CORPORATE SUBSTANTIAL SHAREHOLDER NOTICE

Transcription

1 FORM 2 CORPORATE SUBSTANTIAL SHAREHOLDER NOTICE Notice pursuant to s. 324 of Part XV of the Securities and Futures Ordinance (Cap. 571) Form for use by a corporation giving notice of : (i) First acquiring an interest in 5% or more of the shares of a listed corporation (I.e. first becoming a substantial shareholder); (ii) Changes in the percentage level, or nature, of its interest or its short position in such shares; and (iii) Ceasing to have an interest of 5% in such shares (complete Boxes 1 to 19 and 27 only). This Form must be completed in accordance with the directions and instructions in the Notes to Form Name of listed corporation HSBC Holdings plc 2. Stock code 5 3. Class of shares Ordinary Shares 4. Number of issued shares in class 2,374,619, Name of substantial shareholder JPMorgan Chase & Co. 8. Business registration number N/A 9. Place of incorporation Certificate of Incorporation No (Tax ID#) 6. Registered office 27 Park Avenue, New York 117, 1. Contact person Grace Poh 11. Daytime tel. No address doi.ops.apac.mailbox@jpmchase.com 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 1

2 15. Date of relevant event (day) (month) (year) 16. Date when the substantial shareholder became aware of the relevant event/ interest in the shares (if later) (day) (month) (year) 17. Details of relevant event Relevant event code describing circumstances (see Table 1) Code describing capacity in which shares were/are held (see Table 2) Before relevant event After relevant event bought/sold or involved 21,16, ,983,438 Currency of transaction Highest price per share On Exchange Average price per share Average consideration per share Off Exchange HKD Consideration Code (see Table 3) Total shares immediately before the relevant event 19. Total shares immediately after the relevant event Lending pool Total number of shares Percentage figure (%) 877,576,11 132,54,22 45,73, Lending pool Total number of shares 1,87,682, ,487,46 45,344,379 Percentage figure (%) Capacity in which interests disclosed in Box 19 are held 21. Further information in respect of derivative interests Code describing capacity (see Table 2) ,415, ,487,46 Code describing derivatives (see Table 4) ,557,975 11,16, ,75, ,614,8 1,242, , ,211,55 17,427, ,344, ,446,881 69,255,596 2

3 22. Further information in relation to interests of corporations controlled by substantial shareholder Name of controlled corporation J.P. Morgan Securities LLC and place of incorporation c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, , Name of controlling shareholder J.P. Morgan Broker-Dealer Holdings Inc Direct % interest control (Y/N) 1. Y Short Position 66,463,437 3,888,38 J.P. Morgan Markets Bear Stearns UK Holdings 7.69 Y 15,85 J.P. Morgan Markets Bear Stearns Holdings Y 15,85 JF Asset Management 21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong Kong Management (Asia) 1. Y 47,869,99 Management (Taiwan) J.P. Morgan Investment Management 2F & 21, No.1 Song Zhi Rd,Xin Yi District, Taipei City, Taiwan., Taipei, 11, Taiwan Province of China c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, , Management (Asia) Management Holdings Inc 1. Y 1. Y 85,625 5,94,282 J.P. Morgan Trust Company of Delaware Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, J.P. Morgan Equity Holdings, 1. Y 181,825 Bank 1 Knightsbridge, London, SW1X 7LX, London, SW1X 7LX, England J.P. Morgan Chase International Holdings 1. Y 217, Further information in relation to interests held by substantial shareholder jointly with another person Name of joint shareholder Short Position 3

4 24. Further information from a trustee, or beneficiary of a trust, or a founder of a Discretionary Trust Name of Trust Status Code (see Table 5) N.A N.A , Further information from a party to an agreement under Section 317 ( Please see Notes for further information required) Names of other parties Total number of shares in which substantial shareholder is interested under section 317 and Details of person(s) in accordance with whose directions the substantial shareholder or its directors are accustomed to act Names Relationship Code (see Table 6) Percentage (%) 27. Date of filing this Form Number of continuation sheets 1 (day) (month) (year) Form Number of attachments 4

5 Continuation Sheet 22. Further information in relation to interests of corporations controlled by substantial shareholder Name of controlled corporation Bank One International Holdings Corporation and place of incorporation 1 Bank One Plaza, Chicago, Cook, IL, IL, 667, Name of controlling shareholder % control Direct interest (Y/N) 1. N 72,96, ,286, Park Avenue, New York NY 117, New York, New York, NY, NY, 117, 1. N 72,96, ,286,589 J.P. Morgan Chase International Holdings J.P. Morgan Chase (UK) Holdings 1. N 341,942, ,687,59 J.P. Morgan Whitefriars c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, , J.P. Morgan Overseas Capital Corporation 1. Y 3,469,112 63,911,571 J.P. Morgan Securities plc J.P. Morgan Securities plc Financing J.P. Morgan Chase International Holdings.59 Y 341,725,31 291,687, Y 341,725,31 291,687, Polaris Parkway, Columbus, OH21, OH, 4324, JPMorgan Chase & Co. 1. Y 464,454,48 J.P. Morgan Chase Bank Berhad Level 18 Integra Tower, The Intermark, 348 Jalan Tun Razak, Kuala Lumpur, 54, Malaysia Finance 1. Y 5,742,38 6 Victoria Embankment, London, EC4YJP, Management (UK) England Management Holdings (UK) 1. Y 78,646,8 China International Fund Management Co Ltd 2th Floor, Aurora Plaza, 99 Fu Cheng Road,Pudong, Shanghai 212, China., Shanghai, 212, China Management (UK) 49. Y 76,8 27 Park Avenue, New York NY 117, New York, New York, NY, NY, 117, 1. Y 65,273 Financing 25, Bank Street, Canary Wharf, London, E14 5JP, England JPMorgan Chase & Co. 1. N 341,725,31 291,687,59 Bear Stearns UK Holdings The Bear Stearns Companies LLC 1. N 31,61 Bear Stearns Holdings England Bear Stearns UK Holdings 1. N 15,85 The Bear Stearns Companies LLC Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, JPMorgan Chase & Co. 1. N 31,61 J.P. Morgan Broker- Dealer Holdings Inc Corporation Trust Center, 129 Orange Street, Wilmingtom, DE2, DE, 1981, JPMorgan Chase & Co. 1. N 66,463,437 3,888,38 Holdings 6 route de Trèves, Senningerberg, L-2633, Luxembourg J.P. Morgan Overseas Capital Corporation N 341,942, ,687,59 Holdings 6 route de Trèves, Senningerberg, L-2633, Luxembourg Finance N 341,942, ,687,59 c/o CT Corporation, 129 Orange Street, Wilmington, JPMorgan Chase & Co. 1. N 178,347,696 Management Holdings Inc DE2, DE, 1981, Management (Asia) Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, Management Holdings Inc 1. N 48,72,534 J.P. Morgan Chase (UK) Holdings Holdings 1. N 341,942, ,687,59 Management Holdings (UK) 6 Victoria Embankment, London, EC4YJP, England Management International 1. N 78,722,88 J.P. Morgan Overseas Capital Corporation c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, 1981, Finance 1. N 372,411, ,599,8 6 Victoria Embankment, London, EC4YJP, Management International England Management Holdings Inc 1. N 78,722, Polaris Parkway, Columbus, OH21, OH, 4324, JPMorgan Chase & Co. 1. N 72,161, ,286,589 HSBC HOLDINGS PLC_217512_ xls Box22 1

6 J.P. Morgan Equity Holdings, Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, JPMorgan Chase & Co. 1. N 181,825 Finance 5 Stanton Christiana Road, Newark, DE2, DE, 19713, Bank One International Holdings Corporation 1. N 72,96, ,286,589 6 Victoria Embankment, London, EC4YJP, Management (UK) England Management Holdings (UK) 1. N 76,8 HSBC HOLDINGS PLC_217512_ xls Box22 2