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国元证券(000728)公告正文

国元证券:2011年第一季度报告全文

公告日期 2011-04-21
股票简称:国元证券 股票代码:000728
                                                                   国元证券股份有限公司 2011 年第一季度报告全文




                 国元证券股份有限公司 2011 年第一季度报告全文


§1 重要提示

    1.1 本公司董事会、监事会及董事、监事、高级管理人员保证本报告所载资料不存在任何虚假记载、
误导性陈述或者重大遗漏,并对其内容的真实性、准确性和完整性负个别及连带责任。
    1.2 公司第一季度财务报告未经会计师事务所审计。
    1.3 公司董事长凤良志先生、总裁蔡咏先生、总会计师高民和先生和财务会计部总经理司开铭先生声
明:保证本季度报告中的财务报告真实、完整。

§2 公司基本情况

2.1 主要会计数据及财务指标

                                                                                                         单位:元
                                                      本报告期末             上年度期末            增减变动(%)
                    总资产(元)                      25,744,365,332.97       24,900,708,801.20              3.39%
     归属于上市公司股东的所有者权益(元)             15,310,907,437.50       14,980,026,043.50              2.21%
                     股本(股)                        1,964,100,000.00        1,964,100,000.00                      -
    归属于上市公司股东的每股净资产(元/股)                         7.80                   7.63              2.23%
                                                       本报告期               上年同期             增减变动(%)
                   营业收入(元)                        589,814,634.51         527,590,907.42              11.79%
       归属于上市公司股东的净利润(元)                  254,061,673.89         262,652,426.86              -3.27%
       经营活动产生的现金流量净额(元)                  481,827,068.16       -4,225,930,785.05                      -
    每股经营活动产生的现金流量净额(元/股)                         0.25                   -2.15                     -
               基本每股收益(元/股)                                0.13                   0.13                      -
               稀释每股收益(元/股)                                0.13                   0.13                      -
          加权平均净资产收益率(%)                                1.68%                  1.72% 下降 0.04 个百分点
扣除非经常性损益后的加权平均净资产收益率(%)                      1.66%                  1.72% 下降 0.06 个百分点
非经常性损益项目
√ 适用 □ 不适用
                                                                                                         单位:元

                       非经常性损益项目                                      年初至报告期末金额
非流动资产处置损益                                                                                        -209,602.12
计入当期损益的政府补助,但与公司正常经营业务密切相关,符合
                                                                                                         5,000,000.00
国家政策规定、按照一定标准定额或定量持续享受的政府补助除外
除上述各项之外的其他营业外收入和支出                                                                      -680,456.53
所得税影响额                                                                                            -1,027,615.90
                             合计                                                                        3,082,325.45
对非经常性损益项目的说明
根据中国证券监督管理委员会公告[2008]43 号《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益[2008]》第




                                                                                                                 1
                                                                          国元证券股份有限公司 2011 年第一季度报告全文



14 条规定:除同公司正常经营业务相关的有效套期保值业务外,持有交易性金融资产、交易性金融负债产生的公允价值变动
损益,以及处置交易性金融资产、交易性金融负债和可供出售金融资产取得的投资收益,视为非经常性损益项目。由于本公
司属于金融行业中的证券业,主要的业务经营范围为:证券(含境内上市外资股)的代理买卖;代理证券的还本付息、分红
派息;证券代保管、鉴证;代理登记开户;证券的自营买卖;证券(含境内上市外资股)的承销(含主承销);证券投资咨询
(含财务顾问);客户资产管理业务等。因此本公司根据自身正常经营业务的性质和特点将持有交易性金融资产、交易性金融
负债产生的公允价值变动损益,以及处置交易性金融资产、交易性金融负债和可供出售金融资产取得的投资收益作为经常性
损益项目,不在非经常性损益计算表中列示。


2.2 报告期末股东总人数及前十名无限售条件股东持股情况表

                                                                                                               单位:股
            报告期末股东总数(户)                                                                                   136,985
                                            前十名无限售条件流通股股东持股情况
                 股东名称(全称)                   期末持有无限售条件流通股的数量                     种类
安徽国元控股(集团)有限责任公司                                            462,498,033           人民币普通股
安徽国元信托有限责任公司                                                    308,104,975           人民币普通股
安徽省粮油食品进出口(集团)公司                                            296,889,163           人民币普通股
安徽省皖能股份有限公司                                                       98,303,300           人民币普通股
安徽皖维高新材料股份有限公司                                                 65,975,369           人民币普通股
安徽全柴集团有限公司                                                         58,740,055           人民币普通股
合肥兴泰控股集团有限公司                                                     25,664,621           人民币普通股
安徽国元实业投资有限责任公司                                                 13,195,074           人民币普通股
中国银行-易方达深证 100 交易型开放式指数证券
                                                                             10,823,291           人民币普通股
投资基金
中国工商银行-融通深证 100 指数证券投资基金                                   9,008,058           人民币普通股


§3 重要事项

3.1 公司主要会计报表项目、财务指标大幅度变动的情况及原因

√ 适用 □ 不适用
             项目            2011 年 3 月 31 日     2010 年 12 月 31 日    增减百分比%                 主要原因
                                                                                          自营规模中交易性金融资产配置减
 交易性金融资产                 566,046,878.29        1,219,475,628.68          -53.58%
                                                                                          少
 应收利息                           63,141,884.26        39,823,748.00           58.55%   公司持有的债券预计利息增加
                                                                                          公允价值变动导致递延所得税资产
 递延所得税资产                     26,241,263.01        48,322,398.41          -45.70%
                                                                                          减少
 其他资产                      1,424,943,619.44       1,033,096,747.65           37.93%   公司融资业务的增加
 外币报表折算差额              -38,588,796.19         -27,964,254.27                  -   人民币升值
             项目                2011 年 1-3 月          2010 年 1-3 月    增减百分比%                 主要原因
 证券承销业务净收入             162,980,575.72         100,554,407.95            62.08%   投行业务完成承销项目增加
 受托客户资产管理业务
                                     4,138,245.90         2,333,363.35           77.35%   管理费提取增加
 净收入
 保荐业务收入                        7,700,000.00         4,000,000.00           92.50%   投行业务完成保荐项目增加
                                                                                          投行业务完成财务顾问业务项目
 财务顾问业务收入                    3,350,000.00         1,500,000.00          123.33%
                                                                                          增加
 利息净收入                     105,103,363.94           64,852,961.70           62.06%   自有资金利息收入大幅增加



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                                                                       国元证券股份有限公司 2011 年第一季度报告全文



 投资收益                        -3,849,787.43        49,194,483.67         -107.83%   自营证券变卖结转浮亏
 公允价值变动净收益              53,644,514.40         3,888,811.18         1279.46%   自营证券公允价值增加和结转浮亏
 汇兑收益                          -210,788.48           -73,449.79                -   人民币升值
 其他业务收入                     3,815,102.88         1,391,756.05          174.12%   开户费等收入同比增长
                                                                                       业务及管理费中业务收入提成费增
 业务及管理费                   233,343,361.30       163,809,371.49           42.45%
                                                                                       加
 其他业务成本                     1,364,492.78           985,462.48           38.46%   开户费支出等同比增长
 营业外收入                       5,283,744.13           653,516.62          708.51%   子公司收到政府补助等同比增加
 营业外支出                       1,173,802.78           291,849.58          302.19%   捐赠等增加
                                                                                       国元股权投资公司投资企业上市后
 其他综合收益                    76,819,720.11       -10,744,948.39                -
                                                                                       增值
                                                                                       国元股权投资公司投资企业上市后
 综合收益合计                   330,881,394.00       252,439,925.31           31.07%
                                                                                       增值
     其中:归属于母公司所                                                              国元股权投资公司投资企业上市后
                                330,881,394.00       251,907,478.47           31.35%
 有者的综合收益总额                                                                    增值
 经营活动产生的现金流量                                                                处置交易性金融资产及客户结算资
                                481,827,068.16     -4,225,930,785.05               -
 净额                                                                                  金现金流入增加
 汇率变动对现金及现金等
                                -10,835,330.40         -2,119,546.87               -   人民币升值
 价物的影响
 现金及现金等价物净增加                                                                处置交易性金融资产及客户结算资
                                395,865,621.44     -4,328,327,414.62               -
 额                                                                                    金现金流入增加



3.2 重大事项进展情况及其影响和解决方案的分析说明

3.2.1 非标意见情况

□ 适用 √ 不适用


3.2.2 公司存在向控股股东或其关联方提供资金、违反规定程序对外提供担保的情况

□ 适用 √ 不适用


3.2.3 日常经营重大合同的签署和履行情况

□ 适用 √ 不适用


3.2.4 其他

√ 适用 □ 不适用
1、公司第五届董事会第三十二次会议审议通过了《关于国元证券(香港)有限公司申请到香港主板上市的议案》,同意公司
启动国元证券(香港)有限公司申请到香港主板市场上市工作,授权公司经营管理层聘请中介机构开展相关工作,并负责履
行相应的审批程序(具体公告见 2010 年 7 月 20 日《中国证券报》、《证券时报》、《上海证券报》及巨潮资讯网)。该事项尚需
有关监管部门批准同意。
2、公司第六届董事会第四次会议审议通过了《关于向国元股权投资有限公司增资的议案》,同意公司向国元股权投资有限公
司增资 5 亿元人民币,授权公司经营层根据直投业务发展的需要,分两次(第一次 3 亿元、第二次 2 亿元)具体实施增资(具体
公告见 2011 年 3 月 1 日《中国证券报》、《证券时报》、《上海证券报》及巨潮资讯网)。报告期内,公司向国元股权投资有限
公司拨付增资款 3 亿元,完成第一次增资。


3.3 公司、股东及实际控制人承诺事项履行情况

上市公司及其董事、监事和高级管理人员、公司持股 5%以上股东及其实际控制人等有关方在报告期内或持续到报告期内的



                                                                                                                 3
                                                                          国元证券股份有限公司 2011 年第一季度报告全文


以下承诺事项
□ 适用 √ 不适用


3.4 预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生大幅度变动的警示及
原因说明

□ 适用 √ 不适用


3.5 其他需说明的重大事项

3.5.1 证券投资情况

√ 适用 □ 不适用
                                                                                                               单位:元
                                                                                                  占期末证
 序    证券品      证券代                      初始投资金额     期末持有数量
                                  证券简称                                          期末账面值    券总投资      报告期损益
 号      种          码                            (元)           (股)
                                                                                                  比例 (%)
                                  国元多策
  1     基金          无          略中国机    203,521,282.78     224,048.42     257,229,860.46      45.44%     8,724,030.54
                                    会基金
                                  09 淮南矿
  2     债券       982085                     200,071,506.85    2,000,000.00    203,240,000.00      35.91%      780,000.00
                                      MTN2
                                  国元环球
  3     基金          无          中国机会    31,132,432.91      369,634.11     34,420,017.83       6.08%       -31,132.47
                                      基金
  4     股票       601899         紫金矿业    30,122,737.23     3,000,000.00    23,340,000.00       4.12%      21,962,587.60
  5     股票       000999         华润三九    27,649,511.76     1,100,000.00    23,320,000.00       4.12%      -4,921,623.70
  6     股票       600585         海螺水泥    10,881,675.36      300,000.00     12,300,000.00       2.17%      1,418,324.64
  7     股票       002001          新和成      8,289,986.18      250,000.00      7,700,000.00       1.36%      -589,986.18
  8     股票       000069          华侨城      4,500,000.00      300,000.00      4,497,000.00       0.79%       -3,000.00
       期末持有的其他证券投资                        0               -                  0                  0          0
      报告期已出售证券投资损益                       -               -                  -              -       -44,965,729.36
                  合计                         516,169,133.07        -          566,046,878.29     100.00%     -17,626,528.93
证券投资情况说明
证券投资情况表填列公司 2011 年 3 月末合并报表的交易性金融资产中核算的各类投资;作为上市证券公司,证券自营业务为
公司的主营业务之一,公司严格按照《证券法》、《证券公司证券自营业务指引》等法律法规从事证券投资。



3.5.2 报告期接待调研、沟通、采访等活动情况表

      接待时间                接待地点              接待方式             接待对象           谈论的主要内容及提供的资料
2011 年 01 月 01 日至
                           公司               电话沟通             个人投资者            公司经营情况、行业状况等
2011 年 03 月 31 日


3.6 衍生品投资情况

□ 适用 √ 不适用




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                                                                        国元证券股份有限公司 2011 年第一季度报告全文



3.6.1 报告期末衍生品投资的持仓情况

□ 适用 √ 不适用


§4 附录

4.1 资产负债表

                                              资产负债表(一)

编制单位:国元证券股份有限公司                    2011 年 3 月 31 日                                 单位:(人民币)元
                                           2011 年 3 月 31 日                            2010 年 12 月 31 日
             项目
                                    合并                    母公司                   合并                   母公司
资产:
货币资金                         16,298,222,337.74       15,281,003,713.52       15,762,412,099.68       14,975,042,751.68
    其中:客户资金存款            8,583,984,506.26        8,051,661,623.73        7,955,061,099.39        7,368,347,816.39
结算备付金                        1,034,654,759.03          871,865,748.48        1,174,599,375.65        1,053,513,807.63
    其中:客户备付金               961,878,208.21           806,589,197.66        1,094,560,541.13          980,974,973.11

拆出资金

交易性金融资产                     566,046,878.29           274,397,000.00        1,219,475,628.68          891,526,923.32

衍生金融资产

买入返售金融资产

应收利息                            63,141,884.26               62,843,306.49        39,823,748.00             39,823,748.00
存出保证金                         361,972,008.24           294,562,920.82          297,691,310.49          198,489,763.29
可供出售金融资产                  4,228,050,420.80        4,063,765,022.45        3,613,337,819.62        3,565,188,060.96

持有至到期投资

长期股权投资                       910,868,061.12         2,118,445,956.45          899,120,510.59        1,786,343,405.92

投资性房地产

固定资产                           811,178,607.57           796,689,552.07          794,823,944.10          779,286,541.72
无形资产                            19,045,493.47               15,295,984.53        18,005,218.33             14,037,208.45
    其中:交易席位费                  3,479,531.02               2,679,561.97         2,878,307.61              2,878,307.61
递延所得税资产                      26,241,263.01               25,845,264.72        48,322,398.41             43,921,006.31
其他资产                          1,424,943,619.44          911,532,552.64        1,033,096,747.65          554,482,122.19
资产总计                         25,744,365,332.97       24,716,247,022.17       24,900,708,801.20       23,901,655,339.47
法定代表人:凤良志                    主管会计工作负责人:高民和                             会计机构负责人:司开铭




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                                              资产负债表(二)

编制单位:国元证券股份有限公司                     2011 年 3 月 31 日                                单位:(人民币)元
                                           2011 年 3 月 31 日                            2010 年 12 月 31 日
              项目
                                    合并                    母公司                   合并                  母公司

 负债:

 短期借款

     其中:质押借款

 拆入资金

 交易性金融负债

 衍生金融负债
 卖出回购金融资产款
 代理买卖证券款                   9,871,757,898.46        9,101,698,002.10        9,351,510,116.51       8,520,555,104.98

 代理承销证券款

 应付职工薪酬                      242,100,110.50           217,089,231.94          203,531,973.66         172,574,126.93
 应交税费                          191,518,094.70           182,358,060.78          268,410,061.10         260,064,686.58
 应付利息                             1,873,662.00               1,873,662.00         2,170,748.97              2,170,748.97

 预计负债

 长期借款

 应付债券

 递延所得税负债                     23,476,095.89
 其他负债                          102,732,033.92               91,408,743.76        95,059,857.46             78,905,692.22
 负债合计                        10,433,457,895.47        9,594,427,700.58        9,920,682,757.70       9,034,270,359.68
 股东权益:
 股本                             1,964,100,000.00        1,964,100,000.00        1,964,100,000.00       1,964,100,000.00
 资本公积                         9,935,058,559.57        9,864,610,760.82        9,847,614,297.54       9,849,001,978.56

 减:库存股

 盈余公积                          507,711,184.74           507,711,184.74          507,711,184.74         507,711,184.74
 一般风险准备                      502,689,979.61           502,689,979.61          502,689,979.61         502,689,979.61
 交易风险准备                      461,679,735.23           461,679,735.23          461,679,735.23         461,679,735.23
 未分配利润                       1,978,256,774.54        1,821,027,661.19        1,724,195,100.65       1,582,202,101.65

 外币报表折算差额                   -38,588,796.19                                  -27,964,254.27

 归属于母公司股东权益合计        15,310,907,437.50       15,121,819,321.59       14,980,026,043.50      14,867,384,979.79
 少数股东权益
 股东权益合计                    15,310,907,437.50       15,121,819,321.59       14,980,026,043.50      14,867,384,979.79
 负债和股东权益总计              25,744,365,332.97       24,716,247,022.17       24,900,708,801.20      23,901,655,339.47
法定代表人:凤良志                     主管会计工作负责人:高民和                             会计机构负责人:司开铭




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                                                                      国元证券股份有限公司 2011 年第一季度报告全文



4.2 利润表

编制单位:国元证券股份有限公司                       2011 年 1-3 月                                 单位:(人民币)元
                                                              本年金额                               上年金额
                   项       目
                                                    合并数               母公司            合并数                母公司
  一、营业收入                                   589,814,634.51       560,391,270.16    527,590,907.42     499,395,806.65
   手续费及佣金净收入                            431,312,229.20       418,504,335.76    408,336,344.61     395,736,031.60
   其中:代理买卖业务净收入                      252,674,302.11       241,759,877.39    298,687,889.62     286,127,576.61
         证券承销业务净收入                      162,980,575.72       162,980,575.72    100,554,407.95     100,554,407.95
         委托客户资产管理业务净收入                4,138,245.90          2,244,777.18     2,333,363.35          2,333,363.35
         保荐业务收入                              7,700,000.00          7,700,000.00     4,000,000.00          4,000,000.00
         财务顾问业务收入                          3,350,000.00          3,350,000.00     1,500,000.00          1,500,000.00
   利息净收入                                    105,103,363.94        98,522,006.62     64,852,961.70      60,832,629.03
   投资收益(损失以“-”号填列)                  -3,849,787.43        -3,849,787.43     49,194,483.67      49,025,934.36
   其中:对联营企业和合营企业的投资收益           36,774,263.25        36,774,263.25     37,904,649.15      37,904,649.15
   公允价值变动收益(损失以“-”号填列)          53,644,514.40        44,951,616.33      3,888,811.18          -7,099,445.08
   汇兑收益(损失以“-”号填列)                    -210,788.48          -210,788.48        -73,449.79            -73,449.79
   其他业务收入                                    3,815,102.88          2,473,887.36     1,391,756.05            974,106.53
  二、营业支出                                   260,188,012.49       244,255,316.20    187,774,853.33     175,664,921.60
   营业税金及附加                                 25,480,158.41        25,210,404.07     22,980,019.36      22,526,116.28
   业务及管理费                                  233,343,361.30       217,680,419.35    163,809,371.49     152,153,342.84
   资产减值损失
   其他业务成本                                    1,364,492.78          1,364,492.78      985,462.48             985,462.48
  三、营业利润(亏损以“-”号填列)              329,626,622.02       316,135,953.96    339,816,054.09     323,730,885.05
   加:营业外收入                                  5,283,744.13           283,744.13       653,516.62             153,516.62
   减:营业外支出                                  1,173,802.78          1,173,802.07      291,849.58             291,577.02
  四、利润总额(亏损总额“-”号填列)            333,736,563.37       315,245,896.02    340,177,721.13     323,592,824.65
   减:所得税费用                                 79,674,889.48        76,420,336.48     76,992,847.43      73,723,912.16
  五、净利润(净亏损以“-”号填列)              254,061,673.89       238,825,559.54    263,184,873.70     249,868,912.49
   其中:归属于母公司所有者的净利润              254,061,673.89                         262,652,426.86
         少数股东损益                                                                      532,446.84
  六、每股收益:
  (一)基本每股收益                                         0.13                                   0.13
  (二)稀释每股收益                                         0.13                                   0.13
 七、其他综合收益                                 76,819,720.11        15,608,782.26    -10,744,948.39          -9,826,869.96
 八、综合收益合计                                330,881,394.00       254,434,341.80    252,439,925.31     240,042,042.53
   其中:归属于母公司所有者的综合收益总额        330,881,394.00       254,434,341.80    251,907,478.47     240,042,042.53
         归属于少数股东的综合收益总额                                                      532,446.84
法定代表人:凤良志                      主管会计工作负责人:高民和                          会计机构负责人:司开铭




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     4.3 现金流量表

     编制单位:国元证券股份有限公司                  2011 年 1-3 月                                 单位:(人民币)元
                                                  2011 年 1-3 月                                2010 年 1-3 月
                   项目
                                           合并                    母公司                合并                    母公司
一、经营活动产生的现金流量:
处置交易性金融资产净增加额              173,356,516.55             128,364,791.41
收取利息、手续费及佣金的现金            537,908,412.83             518,817,739.84      476,326,201.01        460,488,660.63
拆入资金净增加额
回购业务资金净增加额
代理买卖业务的现金净增加额              520,247,781.95             581,142,897.12    -3,216,212,644.29     -3,815,038,575.52
收到其他与经营活动有关的现金             47,429,080.05              15,260,683.03       23,320,258.09            10,906,526.72
    经营活动现金流入小计               1,278,941,791.38       1,243,586,111.40       -2,716,566,185.19     -3,343,643,388.17
处置交易性金融资产净减少额                                                           1,093,267,854.92       1,029,162,110.85
支付利息、手续费及佣金的现金                297,086.97                297,086.97           219,741.48               219,741.48
拆入资金净减少额
支付给职工以及为职工支付的现金           84,453,972.81              71,583,483.30       69,124,368.54            60,437,546.00
支付的各项税费                          179,746,126.61             176,841,850.76      125,486,362.02        124,355,152.73
支付其他与经营活动有关的现金            532,617,536.83             495,279,619.95      221,266,272.90        123,357,282.24
    经营活动现金流出小计                797,114,723.22             744,002,040.98    1,509,364,599.86       1,337,531,833.30
  经营活动产生的现金流量净额            481,827,068.16             499,584,070.42    -4,225,930,785.05     -4,681,175,221.47
二、投资活动产生的现金流量:
收回投资收到的现金
取得投资收益收到的现金                                                                     214,400.00               214,400.00
收到其他与投资活动有关的现金               3,811,704.67              3,811,704.67
    投资活动现金流入小计                   3,811,704.67              3,811,704.67          214,400.00               214,400.00
投资支付的现金                                                     300,000,000.00       10,177,500.00
购建固定资产、无形资产和其他长期资产
                                         78,728,218.87              78,662,481.80       90,313,982.70            89,158,937.24
支付的现金
支付其他与投资活动有关的现金                209,602.12                209,602.12
    投资活动现金流出小计                 78,937,820.99             378,872,083.92      100,491,482.70            89,158,937.24
  投资活动产生的现金流量净额             -75,126,116.32        -375,060,379.25        -100,277,082.70            -88,944,537.24
三、筹资活动产生的现金流量:
吸收投资收到的现金
发行债券收到的现金
收到其他与筹资活动有关的现金
    筹资活动现金流入小计                           0.00                      0.00                 0.00                        0.00
偿还债务支付的现金
分配股利、利润或偿付利息支付的现金
支付其他与筹资活动有关的现金
    筹资活动现金流出小计                           0.00                      0.00                 0.00                        0.00
  筹资活动产生的现金流量净额                       0.00                      0.00                 0.00                        0.00
四、汇率变动对现金及现金等价物的影响     -10,835,330.40               -210,788.48        -2,119,546.87               -73,449.79




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                                                                国元证券股份有限公司 2011 年第一季度报告全文



五、现金及现金等价物净增加额        395,865,621.44        124,312,902.69    -4,328,327,414.62   -4,770,193,208.50
加:期初现金及现金等价物余额      16,937,011,475.33   16,028,556,559.31    25,748,780,747.92    24,511,679,549.54
六、期末现金及现金等价物余额      17,332,877,096.77   16,152,869,462.00    21,420,453,333.30    19,741,486,341.04
     法定代表人:凤良志               主管会计工作负责人:高民和                     会计机构负责人:司开铭


     4.4 审计报告

     审计意见: 未经审计


     §5 其他报送数据

     5.1 大股东及其附属企业非经营性资金占用及清偿情况表

     □ 适用 √ 不适用


     5.2 违规对外担保情况

     □ 适用 √ 不适用




                                                                                    国元证券股份有限公司



                                                                                    法定代表人: 凤良志



                                                                                    二〇一一年四月二十一日




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