Standard Chartered PLC — Regulatory Filings 2014

Jan 7, 2014

HKE

香港交易所

For Main Board and GEM listed issuers

Monthly Return of Equity Issuer on Movements in Securities

For the month ended (dd/mm/yyyy): 31/12/2013

To: Hong Kong Exchanges and Clearing Limited

Name of Issuer: Standard Chartered PLC

Date Submitted: 7 January 2014

I. Movements in Authorised Share Capital

1. Ordinary Shares

(1) Stock code: N/A Description:
	No. of ordinary shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month
(2) Stock code: N/A Description:
	No. of ordinary shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month

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For Main Board and GEM listed issuers

1. Preference Shares

Stock code: N/A Description:
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	_____	_____	_____
Increase/(decrease)	_____	_____	_____
Balance at close of the month	_____	_____	_____

1. Other Classes of Shares

Stock code: N/A Description:
	No. of other classes of shares	Par value (State currency)	Authorised share capital (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):

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II. Movements in Issued Share Capital

For Main Board and GEM listed issuers

	No. of ordinary shares				No. of other classes of shares
	(1)	(2)	No of preference shares
Balance at close of preceding month	2,426,829,726	N/A	£1.00
195,285,000	US$5.00
15,000	N/A
Increase/ (decrease) during the month	549,226		N/A	N/A
Balance at close of the month	2,427,378,952		195,285,000	15,000

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For Main Board and GEM listed issuers

III. Details of Movements in Issued Share Capital

Share Options (under Share Option Schemes of the Issuer)

Particulars of share option scheme including EGM approval date (dd/mm/yyyy) and class of shares issuable	Movement during the month				No. of new shares of issuer issued during the month pursuant thereto	No. of new shares of issuer which may be issued pursuant thereto as at close of the month
	Granted	Exercised	Cancelled	Lapsed
1. 1997/2006 Restricted
Share Schemes
( / / )
Ordinary shares	258,870^{1}	155,332	Nil	690,564^{2}	155,332	7,091,474
(Note 1)
2. 2000 Executive
Share Option Scheme
( / / )
Ordinary shares	Nil	18,317	Nil	8,840^{2}	18,317	23,609
(Note 1)
3. 2001 Performance
Share Plan
( / / )
Ordinary shares	Nil	8,662	Nil	89,311^{2}	8,662	535,629
(Note 1)
4. 2011 Discretionary
Share Plan – Performance
Share Award
( / / )
Ordinary shares	18,405	Nil	Nil	85,484^{2}	Nil	13,315,596
(Note 1)
5. 2011 Discretionary
Share Plan – Restricted
Share Award
( / / )
Ordinary shares	497,919^{1}	26,564	Nil	120,949^{2}	26,564	15,493,384
(Note 1)
6. 1996/2004
International Sharesave
Schemes
( / / )
Ordinary shares	Nil	271,342	Nil	378,262^{2}	271,342	10,395,702^{3}
(Note 1)
7. 1994/2004
UK Sharesave / Irish
Sharesave Schemes
( / / )
Ordinary shares	Nil	69,009	Nil	24,035^{2}	69,009	655,470^{3}
(Note 1)
8. Standard Chartered
2013 Sharesave Plan
( / / )
Ordinary shares	Nil	Nil	Nil	29,711^{2}	Nil	3,545,166^{3}
(Note 1)
1The notional dividend accumulated for the year have been added under the Granted options for the 1997/2006 Restricted Share Schemes and the 2011 Discretionary Share Plan – Restricted Share Award
2The Lapsed figure for the month includes the adjustments from the year-end audit undertaken for data reconciliation
3From October 2013, all Sharesave Plans are granted under the Standard Chartered 2013 Sharesave Plan. However, for October and November 2013, these balances were included under the 1996/2004 International Sharesave Schemes and 1994/2004 UK Sharesave / Irish Sharesave Schemes. This is being corrected in December 2013. Those balances for the months of October and November 2013 have been extracted to the Standard Chartered 2013 Sharesave Plan
			Total A. (Ordinary shares)	549,226
			(Preference shares)	N/A
			(Other class)	N/A
Total funds raised during the month from exercise of options (State currency)			£4,145,829.58

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For Main Board and GEM listed issuers

Warrants to Issue Shares of the Issuer which are to be Listed

| Description of warrants
(Date of expiry - dd/mm/yyyy) | Currency of nominal value | Nominal value at close of preceding month | Exercised during the month | Nominal value at close of the month | No. of new shares of issuer issued during the month pursuant thereto | No. of new shares of issuer which may be issued pursuant thereto as at close of the 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 | | | | | | |

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For Main Board and GEM listed issuers

Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)

Class and description	Currency of amount outstanding	Amount at close of preceding month	Converted during the month	Amount at close of the month	No. of new shares of issuer issued during the month pursuant thereto	No. of new shares of issuer which may be issued pursuant thereto as at close of the 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 C. (Ordinary shares) N/A
			(Preference shares) N/A
			(Other class) N/A

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For Main Board and GEM listed issuers

Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)

Full particulars including EGM approval date (dd/mm/yyyy), if applicable, and class of shares issuable:		No. of new shares of issuer issued during the month pursuant thereto	No. of new shares of issuer which may be issued pursuant thereto as at close of the month
1.	N/A
	( / / )
	shares (Note 1)
2.	N/A
	( / / )
	shares (Note 1)
3.	N/A
	( / / )
	shares (Note 1)
	Total D. (Ordinary shares)	N/A
	(Preference shares)	N/A
	(Other class)	N/A

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For Main Board and GEM listed issuers

Other Movements in Issued Share Capital

Type of Issue						No. of new shares of issuer issued during the month pursuant thereto	No. of new shares of issuer which may be issued pursuant thereto as at close of the month
1.	Rights issue	At price : State currency	N/A	Class of shares issuable (Note 1)
				Issue and allotment date : (dd/mm/yyyy)	( / / )
				EGM approval date: (dd/mm/yyyy)	( / / )
2.	Open offer	At price : State currency	N/A	Class of shares issuable (Note 1)
				Issue and allotment date : (dd/mm/yyyy)	( / / )
				EGM approval date: (dd/mm/yyyy)	( / / )
3.	Placing	At price : State currency	N/A	Class of shares issuable (Note 1)
				Issue and allotment date : (dd/mm/yyyy)	( / / )
				EGM approval date: (dd/mm/yyyy)	( / / )
4.	Bonus issue	N/A	Class of shares issuable (Note 1)
			Issue and allotment date : (dd/mm/yyyy)	( / / )
			EGM approval date: (dd/mm/yyyy)	( / / )

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For Main Board and GEM listed issuers

Type of Issue					No. of new shares of issuer issued during the month pursuant thereto	No. of new shares of issuer which may be issued pursuant thereto as at close of the month
5. Scrip dividend	At price : State currency	N/A	Class of shares issuable (Note 1)
			Issue and allotment date : (dd/mm/yyyy)	( / / )
			AGM approval date: (dd/mm/yyyy)	( / / )
6. Repurchase of shares	N/A	N/A	Class of shares repurchased (Note 1)
			Cancellation date : (dd/mm/yyyy)	( / / )
			EGM approval date: (dd/mm/yyyy)	( / / )
7. Redemption of shares	N/A	N/A	Class of shares redeemed (Note 1)
			Redemption date : (dd/mm/yyyy)	( / / )
			EGM approval date: (dd/mm/yyyy)	( / / )
8. Consideration issue	At price : State currency	N/A	Class of shares issuable (Note 1)
			Issue and allotment date : (dd/mm/yyyy)	( / / )
			EGM approval date: (dd/mm/yyyy)	( / / )

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For Main Board and GEM listed issuers

Type of Issue	No. of new shares of issuer issued during the month pursuant thereto	No. of new shares of issuer which may be issued pursuant thereto as at close of the month
9. Capital reorganisation	N/A	Class of shares issuable (Note 1)
Issue and allotment date: (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
10. Other (Please specify)	At price: State currency N/A	Class of shares issuable (Note 1)
Issue and allotment date: (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
Total E. (Ordinary shares) N/A
(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)	549,226
---	---	---
	(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 E):		N/A
(These figures should be the same as the relevant figures under II above (“Movements in Issued Share Capital”).)

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For Main Board and GEM listed issuers

Remarks (if any):

Submitted by: Wang Wei Min

Title: Assistant Company Secretary
(Director, Secretary or other duly authorised officer)

Notes:

1. State the class of shares (e.g. ordinary, preference or other).
2. If there is insufficient space, please append the prescribed continuation sheet.