Monthly Stock Market Ownership and Trading Activity Report

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Verity Lee Strickland
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1 Monthly Stock Market Ownership and Trading Activity Report Market Reports Month Ending 29 December 2016

2 Definitions

3 Monthly Stock Market Ownership and Trading Activity Report Definitions Nationality Investor Type Description Individuals Saudi Individuals have been classified under 4 categories as defined below: - Retail Retail investors are Saudi individuals, excluding IPIs (see below) and HNWIs. Saudi - High Net Worth Investors (HNWIs) - Individual Professional Investors (IPIs) - Individual DPMs Institutions HNWIs are Saudi individuals who have had an average portfolio size of SAR 1m (and above) for the preceding 12 months, excluding IPIs (see below). IPIs are Saudi individuals who have had an average portfolio size of SAR 50m (and above) for the preceding 12 months and a portfolio turnover ratio of not more than 4 times annually. Saudi individual investment account in which the manager (Authorized Person) makes the buy/sell decisions for its client without referring to the account owner (based on to the agreed terms between them). Saudi Institutions have been classified under 4 categories as defined below: - Corporates Saudi company with a commercial registration permitting its investment in the stock market. - Mutual Funds A mutual fund managed by an Authorized Person and licensed by the CMA. - Government Related Entities (GREs) A Government entity or a supranational authority recognized by the CMA. - Institutional DPMs Individuals Saudi institutional investment account in which the manager (Authorized Person) makes the buy/sell decisions for its client without referring to the account owner (based on to the agreed terms between them). GCC natural person 3 GCC Foreign Institutions GCC DPMs SWAP Holders Foreign Residents QFIs Foreign DPMs Strategic Partners GCC legal person with a commercial registration certificate (corporate or mutual fund), in addition to GCC government entities. GCC investment account (institutional or individual) in which the manager (Authorized Person) makes the buy/sell decisions for its client without referring to the account owner (based on to the agreed terms between them). Authorized Person with the permission to enter into SWAP agreements to transfer the economic benefits of its ownership of shares in Saudi companies listed on the Saudi Stock Exchange to its non-resident foreign clients. Foreign investors domiciled in the Kingdom with a valid residency permit (Iqama) (excluding GCC nationals). Qualified Foreign Institutional investors registered with the CMA in accordance with the QFI Rules, to invest in shares listed on the Saudi Stock Exchange. Foreign resident investment account in which the manager (Authorized Person) makes the buy/sell decisions for its client without referring to the account owner (based on to the agreed terms between them). Foreign investors considered founders and partners of Saudi listed companies.

4 Highlights

Monthly Stock Market Ownership and Trading Activity Report Highlights The total value of shares traded for the month ending 29 December 2016 amounted to SAR 114.96 billion, decreasing by 3.

5 Monthly Stock Market Ownership and Trading Activity Report Highlights The total value of shares traded for the month ending 29 December 2016 amounted to SAR billion, decreasing by 3.39% over the previous month; while total stock market capitalization reached SAR 1, billion at the end of this period, increasing by 2.75% over the previous month. The total value of shares purchased by Saudi Investors during this period amounted to SAR billion representing 96.57% of total buying activity, and sales of SAR billion representing 95.18% of total selling activity. Total ownership of Saudi Investors stood at 93.45% of total market capitalization as of 29 December 2016, representing an increase of 0.08% from the previous month. The total value of shares purchased by GCC Investors during this period amounted to SAR 1.48 billion representing 1.29% of total buying activity, and sales of SAR 1.85 billion representing 1.61% of total selling activity. Total ownership of GCC Investors stood at 2.27% of total market capitalization as of 29 December 2016, representing a decrease of 0.02% from the previous month. The total value of shares purchased by Foreign Investors during this period amounted to SAR 2.47 billion representing 2.14% of total buying activity, and sales of SAR 3.69 billion representing 3.21% of total selling activity. Total ownership of Foreign Investors stood at 4.28% of total market capitalization as of 29 December 2016, representing a decrease of 0.06% from the previous month. 5

6 Stock Market Value Traded Breakdown

7 Monthly Stock Market Ownership and Trading Activity Report Value Traded (by Nationality and Investor Type) Stock Market Traded Value Breakdown - By Nationality and Investor Type Nationality Individuals: Investor Type Buy Sell Net Value Traded SAR % of Total Buys SAR % of Total Sells SAR (Buy - Sell) Difference (% Buy - % Sell) Retail 51,809,240, % 55,906,444, % -4,097,203, % HNWIs 36,747,021, % 38,508,645, % -1,761,623, % IPIs 3,421,328, % 4,812,555, % -1,391,227, % Individual DPMs 1,068,131, % 904,259, % 163,872, % Sub Total (Individuals) 93,045,723, % 100,131,905, % -7,086,182, % Saudi Institutions: Corporates 5,005,081, % 4,186,949, % 818,131, % Mutual Funds 11,044,845, % 2,522,155, % 8,522,689, % GRE's 329,800, % 1,161,316, % -831,515, % Institution DPMs 1,594,323, % 1,425,106, % 169,217, % Sub Total (Institutions) 17,974,050, % 9,295,527, % 8,678,523, % Total Saudi Investors 111,019,773, % 109,427,432, % 1,592,341, % Individuals 269,793, % 327,296, % -57,502, % GCC Institutions 1,174,323, % 1,495,940, % -321,616, % GCC DPMs 34,250, % 21,955, % 12,295, % Total GCC Investors 1,478,368, % 1,845,192, % -366,823, % SWAP Holders 755,585, % 1,820,089, % -1,064,504, % Foreign Residents 1,652,875, % 1,803,445, % -150,569, % Foreign QFIs 57,237, % 67,720, % -10,483, % Foreign DPMs 150, % 110, % 39, % Grand Total 7 Strategic Partners % % % Total Foreign Investors 2,465,849, % 3,691,366, % -1,225,517, % 114,963,991, % 114,963,991, %

8 Monthly Stock Market Ownership and Trading Activity Report Value Traded (by Investor Classification) Stock Market Traded Value Breakdown - By Investor Classification Investor Classification Institutional Non-Institutional Grand Total Buy Sell Net Value Traded SAR % of Total Buys SAR % of Total Sells 24,485,059, % 18,418,159, % 6,066,899, % 90,478,932, % 96,545,831, % -6,066,899, % 114,963,991, % 114,963,991, % SAR (Buy - Sell) Difference (% Buy - % Sell) Definitions Institutional: Refers to investors with intuitional behavior including GREs, Saudi Corporates, Saudi Mutual Funds, Saudi and Non-Saudi DPMs, Saudi Individual Professional Investors (IPI), SWAP Holders, Foreign Strategic Partners and Qualified Foreign Investors (QFI). Non Institutional: Refers to investors with non-institutional behavior including Saudi Retail Investors, Saudi High Net Worth Investors (HNWI), GCC Individuals and Foreign Residents. 8

9 Stock Market Ownership Breakdown

10 Monthly Stock Market Ownership and Trading Activity Report Ownership Value (by Nationality and Investor Type) Stock Market Ownership Breakdown - By Nationality and Investor Type Nationality Investor Type Individuals: As of 30 November 2016 As of 29 December 2016 Monthly Change Holding Value (SAR) Ownership (%) Holding Value (SAR) Ownership (%) Holding Value (SAR) Ownership (%) Retail 73,290,221, % 76,220,847, % 2,930,626, % HNWIs 130,808,298, % 136,426,248, % 5,617,950, % IPIs 261,448,714, % 265,231,315, % 3,782,600, % Individual DPMs 4,465,941, % 4,686,800, % 220,858, % Sub Total (Individuals) 470,013,176, % 482,565,212, % 12,552,036, % Saudi Institutions: Corporates 282,035,806, % 291,523,004, % 9,487,198, % Mutual Funds 78,377,135, % 88,174,995, % 9,797,860, % GRE's 652,203,689, % 662,662,628, % 10,458,939, % Institution DPMs 45,691,484, % 46,858,793, % 1,167,308, % Sub Total (Institutions) 1,058,308,114, % 1,089,219,422, % 30,911,307, % Total Saudi Investors 1,528,321,291, % 1,571,784,634, % 43,463,343, % Individuals 2,939,235, % 2,973,645, % 34,409, % GCC Institutions 33,819,083, % 34,431,932, % 612,848, % GCC DPMs 675,026, % 713,992, % 38,965, % Total GCC Investors 37,433,345, % 38,119,569, % 686,224, % SWAP Holders 16,141,358, % 15,256,538, % -884,820, % Foreign Residents 4,481,539, % 4,586,592, % 105,053, % Foreign QFIs 1,604,194, % 1,976,896, % 372,702, % Foreign DPMs 6,302, % 6,577, % 275, % Grand Total 10 Strategic Partners 48,875,700, % 50,218,740, % 1,343,040, % Total Foreign Investors 71,109,096, % 72,045,346, % 936,250, % 1,636,863,732, % 1,681,949,551, % 45,085,818,690

11 Monthly Stock Market Ownership and Trading Activity Report Ownership Value (by Investor Classification) Stock Market Ownership Breakdown - By Investor Classification Institutional Investor Classification Non-Institutional Grand Total As of 30 November 2016 As of 29 December 2016 Monthly Change Holding Value (SAR) Ownership (%) Holding Value (SAR) Ownership (%) Holding Value (SAR) 1,425,344,438, % 1,461,742,217, % 36,397,779, % 211,519,294, % 220,207,334, % 8,688,039, % 1,636,863,732, % 1,681,949,551, % 45,085,818,690 Ownership (%) Definitions Institutional: Refers to investors with intuitional behavior including GREs, Saudi Corporates, Saudi Mutual Funds, Saudi and Non-Saudi DPMs, Saudi Individual Professional Investors (IPI), SWAP Holders, Foreign Strategic Partners and Qualified Foreign Investors (QFI). Non Institutional: Refers to investors with non-institutional behavior including Saudi Retail Investors, Saudi High Net Worth Investors (HNWI), GCC Individuals and Foreign Residents. 11

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Monthly Stock Market Ownership and Trading Activity Report

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