| TR-1: Standard form for notification of major holdings | ||||||
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| NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible) | ||||||
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| 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 | X | |||||
| 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 | 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: | 09/03/2020 | |||||
| 6. Date on which issuer notified (DD/MM/YYYY): | 10/03/2020 | |||||
| 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 | 4.26% | 0.73% | 4.99% | 797,081,628 | ||
| Position of previous notification (if applicable) | 4.44% | 0.74% | 5.18% | | ||
| 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 | | 33,982,785 | | 4.26% | ||
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| SUBTOTAL 8.A | 33,982,785 | 4.26% | ||||
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| 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% | ||
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| | | SUBTOTAL 8.B.1 | 2,824,839 | 0.35% | ||
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| 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 | % 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 | 0.21% | |
| 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 | 0.14% | |
| Equity Swap | 20/05/2020 | 13/02/2020to20/05/2020 | Cash settlement | 81,688 Equity Swap shares or 81,688 votes on a converted basis | 0.01% | |
| 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 | 09/03/2020 | 01/01/1900to09/03/2020 | Cash settlement | 2,451 Index Future shares or 25,674 votes on a converted basis | 0.00% | |
| Exchange Traded Fund | 09/03/2020 | 09/03/2020 | Cash settlement | 362,342 Exchange Traded Fund shares or 3,784 votes on a converted basis | 0.00% | |
| | | | | | | |
| | | | SUBTOTAL 8.B.2 | 2,996,410 | 0.38% | |
| 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 | | | | |||
| Wellington Group Holdings LLP | | | | |||
| Wellington Investment Advisors Holdings LLP | | | | |||
| Wellington Management Company LLP | | | | |||
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| Wellington Management Group LLP | | | | |||
| Wellington Group Holdings LLP | | | | |||
| Wellington Investment Advisors Holdings LLP | | | | |||
| Wellington Management Global Holdings, Ltd. | | | | |||
| Wellington Management International Ltd | | | | |||
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| 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 | | |||||
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| 11. Additional information: | � | |||||
| Contact details: Group Corporate Secretariat Louis Philpott 020 7885 2055 | � | |||||
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| Place of completion | London | |||||
| Date of completion | 10/03/2020 | |||||
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