FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20171103E00091
1.
Date of relevant event
:
31/10/2017
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
02/11/2017
(dd/mm/yyyy)
3.
Stock code
:
01211
4.
Name of listed corporation
:
BYD Co. Ltd. - H Shares
5.
Class of shares
:
H Shares
6.
Number of issued shares in class
:
915,000,000
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
16011
Approved Lending Agents
Notice under section 5(4) of the Securities and Futures (Disclosure of Interests – Securities Borrowing and Lending) Rules by an approved lending agent (choose one):
the percentage level of your interest in the shares held in your lending pool is taken to have increased
2201
Interest of corporation controlled by you
2201
Interest of corporation controlled by you
487,367
HKD
Short position
1403
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:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
120,350
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
45,521,913
4.97
Short position
13,838,609
1.51
Lending Pool
15,710,143
1.71
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
46,009,280
5.02
Short position
13,958,959
1.52
Lending Pool
16,315,643
1.78
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2101
Beneficial owner
Long position
29,685,991
Short position
13,958,959
2102
Investment manager
Long position
5,000
Short position
0
2301
Trustee
Long position
2,646
Short position
0
2502
Approved lending agent
Long position
16,315,643
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4101
Listed derivatives - Physically settled
Long position
2,270,146
Short position
2,391,500
4102
Listed derivatives - Cash settled
Long position
300,000
Short position
4,189,400
4105
Unlisted derivatives - Physically settled
Long position
1,150,000
Short position
1,382,715
4106
Unlisted derivatives - Cash settled
Long position
4,040,500
Short position
443,256
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
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
J.P. Morgan Broker-Dealer Holdings Inc
100.00
Y
Long position
7,177,538
Short position
4,480,088
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
5,000
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
966
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
3,810,536
Short position
1,140,971
J.P. Morgan Securities plc
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Capital Financing Limited
0.59
Y
Long position
18,697,917
Short position
8,337,900
J.P. Morgan Securities plc
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Chase International Holdings
99.41
Y
Long position
18,697,917
Short position
8,337,900
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
16,317,323
Short position
0
J.P. Morgan Capital Financing Limited
25, Bank Street, Canary Wharf, London, E14 5JP, England
JPMorgan Chase & Co.
100.00
N
Long position
18,697,917
Short position
8,337,900
Bank One International Holdings Corporation
1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United States
J.P. Morgan International Inc.
100.00
N
Long position
41,206,370
Short position
17,816,771
J.P. Morgan International Inc.
270 Park Avenue, New York NY 10017, New York, New York, NY, NY, 10017, United States
JPMorgan Chase Bank, N.A.
100.00
N
Long position
41,206,370
Short position
17,816,771
J.P. Morgan Chase International Holdings
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Chase (UK) Holdings Limited
100.00
N
Long position
18,697,917
Short position
8,337,900
J.P. Morgan Broker-Dealer Holdings Inc
Corporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
7,177,538
Short position
4,480,088
J.P. Morgan Capital Holdings Limited
6 route de Trèves, Senningerberg, L-2633, Luxembourg
J.P. Morgan Overseas Capital LLC
27.27
N
Long position
18,697,917
Short position
8,337,900
J.P. Morgan Capital Holdings Limited
6 route de Trèves, Senningerberg, L-2633, Luxembourg
J.P. Morgan International Finance Limited
72.73
N
Long position
18,697,917
Short position
8,337,900
JPMorgan Asset Management Holdings Inc
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
5,000
Short position
0
J.P. Morgan Chase (UK) Holdings Limited
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Capital Holdings Limited
100.00
N
Long position
18,697,917
Short position
8,337,900
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
22,508,453
Short position
9,478,871
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
N
Long position
41,206,370
Short position
17,816,771
J.P. Morgan Equity Holdings, Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
966
Short position
0
J.P. Morgan International Finance Limited
500 Stanton Christiana Road, Newark, DE2, DE, 19713, United States
Bank One International Holdings Corporation
100.00
N
Long position
41,206,370
Short position
17,816,771
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
2,646
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
:
JPMorgan Chase & Co. acquired a security interest in the shares.
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
:
03/11/2017
(dd/mm/yyyy)