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 19,812,813, 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 Siew May Lim 11. Daytime tel. No address asia.doi.team@jpmorgan.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 11,94,683 5,67,364 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 Total number of shares Percentage figure (%) Total number of shares 98,759, ,663,937 24,172, ,779,778 Lending pool 515,788, Lending pool 515,47,736 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) ,462, ,685,323 18,68 245,779, ,47,736 Code describing derivatives (see Table 4) ,765,84 3,252,4 17,845,41 26,624,785 29,657,4 25,411,93 7,378,653 73,79,686 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 3,796, ,819 J.P. Morgan Clearing Corp c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, , J.P. Morgan Securities LLC 1. Y 23,25,667 15,446, J.P. Morgan Markets Bear Stearns UK Holdings 7.69 Y 3,2 J.P. Morgan Markets Bear Stearns Holdings Y 3,2 JF Asset Management 21st Floor, Chater House,8 Connaught Road Central, Hong Kong., Hong Kong, Hong Kong Management (Asia) 1. Y 46,19,621 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 1,184,985 54,517,673 J.P. Morgan GT Corporation Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, JPMorgan Chase & Co. 1. Y 554, 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 Form 2. (day) (month) (year) 29. 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 47,279, ,817,68 27 Park Avenue, New York NY 117, New York, New York, NY, NY, 117, 1. N 47,279, ,817,68 J.P. Morgan Chase International Holdings J.P. Morgan Chase (UK) Holdings 1. N 153,243,23 113,73,19 J.P. Morgan Trust Company of Delaware Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, J.P. Morgan Equity Holdings, 1. Y 89,48 Bank J.P. Morgan Whitefriars 1 Knightsbridge, London, SW1X 7LX, London, SW1X 7LX, England c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, , J.P. Morgan Chase International Holdings J.P. Morgan Overseas Capital Corporation 1. Y 179, Y 99,645, ,76,85 J.P. Morgan Securities plc J.P. Morgan Securities plc Financing J.P. Morgan Chase International Holdings.59 Y 153,63, ,73, Y 153,63, ,73, Polaris Parkway, Columbus, OH21, OH, 4324, JPMorgan Chase & Co. 1. Y 531,747,647 J.P. Morgan Chase Bank Berhad Level 18 Integra Tower, The Intermark, 348 Jalan Tun Razak, Kuala Lumpur, 54, Malaysia Finance 1. Y 1,148,6 4,65, 6 Victoria Embankment, London, EC4YJP, Management (UK) England Management Holdings (UK) 1. Y 49,861,58 JPMorgan Funds Management, 46 Polaris Parkway, 2nd floor, OH1-1235, JPMorgan Distribution Westerville, Delaware, OH, OH, 4382, Services, 1. Y 353, Park Avenue, New York NY 117, New York, New York, NY, NY, 117, 1. Y 76,883 Financing 25, Bank Street, Canary Wharf, London, E14 5JP, England JPMorgan Chase & Co. 1. N 153,63, ,73,19 J.P. Morgan Securities LLC c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, , J.P. Morgan Broker- Dealer Holdings Inc 1. N 23,25,667 15,446, Bear Stearns UK Holdings The Bear Stearns Companies LLC 1. N 6,4 Bear Stearns Holdings England Bear Stearns UK Holdings 1. N 3,2 The Bear Stearns Companies LLC Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, JPMorgan Chase & Co. 1. N 6,4 J.P. Morgan Broker- Dealer Holdings Inc Corporation Trust Center, 129 Orange Street, Wilmingtom, DE2, DE, 1981, JPMorgan Chase & Co. 1. N 54,47,52 15,665,819 Holdings 6 route de Trèves, Senningerberg, L-2633, Luxembourg J.P. Morgan Overseas Capital Corporation N 153,243,23 113,73,19 Holdings 6 route de Trèves, Senningerberg, L-2633, Luxembourg Finance N 153,243,23 113,73,19 c/o CT Corporation, 129 Orange Street, Wilmington, JPMorgan Chase & Co. 1. N 151,754,787 Management Holdings Inc DE2, DE, 1981, Management (Asia) Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, Management Holdings Inc 1. N 47,375,66 J.P. Morgan Chase (UK) Holdings Holdings 1. N 153,243,23 113,73,19 Management Holdings (UK) 6 Victoria Embankment, London, EC4YJP, England Management International 1. N 49,861,58 HSBC HOLDINGS PLC_21663_ xls Box22 1

6 J.P. Morgan Overseas Capital Corporation c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, 1981, Finance 1. N 252,888,58 225,463,959 6 Victoria Embankment, London, EC4YJP, Management International England Management Holdings Inc 1. N 49,861, Polaris Parkway, Columbus, OH21, OH, 4324, JPMorgan Chase & Co. 1. N 47,356, ,817,68 J.P. Morgan Equity Holdings, Corporation Trust Center, 129 Orange Street, Wilmington, DE2, DE, 1981, JPMorgan Chase & Co. 1. N 89,48 Finance 5 Stanton Christiana Road, Newark, DE2, DE, 19713, Bank One International Holdings Corporation 1. N 47,279, ,817,68 JPMorgan Distribution Services, c/o CT Corporation, 129 Orange Street, Wilmington, DE2, DE, , JPMorgan Chase & Co. 1. N 353,475 HSBC HOLDINGS PLC_21663_ xls Box22 2