FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial No: CS20140731000230
1. Name of listed corporation: Hong Kong Exchanges and Clearing Ltd. 
2. Stock code: 00388
3. Class of shares: Ordinary Shares 
4. Number of issued shares in class: 1,167,112,019
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: 29/07/2014
(dd/mm/yyyy)
16. Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later): 31/07/2014
(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  6,474,011           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long Position62,751,1635.37
Short Position37,290,6723.19
Lending Pool41,845,5103.58
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long Position62,621,1715.36
Short Position30,816,6612.64
Lending Pool41,860,1103.58
20. Capacity in which interests disclosed in Box 19 are held:
Code describing capacityNumber of shares
201
Long position18,952,365
Short position30,816,661
202
Long position1,800,591
Short position0
207
Long position8,106
Short position0
208
Long position41,860,110
Short position0

21. Further information in respect of derivative interests:
Code describing derivativesNumber of shares
401
Long position3,685,499
Short position2,572,536
402
Long position99,760
Short position9,973,850
403
Long position6,016,173
Short position7,905,069
404
Long position1,680,640
Short position9,330,538
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 Clearing CorpThree Chase MetroTech Center, Brooklyn, New York 11245, United StatesJ.P. Morgan Securities LLC100.00Y
Long position277,902
Short position32,863
JF Asset Management Limited 21st Floor Chater House 8 Connaught Road Central Hong Kong (Hong Kong)JPMorgan Asset Management (Asia) Inc.100.00Y
Long position384,911
Short position0
J.P. Morgan Investment Management Inc. 270 Park Avenue New York (United States)JPMorgan Asset Management Holdings Inc100.00Y
Long position321,415
Short position0
J.P. Morgan Trust Company of Delaware500 Stanton Christiana Road Newark, Delaware (United States)CMC Holding Delaware Inc.100.00Y
Long position2,098
Short position0
J.P. Morgan Whitefriars Inc. 500 Stanton Christiana Road, Newark, Delaware, USA (United States)J.P. Morgan Overseas Capital Corporation100.00Y
Long position10,567,050
Short position24,531,519
J.P. Morgan Securities plc25 Bank Street Canary Wharf London E14 5JPJ.P. Morgan Capital Financing Limited0.69Y
Long position8,107,413
Short position4,299,004
J.P. Morgan Securities plc25 Bank Street Canary Wharf London E14 5JPJ.P. Morgan Chase International Holdings99.31Y
Long position8,107,413
Short position4,299,004
JPMorgan Chase Bank, N.A.1111 Polaris Parkway Columbus, Ohio (United States)JPMorgan Chase & Co.100.00Y
Long position41,881,935
Short position0
J.P. Morgan International Inc.270 Park Avenue New York (United States)JPMorgan Chase Bank, N.A.100.00N
Long position18,674,463
Short position30,783,798
J.P. Morgan Chase International Holdings25 Bank Street Canary Wharf London E14 5JPJ.P. Morgan Chase (UK) Holdings Limited100.00N
Long position8,107,413
Short position4,299,004
CMC Holding Delaware Inc.200 White Clay Center Drive Newark, Delaware (United States)J.P. Morgan Equity Holdings, Inc.100.00N
Long position2,098
Short position0
JPMorgan Asset Management (UK) Limited25 Bank Street Canary Wharf London E14 5JPJPMorgan Asset Management Holdings (UK) Limited100.00Y
Long position1,068,447
Short position0
J.P. Morgan International Inc.270 Park Avenue New York (United States)JPMorgan Chase Bank, N.A.100.00Y
Long position10,000
Short position0
J.P. Morgan Structured Products B.V.Strawinskylaan 3105 1077 AZ Amsterdam (Netherlands)J.P. Morgan International Finance Limited100.00Y
Long position0
Short position1,953,275
J.P. Morgan Capital Financing Limited25 Bank Street Canary Wharf London E14 5JPJPMorgan Chase & Co.100.00N
Long position8,107,413
Short position4,299,004
J.P. Morgan Securities LLC383 Madison Avenue, New York 10179, United StatesJ.P. Morgan Broker-Dealer Holdings Inc100.00N
Long position277,902
Short position32,863
J.P. Morgan Broker-Dealer Holdings Inc270 Park Avenue, New York 10017, United StatesJPMorgan Chase & Co.100.00N
Long position277,902
Short position32,863
J.P. Morgan Capital Holdings Limited25 Bank Street Canary Wharf London E14 5JPJ.P. Morgan International Finance Limited100.00N
Long position8,107,413
Short position4,299,004
JPMorgan Asset Management Holdings Inc270 Park Avenue New York, New York (United States)JPMorgan Chase & Co.100.00N
Long position1,774,774
Short position0
JPMorgan Asset Management (Asia) Inc.270 Park Avenue New York, (United States)JPMorgan Asset Management Holdings Inc100.00N
Long position384,911
Short position0
J.P. Morgan Chase (UK) Holdings Limited25 Bank Street Canary Wharf London E14 5JPJ.P. Morgan Capital Holdings Limited100.00N
Long position8,107,413
Short position4,299,004
JPMorgan Asset Management Holdings (UK) Limited25 Bank Street Canary Wharf London E14 5JPJPMorgan Asset Management International Limited100.00N
Long position1,068,447
Short position0
J.P. Morgan Overseas Capital Corporation500 Stanton Christiana Road Newark, Delaware (United States)J.P. Morgan International Finance Limited100.00N
Long position10,567,050
Short position24,531,519
JPMorgan Asset Management International Limited25 Bank Street Canary Wharf London E14 5JPJPMorgan Asset Management Holdings Inc100.00N
Long position1,068,447
Short position0
JPMorgan Chase Bank, N.A.1111 Polaris Parkway Columbus, Ohio (United States)JPMorgan Chase & Co.100.00N
Long position18,684,463
Short position30,783,798
J.P. Morgan Equity Holdings, Inc.500 Stanton Christiana Road Newark, Delaware (United States)JPMorgan Chase & Co.100.00N
Long position2,098
Short position0
J.P. Morgan International Finance Limited500 Stanton Christiana Road Newark, Delaware (United States)Bank One International Holdings Corporation100.00N
Long position18,674,463
Short position30,783,798
Bank One International Holdings Corporation1 Bank One Plaza Chicago, Illinois (United States)J.P. Morgan International Inc.100.00N
Long position18,674,463
Short position30,783,798

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
N.AAddresses of individuals are not displayed.501
Long position8,106
Short position0
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: 31/07/2014
(dd/mm/yyyy)
29. Number of attachments: