FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20200117E00107 
1. Date of relevant event: 14/01/2020
(dd/mm/yyyy)
2. Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): 16/01/2020
(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: 1,261,201,319
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
 		 1,446,956           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position69,006,0835.47
Short position11,554,5070.91
Lending Pool24,152,4191.91
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position70,508,6975.59
Short position13,001,4631.03
Lending Pool24,178,5191.91
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2201Interest of corporation controlled by you
Long position14,203,846
Short position13,001,463
2102Investment manager
Long position31,942,085
Short position0
2106Person having a security interest in shares
Long position147,598
Short position0
2301Trustee
Long position36,649
Short position0
2502Approved lending agent
Long position24,178,519
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position2,166,100
Short position1,804,700
4102Listed derivatives - Cash settled
Long position448,080
Short position1,196,150
4105Unlisted derivatives - Physically settled
Long position2,172,325
Short position2,309,065
4106Unlisted derivatives - Cash settled
Long position1,981,428
Short position1,779,062
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 position167,750
Short position0
J.P. Morgan Securities LLC383 Madison Ave. New York NY 10179 United StatesJ.P. Morgan Broker-Dealer Holdings Inc.100.00Y
Long position212,605
Short position198,158
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00Y
Long position3,082,600
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 position57,971
Short position0
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00Y
Long position11,006,911
Short position10,000
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 position6,474,274
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 position117,661
Short position0
J.P. Morgan AGTaunusTurm Taunustor 1 Frankfurt am Main Frankfurt 60310 GermanyJ.P. Morgan International Finance Limited100.00Y
Long position4,569
Short position0
J.P. Morgan Bank Luxembourg S.A.- Stockholm BankfilialHamngatan 15 Stockholm 11147 SwedenJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position1,005,045
Short position0
JPMORGAN CHASE BANK, N.A. - LONDON BRANCH25 Bank Street Canary Wharf London E14 5JP EnglandJPMorgan Chase Bank, National Association100.00Y
Long position10,266,701
Short position0
J.P. Morgan Investment Management Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00Y
Long position19,497,122
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 position156,553
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 S.A. - Oslo BranchTordenskioldsgate 6 Oslo 0160 NorwayJ.P. Morgan Bank Luxembourg S.A.100.00Y
Long position64,391
Short position0
JPMorgan Chase Bank, N.A. - Sydney Branch83-85 CASTLEREAGH STREET Sydney NSW 2000 AustraliaJPMorgan Chase Bank, National Association100.00Y
Long position1,726,298
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 position132,113
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 position32,490
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 position1,751,332
Short position0
J.P. MORGAN SECURITIES PLC25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. MORGAN CAPITAL HOLDINGS LIMITED100.00Y
Long position14,137,255
Short position12,793,305
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 position614,356
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 position1,393,739
Short position0
J.P. Morgan International Finance Limited383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Bank, National Association100.00N
Long position16,282,732
Short position12,793,305
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00N
Long position30,027,063
Short position12,793,305
J.P. Morgan Broker-Dealer Holdings Inc.4 Chase Metrotech Center 14th Floor Brooklyn NY 11245 United StatesJPMorgan Chase Holdings LLC100.00N
Long position212,605
Short position198,158
JPMorgan Chase Holdings LLC383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase & Co.100.00N
Long position29,474,723
Short position198,158
JPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED100.00N
Long position3,082,600
Short position0
JPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMorgan Asset Management Holdings Inc.100.00N
Long position3,082,600
Short position0
JPMorgan Asset Management Holdings Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Holdings LLC100.00N
Long position29,229,628
Short position0
JPMorgan Asset Management (Asia) Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00N
Long position6,649,906
Short position0
J.P. Morgan Equity Holdings, Inc.201 North Walnut Street Wilmington DE 19801 United StatesJPMorgan Chase Holdings LLC100.00N
Long position32,490
Short position0
J.P. MORGAN CAPITAL HOLDINGS LIMITED25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. Morgan International Finance Limited100.00N
Long position14,137,255
Short position12,793,305

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 position36,649
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: 17/01/2020
(dd/mm/yyyy)