エイチエスビーシー・ホールディングス・ピーエルシー 外国会社臨時報告書
| 提出書類 | 外国会社臨時報告書 |
|---|---|
| 提出日 | |
| 提出者 | エイチエスビーシー・ホールディングス・ピーエルシー |
| カテゴリ | 外国会社臨時報告書 |
EDINET提出書類
エイチエスビーシー・ホールディングス・ピーエルシー(E27071)
外国会社臨時報告書
【表紙】
【提出書類】 外国会社臨時報告書
【提出先】 関東財務局長
【提出日】 令和２年 11 月 11 日
【会社名】 エイチエスビーシー・ホールディングス・ピーエルシー
(HSBC Holdings plc)
【代表者の役職氏名】 グループ最高財務責任者 イーウェン・スティーブンソン
(Ewen Stevenson, Group Chief Financial Officer)
グループ会社秘書役兼チーフ・ガバナンス・オフィサー
アイリーン・テイラー
(Aileen Taylor, Group Company Secretary and Chief
Governance Officer)
【本店の所在の場所】 連合王国 E14 5HQ ロンドン市カナダ・スクエア８
(8 Canada Square, London E14 5HQ, United Kingdom)
【代理人の氏名又は名称】 弁護士 神 田 英 一
【代理人の住所又は所在地】 東京都千代田区丸の内１丁目１番１号パレスビル３階
クリフォードチャンス法律事務所外国法共同事業
【電話番号】 03-6632-6600
【事務連絡者氏名】 弁護士 芦 澤 千 尋
【連絡場所】 東京都千代田区丸の内１丁目１番１号パレスビル３階
クリフォードチャンス法律事務所外国法共同事業
【電話番号】 03-6632-6600
【縦覧に供する場所】 該当なし
（注）
1. 別段の記載のない限り、本書中の「米ドル」または「 US$ 」はアメリカ合衆国の法定通貨を、「円」または
「 JPY 」は日本の法定通貨を指す。 2020 年 10 月 26 日（日本時間）現在における株式会社三菱 UFJ 銀行発表の対顧
客電信直物売買相場の米ドルの日本円に対する仲値は、１米ドル＝ 104.70 円であった。本書において記載され
ている米ドルの日本円への換算はかかる換算率によって便宜上なされているもので、将来の換算率を表するも
のではない。
2 ．別段の記載のない限り、本書中の「ポンド」または「 £ 」は英国スターリングポンドを指す。 2020 年 10 月 26 日
（日本時間）現在における株式会社三菱 UFJ 銀行発表の対顧客電信直物売買相場のポンドの日本円に対する仲
値は、１ポンド＝ 136.65 円であった。本書において記載されているポンドの日本円への換算はかかる換算率に
よって便宜上なされているもので、将来の換算率を表するものではない。
3 ． 本書の表の計数が四捨五入されている場合、合計は必ずしも計数の総和と一致しない。
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EDINET提出書類
エイチエスビーシー・ホールディングス・ピーエルシー(E27071)
外国会社臨時報告書
１【提出理由】
エイチエスビーシー・ホールディングス・ピーエルシー（以下「当社」 又は「 Company 」 とい
う。）は、当社の発行する新株予約権証券の本邦以外の地域における募集について、金融商品取引
法第 24 条の５第４項及び第 15 項並びに企業内容等の開示に関する内閣府令第 19 条第２項第１号の規
定に基づき、以下のとおり本外国会社臨時報告書を提出いたします。
( 注 ) 本新株予約権証券（以下「 Option(s) 」という。）は、 1993 年に取締役会により採択され、株主総会
で承認され、 2020 年に株主総会により改正された、当社の貯蓄連動型ストックオプション制度（英
国用）（その後の改正を含み、以下「本制度」又は「 Plan 」という。）に参加することを選択した
当社又はその指定子会社の日本国外の適格従業員に対して、本制度に関する規則（以下「 Rule 」と
いう。）に基づき付与される。
２【報告内容】
(1) Type and name of the securities
Share acquisition rights (the "Options")
(2) Number of Options to be issued
69,704,328
UK Sharesave 3 Year Plan:
41,765,065
UK Sharesave 5 Year Plan:
Total: 111,469,393
(3) Issue price and amount to be incorporated into capital
(i) Issue price: £0 (JPY0)
(ii) Amount to be incorporated into capital: £ 0 (JPY0)
(4) Aggregate total amount to be issued and aggregate amount to be incorporated into capital
(i) Aggregate total amount to be issued: £0 (JPY0)
(ii) Aggregate amount to be incorporated into capital: £0 (JPY0)
Options shall be granted to those eligible employees outside Japan without involving any
payment.
(5) Kind and details of Shares and number of Share subject to an Option
(i) Kind of shares
Ordinary Shares of the Company (the "Shares")
(ii) Details of shares
Shares issued in connection with the Plan will rank equally in all respects with the Shares in
issue on that date.
(iii) Number of shares
2/6
EDINET提出書類
エイチエスビーシー・ホールディングス・ピーエルシー(E27071)
外国会社臨時報告書
111,469,393 Shares in total at the maximum
(Details: UK Sharesave 3 Year Plan – 69,704,328 Shares, UK Sharesave 5 Year Plan –
41,765,065 Shares.)
(6) Amount to be paid upon exercise of the Option
£2.6270 (JPY359) per Share
As determined by the Directors, at which an eligible employee may acquire Shares in respect of
which an Option has been granted to him, being not less than:
(i) 80% of the Market Value
The Market Value means in relation to a Share on any day,
(x) when Shares are listed on the London Stock Exchange, the average of the Market Prices
for the five immediately preceding and consecutive Dealing Days; or
(y) save as mentioned above, the market value as determined in accordance with Part VIII
of the Taxation of Chargeable Gains Act 1992 and agreed in advance with HM
Revenue & Customs.
If Shares are subject to a Restriction , Market Value will be determined as if the Shares were
not subject to a Restriction.
"Market Price" means the price shown in the London Stock Exchange Daily Official List
as the closing price for the Shares on that day (or if two closing prices are shown, the
lower price plus one-half of the difference between those two figures).
"Dealing Day" means a day on which the London Stock Exchange (or, if the Directors
determine, any other stock exchange on which Shares are traded) is open for the
transaction of business.
"Restriction" has the meaning given by paragraph 48(3) of Schedule 3 of Income Tax
(Earnings and Pensions) Act 2003 (the " ITEPA");
(ii) if the Shares used to satisfy the Option are to be newly issued, not less than the nominal value
of a Share;
(7) Exercise period of the Option
As determined by the Directors, the exercise period shall be as follows:
UK Sharesave 3 Year Plan: 3 years, exercisable from 1 November 2023 to 30 April
2024
UK Sharesave 5 Year Plan: 5 years, exercisable from 1 November 2025 to 30 April
2026
(8) Condition to exercise the Option
3/6
EDINET提出書類
エイチエスビーシー・ホールディングス・ピーエルシー(E27071)
外国会社臨時報告書
Employment requirement
Subject to rule for leavers, an Option can only be exercised when the Participant is an employee or
director of a Participating Company.
"Participant" means an individual holding an Option or, where the individual has died, their personal
representatives.
"Participating Companies" means the Company and any company which:
(i) is a Subsidiary of which the Company has Control; and
(ii) has been designated by the Directors to participate in the Plan
"Control" has the meaning given in section 719 of ITEPA.
"Directors" means the board of directors of the Company or, as appropriate, a committee duly
authorised thereof.
Becoming exercisable
Subject to rules for leavers and corporate events, an Option will become exercisable from the Bonus
Date of the relevant Savings Contract and will not be exercisable before such date.
"Bonus Date" means the date on which the bonus becomes payable under the terms of a Savings
Contract linked to an Option.
"Savings Contract" means a savings contract under a savings arrangement with a savings carrier
nominated by the Directors, pursuant to which an eligible employee agrees to make contributions.
Exercise period
Subject only to rule for death, an Option may not be exercised more than 6 months after the Bonus
Date, and will then lapse on the expiry of such period.
United States of America taxpayers
A Participant who is subject to taxation in the United States of America may only exercise their
Option in the period ending on the 15th day of the third month following the end of the taxable
year in which the Option first becomes exercisable.
Exercise in whole or part
An Option may be exercised in whole or in part and, may be exercised on more than one occasion
if permitted by the Directors under the terms on which the Option is granted.
Limits on exercise
Where an Option becomes exercisable, a Participant may only exercise their Option using funds
not exceeding the amount received by way of repayment of contributions made, payments of
interest and, where the bonus payable under the Savings Contract has been included in the
Expected Repayment pursuant to rule 3.5.8, any payments of bonus, in each case under the relevant
Savings Contract.
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EDINET提出書類
エイチエスビーシー・ホールディングス・ピーエルシー(E27071)
外国会社臨時報告書
The maximum number of Shares in respect of which an Option may be exercised is limited to the
maximum number of whole Shares that can be acquired using such funds.
A Participant's notice to exercise their Option may only take effect to the extent it is consistent with
the Participant's rights under their Option and the Plan.
"Expected Repayment" means the total of:
(i) the maximum amount of contributions and any interest payable under the Savings Contract; and
(ii) if a bonus is included, any bonus payable pursuant to the Savings Contract;
Process for exercise
A Participant may exercise their Option (other than when prohibited by Dealing Restrictions) by
giving notice to the Company, or to such other person as the Directors specify, in a form and
manner specified by the Directors (which may be electronic).
Such notice must:
(i) specify the number of Shares in respect of which the Option is being exercised, in accordance
with rules 9.5 (Exercise in whole or in part) and 9.6 (Limits on exercise); and
(ii) either :
(a) be accompanied by payment of an amount equal to the Share Price multiplied by the
number of Shares over which the Option is being exercised together with evidence of
closure of the related Savings Contract; or
(b) include a direction to the Savings Contract provider to pay to the Company, or such
other person as the Directors specify, an amount equal to the Share Price multiplied by
the number of Shares over which the Option is being exercised.
The exercise of the Option is effective on the date of receipt by or on behalf of the Company of the
valid notice and the relevant valid payment or valid direction.
"Dealing Restrictions" means any internal or external restrictions on dealings or transactions in
securities.
(9) Amount to be incorporated into capital out of the issue price of the shares when shares are issued
upon exercise of the Option
£2.6270 (JPY359) per share
(10) Matters concerning transfer of Option
A Participant may not transfer, assign, charge or otherwise dispose of an Option or any rights in
respect of it. If they do, whether voluntarily or involuntarily, then it will immediately lapse. This
rule does not apply to the transmission of an Option on the death of a Participant to their personal
representatives.
(11) Issue Method
Shall be done by way of allocating to eligible employees.
(12) Names of underwriters
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EDINET提出書類
エイチエスビーシー・ホールディングス・ピーエルシー(E27071)
外国会社臨時報告書
Not applicable.
(13) Offering areas
United Kingdom
(14) Aggregate amount of proceeds to be obtained by the Issuer and the details, amounts and scheduled
timings of usage of each of the use or proceeds
(i) Aggregate amount of proceeds to be obtained by the Issuer
Estimated
Aggregate amount to be paid Amount of
upon exercise of the Option Issue Cost Total Amount of Net Proceeds
£292,881,120 £0 (JPY0) £ 292,881,120
(JPY40,022,205,048) (JPY40,022,205,048)
(ii) Use of proceeds
In general, the net proceeds will be used for general operational purposes and its s pecific details,
amounts allocated for each purpose and the timing of expenditure are currently unknown and
estimated to be determined depending on such matters as operational condition of the Company.
(15) Grant date of the Option
24 September 2020
(16) Name of the financial exchange to which such securities is contemplated to be listed
Not applicable.
Other Matters
Called up share capital (as at 29 September 2020 ): US$ 10,346 million (JPY 1,083,226 million)
Number of Issued Shares (as at 29 September 2020)
Aggregate Number of
Issued Shares
Ordinary Shares , US$0.50 par value 20,367,575,838 (Note)
Non-Cumulative Preference Share , US$0.01
1,450,000
par value
Non-Cumulative Preference Share , £ 0.01 par
1
value
(Note) Excluding the treasury shares held.
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