FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20211019E00583 
1. Date of relevant event: 13/10/2021
(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
1013You first acquire a notifiable interest because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2502Approved lending agent
 5,198,906 HKD
Short position 
 
 
 		            
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position62,481,4364.92
Short position9,100,5840.71
Lending Pool51,001,3534.02
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position67,680,3425.33
Short position9,110,7910.71
Lending Pool56,203,1844.43
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2201Interest of corporation controlled by you
Long position11,477,158
Short position9,110,791
2502Approved lending agent
Long position56,203,184
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4101Listed derivatives - Physically settled
Long position884,601
Short position387,900
4105Unlisted derivatives - Physically settled
Long position318,338
Short position2,109,563
4106Unlisted derivatives - Cash settled
Long position4,339,212
Short position5,986,280
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 position59,325,426
Short position61,718
Citibank, N.A.701 East 60th Street North, Sioux Falls, SD 57104, USACiticorp LLC100.00Y
Long position59,140,503
Short position61,718
Citigroup Global Markets Holdings Inc.388 Greenwich Street, New York, NY 10013, USACitigroup Inc.100.00N
Long position8,115,338
Short position9,049,073
Citigroup Financial Products Inc.388 Greenwich Street, New York, NY 10013, USACitigroup Global Markets Holdings Inc.100.00N
Long position8,115,338
Short position9,049,073
Citigroup Global Markets Europe Finance LimitedCitigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, EnglandCitigroup Financial Products Inc.100.00N
Long position382,439
Short position0
Citigroup Global Markets (International) Finance GmbHHardstrasse 201, Hofstrasse, Zurich CH-8005, SwitzerlandCitigroup Global Markets Europe Finance Limited100.00N
Long position382,439
Short position0
Citigroup Global Markets Switzerland Holding GmbHBaarerstrasse 14-16, Zug, 6300, SwitzerlandCitigroup Global Markets Europe Finance Limited100.00N
Long position382,439
Short position0
Citigroup Global Markets Overseas Finance Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Global Markets Switzerland Holding GmbH48.14N
Long position382,439
Short position0
Citigroup Global Markets Overseas Finance Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Global Markets (International) Finance GmbH51.86N
Long position382,439
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 position382,439
Short position0
Citigroup First Investment Management Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Global Markets Hong Kong Holdings Limited100.00Y
Long position382,439
Short position0
Citigroup Global Markets Hong Kong Limited50/F, Champion Tower, Three Garden Road, Central, Hong KongCitigroup Financial Products Inc.100.00Y
Long position1,278,871
Short position5,655,858
Citigroup Global Markets Inc.388 Greenwich Street, New York, NY 10013, USACitigroup Financial Products Inc.100.00Y
Long position10,530
Short position0
Citigroup Global Markets Holdings Bahamas LimitedCitibank Building, 110 Thompson Blvd., Nassau, BahamasCitigroup Financial Products Inc.90.00N
Long position6,443,498
Short position3,393,215
Citigroup Global Markets LimitedCitigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, EnglandCitigroup Global Markets Holdings Bahamas Limited100.00N
Long position1,346,132
Short position1,346,132
Citigroup Global Markets Funding Luxembourg S.C.A.31, Z.A. Bourmicht, Bertrange, L-8070, LuxembourgCitigroup Global Markets Limited100.00Y
Long position1,346,132
Short position1,346,132
Citigroup Global Markets LimitedCitigroup Centre, Canada Square, Canary Wharf, London E14 5LB, EnglandCitigroup Global Markets Holdings Bahamas Limited100.00Y
Long position5,097,366
Short position2,047,083
Citicorp Banking CorporationNew Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, DE 19720, USACitigroup Inc.100.00N
Long position239,578
Short position0
Citibank (Switzerland) AGHardstrasse 201, Zurich, 8005, SwitzerlandCiticorp Banking Corporation100.00Y
Long position239,578
Short position0
Citibank, N.A.701 East 60th Street North, Sioux Falls, SD 57104, USACiticorp LLC100.00N
Long position184,923
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 position164,562
Short position0
Citi Investments Bahamas Ltd.14 University Drive, P.O. Box N-1576, Nassau, BahamasCitibank Overseas Investment Corporation100.00N
Long position132,138
Short position0
Citi Overseas Holdings Bahamas Limited14 University Drive, N-1576, Nassau, BahamasCiti Investments Bahamas Ltd.100.00N
Long position132,138
Short position0
Citibank Holdings Ireland Limited1 North Wall Quay, Dublin, IrelandCiti Overseas Holdings Bahamas Limited100.00N
Long position132,138
Short position0
Citibank Europe plc1 North Wall Quay, Dublin, IrelandCitibank Holdings Ireland Limited100.00Y
Long position132,138
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 position5,700
Short position0
Citicorp Trust South Dakota701 East 60th Street North, Sioux Falls, SD 57104, USACitibank, N.A.100.00Y
Long position14,661
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: Percentage level of Citigroup Inc.'s interest in the shares held in the lending pool has increased.
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: 19/10/2021
(dd/mm/yyyy)