Standard Chartered : Monthly Return of Equity Issuer on Movements in Securities for the Month ended 31/3/2021

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)

1. all money due to the listed issuer in respect of the issue of securities has been received by it;
2. 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;
3. all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled;

March 2019

1. all the securities of each class are in all respects identical (Note 3);
2. 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;
3. 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;
4. 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
5. 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 :

1. State the class of shares (e.g. ordinary, preference or other).
2. 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.
3. "Identical" means in this context:
4. • 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.
5. If there is insufficient space, please append the prescribed continuation sheet.

March 2019