FORM 2 - Corporate Substantial Shareholder Notice
Form Serial No
:
CS20160627000199
1.
Name of listed corporation
:
Industrial and Commercial Bank of China Ltd. - H Shares
2.
Stock code
:
01398
3.
Class of shares
:
H Shares
4.
Number of issued shares in class
:
86,794,044,550
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
:
23/06/2016
(dd/mm/yyyy)
16.
Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later)
:
27/06/2016
(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
107
205
205
89,512,600
HKD
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
4,339,326,095
4.99
Short Position
143,842,193
0.16
Lending Pool
2,849,244,838
3.28
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
4,359,000,295
5.02
Short Position
148,478,193
0.17
Lending Pool
2,854,682,038
3.28
20.
Capacity in which interests disclosed in Box 19 are held
:
Code describing capacity
Number of shares
201
Long position
1,405,859,662
Short position
148,478,193
202
Long position
98,382,975
Short position
0
207
Long position
75,620
Short position
0
208
Long position
2,854,682,038
Short position
0
21.
Further information in respect of derivative interests
:
Code describing derivatives
Number of shares
401
Long position
54,007,620
Short position
47,996,000
402
Long position
1,015,000
Short position
33,524,000
403
Long position
12,573,920
Short position
25,009,026
404
Long position
67,655,535
Short position
41,949,167
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 Clearing Corp
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
J.P. Morgan Securities LLC
100.00
Y
Long position
10,749,119
Short position
0
JF Asset Management Limited
21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong Kong
JPMorgan Asset Management (Asia) Inc.
100.00
Y
Long position
14,121,700
Short position
0
JPMorgan Asset Management (Taiwan) Limited
20F & 21, No.1 Song Zhi Rd,Xin Yi District, Taipei City, Taiwan., Taipei, 110, Taiwan Province of China
JPMorgan Asset Management (Asia) Inc.
100.00
Y
Long position
4,904,345
Short position
0
J.P. Morgan Investment Management Inc.
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United States
JPMorgan Asset Management Holdings Inc
100.00
Y
Long position
62,014,025
Short position
0
J.P. Morgan Trust Company of Delaware
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
J.P. Morgan Equity Holdings, Inc.
100.00
Y
Long position
52,160
Short position
0
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
958,400,287
Short position
61,939,193
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
427,913,821
Short position
62,086,000
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
427,913,821
Short position
62,086,000
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
1,823,024,364
Short position
210,564,193
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
1,823,024,364
Short position
210,564,193
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
427,913,821
Short position
62,086,000
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
2,854,705,498
Short position
0
J.P. Morgan Chase Bank Berhad
Level 18 Integra Tower, The Intermark, 348 Jalan Tun Razak, Kuala Lumpur, 50400, Malaysia
J.P. Morgan International Finance Limited
100.00
Y
Long position
8,796,435
Short position
24,453,000
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
Y
Long position
17,342,905
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
427,913,821
Short position
62,086,000
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
N
Long position
10,749,119
Short position
0
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
10,749,119
Short position
0
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
427,913,821
Short position
62,086,000
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
427,913,821
Short position
62,086,000
JPMorgan Asset Management Holdings Inc
c/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
98,382,975
Short position
0
JPMorgan Asset Management (Asia) Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
19,026,045
Short position
0
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
427,913,821
Short position
62,086,000
JPMorgan Asset Management Holdings (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management International Limited
100.00
N
Long position
17,342,905
Short position
0
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
1,386,314,108
Short position
124,025,193
JPMorgan Asset Management International Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
17,342,905
Short position
0
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
N
Long position
1,823,024,364
Short position
210,564,193
J.P. Morgan Equity Holdings, Inc.
Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United States
JPMorgan Chase & Co.
100.00
N
Long position
52,160
Short position
0
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
1,823,024,364
Short position
210,564,193
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
(Private)
Addresses of individuals are not displayed.
501
Long position
75,620
Short position
0
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
:
27/06/2016
(dd/mm/yyyy)
29.
Number of attachments
: