FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20190821E00321
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)
:
(dd/mm/yyyy)
3.
Stock code
:
00005
4.
Name of listed corporation
:
HSBC Holdings plc
5.
Class of shares
:
Ordinary Shares
6.
Number of issued shares in class
:
20,583,254,570
7.
Name of substantial shareholder
:
UBS Group AG
8.
Registered office
:
BAHNHOFSTRASSE 45 8001 ZURICH SWITZERLAND
9.
Principal place of business in Hong Kong
:
52/F TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG
15.
Exchange on which listed
:
SIX Swiss Exchange AG
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
1004
You first acquire a notifiable interest because:
you acquired a security interest in the shares
2201
Interest of corporation controlled by you
45,717,703
Short position
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
1,027,112,394
4.99
Short position
787,468,673
3.83
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
1,072,830,097
5.21
Short position
787,468,673
3.83
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
91,653,830
Short position
0
2201
Interest of corporation controlled by you
Long position
981,176,267
Short position
787,468,673
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4101
Listed derivatives - Physically settled
Long position
53,597,499
Short position
38,597,403
4102
Listed derivatives - Cash settled
Long position
151,440
Short position
18,921,400
4105
Unlisted derivatives - Physically settled
Long position
28,621,390
Short position
68,115,715
4106
Unlisted derivatives - Cash settled
Long position
40,931,381
Short position
45,442,602
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
UBS AG
Bahnhofstrasse 45, Zürich, Switzerland
UBS Group AG
19.00
Y
Long position
754,794,240
Short position
775,503,494
UBS Bank (Canada)
154 University Avenue, Toronto, Ontario, Canada
UBS Group AG
100.00
Y
Long position
26,405
Short position
0
UBS Europe SE
Bockenheimer Landstrasse 2-4 OpernTurm, Frankfurt am Main Germany
UBS Group AG
100.00
Y
Long position
1,549,096
Short position
1,528,991
UBS Financial Services Inc.
Corporation Service Company 251 Little Falls Drive, Wilmington, New Castle / DE , USA
UBS Group AG
100.00
Y
Long position
1,972,051
Short position
0
UBS Gestión S.G.I.I.C., SA
María de Molina 4-3a, Madrid, Spain
UBS Group AG
100.00
Y
Long position
4,500
Short position
0
UBS Swiss Financial Advisers AG
Lowenstrasse 49, Zurich, Switzerland
UBS Group AG
100.00
Y
Long position
626,059
Short position
0
UBS Switzerland AG
Bahnhofstrasse 45, Zürich, Switzerland
UBS Group AG
100.00
Y
Long position
21,822,181
Short position
0
UBS Asset Management (Americas) Inc.
Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware, USA
UBS Group AG
100.00
Y
Long position
109,557
Short position
0
UBS Asset Management (Australia) Ltd
Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia
UBS Group AG
100.00
Y
Long position
2,624,329
Short position
0
UBS Asset Management (Deutschland) GmbH
Bockenheimer Landstrasse 2-4, Frankfurt am Main, Germany
UBS Group AG
100.00
Y
Long position
2,841,959
Short position
0
UBS Asset Management (Hong Kong) Ltd
43-52 Floors, Two International Finance Centre, 8 Finance Street, Central, Hong Kong
UBS Group AG
100.00
Y
Long position
9,754,617
Short position
0
UBS Asset Management Life Ltd
5 Broadgate, London, United Kingdom
UBS Group AG
100.00
Y
Long position
25,809,046
Short position
0
UBS Asset Management (Singapore) Ltd
One Raffles Quay, #50-01 North Tower, Singapore
UBS Group AG
100.00
Y
Long position
314,906
Short position
12,800
UBS Asset Management Switzerland AG
Bahnhofstrasse 45, Zürich, Switzerland
UBS Group AG
100.00
Y
Long position
12,746,932
Short position
0
UBS Asset Management Trust Company
Illinois Corporation Service Company 801 Adlai Stevenson Drive, Springfield, IL, USA
UBS Group AG
100.00
Y
Long position
1,228,876
Short position
0
UBS Asset Management (UK) Limited
5 Broadgate, London, United Kingdom
UBS Group AG
100.00
Y
Long position
81,769,026
Short position
0
UBS Fund Management (Luxembourg) S.A.
33A avenue J.F. Kennedy, Luxembourg
UBS Group AG
100.00
Y
Long position
28,223,890
Short position
1,218,110
UBS Fund Management (Switzerland) AG
Aeschenplatz 6, Basel, Switzerland
UBS Group AG
100.00
Y
Long position
25,287,927
Short position
0
UBS Third Party Management Company S.A.
33A avenue J.F. Kennedy, Luxembourg
UBS Group AG
100.00
Y
Long position
307,822
Short position
0
UBS Securities LLC
Corporation Service Company 251 Little Falls Drive, Wilmington, Delaware, USA
UBS Group AG
100.00
Y
Long position
9,362,848
Short position
9,205,278
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
:
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)