FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20200515E00204 
1. Date of relevant event: 12/05/2020
(dd/mm/yyyy)
2. Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): 14/05/2020
(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: 1,267,836,895
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
1201The percentage level of your interest in the shares has reduced because:
you completed a sale of the shares
2201Interest of corporation controlled by you
2201Interest of corporation controlled by you
 626,231 HKD 252.4000 250.7868 250.7156
3101Cash
Short position 
 
 
 		            
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position89,161,2547.03
Short position13,655,8821.07
Lending Pool40,453,2553.19
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position88,535,0236.98
Short position13,594,2971.07
Lending Pool40,717,0323.21
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2201Interest of corporation controlled by you
Long position13,036,652
Short position13,594,297
2102Investment manager
Long position34,396,587
Short position0
2106Person having a security interest in shares
Long position347,782
Short position0
2301Trustee
Long position36,970
Short position0
2502Approved lending agent
Long position40,717,032
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position1,735,700
Short position1,131,900
4102Listed derivatives - Cash settled
Long position302,520
Short position4,464,750
4105Unlisted derivatives - Physically settled
Long position497,398
Short position2,017,068
4106Unlisted derivatives - Cash settled
Long position2,078,974
Short position2,251,748
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 Securities LLC383 Madison Ave. New York NY 10179 United StatesJ.P. Morgan Broker-Dealer Holdings Inc.100.00Y
Long position93,073
Short position85,125
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00Y
Long position3,197,800
Short position0
JPMorgan Asset Management (Canada) Inc./Gestion D'Actif JPMorgan (Canada) Inc.650 West Georgia Street Suite 2310 Vancouver BC V6B 4N7 CanadaJPMorgan Asset Management Holdings Inc.100.00Y
Long position24,800
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 position191,202
Short position0
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00Y
Long position2,490,779
Short position160,000
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 position9,903,655
Short position0
China International Fund Management Co., Ltd.25th Floor, Zhendan Mansion 99 Fucheng Road Shanghai 200120 ChinaJPMORGAN ASSET MANAGEMENT (UK) LIMITED49.00Y
Long position1,900
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 position206,361
Short position0
J.P. Morgan GT Corporation383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Holdings LLC100.00Y
Long position350,000
Short position0
J.P. Morgan AGTaunusTurm Taunustor 1 Frankfurt am Main Frankfurt 60310 GermanyJ.P. Morgan International Finance Limited100.00Y
Long position32,600
Short position0
JPMORGAN CHASE BANK, N.A. - LONDON BRANCH25 Bank Street Canary Wharf London E14 5JP EnglandJPMorgan Chase Bank, National Association100.00Y
Long position40,717,032
Short position0
J.P. Morgan Prime Inc.383 Madison Avenue New York NY 10179 United StatesJ.P. Morgan Securities LLC100.00Y
Long position200
Short position200
J.P. Morgan Investment Management Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00Y
Long position18,382,100
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 Trust Company of Delaware500 Stanton Christiana Road Newark DE 19713-2107 United StatesJ.P. Morgan Equity Holdings, Inc.100.00Y
Long position32,509
Short position0
J.P. MORGAN SECURITIES PLC25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. MORGAN CAPITAL HOLDINGS LIMITED100.00Y
Long position12,911,012
Short position13,348,972
J.P. Morgan Broker-Dealer Holdings Inc.4 Chase Metrotech Center 14th Floor Brooklyn NY 11245 United StatesJPMorgan Chase Holdings LLC100.00N
Long position93,273
Short position85,325
JPMorgan Chase Holdings LLC383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase & Co.100.00N
Long position32,383,600
Short position85,325
JPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED100.00N
Long position3,199,700
Short position0
JPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMorgan Asset Management Holdings Inc.100.00N
Long position3,199,700
Short position0
JPMorgan Asset Management Holdings Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Holdings LLC100.00N
Long position31,907,818
Short position0
JPMorgan Asset Management (Asia) Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00N
Long position10,301,218
Short position0
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00N
Long position1,900
Short position0
J.P. Morgan International Finance Limited383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Bank, National Association100.00N
Long position12,943,612
Short position13,348,972
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00N
Long position53,660,644
Short position13,348,972
J.P. Morgan Securities LLC383 Madison Ave. New York NY 10179 United StatesJ.P. Morgan Broker-Dealer Holdings Inc.100.00N
Long position200
Short position200
J.P. Morgan Equity Holdings, Inc.201 North Walnut Street Wilmington DE 19801 United StatesJPMorgan Chase Holdings LLC100.00N
Long position32,509
Short position0
J.P. MORGAN CAPITAL HOLDINGS LIMITED25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. Morgan International Finance Limited100.00N
Long position12,911,012
Short position13,348,972

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 position36,970
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: 15/05/2020
(dd/mm/yyyy)