(02) (02) (02) () SWIFTBKTWTWTP ()

(02) 2349-3999 046247@mail.bot.com.tw (02) 2349-3024 102703@mail.bot.com.tw 100071120 (02) 2349-3456 () SWIFTBKTWTWTP () 10007 1120 http://www.bot.com.tw (02) 2349-3456 Standard & Poor's 55 Water Street, New York, N.Y. 10041 U.S.A. 212-438-2000 Moody's Investors Service 7 World Trade Center, 250 Greenwich Street, New York, N.Y. 10007 U.S.A. 212-553-0300 100 11049 5768 http://www.kpmg.com.tw (02) 8101-6666 http://www.bot.com.tw https://ebank.bot.com.tw

101615

10007 1 120 (02) 2349-3456 http//www.bot.com.tw 1016 425 (http://mops.twse.com.tw) (http://www.bot.com.tw) 472 GPN2004200002 ISSN1654-5463

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誠 信 4

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壹 致股東報告書 1003 78 4 6

34 IFRS 44.93436.0599 100ISO 20000 310050 15 2011 100 10032012 2010 100101 100 1. 9921100210 1001227 2. 100627 AgencyBranch 3. 10074 7

() ()% 100 99 31,535.3 32,688.7 (3.5) 20,999.6 20,445.9 2.7 506.5 449.0 12.8 3,393.4 2,681.3 26.6 747.1 589.0 26.8 1,519.7 796.5 90.8 177.0 174.2 1.6 1003,153,535126.24% 2,099,957112.85%339,341 318.03%3,701104.47% 10023,1864,4134,991 18,1184,4907893,701 13,514 3,7013,543158 100ROA: 0.09% 0.32% 100ROE: 1.49% 5.11 8

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5. 6. Standard & Poor s 10010 A+ A-1 Moody s Investors Service 10012 Aa3 P-1 3.03% 101 ECFA101 11

貳 銀行簡介 12

35520 35520 871221 9271 9391696 719711 12 100127003.9411.80% 10.09%20117The Banker 154 100 13

10012 208164171 參 公司治理報告 (163) (1) (7) (1)14

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17 1001231

2. 1001231 3. 1001231 1 2 3 4 5 6 7 8 9 10 1 () 1 () (1) (2)() (3) (4) (5) (6) (7) (8) (9)30 (10)27 18

() 101116 990108 961123 950512 960701 100% 961123 1000716 () () () () () 1000716 1000716 () 990429 () 1000116 () 1000716 990429 () 19

() 1000716 980722 1000716 () () () 1000116 () 990429 960701 () 990115 920516 100% () 1000116 1000715 () 990429 () 1000116 930115 () 1000716 () 980715 20

() 960716 960701 1000716 () () () 1000716 () 980715 () 1000116 1000716 990115 () () 960701 () 990115 100% () 980820 1000716 980729 961116 980817 1000716 1000716 1000110 990201 990429 990715 () 21

() 1000716 990429 ( ) 980715 990429 1001220 990429 980121 990429 991215 1001220 ( ) 1001220 100% ( ) 980121 1000115 990715 990429 990429 970101 990429 1001220 990715 1000716 22

() 990429 990429 990429 990429 1000716 1000716 1010116 1000716 1000716 980622 1001220 970403 100% 1001220 1001220 () ( ) 990429 1000716 990429 980310 980804 990429 1000116 1001220 23

() 990115 1000704 990429 990429 980804 1000716 1001220 980715 1000716 980715 991028 970915 100% 990115 990429 1000716 1001220 970318 990429 960716 990115 1000716 990115 24

() 980715 991215 990115 980121 1000716 980715 1000716 990429 990429 1001202 990429 1000716 100% 1000116 1000115 1000115 1000116 980121 970915 990115 1000115 990115 990429 980121 25

() 990115 990115 980121 980310 1000116 1000116 990115 980424 980424 1000116 990429 () 980121 990429 100% 980121 990115 991220 990429 1000116 970915 1010116 990429 990429 980121 1000116 26

() 960330 970613 () 1000116 1000116 990429 1010116 990429 980610 960115 1010116 990429 100% 970915 1010116 990115 970915 990429 970915 990115 990429 960716 27

() 1010116 1010116 1001220 1000116 990429 960920 980817 990429 990115 990429 990429 990115 1001220 100% 980121 971017 960716 990429 1000116 980121 990115 1000716 1000116 1000116 1000716 28

()100 1. (H)(A) (B) (C) ()(D) AB C D (%) (E) (F) (G) ABC DEF G (%) 3,599 162 3,386 0.19 9,722 453 0.47 96 1. 86,333 2.101,66710011573,60440,69510076,176 (A+B+C+D) (A+B+C+D+E+F+G) 2,000,000 2,000,0005,000,000 5,000,00010,000,000 10,000,00015,000,000 15,000,00030,000,000 30,000,00050,000,000 50,000,000100,000,000 100,000,000 7,147 17,322 29

2. (A) (B) (C) (D) AB CD 12,285 979 9,322 0.61 839 2,000,000 2,000,0005,000,000 5,000,00010,000,000 10,000,00015,000,000 15,000,00030,000,000 30,000,00050,000,000 50,000,000100,000,000 100,000,000 22,586 30

10010A ()B ()(%) B/A 10 0 100 10 0 100 8 2 80 7 3 70 9 1 90 8 2 80 10 0 100 9 1 90 9 1 90 1 0 100 100.12.8 10 0 100 9 1 90 8 0 88.9 100.12.5 1 10 0 100 10 0 100 10 0 100 143 ()1515 ()1515 ()1515 % 31

10010() () (%)(/)() 9 1 90 10 0 100 10 0 100 145 1. 3199231004101 2. 100 3 1. 4199210013100410035 IFRS 2. 1. 2. 3. 4. 6 5. 100.8.5 10216 (%) () () () () () () () 100%1 () () () 15 3 () (100) 32

() () () http://www.bot.com.tw () 98.7.31 () () () () () () () () () () 1. 2.BASEL II 3. 4. () 1. 2. 3. () () 33

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() () 11.1001215 12.10012202011 13.1001221 PARTY YA () () 100 1. 1001 2. 1003816 3. 100514 4. 100518 5. 100518 6. 100521100 7. 100611 8. 1007106SBL 9. 100717 10.100723-24() 11.1005-108 12.1001015100 13.1001179162012 14. 1001020-211130121- 2010Dr. Dale T. MortensenDr. Peter A. Diamond 100120BSiISO 20000-1:20051008 22~23ISO 27001-10045664 100342 825429 () www.bot.com tw 35

1. 100111001231 1 0 1 2 2 9 36

2. 1 0 1 4 1 3 37

1. 2. 3. 4. 611 5. 5 6. 93 EDIEDI 993 9977 991028 991230 1. 10054 10000008760300 2. 100526 10000089300 2 1. 041 9 9 8 1 3 09900244320 3 2. 99618 999909900321530 3. 10012009900442240 4. 10083 1000013840 EDI 1. (1) (2) a. b. (3) 2. 1. 2. E-LOAN 3. 1. 99827041 2. 3. 1. 2. 1. 2. 3. (SOP) 38

100 1. 10012837999 2. 10021431199 22114377 99 3. 100214311100114377 101 4. 100214311 5. 100214311 6. 10032538610032529 7. 10041931299999911 991231 8. 100419312100% 9. 10052038 10. 10072939 11. 10072939 12. 100818314100 13.101223316100 100 100 101118 96/11/23 100/07/16 95/05/12 100/07/16 98/03/10 100/07/16 95/03/20 100/01/16 39

100.1.1~100.12.31 2,000 2,0004,000 3,554 2,294 5,848 4,0006,000 6,0008,000 8,00010,000 10,000 () 253 40

1001231 () () 23,137,489 0.30 11,120,138 0.14 34,257,627 0.44 () 865,191,972 2.62 148,281,562 0.45 1,013,473,534 3.07 () 10,253,459 1.60 167 0.00 10,253,626 1.60 () 59,892,284 10.01 17,946,713 3.00 77,838,997 13.01 () 592,110,363 7.72 247,373,245 3.23 839,483,608 10.95 () 1,744,001,729 21.23 315,708,533 3.84 2,059,710,262 25.07 () 811,265,329 19.27 56,644 0.00 811,321,973 19.27 () 52,568,167 0.51 10,886,768 0.11 63,454,935 0.62 () 282,714,082 2.51 210,860 0.00 282,924,942 2.51 () 162,280,143 18.94 22,759,869 2.66 185,040,012 21.60 () 64,608,278 17.76 8,120 0.00 64,616,398 17.76 () 74,802,414 21.37 16,093,512 4.60 90,895,926 25.97 () 238,729,496 2.12 184,821 0.00 238,914,317 2.12 () 303,131,576 91.86 0 0.00 303,131,576 91.86 () 25,035,822 9.54 0 0.00 25,035,822 9.54 () 1,250,110 1.91 0 0.00 1,250,110 1.91 () 62,882 0.14 0 0.00 62,882 0.14 () 8,913,458 15.22 0 0.00 8,913,458 15.22 () 230,836,323 2.30 1,299,153 0.01 232,135,476 2.31 () 1,500,000 30.00 0 0.00 1,500,000 30.00 146,250 4.99 0 0.00 146,250 4.99 () 1,400,000 7.06 700,000 3.53 2,100,000 10.59 () 5,571,738 2.05 5,346,146 1.97 10,917,884 4.02 () 100,000,000 5.68 200,000,000 11.35 300,000,000 17.03 () 450,000 3.33 0 0.00 450,000 3.33 () 10,000,000 5.88 5,000,000 2.94 15,000,000 8.82 () 11,998,125 2.67 5,191,875 1.15 17,190,000 3.82 () 2,481,467 7.19 792,027 2.30 3,273,494 9.49 () 490,000 1.63 1,580,000 5.27 2,070,000 6.90 () 15,531 0.26 69,740 1.16 85,271 1.42 () 14,658 0.92 0 0.00 14,658 0.92 41

關懷 42

...44...44...45...45...45...46...46...53...55...55...56...56...57 43

肆 募資情形 10012 10 70 700 70 700 5099 250 991028 0990057600991028 70 0 70 70 700 70 700 100% 100 99 101331 - - - - - - - - - 35.20 35.94 35.95 34.57 35.12 35.32 7,000,000,000 7,000,000,000 7,000,000,000 () 0.53 1.01 0.31 0.64 0.82 - - - - - - - - - - - - - 99100101331 44

1. (1) (2) (3) 30% (4) 2040% (5) 15% 2. 10044.51 0.64100 45

伍 營運概況 1. 1001232,20899120.99% 39,46081.62%3.62% 2.49% 34,000 32,000 32,221 32,208 31,893 100 30,000 29,863 28,000 26,000 25,090 24,000 22,000 20,000 21,312 21,765 20,694 2. 93 94 95 96 97 98 99 100 ( ) 1001221,6339912 4.05%39,46054.82%10012 14,82337.56%5603.93% 6,6314256.02%100100 2,63627811.79% 100 22,000 20,000 18,000 21,633 20,413 20,791 19,116 19,818 16,000 14,000 12,000 14,720 13,202 12,467 10,000 93 94 95 96 97 98 99 100 3. 101-46

100126,34499274 4.51% 4. 100 3,393.419955.69%100 DBUOBU10.34 21.25%7.59 3,700 74.08% 2,285.38 2,179.62 2,200 100156 1,639.87 3 1,700 1,260.37 1,200 1,059.30 791.58 100 700 93 94 95 96 97 98 99 100 339227 2,405137 7 100103.78 5. 1001,917,8239918.16%954 143.8994.39% 44.3129989.86% 1001,514eeSuper Pay EDISuper E-Billing100237100 3,4309029915.94% 6. 1003,76710.36%10012 9,4537.07%3,263 5.89%1003 157,55911,728 6,2195,509 7. 1 10039,859 7,523100126,296 6,22510055 440.87%0.65%0.22 10032631 3,200 2,700 2,613.14 3,393.41 47

2 10011070 403,465555 100 3 1003153711.87% 100 31 4 1001221230.9-2.51%-13.83% -21.18% 1006.88.050.4 4.60%-16.15% -21.18% 8. 10013,076 8.85%16,14110021 7.24%13,206999.61% 9. 100127,531594,283100176.96 55,44327010035 25 10. 100 747 11. 1002,0601421.95%2.2% 100121218179 12. 1001,52094.58% 0.4992.27% 48

101 1. 2. OBU e 3. ATM 34 24 JCB 4. 5. 6. 7. ETF 8. 49

9. 10. 1. 100%10012 1641 71 2. 9965 100126,647 /1026.921026 3. 1 2 3 4. 1 a. 100% b. c. d. 50

2 a. 100% b. c. 3 a. b. c. d. () 10062595 66,000 1. (1)8 (2)10074 2. 1009,846997,564 (1)24 (2)24 (3)4 (4)24 (5)8 (6)24 (7)22 (8)70 51

1. (1) (2) (3) (4) e (5) (6) (7) (8) (9) (10) ISO 20000 2. 100 101 52

10023117,7271,470 859 101331 99 100 101331 6,901 6,971 6,941 164 161 167 828 770 737 7,893 7,902 7,845 44.35 44.37 44.47 17.82 17.74 17.85 0.03 0.05 0.05 9.54 11.05 11.22 % 77.35 76.70 76.74 11.35 10.59 10.38 1.73 1.61 1.62 4 7 7 5 5 5 35 35 35 5 6 7 13 13 13 7 7 7 9 9 9 13 13 13 CFALevel-1 10 11 11 CFALevel-2 3 4 4 CFALevel-3 2 2 2 CFA 1 1 1 11 11 11 1 1 1 1 1 1 0 1 1 1 1 1 1,726 2,036 2,082 4,925 5,074 5,109 53

99 100 101331 2,432 2,642 2,684 22 25 25 115 120 122 1,882 1,992 2,019 983 1,044 1,053 FRM 20 20 22 196 210 209 80 84 84 2,209 2,313 2,330 2,231 2,376 2,394 67 69 69 17 23 23 77 79 79 4,891 5,068 5,112 2,428 2,526 2,545 2,603 2,712 2,732 211 225 227 911 1,083 1,092 1,131 1,213 1,230 40 41 41 433 564 588 10 10 10 126 135 137 3,889 3,805 3,809 862 1,047 1,094 CFP 23 30 31 14 13 13 1 1 1 20 23 23 1,273 1,379 1,392 94 115 121 772 819 839 1,635 1,760 1,786 54

100 e EDI 64020 1. 2.102(IFRS)101IFRS IFRS102IFRS 3. 4. 5. 6. - KYC- 7. IFRS 8. 9712 Enb e 55

9. ISO 27001ISO 27001 3BSi100 82282312 ISO 27001 1. 2. 63.7 80.6 91.11 100.1.1100.12. 31 56

1. 2. 3. 100.2.1 1. 2. 99.7.1.104.7.1 99.7.1104.7.1 99.7.9 98 100.6.1~101.5.31 100.1.7~101.10.5 100.1.3~101.12.31 99100 99.1.1~101.12.31 99100 99.4.1~101.3.31 100.6.1~102.5.31 100.1.1~100.12.31 100.9.1~101.8.31 57

效率 58

...60...60...62...66...67...130...130...131...131...131...131...132...132...133...139...139 59

陸 財務概況 100 99 98 97 96 101331 564,981,579 562,643,187 1,287,012,402 1,050,661,801 717,353,117 582,260,206 110,886,007 99,875,033 92,123,443 72,201,513 64,566,565 103,110,538 3,231,949 600,294 368,349 298,262 14,162,067 875,487 86,422,934 84,272,771 91,299,622 103,636,858 107,082,342 84,014,439 2,153,645,232 2,079,558,679 2,045,894,068 1,988,070,246 1,920,097,700 2,220,559,700 757,373,465 837,360,582 142,009,713 155,491,586 201,069,905 651,246,033 50,942,589 54,207,507 37,859,403 31,818,435 105,802,005 53,316,992 32,479,598 31,330,008 29,815,276 26,959,682 34,357,836 33,945,840 72,207,332 69,201,006 68,496,647 67,326,090 79,502,931 77,301,848 97,864,904 76,596,999 78,474,877 79,953,507 83,460,268 97,634,931 821,057 969,574 1,107,496 1,226,158 1,082,609 801,326 15,119,110 18,607,244 16,590,347 16,735,325 19,237,023 14,036,042 10,747,703 12,986,379 12,635,344 12,761,493 14,749,365 9,664,635 3,945,975,756 3,915,222,884 3,891,051,643 3,594,379,463 3,347,774,368 3,919,103,382 3,941,604,349 3,909,602,019 3,887,096,640 3,590,405,631 3,343,286,710 3,914,731,975 208,926,475 207,612,937 204,950,860 181,489,738 245,414,754 239,350,310 3,902,885 18,985,604 4,535,308 6,002,275 1,478,166 5,603,878 14,906,165 9,429,373 5,486,934 19,217,840 17,570,315 15,618,026 3,218,010,687 3,185,931,012 3,189,671,973 2,947,909,688 2,466,179,246 3,147,490,515 - - - - - - - - - - - - 4,566,754 3,389,155 2,695,402 2,396,018 2,106,598 3,282,821 5,756,183 1,048,528 1,511,328 1,618,124 1,715,307 6,045,309 243,500,211 237,277,669 241,629,847 211,911,904 364,170,479 250,056,874 243,579,340 237,399,288 241,763,050 212,116,616 365,027,918 250,136,003 3,699,569,360 3,663,674,278 3,650,481,652 3,370,545,587 3,098,634,865 3,667,447,733 3,699,648,489 3,663,795,897 3,650,614,855 3,370,750,299 3,099,492,304 3,667,526,862 70,000,000 70,000,000 45,000,000 45,000,000 53,000,000 70,000,000 106,077,872 105,581,440 110,062,555 110,063,016 110,423,081 105,682,871 30,938,920 32,923,901 50,427,139 46,429,272 43,737,833 33,076,369 26,488,384 27,181,417 46,338,933 42,250,728 38,392,736 28,625,833 13,983,157 28,860,619 19,065,468 6,074,887 25,302,748 16,081,958-366,046-455,457-123,228-151,884-203,687-574,526 25,772,493 14,638,103 16,138,057 16,418,585 16,879,528 27,388,977 246,406,396 251,548,606 240,569,991 223,833,876 249,139,503 251,655,649 241,955,860 245,806,122 236,481,785 219,655,332 243,794,406 247,205,113 1.96979899100101331 2.967194 (1:2)21 60

100 99 98 97 96 101331 23,186,559 20,269,138 16,803,150 24,548,326 27,673,836 6,006,166 4,412,784 5,257,020 13,284,694 3,166,464 5,574,281 1,666,517 4,991,365 376,029 4,434,016 1,545,337 868,389 907,410 18,117,605 17,323,324 17,055,490 17,666,944 18,949,456 4,474,092 4,490,373 7,826,805 8,598,338 8,502,509 13,430,272 2,291,181 3,701,072 7,084,968 8,176,411 8,357,089 12,576,699 2,137,450 - - - - - - - - - - - - - - - - - - 3,701,072 7,084,968 8,176,411 8,357,089 12,576,699 2,137,450 () 0.53 1.01 1.17 1.19 1.80 0.31 1.96979899100101331 2.967194 (1:2)21 3.99118700 96 97 98 99 100 61

100 99 98 97 96 101331 67.16 65.19 63.35 66.36 76.19 70.82 0.44 0.62 1.03 1.06 0.97 0.44 1.21 1.04 1.26 2.45 2.38 1.28 1.77 1.59 1.68 3.12 2.98 1.84 0.70 0.65 0.80 0.80 1.02 0.78 3,476 3,210 3,733 3,410 4,045 970 - - - - - - 466 891 1,014 1,028 1,530 270 2.57 4.43 4.98 5.05 8.26 5.24 0.09 0.18 0.22 0.24 0.39 0.22 1.49 2.88 3.52 3.53 5.21 3.43 13.41 27.76 27.18 30.15 37.83 27.86 0.53 1.01 1.17 1.19 1.80 0.31 93.74 93.57 93.81 93.76 92.54 93.56 39.72 30.45 32.62 35.72 33.50 38.80 0.79 0.62 8.25 7.37 5.45-0.68-42.63-8.97 1.13-36.69-1.17 104.10-12.33 2.66 6.03 32.52 5.78 368.31 580.70 781.07 683.77 973.56 188.03-4.60-2.12-2.58-64.51-19.22 40.59 42.94 47.25 40.28 30.98 36.76 19,419,003 19,516,445 19,657,805 18,038,620 16,967,947 19,482,832 0.86 0.91 0.93 0.87 0.85 0.84 10.36 10.94 11.55 10.91 10.70 10.29 10.67 11.46 11.76 11.71 13.14 10.90 11.29 11.63 12.32 12.17 10.97 11.05 9.52 9.97 10.54 10.22 10.29 9.82 62

196979899100101331 2967194 (1:2)21 3 1. (1) (2) (3)(4) (4) (5) (6)7 (7) 2. (1)(9) (2) (3) (4) (5)() 3. (1)5 (2) 4. (1)(-) (2)(-) 5. 8 (1) (2) (3) 6. 7. (1)(6) (2) (3) (4) 4978,608,814 962,475,150 5 6 7 8 1. 2. 3. 4. 9 10100 1199118700 63

% 100 99 98 97 96 101331 70,000,000 70,000,000 45,000,000 45,000,000 48,000,000 70,000,000 106,077,872 105,581,440 110,062,555 110,063,016 110,423,081 106,077,872 24,119,287 21,993,796 19,540,873 17,033,747 16,941,023 24,119,287 518,561 1,645,137 22,709,855 21,038,437 21,273,993 518,561 6,301,072 9,284,925 8,117,131 8,152,201 8,345,899-5,799,208-1,567,024-3,442,117-10,378,229-1,345,827-4,303,444 28,336,290 30,416,621 25,434,476 22,092,214 27,143,683 27,853,233 172,881,294 176,521,653 176,553,821 168,816,958 168,148,587 176,904,942 26,581,673 14,640,019 16,138,057 16,418,585 16,526,778 26,581,673 45% 8,373,213 13,486,622 10,072,960 7,335,555 12,132,512 8,527,447 7,865,923 1,328,931 2,596,286 2,423,631 4,887,482 8,268,332 28,336,288 29,455,572 25,434,475 22,092,211 27,143,681 27,853,232 14,484,521 3,372,828 4,085,560 6,403,091 15,524,220 187,365,815 176,521,653 179,926,649 172,902,518 174,551,678 192,429,162 64

100 99 98 97 96 101331 1,525,347,746 1,387,342,993 1,425,665,616 1,415,152,755 1,331,488,686 1,508,185,188 2,125,603 2,722,945 3,073,045 3,360,326 3,634,507 3,155,826 47,184,300 46,779,788 47,894,250 44,805,525 42,207,000 47,184,300 / 71,441,638 49,679,588 36,162,738 23,653,475 22,872,575 71,561,388 1,646,099,287 1,486,525,314 1,512,795,649 1,486,972,081 1,400,202,768 1,630,086,702 11.38 11.87 11.89 11.63 12.47 11.80 10.50 11.87 11.67 11.35 12.01 10.85 0.88 0.22 0.28 0.46 0.95 1.77 1.79 1.16 1.25 1.59 1.79 196100101331 2 3 1. 2.12.5 3. 4. 5. 6. 7. 65

100 10010149117 144 1 0 1 4 9 66

() 26,661,86524,953,3400.680.64 2,124,9991,512,519 47.3219.32 ()()()() () (88)()18311 0930105495 1 0 1 4 1 3 67

100.12.31 99.12.31 % (()) $ 76,426,176 44,476,364 72 (()) 488,555,403 518,166,823 (6) (()()) 110,886,007 99,875,033 11 (()) 3,231,949 600,294 438 (()()()) 86,422,934 84,272,771 3 (()()) 2,153,645,232 2,079,558,679 4 (()()()) 757,373,465 837,360,582 (10) (()()) 50,942,589 54,207,507 (6) (()) 32,479,598 31,330,008 4 (()()()()()) 72,207,332 69,201,006 4 (()()) 97,864,904 76,596,999 28 (()) 821,057 969,574 (15) (()()()()) 15,119,110 18,607,244 (19) $ 3,945,975,756 3,915,222,884 1 68

100.12.31 99.12.31 % (()) $ 208,926,475 207,612,937 1 (()()) 3,902,885 18,985,604 (79) (()) 14,906,165 9,429,373 58 (()) 39,471,579 38,952,004 1 (()) 3,218,010,687 3,185,931,012 1 (()) 4,566,754 3,389,155 35 (()()) 5,756,183 1,048,528 449 (()()) 204,028,632 198,325,665 3 3,699,569,360 3,663,674,278 1 (()()()()()()) 70,000,000 70,000,000-106,077,872 105,581,440-24,119,287 21,993,796 10 518,561 1,645,137 (68) 6,301,072 9,284,968 (32) 30,938,920 32,923,901 (6) 26,581,673 14,640,018 82 (366,046) (455,457) 20 13,983,157 28,860,619 (52) (809,180) (1,915) (42,155) 39,389,604 43,043,265 (8) 246,406,396 251,548,606 (2) () $ 3,945,975,756 3,915,222,884 1 69

100 99 % () $ 53,764,189 46,355,373 16 () 30,577,630 26,086,235 17 23,186,559 20,269,138 14 () 4,960,296 4,963,130 - (()) (4,129,073) 9,581,136 (143) (()) 1,363,849 1,987,283 (31) (()) 2,255,273 1,667,093 35 2,596,381 (677,764) 483 ()(()()()()) 37,027 (88,625) 142 17,695,580 17,418,404 2 151,965,102 79,647,398 91-284 (100) (()) 18,619,038 17,871,279 4 1,114,260 954,240 17 (26,971,342) (24,991,430) (8) (()) (151,065,996) (79,101,635) (91) (3,526,880) (14,138,729) 75 () (832,925) (721,645) (15) (()) (10,089,476) (9,726,373) (4) (()) 421,670 612,974 (31) 27,599,343 25,526,158 8 (()) 4,991,365 376,029 1,227 (()) 11,928,775 11,663,498 2 1,412,201 1,365,936 3 () 4,776,629 4,293,890 11 18,117,605 17,323,324 5 4,490,373 7,826,805 (43) (()) 789,301 741,837 6 $ 3,701,072 7,084,968 (48) () (()) $ 0.64 0.53 1.12 1.01 70

$ 45,000,000 110,062,555 19,540,873 22,709,855 8,176,411 (123,228) - 19,065,468 16,138,057 240,569,991 - - - - 7,084,968 - - - - 7,084,968 - - 2,452,923 - (2,452,923) - - - - - - - - 1,635,282 (1,635,282) - - - - - - - - - (4,088,206) - - - - (4,088,206) - - - (2,200,000) 2,200,000 - - - - - 25,000,000 (4,500,000) - (20,500,000) - - - - - - (()) - 18,885 - - - - - - - 18,885 (()) - - - - - - - - (1,498,039) (1,498,039) (()) - - - - - - - 9,795,151-9,795,151 (()) - - - - - - (1,915) - - (1,915) (()) - - - - - (26,954) - - - (26,954) (()) - - - - - (305,275) - - - (305,275) 70,000,000 105,581,440 21,993,796 1,645,137 9,284,968 (455,457) (1,915) 28,860,619 14,640,018 251,548,606 - - - - 3,701,072 - - - - 3,701,072 - - 2,125,491 - (2,125,491) - - - - - - - - 1,416,994 (1,416,994) - - - - - - - - - (5,742,483) - - - - (5,742,483) - - - (2,600,000) 2,600,000 - - - - - - - - 56,430 - - - - - 56,430 (()) - 496,432 - - - - - - - 496,432 (()) - - - - - - - - 11,941,655 11,941,655 (()) - - - - - - - (14,877,462) - (14,877,462) (()) - - - - - - (807,265) - - (807,265) (()) - - - - - 34,115 - - - 34,115 (()) - - - - - 55,296 - - - 55,296 $ 70,000,000 106,077,872 24,119,287 518,561 6,301,072 (366,046) (809,180) 13,983,157 26,581,673 246,406,396 71

100 99 $ 3,701,072 7,084,968 973,738 924,128 441,317 443,152 4,681,411 356,601 3,526,880 14,138,445 - (260) 309,954 19,428 20,875 54,086 (2,255,273) (1,666,669) 648,138 378,505 (398,531) (589,390) 1,597 123 (533,175) (979,109) - (424) () (3,382,898) 4,379,180 137 - (1,156) - 4,036 102,729 (40,044) (14,104) - (329) 4,102,760 3,714,457 248,868 4,953 () (11,986,494) 10,631,305 (2,631,655) (231,945) () (2,140,916) 7,034,170 335,928 436,842 (3,031,942) (2,380,193) (5,465,697) (690,241) (5,137) (17,652) 5,476,792 3,942,439 () 545,572 (19,559,239) 399,929 307,217 () (644,380) 976,471 () (7,098,294) 28,799,644 (11,528,078) (11,920,743) 4,056,872 - (3,835,278,366) (3,883,777,288) 35,823,526 27,125,223 3,069 58,135 (605,485) - 72

100 99 $ 632,217 1,714,148 (133,778,319) (185,855,528) 130,323,391 183,487,043-5,157 259 - - 609 3,794,300,535 3,844,203,117 330,242 238,278 2,320,951 3,944,669 (694,117) (916,562) 498,651 867,538 () (4,099) 430 - (62) (290,518) (302,505) - 329 29,738,637 684,486,887 (84,143,691) (37,789,465) (11,163) (1,608) 1,196,243 410,179 () (67,109,243) 625,977,981 () (318,112) 71,076 () 4,553,096 (477,174) () (143,857) 10,295 (4,493,026) (5,754,067) 1,785,715 3,324,306 (472,178) (662,229) () 32,079,675 (3,740,960) () 32,991,313 (7,228,753) 151,743 (456,696) (41,064,481) 647,092,176 887,019,071 239,926,897 $ 845,954,590 887,019,073 $ 39,601,569 36,505,314 $ 433,198 856,523 $ - (4,500,000) $ - (20,500,000) () $ (14,877,462) 9,795,151 $ 22,790 124,467 $ - 25,000,000 $ 11,941,655 (1,498,039) $ 496,432 18,885 $ (807,265) (1,915) 73

74 () () () () () 80 3050 50013 610204080 120160220320480 530450700 40 1631 71 7,9407,952 () ()

() ( )() () () () () 1. (1) (2) (3) () 2. () ( ) () () 75

() () () () 88.6.3088733168 92.6.2509200114870 () () () () ( ) ( ) 76

() () 97.11.20340 () () () 1. 10 0990073857 2. () () 48.53 77

() 8 6 () 99.02.030990403030091.10.300910456521 ()() () () () () () () 1. 2. 3. 4. 78

() ()()()() () () 100.12.31 99.12.31 $ 10,483,643 10,568,232 5,845,726 4,753,513 8,904,406 6,578,023 51,192,401 22,576,596 $ 76,426,176 44,476,364 100.12.31 99.12.31 $ 76,426,176 44,476,364 72,379,420 91,073,836 46,820,477 27,993,867 631,220,453 698,063,885 19,108,064 25,411,121 $ 845,954,590 887,019,073 () 100.12.31 99.12.31 $ 72,379,420 91,073,836 (4,978) - 46,820,477 27,993,867 60,077,287 60,676,386 309,283,197 338,422,734 $ 488,555,403 518,166,823 1. 2. 605,077,052 4,915,945 79

() 1. 100.12.31 99.12.31 $ 84,356,488 66,961,065 2,821,327 14,209,300 87,177,815 81,170,365 24,189,751 18,775,474 (481,559) (70,806) 23,708,192 18,704,668 $ 110,886,007 99,875,033 2. () 3. 100.12.31 99.12.31 $ 7,477,954 1,495,027 966,154 1,464,184-310,000 12,708 11,498 16,564 20,063-2,171,005 73,628,237 58,064,375 2,254,871 3,424,913 (8,129,523) 3,946,024 (7,626) 5,922 9,479,852 9,375,409 409,240 612,525 1,073,063 265,003 (3,679) 4,417 $ 87,177,815 81,170,365 4. 100.12.31 99.12.31 $ 24,189,751 18,775,474 (481,559) (70,806) $ 23,708,192 18,704,668 5. () 100.12.31 99.12.31 $ 5,049,048 4,461,625 545,609,809 237,201,146 9,031,487 20,961,443 39,416,298 10,433,103 1,700,000 700,000 $ 600,806,642 273,757,317 80

6. 100 99 $ 2,434,829 1,792,620 87,132,139 78,063,121 (4,945,025) 9,759,466 (81,770,050) (73,655,062) (6,980,966) (6,379,009) $ (4,129,073) 9,581,136 () ()() 100.12.31 99.12.31 $ 950,045-2,281,904 600,294 $ 3,231,949 600,294 $ 2,706,204 827,971 12,199,961 8,601,402 $ 14,906,165 9,429,373 () 100.12.31 99.12.31 $ 9,076 11,323 1,272,891 1,074,262 34,821,221 41,261,142 468,742 321,113 10,839,856 8,732,081 204,714 182,868 1,833,863 1,857,576 2,714,946 3,683,301 10,054,670 7,008,990 22,572,919 18,615,870 1,906 - ATM 1,329,159 1,434,978 531,356 330,899 86,655,319 84,514,403 232,385 241,632 $ 86,422,934 84,272,771 794117914525 1.78681.7535()7,907,5747,607,997 ()81,737,714( 34,821,22146,916,493())87,549,002 (41,261,14246,287,860()) 81

() 100.12.31 99.12.31 $ 4,415,954 3,994,541 74,323,818 62,641,391 1,498,174 390,086 300,646,862 253,946,554 142,685-87,252,408 84,426,067 600,661,125 659,590,524 287,299,276 243,962,592 182,011,233 184,008,225 625,024,765 586,172,630 8,263,174 11,968,052 2,171,539,474 2,091,100,662 17,894,242 11,541,983 $ 2,153,645,232 2,079,558,679 100.12.31 100.12.31 $ 20,824,191 6,751,423 15,170,898 3,463,378 2,135,544,385 7,679,441 $ 2,171,539,474 17,894,242 () 100.12.31 100.12.31 $ 134,421 65,584 289,281 89,366 215,782,595 120,356 $ 216,206,297 275,306 18,169,548 100.12.31 $ 11,541,983 4,711,516 (2,518,860) 4,074,223 85,380 $ 17,894,242 () $ 288,753 (30,105) (12,558) 28,537 679 $ 275,306 82

100.12.31 99.12.31 $ 4,978-232,385 241,632 17,894,242 11,541,983 37,943 47,121 $ 18,169,548 11,830,736 100.12.31 99.12.31 $ 4,681,411 356,601 309,954 19,428 $ 4,991,365 376,029 8,312,63212,026,928 1,442,3141,561,733 () 100.12.31 99.12.31 $ 622,500,000 694,600,000 25,693,625 26,870,850 51,300,942 50,406,854 1,514,800 1,818,859 13,497,227 12,917,851 10,000 10,000 995,505 996,661 26,941,461 21,599,228 16,216,337 29,566,174 (1,296,432) (1,425,895) $ 757,373,465 837,360,582 1. () 2. 56,151 21,61434,537 3. 1,156 4. 100 99 $ 789,855 1,008,174 573,994 979,109 $ 1,363,849 1,987,283 83

() 100.12.31 99.12.31 $ 4,004,339 302,708 6,288,696 6,115,542 8,720,453 3,153,885 11,630,110 23,916,094 8,447,097 8,729,342 30,381 32,040 39,121,076 42,249,611 7,565,212 8,960,130 3,129,324 2,174,296 1,126,977 823,470 11,821,513 11,957,896 $ 50,942,589 54,207,507 () () 100.12.31 99.12.31 () 21.23 $ 26,646,642 24.86 24,943,091 () 18.94 1,742,973 20.84 2,399,489 () 91.86 2,420,898 91.86 2,449,110 () 21.37 1,653,862 21.37 1,528,069 () 30.00 15,223 30.00 10,249 $ 32,479,598 31,330,008 1. 100 99 100 99 () $ 374,141 (1,014) 30,136 (23,074) () - (10,950) 3,979 (3,880) () 21,880 53,025 - - $ 396,021 41,061 34,115 (26,954) 2. 100 99 100 99 () 395,254 - (778,850) 464,844 () 101,178 18,885 (662,192) (270,072) () - - 434 1,112 $ 496,432 18,885 (1,440,608) 195,884 3. 100 99 () $ 65 (1,915) 84

4. 100 99 () $ 56,430-5. 100 99 () $ 493,585 311,902 () 154,553 66,603 $ 648,138 378,505 6. 100.12.31 99.12.31 () $ 6,863,133 6,863,133 () 712,409 712,409 () 1,377,872 1,377,872 () 1,451,074 1,451,074 () 3,793 3,793 $ 10,408,281 10,408,281 7. 100 99 () $ 2,120,025 1,511,858 () 55,007 307,243 () (28,212) (161,439) () 103,479 8,346 () 4,974 661 () - 424 $ 2,255,273 1,667,093 (1) 2,124,9991,512,519 (2) (28,212)(161,439) 8. () 9. ()20,000 60938856202 424 10.() 24.8621.23 11.() 20.8418.9421.0120.84 85

() 100.12.31 99.12.31 $ 57,100,311 54,068,368 (10,688) - 3,074 5,051 4,269,035 4,295,323 (317,888) (309,750) 11,092,326 11,092,326 (137) - 21,789 12,579 - (38) 49,458 58,876 (27,255) (47,083) 27,307 25,354 $ 72,207,332 69,201,006 1. () 2. () 3. 137 () 100.12.31 99.12.31 () $ 86,002,456 66,228,341 14,964 14,964 () 14,348,456 14,088,482 5,750,837 5,639,974 1,072,597 1,084,393 1,013,078 1,015,939 628,947 606,488 652,182 718,665 109,483,517 89,397,246 12,975 12,613 5,402,727 5,032,214 4,055,340 3,854,519 834,883 813,021 791,991 783,020 520,697 481,896 11,618,613 10,977,283-1,822,964 $ 97,864,904 76,596,999 4,03657,504 23,28213,775()119,733(1,526,651) 81,525,92061,795,26618,278,621 15,313,154() 421,670 612,974 86

()35,741,711 101.01.01~101.12.31 $ 124,002 102.01.01~102.12.31 52,028 103.01.01~103.12.31 19,256 104.01.01~104.12.31 2,770 105.01.01~105.12.31 1,128 $ 199,184 () 100.12.31 99.12.31 $ 969,574 1,107,496 290,519 302,505 439,036 440,427 $ 821,057 969,574 () 100.12.31 99.12.31 $ 846,546 7,966,724 1,076,959 1,076,959 6,179,390 7,345,139 10,000 10,000 113,358 109,259 198,996 212,361 338,993 633,114 5,994,550 861,430 360,318 392,258 $ 15,119,110 18,607,244 1. 100.12.31 99.12.31 () $ 846,769 8,110,612 2,353 2,353 92 92 (2,186) (2,091) (482) (144,242) $ 846,546 7,966,724 045,226 16,76233019961 2. 100.12.31 99.12.31 $ 1,093,456 1,093,456 (16,497) (16,497) $ 1,076,959 1,076,959 87

3. 100.12.31 99.12.31 $ 720,670 660,000 34,817 50,170 4,371,407 5,620,865 1,052,496 1,014,104 $ 6,179,390 7,345,139 4. 100.12.31 99.12.31 $ 6,244,475 865,005 249,925 3,575 $ 5,994,550 861,430 100.12.31 99.12.31 $ 3,575 84 246,350 3,491 $ 249,925 3,575 246,3503,491 246,3503,491 () 100 99 $ 3,719,348 2,179,945 4,173 102,729 (41,200) (14,104) (119,932) 1,526,712 (1,915,323) (2,333) (15,630) (73,601) $ 1,631,436 3,719,348 100.12.31 99.12.31 $ 1,296,432 1,425,895 318,025 309,750-1,822,964 16,979 160,739 $ 1,631,436 3,719,348 () 100.12.31 99.12.31 $ 4,036 (43,729) 32,991 (44,896) $ 37,027 (88,625) 88

() 100.12.31 99.12.31 $ 12,005,704 12,477,882 25,282,765 25,086,913 3,404,645 3,830,591 695,107 1,661,280 167,538,254 164,556,271 $ 208,926,475 207,612,937 () 1. 100.12.31 99.12.31 $ 19,429 24,565 3,883,456 18,961,039 $ 3,902,885 18,985,604 2. () 3. 100.12.31 99.12.31 $ 19,429 24,565 (10,528) 4,681 2,793,485 16,848,246 906,650 916,724 193,849 1,191,388 $ 3,902,885 18,985,604 4. () 100.12.31 99.12.31 $ 4,949,172 4,657,063 309,062,210 412,998,459 15,668,237 27,061,391 21,877,127 35,506,718 $ 351,556,746 480,223,631 () 100.12.31 99.12.31 $ 10,935,111 7,140,316 1,058,172 1,243,990 2,569,836 2,570,575 246,517 267,655 12,548,806 11,488,871 2,724,821 3,753,620 249,071 353,952 757 26,870 32 7,227 1,410,373 5,322,119 4,545,731 4,142,598 ATM 1,259,252 1,400,110 661,118-359,069 227,675 902,913 1,006,426 $ 39,471,579 38,952,004 89

() 100.12.31 99.12.31 $ 34,918,413 32,910,376 227,242,671 233,009,445 256,758,436 251,441,337 473,562,243 513,251,758 568,020 497,518 608,719,709 584,352,372 23,352,713 22,708,997 1,116,970 1,118,497 648,445,648 648,342,232 494,125,407 458,588,204 449,200,457 439,710,276 $ 3,218,010,687 3,185,931,012 () () 100.12.31 99.12.31 $ 409,907 255,348 671,370 793,180 4,674,906 - $ 5,756,183 1,048,528 () () 100.12.31 99.12.31 $ 591,441 281,340 178,024,493 174,497,614 1,193,587 1,821,419 18,278,621 15,313,154 4,622,421 4,940,533 43,485 187,041 8,239 8,239 1,266,345 1,276,325 $ 204,028,632 198,325,665 90

() 100.12.31 99.12.31 / / $ (5,318,460) (396,692) (4,960,693) (362,404) (4,506,105) (303,426) (3,689,641) (280,751) (9,824,565) (700,118) (8,650,334) (643,155) (2,775,581) (194,311) (2,407,543) (182,494) (12,600,146) (894,429) (11,057,877) (825,649) 5,300,184 965,539 5,323,980 938,079 (7,299,962) 71,110 (5,733,897) 112,430 203,281 68,882 308,207 94,413 153,595 (12,771) 174,074 (16,419) 3,582,911 (169,594) 2,311,798 (253,226) ( ) (1,164,206) - (386,535) - $ (4,524,381) (42,373) (3,326,353) (62,802) $ (6,271,675) (450,102) (6,004,486) (425,469) 100 99 $ 823,187 34,191 771,614 34,842 208,052 15,663 234,176 19,983 (100,655) (18,788) (127,548) (22,552) 192,406 10,496 147,985 11,779 $ 1,122,990 41,562 1,026,227 44,052 100 99 1.65% 2.00% 2.00% 2.00% 1.65% 2.00% () 100 99 $ 449,109 337,748 340,192 404,089 $ 789,301 741,837 91

() 100 99 $ 763,363 1,330,550-6,981 19,394 (193,269) () (48,894) 48,744 (122,838) (182,442) (383,396) (283,334) (70,029) (102,610) () (6,121) 15,066 549,205 - () (743,207) (234,479) 362,539 261,721 () 426,091 (253,397) 42,858 220,807 336 23,329-84,170 $ 789,301 741,837 100 99 $ 510,445 (52,227) () (197,454) 216,154 27,201 155,948-84,170-44 $ 340,192 404,089 100.12.31 99.12.31 $ 3,402,558 578,433 3,002,619 510,445 - - 1,932,567 328,536 249,924 42,487 - - 16,497 2,804 16,497 2,804 140,309 23,853 - - 300,926 51,158 429,234 72,969 643,067 109,321 - - - 226,589-253,790-68,733-16,146-6,819-6,273-70,524-81,851 - - 3,575 608 1,180,721 1,273,422 (808,056) (381,949) $ 372,665 891,473 $ - - 135,113 22,969-33,672-37,937 - - 1,161,490 197,453 $ 33,672 258,359 $ 338,993 633,114 92

100.12.31 99.12.31 $ 449,109 337,748 - (11,169) (335,338) (105,773) (4,316) (3,972) (684,886) (738,510) (1,258,432) (1,335,715) () $ (1,833,863) (1,857,391) () 100.12.31 () () $ 740,542 - - 517,890 - - 571,115-4,316 $ 1,829,547-4,316 () 99.12.31 () () $ 740,542 - - 595,173-3 517,704-3,969 $ 1,853,419-3,972 100 $ 449,109 340,192 338,993 1,829,547 - - - - $ 449,109 340,192 338,993 1,829,547 99 $ 337,748 404,089 633,114 1,853,419 - - - - $ 337,748 404,089 633,114 1,853,419 100.12.31 99.12.31 $ 860,212 195,077 6.50 5.32 100.12.31 99.12.31 $ 6,301,072 9,284,968 93

() 1. 70,000,00010 20,500,0004,500,0002,500,000 2. 100.12.31 99.12.31 $ 105,453,034 105,453,034 624,838 128,406 $ 106,077,872 105,581,440 3. 4. 2226 5. (1) (2) (3)30 (4)2040 (5) 6. 100.12.31 99.12.31 $ (455,457) (123,228) 34,115 (26,954) 55,296 (305,275) $ (366,046) (455,457) 7. 100.12.31 99.12.31 $ (1,915) - 65 (1,915) (807,330) - $ (809,180) (1,915) 94

8. 100.12.31 99.12.31 $ 28,860,619 19,065,468 (1,440,608) 195,884 (13,436,854) 9,599,267 $ 13,983,157 28,860,619 9. 100.12.31 99.12.31 $ 14,640,018 16,138,057 396,021 41,061 () 11,545,634 (12,186) - (1,526,914) $ 26,581,673 14,640,018 () 100 99 () $ 4,490,373 3,701,072 7,826,805 7,084,968 7,000,000 7,000,000 7,000,000 7,000,000 () $ 0.64 0.53 1.12 1.01 () 1. 100.12.31 99.12.31 $ 110,886,007 110,886,007 99,875,033 99,875,033 757,373,465 757,373,465 837,360,582 837,360,582 2,153,645,232 2,153,645,232 2,079,558,679 2,079,558,679 50,942,589 43,529,068 54,207,507 54,633,371 72,207,332 72,207,332 69,201,006 69,201,006 3,902,885 3,902,885 18,985,604 18,985,604 5,756,183 5,756,183 1,048,528 1,048,528 2. (1) (2) (3) (4) (5) (Bloomberg) Black Scholes model 95

3. 100.12.31 99.12.31 $ 65,996,668 44,889,339 63,218,156 36,656,877 71,616,875 685,756,590 77,914,758 759,445,824-2,153,645,232-2,079,558,679 8,808,758 34,720,310 9,043,816 45,589,555-72,207,332-69,201,006-3,902,885-18,985,604-5,756,183-1,048,528 ()15,416,361 (7,615,514) 100 99 $ 839,541 6,866,077 (410,753) (119,592) 129,463 45,503 (1,718) (8,200) (8,138) 28,098 (137) - 548,258 6,811,886 (15,022,661) 14,413,026 154,558 14,374 (14,868,103) 14,427,400 $ 15,416,361 (7,615,514) 4. (1) () A. ()() B. C. (IMA)VaR (2) A. 96

100.12.31 () () $ 1,112,514 2,171,539 51.23 155 2,715 5.71 9,967 71,487 13.94 99.12.31 () () $ 1,004,085 2,091,101 48.02 145 3,683 3.94 13,421 43,952 30.54 B. 100.12.31 () $ 110,886 110,004 757,373 108,268 50,943 50,353 () 2,228,639 1,928,347 3 3 3,951 3,951 11,092 11,092 ()() (8,263) 88226,495 622,610590258,642 28,10013,550 99.12.31 () $ 99,875 98,968 837,361 114,801 54,208 53,664 () 2,145,169 1,867,178 5 5 3,986 3,986 11,092 11,092 ()() 90727,869 694,691544240,087 24,60013,304 97

C. a. 100.12.31 () () () $ 684,213 31.51 684,213 458,287 21.10 171,545 383,094 17.64 383,094 127,593 5.88 127,593 123,856 5.70 123,856 394,496 18.17 394,496 $ 2,171,539 100.00 1,884,797 ()()(8,263 ) 258,64228,100 99.12.31 () () () $ 657,172 31.43 657,172 474,044 22.67 209,357 330,004 15.78 330,004 137,845 6.59 137,845 141,453 6.76 141,453 350,583 16.77 350,583 $ 2,091,101 100.00 1,826,414 ()() 240,08724,600 b. 100.12.31 () () () $ 2,024,215 93.22 1,737,473 147,324 6.78 147,324 $ 2,171,539 100.00 1,884,797 ()()(8,263 ) 258,64228,100 99.12.31 () () () $ 1,975,054 94.45 1,710,367 116,047 5.55 116,047 $ 2,091,101 100.00 1,826,414 ()() 240,08724,600 D. () 98

100.12.31 99.12.31 () $ 390,357 545,305 $ 43,112 35,706 $ 71,390 43,952 $ 2,715 3,683 (3) () 40.5942.94 100.12.31 130 3190 911 1 $ 25,233,775 - - - 25,233,775 38,702,180 221,480,349 127,314,375 126,319,259 513,816,163 5,501,626 6,714,417 2,905,636 30,018,005 45,139,684 3,231,949 - - - 3,231,949 315,920,821 266,954,423 77,090,954 97,407,267 757,373,465 2,001-89,528 529,338 620,867 3,074 - - - 3,074 - - - 11,092,189 11,092,189-605,500 454,110 2,891,537 3,951,147 - - - 32,479,598 32,479,598 9,990,771 1,108,127 646,911 16,547,065 28,292,874 202,617,269 175,031,865 412,495,247 1,368,715,956 2,158,860,337 253,196 - - 8,059,436 8,312,632 $ 601,456,662 671,894,681 620,996,761 1,694,059,650 3,588,407,754 $ 102,494,969 63,188,499 17,567,343 25,675,664 208,926,475 11,869,584 11,302 148,956 25,282,175 37,312,017 553,783 64,551-3,279,298 3,897,632 9,715,429 4,715,540 475,196-14,906,165 409,907 - - - 409,907 - - - 671,369 671,369 305,811,927 338,382,799 1,092,169,729 1,481,646,232 3,218,010,687 $ 430,855,599 406,362,691 1,110,361,224 1,536,554,738 3,484,134,252 $ 170,601,063 265,531,990 (489,364,463) 157,504,912 104,273,502 99

99.12.31 130 3190 911 1 $ 21,899,765 - - - 21,899,765 66,698,365 229,546,130 127,308,218 99,957,658 523,510,371 5,409,926 2,679,087 1,435,592 25,776,052 35,300,657 600,294 - - - 600,294 443,339,002 233,755,710 52,310,744 107,955,126 837,360,582-2,004-574,347 576,351 5,052 - - - 5,052 - - - 11,092,326 11,092,326 - - - 3,985,572 3,985,572 - - - 31,330,008 31,330,008 1,515,085 1,000,814 826,280 20,582,778 23,924,957 154,865,595 155,046,220 381,880,016 1,383,285,728 2,075,077,559 459,324 - - 11,567,604 12,026,928 $ 694,792,408 622,029,965 563,760,850 1,696,107,199 3,576,690,422 $ 65,991,474 70,488,298 24,412,375 46,720,790 207,612,937 17,545,152 16,802 165,608 39,124,072 56,851,634 775,534 - - 18,210,071 18,985,605 6,542,132 2,887,241 - - 9,429,373 243,003-12,346-255,349 - - - 793,180 793,180 335,786,707 323,351,819 1,077,660,808 1,449,131,678 3,185,931,012 $ 426,884,002 396,744,160 1,102,251,137 1,553,979,791 3,479,859,090 $ 267,908,406 225,285,805 (538,490,287) 142,127,408 96,831,332 (4) A. ( ) 100.12.31 100 130 3190 911 1 $ 5,501 6,714 2,906 30,018 45,139 3,232 - - - 3,232 315,921 266,954 77,091 97,407 757,373 2-90 529 621 3 - - - 3 - - - 11,092 11,092-606 453 2,892 3,951 38,702 221,480 127,314 126,320 513,816 202,608 175,032 412,495 1,368,716 2,158,851 - - - 32,479 32,479 18,980 4,708 1,516 222,458 247,662 $ 584,949 675,494 621,865 1,891,911 3,774,219 $ 102,495 63,188 17,567 25,676 208,926 603 65-3,279 3,947 9,715 4,716 475-14,906 410 - - - 410 - - - 671 671 305,244 338,383 1,092,170 1,481,646 3,217,443 - - - 24,112 24,112 8,207 26,945 2,416 20,789 58,357 $ 426,674 433,297 1,112,628 1,556,173 3,528,772 $ 158,275 242,197 (490,763) 335,738 245,447

99.12.31 130 3190 911 1 $ 5,590 2,679 1,436 25,776 35,481 600 - - - 600 443,339 233,756 52,311 107,955 837,361-2 - 574 576 5 - - - 5 - - - 11,092 11,092 - - - 3,986 3,986 66,698 229,546 127,308 99,958 523,510 154,865 155,046 381,880 1,383,286 2,075,077 - - - 31,330 31,330 28,189 2,707 1,464 221,350 253,710 $ 699,286 623,736 564,399 1,885,307 3,772,728 $ 65,992 70,488 24,412 46,721 207,613 775 - - 18,210 18,985 6,542 2,887 - - 9,429 244-12 - 256 - - - 793 793 335,289 323,352 1,077,661 1,449,132 3,185,434 - - - 19,962 19,962 20,737 78 13,925 49,479 84,219 $ 429,579 396,805 1,116,010 1,584,297 3,526,691 $ 269,707 226,931 (551,611) 301,010 246,037 B. () 100.12.31 0.7909%6.9000% 1.2200%7.3750% 1.2300%2.3000% 0.5056%7.3000% 1.0002%3.0500% 0.5456%6.5000% 0.8700%1.0500% - 1.2000% - 2.4600% - 2.6800% 5.7500% 1.3930%6.0664% - 2.4000% - - 0.51830%1.79360% 0.8300%18.0000% 0.4500%6.1500% 0.00125%18.0000% 0.4411%6.8500% 0.00001%10.0000% 0.69022%2.25000% - 0.2000%2.0000% - 0.77211%4.57375% 101

99.12.31 0.7909%6.9000% 1.0000%9.6250% 2.1100%2.3000% 0.3138%6.5000% 1.0001%3.0500% 0.4169%8.8750% 0.6900%0.8300% - 1.2000%4.6190% - 2.4600% - 2.6800% 5.5000%5.7500% 2.6000% - 1.5150%6.0699% - 2.4000% - - 0.5003%1.7606% 0.3400%18.0000% 0.5256%6.1000% 0.00001%18.0000% 0.4211%6.8500% 0.00001%10.0000% 0.6141%7.5000% - 0.2922%1.1466% - 0.6900%10.6777% (5) A. B. a. (IRS) b. 100.12.31 $ 9,031,487 3,074 15,668,237 (409,907) 99.12.31 $ 590,241 5,051 4,639,975 (255,349) c. (IRS)( ) 102

5. 100.12.31 1 2 3 $ 99,918,593 71,818,290 28,100,303-42,161,922 42,161,922 - - 3,562,402 3,549,713 12,689-30,486,077 23,009,269 7,476,808-23,708,192 3,097,386 20,610,806-42,765,150 42,765,150 - - 90,451,188 26,135,374 64,315,814-624,157,127 1,509,476 622,647,651-3,951,147-3,951,147-10,967,414-10,967,414-3,074-3,074-3,902,885-3,902,885-409,907-409,907-1 34 5 (1) (2) (3) 2 (1) (2) (3) (4) 3 () 1. (1) A. B. C. D. E. 103

(2) A. B. C. D. E. 2. (1) A. B. a. b. c. C. (2) A. Bloomberg Reuters B. a. b. (3) A. B. a. 80140 10035 b. (a) 10 104

(b) 65876886 (c) 11011300 (d) 4() 5040 (e) (f) 3. ( )() () ()() ()() ()() ()() ()() ()() ()() ()() () () () 1. 100.12.31 99.12.31 $ 23,301 0.05 4,338 0.02 2. 100.12.31 99.12.31 $ 632-213 - 94,867 0.11 67,313 0.08 - - 25 - $ 95,499 0.11 67,551 0.08 105

3. 100.12.31 99.12.31 $ 4,371,752 28.92 5,620,865 30.21 4. 100.12.31 99.12.31 $ 8,373 0.06 7,926 0.04 14-14 - $ 8,387 0.06 7,940 0.04 5. 100.12.31 99.12.31 $ 728,860 2.88 168,398 0.67 6. 100 $ 8,572,450-0.200~0.800 2,035 99 $ 11,056,085 447,500 0.104~1.35 14,758 7. 100.12.31 99.12.31 $ 171,328 0.01 37,084-14,707,240 0.46 18,211,604 0.57 300,697 0.01 553,290 0.02 47,659-42,391-11,168-505,498 0.02 101,734 0.01 120,766-357 - 165 - $ 15,340,183 0.49 19,470,798 0.61 8. 100.12.31 99.12.31 $ 9-2 - 2,668 0.01 4,328-298 - 267 - $ 2,975 0.01 4,597-106

9. 100.12.31 99.12.31 $ 2,737 - - - 1,631 - - - $ 4,368 - - - 10. 100 99 $ 48,227 0.09 23,071 0.05 95-509 - $ 48,322 0.09 23,580 0.05 11. 100 99 $ 191-475 - 88,454 0.29 111,263 0.43 4,089 0.01 3,890 0.01 $ 92,734 0.30 115,628 0.44 12. 100 99 $ 842,883 15.12 789,956 1.70 3,116 0.06 2,588 0.01 $ 845,999 15.18 792,544 1.71 13. 100 99 $ 20,256 3.30 19,337 0.04 14.() 100 99 $ 23,890 0.91 21,986 0.18 45,341 1.73 39,356 0.03 63,276 2.42 66,236 0.54 $ 132,507 5.06 127,578 0.75 15. 100 99 $ 1,061 0.02 805 0.02 39,489 0.83 39,788 1.09 86-86 - $ 40,636 0.85 40,679 1.11 107

16. 100.12.31 36 19,559 12,857 12,857-99 545,136 442,658 442,658 - () 104,566 - - - () 266,141 266,141 266,141 - () 1,500,000 900,000 900,000-83,899 - - - 521,000 - - - 3,869,756 - - - 5,700,000 5,700,000 5,700,000 - () 23,711,368 1,060 1,060-99.12.31 31 19,553 15,600 15,600-130 444,831 408,070 408,070 - () 357,536 250,000 250,000 - () 830,000 - - - () 600,000 - - - () 170,500 33,638 33,638 - () 1,500,000 1,500,000 1,500,000-603,017 82,017 82,017-5,600,000 5,600,000 5,600,000 - () 8,303,775 5,000 5,000-17. 100.12.31 AEBH410927 93.11.30~101.01.12 141,326 237 237 AEBH411027 93.12.31~101.01.12 139,814 234 234 AEBH510877 94.11.25~101.01.12 144,842 243 243 BHSW010121 99.05.07~101.02.16 150,148 1,085 1,085 BHSW010122 99.05.07~101.02.16 450,443 3,256 3,256 BHSW010141 99.06.25~ 100.02.14 2,714,535 7,733 7,733 BHSW010205 99.10.15~101.02.07 603,310 1,691 1,691 BHSW110252 100.09.22~101.01.13 453,447 601 601 BHSW810239 97.11.06~101.01.13 151,149 200 200 BHSW910020 98.02.09~101.01.13 141,732 188 188 BHSW910022 98.02.18~101.01.13 241,838 321 321 BHSW910064 98.04.09~101.01.13 302,298 401 401 BHSW910339 98.12.17~101.02.16 110,080 8,682 8,682 108

100.12.31 CLSW010067 99.03.04~101.03.08 603,060 1,668 1,668 CLSW010081 99.03.11~101.02.17 1,207,040 2,812 2,812 CLSW010111 99.04.19~101.03.22 1,211,040 (2,226) (2,226) CLSW010117 99.05.04~101.02.09 1,051,085 7,637 7,637 CLSW010164 99.08.16~101.01.18 1,440,325 72,943 72,943 CLSW010168 99.08.20~101.01.30 1,871,870 94,724 94,724 CLSW010181 99.09.13~101.02.17 603,520 1,406 1,406 CLSW010184 99.09.17~101.03.22 908,280 (1,669) (1,669) CLSW010196 99.09.28~101.06.29 603,540 (1,210) (1,210) CLSW010223 99.11.10~101.06.15 1,202,680 2,535 2,535 CLSW010235 99.11.22~101.02.29 1,204,960 4,709 4,709 CLSW010238 99.12.06~101.03.08 1,507,650 4,170 4,170 CLSW110005 100.01.10~101.01.12 1,149,920 60,895 60,895 CLSW110028 100.01.20~101.01.30 1,727,880 87,438 87,438 CLSW110068 100.02.22~101.02.29 1,506,200 5,886 5,886 CLSW110079 100.05.27~101.03.30 1,848,056 (5,176) (5,176) CLSW810104 97.04.30~101.02.23 603,500 1,381 1,381 CLSW810225 97.10.16~101.02.23 2,715,750 6,214 6,214 CLSW810247 97.11.20~101.04.24 1,198,480 8,871 8,871 CLSW810273 97.12.22~101.04.24 149,810 1,109 1,109 CLSW910009 98.01.23~101.01.31 287,260 15,284 15,284 CLSW910010 98.01.23~101.01.31 287,260 15,284 15,284 CLSW910011 98.01.23~101.01.31 287,260 15,284 15,284 CLSW910012 98.01.23~101.01.31 287,260 15,284 15,284 CLSW910014 98.01.23~101.01.31 574,520 30,568 30,568 CLSW910017 98.02.04~101.03.08 482,448 1,334 1,334 CLSW910033 98.03.18~101.04.24 299,620 2,218 2,218 CLSW910101 98.05.04~101.02.09 150,155 1,091 1,091 CLSW910117 98.05.14~101.02.23 603,500 1,381 1,381 CLSW910155 98.06.08~101.02.13 2,438,440 (18,593) (18,593) CLSW910158 98.06.11~101.02.17 1,810,560 4,218 4,218 CLSW910201 98.07.29~101.01.31 172,356 9,170 9,170 CLSW910207 98.08.04~101.02.09 300,310 2,182 2,182 CLSW910228 98.08.26~101.06.29 1,508,850 (3,025) (3,025) CLSW910259 98.09.28~101.06.29 1,207,080 (2,420) (2,420) CLSW910267 98.10.13~101.02.17 301,760 703 703 CLSW910287 98.10.19~101.03.22 302,760 (556) (556) CLSW910313 98.11.04~101.02.09 300,310 2,182 2,182 CLSW910315 98.11.05~101.02.10 577,060 27,897 27,897 109

99.12.31 AEBH410927 93.11.30~100.01.10 141,536 (3,594) (3,594) AEBH411027 93.12.31~100.01.10 140,022 (3,556) (3,556) AEBH510877 94.11.25~100.01.10 145,058 (3,684) (3,684) BHSW010121 99.05.07~100.03.14 150,160 (2,900) (2,900) BHSW010122 99.05.07~100.03.14 450,480 (8,701) (8,701) BHSW010141 99.06.25~ 100.01.07 2,688,930 (34,092) (34,092) BHSW010179 99.09.08~100.02.14 300,560 (5,861) (5,861) BHSW010205 99.10.15~100.03.22 594,364 (5,479) (5,479) BHSW810239 97.11.06~100.01.31 159,345 (11,944) (11,944) BHSW910020 98.02.09~100.01.31 149,417 (11,200) (11,200) BHSW910022 98.02.18~100.01.31 254,952 (19,111) (19,111) BHSW910064 98.04.09~100.01.31 318,690 (23,888) (23,888) BHSW910339 98.12.17~100.02.10 1,203,380 (24,505) (24,505) CLSW010067 99.03.04~100.06.08 611,380 (24,068) (24,068) CLSW010081 99.03.11~100.06.15 1,216,700 (42,389) (42,389) CLSW010095 99.04.01~100.01.06 1,555,350 (80,407) (80,407) CLSW010111 99.04.19~100.03.22 1,214,200 (36,395) (36,395) CLSW010117 99.05.04~100.05.09 1,067,500 (38,607) (38,607) CLSW010164 99.08.16~100.02.18 1,592,500 (119,036) (119,036) CLSW010168 99.08.20~100.01.24 2,068,950 (152,381) (152,381) CLSW010172 99.08.25~100.01.27 2,079,025 (162,607) (162,607) CLSW010175 99.08.30~100.03.01 1,914,120 (146,259) (146,259) CLSW010181 99.09.13~100.06.15 608,350 (21,194) (21,194) CLSW010184 99.09.17~100.03.22 910,650 (27,296) (27,296) CLSW010196 99.09.28~100.03.31 627,720 (38,948) (38,948) CLSW010223 99.11.10~100.02.14 1,226,080 (47,268) (47,268) CLSW010235 99.11.22~100.02.24 1,209,520 (30,913) (30,913) CLSW010238 99.12.06~100.06.08 1,528,450 (60,169) (60,169) CLSW810104 97.04.30~100.06.23 609,910 (22,917) (22,917) CLSW810108 97.05.07~100.05.13 157,960 (10,983) (10,983) CLSW810109 97.05.07~100.05.13 1,168,904 (81,271) (81,271) CLSW810130 97.06.30~100.02.23 1,592,550 (119,199) (119,199) CLSW810207 97.09.26~100.05.13 1,895,520 (131,791) (131,791) CLSW810208 97.09.26~100.05.13 631,840 (43,930) (43,930) CLSW810211 97.09.30~100.05.13 126,368 (8,786) (8,786) CLSW810212 97.09.30~100.05.13 947,760 (65,895) (65,895) CLSW810225 97.10.16~100.06.23 2,744,595 (103,125) (103,125) CLSW810241 97.11.13~100.02.23 637,020 (47,680) (47,680) CLSW810242 97.11.13~100.02.23 1,592,550 (119,199) (119,199) CLSW810247 97.11.20~100.04.22 1,231,560 (54,941) (54,941) CLSW810265 97.12.15~100.02.23 318,510 (23,840) (23,840) CLSW810273 97.12.22~100.04.22 153,945 (6,868) (6,868) CLSW910009 98.01.23~100.04.29 307,460 (13,380) (13,380) CLSW910010 98.01.23~100.04.29 307,460 (13,380) (13,380) CLSW910011 98.01.23~100.04.29 307,460 (13,380) (13,380) CLSW910012 98.01.23~100.04.29 307,460 (13,380) (13,380) CLSW910014 98.01.23~100.04.29 614,920 (26,759) (26,759) 110

99.12.31 CLSW910017 98.02.04~100.06.08 489,104 (19,254) (19,254) CLSW910033 98.03.18~100.04.22 307,890 (13,735) (13,735) CLSW910101 98.05.04~100.05.09 152,500 (5,515) (5,515) CLSW910110 98.05.07~100.05.13 1,263,680 (87,861) (87,861) CLSW910117 98.05.14~100.06.23 609,910 (22,917) (22,917) CLSW910155 98.06.08~100.04.12 2,471,760 (117,665) (117,665) CLSW910158 98.06.11~100.06.15 1,825,050 (63,583) (63,583) CLSW910174 98.06.29~100.01.06 311,070 (16,081) (16,081) CLSW910201 98.07.29~100.04.29 184,476 (8,028) (8,028) CLSW910207 98.08.04~100.05.09 305,000 (11,031) (11,031) CLSW910228 98.08.26~100.03.31 1,569,300 (97,370) (97,370) CLSW910259 98.09.28~100.03.31 1,255,440 (77,896) (77,896) CLSW910267 98.10.13~100.06.15 304,175 (10,597) (10,597) CLSW910287 98.10.19~100.03.22 303,550 (9,099) (9,099) CLSW910298 98.10.23~100.01.27 1,589,550 (115,386) (115,386) CLSW910313 98.11.04~100.05.09 305,000 (11,031) (11,031) CLSW910315 98.11.05~100.02.10 633,540 (44,083) (44,083) 18. 100 99 $ 7,468-5,687-45,341 0.02 39,303 0.03 53,394 0.03 56,300 0.05 $ 106,203 0.05 101,290 0.08 () 100 99 $ 21,689 20,922 12,282 11,704 1,108 1,142 100.12.31 99.12.31 $ 224,000 293,300 12,200 12,200 150,000 100,000 100,000 150,000 300,000 250,000 25,000,000 25,000,000 $ 25,786,200 25,805,500 111

() 100.12.31 99.12.31 $ - - 279,583 - - - 294,869 19,905 - - 119,394 6,205 $ - - 693,846 26,110 () 101.01.01~101.12.31 $ 336,137 102.01.01~102.12.31 250,154 103.01.01~103.12.31 130,020 104.01.01~104.12.31 53,776 105.01.01~105.12.31 22,745 $ 792,832 () 100.12.31 99.12.31 $ 5,393,061 5,561,498 1,087,707 910,992 1,612,616,773 1,581,499,347 43,112,360 35,705,957 10,797,009 8,095,388 1,322,680,282 1,206,905,438 240,200 306,530 331,884,300 301,422,600 265,095,673 225,014,126 1,947,495 2,251,450 505,848,030 458,952,804 71,389,619 43,951,879 $ 4,172,092,509 3,870,578,009 112

() 100.12.31 99.12.31 $ 26,596,608 22,408,932 3,029,334 1,065,689 163,596,031 149,577,958 196,046,874 169,169,073 51,158,626 65,198,569 1,434,094 1,183,260 1,604 628 402,087 372,842 9,558,813-677 2,118 1,992,865 727,706 151,797 151,510 621,565 802,975 51,257,055 48,291,544 $ 505,848,030 458,952,804 100.12.31 99.12.31 $ - 511,090 271,267 653,417 9,535,900-168 112 1,964 3,533 100 335 280 227 51,257,055 48,291,544 372,183,932 338,063,497 8,280,795 16,616,353 4,763,696 1,441,091 31,085,015 22,826,831 1,410,786 (7,258,807) 10,002,421 20,631,600 17,054,651 17,171,981 $ 505,848,030 458,952,804 113

100.12.31 99.12.31 $ 26,596,608 22,408,932 3,029,334 1,065,689 163,596,031 149,577,958 196,046,874 169,169,073 51,158,626 65,198,569 1,992,865 727,706 151,797 151,510 621,565 802,975 51,257,055 48,291,544 $ 494,450,755 457,393,956 100 99 $ 9,530,178 7,108,814 3,594,932 3,225,534 97,050 1,009,565 2,112,553 2,348,960 2,063,344 953,829-3,239,813 101,545-96,075 3,436 17,595,677 17,889,951 458,981 565,429 3,904 3,694 112 347 9,473 6,220 54 616 40,532-27,970 141,664 541,026 717,970 $ 17,054,651 17,171,981 () 100 99 114 () $ 10,042,592 9,920,940 () 429,894 416,227 () 1,304,777 1,185,918 151,512 140,413 11,928,775 11,663,498 () 970,884 924,128 441,317 443,152 $ 13,340,976 13,030,778 475,54047,032117,090112,208 2,8473,0052,8541,249