FORM 2 - Corporate Substantial Shareholder Notice
Form Serial No
:
CS20170509000141
1.
Name of listed corporation
:
ZTE Corporation - H Shares
2.
Stock code
:
00763
3.
Class of shares
:
H Shares
4.
Number of issued shares in class
:
755,502,534
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
:
04/05/2017
(dd/mm/yyyy)
16.
Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later)
:
08/05/2017
(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
101
205
205
518,800
HKD
14.740
14.728
14.709
301
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
37,675,372
4.98
Short Position
1,294,046
0.17
Lending Pool
35,115,307
4.64
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long Position
38,194,172
5.05
Short Position
1,211,646
0.16
Lending Pool
35,745,307
4.73
20.
Capacity in which interests disclosed in Box 19 are held
:
Code describing capacity
Number of shares
201
Long position
2,170,265
Short position
1,211,646
202
Long position
278,600
Short position
0
208
Long position
35,745,307
Short position
0
21.
Further information in respect of derivative interests
:
Code describing derivatives
Number of shares
402
Long position
0
Short position
66,000
403
Long position
0
Short position
144,525
404
Long position
68,600
Short position
801,121
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 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
Y
Long position
103,281
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
28,400
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
244,909
Short position
844,646
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
1,822,075
Short position
367,000
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
1,822,075
Short position
367,000
JPMorgan Chase Bank, N.A.
1111 Polaris Parkway, Columbus, OH21, OH, 43240, United States
JPMorgan Chase & Co.
100.00
Y
Long position
35,745,307
Short position
0
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
Y
Long position
101,200
Short position
0
China International Fund Management Co Ltd
20th Floor, Aurora Plaza, 99 Fu Cheng Road,Pudong, Shanghai 200120, China., Shanghai, 200120, China
JPMorgan Asset Management (UK) Limited
49.00
Y
Long position
149,000
Short position
0
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
3,889,059
Short position
1,578,646
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
3,889,059
Short position
1,578,646
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
1,822,075
Short position
367,000
J.P. Morgan Capital Financing Limited
25, Bank Street, Canary Wharf, London, E14 5JP, England
JPMorgan Chase & Co.
100.00
N
Long position
1,822,075
Short position
367,000
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
103,281
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
1,822,075
Short position
367,000
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
1,822,075
Short position
367,000
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
278,600
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
1,822,075
Short position
367,000
JPMorgan Asset Management Holdings (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management International Limited
100.00
N
Long position
250,200
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
2,066,984
Short position
1,211,646
JPMorgan Asset Management International Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings Inc
100.00
N
Long position
250,200
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
3,889,059
Short position
1,578,646
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
3,889,059
Short position
1,578,646
JPMorgan Asset Management (UK) Limited
60 Victoria Embankment, London, EC4Y0JP, England
JPMorgan Asset Management Holdings (UK) Limited
100.00
N
Long position
149,000
Short position
0
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
:
09/05/2017
(dd/mm/yyyy)
29.
Number of attachments
: