FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20180223E00356
1.
Date of relevant event
:
20/02/2018
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
22/02/2018
(dd/mm/yyyy)
3.
Stock code
:
00005
4.
Name of listed corporation
:
HSBC Holdings plc
5.
Class of shares
:
Ordinary Shares
6.
Number of issued shares in class
:
20,321,169,034
7.
Name of substantial shareholder
:
JPMorgan Chase & Co.
8.
Registered office
:
270 Park Avenue, New York 10017, United States
9.
Principal place of business in Hong Kong
:
N/A
15.
Exchange on which listed
:
New York Stock Exchange
16.
Name of listed parent and exchange on which parent is listed
:
N/A
17.
Details of relevant event
:
Brief description of relevant event
Capacity in which shares were/are held
Number of shares bought/sold or involved
Currency of transaction
On Exchange
Off Exchange
Before relevant event
After relevant event
Highest price (per share)
Average price (per share)
Average consideration (per share)
Nature of consideration
Long position
1004
You first acquire a notifiable interest because:
you acquired a security interest in the shares
2201
Interest of corporation controlled by you
2201
Interest of corporation controlled by you
35,363,740
HKD
84.9000
82.5350
80.4420
3101
Cash
Short position
1402
You came to have a short position of 1% or more in the shares, or the percentage level of your short position in such shares increased because:
you borrowed the shares under a securities borrowing and lending agreement
2201
Interest of corporation controlled by you
2201
Interest of corporation controlled by you
35,192,055
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
989,482,222
4.86
Short position
336,904,459
1.65
Lending Pool
438,618,488
2.15
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
1,024,845,962
5.04
Short position
372,096,514
1.83
Lending Pool
438,550,671
2.15
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2101
Beneficial owner
Long position
414,808,551
Short position
372,096,514
2102
Investment manager
Long position
171,262,290
Short position
0
2301
Trustee
Long position
224,450
Short position
0
2502
Approved lending agent
Long position
438,550,671
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4101
Listed derivatives - Physically settled
Long position
36,454,325
Short position
6,579,755
4102
Listed derivatives - Cash settled
Long position
2,241,200
Short position
31,495,320
4105
Unlisted derivatives - Physically settled
Long position
8,758,312
Short position
4,778,917
4106
Unlisted derivatives - Cash settled
Long position
6,605,751
Short position
56,471,212
22.
Further information in relation to interests of corporations controlled by substantial shareholder
:
Name of controlled corporation
Address and place of incorporation
Name of controlling person
% control
Direct interest (Y/N)
Number of shares
J.P. Morgan Securities LLC
383 Madison Ave., New York, New York, NY, 10179, United States
J.P. Morgan Broker-Dealer Holdings Inc
100.00
Y
Long position
38,454,644
Short position
14,305,300
JF Asset Management Limited
21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong Kong
JPMorgan Asset Management Holdings Inc
0.01
Y
Long position
39,932,987
Short position
0
JF Asset Management Limited
21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong Kong
JPMorgan Asset Management (Asia) Inc.
99.99
Y
Long position
39,932,987
Short position
0
JPMorgan Asset Management (Taiwan) Limited
20F & 21, No.1 Song Zhi Rd,Xin Yi District, Taipei City, Taiwan., Taipei, 110, Taiwan Province of China
JPMorgan Asset Management (Asia) Inc.
100.00
Y
Long position
145,080
Short position
0
J.P. Morgan Investment Management Inc.
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
JPMorgan Asset Management Holdings Inc
100.00
Y
Long position
34,047,430
Short position
0
J.P. Morgan Trust Company of Delaware
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
J.P. Morgan Equity Holdings, Inc.
100.00
Y
Long position
188,845
Short position
0
J.P. Morgan International Bank Limited
1 Knightsbridge, London, SW1X 7LX, London, SW1X 7LX, England
J.P. Morgan Capital Holdings Limited
100.00
Y
Long position
36,585
Short position
0
J.P. Morgan Whitefriars LLC
500 Stanton Christiana Road, /DE File No. 0867618, Newark, New Castle, DE, DE, 19713, United States
J.P. Morgan Overseas Capital LLC
100.00
Y
Long position
3,457,235
Short position
5,744,760
J.P. Morgan Equity Holdings, Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
188,845
Short position
0
J.P. Morgan International Finance Limited
500 Stanton Christiana Road, Newark, DE2, DE, 19713, United States
JPMorgan Chase Bank, N.A.
100.00
N
Long position
376,390,492
Short position
357,791,214
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
N
Long position
193,200
Short position
0
J.P. Morgan Securities plc
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Capital Holdings Limited
100.00
Y
Long position
372,896,672
Short position
352,046,454
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
454,604,293
Short position
0
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
Y
Long position
80,888,991
Short position
0
China International Fund Management Co Ltd
99 Fu Cheng Road, 20th Floor, Aurora Plaza, Shanghai, 200120, China
JPMorgan Asset Management (UK) Limited
49.00
Y
Long position
193,200
Short position
0
J.P. Morgan Broker-Dealer Holdings Inc
Corporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
38,454,644
Short position
14,305,300
J.P. Morgan Capital Holdings Limited
6 route de Trèves, Senningerberg, L-2633, Luxembourg
J.P. Morgan International Finance Limited
100.00
N
Long position
372,933,257
Short position
352,046,454
JPMorgan Asset Management Holdings Inc
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
195,140,675
Short position
0
JPMorgan Asset Management (Asia) Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
40,078,067
Short position
0
JPMorgan Asset Management Holdings (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management International Limited
100.00
N
Long position
81,082,191
Short position
0
JPMorgan Chase Holdings LLC
270 Park Avenue, New York, New York, NY, NY, 10017, United States
JPMorgan Chase & Co.
100.00
N
Long position
233,784,164
Short position
14,305,300
J.P. Morgan Overseas Capital LLC
500 Stanton Christiana Road, Newark, New Castle, DE, DE, 19713-2107, United States
J.P. Morgan International Finance Limited
100.00
N
Long position
3,457,235
Short position
5,744,760
JPMorgan Asset Management International Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
81,082,191
Short position
0
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
N
Long position
376,390,492
Short position
357,791,214
23.
Further information in relation to interests held by substantial shareholder jointly with another person
:
Name of joint shareholder
Address
Number of shares
24.
Further information from a trustee, a beneficiary of a trust, or a person who set up a discretionary trust
:
Names of trust
Address
Status code
Number of shares
N.A
Addresses of individuals are not displayed.
5101
Trustee of a trust
Long position
224,450
Short position
0
25.
Further information from a party to an agreement under Section 317 (Please see Notes for further information required)
:
Names of other parties
Address
Number of shares
Total number of shares in which a substantial shareholder is interested under sections 317 and 318
26.
Details of person(s) in accordance with whose directions the substantial shareholder or its directors are accustomed to act
:
Names
Address
Relationship Code
Percentage (%)
27.
Supplementary information
:
28.
Log/Serial Number of the previous form
:
29.
Number of concert party document(s) under section 317 attached/uploaded
:
Date of filing this Form 2
:
23/02/2018
(dd/mm/yyyy)