No. of ordinary shares

Transcription

1 Monthly Return of Equity Issuer on Movements in Securities For the ended : 30/09/2016 To : Hong Kong Exchanges and Clearing Limited Name of Issuer HSBC Holdings plc Date Submitted 3 October 2016 I. Movements in Authorised Share Capital 1. Ordinary Shares (1) Stock code : 5 Description : Ordinary Shares Balance at close of preceding No. of ordinary Par value ( ) Authorised share capital ( ) Increase/(decrease) Balance at (2) Stock code : Description : Balance at close of preceding No. of ordinary Par value ( ) Authorised share capital ( ) Increase/(decrease) Balance at

2 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 ( ) Authorised share capital ( ) Increase/(decrease) Balance at 3. Other Classes of Shares Stock code : Description : Balance at close of preceding No. of other classes of Par value ( ) Authorised share capital ( ) Increase/(decrease) Balance at Total authorised share capital at the end of the ( ) :

3 II. Movements in Issued Share Capital Balance at close of preceding No. of ordinary (1) (2) 19,925,387,193 (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) 140,265,264 (US$0.50) Balance at close of the 20,065,652,457 (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 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 15,043, , ,608, ,150 74,461,298 (Note 1) 3. HSBC Holdings Group Share Option Plan Ordinary (Note 1) 4. HSBC Share Plan Ordinary (Note 1) Total A. (Ordinary ) 212,150 (Preference ) (Other class) Total funds raised from exercise of options ( ) 1,016, and 23,206.99

4 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 Total B. (Ordinary ) (Preference ) (Other class)

5 Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed) Amount at close of preceding issuer which may be issued as at Class and description Currency of amount outstanding Converted Amount at 1. EUR1,500,000, % Securities (Remark 3) 1,500,000, ,500,000, ,426,008 Ordinary Shares per Ordinary Share ) () 2. US$2,250,000, % Securities (Remark 4) US$ 2,250,000, ,250,000, ,555,014 Ordinary Shares US$ per Ordinary Share () 3. US$1,500,000, % Securities (Remark 5) US$ 1,500,000, ,500,000, ,370,009 Ordinary Shares US$ per Ordinary Share () 4. US$2,450,000, % Securities (Remark 6) US$ 2,450,000, ,450,000, ,205,170 Ordinary Shares US$ per Ordinary Share ()

6 Amount at close of preceding issuer which may be issued as at Class and description Currency of amount outstanding Converted Amount at 5. EUR1,000,000, % Securities (Remark 7) 1,000,000, ,000,000, ,695,330 Ordinary Shares per Ordinary Share ) () 6. US$2,000,000, % Securities (Remark 8) US$ 2,000,000, ,000,000, ,662,613 ) Ordinary Shares US$ per Ordinary Share () Total C. (Ordinary ) (Preference ) (Other class)

7 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 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)

8 Other Movements in Issued Share Capital Type of Issue No. of new issuer which may be issued as at close of the 1. Rights issue At price : date : 2. Open offer At price : date : 3. Placing At price : date : 4. Bonus issue date :

9 Type of Issue No. of new issuer which may be issued as at close of the Ordinary 5. Scrip dividend At price : US$ date : (28/09/2016) () 139,914, Repurchase of (Remark 9) repurchased (Note 1) Cancellation date : redeemed (Note 1) 7. Redemption of Redemption date : 8. Consideration issue At price : date :

10 Type of Issue 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 item (i)) At price : (i) (ii) (iii) date : Ordinary Shares (i) (ii) (iii) (30/09/2016) (07/09/2016) (21/09/2016) () -Awards of under the HSBC International Employee Share Purchase Plan (for items (ii) to (iii)) (i) 127,535 (ii) 2,154 (iii) 8, Total E. (Ordinary ) 140,053,114 (Preference ) (Other class) Total increase / (decrease) in ordinary (i.e. Total of A to E): (1) 140,265,264 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 ).)

11 Remarks (if any): 1. The UK Companies Act 2006 has abolished the concept of authorised share capital with effect from 1 October 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. This 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 37,287,407 and 116,447,967 ordinary in treasury respectively. 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. During the, 79,160,560 ordinary were repurchased by the Company and are held in treasury which are not cancelled and remain listed. Submitted by: William S M Tam_ Title: Authorised Signatory (Director, Secretary or other duly authorised officer) Notes : 1. the class of (e.g. ordinary, preference or other). 2. If there is insufficient space, please append the prescribed continuation sheet.