FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20260617E00169
1.
Date of relevant event
:
12/06/2026
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
16/06/2026
(dd/mm/yyyy)
3.
Stock code
:
06886
4.
Name of listed corporation
:
Huatai Securities Co., Ltd. - H Shares
5.
Class of shares
:
H Shares
6.
Number of issued shares in class
:
1,719,045,680
7.
Name of substantial shareholder
:
JPMorgan Chase & Co.
8.
Registered office
:
270 Park Avenue, New York, New York, NY, 10017, 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
1001
You first acquire a notifiable interest because:
you purchased the shares
2201
Interest of corporation controlled by you
2201
Interest of corporation controlled by you
3,282,062
HKD
17.3400
17.1128
17.0968
3101
Cash
Short position
1403
You 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:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
2201
Interest of corporation controlled by you
4,225,544
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
82,798,198
4.81
Short position
40,457,520
2.35
Lending Pool
30,430,563
1.77
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
86,080,260
5.00
Short position
44,683,064
2.59
Lending Pool
29,173,563
1.69
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2101
Beneficial owner
Long position
46,485,481
Short position
44,673,464
2102
Investment manager
Long position
303,800
Short position
9,600
2106
Person having a security interest in shares
Long position
10,117,416
Short position
0
2502
Approved lending agent
Long position
29,173,563
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4102
Listed derivatives - Cash settled
Long position
0
Short position
7,400
4105
Unlisted derivatives - Physically settled
Long position
362,393
Short position
1,985,778
4106
Unlisted derivatives - Cash settled
Long position
9,962,088
Short position
8,869,724
4103
Listed derivatives - Convertible instruments
Long position
37,817,256
Short position
25,380,709
22.
Further information in relation to interests of corporations controlled by substantial shareholder
:
Name of controlled corporation
Address and place of incorporation
Name of controlling person
% control
Direct interest (Y/N)
Number of shares
J.P. Morgan SE
TaunusTurm Taunustor 1 Frankfurt am Main Frankfurt 60310 Germany
J.P. Morgan International Finance Limited
100.00
Y
Long position
200
Short position
0
J.P. Morgan Securities LLC
270 Park Avenue New York NY 10017 United States
J.P. Morgan Broker-Dealer Holdings Inc.
100.00
Y
Long position
6,302,180
Short position
1,276,800
J.P. Morgan Investment Management Inc.
270 Park Avenue New York NY 10017 United States
JPMorgan Asset Management Holdings Inc.
100.00
Y
Long position
81,600
Short position
0
J.P. Morgan Prime Inc.
270 Park Avenue New York NY 10017 United States
J.P. Morgan Securities LLC
100.00
Y
Long position
152,863
Short position
152,863
JPMorgan Chase Bank, National Association
1111 Polaris Parkway Columbus OH 43240 United States
JPMorgan Chase & Co.
100.00
Y
Long position
29,395,763
Short position
0
J.P. Morgan Alternative Asset Management, Inc.
270 Park Avenue New York NY 10017 United States
JPMorgan Asset Management Holdings Inc.
100.00
Y
Long position
0
Short position
9,600
J.P. MORGAN SECURITIES PLC
25 Bank Street Canary Wharf London E14 5JP England
J.P. MORGAN CAPITAL HOLDINGS LIMITED
100.00
Y
Long position
50,147,654
Short position
43,243,801
J.P. Morgan International Finance Limited
270 Park Avenue New York NY 10017 United States
JPMorgan Chase Bank, National Association
100.00
N
Long position
50,147,854
Short position
43,243,801
JPMorgan Chase Bank, National Association
1111 Polaris Parkway Columbus OH 43240 United States
JPMorgan Chase & Co.
100.00
N
Long position
50,147,854
Short position
43,243,801
J.P. Morgan Broker-Dealer Holdings Inc.
4 Chase Metrotech Center 4th Floor Brooklyn NY 11245 United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
6,455,043
Short position
1,429,663
JPMorgan Chase Holdings LLC
270 Park Avenue New York NY 10017 United States
JPMorgan Chase & Co.
100.00
N
Long position
6,536,643
Short position
1,439,263
JPMorgan Asset Management Holdings Inc.
270 Park Avenue New York NY 10017 United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
81,600
Short position
9,600
J.P. Morgan Securities LLC
270 Park Avenue New York NY 10017 United States
J.P. Morgan Broker-Dealer Holdings Inc.
100.00
N
Long position
152,863
Short position
152,863
J.P. MORGAN CAPITAL HOLDINGS LIMITED
25 Bank Street Canary Wharf London E14 5JP England
J.P. Morgan International Finance Limited
100.00
N
Long position
50,147,654
Short position
43,243,801
23.
Further information in relation to interests held by substantial shareholder jointly with another person
:
Name of joint shareholder
Address
Number of shares
24.
Further information from a trustee, a beneficiary of a trust, or a person who set up a discretionary trust
:
Names of trust
Address
Status code
Number of shares
25.
Further information from a party to an agreement under Section 317 (Please see Notes for further information required)
:
Names of other parties
Address
Number 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
:
Names
Address
Relationship Code
Percentage (%)
27.
Supplementary information
:
JP Morgan Chase & Co. 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.
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
:
17/06/2026
(dd/mm/yyyy)