FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20190821E00041 
1. Date of relevant event: 16/08/2019
(dd/mm/yyyy)
2. Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): 20/08/2019
(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: 1,258,108,353
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
1004You first acquire a notifiable interest because:
you acquired a security interest in the shares
2201Interest of corporation controlled by you
2201Interest of corporation controlled by you
 11,360,841 HKD 245.2000 242.0089 241.9276
3101Cash
Short position 
1403You 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)
 
2201Interest of corporation controlled by you
 
2201Interest of corporation controlled by you
 		 9,829,211           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position59,448,9164.72
Short position14,435,9921.14
Lending Pool18,395,2971.46
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position70,809,7575.62
Short position24,265,2031.92
Lending Pool18,370,1711.46
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2201Interest of corporation controlled by you
Long position27,003,224
Short position24,265,203
2102Investment manager
Long position25,271,530
Short position0
2106Person having a security interest in shares
Long position143,587
Short position0
2301Trustee
Long position21,245
Short position0
2502Approved lending agent
Long position18,370,171
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position2,654,500
Short position796,300
4102Listed derivatives - Cash settled
Long position2,632,860
Short position3,038,970
4105Unlisted derivatives - Physically settled
Long position804,584
Short position1,474,359
4106Unlisted derivatives - Cash settled
Long position2,054,282
Short position608,629
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 Bank Luxembourg S.A. - Amsterdam BranchStrawinskylaan 1135 Amsterdam 1077XX NetherlandsJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position120,650
Short position0
J.P. Morgan Securities LLC383 Madison Ave. New York NY 10179 United StatesJ.P. Morgan Broker-Dealer Holdings Inc.100.00Y
Long position10,030,989
Short position10,009,200
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00Y
Long position2,443,992
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
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 position40,271
Short position0
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00Y
Long position7,787,319
Short position5,400
JPMorgan Asset Management (Asia Pacific) Limited21st Floor, Chater House, 8 Connaught Road Central, Hong Kong. Hong Kong Hong KongJPMorgan Asset Management (Asia) Inc.99.99Y
Long position7,497,130
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 position190,544
Short position0
China International Fund Management Co., Ltd.25th Floor, Zhendan Mansion 99 Fucheng Road Shanghai 200120 ChinaJPMORGAN ASSET MANAGEMENT (UK) LIMITED49.00Y
Long position201,000
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 position122,688
Short position0
J.P. Morgan AGTaunusTurm Taunustor 1 Frankfurt am Main Frankfurt 60310 GermanyJ.P. Morgan International Finance Limited100.00Y
Long position12,010
Short position0
J.P. Morgan Bank Luxembourg S.A.- Stockholm BankfilialHamngatan 15 Stockholm 11147 SwedenJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position999,545
Short position0
JPMORGAN CHASE BANK, N.A. - LONDON BRANCH25 Bank Street Canary Wharf London E14 5JP EnglandJPMorgan Chase Bank, National Association100.00Y
Long position6,778,869
Short position0
J.P. Morgan Investment Management Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00Y
Long position12,824,574
Short position0
J.P. Morgan Structured Products B.V.Luna Arena Herikerbergweg 238 Amsterdam 1101 CM NetherlandsJ.P. Morgan International Finance Limited100.00Y
Long position0
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 position151,453
Short position0
JPMorgan Chase Bank, N.A. - Sydney Branch83-85 CASTLEREAGH STREET Sydney NSW 2000 AustraliaJPMorgan Chase Bank, National Association100.00Y
Long position1,509,989
Short position0
J.P. Morgan Bank Luxembourg S.A. - Oslo BranchTordenskioldsgate 6 Oslo 0160 NorwayJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position57,491
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 position323,913
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 position16,724
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 position1,987,412
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 position597,956
Short position0
J.P. MORGAN SECURITIES PLC25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. MORGAN CAPITAL HOLDINGS LIMITED100.00Y
Long position17,114,538
Short position14,250,603
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 position1,329,139
Short position0
J.P. Morgan International Finance Limited383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Bank, National Association100.00N
Long position19,378,256
Short position14,250,603
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00N
Long position29,654,526
Short position14,250,603
J.P. Morgan Broker-Dealer Holdings Inc.4 Chase Metrotech Center 14th Floor Brooklyn NY 11245 United StatesJPMorgan Chase Holdings LLC100.00N
Long position10,030,989
Short position10,009,200
JPMorgan Chase Holdings LLC383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase & Co.100.00N
Long position33,367,912
Short position10,009,200
JPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED100.00N
Long position2,644,992
Short position0
JPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMorgan Asset Management Holdings Inc.100.00N
Long position2,644,992
Short position0
JPMorgan Asset Management Holdings Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Holdings LLC100.00N
Long position23,320,199
Short position0
JPMorgan Asset Management (Asia) Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00N
Long position7,850,633
Short position0
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00N
Long position201,000
Short position0
J.P. Morgan Equity Holdings, Inc.201 North Walnut Street Wilmington DE 19801 United StatesJPMorgan Chase Holdings LLC100.00N
Long position16,724
Short position0
J.P. MORGAN CAPITAL HOLDINGS LIMITED25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. Morgan International Finance Limited100.00N
Long position17,114,538
Short position14,250,603

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 position21,245
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: JP Morgan Chase & Co. 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.
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: 21/08/2019
(dd/mm/yyyy)