Monthly Return of Equity Issuer on Movements in Securities For the ended : 31/12/2017 To : Hong Kong Exchanges and Clearing Limited Name of Issuer HSBC Holdings plc Date Submitted 5 January 2018 I. Movements in Authorised Share Capital 1. (1) Stock code : 5 Description : Balance at close of preceding No. of ordinary Par value (State currency) Authorised share capital (State currency) Increase/(decrease) Balance at (2) Stock code : Description : Balance at close of preceding No. of ordinary Par value (State currency) Authorised share capital (State currency) Increase/(decrease) Balance at
2. Preference Shares Stock code : Description : a) Non-cumulative Preference Shares b) Non-cumulative Series A Sterling Preference Share Balance at close of preceding No. of preference Par value (State currency) Authorised share capital (State currency) Increase/(decrease) Balance at 3. Other Classes of Shares Stock code : Description : Balance at close of preceding No. of other classes of Par value (State currency) Authorised share capital (State currency) Increase/(decrease) Balance at Total authorised share capital at the end of the (State currency) :
II. Movements in Issued Share Capital Balance at close of preceding No. of ordinary (1) (2) 20,319,965,556 (US$0.50) (Remark 2) No of preference No. of other classes of a) 1,450,000 (US$0.01) b) 1 ( 0.01) Increase/ (decrease) 750,702 (US$0.50) Balance at close of the 20,320,716,258 (US$0.50) (Remark 2) a) 1,450,000 (US$0.01) b) 1 ( 0.01) III. Details of Movements in Issued Share Capital Share Options (under Share Option Schemes of the Issuer) Particulars of share option scheme including and class of issuable Movement of issuer issued issuer which may be issued as at Granted Exercised Cancelled Lapsed 1. HSBC Holdings Executive Share Option Scheme Ordinary -- -- -- -- -- -- (Note 1) 2. HSBC Holdings Savings-Related Share Option Plans Ordinary -- 575,863 -- 756,629 575,863 64,798,043 (Note 1) 3. HSBC Holdings Group Share Option Plan Ordinary -- -- -- -- -- -- (Note 1) 4. HSBC Share Plan Ordinary -- -- -- -- -- -- (Note 1) Total A. (Ordinary ) 575,863 (Preference ) (Other class) Total funds raised from exercise of options (State currency) 2,659,217.56 and HK$659,761.37
Warrants to Issue Shares of the Issuer which are to be Listed Description of warrants (Date of expiry - dd/mm/yyyy) 1. Currency of nominal value Nominal value at close of preceding Exercised Nominal value at issuer issued issuer which may be issued as at 2. 3. 4. Total B. (Ordinary ) (Preference ) (Other class)
Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed) Amount at close of preceding issuer issued issuer which may be issued as at Class and description Currency of amount outstanding Converted Amount at 1. EUR1,500,000,000 5.25% Securities (Remark 3) 1,500,000,000 -- 1,500,000,000 -- 444,426,008 3.37514 per Ordinary Share ) () 2. US$2,250,000,000 6.375% Securities (Remark 4) US$ 2,250,000,000 -- 2,250,000,000 -- 516,555,014 US$4.35578 per Ordinary Share () 3. US$1,500,000,000 5.625% Securities (Remark 5) US$ 1,500,000,000 -- 1,500,000,000 -- 344,370,009 US$4.35578 per Ordinary Share () 4. US$2,450,000,000 6.375% Securities (Remark 6) US$ 2,450,000,000 -- 2,450,000,000 -- 607,205,170 US$4.03488 per Ordinary Share ()
Amount at close of preceding issuer issued issuer which may be issued as at Class and description Currency of amount outstanding Converted Amount at 5. EUR1,000,000,000 6.00% Securities (Remark 7) 1,000,000,000 -- 1,000,000,000 -- 267,695,330 3.73559 per Ordinary Share ) () 6. US$2,000,000,000 6.875% Securities (Remark 8) US$ 2,000,000,000 -- 2,000,000,000 -- 506,662,613 ) US$3.9474 per Ordinary Share () 7. US$3,000,000,000 6.000% Securities (Remark 9) US$ 3,000,000,000 -- 3,000,000,000 -- 862,093,738 ) US$3.47990 per Ordinary Share () 8. SGD1,000,000,000 4.70% Securities (Remark 10) SGD 1,000,000,000 -- 1,000,000,000 -- 208,032,552 ) SGD4.80694 per Ordinary Share ()
Amount at close of preceding issuer issued issuer which may be issued as at Class and description Currency of amount outstanding Converted Amount at 9. EUR1,250,000,000 4.75% Securities (Remark 11) 1,250,000,000 -- 1,250,000,000 -- 409,230,940 3.05451 per Ordinary Share ) () Total C. (Ordinary ) (Preference ) (Other class)
Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes) of issuer issued Full particulars including, if applicable, and class of issuable: 1. issuer which may be issued as at close of the 2. (Note 1) 3. (Note 1) (Note 1) Total D. (Ordinary ) (Preference ) (Other class)
Other Movements in Issued Share Capital Type of Issue issuer issued No. of new issuer which may be issued as at close of the 1. Rights issue At price : State currency date : : 2. Open offer At price : State currency date : : 3. Placing At price : State currency date : : 4. Bonus issue date : :
Type of Issue issuer issued No. of new issuer which may be issued as at close of the 5. Scrip dividend At price : State currency date : : repurchased (Note 1) 6. Repurchase of Cancellation date : : redeemed (Note 1) 7. Redemption of Redemption date : : 8. Consideration issue At price : State currency date : :
Type of Issue issuer issued No. of new issuer which may be issued as at close of the 9. Capital reorganisation date : : 10. Other (Please specify) - Awards of Performance Shares and Restricted Shares under the HSBC Share Plan and the HSBC Share Plan 2011 (for items (i) to (iii)) At price : State currency (i) (ii) (iii) (iv) (v) 7.3320 7.6880 7.5150 7.3160 7.5630 date : : (i) (ii) (iii) (iv) (v) (11/12/2017) (14/12/2017) (18/12/2017) (06/12/2017) (20/12/2017) () - Awards of under the HSBC International Employee Share Purchase Plan (for items (iv) and (v)) (i) 65,055 (ii) 86,982 (iii) 3,235 (iv) 4,698 (v) 14,869 -- Total E. (Ordinary ) 174,839 (Preference ) (Other class) Total increase / (decrease) in ordinary (i.e. Total of A to E): (1) 750,702 Total increase / (decrease) in preference (i.e. Total of A to E): (2) Total increase / (decrease) in other classes of (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ( Movements in Issued Share Capital ).)
Remarks (if any): 1. The UK Companies Act 2006 has abolished the concept of authorised share capital with effect from 1 October 2009. To reflect this, the new Articles of Association adopted with effect from 1 October 2009 has been amended to remove any reference to authorised share capital. 2. The number of ordinary in issue is inclusive of the ordinary being held in treasury which are not cancelled and remain listed. As at preceding and the, the Company held 325,273,407 ordinary in treasury. 3. Callable September 2022 and Every Five Years Thereafter 4. Callable September 2024 and Every Five Years Thereafter 5. Callable January 2020 and Every Five Years Thereafter 6. Callable March 2025 and Every Five Years Thereafter 7. Callable September 2023 and Every Five Years Thereafter 8. Callable June 2021 and Every Five Years Thereafter 9. Callable May 2027 and Every Five Years Thereafter 10. Callable June 2022 and Every Five Years Thereafter 11. Callable July 2029 and Every Five Years Thereafter Submitted by: Jean Y Ma_ Title: Authorised Signatory (Director, Secretary or other duly authorised officer) Notes : 1. State the class of (e.g. ordinary, preference or other). 2. If there is insufficient space, please append the prescribed continuation sheet.