FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20180620E00296 
1. Date of relevant event: 15/06/2018
(dd/mm/yyyy)
2. Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): 19/06/2018
(dd/mm/yyyy)
3. Stock code: 00763
4. Name of listed corporation: ZTE Corporation - H Shares 
5. Class of shares: H Shares 
6. Number of issued shares in class: 755,502,534
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
16012Approved Lending Agents
Notice under section 5(4) of the Securities and Futures (Disclosure of Interests – Securities Borrowing and Lending) Rules by an approved lending agent (choose one):
the percentage level of your interest in the shares held in your lending pool is taken to have reduced
2201Interest of corporation controlled by you
2201Interest of corporation controlled by you
 7,363,167 HKD 15.0400 13.3720
Short position 
1502You ceased to have a short position of 1% or more in the shares, or the percentage level of your short position in such shares decreased because:
you returned the shares borrowed under a securities borrowing and lending agreement
 
2201Interest of corporation controlled by you
 
2201Interest of corporation controlled by you
 		 3,565,164           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position46,123,5136.10
Short position17,329,5802.29
Lending Pool19,543,0072.58
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position38,760,3465.13
Short position13,764,4161.82
Lending Pool15,596,2072.06
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2101Beneficial owner
Long position23,091,739
Short position13,764,416
2102Investment manager
Long position72,400
Short position0
2502Approved lending agent
Long position15,596,207
Short position0

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4102Listed derivatives - Cash settled
Long position0
Short position782,800
4105Unlisted derivatives - Physically settled
Long position2,238,400
Short position622,035
4106Unlisted derivatives - Cash settled
Long position514,400
Short position2,369,826
22. Further information in relation to interests of corporations controlled by substantial shareholder:
Name of controlled corporationAddress and place of incorporationName of controlling person% controlDirect interest (Y/N)Number of shares
J.P. Morgan Securities LLC383 Madison Ave., New York, New York, NY, 10179, United StatesJ.P. Morgan Broker-Dealer Holdings Inc100.00Y
Long position1,083,401
Short position1,078,000
J.P. Morgan Investment Management Inc.c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJPMorgan Asset Management Holdings Inc100.00Y
Long position72,400
Short position0
J.P. Morgan Whitefriars LLC500 Stanton Christiana Road, /DE File No. 0867618, Newark, New Castle, DE, DE, 19713, United StatesJ.P. Morgan Overseas Capital LLC100.00Y
Long position0
Short position2,390,260
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Holdings Limited100.00Y
Long position22,008,338
Short position10,296,156
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position15,596,207
Short position0
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase Holdings LLC100.00N
Long position1,083,401
Short position1,078,000
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited100.00N
Long position22,008,338
Short position10,296,156
JPMorgan Asset Management Holdings Incc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase Holdings LLC100.00N
Long position72,400
Short position0
J.P. Morgan Overseas Capital LLC500 Stanton Christiana Road, Newark, New Castle, DE, DE, 19713-2107, United StatesJ.P. Morgan International Finance Limited100.00N
Long position0
Short position2,390,260
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00N
Long position22,008,338
Short position12,686,416
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesJPMorgan Chase Bank, N.A.100.00N
Long position22,008,338
Short position12,686,416
JPMorgan Chase Holdings LLC270 Park Avenue, New York, New York, NY, NY, 10017, United StatesJPMorgan Chase & Co.100.00N
Long position1,155,801
Short position1,078,000

23. Further information in relation to interests held by substantial shareholder jointly with another person:
Name of joint shareholderAddressNumber of shares
 
24. Further information from a trustee, a beneficiary of a trust, or a person who set up a discretionary trust:
Names of trustAddressStatus codeNumber of shares
  
25. Further information from a party to an agreement under Section 317 (Please see Notes for further information required):
Names of other partiesAddressNumber 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:
NamesAddressRelationship CodePercentage (%)
  
 
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: 20/06/2018
(dd/mm/yyyy)