FORM 2 - Corporate Substantial Shareholder Notice
Form Serial No
:
CS20160322000154
1.
Name of listed corporation
:
China CITIC Bank Corporation Ltd. - H Shares
2.
Stock code
:
00998
3.
Class of shares
:
H Shares
4.
Number of issued shares in class
:
14,882,162,977
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
:
18/03/2016
(dd/mm/yyyy)
16.
Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later)
:
22/03/2016
(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
3,505,000
HKD
4.885
4.878
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
1,338,124,003
8.99
Short Position
24,275,262
0.16
Lending Pool
207,352,960
1.39
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
1,341,629,003
9.01
Short Position
24,686,262
0.16
Lending Pool
207,368,960
1.39
20.
Capacity in which interests disclosed in Box 19 are held
:
Code describing capacity
Number of shares
201
Long position
848,149,043
Short position
24,686,262
202
Long position
286,111,000
Short position
0
208
Long position
207,368,960
Short position
0
21.
Further information in respect of derivative interests
:
Code describing derivatives
Number of shares
401
Long position
1,261,000
Short position
1,002,000
402
Long position
0
Short position
5,702,000
403
Long position
5,787
Short position
5,528
404
Long position
49,864,734
Short position
17,976,734
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
24,973,787
Short position
5,528
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
407,203
Short position
0
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
1,432,000
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
159,631,000
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
11,089,000
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
56,883,000
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
333,334,789
Short position
20,761,000
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
489,433,264
Short position
3,707,734
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
1,312,201,317
Short position
28,388,468
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
1,312,201,317
Short position
28,388,468
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
489,433,264
Short position
3,707,734
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
489,433,264
Short position
3,707,734
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
233,236,960
Short position
0
J.P. Morgan Chase Bank Berhad
Level 18 Integra Tower, The Intermark, 348 Jalan Tun Razak, Kuala Lumpur, 50400, Malaysia
J.P. Morgan International Finance Limited
100.00
Y
Long position
0
Short position
212,000
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
Y
Long position
31,208,000
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
489,433,264
Short position
3,707,734
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
407,203
Short position
0
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
25,380,990
Short position
5,528
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
489,433,264
Short position
3,707,734
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
489,433,264
Short position
3,707,734
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
260,243,000
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
172,152,000
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
489,433,264
Short position
3,707,734
JPMorgan Asset Management Holdings (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management International Limited
100.00
N
Long position
31,208,000
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
822,768,053
Short position
24,468,734
JPMorgan Asset Management International Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
31,208,000
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
1,312,201,317
Short position
28,388,468
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
1,312,201,317
Short position
28,388,468
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
Nil
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
:
22/03/2016
(dd/mm/yyyy)
29.
Number of attachments
: