Hong Kong Exchanges and Clearing Limited

Form 4 - Listed Corporation Notice - Findings Of Investigation Report

Form Serial Number:

IR20190816E00160

1. Date specified in the s.329 notice for determining interests or short position in shares to be disclosed ("Specified Date"):

13/08/2019
(dd/mm/yyyy)

2. Stock code of listed corporation:

00998

3. Name of listed corporation filing this s.330/333 notice:

China CITIC Bank Corporation Ltd - H Shares

4. Class of shares of listed corporation specified in the s.329 notice:

Ordinary

5. Threshold shareholding set in the s.329 notice for disclosure obligation (if any):

(i) PERSONS INTERESTED IN SHARES OR HAVING SHORT POSITION IN SHARES ON THE SPECIFIED DATE (EXCLUDING DERIVATIVE INTERESTS)

11. Information provided in response to the s.329 notice concerning persons interested in shares on the Specified Date (excluding derivative interests):

Name	Total number of shares (long position)	Name of person interested in shares
Credit Suisse Securities (Hong Kong) Ltd	18,581,412	Shares held on behalf of their investors
UBS Securities Hong Kong Ltd	2,704,172,555	Shares held on behalf of their investors
CACEIS Bank Luxembourg	8,677,000	Shares held on behalf of their investors
CACEIS Bank	2,342,600	Shares held on behalf of their investors
JPMorgan Chase Bank (London)	100,024,636	Shares held on behalf of their investors
HSBC International Trustee, The Hong Kong & Shanghai Banking Corporation Limited & HSBC Institutional Trust Services (Asia) Limited	226,476,376	Shares held on behalf of their investors
JPMorgan Chase Bank, National Association	973,359,924	Shares held on behalf of their investors
Morgan Stanley & Co LLC, Morgan Stanley & Co International plc	184,218,086	Shares held on behalf of their investors
BNP Paribas Securities Services [BP2S] Sydney	17,269,278	Shares held on behalf of their investors
Northern Trust Company	223,553,014	Shares held on behalf of their investors
The Bank of New York Mellon (Brussels)	749,188,006	Shares held on behalf of their investors

12. Information provided in response to the s.329 notice concerning persons having short position in shares on the Specified Date (excluding derivative interests):

Name	Total number of shares (short position)	Name of person having short position in shares

(ii) PERSONS INTERESTED IN SHARES ON THE SPECIFIED DATE (DERIVATIVE INTERESTS ONLY)

13. Information provided in response to the s.329 notice concerning persons interested in shares which are the underlying shares of equity derivatives on the Specified Date:

Name	Total number of shares		Name of person interested in shares
	Long position	Short position

(iii) PERSONS ACTING IN CONCERT OR SUBJECT TO AN AGREEMENT RELATING TO THE EXERCISE OF RIGHTS UNDER SHARES

14. Information of parties to an agreement to which section 317 of the SFO applies, or any agreement relating to the exercise of the rights in respect of shares, on the Specified Date:

Name of parties	Total number of shares (excluding derivative interests)		Total number of shares (derivative interests only)		Name of person interested in shares
	Long position	Short position	Long position	Short position

15. Supplementary information:

16. Log/Serial Number of the previous form:

17. Number of investigation report(s) attached/uploaded:

18. Number of concert party document(s) under section 317 attached/uploaded: