FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20180823E00203
1.
Date of relevant event
:
20/08/2018
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
(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
:
1,246,759,255
7.
Name of substantial shareholder
:
Citigroup Inc.
8.
Registered office
:
388 Greenwich Street, New York, 10013, USA
9.
Principal place of business in Hong Kong
:
50/F, Champion Tower, 3 Garden Road, Central, Hong Kong
15.
Exchange on which listed
:
NYSE
16.
Name of listed parent and exchange on which parent is listed
:
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
1013
You first acquire a notifiable interest because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
21,216,055
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
16,422,108
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
45,639,555
3.66
Short position
6,885,555
0.55
Lending Pool
35,188,537
2.82
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
66,855,610
5.36
Short position
23,307,663
1.86
Lending Pool
35,298,952
2.83
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2106
Person having a security interest in shares
Long position
43,100
Short position
0
2201
Interest of corporation controlled by you
Long position
31,513,558
Short position
23,307,663
2502
Approved lending agent
Long position
35,298,952
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4101
Listed derivatives - Physically settled
Long position
4,011,323
Short position
1,605,800
4105
Unlisted derivatives - Physically settled
Long position
2,372,166
Short position
2,726,750
4106
Unlisted derivatives - Cash settled
Long position
361,792
Short position
573,284
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
Citicorp LLC
388 Greenwich Street, New York, New York, NY, 10013, United States
Citigroup Inc.
100.00
N
Long position
38,244,646
Short position
1,493,559
Citibank, N.A.
701 East 60th Street North, Sioux Falls, Minnehaha, SD, 57104, United States
Citicorp LLC
100.00
Y
Long position
38,207,592
Short position
1,493,559
Citigroup Global Markets Holdings Inc.
388 Greenwich Street, New York, New York, NY, 10013, United States
Citigroup Inc.
100.00
N
Long position
28,549,464
Short position
21,814,104
Citigroup Financial Products Inc.
388 Greenwich Street, New York, New York, NY, 10013, United States
Citigroup Global Markets Holdings Inc.
100.00
N
Long position
28,549,464
Short position
21,814,104
Citigroup Global Markets Hong Kong Limited
50/F, Champion Tower, Three Garden Road, Central, 3 Garden Road,Central, Hong Kong, Hong Kong
Citigroup Financial Products Inc.
100.00
Y
Long position
5,880,862
Short position
3,916,279
Citigroup Global Markets Inc.
388 Greenwich Street, New York, New York, NY, 10013, United States
Citigroup Financial Products Inc.
100.00
Y
Long position
7,778
Short position
16,000,000
Citigroup Global Markets (International) Finance AG
Prime Tower, Hardstrasse 201, CH-8005, Zurich, ZH, Switzerland
Citigroup Financial Products Inc.
100.00
N
Long position
22,660,824
Short position
1,897,825
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Global Markets (International) Finance AG
50.20
N
Long position
22,660,824
Short position
1,897,825
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Financial Products Inc.
49.50
N
Long position
22,660,824
Short position
1,897,825
Citigroup Global Markets Limited
Citigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, England
Citigroup Global Markets Holdings Bahamas Limited
92.00
Y
Long position
22,660,824
Short position
1,897,825
Citicorp Banking Corporation
New Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, New Castle, DE, 19720, United States
Citigroup Inc.
100.00
N
Long position
61,500
Short position
0
Citibank (Switzerland) AG
Prime Tower, Hardstrasse 201, CH-8005, Zurich, ZH, Switzerland
Citicorp Banking Corporation
100.00
Y
Long position
61,500
Short position
0
Citibank, N.A.
701 East 60th Street North, Sioux Falls, Minnehaha, SD, 57104, United States
Citicorp LLC
100.00
N
Long position
37,054
Short position
0
Citibank Overseas Investment Corporation
New Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, New Castle, DE, 19720, United States
Citibank, N.A.
100.00
N
Long position
31,259
Short position
0
Citi Overseas Investments Bahamas Inc.
110 Thompson Blvd., P. O. Box N1576, Nassau, New Providence, Bahamas
Citibank Overseas Investment Corporation
100.00
N
Long position
31,259
Short position
0
Citigroup International Luxembourg Limited
31, Z.A. Bourmicht, Bertrange, L-8070, Luxembourg
Citi Overseas Investments Bahamas Inc.
100.00
N
Long position
31,259
Short position
0
Citigroup Participation Luxembourg Limited
31, Z.A. Bourmicht, Bertrange, L-8070, Luxembourg
Citigroup International Luxembourg Limited
100.00
N
Long position
31,259
Short position
0
Cititrust (Bahamas) Limited
110 Thompson Boulevard, Nassau, New Providence, Bahamas
Citigroup Participation Luxembourg Limited
100.00
Y
Long position
31,259
Short position
0
Citicorp Trust Delaware, National Association
20 Montchanin Road, Suite 180, Greenville, New Castle, DE, 19807, United States
Citibank, N.A.
100.00
Y
Long position
111
Short position
0
Citicorp Trust South Dakota
701 East 60th Street N., Sioux Falls, Minnehaha, SD, 57104, United States
Citibank, N.A.
100.00
Y
Long position
5,684
Short position
0
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
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
:
Citigroup Inc. has borrowed the shares under a securities borrowing and lending agreement. The increase in the short position was due to an increase in our obligation to return the borrowed shares under a securities borrowing and lending agreement.
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
:
23/08/2018
(dd/mm/yyyy)