FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20190305E00058 
1. Date of relevant event: 28/02/2019
(dd/mm/yyyy)
2. Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): 04/03/2019
(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: 1,250,632,060
7. Name of substantial shareholder: JPMorgan Chase & Co. 
8. Registered office: 383 Madison Ave., New York, NY 10179, 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 
1402You 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
 
2201Interest of corporation controlled by you
 
2201Interest of corporation controlled by you
 		 2,939,114           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position71,939,0885.75
Short position10,261,2000.82
Lending Pool43,448,6403.47
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position74,813,6435.98
Short position13,200,3141.05
Lending Pool43,448,6403.47
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2201Interest of corporation controlled by you
Long position17,339,030
Short position13,171,314
2102Investment manager
Long position13,176,143
Short position29,000
2106Person having a security interest in shares
Long position830,408
Short position0
2301Trustee
Long position19,422
Short position0
2502Approved lending agent
Long position43,448,640
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position1,548,500
Short position1,044,400
4102Listed derivatives - Cash settled
Long position2,509,600
Short position1,635,840
4105Unlisted derivatives - Physically settled
Long position953,182
Short position1,393,173
4106Unlisted derivatives - Cash settled
Long position1,431,638
Short position959,232
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
China International Fund Management Co., Ltd.25th Floor, Zhendan Mansion 99 Fucheng Road Shanghai 200120 ChinaJPMORGAN ASSET MANAGEMENT (UK) LIMITED49.00Y
Long position204,000
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 position56,000
Short position0
J.P. Morgan Bank Luxembourg S.A.- Stockholm BankfilialHamngatan 15 Stockholm 11147 SwedenJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position939,605
Short position0
Highbridge Capital Management, LLC40 West 57th Street Floor 32 New York NY 10019 United StatesJPMorgan Asset Management Holdings Inc.100.00Y
Long position14,600
Short position29,000
J.P. Morgan Securities LLC383 Madison Ave. New York NY 10179 United StatesJ.P. Morgan Broker-Dealer Holdings Inc.100.00Y
Long position2,138,548
Short position2,108,600
JPMORGAN CHASE BANK, N.A. - LONDON BRANCH25 Bank Street Canary Wharf London E14 5JP EnglandJPMorgan Chase Bank, National Association100.00Y
Long position9,118,819
Short position0
J.P. Morgan Whitefriars LLC383 Madison Avenue New York NY 10179 United StatesJ.P. Morgan Overseas Capital LLC100.00Y
Long position1,370,707
Short position0
J.P. Morgan Investment Management Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00Y
Long position6,933,000
Short position0
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00Y
Long position296,500
Short position0
J.P. Morgan Bank (Ireland) Public Limited CompanyJ.P. Morgan 200 Capital Dock 79 Sir John Rogerson's Quay Dublin D02 RK57 IrelandJ.P. Morgan International Finance Limited100.00Y
Long position700
Short position0
J.P. Morgan Bank Luxembourg, Copenhagen Br, filial af J.P. Morgan Bank Luxembourg S.A.Kalvebod Brygge 39 Kobenhavn V 1560 DenmarkJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position166,805
Short position0
JPMorgan Chase Bank, N.A. - Sydney Branch83-85 CASTLEREAGH STREET Sydney NSW 2000 AustraliaJPMorgan Chase Bank, National Association100.00Y
Long position2,284,822
Short position0
J.P. Morgan Bank Luxembourg S.A. - Oslo BranchTordenskioldsgate 6 Oslo 0160 NorwayJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position53,691
Short position0
J.P. Morgan Bank Luxembourg S.A.European Bank & Business Centre 6, route de Treves Senningerberg L-2633 LuxembourgJ.P. Morgan International Finance Limited100.00Y
Long position91,564
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 position37,471
Short position0
J.P. Morgan Trust Company of Delaware500 Stanton Christiana Road Newark DE 19713-2107 United StatesJ.P. Morgan Equity Holdings, Inc.100.00Y
Long position14,676
Short position0
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00Y
Long position29,204,955
Short position0
JPMorgan Chase Bank, N.A. - Hong Kong Branch7/F, 20/F, 22/F-29/F Chater House, 8 Connaught Road Central Hong Kong Hong KongJPMorgan Chase Bank, National Association100.00Y
Long position2,032,798
Short position0
JF Asset Management Limited21st Floor, Chater House, 8 Connaught Road Central, Hong Kong. Hong Kong Hong KongJPMorgan Asset Management (Asia) Inc.99.99Y
Long position4,333,841
Short position0
JF International Management Inc.Palm Grove House, P.O. Box 438, Road Town, Tortola, British Virgin Islands. Tortola VG1110 British Virgin IslandsJPMorgan Asset Management (Asia) Inc.100.00Y
Long position241,600
Short position0
J.P. Morgan (Suisse) SA8, rue de la confederation, PO Box 5160, 1211 Geneva 1211, Switzerland Geneva 1211 SwitzerlandJ.P. Morgan International Finance Limited100.00Y
Long position612,215
Short position0
J.P. MORGAN SECURITIES PLC25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. MORGAN CAPITAL HOLDINGS LIMITED100.00Y
Long position14,666,726
Short position11,062,714
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00N
Long position204,000
Short position0
JPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED100.00N
Long position500,500
Short position0
JPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMorgan Asset Management Holdings Inc.100.00N
Long position500,500
Short position0
JPMorgan Asset Management Holdings Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Holdings LLC100.00N
Long position12,117,012
Short position29,000
JPMorgan Chase Holdings LLC383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase & Co.100.00N
Long position14,270,236
Short position2,137,600
JPMorgan Asset Management (Asia) Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00N
Long position4,668,912
Short position0
J.P. Morgan Bank Luxembourg S.A.European Bank & Business Centre 6, route de Treves Senningerberg L-2633 LuxembourgJ.P. Morgan International Finance Limited100.00N
Long position1,160,101
Short position0
J.P. Morgan International Finance Limited383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Bank, National Association100.00N
Long position17,902,013
Short position11,062,714
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00N
Long position31,338,452
Short position11,062,714
J.P. Morgan Broker-Dealer Holdings Inc.4 Chase Metrotech Center 14th Floor Brooklyn NY 11245 United StatesJPMorgan Chase Holdings LLC100.00N
Long position2,138,548
Short position2,108,600
J.P. Morgan Overseas Capital LLC500 Stanton Christiana Road Newark DE 19713-2107 United StatesJ.P. Morgan International Finance Limited100.00N
Long position1,370,707
Short position0
J.P. Morgan Equity Holdings, Inc.201 North Walnut Street Wilmington DE 19801 United StatesJPMorgan Chase Holdings LLC100.00N
Long position14,676
Short position0
J.P. MORGAN CAPITAL HOLDINGS LIMITED25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. Morgan International Finance Limited100.00N
Long position14,666,726
Short position11,062,714

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 position19,422
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: 05/03/2019
(dd/mm/yyyy)