The Hongkong and Shanghai Banking Corporation Limited – Form 8.5 (EPT/NON-RI) – Hong Kong Exchanges and Clearing



FORM
8.5 (EPT/NON-RI)

 

PUBLIC
OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT
PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR WHERE RI
STATUS IS NOT APPLICABLE)

Rule
8.5 of the Takeover Code (the “Code”)

 

1.         KEY INFORMATION

 























(a) Name
of exempt principal trader:



The HongKong and
Shanghai Banking Corporation Limited



(b) Name
of offeror/offeree in relation to whose relevant securities this form
relates:


     Use
a separate form for each offeror/offeree



Hong Kong Exchanges
and Clearing Limited



(c) Name
of the party to the offer with which exempt principal trader is connected:



Hong Kong Exchanges
and Clearing Limited



(d) Date
position held/dealing undertaken:


     For
an opening position disclosure, state the latest practicable date prior to
the disclosure



 


2 October 2019



(e) In addition to the company in 1(b) above, is
the exempt principal trader making disclosures in respect of any other party
to the offer?


     If it is a cash offer or possible cash offer,
state “N/A”



YES / NO / N/A


If
YES, specify which:
London
Stock Exchange Group plc


 

2.         POSITIONS OF THE EXEMPT PRINCIPAL
TRADER

 

If
there are positions or rights to subscribe to disclose in more than one class
of relevant securities of the offeror or offeree named in 1(b), copy table 2(a)
or (b) (as appropriate) for each additional class of relevant security.

 

(a)        Interests and short positions in the
relevant securities of the offeror or offeree to which the disclosure relates
following the dealing (if any)

 














































Class
of relevant security:


 



 



 


 



Interests



Short positions



Number



%



Number



%



(1) Relevant
securities owned and/or controlled:



       7,215,029


 



0.572


 



20,744


 



0.002


 



 


(2) Cash-settled
derivatives:


 



 


840,500


 



              0.067


 



 


2,122,891


 



              0.168


 



(3) Stock-settled
derivatives (including options) and agreements to purchase/sell:



 


749,187


 



              0.059


 



 


609,135


 



              0.048


 



 


     TOTAL:



 


8,804,716


 



          0.698


 



 


2,752,770


 



              0.218


 


 

All interests and all short
positions should be disclosed.

 

Details of any open stock-settled
derivative positions (including traded options), or agreements to purchase or
sell relevant securities, should be given on a Supplemental Form 8 (Open
Positions).

 

(b)        Rights to subscribe for new securities
(including directors’ and other employee options)

 











Class of
relevant security in relation to which subscription right exists:



 



Details,
including nature of the rights concerned and relevant percentages:



 


 

 

3.         DEALINGS (IF ANY) BY THE EXEMPT
PRINCIPAL TRADER

 

Where there have been
dealings in more than one class of relevant securities of the offeror or offeree
named in 1(b), copy table 3(a), (b), (c) or (d) (as appropriate) for each
additional class of relevant security dealt in.

 

The currency of all
prices and other monetary amounts should be stated.

 

(a)        Purchases and sales

 
























Class of relevant security



Purchases/ sales


 



Total number of securities



Highest price per unit paid/received



Lowest price per unit paid/received



 


Ordinary Shares



 


Purchase


 



 


214,521


 



 


228.400 HKD


 



 


225.400 HKD



 


Ordinary Shares



 


Sale


 



 


35,640


 



 


228.400 HKD



 


225.600 HKD


 


                       

 

(b)        Cash-settled derivative transactions

 

































































































































































































































































































































































































Class of relevant security



Product description



Nature of dealing



Number of reference securities



Price per unit



e.g. CFD



e.g. opening/closing a long/short position,
increasing/reducing a long/short position



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



163500



0.17



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



52200



0.28



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



52500



0.04



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



82100



0.05



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



51100



0.04



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



139300



0.08



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



95600



0.07



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



235700



0.13



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



81600



0.05



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



95600



0.07



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



235700



0.13



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



126900



0.1



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



125000



0.1



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



53300



0.04



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



52200



0.29



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



159000



0.17



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



51100



0.04



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



145800



0.08



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



33800



0.18



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



46400



0.13



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



37800



0.18



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



5200



0.05



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



1100



0.05



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



2400



0.03



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



400



0.1



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



200



0.08



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



3900



0.03



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



82300



0.1



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



81400



0.1



Ordinary Shares



Cash Settled Call Option



Reducing a Short Position



100



0.07



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



2100



0.32



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



49700



0.17



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



2700



0.35



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



21700



0.26



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



3500



0.4



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



5400



0.02



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



700



0.06



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



11500



0.22



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



5400



0.02



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



59800



0.17



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



400



0.1



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



23500



0.22



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



3700



0.04



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



300



0.07



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



16200



0.26



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



100



0.08



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



4100



0.4



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



2100



0.32



Ordinary Shares



Cash Settled Put Option



Increasing a Short Position



2700



0.35



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



31800



0.06



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



17200



0.05



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



2800



0.04



Ordinary Shares



Cash Settled Put Option



Reducing a Short Position



51600



0.13


 

(c)        Stock-settled derivative transactions (including
options)

 




































Class of relevant security



Product description e.g. call option



Writing, purchasing, selling, varying etc.



Number of securities to which option relates



Exercise price per unit (HKD)



Type



Expiry date



Option money paid/ received per unit



e.g. American, European etc.



Ordinary Shares



Put Option



Selling



100



89.94



American



4/17/2020



 



Ordinary Shares



Call
Option



Selling



3300



3.59



American



10/30/2019



 


 

  1. Writing,
    selling, purchasing or varying

     

  2. Exercise

 

















Class of relevant security



Product description


e.g. call option



Exercising/ exercised against



Number of securities



Exercise price per unit



 



 



 



 



 


 


 

(d)        Other dealings (including subscribing
for new securities)

 















Class of
relevant security



Nature of dealing


e.g.
subscription, conversion



Details



Price per
unit (if applicable)



 



 


 



 



 


 

 

4.         OTHER INFORMATION

 

(a)        Indemnity and other dealing arrangements

 









Details of
any indemnity or option arrangement, or any agreement or understanding,
formal or informal, relating to relevant securities which may be an inducement
to deal or refrain from dealing entered into by the exempt principal trader
making the disclosure and any party to the offer or any person acting in
concert with a party to the offer:


Irrevocable
commitments and letters of intent should not be included.  If there are no such agreements,
arrangements or understandings, state “none”



 


 


 


 

(b)        Agreements, arrangements or
understandings relating to options or derivatives

 









Details
of any agreement, arrangement or understanding, formal or informal, between the
exempt principal trader making the disclosure and any other person relating
to:


(i)  the
voting rights of any relevant securities under any option; or


(ii) the
voting rights or future acquisition or disposal of any relevant securities to
which any derivative is referenced:


If there are no such agreements, arrangements
or understandings, state “none”



 


 


 


 

(c)        Attachments

 







Is
a Supplemental Form 8 (Open Positions) attached?



YES


 
















































































































































































































































































































































































































































































































































































































































































































































































































































Class of relevant security



Product description e.g. call option



Written or purchased



Number of securities to which option or derivative
relates



Exercise price per unit



Type



Expiry date



e.g. American, European etc.



Ordinary Shares



Call Option



Written



12300



291.9



 



30/10/19



Ordinary Shares



Put Option



Purchased



17030



190.19



 



30/12/19



Ordinary Shares



Call Option



Written



3300



245



 



30/10/19



Ordinary Shares



Put Option



Purchased



11790



190.57



 



30/12/19



Ordinary Shares



Put Option



Purchased



3000



240



 



30/03/20



Ordinary Shares



Put Option



Written



6851



235



 



30/03/20



Ordinary Shares



Put Option



Written



12795



235



 



30/03/20



Ordinary Shares



Call Option



Written



3000



260



 



28/11/19



Ordinary Shares



Put Option



Purchased



6600



205



 



30/12/19



Ordinary Shares



Call Option



Purchased



3300



260



 



28/11/19



Ordinary Shares



Put Option



Written



403



235



 



30/12/19



Ordinary Shares



Call Option



Written



163100



235



 



30/12/19



Ordinary Shares



Call Option



Written



3300



265



 



30/03/20



Ordinary Shares



Put Option



Written



40651



235



 



11/11/19



Ordinary Shares



Put Option



Purchased



489500



220



 



30/12/19



Ordinary Shares



Put Option



Purchased



950



209.76



 



30/12/19



Ordinary Shares



Call Option



Written



18160



286.34



 



30/12/19



Ordinary Shares



Put Option



Purchased



3300



235



 



30/10/19



Ordinary Shares



Put Option



Written



902



235



 



30/10/20



Ordinary Shares



Put Option



Purchased



3300



210



 



28/11/19



Ordinary Shares



Put Option



Purchased



3400



260



 



30/12/19



Ordinary Shares



Put Option



Purchased



1672



217.93



 



30/12/19



Ordinary Shares



Call Option



Written



3300



255



 



30/10/19



Ordinary Shares



Put Option



Written



3300



220



 



30/12/19



Ordinary Shares



Put Option



Written



3908



235



 



30/12/19



Ordinary Shares



Put Option



Purchased



4619



213.94



 



30/12/19



Ordinary Shares



Put Option



Written



4063



235



 



30/12/19



Ordinary Shares



Call Option



Written



5448



295.272



 



30/10/19



Ordinary Shares



Put Option



Purchased



4350



197.16



 



30/03/20



Ordinary Shares



Put Option



Written



10000



275



 



30/03/20



Ordinary Shares



Put Option



Purchased



13194



220.02



 



30/03/20



Ordinary Shares



Call Option



Purchased



3300



265



 



28/11/19



Ordinary Shares



Put Option



Purchased



1360



200.07



 



30/03/20



Ordinary Shares



Put Option



Purchased



1435



214.08



 



30/12/19



Ordinary Shares



Put Option



Purchased



14080



219.83



 



30/12/19



Ordinary Shares



Put Option



Purchased



200



275



 



30/12/19



Ordinary Shares



Put Option



Purchased



24000



230



 



30/12/19



Ordinary Shares



Call Option



Written



20400



290.666



 



30/10/19



Ordinary Shares



Put Option



Written



10055



235



 



30/12/19



Ordinary Shares



Call Option



Written



37600



281.396



 



30/10/19



Ordinary Shares



Call Option



Written



3300



260



 



30/12/19



Ordinary Shares



Call Option



Written



3300



265



 



30/12/19



Ordinary Shares



Put Option



Purchased



19000



221.389197



 



30/12/19



Ordinary Shares



Put Option



Purchased



14720



216.03



 



30/10/19



Ordinary Shares



Put Option



Written



448



235



 



30/12/19



Ordinary Shares



Put Option



Purchased



2000



280



 



30/12/19



Ordinary Shares



Put Option



Purchased



3162



203.3



 



30/12/19



Ordinary Shares



Put Option



Written



3754



235



 



22/06/20



Ordinary Shares



Put Option



Purchased



3002



218.12



 



30/03/20



Ordinary Shares



Call Option



Written



55000



225



 



30/12/19



Ordinary Shares



Call Option



Written



2000



285



 



30/12/19



Ordinary Shares



Call Option



Written



18080



285.81



 



30/12/19



Ordinary Shares



Put Option



Purchased



3024



212.24596



 



28/11/19



Ordinary Shares



Call Option



Written



20400



293.138



 



30/03/20



Ordinary Shares



Put Option



Purchased



3300



265



 



30/03/20



Ordinary Shares



Call Option



Written



3300



265



 



28/11/19



Ordinary Shares



Call Option



Purchased



3300



240



 



30/10/19



Ordinary Shares



Put Option



Purchased



3000



240



 



30/10/19



Ordinary Shares



Put Option



Purchased



3300



225



 



30/10/19



Ordinary Shares



Put Option



Written



3300



215



 



30/12/19



Ordinary Shares



Put Option



Written



400



225



 



30/03/20



Ordinary Shares



Put Option



Written



2500



200



 



30/12/19



Ordinary Shares



Put Option



Written



5406



235



 



30/03/20



Ordinary Shares



Put Option



Written



1270



235



 



30/12/19



Ordinary Shares



Call Option



Written



3300



240



 



30/10/19



Ordinary Shares



Put Option



Purchased



1980



186.966



 



30/12/19



Ordinary Shares



Put Option



Purchased



4080



191.9



 



28/11/19



Ordinary Shares



Put Option



Purchased



5320



203.3



 



30/10/19



Ordinary Shares



Put Option



Purchased



4658



203.87



 



30/03/20



Ordinary Shares



Put Option



Purchased



6816



217.28



 



28/11/19



Ordinary Shares



Put Option



Purchased



4505



217.17



 



30/10/19



Ordinary Shares



Put Option



Written



2853



235



 



30/03/20



Ordinary Shares



Put Option



Purchased



28320



215.46



 



30/03/20



Ordinary Shares



Put Option



Purchased



10000



225



 



30/12/19



Ordinary Shares



Call Option



Written



3300



235



 



30/10/19



Ordinary Shares



Call Option



Written



3300



275



 



30/12/19



Ordinary Shares



Put Option



Written



60872



235



 



30/12/19



Ordinary Shares



Call Option



Written



1400



280



 



30/12/19



Ordinary Shares



Put Option



Written



741



235



 



06/01/20



Ordinary Shares



Put Option



Purchased



1600



270



 



30/12/19



Ordinary Shares



Put Option



Purchased



4560



216.79



 



28/11/19



Ordinary Shares



Call Option



Purchased



100



245



 



30/12/19



Ordinary Shares



Put Option



Purchased



1845



216.03



 



28/11/19



Ordinary Shares



Call Option



Written



11475



292.52



 



28/11/19



Ordinary Shares



Call Option



Written



3300



255



 



28/11/19



Ordinary Shares



Put Option



Written



3300



235



 



30/03/20



Ordinary Shares



Call Option



Written



30000



275



 



30/03/20



Ordinary Shares



Put Option



Purchased



3300



240



 



30/12/19



Ordinary Shares



Put Option



Purchased



3915



185.349



 



30/12/19


 

 















Date of disclosure:



3
October 2019



Contact name:



Mukhtar
Khan



Telephone number:



+44
20 7088 2000


 

Public disclosures
under Rule 8 of the Code must be made to a Regulatory Information Service.

 

The Panel’s Market
Surveillance Unit is available for consultation in relation to the Code’s
disclosure requirements on +44 (0)20 7638 0129.

 

The Code can be viewed
on the Panel’s website at www.thetakeoverpanel.org.uk.

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