FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20210719E00321 
1. Date of relevant event: 14/07/2021
(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: 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: Citigroup Inc. 
8. Registered office: 388 Greenwich Street, New York, 10013, USA
9. Principal place of business in Hong Kong: 50/F, Champion Tower, 3 Garden Road, Central, Hong Kong 
15. Exchange on which listed: NYSE
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
1316There has been a change in nature of your interest in the shares because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2502Approved lending agent
2502Approved lending agent
 994,774 HKD
Short position 
 
 
 		            
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position63,678,5585.02
Short position8,299,3280.65
Lending Pool51,149,7534.03
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position64,684,0335.10
Short position8,347,7350.65
Lending Pool51,985,1794.10
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2106Person having a security interest in shares
Long position42,000
Short position0
2201Interest of corporation controlled by you
Long position12,656,854
Short position8,347,735
2502Approved lending agent
Long position51,985,179
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position448,628
Short position63,000
4105Unlisted derivatives - Physically settled
Long position821,651
Short position765,451
4106Unlisted derivatives - Cash settled
Long position5,807,776
Short position7,113,379
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
Citicorp LLC388 Greenwich Street, New York, NY 10013, USACitigroup Inc.100.00N
Long position55,531,530
Short position7,720
Citibank, N.A.701 East 60th Street North, Sioux Falls, SD 57104, USACiticorp LLC100.00Y
Long position55,348,122
Short position7,720
Citigroup Global Markets Holdings Inc.388 Greenwich Street, New York, NY 10013, USACitigroup Inc.100.00N
Long position8,895,421
Short position8,340,015
Citigroup Financial Products Inc.388 Greenwich Street, New York, NY 10013, USACitigroup Global Markets Holdings Inc.100.00N
Long position8,895,421
Short position8,340,015
Citigroup Global Markets Europe Finance LimitedCitigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, EnglandCitigroup Financial Products Inc.100.00N
Long position431,454
Short position0
Citigroup Global Markets (International) Finance GmbHHardstrasse 201, Hofstrasse, Zurich CH-8005, SwitzerlandCitigroup Global Markets Europe Finance Limited100.00N
Long position431,454
Short position0
Citigroup Global Markets Switzerland Holding GmbHBaarerstrasse 14-16, Zug, 6300, SwitzerlandCitigroup Global Markets Europe Finance Limited100.00N
Long position431,454
Short position0
Citigroup Global Markets Overseas Finance Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Global Markets Switzerland Holding GmbH48.14N
Long position431,454
Short position0
Citigroup Global Markets Overseas Finance Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Global Markets (International) Finance GmbH51.86N
Long position431,454
Short position0
Citigroup Global Markets Hong Kong Holdings Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Global Markets Overseas Finance Limited100.00N
Long position431,454
Short position0
Citigroup First Investment Management Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Global Markets Hong Kong Holdings Limited100.00Y
Long position431,454
Short position0
Citigroup Global Markets Hong Kong Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Financial Products Inc.100.00Y
Long position1,907,198
Short position4,207,293
Citigroup Global Markets Inc.388 Greenwich Street, New York, NY 10013, USACitigroup Financial Products Inc.100.00Y
Long position50,266
Short position0
Citigroup Global Markets Holdings Bahamas LimitedCitibank Building, 110 Thompson Blvd., Nassau, BahamasCitigroup Financial Products Inc.90.00N
Long position6,506,503
Short position4,132,722
Citigroup Global Markets LimitedCitigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, EnglandCitigroup Global Markets Holdings Bahamas Limited100.00N
Long position1,613,847
Short position1,613,847
Citigroup Global Markets Funding Luxembourg S.C.A.31, Z.A. Bourmicht, Bertrange, L-8070, LuxembourgCitigroup Global Markets Limited100.00Y
Long position1,613,847
Short position1,613,847
Citigroup Global Markets LimitedCitigroup Centre, Canada Square, Canary Wharf, London E14 5LB, EnglandCitigroup Global Markets Holdings Bahamas Limited100.00Y
Long position4,892,656
Short position2,518,875
Citicorp Banking CorporationNew Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, DE 19720, USACitigroup Inc.100.00N
Long position257,082
Short position0
Citibank (Switzerland) AGHardstrasse 201, Zurich, 8005, SwitzerlandCiticorp Banking Corporation100.00Y
Long position257,082
Short position0
Citibank, N.A.701 East 60th Street North, Sioux Falls, SD 57104, USACiticorp LLC100.00N
Long position183,408
Short position0
Citibank Overseas Investment CorporationNew Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, DE 19720, USACitibank, N.A.100.00N
Long position164,165
Short position0
Citi Investments Bahamas Ltd.14 University Drive, P.O. Box N-1576, Nassau, BahamasCitibank Overseas Investment Corporation100.00N
Long position131,741
Short position0
Citi Overseas Holdings Bahamas Limited14 University Drive, N-1576, Nassau, BahamasCiti Investments Bahamas Ltd.100.00N
Long position131,741
Short position0
Citibank Holdings Ireland Limited1 North Wall Quay, Dublin, IrelandCiti Overseas Holdings Bahamas Limited100.00N
Long position131,741
Short position0
Citibank Europe plc1 North Wall Quay, Dublin, IrelandCitibank Holdings Ireland Limited100.00Y
Long position131,741
Short position0
Citi Overseas Investments Bahamas Inc.14 University Drive, N-1576, Nassau, BahamasCitibank Overseas Investment Corporation100.00N
Long position32,424
Short position0
Citigroup International Luxembourg Limited31, Z.A. Bourmicht, Bertrange, L-8070, LuxembourgCiti Overseas Investments Bahamas Inc.100.00N
Long position32,424
Short position0
Citigroup Participation Luxembourg Limited31, Z.A. Bourmicht, Bertrange, L-8070, LuxembourgCitigroup International Luxembourg Limited100.00N
Long position32,424
Short position0
Cititrust (Bahamas) Limited14 University Drive, P.O. Box N-1576, Nassau, BahamasCitigroup Participation Luxembourg Limited100.00Y
Long position32,424
Short position0
Citicorp Trust Delaware, National Association20 Montchanin Road, Suite 180, Greenville, DE 19807, USACitibank, N.A.100.00Y
Long position5,712
Short position0
Citicorp Trust South Dakota701 East 60th Street North, Sioux Falls, SD 57104, USACitibank, N.A.100.00Y
Long position13,531
Short position0

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
  
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: The percentage level of Citigroup Inc.'s interest in the shares held in the lending pool of the approved lending agent has increased. Hence, the percentage figure of shares in which our interest is unchanged passed through a percentage level.
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: 19/07/2021
(dd/mm/yyyy)