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 sharesPercentage figure (%)
Long Position403,854,6567.58
Short Position106,344,0001.99
Lending Pool1,236,3950.02
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long Position402,740,1207.56
Short Position106,772,4512.00
Lending Pool1,236,3950.02
20. Capacity in which interests disclosed in Box 19 are held:
Code describing capacityNumber of shares
201
Long position401,503,725
Short position106,772,451
208
Long position1,236,395
Short position0

21. Further information in respect of derivative interests:
Code describing derivativesNumber of shares
401
Long position0
Short position440,451
403
Long position256,093,340
Short position132,000
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 position18,241,838
Short position9,450,000
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 position19,273,268
Short position0
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Financing Limited0.59Y
Long position363,988,619
Short position97,322,451
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase International Holdings99.41Y
Long position363,988,619
Short position97,322,451
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position1,236,395
Short position0
J.P. Morgan Capital Financing Limited25, Bank Street, Canary Wharf, London, E14 5JP, EnglandJPMorgan Chase & Co.100.00N
Long position363,988,619
Short position97,322,451
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position18,241,838
Short position9,450,000
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan Overseas Capital Corporation27.27N
Long position363,988,619
Short position97,322,451
Bank One International Holdings Corporation1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United StatesJ.P. Morgan International Inc.100.00N
Long position747,250,506
Short position194,644,902
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 position747,250,506
Short position194,644,902
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 position363,988,619
Short position97,322,451
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited72.73N
Long position363,988,619
Short position97,322,451
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 position363,988,619
Short position97,322,451
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 position383,261,887
Short position97,322,451
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00N
Long position747,250,506
Short position194,644,902
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesBank One International Holdings Corporation100.00N
Long position747,250,506
Short position194,644,902

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: 19/10/2016
(dd/mm/yyyy)
29. Number of attachments: