FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20171004E00158 
1. Date of relevant event: 28/09/2017
(dd/mm/yyyy)
2. Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): 02/10/2017
(dd/mm/yyyy)
3. Stock code: 00388
4. Name of listed corporation: Hong Kong Exchanges and Clearing Ltd. 
5. Class of shares: Ordinary Shares 
6. Number of issued shares in class: 1,239,809,477
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
Short position 
15015You ceased to have a short position of 1% or more in the shares, or the percentage level of your short position in such shares decreased because:
expiry or cancellation without exercise of equity derivatives under which (choose one):
you have any of the rights or obligations referred to in 15011 to 15014 above embedded in a contract or instrument
 
2201Interest of corporation controlled by you
 
2201Interest of corporation controlled by you
 		 4,427,660           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position70,179,9635.69
Short position25,351,8802.05
Lending Pool26,058,3222.11
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position64,725,6675.22
Short position20,924,2201.68
Lending Pool26,066,2222.10
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2101Beneficial owner
Long position37,425,832
Short position20,924,220
2102Investment manager
Long position1,228,862
Short position0
2301Trustee
Long position4,751
Short position0
2502Approved lending agent
Long position26,066,222
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position2,035,801
Short position1,072,700
4102Listed derivatives - Cash settled
Long position558,900
Short position10,127,800
4105Unlisted derivatives - Physically settled
Long position4,452,920
Short position4,593,029
4106Unlisted derivatives - Cash settled
Long position3,395,388
Short position3,235,089
22. Further information in relation to interests of corporations controlled by substantial shareholder:
Name of controlled corporationAddress and place of incorporationName of controlling person% controlDirect interest (Y/N)Number of shares
J.P. Morgan Securities LLCc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJ.P. Morgan Broker-Dealer Holdings Inc100.00Y
Long position17,504,757
Short position7,640
JF International Management Inc.Palm Grove House,P.O. Box 438, Road Town, Tortola, British Virgin Islands., Tortola, British Virgin IslandsJPMorgan Asset Management (Asia) Inc.100.00Y
Long position8,752
Short position0
JF Asset Management Limited21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong KongJPMorgan Asset Management (Asia) Inc.100.00Y
Long position553,272
Short position0
JPMorgan Asset Management (Japan) LimitedTokyo Building, 7-3 Marunouchi 2 Chome,Chiyoda-ku, Tokyo, Japan., Tokyo, 100 6432, JapanJPMorgan Asset Management (Asia) Inc.100.00Y
Long position70,134
Short position0
JPMorgan Asset Management (Taiwan) Limited20F & 21, No.1 Song Zhi Rd,Xin Yi District, Taipei City, Taiwan., Taipei, 110, Taiwan Province of ChinaJPMorgan Asset Management (Asia) Inc.100.00Y
Long position158,183
Short position0
J.P. Morgan Investment Management Inc.c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJPMorgan Asset Management Holdings Inc100.00Y
Long position296,800
Short position0
J.P. Morgan Trust Company of DelawareCorporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJ.P. Morgan Equity Holdings, Inc.100.00Y
Long position4,006
Short position0
J.P. Morgan Whitefriars LLC500 Stanton Christiana Road, /DE File No. 0867618, Newark, New Castle, DE, DE, 19713, United StatesJ.P. Morgan Overseas Capital LLC100.00Y
Long position3,987,467
Short position5,222,947
Bank One International Holdings Corporation1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United StatesJ.P. Morgan International Inc.100.00N
Long position35,854,683
Short position36,610,213
J.P. Morgan International Inc.270 Park Avenue, New York NY 10017, New York, New York, NY, NY, 10017, United StatesJPMorgan Chase Bank, N.A.100.00N
Long position35,854,683
Short position36,610,213
J.P. Morgan Chase International Holdings25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase (UK) Holdings Limited100.00N
Long position15,933,608
Short position15,693,633
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Financing Limited0.59Y
Long position15,933,608
Short position15,693,633
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase International Holdings99.41Y
Long position15,933,608
Short position15,693,633
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position26,148,817
Short position0
JPMorgan Asset Management (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings (UK) Limited100.00Y
Long position59,871
Short position0
J.P. Morgan Capital Financing Limited25, Bank Street, Canary Wharf, London, E14 5JP, EnglandJPMorgan Chase & Co.100.00N
Long position15,933,608
Short position15,693,633
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position17,504,757
Short position7,640
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan Overseas Capital LLC27.27N
Long position15,933,608
Short position15,693,633
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited72.73N
Long position15,933,608
Short position15,693,633
JPMorgan Asset Management Holdings Incc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position1,147,012
Short position0
JPMorgan Asset Management (Asia) Inc.Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Asset Management Holdings Inc100.00N
Long position790,341
Short position0
J.P. Morgan Chase (UK) Holdings Limited25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Holdings Limited100.00N
Long position15,933,608
Short position15,693,633
JPMorgan Asset Management Holdings (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management International Limited100.00N
Long position59,871
Short position0
J.P. Morgan Overseas Capital LLC500 Stanton Christiana Road, Newark, New Castle, DE, DE, 19713-2107, United StatesJ.P. Morgan International Finance Limited100.00N
Long position19,921,075
Short position20,916,580
JPMorgan Asset Management International Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings Inc100.00N
Long position59,871
Short position0
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00N
Long position35,854,683
Short position36,610,213
J.P. Morgan Equity Holdings, Inc.Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position4,006
Short position0
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesBank One International Holdings Corporation100.00N
Long position35,854,683
Short position36,610,213

23. Further information in relation to interests held by substantial shareholder jointly with another person:
Name of joint shareholderAddressNumber of shares
 
24. Further information from a trustee, a beneficiary of a trust, or a person who set up a discretionary trust:
Names of trustAddressStatus codeNumber of shares
N.AAddresses of individuals are not displayed.
5101Trustee of a trust
Long position4,751
Short position0
25. Further information from a party to an agreement under Section 317 (Please see Notes for further information required):
Names of other partiesAddressNumber 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:
NamesAddressRelationship CodePercentage (%)
  
 
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: 04/10/2017
(dd/mm/yyyy)