FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial No: CS20160921000071
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: 1,217,399,317
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: 19/09/2016
(dd/mm/yyyy)
16. Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later): 21/09/2016
(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 HKD
Short position  112  201  201  546,500           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long Position76,852,7216.31
Short Position12,548,1261.03
Lending Pool28,680,9652.35
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long Position76,670,7046.29
Short Position12,001,6260.98
Lending Pool28,672,0922.35
20. Capacity in which interests disclosed in Box 19 are held:
Code describing capacityNumber of shares
201
Long position44,192,247
Short position12,001,626
202
Long position3,803,251
Short position0
207
Long position3,114
Short position0
208
Long position28,672,092
Short position0

21. Further information in respect of derivative interests:
Code describing derivativesNumber of shares
401
Long position4,527,720
Short position1,126,800
402
Long position1,262,000
Short position5,918,750
403
Long position416,171
Short position1,334,971
404
Long position2,840,491
Short position2,582,205
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 position9,841,021
Short position131,316
J.P. Morgan Clearing Corpc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801-1120, United StatesJ.P. Morgan Securities LLC100.00Y
Long position17,070
Short position0
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 position161,001
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 position2,688,471
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 position202,051
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 position259,200
Short position0
J.P. Morgan Investment Management LimitedFinsbury Dials, 20 Finsbury Street, London, EC2Y 9AQ, London, EC2Y 9AQ, EnglandJPMorgan Asset Management (UK) Limited100.00Y
Long position3,400
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 position2,805
Short position0
Bank One International Holdings Corporation1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United StatesJ.P. Morgan International Inc.100.00N
Long position47,672,722
Short position16,289,381
J.P. Morgan International Inc.270 Park Avenue, New York NY 10017, New York, New York, NY, NY, 10017, United StatesJPMorgan Chase Bank, N.A.100.00N
Long position47,672,722
Short position16,289,381
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 position13,338,566
Short position4,419,071
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 position20,995,590
Short position7,451,239
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Financing Limited0.59Y
Long position13,338,566
Short position4,419,071
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase International Holdings99.41Y
Long position13,338,566
Short position4,419,071
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position28,722,707
Short position0
JPMorgan Asset Management (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings (UK) Limited100.00Y
Long position66,300
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 position372,522
Short position0
J.P. Morgan Capital Financing Limited25, Bank Street, Canary Wharf, London, E14 5JP, EnglandJPMorgan Chase & Co.100.00N
Long position13,338,566
Short position4,419,071
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 position17,070
Short position0
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position9,858,091
Short position131,316
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan Overseas Capital Corporation27.27N
Long position13,338,566
Short position4,419,071
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited72.73N
Long position13,338,566
Short position4,419,071
JPMorgan Asset Management Holdings Incc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position3,752,945
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 position3,051,523
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 position13,338,566
Short position4,419,071
JPMorgan Asset Management Holdings (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management International Limited100.00N
Long position442,222
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 position34,334,156
Short position11,870,310
JPMorgan Asset Management International Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings Inc100.00N
Long position442,222
Short position0
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00N
Long position47,672,722
Short position16,289,381
J.P. Morgan Equity Holdings, Inc.Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position2,805
Short position0
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesBank One International Holdings Corporation100.00N
Long position47,672,722
Short position16,289,381
JPMorgan Asset Management (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings (UK) Limited100.00N
Long position375,922
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
N.AAddresses of individuals are not displayed.501
Long position3,114
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: 21/09/2016
(dd/mm/yyyy)
29. Number of attachments: