FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial No: CS20170918000089
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: 13/09/2017
(dd/mm/yyyy)
16. Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later): 15/09/2017
(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  799,755           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long Position68,537,6705.56
Short Position23,947,9571.94
Lending Pool25,768,8402.09
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long Position69,210,6475.61
Short Position24,747,7122.00
Lending Pool25,888,3902.10
20. Capacity in which interests disclosed in Box 19 are held:
Code describing capacityNumber of shares
201
Long position42,126,102
Short position24,747,712
202
Long position1,191,756
Short position0
207
Long position4,399
Short position0
208
Long position25,888,390
Short position0

21. Further information in respect of derivative interests:
Code describing derivativesNumber of shares
401
Long position3,022,386
Short position1,579,800
402
Long position562,600
Short position9,839,490
403
Long position9,992,300
Short position8,149,018
404
Long position3,364,759
Short position3,269,419
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 position16,213,396
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 position8,752
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 position501,363
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 position69,500
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 position145,183
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 position3,654
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 position6,703,312
Short position7,681,966
Bank One International Holdings Corporation1 Bank One Plaza, Chicago, Cook, IL, IL, 60670, United StatesJ.P. Morgan International Inc.100.00N
Long position45,122,100
Short position41,813,458
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 position45,122,100
Short position41,813,458
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 position19,209,394
Short position17,065,746
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Capital Financing Limited0.59Y
Long position19,209,394
Short position17,065,746
J.P. Morgan Securities plc25 Bank Street, Canary Wharf, London, E14 5JP, London, E14 5JP, EnglandJ.P. Morgan Chase International Holdings99.41Y
Long position19,209,394
Short position17,065,746
JPMorgan Chase Bank, N.A.1111 Polaris Parkway, Columbus, OH21, OH, 43240, United StatesJPMorgan Chase & Co.100.00Y
Long position25,969,822
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 position19,209,394
Short position17,065,746
J.P. Morgan Broker-Dealer Holdings IncCorporation Trust Center, 1209 Orange Street, Wilmingtom, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position16,213,396
Short position0
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan Overseas Capital LLC27.27N
Long position19,209,394
Short position17,065,746
J.P. Morgan Capital Holdings Limited6 route de Trèves, Senningerberg, L-2633, LuxembourgJ.P. Morgan International Finance Limited72.73N
Long position19,209,394
Short position17,065,746
JPMorgan Asset Management Holdings Incc/o CT Corporation, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position1,111,069
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 position724,798
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 position19,209,394
Short position17,065,746
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 position25,912,706
Short position24,747,712
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 position45,122,100
Short position41,813,458
J.P. Morgan Equity Holdings, Inc.Corporation Trust Center, 1209 Orange Street, Wilmington, DE2, DE, 19801, United StatesJPMorgan Chase & Co.100.00N
Long position3,654
Short position0
J.P. Morgan International Finance Limited500 Stanton Christiana Road, Newark, DE2, DE, 19713, United StatesBank One International Holdings Corporation100.00N
Long position45,122,100
Short position41,813,458

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 position4,399
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: 18/09/2017
(dd/mm/yyyy)
29. Number of attachments: