FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial No: CS20151026000119
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: 1,208,536,325
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: 22/10/2015
(dd/mm/yyyy)
16. Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later): 26/10/2015
(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  721,034           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long Position67,458,1725.58
Short Position24,699,9662.04
Lending Pool25,172,9482.08
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long Position66,953,6605.54
Short Position23,978,9321.98
Lending Pool25,164,4482.08
20. Capacity in which interests disclosed in Box 19 are held:
Code describing capacityNumber of shares
201
Long position37,861,860
Short position23,978,932
202
Long position3,927,155
Short position0
207
Long position197
Short position0
208
Long position25,164,448
Short position0

21. Further information in respect of derivative interests:
Code describing derivativesNumber of shares
401
Long position5,821,847
Short position2,523,600
402
Long position1,476,300
Short position7,415,720
403
Long position2,004,142
Short position1,250,192
404
Long position3,206,915
Short position11,538,657
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 position6,067,442
Short position192,274
J.P. Morgan Clearing Corpc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJ.P. Morgan Securities LLC100.00Y
Long position403,273
Short position400
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 position127,595
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 position2,756,203
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 position227,585
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 position226,100
Short position0
J.P. Morgan Trust Company of DelawareCorporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJ.P. Morgan Equity Holdings, Inc.100.00Y
Long position954
Short position0
J.P. Morgan International Bank Limited1 Knightsbridge, London, SW1X 7LX, London, SW1X 7LX, EnglandJ.P. Morgan Chase International Holdings100.00Y
Long position2,417
Short position0
Bank One International Holdings Corporation1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United StatesJ.P. Morgan International Inc.100.00N
Long position46,754,562
Short position29,177,796
J.P. Morgan International Inc.270 Park Avenue, New York 10017, United StatesJPMorgan Chase Bank, N.A.100.00N
Long position46,754,562
Short position29,177,796
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 position15,361,000
Short position5,391,538
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 position16,032,562
Short position18,394,720
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Financing Limited0.59Y
Long position15,358,583
Short position5,391,538
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase International Holdings99.41Y
Long position15,358,583
Short position5,391,538
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position25,198,441
Short position0
JPMorgan Asset Management (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings (UK) Limited100.00Y
Long position114,500
Short position0
China International Fund Management Co Ltd20th Floor, Aurora Plaza, 99 Fu Cheng Road,Pudong, Shanghai 200120, China., Shanghai, 200120, ChinaJPMorgan Asset Management (UK) Limited49.00Y
Long position438,005
Short position0
J.P. Morgan Capital Financing Limited25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJPMorgan Chase & Co.100.00N
Long position15,358,583
Short position5,391,538
J.P. Morgan Securities LLCc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJ.P. Morgan Broker-Dealer Holdings Inc100.00N
Long position403,273
Short position400
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position6,470,715
Short position192,674
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan Overseas Capital Corporation27.27N
Long position15,361,000
Short position5,391,538
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited72.73N
Long position15,361,000
Short position5,391,538
JPMorgan Asset Management Holdings Incc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position3,889,988
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 position3,111,383
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 position15,361,000
Short position5,391,538
JPMorgan Asset Management Holdings (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management International Limited100.00N
Long position552,505
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 position31,393,562
Short position23,786,258
JPMorgan Asset Management International Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings Inc100.00N
Long position552,505
Short position0
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00N
Long position46,754,562
Short position29,177,796
J.P. Morgan Equity Holdings, Inc.Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position954
Short position0
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesBank One International Holdings Corporation100.00N
Long position46,754,562
Short position29,177,796
JPMorgan Asset Management (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings (UK) Limited100.00N
Long position438,005
Short position0

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
(Private)Addresses of individuals are not displayed.501
Long position197
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: 26/10/2015
(dd/mm/yyyy)
29. Number of attachments: