FORM CORPORATE SUBSTANTIAL SHAREHOLDER NOTICE Notice pursuant to s. 4 of Part XV of the Securities and Futures Ordinance (Cap. 57) Form for use by a corporation giving notice of : (i) First acquiring an interest in 5% or more of the s of a listed corporation (I.e. first becoming a substantial holder); (ii) Changes in the percentage level, or nature, of its interest or its short position in such s; and (iii) Ceasing to have an interest of 5% in such s (complete Boxes to 9 and 7 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. Stock code 5. Class of s Ordinary Shares 4. Number of issued s in class 8,8,6,5 5. Name of substantial holder JPMorgan Chase & Co. 8. Business registration number 9. Place of incorporation United States Certificate of Incorporation No. -6448 (Tax ID#) 6. Registered office 7 Park Avenue, New York 7, United States. Contact person Grace Poh. Daytime tel. No.. e-mail address 656884 asia.doi.team@jpmorgan.com 7. Principal place of business in Hong Kong. Exchange on which listed New York Stock Exchange 4. Name of listed parent and exchange on which parent is listed 5. Date of relevant event 4 (day) (month) (year) 6. Date when the substantial holder became aware of the relevant event/ interest in the s (if later) 4 (day) (month) (year) 7. Details of relevant event Relevant event code describing circumstances (see Table ) Code describing capacity in which s were/are held (see Table ) Before relevant event After relevant event 7 5 4 5 4 bought/sold or involved 6,, 6,8,46 Currency of transaction Highest price per On Exchange Average price per Average consideration per 8.5 8.7 79.5 Off Exchange HKD Consideration Code (see Table )
8. Total s immediately before the relevant event 9. Total s immediately after the relevant event Total number of s Percentage figure (%) Total number of s Percentage figure (%),9,87,955 6.87,454,75,76 7.7,46,.7 96,54,467.57 Lending pool 866,58,94 4.6 Lending pool 865,8,9 4.59. Capacity in which interests disclosed in Box 9 are held. Further information in respect of derivative interests Code describing capacity (see Table ) Code describing derivatives (see Table 4) 69,69,5 96,54,467 4,78,5,7,945 8,499,497 4,798, 9,44,6 7 7,6 4 4 6,9,55,88,47 8 8 865,8,9 44 5 9,85,,4,78. Further information in relation to interests of corporations controlled by substantial holder Name of controlled corporation J.P. Morgan Securities LLC and place of incorporation 8 Madison Avenue, New York 79, United States Name of controlling holder J.P. Morgan Broker-Dealer Holdings Inc Direct % interest control (Y/N). Y Short Position 48,45 9,67 J.P. Morgan Clearing Corp Three Chase MetroTech Center, Brooklyn, New York 45, United States J.P. Morgan Securities LLC. Y 5,7,964 8, - London Branch 5 Bank Street Canary Wharf London E4 5JP. Y,658, JF International Management Palm Grove House, P.O. Box 48, Road Town, Tortola (British Virgin Islands) Management (Asia). Y 5,6 JF Asset Management st Floor Chater House 8 Connaught Road Central Hong Kong (Hong Kong) Management (Asia). Y,998,8 Management (Japan) Management (Taiwan) J.P. Morgan Investment Management Tokyo Building, 7-, Marunouchi -chome Chiyoda-ku, Tokyo -64 (Japan) /F., No.65 and 7/F., No. 65, 67, 69 and 7, Sec., Tun Hwa South Road, Taipei (Taiwan) 7 Park Avenue Management (Asia) Management (Asia). Y. Y. Y 8,88 498,96 8,6,75. Further information in relation to interests held by substantial holder jointly with another person Name of joint holder Short Position
4. Further information from a trustee, or beneficiary of a trust, or a founder of a Discretionary Trust Status Code Name of Trust (see Table 5) N.A N.A,6 5 5. Further information from a party to an agreement under Section 7 ( Please see Notes for further information required) Names of other parties Total number of s in which substantial holder is interested under section 7 and 8 6. Details of person(s) in accordance with whose directions the substantial holder or its directors are accustomed to act Names Relationship Code (see Table 6) Percentage (%) 7. Date of filing this Form 4 4 8. Number of continuation sheets (day) (month) (year) Form. 9. Number of attachments
Continuation Sheet. Further information in relation to interests of corporations controlled by substantial holder Name of controlled corporation and place of incorporation 7 Park Avenue Name of controlling holder % control Direct interest (Y/N). N 4,8,765 95,86,797 J.P. Morgan Chase 5 Bank Street Canary Wharf London E4 5JP J.P. Morgan Chase (UK) Holdings. N 9,5,9 79,,47 CMC Holding Delaware White Clay Center Drive J.P. Morgan Equity Holdings,. N 96,6 J.P. Morgan Trust Company of Delaware 5 Stanton Christiana Road CMC Holding Delaware. Y 96,6 Bank 5 Bank Street Canary Wharf London E4 5JP J.P. Morgan Chase. Y,65,89 J.P. Morgan Whitefriars 5 Stanton Christiana Road, Newark, Delaware, USA (United States) J.P. Morgan Overseas Capital Corporation. Y,,655 6,74,55 J.P. Morgan Securities plc 5 Bank Street Canary Wharf London E4 5JP J.P. Morgan Securities plc 5 Bank Street Canary Wharf London E4 5JP Financing J.P. Morgan Chase.69 Y 9,846,9 79,,47 99. Y 9,846,9 79,,47 Polaris Parkway Columbus, Ohio (United States) JPMorgan Chase & Co.. Y 886,56,455 5 Bank Street Canary Wharf London E4 5JP Management (UK) Management Holdings (UK). Y 78,94,959 JPMorgan Funds Management, 46 Polaris Parkway, nd floor OH-5, Westerville, Ohio (United States) JPMorgan Distribution Services,. Y 7,84 7 Park Avenue. Y 8,975 Financing 5 Bank Street Canary Wharf London E4 5JP JPMorgan Chase & Co.. N 9,846,9 79,,47 J.P. Morgan Securities LLC 8 Madison Avenue, New York 79, United States J.P. Morgan Broker- Dealer Holdings Inc. N 5,7,964 8, J.P. Morgan Broker- Dealer Holdings Inc 7 Park Avenue, New York 7, United States JPMorgan Chase & Co.. N 5,78,89 9,67 Holdings 5 Bank Street Canary Wharf London E4 5JP Finance. N 9,5,9 79,,47 7 Park Avenue New York, JPMorgan Chase & Co.. N 94,8,9 Management (Asia) 7 Park Avenue New York, (United States). N,54,679 J.P. Morgan Chase (UK) Holdings 5 Bank Street Canary Wharf London E4 5JP Holdings. N 9,5,9 79,,47 Management Holdings (UK) 5 Bank Street Canary Wharf London E4 5JP Management International. N 78,94,959 J.P. Morgan Overseas Capital Corporation 5 Stanton Christiana Road Finance. N,,655 6,74,55 5 Bank Street Canary Wharf London E4 5JP Management International. N 78,94,959 Polaris Parkway Columbus, Ohio (United States) JPMorgan Chase & Co.. N 6,665,74 95,86,797 J.P. Morgan Equity Holdings, 5 Stanton Christiana Road JPMorgan Chase & Co.. N 96,6 Finance 5 Stanton Christiana Road Bank One International Holdings Corporation. N 4,8,765 95,86,797 JPMorgan Distribution Services, 46 Polaris Parkway, nd floor OH-5, Ohio, USA JPMorgan Chase & Co.. N 7,84 HSBC HOLDINGS PLC_4_44 9458.xls Box
Bank One International Holdings Corporation Bank One Plaza Chicago, Illinois (United States). N 4,8,765 95,86,797 HSBC HOLDINGS PLC_4_44 9458.xls Box