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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:2013年第一季度报告正文

公告日期 2013-04-24
股票简称:国元证券 股票代码:000728
    证券代码:000728                        证券简称:国元证券                  公告编号:2013-024
          国元证券股份有限公司 2013 年第一季度报告正文
                                  第一节 重要提示
    公司董事会、监事会及董事、监事、高级管理人员应当保证季度报告内容的真实、准确、完整,不存在虚假记载、误导性陈述或者重大遗漏,并承担个别和连带的法律责任。
    公司董事长蔡咏先生、总裁俞仕新先生、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表的真实、准确、完整。
    所有董事均已出席了审议本次季报的董事会会议。
                            第二节 主要财务数据及股东变化一、主要财务数据本报告期对以前期间财务数据是否进行了追溯调整或重述□ 是 √ 否
                                                                                              本报告期比上年同期增减
                                           2013 年 1-3 月            2012 年 1-3 月
                                                                                                      (%)
    营业收入(元)                                  378,509,682.22             430,691,730.56                      -12.12%
    归属于上市公司股东的净利润(元)                120,498,678.67             155,355,594.16                      -22.44%归属于上市公司股东的扣除非经常性损
                                                120,970,514.69             155,319,900.54                      -22.12%益的净利润(元)
    经营活动产生的现金流量净额(元)              -2,345,437,678.96            106,341,115.23                  -2,305.58%
    基本每股收益(元/股)                                       0.06                       0.08                    -22.44%
    稀释每股收益(元/股)                                       0.06                       0.08                    -22.44%
    加权平均净资产收益率(%)                                   0.81                       1.04        减少 0.23 个百分点
                                                                                              本报告期末比上年度期末
                                       2013 年 3 月 31 日          2012 年 12 月 31 日
                                                                                                     增减(%)
    总资产(元)                                 24,713,149,888.25          22,885,957,499.34                       7.98%
    归属于上市公司股东的净资产(元)             15,097,144,483.17          14,944,901,580.11                       1.02%非经常性损益项目和金额√ 适用 □ 不适用
                                                                                                               单位:元
                         项目                               年初至报告期期末金额                    说明
    非流动资产处置损益(包括已计提资产减值准备的冲销部分)                      5,671.99                  --
    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                                        -472,078.85              --
    其他符合非经常性损益定义的损益项目                                                                   --
    所得税影响额                                                                   5,429.16
    少数股东权益影响额(税后)                                                                           --
    合计                                                                        -471,836.02              --对公司根据《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》定义界定的非经常性损益项目,以及把《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》中列举的非经常性损益项目界定为经常性损益的项目,应说明原因√ 适用 □ 不适用
           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,持有交易性
    除同公司正常经营业务相关                               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
    的有效套期保值业务外,持                               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
    有交易性金融资产、交易性                               资收益,视为非经常性损益项目。由于本公司属于金融行业中的
    金融负债产生的公允价值变                               证券业,主要的业务经营范围为:证券经纪;证券投资咨询;与
                                       58,523,318.26
    动损益,以及处置交易性金                               证券交易、证券投资活动有关的财务顾问;证券承销与保荐;证
    融资产、交易性金融负债和                               券自营;证券资产管理;融资融券;证券投资基金代销;为期货
    可供出售金融资产取得的投                               公司提供中间介绍业务;代销金融产品。因此本公司根据自身正
    资收益                                                 常经营业务的性质和特点将持有交易性金融资产、交易性金融负
                                                       债产生的公允价值变动损益,以及处置交易性金融资产、交易性
                                                       金融负债和可供出售金融资产取得的投资收益作为经常性损益项
                                                       目,不在非经常性损益计算表中列示。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 109,152,174.52 元,持有交
                                                      易性金融资产产生的公允价值变动损益-50,628,856.26 元。二、报告期末股东总数及前十名股东持股情况表
                                                                                                                单位:股
    报告期末股东总数                                                                                                       105,880
                                                   前 10 名股东持股情况
                                                                                        持有有限         质押或冻结情况
                                                              持股比例
                 股东名称                        股东性质                 持股数量      售条件的
                                                               (%)                                股份状态       数量
                                                                                        股份数量
    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            93,000,000
    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              12.52%    245,843,732           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
    中国工商银行-博时精选股票证券投资基金 境内非国有法人            1.09%     21,346,789           0中国银行-易方达深证 100 交易型开放式指
                                          境内非国有法人         1.08%     21,222,630           0数证券投资基金中信建投证券股份有限公司客户信用交易担
                                          其他                   0.91%     17,878,655           0保证券账户
                                           前 10 名无限售条件股东持股情况
                                                            持有无限售条件股                 股份种类及数量
                         股东名称
                                                                 份数量              股份种类                   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                                  245,843,732 人民币普通股                       245,843,732
    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
    中国工商银行-博时精选股票证券投资基金                             21,346,789 人民币普通股                        21,346,789
    中国银行-易方达深证 100 交易型开放式指数证券投资基金              21,222,630 人民币普通股                        21,222,630
    中信建投证券股份有限公司客户信用交易担保证券账户                   17,878,655 人民币普通股                        17,878,655
                                   安徽国元控股(集团)有限责任公司和安徽国元信托有限责任公
    上述股东关联关系或一致行动的说明   司互为一致行动人,未知其它股东之间是否存在关联关系或属于
                                   《上市公司收购管理办法》规定的一致行动人。
                                   根据公司向中登公司深圳分公司申请的融资融券投资者信用账户
                                   名册显示,该名册中持股数量排名第一的投资者为魏兆琪,其通参与融资融券业务股东情况说明
                                   过中信建投证券股份有限公司客户信用交易担保证券账户持有公
                                   司股份 15,967,274 股,持股比例为 0.81%。
                                                                         国元证券股份有限公司 2013 年第一季度报告正文
                                           第三节 重要事项一、报告期主要会计报表项目、财务指标发生重大变动的情况及原因
                                                                                                                单位:元
                项目            2013年3月31日       2012年12月31日        增减百分比%                   主要原因
    货币资金(客户信用资金存款)      603,288,562.66       434,338,286.26              38.90 公司信用客户证券交易资金规模增加
    结算备付金(客户备付金)        1,153,644,034.00       716,897,055.96              60.92 存放结算机构的客户资金增加
    融出资金                        1,992,979,715.33      1,084,886,166.63             83.70 公司融出资金规模增加
    交易性金融资产                  1,239,375,680.52       352,541,508.99             251.55 公司自营证券投资规模增加
    应收利息                          194,884,112.79       119,288,452.68              63.37 公司证券投资应收的利息增加
    可供出售金融资产                8,017,687,835.78      5,316,280,773.13             50.81 公司债券投资和子公司金融资产投资规
                                                                                        模增加
    拆入资金                          600,000,000.00       100,000,000.00             500.00 公司自证券金融公司转融通借款增加
    卖出回购金融资产款              1,079,747,631.65        69,214,000.00            1460.01 公司卖出回购证券融资款增加
    信用交易代理买卖证券款            663,399,629.58       480,392,222.18              38.10 公司信用客户证券交易资金规模增加
    应付利息                            1,609,800.66           703,430.15             128.85 公司借款规模增加,导致应付利息增加
    递延所得税负债                     20,430,597.20        13,947,230.93              46.48 子公司未变现的浮动收入增加而导致
    其他负债                          126,835,964.83        91,275,071.43              38.96 子公司应付清算款项增加
                项目             2013年1-3月         2012年1-3月          增减百分比%                   主要原因
    手续费及佣金净收入(证券承           -150,000.00        15,614,625.90            -100.96 IPO业务暂停,未实现收入,还发生业务
    销业务净收入)                                                                          退款
    手续费及佣金净收入(保荐业          1,000,000.00         4,000,000.00             -75.00 IPO业务暂停,报告期保荐业务实现收入
    务收入)                                                                                较少
    手续费及佣金净收入(财务顾                               1,950,000.00            -100.00 报告期未实现财务顾问业务收入问业务收入)
    利息净收入                         86,558,597.17       141,515,622.28             -38.83 公司增加金融资产投资,导致自有资金
                                                                                        存款利息减少
    投资收益(损失以“-”号填列)     128,674,311.88        62,184,369.58             106.92 公司增加金融资产投资获得收益增加
    公允价值变动收益(损失以         -50,826,785.86        33,030,027.91             -253.88 报告期权益类投资发生浮动亏损“-”号填列)
    汇兑收益(损失以“-”号填列)          13,608.48           761,626.95             -98.21 结汇金额减少
    其他业务收入                        1,416,927.69         3,093,212.78             -54.19 营业用房转租收入等减少
    营业税金及附加                     18,136,999.91        13,500,419.84              34.34 应税营业收入增加所致
    营业外收入                             22,793.77            55,777.77             -59.13 政府补助收入减少
    营业外支出                            489,200.63             7,060.94            6828.26 滞纳金增加
    经营活动产生的现金流量净额      -2,345,437,678.96      106,341,115.23           -2305.58 主要为公司增加金融资产投资规模和融
                                                                                        出资金规模
    投资活动产生的现金流量净额        -11,027,636.06        -68,255,279.79                  - 报告期减少固定资产投资支出
    汇率变动对现金及现金等价物          -2,365,965.24         -841,937.16                   - 人民币持续升值,外币现金减值的影响
                                                                       国元证券股份有限公司 2013 年第一季度报告正文
    现金及现金等价物净增加额        -2,358,831,280.26      37,243,898.28          -6433.47 主要为公司增加金融资产投资规模和融
                                                                                        出资金规模二、重要事项进展情况及其影响和解决方案的分析说明
    1、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,是依照当时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21,779.11万元购房款,该商品房正在建设当中。
    2、2013年1月28日,公司2013年第一次临时股东大会审议通过了《关于向国元创新投资有限公司增资的议案》,同意向国元创新投资有限公司增资15亿元,具体详见2013年1月29日的《中国证券报》、《上海证券报》、《证券时报》和巨潮资讯网。截至本报告期末,公司已完成对国元创新投资有限公司的增资事宜。
    3、2013年2月5日,公司第六届董事会第二十二次会议审议通过了《关于使用部分闲置募集资金暂时补充流动资金的议案》,同意公司使用部分闲置募集资金80,000万元暂时补充流动资金,使用期限自2013年2月6日起不超过12个月,到期及时归还至募集资金专用账户。截至本报告期末,80,000万元已全部补充流动资金。
    4、2013年4月16日,公司2012年度股东大会审议通过了《关于公司发行短期融资券的议案》、《关于公司公开发行公司债券的议案》,发行事宜需报监管部门核准后实施,具体详见2013年4月17日的《中国证券报》、《上海证券报》、《证券时报》和巨潮资讯网。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 2013 年 1-6 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 √ 不适用五、证券投资情况
                                                                                                                              股
                                                                               期末持                                  会计
    证券   证券                最初投资成本   期初持股 期初持股比 期末持股数量                               报告期损益           份
               证券简称                                                        股比例 期末账面值(元)                 核算
    品种   代码                   (元)      数量(股) 例(%)      (股)                                  (元)              来
                                                                               (%)                                   科目
                                                                                                                              源
                                                                       国元证券股份有限公司 2013 年第一季度报告正文
                                                                                                                           交 易
    理财           朝招金                                                                                                      性 金购
       7007                 550,000,000.00                        550,000,000.00 36.67%   550,000,000.00     721,602.73
    产品           7007 号                                                                                                     融 资入
                                                                                                                           产
                                                                                                                           交 易
               工行                                                                                                        性 金购
    债券 113002                 308,834,987.35                          2,608,250.00 0.01%    282,864,712.50 -25,970,274.85
               转债                                                                                                        融 资入
                                                                                                                           产
                                                                                                                           交 易
               浦发                                                                                                        性 金购
    股票 600000                 191,731,821.94                         16,506,034.00 0.09%    167,206,124.42 -24,525,697.52
               银行                                                                                                        融 资入
                                                                                                                           产
                                                                                                                           交 易
               同仁                                                                                                        性 金购
    债券 110022                  77,780,061.66                           605,720.00 0.05%      80,312,414.80   2,532,353.14
               转债                                                                                                        融 资入
                                                                                                                           产
                                                                                                                           交 易
               东阿                                                                                                        性 金购
    股票 000423                  37,179,996.67                           800,000.00 0.12%      41,680,000.00   4,500,003.33
               阿胶                                                                                                        融 资入
                                                                                                                           产
                                                                                                                           交 易
               12 嘉兴经                                                                                                   性 金购
    债券 122633                  40,390,560.00                           400,000.00 0.04%      40,628,000.00     237,440.00
               投债                                                                                                        融 资入
                                                                                                                           产
                                                                                                                           交 易
               国元环球
                                                                                                                           性 金购
    基金 无        中国机会      29,937,855.60 369,215.71    41.21%      369,215.71 38.37%     32,806,770.45     640,457.47
                                                                                                                           融 资入
               基金
                                                                                                                           产
                                                                                                                           交 易
               12 苏州相                                                                                                   性 金购
    债券 1280264                 30,822,210.00                           300,000.00 0.02%      30,825,000.00       2,790.00
               城债                                                                                                        融 资入
                                                                                                                           产
                                                                                                                           交 易
               国元多策
                                                                                                                           性 金购
    基金 无        略中国机      11,057,056.03   45,867.08    100%        12,694.99   100%     13,052,658.35   -3,827,804.44
                                                                                                                           融 资入
               会基金
                                                                                                                           产报告期已出售证券投资损
                                  --             --      --            --         --          --           6,818,624.33         --   --益证券投资审批董事会公告
                           2013 年 02 月 05 日披露日期证券投资审批股东会公告 --
                                                                         国元证券股份有限公司 2013 年第一季度报告正文披露日期
    合计                        1,277,734,549.25     415,082.79   --   571,601,914.70     --     1,239,375,680.52 -38,870,505.81   --   --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持有其他上市公司股权情况的说明
                                                                                                                  单位:元
                                               占该公                      报告
    证券代                                                                             报告期所有者       会计核算     股份来
            证券简称      初始投资金额         司股权     期末账面值       期损
    码                                                                                 权益变动            科目        源
                                               比例                         益
                                                                                                       可供出售
    000527     美的电器    572,247,982.56         1.11%    345,177,455.40                     0.00                      购入
                                                                                                       金融资产
                                                                                                       可供出售
    600085      同仁堂     117,100,129.49         0.45%    131,126,359.84              14,026,230.35                    购入
                                                                                                       金融资产
                                                                                                       可供出售
    601818     光大银行    134,753,461.68         0.21%    125,211,699.62              -9,541,762.06                    购入
                                                                                                       金融资产
                                                                                                       可供出售
    600183     生益科技    175,560,000.00         1.74%    112,138,000.00              8,151,000.00                     购入
                                                                                                       金融资产
                                                                                                       可供出售
    002555     顺荣股份     20,355,000.00         5.15%     74,658,000.00              1,242,000.00                     购入
                                                                                                       金融资产
                                                                                                       可供出售
    601857     中国石油     40,449,983.43         0.00%     30,848,396.37              -1,242,455.55     金融资产、     购入
                                                                                                       融出证券
                                                                                                       可供出售
    600104     上汽集团     35,865,442.82         0.02%     28,638,000.00              -7,227,442.82                    购入
                                                                                                       金融资产
                                                                                                       可供出售
    600276     恒瑞医药     24,672,008.82         0.06%     26,888,000.00              2,215,991.18                     购入
                                                                                                       金融资产
                                                                                                       可供出售
    601898     中煤能源     29,731,967.78         0.02%     21,450,000.00              -2,010,000.00                    购入
                                                                                                       金融资产
                                                                                                       可供出售
    600036     招商银行     23,097,347.55         0.01%     20,384,857.89              -1,807,683.36     金融资产、     购入
                                                                                                       融出证券
                                                                                                       可供出售
    600062     华润双鹤     19,927,475.65         0.14%     19,624,000.00              -303,475.65                      购入
                                                                                                       金融资产
                                                                                                       可供出售
    601398     工商银行     20,557,627.39         0.00%     17,635,785.75              -435,451.50       金融资产、     购入
                                                                                                       融出证券
                                                                                                       可供出售
    600837     海通证券     19,385,564.07         0.02%     15,165,000.00              -4,220,564.07                    购入
                                                                                                       金融资产
                                                                                                       可供出售
                 其他    14,828,697.08                   14,280,500.00              -626,100.00       金融资产、     购入
                                                                                                       融出证券
          合计          1,248,532,688.32         -      983,226,054.87     0.00     -1,779,713.48          -           -注:根据合并报表中可供出售金融资产、融出证券相关数据填列
                                                                              国元证券股份有限公司 2013 年第一季度报告正文买卖其他上市公司股份的情况
                                                                                                                    单位:元
                    期初股份         报告期买入股份数    报告期卖出股份数                                           产生的投资收
    股份名称                                                                     期末股份数量       使用的资金数量
                       数量                量                     量                                                       益
    同仁堂                               7,271,870.00          1,454,374.00         5,817,496.00   117,100,129.49   2,020,596.52
    光大银行                             38,885,621.00                              38,885,621.00   134,753,461.68
    人福科技                              1,009,914.00          1,009,914.00                0.00                     1,080,509.93
    农业银行                              6,950,000.00          6,950,000.00                0.00                         -106,588.10
    恒瑞医药                              1,031,081.00           231,081.00           800,000.00     24,672,008.82       774,851.35注:根据合并报表可供出售金融资产中买卖上市公司股份成交金额前五名的情况填列六、衍生品投资情况□ 适用 √ 不适用七、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
    2013 年 01 月 18 日      全景网          网络          个人           个人投资者      国元皖江 30 指数及公司情况介绍2013 年 01 月 01 日至
                              公司     电话沟通         个人           个人投资者      行业发展状况、公司经营情况2013 年 03 月 31 日
                                                                              国元证券股份有限公司
                                                                              法人代表:蔡咏
                                                                              董事会批准报送日期:二〇一三年四月二十三日
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