Standard Chartered PLC — Major Shareholding Notification 2020

Mar 6, 2020

Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this document, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this document.

Standard Chartered

STANDARD CHARTERED PLC

渣打集團有限公司

(Incorporated as a public limited company in England and Wales with limited liability)

(Registered Number: 966425)

(Stock Code: 02888)

TR-1: Standard form for notification of major holdings

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached:	Standard Chartered PLC
1b. Please indicate if the issuer is a non-UK issuer (please mark with an “X” if appropriate)
Non-UK issuer
2. Reason for the notification (please mark the appropriate box or boxes with an “X”)
An acquisition or disposal of voting rights		X
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify):
3. Details of person subject to the notification obligation
Name	Wellington Management Group LLP
City and country of registered office (if applicable)	Boston, USA
4. Full name of shareholder(s) (if different from 3)
Name	Mellon Nominees (UK) Ltd.
BBH ISL NOMINEES LTD
BNY Mellon Nominees Limited
Euroclear Nominees Limited
GOLDMAN SACHS INTERNATIONAL
JP Morgan Chase Nominees Limited
Mellon Nominees (UK) Ltd.
Nortrust Nominees Limited
ROY Nominees Limited
State Street Nominees Limited
VIDACOS NOMINEES LIMITED
City and country of registered office (if applicable)

---

5. Date on which the threshold was crossed or reached:		04/03/2020
6. Date on which issuer notified (DD/MM/YYYY):		05/03/2020
7. Total positions of person(s) subject to the notification obligation:
	% of voting rights attached to shares (total of 8.A)	% of voting rights through financial instruments (total of 8.B.1 + 8.B.2)	Total of both in % (8.A + 8.B)	Total number of voting rights of issuer
Resulting situation on the date on which threshold was crossed or reached	4.44%	0.74%	5.18%	798,176,219
Position of previous notification (if applicable)

---

3

8. Notified details of the resulting situation on the date on which the threshold was crossed or reached:
A: Voting rights attached to shares
Class/type of shares ISIN code (if possible)	Number of voting rights		% of voting rights
	Direct (Art 9 of Directive 2004/109/EC) (DTR5.1)	Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1)	Direct (Art 9 of Directive 2004/109/EC) (DTR5.1)	Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1)
GB0004082847 Common Stock		35,443,243		4.44%
SUBTOTAL 8.A	35,443,243		4.44%
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
---	---	---	---	---
Type of financial instrument	Expiration date	Exercise/ Conversion Period	Number of voting rights that may be acquired if the instrument is exercised/converted	% of voting rights
Equity Call Option	21/08/2020	01/01/1900to21/08/2020	1,695,036 Equity Call Option shares or 1,695,036 votes on a converted basis	0.21%
Equity Call Option	21/08/2020	01/01/1900to21/08/2020	1,129,803 Equity Call Option shares or 1,129,803 votes on a converted basis	0.14%
		SUBTOTAL 8.B.1	2,824,839	0.35%
B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
---	---	---	---	---
Type of financial instrument	Expiration date	Exercise/ Conversion Period	Physical or cash settlement	Number of voting rights
Equity Put Option	21/08/2020	01/01/1900to21/08/2020	Physical settlement	1,695,036 Equity Put Option shares or 1,695,036 votes on a converted basis
Equity Put Option	21/08/2020	01/01/1900to21/08/2020	Physical settlement	1,129,803 Equity Put Option shares or 1,129,803 votes on a converted basis
Equity Swap	20/05/2020	13/02/2020to20/05/2020	Cash settlement	226,070 Equity Swap shares

---

				or 226,070 votes on a converted basis
Equity Swap	20/05/2020	02/03/2020to20/05/2020	Cash settlement	32,033 Equity Swap shares or 32,033 votes on a converted basis	0.00%
Equity Swap	20/05/2020	03/03/2020to20/05/2020	Cash settlement	28,392 Equity Swap shares or 28,392 votes on a converted basis	0.00%
Index Future	04/03/2020	01/01/1900to04/03/2020	Cash settlement	2,464 Index Future shares or 25,805 votes on a converted basis	0.00%
Exchange Traded Fund	04/03/2020	04/03/2020	Cash settlement	362,342 Exchange Traded Fund shares or 3,776 votes on a converted basis	0.00%
SUBTOTAL 8.B.2				3,140,915	0.39%

---

5

9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an "X")
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer.
Full chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entity (please add additional rows as necessary)				X
Name	% of voting rights if it equals or is higher than the notifiable threshold	% of voting rights through financial instruments if it equals or is higher than the notifiable threshold	Total of both if it equals or is higher than the notifiable threshold
Wellington Management Group LLP			5.18%
Wellington Group Holdings LLP			5.18%
Wellington Investment Advisors Holdings LLP			5.18%
Wellington Management Company LLP
Wellington Management Group LLP			5.18%
Wellington Group Holdings LLP			5.18%
Wellington Investment Advisors Holdings LLP			5.18%
Wellington Management Global Holdings, Ltd.
Wellington Management International Ltd
10. In case of proxy voting, please identify:
---	---
Name of the proxy holder
The number and % of voting rights held
The date until which the voting rights will be held
11. Additional information:
---
Group Corporate Secretariat
Clare Minto
0207 885 6386

---

6

Place of completion	London
Date of completion	05/03/2020

As at the date of this announcement, the Board of Directors of Standard Chartered PLC comprises:

Chairman:
José María Viñals Iñiguez

Executive Directors:
William Thomas Winters and Andrew Nigel Halford

Independent Non-Executive Directors:
Louis Chi-Yan Cheung; David Philbrick Conner; Byron Elmer Grote; Christine Mary Hodgson, CBE (Senior Independent Director); Gay Huey Evans, OBE; Naguib Kheraj (Deputy Chairman); Ngozi Okonjo-Iweala; David Tang; Carlson Tong and Jasmine Mary Whitbread