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国元证券(000728)公告正文

国元证券:2012年第三季度报告全文

公告日期 2012-10-30
股票简称:国元证券 股票代码:000728
                                                                        国元证券股份有限公司 2012 年第三季度报告全文




                 国元证券股份有限公司 2012 年第三季度报告全文


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、准确性和完整性负个别及连带责任。
    所有董事均已出席了审议本次季报的董事会会议。
    公司董事长蔡咏先生、总会计师高民和先生及财务会计部总经理司开铭先生声明:保证季度报告中财
务报告的真实、完整。

二、公司基本情况

(一)主要会计数据及财务指标

以前报告期财务报表是否发生了追溯调整
□ 是 √ 否 □ 不适用
                                                                                             本报告期末比上年度期末增减
                                     2012.9.30                       2011.12.31
                                                                                                         (%)
总资产(元)                            21,839,275,622.35              22,597,071,935.52                           -3.35%
归属于上市公司股东的所有
                                        14,865,243,959.92              14,799,190,059.83                            0.45%
者权益(元)
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
                                                         7.57                         7.53                          0.53%
净资产(元/股)
                               2012 年 7-9 月          比上年同期增减(%)       2012 年 1-9 月       比上年同期增减(%)
营业收入(元)                     312,364,703.04                   11.69%        1,156,120,175.71                -12.09%
归属于上市公司股东的净利
                                    73,925,472.82                  276.78%          370,625,068.98                -19.32%
润(元)
经营活动产生的现金流量净
                                                  -                     -         -2,259,185,759.85                       -
额(元)
每股经营活动产生的现金流
                                                  -                     -                     -1.15                       -
量净额(元/股)
基本每股收益(元/股)                           0.04               276.78%                     0.19               -19.32%
稀释每股收益(元/股)                           0.04               276.78%                     0.19               -19.32%
加权平均净资产收益率(%)                  0.50%                     0.37%                   2.50%                 -0.60%
扣除非经常性损益后的加权
                                           0.50%                     0.37%                   2.50%                 -0.58%
平均净资产收益率(%)
扣除非经常性损益项目和金额
√ 适用 □ 不适用
                                                          年初至报告期期末金
                        项目                                                                          说明
                                                                额(元)
非流动资产处置损益                                                 -394,003.58
越权审批或无正式批准文件的税收返还、减免




                                                                                                                              1
                                                                  国元证券股份有限公司 2012 年第三季度报告全文



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
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

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                         -175,778.83
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                                                   28,902.55


合计                                                         -598,684.96                  --
公司对“其他符合非经常性损益定义的损益项目”以及根据自身正常经营业务的性质和特点将非经常性损益项目界定为经常
性损益的项目的说明
          项目                 涉及金额(元)                                 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
除同公司正常经营业务相
                                                    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
关的有效套期保值业务外,
                                                    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
持有交易性金融资产、交易
                                                    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
性金融负债产生的公允价
                                     192,161,508.55 业中的证券业,主要的业务经营范围为:证券经纪;证券投资咨
值变动损益,以及处置交易
                                                    询;与证券交易、证券投资活动有关的财务顾问;证券承销与保
性金融资产、交易性金融负
                                                    荐;证券自营;证券资产管理;融资融券;证券投资基金代销;
债和可供出售金融资产取
                                                    为期货公司提供中间介绍业务。因此本公司根据自身正常经营业
得的投资收益
                                                    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



                                                                                                                  2
                                                                       国元证券股份有限公司 2012 年第三季度报告全文



                                                      非经常性损益计算表中列示。其中:处置交易性金融资产、可供
                                                      出售金融资产取得的投资收益 181,014,985.17 元,持有交易性金融
                                                      资产产生的公允价值变动损益 11,146,523.38 元。


(二)报告期末股东总数及前十名股东持股情况表

报告期末股东总数(户)                                                                                                      102,037
                                              前十名无限售条件流通股股东持股情况

                                         期末持有无限售条件股份的                             股份种类及数量
                 股东名称
                                                   数量                            种类                          数量
安徽国元控股(集团)有限责任公司                         462,498,033 人民币普通股                                       462,498,033
安徽国元信托有限责任公司                                 308,104,975 人民币普通股                                       308,104,975
安徽省粮油食品进出口(集团)公司                         262,843,732 人民币普通股                                       262,843,732
安徽省皖能股份有限公司                                    98,303,300 人民币普通股                                        98,303,300
安徽皖维高新材料股份有限公司                              60,975,369 人民币普通股                                        60,975,369
安徽全柴集团有限公司                                      58,740,055 人民币普通股                                        58,740,055
合肥兴泰控股集团有限公司                                  25,664,621 人民币普通股                                        25,664,621
中国银行-易方达深证 100 交易型开放
                                                          22,069,814 人民币普通股                                        22,069,814
式指数证券投资基金
安徽国元实业投资有限责任公司                              13,195,074 人民币普通股                                        13,195,074
中国银行-嘉实稳健开放式证券投资基金                      10,930,862 人民币普通股                                        10,930,862
股东情况的说明                           无


三、重要事项

(一)公司主要会计报表项目、财务指标大幅度变动的情况及原因

√ 适用 □ 不适用


              项目               2012年9月30日        2011年12月31日       增减百分%                     主要原因
                                                                                           信用交易客户存放的证券交易保证金减少
 货币资金(客户信用资金存款)        391,975,425.57       787,827,804.35        -50.25%
                                                                                           所致
 结算备付金(信用备付金)             24,828,683.14        17,193,423.07         44.41%      存放结算机构的信用交易资金增加所致
 融出资金                          879,823,791.75       575,943,753.78         52.76%      融出资金规模增加所致
 融出证券                            1,344,050.00         4,918,072.80        -72.67%      融出证券规模减少所致
 交易性金融资产                    401,732,627.56       718,093,045.51        -44.06%      交易性的自营投资规模减少所致
 买入返售金融资产                  898,558,626.80       340,003,827.22        164.28%      债券逆回购规模增加所致
 卖出回购金融资产款                   11,354,000.00                    -               -   开展债券质押式报价回购业务所致
 应付职工薪酬                         76,057,092.78     148,869,981.32        -48.91%      发放业务提成工资和奖金计提减少所致
 应交税费                             46,956,660.70     108,233,110.36        -56.62%      上缴税款和实现税款减少所致
                                                                                           利率调整,客户交易结算资金应计提的利息
 应付利息                              510,426.14         1,122,678.95        -54.53%
                                                                                           减少
             项目                  2012年1-9月          2011年1-9月        增减百分%                     主要原因
 手续费及佣金净收入                532,443,706.84        895,942,737.27        -40.57%     经纪和投行业务实现收入减少所致
 其中:代理买卖业务净收入          444,489,918.13        656,544,888.43        -32.30%     证券交易量下降经纪业务佣金收入减少
       证券承销业务净收入           63,348,480.66        204,476,300.80        -69.02%     融资总规模下降承销项目减少
       保荐业务收入                 10,400,000.00         15,700,000.00        -33.76%     完成保荐项目减少
       财务顾问业务收入              3,900,000.00          8,600,000.00        -54.65%     完成财务顾问项目减少




                                                                                                                        3
                                                                         国元证券股份有限公司 2012 年第三季度报告全文



 投资收益(损失以“-”号填列)                                                             调整自营投资结构,实现债券收益增加等所
                                    244,374,862.64     131,226,730.62         86.22%
                                                                                         致
 其中:对联营企业和合营企业的投
                                     54,920,000.56     101,808,683.39        -46.06%     长盛基金公司实现收益下降所致
 资收益
 公允价值变动收益(损失以“-”                                                            浮动亏损降低和结转公允价值变动损益等
                                     15,428,459.80      -72,163,843.12               -
 填列)                                                                                   原因所致
 汇兑收益(损失以“-”号填列)          1,877,175.74         -901,401.65               -   人民币对美元和港币略有升值所致
 资产减值损失                            111,853.11       -5,359,162.39              -   去年同期应收帐款减少转回坏账准备所致
 其他业务成本                          1,751,915.87        3,457,070.05       -49.32%    证券开户费等支出减少
 营业外收入                            1,744,085.46        7,429,860.34       -76.53%    本期收到政府补贴减少
                                                                                         购买债券、融出资金增加和客户证券交易结
 经营活动产生的现金流量净额       -2,259,185,759.85    -745,282,547.00               -
                                                                                         算资金减少所致
 投资活动产生的现金流量净额      -79,277,125.18        -191,426,722.36               -   本期购买营业房屋较去年同期有所减少
 筹资活动产生的现金流量净额     -196,410,000.00        -589,230,000.00               -   本期支付股东现金红利同比有所减少
 汇率变动对现金及现金等价物的                                                        -   人民币对美元和港币略有升值公司外汇资
                                  6,859,269.21          -28,552,436.05
 影响                                                                                    产有所增值所致
 现金及现金等价物净增加额     -2,528,013,615.82       -1,554,491,705.41              -   经营活动现金流出较多所致



(二)重大事项进展情况及其影响和解决方案的分析说明

1、非标意见情况

□ 适用 √ 不适用


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、日常经营重大合同的签署和履行情况

√ 适用 □ 不适用
    2009 年2 月14 日,公司第五届董事会第十四次会议审议通过了《关于追加办公楼购置预算的议案》,同意公司追加购
置办公楼预算8,139 万元,具体内容见公司于2009 年2 月17 日在《中国证券报》、《证券时报》、《上海证券报》和巨潮
资讯网披露的《关于追加办公楼购置预算的公告》,2011 年6 月15 日,公司与安徽饭店签署了《商品房买卖合同》,该商
品房合同约定建筑面积共28,817.32 平方米,总价237,600,561 元。本次购置的办公场所,是依照当地的市场价格进行作价,
分五期付款,截至本报告期末,公司已支付217,791,106.40元购房款,该商品房正在建设当中。


4、其他

√ 适用 □ 不适用
    4.1   2012 年 8 月 26 日,公司召开第六届董事会第十七会议,审议通过了《关于凤良志先生辞去公司董事长职务的议案》、
《关于选举蔡咏先生为公司董事长的议案》、《关于蔡咏先生辞去公司总裁职务的议案》、《关于聘任俞仕新先生为公司总裁的
议案》等九项议案,会议同意凤良志先生辞去公司董事长职务,对凤良志先生在担任公司董事长期间为公司发展做出的卓越
贡献表示衷心的感谢,凤良志先生辞去公司董事长职务后,仍担任公司董事、党委书记;选举蔡咏先生为公司第六届董事会
董事长,任期至本次董事会决议后生效至第六届董事会届满之日止;同意蔡咏先生辞去公司总裁职务,鉴于公司新任总裁人
选任职资格尚需取得监管部门的核准,在新任总裁取得任职资格履职前,蔡咏先生仍将继续履行总裁职责;同意聘任俞仕新
先生为公司总裁,任期从本次董事会决议后且经监管部门核准其证券公司高级管理人员任职资格之日起至第六届董事会届满
之日止。具体内容见公司于 2012 年 8 月 28 日在《中国证券报》、《证券时报》、《上海证券报》和巨潮资讯网披露的《第六届



                                                                                                                     4
                                                                              国元证券股份有限公司 2012 年第三季度报告全文



董事会第十七会议决议公告》。
      4.2    2012 年 10 月 12 日,公司召开第六届董事会第十八次会议,审议通过了《关于向国元证券(香港)有限公司增资
的议案》、《关于取消国元证券(香港)有限公司申请到香港主板上市计划的议案》、《关于变更部分募集资金用途的议案》等
八项议案,同意公司使用募集资金向国元证券(香港)有限公司增资 5 亿元人民币(约合 6 亿元港币),授权公司经营管理
层具体办理相关增资事宜;同意公司取消国元证券(香港)有限公司申请到香港主板市场上市的计划,公司决定通过增资的
形式解决国元证券(香港)有限公司业务发展所需资金;同意公司将原募集资金使用计划中增资国元股权投资有限公司 5
亿元和增资国元证券(香港)有限公司 10 亿元变更为投资 15 亿元设立子公司从事《证券公司投资自营品种清单》所列品种
以外的金融产品等投资业务。具体内容见公司于 2012 年 10 月 13 日在《中国证券报》、《证券时报》、《上海证券报》和巨潮
资讯网披露的《第六届董事会第十八会议决议公告》。


(三)公司或持股 5%以上股东在报告期内或持续到报告期内的承诺事项

□ 适用 √ 不适用


(四)对 2012 年度经营业绩的预计

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


(五)其他需说明的重大事项

1、证券投资情况

√ 适用 □ 不适用
                                                                                                                占期末
                                                      最初投资成本         期末持有数量     期末账面价值        证券总 报告期损益
 序号       证券品种   证券代码       证券简称
                                                          (元)               (股)           (元)          投资比   (元)
                                                                                                                例(%)
  1           债券      982085    09 淮南矿 MTN2          200,071,506.85     2,000,000.00   202,340,000.00 50.37% 9,400,000.00
                                  国元多策略中国机
  2           基金        无                              180,631,736.89      213,548.42    151,756,732.60 37.78% 6,453,469.20
                                  会基金
                                  国元环球中国机会
  3           基金        无                               29,932,317.37      369,215.71     27,480,867.94       6.84% 3,838,027.16
                                  基金
                                  申万巴黎收益宝货
  4           基金      310338                             20,000,000.00    20,155,027.02    20,155,027.02       5.02%   155,027.02
                                  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                                              --               --                  --       --   271,048.47
合计                                                      430,635,561.11               --   401,732,627.56       100% 20,117,571.85
证券投资审批董事会公告披露日期                       2012 年 03 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:根据合并报表中交易性金融资产科目填列。


2、衍生品投资情况

□ 适用 √ 不适用




                                                                                                                                 5
                                                                             国元证券股份有限公司 2012 年第三季度报告全文



3、报告期末衍生品投资的持仓情况

√ 适用 □ 不适用
                                                                                                        期末合约金额占公司报
       合约种类            期初合约金额(元)        期末合约金额(元)          报告期损益情况
                                                                                                        告期末净资产比例(%)
股指期货                                     0.00                     0.00                  42,092.33                      0%
合计                                         0.00                     0.00                  42,092.33                      0%


4、报告期内接待调研、沟通、采访等活动登记表

       接待时间         接待地点 接待方式 接待对象类型                       接待对象                谈论的主要内容及提供的资料
                                                                                                     介绍债券质押式报价回购业务
2012 年 07 月 25 日       公司     采访             机构     安徽广播电视台财经特快栏目记者
                                                                                                     的特点、意义等情况
                                                                                                     公司高管变更及公司创新业务
2012 年 09 月 07 日       公司     采访             机构     中国证券报记者
                                                                                                     进展情况
2012 年 09 月 19 日       公司     采访             机构     安徽广播电视台财经特快栏目记者          公司融资融券业务开展情况
2012 年 01 月 01 日至
                          公司   电话沟通           个人     个人投资者                              公司经营情况、行业状况等
2012 年 09 月 30 日


5、发行公司债券情况

是否发行公司债券
□ 是 √ 否


四、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                          2012 年 9 月 30 日                                  单位:(人民币)元
                                                 2012 年 9 月 30 日                            2011 年 12 月 31 日
              项目
                                          合并                   母公司                    合并                 母公司
 资产:
 货币资金                         10,710,631,384.52           9,052,485,493.14       13,310,746,217.53       11,691,954,593.21
 其中:客户资金存款                 5,200,463,110.72          4,609,779,633.23          5,651,340,224.89      5,536,324,577.29
        客户信用资金存款             391,975,425.57              95,981,187.14           787,827,804.35          80,669,600.89
 结算备付金                          929,238,128.66             702,102,568.83           857,136,911.47         709,037,800.01
 其中:客户备付金                    740,585,788.83             535,439,030.42           738,186,854.16         597,587,742.70
        信用备付金                    24,828,683.14              24,828,683.14            17,193,423.07          17,193,423.07

 拆出资金
 融出资金                            879,823,791.75             712,468,132.34           575,943,753.78         374,730,145.00
 融出证券                              1,344,050.00               1,344,050.00             4,918,072.80           4,918,072.80
 交易性金融资产                      401,732,627.56             222,495,027.02           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                    898,558,626.80             898,558,626.80           340,003,827.22         340,003,827.22
 应收利息                            116,734,500.65             116,734,500.65           104,841,262.63         104,841,262.63



                                                                                                                                 6
                                                                           国元证券股份有限公司 2012 年第三季度报告全文



 存出保证金                        357,054,136.36            149,769,030.16          283,910,902.17       173,376,715.14
 可供出售金融资产                 4,552,301,127.74         4,386,063,066.73        3,617,475,752.77     3,446,927,193.98
 持有至到期投资
 长期股权投资                      894,175,777.49          2,360,253,672.82          874,035,922.00     2,381,613,817.33
 投资性房地产
 固定资产                         1,423,778,774.69         1,411,670,634.13        1,346,191,397.46     1,332,197,563.68
 无形资产                           20,964,981.68             17,698,327.56           22,050,629.22        18,912,134.36
     其中:交易席位费                 1,660,056.53             1,660,056.53            2,088,599.76         2,088,599.76
 递延所得税资产                    129,167,511.31            124,704,510.81          112,404,376.61       105,707,986.21
 其他资产                          523,770,203.14            204,779,907.57          429,319,864.35       227,060,598.68
 资产总计                        21,839,275,622.35        20,361,127,548.56       22,597,071,935.52    21,452,921,710.25
法定代表人:蔡咏                        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 9 月 30 日                              单位:(人民币)元
                                           2012 年 9 月 30 日                              2011 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                 11,354,000.00            11,354,000.00
  代理买卖证券款                  6,321,530,380.37         5,282,626,405.17        6,996,344,016.77     6,288,172,791.89
  信用交易代理买卖证券款           402,834,568.24             97,404,084.05          423,720,495.36        80,690,603.87
  代理承销证券款
  应付职工薪酬                      76,057,092.78             64,416,449.36          148,869,981.32       134,388,520.80
  应交税费                          46,956,660.70             37,980,456.03          108,233,110.36       104,671,092.78
  应付利息                             510,426.14                510,426.14            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                    13,326,645.31                605,880.04           12,940,513.00          392,123.29
  其他负债                         101,461,888.89             90,623,747.66          106,651,079.93        96,711,800.35
  负债合计                        6,974,031,662.43         5,585,521,448.45        7,797,881,875.69     6,706,149,611.93
  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                        9,610,751,021.76         9,576,338,726.02        9,723,894,284.12     9,686,249,115.04
  减:库存股
  盈余公积                         570,848,182.95            570,848,182.95          570,848,182.95       570,848,182.95
  一般风险准备                     565,826,977.82            565,826,977.82          565,826,977.82       565,826,977.82
  交易风险准备                     524,816,733.44            524,816,733.44          524,816,733.44       524,816,733.44




                                                                                                                           7
                                                                              国元证券股份有限公司 2012 年第三季度报告全文



  未分配利润                        1,682,483,001.04          1,573,675,479.88          1,508,267,932.06             1,434,931,089.07
  外币报表折算差额                    -53,581,957.09                                        -58,564,050.56
  归属于母公司股东权益合计         14,865,243,959.92         14,775,606,100.11         14,799,190,059.83            14,746,772,098.32
  少数股东权益
  股东权益合计                     14,865,243,959.92         14,775,606,100.11         14,799,190,059.83            14,746,772,098.32
  负债和股东权益总计               21,839,275,622.35         20,361,127,548.56         22,597,071,935.52            21,452,921,710.25
法定代表人:蔡咏                         主管会计工作负责人:高民和                                  会计机构负责人:司开铭


4.2 年初到报告期末利润表

编制单位:国元证券股份有限公司                              2012 年 1-9 月                                      单位:(人民币)元
                                                             2012 年 1-9 月                              2011 年 1-9 月
                 项      目
                                                       合并数              母公司                  合并数              母公司
  一、营业收入                                 1,156,120,175.71       1,054,498,924.94       1,315,052,595.51         1,352,263,128.46
   手续费及佣金净收入                             532,443,706.84        491,731,435.27          895,942,737.27          855,399,807.97
   其中:代理买卖业务净收入                       444,489,918.13        409,595,587.15          656,544,888.43          621,319,423.68
         证券承销业务净收入                        63,348,480.66         63,348,480.66          204,476,300.80          204,476,300.80
         委托客户资产管理业务净收入                10,296,098.80             4,478,158.21        11,350,602.70             6,033,138.15
         保荐业务收入                              10,400,000.00         10,400,000.00           15,700,000.00            15,700,000.00
         财务顾问业务收入                              3,900,000.00          3,900,000.00         8,600,000.00             8,600,000.00
   利息净收入                                     354,569,345.04        310,166,958.03          353,666,636.94          325,469,522.03
   投资收益(损失以“-”号填列)                  244,374,862.64        240,315,828.44          131,226,730.62          123,724,839.87
   其中:对联营企业和合营企业的投资收益            54,920,000.56         54,920,000.56          101,808,683.39          101,808,683.39
   公允价值变动收益(损失以“-”号填列)           15,428,459.80             5,136,963.44       -72,163,843.12            43,823,469.76
   汇兑收益(损失以“-”号填列)                       1,877,175.74            41,294.19          -901,401.65              -901,401.65
   其他业务收入                                        7,426,625.65          7,106,445.57         7,281,735.45             4,746,890.48
  二、营业支出                                    705,629,957.94        650,457,161.89          759,062,567.21          711,881,656.65
   营业税金及附加                                  42,140,951.71         40,568,733.02           55,684,426.64            54,626,096.98
   业务及管理费                                   661,625,237.25        608,024,659.89          705,280,232.91          659,157,652.01
   资产减值损失                                         111,853.11            111,853.11         -5,359,162.39            -5,359,162.39
   其他业务成本                                        1,751,915.87          1,751,915.87         3,457,070.05             3,457,070.05
  三、营业利润(亏损以“-”号填列)               450,490,217.77        404,041,763.05          555,990,028.30          640,381,471.81
    加:营业外收入                                     1,744,085.46          1,743,007.52         7,429,860.34             2,407,691.30
    减:营业外支出                                     2,313,867.87          2,306,329.92         2,524,081.38             2,523,047.01
  四、利润总额(亏损总额“-”号填列)             449,920,435.36        403,478,440.65          560,895,807.26          640,266,116.10
    减:所得税费用                                 79,295,366.38         68,324,049.84          101,498,491.72          113,391,990.48
  五、净利润(净亏损以“-”号填列)               370,625,068.98        335,154,390.81          459,397,315.54          526,874,125.62
    其中:归属于母公司所有者的净利润              370,625,068.98                                459,397,315.54
                        少数股东损益
  六、每股收益:
   (一)基本每股收益                                         0.19                                           0.23
   (二)稀释每股收益                                         0.19                                           0.23
 七、其他综合收益                                -108,161,168.90      -109,910,389.02         -124,544,907.11          -149,015,308.84
 八、综合收益合计                                 262,463,900.08      225,244,001.79          334,852,408.43           377,858,816.78
  其中:归属于母公司所有者的综合收益总额          262,463,900.08      225,244,001.79          334,852,408.43           377,858,816.78
           归属于少数股东的综合收益总额
法定代表人:蔡咏                        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 2012 年第三季度报告全文



4.3 本报告期利润表

编制单位:国元证券股份有限公司                           2012 年 7-9 月                                     单位:(人民币)元
                                                          2012 年 7-9 月                           2011 年 7-9 月
                 项      目
                                                    合并数              母公司                合并数            母公司
  一、营业收入                                   312,364,703.04     288,886,665.17        279,677,492.74    378,462,171.88
   手续费及佣金净收入                            152,947,678.46         140,128,974.08    198,614,142.30       186,688,355.36
   其中:代理买卖业务净收入                      127,905,598.73         116,409,237.43    190,623,035.08       179,862,419.64
         证券承销业务净收入                       16,900,000.00          16,900,000.00
         委托客户资产管理业务净收入                2,789,030.48           1,466,687.40      2,941,107.22         1,775,935.72
         保荐业务收入                              4,400,000.00           4,400,000.00      1,000,000.00         1,000,000.00
         财务顾问业务收入                           950,000.00             950,000.00       3,750,000.00         3,750,000.00
   利息净收入                                    101,493,555.91          87,704,302.70    158,549,336.41       145,489,439.10
   投资收益(损失以“-”号填列)                  61,779,151.96          59,972,568.70     50,698,957.74        50,678,113.49
   其中:对联营企业和合营企业的投资收益            9,803,697.18           9,803,697.18     25,072,335.98        25,072,335.98
   公允价值变动收益(损失以“-”号填列)          -6,202,033.31           -492,086.98    -128,810,670.70        -4,575,057.10
   汇兑收益(损失以“-”号填列)                    755,244.49              19,724.25       -408,754.90          -408,754.90
   其他业务收入                                    1,591,105.53          1,553,182.42      1,034,481.89           590,075.93
  二、营业支出                                   222,085,548.88         203,359,928.66    248,200,994.22       231,575,820.24
   营业税金及附加                                 12,777,373.94          12,171,620.26     12,693,494.93        12,275,068.46
   业务及管理费                                  208,855,877.14         190,736,010.60    234,426,984.25       218,220,236.74
   资产减值损失
   其他业务成本                                     452,297.80             452,297.80       1,080,515.04         1,080,515.04
  三、营业利润(亏损以“-”号填列)               90,279,154.16          85,526,736.51     31,476,498.52       146,886,351.64
    加:营业外收入                                  659,639.57             658,561.63        389,025.14           387,792.55
    减:营业外支出                                  818,376.49             818,349.35        545,826.68           545,826.68
  四、利润总额(亏损总额“-”号填列)             90,120,417.24          85,366,948.79     31,319,696.98       146,728,317.51
    减:所得税费用                                16,194,944.42          14,102,756.18     11,699,185.28        31,077,669.13
  五、净利润(净亏损以“-”号填列)               73,925,472.82          71,264,192.61     19,620,511.70       115,650,648.38
    其中:归属于母公司所有者的净利润              73,925,472.82                            19,620,511.70
                         少数股东损益
  六、每股收益:
   (一)基本每股收益                                       0.04                                     0.01
   (二)稀释每股收益                                       0.04                                     0.01
 七、其他综合收益                               -117,276,316.46    -118,780,769.71       -167,812,492.29      -151,531,634.28
 八、综合收益合计                                -43,350,843.64    -47,516,577.10        -148,191,980.59      -35,880,985.90
  其中:归属于母公司所有者的综合收益总额         -43,350,843.64    -47,516,577.10        -148,191,980.59      -35,880,985.90
           归属于少数股东的综合收益总额
法定代表人:蔡咏                      主管会计工作负责人:高民和                             会计机构负责人:司开铭


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                          2012 年 1-9 月                                      单位:(人民币)元
                                                       2012 年 1-9 月                                2011 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               962,769,357.40         872,283,565.55        1,288,539,991.91        1,210,184,175.44


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                                                                   国元证券股份有限公司 2012 年第三季度报告全文



 拆入资金净增加额
 回购业务资金净增加额                   -547,200,799.58     -547,200,799.58
 代理买卖业务的现金净增加额             -695,699,563.52     -988,832,906.54    -1,404,185,270.26   -1,705,190,968.39
 收到其他与经营活动有关的现金              9,170,711.11        8,849,453.09       47,956,309.52       39,604,688.48
   经营活动现金流入小计                 -270,960,294.59     -654,900,687.48      731,429,475.51      318,726,009.39
 处置交易性金融资产净减少额             619,279,237.94      629,791,213.47
 支付利息、手续费及佣金的现金            38,010,714.80       32,639,581.53        80,536,831.50       70,921,510.99
 拆入资金净减少额
 支付给职工以及为职工支付的现金         409,491,743.23      381,526,028.77       437,758,276.32      397,358,636.68
 支付的各项税费                         185,547,196.33      181,027,321.12       391,866,608.36      386,680,112.55
 支付其他与经营活动有关的现金           735,896,572.96      533,905,159.60       566,550,306.33      615,652,791.53
   经营活动现金流出小计                1,988,225,465.26    1,758,889,304.49     1,476,712,022.51    1,470,613,051.75
 经营活动产生的现金流量净额           -2,259,185,759.85   -2,413,789,991.97      -745,282,547.00   -1,151,887,042.36
 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                  86,579,721.00       85,525,721.00        89,525,721.00       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                  86,579,721.00       85,525,721.00        93,337,425.67       93,337,425.67
 投资支付的现金                          41,500,000.00                                               600,000,000.00
 购建固定资产、无形资产和其他长期资
                                        124,040,253.20      121,460,287.79       283,875,592.21      282,418,336.55
 产支付的现金
 支付其他与投资活动有关的现金               316,592.98          311,066.68           888,555.82          888,555.82
   投资活动现金流出小计                 165,856,846.18      121,771,354.47       284,764,148.03      883,306,892.37
 投资活动产生的现金流量净额              -79,277,125.18      -36,245,633.47      -191,426,722.36     -789,969,466.70
 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
                                           6,859,269.21            41,294.19      -28,552,436.05         -901,401.65
 响
 五、现金及现金等价物净增加额         -2,528,013,615.82   -2,646,404,331.25    -1,554,491,705.41   -2,531,987,910.71
 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         11,639,869,513.18    9,754,588,061.97    15,382,519,769.92   13,496,568,648.60
法定代表人:蔡咏                      主管会计工作负责人:高民和                         会计机构负责人:司开铭




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                      国元证券股份有限公司 2012 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: 蔡咏




                             董事会批准报送日期:2012 年 10 月 26 日




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