Monthly Return of Equity Issuer on Movements in Securities
For the month ended
(dd/mm/yyyy) :31/3/2021
To : Hong Kong Exchanges and Clearing Limited
Name of Issuer | Standard Chartered PLC | ||||||||||
Date Submitted | 9 April 2021 | ||||||||||
I. Movements in Authorised Share Capital | |||||||||||
1. Ordinary Shares | |||||||||||
(1) Stock code : N/A | Description : | ||||||||||
Par value | Authorised share | ||||||||||
No. of ordinary | (State | capital | |||||||||
shares | currency) | (State currency) | |||||||||
Balance at close of preceding month | |||||||||||
Increase/(decrease) | |||||||||||
Balance at close of the month | |||||||||||
(2) Stock code : N/A | Description : | ||||||||||
Par value | Authorised share | ||||||||||
No. of ordinary | (State | capital | |||||||||
shares | currency) | (State currency) |
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month
March 2019
2. Preference Shares
Stock code : | N/A | Description : | ||||||||
No. of | Par value | Authorised share | ||||||||
preference | (State | capital | ||||||||
shares | currency) | (State currency) | ||||||||
Balance at close of preceding month | ||||||||||
Increase/(decrease) | ||||||||||
Balance at close of the month | ||||||||||
3. Other Classes of Shares | ||||||||||
Stock code : | N/A | Description : | ||||||||
No. of other | Par value | Authorised share | ||||||||
classes of | (State | capital | ||||||||
shares | currency) | (State currency) |
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month
Total authorised share capital at the end of the month (State currency) :
March 2019
II. Movements in Issued Share Capital
No. of ordinary shares | No. of other | ||||||||
(1) | (2) | No of preference shares | classes of shares | ||||||
Balance at close of | £1.00 | US$5.00 | |||||||
preceding month | 3,156,182,262 | N/A | 195,285,000 | 15,000 | N/A | ||||
Increase/ (decrease) | |||||||||
during the month | (37,148,399) | N/A | N/A | ||||||
Balance at close of | |||||||||
the month | 3,119,033,863 | 195,285,000 | 15,000 | ||||||
March 2019
III. Details of Movements in Issued Share Capital
Share Options (under Share Option Schemes of the Issuer) | ||||||
Particulars of share | No. of new | No. of new | ||||
shares of issuer | shares of issuer | |||||
option scheme | ||||||
issued during | which may be | |||||
including EGM | ||||||
the month | issued pursuant | |||||
approval date | Movement during the month | |||||
pursuant thereto | thereto as at | |||||
(dd/mm/yyyy) and | ||||||
close of the | ||||||
class of shares | ||||||
month | ||||||
issuable | Granted | Exercised | Cancelled | Lapsed | ||
1. 2011 Discretionary Share Plan - Performance
Share Award | |||||||
( / / | ) | ||||||
Ordinary shares | Nil | 2,830 | Nil | 830 | Nil | 24,150 |
(Note 1)
2. 2011 Discretionary Share Plan - Restricted
Share Award | |||||||
( / / | ) | ||||||
Ordinary shares | 16,799,465 | 13,640,013 | Nil | 79,942 | Nil | 42,260,175 |
(Note 1)
3. 2011 Discretionary Share Plan - Management
Long Term Incentive Plan | |||||||
( / / | ) | ||||||
Ordinary shares | 2,794,248 | 109,684 | Nil | 14,297,211 | Nil | 7,483,578 |
(Note 1)
4. 2011 Discretionary Share Plan - Executive
Long Term Incentive Plan | |||||||
( / / | ) | ||||||
Ordinary shares | 1,240,549 | 120,756 | Nil | 649,300 | Nil | 4,214,204 |
(Note 1)
5. Standard Chartered 2013 Sharesave Plan
( / / | ) | ||||||
Ordinary shares | Nil | Nil | Nil | 236,151 | Nil | 16,002,211 |
(Note 1)
6.
( | / | / | ) |
Shares
(Note 1)
7.
( | / | / | ) |
Shares
(Note 1)
Total A. (Ordinary shares) Nil
(Preference shares) N/A
(Other class) N/A
Total funds raised during the month from exercise of | |
options (State currency) | £0.00 |
March 2019
Warrants to Issue Shares of the Issuer which are to be Listed
No. of new | ||||||
No. of new | shares of | |||||
shares of | issuer which | |||||
issuer | may be | |||||
issued | issued | |||||
Nominal value | during the | pursuant | ||||
Currency | at close of | Exercised | Nominal value | month | thereto as at | |
Description of warrants | of nominal | preceding | during the | at close of the | pursuant | close of the |
(Date of expiry - dd/mm/yyyy) | value | month | month | month | thereto | month |
1. N/A
( | / / | ) | ||
Stock code (if listed) | ||||
Class of shares | ||||
issuable (Note 1) | ||||
Subscription price | ||||
EGM approval date | ||||
(if applicable) | ||||
(dd/mm/yyyy) | ( / / | ) |
2. N/A
( | / / | ) | ||
Stock code (if listed) | ||||
Class of shares | ||||
issuable (Note 1) | ||||
Subscription price | ||||
EGM approval date | ||||
(if applicable) | ||||
(dd/mm/yyyy) | ( / / | ) |
3. N/A
( | / / | ) | ||
Stock code (if listed) | ||||
Class of shares | ||||
issuable (Note 1) | ||||
Subscription price | ||||
EGM approval date | ||||
(if applicable) | ||||
(dd/mm/yyyy) | ( / / | ) |
4. N/A
( | / / | ) | ||
Stock code (if listed) | ||||
Class of shares | ||||
issuable (Note 1) | ||||
Subscription price | ||||
EGM approval date | ||||
(if applicable) | ||||
(dd/mm/yyyy) | ( / / | ) |
Total B. (Ordinary shares) N/A
(Preference shares) N/A
(Other class) N/A
March 2019
Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)
No. of new | ||||||
shares of | No. of new | |||||
issuer | shares of issuer | |||||
issued | which may be | |||||
Amount at | during the | issued pursuant | ||||
Currency of | close of | Converted | Amount at | month | thereto as at | |
amount | preceding | during the | close of the | pursuant | close of the | |
Class and description | outstanding | month | month | month | thereto | month |
1. US$2 billion 7.5% Resetting Perpetual Subordinated
Contingent Convertible | |||||||||||||
Securities | US$ | US$2 billion | Nil | US$2 billion | Nil | 258,665,287 | |||||||
Stock code (if listed) | 4305 | ||||||||||||
Class of shares | |||||||||||||
issuable (Note 1) | Ordinary | ||||||||||||
Subscription price | US$7.732* | ||||||||||||
EGM approval date | |||||||||||||
(if applicable) | |||||||||||||
(dd/mm/yyyy) | (04/05/2016) | ||||||||||||
2. US$1 billion 7.75% | |||||||||||||
Resetting Perpetual | |||||||||||||
Subordinated Contingent | |||||||||||||
Convertible Securities | US$ | US$1 billion | Nil | US$1 billion | Nil | 129,332,643 | |||||||
Stock code (if listed) | 5348 | ||||||||||||
Class of shares | |||||||||||||
issuable (Note 1) | Ordinary | ||||||||||||
Subscription price | US$7.732* | ||||||||||||
EGM approval date | |||||||||||||
(if applicable) | |||||||||||||
(dd/mm/yyyy) | (04/05/2016) |
3. SGD750,000,000 5.375% Resetting Perpetual Subordinated Contingent
SGD | SGD | ||||||||||||
Convertible Securities | SGD | 750,000,000 | Nil | 750,000,000 | Nil | 68,750,572 | |||||||
Stock code (if listed) | 5986 | ||||||||||||
Class of shares | |||||||||||||
issuable (Note 1) | Ordinary | ||||||||||||
Subscription price | SGD10.909* | ||||||||||||
EGM approval date | |||||||||||||
(if applicable) | |||||||||||||
(dd/mm/yyyy) | (08/05/2019) | ||||||||||||
4. US$1 billion 6% | |||||||||||||
Resetting Perpetual | |||||||||||||
Subordinated Contingent | |||||||||||||
Convertible Securities | US$ | US$1 billion | Nil | US$1 billion | Nil | 187,582,067 | |||||||
Stock code (if listed) | 40276 | ||||||||||||
Class of shares | |||||||||||||
issuable (Note 1) | Ordinary | ||||||||||||
Subscription price | US$ 5.331* | ||||||||||||
EGM approval date | |||||||||||||
(if applicable) | |||||||||||||
(dd/mm/yyyy) | (06/05/2020) |
5. US$1.25 billion 4.75% Resetting Perpetual Subordinated Contingent
US$1.25 | ||||||||||||||
Convertible Securities | US$ | US$1.25 billion | Nil | billion | Nil | 196,757,437 | ||||||||
Stock code (if listed) | 40518 | |||||||||||||
Class of shares | ||||||||||||||
issuable (Note 1) | Ordinary | |||||||||||||
Subscription price | US$6.353* |
March 2019
No. of new | ||||||||
shares of | No. of new | |||||||
issuer | shares of issuer | |||||||
issued | which may be | |||||||
Amount at | during the | issued pursuant | ||||||
Currency of | close of | Converted | Amount at | month | thereto as at | |||
amount | preceding | during the | close of the | pursuant | close of the | |||
Class and description | outstanding | month | month | month | thereto | month | ||
EGM approval date | ||||||||
(if applicable) | ||||||||
(dd/mm/yyyy) | (06/05/2020) | |||||||
Total C. (Ordinary shares) Nil | ||||||||
(Preference shares) N/A | ||||||||
(Other class) N/A | ||||||||
- Conversion price of the security
- Adjusted post rights issue
Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)
No. of new shares of | |||||||
No. of new shares | issuer which may be | ||||||
issued pursuant | |||||||
of issuer issued | |||||||
Full particulars including EGM approval date (dd/mm/yyyy), | during the month | thereto as at close of | |||||
if applicable, and class of shares issuable: | pursuant thereto | the month | |||||
1. | N/A | ||||||
( | / | / | ) | ||||
shares (Note 1) | |||||||
2. | N/A | ||||||
( | / | / | ) | ||||
shares (Note 1) | |||||||
3. | N/A | ||||||
( | / | / | ) | ||||
shares (Note 1) | |||||||
N/A | |||||||
Total D. (Ordinary shares) | |||||||
(Preference shares) | N/A | ||||||
(Other class) | N/A | ||||||
March 2019
Other Movements in Issued Share Capital
No. of new | |||||||||||||||
shares of | |||||||||||||||
No. of new | issuer which | ||||||||||||||
shares of | may be | ||||||||||||||
issuer issued | issued | ||||||||||||||
during the | pursuant | ||||||||||||||
month | thereto as at | ||||||||||||||
pursuant | close of the | ||||||||||||||
Type of Issue | thereto | month | |||||||||||||
Class | of | shares | ________ | ||||||||||||
issuable (Note 1) | |||||||||||||||
1. | Rights issue | At price : | State | N/A | Issue and allotment | ( | / | / | ) | ||||||
currency | date : (dd/mm/yyyy) | ||||||||||||||
EGM approval date: | ( | / | / | ) | |||||||||||
(dd/mm/yyyy) | |||||||||||||||
Class | of | shares | ________ | ||||||||||||
issuable (Note 1) | |||||||||||||||
2. | Open offer | At price : | State | N/A | Issue and allotment | ( | / | / | ) | ||||||
currency | date : (dd/mm/yyyy) | ||||||||||||||
EGM approval date: | ( | / | / | ) | |||||||||||
(dd/mm/yyyy) | |||||||||||||||
Class | of | shares | ________ | ||||||||||||
issuable (Note 1) | |||||||||||||||
3. | Placing | At price : | State | N/A | Issue and allotment | ( | / | / | ) | ||||||
currency | date : (dd/mm/yyyy) | ||||||||||||||
EGM approval date: | ( | / | / | ) | |||||||||||
(dd/mm/yyyy) | |||||||||||||||
Class | of | shares | ________ | ||||||||||||
issuable (Note 1) | |||||||||||||||
4. | Bonus issue | N/A | Issue and allotment | ( | / | / | ) | ||||||||
date : (dd/mm/yyyy) | |||||||||||||||
EGM approval date: | ( | / | / | ) | |||||||||||
(dd/mm/yyyy)
March 2019
No. of new | ||
shares of | ||
No. of new | issuer which | |
shares of | may be | |
issuer issued | issued | |
during the | pursuant | |
month | thereto as at | |
pursuant | close of the | |
Type of Issue | thereto | month |
Class | of | shares | ________ | ||
issuable (Note 1) | |||||
State | Issue and allotment | ( | / | / | ) |
5. Scrip dividend At price : currency N/Adate : (dd/mm/yyyy) | |||||
EGM approval date: | ( | / | / | ) | |
(dd/mm/yyyy) |
Class | of | shares | Ordinary | |
repurchased (Note 1) | Shares | |||
Cancellation date : | 03/03/2021 | |||
04/03/2021 | ||||
6. Repurchase of | 05/03/2021 | |||
N/A | 08/03/2021 | |||
shares | 09/03/2021 | |||
16/03/2021 | ||||
23/03/2021 | ||||
24/03/2021 | ||||
31/03/2021 | ||||
EGMAGM approval | 06/05/2020 | |||
date: |
Class of shares | ________ | |||||
redeemed (Note 1) | ||||||
7. Redemption of | N/A | Redemption date : | ( | / | / | ) |
shares | (dd/mm/yyyy) | |||||
EGM approval date: | ( | / | / | ) | ||
(dd/mm/yyyy)
(1,517,128)
(1,629,519)
(1,703,654)
(1,764,461)
(1,685,198)
(8,215,760)
(8,058,975)
(1,886,278)
(10,687,426)
-
(37,148,399)
Class of | shares | ________ | ||||||
issuable (Note 1) | ||||||||
8. Consideration | At price : | State | N/A | Issue and allotment | ( | / | / | ) |
issue | currency | date : (dd/mm/yyyy) | ||||||
EGM approval date: | ( | / | / | ) | ||||
(dd/mm/yyyy)
March 2019
No. of new | |||||||||||||||||||
shares of | |||||||||||||||||||
No. of new | issuer which | ||||||||||||||||||
shares of | may be | ||||||||||||||||||
issuer issued | issued | ||||||||||||||||||
during the | pursuant | ||||||||||||||||||
month | thereto as at | ||||||||||||||||||
pursuant | close of the | ||||||||||||||||||
Type of Issue | thereto | month | |||||||||||||||||
Class | of | shares | ________ | ||||||||||||||||
issuable (Note 1) | |||||||||||||||||||
9. Capital | N/A | Issue and allotment | ( | / | / | ) | |||||||||||||
reorganisation | date : (dd/mm/yyyy) | ||||||||||||||||||
EGM approval date: | ( | / | / | ) | |||||||||||||||
(dd/mm/yyyy) | |||||||||||||||||||
Class | of | shares | ________ | ||||||||||||||||
issuable (Note 1) | |||||||||||||||||||
10. Other | At price : | State | N/A | Issue and allotment | ( | / | / | ) | |||||||||||
(Please specify) | currency | date : (dd/mm/yyyy) | |||||||||||||||||
EGM approval date: | ( | / | / | ) | |||||||||||||||
(dd/mm/yyyy) | |||||||||||||||||||
Total E. (Ordinary shares) | (37,148,399) | ||||||||||||||||||
(Preference shares) | N/A | ||||||||||||||||||
(Other class) | N/A | ||||||||||||||||||
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) | (37,148,399) | ||||||||||||||||||
(2) | N/A | ||||||||||||||||||
Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): | N/A | ||||||||||||||||||
Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to | |||||||||||||||||||
N/A | |||||||||||||||||||
E): | |||||||||||||||||||
(These figures should be the same as the relevant figures under II above ("Movements in Issued Share | |||||||||||||||||||
Capital").) |
IV. Confirmations
We hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued by the issuer during the month as set out in Part III which has not been previously disclosed in a return published under rule 13.25A, it has been duly authorized by the board of directors of the listed issuer and, insofar as applicable:
(Note 2)
- all money due to the listed issuer in respect of the issue of securities has been received by it;
- all pre-conditions for listing imposed by the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited under "Qualifications of listing" have been fulfilled;
- all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled;
March 2019
- all the securities of each class are in all respects identical (Note 3);
- all documents required by the Companies (Winding Up and Miscellaneous Provisions) Ordinance to be filed with the Registrar of Companies have been duly filed and that compliance has been made with other legal requirements;
- all the definitive documents of title have been delivered/are ready to be delivered/are being prepared and will be delivered in accordance with the terms of issue;
- completion has taken place of the purchase by the issuer of all property shown in the listing document to have been purchased or agreed to be purchased by it and the purchase consideration for all such property has been duly satisfied; and
- the trust deed/deed poll relating to the debenture, loan stock, notes or bonds has been completed and executed, and particulars thereof, if so required by law, have been filed with the Registrar of Companies.
Remarks (if any):
Submitted by: ___ Fan Mei Kee Maggie ______________________
Title: _________ Assistant Company Secretary___________
(Director, Secretary or other duly authorised officer)
Notes :
- State the class of shares (e.g. ordinary, preference or other).
- Items (i) to (viii) are suggested forms of confirmation which may be amended to meet individual cases. Where the issuer has already made the relevant confirmations in a return published under rule 13.25A in relation to the securities issued, no further confirmation is required to be made in this return.
- "Identical" means in this context:
- the securities are of the same nominal value with the same amount called up or paid up;
- they are entitled to dividend/interest at the same rate and for the same period, so that at the next ensuing distribution, the dividend/interest payable per unit will amount to exactly the same sum (gross and net); and
- they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.
- If there is insufficient space, please append the prescribed continuation sheet.
March 2019
Attachments
- Original document
- Permalink
Disclaimer
Standard Chartered plc published this content on 09 April 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 09 April 2021 09:11:07 UTC.