FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20180228E00280
1.
Date of relevant event
:
23/02/2018
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
27/02/2018
(dd/mm/yyyy)
3.
Stock code
:
00005
4.
Name of listed corporation
:
HSBC Holdings plc
5.
Class of shares
:
Ordinary Shares
6.
Number of issued shares in class
:
20,321,169,034
7.
Name of substantial shareholder
:
JPMorgan Chase & Co.
8.
Registered office
:
270 Park Avenue, New York 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
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
16,352,228
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
1,042,077,951
5.12
Short position
397,297,614
1.95
Lending Pool
443,951,842
2.18
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
1,080,455,133
5.31
Short position
413,649,842
2.03
Lending Pool
470,862,687
2.31
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2101
Beneficial owner
Long position
445,739,396
Short position
413,649,842
2102
Investment manager
Long position
163,626,725
Short position
0
2301
Trustee
Long position
226,325
Short position
0
2502
Approved lending agent
Long position
470,862,687
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4101
Listed derivatives - Physically settled
Long position
34,668,815
Short position
5,147,410
4102
Listed derivatives - Cash settled
Long position
1,891,600
Short position
32,074,880
4105
Unlisted derivatives - Physically settled
Long position
8,961,172
Short position
4,789,473
4106
Unlisted derivatives - Cash settled
Long position
6,605,751
Short position
58,412,703
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 Securities LLC
383 Madison Ave., New York, New York, NY, 10179, United States
J.P. Morgan Broker-Dealer Holdings Inc
100.00
Y
Long position
50,412,482
Short position
30,634,758
JF Asset Management Limited
21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong Kong
JPMorgan Asset Management Holdings Inc
0.01
Y
Long position
39,910,987
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.
99.99
Y
Long position
39,910,987
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
145,080
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
33,517,441
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
190,720
Short position
0
J.P. Morgan International Bank Limited
1 Knightsbridge, London, SW1X 7LX, London, SW1X 7LX, England
J.P. Morgan Capital Holdings Limited
100.00
Y
Long position
36,585
Short position
0
J.P. Morgan Whitefriars LLC
500 Stanton Christiana Road, /DE File No. 0867618, Newark, New Castle, DE, DE, 19713, United States
J.P. Morgan Overseas Capital LLC
100.00
Y
Long position
3,457,235
Short position
6,108,211
J.P. Morgan Equity Holdings, Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
190,720
Short position
0
J.P. Morgan International Finance Limited
500 Stanton Christiana Road, Newark, DE2, DE, 19713, United States
JPMorgan Chase Bank, N.A.
100.00
N
Long position
395,363,499
Short position
383,015,084
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
N
Long position
193,200
Short position
0
J.P. Morgan Securities plc
25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, England
J.P. Morgan Capital Holdings Limited
100.00
Y
Long position
391,869,679
Short position
376,906,873
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
486,906,483
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
73,815,241
Short position
0
China International Fund Management Co Ltd
99 Fu Cheng Road, 20th Floor, Aurora Plaza, Shanghai, 200120, China
JPMorgan Asset Management (UK) Limited
49.00
Y
Long position
193,200
Short position
0
J.P. Morgan Broker-Dealer Holdings Inc
Corporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
50,412,482
Short position
30,634,758
J.P. Morgan Capital Holdings Limited
6 route de Trèves, Senningerberg, L-2633, Luxembourg
J.P. Morgan International Finance Limited
100.00
N
Long position
391,906,264
Short position
376,906,873
JPMorgan Asset Management Holdings Inc
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase Holdings LLC
100.00
N
Long position
187,492,936
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
40,056,067
Short position
0
JPMorgan Asset Management Holdings (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management International Limited
100.00
N
Long position
74,008,441
Short position
0
JPMorgan Chase Holdings LLC
270 Park Avenue, New York, New York, NY, NY, 10017, United States
JPMorgan Chase & Co.
100.00
N
Long position
238,096,138
Short position
30,634,758
J.P. Morgan Overseas Capital LLC
500 Stanton Christiana Road, Newark, New Castle, DE, DE, 19713-2107, United States
J.P. Morgan International Finance Limited
100.00
N
Long position
3,457,235
Short position
6,108,211
JPMorgan Asset Management International Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
74,008,441
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
395,363,499
Short position
383,015,084
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
N.A
Addresses of individuals are not displayed.
5101
Trustee of a trust
Long position
226,325
Short position
0
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, due to a decrease in our security interest in the shares.
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
:
28/02/2018
(dd/mm/yyyy)