Standard Chartered PLC — Share Issue/Capital Change 2009

Oct 7, 2009

For Main Board and GEM listed issuers

HKE

香港交易所

Monthly Return of Equity Issuer on Movements in Securities

For the month ended (dd/mm/yyyy): 30/09/2009

To: Hong Kong Exchanges and Clearing Limited

Name of Issuer: Standard Chartered PLC

Date Submitted: 7 October 2009

I. Movements in Authorised Share Capital

1. Ordinary Shares

(1) Stock code: 02888 Description: Ordinary shares of USD0.50 each
	No. of ordinary shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	3,632,000,000	USD0.50	USD1,816,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	3,632,000,000	USD0.50	USD1,816,000,000
(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: Non-cumulative redeemable preference shares of USD5.00 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	300,000,000	USD5.00	USD1,500,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	300,000,000	USD5.00	USD1,500,000,000 (See continuation sheet)

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):	USD3,316,000,000
---	---
	£500,000,000
	€1,000,000,000
	AED100,000,000
	HKD100,000,000
	INR1,000,000,000
	KRW500,000,000,000
	SGD100,000,000

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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	2,010,694,808	N/A	£1.00
195,285,000	US$5.00
477,500	N/A
Increase/ (decrease) during the month	681,042		N/A	N/A
Balance at close of the month	2,011,375,850		195,285,000	477,500

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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 (Note 1)	134,442	224,712	Nil	45,492	224,712	17,920,935
2. 2000
Executive
Share Option Scheme
( / / )
Ordinary shares (Note 1)	Nil	388,198	Nil	Nil	388,198	5,755,574
3. 2001
Performance
Share Plan
( / / )
Ordinary shares (Note 1)	24,582	63,792	Nil	27,496	63,792	10,968,958
4. 1996/2004
International
Sharesave
Schemes
( / / )
Ordinary shares (Note 1)	Nil	1,598	Nil	288,562	1,598	14,257,216
5. 1994/2004
UK Sharesave
Schemes
( / / )
Ordinary shares (Note 1)	Nil	2,742	Nil	3,446	2,742	1,187,675
Total A. (Ordinary shares)				681,042
(Preference shares)				N/A
(Other class)				N/A
Total funds raised during the month from exercise of options (State currency)			£1,767,297

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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)	Ordinary
				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	Class of shares repurchased (Note 1)
Cancellation date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)	( / / )
( / / )
7. Redemption of shares
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)	681,042
---	---	---
	(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: Lai Wing Nga

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.

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For Main Board and GEM listed issuers

Continuation Sheet

1. Preference Shares

Stock code: N/A Description: Non-cumulative irredeemable preference shares of £1.00 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	500,000,000	£1.00	£500,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	500,000,000	£1.00	£500,000,000
Stock code: N/A Description: Non-cumulative redeemable preference shares of €1,000 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	1,000,000	€1,000	€1,000,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	1,000,000	€1,000	€1,000,000,000

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For Main Board and GEM listed issuers

Continuation Sheet

1. Preference Shares

Stock code: N/A Description: Non-cumulative redeemable preference shares of AED1.00 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	100,000,000	AED1.00	AED100,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	100,000,000	AED1.00	AED100,000,000
Stock code: N/A Description: Non-cumulative redeemable preference shares of HKD1.00 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	100,000,000	HKD1.00	HKD100,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	100,000,000	HKD1.00	HKD100,000,000

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For Main Board and GEM listed issuers

Continuation Sheet

1. Preference Shares

Stock code: N/A Description: Non-cumulative redeemable preference shares of INR10.00 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	100,000,000	INR10.00	INR1,000,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	100,000,000	INR10.00	INR1,000,000,000
Stock code: N/A Description: Non-cumulative redeemable preference shares of KRW5,000 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	100,000,000	KRW5,000	KRW500,000,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	100,000,000	KRW5,000	KRW500,000,000,000

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For Main Board and GEM listed issuers

Continuation Sheet

1. Preference Shares

Stock code: N/A Description: Non-cumulative redeemable preference shares of SGD1.00 each
	No. of preference shares	Par value (State currency)	Authorised share capital (State currency)
Balance at close of preceding month	100,000,000	SGD1.00	SGD100,000,000
Increase/(decrease)	Nil		Nil
Balance at close of the month	100,000,000	SGD1.00	SGD100,000,000