FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20180801E00300
1.
Date of relevant event
:
27/07/2018
(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
:
02800
4.
Name of listed corporation
:
Tracker Fund of Hong Kong
5.
Class of shares
:
Units / Unit Trusts
6.
Number of issued shares in class
:
3,094,992,500
7.
Name of substantial shareholder
:
Citigroup Inc.
8.
Registered office
:
388 Greenwich Street, New York, 10013, USA
9.
Principal place of business in Hong Kong
:
50/F, Champion Tower, 3 Garden Road, Central, Hong Kong
15.
Exchange on which listed
:
NYSE
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
10032
You first acquire a notifiable interest because:
you became the holder of, wrote or issued equity derivatives under which (choose one):
you are under an obligation to take the underlying shares
2201
Interest of corporation controlled by you
182,500,000
HKD
Short position
14012
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:
you became the holder of, wrote or issued equity derivatives under which (choose one):
you are under an obligation to deliver the underlying shares
2201
Interest of corporation controlled by you
182,500,000
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
138,564,646
4.47
Short position
88,071,704
2.84
Lending Pool
0
0.00
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
321,064,646
10.37
Short position
270,571,704
8.74
Lending Pool
0
0.00
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2201
Interest of corporation controlled by you
Long position
321,064,646
Short position
270,571,704
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4105
Unlisted derivatives - Physically settled
Long position
313,900
Short position
489,999
4106
Unlisted derivatives - Cash settled
Long position
269,750,000
Short position
270,081,705
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
Citigroup Global Markets Holdings Inc.
388 Greenwich Street, New York, New York, NY, 10013, United States
Citigroup Inc.
100.00
N
Long position
321,064,646
Short position
270,571,704
Citigroup Financial Products Inc.
388 Greenwich Street, New York, New York, NY, 10013, United States
Citigroup Global Markets Holdings Inc.
100.00
N
Long position
321,064,646
Short position
270,571,704
Citigroup Global Markets Hong Kong Limited
50/F, Champion Tower, Three Garden Road, Central, 3 Garden Road,Central, Hong Kong, Hong Kong
Citigroup Financial Products Inc.
100.00
Y
Long position
183,205,200
Short position
88,071,704
Citigroup Global Markets (International) Finance AG
Prime Tower, Hardstrasse 201, CH-8005, Zurich, ZH, Switzerland
Citigroup Financial Products Inc.
100.00
N
Long position
137,859,446
Short position
182,500,000
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Global Markets (International) Finance AG
50.20
N
Long position
137,859,446
Short position
182,500,000
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Financial Products Inc.
49.50
N
Long position
137,859,446
Short position
182,500,000
Citigroup Global Markets Limited
Citigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, England
Citigroup Global Markets Holdings Bahamas Limited
92.00
Y
Long position
137,859,446
Short position
182,500,000
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
:
01/08/2018
(dd/mm/yyyy)