FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial No: CS20161123000232
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: 21/11/2016
(dd/mm/yyyy)
16. Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later): 23/11/2016
(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 103 205 205 2,831,000 HKD 4.857 4.851 4.853 301
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long Position1,341,674,7449.01
Short Position112,883,5340.75
Lending Pool170,520,9911.14
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long Position1,338,843,7448.99
Short Position112,864,5340.75
Lending Pool170,520,9911.14
20. Capacity in which interests disclosed in Box 19 are held:
Code describing capacityNumber of shares
201
Long position963,906,753
Short position112,864,534
202
Long position204,416,000
Short position0
208
Long position170,520,991
Short position0

21. Further information in respect of derivative interests:
Code describing derivativesNumber of shares
401
Long position7,242,000
Short position128,000
402
Long position0
Short position13,969,000
403
Long position576,000
Short position52,576,000
404
Long position949,534
Short position46,191,534
22. Further information in relation to interests of corporations controlled by substantial shareholder:
Name of controlled corporationAddress and place of incorporationName of controlling shareholder% controlDirect interestNumber of shares
J.P. Morgan Securities LLCc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJ.P. Morgan Broker-Dealer Holdings Inc100.00Y
Long position30,166,400
Short position0
JF International Management Inc.Palm Grove House,P.O. Box 438, Road Town, Tortola, British Virgin Islands., Tortola, British Virgin IslandsJPMorgan Asset Management (Asia) Inc.100.00Y
Long position529,000
Short position0
JF Asset Management Limited 21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong KongJPMorgan Asset Management (Asia) Inc.100.00Y
Long position107,037,000
Short position0
JPMorgan Asset Management (Taiwan) Limited 20F & 21, No.1 Song Zhi Rd,Xin Yi District, Taipei City, Taiwan., Taipei, 110, Taiwan Province of ChinaJPMorgan Asset Management (Asia) Inc.100.00Y
Long position4,905,000
Short position0
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 position44,637,000
Short position0
J.P. Morgan Whitefriars Inc. c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJ.P. Morgan Overseas Capital Corporation100.00Y
Long position362,898,551
Short position106,629,000
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Financing Limited0.59Y
Long position570,841,802
Short position6,235,534
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase International Holdings99.41Y
Long position570,841,802
Short position6,235,534
Bank One International Holdings Corporation1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United StatesJ.P. Morgan International Inc.100.00N
Long position1,504,582,155
Short position119,100,068
J.P. Morgan International Inc.270 Park Avenue, New York NY 10017, New York, New York, NY, NY, 10017, United StatesJPMorgan Chase Bank, N.A.100.00N
Long position1,504,582,155
Short position119,100,068
J.P. Morgan Chase International Holdings25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase (UK) Holdings Limited100.00N
Long position570,841,802
Short position6,235,534
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position193,818,991
Short position0
JPMorgan Asset Management (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings (UK) Limited100.00Y
Long position24,010,000
Short position0
J.P. Morgan Capital Financing Limited25, Bank Street, Canary Wharf, London, E14 5JP, EnglandJPMorgan Chase & Co.100.00N
Long position570,841,802
Short position6,235,534
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position30,166,400
Short position0
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan Overseas Capital Corporation27.27N
Long position570,841,802
Short position6,235,534
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited72.73N
Long position570,841,802
Short position6,235,534
JPMorgan Asset Management Holdings Incc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position181,118,000
Short position0
JPMorgan Asset Management (Asia) Inc.Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Asset Management Holdings Inc100.00N
Long position112,471,000
Short position0
J.P. Morgan Chase (UK) Holdings Limited25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Holdings Limited100.00N
Long position570,841,802
Short position6,235,534
JPMorgan Asset Management Holdings (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management International Limited100.00N
Long position24,010,000
Short position0
J.P. Morgan Overseas Capital Corporationc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJ.P. Morgan International Finance Limited100.00N
Long position933,740,353
Short position112,864,534
JPMorgan Asset Management International Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings Inc100.00N
Long position24,010,000
Short position0
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00N
Long position1,504,582,155
Short position119,100,068
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesBank One International Holdings Corporation100.00N
Long position1,504,582,155
Short position119,100,068

23. Further information in relation to interests held by substantial shareholder jointly with another person:
Name of joint shareholderAddressNumber of shares
Nil 
24. Further information from a trustee, or beneficiary of a trust, or a founder of a Discretionary Trust:
Names of TrustAddressStatus codeNumber of shares
Nil  
25. Further information from a party to an agreement under Section 317:
Names of other partiesAddressNumber 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:
NamesAddressRelationship Code%
Nil  
 
27. Date of filing this Form 2: 23/11/2016
(dd/mm/yyyy)
29. Number of attachments: