Nok Airlines PCL : List of securities which fulfilled the market surveillance criteria

Level 1 : Cash Balance

Security

Symbol

Start date

End date

DNA 2002 PUBLIC COMPANY LIMITED

DNA

25-Sep-2017

12-Oct-2017

Warrant of DNA 2002 PUBLIC COMPANY LIMITED No. 1

DNA-W1

25-Sep-2017

12-Oct-2017

NOK AIRLINES PUBLIC COMPANY LIMITED

NOK

25-Sep-2017

03-Nov-2017

Warrant of NOK AIRLINES PUBLIC COMPANY LIMITED No. 1

NOK-W1

25-Sep-2017

03-Nov-2017

Extended Period

-

-

-

-

Level 2 : Excluded from credit limit and Cash Balance

Security

Symbol

Start date

End date

-

-

-

-

Extended Period

-

-

-

-

Level 3 : Prohibit Net settlement, Excluded from credit limit and Cash Balance

Security

Symbol

Start date

End date

-

-

-

-

Extended Period

-

-

-

-

Remark:

1. Cash balance means each member must ensure that its customers pay the full amount in cash prior to trading.

2. Excluded from credit limit means the member must not use the security as collateral in the calculation of the customer's credit line in all types of account.

3. Prohibit Net Settlement means the member must not offset the trading value of buy amount and sell amount of a certain security on a given day. (The amount received from sale of the particular security will be credited back on the following day.)

Please note that the main factors used as criteria for the restricted securities above are the turnover ratio, the trading value and the price not corresponding with the fundamental factors such as P/E ratio, etc.