FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial No: CS20170830000090
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: 1,231,597,826
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: 25/08/2017
(dd/mm/yyyy)
16. Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later): 29/08/2017
(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 HKD
Short position  113  201  201  6,784,495           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long Position82,480,4596.69
Short Position40,100,9013.25
Lending Pool21,391,4211.73
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long Position77,808,4646.31
Short Position33,316,4062.70
Lending Pool24,410,0481.98
20. Capacity in which interests disclosed in Box 19 are held:
Code describing capacityNumber of shares
201
Long position51,958,508
Short position33,316,406
202
Long position1,435,737
Short position0
207
Long position4,171
Short position0
208
Long position24,410,048
Short position0

21. Further information in respect of derivative interests:
Code describing derivativesNumber of shares
401
Long position4,098,624
Short position1,578,400
402
Long position591,000
Short position9,295,420
403
Long position9,960,060
Short position8,450,634
404
Long position3,292,977
Short position3,283,107
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 position24,069,119
Short position8,000,600
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 position16,352
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 position764,678
Short position0
JPMorgan Asset Management (Japan) Limited Tokyo Building, 7-3 Marunouchi 2 Chome,Chiyoda-ku, Tokyo, Japan., Tokyo, 100 6432, JapanJPMorgan Asset Management (Asia) Inc.100.00Y
Long position51,500
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 position139,483
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 position294,700
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 position3,426
Short position0
J.P. Morgan Whitefriars LLC500 Stanton Christiana Road, /DE File No. 0867618, Newark, New Castle, DE, DE, 19713, United StatesJ.P. Morgan Overseas Capital LLC100.00Y
Long position6,584,708
Short position8,706,582
Bank One International Holdings Corporation1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United StatesJ.P. Morgan International Inc.100.00N
Long position49,194,070
Short position41,925,030
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 position49,194,070
Short position41,925,030
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 position21,304,681
Short position16,609,224
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Financing Limited0.59Y
Long position21,304,681
Short position16,609,224
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase International Holdings99.41Y
Long position21,304,681
Short position16,609,224
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position24,488,246
Short position0
JPMorgan Asset Management (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings (UK) Limited100.00Y
Long position91,571
Short position0
J.P. Morgan Capital Financing Limited25, Bank Street, Canary Wharf, London, E14 5JP, EnglandJPMorgan Chase & Co.100.00N
Long position21,304,681
Short position16,609,224
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position24,069,119
Short position8,000,600
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan Overseas Capital LLC27.27N
Long position21,304,681
Short position16,609,224
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited72.73N
Long position21,304,681
Short position16,609,224
JPMorgan Asset Management Holdings Incc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position1,358,284
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 position972,013
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 position21,304,681
Short position16,609,224
JPMorgan Asset Management Holdings (UK) Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management International Limited100.00N
Long position91,571
Short position0
J.P. Morgan Overseas Capital LLC500 Stanton Christiana Road, Newark, New Castle, DE, DE, 19713-2107, United StatesJ.P. Morgan International Finance Limited100.00N
Long position27,889,389
Short position25,315,806
JPMorgan Asset Management International Limited60 Victoria Embankment, London, EC4Y0JP, EnglandJPMorgan Asset Management Holdings Inc100.00N
Long position91,571
Short position0
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00N
Long position49,194,070
Short position41,925,030
J.P. Morgan Equity Holdings, Inc.Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position3,426
Short position0
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesBank One International Holdings Corporation100.00N
Long position49,194,070
Short position41,925,030

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 position4,171
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: 30/08/2017
(dd/mm/yyyy)
29. Number of attachments: