blackmores Ltd Australia 0-2,500 10% 2,500-25,000 20% 25,000-75,000 35% 45% >75,000 75%
AZJ.AX Aurizon Holdings Ltd Australia 0-70,000 5% 70,000-700,000 10% 700,000-3,990,000 20% 40% >3,990,000 75%
ILU.AX Iluka Resources Ltd Australia 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
DUE.AX DUET Group Australia 0-120,000 10% 120,000-990,000 20% 990,000-3,480,000 35% 45% >3,480,000 75%
CPU.AX Computershare Ltd Australia 0-30,000 10% 30,000-300,000 20% 300,000-870,000 35% 45% >870,000 75%
TAH.AX Tabcorp Holdings Ltd Australia 0-60,000 10% 60,000-600,000 20% 600,000-1,500,000 35% 45% >1,500,000 75%
IGO.AX Independence Group NL Australia 0-70,000 10% 70,000-700,000 20% 700,000-2,030,000 35% 45% >2,030,000 75%
REA.AX REA Group Ltd Australia 0-5,000 10% 5,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
SYD.AX Sydney Airport Australia 0-40,000 5% 40,000-400,000 10% 400,000-2,520,000 20% 40% >2,520,000 75%
TWE.AX Treasury Wine Estates Ltd Australia 0-25,000 5% 25,000-250,000 10% 250,000-1,500,000 20% 40% >1,500,000 75%
SGP.AX Stockland Australia 0-60,000 5% 60,000-600,000 10% 600,000-3,480,000 20% 40% >3,480,000 75%
COH.AX Cochlear Ltd Australia 0-2,000 10% 2,000-20,000 20% 20,000-110,000 35% 45% >110,000 75%
SBM.AX St Barbara Ltd Australia 0-90,000 15% 90,000-900,000 25% 900,000-2,520,000 40% 55% >2,520,000 75%
IAG.AX Insurance Australia Group Ltd Australia 0-50,000 5% 50,000-500,000 10% 500,000-3,000,000 20% 40% >3,000,000 75%
TTS.AX Tatts Group Ltd Australia 0-35,000 15% 35,000-210,000 25% 210,000-420,000 40% 55% >420,000 75%
A2M.AX a2 Milk Co Ltd Australia 0-130,000 20% 130,000-780,000 30% 780,000-2,600,000 50% 60% >2,600,000 75%
GMG.AX Goodman Group Australia 0-35,000 5% 35,000-350,000 10% 350,000-1,995,000 20% 40% >1,995,000 75%
OZL.AX OZ Minerals Ltd Australia 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
TPM.AX TPG Telecom Ltd Australia 0-20,000 10% 20,000-200,000 20% 200,000-620,000 35% 45% >620,000 75%
MGR.AX Mirvac Group Australia 0-110,000 5% 110,000-990,000 10% 990,000-7,040,000 20% 40% >7,040,000 75%
HVN.AX Harvey Norman Holdings Ltd Australia 0-45,000 10% 45,000-450,000 20% 450,000-1,485,000 35% 45% >1,485,000 75%
DXS.AX Dexus Property Group Australia 0-25,000 5% 25,000-250,000 10% 250,000-1,500,000 20% 40% >1,500,000 75%
SGR.AX Star Entertainment Group Ltd Australia 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
PRY.AX Primary Health Care Ltd Australia 0-60,000 10% 60,000-600,000 20% 600,000-1,980,000 35% 45% >1,980,000 75%
ALL.AX Aristocrat Leisure Ltd Australia 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
ALQ.AX ALS Ltd Australia 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
SHL.AX Sonic Healthcare Ltd Australia 0-10,000 10% 10,000-100,000 20% 100,000-630,000 35% 45% >630,000 75%
ORA.AX Orora Ltd Australia 0-70,000 10% 70,000-700,000 20% 700,000-2,030,000 35% 45% >2,030,000 75%
SKI.AX Spark Infrastructure Group Australia 0-90,000 10% 90,000-900,000 20% 900,000-2,970,000 35% 45% >2,970,000 75%
JHX.AX James Hardie Industries Plc Australia 0-10,000 5% 10,000-100,000 10% 100,000-630,000 20% 40% >630,000 75%
LLC.AX Lend Lease Group Australia 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
MFG.AX Magellan Financial Group Ltd Australia 0-9,000 15% 9,000-90,000 25% 90,000-279,000 40% 55% >279,000 75%
INM.AX Iron Mountain Inc Australia 0-4,000 15% 4,000-25,000 25% 25,000-64,000 40% 55% >64,000 75%
ASX.AX ASX Ltd Australia 0-4,000 5% 4,000-40,000 10% 40,000-276,000 20% 40% >276,000 75%
MTS.AX Metcash Ltd Australia 0-90,000 10% 90,000-900,000 20% 900,000-2,520,000 35% 45% >2,520,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 2 of 103
SRX.AX Sirtex Medical Ltd Australia 0-6,000 15% 6,000-60,000 25% 60,000-180,000 40% 55% >180,000 75%
88E.AX 88 Energy Ltd (ASX) Australia 0-4,050,000 25% 4,050,000-25,312,500 40% 25,312,500-56,700,000 50% 60% >56,700,000 75%
CAR.AX carsales.com Ltd Australia 0-15,000 10% 15,000-150,000 20% 150,000-450,000 35% 45% >450,000 75%
SGM.AX Sims Metal Management Ltd Australia 0-20,000 10% 20,000-200,000 20% 200,000-660,000 35% 45% >660,000 75%
DOW.AX Downer EDI Ltd Australia 0-35,000 10% 35,000-350,000 20% 350,000-1,015,000 35% 45% >1,015,000 75%
WHC.AX Whitehaven Coal Ltd Australia 0-80,000 25% 80,000-800,000 40% 800,000-2,480,000 50% 60% >2,480,000 75%
LNK.AX Link Administration Holdings Pty Limited Australia 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
FBU.AX Fletcher Building Ltd Australia 0-15,000 10% 15,000-75,000 20% 75,000-150,000 35% 45% >150,000 75%
CSR.AX CSR Ltd Australia 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
SUL.AX Super Retail Group Ltd Australia 0-15,000 10% 15,000-150,000 20% 150,000-405,000 35% 45% >405,000 75%
RWC.AX Reliance Worldwide Corporation Limited Australia 0-50,000 15% 50,000-300,000 25% 300,000-1,000,000 40% 55% >1,000,000 75%
RSG.AX Resolute Mining Ltd Australia 0-70,000 15% 70,000-420,000 25% 420,000-1,400,000 40% 55% >1,400,000 75%
SYR.AX Syrah Resources Ltd Australia 0-35,000 25% 35,000-350,000 40% 350,000-665,000 50% 60% >665,000 75%
FXJ.AX Fairfax Media Ltd Australia 0-150,000 10% 150,000-1,500,000 20% 1,500,000-4,500,000 35% 45% >4,500,000 75%
PPT.AX Perpetual Ltd Australia 0-3,000 10% 3,000-30,000 20% 30,000-84,000 35% 45% >84,000 75%
SAR.AX Saracen Mineral Holdings Ltd Australia 0-90,000 20% 90,000-900,000 30% 900,000-2,970,000 50% 60% >2,970,000 75%
SPO.AX Spotless Group Holdings Ltd Australia 0-130,000 20% 130,000-1,560,000 30% 1,560,000-4,030,000 50% 60% >4,030,000 75%
IFL.AX IOOF Holdings Ltd Australia 0-15,000 10% 15,000-150,000 20% 150,000-495,000 35% 45% >495,000 75%
IOF.AX Investa Office Fund Australia 0-30,000 10% 30,000-300,000 20% 300,000-900,000 35% 45% >900,000 75%
AST.AX AusNet Services Australia 0-80,000 10% 80,000-800,000 20% 800,000-2,480,000 35% 45% >2,480,000 75%
MQA.AX Macquarie Atlas Roads Group Australia 0-25,000 15% 25,000-250,000 25% 250,000-750,000 40% 55% >750,000 75%
ABC.AX Adelaide Brighton Ltd Australia 0-25,000 10% 25,000-250,000 20% 250,000-800,000 35% 45% >800,000 75%
SHV.AX Select Harvests Ltd Australia 0-20,000 20% 20,000-200,000 30% 200,000-380,000 50% 60% >380,000 75%
BTT.AX BT Investment Management Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-420,000 50% 60% >420,000 75%
PGH.AX Pact Group Holdings Ltd Australia 0-20,000 20% 20,000-200,000 30% 200,000-320,000 50% 60% >320,000 75%
DLX.AX DuluxGroup Ltd Australia 0-20,000 10% 20,000-200,000 20% 200,000-660,000 35% 45% >660,000 75%
NUF.AX Nufarm Ltd Australia 0-15,000 15% 15,000-150,000 25% 150,000-420,000 40% 55% >420,000 75%
ORE.AX Orocobre Ltd Australia 0-30,000 25% 30,000-180,000 40% 180,000-570,000 50% 60% >570,000 75%
QUB.AX Qube Holdings Ltd Australia 0-50,000 15% 50,000-500,000 25% 500,000-1,500,000 40% 55% >1,500,000 75%
OGC.AX OceanaGold Corp Australia 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
MYX.AX Mayne Pharma Group Ltd Australia 0-60,000 25% 60,000-600,000 40% 600,000-1,980,000 50% 60% >1,980,000 75%
SKC.AX SKYCITY Entertainment Group Ltd Australia 0-25,000 20% 25,000-125,000 30% 125,000-250,000 50% 60% >250,000 75%
MYR.AX Myer Holdings Ltd Australia 0-90,000 10% 90,000-900,000 20% 900,000-2,520,000 35% 45% >2,520,000 75%
PLS.AX Pilbara Minerals Limited Australia 0-220,000 25% 220,000-1,485,000 40% 1,485,000-3,960,000 50% 60% >3,960,000 75%
MYO.AX MYOB Group Ltd Australia 0-30,000 20% 30,000-300,000 30% 300,000-540,000 50% 60% >540,000 75%
CWY.AX Cleanaway Waste Management Ltd Australia 0-100,000 15% 100,000-600,000 25% 600,000-2,000,000 40% 55% >2,000,000 75%
SPK.AX Spark New Zealand Ltd Australia 0-30,000 20% 30,000-150,000 30% 150,000-300,000 50% 60% >300,000 75%
CHC.AX Charter Hall Group Australia 0-20,000 15% 20,000-200,000 25% 200,000-580,000 40% 55% >580,000 75%
CTD.AX Corporate Travel Management Ltd Australia 0-6,000 20% 6,000-60,000 30% 60,000-180,000 50% 60% >180,000 75%
IVC.AX Invocare Ltd Australia 0-8,000 20% 8,000-80,000 30% 80,000-152,000 50% 60% >152,000 75%
FXL.AX FlexiGroup Ltd Australia 0-45,000 20% 45,000-450,000 30% 450,000-765,000 50% 60% >765,000 75%
BDR.AX Beadell Resources Ltd Australia 0-250,000 20% 250,000-1,500,000 30% 1,500,000-4,500,000 50% 60% >4,500,000 75%
GEM.AX G8 Education Ltd Australia 0-35,000 10% 35,000-350,000 20% 350,000-1,015,000 35% 45% >1,015,000 75%
SAI.AX SAI Global Ltd Australia 0-30,000 20% 30,000-300,000 30% 300,000-570,000 50% 60% >570,000 75%
AHY.AX Asaleo Care Ltd Australia 0-70,000 20% 70,000-700,000 30% 700,000-980,000 50% 60% >980,000 75%
PTM.AX Platinum Asset Management Ltd Australia 0-20,000 10% 20,000-200,000 20% 200,000-660,000 35% 45% >660,000 75%
GXY.AX Galaxy Resources Ltd Australia 0-250,000 25% 250,000-1,500,000 40% 1,500,000-4,500,000 50% 60% >4,500,000 75%
GUD.AX GUD Holdings Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-200,000 50% 60% >200,000 75%
CMW.AX Cromwell Property Group (ASX) Australia 0-100,000 20% 100,000-1,000,000 30% 1,000,000-1,500,000 50% 60% >1,500,000 75%
BGA.AX Bega Cheese Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-240,000 50% 60% >240,000 75%
GXL.AX Greencross Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-270,000 50% 60% >270,000 75%
ALU.AX Altium Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-300,000 50% 60% >300,000 75%
BAP.AX Bapcor Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-450,000 50% 60% >450,000 75%
ACX.AX Aconex Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-420,000 50% 60% >420,000 75%
MTR.AX Mantra Group Ltd Australia 0-30,000 20% 30,000-300,000 30% 300,000-840,000 50% 60% >840,000 75%
AHG.AX Automotive Holdings Group Ltd Australia 0-20,000 20% 20,000-200,000 30% 200,000-560,000 50% 60% >560,000 75%
NWS.AX News Corp Australia 0-5,000 10% 5,000-25,000 20% 25,000-50,000 35% 45% >50,000 75%
CVO.AX Cover-More Group Ltd Australia 0-70,000 20% 70,000-700,000 30% 700,000-980,000 50% 60% >980,000 75%
SXL.AX Southern Cross Media Group Ltd Australia 0-60,000 20% 60,000-600,000 30% 600,000-1,500,000 50% 60% >1,500,000 75%
WSA.AX Western Areas Ltd Australia 0-35,000 20% 35,000-350,000 30% 350,000-1,015,000 50% 60% >1,015,000 75%
MMS.AX McMillan Shakespeare Ltd Australia 0-7,000 10% 7,000-70,000 20% 70,000-203,000 35% 45% >203,000 75%
MND.AX Monadelphous Group Ltd Australia 0-10,000 10% 10,000-100,000 20% 100,000-300,000 35% 45% >300,000 75%
AAC.AX Australian Agricultural Co Ltd Australia 0-50,000 20% 50,000-500,000 30% 500,000-950,000 50% 60% >950,000 75%
NEC.AX Nine Entertainment Co Holdings Ltd Australia 0-90,000 20% 90,000-900,000 30% 900,000-1,530,000 50% 60% >1,530,000 75%
TNE.AX Technology One Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-270,000 50% 60% >270,000 75%
CCP.AX Credit Corp Group Ltd Australia 0-5,000 20% 5,000-50,000 30% 50,000-100,000 50% 60% >100,000 75%
SWM.AX Seven West Media Ltd Australia 0-110,000 20% 110,000-990,000 30% 990,000-1,980,000 50% 60% >1,980,000 75%
TME.AX Trade Me Group Ltd Australia 0-15,000 15% 15,000-75,000 25% 75,000-150,000 40% 55% >150,000 75%
FPH.AX Fisher & Paykel Healthcare Corp Ltd Australia 0-9,000 20% 9,000-45,000 30% 45,000-90,000 50% 60% >90,000 75%
CQR.AX Charter Hall Retail REIT Australia 0-20,000 10% 20,000-200,000 20% 200,000-600,000 35% 45% >600,000 75%
SVW.AX Seven Group Holdings Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-190,000 50% 60% >190,000 75%
IRE.AX Iress Ltd Australia 0-7,000 15% 7,000-70,000 25% 70,000-217,000 40% 55% >217,000 75%
PRG.AX Programmed Maintenance Services Ltd Australia 0-40,000 20% 40,000-400,000 30% 400,000-720,000 50% 60% >720,000 75%
IPH.AX IPH Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-405,000 50% 60% >405,000 75%
PMV.AX Premier Investments Ltd Australia 0-5,000 20% 5,000-50,000 30% 50,000-140,000 50% 60% >140,000 75%
NXT.AX NEXTDC Ltd Australia 0-20,000 20% 20,000-120,000 30% 120,000-360,000 50% 60% >360,000 75%
OFX.AX Ozforex Group Ltd Australia 0-35,000 20% 35,000-350,000 30% 350,000-665,000 50% 60% >665,000 75%
TGR.AX Tassal Group Ltd Australia 0-20,000 20% 20,000-200,000 30% 200,000-320,000 50% 60% >320,000 75%
VRT.AX Virtus Health Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-170,000 50% 60% >170,000 75%
GNC.AX GrainCorp Ltd Australia 0-10,000 10% 10,000-100,000 20% 100,000-280,000 35% 45% >280,000 75%
SIP.AX Sigma Pharmaceuticals Ltd Australia 0-70,000 20% 70,000-700,000 30% 700,000-980,000 50% 60% >980,000 75%
SFR.AX Sandfire Resources NL Australia 0-15,000 15% 15,000-150,000 25% 150,000-480,000 40% 55% >480,000 75%
AAD.AX Ardent Leisure Group Australia 0-30,000 20% 30,000-300,000 30% 300,000-900,000 50% 60% >900,000 75%
ECX.AX Eclipx Group Limited Australia 0-20,000 20% 20,000-200,000 30% 200,000-380,000 50% 60% >380,000 75%
BWP.AX BWP Trust Australia 0-25,000 20% 25,000-250,000 30% 250,000-675,000 50% 60% >675,000 75%
VTG.AX Vita Group Ltd Australia 0-15,000 20% 15,000-90,000 30% 90,000-240,000 50% 60% >240,000 75%
ISD.AX iSentia Group Ltd Australia 0-20,000 20% 20,000-200,000 30% 200,000-580,000 50% 60% >580,000 75%
AWE.AX AWE Ltd Australia 0-120,000 20% 120,000-720,000 30% 720,000-2,160,000 50% 60% >2,160,000 75%
JHC.AX Japara Healthcare Ltd Australia 0-40,000 20% 40,000-400,000 30% 400,000-720,000 50% 60% >720,000 75%
BPT.AX Beach Energy Ltd Australia 0-140,000 20% 140,000-1,540,000 30% 1,540,000-4,480,000 50% 60% >4,480,000 75%
MLX.AX Metals X Ltd Australia 0-50,000 20% 50,000-300,000 30% 300,000-900,000 50% 60% >900,000 75%
NVT.AX Navitas Ltd Australia 0-15,000 10% 15,000-150,000 20% 150,000-480,000 35% 45% >480,000 75%
GMA.AX Genworth Mortgage Insurance Australia Ltd Australia 0-25,000 20% 25,000-250,000 30% 250,000-750,000 50% 60% >750,000 75%
APO.AX APN Outdoor Group Ltd Australia 0-15,000 20% 15,000-150,000 30% 150,000-495,000 50% 60% >495,000 75%
SGH.AX Slater & Gordon Ltd Australia 0-160,000 25% 160,000-960,000 40% 960,000-2,880,000 50% 60% >2,880,000 75%
RFG.AX Retail Food Group Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-350,000 50% 60% >350,000 75%
SDF.AX Steadfast Group Ltd Australia 0-30,000 20% 30,000-300,000 30% 300,000-930,000 50% 60% >930,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 3 of 103
AOG.AX Aveo Group Ltd Australia 0-20,000 10% 20,000-200,000 20% 200,000-620,000 35% 45% >620,000 75%
PRU.AX Perseus Mining Ltd Australia 0-130,000 20% 130,000-780,000 30% 780,000-2,340,000 50% 60% >2,340,000 75%
ARB.AX ARB Corp Ltd Australia 0-4,000 20% 4,000-40,000 30% 40,000-72,000 50% 60% >72,000 75%
BKW.AX Brickworks Ltd Australia 0-5,000 20% 5,000-50,000 30% 50,000-90,000 50% 60% >90,000 75%
RAP.AX ResApp Health Limited Australia 0-170,000 25% 170,000-1,020,000 40% 1,020,000-3,060,000 50% 60% >3,060,000 75%
OML.AX oOh!media Ltd Australia 0-15,000 20% 15,000-90,000 30% 90,000-240,000 50% 60% >240,000 75%
GTY.AX Gateway Lifestyle Australia 0-30,000 20% 30,000-180,000 30% 180,000-510,000 50% 60% >510,000 75%
SVWPA.AX Seven Group Holdings Limited Preferred Stock Australia 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SCP.AX Shopping Centres Australasia Property Group Australia 0-30,000 20% 30,000-300,000 30% 300,000-960,000 50% 60% >960,000 75%
SOL.AX Washington H Soul Pattinson & Co Ltd Australia 0-4,000 20% 4,000-25,000 30% 25,000-64,000 50% 60% >64,000 75%
IEL.AX IDP Education Limited Australia 0-15,000 20% 15,000-90,000 30% 90,000-240,000 50% 60% >240,000 75%
LNG.AX Liquefied Natural Gas Ltd Australia 0-110,000 25% 110,000-660,000 40% 660,000-2,090,000 50% 60% >2,090,000 75%
WEB.AX Webjet Ltd Australia 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
NAN.AX Nanosonics Ltd Australia 0-20,000 20% 20,000-120,000 30% 120,000-320,000 50% 60% >320,000 75%
CGC.AX Costa Group Holdings Ltd Australia 0-20,000 20% 20,000-120,000 30% 120,000-360,000 50% 60% >360,000 75%
API.AX Australian Pharmaceutical Industries Ltd Australia 0-35,000 20% 35,000-350,000 30% 350,000-630,000 50% 60% >630,000 75%
BKN.AX Bradken Ltd Australia 0-25,000 20% 25,000-150,000 30% 150,000-450,000 50% 60% >450,000 75%
GWA.AX GWA Group Ltd Australia 0-20,000 20% 20,000-200,000 30% 200,000-380,000 50% 60% >380,000 75%
ABP.AX Abacus Property Group Australia 0-20,000 20% 20,000-200,000 30% 200,000-380,000 50% 60% >380,000 75%
NSR.AX National Storage REIT Australia 0-35,000 20% 35,000-350,000 30% 350,000-630,000 50% 60% >630,000 75%
IFN.AX Infigen Energy Ltd Australia 0-60,000 20% 60,000-345,000 30% 345,000-1,080,000 50% 60% >1,080,000 75%
SLR.AX Silver Lake Resources Ltd Australia 0-100,000 20% 100,000-600,000 30% 600,000-1,900,000 50% 60% >1,900,000 75%
RCG.AX RCG Corp Ltd Australia 0-30,000 20% 30,000-180,000 30% 180,000-570,000 50% 60% >570,000 75%
SIQ.AX SmartGroup Corp Ltd Australia 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
MGC.AX MG Unit Trust Australia 0-35,000 20% 35,000-210,000 30% 210,000-630,000 50% 60% >630,000 75%
AYS.AX Amaysim Australia Ltd Australia 0-25,000 25% 25,000-150,000 40% 150,000-425,000 50% 60% >425,000 75%
BRG.AX Breville Group Ltd Australia 0-6,000 20% 6,000-60,000 30% 60,000-108,000 50% 60% >108,000 75%
SKT.AX Sky Network Television Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-200,000 50% 60% >200,000 75%
XPE.AX Xped Limited Australia 0-1,175,000 25% 1,175,000-7,050,000 40% 7,050,000-18,800,000 50% 60% >18,800,000 75%
HSN.AX Hansen Technologies Ltd Australia 0-10,000 25% 10,000-60,000 40% 60,000-180,000 50% 60% >180,000 75%
BWX.AX BWX Limited Australia 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
MVF.AX Monash IVF Group Ltd Australia 0-20,000 25% 20,000-120,000 40% 120,000-320,000 50% 60% >320,000 75%
CKF.AX Collins Foods Ltd Australia 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
NHF.AX NIB Holdings Ltd Australia 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
AFI.AX Australian Foundation Investment Co Ltd Australia 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
AGI.AX Ainsworth Game Technology Ltd Australia 0-20,000 25% 20,000-120,000 40% 120,000-320,000 50% 60% >320,000 75%
REH.AX Reece Australia Ltd Australia 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
VRL.AX Village Roadshow Ltd Australia 0-9,000 20% 9,000-90,000 30% 90,000-153,000 50% 60% >153,000 75%
MHJ.AX Michael Hill International Limited Australia 0-25,000 25% 25,000-150,000 40% 150,000-325,000 50% 60% >325,000 75%
ASL.AX Ausdrill Ltd Australia 0-25,000 25% 25,000-150,000 40% 150,000-450,000 50% 60% >450,000 75%
RMS.AX Ramelius Resources Ltd Australia 0-80,000 25% 80,000-480,000 40% 480,000-1,440,000 50% 60% >1,440,000 75%
VIT.AX Vitaco Holdings Limited Australia 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
MOY.AX Millennium Minerals Limited Australia 0-110,000 25% 110,000-660,000 40% 660,000-1,980,000 50% 60% >1,980,000 75%
KAR.AX Karoon Gas Australia Ltd Australia 0-30,000 25% 30,000-180,000 40% 180,000-540,000 50% 60% >540,000 75%
MSB.AX Mesoblast Ltd Australia 0-30,000 25% 30,000-300,000 40% 300,000-540,000 50% 60% >540,000 75%
TFC.AX TFS Corp Ltd Australia 0-25,000 25% 25,000-150,000 40% 150,000-425,000 50% 60% >425,000 75%
APN.AX APN News & Media Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-210,000 50% 60% >210,000 75%
ARG.AX Argo Investments Ltd Australia 0-5,000 25% 5,000-30,000 40% 30,000-80,000 50% 60% >80,000 75%
UGL.AX UGL Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
MLD.AX MACA Ltd Australia 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
CL1.AX Class Limited Australia 0-9,000 25% 9,000-54,000 40% 54,000-162,000 50% 60% >162,000 75%
AQG.AX Alacer Gold Corp Australia 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
WAM.AX WAM Capital Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
DCN.AX Dacian Gold Limited Australia 0-9,000 25% 9,000-54,000 40% 54,000-171,000 50% 60% >171,000 75%
BLK.AX Blackham Resources Limited Australia 0-40,000 25% 40,000-240,000 40% 240,000-680,000 50% 60% >680,000 75%
MNS.AX Magnis Resources Ltd Australia 0-40,000 25% 40,000-240,000 40% 240,000-680,000 50% 60% >680,000 75%
EDE.AX Eden Energy Limited Australia 0-130,000 25% 130,000-780,000 40% 780,000-2,340,000 50% 60% >2,340,000 75%
TRS.AX Reject Shop Ltd Australia 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CIN.AX Carlton Investments Ltd Australia 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GOZ.AX Growthpoint Properties Australia Ltd Australia 0-10,000 20% 10,000-100,000 30% 100,000-190,000 50% 60% >190,000 75%
CSV.AX CSG Ltd Australia 0-25,000 25% 25,000-150,000 40% 150,000-425,000 50% 60% >425,000 75%
SGF.AX SG Fleet Group Ltd Australia 0-7,000 25% 7,000-40,250 40% 40,250-119,000 50% 60% >119,000 75%
BBN.AX Baby Bunting Group Ltd Australia 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
DRM.AX Doray Minerals Ltd Australia 0-45,000 25% 45,000-270,000 40% 270,000-765,000 50% 60% >765,000 75%
BKY.AX Berkeley Resources Ltd (ASX) Australia 0-40,000 25% 40,000-240,000 40% 240,000-270,000 50% 60% >270,000 75%
GOR.AX Gold Road Resources Ltd Australia 0-45,000 25% 45,000-270,000 40% 270,000-810,000 50% 60% >810,000 75%
AIA.AX Auckland International Airport Ltd Australia 0-4,000 25% 4,000-25,000 40% 25,000-68,000 50% 60% >68,000 75%
NCK.AX Nick Scali Ltd Australia 0-5,000 25% 5,000-30,000 40% 30,000-85,000 50% 60% >85,000 75%
GMM.AX General Mining Corporation Limited Australia 0-45,000 25% 45,000-270,000 40% 270,000-855,000 50% 60% >855,000 75%
EVT.AX Event Hospitality and Entertainment Australia 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
XRO.AX Xero Ltd Australia 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
APE.AX AP Eagers Ltd Australia 0-2,500 25% 2,500-15,000 40% 15,000-42,500 50% 60% >42,500 75%
ELD.AX Elders Ltd Australia 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
GBT.AX GBST Holdings Ltd Australia 0-7,000 25% 7,000-40,250 40% 40,250-126,000 50% 60% >126,000 75%
TIX.AX 360 Capital Industrial Fund Australia 0-10,000 25% 10,000-60,000 40% 60,000-180,000 50% 60% >180,000 75%
AKP.AX Audio Pixels Holdings Limited Australia 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
AJM.AX Altura Mining Limited Australia 0-180,000 25% 180,000-990,000 40% 990,000-3,240,000 50% 60% >3,240,000 75%
EML.AX Emerchants Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
APX.AX Appen Limited Australia 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
TRY.AX Troy Resources Ltd Australia 0-60,000 25% 60,000-345,000 40% 345,000-1,080,000 50% 60% >1,080,000 75%
WTC.AX Wisetech Global Limited Australia 0-5,000 25% 5,000-30,000 40% 30,000-70,000 50% 60% >70,000 75%
SMN.AX Structural Monitoring Systems PLC Australia 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
CAB.AX Cabcharge Australia Ltd Australia 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
CAT.AX Catapult Group International Ltd Australia 0-7,000 25% 7,000-40,250 40% 40,250-119,000 50% 60% >119,000 75%
SXY.AX Senex Energy Ltd Australia 0-100,000 25% 100,000-600,000 40% 600,000-1,700,000 50% 60% >1,700,000 75%
GMF.AX GPT Metro Office Fund Australia 0-10,000 25% 10,000-60,000 40% 60,000-180,000 50% 60% >180,000 75%
AVN.AX Aventus Retail Property Fund Ltd Australia 0-10,000 25% 10,000-60,000 40% 60,000-180,000 50% 60% >180,000 75%
CNU.AX Chorus Ltd Australia 0-6,000 25% 6,000-34,500 40% 34,500-102,000 50% 60% >102,000 75%
NWH.AX NRW Holdings Ltd Australia 0-45,000 25% 45,000-270,000 40% 270,000-765,000 50% 60% >765,000 75%
NTC.AX NetComm Wireless Ltd Australia 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
ISU.AX iSelect Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
RCR.AX RCR Tomlinson Ltd Australia 0-9,000 25% 9,000-54,000 40% 54,000-162,000 50% 60% >162,000 75%
FET.AX Folkestone Education Trust Australia 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
PDN.AX Paladin Energy Ltd Australia 0-140,000 25% 140,000-840,000 40% 840,000-2,660,000 50% 60% >2,660,000 75%
WPP.AX WPP AUNZ Ltd Australia 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
AJA.AX Astro Japan Property Group Australia 0-3,000 25% 3,000-20,250 40% 20,250-45,000 50% 60% >45,000 75%
MML.AX Medusa Mining Ltd (ASX) Australia 0-30,000 25% 30,000-180,000 40% 180,000-540,000 50% 60% >540,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 4 of 103
TGA.AX Thorn Group Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-240,000 50% 60% >240,000 75%
KDR.AX Kidman Resources Limited Australia 0-60,000 25% 60,000-345,000 40% 345,000-1,080,000 50% 60% >1,080,000 75%
HFA.AX HFA Holdings Ltd Australia 0-9,000 25% 9,000-54,000 40% 54,000-153,000 50% 60% >153,000 75%
IPD.AX ImpediMed Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
LYC.AX Lynas Corp Ltd Australia 0-325,000 25% 325,000-2,031,250 40% 2,031,250-5,525,000 50% 60% >5,525,000 75%
BFC.AX Beston Global Food Company Limited Australia 0-50,000 25% 50,000-300,000 40% 300,000-850,000 50% 60% >850,000 75%
SSM.AX Service Stream Ltd Australia 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
IOT.AX IOT Group Limited Australia 0-650,000 25% 650,000-4,062,500 40% 4,062,500-8,450,000 50% 60% >8,450,000 75%
EPW.AX ERM Power Ltd Australia 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
CLH.AX Collection House Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
INA.AX Ingenia Communities Group Australia 0-7,000 25% 7,000-40,250 40% 40,250-126,000 50% 60% >126,000 75%
FNP.AX Freedom Foods Group Ltd Australia 0-4,000 25% 4,000-25,000 40% 25,000-64,000 50% 60% >64,000 75%
HFR.AX Highfield Resources Ltd Australia 0-15,000 25% 15,000-90,000 40% 90,000-225,000 50% 60% >225,000 75%
BLA.AX Blue Sky Alternative Investments Ltd Australia 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
SDA.AX SpeedCast International Ltd Australia 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
CZZ.AX Capilano Honey Limited Australia 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
SLK.AX Sealink Travel Group Ltd Australia 0-4,000 25% 4,000-25,000 40% 25,000-68,000 50% 60% >68,000 75%
3PL.AX 3P Learning Ltd Australia 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
NWSLV.AX News Corp Non Vot Australia 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
IGL.AX IVE Group Limited Australia 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
SEA.AX Sundance Energy Australia Ltd Australia 0-120,000 25% 120,000-720,000 40% 720,000-2,040,000 50% 60% >2,040,000 75%
AFY.AX Afterpay Holdings Limited Australia 0-6,000 25% 6,000-34,500 40% 34,500-55,500 50% 60% >55,500 75%
IFM.AX Infomedia Ltd Australia 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
ARFDC.AX Arena REIT Australia 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
FAR.AX FAR Ltd Australia 0-250,000 25% 250,000-1,500,000 40% 1,500,000-4,500,000 50% 60% >4,500,000 75%
IMF.AX IMF Australia Ltd Australia 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
WLE.AX WAM Leaders Limited Australia 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
WCB.AX Warrnambool Cheese & Butter Factory Co Holding Ltd Australia 0-2,700 25% 2,700-8,100 40% >8100 75% 75%
NPX.AX Nuplex Industries Ltd Australia 0-3,300 25% 3,300-9,900 40% 9,900-18,975 50% 60% >18,975 75%
CGL.AX The Citadel Group Limited Australia 0-3,300 25% 3,300-19,800 40% 19,800-28,050 50% 60% >28,050 75%
ABA.AX Wide Bay Australia Ltd Australia 0-3,300 25% 3,300-9,900 40% >9900 75% 75%
MVP.AX Medical Developments International Limited Australia 0-3,400 25% 3,400-20,400 40% 20,400-40,800 50% 60% >40,800 75%
AUI.AX Australian United Investment Co Ltd Australia 0-2,400 25% 2,400-7,200 40% 7,200-11,400 50% 60% >11,400 75%
ONE.AX Oneview Healthcare PLC Australia 0-2,700 25% 2,700-14,850 40% 14,850-24,975 50% 60% >24,975 75%
TWD.AX Tamawood Ltd Australia 0-5,100 25% 5,100-15,300 40% >15300 75% 75%
TPE.AX TPI Enterprises Limited Australia 0-6,200 25% 6,200-20,150 40% 20,150-24,800 50% 60% >24,800 75%
IRI.AX Integrated Research Ltd Australia 0-7,300 25% 7,300-45,625 40% 45,625-60,225 50% 60% >60,225 75%
LIC.AX Lifestyle Communities Ltd Australia 0-5,300 25% 5,300-14,575 40% 14,575-30,475 50% 60% >30,475 75%
BPA.AX Brookfield Prime Property Fund Australia 0-2,800 25% 2,800-8,400 40% >8400 75% 75%
HHL.AX Hunter Hall International Ltd Australia 0-3,800 25% 3,800-10,450 40% >10450 75% 75%
HLO.AX Helloworld Ltd Australia 0-3,700 25% 3,700-10,175 40% 10,175-12,950 50% 60% >12,950 75%
BLX.AX Beacon Lighting Group Limited Australia 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
LEP.AX ALE Property Group Australia 0-3,900 25% 3,900-25,350 40% 25,350-39,000 50% 60% >39,000 75%
KMD.AX Kathmandu Holdings Ltd Australia 0-9,100 25% 9,100-54,600 40% 54,600-118,300 50% 60% >118,300 75%
DDR.AX Dicker Data Limited Australia 0-8,700 25% 8,700-50,025 40% 50,025-56,550 50% 60% >56,550 75%
CDP.AX Carindale Property Trust Australia 0-2,100 25% 2,100-6,300 40% 6,300-10,500 50% 60% >10,500 75%
MLB.AX Melbourne IT Ltd Australia 0-8,900 25% 8,900-35,600 40% 35,600-55,625 50% 60% >55,625 75%
TOF.AX 360 Capital Office Fund Australia 0-7,600 25% 7,600-24,700 40% 24,700-41,800 50% 60% >41,800 75%
AGG.AX AngloGold Ashanti Ltd (ASX) Australia 0-3,800 25% 3,800-10,450 40% >10450 75% 75%
NHC.AX New Hope Corp Ltd Australia 0-11,300 25% 11,300-70,625 40% 70,625-81,925 50% 60% >81,925 75%
VLW.AX Villa World Ltd Australia 0-7,600 25% 7,600-45,600 40% 45,600-114,000 50% 60% >114,000 75%
MIR.AX Mirrabooka Investments Ltd Australia 0-6,200 25% 6,200-20,150 40% 20,150-27,900 50% 60% >27,900 75%
IDR.AX Industria REIT Australia 0-8,100 25% 8,100-50,625 40% 50,625-54,675 50% 60% >54,675 75%
MNY.AX Money3 Corp Ltd Australia 0-10,600 25% 10,600-66,250 40% 66,250-159,000 50% 60% >159,000 75%
GNE.AX Genesis Energy Ltd Australia 0-7,700 25% 7,700-25,025 40% 25,025-30,800 50% 60% >30,800 75%
ORL.AX OrotonGroup Ltd Australia 0-7,700 25% 7,700-25,025 40% >25025 75% 75%
MCP.AX McPherson's Ltd Australia 0-14,800 25% 14,800-44,400 40% 44,400-81,400 50% 60% >81,400 75%
MEZ.AX Meridian Energy Limited Australia 0-5,800 25% 5,800-14,500 40% 14,500-21,750 50% 60% >21,750 75%
QMS.AX QMS Media Limited Australia 0-14,800 25% 14,800-88,800 40% 88,800-207,200 50% 60% >207,200 75%
RIC.AX Ridley Corp Ltd Australia 0-13,100 25% 13,100-78,600 40% 78,600-209,600 50% 60% >209,600 75%
TWR.AX Tower Ltd Australia 0-13,100 25% 13,100-39,300 40% >39300 75% 75%
ALR.AX Aberdeen Leaders Ltd Australia 0-15,600 25% 15,600-46,800 40% >46800 75% 75%
DTL.AX Data#3 Ltd Australia 0-11,000 25% 11,000-44,000 40% 44,000-66,000 50% 60% >66,000 75%
DFM.AX Dongfang Modern Agriculture Holding Group Limited Australia 0-16,500 25% 16,500-49,500 40% 49,500-86,625 50% 60% >86,625 75%
EOS.AX Electro Optic Systems Holdings Ltd Australia 0-13,200 25% 13,200-39,600 40% >39600 75% 75%
HUO.AX Huon Aquaculture Group Limited Australia 0-5,200 25% 5,200-15,600 40% 15,600-29,900 50% 60% >29,900 75%
PEP.AX Pepper Group Ltd Australia 0-6,600 25% 6,600-39,600 40% 39,600-44,550 50% 60% >44,550 75%
PNC.AX Pioneer Credit Limited Australia 0-8,800 25% 8,800-24,200 40% >24200 75% 75%
URF.AX US Masters Residential Property Fund Australia 0-8,800 25% 8,800-24,200 40% 24,200-30,800 50% 60% >30,800 75%
IAU.AX Intrepid Mines Ltd (ASX) Australia 0-14,300 25% 14,300-46,475 40% >46475 75% 75%
APW.AX Aims Property Securities Fund Australia 0-13,300 25% 13,300-39,900 40% >39900 75% 75%
DWS.AX DWS Ltd Australia 0-12,900 25% 12,900-38,700 40% 38,700-70,950 50% 60% >70,950 75%
PMC.AX Platinum Capital Ltd Australia 0-11,400 25% 11,400-71,250 40% 71,250-85,500 50% 60% >85,500 75%
RVA.AX REVA Medical Inc Australia 0-13,400 25% 13,400-40,200 40% 40,200-70,350 50% 60% >70,350 75%
CYG.AX Coventry Group Ltd Australia 0-17,500 25% 17,500-56,875 40% >56875 75% 75%
GDI.AX GDI Property Group Australia 0-17,500 25% 17,500-109,375 40% 109,375-315,000 50% 60% >315,000 75%
MRN.AX Macquarie Media Limited Australia 0-17,500 25% 17,500-56,875 40% >56875 75% 75%
XIP.AX Xenith IP Group Limited Australia 0-5,000 25% 5,000-30,000 40% 30,000-41,250 50% 60% >41,250 75%
RKN.AX Reckon Ltd Australia 0-10,300 25% 10,300-59,225 40% 59,225-133,900 50% 60% >133,900 75%
TGZ.AX Teranga Gold Corp Australia 0-13,500 25% 13,500-40,500 40% 40,500-67,500 50% 60% >67,500 75%
MOC.AX Mortgage Choice Ltd Australia 0-7,900 25% 7,900-45,425 40% 45,425-55,300 50% 60% >55,300 75%
WTP.AX Watpac Ltd Australia 0-19,700 25% 19,700-59,100 40% 59,100-98,500 50% 60% >98,500 75%
CUP.AX Countplus Limited Australia 0-20,900 25% 20,900-62,700 40% >62700 75% 75%
WMK.AX Watermark Market Neutral Fund Limited Australia 0-16,400 25% 16,400-49,200 40% 49,200-77,900 50% 60% >77,900 75%
CDD.AX Cardno Ltd Australia 0-20,900 25% 20,900-130,625 40% 130,625-229,900 50% 60% >229,900 75%
CYL.AX Catalyst Metals Limited Australia 0-30,600 25% 30,600-91,800 40% >91800 75% 75%
CVW.AX ClearView Wealth Ltd Australia 0-16,800 25% 16,800-50,400 40% 50,400-63,000 50% 60% >63,000 75%
CMP.AX Compumedics Limited Australia 0-27,200 25% 27,200-81,600 40% >81600 75% 75%
EMC.AX Emefcy Group Limited Australia 0-22,400 25% 22,400-128,800 40% 128,800-448,000 50% 60% >448,000 75%
FLN.AX Freelancer Limited Australia 0-11,200 25% 11,200-64,400 40% 64,400-86,800 50% 60% >86,800 75%
GJT.AX Galileo Japan Trust Australia 0-6,300 25% 6,300-39,375 40% 39,375-69,300 50% 60% >69,300 75%
PEA.AX Pacific Energy Limited Australia 0-27,200 25% 27,200-81,600 40% >81600 75% 75%
WAX.AX WAM Research Ltd Australia 0-11,200 25% 11,200-64,400 40% 64,400-89,600 50% 60% >89,600 75%
APZ.AX Aspen Group Australia 0-14,400 25% 14,400-86,400 40% 86,400-115,200 50% 60% >115,200 75%
EGH.AX Eureka Group Holdings Limited Australia 0-23,800 25% 23,800-95,200 40% 95,200-148,750 50% 60% >148,750 75%
HHV.AX Hunter Hall Global Value Ltd Australia 0-11,900 25% 11,900-71,400 40% 71,400-107,100 50% 60% >107,100 75%
PFL.AX Patties Foods Ltd Australia 0-10,200 25% 10,200-30,600 40% 30,600-53,550 50% 60% >53,550 75%
SDI.AX SDI Ltd Australia 0-20,400 25% 20,400-61,200 40% 61,200-71,400 50% 60% >71,400 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 5 of 103
PGR.AX The PAS Group Limited Australia 0-23,800 25% 23,800-71,400 40% 71,400-119,000 50% 60% >119,000 75%
YOW.AX Yowie Group Ltd Australia 0-23,800 25% 23,800-142,800 40% 142,800-380,800 50% 60% >380,800 75%
APD.AX APN Property Group Ltd Australia 0-29,800 25% 29,800-89,400 40% 89,400-178,800 50% 60% >178,800 75%
FML.AX Focus Minerals Ltd Australia 0-29,800 25% 29,800-89,400 40% >89400 75% 75%
SKB.AX Skydive the Beach Group Limited Australia 0-29,800 25% 29,800-119,200 40% 119,200-193,700 50% 60% >193,700 75%
PGC.AX Paragon Care Limited Australia 0-20,700 25% 20,700-62,100 40% 62,100-103,500 50% 60% >103,500 75%
CLV.AX Clover Corp Ltd Australia 0-40,300 25% 40,300-120,900 40% >120900 75% 75%
DVA.AX Diversa Limited Australia 0-22,100 25% 22,100-66,300 40% 66,300-82,875 50% 60% >82,875 75%
MUA.AX Mitula Group Limited Australia 0-15,500 25% 15,500-46,500 40% 46,500-73,625 50% 60% >73,625 75%
BGL.AX BigAir Group Ltd Australia 0-19,800 25% 19,800-118,800 40% 118,800-163,350 50% 60% >163,350 75%
1AL.AX Oneall International Limited Australia 0-17,300 25% 17,300-51,900 40% >51900 75% 75%
PGF.AX PM Capital Global Opportunities Fund Ltd Australia 0-19,800 25% 19,800-118,800 40% 118,800-188,100 50% 60% >188,100 75%
BAF.AX Blue Sky Alternatives Access Fund Limited Australia 0-13,700 25% 13,700-41,100 40% 41,100-75,350 50% 60% >75,350 75%
OVH.AX OneVue Holdings Limited Australia 0-25,000 25% 25,000-75,000 40% 75,000-131,250 50% 60% >131,250 75%
RWH.AX Royal Wolf Holdings Limited Australia 0-12,500 25% 12,500-40,625 40% 40,625-68,750 50% 60% >68,750 75%
SFX.AX Sheffield Resources Ltd Australia 0-27,400 25% 27,400-82,200 40% >82200 75% 75%
ARA.AX Ariadne Australia Ltd Australia 0-43,900 25% 43,900-131,700 40% >131700 75% 75%
GAP.AX Gale Pacific Ltd Australia 0-43,900 25% 43,900-131,700 40% >131700 75% 75%
TSM.AX ThinkSmart Ltd Australia 0-43,900 25% 43,900-131,700 40% >131700 75% 75%
RUL.AX RungePincockMinarco Ltd Australia 0-35,300 25% 35,300-105,900 40% 105,900-132,375 50% 60% >132,375 75%
SMR.AX Stanmore Coal Ltd Australia 0-35,300 25% 35,300-105,900 40% >105900 75% 75%
CVC.AX CVC Ltd Australia 0-10,700 25% 10,700-29,425 40% >29425 75% 75%
OTR.AX Onterran Ltd Australia 0-42,800 25% 42,800-128,400 40% >128400 75% 75%
RBL.AX Redbubble Limited Australia 0-16,000 25% 16,000-52,000 40% 52,000-84,000 50% 60% >84,000 75%
RXP.AX RXP Services Ltd Australia 0-21,400 25% 21,400-64,200 40% 64,200-128,400 50% 60% >128,400 75%
UBN.AX Urbanise.com Ltd Australia 0-85,600 25% 85,600-256,800 40% >256800 75% 75%
RHI.AX Red Hill Iron Ltd Australia 0-42,800 25% 42,800-128,400 40% >128400 75% 75%
TLM.AX Talisman Mining Ltd Australia 0-42,800 25% 42,800-128,400 40% >128400 75% 75%
EWC.AX Energy World Corp Ltd Australia 0-64,600 25% 64,600-193,800 40% 193,800-387,600 50% 60% >387,600 75%
GTK.AX Gentrack Group Limited Australia 0-5,300 25% 5,300-30,475 40% 30,475-35,775 50% 60% >35,775 75%
MCY.AX Mighty River Power Ltd Australia 0-5,300 25% 5,300-14,575 40% 14,575-18,550 50% 60% >18,550 75%
TFL.AX TasFoods Limited Australia 0-64,600 25% 64,600-193,800 40% >193800 75% 75%
ABX.AX Australian Bauxite Limited Australia 0-90,100 25% 90,100-270,300 40% >270300 75% 75%
GBI.AX Genera Biosystems Limited Australia 0-90,100 25% 90,100-270,300 40% >270300 75% 75%
BSA.AX BSA Ltd Australia 0-51,100 25% 51,100-153,300 40% 153,300-242,725 50% 60% >242,725 75%
ERA.AX Energy Resources of Australia Ltd Australia 0-51,100 25% 51,100-153,300 40% >153300 75% 75%
PSZ.AX PS & C Limited Australia 0-46,900 25% 46,900-140,700 40% >140700 75% 75%
AKG.AX Academies Australasia Group Limited Australia 0-95,100 25% 95,100-285,300 40% >285300 75% 75%
AVG.AX Australian Vintage Ltd Australia 0-31,700 25% 31,700-95,100 40% 95,100-174,350 50% 60% >174,350 75%
BOC.AX Bougainville Copper Ltd Australia 0-95,100 25% 95,100-285,300 40% >285300 75% 75%
PPL.AX Pureprofile Limited Australia 0-31,700 25% 31,700-95,100 40% >95100 75% 75%
PWH.AX PWR Holdings Limited Australia 0-5,400 25% 5,400-29,700 40% 29,700-64,800 50% 60% >64,800 75%
SIT.AX Site Group International Limited Australia 0-95,100 25% 95,100-285,300 40% >285300 75% 75%
YPB.AX YPB Group Limited Australia 0-95,100 25% 95,100-285,300 40% >285300 75% 75%
PXS.AX Pharmaxis Ltd Australia 0-63,400 25% 63,400-190,200 40% >190200 75% 75%
AWV.AX Anova Metals Limited Australia 0-95,100 25% 95,100-285,300 40% 285,300-546,825 50% 60% >546,825 75%
RVR.AX Red River Resources Limited Australia 0-95,100 25% 95,100-570,600 40% 570,600-665,700 50% 60% >665,700 75%
PNV.AX Polynovo Limited Australia 0-63,400 25% 63,400-190,200 40% 190,200-317,000 50% 60% >317,000 75%
ACQ.AX Acorn Capital Investment Fund Limited Australia 0-16,700 25% 16,700-50,100 40% >50100 75% 75%
DRO.AX DroneShield Limited Australia 0-83,500 25% 83,500-250,500 40% >250500 75% 75%
SRF.AX Surfstitch Group Ltd Australia 0-83,500 25% 83,500-501,000 40% 501,000-1,169,000 50% 60% >1,169,000 75%
AEV.AX Avenira Ltd Australia 0-83,500 25% 83,500-250,500 40% >250500 75% 75%
GRY.AX Gryphon Minerals Ltd Australia 0-83,500 25% 83,500-501,000 40% 501,000-918,500 50% 60% >918,500 75%
OGX.AX Orinoco Gold Limited Australia 0-83,500 25% 83,500-250,500 40% 250,500-292,250 50% 60% >292,250 75%
DNA.AX Donaco International Ltd Australia 0-38,900 25% 38,900-233,400 40% 233,400-466,800 50% 60% >466,800 75%
SIO.AX Simonds Group Limited Australia 0-38,900 25% 38,900-155,600 40% 155,600-233,400 50% 60% >233,400 75%
KNL.AX Kibaran Resources Limited Australia 0-77,800 25% 77,800-233,400 40% 233,400-272,300 50% 60% >272,300 75%
LIT.AX Lithium Australia NL Australia 0-77,800 25% 77,800-466,800 40% 466,800-1,089,200 50% 60% >1,089,200 75%
BRU.AX Buru Energy Ltd Australia 0-77,800 25% 77,800-233,400 40% >233400 75% 75%
1AD.AX Adalta Limited Australia 0-77,800 25% 77,800-233,400 40% >233400 75% 75%
AD1.AX ApplyDirect Limited Australia 0-48,900 25% 48,900-146,700 40% >146700 75% 75%
AHF.AX Australian Dairy Farms Group Australia 0-97,800 25% 97,800-586,800 40% 586,800-1,271,400 50% 60% >1,271,400 75%
HCT.AX Holista CollTech Limited Australia 0-114,100 25% 114,100-342,300 40% >342300 75% 75%
ISX.AX iSignthis Limited Australia 0-97,800 25% 97,800-293,400 40% 293,400-586,800 50% 60% >586,800 75%
QHL.AX Quickstep Holdings Ltd Australia 0-163,000 25% 163,000-489,000 40% >489000 75% 75%
SEN.AX Senetas Corp Ltd Australia 0-163,000 25% 163,000-489,000 40% 489,000-978,000 50% 60% >978,000 75%
SXE.AX Southern Cross Electrical Engineering Ltd Australia 0-32,600 25% 32,600-97,800 40% >97800 75% 75%
STX.AX Strike Energy Ltd Australia 0-163,000 25% 163,000-489,000 40% >489000 75% 75%
ZIP.AX Ziptel Limited Australia 0-114,100 25% 114,100-342,300 40% >342300 75% 75%
BTI.AX Bailador Technology Investments Limited Australia 0-16,300 25% 16,300-48,900 40% >48900 75% 75%
DME.AX Dome Gold Mines Limited Australia 0-48,900 25% 48,900-146,700 40% >146700 75% 75%
HRR.AX Heron Resources Ltd Australia 0-114,100 25% 114,100-342,300 40% >342300 75% 75%
NMT.AX Neometals Ltd Australia 0-48,900 25% 48,900-305,625 40% 305,625-831,300 50% 60% >831,300 75%
PAN.AX Panoramic Resources Ltd Australia 0-81,500 25% 81,500-509,375 40% 509,375-550,125 50% 60% >550,125 75%
PNR.AX Pantoro Limited Australia 0-97,800 25% 97,800-586,800 40% 586,800-1,173,600 50% 60% >1,173,600 75%
CMM.AX Capricorn Metals Limited Australia 0-114,100 25% 114,100-342,300 40% >342300 75% 75%
CHN.AX Chalice Gold Mines Limited Australia 0-97,800 25% 97,800-293,400 40% >293400 75% 75%
AOP.AX Apollo Consolidated Limited Australia 0-163,000 25% 163,000-489,000 40% >489000 75% 75%
CVN.AX Carnarvon Petroleum Ltd Australia 0-163,000 25% 163,000-489,000 40% 489,000-896,500 50% 60% >896,500 75%
CTP.AX Central Petroleum Ltd Australia 0-163,000 25% 163,000-489,000 40% >489000 75% 75%
LER.AX Leaf Resources Limited Australia 0-114,100 25% 114,100-342,300 40% >342300 75% 75%
MX1.AX Micro-X Limited Australia 0-48,900 25% 48,900-146,700 40% >146700 75% 75%
AFA.AX ASF Group Limited Australia 0-79,600 25% 79,600-238,800 40% >238800 75% 75%
FRI.AX Finbar Group Ltd Australia 0-19,900 25% 19,900-59,700 40% >59700 75% 75%
UPG.AX Unity Pacific Group Australia 0-39,800 25% 39,800-119,400 40% >119400 75% 75%
OBJ.AX OBJ Ltd Australia 0-199,000 25% 199,000-995,000 40% 995,000-1,293,500 50% 60% >1,293,500 75%
WPG.AX WPG Resources Ltd Australia 0-208,700 25% 208,700-626,100 40% >626100 75% 75%
PPS.AX Praemium Ltd Australia 0-43,600 25% 43,600-250,700 40% 250,700-436,000 50% 60% >436,000 75%
SDG.AX Sunland Group Ltd Australia 0-10,900 25% 10,900-35,425 40% 35,425-62,675 50% 60% >62,675 75%
EMU.AX Emu NL Australia 0-196,700 25% 196,700-590,100 40% >590100 75% 75%
HLX.AX Helix Resources Ltd Australia 0-196,700 25% 196,700-590,100 40% >590100 75% 75%
PEK.AX Peak Resources Ltd Australia 0-316,900 25% 316,900-950,700 40% >950700 75% 75%
ANG.AX Austin Engineering Ltd Australia 0-136,900 25% 136,900-410,700 40% >410700 75% 75%
BRN.AX BrainChip Holdings Limited Australia 0-136,900 25% 136,900-410,700 40% 410,700-513,375 50% 60% >513,375 75%
DYE.AX Dyesol Ltd Australia 0-92,500 25% 92,500-277,500 40% >277500 75% 75%
OSL.AX OncoSil Medical Ltd Australia 0-136,900 25% 136,900-410,700 40% 410,700-718,725 50% 60% >718,725 75%
RED.AX Red 5 Ltd Australia 0-136,900 25% 136,900-410,700 40% 410,700-821,400 50% 60% >821,400 75%
BLY.AX Boart Longyear Ltd Australia 0-136,900 25% 136,900-410,700 40% >410700 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 6 of 103
PGO.AX Primary Gold Limited Australia 0-136,900 25% 136,900-410,700 40% 410,700-479,150 50% 60% >479,150 75%
MPO.AX Molopo Energy Ltd Australia 0-136,900 25% 136,900-410,700 40% >410700 75% 75%
ABT.AX Abundant Produce Pty Limited Australia 0-18,400 25% 18,400-55,200 40% >55200 75% 75%
ALK.AX Alkane Resources Ltd Australia 0-55,200 25% 55,200-331,200 40% 331,200-372,600 50% 60% >372,600 75%
BID.AX BidEnergy Limited Australia 0-248,000 25% 248,000-744,000 40% >744000 75% 75%
BGD.AX Boulder Steel Ltd Australia 0-372,000 25% 372,000-1,023,000 40% >1023000 75% 75%
EZL.AX Euroz Ltd Australia 0-18,400 25% 18,400-55,200 40% >55200 75% 75%
GRR.AX Grange Resources Ltd Australia 0-142,600 25% 142,600-427,800 40% >427800 75% 75%
HHY.AX Hastings High Yield Fund Australia 0-142,600 25% 142,600-427,800 40% >427800 75% 75%
IBC.AX Ironbark Capital Ltd Australia 0-36,800 25% 36,800-110,400 40% >110400 75% 75%
IWG.AX iWebGate Ltd Australia 0-427,800 25% 427,800-1,497,300 40% >1497300 75% 75%
KRM.AX Kingsrose Mining Ltd Australia 0-142,600 25% 142,600-427,800 40% >427800 75% 75%
LVH.AX Livehire Limited Australia 0-74,400 25% 74,400-223,200 40% 223,200-334,800 50% 60% >334,800 75%
MIL.AX Millennium Services Group Limited Australia 0-13,800 25% 13,800-41,400 40% >41400 75% 75%
OTC.AX OTOC Limited Australia 0-55,200 25% 55,200-165,600 40% 165,600-234,600 50% 60% >234,600 75%
OEL.AX Otto Energy Ltd Australia 0-372,000 25% 372,000-1,023,000 40% 1,023,000-1,581,000 50% 60% >1,581,000 75%
RDF.AX Redflex Holdings Ltd Australia 0-55,200 25% 55,200-165,600 40% >165600 75% 75%
SFI.AX Spookfish Limited Australia 0-285,200 25% 285,200-855,600 40% >855600 75% 75%
VAH.AX Virgin Australia Holdings Limited Australia 0-74,400 25% 74,400-446,400 40% 446,400-632,400 50% 60% >632,400 75%
BYR.AX Burey Gold Limited Australia 0-285,200 25% 285,200-1,497,300 40% 1,497,300-1,996,400 50% 60% >1,996,400 75%
HIG.AX Highlands Pacific Ltd Australia 0-276,000 25% 276,000-828,000 40% >828000 75% 75%
HCH.AX Hot Chili Ltd Australia 0-372,000 25% 372,000-1,023,000 40% >1023000 75% 75%
PGM.AX Platina Resources Limited Australia 0-142,600 25% 142,600-427,800 40% >427800 75% 75%
VXL.AX Valence Industries Ltd Australia 0-148,800 25% 148,800-446,400 40% >446400 75% 75%
BGS.AX Birimian Limited Australia 0-55,200 25% 55,200-331,200 40% 331,200-607,200 50% 60% >607,200 75%
DKM.AX Duketon Mining Limited Australia 0-71,300 25% 71,300-213,900 40% >213900 75% 75%
AVH.AX Avita Medical Limited Australia 0-184,000 25% 184,000-552,000 40% >552000 75% 75%
BLT.AX Benitec Biopharma Ltd Australia 0-142,600 25% 142,600-427,800 40% >427800 75% 75%
LCT.AX Living Cell Technologies Limited Australia 0-186,000 25% 186,000-558,000 40% >558000 75% 75%
MEY.AX Marenica Energy Ltd Australia 0-148,800 25% 148,800-446,400 40% >446400 75% 75%
MEL.AX Metgasco Ltd Australia 0-276,000 25% 276,000-828,000 40% >828000 75% 75%
MMI.AX Metro Mining Ltd Australia 0-142,600 25% 142,600-427,800 40% >427800 75% 75%
PVD.AX Pura Vida Energy NL Australia 0-427,800 25% 427,800-1,497,300 40% >1497300 75% 75%
TOE.AX Toro Energy Ltd Australia 0-356,500 25% 356,500-980,375 40% >980375 75% 75%
YAL.AX Yancoal Australia Ltd Australia 0-110,400 25% 110,400-331,200 40% >331200 75% 75%
HZR.AX Hazer Group Limited Australia 0-27,600 25% 27,600-82,800 40% 82,800-124,200 50% 60% >124,200 75%
UNS.AX Unilife Corp (ASX) Australia 0-276,000 25% 276,000-828,000 40% 828,000-1,173,000 50% 60% >1,173,000 75%
RSH.AX Respiri Ltd Australia 0-372,000 25% 372,000-1,023,000 40% >1023000 75% 75%
GNG.AX GR Engineering Services Limited Australia 0-12,400 25% 12,400-34,100 40% 34,100-62,000 50% 60% >62,000 75%
AVJ.AX AVJennings Ltd (ASX) Australia 0-24,800 25% 24,800-74,400 40% 74,400-99,200 50% 60% >99,200 75%
MRM.AX Mermaid Marine Australia Ltd Australia 0-49,600 25% 49,600-297,600 40% 297,600-496,000 50% 60% >496,000 75%
SPL.AX Starpharma Holdings Ltd Australia 0-24,800 25% 24,800-148,800 40% 148,800-167,400 50% 60% >167,400 75%
LOM.AX Lucapa Diamond Co Ltd Australia 0-49,600 25% 49,600-297,600 40% 297,600-595,200 50% 60% >595,200 75%
MCR.AX Mincor Resources NL Australia 0-49,600 25% 49,600-148,800 40% >148800 75% 75%
MDL.AX Mineral Deposits Ltd Australia 0-49,600 25% 49,600-148,800 40% 148,800-173,600 50% 60% >173,600 75%
TRL.AX Tanga Resources Limited Australia 0-255,400 25% 255,400-766,200 40% >766200 75% 75%
CSS.AX Clean Seas Tuna Ltd Australia 0-388,900 25% 388,900-972,250 40% >972250 75% 75%
CKA.AX Cokal Ltd Australia 0-388,900 25% 388,900-972,250 40% >972250 75% 75%
CHZ.AX Chesser Resources Ltd Australia 0-488,900 25% 488,900-1,466,700 40% >1466700 75% 75%
MHM.AX MHM Metals Ltd Australia 0-488,900 25% 488,900-1,466,700 40% >1466700 75% 75%
SP1.AX Search Party Group Limited Australia 0-300,200 25% 300,200-900,600 40% >900600 75% 75%
PRR.AX Prima Biomed Ltd Australia 0-450,300 25% 450,300-1,463,475 40% >1463475 75% 75%
EXM.AX Excalibur Mining Corp Ltd Australia 0-253,500 25% 253,500-760,500 40% >760500 75% 75%
WBA.AX Webster Ltd Australia 0-14,200 25% 14,200-46,150 40% 46,150-81,650 50% 60% >81,650 75%
ICQ.AX iCar Asia Ltd Australia 0-48,200 25% 48,200-144,600 40% 144,600-192,800 50% 60% >192,800 75%
RFN.AX REFFIND Limited Australia 0-241,000 25% 241,000-723,000 40% >723000 75% 75%
EQX.AX Equatorial Resources Ltd Australia 0-48,200 25% 48,200-144,600 40% >144600 75% 75%
EME.AX Energy Metals Ltd Australia 0-241,000 25% 241,000-723,000 40% >723000 75% 75%
WEC.AX White Energy Co Ltd Australia 0-241,000 25% 241,000-723,000 40% >723000 75% 75%
ABU.AX ABM Resources NL Australia 0-203,700 25% 203,700-611,100 40% >611100 75% 75%
AOK.AX AusTex Oil Ltd Australia 0-349,200 25% 349,200-960,300 40% >960300 75% 75%
HGO.AX Hillgrove Resources Ltd Australia 0-271,600 25% 271,600-814,800 40% >814800 75% 75%
SRS.AX Spicers Ltd Australia 0-611,100 25% 611,100-1,986,075 40% >1986075 75% 75%
QRX.AX QRxPharma Ltd Australia 0-611,100 25% 611,100-1,986,075 40% >1986075 75% 75%
AUC.AX Ausgold Limited Australia 0-349,200 25% 349,200-960,300 40% >960300 75% 75%
AZM.AX Azumah Resources Ltd Australia 0-349,200 25% 349,200-960,300 40% >960300 75% 75%
BBR.AX Bora Bora Resources Limited Australia 0-271,600 25% 271,600-814,800 40% >814800 75% 75%
CXM.AX Centrex Metals Ltd Australia 0-271,600 25% 271,600-814,800 40% >814800 75% 75%
DGR.AX DGR Global Ltd Australia 0-407,400 25% 407,400-1,018,500 40% >1018500 75% 75%
MOD.AX MOD Resources Limited Australia 0-349,200 25% 349,200-2,007,900 40% 2,007,900-4,190,400 50% 60% >4,190,400 75%
THX.AX Thundelarra Ltd Australia 0-407,400 25% 407,400-1,018,500 40% >1018500 75% 75%
VML.AX Vital Metals Limited Australia 0-814,800 25% 814,800-2,444,400 40% >2444400 75% 75%
ALC.AX Alcidion Group Limited Australia 0-271,600 25% 271,600-814,800 40% 814,800-950,600 50% 60% >950,600 75%
ICN.AX Icon Energy Ltd Australia 0-611,100 25% 611,100-1,986,075 40% >1986075 75% 75%
GID.AX GI Dynamics Inc Australia 0-611,100 25% 611,100-1,986,075 40% >1986075 75% 75%
GRB.AX Gage Roads Brewing Co Australia 0-475,300 25% 475,300-1,544,725 40% >1544725 75% 75%
GBG.AX Gindalbie Metals Ltd Australia 0-950,600 25% 950,600-3,089,450 40% >3089450 75% 75%
GWR.AX Golden West Resources Ltd Australia 0-475,300 25% 475,300-1,544,725 40% >1544725 75% 75%
PNN.AX Pepinnini Minerals Ltd Australia 0-950,600 25% 950,600-3,089,450 40% >3089450 75% 75%
ZMI.AX Zinc of Ireland NL Australia 0-950,600 25% 950,600-5,465,950 40% 5,465,950-9,506,000 50% 60% >9,506,000 75%
BGG.AX Blackgold International Holdings Ltd Australia 0-950,600 25% 950,600-3,089,450 40% >3089450 75% 75%
GDY.AX Geodynamics Ltd Australia 0-1,316,200 25% 1,316,200-3,948,600 40% >3948600 75% 75%
SYT.AX Syntonic Limited Australia 0-658,100 25% 658,100-1,974,300 40% 1,974,300-3,619,550 50% 60% >3,619,550 75%
MOX.AX Monax Mining Limited Australia 0-1,316,200 25% 1,316,200-3,948,600 40% >3948600 75% 75%
SER.AX Strategic Energy Resources Limited Australia 0-1,316,200 25% 1,316,200-3,948,600 40% >3948600 75% 75%
CNX.AX Carbon Energy Ltd Australia 0-1,316,200 25% 1,316,200-3,948,600 40% >3948600 75% 75%
CAA.AX Capral Ltd Australia 0-103,700 25% 103,700-311,100 40% 311,100-362,950 50% 60% >362,950 75%
CDC.AX China Dairy Corporation Limited Australia 0-103,700 25% 103,700-311,100 40% >311100 75% 75%
CM8.AX Crowd Mobile Limited Australia 0-103,700 25% 103,700-311,100 40% 311,100-362,950 50% 60% >362,950 75%
FUN.AX Funtastic Ltd Australia 0-1,006,500 25% 1,006,500-3,019,500 40% >3019500 75% 75%
MBT.AX Mission NewEnergy Ltd Australia 0-518,500 25% 518,500-1,555,500 40% >1555500 75% 75%
MBE.AX Mobile Embrace Ltd Australia 0-56,100 25% 56,100-322,575 40% 322,575-490,875 50% 60% >490,875 75%
SVH.AX Silver Heritage Limited Australia 0-56,100 25% 56,100-168,300 40% >168300 75% 75%
AMI.AX Aurelia Metals Ltd Australia 0-103,700 25% 103,700-311,100 40% >311100 75% 75%
ARM.AX Aurora Minerals Ltd Australia 0-280,500 25% 280,500-841,500 40% >841500 75% 75%
APG.AX Austpac Resources NL Australia 0-1,555,500 25% 1,555,500-4,666,500 40% >4666500 75% 75%
BOE.AX Boss Resources Limited Australia 0-311,100 25% 311,100-933,300 40% >933300 75% 75%
HSK.AX Heemskirk Consolidated Ltd Australia 0-311,100 25% 311,100-933,300 40% >933300 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 7 of 103
KRC.AX King River Copper Ltd Australia 0-1,006,500 25% 1,006,500-3,019,500 40% >3019500 75% 75%
LEG.AX Legend Mining Ltd Australia 0-1,555,500 25% 1,555,500-4,666,500 40% >4666500 75% 75%
MAT.AX Matsa Resources Limited Australia 0-67,100 25% 67,100-201,300 40% >201300 75% 75%
RXM.AX Rex Minerals Ltd Australia 0-311,100 25% 311,100-933,300 40% >933300 75% 75%
TYK.AX Tychean Resources Limited Australia 0-1,555,500 25% 1,555,500-4,666,500 40% >4666500 75% 75%
XAM.AX Xanadu Mines Ltd Australia 0-103,700 25% 103,700-311,100 40% >311100 75% 75%
ANW.AX Aus Tin Mining Limited Australia 0-1,555,500 25% 1,555,500-4,666,500 40% >4666500 75% 75%
EGO.AX Empire Oil & Gas NL Australia 0-56,100 25% 56,100-168,300 40% >168300 75% 75%
FTT.AX Factor Therapeutics Limited Australia 0-335,500 25% 335,500-1,006,500 40% >1006500 75% 75%
BRL.AX Bathurst Resources New Zealand Ltd Australia 0-534,700 25% 534,700-1,470,425 40% >1470425 75% 75%
DDT.AX DataDot Technology Limited Australia 0-1,069,400 25% 1,069,400-2,940,850 40% >2940850 75% 75%
EEG.AX Empire Energy Group Ltd Australia 0-1,069,400 25% 1,069,400-2,940,850 40% >2940850 75% 75%
ZYB.AX Zyber Holdings Limited Australia 0-2,138,800 25% 2,138,800-6,416,400 40% >6416400 75% 75%
GLF.AX Gulf Industrials Ltd Australia 0-2,138,800 25% 2,138,800-6,416,400 40% >6416400 75% 75%
RDS.AX Redstone Resources Ltd Australia 0-2,138,800 25% 2,138,800-6,416,400 40% >6416400 75% 75%
VMS.AX Venture Minerals Ltd Australia 0-534,700 25% 534,700-1,470,425 40% >1470425 75% 75%
WLC.AX Wollongong Coal Ltd Australia 0-2,138,800 25% 2,138,800-6,416,400 40% >6416400 75% 75%
AVD.AX Antilles Oil and Gas NL Australia 0-1,069,400 25% 1,069,400-2,940,850 40% >2940850 75% 75%
APY.AX Azonto Petroleum Ltd Australia 0-2,138,800 25% 2,138,800-6,416,400 40% >6416400 75% 75%
REY.AX Rey Resources Ltd Australia 0-1,069,400 25% 1,069,400-2,940,850 40% >2940850 75% 75%
GTG.AX Genetic Technologies Ltd Australia 0-1,069,400 25% 1,069,400-2,940,850 40% >2940850 75% 75%
RRS.AX Range Resources Ltd (ASX) Australia 0-2,138,800 25% 2,138,800-6,416,400 40% >6416400 75% 75%
BCK.AX Brockman Mining Ltd (ASX) Australia 0-1,069,400 25% 1,069,400-2,940,850 40% >2940850 75% 75%
NCR.AX NuCoal Resources Ltd Australia 0-2,851,700 25% 2,851,700-8,555,100 40% >8555100 75% 75%
IKW.AX Ikwezi Mining Ltd Australia 0-2,851,700 25% 2,851,700-8,555,100 40% >8555100 75% 75%
ETE.AX Entek Energy Ltd Australia 0-2,444,300 25% 2,444,300-7,332,900 40% >7332900 75% 75%
KRL.AX Kangaroo Resources Ltd Australia 0-2,444,300 25% 2,444,300-7,332,900 40% >7332900 75% 75%
STA.AX Strandline Resources Limited Australia 0-2,444,300 25% 2,444,300-7,332,900 40% >7332900 75% 75%
SEG.AX Segue Resources Limited Australia 0-4,888,600 25% 4,888,600-14,665,800 40% >14665800 75% 75%
DYL.AX Deep Yellow Ltd Australia 0-4,888,600 25% 4,888,600-14,665,800 40% >14665800 75% 75%
AKK.AX Austin Exploration Limited Australia 0-2,444,300 25% 2,444,300-7,332,900 40% >7332900 75% 75%
KBL.AX KBL Mining Limited Australia 0-11,406,700 25% 11,406,700-34,220,100 40% >34220100 75% 75%
NNW.AX 99 Wuxian Ltd Australia 0-171,100 25% 171,100-342,200 40% >342200 75% 75%
CWE.AX Carnegie Wave Energy Ltd Australia 0-590,000 25% 590,000-1,180,000 40% >1180000 75% 75%
EHL.AX Emeco Holdings Ltd Australia 0-342,200 25% 342,200-684,400 40% >684400 75% 75%
MCS.AX McAleese Ltd Australia 0-684,400 25% 684,400-1,368,800 40% >1368800 75% 75%
NDO.AX Nido Petroleum Ltd Australia 0-171,100 25% 171,100-342,200 40% >342200 75% 75%
REF.AX Reverse Corp Ltd Australia 0-171,100 25% 171,100-342,200 40% >342200 75% 75%
SMA.AX SmartTrans Holdings Limited Australia 0-684,400 25% 684,400-1,368,800 40% 1,368,800-1,711,000 50% 60% >1,711,000 75%
ESV.AX Eservglobal Ltd (ASX) Australia 0-171,100 25% 171,100-342,200 40% 342,200-598,850 50% 60% >598,850 75%
NRT.AX Novogen Ltd Australia 0-171,100 25% 171,100-342,200 40% >342200 75% 75%
AVB.AX Avanco Resources Ltd Australia 0-342,200 25% 342,200-684,400 40% >684400 75% 75%
FMS.AX Flinders Mines Ltd Australia 0-684,400 25% 684,400-1,368,800 40% >1368800 75% 75%
IDA.AX Indiana Resources Ltd Australia 0-171,100 25% 171,100-342,200 40% >342200 75% 75%
NTM.AX Northern Manganese Ltd Australia 0-295,000 25% 295,000-590,000 40% 590,000-1,032,500 50% 60% >1,032,500 75%
POZ.AX Phosphate Australia Ltd Australia 0-684,400 25% 684,400-1,368,800 40% >1368800 75% 75%
AYC.AX A1 Consolidated Gold Limited Australia 0-684,400 25% 684,400-1,368,800 40% >1368800 75% 75%
BSR.AX Bassari Resources Limited Australia 0-684,400 25% 684,400-1,368,800 40% 1,368,800-2,395,400 50% 60% >2,395,400 75%
AEE.AX Aura Energy Ltd Australia 0-684,400 25% 684,400-1,368,800 40% >1368800 75% 75%
BMN.AX Bannerman Resources Ltd Australia 0-684,400 25% 684,400-1,368,800 40% >1368800 75% 75%
EXR.AX Elixir Petroleum Ltd Australia 0-684,400 25% 684,400-1,368,800 40% >1368800 75% 75%
PWN.AX Potash West NL Australia 0-590,000 25% 590,000-1,180,000 40% >1180000 75% 75%
PBT.AX Prana Biotechnology Ltd Australia 0-171,100 25% 171,100-342,200 40% >342200 75% 75%
SEH.AX Sino Gas & Energy Holdings Ltd Australia 0-171,100 25% 171,100-1,026,600 40% 1,026,600-2,737,600 50% 60% >2,737,600 75%
CZA.AX Coal of Africa Ltd (ASX) Australia 0-342,200 25% 342,200-684,400 40% >684400 75% 75%
BCN.AX Beacon Minerals Limited Australia 0-3,422,000 25% 3,422,000-6,844,000 40% >6844000 75% 75%
BPH.AX BPH Energy Limited Australia 0-3,422,000 25% 3,422,000-6,844,000 40% >6844000 75% 75%
CAJ.AX Capitol Health Ltd Australia 0-118,000 25% 118,000-236,000 40% 236,000-1,298,000 50% 60% >1,298,000 75%
CAQ.AX CAQ Holdings Limited Australia 0-118,000 25% 118,000-236,000 40% >236000 75% 75%
CVT.AX Covata Ltd Australia 0-118,000 25% 118,000-236,000 40% 236,000-442,500 50% 60% >442,500 75%
LYL.AX Lycopodium Ltd Australia 0-5,900 25% 5,900-11,800 40% >11800 75% 75%
BCI.AX BC Iron Ltd Australia 0-118,000 25% 118,000-236,000 40% 236,000-295,000 50% 60% >295,000 75%
SWL.AX Seymour Whyte Ltd Australia 0-23,600 25% 23,600-47,200 40% >47200 75% 75%
SHM.AX Shriro Holdings Limited Australia 0-14,500 25% 14,500-29,000 40% 29,000-108,750 50% 60% >108,750 75%
SLX.AX Silex Systems Ltd Australia 0-58,000 25% 58,000-116,000 40% >116000 75% 75%
SWK.AX Swick Mining Services Ltd Australia 0-58,000 25% 58,000-116,000 40% 116,000-203,000 50% 60% >203,000 75%
ZML.AX zipMoney Limited Australia 0-23,600 25% 23,600-47,200 40% 47,200-141,600 50% 60% >141,600 75%
BSE.AX Base Resources Ltd Australia 0-118,000 25% 118,000-236,000 40% 236,000-501,500 50% 60% >501,500 75%
RMP.AX Red Emperor Resources NL (ASX) Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
SUD.AX Suda Ltd Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
ACL.AX Alchemia Ltd Australia 0-1,711,000 25% 1,711,000-3,422,000 40% >3422000 75% 75%
IVX.AX Invion Ltd Australia 0-4,277,500 25% 4,277,500-8,555,000 40% >8555000 75% 75%
ALY.AX Alchemy Resources Ltd Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
AUZ.AX Australian Mines Ltd Australia 0-1,711,000 25% 1,711,000-3,422,000 40% 3,422,000-5,988,500 50% 60% >5,988,500 75%
CFE.AX Cape Lambert Resources Ltd Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
CJC.AX Carajas Copper Co Ltd Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
CAV.AX Carnavale Resources Limited Australia 0-1,711,000 25% 1,711,000-3,422,000 40% >3422000 75% 75%
DEG.AX De Grey Mining Limited Australia 0-6,844,000 25% 6,844,000-13,688,000 40% >13688000 75% 75%
FXR.AX Fox Resources Ltd Australia 0-8,555,000 25% 8,555,000-17,110,000 40% >17110000 75% 75%
GMR.AX Golden Rim Resources Limited Australia 0-1,711,000 25% 1,711,000-3,422,000 40% 3,422,000-5,988,500 50% 60% >5,988,500 75%
HEG.AX Hill End Gold Ltd Australia 0-8,555,000 25% 8,555,000-17,110,000 40% >17110000 75% 75%
IOD.AX IODM Ltd Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
AUQ.AX Alara Resources Limited Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
CDV.AX Cardinal Resources Limited Australia 0-29,500 25% 29,500-177,000 40% 177,000-472,000 50% 60% >472,000 75%
GMN.AX Gold Mountain Limited Australia 0-118,000 25% 118,000-236,000 40% >236000 75% 75%
AJX.AX Alexium International Group Ltd Australia 0-29,500 25% 29,500-59,000 40% 59,000-354,000 50% 60% >354,000 75%
BNO.AX Bionomics Ltd Australia 0-58,000 25% 58,000-116,000 40% 116,000-275,500 50% 60% >275,500 75%
HOG.AX Hawkley Oil and Gas Ltd Australia 0-4,277,500 25% 4,277,500-8,555,000 40% >8555000 75% 75%
NSE.AX New Standard Energy Ltd Australia 0-3,422,000 25% 3,422,000-6,844,000 40% >6844000 75% 75%
PCL.AX Pancontinental Oil & Gas NL Australia 0-4,277,500 25% 4,277,500-8,555,000 40% >8555000 75% 75%
PEN.AX Peninsula Energy Ltd Australia 0-29,500 25% 29,500-59,000 40% >59000 75% 75%
PRL.AX Petrel Energy Ltd Australia 0-1,711,000 25% 1,711,000-3,422,000 40% >3422000 75% 75%
PVE.AX Po Valley Energy Ltd Australia 0-855,500 25% 855,500-1,711,000 40% >1711000 75% 75%
ROG.AX Red Sky Energy Limited Australia 0-17,110,000 25% 17,110,000-34,220,000 40% >34220000 75% 75%
TPD.AX Talon Petroleum Ltd Australia 0-1,711,000 25% 1,711,000-3,422,000 40% >3422000 75% 75%
WHN.AX WHL Energy Ltd Australia 0-17,110,000 25% 17,110,000-34,220,000 40% >34220000 75% 75%
MRV.AX Moreton Resources Limited Australia 0-4,277,500 25% 4,277,500-8,555,000 40% >8555000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 8 of 103
SSN.AX Samson Oil & Gas Ltd Australia 0-3,422,000 25% 3,422,000-6,844,000 40% >6844000 75% 75%
FCR.AX Ferrum Crescent Limited Australia 0-4,277,500 25% 4,277,500-8,555,000 40% 8,555,000-13,901,875 50% 60% >13,901,875 75%
LWP.AX LWP Technologies Limited Australia 0-5,703,300 25% 5,703,300-15,684,075 40% >15684075 75% 75%
MSP.AX Maxsec Group Limited Australia 0-633,700 25% 633,700-2,059,525 40% >2059525 75% 75%
MKB.AX Moko Social Media Ltd Australia 0-5,703,300 25% 5,703,300-15,684,075 40% >15684075 75% 75%
VMG.AX VDM Group Ltd Australia 0-5,703,300 25% 5,703,300-15,684,075 40% >15684075 75% 75%
MLS.AX Metals Australia Ltd Australia 0-5,703,300 25% 5,703,300-15,684,075 40% >15684075 75% 75%
WGO.AX Waratah Resources Ltd Australia 0-1,901,100 25% 1,901,100-5,703,300 40% >5703300 75% 75%
VIC.AX Victory Mines Limited Australia 0-5,703,300 25% 5,703,300-15,684,075 40% >15684075 75% 75%
MRD.AX Mount Ridley Mines Limited Australia 0-1,901,100 25% 1,901,100-5,703,300 40% >5703300 75% 75%
SDL.AX Sundance Resources Ltd Australia 0-5,703,300 25% 5,703,300-15,684,075 40% >15684075 75% 75%
OEX.AX Oilex Ltd Australia 0-1,901,100 25% 1,901,100-5,703,300 40% >5703300 75% 75%
MNC.AX Metminco Ltd (ASX) Australia 0-5,703,300 25% 5,703,300-15,684,075 40% >15684075 75% 75%
AGO.AX Atlas Iron Ltd Australia 0-1,629,500 25% 1,629,500-10,184,375 40% 10,184,375-14,665,500 50% 60% >14,665,500 75%
BXN.AX Bioxyne Limited Australia 0-743,900 25% 743,900-2,045,725 40% >2045725 75% 75%
TSN.AX Transaction Solutions International Limited Australia 0-743,900 25% 743,900-2,045,725 40% 2,045,725-2,789,625 50% 60% >2,789,625 75%
BUL.AX Blue Energy Ltd Australia 0-743,900 25% 743,900-2,045,725 40% >2045725 75% 75%
HZN.AX Horizon Oil Ltd Australia 0-397,900 25% 397,900-994,750 40% >994750 75% 75%
AKM.AX Aspire Mining Ltd Australia 0-712,900 25% 712,900-1,960,475 40% >1960475 75% 75%
GBE.AX Globe Metals and Mining Ltd Australia 0-712,900 25% 712,900-1,960,475 40% >1960475 75% 75%
KAS.AX Kasbah Resources Ltd Australia 0-712,900 25% 712,900-1,960,475 40% >1960475 75% 75%
SIH.AX Sihayo Gold Ltd Australia 0-1,425,800 25% 1,425,800-4,633,850 40% >4633850 75% 75%
TER.AX Terracom Ltd Australia 0-712,900 25% 712,900-1,960,475 40% >1960475 75% 75%
BUD.AX Buddy Platform Inc Australia 0-180,100 25% 180,100-540,300 40% >540300 75% 75%
NOR.AX Norwood Systems Limited Australia 0-900,500 25% 900,500-3,602,000 40% 3,602,000-5,853,250 50% 60% >5,853,250 75%
GBZ.AX GBM Resources Limited Australia 0-900,500 25% 900,500-2,476,375 40% >2476375 75% 75%
ORN.AX Orion Gold NL Australia 0-900,500 25% 900,500-2,476,375 40% >2476375 75% 75%
ESI.AX Environmental Clean Technologies Limited Australia 0-1,222,100 25% 1,222,100-3,360,775 40% >3360775 75% 75%
HTA.AX Hutchison Telecommunications Australia Ltd Australia 0-222,200 25% 222,200-666,600 40% >666600 75% 75%
IVO.AX Invigor Group Limited Australia 0-777,700 25% 777,700-2,527,525 40% >2527525 75% 75%
TGS.AX Tiger Resources Ltd Australia 0-777,700 25% 777,700-2,527,525 40% >2527525 75% 75%
POH.AX Phosphagenics Ltd Australia 0-777,700 25% 777,700-2,527,525 40% >2527525 75% 75%
CTO.AX Citigold Corp Ltd Australia 0-1,222,100 25% 1,222,100-3,360,775 40% >3360775 75% 75%
RER.AX Regal Resources Limited Australia 0-1,222,100 25% 1,222,100-3,360,775 40% >3360775 75% 75%
MAD.AX Maverick Drilling & Exploration Ltd Australia 0-222,200 25% 222,200-666,600 40% >666600 75% 75%
NEU.AX Neuren Pharmaceuticals Ltd Australia 0-417,300 25% 417,300-1,460,550 40% >1460550 75% 75%
GPR.AX Geopacific Resources Limited Australia 0-417,300 25% 417,300-1,460,550 40% >1460550 75% 75%
ACB.AX A-Cap Resources Ltd Australia 0-417,300 25% 417,300-1,460,550 40% >1460550 75% 75%
AFR.AX African Energy Resources Ltd Australia 0-417,300 25% 417,300-1,460,550 40% >1460550 75% 75%
M7T.AX 3D Medical Ltd Australia 0-438,700 25% 438,700-1,535,450 40% >1535450 75% 75%
AGS.AX Alliance Resources Ltd Australia 0-380,200 25% 380,200-1,045,550 40% >1045550 75% 75%
NTU.AX Northern Minerals Ltd Australia 0-190,100 25% 190,100-570,300 40% >570300 75% 75%
PPP.AX Pan Pacific Petroleum NL Australia 0-551,900 25% 551,900-1,517,725 40% >1517725 75% 75%
STL.AX Stargroup Limited Australia 0-551,900 25% 551,900-1,517,725 40% >1517725 75% 75%
MEO.AX MEO Australia Ltd Australia 0-503,200 25% 503,200-1,509,600 40% >1509600 75% 75%
MNW.AX Mint Wireless Ltd Australia 0-231,200 25% 231,200-693,600 40% >693600 75% 75%
AVX.AX Avexa Ltd Australia 0-462,400 25% 462,400-1,502,800 40% >1502800 75% 75%
ARU.AX Arafura Resources Ltd Australia 0-231,200 25% 231,200-693,600 40% >693600 75% 75%
RNU.AX Renascor Resources Limited Australia 0-462,400 25% 462,400-1,502,800 40% >1502800 75% 75%
VRC.AX Volt Resources Limited Australia 0-231,200 25% 231,200-1,502,800 40% 1,502,800-2,254,200 50% 60% >2,254,200 75%
AIS.AX Straits Resources Ltd Australia 0-322,800 25% 322,800-968,400 40% >968400 75% 75%
1PG.AX 1-Page Ltd Australia 0-61,100 25% 61,100-381,875 40% 381,875-794,300 50% 60% >794,300 75%
AOH.AX Altona Mining Ltd Australia 0-122,200 25% 122,200-366,600 40% 366,600-427,700 50% 60% >427,700 75%
ADO.AX Anteo Diagnostics Ltd Australia 0-305,500 25% 305,500-916,500 40% >916500 75% 75%
BOL.AX Boom Logistics Ltd Australia 0-131,600 25% 131,600-394,800 40% >394800 75% 75%
BPF.AX Bulletproof Group Limited Australia 0-61,100 25% 61,100-183,300 40% 183,300-213,850 50% 60% >213,850 75%
CUE.AX Cue Energy Resources Ltd Australia 0-263,200 25% 263,200-789,600 40% >789600 75% 75%
ECG.AX eCargo Holdings Limited Australia 0-65,800 25% 65,800-197,400 40% >197400 75% 75%
EGN.AX Engenco Ltd Australia 0-122,200 25% 122,200-366,600 40% >366600 75% 75%
FBR.AX Fastbrick Robotics Limited Australia 0-263,200 25% 263,200-1,513,400 40% 1,513,400-2,171,400 50% 60% >2,171,400 75%
HNG.AX HGL Ltd Australia 0-37,600 25% 37,600-112,800 40% >112800 75% 75%
IRC.AX Intermin Resources Limited Australia 0-131,600 25% 131,600-394,800 40% >394800 75% 75%
KBC.AX Keybridge Capital Ltd Australia 0-122,200 25% 122,200-366,600 40% >366600 75% 75%
RFL.AX Rubik Financial Ltd Australia 0-131,600 25% 131,600-394,800 40% >394800 75% 75%
SNC.AX Sandon Capital Investments Limited Australia 0-18,800 25% 18,800-56,400 40% >56400 75% 75%
SOR.AX Strategic Elements Limited Australia 0-131,600 25% 131,600-394,800 40% >394800 75% 75%
TPP.AX Tempo Australia Ltd Australia 0-61,100 25% 61,100-183,300 40% 183,300-259,675 50% 60% >259,675 75%
UNV.AX Universal Coal PLC Australia 0-131,600 25% 131,600-394,800 40% >394800 75% 75%
VMT.AX Vmoto Limited Australia 0-122,200 25% 122,200-366,600 40% >366600 75% 75%
WLD.AX Wellard Limited Australia 0-65,800 25% 65,800-394,800 40% 394,800-1,316,000 50% 60% >1,316,000 75%
BAU.AX Bauxite Resources Ltd Australia 0-263,200 25% 263,200-789,600 40% >789600 75% 75%
KDL.AX Kimberley Diamonds Ltd Australia 0-244,400 25% 244,400-733,200 40% >733200 75% 75%
POS.AX Poseidon Nickel Ltd Australia 0-305,500 25% 305,500-916,500 40% 916,500-1,680,250 50% 60% >1,680,250 75%
SGQ.AX St George Mining Limited Australia 0-131,600 25% 131,600-394,800 40% 394,800-690,900 50% 60% >690,900 75%
SRK.AX Strike Resources Ltd Australia 0-364,000 25% 364,000-1,001,000 40% >1001000 75% 75%
RGS.AX Regeneus Ltd Australia 0-122,200 25% 122,200-366,600 40% >366600 75% 75%
VLA.AX Viralytics Ltd Australia 0-18,800 25% 18,800-75,200 40% 75,200-117,500 50% 60% >117,500 75%
BPS.AX BPS Technology Limited Australia 0-18,200 25% 18,200-54,600 40% >54600 75% 75%
PAI.AX Platinum Asia Investments Ltd Australia 0-18,200 25% 18,200-54,600 40% 54,600-91,000 50% 60% >91,000 75%
LGD.AX Legend Corporation Limited Australia 0-72,800 25% 72,800-218,400 40% >218400 75% 75%
IDT.AX IDT Australia Ltd Australia 0-72,800 25% 72,800-218,400 40% >218400 75% 75%
CRB.AX Carbine Resources Limited Australia 0-72,800 25% 72,800-218,400 40% >218400 75% 75%
KGL.AX Kentor Gold Ltd Australia 0-72,800 25% 72,800-218,400 40% >218400 75% 75%
SO4.AX Salt Lake Potash Limited Australia 0-36,400 25% 36,400-109,200 40% 109,200-127,400 50% 60% >127,400 75%
KPO.AX Kalina Power Limited Australia 0-228,100 25% 228,100-684,300 40% >684300 75% 75%
OMH.AX OM Holdings Ltd Australia 0-228,100 25% 228,100-684,300 40% >684300 75% 75%
TAM.AX Tanami Gold NL Australia 0-228,100 25% 228,100-684,300 40% >684300 75% 75%
RNT.AX Rent.com.au Limited Australia 0-178,200 25% 178,200-534,600 40% >534600 75% 75%
TAP.AX Tap Oil Ltd Australia 0-194,400 25% 194,400-583,200 40% >583200 75% 75%
IMA.AX Image Resources NL Australia 0-267,300 25% 267,300-801,900 40% >801900 75% 75%
SMI.AX Santana Minerals Ltd Australia 0-267,300 25% 267,300-801,900 40% >801900 75% 75%
RES.AX Resource Generation Ltd Australia 0-194,400 25% 194,400-583,200 40% >583200 75% 75%
CCA.AX ChimpChange Limited Australia 0-31,100 25% 31,100-93,300 40% >93300 75% 75%
ICU.AX Isentric Ltd Australia 0-155,500 25% 155,500-466,500 40% >466500 75% 75%
MAH.AX Macmahon Holdings Ltd Australia 0-155,500 25% 155,500-933,000 40% 933,000-1,127,375 50% 60% >1,127,375 75%
NEA.AX Nearmap Ltd Australia 0-31,100 25% 31,100-186,600 40% 186,600-373,200 50% 60% >373,200 75%
RNY.AX RNY Property Trust Australia 0-155,500 25% 155,500-466,500 40% >466500 75% 75%
TTC.AX Traditional Therapy Clinics Limited Australia 0-31,100 25% 31,100-93,300 40% >93300 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 9 of 103
TLG.AX Talga Resources Limited Australia 0-62,200 25% 62,200-186,600 40% >186600 75% 75%
TZN.AX Terramin Australia Ltd Australia 0-155,500 25% 155,500-466,500 40% >466500 75% 75%
TNG.AX TNG Ltd Australia 0-155,500 25% 155,500-466,500 40% >466500 75% 75%
UBI.AX Universal Biosensors Inc Australia 0-62,200 25% 62,200-186,600 40% >186600 75% 75%
ACG.AX AtCor Medical Holdings Limited Australia 0-155,500 25% 155,500-466,500 40% >466500 75% 75%
ADJ.AX Adslot Ltd Australia 0-126,700 25% 126,700-506,800 40% 506,800-823,550 50% 60% >823,550 75%
CND.AX Clarius Group Ltd Australia 0-126,700 25% 126,700-380,100 40% >380100 75% 75%
DCG.AX Decmil Group Ltd Australia 0-18,900 25% 18,900-108,675 40% 108,675-207,900 50% 60% >207,900 75%
HRL.AX HRL Holdings Limited Australia 0-126,700 25% 126,700-380,100 40% >380100 75% 75%
MA1.AX Monash Absolute Investment Company Limited Australia 0-18,900 25% 18,900-56,700 40% >56700 75% 75%
HXG.AX Hexagon Resources Ltd Australia 0-126,700 25% 126,700-380,100 40% >380100 75% 75%
ATC.AX Altech Chemicals Limited Australia 0-126,700 25% 126,700-380,100 40% >380100 75% 75%
COE.AX Cooper Energy Ltd Australia 0-54,300 25% 54,300-162,900 40% 162,900-230,775 50% 60% >230,775 75%
OZG.AX Ozgrowth Ltd Australia 0-106,900 25% 106,900-320,700 40% >320700 75% 75%
ATR.AX Astron Corp Ltd Australia 0-106,900 25% 106,900-320,700 40% >320700 75% 75%
NOX.AX Noxopharm Limited Australia 0-106,900 25% 106,900-320,700 40% >320700 75% 75%
FZR.AX Fitzroy River Corp Ltd Australia 0-106,900 25% 106,900-320,700 40% >320700 75% 75%
AAX.AX Ausenco Ltd Australia 0-43,300 25% 43,300-129,900 40% >129900 75% 75%
DTI.AX DTI Group Limited Australia 0-43,300 25% 43,300-129,900 40% >129900 75% 75%
YBR.AX Yellow Brick Road Holdings Ltd Australia 0-100,600 25% 100,600-301,800 40% >301800 75% 75%
LPI.AX Lithium Power International Limited Australia 0-50,300 25% 50,300-301,800 40% 301,800-452,700 50% 60% >452,700 75%
PSA.AX Petsec Energy Ltd Australia 0-100,600 25% 100,600-301,800 40% >301800 75% 75%
LAA.AX LatAm Autos Limited Australia 0-87,700 25% 87,700-285,025 40% >285025 75% 75%
ELM.AX Elemental Minerals Ltd Australia 0-87,700 25% 87,700-285,025 40% >285025 75% 75%
SMX.AX SMS Management & Technology Ltd Australia 0-9,800 25% 9,800-58,800 40% 58,800-137,200 50% 60% >137,200 75%
CLT.AX Cellnet Group Ltd Australia 0-69,800 25% 69,800-209,400 40% >209400 75% 75%
MIG.AX migme Limited Australia 0-69,800 25% 69,800-209,400 40% >209400 75% 75%
RWD.AX Reward Minerals Ltd Australia 0-34,900 25% 34,900-95,975 40% >95975 75% 75%
AJL.AX AJ Lucas Group Ltd Australia 0-57,000 25% 57,000-171,000 40% >171000 75% 75%
BLG.AX BluGlass Ltd Australia 0-45,600 25% 45,600-273,600 40% 273,600-296,400 50% 60% >296,400 75%
DTX.AX Datetix Group Limited Australia 0-45,000 25% 45,000-135,000 40% >135000 75% 75%
FCT.AX Firstwave Cloud Technology Limited Australia 0-38,000 25% 38,000-228,000 40% 228,000-313,500 50% 60% >313,500 75%
FFT.AX Future Fibre Technologies Limited Australia 0-68,400 25% 68,400-205,200 40% >205200 75% 75%
HIL.AX Hills Holdings Ltd Australia 0-47,500 25% 47,500-142,500 40% 142,500-237,500 50% 60% >237,500 75%
JIN.AX Jumbo Interactive Ltd Australia 0-9,500 25% 9,500-30,875 40% >30875 75% 75%
MAI.AX MainstreamBPO Limited Australia 0-22,800 25% 22,800-68,400 40% >68400 75% 75%
MCE.AX Matrix Composites & Engineering Ltd Australia 0-38,000 25% 38,000-114,000 40% >114000 75% 75%
MXI.AX MaxiTRANS Industries Ltd Australia 0-28,500 25% 28,500-85,500 40% >85500 75% 75%
NAM.AX Namoi Cotton Co-operative Limited Australia 0-47,500 25% 47,500-142,500 40% >142500 75% 75%
NZO.AX New Zealand Oil & Gas Ltd Australia 0-38,000 25% 38,000-114,000 40% >114000 75% 75%
NZM.AX NZME. Limited Australia 0-22,800 25% 22,800-142,500 40% 142,500-273,600 50% 60% >273,600 75%
PPC.AX Peet Ltd Australia 0-17,100 25% 17,100-98,325 40% 98,325-158,175 50% 60% >158,175 75%
PBP.AX Probiotec Ltd Australia 0-38,000 25% 38,000-114,000 40% >114000 75% 75%
PPG.AX Pro-Pac Packaging Limited Australia 0-34,200 25% 34,200-102,600 40% >102600 75% 75%
PSI.AX PSC Insurance Group Limited Australia 0-9,500 25% 9,500-30,875 40% 30,875-38,000 50% 60% >38,000 75%
RHL.AX Ruralco Holdings Ltd Australia 0-5,700 25% 5,700-15,675 40% >15675 75% 75%
MGX.AX Mount Gibson Iron Ltd Australia 0-57,000 25% 57,000-356,250 40% 356,250-969,000 50% 60% >969,000 75%
AVQ.AX Axiom Mining Ltd Australia 0-76,000 25% 76,000-228,000 40% 228,000-456,000 50% 60% >456,000 75%
HAV.AX Havilah Resources NL Australia 0-22,800 25% 22,800-68,400 40% 68,400-96,900 50% 60% >96,900 75%
IMD.AX Imdex Ltd Australia 0-28,500 25% 28,500-171,000 40% 171,000-285,000 50% 60% >285,000 75%
SVL.AX Silver Mines Limited Australia 0-76,000 25% 76,000-456,000 40% 456,000-589,000 50% 60% >589,000 75%
KIN.AX KIN Mining NL Australia 0-68,400 25% 68,400-205,200 40% >205200 75% 75%
NEN.AX Neon Energy Ltd Australia 0-68,400 25% 68,400-205,200 40% >205200 75% 75%
PHG.AX Pulse Health Limited Australia 0-57,000 25% 57,000-171,000 40% 171,000-199,500 50% 60% >199,500 75%
CMA.AX Centuria Metropolitan REIT Australia 0-7,500 25% 7,500-24,375 40% 24,375-39,375 50% 60% >39,375 75%
PRT.AX Prime Media Group Ltd Australia 0-60,000 25% 60,000-345,000 40% 345,000-600,000 50% 60% >600,000 75%
PRO.AX Prophecy International Holdings Limited Australia 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
SND.AX Saunders International Limited Australia 0-30,000 25% 30,000-90,000 40% >90000 75% 75%
SFH.AX Specialty Fashion Group Ltd Australia 0-30,000 25% 30,000-90,000 40% >90000 75% 75%
AHK.AX ARK Mines Limited Australia 0-60,000 25% 60,000-180,000 40% >180000 75% 75%
ORR.AX Ore Corporation Limited Australia 0-30,000 25% 30,000-120,000 40% 120,000-180,000 50% 60% >180,000 75%
CLX.AX CTI Logistics Limited Australia 0-20,600 25% 20,600-61,800 40% >61800 75% 75%
GFY.AX Godfreys Group Limited Australia 0-20,600 25% 20,600-61,800 40% 61,800-82,400 50% 60% >82,400 75%
OTH.AX Onthehouse Holdings Ltd Australia 0-20,600 25% 20,600-61,800 40% 61,800-72,100 50% 60% >72,100 75%
KCN.AX Kingsgate Consolidated Ltd Australia 0-41,700 25% 41,700-250,200 40% 250,200-458,700 50% 60% >458,700 75%
LCM.AX LogiCamms Ltd Australia 0-41,700 25% 41,700-125,100 40% >125100 75% 75%
MEA.AX McGrath Limited Australia 0-13,900 25% 13,900-83,400 40% 83,400-132,050 50% 60% >132,050 75%
RAN.AX Range International Limited Australia 0-12,300 25% 12,300-73,800 40% 73,800-147,600 50% 60% >147,600 75%
BIS.AX Bisalloy Steel Group Ltd Australia 0-39,300 25% 39,300-117,900 40% >117900 75% 75%
CCV.AX Cash Converters International Ltd Australia 0-52,600 25% 52,600-328,750 40% 328,750-512,850 50% 60% >512,850 75%
WAF.AX West African Resources Limited Australia 0-52,600 25% 52,600-328,750 40% 328,750-578,600 50% 60% >578,600 75%
AQI.AX Alicanto Minerals Limited Australia 0-52,600 25% 52,600-157,800 40% 157,800-184,100 50% 60% >184,100 75%
OCC.AX Orthocell Limited Australia 0-52,600 25% 52,600-157,800 40% >157800 75% 75%
SRG.AX SRG Ltd Australia 0-13,000 25% 13,000-39,000 40% 39,000-45,500 50% 60% >45,500 75%
RHP.AX Rhipe Limited Australia 0-17,900 25% 17,900-53,700 40% 53,700-62,650 50% 60% >62,650 75%
FSA.AX FSA Group Ltd Australia 0-15,400 25% 15,400-46,200 40% >46200 75% 75%
FGX.AX Future Generation Investment Company Limited Australia 0-15,400 25% 15,400-88,550 40% 88,550-200,200 50% 60% >200,200 75%
SLM.AX Salmat Ltd Australia 0-30,800 25% 30,800-92,400 40% >92400 75% 75%
BFG.AX Bell Financial Group Ltd Australia 0-22,200 25% 22,200-66,600 40% >66600 75% 75%
BWR.AX Blackwall Property Trust Australia 0-13,200 25% 13,200-39,600 40% >39600 75% 75%
PMP.AX PMP Ltd Australia 0-25,900 25% 25,900-77,700 40% 77,700-97,125 50% 60% >97,125 75%
REX.AX Regional Express Holdings Ltd Australia 0-23,100 25% 23,100-69,300 40% >69300 75% 75%
ACR.AX Acrux Ltd Australia 0-44,400 25% 44,400-133,200 40% 133,200-188,700 50% 60% >188,700 75%
DNK.AX Danakali Ltd Australia 0-46,200 25% 46,200-138,600 40% >138600 75% 75%
NWF.AX Newfield Resources Limited Australia 0-51,800 25% 51,800-155,400 40% >155400 75% 75%
GPX.AX Graphex Mining Limited Australia 0-40,700 25% 40,700-122,100 40% >122100 75% 75%
AHZ.AX Admedus Ltd Australia 0-51,800 25% 51,800-155,400 40% 155,400-246,050 50% 60% >246,050 75%
ELX.AX Ellex Medical Lasers Limited Australia 0-15,900 25% 15,900-51,675 40% 51,675-67,575 50% 60% >67,575 75%
RFX.AX Redflow Ltd Australia 0-42,200 25% 42,200-253,200 40% 253,200-464,200 50% 60% >464,200 75%
ASZ.AX ASG Group Ltd Australia 0-13,300 25% 13,300-79,800 40% 79,800-172,900 50% 60% >172,900 75%
PIC.AX Perpetual Equity Investment Company Limited Australia 0-17,800 25% 17,800-53,400 40% 53,400-89,000 50% 60% >89,000 75%
LAU.AX Lindsay Australia Limited Australia 0-35,600 25% 35,600-106,800 40% >106800 75% 75%
MFF.AX Magellan Flagship Fund Ltd (ASX) Australia 0-9,600 25% 9,600-60,000 40% 60,000-144,000 50% 60% >144,000 75%
MJP.AX Martin Aircraft Co Ltd Australia 0-38,400 25% 38,400-124,800 40% >124800 75% 75%
WIG.AX Wilson HTM Investment Group Ltd Australia 0-9,600 25% 9,600-31,200 40% 31,200-38,400 50% 60% >38,400 75%
TOP.AX Thorney Opportunities Limited Australia 0-25,500 25% 25,500-76,500 40% >76500 75% 75%
CYA.AX Century Australia Investments Ltd Australia 0-20,100 25% 20,100-60,300 40% >60300 75% 75%
FRM.AX Farm Pride Foods Limited Australia 0-8,500 25% 8,500-51,000 40% 51,000-57,375 50% 60% >57,375 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 10 of 103
LHC.AX LifeHealthcare Group Ltd Australia 0-8,500 25% 8,500-51,000 40% 51,000-72,250 50% 60% >72,250 75%
TCH.AX Touchcorp Ltd Australia 0-8,500 25% 8,500-51,000 40% 51,000-153,000 50% 60% >153,000 75%
AIZ.AX Air New Zealand Ltd Australia 0-7,300 25% 7,300-45,625 40% 45,625-49,275 50% 60% >49,275 75%
CLQ.AX Clean TeQ Holdings Limited Australia 0-29,200 25% 29,200-182,500 40% 182,500-496,400 50% 60% >496,400 75%
TOX.AX Tox Free Solutions Ltd Australia 0-7,300 25% 7,300-45,625 40% 45,625-116,800 50% 60% >116,800 75%
AMH.AX AMCIL Ltd Australia 0-17,700 25% 17,700-53,100 40% >53100 75% 75%
FLK.AX Folkestone Limited Australia 0-17,700 25% 17,700-53,100 40% 53,100-66,375 50% 60% >66,375 75%
ADH.AX Adairs Ltd Australia 0-7,000 25% 7,000-40,250 40% 40,250-105,000 50% 60% >105,000 75%
ASW.AX Advanced Share Registry Limited Australia 0-24,400 25% 24,400-73,200 40% >73200 75% 75%
CDA.AX Codan Ltd Australia 0-12,200 25% 12,200-48,800 40% 48,800-76,250 50% 60% >76,250 75%
GEG.AX Grays eCommerce Group Limited Australia 0-12,200 25% 12,200-76,250 40% 76,250-103,700 50% 60% >103,700 75%
KSC.AX K&S Corp Ltd Australia 0-12,200 25% 12,200-33,550 40% 33,550-42,700 50% 60% >42,700 75%
TGG.AX Templeton Global Growth Fund Australia 0-14,000 25% 14,000-84,000 40% 84,000-108,500 50% 60% >108,500 75%
WHF.AX Whitefield Ltd Australia 0-4,000 25% 4,000-10,000 40% 10,000-14,000 50% 60% >14,000 75%
S2R.AX S2 Resources Limited Australia 0-24,400 25% 24,400-152,500 40% 152,500-317,200 50% 60% >317,200 75%
OPT.AX Circadian Technologies Ltd Australia 0-28,000 25% 28,000-84,000 40% >84000 75% 75%
OVN.AX Oventus Medical Limited Australia 0-24,400 25% 24,400-73,200 40% >73200 75% 75%
EAI.AX Ellerston Asian Investments Limited Australia 0-20,700 25% 20,700-62,100 40% >62100 75% 75%
ATU.AX Atrum Coal NL Australia 0-20,700 25% 20,700-62,100 40% >62100 75% 75%
TGP.AX 360 Capital Group Limited Australia 0-17,600 25% 17,600-110,000 40% 110,000-132,000 50% 60% >132,000 75%
AQZ.AX Alliance Aviation Services Ltd Australia 0-20,200 25% 20,200-60,600 40% >60600 75% 75%
AHX.AX Apiam Animal Health Limited Australia 0-10,100 25% 10,100-30,300 40% >30300 75% 75%
GLB.AX Globe International Ltd Australia 0-16,900 25% 16,900-50,700 40% >50700 75% 75%
CDM.AX Cadence Capital Ltd Australia 0-13,600 25% 13,600-81,600 40% 81,600-136,000 50% 60% >136,000 75%
KOV.AX Korvest Ltd Australia 0-6,800 25% 6,800-20,400 40% >20400 75% 75%
BKI.AX BKI Investment Co Ltd Australia 0-10,800 25% 10,800-64,800 40% 64,800-105,300 50% 60% >105,300 75%
BBG.AX Billabong International Ltd Australia 0-14,400 25% 14,400-86,400 40% 86,400-118,800 50% 60% >118,800 75%
ALF.AX Australian Leaders Fund Ltd Australia 0-11,300 25% 11,300-70,625 40% 70,625-113,000 50% 60% >113,000 75%
NBL.AX Noni B Ltd Australia 0-10,500 25% 10,500-28,875 40% 28,875-57,750 50% 60% >57,750 75%
CTN.AX Contango Microcap Ltd Australia 0-14,900 25% 14,900-89,400 40% 89,400-119,200 50% 60% >119,200 75%
TEN.AX Ten Network Holdings Ltd Australia 0-13,700 25% 13,700-78,775 40% 78,775-205,500 50% 60% >205,500 75%
AJD.AX Asia Pacific Data Centre Group Australia 0-10,400 25% 10,400-59,800 40% 59,800-114,400 50% 60% >114,400 75%
HPI.AX Hotel Property Investments Ltd Australia 0-5,500 25% 5,500-34,375 40% 34,375-66,000 50% 60% >66,000 75%
IDX.AX Integral Diagnostics Ltd Australia 0-11,000 25% 11,000-66,000 40% 66,000-101,750 50% 60% >101,750 75%
DJW.AX Djerriwarrh Investments Ltd Australia 0-4,800 25% 4,800-30,000 40% 30,000-57,600 50% 60% >57,600 75%
PAC.AX Pacific Current Group Ltd Australia 0-4,000 25% 4,000-25,000 40% 25,000-33,000 50% 60% >33,000 75%
TNK.AX Think Childcare Limited Australia 0-8,000 25% 8,000-26,000 40% 26,000-30,000 50% 60% >30,000 75%
DUI.AX Diversified United Investment Ltd Australia 0-5,100 25% 5,100-15,300 40% 15,300-20,400 50% 60% >20,400 75%
KGN.AX Kogan Australia Pty. Limited Australia 0-10,200 25% 10,200-61,200 40% 61,200-81,600 50% 60% >81,600 75%
MP1.AX Megaport Limited Australia 0-6,500 25% 6,500-40,625 40% 40,625-78,000 50% 60% >78,000 75%
FWD.AX Fleetwood Corp Ltd Australia 0-8,600 25% 8,600-25,800 40% 25,800-34,400 50% 60% >34,400 75%
CII.AX CI Resources Limited Australia 0-7,400 25% 7,400-20,350 40% >20350 75% 75%
NVL.AX National Veterinary Care Limited Australia 0-9,300 25% 9,300-30,225 40% 30,225-44,175 50% 60% >44,175 75%
GOW.AX Gowing Brothers Ltd Australia 0-4,700 25% 4,700-15,275 40% >15275 75% 75%
GHC.AX Generation Healthcare REIT Australia 0-8,100 25% 8,100-50,625 40% 50,625-72,900 50% 60% >72,900 75%
CWP.AX Cedar Woods Properties Ltd Australia 0-3,400 25% 3,400-20,400 40% 20,400-40,800 50% 60% >40,800 75%
CEN.AX Contact Energy Limited Australia 0-3,400 25% 3,400-10,200 40% 10,200-15,300 50% 60% >15,300 75%
MLT.AX Milton Corp Ltd Australia 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
FAN.AX Fantastic Holdings Ltd Australia 0-5,800 25% 5,800-34,800 40% 34,800-46,400 50% 60% >46,400 75%
HUB.AX HUB24 Limited Australia 0-3,600 25% 3,600-19,800 40% 19,800-43,200 50% 60% >43,200 75%
SFC.AX Schaffer Corp Ltd Australia 0-3,200 25% 3,200-9,600 40% >9600 75% 75%
SIV.AX Silver Chef Ltd Australia 0-1,600 25% 1,600-9,600 40% 9,600-27,200 50% 60% >27,200 75%
LOV.AX Lovisa Holdings Limited Australia 0-5,600 25% 5,600-35,000 40% 35,000-95,200 50% 60% >95,200 75%
CUV.AX Clinuvel Pharmaceuticals Ltd Australia 0-3,300 25% 3,300-9,900 40% 9,900-12,375 50% 60% >12,375 75%
ADA.AX Adacel Technologies Ltd Australia 0-5,400 25% 5,400-29,700 40% 29,700-91,800 50% 60% >91,800 75%
MNF.AX My Net Fone Ltd Australia 0-3,900 25% 3,900-25,350 40% 25,350-35,100 50% 60% >35,100 75%
PME.AX Pro Medicus Ltd Australia 0-2,800 25% 2,800-14,700 40% 14,700-39,200 50% 60% >39,200 75%
ZEL.AX Z Energy Limited Australia 0-2,100 25% 2,100-15,225 40% 15,225-39,900 50% 60% >39,900 75%
AUB.AX Austbrokers Holdings Ltd Australia 0-1,600 25% 1,600-9,600 40% 9,600-24,000 50% 60% >24,000 75%
SRV.AX Servcorp Ltd Australia 0-2,200 25% 2,200-14,850 40% 14,850-39,600 50% 60% >39,600 75%
AAI.AX Alcoa Inc Australia 0-1,200 25% 1,200-3,600 40% >3600 75% 75%
MAQ.AX Macquarie Telecom Group Limited Australia 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
PHI.AX Phileo Australia Limited Australia 0-2,100 25% 2,100-6,300 40% >6300 75% 75%
LTXV.VI Linz Textil Holding AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ERST.VI Erste Group Bank AG Austria 0-10,000 10% 10,000-60,000 20% 60,000-440,000 35% 45% >440,000 75%
OMVV.VI OMV AG Austria 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
VOES.VI Voestalpine AG Austria 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
RBIV.VI Raiffeisen Bank International AG Austria 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
LENV.VI Lenzing AG Austria 0-1,000 20% 1,000-6,000 30% 6,000-9,250 50% 60% >9,250 75%
IMFI.VI IMMOFINANZ AG Austria 0-50,000 15% 50,000-300,000 25% 300,000-1,000,000 40% 55% >1,000,000 75%
AGRV.VI Agrana Beteiligungs AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MMKV.VI Mayr Melnhof Karton AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ANDR.VI Andritz AG Austria 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
OBHV.VI Ottakringer Getraenke AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BWOA.VI BUWOG AG Austria 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
WBSV.VI Wienerberger AG Austria 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
DOCO.VI DO & CO AG Austria 0-1,000 25% 1,000-6,000 40% 6,000-6,500 50% 60% >6,500 75%
CONW.VI Conwert Immobilien Invest SE Austria 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
OBHV_p.VI Ottakringer Getraenke AG - Vorz Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
C8I.VI C-QUADRAT Investment AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
OBER.VI Oberbank AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BHAV.VI Burgenland Holding AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MANV.VI Josef Manner & Co AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
RBAV.VI Rosenbauer International AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
VIGR.VI Vienna Insurance Group AG Austria 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
SBOE.VI Schoeller-Bleckmann Oilfield Equipment AG Austria 0-1,000 20% 1,000-6,000 30% 6,000-16,000 50% 60% >16,000 75%
CAIV.VI CA Immobilien Anlagen AG Austria 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
UNIQ.VI UNIQA Insurance Group AG Austria 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
POST.VI Oesterreichische Post AG Austria 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
ZUMV.VI Zumtobel AG Austria 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
OBER_p.VI Oberbank AG - Vorz Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
VERB.VI Verbund AG Austria 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
KTCG.VI Kapsch TrafficCom AG Austria 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
RHIV.VI RHI AG Austria 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
PARS.VI Pankl Racing Systems AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
UBMV.VI UBM Development AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
AMAV.VI AMAG Austria Metall AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
TELA.VI Telekom Austria AG Austria 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 11 of 103
STRV.VI Strabag SE Austria 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
ABGV.VI Porr Ag Austria 0-1,000 25% 1,000-4,000 40% 4,000-6,500 50% 60% >6,500 75%
PALF.VI Palfinger AG Austria 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
SMPV.VI Semperit AG Holding Austria 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
WLFD.VI Wolford AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
VIEV.VI Flughafen Wien AG Austria 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
ATSV.VI Austria Technologie & Systemtechnik AG Austria 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
BWTV.VI BWT AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
UIAV.VI Unternehmens Invest AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
TIRO.VI Bank fuer Tirol und Vorarlberg AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
TIRO_p.VI Bank fuer Tirol und Vorarlberg AG - Vorz Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KAER.VI BKS Bank AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KAER_p.VI BKS Bank AG - Vorz Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
OESD.VI Oesterreichische Staatsdruckerei Holding AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FKAV.VI Frauenthal Holding AG Austria 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
VLAV.VI Valneva SE (AT) Austria 0-4,200 25% 4,200-25,200 40% 25,200-84,000 50% 60% >84,000 75%
ATRS.VI Atrium European Real Estate Ltd Austria 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CIAG.VI Cross Industries AG Austria 0-3,100 25% 3,100-9,300 40% >9300 75% 75%
FACC.VI FACC AG Austria 0-2,200 25% 2,200-14,850 40% 14,850-16,500 50% 60% >16,500 75%
VLAP.VI Valneva SE - Pfd (AT) Austria 0-212,100 25% 212,100-636,300 40% >636300 75% 75%
EVNV.VI EVN AG Austria 0-1,100 25% 1,100-6,600 40% 6,600-12,100 50% 60% >12,100 75%
POLV.VI POLYTEC Holding AG Austria 0-1,400 25% 1,400-3,850 40% 3,850-8,050 50% 60% >8,050 75%
SIAG.VI S IMMO AG Austria 0-1,200 25% 1,200-6,900 40% 6,900-24,000 50% 60% >24,000 75%
ABI.BR Anheuser-Busch InBev NV Belgium 0-9,000 5% 9,000-51,750 10% 51,750-207,000 20% 40% >207,000 75%
KBC.BR KBC Groep NV Belgium 0-6,000 10% 6,000-60,000 20% 60,000-432,000 35% 45% >432,000 75%
EUAV.BR Euronav NV Belgium 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
SOLB.BR Solvay SA Belgium 0-2,000 5% 2,000-20,000 10% 20,000-190,000 20% 40% >190,000 75%
PROX.BR Proximus Belgium 0-7,000 10% 7,000-70,000 20% 70,000-301,000 35% 45% >301,000 75%
COLR.BR Colruyt SA Belgium 0-3,000 10% 3,000-30,000 20% 30,000-129,000 35% 45% >129,000 75%
UCB.BR UCB SA Belgium 0-2,000 10% 2,000-20,000 20% 20,000-160,000 35% 45% >160,000 75%
UMI.BR Umicore SA Belgium 0-2,500 10% 2,500-25,000 20% 25,000-210,000 35% 45% >210,000 75%
AGES.BR Ageas Belgium 0-4,000 5% 4,000-40,000 10% 40,000-352,000 20% 40% >352,000 75%
SOF.BR Sofina SA Belgium 0-1,000 15% 1,000-6,000 25% 6,000-13,000 40% 55% >13,000 75%
GBLB.BR Groupe Bruxelles Lambert SA Belgium 0-1,500 15% 1,500-15,000 25% 15,000-64,500 40% 55% >64,500 75%
ACKB.BR Ackermans & van Haaren NV Belgium 0-1,000 15% 1,000-10,000 25% 10,000-25,000 40% 55% >25,000 75%
COFB.BR Cofinimmo Belgium 0-1,000 15% 1,000-10,000 25% 10,000-25,000 40% 55% >25,000 75%
CFEB.BR Compagnie d' Entreprises CFE SA Belgium 0-1,000 20% 1,000-6,000 30% 6,000-8,000 50% 60% >8,000 75%
WDPP.BR Warehouses De Pauw SCA Belgium 0-1,000 20% 1,000-6,000 30% 6,000-11,000 50% 60% >11,000 75%
AOO.BR Aedifica SA Belgium 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
BAR.BR Barco NV Belgium 0-1,000 20% 1,000-6,000 30% 6,000-9,750 50% 60% >9,750 75%
BPOST.BR bpost SA Belgium 0-3,000 10% 3,000-30,000 20% 30,000-129,000 35% 45% >129,000 75%
TNET.BR Telenet Group Holding NV Belgium 0-1,500 10% 1,500-15,000 20% 15,000-60,000 35% 45% >60,000 75%
ONTEX.BR Ontex Group NV Belgium 0-2,000 10% 2,000-20,000 20% 20,000-80,000 35% 45% >80,000 75%
VELD.BR Van de Velde NV Belgium 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
FAGRO.BR Fagron Belgium 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MLXS.BR Melexis NV Belgium 0-1,000 20% 1,000-6,000 30% 6,000-18,000 50% 60% >18,000 75%
BEFB.BR Befimmo Belgium 0-1,000 20% 1,000-6,000 30% 6,000-13,000 50% 60% >13,000 75%
BEKB.BR Bekaert SA Belgium 0-1,500 15% 1,500-15,000 25% 15,000-70,500 40% 55% >70,500 75%
GIMV.BR Gimv NV Belgium 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
ATEO.BR Atenor Group Belgium 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ABLX.BR Ablynx NV Belgium 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
ELI.BR Elia System Operator SA Belgium 0-1,000 20% 1,000-10,000 30% 10,000-20,000 50% 60% >20,000 75%
IETB.BR D'ieteren SA Belgium 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
TESB.BR Tessenderlo Chemie NV Belgium 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
IBAB.BR Ion Beam Applications SA Belgium 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
BRED.BR Brederode SA Belgium 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KIPO.BR Kinepolis Group NV Belgium 0-1,000 25% 1,000-6,000 40% 6,000-7,500 50% 60% >7,500 75%
KBCA.BR KBC Ancora Belgium 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
EVSB.BR EVS Broadcast Equipment SA Belgium 0-1,000 25% 1,000-6,000 40% 6,000-9,750 50% 60% >9,750 75%
OBEL.BR Orange Belgium SA Belgium 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
SIOE.BR Sioen Industries NV Belgium 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
REAL.BR RealDolmen NV Belgium 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CYAD.BR Celyad Belgium 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
AGFB.BR AGFA-Gevaert NV Belgium 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
ARGX.BR arGEN-X N.V Belgium 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
DEXI.BR Dexia SA Belgium 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
NYS.BR Dalenys Belgium 0-1,600 25% 1,600-5,200 40% 5,200-7,200 50% 60% >7,200 75%
THR.BR ThromboGenics NV Belgium 0-3,900 25% 3,900-9,750 40% 9,750-13,650 50% 60% >13,650 75%
VIOH.BR Viohalco SA Belgium 0-9,500 25% 9,500-30,875 40% >30875 75% 75%
OPIN.BR Option NV Belgium 0-68,600 25% 68,600-205,800 40% >205800 75% 75%
DECB.BR Deceuninck NV Belgium 0-4,900 25% 4,900-14,700 40% 14,700-22,050 50% 60% >22,050 75%
G9U.BR TiGenix NV Belgium 0-12,000 25% 12,000-69,000 40% 69,000-240,000 50% 60% >240,000 75%
MDXH.BR MDxHealth Belgium 0-3,200 25% 3,200-20,000 40% 20,000-29,600 50% 60% >29,600 75%
BCART.BR Biocartis Group NV Belgium 0-1,400 25% 1,400-8,400 40% 8,400-16,800 50% 60% >16,800 75%
AEM.TO Agnico Eagle Mines Ltd Canada 0-25,000 5% 25,000-118,750 10% 118,750-500,000 20% 40% >500,000 75%
TCKb.TO Teck Resources Ltd (CA) Canada 0-80,000 10% 80,000-380,000 20% 380,000-1,520,000 35% 45% >1,520,000 75%
SU.TO Suncor Energy Inc (CA) Canada 0-50,000 5% 50,000-237,500 10% 237,500-950,000 20% 40% >950,000 75%
TD.TO Toronto-Dominion Bank Canada 0-30,000 5% 30,000-142,500 10% 142,500-570,000 20% 40% >570,000 75%
YRI.TO Yamana Gold Inc (CA) Canada 0-275,000 10% 275,000-1,375,000 20% 1,375,000-5,500,000 35% 45% >5,500,000 75%
G.TO Goldcorp Inc (CA) Canada 0-80,000 5% 80,000-400,000 10% 400,000-1,600,000 20% 40% >1,600,000 75%
ECA.TO Encana Corp (CA) Canada 0-130,000 10% 130,000-650,000 20% 650,000-2,600,000 35% 45% >2,600,000 75%
SLW.TO Silver Wheaton Corp (CA) Canada 0-45,000 5% 45,000-225,000 10% 225,000-900,000 20% 40% >900,000 75%
CNQ.TO Canadian Natural Resources Ltd (CA) Canada 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
RY.TO Royal Bank of Canada Canada 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
CP.TO Canadian Pacific Railway Ltd Canada 0-8,000 5% 8,000-42,000 10% 42,000-168,000 20% 40% >168,000 75%
POT.TO Potash Corp of Saskatchewan Inc (CA) Canada 0-37,454 10% 37,454-102,998 20% 102,998-411,994 35% 45% >411,994 75%
FR.TO First Majestic Silver Corp Canada 0-49,526 15% 49,526-136,196 25% 136,196-544,786 40% 55% >544,786 75%
ENB.TO Enbridge Inc (CA) Canada 0-25,000 5% 25,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
TRI.TO Thomson Reuters Corp (CA) Canada 0-25,300 10% 25,300-151,800 20% 151,800-506,000 35% 45% >506,000 75%
BMO.TO Bank of Montreal (CA) Canada 0-15,000 5% 15,000-97,500 10% 97,500-390,000 20% 40% >390,000 75%
FM.TO First Quantum Minerals Ltd (CA) Canada 0-120,000 10% 120,000-810,000 20% 810,000-3,240,000 35% 45% >3,240,000 75%
CNR.TO Canadian National Railway Co (CA) Canada 0-15,000 5% 15,000-101,250 10% 101,250-405,000 20% 40% >405,000 75%
MG.TO Magna International Inc (CA) Canada 0-20,000 5% 20,000-160,000 10% 160,000-640,000 20% 40% >640,000 75%
BNS.TO Bank of Nova Scotia Canada 0-15,000 5% 15,000-120,000 10% 120,000-480,000 20% 40% >480,000 75%
K.TO Kinross Gold Corp (CA) Canada 0-180,000 5% 180,000-1,440,000 10% 1,440,000-5,760,000 20% 40% >5,760,000 75%
IMG.TO IAMGOLD Corp (CA) Canada 0-154,782 10% 154,782-657,823 20% 657,823-2,631,294 35% 45% >2,631,294 75%
FNV.TO Franco-Nevada Corporation Canada 0-10,000 5% 10,000-87,500 10% 87,500-350,000 20% 40% >350,000 75%
ABX.TO Barrick Gold Corp (CA) Canada 0-40,000 5% 40,000-350,000 10% 350,000-1,400,000 20% 40% >1,400,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 12 of 103
THO.TO Tahoe Resources Inc Canada 0-50,500 10% 50,500-227,250 20% 227,250-1,010,000 35% 45% >1,010,000 75%
CM.TO Canadian Imperial Bank of Commerce Canada 0-9,000 5% 9,000-81,000 10% 81,000-324,000 20% 40% >324,000 75%
QSR.TO Restaurant Brands International Inc Canada 0-15,000 10% 15,000-138,750 20% 138,750-300,000 35% 45% >300,000 75%
BCE.TO BCE Inc (CA) Canada 0-15,000 5% 15,000-138,750 10% 138,750-555,000 20% 40% >555,000 75%
TRP.TO TransCanada Corp Canada 0-15,000 5% 15,000-142,500 10% 142,500-570,000 20% 40% >570,000 75%
MX.TO Methanex Corp Canada 0-20,000 10% 20,000-105,000 20% 105,000-420,000 35% 45% >420,000 75%
MFC.TO Manulife Financial Corp (CA) Canada 0-45,000 5% 45,000-450,000 10% 450,000-1,935,000 20% 40% >1,935,000 75%
BB.TO Blackberry Ltd (CA) Canada 0-80,000 10% 80,000-440,000 20% 440,000-1,760,000 35% 45% >1,760,000 75%
GIL.TO Gildan Activewear Inc Canada 0-20,000 10% 20,000-200,000 20% 200,000-600,000 35% 45% >600,000 75%
FFH.TO Fairfax Financial Holdings Ltd Canada 0-1,000 10% 1,000-5,750 20% 5,750-15,000 35% 45% >15,000 75%
BTE.TO Baytex Energy Corp Canada 0-110,000 10% 110,000-660,000 20% 660,000-2,200,000 35% 45% >2,200,000 75%
BAMa.TO Brookfield Asset Management Inc Canada 0-15,000 5% 15,000-150,000 10% 150,000-780,000 20% 40% >780,000 75%
DGC.TO Detour Gold Corp Canada 0-20,000 10% 20,000-120,000 20% 120,000-520,000 35% 45% >520,000 75%
ELD.TO Eldorado Gold Corp (CA) Canada 0-130,000 10% 130,000-1,560,000 20% 1,560,000-4,940,000 35% 45% >4,940,000 75%
BIN.TO Progressive Waste Solutions Limited Canada 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
BTO.TO B2Gold Corp Canada 0-160,000 10% 160,000-960,000 20% 960,000-4,480,000 35% 45% >4,480,000 75%
CPG.TO Crescent Point Energy Corp Canada 0-30,000 10% 30,000-300,000 20% 300,000-1,740,000 35% 45% >1,740,000 75%
CVE.TO Cenovus Energy Inc Canada 0-30,000 5% 30,000-300,000 10% 300,000-1,800,000 20% 40% >1,800,000 75%
CSU.TO Constellation Software Inc Canada 0-1,000 10% 1,000-10,000 20% 10,000-25,000 35% 45% >25,000 75%
ATDb.TO Alimentation Couche-Tard Inc Canada 0-8,000 5% 8,000-80,000 10% 80,000-504,000 20% 40% >504,000 75%
AGI.TO Alamos Gold Inc (CAD) Canada 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
NA.TO National Bank of Canada Canada 0-10,000 5% 10,000-100,000 10% 100,000-700,000 20% 40% >700,000 75%
FVI.TO Fortuna Silver Mines Inc Canada 0-40,000 15% 40,000-240,000 25% 240,000-800,000 40% 55% >800,000 75%
T.TO TELUS Corp (CA) Canada 0-10,000 5% 10,000-100,000 10% 100,000-700,000 20% 40% >700,000 75%
SLF.TO Sun Life Financial Inc Canada 0-10,000 5% 10,000-100,000 10% 100,000-750,000 20% 40% >750,000 75%
HSE.TO Husky Energy Inc Canada 0-25,000 10% 25,000-250,000 20% 250,000-750,000 35% 45% >750,000 75%
MRU.TO Metro Inc Canada 0-9,000 10% 9,000-90,000 20% 90,000-297,000 35% 45% >297,000 75%
RCIb.TO Rogers Communications Inc Canada 0-7,000 5% 7,000-70,000 10% 70,000-448,000 20% 40% >448,000 75%
GIBa.TO CGI Group Inc Canada 0-6,000 5% 6,000-60,000 10% 60,000-402,000 20% 40% >402,000 75%
SSL.TO Sandstorm Gold Ltd Canada 0-45,000 20% 45,000-270,000 30% 270,000-855,000 50% 60% >855,000 75%
AGU.TO Agrium Inc (CA) Canada 0-3,000 5% 3,000-30,000 10% 30,000-273,000 20% 40% >273,000 75%
TOU.TO Tourmaline Oil Corp Canada 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
L.TO Loblaw Cos Ltd Canada 0-5,000 5% 5,000-50,000 10% 50,000-300,000 20% 40% >300,000 75%
EFN.TO Element Financial Corporation Canada 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
TXG.TO Torex Gold Resources Inc Canada 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
VET.TO Vermilion Energy Inc Canada 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
ARX.TO ARC Resources Ltd Canada 0-15,000 10% 15,000-150,000 20% 150,000-525,000 35% 45% >525,000 75%
FTS.TO Fortis Inc/Canada Canada 0-8,000 5% 8,000-80,000 10% 80,000-504,000 20% 40% >504,000 75%
EDR.TO Endeavour Silver Corp Canada 0-45,000 20% 45,000-270,000 30% 270,000-900,000 50% 60% >900,000 75%
SAP.TO Saputo Inc Canada 0-7,000 10% 7,000-70,000 20% 70,000-238,000 35% 45% >238,000 75%
CXR.TO Concordia Healthcare Corporation Canada 0-30,000 20% 30,000-180,000 30% 180,000-600,000 50% 60% >600,000 75%
DOL.TO Dollarama Inc Canada 0-3,000 5% 3,000-30,000 10% 30,000-210,000 20% 40% >210,000 75%
PEY.TO Peyto Exploration & Development Corp Canada 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
IPL.TO Inter Pipeline Ltd Canada 0-10,000 10% 10,000-100,000 20% 100,000-400,000 35% 45% >400,000 75%
SNC.TO SNC-Lavalin Group Inc Canada 0-5,000 10% 5,000-50,000 20% 50,000-170,000 35% 45% >170,000 75%
PPL.TO Pembina Pipeline Corp Canada 0-7,000 5% 7,000-70,000 10% 70,000-476,000 20% 40% >476,000 75%
POW.TO Power Corp of Canada Canada 0-10,000 10% 10,000-100,000 20% 100,000-330,000 35% 45% >330,000 75%
PSK.TO PrairieSky Royalty Limited Canada 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
SJRb.TO Shaw Communications Inc Canada 0-10,000 5% 10,000-100,000 10% 100,000-830,000 20% 40% >830,000 75%
BBDb.TO Bombardier Inc Canada 0-120,000 10% 120,000-990,000 20% 990,000-3,960,000 35% 45% >3,960,000 75%
H.TO Hydro One Limited Canada 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
AC.TO Air Canada Canada 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
LUN.TO Lundin Mining Corp (CA) Canada 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
CF.TO Canaccord Genuity Group Inc Canada 0-45,000 25% 45,000-135,000 40% 135,000-157,500 50% 60% >157,500 75%
AYA.TO Amaya Gaming Group Inc Canada 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
AKG.TO Asanko Gold Inc Canada 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
ALA.TO AltaGas Limited Canada 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
MFI.TO Maple Leaf Foods Inc Canada 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MEG.TO MEG Energy Corp Canada 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
CTCa.TO Canadian Tire Corp Ltd Canada 0-1,500 5% 1,500-15,000 10% 15,000-109,500 20% 40% >109,500 75%
VSN.TO Veresen Inc Canada 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SMF.TO SEMAFO Inc Canada 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
HBM.TO HudBay Minerals Inc Canada 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
GUY.TO Guyana Goldfields Inc Canada 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
KGI.TO Kirkland Lake Gold Inc Canada 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
CCO.TO Cameco Corp (CA) Canada 0-15,000 10% 15,000-150,000 20% 150,000-1,005,000 35% 45% >1,005,000 75%
CG.TO Centerra Gold Inc Canada 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
PWT.TO Penn West Petroleum Ltd (CA) Canada 0-80,000 25% 80,000-480,000 40% 480,000-1,600,000 50% 60% >1,600,000 75%
WN.TO George Weston Ltd Canada 0-1,500 10% 1,500-15,000 20% 15,000-49,500 35% 45% >49,500 75%
EDV.TO Endeavour Mining Corp Canada 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
ENF.TO Enbridge Income Fund Holdings Inc Canada 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
OR.TO Osisko Gold Royalties Ltd Canada 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
PPY.TO Painted Pony Petroleum Limited Canada 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
CAR_u.TO Canadian Apartment Properties REIT Canada 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
TA.TO TransAlta Corp Canada 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
LB.TO Laurentian Bank of Canada Canada 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
HCG.TO Home Capital Group Inc Canada 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
IAG.TO Industrial Alliance Insurance & Financial Services Inc Canada 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CSH_u.TO Chartwell Retirement Residences Canada 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
CR.TO Crew Energy Inc Canada 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
CUF_u.TO Cominar REIT Canada 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
BNP.TO Bonavista Energy Corporation Canada 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
RUS.TO Russel Metals Inc Canada 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
ECI.TO EnerCare Inc Canada 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MDA.TO MacDonald Dettwiler & Associates Ltd Canada 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
CJRb.TO Corus Entertainment Inc Canada 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
HBC.TO Hudson's Bay Co Canada 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
PJCa.TO Jean Coutu Group PJC Inc Canada 0-6,000 20% 6,000-34,500 30% 34,500-108,000 50% 60% >108,000 75%
IT.TO Intertain Group Ltd/The Canada 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
CFP.TO Canfor Corp Canada 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
PLI.TO Prometic Life Sciences Inc Canada 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
BNK.TO Bankers Petroleum Ltd Canada 0-50,000 25% 50,000-300,000 40% 300,000-900,000 50% 60% >900,000 75%
AR.TO Argonaut Gold Inc Canada 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
SVM.TO Silvercorp Metals Inc Canada 0-20,000 20% 20,000-120,000 30% 120,000-340,000 50% 60% >340,000 75%
FRU.TO Freehold Royalties Limited Canada 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
WTE.TO Westshore Terminals Investment Corp Canada 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
X.TO TMX Group Ltd Canada 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
SES.TO Secure Energy Services Inc Canada 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 13 of 103
NMI.TO Newmarket Gold Inc Canada 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
ASR.TO Alacer Gold Corp Canada 0-25,000 20% 25,000-150,000 30% 150,000-500,000 50% 60% >500,000 75%
LUC.TO Lucara Diamond Corp Canada 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
GSC.TO Golden Star Resources Ltd (CA) Canada 0-79,300 25% 79,300-475,800 40% 475,800-1,506,700 50% 60% >1,506,700 75%
NXE.V NexGen Energy Limited Canada 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
GPR.TO Great Panther Silver Ltd (CA) Canada 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
AOI.TO Africa Oil Corp (CA) Canada 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
PSI.TO Pason Systems Inc Canada 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
PG.TO Premier Gold Mines Ltd Canada 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
GC.TO Great Canadian Gaming Corp Canada 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
P.TO Primero Mining Corp (CA) Canada 0-30,000 20% 30,000-180,000 30% 180,000-600,000 50% 60% >600,000 75%
CEE.TO Centamin PLC (CA) Canada 0-24,900 10% 24,900-149,400 20% 149,400-498,000 35% 45% >498,000 75%
ATH.TO Athabasca Oil Corp Canada 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
DRG_u.TO Dream Global REIT Canada 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
QSP_u.TO Restaurant Brands International LP Canada 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BBU_u.TO Brookfield Business Partners LP Canada 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
IVN.TO Ivanhoe Mines Ltd Canada 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
CAS.TO Cascades Inc Canada 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
SVC.TO Sandvine Corp (CA) Canada 0-15,000 20% 15,000-90,000 30% 90,000-285,000 50% 60% >285,000 75%
ESI.TO Ensign Energy Services Inc Canada 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
BXE.TO Bellatrix Exploration Ltd Canada 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
MRE.TO Martinrea International Inc Canada 0-6,000 20% 6,000-34,500 30% 34,500-108,000 50% 60% >108,000 75%
TET.TO Trilogy Energy Corp Canada 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
TGZ.TO Teranga Gold Corporation Canada 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
IAE.TO Ithaca Energy Inc (CA) Canada 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
CNE.TO Canacol Energy Ltd Canada 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
FF.V First Mining Finance Corporation Canada 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
PRE.TO Pacific Rubiales Energy Corp Canada 0-60,000 25% 60,000-345,000 40% 345,000-1,200,000 50% 60% >1,200,000 75%
DPM.TO Dundee Precious Metals Inc Canada 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
ICG.V Integra Gold Corporation Canada 0-35,000 25% 35,000-210,000 40% 210,000-630,000 50% 60% >630,000 75%
BRI.V Brazil Resources Inc Canada 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
AVO.TO Avigilon Corp Canada 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CGG.TO China Gold International Resources Corp Ltd Canada 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
NAL.TO Newalta Corporation Canada 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
PDN.TO Paladin Energy Ltd (CA) Canada 0-135,300 25% 135,300-811,800 40% 811,800-2,570,700 50% 60% >2,570,700 75%
EFR.TO Energy Fuels Inc Canada 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
BOS.TO Airboss of America Corporation Canada 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
Y.TO Yellow Media Ltd Canada 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
MPV.TO Mountain Province Diamonds Inc (CA) Canada 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CUS.TO Canexus Corp Canada 0-15,000 25% 15,000-90,000 40% 90,000-240,000 50% 60% >240,000 75%
HNL.TO Horizon North Logistics Inc Canada 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
MDI.TO Major Drilling Group International Inc Canada 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
ALS.TO Altius Minerals Corp Canada 0-1,700 25% 1,700-10,200 40% 10,200-30,600 50% 60% >30,600 75%
U.TO Uranium Participation Corp Canada 0-4,300 25% 4,300-24,725 40% 24,725-86,000 50% 60% >86,000 75%
GXO .TO Granite Oil Corp Canada 0-2,600 25% 2,600-14,950 40% 14,950-46,800 50% 60% >46,800 75%
TF.TO Timbercreek Financial Corporation Canada 0-2,100 25% 2,100-15,225 40% 15,225-29,400 50% 60% >29,400 75%
EXF.TO EXFO Inc Canada 0-3,700 25% 3,700-10,175 40% >10175 75% 75%
MND.TO Mandalay Resources Corp Canada 0-15,000 25% 15,000-90,000 40% 90,000-240,000 50% 60% >240,000 75%
SVY.TO Savanna Energy Services Corp Canada 0-12,300 25% 12,300-33,825 40% >33825 75% 75%
AGC.V Amarillo Gold Corp Canada 0-38,800 25% 38,800-116,400 40% >116400 75% 75%
UR.TO Urthecast Corporation Canada 0-16,900 25% 16,900-101,400 40% 101,400-147,875 50% 60% >147,875 75%
TCM.TO Thompson Creek Metals Co Inc Canada 0-25,100 25% 25,100-150,600 40% 150,600-301,200 50% 60% >301,200 75%
FCU.TO Fission Uranium Corp Canada 0-25,100 25% 25,100-150,600 40% 150,600-351,400 50% 60% >351,400 75%
SGQ.TO SouthGobi Resources Ltd (CA) Canada 0-63,200 25% 63,200-189,600 40% >189600 75% 75%
QEC.TO Questerre Energy Corp (CA) Canada 0-85,300 25% 85,300-255,900 40% 255,900-383,850 50% 60% >383,850 75%
SNM.V Shamaran Petroleum Corp (CA) Canada 0-200,700 25% 200,700-1,003,500 40% 1,003,500-4,014,000 50% 60% >4,014,000 75%
RMX.TO Rubicon Minerals Corporation Canada 0-284,300 25% 284,300-852,900 40% 852,900-1,350,425 50% 60% >1,350,425 75%
TPL.TO Tethys Petroleum Ltd (CA) Canada 0-568,600 25% 568,600-1,563,650 40% >1563650 75% 75%
GWGh.V Great Western Minerals Group Ltd Canada 0-3,411,400 25% 3,411,400-6,822,800 40% >6822800 75% 75%
GCM.TO Gran Colombia Gold Corp Canada 0-131,200 25% 131,200-393,600 40% 393,600-524,800 50% 60% >524,800 75%
AEN.V Antrim Energy Inc (CA) Canada 0-426,400 25% 426,400-1,492,400 40% >1492400 75% 75%
ALG.V Algold Resources Ltd Canada 0-53,300 25% 53,300-159,900 40% >159900 75% 75%
ELR.TO Eastern Platinum Ltd (CA) Canada 0-20,800 25% 20,800-62,400 40% 62,400-72,800 50% 60% >72,800 75%
EOM.TO Eco Oro Minerals Corp Canada 0-53,300 25% 53,300-159,900 40% >159900 75% 75%
FSY.TO Forsys Metals Corp (CA) Canada 0-213,200 25% 213,200-639,600 40% >639600 75% 75%
NKO.TO Niko Resources Ltd Canada 0-131,200 25% 131,200-393,600 40% 393,600-688,800 50% 60% >688,800 75%
CWV.V Crown Point Energy Inc Canada 0-310,100 25% 310,100-930,300 40% >930300 75% 75%
KAT.TO Katanga Mining Ltd Canada 0-113,700 25% 113,700-341,100 40% >341100 75% 75%
FO.V Falcon Oil & Gas Ltd (CA) Canada 0-179,500 25% 179,500-538,500 40% >538500 75% 75%
WZR.V WesternZagros Resources Ltd Canada 0-179,500 25% 179,500-538,500 40% >538500 75% 75%
LTS.TO Lightstream Resources Ltd Canada 0-142,100 25% 142,100-426,300 40% >426300 75% 75%
S.TO Sherritt International Corp Canada 0-20,300 25% 20,300-121,800 40% 121,800-324,800 50% 60% >324,800 75%
NUS.TO Nautilus Minerals Inc Canada 0-121,800 25% 121,800-365,400 40% >365400 75% 75%
TXP.TO Touchstone Exploration Inc Canada 0-81,200 25% 81,200-243,600 40% >243600 75% 75%
DML.TO Denison Mines Corp (CA) Canada 0-24,700 25% 24,700-148,200 40% 148,200-469,300 50% 60% >469,300 75%
TML.TO Treasury Metals Inc Canada 0-24,000 25% 24,000-72,000 40% >72000 75% 75%
NCQ.TO NovaCopper Inc (CA) Canada 0-24,000 25% 24,000-72,000 40% >72000 75% 75%
AMI.TO AuRico Metals Inc Canada 0-16,700 25% 16,700-100,200 40% 100,200-183,700 50% 60% >183,700 75%
FIL.V Filo Mining Corp Canada 0-13,000 25% 13,000-39,000 40% >39000 75% 75%
TNP.TO TransAtlantic Petroleum Ltd Canada 0-17,200 25% 17,200-51,600 40% 51,600-60,200 50% 60% >60,200 75%
SCC.TO Sears Canada Inc Canada 0-5,300 25% 5,300-30,475 40% 30,475-33,125 50% 60% >33,125 75%
XRC.TO Exeter Resource Corp Canada 0-10,500 25% 10,500-65,625 40% 65,625-147,000 50% 60% >147,000 75%
PXX.TO BlackPearl Resources Inc Canada 0-13,600 25% 13,600-40,800 40% 40,800-78,200 50% 60% >78,200 75%
TMR.TO TMAC Resources Inc Canada 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
NGQ.TO NGEx Resources Inc Canada 0-13,600 25% 13,600-40,800 40% >40800 75% 75%
DCa.TO Dundee Corporation Canada 0-2,500 25% 2,500-15,000 40% 15,000-32,500 50% 60% >32,500 75%
MAERSKa.CO AP Moeller - Maersk AS - A Denmark 0-1,000 10% 1,000-3,000 20% 3,000-4,500 35% 45% >4,500 75%
MAERSKb.CO AP Moeller - Maersk AS - B Denmark 0-800 5% 800-4,200 10% 4,200-16,800 20% 40% >16,800 75%
NOVOb.CO Novo Nordisk AS Denmark 0-10,022 10% 10,022-60,132 20% 60,132-200,440 35% 45% >200,440 75%
KBHL.CO Kobenhavns Lufthavne Denmark 0-943 25% 943-2,829 40% >2829 75% 75%
VWS.CO Vestas Wind Systems AS Denmark 0-7,000 5% 7,000-70,000 10% 70,000-308,000 20% 40% >308,000 75%
NDA.CO Nordea Bank AB (Danish) Denmark 0-59,700 10% 59,700-656,700 20% 656,700-2,626,800 35% 45% >2,626,800 75%
GEN.CO Genmab AS Denmark 0-3,000 25% 3,000-30,000 40% 30,000-165,000 50% 60% >165,000 75%
PNDORA.CO Pandora AS Denmark 0-3,000 5% 3,000-30,000 10% 30,000-213,000 20% 40% >213,000 75%
DANSKE.CO Danske Bank AS Denmark 0-10,000 10% 10,000-100,000 20% 100,000-890,000 35% 45% >890,000 75%
TDC.CO TDC AS Denmark 0-40,000 10% 40,000-400,000 20% 400,000-1,520,000 35% 45% >1,520,000 75%
ISS.CO ISS A/S Denmark 0-5,000 10% 5,000-50,000 20% 50,000-210,000 35% 45% >210,000 75%
GN.CO GN Store Nord AS Denmark 0-9,000 10% 9,000-90,000 20% 90,000-351,000 35% 45% >351,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 14 of 103
DSV.CO DSV AS Denmark 0-4,000 5% 4,000-40,000 10% 40,000-276,000 20% 40% >276,000 75%
JYSK.CO Jyske Bank AS Denmark 0-4,000 10% 4,000-40,000 20% 40,000-160,000 35% 45% >160,000 75%
CARLb.CO Carlsberg AS - B Denmark 0-2,000 5% 2,000-20,000 10% 20,000-150,000 20% 40% >150,000 75%
CHRH.CO Chr Hansen Holding AS Denmark 0-3,000 10% 3,000-30,000 20% 30,000-111,000 35% 45% >111,000 75%
ROCKb.CO Rockwool International AS Denmark 0-1,000 15% 1,000-6,000 25% 6,000-10,000 40% 55% >10,000 75%
LUN.CO H Lundbeck AS Denmark 0-4,000 10% 4,000-40,000 20% 40,000-152,000 35% 45% >152,000 75%
COLOb.CO Coloplast AS Denmark 0-2,000 5% 2,000-20,000 10% 20,000-150,000 20% 40% >150,000 75%
ALKb.CO ALK-Abello AS Denmark 0-1,000 20% 1,000-6,000 30% 6,000-10,000 50% 60% >10,000 75%
NZYMb.CO Novozymes AS Denmark 0-3,000 5% 3,000-30,000 10% 30,000-240,000 20% 40% >240,000 75%
WDH.CO William Demant Holding AS Denmark 0-6,000 10% 6,000-60,000 20% 60,000-252,000 35% 45% >252,000 75%
DENERG.CO DONG Energy AS Denmark 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
FLS.CO FLSmidth & Co AS Denmark 0-3,000 10% 3,000-30,000 20% 30,000-129,000 35% 45% >129,000 75%
TRYG.CO Tryg AS Denmark 0-5,000 10% 5,000-50,000 20% 50,000-220,000 35% 45% >220,000 75%
G4S.CO G4S PLC (Danish) Denmark 0-29,200 20% 29,200-175,200 30% 175,200-584,000 50% 60% >584,000 75%
TOP.CO Topdanmark AS Denmark 0-3,000 10% 3,000-30,000 20% 30,000-129,000 35% 45% >129,000 75%
SYDB.CO Sydbank AS Denmark 0-2,500 10% 2,500-25,000 20% 25,000-95,000 35% 45% >95,000 75%
BAVA.CO Bavarian Nordic AS Denmark 0-2,000 25% 2,000-20,000 40% 20,000-86,000 50% 60% >86,000 75%
SAS.CO SAS AB (Danish) Denmark 0-30,400 20% 30,400-182,400 30% 182,400-608,000 50% 60% >608,000 75%
NKT.CO NKT Holding AS Denmark 0-1,000 10% 1,000-10,000 20% 10,000-50,000 35% 45% >50,000 75%
AMBUb.CO Ambu AS Denmark 0-1,000 20% 1,000-10,000 30% 10,000-25,000 50% 60% >25,000 75%
DNORD.CO D/S Norden AS Denmark 0-3,000 20% 3,000-30,000 30% 30,000-75,000 50% 60% >75,000 75%
ZELA.CO Zealand Pharma AS Denmark 0-2,500 25% 2,500-25,000 40% 25,000-60,000 50% 60% >60,000 75%
NNIT.CO NNIT A/S Denmark 0-1,000 20% 1,000-10,000 30% 10,000-20,000 50% 60% >20,000 75%
BO.CO Bang & Olufsen AS - B Denmark 0-3,000 20% 3,000-30,000 30% 30,000-75,000 50% 60% >75,000 75%
MATAS.CO Matas AS Denmark 0-1,500 20% 1,500-15,000 30% 15,000-40,500 50% 60% >40,500 75%
SFGR.CO Santa Fe Group AS Denmark 0-1,400 25% 1,400-8,400 40% 8,400-11,900 50% 60% >11,900 75%
NEUR.CO NeuroSearch AS Denmark 0-37,800 25% 37,800-113,400 40% >113400 75% 75%
G3E.CO Greentech Energy Systems AS Denmark 0-10,500 25% 10,500-28,875 40% >28875 75% 75%
TRMDa.CO Torm AS Denmark 0-1,400 25% 1,400-8,400 40% 8,400-28,000 50% 60% >28,000 75%
NOKIA.HE Nokia OYJ (Fin) Finland 0-140,000 5% 140,000-1,120,000 10% 1,120,000-4,480,000 20% 40% >4,480,000 75%
KNEBV.HE Kone OYJ Finland 0-10,000 10% 10,000-60,000 20% 60,000-250,000 35% 45% >250,000 75%
FUM1V.HE Fortum OYJ Finland 0-30,000 10% 30,000-180,000 20% 180,000-840,000 35% 45% >840,000 75%
SAMPO.HE Sampo Finland 0-10,000 10% 10,000-60,000 20% 60,000-290,000 35% 45% >290,000 75%
UPM1V.HE UPM-Kymmene OYJ Finland 0-20,000 10% 20,000-120,000 20% 120,000-620,000 35% 45% >620,000 75%
NESTE.HE Neste Oil OYJ Finland 0-10,000 10% 10,000-60,000 20% 60,000-310,000 35% 45% >310,000 75%
STERV.HE Stora Enso OYJ (Fin) Finland 0-40,000 10% 40,000-240,000 20% 240,000-1,440,000 35% 45% >1,440,000 75%
TELIA1.HE Telia Company AB (Fin) Finland 0-69,400 5% 69,400-694,000 10% 694,000-5,760,200 20% 40% >5,760,200 75%
OUT1V.HE Outokumpu OYJ Finland 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
NRE1V.HE Nokian Renkaat OYJ Finland 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
WRT1V.HE Wartsila OYJ Abp Finland 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
MEO1V.HE Metso OYJ Finland 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
NDA1V.HE Nordea Bank AB (Fin) Finland 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
ELISA.HE Elisa OYJ Finland 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
AMEAS.HE Amer Sports Oyj Finland 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
VALMT.HE Valmet Corp Finland 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
HUH1V.HE Huhtamaki OYJ Finland 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
KESBV.HE Kesko OYJ Finland 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
KCR1V.HE Konecranes OYJ Finland 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
ORNBV.HE Orion Oyj Finland 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
OTE1V.HE Outotec OYJ Finland 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
METSB.HE Metsa Board OYJ Finland 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
CGCBV.HE Cargotec Oyj Finland 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
TIE1V.HE Tieto OYJ (Fin) Finland 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
KEMIRA.HE Kemira OYJ Finland 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
YTY1V.HE YIT OYJ Finland 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
SDA1V.HE Sponda OYJ Finland 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
BAS1V.HE BasWare OYJ Finland 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
SAA1V.HE Sanoma OYJ Finland 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
CRA1V.HE Cramo OYJ Finland 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
CAV1V.HE Caverion Corp Finland 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
BTH1V.HE Biotie Therapies OYJ Finland 0-100,000 25% 100,000-600,000 40% 600,000-2,000,000 50% 60% >2,000,000 75%
UNR1V.HE Uponor OYJ Finland 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
CTY1S.HE Citycon OYJ Finland 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
RAIVV.HE Raisio PLC Finland 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
STCBV.HE Stockmann OYJ Abp Finland 0-1,700 25% 1,700-10,200 40% 10,200-27,200 50% 60% >27,200 75%
TPS1V.HE Technopolis PLC Finland 0-3,500 25% 3,500-20,125 40% 20,125-59,500 50% 60% >59,500 75%
FIA1S.HE Finnair OYJ Finland 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
AFAGR.HE Afarak Group OYJ Finland 0-29,000 25% 29,000-87,000 40% >87000 75% 75%
OKDBV.HE Oriola-KD OYJ Finland 0-2,700 25% 2,700-14,850 40% 14,850-43,200 50% 60% >43,200 75%
HKSAV.HE HKScan OYJ Finland 0-3,400 25% 3,400-20,400 40% 20,400-25,500 50% 60% >25,500 75%
BNPP.PA BNP Paribas SA France 0-25,000 10% 25,000-125,000 20% 125,000-500,000 35% 45% >500,000 75%
TOTF.PA Total SA France 0-25,000 5% 25,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
SASY.PA Sanofi France 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
SLBP.PA Schlumberger Ltd (FR) France 0-8,342 10% 8,342-45,881 20% 45,881-183,524 35% 45% >183,524 75%
SOGN.PA Societe Generale SA France 0-30,000 10% 30,000-180,000 20% 180,000-720,000 35% 45% >720,000 75%
AVMD.PA Dassault Aviation SA France 0-600 15% 600-1,800 25% >1800 75% 75%
AXAF.PA AXA SA France 0-45,000 5% 45,000-303,750 10% 303,750-1,215,000 20% 40% >1,215,000 75%
AIR.PA Airbus Group NV (FR) France 0-15,000 5% 15,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
LVMH.PA LVMH Moet Hennessy Louis Vuitton SA France 0-5,000 5% 5,000-37,500 10% 37,500-150,000 20% 40% >150,000 75%
EPMF.PA Financiere de L'Odet France 0-790 25% 790-2,370 40% >2370 75% 75%
LHN.PA LafargeHolcim Limited France 0-15,000 5% 15,000-120,000 10% 120,000-480,000 20% 40% >480,000 75%
NOKIA.PA Nokia Corporation France 0-139,800 5% 139,800-1,118,400 10% 1,118,400-4,473,600 20% 40% >4,473,600 75%
OREP.PA L'Oreal SA France 0-4,000 5% 4,000-34,000 10% 34,000-136,000 20% 40% >136,000 75%
SGEF.PA Vinci SA France 0-10,000 5% 10,000-85,000 10% 85,000-340,000 20% 40% >340,000 75%
DANO.PA Danone SA France 0-9,000 5% 9,000-83,250 10% 83,250-333,000 20% 40% >333,000 75%
SCHN.PA Schneider Electric SA France 0-10,000 5% 10,000-92,500 10% 92,500-370,000 20% 40% >370,000 75%
ORAN.PA Orange SA France 0-45,000 5% 45,000-427,500 10% 427,500-1,710,000 20% 40% >1,710,000 75%
AIRP.PA Air Liquide SA France 0-6,000 5% 6,000-58,500 10% 58,500-234,000 20% 40% >234,000 75%
STM.PA STMicroelectronics NV (FR) France 0-79,900 10% 79,900-419,475 20% 419,475-1,598,000 35% 45% >1,598,000 75%
VIV.PA Vivendi SA France 0-30,000 5% 30,000-300,000 10% 300,000-1,290,000 20% 40% >1,290,000 75%
ENGIE.PA ENGIE SA France 0-35,000 5% 35,000-385,000 10% 385,000-1,575,000 20% 40% >1,575,000 75%
CARR.PA Carrefour SA France 0-20,000 5% 20,000-200,000 10% 200,000-1,000,000 20% 40% >1,000,000 75%
SAF.PA Safran SA France 0-7,000 5% 7,000-70,000 10% 70,000-364,000 20% 40% >364,000 75%
RENA.PA Renault SA France 0-6,000 5% 6,000-60,000 10% 60,000-312,000 20% 40% >312,000 75%
SGOB.PA Cie de St-Gobain France 0-10,000 5% 10,000-100,000 10% 100,000-590,000 20% 40% >590,000 75%
HRMS.PA Hermes International France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
CAGR.PA Credit Agricole SA France 0-45,000 10% 45,000-450,000 20% 450,000-2,700,000 35% 45% >2,700,000 75%
DAMA.PA Somfy SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 15 of 103
EUFI.PA Eurofins Scientific France 0-1,000 15% 1,000-6,000 25% 6,000-7,750 40% 55% >7,750 75%
ALSO.PA Alstom SA France 0-15,000 10% 15,000-90,000 20% 90,000-465,000 35% 45% >465,000 75%
ATOS.PA AtoS France 0-4,000 10% 4,000-25,000 20% 25,000-128,000 35% 45% >128,000 75%
EDF.PA Electricite de France SA France 0-30,000 10% 30,000-180,000 20% 180,000-990,000 35% 45% >990,000 75%
CAPP.PA Cap Gemini SA France 0-4,000 5% 4,000-40,000 10% 40,000-264,000 20% 40% >264,000 75%
ESSI.PA Essilor International SA France 0-3,000 5% 3,000-30,000 10% 30,000-201,000 20% 40% >201,000 75%
PEUP.PA Peugeot SA France 0-25,000 5% 25,000-250,000 10% 250,000-1,675,000 20% 40% >1,675,000 75%
VLLP.PA Vallourec SA France 0-80,000 10% 80,000-480,000 20% 480,000-2,720,000 35% 45% >2,720,000 75%
CASP.PA Casino Guichard Perrachon SA France 0-7,000 10% 7,000-40,250 20% 40,250-252,000 35% 45% >252,000 75%
PERP.PA Pernod Ricard SA France 0-3,000 5% 3,000-30,000 10% 30,000-219,000 20% 40% >219,000 75%
TCFP.PA Thales SA France 0-4,000 10% 4,000-25,000 20% 25,000-144,000 35% 45% >144,000 75%
TECF.PA Technip SA France 0-6,000 5% 6,000-60,000 10% 60,000-444,000 20% 40% >444,000 75%
ZODC.PA Zodiac Aerospace France 0-15,000 10% 15,000-90,000 20% 90,000-570,000 35% 45% >570,000 75%
VLOF.PA Valeo SA France 0-6,000 5% 6,000-60,000 10% 60,000-468,000 20% 40% >468,000 75%
MICP.PA Cie Generale des Etablissements Michelin France 0-3,000 5% 3,000-30,000 10% 30,000-237,000 20% 40% >237,000 75%
ACCP.PA Accor SA France 0-8,000 5% 8,000-80,000 10% 80,000-648,000 20% 40% >648,000 75%
RXL.PA Rexel SA France 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
FOUG.PA Eiffage SA France 0-4,000 10% 4,000-25,000 20% 25,000-164,000 35% 45% >164,000 75%
CNAT.PA Natixis France 0-70,000 10% 70,000-420,000 20% 420,000-2,940,000 35% 45% >2,940,000 75%
PUBP.PA Publicis Groupe SA France 0-4,000 5% 4,000-40,000 10% 40,000-340,000 20% 40% >340,000 75%
PRTP.PA Kering France 0-1,500 5% 1,500-15,000 10% 15,000-130,500 20% 40% >130,500 75%
EPED.PA Faurecia France 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
AKE.PA Arkema SA France 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
INGC.PA Ingenico France 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
DAST.PA Dassault Systemes SA France 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SEVI.PA Suez Environnement Co France 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SESFd.PA SES SA France 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
LEGD.PA Legrand SA France 0-4,000 5% 4,000-40,000 10% 40,000-352,000 20% 40% >352,000 75%
VIE.PA Veolia Environnement SA France 0-10,000 5% 10,000-100,000 10% 100,000-950,000 20% 40% >950,000 75%
EDEN.PA Edenred France 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
AIRF.PA Air France-KLM France 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
GETP.PA Groupe Eurotunnel SA France 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
XPO.PA XPO Logistics Europe SADIR France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ILD.PA Iliad SA France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
VIRB.PA Virbac SA France 0-1,000 20% 1,000-3,000 30% 3,000-3,500 50% 60% >3,500 75%
IMAF.PA Altarea ASA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BVI.PA Bureau Veritas SA France 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
LDCP.PA L.D.C. SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BOUY.PA Bouygues SA France 0-6,000 5% 6,000-60,000 10% 60,000-474,000 20% 40% >474,000 75%
LOIM.PA Klepierre France 0-4,000 5% 4,000-40,000 10% 40,000-324,000 20% 40% >324,000 75%
ETL.PA Eutelsat Communications SA France 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
DIOR.PA Christian Dior SA France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
EXHO.PA Sodexo France 0-1,500 5% 1,500-15,000 10% 15,000-130,500 20% 40% >130,500 75%
ROCH.PA Teleperformance France 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
GFCP.PA Gecina SA France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
FDPA.PA Fonciere de Paris SIIC SA France 0-1,000 15% 1,000-6,000 25% 6,000-11,000 40% 55% >11,000 75%
TESI.PA Tessi SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BIOX.PA BioMerieux France 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
SCOR.PA SCOR SE France 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
BICP.PA Societe BIC SA France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
EGAB.PA Total Gabon France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SEBF.PA SEB SA France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
RUBF.PA Rubis SCA France 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
UBIP.PA UBISOFT Entertainment France 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SOPR.PA Sopra Group SA France 0-1,000 15% 1,000-6,000 25% 6,000-14,000 40% 55% >14,000 75%
ICAD.PA ICADE France 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
MWDP.PA Wendel SA France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
ALUA.PA Alcatel-Lucent SA France 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
MAUP.PA Etablissements Maurel et Prom France 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
LBCP.PA Fimalac France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
PLVP.PA Plastivaloire France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
NEXS.PA Nexans SA France 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
IMTP.PA Imerys SA France 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
FAIP.PA Faiveley Transport SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ENX.PA Euronext NV France 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
NEXI.PA Nexity SA France 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
ADP.PA Aeroports de Paris France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
JCDX.PA JCDecaux SA France 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
LAGA.PA Lagardere SCA France 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
IPN.PA Ipsen SA France 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
PLOF.PA Plastic Omnium SA France 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CNPP.PA CNP Assurances France 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
BOIR.PA Boiron SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FDR.PA Fonciere Des Regions France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
ELIOR.PA Elior SCA France 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
EURA.PA Eurazeo France 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
CAIF.PA Caisse Regionale de Credit Agricole Mutuel de Paris et d'Ile-de-France France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CRTO.PA Caisse Regionale de Credit Agricole Mutuel de la Touraine et du Poitou France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
THHG.PA Thermador Groupe France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ORP.PA Orpea France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
RCOP.PA Remy Cointreau SA France 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
BOLL.PA Bollore SA France 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
SFRGR.PA SFR Group SA France 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
ELER.PA Euler Hermes SA France 0-1,000 20% 1,000-6,000 30% 6,000-11,000 50% 60% >11,000 75%
STF.PA Stef France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GNFT.PA Genfit France 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
TFFP.PA Societe Television Francaise 1 France 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
LPER.PA Laurent-Perrier France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FFPP.PA FFP France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
NPOS.PA Neopost SA France 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
EXEP.PA Exel Industries France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KORI.PA Korian France 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
STDM.PA Sartorius Stedim Biotech France 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
MERY.PA Mercialys SA France 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
LTEN.PA Alten SA France 0-1,000 20% 1,000-6,000 30% 6,000-19,000 50% 60% >19,000 75%
DBV.PA DBV Technologies SA France 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
TEFE.PA Tonnellerie Francois Freres France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
VILM.PA Vilmorin & Cie France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 16 of 103
GRBT.PA Guerbet France 0-1,000 25% 1,000-6,000 40% 6,000-6,500 50% 60% >6,500 75%
CEGI.PA Cegid Group France 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
TCH.PA Technicolor SA France 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CITT.PA Groupe Crit France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FNAC.PA Groupe Fnac France 0-1,000 20% 1,000-6,000 30% 6,000-14,000 50% 60% >14,000 75%
FLMI.PA Fleury Michon SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
PARF.PA PAREF France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ISOS.PA IPSOS France 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
SAVEN.PA Savencia SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
VCTP.PA Sa des Ciments Vicat France 0-1,000 20% 1,000-6,000 30% 6,000-15,000 50% 60% >15,000 75%
TRIA.PA Trigano SA France 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
TEIF.PA Societe de la Tour Eiffel France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
OSI.PA Ausy SA France 0-1,000 25% 1,000-6,000 40% 6,000-6,500 50% 60% >6,500 75%
MATP.PA Manutan International France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
IPH.PA Innate Pharma SA France 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
GTT.PA Gaztransport Et Technigaz SA France 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
ALTT.PA Altran Technologies SA France 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
ADOC.PA Adocia France 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
GAUM.PA Gaumont SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ERMT.PA Eramet France 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
MMTP.PA Metropole Television SA France 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
LINP.PA Finatis SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ALCLS.PA Cellectis France 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
AMUN.PA Amundi Asset Management France 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
PSBP.PA PSB Industries SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
DVTM.PA Devoteam SA France 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
MFCP.PA Maisons France Confort France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
WLN.PA Worldline SA France 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
EUCAR.PA Europcar Groupe SA France 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
NCOX.PA NicOx SA France 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
PVAC.PA Pierre & Vacances SA France 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
LDSV.PA Linedata Services France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CGR.PA Cegereal France 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
PARP.PA Groupe Partouche SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GPIF.PA Gerard Perrier Industrie SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KOF.PA Kaufman & Broad SA France 0-1,000 25% 1,000-4,000 40% 4,000-6,500 50% 60% >6,500 75%
ESSF.PA Esso SA Francaise France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ETOF.PA Infotel SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ESIG.PA ESI Group SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ALTVO.PA Evolis SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
TERR.PA Terreis France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SPIE.PA SPIE SA France 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
CFAO.PA CFAO SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CCHE.PA Seche Environnement SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ABS.PA AB Science SA France 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
TAM.PA Etam Developpement SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ELIS.PA Elis SA France 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
HAVA.PA Havas SA France 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
LNA.PA Le Noble-Age France 0-1,000 25% 1,000-3,000 40% 3,000-3,750 50% 60% >3,750 75%
GENC.PA Rallye SA France 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
SDGI.PA Synergie SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
LAN.PA Lanson-BCC France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BNSI.PA Beni Stabili SpA (FR) France 0-50,600 25% 50,600-303,600 40% 303,600-1,012,000 50% 60% >1,012,000 75%
AXW.PA Axway Software SA France 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
CGDM.PA Cegedim SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SWOR.PA Sword Group France 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
ALFOC.PA Focus Home Interactive SA France 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
ALEZV.PA Easyvista SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ASY.PA Assystem France 0-1,000 25% 1,000-3,000 40% 3,000-5,500 50% 60% >5,500 75%
MBWS.PA Marie Brizard Wine & Spirits S.A. France 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
IPAR.PA Interparfums SA France 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
HERIG.PA Herige France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
PARRO.PA Parrot SA France 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
ALGIL.PA Groupe Guillin France 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
GFII.PA LISI France 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
AUBT.PA Aubay France 0-1,000 25% 1,000-4,000 40% 4,000-6,500 50% 60% >6,500 75%
VRKP.PA Vranken-Pommery Monopole SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BOND.PA Bonduelle S.C.A. France 0-1,000 25% 1,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
ROTH.PA Rothschild & Co SCA France 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
ACNF.PA ANF Immobilier France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ERYP.PA Erytech Pharma SA France 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
MGIP.PA MGI Coutier France 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
OPEN.PA Groupe Open France 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
SOIT.PA SOITEC France 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
ALUMS.PA Umanis SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SRPG.PA SRP Groupe SA France 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
LOCI.PA Financiere Pour la Location d'Immeubles Industriels et Commerciaux France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GLTN.PA GL Events France 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
CBLP.PA Mersen France 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
NANOB.PA Nanobiotix France 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
CDAF.PA Cie des Alpes France 0-1,000 25% 1,000-6,000 40% 6,000-7,500 50% 60% >7,500 75%
LECS.PA Lectra France 0-1,000 25% 1,000-6,000 40% 6,000-8,500 50% 60% >8,500 75%
ABIO.PA ALBIOMA France 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
JCQ.PA Jacquet Metal Service France 0-1,000 25% 1,000-6,000 40% 6,000-9,750 50% 60% >9,750 75%
BTPP.PA Affine SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
COFA.PA Coface SA France 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
MANP.PA Manitou BF SA France 0-1,000 25% 1,000-6,000 40% 6,000-9,750 50% 60% >9,750 75%
PYHE.PA Haulotte Group SA France 0-1,000 25% 1,000-6,000 40% 6,000-7,500 50% 60% >7,500 75%
IISP.PA Societe pour l'Informatique Industrielle France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BLUE.PA Blue Solutions France 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
MBRI.PA Mr Bricolage France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ALPHY.PA Ales Groupe France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ARTF.PA Artprice.com France 0-1,000 25% 1,000-6,000 40% 6,000-8,250 50% 60% >8,250 75%
INSD.PA Inside Secure SA France 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
AREVA.PA Areva SA France 0-2,000 25% 2,000-10,000 40% 10,000-20,000 50% 60% >20,000 75%
HIMD.PA Hi-Media SA France 0-2,200 25% 2,200-6,600 40% >6600 75% 75%
GFIP.PA GFI Informatique SA France 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
L3C.PA U10 France 0-2,700 25% 2,700-8,100 40% >8100 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 17 of 103
VEIL.PA Viel et Co France 0-3,500 25% 3,500-9,625 40% >9625 75% 75%
MKEA.PA Mauna Kea Technologies France 0-3,800 25% 3,800-24,700 40% 24,700-76,000 50% 60% >76,000 75%
CBOT.PA CBo Territoria France 0-3,200 25% 3,200-9,600 40% 9,600-11,200 50% 60% >11,200 75%
VLS.PA Valneva SE (FR) France 0-4,100 25% 4,100-24,600 40% 24,600-82,000 50% 60% >82,000 75%
LAEP.PA Ste Industrielle d'Aviation Latecoere SA France 0-3,200 25% 3,200-20,000 40% 20,000-54,400 50% 60% >54,400 75%
ALPRO.PA Prodware France 0-1,700 25% 1,700-5,100 40% 5,100-8,075 50% 60% >8,075 75%
SEQ.PA Sequana SA France 0-6,600 25% 6,600-39,600 40% 39,600-118,800 50% 60% >118,800 75%
ALPDX.PA Piscines Desjoyaux SA France 0-1,200 25% 1,200-3,600 40% >3600 75% 75%
SSI.PA SuperSonic Imagine SA France 0-4,600 25% 4,600-14,950 40% 14,950-20,700 50% 60% >20,700 75%
EDLP.PA Euro Disney SCA France 0-10,100 25% 10,100-30,300 40% 30,300-35,350 50% 60% >35,350 75%
ALUCI.PA Lucibel SA France 0-4,800 25% 4,800-15,600 40% >15600 75% 75%
FTRN.PA Futuren SA France 0-14,800 25% 14,800-88,800 40% 88,800-192,400 50% 60% >192,400 75%
GFLO.PA Groupe Flo France 0-14,800 25% 14,800-44,400 40% >44400 75% 75%
VIAD.PA Viadeo SA France 0-9,200 25% 9,200-29,900 40% >29900 75% 75%
METEX.PA METabolic EXplorer SA France 0-4,600 25% 4,600-29,900 40% 29,900-92,000 50% 60% >92,000 75%
ARCH.PA Archos France 0-7,300 25% 7,300-45,625 40% 45,625-146,000 50% 60% >146,000 75%
IAM.PA Maroc Telecom SA France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
AVOM.PA Avenir Telecom France 0-194,500 25% 194,500-583,500 40% >583500 75% 75%
ATAR.PA Atari SA France 0-53,000 25% 53,000-331,250 40% 331,250-530,000 50% 60% >530,000 75%
GPBN.PA Bourbon SA France 0-1,100 25% 1,100-6,600 40% 6,600-22,000 50% 60% >22,000 75%
ZCCM.PA ZCCM Investments Holdings PLC France 0-13,100 25% 13,100-39,300 40% >39300 75% 75%
ALEUP.PA Europlasma France 0-27,100 25% 27,100-81,300 40% 81,300-149,050 50% 60% >149,050 75%
DBG.PA Derichebourg SA France 0-4,100 25% 4,100-24,600 40% 24,600-69,700 50% 60% >69,700 75%
ALHYG.PA Hybrigenics SA France 0-12,800 25% 12,800-73,600 40% 73,600-86,400 50% 60% >86,400 75%
ETGM.PA NetGem SA France 0-6,000 25% 6,000-19,500 40% >19500 75% 75%
SABT.PA Oeneo SA France 0-1,400 25% 1,400-8,400 40% 8,400-18,200 50% 60% >18,200 75%
SIGF.PA CS Communication & Systemes France 0-2,100 25% 2,100-6,300 40% >6300 75% 75%
RXPA.PA Recylex SA France 0-4,700 25% 4,700-30,550 40% 30,550-94,000 50% 60% >94,000 75%
TGEL.PA Toupargel Groupe SA France 0-2,500 25% 2,500-7,500 40% >7500 75% 75%
LZTL.PA Les Hotels De Paris SA France 0-6,100 25% 6,100-19,825 40% >19825 75% 75%
C4X.PA Onxeo France 0-3,700 25% 3,700-20,350 40% 20,350-66,600 50% 60% >66,600 75%
HIGH.PA HighCo France 0-1,900 25% 1,900-9,975 40% 9,975-14,725 50% 60% >14,725 75%
TRNG.PA Transgene SA France 0-4,100 25% 4,100-24,600 40% 24,600-77,900 50% 60% >77,900 75%
CRIP.PA Chargeurs SA France 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
SPIS.PA Spir Communication France 0-2,500 25% 2,500-7,500 40% >7500 75% 75%
SONO.PA NRJ Group France 0-1,200 25% 1,200-3,600 40% 3,600-4,800 50% 60% >4,800 75%
APRL.PA April France 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
TXCL.PA TxCell SA France 0-3,500 25% 3,500-9,625 40% >9625 75% 75%
HIPAY.PA HiPay Group SA France 0-1,000 25% 1,000-3,000 40% 3,000-4,500 50% 60% >4,500 75%
CHBE.PA Beneteau SA France 0-1,200 25% 1,200-6,900 40% 6,900-24,000 50% 60% >24,000 75%
DAIGn.DE Daimler AG Germany 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
TRVC.DE Citigroup Inc (DE) Germany 0-17,158 10% 17,158-77,211 20% 77,211-308,844 35% 45% >308,844 75%
9984.DE SoftBank Corp Germany 0-20,300 5% 20,300-96,425 10% 96,425-385,700 20% 40% >385,700 75%
ALVG.DE Allianz SE Germany 0-9,000 5% 9,000-42,750 10% 42,750-180,000 20% 40% >180,000 75%
SAPG.DE SAP AG (DE) Germany 0-15,000 5% 15,000-71,250 10% 71,250-300,000 20% 40% >300,000 75%
RYS1.DE The Royal Bank of Scotland Group PLC - EUR Germany 0-498,600 5% 498,600-2,493,000 10% 2,493,000-9,473,400 20% 40% >9,473,400 75%
TOTF.DE Total SA (DE) Germany 0-13,588 10% 13,588-71,337 20% 71,337-285,348 35% 45% >285,348 75%
BASFn.DE BASF SE Germany 0-15,000 5% 15,000-78,750 10% 78,750-300,000 20% 40% >300,000 75%
SIEGn.DE Siemens AG Germany 0-10,000 5% 10,000-55,000 10% 55,000-200,000 20% 40% >200,000 75%
LKOHy.DE Lukoil OAO - GDR (DE) Germany 0-25,200 10% 25,200-151,200 20% 151,200-504,000 35% 45% >504,000 75%
VOWG_p.DE Volkswagen AG - Pfd Germany 0-8,000 5% 8,000-46,000 10% 46,000-184,000 20% 40% >184,000 75%
BAYGn.DE Bayer AG Germany 0-10,000 5% 10,000-60,000 10% 60,000-200,000 20% 40% >200,000 75%
AAPL.DE Apple Inc (DE) Germany 0-10,100 5% 10,100-60,600 10% 60,600-242,400 20% 40% >242,400 75%
DTEGn.DE Deutsche Telekom AG Germany 0-60,000 5% 60,000-390,000 10% 390,000-1,200,000 20% 40% >1,200,000 75%
AIRG.DE Airbus Group NV (DE) Germany 0-15,000 5% 15,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
BMWG.DE Bayerische Motoren Werke AG Germany 0-10,000 5% 10,000-75,000 10% 75,000-200,000 20% 40% >200,000 75%
ADSGn.DE Adidas AG Germany 0-5,000 5% 5,000-38,750 10% 38,750-100,000 20% 40% >100,000 75%
NOKS.F Nokia OYJ (DE) Germany 0-140,100 5% 140,100-1,120,800 10% 1,120,800-4,483,200 20% 40% >4,483,200 75%
ABX.DE Barrick Gold Corp Germany 0-40,300 5% 40,300-352,625 10% 352,625-1,410,500 20% 40% >1,410,500 75%
MUVGn.DE Muenchener Rueckversicherungs AG Germany 0-4,000 5% 4,000-35,000 10% 35,000-80,000 20% 40% >80,000 75%
NSUG.DE AUDI AG Germany 0-933 25% 933-2,799 40% >2799 75% 75%
QGEN.DE QIAGEN NV Germany 0-25,000 10% 25,000-118,750 20% 118,750-475,000 35% 45% >475,000 75%
DPWGn.DE Deutsche Post AG Germany 0-20,000 5% 20,000-200,000 10% 200,000-800,000 20% 40% >800,000 75%
EONGn.DE E.ON SE Germany 0-70,000 5% 70,000-700,000 10% 700,000-1,400,000 20% 40% >1,400,000 75%
FREG.DE Fresenius SE & Co KGaA Germany 0-7,000 5% 7,000-84,000 10% 84,000-140,000 20% 40% >140,000 75%
CONG.DE Continental AG Germany 0-2,500 5% 2,500-30,000 10% 30,000-50,000 20% 40% >50,000 75%
LING.DE Linde AG Germany 0-3,000 5% 3,000-30,000 10% 30,000-60,000 20% 40% >60,000 75%
RAAG.DE Rational AG Germany 0-1,000 20% 1,000-3,000 30% 3,000-3,500 50% 60% >3,500 75%
IFXGn.DE Infineon Technologies AG Germany 0-30,000 5% 30,000-300,000 10% 300,000-1,560,000 20% 40% >1,560,000 75%
2FE.DE Ferrari NV (GER) Germany 0-10,000 10% 10,000-60,000 20% 60,000-260,000 35% 45% >260,000 75%
WDIG.DE Wirecard AG Germany 0-9,000 10% 9,000-54,000 20% 54,000-252,000 35% 45% >252,000 75%
MEOG.DE Metro AG Germany 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
KSBG.DE KSB Aktiengesellschaft Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KSBG_p.DE KSB Aktiengesellschaft - Pfd Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
RWEG.DE RWE AG Germany 0-25,000 5% 25,000-250,000 10% 250,000-500,000 20% 40% >500,000 75%
SDFGn.DE K+S AG Germany 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
HNKG_p.DE Henkel AG & Co KGaA - Pfd Germany 0-3,000 5% 3,000-45,000 10% 45,000-60,000 20% 40% >60,000 75%
DWNG.DE Deutsche Wohnen AG Germany 0-10,000 10% 10,000-60,000 20% 60,000-340,000 35% 45% >340,000 75%
TKAG.DE ThyssenKrupp AG Germany 0-15,000 5% 15,000-150,000 10% 150,000-1,050,000 20% 40% >1,050,000 75%
HEIG.DE HeidelbergCement AG Germany 0-4,000 5% 4,000-40,000 10% 40,000-80,000 20% 40% >80,000 75%
LHAG.DE Deutsche Lufthansa AG Germany 0-30,000 5% 30,000-300,000 10% 300,000-600,000 20% 40% >600,000 75%
EVKn.DE Evonik Industries AG Germany 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
KWSG.DE KWS Saat AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MRCG.DE Merck KGaA Germany 0-3,000 5% 3,000-45,000 10% 45,000-60,000 20% 40% >60,000 75%
PSHG_p.DE Porsche Automobil Holding SE - Pfd Germany 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
SNHG.DE Steinhoff International Holdings NV (GER) Germany 0-50,900 10% 50,900-509,000 20% 509,000-4,428,300 35% 45% >4,428,300 75%
BOSSn.DE Hugo Boss AG Germany 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
ZALG.DE Zalando SE Germany 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
LXSG.DE LANXESS AG Germany 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
VNAn.DE Vonovia SE Germany 0-7,000 5% 7,000-70,000 10% 70,000-140,000 20% 40% >140,000 75%
G1AG.DE GEA Group AG Germany 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
FMEG.DE Fresenius Medical Care AG & Co KGaA Germany 0-3,000 5% 3,000-30,000 10% 30,000-60,000 20% 40% >60,000 75%
PUMG.DE Puma SE Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
NDXG.DE Nordex SE Germany 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
OSRn.DE Osram Licht AG Germany 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
1COV.DE Covestro AG Germany 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
DB1Gn.DE Deutsche Boerse AG Germany 0-3,000 5% 3,000-30,000 10% 30,000-276,000 20% 40% >276,000 75%
SY1G.DE Symrise AG Germany 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 18 of 103
VOWG.DE Volkswagen AG Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
STAGn.DE Stada Arzneimittel AG Germany 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
BNRGn.DE Brenntag AG Germany 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
PSMGn.DE ProSiebenSat.1 Media AG Germany 0-5,000 5% 5,000-50,000 10% 50,000-375,000 20% 40% >375,000 75%
DLGS.DE Dialog Semiconductor PLC Germany 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
HNRGn.DE Hannover Rueckversicherung SE Germany 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
HOTG.DE Hochtief AG Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
MTXGn.DE MTU Aero Engines AG Germany 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
OBCGn.DE XING AG Germany 0-1,000 20% 1,000-3,000 30% 3,000-4,500 50% 60% >4,500 75%
GLJn.DE Grenkeleasing AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BEIG.DE Beiersdorf AG Germany 0-2,000 5% 2,000-20,000 10% 20,000-40,000 20% 40% >40,000 75%
RHMG.DE Rheinmetall AG Germany 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
FNTGn.DE Freenet AG Germany 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
DUEG.DE Duerr AG Germany 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
UTDI.DE United Internet AG Germany 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
BIONn.DE BB Biotech AG (DE) Germany 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
KU2G.DE KUKA AG Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
LEGn.DE LEG Immobilien AG Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
ZO1G.DE zooplus AG Germany 0-1,000 20% 1,000-4,000 30% 4,000-6,500 50% 60% >6,500 75%
SAXG.DE Stroeer Media AG Germany 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
DRIG.DE Drillisch AG Germany 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
NAFG.DE Aurubis AG Germany 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
ARLG.DE Aareal Bank AG Germany 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
WCHG.DE Wacker Chemie AG Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
SZUG.DE Suedzucker AG Germany 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SZGG.DE Salzgitter AG Germany 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SHA_p.DE Schaeffler AG Germany 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
RRTL.DE RTL Group SA Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
SOWG.DE Software AG Germany 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
AIXGn.DE Aixtron SE (DE) Germany 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
SATG_p.DE Sartorius AG - Pfd Germany 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
KD8Gn.F Kabel Deutschland Holding AG Germany 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
FIEG.DE Fielmann AG Germany 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
STOG_p.DE Sto SE & Co. KGaA Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
DEQGn.DE Deutsche Euroshop AG Germany 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
O2Dn.DE Telefonica Deutschland Holding AG Germany 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
FRAG.DE Fraport AG Frankfurt Airport Services Worldwide Germany 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
BC8G.DE Bechtle AG Germany 0-1,000 15% 1,000-6,000 25% 6,000-15,000 40% 55% >15,000 75%
HNKG.DE Henkel AG & Co KGaA Germany 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
BMWG_p.DE Bayerische Motoren Werke AG - Pfd Germany 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
BDTG.DE Bertrandt AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-12,000 50% 60% >12,000 75%
LEOGn.DE Leoni AG Germany 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
MORG.DE Morphosys AG Germany 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
WING.DE Wincor Nixdorf AG Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
MANG.DE MAN SE Germany 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
HLE.DE Hella KGaA Hueck & Co Germany 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
ISRG.DE Isra Vision AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MANG_p.DE MAN SE - Pfd Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KRNG.DE Krones AG Germany 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
PV.DE Pfeiffer Vacuum Technology AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-15,000 50% 60% >15,000 75%
HYQGn.DE Hypoport AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-12,000 50% 60% >12,000 75%
GBFG.DE Bilfinger SE Germany 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
RSTI.DE Rofin-Sinar Technologies Inc (DE) Germany 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
GMMG.DE Grammer AG Germany 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
TUIGn.DE TUI AG Germany 0-6,900 10% 6,900-69,000 20% 69,000-138,000 35% 45% >138,000 75%
KCOGn.DE Kloeckner & Co SE Germany 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
FPEG_p.DE Fuchs Petrolub SE - Pfd Germany 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
TLXGn.DE Talanx AG Germany 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
CWCG.DE Cewe Color Holding AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-8,000 50% 60% >8,000 75%
GYC.DE Grand City Properties SA Germany 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
TEGG.DE TAG Immobilien AG Germany 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
S92G.DE SMA Solar Technology AG Germany 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
GXIG.DE Gerresheimer AG Germany 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
JUNG_p.DE Jungheinrich AG - Pfd Germany 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
BWOG.DE BUWOG - Bauen und Wohnen GmbH Germany 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SATG.DE Sartorius AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GSC1n.DE Gesco AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SPRGn.DE Axel Springer AG Germany 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
COKG.DE CANCOM SE Germany 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
DRWG_p.DE Draegerwerk AG & Co KGaA Germany 0-1,000 20% 1,000-6,000 30% 6,000-13,000 50% 60% >13,000 75%
AMDG.DE Amadeus Fire AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,750 50% 60% >3,750 75%
ZILGn.DE ElringKlinger AG Germany 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
GILG.DE DMG Mori Seiki AG Germany 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
AOXG.DE Alstria Office REIT-AG Germany 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
HBH.DE Hornbach Holding AG & Co. KGaA Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
EVDG.DE CTS Eventim AG Germany 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
H5EG.DE HELMA Eigenheimbau AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
ADAG.DE ADVA Optical Networking SE Germany 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
BSLG.DE Basler AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
UZUG.DE Uzin Utz AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
AOFG.DE Atoss Software AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
HDDG.DE Heidelberger Druckmaschinen AG Germany 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
LEIG.DE Leifheit AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
RKET.DE Rocket Internet AG Germany 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
A1OS.DE All for One Steeb AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SBSG.DE STRATEC Biomedical AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
NEKG.DE Nemetschek AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
RHKG.DE Rhoen Klinikum AG Germany 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
DRWG.DE Dragerwerk AG & Co. KGaA Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BIJG.DE Bijou Brigitte AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
VOSG.DE Vossloh AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
SIXG.DE Sixt AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
AR4G.DE Aurelius AG Germany 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
AFXG.DE Carl Zeiss Meditec AG Germany 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
INHG.DE Indus Holding AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-15,000 50% 60% >15,000 75%
STAB.DE Stabilus GmbH Germany 0-1,000 25% 1,000-6,000 40% 6,000-7,500 50% 60% >7,500 75%
GFTG.DE GFT Technologies AG Germany 0-2,500 20% 2,500-15,000 30% 15,000-50,000 50% 60% >50,000 75%
DAMG.DE Data Modul AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 19 of 103
NOEJ.DE Norma Group SE Germany 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
EVTG.DE Evotec AG Germany 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
GKSG.DE GK Software AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SKBG.DE Koenig & Bauer AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
IVXG.DE InVision AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
P1ZGn.DE Patrizia Immobilien AG Germany 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
HAWG.DE Hawesko Holding AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
COPMa.DE CompuGroup Medical AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
WSUG.DE Washtec AG Germany 0-1,000 25% 1,000-4,000 40% 4,000-6,250 50% 60% >6,250 75%
AM3D.DE SLM Solutions Group AG Germany 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
MBBG.DE MBB SE Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MUBG.DE Muehlbauer Holding AG & Co KGaA Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SIXG_p.DE Sixt AG - Pfd Germany 0-1,000 25% 1,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
ADJ.DE ADO Properties SA Germany 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
EING_p.DE Einhell Germany AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CLSGn.DE Celesio AG Germany 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
FPEG.DE Fuchs Petrolub SE Germany 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
PWOG.DE Progress-Werk Oberkirch Aktiengesellschaft Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
YSNG.DE Secunet Security Network SA Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GWIG.DE Gerry Weber International AG Germany 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
M3VGn.DE MeVis Medical Solution SA Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
M5ZG.DE Manz AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
SGCG.DE SGL Carbon SE Germany 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
G24n.DE Scout24 AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
JENG.DE Jenoptik AG Germany 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
SLTG.DE Schaltbau Holding AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ECKG.DE LUDWIG BECK am Rathauseck - Textilhaus Feldmeier AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ADNGk.DE adesso AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BYWG.DE BayWa AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SFQN.DE SAF-Holland SA Germany 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
TIMGn.DE Zeal Networks SE Germany 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
PGNG.DE Paragon AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
RSL2.DE R Stahl AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
PBYG.DE publity AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-8,750 50% 60% >8,750 75%
TLGG.DE TLG Immobilien AG Germany 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
BYWGnx.DE BayWa AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
DBANn.DE Deutsche Beteiligungs AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-9,750 50% 60% >9,750 75%
ACWNn.DE AS Creation Tapeten AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GFKG.DE GFK SE Germany 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
SHFG.DE SNP Schneider-Neureither & Partner AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
SW1.DE SHW AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
FAOGn.DE i:FAO AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ADLG.DE ADLER Real Estate AG Germany 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
DEZG.DE Deutz AG Germany 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
CAGGk.DE Clere AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
HBMG.DE Hornbach Baumarkt AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,500 50% 60% >4,500 75%
VT9G.DE VTG AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
HNLG.DE Dr. Honle AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MEOG_p.DE METRO AG - Pfd Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
SMHNn.DE Suess Microtec AG Germany 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
WCMKk.DE WCM Beteiligungs- und Grundbesitz-AG Germany 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
SURG.DE Surteco SE Germany 0-1,000 25% 1,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
ATSV.DE AT&S Austria Technologie & Systemtechnik Aktiengesellschaft Germany 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
TTRGn.DE Technotran SA Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,500 50% 60% >4,500 75%
RWEG_p.DE RWE AG - Pfd Germany 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
WAFGn.DE Siltronic AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
EUZG.DE Eckert & Ziegler AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
OSPGk.DE USU Software AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
TTKG.DE Takkt AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
EBKG.DE EnBW Energie Baden-Wuerttemberg AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
LUSGn.DE Lang & Schwarz Aktiengesellschaft Germany 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
MVVGn.DE MVV Energie AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
WUGG_p.DE Westag & Getalit Aktiengesellschaft - Preferred Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
WACGn.DE Wacker Neuson SE Germany 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
LNSX.DE Sixt Leasing AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-8,000 50% 60% >8,000 75%
CSHG.DE CENIT AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-6,000 50% 60% >6,000 75%
BIOG_p.DE Biotest AG - Pfd Germany 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
2HR.DE H&R AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
WUGG.DE Westag & Getalit Aktiengesellschaft Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
DEXGn.DE Delticom AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FRU.DE Ferratum Oyj Germany 0-1,000 25% 1,000-6,000 40% 6,000-9,500 50% 60% >9,500 75%
OHBG.DE OHB AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
RIB.DE RIB Software AG Germany 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
NXUG.DE Nexu SA Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
DR0G.DE Deutsche Rohstoff AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SWEGn.DE Schweizer Electronic AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
HLAG.DE Hapag-Lloyd AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
WUWGn.DE Wuestenrot & Wuerttembergische AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
DICn.DE DIC Asset AG Germany 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
AEIG.DE Allgeier SE Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MDNG.DE Medion AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
2GBG.DE 2G energy AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BIOG.DE Biotest AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,750 50% 60% >3,750 75%
GFJG.DE GAGFAH SA Germany 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
O4BG.DE OVB Holding AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FLAG.DE FinTech Group AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-8,750 50% 60% >8,750 75%
IXXG.DE Init Innovation In Traffic Systems AG Germany 0-1,000 25% 1,000-4,000 40% 4,000-6,250 50% 60% >6,250 75%
HABG.DE Hamborner REIT AG Germany 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
CEAG.DE FRIWO AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FEVG.DE Fortec Elektronik AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MBQGn.DE Mobotix AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,750 50% 60% >3,750 75%
SWAG.DE Schloss Wachenheim AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CEVG.DE CENTROTEC Sustainable AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-6,750 50% 60% >6,750 75%
EKTG.DE Energiekontor AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
HHFGn.DE Hamburger Hafen und Logistik AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
VBKG.DE VERBIO Vereinigte BioEnergie AG Germany 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
ST5G.DE STEICO SE Germany 0-1,000 25% 1,000-3,000 40% 3,000-5,500 50% 60% >5,500 75%
V6CG.DE Viscom AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 20 of 103
ED4.DE EDAG Engineering Group AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
PSAGn.DE PSI AG Gesellschaft Fuer Produkte und Systeme der Informationstechnologie Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
ELGG.DE Elmos Semiconductor AG Germany 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
VIBG_p.DE Villeroy & Boch AG - Pfd Germany 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
QSCG.DE QSC AG Germany 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
HWAG.DE Capital Stage AG Germany 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
BVB.DE Borussia Dortmund GmbH & Co KGaA Germany 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
MUMG.DE Mensch und Maschine Software SE Germany 0-1,000 25% 1,000-6,000 40% 6,000-6,500 50% 60% >6,500 75%
ECXn.DE Epigenomics AG Germany 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
TC1n.DE Tele Columbus AG Germany 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
B5AG.DE Bauer AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
GMEG.DE Geratherm Medical AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
HACGn.DE KPS AG Germany 0-1,200 25% 1,200-3,600 40% 3,600-6,300 50% 60% >6,300 75%
DKG.DE Deutsche Konsum REIT-AG Germany 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
SYTG.DE Softing AG Germany 0-1,100 25% 1,100-3,575 40% 3,575-3,850 50% 60% >3,850 75%
NC5Ak.DE NorCom Information Technology AG Germany 0-1,100 25% 1,100-4,400 40% 4,400-6,875 50% 60% >6,875 75%
ELBG.DE Elumeo SE Germany 0-1,500 25% 1,500-4,500 40% >4500 75% 75%
BTCGk.DE EYEMAXX Real Estate AG Germany 0-1,500 25% 1,500-4,500 40% >4500 75% 75%
SYZG.DE Syzygy AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
SWVKk.DE Solarworld AG Germany 0-2,300 25% 2,300-14,950 40% 14,950-34,500 50% 60% >34,500 75%
ADDG.DE Adler Modemarkte AG Germany 0-1,700 25% 1,700-5,100 40% 5,100-8,500 50% 60% >8,500 75%
K1RG.DE KROMI Logistik AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
O2C.DE CAT Oil AG Germany 0-1,800 25% 1,800-5,400 40% 5,400-6,300 50% 60% >6,300 75%
M7UG.DE m-u-t AG Germany 0-1,800 25% 1,800-5,400 40% >5400 75% 75%
CE2G.DE CropEnergies AG Germany 0-2,400 25% 2,400-15,000 40% 15,000-19,200 50% 60% >19,200 75%
T5OG.DE CytoTool SA Germany 0-1,100 25% 1,100-3,575 40% 3,575-3,850 50% 60% >3,850 75%
MPCKk.DE MPC Muenchmeyer Petersen Capital AG Germany 0-1,600 25% 1,600-5,200 40% 5,200-6,400 50% 60% >6,400 75%
OBSG.DE ORBI SA Germany 0-3,100 25% 3,100-9,300 40% >9300 75% 75%
SISG.DE First Sensor AG Germany 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
ESYG.DE Easy Software AG Germany 0-2,600 25% 2,600-7,800 40% >7800 75% 75%
PS4G.DE Phoenix Solar AG Germany 0-3,600 25% 3,600-9,900 40% 9,900-14,400 50% 60% >14,400 75%
SZZG.DE SinnerSchrader AG Germany 0-2,400 25% 2,400-7,200 40% >7200 75% 75%
SHSGk.DE SHS Viveon AG Germany 0-2,200 25% 2,200-6,600 40% >6600 75% 75%
ULCG.DE UNITEDLABELS Aktiengesellschaft Germany 0-3,700 25% 3,700-10,175 40% >10175 75% 75%
MEDG.DE Mediclin AG Germany 0-2,000 25% 2,000-6,000 40% >6000 75% 75%
TPEG.DE PVA TePla AG Germany 0-4,700 25% 4,700-15,275 40% >15275 75% 75%
KA8Gn.DE Klassik Radio AG Germany 0-3,400 25% 3,400-10,200 40% >10200 75% 75%
MLLG.DE Muller - Die lila Logistik AG Germany 0-1,900 25% 1,900-5,700 40% >5700 75% 75%
SK1Gn.DE SKW Stahl-Metallurgie Holding AG Germany 0-4,300 25% 4,300-15,050 40% >15050 75% 75%
SNGG.DE Singulus Technologies AG Germany 0-2,400 25% 2,400-7,200 40% >7200 75% 75%
WEG1.DE WESTGRUND AG Germany 0-2,400 25% 2,400-7,200 40% >7200 75% 75%
MSGL.DE MSG Life AG Germany 0-5,800 25% 5,800-14,500 40% 14,500-21,750 50% 60% >21,750 75%
DTDGk.DE B+S Banksysteme Aktiengesellschaft Germany 0-5,000 25% 5,000-15,000 40% >15000 75% 75%
FRSG.DE FORI SA Germany 0-4,700 25% 4,700-15,275 40% >15275 75% 75%
MYRKk.DE MYHAMMER HOLDING AG Germany 0-2,500 25% 2,500-7,500 40% >7500 75% 75%
PNEGn.DE PNE Wind AG Germany 0-5,600 25% 5,600-35,000 40% 35,000-46,200 50% 60% >46,200 75%
MLPG.DE MLP AG Germany 0-3,100 25% 3,100-20,150 40% 20,150-52,700 50% 60% >52,700 75%
F3CG.DE SFC Energy AG Germany 0-3,100 25% 3,100-9,300 40% >9300 75% 75%
WL6G.DE Wilex AG Germany 0-6,900 25% 6,900-20,700 40% >20700 75% 75%
LIO1k.DE Sygnis SA Germany 0-8,700 25% 8,700-23,925 40% >23925 75% 75%
BLMG.DE Baader Bank AG Germany 0-5,500 25% 5,500-15,125 40% >15125 75% 75%
V3VGn.DE VITA 34 AG Germany 0-2,800 25% 2,800-8,400 40% >8400 75% 75%
PA8G.DE Paion AG Germany 0-5,100 25% 5,100-30,600 40% 30,600-76,500 50% 60% >76,500 75%
KBCG.DE Kontron AG Germany 0-4,900 25% 4,900-29,400 40% 29,400-36,750 50% 60% >36,750 75%
DE1n.F Deufol SE Germany 0-20,300 25% 20,300-60,900 40% >60900 75% 75%
UP7G.DE United Power Technology AG Germany 0-20,300 25% 20,300-60,900 40% >60900 75% 75%
AAQG.DE AAP Implantate AG Germany 0-9,200 25% 9,200-29,900 40% >29900 75% 75%
MHHG.DE Medisana AG Germany 0-4,000 25% 4,000-10,000 40% >10000 75% 75%
7KTG.DE KTG Agrar SE Germany 0-20,900 25% 20,900-62,700 40% >62700 75% 75%
DMRE.DE DEMIRE Real Estate AG Germany 0-3,200 25% 3,200-9,600 40% 9,600-18,400 50% 60% >18,400 75%
VBHKk.DE VBH Holding AG Germany 0-4,700 25% 4,700-15,275 40% >15275 75% 75%
XMYn.DE mybet Holding SE Germany 0-21,700 25% 21,700-65,100 40% >65100 75% 75%
AB1.DE Air Berlin PLC Germany 0-18,100 25% 18,100-54,300 40% >54300 75% 75%
TLIG.DE TELES Aktiengesellschaft Informationstechnologien Germany 0-77,300 25% 77,300-231,900 40% >231900 75% 75%
M4NG.DE Muehlhan AG Germany 0-6,700 25% 6,700-20,100 40% >20100 75% 75%
HWSAk.DE Metric Mobility Solution SA Germany 0-50,300 25% 50,300-150,900 40% >150900 75% 75%
GGS.DE Gigaset AG Germany 0-18,700 25% 18,700-56,100 40% >56100 75% 75%
ATFG.DE Alphaform AG Germany 0-228,800 25% 228,800-686,400 40% >686400 75% 75%
5ABG.DE Asian Bamboo AG Germany 0-114,400 25% 114,400-343,200 40% >343200 75% 75%
USEG.DE Beate Uhse AG Germany 0-56,100 25% 56,100-168,300 40% >168300 75% 75%
STEM.DE Steilmann SE Germany 0-188,200 25% 188,200-564,600 40% >564600 75% 75%
EMQG.DE emQtec AG Germany 0-1,944,700 25% 1,944,700-5,834,100 40% >5834100 75% 75%
BUMI.F Bumi Resources Tbk PT Germany 0-2,917,000 25% 2,917,000-5,834,000 40% >5834000 75% 75%
PRAG.DE Praktiker AG Germany 0-2,333,600 25% 2,333,600-4,667,200 40% >4667200 75% 75%
AROG.DE Arcandor AG Germany 0-648,200 25% 648,200-1,944,600 40% >1944600 75% 75%
ANOG.DE Alno AG Germany 0-28,800 25% 28,800-86,400 40% >86400 75% 75%
BTBA.DE bmp Holding AG Germany 0-16,200 25% 16,200-48,600 40% >48600 75% 75%
PGAG.DE Pearl Gold AG Germany 0-48,600 25% 48,600-145,800 40% >145800 75% 75%
WBAG.DE Wild Bunch AG Germany 0-19,800 25% 19,800-59,400 40% >59400 75% 75%
H2Fn.DE Heliocentris Energy Solution SA Germany 0-29,300 25% 29,300-87,900 40% >87900 75% 75%
3W9K.DE 3W Power SA Germany 0-26,500 25% 26,500-79,500 40% >79500 75% 75%
I7NG.DE ItN Nanovation AG Germany 0-26,500 25% 26,500-79,500 40% >79500 75% 75%
MSAG.DE MS Industrie AG Germany 0-3,800 25% 3,800-10,450 40% 10,450-13,300 50% 60% >13,300 75%
TGTG.DE Telegate AG Germany 0-12,200 25% 12,200-33,550 40% >33550 75% 75%
V33G.DE Vtion Wireless Technology AG Germany 0-19,100 25% 19,100-57,300 40% >57300 75% 75%
UUUG.DE 3U Holding AG Germany 0-18,200 25% 18,200-54,600 40% >54600 75% 75%
LPKG.DE LPKF Laser & Electronics AG Germany 0-1,200 25% 1,200-6,900 40% 6,900-22,800 50% 60% >22,800 75%
MAKG.DE Maternus-Kliniken AG Germany 0-8,500 25% 8,500-25,500 40% >25500 75% 75%
VSCk.DE 4SC AG Germany 0-5,100 25% 5,100-15,300 40% >15300 75% 75%
KWGG.DE KHD Humboldt Wedag International AG Germany 0-7,500 25% 7,500-24,375 40% >24375 75% 75%
TTIGn.DE Tom Tailor Holding AG Germany 0-3,100 25% 3,100-20,150 40% 20,150-62,000 50% 60% >62,000 75%
CURG.DE Curasan AG Germany 0-10,800 25% 10,800-29,700 40% >29700 75% 75%
CU1G.DE CHORUS Clean Energy AG Germany 0-1,100 25% 1,100-6,600 40% 6,600-22,000 50% 60% >22,000 75%
IVUG.DE IVU Traffic Technologie SA Germany 0-3,300 25% 3,300-9,900 40% >9900 75% 75%
ZEFG.DE Zhongde Waste Technology Ag Germany 0-6,600 25% 6,600-19,800 40% >19800 75% 75%
SPME.DE Splendid Medien AG Germany 0-5,000 25% 5,000-15,000 40% >15000 75% 75%
ISHG.DE Intershop Communication SA Germany 0-7,900 25% 7,900-25,675 40% >25675 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 21 of 103
B8FGn.DE Biofrontera AG Germany 0-3,800 25% 3,800-24,700 40% 24,700-28,500 50% 60% >28,500 75%
EV4G.DE Constantin Medien AG Germany 0-5,300 25% 5,300-30,475 40% 30,475-42,400 50% 60% >42,400 75%
GSJGn.DE German Startups Group Berlin GmbH & Co. KGaA Germany 0-4,400 25% 4,400-15,400 40% >15400 75% 75%
MGNG.DE Mologen AG Germany 0-7,100 25% 7,100-19,525 40% >19525 75% 75%
CNWKk.DE co.don AG Germany 0-3,800 25% 3,800-10,450 40% 10,450-12,350 50% 60% >12,350 75%
RTCG.DE REALTECH AG Germany 0-6,100 25% 6,100-19,825 40% >19825 75% 75%
ERMGk.DE Deag Deutsche Entertainment Ag Germany 0-4,400 25% 4,400-15,400 40% >15400 75% 75%
AYDGn.DE Artnet AG Germany 0-5,100 25% 5,100-15,300 40% >15300 75% 75%
FPHG.DE Francotyp Postalia Holding AG Germany 0-2,700 25% 2,700-8,100 40% >8100 75% 75%
WIGGk.DE Wige Media AG Germany 0-4,900 25% 4,900-14,700 40% >14700 75% 75%
MTVG.DE Albis Leasing AG Germany 0-3,400 25% 3,400-10,200 40% >10200 75% 75%
S4AG.DE SMT Scharf AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
LO24n.DE Lotto24 Germany 0-2,200 25% 2,200-6,600 40% 6,600-7,700 50% 60% >7,700 75%
YOCG.DE YOC AG Germany 0-3,300 25% 3,300-9,900 40% >9900 75% 75%
HOC.DE Holidaycheck Group AG Germany 0-4,600 25% 4,600-14,950 40% >14950 75% 75%
HLGZ.DE Highlight Communications AG Germany 0-2,100 25% 2,100-6,300 40% 6,300-8,400 50% 60% >8,400 75%
MZXG.DE Masterflex SE Germany 0-1,800 25% 1,800-5,400 40% >5400 75% 75%
E7SG.DE Accentro Real Estate AG Germany 0-1,500 25% 1,500-4,500 40% 4,500-6,000 50% 60% >6,000 75%
EUCAn.DE Euromicron AG Germany 0-1,600 25% 1,600-5,200 40% 5,200-5,600 50% 60% >5,600 75%
PMOX.DE DO Deutsche Office AG Germany 0-3,200 25% 3,200-9,600 40% 9,600-12,000 50% 60% >12,000 75%
WDL.DE windeln.de AG Germany 0-2,900 25% 2,900-8,700 40% >8700 75% 75%
DIEG.DE Dierig Holding AG Germany 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MF6G.DE MagForce AG Germany 0-2,500 25% 2,500-7,500 40% >7500 75% 75%
BST1.DE Bastei Lubbe AG Germany 0-1,900 25% 1,900-5,700 40% 5,700-6,650 50% 60% >6,650 75%
MAXG.DE M.A.X. Automation Ag Germany 0-1,900 25% 1,900-5,700 40% 5,700-9,025 50% 60% >9,025 75%
IS7G.DE InTiCa System SA Germany 0-2,400 25% 2,400-7,200 40% >7200 75% 75%
E4CG.DE ecotel communication ag Germany 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
PBBG.DE Deutsche Pfandbriefbank AG Germany 0-1,300 25% 1,300-5,200 40% 5,200-8,125 50% 60% >8,125 75%
FVIG.DE Fair Value REIT-AG Germany 0-1,700 25% 1,700-5,100 40% >5100 75% 75%
MDG1k.DE Medigene AG Germany 0-1,600 25% 1,600-9,600 40% 9,600-27,200 50% 60% >27,200 75%
KBUG.DE Colonia Real Estate AG Germany 0-1,300 25% 1,300-3,900 40% >3900 75% 75%
CDBG.DE Comdirect Bank AG Germany 0-1,200 25% 1,200-6,900 40% 6,900-11,100 50% 60% >11,100 75%
ACBr.AT Alpha Bank AE Greece 0-160,000 25% 160,000-960,000 40% 960,000-3,200,000 50% 60% >3,200,000 75%
NBGr.AT National Bank of Greece SA Greece 0-1,100,000 25% 1,100,000-6,600,000 40% 6,600,000-22,000,000 50% 60% >22,000,000 75%
EURBr.AT Eurobank Ergasias SA Greece 0-275,000 25% 275,000-1,512,500 40% 1,512,500-5,500,000 50% 60% >5,500,000 75%
OTEr.AT Hellenic Telecommunications Organization SA Greece 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
BOPr.AT Piraeus Bank SA Greece 0-800,000 25% 800,000-5,000,000 40% 5,000,000-16,000,000 50% 60% >16,000,000 75%
OPAr.AT OPAP SA Greece 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
BABr.AT JUMBO SA Greece 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
HDFr.AT Folli Follie SA Greece 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
BOCr.AT Bank of Cyprus Pcl Greece 0-100,000 50% 100,000-200,000 75% 200,000-300,000 100% 100% >300,000 100%
EXCr.AT Hellenic Exchanges SA Greece 0-4,000 50% 4,000-25,000 75% 25,000-80,000 100% 100% >80,000 100%
HELr.AT Ellaktor SA Greece 0-9,500 50% 9,500-54,625 75% 54,625-95,000 100% 100% >95,000 100%
0700.HK Tencent Holdings Ltd Hong Kong 0-50,000 5% 50,000-237,500 10% 237,500-950,000 20% 40% >950,000 75%
0941.HK China Mobile Ltd Hong Kong 0-110,000 5% 110,000-550,000 10% 550,000-2,200,000 20% 40% >2,200,000 75%
0005.HK HSBC Holdings PLC (HK) Hong Kong 0-175,400 5% 175,400-877,000 10% 877,000-3,508,000 20% 40% >3,508,000 75%
2318.HK Ping An Insurance Group Co of China Ltd Hong Kong 0-240,000 5% 240,000-1,200,000 10% 1,200,000-4,800,000 20% 40% >4,800,000 75%
0939.HK China Construction Bank Corp Hong Kong 0-1,700,000 5% 1,700,000-8,500,000 10% 8,500,000-34,000,000 20% 40% >34,000,000 75%
3988.HK Bank of China Ltd Hong Kong 0-2,750,000 5% 2,750,000-13,750,000 10% 13,750,000-55,000,000 20% 40% >55,000,000 75%
1299.HK AIA Group Ltd Hong Kong 0-200,000 5% 200,000-1,000,000 10% 1,000,000-4,000,000 20% 40% >4,000,000 75%
1398.HK Industrial & Commercial Bank of China Ltd Hong Kong 0-2,000,000 5% 2,000,000-10,000,000 10% 10,000,000-40,000,000 20% 40% >40,000,000 75%
2628.HK China Life Insurance Co Ltd Hong Kong 0-500,000 5% 500,000-2,500,000 10% 2,500,000-10,000,000 20% 40% >10,000,000 75%
0805.HK Glencore PLC (HK) Hong Kong 0-521,000 10% 521,000-2,605,000 20% 2,605,000-10,420,000 35% 45% >10,420,000 75%
0388.HK Hong Kong Exchanges and Clearing Ltd Hong Kong 0-50,000 5% 50,000-250,000 10% 250,000-1,000,000 20% 40% >1,000,000 75%
3968.HK China Merchants Bank Co Ltd Hong Kong 0-254,580 10% 254,580-700,095 20% 700,095-2,800,380 35% 45% >2,800,380 75%
1288.HK Agricultural Bank of China Ltd Hong Kong 0-1,491,544 10% 1,491,544-4,101,746 20% 4,101,746-16,406,984 35% 45% >16,406,984 75%
2328.HK PICC Property & Casualty Co Ltd Hong Kong 0-356,627 10% 356,627-1,069,881 20% 1,069,881-4,279,524 35% 45% >4,279,524 75%
0175.HK Geely Automobile Holdings Ltd Hong Kong 0-729,676 10% 729,676-2,189,028 20% 2,189,028-8,756,112 35% 45% >8,756,112 75%
0001.HK CK Hutchison Holdings Ltd Hong Kong 0-70,000 5% 70,000-490,000 10% 490,000-1,960,000 20% 40% >1,960,000 75%
0883.HK CNOOC Ltd (HK) Hong Kong 0-700,000 5% 700,000-5,250,000 10% 5,250,000-21,000,000 20% 40% >21,000,000 75%
11131.HK Cheung Kong Property Holdings Limited Hong Kong 0-89,440 10% 89,440-536,640 20% 536,640-1,341,600 35% 45% >1,341,600 75%
1211.HK Byd Co Ltd Hong Kong 0-89,756 10% 89,756-359,024 20% 359,024-1,436,096 35% 45% >1,436,096 75%
2202.HK China Vanke Co Ltd Hong Kong 0-255,865 10% 255,865-1,087,426 20% 1,087,426-4,349,705 35% 45% >4,349,705 75%
0016.HK Sun Hung Kai Properties Ltd Hong Kong 0-50,000 5% 50,000-425,000 10% 425,000-1,700,000 20% 40% >1,700,000 75%
2333.HK Great Wall Motor Co Ltd Hong Kong 0-623,003 10% 623,003-2,647,762 20% 2,647,762-10,591,051 35% 45% >10,591,051 75%
2888.HK Standard Chartered PLC (HK) Hong Kong 0-88,100 10% 88,100-770,875 20% 770,875-3,083,500 35% 45% >3,083,500 75%
0914.HK Anhui Conch Cement Co Ltd Hong Kong 0-220,969 10% 220,969-994,360 20% 994,360-3,977,442 35% 45% >3,977,442 75%
0688.HK China Overseas Land & Investment Ltd Hong Kong 0-210,000 5% 210,000-1,890,000 10% 1,890,000-7,560,000 20% 40% >7,560,000 75%
2601.HK China Pacific Insurance Group Co Ltd Hong Kong 0-170,749 10% 170,749-768,370 20% 768,370-3,073,482 35% 45% >3,073,482 75%
1928.HK Sands China Ltd Hong Kong 0-170,000 5% 170,000-1,487,500 10% 1,487,500-6,120,000 20% 40% >6,120,000 75%
0386.HK China Petroleum & Chemical Corp Hong Kong 0-950,000 5% 950,000-8,787,500 10% 8,787,500-35,150,000 20% 40% >35,150,000 75%
1988.HK China Minsheng Banking Corp Ltd Hong Kong 0-575,000 10% 575,000-2,875,000 20% 2,875,000-11,500,000 35% 45% >11,500,000 75%
6837.HK Haitong Securities Co Ltd Hong Kong 0-350,000 10% 350,000-1,837,500 20% 1,837,500-7,350,000 35% 45% >7,350,000 75%
2382.HK Sunny Optical Technology Group Co Ltd Hong Kong 0-120,000 10% 120,000-630,000 20% 630,000-2,520,000 35% 45% >2,520,000 75%
1800.HK China Communications Construction Co Ltd Hong Kong 0-525,000 10% 525,000-2,887,500 20% 2,887,500-11,550,000 35% 45% >11,550,000 75%
0857.HK PetroChina Co Ltd (HK) Hong Kong 0-850,000 5% 850,000-9,350,000 10% 9,350,000-39,100,000 20% 40% >39,100,000 75%
6030.HK CITIC Securities Co Ltd Hong Kong 0-240,000 10% 240,000-1,440,000 20% 1,440,000-5,760,000 35% 45% >5,760,000 75%
6881.HK China Galaxy Securities Co Ltd Hong Kong 0-550,000 10% 550,000-3,300,000 20% 3,300,000-13,200,000 35% 45% >13,200,000 75%
0998.HK China CITIC Bank Corp Ltd Hong Kong 0-800,000 10% 800,000-4,800,000 20% 4,800,000-19,200,000 35% 45% >19,200,000 75%
0728.HK China Telecom Corp Ltd Hong Kong 0-1,025,000 10% 1,025,000-5,893,750 20% 5,893,750-20,500,000 35% 45% >20,500,000 75%
0027.HK Galaxy Entertainment Group Ltd Hong Kong 0-150,000 5% 150,000-1,500,000 10% 1,500,000-7,350,000 20% 40% >7,350,000 75%
0902.HK Huaneng Power International Inc Hong Kong 0-750,000 10% 750,000-4,500,000 20% 4,500,000-15,000,000 35% 45% >15,000,000 75%
0762.HK China Unicom Hong Kong Ltd Hong Kong 0-400,000 5% 400,000-4,000,000 10% 4,000,000-20,000,000 20% 40% >20,000,000 75%
1128.HK Wynn Macau Ltd Hong Kong 0-300,000 10% 300,000-2,025,000 20% 2,025,000-6,000,000 35% 45% >6,000,000 75%
2020.HK Anta Sports Products Ltd Hong Kong 0-160,000 10% 160,000-960,000 20% 960,000-3,200,000 35% 45% >3,200,000 75%
0992.HK Lenovo Group Ltd Hong Kong 0-625,000 5% 625,000-6,250,000 10% 6,250,000-30,000,000 20% 40% >30,000,000 75%
0288.HK WH Group Limited Hong Kong 0-550,000 10% 550,000-3,437,500 20% 3,437,500-11,000,000 35% 45% >11,000,000 75%
2238.HK Guangzhou Automobile Group Co Ltd Hong Kong 0-300,000 10% 300,000-2,025,000 20% 2,025,000-6,000,000 35% 45% >6,000,000 75%
1766.HK CSR Corp Ltd Hong Kong 0-450,000 10% 450,000-2,475,000 20% 2,475,000-9,000,000 35% 45% >9,000,000 75%
1099.HK Sinopharm Group Co Ltd Hong Kong 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
3699.HK Dalian Wanda Commercial Properties Co Ltd Hong Kong 0-60,000 10% 60,000-345,000 20% 345,000-1,200,000 35% 45% >1,200,000 75%
1114.HK Brilliance China Automotive Holdings Ltd Hong Kong 0-325,000 10% 325,000-2,031,250 20% 2,031,250-6,500,000 35% 45% >6,500,000 75%
3333.HK China Evergrande Group Hong Kong 0-575,000 10% 575,000-3,450,000 20% 3,450,000-11,500,000 35% 45% >11,500,000 75%
2388.HK BOC Hong Kong Holdings Ltd Hong Kong 0-110,000 5% 110,000-990,000 10% 990,000-5,500,000 20% 40% >5,500,000 75%
2018.HK AAC Technologies Holdings Inc Hong Kong 0-35,000 5% 35,000-350,000 10% 350,000-1,995,000 20% 40% >1,995,000 75%
0003.HK Hong Kong & China Gas Co Ltd Hong Kong 0-210,000 10% 210,000-1,995,000 20% 1,995,000-5,040,000 35% 45% >5,040,000 75%
1109.HK China Resources Land Ltd Hong Kong 0-130,000 5% 130,000-1,560,000 10% 1,560,000-6,500,000 20% 40% >6,500,000 75%
1336.HK New China Life Insurance Co Ltd Hong Kong 0-90,000 10% 90,000-540,000 20% 540,000-1,800,000 35% 45% >1,800,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 22 of 103
0267.HK CITIC Pacific Ltd Hong Kong 0-240,000 10% 240,000-3,600,000 20% 3,600,000-6,000,000 35% 45% >6,000,000 75%
1088.HK China Shenhua Energy Co Ltd Hong Kong 0-200,000 5% 200,000-3,000,000 10% 3,000,000-10,000,000 20% 40% >10,000,000 75%
0823.HK Link REIT Hong Kong 0-50,000 5% 50,000-500,000 10% 500,000-2,500,000 20% 40% >2,500,000 75%
0981.HK Semiconductor Manufacturing International Corp Hong Kong 0-3,275,000 10% 3,275,000-19,650,000 20% 19,650,000-65,500,000 35% 45% >65,500,000 75%
3888.HK Kingsoft Corp Ltd Hong Kong 0-170,000 10% 170,000-1,020,000 20% 1,020,000-3,400,000 35% 45% >3,400,000 75%
0489.HK Dongfeng Motor Group Co Ltd Hong Kong 0-325,000 10% 325,000-2,031,250 20% 2,031,250-6,500,000 35% 45% >6,500,000 75%
0002.HK CLP Holdings Ltd Hong Kong 0-35,000 5% 35,000-350,000 10% 350,000-1,505,000 20% 40% >1,505,000 75%
0004.HK Wharf Holdings Ltd Hong Kong 0-50,000 5% 50,000-500,000 10% 500,000-2,500,000 20% 40% >2,500,000 75%
0656.HK Fosun International Ltd Hong Kong 0-230,000 10% 230,000-1,495,000 20% 1,495,000-4,600,000 35% 45% >4,600,000 75%
0006.HK Power Assets Holdings Ltd Hong Kong 0-35,000 5% 35,000-350,000 10% 350,000-1,995,000 20% 40% >1,995,000 75%
0371.HK Beijing Enterprises Water Group Ltd Hong Kong 0-475,000 10% 475,000-2,968,750 20% 2,968,750-9,500,000 35% 45% >9,500,000 75%
3898.HK Zhuzhou CSR Times Electric Co Ltd Hong Kong 0-60,000 10% 60,000-345,000 20% 345,000-1,200,000 35% 45% >1,200,000 75%
0019.HK Swire Pacific Ltd - A Hong Kong 0-30,000 10% 30,000-300,000 20% 300,000-690,000 35% 45% >690,000 75%
0966.HK China Taiping Insurance Holdings Co Ltd Hong Kong 0-150,000 10% 150,000-900,000 20% 900,000-3,000,000 35% 45% >3,000,000 75%
0101.HK Hang Lung Properties Ltd Hong Kong 0-130,000 10% 130,000-1,560,000 20% 1,560,000-2,990,000 35% 45% >2,990,000 75%
1186.HK China Railway Construction Corp Ltd Hong Kong 0-250,000 10% 250,000-1,500,000 20% 1,500,000-5,000,000 35% 45% >5,000,000 75%
0390.HK China Railway Group Ltd Hong Kong 0-400,000 10% 400,000-2,500,000 20% 2,500,000-8,000,000 35% 45% >8,000,000 75%
0291.HK China Resources Enterprise Ltd Hong Kong 0-130,000 10% 130,000-780,000 20% 780,000-2,600,000 35% 45% >2,600,000 75%
1177.HK Sino Biopharmaceutical Limited Hong Kong 0-450,000 10% 450,000-2,475,000 20% 2,475,000-9,000,000 35% 45% >9,000,000 75%
0916.HK China Longyuan Power Group Corp Hong Kong 0-325,000 10% 325,000-2,031,250 20% 2,031,250-6,500,000 35% 45% >6,500,000 75%
0151.HK Want Want China Holdings Ltd Hong Kong 0-450,000 10% 450,000-4,500,000 20% 4,500,000-9,900,000 35% 45% >9,900,000 75%
0836.HK China Resources Power Holdings Co Ltd Hong Kong 0-160,000 10% 160,000-1,520,000 20% 1,520,000-4,000,000 35% 45% >4,000,000 75%
1359.HK China Cinda Asset Management Co Ltd Hong Kong 0-800,000 10% 800,000-5,000,000 20% 5,000,000-16,000,000 35% 45% >16,000,000 75%
0669.HK Techtronic Industries Co Hong Kong 0-70,000 10% 70,000-420,000 20% 420,000-1,400,000 35% 45% >1,400,000 75%
1044.HK Hengan International Group Co Ltd Hong Kong 0-30,000 5% 30,000-300,000 10% 300,000-1,500,000 20% 40% >1,500,000 75%
0011.HK Hang Seng Bank Ltd Hong Kong 0-15,000 10% 15,000-150,000 20% 150,000-795,000 35% 45% >795,000 75%
6823.HK HKT Trust and HKT Ltd Hong Kong 0-190,000 10% 190,000-997,500 20% 997,500-3,800,000 35% 45% >3,800,000 75%
1816.HK CGN Power Co Ltd Hong Kong 0-875,000 10% 875,000-5,468,750 20% 5,468,750-17,500,000 35% 45% >17,500,000 75%
0322.HK Tingyi Cayman Islands Holding Corp Hong Kong 0-250,000 10% 250,000-1,500,000 20% 1,500,000-5,000,000 35% 45% >5,000,000 75%
1910.HK Samsonite International SA Hong Kong 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
3328.HK Bank of Communications Co Ltd Hong Kong 0-325,000 10% 325,000-4,875,000 20% 4,875,000-14,950,000 35% 45% >14,950,000 75%
1038.HK Cheung Kong Infrastructure Holdings Ltd Hong Kong 0-30,000 5% 30,000-300,000 10% 300,000-1,500,000 20% 40% >1,500,000 75%
2688.HK ENN Energy Holdings Ltd Hong Kong 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
1880.HK Belle International Holdings Ltd Hong Kong 0-375,000 10% 375,000-4,125,000 20% 4,125,000-9,000,000 35% 45% >9,000,000 75%
1093.HK CSPC Pharmaceutical Group Ltd Hong Kong 0-250,000 10% 250,000-1,500,000 20% 1,500,000-5,000,000 35% 45% >5,000,000 75%
0023.HK Bank of East Asia Ltd Hong Kong 0-60,000 10% 60,000-600,000 20% 600,000-1,500,000 35% 45% >1,500,000 75%
1776.HK GF Securities Co Ltd Hong Kong 0-110,000 10% 110,000-660,000 20% 660,000-2,200,000 35% 45% >2,200,000 75%
2777.HK Guangzhou R&F Properties Co Ltd Hong Kong 0-140,000 10% 140,000-840,000 20% 840,000-2,800,000 35% 45% >2,800,000 75%
2883.HK China Oilfield Services Ltd Hong Kong 0-300,000 10% 300,000-2,025,000 20% 2,025,000-6,000,000 35% 45% >6,000,000 75%
3311.HK China State Construction International Holdings Ltd Hong Kong 0-190,000 10% 190,000-997,500 20% 997,500-3,800,000 35% 45% >3,800,000 75%
0958.HK Huaneng Renewables Corp Ltd Hong Kong 0-600,000 10% 600,000-3,450,000 20% 3,450,000-12,000,000 35% 45% >12,000,000 75%
0493.HK GOME Electrical Appliances Holding Ltd Hong Kong 0-1,750,000 10% 1,750,000-10,062,500 20% 10,062,500-35,000,000 35% 45% >35,000,000 75%
0012.HK Henderson Land Development Co Ltd Hong Kong 0-40,000 5% 40,000-400,000 10% 400,000-2,000,000 20% 40% >2,000,000 75%
1339.HK People's Insurance Co Group of China Ltd Hong Kong 0-525,000 10% 525,000-3,018,750 20% 3,018,750-10,500,000 35% 45% >10,500,000 75%
2319.HK China Mengniu Dairy Co Ltd Hong Kong 0-110,000 5% 110,000-990,000 10% 990,000-5,500,000 20% 40% >5,500,000 75%
3323.HK China National Building Material Co Ltd Hong Kong 0-475,000 10% 475,000-2,968,750 20% 2,968,750-9,500,000 35% 45% >9,500,000 75%
0494.HK Li & Fung Ltd Hong Kong 0-400,000 10% 400,000-4,000,000 20% 4,000,000-10,000,000 35% 45% >10,000,000 75%
0270.HK Guangdong Investment Ltd Hong Kong 0-140,000 10% 140,000-840,000 20% 840,000-2,800,000 35% 45% >2,800,000 75%
0392.HK Beijing Enterprises Holdings Ltd Hong Kong 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
0144.HK China Merchants Holdings International Co Ltd Hong Kong 0-70,000 10% 70,000-700,000 20% 700,000-1,470,000 35% 45% >1,470,000 75%
1818.HK Zhaojin Mining Industry Co Ltd Hong Kong 0-190,000 10% 190,000-997,500 20% 997,500-3,800,000 35% 45% >3,800,000 75%
0753.HK Air China Ltd Hong Kong 0-275,000 10% 275,000-1,512,500 20% 1,512,500-5,500,000 35% 45% >5,500,000 75%
0017.HK New World Development Co Ltd Hong Kong 0-160,000 5% 160,000-1,520,000 10% 1,520,000-8,000,000 20% 40% >8,000,000 75%
0868.HK Xinyi Glass Holdings Ltd Hong Kong 0-220,000 10% 220,000-1,485,000 20% 1,485,000-4,400,000 35% 45% >4,400,000 75%
2007.HK Country Garden Holdings Co Ltd Hong Kong 0-375,000 10% 375,000-2,531,250 20% 2,531,250-7,500,000 35% 45% >7,500,000 75%
0699.HK CAR Inc Hong Kong 0-200,000 25% 200,000-1,000,000 40% 1,000,000-4,000,000 50% 60% >4,000,000 75%
0338.HK Sinopec Shanghai Petrochemical Co Ltd Hong Kong 0-375,000 10% 375,000-2,531,250 20% 2,531,250-7,500,000 35% 45% >7,500,000 75%
1898.HK China Coal Energy Co Ltd Hong Kong 0-400,000 15% 400,000-2,500,000 25% 2,500,000-6,400,000 40% 55% >6,400,000 75%
0083.HK Sino Land Co Ltd Hong Kong 0-110,000 10% 110,000-990,000 20% 990,000-2,530,000 35% 45% >2,530,000 75%
0066.HK MTR Corp Ltd Hong Kong 0-35,000 5% 35,000-350,000 10% 350,000-1,995,000 20% 40% >1,995,000 75%
0813.HK Shimao Property Holdings Ltd Hong Kong 0-130,000 10% 130,000-780,000 20% 780,000-2,600,000 35% 45% >2,600,000 75%
0576.HK Zhejiang Expressway Co Ltd Hong Kong 0-170,000 15% 170,000-1,020,000 25% 1,020,000-2,890,000 40% 55% >2,890,000 75%
0358.HK Jiangxi Copper Co Ltd Hong Kong 0-160,000 10% 160,000-960,000 20% 960,000-3,200,000 35% 45% >3,200,000 75%
0696.HK TravelSky Technology Ltd Hong Kong 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
2196.HK Shanghai Fosun Pharmaceutical Group Co Ltd Hong Kong 0-60,000 15% 60,000-345,000 25% 345,000-1,020,000 40% 55% >1,020,000 75%
1918.HK Sunac China Holdings Ltd Hong Kong 0-250,000 10% 250,000-1,500,000 20% 1,500,000-5,000,000 35% 45% >5,000,000 75%
0806.HK Value Partners Group Limited Hong Kong 0-180,000 15% 180,000-990,000 25% 990,000-3,060,000 40% 55% >3,060,000 75%
3800.HK GCL-Poly Energy Holdings Ltd Hong Kong 0-1,275,000 10% 1,275,000-7,650,000 20% 7,650,000-25,500,000 35% 45% >25,500,000 75%
0400.HK Cogobuy Group Hong Kong 0-110,000 15% 110,000-660,000 25% 660,000-1,760,000 40% 55% >1,760,000 75%
0683.HK Kerry Properties Ltd Hong Kong 0-60,000 15% 60,000-345,000 25% 345,000-960,000 40% 55% >960,000 75%
0751.HK Skyworth Digital Holdings Ltd Hong Kong 0-230,000 15% 230,000-1,495,000 25% 1,495,000-3,680,000 40% 55% >3,680,000 75%
2588.HK BOC Aviation Limited Hong Kong 0-35,000 15% 35,000-210,000 25% 210,000-323,750 40% 55% >323,750 75%
0598.HK Sinotrans Ltd Hong Kong 0-350,000 15% 350,000-2,012,500 25% 2,012,500-5,950,000 40% 55% >5,950,000 75%
2338.HK Weichai Power Co Ltd Hong Kong 0-130,000 10% 130,000-780,000 20% 780,000-2,600,000 35% 45% >2,600,000 75%
0135.HK Kunlun Energy Co Ltd Hong Kong 0-240,000 10% 240,000-2,400,000 20% 2,400,000-6,000,000 35% 45% >6,000,000 75%
1169.HK Haier Electronics Group Co Ltd Hong Kong 0-100,000 15% 100,000-600,000 25% 600,000-1,700,000 40% 55% >1,700,000 75%
2282.HK MGM China Holdings Ltd Hong Kong 0-110,000 10% 110,000-660,000 20% 660,000-2,200,000 35% 45% >2,200,000 75%
2314.HK Lee & Man Paper Manufacturing Ltd Hong Kong 0-210,000 15% 210,000-1,522,500 25% 1,522,500-3,570,000 40% 55% >3,570,000 75%
0008.HK PCCW Ltd Hong Kong 0-275,000 15% 275,000-1,512,500 25% 1,512,500-4,675,000 40% 55% >4,675,000 75%
0268.HK Kingdee International Software Group Co Ltd Hong Kong 0-425,000 10% 425,000-2,550,000 20% 2,550,000-8,500,000 35% 45% >8,500,000 75%
0165.HK China Everbright Ltd Hong Kong 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
0020.HK Wheelock & Co Ltd Hong Kong 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
2208.HK Xinjiang Goldwind Science & Technology Co Ltd Hong Kong 0-110,000 10% 110,000-660,000 20% 660,000-2,200,000 35% 45% >2,200,000 75%
1071.HK Huadian Power International Corp Ltd Hong Kong 0-375,000 15% 375,000-2,531,250 25% 2,531,250-6,375,000 40% 55% >6,375,000 75%
0014.HK Hysan Development Co Ltd Hong Kong 0-35,000 15% 35,000-210,000 25% 210,000-595,000 40% 55% >595,000 75%
2669.HK China Overseas Property Holdings Limited Hong Kong 0-775,000 15% 775,000-4,456,250 25% 4,456,250-13,175,000 40% 55% >13,175,000 75%
2600.HK Aluminum Corp of China Ltd Hong Kong 0-450,000 10% 450,000-2,475,000 20% 2,475,000-9,000,000 35% 45% >9,000,000 75%
6818.HK China Everbright Bank Co Ltd Hong Kong 0-350,000 15% 350,000-2,012,500 25% 2,012,500-5,950,000 40% 55% >5,950,000 75%
1112.HK Biostime International Holdings Ltd Hong Kong 0-60,000 10% 60,000-345,000 20% 345,000-1,200,000 35% 45% >1,200,000 75%
2607.HK Shanghai Pharmaceuticals Holding Co Ltd Hong Kong 0-60,000 15% 60,000-345,000 25% 345,000-960,000 40% 55% >960,000 75%
0010.HK Hang Lung Group Ltd Hong Kong 0-45,000 15% 45,000-270,000 25% 270,000-765,000 40% 55% >765,000 75%
0665.HK Haitong International Securities Group Ltd Hong Kong 0-240,000 25% 240,000-1,500,000 40% 1,500,000-4,800,000 50% 60% >4,800,000 75%
3993.HK China Molybdenum Co Ltd Hong Kong 0-725,000 15% 725,000-4,531,250 25% 4,531,250-11,600,000 40% 55% >11,600,000 75%
0732.HK Truly International Holdings Hong Kong 0-325,000 15% 325,000-2,031,250 25% 2,031,250-5,525,000 40% 55% >5,525,000 75%
3908.HK China International Capital Corporation Limited Hong Kong 0-110,000 15% 110,000-660,000 25% 660,000-1,760,000 40% 55% >1,760,000 75%
2866.HK China Shipping Container Lines Co Ltd Hong Kong 0-725,000 15% 725,000-4,531,250 25% 4,531,250-12,325,000 40% 55% >12,325,000 75%
0522.HK ASM Pacific Technology Ltd Hong Kong 0-20,000 15% 20,000-120,000 25% 120,000-340,000 40% 55% >340,000 75%
0347.HK Angang Steel Co Ltd Hong Kong 0-300,000 10% 300,000-2,025,000 20% 2,025,000-6,000,000 35% 45% >6,000,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 23 of 103
0384.HK China Gas Holdings Ltd Hong Kong 0-100,000 10% 100,000-600,000 20% 600,000-2,000,000 35% 45% >2,000,000 75%
2380.HK China Power International Development Ltd Hong Kong 0-400,000 15% 400,000-2,500,000 25% 2,500,000-8,000,000 40% 55% >8,000,000 75%
0880.HK SJM Holdings Ltd Hong Kong 0-230,000 10% 230,000-1,495,000 20% 1,495,000-4,600,000 35% 45% >4,600,000 75%
0551.HK Yue Yuen Industrial Holdings Ltd Hong Kong 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
1199.HK COSCO Pacific Ltd Hong Kong 0-140,000 15% 140,000-840,000 25% 840,000-2,380,000 40% 55% >2,380,000 75%
1055.HK China Southern Airlines Co Ltd Hong Kong 0-250,000 10% 250,000-1,500,000 20% 1,500,000-5,000,000 35% 45% >5,000,000 75%
1999.HK Man Wah Holdings Ltd Hong Kong 0-220,000 15% 220,000-1,485,000 25% 1,485,000-3,520,000 40% 55% >3,520,000 75%
2727.HK Shanghai Electric Group Co Ltd Hong Kong 0-325,000 15% 325,000-2,031,250 25% 2,031,250-6,500,000 40% 55% >6,500,000 75%
0694.HK Beijing Capital International Airport Co Ltd Hong Kong 0-130,000 15% 130,000-780,000 25% 780,000-2,080,000 40% 55% >2,080,000 75%
0152.HK Shenzhen International Holdings Ltd Hong Kong 0-90,000 15% 90,000-540,000 25% 540,000-1,440,000 40% 55% >1,440,000 75%
0425.HK Minth Group Ltd Hong Kong 0-40,000 15% 40,000-240,000 25% 240,000-800,000 40% 55% >800,000 75%
0991.HK Datang International Power Generation Co Ltd Hong Kong 0-550,000 15% 550,000-3,437,500 25% 3,437,500-8,800,000 40% 55% >8,800,000 75%
0123.HK Yuexiu Property Co Ltd Hong Kong 0-950,000 15% 950,000-5,462,500 25% 5,462,500-16,150,000 40% 55% >16,150,000 75%
2233.HK West China Cement Ltd Hong Kong 0-1,450,000 15% 1,450,000-8,337,500 25% 8,337,500-24,650,000 40% 55% >24,650,000 75%
0819.HK Tianneng Power International Limited Hong Kong 0-170,000 15% 170,000-1,020,000 25% 1,020,000-2,890,000 40% 55% >2,890,000 75%
0293.HK Cathay Pacific Airways Ltd Hong Kong 0-100,000 10% 100,000-1,000,000 20% 1,000,000-2,500,000 35% 45% >2,500,000 75%
1171.HK Yanzhou Coal Mining Co Ltd Hong Kong 0-240,000 25% 240,000-1,500,000 40% 1,500,000-4,800,000 50% 60% >4,800,000 75%
0861.HK Digital China Holdings Ltd Hong Kong 0-170,000 15% 170,000-1,020,000 25% 1,020,000-3,400,000 40% 55% >3,400,000 75%
2331.HK Li Ning Co Ltd Hong Kong 0-210,000 10% 210,000-1,522,500 20% 1,522,500-4,200,000 35% 45% >4,200,000 75%
1060.HK Alibaba Pictures Group Ltd Hong Kong 0-650,000 25% 650,000-4,062,500 40% 4,062,500-13,000,000 50% 60% >13,000,000 75%
3377.HK Sino-Ocean Land Holdings Ltd Hong Kong 0-300,000 15% 300,000-2,025,000 25% 2,025,000-4,800,000 40% 55% >4,800,000 75%
0799.HK IGG Inc Hong Kong 0-240,000 15% 240,000-1,500,000 25% 1,500,000-4,080,000 40% 55% >4,080,000 75%
0177.HK Jiangsu Expressway Co Ltd Hong Kong 0-100,000 15% 100,000-600,000 25% 600,000-1,700,000 40% 55% >1,700,000 75%
0148.HK Kingboard Chemical Holdings Ltd Hong Kong 0-50,000 15% 50,000-300,000 25% 300,000-850,000 40% 55% >850,000 75%
0285.HK BYD Electronic International Co Ltd Hong Kong 0-170,000 10% 170,000-1,020,000 20% 1,020,000-3,400,000 35% 45% >3,400,000 75%
2689.HK Nine Dragons Paper Holdings Ltd Hong Kong 0-170,000 10% 170,000-1,020,000 20% 1,020,000-3,400,000 35% 45% >3,400,000 75%
1138.HK China Shipping Development Co Ltd Hong Kong 0-240,000 15% 240,000-1,500,000 25% 1,500,000-3,840,000 40% 55% >3,840,000 75%
1833.HK Intime Retail Group Co Ltd Hong Kong 0-160,000 15% 160,000-960,000 25% 960,000-2,720,000 40% 55% >2,720,000 75%
2009.HK BBMG Corp Hong Kong 0-350,000 10% 350,000-2,012,500 20% 2,012,500-7,000,000 35% 45% >7,000,000 75%
6863.HK China Huishan Dairy Holdings Co Ltd Hong Kong 0-350,000 15% 350,000-2,012,500 25% 2,012,500-5,600,000 40% 55% >5,600,000 75%
3618.HK Chongqing Rural Commercial Bank Co Ltd Hong Kong 0-220,000 10% 220,000-1,485,000 20% 1,485,000-4,400,000 35% 45% >4,400,000 75%
0658.HK China High Speed Transmission Equipment Group Co Ltd Hong Kong 0-150,000 10% 150,000-900,000 20% 900,000-3,000,000 35% 45% >3,000,000 75%
0604.HK Shenzhen Investment Ltd Hong Kong 0-275,000 15% 275,000-1,512,500 25% 1,512,500-5,500,000 40% 55% >5,500,000 75%
0327.HK PAX Global Technology Ltd Hong Kong 0-170,000 10% 170,000-1,020,000 20% 1,020,000-3,400,000 35% 45% >3,400,000 75%
2357.HK AviChina Industry & Technology Co Ltd Hong Kong 0-180,000 10% 180,000-990,000 20% 990,000-3,600,000 35% 45% >3,600,000 75%
0670.HK China Eastern Airlines Corp Ltd Hong Kong 0-250,000 15% 250,000-1,500,000 25% 1,500,000-5,000,000 40% 55% >5,000,000 75%
0168.HK Tsingtao Brewery Co Ltd Hong Kong 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
0363.HK Shanghai Industrial Holdings Ltd Hong Kong 0-45,000 15% 45,000-270,000 25% 270,000-720,000 40% 55% >720,000 75%
1813.HK KWG Property Holding Ltd Hong Kong 0-190,000 15% 190,000-997,500 25% 997,500-3,040,000 40% 55% >3,040,000 75%
0410.HK SOHO China Ltd Hong Kong 0-210,000 15% 210,000-1,522,500 25% 1,522,500-3,570,000 40% 55% >3,570,000 75%
0220.HK Uni-President China Holdings Ltd Hong Kong 0-160,000 15% 160,000-960,000 25% 960,000-2,560,000 40% 55% >2,560,000 75%
3393.HK Wasion Group Holdings Ltd Hong Kong 0-210,000 15% 210,000-1,522,500 25% 1,522,500-3,360,000 40% 55% >3,360,000 75%
0552.HK China Communications Services Corp Ltd Hong Kong 0-200,000 15% 200,000-1,000,000 25% 1,000,000-3,400,000 40% 55% >3,400,000 75%
1066.HK Shandong Weigao Group Medical Polymer Co Ltd Hong Kong 0-170,000 15% 170,000-1,020,000 25% 1,020,000-2,890,000 40% 55% >2,890,000 75%
0308.HK China Travel International Inv HK Hong Kong 0-375,000 15% 375,000-2,531,250 25% 2,531,250-6,375,000 40% 55% >6,375,000 75%
0303.HK VTech Holdings Ltd Hong Kong 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
0750.HK China Singyes Solar Technologies Holdings Ltd Hong Kong 0-190,000 15% 190,000-997,500 25% 997,500-3,040,000 40% 55% >3,040,000 75%
2128.HK China Lesso Group Holdings Ltd Hong Kong 0-160,000 15% 160,000-960,000 25% 960,000-2,560,000 40% 55% >2,560,000 75%
0200.HK Melco International Development Ltd Hong Kong 0-90,000 20% 90,000-540,000 30% 540,000-1,260,000 50% 60% >1,260,000 75%
1618.HK Metallurgical Corp of China Ltd Hong Kong 0-325,000 15% 325,000-2,031,250 25% 2,031,250-5,200,000 40% 55% >5,200,000 75%
3823.HK Tech Pro Technology Development Ltd Hong Kong 0-3,875,000 25% 3,875,000-25,187,500 40% 25,187,500-58,125,000 50% 60% >58,125,000 75%
1919.HK China COSCO Holdings Co Ltd Hong Kong 0-300,000 15% 300,000-2,025,000 25% 2,025,000-4,800,000 40% 55% >4,800,000 75%
0881.HK Zhongsheng Group Holdings Limited Hong Kong 0-110,000 25% 110,000-660,000 40% 660,000-1,650,000 50% 60% >1,650,000 75%
3918.HK NagaCorp Ltd Hong Kong 0-160,000 20% 160,000-960,000 30% 960,000-2,400,000 50% 60% >2,400,000 75%
1929.HK Chow Tai Fook Jewellery Group Ltd Hong Kong 0-140,000 15% 140,000-840,000 25% 840,000-2,380,000 40% 55% >2,380,000 75%
3900.HK Greentown China Holdings Ltd Hong Kong 0-120,000 20% 120,000-720,000 30% 720,000-1,800,000 50% 60% >1,800,000 75%
3383.HK Agile Property Holdings Ltd Hong Kong 0-180,000 20% 180,000-990,000 30% 990,000-2,700,000 50% 60% >2,700,000 75%
0548.HK Shenzhen Expressway Co Ltd Hong Kong 0-100,000 15% 100,000-600,000 25% 600,000-1,600,000 40% 55% >1,600,000 75%
0606.HK China Agri-Industries Holdings Ltd Hong Kong 0-275,000 15% 275,000-1,512,500 25% 1,512,500-4,675,000 40% 55% >4,675,000 75%
0440.HK Dah Sing Financial Holdings Ltd Hong Kong 0-15,000 15% 15,000-90,000 25% 90,000-285,000 40% 55% >285,000 75%
2038.HK FIH Mobile Ltd Hong Kong 0-300,000 20% 300,000-2,025,000 30% 2,025,000-4,800,000 50% 60% >4,800,000 75%
0119.HK Poly Property Group Co Ltd Hong Kong 0-325,000 20% 325,000-2,031,250 30% 2,031,250-5,200,000 50% 60% >5,200,000 75%
0323.HK Maanshan Iron & Steel Hong Kong 0-425,000 20% 425,000-2,550,000 30% 2,550,000-6,375,000 50% 60% >6,375,000 75%
1157.HK Zoomlion Heavy Industry Science and Technology Co Ltd Hong Kong 0-275,000 15% 275,000-1,512,500 25% 1,512,500-4,675,000 40% 55% >4,675,000 75%
0241.HK Alibaba Health Information Technology Ltd Hong Kong 0-160,000 20% 160,000-960,000 30% 960,000-2,400,000 50% 60% >2,400,000 75%
1089.HK Leyou Technologies Holdings Limited Hong Kong 0-675,000 20% 675,000-4,050,000 30% 4,050,000-10,125,000 50% 60% >10,125,000 75%
0336.HK Huabao International Holdings Ltd Hong Kong 0-250,000 20% 250,000-1,500,000 30% 1,500,000-3,750,000 50% 60% >3,750,000 75%
3813.HK Pou Sheng International Holdings Ltd Hong Kong 0-275,000 20% 275,000-1,512,500 30% 1,512,500-3,850,000 50% 60% >3,850,000 75%
2369.HK Coolpad Group Ltd Hong Kong 0-475,000 20% 475,000-2,968,750 30% 2,968,750-7,125,000 50% 60% >7,125,000 75%
0874.HK Guangzhou Baiyunshan Pharmaceutical Holdings Co Ltd Hong Kong 0-35,000 20% 35,000-210,000 30% 210,000-525,000 50% 60% >525,000 75%
0817.HK Franshion Properties China Ltd Hong Kong 0-275,000 20% 275,000-1,512,500 30% 1,512,500-4,125,000 50% 60% >4,125,000 75%
1508.HK China Reinsurance (Group) Corporation Hong Kong 0-375,000 20% 375,000-2,531,250 30% 2,531,250-5,625,000 50% 60% >5,625,000 75%
1913.HK Prada SpA Hong Kong 0-30,000 20% 30,000-180,000 30% 180,000-480,000 50% 60% >480,000 75%
0511.HK Television Broadcasts Ltd Hong Kong 0-25,000 20% 25,000-150,000 30% 150,000-350,000 50% 60% >350,000 75%
0069.HK Shangri-La Asia Ltd (HK) Hong Kong 0-80,000 25% 80,000-480,000 40% 480,000-1,280,000 50% 60% >1,280,000 75%
2778.HK Champion REIT Hong Kong 0-140,000 20% 140,000-840,000 30% 840,000-2,100,000 50% 60% >2,100,000 75%
3360.HK Far East Horizon Ltd Hong Kong 0-90,000 20% 90,000-540,000 30% 540,000-1,350,000 50% 60% >1,350,000 75%
2356.HK Dah Sing Banking Group Ltd Hong Kong 0-45,000 20% 45,000-270,000 30% 270,000-675,000 50% 60% >675,000 75%
0973.HK L'Occitane International SA Hong Kong 0-40,000 20% 40,000-240,000 30% 240,000-600,000 50% 60% >600,000 75%
0659.HK NWS Holdings Ltd Hong Kong 0-45,000 20% 45,000-270,000 30% 270,000-675,000 50% 60% >675,000 75%
0142.HK First Pacific Co Ltd Hong Kong 0-110,000 20% 110,000-660,000 30% 660,000-1,760,000 50% 60% >1,760,000 75%
1117.HK China Modern Dairy Holdings Ltd Hong Kong 0-400,000 20% 400,000-2,500,000 30% 2,500,000-6,000,000 50% 60% >6,000,000 75%
0272.HK Shui On Land Ltd Hong Kong 0-275,000 20% 275,000-1,512,500 30% 1,512,500-4,125,000 50% 60% >4,125,000 75%
0316.HK Orient Overseas International Ltd Hong Kong 0-20,000 20% 20,000-120,000 30% 120,000-280,000 50% 60% >280,000 75%
2280.HK HC International Inc Hong Kong 0-100,000 20% 100,000-600,000 30% 600,000-1,600,000 50% 60% >1,600,000 75%
3969.HK China Railway Signal & Communication Corporation Limited Hong Kong 0-100,000 20% 100,000-600,000 30% 600,000-1,400,000 50% 60% >1,400,000 75%
1448.HK Fu Shou Yuan International Group Ltd Hong Kong 0-120,000 20% 120,000-720,000 30% 720,000-1,800,000 50% 60% >1,800,000 75%
1333.HK China Zhongwang Holdings Ltd Hong Kong 0-150,000 20% 150,000-900,000 30% 900,000-2,250,000 50% 60% >2,250,000 75%
8207.HK Credit China Holdings Ltd Hong Kong 0-130,000 20% 130,000-780,000 30% 780,000-1,950,000 50% 60% >1,950,000 75%
0590.HK Luk Fook Holdings International Ltd Hong Kong 0-30,000 20% 30,000-180,000 30% 180,000-420,000 50% 60% >420,000 75%
1661.HK Wisdom Holdings Group Hong Kong 0-200,000 20% 200,000-1,000,000 30% 1,000,000-3,000,000 50% 60% >3,000,000 75%
0330.HK Esprit Holdings Ltd Hong Kong 0-80,000 20% 80,000-480,000 30% 480,000-1,280,000 50% 60% >1,280,000 75%
0787.HK Global Brands Group Holding Ltd Hong Kong 0-675,000 20% 675,000-4,050,000 30% 4,050,000-10,125,000 50% 60% >10,125,000 75%
1829.HK China Machinery Engineering Corp Hong Kong 0-110,000 20% 110,000-660,000 30% 660,000-1,650,000 50% 60% >1,650,000 75%
3818.HK China Dongxiang Group Co Hong Kong 0-325,000 20% 325,000-2,031,250 30% 2,031,250-4,875,000 50% 60% >4,875,000 75%
0439.HK KuangChi Science Ltd Hong Kong 0-180,000 20% 180,000-990,000 30% 990,000-2,700,000 50% 60% >2,700,000 75%
1668.HK China South City Holdings Ltd Hong Kong 0-275,000 20% 275,000-1,512,500 30% 1,512,500-4,400,000 50% 60% >4,400,000 75%
0525.HK Guangshen Railway Co Ltd Hong Kong 0-120,000 20% 120,000-720,000 30% 720,000-1,800,000 50% 60% >1,800,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 24 of 103
0717.HK Emperor Capital Group Ltd Hong Kong 0-625,000 20% 625,000-4,062,500 30% 4,062,500-9,375,000 50% 60% >9,375,000 75%
2039.HK China International Marine Containers Group Co Ltd Hong Kong 0-50,000 20% 50,000-300,000 30% 300,000-800,000 50% 60% >800,000 75%
0555.HK REXLot Holdings Ltd Hong Kong 0-4,050,000 20% 4,050,000-10,125,000 30% 10,125,000-24,300,000 50% 60% >24,300,000 75%
2880.HK Dalian Port PDA Co Ltd Hong Kong 0-325,000 20% 325,000-2,031,250 30% 2,031,250-4,875,000 50% 60% >4,875,000 75%
0506.HK China Foods Ltd Hong Kong 0-130,000 20% 130,000-780,000 30% 780,000-1,950,000 50% 60% >1,950,000 75%
1165.HK Shunfeng Photovoltaic International Ltd Hong Kong 0-450,000 20% 450,000-2,475,000 30% 2,475,000-6,750,000 50% 60% >6,750,000 75%
1888.HK Kingboard Laminates Holdings Ltd Hong Kong 0-60,000 20% 60,000-345,000 30% 345,000-840,000 50% 60% >840,000 75%
0931.HK China LNG Group Ltd Hong Kong 0-1,800,000 20% 1,800,000-9,900,000 30% 9,900,000-27,000,000 50% 60% >27,000,000 75%
0054.HK Hopewell Holdings Ltd Hong Kong 0-15,000 20% 15,000-90,000 30% 90,000-225,000 50% 60% >225,000 75%
0341.HK Cafe de Coral Holdings Ltd Hong Kong 0-15,000 20% 15,000-90,000 30% 90,000-195,000 50% 60% >195,000 75%
1086.HK Goodbaby International Holdings Ltd Hong Kong 0-110,000 20% 110,000-660,000 30% 660,000-1,650,000 50% 60% >1,650,000 75%
0242.HK Shun Tak Holdings Ltd Hong Kong 0-150,000 20% 150,000-900,000 30% 900,000-2,250,000 50% 60% >2,250,000 75%
0639.HK Shougang Fushan Resources Group Ltd Hong Kong 0-275,000 20% 275,000-1,512,500 30% 1,512,500-4,400,000 50% 60% >4,400,000 75%
2343.HK Pacific Basin Shipping Ltd Hong Kong 0-425,000 20% 425,000-2,550,000 30% 2,550,000-6,375,000 50% 60% >6,375,000 75%
0933.HK Brightoil Petroleum Holdings Ltd Hong Kong 0-180,000 25% 180,000-990,000 40% 990,000-2,700,000 50% 60% >2,700,000 75%
1103.HK Shanghai Tonva Petrochemical Company Limited Hong Kong 0-625,000 20% 625,000-4,062,500 30% 4,062,500-9,375,000 50% 60% >9,375,000 75%
0967.HK Sound Global Ltd Hong Kong 0-130,000 25% 130,000-780,000 40% 780,000-1,300,000 50% 60% >1,300,000 75%
0087.HK Swire Pacific Ltd - B Hong Kong 0-25,000 20% 25,000-150,000 30% 150,000-350,000 50% 60% >350,000 75%
2393.HK Yestar International Holdings Company Limited Hong Kong 0-100,000 25% 100,000-600,000 40% 600,000-1,500,000 50% 60% >1,500,000 75%
0735.HK China Power New Energy Development Co Ltd Hong Kong 0-70,000 20% 70,000-420,000 30% 420,000-980,000 50% 60% >980,000 75%
1848.HK China Aircraft Leasing Group Holdings Limited Hong Kong 0-35,000 25% 35,000-210,000 40% 210,000-490,000 50% 60% >490,000 75%
0321.HK Texwinca Holdings Ltd Hong Kong 0-60,000 20% 60,000-345,000 30% 345,000-960,000 50% 60% >960,000 75%
0041.HK Great Eagle Holdings Ltd Hong Kong 0-10,000 20% 10,000-60,000 30% 60,000-170,000 50% 60% >170,000 75%
2298.HK Cosmo Lady China Holdings Co Ltd Hong Kong 0-110,000 20% 110,000-660,000 30% 660,000-1,650,000 50% 60% >1,650,000 75%
1033.HK Sinopec Yizheng Chemical Fibre Co Ltd Hong Kong 0-230,000 20% 230,000-1,495,000 30% 1,495,000-3,450,000 50% 60% >3,450,000 75%
0895.HK Dongjiang Environmental Co Ltd Hong Kong 0-25,000 20% 25,000-150,000 30% 150,000-400,000 50% 60% >400,000 75%
0433.HK North Mining Shares Co Ltd Hong Kong 0-1,900,000 25% 1,900,000-9,975,000 40% 9,975,000-28,500,000 50% 60% >28,500,000 75%
0297.HK Sinofert Holdings Ltd Hong Kong 0-325,000 25% 325,000-2,031,250 40% 2,031,250-4,875,000 50% 60% >4,875,000 75%
0179.HK Johnson Electric Holdings Ltd Hong Kong 0-15,000 20% 15,000-90,000 30% 90,000-240,000 50% 60% >240,000 75%
1133.HK Harbin Electric Co Ltd Hong Kong 0-90,000 25% 90,000-540,000 40% 540,000-1,350,000 50% 60% >1,350,000 75%
1836.HK Stella International Holdings Ltd Hong Kong 0-25,000 20% 25,000-150,000 30% 150,000-400,000 50% 60% >400,000 75%
1072.HK Dongfang Electric Corp Ltd Hong Kong 0-50,000 25% 50,000-300,000 40% 300,000-800,000 50% 60% >800,000 75%
0173.HK K Wah International Holdings Ltd Hong Kong 0-70,000 25% 70,000-420,000 40% 420,000-1,050,000 50% 60% >1,050,000 75%
0951.HK Chaowei Power Holdings Limited Hong Kong 0-50,000 25% 50,000-300,000 40% 300,000-800,000 50% 60% >800,000 75%
0709.HK Giordano International Ltd Hong Kong 0-70,000 25% 70,000-420,000 40% 420,000-1,120,000 50% 60% >1,120,000 75%
2973.HK Winsway Coking Coal Holdings Ltd Hong Kong 0-550,000 25% 550,000-3,437,500 40% 3,437,500-8,250,000 50% 60% >8,250,000 75%
2010.HK Real Nutriceutical Group Ltd Hong Kong 0-450,000 25% 450,000-2,475,000 40% 2,475,000-6,750,000 50% 60% >6,750,000 75%
0956.HK China Suntien Green Energy Corp Ltd Hong Kong 0-250,000 25% 250,000-1,500,000 40% 1,500,000-3,750,000 50% 60% >3,750,000 75%
1297.HK Sinosoft Technology Group Ltd Hong Kong 0-70,000 25% 70,000-420,000 40% 420,000-1,120,000 50% 60% >1,120,000 75%
0921.HK Hisense Kelon Electrical Holdings Company Limited Hong Kong 0-50,000 25% 50,000-300,000 40% 300,000-750,000 50% 60% >750,000 75%
2066.HK Shengjing Bank Co Ltd Hong Kong 0-30,000 25% 30,000-180,000 40% 180,000-420,000 50% 60% >420,000 75%
0178.HK Sa Sa International Holdings Limited Hong Kong 0-90,000 25% 90,000-540,000 40% 540,000-1,350,000 50% 60% >1,350,000 75%
1308.HK SITC International Holdings Co Ltd Hong Kong 0-60,000 25% 60,000-345,000 40% 345,000-960,000 50% 60% >960,000 75%
1205.HK CITIC Resources Holdings Ltd Hong Kong 0-275,000 25% 275,000-1,512,500 40% 1,512,500-4,125,000 50% 60% >4,125,000 75%
0963.HK Bloomage BioTechnology Corp Ltd Hong Kong 0-20,000 25% 20,000-120,000 40% 120,000-300,000 50% 60% >300,000 75%
1886.HK China Huiyuan Juice Group Ltd Hong Kong 0-90,000 25% 90,000-540,000 40% 540,000-1,350,000 50% 60% >1,350,000 75%
1899.HK Xingda International Holdings Ltd Hong Kong 0-90,000 25% 90,000-540,000 40% 540,000-1,260,000 50% 60% >1,260,000 75%
1070.HK TCL Multimedia Technology Holdings Ltd Hong Kong 0-60,000 25% 60,000-345,000 40% 345,000-900,000 50% 60% >900,000 75%
0754.HK Hopson Development Holdings Ltd Hong Kong 0-30,000 25% 30,000-180,000 40% 180,000-420,000 50% 60% >420,000 75%
0686.HK Goldpoly New Energy Holdings Ltd Hong Kong 0-325,000 25% 325,000-2,031,250 40% 2,031,250-4,875,000 50% 60% >4,875,000 75%
3698.HK Huishang Bank Hong Kong 0-60,000 25% 60,000-345,000 40% 345,000-960,000 50% 60% >960,000 75%
0708.HK Evergrande Health Industry Group Limited Hong Kong 0-220,000 25% 220,000-1,485,000 40% 1,485,000-3,300,000 50% 60% >3,300,000 75%
0702.HK Sino Oil And Gas Holdings Ltd Hong Kong 0-1,125,000 25% 1,125,000-7,031,250 40% 7,031,250-16,875,000 50% 60% >16,875,000 75%
0031.HK China Aerospace International Holdings Ltd Hong Kong 0-200,000 25% 200,000-1,000,000 40% 1,000,000-3,000,000 50% 60% >3,000,000 75%
2698.HK Weiqiao Textile Co Hong Kong 0-40,000 25% 40,000-240,000 40% 240,000-600,000 50% 60% >600,000 75%
0215.HK Hutchison Telecommunications HK Holdings Ltd Hong Kong 0-80,000 25% 80,000-480,000 40% 480,000-1,200,000 50% 60% >1,200,000 75%
1456.HK Guolian Securities Company Limited Hong Kong 0-50,000 25% 50,000-300,000 40% 300,000-750,000 50% 60% >750,000 75%
0038.HK First Tractor Co Ltd Hong Kong 0-50,000 25% 50,000-300,000 40% 300,000-750,000 50% 60% >750,000 75%
1057.HK Zhejiang Shibao Company Limited Hong Kong 0-20,000 25% 20,000-120,000 40% 120,000-320,000 50% 60% >320,000 75%
1555.HK MIE Holdings Corp Hong Kong 0-240,000 25% 240,000-1,500,000 40% 1,500,000-3,600,000 50% 60% >3,600,000 75%
0107.HK Sichuan Expressway Co Ltd Hong Kong 0-70,000 25% 70,000-420,000 40% 420,000-980,000 50% 60% >980,000 75%
0737.HK Hopewell Highway Infrastructure Ltd Hong Kong 0-45,000 25% 45,000-270,000 40% 270,000-630,000 50% 60% >630,000 75%
1027.HK Jicheng Umbrella Holdings Limited Hong Kong 0-875,000 25% 875,000-5,468,750 40% 5,468,750-13,125,000 50% 60% >13,125,000 75%
1387.HK Renhe Commercial Holdings Co Ltd Hong Kong 0-950,000 25% 950,000-5,462,500 40% 5,462,500-14,250,000 50% 60% >14,250,000 75%
0995.HK Anhui Expressway Co Hong Kong 0-30,000 25% 30,000-180,000 40% 180,000-450,000 50% 60% >450,000 75%
1194.HK China Precious Metal Resources Holdings Co Ltd Hong Kong 0-800,000 25% 800,000-5,000,000 40% 5,000,000-12,000,000 50% 60% >12,000,000 75%
1371.HK China LotSynergy Holdings Ltd Hong Kong 0-775,000 25% 775,000-4,456,250 40% 4,456,250-11,625,000 50% 60% >11,625,000 75%
3308.HK Golden Eagle Retail Group Ltd Hong Kong 0-20,000 25% 20,000-120,000 40% 120,000-300,000 50% 60% >300,000 75%
0139.HK China Jinhai International Group Ltd Hong Kong 0-750,000 25% 750,000-4,500,000 40% 4,500,000-11,250,000 50% 60% >11,250,000 75%
2918.HK RCG Holdings Limited Hong Kong 0-275,000 25% 275,000-1,512,500 40% 1,512,500-3,850,000 50% 60% >3,850,000 75%
0838.HK EVA Precision Industrial Holdings Ltd Hong Kong 0-200,000 25% 200,000-1,000,000 40% 1,000,000-3,000,000 50% 60% >3,000,000 75%
3983.HK China BlueChemical Ltd Hong Kong 0-110,000 25% 110,000-660,000 40% 660,000-1,650,000 50% 60% >1,650,000 75%
0882.HK Tianjin Development Hldgs Ltd Hong Kong 0-45,000 25% 45,000-270,000 40% 270,000-675,000 50% 60% >675,000 75%
8089.HK Chinese Strategic Holdings Ltd Hong Kong 0-400,000 25% 400,000-2,500,000 40% 2,500,000-6,000,000 50% 60% >6,000,000 75%
1208.HK MMG Ltd Hong Kong 0-90,000 25% 90,000-540,000 40% 540,000-1,350,000 50% 60% >1,350,000 75%
1212.HK Lifestyle International Holdings Ltd Hong Kong 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
3808.HK Sinotruk Hong Kong Ltd Hong Kong 0-40,000 25% 40,000-240,000 40% 240,000-600,000 50% 60% >600,000 75%
0062.HK Transport International Holdings Ltd Hong Kong 0-7,000 25% 7,000-40,250 40% 40,250-112,000 50% 60% >112,000 75%
1052.HK Yuexiu Transport Infrastructure Ltd Hong Kong 0-30,000 25% 30,000-180,000 40% 180,000-420,000 50% 60% >420,000 75%
0434.HK Boyaa Interactive International Ltd Hong Kong 0-45,000 25% 45,000-270,000 40% 270,000-675,000 50% 60% >675,000 75%
3339.HK Lonking Holdings Ltd Hong Kong 0-120,000 25% 120,000-720,000 40% 720,000-1,920,000 50% 60% >1,920,000 75%
0568.HK Shandong Molong Petroleum Machinery Company Limited Hong Kong 0-45,000 25% 45,000-270,000 40% 270,000-675,000 50% 60% >675,000 75%
1786.HK CRCC High-Tech Equipment Corporation Limited Hong Kong 0-40,000 25% 40,000-240,000 40% 240,000-680,000 50% 60% >680,000 75%
0818.HK Hi Sun Technology China Ltd Hong Kong 0-110,000 25% 110,000-660,000 40% 660,000-1,650,000 50% 60% >1,650,000 75%
1345.HK China Pioneer Pharma Holdings Ltd Hong Kong 0-60,000 25% 60,000-345,000 40% 345,000-960,000 50% 60% >960,000 75%
0801.HK Golden Meditech Holdings Limited Hong Kong 0-150,000 25% 150,000-900,000 40% 900,000-2,250,000 50% 60% >2,250,000 75%
0116.HK Chow Sang Sang Holdings International Ltd Hong Kong 0-10,000 25% 10,000-60,000 40% 60,000-160,000 50% 60% >160,000 75%
0086.HK Sun Hung Kai & Co Ltd Hong Kong 0-30,000 25% 30,000-180,000 40% 180,000-450,000 50% 60% >450,000 75%
0227.HK First Shanghai Investments Ltd Hong Kong 0-100,000 25% 100,000-600,000 40% 600,000-1,500,000 50% 60% >1,500,000 75%
3636.HK Poly Culture Group Corp Ltd Hong Kong 0-7,000 25% 7,000-40,250 40% 40,250-98,000 50% 60% >98,000 75%
1234.HK China Lilang Ltd Hong Kong 0-30,000 25% 30,000-180,000 40% 180,000-480,000 50% 60% >480,000 75%
1068.HK China Yurun Food Group Ltd Hong Kong 0-120,000 25% 120,000-720,000 40% 720,000-1,920,000 50% 60% >1,920,000 75%
3378.HK Xiamen International Port Company Limited Hong Kong 0-80,000 25% 80,000-480,000 40% 480,000-1,200,000 50% 60% >1,200,000 75%
0127.HK Chinese Estates Holdings Ltd Hong Kong 0-8,000 25% 8,000-50,000 40% 50,000-120,000 50% 60% >120,000 75%
2342.HK Comba Telecom Systems Holdings Ltd Hong Kong 0-90,000 25% 90,000-540,000 40% 540,000-1,260,000 50% 60% >1,260,000 75%
1361.HK 361 Degrees International Ltd Hong Kong 0-50,000 25% 50,000-300,000 40% 300,000-800,000 50% 60% >800,000 75%
0435.HK Sunlight Real Estate Investment Trust Hong Kong 0-25,000 25% 25,000-150,000 40% 150,000-375,000 50% 60% >375,000 75%
3382.HK Tianjin Port Development Holdings Ltd Hong Kong 0-100,000 25% 100,000-600,000 40% 600,000-1,500,000 50% 60% >1,500,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 25 of 103
1599.HK Beijing Urban Construction Design & Development Group Company Limited Hong Kong 0-25,000 25% 25,000-150,000 40% 150,000-375,000 50% 60% >375,000 75%
0904.HK China Green Holdings Ltd Hong Kong 0-450,000 25% 450,000-2,475,000 40% 2,475,000-6,750,000 50% 60% >6,750,000 75%
0575.HK Regent Pacific Group Limited Hong Kong 0-400,000 25% 400,000-2,500,000 40% 2,500,000-5,600,000 50% 60% >5,600,000 75%
3998.HK Bosideng International Holdings Ltd Hong Kong 0-150,000 25% 150,000-900,000 40% 900,000-2,250,000 50% 60% >2,250,000 75%
0520.HK Xiabuxiabu Catering Management (China) Holdings Company Limited Hong Kong 0-25,000 25% 25,000-150,000 40% 150,000-350,000 50% 60% >350,000 75%
1777.HK Fantasia Holdings Group Co Ltd Hong Kong 0-90,000 25% 90,000-540,000 40% 540,000-1,350,000 50% 60% >1,350,000 75%
3389.HK Hengdeli Holdings Ltd Hong Kong 0-120,000 25% 120,000-720,000 40% 720,000-1,800,000 50% 60% >1,800,000 75%
0588.HK Beijing North Star Co Ltd Hong Kong 0-40,000 25% 40,000-240,000 40% 240,000-560,000 50% 60% >560,000 75%
0053.HK Guoco Group Ltd Hong Kong 0-1,200 25% 1,200-4,800 40% 4,800-7,200 50% 60% >7,200 75%
0603.HK China Oil & Gas Group Ltd Hong Kong 0-180,000 25% 180,000-990,000 40% 990,000-2,700,000 50% 60% >2,700,000 75%
0678.HK Genting Hong Kong Ltd (HK) Hong Kong 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
0194.HK Liu Chong Hing Investment Ltd Hong Kong 0-8,800 25% 8,800-55,000 40% 55,000-88,000 50% 60% >88,000 75%
1778.HK Colour Life Services Group Co Ltd Hong Kong 0-16,200 25% 16,200-93,150 40% 93,150-194,400 50% 60% >194,400 75%
0034.HK Kowloon Development Co Ltd Hong Kong 0-13,100 25% 13,100-78,600 40% 78,600-104,800 50% 60% >104,800 75%
1878.HK SouthGobi Resources Ltd (HK) Hong Kong 0-71,000 25% 71,000-213,000 40% >213000 75% 75%
0623.HK SinoMedia Holding Ltd Hong Kong 0-65,900 25% 65,900-197,700 40% 197,700-296,550 50% 60% >296,550 75%
1224.HK C C Land Holdings Ltd Hong Kong 0-49,500 25% 49,500-297,000 40% 297,000-544,500 50% 60% >544,500 75%
1700.HK Springland International Holdings Ltd Hong Kong 0-90,600 25% 90,600-543,600 40% 543,600-724,800 50% 60% >724,800 75%
1121.HK Baofeng Modern International Holdings Co Ltd Hong Kong 0-106,800 25% 106,800-320,400 40% >320400 75% 75%
8032.HK Viva China Holdings Ltd Hong Kong 0-133,500 25% 133,500-801,000 40% 801,000-1,602,000 50% 60% >1,602,000 75%
1900.HK China ITS Holdings Co Ltd Hong Kong 0-142,900 25% 142,900-428,700 40% 428,700-571,600 50% 60% >571,600 75%
3368.HK Parkson Retail Group Ltd Hong Kong 0-149,200 25% 149,200-895,200 40% 895,200-1,193,600 50% 60% >1,193,600 75%
0073.HK Asian Citrus Holdings Ltd (HK) Hong Kong 0-166,300 25% 166,300-498,900 40% 498,900-997,800 50% 60% >997,800 75%
0393.HK Glorious Sun Enterprises Ltd Hong Kong 0-95,700 25% 95,700-574,200 40% 574,200-957,000 50% 60% >957,000 75%
0983.HK SOCAM Development Ltd Hong Kong 0-31,800 25% 31,800-95,400 40% 95,400-119,250 50% 60% >119,250 75%
2300.HK AMVIG Holdings Ltd Hong Kong 0-36,100 25% 36,100-216,600 40% 216,600-306,850 50% 60% >306,850 75%
0538.HK Ajisen China Holdings Ltd Hong Kong 0-31,700 25% 31,700-190,200 40% 190,200-317,000 50% 60% >317,000 75%
1369.HK Wuzhou International Holdings Ltd Hong Kong 0-126,800 25% 126,800-760,800 40% 760,800-1,775,200 50% 60% >1,775,200 75%
0886.HK Silver base Group Holdings Ltd Hong Kong 0-151,400 25% 151,400-908,400 40% 908,400-1,514,000 50% 60% >1,514,000 75%
0697.HK Shougang Concord International Enterprises Co Ltd Hong Kong 0-420,900 25% 420,900-2,525,400 40% 2,525,400-3,051,525 50% 60% >3,051,525 75%
0825.HK New World Department Store China Ltd Hong Kong 0-94,800 25% 94,800-284,400 40% 284,400-545,100 50% 60% >545,100 75%
0531.HK Samson Holding Ltd Hong Kong 0-128,400 25% 128,400-385,200 40% >385200 75% 75%
0716.HK Singamas Container Holdings Ltd Hong Kong 0-128,400 25% 128,400-385,200 40% 385,200-738,300 50% 60% >738,300 75%
0826.HK Tiangong International Co Ltd Hong Kong 0-128,400 25% 128,400-770,400 40% 770,400-1,540,800 50% 60% >1,540,800 75%
0497.HK CSI Properties Ltd Hong Kong 0-355,900 25% 355,900-1,957,450 40% 1,957,450-3,559,000 50% 60% >3,559,000 75%
0159.HK Brockman Mining Ltd (HK) Hong Kong 0-897,600 25% 897,600-2,468,400 40% >2468400 75% 75%
2133.HK China Polymetallic Mining Ltd Hong Kong 0-480,700 25% 480,700-1,442,100 40% >1442100 75% 75%
0276.HK Mongolia Energy Corp Ltd Hong Kong 0-611,000 25% 611,000-1,985,750 40% >1985750 75% 75%
0171.HK Silver Grant International Hong Kong 0-122,200 25% 122,200-366,600 40% >366600 75% 75%
8071.HK China Netcom Technology Holdings Ltd Hong Kong 0-1,139,600 25% 1,139,600-3,418,800 40% >3418800 75% 75%
1259.HK China Child Care Corp Hong Kong 0-211,300 25% 211,300-633,900 40% 633,900-1,162,150 50% 60% >1,162,150 75%
0467.HK United Energy Group Ltd Hong Kong 0-422,600 25% 422,600-1,479,100 40% >1479100 75% 75%
0082.HK VODone Ltd Hong Kong 0-266,900 25% 266,900-1,467,950 40% 1,467,950-2,669,000 50% 60% >2,669,000 75%
0536.HK Tradelink Electronic Commerce Ltd Hong Kong 0-64,600 25% 64,600-403,750 40% 403,750-613,700 50% 60% >613,700 75%
0208.HK Polytec Asset Holdings Ltd Hong Kong 0-171,900 25% 171,900-515,700 40% >515700 75% 75%
0273.HK Willie International Holdings Ltd Hong Kong 0-343,800 25% 343,800-1,976,850 40% 1,976,850-2,234,700 50% 60% >2,234,700 75%
0340.HK China Mining Resources Group Ltd Hong Kong 0-956,800 25% 956,800-3,109,600 40% 3,109,600-5,023,200 50% 60% >5,023,200 75%
0690.HK Uni-Bio Science Group Ltd Hong Kong 0-551,200 25% 551,200-3,445,000 40% 3,445,000-5,098,600 50% 60% >5,098,600 75%
0398.HK Oriental Watch Holdings Hong Kong 0-92,200 25% 92,200-276,600 40% >276600 75% 75%
0190.HK HKC Holdings Ltd Hong Kong 0-786,200 25% 786,200-2,555,150 40% >2555150 75% 75%
1393.HK Hidili Industry International Development Ltd Hong Kong 0-520,100 25% 520,100-1,560,300 40% 1,560,300-1,820,350 50% 60% >1,820,350 75%
0769.HK China Rare Earth Holdings Ltd Hong Kong 0-181,100 25% 181,100-996,050 40% 996,050-1,720,450 50% 60% >1,720,450 75%
0866.HK China Qinfa Group Ltd Hong Kong 0-512,200 25% 512,200-2,945,150 40% 2,945,150-3,329,300 50% 60% >3,329,300 75%
2956.HK China Rongsheng Heavy Ind Ltd Hong Kong 0-209,100 25% 209,100-1,515,975 40% 1,515,975-2,718,300 50% 60% >2,718,300 75%
0210.HK Daphne International Holdings Ltd Hong Kong 0-93,900 25% 93,900-563,400 40% 563,400-751,200 50% 60% >751,200 75%
0887.HK Emperor Watch & Jewellery Ltd Hong Kong 0-375,600 25% 375,600-1,126,800 40% 1,126,800-2,629,200 50% 60% >2,629,200 75%
0206.HK TSC Group Holdings Ltd Hong Kong 0-93,900 25% 93,900-281,700 40% >281700 75% 75%
0848.HK Maoye International Holdings Ltd Hong Kong 0-125,200 25% 125,200-751,200 40% 751,200-876,400 50% 60% >876,400 75%
1866.HK China XLX Fertiliser Ltd Hong Kong 0-43,900 25% 43,900-131,700 40% 131,700-164,625 50% 60% >164,625 75%
1868.HK Neo-Neon Holdings Ltd Hong Kong 0-100,400 25% 100,400-602,400 40% 602,400-1,104,400 50% 60% >1,104,400 75%
0097.HK Henderson Investment Ltd Hong Kong 0-156,000 25% 156,000-468,000 40% 468,000-663,000 50% 60% >663,000 75%
1385.HK Shanghai Fudan Microelectronics Group Co Ltd Hong Kong 0-15,000 25% 15,000-90,000 40% 90,000-180,000 50% 60% >180,000 75%
0891.HK Trinity Ltd Hong Kong 0-169,000 25% 169,000-507,000 40% 507,000-929,500 50% 60% >929,500 75%
0940.HK China Animal Healthcare Ltd Hong Kong 0-19,500 25% 19,500-58,500 40% >58500 75% 75%
0007.HK Hoifu Energy Group Ltd Hong Kong 0-120,700 25% 120,700-482,800 40% 482,800-754,375 50% 60% >754,375 75%
1148.HK Xinchen China Power Holdings Ltd Hong Kong 0-71,400 25% 71,400-428,400 40% 428,400-999,600 50% 60% >999,600 75%
1098.HK Road King Infrastructure Ltd Hong Kong 0-15,200 25% 15,200-91,200 40% 91,200-197,600 50% 60% >197,600 75%
0368.HK Sinotrans Shipping Ltd Hong Kong 0-87,400 25% 87,400-524,400 40% 524,400-1,048,800 50% 60% >1,048,800 75%
0903.HK TPV Technology Ltd (HK) Hong Kong 0-66,700 25% 66,700-266,800 40% 266,800-433,550 50% 60% >433,550 75%
1220.HK Zhidao International (Holdings) Limited Hong Kong 0-102,400 25% 102,400-614,400 40% 614,400-1,331,200 50% 60% >1,331,200 75%
1045.HK APT Satellite Holdings Ltd Hong Kong 0-18,100 25% 18,100-108,600 40% 108,600-122,175 50% 60% >122,175 75%
0633.HK China All Access (Holdings) Limited Hong Kong 0-36,200 25% 36,200-217,200 40% 217,200-362,000 50% 60% >362,000 75%
0480.HK HKR International Ltd Hong Kong 0-27,100 25% 27,100-162,600 40% 162,600-250,675 50% 60% >250,675 75%
0045.HK Hongkong & Shanghai Hotels Hong Kong 0-12,700 25% 12,700-76,200 40% 76,200-190,500 50% 60% >190,500 75%
1200.HK Midland Holdings Ltd Hong Kong 0-39,900 25% 39,900-119,700 40% 119,700-199,500 50% 60% >199,500 75%
1768.HK Sateri Holdings Ltd Hong Kong 0-46,700 25% 46,700-280,200 40% 280,200-396,950 50% 60% >396,950 75%
0691.HK China Shanshui Cement Group Ltd Hong Kong 0-16,100 15% 16,100-48,300 25% >48300 75% 75%
0635.HK Playmates Holdings Ltd Hong Kong 0-10,900 25% 10,900-35,425 40% 35,425-59,950 50% 60% >59,950 75%
0161.HK AVIC International Holdings Ltd Hong Kong 0-22,500 25% 22,500-140,625 40% 140,625-225,000 50% 60% >225,000 75%
1111.HK Chong Hing Bank Ltd Hong Kong 0-6,400 25% 6,400-40,000 40% 40,000-70,400 50% 60% >70,400 75%
0044.HK Hong Kong Aircraft Engineering Co Ltd Hong Kong 0-1,800 25% 1,800-9,900 40% 9,900-18,000 50% 60% >18,000 75%
CRH.I CRH PLC (ISEQ) Ireland 0-19,171 10% 19,171-52,720 20% 52,720-210,881 35% 45% >210,881 75%
RYA.I Ryanair Holdings PLC (ISEQ) Ireland 0-45,365 10% 45,365-272,190 20% 272,190-680,475 35% 45% >680,475 75%
GL9.I Glanbia PLC (ISEQ) Ireland 0-34,297 15% 34,297-102,891 25% 102,891-137,188 40% 55% >137,188 75%
BKIR.I Bank of Ireland (ISEQ) Ireland 0-2,825,000 10% 2,825,000-14,831,250 20% 14,831,250-56,500,000 35% 45% >56,500,000 75%
GN1.I Green REIT PLC (ISEQ) Ireland 0-240,000 25% 240,000-720,000 40% 720,000-840,000 50% 60% >840,000 75%
PPB.I Paddy Power Betfair (ISEQ) Ireland 0-2,500 5% 2,500-25,000 10% 25,000-50,000 20% 40% >50,000 75%
KYGa.I Kerry Group PLC (ISEQ) Ireland 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SKG.I Smurfit Kappa Group PLC (ISEQ) Ireland 0-10,000 10% 10,000-60,000 20% 60,000-500,000 35% 45% >500,000 75%
ARYN.I Aryzta AG (ISEQ) Ireland 0-5,000 20% 5,000-50,000 30% 50,000-230,000 50% 60% >230,000 75%
KSP.I Kingspan Group PLC (ISEQ) Ireland 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
TLW.I Tullow Oil PLC (ISEQ) Ireland 0-34,900 20% 34,900-209,400 30% 209,400-698,000 50% 60% >698,000 75%
GCC.I C&C Group PLC (ISEQ) Ireland 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
FFY.I Fyffes PLC (ISEQ) Ireland 0-45,000 25% 45,000-135,000 40% 135,000-157,500 50% 60% >157,500 75%
DHG.I Dalata Hotel Group Ltd Ireland 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
HBRN.I Hibernia REIT PLC (ISEQ) Ireland 0-40,000 20% 40,000-240,000 30% 240,000-800,000 50% 60% >800,000 75%
IL0A.I Permanent TSB Group Holdings PLC (ISEQ) Ireland 0-20,000 25% 20,000-120,000 40% 120,000-300,000 50% 60% >300,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 26 of 103
OGN.I Origin Enterprises PLC (ISEQ) Ireland 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
DQ5.I CPL Resources PLC (ISEQ) Ireland 0-4,000 25% 4,000-10,000 40% 10,000-16,000 50% 60% >16,000 75%
APGNA.I Applegreen PLC (ISEQ) Ireland 0-4,000 25% 4,000-25,000 40% 25,000-38,000 50% 60% >38,000 75%
IRES.I Irish Residential Properties REIT Plc Ireland 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
T7O.I Total Produce PLC (ISEQ) Ireland 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
MSTY.I Mainstay Medical International PLC Ireland 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MLCM.I Malin Corp PLC Ireland 0-1,000 25% 1,000-3,000 40% 3,000-4,500 50% 60% >4,500 75%
ABBY.I Abbey PLC (ISEQ) Ireland 0-1,000 25% 1,000-2,000 40% 2,000-3,000 50% 60% >3,000 75%
FBD.I FBD Holdings PLC (ISEQ) Ireland 0-1,700 25% 1,700-10,200 40% 10,200-14,450 50% 60% >14,450 75%
DQ7.I Donegal Investment Group Plc Ireland 0-2,100 25% 2,100-6,300 40% >6300 75% 75%
JEV.I Kenmare Resources PLC (ISEQ) Ireland 0-3,900 25% 3,900-24,375 40% 24,375-42,900 50% 60% >42,900 75%
GROW.I Draper Esprit Ireland 0-3,200 25% 3,200-6,400 40% 6,400-9,600 50% 60% >9,600 75%
PTR.I Petroneft Resources PLC (ISEQ) Ireland 0-486,200 25% 486,200-1,458,600 40% >1458600 75% 75%
ORM.I Ormonde Mining PLC (ISEQ) Ireland 0-440,300 25% 440,300-880,600 40% 880,600-1,320,900 50% 60% >1,320,900 75%
KDR.I Karelian Diamond Resources PLC Ireland 0-972,300 25% 972,300-1,944,600 40% 1,944,600-2,916,900 50% 60% >2,916,900 75%
GWMO.I Great Western Mining Corp PLC Ireland 0-1,666,800 25% 1,666,800-3,333,600 40% 3,333,600-5,000,400 50% 60% >5,000,400 75%
AMNX.I Aminex PLC (ISEQ) Ireland 0-486,100 25% 486,100-972,200 40% 972,200-1,458,300 50% 60% >1,458,300 75%
FACF.I Falcon Oil & Gas Ltd Ireland 0-233,300 25% 233,300-699,900 40% >699900 75% 75%
MCON.I Mincon Group Plc Ireland 0-16,200 25% 16,200-48,600 40% 48,600-76,950 50% 60% >76,950 75%
PZQA.I Providence Resources PLC (ISEQ) Ireland 0-95,600 25% 95,600-286,800 40% >286800 75% 75%
INME.I Independent News & Media PLC (ISEQ) Ireland 0-85,600 25% 85,600-535,000 40% 535,000-941,600 50% 60% >941,600 75%
PCI.I Petroceltic International PLC (ISEQ) Ireland 0-83,300 25% 83,300-249,900 40% >249900 75% 75%
OVG.I Ovoca Gold PLC (ISEQ) Ireland 0-89,700 25% 89,700-179,400 40% 179,400-269,100 50% 60% >269,100 75%
IFG.I IFG Group PLC (ISEQ) Ireland 0-5,800 25% 5,800-34,800 40% 34,800-81,200 50% 60% >81,200 75%
DLE.I Datalex PLC (ISEQ) Ireland 0-3,200 25% 3,200-20,000 40% 20,000-44,800 50% 60% >44,800 75%
FCHA.MI Fiat Chrysler Automobiles NV Italy 0-191,100 10% 191,100-955,500 20% 955,500-3,822,000 35% 45% >3,822,000 75%
ENI.MI Eni SpA Italy 0-80,000 10% 80,000-420,000 20% 420,000-1,680,000 35% 45% >1,680,000 75%
ENEI.MI Enel SpA Italy 0-230,000 10% 230,000-1,437,500 20% 1,437,500-5,750,000 35% 45% >5,750,000 75%
CNHI.MI CNH Industrial NV Italy 0-99,900 10% 99,900-449,550 20% 449,550-1,798,200 35% 45% >1,798,200 75%
GASI.MI Assicurazioni Generali SpA Italy 0-50,000 10% 50,000-500,000 20% 500,000-2,000,000 35% 45% >2,000,000 75%
STM.MI STMicroelectronics NV (IT) Italy 0-80,000 10% 80,000-420,000 20% 420,000-1,600,000 35% 45% >1,600,000 75%
TLIT.MI Telecom Italia SpA (IT) Italy 0-625,000 10% 625,000-6,250,000 20% 6,250,000-28,750,000 35% 45% >28,750,000 75%
RACE.MI Ferrari NV (ITA) Italy 0-10,000 10% 10,000-60,000 20% 60,000-260,000 35% 45% >260,000 75%
SPMI.MI Saipem SpA Italy 0-975,000 10% 975,000-9,750,000 20% 9,750,000-39,975,000 35% 45% >39,975,000 75%
SRG.MI Snam SpA Italy 0-80,000 10% 80,000-800,000 20% 800,000-4,640,000 35% 45% >4,640,000 75%
PMII.MI Banca Popolare di Milano SCRL Italy 0-925,000 20% 925,000-9,250,000 30% 9,250,000-39,775,000 50% 60% >39,775,000 75%
PST.MI Poste Italiane SpA Italy 0-50,000 10% 50,000-300,000 20% 300,000-1,800,000 35% 45% >1,800,000 75%
TENR.MI Tenaris SA Italy 0-25,000 10% 25,000-250,000 20% 250,000-1,900,000 35% 45% >1,900,000 75%
EMII.MI Banca Popolare dell'Emilia Romagna SCRL Italy 0-80,000 20% 80,000-800,000 30% 800,000-3,520,000 50% 60% >3,520,000 75%
BAPO.MI Banco Popolare SC Italy 0-120,000 20% 120,000-990,000 30% 990,000-5,040,000 50% 60% >5,040,000 75%
MS.MI Mediaset SpA Italy 0-90,000 10% 90,000-900,000 20% 900,000-3,510,000 35% 45% >3,510,000 75%
LUX.MI Luxottica Group SpA Italy 0-6,000 10% 6,000-60,000 20% 60,000-474,000 35% 45% >474,000 75%
ATL.MI Atlantia SpA Italy 0-10,000 10% 10,000-100,000 20% 100,000-950,000 35% 45% >950,000 75%
YNAP.MI Yoox SpA Italy 0-8,000 10% 8,000-80,000 20% 80,000-328,000 35% 45% >328,000 75%
MONC.MI Moncler SpA Italy 0-15,000 10% 15,000-150,000 20% 150,000-555,000 35% 45% >555,000 75%
ISPn.MI Intesa Sanpaolo SpA - RNC Italy 0-110,000 20% 110,000-660,000 30% 660,000-2,200,000 50% 60% >2,200,000 75%
AZMT.MI Azimut Holding SpA Italy 0-15,000 10% 15,000-150,000 20% 150,000-525,000 35% 45% >525,000 75%
LDOF.MI Leonardo-Finmeccanica Spa Italy 0-20,000 10% 20,000-200,000 20% 200,000-1,500,000 35% 45% >1,500,000 75%
TRN.MI Terna Rete Elettrica Nazionale SpA Italy 0-45,000 10% 45,000-450,000 20% 450,000-3,510,000 35% 45% >3,510,000 75%
TLITn.MI Telecom Italia SpA - RNC Italy 0-325,000 10% 325,000-2,031,250 20% 2,031,250-6,500,000 35% 45% >6,500,000 75%
ITAI.MI Italcementi SpA Italy 0-20,000 10% 20,000-200,000 20% 200,000-860,000 35% 45% >860,000 75%
BZU.MI Buzzi Unicem SpA Italy 0-10,000 10% 10,000-100,000 20% 100,000-430,000 35% 45% >430,000 75%
SFER.MI Salvatore Ferragamo SpA Italy 0-9,000 10% 9,000-90,000 20% 90,000-351,000 35% 45% >351,000 75%
US.MI UnipolSai Assicurazioni SpA Italy 0-120,000 10% 120,000-990,000 20% 990,000-5,040,000 35% 45% >5,040,000 75%
A2.MI A2A SpA Italy 0-140,000 10% 140,000-1,540,000 20% 1,540,000-6,020,000 35% 45% >6,020,000 75%
CPRI.MI Davide Campari-Milano SpA Italy 0-15,000 10% 15,000-150,000 20% 150,000-705,000 35% 45% >705,000 75%
RECI.MI Recordati SpA Italy 0-5,000 15% 5,000-50,000 25% 50,000-210,000 40% 55% >210,000 75%
PRY.MI Prysmian SpA Italy 0-6,000 10% 6,000-60,000 20% 60,000-498,000 35% 45% >498,000 75%
SRS.MI Saras SpA Italy 0-90,000 25% 90,000-540,000 40% 540,000-1,800,000 50% 60% >1,800,000 75%
REY.MI Reply SpA Italy 0-1,000 20% 1,000-3,000 30% 3,000-5,000 50% 60% >5,000 75%
UNPI.MI Unipol Gruppo Finanziario SpA Italy 0-45,000 10% 45,000-450,000 20% 450,000-1,980,000 35% 45% >1,980,000 75%
EXOR.MI Exor SpA Italy 0-3,000 10% 3,000-30,000 20% 30,000-249,000 35% 45% >249,000 75%
FBK.MI FinecoBank Banca Fineco SpA Italy 0-20,000 20% 20,000-200,000 30% 200,000-880,000 50% 60% >880,000 75%
BRBI.MI Brembo SpA Italy 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
BMED.MI Banca Mediolanum SpA Italy 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
ITPG.MI Interpump Group SpA Italy 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
RCSM.MI RCS MediaGroup SpA Italy 0-90,000 15% 90,000-540,000 25% 540,000-1,800,000 40% 55% >1,800,000 75%
ANIM.MI Anima Holding SpA Italy 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
HRA.MI Hera SpA Italy 0-35,000 15% 35,000-210,000 25% 210,000-700,000 40% 55% >700,000 75%
DIAS.MI DiaSorin SpA Italy 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
AMPF.MI Amplifon SpA Italy 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
SALI.MI Salini Impregilo SpA Italy 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
TOD.MI Tod's SpA Italy 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
AGL.MI Autogrill SpA Italy 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CRGI.MI Banca Carige SpA Italy 0-240,000 20% 240,000-1,500,000 30% 1,500,000-4,800,000 50% 60% >4,800,000 75%
BGN.MI Banca Generali SpA Italy 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
IMAI.MI Industria Macchine Automatiche SpA Italy 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
DLG.MI De' Longhi Italy 0-2,500 20% 2,500-15,000 30% 15,000-50,000 50% 60% >50,000 75%
AST.MI Astaldi SpA Italy 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
STS.MI Ansaldo STS SpA Italy 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
CASS.MI Cattolica di Assicurazioni SCRL Italy 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
ERG.MI ERG SpA Italy 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
IREE.MI Iren SpA Italy 0-35,000 20% 35,000-210,000 30% 210,000-700,000 50% 60% >700,000 75%
OVS.MI OVS SpA Italy 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
BPSI.MI Banca Popolare di Sondrio SCARL Italy 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
EIT.MI Ei Towers SpA Italy 0-1,000 20% 1,000-6,000 30% 6,000-13,000 50% 60% >13,000 75%
ITMI.MI Italmobiliare SpA Italy 0-1,000 25% 1,000-6,000 40% 6,000-6,750 50% 60% >6,750 75%
INWT.MI Infrastrutture Wireless Italiane SpA Italy 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
PCVI.MI Banca Piccolo Credito Valtellinese SCRL Italy 0-130,000 20% 130,000-780,000 30% 780,000-2,600,000 50% 60% >2,600,000 75%
TGYM.MI Technogym SpA Italy 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
MTCM.MI Maire Tecnimont SpA Italy 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
EMBI.MI Credito Emiliano SpA Italy 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
IF.MI Banca IFIS SpA Italy 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
CTIC.MI CTI BioPharma Corp Italy 0-86,100 25% 86,100-516,600 40% 516,600-1,722,000 50% 60% >1,722,000 75%
TFI.MI Trevi Finanziaria Industriale SpA Italy 0-25,000 20% 25,000-150,000 30% 150,000-500,000 50% 60% >500,000 75%
ACE.MI ACEA SpA Italy 0-2,500 20% 2,500-15,000 30% 15,000-50,000 50% 60% >50,000 75%
DANI.MI Danieli & C Officine Meccaniche SpA Italy 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
BNSI.MI Beni Stabili SpA (IT) Italy 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 27 of 103
PIA.MI Piaggio & C SpA Italy 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
SIS.MI Societa Iniziative Autostradali e Servizi SpA Italy 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
GEO.MI Geox SpA Italy 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
DIB.MI Digital Bros SpA Italy 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
PLT.MI Parmalat SpA Italy 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
SFLG.MI Safilo Group SpA Italy 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
BSS.MI Biesse SpA Italy 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
DAL.MI Datalogic SpA Italy 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
DANIn.MI Danieli & C Officine Meccaniche SpA - RNC Italy 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
BFFI.MI Bonifica Terreni Ferraresi SpA Italy 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
IGD.MI Immobiliare Grande Distribuzione Italy 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
MARR.MI MARR SpA Italy 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
BCU.MI Brunello Cucinelli SpA Italy 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
MSK.MI Moleskine SpA Italy 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
ATMI.MI ASTM SpA Italy 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
BZUn.MI Buzzi Unicem SpA - RNC Italy 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
SAVE.MI SAVE - Aeroporto di Venezia Marco Polo SpA Italy 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SES.MI Sesa SpA Italy 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FCT.MI Fincantieri SpA Italy 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
PRII.MI Prima Industrie SpA Italy 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
MLMD.MI Molecular Medicine SPA Italy 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
ASCI.MI Ascopiave SpA Italy 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
SAEI.MI SAES Getters SpA Italy 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
SGFI.MI Sogefi SpA Italy 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
PRT.MI Esprinet SpA Italy 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
MOL.MI MutuiOnline SpA Italy 0-1,500 25% 1,500-9,000 40% 9,000-12,750 50% 60% >12,750 75%
SABF.MI Sabaf SpA Italy 0-1,300 25% 1,300-3,900 40% >3900 75% 75%
TIP.MI Tamburi Investment Partners SpA Italy 0-3,200 25% 3,200-20,000 40% 20,000-54,400 50% 60% >54,400 75%
BANZ.MI Banzai SpA Italy 0-4,100 25% 4,100-10,250 40% 10,250-22,550 50% 60% >22,550 75%
DA.MI Dada SpA Italy 0-5,500 25% 5,500-15,125 40% >15125 75% 75%
ELAB.MI Energy Lab Spa Italy 0-9,300 25% 9,300-30,225 40% >30225 75% 75%
IOL.MI Italiaonline SpA Italy 0-5,400 25% 5,400-14,850 40% 14,850-31,050 50% 60% >31,050 75%
ELC.MI Elica SpA Italy 0-6,300 25% 6,300-20,475 40% >20475 75% 75%
LIT.MI Retelit SpA Italy 0-16,800 25% 16,800-100,800 40% 100,800-201,600 50% 60% >201,600 75%
CAI.MI Cairo Communication SpA Italy 0-3,000 25% 3,000-20,250 40% 20,250-57,000 50% 60% >57,000 75%
CARRA.MI Carraro SpA Italy 0-9,000 25% 9,000-24,750 40% >24750 75% 75%
NICE.MI Nice SpA Italy 0-4,500 25% 4,500-14,625 40% >14625 75% 75%
ESPI.MI Gruppo Editoriale L'Espresso SpA Italy 0-15,600 25% 15,600-93,600 40% 93,600-128,700 50% 60% >128,700 75%
CEMI.MI Cementir Holding SpA Italy 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
ARN.MI Alerion Cleanpower SpA Italy 0-5,700 25% 5,700-15,675 40% 15,675-18,525 50% 60% >18,525 75%
FNMI.MI FNM SpA Italy 0-28,500 25% 28,500-85,500 40% >85500 75% 75%
IGS.MI Isagro SpA Italy 0-9,100 25% 9,100-25,025 40% 25,025-31,850 50% 60% >31,850 75%
BCNT.MI BasicNet SpA Italy 0-3,400 25% 3,400-20,400 40% 20,400-37,400 50% 60% >37,400 75%
MOED.MI Arnoldo Mondadori Editore SpA Italy 0-12,400 25% 12,400-74,400 40% 74,400-93,000 50% 60% >93,000 75%
IMSI.MI IMMSI SpA Italy 0-29,200 25% 29,200-87,600 40% 87,600-116,800 50% 60% >116,800 75%
DESI.MI Banco di Desio e della Brianza SpA Italy 0-6,700 25% 6,700-20,100 40% >20100 75% 75%
AEDI.MI Aedes SpA Italy 0-31,200 25% 31,200-93,600 40% 93,600-156,000 50% 60% >156,000 75%
JUVE.MI Juventus Football Club SpA Italy 0-37,300 25% 37,300-223,800 40% 223,800-559,500 50% 60% >559,500 75%
BSTA.MI Banca Sistem ASA Italy 0-5,400 25% 5,400-29,700 40% 29,700-51,300 50% 60% >51,300 75%
S24.MI Il Sole 24 Ore SpA Italy 0-21,900 25% 21,900-65,700 40% >65700 75% 75%
B7C.MI d'Amico International Shipping SA Italy 0-34,100 25% 34,100-196,075 40% 196,075-477,400 50% 60% >477,400 75%
PAGR.MI Panariagroup Industrie Ceramiche SpA Italy 0-4,000 25% 4,000-25,000 40% 25,000-27,000 50% 60% >27,000 75%
RN.MI Risanamento SpA Italy 0-145,900 25% 145,900-437,700 40% >437700 75% 75%
COFI.MI Cofide SpA Italy 0-33,800 25% 33,800-202,800 40% 202,800-228,150 50% 60% >228,150 75%
ASR.MI AS Roma SpA Italy 0-26,700 25% 26,700-80,100 40% 80,100-133,500 50% 60% >133,500 75%
PRO.MI Banca Profilo SpA Italy 0-65,600 25% 65,600-196,800 40% 196,800-229,600 50% 60% >229,600 75%
BRUI.MI Brioschi Sviluppo Immobiliare SpA Italy 0-233,400 25% 233,400-700,200 40% >700200 75% 75%
PRNI.MI Premuda SpA Italy 0-215,700 25% 215,700-647,100 40% >647100 75% 75%
COPR.MI Conafi Prestito SpA Italy 0-50,800 25% 50,800-152,400 40% >152400 75% 75%
STEP.MI Stefanel SpA Italy 0-63,100 25% 63,100-189,300 40% >189300 75% 75%
TIS.MI Tiscali SpA Italy 0-261,000 25% 261,000-1,500,750 40% 1,500,750-3,132,000 50% 60% >3,132,000 75%
PCRE.MI Prelios SpA Italy 0-140,900 25% 140,900-845,400 40% 845,400-2,677,100 50% 60% >2,677,100 75%
PNNI.MI Pininfarina SpA Italy 0-7,300 25% 7,300-20,075 40% 20,075-25,550 50% 60% >25,550 75%
EEMS.MI EEMS Italia SpA Italy 0-121,500 25% 121,500-364,500 40% >364500 75% 75%
FIMI.MI Fiera Milano SpA Italy 0-7,500 25% 7,500-24,375 40% 24,375-41,250 50% 60% >41,250 75%
MTTI.MI Mittel SpA Italy 0-8,300 25% 8,300-24,900 40% >24900 75% 75%
MACA.MI M&C SpA Italy 0-63,200 25% 63,200-189,600 40% >189600 75% 75%
IKG.MI Intek Group SpA Italy 0-58,300 25% 58,300-174,900 40% >174900 75% 75%
BFE.MI Banca Finnat Euramerica SpA Italy 0-35,700 25% 35,700-107,100 40% >107100 75% 75%
RDM.MI Reno de Medici SpA Italy 0-40,200 25% 40,200-120,600 40% >120600 75% 75%
XPR.MI Exprivia SpA Italy 0-16,700 25% 16,700-50,100 40% >50100 75% 75%
IKGn.MI Intek Group SpA - RSP Italy 0-31,500 25% 31,500-94,500 40% >94500 75% 75%
RWAY.MI Rai Way SpA Italy 0-3,000 25% 3,000-20,250 40% 20,250-39,000 50% 60% >39,000 75%
BE.MI Beghelli SpA Italy 0-29,800 25% 29,800-89,400 40% >89400 75% 75%
CED.MI Caltagirone Editore SpA Italy 0-14,900 25% 14,900-44,700 40% >44700 75% 75%
EMGS.OL Electromagnetic GeoServices Italy 0-23,600 25% 23,600-70,800 40% >70800 75% 75%
EDNn.MI Edison SpA Italy 0-17,500 25% 17,500-56,875 40% >56875 75% 75%
DEA.MI DeA Capital SpA Italy 0-10,500 25% 10,500-65,625 40% 65,625-86,625 50% 60% >86,625 75%
AA4.MI Falck Renewables SpA Italy 0-15,100 25% 15,100-90,600 40% 90,600-181,200 50% 60% >181,200 75%
VITI.MI Vittoria Assicurazioni SpA Italy 0-1,200 25% 1,200-6,900 40% 6,900-8,400 50% 60% >8,400 75%
AEF.MI Aeffe SpA Italy 0-11,300 25% 11,300-33,900 40% 33,900-39,550 50% 60% >39,550 75%
SNAI.MI Snai SpA Italy 0-11,900 25% 11,900-71,400 40% 71,400-89,250 50% 60% >89,250 75%
CIRX.MI CIR-Compagnie Industriali Riunite SpA Italy 0-12,500 25% 12,500-75,000 40% 75,000-250,000 50% 60% >250,000 75%
BIM.MI Banca Intermobiliare SpA Italy 0-8,700 25% 8,700-23,925 40% >23925 75% 75%
CRDIn.MI UniCredit SpA - RNC Italy 0-2,000 25% 2,000-6,000 40% >6000 75% 75%
ACO.MI Acotel Group SpA Italy 0-1,700 25% 1,700-5,100 40% >5100 75% 75%
LDO.MI La Dori ASA Italy 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
ISP.MI Intesa Sanpaolo SpA Italy 0-550,000 20% 550,000-2,750,000 30% 2,750,000-6,600,000 50% 60% >6,600,000 75%
CRDI.MI UniCredit SpA Italy 0-200,000 20% 200,000-1,000,000 30% 1,000,000-2,600,000 50% 60% >2,600,000 75%
UBI.MI Unione di Banche Italiane SCPA Italy 0-30,000 20% 30,000-180,000 30% 180,000-390,000 50% 60% >390,000 75%
MDBI.MI Mediobanca SpA Italy 0-20,000 20% 20,000-120,000 30% 120,000-200,000 50% 60% >200,000 75%
9983.T Fast Retailing Co Ltd Japan 0-4,000 5% 4,000-18,000 10% 18,000-72,000 20% 40% >72,000 75%
6367.T Daikin Industries Ltd Japan 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
9432.T Nippon Telegraph & Telephone Corp (TSE) Japan 0-30,000 5% 30,000-135,000 10% 135,000-540,000 20% 40% >540,000 75%
2914.T Japan Tobacco Inc Japan 0-35,000 5% 35,000-166,250 10% 166,250-665,000 20% 40% >665,000 75%
6954.T FANUC Corp Japan 0-8,000 5% 8,000-38,000 10% 38,000-152,000 20% 40% >152,000 75%
8031.T Mitsui & Co Ltd Japan 0-100,000 5% 100,000-475,000 10% 475,000-1,900,000 20% 40% >1,900,000 75%
9984.T Softbank Corp Japan 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 28 of 103
6758.T Sony Corp (TSE) Japan 0-40,000 5% 40,000-190,000 10% 190,000-760,000 20% 40% >760,000 75%
6501.T Hitachi Ltd Japan 0-275,000 5% 275,000-1,306,250 10% 1,306,250-5,225,000 20% 40% >5,225,000 75%
7201.T Nissan Motor Co Ltd Japan 0-130,000 5% 130,000-617,500 10% 617,500-2,470,000 20% 40% >2,470,000 75%
6770.T Alps Electric Co Ltd Japan 0-60,000 10% 60,000-285,000 20% 285,000-1,140,000 35% 45% >1,140,000 75%
6502.T Toshiba Corp Japan 0-400,000 5% 400,000-1,900,000 10% 1,900,000-7,600,000 20% 40% >7,600,000 75%
3382.T Seven & I Holdings Co Ltd Japan 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
7261.T Mazda Motor Corp (TSE) Japan 0-80,000 5% 80,000-400,000 10% 400,000-1,600,000 20% 40% >1,600,000 75%
9437.T NTT DOCOMO Inc (TSE) Japan 0-50,000 5% 50,000-250,000 10% 250,000-1,000,000 20% 40% >1,000,000 75%
8306.T Mitsubishi UFJ Financial Group Inc Japan 0-240,000 5% 240,000-1,200,000 10% 1,200,000-4,800,000 20% 40% >4,800,000 75%
7013.T IHI Corp Japan 0-450,000 10% 450,000-2,250,000 20% 2,250,000-9,000,000 35% 45% >9,000,000 75%
8058.T Mitsubishi Corp Japan 0-60,000 5% 60,000-300,000 10% 300,000-1,200,000 20% 40% >1,200,000 75%
8411.T Mizuho Financial Group Inc Japan 0-725,000 5% 725,000-3,625,000 10% 3,625,000-14,500,000 20% 40% >14,500,000 75%
2432.T Dena Co Ltd Japan 0-40,000 10% 40,000-200,000 20% 200,000-800,000 35% 45% >800,000 75%
4503.T Astellas Pharma Inc Japan 0-80,000 5% 80,000-420,000 10% 420,000-1,680,000 20% 40% >1,680,000 75%
8316.T Sumitomo Mitsui Financial Group Inc Japan 0-35,000 5% 35,000-183,750 10% 183,750-735,000 20% 40% >735,000 75%
9433.T KDDI Corp Japan 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
7267.T Honda Motor Co Ltd Japan 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
6752.T Panasonic Corp (TSE) Japan 0-120,000 5% 120,000-630,000 10% 630,000-2,520,000 20% 40% >2,520,000 75%
7211.T Mitsubishi Motors Corp Japan 0-250,000 10% 250,000-1,312,500 20% 1,312,500-5,250,000 35% 45% >5,250,000 75%
7270.T Fuji Heavy Industries Ltd Japan 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
7203.T Toyota Motor Corp (TSE) Japan 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
7751.T Canon Inc Japan 0-40,000 5% 40,000-220,000 10% 220,000-880,000 20% 40% >880,000 75%
8604.T Nomura Holdings Inc Japan 0-250,000 5% 250,000-1,375,000 10% 1,375,000-5,500,000 20% 40% >5,500,000 75%
8802.T Mitsubishi Estate Co Ltd Japan 0-60,000 5% 60,000-330,000 10% 330,000-1,320,000 20% 40% >1,320,000 75%
4502.T Takeda Pharmaceutical Co Ltd Japan 0-25,000 5% 25,000-137,500 10% 137,500-550,000 20% 40% >550,000 75%
7012.T Kawasaki Heavy Industries Ltd Japan 0-375,000 10% 375,000-2,062,500 20% 2,062,500-8,250,000 35% 45% >8,250,000 75%
8750.T Dai-ichi Life Insurance Co Ltd Japan 0-80,000 5% 80,000-460,000 10% 460,000-1,840,000 20% 40% >1,840,000 75%
8801.T Mitsui Fudosan Co Ltd Japan 0-50,000 5% 50,000-287,500 10% 287,500-1,150,000 20% 40% >1,150,000 75%
6301.T Komatsu Ltd Japan 0-50,000 5% 50,000-287,500 10% 287,500-1,150,000 20% 40% >1,150,000 75%
4063.T Shin-Etsu Chemical Co Ltd Japan 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
4452.T Kao Corp Japan 0-20,000 5% 20,000-115,000 10% 115,000-460,000 20% 40% >460,000 75%
6479.T Minebea Co Ltd Japan 0-110,000 10% 110,000-660,000 20% 660,000-2,640,000 35% 45% >2,640,000 75%
5108.T Bridgestone Corp Japan 0-30,000 5% 30,000-187,500 10% 187,500-750,000 20% 40% >750,000 75%
6503.T Mitsubishi Electric Corp Japan 0-80,000 5% 80,000-500,000 10% 500,000-2,000,000 20% 40% >2,000,000 75%
6762.T TDK Corp Japan 0-15,000 5% 15,000-93,750 10% 93,750-375,000 20% 40% >375,000 75%
7269.T Suzuki Motor Corp Japan 0-30,000 5% 30,000-187,500 10% 187,500-750,000 20% 40% >750,000 75%
6988.T Nitto Denko Corp Japan 0-15,000 5% 15,000-93,750 10% 93,750-375,000 20% 40% >375,000 75%
8766.T Tokio Marine Holdings Inc Japan 0-25,000 5% 25,000-162,500 10% 162,500-650,000 20% 40% >650,000 75%
3436.T Sumco Corp Japan 0-120,000 10% 120,000-810,000 20% 810,000-3,000,000 35% 45% >3,000,000 75%
5401.T Nippon Steel & Sumitomo Metal Corp Japan 0-45,000 5% 45,000-303,750 10% 303,750-1,215,000 20% 40% >1,215,000 75%
9766.T Konami Corp Japan 0-25,000 10% 25,000-168,750 20% 168,750-625,000 35% 45% >625,000 75%
4183.T Mitsui Chemicals Inc Japan 0-200,000 10% 200,000-1,400,000 20% 1,400,000-5,000,000 35% 45% >5,000,000 75%
8035.T Tokyo Electron Ltd Japan 0-10,000 5% 10,000-70,000 10% 70,000-280,000 20% 40% >280,000 75%
5406.T Kobe Steel Ltd Japan 0-975,000 10% 975,000-6,825,000 20% 6,825,000-25,350,000 35% 45% >25,350,000 75%
9020.T East Japan Railway Co Japan 0-10,000 5% 10,000-72,500 10% 72,500-290,000 20% 40% >290,000 75%
8001.T ITOCHU Corp Japan 0-70,000 5% 70,000-507,500 10% 507,500-2,030,000 20% 40% >2,030,000 75%
9022.T Central Japan Railway Co Japan 0-5,000 5% 5,000-38,750 10% 38,750-155,000 20% 40% >155,000 75%
8304.T Aozora Bank Ltd Japan 0-230,000 10% 230,000-1,782,500 20% 1,782,500-5,980,000 35% 45% >5,980,000 75%
8830.T Sumitomo Realty & Development Co Ltd Japan 0-30,000 5% 30,000-232,500 10% 232,500-930,000 20% 40% >930,000 75%
5233.T Taiheiyo Cement Corp Japan 0-275,000 10% 275,000-2,131,250 20% 2,131,250-6,600,000 35% 45% >6,600,000 75%
6902.T Denso Corp Japan 0-20,000 5% 20,000-155,000 10% 155,000-620,000 20% 40% >620,000 75%
7011.T Mitsubishi Heavy Industries Ltd Japan 0-180,000 5% 180,000-1,485,000 10% 1,485,000-5,940,000 20% 40% >5,940,000 75%
9104.T Mitsui OSK Lines Ltd Japan 0-325,000 10% 325,000-2,681,250 20% 2,681,250-8,125,000 35% 45% >8,125,000 75%
9107.T Kawasaki Kisen Kaisha Ltd Japan 0-300,000 10% 300,000-2,475,000 20% 2,475,000-7,500,000 35% 45% >7,500,000 75%
5411.T JFE Holdings Inc Japan 0-50,000 5% 50,000-412,500 10% 412,500-1,650,000 20% 40% >1,650,000 75%
4901.T FUJIFILM Holdings Corp Japan 0-20,000 5% 20,000-165,000 10% 165,000-660,000 20% 40% >660,000 75%
6506.T Yaskawa Electric Corp Japan 0-50,000 10% 50,000-437,500 20% 437,500-1,500,000 35% 45% >1,500,000 75%
2768.T Sojitz Corp Japan 0-300,000 10% 300,000-2,625,000 20% 2,625,000-7,500,000 35% 45% >7,500,000 75%
6326.T Kubota Corp Japan 0-50,000 5% 50,000-437,500 10% 437,500-1,750,000 20% 40% >1,750,000 75%
6952.T Casio Computer Co Ltd Japan 0-50,000 10% 50,000-437,500 20% 437,500-1,500,000 35% 45% >1,500,000 75%
4507.T Shionogi & Co Ltd Japan 0-15,000 10% 15,000-135,000 20% 135,000-540,000 35% 45% >540,000 75%
8309.T Sumitomo Mitsui Trust Holdings Inc Japan 0-200,000 5% 200,000-1,800,000 10% 1,800,000-7,200,000 20% 40% >7,200,000 75%
6971.T Kyocera Corp Japan 0-15,000 5% 15,000-135,000 10% 135,000-540,000 20% 40% >540,000 75%
1801.T Taisei Corp Japan 0-90,000 5% 90,000-810,000 10% 810,000-3,240,000 20% 40% >3,240,000 75%
4704.T Trend Micro Inc Japan 0-20,000 10% 20,000-180,000 20% 180,000-480,000 35% 45% >480,000 75%
7272.T Yamaha Motor Co Ltd Japan 0-35,000 5% 35,000-315,000 10% 315,000-1,260,000 20% 40% >1,260,000 75%
8303.T Shinsei Bank Ltd Japan 0-425,000 10% 425,000-3,931,250 20% 3,931,250-10,200,000 35% 45% >10,200,000 75%
8308.T Resona Holdings Inc Japan 0-150,000 5% 150,000-1,425,000 10% 1,425,000-5,700,000 20% 40% >5,700,000 75%
8028.T FamilyMart Co Ltd Japan 0-10,000 5% 10,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
9501.T Tokyo Electric Power Co Inc Japan 0-160,000 5% 160,000-1,520,000 10% 1,520,000-6,080,000 20% 40% >6,080,000 75%
6702.T Fujitsu Ltd Japan 0-130,000 5% 130,000-1,235,000 10% 1,235,000-4,940,000 20% 40% >4,940,000 75%
1925.T Daiwa House Industry Co Ltd Japan 0-25,000 5% 25,000-237,500 10% 237,500-950,000 20% 40% >950,000 75%
9101.T Nippon Yusen KK Japan 0-350,000 10% 350,000-3,412,500 20% 3,412,500-8,400,000 35% 45% >8,400,000 75%
1605.T Inpex Corp Japan 0-80,000 5% 80,000-780,000 10% 780,000-3,120,000 20% 40% >3,120,000 75%
6857.T Advantest Corp Japan 0-45,000 10% 45,000-438,750 20% 438,750-990,000 35% 45% >990,000 75%
6305.T Hitachi Construction Machinery Co Ltd Japan 0-35,000 10% 35,000-350,000 20% 350,000-910,000 35% 45% >910,000 75%
6861.T Keyence Corp Japan 0-899 10% 899-4,495 20% 4,495-17,980 35% 45% >17,980 75%
6273.T SMC Corp Japan 0-2,293 10% 2,293-11,465 20% 11,465-45,860 35% 45% >45,860 75%
1878.T Daito Trust Construction Co Ltd Japan 0-4,070 10% 4,070-20,350 20% 20,350-81,400 35% 45% >81,400 75%
9843.T Nitori Holdings Co Ltd Japan 0-5,903 10% 5,903-29,515 20% 29,515-118,060 35% 45% >118,060 75%
2651.T Lawson Inc Japan 0-8,831 10% 8,831-44,155 20% 44,155-176,620 35% 45% >176,620 75%
7974.T Nintendo Co Ltd Japan 0-2,667 10% 2,667-13,335 20% 13,335-53,340 35% 45% >53,340 75%
4578.T Otsuka Holdings Co Ltd Japan 0-14,347 10% 14,347-71,735 20% 71,735-286,940 35% 45% >286,940 75%
6869.T Sysmex Corp Japan 0-9,731 10% 9,731-48,655 20% 48,655-194,620 35% 45% >194,620 75%
6201.T Toyota Industries Corp Japan 0-13,404 10% 13,404-67,020 20% 67,020-268,080 35% 45% >268,080 75%
7259.T Aisin Seiki Co Ltd Japan 0-13,855 10% 13,855-69,275 20% 69,275-277,100 35% 45% >277,100 75%
2413.T M3 Inc Japan 0-20,588 10% 20,588-102,940 20% 102,940-411,760 35% 45% >411,760 75%
11111.HK CyberAgent Inc Japan 0-10,889 10% 10,889-54,445 20% 54,445-217,780 35% 45% >217,780 75%
9201.T Japan Airlines Co Ltd Japan 0-21,211 10% 21,211-106,055 20% 106,055-424,220 35% 45% >424,220 75%
7741.T Hoya Corp Japan 0-16,466 10% 16,466-82,330 20% 82,330-329,320 35% 45% >329,320 75%
8697.T Japan Exchange Group Inc Japan 0-39,498 10% 39,498-197,490 20% 197,490-789,960 35% 45% >789,960 75%
7956.T Pigeon Corporation Japan 0-22,593 10% 22,593-112,965 20% 112,965-451,860 35% 45% >451,860 75%
4755.T Rakuten Inc Japan 0-46,104 10% 46,104-230,520 20% 230,520-922,080 35% 45% >922,080 75%
3938.T LINE Corporation Japan 0-14,559 10% 14,559-72,795 20% 72,795-291,180 35% 45% >291,180 75%
7779.T CYBERDYNE Inc Japan 0-37,647 25% 37,647-188,235 40% 188,235-752,940 50% 60% >752,940 75%
7182.T Japan Post Bank Co Ltd Japan 0-52,664 10% 52,664-263,320 20% 263,320-1,053,280 35% 45% >1,053,280 75%
6753.T Sharp Corp Japan 0-467,260 10% 467,260-2,336,300 20% 2,336,300-9,345,200 35% 45% >9,345,200 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 29 of 103
8113.T Unicharm Corp Japan 0-26,041 10% 26,041-130,205 20% 130,205-520,820 35% 45% >520,820 75%
8591.T ORIX Corp Japan 0-42,533 10% 42,533-212,665 20% 212,665-850,660 35% 45% >850,660 75%
4661.T Oriental Land Co Ltd Japan 0-10,418 10% 10,418-52,090 20% 52,090-208,360 35% 45% >208,360 75%
6178.T Japan Post Holdings Co Ltd Japan 0-47,915 10% 47,915-239,575 20% 239,575-958,300 35% 45% >958,300 75%
6724.T Seiko Epson Corp Japan 0-33,873 10% 33,873-169,365 20% 169,365-677,460 35% 45% >677,460 75%
3092.T Start Today Co Ltd Japan 0-13,098 10% 13,098-65,490 20% 65,490-261,960 35% 45% >261,960 75%
6963.T Rohm Co Ltd Japan 0-13,098 10% 13,098-65,490 20% 65,490-261,960 35% 45% >261,960 75%
7832.T Namco Bandai Holdings Inc Japan 0-22,027 10% 22,027-110,135 20% 110,135-440,540 35% 45% >440,540 75%
6645.T OMRON Corporation Japan 0-18,690 10% 18,690-93,450 20% 93,450-373,800 35% 45% >373,800 75%
6586.T Makita Corp Japan 0-8,988 10% 8,988-44,940 20% 44,940-179,760 35% 45% >179,760 75%
6981.T Murata Manufacturing Co Ltd Japan 0-4,922 10% 4,922-24,610 20% 24,610-98,440 35% 45% >98,440 75%
6594.T Nidec Corp Japan 0-7,230 10% 7,230-36,150 20% 36,150-144,600 35% 45% >144,600 75%
3391.T Tsuruha Holdings Inc Japan 0-6,000 10% 6,000-30,000 20% 30,000-120,000 35% 45% >120,000 75%
4523.T Eisai Co Ltd Japan 0-10,000 5% 10,000-100,000 10% 100,000-410,000 20% 40% >410,000 75%
1963.T JGC Corp Japan 0-40,000 10% 40,000-400,000 20% 400,000-960,000 35% 45% >960,000 75%
5938.T LIXIL Group Corp Japan 0-30,000 10% 30,000-157,500 20% 157,500-630,000 35% 45% >630,000 75%
9735.T Secom Co Ltd Japan 0-8,000 5% 8,000-80,000 10% 80,000-336,000 20% 40% >336,000 75%
9684.T Square Enix Holdings Co Ltd Japan 0-20,000 10% 20,000-105,000 20% 105,000-420,000 35% 45% >420,000 75%
2503.T Kirin Holdings Co Ltd Japan 0-35,000 5% 35,000-350,000 10% 350,000-1,505,000 20% 40% >1,505,000 75%
4568.T Daiichi Sankyo Co Ltd Japan 0-25,000 5% 25,000-250,000 10% 250,000-1,075,000 20% 40% >1,075,000 75%
9021.T West Japan Railway Co Japan 0-10,000 5% 10,000-100,000 10% 100,000-440,000 20% 40% >440,000 75%
1808.T Haseko Corp Japan 0-60,000 10% 60,000-600,000 20% 600,000-1,500,000 35% 45% >1,500,000 75%
7731.T Nikon Corp Japan 0-40,000 5% 40,000-400,000 10% 400,000-1,760,000 20% 40% >1,760,000 75%
4204.T Sekisui Chemical Co Ltd Japan 0-40,000 10% 40,000-220,000 20% 220,000-880,000 35% 45% >880,000 75%
2282.T Nippon Meat Packers Inc Japan 0-25,000 10% 25,000-250,000 20% 250,000-600,000 35% 45% >600,000 75%
9831.T Yamada Denki Co Ltd Japan 0-120,000 10% 120,000-660,000 20% 660,000-2,640,000 35% 45% >2,640,000 75%
4543.T Terumo Corp Japan 0-15,000 5% 15,000-150,000 10% 150,000-660,000 20% 40% >660,000 75%
3402.T Toray Industries Inc Japan 0-60,000 5% 60,000-600,000 10% 600,000-2,640,000 20% 40% >2,640,000 75%
2269.T MEIJI Holdings Co Ltd Japan 0-6,000 5% 6,000-60,000 10% 60,000-270,000 20% 40% >270,000 75%
3401.T Teijin Ltd Japan 0-150,000 10% 150,000-1,500,000 20% 1,500,000-4,050,000 35% 45% >4,050,000 75%
3407.T Asahi Kasei Corp Japan 0-70,000 5% 70,000-700,000 10% 700,000-3,150,000 20% 40% >3,150,000 75%
2371.T Kakaku.com Inc Japan 0-35,000 10% 35,000-201,250 20% 201,250-805,000 35% 45% >805,000 75%
3405.T Kuraray Co Ltd Japan 0-40,000 10% 40,000-400,000 20% 400,000-960,000 35% 45% >960,000 75%
4324.T Dentsu Inc Japan 0-10,000 5% 10,000-100,000 10% 100,000-460,000 20% 40% >460,000 75%
8002.T Marubeni Corp Japan 0-110,000 5% 110,000-990,000 10% 990,000-5,060,000 20% 40% >5,060,000 75%
2802.T Ajinomoto Co Inc Japan 0-25,000 5% 25,000-250,000 10% 250,000-1,000,000 20% 40% >1,000,000 75%
8053.T Sumitomo Corp Japan 0-50,000 5% 50,000-500,000 10% 500,000-2,350,000 20% 40% >2,350,000 75%
4902.T Konica Minolta Inc Japan 0-60,000 10% 60,000-600,000 20% 600,000-1,500,000 35% 45% >1,500,000 75%
8601.T Daiwa Securities Group Inc Japan 0-90,000 5% 90,000-900,000 10% 900,000-4,320,000 20% 40% >4,320,000 75%
8331.T Chiba Bank Ltd Japan 0-90,000 10% 90,000-900,000 20% 900,000-2,520,000 35% 45% >2,520,000 75%
4911.T Shiseido Co Ltd Japan 0-20,000 5% 20,000-200,000 10% 200,000-960,000 20% 40% >960,000 75%
7532.T Don Quijote Co Ltd Japan 0-15,000 10% 15,000-90,000 20% 90,000-360,000 35% 45% >360,000 75%
2502.T Asahi Group Holdings Ltd Japan 0-15,000 5% 15,000-150,000 10% 150,000-735,000 20% 40% >735,000 75%
7936.T Asics Corp Japan 0-25,000 10% 25,000-150,000 20% 150,000-625,000 35% 45% >625,000 75%
6268.T Nabtesco Corp Japan 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
6448.T Brother Industries Ltd Japan 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
5711.T Mitsubishi Materials Corp Japan 0-180,000 10% 180,000-1,980,000 20% 1,980,000-4,500,000 35% 45% >4,500,000 75%
4005.T Sumitomo Chemical Co Ltd Japan 0-110,000 5% 110,000-990,000 10% 990,000-5,500,000 20% 40% >5,500,000 75%
5802.T Sumitomo Electric Industries Ltd Japan 0-35,000 5% 35,000-350,000 10% 350,000-1,505,000 20% 40% >1,505,000 75%
1928.T Sekisui House Ltd Japan 0-30,000 5% 30,000-300,000 10% 300,000-1,500,000 20% 40% >1,500,000 75%
8267.T Aeon Co Ltd Japan 0-35,000 5% 35,000-350,000 10% 350,000-1,785,000 20% 40% >1,785,000 75%
9531.T Tokyo Gas Co Ltd Japan 0-110,000 5% 110,000-990,000 10% 990,000-5,500,000 20% 40% >5,500,000 75%
6976.T Taiyo Yuden Co Ltd Japan 0-50,000 10% 50,000-500,000 20% 500,000-1,000,000 35% 45% >1,000,000 75%
7733.T Olympus Corp Japan 0-15,000 10% 15,000-150,000 20% 150,000-750,000 35% 45% >750,000 75%
1812.T Kajima Corp Japan 0-70,000 5% 70,000-700,000 10% 700,000-3,500,000 20% 40% >3,500,000 75%
3099.T Isetan Mitsukoshi Holdings Ltd Japan 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
8804.T Tokyo Tatemono Co Ltd Japan 0-40,000 10% 40,000-400,000 20% 400,000-960,000 35% 45% >960,000 75%
4202.T Daicel Corp Japan 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
7276.T Koito Manufacturing Co Ltd Japan 0-10,000 10% 10,000-60,000 20% 60,000-260,000 35% 45% >260,000 75%
4508.T Mitsubishi Tanabe Pharma Corp Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
6701.T NEC Corp Japan 0-180,000 5% 180,000-1,980,000 10% 1,980,000-9,000,000 20% 40% >9,000,000 75%
8630.T NKSJ Holdings Inc Japan 0-15,000 5% 15,000-150,000 10% 150,000-795,000 20% 40% >795,000 75%
8227.T Shimamura Co Ltd Japan 0-4,000 10% 4,000-25,000 20% 25,000-108,000 35% 45% >108,000 75%
7202.T Isuzu Motors Ltd Japan 0-40,000 5% 40,000-400,000 10% 400,000-2,000,000 20% 40% >2,000,000 75%
5019.T Idemitsu Kosan Co Ltd Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
5020.T JX Holdings Inc Japan 0-120,000 5% 120,000-990,000 10% 990,000-6,000,000 20% 40% >6,000,000 75%
9202.T ANA Holdings Inc Japan 0-170,000 5% 170,000-1,487,500 10% 1,487,500-8,500,000 20% 40% >8,500,000 75%
8252.T Marui Group Co Ltd Japan 0-35,000 10% 35,000-350,000 20% 350,000-910,000 35% 45% >910,000 75%
8354.T Fukuoka Financial Group Inc Japan 0-110,000 10% 110,000-990,000 20% 990,000-2,970,000 35% 45% >2,970,000 75%
4043.T Tokuyama Corp Japan 0-120,000 10% 120,000-990,000 20% 990,000-3,000,000 35% 45% >3,000,000 75%
9506.T Tohoku Electric Power Co Inc Japan 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
5334.T NGK Spark Plug Co Ltd Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
8795.T T&D Holdings Inc Japan 0-40,000 5% 40,000-400,000 10% 400,000-2,000,000 20% 40% >2,000,000 75%
4217.T Hitachi Chemical Co Ltd Japan 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
4613.T Kansai Paint Co Ltd Japan 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
5110.T Sumitomo Rubber Industries Ltd Japan 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
4689.T Yahoo Japan Corp Japan 0-110,000 5% 110,000-990,000 10% 990,000-5,500,000 20% 40% >5,500,000 75%
9508.T Kyushu Electric Power Co Inc Japan 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
6113.T Amada Co Ltd Japan 0-45,000 10% 45,000-450,000 20% 450,000-990,000 35% 45% >990,000 75%
6302.T Sumitomo Heavy Industries Ltd Japan 0-90,000 10% 90,000-900,000 20% 900,000-1,980,000 35% 45% >1,980,000 75%
6361.T Ebara Corp Japan 0-80,000 10% 80,000-800,000 20% 800,000-2,000,000 35% 45% >2,000,000 75%
1802.T Obayashi Corp Japan 0-45,000 5% 45,000-450,000 10% 450,000-2,520,000 20% 40% >2,520,000 75%
4188.T Mitsubishi Chemical Holdings Corp Japan 0-70,000 5% 70,000-700,000 10% 700,000-3,500,000 20% 40% >3,500,000 75%
5012.T TonenGeneral Sekiyu KK Japan 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
6472.T NTN Corp Japan 0-120,000 10% 120,000-990,000 20% 990,000-3,000,000 35% 45% >3,000,000 75%
8253.T Credit Saison Co Ltd Japan 0-25,000 10% 25,000-250,000 20% 250,000-575,000 35% 45% >575,000 75%
6460.T Sega Sammy Holdings Inc Japan 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
5486.T Hitachi Metals Ltd Japan 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
2181.T Temp Holdings Company Limited Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
9613.T NTT Data Corp Japan 0-8,000 5% 8,000-80,000 10% 80,000-424,000 20% 40% >424,000 75%
2267.T Yakult Honsha Co Ltd Japan 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
9962.T MISUMI Group Inc Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
2193.T Cookpad Inc Japan 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
5214.T Nippon Electric Glass Co Ltd Japan 0-80,000 10% 80,000-800,000 20% 800,000-2,000,000 35% 45% >2,000,000 75%
5801.T Furukawa Electric Co Ltd Japan 0-160,000 10% 160,000-1,520,000 20% 1,520,000-4,000,000 35% 45% >4,000,000 75%
6366.T Chiyoda Corp Japan 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
3289.T Tokyu Fudosan Holdings Corp Japan 0-70,000 10% 70,000-700,000 20% 700,000-2,030,000 35% 45% >2,030,000 75%
4208.T Ube Industries Ltd Japan 0-210,000 10% 210,000-1,995,000 20% 1,995,000-5,460,000 35% 45% >5,460,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 30 of 103
7701.T Shimadzu Corp Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
8233.T Takashimaya Co Ltd Japan 0-50,000 10% 50,000-500,000 20% 500,000-1,000,000 35% 45% >1,000,000 75%
9513.T Electric Power Development Co Ltd Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
4676.T Fuji Media Holdings Inc Japan 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
6923.T Stanley Electric Co Ltd Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
9062.T Nippon Express Co Ltd Japan 0-80,000 10% 80,000-800,000 20% 800,000-2,000,000 35% 45% >2,000,000 75%
6841.T Yokogawa Electric Corp Japan 0-30,000 10% 30,000-300,000 20% 300,000-810,000 35% 45% >810,000 75%
5201.T Asahi Glass Co Ltd Japan 0-60,000 5% 60,000-600,000 10% 600,000-3,000,000 20% 40% >3,000,000 75%
4185.T JSR Corp Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
6481.T THK Co Ltd Japan 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
4004.T Showa Denko KK Japan 0-30,000 10% 30,000-300,000 20% 300,000-690,000 35% 45% >690,000 75%
3086.T J Front Retailing Co Ltd Japan 0-30,000 10% 30,000-300,000 20% 300,000-720,000 35% 45% >720,000 75%
7911.T Toppan Printing Co Ltd Japan 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
8355.T Shizuoka Bank Ltd Japan 0-45,000 10% 45,000-450,000 20% 450,000-990,000 35% 45% >990,000 75%
8202.T Laox Company Limited Japan 0-50,000 15% 50,000-300,000 25% 300,000-850,000 40% 55% >850,000 75%
9064.T Yamato Holdings Co Ltd Japan 0-15,000 5% 15,000-150,000 10% 150,000-855,000 20% 40% >855,000 75%
2897.T Nissin Foods Holdings Co Ltd Japan 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
9001.T Tobu Railway Co Ltd Japan 0-70,000 10% 70,000-700,000 20% 700,000-1,470,000 35% 45% >1,470,000 75%
5332.T TOTO Ltd Japan 0-9,000 5% 9,000-90,000 10% 90,000-477,000 20% 40% >477,000 75%
5002.T Showa Shell Sekiyu KK Japan 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
4307.T Nomura Research Institute Ltd Japan 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
2875.T Toyo Suisan Kaisha Ltd Japan 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
4182.T Mitsubishi Gas Chemical Co Inc Japan 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
4732.T USS Co Ltd Japan 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
8729.T Sony Financial Holdings Inc Japan 0-25,000 5% 25,000-250,000 10% 250,000-1,000,000 20% 40% >1,000,000 75%
9042.T Hankyu Hanshin Holdings Inc Japan 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
9697.T Capcom Co Ltd Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
4519.T Chugai Pharmaceutical Co Ltd Japan 0-10,000 10% 10,000-100,000 20% 100,000-630,000 35% 45% >630,000 75%
7762.T Citizen Holdings Co Ltd Japan 0-60,000 10% 60,000-600,000 20% 600,000-1,500,000 35% 45% >1,500,000 75%
9503.T Kansai Electric Power Co Inc Japan 0-35,000 5% 35,000-350,000 10% 350,000-1,995,000 20% 40% >1,995,000 75%
5101.T Yokohama Rubber Co Ltd Japan 0-20,000 10% 20,000-200,000 20% 200,000-520,000 35% 45% >520,000 75%
5333.T NGK Insulators Ltd Japan 0-15,000 5% 15,000-150,000 10% 150,000-750,000 20% 40% >750,000 75%
7752.T Ricoh Co Ltd Japan 0-35,000 5% 35,000-350,000 10% 350,000-1,995,000 20% 40% >1,995,000 75%
7181.T Japan Post Insurance Co Ltd Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
6504.T Fuji Electric Co Ltd Japan 0-70,000 10% 70,000-700,000 20% 700,000-2,030,000 35% 45% >2,030,000 75%
1803.T Shimizu Corp Japan 0-35,000 5% 35,000-350,000 10% 350,000-1,995,000 20% 40% >1,995,000 75%
9041.T Kintetsu Corp Japan 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
9504.T Chugoku Electric Power Co Inc Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
9007.T Odakyu Electric Railway Co Ltd Japan 0-30,000 10% 30,000-300,000 20% 300,000-780,000 35% 45% >780,000 75%
4062.T Ibiden Co Ltd Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
9009.T Keisei Electric Railway Co Ltd Japan 0-25,000 10% 25,000-250,000 20% 250,000-650,000 35% 45% >650,000 75%
4114.T Nippon Shokubai Co Ltd Japan 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
6471.T NSK Ltd Japan 0-30,000 5% 30,000-300,000 10% 300,000-1,500,000 20% 40% >1,500,000 75%
5714.T Dowa Holdings Co Ltd Japan 0-45,000 10% 45,000-450,000 20% 450,000-990,000 35% 45% >990,000 75%
9602.T Toho Co Ltd Japan 0-10,000 10% 10,000-100,000 20% 100,000-250,000 35% 45% >250,000 75%
7240.T NOK Corp Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
2002.T Nisshin Seifun Group Inc Japan 0-20,000 10% 20,000-200,000 20% 200,000-480,000 35% 45% >480,000 75%
2801.T Kikkoman Corp Japan 0-9,000 5% 9,000-90,000 10% 90,000-450,000 20% 40% >450,000 75%
9532.T Osaka Gas Co Ltd Japan 0-70,000 5% 70,000-700,000 10% 700,000-3,500,000 20% 40% >3,500,000 75%
9502.T Chubu Electric Power Co Inc Japan 0-20,000 5% 20,000-200,000 10% 200,000-1,000,000 20% 40% >1,000,000 75%
5947.T Rinnai Corp Japan 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
3861.T Oji Holdings Corp Japan 0-70,000 10% 70,000-700,000 20% 700,000-2,030,000 35% 45% >2,030,000 75%
1721.T COMSYS Holdings Corp Japan 0-15,000 10% 15,000-150,000 20% 150,000-375,000 35% 45% >375,000 75%
3863.T Nippon Paper Industries Co Ltd Japan 0-15,000 10% 15,000-150,000 20% 150,000-375,000 35% 45% >375,000 75%
5901.T Toyo Seikan Group Holdings Ltd Japan 0-15,000 10% 15,000-150,000 20% 150,000-330,000 35% 45% >330,000 75%
9533.T Toho Gas Co Ltd Japan 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
7205.T Hino Motors Ltd Japan 0-25,000 5% 25,000-250,000 10% 250,000-1,500,000 20% 40% >1,500,000 75%
7003.T Mitsui Engineering & Shipbuilding Co Ltd Japan 0-190,000 10% 190,000-2,090,000 20% 2,090,000-4,560,000 35% 45% >4,560,000 75%
9603.T HIS Co Ltd Japan 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
8418.T Yamaguchi Financial Group Inc Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
9008.T Keio Corp Japan 0-30,000 10% 30,000-300,000 20% 300,000-690,000 35% 45% >690,000 75%
8086.T Nipro Corp Japan 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
4205.T Zeon Corp Japan 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
6806.T Hirose Electric Co Ltd Japan 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
7459.T Medipal Holdings Corp Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
9404.T Nippon Television Holdings Inc Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
5202.T Nippon Sheet Glass Co Ltd Japan 0-300,000 10% 300,000-3,000,000 20% 3,000,000-7,500,000 35% 45% >7,500,000 75%
5803.T Fujikura Ltd Japan 0-45,000 10% 45,000-450,000 20% 450,000-990,000 35% 45% >990,000 75%
2501.T Sapporo Holdings Ltd Japan 0-9,000 10% 9,000-90,000 20% 90,000-216,000 35% 45% >216,000 75%
9005.T Tokyu Corp Japan 0-30,000 5% 30,000-300,000 10% 300,000-1,500,000 20% 40% >1,500,000 75%
6767.T Mitsumi Electric Co Ltd Japan 0-40,000 10% 40,000-400,000 20% 400,000-800,000 35% 45% >800,000 75%
8593.T Mitsubishi UFJ Lease & Finance Co Ltd Japan 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
4151.T Kyowa Hakko Kirin Co Ltd Japan 0-15,000 10% 15,000-150,000 20% 150,000-780,000 35% 45% >780,000 75%
6370.T Kurita Water Industries Ltd Japan 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
6473.T JTEKT Corp Japan 0-15,000 5% 15,000-150,000 10% 150,000-795,000 20% 40% >795,000 75%
7747.T Asahi Intecc Company Limited Japan 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
8628.T Matsui Securities Co Ltd Japan 0-25,000 10% 25,000-250,000 20% 250,000-575,000 35% 45% >575,000 75%
5631.T Japan Steel Works Ltd Japan 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
9509.T Hokkaido Electric Power Co Inc Japan 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
6740.T Japan Display Inc Japan 0-150,000 10% 150,000-900,000 20% 900,000-3,000,000 35% 45% >3,000,000 75%
4061.T Denki Kagaku Kogyo KK Japan 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
6417.T Sankyo Co Ltd Japan 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
8377.T Hokuhoku Financial Group Inc Japan 0-150,000 10% 150,000-900,000 20% 900,000-3,000,000 35% 45% >3,000,000 75%
7912.T Dai Nippon Printing Co Ltd Japan 0-20,000 5% 20,000-200,000 10% 200,000-1,000,000 20% 40% >1,000,000 75%
6674.T GS Yuasa Corp Japan 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
4091.T Taiyo Nippon Sanso Corp Japan 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
4544.T Miraca Holdings Inc Japan 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
8136.T Sanrio Co Ltd Japan 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
8333.T Joyo Bank Ltd Japan 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
4530.T Hisamitsu Pharmaceutical Co Inc Japan 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
8327.T Nishi-Nippon City Bank Ltd Japan 0-90,000 15% 90,000-540,000 25% 540,000-1,530,000 40% 55% >1,530,000 75%
3632.T Gree Inc Japan 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
4088.T Air Water Inc Japan 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
8015.T Toyota Tsusho Corp Japan 0-8,000 5% 8,000-80,000 10% 80,000-424,000 20% 40% >424,000 75%
6925.T Ushio Inc Japan 0-15,000 15% 15,000-90,000 25% 90,000-225,000 40% 55% >225,000 75%
8379.T Hiroshima Bank Ltd Japan 0-40,000 15% 40,000-240,000 25% 240,000-800,000 40% 55% >800,000 75%
9507.T Shikoku Electric Power Co Inc Japan 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
5471.T Daido Steel Co Ltd Japan 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 31 of 103
8840.T Daikyo Inc Japan 0-90,000 15% 90,000-540,000 25% 540,000-1,530,000 40% 55% >1,530,000 75%
8698.T Monex Group Inc Japan 0-60,000 15% 60,000-345,000 25% 345,000-960,000 40% 55% >960,000 75%
8385.T Iyo Bank Ltd Japan 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
9505.T Hokuriku Electric Power Co Japan 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
8382.T Chugoku Bank Ltd Japan 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
5021.T Cosmo Energy Holdings Company Limited Japan 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
3865.T Hokuetsu Kishu Paper Co Ltd Japan 0-15,000 10% 15,000-150,000 20% 150,000-420,000 35% 45% >420,000 75%
8803.T Heiwa Real Estate Co Ltd Japan 0-7,000 20% 7,000-40,250 30% 40,250-105,000 50% 60% >105,000 75%
4813.T Access Co Ltd Japan 0-15,000 20% 15,000-90,000 30% 90,000-240,000 50% 60% >240,000 75%
6508.T Meidensha Corp Japan 0-25,000 20% 25,000-250,000 30% 250,000-600,000 50% 60% >600,000 75%
CCE.AS Coca-Cola European Partners PLC Netherlands 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
ISPA.AS ArcelorMittal (NL) Netherlands 0-210,000 10% 210,000-1,050,000 20% 1,050,000-4,200,000 35% 45% >4,200,000 75%
RDSa.AS Royal Dutch Shell PLC A (NL) Netherlands 0-49,000 5% 49,000-257,250 10% 257,250-980,000 20% 40% >980,000 75%
UNc.AS Unilever NV Netherlands 0-25,000 5% 25,000-137,500 10% 137,500-550,000 20% 40% >550,000 75%
INGA.AS ING Groep NV (NL) Netherlands 0-90,000 10% 90,000-517,500 20% 517,500-2,070,000 35% 45% >2,070,000 75%
RDSb.AS Royal Dutch Shell PLC B (NL) Netherlands 0-29,100 5% 29,100-247,350 10% 247,350-989,400 20% 40% >989,400 75%
ASML.AS ASML Holding NV Netherlands 0-7,000 5% 7,000-61,250 10% 61,250-245,000 20% 40% >245,000 75%
PHG.AS Koninklijke Philips NV Netherlands 0-20,000 5% 20,000-200,000 10% 200,000-880,000 20% 40% >880,000 75%
UNBP.AS Unibail-Rodamco SE (NL) Netherlands 0-2,000 5% 2,000-20,000 10% 20,000-94,000 20% 40% >94,000 75%
RELX.AS Relx NV Netherlands 0-30,000 10% 30,000-180,000 20% 180,000-720,000 35% 45% >720,000 75%
AD.AS Koninklijke Ahold NV Netherlands 0-20,000 5% 20,000-200,000 10% 200,000-1,060,000 20% 40% >1,060,000 75%
HEIN.AS Heineken NV Netherlands 0-4,000 5% 4,000-60,000 10% 60,000-288,000 20% 40% >288,000 75%
DSMN.AS Koninklijke DSM NV Netherlands 0-5,000 5% 5,000-50,000 10% 50,000-370,000 20% 40% >370,000 75%
AKZO.AS Akzo Nobel NV Netherlands 0-4,000 5% 4,000-40,000 10% 40,000-324,000 20% 40% >324,000 75%
SBMO.AS SBM Offshore NV Netherlands 0-20,000 25% 20,000-200,000 40% 200,000-780,000 50% 60% >780,000 75%
WLSNc.AS Wolters Kluwer NV Netherlands 0-6,000 5% 6,000-60,000 10% 60,000-474,000 20% 40% >474,000 75%
DLL.AS Delta Lloyd NV Netherlands 0-60,000 10% 60,000-345,000 20% 345,000-1,200,000 35% 45% >1,200,000 75%
NN.AS NN Group NV Netherlands 0-8,000 5% 8,000-80,000 10% 80,000-648,000 20% 40% >648,000 75%
AEGN.AS Aegon NV Netherlands 0-60,000 5% 60,000-600,000 10% 600,000-4,980,000 20% 40% >4,980,000 75%
RAND.AS Randstad Holding NV Netherlands 0-5,000 5% 5,000-50,000 10% 50,000-400,000 20% 40% >400,000 75%
KPN.AS Koninklijke KPN NV Netherlands 0-70,000 5% 70,000-700,000 10% 700,000-6,020,000 20% 40% >6,020,000 75%
APAM.AS APERAM Netherlands 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
BOSN.AS Koninklijke Boskalis Westminster NV Netherlands 0-6,000 10% 6,000-60,000 20% 60,000-252,000 35% 45% >252,000 75%
VOPA.AS Koninklijke Vopak NV Netherlands 0-4,000 10% 4,000-40,000 20% 40,000-192,000 35% 45% >192,000 75%
HLAN.AS HAL Trust Netherlands 0-1,000 20% 1,000-3,000 30% 3,000-4,000 50% 60% >4,000 75%
TOM2.AS TomTom NV Netherlands 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
GTO.AS Gemalto NV Netherlands 0-2,500 5% 2,500-25,000 10% 25,000-200,000 20% 40% >200,000 75%
ATCA.AS Altice NV - A Netherlands 0-10,000 5% 10,000-100,000 10% 100,000-900,000 20% 40% >900,000 75%
ABNd.AS ABN AMRO Group NV Netherlands 0-8,000 10% 8,000-80,000 20% 80,000-480,000 35% 45% >480,000 75%
PTNL.AS PostNL NV Netherlands 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
GLPG.AS Galapagos NV Netherlands 0-2,500 25% 2,500-25,000 40% 25,000-110,000 50% 60% >110,000 75%
AALB.AS Aalberts Industries NV Netherlands 0-4,000 10% 4,000-40,000 20% 40,000-152,000 35% 45% >152,000 75%
FUGRc.AS Fugro NV Netherlands 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
HEIO.AS Heineken Holding NV Netherlands 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
WEHA.AS Wereldhave NV Netherlands 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
OCI.AS OCI NV Netherlands 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
ASMI.AS ASM International NV Netherlands 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
BESI.AS BE Semiconductor Industries NV Netherlands 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
BAMN.AS Koninklijke BAM Groep NV Netherlands 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
ARDS.AS Arcadis NV Netherlands 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
CORB.AS Corbion NV Netherlands 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
SIPFc.AS Eurocommercial Properties NV Netherlands 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
HOLCO.AS Holland Colours NV Netherlands 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
PSH.AS Pershing Square Holdings Limited Netherlands 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
TWKNc.AS TKH Group NV Netherlands 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
HUDN.AS Hunter Douglas NV Netherlands 0-1,000 25% 1,000-3,000 40% 3,000-3,750 50% 60% >3,750 75%
GVNV.AS GrandVision BV Netherlands 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
GRHAc.AS Groothandelsgebouwen NV Netherlands 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
ATCB.AS Altice NV - B Netherlands 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
FLOW.AS Flow Traders Cooperatief UA Netherlands 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
VASN.AS Vastned Retail NV Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
IMCD.AS IMCD Group NV Netherlands 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
AMG.AS AMG Advanced Metallurgical Group NV Netherlands 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
SLIGR.AS Sligro Food Group NV Netherlands 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
BSWSc.AS Koninklijke Wessanen NV Netherlands 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
BINCK.AS BinckBank NV Netherlands 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
BRUN.AS Brunel International NV Netherlands 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
NEDP.AS Nederland Apparatenfabriek Netherlands 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
RFRG.AS Refresco Gerber NV Netherlands 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
ASRNL.AS ASR Nederland NV Netherlands 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
AAA.AS AP Alternative Assets LP Netherlands 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
BRIL.AS Koninklijke Brill NV Netherlands 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SVEL.AS Kendrion NV Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
BTBN.AS Batenburg Techniek Netherlands 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
LIGHT.AS Philips Lighting NV Netherlands 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
ACCG.AS Accell Group Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
ARBN.AS Amsterdam Commodities NV Netherlands 0-1,000 25% 1,000-3,000 40% 3,000-5,500 50% 60% >5,500 75%
BETR.AS Beter Bed Holding NV Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
HEIJ.AS Heijmans NV Netherlands 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
ARTN.AS Stern Groep NV Netherlands 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
INTER.AS Intertrust NV Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
VLAN.AS Van Lanschot NV Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
BOLS.AS Lucas Bols Holding BV Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-7,000 50% 60% >7,000 75%
NSTEc.AS Nieuwe Steen Investments NV Netherlands 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
SIFG.AS Sif Holding NV Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
BFIT_w.AS Basic Fit Nederland B.V. Netherlands 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
ORDN.AS Ordina NV Netherlands 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
VALU8.AS Value8 NV Netherlands 0-1,700 25% 1,700-6,800 40% 6,800-10,625 50% 60% >10,625 75%
ECT.AS Eurocastle Investment Ltd Netherlands 0-1,800 25% 1,800-9,900 40% 9,900-36,000 50% 60% >36,000 75%
DPA.AS DPA Group NV Netherlands 0-6,800 25% 6,800-20,400 40% 20,400-34,000 50% 60% >34,000 75%
ESPE.AS Esperite Netherlands 0-8,800 25% 8,800-24,200 40% 24,200-33,000 50% 60% >33,000 75%
DOCD.AS DOCdata NV Netherlands 0-32,000 25% 32,000-96,000 40% >96000 75% 75%
TLGNc.AS Telegraaf Media Groep NV Netherlands 0-3,300 25% 3,300-9,900 40% >9900 75% 75%
KARD.AS Kardan NV Netherlands 0-81,600 25% 81,600-244,800 40% >244800 75% 75%
IMUN.AS Imtech NV Netherlands 0-583,400 25% 583,400-1,166,800 40% >1166800 75% 75%
MCIN.AS Macintosh Retail Group NV Netherlands 0-1,166,800 25% 1,166,800-2,333,600 40% >2333600 75% 75%
PHAR.AS Pharming Group NV Netherlands 0-53,000 25% 53,000-331,250 40% 331,250-1,060,000 50% 60% >1,060,000 75%
TFG.AS Tetragon Financial Group Ltd Netherlands 0-1,200 25% 1,200-6,900 40% 6,900-22,800 50% 60% >22,800 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 32 of 103
ICTA.AS ICT Automatisering NV Netherlands 0-1,100 25% 1,100-3,575 40% 3,575-4,950 50% 60% >4,950 75%
NEWN.AS Neways Electronics International NV Netherlands 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
CURE.AS Curetis NV Netherlands 0-1,800 25% 1,800-5,400 40% >5400 75% 75%
YATRA.AS Yatra Capital Ltd Netherlands 0-2,000 25% 2,000-6,000 40% >6000 75% 75%
VTA.AS Volta Finance Ltd/fund Netherlands 0-1,600 25% 1,600-3,200 40% 3,200-4,800 50% 60% >4,800 75%
KASNc.AS KAS Bank NV Netherlands 0-1,400 25% 1,400-8,400 40% 8,400-9,800 50% 60% >9,800 75%
RCL.OL Royal Caribbean Cruises Ltd (No) Norway 0-17,700 5% 17,700-88,500 10% 88,500-354,000 20% 40% >354,000 75%
SDRL.OL Seadrill Ltd (No) Norway 0-350,000 20% 350,000-2,712,500 30% 2,712,500-7,000,000 50% 60% >7,000,000 75%
STL.OL Statoil ASA Norway 0-30,000 5% 30,000-390,000 10% 390,000-1,590,000 20% 40% >1,590,000 75%
FRO.OL Frontline Ltd (No) Norway 0-45,000 20% 45,000-450,000 30% 450,000-900,000 50% 60% >900,000 75%
SUBC.OL Subsea 7 SA Norway 0-25,000 10% 25,000-250,000 20% 250,000-975,000 35% 45% >975,000 75%
DNB.OL DNB ASA Norway 0-20,000 5% 20,000-200,000 10% 200,000-2,000,000 20% 40% >2,000,000 75%
MHG.OL Marine Harvest ASA Norway 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
NHY.OL Norsk Hydro ASA Norway 0-45,000 5% 45,000-450,000 10% 450,000-3,510,000 20% 40% >3,510,000 75%
ORK.OL Orkla ASA Norway 0-20,000 10% 20,000-200,000 20% 200,000-860,000 35% 45% >860,000 75%
TEL.OL Telenor ASA Norway 0-10,000 5% 10,000-100,000 10% 100,000-1,000,000 20% 40% >1,000,000 75%
NWC.OL Norwegian Air Shuttle AS Norway 0-4,000 10% 4,000-40,000 20% 40,000-180,000 35% 45% >180,000 75%
YAR.OL Yara International ASA Norway 0-4,000 5% 4,000-40,000 10% 40,000-352,000 20% 40% >352,000 75%
STB.OL Storebrand ASA Norway 0-30,000 10% 30,000-300,000 20% 300,000-990,000 35% 45% >990,000 75%
REC.OL REC Silicon ASA Norway 0-850,000 20% 850,000-8,500,000 30% 8,500,000-20,400,000 50% 60% >20,400,000 75%
TGS.OL TGS Nopec Geophysical Co ASA Norway 0-6,000 10% 6,000-60,000 20% 60,000-276,000 35% 45% >276,000 75%
DETNOR.OL Det Norske Oljeselskap ASA Norway 0-7,000 25% 7,000-70,000 40% 70,000-301,000 50% 60% >301,000 75%
DNO.OL DNO International ASA Norway 0-90,000 25% 90,000-900,000 40% 900,000-3,960,000 50% 60% >3,960,000 75%
LSG.OL Leroy Seafood Group ASA Norway 0-2,000 20% 2,000-20,000 30% 20,000-80,000 50% 60% >80,000 75%
GJFS.OL Gjensidige Forsikring ASA Norway 0-5,000 10% 5,000-50,000 20% 50,000-230,000 35% 45% >230,000 75%
SALM.OL Salmar ASA Norway 0-3,000 15% 3,000-30,000 25% 30,000-111,000 40% 55% >111,000 75%
SBSTA.OL Schibsted ASA - A Norway 0-2,500 10% 2,500-25,000 20% 25,000-100,000 35% 45% >100,000 75%
BAKKA.OL Bakkafrost P/F Norway 0-2,000 10% 2,000-20,000 20% 20,000-80,000 35% 45% >80,000 75%
PGS.OL Petroleum Geo-Services ASA Norway 0-30,000 10% 30,000-300,000 20% 300,000-990,000 35% 45% >990,000 75%
OPERA.OL Opera Software ASA Norway 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
GSFO.OL Grieg Seafood ASA Norway 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
SKBN.OL Skandiabanken ASA Norway 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
NEL.OL NEL ASA Norway 0-160,000 20% 160,000-960,000 30% 960,000-3,200,000 50% 60% >3,200,000 75%
XXLA.OL XXL ASA Norway 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
NOD.OL Nordic Semiconductor ASA Norway 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
AXAC.OL Axactor Norway 0-170,000 25% 170,000-1,020,000 40% 1,020,000-3,400,000 50% 60% >3,400,000 75%
AKER.OL Aker ASA Norway 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
AUSS.OL Austevoll Seafood ASA Norway 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
THIN.OL Thin Film Electronics ASA Norway 0-90,000 20% 90,000-540,000 30% 540,000-1,800,000 50% 60% >1,800,000 75%
TOM.OL Tomra Systems ASA Norway 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
AKSOL.OL Aker Solutions Holding ASA Norway 0-10,000 10% 10,000-100,000 20% 100,000-480,000 35% 45% >480,000 75%
SBSTB.OL Schibsted ASA - B Norway 0-1,500 20% 1,500-7,500 30% 7,500-15,000 50% 60% >15,000 75%
GOGLT.OL Golden Ocean Group Ltd Norway 0-10,000 25% 10,000-60,000 40% 60,000-180,000 50% 60% >180,000 75%
OCY.OL Ocean Yield AS Norway 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
AVM.OL Avocet Mining PLC (No) Norway 0-24,500 25% 24,500-147,000 40% 147,000-183,750 50% 60% >183,750 75%
NEXT.OL NEXT Biometrics Group ASA Norway 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
BRGD.OL Borregaard ASA Norway 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
VEI.OL Veidekke ASA Norway 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
EPRI.OL Europri SAA Norway 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
PROTCT.OL Protector Forsikring ASA Norway 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
ENTRA.OL Entra ASA Norway 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
BWLPG.OL BW LPG Ltd Norway 0-10,000 20% 10,000-100,000 30% 100,000-280,000 50% 60% >280,000 75%
GAMIG.OL Gaming Innovation Group Inc Norway 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
HLNGH.OL Hoegh LNG Holdings Ltd Norway 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
OLT.OL Olav Thon Eiendomsselskap ASA Norway 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
SSOL.OL Scatec Solar ASA Norway 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
KOG.OL Kongsberg Gruppen AS Norway 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
SRBANK.OL SpareBank 1 SR-Bank Norway 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
IDEX.OL IDEX ASA Norway 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
ATEA.OL Atea ASA Norway 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
KOA.OL Kongsberg Automotive Holding ASA Norway 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
BWO.OL BW Offshore Ltd Norway 0-375,000 25% 375,000-2,531,250 40% 2,531,250-7,500,000 50% 60% >7,500,000 75%
NANOV.OL Nordic Nanovector ASA Norway 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
HEX.OL Hexagon Composite SAA Norway 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
NOR.OL Norwegian Energy Co AS Norway 0-1,400 25% 1,400-8,400 40% 8,400-12,250 50% 60% >12,250 75%
SNI.OL Stolt-Nielsen Ltd Norway 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
NRC.OL NRC Group ASA Norway 0-1,900 25% 1,900-9,975 40% 9,975-20,900 50% 60% >20,900 75%
HNB.OL Hafslund ASA Norway 0-1,400 25% 1,400-3,850 40% 3,850-4,900 50% 60% >4,900 75%
WEIFA.OL Weifa ASA Norway 0-4,500 25% 4,500-24,750 40% 24,750-72,000 50% 60% >72,000 75%
SEVAN.OL Sevan Marine ASA Norway 0-5,800 25% 5,800-14,500 40% 14,500-27,550 50% 60% >27,550 75%
SPU.OL Spectrum ASA Norway 0-4,200 25% 4,200-14,700 40% 14,700-23,100 50% 60% >23,100 75%
PDR.OL Petrolia SE Norway 0-35,500 25% 35,500-106,500 40% >106500 75% 75%
SEVDRL.OL Sevan Drilling Ltd Norway 0-54,600 25% 54,600-163,800 40% >163800 75% 75%
AFPC.OL African Petroleum Corp Ltd Norway 0-45,300 25% 45,300-135,900 40% 135,900-169,875 50% 60% >169,875 75%
IOX.OL InterOil Exploration and Production ASA Norway 0-54,300 25% 54,300-162,900 40% >162900 75% 75%
JINS.OL Jinhui Shipping & Transportation Ltd Norway 0-21,500 25% 21,500-64,500 40% >64500 75% 75%
DOF.OL DOF ASA Norway 0-109,700 25% 109,700-438,800 40% 438,800-685,625 50% 60% >685,625 75%
DESSC.OL Deep Sea Supply PLC Norway 0-70,000 25% 70,000-420,000 40% 420,000-770,000 50% 60% >770,000 75%
NPRO.OL Norwegian Property ASA Norway 0-9,500 25% 9,500-54,625 40% 54,625-95,000 50% 60% >95,000 75%
AKAS.OL Akastor ASA Norway 0-12,400 25% 12,400-74,400 40% 74,400-89,900 50% 60% >89,900 75%
PLCS.OL Polarcus Ltd Norway 0-241,800 25% 241,800-725,400 40% 725,400-1,088,100 50% 60% >1,088,100 75%
DLPH.OL Dolphin Group AS Norway 0-967,100 25% 967,100-1,934,200 40% 1,934,200-4,593,725 50% 60% >4,593,725 75%
SIOFF.OL Siem Offshore Inc Norway 0-50,900 25% 50,900-101,800 40% >101800 75% 75%
SONG.OL Songa Offshore Norway 0-531,900 25% 531,900-3,058,425 40% 3,058,425-6,914,700 50% 60% >6,914,700 75%
QEC.OL Questerre Energy Corp (No) Norway 0-85,100 25% 85,100-255,300 40% 255,300-382,950 50% 60% >382,950 75%
ITXX.OL Intex Resources ASA Norway 0-193,400 25% 193,400-580,200 40% >580200 75% 75%
PRSO.OL Prosafe SE Norway 0-149,800 25% 149,800-898,800 40% 898,800-2,996,000 50% 60% >2,996,000 75%
WRLT.OL Wentworth Resources Ltd Norway 0-36,800 25% 36,800-110,400 40% 110,400-128,800 50% 60% >128,800 75%
NSG.OL Norske Skogindustrier ASA Norway 0-35,800 25% 35,800-205,850 40% 205,850-429,600 50% 60% >429,600 75%
SSCOM.OL The Scottish Salmon Company PLC Norway 0-14,100 25% 14,100-38,775 40% 38,775-63,450 50% 60% >63,450 75%
ARCHER.OL Archer Ltd Norway 0-26,100 25% 26,100-163,125 40% 163,125-522,000 50% 60% >522,000 75%
KVAER.OL Kvaerner ASA Norway 0-13,100 25% 13,100-78,600 40% 78,600-262,000 50% 60% >262,000 75%
GOGLTr.OL Golden Ocean Group Limited Norway 0-3,200 25% 3,200-20,000 40% 20,000-64,000 50% 60% >64,000 75%
FOE.OL Fred Olsen Energy ASA Norway 0-7,700 25% 7,700-44,275 40% 44,275-154,000 50% 60% >154,000 75%
AVANCE.OL Avance Gas Holding Ltd Norway 0-6,300 25% 6,300-39,375 40% 39,375-126,000 50% 60% >126,000 75%
AMSCA.OL American Shipping Company ASA Norway 0-4,300 25% 4,300-24,725 40% 24,725-43,000 50% 60% >43,000 75%
AWDR.OL Awilco Drilling PLC Norway 0-3,400 25% 3,400-10,200 40% >10200 75% 75%
RENO.OL RenoNorden ASA Norway 0-5,200 25% 5,200-15,600 40% 15,600-24,700 50% 60% >24,700 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 33 of 103
SBOO.OL Selvaag Bolig ASA Norway 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
TANIL.OL Tanker Investments Limited Norway 0-2,200 25% 2,200-14,850 40% 14,850-44,000 50% 60% >44,000 75%
EKO.OL Ekornes ASA Norway 0-1,000 25% 1,000-6,000 40% 6,000-9,750 50% 60% >9,750 75%
SANT.LS Banco Santander SA (Po) Portugal 0-276,300 10% 276,300-1,450,575 20% 1,450,575-5,802,300 35% 45% >5,802,300 75%
GALP.LS Galp Energia SGPS SA Portugal 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
EDP.LS EDP - Energias de Portugal SA Portugal 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
JMT.LS Jeronimo Martins SGPS SA Portugal 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
BCP.LS Banco Comercial Portugues SA Portugal 0-4,075,000 10% 4,075,000-25,468,750 20% 25,468,750-81,500,000 35% 45% >81,500,000 75%
NOS.LS NOS SGPS Portugal 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
YSO.LS Sonae SGPS SA Portugal 0-80,000 15% 80,000-480,000 25% 480,000-1,600,000 40% 55% >1,600,000 75%
CTT.LS CTT-Correios de Portugal SA Portugal 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
BBPI.LS Banco BPI SA Portugal 0-50,000 20% 50,000-300,000 30% 300,000-1,000,000 50% 60% >1,000,000 75%
EDPR.LS EDP Renovaveis SA Portugal 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
NVGR.LS The Navigator Company SA Portugal 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
RENE.LS Redes Energeticas Nacionais SGPS SA Portugal 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
PHRA.LS Pharol SGPS SA Portugal 0-160,000 20% 160,000-960,000 30% 960,000-3,200,000 50% 60% >3,200,000 75%
ALSS.LS Altri SGPS SA Portugal 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
MOTA.LS Mota-Engil SGPS SA Portugal 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
IBS.LS Ibersol SGPS SA Portugal 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
SEM.LS Semapa-Sociedade de Investimento e Gestao Portugal 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
CORA.LS Corticeira Amorim SGPS SA Portugal 0-1,400 25% 1,400-8,400 40% 8,400-15,400 50% 60% >15,400 75%
NBA.LS Novabase SGPS SA Portugal 0-5,700 25% 5,700-15,675 40% >15675 75% 75%
CPR.LS Cimpor Cimentos de Portugal SGPS SA Portugal 0-35,500 25% 35,500-106,500 40% >106500 75% 75%
TDSA.LS Teixeira Duarte SA Portugal 0-51,000 25% 51,000-153,000 40% >153000 75% 75%
MARTI.LS Martifer SGPS SA Portugal 0-54,300 25% 54,300-162,900 40% >162900 75% 75%
IMPA.LS Impresa SGPS SA Portugal 0-44,900 25% 44,900-134,700 40% >134700 75% 75%
SCOAE.LS SDC - Investimentos SGPS S.A. Portugal 0-376,400 25% 376,400-1,035,100 40% >1035100 75% 75%
SONI.LS Sonae Industria SGPS SA Portugal 0-2,047,000 25% 2,047,000-6,141,000 40% >6141000 75% 75%
INA.LS INAPA - Investimentos Participacoes e Gestao SA Portugal 0-92,600 25% 92,600-277,800 40% >277800 75% 75%
CFN.LS Cofina SGPS SA Portugal 0-33,500 25% 33,500-100,500 40% >100500 75% 75%
SONAC.LS Sonae Capital SGPS SA Portugal 0-16,700 25% 16,700-100,200 40% 100,200-146,125 50% 60% >146,125 75%
SNC.LS Sonaecom - SGPS SA Portugal 0-4,300 25% 4,300-15,050 40% 15,050-22,575 50% 60% >22,575 75%
DBSM.SI DBS Group Holdings Ltd Singapore 0-100,000 10% 100,000-575,000 20% 575,000-2,300,000 35% 45% >2,300,000 75%
STEL.SI Singapore Telecommunications Ltd (SGX) Singapore 0-350,000 10% 350,000-2,187,500 20% 2,187,500-8,750,000 35% 45% >8,750,000 75%
UOBH.SI United Overseas Bank Ltd Singapore 0-45,000 10% 45,000-450,000 20% 450,000-1,485,000 35% 45% >1,485,000 75%
OCBC.SI Oversea-Chinese Banking Corp Ltd Singapore 0-90,000 10% 90,000-900,000 20% 900,000-2,970,000 35% 45% >2,970,000 75%
JARD.SI Jardine Matheson Holdings Ltd Singapore 0-8,000 10% 8,000-50,000 20% 50,000-208,000 35% 45% >208,000 75%
CATL.SI CapitaLand Ltd Singapore 0-170,000 10% 170,000-1,487,500 20% 1,487,500-5,440,000 35% 45% >5,440,000 75%
KPLM.SI Keppel Corp Ltd Singapore 0-100,000 10% 100,000-1,000,000 20% 1,000,000-3,000,000 35% 45% >3,000,000 75%
GLPL.SI Global Logistic Properties Ltd Singapore 0-275,000 10% 275,000-3,025,000 20% 3,025,000-9,625,000 35% 45% >9,625,000 75%
HKLD.SI Hongkong Land Holdings Ltd Singapore 0-45,000 10% 45,000-450,000 20% 450,000-1,485,000 35% 45% >1,485,000 75%
WLIL.SI Wilmar International Ltd Singapore 0-130,000 10% 130,000-1,560,000 20% 1,560,000-4,030,000 35% 45% >4,030,000 75%
AEMN.SI Ascendas Real Estate Investment Trust Singapore 0-160,000 10% 160,000-1,520,000 20% 1,520,000-4,960,000 35% 45% >4,960,000 75%
CMLT.SI CapitaMall Trust Singapore 0-140,000 10% 140,000-1,540,000 20% 1,540,000-4,480,000 35% 45% >4,480,000 75%
CMDG.SI ComfortDelGro Corp Ltd Singapore 0-100,000 10% 100,000-1,000,000 20% 1,000,000-3,500,000 35% 45% >3,500,000 75%
AGL.AX AGL Energy Ltd Singapore 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
CTDM.SI City Developments Ltd Singapore 0-30,000 10% 30,000-300,000 20% 300,000-990,000 35% 45% >990,000 75%
SIAL.SI Singapore Airlines Ltd Singapore 0-25,000 10% 25,000-250,000 20% 250,000-825,000 35% 45% >825,000 75%
MPL.AX Medibank Pvt Ltd Singapore 0-100,000 5% 100,000-1,000,000 10% 1,000,000-6,000,000 20% 40% >6,000,000 75%
JCYC.SI Jardine Cycle & Carriage Ltd Singapore 0-6,000 10% 6,000-60,000 20% 60,000-210,000 35% 45% >210,000 75%
SCIL.SI Sembcorp Industries Ltd Singapore 0-90,000 10% 90,000-900,000 20% 900,000-2,970,000 35% 45% >2,970,000 75%
TBEV.SI Thai Beverage PCL Singapore 0-250,000 20% 250,000-2,500,000 30% 2,500,000-8,000,000 50% 60% >8,000,000 75%
SPRM.SI Singapore Press Holdings Ltd Singapore 0-60,000 10% 60,000-600,000 20% 600,000-1,980,000 35% 45% >1,980,000 75%
SGXL.SI Singapore Exchange Ltd Singapore 0-30,000 10% 30,000-300,000 20% 300,000-990,000 35% 45% >990,000 75%
BAL.AX Bellamy's Australia Ltd Singapore 0-15,000 20% 15,000-150,000 30% 150,000-525,000 50% 60% >525,000 75%
GENS.SI Genting Singapore PLC Singapore 0-275,000 10% 275,000-3,025,000 20% 3,025,000-9,075,000 35% 45% >9,075,000 75%
CACT.SI CapitaCommercial Trust Singapore 0-120,000 10% 120,000-990,000 20% 990,000-3,960,000 35% 45% >3,960,000 75%
JSH.SI Jardine Strategic Holdings Ltd Singapore 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
NOBG.SI Noble Group Ltd Singapore 0-1,275,000 20% 1,275,000-7,650,000 30% 7,650,000-25,500,000 50% 60% >25,500,000 75%
STEG.SI Singapore Technologies Engineering Ltd Singapore 0-50,000 10% 50,000-500,000 20% 500,000-1,500,000 35% 45% >1,500,000 75%
NEPS.SI Neptune Orient Lines Ltd Singapore 0-130,000 15% 130,000-780,000 25% 780,000-2,600,000 40% 55% >2,600,000 75%
SATS.SI SATS Ltd Singapore 0-35,000 15% 35,000-350,000 25% 350,000-1,015,000 40% 55% >1,015,000 75%
SPOS.SI Singapore Post Ltd Singapore 0-110,000 15% 110,000-660,000 25% 660,000-2,200,000 40% 55% >2,200,000 75%
STAR.SI StarHub Ltd Singapore 0-45,000 10% 45,000-450,000 20% 450,000-1,485,000 35% 45% >1,485,000 75%
HPHT.SI Hutchison Port Holdings Trust Singapore 0-240,000 10% 240,000-2,400,000 20% 2,400,000-7,440,000 35% 45% >7,440,000 75%
SUNT.SI Suntec Real Estate Investment Trust Singapore 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
YAZG.SI Yangzijiang Shipbuilding Holdings Ltd Singapore 0-180,000 10% 180,000-1,980,000 20% 1,980,000-5,940,000 35% 45% >5,940,000 75%
SPAU.SI AusNet Services Singapore 0-80,300 10% 80,300-803,000 20% 803,000-2,489,300 35% 45% >2,489,300 75%
FRLD.SI First Resources Ltd Singapore 0-70,000 15% 70,000-420,000 25% 420,000-1,400,000 40% 55% >1,400,000 75%
GAGR.SI Golden Agri-Resources Ltd Singapore 0-350,000 10% 350,000-3,500,000 20% 3,500,000-10,150,000 35% 45% >10,150,000 75%
MAPE.SI Mapletree Greater China Commercial Trust Singapore 0-110,000 15% 110,000-660,000 25% 660,000-2,200,000 40% 55% >2,200,000 75%
SHNG.SI Shangri-La Asia Ltd Singapore 0-83,900 25% 83,900-503,400 40% 503,400-1,342,400 50% 60% >1,342,400 75%
SMRT.SI SMRT Corp Ltd Singapore 0-70,000 20% 70,000-420,000 30% 420,000-1,330,000 50% 60% >1,330,000 75%
UTOS.SI UOL Group Ltd Singapore 0-20,000 10% 20,000-200,000 20% 200,000-660,000 35% 45% >660,000 75%
MONE.SI M1 Ltd Singapore 0-45,000 15% 45,000-270,000 25% 270,000-900,000 40% 55% >900,000 75%
MACT.SI Mapletree Commercial Trust Singapore 0-70,000 15% 70,000-420,000 25% 420,000-1,400,000 40% 55% >1,400,000 75%
YOMA.SI Yoma Strategic Holdings Ltd Singapore 0-190,000 20% 190,000-997,500 30% 997,500-3,800,000 50% 60% >3,800,000 75%
MAPL.SI Mapletree Logistics Trust Singapore 0-100,000 15% 100,000-600,000 25% 600,000-2,000,000 40% 55% >2,000,000 75%
MAPI.SI Mapletree Industrial Trust Singapore 0-60,000 20% 60,000-345,000 30% 345,000-1,200,000 50% 60% >1,200,000 75%
KASA.SI Keppel REIT Singapore 0-90,000 20% 90,000-540,000 30% 540,000-1,800,000 50% 60% >1,800,000 75%
REG.AX Regis Healthcare Ltd Singapore 0-25,000 20% 25,000-250,000 30% 250,000-400,000 50% 60% >400,000 75%
BEST.SI Best World International Ltd Singapore 0-60,000 20% 60,000-345,000 30% 345,000-1,200,000 50% 60% >1,200,000 75%
EZHL.SI Ezion Holdings Ltd Singapore 0-375,000 20% 375,000-2,531,250 30% 2,531,250-7,500,000 50% 60% >7,500,000 75%
VENM.SI Venture Corp Ltd Singapore 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
SCMN.SI SembCorp Marine Ltd Singapore 0-70,000 10% 70,000-700,000 20% 700,000-2,520,000 35% 45% >2,520,000 75%
ACRO.SI Acromec Limited Singapore 0-100,000 25% 100,000-600,000 40% 600,000-1,100,000 50% 60% >1,100,000 75%
EHE.AX Estia Health Ltd Singapore 0-25,000 20% 25,000-250,000 30% 250,000-750,000 50% 60% >750,000 75%
YNLG.SI Yanlord Land Group Ltd Singapore 0-60,000 20% 60,000-345,000 30% 345,000-1,140,000 50% 60% >1,140,000 75%
DAIR.SI Dairy Farm International Holdings Ltd Singapore 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
CNHL.SI Cityneon Holdings Limited Singapore 0-80,000 25% 80,000-480,000 40% 480,000-1,520,000 50% 60% >1,520,000 75%
EZRA.SI Ezra Holdings Ltd Singapore 0-1,800,000 25% 1,800,000-9,900,000 40% 9,900,000-36,000,000 50% 60% >36,000,000 75%
HTLH.SI HTL International Holdings Ltd Singapore 0-70,000 20% 70,000-420,000 30% 420,000-1,400,000 50% 60% >1,400,000 75%
RAFG.SI Raffles Medical Group Ltd Singapore 0-45,000 20% 45,000-270,000 30% 270,000-855,000 50% 60% >855,000 75%
WTHS.SI Wing Tai Holdings Ltd Singapore 0-35,000 20% 35,000-210,000 30% 210,000-665,000 50% 60% >665,000 75%
KEPE.SI Keppel DC REIT Singapore 0-50,000 20% 50,000-300,000 30% 300,000-950,000 50% 60% >950,000 75%
ASRT.SI Ascott Residence Trust Singapore 0-50,000 20% 50,000-300,000 30% 300,000-950,000 50% 60% >950,000 75%
CNAO.SI China Aviation Oil Singapore Corp Ltd Singapore 0-40,000 20% 40,000-240,000 30% 240,000-760,000 50% 60% >760,000 75%
CALT.SI Cache Logistics Trust Singapore 0-60,000 20% 60,000-345,000 30% 345,000-1,140,000 50% 60% >1,140,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 34 of 103
INNV.SI Innovalues Ltd Singapore 0-60,000 20% 60,000-345,000 30% 345,000-1,140,000 50% 60% >1,140,000 75%
FCRT.SI Frasers Centrepoint Trust Singapore 0-25,000 20% 25,000-150,000 30% 150,000-475,000 50% 60% >475,000 75%
ASHP.SI Ascendas Hospitality Trust Singapore 0-70,000 20% 70,000-420,000 30% 420,000-1,400,000 50% 60% >1,400,000 75%
SOGF.SI Sino Grandness Food Industry Group Ltd Singapore 0-100,000 25% 100,000-600,000 40% 600,000-2,000,000 50% 60% >2,000,000 75%
SLVX.SI Silverlake Axis Ltd Singapore 0-70,000 20% 70,000-420,000 30% 420,000-1,260,000 50% 60% >1,260,000 75%
CDLT.SI CDL Hospitality Trusts Singapore 0-35,000 20% 35,000-210,000 30% 210,000-700,000 50% 60% >700,000 75%
SHEN.SI Sheng Siong Group Ltd Singapore 0-45,000 20% 45,000-270,000 30% 270,000-900,000 50% 60% >900,000 75%
COSC.SI Cosco Corp Singapore Ltd Singapore 0-160,000 25% 160,000-960,000 40% 960,000-3,040,000 50% 60% >3,040,000 75%
CEWL.SI China Everbright Water Ltd Singapore 0-70,000 25% 70,000-420,000 40% 420,000-1,330,000 50% 60% >1,330,000 75%
ASIA.SI Asian Pay Television Trust Singapore 0-70,000 25% 70,000-420,000 40% 420,000-1,400,000 50% 60% >1,400,000 75%
MM2A.SI mm2 Asia Ltd Singapore 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
SIIC.SI SIIC Environment Holdings Ltd Singapore 0-60,000 25% 60,000-345,000 40% 345,000-1,080,000 50% 60% >1,080,000 75%
PWLR.SI Parkway Life Real Estate Investment Trust Singapore 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
KEPL.SI Keppel Infrastructure Trust Singapore 0-70,000 25% 70,000-420,000 40% 420,000-1,330,000 50% 60% >1,330,000 75%
UTES.SI United Engineers Ltd Singapore 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
JAPF.SI Japfa Limited Singapore 0-40,000 25% 40,000-240,000 40% 240,000-760,000 50% 60% >760,000 75%
OUER.SI OUE Hospitality Trust Singapore 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
HALC.SI Halcyon Agri Corporation Limited Singapore 0-45,000 25% 45,000-270,000 40% 270,000-855,000 50% 60% >855,000 75%
ACCO.SI Accordia Golf Trust Singapore 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
STHL.SI Starhill Global REIT Singapore 0-40,000 25% 40,000-240,000 40% 240,000-760,000 50% 60% >760,000 75%
OKHG.SI OKH Global Ltd Singapore 0-400,000 25% 400,000-2,500,000 40% 2,500,000-7,600,000 50% 60% >7,600,000 75%
CRCT.SI CapitaRetail China Trust Singapore 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
OLAM.SI Olam International Ltd Singapore 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
CROE.SI Croesus Retail Trust Singapore 0-35,000 25% 35,000-210,000 40% 210,000-665,000 50% 60% >665,000 75%
SPGP.SI Super Group Ltd (SGX) Singapore 0-35,000 25% 35,000-210,000 40% 210,000-665,000 50% 60% >665,000 75%
FRCR.SI Frasers Commercial Trust Singapore 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
VARD.SI Vard Holdings Ltd Singapore 0-190,000 25% 190,000-997,500 40% 997,500-3,610,000 50% 60% >3,610,000 75%
SHJ.AX Shine Corporate Ltd Singapore 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
SBSR.SI Soilbuild Business Space REIT Singapore 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
SIAE.SI SIA Engineering Co Ltd Singapore 0-6,000 20% 6,000-60,000 30% 60,000-108,000 50% 60% >108,000 75%
LMRT.SI Lippo Malls Indonesia Retail Trust Singapore 0-60,000 25% 60,000-345,000 40% 345,000-1,200,000 50% 60% >1,200,000 75%
ROWS.SI Rowsley Ltd Singapore 0-190,000 25% 190,000-997,500 40% 997,500-3,610,000 50% 60% >3,610,000 75%
QMDT.SI Q&M Dental Group Singapore Ltd Singapore 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
CMIT.SI Cambridge Industrial Trust Singapore 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
GELA.SI Great Eastern Holdings Ltd Singapore 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
ARAM.SI ARA Asset Management Ltd Singapore 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
HYFL.SI Hyflux Ltd Singapore 0-40,000 25% 40,000-240,000 40% 240,000-760,000 50% 60% >760,000 75%
GEOE.SI Geo Energy Resources Ltd Singapore 0-160,000 25% 160,000-960,000 40% 960,000-3,040,000 50% 60% >3,040,000 75%
RELI.SI Religare Health Trust Singapore 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
YING.SI Ying Li International Real Estate Ltd Singapore 0-140,000 25% 140,000-840,000 40% 840,000-2,660,000 50% 60% >2,660,000 75%
CWTD.SI CWT Ltd Singapore 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
CORD.SI Cordlife Group Ltd Singapore 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
DMPL.SI Del Monte Pacific Limited Singapore 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
HPAR.SI Haw Par Corp Ltd Singapore 0-2,000 25% 2,000-10,000 40% 10,000-18,500 50% 60% >18,500 75%
MOIL.SI Mandarin Oriental International Ltd Singapore 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
BSES.SI Bukit Sembawang Estates Ltd Singapore 0-3,900 25% 3,900-9,750 40% 9,750-17,550 50% 60% >17,550 75%
GENH.SI Genting Hong Kong Ltd (SGX) Singapore 0-50,600 25% 50,600-303,600 40% 303,600-1,012,000 50% 60% >1,012,000 75%
PSQ.AX Pacific Smiles Group Ltd Singapore 0-7,200 25% 7,200-19,800 40% 19,800-36,000 50% 60% >36,000 75%
HLSF.SI Hong Leong Finance Ltd Singapore 0-8,000 25% 8,000-26,000 40% >26000 75% 75%
SARI.SI Sarin Technologies Ltd Singapore 0-9,500 25% 9,500-54,625 40% 54,625-104,500 50% 60% >104,500 75%
UICS.SI United Industrial Corp Ltd Singapore 0-6,500 25% 6,500-19,500 40% 19,500-30,875 50% 60% >30,875 75%
BRET.SI BreadTalk Group Ltd Singapore 0-17,700 25% 17,700-53,100 40% 53,100-61,950 50% 60% >61,950 75%
SBVV.SI SBS Transit Ltd Singapore 0-7,700 25% 7,700-25,025 40% >25025 75% 75%
SINV.SI Sing Investments & Finance Ltd Singapore 0-15,400 25% 15,400-46,200 40% >46200 75% 75%
FRCT.SI Frasers Centrepoint Ltd Singapore 0-11,700 25% 11,700-70,200 40% 70,200-108,225 50% 60% >108,225 75%
SUND.SI Sunningdale Tech Ltd Singapore 0-17,100 25% 17,100-98,325 40% 98,325-115,425 50% 60% >115,425 75%
GLLI.SI GL Ltd Singapore 0-22,500 25% 22,500-140,625 40% 140,625-225,000 50% 60% >225,000 75%
AVJH.SI AVJennings Ltd (SGX) Singapore 0-28,100 25% 28,100-84,300 40% 84,300-112,400 50% 60% >112,400 75%
GMGG.SI GMG Global Ltd Singapore 0-32,900 25% 32,900-131,600 40% 131,600-205,625 50% 60% >205,625 75%
LKH.SI Low Keng Huat Singapore Ltd Singapore 0-32,900 25% 32,900-98,700 40% >98700 75% 75%
IFAR.SI Indofood Agri Resources Ltd Singapore 0-38,200 25% 38,200-229,200 40% 229,200-458,400 50% 60% >458,400 75%
LIBG.SI Lian Beng Group Ltd Singapore 0-38,200 25% 38,200-114,600 40% 114,600-210,100 50% 60% >210,100 75%
HLAA.SI Hong Leong Asia Ltd Singapore 0-24,500 25% 24,500-73,500 40% >73500 75% 75%
UAFC.SI Uni-Asia Holdings Ltd Singapore 0-17,500 25% 17,500-56,875 40% >56875 75% 75%
FRNM.SI Fraser and Neave Ltd Singapore 0-8,300 25% 8,300-24,900 40% >24900 75% 75%
AMRA.SI Amara Holdings Ltd Singapore 0-44,400 25% 44,400-133,200 40% >133200 75% 75%
LOHO.SI Longcheer Holdings Ltd Singapore 0-16,000 25% 16,000-52,000 40% >52000 75% 75%
FAEH.SI Far East Hospitality Trust Singapore 0-29,600 25% 29,600-177,600 40% 177,600-384,800 50% 60% >384,800 75%
PANU.SI Pan-United Corp Ltd Singapore 0-29,600 25% 29,600-88,800 40% >88800 75% 75%
CREA.SI Creative Technology Ltd Singapore 0-18,400 25% 18,400-55,200 40% >55200 75% 75%
GUOC.SI GuocoLand Ltd Singapore 0-8,900 25% 8,900-55,625 40% 55,625-66,750 50% 60% >66,750 75%
FEDL.SI Federal International 2000 Ltd Singapore 0-63,400 25% 63,400-190,200 40% >190200 75% 75%
HUPS.SI HupSteel Ltd Singapore 0-31,700 25% 31,700-95,100 40% >95100 75% 75%
OKPH.SI OKP Holdings Ltd Singapore 0-63,400 25% 63,400-190,200 40% >190200 75% 75%
AEM.SI AEM Holdings Ltd Singapore 0-36,600 25% 36,600-109,800 40% >109800 75% 75%
DELO.SI Delong Holdings Ltd Singapore 0-58,200 25% 58,200-174,600 40% >174600 75% 75%
FEMP.SI Food Empire Holdings Ltd Singapore 0-58,200 25% 58,200-174,600 40% >174600 75% 75%
NTYO.SI New Toyo International Holdings Ltd Singapore 0-71,000 25% 71,000-213,000 40% >213000 75% 75%
SINA.SI Sinarmas Land Ltd Singapore 0-35,500 25% 35,500-213,000 40% 213,000-461,500 50% 60% >461,500 75%
BOUS.SI Boustead Projects Pte Ltd Singapore 0-26,100 25% 26,100-78,300 40% >78300 75% 75%
BRWY.SI Broadway Industrial Group Ltd Singapore 0-98,600 25% 98,600-295,800 40% >295800 75% 75%
FARE.SI Far East Orchard Ltd Singapore 0-11,600 25% 11,600-34,800 40% >34800 75% 75%
HNGX.SI Hengxin Technology Ltd Singapore 0-61,200 25% 61,200-183,600 40% >183600 75% 75%
PERE.SI Perennial Real Estate Holdings Ltd Singapore 0-20,400 25% 20,400-122,400 40% 122,400-183,600 50% 60% >183,600 75%
SINW.SI Sinwa Ltd Singapore 0-69,600 25% 69,600-208,800 40% >208800 75% 75%
INTK.SI InnoTek Ltd Singapore 0-94,400 25% 94,400-283,200 40% >283200 75% 75%
SAMU.SI Samudera Shipping Line Ltd Singapore 0-99,700 25% 99,700-299,100 40% >299100 75% 75%
CIVM.SI Civmec Ltd Singapore 0-46,700 25% 46,700-140,100 40% >140100 75% 75%
ELPZ.SI Ellipsiz Ltd Singapore 0-46,700 25% 46,700-140,100 40% 140,100-175,125 50% 60% >175,125 75%
SGHC.SI Sin Ghee Huat Corp Ltd Singapore 0-93,400 25% 93,400-280,200 40% >280200 75% 75%
SUNP.SI Sunpower Group Ltd Singapore 0-46,700 25% 46,700-280,200 40% 280,200-455,325 50% 60% >455,325 75%
TAIS.SI Tai Sin Electric Ltd Singapore 0-46,700 25% 46,700-140,100 40% >140100 75% 75%
PACI.SI Pacific Radiance Ltd Singapore 0-119,900 25% 119,900-359,700 40% 359,700-419,650 50% 60% >419,650 75%
SWBR.SI Swiber Holdings Ltd Singapore 0-162,800 25% 162,800-488,400 40% >488400 75% 75%
ADVA.SI Advanced Holdings Ltd Singapore 0-84,500 25% 84,500-253,500 40% >253500 75% 75%
HSEN.SI Hiap Seng Engineering Ltd Singapore 0-136,500 25% 136,500-409,500 40% >409500 75% 75%
PGUN.SI Penguin International Ltd Singapore 0-84,500 25% 84,500-253,500 40% >253500 75% 75%
SABA.SI Sabana Shari'ah Compliant Industrial REIT Singapore 0-33,800 25% 33,800-202,800 40% 202,800-304,200 50% 60% >304,200 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 35 of 103
TAT.SI Tat Hong Holdings Ltd Singapore 0-33,800 25% 33,800-202,800 40% 202,800-439,400 50% 60% >439,400 75%
STRT.SI The Stratech Group Limited Singapore 0-118,300 25% 118,300-354,900 40% 354,900-443,625 50% 60% >443,625 75%
TRKL.SI Trek 2000 International Ltd Singapore 0-95,400 25% 95,400-286,200 40% >286200 75% 75%
ASLM.SI ASL Marine Holdings Ltd Singapore 0-110,900 25% 110,900-332,700 40% >332700 75% 75%
FEGL.SI Falcon Energy Group Ltd Singapore 0-110,900 25% 110,900-332,700 40% >332700 75% 75%
SVCH.SI SunVic Chemical Holdings Ltd Singapore 0-161,300 25% 161,300-483,900 40% >483900 75% 75%
KSTL.SI KS Energy Ltd Singapore 0-161,300 25% 161,300-483,900 40% >483900 75% 75%
OCEA.SI Ocean Sky International Limited Singapore 0-305,900 25% 305,900-917,700 40% >917700 75% 75%
MIEL.SI Mirach Energy Ltd Singapore 0-264,800 25% 264,800-794,400 40% >794400 75% 75%
RIMT.SI Rickmers Maritime Singapore 0-264,800 25% 264,800-794,400 40% 794,400-1,390,200 50% 60% >1,390,200 75%
HONG.SI Hong Fok Corp Ltd Singapore 0-25,900 25% 25,900-77,700 40% >77700 75% 75%
CHEN.SI China Environment Ltd Singapore 0-479,500 25% 479,500-2,996,875 40% 2,996,875-4,675,125 50% 60% >4,675,125 75%
SPIC.SI S I2I Ltd Singapore 0-13,700 25% 13,700-41,100 40% >41100 75% 75%
DMHL.SI Dyna-Mac Holdings Ltd Singapore 0-182,900 25% 182,900-548,700 40% >548700 75% 75%
SICL.SI MMP Resources Ltd Singapore 0-572,300 25% 572,300-1,430,750 40% 1,430,750-3,147,650 50% 60% >3,147,650 75%
PSY.AX Panorama Synergy Ltd Singapore 0-176,400 25% 176,400-529,200 40% >529200 75% 75%
AVIC.SI AVIC International Maritime Holdings Ltd Singapore 0-369,600 25% 369,600-1,016,400 40% >1016400 75% 75%
FUYU.SI Fu Yu Corporation Limited Singapore 0-89,600 25% 89,600-560,000 40% 560,000-985,600 50% 60% >985,600 75%
GLNV.SI Global Investments Ltd Singapore 0-134,400 25% 134,400-403,200 40% 403,200-571,200 50% 60% >571,200 75%
LUZH.SI Luzhou Bio-Chem Technology Ltd Singapore 0-739,200 25% 739,200-2,032,800 40% 2,032,800-2,402,400 50% 60% >2,402,400 75%
SWCO.SI Swissco Holdings Limited Singapore 0-369,600 25% 369,600-1,016,400 40% >1016400 75% 75%
AEHL.SI Asia Enterprises Holding Ltd Singapore 0-100,800 25% 100,800-302,400 40% >302400 75% 75%
GLVT.SI Gallant Venture Ltd Singapore 0-115,200 25% 115,200-345,600 40% >345600 75% 75%
AUSG.SI Ausgroup Ltd Singapore 0-432,700 25% 432,700-2,488,025 40% 2,488,025-3,894,300 50% 60% >3,894,300 75%
OUEH.SI Ouhua Energy Holdings Ltd Singapore 0-432,700 25% 432,700-1,514,450 40% >1514450 75% 75%
JADA.SI Jadason Enterprises Ltd Singapore 0-933,700 25% 933,700-3,034,525 40% >3034525 75% 75%
MRTL.SI Mercator Lines Singapore Ltd Singapore 0-933,700 25% 933,700-3,034,525 40% >3034525 75% 75%
CSIL.SI China Sports International Ltd Singapore 0-2,956,700 25% 2,956,700-8,870,100 40% >8870100 75% 75%
ATTI.SI Attilan Group Singapore 0-4,435,000 25% 4,435,000-8,870,000 40% >8870000 75% 75%
BLUM.SI Blumont Group Ltd Singapore 0-17,740,000 25% 17,740,000-35,480,000 40% >35480000 75% 75%
LION.SI LionGold Corp Ltd Singapore 0-8,870,000 25% 8,870,000-17,740,000 40% >17740000 75% 75%
PNHG.SI Pan Hong Property Group Ltd Singapore 0-88,700 25% 88,700-177,400 40% >177400 75% 75%
YNAM.SI Yongnam Holdings Ltd Singapore 0-88,700 25% 88,700-177,400 40% 177,400-310,450 50% 60% >310,450 75%
CEDA.SI Cedar Strategic Holdings Ltd Singapore 0-5,913,300 25% 5,913,300-20,696,550 40% >20696550 75% 75%
CSCH.SI CSC Holdings Ltd Singapore 0-771,300 25% 771,300-2,506,725 40% >2506725 75% 75%
HACH.SI Hu An Cable Holdings Ltd Singapore 0-5,913,300 25% 5,913,300-20,696,550 40% >20696550 75% 75%
METE.SI Metech International Ltd Singapore 0-5,913,300 25% 5,913,300-20,696,550 40% >20696550 75% 75%
OCGL.SI Oceanus Group Ltd Singapore 0-5,913,300 25% 5,913,300-20,696,550 40% >20696550 75% 75%
EUCN.SI Eucon Holding Ltd Singapore 0-1,364,600 25% 1,364,600-4,093,800 40% >4093800 75% 75%
JUTN.SI Jiutian Chemical Group Ltd Singapore 0-1,364,600 25% 1,364,600-4,093,800 40% >4093800 75% 75%
SNSR.SI Sinostar PEC Holdings Ltd Singapore 0-208,700 25% 208,700-626,100 40% >626100 75% 75%
CEGL.SI China Essence Group Ltd Singapore 0-1,267,100 25% 1,267,100-5,068,400 40% 5,068,400-7,602,600 50% 60% >7,602,600 75%
INTR.SI Interra Resources Ltd Singapore 0-334,700 25% 334,700-1,004,100 40% 1,004,100-1,506,150 50% 60% >1,506,150 75%
WPML.SI World Precision Machinery Ltd Singapore 0-65,700 25% 65,700-197,100 40% >197100 75% 75%
RHPG.SI RH PetroGas Ltd Singapore 0-219,000 25% 219,000-657,000 40% >657000 75% 75%
CTTG.SI China Taisan Technology Group Holdings Ltd Singapore 0-243,000 25% 243,000-729,000 40% >729000 75% 75%
FULL.SI Full Apex Holdings Ltd Singapore 0-591,300 25% 591,300-2,069,550 40% >2069550 75% 75%
GTCL.SI Global Testing Corp Ltd Singapore 0-16,200 25% 16,200-48,600 40% >48600 75% 75%
HGMM.SI HG Metal Manufacturing Ltd Singapore 0-48,600 25% 48,600-145,800 40% >145800 75% 75%
HBEE.SI Ho Bee Investment Ltd Singapore 0-8,100 25% 8,100-50,625 40% 50,625-72,900 50% 60% >72,900 75%
SZNR.SI Saizen REIT Singapore 0-286,100 25% 286,100-858,300 40% >858300 75% 75%
IFAS.SI iFAST Corp Ltd Singapore 0-19,600 25% 19,600-58,800 40% 58,800-73,500 50% 60% >73,500 75%
MTHL.SI Metro Holdings Ltd Singapore 0-19,600 25% 19,600-117,600 40% 117,600-215,600 50% 60% >215,600 75%
NUTR.SI NutryFarm International Ltd Singapore 0-98,000 25% 98,000-294,000 40% >294000 75% 75%
WHHL.SI Wee Hur Holdings Ltd Singapore 0-72,400 25% 72,400-217,200 40% >217200 75% 75%
NMCG.SI Nam Cheong Ltd Singapore 0-377,400 25% 377,400-2,453,100 40% 2,453,100-2,924,850 50% 60% >2,924,850 75%
KRIS.SI KrisEnergy Ltd Singapore 0-192,800 25% 192,800-578,400 40% 578,400-771,200 50% 60% >771,200 75%
CEFC.SI CEFC International Ltd Singapore 0-96,400 25% 96,400-289,200 40% 289,200-433,800 50% 60% >433,800 75%
TRIY.SI Triyards holdings Ltd Singapore 0-64,500 25% 64,500-193,500 40% >193500 75% 75%
EHHL.SI Enviro-Hub Holdings Ltd Singapore 0-236,500 25% 236,500-709,500 40% >709500 75% 75%
FJBN.SI FJ Benjamin Holdings Ltd Singapore 0-322,500 25% 322,500-967,500 40% >967500 75% 75%
TION.SI Tiong Woon Corp Holding Ltd Singapore 0-73,900 25% 73,900-221,700 40% >221700 75% 75%
MMPC.SI Mermaid Maritime PCL Singapore 0-194,900 25% 194,900-584,700 40% 584,700-682,150 50% 60% >682,150 75%
ROTE.SI Rotary Engineering Ltd Singapore 0-44,900 25% 44,900-134,700 40% >134700 75% 75%
FBCH.SI Fabchem China Ltd Singapore 0-108,800 25% 108,800-326,400 40% >326400 75% 75%
BANY.SI Banyan Tree Holdings Ltd Singapore 0-40,300 25% 40,300-120,900 40% >120900 75% 75%
CITI.SI CITIC Envirotech Limited Singapore 0-14,300 25% 14,300-85,800 40% 85,800-96,525 50% 60% >96,525 75%
CGTE.SI C&G Environmental Protection Holdings Ltd Singapore 0-80,600 25% 80,600-241,800 40% >241800 75% 75%
PACC.SI Pacc Offshore Services Holdings Pte Ltd Singapore 0-57,200 25% 57,200-171,600 40% 171,600-257,400 50% 60% >257,400 75%
CHHS.SI Chuan Hup Holdings Ltd Singapore 0-68,200 25% 68,200-204,600 40% >204600 75% 75%
DATA.SI Datapulse Technology Ltd Singapore 0-80,600 25% 80,600-241,800 40% >241800 75% 75%
RLSE.SI Raffles Education Corp Ltd Singapore 0-91,400 25% 91,400-274,200 40% >274200 75% 75%
CRMG.SI Courage Marine Group Ltd Singapore 0-19,700 25% 19,700-59,100 40% >59100 75% 75%
LHCF.SI Li Heng Chemical Fibre Technologies Ltd Singapore 0-18,000 25% 18,000-108,000 40% 108,000-166,500 50% 60% >166,500 75%
RVHL.SI Riverstone Holdings Limited Singapore 0-19,700 25% 19,700-118,200 40% 118,200-295,500 50% 60% >295,500 75%
MIDA.SI Midas Holdings Ltd Singapore 0-78,800 25% 78,800-472,800 40% 472,800-1,182,000 50% 60% >1,182,000 75%
TPVH.SI TPV Technology Ltd (SGX) Singapore 0-59,100 25% 59,100-236,400 40% 236,400-384,150 50% 60% >384,150 75%
AZTS.SI Aztech Group Ltd Singapore 0-59,100 25% 59,100-177,300 40% >177300 75% 75%
SHDS.SI Sing Holdings Ltd Singapore 0-59,100 25% 59,100-177,300 40% >177300 75% 75%
TSHS.SI Tuan Sing Holdings Ltd Singapore 0-59,100 25% 59,100-177,300 40% >177300 75% 75%
STAS.SI Stamford Tyres Corp Ltd Singapore 0-66,900 25% 66,900-200,700 40% >200700 75% 75%
CHOF.SI CH Offshore Ltd Singapore 0-55,400 25% 55,400-166,200 40% >166200 75% 75%
CESE.SI Chip Eng Seng Corp Ltd Singapore 0-27,700 25% 27,700-110,800 40% 110,800-173,125 50% 60% >173,125 75%
OTTO.SI Otto Marine Ltd Singapore 0-55,400 25% 55,400-166,200 40% >166200 75% 75%
TCIL.SI Tan Chong International Ltd Singapore 0-41,200 25% 41,200-123,600 40% >123600 75% 75%
MEMT.SI Memtech International Ltd Singapore 0-31,100 25% 31,100-93,300 40% >93300 75% 75%
EYSI.SI Eu Yan Sang International Ltd Singapore 0-29,300 25% 29,300-87,900 40% 87,900-139,175 50% 60% >139,175 75%
JAYA.SI Jaya Holdings Ltd Singapore 0-35,100 25% 35,100-114,075 40% >114075 75% 75%
E88.AX Ensogo Ltd Singapore 0-26,300 25% 26,300-78,900 40% >78900 75% 75%
AINT.SI Ascendas India Trust Singapore 0-16,800 25% 16,800-100,800 40% 100,800-252,000 50% 60% >252,000 75%
VIBR.SI Vibrant Group Ltd Singapore 0-47,900 25% 47,900-143,700 40% 143,700-167,650 50% 60% >167,650 75%
HIPI.SI Hi-P International Ltd Singapore 0-41,700 25% 41,700-125,100 40% >125100 75% 75%
COUR.SI Courts Asia Ltd Singapore 0-42,700 25% 42,700-128,100 40% 128,100-192,150 50% 60% >192,150 75%
CSES.SI CSE Global Ltd Singapore 0-42,700 25% 42,700-128,100 40% 128,100-170,800 50% 60% >170,800 75%
SFLD.SI Stamford Land Corp Ltd Singapore 0-37,700 25% 37,700-113,100 40% >113100 75% 75%
EPD.AX Empired Ltd Singapore 0-35,600 25% 35,600-142,400 40% 142,400-222,500 50% 60% >222,500 75%
IHHH.SI IHH Healthcare Bhd Singapore 0-8,200 25% 8,200-24,600 40% 24,600-47,150 50% 60% >47,150 75%
UMSH.SI UMS Holdings Ltd Singapore 0-28,800 25% 28,800-172,800 40% 172,800-460,800 50% 60% >460,800 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 36 of 103
KMAR.SI K1 Ventures Ltd Singapore 0-17,800 25% 17,800-53,400 40% 53,400-71,200 50% 60% >71,200 75%
BTSS.SI Boustead Singapore Ltd Singapore 0-23,000 25% 23,000-138,000 40% 138,000-155,250 50% 60% >155,250 75%
CMFC.SI China Minzhong Food Corp Ltd Singapore 0-15,600 25% 15,600-46,800 40% 46,800-66,300 50% 60% >66,300 75%
OVES.SI Overseas Union Enterprise Ltd Singapore 0-11,100 25% 11,100-63,825 40% 63,825-222,000 50% 60% >222,000 75%
CHFL.SI China Flexible Packaging Holdings Ltd Singapore 0-21,200 25% 21,200-63,600 40% >63600 75% 75%
KTEL.SI Keppel Telecommunications & Transportation Ltd Singapore 0-10,600 25% 10,600-66,250 40% 66,250-84,800 50% 60% >84,800 75%
WPSL.SI Wheelock Properties Singapore Ltd Singapore 0-12,000 25% 12,000-36,000 40% 36,000-66,000 50% 60% >66,000 75%
BVHS.SI Bonvests Holdings Ltd Singapore 0-14,500 25% 14,500-43,500 40% >43500 75% 75%
AART.SI AIMS AMP Capital Industrial REIT Singapore 0-12,500 25% 12,500-75,000 40% 75,000-175,000 50% 60% >175,000 75%
UOKH.SI UOB-Kay Hian Holdings Ltd Singapore 0-13,500 25% 13,500-40,500 40% >40500 75% 75%
DELFI.SI Petra Foods Ltd Singapore 0-6,800 25% 6,800-40,800 40% 40,800-122,400 50% 60% >122,400 75%
FRET.SI First Real Estate Investment Trust Singapore 0-12,900 25% 12,900-74,175 40% 74,175-180,600 50% 60% >180,600 75%
FORT.SI Fortune Real Estate Investment Trust Singapore 0-10,000 25% 10,000-60,000 40% 60,000-110,000 50% 60% >110,000 75%
SOM.AX SomnoMed Ltd Singapore 0-5,000 25% 5,000-30,000 40% 30,000-41,250 50% 60% >41,250 75%
HPPS.SI Hotel Properties Ltd Singapore 0-5,200 25% 5,200-15,600 40% >15600 75% 75%
SABJ.J SABMiller PLC (SA) South Africa 0-23,800 5% 23,800-107,100 10% 107,100-428,400 20% 40% >428,400 75%
AGLJ.J Anglo American PLC (SA) South Africa 0-114,500 10% 114,500-572,500 20% 572,500-2,290,000 35% 45% >2,290,000 75%
BILJ.J BHP Billiton PLC (SA) South Africa 0-95,600 5% 95,600-478,000 10% 478,000-1,912,000 20% 40% >1,912,000 75%
NPNJn.J Naspers Ltd South Africa 0-7,000 5% 7,000-35,000 10% 35,000-140,000 20% 40% >140,000 75%
BTIJ.J British American Tobacco PLC (SA) South Africa 0-19,000 5% 19,000-99,750 10% 99,750-399,000 20% 40% >399,000 75%
ANBJ.J Anheuser-Busch InBev SA NV South Africa 0-8,700 5% 8,700-50,025 10% 50,025-200,100 20% 40% >200,100 75%
INPJ.J Investec PLC (SA) South Africa 0-161,800 10% 161,800-485,400 20% 485,400-1,941,600 35% 45% >1,941,600 75%
MEIJ.J Mediclinic International PLC (SA) South Africa 0-55,900 10% 55,900-461,175 20% 461,175-950,300 35% 45% >950,300 75%
BAWJ.J Barloworld Ltd South Africa 0-103,347 10% 103,347-439,224 20% 439,224-645,918 35% 45% >645,918 75%
CCOJ.J Capital & Counties Properties PLC (SA) South Africa 0-143,700 15% 143,700-826,275 25% 826,275-2,155,500 40% 55% >2,155,500 75%
BIDJ.J Bid Corp Ltd South Africa 0-25,000 20% 25,000-125,000 30% 125,000-250,000 50% 60% >250,000 75%
CFRJ.J Cie Financiere Richemont (SA) South Africa 0-70,000 10% 70,000-350,000 20% 350,000-700,000 35% 45% >700,000 75%
ITUJ.J Intu Properties PLC (SA) South Africa 0-104,800 10% 104,800-943,200 20% 943,200-2,410,400 35% 45% >2,410,400 75%
MTNJ.J MTN Group Ltd South Africa 0-50,000 5% 50,000-500,000 10% 500,000-3,000,000 20% 40% >3,000,000 75%
BVTJ.J Bidvest Group Ltd South Africa 0-35,000 15% 35,000-210,000 25% 210,000-700,000 40% 55% >700,000 75%
SOLJ.J Sasol Ltd South Africa 0-15,000 5% 15,000-150,000 10% 150,000-960,000 20% 40% >960,000 75%
SBKJ.J Standard Bank Group Ltd South Africa 0-35,000 5% 35,000-350,000 10% 350,000-2,485,000 20% 40% >2,485,000 75%
S32J.J South32 Ltd (SA) South Africa 0-193,600 5% 193,600-1,936,000 10% 1,936,000-9,680,000 20% 40% >9,680,000 75%
FSRJ.J FirstRand Ltd South Africa 0-90,000 5% 90,000-900,000 10% 900,000-7,020,000 20% 40% >7,020,000 75%
SNHJ.J Steinhoff International Holdings N.V. South Africa 0-50,000 5% 50,000-500,000 10% 500,000-4,350,000 20% 40% >4,350,000 75%
SGLJ.J Sibanye Gold Ltd South Africa 0-70,000 10% 70,000-420,000 20% 420,000-1,400,000 35% 45% >1,400,000 75%
ANGJ.J AngloGold Ashanti Ltd (SA) South Africa 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
TBSJ.J Tiger Brands Ltd South Africa 0-9,000 10% 9,000-90,000 20% 90,000-324,000 35% 45% >324,000 75%
IMPJ.J Impala Platinum Holdings Ltd South Africa 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
MRPJ.J Mr Price Group Ltd South Africa 0-20,000 10% 20,000-200,000 20% 200,000-720,000 35% 45% >720,000 75%
OMLJ.J Old Mutual PLC (SA) South Africa 0-85,800 5% 85,800-858,000 10% 858,000-9,523,800 20% 40% >9,523,800 75%
GFIJ.J Gold Fields Ltd South Africa 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
BGAJ.J Barclays Africa Group Ltd South Africa 0-20,000 10% 20,000-200,000 20% 200,000-1,500,000 35% 45% >1,500,000 75%
WHLJ.J Woolworths Holdings Ltd South Africa 0-35,000 5% 35,000-350,000 10% 350,000-3,010,000 20% 40% >3,010,000 75%
APNJ.J Aspen Pharmacare Holdings Ltd South Africa 0-8,000 5% 8,000-80,000 10% 80,000-624,000 20% 40% >624,000 75%
REIJ.J Reinet Investments SCA South Africa 0-90,000 20% 90,000-450,000 30% 450,000-900,000 50% 60% >900,000 75%
SHPJ.J Shoprite Holdings Ltd South Africa 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
TFGJ.J Foschini Group Ltd South Africa 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
SLMJ.J Sanlam Ltd South Africa 0-40,000 5% 40,000-400,000 10% 400,000-3,000,000 20% 40% >3,000,000 75%
TRUJ.J Truworths International Ltd South Africa 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
LONJ.J Lonmin PLC (SA) South Africa 0-67,100 25% 67,100-402,600 40% 402,600-1,274,900 50% 60% >1,274,900 75%
IPLJ.J Imperial Holdings Ltd South Africa 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
NTCJ.J Netcare Ltd South Africa 0-70,000 10% 70,000-700,000 20% 700,000-3,010,000 35% 45% >3,010,000 75%
REMJ.J Remgro Ltd South Africa 0-8,000 5% 8,000-80,000 10% 80,000-600,000 20% 40% >600,000 75%
LHCJ.J Life Healthcare Group Holdings Ltd South Africa 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
RDFJ.J Redefine Properties Ltd South Africa 0-170,000 10% 170,000-1,487,500 20% 1,487,500-6,460,000 35% 45% >6,460,000 75%
HARJ.J Harmony Gold Mining Co Ltd South Africa 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
CPIJ.J Capitec Bank Holdings Ltd South Africa 0-3,000 15% 3,000-30,000 25% 30,000-129,000 40% 55% >129,000 75%
SAPJ.J Sappi Ltd South Africa 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
BATJ.J Brait SE (SA) South Africa 0-15,000 15% 15,000-150,000 25% 150,000-570,000 40% 55% >570,000 75%
SPPJ.J Spar Group Ltd South Africa 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
NEDJ.J Nedbank Group Ltd South Africa 0-8,000 10% 8,000-80,000 20% 80,000-600,000 35% 45% >600,000 75%
NEPJ.J New Europe Property Investments PLC South Africa 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
VODJ.J Vodacom Group Ltd South Africa 0-15,000 10% 15,000-150,000 20% 150,000-300,000 35% 45% >300,000 75%
RPLJ.J Redefine International PLC South Africa 0-190,000 25% 190,000-997,500 40% 997,500-1,520,000 50% 60% >1,520,000 75%
AVIJ.J AVI Ltd South Africa 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
KIOJ.J Kumba Iron Ore Ltd South Africa 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
RMIJ.J Rand Merchant Insurance Holdings Limited South Africa 0-30,000 15% 30,000-300,000 25% 300,000-990,000 40% 55% >990,000 75%
GRTJ.J Growthpoint Properties Ltd South Africa 0-50,000 10% 50,000-500,000 20% 500,000-4,000,000 35% 45% >4,000,000 75%
CLSJ.J Clicks Group Ltd South Africa 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
DSYJ.J Discovery Ltd South Africa 0-10,000 10% 10,000-100,000 20% 100,000-800,000 35% 45% >800,000 75%
AMSJ.J Anglo American Platinum Ltd South Africa 0-3,000 10% 3,000-30,000 20% 30,000-240,000 35% 45% >240,000 75%
MNDJ.J Mondi Ltd (SA) South Africa 0-4,000 10% 4,000-40,000 20% 40,000-324,000 35% 45% >324,000 75%
MMIJ.J MMI Holdings Ltd South Africa 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
TKGJ.J Telkom SA SOC Ltd South Africa 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
PIKJ.J Pick n Pay Stores Ltd South Africa 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
CMLJ.J Coronation Fund Managers Ltd South Africa 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
PFGJ.J Pioneer Foods Ltd South Africa 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
LBHJ.J Liberty Holdings Ltd South Africa 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
HYPJ.J Hyprop Investments Ltd South Africa 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
PANJ.J Pan African Resources PLC (SA) South Africa 0-257,600 25% 257,600-1,416,800 40% 1,416,800-2,511,600 50% 60% >2,511,600 75%
ARIJ.J African Rainbow Minerals Ltd South Africa 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
RMHJ.J RMB Holdings Ltd South Africa 0-15,000 10% 15,000-150,000 20% 150,000-975,000 35% 45% >975,000 75%
NPKJ.J Nampak Ltd South Africa 0-45,000 15% 45,000-270,000 25% 270,000-900,000 40% 55% >900,000 75%
FFBJ.J Fortress Income Fund Ltd South Africa 0-25,000 25% 25,000-125,000 40% 125,000-250,000 50% 60% >250,000 75%
RESJ.J Resilient Property Income Fund Ltd South Africa 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
EXXJ.J Exxaro Resources Ltd South Africa 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
PSGJ.J PSG Group Ltd South Africa 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
MSMJ.J Massmart Holdings Ltd South Africa 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
INLJ.J Investec Ltd South Africa 0-8,000 10% 8,000-80,000 20% 80,000-600,000 35% 45% >600,000 75%
SPGJ.J Super Group Ltd (SA) South Africa 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
JSEJ.J JSE Ltd South Africa 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
ROCJ.J Rockcastle Global Real Estate Co Ltd South Africa 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
NHMJ.J Northam Platinum Ltd South Africa 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
FFAJ.J Fortress Income Fund Limited South Africa 0-30,000 20% 30,000-300,000 30% 300,000-990,000 50% 60% >990,000 75%
FBRJ.J Famous Brands Ltd South Africa 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
TSHJ.J Tsogo Sun Holdings Ltd South Africa 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
EOHJ.J EOH Holdings Ltd South Africa 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 37 of 103
AFEJ.J Aeci Ltd South Africa 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
PPCJ.J PPC Ltd South Africa 0-60,000 25% 60,000-345,000 40% 345,000-1,200,000 50% 60% >1,200,000 75%
ARLJ.J Astral Foods Ltd South Africa 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
TONJ.J Tongaat Hulett Ltd South Africa 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
ILVJ.J Illovo Sugar Ltd South Africa 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
SUIJ.J Sun International Ltd South Africa 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
DTCJ.J DataTec Ltd (SA) South Africa 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
ADHJ.J ADvTECH Limited South Africa 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
RLOJ.J Reunert Ltd South Africa 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
ASRJ.J Assore Ltd South Africa 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
PGRJ.J Peregrine Holdings Ltd South Africa 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
ASCJ.J Ascendis Health Ltd South Africa 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
SACJ.J SA Corporate Real Estate Limited South Africa 0-50,000 20% 50,000-300,000 30% 300,000-1,000,000 50% 60% >1,000,000 75%
DRDJ.J DRDGOLD Ltd (SA) South Africa 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
EMIJ.J Emira Property Fund South Africa 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
OMNJ.J Omnia Holdings Ltd South Africa 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
MURJ.J Murray & Roberts Holdings Ltd South Africa 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
WBOJ.J Wilson Bayly Holmes-Ovcon Ltd South Africa 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
LEWJ.J Lewis Group Ltd South Africa 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
PWKJ.J Pick'n Pay Holdings Ltd South Africa 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
MPTJ.J Mpact Ltd South Africa 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
COHJ.J Curro Holdings Ltd South Africa 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
AEGJ.J Aveng Ltd South Africa 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
AFHJ.J Alexander Forbes Group Holdings Ltd South Africa 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
GNDJ.J Grindrod Ltd South Africa 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
BLUJ.J Blue Label Telecoms Limited South Africa 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
KAPJ.J KAP Industrial Holdings Ltd South Africa 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
HDCJ.J Hudaco Industries Ltd South Africa 0-1,800 25% 1,800-9,900 40% 9,900-27,000 50% 60% >27,000 75%
DSTJ.J Distell Group Ltd South Africa 0-1,100 25% 1,100-6,600 40% 6,600-22,000 50% 60% >22,000 75%
OCEJ.J Oceana Group Ltd South Africa 0-1,600 25% 1,600-9,600 40% 9,600-32,000 50% 60% >32,000 75%
HCIJ.J Hosken Consolidated Investments Ltd South Africa 0-1,400 25% 1,400-8,400 40% 8,400-28,000 50% 60% >28,000 75%
TREJ.J Trencor Ltd South Africa 0-5,000 25% 5,000-30,000 40% 30,000-65,000 50% 60% >65,000 75%
SNTJ.J Santam Ltd South Africa 0-800 25% 800-5,000 40% 5,000-16,000 50% 60% >16,000 75%
GRFJ.J Group Five Ltd (SA) South Africa 0-6,700 25% 6,700-40,200 40% 40,200-73,700 50% 60% >73,700 75%
ATTJ.J Attacq Ltd South Africa 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
ADEw.J Adbee RF Ltd South Africa 0-5,200 25% 5,200-15,600 40% >15600 75% 75%
OCTJ.J Octodec Investments Limited South Africa 0-7,800 25% 7,800-44,850 40% 44,850-64,350 50% 60% >64,350 75%
HPAJ.J Hospitality Property Fund Ltd South Africa 0-13,600 25% 13,600-40,800 40% 40,800-47,600 50% 60% >47,600 75%
ACGJ.J Anchor Group Limited South Africa 0-14,900 25% 14,900-59,600 40% 59,600-96,850 50% 60% >96,850 75%
VKEJ.J Vukile Property Fund Limited South Africa 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
CLHJ.J City Lodge Hotels Ltd South Africa 0-1,100 25% 1,100-6,600 40% 6,600-16,500 50% 60% >16,500 75%
RCLJ.J RCL Foods Ltd South Africa 0-12,500 25% 12,500-40,625 40% 40,625-65,625 50% 60% >65,625 75%
HLMJ.J Hulamin Ltd South Africa 0-34,700 25% 34,700-104,100 40% 104,100-130,125 50% 60% >130,125 75%
PNCJ.J Pinnacle Technology Holdings Ltd South Africa 0-10,300 25% 10,300-59,225 40% 59,225-185,400 50% 60% >185,400 75%
BELJ.J Bell Equipment Ltd South Africa 0-17,100 25% 17,100-51,300 40% >51300 75% 75%
SSKJ.J Stefanutti Stocks Holdings Ltd South Africa 0-38,100 25% 38,100-114,300 40% >114300 75% 75%
IVTJ.J Invicta Holdings Ltd South Africa 0-3,500 25% 3,500-20,125 40% 20,125-32,375 50% 60% >32,375 75%
QFHJ.J Quantum Foods Holdings South Africa 0-67,400 25% 67,400-202,200 40% >202200 75% 75%
CLRJ.J Clover Industries Ltd South Africa 0-9,400 25% 9,400-54,050 40% 54,050-89,300 50% 60% >89,300 75%
AWAJ.J Arrowhead Properties Ltd - A South Africa 0-21,700 25% 21,700-130,200 40% 130,200-434,000 50% 60% >434,000 75%
REBJ.J Rebosis Property Fund Limited South Africa 0-15,900 25% 15,900-95,400 40% 95,400-318,000 50% 60% >318,000 75%
COMJ.J Comair Ltd South Africa 0-54,100 25% 54,100-162,300 40% >162300 75% 75%
MRFJ.J Merafe Resources Ltd South Africa 0-189,900 25% 189,900-996,975 40% 996,975-1,281,825 50% 60% >1,281,825 75%
AENJ.J Allied Electronics Corp Ltd - Pfd South Africa 0-30,000 25% 30,000-90,000 40% 90,000-165,000 50% 60% >165,000 75%
PIVJ.J The Pivotal Fund Limited South Africa 0-10,500 25% 10,500-65,625 40% 65,625-157,500 50% 60% >157,500 75%
SCLJ.J SacOil Holding Ltd (SA) South Africa 0-1,049,900 25% 1,049,900-2,887,225 40% >2887225 75% 75%
SNUJ.J Sentula Mining Ltd South Africa 0-1,049,900 25% 1,049,900-2,887,225 40% >2887225 75% 75%
ELIJ.J Ellies Holdings Ltd South Africa 0-713,900 25% 713,900-1,963,225 40% >1963225 75% 75%
WEZJ.J Wesizwe South Africa 0-324,500 25% 324,500-973,500 40% >973500 75% 75%
KEHJ.J Keaton Energy Holdings Ltd South Africa 0-324,500 25% 324,500-973,500 40% >973500 75% 75%
CZAJ.J Coal of Africa Ltd (SA) South Africa 0-307,700 25% 307,700-615,400 40% >615400 75% 75%
CHPJ.J Choppies Enterprises Ltd South Africa 0-42,900 25% 42,900-246,675 40% 246,675-300,300 50% 60% >300,300 75%
BSRJ.J Basil Read Holdings Ltd South Africa 0-68,900 25% 68,900-206,700 40% >206700 75% 75%
PETJ.J Petmin Ltd South Africa 0-152,500 25% 152,500-457,500 40% >457500 75% 75%
ADRJ.J Adcorp Holdings Ltd South Africa 0-11,400 25% 11,400-71,250 40% 71,250-91,200 50% 60% >91,200 75%
ARTJ.J Argent Industrial Ltd South Africa 0-44,600 25% 44,600-133,800 40% >133800 75% 75%
APKJ.J Astrapak Ltd South Africa 0-44,600 25% 44,600-133,800 40% >133800 75% 75%
GPLJ.J Grand Parade Investments Ltd South Africa 0-46,700 25% 46,700-140,100 40% 140,100-210,150 50% 60% >210,150 75%
TCPJ.J Transaction Capital Limited South Africa 0-16,100 25% 16,100-96,600 40% 96,600-193,200 50% 60% >193,200 75%
PHMJ.J Phumelela Gaming & Leisure Ltd South Africa 0-8,900 25% 8,900-24,475 40% >24475 75% 75%
PGLJ.J Pallinghurst Resources Limited South Africa 0-48,200 25% 48,200-144,600 40% 144,600-253,050 50% 60% >253,050 75%
ACLJ.J ArcelorMittal South Africa Ltd South Africa 0-22,600 25% 22,600-141,250 40% 141,250-452,000 50% 60% >452,000 75%
ZEDJ.J Zeder Investments Ltd South Africa 0-25,400 25% 25,400-152,400 40% 152,400-508,000 50% 60% >508,000 75%
AIPJ.J Adcock Ingram Holdings Ltd South Africa 0-3,800 25% 3,800-24,700 40% 24,700-64,600 50% 60% >64,600 75%
DLTJ.J Delta Property Fund Limited South Africa 0-25,100 25% 25,100-150,600 40% 150,600-376,500 50% 60% >376,500 75%
AELJ.J Allied Electronics Corp Ltd South Africa 0-29,700 25% 29,700-89,100 40% >89100 75% 75%
AFXJ.J African Oxygen Ltd South Africa 0-9,000 25% 9,000-54,000 40% 54,000-76,500 50% 60% >76,500 75%
SREJ.J Sirius Real Estate Ltd South Africa 0-22,000 25% 22,000-44,000 40% 44,000-66,000 50% 60% >66,000 75%
TBGJ.J Tiso Blackstar Group SE (SA) South Africa 0-22,200 25% 22,200-44,400 40% 44,400-66,600 50% 60% >66,600 75%
CGRJ.J Calgro M3 Holdings Limited South Africa 0-9,700 25% 9,700-60,625 40% 60,625-67,900 50% 60% >67,900 75%
RFGJ.J Rhodes Food Group Pty Ltd South Africa 0-6,700 25% 6,700-40,200 40% 40,200-100,500 50% 60% >100,500 75%
IPFJ.J Investec Property Fund Limited South Africa 0-12,000 25% 12,000-69,000 40% 69,000-240,000 50% 60% >240,000 75%
SURJ.J Spur Corp Ltd South Africa 0-5,600 25% 5,600-15,400 40% 15,400-25,200 50% 60% >25,200 75%
CILJ.J Consolidated Infrastructure Group Ltd South Africa 0-6,900 25% 6,900-39,675 40% 39,675-75,900 50% 60% >75,900 75%
RBXJ.J Raubex Group Ltd South Africa 0-7,400 25% 7,400-44,400 40% 44,400-148,000 50% 60% >148,000 75%
CSBJ.J Cashbuild Limited South Africa 0-400 25% 400-2,500 40% 2,500-8,000 50% 60% >8,000 75%
MTS.MC ArcelorMittal (ES) Spain 0-210,700 10% 210,700-1,053,500 20% 1,053,500-4,214,000 35% 45% >4,214,000 75%
BBVA.MC Banco Bilbao Vizcaya Argentaria SA Spain 0-210,000 10% 210,000-1,050,000 20% 1,050,000-4,200,000 35% 45% >4,200,000 75%
ITX.MC Inditex SA Spain 0-35,000 5% 35,000-175,000 10% 175,000-700,000 20% 40% >700,000 75%
TEF.MC Telefonica SA Spain 0-120,000 5% 120,000-600,000 10% 600,000-2,400,000 20% 40% >2,400,000 75%
SAN.MC Banco Santander SA (ES) Spain 0-275,000 10% 275,000-1,443,750 20% 1,443,750-5,775,000 35% 45% >5,775,000 75%
IBE.MC Iberdrola SA Spain 0-160,000 5% 160,000-960,000 10% 960,000-3,840,000 20% 40% >3,840,000 75%
REP.MC Repsol SA Spain 0-70,000 5% 70,000-455,000 10% 455,000-1,820,000 20% 40% >1,820,000 75%
AIR.MC Airbus Group NV (ES) Spain 0-11,346 10% 11,346-79,422 20% 79,422-317,688 35% 45% >317,688 75%
AMA.MC Amadeus IT Holding SA Spain 0-10,000 5% 10,000-100,000 10% 100,000-540,000 20% 40% >540,000 75%
ICAG.MC International Consolidated Airlines Group SA (ES) Spain 0-88,600 5% 88,600-886,000 10% 886,000-4,873,000 20% 40% >4,873,000 75%
FER.MC Ferrovial SA Spain 0-20,000 5% 20,000-200,000 10% 200,000-1,260,000 20% 40% >1,260,000 75%
CAF.MC Construcciones y Auxiliar de Ferrocarriles SA Spain 0-1,000 20% 1,000-3,000 30% >3000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 38 of 103
DIDA.MC Distribuidora Internacional de Alimentacion SA Spain 0-60,000 10% 60,000-600,000 20% 600,000-2,520,000 35% 45% >2,520,000 75%
GAM.MC Gamesa Corp Tecnologica SA Spain 0-15,000 5% 15,000-150,000 10% 150,000-1,095,000 20% 40% >1,095,000 75%
FCC.MC Fomento de Construcciones y Contratas SA Spain 0-35,000 10% 35,000-210,000 20% 210,000-1,295,000 35% 45% >1,295,000 75%
ACX.MC Acerinox SA Spain 0-25,000 10% 25,000-250,000 20% 250,000-1,000,000 35% 45% >1,000,000 75%
GAS.MC Gas Natural SDG SA Spain 0-15,000 5% 15,000-150,000 10% 150,000-1,215,000 20% 40% >1,215,000 75%
ABE.MC Abertis Infraestructuras SA Spain 0-20,000 5% 20,000-200,000 10% 200,000-1,640,000 20% 40% >1,640,000 75%
ELE.MC Endesa SA Spain 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
CABK.MC CaixaBank Spain 0-110,000 10% 110,000-990,000 20% 990,000-9,460,000 35% 45% >9,460,000 75%
TL5.MC Mediaset Espana Comunicacion SA Spain 0-20,000 10% 20,000-200,000 20% 200,000-900,000 35% 45% >900,000 75%
ENAG.MC Enagas SA Spain 0-8,000 5% 8,000-80,000 10% 80,000-704,000 20% 40% >704,000 75%
ANA.MC Acciona SA Spain 0-3,000 10% 3,000-30,000 20% 30,000-129,000 35% 45% >129,000 75%
TRE.MC Tecnicas Reunidas SA Spain 0-6,000 10% 6,000-60,000 20% 60,000-252,000 35% 45% >252,000 75%
POP.MC Banco Popular Espanol SA Spain 0-160,000 10% 160,000-1,520,000 20% 1,520,000-9,600,000 35% 45% >9,600,000 75%
ACS.MC ACS Actividades de Construccion y Servicios SA Spain 0-7,000 5% 7,000-70,000 10% 70,000-574,000 20% 40% >574,000 75%
GRLS.MC Grifols SA Spain 0-9,000 5% 9,000-90,000 10% 90,000-729,000 20% 40% >729,000 75%
CLNX.MC Cellnex Telecom SAU Spain 0-10,000 10% 10,000-100,000 20% 100,000-530,000 35% 45% >530,000 75%
VIS.MC Viscofan SA Spain 0-3,000 10% 3,000-30,000 20% 30,000-111,000 35% 45% >111,000 75%
BKIA.MC Bankia SA Spain 0-190,000 10% 190,000-2,090,000 20% 2,090,000-15,010,000 35% 45% >15,010,000 75%
BKT.MC Bankinter SA Spain 0-20,000 10% 20,000-200,000 20% 200,000-1,500,000 35% 45% >1,500,000 75%
SCYR.MC Sacyr SA Spain 0-70,000 10% 70,000-420,000 20% 420,000-1,400,000 35% 45% >1,400,000 75%
OHL.MC Obrascon Huarte Lain SA Spain 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
MAP.MC Mapfre SA Spain 0-50,000 5% 50,000-500,000 10% 500,000-4,500,000 20% 40% >4,500,000 75%
IDR.MC Indra Sistemas SA Spain 0-10,000 10% 10,000-100,000 20% 100,000-500,000 35% 45% >500,000 75%
MEL.MC Melia Hotels International SA Spain 0-10,000 10% 10,000-100,000 20% 100,000-530,000 35% 45% >530,000 75%
A3M.MC Atresmedia Corp SA Spain 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
NHH.MC NH Hoteles SA Spain 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
BDL.MC Baron de Ley Spain 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
APPS.MC Applus Services SA Spain 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
EKTL.MC Euskaltel SA Spain 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
ABGek.MC Abengoa SA - B Spain 0-425,000 25% 425,000-2,550,000 40% 2,550,000-8,500,000 50% 60% >8,500,000 75%
BME.MC Bolsas y Mercados Espanoles SA Spain 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
EBRO.MC Ebro Foods SA Spain 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CIEA.MC Cie Automotive SA Spain 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
ALM.MC Almirall SA Spain 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
LOG.MC Cia de Distribucion Integral Logista Holdings SAU Spain 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
ZOT.MC Zardoya Otis SA Spain 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
PSG.MC Prosegur Cia de Seguridad SA Spain 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
GRLSbn.MC Grifols SA - B Spain 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
VID.MC Vidrala SA Spain 0-1,000 25% 1,000-6,000 40% 6,000-8,500 50% 60% >8,500 75%
GCO.MC Grupo Catalana Occidente SA Spain 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
ENC.MC Ence Energia y Celulosa S.A Spain 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
LBK.MC Liberbank SA Spain 0-60,000 20% 60,000-345,000 30% 345,000-1,200,000 50% 60% >1,200,000 75%
HIS.MC Hispania Activos Inmobiliarios SAU Spain 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
TPZ.MC Telepizza Group SA Spain 0-8,000 20% 8,000-50,000 30% 50,000-128,000 50% 60% >128,000 75%
ALB.MC Corp Financiera Alba SA Spain 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
SAY.MC Saeta Yield SA Spain 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
FAE.MC Faes Farma SA Spain 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
APE.MC Amper SA Spain 0-160,000 25% 160,000-960,000 40% 960,000-3,200,000 50% 60% >3,200,000 75%
CDRE.MC Codere SA Spain 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
ECR.MC Ercros SA Spain 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
LRES.MC Lar Espana Real Estate Socimi SA Spain 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
TLGO.MC Talgo SA Spain 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
PRS.MC Promotora de Informaciones SA Spain 0-2,500 25% 2,500-15,000 40% 15,000-50,000 50% 60% >50,000 75%
TUBA.MC Tubacex SA Spain 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
ROVI.MC Rovi (Laboratorios Farmaceuticos) SA Spain 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
MDF.MC Duro Felguera SA Spain 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
ENOR.MC Elecnor SA Spain 0-1,500 25% 1,500-4,500 40% 4,500-7,875 50% 60% >7,875 75%
AZK.MC Azkoyen SA Spain 0-2,400 25% 2,400-7,200 40% 7,200-8,400 50% 60% >8,400 75%
CBAV.MC Clinica Baviera SA Spain 0-1,600 25% 1,600-5,200 40% >5200 75% 75%
PRIM.MC Prim SA Spain 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
ADZ.MC Adolfo Dominguez SA Spain 0-3,300 25% 3,300-9,900 40% >9900 75% 75%
PYCE.MC Papeles y Cartones de Europa SA Spain 0-2,300 25% 2,300-14,950 40% 14,950-27,600 50% 60% >27,600 75%
RJFE.MC Laboratorio Reig Jofre SA Spain 0-3,700 25% 3,700-10,175 40% >10175 75% 75%
TECM.MC Telecomunicaciones y Energia Spain 0-3,500 25% 3,500-20,125 40% 20,125-45,500 50% 60% >45,500 75%
TQT.MC Tecnoquark Trust SA Spain 0-5,800 25% 5,800-14,500 40% >14500 75% 75%
SLRS.MC Solaria Energia y Medio Ambiente SA Spain 0-15,000 25% 15,000-90,000 40% 90,000-116,250 50% 60% >116,250 75%
TUR.MC Tubos Reunidos SA Spain 0-15,000 25% 15,000-90,000 40% 90,000-105,000 50% 60% >105,000 75%
VOC.MC Vocento SA Spain 0-9,000 25% 9,000-24,750 40% 24,750-33,750 50% 60% >33,750 75%
RLIA.MC Realia Business SA Spain 0-11,800 25% 11,800-70,800 40% 70,800-224,200 50% 60% >224,200 75%
EZEN.MC Ezentis (Grupo) SA Spain 0-21,300 25% 21,300-127,800 40% 127,800-426,000 50% 60% >426,000 75%
CCMC.MC Corp Empresarial de Materiales de Construccion SA Spain 0-38,900 25% 38,900-116,700 40% 116,700-165,325 50% 60% >165,325 75%
UBS.MC Urbas Guadahermosa SA Spain 0-1,060,700 25% 1,060,700-6,629,375 40% 6,629,375-7,159,725 50% 60% >7,159,725 75%
INY.MC Informes y Proyectos SA Spain 0-70,700 25% 70,700-212,100 40% >212100 75% 75%
RDM.MC Reno de Medici SpA (ES) Spain 0-41,800 25% 41,800-125,400 40% >125400 75% 75%
BIOS.MC Biosearch SA Spain 0-23,800 25% 23,800-71,400 40% >71400 75% 75%
NATR.MC Natra SA Spain 0-21,200 25% 21,200-132,500 40% 132,500-201,400 50% 60% >201,400 75%
GALQ.MC General de Alquiler de Maquinaria SA Spain 0-53,000 25% 53,000-159,000 40% 159,000-185,500 50% 60% >185,500 75%
ADVGR.MC Adveo Group International SA Spain 0-3,300 25% 3,300-9,900 40% 9,900-11,550 50% 60% >11,550 75%
FRS.MC Fersa Energias Renovables SA Spain 0-25,600 25% 25,600-147,200 40% 147,200-512,000 50% 60% >512,000 75%
ABG.MC Abengoa SA Spain 0-19,900 25% 19,900-119,400 40% 119,400-398,000 50% 60% >398,000 75%
EUWT.MC Eurona Wireless Telecom SA Spain 0-4,700 25% 4,700-15,275 40% >15275 75% 75%
DOMI.MC Global Dominion Access SA Spain 0-4,100 25% 4,100-24,600 40% 24,600-29,725 50% 60% >29,725 75%
CPLN.MC Cementos Portland Valderrivas SA Spain 0-1,900 25% 1,900-9,975 40% 9,975-14,250 50% 60% >14,250 75%
FLUI.MC Fluidra SA Spain 0-2,900 25% 2,900-15,225 40% 15,225-46,400 50% 60% >46,400 75%
EDRE.MC eDreams ODIGEO SL Spain 0-4,300 25% 4,300-24,725 40% 24,725-77,400 50% 60% >77,400 75%
DN1.MC Nmas1 Dinamia SA Spain 0-1,400 25% 1,400-8,400 40% 8,400-14,000 50% 60% >14,000 75%
FINGb.ST Fingerprint Cards AB Sweden 0-100,000 20% 100,000-500,000 30% 500,000-2,000,000 50% 60% >2,000,000 75%
AZN.ST AstraZeneca PLC (SE) Sweden 0-19,600 5% 19,600-102,900 10% 102,900-411,600 20% 40% >411,600 75%
ABB.ST ABB Ltd (SE) Sweden 0-50,600 5% 50,600-290,950 10% 290,950-1,163,800 20% 40% >1,163,800 75%
NOKI.ST Nokia OYJ (SE) Sweden 0-141,500 5% 141,500-1,132,000 10% 1,132,000-4,528,000 20% 40% >4,528,000 75%
HMb.ST Hennes & Mauritz AB Sweden 0-20,000 5% 20,000-200,000 10% 200,000-840,000 20% 40% >840,000 75%
NDA.ST Nordea Bank AB (SE) Sweden 0-60,000 5% 60,000-660,000 10% 660,000-2,640,000 20% 40% >2,640,000 75%
SWEDa.ST Swedbank AB Sweden 0-20,000 5% 20,000-200,000 10% 200,000-1,140,000 20% 40% >1,140,000 75%
VOLVb.ST Volvo AB - B Sweden 0-40,000 5% 40,000-400,000 10% 400,000-2,320,000 20% 40% >2,320,000 75%
ATCOa.ST Atlas Copco AB - A Sweden 0-15,000 5% 15,000-150,000 10% 150,000-885,000 20% 40% >885,000 75%
ERICb.ST Ericsson (LM) - B Sweden 0-60,000 15% 60,000-600,000 25% 600,000-3,720,000 40% 55% >3,720,000 75%
SEBa.ST Skandinaviska Enskilda Banken AB Sweden 0-40,000 5% 40,000-400,000 10% 400,000-2,640,000 20% 40% >2,640,000 75%
SAND.ST Sandvik AB Sweden 0-35,000 5% 35,000-350,000 10% 350,000-2,380,000 20% 40% >2,380,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 39 of 103
SHBa.ST Svenska Handelsbanken AB Sweden 0-25,000 5% 25,000-250,000 10% 250,000-1,950,000 20% 40% >1,950,000 75%
BOL.ST Boliden AB Sweden 0-15,000 5% 15,000-150,000 10% 150,000-1,215,000 20% 40% >1,215,000 75%
ALIVsdb.ST Autoliv Inc (SE) Sweden 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
TELIA.ST Telia Company AB (SE) Sweden 0-70,000 5% 70,000-700,000 10% 700,000-5,810,000 20% 40% >5,810,000 75%
ASSAb.ST Assa Abloy AB - B Sweden 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
SCAb.ST Svenska Cellulosa AB Sweden 0-9,000 5% 9,000-90,000 10% 90,000-747,000 20% 40% >747,000 75%
MEDAa.ST Meda AB - A Sweden 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
LUPE.ST Lundin Petroleum AB Sweden 0-15,000 10% 15,000-150,000 20% 150,000-705,000 35% 45% >705,000 75%
SKFb.ST SKF AB - B Sweden 0-15,000 5% 15,000-150,000 10% 150,000-1,500,000 20% 40% >1,500,000 75%
INVEb.ST Investor AB - B Sweden 0-7,000 5% 7,000-70,000 10% 70,000-574,000 20% 40% >574,000 75%
HEXAb.ST Hexagon AB Sweden 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
TEL2b.ST Tele2 AB - B Sweden 0-30,000 10% 30,000-300,000 20% 300,000-1,500,000 35% 45% >1,500,000 75%
ENQ.ST EnQuest PLC (SE) Sweden 0-644,500 20% 644,500-4,028,125 30% 4,028,125-4,833,750 50% 60% >4,833,750 75%
OLDM.ST Old Mutual PLC (SE) Sweden 0-89,200 10% 89,200-892,000 20% 892,000-9,901,200 35% 45% >9,901,200 75%
KINVb.ST Kinnevik Investment AB Sweden 0-9,000 10% 9,000-90,000 20% 90,000-351,000 35% 45% >351,000 75%
SSABa.ST SSAB AB - A Sweden 0-60,000 10% 60,000-600,000 20% 600,000-2,520,000 35% 45% >2,520,000 75%
EKTAb.ST Elekta AB Sweden 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
SOBIV.ST Swedish Orphan Biovitrum AB Sweden 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
ELUXb.ST Electrolux AB Sweden 0-7,000 5% 7,000-70,000 10% 70,000-574,000 20% 40% >574,000 75%
SKAb.ST Skanska AB Sweden 0-8,000 5% 8,000-80,000 10% 80,000-648,000 20% 40% >648,000 75%
ICAA.ST ICA Gruppen AB Sweden 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
GETIb.ST Getinge AB Sweden 0-8,000 10% 8,000-80,000 20% 80,000-328,000 35% 45% >328,000 75%
TRELb.ST Trelleborg AB Sweden 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
MICsdb.ST Millicom International Cellular SA (SE) Sweden 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
SMF.ST SEMAFO Inc Sweden 0-31,000 10% 31,000-186,000 20% 186,000-620,000 35% 45% >620,000 75%
SWMA.ST Swedish Match AB Sweden 0-4,000 5% 4,000-40,000 10% 40,000-352,000 20% 40% >352,000 75%
LUMIsdb.ST Lundin Mining Corp Sweden 0-35,000 15% 35,000-210,000 25% 210,000-700,000 40% 55% >700,000 75%
ALFA.ST Alfa Laval AB Sweden 0-9,000 5% 9,000-90,000 10% 90,000-729,000 20% 40% >729,000 75%
SECUb.ST Securitas AB Sweden 0-8,000 5% 8,000-80,000 10% 80,000-624,000 20% 40% >624,000 75%
HPOLb.ST Hexpol AB Sweden 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
ATCOb.ST Atlas Copco AB - B Sweden 0-5,000 5% 5,000-50,000 10% 50,000-375,000 20% 40% >375,000 75%
HUSQb.ST Husqvarna AB - B Sweden 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
NCCb.ST NCC AB - B Sweden 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
BILL.ST BillerudKorsnas AB Sweden 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
FABG.ST Fabege AB Sweden 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
CAST.ST Castellum AB Sweden 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
AXFO.ST Axfood AB Sweden 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
MTGb.ST Modern Times Group AB - B Sweden 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
HLDX.ST Haldex AB Sweden 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
ARCM.ST Arcam AB Sweden 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
JM.ST JM AB Sweden 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
BETSb.ST Betsson AB Sweden 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PREC.ST Precise Biometrics AB Sweden 0-230,000 20% 230,000-1,495,000 30% 1,495,000-4,600,000 50% 60% >4,600,000 75%
SAABb.ST Saab AB Sweden 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
ORIFL.ST Oriflame Holdings SA Sweden 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
INDUa.ST Industrivarden AB - A Sweden 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
IJ.ST Intrum Justitia AB Sweden 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
UNIBsdb.ST Unibet Group PLC Sweden 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
INDUc.ST Industrivarden AB - C Sweden 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
NIBEb.ST Nibe Industrier AB Sweden 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
HOLMb.ST Holmen AB Sweden 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
SSABb.ST SSAB AB - B Sweden 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
HUFVa.ST Hufvudstaden AB Sweden 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
LOOMb.ST Loomis AB - B Sweden 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
BALDb.ST Fastighets AB Balder (publ) Sweden 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
GRANG.ST Granges AB (publ) Sweden 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
STEr.ST Stora Enso OYJ (SE) - R Sweden 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
NETb.ST NetEnt AB Sweden 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
TIEN.ST Tieto OYJ (SE) Sweden 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
TOBII.ST Tobii AB (publ) Sweden 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
AAK.ST AarhusKarlshamn AB Sweden 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
MYCR.ST Mycronic AB (publ) Sweden 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
RATOb.ST Ratos AB Sweden 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
PEABb.ST Peab AB Sweden 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
MELK.ST Melker Schorling AB Sweden 0-1,000 20% 1,000-6,000 30% 6,000-11,000 50% 60% >11,000 75%
HEMF.ST Hemfosa Fastigheter AB Sweden 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
SAS.ST SAS AB Sweden 0-30,000 20% 30,000-180,000 30% 180,000-600,000 50% 60% >600,000 75%
NOBI.ST Nobia AB Sweden 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
WIHL.ST Wihlborgs Fastigheter AB Sweden 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
INDT.ST Indutrade AB Sweden 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
LUNDb.ST Lundbergforetagen AB Sweden 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
LUC.ST Lucara Diamond Corp Sweden 0-20,500 20% 20,500-123,000 30% 123,000-410,000 50% 60% >410,000 75%
BONAVb.ST Bonava AB Sweden 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
VOLVa.ST Volvo AB - A Sweden 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
AOIC.ST Africa Oil Corp Sweden 0-34,900 25% 34,900-209,400 40% 209,400-698,000 50% 60% >698,000 75%
INVEa.ST Investor AB - A Sweden 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
WALLb.ST Wallenstam AB Sweden 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
BILIa.ST Bilia AB Sweden 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
PANDXb.ST Pandox AB (publ) Sweden 0-2,500 20% 2,500-15,000 30% 15,000-50,000 50% 60% >50,000 75%
AXIS.ST Axis Communications AB Sweden 0-1,000 25% 1,000-3,000 40% 3,000-3,750 50% 60% >3,750 75%
IFSb.ST Industrial & Financial Systems Sweden 0-1,000 25% 1,000-6,000 40% 6,000-8,500 50% 60% >8,500 75%
COMH.ST Com Hem Holding AB Sweden 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
PROB.ST Probi AB (publ) Sweden 0-1,000 25% 1,000-3,000 40% 3,000-4,500 50% 60% >4,500 75%
LATOb.ST Latour Investment AB - B Sweden 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
INWI.ST Inwido AB Sweden 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
YUUZ.SI Yuuzoo Corp Ltd Sweden 0-350,000 25% 350,000-2,012,500 40% 2,012,500-7,000,000 50% 60% >7,000,000 75%
BMAX.ST Byggmax Group AB Sweden 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
KLED.ST Kungsleden AB Sweden 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
ELTEL.ST Eltel AB (publ) Sweden 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
AVANZ.ST Avanza Bank Holding AB Sweden 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
DCARb.ST D. Carnegie & Co AB (publ) Sweden 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
MEKO.ST Mekonomen AB Sweden 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
SWECb.ST Sweco AB Sweden 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
LIAB.ST Lindab International AB Sweden 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
KLOVb.ST Klovern AB - B Sweden 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
SENS.ST Sensys Gatso Group AB Sweden 0-100,000 25% 100,000-600,000 40% 600,000-2,000,000 50% 60% >2,000,000 75%
CLASb.ST Clas Ohlson AB - B Sweden 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
KARO.ST Karo Pharma AB Sweden 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 40 of 103
BBTOb.ST B&B Tools AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
NDX.ST Nordax Group AB (publ) Sweden 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
COLLE.ST Collector AB Sweden 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
OPUS.ST Opus Group AB (publ) Sweden 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
DUST.ST Dustin AB (publ) Sweden 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
KAHL.ST KappAhl AB Sweden 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
ATRLJb.ST Atrium Ljungberg AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
OUEC.SI OUE Commercial Real Estate Investment Trust Sweden 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
CEVI.ST CellaVision AB Sweden 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
ORES.ST Oresund Investment AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
SKISb.ST SkiStar AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
CATE.ST Catena AB (publ) Sweden 0-1,000 25% 1,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
BUFAB.ST Bufab Holding AB Sweden 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
ADDTb.ST AddTech AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
BURE.ST Bure Equity AB Sweden 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
PACT.ST ProAct IT Group AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-6,500 50% 60% >6,500 75%
SYSR.ST Systemair AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-9,250 50% 60% >9,250 75%
ANOT.ST Anoto Group AB (publ) Sweden 0-600,000 25% 600,000-3,450,000 40% 3,450,000-12,000,000 50% 60% >12,000,000 75%
NNb.ST Nordnet AB Sweden 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
REZT.ST Rezidor Hotel Group AB Sweden 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
STEa.ST Stora Enso OYJ Sweden 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
TWW.ST Transcom Worldwide AB Sweden 0-1,800 25% 1,800-9,900 40% 9,900-16,200 50% 60% >16,200 75%
MVIRb.ST Medivir AB Sweden 0-1,800 25% 1,800-9,900 40% 9,900-34,200 50% 60% >34,200 75%
ECEX.ST East Capital Explorer AB Sweden 0-1,900 25% 1,900-9,975 40% 9,975-28,500 50% 60% >28,500 75%
CONIC.ST Concentric AB Sweden 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
ORX.ST Orexo AB Sweden 0-2,300 25% 2,300-14,950 40% 14,950-32,200 50% 60% >32,200 75%
GUNN.ST Gunnebo AB Sweden 0-2,700 25% 2,700-14,850 40% 14,850-22,950 50% 60% >22,950 75%
PLAZb.ST Platzer Fastigheter Holding AB Sweden 0-1,900 25% 1,900-9,975 40% 9,975-38,000 50% 60% >38,000 75%
HIQ.ST HIQ International AB Sweden 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
VNVsdb.ST Vostok Nafta Investment Ltd - SDR Sweden 0-1,800 25% 1,800-9,900 40% 9,900-36,000 50% 60% >36,000 75%
ENEA.ST Enea AB Sweden 0-1,200 25% 1,200-3,600 40% 3,600-4,200 50% 60% >4,200 75%
NEWAb.ST New Wave Group AB (publ) Sweden 0-2,200 25% 2,200-14,850 40% 14,850-44,000 50% 60% >44,000 75%
VICPb.ST Victoria Park AB (publ) Sweden 0-4,100 25% 4,100-24,600 40% 24,600-82,000 50% 60% >82,000 75%
MSONb.ST Midsona AB (publ) Sweden 0-2,400 25% 2,400-7,200 40% 7,200-13,200 50% 60% >13,200 75%
STEFb.ST Stendorren Fastigheter AB Sweden 0-1,500 25% 1,500-9,000 40% 9,000-21,000 50% 60% >21,000 75%
PXXSsdb.ST BlackPearl Resources Inc Sweden 0-13,100 25% 13,100-78,600 40% 78,600-101,525 50% 60% >101,525 75%
OP.ST Oscar Properties Holding AB (publ) Sweden 0-2,000 25% 2,000-6,000 40% 6,000-8,500 50% 60% >8,500 75%
KLOVa.ST Klovern AB - A Sweden 0-9,600 25% 9,600-31,200 40% 31,200-43,200 50% 60% >43,200 75%
NEXAM.ST Nexam Chemical Holding AB Sweden 0-9,600 25% 9,600-28,800 40% 28,800-57,600 50% 60% >57,600 75%
BINV.ST BioInvent International AB Sweden 0-49,700 25% 49,700-298,200 40% 298,200-422,450 50% 60% >422,450 75%
RUSF.ST RusForest AB Sweden 0-55,900 25% 55,900-167,700 40% >167700 75% 75%
SEAM.ST Seamless Distribution AB Sweden 0-13,000 25% 13,000-39,000 40% 39,000-55,250 50% 60% >55,250 75%
ANGLR.ST Angler Gaming PLC Sweden 0-35,600 25% 35,600-106,800 40% >106800 75% 75%
NVP.ST NeuroVive Pharmaceutical AB Sweden 0-16,200 25% 16,200-48,600 40% 48,600-76,950 50% 60% >76,950 75%
ENRO.ST Eniro AB Sweden 0-210,500 25% 210,500-631,500 40% 631,500-999,875 50% 60% >999,875 75%
PAR.ST PA Resources AB Sweden 0-3,286,700 25% 3,286,700-9,860,100 40% >9860100 75% 75%
SNMP.ST Shamaran Petroleum Corp (SE) Sweden 0-184,700 25% 184,700-923,500 40% 923,500-3,694,000 50% 60% >3,694,000 75%
BEFsdb.ST Black Earth Farming Ltd Sweden 0-28,000 25% 28,000-84,000 40% 84,000-147,000 50% 60% >147,000 75%
TRAD.ST TradeDoubler AB Sweden 0-19,600 25% 19,600-58,800 40% >58800 75% 75%
CCORb.ST Concordia Maritime AB Sweden 0-7,300 25% 7,300-20,075 40% 20,075-31,025 50% 60% >31,025 75%
QLRO.ST Qliro Group AB Sweden 0-10,500 25% 10,500-65,625 40% 65,625-189,000 50% 60% >189,000 75%
MQH.ST MQ Holding AB Sweden 0-3,100 25% 3,100-20,150 40% 20,150-52,700 50% 60% >52,700 75%
HUSQa.ST Husqvarna AB - A Sweden 0-1,500 25% 1,500-9,000 40% 9,000-10,500 50% 60% >10,500 75%
DORO.ST Doro AB Sweden 0-1,900 25% 1,900-9,975 40% 9,975-38,000 50% 60% >38,000 75%
SAGAb.ST AB Sagax Sweden 0-1,100 25% 1,100-6,600 40% 6,600-15,400 50% 60% >15,400 75%
SEBc.ST Skandinaviska Enskilda Banken AB - C Sweden 0-1,200 25% 1,200-6,900 40% 6,900-21,600 50% 60% >21,600 75%
SIK.VX Sika AG Switzerland 0-300 5% 300-900 10% 900-2,475 20% 40% >2,475 75%
UBSG.VX UBS AG Switzerland 0-90,000 5% 90,000-450,000 10% 450,000-1,800,000 20% 40% >1,800,000 75%
BARN.S Barry Callebaut AG Switzerland 0-1,000 10% 1,000-3,000 20% 3,000-3,500 35% 45% >3,500 75%
RIGN.S Transocean Ltd (CH) Switzerland 0-130,400 10% 130,400-652,000 20% 652,000-2,608,000 35% 45% >2,608,000 75%
ROG.S Roche Holding AG Switzerland 0-5,000 5% 5,000-26,250 10% 26,250-105,000 20% 40% >105,000 75%
NESN.VX Nestle SA Switzerland 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
GALN.VX Galenica AG Switzerland 0-1,000 10% 1,000-5,250 20% 5,250-10,000 35% 45% >10,000 75%
NOVN.VX Novartis AG Switzerland 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
LISP.S Lindt & Spruengli AG Switzerland 0-200 10% 200-600 20% 600-1,000 35% 45% >1,000 75%
SGSN.S SGS SA Switzerland 0-500 5% 500-2,875 10% 2,875-10,000 20% 40% >10,000 75%
ABBN.VX ABB Ltd (CH) Switzerland 0-50,000 5% 50,000-287,500 10% 287,500-1,150,000 20% 40% >1,150,000 75%
CSGN.VX Credit Suisse Group AG (CH) Switzerland 0-80,000 5% 80,000-480,000 10% 480,000-1,920,000 20% 40% >1,920,000 75%
GIVN.VX Givaudan SA Switzerland 0-500 5% 500-3,000 10% 3,000-12,000 20% 40% >12,000 75%
ZURN.VX Zurich Insurance Group AG Switzerland 0-4,000 5% 4,000-25,000 10% 25,000-100,000 20% 40% >100,000 75%
FIN.S Georg Fischer AG Switzerland 0-776 10% 776-3,104 20% 3,104-5,238 35% 45% >5,238 75%
LHN.VX LafargeHolcim Ltd Switzerland 0-15,000 5% 15,000-120,000 10% 120,000-480,000 20% 40% >480,000 75%
GUR.S Gurit Holding AG Switzerland 0-819 25% 819-2,457 40% >2457 75% 75%
SRENH.VX Swiss Re AG Switzerland 0-9,000 5% 9,000-74,250 10% 74,250-297,000 20% 40% >297,000 75%
EMMN.S Emmi AG Switzerland 0-967 15% 967-2,901 25% >2901 75% 75%
SYNN.VX Syngenta AG Switzerland 0-1,500 5% 1,500-14,625 10% 14,625-58,500 20% 40% >58,500 75%
CFR.VX Cie Financiere Richemont SA (CH) Switzerland 0-10,000 5% 10,000-100,000 10% 100,000-420,000 20% 40% >420,000 75%
EMSN.S EMS-Chemie Holding AG Switzerland 0-1,000 10% 1,000-6,000 20% 6,000-10,000 35% 45% >10,000 75%
HELN.S Helvetia Holding AG Switzerland 0-1,000 10% 1,000-6,000 20% 6,000-7,500 35% 45% >7,500 75%
ISN.S Intershop Holding AG Switzerland 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SCMN.VX Swisscom AG Switzerland 0-1,000 5% 1,000-10,000 10% 10,000-53,000 20% 40% >53,000 75%
PGHN.S Partners Group Holding AG Switzerland 0-1,000 5% 1,000-10,000 10% 10,000-25,000 20% 40% >25,000 75%
GEBN.VX Geberit AG Switzerland 0-1,000 5% 1,000-10,000 10% 10,000-59,000 20% 40% >59,000 75%
LOGN.S Logitech International SA (CH) Switzerland 0-20,000 10% 20,000-120,000 20% 120,000-600,000 35% 45% >600,000 75%
ATLN.VX Actelion Ltd Switzerland 0-2,500 5% 2,500-25,000 10% 25,000-152,500 20% 40% >152,500 75%
UHR.VX Swatch Group AG - B Switzerland 0-1,500 5% 1,500-15,000 10% 15,000-94,500 20% 40% >94,500 75%
IFCN.S Inficon Holding AG Switzerland 0-1,000 20% 1,000-3,000 30% >3000 75% 75%
STMN.S Straumann Holding AG Switzerland 0-1,000 10% 1,000-6,000 20% 6,000-18,000 35% 45% >18,000 75%
KUNN.S Kuoni Reisen Holding AG Switzerland 0-1,000 15% 1,000-6,000 25% 6,000-11,000 40% 55% >11,000 75%
CLN.VX Clariant AG Switzerland 0-20,000 10% 20,000-120,000 20% 120,000-720,000 35% 45% >720,000 75%
ADEN.VX Adecco SA Switzerland 0-6,000 5% 6,000-60,000 10% 60,000-438,000 20% 40% >438,000 75%
BCHN.S Burckhardt Compression Holding AG Switzerland 0-1,000 20% 1,000-3,000 30% 3,000-4,250 50% 60% >4,250 75%
VALN.S Valora Holding AG Switzerland 0-1,000 20% 1,000-3,000 30% 3,000-5,500 50% 60% >5,500 75%
BUCN.S Bucher Industries AG Switzerland 0-1,000 15% 1,000-6,000 25% 6,000-7,500 40% 55% >7,500 75%
SLHN.VX Swiss Life Holding AG Switzerland 0-1,000 5% 1,000-10,000 10% 10,000-90,000 20% 40% >90,000 75%
MOBN.S Mobimo Holding AG Switzerland 0-1,000 20% 1,000-3,000 30% 3,000-5,500 50% 60% >5,500 75%
KOMN.S Komax Holding AG - Reg Switzerland 0-1,000 20% 1,000-3,000 30% 3,000-5,000 50% 60% >5,000 75%
SAHN.S Schaffner Holding AG Switzerland 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 41 of 103
UBXN.S U-Blox AG Switzerland 0-1,000 15% 1,000-6,000 25% 6,000-13,000 40% 55% >13,000 75%
BAER.VX Julius Baer Group Ltd Switzerland 0-5,000 5% 5,000-50,000 10% 50,000-425,000 20% 40% >425,000 75%
SFZN.S Siegfried Holding AG Switzerland 0-1,000 20% 1,000-3,000 30% 3,000-3,750 50% 60% >3,750 75%
SOON.VX Sonova Holding AG Switzerland 0-1,500 5% 1,500-15,000 10% 15,000-120,000 20% 40% >120,000 75%
RIEN.S Rieter Holding AG Switzerland 0-1,000 20% 1,000-3,000 30% 3,000-4,500 50% 60% >4,500 75%
ARYN.VX Aryzta AG (CH) Switzerland 0-5,000 10% 5,000-50,000 20% 50,000-230,000 35% 45% >230,000 75%
FHZN.S Flughafen Zuerich AG Switzerland 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
LONN.VX Lonza Group AG Switzerland 0-1,000 10% 1,000-10,000 20% 10,000-85,000 35% 45% >85,000 75%
SCHN.S Schindler Holding AG Switzerland 0-1,000 10% 1,000-10,000 20% 10,000-15,000 35% 45% >15,000 75%
YPSN.S Ypsomed Holding AG - Reg Switzerland 0-1,000 15% 1,000-6,000 25% 6,000-9,000 40% 55% >9,000 75%
TEMN.S Temenos Group AG Switzerland 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SPSN.S Swiss Prime Site AG Switzerland 0-2,000 10% 2,000-20,000 20% 20,000-90,000 35% 45% >90,000 75%
AMS.S ams AG Switzerland 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
COPN.S Cosmo Pharmaceuticals SpA Switzerland 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
TECN.S Tecan Group AG Switzerland 0-1,000 15% 1,000-6,000 25% 6,000-12,000 40% 55% >12,000 75%
BION.S BB Biotech AG (CH) Switzerland 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
OERL.S OC Oerlikon Corp AG Switzerland 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
ALLN.S Allreal Holding AG Switzerland 0-1,000 20% 1,000-6,000 30% 6,000-7,000 50% 60% >7,000 75%
DAE.S Daetwyler Holding AG Switzerland 0-1,000 20% 1,000-3,000 30% 3,000-5,750 50% 60% >5,750 75%
KNIN.VX Kuehne + Nagel International AG Switzerland 0-1,000 5% 1,000-10,000 10% 10,000-85,000 20% 40% >85,000 75%
PWTN.S Panalpina Welttransport Holding AG Switzerland 0-1,000 15% 1,000-6,000 25% 6,000-14,000 40% 55% >14,000 75%
BOS.S Bossard Holding AG Switzerland 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
DUFN.S Dufry AG Switzerland 0-1,000 5% 1,000-10,000 10% 10,000-85,000 20% 40% >85,000 75%
BALN.VX Baloise Holding AG Switzerland 0-1,000 5% 1,000-10,000 10% 10,000-100,000 20% 40% >100,000 75%
HIAG.S Hiag Immobilien AG Switzerland 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
DKSH.S DKSH Holding Limited Switzerland 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
SRCG.S Sunrise Communications AG Switzerland 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
HBMN.S HBM Healthcare Investments AG Switzerland 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
SUN.S Sulzer AG Switzerland 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
LEON.S Leonteq AG Switzerland 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
PSPN.S PSP Swiss Property AG Switzerland 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
KARN.S Kardex AG Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
VATN.S Valiant Holding Switzerland 0-1,000 20% 1,000-6,000 30% 6,000-9,250 50% 60% >9,250 75%
GAMH.S GAM Holding AG Switzerland 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
UHRN.S Swatch Group AG Switzerland 0-1,500 10% 1,500-15,000 20% 15,000-75,000 35% 45% >75,000 75%
GATE.S Gategroup Holding AG Switzerland 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
BSLN.S Basilea Pharmaceutica Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
PARG.S Pargesa Holding SA Switzerland 0-1,000 10% 1,000-10,000 20% 10,000-35,000 35% 45% >35,000 75%
BOBNN.S Bobst Group SA Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-7,000 50% 60% >7,000 75%
SANN.S Santhera Pharmaceutical Holding AG Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
VONN.S Vontobel Holding AG Switzerland 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
KUD.S Kudelski SA Switzerland 0-2,500 20% 2,500-15,000 30% 15,000-50,000 50% 60% >50,000 75%
BKWB.S BKW AG Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
BLIN.S BFW Liegenschaften AG Switzerland 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MBTN.S Meyer Burger Technology AG Switzerland 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
ASCN.S Ascom Holding AG Switzerland 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
AFGN.S AFG Arbonia-Forster-Holding AG Switzerland 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
EFGN.S EFG International AG Switzerland 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
EPH.S Eastern Property Holdings Ltd Switzerland 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SQN.S Swissquote Group Holding SA Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
NWRN.S Newron Pharmaceuticals SpA Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
MOZN.S mobilezone holding ag Switzerland 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
EVE.S Evolva Holding SA Switzerland 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
LMN.S lastminute.com NV. Switzerland 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
MYRN.S Myriad Group AG Switzerland 0-4,500 25% 4,500-24,750 40% 24,750-90,000 50% 60% >90,000 75%
STLN.S Schmolz + Bickenbach AG Switzerland 0-18,400 25% 18,400-110,400 40% 110,400-312,800 50% 60% >312,800 75%
ROL.S Von Roll Holding AG Switzerland 0-18,400 25% 18,400-55,200 40% >55200 75% 75%
VCH.S Charles Voegele Holding AG Switzerland 0-1,900 25% 1,900-9,975 40% 9,975-18,525 50% 60% >18,525 75%
ODHN.S Orascom Development Holding AG Switzerland 0-1,900 25% 1,900-5,700 40% 5,700-7,600 50% 60% >7,600 75%
MASN.S Micronas Semiconductor Holding AG Switzerland 0-1,700 25% 1,700-10,200 40% 10,200-32,300 50% 60% >32,300 75%
RRS.L Randgold Resources Ltd UK 0-15,000 5% 15,000-63,750 10% 63,750-255,000 20% 40% >255,000 75%
0593xq.L Samsung Electronics Co Ltd - GDR UK 0-877 10% 877-1,973 20% 1,973-5,481 35% 45% >5,481 75%
NXT.L Next PLC UK 0-20,000 5% 20,000-90,000 10% 90,000-300,000 20% 40% >300,000 75%
RB.L Reckitt Benckiser Group PLC UK 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
SAB.L SABMiller PLC (LSE) UK 0-25,000 5% 25,000-112,500 10% 112,500-450,000 20% 40% >450,000 75%
ULVR.L Unilever PLC UK 0-30,000 5% 30,000-135,000 10% 135,000-540,000 20% 40% >540,000 75%
WPP.L WPP PLC UK 0-60,000 5% 60,000-270,000 10% 270,000-1,080,000 20% 40% >1,080,000 75%
WTB.L Whitbread PLC UK 0-25,000 5% 25,000-118,750 10% 118,750-350,000 20% 40% >350,000 75%
BRBY.L Burberry Group PLC UK 0-80,000 5% 80,000-380,000 10% 380,000-1,040,000 20% 40% >1,040,000 75%
RIO.L Rio Tinto PLC UK 0-45,000 5% 45,000-213,750 10% 213,750-855,000 20% 40% >855,000 75%
AHT.L Ashtead Group PLC UK 0-80,000 5% 80,000-380,000 10% 380,000-1,040,000 20% 40% >1,040,000 75%
PSON.L Pearson PLC UK 0-120,000 5% 120,000-570,000 10% 570,000-1,560,000 20% 40% >1,560,000 75%
KGF.L Kingfisher PLC UK 0-275,000 5% 275,000-1,306,250 10% 1,306,250-3,575,000 20% 40% >3,575,000 75%
SKYB.L Sky Plc UK 0-120,000 5% 120,000-570,000 10% 570,000-1,560,000 20% 40% >1,560,000 75%
REL.L RELX PLC UK 0-70,000 5% 70,000-332,500 10% 332,500-1,330,000 20% 40% >1,330,000 75%
VZC.L Verizon Communications Inc (LSE CDI) UK 0-24,800 5% 24,800-117,800 10% 117,800-471,200 20% 40% >471,200 75%
CPG.L Compass Group PLC UK 0-70,000 5% 70,000-350,000 10% 350,000-1,400,000 20% 40% >1,400,000 75%
JE.L Just Eat PLC UK 0-92,850 10% 92,850-232,125 20% 232,125-905,287 35% 45% >905,287 75%
HSBA.L HSBC Holdings PLC (LSE) UK 0-180,000 5% 180,000-900,000 10% 900,000-3,600,000 20% 40% >3,600,000 75%
PAYS.L Paysafe Group PLC UK 0-112,815 10% 112,815-282,037 20% 282,037-705,093 35% 45% >705,093 75%
BARC.L Barclays PLC UK 0-600,000 5% 600,000-3,000,000 10% 3,000,000-12,000,000 20% 40% >12,000,000 75%
LGEN.L Legal & General Group PLC UK 0-475,000 5% 475,000-2,375,000 10% 2,375,000-9,025,000 20% 40% >9,025,000 75%
AV.L Aviva PLC UK 0-230,000 5% 230,000-1,150,000 10% 1,150,000-4,600,000 20% 40% >4,600,000 75%
AAL.L Anglo American PLC UK 0-120,000 10% 120,000-600,000 20% 600,000-2,400,000 35% 45% >2,400,000 75%
GAZPq.L Gazprom OAO - GDR UK 0-148,782 10% 148,782-892,692 20% 892,692-2,975,640 35% 45% >2,975,640 75%
VOD.L Vodafone Group PLC UK 0-450,000 5% 450,000-2,250,000 10% 2,250,000-9,000,000 20% 40% >9,000,000 75%
IMB.L Imperial Brands PLC UK 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
PFC.L Petrofac Ltd UK 0-59,701 10% 59,701-149,252 20% 149,252-402,981 35% 45% >402,981 75%
CNA.L Centrica PLC UK 0-425,000 5% 425,000-2,125,000 10% 2,125,000-8,075,000 20% 40% >8,075,000 75%
BLT.L BHP Billiton PLC (LSE) UK 0-100,000 5% 100,000-500,000 10% 500,000-2,000,000 20% 40% >2,000,000 75%
RR.L Rolls-Royce Holdings PLC UK 0-130,000 5% 130,000-650,000 10% 650,000-2,600,000 20% 40% >2,600,000 75%
BP.L BP PLC UK 0-230,000 5% 230,000-1,150,000 10% 1,150,000-4,600,000 20% 40% >4,600,000 75%
BAES.L BAE Systems PLC UK 0-180,000 5% 180,000-900,000 10% 900,000-3,420,000 20% 40% >3,420,000 75%
LLOY_pe.L Lloyds Banking Group PLC 6.475% Pfd UK 0-885,500 5% 885,500-4,427,500 10% 4,427,500-17,710,000 20% 40% >17,710,000 75%
LLOY.L Lloyds Banking Group PLC UK 0-1,725,000 5% 1,725,000-8,625,000 10% 8,625,000-34,500,000 20% 40% >34,500,000 75%
ROSNq.L Rosneft OAO - GDR UK 0-115,939 10% 115,939-289,847 20% 289,847-1,159,390 35% 45% >1,159,390 75%
SBNCyq.L Sberbank of Russia - GDR UK 0-65,824 10% 65,824-394,944 20% 394,944-1,316,480 35% 45% >1,316,480 75%
ADN.L Aberdeen Asset Management PLC UK 0-151,929 10% 151,929-379,822 20% 379,822-1,329,378 35% 45% >1,329,378 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 42 of 103
RBS.L Royal Bank of Scotland Group PLC UK 0-500,000 5% 500,000-2,500,000 10% 2,500,000-9,500,000 20% 40% >9,500,000 75%
TSCO.L Tesco PLC UK 0-575,000 5% 575,000-2,875,000 10% 2,875,000-11,500,000 20% 40% >11,500,000 75%
SN.L Smith & Nephew PLC UK 0-80,000 5% 80,000-400,000 10% 400,000-1,040,000 20% 40% >1,040,000 75%
PRU.L Prudential PLC UK 0-70,000 5% 70,000-350,000 10% 350,000-1,400,000 20% 40% >1,400,000 75%
GSK.L GlaxoSmithKline PLC UK 0-60,000 5% 60,000-300,000 10% 300,000-1,200,000 20% 40% >1,200,000 75%
GLEN.L Glencore PLC (LSE) UK 0-50,000 10% 50,000-100,000 20% 100,000-400,000 35% 45% >400,000 75%
IHG.L InterContinental Hotels Group PLC UK 0-30,000 5% 30,000-150,000 10% 150,000-390,000 20% 40% >390,000 75%
LAND.L Land Securities Group PLC UK 0-90,000 5% 90,000-450,000 10% 450,000-1,530,000 20% 40% >1,530,000 75%
AZN.L AstraZeneca PLC UK 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
BT.L BT Group PLC UK 0-250,000 5% 250,000-1,312,500 10% 1,312,500-5,250,000 20% 40% >5,250,000 75%
ITV.L ITV PLC UK 0-475,000 5% 475,000-2,493,750 10% 2,493,750-8,075,000 20% 40% >8,075,000 75%
SANq.L Banco Santander SA (LSE) UK 0-280,600 10% 280,600-1,473,150 20% 1,473,150-5,892,600 35% 45% >5,892,600 75%
AMFW.L AMEC Foster Wheeler PLC UK 0-87,719 10% 87,719-219,297 20% 219,297-592,103 35% 45% >592,103 75%
MGNTq.L Magnit OJSC - GDR UK 0-15,480 10% 15,480-92,880 20% 92,880-232,200 35% 45% >232,200 75%
WEIR.L Weir Group PLC UK 0-30,978 10% 30,978-77,445 20% 77,445-309,780 35% 45% >309,780 75%
SHP.L Shire PLC UK 0-20,000 10% 20,000-105,000 20% 105,000-420,000 35% 45% >420,000 75%
NKELyq.L MMC Norilsk Nickel OJSC - GDR UK 0-41,491 20% 41,491-103,727 30% 103,727-414,910 50% 60% >414,910 75%
BATS.L British American Tobacco PLC (LSE) UK 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
ASOS.L ASOS PLC UK 0-10,392 10% 10,392-25,980 20% 25,980-103,920 35% 45% >103,920 75%
BAND.L Bank of America Corporation UK 0-89,800 10% 89,800-471,450 20% 471,450-1,885,800 35% 45% >1,885,800 75%
NG.L National Grid PLC UK 0-90,000 5% 90,000-472,500 10% 472,500-1,890,000 20% 40% >1,890,000 75%
DGE.L Diageo PLC UK 0-45,000 5% 45,000-236,250 10% 236,250-945,000 20% 40% >945,000 75%
RDSa.L Royal Dutch Shell PLC - A (LSE) UK 0-50,000 5% 50,000-262,500 10% 262,500-1,000,000 20% 40% >1,000,000 75%
SIG.L Signet Jewelers Ltd (LSE) UK 0-5,121 10% 5,121-26,885 20% 26,885-107,541 35% 45% >107,541 75%
BKGH.L Berkeley Group Holdings PLC UK 0-35,000 10% 35,000-183,750 20% 183,750-490,000 35% 45% >490,000 75%
SSE.L SSE PLC UK 0-60,000 5% 60,000-315,000 10% 315,000-1,260,000 20% 40% >1,260,000 75%
AUTOA.L Auto Trader Group PLC UK 0-128,435 10% 128,435-353,196 20% 353,196-931,153 35% 45% >931,153 75%
WPG.L WorldPay Limited UK 0-325,000 5% 325,000-1,706,250 10% 1,706,250-3,575,000 20% 40% >3,575,000 75%
BLND.L British Land Co PLC UK 0-140,000 5% 140,000-770,000 10% 770,000-1,960,000 20% 40% >1,960,000 75%
EXPN.L Experian PLC UK 0-60,000 5% 60,000-330,000 10% 330,000-960,000 20% 40% >960,000 75%
LKOHyq.L Lukoil OAO - GDR UK 0-13,622 10% 13,622-81,732 20% 81,732-272,440 35% 45% >272,440 75%
TW.L Taylor Wimpey PLC UK 0-442,500 5% 442,500-2,433,750 10% 2,433,750-7,080,000 20% 40% >7,080,000 75%
PSN.L Persimmon PLC UK 0-50,000 5% 50,000-275,000 10% 275,000-750,000 20% 40% >750,000 75%
CRH.L CRH PLC (LSE) UK 0-35,600 10% 35,600-142,400 20% 142,400-391,600 35% 45% >391,600 75%
WOS.L Wolseley PLC UK 0-20,000 5% 20,000-110,000 10% 110,000-320,000 20% 40% >320,000 75%
MGGT.L Meggitt PLC UK 0-104,123 10% 104,123-312,369 20% 312,369-598,707 35% 45% >598,707 75%
FRES.L Fresnillo PLC UK 0-50,000 10% 50,000-287,500 20% 287,500-700,000 35% 45% >700,000 75%
CCL.L Carnival PLC UK 0-25,000 5% 25,000-150,000 10% 150,000-375,000 20% 40% >375,000 75%
ISA.L Inmarsat PLC UK 0-65,445 10% 65,445-196,335 20% 196,335-523,560 35% 45% >523,560 75%
NVTKq.L NovaTek OAO - GDR UK 0-6,043 15% 6,043-18,129 25% 18,129-60,430 40% 55% >60,430 75%
LSE.L London Stock Exchange Group PLC UK 0-30,000 5% 30,000-180,000 10% 180,000-390,000 20% 40% >390,000 75%
JMAT.L Johnson Matthey PLC UK 0-25,000 10% 25,000-150,000 20% 150,000-275,000 35% 45% >275,000 75%
MNDI.L Mondi PLC UK 0-50,000 5% 50,000-312,500 10% 312,500-700,000 20% 40% >700,000 75%
INVP.L Investec PLC (LSE) UK 0-106,247 10% 106,247-318,741 20% 318,741-1,274,964 35% 45% >1,274,964 75%
MKS.L Marks & Spencer Group PLC UK 0-230,000 5% 230,000-1,437,500 10% 1,437,500-3,450,000 20% 40% >3,450,000 75%
ABF.L Associated British Foods PLC UK 0-25,000 5% 25,000-156,250 10% 156,250-400,000 20% 40% >400,000 75%
WMH.L William Hill PLC UK 0-158,127 10% 158,127-513,912 20% 513,912-1,344,079 35% 45% >1,344,079 75%
CYBGC.L CYBG PLC UK 0-181,818 10% 181,818-545,454 20% 545,454-636,363 35% 45% >636,363 75%
PJPq.L X5 Retail Group NV UK 0-23,270 25% 23,270-75,627 40% 75,627-162,890 50% 60% >162,890 75%
MRW.L Morrison WM Supermarkets UK 0-375,000 5% 375,000-2,531,250 10% 2,531,250-5,625,000 20% 40% >5,625,000 75%
FQM.L First Quantum Minerals Ltd (LSE) UK 0-164,700 10% 164,700-1,111,725 20% 1,111,725-4,446,900 35% 45% >4,446,900 75%
SGE.L Sage Group PLC UK 0-100,000 5% 100,000-675,000 10% 675,000-1,500,000 20% 40% >1,500,000 75%
PMO.L Premier Oil PLC UK 0-749,063 20% 749,063-2,434,454 30% 2,434,454-3,370,783 50% 60% >3,370,783 75%
TATE.L Tate & Lyle PLC UK 0-68,259 10% 68,259-238,906 20% 238,906-460,748 35% 45% >460,748 75%
SBRY.L Sainsbury (J) PLC UK 0-300,000 5% 300,000-2,025,000 10% 2,025,000-3,900,000 20% 40% >3,900,000 75%
SAGAG.L Saga Ltd UK 0-225,022 10% 225,022-787,577 20% 787,577-2,025,198 35% 45% >2,025,198 75%
ANTO.L Antofagasta PLC UK 0-140,000 5% 140,000-980,000 10% 980,000-1,960,000 20% 40% >1,960,000 75%
EZJ.L easyJet PLC UK 0-60,000 10% 60,000-435,000 20% 435,000-1,020,000 35% 45% >1,020,000 75%
SMIN.L Smiths Group PLC UK 0-50,000 5% 50,000-362,500 10% 362,500-650,000 20% 40% >650,000 75%
BDEV.L Barratt Developments PLC UK 0-140,000 5% 140,000-1,015,000 10% 1,015,000-1,960,000 20% 40% >1,960,000 75%
SMDS.L DS Smith PLC UK 0-116,904 10% 116,904-438,390 20% 438,390-789,102 35% 45% >789,102 75%
CRDA.L Croda International PLC UK 0-14,779 10% 14,779-55,421 20% 55,421-107,147 35% 45% >107,147 75%
RYA.L Ryanair Holdings PLC (LSE) UK 0-60,000 10% 60,000-360,000 20% 360,000-900,000 35% 45% >900,000 75%
IMI.L IMI PLC UK 0-45,578 10% 45,578-170,917 20% 170,917-296,257 35% 45% >296,257 75%
GL9.L Glanbia PLC UK 0-45,000 15% 45,000-135,000 25% 135,000-180,000 40% 55% >180,000 75%
RSA.L RSA Insurance Group PLC UK 0-130,000 10% 130,000-390,000 20% 390,000-1,560,000 35% 45% >1,560,000 75%
GKN.L GKN PLC UK 0-200,000 5% 200,000-1,550,000 10% 1,550,000-3,000,000 20% 40% >3,000,000 75%
HWDN.L Howden Joinery Group PLC UK 0-109,313 10% 109,313-437,252 20% 437,252-819,847 35% 45% >819,847 75%
DLGD.L Direct Line Insurance Group PLC UK 0-170,000 5% 170,000-1,317,500 10% 1,317,500-2,550,000 20% 40% >2,550,000 75%
RMV.L Rightmove PLC UK 0-11,904 10% 11,904-47,616 20% 47,616-95,232 35% 45% >95,232 75%
CPI.L Capita PLC UK 0-60,000 10% 60,000-480,000 20% 480,000-840,000 35% 45% >840,000 75%
PTEC.L Playtech PLC UK 0-55,803 10% 55,803-223,212 20% 223,212-348,768 35% 45% >348,768 75%
RMG.L Royal Mail PLC UK 0-120,000 10% 120,000-960,000 20% 960,000-1,560,000 35% 45% >1,560,000 75%
DCC.L DCC PLC UK 0-9,000 5% 9,000-72,000 10% 72,000-117,000 20% 40% >117,000 75%
AGGK.L Aggreko PLC UK 0-48,685 10% 48,685-194,740 20% 194,740-328,623 35% 45% >328,623 75%
SL.L Standard Life PLC UK 0-170,000 5% 170,000-1,402,500 10% 1,402,500-2,550,000 20% 40% >2,550,000 75%
RPC.L RPC Group PLC UK 0-57,142 15% 57,142-228,568 25% 228,568-414,279 40% 55% >414,279 75%
UU.L United Utilities Group PLC UK 0-60,000 10% 60,000-495,000 20% 495,000-780,000 35% 45% >780,000 75%
RDSb.L Royal Dutch Shell PLC - B (LSE) UK 0-30,000 5% 30,000-255,000 10% 255,000-1,020,000 20% 40% >1,020,000 75%
BWY.L Bellway PLC UK 0-21,303 10% 21,303-90,537 20% 90,537-186,401 35% 45% >186,401 75%
TATNxq.L Tatneft OAO - GDR UK 0-21,369 10% 21,369-64,107 20% 64,107-122,871 35% 45% >122,871 75%
SJP.L St James's Place PLC UK 0-60,000 10% 60,000-510,000 20% 510,000-720,000 35% 45% >720,000 75%
BWOB.L Barloworld Limited UK 0-98,400 10% 98,400-418,200 20% 418,200-615,000 35% 45% >615,000 75%
STAN.L Standard Chartered PLC (LSE) UK 0-90,000 5% 90,000-787,500 10% 787,500-3,150,000 20% 40% >3,150,000 75%
SVSTq.L Severstal OAO - GDR UK 0-53,292 20% 53,292-239,814 30% 239,814-346,398 50% 60% >346,398 75%
WG.L John Wood Group PLC UK 0-71,275 10% 71,275-320,737 20% 320,737-481,106 35% 45% >481,106 75%
PNN.L Pennon Group PLC UK 0-55,432 10% 55,432-249,444 20% 249,444-401,882 35% 45% >401,882 75%
ITRK.L Intertek Group PLC UK 0-15,000 5% 15,000-138,750 10% 138,750-225,000 20% 40% >225,000 75%
VTBRq.L VTB Bank OJSC - GDR UK 0-287,808 25% 287,808-1,367,088 40% 1,367,088-2,014,656 50% 60% >2,014,656 75%
OCDO.L Ocado Group PLC UK 0-153,846 10% 153,846-730,768 20% 730,768-1,076,922 35% 45% >1,076,922 75%
EMG.L Man Group PLC UK 0-436,300 10% 436,300-2,072,425 20% 2,072,425-2,726,875 35% 45% >2,726,875 75%
ADML.L Admiral Group PLC UK 0-25,000 10% 25,000-243,750 20% 243,750-350,000 35% 45% >350,000 75%
INCH.L Inchcape PLC UK 0-70,000 10% 70,000-350,000 20% 350,000-455,000 35% 45% >455,000 75%
UBM.L UBM PLC UK 0-70,000 10% 70,000-350,000 20% 350,000-542,500 35% 45% >542,500 75%
TPK.L Travis Perkins PLC UK 0-30,000 10% 30,000-300,000 20% 300,000-450,000 35% 45% >450,000 75%
URKAq.L Uralkali OJSC - GDR UK 0-50,000 10% 50,000-250,000 20% 250,000-350,000 35% 45% >350,000 75%
SGRO.L Segro PLC UK 0-110,000 10% 110,000-550,000 20% 550,000-825,000 35% 45% >825,000 75%
MCRO.L Micro Focus International PLC UK 0-25,000 10% 25,000-250,000 20% 250,000-450,000 35% 45% >450,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 43 of 103
MFONq.L MegaFon OAO - GDR UK 0-60,000 25% 60,000-180,000 40% 180,000-285,000 50% 60% >285,000 75%
RTO.L Rentokil Initial PLC UK 0-220,000 10% 220,000-1,155,000 20% 1,155,000-1,650,000 35% 45% >1,650,000 75%
SVT.L Severn Trent PLC UK 0-20,000 10% 20,000-200,000 20% 200,000-300,000 35% 45% >300,000 75%
BNZL.L Bunzl PLC UK 0-20,000 10% 20,000-200,000 20% 200,000-280,000 35% 45% >280,000 75%
HMSO.L Hammerson PLC UK 0-80,000 10% 80,000-800,000 20% 800,000-1,040,000 35% 45% >1,040,000 75%
HLMA.L Halma PLC UK 0-45,000 10% 45,000-236,250 20% 236,250-326,250 35% 45% >326,250 75%
GPOR.L Great Portland Estates PLC UK 0-70,000 15% 70,000-367,500 25% 367,500-560,000 40% 55% >560,000 75%
RELIq.L Reliance Industries Ltd - GDR UK 0-20,000 15% 20,000-60,000 25% 60,000-70,000 40% 55% >70,000 75%
HGGH.L Henderson Group PLC (LSE) UK 0-190,000 10% 190,000-997,500 20% 997,500-1,282,500 35% 45% >1,282,500 75%
BKIR.L Bank of Ireland UK 0-2,825,000 10% 2,825,000-14,831,250 20% 14,831,250-56,500,000 35% 45% >56,500,000 75%
ROR.L Rotork PLC UK 0-220,000 10% 220,000-1,210,000 20% 1,210,000-1,540,000 35% 45% >1,540,000 75%
LAD.L Ladbrokes PLC UK 0-300,000 10% 300,000-1,650,000 20% 1,650,000-2,325,000 35% 45% >2,325,000 75%
SPD.L Sports Direct International PLC UK 0-140,000 10% 140,000-770,000 20% 770,000-1,120,000 35% 45% >1,120,000 75%
PFG.L Provident Financial PLC UK 0-15,000 10% 15,000-150,000 20% 150,000-180,000 35% 45% >180,000 75%
BBA.L BBA Aviation PLC UK 0-180,000 15% 180,000-990,000 25% 990,000-1,215,000 40% 55% >1,215,000 75%
CAPCC.L Capital & Counties Properties PLC UK 0-150,000 10% 150,000-862,500 20% 862,500-2,250,000 35% 45% >2,250,000 75%
III.L 3i Group PLC UK 0-70,000 10% 70,000-700,000 20% 700,000-980,000 35% 45% >980,000 75%
SNGSyq.L Surgutneftegas OAO - GDR UK 0-120,000 15% 120,000-360,000 25% 360,000-570,000 40% 55% >570,000 75%
BAB.L Babcock International Group PLC UK 0-40,000 10% 40,000-400,000 20% 400,000-520,000 35% 45% >520,000 75%
HIK.L Hikma Pharmaceuticals PLC UK 0-20,000 15% 20,000-200,000 25% 200,000-300,000 40% 55% >300,000 75%
NLMKq.L Novolipetsk Steel OJSC - GDR UK 0-40,000 20% 40,000-120,000 30% 120,000-190,000 50% 60% >190,000 75%
BOK.L Booker Group PLC UK 0-230,000 10% 230,000-1,380,000 20% 1,380,000-1,495,000 35% 45% >1,495,000 75%
INDV.L Indivior PLC UK 0-130,000 10% 130,000-780,000 20% 780,000-1,007,500 35% 45% >1,007,500 75%
COB.L Cobham PLC UK 0-250,000 20% 250,000-1,500,000 30% 1,500,000-2,187,500 50% 60% >2,187,500 75%
GNK.L Greene King PLC UK 0-50,000 10% 50,000-300,000 20% 300,000-350,000 35% 45% >350,000 75%
SDR.L Schroders PLC UK 0-15,000 10% 15,000-150,000 20% 150,000-195,000 35% 45% >195,000 75%
DLN.L Derwent London PLC UK 0-15,000 15% 15,000-90,000 25% 90,000-138,750 40% 55% >138,750 75%
DC.L Dixons Carphone PLC UK 0-110,000 10% 110,000-990,000 20% 990,000-1,540,000 35% 45% >1,540,000 75%
PHORq.L Phosagro OAO - GDR UK 0-40,000 25% 40,000-120,000 40% 120,000-200,000 50% 60% >200,000 75%
HRGV.L Hargreaves Lansdown PLC UK 0-30,000 10% 30,000-300,000 20% 300,000-390,000 35% 45% >390,000 75%
SMWH.L WH Smith PLC UK 0-25,000 10% 25,000-150,000 20% 150,000-168,750 35% 45% >168,750 75%
SXS.L Spectris PLC UK 0-20,000 15% 20,000-60,000 25% 60,000-115,000 40% 55% >115,000 75%
SPX.L Spirax-Sarco Engineering PLC UK 0-9,000 10% 9,000-54,000 20% 54,000-67,500 35% 45% >67,500 75%
RTN.L Restaurant Group PLC UK 0-100,000 15% 100,000-600,000 25% 600,000-975,000 40% 55% >975,000 75%
DRX.L Drax Group PLC UK 0-120,000 15% 120,000-360,000 25% 360,000-600,000 40% 55% >600,000 75%
IAP.L ICAP PLC UK 0-80,000 10% 80,000-480,000 20% 480,000-540,000 35% 45% >540,000 75%
POLYP.L Polymetal International PLC UK 0-35,000 25% 35,000-210,000 40% 210,000-306,250 50% 60% >306,250 75%
ICAG.L International Consolidated Airlines Group SA (LSE) UK 0-90,000 5% 90,000-900,000 10% 900,000-4,950,000 20% 40% >4,950,000 75%
BVS.L Bovis Homes Group PLC UK 0-40,000 10% 40,000-240,000 20% 240,000-310,000 35% 45% >310,000 75%
RGU.L Regus PLC UK 0-120,000 15% 120,000-720,000 25% 720,000-870,000 40% 55% >870,000 75%
DMGOa.L Daily Mail & General Trust PLC UK 0-50,000 15% 50,000-150,000 25% 150,000-287,500 40% 55% >287,500 75%
COMIq.L Commercial International Bank Egypt SAE - GDR UK 0-110,000 15% 110,000-660,000 25% 660,000-852,500 40% 55% >852,500 75%
CBRO.L Close Brothers Group PLC UK 0-25,000 15% 25,000-100,000 25% 100,000-156,250 40% 55% >156,250 75%
SHB.L Shaftesbury PLC UK 0-35,000 15% 35,000-210,000 25% 210,000-262,500 40% 55% >262,500 75%
HAYS.L Hays PLC UK 0-250,000 10% 250,000-1,500,000 20% 1,500,000-2,062,500 35% 45% >2,062,500 75%
SMT.L Scottish Mortgage Investment Trust PLC UK 0-110,000 15% 110,000-660,000 25% 660,000-797,500 40% 55% >797,500 75%
MAILRq.L Mail.ru Group Ltd - GDR UK 0-25,000 10% 25,000-150,000 20% 150,000-193,750 35% 45% >193,750 75%
INTUP.L Intu Properties PLC (LSE) UK 0-110,000 10% 110,000-990,000 20% 990,000-2,530,000 35% 45% >2,530,000 75%
JD.L JD Sports Fashion PLC UK 0-25,000 15% 25,000-75,000 25% 75,000-125,000 40% 55% >125,000 75%
ABCA.L Abcam PLC UK 0-45,000 15% 45,000-180,000 25% 180,000-281,250 40% 55% >281,250 75%
SRP.L Serco Group PLC UK 0-250,000 15% 250,000-750,000 25% 750,000-1,437,500 40% 55% >1,437,500 75%
ASHM.L Ashmore Group PLC UK 0-90,000 15% 90,000-540,000 25% 540,000-585,000 40% 55% >585,000 75%
GENL.L Genel Energy PLC UK 0-325,000 20% 325,000-975,000 30% 975,000-1,706,250 50% 60% >1,706,250 75%
INF.L Informa PLC UK 0-45,000 10% 45,000-450,000 20% 450,000-765,000 35% 45% >765,000 75%
GNC.L Greencore Group PLC (LSE) UK 0-90,000 10% 90,000-540,000 20% 540,000-720,000 35% 45% >720,000 75%
BEZG.L Beazley PLC UK 0-80,000 15% 80,000-480,000 25% 480,000-520,000 40% 55% >520,000 75%
CLLN.L Carillion PLC UK 0-120,000 15% 120,000-720,000 25% 720,000-840,000 40% 55% >840,000 75%
GWP.L GW Pharmaceuticals PLC UK 0-60,000 25% 60,000-180,000 40% 180,000-225,000 50% 60% >225,000 75%
SSAq.L Sistema JSFC - GDR UK 0-50,000 20% 50,000-150,000 30% 150,000-175,000 50% 60% >175,000 75%
AAAA.L AA PLC UK 0-110,000 15% 110,000-660,000 25% 660,000-742,500 40% 55% >742,500 75%
VCTX.L Victrex PLC UK 0-20,000 15% 20,000-120,000 25% 120,000-155,000 40% 55% >155,000 75%
BALF.L Balfour Beatty PLC UK 0-110,000 15% 110,000-660,000 25% 660,000-742,500 40% 55% >742,500 75%
VED.L Vedanta Resources PLC UK 0-60,000 15% 60,000-240,000 25% 240,000-360,000 40% 55% >360,000 75%
BTG.L BTG PLC UK 0-50,000 15% 50,000-300,000 25% 300,000-337,500 40% 55% >337,500 75%
BMEB.L B&M European Value Retail SA UK 0-110,000 15% 110,000-660,000 25% 660,000-852,500 40% 55% >852,500 75%
PHNX.L Phoenix Group Holdings UK 0-35,000 15% 35,000-210,000 25% 210,000-262,500 40% 55% >262,500 75%
SBIq.L State Bank of India - GDR UK 0-10,000 20% 10,000-30,000 30% 30,000-35,000 50% 60% >35,000 75%
TCG.L Thomas Cook Group PLC UK 0-425,000 15% 425,000-2,550,000 25% 2,550,000-3,293,750 40% 55% >3,293,750 75%
FEVR.L Fevertree Drinks PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-255,000 50% 60% >255,000 75%
GRNG.L Green REIT PLC UK 0-240,000 25% 240,000-720,000 40% 720,000-840,000 50% 60% >840,000 75%
JUP.L Jupiter Fund Management PLC UK 0-70,000 15% 70,000-420,000 25% 420,000-490,000 40% 55% >490,000 75%
MONY.L Moneysupermarket.com Group PLC UK 0-100,000 15% 100,000-600,000 25% 600,000-750,000 40% 55% >750,000 75%
KAZ.L KAZ Minerals PLC UK 0-160,000 25% 160,000-480,000 40% 480,000-680,000 50% 60% >680,000 75%
BOOH.L Boohoo.com plc UK 0-325,000 15% 325,000-2,031,250 25% 2,031,250-2,437,500 40% 55% >2,437,500 75%
AVV.L Aveva Group PLC UK 0-15,000 15% 15,000-90,000 25% 90,000-101,250 40% 55% >101,250 75%
DOM.L Domino's Pizza Group PLC UK 0-80,000 15% 80,000-480,000 25% 480,000-600,000 40% 55% >600,000 75%
MERL.L Merlin Entertainments plc UK 0-60,000 10% 60,000-600,000 20% 600,000-780,000 35% 45% >780,000 75%
BVIC.L Britvic PLC UK 0-45,000 15% 45,000-270,000 25% 270,000-337,500 40% 55% >337,500 75%
TELT.L Telit Communications PLC UK 0-110,000 20% 110,000-330,000 30% 330,000-385,000 50% 60% >385,000 75%
HSX.L Hiscox Ltd UK 0-25,000 15% 25,000-150,000 25% 150,000-187,500 40% 55% >187,500 75%
LRE.L Lancashire Holdings Ltd UK 0-40,000 15% 40,000-160,000 25% 160,000-250,000 40% 55% >250,000 75%
MTRO.L Metro Bank PLC UK 0-10,000 15% 10,000-30,000 25% 30,000-37,500 40% 55% >37,500 75%
TALK.L TalkTalk Telecom Group PLC UK 0-130,000 15% 130,000-390,000 25% 390,000-682,500 40% 55% >682,500 75%
ATST.L Alliance Trust PLC UK 0-45,000 15% 45,000-180,000 25% 180,000-292,500 40% 55% >292,500 75%
QQ.L QinetiQ Group PLC UK 0-110,000 15% 110,000-440,000 25% 440,000-687,500 40% 55% >687,500 75%
MRCM.L Mercantile Investment Trust PLC UK 0-15,000 15% 15,000-90,000 25% 90,000-135,000 40% 55% >135,000 75%
ACAA.L Acacia Mining PLC UK 0-50,000 15% 50,000-300,000 25% 300,000-387,500 40% 55% >387,500 75%
BRSN.L Berendsen PLC UK 0-20,000 15% 20,000-120,000 25% 120,000-165,000 40% 55% >165,000 75%
S32.L South32 Ltd (LSE) UK 0-203,000 5% 203,000-2,030,000 10% 2,030,000-10,150,000 20% 40% >10,150,000 75%
CRST.L Crest Nicholson Holdings PLC UK 0-50,000 15% 50,000-300,000 25% 300,000-387,500 40% 55% >387,500 75%
ATKW.L Atkins (W.S.) PLC UK 0-15,000 15% 15,000-60,000 25% 60,000-97,500 40% 55% >97,500 75%
HICL.L HICL Infrastructure Co Ltd UK 0-130,000 15% 130,000-780,000 25% 780,000-1,007,500 40% 55% >1,007,500 75%
CINE.L Cineworld Group PLC UK 0-40,000 15% 40,000-160,000 25% 160,000-250,000 40% 55% >250,000 75%
HTG.L Hunting PLC UK 0-50,000 20% 50,000-150,000 30% 150,000-275,000 50% 60% >275,000 75%
GRF_u.L Grafton Group PLC UK 0-45,000 15% 45,000-270,000 25% 270,000-337,500 40% 55% >337,500 75%
SGP.L SuperGroup PLC UK 0-15,000 15% 15,000-90,000 25% 90,000-108,750 40% 55% >108,750 75%
PPB.L Paddy Power Betfair PLC (LSE) UK 0-2,500 10% 2,500-25,000 20% 25,000-50,000 35% 45% >50,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 44 of 103
EQN.L Equiniti Group PLC UK 0-130,000 20% 130,000-390,000 30% 390,000-552,500 50% 60% >552,500 75%
EVRE.L Evraz PLC UK 0-160,000 20% 160,000-480,000 30% 480,000-840,000 50% 60% >840,000 75%
GRG.L Greggs PLC UK 0-20,000 15% 20,000-120,000 25% 120,000-140,000 40% 55% >140,000 75%
SXX.L Sirius Minerals PLC UK 0-525,000 25% 525,000-3,018,750 40% 3,018,750-6,300,000 50% 60% >6,300,000 75%
NBLS.L NB Global Floating Rate Income Fund Ltd UK 0-220,000 25% 220,000-660,000 40% 660,000-990,000 50% 60% >990,000 75%
FGP.L Firstgroup PLC UK 0-180,000 15% 180,000-990,000 25% 990,000-1,170,000 40% 55% >1,170,000 75%
MRON.L Melrose Industries PLC UK 0-120,000 25% 120,000-720,000 40% 720,000-1,320,000 50% 60% >1,320,000 75%
KYGa.L Kerry Group PLC (LSE) UK 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
IMG.L Imagination Technologies Group PLC UK 0-80,000 15% 80,000-480,000 25% 480,000-540,000 40% 55% >540,000 75%
CRN.L Cairn Homes PLC UK 0-210,000 20% 210,000-630,000 30% 630,000-840,000 50% 60% >840,000 75%
CLINC.L Clinigen Group PLC UK 0-30,000 15% 30,000-180,000 25% 180,000-225,000 40% 55% >225,000 75%
WPCT.L Woodford Patient Capital Trust PLC UK 0-210,000 25% 210,000-630,000 40% 630,000-787,500 50% 60% >787,500 75%
UDG.L UDG Healthcare PLC UK 0-30,000 15% 30,000-180,000 25% 180,000-232,500 40% 55% >232,500 75%
PARA.L Paragon Group of Cos PLC UK 0-60,000 15% 60,000-345,000 25% 345,000-465,000 40% 55% >465,000 75%
HOCM.L Hochschild Mining PLC UK 0-70,000 15% 70,000-420,000 25% 420,000-700,000 40% 55% >700,000 75%
KWE.L Kennedy Wilson Europe Real Estate Plc UK 0-20,000 15% 20,000-120,000 25% 120,000-150,000 40% 55% >150,000 75%
CNE.L Cairn Energy PLC UK 0-100,000 25% 100,000-600,000 40% 600,000-675,000 50% 60% >675,000 75%
UTG.L Unite Group PLC UK 0-30,000 15% 30,000-180,000 25% 180,000-225,000 40% 55% >225,000 75%
MTO.L Mitie Group PLC UK 0-70,000 15% 70,000-420,000 25% 420,000-560,000 40% 55% >560,000 75%
ENQ.L EnQuest PLC UK 0-650,000 20% 650,000-4,062,500 30% 4,062,500-4,875,000 50% 60% >4,875,000 75%
HFD.L Halfords Group PLC UK 0-50,000 15% 50,000-300,000 25% 300,000-375,000 40% 55% >375,000 75%
BBOX.L Tritax Big Box REIT Plc UK 0-130,000 15% 130,000-780,000 25% 780,000-1,007,500 40% 55% >1,007,500 75%
MCS.L McCarthy & Stone PLC UK 0-100,000 20% 100,000-300,000 30% 300,000-575,000 50% 60% >575,000 75%
BOY.L Bodycote PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-195,000 50% 60% >195,000 75%
RDW.L Redrow PLC UK 0-45,000 15% 45,000-270,000 25% 270,000-360,000 40% 55% >360,000 75%
ESNT.L Essentra PLC UK 0-35,000 15% 35,000-210,000 25% 210,000-332,500 40% 55% >332,500 75%
PLND.L Poundland Group PLC UK 0-80,000 15% 80,000-480,000 25% 480,000-960,000 40% 55% >960,000 75%
LMPL.L Londonmetric Property PLC UK 0-110,000 15% 110,000-660,000 25% 660,000-797,500 40% 55% >797,500 75%
PAGE.L PageGroup PLC UK 0-50,000 15% 50,000-300,000 25% 300,000-500,000 40% 55% >500,000 75%
OML.L Old Mutual PLC (LSE) UK 0-90,000 5% 90,000-900,000 10% 900,000-9,990,000 20% 40% >9,990,000 75%
JDW.L JD Wetherspoon PLC UK 0-20,000 20% 20,000-80,000 30% 80,000-130,000 50% 60% >130,000 75%
LARTq.L Larsen & Toubro Ltd UK 0-10,000 20% 10,000-30,000 30% 30,000-35,000 50% 60% >35,000 75%
SOPH.L Sophos Limited UK 0-70,000 20% 70,000-280,000 30% 280,000-420,000 50% 60% >420,000 75%
ETO.L Entertainment One Ltd UK 0-80,000 20% 80,000-480,000 30% 480,000-540,000 50% 60% >540,000 75%
FCSS.L Fidelity China Special Situations PLC UK 0-100,000 25% 100,000-300,000 40% 300,000-375,000 50% 60% >375,000 75%
TEM.L Templeton Emerging Markets Investment Trust PLC UK 0-30,000 20% 30,000-120,000 30% 120,000-195,000 50% 60% >195,000 75%
GFRD.L Galliford Try PLC UK 0-15,000 15% 15,000-90,000 25% 90,000-131,250 40% 55% >131,250 75%
BHMG.L BH Macro Ltd - GBP UK 0-9,000 15% 9,000-54,000 25% 54,000-69,750 40% 55% >69,750 75%
MYI.L Murray International Trust PLC UK 0-15,000 20% 15,000-60,000 30% 60,000-93,750 50% 60% >93,750 75%
SNR.L Senior PLC UK 0-70,000 20% 70,000-420,000 30% 420,000-455,000 50% 60% >455,000 75%
PFL.L Premier Farnell PLC UK 0-90,000 15% 90,000-540,000 25% 540,000-697,500 40% 55% >697,500 75%
DTY.L Dignity PLC UK 0-6,000 20% 6,000-24,000 30% 24,000-37,500 50% 60% >37,500 75%
PDL.L Petra Diamonds Ltd UK 0-140,000 20% 140,000-420,000 30% 420,000-770,000 50% 60% >770,000 75%
RSW.L Renishaw PLC UK 0-6,000 20% 6,000-34,500 30% 34,500-43,500 50% 60% >43,500 75%
PANR.L Pantheon Resources PLC UK 0-170,000 25% 170,000-510,000 40% 510,000-765,000 50% 60% >765,000 75%
OPHR.L Ophir Energy PLC UK 0-200,000 25% 200,000-1,000,000 40% 1,000,000-1,200,000 50% 60% >1,200,000 75%
NEX.L National Express Group PLC UK 0-45,000 20% 45,000-270,000 30% 270,000-315,000 50% 60% >315,000 75%
JLG.L John Laing Group PLC UK 0-60,000 20% 60,000-180,000 30% 180,000-345,000 50% 60% >345,000 75%
BCA.L BCA Marketplace PLC UK 0-80,000 20% 80,000-320,000 30% 320,000-500,000 50% 60% >500,000 75%
SGC.L Stagecoach Group PLC UK 0-70,000 15% 70,000-420,000 25% 420,000-577,500 40% 55% >577,500 75%
RCP.L RIT Capital Partners PLC UK 0-9,000 15% 9,000-54,000 25% 54,000-72,000 40% 55% >72,000 75%
ECM.L Electrocomponents PLC UK 0-50,000 20% 50,000-200,000 30% 200,000-300,000 50% 60% >300,000 75%
HMSF.L Bluecrest Allblue Fund Ltd UK 0-80,000 25% 80,000-240,000 40% 240,000-280,000 50% 60% >280,000 75%
ULE.L Ultra Electronics Holdings PLC UK 0-9,000 20% 9,000-54,000 30% 54,000-65,250 50% 60% >65,250 75%
EMISG.L EMIS Group PLC UK 0-15,000 20% 15,000-60,000 30% 60,000-93,750 50% 60% >93,750 75%
SHI.L SIG PLC UK 0-120,000 20% 120,000-720,000 30% 720,000-900,000 50% 60% >900,000 75%
KSP.L Kingspan Group PLC (LSE) UK 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
WINEW.L Majestic Wine PLC UK 0-35,000 20% 35,000-113,750 30% 113,750-148,750 50% 60% >148,750 75%
ELM.L Elementis PLC UK 0-70,000 20% 70,000-420,000 30% 420,000-472,500 50% 60% >472,500 75%
BGEO.L BGEO Group PLC UK 0-5,000 20% 5,000-15,000 30% 15,000-28,750 50% 60% >28,750 75%
VM.L Virgin Money Holdings UK PLC UK 0-50,000 15% 50,000-300,000 25% 300,000-437,500 40% 55% >437,500 75%
FRCL.L Foreign & Colonial Investment Trust PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-240,000 50% 60% >240,000 75%
TLPR.L Tullett Prebon PLC UK 0-40,000 20% 40,000-120,000 30% 120,000-200,000 50% 60% >200,000 75%
LMI.L Lonmin PLC UK 0-70,000 25% 70,000-420,000 40% 420,000-1,330,000 50% 60% >1,330,000 75%
GLTRq.L Globaltrans Investment PLC - GDR UK 0-40,000 25% 40,000-120,000 40% 120,000-140,000 50% 60% >140,000 75%
CSPC.L Countryside Properties PLC UK 0-60,000 20% 60,000-180,000 30% >180000 75% 75%
CTY.L City of London Investment Trust PLC UK 0-35,000 20% 35,000-210,000 30% 210,000-236,250 50% 60% >236,250 75%
KMGq.L KazMunaiGas Exploration Production JSC - GDR UK 0-25,000 25% 25,000-75,000 40% 75,000-93,750 50% 60% >93,750 75%
PFD.L Premier Foods PLC UK 0-275,000 20% 275,000-825,000 30% 825,000-1,443,750 50% 60% >1,443,750 75%
REDD.L Redde Plc UK 0-70,000 20% 70,000-280,000 30% 280,000-437,500 50% 60% >437,500 75%
INPP.L International Public Partnerships Ltd UK 0-90,000 15% 90,000-540,000 25% 540,000-855,000 40% 55% >855,000 75%
HSTN.L Hansteen Holdings PLC UK 0-120,000 20% 120,000-720,000 30% 720,000-900,000 50% 60% >900,000 75%
DTG.L Dart Group PLC UK 0-30,000 15% 30,000-180,000 25% 180,000-270,000 40% 55% >270,000 75%
SKG.L Smurfit Kappa Group PLC (LSE) Old UK 0-10,000 10% 10,000-60,000 20% 60,000-500,000 35% 45% >500,000 75%
CVSG.L CVS Group PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-112,500 50% 60% >112,500 75%
DECP.L Dechra Pharmaceuticals PLC UK 0-10,000 20% 10,000-60,000 30% 60,000-85,000 50% 60% >85,000 75%
MAHMq.L Mahindra & Mahindra Ltd - GDR UK 0-8,000 20% 8,000-26,000 30% 26,000-32,000 50% 60% >32,000 75%
DCG.L Dairy Crest Group PLC UK 0-20,000 20% 20,000-120,000 30% 120,000-130,000 50% 60% >130,000 75%
GRI.L Grainger PLC UK 0-60,000 20% 60,000-345,000 30% 345,000-465,000 50% 60% >465,000 75%
MARS.L Marston's PLC UK 0-90,000 20% 90,000-540,000 30% 540,000-630,000 50% 60% >630,000 75%
SMSS.L Smart Metering Systems PLC UK 0-25,000 20% 25,000-75,000 30% 75,000-137,500 50% 60% >137,500 75%
WIZZ.L Wizz Air Holdings Plc UK 0-8,000 20% 8,000-50,000 30% 50,000-62,000 50% 60% >62,000 75%
HSTG.L Hastings Group Holdings PLC UK 0-60,000 20% 60,000-180,000 30% 180,000-270,000 50% 60% >270,000 75%
IRV.L Interserve PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-285,000 50% 60% >285,000 75%
SSPG.L SSP Group Ltd UK 0-40,000 20% 40,000-240,000 30% 240,000-280,000 50% 60% >280,000 75%
HSW.L Hostelworld Group PLC UK 0-70,000 20% 70,000-210,000 30% 210,000-280,000 50% 60% >280,000 75%
BRWM.L BlackRock World Mining Trust PLC UK 0-45,000 20% 45,000-270,000 30% 270,000-315,000 50% 60% >315,000 75%
NTG.L Northgate PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-232,500 50% 60% >232,500 75%
SCPA.L Scapa Group PLC UK 0-50,000 20% 50,000-150,000 30% 150,000-200,000 50% 60% >200,000 75%
GOG.L Go-Ahead Group PLC UK 0-6,000 20% 6,000-34,500 30% 34,500-48,000 50% 60% >48,000 75%
KIE.L Kier Group PLC UK 0-10,000 20% 10,000-60,000 30% 60,000-92,500 50% 60% >92,500 75%
SYNTS.L Synthomer PLC UK 0-35,000 20% 35,000-113,750 30% 113,750-210,000 50% 60% >210,000 75%
DEB.L Debenhams PLC UK 0-200,000 20% 200,000-1,000,000 30% 1,000,000-1,500,000 50% 60% >1,500,000 75%
CFIN.L Canaccord Financial Inc UK 0-71,000 25% 71,000-213,000 40% 213,000-248,500 50% 60% >248,500 75%
WTAN.L Witan Investment Trust PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-97,500 50% 60% >97,500 75%
PETSP.L Pets at Home Group Plc UK 0-50,000 20% 50,000-300,000 30% 300,000-362,500 50% 60% >362,500 75%
IPF.L International Personal Finance PLC UK 0-45,000 20% 45,000-135,000 30% 135,000-270,000 50% 60% >270,000 75%
FENR.L Fenner PLC UK 0-70,000 25% 70,000-210,000 40% >210000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 45 of 103
GLTDq.L Global Telecom Holding - GDR UK 0-80,000 25% 80,000-240,000 40% >240000 75% 75%
MAGNq.L Magnitogorsk Iron & Steel Works - GDR UK 0-25,000 25% 25,000-75,000 40% 75,000-87,500 50% 60% >87,500 75%
ELTA.L Electra Private Equity PLC UK 0-3,000 20% 3,000-9,000 30% 9,000-18,000 50% 60% >18,000 75%
SNNS.L Sanne Group PLC UK 0-25,000 20% 25,000-75,000 30% 75,000-112,500 50% 60% >112,500 75%
ASCL.L Ascential Group Limited UK 0-45,000 20% 45,000-270,000 30% 270,000-427,500 50% 60% >427,500 75%
IBST.L Ibstock PLC UK 0-70,000 20% 70,000-210,000 30% 210,000-332,500 50% 60% >332,500 75%
SDL.L SDL PLC UK 0-25,000 25% 25,000-75,000 40% >75000 75% 75%
FOXT.L Foxtons Group PLC UK 0-100,000 20% 100,000-300,000 30% 300,000-500,000 50% 60% >500,000 75%
BYG.L Big Yellow Group PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-131,250 50% 60% >131,250 75%
SVS.L Savills PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-108,750 50% 60% >108,750 75%
SVI.L SVG Capital PLC UK 0-20,000 20% 20,000-120,000 30% 120,000-130,000 50% 60% >130,000 75%
FAN.L Volution Group PLC UK 0-70,000 20% 70,000-210,000 30% 210,000-332,500 50% 60% >332,500 75%
AGRP.L Assura Group Ltd UK 0-190,000 20% 190,000-997,500 30% 997,500-1,235,000 50% 60% >1,235,000 75%
TELF.L Telford Homes PLC UK 0-35,000 25% 35,000-113,750 40% 113,750-148,750 50% 60% >148,750 75%
TED.L Ted Baker PLC UK 0-4,000 20% 4,000-25,000 30% 25,000-31,000 50% 60% >31,000 75%
RCN.L Redcentric PLC UK 0-60,000 20% 60,000-180,000 30% 180,000-270,000 50% 60% >270,000 75%
88E.L 88 Energy Ltd UK 0-4,444,200 25% 4,444,200-27,776,250 40% 27,776,250-62,218,800 50% 60% >62,218,800 75%
EDIN.L Edinburgh Investment Trust PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-108,750 50% 60% >108,750 75%
888.L 888 Holdings PLC UK 0-50,000 20% 50,000-300,000 30% 300,000-437,500 50% 60% >437,500 75%
HILS.L Hill & Smith Holdings PLC UK 0-9,000 20% 9,000-54,000 30% 54,000-74,250 50% 60% >74,250 75%
SPI.L Spire Healthcare Group PLC UK 0-30,000 20% 30,000-90,000 30% 90,000-165,000 50% 60% >165,000 75%
TEP.L Telecom Plus PLC UK 0-10,000 20% 10,000-40,000 30% 40,000-62,500 50% 60% >62,500 75%
RPS.L RPS Group PLC UK 0-60,000 25% 60,000-180,000 40% >180000 75% 75%
WKP.L Workspace Group PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-116,250 50% 60% >116,250 75%
JLIF.L John Laing Infrastructure Fund Ltd UK 0-80,000 25% 80,000-240,000 40% 240,000-420,000 50% 60% >420,000 75%
IOMG.L iomart Group PLC UK 0-35,000 20% 35,000-113,750 30% 113,750-183,750 50% 60% >183,750 75%
MGAMM.L Morgan Advanced Materials PLC UK 0-35,000 20% 35,000-140,000 30% 140,000-210,000 50% 60% >210,000 75%
PZC.L PZ Cussons PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-217,500 50% 60% >217,500 75%
SMP.L ST Modwen Properties PLC UK 0-35,000 20% 35,000-210,000 30% 210,000-262,500 50% 60% >262,500 75%
JSG.L Johnson Service Group PLC UK 0-100,000 25% 100,000-300,000 40% 300,000-375,000 50% 60% >375,000 75%
ESUR.L esure Group PLC UK 0-35,000 20% 35,000-140,000 30% 140,000-218,750 50% 60% >218,750 75%
WWH.L Worldwide Healthcare Trust PLC UK 0-5,000 20% 5,000-20,000 30% 20,000-32,500 50% 60% >32,500 75%
FDSA.L Fidessa Group PLC UK 0-4,000 20% 4,000-25,000 30% 25,000-29,000 50% 60% >29,000 75%
NCCG.L NCC Group PLC UK 0-30,000 25% 30,000-180,000 40% 180,000-277,500 50% 60% >277,500 75%
FGT.L Finsbury Growth & Income Trust PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-120,000 50% 60% >120,000 75%
NMC.L NMC Health PLC UK 0-7,000 20% 7,000-40,250 30% 40,250-57,750 50% 60% >57,750 75%
SCTS.L Softcat PLC UK 0-30,000 25% 30,000-90,000 40% 90,000-150,000 50% 60% >150,000 75%
FORT.L Forterra PLC UK 0-60,000 25% 60,000-180,000 40% >180000 75% 75%
SAFE.L Safestore Holdings PLC UK 0-25,000 20% 25,000-150,000 30% 150,000-187,500 50% 60% >187,500 75%
AMER.L Amerisur Resources PLC UK 0-400,000 25% 400,000-1,000,000 40% 1,000,000-1,600,000 50% 60% >1,600,000 75%
TRY.L TR Property Investment Trust PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-240,000 50% 60% >240,000 75%
TRIG.L Renewables Infrastructure Group Ltd UK 0-90,000 25% 90,000-270,000 40% 270,000-382,500 50% 60% >382,500 75%
PURP.L Purplebricks Group PLC UK 0-70,000 25% 70,000-210,000 40% 210,000-280,000 50% 60% >280,000 75%
3IN.L 3i Infrastructure PLC UK 0-50,000 20% 50,000-300,000 30% 300,000-387,500 50% 60% >387,500 75%
CWD.L Countrywide PLC UK 0-35,000 20% 35,000-210,000 30% 210,000-271,250 50% 60% >271,250 75%
ARWA.L Arrow Global Group Plc UK 0-35,000 25% 35,000-113,750 40% 113,750-157,500 50% 60% >157,500 75%
DNLM.L Dunelm Group PLC UK 0-10,000 20% 10,000-60,000 30% 60,000-82,500 50% 60% >82,500 75%
PDG.L Pendragon PLC UK 0-275,000 25% 275,000-825,000 40% 825,000-1,237,500 50% 60% >1,237,500 75%
CWK.L Cranswick PLC UK 0-4,000 20% 4,000-25,000 30% 25,000-27,000 50% 60% >27,000 75%
DLAR.L De La Rue PLC UK 0-15,000 20% 15,000-60,000 30% 60,000-93,750 50% 60% >93,750 75%
LRD.L Laird PLC UK 0-30,000 25% 30,000-180,000 40% 180,000-270,000 50% 60% >270,000 75%
VTU.L Vertu Motors PLC UK 0-180,000 25% 180,000-540,000 40% 540,000-945,000 50% 60% >945,000 75%
MNZS.L John Menzies PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-67,500 50% 60% >67,500 75%
UKCM.L UK Commercial Property Trust Ltd UK 0-110,000 20% 110,000-660,000 30% 660,000-742,500 50% 60% >742,500 75%
FCPTL.L F&C Commercial Property Trust Ltd UK 0-70,000 20% 70,000-420,000 30% 420,000-577,500 50% 60% >577,500 75%
DPLM.L Diploma PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-57,500 50% 60% >57,500 75%
CAL.L Capital & Regional PLC UK 0-140,000 25% 140,000-420,000 40% 420,000-595,000 50% 60% >595,000 75%
HSV.L Homeserve PLC UK 0-15,000 20% 15,000-60,000 30% 60,000-97,500 50% 60% >97,500 75%
BTEM.L British Empire Securities and General Trust PLC UK 0-15,000 20% 15,000-60,000 30% 60,000-97,500 50% 60% >97,500 75%
XCH.L Xchanging PLC UK 0-45,000 20% 45,000-135,000 30% 135,000-270,000 50% 60% >270,000 75%
PLP.L Polypipe Group plc UK 0-30,000 20% 30,000-180,000 30% 180,000-300,000 50% 60% >300,000 75%
BWNG.L N Brown Group PLC UK 0-40,000 20% 40,000-240,000 30% 240,000-330,000 50% 60% >330,000 75%
RDI.L Redefine International PLC UK 0-204,100 25% 204,100-1,071,525 40% 1,071,525-1,632,800 50% 60% >1,632,800 75%
BRW.L Brewin Dolphin Holdings PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-217,500 50% 60% >217,500 75%
SHAW.L Shawbrook Group Ltd UK 0-35,000 20% 35,000-210,000 30% 210,000-332,500 50% 60% >332,500 75%
KLR.L Keller Group PLC UK 0-9,000 20% 9,000-54,000 30% 54,000-69,750 50% 60% >69,750 75%
PHTM.L Photo-Me International PLC UK 0-50,000 20% 50,000-300,000 30% 300,000-362,500 50% 60% >362,500 75%
ZPLAZ.L Zoopla Property Group PLC UK 0-25,000 20% 25,000-150,000 30% 150,000-206,250 50% 60% >206,250 75%
AMSU.L Advanced Medical Solutions Group PLC UK 0-35,000 25% 35,000-113,750 40% 113,750-157,500 50% 60% >157,500 75%
TLW.L Tullow Oil PLC UK 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
MAB.L Mitchells & Butlers PLC UK 0-30,000 20% 30,000-180,000 30% 180,000-225,000 50% 60% >225,000 75%
LOOK.L Lookers PLC UK 0-60,000 20% 60,000-345,000 30% 345,000-465,000 50% 60% >465,000 75%
NANON.L Nanoco Group PLC UK 0-110,000 25% 110,000-330,000 40% 330,000-495,000 50% 60% >495,000 75%
LSRGq.L LSR Group UK 0-35,000 25% 35,000-113,750 40% 113,750-175,000 50% 60% >175,000 75%
FXPO.L Ferrexpo PLC UK 0-110,000 25% 110,000-330,000 40% 330,000-440,000 50% 60% >440,000 75%
GENS.L Genus PLC UK 0-4,000 20% 4,000-20,000 30% 20,000-26,000 50% 60% >26,000 75%
WLG.L Wireless Group Ltd UK 0-25,000 25% 25,000-75,000 40% 75,000-87,500 50% 60% >87,500 75%
MCB.L McBride PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-157,500 50% 60% >157,500 75%
BRAM.L Brammer PLC UK 0-60,000 25% 60,000-180,000 40% 180,000-300,000 50% 60% >300,000 75%
HYDRq.L RusHydro JSC - GDR UK 0-80,000 25% 80,000-240,000 40% 240,000-300,000 50% 60% >300,000 75%
AO.L AO World PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-213,750 50% 60% >213,750 75%
TCSq.L TCS Group Holding PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-67,500 50% 60% >67,500 75%
CARDC.L Card Factory PLC UK 0-25,000 20% 25,000-150,000 30% 150,000-168,750 50% 60% >168,750 75%
HGM.L Highland Gold Mining Ltd UK 0-60,000 20% 60,000-345,000 30% 345,000-480,000 50% 60% >480,000 75%
MNKS.L Monks Investment Trust PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-108,750 50% 60% >108,750 75%
MSLH.L Marshalls PLC UK 0-25,000 25% 25,000-100,000 40% 100,000-162,500 50% 60% >162,500 75%
PCT.L Polar Capital Technology Trust PLC UK 0-10,000 20% 10,000-60,000 30% 60,000-80,000 50% 60% >80,000 75%
ITE.L ITE Group PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-191,250 50% 60% >191,250 75%
GAMA.L Gamma Communications PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
ETI.L Enterprise Inns PLC UK 0-80,000 25% 80,000-240,000 40% 240,000-340,000 50% 60% >340,000 75%
GFS.L G4S PLC UK 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
TUIT.L TUI AG (LSE) UK 0-7,000 10% 7,000-70,000 20% 70,000-140,000 35% 45% >140,000 75%
BHMGu.L BH Macro Limited UK 0-5,000 25% 5,000-15,000 40% 15,000-20,000 50% 60% >20,000 75%
ESP.L Empiric Student Property PLC UK 0-60,000 20% 60,000-345,000 30% 345,000-480,000 50% 60% >480,000 75%
PCTN.L Picton Property Income Ltd UK 0-100,000 25% 100,000-300,000 40% 300,000-425,000 50% 60% >425,000 75%
JLT.L Jardine Lloyd Thompson Group PLC UK 0-7,000 20% 7,000-40,250 30% 40,250-59,500 50% 60% >59,500 75%
SIA.L Soco International PLC UK 0-50,000 25% 50,000-150,000 40% 150,000-212,500 50% 60% >212,500 75%
BIOGW.L Biotech Growth Trust PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-47,500 50% 60% >47,500 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 46 of 103
COSG.L Costain Group PLC UK 0-20,000 25% 20,000-120,000 40% 120,000-135,000 50% 60% >135,000 75%
SFES.L SafeStyle UK Ltd UK 0-25,000 25% 25,000-75,000 40% >75000 75% 75%
OSBO.L OneSavings Bank PLC UK 0-25,000 20% 25,000-150,000 30% 150,000-187,500 50% 60% >187,500 75%
FDL.L Findel PLC UK 0-35,000 25% 35,000-113,750 40% >113750 75% 75%
TMPL.L Temple Bar Investment Trust PLC UK 0-6,000 25% 6,000-34,500 40% 34,500-43,500 50% 60% >43,500 75%
CMBNC.L Cambian Group PLC UK 0-80,000 25% 80,000-240,000 40% 240,000-340,000 50% 60% >340,000 75%
PHP.L Primary Health Properties PLC UK 0-60,000 20% 60,000-345,000 30% 345,000-510,000 50% 60% >510,000 75%
TISCq.L Tata Steel Ltd - GDR UK 0-15,000 25% 15,000-45,000 40% 45,000-56,250 50% 60% >56,250 75%
ALML.L Allied Minds PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-80,000 50% 60% >80,000 75%
ETLNGq.L Etalon Group Ltd - GDR UK 0-30,000 25% 30,000-90,000 40% 90,000-112,500 50% 60% >112,500 75%
HVPEa.L HarbourVest Global Private Equity Limited UK 0-7,000 20% 7,000-40,250 30% 40,250-59,500 50% 60% >59,500 75%
JAM.L JPMorgan American Investment Trust PLC UK 0-20,000 25% 20,000-120,000 40% 120,000-140,000 50% 60% >140,000 75%
CHG.L Chemring Group PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-213,750 50% 60% >213,750 75%
GCC.L C&C Group PLC UK 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
FDM.L FDM Group Holdings PLC UK 0-10,000 20% 10,000-60,000 30% 60,000-77,500 50% 60% >77,500 75%
MRCH.L Merchants Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-67,500 50% 60% >67,500 75%
RGLR.L Regional Reit Limited UK 0-60,000 25% 60,000-180,000 40% 180,000-210,000 50% 60% >210,000 75%
ASL.L Aberforth Smaller Companies Trust PLC UK 0-6,000 20% 6,000-34,500 30% 34,500-49,500 50% 60% >49,500 75%
FFY.L Fyffes PLC UK 0-46,200 25% 46,200-138,600 40% 138,600-161,700 50% 60% >161,700 75%
SIBNq.L Gazprom Neft OAO - GDR UK 0-6,000 25% 6,000-19,500 40% 19,500-21,000 50% 60% >21,000 75%
GBGP.L GB Group PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-90,000 50% 60% >90,000 75%
STAF.L Staffline Group PLC UK 0-6,000 25% 6,000-34,500 40% 34,500-43,500 50% 60% >43,500 75%
LVD.L Lavendon Group PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-157,500 50% 60% >157,500 75%
CMCX.L CMC Markets PLC UK 0-25,000 20% 25,000-75,000 30% 75,000-87,500 50% 60% >87,500 75%
GCPI.L GCP Infrastructure Investments Ltd UK 0-45,000 25% 45,000-270,000 40% 270,000-315,000 50% 60% >315,000 75%
MUT.L Murray Income Trust PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-34,000 50% 60% >34,000 75%
SLI.L Standard Life Investment Property Income Trust PLC UK 0-70,000 25% 70,000-210,000 40% 210,000-385,000 50% 60% >385,000 75%
PLI.L Perpetual Income and Growth Investment Trust PLC UK 0-15,000 20% 15,000-90,000 30% 90,000-127,500 50% 60% >127,500 75%
P2PG.L P2P Global Investments PLC - Fund UK 0-7,000 25% 7,000-40,250 40% 40,250-49,000 50% 60% >49,000 75%
JEO.L Jupiter European Opportunities Trust PLC UK 0-10,000 25% 10,000-60,000 40% 60,000-70,000 50% 60% >70,000 75%
HLCL.L Helical Bar PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-85,000 50% 60% >85,000 75%
RKH.L Rockhopper Exploration PLC UK 0-190,000 25% 190,000-570,000 40% 570,000-665,000 50% 60% >665,000 75%
RAT.L Rathbone Brothers PLC UK 0-3,000 25% 3,000-20,250 40% 20,250-23,250 50% 60% >23,250 75%
NVA.L Novae Group PLC UK 0-7,000 25% 7,000-40,250 40% 40,250-45,500 50% 60% >45,500 75%
IQE.L IQE PLC UK 0-210,000 25% 210,000-630,000 40% 630,000-945,000 50% 60% >945,000 75%
TPOGu.L Third Point Offshore Investors Ltd UK 0-5,000 25% 5,000-15,000 40% 15,000-21,250 50% 60% >21,250 75%
VSVS.L Vesuvius PLC UK 0-15,000 25% 15,000-90,000 40% 90,000-120,000 50% 60% >120,000 75%
CKN.L Clarkson PLC UK 0-2,500 25% 2,500-15,000 40% 15,000-19,375 50% 60% >19,375 75%
RNK.L Rank Group PLC UK 0-25,000 25% 25,000-150,000 40% 150,000-175,000 50% 60% >175,000 75%
RTHM.L Rhythmone Plc UK 0-150,000 25% 150,000-450,000 40% 450,000-525,000 50% 60% >525,000 75%
UAI.L U And I Group PLC UK 0-30,000 25% 30,000-90,000 40% 90,000-165,000 50% 60% >165,000 75%
OXIG.L Oxford Instruments PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-24,500 50% 60% >24,500 75%
BNKR.L Bankers Investment Trust PLC UK 0-8,000 25% 8,000-50,000 40% 50,000-58,000 50% 60% >58,000 75%
FEV.L Fidelity European Values PLC UK 0-30,000 25% 30,000-180,000 40% 180,000-202,500 50% 60% >202,500 75%
LXB.L LXB Retail Properties PLC UK 0-80,000 25% 80,000-240,000 40% 240,000-340,000 50% 60% >340,000 75%
DALD.L Dalata Hotel Group PLC UK 0-15,700 20% 15,700-94,200 30% 94,200-314,000 50% 60% >314,000 75%
POG.L Petropavlovsk PLC UK 0-775,000 25% 775,000-2,518,750 40% >2518750 75% 75%
KNOS.L Kainos Group PLC UK 0-30,000 25% 30,000-90,000 40% >90000 75% 75%
SDRt.L Schroders PLC - Non Vtg UK 0-2,500 25% 2,500-10,000 40% 10,000-15,625 50% 60% >15,625 75%
PAFR.L Pan African Resources PLC UK 0-275,000 25% 275,000-1,512,500 40% 1,512,500-2,681,250 50% 60% >2,681,250 75%
DIAL.L Dialight PLC UK 0-8,000 25% 8,000-26,000 40% >26000 75% 75%
RWA.L Robert Walters PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
HFEL.L Henderson Far East Income Ltd UK 0-15,000 25% 15,000-45,000 40% 45,000-56,250 50% 60% >56,250 75%
CCC.L Computacenter PLC UK 0-7,000 25% 7,000-40,250 40% 40,250-56,000 50% 60% >56,000 75%
HSL.L Henderson Smaller Companies Investment Trust PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-38,000 50% 60% >38,000 75%
TPT.L Topps Tiles PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-157,500 50% 60% >157,500 75%
XAR.L Xaar PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-37,500 50% 60% >37,500 75%
PAYP.L PayPoint PLC UK 0-5,000 25% 5,000-30,000 40% 30,000-42,500 50% 60% >42,500 75%
STCK.L Stock Spirits Group PLC UK 0-30,000 25% 30,000-90,000 40% 90,000-105,000 50% 60% >105,000 75%
FRST.L First Derivatives PLC UK 0-2,500 25% 2,500-7,500 40% 7,500-10,625 50% 60% >10,625 75%
E2V.L E2V Technologies PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-115,000 50% 60% >115,000 75%
CCH.L Coca-Cola HBC AG (LSE) UK 0-3,000 10% 3,000-30,000 20% 30,000-240,000 35% 45% >240,000 75%
JMG.L JPMorgan Emerging Markets Investment Trust PLC UK 0-7,000 25% 7,000-40,250 40% 40,250-50,750 50% 60% >50,750 75%
SPT.L Spirent Communications PLC UK 0-60,000 25% 60,000-180,000 40% 180,000-210,000 50% 60% >210,000 75%
SCIN.L Scottish Investment Trust PLC UK 0-7,000 25% 7,000-40,250 40% 40,250-52,500 50% 60% >52,500 75%
ICP.L Intermediate Capital Group PLC UK 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
TNI.L Trinity Mirror PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-157,500 50% 60% >157,500 75%
HBRN.L Hibernia REIT PLC (LSE) UK 0-40,000 20% 40,000-240,000 30% 240,000-800,000 50% 60% >800,000 75%
CLDN.L Caledonia Investments PLC fund UK 0-2,000 25% 2,000-10,000 40% 10,000-15,500 50% 60% >15,500 75%
WIN.L Wincanton PLC UK 0-25,000 25% 25,000-75,000 40% 75,000-106,250 50% 60% >106,250 75%
AAIF.L Aberdeen Asian Income Fund Ltd UK 0-25,000 25% 25,000-75,000 40% 75,000-112,500 50% 60% >112,500 75%
MAB1.L Mortgage Advice Bureau Holdings Ltd UK 0-15,000 25% 15,000-45,000 40% 45,000-71,250 50% 60% >71,250 75%
MIDWM.L Midwich Limited UK 0-20,000 25% 20,000-60,000 40% 60,000-70,000 50% 60% >70,000 75%
FSJ.L James Fisher & Sons PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-15,000 50% 60% >15,000 75%
HSBKq.L Halyk Savings Bank of Kazakhstan JSC - GDR UK 0-10,000 25% 10,000-30,000 40% 30,000-45,000 50% 60% >45,000 75%
CAKEP.L Patisserie Holdings Ltd UK 0-15,000 25% 15,000-45,000 40% 45,000-78,750 50% 60% >78,750 75%
IPO.L IP Group PLC UK 0-25,000 25% 25,000-150,000 40% 150,000-168,750 50% 60% >168,750 75%
FOUR.L 4imprint Group PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-10,500 50% 60% >10,500 75%
AAS.L Aberdeen Asian Smaller Companies Investment Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-18,750 50% 60% >18,750 75%
TUNG.L Tungsten Corp PLC UK 0-70,000 25% 70,000-210,000 40% 210,000-245,000 50% 60% >245,000 75%
JMF.L JPMorgan Mid Cap Investment Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-20,000 50% 60% >20,000 75%
POWR.L Powerflute OYJ UK 0-60,000 25% 60,000-180,000 40% 180,000-285,000 50% 60% >285,000 75%
BGFD.L Baillie Gifford Japan Trust PLC UK 0-9,000 25% 9,000-24,750 40% 24,750-47,250 50% 60% >47,250 75%
JEMI.L JPMorgan Global Emerging Markets Income Trust Plc UK 0-40,000 25% 40,000-120,000 40% 120,000-150,000 50% 60% >150,000 75%
BAG.L BARR (A.G.) PLC UK 0-9,000 25% 9,000-54,000 40% 54,000-67,500 50% 60% >67,500 75%
KCOM.L Kcom Group PLC UK 0-40,000 25% 40,000-240,000 40% 240,000-290,000 50% 60% >290,000 75%
GYM.L Gym Group PLC/The UK 0-20,000 25% 20,000-60,000 40% 60,000-75,000 50% 60% >75,000 75%
SKS.L Shanks Group PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-236,250 50% 60% >236,250 75%
MXF.L MedicX Fund Ltd UK 0-50,000 25% 50,000-150,000 40% 150,000-237,500 50% 60% >237,500 75%
UKWG.L Greencoat UK Wind PLC UK 0-40,000 25% 40,000-120,000 40% 120,000-190,000 50% 60% >190,000 75%
CLG.L Clipper Logistics Group Ltd UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
RSER.L Riverstone Energy Limited UK 0-4,000 25% 4,000-10,000 40% 10,000-19,000 50% 60% >19,000 75%
NOGN.L Nostrum Oil & Gas PLC UK 0-15,000 25% 15,000-90,000 40% 90,000-105,000 50% 60% >105,000 75%
PRKG.L Park Group PLC UK 0-60,000 25% 60,000-180,000 40% 180,000-345,000 50% 60% >345,000 75%
HEAD.L Headlam Group PLC UK 0-9,000 25% 9,000-24,750 40% 24,750-40,500 50% 60% >40,500 75%
FLYB.L Flybe Group PLC UK 0-80,000 25% 80,000-240,000 40% 240,000-380,000 50% 60% >380,000 75%
TYMN.L Tyman PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-86,250 50% 60% >86,250 75%
OTB.L On the Beach Group PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-95,000 50% 60% >95,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 47 of 103
SERV.L Servelec Group Plc UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
AVON.L Avon Rubber PLC UK 0-5,000 25% 5,000-15,000 40% >15000 75% 75%
MONI.L Monitise PLC UK 0-1,650,000 25% 1,650,000-4,950,000 40% >4950000 75% 75%
BLVN.L BowLeven PLC UK 0-160,000 25% 160,000-480,000 40% 480,000-680,000 50% 60% >680,000 75%
SREI.L Schroder Real Estate Investment Trust Ltd UK 0-70,000 25% 70,000-210,000 40% 210,000-385,000 50% 60% >385,000 75%
BGS.L Baillie Gifford Shin Nippon PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-44,000 50% 60% >44,000 75%
HFG.L Hilton Food Group PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-28,000 50% 60% >28,000 75%
FPM.L Faroe Petroleum PLC UK 0-60,000 25% 60,000-180,000 40% 180,000-270,000 50% 60% >270,000 75%
DFSD.L DFS Furniture Ltd UK 0-15,000 25% 15,000-90,000 40% 90,000-112,500 50% 60% >112,500 75%
HSS.L HSS Hire Group PLC UK 0-50,000 25% 50,000-150,000 40% 150,000-175,000 50% 60% >175,000 75%
PNL.L Personal Assets Trust PLC UK 0-100 25% 100-600 40% 600-875 50% 60% >875 75%
RCDO.L Ricardo PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-21,250 50% 60% >21,250 75%
HGT.L HgCapital Trust PLC Fund UK 0-3,000 25% 3,000-9,000 40% 9,000-14,250 50% 60% >14,250 75%
BRK.L Brooks Macdonald Group PLC UK 0-2,000 25% 2,000-6,000 40% >6000 75% 75%
CEY.L Centamin PLC UK 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
JII.L JPMorgan Indian Investment Trust PLC UK 0-6,000 25% 6,000-34,500 40% 34,500-45,000 50% 60% >45,000 75%
TFIF.L TwentyFour Income Fund Ltd UK 0-35,000 25% 35,000-210,000 40% 210,000-262,500 50% 60% >262,500 75%
TRMKq.L TMK OAO - GDR UK 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
FCRE.L F&C UK Real Estate Investment Ltd UK 0-40,000 25% 40,000-120,000 40% 120,000-170,000 50% 60% >170,000 75%
SIV.L St Ives PLC UK 0-30,000 25% 30,000-90,000 40% 90,000-142,500 50% 60% >142,500 75%
BHGG.L BH Global Ltd - GBP UK 0-3,000 25% 3,000-9,000 40% 9,000-15,000 50% 60% >15,000 75%
DIG.L Dunedin Income Growth Investment Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-56,250 50% 60% >56,250 75%
IDOX.L IDOX PLC UK 0-50,000 25% 50,000-150,000 40% 150,000-187,500 50% 60% >187,500 75%
STOB.L Stobart Group Ltd UK 0-25,000 25% 25,000-150,000 40% 150,000-181,250 50% 60% >181,250 75%
MHPCq.L MHP SA - GDR UK 0-5,000 25% 5,000-15,000 40% 15,000-20,000 50% 60% >20,000 75%
RNWH.L Renew Holdings PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-50,000 50% 60% >50,000 75%
CPRC.L Carpetright PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
WIL.L Wilmington Group PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
QP.L Quantum Pharmaceutical PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-157,500 50% 60% >157,500 75%
IL0A.L permanent tsb Group Holdings PLC UK 0-20,200 25% 20,200-121,200 40% 121,200-303,000 50% 60% >303,000 75%
GENE.L Genesis Emerging Markets Fund Ltd UK 0-6,000 25% 6,000-34,500 40% 34,500-48,000 50% 60% >48,000 75%
PEY.L Princess Private Equity Holding Ltd UK 0-5,000 25% 5,000-15,000 40% 15,000-25,000 50% 60% >25,000 75%
DVO.L Devro PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-78,750 50% 60% >78,750 75%
CSN.L Chesnara PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-50,000 50% 60% >50,000 75%
NCYF.L New City High Yield Fund Ltd UK 0-60,000 25% 60,000-180,000 40% 180,000-240,000 50% 60% >240,000 75%
UANC.L Urban & Civic plc UK 0-15,000 25% 15,000-45,000 40% 45,000-67,500 50% 60% >67,500 75%
PACA.L Pacific Assets Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
LWDB.L Law Debenture Corp PLC UK 0-7,000 25% 7,000-40,250 40% 40,250-49,000 50% 60% >49,000 75%
MKT.L Market Tech Holdings Ltd UK 0-20,000 25% 20,000-60,000 40% 60,000-120,000 50% 60% >120,000 75%
UTW.L Utilitywise PLC UK 0-25,000 25% 25,000-75,000 40% 75,000-87,500 50% 60% >87,500 75%
BIST.L Blackrock Income Stategies Trust Plc UK 0-30,000 25% 30,000-90,000 40% 90,000-135,000 50% 60% >135,000 75%
RICA_p.L Ruffer Investment Company Ltd UK 0-15,000 25% 15,000-45,000 40% 45,000-75,000 50% 60% >75,000 75%
SOI.L Schroder Oriental Income Fund Ltd UK 0-15,000 25% 15,000-90,000 40% 90,000-101,250 50% 60% >101,250 75%
XPP.L XP Power Ltd UK 0-2,000 25% 2,000-6,000 40% 6,000-7,000 50% 60% >7,000 75%
EFIDq.L Edita Food Industries SAE UK 0-7,000 25% 7,000-19,250 40% 19,250-24,500 50% 60% >24,500 75%
NUM.L Numis Corp PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
AFEN.L AFC Energy PLC UK 0-140,000 25% 140,000-420,000 40% 420,000-595,000 50% 60% >595,000 75%
CNCTC.L Connect Group PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-80,000 50% 60% >80,000 75%
FEET.L Fundsmith Emerging Equities Trust UK 0-3,000 25% 3,000-9,000 40% 9,000-12,750 50% 60% >12,750 75%
MCLSM.L McColl's Retail Group Ltd UK 0-20,000 25% 20,000-60,000 40% 60,000-75,000 50% 60% >75,000 75%
CIRCI.L Circassia Pharmaceuticals Plc UK 0-35,000 25% 35,000-113,750 40% 113,750-192,500 50% 60% >192,500 75%
BLPU.L Bloomsbury Publishing PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-90,000 50% 60% >90,000 75%
CSRT.L Consort Medical PLC UK 0-3,000 25% 3,000-20,250 40% 20,250-22,500 50% 60% >22,500 75%
MTC.L Mothercare PLC UK 0-25,000 25% 25,000-75,000 40% 75,000-112,500 50% 60% >112,500 75%
SLS.L Standard Life UK Smaller Co Trust UK 0-9,000 25% 9,000-24,750 40% 24,750-38,250 50% 60% >38,250 75%
PKGPq.L PIK Group - GDR UK 0-10,000 25% 10,000-30,000 40% 30,000-60,000 50% 60% >60,000 75%
DIVI.L Diverse Income Trust PLC UK 0-35,000 25% 35,000-113,750 40% 113,750-148,750 50% 60% >148,750 75%
SWEF.L Starwood European Real Estate Finance Ltd UK 0-30,000 25% 30,000-90,000 40% 90,000-142,500 50% 60% >142,500 75%
NAIT.L North American Income Trust PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-15,750 50% 60% >15,750 75%
CIU.L Cape PLC UK 0-15,000 25% 15,000-90,000 40% 90,000-105,000 50% 60% >105,000 75%
PRTC.L PureTech Health Plc UK 0-20,000 25% 20,000-60,000 40% >60000 75% 75%
UEM.L Utilico Emerging Markets Ltd UK 0-15,000 25% 15,000-45,000 40% 45,000-67,500 50% 60% >67,500 75%
ERM.L Euromoney Institutional Investor PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-17,250 50% 60% >17,250 75%
FSFL.L Foresight Solar Fund PLC UK 0-30,000 25% 30,000-90,000 40% >90000 75% 75%
ALAPH.L Alliance Pharma PLC UK 0-60,000 25% 60,000-180,000 40% 180,000-315,000 50% 60% >315,000 75%
VTC.L Vitec Group PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-22,500 50% 60% >22,500 75%
EFM.L Edinburgh Dragon Trust PLC Fund UK 0-10,000 25% 10,000-40,000 40% 40,000-65,000 50% 60% >65,000 75%
BRCI.L BlackRock Commodities Income Investment Trust PLC UK 0-40,000 25% 40,000-120,000 40% 120,000-160,000 50% 60% >160,000 75%
FSV.L Fidelity Special Values PLC UK 0-15,000 25% 15,000-90,000 40% 90,000-123,750 50% 60% >123,750 75%
MLC.L Millennium & Copthorne Hotels PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-33,250 50% 60% >33,250 75%
JESC.L JPMorgan Eur Smaller Companies Trust PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-55,000 50% 60% >55,000 75%
IBT.L International Biotechnology Trust PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-24,000 50% 60% >24,000 75%
ROSyq.L Rostelecom OJSC - GDR UK 0-5,000 25% 5,000-15,000 40% 15,000-17,500 50% 60% >17,500 75%
SDY.L Speedy Hire PLC UK 0-80,000 25% 80,000-240,000 40% >240000 75% 75%
APF.L Anglo Pacific Group PLC UK 0-30,000 25% 30,000-90,000 40% 90,000-120,000 50% 60% >120,000 75%
DXDX.L DX Group Ltd UK 0-160,000 25% 160,000-480,000 40% 480,000-560,000 50% 60% >560,000 75%
POLR.L Polar Capital Holdings PLC UK 0-9,000 25% 9,000-24,750 40% 24,750-38,250 50% 60% >38,250 75%
TRG.L TR European Growth Trust PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-17,000 50% 60% >17,000 75%
DDDD.L 4d pharma plc UK 0-4,000 25% 4,000-10,000 40% 10,000-15,000 50% 60% >15,000 75%
ABD.L Aberdeen New Dawn Investment Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
BRSC.L BlackRock Smaller Cos Trust PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-15,000 50% 60% >15,000 75%
SAA.L Saatchi (M&C) PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-30,000 50% 60% >30,000 75%
IDHC.L Integrated Diagnostics Holdings PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-40,000 50% 60% >40,000 75%
SOST.L Scottish Oriental Smaller Companies Trust PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-12,000 50% 60% >12,000 75%
TIGT.L Troy Income & Growth Trust PLC UK 0-35,000 25% 35,000-113,750 40% 113,750-157,500 50% 60% >157,500 75%
TRS.L Tarsus Group PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-50,000 50% 60% >50,000 75%
LWI.L Lowland Investment Company PLC UK 0-2,000 25% 2,000-6,000 40% 6,000-9,500 50% 60% >9,500 75%
AVM.L Avocet Mining PLC UK 0-25,000 25% 25,000-150,000 40% 150,000-187,500 50% 60% >187,500 75%
CHAT.L Charles Taylor PLC UK 0-9,000 25% 9,000-24,750 40% 24,750-38,250 50% 60% >38,250 75%
NAH.L NAHL Group Ltd UK 0-10,000 25% 10,000-30,000 40% 30,000-35,000 50% 60% >35,000 75%
PCFT.L Polar Capital Global Financials Trust PLC UK 0-25,000 25% 25,000-75,000 40% 75,000-112,500 50% 60% >112,500 75%
CAML.L Central Asia Metals PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
IAE.L Ithaca Energy Inc (LSE) UK 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
NESF.L NextEnergy Solar Fund Limited UK 0-25,000 25% 25,000-75,000 40% 75,000-87,500 50% 60% >87,500 75%
BACT.L BACIT Ltd UK 0-20,000 25% 20,000-60,000 40% 60,000-100,000 50% 60% >100,000 75%
KSK.L KSK Power Ventur PLC UK 0-30,000 25% 30,000-90,000 40% >90000 75% 75%
GEMD.L Gem Diamonds Ltd UK 0-20,000 25% 20,000-60,000 40% 60,000-80,000 50% 60% >80,000 75%
RWS.L RWS Holdings PLC UK 0-10,000 25% 10,000-60,000 40% 60,000-87,500 50% 60% >87,500 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 48 of 103
TRBG.L Tribal Group PLC UK 0-45,000 25% 45,000-135,000 40% 135,000-191,250 50% 60% >191,250 75%
PURE.L PureCircle Limited UK 0-8,000 25% 8,000-32,000 40% 32,000-52,000 50% 60% >52,000 75%
SLET.L Standard Life Equity Income Trust PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-24,000 50% 60% >24,000 75%
EWI.L Edinburgh Worldwide Investment Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-18,750 50% 60% >18,750 75%
VSLV.L VPC Specialty Lending Investments PLC UK 0-30,000 25% 30,000-90,000 40% 90,000-157,500 50% 60% >157,500 75%
SDU.L Schroder UK Growth Fund PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-63,750 50% 60% >63,750 75%
HRI.L Herald Investment Trust PLC UK 0-3,000 25% 3,000-20,250 40% 20,250-21,750 50% 60% >21,750 75%
SPH.L Sinclair IS Pharma PLC UK 0-80,000 25% 80,000-240,000 40% 240,000-280,000 50% 60% >280,000 75%
SCAM.L Scottish American Investment Co PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-34,000 50% 60% >34,000 75%
JPGI.L JPMorgan Global Growth & Income PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-45,000 50% 60% >45,000 75%
GLEG.L MJ Gleeson PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-18,000 50% 60% >18,000 75%
BHMGx.L BH Macro Ltd - Euro UK 0-1,500 25% 1,500-4,500 40% 4,500-7,125 50% 60% >7,125 75%
RBG.L Revolution Bars Group Plc UK 0-15,000 25% 15,000-45,000 40% 45,000-63,750 50% 60% >63,750 75%
SEPL.L SEPLAT Petroleum Development Co Plc UK 0-30,000 25% 30,000-90,000 40% 90,000-127,500 50% 60% >127,500 75%
KCELq.L KCell JSC - GDR UK 0-9,000 25% 9,000-24,750 40% 24,750-31,500 50% 60% >31,500 75%
HDIV.L Henderson Diversified Income Limited UK 0-25,000 25% 25,000-75,000 40% 75,000-93,750 50% 60% >93,750 75%
MKLW.L Mucklow A & J Group PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-21,250 50% 60% >21,250 75%
ICGT.L ICG Graphite Enterprise Trust PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-18,000 50% 60% >18,000 75%
SFR.L Severfield-Rowen PLC UK 0-40,000 25% 40,000-120,000 40% 120,000-200,000 50% 60% >200,000 75%
MGNS.L Morgan Sindall Group PLC UK 0-3,000 25% 3,000-20,250 40% 20,250-27,750 50% 60% >27,750 75%
LSL.L LSL Property Services PLC UK 0-10,000 25% 10,000-60,000 40% 60,000-65,000 50% 60% >65,000 75%
SESTS.L Securities Trust of Scotland PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
HNE.L Henderson EuroTrust PLC UK 0-2,500 25% 2,500-7,500 40% 7,500-8,750 50% 60% >8,750 75%
TRFT.L Trifast PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-78,750 50% 60% >78,750 75%
STBS.L Secure Trust Bank PLC UK 0-1,000 25% 1,000-6,000 40% 6,000-6,500 50% 60% >6,500 75%
LAM.L Lamprell PLC UK 0-35,000 25% 35,000-113,750 40% 113,750-140,000 50% 60% >140,000 75%
LWB.L Low & Bonar PLC UK 0-35,000 25% 35,000-113,750 40% >113750 75% 75%
RTT.L Allianz Technology Trust Plc UK 0-3,000 25% 3,000-9,000 40% 9,000-11,250 50% 60% >11,250 75%
JUS.L Jupiter US Small Companies Plc UK 0-3,000 25% 3,000-9,000 40% 9,000-11,250 50% 60% >11,250 75%
BBGIB.L BBGI SICAV SA Fund UK 0-15,000 25% 15,000-90,000 40% 90,000-116,250 50% 60% >116,250 75%
PANI.L PANTHEON INTERNATIONAL UK 0-1,500 25% 1,500-9,000 40% 9,000-13,500 50% 60% >13,500 75%
EPWN.L Epwin Group PLC UK 0-20,000 25% 20,000-60,000 40% >60000 75% 75%
HINT.L Henderson International Income Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-75,000 50% 60% >75,000 75%
VP.L Vp PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-10,500 50% 60% >10,500 75%
UKM.L UK Mail Group PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-38,500 50% 60% >38,500 75%
EUTP.L European Investment Trust PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-12,750 50% 60% >12,750 75%
ALTAN.L Alternative Networks PLC UK 0-7,000 25% 7,000-40,250 40% 40,250-45,500 50% 60% >45,500 75%
BSIF.L Bluefield Solar Income Fund Ltd UK 0-20,000 25% 20,000-60,000 40% 60,000-105,000 50% 60% >105,000 75%
BRNA.L Blackrock North American Income Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
NICL.L Nichols PLC UK 0-1,500 25% 1,500-4,500 40% 4,500-8,625 50% 60% >8,625 75%
EKF.L EKF Diagnostics Holdings PLC UK 0-140,000 25% 140,000-420,000 40% 420,000-700,000 50% 60% >700,000 75%
HEFT.L Henderson European Focus Trust PLC UK 0-2,000 25% 2,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
PUB.L Punch Taverns PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-75,000 50% 60% >75,000 75%
GHH.L Gooch & Housego PLC UK 0-2,000 25% 2,000-6,000 40% 6,000-10,500 50% 60% >10,500 75%
JLEN.L John Laing Environmental Assets Group Limited UK 0-20,000 25% 20,000-60,000 40% 60,000-70,000 50% 60% >70,000 75%
MOTR.L Motorpoint group PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-35,000 50% 60% >35,000 75%
IVI.L Invesco Income Growth Trust PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-33,250 50% 60% >33,250 75%
NTAS.L North Atlantic Smaller Cos Investment Trust PLC UK 0-800 25% 800-2,600 40% 2,600-3,200 50% 60% >3,200 75%
SEC.L Strategic Equity Capital PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-40,000 50% 60% >40,000 75%
THRG.L Throgmorton Trust PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-31,500 50% 60% >31,500 75%
SEPU.L Sepura PLC UK 0-40,000 25% 40,000-240,000 40% 240,000-260,000 50% 60% >260,000 75%
RUS.L Raven Russia Ltd UK 0-50,000 25% 50,000-150,000 40% 150,000-275,000 50% 60% >275,000 75%
IPU.L Invesco Perpetual UK Smaller Companies Investment Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-17,500 50% 60% >17,500 75%
NII.L New India Investment Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-20,000 50% 60% >20,000 75%
PORV.L Porvair PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-18,750 50% 60% >18,750 75%
AEMC.L Aberdeen Emerging Markets Investment Co Ltd UK 0-4,000 25% 4,000-10,000 40% 10,000-16,000 50% 60% >16,000 75%
CHOO.L Jimmy Choo PLC UK 0-15,000 25% 15,000-90,000 40% 90,000-138,750 50% 60% >138,750 75%
HHI.L Henderson High Income Trust PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-40,000 50% 60% >40,000 75%
CMHY.L City Merchants High Yield Trust Ltd UK 0-10,000 25% 10,000-30,000 40% 30,000-42,500 50% 60% >42,500 75%
PCGH.L Polar Capital Global Healthcare Growth and Income Trust PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-45,000 50% 60% >45,000 75%
BRFI.L BlackRock Frontiers Investment Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-75,000 50% 60% >75,000 75%
SQZ.L Serica Energy PLC UK 0-120,000 25% 120,000-360,000 40% >360000 75% 75%
FLOL.L Flowtech Fluidpower plc UK 0-15,000 25% 15,000-45,000 40% 45,000-63,750 50% 60% >63,750 75%
VER.L Vernalis PLC UK 0-45,000 25% 45,000-135,000 40% >135000 75% 75%
FPERx.L F&C Private Equity Trust PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-31,500 50% 60% >31,500 75%
APAX.L Apax Global Alpha Limited UK 0-15,000 25% 15,000-45,000 40% 45,000-63,750 50% 60% >63,750 75%
MCKS.L McKay Securities PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-57,500 50% 60% >57,500 75%
BHY.L Boot (Henry) PLC UK 0-9,000 25% 9,000-24,750 40% 24,750-38,250 50% 60% >38,250 75%
JMC.L JPMorgan Chinese Investment Trust PLC UK 0-9,000 25% 9,000-24,750 40% 24,750-29,250 50% 60% >29,250 75%
STVG.L STV Group PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-18,750 50% 60% >18,750 75%
HNTS.L Huntsworth PLC UK 0-45,000 25% 45,000-270,000 40% 270,000-405,000 50% 60% >405,000 75%
JHD.L James Halstead PLC UK 0-4,000 25% 4,000-25,000 40% 25,000-30,000 50% 60% >30,000 75%
JGCI.L JPMorgan Global Convertibles Income Fund Limited UK 0-20,000 25% 20,000-60,000 40% 60,000-90,000 50% 60% >90,000 75%
AVN.L Avanti Communications Group PLC UK 0-45,000 25% 45,000-180,000 40% 180,000-292,500 50% 60% >292,500 75%
HTGR.L H&T Group PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-27,000 50% 60% >27,000 75%
GHGG.L Georgia Healthcare Group PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-21,000 50% 60% >21,000 75%
LEK.L Lekoil Ltd UK 0-110,000 25% 110,000-330,000 40% 330,000-440,000 50% 60% >440,000 75%
SCP.L Schroder UK Mid Cap Fund PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-20,000 50% 60% >20,000 75%
CGS.L Castings PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-12,000 50% 60% >12,000 75%
BKY.L Berkeley Energia Limited UK 0-39,800 25% 39,800-238,800 40% 238,800-268,650 50% 60% >268,650 75%
STHR.L Sthree PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-38,500 50% 60% >38,500 75%
CYNL.L City Natural Resources High Yield Trust PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-67,500 50% 60% >67,500 75%
JCH.L JPMorgan Claverhouse Investment Trust PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-13,500 50% 60% >13,500 75%
KIT.L Keystone Investment Trust PLC UK 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
HASE.L Hargreaves Services PLC UK 0-9,000 25% 9,000-24,750 40% 24,750-31,500 50% 60% >31,500 75%
SEQI.L Sequoia Economic Infrastructure Income Fund Limited UK 0-15,000 25% 15,000-45,000 40% 45,000-82,500 50% 60% >82,500 75%
FCS.L F&C Global Smaller Companies PLC UK 0-1,500 25% 1,500-9,000 40% 9,000-10,875 50% 60% >10,875 75%
SDP.L Schroder AsiaPacific Fund PLC UK 0-5,000 25% 5,000-30,000 40% 30,000-37,500 50% 60% >37,500 75%
EXIL.L Exillon Energy PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-75,000 50% 60% >75,000 75%
PWS.L Pinewood Group PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-15,000 50% 60% >15,000 75%
MNP.L Martin Currie Portfolio Investment Trust PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-36,000 50% 60% >36,000 75%
QFI.L Quadrise Fuels International PLC UK 0-130,000 25% 130,000-390,000 40% 390,000-455,000 50% 60% >455,000 75%
SJG.L Schroder Japan Growth Fund PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-40,000 50% 60% >40,000 75%
JRS.L JPMorgan Russian Securities PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-14,000 50% 60% >14,000 75%
APGNA.L Applegreen PLC UK 0-4,000 25% 4,000-25,000 40% 25,000-38,000 50% 60% >38,000 75%
BRGE.L BlackRock Greater Europe Investment Trust PLC - INV UK 0-6,000 25% 6,000-19,500 40% 19,500-25,500 50% 60% >25,500 75%
LIO.L Liontrust Asset Management PLC UK 0-5,000 25% 5,000-15,000 40% >15000 75% 75%
EXO.L Exova Group PLC UK 0-8,000 25% 8,000-24,000 40% 24,000-48,000 50% 60% >48,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 49 of 103
NXR.L Norcros PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-37,500 50% 60% >37,500 75%
GAW.L Games Workshop Group PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-15,000 50% 60% >15,000 75%
FAS.L Fidelity Asian Values PLC UK 0-5,000 25% 5,000-30,000 40% 30,000-32,500 50% 60% >32,500 75%
IMPX.L Impax Environmental Markets PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-40,000 50% 60% >40,000 75%
AUKT.L Aberdeen UK Tracker Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-25,000 50% 60% >25,000 75%
DWCG.L DW Catalyst Fund Limited UK 0-1,500 25% 1,500-4,500 40% 4,500-6,375 50% 60% >6,375 75%
GEM.L Gemfields PLC UK 0-40,000 25% 40,000-120,000 40% 120,000-160,000 50% 60% >160,000 75%
CLSH.L CLS Holdings PLC UK 0-1,000 25% 1,000-6,000 40% 6,000-8,000 50% 60% >8,000 75%
JFJ.L JPMorgan Japanese Investment Trust PLC UK 0-5,000 25% 5,000-30,000 40% 30,000-36,250 50% 60% >36,250 75%
LAKE.L Lakehouse PLC UK 0-40,000 25% 40,000-120,000 40% 120,000-220,000 50% 60% >220,000 75%
AGIT.L Aberforth Geared Income Trust PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-28,000 50% 60% >28,000 75%
FCIF.L Funding Circle SME Income Fund Limited UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
ACL.L Acal PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-25,500 50% 60% >25,500 75%
CCPG.L CVC Credit Partners European Opportunities Limited UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
LMS.L LMS Capital PLC UK 0-25,000 25% 25,000-75,000 40% >75000 75% 75%
ATRAS.L Asian Total Return Investment Company PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-22,500 50% 60% >22,500 75%
A7L.L Amur Minerals Corp UK 0-450,000 25% 450,000-1,462,500 40% 1,462,500-1,800,000 50% 60% >1,800,000 75%
JUSC.L JPMorgan US Smaller Companies IT PLC UK 0-7,000 25% 7,000-19,250 40% 19,250-29,750 50% 60% >29,750 75%
UKML.L UK Mortgages Limited UK 0-15,000 25% 15,000-45,000 40% 45,000-56,250 50% 60% >56,250 75%
TTG.L TT electronics PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-45,000 50% 60% >45,000 75%
CMS.L Communisis PLC UK 0-35,000 25% 35,000-113,750 40% 113,750-183,750 50% 60% >183,750 75%
MOSB.L Moss Bros Group PLC UK 0-15,000 25% 15,000-45,000 40% >45000 75% 75%
MTU.L Montanaro UK Smaller Companies Investment Trust PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-12,000 50% 60% >12,000 75%
SIHL.L Symphony International Holdings Ltd UK 0-25,000 25% 25,000-75,000 40% 75,000-87,500 50% 60% >87,500 75%
SMIF.L TwentyFour Select Monthly Income Fund Limited UK 0-15,000 25% 15,000-45,000 40% 45,000-60,000 50% 60% >60,000 75%
IAT.L INVESCO Asia Trust PLC UK 0-6,000 25% 6,000-19,500 40% >19500 75% 75%
ROD.L Sportech PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-75,000 50% 60% >75,000 75%
JAI.L JPMorgan Asian Investment Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-20,000 50% 60% >20,000 75%
GKP.L Gulf Keystone Petroleum Ltd UK 0-650,000 25% 650,000-1,950,000 40% 1,950,000-3,900,000 50% 60% >3,900,000 75%
MYSL.L MySale Group PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-52,500 50% 60% >52,500 75%
SCF.L Schroder Income Growth Fund PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-25,000 50% 60% >25,000 75%
JETi.L JPMorgan European Investment Trust PLC UK 0-10,000 25% 10,000-30,000 40% 30,000-42,500 50% 60% >42,500 75%
ECW.L Ecofin Water & Power Opportunities PLC fund UK 0-10,000 25% 10,000-30,000 40% 30,000-55,000 50% 60% >55,000 75%
ARBB.L Arbuthnot Banking Group PLC UK 0-800 25% 800-2,600 40% 2,600-2,800 50% 60% >2,800 75%
T7O.L Total Produce PLC (LSE) UK 0-9,300 25% 9,300-55,800 40% 55,800-186,000 50% 60% >186,000 75%
PHI.L Pacific Horizon Investment Trust PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-21,000 50% 60% >21,000 75%
HENT.L Henderson Opportunities Trust PLC UK 0-1,500 25% 1,500-4,500 40% 4,500-5,250 50% 60% >5,250 75%
HAST.L Henderson Alternative Strategies Trust PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-20,000 50% 60% >20,000 75%
GMS.L Gulf Marine Services PLC UK 0-25,000 25% 25,000-150,000 40% 150,000-175,000 50% 60% >175,000 75%
STLI.L Standard Life European Private Equity Trust PLC UK 0-5,000 25% 5,000-20,000 40% 20,000-31,250 50% 60% >31,250 75%
BRLA.L BlackRock Latin American Investment Trust PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-13,500 50% 60% >13,500 75%
OXB.L Oxford Biomedica PLC UK 0-275,000 25% 275,000-825,000 40% 825,000-1,100,000 50% 60% >1,100,000 75%
EPO.L Earthport PLC UK 0-70,000 25% 70,000-210,000 40% 210,000-280,000 50% 60% >280,000 75%
BUT.L Brunner Investment Trust PLC UK 0-2,000 25% 2,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
RM.L RM PLC UK 0-8,000 25% 8,000-26,000 40% 26,000-32,000 50% 60% >32,000 75%
SHRS.L Shires Income PLC UK 0-5,000 25% 5,000-15,000 40% 15,000-22,500 50% 60% >22,500 75%
SQNS.L SQN Asset Finance Income Fund Ltd UK 0-10,000 25% 10,000-30,000 40% 30,000-57,500 50% 60% >57,500 75%
FCI.L F&C Capital & Income Investment Trust PLC Fund UK 0-4,000 25% 4,000-10,000 40% 10,000-15,000 50% 60% >15,000 75%
MTEC.L Matchtech Group PLC UK 0-3,000 25% 3,000-9,000 40% 9,000-12,000 50% 60% >12,000 75%
MTVW.L Mountview Estates PLC UK 0-100 25% 100-300 40% 300-450 50% 60% >450 75%
CLIG.L City of London Investment Group PLC UK 0-3,000 25% 3,000-9,000 40% >9000 75% 75%
GMDG.L GAME Digital PLC UK 0-15,000 25% 15,000-45,000 40% 45,000-67,500 50% 60% >67,500 75%
CGT.L Capital Gearing Trust PLC UK 0-300 25% 300-900 40% 900-1,050 50% 60% >1,050 75%
MPE.L MP Evans Group PLC UK 0-1,700 25% 1,700-3,400 40% 3,400-5,100 50% 60% >5,100 75%
CBP.L Curtis Banks Group PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-16,000 50% 60% >16,000 75%
VOG.L Victoria Oil & Gas PLC UK 0-30,000 25% 30,000-90,000 40% 90,000-135,000 50% 60% >135,000 75%
DJAN.L Daejan Holdings PLC UK 0-200 25% 200-1,000 40% 1,000-1,800 50% 60% >1,800 75%
GDWN.L Goodwin PLC UK 0-500 25% 500-1,500 40% >1500 75% 75%
CREI.L Custodian Reit PLC UK 0-10,000 25% 10,000-60,000 40% 60,000-75,000 50% 60% >75,000 75%
ABBY.L Abbey PLC UK 0-1,000 25% 1,000-2,000 40% 2,000-3,000 50% 60% >3,000 75%
FSTA.L Fuller Smith & Turner UK 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
BHGGu.L BH Global Ltd - USD UK 0-1,100 25% 1,100-3,575 40% >3575 75% 75%
C1Y.L Carclo PLC UK 0-8,000 25% 8,000-26,000 40% >26000 75% 75%
MTFB.L Motif Bio PLC UK 0-20,000 25% 20,000-60,000 40% 60,000-115,000 50% 60% >115,000 75%
STWT.L Stewart & Wight PLC UK 0-2,100 25% 2,100-6,300 40% >6300 75% 75%
BEE.L Baring Emerging Europe PLC UK 0-1,700 25% 1,700-5,100 40% 5,100-5,950 50% 60% >5,950 75%
ANW.L Aberdeen New Thai Investment Trust PLC UK 0-2,200 25% 2,200-6,600 40% 6,600-9,350 50% 60% >9,350 75%
HMSGq.L Hydraulic Machines and Systems Group PLC - GDR UK 0-2,800 25% 2,800-8,400 40% >8400 75% 75%
OXS.L Oxus Gold PLC UK 0-325,000 25% 325,000-975,000 40% 975,000-1,218,750 50% 60% >1,218,750 75%
INDII.L Indus Gas Ltd UK 0-2,500 25% 2,500-7,500 40% >7500 75% 75%
MUL.L Mulberry Group PLC UK 0-900 25% 900-5,400 40% 5,400-18,000 50% 60% >18,000 75%
AIRA.L Air Partner PLC UK 0-2,200 25% 2,200-6,600 40% 6,600-7,700 50% 60% >7,700 75%
BEEP.L Blackrock Emerging Europe PLC UK 0-3,900 25% 3,900-9,750 40% >9750 75% 75%
AGOL.L Ashmore Global Opportunities Limited UK 0-2,600 25% 2,600-7,800 40% >7800 75% 75%
MNL.L Manchester & London Investment Trust PLC UK 0-3,500 25% 3,500-9,625 40% >9625 75% 75%
RIV.L River & Mercantile Group PLC UK 0-4,700 25% 4,700-15,275 40% >15275 75% 75%
JEV.L Kenmare Resources PLC (LSE) UK 0-4,000 25% 4,000-25,000 40% 25,000-44,000 50% 60% >44,000 75%
ANEA.L Anglo-Eastern Plantations PLC UK 0-2,100 25% 2,100-6,300 40% 6,300-7,875 50% 60% >7,875 75%
MAJE.L Majedie Investments PLC UK 0-3,900 25% 3,900-9,750 40% >9750 75% 75%
VIN.L Value and Income Trust PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-16,000 50% 60% >16,000 75%
HAN.L Hansa Trust PLC UK 0-1,200 25% 1,200-3,600 40% >3600 75% 75%
TILST.L Tiziana Life Sciences PLC UK 0-5,300 25% 5,300-14,575 40% >14575 75% 75%
JUKG.L Jupiter UK Growth Investment Trust PLC UK 0-3,400 25% 3,400-10,200 40% >10200 75% 75%
JPS.L JPMorgan Japan Smaller Companies Trust PLC UK 0-3,400 25% 3,400-10,200 40% 10,200-14,450 50% 60% >14,450 75%
EPICE.L Ediston Property Investment Company PLC UK 0-9,900 25% 9,900-29,700 40% 29,700-47,025 50% 60% >47,025 75%
RECIV.L Real Estate Credit Investments PCC Ltd UK 0-6,400 25% 6,400-20,800 40% 20,800-22,400 50% 60% >22,400 75%
CDI.L Candover Investments PLC Fund UK 0-10,200 25% 10,200-30,600 40% >30600 75% 75%
MPO.L Macau Property Opportunities Fund Ltd UK 0-8,200 25% 8,200-24,600 40% >24600 75% 75%
GDG.L Green Dragon Gas Ltd UK 0-4,100 25% 4,100-10,250 40% >10250 75% 75%
SIT.L Sanditon Investment Trust PLC UK 0-9,300 25% 9,300-30,225 40% >30225 75% 75%
XSG.L Xeros Technology Group PLC UK 0-4,400 25% 4,400-15,400 40% 15,400-23,100 50% 60% >23,100 75%
YNGa.L Young & Co's Brewery PLC UK 0-800 25% 800-2,600 40% 2,600-4,600 50% 60% >4,600 75%
TMTI.L TMT Investments PLC UK 0-7,000 25% 7,000-19,250 40% >19250 75% 75%
CARRC.L Carr's Milling Industries PLC UK 0-6,000 25% 6,000-19,500 40% 19,500-22,500 50% 60% >22,500 75%
DALR.L Dalradian Resources Inc UK 0-11,500 25% 11,500-34,500 40% >34500 75% 75%
HSD.L Hansard Global PLC UK 0-7,900 25% 7,900-25,675 40% >25675 75% 75%
HVO.L hVIVO PLC UK 0-5,600 25% 5,600-15,400 40% 15,400-19,600 50% 60% >19,600 75%
HRG.L Hogg Robinson Group PLC UK 0-13,500 25% 13,500-40,500 40% 40,500-47,250 50% 60% >47,250 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 50 of 103
ZTF.L Zotefoams PLC UK 0-3,900 25% 3,900-9,750 40% 9,750-14,625 50% 60% >14,625 75%
ALAIF.L Aberdeen Latin American Income Fund Ltd UK 0-15,100 25% 15,100-45,300 40% 45,300-64,175 50% 60% >64,175 75%
MCON.L Mincon Group Plc UK 0-16,700 25% 16,700-50,100 40% 50,100-79,325 50% 60% >79,325 75%
VLX.L Volex PLC UK 0-23,100 25% 23,100-69,300 40% >69300 75% 75%
LSLI.L London & St Lawrence Investment Company PLC UK 0-2,900 25% 2,900-8,700 40% >8700 75% 75%
ATS.L Artemis Alpha Trust PLC UK 0-4,300 25% 4,300-15,050 40% >15050 75% 75%
APT.L AXA Property Trust Ltd UK 0-17,500 25% 17,500-56,875 40% >56875 75% 75%
REAH.L REA Holdings PLC UK 0-4,200 25% 4,200-14,700 40% >14700 75% 75%
ATMA.L Atlas Mara Ltd UK 0-4,000 25% 4,000-10,000 40% 10,000-18,000 50% 60% >18,000 75%
HALSq.L HALS-Development JSC - GDR UK 0-13,100 25% 13,100-39,300 40% >39300 75% 75%
MONT.L Montanaro European Smaller Cos Trust PLC UK 0-1,600 25% 1,600-5,200 40% >5200 75% 75%
CCPE.L CVC Credit Partners European Opportunities Limited UK 0-11,800 25% 11,800-35,400 40% 35,400-41,300 50% 60% >41,300 75%
JPSS.L JPMorgan Japan Smaller Companies Trust PLC UK 0-18,200 25% 18,200-54,600 40% >54600 75% 75%
ALY.L Laura Ashley Holdings PLC UK 0-45,500 25% 45,500-273,000 40% 273,000-910,000 50% 60% >910,000 75%
ULS.L ULS Technology Plc UK 0-15,400 25% 15,400-46,200 40% 46,200-53,900 50% 60% >53,900 75%
AEFS.L Alcentra European Floating Rate Income Fund Limited UK 0-10,400 25% 10,400-31,200 40% >31200 75% 75%
SO4.L Salt Lake Potash Limited UK 0-36,900 25% 36,900-110,700 40% 110,700-129,150 50% 60% >129,150 75%
PRWP.L Promethean World PLC UK 0-25,100 25% 25,100-75,300 40% >75300 75% 75%
RNO.L Renold PLC UK 0-25,100 25% 25,100-75,300 40% >75300 75% 75%
CIRC.L Circle Holdings Ltd UK 0-55,600 25% 55,600-166,800 40% >166800 75% 75%
NZX.L Management Consulting Group PLC UK 0-59,300 25% 59,300-177,900 40% >177900 75% 75%
UEMS.L Utilico Emerging Markets Limited UK 0-43,500 25% 43,500-130,500 40% >130500 75% 75%
HUNT.L Hunters Property Group Limited UK 0-13,800 25% 13,800-41,400 40% >41400 75% 75%
PHC.L Plant Health Care PLC UK 0-34,500 25% 34,500-103,500 40% >103500 75% 75%
AEN.L Andes Energia PLC UK 0-69,000 25% 69,000-207,000 40% >207000 75% 75%
ELA.L Eland Oil & Gas PLC UK 0-32,800 25% 32,800-98,400 40% 98,400-155,800 50% 60% >155,800 75%
ALFAL.L Alternative Liquidity Fund Limited UK 0-86,500 25% 86,500-259,500 40% >259500 75% 75%
PRM.L Proteome Sciences PLC UK 0-72,100 25% 72,100-216,300 40% >216300 75% 75%
DUPD.L Dragon-Ukrainian Properties & Development PLC UK 0-68,400 25% 68,400-205,200 40% >205200 75% 75%
RCI.L RapidCloud International PLC UK 0-35,100 25% 35,100-114,075 40% >114075 75% 75%
CNGC.L China Nonferrous Gold Ltd UK 0-35,100 25% 35,100-114,075 40% >114075 75% 75%
IOFI.L Iofina PLC UK 0-70,200 25% 70,200-210,600 40% >210600 75% 75%
CGH.L Chaarat Gold Holdings Ltd UK 0-136,100 25% 136,100-408,300 40% >408300 75% 75%
FUTR.L Future PLC UK 0-119,800 25% 119,800-359,400 40% >359400 75% 75%
AFRBb.L AFI Development PLC UK 0-84,400 25% 84,400-253,200 40% >253200 75% 75%
QIF.L Qatar Investment Fund PLC UK 0-11,500 25% 11,500-34,500 40% >34500 75% 75%
IEH.L Intelligent Energy Holdings PLC UK 0-127,900 25% 127,900-383,700 40% >383700 75% 75%
VICOq.L Vimetco NV - GDR UK 0-65,400 25% 65,400-196,200 40% >196200 75% 75%
TRK.L Torotrak PLC UK 0-258,100 25% 258,100-774,300 40% >774300 75% 75%
PVCS.L PV Crystalox Solar PLC UK 0-63,500 25% 63,500-190,500 40% >190500 75% 75%
ACHLA.L Asian Citrus Holdings Ltd (LSE) UK 0-177,800 25% 177,800-533,400 40% 533,400-1,066,800 50% 60% >1,066,800 75%
WRLW.L Wentworth Resources Ltd UK 0-38,100 25% 38,100-114,300 40% 114,300-133,350 50% 60% >133,350 75%
TREM.L Trading Emissions PLC Fund UK 0-308,200 25% 308,200-924,600 40% >924600 75% 75%
AUIV.L Livermore Investments Group Ltd UK 0-35,400 25% 35,400-106,200 40% >106200 75% 75%
LSR.L Local Shopping REIT PLC/The UK 0-35,400 25% 35,400-106,200 40% >106200 75% 75%
MLD.L Mirland Development Corp PLC UK 0-67,800 25% 67,800-203,400 40% >203400 75% 75%
CHARC.L Chariot Oil & Gas Ltd UK 0-177,000 25% 177,000-531,000 40% >531000 75% 75%
GRPHG.L Graphene Nanochem PLC UK 0-67,800 25% 67,800-203,400 40% >203400 75% 75%
JPR.L Johnston Press PLC UK 0-118,700 25% 118,700-356,100 40% >356100 75% 75%
BPCB.L Bahamas Petroleum Co PLC UK 0-680,300 25% 680,300-2,040,900 40% >2040900 75% 75%
RMPq.L Red Emperor Resources NL UK 0-869,600 25% 869,600-1,739,200 40% >1739200 75% 75%
FJVS.L Fidelity Japanese Values PLC UK 0-1,142,900 25% 1,142,900-3,428,700 40% >3428700 75% 75%
TPL.L Tethys Petroleum Ltd (LSE) UK 0-727,300 25% 727,300-2,000,075 40% >2000075 75% 75%
PXOG.L Prospex Oil and Gas Plc UK 0-563,400 25% 563,400-1,549,350 40% 1,549,350-1,971,900 50% 60% >1,971,900 75%
PTR.L Petroneft Resources PLC (LSE) UK 0-470,600 25% 470,600-1,411,800 40% >1411800 75% 75%
OEX.L Oilex Ltd (LSE) UK 0-1,904,800 25% 1,904,800-5,714,400 40% >5714400 75% 75%
GDL.L Greka Drilling Ltd UK 0-296,300 25% 296,300-888,900 40% >888900 75% 75%
NGTE.L Nighthawk Energy PLC UK 0-1,273,900 25% 1,273,900-4,140,175 40% >4140175 75% 75%
AGTAR.L Agriterra Ltd UK 0-3,921,600 25% 3,921,600-9,804,000 40% >9804000 75% 75%
SARSS.L Sarossa Plc UK 0-657,900 25% 657,900-1,973,700 40% >1973700 75% 75%
BZM.L Bellzone Mining PLC UK 0-4,651,200 25% 4,651,200-15,116,400 40% >15116400 75% 75%
NWRR.L New World Resources PLC UK 0-6,666,700 25% 6,666,700-20,000,100 40% >20000100 75% 75%
GKO.L Greenko Group PLC UK 0-990,100 25% 990,100-2,970,300 40% >2970300 75% 75%
AVGRq.L Avangardco Investments Public Ltd - GDR UK 0-50,300 25% 50,300-100,600 40% >100600 75% 75%
CWR.L Ceres Power Holdings PLC UK 0-100,000 25% 100,000-200,000 40% 200,000-350,000 50% 60% >350,000 75%
HRN.L Hornby PLC UK 0-32,000 25% 32,000-64,000 40% >64000 75% 75%
TPV1.L Triple Point Income VCT PLC UK 0-20,000 25% 20,000-40,000 40% >40000 75% 75%
THR.L Thor Mining PLC UK 0-40,000,000 25% 40,000,000-80,000,000 40% >80000000 75% 75%
SLEN.L San Leon Energy PLC UK 0-20,000 25% 20,000-40,000 40% 40,000-70,000 50% 60% >70,000 75%
SEY.L Sterling Energy PLC UK 0-62,500 25% 62,500-125,000 40% >125000 75% 75%
IGAS.L IGAS Energy PLC UK 0-64,000 25% 64,000-128,000 40% 128,000-240,000 50% 60% >240,000 75%
CZA.L Coal of Africa Ltd (LSE) UK 0-320,000 25% 320,000-640,000 40% >640000 75% 75%
AEY.L Antrim Energy Inc UK 0-400,000 25% 400,000-1,400,000 40% >1400000 75% 75%
RGRS.L Range Resources Ltd (LSE) UK 0-1,801,800 25% 1,801,800-5,405,400 40% >5405400 75% 75%
SBLM.L Sable Mining Africa Ltd UK 0-4,761,900 25% 4,761,900-15,476,175 40% >15476175 75% 75%
TOME.L TomCo Energy PLC UK 0-9,090,900 25% 9,090,900-24,999,975 40% >24999975 75% 75%
FCRF.L Ferrum Crescent Ltd UK 0-4,347,800 25% 4,347,800-8,695,600 40% 8,695,600-14,130,350 50% 60% >14,130,350 75%
MNC.L Metminco Ltd (LSE) UK 0-5,882,300 25% 5,882,300-16,176,325 40% >16176325 75% 75%
IFL.L International Ferro Metals Ltd UK 0-1,111,100 25% 1,111,100-3,611,075 40% >3611075 75% 75%
NTR.L Provexis PLC UK 0-2,272,700 25% 2,272,700-6,818,100 40% >6818100 75% 75%
KDR.L Karelian Diamond Resources PLC UK 0-1,290,300 25% 1,290,300-2,580,600 40% 2,580,600-3,870,900 50% 60% >3,870,900 75%
GWMO.L Great Western Mining Corp PLC UK 0-2,352,900 25% 2,352,900-4,705,800 40% 4,705,800-7,058,700 50% 60% >7,058,700 75%
EBLZ.L BSD Crown Ltd UK 0-39,800 25% 39,800-119,400 40% >119400 75% 75%
SACS.L SacOil Holding Ltd (LSE) UK 0-1,052,600 25% 1,052,600-2,894,650 40% >2894650 75% 75%
GBGR.L GoldBridges Global Resources PLC UK 0-560,200 25% 560,200-1,540,550 40% >1540550 75% 75%
BSTH.L Borders & Southern Petroleum PLC UK 0-571,400 25% 571,400-1,571,350 40% >1571350 75% 75%
TRIN.L Trinity Exploration & Production PLC UK 0-533,300 25% 533,300-1,466,575 40% >1466575 75% 75%
AMNX.L Aminex PLC UK 0-533,300 25% 533,300-1,066,600 40% 1,066,600-1,599,900 50% 60% >1,599,900 75%
UKR.L Ukrproduct Group Limited UK 0-347,800 25% 347,800-1,043,400 40% >1043400 75% 75%
ZIOC.L Zanaga Iron Ore Co Ltd UK 0-347,800 25% 347,800-1,043,400 40% >1043400 75% 75%
RPT.L Regal Petroleum PLC UK 0-333,300 25% 333,300-999,900 40% >999900 75% 75%
ORM.L Ormonde Mining PLC UK 0-444,400 25% 444,400-888,800 40% 888,800-1,333,200 50% 60% >1,333,200 75%
DIL2.L Damille Investments II Limited UK 0-10,100 25% 10,100-30,300 40% >30300 75% 75%
NOP.L Northern Petroleum PLC UK 0-333,300 25% 333,300-999,900 40% >999900 75% 75%
PPTC.L President Energy PLC UK 0-84,200 25% 84,200-252,600 40% >252600 75% 75%
AFIDLq.L AFI Development PLC - GDR UK 0-93,400 25% 93,400-280,200 40% >280200 75% 75%
PCI.L Petroceltic International PLC UK 0-133,400 25% 133,400-400,200 40% >400200 75% 75%
DREF.L Duet Real Estate Finance Ltd/Fund UK 0-134,200 25% 134,200-402,600 40% >402600 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 51 of 103
SRET.L Sirius Real Estate Ltd UK 0-23,100 25% 23,100-46,200 40% 46,200-69,300 50% 60% >69,300 75%
TBGR.L Tiso Blackstar Group SE (LSE) UK 0-25,800 25% 25,800-51,600 40% 51,600-77,400 50% 60% >77,400 75%
POLO.L Polo Resources Ltd UK 0-153,800 25% 153,800-461,400 40% >461400 75% 75%
CPPG.L CPP Group PLC UK 0-148,100 25% 148,100-444,300 40% >444300 75% 75%
XELX.L Xcite Energy Ltd UK 0-145,300 25% 145,300-435,900 40% 435,900-762,825 50% 60% >762,825 75%
OVG.L Ovoca Gold PLC UK 0-72,700 25% 72,700-145,400 40% 145,400-218,100 50% 60% >218,100 75%
NLG.L Arria NLG PLC UK 0-54,400 25% 54,400-163,200 40% >163200 75% 75%
TAN.L Tanfield Group PLC UK 0-83,300 25% 83,300-249,900 40% >249900 75% 75%
VLSV.L Velocys PLC UK 0-33,600 25% 33,600-100,800 40% 100,800-117,600 50% 60% >117,600 75%
APEF.L Aberdeen Private Equity Fund Ltd UK 0-9,800 25% 9,800-29,400 40% >29400 75% 75%
INME.L Independent News & Media PLC UK 0-85,600 25% 85,600-535,000 40% 535,000-941,600 50% 60% >941,600 75%
OTMTq.L Orascom Telecom Media And Technology Holding SAE UK 0-32,800 25% 32,800-98,400 40% >98400 75% 75%
GMRG.L Gaming Realms PLC UK 0-52,600 25% 52,600-157,800 40% >157800 75% 75%
BVC.L BATM Advanced Communications UK 0-56,300 25% 56,300-168,900 40% >168900 75% 75%
CTO.L T Clarke PLC UK 0-14,300 25% 14,300-46,475 40% >46475 75% 75%
HDY.L Hardy Oil & Gas PLC UK 0-55,900 25% 55,900-167,700 40% >167700 75% 75%
ACD.L Acencia Debt Strategies Limited UK 0-9,300 25% 9,300-30,225 40% >30225 75% 75%
ITM.L ITM Power PLC UK 0-44,900 25% 44,900-134,700 40% 134,700-179,600 50% 60% >179,600 75%
SALVS.L SalvaRx Group PLC UK 0-34,900 25% 34,900-95,975 40% >95975 75% 75%
ACCS.L Accsys Technologies PLC UK 0-13,500 25% 13,500-40,500 40% >40500 75% 75%
MCT_p.L Middlefield Canadian Income PCC UK 0-10,800 25% 10,800-29,700 40% 29,700-48,600 50% 60% >48,600 75%
FCCN.L French Connection Group PLC UK 0-21,600 25% 21,600-64,800 40% >64800 75% 75%
RECL.L Record PLC UK 0-37,000 25% 37,000-111,000 40% >111000 75% 75%
CAU.L Centaur Media PLC UK 0-22,700 25% 22,700-68,100 40% 68,100-90,800 50% 60% >90,800 75%
MYT.L Mytrah Energy Ltd UK 0-17,600 25% 17,600-57,200 40% >57200 75% 75%
NBLU.L NB Global Floating Rate Income Fund Limited UK 0-13,500 25% 13,500-40,500 40% >40500 75% 75%
FJV.L Fidelity Japanese Values PLC UK 0-10,400 25% 10,400-31,200 40% 31,200-36,400 50% 60% >36,400 75%
PLEX.L Plexus Holdings PLC UK 0-12,800 25% 12,800-41,600 40% 41,600-48,000 50% 60% >48,000 75%
BEG.L Begbies Traynor Group PLC UK 0-21,700 25% 21,700-65,100 40% >65100 75% 75%
PMG.L Parkmead Group PLC UK 0-18,400 25% 18,400-55,200 40% 55,200-82,800 50% 60% >82,800 75%
JETx.L JPMorgan European Investment Growth Trust PLC UK 0-4,000 25% 4,000-10,000 40% 10,000-18,000 50% 60% >18,000 75%
AFRK.L Afarak Group Oyj UK 0-30,700 25% 30,700-92,100 40% >92100 75% 75%
PVGP.L Premier Veterinary Group PLC UK 0-7,000 25% 7,000-19,250 40% >19250 75% 75%
TFW.L F.W. Thorpe PLC UK 0-4,200 25% 4,200-14,700 40% >14700 75% 75%
LBOW.L ICG-Longbow Senior Secured UK Property Debt Investments Ltd UK 0-9,900 25% 9,900-29,700 40% 29,700-34,650 50% 60% >34,650 75%
HARV.L Harvey Nash Group PLC UK 0-15,800 25% 15,800-43,450 40% >43450 75% 75%
KKGByq.L Kazkommertsbank JSC - GDR UK 0-8,200 25% 8,200-24,600 40% >24600 75% 75%
AGIZ.L Aberforth Geared Income Trust PLC UK 0-6,400 25% 6,400-20,800 40% >20800 75% 75%
DUNE.L Dunedin Enterprise Investment Trust PLC UK 0-3,100 25% 3,100-9,300 40% >9300 75% 75%
SLN.L Silence Therapeutics PLC UK 0-9,300 25% 9,300-30,225 40% >30225 75% 75%
BRMS.L Braemar Shipping Services PLC UK 0-2,700 25% 2,700-8,100 40% 8,100-10,800 50% 60% >10,800 75%
MACP.L Martin Currie Pacific Trust PLC UK 0-3,100 25% 3,100-9,300 40% 9,300-14,725 50% 60% >14,725 75%
AGOLu.L Ashmore Global Opportunities Limited UK 0-3,600 25% 3,600-9,900 40% >9900 75% 75%
CAY.L Charles Stanley Group PLC UK 0-3,100 25% 3,100-9,300 40% 9,300-13,175 50% 60% >13,175 75%
DNDL.L Dunedin Smaller Companies Investment Trust PLC UK 0-5,000 25% 5,000-15,000 40% >15000 75% 75%
EPGT.L EP Global Opportunities Trust PLC UK 0-3,800 25% 3,800-10,450 40% 10,450-12,350 50% 60% >12,350 75%
IVO.L Imperial Innovations Group PLC UK 0-2,200 25% 2,200-6,600 40% 6,600-11,550 50% 60% >11,550 75%
TOWNT.L Town Centre Securities PLC UK 0-3,200 25% 3,200-9,600 40% >9600 75% 75%
IFP.L IFG Group PLC (LSE) UK 0-6,100 25% 6,100-36,600 40% 36,600-85,400 50% 60% >85,400 75%
WIPA.L Witan Pacific Investment Trust PLC UK 0-3,500 25% 3,500-9,625 40% 9,625-14,875 50% 60% >14,875 75%
VTAV.L Volta Finance Limited UK 0-1,600 25% 1,600-3,200 40% 3,200-4,800 50% 60% >4,800 75%
JMI.L JPMorgan Smaller Companies Investment Trust PLC UK 0-1,200 25% 1,200-3,600 40% 3,600-4,800 50% 60% >4,800 75%
SUS.L S&U PLC UK 0-400 25% 400-1,000 40% >1000 75% 75%
LIVN.L LivaNova PLC UK 0-200 25% 200-2,000 40% 2,000-4,600 50% 60% >4,600 75%
CAME.L Camellia PLC UK 0-100 25% 100-300 40% 300-400 50% 60% >400 75%
OPM.L 1pm PLC UK 0-14,300 25% 14,300-28,600 40% 28,600-42,900 50% 60% >42,900 75%
SPA.L 1Spatial PLC UK 0-228,600 25% 228,600-457,200 40% 457,200-685,800 50% 60% >685,800 75%
C21.L 21st Century Technology PLC UK 0-533,300 25% 533,300-1,066,600 40% 1,066,600-1,599,900 50% 60% >1,599,900 75%
365.L 365 Agile Group PLC UK 0-37,700 25% 37,700-75,400 40% 75,400-113,100 50% 60% >113,100 75%
SIXH.L 600 Group PLC UK 0-105,300 25% 105,300-210,600 40% 210,600-315,900 50% 60% >315,900 75%
7DIG.L 7 Digital Group Plc UK 0-145,500 25% 145,500-291,000 40% 291,000-436,500 50% 60% >436,500 75%
AFMC.L Aberdeen Frontier Markets Investment Co Ltd UK 0-16,400 25% 16,400-32,800 40% 32,800-49,200 50% 60% >49,200 75%
AJIT.L Aberdeen Japan Investment Trust PLC UK 0-2,000 25% 2,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
ASCIA.L Aberdeen Smaller Companies Income Trust PLC UK 0-5,000 25% 5,000-10,000 40% 10,000-15,000 50% 60% >15,000 75%
ABZA.L Abzena PLC UK 0-23,500 25% 23,500-47,000 40% 47,000-70,500 50% 60% >70,500 75%
ACCI.L Access Intelligence PLC UK 0-195,100 25% 195,100-390,200 40% 390,200-585,300 50% 60% >585,300 75%
ACSO.L Accesso Technology Group Plc UK 0-1,600 25% 1,600-3,200 40% 3,200-4,800 50% 60% >4,800 75%
ACRL.L Accrol Group Holdings PLC UK 0-7,800 25% 7,800-15,600 40% 15,600-23,400 50% 60% >23,400 75%
AIF.L Acorn Income Fund Ltd UK 0-2,800 25% 2,800-5,600 40% 5,600-8,400 50% 60% >8,400 75%
ACOA.L Acorn Minerals PLC UK 0-51,300 25% 51,300-102,600 40% 102,600-153,900 50% 60% >153,900 75%
AHCG.L Action Hotels Plc UK 0-17,700 25% 17,700-35,400 40% 35,400-53,100 50% 60% >53,100 75%
AEGR.L Active Energy Group PLC UK 0-339,000 25% 339,000-678,000 40% 678,000-1,017,000 50% 60% >1,017,000 75%
ACTA.L Actual Experience Ltd UK 0-3,800 25% 3,800-7,600 40% 7,600-11,400 50% 60% >11,400 75%
ADAM.L Adamas Finance Asia Limited UK 0-29,100 25% 29,100-58,200 40% 58,200-87,300 50% 60% >87,300 75%
ADAA.L Adams PLC UK 0-137,300 25% 137,300-274,600 40% 274,600-411,900 50% 60% >411,900 75%
ADT.L AdEPT Telecom PLC UK 0-4,100 25% 4,100-8,200 40% 8,200-12,300 50% 60% >12,300 75%
AD4.L Adept4 PLC UK 0-114,300 25% 114,300-228,600 40% 228,600-342,900 50% 60% >342,900 75%
ADGO.L Adgorithms Limited UK 0-52,600 25% 52,600-105,200 40% 105,200-157,800 50% 60% >157,800 75%
AVO.L Advanced Oncotherapy PLC UK 0-8,300 25% 8,300-16,600 40% 16,600-24,900 50% 60% >24,900 75%
AFN.L ADVFN PLC UK 0-33,900 25% 33,900-67,800 40% 67,800-101,700 50% 60% >101,700 75%
AEC.L Aec Education PLC UK 0-400,000 25% 400,000-800,000 40% 800,000-1,200,000 50% 60% >1,200,000 75%
AEO.L Aeorema Communications PLC UK 0-30,800 25% 30,800-61,600 40% 61,600-92,400 50% 60% >92,400 75%
AEWU.L AEW UK REIT PLC UK 0-10,300 25% 10,300-20,600 40% 20,600-30,900 50% 60% >30,900 75%
AFHP.L AFH Financial Group PLC UK 0-6,200 25% 6,200-12,400 40% 12,400-18,600 50% 60% >18,600 75%
AFRIA.L AfriAg PLC UK 0-11,764,700 25% 11,764,700-23,529,400 40% 23,529,400-35,294,100 50% 60% >35,294,100 75%
AFPO.L African Potash Ltd UK 0-4,444,400 25% 4,444,400-8,888,800 40% 8,888,800-13,333,200 50% 60% >13,333,200 75%
AMPH.L Aggregated Micro Power Holdings PLC UK 0-14,700 25% 14,700-29,400 40% 29,400-44,100 50% 60% >44,100 75%
AIEA.L AIREA PLC UK 0-46,500 25% 46,500-93,000 40% 93,000-139,500 50% 60% >139,500 75%
AKR.L Akers Biosciences Inc UK 0-4,100 25% 4,100-8,200 40% 8,200-12,300 50% 60% >12,300 75%
ALBA.L Alba Mineral Resources PLC UK 0-3,636,400 25% 3,636,400-7,272,800 40% 7,272,800-10,909,200 50% 60% >10,909,200 75%
AADV.L Albion Development VCT PLC UK 0-15,100 25% 15,100-30,200 40% 30,200-45,300 50% 60% >45,300 75%
AAEV.L Albion Enterprise VCT PLC UK 0-11,000 25% 11,000-22,000 40% 22,000-33,000 50% 60% >33,000 75%
AATG.L Albion Technology & General VCT PLC UK 0-15,300 25% 15,300-30,600 40% 30,600-45,900 50% 60% >45,900 75%
AAVC.L Albion Venture Capital Trust PLC UK 0-15,000 25% 15,000-30,000 40% 30,000-45,000 50% 60% >45,000 75%
ALOE.L Alecto Minerals PLC UK 0-10,256,400 25% 10,256,400-20,512,800 40% 20,512,800-30,769,200 50% 60% >30,769,200 75%
AXM.L Alexander Mining PLC UK 0-4,761,900 25% 4,761,900-9,523,800 40% 9,523,800-14,285,700 50% 60% >14,285,700 75%
AAAL.L All Asia Asset Capital Limited UK 0-80,000 25% 80,000-160,000 40% 160,000-240,000 50% 60% >240,000 75%
AGY.L Allergy Therapeutics PLC UK 0-54,400 25% 54,400-108,800 40% 108,800-163,200 50% 60% >163,200 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 52 of 103
ALPH.L Alpha Pyrenees Trust Ltd UK 0-13,333,300 25% 13,333,300-26,666,600 40% 26,666,600-39,999,900 50% 60% >39,999,900 75%
ARTL.L Alpha Real Trust Limited UK 0-10,800 25% 10,800-21,600 40% 21,600-32,400 50% 60% >32,400 75%
ARGP.L Alpha Returns Group PLC UK 0-2,666,700 25% 2,666,700-5,333,400 40% 5,333,400-8,000,100 50% 60% >8,000,100 75%
TLI_p.L Alternative Asset Opportunities PCC Limited UK 0-24,100 25% 24,100-48,200 40% 48,200-72,300 50% 60% >72,300 75%
ALTNq.L Altin AG UK 0-200 25% 200-400 40% 400-600 50% 60% >600 75%
ALT.L Altitude Group PLC UK 0-23,000 25% 23,000-46,000 40% 46,000-69,000 50% 60% >69,000 75%
ALRE.L Altona Energy PLC UK 0-2,222,200 25% 2,222,200-4,444,400 40% 4,444,400-6,666,600 50% 60% >6,666,600 75%
ALUG.L Alumasc Group UK 0-5,800 25% 5,800-11,600 40% 11,600-17,400 50% 60% >17,400 75%
AT2A.L Amati VCT 2 PLC UK 0-8,700 25% 8,700-17,400 40% 17,400-26,100 50% 60% >26,100 75%
ATIV.L Amati VCT PLC UK 0-15,000 25% 15,000-30,000 40% 30,000-45,000 50% 60% >45,000 75%
EWR.L Ambrian Plc UK 0-307,700 25% 307,700-615,400 40% 615,400-923,100 50% 60% >923,100 75%
AA4A.L Amedeo Air Four Plus Ltd UK 0-9,500 25% 9,500-19,000 40% 19,000-28,500 50% 60% >28,500 75%
AMEDA.L Amedeo Resources Plc UK 0-83,300 25% 83,300-166,600 40% 166,600-249,900 50% 60% >249,900 75%
AFS.L Amiad Water Systems Ltd UK 0-6,800 25% 6,800-13,600 40% 13,600-20,400 50% 60% >20,400 75%
AMO.L Amino Technologies PLC UK 0-7,000 25% 7,000-14,000 40% 14,000-21,000 50% 60% >21,000 75%
AMAMP.L Amphion Innovations PLC UK 0-307,700 25% 307,700-615,400 40% 615,400-923,100 50% 60% >923,100 75%
AMYT.L Amryt Pharma PLC UK 0-48,800 25% 48,800-97,600 40% 97,600-146,400 50% 60% >146,400 75%
ADL.L Andalas Energy & Power Plc UK 0-5,555,600 25% 5,555,600-11,111,200 40% 11,111,200-16,666,800 50% 60% >16,666,800 75%
ANSY.L Andrews Sykes Group PLC UK 0-2,900 25% 2,900-5,800 40% 5,800-8,700 50% 60% >8,700 75%
AGLE.L Angle PLC UK 0-15,700 25% 15,700-31,400 40% 31,400-47,100 50% 60% >47,100 75%
AYM.L Anglesey Mining UK 0-666,700 25% 666,700-1,333,400 40% 1,333,400-2,000,100 50% 60% >2,000,100 75%
AAZ.L Anglo Asian Mining PLC UK 0-65,600 25% 65,600-131,200 40% 131,200-196,800 50% 60% >196,800 75%
ANCR.L Animalcare Group PLC UK 0-3,900 25% 3,900-7,800 40% 7,800-11,700 50% 60% >11,700 75%
ANP.L Anpario PLC UK 0-3,800 25% 3,800-7,600 40% 7,600-11,400 50% 60% >11,400 75%
AOR.L AorTech International PLC UK 0-37,700 25% 37,700-75,400 40% 75,400-113,100 50% 60% >113,100 75%
APCL.L APC Technology Group PLC UK 0-114,300 25% 114,300-228,600 40% 228,600-342,900 50% 60% >342,900 75%
AGMA.L Applied Graphene Materials PLC UK 0-6,600 25% 6,600-13,200 40% 13,200-19,800 50% 60% >19,800 75%
ABTU.L AquaBounty Technologies Inc UK 0-32,800 25% 32,800-65,600 40% 65,600-98,400 50% 60% >98,400 75%
AFGA.L Aquatic Foods Group PLC UK 0-66,700 25% 66,700-133,400 40% 133,400-200,100 50% 60% >200,100 75%
ARC.L Arcontech Group PLC UK 0-2,247,200 25% 2,247,200-4,494,400 40% 4,494,400-6,741,600 50% 60% >6,741,600 75%
ARDN.L Arden Partners PLC UK 0-37,700 25% 37,700-75,400 40% 75,400-113,100 50% 60% >113,100 75%
ARGOA.L Argo Group Ltd UK 0-98,800 25% 98,800-197,600 40% 197,600-296,400 50% 60% >296,400 75%
ARGR.L Argos Resources Ltd UK 0-210,500 25% 210,500-421,000 40% 421,000-631,500 50% 60% >631,500 75%
AGQ.L Arian Silver Corp UK 0-1,142,900 25% 1,142,900-2,285,800 40% 2,285,800-3,428,700 50% 60% >3,428,700 75%
ARNR.L Ariana Resources PLC UK 0-547,900 25% 547,900-1,095,800 40% 1,095,800-1,643,700 50% 60% >1,643,700 75%
ACPA.L Armadale Capital PLC UK 0-363,600 25% 363,600-727,200 40% 727,200-1,090,800 50% 60% >1,090,800 75%
AROA.L Arricano Real Estate PLC UK 0-30,800 25% 30,800-61,600 40% 61,600-92,400 50% 60% >92,400 75%
ATSS.L Artemis Alpha Trust PLC UK 0-470,600 25% 470,600-941,200 40% 941,200-1,411,800 50% 60% >1,411,800 75%
AAM.L Artemis VCT PLC UK 0-16,400 25% 16,400-32,800 40% 32,800-49,200 50% 60% >49,200 75%
ARTA.L Artilium PLC UK 0-170,200 25% 170,200-340,400 40% 340,400-510,600 50% 60% >510,600 75%
ASA.L ASA Resource Group PLC UK 0-701,800 25% 701,800-1,403,600 40% 1,403,600-2,105,400 50% 60% >2,105,400 75%
ASCR.L Ascent Resources PLC UK 0-851,100 25% 851,100-1,702,200 40% 1,702,200-2,553,300 50% 60% >2,553,300 75%
ASPL.L Aseana Properties Ltd UK 0-28,700 25% 28,700-57,400 40% 57,400-86,100 50% 60% >86,100 75%
ASH.L Ashley House PLC UK 0-145,500 25% 145,500-291,000 40% 291,000-436,500 50% 60% >436,500 75%
ARSA.L Asiamet Resources Ltd UK 0-425,500 25% 425,500-851,000 40% 851,000-1,276,500 50% 60% >1,276,500 75%
AGP.L Asian Growth Properties Limited UK 0-25,600 25% 25,600-51,200 40% 51,200-76,800 50% 60% >76,800 75%
ASTO.L AssetCo PLC UK 0-2,600 25% 2,600-5,200 40% 5,200-7,800 50% 60% >7,800 75%
ASBE.L Associated British Engineering PLC UK 0-20,000 25% 20,000-40,000 40% 40,000-60,000 50% 60% >60,000 75%
ATYM.L Atalaya Mining PLC UK 0-11,800 25% 11,800-23,600 40% 23,600-35,400 50% 60% >35,400 75%
ATTR.L Athelney Trust PLC UK 0-4,900 25% 4,900-9,800 40% 9,800-14,700 50% 60% >14,700 75%
AJG.L Atlantis Japan Growth Fund Ltd UK 0-6,900 25% 6,900-13,800 40% 13,800-20,700 50% 60% >20,700 75%
ARL.L Atlantis Resources Ltd UK 0-13,000 25% 13,000-26,000 40% 26,000-39,000 50% 60% >39,000 75%
AAI.L Atlas African Industries Limited UK 0-8,695,700 25% 8,695,700-17,391,400 40% 17,391,400-26,087,100 50% 60% >26,087,100 75%
ATQT.L Attraqt Group Ltd UK 0-24,700 25% 24,700-49,400 40% 49,400-74,100 50% 60% >74,100 75%
AUCT.L Auctus Growth PLC UK 0-20,000 25% 20,000-40,000 40% 40,000-60,000 50% 60% >60,000 75%
BOOMA.L Audioboom Group PLC UK 0-381,000 25% 381,000-762,000 40% 762,000-1,143,000 50% 60% >1,143,000 75%
AUG.L Augean PLC UK 0-19,900 25% 19,900-39,800 40% 39,800-59,700 50% 60% >59,700 75%
AUK.L Aukett Swanke Group PLC UK 0-228,600 25% 228,600-457,200 40% 457,200-685,800 50% 60% >685,800 75%
AUE.L Aureus Mining Inc (LSE) UK 0-363,600 25% 363,600-727,200 40% 727,200-1,090,800 50% 60% >1,090,800 75%
AURT.L Aurora Investment Trust PLC UK 0-6,000 25% 6,000-12,000 40% 12,000-18,000 50% 60% >18,000 75%
AURU.L Aurum Mining PLC UK 0-952,400 25% 952,400-1,904,800 40% 1,904,800-2,857,200 50% 60% >2,857,200 75%
AVTG.L Avacta Group PLC UK 0-10,100 25% 10,100-20,200 40% 20,200-30,300 50% 60% >30,300 75%
AVCA.L Avanti Capital PLC UK 0-133,300 25% 133,300-266,600 40% 266,600-399,900 50% 60% >399,900 75%
AVR.L Avarae Global Coins PLC UK 0-80,000 25% 80,000-160,000 40% 160,000-240,000 50% 60% >240,000 75%
AVAP.L Avation PLC UK 0-6,200 25% 6,200-12,400 40% 12,400-18,600 50% 60% >18,600 75%
AVS.L Avesco Group PLC UK 0-3,600 25% 3,600-7,200 40% 7,200-10,800 50% 60% >10,800 75%
AVG.L Avingtrans PLC UK 0-5,100 25% 5,100-10,200 40% 10,200-15,300 50% 60% >15,300 75%
BCNB.L Bacanora Minerals Ltd UK 0-10,900 25% 10,900-21,800 40% 21,800-32,700 50% 60% >32,700 75%
BAGR.L Bagir Group Ltd UK 0-160,000 25% 160,000-320,000 40% 320,000-480,000 50% 60% >480,000 75%
BSRT.L Baker Steel Resources Trust Ltd UK 0-32,800 25% 32,800-65,600 40% 65,600-98,400 50% 60% >98,400 75%
BOIL.L Baron Oil PLC UK 0-1,818,200 25% 1,818,200-3,636,400 40% 3,636,400-5,454,600 50% 60% >5,454,600 75%
BARV.L Baronsmead VCT 2 PLC UK 0-11,900 25% 11,900-23,800 40% 23,800-35,700 50% 60% >35,700 75%
BRMD.L Baronsmead VCT 3 PLC UK 0-11,200 25% 11,200-22,400 40% 22,400-33,600 50% 60% >33,600 75%
BAV.L Baronsmead VCT 5 PLC UK 0-13,100 25% 13,100-26,200 40% 26,200-39,300 50% 60% >39,300 75%
BSE.L Base Resources Limited UK 0-125,000 25% 125,000-250,000 40% 250,000-375,000 50% 60% >375,000 75%
BCRE.L BCRE-Brack Capital Real Estate Investments NV UK 0-10,400 25% 10,400-20,800 40% 20,800-31,200 50% 60% >31,200 75%
BHRD.L Be Heard Group PLC UK 0-250,000 25% 250,000-500,000 40% 500,000-750,000 50% 60% >750,000 75%
BCAP.L BECAP Fund LP UK 0-11,200 25% 11,200-22,400 40% 22,400-33,600 50% 60% >33,600 75%
BCAPx.L BECAP12 Fund LP UK 0-30,300 25% 30,300-60,600 40% 60,600-90,900 50% 60% >90,900 75%
BLVB.L Belvoir Lettings PLC UK 0-6,800 25% 6,800-13,600 40% 13,600-20,400 50% 60% >20,400 75%
BMKB.L Benchmark Holdings Plc UK 0-15,400 25% 15,400-30,800 40% 30,800-46,200 50% 60% >46,200 75%
BEM.L Beowulf Mining PLC UK 0-228,600 25% 228,600-457,200 40% 457,200-685,800 50% 60% >685,800 75%
BOTB.L Best Of The Best PLC UK 0-4,400 25% 4,400-8,800 40% 8,800-13,200 50% 60% >13,200 75%
BZT.L Bezant Resources PLC UK 0-307,700 25% 307,700-615,400 40% 615,400-923,100 50% 60% >923,100 75%
BILBI.L Bilby PLC UK 0-8,800 25% 8,800-17,600 40% 17,600-26,400 50% 60% >26,400 75%
B4S.L Billing Services Group Ltd UK 0-242,400 25% 242,400-484,800 40% 484,800-727,200 50% 60% >727,200 75%
BILN.L Billington Holdings PLC UK 0-3,800 25% 3,800-7,600 40% 7,600-11,400 50% 60% >11,400 75%
BIOM.L Biome Technologies PLC UK 0-8,300 25% 8,300-16,600 40% 16,600-24,900 50% 60% >24,900 75%
BIOQ.L Bioquell PLC UK 0-7,300 25% 7,300-14,600 40% 14,600-21,900 50% 60% >21,900 75%
BVXP.L Bioventix PLC UK 0-900 25% 900-1,800 40% 1,800-2,700 50% 60% >2,700 75%
BISI.L Bisichi Mining PLC UK 0-15,500 25% 15,500-31,000 40% 31,000-46,500 50% 60% >46,500 75%
BRIGB.L Blackrock Income & Growth Investment Trust PLC UK 0-5,300 25% 5,300-10,600 40% 10,600-15,900 50% 60% >15,900 75%
BGLF.L Blackstone GSO Loan Financing Limited UK 0-12,100 25% 12,100-24,200 40% 24,200-36,300 50% 60% >36,300 75%
BLTGB.L Blancco Technology Group PLC UK 0-8,000 25% 8,000-16,000 40% 16,000-24,000 50% 60% >24,000 75%
BNRB.L Blenheim Natural Resources PLC UK 0-2,985,100 25% 2,985,100-5,970,200 40% 5,970,200-8,955,300 50% 60% >8,955,300 75%
BCGR.L Blue Capital Global Reinsurance Fund Limited UK 0-13,800 25% 13,800-27,600 40% 27,600-41,400 50% 60% >41,400 75%
BLP.L Blue Planet Investment Trust Plc UK 0-26,700 25% 26,700-53,400 40% 53,400-80,100 50% 60% >80,100 75%
PRSMB.L Blue Prism PLC UK 0-3,700 25% 3,700-7,400 40% 7,400-11,100 50% 60% >11,100 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 53 of 103
BLUS.L Blue Star Capital PLC UK 0-6,666,700 25% 6,666,700-13,333,400 40% 13,333,400-20,000,100 50% 60% >20,000,100 75%
BMV.L Bluebird Merchant Ventures Limited UK 0-444,400 25% 444,400-888,800 40% 888,800-1,333,200 50% 60% >1,333,200 75%
BRD.L BlueRock Diamonds PLC UK 0-95,200 25% 95,200-190,400 40% 190,400-285,600 50% 60% >285,600 75%
BLUR.L blur Group PLC UK 0-173,900 25% 173,900-347,800 40% 347,800-521,700 50% 60% >521,700 75%
BMRB.L BMR Mining PLC UK 0-177,800 25% 177,800-355,600 40% 355,600-533,400 50% 60% >533,400 75%
BDI.L Bond International Software PLC UK 0-8,800 25% 8,800-17,600 40% 17,600-26,400 50% 60% >26,400 75%
BONB.L Bonmarche Holdings Plc UK 0-8,500 25% 8,500-17,000 40% 17,000-25,500 50% 60% >25,500 75%
BODP.L Botswana Diamonds PLC UK 0-506,300 25% 506,300-1,012,600 40% 1,012,600-1,518,900 50% 60% >1,518,900 75%
BGHSx.L Boussard & Gavaudan Holding Limited UK 0-600 25% 600-1,200 40% 1,200-1,800 50% 60% >1,800 75%
BGHS.L Boussard & Gavaudan Holding Ltd UK 0-600 25% 600-1,200 40% 1,200-1,800 50% 60% >1,800 75%
BOX.L Boxhill Technologies PLC UK 0-4,166,700 25% 4,166,700-8,333,400 40% 8,333,400-12,500,100 50% 60% >12,500,100 75%
BPM.L BP Marsh & Partners PLC UK 0-5,300 25% 5,300-10,600 40% 10,600-15,900 50% 60% >15,900 75%
BRDY.L Brady PLC UK 0-14,700 25% 14,700-29,400 40% 29,400-44,100 50% 60% >44,100 75%
BJU.L BrainJuicer Group PLC UK 0-2,300 25% 2,300-4,600 40% 4,600-6,900 50% 60% >6,900 75%
BBSN.L Brave Bison Group PLC UK 0-200,000 25% 200,000-400,000 40% 400,000-600,000 50% 60% >600,000 75%
BRH.L Braveheart Investment Group PLC UK 0-66,700 25% 66,700-133,400 40% 133,400-200,100 50% 60% >200,100 75%
BREE.L Breedon Aggregates Ltd UK 0-38,400 25% 38,400-76,800 40% 76,800-115,200 50% 60% >115,200 75%
PIER.L Brighton Pier Group PLC UK 0-8,000 25% 8,000-16,000 40% 16,000-24,000 50% 60% >24,000 75%
BAF.L British & American Investment Trust PLC UK 0-12,500 25% 12,500-25,000 40% 25,000-37,500 50% 60% >37,500 75%
BSC.L British Smaller Companies VCT 2 PLC UK 0-17,200 25% 17,200-34,400 40% 34,400-51,600 50% 60% >51,600 75%
BSV.L British Smaller Companies Vct PLC UK 0-10,900 25% 10,900-21,800 40% 21,800-32,700 50% 60% >32,700 75%
BURF.L Burford Capital Ltd UK 0-5,400 25% 5,400-10,800 40% 10,800-16,200 50% 60% >16,200 75%
BMNB.L Bushveld Minerals Ltd UK 0-727,300 25% 727,300-1,454,600 40% 1,454,600-2,181,900 50% 60% >2,181,900 75%
BYOT.L Byotrol PLC UK 0-205,100 25% 205,100-410,200 40% 410,200-615,300 50% 60% >615,300 75%
C4XD.L C4X Discovery Holdings PLC UK 0-9,800 25% 9,800-19,600 40% 19,600-29,400 50% 60% >29,400 75%
CADP.L Cadogan Petroleum PLC UK 0-140,400 25% 140,400-280,800 40% 280,800-421,200 50% 60% >421,200 75%
CFYN.L Caffyns PLC UK 0-1,800 25% 1,800-3,600 40% 3,600-5,400 50% 60% >5,400 75%
CALq.L Caledonia Mining Corp UK 0-9,500 25% 9,500-19,000 40% 19,000-28,500 50% 60% >28,500 75%
CNN.L Caledonian Trust PLC UK 0-11,800 25% 11,800-23,600 40% 23,600-35,400 50% 60% >35,400 75%
TREE.L Cambium Global Timberland Ltd UK 0-160,000 25% 160,000-320,000 40% 320,000-480,000 50% 60% >480,000 75%
CMBC.L Cambria Africa PLC UK 0-1,600,000 25% 1,600,000-3,200,000 40% 3,200,000-4,800,000 50% 60% >4,800,000 75%
CAMBA.L Cambria Automobiles PLC UK 0-13,800 25% 13,800-27,600 40% 27,600-41,400 50% 60% >41,400 75%
COGC.L Cambridge Cognition Holdings PLC UK 0-16,300 25% 16,300-32,600 40% 32,600-48,900 50% 60% >48,900 75%
CNMI.L Camper & Nicholsons Marina Investment Limited UK 0-148,100 25% 148,100-296,200 40% 296,200-444,300 50% 60% >444,300 75%
DQ5.L CPL Resources PLC UK 0-2,100 25% 2,100-4,200 40% 4,200-6,300 50% 60% >6,300 75%
CGIq.L Canadian General Investments Ltd UK 0-900 25% 900-1,800 40% 1,800-2,700 50% 60% >2,700 75%
COPL.L Canadian Overseas Petroleum Ltd UK 0-148,100 25% 148,100-296,200 40% 296,200-444,300 50% 60% >444,300 75%
CAPX.L Cap-XX Ltd UK 0-217,400 25% 217,400-434,800 40% 434,800-652,200 50% 60% >652,200 75%
CAPD.L Capital Drilling Ltd UK 0-19,000 25% 19,000-38,000 40% 38,000-57,000 50% 60% >57,000 75%
CIFu.L Carador Income Fund PLC UK 0-17,700 25% 17,700-35,400 40% 35,400-53,100 50% 60% >53,100 75%
CDFF.L Cardiff Property PLC/The UK 0-700 25% 700-1,400 40% 1,400-2,100 50% 60% >2,100 75%
CTH.L Caretech Holdings PLC UK 0-3,700 25% 3,700-7,400 40% 7,400-11,100 50% 60% >11,100 75%
CIHL.L Caribbean Investment Holdings Ltd UK 0-153,800 25% 153,800-307,600 40% 307,600-461,400 50% 60% >461,400 75%
CTPC.L Castleton Technology Plc UK 0-14,900 25% 14,900-29,800 40% 29,800-44,700 50% 60% >44,700 75%
CMX.L Catalyst Media Group PLC UK 0-13,100 25% 13,100-26,200 40% 26,200-39,300 50% 60% >39,300 75%
CATC.L CATCo Reinsurance Opportunities Fund Limited UK 0-10,600 25% 10,600-21,200 40% 21,200-31,800 50% 60% >31,800 75%
CTI.L Cathay International Holdings Ltd UK 0-52,600 25% 52,600-105,200 40% 105,200-157,800 50% 60% >157,800 75%
CDOG.L CDialogues PLC UK 0-20,200 25% 20,200-40,400 40% 40,400-60,600 50% 60% >60,600 75%
CLTV.L Cellcast PLC UK 0-347,800 25% 347,800-695,600 40% 695,600-1,043,400 50% 60% >1,043,400 75%
CLL.L Cello Group PLC UK 0-8,900 25% 8,900-17,800 40% 17,800-26,700 50% 60% >26,700 75%
CCP.L Celtic PLC UK 0-13,300 25% 13,300-26,600 40% 26,600-39,900 50% 60% >39,900 75%
CNKS.L Cenkos Securities PLC UK 0-8,200 25% 8,200-16,400 40% 16,400-24,600 50% 60% >24,600 75%
CRND.L Central Rand Gold Ltd UK 0-769,200 25% 769,200-1,538,400 40% 1,538,400-2,307,600 50% 60% >2,307,600 75%
CNIC.L CentralNic Group PLC UK 0-25,300 25% 25,300-50,600 40% 50,600-75,900 50% 60% >75,900 75%
CEPS.L CEPS PLC UK 0-24,400 25% 24,400-48,800 40% 48,800-73,200 50% 60% >73,200 75%
FBH.L FBD Holdings PLC UK 0-1,700 25% 1,700-3,400 40% 3,400-5,100 50% 60% >5,100 75%
CER.L Cerillion Technologies Limited UK 0-8,000 25% 8,000-16,000 40% 16,000-24,000 50% 60% >24,000 75%
BLEY.L CH Bailey PLC UK 0-9,100 25% 9,100-18,200 40% 18,200-27,300 50% 60% >27,300 75%
CMH.L Chamberlin PLC UK 0-17,100 25% 17,100-34,200 40% 34,200-51,300 50% 60% >51,300 75%
CCT.L Character Group PLC UK 0-2,100 25% 2,100-4,200 40% 4,200-6,300 50% 60% >6,300 75%
CHAR.L Charlemagne Capital Ltd UK 0-90,900 25% 90,900-181,800 40% 181,800-272,700 50% 60% >272,700 75%
CCSL.L Chenavari Capital Solutions Limited UK 0-11,800 25% 11,800-23,600 40% 23,600-35,400 50% 60% >35,400 75%
CAFR.L China Africa Resources PLC UK 0-250,000 25% 250,000-500,000 40% 500,000-750,000 50% 60% >750,000 75%
CNEL.L China New Energy Ltd UK 0-666,700 25% 666,700-1,333,400 40% 1,333,400-2,000,100 50% 60% >2,000,100 75%
C3U.L Christie Group PLC UK 0-11,400 25% 11,400-22,800 40% 22,800-34,200 50% 60% >34,200 75%
CRYS.L Chrysalis VCT PLC UK 0-15,300 25% 15,300-30,600 40% 30,600-45,900 50% 60% >45,900 75%
CHCH.L Churchill China PLC UK 0-1,200 25% 1,200-2,400 40% 2,400-3,600 50% 60% >3,600 75%
CHLL.L Churchill Mining PLC UK 0-36,500 25% 36,500-73,000 40% 73,000-109,500 50% 60% >109,500 75%
CICG.L CIC Gold Group Limited UK 0-701,800 25% 701,800-1,403,600 40% 1,403,600-2,105,400 50% 60% >2,105,400 75%
COPU.L Circle Oil PLC UK 0-1,600,000 25% 1,600,000-3,200,000 40% 3,200,000-4,800,000 50% 60% >4,800,000 75%
CITY.L City of London Group PLC UK 0-320,000 25% 320,000-640,000 40% 640,000-960,000 50% 60% >960,000 75%
CITYC.L CityFibre Infrastructure Holdings PLC UK 0-16,100 25% 16,100-32,200 40% 32,200-48,300 50% 60% >48,300 75%
CLPC.L Clear Leisure PLC UK 0-1,428,600 25% 1,428,600-2,857,200 40% 2,857,200-4,285,800 50% 60% >4,285,800 75%
CLST.L ClearStar Inc UK 0-33,300 25% 33,300-66,600 40% 66,600-99,900 50% 60% >99,900 75%
CLSU.L ClearStar Inc UK 0-23,500 25% 23,500-47,000 40% 47,000-70,500 50% 60% >70,500 75%
CLON.L Clontarf Energy PLC UK 0-1,904,800 25% 1,904,800-3,809,600 40% 3,809,600-5,714,400 50% 60% >5,714,400 75%
CBUY.L Cloudbuy PLC UK 0-177,800 25% 177,800-355,600 40% 355,600-533,400 50% 60% >533,400 75%
CALL.L Cloudcall Group PLC UK 0-13,800 25% 13,800-27,600 40% 27,600-41,400 50% 60% >41,400 75%
CTAG.L CloudTag Inc UK 0-82,800 25% 82,800-165,600 40% 165,600-248,400 50% 60% >248,400 75%
CLNR.L Cluff Natural Resources PLC UK 0-360,400 25% 360,400-720,800 40% 720,800-1,081,200 50% 60% >1,081,200 75%
CML.L CML Microsystems PLC UK 0-3,000 25% 3,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
COA.L Coats Group PLC UK 0-45,200 25% 45,200-90,400 40% 90,400-135,600 50% 60% >135,600 75%
CHRT.L Cohort PLC UK 0-3,200 25% 3,200-6,400 40% 6,400-9,600 50% 60% >9,600 75%
CFX.L Colefax Group PLC UK 0-2,200 25% 2,200-4,400 40% 4,400-6,600 50% 60% >6,600 75%
COS.L Collagen Solutions PLC UK 0-119,400 25% 119,400-238,800 40% 238,800-358,200 50% 60% >358,200 75%
CHA.L Concha PLC UK 0-1,250,000 25% 1,250,000-2,500,000 40% 2,500,000-3,750,000 50% 60% >3,750,000 75%
CNCT.L Concurrent Technologies PLC UK 0-15,400 25% 15,400-30,800 40% 30,800-46,200 50% 60% >46,200 75%
CNDR.L Condor Gold PLC UK 0-11,900 25% 11,900-23,800 40% 23,800-35,700 50% 60% >35,700 75%
CON.L Connemara Mining Company PLC UK 0-506,300 25% 506,300-1,012,600 40% 1,012,600-1,518,900 50% 60% >1,518,900 75%
CGNR.L Conroy Gold And Natural Resources PLC UK 0-37,700 25% 37,700-75,400 40% 75,400-113,100 50% 60% >113,100 75%
CHT.L Constellation Healthcare Technologies Inc UK 0-6,700 25% 6,700-13,400 40% 13,400-20,100 50% 60% >20,100 75%
CIC.L Conygar Investment Co PLC UK 0-6,300 25% 6,300-12,600 40% 12,600-18,900 50% 60% >18,900 75%
CIC_p.L Conygar ZDP PLC UK 0-8,400 25% 8,400-16,800 40% 16,800-25,200 50% 60% >25,200 75%
CRU.L Coral Products PLC UK 0-51,300 25% 51,300-102,600 40% 102,600-153,900 50% 60% >153,900 75%
CNSP.L Corero Network Security PLC UK 0-50,000 25% 50,000-100,000 40% 100,000-150,000 50% 60% >150,000 75%
COR.L Coretx Holdings PLC UK 0-29,400 25% 29,400-58,800 40% 58,800-88,200 50% 60% >88,200 75%
FOG.L Falcon Oil & Gas Ltd UK 0-181,800 25% 181,800-363,600 40% 363,600-545,400 50% 60% >545,400 75%
CRW.L Craneware PLC UK 0-1,000 25% 1,000-2,000 40% 2,000-3,000 50% 60% >3,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 54 of 103
CRAW.L Crawshaw Group PLC UK 0-12,300 25% 12,300-24,600 40% 24,600-36,900 50% 60% >36,900 75%
CRGT.L Creighton's PLC UK 0-94,100 25% 94,100-188,200 40% 188,200-282,300 50% 60% >282,300 75%
CRCRE.L Creston PLC UK 0-9,500 25% 9,500-19,000 40% 19,000-28,500 50% 60% >28,500 75%
CTID.L Crimson Tide PLC UK 0-357,100 25% 357,100-714,200 40% 714,200-1,071,300 50% 60% >1,071,300 75%
CSSG.L Croma Security Solutions Group PLC UK 0-31,700 25% 31,700-63,400 40% 63,400-95,100 50% 60% >95,100 75%
CRON.L Cronin Group PLC UK 0-888,900 25% 888,900-1,777,800 40% 1,777,800-2,666,700 50% 60% >2,666,700 75%
CROSC.L Crossrider PLC UK 0-35,700 25% 35,700-71,400 40% 71,400-107,100 50% 60% >107,100 75%
CRPL.L Crown Place VCT PLC UK 0-37,400 25% 37,400-74,800 40% 74,800-112,200 50% 60% >112,200 75%
CRSL.L Crystal Amber Fund Ltd UK 0-5,700 25% 5,700-11,400 40% 11,400-17,100 50% 60% >17,100 75%
CSFG.L CSF Group PLC UK 0-833,300 25% 833,300-1,666,600 40% 1,666,600-2,499,900 50% 60% >2,499,900 75%
CYAN.L Cyan Holdings PLC UK 0-5,063,300 25% 5,063,300-10,126,600 40% 10,126,600-15,189,900 50% 60% >15,189,900 75%
CN8.L Cyprotex PLC UK 0-6,900 25% 6,900-13,800 40% 13,800-20,700 50% 60% >20,700 75%
D4T4.L D4T4 Solutions PLC UK 0-8,100 25% 8,100-16,200 40% 16,200-24,300 50% 60% >24,300 75%
DAIP.L Daily Internet PLC UK 0-606,100 25% 606,100-1,212,200 40% 1,212,200-1,818,300 50% 60% >1,818,300 75%
DAN.L Daniel Stewart Securities PLC UK 0-615,400 25% 615,400-1,230,800 40% 1,230,800-1,846,200 50% 60% >1,846,200 75%
DCD.L DCD Media PLC UK 0-4,100 25% 4,100-8,200 40% 8,200-12,300 50% 60% >12,300 75%
DDDL.L DDD Group PLC UK 0-3,333,300 25% 3,333,300-6,666,600 40% 6,666,600-9,999,900 50% 60% >9,999,900 75%
DEEV.L Dee Valley Group PLC UK 0-700 25% 700-1,400 40% 1,400-2,100 50% 60% >2,100 75%
DVWt.L Dee Valley Group PLC UK 0-800 25% 800-1,600 40% 1,600-2,400 50% 60% >2,400 75%
DKLD.L DekelOil Public Ltd UK 0-94,100 25% 94,100-188,200 40% 188,200-282,300 50% 60% >282,300 75%
DEMG.L Deltex Medical Group PLC UK 0-177,800 25% 177,800-355,600 40% 355,600-533,400 50% 60% >533,400 75%
DWHT.L Dewhurst PLC UK 0-1,400 25% 1,400-2,800 40% 2,800-4,200 50% 60% >4,200 75%
DWHTt.L Dewhurst PLC UK 0-2,500 25% 2,500-5,000 40% 5,000-7,500 50% 60% >7,500 75%
DCP.L DiamondCorp PLC UK 0-142,900 25% 142,900-285,800 40% 285,800-428,700 50% 60% >428,700 75%
DGB.L Digital Barriers PLC UK 0-21,600 25% 21,600-43,200 40% 43,200-64,800 50% 60% >64,800 75%
DGS.L Digital Globe Services Ltd UK 0-21,300 25% 21,300-42,600 40% 42,600-63,900 50% 60% >63,900 75%
DSG.L Dillistone Group PLC UK 0-12,000 25% 12,000-24,000 40% 24,000-36,000 50% 60% >36,000 75%
DCTA.L Directa Plus UK Limited UK 0-7,100 25% 7,100-14,200 40% 14,200-21,300 50% 60% >21,300 75%
DISD.L Distil Plc UK 0-740,700 25% 740,700-1,481,400 40% 1,481,400-2,222,100 50% 60% >2,222,100 75%
DJI.L DJI Holdings plc UK 0-6,500 25% 6,500-13,000 40% 13,000-19,500 50% 60% >19,500 75%
DODS.L Dods Group PLC UK 0-73,400 25% 73,400-146,800 40% 146,800-220,200 50% 60% >220,200 75%
DOLC.L Dolphin Capital Investors Ltd UK 0-187,800 25% 187,800-375,600 40% 375,600-563,400 50% 60% >563,400 75%
DARD.L Dorcaster PLC UK 0-6,200 25% 6,200-12,400 40% 12,400-18,600 50% 60% >18,600 75%
DNAO_p.L Doric Nimrod Air One Limited UK 0-8,900 25% 8,900-17,800 40% 17,800-26,700 50% 60% >26,700 75%
DNA3.L Doric Nimrod Air Three Ltd UK 0-9,100 25% 9,100-18,200 40% 18,200-27,300 50% 60% >27,300 75%
DNA2_p.L Doric Nimrod Air Two Limited UK 0-4,500 25% 4,500-9,000 40% 9,000-13,500 50% 60% >13,500 75%
DOR.L Doriemus PLC UK 0-16,000,000 25% 16,000,000-32,000,000 40% 32,000,000-48,000,000 50% 60% >48,000,000 75%
DOTD.L Dotdigital Group PLC UK 0-19,700 25% 19,700-39,400 40% 39,400-59,100 50% 60% >59,100 75%
D467.L Downing FOUR VCT PLC - D467 UK 0-16,700 25% 16,700-33,400 40% 33,400-50,100 50% 60% >50,100 75%
D4OA.L Downing FOUR VCT PLC - D4OA UK 0-133,200 25% 133,200-266,400 40% 266,400-399,600 50% 60% >399,600 75%
D4OO.L Downing FOUR VCT PLC - D4OO UK 0-42,600 25% 42,600-85,200 40% 85,200-127,800 50% 60% >127,800 75%
D4SO.L Downing FOUR VCT PLC - D4SO UK 0-94,800 25% 94,800-189,600 40% 189,600-284,400 50% 60% >284,400 75%
DO1Bb.L Downing FOUR VCT PLC - DO1B UK 0-80,000 25% 80,000-160,000 40% 160,000-240,000 50% 60% >240,000 75%
DO1Bc.L Downing FOUR VCT PLC - DO1C UK 0-399,200 25% 399,200-798,400 40% 798,400-1,197,600 50% 60% >1,197,600 75%
DA1Od.L Downing FOUR VCT PLC - DO1D UK 0-13,900 25% 13,900-27,800 40% 27,800-41,700 50% 60% >41,700 75%
DDV1.L Downing One VCT PLC - DDV1 UK 0-11,900 25% 11,900-23,800 40% 23,800-35,700 50% 60% >35,700 75%
DPV3a.L Downing THREE VCT PLC - DP3A UK 0-399,200 25% 399,200-798,400 40% 798,400-1,197,600 50% 60% >1,197,600 75%
DP3Ex.L Downing THREE VCT PLC - DP3D UK 0-66,700 25% 66,700-133,400 40% 133,400-200,100 50% 60% >200,100 75%
DP3E.L Downing THREE VCT PLC - DP3E UK 0-100,000 25% 100,000-200,000 40% 200,000-300,000 50% 60% >300,000 75%
DP2Fx.L Downing THREE VCT PLC - DP3F UK 0-15,400 25% 15,400-30,800 40% 30,800-46,200 50% 60% >46,200 75%
DPV2a.L Downing Two VCT PLC - DP2A UK 0-399,200 25% 399,200-798,400 40% 798,400-1,197,600 50% 60% >1,197,600 75%
DPV2c.L Downing Two VCT PLC - DP2C UK 0-399,200 25% 399,200-798,400 40% 798,400-1,197,600 50% 60% >1,197,600 75%
DP2Ex.L Downing Two VCT PLC - DP2D UK 0-66,700 25% 66,700-133,400 40% 133,400-200,100 50% 60% >200,100 75%
DP2E.L Downing Two VCT PLC - DP2E UK 0-199,800 25% 199,800-399,600 40% 399,600-599,400 50% 60% >599,400 75%
DP2F.L Downing Two VCT PLC - DP2F UK 0-15,200 25% 15,200-30,400 40% 30,400-45,600 50% 60% >45,600 75%
DP2G.L Downing Two VCT PLC - DP2G UK 0-12,500 25% 12,500-25,000 40% 25,000-37,500 50% 60% >37,500 75%
DPAD.L DP Aircraft I Limited UK 0-12,300 25% 12,300-24,600 40% 24,600-36,900 50% 60% >36,900 75%
DPP.L DP Poland PLC UK 0-20,800 25% 20,800-41,600 40% 41,600-62,400 50% 60% >62,400 75%
DRG.L Draganfly Investments Limited UK 0-909,100 25% 909,100-1,818,200 40% 1,818,200-2,727,300 50% 60% >2,727,300 75%
GROW.L Draper Esprit UK 0-3,200 25% 3,200-6,400 40% 6,400-9,600 50% 60% >9,600 75%
DRV.L Driver Group PLC UK 0-21,700 25% 21,700-43,400 40% 43,400-65,100 50% 60% >65,100 75%
DRSD.L DRS Data & Research Services PLC UK 0-50,000 25% 50,000-100,000 40% 100,000-150,000 50% 60% >150,000 75%
DRIP.L Drum Income Plus REIT PLC UK 0-9,600 25% 9,600-19,200 40% 19,200-28,800 50% 60% >28,800 75%
DUKE.L Duke Royalty Limited UK 0-20,200 25% 20,200-40,400 40% 40,400-60,600 50% 60% >60,600 75%
ETXP.L e-Therapeutics PLC UK 0-93,000 25% 93,000-186,000 40% 186,000-279,000 50% 60% >279,000 75%
EYE.L Eagle Eye Solutions Group PLC UK 0-10,400 25% 10,400-20,800 40% 20,800-31,200 50% 60% >31,200 75%
EEUP.L Eastern European Property Fund UK 0-20,200 25% 20,200-40,400 40% 40,400-60,600 50% 60% >60,600 75%
EZH.L easyHotel PLC UK 0-12,100 25% 12,100-24,200 40% 24,200-36,300 50% 60% >36,300 75%
EBQ.L Ebiquity PLC UK 0-9,900 25% 9,900-19,800 40% 19,800-29,700 50% 60% >29,700 75%
ECK.L Eckoh PLC UK 0-27,400 25% 27,400-54,800 40% 54,800-82,200 50% 60% >82,200 75%
EAH.L Eco Animal Health Group PLC UK 0-2,500 25% 2,500-5,000 40% 5,000-7,500 50% 60% >7,500 75%
ECWo.L Ecofin Water & Power Opportunities PLC Pfd UK 0-6,300 25% 6,300-12,600 40% 12,600-18,900 50% 60% >18,900 75%
EDENE.L Eden Research PLC UK 0-85,100 25% 85,100-170,200 40% 170,200-255,300 50% 60% >255,300 75%
EDLE.L Edenville Energy PLC UK 0-2,278,000 25% 2,278,000-4,556,000 40% 4,556,000-6,834,000 50% 60% >6,834,000 75%
EDGF.L Edge Performance VCT PLC UK 0-40,800 25% 40,800-81,600 40% 81,600-122,400 50% 60% >122,400 75%
EDGG.L Edge Performance VCT PLC UK 0-29,400 25% 29,400-58,800 40% 58,800-88,200 50% 60% >88,200 75%
EDGI.L Edge Performance VCT PLC UK 0-21,100 25% 21,100-42,200 40% 42,200-63,300 50% 60% >63,300 75%
EDGx.L Edge Performance VCT PLC UK 0-45,500 25% 45,500-91,000 40% 91,000-136,500 50% 60% >136,500 75%
EDGc.L Edge Performance VCT PLC UK 0-222,200 25% 222,200-444,400 40% 444,400-666,600 50% 60% >666,600 75%
EDGE.L Edge Performance VCT PLC UK 0-41,700 25% 41,700-83,400 40% 83,400-125,100 50% 60% >125,100 75%
EDGH.L Edge Performance VCT PLC UK 0-19,400 25% 19,400-38,800 40% 38,800-58,200 50% 60% >58,200 75%
EDG.L Edge Resources Inc UK 0-5,714,300 25% 5,714,300-11,428,600 40% 11,428,600-17,142,900 50% 60% >17,142,900 75%
EGS.L eg solutions PLC UK 0-16,400 25% 16,400-32,800 40% 32,800-49,200 50% 60% >49,200 75%
EGRE.L Egdon Resources PLC UK 0-74,800 25% 74,800-149,600 40% 149,600-224,400 50% 60% >224,400 75%
EIH.L EIH PLC UK 0-34,900 25% 34,900-69,800 40% 69,800-104,700 50% 60% >104,700 75%
ELX.L El Oro Limited UK 0-16,700 25% 16,700-33,400 40% 33,400-50,100 50% 60% >50,100 75%
ELDR.L Elderstreet VCT PLC UK 0-16,900 25% 16,900-33,800 40% 33,800-50,700 50% 60% >50,700 75%
ELCO.L Eleco PLC UK 0-40,400 25% 40,400-80,800 40% 80,800-121,200 50% 60% >121,200 75%
ELWO.L Electric Word PLC UK 0-434,800 25% 434,800-869,600 40% 869,600-1,304,400 50% 60% >1,304,400 75%
ELDA.L Electronic Data Processing PLC UK 0-13,800 25% 13,800-27,600 40% 27,600-41,400 50% 60% >41,400 75%
EHGE.L Elegant Hotels Group PLC UK 0-13,200 25% 13,200-26,400 40% 26,400-39,600 50% 60% >39,600 75%
EKT.L Elektron Technology PLC UK 0-145,500 25% 145,500-291,000 40% 291,000-436,500 50% 60% >436,500 75%
EMM.L Emerging Markets Minerals PLC UK 0-83,300 25% 83,300-166,600 40% 166,600-249,900 50% 60% >249,900 75%
EMPR.L Empresaria Group PLC UK 0-8,800 25% 8,800-17,600 40% 17,600-26,400 50% 60% >26,400 75%
EMEL.L Empyrean Energy PLC UK 0-125,000 25% 125,000-250,000 40% 250,000-375,000 50% 60% >375,000 75%
ENGI.L Energiser Investments PLC UK 0-800,000 25% 800,000-1,600,000 40% 1,600,000-2,400,000 50% 60% >2,400,000 75%
ESR.L Ensor Holdings PLC UK 0-16,000 25% 16,000-32,000 40% 32,000-48,000 50% 60% >48,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 55 of 103
NTQ.L Enteq Upstream PLC UK 0-62,500 25% 62,500-125,000 40% 125,000-187,500 50% 60% >187,500 75%
ENTU.L entu UK Plc UK 0-29,000 25% 29,000-58,000 40% 58,000-87,000 50% 60% >87,000 75%
ENRE.L Environment Recycling Technologies PLC UK 0-28,571,400 25% 28,571,400-57,142,800 40% 57,142,800-85,714,200 50% 60% >85,714,200 75%
ESOE.L EPE Special Opportunities PLC UK 0-6,600 25% 6,600-13,200 40% 13,200-19,800 50% 60% >19,800 75%
PALO.L Equatorial Palm Oil PLC UK 0-533,300 25% 533,300-1,066,600 40% 1,066,600-1,599,900 50% 60% >1,599,900 75%
ERGO.L Ergomed PLC UK 0-8,200 25% 8,200-16,400 40% 16,400-24,600 50% 60% >24,600 75%
ESCH.L Escher Group Holdings PLC UK 0-5,500 25% 5,500-11,000 40% 11,000-16,500 50% 60% >16,500 75%
EUSPP.L EU Supply PLC UK 0-97,600 25% 97,600-195,200 40% 195,200-292,800 50% 60% >292,800 75%
EUA.L Eurasia Mining PLC UK 0-1,538,500 25% 1,538,500-3,077,000 40% 3,077,000-4,615,500 50% 60% >4,615,500 75%
ECEL.L Eurocell PLC UK 0-10,300 25% 10,300-20,600 40% 20,600-30,900 50% 60% >30,900 75%
EOG.L Europa Oil & Gas Holdings PLC UK 0-210,500 25% 210,500-421,000 40% 421,000-631,500 50% 60% >631,500 75%
EMHE.L European Metals Holdings Limited UK 0-40,000 25% 40,000-80,000 40% 80,000-120,000 50% 60% >120,000 75%
EMANE.L Everyman Media Group Plc UK 0-8,900 25% 8,900-17,800 40% 17,800-26,700 50% 60% >26,700 75%
EVG.L Evgen Pharma PLC UK 0-36,400 25% 36,400-72,800 40% 72,800-109,200 50% 60% >109,200 75%
EVRH.L EVR Holdings PLC UK 0-547,900 25% 547,900-1,095,800 40% 1,095,800-1,643,700 50% 60% >1,643,700 75%
FMPG.L F&C Managed Portfolio Trust plc - Growth Portfolio UK 0-6,300 25% 6,300-12,600 40% 12,600-18,900 50% 60% >18,900 75%
FMPGi.L F&C Managed Portfolio Trust plc - Income Sh AE UK 0-8,200 25% 8,200-16,400 40% 16,400-24,600 50% 60% >24,600 75%
FAIR.L Fair Oaks Income Fund Limited UK 0-13,200 25% 13,200-26,400 40% 26,400-39,600 50% 60% >39,600 75%
FFX.L Fairfx Group PLC UK 0-31,700 25% 31,700-63,400 40% 63,400-95,100 50% 60% >95,100 75%
FRPG.L Fairpoint Group PLC UK 0-9,500 25% 9,500-19,000 40% 19,000-28,500 50% 60% >28,500 75%
FLXFA.L Falanx Group Ltd UK 0-222,200 25% 222,200-444,400 40% 444,400-666,600 50% 60% >666,600 75%
FAL.L Falcon Acquisitions Ltd UK 0-70,200 25% 70,200-140,400 40% 140,400-210,600 50% 60% >210,600 75%
PRR.L Providence Resources PLC UK 0-102,600 25% 102,600-205,200 40% 205,200-307,800 50% 60% >307,800 75%
FKL.L Falkland Islands Holdings PLC UK 0-5,200 25% 5,200-10,400 40% 10,400-15,600 50% 60% >15,600 75%
FARN.L Faron Pharmaceuticals Oy UK 0-4,000 25% 4,000-8,000 40% 8,000-12,000 50% 60% >12,000 75%
FFWD.L Fast Forward innovations Ltd UK 0-84,200 25% 84,200-168,400 40% 168,400-252,600 50% 60% >252,600 75%
FJET.L Fastjet PLC UK 0-38,100 25% 38,100-76,200 40% 76,200-114,300 50% 60% >114,300 75%
FDBK.L Feedback PLC UK 0-888,900 25% 888,900-1,777,800 40% 1,777,800-2,666,700 50% 60% >2,666,700 75%
FTC.L Filtronic PLC UK 0-86,000 25% 86,000-172,000 40% 172,000-258,000 50% 60% >258,000 75%
FAM.L Finnaust Mining PLC UK 0-169,500 25% 169,500-339,000 40% 339,000-508,500 50% 60% >508,500 75%
FIF.L Finsbury Food Group PLC UK 0-7,500 25% 7,500-15,000 40% 15,000-22,500 50% 60% >22,500 75%
FDI.L Firestone Diamonds PLC UK 0-22,700 25% 22,700-45,400 40% 45,400-68,100 50% 60% >68,100 75%
FSTP.L First Property Group PLC UK 0-23,000 25% 23,000-46,000 40% 46,000-69,000 50% 60% >69,000 75%
FISH.L Fishing Republic PLC UK 0-24,100 25% 24,100-48,200 40% 48,200-72,300 50% 60% >72,300 75%
FKE.L Fiske PLC UK 0-24,700 25% 24,700-49,400 40% 49,400-74,100 50% 60% >74,100 75%
FITBF.L Fitbug Holdings PLC UK 0-4,444,400 25% 4,444,400-8,888,800 40% 8,888,800-13,333,200 50% 60% >13,333,200 75%
FCHK.L Fletcher King PLC UK 0-18,700 25% 18,700-37,400 40% 37,400-56,100 50% 60% >56,100 75%
FLOWF.L Flowgroup PLC UK 0-85,100 25% 85,100-170,200 40% 170,200-255,300 50% 60% >255,300 75%
FBD_u.L Flying Brands Limited UK 0-307,700 25% 307,700-615,400 40% 615,400-923,100 50% 60% >923,100 75%
TUNE.L Focusrite PLC UK 0-6,000 25% 6,000-12,000 40% 12,000-18,000 50% 60% >18,000 75%
FBT.L Forbidden Technologies PLC UK 0-123,100 25% 123,100-246,200 40% 246,200-369,300 50% 60% >369,300 75%
FST3.L Foresight 3 VCT PLC UK 0-24,400 25% 24,400-48,800 40% 48,800-73,200 50% 60% >73,200 75%
FTF.L Foresight 4 Vct PLC UK 0-21,200 25% 21,200-42,400 40% 42,400-63,600 50% 60% >63,600 75%
FTSV.L Foresight Solar VCT PLC UK 0-10,400 25% 10,400-20,800 40% 20,800-31,200 50% 60% >31,200 75%
FTV.L Foresight VCT PLC UK 0-13,600 25% 13,600-27,200 40% 27,200-40,800 50% 60% >40,800 75%
FTVI.L Foresight VCT PLC UK 0-11,500 25% 11,500-23,000 40% 23,000-34,500 50% 60% >34,500 75%
FTVP.L Foresight VCT PLC (Exit) UK 0-25,000 25% 25,000-50,000 40% 50,000-75,000 50% 60% >75,000 75%
FRM.L Formation Group PLC UK 0-242,400 25% 242,400-484,800 40% 484,800-727,200 50% 60% >727,200 75%
FOX.L Fox Marble Holdings Plc UK 0-101,300 25% 101,300-202,600 40% 202,600-303,900 50% 60% >303,900 75%
FEN.L Frenkel Topping Group PLC UK 0-20,800 25% 20,800-41,600 40% 41,600-62,400 50% 60% >62,400 75%
FRR.L Frontera Resources Corp UK 0-10,810,800 25% 10,810,800-21,621,600 40% 21,621,600-32,432,400 50% 60% >32,432,400 75%
FDEV.L Frontier Developments PLC UK 0-5,900 25% 5,900-11,800 40% 11,800-17,700 50% 60% >17,700 75%
FIPPG.L Frontier IP Group PLC UK 0-29,600 25% 29,600-59,200 40% 59,200-88,800 50% 60% >88,800 75%
FCRM.L Fulcrum Utility Services Ltd UK 0-27,200 25% 27,200-54,400 40% 54,400-81,600 50% 60% >81,600 75%
FULH.L Fulham Shore Plc/The UK 0-44,400 25% 44,400-88,800 40% 88,800-133,200 50% 60% >133,200 75%
FXIF.L Fusionex International PLC UK 0-5,800 25% 5,800-11,600 40% 11,600-17,400 50% 60% >17,400 75%
FUM.L Futura Medical PLC UK 0-16,100 25% 16,100-32,200 40% 32,200-48,300 50% 60% >48,300 75%
BNKq.L Bankers Petroleum Limited UK 0-8,800 25% 8,800-17,600 40% 17,600-26,400 50% 60% >26,400 75%
GVP.L Gabelli Value Plus+ Trust PLC UK 0-8,600 25% 8,600-17,200 40% 17,200-25,800 50% 60% >25,800 75%
GAH.L Gable Holdings Inc UK 0-421,100 25% 421,100-842,200 40% 842,200-1,263,300 50% 60% >1,263,300 75%
GAGO.L Galantas Gold Corp UK 0-114,300 25% 114,300-228,600 40% 228,600-342,900 50% 60% >342,900 75%
GLS.L Galasys PLC UK 0-39,200 25% 39,200-78,400 40% 78,400-117,600 50% 60% >117,600 75%
GLR.L Galileo Resources PLC UK 0-655,700 25% 655,700-1,311,400 40% 1,311,400-1,967,100 50% 60% >1,967,100 75%
GMAA.L Gama Aviation UK 0-5,400 25% 5,400-10,800 40% 10,800-16,200 50% 60% >16,200 75%
GAN.L GameAccount Network plc UK 0-23,800 25% 23,800-47,600 40% 47,600-71,400 50% 60% >71,400 75%
GTLY.L Gateley LLP UK 0-8,500 25% 8,500-17,000 40% 17,000-25,500 50% 60% >25,500 75%
GCM.L GCM Resources PLC UK 0-47,100 25% 47,100-94,200 40% 94,200-141,300 50% 60% >141,300 75%
DIGS.L GCP Student Living PLC UK 0-6,800 25% 6,800-13,600 40% 13,600-20,400 50% 60% >20,400 75%
G4M.L Gear4Music (Holdings) PLC UK 0-4,900 25% 4,900-9,800 40% 9,800-14,700 50% 60% >14,700 75%
GCLq.L Geiger Counter Ltd UK 0-55,600 25% 55,600-111,200 40% 111,200-166,800 50% 60% >166,800 75%
GNIG.L General Industries plc Prior to Reverse Merger with Altair Consultancy and Advisory Services Limited UK 0-22,500 25% 22,500-45,000 40% 45,000-67,500 50% 60% >67,500 75%
GTC.L Getech Group PLC UK 0-39,200 25% 39,200-78,400 40% 78,400-117,600 50% 60% >117,600 75%
GFIN.L Gfinity plc UK 0-95,200 25% 95,200-190,400 40% 190,400-285,600 50% 60% >285,600 75%
GWIK.L Glenwick PLC UK 0-16,666,700 25% 16,666,700-33,333,400 40% 33,333,400-50,000,100 50% 60% >50,000,100 75%
GLAF.L GLI Alternative Finance PLC UK 0-10,500 25% 10,500-21,000 40% 21,000-31,500 50% 60% >31,500 75%
GLIF.L Gli Finance Ltd - NEW UK 0-40,600 25% 40,600-81,200 40% 81,200-121,800 50% 60% >121,800 75%
GBLE.L Global Energy Development PLC UK 0-39,200 25% 39,200-78,400 40% 78,400-117,600 50% 60% >117,600 75%
GFIR.L Global Fixed Income Realisation Ltd UK 0-80,000 25% 80,000-160,000 40% 160,000-240,000 50% 60% >240,000 75%
GINV.L Global Invacom Group Limited UK 0-133,300 25% 133,300-266,600 40% 266,600-399,900 50% 60% >399,900 75%
GBPq.L Global Petroleum Ltd UK 0-571,400 25% 571,400-1,142,800 40% 1,142,800-1,714,200 50% 60% >1,714,200 75%
GRIT.L Global Resources Investments Trust Plc/Fund UK 0-107,500 25% 107,500-215,000 40% 215,000-322,500 50% 60% >322,500 75%
DATA.L GLOBALDATA PLC UK 0-2,900 25% 2,900-5,800 40% 5,800-8,700 50% 60% >8,700 75%
GWI.L Globalworth Real Estate Investments Ltd UK 0-2,200 25% 2,200-4,400 40% 4,400-6,600 50% 60% >6,600 75%
GLOO.L Gloo Networks PLC UK 0-8,300 25% 8,300-16,600 40% 16,600-24,900 50% 60% >24,900 75%
GOAL.L Goals Soccer Centres PLC UK 0-9,100 25% 9,100-18,200 40% 18,200-27,300 50% 60% >27,300 75%
GPM.L Golden Prospect Precious Metals Ltd UK 0-21,300 25% 21,300-42,600 40% 42,600-63,900 50% 60% >63,900 75%
GSRL.L Golden St Resources Ltd UK 0-21,052,600 25% 21,052,600-42,105,200 40% 42,105,200-63,157,800 50% 60% >63,157,800 75%
GLDP.L Goldplat PLC UK 0-173,900 25% 173,900-347,800 40% 347,800-521,700 50% 60% >521,700 75%
GRL.L Goldstone Resources Ltd UK 0-388,300 25% 388,300-776,600 40% 776,600-1,164,900 50% 60% >1,164,900 75%
GOODG.L Good Energy Group PLC UK 0-4,600 25% 4,600-9,200 40% 9,200-13,800 50% 60% >13,800 75%
GRAG.L Grafenia PLC UK 0-100,000 25% 100,000-200,000 40% 200,000-300,000 50% 60% >300,000 75%
GIPO.L Grand Group Investment PLC UK 0-17,700 25% 17,700-35,400 40% 35,400-53,100 50% 60% >53,100 75%
GEECq.L Great Eastern Energy Corp Ltd UK 0-36,400 25% 36,400-72,800 40% 72,800-109,200 50% 60% >109,200 75%
GGPL.L Greatland Gold PLC UK 0-3,921,600 25% 3,921,600-7,843,200 40% 7,843,200-11,764,800 50% 60% >11,764,800 75%
GHT.L Gresham Computing PLC UK 0-10,200 25% 10,200-20,400 40% 20,400-30,600 50% 60% >30,600 75%
GHE.L Gresham House PLC UK 0-3,100 25% 3,100-6,200 40% 6,200-9,300 50% 60% >9,300 75%
GHS.L Gresham House Strategic PLC UK 0-1,200 25% 1,200-2,400 40% 2,400-3,600 50% 60% >3,600 75%
GFM.L Griffin Mining Ltd UK 0-22,900 25% 22,900-45,800 40% 45,800-68,700 50% 60% >68,700 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 56 of 103
GRIO.L Ground Rents Income Fund PLC UK 0-8,000 25% 8,000-16,000 40% 16,000-24,000 50% 60% >24,000 75%
GPX.L Gulfsands Petroleum PLC UK 0-320,000 25% 320,000-640,000 40% 640,000-960,000 50% 60% >960,000 75%
GUS.L Gusbourne PLC UK 0-22,200 25% 22,200-44,400 40% 44,400-66,600 50% 60% >66,600 75%
GUSC.L Guscio PLC UK 0-275,900 25% 275,900-551,800 40% 551,800-827,700 50% 60% >827,700 75%
SLNG.L H C Slingsby PLC UK 0-8,000 25% 8,000-16,000 40% 16,000-24,000 50% 60% >24,000 75%
HNL.L Hague & London Oil Plc UK 0-90,900 25% 90,900-181,800 40% 181,800-272,700 50% 60% >272,700 75%
HAIK.L Haike Chemical Group UK 0-74,100 25% 74,100-148,200 40% 148,200-222,300 50% 60% >222,300 75%
HALHx.L HaloSource Inc UK 0-258,100 25% 258,100-516,200 40% 516,200-774,300 50% 60% >774,300 75%
HALH.L HaloSource Inc UK 0-105,300 25% 105,300-210,600 40% 210,600-315,900 50% 60% >315,900 75%
HANa.L Hansa Trust PLC - A UK 0-1,200 25% 1,200-2,400 40% 2,400-3,600 50% 60% >3,600 75%
HDD.L Hardide PLC UK 0-930,200 25% 930,200-1,860,400 40% 1,860,400-2,790,600 50% 60% >2,790,600 75%
HHV.L Hargreave Hale AIM VCT 1 PLC UK 0-14,200 25% 14,200-28,400 40% 28,400-42,600 50% 60% >42,600 75%
HHVx.L Hargreave Hale AIM VCT 2 PLC UK 0-10,200 25% 10,200-20,400 40% 20,400-30,600 50% 60% >30,600 75%
HW.L Harwood Wealth Management Group PLC UK 0-8,300 25% 8,300-16,600 40% 16,600-24,900 50% 60% >24,900 75%
HWG.L Harworth Group Plc UK 0-11,400 25% 11,400-22,800 40% 22,800-34,200 50% 60% >34,200 75%
HAVE.L Havelock Europa PLC UK 0-105,300 25% 105,300-210,600 40% 210,600-315,900 50% 60% >315,900 75%
HAYD.L Haydale Graphene Industries plc UK 0-6,000 25% 6,000-12,000 40% 12,000-18,000 50% 60% >18,000 75%
HYNS.L Haynes Publishing Group PLC UK 0-8,900 25% 8,900-17,800 40% 17,800-26,700 50% 60% >26,700 75%
HAYT.L Hayward Tyler Group PLC UK 0-11,800 25% 11,800-23,600 40% 23,600-35,400 50% 60% >35,400 75%
HR1Oa.L Hazel Renewable Energy VCT1 PLC UK 0-198,000 25% 198,000-396,000 40% 396,000-594,000 50% 60% >594,000 75%
HR1O.L Hazel Renewable Energy VCT1 PLC UK 0-9,400 25% 9,400-18,800 40% 18,800-28,200 50% 60% >28,200 75%
HR2Oa.L Hazel Renewable Energy VCT2 PLC UK 0-198,000 25% 198,000-396,000 40% 396,000-594,000 50% 60% >594,000 75%
HR2O.L Hazel Renewable Energy VCT2 PLC UK 0-9,400 25% 9,400-18,800 40% 18,800-28,200 50% 60% >28,200 75%
HVT.L Heavitree Brewery PLC/The UK 0-2,300 25% 2,300-4,600 40% 4,600-6,900 50% 60% >6,900 75%
HUW.L Helios Underwriting PLC UK 0-5,700 25% 5,700-11,400 40% 11,400-17,100 50% 60% >17,100 75%
HPAC.L Hermes Pacific Investments PLC UK 0-12,500 25% 12,500-25,000 40% 25,000-37,500 50% 60% >37,500 75%
HCFT.L Highcroft Investments PLC UK 0-1,100 25% 1,100-2,200 40% 2,200-3,300 50% 60% >3,300 75%
HNRH.L Highlands Natural Resources PLC UK 0-49,500 25% 49,500-99,000 40% 99,000-148,500 50% 60% >148,500 75%
HWC.L Highway Capital PLC UK 0-76,900 25% 76,900-153,800 40% 153,800-230,700 50% 60% >230,700 75%
HMLH.L HML Holdings PLC UK 0-30,300 25% 30,300-60,600 40% 60,600-90,900 50% 60% >90,900 75%
HDT.L Holders Technology PLC UK 0-33,900 25% 33,900-67,800 40% 67,800-101,700 50% 60% >101,700 75%
HZDH.L Horizon Discovery Group PLC UK 0-5,900 25% 5,900-11,800 40% 11,800-17,700 50% 60% >17,700 75%
HZM.L Horizonte Minerals PLC UK 0-487,800 25% 487,800-975,600 40% 975,600-1,463,400 50% 60% >1,463,400 75%
HOTC.L Hotel Chocolat Group Limited UK 0-7,000 25% 7,000-14,000 40% 14,000-21,000 50% 60% >21,000 75%
HUMR.L Hummingbird Resources PLC UK 0-41,700 25% 41,700-83,400 40% 83,400-125,100 50% 60% >125,100 75%
HUNH.L Hunter Resources PLC UK 0-5,405,400 25% 5,405,400-10,810,800 40% 10,810,800-16,216,200 50% 60% >16,216,200 75%
HCM.L Hutchison China MediTech Ltd UK 0-500 25% 500-1,000 40% 1,000-1,500 50% 60% >1,500 75%
HYR.L Hydrodec Group PLC UK 0-296,300 25% 296,300-592,600 40% 592,600-888,900 50% 60% >888,900 75%
HYDG.L Hydrogen Group PLC UK 0-27,800 25% 27,800-55,600 40% 55,600-83,400 50% 60% >83,400 75%
HYG.L Hygea VCT PLC UK 0-20,800 25% 20,800-41,600 40% 41,600-62,400 50% 60% >62,400 75%
IBEX.L IBEX Global Solutions PLC UK 0-11,900 25% 11,900-23,800 40% 23,800-35,700 50% 60% >35,700 75%
IBSA.L IBIS Media VCT 1 PLC UK 0-47,600 25% 47,600-95,200 40% 95,200-142,800 50% 60% >142,800 75%
IDEA.L Ideagen PLC UK 0-17,400 25% 17,400-34,800 40% 34,800-52,200 50% 60% >52,200 75%
IBPO.L iEnergizer Limited UK 0-12,600 25% 12,600-25,200 40% 25,200-37,800 50% 60% >37,800 75%
INGR.L IG Design Group Plc UK 0-3,700 25% 3,700-7,400 40% 7,400-11,100 50% 60% >11,100 75%
IKA.L Ilika PLC UK 0-17,200 25% 17,200-34,400 40% 34,400-51,600 50% 60% >51,600 75%
IMGE.L Image Scan Holdings PLC UK 0-166,700 25% 166,700-333,400 40% 333,400-500,100 50% 60% >500,100 75%
IMTK.L Imaginatik PLC UK 0-615,400 25% 615,400-1,230,800 40% 1,230,800-1,846,200 50% 60% >1,846,200 75%
IMOI.L IMImobile PLC UK 0-5,200 25% 5,200-10,400 40% 10,400-15,600 50% 60% >15,600 75%
IME.L Immedia Group PLC UK 0-32,300 25% 32,300-64,600 40% 64,600-96,900 50% 60% >96,900 75%
IDH.L Immunodiagnostic Systems Holdings PLC UK 0-5,700 25% 5,700-11,400 40% 11,400-17,100 50% 60% >17,100 75%
IMM.L Immupharma PLC UK 0-26,800 25% 26,800-53,600 40% 53,600-80,400 50% 60% >80,400 75%
IHUK.L Impact Holdings (UK) PLC UK 0-15,700 25% 15,700-31,400 40% 31,400-47,100 50% 60% >47,100 75%
IPX.L Impax Asset Management Group PLC UK 0-20,100 25% 20,100-40,200 40% 40,200-60,300 50% 60% >60,300 75%
IPEL.L Impellam Group PLC UK 0-1,300 25% 1,300-2,600 40% 2,600-3,900 50% 60% >3,900 75%
IKK.L Inch Kenneth Kajang Rubber PLC UK 0-87,000 25% 87,000-174,000 40% 174,000-261,000 50% 60% >261,000 75%
IIT.L Independent Investment Trust PLC/Fund UK 0-2,600 25% 2,600-5,200 40% 5,200-7,800 50% 60% >7,800 75%
IOG.L Independent Oil & Gas Plc UK 0-39,000 25% 39,000-78,000 40% 78,000-117,000 50% 60% >117,000 75%
IRG.L Independent Resources PLC UK 0-16,000,000 25% 16,000,000-32,000,000 40% 32,000,000-48,000,000 50% 60% >48,000,000 75%
IGC.L India Capital Growth Fund Ltd UK 0-14,200 25% 14,200-28,400 40% 28,400-42,600 50% 60% >42,600 75%
ID2A.L Indigovision Group PLC UK 0-5,900 25% 5,900-11,800 40% 11,800-17,700 50% 60% >17,700 75%
IMPT.L Industrial Multi Property Trust PLC UK 0-5,400 25% 5,400-10,800 40% 10,800-16,200 50% 60% >16,200 75%
GBR.L Infinity Energy SA UK 0-7,407,400 25% 7,407,400-14,814,800 40% 14,814,800-22,222,200 50% 60% >22,222,200 75%
INFAT.L Infrastrata PLC UK 0-784,300 25% 784,300-1,568,600 40% 1,568,600-2,352,900 50% 60% >2,352,900 75%
IIP.L Infrastructure India PLC UK 0-87,900 25% 87,900-175,800 40% 175,800-263,700 50% 60% >263,700 75%
INGI.L Ingenta PLC UK 0-6,300 25% 6,300-12,600 40% 12,600-18,900 50% 60% >18,900 75%
ILND.L Inland Homes PLC UK 0-17,300 25% 17,300-34,600 40% 34,600-51,900 50% 60% >51,900 75%
INLZ_p.L Inland ZDP PLC UK 0-7,200 25% 7,200-14,400 40% 14,400-21,600 50% 60% >21,600 75%
IHC.L Inspiration Healthcare Group PLC UK 0-14,100 25% 14,100-28,200 40% 28,200-42,300 50% 60% >42,300 75%
INSEI.L Inspired Energy PLC UK 0-71,400 25% 71,400-142,800 40% 142,800-214,200 50% 60% >214,200 75%
INSP.L Inspirit Energy Holdings PLC UK 0-3,125,000 25% 3,125,000-6,250,000 40% 6,250,000-9,375,000 50% 60% >9,375,000 75%
INSC.L Instem PLC UK 0-5,000 25% 5,000-10,000 40% 10,000-15,000 50% 60% >15,000 75%
IGP.L Intercede Group PLC UK 0-10,000 25% 10,000-20,000 40% 20,000-30,000 50% 60% >30,000 75%
ITQ.L InterQuest Group PLC UK 0-23,100 25% 23,100-46,200 40% 46,200-69,300 50% 60% >69,300 75%
IPEI.L Invesco Perpetual Enhanced Income Limited UK 0-13,000 25% 13,000-26,000 40% 26,000-39,000 50% 60% >39,000 75%
IVPB.L Invesco Perpetual Select Trust PLC UK 0-7,800 25% 7,800-15,600 40% 15,600-23,400 50% 60% >23,400 75%
IVPU.L Invesco Perpetual Select Trust PLC UK 0-5,800 25% 5,800-11,600 40% 11,600-17,400 50% 60% >17,400 75%
IVPG.L Invesco Perpetual Select Trust plc - Global Equity Income Share Portfolio UK 0-5,700 25% 5,700-11,400 40% 11,400-17,100 50% 60% >17,100 75%
IVPM.L Invesco Perpetual Select Trust plc - Managed Liquidity Share Portfolio UK 0-9,900 25% 9,900-19,800 40% 19,800-29,700 50% 60% >29,700 75%
CLCC.L Investec Structured Products Calculus VCT PLC UK 0-31,300 25% 31,300-62,600 40% 62,600-93,900 50% 60% >93,900 75%
INVM.L Investment Company PLC UK 0-2,700 25% 2,700-5,400 40% 5,400-8,100 50% 60% >8,100 75%
ICTAa.L Investors Capital Trust PLC UK 0-10,400 25% 10,400-20,800 40% 20,800-31,200 50% 60% >31,200 75%
ICTAb.L Investors Capital Trust PLC UK 0-10,500 25% 10,500-21,000 40% 21,000-31,500 50% 60% >31,500 75%
ION1a.L Iona Environmental VCT PLC UK 0-198,000 25% 198,000-396,000 40% 396,000-594,000 50% 60% >594,000 75%
ION1.L Iona Environmental VCT PLC UK 0-20,000 25% 20,000-40,000 40% 40,000-60,000 50% 60% >60,000 75%
IONB.L Iona Environmental VCT PLC UK 0-13,000 25% 13,000-26,000 40% 26,000-39,000 50% 60% >39,000 75%
IPPL.L IPPlus PLC UK 0-65,600 25% 65,600-131,200 40% 131,200-196,800 50% 60% >196,800 75%
IRFE.L IRF European Finance Investments Limited UK 0-16,347,500 25% 16,347,500-32,695,000 40% 32,695,000-49,042,500 50% 60% >49,042,500 75%
IRR.L IronRidge Resources Ltd UK 0-79,200 25% 79,200-158,400 40% 158,400-237,600 50% 60% >237,600 75%
IRONI.L Ironveld PLC UK 0-200,000 25% 200,000-400,000 40% 400,000-600,000 50% 60% >600,000 75%
IWFQ.L iShares IV Public Limited Company - iShares MSCI World Quality Factor UCITS ETF UK 0-500 25% 500-1,000 40% 1,000-1,500 50% 60% >1,500 75%
IXI.L Ixico Plc UK 0-32,800 25% 32,800-65,600 40% 65,600-98,400 50% 60% >98,400 75%
SMJ.L J. Smart & Co. (Contractors) PLC UK 0-9,800 25% 9,800-19,600 40% 19,600-29,400 50% 60% >29,400 75%
CRPR.L James Cropper PLC UK 0-1,000 25% 1,000-2,000 40% 2,000-3,000 50% 60% >3,000 75%
LTHM.L James Latham PLC UK 0-1,500 25% 1,500-3,000 40% 3,000-4,500 50% 60% >4,500 75%
JIM.L Jarvis Securities PLC UK 0-3,200 25% 3,200-6,400 40% 6,400-9,600 50% 60% >9,600 75%
JWNG.L Jaywing PLC UK 0-33,300 25% 33,300-66,600 40% 66,600-99,900 50% 60% >99,900 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 57 of 103
JLEC.L Jersey Electricity PLC UK 0-2,400 25% 2,400-4,800 40% 4,800-7,200 50% 60% >7,200 75%
TRAPO.L Jersey Oil and Gas E&P Limited UK 0-25,800 25% 25,800-51,600 40% 51,600-77,400 50% 60% >77,400 75%
JSI.L Jiasen International Holdings Ltd UK 0-400,000 25% 400,000-800,000 40% 800,000-1,200,000 50% 60% >1,200,000 75%
JKX.L JKX Oil & Gas PLC UK 0-51,900 25% 51,900-103,800 40% 103,800-155,700 50% 60% >155,700 75%
JLH.L John Lewis of Hungerford PLC UK 0-952,400 25% 952,400-1,904,800 40% 1,904,800-2,857,200 50% 60% >2,857,200 75%
JOUL.L Joules Limited UK 0-12,700 25% 12,700-25,400 40% 25,400-38,100 50% 60% >38,100 75%
JNYJ.L Journey Group PLC UK 0-4,200 25% 4,200-8,400 40% 8,400-12,600 50% 60% >12,600 75%
JIGIx.L JP Morgan Income & Growth Investment Trust PLC UK 0-235,300 25% 235,300-470,600 40% 470,600-705,900 50% 60% >705,900 75%
JIGIi.L JP Morgan Income & Growth Investment Trust PLC UK 0-9,900 25% 9,900-19,800 40% 19,800-29,700 50% 60% >29,700 75%
JPEL_p.L JP Morgan Private Equity Ltd UK 0-12,900 25% 12,900-25,800 40% 25,800-38,700 50% 60% >38,700 75%
JPB.L JPMorgan Brazil Investment Trust PLC UK 0-17,000 25% 17,000-34,000 40% 34,000-51,000 50% 60% >51,000 75%
JPEi.L JPMorgan Elect Managed Growth UK 0-9,700 25% 9,700-19,400 40% 19,400-29,100 50% 60% >29,100 75%
JPE.L JPMorgan Elect Managed Growth UK 0-1,500 25% 1,500-3,000 40% 3,000-4,500 50% 60% >4,500 75%
JPEx.L JPMorgan Elect Managed Growth UK 0-10,000 25% 10,000-20,000 40% 20,000-30,000 50% 60% >30,000 75%
JPIP.L JPMorgan Income & Capital Trust PLC UK 0-12,100 25% 12,100-24,200 40% 24,200-36,300 50% 60% >36,300 75%
JMIS.L JPMorgan Smaller CosIT PLC UK 0-90,900 25% 90,900-181,800 40% 181,800-272,700 50% 60% >272,700 75%
JLP.L Jubilee Platinum PLC UK 0-288,100 25% 288,100-576,200 40% 576,200-864,300 50% 60% >864,300 75%
JDG.L Judges Scientific PLC UK 0-700 25% 700-1,400 40% 1,400-2,100 50% 60% >2,100 75%
JDTx.L Jupiter Dividend & Growth Trust PLC UK 0-8,400 25% 8,400-16,800 40% 16,800-25,200 50% 60% >25,200 75%
JDTi.L Jupiter Dividend & Growth Trust PLC UK 0-333,300 25% 333,300-666,600 40% 666,600-999,900 50% 60% >999,900 75%
JDToz.L Jupiter Dividend & Growth Trust PLC UK 0-8,300 25% 8,300-16,600 40% 16,600-24,900 50% 60% >24,900 75%
JPRL.L Jupiter Energy Limited UK 0-95,200 25% 95,200-190,400 40% 190,400-285,600 50% 60% >285,600 75%
JGC.L Jupiter Green Investment Trust PLC UK 0-6,400 25% 6,400-12,800 40% 12,800-19,200 50% 60% >19,200 75%
JIL.L Juridica Investments Ltd UK 0-20,400 25% 20,400-40,800 40% 40,800-61,200 50% 60% >61,200 75%
JZCZo.L JZ Capital Partners Limited UK 0-2,400 25% 2,400-4,800 40% 4,800-7,200 50% 60% >7,200 75%
JZCP.L JZ Capital Partners Ltd UK 0-2,200 25% 2,200-4,400 40% 4,400-6,600 50% 60% >6,600 75%
KCR.L K&C REIT PLC UK 0-142,900 25% 142,900-285,800 40% 285,800-428,700 50% 60% >428,700 75%
KBT.L K3 Business Technology Group PLC UK 0-3,000 25% 3,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
KAKU.L Kakuzi Limited UK 0-10,800 25% 10,800-21,600 40% 21,600-32,400 50% 60% >32,400 75%
KLBT.L Kalibrate Technologies Plc UK 0-12,700 25% 12,700-25,400 40% 25,400-38,100 50% 60% >38,100 75%
KEFI.L KEFI Minerals PLC UK 0-1,980,200 25% 1,980,200-3,960,400 40% 3,960,400-5,940,600 50% 60% >5,940,600 75%
KLN.L Kellan Group PLC UK 0-1,142,900 25% 1,142,900-2,285,800 40% 2,285,800-3,428,700 50% 60% >3,428,700 75%
KEMK.L Kemin Resources PLC UK 0-615,400 25% 615,400-1,230,800 40% 1,230,800-1,846,200 50% 60% >1,846,200 75%
KENV.L Kennedy Ventures PLC UK 0-333,300 25% 333,300-666,600 40% 666,600-999,900 50% 60% >999,900 75%
KRS.L Keras PLC UK 0-1,481,500 25% 1,481,500-2,963,000 40% 2,963,000-4,444,500 50% 60% >4,444,500 75%
KWS.L Keywords Studios Plc UK 0-3,200 25% 3,200-6,400 40% 6,400-9,600 50% 60% >9,600 75%
KIBO.L Kibo Mining PLC UK 0-137,900 25% 137,900-275,800 40% 275,800-413,700 50% 60% >413,700 75%
KBEK.L Kimberly Enterprises NV UK 0-1,142,900 25% 1,142,900-2,285,800 40% 2,285,800-3,428,700 50% 60% >3,428,700 75%
KAY.L Kings Arms Yard VCT PLC UK 0-55,600 25% 55,600-111,200 40% 111,200-166,800 50% 60% >166,800 75%
KOD.L Kodal Minerals PLC UK 0-6,779,700 25% 6,779,700-13,559,400 40% 13,559,400-20,339,100 50% 60% >20,339,100 75%
KGLD.L Kolar Gold Limited UK 0-754,700 25% 754,700-1,509,400 40% 1,509,400-2,264,100 50% 60% >2,264,100 75%
KOOV.L Koovs PLC UK 0-14,800 25% 14,800-29,600 40% 29,600-44,400 50% 60% >44,400 75%
KMK.L Kromek Group PLC UK 0-37,400 25% 37,400-74,800 40% 74,800-112,200 50% 60% >112,200 75%
LND.L Landore Resources Ltd UK 0-325,200 25% 325,200-650,400 40% 650,400-975,600 50% 60% >975,600 75%
LOGP.L Lansdowne Oil & Gas PLC UK 0-833,300 25% 833,300-1,666,600 40% 1,666,600-2,499,900 50% 60% >2,499,900 75%
LEAL.L Lead All Investments Limited UK 0-727,300 25% 727,300-1,454,600 40% 1,454,600-2,181,900 50% 60% >2,181,900 75%
LEAF.L Leaf Clean Energy Company UK 0-23,000 25% 23,000-46,000 40% 46,000-69,000 50% 60% >69,000 75%
LTGL.L Learning Technologies Group PLC UK 0-30,500 25% 30,500-61,000 40% 61,000-91,500 50% 60% >91,500 75%
LDSG.L Leeds Group PLC UK 0-26,700 25% 26,700-53,400 40% 53,400-80,100 50% 60% >80,100 75%
LEGL.L Legendary Investments PLC UK 0-4,545,500 25% 4,545,500-9,091,000 40% 9,091,000-13,636,500 50% 60% >13,636,500 75%
LVRT.L Levrett PLC UK 0-470,600 25% 470,600-941,200 40% 941,200-1,411,800 50% 60% >1,411,800 75%
LGO.L LGO Energy PLC UK 0-7,017,500 25% 7,017,500-14,035,000 40% 14,035,000-21,052,500 50% 60% >21,052,500 75%
LID.L LiDCO Group PLC UK 0-170,200 25% 170,200-340,400 40% 340,400-510,600 50% 60% >510,600 75%
LIFEL.L Life Sciences Developments Ltd UK 0-363,600 25% 363,600-727,200 40% 727,200-1,090,800 50% 60% >1,090,800 75%
LSIC.L Lifeline Scientific Inc UK 0-3,400 25% 3,400-6,800 40% 6,800-10,200 50% 60% >10,200 75%
LGHT.L Lighthouse Group PLC UK 0-102,600 25% 102,600-205,200 40% 205,200-307,800 50% 60% >307,800 75%
LWRF.L LightwaveRF PLC UK 0-69,000 25% 69,000-138,000 40% 138,000-207,000 50% 60% >207,000 75%
LMEL.L Limitless Earth PLC UK 0-296,300 25% 296,300-592,600 40% 592,600-888,900 50% 60% >888,900 75%
LOK.L Lok'nStore Group PLC UK 0-2,800 25% 2,800-5,600 40% 5,600-8,400 50% 60% >8,400 75%
LRM.L Lombard Risk Management PLC UK 0-123,100 25% 123,100-246,200 40% 246,200-369,300 50% 60% >369,300 75%
LAS.L London & Associated Properties PLC UK 0-43,500 25% 43,500-87,000 40% 87,000-130,500 50% 60% >130,500 75%
LCG.L London Capital Group Holdings PLC UK 0-242,400 25% 242,400-484,800 40% 484,800-727,200 50% 60% >727,200 75%
LFI.L London Finance & Investment Group PLC UK 0-23,300 25% 23,300-46,600 40% 46,600-69,900 50% 60% >69,900 75%
LSC.L London Security PLC UK 0-500 25% 500-1,000 40% 1,000-1,500 50% 60% >1,500 75%
LPA.L LPA Group PLC UK 0-8,500 25% 8,500-17,000 40% 17,000-25,500 50% 60% >25,500 75%
LEF.L Ludgate Environmental Fund Limited UK 0-40,800 25% 40,800-81,600 40% 81,600-122,400 50% 60% >122,400 75%
WINKM.L M Winkworth PLC UK 0-9,500 25% 9,500-19,000 40% 19,000-28,500 50% 60% >28,500 75%
MGHCi.L M&G High Income Investment Trust PLC UK 0-21,100 25% 21,100-42,200 40% 42,200-63,300 50% 60% >63,300 75%
MGHC.L M&G High Income Investment Trust PLC UK 0-1,538,500 25% 1,538,500-3,077,000 40% 3,077,000-4,615,500 50% 60% >4,615,500 75%
MGHCo.L M&G High Income Investment Trust PLC UK 0-8,300 25% 8,300-16,600 40% 16,600-24,900 50% 60% >24,900 75%
MACF.L Macfarlane Group PLC UK 0-15,900 25% 15,900-31,800 40% 31,800-47,700 50% 60% >47,700 75%
MOIL.L Madagascar Oil Ltd UK 0-2,222,200 25% 2,222,200-4,444,400 40% 4,444,400-6,666,600 50% 60% >6,666,600 75%
MAGP.L Magnolia Petroleum PLC UK 0-9,523,800 25% 9,523,800-19,047,600 40% 19,047,600-28,571,400 50% 60% >28,571,400 75%
MAIH.L Maintel Holdings PLC UK 0-1,000 25% 1,000-2,000 40% 2,000-3,000 50% 60% >3,000 75%
MRS.L Management Resource Solutions PLC UK 0-81,600 25% 81,600-163,200 40% 163,200-244,800 50% 60% >244,800 75%
MFX.L Manx Financial Group PLC UK 0-103,900 25% 103,900-207,800 40% 207,800-311,700 50% 60% >311,700 75%
MANX.L Manx Telecom Plc UK 0-7,100 25% 7,100-14,200 40% 14,200-21,300 50% 60% >21,300 75%
MAC.L Marechale Capital PLC UK 0-615,400 25% 615,400-1,230,800 40% 1,230,800-1,846,200 50% 60% >1,846,200 75%
MRRE.L Mariana Resources Ltd UK 0-16,500 25% 16,500-33,000 40% 33,000-49,500 50% 60% >49,500 75%
MRLM.L Marlowe PLC UK 0-6,000 25% 6,000-12,000 40% 12,000-18,000 50% 60% >18,000 75%
MMHM.L Marshall Motor Holdings plc UK 0-6,200 25% 6,200-12,400 40% 12,400-18,600 50% 60% >18,600 75%
MCOM.L MartinCo PLC UK 0-6,700 25% 6,700-13,400 40% 13,400-20,100 50% 60% >20,100 75%
MRWN.L Marwyn Value Investors Ltd UK 0-7,000 25% 7,000-14,000 40% 14,000-21,000 50% 60% >21,000 75%
MASAM.L Masawara PLC UK 0-22,500 25% 22,500-45,000 40% 45,000-67,500 50% 60% >67,500 75%
MTMY.L Matomy Media Group Ltd UK 0-10,400 25% 10,400-20,800 40% 20,800-31,200 50% 60% >31,200 75%
MTWL.L Mattioli Woods PLC UK 0-1,500 25% 1,500-3,000 40% 3,000-4,500 50% 60% >4,500 75%
MIG2.L Maven Income and Growth VCT 2 PLC UK 0-21,400 25% 21,400-42,800 40% 42,800-64,200 50% 60% >64,200 75%
MIG3.L Maven Income and Growth VCT 3 PLC UK 0-11,700 25% 11,700-23,400 40% 23,400-35,100 50% 60% >35,100 75%
MIG5.L Maven Income and Growth VCT 5 PLC UK 0-27,600 25% 27,600-55,200 40% 55,200-82,800 50% 60% >82,800 75%
MIG6.L Maven Income and Growth VCT 6 PLC UK 0-19,800 25% 19,800-39,600 40% 39,600-59,400 50% 60% >59,400 75%
MIG1.L Maven Income and Growth VCT PLC UK 0-15,200 25% 15,200-30,400 40% 30,400-45,600 50% 60% >45,600 75%
MAV4.L Maven Income And Growth VCT4 PLC UK 0-11,400 25% 11,400-22,800 40% 22,800-34,200 50% 60% >34,200 75%
MAYA.L MayAir Group PLC UK 0-12,700 25% 12,700-25,400 40% 25,400-38,100 50% 60% >38,100 75%
MUBL.L MBL Group PLC UK 0-64,500 25% 64,500-129,000 40% 129,000-193,500 50% 60% >193,500 75%
MEDM.L Medaphor Group PLC UK 0-23,500 25% 23,500-47,000 40% 47,000-70,500 50% 60% >70,500 75%
MDZE.L MediaZest PLC UK 0-7,692,300 25% 7,692,300-15,384,600 40% 15,384,600-23,076,900 50% 60% >23,076,900 75%
MEDI.L Medilink-Global UK Limited UK 0-1,333,300 25% 1,333,300-2,666,600 40% 2,666,600-3,999,900 50% 60% >3,999,900 75%
MHN.L Menhaden Capital PLC UK 0-17,200 25% 17,200-34,400 40% 34,400-51,600 50% 60% >51,600 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 58 of 103
MERC.L Mercia Technologies PLC UK 0-19,800 25% 19,800-39,600 40% 39,600-59,400 50% 60% >59,400 75%
MCC.L Mercom Capital UK 0-250,000 25% 250,000-500,000 40% 500,000-750,000 50% 60% >750,000 75%
MTRM.L Metal Tiger PLC UK 0-285,700 25% 285,700-571,400 40% 571,400-857,100 50% 60% >857,100 75%
MTL.L Metals Exploration PLC UK 0-177,800 25% 177,800-355,600 40% 355,600-533,400 50% 60% >533,400 75%
MPAYM.L Mi-Pay Group PLC UK 0-41,700 25% 41,700-83,400 40% 83,400-125,100 50% 60% >125,100 75%
MBH.L Michelmersh Brick Holdings PLC UK 0-12,700 25% 12,700-25,400 40% 25,400-38,100 50% 60% >38,100 75%
MCGN.L Microgen PLC UK 0-5,500 25% 5,500-11,000 40% 11,000-16,500 50% 60% >16,500 75%
MSYS.L Microsaic Systems PLC UK 0-216,200 25% 216,200-432,400 40% 432,400-648,600 50% 60% >648,600 75%
MIDW.L Mid Wynd International Investment Trust PLC UK 0-2,500 25% 2,500-5,000 40% 5,000-7,500 50% 60% >7,500 75%
MTPH.L Midatech Pharma PLC UK 0-6,500 25% 6,500-13,000 40% 13,000-19,500 50% 60% >19,500 75%
MSG.L Milestone Group PLC UK 0-1,739,100 25% 1,739,100-3,478,200 40% 3,478,200-5,217,300 50% 60% >5,217,300 75%
MINC.L Minco PLC UK 0-727,300 25% 727,300-1,454,600 40% 1,454,600-2,181,900 50% 60% >2,181,900 75%
MMXM.L Mind plus Machines Group Ltd UK 0-84,200 25% 84,200-168,400 40% 168,400-252,600 50% 60% >252,600 75%
MIRL.L Minera IRL Ltd UK 0-285,700 25% 285,700-571,400 40% 571,400-857,100 50% 60% >857,100 75%
MAFL.L Mineral & Financial Investments Limited UK 0-177,800 25% 177,800-355,600 40% 355,600-533,400 50% 60% >533,400 75%
MIN.L Minoan Group PLC UK 0-112,700 25% 112,700-225,400 40% 225,400-338,100 50% 60% >338,100 75%
MIRA.L Mirada PLC UK 0-235,300 25% 235,300-470,600 40% 470,600-705,900 50% 60% >705,900 75%
TMMG.L Mission Marketing Group PLC UK 0-27,400 25% 27,400-54,800 40% 54,800-82,200 50% 60% >82,200 75%
MIIT.L Mithras Investment Trust PLC UK 0-6,100 25% 6,100-12,200 40% 12,200-18,300 50% 60% >18,300 75%
MIGO.L Miton Global Opportunities PLC UK 0-5,400 25% 5,400-10,800 40% 10,800-16,200 50% 60% >16,200 75%
MGRM.L Miton Group PLC UK 0-36,700 25% 36,700-73,400 40% 73,400-110,100 50% 60% >110,100 75%
MINI.L Miton UK MicroCap Trust PLC UK 0-18,100 25% 18,100-36,200 40% 36,200-54,300 50% 60% >54,300 75%
MKA.L Mkango Resources Limited UK 0-195,100 25% 195,100-390,200 40% 390,200-585,300 50% 60% >585,300 75%
MIG.L Mobeus Income & Growth 2 VCT PLC UK 0-9,600 25% 9,600-19,200 40% 19,200-28,800 50% 60% >28,800 75%
MIG4.L Mobeus Income & Growth 4 VCT PLC UK 0-10,300 25% 10,300-20,600 40% 20,600-30,900 50% 60% >30,900 75%
MIX.L Mobeus Income & Growth VCT PLC UK 0-13,400 25% 13,400-26,800 40% 26,800-40,200 50% 60% >40,200 75%
MOSE.L Mobile Streams PLC UK 0-102,600 25% 102,600-205,200 40% 205,200-307,800 50% 60% >307,800 75%
MBLT.L Mobile Tornado Group PLC UK 0-307,700 25% 307,700-615,400 40% 615,400-923,100 50% 60% >923,100 75%
MBO.L MobilityOne Ltd UK 0-242,400 25% 242,400-484,800 40% 484,800-727,200 50% 60% >727,200 75%
MWG.L Modern Water PLC UK 0-160,000 25% 160,000-320,000 40% 320,000-480,000 50% 60% >480,000 75%
MLIN.L Molins PLC UK 0-19,200 25% 19,200-38,400 40% 38,400-57,600 50% 60% >57,600 75%
SWAP.L MoneySwap PLC UK 0-5,405,400 25% 5,405,400-10,810,800 40% 10,810,800-16,216,200 50% 60% >16,216,200 75%
MORT.L Mortice Limited UK 0-12,000 25% 12,000-24,000 40% 24,000-36,000 50% 60% >36,000 75%
MSMN.L Mosman Oil & Gas Ltd UK 0-975,600 25% 975,600-1,951,200 40% 1,951,200-2,926,800 50% 60% >2,926,800 75%
MOGP.L Mountfield Group PLC UK 0-800,000 25% 800,000-1,600,000 40% 1,600,000-2,400,000 50% 60% >2,400,000 75%
MPM.L Mporium Group plc UK 0-131,100 25% 131,100-262,200 40% 262,200-393,300 50% 60% >393,300 75%
MSTL.L MS International PLC UK 0-6,600 25% 6,600-13,200 40% 13,200-19,800 50% 60% >19,800 75%
MWEE.L MTI Wireless Edge Limited UK 0-50,000 25% 50,000-100,000 40% 100,000-150,000 50% 60% >150,000 75%
MURG.L Murgitroyd Group PLC UK 0-1,800 25% 1,800-3,600 40% 3,600-5,400 50% 60% >5,400 75%
MXO.L MX Oil Plc UK 0-975,600 25% 975,600-1,951,200 40% 1,951,200-2,926,800 50% 60% >2,926,800 75%
MXCP.L MXC Capital Plc UK 0-312,500 25% 312,500-625,000 40% 625,000-937,500 50% 60% >937,500 75%
MILM.L Myanmar Investments International Limited UK 0-9,400 25% 9,400-18,800 40% 18,800-28,200 50% 60% >28,200 75%
MYXM.L Mycelx Technologies Corp UK 0-34,500 25% 34,500-69,000 40% 69,000-103,500 50% 60% >103,500 75%
MYXR.L MyCelx Technologies Corporation UK 0-44,400 25% 44,400-88,800 40% 88,800-133,200 50% 60% >133,200 75%
MYSQ.L MySQUAR Limited UK 0-235,300 25% 235,300-470,600 40% 470,600-705,900 50% 60% >705,900 75%
NAK.L Nakama Group PLC UK 0-533,300 25% 533,300-1,066,600 40% 1,066,600-1,599,900 50% 60% >1,599,900 75%
NASA.L Nasstar PLC UK 0-119,400 25% 119,400-238,800 40% 238,800-358,200 50% 60% >358,200 75%
NGRP.L Nature Group PLC UK 0-200,000 25% 200,000-400,000 40% 400,000-600,000 50% 60% >600,000 75%
NBDD.L NB Distressed Debt Investment Fund Limited UK 0-12,500 25% 12,500-25,000 40% 25,000-37,500 50% 60% >37,500 75%
NBDX.L NB Distressed Debt Investment Fund Limited UK 0-13,700 25% 13,700-27,400 40% 27,400-41,100 50% 60% >41,100 75%
NBDG.L NB Distressed Debt Investment Fund Limited UK 0-13,800 25% 13,800-27,600 40% 27,600-41,400 50% 60% >41,400 75%
NBPE.L NB Private Equity Partners Limited UK 0-1,200 25% 1,200-2,400 40% 2,400-3,600 50% 60% >3,600 75%
NCCL.L Ncondezi Energy Ltd UK 0-190,500 25% 190,500-381,000 40% 381,000-571,500 50% 60% >571,500 75%
NKTN.L Nektan PLC UK 0-22,200 25% 22,200-44,400 40% 44,400-66,600 50% 60% >66,600 75%
NEP.L Neptune-Calculus Income and Growth VCT PLC UK 0-29,000 25% 29,000-58,000 40% 58,000-87,000 50% 60% >87,000 75%
NETC.L Netcall PLC UK 0-18,000 25% 18,000-36,000 40% 36,000-54,000 50% 60% >54,000 75%
NETD.L NetDimensions Holdings Ltd UK 0-26,300 25% 26,300-52,600 40% 52,600-78,900 50% 60% >78,900 75%
NPT.L Netplay TV PLC UK 0-108,100 25% 108,100-216,200 40% 216,200-324,300 50% 60% >324,300 75%
NSCI.L NetScientific PLC UK 0-13,600 25% 13,600-27,200 40% 27,200-40,800 50% 60% >40,800 75%
NCAx.L New Century AIM VCT 2 PLC UK 0-17,900 25% 17,900-35,800 40% 35,800-53,700 50% 60% >53,700 75%
NECE.L New Century AIM VCT PLC UK 0-14,600 25% 14,600-29,200 40% 29,200-43,800 50% 60% >43,800 75%
NCE.L New City Energy Limited UK 0-69,000 25% 69,000-138,000 40% 138,000-207,000 50% 60% >207,000 75%
NESI.L New Star Investment Trust PLC UK 0-11,000 25% 11,000-22,000 40% 22,000-33,000 50% 60% >33,000 75%
NTLG.L New Trend Lifestyle Group PLC UK 0-363,600 25% 363,600-727,200 40% 727,200-1,090,800 50% 60% >1,090,800 75%
NEW.L New World Oil and Gas PLC UK 0-16,666,700 25% 16,666,700-33,333,400 40% 33,333,400-50,000,100 50% 60% >50,000,100 75%
NWT.L Newmark Security PLC UK 0-470,600 25% 470,600-941,200 40% 941,200-1,411,800 50% 60% >1,411,800 75%
NRRT.L NewRiver Retail Ltd UK 0-12,100 25% 12,100-24,200 40% 24,200-36,300 50% 60% >36,300 75%
NFC.L Next Fifteen Communications Group PLC UK 0-2,900 25% 2,900-5,800 40% 5,800-8,700 50% 60% >8,700 75%
NSA.L Nimrod Sea Assets Limited UK 0-118,900 25% 118,900-237,800 40% 237,800-356,700 50% 60% >356,700 75%
NSF.L Non-Standard Finance PLC UK 0-13,800 25% 13,800-27,600 40% 27,600-41,400 50% 60% >41,400 75%
NMG.L Noricum Gold Ltd UK 0-6,896,600 25% 6,896,600-13,793,200 40% 13,793,200-20,689,800 50% 60% >20,689,800 75%
NSH_u.L Norish PLC UK 0-23,800 25% 23,800-47,600 40% 47,600-71,400 50% 60% >71,400 75%
NBB.L Norman Broadbent PLC UK 0-105,300 25% 105,300-210,600 40% 210,600-315,900 50% 60% >315,900 75%
NMD.L North Midland Construction PLC UK 0-7,100 25% 7,100-14,200 40% 14,200-21,300 50% 60% >21,300 75%
NTA.L Northacre PLC UK 0-29,900 25% 29,900-59,800 40% 59,800-89,700 50% 60% >89,700 75%
NAR.L Northamber PLC UK 0-30,800 25% 30,800-61,600 40% 61,600-92,400 50% 60% >92,400 75%
NBI.L Northbridge Industrial Services PLC UK 0-13,300 25% 13,300-26,600 40% 26,600-39,900 50% 60% >39,900 75%
NTV.L Northern 2 VCT PLC UK 0-15,000 25% 15,000-30,000 40% 30,000-45,000 50% 60% >45,000 75%
NTN.L Northern 3 VCT PLC UK 0-10,900 25% 10,900-21,800 40% 21,800-32,700 50% 60% >32,700 75%
NTBR.L Northern Bear PLC UK 0-21,500 25% 21,500-43,000 40% 43,000-64,500 50% 60% >64,500 75%
NRI.L Northern Investors Co PLC UK 0-1,300 25% 1,300-2,600 40% 2,600-3,900 50% 60% >3,900 75%
NTHV.L Northern Venture Trust PLC UK 0-14,300 25% 14,300-28,600 40% 28,600-42,900 50% 60% >42,900 75%
NWIG.L Northwest Investment Group Limited UK 0-1,000,000 25% 1,000,000-2,000,000 40% 2,000,000-3,000,000 50% 60% >3,000,000 75%
NTOG.L Nostra Terra Oil & Gas Co PLC UK 0-689,700 25% 689,700-1,379,400 40% 1,379,400-2,069,100 50% 60% >2,069,100 75%
NUOG.L Nu-Oil And Gas PLC UK 0-11,764,700 25% 11,764,700-23,529,400 40% 23,529,400-35,294,100 50% 60% >35,294,100 75%
NWF.L NWF Group PLC UK 0-6,400 25% 6,400-12,800 40% 12,800-19,200 50% 60% >19,200 75%
NYO.L Nyota Minerals Ltd UK 0-22,222,200 25% 22,222,200-44,444,400 40% 44,444,400-66,666,600 50% 60% >66,666,600 75%
OCL.L Oakley Capital Investments Ltd UK 0-7,000 25% 7,000-14,000 40% 14,000-21,000 50% 60% >21,000 75%
OBT.L Obtala Resources Ltd UK 0-80,800 25% 80,800-161,600 40% 161,600-242,400 50% 60% >242,400 75%
OCN.L Ocean Wilsons Holdings Ltd UK 0-1,000 25% 1,000-2,000 40% 2,000-3,000 50% 60% >3,000 75%
OCT.L Octagonal PLC UK 0-540,500 25% 540,500-1,081,000 40% 1,081,000-1,621,500 50% 60% >1,621,500 75%
OSEC.L Octopus AIM VCT 2 PLC UK 0-12,800 25% 12,800-25,600 40% 25,600-38,400 50% 60% >38,400 75%
OOA.L Octopus AIM VCT PLC UK 0-9,800 25% 9,800-19,600 40% 19,600-29,400 50% 60% >29,400 75%
OAP3.L Octopus Apollo VCT PLC UK 0-13,100 25% 13,100-26,200 40% 26,200-39,300 50% 60% >39,300 75%
OEC1.L Octopus Eclipse VCT PLC UK 0-33,500 25% 33,500-67,000 40% 67,000-100,500 50% 60% >100,500 75%
OTV2.L Octopus Titan VCT PLC UK 0-11,100 25% 11,100-22,200 40% 22,200-33,300 50% 60% >33,300 75%
OCV3.L Octopus VCT 3 PLC UK 0-12,300 25% 12,300-24,600 40% 24,600-36,900 50% 60% >36,900 75%
OCV4.L Octopus VCT 4 PLC UK 0-12,300 25% 12,300-24,600 40% 24,600-36,900 50% 60% >36,900 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 59 of 103
ODX.L Omega Diagnostics Group PLC UK 0-62,000 25% 62,000-124,000 40% 124,000-186,000 50% 60% >186,000 75%
OMG1.L OMG PLC UK 0-21,700 25% 21,700-43,400 40% 43,400-65,100 50% 60% >65,100 75%
ONL.L On-Line PLC UK 0-62,500 25% 62,500-125,000 40% 125,000-187,500 50% 60% >187,500 75%
ONCON.L Oncimmune Holdings PLC UK 0-8,300 25% 8,300-16,600 40% 16,600-24,900 50% 60% >24,900 75%
OMIP.L One Media iP Group PLC UK 0-285,700 25% 285,700-571,400 40% 571,400-857,100 50% 60% >857,100 75%
ONZ.L Onzima Ventures PLC UK 0-606,100 25% 606,100-1,212,200 40% 1,212,200-1,818,300 50% 60% >1,818,300 75%
OPG.L OPG Power Ventures PLC UK 0-14,400 25% 14,400-28,800 40% 28,800-43,200 50% 60% >43,200 75%
OPTIO.L OptiBiotix Health PLC UK 0-13,900 25% 13,900-27,800 40% 27,800-41,700 50% 60% >41,700 75%
ORCP.L Oracle Coalfields PLC UK 0-303,000 25% 303,000-606,000 40% 606,000-909,000 50% 60% >909,000 75%
ORCH.L Orchard Funding Group PLC UK 0-11,800 25% 11,800-23,600 40% 23,600-35,400 50% 60% >35,400 75%
OPP.L Origo Partners PLC UK 0-400,000 25% 400,000-800,000 40% 800,000-1,200,000 50% 60% >1,200,000 75%
OREG.L Orogen Gold PLC UK 0-46,511,600 25% 46,511,600-93,023,200 40% 93,023,200-139,534,800 50% 60% >139,534,800 75%
OMIN.L Orosur Mining Inc UK 0-54,800 25% 54,800-109,600 40% 109,600-164,400 50% 60% >164,400 75%
OSUq.L Orsu Metals Corp UK 0-833,300 25% 833,300-1,666,600 40% 1,666,600-2,499,900 50% 60% >2,499,900 75%
OTCR.L Ortac Resources Ltd UK 0-30,769,200 25% 30,769,200-61,538,400 40% 61,538,400-92,307,600 50% 60% >92,307,600 75%
OIG.L Oryx International Growth Fund Ltd UK 0-1,500 25% 1,500-3,000 40% 3,000-4,500 50% 60% >4,500 75%
OSIO.L Osirium Technologies Limited UK 0-5,300 25% 5,300-10,600 40% 10,600-15,900 50% 60% >15,900 75%
OXP.L Oxford Pharmascience Group PLC UK 0-347,800 25% 347,800-695,600 40% 695,600-1,043,400 50% 60% >1,043,400 75%
OXF2.L Oxford Technology 2 Venture Capital Trust PLC UK 0-45,500 25% 45,500-91,000 40% 91,000-136,500 50% 60% >136,500 75%
OXFT.L Oxford Technology 3 Venture Capital Trust PLC UK 0-17,400 25% 17,400-34,800 40% 34,800-52,200 50% 60% >52,200 75%
OXF.L Oxford Technology 4 Venture Capital Trust UK 0-21,300 25% 21,300-42,600 40% 42,600-63,900 50% 60% >63,900 75%
OXT.L Oxford Technology VCT PLC UK 0-26,300 25% 26,300-52,600 40% 52,600-78,900 50% 60% >78,900 75%
PACL.L Pacific Alliance China Land Ltd UK 0-7,000 25% 7,000-14,000 40% 14,000-21,000 50% 60% >21,000 75%
PCA.L Palace Capital PLC UK 0-3,100 25% 3,100-6,200 40% 6,200-9,300 50% 60% >9,300 75%
PMR.L Panmure Gordon & Co PLC UK 0-20,800 25% 20,800-41,600 40% 41,600-62,400 50% 60% >62,400 75%
PINx.L Pantheon International PLC UK 0-800 25% 800-1,600 40% 1,600-2,400 50% 60% >2,400 75%
PNS.L Panther Securities PLC UK 0-3,100 25% 3,100-6,200 40% 6,200-9,300 50% 60% >9,300 75%
PMLP.L Papua Mining PLC UK 0-533,300 25% 533,300-1,066,600 40% 1,066,600-1,599,900 50% 60% >1,599,900 75%
PAAM.L Parallel Media Group PLC UK 0-85,100 25% 85,100-170,200 40% 170,200-255,300 50% 60% >255,300 75%
PTY.L Parity Group PLC UK 0-114,300 25% 114,300-228,600 40% 228,600-342,900 50% 60% >342,900 75%
PGD.L Patagonia Gold PLC UK 0-689,700 25% 689,700-1,379,400 40% 1,379,400-2,069,100 50% 60% >2,069,100 75%
PRSPA.L Paternoster Resources PLC UK 0-6,896,600 25% 6,896,600-13,793,200 40% 13,793,200-20,689,800 50% 60% >20,689,800 75%
PFP.L Pathfinder Minerals PLC UK 0-888,900 25% 888,900-1,777,800 40% 1,777,800-2,666,700 50% 60% >2,666,700 75%
PCGE.L PCG Entertainment PLC UK 0-3,636,400 25% 3,636,400-7,272,800 40% 7,272,800-10,909,200 50% 60% >10,909,200 75%
PEEL.L Peel Hotels PLC UK 0-8,600 25% 8,600-17,200 40% 17,200-25,800 50% 60% >25,800 75%
PEMB.L Pembroke VCT PLC UK 0-10,100 25% 10,100-20,200 40% 20,200-30,300 50% 60% >30,300 75%
PEMV.L Pembroke VCT PLC UK 0-9,400 25% 9,400-18,800 40% 18,800-28,200 50% 60% >28,200 75%
PNIG.L Pennant International Group PLC UK 0-17,200 25% 17,200-34,400 40% 34,400-51,600 50% 60% >51,600 75%
TPOP.L Peoples Operator Holdings Ltd/ The UK 0-58,800 25% 58,800-117,600 40% 117,600-176,400 50% 60% >176,400 75%
PGH.L Personal Group Holdings PLC UK 0-2,100 25% 2,100-4,200 40% 4,200-6,300 50% 60% >6,300 75%
PEG.L Petards Group PLC UK 0-56,700 25% 56,700-113,400 40% 113,400-170,100 50% 60% >170,100 75%
PET.L Petrel Resources PLC UK 0-135,600 25% 135,600-271,200 40% 271,200-406,800 50% 60% >406,800 75%
MATD.L Petro Matad Ltd UK 0-350,900 25% 350,900-701,800 40% 701,800-1,052,700 50% 60% >1,052,700 75%
PTOP.L Phaunos Timber Fund Ltd UK 0-31,900 25% 31,900-63,800 40% 63,800-95,700 50% 60% >95,700 75%
PHRM.L Phorm Corp Ltd UK 0-1,000,000 25% 1,000,000-2,000,000 40% 2,000,000-3,000,000 50% 60% >3,000,000 75%
PSL.L PhotonStar Led Group PLC UK 0-500,000 25% 500,000-1,000,000 40% 1,000,000-1,500,000 50% 60% >1,500,000 75%
PHSC.L PHSC PLC UK 0-40,800 25% 40,800-81,600 40% 81,600-122,400 50% 60% >122,400 75%
PYSM.L Physiomics PLC UK 0-25,000,000 25% 25,000,000-50,000,000 40% 50,000,000-75,000,000 50% 60% >75,000,000 75%
PCTZ.L Picton ZDP Limited UK 0-7,600 25% 7,600-15,200 40% 15,200-22,800 50% 60% >22,800 75%
PHWK.L PipeHawk PLC UK 0-228,600 25% 228,600-457,200 40% 457,200-685,800 50% 60% >685,800 75%
PIRI.L Pires Investments PLC UK 0-190,500 25% 190,500-381,000 40% 381,000-571,500 50% 60% >571,500 75%
PTTD.L Pittards PLC UK 0-10,000 25% 10,000-20,000 40% 20,000-30,000 50% 60% >30,000 75%
PIM.L Plant Impact PLC UK 0-18,700 25% 18,700-37,400 40% 37,400-56,100 50% 60% >56,100 75%
PLA.L Plastics Capital PLC UK 0-9,200 25% 9,200-18,400 40% 18,400-27,600 50% 60% >27,600 75%
PPGL.L Plutus Powergen PLC UK 0-816,300 25% 816,300-1,632,600 40% 1,632,600-2,448,900 50% 60% >2,448,900 75%
PMEA.L PME African Infrastructure Opportunities PLC UK 0-96,900 25% 96,900-193,800 40% 193,800-290,700 50% 60% >290,700 75%
PCFS.L Polar Capital Global Financials Trust PLC UK 0-322,600 25% 322,600-645,200 40% 645,200-967,800 50% 60% >967,800 75%
PLMO.L Polemos PLC UK 0-11,428,600 25% 11,428,600-22,857,200 40% 22,857,200-34,285,800 50% 60% >34,285,800 75%
PEBI.L Port Erin Biopharma Investments Limited UK 0-195,100 25% 195,100-390,200 40% 390,200-585,300 50% 60% >585,300 75%
PTCM.L Porta Communications PLC UK 0-200,000 25% 200,000-400,000 40% 400,000-600,000 50% 60% >600,000 75%
PMGR.L Portmeirion Group PLC UK 0-1,100 25% 1,100-2,200 40% 2,200-3,300 50% 60% >3,300 75%
PHEG.L PowerHouse Energy Group PLC UK 0-1,142,900 25% 1,142,900-2,285,800 40% 2,285,800-3,428,700 50% 60% >3,428,700 75%
PPH.L PPHE Hotel Group Ltd UK 0-1,400 25% 1,400-2,800 40% 2,800-4,200 50% 60% >4,200 75%
PDZP.L Prairie Mining Limited UK 0-87,000 25% 87,000-174,000 40% 174,000-261,000 50% 60% >261,000 75%
NIPT.L Premaitha Healthcare Plc UK 0-96,400 25% 96,400-192,800 40% 192,800-289,200 50% 60% >289,200 75%
PREM.L Premier African Minerals Ltd UK 0-2,857,100 25% 2,857,100-5,714,200 40% 5,714,200-8,571,300 50% 60% >8,571,300 75%
PEW.L Premier Energy & Water Trust PLC UK 0-6,200 25% 6,200-12,400 40% 12,400-18,600 50% 60% >18,600 75%
PRES.L Pressure Technologies PLC UK 0-6,500 25% 6,500-13,000 40% 13,000-19,500 50% 60% >19,500 75%
PRP.L Prime People PLC UK 0-9,700 25% 9,700-19,400 40% 19,400-29,100 50% 60% >29,100 75%
PCF.L Private & Commercial Finance Group PLC UK 0-34,800 25% 34,800-69,600 40% 69,600-104,400 50% 60% >104,400 75%
PEQ.L Private Equity Investor PLC UK 0-6,000 25% 6,000-12,000 40% 12,000-18,000 50% 60% >18,000 75%
PROG.L Pro Global Insurance Solutions PLC UK 0-60,600 25% 60,600-121,200 40% 121,200-181,800 50% 60% >181,800 75%
PHD.L PROACTIS Holdings PLC UK 0-6,600 25% 6,600-13,200 40% 13,200-19,800 50% 60% >19,800 75%
PIL.L Produce Investments PLC UK 0-6,700 25% 6,700-13,400 40% 13,400-20,100 50% 60% >20,100 75%
PGY.L Progility PLC UK 0-1,250,000 25% 1,250,000-2,500,000 40% 2,500,000-3,750,000 50% 60% >3,750,000 75%
PROJ.L Project Finance Investments Limited UK 0-9,000 25% 9,000-18,000 40% 18,000-27,000 50% 60% >27,000 75%
PPIRx.L ProPhotonix Limited UK 0-333,300 25% 333,300-666,600 40% 666,600-999,900 50% 60% >999,900 75%
P6K.L Proton Power Systems PLC UK 0-222,200 25% 222,200-444,400 40% 444,400-666,600 50% 60% >666,600 75%
PGOO.L ProVen Growth & Income VCT PLC UK 0-13,500 25% 13,500-27,000 40% 27,000-40,500 50% 60% >40,500 75%
PVN.L ProVen VCT PLC UK 0-10,800 25% 10,800-21,600 40% 21,600-32,400 50% 60% >32,400 75%
PROXP.L Proxama PLC UK 0-909,100 25% 909,100-1,818,200 40% 1,818,200-2,727,300 50% 60% >2,727,300 75%
PSPI.L Public Service Properties Investments Ltd UK 0-2,100 25% 2,100-4,200 40% 4,200-6,300 50% 60% >6,300 75%
PUM8.L Puma VCT 8 PLC UK 0-14,300 25% 14,300-28,600 40% 28,600-42,900 50% 60% >42,900 75%
PUM9.L Puma VCT 9 PLC UK 0-12,300 25% 12,300-24,600 40% 24,600-36,900 50% 60% >36,900 75%
PUR.L Pure Wafer PLC UK 0-95,200 25% 95,200-190,400 40% 190,400-285,600 50% 60% >285,600 75%
PURI.L PuriCore PLC UK 0-48,200 25% 48,200-96,400 40% 96,400-144,600 50% 60% >144,600 75%
QIL.L Qannas Investments Limited UK 0-13,100 25% 13,100-26,200 40% 26,200-39,300 50% 60% >39,300 75%
QTX.L Quartix Holdings PLC UK 0-2,300 25% 2,300-4,600 40% 4,600-6,900 50% 60% >6,900 75%
QRT.L Quarto Group Inc UK 0-3,500 25% 3,500-7,000 40% 7,000-10,500 50% 60% >10,500 75%
QXT.L Quixant PLC UK 0-4,500 25% 4,500-9,000 40% 9,000-13,500 50% 60% >13,500 75%
RMM.L Rambler Metals and Mining PLC UK 0-205,100 25% 205,100-410,200 40% 410,200-615,300 50% 60% >615,300 75%
RAME.L Rame Energy PLC UK 0-140,400 25% 140,400-280,800 40% 280,800-421,200 50% 60% >421,200 75%
RQIH.L Randall & Quilter Investment Holdings Ltd UK 0-9,100 25% 9,100-18,200 40% 18,200-27,300 50% 60% >27,300 75%
REMP.L Rare Earth Minerals PLC UK 0-1,388,900 25% 1,388,900-2,777,800 40% 2,777,800-4,166,700 50% 60% >4,166,700 75%
RMA.L Rasmala PLC UK 0-10,200 25% 10,200-20,400 40% 20,400-30,600 50% 60% >30,600 75%
RBDR.L Reabold Resources PLC UK 0-1,333,300 25% 1,333,300-2,666,600 40% 2,666,600-3,999,900 50% 60% >3,999,900 75%
R4ER.L Reach4entertainment Enterprises PLC UK 0-470,600 25% 470,600-941,200 40% 941,200-1,411,800 50% 60% >1,411,800 75%
REAC.L REACT Energy PLC UK 0-266,700 25% 266,700-533,400 40% 533,400-800,100 50% 60% >800,100 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 60 of 103
REAT.L REACT Group PLC UK 0-769,200 25% 769,200-1,538,400 40% 1,538,400-2,307,600 50% 60% >2,307,600 75%
RLE.L Real Estate Investors PLC UK 0-18,500 25% 18,500-37,000 40% 37,000-55,500 50% 60% >55,500 75%
RGD.L Real Good Food Co PLC UK 0-29,400 25% 29,400-58,800 40% 58,800-88,200 50% 60% >88,200 75%
RC2.L Reconstruction Capital II Limited UK 0-45,100 25% 45,100-90,200 40% 90,200-135,300 50% 60% >135,300 75%
RLEO.L Red Leopard Holdings PLC UK 0-14,285,700 25% 14,285,700-28,571,400 40% 28,571,400-42,857,100 50% 60% >42,857,100 75%
RRR.L Red Rock Resources PLC UK 0-2,105,300 25% 2,105,300-4,210,600 40% 4,210,600-6,315,900 50% 60% >6,315,900 75%
REDT.L red24 PLC UK 0-41,200 25% 41,200-82,400 40% 82,400-123,600 50% 60% >123,600 75%
RHL.L Redhall Group PLC UK 0-145,500 25% 145,500-291,000 40% 291,000-436,500 50% 60% >436,500 75%
REDS.L RedstoneConnect PLC UK 0-563,400 25% 563,400-1,126,800 40% 1,126,800-1,690,200 50% 60% >1,690,200 75%
RED.L Redt Energy PLC UK 0-121,200 25% 121,200-242,400 40% 242,400-363,600 50% 60% >363,600 75%
REDX.L Redx Pharma PLC UK 0-37,700 25% 37,700-75,400 40% 75,400-113,100 50% 60% >113,100 75%
RGM.L Regency Mines PLC UK 0-1,739,100 25% 1,739,100-3,478,200 40% 3,478,200-5,217,300 50% 60% >5,217,300 75%
RQE.L ReNeuron Group PLC UK 0-381,000 25% 381,000-762,000 40% 762,000-1,143,000 50% 60% >1,143,000 75%
RSTP.L Restore PLC UK 0-5,000 25% 5,000-10,000 40% 10,000-15,000 50% 60% >15,000 75%
REVO.L Revolymer PLC UK 0-25,600 25% 25,600-51,200 40% 51,200-76,800 50% 60% >76,800 75%
RXB.L Rex Bionics PLC UK 0-32,300 25% 32,300-64,600 40% 64,600-96,900 50% 60% >96,900 75%
RLDR.L Richland Resources Ltd UK 0-615,400 25% 615,400-1,230,800 40% 1,230,800-1,846,200 50% 60% >1,846,200 75%
RICX.L Richoux Group PLC UK 0-44,400 25% 44,400-88,800 40% 88,800-133,200 50% 60% >133,200 75%
RIICi.L Rights and Issues Investment Trust PLC UK 0-700 25% 700-1,400 40% 1,400-2,100 50% 60% >2,100 75%
RMMC.L River and Mercantile UK Micro Cap Investment Company Limited UK 0-8,800 25% 8,800-17,600 40% 17,600-26,400 50% 60% >26,400 75%
RM2.L RM2 International SA UK 0-40,400 25% 40,400-80,800 40% 80,800-121,200 50% 60% >121,200 75%
RBSN.L Robinson PLC UK 0-7,400 25% 7,400-14,800 40% 14,800-22,200 50% 60% >22,200 75%
ROSER.L Rose Petroleum PLC UK 0-6,250,000 25% 6,250,000-12,500,000 40% 12,500,000-18,750,000 50% 60% >18,750,000 75%
RGP.L Ross Group PLC UK 0-1,379,300 25% 1,379,300-2,758,600 40% 2,758,600-4,137,900 50% 60% >4,137,900 75%
RDTR.L Rosslyn Data Technologies PLC UK 0-100,000 25% 100,000-200,000 40% 200,000-300,000 50% 60% >300,000 75%
ROTL.L Rotala PLC UK 0-15,500 25% 15,500-31,000 40% 31,000-46,500 50% 60% >46,500 75%
RXP.L ROXI Petroleum PLC UK 0-96,400 25% 96,400-192,800 40% 192,800-289,200 50% 60% >289,200 75%
RTCR.L RTC Group PLC UK 0-17,500 25% 17,500-35,000 40% 35,000-52,500 50% 60% >52,500 75%
RUR.L Rurelec PLC UK 0-769,200 25% 769,200-1,538,400 40% 1,538,400-2,307,600 50% 60% >2,307,600 75%
SNT.L Sabien Technology Group PLC UK 0-222,200 25% 222,200-444,400 40% 444,400-666,600 50% 60% >666,600 75%
SCHS.L SafeCharge International Group Ltd UK 0-7,600 25% 7,600-15,200 40% 15,200-22,800 50% 60% >22,800 75%
SAFL.L Safeland PLC UK 0-21,500 25% 21,500-43,000 40% 43,000-64,500 50% 60% >64,500 75%
SSTY.L Safestay PLC UK 0-19,200 25% 19,200-38,400 40% 38,400-57,600 50% 60% >57,600 75%
SAGS.L Sagentia Group PLC UK 0-7,300 25% 7,300-14,600 40% 14,600-21,900 50% 60% >21,900 75%
HSM1.L Samuel Heath and Sons PLC UK 0-3,600 25% 3,600-7,200 40% 7,200-10,800 50% 60% >10,800 75%
SND.L Sanderson Group PLC UK 0-14,300 25% 14,300-28,600 40% 28,600-42,900 50% 60% >42,900 75%
SAR.L Sareum Holdings PLC UK 0-1,438,800 25% 1,438,800-2,877,600 40% 2,877,600-4,316,400 50% 60% >4,316,400 75%
SAT.L Satellite Solutions Worldwide Group Ltd UK 0-127,000 25% 127,000-254,000 40% 254,000-381,000 50% 60% >381,000 75%
SAVP.L Savannah Petroleum PLC UK 0-32,700 25% 32,700-65,400 40% 65,400-98,100 50% 60% >98,100 75%
SAVS.L Savannah Resources Plc UK 0-228,600 25% 228,600-457,200 40% 457,200-685,800 50% 60% >685,800 75%
SCLP.L Scancell Holdings PLC UK 0-54,800 25% 54,800-109,600 40% 109,600-164,400 50% 60% >164,400 75%
SCHOS.L Scholium Group Plc UK 0-26,000 25% 26,000-52,000 40% 52,000-78,000 50% 60% >78,000 75%
SISS.L Science In Sport Ltd UK 0-13,900 25% 13,900-27,800 40% 27,800-41,700 50% 60% >41,700 75%
SDIS.L Scientific Digital Imaging PLC UK 0-66,700 25% 66,700-133,400 40% 133,400-200,100 50% 60% >200,100 75%
SSY.L SciSys PLC UK 0-11,400 25% 11,400-22,800 40% 22,800-34,200 50% 60% >34,200 75%
SGZ.L Scotgold Resources Ltd UK 0-1,481,500 25% 1,481,500-2,963,000 40% 2,963,000-4,444,500 50% 60% >4,444,500 75%
SDX.L SDX Energy Inc UK 0-41,700 25% 41,700-83,400 40% 83,400-125,100 50% 60% >125,100 75%
SPDI.L SECURE PROPERTY Development & Investment PLC UK 0-62,500 25% 62,500-125,000 40% 125,000-187,500 50% 60% >187,500 75%
M2Z.L Seeing Machines Ltd UK 0-266,700 25% 266,700-533,400 40% 533,400-800,100 50% 60% >800,100 75%
SIGT.L Seneca Global Income & Growth Trust PLC UK 0-6,400 25% 6,400-12,800 40% 12,800-19,200 50% 60% >19,200 75%
SRB.L Serabi Gold PLC UK 0-181,800 25% 181,800-363,600 40% 363,600-545,400 50% 60% >545,400 75%
SVRP.L ServicePower Technologies PLC UK 0-363,600 25% 363,600-727,200 40% 727,200-1,090,800 50% 60% >1,090,800 75%
SEVL.L Servision PLC UK 0-500,000 25% 500,000-1,000,000 40% 1,000,000-1,500,000 50% 60% >1,500,000 75%
SVCA.L Servoca PLC UK 0-43,500 25% 43,500-87,000 40% 87,000-130,500 50% 60% >130,500 75%
SHAN.L Shanta Gold Ltd UK 0-98,800 25% 98,800-197,600 40% 197,600-296,400 50% 60% >296,400 75%
SHRE.L Share PLC UK 0-35,100 25% 35,100-70,200 40% 70,200-105,300 50% 60% >105,300 75%
SIGB.L Sherborne Investors (Guernsey) B Limited UK 0-8,400 25% 8,400-16,800 40% 16,800-25,200 50% 60% >25,200 75%
STXS.L Shield Therapeutics PLC UK 0-6,700 25% 6,700-13,400 40% 13,400-20,100 50% 60% >20,100 75%
SHOE.L Shoe Zone PLC UK 0-5,700 25% 5,700-11,400 40% 11,400-17,100 50% 60% >17,100 75%
SGRS.L Shore Capital Group Ltd UK 0-4,000 25% 4,000-8,000 40% 8,000-12,000 50% 60% >12,000 75%
SISGM.L Sigma Capital Group PLC UK 0-11,200 25% 11,200-22,400 40% 22,400-33,600 50% 60% >33,600 75%
SIMI.L SimiGon Ltd UK 0-47,100 25% 47,100-94,200 40% 94,200-141,300 50% 60% >141,300 75%
SRSP.L Sirius Petroleum PLC UK 0-2,298,900 25% 2,298,900-4,597,800 40% 4,597,800-6,896,700 50% 60% >6,896,700 75%
SKPL.L SKIL Ports & Logistics Ltd UK 0-42,100 25% 42,100-84,200 40% 84,200-126,300 50% 60% >126,300 75%
SDV.L Small Companies Dividend Trust PLC UK 0-5,100 25% 5,100-10,200 40% 10,200-15,300 50% 60% >15,300 75%
SDVZ_p.L Small Companies ZDP PLC UK 0-7,400 25% 7,400-14,800 40% 14,800-22,200 50% 60% >22,200 75%
SNAKT.L Snacktime PLC UK 0-125,000 25% 125,000-250,000 40% 250,000-375,000 50% 60% >375,000 75%
ZZZ.L Snoozebox Holdings PLC UK 0-1,408,500 25% 1,408,500-2,817,000 40% 2,817,000-4,225,500 50% 60% >4,225,500 75%
SORA.L Software Radio Technology PLC UK 0-19,000 25% 19,000-38,000 40% 38,000-57,000 50% 60% >57,000 75%
SOLG.L SolGold PLC UK 0-84,200 25% 84,200-168,400 40% 168,400-252,600 50% 60% >252,600 75%
SOLI.L Solid State PLC UK 0-2,600 25% 2,600-5,200 40% 5,200-7,800 50% 60% >7,800 75%
SOLO.L Solo Oil PLC UK 0-3,703,700 25% 3,703,700-7,407,400 40% 7,407,400-11,111,100 50% 60% >11,111,100 75%
SOM.L Somero Enterprises Inc UK 0-5,900 25% 5,900-11,800 40% 11,800-17,700 50% 60% >17,700 75%
SPHN.L Sopheon PLC UK 0-3,500 25% 3,500-7,000 40% 7,000-10,500 50% 60% >10,500 75%
SOU.L Sound Energy PLC UK 0-38,800 25% 38,800-77,600 40% 77,600-116,400 50% 60% >116,400 75%
SBSC.L Source Bioscience PLC UK 0-54,800 25% 54,800-109,600 40% 109,600-164,400 50% 60% >164,400 75%
SAPO.L South African Property Opportunities PLC UK 0-153,800 25% 153,800-307,600 40% 307,600-461,400 50% 60% >461,400 75%
SMAS.L Sovereign Mines Of Africa PLC UK 0-2,777,800 25% 2,777,800-5,555,600 40% 5,555,600-8,333,400 50% 60% >8,333,400 75%
SAL.L SpaceandPeople PLC UK 0-26,300 25% 26,300-52,600 40% 52,600-78,900 50% 60% >78,900 75%
SIPP.L Specialist Investment Properties PLC UK 0-50,000 25% 50,000-100,000 40% 100,000-150,000 50% 60% >150,000 75%
SPSY.L Spectra Systems Corporation UK 0-39,200 25% 39,200-78,400 40% 78,400-117,600 50% 60% >117,600 75%
SPSYa.L Spectra Systems Corporation UK 0-46,500 25% 46,500-93,000 40% 93,000-139,500 50% 60% >139,500 75%
SPHR.L Sphere Medical Holdings PLC UK 0-71,400 25% 71,400-142,800 40% 142,800-214,200 50% 60% >214,200 75%
SRO.L Spitfire Oil Limited UK 0-320,000 25% 320,000-640,000 40% 640,000-960,000 50% 60% >960,000 75%
SPRP.L Sprue Aegis PLC UK 0-6,200 25% 6,200-12,400 40% 12,400-18,600 50% 60% >18,600 75%
SQS.L SQS Software Quality Systems AG UK 0-1,800 25% 1,800-3,600 40% 3,600-5,400 50% 60% >5,400 75%
SPPC.L St Peter Port Capital Ltd UK 0-80,000 25% 80,000-160,000 40% 160,000-240,000 50% 60% >240,000 75%
SDMS.L Stadium Group PLC UK 0-11,200 25% 11,200-22,400 40% 22,400-33,600 50% 60% >33,600 75%
SLETx.L Standard Life Equity Income Trust PLC UK 0-12,500 25% 12,500-25,000 40% 25,000-37,500 50% 60% >37,500 75%
SGI.L Stanley Gibbons Group PLC UK 0-67,200 25% 67,200-134,400 40% 134,400-201,600 50% 60% >201,600 75%
STARS.L Starcom Plc UK 0-285,700 25% 285,700-571,400 40% 571,400-857,100 50% 60% >857,100 75%
SVE.L Starvest PLC UK 0-500,000 25% 500,000-1,000,000 40% 1,000,000-1,500,000 50% 60% >1,500,000 75%
SOG.L Statpro Group PLC UK 0-9,400 25% 9,400-18,800 40% 18,800-28,200 50% 60% >28,200 75%
STELD.L Stellar Diamonds PLC UK 0-140,400 25% 140,400-280,800 40% 280,800-421,200 50% 60% >421,200 75%
STGS.L Stellar Resources PLC UK 0-5,405,400 25% 5,405,400-10,810,800 40% 10,810,800-16,216,200 50% 60% >16,216,200 75%
STCM.L Steppe Cement Ltd UK 0-41,700 25% 41,700-83,400 40% 83,400-125,100 50% 60% >125,100 75%
STLO.L Stilo International PLC UK 0-148,100 25% 148,100-296,200 40% 296,200-444,300 50% 60% >444,300 75%
STMG.L STM Group PLC UK 0-23,800 25% 23,800-47,600 40% 47,600-71,400 50% 60% >71,400 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 61 of 103
AERO.L Strat Aero Plc UK 0-2,352,900 25% 2,352,900-4,705,800 40% 4,705,800-7,058,700 50% 60% >7,058,700 75%
SMLP.L Strategic Minerals PLC UK 0-3,225,800 25% 3,225,800-6,451,600 40% 6,451,600-9,677,400 50% 60% >9,677,400 75%
STIL.L Stratex International PLC UK 0-512,800 25% 512,800-1,025,600 40% 1,025,600-1,538,400 50% 60% >1,538,400 75%
STGR.L Stratmin Global Resources PLC UK 0-500,000 25% 500,000-1,000,000 40% 1,000,000-1,500,000 50% 60% >1,500,000 75%
STRST.L Stride Gaming PLC UK 0-4,100 25% 4,100-8,200 40% 8,200-12,300 50% 60% >12,300 75%
STY.L Styles & Wood Group PLC UK 0-2,400 25% 2,400-4,800 40% 4,800-7,200 50% 60% >7,200 75%
SULA.L Sula Iron & Gold PLC UK 0-8,695,700 25% 8,695,700-17,391,400 40% 17,391,400-26,087,100 50% 60% >26,087,100 75%
SUMM.L Summit Corp PLC UK 0-9,800 25% 9,800-19,600 40% 19,600-29,400 50% 60% >29,400 75%
SMTG.L Summit Germany Ltd UK 0-12,300 25% 12,300-24,600 40% 24,600-36,900 50% 60% >36,900 75%
SRES.L Sunrise Resources plc UK 0-4,081,600 25% 4,081,600-8,163,200 40% 8,163,200-12,244,800 50% 60% >12,244,800 75%
SPGH.L Superglass Holdings PLC UK 0-181,800 25% 181,800-363,600 40% 363,600-545,400 50% 60% >545,400 75%
SCEU.L Surface Transforms PLC UK 0-37,000 25% 37,000-74,000 40% 74,000-111,000 50% 60% >111,000 75%
SUNU.L Surgical Innovations Group PLC UK 0-325,200 25% 325,200-650,400 40% 650,400-975,600 50% 60% >975,600 75%
SUH.L Sutton Harbour Holdings PLC UK 0-32,800 25% 32,800-65,600 40% 65,600-98,400 50% 60% >98,400 75%
SVME.L SVM UK Emerging Fund PLC UK 0-16,000 25% 16,000-32,000 40% 32,000-48,000 50% 60% >48,000 75%
SWP.L SWP Group PLC UK 0-173,900 25% 173,900-347,800 40% 347,800-521,700 50% 60% >521,700 75%
SYMU.L Symphony Environmental Technologies PLC UK 0-235,300 25% 235,300-470,600 40% 470,600-705,900 50% 60% >705,900 75%
SYNG.L Synairgen PLC UK 0-30,300 25% 30,300-60,600 40% 60,600-90,900 50% 60% >90,900 75%
SNXS.L Synectics PLC UK 0-5,400 25% 5,400-10,800 40% 10,800-16,200 50% 60% >16,200 75%
SYQS.L SyQic plc UK 0-64,500 25% 64,500-129,000 40% 129,000-193,500 50% 60% >193,500 75%
BMT.L T.F. & J.H. Braime (Holdings) PLC UK 0-1,300 25% 1,300-2,600 40% 2,600-3,900 50% 60% >3,900 75%
BMTt.L T.F. & J.H. Braime (Holdings) PLC UK 0-1,400 25% 1,400-2,800 40% 2,800-4,200 50% 60% >4,200 75%
TAIH.L Taihua PLC UK 0-400,000 25% 400,000-800,000 40% 800,000-1,200,000 50% 60% >1,200,000 75%
TPF.L Taliesin Property Fund Ltd UK 0-300 25% 300-600 40% 600-900 50% 60% >900 75%
TND.L Tandem Group PLC UK 0-9,300 25% 9,300-18,600 40% 18,600-27,900 50% 60% >27,900 75%
TAP.L Taptica International Limited UK 0-6,500 25% 6,500-13,000 40% 13,000-19,500 50% 60% >19,500 75%
THRLT.L Target Healthcare REIT Ltd UK 0-9,000 25% 9,000-18,000 40% 18,000-27,000 50% 60% >27,000 75%
TAST.L Tasty PLC UK 0-5,900 25% 5,900-11,800 40% 11,800-17,700 50% 60% >17,700 75%
TAU.L Tau Capital PLC UK 0-193,700 25% 193,700-387,400 40% 387,400-581,100 50% 60% >581,100 75%
TAVI.L Tavistock Investments PLC UK 0-205,100 25% 205,100-410,200 40% 410,200-615,300 50% 60% >615,300 75%
TECH.L TechFinancials Inc UK 0-87,000 25% 87,000-174,000 40% 174,000-261,000 50% 60% >261,000 75%
TJIu.L Tejoori Ltd UK 0-39,000 25% 39,000-78,000 40% 78,000-117,000 50% 60% >117,000 75%
TEKT.L Tekcapital plc UK 0-31,300 25% 31,300-62,600 40% 62,600-93,900 50% 60% >93,900 75%
TAL.L Ten Alps PLC UK 0-1,290,300 25% 1,290,300-2,580,600 40% 2,580,600-3,870,900 50% 60% >3,870,900 75%
TENT.L Tengri Resources UK 0-888,900 25% 888,900-1,777,800 40% 1,777,800-2,666,700 50% 60% >2,666,700 75%
TERNT.L Tern Plc UK 0-90,900 25% 90,900-181,800 40% 181,800-272,700 50% 60% >272,700 75%
TCA.L Terra Capital PLC UK 0-15,900 25% 15,900-31,800 40% 31,800-47,700 50% 60% >47,700 75%
TCFD.L Terra Catalyst Fund UK 0-9,800 25% 9,800-19,600 40% 19,600-29,400 50% 60% >29,400 75%
TYM.L Tertiary Minerals PLC UK 0-816,300 25% 816,300-1,632,600 40% 1,632,600-2,448,900 50% 60% >2,448,900 75%
TXH.L Tex Holdings PLC UK 0-8,400 25% 8,400-16,800 40% 16,800-25,200 50% 60% >25,200 75%
THAL.L Thalassa Holdings Ltd UK 0-25,000 25% 25,000-50,000 40% 50,000-75,000 50% 60% >75,000 75%
THST.L Tharisa PLC UK 0-13,600 25% 13,600-27,200 40% 27,200-40,800 50% 60% >40,800 75%
ET.L The Establishment Investment Trust PLC UK 0-5,300 25% 5,300-10,600 40% 10,600-15,900 50% 60% >15,900 75%
HVTa.L The Heavitree Brewery PLC UK 0-4,700 25% 4,700-9,400 40% 9,400-14,100 50% 60% >14,100 75%
IGVI.L The Income & Growth VCT PLC UK 0-11,300 25% 11,300-22,600 40% 22,600-33,900 50% 60% >33,900 75%
OTM.L The Ottoman Fund Limited UK 0-363,600 25% 363,600-727,200 40% 727,200-1,090,800 50% 60% >1,090,800 75%
PJF.L The Prospect Japan Fund Limited UK 0-13,300 25% 13,300-26,600 40% 26,600-39,900 50% 60% >39,900 75%
TPOG.L Third Point Offshore Investors Limited UK 0-700 25% 700-1,400 40% 1,400-2,100 50% 60% >2,100 75%
UKT.L Threadneedle UK Select Trust Limited UK 0-5,700 25% 5,700-11,400 40% 11,400-17,100 50% 60% >17,100 75%
TIRU.L Tiger Resource Finance PLC UK 0-1,739,100 25% 1,739,100-3,478,200 40% 3,478,200-5,217,300 50% 60% >5,217,300 75%
TMOT.L Time Out Group HC Limited UK 0-7,100 25% 7,100-14,200 40% 14,200-21,300 50% 60% >21,300 75%
TRX.L Tissue Regenix Group PLC UK 0-50,000 25% 50,000-100,000 40% 100,000-150,000 50% 60% >150,000 75%
TITN.L Titon Holdings PLC UK 0-10,900 25% 10,900-21,800 40% 21,800-32,700 50% 60% >32,700 75%
TLAT.L TLA Worldwide PLC UK 0-24,100 25% 24,100-48,200 40% 48,200-72,300 50% 60% >72,300 75%
TLOU.L Tlou Energy Limited UK 0-119,400 25% 119,400-238,800 40% 238,800-358,200 50% 60% >358,200 75%
TOOP.L Toople PLC UK 0-148,100 25% 148,100-296,200 40% 296,200-444,300 50% 60% >444,300 75%
TORO.L Toro Limited UK 0-14,300 25% 14,300-28,600 40% 28,600-42,900 50% 60% >42,900 75%
TLY.L Totally PLC UK 0-15,200 25% 15,200-30,400 40% 30,400-45,600 50% 60% >45,600 75%
TSTT.L Touchstar PLC UK 0-15,400 25% 15,400-30,800 40% 30,800-46,200 50% 60% >46,200 75%
TMZ.L Toumaz Ltd UK 0-333,300 25% 333,300-666,600 40% 666,600-999,900 50% 60% >999,900 75%
TOWR.L Tower Resources PLC UK 0-181,800 25% 181,800-363,600 40% 363,600-545,400 50% 60% >545,400 75%
TPG.L TP Group Plc UK 0-173,900 25% 173,900-347,800 40% 347,800-521,700 50% 60% >521,700 75%
TRCS.L Tracsis PLC UK 0-1,900 25% 1,900-3,800 40% 3,800-5,700 50% 60% >5,700 75%
TRAF.L Trafalgar New Homes PLC UK 0-1,025,600 25% 1,025,600-2,051,200 40% 2,051,200-3,076,800 50% 60% >3,076,800 75%
TKM8.L Trakm8 Holdings PLC UK 0-4,700 25% 4,700-9,400 40% 9,400-14,100 50% 60% >14,100 75%
TSG.L Trans-Siberian Gold PLC UK 0-21,500 25% 21,500-43,000 40% 43,000-64,500 50% 60% >64,500 75%
TRT.L Transense Technologies PLC UK 0-421,100 25% 421,100-842,200 40% 842,200-1,263,300 50% 60% >1,263,300 75%
TET.L Treatt PLC UK 0-5,400 25% 5,400-10,800 40% 10,800-16,200 50% 60% >16,200 75%
TSTRE.L Tri-Star Resources PLC UK 0-11,111,100 25% 11,111,100-22,222,200 40% 22,222,200-33,333,300 50% 60% >33,333,300 75%
TRD.L Triad Group PLC UK 0-23,500 25% 23,500-47,000 40% 47,000-70,500 50% 60% >70,500 75%
TRICR.L Tricor PLC UK 0-3,076,900 25% 3,076,900-6,153,800 40% 6,153,800-9,230,700 50% 60% >9,230,700 75%
TCN.L Tricorn Group PLC UK 0-111,100 25% 111,100-222,200 40% 222,200-333,300 50% 60% >333,300 75%
TRC.L Trinity Capital PLC UK 0-400,000 25% 400,000-800,000 40% 800,000-1,200,000 50% 60% >1,200,000 75%
TSTL.L Tristel PLC UK 0-7,300 25% 7,300-14,600 40% 14,600-21,900 50% 60% >21,900 75%
TBZA.L Turbo Power Systems Inc UK 0-5,000,000 25% 5,000,000-10,000,000 40% 10,000,000-15,000,000 50% 60% >15,000,000 75%
TYR.L TyraTech Inc UK 0-400,000 25% 400,000-800,000 40% 800,000-1,200,000 50% 60% >1,200,000 75%
TYRx.L TyraTech Inc - DI UK 0-320,000 25% 320,000-640,000 40% 640,000-960,000 50% 60% >960,000 75%
UBIS.L Ubisense Group PLC UK 0-28,600 25% 28,600-57,200 40% 57,200-85,800 50% 60% >85,800 75%
UKOGa.L UK Oil & Gas Investments PLC UK 0-830,100 25% 830,100-1,660,200 40% 1,660,200-2,490,300 50% 60% >2,490,300 75%
USGU.L Ultimate Sports Group PLC UK 0-52,600 25% 52,600-105,200 40% 105,200-157,800 50% 60% >157,800 75%
UAVP.L Unicorn AIM VCT PLC UK 0-7,200 25% 7,200-14,400 40% 14,400-21,600 50% 60% >21,600 75%
CHOC.L United Cacao Ltd SEZC UK 0-8,900 25% 8,900-17,800 40% 17,800-26,700 50% 60% >26,700 75%
UCG.L United Carpets Group PLC UK 0-88,900 25% 88,900-177,800 40% 177,800-266,700 50% 60% >266,700 75%
UNG.L Universe Group PLC UK 0-90,900 25% 90,900-181,800 40% 181,800-272,700 50% 60% >272,700 75%
UVEL.L UniVision Engineering Limited UK 0-1,379,300 25% 1,379,300-2,758,600 40% 2,758,600-4,137,900 50% 60% >4,137,900 75%
UPL.L Upland Resources Ltd UK 0-784,300 25% 784,300-1,568,600 40% 1,568,600-2,352,900 50% 60% >2,352,900 75%
UEN.L Urals Energy PCL UK 0-444,400 25% 444,400-888,800 40% 888,800-1,333,200 50% 60% >1,333,200 75%
UZS.L Uranium Resources PLC UK 0-3,333,300 25% 3,333,300-6,666,600 40% 6,666,600-9,999,900 50% 60% >9,999,900 75%
URU.L URU Metals Ltd UK 0-2,352,900 25% 2,352,900-4,705,800 40% 4,705,800-7,058,700 50% 60% >7,058,700 75%
VALX.L ValiRx PLC UK 0-148,100 25% 148,100-296,200 40% 296,200-444,300 50% 60% >444,300 75%
VAST.L Vast Resources PLC UK 0-3,703,700 25% 3,703,700-7,407,400 40% 7,407,400-11,111,100 50% 60% >11,111,100 75%
VELA.L Vela Technologies PLC UK 0-5,714,300 25% 5,714,300-11,428,600 40% 11,428,600-17,142,900 50% 60% >17,142,900 75%
VLOX.L Velox3 PLC UK 0-5,000,000 25% 5,000,000-10,000,000 40% 10,000,000-15,000,000 50% 60% >15,000,000 75%
VENN.L Venn Life Sciences Holdings PLC UK 0-35,700 25% 35,700-71,400 40% 71,400-107,100 50% 60% >107,100 75%
VLG.L Venture Life Group PLC UK 0-22,700 25% 22,700-45,400 40% 45,400-68,100 50% 60% >68,100 75%
VEN2c.L Ventus 2 VCT PLC UK 0-9,600 25% 9,600-19,200 40% 19,200-28,800 50% 60% >28,800 75%
VEN.L Ventus VCT PLC - VEN UK 0-9,700 25% 9,700-19,400 40% 19,400-29,100 50% 60% >29,100 75%
VEN2.L Ventus VCT PLC - VEN2 UK 0-14,900 25% 14,900-29,800 40% 29,800-44,700 50% 60% >44,700 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 62 of 103
VENc.L Ventus VCT PLC - VENC UK 0-9,700 25% 9,700-19,400 40% 19,400-29,100 50% 60% >29,100 75%
VRP.L Verona Pharma PLC UK 0-312,500 25% 312,500-625,000 40% 625,000-937,500 50% 60% >937,500 75%
VRS.L Versarien PLC UK 0-100,000 25% 100,000-200,000 40% 200,000-300,000 50% 60% >300,000 75%
VSN.L Verseon Corp PLC UK 0-6,600 25% 6,600-13,200 40% 13,200-19,800 50% 60% >19,800 75%
VCBC.L Vertu Capital Limited UK 0-888,900 25% 888,900-1,777,800 40% 1,777,800-2,666,700 50% 60% >2,666,700 75%
VNET.L Vianet Group PLC UK 0-10,200 25% 10,200-20,400 40% 20,400-30,600 50% 60% >30,600 75%
VCP.L Victoria PLC UK 0-800 25% 800-1,600 40% 1,600-2,400 50% 60% >2,400 75%
VNLq.L VinaLand Limited UK 0-20,500 25% 20,500-41,000 40% 41,000-61,500 50% 60% >61,500 75%
VNLZ.L Vinaland ZDP Limited UK 0-8,000 25% 8,000-16,000 40% 16,000-24,000 50% 60% >24,000 75%
VIPE.L Vipera PLC UK 0-200,000 25% 200,000-400,000 40% 400,000-600,000 50% 60% >600,000 75%
VLK.L Vislink PLC UK 0-69,600 25% 69,600-139,200 40% 139,200-208,800 50% 60% >208,800 75%
VISM.L Vitesse Media PLC UK 0-258,100 25% 258,100-516,200 40% 516,200-774,300 50% 60% >774,300 75%
VGAS.L Volga Gas PLC UK 0-20,400 25% 20,400-40,800 40% 40,800-61,200 50% 60% >61,200 75%
VLE.L Volvere PLC UK 0-2,000 25% 2,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
WRESW.L W Resources PLC UK 0-2,150,500 25% 2,150,500-4,301,000 40% 4,301,000-6,451,500 50% 60% >6,451,500 75%
WALG.L Walcom Group Limited UK 0-869,600 25% 869,600-1,739,200 40% 1,739,200-2,608,800 50% 60% >2,608,800 75%
WCW.L Walker Crips Group PLC UK 0-20,900 25% 20,900-41,800 40% 41,800-62,700 50% 60% >62,700 75%
WGB.L Walker Greenbank PLC UK 0-4,700 25% 4,700-9,400 40% 9,400-14,100 50% 60% >14,100 75%
WAND.L WANdisco PLC UK 0-5,100 25% 5,100-10,200 40% 10,200-15,300 50% 60% >15,300 75%
WATRI.L Water Intelligence PLC UK 0-12,600 25% 12,600-25,200 40% 25,200-37,800 50% 60% >37,800 75%
WJG.L Watkin Jones PLC UK 0-15,400 25% 15,400-30,800 40% 30,800-46,200 50% 60% >46,200 75%
WETI.L Weatherly International PLC UK 0-3,076,900 25% 3,076,900-6,153,800 40% 6,153,800-9,230,700 50% 60% >9,230,700 75%
WEBH.L Webis Holdings PLC UK 0-952,400 25% 952,400-1,904,800 40% 1,904,800-2,857,200 50% 60% >2,857,200 75%
WKOF.L Weiss Korea Opportunity Fund Limited UK 0-6,900 25% 6,900-13,800 40% 13,800-20,700 50% 60% >20,700 75%
WAFM.L West African Minerals Corp UK 0-533,300 25% 533,300-1,066,600 40% 1,066,600-1,599,900 50% 60% >1,599,900 75%
WSG.L Westminster Group PLC UK 0-39,200 25% 39,200-78,400 40% 78,400-117,600 50% 60% >117,600 75%
WNRG.L Westmount Energy Limited UK 0-181,800 25% 181,800-363,600 40% 363,600-545,400 50% 60% >545,400 75%
WHI.L WH Ireland Group UK 0-9,900 25% 9,900-19,800 40% 19,800-29,700 50% 60% >29,700 75%
WPHO.L Windar Photonics PLC UK 0-13,800 25% 13,800-27,600 40% 27,600-41,400 50% 60% >41,400 75%
WSBN.L Wishbone Gold PLC UK 0-1,212,100 25% 1,212,100-2,424,200 40% 2,424,200-3,636,300 50% 60% >3,636,300 75%
WLFE.L Wolf Minerals Ltd UK 0-148,100 25% 148,100-296,200 40% 296,200-444,300 50% 60% >444,300 75%
WLDC.L World Careers Network PLC UK 0-5,700 25% 5,700-11,400 40% 11,400-17,100 50% 60% >17,100 75%
WSL.L Worldsec Limited UK 0-181,800 25% 181,800-363,600 40% 363,600-545,400 50% 60% >545,400 75%
WYWYN.L Wynnstay Group PLC UK 0-1,900 25% 1,900-3,800 40% 3,800-5,700 50% 60% >5,700 75%
WSP.L Wynnstay Properties PLC UK 0-2,100 25% 2,100-4,200 40% 4,200-6,300 50% 60% >6,300 75%
XLM.L XLMedia PLC UK 0-11,200 25% 11,200-22,400 40% 22,400-33,600 50% 60% >33,600 75%
XTR.L Xtract Resources PLC UK 0-21,052,600 25% 21,052,600-42,105,200 40% 42,105,200-63,157,800 50% 60% >63,157,800 75%
YOLO.L Yolo Leisure and Technology PLC UK 0-952,400 25% 952,400-1,904,800 40% 1,904,800-2,857,200 50% 60% >2,857,200 75%
YOU.L YouGov PLC UK 0-5,200 25% 5,200-10,400 40% 10,400-15,600 50% 60% >15,600 75%
YU.L Yu Energy Limited UK 0-4,300 25% 4,300-8,600 40% 8,600-12,900 50% 60% >12,900 75%
YUJ.L Yujin International Limited UK 0-62,500 25% 62,500-125,000 40% 125,000-187,500 50% 60% >187,500 75%
ZMNO.L zamano PLC UK 0-95,200 25% 95,200-190,400 40% 190,400-285,600 50% 60% >285,600 75%
ZAMB.L Zambeef Products PLC UK 0-65,000 25% 65,000-130,000 40% 130,000-195,000 50% 60% >195,000 75%
ZEG.L Zegona Communications plc UK 0-9,600 25% 9,600-19,200 40% 19,200-28,800 50% 60% >28,800 75%
ZBO.L Zibao Metals Recycling Holdings PLC UK 0-571,400 25% 571,400-1,142,800 40% 1,142,800-1,714,200 50% 60% >1,714,200 75%
ZOX.L ZincOx Resources PLC UK 0-2,666,700 25% 2,666,700-5,333,400 40% 5,333,400-8,000,100 50% 60% >8,000,100 75%
ZOLq.L Zoltav Resources Inc UK 0-37,700 25% 37,700-75,400 40% 75,400-113,100 50% 60% >113,100 75%
ZOO.L Zoo Digital Group PLC UK 0-108,100 25% 108,100-216,200 40% 216,200-324,300 50% 60% >324,300 75%
GOLD.O Randgold Resources Ltd - ADR USA 0-6,284 10% 6,284-37,704 20% 37,704-125,680 35% 45% >125,680 75%
GWPH.O GW Pharmaceuticals PLC USA 0-6,300 25% 6,300-37,800 40% 37,800-119,700 50% 60% >119,700 75%
ADBE.O Adobe Systems Inc USA 0-15,000 5% 15,000-63,750 10% 63,750-255,000 20% 40% >255,000 75%
CVX.N Chevron Corp (All Sessions) USA 0-15,000 5% 15,000-63,750 10% 63,750-255,000 20% 40% >255,000 75%
BABA.K Alibaba Group Holding Ltd (All Sessions) USA 0-6,400 5% 6,400-14,400 10% 14,400-54,400 20% 40% >54,400 75%
PM.N Philip Morris International Inc USA 0-15,000 5% 15,000-63,750 10% 63,750-255,000 20% 40% >255,000 75%
DLR.N Digital Realty Trust Inc USA 0-15,000 5% 15,000-63,750 10% 63,750-255,000 20% 40% >255,000 75%
JACK.O Jack in the Box Inc USA 0-6,471 10% 6,471-14,559 20% 14,559-56,621 35% 45% >56,621 75%
BLK.N BlackRock Inc USA 0-4,000 5% 4,000-18,000 10% 18,000-72,000 20% 40% >72,000 75%
MA.N Mastercard Inc USA 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
NFLX.O Netflix Inc (All Sessions) USA 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
VTR.N Ventas Inc USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
CCI.N Crown Castle International Corp USA 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
FANG.O Diamondback Energy Inc USA 0-6,634 10% 6,634-14,926 20% 14,926-58,047 35% 45% >58,047 75%
LB.N L Brands Inc USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
CL.N Colgate-Palmolive Co USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
AZO.N AutoZone Inc USA 0-2,000 5% 2,000-9,000 10% 9,000-36,000 20% 40% >36,000 75%
VMW.N VMware Inc USA 0-8,987 10% 8,987-20,220 20% 20,220-80,883 35% 45% >80,883 75%
ESRX.O Express Scripts Holding Co USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
EGN.N Energen Corp USA 0-11,260 10% 11,260-25,335 20% 25,335-101,340 35% 45% >101,340 75%
WMT.N Wal-Mart Stores Inc (All Sessions) USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
UNP.N Union Pacific Corp USA 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
PCLN.O priceline.com Inc USA 0-1,000 5% 1,000-4,500 10% 4,500-18,000 20% 40% >18,000 75%
NKE.N NIKE Inc (All Sessions) USA 0-25,000 5% 25,000-112,500 10% 112,500-450,000 20% 40% >450,000 75%
BMRN.O BioMarin Pharmaceutical Inc USA 0-15,000 25% 15,000-67,500 40% 67,500-270,000 50% 60% >270,000 75%
SWKS.O Skyworks Solutions Inc USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
MSFT.O Microsoft Corp (All Sessions) USA 0-25,000 5% 25,000-112,500 10% 112,500-450,000 20% 40% >450,000 75%
COF.N Capital One Financial Corp USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
DG.N Dollar General Corp USA 0-20,000 5% 20,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
VRTX.O Vertex Pharmaceuticals Inc USA 0-15,000 25% 15,000-67,500 40% 67,500-270,000 50% 60% >270,000 75%
SHW.N Sherwin-Williams Co USA 0-5,000 5% 5,000-22,500 10% 22,500-90,000 20% 40% >90,000 75%
APC.N Anadarko Petroleum Corp USA 0-25,000 20% 25,000-112,500 30% 112,500-450,000 50% 60% >450,000 75%
DXCM.O DexCom Inc USA 0-6,882 15% 6,882-15,484 25% 15,484-63,658 40% 55% >63,658 75%
C.N Citigroup Inc (All Sessions) USA 0-30,000 5% 30,000-135,000 10% 135,000-540,000 20% 40% >540,000 75%
UN.N Unilever NV (US) USA 0-13,809 10% 13,809-82,854 20% 82,854-276,180 35% 45% >276,180 75%
HLT.N Hilton Worldwide Holdings Inc USA 0-27,649 10% 27,649-62,210 20% 62,210-255,753 35% 45% >255,753 75%
ICE.N IntercontinentalExchange Inc USA 0-5,000 5% 5,000-22,500 10% 22,500-90,000 20% 40% >90,000 75%
TWLO.K Twilio Inc USA 0-11,546 15% 11,546-69,276 25% 69,276-230,920 40% 55% >230,920 75%
WYNN.O Wynn Resorts Ltd USA 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
EOG.N EOG Resources Inc USA 0-15,000 5% 15,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
BMY.N Bristol-Myers Squibb Co USA 0-25,000 5% 25,000-112,500 10% 112,500-450,000 20% 40% >450,000 75%
ORLY.O O'Reilly Automotive Inc USA 0-5,000 5% 5,000-23,750 10% 23,750-95,000 20% 40% >95,000 75%
STT.N State Street Corp USA 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
LRCX.O Lam Research Corp USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
NSC.N Norfolk Southern Corp USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
MAR.O Marriott International Inc USA 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
SBUX.O Starbucks Corp USA 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
TGT.N Target Corp USA 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
DLPH.N Delphi Automotive PLC USA 0-20,000 10% 20,000-95,000 20% 95,000-380,000 35% 45% >380,000 75%
DIS.N Walt Disney Co (All Sessions) USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 63 of 103
CCE.N Coca-Cola Enterprises Inc USA 0-16,282 10% 16,282-97,692 20% 97,692-325,640 35% 45% >325,640 75%
TRGP.N Targa Resources Corp USA 0-13,969 10% 13,969-31,430 20% 31,430-129,213 35% 45% >129,213 75%
CVS.N CVS Health Corp USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
VLO.N Valero Energy Corp USA 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
TMUS.O T-Mobile US Inc USA 0-30,000 5% 30,000-142,500 10% 142,500-570,000 20% 40% >570,000 75%
UA.N Under Armour Inc USA 0-35,000 5% 35,000-166,250 10% 166,250-665,000 20% 40% >665,000 75%
PFE.N Pfizer Inc (All Sessions) USA 0-40,000 5% 40,000-190,000 10% 190,000-760,000 20% 40% >760,000 75%
WWAV.K WhiteWave Foods Co USA 0-11,754 10% 11,754-26,446 20% 26,446-111,663 35% 45% >111,663 75%
BP.N BP PLC - ADR USA 0-40,000 5% 40,000-240,000 10% 240,000-800,000 20% 40% >800,000 75%
TXN.O Texas Instruments Inc USA 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
DD.N Du Pont de Nemours & Co (All Sessions) USA 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
CHTR.O Charter Communications Inc USA 0-5,000 5% 5,000-23,750 10% 23,750-95,000 20% 40% >95,000 75%
AEM.N Agnico Eagle Mines Ltd USA 0-24,700 5% 24,700-117,325 10% 117,325-494,000 20% 40% >494,000 75%
SCHW.K Charles Schwab Corp USA 0-45,000 5% 45,000-213,750 10% 213,750-855,000 20% 40% >855,000 75%
WPZ.N Williams Partners LP USA 0-16,554 10% 16,554-37,246 20% 37,246-157,263 35% 45% >157,263 75%
EXC.N Exelon Corp USA 0-40,000 5% 40,000-190,000 10% 190,000-760,000 20% 40% >760,000 75%
BXLT.K Baxalta Inc USA 0-14,209 10% 14,209-31,970 20% 31,970-134,985 35% 45% >134,985 75%
ISRG.O Intuitive Surgical Inc USA 0-2,000 5% 2,000-9,500 10% 9,500-38,000 20% 40% >38,000 75%
APA.N Apache Corp USA 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
ICPT.O Intercept Pharmaceuticals Inc USA 0-4,270 25% 4,270-9,607 40% 9,607-40,565 50% 60% >40,565 75%
GD.N General Dynamics Corp USA 0-9,000 5% 9,000-42,750 10% 42,750-171,000 20% 40% >171,000 75%
PE Parsley Energy Inc USA 0-18,992 10% 18,992-42,732 20% 42,732-180,424 35% 45% >180,424 75%
BAX.N Baxter International Inc USA 0-30,000 5% 30,000-142,500 10% 142,500-570,000 20% 40% >570,000 75%
LVS.N Las Vegas Sands Corp USA 0-11,878 10% 11,878-29,695 20% 29,695-112,841 35% 45% >112,841 75%
JOY.N Joy Global Inc USA 0-23,795 10% 23,795-59,487 20% 59,487-226,052 35% 45% >226,052 75%
AMTD.N TD Ameritrade Holding Corp USA 0-19,058 10% 19,058-47,645 20% 47,645-181,051 35% 45% >181,051 75%
MU.O Micron Technology Inc (All Sessions) USA 0-80,000 5% 80,000-380,000 10% 380,000-1,520,000 20% 40% >1,520,000 75%
MNST.O Monster Beverage Corp USA 0-9,000 5% 9,000-42,750 10% 42,750-171,000 20% 40% >171,000 75%
GLW.N Corning Inc USA 0-60,000 5% 60,000-285,000 10% 285,000-1,140,000 20% 40% >1,140,000 75%
YELP.K Yelp Inc USA 0-16,745 10% 16,745-41,862 20% 41,862-159,077 35% 45% >159,077 75%
WMB.N Williams Cos Inc USA 0-45,000 10% 45,000-213,750 20% 213,750-855,000 35% 45% >855,000 75%
AMGN.O Amgen Inc USA 0-8,000 5% 8,000-38,000 10% 38,000-152,000 20% 40% >152,000 75%
HST.N Host Hotels & Resorts Inc USA 0-80,000 5% 80,000-380,000 10% 380,000-1,520,000 20% 40% >1,520,000 75%
LULU.O Lululemon Athletica Inc USA 0-9,583 10% 9,583-23,957 20% 23,957-91,038 35% 45% >91,038 75%
PLD.N Prologis Inc USA 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
NVR.N NVR Inc USA 0-383 10% 383-957 20% 957-3,638 35% 45% >3,638 75%
SAP.N SAP AG - ADR USA 0-7,199 10% 7,199-43,194 20% 43,194-143,980 35% 45% >143,980 75%
KMI.N Kinder Morgan Inc USA 0-60,000 5% 60,000-285,000 10% 285,000-1,140,000 20% 40% >1,140,000 75%
DAL.N Delta Air Lines Inc USA 0-35,000 5% 35,000-166,250 10% 166,250-665,000 20% 40% >665,000 75%
NOV.N National Oilwell Varco Inc USA 0-40,000 5% 40,000-190,000 10% 190,000-760,000 20% 40% >760,000 75%
KEY.N KeyCorp USA 0-110,000 5% 110,000-522,500 10% 522,500-2,090,000 20% 40% >2,090,000 75%
CCL.N Carnival Corp USA 0-30,000 5% 30,000-142,500 10% 142,500-570,000 20% 40% >570,000 75%
YUM.N Yum! Brands Inc USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
OAS.N Oasis Petroleum Inc USA 0-62,634 10% 62,634-156,585 20% 156,585-610,681 35% 45% >610,681 75%
GIS.N General Mills Inc USA 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
SIRI.O Sirius XM Holdings Inc USA 0-325,000 5% 325,000-1,543,750 10% 1,543,750-6,175,000 20% 40% >6,175,000 75%
PNC.N PNC Financial Services Group Inc USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
AAL.O American Airlines Group Inc USA 0-35,000 10% 35,000-166,250 20% 166,250-665,000 35% 45% >665,000 75%
VNTV.K Vantiv Inc USA 0-12,053 10% 12,053-30,132 20% 30,132-117,516 35% 45% >117,516 75%
PRGO.K Perrigo Co USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
PSA.N Public Storage USA 0-6,000 5% 6,000-28,500 10% 28,500-114,000 20% 40% >114,000 75%
EPD.N Enterprise Products Partners LP USA 0-24,120 10% 24,120-60,300 20% 60,300-235,170 35% 45% >235,170 75%
RICE.K Rice Energy Inc USA 0-24,120 10% 24,120-60,300 20% 60,300-235,170 35% 45% >235,170 75%
ARMH.O ARM Holdings PLC - ADR USA 0-9,648 10% 9,648-57,888 20% 57,888-192,960 35% 45% >192,960 75%
SHPG.O Shire PLC - ADR USA 0-3,377 10% 3,377-20,262 20% 20,262-67,540 35% 45% >67,540 75%
WPX.N WPX Energy Inc USA 0-48,300 25% 48,300-120,750 40% 120,750-470,925 50% 60% >470,925 75%
TMO.N Thermo Fisher Scientific Inc USA 0-9,000 10% 9,000-42,750 20% 42,750-171,000 35% 45% >171,000 75%
GS.N Goldman Sachs Group Inc (All Sessions) USA 0-8,000 5% 8,000-38,000 10% 38,000-152,000 20% 40% >152,000 75%
DPZ.N Domino's Pizza Inc USA 0-4,345 10% 4,345-10,862 20% 10,862-42,363 35% 45% >42,363 75%
TCK.N Teck Resources Ltd USA 0-79,100 10% 79,100-375,725 20% 375,725-1,502,900 35% 45% >1,502,900 75%
LUV.N Southwest Airlines Co USA 0-35,000 5% 35,000-166,250 10% 166,250-665,000 20% 40% >665,000 75%
QEP.N QEP Resources Inc USA 0-33,845 10% 33,845-84,612 20% 84,612-329,988 35% 45% >329,988 75%
SU.N Suncor Energy Inc USA 0-49,400 5% 49,400-234,650 10% 234,650-938,600 20% 40% >938,600 75%
AVGO.O Broadcom Ltd USA 0-8,000 5% 8,000-38,000 10% 38,000-152,000 20% 40% >152,000 75%
UNH.N UnitedHealth Group Inc (All Sessions) USA 0-10,000 5% 10,000-47,500 10% 47,500-190,000 20% 40% >190,000 75%
LNKD.K LinkedIn Corp (All Sessions) USA 0-3,400 10% 3,400-8,500 20% 8,500-33,150 35% 45% >33,150 75%
BBY.N Best Buy Co Inc (All Sessions) USA 0-35,000 5% 35,000-166,250 10% 166,250-665,000 20% 40% >665,000 75%
PYPL.O PayPal Holdings Inc USA 0-35,000 5% 35,000-166,250 10% 166,250-665,000 20% 40% >665,000 75%
ADP.O Automatic Data Processing Inc USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
CTRP.O Ctrip.com International Ltd - ADR USA 0-30,000 10% 30,000-142,500 20% 142,500-570,000 35% 45% >570,000 75%
DOW.N Dow Chemical Co USA 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
NFX.N Newfield Exploration Co USA 0-30,000 25% 30,000-142,500 40% 142,500-570,000 50% 60% >570,000 75%
FSLR.O First Solar Inc USA 0-35,000 10% 35,000-166,250 20% 166,250-665,000 35% 45% >665,000 75%
KHC.O The Kraft Heinz Company USA 0-15,000 5% 15,000-71,250 10% 71,250-285,000 20% 40% >285,000 75%
BRKb Berkshire Hathaway Inc - B (All Sessions) USA 0-9,000 5% 9,000-42,750 10% 42,750-171,000 20% 40% >171,000 75%
TD.N The Toronto-Dominion Bank USA 0-29,700 5% 29,700-141,075 10% 141,075-564,300 20% 40% >564,300 75%
AMAT.O Applied Materials Inc USA 0-45,000 5% 45,000-213,750 10% 213,750-855,000 20% 40% >855,000 75%
LNG.A Cheniere Energy Inc USA 0-14,576 25% 14,576-36,440 40% 36,440-142,116 50% 60% >142,116 75%
FLT FleetCor Technologies Inc USA 0-3,893 10% 3,893-9,732 20% 9,732-37,956 35% 45% >37,956 75%
JPM.N JPMorgan Chase & Co (All Sessions) USA 0-20,000 5% 20,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
VZ.N Verizon Communications Inc (All Sessions) USA 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
AMBA.O Ambarella Inc USA 0-9,743 10% 9,743-24,357 20% 24,357-94,994 35% 45% >94,994 75%
UAL.N United Continental Holdings Inc USA 0-25,000 5% 25,000-118,750 10% 118,750-475,000 20% 40% >475,000 75%
TSM.N Taiwan Semiconductor Manufacturing Co Ltd - ADR USA 0-21,928 10% 21,928-131,568 20% 131,568-438,560 35% 45% >438,560 75%
X.N United States Steel Corp USA 0-34,128 10% 34,128-85,320 20% 85,320-332,748 35% 45% >332,748 75%
CNC.N Centene Corp USA 0-20,000 10% 20,000-100,000 20% 100,000-400,000 35% 45% >400,000 75%
NWL.N Newell Brands Inc USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
WDAY.N Workday Inc USA 0-7,324 10% 7,324-18,310 20% 18,310-71,409 35% 45% >71,409 75%
IBN.N ICICI Bank Ltd - ADR USA 0-78,124 10% 78,124-468,744 20% 468,744-1,562,480 35% 45% >1,562,480 75%
JBLU.O JetBlue Airways Corp USA 0-39,085 10% 39,085-97,712 20% 97,712-381,078 35% 45% >381,078 75%
RCL.N Royal Caribbean Cruises Ltd (US) USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
CX.N Cemex SAB de CV - ADR USA 0-78,217 10% 78,217-469,302 20% 469,302-1,564,340 35% 45% >1,564,340 75%
CXO.N Concho Resources Inc USA 0-10,000 10% 10,000-50,000 20% 50,000-200,000 35% 45% >200,000 75%
ETN.N Eaton Corp PLC USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
RDSb Royal Dutch Shell PLC - B - ADR USA 0-12,249 10% 12,249-73,494 20% 73,494-244,980 35% 45% >244,980 75%
MO.N Altria Group Inc USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
WFT.N Weatherford International Ltd USA 0-112,700 25% 112,700-281,750 40% 281,750-1,098,825 50% 60% >1,098,825 75%
WDC.O Western Digital Corp USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 64 of 103
FIT Fitbit Inc USA 0-44,182 10% 44,182-110,455 20% 110,455-430,774 35% 45% >430,774 75%
SEB Seaboard Corp USA 0-196 20% 196-490 30% >490 75% 75%
AR.N Antero Resources Corp USA 0-24,555 10% 24,555-61,387 20% 61,387-239,411 35% 45% >239,411 75%
BX.N Blackstone Group LP USA 0-24,564 10% 24,564-61,410 20% 61,410-239,499 35% 45% >239,499 75%
CAR.O Avis Budget Group Inc USA 0-17,207 10% 17,207-43,017 20% 43,017-167,768 35% 45% >167,768 75%
YHOO.O Yahoo! Inc (All Sessions) USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
FL.N Foot Locker Inc USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
STZ.N Constellation Brands Inc USA 0-8,000 5% 8,000-40,000 10% 40,000-160,000 20% 40% >160,000 75%
HD.N Home Depot Inc (All Sessions) USA 0-10,000 5% 10,000-50,000 10% 50,000-200,000 20% 40% >200,000 75%
JD.O JD.com Inc USA 0-50,000 10% 50,000-250,000 20% 250,000-1,000,000 35% 45% >1,000,000 75%
AA.N Alcoa Inc (All Sessions) USA 0-130,000 5% 130,000-650,000 10% 650,000-2,600,000 20% 40% >2,600,000 75%
SYY.N Sysco Corp USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
AZN.N AstraZeneca PLC - ADR USA 0-40,000 5% 40,000-240,000 10% 240,000-800,000 20% 40% >800,000 75%
CMCSA.O Comcast Corp - Class A USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
SM.N SM Energy Co USA 0-17,253 15% 17,253-43,132 25% 43,132-168,216 40% 55% >168,216 75%
BA.N Boeing Co (All Sessions) USA 0-10,000 5% 10,000-50,000 10% 50,000-200,000 20% 40% >200,000 75%
DVN Devon Energy Corp USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
S.N Sprint Corporation USA 0-98,627 10% 98,627-246,567 20% 246,567-961,613 35% 45% >961,613 75%
PANW.K Palo Alto Networks Inc USA 0-4,438 10% 4,438-11,095 20% 11,095-43,270 35% 45% >43,270 75%
HPE Hewlett Packard Enterprise Company USA 0-5,920 5% 5,920-29,600 10% 29,600-118,400 20% 40% >118,400 75%
BBT BB&T Corp USA 0-35,000 5% 35,000-175,000 10% 175,000-700,000 20% 40% >700,000 75%
MT.N ArcelorMittal - ADR USA 0-103,629 10% 103,629-621,774 20% 621,774-2,072,580 35% 45% >2,072,580 75%
KSS.N Kohl's Corp USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
WLL.N Whiting Petroleum Corp USA 0-78,973 15% 78,973-197,432 25% 197,432-769,986 40% 55% >769,986 75%
HSBC.K HSBC Holdings PLC - ADR USA 0-17,276 10% 17,276-103,656 20% 103,656-345,520 35% 45% >345,520 75%
BIDU.O Baidu Inc - ADR USA 0-7,000 5% 7,000-35,000 10% 35,000-140,000 20% 40% >140,000 75%
AXP.N American Express Co (All Sessions) USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
XOM.N Exxon Mobil Corp (All Sessions) USA 0-15,000 5% 15,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
TSRO.O TESARO Inc USA 0-7,415 25% 7,415-18,537 40% 18,537-74,150 50% 60% >74,150 75%
HPQ.N HP Inc (All Sessions) USA 0-90,000 5% 90,000-450,000 10% 450,000-1,800,000 20% 40% >1,800,000 75%
FDX.N FedEx Corp USA 0-8,000 5% 8,000-40,000 10% 40,000-160,000 20% 40% >160,000 75%
AEP.N American Electric Power Co Inc USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
ADM.N Archer-Daniels-Midland Co USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
PG.N Procter & Gamble Co (All Sessions) USA 0-15,000 5% 15,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
EMR.N Emerson Electric Co USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
NLY_pd.N Annaly Capital Management Inc 7.5 PFD USA 0-51,800 10% 51,800-129,500 20% 129,500-518,000 35% 45% >518,000 75%
NLY.N Annaly Capital Management Inc USA 0-59,499 10% 59,499-148,747 20% 148,747-594,990 35% 45% >594,990 75%
FCAU.K Fiat Chrysler Automobiles NV (US) USA 0-190,000 5% 190,000-950,000 10% 950,000-3,800,000 20% 40% >3,800,000 75%
PXD.N Pioneer Natural Resources Co USA 0-7,000 5% 7,000-35,000 10% 35,000-140,000 20% 40% >140,000 75%
AUY.N Yamana Gold Inc (US) USA 0-271,200 10% 271,200-1,356,000 20% 1,356,000-5,424,000 35% 45% >5,424,000 75%
CY.O Cypress Semiconductor Corp USA 0-54,582 10% 54,582-136,455 20% 136,455-545,820 35% 45% >545,820 75%
HOG.N Harley-Davidson Inc USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
RAD.N Rite Aid Corp USA 0-84,374 10% 84,374-210,935 20% 210,935-843,740 35% 45% >843,740 75%
P.N Pandora Media Inc USA 0-44,695 10% 44,695-111,737 20% 111,737-446,950 35% 45% >446,950 75%
ABC.N AmerisourceBergen Corp USA 0-15,000 5% 15,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
CPHD.O Cepheid Inc USA 0-12,400 25% 12,400-31,000 40% 31,000-124,000 50% 60% >124,000 75%
GG.N Goldcorp Inc (US) USA 0-79,000 5% 79,000-395,000 10% 395,000-1,580,000 20% 40% >1,580,000 75%
CBS.N CBS Corp - B USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
CMG.N Chipotle Mexican Grill Inc USA 0-3,000 5% 3,000-15,000 10% 15,000-60,000 20% 40% >60,000 75%
UBS.N UBS Group AG (US) USA 0-90,200 5% 90,200-451,000 10% 451,000-1,804,000 20% 40% >1,804,000 75%
BWLD.O Buffalo Wild Wings Inc USA 0-3,980 10% 3,980-9,950 20% 9,950-39,800 35% 45% >39,800 75%
SPG.N Simon Property Group Inc USA 0-6,000 5% 6,000-30,000 10% 30,000-120,000 20% 40% >120,000 75%
NTES.O NetEase Inc - ADR USA 0-6,000 10% 6,000-30,000 20% 30,000-120,000 35% 45% >120,000 75%
ECA.N Encana Corp USA 0-128,500 10% 128,500-642,500 20% 642,500-2,570,000 35% 45% >2,570,000 75%
USB.N US Bancorp USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
KO.N Coca-Cola Co (All Sessions) USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
FB.O Facebook Inc (All Sessions) USA 0-10,000 5% 10,000-50,000 10% 50,000-200,000 20% 40% >200,000 75%
WFM.O Whole Foods Market Inc USA 0-45,000 5% 45,000-225,000 10% 225,000-900,000 20% 40% >900,000 75%
MDLZ.O Mondelez International Inc USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
OMC.N Omnicom Group Inc USA 0-15,000 5% 15,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
EMC.N EMC Corp USA 0-22,509 10% 22,509-56,272 20% 56,272-225,090 35% 45% >225,090 75%
HAL.N Halliburton Co (All Sessions) USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
STI.N SunTrust Banks Inc USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
RIG.N Transocean Ltd (All Sessions) USA 0-130,000 10% 130,000-650,000 20% 650,000-2,600,000 35% 45% >2,600,000 75%
SO.N Southern Co USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
PDCE.O PDC Energy Inc USA 0-10,000 25% 10,000-25,000 40% 25,000-100,000 50% 60% >100,000 75%
CNX.N CONSOL Energy Inc USA 0-35,118 10% 35,118-87,795 20% 87,795-351,180 35% 45% >351,180 75%
BBD.N Banco Bradesco SA - ADR USA 0-70,311 10% 70,311-421,866 20% 421,866-1,406,220 35% 45% >1,406,220 75%
ABEV.K Ambev SA-ADR USA 0-105,467 10% 105,467-632,802 20% 632,802-2,109,340 35% 45% >2,109,340 75%
M.N Macy's Inc USA 0-35,000 5% 35,000-175,000 10% 175,000-700,000 20% 40% >700,000 75%
SLW.N Silver Wheaton Corp (US) USA 0-44,500 5% 44,500-222,500 10% 222,500-890,000 20% 40% >890,000 75%
ATVI.O Activision Blizzard Inc USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
ZTS.N Zoetis Inc USA 0-25,000 5% 25,000-125,000 10% 125,000-500,000 20% 40% >500,000 75%
EBAY.O eBay Inc (All Sessions) USA 0-40,000 5% 40,000-200,000 10% 200,000-800,000 20% 40% >800,000 75%
JCP.N JC Penney Co Inc (All Sessions) USA 0-65,300 10% 65,300-163,250 20% 163,250-653,000 35% 45% >653,000 75%
ZBH Zimmer Holdings Inc USA 0-10,000 5% 10,000-50,000 10% 50,000-200,000 20% 40% >200,000 75%
AMD.O Advanced Micro Devices Inc USA 0-95,599 10% 95,599-238,997 20% 238,997-955,990 35% 45% >955,990 75%
ABBV.K AbbVie Inc USA 0-20,000 5% 20,000-100,000 10% 100,000-400,000 20% 40% >400,000 75%
NXPI.O NXP Semiconductor NV USA 0-15,000 5% 15,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
PNRA.O Panera Bread Co USA 0-3,021 10% 3,021-7,552 20% 7,552-30,210 35% 45% >30,210 75%
CLF.N Cliffs Natural Resources Inc USA 0-110,830 15% 110,830-277,075 25% 277,075-1,108,300 40% 55% >1,108,300 75%
SWN.N Southwestern Energy Co USA 0-90,000 10% 90,000-450,000 20% 450,000-1,800,000 35% 45% >1,800,000 75%
VALE.K Vale SA - ADR USA 0-115,939 10% 115,939-695,634 20% 695,634-2,318,780 35% 45% >2,318,780 75%
CSX.O CSX Corp USA 0-45,000 5% 45,000-225,000 10% 225,000-900,000 20% 40% >900,000 75%
AAP.N Advance Auto Parts Inc USA 0-8,000 5% 8,000-40,000 10% 40,000-160,000 20% 40% >160,000 75%
RF.N Regions Financial Corp USA 0-130,000 5% 130,000-650,000 10% 650,000-2,600,000 20% 40% >2,600,000 75%
MCK.N McKesson Corp USA 0-7,000 5% 7,000-35,000 10% 35,000-140,000 20% 40% >140,000 75%
PBRa Petroleo Brasileiro SA - A - ADR USA 0-75,770 10% 75,770-454,620 20% 454,620-1,515,400 35% 45% >1,515,400 75%
ETE.N Energy Transfer Equity LP USA 0-35,365 15% 35,365-88,412 25% 88,412-353,650 40% 55% >353,650 75%
ADS.N Alliance Data Systems Corp USA 0-6,000 5% 6,000-30,000 10% 30,000-120,000 20% 40% >120,000 75%
CHK.N Chesapeake Energy Corp USA 0-190,000 10% 190,000-950,000 20% 950,000-3,800,000 35% 45% >3,800,000 75%
WSM.N Williams-Sonoma Inc USA 0-12,640 10% 12,640-31,600 20% 31,600-126,400 35% 45% >126,400 75%
IBM.N IBM Corp (All Sessions) USA 0-8,000 5% 8,000-40,000 10% 40,000-160,000 20% 40% >160,000 75%
MPC.N Marathon Petroleum Corp USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
MET.N MetLife Inc USA 0-30,000 5% 30,000-150,000 10% 150,000-600,000 20% 40% >600,000 75%
MDT.N Medtronic Inc USA 0-15,000 5% 15,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
AEO.N American Eagle Outfitters Inc USA 0-35,422 10% 35,422-88,555 20% 88,555-354,220 35% 45% >354,220 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 65 of 103
MOS.N Mosaic Co USA 0-45,000 5% 45,000-225,000 10% 225,000-900,000 20% 40% >900,000 75%
PBR.N Petroleo Brasileiro SA - ADR USA 0-66,184 10% 66,184-397,104 20% 397,104-1,323,680 35% 45% >1,323,680 75%
PAA.N Plains All American Pipeline LP USA 0-22,919 10% 22,919-57,297 20% 57,297-229,190 35% 45% >229,190 75%
BG.N Bunge Ltd USA 0-10,193 10% 10,193-25,482 20% 25,482-101,930 35% 45% >101,930 75%
TEVA.K Teva Pharmaceutical Industries Ltd - ADR USA 0-12,749 10% 12,749-31,872 20% 31,872-127,490 35% 45% >127,490 75%
SRPT.O Sarepta Therapeutics Inc USA 0-23,000 25% 23,000-57,500 40% 57,500-230,000 50% 60% >230,000 75%
ACAD.O ACADIA Pharmaceuticals Inc USA 0-20,434 25% 20,434-51,085 40% 51,085-204,340 50% 60% >204,340 75%
STX.O Seagate Technology PLC USA 0-35,000 5% 35,000-175,000 10% 175,000-700,000 20% 40% >700,000 75%
NOC.N Northrop Grumman Corp USA 0-6,000 5% 6,000-30,000 10% 30,000-120,000 20% 40% >120,000 75%
POST.K Post Holdings Inc USA 0-7,681 10% 7,681-19,202 20% 19,202-76,810 35% 45% >76,810 75%
WHR.N Whirlpool Corp USA 0-7,000 5% 7,000-36,750 10% 36,750-147,000 20% 40% >147,000 75%
GM.N General Motors Co (All Sessions) USA 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
CB.N Chubb Corp USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
SLCA.K US Silica Holdings Inc USA 0-15,382 10% 15,382-38,455 20% 38,455-153,820 35% 45% >153,820 75%
CPGX.K Columbia Pipeline Group Inc USA 0-25,653 10% 25,653-64,132 20% 64,132-256,530 35% 45% >256,530 75%
JWN.N Nordstrom Inc USA 0-25,000 5% 25,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
INTC.O Intel Corp (All Sessions) USA 0-35,000 5% 35,000-183,750 10% 183,750-735,000 20% 40% >735,000 75%
MELI.O MercadoLibre Inc USA 0-3,592 10% 3,592-8,980 20% 8,980-35,920 35% 45% >35,920 75%
GRUB.N GrubHub Inc USA 0-15,400 10% 15,400-38,500 20% 38,500-154,000 35% 45% >154,000 75%
BUD.N Anheuser-Busch InBev NV - ADR USA 0-5,133 10% 5,133-30,798 20% 30,798-102,660 35% 45% >102,660 75%
FCX.N Freeport-McMoRan Copper & Gold Inc USA 0-120,000 10% 120,000-630,000 20% 630,000-2,520,000 35% 45% >2,520,000 75%
WY.N Weyerhaeuser Co USA 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
CSCO.O Cisco Systems Inc (All Sessions) USA 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
KMB.N Kimberly-Clark Corp USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
HES.N Hess Corp USA 0-25,000 5% 25,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
F.N Ford Motor Co (All Sessions) USA 0-100,000 5% 100,000-525,000 10% 525,000-2,100,000 20% 40% >2,100,000 75%
NBR.N Nabors Industries Ltd USA 0-61,805 10% 61,805-154,512 20% 154,512-618,050 35% 45% >618,050 75%
CIT.N CIT Group Inc USA 0-18,048 10% 18,048-45,120 20% 45,120-180,480 35% 45% >180,480 75%
MS.N Morgan Stanley (All Sessions) USA 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
CNQ.N Canadian Natural Resources Ltd (US) USA 0-39,600 5% 39,600-207,900 10% 207,900-831,600 20% 40% >831,600 75%
CI.N Cigna Corp USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
GME.N GameStop Corp USA 0-23,245 10% 23,245-58,112 20% 58,112-232,450 35% 45% >232,450 75%
RDSa.N Royal Dutch Shell PLC - A - ADR USA 0-12,917 10% 12,917-77,502 20% 77,502-258,340 35% 45% >258,340 75%
SCTY.O SolarCity Corp USA 0-36,207 10% 36,207-90,517 20% 90,517-362,070 35% 45% >362,070 75%
CLR.N Continental Resources Inc USA 0-12,935 10% 12,935-32,337 20% 32,337-129,350 35% 45% >129,350 75%
NEM.N Newmont Mining Corp USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
COG.N Cabot Oil & Gas Corp USA 0-50,000 5% 50,000-262,500 10% 262,500-1,050,000 20% 40% >1,050,000 75%
DE.N Deere & Co USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
RTN.N Raytheon Co USA 0-9,000 5% 9,000-47,250 10% 47,250-189,000 20% 40% >189,000 75%
ITUB.K Itau Unibanco Holding SA - ADR USA 0-57,109 10% 57,109-342,654 20% 342,654-1,142,180 35% 45% >1,142,180 75%
APD.N Air Products & Chemicals Inc USA 0-8,000 10% 8,000-42,000 20% 42,000-168,000 35% 45% >168,000 75%
URI.N United Rentals Inc USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
RAX.N Rackspace Hosting Inc USA 0-20,778 10% 20,778-51,945 20% 51,945-207,780 35% 45% >207,780 75%
ANTM.K Anthem Inc USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
MGM MGM Resorts International USA 0-25,979 10% 25,979-64,947 20% 64,947-259,790 35% 45% >259,790 75%
MMM.N 3M Co (All Sessions) USA 0-7,000 5% 7,000-36,750 10% 36,750-147,000 20% 40% >147,000 75%
PCG.N PG&E Corp USA 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
SE.N Spectra Energy Corp USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
BAC.N Bank of America Corp (All Sessions) USA 0-80,000 5% 80,000-420,000 10% 420,000-1,680,000 20% 40% >1,680,000 75%
BURL.N Burlington Stores Inc USA 0-7,800 10% 7,800-19,500 20% 19,500-78,000 35% 45% >78,000 75%
MRK.N Merck & Co Inc (All Sessions) USA 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
PII.N Polaris Industries Inc USA 0-7,801 10% 7,801-19,502 20% 19,502-78,010 35% 45% >78,010 75%
ROST.O Ross Stores Inc USA 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
ABT.N Abbott Laboratories USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
HFC.N HollyFrontier Corp USA 0-26,020 10% 26,020-65,050 20% 65,050-260,200 35% 45% >260,200 75%
MRO.N Marathon Oil Corp USA 0-80,000 5% 80,000-420,000 10% 420,000-1,680,000 20% 40% >1,680,000 75%
URBN.O Urban Outfitters Inc USA 0-35,000 10% 35,000-183,750 20% 183,750-735,000 35% 45% >735,000 75%
RRC.N Range Resources Corp USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
MUR.N Murphy Oil Corp USA 0-45,000 10% 45,000-236,250 20% 236,250-945,000 35% 45% >945,000 75%
CAT.N Caterpillar Inc (All Sessions) USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
KR.N Kroger Co USA 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
SYF Synchrony Financial USA 0-45,000 5% 45,000-236,250 10% 236,250-945,000 20% 40% >945,000 75%
VIPS.N Vipshop Holdings Ltd - ADR USA 0-47,043 10% 47,043-117,607 20% 117,607-470,430 35% 45% >470,430 75%
ALXN.O Alexion Pharmaceuticals Inc USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
NEE.N NextEra Energy Inc USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
FEYE.O FireEye Inc USA 0-41,836 10% 41,836-104,590 20% 104,590-418,360 35% 45% >418,360 75%
RY.N Royal Bank of Canada (US) USA 0-19,800 10% 19,800-103,950 20% 103,950-415,800 35% 45% >415,800 75%
BIIB.O Biogen Idec Inc USA 0-4,000 5% 4,000-21,000 10% 21,000-84,000 20% 40% >84,000 75%
TOT.N Total SA - ADR USA 0-13,091 10% 13,091-78,546 20% 78,546-261,820 35% 45% >261,820 75%
QCOM.O QUALCOMM Inc USA 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
V.N Visa Inc (All Sessions) USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
STLD.O Steel Dynamics Inc USA 0-26,187 10% 26,187-65,467 20% 65,467-261,870 35% 45% >261,870 75%
HLF.N Herbalife Ltd USA 0-10,477 10% 10,477-26,192 20% 26,192-104,770 35% 45% >104,770 75%
HZNP.O Horizon Pharma Inc USA 0-36,674 10% 36,674-91,685 20% 91,685-366,740 35% 45% >366,740 75%
KORS.K Michael Kors Holdings Ltd USA 0-25,000 5% 25,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
OKE.N ONEOK Inc USA 0-25,000 5% 25,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
SYMC.O Symantec Corp USA 0-50,000 5% 50,000-262,500 10% 262,500-1,050,000 20% 40% >1,050,000 75%
COST.O Costco Wholesale Corp USA 0-8,000 5% 8,000-42,000 10% 42,000-168,000 20% 40% >168,000 75%
GPRO.O GoPro Inc (All Sessions) USA 0-47,281 10% 47,281-130,022 20% 130,022-520,091 35% 45% >520,091 75%
COP.N ConocoPhillips USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
BDX.N Becton Dickinson and Co USA 0-7,000 5% 7,000-36,750 10% 36,750-147,000 20% 40% >147,000 75%
WFC_pr.N Wells Fargo & Company 6 5/8 Pfd 31/12/49 USA 0-25,000 5% 25,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
NVDA.O NVIDIA Corp USA 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
NBL.N Noble Energy Inc USA 0-35,000 5% 35,000-183,750 10% 183,750-735,000 20% 40% >735,000 75%
WBA.O Walgreens Boots Alliance USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
GE.N General Electric Co (All Sessions) USA 0-40,000 5% 40,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
PH.N Parker Hannifin Corp USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
EA.O Electronic Arts Inc USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
TOL.N Toll Brothers Inc USA 0-21,093 10% 21,093-58,005 20% 58,005-232,023 35% 45% >232,023 75%
BK.N Bank of New York Mellon Corp USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
T.N AT&T Inc (All Sessions) USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
DNKN.O Dunkin' Brands Group Inc USA 0-13,207 10% 13,207-36,319 20% 36,319-145,277 35% 45% >145,277 75%
DLTR.O Dollar Tree Inc USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
ORCL.K Oracle Corp (All Sessions) USA 0-30,000 5% 30,000-157,500 10% 157,500-630,000 20% 40% >630,000 75%
SIG.N Signet Jewelers Ltd (US) USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
IP.N International Paper Co USA 0-25,000 5% 25,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
ULTA.O Ulta Salon Cosmetics & Fragrance Inc USA 0-5,000 5% 5,000-26,250 10% 26,250-105,000 20% 40% >105,000 75%
HUM.N Humana Inc USA 0-7,000 5% 7,000-36,750 10% 36,750-147,000 20% 40% >147,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 66 of 103
ADI.O Analog Devices Inc USA 0-20,000 5% 20,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
RGLD.O Royal Gold Inc USA 0-7,956 10% 7,956-21,879 20% 21,879-87,516 35% 45% >87,516 75%
NOK.N Nokia OYJ - ADR USA 0-111,396 10% 111,396-668,376 20% 668,376-2,227,920 35% 45% >2,227,920 75%
CP.N Canadian Pacific Railway Ltd (US) USA 0-7,900 5% 7,900-41,475 10% 41,475-165,900 20% 40% >165,900 75%
AU.N AngloGold Ashanti Ltd - ADR USA 0-37,174 10% 37,174-223,044 20% 223,044-743,480 35% 45% >743,480 75%
PTEN.O Patterson-UTI Energy Inc USA 0-31,882 10% 31,882-87,675 20% 87,675-350,702 35% 45% >350,702 75%
TPX.N Tempur Sealy International Inc USA 0-7,970 10% 7,970-21,917 20% 21,917-87,670 35% 45% >87,670 75%
CFG.N Citizens Financial Group Inc USA 0-50,000 10% 50,000-262,500 20% 262,500-1,050,000 35% 45% >1,050,000 75%
AN.N AutoNation Inc USA 0-25,000 10% 25,000-131,250 20% 131,250-525,000 35% 45% >525,000 75%
MBLY.N Mobileye NV USA 0-13,331 10% 13,331-36,660 20% 36,660-146,641 35% 45% >146,641 75%
PX.N Praxair Inc USA 0-10,000 5% 10,000-52,500 10% 52,500-210,000 20% 40% >210,000 75%
POT.N Potash Corp of Saskatchewan Inc (US) USA 0-69,200 10% 69,200-276,800 20% 276,800-761,200 35% 45% >761,200 75%
SPLK.O Splunk Inc USA 0-10,705 10% 10,705-29,438 20% 29,438-117,755 35% 45% >117,755 75%
RH.N Restoration Hardware Holdings Inc USA 0-18,747 10% 18,747-51,554 20% 51,554-206,217 35% 45% >206,217 75%
BSX.N Boston Scientific Corp USA 0-50,000 10% 50,000-262,500 20% 262,500-1,050,000 35% 45% >1,050,000 75%
ETP.N Energy Transfer Partners LP USA 0-16,082 10% 16,082-44,225 20% 44,225-176,902 35% 45% >176,902 75%
PKG.N Packaging Corp of America USA 0-8,042 10% 8,042-22,115 20% 22,115-88,462 35% 45% >88,462 75%
JAZZ.O Jazz Pharmaceuticals PLC USA 0-5,363 10% 5,363-14,748 20% 14,748-58,993 35% 45% >58,993 75%
FOXA.O Twenty-First Century Fox Inc - A (US) USA 0-50,000 5% 50,000-262,500 10% 262,500-1,050,000 20% 40% >1,050,000 75%
UTHR.O United Therapeutics Corp USA 0-5,364 10% 5,364-14,751 20% 14,751-59,004 35% 45% >59,004 75%
ENDP.O Endo International PLC USA 0-60,000 25% 60,000-315,000 40% 315,000-1,260,000 50% 60% >1,260,000 75%
CAH.N Cardinal Health Inc USA 0-15,000 5% 15,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
VIAB.O Viacom Inc - B USA 0-30,000 5% 30,000-165,000 10% 165,000-660,000 20% 40% >660,000 75%
MCHP.O Microchip Technology Inc USA 0-20,000 5% 20,000-110,000 10% 110,000-440,000 20% 40% >440,000 75%
PPL.N PPL Corp USA 0-35,000 5% 35,000-192,500 10% 192,500-770,000 20% 40% >770,000 75%
MDVN.O Medivation Inc USA 0-8,100 25% 8,100-22,275 40% 22,275-89,100 50% 60% >89,100 75%
VFC.N VF Corp USA 0-20,000 5% 20,000-110,000 10% 110,000-440,000 20% 40% >440,000 75%
KMX.N CarMax Inc USA 0-20,000 5% 20,000-110,000 10% 110,000-440,000 20% 40% >440,000 75%
K.N Kellogg Co USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
GOOGL.O Alphabet Inc - A (All Sessions) USA 0-1,500 5% 1,500-8,250 10% 8,250-33,000 20% 40% >33,000 75%
XEC.N Cimarex Energy Co USA 0-9,000 10% 9,000-49,500 20% 49,500-198,000 35% 45% >198,000 75%
TSLA.O Tesla Motors Inc (All Sessions) USA 0-6,000 10% 6,000-33,000 20% 33,000-132,000 35% 45% >132,000 75%
HCP.N HCP Inc USA 0-30,000 5% 30,000-165,000 10% 165,000-660,000 20% 40% >660,000 75%
BLL.N Ball Corp USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
AER.N AerCap Holdings NV USA 0-16,217 10% 16,217-44,596 20% 44,596-178,387 35% 45% >178,387 75%
MYL.O Mylan Inc USA 0-30,000 5% 30,000-165,000 10% 165,000-660,000 20% 40% >660,000 75%
BBL.N BHP Billiton PLC - ADR USA 0-24,353 10% 24,353-146,118 20% 146,118-487,060 35% 45% >487,060 75%
DUK.N Duke Energy Corp USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
LMT.N Lockheed Martin Corp USA 0-5,000 5% 5,000-27,500 10% 27,500-110,000 20% 40% >110,000 75%
NVS.N Novartis AG - ADR USA 0-8,137 10% 8,137-48,822 20% 48,822-162,740 35% 45% >162,740 75%
ACIA.O Acacia Communications Inc USA 0-5,440 25% 5,440-14,960 40% 14,960-59,840 50% 60% >59,840 75%
ALLY.N Ally Financial Inc USA 0-32,662 10% 32,662-89,820 20% 89,820-359,282 35% 45% >359,282 75%
FITB.O Fifth Third Bancorp USA 0-60,000 5% 60,000-330,000 10% 330,000-1,320,000 20% 40% >1,320,000 75%
FIS.N Fidelity National Information Services Inc USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
REGN.O Regeneron Pharmaceuticals Inc USA 0-3,000 5% 3,000-16,500 10% 16,500-66,000 20% 40% >66,000 75%
MJN.N Mead Johnson Nutrition Co USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
CMI.N Cummins Inc USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
ITW.N Illinois Tool Works Inc USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
JNJ.N Johnson & Johnson (All Sessions) USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
TSO.N Tesoro Corp USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
PSX.N Phillips 66 USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
CSC.N Computer Sciences Corp USA 0-13,697 10% 13,697-37,666 20% 37,666-150,667 35% 45% >150,667 75%
LYB.N LyondellBasell Industries NV USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
AGN.N Allergan Plc USA 0-5,000 10% 5,000-27,500 20% 27,500-110,000 35% 45% >110,000 75%
WNR.N Western Refining Inc USA 0-24,703 10% 24,703-67,933 20% 67,933-271,733 35% 45% >271,733 75%
DFS.N Discover Financial Services USA 0-20,000 5% 20,000-110,000 10% 110,000-440,000 20% 40% >440,000 75%
DHR.N Danaher Corp USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
GPS.N Gap Inc USA 0-50,000 5% 50,000-275,000 10% 275,000-1,100,000 20% 40% >1,100,000 75%
CRZO.O Carrizo Oil & Gas Inc USA 0-16,500 10% 16,500-45,375 20% 45,375-181,500 35% 45% >181,500 75%
AG.N First Majestic Silver Corp (US) USA 0-89,000 10% 89,000-244,750 20% 244,750-979,000 35% 45% >979,000 75%
SNY.N Sanofi - ADR USA 0-16,512 10% 16,512-99,072 20% 99,072-330,240 35% 45% >330,240 75%
STJ.N St Jude Medical Inc USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
AIG.N American International Group Inc (All Sessions) USA 0-20,000 5% 20,000-110,000 10% 110,000-440,000 20% 40% >440,000 75%
TRV.N Travelers Cos Inc (All Sessions) USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
VER Vereit Inc USA 0-60,771 10% 60,771-167,120 20% 167,120-668,481 35% 45% >668,481 75%
DKS.N Dick's Sporting Goods Inc USA 0-11,079 10% 11,079-30,467 20% 30,467-121,869 35% 45% >121,869 75%
SLB.N Schlumberger Ltd (All Sessions) USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
LLY.N Eli Lilly & Co USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
PRU.N Prudential Financial Inc USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
AMZN.O Amazon.com Inc (All Sessions) USA 0-1,500 5% 1,500-8,250 10% 8,250-33,000 20% 40% >33,000 75%
GPOR.O Gulfport Energy Corp USA 0-22,241 10% 22,241-61,162 20% 61,162-244,651 35% 45% >244,651 75%
HCN.N Health Care REIT Inc USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
GILD.O Gilead Sciences Inc (All Sessions) USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
WAB.N Wabtec Corp USA 0-8,368 10% 8,368-23,012 20% 23,012-92,048 35% 45% >92,048 75%
HCA.N HCA Holdings Inc USA 0-15,000 10% 15,000-82,500 20% 82,500-330,000 35% 45% >330,000 75%
GOOG.O Alphabet Inc - C (All Sessions) USA 0-1,500 5% 1,500-8,250 10% 8,250-33,000 20% 40% >33,000 75%
LEA.N Lear Corp USA 0-5,591 10% 5,591-15,375 20% 15,375-61,501 35% 45% >61,501 75%
LLTC.O Linear Technology Corp USA 0-20,000 5% 20,000-110,000 10% 110,000-440,000 20% 40% >440,000 75%
MCD.N McDonald's Corp (All Sessions) USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
CDNS.O Cadence Design Systems Inc USA 0-25,169 10% 25,169-69,214 20% 69,214-276,859 35% 45% >276,859 75%
AMT.N American Tower Corp USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
CTSH.O Cognizant Technology Solutions Corp USA 0-20,000 5% 20,000-110,000 10% 110,000-440,000 20% 40% >440,000 75%
TDG.N TransDigm Group Inc USA 0-4,000 5% 4,000-22,000 10% 22,000-88,000 20% 40% >88,000 75%
DATA.K Tableau Software Inc USA 0-11,208 10% 11,208-30,822 20% 30,822-123,288 35% 45% >123,288 75%
Q.N Quintiles Transnational Holdings Inc USA 0-8,416 10% 8,416-23,144 20% 23,144-92,576 35% 45% >92,576 75%
AET.N Aetna Inc USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
EW.N Edwards Lifesciences Corp USA 0-10,000 5% 10,000-55,000 10% 55,000-220,000 20% 40% >220,000 75%
WCN.N Waste Connections Inc USA 0-8,423 10% 8,423-23,163 20% 23,163-92,653 35% 45% >92,653 75%
TJX.N TJX Cos Inc USA 0-15,000 5% 15,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
SABR.O Sabre Corp USA 0-22,517 10% 22,517-61,921 20% 61,921-247,687 35% 45% >247,687 75%
ITC.N ITC Holdings Corp USA 0-14,077 10% 14,077-38,711 20% 38,711-154,847 35% 45% >154,847 75%
OXY.N Occidental Petroleum Corp USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
COH.N Coach Inc USA 0-30,000 5% 30,000-172,500 10% 172,500-690,000 20% 40% >690,000 75%
QIHU.K Qihoo 360 Technology Co Ltd - ADR USA 0-8,501 10% 8,501-23,377 20% 23,377-93,511 35% 45% >93,511 75%
SYK.N Stryker Corp USA 0-10,000 5% 10,000-57,500 10% 57,500-230,000 20% 40% >230,000 75%
HOT.N Starwood Hotels & Resorts Worldwide Inc USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
ACN.N Accenture PLC USA 0-10,000 5% 10,000-57,500 10% 57,500-230,000 20% 40% >230,000 75%
INFY.K Infosys Ltd - ADR USA 0-39,774 10% 39,774-238,644 20% 238,644-795,480 35% 45% >795,480 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 67 of 103
PCAR.O PACCAR Inc USA 0-20,000 5% 20,000-115,000 10% 115,000-460,000 20% 40% >460,000 75%
NOW.N ServiceNow Inc USA 0-8,541 10% 8,541-23,487 20% 23,487-93,951 35% 45% >93,951 75%
DNR.N Denbury Resources Inc USA 0-199,359 25% 199,359-548,237 40% 548,237-2,192,949 50% 60% >2,192,949 75%
IDXX.O IDEXX Laboratories Inc USA 0-5,697 10% 5,697-15,666 20% 15,666-62,667 35% 45% >62,667 75%
NVO.N Novo Nordisk AS - ADR USA 0-7,100 10% 7,100-42,600 20% 42,600-142,000 35% 45% >142,000 75%
GPN.N Global Payments Inc USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
FRC First Republic Bank USA 0-8,567 10% 8,567-23,559 20% 23,559-94,237 35% 45% >94,237 75%
DEO.N Diageo PLC - ADR USA 0-5,716 10% 5,716-34,296 20% 34,296-114,320 35% 45% >114,320 75%
HON.N Honeywell International Inc USA 0-10,000 5% 10,000-57,500 10% 57,500-230,000 20% 40% >230,000 75%
BERY.K Berry Plastics Group Inc USA 0-14,324 10% 14,324-39,391 20% 39,391-157,564 35% 45% >157,564 75%
ED.N Consolidated Edison Inc USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
GWW.N Grainger (WW) Inc USA 0-5,000 5% 5,000-28,750 10% 28,750-115,000 20% 40% >115,000 75%
CIEN.N Ciena Corp USA 0-28,742 10% 28,742-79,040 20% 79,040-316,162 35% 45% >316,162 75%
EXPE.O Expedia Inc USA 0-10,000 5% 10,000-57,500 10% 57,500-230,000 20% 40% >230,000 75%
CTL.N CenturyLink Inc USA 0-40,000 5% 40,000-230,000 10% 230,000-920,000 20% 40% >920,000 75%
EQIX.O Equinix Inc USA 0-3,000 5% 3,000-17,250 10% 17,250-69,000 20% 40% >69,000 75%
LOW.N Lowe's Cos Inc USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
COO.N Cooper Cos Inc USA 0-3,467 10% 3,467-10,401 20% 10,401-41,604 35% 45% >41,604 75%
SPGI.N S&P Global Inc USA 0-9,000 5% 9,000-51,750 10% 51,750-207,000 20% 40% >207,000 75%
D.N Dominion Resources Inc USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
ARRS.O ARRIS Group Inc USA 0-23,163 10% 23,163-69,489 20% 69,489-277,956 35% 45% >277,956 75%
TSN.N Tyson Foods Inc USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
CRM.N Salesforce.com Inc USA 0-15,000 5% 15,000-86,250 10% 86,250-345,000 20% 40% >345,000 75%
DHI.N DR Horton Inc USA 0-35,000 5% 35,000-201,250 10% 201,250-805,000 20% 40% >805,000 75%
INTU.O Intuit Inc USA 0-10,000 5% 10,000-57,500 10% 57,500-230,000 20% 40% >230,000 75%
MNK.N MallInckrodt PLC USA 0-15,000 10% 15,000-86,250 20% 86,250-345,000 35% 45% >345,000 75%
INGR.K Ingredion Inc USA 0-4,682 10% 4,682-14,046 20% 14,046-56,184 35% 45% >56,184 75%
SRC.N Spirit Realty Capital Inc USA 0-47,110 10% 47,110-141,330 20% 141,330-565,320 35% 45% >565,320 75%
LBTYK.O Liberty Global PLC - C USA 0-35,000 5% 35,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
FTNT.O Fortinet Inc USA 0-17,672 10% 17,672-53,016 20% 53,016-212,064 35% 45% >212,064 75%
TTM.N Tata Motors Ltd - ADR USA 0-14,764 10% 14,764-88,584 20% 88,584-295,280 35% 45% >295,280 75%
NRG.N NRG Energy Inc USA 0-90,000 10% 90,000-540,000 20% 540,000-2,160,000 35% 45% >2,160,000 75%
EIX.N Edison International USA 0-15,000 5% 15,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
ECL.N Ecolab Inc USA 0-9,000 5% 9,000-54,000 10% 54,000-216,000 20% 40% >216,000 75%
SWK.N Stanley Black & Decker Inc USA 0-9,000 5% 9,000-54,000 10% 54,000-216,000 20% 40% >216,000 75%
AFL.N Aflac Inc USA 0-15,000 5% 15,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
TS.N Tenaris SA - ADR USA 0-23,726 10% 23,726-142,356 20% 142,356-474,520 35% 45% >474,520 75%
IVZ.N Invesco Ltd USA 0-35,000 5% 35,000-210,000 10% 210,000-840,000 20% 40% >840,000 75%
ESV.N Ensco PLC USA 0-89,087 10% 89,087-267,261 20% 267,261-1,069,044 35% 45% >1,069,044 75%
WR.N Westar Energy Inc USA 0-11,884 10% 11,884-35,652 20% 35,652-142,608 35% 45% >142,608 75%
OC.N Owens Corning USA 0-11,893 10% 11,893-35,679 20% 35,679-142,716 35% 45% >142,716 75%
GSK.N GlaxoSmithKline PLC - ADR USA 0-25,000 5% 25,000-150,000 10% 150,000-500,000 20% 40% >500,000 75%
UPS.N United Parcel Service Inc USA 0-10,000 5% 10,000-60,000 10% 60,000-240,000 20% 40% >240,000 75%
SKX.N Skechers U.S.A. Inc USA 0-26,887 10% 26,887-80,661 20% 80,661-322,644 35% 45% >322,644 75%
N.N NetSuite Inc USA 0-5,983 10% 5,983-17,949 20% 17,949-71,796 35% 45% >71,796 75%
HRB.N Block (H&R) Inc USA 0-50,000 10% 50,000-300,000 20% 300,000-1,200,000 35% 45% >1,200,000 75%
HAIN.O Hain Celestial Group Inc USA 0-17,984 10% 17,984-53,952 20% 53,952-215,808 35% 45% >215,808 75%
ALNY.O Alnylam Pharmaceuticals Inc USA 0-9,015 25% 9,015-27,045 40% 27,045-108,180 50% 60% >108,180 75%
EQT.N EQT Corp USA 0-15,000 5% 15,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
BHP.N BHP Billiton Ltd - ADR USA 0-35,000 5% 35,000-210,000 10% 210,000-700,000 20% 40% >700,000 75%
RIO.N Rio Tinto PLC - ADR USA 0-35,000 5% 35,000-210,000 10% 210,000-700,000 20% 40% >700,000 75%
MLM.N Martin Marietta Materials Inc USA 0-6,000 5% 6,000-36,000 10% 36,000-144,000 20% 40% >144,000 75%
AAPL.O Apple Inc (All Sessions) USA 0-10,000 5% 10,000-60,000 10% 60,000-240,000 20% 40% >240,000 75%
AYI.N Acuity Brands Inc USA 0-4,000 5% 4,000-24,000 10% 24,000-96,000 20% 40% >96,000 75%
SIVB.O SVB Financial Group USA 0-6,043 10% 6,043-18,129 20% 18,129-72,516 35% 45% >72,516 75%
AKAM.O Akamai Technologies Inc USA 0-20,000 5% 20,000-120,000 10% 120,000-480,000 20% 40% >480,000 75%
ENB.N Enbridge Inc USA 0-24,700 5% 24,700-148,200 10% 148,200-592,800 20% 40% >592,800 75%
CFR.N Cullen/Frost Bankers Inc USA 0-9,088 10% 9,088-27,264 20% 27,264-109,056 35% 45% >109,056 75%
AVB.N AvalonBay Communities Inc USA 0-6,000 5% 6,000-36,000 10% 36,000-144,000 20% 40% >144,000 75%
NYCB.K New York Community Bancorp Inc USA 0-42,461 10% 42,461-127,383 20% 127,383-509,532 35% 45% >509,532 75%
XLNX.O Xilinx Inc USA 0-20,000 5% 20,000-120,000 10% 120,000-480,000 20% 40% >480,000 75%
EAT.N Brinker International Inc USA 0-12,179 10% 12,179-36,537 20% 36,537-146,148 35% 45% >146,148 75%
PEP.N PepsiCo Inc USA 0-10,000 5% 10,000-60,000 10% 60,000-240,000 20% 40% >240,000 75%
ABMD.O ABIOMED Inc USA 0-5,493 10% 5,493-16,479 20% 16,479-65,916 35% 45% >65,916 75%
CELG.O Celgene Corp USA 0-10,000 5% 10,000-60,000 10% 60,000-240,000 20% 40% >240,000 75%
MMP.N Magellan Midstream Partners LP USA 0-9,173 10% 9,173-27,519 20% 27,519-110,076 35% 45% >110,076 75%
CME.O CME Group Inc USA 0-10,000 5% 10,000-60,000 10% 60,000-240,000 20% 40% >240,000 75%
PPG.N PPG Industries Inc USA 0-10,000 5% 10,000-62,500 10% 62,500-250,000 20% 40% >250,000 75%
SBAC.O SBA Communications Corp USA 0-9,000 5% 9,000-56,250 10% 56,250-225,000 20% 40% >225,000 75%
MON.N Monsanto Co USA 0-10,000 5% 10,000-62,500 10% 62,500-250,000 20% 40% >250,000 75%
ALK.N Alaska Air Group Inc USA 0-15,000 5% 15,000-93,750 10% 93,750-375,000 20% 40% >375,000 75%
SRE.N Sempra Energy USA 0-10,000 5% 10,000-62,500 10% 62,500-250,000 20% 40% >250,000 75%
PEG.N Public Service Enterprise Group Inc USA 0-25,000 5% 25,000-156,250 10% 156,250-625,000 20% 40% >625,000 75%
XEL.N Xcel Energy Inc USA 0-25,000 5% 25,000-156,250 10% 156,250-625,000 20% 40% >625,000 75%
TAP.N Molson Coors Brewing Co USA 0-10,000 5% 10,000-62,500 10% 62,500-250,000 20% 40% >250,000 75%
ALR.N Alere Inc USA 0-15,440 15% 15,440-46,320 25% 46,320-185,280 40% 55% >185,280 75%
UTX.N United Technologies Corp (All Sessions) USA 0-10,000 5% 10,000-62,500 10% 62,500-250,000 20% 40% >250,000 75%
MAS.N Masco Corp USA 0-30,000 5% 30,000-187,500 10% 187,500-750,000 20% 40% >750,000 75%
VAL.N Valspar Corp USA 0-6,179 10% 6,179-18,537 20% 18,537-74,148 35% 45% >74,148 75%
LDOS.K Leidos Holdings Inc USA 0-15,509 10% 15,509-46,527 20% 46,527-186,108 35% 45% >186,108 75%
IONS.O Ionis Pharmaceuticals Inc USA 0-21,717 10% 21,717-65,151 20% 65,151-260,604 35% 45% >260,604 75%
TRI.N Thomson Reuters Corp (US) USA 0-15,524 10% 15,524-93,144 20% 93,144-310,480 35% 45% >310,480 75%
RL.N Ralph Lauren Corp USA 0-10,000 5% 10,000-62,500 10% 62,500-250,000 20% 40% >250,000 75%
TIF.N Tiffany & Co USA 0-15,000 5% 15,000-93,750 10% 93,750-375,000 20% 40% >375,000 75%
CDE.N Coeur Mining Inc USA 0-43,768 10% 43,768-142,246 20% 142,246-568,984 35% 45% >568,984 75%
ALL.N Allstate Corp USA 0-15,000 5% 15,000-93,750 10% 93,750-375,000 20% 40% >375,000 75%
PWR.N Quanta Services Inc USA 0-40,000 10% 40,000-250,000 20% 250,000-1,000,000 35% 45% >1,000,000 75%
NNN.N National Retail Properties Inc USA 0-12,575 10% 12,575-40,868 20% 40,868-163,475 35% 45% >163,475 75%
PF.N Pinnacle Foods Inc USA 0-12,621 10% 12,621-41,018 20% 41,018-164,073 35% 45% >164,073 75%
CLX.N Clorox Co USA 0-8,000 5% 8,000-50,000 10% 50,000-200,000 20% 40% >200,000 75%
HUN.N Huntsman Corp USA 0-37,885 10% 37,885-123,126 20% 123,126-492,505 35% 45% >492,505 75%
CRUS.O Cirrus Logic Inc USA 0-12,665 10% 12,665-41,161 20% 41,161-164,645 35% 45% >164,645 75%
GGP.N General Growth Properties Inc USA 0-35,000 5% 35,000-218,750 10% 218,750-875,000 20% 40% >875,000 75%
BTI.P British American Tobac Company PLC USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
ADSK.O Autodesk Inc USA 0-15,000 5% 15,000-93,750 10% 93,750-375,000 20% 40% >375,000 75%
CWEI.K Clayton Williams Energy Inc USA 0-9,568 20% 9,568-57,408 30% 57,408-162,656 50% 60% >162,656 75%
OLN.N Olin Corp USA 0-31,913 10% 31,913-103,717 20% 103,717-414,869 35% 45% >414,869 75%
DWA.O DreamWorks Animation SKG Inc USA 0-15,960 10% 15,960-95,760 20% 95,760-319,200 35% 45% >319,200 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 68 of 103
MMC.N Marsh & McLennan Cos Inc USA 0-15,000 5% 15,000-97,500 10% 97,500-390,000 20% 40% >390,000 75%
O.N Realty Income Corp USA 0-15,000 10% 15,000-97,500 20% 97,500-390,000 35% 45% >390,000 75%
R.N Ryder System Inc USA 0-15,000 10% 15,000-97,500 20% 97,500-390,000 35% 45% >390,000 75%
DB.N Deutsche Bank AG - ADR USA 0-69,900 5% 69,900-454,350 10% 454,350-1,398,000 20% 40% >1,398,000 75%
DISH.O DISH Network Corp USA 0-20,000 5% 20,000-130,000 10% 130,000-520,000 20% 40% >520,000 75%
RMD.N ResMed Inc (US) USA 0-9,673 10% 9,673-31,437 20% 31,437-125,749 35% 45% >125,749 75%
FDC First Data Corp USA 0-45,158 10% 45,158-146,763 20% 146,763-587,054 35% 45% >587,054 75%
AMSG.O Amsurg Corp USA 0-9,680 10% 9,680-31,460 20% 31,460-125,840 35% 45% >125,840 75%
AXTA.K Axalta Coating Systems Ltd USA 0-22,595 10% 22,595-73,433 20% 73,433-293,735 35% 45% >293,735 75%
BRX Brixmor Property Group Inc USA 0-22,626 10% 22,626-73,534 20% 73,534-294,138 35% 45% >294,138 75%
HTZ Hertz Global Holdings Inc USA 0-12,938 20% 12,938-42,048 30% 42,048-168,194 50% 60% >168,194 75%
AON.N Aon PLC USA 0-9,000 5% 9,000-58,500 10% 58,500-234,000 20% 40% >234,000 75%
MRVL.O Marvell Technology Group Ltd USA 0-51,773 10% 51,773-168,262 20% 168,262-673,049 35% 45% >673,049 75%
AMP.N Ameriprise Financial Inc USA 0-10,000 5% 10,000-65,000 10% 65,000-260,000 20% 40% >260,000 75%
IR.N Ingersoll-Rand PLC USA 0-15,000 5% 15,000-97,500 10% 97,500-390,000 20% 40% >390,000 75%
VOYA.K ING US Inc USA 0-22,752 10% 22,752-73,944 20% 73,944-295,776 35% 45% >295,776 75%
EVHC.N Envision Healthcare Holdings Inc USA 0-29,296 10% 29,296-95,212 20% 95,212-380,848 35% 45% >380,848 75%
SPN.N Superior Energy Services Inc USA 0-39,202 10% 39,202-127,406 20% 127,406-509,626 35% 45% >509,626 75%
NUE.N Nucor Corp USA 0-20,000 5% 20,000-130,000 10% 130,000-520,000 20% 40% >520,000 75%
RSPP.N RSP Permian Inc USA 0-16,380 10% 16,380-53,235 20% 53,235-212,940 35% 45% >212,940 75%
BCS.N Barclays PLC - ADR USA 0-72,094 10% 72,094-432,564 20% 432,564-1,441,880 35% 45% >1,441,880 75%
CLB.N Core Laboratories NV USA 0-5,906 10% 5,906-19,194 20% 19,194-76,778 35% 45% >76,778 75%
AGNC.O American Capital Agency Corp USA 0-32,875 10% 32,875-106,843 20% 106,843-427,375 35% 45% >427,375 75%
FE.N FirstEnergy Corp USA 0-30,000 5% 30,000-195,000 10% 195,000-780,000 20% 40% >780,000 75%
WUBA.N 58.com Inc USA 0-13,172 10% 13,172-42,809 20% 42,809-171,236 35% 45% >171,236 75%
BMO.N Bank of Montreal USA 0-14,800 10% 14,800-96,200 20% 96,200-384,800 35% 45% >384,800 75%
PVH.N PVH Corp USA 0-9,000 5% 9,000-58,500 10% 58,500-234,000 20% 40% >234,000 75%
MCO.N Moody's Corp USA 0-9,000 5% 9,000-58,500 10% 58,500-234,000 20% 40% >234,000 75%
HSY.N Hershey Co USA 0-10,000 5% 10,000-65,000 10% 65,000-260,000 20% 40% >260,000 75%
GLNG.O Golar LNG Ltd (US) USA 0-29,700 25% 29,700-96,525 40% 96,525-386,100 50% 60% >386,100 75%
DRE.N Duke Realty Corp USA 0-23,097 10% 23,097-75,065 20% 75,065-300,261 35% 45% >300,261 75%
HBAN.O Huntington Bancshares Inc USA 0-100,000 5% 100,000-650,000 10% 650,000-2,600,000 20% 40% >2,600,000 75%
EQR.N Equity Residential USA 0-15,000 5% 15,000-101,250 10% 101,250-405,000 20% 40% >405,000 75%
MAT.O Mattel Inc USA 0-30,000 5% 30,000-202,500 10% 202,500-810,000 20% 40% >810,000 75%
LH.N Laboratory Corp of America Holdings USA 0-7,000 5% 7,000-47,250 10% 47,250-189,000 20% 40% >189,000 75%
TREE.O LendingTree Inc USA 0-6,661 10% 6,661-39,966 20% 39,966-133,220 35% 45% >133,220 75%
SWHC.O Smith & Wesson Holding Corp USA 0-23,328 10% 23,328-75,816 20% 75,816-303,264 35% 45% >303,264 75%
SJM.N JM Smucker Co USA 0-7,000 5% 7,000-47,250 10% 47,250-189,000 20% 40% >189,000 75%
BAP.N Credicorp Ltd USA 0-4,012 10% 4,012-24,072 20% 24,072-52,156 35% 45% >52,156 75%
PBCT.O People's United Financial Inc USA 0-60,000 10% 60,000-405,000 20% 405,000-1,620,000 35% 45% >1,620,000 75%
RE.N Everest Re Group Ltd USA 0-3,351 10% 3,351-20,106 20% 20,106-43,563 35% 45% >43,563 75%
CERN.O Cerner Corp USA 0-15,000 5% 15,000-101,250 10% 101,250-405,000 20% 40% >405,000 75%
OZRK.O Bank of the Ozarks Inc USA 0-16,775 10% 16,775-100,650 20% 100,650-218,075 35% 45% >218,075 75%
STMP.O Stamps.com Inc USA 0-6,713 10% 6,713-40,278 20% 40,278-87,269 35% 45% >87,269 75%
LC LendingClub Corp USA 0-20,000 15% 20,000-120,000 25% 120,000-260,000 40% 55% >260,000 75%
CRI.N Carter's Inc USA 0-6,728 10% 6,728-40,368 20% 40,368-87,464 35% 45% >87,464 75%
EXAS.O Exact Sciences Corp USA 0-33,700 25% 33,700-202,200 40% 202,200-438,100 50% 60% >438,100 75%
LII.N Lennox International Inc USA 0-4,038 10% 4,038-24,228 20% 24,228-52,494 35% 45% >52,494 75%
FQVLF.PK First Quantum Minerals Ltd USA 0-120,100 10% 120,100-810,675 20% 810,675-3,242,700 35% 45% >3,242,700 75%
KSU.N Kansas City Southern USA 0-10,000 5% 10,000-67,500 10% 67,500-270,000 20% 40% >270,000 75%
HOLX.O Hologic Inc USA 0-25,000 20% 25,000-168,750 30% 168,750-675,000 50% 60% >675,000 75%
CE.N Celanese Corp USA 0-10,156 10% 10,156-60,936 20% 60,936-142,184 35% 45% >142,184 75%
ST.N Sensata Technologies Holding NV USA 0-16,966 10% 16,966-101,796 20% 101,796-237,524 35% 45% >237,524 75%
ALGN.O Align Technology Inc USA 0-6,790 10% 6,790-40,740 20% 40,740-95,060 35% 45% >95,060 75%
CNI.N Canadian National Railway Co (US) USA 0-14,800 5% 14,800-99,900 10% 99,900-399,600 20% 40% >399,600 75%
WM.N Waste Management Inc USA 0-15,000 5% 15,000-101,250 10% 101,250-405,000 20% 40% >405,000 75%
AOS.N AO Smith Corp USA 0-6,814 10% 6,814-40,884 20% 40,884-95,396 35% 45% >95,396 75%
MFRM.O Mattress Firm Holding Corp USA 0-10,226 25% 10,226-61,356 40% 61,356-143,164 50% 60% >143,164 75%
SBNY.O Signature Bank/New York NY USA 0-5,464 10% 5,464-32,784 20% 32,784-76,496 35% 45% >76,496 75%
HDS.O HD Supply Holdings Inc USA 0-20,511 10% 20,511-123,066 20% 123,066-287,154 35% 45% >287,154 75%
ARMK.K Aramark USA 0-17,113 10% 17,113-102,678 20% 102,678-239,582 35% 45% >239,582 75%
MAA.N Mid-America Apartment Communities Inc USA 0-6,847 10% 6,847-41,082 20% 41,082-95,858 35% 45% >95,858 75%
ASH.N Ashland Inc USA 0-5,480 10% 5,480-32,880 20% 32,880-76,720 35% 45% >76,720 75%
EXEL.O Exelixis Inc USA 0-54,857 25% 54,857-329,142 40% 329,142-767,998 50% 60% >767,998 75%
MKL.N Markel Corp USA 0-686 10% 686-4,116 20% 4,116-9,604 35% 45% >9,604 75%
ALKS.O Alkermes PLC USA 0-13,737 25% 13,737-82,422 40% 82,422-192,318 50% 60% >192,318 75%
HRL.N Hormel Foods Corp USA 0-25,000 5% 25,000-168,750 10% 168,750-675,000 20% 40% >675,000 75%
OHI.N Omega Healthcare Investors Inc USA 0-17,198 10% 17,198-103,188 20% 103,188-240,772 35% 45% >240,772 75%
TEL.N TE Connectivity Ltd USA 0-15,000 5% 15,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
LEN.N Lennar Corp USA 0-20,000 5% 20,000-140,000 10% 140,000-560,000 20% 40% >560,000 75%
DRI.N Darden Restaurants Inc USA 0-15,000 5% 15,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
HP.N Helmerich & Payne Inc USA 0-15,000 5% 15,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
SERV.N ServiceMaster Global Holdings Inc USA 0-17,354 10% 17,354-104,124 20% 104,124-242,956 35% 45% >242,956 75%
TFX.N Teleflex Inc USA 0-3,474 10% 3,474-20,844 20% 20,844-48,636 35% 45% >48,636 75%
CMA.N Comerica Inc USA 0-20,000 5% 20,000-140,000 10% 140,000-560,000 20% 40% >560,000 75%
LNC.N LIncoln National Corp USA 0-20,000 5% 20,000-140,000 10% 140,000-560,000 20% 40% >560,000 75%
TDC.N Teradata Corp USA 0-30,000 10% 30,000-210,000 20% 210,000-840,000 35% 45% >840,000 75%
DPS.N Dr Pepper Snapple Group Inc USA 0-10,000 5% 10,000-70,000 10% 70,000-280,000 20% 40% >280,000 75%
THS TreeHouse Foods Inc USA 0-6,999 10% 6,999-41,994 20% 41,994-97,986 35% 45% >97,986 75%
TRIP.O TripAdvisor Inc USA 0-15,000 5% 15,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
BC.N Brunswick Corp USA 0-14,053 10% 14,053-84,318 20% 84,318-196,742 35% 45% >196,742 75%
IDTI.O Integrated Device Technology Inc USA 0-31,711 10% 31,711-190,266 20% 190,266-443,954 35% 45% >443,954 75%
BBBY.O Bed Bath & Beyond Inc USA 0-20,000 5% 20,000-140,000 10% 140,000-560,000 20% 40% >560,000 75%
DDD.N 3D Systems Corp USA 0-42,323 10% 42,323-253,938 20% 253,938-592,522 35% 45% >592,522 75%
PAYX.O Paychex Inc USA 0-15,000 5% 15,000-105,000 10% 105,000-420,000 20% 40% >420,000 75%
FLEX.O Flextronics International Ltd USA 0-49,726 10% 49,726-298,356 20% 298,356-696,164 35% 45% >696,164 75%
XRAY.O DENTSPLY International Inc USA 0-15,000 10% 15,000-108,750 20% 108,750-435,000 35% 45% >435,000 75%
CAG.N ConAgra Foods Inc USA 0-20,000 5% 20,000-145,000 10% 145,000-580,000 20% 40% >580,000 75%
KITE.O Kite Pharma Inc USA 0-10,698 25% 10,698-64,188 40% 64,188-149,772 50% 60% >149,772 75%
WEC.N Wisconsin Energy Corp USA 0-15,000 5% 15,000-108,750 10% 108,750-435,000 20% 40% >435,000 75%
ARE Alexandria Real Estate Equities Inc USA 0-5,709 10% 5,709-34,254 20% 34,254-79,926 35% 45% >79,926 75%
SPR.N Spirit Aerosystems Holdings Inc USA 0-14,277 10% 14,277-85,662 20% 85,662-199,878 35% 45% >199,878 75%
WCG.N WellCare Health Plans Inc USA 0-5,711 10% 5,711-34,266 20% 34,266-79,954 35% 45% >79,954 75%
BEN.N Franklin Resources Inc USA 0-25,000 5% 25,000-181,250 10% 181,250-725,000 20% 40% >725,000 75%
BRCD.O Brocade Communications Systems Inc USA 0-71,857 10% 71,857-431,142 20% 431,142-1,005,998 35% 45% >1,005,998 75%
FDS.N FactSet Research Systems Inc USA 0-3,604 10% 3,604-21,624 20% 21,624-50,456 35% 45% >50,456 75%
VOD.O Vodafone Group PLC - ADR USA 0-30,000 5% 30,000-217,500 10% 217,500-600,000 20% 40% >600,000 75%
NUS.N Nu Skin Enterprises Inc USA 0-10,847 10% 10,847-65,082 20% 65,082-151,858 35% 45% >151,858 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 69 of 103
VMC.N Vulcan Materials Co USA 0-8,000 5% 8,000-58,000 10% 58,000-232,000 20% 40% >232,000 75%
ZAYO.K Zayo Group Holdings Inc USA 0-21,767 10% 21,767-130,602 20% 130,602-326,505 35% 45% >326,505 75%
FLTX.K FleetMatics Group PLC USA 0-10,900 15% 10,900-65,400 25% 65,400-163,500 40% 55% >163,500 75%
WLTW.O Willis Towers Watson PLC USA 0-7,000 5% 7,000-50,750 10% 50,750-203,000 20% 40% >203,000 75%
SNPS.O Synopsys Inc USA 0-10,911 10% 10,911-65,466 20% 65,466-163,665 35% 45% >163,665 75%
ELLI.K Ellie Mae Inc USA 0-6,551 10% 6,551-39,306 20% 39,306-98,265 35% 45% >98,265 75%
CF.N CF Industries Holdings Inc USA 0-35,000 10% 35,000-253,750 20% 253,750-1,015,000 35% 45% >1,015,000 75%
CDK.O CDK Global Inc USA 0-10,997 10% 10,997-65,982 20% 65,982-164,955 35% 45% >164,955 75%
EDU.N New Oriental Education & Technology Group - ADR USA 0-14,681 10% 14,681-88,086 20% 88,086-220,215 35% 45% >220,215 75%
MSCI.K MSCI Inc USA 0-7,342 10% 7,342-44,052 20% 44,052-110,130 35% 45% >110,130 75%
XPO.N XPO Logistics Inc USA 0-18,414 10% 18,414-110,484 20% 110,484-276,210 35% 45% >276,210 75%
NTAP.O NetApp Inc USA 0-25,000 5% 25,000-187,500 10% 187,500-750,000 20% 40% >750,000 75%
BKD.N Brookdale Senior Living Inc USA 0-36,901 15% 36,901-221,406 25% 221,406-553,515 40% 55% >553,515 75%
SYT.N Syngenta AG - ADR USA 0-7,383 10% 7,383-44,298 20% 44,298-147,660 35% 45% >147,660 75%
MIDD.O Middleby Corp USA 0-5,176 10% 5,176-31,056 20% 31,056-77,640 35% 45% >77,640 75%
PAAS.O Pan American Silver Corp USA 0-33,328 10% 33,328-199,968 20% 199,968-666,560 35% 45% >666,560 75%
EL.N Estee Lauder Cos Inc USA 0-10,000 5% 10,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
HL.N Hecla Mining Co USA 0-103,793 10% 103,793-622,758 20% 622,758-1,556,895 35% 45% >1,556,895 75%
NAVI.O Navient Corp USA 0-60,000 10% 60,000-450,000 20% 450,000-1,800,000 35% 45% >1,800,000 75%
SWFT.K Swift Transportation Co USA 0-33,362 10% 33,362-200,172 20% 200,172-500,430 35% 45% >500,430 75%
BCR.N CR Bard Inc USA 0-4,000 5% 4,000-30,000 10% 30,000-120,000 20% 40% >120,000 75%
GPK Graphic Packaging Holding Co USA 0-44,787 10% 44,787-268,722 20% 268,722-671,805 35% 45% >671,805 75%
IM.N Ingram Micro Inc USA 0-18,682 10% 18,682-112,092 20% 112,092-280,230 35% 45% >280,230 75%
Z.O Zillow Inc USA 0-18,682 10% 18,682-112,092 20% 112,092-373,640 35% 45% >373,640 75%
PTC.O PTC Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-150,000 50% 60% >150,000 75%
CTXS.O Citrix Systems Inc USA 0-10,000 5% 10,000-75,000 10% 75,000-300,000 20% 40% >300,000 75%
TTWO.O Take-Two Interactive Software Inc USA 0-15,011 10% 15,011-90,066 20% 90,066-225,165 35% 45% >225,165 75%
RJF.N Raymond James Financial Inc USA 0-11,272 10% 11,272-67,632 20% 67,632-169,080 35% 45% >169,080 75%
LM.N Legg Mason Inc USA 0-25,000 10% 25,000-187,500 20% 187,500-750,000 35% 45% >750,000 75%
GLPI.O Gaming and Leisure Properties Inc USA 0-18,811 10% 18,811-112,866 20% 112,866-282,165 35% 45% >282,165 75%
NE.N Noble Corp USA 0-113,327 10% 113,327-679,962 20% 679,962-1,699,905 35% 45% >1,699,905 75%
DY.N Dycom Industries Inc USA 0-7,558 10% 7,558-45,348 20% 45,348-113,370 35% 45% >113,370 75%
PI.O Impinj Inc USA 0-18,898 15% 18,898-70,867 25% 70,867-184,255 40% 55% >184,255 75%
MHK.N Mohawk Industries Inc USA 0-4,000 5% 4,000-30,000 10% 30,000-120,000 20% 40% >120,000 75%
ALV.N Autoliv Inc USA 0-6,058 10% 6,058-36,348 20% 36,348-90,870 35% 45% >90,870 75%
WBC WABCO Holdings Inc USA 0-6,069 10% 6,069-36,414 20% 36,414-91,035 35% 45% >91,035 75%
GRPN.O Groupon Inc USA 0-121,542 10% 121,542-729,252 20% 729,252-1,823,130 35% 45% >1,823,130 75%
BXP.N Boston Properties Inc USA 0-6,000 5% 6,000-45,000 10% 45,000-180,000 20% 40% >180,000 75%
CMS.N CMS Energy Corp USA 0-20,000 5% 20,000-155,000 10% 155,000-620,000 20% 40% >620,000 75%
CPB.N Campbell Soup Co USA 0-15,000 5% 15,000-116,250 10% 116,250-465,000 20% 40% >465,000 75%
MOH Molina Healthcare Inc USA 0-11,484 10% 11,484-68,904 20% 68,904-172,260 35% 45% >172,260 75%
CYBR.O Cyber-Ark Software Ltd/Israel USA 0-11,496 15% 11,496-68,976 25% 68,976-172,440 40% 55% >172,440 75%
VALEp.N Vale SA - Prf - - ADR USA 0-137,953 10% 137,953-827,718 20% 827,718-2,759,060 35% 45% >2,759,060 75%
ULTI.O Ultimate Software Group Inc USA 0-3,067 10% 3,067-18,402 20% 18,402-46,005 35% 45% >46,005 75%
KAR.N KAR Auction Services Inc USA 0-15,342 10% 15,342-92,052 20% 92,052-230,130 35% 45% >230,130 75%
TRN.N Trinity Industries Inc USA 0-26,887 10% 26,887-161,322 20% 161,322-403,305 35% 45% >403,305 75%
MPLX.N MPLX LP USA 0-19,266 10% 19,266-115,596 20% 115,596-288,990 35% 45% >288,990 75%
CASY.O Casey's General Stores Inc USA 0-5,394 10% 5,394-32,364 20% 32,364-80,910 35% 45% >80,910 75%
SDRL.N Seadrill Ltd USA 0-353,500 20% 353,500-2,739,625 30% 2,739,625-7,070,000 50% 60% >7,070,000 75%
CCK.N Crown Holdings Inc USA 0-11,563 10% 11,563-69,378 20% 69,378-173,445 35% 45% >173,445 75%
NCR.N NCR Corp USA 0-19,306 10% 19,306-115,836 20% 115,836-289,590 35% 45% >289,590 75%
FTI.N FMC Technologies Inc USA 0-30,000 5% 30,000-232,500 10% 232,500-930,000 20% 40% >930,000 75%
RDUS.O Radius Health Inc USA 0-11,600 25% 11,600-69,600 40% 69,600-174,000 50% 60% >174,000 75%
FAST.O Fastenal Co USA 0-20,000 5% 20,000-155,000 10% 155,000-620,000 20% 40% >620,000 75%
TM.N Toyota Motor Corp - ADR USA 0-5,415 10% 5,415-32,490 20% 32,490-108,300 35% 45% >108,300 75%
TYL Tyler Technologies Inc USA 0-3,869 10% 3,869-23,214 20% 23,214-58,035 35% 45% >58,035 75%
JLL.N Jones Lang LaSalle Inc USA 0-5,425 10% 5,425-32,550 20% 32,550-86,800 35% 45% >86,800 75%
OSK.N Oshkosh Corp USA 0-11,626 10% 11,626-69,756 20% 69,756-186,016 35% 45% >186,016 75%
PHM.N PulteGroup Inc USA 0-40,000 5% 40,000-310,000 10% 310,000-1,240,000 20% 40% >1,240,000 75%
FFIV.O F5 Networks Inc USA 0-7,000 5% 7,000-54,250 10% 54,250-217,000 20% 40% >217,000 75%
QRVO.O Qorvo Inc USA 0-15,000 10% 15,000-116,250 20% 116,250-465,000 35% 45% >465,000 75%
SNE.N Sony Corp - ADR USA 0-19,554 10% 19,554-117,324 20% 117,324-391,080 35% 45% >391,080 75%
WTM.N White Mountains Insurance Group Ltd USA 0-783 10% 783-3,132 20% 3,132-6,459 35% 45% >6,459 75%
HII.N Huntington Ingalls Industries Inc USA 0-3,928 10% 3,928-23,568 20% 23,568-62,848 35% 45% >62,848 75%
HIG.N Hartford Financial Services Group Inc USA 0-20,000 5% 20,000-160,000 10% 160,000-640,000 20% 40% >640,000 75%
ALB.N Albemarle Corp USA 0-10,000 10% 10,000-80,000 20% 80,000-320,000 35% 45% >320,000 75%
SLG.N SL Green Realty Corp USA 0-7,000 5% 7,000-56,000 10% 56,000-224,000 20% 40% >224,000 75%
LGF.N Lions Gate Entertainment Corp USA 0-31,558 10% 31,558-189,348 20% 189,348-504,928 35% 45% >504,928 75%
FISV.O Fiserv Inc USA 0-8,000 5% 8,000-64,000 10% 64,000-256,000 20% 40% >256,000 75%
INCY.O Incyte Corp Ltd USA 0-10,000 10% 10,000-80,000 20% 80,000-320,000 35% 45% >320,000 75%
ES.N Eversource Energy USA 0-15,000 5% 15,000-120,000 10% 120,000-480,000 20% 40% >480,000 75%
MGA.N Magna International Inc (US) USA 0-19,800 5% 19,800-158,400 10% 158,400-633,600 20% 40% >633,600 75%
SINA.O SINA Corp USA 0-7,955 10% 7,955-47,730 20% 47,730-127,280 35% 45% >127,280 75%
USG.N USG Corp USA 0-23,882 10% 23,882-143,292 20% 143,292-382,112 35% 45% >382,112 75%
REG.N Regency Centers Corp USA 0-7,980 10% 7,980-47,880 20% 47,880-127,680 35% 45% >127,680 75%
JNPR.K Juniper Networks Inc USA 0-35,000 5% 35,000-280,000 10% 280,000-1,120,000 20% 40% >1,120,000 75%
VEEV.K Veeva Systems Inc USA 0-15,972 10% 15,972-95,832 20% 95,832-255,552 35% 45% >255,552 75%
LBTYA.O Liberty Global PLC - A USA 0-25,000 5% 25,000-200,000 10% 200,000-800,000 20% 40% >800,000 75%
SAVE.O Spirit Airlines Inc USA 0-16,019 10% 16,019-64,076 20% 64,076-256,304 35% 45% >256,304 75%
TV.N Grupo Televisa SAB - ADR USA 0-24,031 10% 24,031-96,124 20% 96,124-480,620 35% 45% >480,620 75%
CPT.N Camden Property Trust USA 0-7,211 10% 7,211-28,844 20% 28,844-115,376 35% 45% >115,376 75%
STWD.K Starwood Property Trust Inc USA 0-28,064 10% 28,064-112,256 20% 112,256-449,024 35% 45% >449,024 75%
CNP.N CenterPoint Energy Inc USA 0-35,000 5% 35,000-280,000 10% 280,000-1,120,000 20% 40% >1,120,000 75%
ROK.N Rockwell Automation Inc USA 0-7,000 5% 7,000-56,000 10% 56,000-224,000 20% 40% >224,000 75%
XON Intrexon Corp USA 0-24,075 10% 24,075-96,300 20% 96,300-385,200 35% 45% >385,200 75%
ANET.N Arista Networks Inc USA 0-8,038 10% 8,038-32,152 20% 32,152-128,608 35% 45% >128,608 75%
CAVM.O Cavium Inc USA 0-12,069 10% 12,069-48,276 20% 48,276-193,104 35% 45% >193,104 75%
MTN.N Vail Resorts Inc USA 0-4,023 10% 4,023-16,092 20% 16,092-64,368 35% 45% >64,368 75%
MTB.N M&T Bank Corp USA 0-7,000 5% 7,000-56,000 10% 56,000-224,000 20% 40% >224,000 75%
W.N Wayfair Inc USA 0-16,105 10% 16,105-64,420 20% 64,420-257,680 35% 45% >257,680 75%
EFX.N Equifax Inc USA 0-6,000 5% 6,000-48,000 10% 48,000-192,000 20% 40% >192,000 75%
IPG.N Interpublic Group of Cos Inc USA 0-35,000 5% 35,000-280,000 10% 280,000-1,120,000 20% 40% >1,120,000 75%
ATI.N Allegheny Technologies Inc USA 0-36,327 10% 36,327-145,308 20% 145,308-581,232 35% 45% >581,232 75%
PGR.N Progressive Corp USA 0-25,000 5% 25,000-200,000 10% 200,000-800,000 20% 40% >800,000 75%
KGC.N Kinross Gold Corp USA 0-178,200 5% 178,200-1,425,600 10% 1,425,600-5,702,400 20% 40% >5,702,400 75%
CPN.N Calpine Corp USA 0-48,725 10% 48,725-194,900 20% 194,900-779,600 35% 45% >779,600 75%
BID.N Sotheby's USA 0-16,282 10% 16,282-65,128 20% 65,128-260,512 35% 45% >260,512 75%
ETR.N Entergy Corp USA 0-10,000 5% 10,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 70 of 103
EXP.N Eagle Materials Inc USA 0-8,150 10% 8,150-32,600 20% 32,600-130,400 35% 45% >130,400 75%
NLSN.K Nielsen Holdings NV USA 0-15,000 5% 15,000-123,750 10% 123,750-495,000 20% 40% >495,000 75%
ACHC.O Acadia Healthcare Co Inc USA 0-12,321 10% 12,321-49,284 20% 49,284-197,136 35% 45% >197,136 75%
BLUE.O Bluebird Bio Inc USA 0-12,400 25% 12,400-52,700 40% 52,700-210,800 50% 60% >210,800 75%
NVRO.K Nevro Corporation USA 0-6,631 25% 6,631-28,181 40% 28,181-112,727 50% 60% >112,727 75%
WBMD.O WebMD Health Corp USA 0-12,441 10% 12,441-52,874 20% 52,874-211,497 35% 45% >211,497 75%
GRA.N WR Grace & Co USA 0-8,305 10% 8,305-35,296 20% 35,296-141,185 35% 45% >141,185 75%
SFM.O Sprouts Farmers Market Inc USA 0-33,226 10% 33,226-141,210 20% 141,210-564,842 35% 45% >564,842 75%
RDC.N Rowan Cos PLC USA 0-49,839 10% 49,839-211,815 20% 211,815-847,263 35% 45% >847,263 75%
ATW.N Atwood Oceanics Inc USA 0-83,087 15% 83,087-353,119 25% 353,119-1,661,740 40% 55% >1,661,740 75%
KBH.N KB Home USA 0-41,596 10% 41,596-176,783 20% 176,783-707,132 35% 45% >707,132 75%
HBI.N Hanesbrands Inc USA 0-30,000 5% 30,000-247,500 10% 247,500-990,000 20% 40% >990,000 75%
KATE.K Kate Spade & Co USA 0-33,311 10% 33,311-141,571 20% 141,571-566,287 35% 45% >566,287 75%
PFPT.O Proofpoint Inc USA 0-8,330 10% 8,330-35,402 20% 35,402-141,610 35% 45% >141,610 75%
ETFC.O E-TRADE Financial Corp USA 0-30,000 5% 30,000-247,500 10% 247,500-990,000 20% 40% >990,000 75%
WLK.N Westlake Chemical Corp USA 0-12,543 10% 12,543-53,307 20% 53,307-213,231 35% 45% >213,231 75%
MSI.N Motorola Solutions Inc USA 0-10,000 5% 10,000-82,500 10% 82,500-330,000 20% 40% >330,000 75%
CONE.O CyrusOne Inc USA 0-12,584 10% 12,584-53,482 20% 53,482-213,928 35% 45% >213,928 75%
ANF.N Abercrombie & Fitch Co USA 0-37,841 10% 37,841-160,824 20% 160,824-756,820 35% 45% >756,820 75%
CHKP.O Check Point Software Technologies Ltd USA 0-10,000 10% 10,000-85,000 20% 85,000-340,000 35% 45% >340,000 75%
ACC.N American Campus Communities Inc USA 0-12,650 10% 12,650-53,762 20% 53,762-215,050 35% 45% >215,050 75%
GT.O Goodyear Tire & Rubber Co USA 0-25,000 5% 25,000-212,500 10% 212,500-850,000 20% 40% >850,000 75%
CPE.N Callon Petroleum Co USA 0-42,296 10% 42,296-179,758 20% 179,758-719,032 35% 45% >719,032 75%
LPI.N Laredo Petroleum Holdings Inc USA 0-50,847 10% 50,847-216,099 20% 216,099-864,399 35% 45% >864,399 75%
YNDX.O Yandex NV USA 0-29,709 10% 29,709-126,263 20% 126,263-505,053 35% 45% >505,053 75%
RHI.N Robert Half International Inc USA 0-20,000 10% 20,000-170,000 20% 170,000-660,000 35% 45% >660,000 75%
DDR.N DDR Corp USA 0-34,075 10% 34,075-144,818 20% 144,818-579,275 35% 45% >579,275 75%
YY.O YY Inc - ADR USA 0-12,778 15% 12,778-54,306 25% 54,306-217,226 40% 55% >217,226 75%
FNF.N Fidelity National Financial Inc USA 0-17,073 10% 17,073-72,560 20% 72,560-290,241 35% 45% >290,241 75%
ZION.O Zions Bancorporation USA 0-25,000 10% 25,000-212,500 20% 212,500-850,000 35% 45% >850,000 75%
ON.O ON Semiconductor Corp USA 0-59,880 10% 59,880-254,490 20% 254,490-1,017,960 35% 45% >1,017,960 75%
NBIX.O Neurocrine Biosciences Inc USA 0-12,846 25% 12,846-54,595 40% 54,595-218,382 50% 60% >218,382 75%
JBL.N Jabil Circuit Inc USA 0-30,022 10% 30,022-127,593 20% 127,593-510,374 35% 45% >510,374 75%
CBRL.O Cracker Barrel Old Country Store Inc USA 0-4,290 10% 4,290-18,232 20% 18,232-72,930 35% 45% >72,930 75%
ANSS.O ANSYS Inc USA 0-6,867 10% 6,867-29,184 20% 29,184-116,739 35% 45% >116,739 75%
IAG.N IAMGOLD Corp (US) USA 0-178,100 10% 178,100-756,925 20% 756,925-3,027,700 35% 45% >3,027,700 75%
AWK.N American Water Works Co Inc USA 0-10,000 5% 10,000-85,000 10% 85,000-340,000 20% 40% >340,000 75%
DTE.N DTE Energy Co USA 0-8,000 5% 8,000-70,000 10% 70,000-280,000 20% 40% >280,000 75%
INFO.O Markit Ltd USA 0-17,317 10% 17,317-73,597 20% 73,597-294,389 35% 45% >294,389 75%
STOR.K STORE Capital Corporation USA 0-21,659 10% 21,659-92,050 20% 92,050-368,203 35% 45% >368,203 75%
FNV.N Franco-Nevada Corp USA 0-9,900 10% 9,900-86,625 20% 86,625-346,500 35% 45% >346,500 75%
DSW.N DSW Inc USA 0-26,093 10% 26,093-110,895 20% 110,895-443,581 35% 45% >443,581 75%
LVLT.K Level 3 Communications Inc USA 0-15,000 5% 15,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
ATHN.O athenahealth Inc USA 0-5,218 15% 5,218-22,176 25% 22,176-88,706 40% 55% >88,706 75%
TSCO.O Tractor Supply Co USA 0-9,000 5% 9,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
TEX.N Terex Corp USA 0-26,114 10% 26,114-110,984 20% 110,984-443,938 35% 45% >443,938 75%
LLL.N L-3 Communications Holdings Inc USA 0-5,000 5% 5,000-43,750 10% 43,750-175,000 20% 40% >175,000 75%
LSI.N Sovran Self Storage Inc USA 0-6,966 10% 6,966-29,605 20% 29,605-118,422 35% 45% >118,422 75%
AEE.N Ameren Corp USA 0-15,000 5% 15,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
DCT.N DCT Industrial Trust Inc USA 0-13,072 10% 13,072-55,556 20% 55,556-222,224 35% 45% >222,224 75%
KKR.N KKR & Co LP USA 0-43,593 10% 43,593-185,270 20% 185,270-741,081 35% 45% >741,081 75%
AKS.N AK Steel Holding Corp USA 0-148,276 10% 148,276-630,173 20% 630,173-2,965,520 35% 45% >2,965,520 75%
COMM.O CommScope Holding Co Inc USA 0-21,833 10% 21,833-92,790 20% 92,790-371,161 35% 45% >371,161 75%
MIC.N Macquarie Infrastructure Co LLC USA 0-7,868 10% 7,868-33,439 20% 33,439-133,756 35% 45% >133,756 75%
PLCE.O Children's Place Retail Stores Inc USA 0-7,875 10% 7,875-35,437 20% 35,437-141,750 35% 45% >141,750 75%
CBG.N CBRE Group Inc USA 0-25,000 5% 25,000-218,750 10% 218,750-875,000 20% 40% >875,000 75%
UPLMQ.PK Ultra Petroleum Corp USA 0-157,566 25% 157,566-709,047 40% 709,047-2,993,754 50% 60% >2,993,754 75%
ABX.N Barrick Gold Corp (US) USA 0-39,500 5% 39,500-345,625 10% 345,625-1,382,500 20% 40% >1,382,500 75%
HRS.N Harris Corp USA 0-8,000 5% 8,000-70,000 10% 70,000-280,000 20% 40% >280,000 75%
SRCL.O Stericycle Inc USA 0-9,000 5% 9,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
CAA.N Calatlantic Corp Inc USA 0-17,568 10% 17,568-79,056 20% 79,056-316,224 35% 45% >316,224 75%
EXR.N Extra Space Storage Inc USA 0-9,000 5% 9,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
HAS.O Hasbro Inc USA 0-9,000 5% 9,000-78,750 10% 78,750-315,000 20% 40% >315,000 75%
RS.N Reliance Steel & Aluminum Co USA 0-8,811 10% 8,811-39,649 20% 39,649-158,598 35% 45% >158,598 75%
BIG.N Big Lots Inc USA 0-13,234 10% 13,234-59,553 20% 59,553-238,212 35% 45% >238,212 75%
SIX.N Six Flags Entertainment Corp USA 0-13,234 10% 13,234-59,553 20% 59,553-238,212 35% 45% >238,212 75%
THC.N Tenet Healthcare Corp USA 0-26,495 15% 26,495-119,227 25% 119,227-476,910 40% 55% >476,910 75%
HA.O Hawaiian Holdings Inc USA 0-13,277 10% 13,277-59,746 20% 59,746-238,986 35% 45% >238,986 75%
SGEN.O Seattle Genetics Inc USA 0-13,279 25% 13,279-59,755 40% 59,755-239,022 50% 60% >239,022 75%
HDB.N HDFC Bank Ltd - ADR USA 0-8,853 10% 8,853-39,838 20% 39,838-177,060 35% 45% >177,060 75%
TAHO.K Tahoe Resources Inc USA 0-44,302 10% 44,302-199,359 20% 199,359-886,040 35% 45% >886,040 75%
WB.O Weibo Corp USA 0-13,290 10% 13,290-59,805 20% 59,805-239,220 35% 45% >239,220 75%
CBI.N Chicago Bridge & Iron Co NV USA 0-22,158 10% 22,158-99,711 20% 99,711-398,844 35% 45% >398,844 75%
KRC.N Kilroy Realty Corp USA 0-8,868 10% 8,868-39,906 20% 39,906-159,624 35% 45% >159,624 75%
PHG.N Koninklijke Philips NV (US) USA 0-22,181 10% 22,181-99,814 20% 99,814-443,620 35% 45% >443,620 75%
CHD.N Church & Dwight Co Inc USA 0-15,000 5% 15,000-131,250 10% 131,250-525,000 20% 40% >525,000 75%
PFG.N PrIncipal Financial Group Inc USA 0-15,000 5% 15,000-135,000 10% 135,000-540,000 20% 40% >540,000 75%
MTG.N MGIC Investment Corp USA 0-79,938 10% 79,938-359,721 20% 359,721-1,438,884 35% 45% >1,438,884 75%
WRK WestRock LLC USA 0-15,000 10% 15,000-135,000 20% 135,000-540,000 35% 45% >540,000 75%
UHS.N Universal Health Services Inc USA 0-6,000 10% 6,000-54,000 20% 54,000-216,000 35% 45% >216,000 75%
VNO.N Vornado Realty Trust USA 0-7,000 5% 7,000-63,000 10% 63,000-252,000 20% 40% >252,000 75%
CNHI.K CNH Industrial NV USA 0-89,330 10% 89,330-401,985 20% 401,985-1,607,940 35% 45% >1,607,940 75%
RHT.N Red Hat Inc USA 0-10,000 5% 10,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
ARIA.O Ariad Pharmaceuticals Inc USA 0-62,900 25% 62,900-283,050 40% 283,050-1,132,200 50% 60% >1,132,200 75%
MAN.N Manpowergroup Inc USA 0-9,005 10% 9,005-40,522 20% 40,522-162,090 35% 45% >162,090 75%
VC.N Visteon Corp USA 0-9,049 10% 9,049-40,720 20% 40,720-162,882 35% 45% >162,882 75%
BWA.N BorgWarner Inc USA 0-20,000 5% 20,000-180,000 10% 180,000-720,000 20% 40% >720,000 75%
AGCO.K AGCO Corp USA 0-13,603 10% 13,603-61,213 20% 61,213-244,854 35% 45% >244,854 75%
WOOF.O VCA Antech Inc USA 0-9,071 10% 9,071-40,819 20% 40,819-163,278 35% 45% >163,278 75%
CST.N CST Brands Inc USA 0-13,620 10% 13,620-61,290 20% 61,290-245,160 35% 45% >245,160 75%
SBH.N Sally Beauty Holdings Inc USA 0-22,736 10% 22,736-102,312 20% 102,312-409,248 35% 45% >409,248 75%
ROP.N Roper Industries Inc USA 0-4,000 5% 4,000-36,000 10% 36,000-144,000 20% 40% >144,000 75%
DOV.N Dover Corp USA 0-10,000 5% 10,000-90,000 10% 90,000-360,000 20% 40% >360,000 75%
JUNO.O Juno Therapeutics Inc USA 0-22,807 10% 22,807-102,631 20% 102,631-410,526 35% 45% >410,526 75%
GNTX.O Gentex Corp USA 0-36,530 10% 36,530-164,385 20% 164,385-657,540 35% 45% >657,540 75%
CPA.N Copa Holdings SA USA 0-8,224 10% 8,224-37,008 20% 37,008-148,032 35% 45% >148,032 75%
STE.N STERIS Corp USA 0-9,153 10% 9,153-41,188 20% 41,188-164,754 35% 45% >164,754 75%
BR.N Broadridge Financial Solutions Inc USA 0-9,156 10% 9,156-41,202 20% 41,202-164,808 35% 45% >164,808 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 71 of 103
QSR Restaurant Brands International Inc USA 0-14,800 10% 14,800-136,900 20% 136,900-296,000 35% 45% >296,000 75%
SEE.N Sealed Air Corp USA 0-15,000 5% 15,000-138,750 10% 138,750-555,000 20% 40% >555,000 75%
SNH.O Senior Housing Properties Trust USA 0-27,544 10% 27,544-123,948 20% 123,948-495,792 35% 45% >495,792 75%
CUBE.K CubeSmart USA 0-23,024 10% 23,024-103,608 20% 103,608-414,432 35% 45% >414,432 75%
AMX.N America Movil SAB de CV - ADR USA 0-55,274 10% 55,274-248,733 20% 248,733-1,105,480 35% 45% >1,105,480 75%
XL.N XL Group PLC USA 0-20,000 5% 20,000-185,000 10% 185,000-740,000 20% 40% >740,000 75%
KLAC.O KLA-Tencor Corp USA 0-10,000 5% 10,000-92,500 10% 92,500-370,000 20% 40% >370,000 75%
PDCO.O Patterson Cos Inc USA 0-15,000 10% 15,000-138,750 20% 138,750-480,000 35% 45% >480,000 75%
A.N Agilent Technologies Inc USA 0-15,000 10% 15,000-138,750 20% 138,750-555,000 35% 45% >555,000 75%
BCE.N BCE Inc USA 0-14,800 5% 14,800-136,900 10% 136,900-547,600 20% 40% >547,600 75%
ODFL.O Old Dominion Freight Line Inc USA 0-9,265 10% 9,265-44,008 20% 44,008-176,035 35% 45% >176,035 75%
PAGP.K Plains GP Holdings LP USA 0-55,603 10% 55,603-264,114 20% 264,114-1,056,457 35% 45% >1,056,457 75%
BPL.N Buckeye Partners LP USA 0-9,273 10% 9,273-44,046 20% 44,046-176,187 35% 45% >176,187 75%
UGI.N UGI Corp USA 0-13,915 10% 13,915-66,096 20% 66,096-264,385 35% 45% >264,385 75%
MRD.O Memorial Resource Development Corp USA 0-41,836 10% 41,836-198,721 20% 198,721-794,884 35% 45% >794,884 75%
CHRW.O CH Robinson Worldwide Inc USA 0-10,000 5% 10,000-92,500 10% 92,500-370,000 20% 40% >370,000 75%
WYN.N Wyndham Worldwide Corp USA 0-10,000 5% 10,000-92,500 10% 92,500-370,000 20% 40% >370,000 75%
NTRS.O Northern Trust Corp USA 0-10,000 5% 10,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
PVTB.O PrivateBancorp Inc USA 0-14,083 10% 14,083-66,894 20% 66,894-267,577 35% 45% >267,577 75%
HAR.N Harman International Industries Inc USA 0-8,000 5% 8,000-76,000 10% 76,000-304,000 20% 40% >304,000 75%
TROW.O T Rowe Price Group Inc USA 0-10,000 5% 10,000-95,000 10% 95,000-380,000 20% 40% >380,000 75%
NRF.N NorthStar Realty Finance Corp USA 0-47,212 10% 47,212-224,257 20% 224,257-897,028 35% 45% >897,028 75%
GXP.N Great Plains Energy Inc USA 0-23,649 10% 23,649-112,332 20% 112,332-449,331 35% 45% >449,331 75%
ESS.N Essex Property Trust Inc USA 0-3,000 5% 3,000-28,500 10% 28,500-114,000 20% 40% >114,000 75%
ZBRA.O Zebra Technologies Corp USA 0-9,483 10% 9,483-45,044 20% 45,044-180,177 35% 45% >180,177 75%
CA.O CA Inc USA 0-20,000 5% 20,000-190,000 10% 190,000-760,000 20% 40% >760,000 75%
LGND.O Ligand Pharmaceuticals Inc USA 0-5,722 10% 5,722-27,179 20% 27,179-108,718 35% 45% >108,718 75%
SEIC.O SEI Investments Co USA 0-14,308 10% 14,308-67,963 20% 67,963-271,852 35% 45% >271,852 75%
AMH American Homes 4 Rent USA 0-28,717 10% 28,717-136,405 20% 136,405-545,623 35% 45% >545,623 75%
OA.N Orbital ATK Inc USA 0-8,622 10% 8,622-40,954 20% 40,954-163,818 35% 45% >163,818 75%
CYH.N Community Health Systems Inc USA 0-57,561 10% 57,561-273,414 20% 273,414-1,151,220 35% 45% >1,151,220 75%
SSNC.O SS&C Technologies Holdings Inc USA 0-19,201 10% 19,201-91,204 20% 91,204-364,819 35% 45% >364,819 75%
CC The Chemours Company USA 0-48,045 10% 48,045-228,213 20% 228,213-912,855 35% 45% >912,855 75%
RARE.O Ultragenyx Pharmaceutical Inc USA 0-9,611 25% 9,611-45,652 40% 45,652-182,609 50% 60% >182,609 75%
ATO.N Atmos Energy Corp USA 0-8,659 10% 8,659-41,130 20% 41,130-164,521 35% 45% >164,521 75%
ABB.N ABB Ltd - ADR USA 0-28,933 10% 28,933-137,431 20% 137,431-578,660 35% 45% >578,660 75%
SAFM.O Sanderson Farms Inc USA 0-6,765 10% 6,765-32,133 20% 32,133-128,535 35% 45% >128,535 75%
MKTX.O MarketAxess Holdings Inc USA 0-3,868 10% 3,868-18,373 20% 18,373-73,492 35% 45% >73,492 75%
CDW.O CDW Corp/DE USA 0-14,514 10% 14,514-68,941 20% 68,941-275,766 35% 45% >275,766 75%
DGX.N Quest Diagnostics Inc USA 0-8,000 5% 8,000-78,000 10% 78,000-312,000 20% 40% >312,000 75%
QGEN.O QIAGEN NV USA 0-24,272 10% 24,272-115,292 20% 115,292-461,168 35% 45% >461,168 75%
NUVA.O NuVasive Inc USA 0-9,724 15% 9,724-46,189 25% 46,189-184,756 40% 55% >184,756 75%
MD MEDNAX Inc USA 0-9,737 10% 9,737-46,250 20% 46,250-185,003 35% 45% >185,003 75%
TXRH.O Texas Roadhouse Inc USA 0-14,622 10% 14,622-69,454 20% 69,454-277,818 35% 45% >277,818 75%
MAC.N Macerich Co USA 0-8,000 5% 8,000-78,000 10% 78,000-312,000 20% 40% >312,000 75%
FIVE.O Five Below Inc USA 0-14,674 10% 14,674-73,370 20% 73,370-293,480 35% 45% >293,480 75%
EMN.N Eastman Chemical Co USA 0-10,000 5% 10,000-97,500 10% 97,500-390,000 20% 40% >390,000 75%
LN LINE Corp USA 0-14,694 10% 14,694-73,470 20% 73,470-293,880 35% 45% >293,880 75%
AKRX.O Akorn Inc USA 0-24,499 10% 24,499-122,495 20% 122,495-489,980 35% 45% >489,980 75%
DFT.N DuPont Fabros Technology Inc USA 0-14,724 10% 14,724-73,620 20% 73,620-294,480 35% 45% >294,480 75%
NAV.N Navistar International Corp USA 0-34,379 15% 34,379-171,895 25% 171,895-687,580 40% 55% >687,580 75%
RLGY.K Realogy Holdings Corp USA 0-24,582 10% 24,582-122,910 20% 122,910-491,640 35% 45% >491,640 75%
THO.N Thor Industries Inc USA 0-7,874 10% 7,874-39,370 20% 39,370-157,480 35% 45% >157,480 75%
DYN.N Dynegy Inc USA 0-49,350 10% 49,350-246,750 20% 246,750-987,000 35% 45% >987,000 75%
SPB.N Spectrum Brands Holdings Inc USA 0-4,939 10% 4,939-24,695 20% 24,695-98,780 35% 45% >98,780 75%
LHO.N LaSalle Hotel Properties USA 0-24,815 10% 24,815-124,075 20% 124,075-496,300 35% 45% >496,300 75%
MPEL.O Melco Crown Entertainment Ltd - ADR USA 0-44,695 10% 44,695-223,475 20% 223,475-893,900 35% 45% >893,900 75%
HSIC.O Henry Schein Inc USA 0-4,000 5% 4,000-40,000 10% 40,000-160,000 20% 40% >160,000 75%
NRZ.N New Residential Investment Corp USA 0-44,757 10% 44,757-223,785 20% 223,785-895,140 35% 45% >895,140 75%
MSM.N MSC Industrial Direct Co Inc USA 0-8,975 10% 8,975-44,875 20% 44,875-179,500 35% 45% >179,500 75%
PBF.N PBF Energy Inc USA 0-29,954 10% 29,954-149,770 20% 149,770-599,080 35% 45% >599,080 75%
CRC.N California Resources Corp USA 0-59,935 25% 59,935-299,675 40% 299,675-1,138,765 50% 60% >1,138,765 75%
TUP.N Tupperware Brands Corp USA 0-9,993 10% 9,993-49,965 20% 49,965-199,860 35% 45% >199,860 75%
WU.N Western Union Co USA 0-30,000 5% 30,000-300,000 10% 300,000-1,200,000 20% 40% >1,200,000 75%
NVAX.O Novavax Inc USA 0-90,000 25% 90,000-450,000 40% 450,000-1,800,000 50% 60% >1,800,000 75%
LBRDK.O Liberty Broadband Corporation USA 0-9,000 10% 9,000-45,000 20% 45,000-180,000 35% 45% >180,000 75%
AVP.N Avon Products Inc USA 0-110,000 10% 110,000-550,000 20% 550,000-2,200,000 35% 45% >2,200,000 75%
CSGP.O CoStar Group Inc USA 0-3,000 10% 3,000-15,000 20% 15,000-60,000 35% 45% >60,000 75%
FMX.N Fomento Economico Mexicano SAB de CV - ADR USA 0-7,000 10% 7,000-35,000 20% 35,000-140,000 35% 45% >140,000 75%
PACW.O PacWest Bancorp USA 0-15,000 10% 15,000-75,000 20% 75,000-300,000 35% 45% >300,000 75%
NGG.N National Grid PLC - ADR USA 0-9,000 10% 9,000-45,000 20% 45,000-180,000 35% 45% >180,000 75%
FRT.N Federal Realty Investment Trust USA 0-4,000 5% 4,000-40,000 10% 40,000-164,000 20% 40% >164,000 75%
EPR.N EPR Properties USA 0-8,000 10% 8,000-40,000 20% 40,000-160,000 35% 45% >160,000 75%
CSAL.O Communications Sales & Leasing Inc USA 0-20,000 10% 20,000-100,000 20% 100,000-400,000 35% 45% >400,000 75%
OGE.N OGE Energy Corp USA 0-20,000 10% 20,000-100,000 20% 100,000-400,000 35% 45% >400,000 75%
FEIC.O FEI Co USA 0-6,000 10% 6,000-30,000 20% 30,000-120,000 35% 45% >120,000 75%
DO.N Diamond Offshore Drilling Inc USA 0-40,000 10% 40,000-400,000 20% 400,000-1,000,000 35% 45% >1,000,000 75%
ASML.O ASML Holding NV (US) USA 0-6,000 5% 6,000-30,000 10% 30,000-120,000 20% 40% >120,000 75%
TER.N Teradyne Inc USA 0-30,000 10% 30,000-157,500 20% 157,500-630,000 35% 45% >630,000 75%
WAT.N Waters Corp USA 0-4,000 10% 4,000-40,000 20% 40,000-164,000 35% 45% >164,000 75%
OII.N Oceaneering International Inc USA 0-25,000 10% 25,000-131,250 20% 131,250-525,000 35% 45% >525,000 75%
MEOH.O Methanex Corp USA 0-19,800 10% 19,800-103,950 20% 103,950-415,800 35% 45% >415,800 75%
EPC Edgewell Personal Care Co USA 0-8,000 10% 8,000-42,000 20% 42,000-168,000 35% 45% >168,000 75%
ING.N ING Groep NV - ADR USA 0-50,000 10% 50,000-262,500 20% 262,500-1,000,000 35% 45% >1,000,000 75%
PNR.N Pentair Ltd USA 0-10,000 5% 10,000-100,000 10% 100,000-410,000 20% 40% >410,000 75%
LPT.N Liberty Property Trust USA 0-15,000 10% 15,000-78,750 20% 78,750-315,000 35% 45% >315,000 75%
XRS.N TAL Education Group - ADR USA 0-10,000 10% 10,000-52,500 20% 52,500-210,000 35% 45% >210,000 75%
JCOM.O j2 Global Inc USA 0-9,000 10% 9,000-47,250 20% 47,250-189,000 35% 45% >189,000 75%
WEX WEX Inc USA 0-6,000 10% 6,000-31,500 20% 31,500-126,000 35% 45% >126,000 75%
APH.N Amphenol Corp USA 0-10,000 5% 10,000-100,000 10% 100,000-420,000 20% 40% >420,000 75%
WTW.N Weight Watchers International Inc USA 0-60,000 15% 60,000-315,000 25% 315,000-1,200,000 40% 55% >1,200,000 75%
CSL.N Carlisle Cos Inc USA 0-6,000 10% 6,000-31,500 20% 31,500-126,000 35% 45% >126,000 75%
DISCA.O Discovery Communications Inc - A USA 0-25,000 5% 25,000-250,000 10% 250,000-1,050,000 20% 40% >1,050,000 75%
STR.N Questar Corp USA 0-25,000 10% 25,000-131,250 20% 131,250-525,000 35% 45% >525,000 75%
RDN.N Radian Group Inc USA 0-45,000 10% 45,000-236,250 20% 236,250-945,000 35% 45% >945,000 75%
FBHS.K Fortune Brands Home & Security Inc USA 0-10,000 5% 10,000-100,000 10% 100,000-420,000 20% 40% >420,000 75%
STRZA.O Starz USA 0-20,000 10% 20,000-105,000 20% 105,000-420,000 35% 45% >420,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 72 of 103
WEN.O Wendy's Co USA 0-60,000 10% 60,000-315,000 20% 315,000-1,260,000 35% 45% >1,260,000 75%
AVT.N Avnet Inc USA 0-15,000 10% 15,000-78,750 20% 78,750-315,000 35% 45% >315,000 75%
DECK.K Deckers Outdoor Corp USA 0-10,000 10% 10,000-52,500 20% 52,500-210,000 35% 45% >210,000 75%
GNW.N Genworth Financial Inc USA 0-130,000 10% 130,000-682,500 20% 682,500-2,730,000 35% 45% >2,730,000 75%
GWR.N Genesee & Wyoming Inc USA 0-9,000 10% 9,000-47,250 20% 47,250-189,000 35% 45% >189,000 75%
MANH.O Manhattan Associates Inc USA 0-10,000 10% 10,000-52,500 20% 52,500-210,000 35% 45% >210,000 75%
FTR.O Frontier Communications Corp USA 0-130,000 10% 130,000-1,430,000 20% 1,430,000-5,590,000 35% 45% >5,590,000 75%
FOX.O Twenty-First Century Fox Inc - B (US) USA 0-25,000 5% 25,000-275,000 10% 275,000-1,075,000 20% 40% >1,075,000 75%
TXT.N Textron Inc USA 0-15,000 5% 15,000-150,000 10% 150,000-645,000 20% 40% >645,000 75%
KIM.N Kimco Realty Corp USA 0-20,000 5% 20,000-200,000 10% 200,000-860,000 20% 40% >860,000 75%
MFC.N Manulife Financial Corp (US) USA 0-44,500 5% 44,500-445,000 10% 445,000-1,913,500 20% 40% >1,913,500 75%
DOX.O Amdocs Ltd USA 0-10,000 10% 10,000-52,500 20% 52,500-210,000 35% 45% >210,000 75%
MTD.N Mettler-Toledo International Inc USA 0-1,500 10% 1,500-15,000 20% 15,000-64,500 35% 45% >64,500 75%
WCC.N WESCO International Inc USA 0-10,000 10% 10,000-52,500 20% 52,500-210,000 35% 45% >210,000 75%
SXL.N Sunoco Logistics Partners LP USA 0-20,000 10% 20,000-105,000 20% 105,000-420,000 35% 45% >420,000 75%
BBRY.O Blackberry Ltd (All Sessions) USA 0-79,300 10% 79,300-436,150 20% 436,150-1,744,600 35% 45% >1,744,600 75%
PCRX.O Pacira Pharmaceuticals Inc USA 0-15,000 10% 15,000-82,500 20% 82,500-330,000 35% 45% >330,000 75%
CHL.N China Mobile Ltd - ADR USA 0-10,000 10% 10,000-55,000 20% 55,000-200,000 35% 45% >200,000 75%
CACC.O Credit Acceptance Corp USA 0-3,000 10% 3,000-16,500 20% 16,500-66,000 35% 45% >66,000 75%
SNA.N Snap-on Inc USA 0-4,000 5% 4,000-40,000 10% 40,000-172,000 20% 40% >172,000 75%
MKC.N McCormick & Co Inc USA 0-6,000 5% 6,000-60,000 10% 60,000-258,000 20% 40% >258,000 75%
MTDR.K Matador Resources Co USA 0-25,000 10% 25,000-137,500 20% 137,500-550,000 35% 45% >550,000 75%
GPC.N Genuine Parts Co USA 0-6,000 5% 6,000-60,000 10% 60,000-258,000 20% 40% >258,000 75%
MOMO.O Momo Inc USA 0-25,000 15% 25,000-137,500 25% 137,500-550,000 40% 55% >550,000 75%
ISBC.O Investors Bancorp Inc USA 0-50,000 10% 50,000-275,000 20% 275,000-1,100,000 35% 45% >1,100,000 75%
ODP.O Office Depot Inc USA 0-160,000 10% 160,000-880,000 20% 880,000-3,520,000 35% 45% >3,520,000 75%
IMS.N IMS Health Holdings Inc USA 0-20,000 10% 20,000-110,000 20% 110,000-440,000 35% 45% >440,000 75%
EV.N Eaton Vance Corp USA 0-15,000 10% 15,000-82,500 20% 82,500-330,000 35% 45% >330,000 75%
LPX.N Louisiana-Pacific Corp USA 0-30,000 10% 30,000-165,000 20% 165,000-660,000 35% 45% >660,000 75%
OKS ONEOK Partners LP USA 0-15,000 10% 15,000-82,500 20% 82,500-330,000 35% 45% >330,000 75%
SQ Square Inc USA 0-50,000 10% 50,000-275,000 20% 275,000-1,000,000 35% 45% >1,000,000 75%
GIL.N Gildan Activewear Inc USA 0-19,800 10% 19,800-198,000 20% 198,000-594,000 35% 45% >594,000 75%
IAC.O InterActiveCorp USA 0-10,000 10% 10,000-55,000 20% 55,000-220,000 35% 45% >220,000 75%
NUAN.O Nuance Communications Inc USA 0-40,000 10% 40,000-220,000 20% 220,000-880,000 35% 45% >880,000 75%
MXIM.O Maxim Integrated Products Inc USA 0-15,000 5% 15,000-150,000 10% 150,000-660,000 20% 40% >660,000 75%
IRM.N Iron Mountain Inc USA 0-15,000 5% 15,000-150,000 10% 150,000-660,000 20% 40% >660,000 75%
FR.N First Industrial Realty Trust Inc USA 0-20,000 10% 20,000-110,000 20% 110,000-440,000 35% 45% >440,000 75%
CTAS.O Cintas Corp USA 0-5,000 5% 5,000-50,000 10% 50,000-220,000 20% 40% >220,000 75%
AMG.N Affiliated Managers Group Inc USA 0-4,000 5% 4,000-40,000 10% 40,000-176,000 20% 40% >176,000 75%
OLED.O Universal Display Corp USA 0-10,000 10% 10,000-55,000 20% 55,000-220,000 35% 45% >220,000 75%
PAY.N VeriFone Systems Inc USA 0-35,000 10% 35,000-192,500 20% 192,500-770,000 35% 45% >770,000 75%
MSCC.O Microsemi Corp USA 0-15,000 10% 15,000-82,500 20% 82,500-330,000 35% 45% >330,000 75%
ARW.N Arrow Electronics Inc USA 0-9,000 10% 9,000-49,500 20% 49,500-198,000 35% 45% >198,000 75%
DF.N Dean Foods Co USA 0-35,000 10% 35,000-192,500 20% 192,500-770,000 35% 45% >770,000 75%
LNT.N Alliant Energy Corp USA 0-15,000 5% 15,000-150,000 10% 150,000-675,000 20% 40% >675,000 75%
VAR.N Varian Medical Systems Inc USA 0-6,000 5% 6,000-60,000 10% 60,000-270,000 20% 40% >270,000 75%
PBYI.K Puma Biotechnology Inc USA 0-10,000 25% 10,000-57,500 40% 57,500-230,000 50% 60% >230,000 75%
SYNA.O Synaptics Inc USA 0-10,000 10% 10,000-57,500 20% 57,500-230,000 35% 45% >230,000 75%
DVA.N DaVita HealthCare Partners Inc USA 0-9,000 5% 9,000-90,000 10% 90,000-405,000 20% 40% >405,000 75%
ZLTQ.O Zeltiq Aesthetics Inc USA 0-15,000 10% 15,000-86,250 20% 86,250-345,000 35% 45% >345,000 75%
WBS.N Webster Financial Corp USA 0-15,000 10% 15,000-86,250 20% 86,250-345,000 35% 45% >345,000 75%
DEI.N Douglas Emmett Inc USA 0-15,000 10% 15,000-86,250 20% 86,250-345,000 35% 45% >345,000 75%
OPK.O Opko Health Inc USA 0-60,000 25% 60,000-345,000 40% 345,000-1,380,000 50% 60% >1,380,000 75%
CRL.N Charles River Laboratories International Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-161,000 35% 45% >161,000 75%
PPC.O Pilgrim's Pride Corp USA 0-25,000 10% 25,000-143,750 20% 143,750-575,000 35% 45% >575,000 75%
FOSL.O Fossil Group Inc USA 0-20,000 10% 20,000-115,000 20% 115,000-460,000 35% 45% >460,000 75%
SNI.N Scripps Networks Interactive Inc USA 0-9,000 5% 9,000-90,000 10% 90,000-414,000 20% 40% >414,000 75%
COR CoreSite Realty Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-161,000 35% 45% >161,000 75%
NDAQ.O NASDAQ OMX Group Inc USA 0-8,000 5% 8,000-80,000 10% 80,000-368,000 20% 40% >368,000 75%
LAMR.O Lamar Advertising Co USA 0-9,000 10% 9,000-51,750 20% 51,750-207,000 35% 45% >207,000 75%
LL.N Lumber Liquidators Holdings Inc USA 0-35,000 15% 35,000-201,250 25% 201,250-700,000 40% 55% >700,000 75%
IEX.N IDEX Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-138,000 35% 45% >138,000 75%
KMT.N Kennametal Inc USA 0-20,000 10% 20,000-115,000 20% 115,000-460,000 35% 45% >460,000 75%
JBHT.O JB Hunt Transport Services Inc USA 0-7,000 5% 7,000-70,000 10% 70,000-329,000 20% 40% >329,000 75%
GFI.N Gold Fields Ltd - ADR USA 0-100,000 10% 100,000-575,000 20% 575,000-2,000,000 35% 45% >2,000,000 75%
LAZ.N Lazard Ltd USA 0-15,000 10% 15,000-86,250 20% 86,250-345,000 35% 45% >345,000 75%
MDCO.O Medicines Co USA 0-15,000 25% 15,000-86,250 40% 86,250-345,000 50% 60% >345,000 75%
DCI.N Donaldson Co Inc USA 0-15,000 10% 15,000-86,250 20% 86,250-345,000 35% 45% >345,000 75%
CABO.K Cable ONE Inc USA 0-1,000 10% 1,000-5,750 20% 5,750-19,000 35% 45% >19,000 75%
WAL Western Alliance Bancorp USA 0-15,000 10% 15,000-86,250 20% 86,250-345,000 35% 45% >345,000 75%
KEX.N Kirby Corp USA 0-10,000 10% 10,000-57,500 20% 57,500-230,000 35% 45% >230,000 75%
IFF.N International Flavors & Fragrances Inc USA 0-4,000 5% 4,000-40,000 10% 40,000-188,000 20% 40% >188,000 75%
RPM.N RPM International Inc USA 0-10,000 10% 10,000-57,500 20% 57,500-230,000 35% 45% >230,000 75%
ALSN.K Allison Transmission Holdings Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-480,000 35% 45% >480,000 75%
EEFT.O Euronet Worldwide Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-168,000 35% 45% >168,000 75%
OI.N Owens-Illinois Inc USA 0-30,000 10% 30,000-300,000 20% 300,000-990,000 35% 45% >990,000 75%
DRQ.N Dril-Quip Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-240,000 50% 60% >240,000 75%
SUI.N Sun Communities Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-168,000 35% 45% >168,000 75%
UDR.N UDR Inc USA 0-15,000 5% 15,000-150,000 10% 150,000-705,000 20% 40% >705,000 75%
SHAK.K Shake Shack Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
DNB.N Dun & Bradstreet Corp USA 0-4,000 10% 4,000-40,000 20% 40,000-132,000 35% 45% >132,000 75%
SAM.N Boston Beer Co Inc USA 0-3,000 10% 3,000-18,000 20% 18,000-72,000 35% 45% >72,000 75%
TRMB.O Trimble Navigation Ltd USA 0-20,000 10% 20,000-120,000 20% 120,000-480,000 35% 45% >480,000 75%
EWBC.O East West Bancorp Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-360,000 35% 45% >360,000 75%
IT.N Gartner Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-144,000 35% 45% >144,000 75%
DDS.N Dillard's Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-216,000 35% 45% >216,000 75%
TGNA.K TEGNA Inc USA 0-25,000 10% 25,000-250,000 20% 250,000-900,000 35% 45% >900,000 75%
DEPO.O Depomed Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-600,000 35% 45% >600,000 75%
LKQ.O LKQ Corp USA 0-15,000 5% 15,000-150,000 10% 150,000-720,000 20% 40% >720,000 75%
AHS AMN Healthcare Services Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-360,000 35% 45% >360,000 75%
LXK.N Lexmark International Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-360,000 35% 45% >360,000 75%
TERP.O TerraForm Power Inc USA 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
UNT.N Unit Corp USA 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
MPW.N Medical Properties Trust Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-840,000 35% 45% >840,000 75%
LYV.N Live Nation Entertainment Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-480,000 35% 45% >480,000 75%
HR.N Healthcare Realty Trust Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-360,000 35% 45% >360,000 75%
VRSN.O VeriSign Inc USA 0-7,000 5% 7,000-70,000 10% 70,000-336,000 20% 40% >336,000 75%
Y Alleghany Corp USA 0-1,000 10% 1,000-6,000 20% 6,000-24,000 35% 45% >24,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 73 of 103
HIW.N Highwoods Properties Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-240,000 35% 45% >240,000 75%
GEO The GEO Group Inc USA 0-25,000 20% 25,000-150,000 30% 150,000-450,000 50% 60% >450,000 75%
PPS.N Post Properties Inc USA 0-8,000 10% 8,000-48,000 20% 48,000-192,000 35% 45% >192,000 75%
ICLR.O ICON PLC USA 0-7,000 10% 7,000-40,250 20% 40,250-168,000 35% 45% >168,000 75%
SNX.N SYNNEX Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-120,000 35% 45% >120,000 75%
RYAAY.O Ryanair Holdings PLC - ADR USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
TMH Team Health Holdings Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-360,000 35% 45% >360,000 75%
SCI.N Service Corp International USA 0-20,000 10% 20,000-120,000 20% 120,000-500,000 35% 45% >500,000 75%
CSRA.K CSRA Inc USA 0-20,000 10% 20,000-200,000 20% 200,000-680,000 35% 45% >680,000 75%
AMCX.O AMC Networks Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-250,000 35% 45% >250,000 75%
JKHY.O Jack Henry & Associates Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-150,000 35% 45% >150,000 75%
FHN.N First Horizon National Corp USA 0-35,000 10% 35,000-210,000 20% 210,000-875,000 35% 45% >875,000 75%
GNC.N GNC Holdings Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-625,000 35% 45% >625,000 75%
SHO Sunstone Hotel Investors Inc USA 0-40,000 10% 40,000-240,000 20% 240,000-1,000,000 35% 45% >1,000,000 75%
SPLS.O Staples Inc USA 0-60,000 10% 60,000-600,000 20% 600,000-3,000,000 35% 45% >3,000,000 75%
INFN.O Infinera Corp USA 0-60,000 15% 60,000-345,000 25% 345,000-1,380,000 40% 55% >1,380,000 75%
FLO.N Flowers Foods Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-875,000 35% 45% >875,000 75%
UNM.N Unum Group USA 0-15,000 5% 15,000-150,000 10% 150,000-750,000 20% 40% >750,000 75%
NCLH.O Norwegian Cruise Line Holdings Ltd USA 0-15,000 5% 15,000-150,000 10% 150,000-750,000 20% 40% >750,000 75%
ZNGA.O Zynga Inc USA 0-190,000 10% 190,000-997,500 20% 997,500-4,750,000 35% 45% >4,750,000 75%
PAYC.K Paycom Software Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-250,000 35% 45% >250,000 75%
BMS.N Bemis Co Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-250,000 35% 45% >250,000 75%
LAD.N Lithia Motors Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-150,000 35% 45% >150,000 75%
AES.N AES Corp USA 0-40,000 5% 40,000-400,000 10% 400,000-2,000,000 20% 40% >2,000,000 75%
HTA Healthcare Trust of America Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-375,000 35% 45% >375,000 75%
SCCO.K Southern Copper Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-500,000 35% 45% >500,000 75%
OUTR.O Outerwall Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
EXPD.O Expeditors International of Washington Inc USA 0-10,000 5% 10,000-100,000 10% 100,000-510,000 20% 40% >510,000 75%
FLR.N Fluor Corp USA 0-10,000 5% 10,000-100,000 10% 100,000-510,000 20% 40% >510,000 75%
CAKE.O Cheesecake Factory Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-250,000 35% 45% >250,000 75%
HPP Hudson Pacific Properties Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-375,000 35% 45% >375,000 75%
LECO.O Lincoln Electric Holdings Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-200,000 35% 45% >200,000 75%
TEN.N Tenneco Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-225,000 35% 45% >225,000 75%
ACAS.O American Capital Ltd USA 0-30,000 10% 30,000-180,000 20% 180,000-780,000 35% 45% >780,000 75%
CPRT.O Copart Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-260,000 35% 45% >260,000 75%
GHC.N Graham Holding Co - Class B USA 0-1,000 10% 1,000-6,000 20% 6,000-14,000 35% 45% >14,000 75%
XYL.N Xylem Inc USA 0-10,000 5% 10,000-100,000 10% 100,000-510,000 20% 40% >510,000 75%
SCG.N SCANA Corp USA 0-7,000 5% 7,000-70,000 10% 70,000-357,000 20% 40% >357,000 75%
RSG.N Republic Services Inc USA 0-10,000 5% 10,000-100,000 10% 100,000-520,000 20% 40% >520,000 75%
BAM.N Brookfield Asset Management Inc USA 0-14,800 5% 14,800-148,000 10% 148,000-769,600 20% 40% >769,600 75%
COL.N Rockwell Collins Inc USA 0-6,000 5% 6,000-60,000 10% 60,000-312,000 20% 40% >312,000 75%
AJG.N Arthur J Gallagher & Co USA 0-10,000 5% 10,000-100,000 10% 100,000-520,000 20% 40% >520,000 75%
CHS.N Chico's FAS Inc USA 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
TSS.N Total System Services Inc USA 0-10,000 5% 10,000-100,000 10% 100,000-520,000 20% 40% >520,000 75%
MIK.O Michaels Cos Inc/The USA 0-20,000 10% 20,000-120,000 20% 120,000-520,000 35% 45% >520,000 75%
CREE.O Cree Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-520,000 35% 45% >520,000 75%
COTY.N Coty Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-520,000 35% 45% >520,000 75%
VRSK.O Verisk Analytics Inc USA 0-6,000 5% 6,000-60,000 10% 60,000-312,000 20% 40% >312,000 75%
TSE Trinseo SA USA 0-9,000 10% 9,000-54,000 20% 54,000-234,000 35% 45% >234,000 75%
WST.N West Pharmaceutical Services Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-156,000 35% 45% >156,000 75%
CBL.N CBL & Associates Properties Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-910,000 35% 45% >910,000 75%
NDSN.O Nordson Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-130,000 35% 45% >130,000 75%
ACGL.O Arch Capital Group Ltd USA 0-6,000 10% 6,000-34,500 20% 34,500-156,000 35% 45% >156,000 75%
TGI.N Triumph Group Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-390,000 35% 45% >390,000 75%
EEP Enbridge Energy Partners LP USA 0-20,000 10% 20,000-120,000 20% 120,000-520,000 35% 45% >520,000 75%
RACE.K Ferrari NV USA 0-10,000 10% 10,000-60,000 20% 60,000-260,000 35% 45% >260,000 75%
POOL.O Pool Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-130,000 35% 45% >130,000 75%
SNV.N Synovus Financial Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-390,000 35% 45% >390,000 75%
SMG.N Scotts Miracle-Gro Co USA 0-6,000 10% 6,000-34,500 20% 34,500-156,000 35% 45% >156,000 75%
XRX.N Xerox Corp USA 0-50,000 5% 50,000-500,000 10% 500,000-2,650,000 20% 40% >2,650,000 75%
ASPS.O Altisource Portfolio Solutions SA USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
ARCC.O Ares Capital Corp USA 0-30,000 10% 30,000-180,000 20% 180,000-810,000 35% 45% >810,000 75%
EPAM.K EPAM Systems Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-189,000 35% 45% >189,000 75%
GRMN.O Garmin Ltd USA 0-10,000 5% 10,000-100,000 10% 100,000-530,000 20% 40% >530,000 75%
TTC.N Toro Co USA 0-5,000 10% 5,000-30,000 20% 30,000-135,000 35% 45% >135,000 75%
SYRG.A Synergy Resources Corporation USA 0-70,000 10% 70,000-420,000 20% 420,000-1,890,000 35% 45% >1,890,000 75%
CAB.N Cabela's Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-270,000 35% 45% >270,000 75%
FINL.O Finish Line Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
NI.N NiSource Inc USA 0-20,000 5% 20,000-200,000 10% 200,000-1,080,000 20% 40% >1,080,000 75%
AME.N AMETEK Inc USA 0-10,000 5% 10,000-100,000 10% 100,000-540,000 20% 40% >540,000 75%
CLVS.O Clovis Oncology Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
RNR.N RenaissanceRe Holdings Ltd USA 0-4,000 10% 4,000-25,000 20% 25,000-108,000 35% 45% >108,000 75%
GDDY.K GoDaddy Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
MENT.O Mentor Graphics Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-540,000 35% 45% >540,000 75%
UMPQ.O Umpqua Holdings Corp USA 0-30,000 10% 30,000-180,000 20% 180,000-810,000 35% 45% >810,000 75%
BKH Black Hills Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-216,000 35% 45% >216,000 75%
TCO.N Taubman Centers Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-162,000 35% 45% >162,000 75%
EGO.N Eldorado Gold Corp (US) USA 0-128,500 10% 128,500-1,542,000 20% 1,542,000-4,883,000 35% 45% >4,883,000 75%
CBOE.O CBOE Holdings Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-189,000 35% 45% >189,000 75%
CXW.N Corrections Corp of America USA 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
HRC.N Hill-Rom Holdings Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-216,000 35% 45% >216,000 75%
FLS.N Flowserve Corp USA 0-10,000 5% 10,000-100,000 10% 100,000-550,000 20% 40% >550,000 75%
ELS.N Equity Lifestyle Properties Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-162,000 35% 45% >162,000 75%
BIN Progressive Waste Solutions Limited USA 0-7,300 10% 7,300-43,800 20% 43,800-146,000 35% 45% >146,000 75%
MGT MGT Capital Investments Inc USA 0-120,000 25% 120,000-720,000 40% 720,000-2,400,000 50% 60% >2,400,000 75%
ORI.N Old Republic International Corp USA 0-25,000 10% 25,000-150,000 20% 150,000-675,000 35% 45% >675,000 75%
LCI.N Lannett Co Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
PAG.N Penske Automotive Group Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-270,000 35% 45% >270,000 75%
FTV Fortive Corporation USA 0-9,000 10% 9,000-90,000 20% 90,000-495,000 35% 45% >495,000 75%
SSRI.O Silver Standard Resources Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
EQC Equity Commonwealth USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
EQM.N EQT Midstream Partners LP USA 0-6,000 10% 6,000-34,500 20% 34,500-162,000 35% 45% >162,000 75%
EQY.N Equity One Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-420,000 35% 45% >420,000 75%
NFG.N National Fuel Gas Co USA 0-8,000 10% 8,000-50,000 20% 50,000-224,000 35% 45% >224,000 75%
FNSR.O Finisar Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-560,000 35% 45% >560,000 75%
TCBI.O Texas Capital Bancshares Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-252,000 35% 45% >252,000 75%
BGS.N B&G Foods Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-280,000 35% 45% >280,000 75%
CBPO.O China Biologic Products Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-112,000 40% 55% >112,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 74 of 103
BKU BankUnited Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-420,000 35% 45% >420,000 75%
AVY.N Avery Dennison Corp USA 0-6,000 5% 6,000-60,000 10% 60,000-336,000 20% 40% >336,000 75%
AGIO.O Agios Pharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-280,000 50% 60% >280,000 75%
CSIQ.O Canadian Solar Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
BFb.N Brown-Forman Corp - Class B USA 0-10,000 5% 10,000-100,000 10% 100,000-560,000 20% 40% >560,000 75%
FMC.N FMC Corp USA 0-10,000 20% 10,000-100,000 30% 100,000-560,000 50% 60% >560,000 75%
PBI.N Pitney Bowes Inc USA 0-25,000 10% 25,000-250,000 20% 250,000-825,000 35% 45% >825,000 75%
ZEN.N Zendesk Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-420,000 35% 45% >420,000 75%
WDR.N Waddell & Reed Financial Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-700,000 35% 45% >700,000 75%
VIV.N Telefonica Brasil SA - ADR USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
FLIR.O FLIR Systems Inc USA 0-15,000 10% 15,000-150,000 20% 150,000-480,000 35% 45% >480,000 75%
HIMX.O Himax Technologies Inc - ADR USA 0-45,000 25% 45,000-270,000 40% 270,000-1,260,000 50% 60% >1,260,000 75%
BTG.A B2Gold Corporation USA 0-158,300 10% 158,300-949,800 20% 949,800-4,432,400 35% 45% >4,432,400 75%
AZPN.O Aspen Technology Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-280,000 35% 45% >280,000 75%
PNW.N Pinnacle West Capital Corp USA 0-6,000 5% 6,000-60,000 10% 60,000-342,000 20% 40% >342,000 75%
IMPV.K Imperva Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-280,000 35% 45% >280,000 75%
OIS.N Oil States International Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-420,000 35% 45% >420,000 75%
PRXL.O PAREXEL International Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-196,000 35% 45% >196,000 75%
ATRI.O Atrion Corp USA 0-1,000 20% 1,000-3,000 30% >3000 75% 75%
BAH.N Booz Allen Hamilton Holding Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-420,000 35% 45% >420,000 75%
TEAM.O Atlassian Corp PLC USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
REN Resolute Energy Corporation USA 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
AXS.N Axis Capital Holdings Ltd USA 0-8,000 10% 8,000-50,000 20% 50,000-232,000 35% 45% >232,000 75%
RLJ RLJ Lodging Trust USA 0-20,000 10% 20,000-120,000 20% 120,000-580,000 35% 45% >580,000 75%
WETF.O WisdomTree Investments Inc USA 0-45,000 15% 45,000-270,000 25% 270,000-1,305,000 40% 55% >1,305,000 75%
PZZA.O Papa John's International Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-174,000 35% 45% >174,000 75%
RES.N RPC Inc USA 0-30,000 10% 30,000-180,000 20% 180,000-870,000 35% 45% >870,000 75%
EDR EdR USA 0-10,000 10% 10,000-60,000 20% 60,000-290,000 35% 45% >290,000 75%
ACM.N AECOM Technology Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-435,000 35% 45% >435,000 75%
CPG Crescent Point Energy Corp USA 0-29,700 10% 29,700-297,000 20% 297,000-1,722,600 35% 45% >1,722,600 75%
BH Biglari Holdings Inc USA 0-1,000 20% 1,000-3,000 30% >3000 75% 75%
MUSA.K Murphy USA Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-174,000 35% 45% >174,000 75%
CFX.N Colfax Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-435,000 35% 45% >435,000 75%
LOGM.O LogMeIn Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-145,000 35% 45% >145,000 75%
BVN.N Cia de Minas Buenaventura SAA - ADR USA 0-30,000 10% 30,000-180,000 20% 180,000-870,000 35% 45% >870,000 75%
CMP.N Compass Minerals International Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-174,000 35% 45% >174,000 75%
PLAY.O Dave & Buster's Entertainment Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-290,000 35% 45% >290,000 75%
DAN.N Dana Holding Corp USA 0-30,000 10% 30,000-180,000 20% 180,000-870,000 35% 45% >870,000 75%
OMF OneMain Holdings Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
GGG.N Graco Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-174,000 35% 45% >174,000 75%
ROVI.O Rovi Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-580,000 35% 45% >580,000 75%
LPLA.O LPL Financial Holdings Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-435,000 35% 45% >435,000 75%
ENR.N Energizer Holdings Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-261,000 35% 45% >261,000 75%
BRKR.O Bruker Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-580,000 35% 45% >580,000 75%
GWRE.K Guidewire Software Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-203,000 35% 45% >203,000 75%
CALM.O Cal-Maine Foods Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-290,000 35% 45% >290,000 75%
SIMO.O Silicon Motion Technology Corp - ADR USA 0-8,000 25% 8,000-50,000 40% 50,000-232,000 50% 60% >232,000 75%
AL.N Air Lease Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-435,000 35% 45% >435,000 75%
NTCT.O NetScout Systems Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-435,000 35% 45% >435,000 75%
SN.N Sanchez Energy Corp USA 0-50,000 15% 50,000-300,000 25% 300,000-1,000,000 40% 55% >1,000,000 75%
JNS.N Janus Capital Group Inc USA 0-30,000 10% 30,000-180,000 20% 180,000-870,000 35% 45% >870,000 75%
WOR.N Worthington Industries Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
PRTA.O Prothena Corp PLC USA 0-8,000 25% 8,000-50,000 40% 50,000-240,000 50% 60% >240,000 75%
WSO.N Watsco Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-90,000 35% 45% >90,000 75%
TECD.O Tech Data Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-180,000 35% 45% >180,000 75%
AWI Armstrong World Industries Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-300,000 35% 45% >300,000 75%
DOC Physicians Realty Trust USA 0-20,000 10% 20,000-120,000 20% 120,000-600,000 35% 45% >600,000 75%
RGA.N Reinsurance Group of America Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-120,000 35% 45% >120,000 75%
SSYS.O Stratasys Ltd USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
PB Prosperity Bancshares Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-240,000 35% 45% >240,000 75%
UNFI.O United Natural Foods Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-300,000 35% 45% >300,000 75%
LOGI.O Logitech International SA USA 0-20,000 10% 20,000-120,000 20% 120,000-600,000 35% 45% >600,000 75%
ALX.N Alexander's Inc USA 0-1,000 20% 1,000-3,000 30% >3000 75% 75%
ALGT.O Allegiant Travel Co USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
NEU.N NewMarket Corp USA 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
PEB Pebblebrook Hotel Trust USA 0-15,000 10% 15,000-90,000 20% 90,000-450,000 35% 45% >450,000 75%
MTZ.N MasTec Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
POR.N Portland General Electric Co USA 0-10,000 10% 10,000-60,000 20% 60,000-300,000 35% 45% >300,000 75%
INCR.O INC Research Holdings Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-300,000 35% 45% >300,000 75%
RGC.N Regal Entertainment Group USA 0-20,000 10% 20,000-120,000 20% 120,000-600,000 35% 45% >600,000 75%
SBGI.O Sinclair Broadcast Group Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
IART.O Integra LifeSciences Holdings Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
IILG.O Interval Leisure Group Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-750,000 35% 45% >750,000 75%
IPGP.O IPG Photonics Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-150,000 35% 45% >150,000 75%
NXST.O Nexstar Broadcasting Group Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-240,000 35% 45% >240,000 75%
EGRX.O Eagle Pharmaceuticals Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
OPHT.O Ophthotech Corp USA 0-8,000 25% 8,000-50,000 40% 50,000-240,000 50% 60% >240,000 75%
CVE.N Cenovus Energy Inc USA 0-29,700 5% 29,700-297,000 10% 297,000-1,782,000 20% 40% >1,782,000 75%
SC Santander Consumer USA Holdings Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
BOFI.O BofI Holding Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-600,000 35% 45% >600,000 75%
HPT.N Hospitality Properties Trust USA 0-15,000 10% 15,000-90,000 20% 90,000-450,000 35% 45% >450,000 75%
BRFS.K BRF SA - ADR USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
KNX Knight Transportation Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-450,000 35% 45% >450,000 75%
HUBB.K Hubbell Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-120,000 35% 45% >120,000 75%
QVCA.O Liberty Interactive Corp USA 0-20,000 5% 20,000-200,000 10% 200,000-1,220,000 20% 40% >1,220,000 75%
SHOP.K Shopify Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-310,000 35% 45% >310,000 75%
H Hyatt Hotels Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
RRD.N RR Donnelley & Sons Co USA 0-25,000 10% 25,000-150,000 20% 150,000-775,000 35% 45% >775,000 75%
FAF.N First American Financial Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-310,000 35% 45% >310,000 75%
ERIC.O Ericsson (LM) - B - ADR USA 0-60,000 15% 60,000-345,000 25% 345,000-1,200,000 40% 55% >1,200,000 75%
CSOD.O Cornerstone OnDemand Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-279,000 35% 45% >279,000 75%
SON.N Sonoco Products Co USA 0-8,000 10% 8,000-50,000 20% 50,000-248,000 35% 45% >248,000 75%
UBNT.O Ubiquiti Networks Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-248,000 35% 45% >248,000 75%
AIV.N Apartment Investment & Management Co USA 0-9,000 5% 9,000-90,000 10% 90,000-558,000 20% 40% >558,000 75%
CIM.N Chimera Investment Corp USA 0-25,000 10% 25,000-150,000 20% 150,000-775,000 35% 45% >775,000 75%
PNY Piedmont Natural Gas Co Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-217,000 35% 45% >217,000 75%
EXPR.K Express Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
LSTR.O Landstar System Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-186,000 35% 45% >186,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 75 of 103
BDN.N Brandywine Realty Trust USA 0-25,000 10% 25,000-150,000 20% 150,000-775,000 35% 45% >775,000 75%
AGO.N Assured Guaranty Ltd USA 0-15,000 10% 15,000-90,000 20% 90,000-465,000 35% 45% >465,000 75%
WRI.N Weingarten Realty Investors USA 0-10,000 10% 10,000-60,000 20% 60,000-310,000 35% 45% >310,000 75%
BDC.N Belden Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
GIMO.K Gigamon Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
LPNT.O LifePoint Hospitals Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
SAGE.O Sage Therapeutics Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-320,000 50% 60% >320,000 75%
HLS.N HealthSouth Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-320,000 35% 45% >320,000 75%
IPHI.K Inphi Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-320,000 35% 45% >320,000 75%
SKT.N Tanger Factory Outlet Centers USA 0-10,000 10% 10,000-60,000 20% 60,000-320,000 35% 45% >320,000 75%
WRB WR Berkley Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-224,000 35% 45% >224,000 75%
HXL.N Hexcel Corp USA 0-9,000 10% 9,000-54,000 20% 54,000-288,000 35% 45% >288,000 75%
STO.N Statoil ASA - ADR USA 0-25,000 5% 25,000-150,000 10% 150,000-500,000 20% 40% >500,000 75%
WPG.N Washington Prime Group Inc USA 0-30,000 10% 30,000-180,000 20% 180,000-960,000 35% 45% >960,000 75%
DNOW.K NOW Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-640,000 35% 45% >640,000 75%
WES.N Western Gas Partners LP USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
AWH Allied World Assurance Co Holdings AG USA 0-10,000 10% 10,000-60,000 20% 60,000-320,000 35% 45% >320,000 75%
GGB.N Gerdau SA - ADR USA 0-140,000 10% 140,000-840,000 20% 840,000-2,800,000 35% 45% >2,800,000 75%
MYGN.O Myriad Genetics Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
PRI Primerica Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
AFSI.O Amtrust Financial Services Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SBGL.K Sibanye Gold Ltd - ADR USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
CS.N Credit Suisse Group AG - ADR USA 0-30,000 5% 30,000-180,000 10% 180,000-600,000 20% 40% >600,000 75%
CMC.N Commercial Metals Co USA 0-25,000 10% 25,000-150,000 20% 150,000-825,000 35% 45% >825,000 75%
BECN.O Beacon Roofing Supply Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-297,000 35% 45% >297,000 75%
CMPR.O Cimpress NV USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CNO.N CNO Financial Group Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
VMI.N Valmont Industries Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
FCS.O Fairchild Semiconductor International Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
PSXP.K Phillips 66 Partners LP USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
SONC.O Sonic Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
FICO.K Fair Isaac Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-99,000 35% 45% >99,000 75%
BLMN.O Bloomin' Brands Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-660,000 35% 45% >660,000 75%
DRH.N DiamondRock Hospitality Co USA 0-40,000 10% 40,000-240,000 20% 240,000-1,280,000 35% 45% >1,280,000 75%
BYD.N Boyd Gaming Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-660,000 35% 45% >660,000 75%
ERJ.N Embraer SA - ADR USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
NKTR.O Nektar Therapeutics USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
MTW.N Manitowoc Co Inc USA 0-80,000 15% 80,000-480,000 25% 480,000-1,600,000 40% 55% >1,600,000 75%
NSAM.N NorthStar Asset Management Corp Inc USA 0-30,000 10% 30,000-180,000 20% 180,000-990,000 35% 45% >990,000 75%
GPT Gramercy Property Trust Inc USA 0-40,000 10% 40,000-240,000 20% 240,000-1,280,000 35% 45% >1,280,000 75%
ISIL.O Intersil Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
MTSI.O M/A-COM Technology Solutions Holdings Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
TASR.O Taser International Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-495,000 35% 45% >495,000 75%
BWXT.K Babcock & Wilcox Co USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
ASNA.O Ascena Retail Group Inc USA 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
MXL MaxLinear Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
BUFF.O Blue Buffalo Pet Products Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-510,000 35% 45% >510,000 75%
CNK Cinemark Holdings Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-340,000 35% 45% >340,000 75%
MLNX.O Mellanox Technologies Ltd USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
CINF.O Cincinnati Financial Corp USA 0-5,000 5% 5,000-50,000 10% 50,000-325,000 20% 40% >325,000 75%
SBS.N Cia de Saneamento Basico do Estado de Sao Paulo USA 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
PBH Prestige Brands Holdings Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
MPWR.O Monolithic Power Systems Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SF Stifel Financial Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-340,000 35% 45% >340,000 75%
FPRX.O Five Prime Therapeutics Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-264,000 35% 45% >264,000 75%
OCLR.O Oclaro Inc USA 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
PAH Platform Specialty Products Corp USA 0-40,000 10% 40,000-240,000 20% 240,000-1,360,000 35% 45% >1,360,000 75%
CLNY.K Colony Financial Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-680,000 35% 45% >680,000 75%
INXN.K InterXion Holding NV USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CENX.O Century Aluminum Co USA 0-60,000 15% 60,000-345,000 25% 345,000-1,200,000 40% 55% >1,200,000 75%
BRO.N Brown & Brown Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-350,000 35% 45% >350,000 75%
TARO.N Taro Pharmaceutical Industries Ltd USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
VSAT.O ViaSat Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
PUK.N Prudential PLC - ADR USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
GPI Group 1 Automotive Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
SLM.O SLM Corp USA 0-50,000 10% 50,000-300,000 20% 300,000-1,750,000 35% 45% >1,750,000 75%
FRAN.O Francesca's Holdings Corp USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
PLCM.O Polycom Inc USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
PEGI.O Pattern Energy Group Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
LITE.O Lumentum Holdings Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
MBT.N Mobile Telesystems OJSC - ADR USA 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
DST.N DST Systems Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-105,000 35% 45% >105,000 75%
CEO.N CNOOC Ltd - ADR USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
KS.N KapStone Paper and Packaging Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
TREX.K Trex Co Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
CVLT.O CommVault Systems Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
LEG.N Leggett & Platt Inc USA 0-7,000 5% 7,000-70,000 10% 70,000-427,000 20% 40% >427,000 75%
RBC.N Regal-Beloit Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
AGI Alamos Gold Inc (USD) USA 0-44,400 10% 44,400-266,400 20% 266,400-888,000 35% 45% >888,000 75%
GEL Genesis Energy LP USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
DISCK.O Discovery Communications Inc - C USA 0-15,000 5% 15,000-150,000 10% 150,000-975,000 20% 40% >975,000 75%
NGD.A New Gold Inc USA 0-70,000 10% 70,000-420,000 20% 420,000-1,400,000 35% 45% >1,400,000 75%
TWO.N Two Harbors Investment Corp USA 0-40,000 10% 40,000-240,000 20% 240,000-1,320,000 35% 45% >1,320,000 75%
IDCC.O InterDigital Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
G.N Genpact Ltd USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
IGT.N International Game Technology USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
MRC MRC Global Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
HELE.O Helen of Troy Ltd USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
MSG.N Madison Square Garden Co USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
CW.N Curtiss-Wright Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-144,000 35% 45% >144,000 75%
JEC.N Jacobs Engineering Group Inc USA 0-7,000 5% 7,000-70,000 10% 70,000-448,000 20% 40% >448,000 75%
MDU.N MDU Resources Group Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-540,000 35% 45% >540,000 75%
AIZ.N Assurant Inc USA 0-4,000 5% 4,000-40,000 10% 40,000-276,000 20% 40% >276,000 75%
DAR.N Darling International Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
VR.N Validus Holdings Ltd USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
MASI.O Masimo Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
MEG.N Media General Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
SSTK.K Shutterstock Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 76 of 103
ETSY.O Etsy Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
SEP.N Spectra Energy Partners LP USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
FSM Fortuna Silver Mines Inc USA 0-39,500 15% 39,500-237,000 25% 237,000-790,000 40% 55% >790,000 75%
SPWR.O SunPower Corp USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
ADPT.K Adeptus Health Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
AMAG.O AMAG Pharmaceuticals Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
HHC Howard Hughes Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CTLT.N Catalent Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
MMS.N MAXIMUS Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
WERN.O Werner Enterprises Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
ALLE.N Allegion PLC USA 0-5,000 10% 5,000-50,000 20% 50,000-350,000 35% 45% >350,000 75%
IBKR.O Interactive Brokers Group Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
LNCE.O Lance Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
EPE EP Energy Corporation USA 0-80,000 25% 80,000-480,000 40% 480,000-1,520,000 50% 60% >1,520,000 75%
BPOP.O Popular Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
ATHM.N Autohome Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
PODD.O Insulet Corp USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
CBSH.O Commerce Bancshares Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
PRAH.O PRA Health Sciences Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
RBA.N Ritchie Bros Auctioneers Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
RPAI.K Retail Properties of America Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
CGNX.O Cognex Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
DLB.N Dolby Laboratories Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
ONCE.O Spark Therapeutics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
WATT.O Energous Corp USA 0-20,000 20% 20,000-120,000 30% 120,000-340,000 50% 60% >340,000 75%
CTB.N Cooper Tire & Rubber Co USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
ZG.O Zillow Group Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-380,000 35% 45% >380,000 75%
DPM.N DCP Midstream Partners LP USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
UHAL.O AMERCO USA 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
WWW.N Wolverine World Wide Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
OMI.N Owens & Minor Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
GBX.N Greenbrier Cos Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
DK.N Delek US Holdings Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
HUBS.K HubSpot Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
IOC InterOil Corp USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
NWSA.O News Corp - A USA 0-25,000 5% 25,000-250,000 10% 250,000-1,500,000 20% 40% >1,500,000 75%
BOKF.O BOK Financial Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
FRO.N Frontline Ltd - ADR USA 0-45,400 20% 45,400-454,000 30% 454,000-908,000 50% 60% >908,000 75%
BLOX.K Infoblox Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
MSTR.O MicroStrategy Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
AXL.N American Axle & Manufacturing Holdings Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
IBKC.O Iberiabank Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
CUZ.N Cousins Properties Inc USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
TPH TRI Pointe Group Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
GATX.N GATX Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
UFS Domtar Corp USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
DV.N DeVry Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
WPC.N WP Carey Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
LANC.O Lancaster Colony Corp USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
TRU TransUnion USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CRH.N CRH PLC - ADR USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
YRD Yirendai Limited USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
COLM.O Columbia Sportswear Co USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
LSXMK.O Liberty SiriusXM Group USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PSEC.O Prospect Capital Corp USA 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
PTLA.O Portola Pharmaceuticals Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
TKR.N Timken Co USA 0-10,000 10% 10,000-60,000 20% 60,000-390,000 35% 45% >390,000 75%
QTS QTS Realty Trust Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
TLLP.K Tesoro Logistics LP USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
MDSO.O Medidata Solutions Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
NS.N NuStar Energy LP USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
CLGX.K CoreLogic Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
SEMG.K SemGroup Corporation USA 0-10,000 10% 10,000-60,000 20% 60,000-390,000 35% 45% >390,000 75%
ESRT.N Empire State Realty Trust Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SWC.N Stillwater Mining Co USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
L.N Loews Corp USA 0-8,000 5% 8,000-80,000 10% 80,000-504,000 20% 40% >504,000 75%
CRTO.O Criteo SA USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
ABG.N Asbury Automotive Group Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
OUT.N Outfront Media Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
TECH.O Techne Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
NHI.N National Health Investors Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
TU.N TELUS Corp USA 0-9,900 5% 9,900-99,000 10% 99,000-693,000 20% 40% >693,000 75%
FII.N Federated Investors Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
GNRC.K Generac Holdings Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
SEAS.K SeaWorld Entertainment Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
PTCT.O PTC Therapeutics Inc USA 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
PKI.N PerkinElmer Inc USA 0-6,000 10% 6,000-60,000 20% 60,000-348,000 35% 45% >348,000 75%
LOCK.N LifeLock Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
HBHC.O Hancock Holding Co USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
BBG Bill Barrett Corp USA 0-50,000 20% 50,000-300,000 30% 300,000-950,000 50% 60% >950,000 75%
TMK.N Torchmark Corp USA 0-5,000 5% 5,000-50,000 10% 50,000-325,000 20% 40% >325,000 75%
LVNTA.O Liberty Ventures USA 0-8,000 5% 8,000-80,000 10% 80,000-504,000 20% 40% >504,000 75%
PKX.N POSCO - ADR USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
INT.N World Fuel Services Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
LXFT.K Luxoft Holding Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
CR.N Crane Co USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
DVAX.O Dynavax Technologies Corp USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
ATR AptarGroup Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
GIII.O G-III Apparel Group Ltd USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
UAc Under Armour Inc - C USA 0-9,000 5% 9,000-90,000 10% 90,000-180,000 20% 40% >180,000 75%
BIO Bio-Rad Laboratories Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
ALDR.O Alder Biopharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
COHR.O Coherent Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
VRNT.O Verint Systems Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
HMY.N Harmony Gold Mining Co Ltd - ADR USA 0-80,000 10% 80,000-480,000 20% 480,000-1,600,000 35% 45% >1,600,000 75%
KKD.N Krispy Kreme Doughnuts Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
GES.N Guess? Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 77 of 103
WWD.O Woodward Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SHOO.O Steven Madden Ltd USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
SLF Sun Life Financial Inc USA 0-9,900 5% 9,900-99,000 10% 99,000-742,500 20% 40% >742,500 75%
IDA IDACORP Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
FNB.N FNB Corp USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
NJR.N New Jersey Resources Corp USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
EVR.N Evercore Partners Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
WTR.N Aqua America Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
SA.N Seabridge Gold Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
SFR Colony Starwood Homes USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
THG.N Hanover Insurance Group Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
PNK.O Pinnacle Entertainment Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-425,000 50% 60% >425,000 75%
ESL.N Esterline Technologies Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SFUN.K SouFun Holdings Ltd - ADR USA 0-70,000 10% 70,000-420,000 20% 420,000-1,400,000 35% 45% >1,400,000 75%
HMC.N Honda Motor Co Ltd - ADR USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CPS.N Cooper-Standard Holdings Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
TRCO.K Tribune Media Co USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
SCOR.O comScore Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
VAC.N Marriott Vacations Worldwide Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
ITCI.O Intra-Cellular Therapies Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
MEET.O MeetMe Inc USA 0-50,000 20% 50,000-300,000 30% 300,000-950,000 50% 60% >950,000 75%
CBM Cambrex Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
CRS.N Carpenter Technology Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
SUN.N Sunoco LP USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CBT.N Cabot Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
ABCO.O Advisory Board Co USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
KEYS.K Keysight Technologies Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
DW Drew Industries Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CACI.K CACI International Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
RGR.N Sturm Ruger & Co Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
IMAX.K Imax Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
AFG.N American Financial Group Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
VVC.N Vectren Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
ICON.O Iconix Brand Group Inc USA 0-35,000 15% 35,000-210,000 25% 210,000-700,000 40% 55% >700,000 75%
SGY.N Stone Energy Corp USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
ASB.N Associated Banc-Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
KBR.N KBR Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
GIB.N CGI Group Inc USA 0-5,900 5% 5,900-59,000 10% 59,000-395,300 20% 40% >395,300 75%
OFC.N Corporate Office Properties Trust USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PRAA.O Portfolio Recovery Associates Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
TCB.N TCF Financial Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
VLY.N Valley National Bancorp USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
PNM.N PNM Resources Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
CLDX.O Celldex Therapeutics Inc USA 0-80,000 25% 80,000-480,000 40% 480,000-1,600,000 50% 60% >1,600,000 75%
CLI.N Mack-Cali Realty Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CVT.N Cvent Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
EBIX.O Ebix Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
AGU.N Agrium Inc (US) USA 0-3,000 5% 3,000-30,000 10% 30,000-273,000 20% 40% >273,000 75%
EME.N EMCOR Group Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SAND.A Sandstorm Gold Ltd (US) USA 0-44,500 20% 44,500-267,000 30% 267,000-845,500 50% 60% >845,500 75%
SWX.N Southwest Gas Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
BOH.N Bank of Hawaii Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
EVER.K EverBank Financial Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
LUK.N Leucadia National Corp USA 0-15,000 5% 15,000-150,000 10% 150,000-1,005,000 20% 40% >1,005,000 75%
FCNCA.O First Citizens Bancshares Inc USA 0-1,000 15% 1,000-6,000 25% 6,000-9,250 40% 55% >9,250 75%
NTGR.O NETGEAR Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
CLH Clean Harbors Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
EFII.O Electronics For Imaging Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
RDY.N Dr Reddy's Laboratories Ltd - ADR USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
HRI Herc Rentals Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
ADXS.O Advaxis Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
ENLK.K Enlink Midstream Partners LP USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
BBVA.K Banco Bilbao Vizcaya Argentaria SA - ADR USA 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
PEN Penumbra Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
TLRD.K Tailored Brands Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
SUM Summit Materials Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
CCP Care Capital Properties Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
TIVO.O TiVo Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
VSH.N Vishay Intertechnology Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
ENS.N EnerSys Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
IRWD.O Ironwood Pharmaceuticals Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
LYG.N Lloyds Banking Group PLC - ADR USA 0-90,000 10% 90,000-540,000 20% 540,000-1,800,000 35% 45% >1,800,000 75%
VSTO.K Vista Outdoor Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
MBI.N MBIA Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
SAAS.O inContact Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
PRLB.K Proto Labs Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
DLX.N Deluxe Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
APO Apollo Global Management LLC USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
USNA.K USANA Health Sciences Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
POL.N PolyOne Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
WNC.N Wabash National Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
CHE.N Chemed Corp USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
SHLX.K Shell Midstream Partners LP USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
TLN Talen Energy Corporation USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
LGIH.O LGI Homes Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
MTX.N Minerals Technologies Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
WTFC.O Wintrust Financial Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
DBD.N Diebold Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
JKS.N JinkoSolar Holding Co Ltd - ADR USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
VIAV.O Viavi Solutions Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
WIN.O Windstream Corp USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
BFAM.N Bright Horizons Family Solutions Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
KN.N Knowles Corp USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
PGRE.K Paramount Group Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
TDY.N Teledyne Technologies Inc USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
SVU.N SUPERVALU Inc USA 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
FET Forum Energy Technologies Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
MBFI.O MB Financial Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 78 of 103
VWR.O VWR Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
BLDR.O Builders FirstSource Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
AEL.N American Equity Investment Life Holding Co USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
ZOES.N Zoe's Kitchen Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
EURN.K Euronav NV (US) USA 0-29,500 15% 29,500-177,000 25% 177,000-590,000 40% 55% >590,000 75%
UFPI.O Universal Forest Products Inc USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
NSP.N Insperity Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
BXMT.N Blackstone Mortgage Trust Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
DOOR.K Masonite International Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CATM.O Cardtronics Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
EBIO.O Eleven Biotherapeutics Inc USA 0-60,000 25% 60,000-345,000 40% 345,000-1,140,000 50% 60% >1,140,000 75%
LILAK.O Liberty LiLAC Group USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
NHTC.O Natural Health Trends Corp USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
ENH Endurance Specialty Holdings Ltd USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
OSIS.O OSI Systems Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
MDP.N Meredith Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
TEF.N Telefonica SA - ADR USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
BRS.N Bristow Group Inc USA 0-25,000 20% 25,000-150,000 30% 150,000-475,000 50% 60% >475,000 75%
NGVT.K Ingevity Corporation USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
YPF.N YPF SA - ADR USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SR.N Laclede Group Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SCSS.O Select Comfort Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
HALO.O Halozyme Therapeutics Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
UE.N Urban Edge Properties USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
GWB Great Western Bancorp Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
MDR.N McDermott International Inc USA 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
OLLI.O Ollie's Bargain Outlet Holdings Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
AMWD.O American Woodmark Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SAIC.K Science Applications International Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
TSL.N Trina Solar Ltd - ADR USA 0-25,000 20% 25,000-150,000 30% 150,000-500,000 50% 60% >500,000 75%
AKR Acadia Realty Trust USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
NAT.N Nordic American Tankers Ltd USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
CLC.N CLARCOR Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SNCR.O Synchronoss Technologies Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
SEDG.O SolarEdge Technologies Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
HYH Halyard Health Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
NEWR.O New Relic Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
DORM.O Dorman Products Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CCOI.O Cogent Communications Holdings Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
WGL WGL Holdings Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
TDS Telephone & Data Systems Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
ICUI.O ICU Medical Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
KRA Kraton Performance Polymers Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
SFLY.O Shutterfly Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
OTEX.O Open Text Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
FN Fabrinet USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
QLYS.O Qualys Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
OGS.N ONE Gas Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
PEI Pennsylvania Real Estate Investment Trust USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
HWAY.O Healthways Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
GPRE.O Green Plains Renewable Energy Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
LFUS.O Littelfuse Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
BZH.N Beazer Homes USA Inc USA 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
PSTG.N Pure Storage Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
CATY.O Cathay General Bancorp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
BWP Boardwalk Pipeline Partners LP USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
EXK Endeavour Silver Corp USA 0-44,400 20% 44,400-266,400 30% 266,400-888,000 50% 60% >888,000 75%
EBS Emergent Biosolutions Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
AAN.N Aaron's Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
SQM.N Sociedad Quimica y Minera de Chile SA - ADR USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
TWOU.O 2U Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
DIN.N DineEquity Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
GOGO.O Gogo Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
USCR.O US Concrete Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SMFG.K Sumitomo Mitsui Financial Group Inc USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
FOLD.O Amicus Therapeutics Inc USA 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
GRFS.O Grifols SA - ADR USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
AMED.O Amedisys Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
CMRX.O Chimerix Inc USA 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
ALE.N ALLETE Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
BXS.N BancorpSouth Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CVG.N Convergys Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
GOV.O Government Properties Income Trust USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
MWA.N Mueller Water Products Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
GEF.N Greif Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
ACOR.O Acorda Therapeutics Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
IPXL.O Impax Laboratories Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
MKSI.O MKS Instruments Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
CRR.N CARBO Ceramics Inc USA 0-20,000 20% 20,000-120,000 30% 120,000-340,000 50% 60% >340,000 75%
IVR_pb.N Invesco Mortgage Capital Inc Pfd 7 3/4 12/31/49 USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
ANIP.O ANI Pharmaceuticals Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
FTK Flotek Industries Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
MTCH.O Match Group Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SANM.O Sanmina Corp USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
DGI.N DigitalGlobe Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
GCI.N Gannett Co Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
GMED.K Globus Medical Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
NSM.N Nationstar Mortgage Holdings Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
HRG Harbinger Group Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
MDC.N MDC Holdings Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
BITA.K Bitauto Holdings Ltd USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
LSXMA.O Liberty SiriusXM Group USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
AROC.K Archrock Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
NG.A Novagold Resources Inc (US) USA 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
HMHC.O Houghton Mifflin Harcourt Co USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
UMBF.O UMB Financial Corporation USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
TEP Tallgrass Energy Partners LP USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 79 of 103
NWE NorthWestern Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
NSR.N NeuStar Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
GCP GCP Applied Technologies Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
HIBB.O Hibbett Sports Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
KRG Kite Realty Group Trust USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
CMN Cantel Medical Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
MFA.N MFA Financial Inc USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
VGR.N Vector Group Ltd USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PVG Pretium Resources Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
BSFT.O BroadSoft Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
MNRO.O Monro Muffler Brake Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
YRCW.O YRC Worldwide Inc USA 0-20,000 20% 20,000-120,000 30% 120,000-340,000 50% 60% >340,000 75%
TK.N Teekay Corp USA 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
CXRX.O Concordia Healthcare Corporation USA 0-29,700 20% 29,700-178,200 30% 178,200-594,000 50% 60% >594,000 75%
QUNR.O Qunar Cayman Islands Ltd USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
LQ.N La Quinta Holdings Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
OCN.N Ocwen Financial Corp USA 0-70,000 15% 70,000-420,000 25% 420,000-1,400,000 40% 55% >1,400,000 75%
CSTE.O Caesarstone Sdot-Yam Ltd USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
COKE.O Coca-Cola Bottling Co Consolidated USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
SFL.N Ship Finance International Ltd USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
NTT.N Nippon Telegraph & Telephone Corp - ADR USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
WRE.N Washington Real Estate Investment Trust USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
FMSA.K FMSA Holdings Inc USA 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
SAN.N Banco Santander SA - ADR USA 0-50,000 10% 50,000-300,000 20% 300,000-1,000,000 35% 45% >1,000,000 75%
CVA.N Covanta Holding Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SLAB.O Silicon Laboratories Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
ROIC.O Retail Opportunity Investments Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PCTY.O Paylocity Holding Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
PSB.N PS Business Parks Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
TROX.K Tronox Ltd USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
DJCO.O Daily Journal Corporation USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
AEIS.O Advanced Energy Industries Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SGYP.O Synergy Pharmaceuticals Inc USA 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
PNFP.O Pinnacle Financial Partners Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
STAG.K STAG Industrial Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
HAE.N Haemonetics Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
CYS.N CYS Investments Inc USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
INO.O Inovio Pharmaceuticals Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
CKEC.O Carmike Cinemas Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
SXT Sensient Technologies Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
EGP EastGroup Properties Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SUPN.O Supernus Pharmaceuticals Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CHDN.O Churchill Downs Inc USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
AVG AVG Technologies NV USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
TIME.K Time Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
RNG.N RingCentral Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
SKM.N SK Telecom Co Ltd - ADR USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
KALU.O Kaiser Aluminum Corp USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
SPNC.O The Spectranetics Corporation USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
HMSY.O HMS Holdings Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
SCS.N Steelcase Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
CORE.O Core-Mark Holding Co Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
PDM Piedmont Office Realty Trust Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
WIX.O Wix.com Ltd USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
SODA.O SodaStream International Ltd USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
AM Antero Midstream Partners LP USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
PACB.O Pacific Biosciences of California Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
DHT DHT Holdings Inc USA 0-50,000 15% 50,000-300,000 25% 300,000-1,000,000 40% 55% >1,000,000 75%
LXU.N LSB Industries Inc USA 0-20,000 20% 20,000-120,000 30% 120,000-360,000 50% 60% >360,000 75%
USFD.K US Foods Holding Corp USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
MTH.N Meritage Homes Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
LXP.N Lexington Realty Trust USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
KLXI.O KLX Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
CUDA.K Barracuda Networks Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
TAL.N TAL International Group Inc USA 0-14,300 15% 14,300-85,800 25% 85,800-257,400 40% 55% >257,400 75%
CHFC.O Chemical Financial Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
E.N Eni SpA - ADR USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
TRTN.K Triton International Limited USA 0-15,000 15% 15,000-90,000 25% 90,000-270,000 40% 55% >270,000 75%
BOX Box Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
JWa.N John Wiley & Sons Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
MLHR.O Herman Miller Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
ITRI.O Itron Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
LTC LTC Properties Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
PIR Pier 1 Imports Inc USA 0-45,000 20% 45,000-270,000 30% 270,000-900,000 50% 60% >900,000 75%
SCAI.O Surgical Care Affiliates Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
FULT.O Fulton Financial Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
WAFD.O Washington Federal Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
ATU.N Actuant Corp USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
TCP TC PipeLines LP USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
AIRM.O Air Methods Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
CEQP.K Crestwood Equity Partners LP USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
BCC Boise Cascade Co USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
OXM Oxford Industries Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
PENN.O Penn National Gaming Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
FCPT.K Four Corners Property Trust Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
BABY.O Natus Medical Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
CEF.A Central Fund of Canada Ltd USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
TVPT.N Travelport Worldwide Ltd USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
ESNT.K Essent Group Ltd USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
LTRPA.O Liberty TripAdvisor Holdings Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
RLI.N RLI Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
HE.N Hawaiian Electric Industries Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
CRAY.O Cray Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
RHP Ryman Hospitality Properties Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
ACHN.O Achillion Pharmaceuticals Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
NWS.O News Corp - B USA 0-15,000 10% 15,000-150,000 20% 150,000-495,000 35% 45% >495,000 75%
CIB.N Bancolombia SA - ADR USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 80 of 103
REX REX American Resources Corp USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
SJI.N South Jersey Industries Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
CHMT.K Chemtura Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
ONB.O Old National Ban Corporation USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
CLNE.O Clean Energy Fuels Corp USA 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
SBRA.O Sabra Health Care REIT Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
JBT John Bean Technologies Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
HSNI.O HSN Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
ZIOP.O ZIOPHARM Oncology Inc USA 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
AVA.N Avista Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SOHU.O Sohu.com Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
CIG.N Cia Energetica de Minas Gerais - ADR USA 0-70,000 10% 70,000-420,000 20% 420,000-1,400,000 35% 45% >1,400,000 75%
BLKB.O Blackbaud Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
NXTM.O NxStage Medical Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
SKYW.O SkyWest Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
HEI.N HEICO Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CVWG.O Calavo Growers Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
ERII.O Energy Recovery Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
UIS.N Unisys Corp USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
VG Vonage Holdings Corp USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
ALJ.N Alon USA Energy Inc USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
STNG.K Scorpio Tankers Inc USA 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
TSRA.O Tessera Technologies Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
KYN.N Kayne Anderson MLP Investment Company USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
AERI.O Aerie Pharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
CYNO.O Cynosure Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
NWLI.O National Western Life Group Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
TSU.N Tim Participacoes SA - ADR USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
FRGI.O Fiesta Restaurant Group Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
NERV.O Minerva Neurosciences Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
RRGB.O Red Robin Gourmet Burgers Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
IRBT.O iRobot Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SJR.N Shaw Communications Inc USA 0-9,900 5% 9,900-99,000 10% 99,000-821,700 20% 40% >821,700 75%
AAWW.O Atlas Air Worldwide Holdings Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
ENV.N Envestnet Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
BANC.K Banc of California Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
SLGN.O Silgan Holdings Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SNN.N Smith & Nephew PLC - ADR USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
TRMK.O Trustmark Corporation USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
BJRI.O BJ's Restaurants Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
AAOI.O Applied Optoelectronics Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
TMST.N TimkenSteel Corp USA 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
GCO.N Genesco Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
GVA.N Granite Construction Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CXP Columbia Property Trust Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
PATK.O Patrick Industries Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
SRG Seritage Growth Properties USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
NATI.O National Instruments Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
UNF UniFirst Corp/MA USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
LMCA.O Liberty Media Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-75,000 35% 45% >75,000 75%
FUL.N Fuller (HB) Co USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CMCM.K Cheetah Mobile Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
RYN.N Rayonier Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
OPTT.O Ocean Power Technologies Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
GK.O G&K Services Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
APOG.O Apogee Enterprises Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
UBSI.O United Bankshares Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SMTC.O Semtech Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
EMES.N Emerge Energy Services LP USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
HCSG.O Healthcare Services Group Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
ASGN.K On Assignment Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
WAGE.K WageWorks Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
KFY.N Korn Ferry International USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
AXE.N Anixter International Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
TLK.N Telekomunikasi Indonesia Persero Tbk PT - ADR USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
HURN.O Huron Consulting Group Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
XLRN.O Acceleron Pharma Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
EC Ecopetrol SA USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
GSAT.A Globalstar Inc USA 0-130,000 20% 130,000-780,000 30% 780,000-2,600,000 50% 60% >2,600,000 75%
AHL Aspen Insurance Holdings Ltd USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
PINC.O Premier Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
ELGX.O Endologix Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
GTLS.O Chart Industries Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
RPTP.O Raptor Pharmaceutical Corp USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
WGP Western Gas Equity Partners LP USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
MACK.O Merrimack Pharmaceuticals Inc USA 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
RCII.O Rent-A-Center Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
RTRX.O Retrophin Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
HLX.N Helix Energy Solutions Group Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
KEP Korea Electric Power Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
LSCC.O Lattice Semiconductor Corp USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
HOMB.O Home Bancshares Inc. (Conway AR) USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
PKY Parkway Properties Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
APLE.K Apple Hospitality REIT Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
DHIL.O Diamond Hill Investment Group Inc USA 0-1,000 20% 1,000-3,000 30% 3,000-4,750 50% 60% >4,750 75%
PETX.O Aratana Therapeutics Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
BKS.N Barnes & Noble Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SEM Select Medical Holdings Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
TPL.N Texas Pacific Land Trust USA 0-1,000 20% 1,000-3,000 30% 3,000-5,250 50% 60% >5,250 75%
ACXM.O Acxiom Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
HRTX.O Heron Therapeutics Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
APU AmeriGas Partners LP USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
ARR ARMOUR Residential REIT Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
MUX.N McEwen Mining Inc USA 0-45,000 10% 45,000-270,000 20% 270,000-900,000 35% 45% >900,000 75%
CHUY.O Chuy's Holdings Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
CIE.N Cobalt International Energy Inc USA 0-140,000 25% 140,000-840,000 40% 840,000-2,660,000 50% 60% >2,660,000 75%
BGCP.O BGC Partners Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 81 of 103
ININ.O Interactive Intelligence Group Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
NYLD.N NRG Yield Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
UVV.N Universal Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
WDFC.O WD-40 Co USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
VNET.O 21Vianet Group Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
WLH William Lyon Homes USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
OME Omega Protein Corp USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
WPPGY.O WPP PLC - ADR USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
IOSP.O Innospec Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
KERX.O Keryx Biopharmaceuticals Inc USA 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
EXG.N Eaton Vance Tax-Managed Global Diversified Equity Income Fund USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
FLOW.K SPX FLOW Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
BCO.N Brink's Co USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
TTEK.O Tetra Tech Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
INGN.O Inogen Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
MSGN.K MSG Networks Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CSGS.O CSG Systems International Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
ECPG.O Encore Capital Group Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
OAK Oaktree Capital Group LLC USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
VRTS.O Virtus Investment Partners Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
BSBR.K Banco Santander Brasil SA - ADR USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
ROL Rollins Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
FDP.N Fresh Del Monte Produce Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
STL Sterling Ban Corporation USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
ELY.N Callaway Golf Co USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
FBR Fibria Celulose SA USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
SCHN.O Schnitzer Steel Industries Inc USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
MOGa.N Moog Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
FCN.N FTI Consulting Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
FUN Cedar Fair LP USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
HTLD.O Heartland Express Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
SMCI.O Super Micro Computer Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
CEB.N Corporate Executive Board Co USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
ERF.N Enerplus Corp USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
ABY.O Abengoa Yield plc USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
RXN.N Rexnord Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
PDI.N Pimco Dynamic Income Fund USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
HEIa.N HEICO Corporation USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
TXMD.K TherapeuticsMD Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
BLD TopBuild Corporation USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
LABL.O Multi-Color Corp USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
CROX.O Crocs Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
HW.N Headwaters Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
HQY.O HealthEquity Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
RYAM.K Rayonier Advanced Materials Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
ENLC.K EnLink Midstream LLC USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
NTRI.O Nutrisystem Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
HUBG.O Hub Group Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
APOL.O Apollo Group Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
BATRK.O Liberty Braves Group USA 0-10,000 15% 10,000-60,000 25% 60,000-110,000 40% 55% >110,000 75%
BKE.N Buckle Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
PSMT.O Pricesmart Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
EDE The Empire District Electric Company USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
ARI Apollo Commercial Real Estate Finance Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
TNET.N TriNet Group Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
THRM.O Gentherm Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
WWE.N World Wrestling Entertainment Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
MTOR.K Meritor Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
BETR.K Amplify Snack Brands Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
HNI.N HNI Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
UCBI.O United Community Banks Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
RGEN.O Repligen Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
VRA.O Vera Bradley Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
PLKI.O Popeyes Louisiana Kitchen Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
ZUMZ.O Zumiez Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
ESGR.O Enstar Group Ltd USA 0-1,000 15% 1,000-6,000 25% 6,000-15,000 40% 55% >15,000 75%
LOPE.O Grand Canyon Education Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
NPTN.K NeoPhotonics Corp USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
MGLN.O Magellan Health Services Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
B.N Barnes Group Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
PRA.N ProAssurance Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
GDOT.K Green Dot Corp USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
RESI.K Altisource Residential Corp USA 0-15,000 15% 15,000-90,000 25% 90,000-285,000 40% 55% >285,000 75%
MFS Manitowoc Foodservice Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
MATX.K Matson Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SPXC.N SPX Corp USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
TDW.N Tidewater Inc USA 0-50,000 20% 50,000-300,000 30% 300,000-950,000 50% 60% >950,000 75%
TMHC.K Taylor Morrison Home Corp USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
OFG OFG Ban Corporation USA 0-15,000 15% 15,000-90,000 25% 90,000-285,000 40% 55% >285,000 75%
CVCO.O Cavco Industries Inc USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
CBD.N Cia Brasileira de Distribuicao USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
ARRY.O Array BioPharma Inc USA 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
JBSS.O John B Sanfilippo & Son Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
PGND.K Press Ganey Holdings Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
LZB.N La-Z-Boy Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
GLUU.O Glu Mobile Inc USA 0-70,000 20% 70,000-420,000 30% 420,000-1,260,000 50% 60% >1,260,000 75%
REXR.K Rexford Industrial Realty Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
CALD.O Callidus Software Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
ENTA.O Enanta Pharmaceuticals Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
TILE.O Interface Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
MCRB.O Seres Therapeutics Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
FNGN.O Financial Engines Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
APAM.K Artisan Partners Asset Management Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
BOBE.O Bob Evans Farms Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
AYA.O Amaya Inc USA 0-9,900 25% 9,900-59,400 40% 59,400-198,000 50% 60% >198,000 75%
GLOB.K Globant SA USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
KND.N Kindred Healthcare Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 82 of 103
CWT.N California Water Service Group USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SPTN.O SpartanNash Co USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
GHL.N Greenhill & Co Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
KW Kennedy-Wilson Holdings Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
KOS Kosmos Energy Ltd USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
MORE.K Monogram Residential Trust Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
ROLL.O RBC Bearings Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
BMA.N Banco Macro SA - ADR USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
PGNX.O Progenics Pharmaceuticals Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
BCOR.O Blucora Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-285,000 40% 55% >285,000 75%
MWW.N Monster Worldwide Inc USA 0-45,000 20% 45,000-270,000 30% 270,000-900,000 50% 60% >900,000 75%
AKG.A Asanko Gold Inc (US) USA 0-34,800 15% 34,800-208,800 25% 208,800-696,000 40% 55% >696,000 75%
CG.O Carlyle Group LP USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
BGC.N General Cable Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
EXLS.O ExlService Holdings Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
COT.N Cott Corp USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
RBS.N Royal Bank of Scotland Group PLC - ADR USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
CVBF.O CVB Financial Corp USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
NOG.A Northern Oil and Gas Inc USA 0-25,000 20% 25,000-150,000 30% 150,000-500,000 50% 60% >500,000 75%
AF.N Astoria Financial Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
BT.N BT Group PLC - ADR USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
SATS.O EchoStar Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
SSL.N Sasol Ltd - ADR USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
INSY.O Insys Therapeutics Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
EZPW.O Ezcorp Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-285,000 40% 55% >285,000 75%
BPT.N BP Prudhoe Bay Royalty Trust USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
TTI.N TETRA Technologies Inc USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
AGEN.O Agenus Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
ASR.N Grupo Aeroportuario del Sureste SAB de CV - ADR USA 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
IIVI.O II-VI Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
GGAL.O Grupo Financiero Galicia SA USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
PCH.O Potlatch Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SIR Select Income REIT USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
WING.O Wingstop Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
ACIW.O ACI Worldwide Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
HOS.N Hornbeck Offshore Services Inc USA 0-30,000 20% 30,000-180,000 30% 180,000-570,000 50% 60% >570,000 75%
EGL.N Engility Holdings Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
GKOS.K Glaukos Corporation USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
HIFR.K InfraREIT Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
GB Greatbatch Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
EGBN.O Eagle Bancorp Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
ABM ABM Industries Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
NLNK.O NewLink Genetics Corp USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
LTXB.O LegacyTexas Financial Group Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
PLT.N Plantronics Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
UVE Universal Insurance Holdings Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
KWR Quaker Chemical Corp USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
ROCK.O Gibraltar Industries Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
PMT.N PennyMac Mortgage Investment Trust USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
SGMS.O Scientific Games Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
UEIC.O Universal Electronics Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
NWN Northwest Natural Gas Company USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
WIT.N Wipro Ltd - ADR USA 0-15,000 15% 15,000-90,000 25% 90,000-285,000 40% 55% >285,000 75%
CAMP.O CalAmp Corp USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
FCFS.K First Cash Financial Services Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
HT Hersha Hospitality Trust USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
RUN.O Sunrun Inc USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
PHH.N PHH Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
AMSF.O AMERISAFE Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
HOLI.O Hollysys Automation Technologies Ltd USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
GERN.O Geron Corp USA 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
HSC.N Harsco Corp USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
STM.N STMicroelectronics NV (US) USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
HDP.O Hortonworks Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
CHRS.O Coherus Biosciences Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
VASC.O Vascular Solutions Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
CMO.N Capstead Mortgage Corp USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
CHSP.K Chesapeake Lodging Trust USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
KOF.N Coca-Cola Femsa SAB de CV - ADR USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
ADTN.O ADTRAN Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
EXPO.O Exponent Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
ORBC.O ORBCOMM Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-270,000 40% 55% >270,000 75%
WABC.O Westamerica Bancorporation USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
TOO Teekay Offshore Partners LP USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
NEOG.O Neogen Corporation USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
CORR.K CorEnergy Infrastructure Trust Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
CSII.O Cardiovascular Systems Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
MTSC.O MTS Systems Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
PLAB.O Photronics Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-270,000 40% 55% >270,000 75%
BBN.N BlackRock Build America Bond Trust USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
PDS.N Precision Drilling Corp USA 0-35,000 10% 35,000-210,000 20% 210,000-700,000 35% 45% >700,000 75%
LXRX.O Lexicon Pharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
INOV.O Inovalon Holdings Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
MITL.O Mitel Networks Corporation USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
MMSI.O Merit Medical Systems Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
NLS Nautilus Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
POWI.O Power Integrations Inc USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
CIR.N CIRCOR International Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
CKH.N SEACOR Holdings Inc USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
BLCM.O Bellicum Pharmaceuticals Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
MYCC.K ClubCorp Holdings Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CPLA.O Capella Education Co USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
INVN.K InvenSense Inc USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
ABAX.O Abaxis Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
GBCI.O Glacier Bancorp Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
BIP.N Brookfield Infrastructure Partners LP USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CENTA.O Central Garden and Pet Co - A USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 83 of 103
SNP.N China Petroleum & Chemical Corp - ADR USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
ADC Agree Realty Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
LILA.O Liberty LiLAC Group USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
VNDA.O Vanda Pharmaceuticals Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
HBM HudBay Minerals Inc USA 0-34,700 10% 34,700-208,200 20% 208,200-694,000 35% 45% >694,000 75%
HCLP.K Hi-Crush Partners LP USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
PDLI.O PDL BioPharma Inc USA 0-45,000 15% 45,000-270,000 25% 270,000-900,000 40% 55% >900,000 75%
WRLD.O World Acceptance Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
AIT.N Applied Industrial Technologies Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
NBGPY.PK National Bank of Greece SA - ADR USA 0-60,000 20% 60,000-345,000 30% 345,000-1,080,000 50% 60% >1,080,000 75%
VECO.O Veeco Instruments Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
NYRT.K New York REIT Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
CUB.N Cubic Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
WGO.N Winnebago Industries Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
SID.N Cia Siderurgica Nacional SA - ADR USA 0-50,000 15% 50,000-300,000 25% 300,000-1,000,000 40% 55% >1,000,000 75%
CONN.O Conn's Inc USA 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
UNVR.K Univar Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
MPAA.O Motorcar Parts of America Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
CVI.N CVR Energy Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
ORBK.O Orbotech Ltd USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
AIR.N AAR Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
WMS Advanced Drainage Systems Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
SCSC.O ScanSource Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
MEI.N Methode Electronics Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CTRE.O CareTrust REIT Inc USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
LBRDA.O Liberty Broadband Corp USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
LNN.N Lindsay Corp USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
TPC.N Tutor Perini Corp USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
PLUS.O ePlus Inc USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
NR.N Newpark Resources Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
SXC.N SunCoke Energy Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-380,000 40% 55% >380,000 75%
AVXS.O AveXis Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
MTGE.O American Capital Mortgage Investment Corp USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
BCRX.O BioCryst Pharmaceuticals Inc USA 0-30,000 25% 30,000-180,000 40% 180,000-570,000 50% 60% >570,000 75%
VSI.N Vitamin Shoppe Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
MLI.N Mueller Industries Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
MGEE.O MGE Energy Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
FWRD.O Forward Air Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
GHDX.O Genomic Health Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
ADMS.O Adamas Pharmaceuticals Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
BCPC.O Balchem Corp USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
GLOG.K GasLog Ltd USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
RDEN.O Elizabeth Arden Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
EE.N El Paso Electric Co USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
HABT.O Habit Restaurants Inc/The USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
CCJ.N Cameco Corp USA 0-14,900 10% 14,900-149,000 20% 149,000-1,490,000 35% 45% >1,490,000 75%
LPL.N LG Display Co Ltd - ADR USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
EGOV.O NIC Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
MCY.N Mercury General Corp USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
NTLA.O Intellia Therapeutics Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-119,000 50% 60% >119,000 75%
FMBI.O First Midwest Bancorp Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
QIWI.O QIWI plc USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
AMKR.O Amkor Technology Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
TPIC.O TPI Composites Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MAIN.K Main Street Capital Corp USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
RUBI.K Rubicon Project Inc/The USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
INSM.O Insmed Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
BGG.N Briggs & Stratton Corp USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
SPSC.O SPS Commerce Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
NPO.N EnPro Industries Inc USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
ENTG.O Entegris Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
EGHT.O 8x8 Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
DXPE.O DXP Enterprises Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
ORAN.K Orange SA - ADR USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
LOCO.O El Pollo Loco Holdings Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
OFIX.O Orthofix International NV USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
CLD.N Cloud Peak Energy Inc USA 0-35,000 20% 35,000-210,000 30% 210,000-630,000 50% 60% >630,000 75%
NICE.O NICE Systems Ltd - ADR USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
TRNO.K Terreno Realty Corporation USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
FOE Ferro Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
QUAD.K Quad Graphics Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
NGHC.O National General Holdings Corporation USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
PJC.N Piper Jaffray Cos USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
FCH.N FelCor Lodging Trust Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
MRCY.O Mercury Systems Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
GOL Gol Linhas Aereas Inteligentes SA - ADR USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
RPT.N Ramco-Gershenson Properties Trust USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
AAT American Assets Trust Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CNA.N CNA Financial Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
EVTC.K EVERTEC Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
RMBS.O Rambus Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
HTHT.O China Lodging Group Ltd - ADR USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
MTU.N Mitsubishi UFJ Financial Group Inc - ADR USA 0-25,000 10% 25,000-150,000 20% 150,000-500,000 35% 45% >500,000 75%
FGEN.O FibroGen Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
KAMN.K Kaman Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
NOAH.N Noah Holdings Ltd USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
SHLM.O A Schulman Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
STCK.O Stock Building Supply Holdings Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
RRMS.K Rose Rock Midstream LP USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
TBI TrueBlue Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
XHR Xenia Hotels & Resorts Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
FGP Ferrellgas Partners LP USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
SPH.N Suburban Propane Partners LP USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
PTR.N PetroChina Co Ltd - ADR USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
PMC PharMerica Corp USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
CBPX.K Continental Building Products Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
PWE.N Penn West Petroleum Ltd (US) USA 0-79,100 15% 79,100-474,600 25% 474,600-1,582,000 40% 55% >1,582,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 84 of 103
PEGA.O Pegasystems Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
TGP Teekay LNG Partners LP. USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
AMPH.O Amphastar Pharmaceuticals Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
TNK Teekay Tankers Ltd USA 0-50,000 15% 50,000-300,000 25% 300,000-1,000,000 40% 55% >1,000,000 75%
HIFS.O Hingham Institution for Savings USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
BMI Badger Meter Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
PEIX.O Pacific Ethanol Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
REGI.O Renewable Energy Group Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-255,000 50% 60% >255,000 75%
DERM.O Dermira Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
ATNI.O Atlantic Tele-Network Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
IQNT.O Inteliquent Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
AB.N AllianceBernstein Holding LP USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
GLBL.O TerraForm Global Inc USA 0-35,000 15% 35,000-210,000 25% 210,000-700,000 40% 55% >700,000 75%
AZZ AZZ Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
KNL Knoll Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
COLB.O Columbia Banking System Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
WBAI.N 500.com Ltd USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
AMBC.O Ambac Financial Group Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
AYR.N Aircastle Ltd USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
OSUR.O OraSure Technologies Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
YDKN.K Yadkin Financial Corp USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
NYT.N New York Times Co USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
WTS.N Watts Water Technologies Inc USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
RMAX.K RE MAX Holdings Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
SXI Standex International Corp USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
GGN.A GAMCO Global Gold Natural Resources & Income Trust USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
TNC Tennant Co USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
IHG.N InterContinental Hotels Group PLC - ADR USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
JMEI.N Jumei International Holding Ltd USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
ECR Eclipse Resources Corp USA 0-35,000 20% 35,000-210,000 30% 210,000-665,000 50% 60% >665,000 75%
CPK Chesapeake Utilities Corporation USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
AIN.N Albany International Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
BEAT.O BioTelemetry Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
SHLD.O Sears Holdings Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PFGC.K Performance Food Group Company USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
CZR.O Caesars Entertainment Corp USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
DCM.N NTT DOCOMO Inc - ADR USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
VRTU.O Virtusa Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
STAY.N Extended Stay America Inc USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
GORO.A Gold Resource Corp USA 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
KANG.O iKang Healthcare Group Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
CERS.O Cerus Corp USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
BSAC.K Banco Santander Chile - ADR USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
AXON.K Axovant Sciences Limited USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
USPH.K US Physical Therapy Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
LFC.N China Life Insurance Co Ltd - ADR USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
CNS Cohen & Steers Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
SDLP.K Seadrill Partners LLC USA 0-35,000 20% 35,000-210,000 30% 210,000-630,000 50% 60% >630,000 75%
BPFH.O Boston Private Financial Holdings Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
ENBL.K Enable Midstream Partners LP USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
CPSI.O Computer Programs & Systems Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
VLRS.K Controladora Vuela Cia de Aviacion SAB de CV USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
PLNT.K Planet Fitness Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
ATRA.O Atara Biotherapeutics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
CFMS.O ConforMIS Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
RP.O RealPage Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
APFH.N AdvancePierre Foods Holdings Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
SYNT.O Syntel Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
AXDX.O Accelerate Diagnostics Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
IPHS.O Innophos Holdings Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CNMD.O CONMED Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SHEN.O Shenandoah Telecommunications Co USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
FIG.N Fortress Investment Group LLC USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
XNCR.O Xencor Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
TISI.K Team Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
CSH.N Cash America International Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
ENIA.K Enersis SA - ADR USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
PRO PROS Holdings Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
BNFT.O Benefitfocus Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
KRNY.O Kearny Financial Corp USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
VLP Valero Energy Partners LP USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
NMBL.K Nimble Storage Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
SSW.N Seaspan Corp USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
TSEM.O Tower Semiconductor Ltd USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
MORN.O Morningstar Inc USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
MITK.O Mitek Systems Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
VIP.O VimpelCom Ltd - ADR USA 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
EIGI.O Endurance International Group Holdings Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
AMRN.O Amarin Corp PLC - ADR USA 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
NWBI.O Northwest Bancshares Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
BOOT.K Boot Barn Holdings Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
CAL.N Caleres Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
FSC.O Fifth Street Finance Corp USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
BATS.K Bats Global Markets Inc. USA 0-5,000 15% 5,000-30,000 25% 30,000-90,000 40% 55% >90,000 75%
NSA National Storage Affili AE USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
NSIT.O Insight Enterprises Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-76,000 40% 55% >76,000 75%
MDCA.O MDC Partners Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
RTEC.K Rudolph Technologies Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
AMC AMC Entertainment Holdings Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
TOWR.K Tower International Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
JJSF.O J&J Snack Foods Corp USA 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
EEQ.N Enbridge Energy Management LLC USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
EIG Employers Holdings Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
NYMT.O New York Mortgage Trust Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
FNMA.OB Federal National Mortgage Association USA 0-90,000 15% 90,000-540,000 25% 540,000-1,800,000 40% 55% >1,800,000 75%
SIGI.O Selective Insurance Group Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
SAIA.O Saia Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 85 of 103
MANT.O ManTech International Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
CNSL.O Consolidated Communications Holdings Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
TRQ.N Turquoise Hill Resources Ltd USA 0-40,000 10% 40,000-240,000 20% 240,000-800,000 35% 45% >800,000 75%
MINI.O Mobile Mini Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
WNS.N WNS Holdings Ltd - ADR USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
SCHL.O Scholastic Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
AINV.O Apollo Investment Corp USA 0-20,000 10% 20,000-120,000 20% 120,000-400,000 35% 45% >400,000 75%
BHE.N Benchmark Electronics Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
SPKE.O Spark Energy Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
SUP.N Superior Industries International Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
SYKE.O Sykes Enterprises Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
AEG.N Aegon NV (US) USA 0-30,000 10% 30,000-180,000 20% 180,000-600,000 35% 45% >600,000 75%
RUSHA.O Rush Enterprises Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
ALEX.K Alexander & Baldwin Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
MGPI.O MGP Ingredients Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
ISLE.O Isle of Capri Casinos Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
NP Neenah Paper Inc USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
ENSG.O Ensign Group Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
NYLDa.N NRG Yield Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
ARII.O American Railcar Industries Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
OMCL.O Omnicell Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
AWR.N American States Water Co USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
RAVN.O Raven Industries Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
TX.N Ternium SA - ADR USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
ANIK.O Anika Therapeutics Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-50,000 50% 60% >50,000 75%
VRNS.O Varonis Systems Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
BAK Braskem SA USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
SCMP.O Sucampo Pharmaceuticals Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
IBOC.O International Bancshares Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
STRA.O Strayer Education Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
BKFS.K Black Knight Financial Services Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
SWM.N Schweitzer-Mauduit International Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
MGNX.O MacroGenics Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
QSII.O Quality Systems Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
EVH Evolent Health Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
VTAE.O Vitae Pharmaceuticals Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
MDXG.O MiMedx Group Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
PRTY.K Party City Holdco Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
PRSC.O Providence Service Corporation USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
SSP The E. W. Scripps Company USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
HZO MarineMax Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
CBU Community Bank System Inc USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
PRGS.O Progress Software Corp USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
FIZZ.O National Beverage Corp USA 0-2,500 20% 2,500-15,000 30% 15,000-50,000 50% 60% >50,000 75%
FLXN.O Flexion Therapeutics Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
SALE.O RetailMeNot Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
BW Babcock & Wilcox Enterprises Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
FI Frank's International NV USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
ZAGG.O ZAGG Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
CAJ.N Canon Inc - ADR USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
SMLP.N Summit Midstream Partners LP USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
EPAY.O Bottomline Technologies de Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
PRIM.O Primoris Services Corp USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
AMID.K American Midstream Partners LP USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
BBSI.O Barrett Business Services Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
DLTH.O Duluth Holdings Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
MNTA.O Momenta Pharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
MYRG.O MYR Group Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
GMLP.O Golar LNG Partners Limited Partnership USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
PLXS.O Plexus Corp USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
TBPH.O Theravance Biopharma Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
CPPL.N Columbia Pipeline Partners LP USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
PHI.N Philippine Long Distance Telephone Co - ADR USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
SPHS.O Sophiris Bio Inc USA 0-40,000 25% 40,000-240,000 40% 240,000-760,000 50% 60% >760,000 75%
CCC.N Calgon Carbon Corp USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
WSTC.O West Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
ANAT.O American National Insurance Co USA 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
BLX.N Banco Latinoamericano de Comercio Exterior SA USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
RYI Ryerson Holding Corporation USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
FELE.O Franklin Electric Co Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
SPU.O SkyPeople Fruit Juice Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
FCB FCB Financial Holdings Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
ASTE.O Astec Industries Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
CSTM.K Constellium N.V USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
EROS.K Eros International PLC USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
KCG.N KCG Holdings Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
KTWO.O K2M Group Holdings Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
SWIR.O Sierra Wireless Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
TNH.N Terra Nitrogen Co LP USA 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
RWT.N Redwood Trust Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
IMKTA.O Ingles Markets Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
SGI.O Silicon Graphics International Corporation USA 0-15,000 20% 15,000-90,000 30% 90,000-285,000 50% 60% >285,000 75%
JOE.N St Joe Co USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
FIX.N Comfort Systems USA Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
IMPR.K Imprivata Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
MSA.N Mine Safety Appliances Co USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
AAON.O AAON Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-76,000 40% 55% >76,000 75%
HEES.O H&E Equipment Services Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MLAB.O Mesa Laboratories Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-13,000 50% 60% >13,000 75%
CFFN.O Capitol Federal Financial Inc USA 0-8,000 10% 8,000-50,000 20% 50,000-160,000 35% 45% >160,000 75%
FGL Fidelity & Guaranty Life USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
SEMI.O SunEdison Semiconductor Ltd USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
SBY.N Silver Bay Realty Trust Corp USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
WBK.N Westpac Banking Corp ADR USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
WSFS.O WSFS Financial Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-54,000 40% 55% >54,000 75%
GNCA.O Genocea Biosciences Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-340,000 50% 60% >340,000 75%
AGII.O Argo Group International Holdings Ltd USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 86 of 103
KMPR.K Kemper Corporation USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
TTS.O Tile Shop Holdings Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
QTWO.K Q2 Holdings Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
RMP Rice Midstream Partners LP USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
ARCB.O ArcBest Corp USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
BCEI.K Bonanza Creek Energy Inc USA 0-100,000 25% 100,000-600,000 40% 600,000-2,000,000 50% 60% >2,000,000 75%
SSB.O South State Corp USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
INVA.O Innoviva Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
TDOC.K Teladoc Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
GTT.N GTT Communications Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
ESPR.O Esperion Therapeutics Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
ROG.N Rogers Corp USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
SGMO.O Sangamo Biosciences Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-450,000 50% 60% >450,000 75%
ANDE.O Andersons Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
GBT.O Global Blood Therapeutics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
HTH Hilltop Holdings Inc USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
BPMC.O Blueprint Medicines Corp USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
SSD.N Simpson Manufacturing Co Inc USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
WAIR.K Wesco Aircraft Holdings Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
CLMT.O Calumet Specialty Products Partners LP USA 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
VDSI.O VASCO Data Security International Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
IVC.N Invacare Corp USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
FBC.N Flagstar Bancorp Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
JASO.O JA Solar Holdings Co Ltd - ADR USA 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
MED Medifast Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
OTIC.O Otonomy Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
ATRO.O Astronics Corp USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
KLIC.O Kulicke & Soffa Industries Inc USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
AEPI.O AEP Industries Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
ECOL.O US Ecology Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
AGRO.K Adecoagro SA USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
SPIL.O Siliconware Precision Industries Co - ADR USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
GTN Gray Television Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PAM Pampa Energia SA USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
HF HFF Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
CZZ.N Cosan Ltd USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
INN Summit Hotel Properties Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
ARWR.O Arrowhead Research Corp USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
NILE.O Blue Nile Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
IMGN.O ImmunoGen Inc USA 0-40,000 25% 40,000-240,000 40% 240,000-760,000 50% 60% >760,000 75%
FFIN.O First Financial Bankshares Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
BANR.O Banner Corporation USA 0-2,500 10% 2,500-15,000 20% 15,000-50,000 35% 45% >50,000 75%
RUTH.O Ruth's Hospitality Group Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
IBP Installed Building Products Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
FFBC.O First Financial Ban Corporation USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
HSKA.O Heska Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
ELP.N Cia Paranaense de Energia - ADR USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
HYT BlackRock Corporate High Yield Fund Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
AJRD.N Aerojet Rocketdyne Holdings Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
HMN Horace Mann Educators Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
DENN.O Denny's Corp USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
KB.N KB Financial Group Inc - ADR USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
XENT.O Intersect ENT Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
WMC Western Asset Mortgage Capital Corp USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
TTMI.O TTM Technologies Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
SCL Stepan Co USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
ALRM.O Alarm.com Holdings Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
IRDM.O Iridium Communications Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
FMI.O Foundation Medicine Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
XXIA.O Ixia USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
WEB.O Web.com Group Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
FIVN.O Five9 Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
SPPI.O Spectrum Pharmaceuticals Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
STAR.K iStar Financial Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
TFSL.O TFS Financial Corporation USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
OCUL.O Ocular Therapeutix Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
ABCB.O Ameris Ban Corporation USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
CUBI.K Customers Bancorp Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
NRE Northstar Realty Europe Corporation USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
HAFC.O Hanmi Financial Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
WD.N Walker & Dunlop Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
OTTR.O Otter Tail Corporation USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
LMNX.O Luminex Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
SAH Sonic Automotive Inc USA 0-6,000 10% 6,000-34,500 20% 34,500-120,000 35% 45% >120,000 75%
OPB.O Opus Bank USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
LHCG.O LHC Group Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
RNST.O Renasant Corporation USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
AI Arlington Asset Investment Corp USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
ECHO.O Echo Global Logistics Inc USA 0-4,000 10% 4,000-25,000 20% 25,000-80,000 35% 45% >80,000 75%
WINA.O Winmark Corp USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
QUOT.K Quotient Technology Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
INDB.O Independent Bank Corp/Rockland MA USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
AV.N Aviva PLC - ADR USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
CSU Capital Senior Living Corporation USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
CFNL.O Cardinal Financial Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
SFBS.O ServisFirst Bancshares Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
PAHC.O Phibro Animal Health Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
AGX Argan Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
AMRI.O Albany Molecular Research Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
BNCL.O Beneficial Mutual Bancorp Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
QHC Quorum Health Corporation USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
NCS.N NCI Building Systems Inc USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
ARLP.O Alliance Resource Partners LP USA 0-5,000 10% 5,000-30,000 20% 30,000-100,000 35% 45% >100,000 75%
TYPE.O Monotype Imaging Holdings Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
ADRO.O Aduro Biotech Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
FSP.A Franklin Street Properties Corp USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
ACCO.K ACCO Brands Corp USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 87 of 103
CPL.N CPFL Energia SA - ADR USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
ANGI.O Angie's List Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
SCLN.O SciClone Pharmaceuticals Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
SPWH.O Sportsman's Warehouse Holdings Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
FARO.O FARO Technologies Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
CENT.O Central Garden and Pet Co USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
CPF Central Pacific Financial Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
CVRR.K CVR Refining LP USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
AREX.O Approach Resources Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-450,000 50% 60% >450,000 75%
ATSG.O Air Transport Services Group Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
ETH.N Ethan Allen Interiors Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
OPWR.K OPOWER Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
ACTG.O Acacia Research Corp USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
AFI Armstrong Flooring Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-75,000 40% 55% >75,000 75%
SAFT.O Safety Insurance Group Inc USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
CLDT.K Chatham Lodging Trust USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
ERIE.O Erie Indemnity Company USA 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
PETS.O PetMed Express Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
STON.N StoneMor Partners LP USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
CCRN.O Cross Country Healthcare Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
CCMP.O Cabot Microelectronics Corp USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
BRC.N Brady Corp USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
BEL.N Belmond Ltd- Class A USA 0-9,000 10% 9,000-54,000 20% 54,000-180,000 35% 45% >180,000 75%
AHH Armada Hoffler Properties Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
PHK.N PIMCO High Income Fund USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
IIIN.O Insteel Industries Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
ISCA.O International Speedway Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
OMER.O Omeros Corp USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
COTV.K Cotiviti Holdings Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
IEP.O Icahn Enterprises LP USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
ELNK.O EarthLink Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
BNCN.O BNC Ban Corporation USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
SGRY.O Surgery Partners Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
IMMU.O Immunomedics Inc USA 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
SFNC.O Simmons First National Corp USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
RVNC.O Revance Therapeutics Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
ESND.O Essendant Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
MNKD.O MannKind Corp USA 0-140,000 25% 140,000-840,000 40% 840,000-2,800,000 50% 60% >2,800,000 75%
HASI.K Hannon Armstrong Sustainable Infrastructure Capital Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
CATO.K Cato Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
UTEK.O Ultratech Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
NCI Navigant Consulting Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
PSG Performance Sports Group Ltd USA 0-30,000 25% 30,000-180,000 40% 180,000-540,000 50% 60% >540,000 75%
OZM.N Och-Ziff Capital Management Group LLC USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
SNR New Senior Investment Group Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
NEWM.K New Media Investment Group Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
NMFC.K New Mountain Finance Corporation USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
TCAP.K Triangle Capital Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
AAC AAC Holdings Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
MMYT.O MakeMyTrip Ltd USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
VIRT.O Virtu Financial Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
ALG Alamo Group Inc USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
PJT PJT Partners Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
ORA.N Ormat Technologies Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
ESLT.O Elbit Systems Ltd USA 0-1,000 20% 1,000-6,000 30% 6,000-12,000 50% 60% >12,000 75%
HCI HCI Group Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
WSBC.O WesBanco Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-54,000 40% 55% >54,000 75%
KOP Koppers Holdings Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
AHT.N Ashford Hospitality Trust Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
RIC.A Richmont Mines Inc USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
MGRC.O McGrath Rent Corporation USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
VIVO.O Meridian Bioscience Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
DANG.K E-Commerce China Dangdang Inc - ADR USA 0-15,000 15% 15,000-90,000 25% 90,000-285,000 40% 55% >285,000 75%
LDL Lydall Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
WCIC.K WCI Communities Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
TPUB.K Tribune Publishing Co USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MHLD.O Maiden Holdings Ltd USA 0-7,000 10% 7,000-40,250 20% 40,250-140,000 35% 45% >140,000 75%
SBSI.O Southside Bancshares Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-48,000 50% 60% >48,000 75%
WIRE.O Encore Wire Corp USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
ACET.O Aceto Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
CAF.N Morgan Stanley China A Share Fund Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
NAVG.O Navigators Group Inc USA 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
PRK.A Park National Corp USA 0-1,000 15% 1,000-6,000 25% 6,000-17,000 40% 55% >17,000 75%
PLOW.K Douglas Dynamics Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
AVAV.O Aerovironment Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
CEVA.O CEVA Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
MTRX.O Matrix Service Co USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
RSTI.O Rofin-Sinar Technologies Inc (US) USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
PGTI.O PGT Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
HI.N Hillenbrand Inc USA 0-3,000 10% 3,000-20,250 20% 20,250-60,000 35% 45% >60,000 75%
RPXC.O RPX Corp USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
HTGC.K Hercules Technology Growth Capital Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
FBP First BanCorp/Puerto Rico USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
VSLR.N Vivint Solar Inc USA 0-30,000 20% 30,000-180,000 30% 180,000-540,000 50% 60% >540,000 75%
NBHC.K National Bank Holdings Corporation USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
TAST.O Carrols Restaurant Group Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
TOWN.O Towne Bank USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
TRS.O TriMas Corporation USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
NNI.N Nelnet Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
CBF.O Capital Bank Financial Corporation USA 0-3,000 15% 3,000-20,250 25% 20,250-57,000 40% 55% >57,000 75%
CLW Clearwater Paper Corporation USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
MHO M I Homes Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
FTD.O FTD Cos Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
AHP Ashford Hospitality Prime Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
ITG.N Investment Technology Group Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
NNBR.O NN Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
STRP.A Straight Path Communications Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
TRUE.O TrueCar Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 88 of 103
TWI.N Titan International Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
ASCMA.O Ascent Capital Group Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-68,000 50% 60% >68,000 75%
INTL.O INTL. FCStone Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
CHU.N China Unicom Hong Kong Ltd - ADR USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
FIBK.O First Interstate BancSystem Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
GLT PH Glatfelter Company USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
UTG Reaves Utility Income Fund USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
ESE.N ESCO Technologies Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
MATW.O Matthews International Corp USA 0-1,500 10% 1,500-9,000 20% 9,000-30,000 35% 45% >30,000 75%
STC Stewart Information Services Corp USA 0-2,000 10% 2,000-10,000 20% 10,000-40,000 35% 45% >40,000 75%
COWN.O Cowen Group Inc USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
TACO.O Del Taco Restaurants Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
GLP Global Partners LP/MA USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
FSS Federal Signal Corp USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
ATEN.K A10 Networks Inc USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
NX.N Quanex Building Products Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
ASX Advanced Semiconductor Engineering Inc USA 0-15,000 10% 15,000-90,000 20% 90,000-300,000 35% 45% >300,000 75%
AVXL.O Anavex Life Sciences Corporation USA 0-30,000 25% 30,000-180,000 40% 180,000-540,000 50% 60% >540,000 75%
RPD.O Rapid7 Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
SMP Standard Motor Products Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
PES Pioneer Energy Services Corporation USA 0-25,000 20% 25,000-150,000 30% 150,000-450,000 50% 60% >450,000 75%
LE.O Lands' End Inc USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
CSFL.O CenterState Banks Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
NCMI.O National CineMedia Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
ALOG.O Analogic Corp USA 0-1,000 10% 1,000-6,000 20% 6,000-20,000 35% 45% >20,000 75%
GEVO.O Gevo Inc USA 0-130,000 25% 130,000-780,000 40% 780,000-2,600,000 50% 60% >2,600,000 75%
VIA.O Viacom Inc - A USA 0-2,000 20% 2,000-10,000 30% 10,000-34,000 50% 60% >34,000 75%
CPLP.O Capital Product Partners LP USA 0-25,000 15% 25,000-150,000 25% 150,000-500,000 40% 55% >500,000 75%
TPRE.K Third Point Reinsurance Ltd USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MTRN.N Materion Corp USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
CARA.O Cara Therapeutics Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
LOXO.O Loxo Oncology Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
SJW SJW Corporation USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
FNFV.K FNFV Group USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MNR Monmouth Real Estate Investment Corporation USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
TOUR.O Tuniu Corp USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
EOCC.K Empresa Nacional de Electricidad SA - ADR USA 0-4,000 20% 4,000-25,000 30% 25,000-72,000 50% 60% >72,000 75%
NPK National Presto Industries Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-16,000 50% 60% >16,000 75%
ETW.N Eaton Vance Tax Managed Global Buy Write Opportunities Fund USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
MOV Movado Group Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
GTE.A Gran Tierra Energy Inc USA 0-30,000 15% 30,000-180,000 25% 180,000-600,000 40% 55% >600,000 75%
APLP.O Archrock Partners LP USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
BRSS.K Global Brass & Copper Holdings Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
AOSL.O Alpha & Omega Semiconductor Limited USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
HRTG.K Heritage Insurance Holdings Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-108,000 50% 60% >108,000 75%
XTLY.K Xactly Corporation USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
QDEL.O Quidel Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
SONS.O Sonus Networks Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
FLML.O Flamel Technologies SA USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
GLRE.O Greenlight Capital Re Ltd USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
ERI.O Eldorado Resorts Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
ENOC.O EnerNOC Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-285,000 50% 60% >285,000 75%
ACAT.O Arctic Cat Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
NVDQ.O Novadaq Technologies Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
CYTK.O Cytokinetics Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
PFS Provident Financial Services Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
IPCC.O Infinity Property & Casualty Corp USA 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
ICFI.O ICF International Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
ATRC.O AtriCure Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
AIMC.O Altra Industrial Motion Corporation USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
BNED.N Barnes & Noble Education Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-126,000 50% 60% >126,000 75%
AVID.O Avid Technology Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
FORM.O FormFactor Inc USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
ISRL.O Isramco Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
FOXF.O Fox Factory Holding Corporation USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
IPAR.O Inter Parfums Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
DRD.N DRDGOLD Ltd - ADR USA 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
ARLZ.O Aralez Pharmaceuticals Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
SSNI.K Silver Spring Networks Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
AVD American Vanguard Corp USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
JOBS.O 51job Inc - ADR USA 0-2,500 20% 2,500-15,000 30% 15,000-47,500 50% 60% >47,500 75%
BZUN.O Baozun Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
UBSH.O Union Bankshares Corporation USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
SQNM.O Sequenom Inc USA 0-35,000 25% 35,000-210,000 40% 210,000-630,000 50% 60% >630,000 75%
XONE.O The ExOne Co USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
DIOD.O Diodes Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
ARAY.O Accuray Inc USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
EVT.N Eaton Vance Tax-Advantaged Dividend Income Fund USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
RIGL.O Rigel Pharmaceuticals Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
CBB.N CIncinnati Bell Inc USA 0-20,000 15% 20,000-120,000 25% 120,000-400,000 40% 55% >400,000 75%
LADR.K Ladder Capital Corporation USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
FLY Fly Leasing Ltd USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
CCU.N Cia Cervecerias Unidas SA - ADR USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
EDIT.O Editas Medicine Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
BHLB.K Berkshire Hills Bancorp Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
NQ.N NQ Mobile Inc - ADR USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
KAI Kadant Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-27,000 50% 60% >27,000 75%
GLOP.K GasLog Partners LP USA 0-4,000 20% 4,000-25,000 30% 25,000-72,000 50% 60% >72,000 75%
VCRA.K Vocera Communications Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
KEYW.O The KEYW Holding Corporation USA 0-8,000 15% 8,000-50,000 25% 50,000-160,000 40% 55% >160,000 75%
ONVO.O Organovo Holdings Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
CRK.N Comstock Resources Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
RATE.N Bankrate Inc USA 0-10,000 10% 10,000-60,000 20% 60,000-200,000 35% 45% >200,000 75%
PPBI.O Pacific Premier Bancorp Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
VUZI.O Vuzix Corporation USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
MITT.K AG Mortgage Investment Trust Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
APIC.O Apigee Corp USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 89 of 103
SIEN.O Sientra Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
LBIO.O Lion Biotechnologies Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
IRT.A Independence Realty Trust Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-152,000 50% 60% >152,000 75%
FRME.O First Merchants Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
PNNT.O PennantPark Investment Corp USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
SHOR.O ShoreTel Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
PRFT.O Perficient Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-72,000 50% 60% >72,000 75%
RDWR.O RADWARE Ltd USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
RSO.N Resource Capital Corp USA 0-6,000 20% 6,000-34,500 30% 34,500-108,000 50% 60% >108,000 75%
SCVL.O Shoe Carnival Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
NBTB.O NBT Bancorp Inc USA 0-2,500 15% 2,500-15,000 25% 15,000-50,000 40% 55% >50,000 75%
SRAQ.O Silver Run Acquisition Corporation USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
AIMT.O Aimmune Therapeutics Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
BGFV.O Big 5 Sporting Goods Corp USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
HSTM.O HealthStream Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
SSI Stage Stores Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-270,000 50% 60% >270,000 75%
XCO.N EXCO Resources Inc USA 0-80,000 25% 80,000-480,000 40% 480,000-1,600,000 50% 60% >1,600,000 75%
HMST.O HomeStreet Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
ORIT.O Oritani Financial Corporation USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
CRMT.O America's Car-Mart Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
BDJ BlackRock Enhanced Equity Dividend Trust USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
BOJA.O Bojangles' Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
DEA Easterly Government Properties Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
NEO.O NeoGenomics Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
RRTS.K Roadrunner Transportation Systems Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
NK.O NantKwest Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
NVCR.O NovoCure Limited USA 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
MMLP.O Martin Midstream Partners LP USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
TGH.N Textainer Group Holdings Ltd USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
GDV.N Gabelli Dividend & Income Trust USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
MMI Marcus & Millichap Inc USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
FCEL.O FuelCell Energy Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
TNP.N Tsakos Energy Navigation Ltd USA 0-15,000 15% 15,000-90,000 25% 90,000-300,000 40% 55% >300,000 75%
CVTI.O Covenant Transportation Group Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
RMR.O The RMR Group Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
NMIH.O NMI Holdings Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
CAFD.O 8point3 Energy Partners LP USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
BKCC.O BlackRock Kelso Capital Corp USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
HY Hyster-Yale Materials Handling Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
UEPS.O Net 1 Ueps Technologies Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
EPZM.O Epizyme Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
EXTR.O Extreme Networks Inc USA 0-20,000 20% 20,000-120,000 30% 120,000-340,000 50% 60% >340,000 75%
DDC.N Dominion Diamond Corp USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
CGI Celadon Group Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
CMTL.O Comtech Telecommunications Corp USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
PBPB.O Potbelly Corp USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
MC.N Moelis & Co USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
ASA.N ASA Gold and Precious Metals Ltd USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
NFJ.N AllianzGI NFJ Dividend Interest & Premium Strategy Fund USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
HOV.N Hovnanian Enterprises Inc USA 0-40,000 20% 40,000-240,000 30% 240,000-760,000 50% 60% >760,000 75%
BCOV.O Brightcove Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
SFS Smart & Final Stores Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
CLLS.O Cellectis SA USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
IFN.N India Fund Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
AEGN.O Aegion Corp USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
KRO.N Kronos Worldwide Inc USA 0-9,000 15% 9,000-54,000 25% 54,000-180,000 40% 55% >180,000 75%
DLNG.O Dynagas LNG Partners LP USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
USA.N Liberty All Star Equity Fund USA 0-15,000 20% 15,000-90,000 30% 90,000-255,000 50% 60% >255,000 75%
RGS.N Regis Corp USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
CNNX.K Cone Midstream Partners LP USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
LDP Cohen & Steers Limited Duration Preferred and Income Fund Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
CAPL.K CrossAmerica Partners LP USA 0-3,000 20% 3,000-20,250 30% 20,250-48,000 50% 60% >48,000 75%
BRKS.O Brooks Automation Inc USA 0-6,000 15% 6,000-34,500 25% 34,500-120,000 40% 55% >120,000 75%
DAKT.O Daktronics Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-152,000 50% 60% >152,000 75%
EXTN.K Exterran Corporation USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
KFRC.O Kforce Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
VRTV.K Veritiv Corp USA 0-1,500 20% 1,500-9,000 30% 9,000-27,000 50% 60% >27,000 75%
HLIT.O Harmonic Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
AHGP.O Alliance Holdings GP LP USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
HAYN.O Haynes International Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
TR.N Tootsie Roll Industries Inc USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
AUO.N AU Optronics Corp - ADR USA 0-20,000 20% 20,000-120,000 30% 120,000-400,000 50% 60% >400,000 75%
TTPH.O Tetraphase Pharmaceuticals Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
CLS.N Celestica Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
MCC Medley Capital Corp USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
ENT.O Global Eagle Entertainment Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
ETG.N Eaton Vance Tax-Advantaged Global Dividend Income Fund USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
ZFGN.O Zafgen Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
USM.N United States Cellular Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
PTY.N PIMCO Corporate & Income Opportunity Fund USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
AKBA.O Akebia Therapeutics Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-171,000 50% 60% >171,000 75%
LORL.O Loral Space & Communications Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-36,000 50% 60% >36,000 75%
PN Patriot National Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
FLWS.O 1-800-Flowers.com Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
FOR Forestar Group Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
CHCO.O City Holding Co USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
IX.N ORIX Corp - ADR USA 0-1,000 15% 1,000-6,000 25% 6,000-20,000 40% 55% >20,000 75%
NUV Nuveen Municipal Value Fund Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
ANH.N Anworth Mortgage Asset Corp USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
TROV.O Trovagene Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
SHG.N Shinhan Financial Group Co Ltd - ADR USA 0-2,000 15% 2,000-10,000 25% 10,000-40,000 40% 55% >40,000 75%
ARCO.K Arcos Dorados Holdings Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-285,000 50% 60% >285,000 75%
THR Thermon Group Holdings Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-68,000 50% 60% >68,000 75%
JRVR.O James River Group Holdings Limited USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
HTLF.O Heartland Financial USA Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-36,000 50% 60% >36,000 75%
NTRA.O Natera Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-126,000 50% 60% >126,000 75%
TMP Tompkins Financial Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 90 of 103
DNP DNP Select Income Fund Inc USA 0-7,000 15% 7,000-40,250 25% 40,250-140,000 40% 55% >140,000 75%
ORC Orchid Island Capital Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
WSR Whitestone REIT USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
SNOW.K Intrawest Resorts Holdings Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
MG Mistras Group Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
LUX.N Luxottica Group SpA - ADR USA 0-1,500 20% 1,500-9,000 30% 9,000-27,000 50% 60% >27,000 75%
DMRC.O Digimarc Corporation USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
CYOU.O Changyou.com Ltd - ADR USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
CMRE.K Costamare Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
ASEI.O American Science & Engineering Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
SXCP.K SunCoke Energy Partners LP USA 0-5,000 15% 5,000-30,000 25% 30,000-100,000 40% 55% >100,000 75%
KPTI.O Karyopharm Therapeutics Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
AQXP.O Aquinox Pharmaceuticals Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
SRI Stoneridge Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
TTEC.O TeleTech Holdings Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
ANW.N Aegean Marine Petroleum Network Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
BRKL.O Brookline Bancorp Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
VVI.N Viad Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
FRPT.O Freshpet Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
LKFN.O Lakeland Financial Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
REI.A Ring Energy Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-126,000 50% 60% >126,000 75%
SUPV.K Grupo Supervielle SA USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
AFAM.O Almost Family Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-36,000 50% 60% >36,000 75%
GTY.N Getty Realty Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
FCF First Commonwealth Financial Corp USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
TEDU.O Tarena International Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
GEOS.O Geospace Technologies Corp USA 0-4,000 20% 4,000-25,000 30% 25,000-72,000 50% 60% >72,000 75%
XBIT.O XBiotech Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
CRESY.O Cresud SA - ADR USA 0-4,000 20% 4,000-25,000 30% 25,000-72,000 50% 60% >72,000 75%
AMCC.O Applied Micro Circuits Corp USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
CSV.N Carriage Services Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-48,000 50% 60% >48,000 75%
INST.K Instructure Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
RAIL.O FreightCar America Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
RMTI.O Rockwell Medical Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
FLDM.O Fluidigm Corp USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
BSM Black Stone Minerals LP USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
UBA.N Urstadt Biddle Properties Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
DEL.N Deltic Timber Corp USA 0-1,000 20% 1,000-6,000 30% 6,000-19,000 50% 60% >19,000 75%
LDR Landauer Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-24,000 50% 60% >24,000 75%
CRY CryoLife Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
NMR Nomura Holdings Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
MB.O MINDBODY Inc USA 0-4,000 15% 4,000-25,000 25% 25,000-80,000 40% 55% >80,000 75%
STS.A Supreme Industries Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
CHGG.N Chegg Inc USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
EVC Entravision Communications Corp USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
ARNA.O Arena Pharmaceuticals Inc USA 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
BANF.O BancFirst Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-14,000 50% 60% >14,000 75%
BUSE.O First Busey Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
BATRA.O Liberty Braves Group USA 0-4,000 20% 4,000-25,000 30% 25,000-34,000 50% 60% >34,000 75%
BPY.N Brookfield Property Partners LP USA 0-3,000 15% 3,000-20,250 25% 20,250-60,000 40% 55% >60,000 75%
MSEX.O Middlesex Water Company USA 0-2,000 20% 2,000-10,000 30% 10,000-36,000 50% 60% >36,000 75%
TRXC.A TransEnterix Inc USA 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
ANGO.O AngioDynamics Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
SIGM.O Sigma Designs Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
MIME.O Mimecast Limited USA 0-4,000 20% 4,000-25,000 30% 25,000-72,000 50% 60% >72,000 75%
GNCMA.O General Communication Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
AVX.N AVX Corp USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
MCRN.K Milacron Holdings Corporation USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
HTR Brookfield Total Return Fund Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
KTOS.O Kratos Defense & Security Solutions Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
EBF Ennis Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
BFS.N Saul Centers Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-17,000 50% 60% >17,000 75%
NC Nacco Industries Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-11,000 50% 60% >11,000 75%
GFF Griffon Corp USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
GTS Triple-S Management Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
NCV.N AllianzGI Convertible & Income Fund USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
TGTX.O TG Therapeutics Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
USAC.K USA Compression Partners LP USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
OVAS.O OvaScience Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
TRVN.O Trevena Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
FXCM.K FXCM Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
BCH.N Banco de Chile - ADR USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
OMAM.K OM Asset Management Plc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
TKC.N Turkcell Iletisim Hizmetleri AS - ADR USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
TUES.O Tuesday Morning Corp USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
NJDCY.PK Nidec Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
CCXI.O ChemoCentryx Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
CECO.O Career Education Corp USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
IBTX.O Independent Bank Group Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
VNCE.P Vince Holding Corp USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
FMCC.OB Federal Home Loan Mortgage Corp USA 0-50,000 20% 50,000-300,000 30% 300,000-1,000,000 50% 60% >1,000,000 75%
MZOR.O Mazor Robotics Limited USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
MRTN.O Marten Transport Limited USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
IRET.K Investors Real Estate Trust USA 0-10,000 15% 10,000-60,000 25% 60,000-200,000 40% 55% >200,000 75%
HCKT.O Hackett Group Inc/The USA 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
CCF Chase Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-12,000 50% 60% >12,000 75%
NHC.A National HealthCare Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-17,000 50% 60% >17,000 75%
VHC.A VirnetX Holding Corp USA 0-25,000 20% 25,000-150,000 30% 150,000-475,000 50% 60% >475,000 75%
UFCS.O United Fire Group Inc USA 0-1,500 15% 1,500-9,000 25% 9,000-30,000 40% 55% >30,000 75%
FFG FBL Financial Group Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-19,000 50% 60% >19,000 75%
EPIQ.O EPIQ Systems Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
NORD.K Nord Anglia Education Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
VVR.N Invesco Senior Income Trust USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
QURE.O uniQure B.V. USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
IGD.N ING Global Equity Dividend & Premium Opportunity Fund USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
LPSN.O LivePerson Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
EDD.N Morgan Stanley Emerging Markets Domestic Debt Fund Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 91 of 103
ASC Ardmore Shipping Corp USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
LRN.N K12 Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
BV.O Bazaarvoice Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-285,000 50% 60% >285,000 75%
USLM.O United States Lime & Minerals Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
NXRT.K NexPoint Residential Trust Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
LJPC.O La Jolla Pharmaceutical Co USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
UHT Universal Health Realty Income Trust USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
VNR.O Vanguard Natural Resources LLC USA 0-50,000 25% 50,000-300,000 40% 300,000-1,000,000 50% 60% >1,000,000 75%
PLUG.O Plug Power Inc USA 0-45,000 20% 45,000-270,000 30% 270,000-855,000 50% 60% >855,000 75%
UTMD.O Utah Medical Products Inc USA 0-1,000 25% 1,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
ONDK.K On Deck Capital Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
CIGI.O Colliers International Group Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-25,500 50% 60% >25,500 75%
CDR Cedar Realty Trust Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
DHX.N Dice Holdings Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
TLGT.O Teligent Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
OMED.O OncoMed Pharmaceuticals Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
MX.N Magnachip Semiconductor Corp USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
NANO.O Nanometrics Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
BDSI.O BioDelivery Sciences International Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
SILC.O Silicom Ltd USA 0-1,500 25% 1,500-9,000 40% 9,000-24,000 50% 60% >24,000 75%
WLB.O Westmoreland Coal Co USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
EBSB.O Meridian Bancorp Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
UIHC.O United Insurance Holdings Corp USA 0-4,000 20% 4,000-25,000 30% 25,000-68,000 50% 60% >68,000 75%
LMAT.O LeMaitre Vascular Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
APEI.O American Public Education Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
NVEE.O NV5 Holdings Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
VEDL.K Vedanta Limited - ADR USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
CASH.O Meta Financial Group Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
KNDI.O Kandi Technologies Group Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
RAS RAIT Financial Trust USA 0-20,000 20% 20,000-120,000 30% 120,000-340,000 50% 60% >340,000 75%
SLRC.O Solar Capital Ltd USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
SNHY.O Sun Hydraulics Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
FPO First Potomac Realty Trust USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
KODK.K Eastman Kodak Co USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
WTI.N W&T Offshore Inc USA 0-35,000 20% 35,000-210,000 30% 210,000-700,000 50% 60% >700,000 75%
BFR BBVA Banco Frances SA USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
HLI Houlihan Lokey Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
CLCD.O CoLucid Pharmaceuticals Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
FNBC.O First NBC Bank Holding Co USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
TA.O TravelCenters of America LLC USA 0-9,000 20% 9,000-54,000 30% 54,000-171,000 50% 60% >171,000 75%
GSS.A Golden Star Resources Ltd (US) USA 0-80,000 25% 80,000-480,000 40% 480,000-1,520,000 50% 60% >1,520,000 75%
ZEUS.O Olympic Steel Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
POWL.O Powell Industries Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-28,500 50% 60% >28,500 75%
RECN.O Resources Connection Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
DFRG.O Del Frisco's Restaurant Group Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
HMNY.O Helios and Matheson Analytics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
OCFC.O OceanFirst Financial Corporation USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
ALDW.K Alon USA Partners LP USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
NVEC.O NVE Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-6,750 50% 60% >6,750 75%
IMOS.O ChipMOS TECHNOLOGIES Bermuda Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
MOD Modine Manufacturing Co USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
GBAB.K Guggenheim Build America Bonds Managed Duration Trust USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
AGM Federal Agricultural Mortgage Corporation USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
RELX.K Relx PLC USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
ANFI.K Amira Nature Foods Ltd USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
IL IntraLinks Holdings Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
PFSW.O PFSweb Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
GAB.N Gabelli Equity Trust Inc USA 0-10,000 20% 10,000-60,000 30% 60,000-190,000 50% 60% >190,000 75%
CBZ CBIZ Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
KELYA.O Kelly Services Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
HZN Horizon Global Corporation USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
CRVL.O Corvel Corp USA 0-1,500 20% 1,500-9,000 30% 9,000-27,000 50% 60% >27,000 75%
CARB.O Carbonite Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
IPI.N Intrepid Potash Inc USA 0-40,000 25% 40,000-240,000 40% 240,000-800,000 50% 60% >800,000 75%
RDCM.O Radcom Limited USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
STBA.O S&T Bancorp Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
STBZ.O State Bank Financial Corp USA 0-2,500 20% 2,500-15,000 30% 15,000-47,500 50% 60% >47,500 75%
PGEM.K Ply Gem Holdings Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
RIGP.K Transocean Partners LLC USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
BTUUQ.PK Peabody Energy Corp USA 0-45,000 25% 45,000-270,000 40% 270,000-855,000 50% 60% >855,000 75%
APTS.K Preferred Apartment Communities Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
KYE.N Kayne Anderson Energy Total Return Fund Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
ENVA.N Enova International Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
MPSX.K Multi Packaging Solutions International Limited USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
RPRX.O Repros Therapeutics Inc USA 0-30,000 25% 30,000-180,000 40% 180,000-570,000 50% 60% >570,000 75%
SKUL.O Skullcandy Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
CASS.O Cass Information Systems Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-13,000 50% 60% >13,000 75%
TIS Orchids Paper Products Company USA 0-2,000 20% 2,000-10,000 30% 10,000-36,000 50% 60% >36,000 75%
SALT.K Scorpio Bulkers Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
EHTH.O eHealth Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
TTNP.O Titan Pharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
GPL.A Great Panther Silver Ltd (US) USA 0-39,500 25% 39,500-237,000 40% 237,000-790,000 50% 60% >790,000 75%
HSII.O Heidrick & Struggles International Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
JAKK.O JAKKS Pacific Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
GOOD.O Gladstone Commercial Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
EXAR.K Exar Corp (US) USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
XIN Xinyuan Real Estate Company Limited USA 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
UBNK.O United Financial Bancorp Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
PML.N PIMCO Municipal Income Fund II USA 0-4,000 20% 4,000-25,000 30% 25,000-68,000 50% 60% >68,000 75%
SOR Source Capital Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-25,500 50% 60% >25,500 75%
FDML.O Federal-Mogul Corp USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
THLD.O Threshold Pharmaceuticals Inc USA 0-45,000 25% 45,000-270,000 40% 270,000-900,000 50% 60% >900,000 75%
TUBE.O TubeMogul Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
KONA.O Kona Grill Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-72,000 50% 60% >72,000 75%
SRNE.O Sorrento Therapeutics Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
NVGS.K Navigator Holdings Ltd USA 0-8,000 20% 8,000-50,000 30% 50,000-152,000 50% 60% >152,000 75%
WK Workiva Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 92 of 103
FSB Franklin Financial Network Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-25,500 50% 60% >25,500 75%
IMMR.O Immersion Corp USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
UFI Unifi Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
LION.O Fidelity Southern Corporation USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
AMBR.K Amber Road Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
REV.N Revlon Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-28,500 50% 60% >28,500 75%
BSTC.O BioSpecifics Technologies Corp USA 0-1,500 20% 1,500-9,000 30% 9,000-27,000 50% 60% >27,000 75%
BGY.N BlackRock International Growth and Income Trust USA 0-9,000 20% 9,000-54,000 30% 54,000-180,000 50% 60% >180,000 75%
DCOM.O Dime Community Bancshares Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
BIOS.O BioScrip Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
ARDX.O Ardelyx Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
IBA Industrias Bachoco SAB de CV USA 0-1,000 25% 1,000-6,000 40% 6,000-8,250 50% 60% >8,250 75%
VEC Vectrus Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-34,000 50% 60% >34,000 75%
TCS.N Container Store Group USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
PTX.O Pernix Therapeutics Holdings Inc USA 0-100,000 25% 100,000-600,000 40% 600,000-2,000,000 50% 60% >2,000,000 75%
PRTK.O Paratek Pharmaceuticals Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
RM Regional Management Corporation USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
PKOH.O Park-Ohio Holdings Corp USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
CTR.N ClearBridge Energy MLP Total Return Fund Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
NVIV.O InVivo Therapeutics Holdings Corporation USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
ADX.N Adams Express Co USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
WMK Weis Markets Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
CBSa CBS Corp - A USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CIO City Office Reit Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
SHI.N Sinopec Shanghai Petrochemical Co Ltd - ADR USA 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
WIFI.O Boingo Wireless Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
MFG.N Mizuho Financial Group Inc - ADR USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
GNMK.O GenMark Diagnostics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-114,000 50% 60% >114,000 75%
LBY.A Libbey Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
KIRK.O Kirkland's Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
BLDP.O Ballard Power Systems Inc USA 0-25,000 20% 25,000-150,000 30% 150,000-475,000 50% 60% >475,000 75%
PPP Primero Mining Corporation USA 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
OMAB.O Grupo Aeroportuario del Centro Norte S.A.B. de CV USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
CTO Consolidated-Tomoka Land Co USA 0-1,000 25% 1,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
TNGO.O Tangoe Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-108,000 50% 60% >108,000 75%
OMN OMNOVA Solutions Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
MCF.A Contango Oil & Gas Co USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
PARR.A Par Pacific Holdings Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
ZYNE.O Zynerba Pharmaceuticals Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
SBCF.O Seacoast Banking Corp of Florida USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
DTSI.O DTS Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
LQDT.O Liquidity Services Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
HNP.N Huaneng Power International Inc - ADR USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
NATH.O Nathan's Famous Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-14,000 50% 60% >14,000 75%
WHG Westwood Holdings Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
NYMX.O Nymox Pharmaceutical Corporation USA 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
ABTL.O Autobytel Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
TRST.O TrustCo Bank Corp NY USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
TESO.O Tesco Corp USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
FLXS.O Flexsteel Industries Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
BFa Brown-Forman Corp- Class A USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
GAM General American Investors Co Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-27,000 50% 60% >27,000 75%
PERY.O Perry Ellis International Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
BMRC.O Bank of Marin Ban Corporation USA 0-1,000 25% 1,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
NSTG.O NanoString Technologies Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
SUNEQ.PK SunEdison Inc USA 0-750,000 25% 750,000-4,500,000 40% 4,500,000-14,250,000 50% 60% >14,250,000 75%
RNET.O RigNet Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
PDFS.O PDF Solutions Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
MPG Metaldyne Performance Group Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
COLL.O Collegium Pharmaceutical Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
AXAS.O Abraxas Petroleum Corp USA 0-30,000 20% 30,000-180,000 30% 180,000-540,000 50% 60% >540,000 75%
PGH.N Pengrowth Energy Corp USA 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
HOFT.O Hooker Furniture Corporation USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
CTRN.O Citi Trends Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
NSU.A Nevsun Resources Ltd USA 0-15,000 20% 15,000-90,000 30% 90,000-270,000 50% 60% >270,000 75%
BMTC.O Bryn Mawr Bank Corporation USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
NFBK.O Northfield Bancorp Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
CTWS.O Connecticut Water Service Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
XOXO.K XO Group Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
CHEF.O The Chefs' Warehouse Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
MCS Marcus Corp/The USA 0-2,000 20% 2,000-10,000 30% 10,000-34,000 50% 60% >34,000 75%
PCN.N PIMCO Corporate & Income Strategy Fund USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
PRMW.O Primo Water Corporation USA 0-4,000 20% 4,000-25,000 30% 25,000-76,000 50% 60% >76,000 75%
KYO.N Kyocera Corp - ADR USA 0-1,000 25% 1,000-6,000 40% 6,000-7,500 50% 60% >7,500 75%
GNRT.K Gener8 Maritime Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
CAC.O Camden National Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-16,000 50% 60% >16,000 75%
EFSC.O Enterprise Financial Services Corporation USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
UMC.N United Microelectronics Corp - ADR USA 0-25,000 20% 25,000-150,000 30% 150,000-475,000 50% 60% >475,000 75%
BLW.N BlackRock Limited Duration Income Trust USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
SASR.O Sandy Spring Bancorp Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-27,000 50% 60% >27,000 75%
HNGR.PK Hanger Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
TEO.N Telecom Argentina SA - ADR USA 0-2,500 20% 2,500-15,000 30% 15,000-47,500 50% 60% >47,500 75%
GBR.P New Concept Energy Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
FFIC.O Flushing Financial Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
FNHC.O Federated National Holding Co USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
OSTK.O Overstock.com Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
LPG.N Dorian LPG Ltd USA 0-8,000 20% 8,000-50,000 30% 50,000-160,000 50% 60% >160,000 75%
AINC.A Ashford Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GCA.N Everi Holdings Inc USA 0-20,000 20% 20,000-120,000 30% 120,000-340,000 50% 60% >340,000 75%
ORIG.O Ocean Rig UDW Inc USA 0-60,000 25% 60,000-345,000 40% 345,000-1,200,000 50% 60% >1,200,000 75%
BBW Build-A-Bear Workshop Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
TRUP.O Trupanion Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
RJET.O Republic Airways Holdings Inc USA 0-35,000 25% 35,000-210,000 40% 210,000-665,000 50% 60% >665,000 75%
BGNE.O BeiGene Ltd USA 0-1,500 25% 1,500-9,000 40% 9,000-24,000 50% 60% >24,000 75%
WLKP.K Westlake Chemical Partners LP USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
DX Dynex Capital Inc USA 0-6,000 20% 6,000-34,500 30% 34,500-120,000 50% 60% >120,000 75%
PLPC.O Preformed Line Products Company USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 93 of 103
AMFW.K Amec Foster Wheeler PLC USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
FDEF.O First Defiance Financial Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-17,000 50% 60% >17,000 75%
CIVI.N Civitas Solutions Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-47,500 50% 60% >47,500 75%
CTRL.O Control4 Corporation USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
RFP.N Resolute Forest Products Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-144,000 50% 60% >144,000 75%
MBUU.O Malibu Boats Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-51,000 50% 60% >51,000 75%
SREV.O ServiceSource International Inc USA 0-9,000 20% 9,000-54,000 30% 54,000-162,000 50% 60% >162,000 75%
BDGE.O Bridge Bancorp Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-25,500 50% 60% >25,500 75%
ANTH.O Anthera Pharmaceuticals Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
GALE.O Galena Biopharma Inc USA 0-110,000 25% 110,000-660,000 40% 660,000-2,200,000 50% 60% >2,200,000 75%
ATROB.PK Astronics Corporation USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
GAIN.O Gladstone Investment Corporation USA 0-5,000 20% 5,000-30,000 30% 30,000-90,000 50% 60% >90,000 75%
JONE.K Jones Energy Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-285,000 50% 60% >285,000 75%
CNBKA.O Century Bancorp Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KONE.O Kingtone Wirelessinfo Solution Holding Limited USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
PDVW.O pdvWireless Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
SRDX.O SurModics Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
FRED.O Fred's Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
MYOK.O MyoKardia Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
TITN.O Titan Machinery Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-72,000 50% 60% >72,000 75%
CECE.O CECO Environmental Corporation USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
HWKN.O Hawkins Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-17,000 50% 60% >17,000 75%
PWOD.O Penns Woods Bancorp Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-3,750 50% 60% >3,750 75%
CVGI.O Commercial Vehicle Group Inc USA 0-8,000 20% 8,000-50,000 30% 50,000-152,000 50% 60% >152,000 75%
BBOX.O Black Box Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
KMG KMG Chemicals Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-24,000 50% 60% >24,000 75%
ZGNX.O Zogenix Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
DKL Delek Logistics Partners LP USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
ARGS.O Argos Therapeutics Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
MERC.O Mercer International Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
VBLT.O Vascular Biogenics Ltd USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
NEWT.O Newtek Business Services Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-48,000 50% 60% >48,000 75%
GSBC.O Great Southern Bancorp Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-15,000 50% 60% >15,000 75%
FRP.O Fairpoint Communications Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
SPOK.O Spok Holdings Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
WASH.O Washington Trust Bancorp Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
NDRM.O Neuroderm Ltd USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
GOGL.O Golden Ocean Group Ltd USA 0-10,000 25% 10,000-60,000 40% 60,000-180,000 50% 60% >180,000 75%
TCX.O Tucows Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-25,500 50% 60% >25,500 75%
FORR.O Forrester Research Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-19,000 50% 60% >19,000 75%
SGA.A Saga Communications Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
TVIA.O Terravia Holdings Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
I Intelsat SA USA 0-15,000 20% 15,000-90,000 30% 90,000-270,000 50% 60% >270,000 75%
EXAC.O Exactech Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-25,500 50% 60% >25,500 75%
LMOS.O Lumos Networks Corporation USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
FORTY.O Formula Systems 1985 Ltd USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CCS.N Century Communities Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
THFF.O First Financial Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-18,000 50% 60% >18,000 75%
CRAI.O CRA International Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-28,500 50% 60% >28,500 75%
DGLY.O Digital Ally Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-126,000 50% 60% >126,000 75%
UAN CVR Partners LP USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
GSV.A Gold Standard Ventures Corporation USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
STEM.O StemCells Inc USA 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
BXE Bellatrix Exploration Limited USA 0-49,400 25% 49,400-296,400 40% 296,400-988,000 50% 60% >988,000 75%
TCBK.O TriCo Bancsh AE USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
TOPS.O Top Ships Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
BRG Bluerock Residential Growth REIT Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
HVT Haverty Furniture Companies Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
CSLT.N Castlight Health Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
UTL Unitil Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
VSAR.O Versartis Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
STRT.O STRATTEC Security Corporation USA 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
RXDX.O Ignyta Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
IDRA.O Idera Pharmaceuticals Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
CORT.O Corcept Therapeutics Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
PFIS.O Peoples Financial Services Corporation USA 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
CNCE.O Concert Pharmaceuticals Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-68,000 50% 60% >68,000 75%
GLO.A Clough Global Opportunities Fund USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
PMTS.O CPI Card Group Inc USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
RGNX.O Regenxbio Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
AT Atlantic Power Corp USA 0-15,000 20% 15,000-90,000 30% 90,000-255,000 50% 60% >255,000 75%
AGTC.O Applied Genetic Technologies Corporation USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CTS CTS Corporation USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
ATHX.O Athersys Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
DSX.N Diana Shipping Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
BREW.O Craft Brew Alliance Inc USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
PFN PIMCO Income Strategy Fund II USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
GOF Guggenheim Strategic Opportunities Fund USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
MSTX.P Mast Therapeutics Inc USA 0-60,000 25% 60,000-345,000 40% 345,000-1,200,000 50% 60% >1,200,000 75%
REXX.O Rex Energy Corp USA 0-70,000 25% 70,000-420,000 40% 420,000-1,400,000 50% 60% >1,400,000 75%
ACRE.K Ares Commercial Real Estate Corporation USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
CALX.K Calix Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-100,000 50% 60% >100,000 75%
TG.N Tredegar Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-36,000 50% 60% >36,000 75%
LNTH.O Lantheus Holdings Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
OFLX.O OmegaFlex Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
BSET.O Bassett Furniture Industries Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
LENb.N Lennar Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
EVDY.K Everyday Health Inc USA 0-5,000 20% 5,000-30,000 30% 30,000-95,000 50% 60% >95,000 75%
ECOM.K ChannelAdvisor Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
SP.O SP Plus Corporation USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
ASMI.O ASM International NV (US) USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
IDT IDT Corporation USA 0-2,500 20% 2,500-15,000 30% 15,000-45,000 50% 60% >45,000 75%
ADUS.O Addus HomeCare Corp USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
AE.A Adams Resources & Energy Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
HFWA.O Heritage Financial Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
SBR Sabine Royalty Trust USA 0-1,000 20% 1,000-6,000 30% 6,000-18,000 50% 60% >18,000 75%
HLTH.A Nobilis Health Corporation USA 0-10,000 20% 10,000-60,000 30% 60,000-200,000 50% 60% >200,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 94 of 103
CTBI.O Community Trust Bancorp Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-18,000 50% 60% >18,000 75%
CNOB.O ConnectOne Bancorp Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-34,000 50% 60% >34,000 75%
GABC.O German American Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
ACLS.O Axcelis Technologies Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
INFI.O Infinity Pharmaceuticals Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
BHBK.O Blue Hills Bancorp Inc USA 0-2,500 20% 2,500-15,000 30% 15,000-47,500 50% 60% >47,500 75%
ODC Oil-Dri Corp. of America USA 0-1,000 25% 1,000-6,000 40% 6,000-7,000 50% 60% >7,000 75%
IRMD.O IRadimed Corporation USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
DQ Daqo New Energy Corp USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
CACQ.O Caesars Acquisition Company USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
ITEK.O Inotek Pharmaceuticals Corp USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
BHB.A Bar Harbor Banksh AE USA 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
CWST.O Casella Waste Systems Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
CMCO.O Columbus McKinnon Corp USA 0-2,000 20% 2,000-10,000 30% 10,000-38,000 50% 60% >38,000 75%
MRTX.O Mirati Therapeutics Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
MCRI.O Monarch Casino & Resort Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
ADAP.O Adaptimmune Therapeutics Plc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
GPX GP Strategies Corp USA 0-1,500 20% 1,500-9,000 30% 9,000-28,500 50% 60% >28,500 75%
SPA Sparton Corporation USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
NGVC.K Natural Grocers by Vitamin Cottage Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-54,000 50% 60% >54,000 75%
JOUT.O Johnson Outdoors Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
KNMCY.PK Konami Corp USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
AMDA.O Amedica Corporation USA 0-40,000 25% 40,000-240,000 40% 240,000-760,000 50% 60% >760,000 75%
AXGN.O AxoGen Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-72,000 50% 60% >72,000 75%
DGII.O Digi International Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
PEBO.O Peoples Bancorp Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
AVAL.N Grupo Aval Acciones Y Valores SA USA 0-4,000 25% 4,000-25,000 40% 25,000-72,000 50% 60% >72,000 75%
INWK.O InnerWorkings Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
SCNB.K Suffolk Ban Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
IXYS.O IXYS Corp USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
EMKR.O EMCORE Corporation USA 0-7,000 20% 7,000-40,250 30% 40,250-140,000 50% 60% >140,000 75%
OB OneBeacon Insurance Group Ltd USA 0-2,500 20% 2,500-15,000 30% 15,000-47,500 50% 60% >47,500 75%
TNDM.O Tandem Diabetes Care Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
EVEP.O EV Energy Partners LP USA 0-15,000 25% 15,000-90,000 40% 90,000-240,000 50% 60% >240,000 75%
NKSH.O National Bankshares Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
SRCE.O 1st Source Corporation USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
OIBRc.N Oi SA - C - ADR USA 0-6,000 20% 6,000-34,500 30% 34,500-114,000 50% 60% >114,000 75%
CTIC.O CTI BioPharma Corp USA 0-90,000 25% 90,000-540,000 40% 540,000-1,800,000 50% 60% >1,800,000 75%
UVSP.O Univest Corporation of Pennsylvania USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
PFBC.O Preferred Bank/Los Angeles CA USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
AVH.N Avianca Holdings SA USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
LAYN.O Layne Christensen Company USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
NAP Navios Maritime Midstream Partners LP USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
VEOEY.PK Veolia Environnement SA - ADR USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
DSKY.O iDreamsky Technology Ltd USA 0-2,500 20% 2,500-15,000 30% 15,000-47,500 50% 60% >47,500 75%
VSEC.O VSE Corp USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
UAM.N Universal American Corp USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
EFC Ellington Financial LLC USA 0-2,000 20% 2,000-10,000 30% 10,000-40,000 50% 60% >40,000 75%
PPT.N Putnam Premier Income Trust USA 0-7,000 20% 7,000-40,250 30% 40,250-133,000 50% 60% >133,000 75%
ATRS.O Antares Pharma Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
FF FutureFuel Corp USA 0-3,000 20% 3,000-20,250 30% 20,250-57,000 50% 60% >57,000 75%
BIF.N Boulder Growth & Income Fund Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-68,000 50% 60% >68,000 75%
NOVT.O Novanta Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-34,000 50% 60% >34,000 75%
PKD.N Parker Drilling Co USA 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
PSTB.O Park Sterling Corporation USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
KLDX.K Klondex Mines Limited USA 0-6,000 25% 6,000-34,500 40% 34,500-114,000 50% 60% >114,000 75%
ACRS.O Aclaris Therapeutics Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
SYN Synthetic Biologics Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
MBVT.O Merchants Bancshares Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
PFSI.K PennyMac Financial Services Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
AEZS.O Aeterna Zentaris Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
AC Associated Capital Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
CFI Culp Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
AMOT.O Allied Motion Technologies Inc USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
COBZ.O CoBiz Financial Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
KOOL.O Cesca Therapeutics Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-144,000 50% 60% >144,000 75%
VCEL.O Vericel Corporation USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
HTBX.O Heat Biologics Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
NRP Natural Resource Partners LP USA 0-1,500 20% 1,500-9,000 30% 9,000-30,000 50% 60% >30,000 75%
EYES.O Second Sight Medical Products Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
GLF.N Gulfmark Offshore Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
FARM.O Farmer Bros Co USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
AOI.N Alliance One International Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
IBCP.O Independent Bank Corporation USA 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
SGBK.O Stonegate Bank USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
HCHC.A HC2 Holdings Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
AROW.O Arrow Financial Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
CJESQ.PK C&J Energy Services Inc USA 0-90,000 25% 90,000-540,000 40% 540,000-1,710,000 50% 60% >1,710,000 75%
FLIC.O The First of Long Island Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-18,000 50% 60% >18,000 75%
EHIC.K eHi Car Services Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
ACTA.O Actua Corporation USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
MODN.K Model N Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-57,000 50% 60% >57,000 75%
RBCAA.O Republic Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
NATL.O National Interstate Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-18,000 50% 60% >18,000 75%
FRPH.O FRP Holdings Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
PICO.O PICO Holdings Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
TY.N Tri-Continental Corp USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
NCT Newcastle Investment Corporation USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
SOUHY.PK South32 Ltd (US) USA 0-4,000 25% 4,000-25,000 40% 25,000-76,000 50% 60% >76,000 75%
LNDC.O Landec Corp USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
QTM Quantum Corporation USA 0-45,000 25% 45,000-270,000 40% 270,000-855,000 50% 60% >855,000 75%
GIG GigOptix Inc USA 0-15,000 20% 15,000-90,000 30% 90,000-300,000 50% 60% >300,000 75%
CRCM.K Care.com Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
KBAL.O Kimball International Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
SYBT.O Stock Yards Bancorp Inc USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
MNOV.O MediciNova Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
JMBA.O Jamba Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
SMRT.O Stein Mart Inc USA 0-4,000 20% 4,000-25,000 30% 25,000-80,000 50% 60% >80,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 95 of 103
VLGEA.O Village Super Market Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
MHG Marine Harvest ASA USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
FUEL.O Rocket Fuel Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
GRBK.O Green Brick Partners Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-72,000 50% 60% >72,000 75%
BEP Brookfield Renewable Energy Partners LP USA 0-1,000 20% 1,000-6,000 30% 6,000-20,000 50% 60% >20,000 75%
QCRH.O QCR Holdings Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
LGCY.O Legacy Reserves LP USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
RSYS.O Radisys Corp USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
DTLK.O Datalink Corp USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
SNC.O State National Cos Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
SKYS.O Sky Solar Holdings Limited USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
SAEX.O SAExploration Holdings Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
RT.N Ruby Tuesday Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
GBL.N GAMCO Investors Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
LYTS.O LSI Industries Inc USA 0-3,000 20% 3,000-20,250 30% 20,250-60,000 50% 60% >60,000 75%
FFKT.O Farmers Capital Bank Corporation USA 0-1,000 25% 1,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
PGC.O Peapack-Gladstone Financial Corporation USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
FBNC.O First Ban Corporation USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
SENEA.O Seneca Foods Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
FSTR.O LB Foster Co USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
CSBK.O Clifton Bancorp Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
GST.P Gastar Exploration Inc USA 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
ZNH.N China Southern Airlines Co Ltd - ADR USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
MOFG.O MidWest One Financial Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
ACRX.O AcelRx Pharmaceuticals Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-171,000 50% 60% >171,000 75%
YORW.O York Water Co/The USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
OKSB.O Southwest Bancorp Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
CTT CatchMark Timber Trust Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
GBLI.O Global Indemnity PLC USA 0-1,000 25% 1,000-6,000 40% 6,000-7,000 50% 60% >7,000 75%
MEDP.O Medpace Holdings Inc USA 0-1,000 20% 1,000-3,000 30% >3000 75% 75%
ESIO.O Electro Scientific Industries Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
REXI.O Resource America Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
TDF.N Templeton Dragon Fund Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
GPP.O Green Plains Partners LP USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
LIOX.O Lionbridge Technologies Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
AMCN.O AirMedia Group Inc - ADR USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
SNAK.O Inventure Foods Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
IIF.N Morgan Stanley India Investment Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
FRSH.O Papa Murphy's Holdings Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
ARDC.K Ares Dynamic Credit Allocation Fund Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
CCLP.O CSI Compressco LP USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
TBNK.O Territorial Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
HBCP.O Home Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-6,750 50% 60% >6,750 75%
NWFL.O Norwood Financial Corporation USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
MYE Myers Industries Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-34,000 50% 60% >34,000 75%
NEOS.O Neos Therapeutics Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-72,000 50% 60% >72,000 75%
ADVM.O Adverum Biotechnologies Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
UNXL.O Uni-Pixel Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
XCRA.O Xcerra Corp USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
CVEO.N Civeo Corp USA 0-25,000 25% 25,000-150,000 40% 150,000-450,000 50% 60% >450,000 75%
MPET.O Magellan Petroleum Corporation USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
KED.N Kayne Anderson Energy Development Company USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
CNXC.K CNX Coal Resources LP USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
NCOM.O National Commerce Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-9,500 50% 60% >9,500 75%
HBNC.O Horizon Ban Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
DNAI.O Pronai Therapeutics Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
APPF.O AppFolio Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
PHIIK.O PHI Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
ZIXI.O Zix Corporation USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
WAC.N Walter Investment Management Corp USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
ENZ Enzo Biochem Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
SWTF.PK Swift Energy Company USA 0-1,000 25% 1,000-6,000 40% 6,000-8,000 50% 60% >8,000 75%
RDNT.O RadNet Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-72,000 50% 60% >72,000 75%
MGI.O MoneyGram International Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
EMCI.O EMC Insurance Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
FLKS.O Flex Pharma Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
ALCO.O Alico Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
ETM Entercom Communications Corporation USA 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
HURC.O Hurco Companies Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-8,250 50% 60% >8,250 75%
NM.N Navios Maritime Holdings Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
ABTX.O Allegiance Bancshares Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
STAA.O STAAR Surgical Company USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
LBAI.O Lakeland Bancorp Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
CCO Clear Channel Outdoor Holdings Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
ATLO.O Ames National Corporation USA 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
RENN.K Renren Inc - ADR USA 0-15,000 25% 15,000-90,000 40% 90,000-285,000 50% 60% >285,000 75%
LEU.N Centrus Energy USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
ARTNA.O Artesian Resources Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
LILAB.PK Liberty Global PLC USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
SNMX.O Senomyx Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
FISI.O Financial Institutions Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
AMNB.O American National Bankshares Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-7,500 50% 60% >7,500 75%
MBWM.O Mercantile Bank Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
GRC.A Gorman-Rupp Company USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
NVTA.K Invitae Corp USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
RELY.O Real Industry Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-76,000 50% 60% >76,000 75%
CEA China Eastern Airlines Corp Ltd USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
UFPT.O UFP Technologies Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
PTXP.O PennTex Midstream Partners LP USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
EBTC.O Enterprise Bancorp Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
KZ.O KongZhong Corp - ADR USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
LARK.O Landmark Bancorp Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
AGNCB.O American Capital Agency Corporation 7.75 Pfd USA 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
AGNCP.O American Capital Agency Corporation 8 Pfd USA 0-1,000 25% 1,000-3,000 40% 3,000-5,250 50% 60% >5,250 75%
WVE.O WAVE Life Sciences Limited USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
NDLS.O Noodles & Co USA 0-4,000 25% 4,000-25,000 40% 25,000-76,000 50% 60% >76,000 75%
MIFI.O Novatel Wireless Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 96 of 103
BWINB.O Baldwin & Lyons Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
VGZ.P Vista Gold Corporation USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
MANU.K Manchester United PLC USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
NUTR.O Nutraceutical International Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
TRIB.O Trinity Biotech PLC - ADR USA 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
WEYS.O Weyco Group Inc USA 0-1,000 25% 1,000-4,000 40% 4,000-6,000 50% 60% >6,000 75%
TRIL.O Trillium Therapeutics Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
HIVE.K Aerohive Networks Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
TLND.O Talend SA USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
PMX.N PIMCO Municipal Income Fund III USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
STML.O Stemline Therapeutics Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
ICD Independence Contract Drilling Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
CSS CSS Industries Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-9,750 50% 60% >9,750 75%
PKE Park Electrochemical Corporation USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
ADMP.O Adamis Pharmaceuticals Corp USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
FOMX.O Foamix Pharmaceuticals Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CGG.N CGG - ADR USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
PCCC.O PC Connection Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
CETX.O Cemtrex Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
WSBF.O Waterstone Financial Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
GCAP.K Gain Capital Holdings Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
MCFT.O MCBC Holdings Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
DRRX.O Durect Corp USA 0-15,000 25% 15,000-90,000 40% 90,000-255,000 50% 60% >255,000 75%
MXWL.O Maxwell Technologies Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
CTMX.O CytomX Therapeutics Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
CRNT.O Ceragon Networks Ltd USA 0-9,000 25% 9,000-54,000 40% 54,000-162,000 50% 60% >162,000 75%
CPRX.O Catalyst Pharmaceutical Partners Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-475,000 50% 60% >475,000 75%
CAI CAI International Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CUNB.O CU Ban Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
VYGR.O Voyager Therapeutics Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
OLP One Liberty Properties Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
FFWM.O First Foundation Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
NGS.N Natural Gas Services Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
PSIX.O Power Solutions International Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
EDGE.O Edge Therapeutics Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
CISG.O CNinsure Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
AFCB.O Athens Bancshares Corporation USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CRBP.O Corbus Pharmaceuticals Holdings Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
FCBC.O First Community Bancshares Inc/VA USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
INTG.O The InterGroup Corporation USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
TBBK.O Bancorp Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-68,000 50% 60% >68,000 75%
XRM Xerium Technologies Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
SRLP.K Sprague Resources LP USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
UMH UMH Properties Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
RWLK.O ReWalk Robotics Ltd USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
DL.N China Distance Education Holdings Ltd USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
MSFG.O MainSource Financial Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
STN Stantec Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-8,250 50% 60% >8,250 75%
BLMT.O BSB Bancorp Inc. (Maryland) USA 0-1,000 25% 1,000-3,000 40% 3,000-6,000 50% 60% >6,000 75%
ASM.P Avino Silver & Gold Mines Limited USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
PGLC.O Pershing Gold Corporation USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
TRC.N Tejon Ranch Co USA 0-1,000 25% 1,000-6,000 40% 6,000-18,000 50% 60% >18,000 75%
STFC.O State Auto Financial Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
TLYS.K Tilly's Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
LIND.O Lindblad Expeditions Holdings Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
BKMU.O Bank Mutual Corp USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
BELFB.O Bel Fuse Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
NQS Nuveen Select Quality Municipal Fund Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
NWPX.O Northwest Pipe Company USA 0-2,000 25% 2,000-10,000 40% 10,000-34,000 50% 60% >34,000 75%
JPEP.K JP Energy Partners LP USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
LPCN.O Lipocine Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
FNLC.O The First Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
DCO Ducommun Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
ZPIN.K Zhaopin Ltd USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
WIA Western Asset Claymore Inflation-Linked Securities & Income Fund USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
AEGR.O Aegerion Pharmaceuticals Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-300,000 50% 60% >300,000 75%
WPRT.O Westport Innovations Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-240,000 50% 60% >240,000 75%
MUA.N BlackRock MuniAssets Fund Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
FBIZ.O First Business Financial Services Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
OAKS_pa.N Five Oaks Investment Corporation Pfd 8 3/4 12/31/49 USA 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
SNBC.O Sun Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
CASC.O Cascadian Therapeutics Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
HTBK.O Heritage Commerce Corporation USA 0-2,000 25% 2,000-10,000 40% 10,000-36,000 50% 60% >36,000 75%
MGU.N Macquarie Global Infrastructure Total Return Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
HNH.O Handy & Harman Limited USA 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
OSIR.O Osiris Therapeutics Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
QADA.O QAD Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
JRJC.O China Finance Online Co Ltd USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
FELP.N Foresight Energy LP USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
COHU.O Cohu Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
ANCX.O Access National Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-9,250 50% 60% >9,250 75%
BLBD.O Blue Bird Corp USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
CCIH.O ChinaCache International Holdings Ltd USA 0-4,000 25% 4,000-25,000 40% 25,000-72,000 50% 60% >72,000 75%
RST Rosetta Stone Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
WLFC.O Willis Lease Finance Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
NNA Navios Maritime Acquisition Corporation USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
HNRG.O Hallador Energy Company USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
HCOM.O Hawaiian Telcom Holdco Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
MLR Miller Industries Inc/TN USA 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
AKOb.N Embotelladora Andina SA USA 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
XNET.O Xunlei Ltd USA 0-4,000 25% 4,000-25,000 40% 25,000-76,000 50% 60% >76,000 75%
UEC Uranium Energy Corp USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
NWHM.K The New Home Company Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
WEBK.O Wellesley Bancorp Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
CARO.O Carolina Financial Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
AMSC.O American Superconductor Corp USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
CZNC.O Citizens & Northern Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
BOOM.O Dynamic Materials Corp USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 97 of 103
JIVE.O Jive Software Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
PBT.N Permian Basin Royalty Trust USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
AKAO.O Achaogen Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
LOB.O Live Oak Bancshares Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
ERA Era Group Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-57,000 50% 60% >57,000 75%
NAVB.P Navidea Biopharmaceuticals Inc USA 0-25,000 25% 25,000-150,000 40% 150,000-500,000 50% 60% >500,000 75%
ARC.N ARC Document Solutions Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
UCTT.O Ultra Clean Holdings Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
OREX.O Orexigen Therapeutics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
DSGX.O Descartes Systems Group Inc/The USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
NADL.K North Atlantic Drilling Ltd USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
AAV Advantage Oil & Gas Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
EGLT.O Egalet Corporation USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CGEN.O Compugen Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CYCC.O Cyclacel Pharmaceuticals Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
SFE Safeguard Scientifics Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
INAP.O Internap Corporation USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
HK.N Halcon Resources Corp USA 0-70,000 25% 70,000-420,000 40% 420,000-1,330,000 50% 60% >1,330,000 75%
VVUS.O Vivus Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-400,000 50% 60% >400,000 75%
SCD.N LMP Capital and Income Fund Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
CHMA.O Chiasma Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
CCNE.O CNB Financial Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
AJX Great Ajax Corporation USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
GNBC.O Green Bancorp Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-34,000 50% 60% >34,000 75%
IVTY.O Invuity Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
TTOO.O T2 Biosystems Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
NVTR.O Nuvectra Corporation USA 0-3,000 25% 3,000-20,250 40% 20,250-29,250 50% 60% >29,250 75%
PUB.O People's Utah Ban Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-18,000 50% 60% >18,000 75%
ACW Accuride Corp USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
REIS.O Reis Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
SPNS.O Sapiens International Corporation NV USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
AKOa.N Embotelladora Andina SA USA 0-1,000 25% 1,000-3,000 40% 3,000-3,500 50% 60% >3,500 75%
GV.P Goldfield Corporation USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
FONR.O Fonar Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
PTSI.O PAM Transportation Services Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
CYTR.O CytRx Corporation USA 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
HCCI.O Heritage-Crystal Clean Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
CIA Citizens Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
BBX BBX Capital Corporation USA 0-1,000 25% 1,000-3,000 40% 3,000-5,000 50% 60% >5,000 75%
EFOI.O Energy Focus Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
ITCB.K Itau CorpBanca USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
GHM.A Graham Corp USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
WTBA.O West Bancorp. Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
ELOS.O Syneron Medical Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
TZOO.O Travelzoo Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
CLCT.O Collectors Universe Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
EMF.N Templeton Emerging Markets Fund USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
GLDD.O Great Lakes Dredge & Dock Corp USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
SZMK.O Sizmek Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
EVLV.O EVINE Live Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
ORN Orion Marine Group Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
CEE.N Central Europe Russia and Turkey Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-7,750 50% 60% >7,750 75%
HTBI.O HomeTrust Bancshares Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
MN Manning & Napier Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
HMTV.O Hemisphere Media Group Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
CALL.O magicJack VocalTec Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-57,000 50% 60% >57,000 75%
TBK.O Triumph Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
PZE.N Petrobras Argentina SA - ADR USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
CWCO.O Consolidated Water Company Limited USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
TBRA.O Tobira Therapeutics Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
MRLN.O Marlin Business Services Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
HMLP.K Hoegh LNG Partners LP USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
EDN Empresa Distribuidora y Comercializadora Norte SA USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
TAX.O Liberty Tax Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
FWP.O Forward Pharma A/S USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
BFIN.O BankFinancial Corp USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
CBR.N CIBER Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-270,000 50% 60% >270,000 75%
RTK.O Rentech Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
ENTL.O Entellus Medical Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
FOGO.O Fogo de Chao Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
ABUS.O Arbutus Biopharma Corp USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
OR Osisko Gold Royalties Limited USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
VTL.O Vital Therapies Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
NVCN.O Neovasc Inc USA 0-30,000 25% 30,000-180,000 40% 180,000-540,000 50% 60% >540,000 75%
BAS.N Basic Energy Services Inc USA 0-45,000 25% 45,000-270,000 40% 270,000-855,000 50% 60% >855,000 75%
BPI Bridgepoint Education Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
PSDV.O pSivida Corporation USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
ORMP.O Oramed Pharmaceuticals Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
LMRK.O Landmark Infrastructure Partners LP USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
SAR Saratoga Investment Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-8,250 50% 60% >8,250 75%
USAK.O USA Truck Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
WLDN.O Willdan Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
HBP.O Huttig Building Products Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
KE.O Kimball Electronics Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
XOMA.O XOMA Corp USA 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
BSRR.O Sierra Ban Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
ENPH.O Enphase Energy Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
CLFD.O Clearfield Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
BTX.A BioTime Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
TRK Speedway Motorsports Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
NEFF.K Neff Corporation USA 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
MOBL.O MobileIron Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
GBNK.O Guaranty Ban Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
FATE.O Fate Therapeutics Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
IMDZ.O Immune Design Corp USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
ECC Eagle Point Credit Co Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
FBNK.O First Connecticut Bancorp Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
HQCL.O Hanwha Q Cells Co Ltd - ADR USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 98 of 103
CLMS.O Calamos Asset Management Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
FSAM.O Fifth Street Asset Management Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
SEAC.O SeaChange International Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
SCYX.O SCYNEXIS Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-114,000 50% 60% >114,000 75%
IHC Independence Holding Company USA 0-1,000 25% 1,000-6,000 40% 6,000-8,500 50% 60% >8,500 75%
SVA.O Sinovac Biotech Ltd USA 0-3,000 25% 3,000-20,250 40% 20,250-51,000 50% 60% >51,000 75%
FAM First Trust Aberdeen Global Opportunity Income Fund USA 0-1,500 25% 1,500-9,000 40% 9,000-24,000 50% 60% >24,000 75%
LEE Lee Enterprises Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
PHX Panhandle Oil and Gas Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
AFH.O Atlas Financial Holdings Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
KBIOQ.PK KaloBios Pharmaceuticals Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
GEN.N Genesis Healthcare Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-133,000 50% 60% >133,000 75%
CRDb.N Crawford & Company USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
ATNM.A Actinium Pharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
SGC.O Superior Uniform Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
DSPG.O DSP Group Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
LXFR.K Luxfer Holdings PLC USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
IMH.A Impac Mortgage Holdings Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
VBTX.O Veritex Holdings Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
STB.O Student Transportation Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
IO.N ION Geophysical Corp USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
SUNW.O Sunworks Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-114,000 50% 60% >114,000 75%
GENC.O Gencor Industries Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
SJT.N San Juan Basin Royalty Trust USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
MRNS.O Marinus Pharmaceuticals Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
NYNY.O Empire Resorts Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-12,000 50% 60% >12,000 75%
CDI CDI Corporation USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
AFMD.O Affimed NV USA 0-6,000 25% 6,000-34,500 40% 34,500-114,000 50% 60% >114,000 75%
GCBC.O Greene County Bancorp Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
RTIX.O RTI Surgical Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
JE.N Just Energy Group Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
MXF Mexico Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
PCBK.O Pacific Continental Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
CHN.N China Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
AUPH.P Aurinia Pharmaceuticals Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
CDTX.O Cidara Therapeutics Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
MLVF.O Malvern Bancorp Inc USA 0-1,000 25% 1,000-4,000 40% 4,000-6,250 50% 60% >6,250 75%
LMNR.O Limoneira Co USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
PACD.K Pacific Drilling SA USA 0-5,000 25% 5,000-30,000 40% 30,000-95,000 50% 60% >95,000 75%
WG.N Willbros Group Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
NAK.A Northern Dynasty Minerals Ltd USA 0-20,000 25% 20,000-120,000 40% 120,000-380,000 50% 60% >380,000 75%
CHKE.O Cherokee Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
CRIS.O Curis Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
DGICA.O Donegal Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
LAWS.O Lawson Products Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-9,250 50% 60% >9,250 75%
STRL.O Sterling Construction Co Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-45,000 50% 60% >45,000 75%
MFIN.O Medallion Financial Corp USA 0-4,000 25% 4,000-25,000 40% 25,000-80,000 50% 60% >80,000 75%
TTGT.O TechTarget Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
EARS.O Auris Medical Holding AG USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
AMSWA.O American Software Inc/GA USA 0-1,500 25% 1,500-9,000 40% 9,000-28,500 50% 60% >28,500 75%
FC Franklin Covey Company USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
CUTR.O Cutera Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
NRCIA.O National Research Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-8,750 50% 60% >8,750 75%
ALLT.O Allot Communications Limited USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
MDGN.A Medgenics Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
UUUU.A Energy Fuels Inc (US) USA 0-6,900 25% 6,900-39,675 40% 39,675-138,000 50% 60% >138,000 75%
AVHI.O AV Homes Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
OPY Oppenheimer Holdings Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-18,000 50% 60% >18,000 75%
OHRP.O Ohr Pharmaceutical Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-108,000 50% 60% >108,000 75%
KOPN.O Kopin Corporation USA 0-7,000 25% 7,000-40,250 40% 40,250-140,000 50% 60% >140,000 75%
SPNE.O SeaSpine Holdings Corporation USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
DRNA.O Dicerna Pharmaceuticals Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
IDI.P IDI Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-57,000 50% 60% >57,000 75%
MNE.N BlackRock Muni New York Intermediate Duration Fund Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-4,250 50% 60% >4,250 75%
MNI.N McClatchy Co USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
HHS.N Harte-Hanks Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
TSC.O Tristate Capital Holdings Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
CUI.O CUI Global Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
MDM.O Mountain Province Diamonds Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
PFD.N Flaherty & Crumrine Preferred Income Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
ECYT.O Endocyte Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
ALIM.O Alimera Sciences Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
VPG Vishay Precision Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
WPT World Point Terminals LP USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
YGE.N Yingli Green Energy Holding Co Ltd - ADR USA 0-4,000 25% 4,000-25,000 40% 25,000-76,000 50% 60% >76,000 75%
PFNX.K Pfenex Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-34,000 50% 60% >34,000 75%
DMLP.O Dorchester Minerals LP USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
RDHL.O RedHill Biopharma Limited USA 0-1,000 25% 1,000-6,000 40% 6,000-13,000 50% 60% >13,000 75%
APF.N Morgan Stanley Asia Pacific Fund Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
ARCX.K Arc Logistics Partners LP USA 0-1,000 25% 1,000-6,000 40% 6,000-18,000 50% 60% >18,000 75%
BBRG.O Bravo Brio Restaurant Group Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
JAX J. Alexander's Holdings Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
BSD.N BlackRock Strategic Municipal Trust USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
TGD.P Timmins Gold Corporation USA 0-30,000 25% 30,000-180,000 40% 180,000-600,000 50% 60% >600,000 75%
VLTC.O Voltari Corp USA 0-5,000 25% 5,000-30,000 40% 30,000-90,000 50% 60% >90,000 75%
CMT.A Core Molding Technologies Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
CDZI.O Cadiz Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
MUS BlackRock MuniHoldings Quality Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
MEIP.O MEI Pharma Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
MSB Mesabi Trust USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
CPST.O Capstone Turbine Corp USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
NATR.O Nature's Sunshine Products Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
CCBG.O Capital City Bank Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
CSWC.O Capital Southwest Corp USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
ATTO.K Atento SA USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
CBK Christopher & Banks Corporation USA 0-10,000 25% 10,000-60,000 40% 60,000-200,000 50% 60% >200,000 75%
TNAV.O Telenav Inc USA 0-2,500 25% 2,500-15,000 40% 15,000-47,500 50% 60% >47,500 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 99 of 103
CNAT.O Conatus Pharmaceuticals Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-160,000 50% 60% >160,000 75%
KMPH.O KemPharm Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
EIGR.O Eiger Biopharmaceuticals Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
ATEYY.PK Advantest Corp USA 0-1,000 25% 1,000-3,000 40% 3,000-5,500 50% 60% >5,500 75%
GF.N New Germany Fund Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-9,250 50% 60% >9,250 75%
VFL.P Delaware Investments National Municipal Income Fund USA 0-1,000 25% 1,000-3,000 40% 3,000-4,750 50% 60% >4,750 75%
HEROQ.PK Hercules Offshore Inc USA 0-9,000 25% 9,000-54,000 40% 54,000-180,000 50% 60% >180,000 75%
ADHD.O Alcobra Limited USA 0-3,000 25% 3,000-20,250 40% 20,250-54,000 50% 60% >54,000 75%
CRMD.P CorMedix Inc USA 0-8,000 25% 8,000-50,000 40% 50,000-152,000 50% 60% >152,000 75%
PBIP.O Prudential Bancorp Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-4,000 50% 60% >4,000 75%
CBAY.O Cymabay Therapeutics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
PPHM.O Peregrine Pharmaceuticals Inc USA 0-35,000 25% 35,000-210,000 40% 210,000-700,000 50% 60% >700,000 75%
ESTE.A Earthstone Energy Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
SEED.O Origin Agritech Limited USA 0-6,000 25% 6,000-34,500 40% 34,500-114,000 50% 60% >114,000 75%
CBMG.O Cellular Biomedicine Group Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
FVE Five Star Quality Care Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-114,000 50% 60% >114,000 75%
EBMT.O Eagle Bancorp Montana Inc USA 0-1,000 25% 1,000-3,000 40% >3000 75% 75%
KDMN.K Kadmon Holdings Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
ACH.N Aluminum Corp of China Ltd - ADR USA 0-1,500 25% 1,500-9,000 40% 9,000-24,000 50% 60% >24,000 75%
XCOM.O Xtera Communications Inc USA 0-20,000 25% 20,000-120,000 40% 120,000-360,000 50% 60% >360,000 75%
EGF.N BlackRock Enhanced Government Fund Inc USA 0-1,000 25% 1,000-3,000 40% 3,000-5,750 50% 60% >5,750 75%
FBRC.O FBR & Company USA 0-1,000 25% 1,000-6,000 40% 6,000-17,000 50% 60% >17,000 75%
SLP.O Simulations Plus Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
ISNS.O Image Sensing Systems Inc USA 0-4,000 25% 4,000-25,000 40% 25,000-68,000 50% 60% >68,000 75%
COB.O CommunityOne Ban Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-14,000 50% 60% >14,000 75%
LCUT.O Lifetime Brands Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
MBTF.O MBT Financial Corporation USA 0-1,500 25% 1,500-9,000 40% 9,000-27,000 50% 60% >27,000 75%
PCYG.O Park City Group Inc USA 0-1,200 25% 1,200-6,900 40% 6,900-16,800 50% 60% >16,800 75%
ULH.O Universal Logistics Holdings Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-10,000 50% 60% >10,000 75%
AGYS.O Agilysys Inc USA 0-1,200 25% 1,200-6,900 40% 6,900-14,400 50% 60% >14,400 75%
SCM Stellus Capital Investment Corporation USA 0-1,200 25% 1,200-6,900 40% 6,900-22,800 50% 60% >22,800 75%
RDI.O Reading International Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
OOMA.N Ooma Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-30,000 50% 60% >30,000 75%
CPAC.K Cementos Pacasmayo SAA USA 0-1,400 25% 1,400-8,400 40% 8,400-13,650 50% 60% >13,650 75%
FHY First Trust Strategic High Income Fund II USA 0-1,100 25% 1,100-6,600 40% 6,600-18,700 50% 60% >18,700 75%
MPX Marine Products Corporation USA 0-1,500 25% 1,500-4,500 40% 4,500-7,500 50% 60% >7,500 75%
TSQ Townsquare Media Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-25,500 50% 60% >25,500 75%
UPLD.O Upland Software Inc USA 0-1,500 25% 1,500-4,500 40% 4,500-7,500 50% 60% >7,500 75%
GWRS.O Global Water Resources Inc USA 0-1,700 25% 1,700-10,200 40% 10,200-11,050 50% 60% >11,050 75%
NBRV.O Nabriva Therapeutic SA USA 0-1,700 25% 1,700-5,100 40% 5,100-8,075 50% 60% >8,075 75%
KGJI.O Kingold Jewelry Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
CIFC.O CIFC Corporation USA 0-1,200 25% 1,200-6,900 40% 6,900-8,400 50% 60% >8,400 75%
VSTM.O Verastem Inc USA 0-10,000 25% 10,000-60,000 40% 60,000-190,000 50% 60% >190,000 75%
MHGC.O Morgans Hotel Group Co USA 0-6,000 25% 6,000-34,500 40% 34,500-120,000 50% 60% >120,000 75%
CUBA.O The Herzfeld Caribbean Basin Fund Inc USA 0-2,100 25% 2,100-15,225 40% 15,225-25,200 50% 60% >25,200 75%
HIL Hill International Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
VISI.A Volt Information Sciences Inc USA 0-2,200 25% 2,200-14,850 40% 14,850-20,900 50% 60% >20,900 75%
FRD Friedman Industries Inc USA 0-2,400 25% 2,400-7,200 40% >7200 75% 75%
SRV.N Cushing MLP Total Return Fund USA 0-1,000 25% 1,000-6,000 40% 6,000-15,000 50% 60% >15,000 75%
MBRX.O Moleculin Biotech Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-13,500 50% 60% >13,500 75%
TWIN.O Twin Disc Inc USA 0-1,100 25% 1,100-6,600 40% 6,600-22,000 50% 60% >22,000 75%
GUID.O Guidance Software Inc USA 0-2,200 25% 2,200-14,850 40% 14,850-37,400 50% 60% >37,400 75%
CDNA.O CareDx Inc USA 0-2,900 25% 2,900-8,700 40% >8700 75% 75%
DMTX.O Dimension Therapeutics Inc USA 0-1,900 25% 1,900-9,975 40% 9,975-30,400 50% 60% >30,400 75%
ATTU.O Attunity Ltd USA 0-1,600 25% 1,600-9,600 40% 9,600-25,600 50% 60% >25,600 75%
NL NL Industries Inc USA 0-2,800 25% 2,800-8,400 40% 8,400-16,800 50% 60% >16,800 75%
PRQR.O ProQR Therapeutics NV USA 0-2,300 25% 2,300-14,950 40% 14,950-25,300 50% 60% >25,300 75%
NAO Nordic American Offshore Ltd USA 0-3,300 25% 3,300-19,800 40% 19,800-56,100 50% 60% >56,100 75%
JMU.O JM WOWO USA 0-2,600 25% 2,600-7,800 40% 7,800-11,050 50% 60% >11,050 75%
KVHI.O KVH Industries Inc USA 0-1,500 25% 1,500-9,000 40% 9,000-21,000 50% 60% >21,000 75%
IIN.O Intricon Corporation USA 0-2,900 25% 2,900-8,700 40% >8700 75% 75%
VNRX.A VolitionRX Limited USA 0-2,900 25% 2,900-8,700 40% 8,700-15,225 50% 60% >15,225 75%
ABIL.O Ability Inc USA 0-3,300 25% 3,300-19,800 40% 19,800-27,225 50% 60% >27,225 75%
CLRO.O ClearOne Inc USA 0-1,200 25% 1,200-3,600 40% 3,600-5,100 50% 60% >5,100 75%
QNST.O QuinStreet Inc USA 0-3,800 25% 3,800-24,700 40% 24,700-49,400 50% 60% >49,400 75%
RELL.O Richardson Electronics Limited USA 0-1,900 25% 1,900-9,975 40% 9,975-11,875 50% 60% >11,875 75%
AAMC.K Altisource Asset Management Corp USA 0-1,000 25% 1,000-6,000 40% 6,000-16,000 50% 60% >16,000 75%
OCLS.O Oculus Innovative Sciences Inc USA 0-3,200 25% 3,200-20,000 40% 20,000-28,000 50% 60% >28,000 75%
CEL.N Cellcom Israel Ltd USA 0-1,700 25% 1,700-10,200 40% 10,200-13,175 50% 60% >13,175 75%
FENG.K Phoenix New Media Ltd USA 0-3,700 25% 3,700-20,350 40% 20,350-51,800 50% 60% >51,800 75%
BSQR.O BSQUARE Corp USA 0-2,600 25% 2,600-14,950 40% 14,950-39,000 50% 60% >39,000 75%
PALDF.PK North American Palladium Ltd USA 0-3,400 25% 3,400-10,200 40% >10200 75% 75%
CPHR.O Cipher Pharmaceuticals Inc USA 0-3,100 25% 3,100-9,300 40% >9300 75% 75%
SVVC.O Firsthand Technology Value Fund Inc USA 0-1,900 25% 1,900-5,700 40% 5,700-9,025 50% 60% >9,025 75%
ELON.O Echelon Corp USA 0-2,500 25% 2,500-7,500 40% >7500 75% 75%
GLPW.K Global Power Equipment Group Inc USA 0-4,400 25% 4,400-25,300 40% 25,300-48,400 50% 60% >48,400 75%
HBIO.O Harvard Bioscience Inc USA 0-5,000 25% 5,000-30,000 40% 30,000-50,000 50% 60% >50,000 75%
CLUB.O Town Sports International Holdings Inc USA 0-4,400 25% 4,400-25,300 40% 25,300-37,400 50% 60% >37,400 75%
GIGM.O GigaMedia Ltd USA 0-5,300 25% 5,300-14,575 40% >14575 75% 75%
SYUT.O Synutra International Inc USA 0-3,400 25% 3,400-20,400 40% 20,400-28,900 50% 60% >28,900 75%
GSVC.O GSV Capital Corp USA 0-2,800 25% 2,800-14,700 40% 14,700-44,800 50% 60% >44,800 75%
OSBC.O Old Second Bancorp Inc USA 0-1,600 25% 1,600-9,600 40% 9,600-24,000 50% 60% >24,000 75%
ULBI.O Ultralife Corporation USA 0-3,200 25% 3,200-9,600 40% 9,600-12,000 50% 60% >12,000 75%
AMRC.K Ameresco Inc USA 0-2,600 25% 2,600-14,950 40% 14,950-36,400 50% 60% >36,400 75%
CDRB.O Code Rebel Corporation USA 0-6,100 25% 6,100-24,400 40% 24,400-38,125 50% 60% >38,125 75%
GI EndoChoice Holdings Inc USA 0-3,100 25% 3,100-20,150 40% 20,150-49,600 50% 60% >49,600 75%
INS Intelligent Systems Corporation USA 0-3,700 25% 3,700-10,175 40% >10175 75% 75%
PXS.O Pyxis Tankers Inc USA 0-4,500 25% 4,500-14,625 40% >14625 75% 75%
UTI Universal Technical Institute Inc USA 0-5,700 25% 5,700-35,625 40% 35,625-48,450 50% 60% >48,450 75%
TENX.O Tenax Therapeutics Inc USA 0-5,700 25% 5,700-15,675 40% >15675 75% 75%
JASN.O Jason Industries Inc USA 0-6,300 25% 6,300-20,475 40% >20475 75% 75%
NECB.O Northeast Community Bancorp Inc USA 0-1,900 25% 1,900-5,700 40% >5700 75% 75%
MFCB.K MFC Ban Corporation Limited USA 0-5,800 25% 5,800-14,500 40% 14,500-31,900 50% 60% >31,900 75%
MCHX.O Marchex Inc USA 0-4,700 25% 4,700-30,550 40% 30,550-65,800 50% 60% >65,800 75%
VISN.O VisionChina Media Inc - ADR USA 0-2,100 25% 2,100-10,500 40% 10,500-15,750 50% 60% >15,750 75%
AETI.O American Electric Technologies Inc USA 0-5,200 25% 5,200-15,600 40% >15600 75% 75%
EDAP.O EDAP TMS SA USA 0-4,400 25% 4,400-25,300 40% 25,300-44,000 50% 60% >44,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 100 of 103
YZC.N Yanzhou Coal Mining Co Ltd - ADR USA 0-2,200 25% 2,200-11,000 40% 11,000-15,400 50% 60% >15,400 75%
NEWS.O NewStar Financial Inc USA 0-1,300 25% 1,300-8,125 40% 8,125-16,900 50% 60% >16,900 75%
PQ.N PetroQuest Energy Inc USA 0-4,600 25% 4,600-29,900 40% 29,900-73,600 50% 60% >73,600 75%
GPRK.K Geopark Ltd USA 0-3,800 25% 3,800-24,700 40% 24,700-41,800 50% 60% >41,800 75%
PSTI.O Pluristem Therapeutics Inc USA 0-7,600 25% 7,600-45,600 40% 45,600-114,000 50% 60% >114,000 75%
BLFS.O BioLife Solutions Inc USA 0-7,600 25% 7,600-45,600 40% 45,600-76,000 50% 60% >76,000 75%
AIQ.O Alliance Healthcare Services Inc USA 0-2,100 25% 2,100-6,300 40% 6,300-12,075 50% 60% >12,075 75%
AST Asterias Biotherapeutics Inc USA 0-4,200 25% 4,200-25,200 40% 25,200-54,600 50% 60% >54,600 75%
ZAIS.O ZAIS Group Holdings Inc USA 0-6,200 25% 6,200-35,650 40% 35,650-99,200 50% 60% >99,200 75%
CYTX.O Cytori Therapeutics Inc USA 0-6,000 25% 6,000-34,500 40% 34,500-78,000 50% 60% >78,000 75%
CYD China Yuchai International Ltd USA 0-1,200 25% 1,200-6,900 40% 6,900-16,800 50% 60% >16,800 75%
SB.N Safe Bulkers Inc USA 0-8,700 25% 8,700-50,025 40% 50,025-130,500 50% 60% >130,500 75%
SDT SandRidge Mississippian Trust I USA 0-8,700 25% 8,700-50,025 40% 50,025-67,425 50% 60% >67,425 75%
BKEP.O Blueknight Energy Partners LP USA 0-2,200 25% 2,200-14,850 40% 14,850-39,600 50% 60% >39,600 75%
ADMA.O ADMA Biologics Inc USA 0-2,300 25% 2,300-14,950 40% 14,950-19,550 50% 60% >19,550 75%
SIM Grupo Simec SAB de CV USA 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
ROYT.K Pacific Coast Oil Trust USA 0-6,700 25% 6,700-40,200 40% 40,200-73,700 50% 60% >73,700 75%
SYMX.O Synthesis Energy Systems Inc USA 0-10,100 25% 10,100-60,600 40% 60,600-101,000 50% 60% >101,000 75%
NVGN.O Novogen Ltd USA 0-6,500 25% 6,500-19,500 40% >19500 75% 75%
CVRS.P Corindus Vascular Robotics Inc USA 0-10,100 25% 10,100-60,600 40% 60,600-83,325 50% 60% >83,325 75%
ABCD.O Cambium Learning Group Inc USA 0-2,600 25% 2,600-14,950 40% 14,950-16,900 50% 60% >16,900 75%
CO China Cord Blood Corp USA 0-2,500 25% 2,500-15,000 40% 15,000-32,500 50% 60% >32,500 75%
CDTI.O Clean Diesel Technologies Inc USA 0-3,500 25% 3,500-20,125 40% 20,125-45,500 50% 60% >45,500 75%
GURE.O Gulf Resources Inc USA 0-7,500 25% 7,500-24,375 40% 24,375-41,250 50% 60% >41,250 75%
CREG.O China Recycling Energy Corp USA 0-6,800 25% 6,800-20,400 40% >20400 75% 75%
CNXR.O Connecture Inc USA 0-8,200 25% 8,200-49,200 40% 49,200-75,850 50% 60% >75,850 75%
PZRX.O PhaseRx Inc USA 0-4,100 25% 4,100-10,250 40% >10250 75% 75%
SGMA.O SigmaTron International Inc USA 0-2,000 25% 2,000-6,000 40% >6000 75% 75%
TRR TRC Companies Inc USA 0-1,600 25% 1,600-9,600 40% 9,600-19,200 50% 60% >19,200 75%
UCFC.O United Community Financial Corporation USA 0-2,000 25% 2,000-10,000 40% 10,000-40,000 50% 60% >40,000 75%
PIRS.O Pieris Pharmaceuticals Inc USA 0-8,200 25% 8,200-49,200 40% 49,200-71,750 50% 60% >71,750 75%
VJET.K voxeljet AG USA 0-3,100 25% 3,100-20,150 40% 20,150-37,200 50% 60% >37,200 75%
NEOT.O Neothetics Inc USA 0-13,400 25% 13,400-80,400 40% 80,400-160,800 50% 60% >160,800 75%
ONTX.O Onconova Therapeutics Inc USA 0-4,300 25% 4,300-24,725 40% 24,725-32,250 50% 60% >32,250 75%
TRMR.N Tremor Video Inc USA 0-8,300 25% 8,300-24,900 40% 24,900-39,425 50% 60% >39,425 75%
AVEO.O AVEO Pharmaceuticals Inc USA 0-14,900 25% 14,900-89,400 40% 89,400-149,000 50% 60% >149,000 75%
IMMY.O Imprimis Pharmaceuticals Inc USA 0-3,100 25% 3,100-9,300 40% 9,300-18,600 50% 60% >18,600 75%
STRI.K STR Holdings Inc USA 0-16,600 25% 16,600-49,800 40% >49800 75% 75%
APT Alpha Pro Tech Ltd USA 0-4,400 25% 4,400-25,300 40% 25,300-28,600 50% 60% >28,600 75%
CJJD.O China Jo-Jo Drugstores Inc USA 0-6,900 25% 6,900-20,700 40% 20,700-24,150 50% 60% >24,150 75%
ZX China Zenix Auto International Limited USA 0-11,500 25% 11,500-34,500 40% >34500 75% 75%
RIBT.O RiceBran Technologies USA 0-9,500 25% 9,500-30,875 40% >30875 75% 75%
SNFCA.O Security National Financial Corporation USA 0-2,300 25% 2,300-6,900 40% >6900 75% 75%
APVO.O Aptevo Therapeutics Inc USA 0-5,700 25% 5,700-15,675 40% >15675 75% 75%
CBIO.O Catalyst Biosciences Inc USA 0-11,400 25% 11,400-34,200 40% 34,200-42,750 50% 60% >42,750 75%
ROSG.O Rosetta Genomics Limited USA 0-13,800 25% 13,800-86,250 40% 86,250-138,000 50% 60% >138,000 75%
TRCH.O Torchlight Energy Resources Inc USA 0-11,400 25% 11,400-71,250 40% 71,250-125,400 50% 60% >125,400 75%
TEAR.O TearLab Corp USA 0-19,000 25% 19,000-57,000 40% 57,000-71,250 50% 60% >71,250 75%
SNSS.O Sunesis Pharmaceuticals Inc USA 0-18,100 25% 18,100-54,300 40% >54300 75% 75%
XRA.A Exeter Resource Corporation USA 0-10,400 25% 10,400-65,000 40% 65,000-145,600 50% 60% >145,600 75%
BSF.O Bear State Financial Inc USA 0-1,400 25% 1,400-8,400 40% 8,400-15,400 50% 60% >15,400 75%
DHOXY.PK Desarrolladora Homex SAB de CV USA 0-20,800 25% 20,800-62,400 40% >62400 75% 75%
APPS.O Digital Turbine Inc USA 0-9,100 25% 9,100-54,600 40% 54,600-172,900 50% 60% >172,900 75%
FORD.O Forward Industries Inc USA 0-8,400 25% 8,400-25,200 40% 25,200-35,700 50% 60% >35,700 75%
CERU.O Cerulean Pharma Inc USA 0-12,600 25% 12,600-75,600 40% 75,600-151,200 50% 60% >151,200 75%
GTXI.O GTx Inc USA 0-20,800 25% 20,800-62,400 40% >62400 75% 75%
ONCS.O OncoSec Medical Inc USA 0-7,800 25% 7,800-44,850 40% 44,850-93,600 50% 60% >93,600 75%
ICA.N Empresas ICA SAB de CV - ADR USA 0-23,100 25% 23,100-69,300 40% 69,300-80,850 50% 60% >80,850 75%
ATLS.K Atlas Energy LP USA 0-19,400 25% 19,400-58,200 40% 58,200-106,700 50% 60% >106,700 75%
CHFN.O Charter Financial Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
PERI.O Perion Network Ltd USA 0-10,000 25% 10,000-60,000 40% 60,000-72,500 50% 60% >72,500 75%
VRML.O Vermillion Inc USA 0-10,000 25% 10,000-30,000 40% >30000 75% 75%
WGBS.O WaferGen Bio-systems Inc USA 0-15,800 25% 15,800-94,800 40% 94,800-173,800 50% 60% >173,800 75%
SIFY.O Sify Technologies Limited USA 0-11,800 25% 11,800-35,400 40% >35400 75% 75%
IPCI.O Intellipharmaceutics International Inc/CA USA 0-7,400 25% 7,400-44,400 40% 44,400-57,350 50% 60% >57,350 75%
OGEN.K Oragenics Inc USA 0-22,200 25% 22,200-66,600 40% >66600 75% 75%
CBYL.O Carbylan Therapeutics Inc USA 0-29,100 25% 29,100-167,325 40% 167,325-378,300 50% 60% >378,300 75%
IBIO.K iBio Inc USA 0-21,100 25% 21,100-63,300 40% 63,300-79,125 50% 60% >79,125 75%
CAS.N A. M. Castle & Company USA 0-9,700 25% 9,700-29,100 40% 29,100-53,350 50% 60% >53,350 75%
BIOC.O Biocept Inc USA 0-22,500 25% 22,500-140,625 40% 140,625-157,500 50% 60% >157,500 75%
CAPN.O Capnia Inc USA 0-13,500 25% 13,500-40,500 40% 40,500-47,250 50% 60% >47,250 75%
RBCN.O Rubicon Technology Inc USA 0-22,300 25% 22,300-66,900 40% >66900 75% 75%
OXGN.O Mateon Therapeutics USA 0-18,500 25% 18,500-111,000 40% 111,000-129,500 50% 60% >129,500 75%
CETV.O Central European Media Enterprises Ltd USA 0-5,500 25% 5,500-34,375 40% 34,375-82,500 50% 60% >82,500 75%
BONT.O Bon-Ton Stores Inc USA 0-7,700 25% 7,700-44,275 40% 44,275-77,000 50% 60% >77,000 75%
JGW.N JGWPT Holdings Inc USA 0-37,400 25% 37,400-112,200 40% >112200 75% 75%
MSN.P Emerson Radio Corporation USA 0-15,400 25% 15,400-46,200 40% >46200 75% 75%
FSI Flexible Solutions International Inc USA 0-5,500 25% 5,500-34,375 40% 34,375-38,500 50% 60% >38,500 75%
IFON.O Infosonics Corporation USA 0-23,800 25% 23,800-71,400 40% >71400 75% 75%
IPDN.O Professional Diversity Network LLC USA 0-17,000 25% 17,000-51,000 40% >51000 75% 75%
ULTR.O Ultrapetrol (Bahamas) Limited USA 0-38,500 25% 38,500-115,500 40% 115,500-202,125 50% 60% >202,125 75%
WILN.O Wi-Lan Inc USA 0-7,700 25% 7,700-44,275 40% 44,275-61,600 50% 60% >61,600 75%
TAT.A TransAtlantic Petroleum Limited USA 0-17,000 25% 17,000-51,000 40% 51,000-59,500 50% 60% >59,500 75%
AUMN.A Golden Minerals Company USA 0-15,400 25% 15,400-88,550 40% 88,550-308,000 50% 60% >308,000 75%
TRX.P Tanzanian Royalty Exploration Corporation USA 0-11,900 25% 11,900-71,400 40% 71,400-166,600 50% 60% >166,600 75%
ARQL.O ArQule Inc USA 0-8,500 25% 8,500-51,000 40% 51,000-57,375 50% 60% >57,375 75%
VICL.O Vical Inc USA 0-3,500 25% 3,500-20,125 40% 20,125-24,500 50% 60% >24,500 75%
MDGS.O Medigus Limited USA 0-7,700 25% 7,700-44,275 40% 44,275-154,000 50% 60% >154,000 75%
ZSAN.O Zosano Pharma Corporation USA 0-17,000 25% 17,000-51,000 40% >51000 75% 75%
CVM.A CEL-SCI Corporation USA 0-31,300 25% 31,300-187,800 40% 187,800-219,100 50% 60% >219,100 75%
MNGA.O MagneGas Corporation USA 0-21,400 25% 21,400-128,400 40% 128,400-278,200 50% 60% >278,200 75%
URG.A Ur-Energy Inc USA 0-23,800 25% 23,800-142,800 40% 142,800-172,550 50% 60% >172,550 75%
CTSO.O CytoSorbents Corp USA 0-2,300 25% 2,300-14,950 40% 14,950-36,800 50% 60% >36,800 75%
NWBO.O Northwest Biotherapeutics Inc USA 0-38,400 25% 38,400-230,400 40% 230,400-336,000 50% 60% >336,000 75%
MPOYQ.PK Midstates Petroleum Co Inc USA 0-72,700 25% 72,700-218,100 40% >218100 75% 75%
EGI.A Entree Gold Inc USA 0-42,900 25% 42,900-128,700 40% >128700 75% 75%
JAGGF.PK Jaguar Mining Inc USA 0-22,100 25% 22,100-66,300 40% >66300 75% 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 101 of 103
EVAR.O Lombard Medical Inc USA 0-14,700 25% 14,700-44,100 40% >44100 75% 75%
HTM.P U.S. Geothermal Inc USA 0-17,800 25% 17,800-111,250 40% 111,250-146,850 50% 60% >146,850 75%
DRYS.O DryShips Inc USA 0-26,700 25% 26,700-160,200 40% 160,200-200,250 50% 60% >200,250 75%
CCM Concord Medical Services Holdings Ltd USA 0-3,100 25% 3,100-9,300 40% 9,300-18,600 50% 60% >18,600 75%
STV.N China Digital TV Holding Co Ltd - ADR USA 0-10,300 25% 10,300-30,900 40% 30,900-54,075 50% 60% >54,075 75%
HEAR.O Turtle Beach Corporation USA 0-12,700 25% 12,700-76,200 40% 76,200-92,075 50% 60% >92,075 75%
WPCS.O WPCS International Inc USA 0-10,300 25% 10,300-30,900 40% 30,900-38,625 50% 60% >38,625 75%
TKAI.O Tokai Pharmaceuticals Inc USA 0-12,700 25% 12,700-76,200 40% 76,200-165,100 50% 60% >165,100 75%
WRES.O Warren Resources Inc USA 0-152,100 25% 152,100-456,300 40% 456,300-836,550 50% 60% >836,550 75%
FENX.O Fenix Parts Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-42,000 50% 60% >42,000 75%
SOL.N ReneSola Ltd - ADR USA 0-12,000 25% 12,000-69,000 40% 69,000-192,000 50% 60% >192,000 75%
GFN.O General Finance Corp USA 0-3,000 25% 3,000-9,000 40% >9000 75% 75%
HIHO.O Highway Holdings Limited USA 0-3,000 25% 3,000-9,000 40% >9000 75% 75%
KBSF.O KBS Fashion Group Limited USA 0-32,700 25% 32,700-98,100 40% >98100 75% 75%
LTBR.O Lightbridge Corp USA 0-6,000 25% 6,000-19,500 40% >19500 75% 75%
LINEQ.PK Linn Energy LLC USA 0-261,600 25% 261,600-1,504,200 40% 1,504,200-2,616,000 50% 60% >2,616,000 75%
TWER.O Towerstream Corp USA 0-6,000 25% 6,000-34,500 40% 34,500-102,000 50% 60% >102,000 75%
AFFY.PK Affymax Inc USA 0-163,500 25% 163,500-490,500 40% >490500 75% 75%
NRXGQ.PK NephroGenex Inc USA 0-327,000 25% 327,000-981,000 40% >981000 75% 75%
TLOG.O TetraLogic Pharmaceuticals Corp USA 0-65,400 25% 65,400-261,600 40% 261,600-408,750 50% 60% >408,750 75%
OXFD.O Oxford Immunotec Global PLC USA 0-1,200 25% 1,200-6,900 40% 6,900-24,000 50% 60% >24,000 75%
ASTI.O Ascent Solar Technologies Inc USA 0-218,000 25% 218,000-654,000 40% 654,000-981,000 50% 60% >981,000 75%
AXPW.O Axion Power International Inc USA 0-43,600 25% 43,600-130,800 40% 130,800-152,600 50% 60% >152,600 75%
CHOPF.PK China Gerui Advanced Materials Group Ltd USA 0-218,000 25% 218,000-654,000 40% >654000 75% 75%
ENSV.A Enservco Corp USA 0-21,800 25% 21,800-65,400 40% >65400 75% 75%
GULTU.PK Gulf Coast Ultra Deep Royalty Trust USA 0-174,400 25% 174,400-523,200 40% >523200 75% 75%
MYRX.PK Myrexis Inc USA 0-218,000 25% 218,000-654,000 40% >654000 75% 75%
AROPQ.PK Aeropostale Inc USA 0-373,700 25% 373,700-1,027,675 40% >1027675 75% 75%
MNDO.O Mind CTI Ltd USA 0-6,000 25% 6,000-19,500 40% 19,500-21,000 50% 60% >21,000 75%
WYY.A WidePoint Corporation USA 0-29,000 25% 29,000-87,000 40% >87000 75% 75%
DAKP.K Dakota Plains Holdings Inc USA 0-118,900 25% 118,900-356,700 40% >356700 75% 75%
EPRSQ.PK EPIRUS Biopharmaceuticals Inc USA 0-622,800 25% 622,800-2,024,100 40% >2024100 75% 75%
GDPMQ.PK Goodrich Petroleum Corp USA 0-605,500 25% 605,500-1,967,875 40% >1967875 75% 75%
ZINCQ.PK Horsehead Holding Corp USA 0-415,200 25% 415,200-1,038,000 40% >1038000 75% 75%
TEUFF.PK Box Ships Inc USA 0-670,700 25% 670,700-2,012,100 40% >2012100 75% 75%
MCPIQ.PK Molycorp Inc USA 0-408,700 25% 408,700-1,021,750 40% >1021750 75% 75%
RCPI.PK Rock Creek Pharmaceuticals Inc USA 0-2,179,700 25% 2,179,700-6,539,100 40% >6539100 75% 75%
BBEPQ.PK Breitburn Energy Partners LP USA 0-219,800 25% 219,800-1,483,650 40% 1,483,650-1,923,250 50% 60% >1,923,250 75%
DXMMQ.PK Dex Media Inc USA 0-1,868,300 25% 1,868,300-5,604,900 40% >5604900 75% 75%
LDKYQ.PK LDK Solar Co Ltd - ADR USA 0-549,500 25% 549,500-1,511,125 40% >1511125 75% 75%
FWMHQ.PK Fairway Group Holdings Corp USA 0-1,868,300 25% 1,868,300-5,604,900 40% >5604900 75% 75%
VELTF.PK Velti PLC - ADR USA 0-3,534,600 25% 3,534,600-9,720,150 40% >9720150 75% 75%
DOMR.PK Dominion Resources Black Warrior Trust USA 0-653,900 25% 653,900-1,307,800 40% >1307800 75% 75%
FREEF.PK FreeSeas Inc USA 0-2,615,600 25% 2,615,600-5,231,200 40% >5231200 75% 75%
LIQDQ.PK Liquid Holdings Group Inc USA 0-26,156,000 25% 26,156,000-52,312,000 40% >52312000 75% 75%
SFXEQ.PK SFX Entertainment Inc USA 0-653,900 25% 653,900-1,307,800 40% >1307800 75% 75%
KWKAQ.PK Quicksilver Resources Inc USA 0-3,269,500 25% 3,269,500-6,539,000 40% >6539000 75% 75%
SDOCQ.PK SandRidge Energy Inc USA 0-563,700 25% 563,700-3,523,125 40% 3,523,125-6,764,400 50% 60% >6,764,400 75%
IVANF.PK Ivanhoe Energy Inc USA 0-1,421,500 25% 1,421,500-4,619,875 40% >4619875 75% 75%
ZAZA.PK ZaZa Energy Corp USA 0-284,300 25% 284,300-852,900 40% >852900 75% 75%
BODY.PK Body Central Corp USA 0-688,300 25% 688,300-2,064,900 40% >2064900 75% 75%
WLTGQ.PK Walter Energy Inc USA 0-354,400 25% 354,400-974,600 40% >974600 75% 75%
RBYCF.PK Rubicon Minerals Corp USA 0-307,700 25% 307,700-923,100 40% 923,100-1,461,575 50% 60% >1,461,575 75%
PVAHQ.PK Penn Virginia Corp USA 0-521,000 25% 521,000-1,563,000 40% >1563000 75% 75%
EXXI.PK Energy XXI Ltd USA 0-335,300 25% 335,300-1,005,900 40% 1,005,900-1,341,200 50% 60% >1,341,200 75%
ICLD.O InterCloud Systems Inc USA 0-46,700 25% 46,700-140,100 40% 140,100-221,825 50% 60% >221,825 75%
KEGX.PK Key Energy Services Inc USA 0-146,100 25% 146,100-876,600 40% 876,600-1,387,950 50% 60% >1,387,950 75%
LNCOQ.PK LinnCo LLC USA 0-210,900 25% 210,900-1,476,300 40% 1,476,300-1,739,925 50% 60% >1,739,925 75%
ONCYF.PK Oncolytics Biotech Inc USA 0-44,100 25% 44,100-132,300 40% >132300 75% 75%
TPLM.K Triangle Petroleum Corp USA 0-57,600 25% 57,600-345,600 40% 345,600-979,200 50% 60% >979,200 75%
REEMF.PK Rare Element Resources Ltd USA 0-150,800 25% 150,800-452,400 40% >452400 75% 75%
PHMD.O PhotoMedex Inc USA 0-56,400 25% 56,400-169,200 40% >169200 75% 75%
AMRS.O Amyris Inc USA 0-32,400 25% 32,400-186,300 40% 186,300-583,200 50% 60% >583,200 75%
XGTI.O xG Technology Inc USA 0-29,000 25% 29,000-166,750 40% 166,750-493,000 50% 60% >493,000 75%
GBSN.O Great Basin Scientific Inc USA 0-85,500 25% 85,500-534,375 40% 534,375-940,500 50% 60% >940,500 75%
EGAN.O eGain Corporation USA 0-4,300 25% 4,300-15,050 40% >15050 75% 75%
IPAS.O iPass Inc USA 0-8,600 25% 8,600-49,450 40% 49,450-66,650 50% 60% >66,650 75%
NESC.PK Nuverra Environmental Solutions Inc USA 0-72,100 25% 72,100-216,300 40% >216300 75% 75%
PTGCY.PK Portugal Telecom SGPS SA - ADR USA 0-55,800 25% 55,800-167,400 40% >167400 75% 75%
TBIO.O Transgenomic Inc USA 0-46,400 25% 46,400-139,200 40% >139200 75% 75%
BAA.A Banro Corp USA 0-36,500 25% 36,500-219,000 40% 219,000-693,500 50% 60% >693,500 75%
AVLNF.PK Avalon Rare Metals Inc USA 0-77,800 25% 77,800-233,400 40% >233400 75% 75%
CRME.O Cardiome Pharma Corp USA 0-4,200 25% 4,200-25,200 40% 25,200-46,200 50% 60% >46,200 75%
MCZ.A Mad Catz Interactive Inc USA 0-62,500 25% 62,500-187,500 40% >187500 75% 75%
FCSC.O Fibrocell Science Inc USA 0-14,800 25% 14,800-88,800 40% 88,800-133,200 50% 60% >133,200 75%
SNTA.O Synta Pharmaceuticals Corporation USA 0-38,100 25% 38,100-114,300 40% >114300 75% 75%
XXII.P 22nd Century Group Inc USA 0-12,100 25% 12,100-75,625 40% 75,625-229,900 50% 60% >229,900 75%
HGG hhgregg Inc USA 0-6,600 25% 6,600-39,600 40% 39,600-62,700 50% 60% >62,700 75%
GMAN.O Gordmans Stores Inc USA 0-13,200 25% 13,200-39,600 40% >39600 75% 75%
OHGI.O One Horizon Group Inc USA 0-19,800 25% 19,800-59,400 40% 59,400-69,300 50% 60% >69,300 75%
RLGT.K Radiant Logistics Inc USA 0-4,400 25% 4,400-25,300 40% 25,300-61,600 50% 60% >61,600 75%
ACIIQ.PK Arch Coal Inc USA 0-39,600 25% 39,600-118,800 40% 118,800-198,000 50% 60% >198,000 75%
CMLS.O Cumulus Media Inc USA 0-36,300 25% 36,300-217,800 40% 217,800-435,600 50% 60% >435,600 75%
ESI.N ITT Educational Services Inc USA 0-36,500 25% 36,500-219,000 40% 219,000-337,625 50% 60% >337,625 75%
INTX.O Intersections Inc USA 0-7,300 25% 7,300-20,075 40% >20075 75% 75%
LLNW.O Limelight Networks Inc USA 0-7,300 25% 7,300-45,625 40% 45,625-116,800 50% 60% >116,800 75%
PCO.O Pendrell Corporation USA 0-18,600 25% 18,600-111,600 40% 111,600-167,400 50% 60% >167,400 75%
BEBE.O bebe stores inc USA 0-19,800 25% 19,800-118,800 40% 118,800-158,400 50% 60% >158,400 75%
NDRO.K Enduro Royalty Trust USA 0-3,900 25% 3,900-25,350 40% 25,350-33,150 50% 60% >33,150 75%
IKGH.O Iao Kun Group Holding Company Limited USA 0-33,500 25% 33,500-100,500 40% >100500 75% 75%
ACHI.PK Accretive Health Inc USA 0-6,700 25% 6,700-40,200 40% 40,200-73,700 50% 60% >73,700 75%
ASTC.O Astrotech Corporation USA 0-6,500 25% 6,500-40,625 40% 40,625-60,125 50% 60% >60,125 75%
ENZN.O Enzon Pharmaceuticals Inc USA 0-28,400 25% 28,400-85,200 40% 85,200-120,700 50% 60% >120,700 75%
MVIS.O Microvision Inc USA 0-9,200 25% 9,200-55,200 40% 55,200-110,400 50% 60% >110,400 75%
SMIT.O Schmitt Industries Inc USA 0-9,200 25% 9,200-29,900 40% >29900 75% 75%
UNIS.O Unilife Corp (US) USA 0-4,600 25% 4,600-29,900 40% 29,900-73,600 50% 60% >73,600 75%
DSKX.O DS Healthcare Group Inc USA 0-19,500 25% 19,500-58,500 40% 58,500-78,000 50% 60% >78,000 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 102 of 103
GLBS.O Globus Maritime Ltd USA 0-20,100 25% 20,100-120,600 40% 120,600-155,775 50% 60% >155,775 75%
HKTVY.PK Hong Kong Television Network Ltd USA 0-3,700 25% 3,700-10,175 40% >10175 75% 75%
IMNP.O Immune Pharmaceuticals Inc USA 0-35,300 25% 35,300-211,800 40% 211,800-600,100 50% 60% >600,100 75%
GBIM.O GlobeImmune Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-150,000 50% 60% >150,000 75%
AZUR.K Azure Midstream Partners LP USA 0-17,000 25% 17,000-51,000 40% 51,000-85,000 50% 60% >85,000 75%
IMN.N Imation Corp USA 0-16,400 25% 16,400-49,200 40% 49,200-77,900 50% 60% >77,900 75%
GNVC.O GenVec Inc USA 0-24,000 25% 24,000-72,000 40% 72,000-84,000 50% 60% >84,000 75%
OGXI.O OncoGenex Pharmaceuticals Inc USA 0-25,400 25% 25,400-152,400 40% 152,400-190,500 50% 60% >190,500 75%
CAAS.O China Automotive Systems Inc USA 0-3,400 25% 3,400-10,200 40% 10,200-17,000 50% 60% >17,000 75%
MDLY.K Medley Management Inc USA 0-1,600 25% 1,600-9,600 40% 9,600-20,800 50% 60% >20,800 75%
MSLI.O Merus Labs International Inc USA 0-12,800 25% 12,800-41,600 40% >41600 75% 75%
MIXT.K MiX Telematics Ltd USA 0-2,400 25% 2,400-7,200 40% 7,200-14,400 50% 60% >14,400 75%
OESX.O Orion Energy Systems Inc USA 0-9,600 25% 9,600-28,800 40% 28,800-57,600 50% 60% >57,600 75%
CTRV.O ContraVir Pharmaceuticals Inc USA 0-12,800 25% 12,800-73,600 40% 73,600-115,200 50% 60% >115,200 75%
AVIR.O Aviragen Therapeutics Inc USA 0-9,600 25% 9,600-31,200 40% >31200 75% 75%
CGIX.O Cancer Genetics Inc USA 0-6,400 25% 6,400-40,000 40% 40,000-52,800 50% 60% >52,800 75%
IRG.O Ignite Restaurant Group Inc USA 0-15,800 25% 15,800-43,450 40% >43450 75% 75%
RKDA.O Arcadia Biosciences Inc USA 0-6,100 25% 6,100-19,825 40% >19825 75% 75%
JRJR.A JRjr33 Inc USA 0-12,200 25% 12,200-33,550 40% 33,550-57,950 50% 60% >57,950 75%
CTHR.O Charles & Colvard Limited USA 0-10,700 25% 10,700-29,425 40% >29425 75% 75%
ANY.O Sphere 3D Corporation USA 0-21,400 25% 21,400-85,600 40% 85,600-139,100 50% 60% >139,100 75%
THM.A International Tower Hill Mines Ltd USA 0-13,300 25% 13,300-79,800 40% 79,800-159,600 50% 60% >159,600 75%
COVS.O Covisint Corp USA 0-5,700 25% 5,700-35,625 40% 35,625-41,325 50% 60% >41,325 75%
LTS.A Ladenburg Thalmann Financial Services Inc USA 0-5,700 25% 5,700-35,625 40% 35,625-96,900 50% 60% >96,900 75%
SITO.O SITO Mobile Limited USA 0-2,600 25% 2,600-14,950 40% 14,950-31,200 50% 60% >31,200 75%
CANF.P Can-Fite BioPharma Ltd USA 0-5,200 25% 5,200-29,900 40% 29,900-67,600 50% 60% >67,600 75%
LEJU.K Leju Holdings Ltd USA 0-3,100 25% 3,100-20,150 40% 20,150-58,900 50% 60% >58,900 75%
NKA.N Niska Gas Storage Partners LLC USA 0-3,100 25% 3,100-20,150 40% 20,150-34,100 50% 60% >34,100 75%
PGNPQ.PK Paragon Offshore PLC USA 0-19,300 25% 19,300-120,625 40% 120,625-328,100 50% 60% >328,100 75%
SIXD.O 6D Global Technologies Inc USA 0-4,500 25% 4,500-24,750 40% 24,750-49,500 50% 60% >49,500 75%
AWRE.O Aware Inc USA 0-2,500 25% 2,500-7,500 40% 7,500-10,625 50% 60% >10,625 75%
OIBRQ.PK Oi SA - ADR USA 0-15,000 25% 15,000-90,000 40% 90,000-225,000 50% 60% >225,000 75%
CGA China Green Agriculture Inc USA 0-9,000 25% 9,000-24,750 40% 24,750-33,750 50% 60% >33,750 75%
LINC.O Lincoln Educational Services Corp USA 0-5,800 25% 5,800-14,500 40% 14,500-24,650 50% 60% >24,650 75%
OBCI.O Ocean Bio-Chem Inc USA 0-5,000 25% 5,000-15,000 40% >15000 75% 75%
PER SandRidge Permian Trust USA 0-5,000 25% 5,000-30,000 40% 30,000-100,000 50% 60% >100,000 75%
VSR.A Versar Inc USA 0-8,700 25% 8,700-23,925 40% 23,925-36,975 50% 60% >36,975 75%
TNXP.O Tonix Pharmaceuticals Holding Corporation USA 0-15,000 25% 15,000-90,000 40% 90,000-195,000 50% 60% >195,000 75%
XBIOD.PK Xenetic Biosciences Inc USA 0-2,900 25% 2,900-8,700 40% >8700 75% 75%
MLSS.A Milestone Scientific Inc USA 0-5,800 25% 5,800-14,500 40% >14500 75% 75%
IIJI.O Internet Initiative Japan Inc - ADR USA 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
ROX.A Castle Brands Inc USA 0-15,000 25% 15,000-90,000 40% 90,000-101,250 50% 60% >101,250 75%
DNN.A Denison Mines Corp (US) USA 0-24,800 25% 24,800-148,800 40% 148,800-471,200 50% 60% >471,200 75%
ORPN.O Bio Blast Pharma Limited USA 0-8,100 25% 8,100-50,625 40% 50,625-97,200 50% 60% >97,200 75%
MCUR.O Macrocure Limited USA 0-8,100 25% 8,100-50,625 40% 50,625-145,800 50% 60% >145,800 75%
HEOP.O Heritage Oaks Ban Corporation USA 0-1,600 25% 1,600-9,600 40% 9,600-27,200 50% 60% >27,200 75%
ADK AdCare Health Systems Inc USA 0-5,900 25% 5,900-20,650 40% 20,650-23,600 50% 60% >23,600 75%
CYRN.O CYREN Limited USA 0-5,300 25% 5,300-14,575 40% 14,575-26,500 50% 60% >26,500 75%
JAGX.O Jaguar Animal Health Inc USA 0-10,600 25% 10,600-66,250 40% 66,250-79,500 50% 60% >79,500 75%
MTL.N Mechel - ADR USA 0-5,300 25% 5,300-30,475 40% 30,475-79,500 50% 60% >79,500 75%
VMEM.K Violin Memory Inc USA 0-7,900 25% 7,900-45,425 40% 45,425-142,200 50% 60% >142,200 75%
YOD.O YOU On Demand Holdings Inc USA 0-7,900 25% 7,900-25,675 40% >25675 75% 75%
BLRX.O BioLineRx Limited USA 0-13,700 25% 13,700-78,775 40% 78,775-137,000 50% 60% >137,000 75%
CIDM.O Cinedigm Corporation USA 0-8,300 25% 8,300-24,900 40% 24,900-41,500 50% 60% >41,500 75%
EGY VAALCO Energy Inc USA 0-12,900 25% 12,900-74,175 40% 74,175-112,875 50% 60% >112,875 75%
GCH.N Greater China Fund Inc USA 0-1,400 25% 1,400-8,400 40% 8,400-10,850 50% 60% >10,850 75%
DRWI.O DragonWave Inc USA 0-4,400 25% 4,400-25,300 40% 25,300-83,600 50% 60% >83,600 75%
MLNK.O ModusLink Global Solutions Inc USA 0-8,800 25% 8,800-55,000 40% 55,000-77,000 50% 60% >77,000 75%
GFA.N Gafisa SA - ADR USA 0-8,800 25% 8,800-55,000 40% 55,000-132,000 50% 60% >132,000 75%
NCTY.O The9 Ltd - ADR USA 0-7,400 25% 7,400-20,350 40% 20,350-25,900 50% 60% >25,900 75%
LPTH.O LightPath Technologies Inc USA 0-7,000 25% 7,000-40,250 40% 40,250-126,000 50% 60% >126,000 75%
HTCH.O Hutchinson Technology Inc USA 0-9,300 25% 9,300-55,800 40% 55,800-130,200 50% 60% >130,200 75%
BLPH.O Bellerophon Therapeutics LLC USA 0-9,300 25% 9,300-30,225 40% 30,225-53,475 50% 60% >53,475 75%
DMD Demand Media Inc USA 0-2,300 25% 2,300-14,950 40% 14,950-29,900 50% 60% >29,900 75%
PXLW.O Pixelworks Inc USA 0-4,600 25% 4,600-29,900 40% 29,900-78,200 50% 60% >78,200 75%
CBLI.O Cleveland BioLabs Inc USA 0-7,700 25% 7,700-25,025 40% >25025 75% 75%
PZN Pzena Investment Management Inc USA 0-1,700 25% 1,700-10,200 40% 10,200-23,800 50% 60% >23,800 75%
SMT.O SMART Technologies Inc USA 0-2,900 25% 2,900-8,700 40% >8700 75% 75%
TGA.O TransGlobe Energy Corp USA 0-6,600 25% 6,600-39,600 40% 39,600-57,750 50% 60% >57,750 75%
MTP.O Midatech Pharma PLC USA 0-3,300 25% 3,300-9,900 40% >9900 75% 75%
HGT.N Hugoton Royalty Trust USA 0-6,500 25% 6,500-40,625 40% 40,625-53,625 50% 60% >53,625 75%
NLST.O Netlist Inc USA 0-7,600 25% 7,600-45,600 40% 45,600-121,600 50% 60% >121,600 75%
FORK.O Fuling Global Inc USA 0-7,100 25% 7,100-19,525 40% >19525 75% 75%
LOV.P Spark Networks Inc USA 0-7,100 25% 7,100-19,525 40% 19,525-26,625 50% 60% >26,625 75%
ACTS.O Actions Semiconductor Company Limited USA 0-6,400 25% 6,400-20,800 40% >20800 75% 75%
RNWK.O RealNetworks Inc USA 0-2,900 25% 2,900-15,225 40% 15,225-26,825 50% 60% >26,825 75%
HGSH.O China HGS Real Estate Inc USA 0-5,600 25% 5,600-15,400 40% 15,400-19,600 50% 60% >19,600 75%
FH.O FORM Holdings Corp USA 0-6,400 25% 6,400-40,000 40% 40,000-96,000 50% 60% >96,000 75%
SMED.O Sharps Compliance Corporation USA 0-2,800 25% 2,800-14,700 40% 14,700-21,000 50% 60% >21,000 75%
PZC PIMCO California Municipal Income Fund III USA 0-1,000 25% 1,000-6,000 40% 6,000-20,000 50% 60% >20,000 75%
GENE.O Genetic Technologies Limited USA 0-6,800 25% 6,800-40,800 40% 40,800-59,500 50% 60% >59,500 75%
SGM.N Stonegate Mortgage Corp USA 0-3,400 25% 3,400-20,400 40% 20,400-26,350 50% 60% >26,350 75%
OMEX.O Odyssey Marine Exploration Inc USA 0-3,700 25% 3,700-20,350 40% 20,350-55,500 50% 60% >55,500 75%
MRIN.K Marin Software Inc USA 0-5,300 25% 5,300-30,475 40% 30,475-79,500 50% 60% >79,500 75%
VHI.N Valhi Inc USA 0-4,900 25% 4,900-29,400 40% 29,400-39,200 50% 60% >39,200 75%
DEST.O Destination Maternity Corporation USA 0-2,400 25% 2,400-15,000 40% 15,000-40,800 50% 60% >40,800 75%
CORI.O Corium International Inc USA 0-2,400 25% 2,400-15,000 40% 15,000-28,800 50% 60% >28,800 75%
ERN.A Erin Energy Corporation USA 0-5,500 25% 5,500-34,375 40% 34,375-52,250 50% 60% >52,250 75%
PTIE.O Pain Therapeutics Inc USA 0-5,500 25% 5,500-34,375 40% 34,375-53,625 50% 60% >53,625 75%
SBOT.O Stellar Biotechnologies Inc USA 0-5,500 25% 5,500-15,125 40% 15,125-27,500 50% 60% >27,500 75%
VOXX.O VOXX International Corporation USA 0-4,200 25% 4,200-25,200 40% 25,200-67,200 50% 60% >67,200 75%
HYGS.O Hydrogenics Corp USA 0-2,500 25% 2,500-15,000 40% 15,000-25,000 50% 60% >25,000 75%
INNL.O Innocoll AG USA 0-2,300 25% 2,300-6,900 40% 6,900-16,100 50% 60% >16,100 75%
HDRA.O Hydra Industries Acquisition Corp USA 0-1,300 25% 1,300-3,900 40% 3,900-6,175 50% 60% >6,175 75%
DXLG.O Destination XL Group Inc USA 0-2,700 25% 2,700-14,850 40% 14,850-48,600 50% 60% >48,600 75%
EVI.P EnviroStar Inc USA 0-2,700 25% 2,700-8,100 40% >8100 75% 75%
SPCB.O SuperCom Ltd USA 0-3,600 25% 3,600-19,800 40% 19,800-28,800 50% 60% >28,800 75%
REUTERS DESCRIPTION COUNTRYTIER 1 RANGE (NO. OF SHARES)
TIER 1 DEPOSIT (ALL)
TIER 2 RANGE (NO. OF SHARES)
TIER 2 DEPOSIT (ALL)
TIER 3 RANGE (NO. OF SHARES)
TIER 3 DEPOSIT (SELECT)
TIER 3 DEPOSIT (TRADER)
TIER 4 RANGE (NO. OF SHARES)
TIER 4 DEPOSIT (ALL)
SHARES - TIERED MARGINS (CONTINUED)
Shares - Tiered Margins, November 2016
Page 103 of 103
SCON.O Superconductor Technologies Inc USA 0-5,400 25% 5,400-14,850 40% 14,850-25,650 50% 60% >25,650 75%
SENS.P Senseonics Holdings Inc USA 0-3,200 25% 3,200-20,000 40% 20,000-48,000 50% 60% >48,000 75%
RLH.N Red Lion Hotels Corp USA 0-1,900 25% 1,900-9,975 40% 9,975-19,000 50% 60% >19,000 75%
CALA.O Calithera Biosciences Inc USA 0-4,100 25% 4,100-24,600 40% 24,600-82,000 50% 60% >82,000 75%
MDWD.O MediWound Limited USA 0-1,700 25% 1,700-10,200 40% 10,200-11,900 50% 60% >11,900 75%
AOBI.PK American Oriental Bioengineering Inc USA 0-3,700 25% 3,700-10,175 40% >10175 75% 75%
PRTO.O Proteon Therapeutics Inc USA 0-1,400 25% 1,400-8,400 40% 8,400-15,400 50% 60% >15,400 75%
SRSC.O Sears Canada Inc USA 0-5,200 25% 5,200-29,900 40% 29,900-32,500 50% 60% >32,500 75%
LITB.K LightInTheBox Holding Co Ltd - ADR USA 0-4,200 25% 4,200-14,700 40% 14,700-22,050 50% 60% >22,050 75%
GNE Genie Energy Ltd USA 0-2,100 25% 2,100-15,225 40% 15,225-33,600 50% 60% >33,600 75%
SBLK.O Star Bulk Carriers Corp USA 0-2,800 25% 2,800-14,700 40% 14,700-44,800 50% 60% >44,800 75%
EPM.A Evolution Petroleum Corporation USA 0-2,200 25% 2,200-14,850 40% 14,850-28,600 50% 60% >28,600 75%
HPJ.O Highpower International Inc USA 0-4,400 25% 4,400-25,300 40% 25,300-57,200 50% 60% >57,200 75%
VTVT.O vTv Therapeutics Inc USA 0-2,200 25% 2,200-14,850 40% 14,850-19,800 50% 60% >19,800 75%
MAGS.O Magal Security Systems Ltd USA 0-2,700 25% 2,700-8,100 40% 8,100-10,800 50% 60% >10,800 75%
ABEO.O Abeona Therapeutics Inc USA 0-2,700 25% 2,700-14,850 40% 14,850-40,500 50% 60% >40,500 75%
SPPJY.PK Sappi Ltd - ADR USA 0-2,500 25% 2,500-7,500 40% >7500 75% 75%
TGS Transportadora de Gas del Sur SA USA 0-2,000 25% 2,000-10,000 40% 10,000-38,000 50% 60% >38,000 75%
BVXV.O BiondVax Pharmaceuticals Limited USA 0-3,500 25% 3,500-9,625 40% >9625 75% 75%
SHOS.O Sears Hometown and Outlet Stores Inc USA 0-2,400 25% 2,400-15,000 40% 15,000-24,000 50% 60% >24,000 75%
PDEX.O Pro-Dex Inc USA 0-2,400 25% 2,400-7,200 40% 7,200-13,200 50% 60% >13,200 75%
KINS.O Kingstone Companies Inc USA 0-1,400 25% 1,400-3,850 40% 3,850-8,400 50% 60% >8,400 75%
QTNT.O Quotient Limited USA 0-1,800 25% 1,800-9,900 40% 9,900-27,000 50% 60% >27,000 75%
SPPP.P Sprott Physical Platinum and Palladium Trust USA 0-1,700 25% 1,700-10,200 40% 10,200-32,300 50% 60% >32,300 75%
LND BrasilAgro - Co Brasileira de Propriedades Agricolas USA 0-3,600 25% 3,600-9,900 40% >9900 75% 75%
AWCMY.PK Alumina Ltd - ADR USA 0-3,000 25% 3,000-9,000 40% 9,000-10,500 50% 60% >10,500 75%
CATB.O Catabasis Pharmaceuticals Inc USA 0-3,000 25% 3,000-9,000 40% 9,000-21,000 50% 60% >21,000 75%
PTNR.O Partner Communications Co Ltd USA 0-2,600 25% 2,600-7,800 40% >7800 75% 75%
CACB.O Cascade Ban Corporation USA 0-2,100 25% 2,100-15,225 40% 15,225-37,800 50% 60% >37,800 75%
AGRX.O Agile Therapeutics Inc USA 0-1,800 25% 1,800-9,900 40% 9,900-32,400 50% 60% >32,400 75%
AKTX.O Akari Therapeutics PLC USA 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
AUDC.O AudioCodes Ltd USA 0-2,300 25% 2,300-14,950 40% 14,950-43,700 50% 60% >43,700 75%
SMI.N Semiconductor Manufacturing International Corp - ADR USA 0-2,300 25% 2,300-14,950 40% 14,950-34,500 50% 60% >34,500 75%
SHSP.O SharpSpring Inc USA 0-2,800 25% 2,800-8,400 40% >8400 75% 75%
TIPT.O Tiptree Financial Inc USA 0-2,300 25% 2,300-14,950 40% 14,950-25,300 50% 60% >25,300 75%
OTEL.O Otelco Inc USA 0-2,900 25% 2,900-8,700 40% >8700 75% 75%
CDXS.O Codexis Inc USA 0-3,000 25% 3,000-20,250 40% 20,250-60,000 50% 60% >60,000 75%
ASMB.O Assembly Biosciences Inc USA 0-2,000 25% 2,000-10,000 40% 10,000-24,000 50% 60% >24,000 75%
AIXG.O Aixtron SE - ADR USA 0-2,100 25% 2,100-6,300 40% 6,300-14,700 50% 60% >14,700 75%
PCYO.O Pure Cycle Corporation USA 0-2,600 25% 2,600-7,800 40% 7,800-10,400 50% 60% >10,400 75%
NSAT.A Norsat International Inc USA 0-2,000 25% 2,000-6,000 40% >6000 75% 75%
USAP.O Universal Stainless & Alloy Products Inc USA 0-1,200 25% 1,200-6,900 40% 6,900-14,400 50% 60% >14,400 75%
DVCR.O Diversicare Healthcare Services Inc USA 0-1,600 25% 1,600-5,200 40% >5200 75% 75%
WHF.O WhiteHorse Finance Inc USA 0-1,100 25% 1,100-6,600 40% 6,600-16,500 50% 60% >16,500 75%
NVLS.O Nivalis Therapeutics Inc USA 0-1,700 25% 1,700-10,200 40% 10,200-30,600 50% 60% >30,600 75%
SHLO.O Shiloh Industries Inc USA 0-1,800 25% 1,800-9,900 40% 9,900-21,600 50% 60% >21,600 75%
AVNW.O Aviat Networks Inc USA 0-1,400 25% 1,400-3,850 40% 3,850-5,950 50% 60% >5,950 75%
NTWK.O NetSol Technologies Inc USA 0-2,100 25% 2,100-15,225 40% 15,225-27,300 50% 60% >27,300 75%
DAVE.O Famous Dave's of America Inc USA 0-2,200 25% 2,200-14,850 40% 14,850-24,200 50% 60% >24,200 75%
VCYT.O Veracyte Inc USA 0-2,200 25% 2,200-14,850 40% 14,850-35,200 50% 60% >35,200 75%
MTLS.O Materialise NV USA 0-1,800 25% 1,800-9,900 40% 9,900-13,050 50% 60% >13,050 75%
KRNT.O Kornit Digital Ltd USA 0-1,200 25% 1,200-6,900 40% 6,900-18,000 50% 60% >18,000 75%
ESCA.O Escalade Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-9,000 50% 60% >9,000 75%
PCOM.O Points International Limited USA 0-1,500 25% 1,500-9,000 40% 9,000-15,000 50% 60% >15,000 75%
LWAY.O Lifeway Foods Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-6,750 50% 60% >6,750 75%
WMAR.O West Marine Inc USA 0-1,400 25% 1,400-8,400 40% 8,400-19,600 50% 60% >19,600 75%
GSOL.O Global Sources Ltd USA 0-1,500 25% 1,500-9,000 40% 9,000-11,625 50% 60% >11,625 75%
SWZ Swiss Helvetia Fund Inc USA 0-1,200 25% 1,200-6,900 40% 6,900-14,400 50% 60% >14,400 75%
CWGL.PK Crimson Wine Group Ltd USA 0-1,500 25% 1,500-9,000 40% 9,000-9,750 50% 60% >9,750 75%
VICR.O Vicor Corporation USA 0-1,100 25% 1,100-6,600 40% 6,600-20,900 50% 60% >20,900 75%
AXSM.O Axsome Therapeutics Inc USA 0-1,700 25% 1,700-10,200 40% 10,200-18,700 50% 60% >18,700 75%
MXPT.K MaxPoint Interactive Inc USA 0-1,600 25% 1,600-6,400 40% 6,400-9,600 50% 60% >9,600 75%
NICK.O Nicholas Financial Inc USA 0-1,200 25% 1,200-3,600 40% 3,600-6,300 50% 60% >6,300 75%
SYX.N Systemax Inc USA 0-1,500 25% 1,500-4,500 40% 4,500-9,000 50% 60% >9,000 75%
BBDO.K Banco Bradesco SA USA 0-1,400 25% 1,400-3,850 40% >3850 75% 75%
TGLS.O Tecnoglass Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-9,250 50% 60% >9,250 75%
TESS.O TESSCO Technologies Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-7,250 50% 60% >7,250 75%
TREC.K Trecora Resources USA 0-1,200 25% 1,200-6,900 40% 6,900-22,800 50% 60% >22,800 75%
SXCL.O Steel Excel Inc USA 0-1,300 25% 1,300-8,125 40% 8,125-10,075 50% 60% >10,075 75%
EDUC.O Educational Development Corporation USA 0-1,000 25% 1,000-6,000 40% 6,000-11,000 50% 60% >11,000 75%
HALL.O Hallmark Financial Services Inc USA 0-1,100 25% 1,100-6,600 40% 6,600-22,000 50% 60% >22,000 75%
HCM.O Hutchison China MediTech Limited USA 0-1,000 25% 1,000-6,000 40% 6,000-19,000 50% 60% >19,000 75%
MRVC.O MRV Communications Inc USA 0-1,000 25% 1,000-6,000 40% 6,000-8,750 50% 60% >8,750 75%
LIVN.O LivaNova PLC USA 0-200 25% 200-2,000 40% 2,000-4,600 50% 60% >4,600 75%
TSRO.O TESARO Inc USA 0-7,415 25% 7,415-18,537 40% 18,537-74,150 50% 60% >74,150 75%