In re Herald, Primeo and Thema Funds Securities Litigation

Filing 269

RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by Bank of Bermuda (Cayman) Limited, Bank of Bermuda (Luxembourg) S.A., Bank of Bermuda Limited, HSBC Holdings plc, HSBC Institutional Trust Services (Ireland) Ltd., HSBC Securities Services (Ireland) Ltd., HSBC Securities Services (Luxemburg) S.A., HSBC Bank USA, N.A., as a proposed defendant.(Davis, Evan)

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
ECF CASE
IN RE HERALD, PRIMEO AND THEMA
FUNDS SECURITIES LITIGATION

Civil Action No. 09 Civ. 0289 (RMB)
(Consolidated with Nos.09 Civ. 2032 and
09 Civ. 2558)

This documents relates to: All Actions
STATEMENT OF HSBC
DEFENDANTS PURSUANT TO
RULE 7.1 OF THE FEDERAL
RULES OF CIVIL PROCEDURE

Defendants HSBC Holdings plc, HSBC Securities Services (Luxembourg) S.A.,
Bank of Bermuda (Luxembourg) S.A., Bank of Bermuda (Cayman) Limited, The Bank of
Bermuda Limited, HSBC Institutional Trust Services (Ireland) Ltd., and HSBC Securities
Services (Ireland) Limited, and Proposed Defendant HSBC Bank USA, N.A. make the following
disclosures, by and through their undersigned counsel, pursuant to Rule 7.1 of the Federal Rules
of Civil Procedure:
1.

HSBC Securities Services (Luxembourg) S.A., formerly Bank of

Bermuda (Luxembourg) S.A., identifies HSBC Holdings plc and HSBC Bank plc as corporations
that directly or indirectly own 10% or more of any class of HSBC Securities Services
(Luxembourg) S.A.’s equity interests.
2.

HSBC Institutional Trust Services (Ireland) Limited identifies HSBC

Holdings plc, HSBC Bank plc, HSBC Europe (Netherlands) B.V., and HSBC Securities Services
Holdings (Ireland) Limited as corporations that directly or indirectly own 10% or more of any
class of HSBC Institutional Trust Services (Ireland) Limited’s equity interests.

3.

HSBC Securities Services (Ireland) Limited identifies HSBC Holdings

plc, HSBC Bank plc, HSBC Europe (Netherlands) B.V., and HSBC Securities Services Holdings
(Ireland) Limited as corporations that directly or indirectly own 10% or more of any class of
HSBC Securities Services (Ireland) Limited’s equity interests.
4.

Bank of Bermuda (Cayman) Limited identifies HSBC Holdings plc,

HSBC Finance (Netherlands), HSBC Holdings B.V., HSBC Asia Holdings (UK) Limited, HSBC
Asia Holdings B.V., HSBC Bank Bermuda Limited, Cayman International Finance Limited and
HSBC Bank (Cayman) Limited as corporations that directly or indirectly own 10% or more of
any class of Bank of Bermuda (Cayman) Limited’s equity interests.
5.

HSBC Bank Bermuda Limited, formerly The Bank of Bermuda Limited,

identifies HSBC Holdings plc, HSBC Finance (Netherlands), HSBC Holdings B.V., HSBC Asia
Holdings (UK) Limited, and HSBC Asia Holdings B.V. as corporations that directly or indirectly
own 10% or more of any class of HSBC Bank Bermuda Limited’s equity interests.
6.

HSBC Holdings plc, which directly or indirectly owns 10% or more of

any class of all other HSBC defendants’ equity interests, identifies HKSCC Nominees Limited as
a corporation that directly or indirectly owns 10% or more of any class of HSBC Holdings plc’s
equity interests. HKSCC Nominees Limited is the legal owner of securities that are deposited
into the Hong Kong Exchanges and Clearing Limited Central Clearing and Settlement System by
those securities’ beneficial holders.
7.

HSBC Bank USA, N.A. identifies HSBC Holdings plc, HSBC Overseas

Holdings (UK) Limited, HSBC North America Holdings Inc., and HSBC Investments (North
America) Inc. as corporations that directly or indirectly own 10% or more of any class of HSBC
Bank USA, N.A.’s equity interests.
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Dated: New York, New York
June 29, 2011

CLEARY GOTTLIEB STEEN & HAMILTON LLP
By: /s/ Evan A. Davis
Evan A. Davis
One Liberty Plaza
New York, New York 10006
[phone]
Counsel for Defendants HSBC Holdings plc,
HSBC Securities Services (Luxembourg) S.A.,
Bank of Bermuda (Luxembourg) S.A., Bank of
Bermuda (Cayman) Limited, The Bank of
Bermuda Limited, HSBC Institutional Trust
Services (Ireland) Ltd., and HSBC Securities
Services (Ireland) Limited, and Proposed
Defendant HSBC Bank USA, N.A.

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