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  • [亚太] 上证指数 2319.12 (1.00%) 深证成指 9466.14 1.78% 恒生指数 19664.10 -1.06% 台北 7233.69 0.17% 韩国 1964.83 0.39%
  • [亚太] 日经 8841.22 -0.09% 澳大利亚 4348.48 0.45% 新西兰 3294.64 0.40% 印度孟买 17234.00 0.92% 新加坡 2916.26 0.75%
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国元证券(000728)公告正文

国元证券:2012年半年度报告摘要

公告日期 2012-08-28
股票简称:国元证券 股票代码:000728
                                                                 国元证券股份有限公司 2012 年半年度报告摘要
    证券代码:000728                     证券简称:国元证券                               公告编号:2012- 032
                 国元证券股份有限公司 2012 年半年度报告摘要
                                           一、重要提示
       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、准确性和完整性承担个别及连带责任。
       本半年度报告摘要摘自半年度报告全文,报告全文同时刊载于巨潮资讯网(www.cninfo.com.cn)。投资者欲了解详细内容,应当仔细阅读半年度报告全文。
       除下列董事外,其他董事亲自出席了审议本次半年报的董事会会议
    未亲自出席董事姓名       未亲自出席董事职务          未亲自出席会议原因             被委托人姓名
    吴福胜                    董事                        因事                     肖正海
       公司半年度财务报告未经会计师事务所审计。
       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:保证本半年度报告中的财务报告真实、完整。
                                     二、公司基本情况(一)基本情况简介
    A 股简称                          国元证券
    A 股代码                          000728
    上市证券交易所                    深圳证券交易所
                                              董事会秘书                         证券事务代表
    姓名                              万士清                              李克木
    联系地址                          安徽省合肥市寿春路 179 号国元大厦   安徽省合肥市寿春路 179 号国元大厦
    电话                              0551-2207323                       0551-2207968
    传真                              0551-2207322                       0551-2207322
    电子信箱                          wansq@gyzq.com.cn                   likemu@gyzq.com.cn
                                                                      国元证券股份有限公司 2012 年半年度报告摘要(二)主要财务数据和指标1、主要会计数据和财务指标以前报告期财务报表是否发生了追溯调整□ 是 √ 否
                                                                                           本报告期末比上年度期末
                                             本报告期末               上年度期末
                                                                                                   增减(%)
    总资产(元)                                  22,169,838,278.47        22,597,071,935.52                   -1.89%
    归属于上市公司股东的所有者权益(元)          14,908,594,803.55        14,799,190,059.83                    0.74%
    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)                    7.59                     7.53                    0.80%
    资产负债率(%)                                           1.83%                    2.49%        减少 0.66 个百分点
                                                                                           本报告期比上年同期增减
                                           报告期(1-6 月)            上年同期
                                                                                                     (%)
    营业收入(元)                                   843,755,472.67         1,035,375,102.77                  -18.51%
    营业利润(元)                                   360,211,063.61           524,513,529.78                  -31.32%
    利润总额(元)                                   359,800,018.12           529,576,110.28                  -32.06%
    归属于上市公司股东的净利润(元)                 296,699,596.16           439,776,803.84                  -32.53%归属于上市公司股东的扣除非经常性损益
                                                 297,178,811.98           435,980,260.00                  -31.84%的净利润(元)
    基本每股收益(元/股)                                      0.15                     0.22                  -31.82%
    稀释每股收益(元/股)                                      0.15                     0.22                  -31.82%
    加权平均净资产收益率(%)                                 1.99%                    2.93%        减少 0.94 个百分点扣除非经常性损益后的加权平均净资产收
                                                          2.00%                    2.90%        减少 0.90 个百分点益率(%)
    经营活动产生的现金流量净额(元)              -1,485,057,054.46           405,200,231.49                         -
    每股经营活动产生的现金流量净额(元/股)                   -0.76                     0.21                         -报告期末公司前主要会计数据和财务指标的说明(如有追溯调整,请填写调整说明)2、非经常性损益项目√ 适用 □ 不适用
                    非经常性损益项目               年初到报告期末金额(元)                   说明
    非流动资产处置损益                                                -115,168.60越权审批或无正式批准文件的税收返还、减免计入当期损益的政府补助(与企业业务密切相关,按照国家统一标准定额或定量享受的政府补助除外)计入当期损益的对非金融企业收取的资金占用费企业取得子公司、联营企业及合营企业的投资成本小于取得投资时应享有被投资单位可辨认净资产公允价值产生的收益非货币性资产交换损益委托他人投资或管理资产的损益因不可抗力因素,如遭受自然灾害而计提的各项资产减
                                                         国元证券股份有限公司 2012 年半年度报告摘要值准备债务重组损益企业重组费用,如安置职工的支出、整合费用等交易价格显失公允的交易产生的超过公允价值部分的损益同一控制下企业合并产生的子公司期初至合并日的当期净损益与公司正常经营业务无关的或有事项产生的损益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单独进行减值测试的应收款项减值准备转回对外委托贷款取得的损益采用公允价值模式进行后续计量的投资性房地产公允价值变动产生的损益根据税收、会计等法律、法规的要求对当期损益进行一次性调整对当期损益的影响受托经营取得的托管费收入
    除上述各项之外的其他营业外收入和支出                 -295,876.89其他符合非经常性损益定义的损益项目少数股东权益影响额
    所得税影响额                                          -68,170.33
    合计                                                 -479,215.82                --3、同时按照国际会计准则与按中国会计准则披露的财务报告中净利润和净资产差异情况□ 适用 √ 不适用4、同时按照境外会计准则与按中国会计准则披露的财务报告中净利润和净资产差异情况□ 适用 √ 不适用
                                   三、股本变动及股东情况(一)股本变动情况表□ 适用 √ 不适用(二)前 10 名股东、前 10 名无限售条件股东/流通股股东持股情况表前 10 名股东、前 10 名无限售条件股东持股情况表
                                                                         国元证券股份有限公司 2012 年半年度报告摘要
    股东总数                                                                                                           106,349前十名股东持股情况
                                                持股比例                    持有有限售条          质押或冻结情况
        股东名称(全称)            股东性质                 持股总数
                                                  (%)                         件股份数量      股份状态           数量
    安徽国元控股(集团)有限责任公司 国有法人          23.55%     462,498,033               0 质押                  182,000,000
    安徽国元信托有限责任公司           国有法人        15.69%     308,104,975               0
    安徽省粮油食品进出口(集团)公司 国有法人          13.94%     273,843,732               0 质押                  120,000,000
    安徽省皖能股份有限公司             国有法人         5.01%      98,303,300               0
    安徽皖维高新材料股份有限公司       国有法人         3.10%      60,975,369               0
    安徽全柴集团有限公司               国有法人         2.99%      58,740,055               0
    合肥兴泰控股集团有限公司           国有法人         1.31%      25,664,621               0中国银行-易方达深证 100 交易型开 境内非国有
                                                    1.17%      22,890,914               0
    放式指数证券投资基金              法人
    安徽国元实业投资有限责任公司       国有法人         0.67%      13,195,074               0中国工商银行-景顺长城精选蓝筹股 境内非国有
                                                    0.58%      11,327,190               0
    票型证券投资基金                法人前十名无限售条件股东持股情况
                                                                                            股份种类及数量
                     股东名称                   持有无限售条件股份数量
                                                                                 种类                    数量
    安徽国元控股(集团)有限责任公司                              462,498,033 A 股                                  462,498,033
    安徽国元信托有限责任公司                                      308,104,975 A 股                                  308,104,975
    安徽省粮油食品进出口(集团)公司                              273,843,732 A 股                                  273,843,732
    安徽省皖能股份有限公司                                         98,303,300 A 股                                   98,303,300
    安徽皖维高新材料股份有限公司                                   60,975,369 A 股                                   60,975,369
    安徽全柴集团有限公司                                           58,740,055 A 股                                   58,740,055
    合肥兴泰控股集团有限公司                                       25,664,621 A 股                                   25,664,621中国银行-易方达深证 100 交易型开放式指数证
                                                               22,890,914 A 股                                   22,890,914券投资基金
    安徽国元实业投资有限责任公司                                   13,195,074 A 股                                   13,195,074中国工商银行-景顺长城精选蓝筹股票型证券投资
                                                               11,327,190 A 股                                   11,327,190基金
                                               国元集团持有国元信托 49.69%的股权,系该公司第一大股东,还持有国元实上述股东关联关系或(及)一致行动人的说明
                                               业 100%的股权。国元集团、国元信托和国元实业互为一致行动人。(三)控股股东及实际控制人变更情况□ 适用 √ 不适用
                                                               国元证券股份有限公司 2012 年半年度报告摘要
                       四、董事、监事和高级管理人员情况(一)董事、监事和高级管理人员持股变动
                                                                   其中:持有限 期末持有股
                       期初持股数 本期增持股 本期减持股 期末持股数
    姓名      职务                                                  制性股票数 票期权数量      变动原因
                         (股)   份数量(股)份数量(股) (股)
                                                                     量(股)     (股)
    凤良志    董事长                0                                 0
    过仕刚    董事                  0                                 0
    林传慧    董事                  0                                 0
    蔡咏      董事、总裁            0                                 0
    俞仕新    董事                  0                                 0
    张维根    董事                  0                                 0
    陈焱华    董事                  0                                 0
    张飞飞    董事                  0                                 0
    肖正海    董事                  0                                 0
    吴福胜    董事                  0                                 0
    方兆本    独立董事              0                                 0
    巴曙松    独立董事              0                                 0
    张传明    独立董事              0                                 0
    何晖      独立董事              0                                 0
    喻荣虎    独立董事              0                                 0
    张可俊    监事会主席            0                                 0
    段立喜    监事                  0                                 0
    程凤琴    监事                  0                                 0
    魏世春    监事                  0                                 0
    汪长志    监事                  0                                 0
    蒋希敏    党委副书记            0                                 0
    陈平      副总裁                0                                 0
    陈新      副总裁                0                                 0
    高新      副总裁                0                                 0
    陈东杰    副总裁                0                                 0
    陈益民    副总裁                0                                 0
    朱楚恒    副总裁                0                                 0
    高民和    总会计师              0                                 0
    万士清    董事会秘书            0                                 0
    沈和付    合规总监              0                                 0
                                                                              国元证券股份有限公司 2012 年半年度报告摘要
                                                 五、董事会报告
    (一)主营业务分行业、产品情况表
                                                                                                             单位:万元
                                                                      营业收入比上年 营业成本比上年
         分行业或分产品        营业收入     营业成本     毛利率(%)                                  毛利率比上年同期增减(%)
                                                                      同期增减(%) 同期增减(%)分行业
    经纪业务                        36,965.50    25,347.95      31.43%           -28.85%          1.09%       减少 20.31 个百分点
    证券承销、保荐及财务顾问业务     5,539.85     4,162.37      24.86%           -75.27%        -43.59%       减少 42.20 个百分点
    自营投资业务                    15,635.14      903.37       94.22%           104.46%         66.69%        增长 1.31 个百分点
    资产管理业务                      750.71       402.02       46.45%           -10.73%         48.62%       减少 21.39 个百分点
    融资融券业务                     2,674.62      193.94       92.75%            31.66%         40.69%       减少 0.47 个百分点
    毛利率比上年同期增减幅度较大的原因说明
           公司主营业务中,经纪业务、证券承销保荐及财务顾问业务和客户资产管理业务营业利润率分别比上
    年同期减少20.31、42.20和21.39个百分点,主要原因为受宏观经济下行以及证券市场持续低迷的影响,上
    半年证券市场证券交易总量和融资总额与去年同期相比有较大幅度的下降,公司虽然极力控制业务费用支
    出,加大成本管控,但收入下降幅度较大,从而导致公司主营业务利润率发生较大幅度的下降。
    (二)主营业务分地区情况
                                                                                                             单位:万元
                      地区                                 营业收入                     营业收入比上年同期增减(%)
    安徽省                                                                 18,150.48                             -34.88%
    北京市                                                                  1,529.78                             -11.52%
    上海市                                                                  3,564.29                             -25.49%
    广东省                                                                  3,413.82                             -24.51%
    山东省                                                                  2,842.81                             -25.47%
    辽宁省                                                                   989.43                               -32.5%
    天津市                                                                   252.94                              -22.48%
    江苏省                                                                   596.71                              -37.49%
    浙江省                                                                   763.35                              -10.56%
    重庆市                                                                   408.93                               -26.2%
    福建省                                                                   163.48                             100.32%
    河南省                                                                    74.06                             148.94%
    湖南省                                                                    73.32                                4.85%
    湖北省                                                                   149.17                             197.45%
    贵州省                                                                    30.64
    江西省                                                                    39.72                            2,658.33%
    山西省                                                                   146.86                             126.25%
                                                            国元证券股份有限公司 2012 年半年度报告摘要
    公司本部                                                 47,384.42                               -8.3%
    境内合计                                                 80,574.21                             -18.48%
    境外                                                      3,801.34                             -18.99%
    合计                                                     84,375.55                             -18.51%(三)主营业务及其结构发生重大变化的原因说明√ 适用 □ 不适用
       2012 年上半年,因证券交易总量和融资总额显著萎缩和大幅下降,公司经纪和投行两大主营业务实现收入下降幅度较大,经纪业务实现收入 36,965.50 万元,比上年同期减少 28.85%;证券承销、保荐及顾问业务共实现营业收入 5,539.85 万元,比上年同期减少 75.27%。上半年,公司固定收益投资规模扩大,有效规避了市场调整的风险,自营证券投资稳健,实现收入 15,635.14 万元,比上年同期增长 104.46%。以上主营业务占公司业务收入比重有所变化,但未发生重大变化。(四)主营业务盈利能力(毛利率)与上年相比发生重大变化的原因说明√ 适用 □ 不适用
       公司主营业务中,经纪业务、证券承销保荐及财务顾问业务和客户资产管理业务营业利润率分别比上年同期减少20.31、42.20和21.39个百分点,主要原因为受宏观经济下行以及证券市场持续低迷的影响,上半年证券市场证券交易总量和融资总额与去年同期相比有较大幅度的下降,公司虽然极力控制业务费用支出,加大成本管控,但收入下降幅度较大,从而导致公司主营业务利润率发生较大幅度的下降。(五)利润构成与上年相比发生重大变化的原因分析√ 适用 □ 不适用
       2012年上半年,公司经纪业务实现利润总额(各主要业务单元未分担公司总部费用)占公司利润总额的比重为32.29%,比上年同期的50.76%减少18.47个百分点;证券承销、保荐及财务顾问业务实现利润总额占公司利润总额的比重为3.83%,比上年同期的28.37%减少24.54个百分点;自营证券投资业务实现利润总额占公司利润总额的比重为27.82%,比上年同期的13.42%提高14.40个百分点;客户资产管理业务实现利润总额占公司利润总额的比重为0.97%,比上年同期的1.08%减少0.11个百分点;融资融券业务实现利润总额占公司利润总额的比重为6.89%,比上年同期的3.54%提高3.35个百分点;公司其他收入扣除总部本级支出后实现利润总额占公司利润总额的比重为28.20%,比上年同期的2.83%提高25.37个百分点。(六)募集资金使用情况1、募集资金使用情况对照表√ 适用 □ 不适用
                                                                                           单位:万元
                                                                         国元证券股份有限公司 2012 年半年度报告摘要
    募集资金总额                                                       960,132 本报告期
                                                                           投入募集                              2,000
    报告期内变更用途的募集资金总额                                           0 资金总额
    累计变更用途的募集资金总额                                              0 已累计投
                                                                          入募集资                          739,862.11
    累计变更用途的募集资金总额比例                                          0 金总额
                       是否已变                                           截至期末 项目达到                   项目可行
                                募集资金 调整后投                截至期末                   本报告期
    承诺投资项目和超募资金 更项目                     本报告期                投资进度 预定可使          是否达到 性是否发
                                承诺投资 资总额                  累计投入                   实现的效
        投向           (含部分                    投入金额                (%)(3)= 用状态日          预计效益 生重大变
                                  总额     (1)                   金额(2)                      益
                         变更)                                              (2)/(1)  期                         化承诺投资项目
    补充营运资金             否         660,132   660,132        -     669,883 101.48%        -        -        -         -
    办公场所购置等           否          50,000    50,000    2,000   19,979.11   39.96%       -        -        -         -
    增资国元股权投资有限公                                                                    -        -        -         -
                       否           100,000   100,000        -      50,000     50%司
    增资国元证券(香港)有限                                                                    -        -        -         -
                         否         150,000   150,000        -           -        -公司
    承诺投资项目小计         -          960,132   960,132    2,000 739,862.11         -       -        -        -         -超募资金投向
    归还银行贷款(如有)     -                                                                         -        -         -
    补充流动资金(如有)     -                                                                         -        -         -
    超募资金投向小计         -                                                                -        -                  -
    合计                     -                                                                -        -                  -未达到计划进度或预计收益的情况和原因(分具体项 ---目)项目可行性发生重大变化
                       ---的情况说明超募资金的金额、用途及使 □ 适用 √ 不适用用进展情况
                       □ 适用 √ 不适用募集资金投资项目实施地
                       □ 报告期内发生 □ 以前年度发生点变更情况
                       □ 适用 √ 不适用募集资金投资项目实施方
                       □ 报告期内发生 □ 以前年度发生式调整情况募集资金投资项目先期投 □ 适用 √ 不适用入及置换情况用闲置募集资金暂时补充 □ 适用 √ 不适用流动资金情况项目实施出现募集资金结 □ 适用 √ 不适用余的金额及原因尚未使用的募集资金用途
                       ---及去向募集资金使用及披露中存
                       无在的问题或其他情况
                                                                      国元证券股份有限公司 2012 年半年度报告摘要注:1、截至报告期末,公司累计投入 669,883 万元补充营运资金,其中 9,751 万元为募集资金的利息收入。2、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。因此,公司暂时未使用募集资金向国元证券(香港)有限公司增资,公司将根据国元证券(香港)有限公司的发展情况安排增资事宜。2、变更募集资金投资项目情况表□ 适用 √ 不适用(七)董事会下半年的经营计划修改计划□ 适用 √ 不适用(八)对 2012 年 1-9 月经营业绩的预计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(九)董事会对会计师事务所本报告期“非标准审计报告”的说明□ 适用 √ 不适用(十)公司董事会对会计师事务所上年度“非标准审计报告”涉及事项的变化及处理情况的说明□ 适用 √ 不适用
                                             六、重要事项(一)收购、出售资产及资产重组1、收购资产□ 适用 √ 不适用收购资产情况说明2、出售资产情况□ 适用 √ 不适用出售资产情况说明
                                                                             国元证券股份有限公司 2012 年半年度报告摘要3、自资产重组报告书或收购出售资产公告刊登后,该事项的进展情况及对报告期经营成果与财务状况的影响□ 适用 √ 不适用(二)担保事项□ 适用 √ 不适用(三)非经营性关联债权债务往来是否存在非经营性关联债权债务往来□ 适用 √ 不适用(四)重大诉讼仲裁事项□ 适用 √ 不适用(五)其他重大事项及其影响和解决方案的分析说明√ 适用 □ 不适用1、证券投资情况√ 适用 □ 不适用
    序    证券                              最初投资成本        期末持有数量   期末账面价值     占期末证券总
            证券代码      证券简称                                                                        报告期损益(元)
    号    品种                                (元)                (股)         (元)       投资比例(%)
    1      债券   982085   09 淮南矿 MTN2   200,071,506.85       2,000,000.00 202,340,000.00           47.42%      9,400,000.00
                       国元多策略中国
    2      基金   无                      180,631,736.89           213,548.42 158,628,726.91           37.18%      13,837,915.63
                       机会基金
                       国元环球中国机
    3      基金   无                          29,932,317.37        369,215.71   25,731,202.90              6.03%   2,163,527.06
                       会基金
                       长盛货币市场基
    4      基金   080011                      20,000,000.00 20,000,000.00       20,000,000.00              4.69%       1,629.60
                       金
                       申万巴黎收益宝
    5      基金   310338                      20,000,000.00 20,000,000.00       20,000,000.00              4.69%      23,570.20
                       货币基金
    期末持有的其他证券投资                                            --
    报告期已出售证券投资损益                       --                 --             --               --            -339,818.08
    合计                                    450,635,561.11            --        426,699,929.81              100%   25,086,824.41
    证券投资审批董事会公告披露日期          2012 年 3 月 20 日
    证券投资审批股东会公告披露日期          ---证券投资情况的说明本表填列公司合并报表的交易性金融资产中核算的各类投资。2、持有其他上市公司股权情况√ 适用 □ 不适用
                                                                       国元证券股份有限公司 2012 年半年度报告摘要
                                        占该公司
                       最初投资成本                期末账面价值    报告期损益    报告期所有者权 会计核算
    证券代码   证券简称                    股权比例                                                                股份来源
                         (元)                        (元)        (元)      益变动(元)     科目
                                          (%)
                                                                                                   可供出售
    000527      美的电器   572,247,982.56      1.11% 415,491,381.50 16,920,463.50 -44,745,225.70                  购入
                                                                                                   金融资产
                                                                                                   可供出售
    600183      生益科技   175,560,000.00      1.74% 127,205,000.00                    -9,975,000.00              购入
                                                                                                   金融资产
                                                                                                   可供出售
    002555      顺荣股份    20,355,000.00      5.15% 71,208,000.00      207,000.00     -5,796,000.00              购入
                                                                                                   金融资产
                                                                                                   可供出售
    601898      中煤能源    48,513,423.89      0.04% 37,887,895.98 1,052,441.56 -10,625,527.91                    购入
                                                                                                   金融资产
                                                                                                   可供出售
    000858      五粮液      35,439,548.82      0.03% 33,415,200.00      510,000.00     -2,024,348.82              购入
                                                                                                   金融资产
                                                                                                   可供出售
    601857      中国石油    40,449,983.43          -   32,126,350.65                   -2,449,412.37              购入
                                                                                                   金融资产
                                                                                                   可供出售
    600036      招商银行    23,097,347.55      0.01% 17,624,912.76      677,881.26     -1,533,302.85              购入
                                                                                                   金融资产
                                                                                                   可供出售
    601398      工商银行    20,557,627.39          -   17,200,334.25                   -1,262,809.35              购入
                                                                                                   金融资产
                                                                                                   可供出售
    601088      中国神华    7,815,000.00           -    6,744,000.00    270,000.00      -855,000.00               购入
                                                                                                   金融资产
                                                                                                   可供出售
    600016      民生银行    1,656,000.00           -    1,797,000.00     90,000.00        30,000.00               购入
                                                                                                   金融资产
                                                                                                   可供出售
            其他        5,357,697.08                4,319,400.00    106,800.00        78,400.00               购入
                                                                                                   金融资产
    合计                   951,049,610.72          - 765,019,475.14 19,834,586.32 -79,158,227.00          --             --持有其他上市公司股权情况的说明本表根据合并报表中可供出售金融资产、融出证券相关数据分析填列。3、报告期内资金被占用情况及清欠进展情况□ 适用 √ 不适用截止报告期末,上市公司未完成非经营性资金占用的清欠工作的,董事会提出的责任追究方案□ 适用 √ 不适用4、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5、董事会本次利润分配或资本公积金转增预案□ 适用 √ 不适用6、其他综合收益细目
                                                                                                              单位:元
                            项目                                      本期发生额                   上期发生额
                                                             国元证券股份有限公司 2012 年半年度报告摘要
    1.可供出售金融资产产生的利得(损失)金额                          26,138,364.53           92,326,537.46
    减:可供出售金融资产产生的所得税影响                               1,227,824.60           22,222,182.85
    前期计入其他综合收益当期转入损益的净额                           -21,227,066.15           -3,437,806.01
    小计                                                               3,683,473.78           66,666,548.60
    2.按照权益法核算的在被投资单位其他综合收益中所享有的份额           2,254,043.84           -8,384,158.00减:按照权益法核算的在被投资单位其他综合收益中所享有的份额产生的所得税影响前期计入其他综合收益当期转入损益的净额
    小计                                                               2,254,043.84           -8,384,158.003.现金流量套期工具产生的利得(或损失)金额减:现金流量套期工具产生的所得税影响前期计入其他综合收益当期转入损益的净额转为被套期项目初始确认金额的调整额
    小计                                                                       0.00                    0.00
    4.外币财务报表折算差额                                             3,177,629.94          -15,014,805.42减:处置境外经营当期转入损益的净额
    小计                                                               3,177,629.94          -15,014,805.425.其他减:由其他计入其他综合收益产生的所得税影响前期其他计入其他综合收益当期转入损益的净额
    小计                                                                       0.00                    0.00
    合计                                                               9,115,147.56           43,267,585.187、独立董事对公司关联方资金占用和对外担保情况的专项说明和独立意见
       根据中国证监会《关于规范上市公司与关联方资金往来及上市公司对外担保若干问题的通知》(证监发[2003]56号)、《关于规范上市公司对外担保行为的通知》(证监发[2005]120号)、《公司章程》及其他有关规定,作为国元证券股份有限公司的独立董事,我们对公司2012年上半年控股股东及其他关联方资金占用和对外担保情况进行了认真负责的核查,现发表如下专项说明和独立意见:1、报告期内,公司的控股股东及其他关联方不存在违规占用公司资金的情况;2、报告期内,公司不存在为公司的股东、股东的控股子公司、股东的附属企业、公司持股50%以下的其他关联方、任何非法人单位或个人的债务提供担保的情况;3、公司不存在以前年度发生并累计至报告期的对外担保事项。公司在对外担保的管理上严格遵守了中国证监会上述通知、《公司章程》及其他有关规定。8、行政许可情况
       (1)理财产品设立行政许可情况
       2012年6月27日,公司取得中国证监会《关于核准国元证券股份有限公司设立国元定增1号集合资产管理计划的批复》(证监许可[2012]863号),核准公司设立国元定增1号集合资产管理计划(以下简称“计划”)。计划类型为非限定性集合资产管理计划,存续期为2.5年。计划推广期间募集资金规模上限为25亿份(含公司自有资金投入所持份额)。
                                                         国元证券股份有限公司 2012 年半年度报告摘要
    (2)业务资格行政许可情况
    2012年5月3日,公司取得中国证监会安徽监管局《关于对国元证券合肥长江路证券营业部等四家证券营业部开展期货中间介绍业务的无异议函》(皖证监函字[2012]97号),核准公司合肥长江路、铜陵义安南路、阜阳临泉路、淮北淮海路等四家营业部开展期货中间介绍业务。
    2012年6月8日,公司取得中国证监会浙江监管局《关于对国元证券股份有限公司绍兴县金柯桥大道证券营业部开展期货中间介绍业务无异议的函》(浙证监机构字[2012]50号)。
    2012年6月29日, 公司取得中国证监会《关于国元证券股份有限公司从事债券质押式报价回购业务试点方案的无异议函》(机构部部函[2012]347号),公司报价回购业务——“元添利”产品已于7月23日正式上线。
    2012年7月17日,公司取得中国证券业协会《关于反馈证券公司中小企业私募债券承销业务试点实施方案专业评价结果的函》(中证协函[2012]477号),公司获得中小企业私募债券承销业务资格。
    2012年8月1日,公司取得中国证监会浙江监管局《关于对国元证券股份有限公司台州世纪大道证券营业部开展期货中间介绍业务无异议的函》(浙证监机构字[2012]76号)。
    (3)营业部同城迁址行政许可情况
    2012年2月7日,公司取得中国证监会安徽监管局《关于国元证券股份有限公司亳州谯陵路证券营业部迁址的批复》(皖证监函字[2012]23号),同意公司亳州谯陵路营业部同城迁址。
    (4)证券经纪人制度行政许可情况
    2012 年 7 月 16 日,公司取得中国证监会山西监管局《关于国元证券股份有限公司太原新建南路证券营业部实施证券经纪人制度的无异议函》(晋证监函[2012]155 号),批准公司太原新建南路证券营业部实施证券经纪人制度。
    2012 年 8 月 13 日,公司取得中国证监会安徽监管局《关于国元证券股份有限公司宁国宁城中路等三家证券营业部实施证券经纪人制度的核查意见》(皖证监函字[2012]204 号),批准公司宁国、太和、南陵三家证券营业部实施证券经纪人制度。
    (5)董事、监事和高级管理人员任职资格行政许可情况
    2012年4月6日,公司取得中国证监会安徽监管局《关于张飞飞证券公司董事任职资格的批复》(皖证监函字[2012]71号),2012年4月10日,公司2011年度股东大会审议通过《关于提名张飞飞先生为公司董事的议案》。
    (6)分支机构负责人任职资格行政许可情况
    2012年2月7日,公司取得中国证监会安徽监管局《关于顾君毅证券公司分支机构负责人任职资格的批复》(皖证监函字[2012]21号),2012年2月8日,公司国证人字 [2012]39 号文件聘任顾君毅同志为蚌埠胜利西路证券营业部副总经理。
    2012年2月7日,公司取得中国证监会安徽监管局《关于丁毅证券公司分支机构负责人任职资格的批复》(皖证监函字[2012]22号),2012年2月8日,公司国证人字 [2012]39 号文件聘任丁毅同志为定远东城路证券营业部副总经理。
                                                                               国元证券股份有限公司 2012 年半年度报告摘要
         2012年3月1日,公司取得中国证监会安徽监管局《关于严根荣证券公司分支机构负责人任职资格的确认函》,2012年3月5日,公司国证人字 [2012]59 号文件聘任严根荣同志为安庆人民路证券营业部总经理。
         2012年5月17日,公司取得中国证监会安徽监管局《关于石小砚证券公司分支机构负责人任职资格的批复》,2012年5月25日,公司国证人字[2012]154号文件聘任石小砚同志为合肥红星路证券营业部副总经理。
         2012年7月13日,公司取得中国证监会北京监管局《关于杨念新证券公司分支机构负责人任职资格的批复》,2012年7月18日,公司国证人字[2012]228号文件聘任杨念新同志为北京分公司总经理。
    (7)保荐代表资格行政许可情况
         2012年5月16日,公司取得中国证监会《关于核准何光行保荐代表人资格的批复》(证监许可[2012]662号),核准何光行保荐代表人资格。(六)报告期接待调研、沟通、采访等活动登记表
                                                                                                       谈论的主要内容及提供
         接待时间             接待地点             接待方式          接待对象类型         接待对象
                                                                                                               的资料
    2012 年 01 月 01 日至                                                                                公司经营情况、行业状况
                       公司                    电话沟通           个人                  个人投资者
    2012 年 06 月 30 日                                                                                  等
                                                    七、财务报告(一)审计意见半年报是否经过审计□ 是 √ 否(二)财务报表是否需要合并报表:√ 是 □ 否
                                                    资产负债表(一)
    编制单位:国元证券股份有限公司                           2012 年 6 月 30 日                                单位:(人民币)元
                                      附注号                   2012 年 6 月 30 日                       2011 年 12 月 31 日
            项目
                               合并      母公司            合并                母公司                合并                母公司资产:
    货币资金                      八、1                  11,617,292,912.15     9,864,652,038.48   13,310,746,217.53      11,691,954,593.21
    其中:客户资金存款            八、1                   5,507,876,847.75     4,878,129,444.30    5,651,340,224.89       5,536,324,577.29
                                                                                国元证券股份有限公司 2012 年半年度报告摘要
         客户信用资金存款   八、1                      338,427,671.49          60,068,970.04     787,827,804.35         80,669,600.89
    结算备付金                  八、2                      834,431,195.62         652,606,843.55     857,136,911.47        709,037,800.01
    其中:客户备付金            八、2                      708,836,355.07         546,784,907.66     738,186,854.16        597,587,742.70
         信用备付金         八、2                       24,914,562.82          24,914,562.82      17,193,423.07         17,193,423.07拆出资金
    融出资金                    八、3                      637,703,381.45         479,961,398.44     575,943,753.78        374,730,145.00
    融出证券                    八、4                         545,144.00              545,144.00        4,918,072.80            4,918,072.80
    交易性金融资产              八、5                      426,699,929.81         242,340,000.00     718,093,045.51        541,640,000.00其中:抵押证券衍生金融资产
    买入返售金融资产            八、6                      697,048,932.61         697,048,932.61     340,003,827.22        340,003,827.22
    应收利息                    八、7                      115,089,300.66         115,089,300.66     104,841,262.63        104,841,262.63
    存出保证金                  八、8                      357,922,441.91         165,383,015.07     283,910,902.17        173,376,715.14
    可供出售金融资产            八、9                    4,611,348,089.31    4,444,710,014.60       3,617,475,752.77     3,446,927,193.98持有至到期投资
    长期股权投资                八、10    十五、1          889,106,269.22    2,355,184,164.55        874,035,922.00      2,381,613,817.33投资性房地产
    固定资产                    八、11                   1,414,251,484.45    1,401,642,325.28       1,346,191,397.46     1,332,197,563.68
    无形资产                    八、12                      21,805,715.38          18,748,940.82      22,050,629.22         18,912,134.36
    其中:交易席位费        八、12                       1,796,282.61           1,796,282.61        2,088,599.76            2,088,599.76
    递延所得税资产              八、13                      99,809,722.48          94,322,983.31     112,404,376.61        105,707,986.21
    其他资产                    八、14                     446,783,759.42         193,917,354.33     429,319,864.35        227,060,598.68
    资产总计                                            22,169,838,278.47   20,726,152,455.70      22,597,071,935.52    21,452,921,710.25
    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                          2012 年 6 月 30 日                                 单位:(人民币)元
                                     附注号                  2012 年 6 月 30 日                       2011 年 12 月 31 日
             项目
                               合并     母公司           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
                                                                                    国元证券股份有限公司 2012 年半年度报告摘要
    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                  八、16             6,579,820,893.02      5,578,246,369.86       6,996,344,016.77       6,288,172,791.89
    信用交易代理买卖证券款          八、17                 371,145,944.85         60,069,448.45      423,720,495.36           80,690,603.87
    代理承销证券款                  八、18                  32,000,000.00         32,000,000.00
    应付职工薪酬                    八、19                 101,699,308.36         89,815,485.07      148,869,981.32          134,388,520.80
    应交税费                        八、20                  58,536,363.78         50,755,804.12      108,233,110.36          104,671,092.78
    应付利息                                                   805,345.27           805,345.27           1,122,678.95          1,122,678.95
    预计负债
    长期借款
    应付债券
    递延所得税负债                  八、13                  13,387,891.98           567,123.29        12,940,513.00              392,123.29
    其他负债                        八、21                 103,847,727.66         90,770,202.43      106,651,079.93           96,711,800.35
    负债合计                                           7,261,243,474.92      5,903,029,778.49       7,797,881,875.69       6,706,149,611.93
    股东权益:
    股本                            八、22             1,964,100,000.00      1,964,100,000.00       1,964,100,000.00       1,964,100,000.00
    资本公积                        八、23             9,729,831,801.74      9,695,119,495.73       9,723,894,284.12       9,686,249,115.04
    减:库存股
    盈余公积                        八、24                 570,848,182.95      570,848,182.95        570,848,182.95          570,848,182.95
    一般风险准备                    八、25                 565,826,977.82      565,826,977.82        565,826,977.82          565,826,977.82
    交易风险准备                    八、26                 524,816,733.44      524,816,733.44        524,816,733.44          524,816,733.44
    未分配利润                      八、27             1,608,557,528.22      1,502,411,287.27       1,508,267,932.06       1,434,931,089.07
    外币报表折算差额                                       -55,386,420.62                             -58,564,050.56
    归属于母公司所有者权益合计                        14,908,594,803.55     14,823,122,677.21     14,799,190,059.83       14,746,772,098.32
    少数股东权益
    所有者权益合计                                    14,908,594,803.55     14,823,122,677.21     14,799,190,059.83       14,746,772,098.32
    负债和所有者权益总计                              22,169,838,278.47     20,726,152,455.70     22,597,071,935.52       21,452,921,710.25
      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
                                                                 利润表
      编制单位:国元证券股份有限公司                             2012 年 1-6 月                                   单位:(人民币)元
                                                  附注号                    2012 年 1-6 月                              2011 年 1-6 月
               项      目
                                              合并    母公司          合并数               母公司               合并数                   母公司
    一、营业收入                                                       843,755,472.67      765,612,259.77       1,035,375,102.77      973,800,956.58
    手续费及佣金净收入                          八、28                379,496,028.38      351,602,461.19         697,328,594.97      668,711,452.61
    其中:代理买卖业务净收入                    八、28                316,584,867.11      293,186,897.43         465,921,853.35      441,457,004.04
       证券承销业务净收入                    八、28                 46,448,480.66        46,448,480.66        204,476,300.80      204,476,300.80
       委托客户资产管理业务净收入            八、28                  7,507,068.32         3,011,470.81          8,409,495.48        4,257,202.43
                                                                                      国元证券股份有限公司 2012 年半年度报告摘要
        保荐业务收入                      八、28                     6,000,000.00          6,000,000.00      14,700,000.00         14,700,000.00
        财务顾问业务收入                  八、28                     2,950,000.00          2,950,000.00          4,850,000.00       4,850,000.00
    利息净收入                              八、29                  253,075,789.13         222,462,655.33     195,117,300.53       179,980,082.93
    投资收益(损失以“-”号填列)           八、30    十五、2       182,595,710.68         180,343,259.74      80,527,772.88         73,046,726.38
    其中:对联营企业和合营企业的投资收益    八、30                   45,116,303.38          45,116,303.38      76,736,347.41         76,736,347.41
    公允价值变动收益(损失以“-”号填列)   八、31                   21,630,493.11           5,629,050.42      56,646,827.58         48,398,526.86
    汇兑收益(损失以“-”号填列)                                      1,121,931.25             21,569.94          -492,646.75         -492,646.75
    其他业务收入                            八、32                     5,835,520.12          5,553,263.15          6,247,253.56       4,156,814.55
    二、营业支出                                                     483,544,409.06         447,097,233.23     510,861,572.99       480,305,836.41
    营业税金及附加                          八、33                   29,363,577.77          28,397,112.76      42,990,931.71         42,351,028.52
    业务及管理费                            八、34                  452,769,360.11         417,288,649.29     470,853,248.66       440,937,415.27
    资产减值损失                            八、35                       111,853.11            111,853.11      -5,359,162.39         -5,359,162.39
    其他业务成本                            八、36                     1,299,618.07          1,299,618.07          2,376,555.01       2,376,555.01
    三、营业利润(亏损以“-”号填列)                                360,211,063.61         318,515,026.54     524,513,529.78       493,495,120.17
    加:营业外收入                         八、37                     1,084,445.89          1,084,445.89          7,040,835.20       2,019,898.75
    减:营业外支出                         八、38                     1,495,491.38          1,487,980.57          1,978,254.70       1,977,220.33
    四、利润总额(亏损总额“-”号填列)                              359,800,018.12         318,111,491.86     529,576,110.28       493,537,798.59
    减:所得税费用                         八、39                   63,100,421.96          54,221,293.66      89,799,306.44         82,314,321.35
    五、净利润(净亏损以“-”号填列)                                296,699,596.16         263,890,198.20     439,776,803.84       411,223,477.24
    其中:归属于母公司所有者的净利润                               296,699,596.16                            439,776,803.84
         少数股东损益六、每股收益:
    (一)基本每股收益                                                           0.15                                     0.22
    (二)稀释每股收益                                                           0.15                                     0.22
    七、其他综合收益                          八、40                     9,115,147.56          8,870,380.69      43,267,585.18          2,516,325.44
    八、综合收益合计                                                  305,814,743.72         272,760,578.89     483,044,389.02       413,739,802.68
    其中:归属于母公司所有者的综合收益总额                           305,814,743.72         272,760,578.89     483,044,389.02       413,739,802.68
       归属于少数股东的综合收益总额
       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
                                                          现金流量表
       编制单位:国元证券股份有限公司                         2012 年 1-6 月                                      单位:(人民币)元
                                          附注                   2012 年 1-6 月                                   2011 年 1-6 月
                   项目
                                            号           合并                     合并                    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                                                                            656,920,210.68            608,131,918.40
    收取利息、手续费及佣金的现金                          693,525,250.81           629,647,416.55         943,352,463.62            892,562,036.84拆入资金净增加额
    回购业务资金净增加额                                 -357,045,105.39       -357,045,105.39
    代理买卖业务的现金净增加额                           -469,097,674.26       -730,547,577.45            -31,827,518.28        -659,016,564.63
                                                                                国元证券股份有限公司 2012 年半年度报告摘要
    收到其他与经营活动有关的现金           八、41         38,873,370.10          38,591,113.13      24,351,130.81           6,176,713.30
    经营活动现金流入小计                               -93,744,158.74     -419,354,153.16       1,592,796,286.83       847,854,103.91
    处置交易性金融资产净减少额                           578,477,823.59         588,650,832.92
    支付利息、手续费及佣金的现金                          37,715,795.67          32,344,662.40      53,700,393.82         44,051,878.75拆入资金净减少额
    支付给职工以及为职工支付的现金                       285,627,544.47         266,894,039.99     313,991,164.18        292,341,065.76
    支付的各项税费                                       148,712,986.23         145,122,976.12     332,134,461.15        324,170,352.19
    支付其他与经营活动有关的现金           八、41        340,778,745.76         238,495,950.44     487,770,036.19        579,985,552.72
    经营活动现金流出小计                             1,391,312,895.72    1,271,508,461.87       1,187,596,055.34      1,240,548,849.42
    经营活动产生的现金流量净额                        -1,485,057,054.46   -1,690,862,615.03        405,200,231.49        -392,694,745.51二、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
    取得投资收益收到的现金                                85,699,721.00          85,525,721.00       90,311,421.00        89,525,721.00收到其他与投资活动有关的现金
    投资活动现金流入小计                                85,699,721.00          85,525,721.00      94,123,125.67         93,337,425.67
    投资支付的现金                                        41,500,000.00                                                  500,000,000.00购建固定资产、无形资产和其他长期资产
                                                      83,076,080.36          81,898,544.80     196,582,454.78        195,816,700.71支付的现金
    支付其他与投资活动有关的现金                             115,168.60            109,642.30          607,711.75              607,711.75
    投资活动现金流出小计                               124,691,248.96          82,008,187.10     197,190,166.53        696,424,412.46
    投资活动产生的现金流量净额                           -38,991,527.96           3,517,533.90     -103,067,040.86       -603,086,986.79三、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                   196,410,000.00         196,410,000.00     589,230,000.00        589,230,000.00支付其他与筹资活动有关的现金
    筹资活动现金流出小计                               196,410,000.00         196,410,000.00     589,230,000.00        589,230,000.00
    筹资活动产生的现金流量净额                         -196,410,000.00     -196,410,000.00        -589,230,000.00       -589,230,000.00
    四、汇率变动对现金及现金等价物的影响                   4,299,561.19              21,569.94      -15,507,452.17            -492,646.75
    五、现金及现金等价物净增加额                      -1,716,159,021.23   -1,883,733,511.19        -302,604,261.54     -1,585,504,379.05
    加:期初现金及现金等价物余额                      14,167,883,129.00   12,400,992,393.22      16,937,011,475.33     16,028,556,559.31
    六、期末现金及现金等价物余额           八、41     12,451,724,107.77   10,517,258,882.03      16,634,407,213.79     14,443,052,180.26
      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
                                                     现金流量表补充资料
      编制单位:国元证券股份有限公司                       2012 年 1-6 月                               金额单位:人民币元
                                                                  2012 年 1-6 月                         2011 年 1-6 月
                     补充资料
                                                           合并数                母公司            合并数              母公司1.将净利润调节为经营活动现金流量:
                                                                                                                    国元证券股份有限公司 2012 年半年度报告摘要
    净利润                                                                            296,699,596.16              263,890,198.20             439,776,803.84             411,223,477.24
    加:资产减值准备                                                                       111,853.11                    111,853.11            -5,359,162.39              -5,359,162.39
    固定资产折旧、油气资产折耗、生产性生物资产折旧                                     40,096,244.38               37,907,951.00               32,364,796.89             30,218,309.92
    无形资产摊销                                                                         5,411,650.70                4,975,637.30               4,129,101.74              3,707,810.60
    长期待摊费用摊销                                                                     9,808,793.01                9,275,449.49               6,428,402.30              6,387,210.68
    处置固定资产、无形资产和其他长期资产的损失(收益
                                                                                            115,168.60                    109,642.30                607,711.75                  607,711.75
    以“-”号填列)
    固定资产报废损失(收益以“-”号填列)
    公允价值变动损失(收益以“-”号填列)                                            -21,630,493.11                -5,629,050.42             -56,646,827.58            -48,398,526.86
    财务费用(收益以“-”号填列)
    投资损失(收益以“-”号填列)                                                    -56,916,024.38              -56,742,024.38              -77,522,047.41            -76,736,347.41
    递延所得税资产减少(增加以“-”号填列)                                           10,407,538.01                 9,179,557.29              13,543,530.61             13,543,530.61
    递延所得税负债增加(减少以“-”号填列)                                               175,000.00                    175,000.00
    交易性金融资产的减少(增加以“-”号填列)                                       -653,907,796.71             -662,002,355.10             664,769,622.82             622,676,225.29
    经营性应收项目的减少(增加以“-”号填列)                                       -578,448,250.63             -488,798,070.44             -316,551,656.21           -438,563,392.79
    经营性应付项目的增加(减少以“-”号填列)                                       -535,858,402.35             -803,294,833.44             -300,832,691.62           -912,494,238.90
    其他                                                                                -1,121,931.25                    -21,569.94                492,646.75                  492,646.75
    经营活动产生的现金流量净额                                                      -1,485,057,054.46         -1,690,862,615.03              405,200,231.49            -392,694,745.51
    2.不涉及现金收支的重大投资和筹资活动:
    债务转为资本
    一年内到期的可转换公司债券
    融资租入固定资产
    3.现金及现金等价物净变动情况:
    现金的期末余额                                                              12,451,724,107.77             10,517,258,882.03          16,634,407,213.79          14,443,052,180.26
    减:现金的期初余额                                                          14,167,883,129.00             12,400,992,393.22          16,937,011,475.33          16,028,556,559.31
    加:现金等价物的期末余额
    减:现金等价物的期初余额
    现金及现金等价物净增加额                                                        -1,716,159,021.23         -1,883,733,511.19              -302,604,261.54         -1,585,504,379.05
            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
                                                                            合并所有者权益变动表(1/2)
            编制单位:国元证券股份有限公司                                              2012 年 1-6 月                                                   金额单位:人民币元
                                                                                                         2012 年 1-6 月
          项 目                                                                 归属于母公司股东权益
                                                                                                                                                                 少数股东权益     股东权益合计
                                   股本            资本公积          盈余公积          一般风险准备        交易风险准备      外币报表折算      未分配利润
                                                                                                                                 差额
    一、上年年末余额              1,964,100,000.00   9,723,894,284.12   570,848,182.95      565,826,977.82     524,816,733.44    -58,564,050.56   1,508,267,932.06                   14,799,190,059.83加:会计政策变更
    前期差错更正
    二、本年年初余额              1,964,100,000.00   9,723,894,284.12   570,848,182.95      565,826,977.82     524,816,733.44    -58,564,050.56   1,508,267,932.06                   14,799,190,059.83三、本年增加变动金额(减少以
                                                     5,937,517.62                                                             3,177,629.94     100,289,596.16                      109,404,743.72“-”号填列)
                                                                                                                 国元证券股份有限公司 2012 年半年度报告摘要
    (一)净利润                                                                                                                                 296,699,596.16                     296,699,596.16
    (二)其他综合收益                                   5,937,517.62                                                            3,177,629.94                                           9,115,147.561、可供出售金融资产公允价
                                                   4,911,298.38                                                                                                                   4,911,298.38值的金额
    (1)计入股东权益的金额                            26,138,364.53                                                                                                                   26,138,364.53
    (2)转入当期损益的金额                            -21,227,066.15                                                                                                                -21,227,066.152、现金流量套期工具公允价值变动金额(1)计入股东权益的金额(2)转入当期损益的金额(3)计入被套期项目初始确认金额中的金额3、权益法下被投资单位其他
                                                   2,254,043.84                                                                                                                   2,254,043.84所有者权益变动的影响4、与计入股东权益项目相关
                                                  -1,227,824.60                                                                                                                  -1,227,824.60的所得税影响
    5、其他                                                                                                                    3,177,629.94                                           3,177,629.94
    上述(一)和(二)小计                             5,937,517.62                                                            3,177,629.94    296,699,596.16                     305,814,743.72(三)股东投入和减少资本1、股东投入资本2、股份支付计入股东的金额3、其他(四)利润分配
                                                                                                                                          -196,410,000.00                     -196,410,000.001、提取盈余公积2、提取一般风险准备
    3、对股东的分配                                                                                                                           -196,410,000.00                     -196,410,000.004、提取交易风险准备(五)股东权益的内部结转1、资本公积转增股本2、盈余公积转增股本3、盈余公积弥补亏损4、一般风险准备弥补亏损5、其他
    四、本年年末余额            1,964,100,000.00   9,729,831,801.74   570,848,182.95    565,826,977.82      524,816,733.44   -55,386,420.62   1,608,557,528.22                  14,908,594,803.55
              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
                                                                                   合并所有者权益变动表(2/2)
              编制单位:国元证券股份有限公司                                           2012 年 1-6 月                                             金额单位:人民币元
                                                                                                     2011 年 1-6 月
             项 目                                                           归属于母公司股东权益
                                                                                                                                                             少数股东权益   股东权益合计
                                股本             资本公积         盈余公积          一般风险准备       交易风险准备      外币报表折算      未分配利润
                                                                                                                             差额
                                                                                                             国元证券股份有限公司 2012 年半年度报告摘要
    一、上年年末余额            1,964,100,000.00   9,847,614,297.54   507,711,184.74   502,689,979.61   461,679,735.23   -27,964,254.27   1,724,195,100.65        14,980,026,043.50加:会计政策变更
    前期差错更正
    二、本年年初余额            1,964,100,000.00   9,847,614,297.54   507,711,184.74   502,689,979.61   461,679,735.23   -27,964,254.27   1,724,195,100.65        14,980,026,043.50三、本年增加变动金额(减少
                                                 58,282,390.60                                                       -15,014,805.42   -149,453,196.16           -106,185,610.98以“-”号填列)
    (一)净利润                                                                                                                             439,776,803.84           439,776,803.84
    (二) 其他综合收益                                58,282,390.60                                                       -15,014,805.42                              43,267,585.181、可供出售金融资产公允价
                                                 88,888,731.45                                                                                                   88,888,731.45值的金额
    (1)计入股东权益的金额                            92,326,537.46                                                                                                   92,326,537.46
    (2)转入当期损益的金额                             -3,437,806.01                                                                                                   -3,437,806.012、现金流量套期工具公允价值变动金额(1)计入股东权益的金额(2)转入当期损益的金额(3)计入被套期项目初始确认金额中的金额3、权益法下被投资单位其他
                                                  -8,384,158.00                                                                                                   -8,384,158.00所有者权益变动的影响4、与计入股东权益项目相关
                                                 -22,222,182.85                                                                                                  -22,222,182.85的所得税影响
    5、其他                                                                                                              -15,014,805.42                              -15,014,805.42
    上述(一)和(二)小计                           58,282,390.60                                                       -15,014,805.42    439,776,803.84           483,044,389.02(三)股东投入和减少资本1、股东投入资本2、股份支付计入股东的金额3、其他
    (四)利润分配                                                                                                                        -589,230,000.00           -589,230,000.001、提取盈余公积2、提取一般风险准备
    3、对股东的分配                                                                                                                       -589,230,000.00           -589,230,000.004、提取交易风险准备(五)股东权益的内部结转1、资本公积转增股本2、盈余公积转增股本3、盈余公积弥补亏损4、一般风险准备弥补亏损5、其他
    四、本年年末余额            1,964,100,000.00   9,905,896,688.14   507,711,184.74   502,689,979.61   461,679,735.23   -42,979,059.69   1,574,741,904.49        14,873,840,432.52
             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
                                                                                                  国元证券股份有限公司 2012 年半年度报告摘要
                                                                      母公司所有者权益变动表(1/2)
          编制单位:国元证券股份有限公司                                    2012 年 1-6 月                                               金额单位:人民币元
                                                                                                 2012 年 1-6 月
              项         目
                                              股本            资本公积           盈余公积        一般风险准备       交易风险准备      未分配利润         股东权益合计
    一、上年年末余额                          1,964,100,000.00   9,686,249,115.04   570,848,182.95     565,826,977.82    524,816,733.44   1,434,931,089.07   14,746,772,098.32加:会计政策变更
    前期差错更正
    二、本年年初余额                          1,964,100,000.00   9,686,249,115.04   570,848,182.95     565,826,977.82    524,816,733.44   1,434,931,089.07   14,746,772,098.32
    三、本年增加变动金额(减少以“-”号填列)                         8,870,380.69                                                            67,480,198.20       76,350,578.89
    (一)净利润                                                                                                                             263,890,198.20      263,890,198.20
    (二) 其他综合收益                                               8,870,380.69                                                                                  8,870,380.69
    1、可供出售金融资产公允价值的金额                               8,821,782.46                                                                                  8,821,782.46
    (1)计入股东权益的金额                                          30,048,848.61                                                                                30,048,848.61
    (2)转入当期损益的金额                                         -21,227,066.15                                                                                -21,227,066.152、现金流量套期工具公允价值变动金额(1)计入股东权益的金额(2)转入当期损益的金额(3)计入被套期项目初始确认金额中的金额3、权益法下被投资单位其他所有者权益变
                                                                2,254,043.84                                                                                  2,254,043.84动的影响
    4、与计入股东权益项目相关的所得税影响                           -2,205,445.61                                                                                -2,205,445.615、其他
    上述(一)和(二)小计                                          8,870,380.69                                                           263,890,198.20      272,760,578.89(三)股东投入和减少资本1、股东投入资本2、股份支付计入股东的金额3、其他
    (四)利润分配                                                                                                                        -196,410,000.00      -196,410,000.001、提取盈余公积2、提取一般风险准备3、对股东的分配
                                                                                                                                      -196,410,000.00      -196,410,000.004、提取交易风险准备(五)股东权益的内部结转1、资本公积转增股本2、盈余公积转增股本3、盈余公积弥补亏损4、一般风险准备弥补亏损5、其他
    四、本年年末余额                          1,964,100,000.00   9,695,119,495.73   570,848,182.95     565,826,977.82    524,816,733.44   1,502,411,287.27   14,823,122,677.21
      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
                                                                                                   国元证券股份有限公司 2012 年半年度报告摘要
                                                             母公司所有者权益变动表(2/2)
       编制单位:国元证券股份有限公司                                        2012 年 1-6 月                                             金额单位:人民币元
                                                                                                  2011 年 1-6 月
             项          目
                                             股本               资本公积         盈余公积         一般风险准备       交易风险准       未分配利润         股东权益合计
                                                                                                                         备
    一、上年年末余额                          1,964,100,000.00    9,849,001,978.56   507,711,184.74     502,689,979.61   461,679,735.23   1,582,202,101.65   14,867,384,979.79加:会计政策变更
    前期差错更正
    二、本年年初余额                          1,964,100,000.00    9,849,001,978.56   507,711,184.74     502,689,979.61   461,679,735.23   1,582,202,101.65   14,867,384,979.79
    三、本年增加变动金额(减少以“-”号填列)                           2,516,325.44                                                        -178,006,522.76      -175,490,197.32
    (一)净利润                                                                                                                             411,223,477.24      411,223,477.24
    (二) 其他综合收益                                                 2,516,325.44                                                                                  2,516,325.44
    1、可供出售金融资产公允价值的金额                               14,533,977.91                                                                               14,533,977.91
    (1)计入股东权益的金额                                           17,971,783.92                                                                               17,971,783.92
    (2)转入当期损益的金额                                            -3,437,806.01                                                                               -3,437,806.012、现金流量套期工具公允价值变动金额(1)计入股东权益的金额(2)转入当期损益的金额(3)计入被套期项目初始确认金额中的金额3、权益法下被投资单位其他所有者权益变
                                                                 -8,384,158.00                                                                               -8,384,158.00动的影响
    4、与计入股东权益项目相关的所得税影响                            -3,633,494.47                                                                               -3,633,494.475、其他
    上述(一)和(二)小计                                            2,516,325.44                                                         411,223,477.24      413,739,802.68(三)股东投入和减少资本1、股东投入资本2、股份支付计入股东的金额3、其他
    (四)利润分配                                                                                                                        -589,230,000.00      -589,230,000.001、提取盈余公积2、提取一般风险准备
    3、对股东的分配                                                                                                                       -589,230,000.00      -589,230,000.004、提取交易风险准备(五)股东权益的内部结转1、资本公积转增股本2、盈余公积转增股本3、盈余公积弥补亏损4、一般风险准备弥补亏损5、其他
    四、本年年末余额                          1,964,100,000.00    9,851,518,304.00   507,711,184.74     502,689,979.61   461,679,735.23   1,404,195,578.89   14,691,894,782.47
       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
                                                           国元证券股份有限公司 2012 年半年度报告摘要(三)报表附注1、主要会计政策、会计估计的变更以及重大会计差错更正及其影响数(1)会计政策变更本报告期主要会计政策是否变更□ 是 √ 否(2)会计估计变更本报告期主要会计估计是否变更√是 □否
    ①变更日期:2012 年 1 月 1 日
    ②变更原因:公司已正式开展融资融券、参与认购定向增发等业务,公司原财务管理制度对以上业务规范不够明确,影响会计确认、计量和报告,不利于报表使用者对公司财务状况和经营成果的判断。
    ③变更前后采用的会计制度介绍
    A.变更前采用的会计制度
    公司《财务管理制度》第七十八条关于坏账准备的计提,其中未涉及融资融券业务形成的应收融资融券款计提坏账准备的方法;第七十五条“可供出售金融资产中权益性工具投资的公允价值非暂时性持续下降,原计入所有者权益的因公允价值下降形成的累计损失,在资产负债表日下降幅度大于账面初始确认金额20%,并且一个月内难以恢复的,公司应将累计损失予以转出,计入当期损益。”
    B.变更后采用的会计制度
    现补充公司《财务管理制度》第七十八条 “融资融券业务形成的应收融资融券款采用以下方法计提坏账准备:未能按期收回的融资融券款转入应收融资融券款逾期 30 天,且客户维持担保比例低于 100%,按应收融资融券款与客户账面资产价值(计算维持担保比例方法)的差额全额计提。”的内容。
    第七十五条补充修改为“资产负债表日如果单项金额重大的可供出售金融资产公允价值出现较大幅度下降,超过其持有成本的 50%,并且时间持续在 12 个月以上,预期这种下降趋势属于非暂时性的,可认定该可供出售金融资产已发生减值,应将原直接计入所有者权益的公允价值下降形成的累计损失一并转出,计入减值损失。融出证券和已上市的直接投资形成的股权减值计提,比照以上办法执行。”
    ④本次会计估计变更对公司的影响
    本次会计估计变更涉及公司减值损失计提的变更,采用未来适用法进行会计处理。依据变更后的会计政策,本报告期实现净利润较变更前增加 668,394.49 元,为母公司持有的黄山二号集合理财产品公允价值变动所致。(3)会计差错更正本报告期是否发现前期会计差错□ 是 √ 否
                                                  国元证券股份有限公司 2012 年半年度报告摘要2、合并报表合并范围发生变更的理由□ 适用 √ 不适用3、被出具非标准审计报告,列示涉及事项的有关附注□ 适用 √ 不适用
                                                      国元证券股份有限公司
                                                      董事长:凤良志
                                                      董事会批准报送日期:2012 年 08 月 26 日
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