FORM 2 - Corporate Substantial Shareholder Notice
Form Serial No
:
CS20161019000122
1.
Name of listed corporation
:
Haitong International Securities Group Ltd.
2.
Stock code
:
00665
3.
Class of shares
:
Ordinary Shares
4.
Number of issued shares in class
:
5,326,881,218
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
:
14/10/2016
(dd/mm/yyyy)
16.
Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later)
:
18/10/2016
(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
HKD
Short position
113
201
201
428,451
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
403,854,656
7.58
Short Position
106,344,000
1.99
Lending Pool
1,236,395
0.02
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
402,740,120
7.56
Short Position
106,772,451
2.00
Lending Pool
1,236,395
0.02
20.
Capacity in which interests disclosed in Box 19 are held
:
Code describing capacity
Number of shares
201
Long position
401,503,725
Short position
106,772,451
208
Long position
1,236,395
Short position
0
21.
Further information in respect of derivative interests
:
Code describing derivatives
Number of shares
401
Long position
0
Short position
440,451
403
Long position
256,093,340
Short position
132,000
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
18,241,838
Short position
9,450,000
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
19,273,268
Short position
0
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
363,988,619
Short position
97,322,451
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
363,988,619
Short position
97,322,451
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
1,236,395
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
363,988,619
Short position
97,322,451
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
18,241,838
Short position
9,450,000
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
363,988,619
Short position
97,322,451
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
747,250,506
Short position
194,644,902
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
747,250,506
Short position
194,644,902
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
363,988,619
Short position
97,322,451
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
363,988,619
Short position
97,322,451
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
363,988,619
Short position
97,322,451
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
383,261,887
Short position
97,322,451
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
N
Long position
747,250,506
Short position
194,644,902
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
747,250,506
Short position
194,644,902
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
:
19/10/2016
(dd/mm/yyyy)
29.
Number of attachments
: