FORM 2 - Corporate Substantial Shareholder Notice
Form Serial No
:
CS20111024000029
1.
Name of listed corporation
:
Hong Kong Exchanges and Clearing Ltd.
2.
Stock code
:
00388
3.
Class of shares
:
Common Shares
4.
Number of issued shares in class
:
1,079,906,640
5.
Name of substantial shareholder
:
Deutsche Bank Aktiengesellschaft
6.
Registered office
:
Theodor-Heuss-Allee 70, 60468 Frankfurt am Main, Germany
7.
Principal place of business in Hong Kong
:
Deutsche Bank AG, Hong Kong 52/F International Commerce Centre, 1 Austin Road West, Kowloon, Hong Kong
13.
Exchange on which listed
:
Deutsche Boerse and New York Stock Exchange
14.
Name of listed parent and exchange on which parent is listed
:
15.
Date of relevant event
:
17/10/2011
(dd/mm/yyyy)
16.
Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later)
:
19/10/2011
(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
203
7,333,555
HKD
122.600
122.217
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
111,456,844
10.32
Short Position
106,762,041
9.88
Lending Pool
1,331,031
0.12
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
104,123,289
9.64
Short Position
99,307,877
9.19
Lending Pool
1,331,031
0.12
20.
Capacity in which interests disclosed in Box 19 are held
:
Code describing capacity
Number of shares
201
Long position
52,876,000
Short position
51,564,710
202
Long position
1,764,470
Short position
0
203
Long position
48,151,788
Short position
47,743,167
208
Long position
1,331,031
Short position
0
21.
Further information in respect of derivative interests
:
Code describing derivatives
Number of shares
401
Long position
1,524,200
Short position
1,364,100
404
Long position
49,509,535
Short position
49,974,860
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
DB Capital Markets (Deutschland) GmbH
Theodor-Heuss-Allee 70, Frankfurt 60486 Germany
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
DWS Holding & Service GmbH
Mainzer Landstr. 178-190, 60327 Frankfurt
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
DWS Investment GmbH
Mainzer Landstr. 178-190, 60327 Frankfurt
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
1,655,850
DWS Investment GmbH
Mainzer Landstr. 178-190, 60327 Frankfurt
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Deutsche Bank Luxembourg S.A.
2, Boulevard Konrad Adenauer, Luxembourg 1115
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
DWS Investment S.A., Luxemburg
2, Boulevard Konrad Adenauer, Luxembourg 1115
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
5,100
Taunus Corporation
1209 Orange Street, Delaware(DE), 19805, Wilmington, USA(United States)
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Deutsche Bank Americas Holding Corp.
1209 Orange Street, Delaware(DE), 19805, Wilmington, USA(United States)
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Deutsche Investment Management Americas Inc.
345 Park Avenue, New York, NY 10154
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
30,200
Deutsche Holdings No.4 Limited
1 Great Winchester Street, Winchester House, London EC2N 2DB
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Abbey Life Assurance Company Limited
1 Great Winchester Street, Winchester House, London EC2N 2DB
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
153,700
Deutsche Asset Management (Japan) Limited
2-11-1 Sanno Park Tower, Nagata-cho, Chiyoda-ku
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
17,800
DB Capital Markets (Deutschland) GmbH
Theodor-Heuss-Allee 70, Frankfurt 60486 Germany
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Deutsche Asset Management International GmbH
Mainzer Landstr. 178-190, 60327 Frankfurt
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
23,000
Deutsche Asset Management International GmbH
Mainzer Landstr. 178-190, 60327 Frankfurt
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Deutsche Asset Management Investmentgesellschaft mbH
Mainzer Landstr. 178-190, 60327 Frankfurt
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
17,400
DB Capital Markets (Deutschland) GmbH
Theodor-Heuss-Allee 70, Frankfurt 60486 Germany
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Sal. Oppenheim jr. & Cie AG & Co. Kommanditgesellschaft auf Aktien
Unter Sachenhausen 4 50667 Koln Germany
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Sal. Oppenheim jr. & Cie. Luxembourg S.A.
4, rue Jean Monnet 2180 Luxembourg Luxemburg
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Oppenheim Asset Management Services S.a.r.l
4, rue Jean Monnet 2180 Luxembourg Luxemburg
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
8,100
DB UK PCAM Holdings Limited
1 Great Winchester Street, Winchester House, London EC2N 2DB
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Deutsche Asset Management Group Limited
One Appold Street, London EC2A 2UU Great Britain
Deutsche Bank Aktiengesellschaft
100.00
N
Long position
1,918,170
Deutsche Asset Management (Korea) Company Limited
33 Seorin-dong, Jongno-gu (19/F Youngpoong Building), Seoul 110-752, South Korea
Deutsche Bank Aktiengesellschaft
100.00
Y
Long position
7,020
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
:
21/10/2011
(dd/mm/yyyy)
29.
Number of attachments
:
1