FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20180824E00340
(Superseded by CS20180828E00397)
1.
Date of relevant event
:
21/08/2018
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
(dd/mm/yyyy)
3.
Stock code
:
00388
4.
Name of listed corporation
:
Hong Kong Exchanges and Clearing Ltd.
5.
Class of shares
:
Ordinary Shares
6.
Number of issued shares in class
:
1,246,759,255
7.
Name of substantial shareholder
:
UBS Group AG
8.
Registered office
:
BAHNHOFSTRASSE 45 8001 ZURICH SWITZERLAND
9.
Principal place of business in Hong Kong
:
52/F TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG
15.
Exchange on which listed
:
SIX Swiss Exchange AG
16.
Name of listed parent and exchange on which parent is listed
:
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
11033
The percentage level of your interest in the shares has increased because:
you became the holder of, wrote or issued equity derivatives under which (choose one):
you have a right to receive from another person an amount if the price of the underlying shares is above a certain level
2201
Interest of corporation controlled by you
86,916,087
HKD
Short position
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
69,241,302
5.55
Short position
73,365,417
5.88
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
156,157,389
12.53
Short position
73,365,417
5.88
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2106
Person having a security interest in shares
Long position
3,685,766
Short position
0
2201
Interest of corporation controlled by you
Long position
152,471,623
Short position
73,365,417
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4101
Listed derivatives - Physically settled
Long position
2,709,944
Short position
7,859,000
4102
Listed derivatives - Cash settled
Long position
86,942,687
Short position
4,756,500
4105
Unlisted derivatives - Physically settled
Long position
4,378,687
Short position
15,674,438
4106
Unlisted derivatives - Cash settled
Long position
412,000
Short position
6,003,726
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
UBS AG
Bahnhofstrasse 45, 8001 Zürich, Switzerland
UBS Group AG
100.00
Y
Long position
139,795,732
Short position
72,702,372
UBS Financial Services Inc.
Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington DE 19808, Delaware, USA
UBS Group AG
100.00
Y
Long position
11,957
Short position
0
UBS Switzerland AG
Bahnhofstrasse 45, 8001 Zürich, Switzerland
UBS Group AG
100.00
Y
Long position
65,781
Short position
0
UBS Asset Management (Americas) Inc.
Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington, 19808 DE, USA
UBS Group AG
100.00
Y
Long position
1,938
Short position
0
UBS Asset Management (Australia) Ltd
Level 16, Chifley Tower, 2 Chifley Square, Sydney NSW 2000, Australia
UBS Group AG
100.00
Y
Long position
172,334
Short position
0
UBS Asset Management (Deutschland) GmbH
Bockenheimer Landstrasse 2-4, 60306 Frankfurt am Main, Germany
UBS Group AG
100.00
Y
Long position
28,775
Short position
0
UBS Asset Management (Hong Kong) Ltd
45-52 Floors, Two International Finance Centre, 8 Finance Street, Central, Hong Kong
UBS Group AG
100.00
Y
Long position
1,400,958
Short position
125,275
UBS Asset Management Life Limited
21 Lombard Street, London EC3V9AH, United Kingdom
UBS Group AG
100.00
Y
Long position
430,757
Short position
0
UBS Asset Management (Singapore) Ltd
One Raffles Quay, #50-01 North Tower, Singapore 048583, Singapore
UBS Group AG
100.00
Y
Long position
2,198
Short position
0
UBS Asset Management Trust Company
Illinois Corporation Service Company 801 Adlai Stevenson Drive, Springfield 62703, USA
UBS Group AG
100.00
Y
Long position
47,689
Short position
0
UBS Asset Management (UK) Limited
21 Lombard Street, London EC3V9AH, United Kingdom
UBS Group AG
100.00
Y
Long position
2,240,688
Short position
0
UBS Fund Management (Luxembourg) S.A.
33A avenue J.F. Kennedy, Luxembourg
UBS Group AG
100.00
Y
Long position
6,192,017
Short position
0
UBS Fund Management (Switzerland) AG
Brunngässlein 12, 4052 Basel, Switzerland
UBS Group AG
100.00
Y
Long position
1,535,067
Short position
0
UBS Third Party Management Company S.A.
33A avenue J.F. Kennedy, Luxembourg
UBS Group AG
100.00
Y
Long position
3,032
Short position
0
UBS Limited
1 Finsbury Avenue, London EC2M 2PP, United Kingdom
UBS Group AG
100.00
Y
Long position
156,602
Short position
151,672
UBS Securities LLC
Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington DE 19808, Delaware, USA
UBS Group AG
100.00
Y
Long position
386,098
Short position
386,098
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
:
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
:
24/08/2018
(dd/mm/yyyy)