FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20200710E00029 
1. Date of relevant event: 07/07/2020
(dd/mm/yyyy)
2. Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): 09/07/2020
(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
Short position 
14015You 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 became the holder of, wrote or issued equity derivatives under which (choose one):
you have any of the rights or obligations referred to in 14011 to 14014 above embedded in a contract or instrument
 
2201Interest of corporation controlled by you
 
2201Interest of corporation controlled by you
 
749,002           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position95,604,8307.54
Short position12,392,1740.97
Lending Pool46,704,7433.68
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position95,018,7677.49
Short position13,141,1761.03
Lending Pool46,610,3433.67
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2201Interest of corporation controlled by you
Long position12,707,175
Short position13,141,176
2102Investment manager
Long position35,388,776
Short position0
2106Person having a security interest in shares
Long position276,181
Short position0
2301Trustee
Long position36,292
Short position0
2502Approved lending agent
Long position46,610,343
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position2,324,800
Short position923,600
4102Listed derivatives - Cash settled
Long position1,155,700
Short position3,445,830
4105Unlisted derivatives - Physically settled
Long position1,263,520
Short position2,464,098
4106Unlisted derivatives - Cash settled
Long position154,380
Short position2,878,740
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 position243,300
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 position303,161
Short position0
J.P. Morgan AGTaunusTurm Taunustor 1 Frankfurt am Main Frankfurt 60310 GermanyJ.P. Morgan International Finance Limited100.00Y
Long position300
Short position0
J.P. Morgan Securities LLC383 Madison Ave. New York NY 10179 United StatesJ.P. Morgan Broker-Dealer Holdings Inc.100.00Y
Long position104,232
Short position77,378
JPMORGAN CHASE BANK, N.A. - LONDON BRANCH25 Bank Street Canary Wharf London E14 5JP EnglandJPMorgan Chase Bank, National Association100.00Y
Long position46,610,343
Short position0
J.P. Morgan Prime Inc.383 Madison Avenue New York NY 10179 United StatesJ.P. Morgan Securities LLC100.00Y
Long position70,000
Short position70,000
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00Y
Long position3,209,600
Short position0
J.P. Morgan Investment Management Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00Y
Long position17,088,709
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 position259,402
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 position32,111
Short position0
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00Y
Long position2,454,297
Short position200,000
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 position11,831,995
Short position0
J.P. MORGAN SECURITIES PLC25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. MORGAN CAPITAL HOLDINGS LIMITED100.00Y
Long position12,811,317
Short position12,793,798
JPMORGAN ASSET MANAGEMENT (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED100.00N
Long position243,300
Short position0
JPMORGAN ASSET MANAGEMENT HOLDINGS (UK) LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED100.00N
Long position3,452,900
Short position0
JPMORGAN ASSET MANAGEMENT INTERNATIONAL LIMITED60 Victoria Embankment London EC4Y0JP EnglandJPMorgan Asset Management Holdings Inc.100.00N
Long position3,452,900
Short position0
JPMorgan Asset Management Holdings Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Holdings LLC100.00N
Long position32,936,167
Short position0
JPMorgan Chase Holdings LLC383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase & Co.100.00N
Long position33,142,510
Short position147,378
JPMorgan Asset Management (Asia) Inc.383 Madison Avenue New York NY 10179 United StatesJPMorgan Asset Management Holdings Inc.100.00N
Long position12,394,558
Short position0
J.P. Morgan International Finance Limited383 Madison Avenue New York NY 10179 United StatesJPMorgan Chase Bank, National Association100.00N
Long position12,811,617
Short position12,793,798
JPMorgan Chase Bank, National Association1111 Polaris Parkway Columbus OH 43240 United StatesJPMorgan Chase & Co.100.00N
Long position59,421,960
Short position12,793,798
J.P. Morgan Broker-Dealer Holdings Inc.4 Chase Metrotech Center 14th Floor Brooklyn NY 11245 United StatesJPMorgan Chase Holdings LLC100.00N
Long position174,232
Short position147,378
J.P. Morgan Securities LLC383 Madison Ave. New York NY 10179 United StatesJ.P. Morgan Broker-Dealer Holdings Inc.100.00N
Long position70,000
Short position70,000
J.P. Morgan Equity Holdings, Inc.201 North Walnut Street Wilmington DE 19801 United StatesJPMorgan Chase Holdings LLC100.00N
Long position32,111
Short position0
J.P. MORGAN CAPITAL HOLDINGS LIMITED25 Bank Street Canary Wharf London E14 5JP EnglandJ.P. Morgan International Finance Limited100.00N
Long position12,811,317
Short position12,793,798

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 position36,292
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: 10/07/2020
(dd/mm/yyyy)