Form 4 - Listed Corporation Notice - Findings Of Investigation Report
 
Form Serial Number: IR20191206E00180 
1. Date specified in the s.329 notice for determining interests or short position in shares to be disclosed ("Specified Date"): 26/11/2019
(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):
NameTotal number of shares
(long position)
Name of person interested in shares
JPMorgan Chase Bank (London)144,328,381Shares held on behalf of their investors
Credit Suisse Singapore Branch8,439,620Shares held on behalf of their investors
Pictet & Cie (Europe) SA3,244,199Shares held on behalf of their investors
CACEIS Bank3,719,633Shares 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):
NameTotal 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: 1
18. Number of concert party document(s) under section 317 attached/uploaded: