Monthly Return of Equity Issuer on Movements in Securities For the ended : 31/10/2015 To : Hong Kong Exchanges and Clearing Limited Name of Issuer Standard Chartered PLC Date Submitted 5 November 2015 I. Movements in Authorised Share Capital 1. Ordinary Shares (1) Stock code : N/A Description : No. of ordinary shares Par value (State currency) Authorised share capital (State currency) Balance at close of preceding Increase/(decrease) Balance at close of the (2) Stock code : N/A Description : Balance at close of preceding No. of ordinary shares Par value (State currency) Authorised share capital (State currency) Increase/(decrease) Balance at close of the
2. Preference Shares Stock code : N/A Description : Balance at close of preceding No. of preference shares Par value (State currency) Authorised share capital (State currency) Increase/(decrease) Balance at close of the 3. Other Classes of Shares Stock code : N/A Description : Balance at close of preceding No. of other classes of shares Par value (State currency) Authorised share capital (State currency) Increase/(decrease) Balance at close of the Total authorised share capital at the end of the (State currency) :
II. Movements in Issued Share Capital No. of ordinary shares (1) (2) No of preference shares No. of other classes of shares Balance at close of preceding 2,547,220,995 N/A 1.00 195,285,000 US$5.00 15,000 N/A Increase/ (decrease) during the 2,259,004 N/A N/A Balance at close of the 2,549,479,999 195,285,000 15,000
III. Details of Movements in Issued Share Capital Share Options (under Share Option Schemes of the Issuer) Particulars of share option scheme including EGM approval date and class of shares issuable Movement during the No. of new shares of issuer issued during the thereto No. of new shares of issuer which may be issued thereto as at close of the Granted Exercised Cancelled Lapsed 1. 2006 Restricted Share Schemes Ordinary shares Nil 29,848 Nil 326,849 29,848 1,127,713 2. 2001 Performance Share Plan Ordinary shares Nil 1,763 Nil 5,266 1,763 104,710 3. 2011 Discretionary Share Plan Performance Share Award Ordinary shares Nil 4,934 Nil 65,179 4,934 9,260,631 4. 2011 Discretionary Share Plan Restricted Share Award Ordinary shares Nil 68,069 Nil 68,424 68,069 22,323,623 5. 2004 International Sharesave Schemes Ordinary shares Nil Nil Nil 182,946 1 Nil 2,852,541 6. 2004 UK Sharesave Plan Ordinary shares Nil Nil Nil -58,587 1 Nil 210,557 7. Standard Chartered 2013 Sharesave Plan Ordinary shares 7,744,134 Nil Nil 115,627 Nil 13,154,044 1 Including an adjustment of 62,289 options under Sharesave due to a swap between the International and UK plans which is now rectified Total A. (Ordinary shares) 104,614 (Preference shares) N/A (Other class) N/A Total funds raised during the from exercise of options (State currency) Nil
Warrants to Issue Shares of the Issuer which are to be Listed Description of warrants (Date of expiry - dd/mm/yyyy) 1. N/A Currency of nominal value Nominal value at close of preceding Exercised during the Nominal value at close of the No. of new shares of issuer issued during the thereto No. of new shares of issuer which may be issued thereto as at close of the issuable 2. N/A issuable 3. N/A issuable 4. N/A issuable Total B. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A
Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed) Class and description 1. N/A Currency of amount outstanding Amount at close of preceding Converted during the Amount at close of the No. of new shares of issuer issued during the thereto No. of new shares of issuer which may be issued thereto as at close of the issuable ) 2. N/A issuable 3. N/A issuable 4. N/A issuable Total C. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A
Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes) Full particulars including, if applicable, and class of shares issuable: 1. N/A No. of new shares of issuer issued during the thereto No. of new shares of issuer which may be issued thereto as at close of the 2. N/A shares 3. N/A shares shares Total D. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A
Other Movements in Issued Share Capital Type of Issue No. of new shares of issuer issued during the thereto No. of new shares of issuer which may be issued thereto as at close of the 1. Rights issue At price : State currency N/A issuable : 2. Open offer At price : State currency N/A issuable : 3. Placing At price : State currency N/A issuable : issuable 4. Bonus issue N/A :
Type of Issue No. of new shares of No. of new issuer issued during shares of the issuer thereto which may be issued thereto as at close of the issuable Ordinary 5. Scrip dividend At price : State currency USD13.34383 8.5226 (16/10/2015) AGM approval date: (N/A) 2,154,390 N/A repurchased 6. Repurchase of shares N/A Cancellation date : : redeemed 7. Redemption of shares N/A Redemption date : : issuable 8. Consideration issue At price : State currency N/A :
Type of Issue No. of new shares of No. of new issuer issued during shares of the issuer thereto which may be issued thereto as at close of the issuable 9. Capital reorganisation N/A : 10. Other (Please specify) At price : State currency N/A issuable : Total E. (Ordinary shares) 2,154,390 (Preference shares) N/A (Other class) N/A Total increase / (decrease) in ordinary shares during the (i.e. Total of A to E): (1) 2,259,004 (2) N/A Total increase / (decrease) in preference shares during the (i.e. Total of A to E): N/A Total increase / (decrease) in other classes of shares during the (i.e. Total of A to E): N/A (These figures should be the same as the relevant figures under II above ( Movements in Issued Share Capital ).)
Remarks (if any): Submitted by: Wang Wei Min Title: Assistant Company Secretary (Director, Secretary or other duly authorised officer) Notes : 1. State the class of shares (e.g. ordinary, preference or other). 2. If there is insufficient space, please append the prescribed continuation sheet.