FORM 2 - Corporate Substantial Shareholder Notice
Form Serial No
:
CS20160405000157
1.
Name of listed corporation
:
Hong Kong Exchanges and Clearing Ltd.
2.
Stock code
:
00388
3.
Class of shares
:
Ordinary Shares
4.
Number of issued shares in class
:
1,208,536,325
5.
Name of substantial shareholder
:
JPMorgan Chase & Co.
6.
Registered office
:
270 Park Avenue, New York 10017, United States
7.
Principal place of business in Hong Kong
:
N/A
13.
Exchange on which listed
:
New York Stock Exchange
14.
Name of listed parent and exchange on which parent is listed
:
N/A
15.
Date of relevant event
:
01/04/2016
(dd/mm/yyyy)
16.
Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later)
:
05/04/2016
(dd/mm/yyyy)
17.
Details of relevant event
:
Relevant event code describing circumstances
Code describing 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
Consideration code
Long position
117
205
205
434,060
HKD
185.961
184.411
186.800
301
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
72,527,298
6.00
Short Position
6,135,051
0.50
Lending Pool
35,901,189
2.97
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
72,093,238
5.96
Short Position
4,874,651
0.40
Lending Pool
35,911,216
2.97
20.
Capacity in which interests disclosed in Box 19 are held
:
Code describing capacity
Number of shares
201
Long position
32,337,777
Short position
4,874,651
202
Long position
3,842,442
Short position
0
207
Long position
1,803
Short position
0
208
Long position
35,911,216
Short position
0
21.
Further information in respect of derivative interests
:
Code describing derivatives
Number of shares
401
Long position
1,210,923
Short position
1,025,483
402
Long position
629,800
Short position
3,009,940
403
Long position
95,624
Short position
87,891
404
Long position
448,370
Short position
514,927
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 shareholder
% control
Direct interest
Number of shares
J.P. Morgan Securities LLC
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
J.P. Morgan Broker-Dealer Holdings Inc
100.00
Y
Long position
8,360,867
Short position
56,737
J.P. Morgan Clearing Corp
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
J.P. Morgan Securities LLC
100.00
Y
Long position
48,916
Short position
25,000
JF International Management Inc.
Palm Grove House,P.O. Box 438, Road Town, Tortola, British Virgin Islands., Tortola, British Virgin Islands
JPMorgan Asset Management (Asia) Inc.
100.00
Y
Long position
157,895
Short position
0
JF Asset Management Limited
21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong Kong
JPMorgan Asset Management (Asia) Inc.
100.00
Y
Long position
2,712,103
Short position
0
JPMorgan Asset Management (Taiwan) Limited
20F & 21, No.1 Song Zhi Rd,Xin Yi District, Taipei City, Taiwan., Taipei, 110, Taiwan Province of China
JPMorgan Asset Management (Asia) Inc.
100.00
Y
Long position
331,785
Short position
0
J.P. Morgan Investment Management Inc.
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
JPMorgan Asset Management Holdings Inc
100.00
Y
Long position
251,400
Short position
0
J.P. Morgan Trust Company of Delaware
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
J.P. Morgan Equity Holdings, Inc.
100.00
Y
Long position
1,494
Short position
0
J.P. Morgan Whitefriars Inc.
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
J.P. Morgan Overseas Capital Corporation
100.00
Y
Long position
12,073,710
Short position
3,350,950
Bank One International Holdings Corporation
1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United States
J.P. Morgan International Inc.
100.00
N
Long position
35,782,278
Short position
6,234,878
J.P. Morgan International Inc.
270 Park Avenue, New York NY 10017, New York, New York, NY, NY, 10017, United States
JPMorgan Chase Bank, N.A.
100.00
N
Long position
35,782,278
Short position
6,234,878
J.P. Morgan Chase International Holdings
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Chase (UK) Holdings Limited
100.00
N
Long position
11,854,284
Short position
1,441,964
J.P. Morgan Securities plc
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Capital Financing Limited
0.59
Y
Long position
11,854,284
Short position
1,441,964
J.P. Morgan Securities plc
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Chase International Holdings
99.41
Y
Long position
11,854,284
Short position
1,441,964
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
35,950,679
Short position
0
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
Y
Long position
72,100
Short position
0
China International Fund Management Co Ltd
20th Floor, Aurora Plaza, 99 Fu Cheng Road,Pudong, Shanghai 200120, China., Shanghai, 200120, China
JPMorgan Asset Management (UK) Limited
49.00
Y
Long position
278,005
Short position
0
J.P. Morgan Capital Financing Limited
25, Bank Street, Canary Wharf, London, E14 5JP, England
JPMorgan Chase & Co.
100.00
N
Long position
11,854,284
Short position
1,441,964
J.P. Morgan Securities LLC
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
J.P. Morgan Broker-Dealer Holdings Inc
100.00
N
Long position
48,916
Short position
25,000
J.P. Morgan Broker-Dealer Holdings Inc
Corporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
8,409,783
Short position
81,737
J.P. Morgan Capital Holdings Limited
6 route de Trèves, Senningerberg, L-2633, Luxembourg
J.P. Morgan Overseas Capital Corporation
27.27
N
Long position
11,854,284
Short position
1,441,964
J.P. Morgan Capital Holdings Limited
6 route de Trèves, Senningerberg, L-2633, Luxembourg
J.P. Morgan International Finance Limited
72.73
N
Long position
11,854,284
Short position
1,441,964
JPMorgan Asset Management Holdings Inc
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
3,803,288
Short position
0
JPMorgan Asset Management (Asia) Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
3,201,783
Short position
0
J.P. Morgan Chase (UK) Holdings Limited
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Capital Holdings Limited
100.00
N
Long position
11,854,284
Short position
1,441,964
JPMorgan Asset Management Holdings (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management International Limited
100.00
N
Long position
350,105
Short position
0
J.P. Morgan Overseas Capital Corporation
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
J.P. Morgan International Finance Limited
100.00
N
Long position
23,927,994
Short position
4,792,914
JPMorgan Asset Management International Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
350,105
Short position
0
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
N
Long position
35,782,278
Short position
6,234,878
J.P. Morgan Equity Holdings, Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
1,494
Short position
0
J.P. Morgan International Finance Limited
500 Stanton Christiana Road, Newark, DE2, DE, 19713, United States
Bank One International Holdings Corporation
100.00
N
Long position
35,782,278
Short position
6,234,878
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
N
Long position
278,005
Short position
0
23.
Further information in relation to interests held by substantial shareholder jointly with another person
:
Name of joint shareholder
Address
Number of shares
Nil
24.
Further information from a trustee, or beneficiary of a trust, or a founder of a Discretionary Trust
:
Names of Trust
Address
Status code
Number of shares
(Private)
Addresses of individuals are not displayed.
501
Long position
1,803
Short position
0
25.
Further information from a party to an agreement under Section 317
:
Names of other parties
Address
Number of shares
Nil
Total number of shares in which substantial shareholder is interested under section 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
%
Nil
27.
Date of filing this Form 2
:
05/04/2016
(dd/mm/yyyy)
29.
Number of attachments
: