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国元证券(000728)公告正文

国元证券:2011年第三季度报告全文

公告日期 2011-10-28
股票简称:国元证券 股票代码:000728
    国元证券股份有限公司 2011 年第三季度报告全文
    国元证券股份有限公司 2011 年第三季度报告全文
    §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 公司第三季度财务报告未经会计师事务所审计。
    1.3 本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
    2011.9.30                    2010.12.31                  增减幅度(%)
    总资产(元)                          22,979,525,459.94            24,900,708,801.20                         -7.72%
    归属于上市公司股东的所有者权益(元)             14,725,648,451.93            14,980,026,043.50                         -1.70%
    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/
    7.50                        7.63                        -1.70%
    股)
    2011 年 7-9 月       比上年同期增减(%)    2011 年 1-9 月        比上年同期增减(%)
    营业收入(元)                    279,677,492.74                -53.40%      1,315,052,595.51                -14.45%
    归属于上市公司股东的净利润(元)             19,620,511.70               -92.21%        459,397,315.54                -31.82%
    经营活动产生的现金流量净额(元)                          -                    -        -745,282,547.00                       -
    每股经营活动产生的现金流量净额(元/
    -                    -                   -0.38                      -
    股)
    基本每股收益(元/股)                           0.01               -92.31%                   0.23               -32.35%
    稀释每股收益(元/股)                           0.01               -92.31%                   0.23               -32.35%
    加权平均净资产收益率(%)                        0.13% 减少 1.59 个百分点                      3.10% 减少 1.45 个百分点
    扣除非经常性损益后的加权平均净资产
    0.13% 减少 1.57 个百分点                      3.08% 减少 1.43 个百分点
    收益率(%)
    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                                                                                                  -402,565.44
    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
    6,000,000.00
    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                                                                                -691,655.60
    所得税影响额                                                                                                      -1,292,823.42
    合计                                                                                  3,612,955.54
    1
    国元证券股份有限公司 2011 年第三季度报告全文
    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
    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)                                                                               125,741
    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                                         292,480,213            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
    中国银行-易方达深证 100 交易型开放式指数证
    20,015,947            人民币普通股
    券投资基金
    安徽国元实业投资有限责任公司                                              13,195,074            人民币普通股
    中国工商银行-融通深证 100 指数证券投资基金                                9,003,426            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
    单位:元
    增减百
    项目                 2011 年 9 月 30 日   2010 年 12 月 31 日                               主要原因
    分比%
    融出资金                           549,471,614.32        287,316,672.98    91.24%    公司融资融券业务扩展,融出资金增加
    交易性金融资产                     374,654,041.00      1,219,475,628.68    -69.28%   证券市场调整,公司降低自营投资规模
    应收利息                            89,761,957.05         39,823,748.00    125.40%   应计债券投资利息和定期银行存款利息增加
    固定资产                         1,118,483,215.32        794,823,944.10    40.72%    公司新增营业网点购置营业用房增加
    递延所得税资产                      96,560,912.89         48,322,398.41    99.83%    公司金融性资产浮动亏损增加
    公司融资融券业务扩展,信用客户存放证券交易资
    信用交易代理买卖证券款             434,089,649.57        192,753,620.82    125.20%
    金增加
    应付职工薪酬                       131,410,578.75        203,531,973.66    -35.43%   效益降低,公司计提的绩效薪酬等减少
    应交税费                            63,882,780.89        268,410,061.10    -76.20%   效益降低,公司计提的应缴所得税税款等减少
    应付利息                             1,468,145.82          2,170,748.97    -32.37%   客户存放证券交易资金减少导致应付利息减少
    外币报表折算差额                   -55,615,288.67        -27,964,254.27          -   人民币升值因素
    2
    国元证券股份有限公司 2011 年第三季度报告全文
    增减百
    项目                2011 年 1-9 月      2010 年 1-9 月                                     主要原因
    分比%
    委托客户资产管理业务净收入         11,350,602.70         8,480,238.21    33.85%      国元(香港)公司资产管理业务收入增加
    财务顾问业务收入                     8,600,000.00        5,800,000.00    48.28%      投行完成财务顾问项目增加
    利息净收入                        353,666,636.94       231,176,168.63    52.99%      银行利率提高导致公司存放的资金利息收入增加
    投资收益                          131,226,730.62       223,645,691.87    -41.32%     自营投资收益减少
    公允价值变动收益                   -72,163,843.12       20,596,504.00   -450.37%     国元(香港)公司金融资产浮动亏损增加
    汇兑收益                              -901,401.65         -399,731.18            -   人民币升值因素
    资产减值损失                        -5,359,162.39       31,263,107.39   -117.14%     公司应收帐款减少,冲抵已计提的坏账准备
    其他业务成本                         3,457,070.05        2,546,746.91    35.74%      公司客户开户成本增加
    营业外收入                           7,429,860.34       13,456,668.78    -44.79%     财政性补助等减少
    营业外支出                           2,524,081.38        4,861,448.51    -48.08%     公司捐赠支出等减少
    所得税费用                        101,498,491.72       171,413,599.31    -40.79%     效益降低,导致应缴企业所得税减少
    经纪业务收入减少和国元(香港)公司发生亏损所
    归属于母公司所有者的净利润        459,397,315.54       673,810,084.19    -31.82%
    致
    少数股东损益                                             1,415,414.27   -100.00%     子公司股权变化所致
    基本每股收益                                 0.23                0.34    -32.35%     实现净利润减少所致
    其他综合收益                      -124,544,907.11      -31,128,754.80            -   可供出售金融资产等发生浮动亏损所致
    经营活动产生的现金流量净额        -745,282,547.00   -4,825,365,279.51            -   证券市场调整,客户存放证券交易资金进一步减少
    投资活动产生的现金流量净额        -191,426,722.36     -495,328,506.32            -   公司购置营业用房等固定资产增加
    筹资活动产生的现金流量净额        -589,230,000.00     -982,050,000.00            -   公司派发 2010 年现金红利
    汇率变动对现金及现金等价物
    -28,552,436.05      -12,359,878.95            -   人民币升值因素
    的影响
    客户存放证券交易资金减少、派发 2010 年现金红
    现金及现金等价物净增加额        -1,554,491,705.41   -6,315,103,664.78            -
    利、购置营业用房等原因所致
    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七次会议审议通过了《关于增加国元海勤期货有限公司注册资本的议案》,同意公司向国元海勤期货
    有限公司增资 1 亿元人民币,授权公司经营管理层根据国家有关规定办理与增资国元海勤期货有限公司相关的具体事项(具
    体公告见 2011 年 5 月 20 日《中国证券报》、《证券时报》、《上海证券报》及巨潮资讯网)。2011 年 8 月 4 日,国元海勤期货
    3
    国元证券股份有限公司 2011 年第三季度报告全文
    有限公司收到中国证监会《关于核准国元海勤期货有限公司变更注册资本的批复》(证监许可〔2011〕1195 号),核准国元
    海勤期货有限公司注册资本由 10,000 万元变更为 20,000 万元,新增的注册资本由公司以现金方式认缴 10,000 万元(具体公
    告见 2011 年 8 月 8 日《中国证券报》、《证券时报》、《上海证券报》及巨潮资讯网)。2011 年 9 月 7 日,国元海勤期货有限
    公司完成营业执照变更登记,注册资本变更为 2 亿元,法定代表人变更为杨念新。2011 年 10 月 13 日,国元海勤期货有限
    公司换领了新的经营期货业务许可证。
    3、2011年8月8日,公司收到第一大股东安徽国元控股(集团)有限责任公司(以下简称“国元集团”)《关于国元集团质押所
    持部分国元证券股份的函》,国元集团将其所持有的部分公司股份52,000,000股(占公司总股本的2.65%)质押给徽商银行股
    份有限公司合肥长江路支行,用于向该行融资。截至目前,国元集团累计质押公司股份182,000,000股,占公司总股本的9.27%
    (具体公告见2011年8月9日《中国证券报》、《证券时报》、《上海证券报》及巨潮资讯网)。
    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
    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
    占期末证券总
    序                                               初始投资金额
    证券品种      证券代码      证券简称                       持有数量           期末账面值         投资比例      报告期损益
    号                                                   (元)
    (%)
    09 淮南矿
    1      企业债        982085                     200,071,506.85   2,000,000.00       193,940,000.00         51.77%     -8,520,000.00
    MTN2
    国元多策略
    2       基金                -    中国机会基     195,554,959.92    224,048.42        139,458,308.52         37.22%   -106,897,667.32
    金
    国元环球中
    3       基金                -                    30,105,479.53    369,215.71         25,014,192.48          6.68%     -9,089,645.56
    国机会基金
    4      可转债        113002       工行转债       13,280,279.10       116,000         11,767,040.00          3.14%     -1,513,239.10
    5      可转债        113001       中行转债        5,076,318.00        50,000          4,474,500.00          1.19%      -601,818.00
    期末持有的其他证券投资                            0                -                   0              -                 -
    报告期已出售证券投资损益                             -               -                   -              -      6,591,458.32
    合计                       444,088,543.40               -      374,654,041.00          100%    -120,030,911.66
    证券投资情况说明
    证券投资情况表填列公司 2011 年 9 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
    安徽广播电视台财经特快栏目 公司的经纪业务、投行业务、直投业
    2011 年 04 月 28 日        公司          采访
    记者                       务发展情况等
    4
    国元证券股份有限公司 2011 年第三季度报告全文
    公司经纪业务、投行业务、创新业务
    2011 年 09 月 15 日      公司       实地调研     东方证券研究员
    发展情况及公司长远发展战略等
    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 09 月 30 日
    3.6 衍生品投资情况
    □ 适用 √ 不适用
    3.6.1 报告期末衍生品投资的持仓情况
    √适用 □不适用
    单位:元
    期末合约金额占公司报
    合约种类               期初合约金额            期末合约金额         报告期损益情况
    告期末净资产比例(%)
    股指期货                       0                      0               -78,900.00                 0
    合计                         0                      0               -78,900.00                 0
    §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 9 月 30 日                              单位:(人民币)元
    2011 年 9 月 30 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                        14,515,934,575.93        12,771,795,965.36      15,762,412,099.68     14,975,042,751.68
    其中:客户资金存款               6,514,811,720.45         5,951,029,820.13       7,509,778,569.64      7,361,408,047.28
    客户信用资金存款            414,744,611.98             88,352,727.90         445,282,529.75          6,939,769.11
    结算备付金                        866,585,193.99            724,772,683.24       1,174,599,375.65      1,053,513,807.63
    其中:客户备付金                  780,948,403.64            633,631,084.77       1,094,560,541.13       980,974,973.11
    信用备付金                   18,163,781.75             18,163,781.75          20,007,702.20        20,007,702.20
    拆出资金
    融出资金                          549,471,614.32            359,746,236.59         287,316,672.98        16,084,872.90
    融出证券                              389,892.00                389,892.00
    交易性金融资产                    374,654,041.00            210,181,540.00       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                           89,761,957.05             89,761,957.05          39,823,748.00        39,823,748.00
    存出保证金                        269,472,549.60            166,039,656.59         297,691,310.49       198,489,763.29
    可供出售金融资产                 3,529,034,329.75         3,361,034,322.93       3,613,337,819.62      3,565,188,060.96
    持有至到期投资
    长期股权投资                      870,483,110.45          2,378,061,005.78         899,120,510.59      1,786,343,405.92
    投资性房地产
    固定资产                         1,118,483,215.32         1,104,920,936.68         794,823,944.10       779,286,541.72
    5
    国元证券股份有限公司 2011 年第三季度报告全文
    无形资产                           22,583,228.28            19,229,188.79           18,005,218.33        14,037,208.45
    其中:交易席位费                 2,279,231.75            2,279,231.75            2,878,307.61         2,878,307.61
    递延所得税资产                     96,560,912.89            74,337,888.75           48,322,398.41        43,921,006.31
    其他资产                          676,110,839.36           465,866,929.22          745,780,074.67       538,397,249.29
    资产总计                        22,979,525,459.94       21,726,138,202.98       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
    资产负债表(二)
    编制单位:国元证券股份有限公司                       2011 年 9 月 30 日                              单位:(人民币)元
    2011 年 9 月 30 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                  7,513,235,196.68        6,727,010,278.97        9,158,756,495.69     8,513,679,140.34
    信用交易代理买卖证券款           434,089,649.57            88,353,857.62          192,753,620.82         6,875,964.64
    代理承销证券款
    应付职工薪酬                     131,410,578.75           120,140,608.66          203,531,973.66       172,574,126.93
    应交税费                          63,882,780.89            52,706,857.51          268,410,061.10       260,064,686.58
    应付利息                            1,468,145.82            1,468,145.82            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                     16,911,251.71
    其他负债                          92,879,404.59            80,444,657.83           95,059,857.46        78,905,692.22
    负债合计                        8,253,877,008.01        7,070,124,406.41        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                        9,750,720,424.83        9,699,986,669.72        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                      1,594,362,416.19        1,519,846,227.27        1,724,195,100.65     1,582,202,101.65
    外币报表折算差额                  -55,615,288.67                                  -27,964,254.27
    归属于母公司股东权益合计       14,725,648,451.93       14,656,013,796.57       14,980,026,043.50    14,867,384,979.79
    少数股东权益
    股东权益合计                   14,725,648,451.93       14,656,013,796.57       14,980,026,043.50    14,867,384,979.79
    负债和股东权益总计             22,979,525,459.94       21,726,138,202.98       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
    6
    国元证券股份有限公司 2011 年第三季度报告全文
    4.2 本报告期利润表
    编制单位:国元证券股份有限公司                       2011 年 7-9 月                                    单位:(人民币)元
    2011 年 7-9 月                       2010 年 7-9 月
    项      目
    合并数              母公司             合并数          母公司
    一、营业收入                                 279,677,492.74     378,462,171.88      600,102,569.13      565,855,731.44
    手续费及佣金净收入                          198,614,142.30     186,688,355.36      347,644,401.40      336,043,876.97
    其中:代理买卖业务净收入                    190,623,035.08     179,862,419.64      272,849,212.51      261,248,688.08
    证券承销业务净收入                                                            57,902,446.87       57,902,446.87
    委托客户资产管理业务净收入              2,941,107.22          1,775,935.72     3,783,739.40        3,783,739.40
    保荐业务收入                            1,000,000.00          1,000,000.00    10,500,000.00       10,500,000.00
    财务顾问业务收入                        3,750,000.00          3,750,000.00     1,300,000.00        1,300,000.00
    利息净收入                                  158,549,336.41     145,489,439.10       80,104,141.26       74,404,342.07
    投资收益(损失以“-”号填列)                50,698,957.74         50,678,113.49    97,903,178.82      104,017,370.07
    其中:对联营企业和合营企业的投资收益         25,072,335.98         25,072,335.98    31,328,367.97       31,328,367.97
    公允价值变动收益(损失以“-”号填列)      -128,810,670.70         -4,575,057.10    71,288,363.01       50,501,452.95
    汇兑收益(损失以“-”号填列)                  -408,754.90           -408,754.90      -218,190.26         -218,190.26
    其他业务收入                                  1,034,481.89           590,075.93      3,380,674.90        1,106,879.64
    二、营业支出                                 248,200,994.22     231,575,820.24      265,743,755.74      251,047,285.37
    营业税金及附加                               12,693,494.93         12,275,068.46    22,129,006.83       21,697,943.37
    业务及管理费                                234,426,984.25     218,220,236.74      242,878,555.86      228,613,148.95
    资产减值损失
    其他业务成本                                  1,080,515.04          1,080,515.04      736,193.05           736,193.05
    三、营业利润(亏损以“-”号填列)             31,476,498.52     146,886,351.64      334,358,813.39      314,808,446.07
    加:营业外收入                                389,025.14            387,792.55      7,587,943.52        7,587,935.08
    减:营业外支出                                545,826.68            545,826.68      3,072,163.33        3,059,467.45
    四、利润总额(亏损总额“-”号填列)           31,319,696.98     146,728,317.51      338,874,593.58      319,336,913.70
    减:所得税费用                              11,699,185.28         31,077,669.13    85,738,183.08       81,315,198.69
    五、净利润(净亏损以“-”号填列)             19,620,511.70     115,650,648.38      253,136,410.50      238,021,715.01
    其中:归属于母公司所有者的净利润            19,620,511.70                         251,797,918.09
    少数股东损益                                                    1,338,492.41
    六、每股收益:
    (一)基本每股收益                                    0.01                                   0.13
    (二)稀释每股收益                                    0.01                                   0.13
    七、其他综合收益                             -167,812,492.29    -151,531,634.28       40,464,264.44       44,463,838.32
    八、综合收益合计                             -148,191,980.59     -35,880,985.90      293,600,674.94      282,485,553.33
    其中:归属于母公司所有者的综合收益总额      -148,191,980.59     -35,880,985.90      292,262,182.53      282,485,553.33
    归属于少数股东的综合收益总额                                                 1,338,492.41
    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
    7
    国元证券股份有限公司 2011 年第三季度报告全文
    4.3 年初到报告期末利润表
    编制单位:国元证券股份有限公司                        2011 年 1-9 月                                 单位:(人民币)元
    2011 年 1-9 月                           2010 年 1-9 月
    项      目
    合并数              母公司               合并数              母公司
    一、营业收入                               1,315,052,595.51 1,352,263,128.46        1,537,193,427.07   1,468,509,899.07
    手续费及佣金净收入                          895,942,737.27    855,399,807.97       1,055,042,262.76   1,018,560,208.66
    其中:代理买卖业务净收入                    656,544,888.43    621,319,423.68        830,120,901.03     793,708,846.93
    证券承销业务净收入                    204,476,300.80    204,476,300.80        185,152,054.82     185,152,054.82
    委托客户资产管理业务净收入             11,350,602.70          6,033,138.15      8,480,238.21        8,480,238.21
    保荐业务收入                           15,700,000.00      15,700,000.00        21,600,000.00       21,600,000.00
    财务顾问业务收入                        8,600,000.00          8,600,000.00      5,800,000.00        5,800,000.00
    利息净收入                                  353,666,636.94    325,469,522.03        231,176,168.63     217,174,939.53
    投资收益(损失以“-”号填列)               131,226,730.62    123,724,839.87        223,645,691.87     224,124,604.49
    其中:对联营企业和合营企业的投资收益        101,808,683.39    101,808,683.39        112,851,263.45     112,851,263.45
    公允价值变动收益(损失以“-”号填列)       -72,163,843.12      43,823,469.76        20,596,504.00        5,711,891.26
    汇兑收益(损失以“-”号填列)                  -901,401.65          -901,401.65        -399,731.18         -399,731.18
    其他业务收入                                  7,281,735.45          4,746,890.48      7,132,530.99        3,337,986.31
    二、营业支出                                 759,062,567.21     711,881,656.65       699,149,549.57     659,608,687.45
    营业税金及附加                               55,684,426.64      54,626,096.98        64,710,813.87       63,414,666.67
    业务及管理费                                705,280,232.91    659,157,652.01        600,628,881.40     562,385,166.48
    资产减值损失                                 -5,359,162.39      -5,359,162.39        31,263,107.39       31,263,107.39
    其他业务成本                                  3,457,070.05          3,457,070.05      2,546,746.91        2,545,746.91
    三、营业利润(亏损以“-”号填列)            555,990,028.30    640,381,471.81        838,043,877.50      808,901,211.62
    加:营业外收入                               7,429,860.34          2,407,691.30     13,456,668.78        7,952,951.17
    减:营业外支出                               2,524,081.38          2,523,047.01      4,861,448.51        4,848,480.07
    四、利润总额(亏损总额“-”号填列)          560,895,807.26     640,266,116.10       846,639,097.77     812,005,682.72
    减:所得税费用                             101,498,491.72     113,391,990.48       171,413,599.31     163,278,303.81
    五、净利润(净亏损以“-”号填列)            459,397,315.54    526,874,125.62        675,225,498.46     648,727,378.91
    其中:归属于母公司所有者的净利润           459,397,315.54                          673,810,084.19
    少数股东损益                                                     1,415,414.27
    六、每股收益:
    (一)基本每股收益                                    0.23                                    0.34
    (二)稀释每股收益                                    0.23                                    0.34
    七、其他综合收益                             -124,544,907.11    -149,015,308.84        -31,128,754.80     -18,165,384.22
    八、综合收益合计                              334,852,408.43    377,858,816.78        644,096,743.66     630,561,994.69
    其中:归属于母公司所有者的综合收益总额       334,852,408.43    377,858,816.78        642,681,329.39     630,561,994.69
    归属于少数股东的综合收益总额                                                  1,415,414.27
    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
    8
    国元证券股份有限公司 2011 年第三季度报告全文
    4.4 年初到报告期末现金流量表
    编制单位:国元证券股份有限公司                       2011 年 1-9 月                                  单位:(人民币)元
    2011 年 1-9 月                             2010 年 1-9 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                  799,118,444.34       774,128,113.86
    收取利息、手续费及佣金的现金               1,288,539,991.91    1,210,184,175.44       1,364,565,764.60     1,315,096,609.32
    拆入资金净增加额                                                                        43,174,500.00
    回购业务资金净增加额
    代理买卖业务的现金净增加额                -1,404,185,270.26   -1,705,190,968.39      -3,574,626,898.00    -4,047,086,337.35
    收到其他与经营活动有关的现金                 47,956,309.52           39,604,688.48      36,898,864.27        12,035,293.60
    经营活动现金流入小计                      731,429,475.51       318,726,009.39      -2,129,987,769.13    -2,719,954,434.43
    处置交易性金融资产净减少额                                                            1,357,026,798.49     1,131,880,347.19
    支付利息、手续费及佣金的现金                 80,536,831.50           70,921,510.99      74,848,663.61        74,848,663.61
    拆入资金净减少额
    支付给职工以及为职工支付的现金              437,758,276.32       397,358,636.68        386,117,839.71       371,246,905.81
    支付的各项税费                              391,866,608.36       386,680,112.55        329,088,119.13       325,761,569.64
    支付其他与经营活动有关的现金                566,550,306.33       615,652,791.53        548,296,089.44       240,795,485.28
    经营活动现金流出小计                     1,476,712,022.51    1,470,613,051.75       2,695,377,510.38     2,144,532,971.53
    经营活动产生的现金流量净额                  -745,282,547.00   -1,151,887,042.36      -4,825,365,279.51    -4,864,487,405.96
    二、投资活动产生的现金流量:
    收回投资收到的现金                             3,811,704.67           3,811,704.67     -226,640,187.78       62,420,000.00
    取得投资收益收到的现金                       89,525,721.00           89,525,721.00      73,901,721.10        73,671,578.00
    收到其他与投资活动有关的现金
    投资活动现金流入小计                       93,337,425.67           93,337,425.67     -152,738,466.68      136,091,578.00
    投资支付的现金                                                   600,000,000.00        -140,483,610.58      221,635,700.00
    购建固定资产、无形资产和其他长期资产
    283,875,592.21       282,418,336.55        482,117,274.38       478,902,495.01
    支付的现金
    支付其他与投资活动有关的现金                    888,555.82             888,555.82          956,375.84           956,375.84
    投资活动现金流出小计                      284,764,148.03       883,306,892.37        342,590,039.64       701,494,570.85
    投资活动产生的现金流量净额                  -191,426,722.36     -789,969,466.70        -495,328,506.32      -565,402,992.85
    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          589,230,000.00       589,230,000.00        982,050,000.00       982,050,000.00
    支付其他与筹资活动有关的现金
    筹资活动现金流出小计                      589,230,000.00       589,230,000.00        982,050,000.00       982,050,000.00
    筹资活动产生的现金流量净额                 -589,230,000.00     -589,230,000.00        -982,050,000.00      -982,050,000.00
    四、汇率变动对现金及现金等价物的影响         -28,552,436.05            -901,401.65      -12,359,878.95         -399,731.18
    五、现金及现金等价物净增加额              -1,554,491,705.41   -2,531,987,910.71      -6,315,103,664.78    -6,412,340,129.99
    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              15,382,519,769.92   13,496,568,648.60      19,433,677,083.14   18,099,339,419.55
    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
    9
    国元证券股份有限公司 2011 年第三季度报告全文
    4.5 审计报告
    审计意见: 未经审计
    国元证券股份有限公司
    法定代表人: 凤良志
    二〇一一年十月二十八日
    10
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