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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%
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国元证券(000728)公告正文

国元证券:2014年第一季度报告全文

公告日期 2014-04-28
股票简称:国元证券 股票代码:000728
                    国元证券股份有限公司 2014 年第一季度报告全文国元证券股份有限公司2014 年第一季度报告
    2014 年 04 月
                                                   国元证券股份有限公司 2014 年第一季度报告全文
                              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。
    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。
                                                                       国元证券股份有限公司 2014 年第一季度报告全文
                             第二节 主要财务数据及股东变化一、主要会计数据和财务指标公司是否因会计政策变更及会计差错更正等追溯调整或重述以前年度会计数据□ 是 √ 否
                                                                                                本报告期比上年同期增减
                                                本报告期                 上年同期
                                                                                                        (%)
    营业收入(元)                                     783,532,743.81            378,509,682.22                     107.00%
    归属于上市公司股东的净利润(元)                   367,056,849.73            120,498,678.67                     204.61%归属于上市公司股东的扣除非经常性损
                                                   367,523,241.65            120,970,514.69                     203.81%益的净利润(元)
    经营活动产生的现金流量净额(元)                   249,442,364.95         -2,345,437,678.96                            -
    基本每股收益(元/股)                                          0.19                      0.06                   204.61%
    稀释每股收益(元/股)                                          0.19                      0.06                   204.61%
    加权平均净资产收益率(%)                                  2.34%                      0.81%           增加 1.53 个百分点
                                                                                                本报告期末比上年度末增
                                              本报告期末                 上年度末
                                                                                                        减(%)
    总资产(元)                                    32,015,517,204.13         30,329,934,558.63                       5.56%
    归属于上市公司股东的净资产(元)                15,863,775,861.45         15,515,830,836.39                       2.24%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)                     -211,150.11
    除上述各项之外的其他营业外收入和支出                                       -396,468.63
    减:所得税影响额                                                           -141,226.82
    合计                                                                       -466,391.92                  --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)                                    原因
    除同公司正常经营业务相关                              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
    的有效套期保值业务外,持                372,279,688.13 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:
    有交易性金融资产、交易性                              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
                                                                       国元证券股份有限公司 2014 年第一季度报告全文
    金融负债产生的公允价值变                           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
    动损益,以及处置交易性金                           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
    融资产、交易性金融负债和                           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
    可供出售金融资产取得的投                           证券业,主要的业务经营范围为:证券经纪;证券投资咨询;与
    资收益                                             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
                                                   券自营;证券资产管理;融资融券;证券投资基金代销;为期货
                                                   公司提供中间介绍业务;代销金融产品;保险兼业代理。因此本
                                                   公司根据自身正常经营业务的性质和特点将持有交易性金融资
                                                   产、交易性金融负债产生的公允价值变动损益,以及处置交易性
                                                   金融资产、交易性金融负债和可供出售金融资产取得的投资收益
                                                   作为经常性损益项目,不在非经常性损益计算表中列示。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
                                                   364,467,162.22 元,持有交易性金融资产产生的公允价值变动损益
                                                   7,812,525.91 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                                                                                             101,515
                                             前 10 名股东持股情况
                                                                    持有有限售条件          质押或冻结情况
       股东名称         股东性质   持股比例(%)    持股数量
                                                                       的股份数量       股份状态        数量安徽国元控股(集
                   国有法人               23.55%     462,498,033团)有限责任公司安徽国元信托有限
                   国有法人               15.69%     308,104,975责任公司安徽省粮油食品进
                   国有法人               12.16%     238,743,732                     质押               72,000,000出口(集团)公司安徽省皖能股份有
                   国有法人                5.01%       98,303,300限公司安徽皖维高新材料
                   国有法人                3.10%       60,975,369股份有限公司安徽全柴集团有限
                   国有法人                2.99%       58,740,055                    质押               29,300,000公司合肥兴泰控股集团
                   国有法人                1.31%       25,664,621有限公司全国社保基金一一 基金、财务产品
                                           0.87%       17,065,523
    零组合             等安徽国元实业投资
                   国有法人                0.67%       13,195,074有限责任公司
                                                                     国元证券股份有限公司 2014 年第一季度报告全文中国银行-易方达深证 100 交易型开 基金、财务产品
                                             0.64%      12,534,239放式指数证券投资 等基金
                                         前 10 名无限售条件股东持股情况
                                                                                             股份种类
              股东名称                        持有无限售条件股份数量
                                                                                     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                                       238,743,732 人民币普通股         238,743,732
    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
    全国社保基金一一零组合                                                  17,065,523 人民币普通股          17,065,523
    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-易方达深证 100 交易型开
                                                                        12,534,239 人民币普通股          12,534,239放式指数证券投资基金
                                    安徽国元控股(集团)有限责任公司、安徽国元信托有限责任公司、安徽国元实业投上述股东关联关系或一致行动的说
                                    资有限责任公司互为一致行动人,未知其他股东之间是否存在关联关系或属于《上市明
                                    公司收购管理办法》规定的一致行动人。前十大股东参与融资融券业务股东
                                    无情况说明(如有)公司股东在报告期内是否进行约定购回交易□ 是 √ 否
                                                                                国元证券股份有限公司 2014 年第一季度报告全文
                                                   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
             项目            2014年3月31日        2013年12月31日          增减百分比%                     主要原因
                                                                                         期初应收清算款收回以及应收款和预付款转固定
    应收款项                        127,235,250.53          230,610,576.41          -44.83
                                                                                         资产所致
                                                                                         公司融出资金规模增加以及计提金融产品收益等
    应收利息                        309,544,953.02          222,222,995.37           39.29
                                                                                         所致
    在建工程                         43,018,100.00          324,218,819.57          -86.73 在建工程结转固定资产所致
    卖出回购金融资产款             3,408,160,639.00       2,098,255,354.99           62.43 债券正回购融入资金增加所致
    应交税费                        161,096,315.95           91,116,385.65           76.80 利润增加导致应纳税款增加所致
    应付款项                        127,894,523.82          184,821,861.60          -30.80 代收的客户资产管理款本年年初转出所致
    应付利息                        166,675,493.26          107,483,415.92           55.07 公司发行债券计提利息所致
             项目            2014年1-3月          2013年1-3月             增减百分比%                     主要原因
    手续费及佣金净收入              278,693,323.30          212,673,022.86           31.04 投行与资管业务收入增加所致
    利息净收入                      127,511,602.88           86,558,597.17           47.31 公司融资业务规模同比增加所致
                                                                                         主要为子公司限售股解禁以及计提金融产品
    投资收益                        378,826,932.97          128,674,311.88          194.41
                                                                                         收益同比增加所致
    公允价值变动收益                  -3,679,542.85         -50,826,785.86          -92.76 本年金融产品浮动亏损比去年同期减少
    其他业务收入                      1,928,592.34            1,416,927.69           36.11 固定资产出租收入增加所致
    营业税金及附加                   31,173,493.89           18,136,999.91           71.88 收入增加导致营业税金增加
    业务及管理费                    269,374,785.88          203,779,831.39           32.19 收入和利润大幅上升导致工资、提成增加
    所得税费用                      114,827,506.15           34,889,003.62          229.12 利润增加导致应纳所得税额增加
    其他综合收益                     -19,111,824.67          31,744,224.39         -160.21 子公司限售股解禁浮盈转为实际收益导致
    综合收益总额                    347,945,025.06          152,242,903.06          128.55 投资收益等大幅增加所致
    经营活动产生的现金流量净额      249,442,364.95        -2,345,437,678.96              - 本期公司购买金融资产同比大幅减少所致
    投资活动产生的现金流量净额       -22,807,617.02         -11,027,636.06               - 本报告期间办公楼装修支出增加所致汇率变动对现金及现金等价物
                                  5,420,741.41            -2,365,965.24              - 本报告期人民币贬值所致的影响
    现金及现金等价物净增加额        232,055,489.34        -2,358,831,280.26              - 本期公司购买金融资产同比大幅减少所致
                                                                        国元证券股份有限公司 2014 年第一季度报告全文
    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
    22,179.11万元购房款。
       2、2014年1月16日,公司第七届董事会第四次会议审议通过了《关于使用部分闲置募集资金暂时补充
    流动资金的议案》、《关于对国元创新投资有限公司减少投资的议案》等议案(具体公告见2014年1月17
    日的《中国证券报》、《上海证券报》、《证券时报》和巨潮资讯网)。截至2014年2月末,公司已将80,000
    万元闲置募集资金全部补充流动资金。截至本报告期末,公司对国元创新投资有限公司共减少投资2.30亿
    元。
       3、2014年1月14日,国元股权投资有限公司完成工商变更登记,法定代表人变更为俞仕新;2014年1
    月23日,国元创新投资有限公司完成工商变更登记,法定代表人变更为万士清;2014年4月14日,长盛基
    金管理有限公司完成工商变更登记,法定代表人变更为高新。
              重要事项概述                                 披露日期                  临时报告披露网站查询索引
    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》,同意公司使用闲
    置募集资金 80,000 万元暂时补充流动资
                                                                               具体公告见 2014 年 1 月 14 日的《中国
    金,使用期限自 2013 年 2 月 6 日起不超
                                            2014 年 01 月 14 日                证券报》、《上海证券报》、《证券时报》
    过 12 个月,到期及时归还至募集资金专
                                                                               和巨潮资讯网,公告编号:2014-004
    用账户。公司于 2014 年 1 月 13 日已将上
    述用于临时补充流动资金的募集资金
    80,000 万元全部归还到募集资金专用账
    户,使用期限未超过 12 个月。
    公司第七届董事会第五次会议审议通过                                           具体公告见 2014 年 3 月 18 日的《中国
    了《关于公司发行次级债券的议案》等议 2014 年 03 月 18 日                     证券报》、《上海证券报》、《证券时报》
    案                                                                           和巨潮资讯网,公司编号:2014-012
    三、公司或持股 5%以上股东在报告期内发生或以前期间发生但持续到报告期内的承诺事项
                                                                                                       承诺
    承诺事项                   承诺方                                 承诺内容               承诺时间              履行情况
                                                                                                       期限
                                                                           国元证券股份有限公司 2014 年第一季度报告全文股改承诺收购报告书或权益变动报告书中所作承诺
               安徽国元控股(集团)有限责任公司、安
                                                        将按照法律、法规及公司章程依法行
               徽国元信托投资有限责任公司(已更名为
                                                        使股东权利,不利用股东身份影响上
               “安徽国元信托有限责任公司”)、安徽国
                                                        市公司的独立性,保持上市公司在资 2007 年 3 月 13 日 长期 正在履行中
               元实业投资有限责任公司,安徽省粮油食
                                                        产、人员、财务、业务和机构等方面
               品进出口(集团)公司,安徽省皖能股份
                                                        的独立性
               有限公司
                                                        国元集团及国元信托、国元实业不从
                                                        事、且国元集团将通过法律程序确保
               安徽国元控股(集团)有限责任公司、安
                                                        国元集团之其他全资、控股子公司均
               徽国元信托投资有限责任公司(已更名为
                                                        不从事任何在商业上与公司经营的业 2007 年 3 月 13 日 长期 正在履行中
               “安徽国元信托有限责任公司”)、安徽国
                                                        务有直接竞争的业务,规范关联交易,
               元实业投资有限责任公司
                                                        不会进行有损本公司及其他股东利益
                                                        的关联交易
                                                        不从事与公司构成竞争的业务,规范
               安徽省粮油食品进出口(集团)公司、安
                                                        关联交易,不会进行有损本公司及其 2007 年 3 月 13 日 长期 正在履行中
               徽省皖能股份有限公司
                                                        他股东利益的关联交易资产重组时所
                                                        1、公司上市以后,将严格遵守有关法作承诺
                                                        律法规关于信息披露的各项规定,诚信
                                                        地履行上市公司的信息披露义务;同
                                                        时,还将结合证券公司的特点,在定期
                                                        报告中充分披露客户资产保护状况,以
                                                        及由证券公司业务特点所决定的相关
                                                        风险及风险控制、风险管理情况、公司
                                                        合规检查、创新业务开展等信息。公司
                                                        将进一步采取切实措施,强化对投资者
               公司                                                                          2007 年 5 月 10 日 长期 正在履行中
                                                        的风险揭示和风险教育。
                                                        2、公司上市以后,将进一步严格按照
                                                        《证券公司风险控制指标管理办法》
                                                        规定,完善风险管理制度,健全风险
                                                        监控机制,发挥风险实时监控系统的
                                                        重要作用,建立以净资本为核心的风
                                                        险控制指标体系,加强对风险的动态
                                                        监控,增强识别、度量、控制风险的
                                                        能力,提高风险管理水平。首次公开发行或再融资时所作承诺其他对公司中
                                                                                        国元证券股份有限公司 2014 年第一季度报告全文
    小股东所作承
    诺
    承诺是否及时
                   是
    履行
    未完成履行的
    具体原因及下 上述为北京化二股份有限公司定向回购股份、重大资产出售暨以新增股份吸收合并国元证券有限责任公司时所作承
    一步计划(如 诺,系长期承诺
    有)
          四、对 2014 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
                                                                    期初                      期末
                                    最初投资成本 期初持股数 持股 期末持股数量                 持股    期末账面值       报告期损益     会计核算 股份
    证券品种 证券代码       证券简称
                                       (元)        量(股)       比例       (股)         比例       (元)          (元)         科目     来源
                                                                    (%)                     (%)
                                                                                                                                      交易性金
    可转债    113002    工行转债        528,958,386.09    4,811,900                 4,811,900             480,660,691.00 -1,169,266.87               购买
                                                                                                                                      融资产
                                                                                                                                      交易性金
    可转债    110015    中石化转债      266,186,889.60    1,828,470                 2,629,550             269,476,284.00   5,803,337.60              购买
                                                                                                                                      融资产
                    国元环球中国                                    38.37                     38.37                                   交易性金
    基金                                 29,280,651.64   369,215.71                369,215.71              47,106,712.36   3,318,239.76              购买
                    机会基金                                           %                         %                                    融资产
                    国元多策略中                                                                                                      交易性金
    基金                                 37,821,951.65    40,470.94 100%            40,470.94 100%         46,923,070.90   2,332,834.37              购买
                    国机会基金                                                                                                        融资产
                                                                                                                                      交易性金
    债券      122633    12 嘉兴经投债    40,390,560.00     400,000 4.44%              400,000 4.44%        39,324,000.00    -728,000.00              购买
                                                                                                                                      融资产
                                                                                                                                      交易性金
    债券      122577    12 苏州相城债    30,822,210.00     300,000 1.67%              300,000 1.67%        29,652,000.00     474,000.00              购买
                                                                                                                                      融资产
                                                                                                                                      交易性金
    股票      02319     蒙牛乳业          2,683,495.69     150,000 0.01%              104,000      0.6%     3,204,239.22     130,773.95              购买
                                                                                                                                      融资产
                                                                                                                                      交易性金
    股票      00175     吉利汽车          1,209,781.60              0     0%          500,000      0.6%     1,209,401.25        -380.35              购买
                                                                                                                                      融资产
                                                                                                                                      交易性金
    股票      01177     中国生物制药      1,048,212.08              0     0%          200,000      0.4%     1,048,412.10        200.02               购买
                                                                                                                                      融资产
                    保利文化集团                                                                                                      交易性金
    股票      03636                          18,543.77              0     0%                700     0%         18,846.83        303.06               购买
                    股份有限公司                                                                                                      融资产
                                                                                             国元证券股份有限公司 2014 年第一季度报告全文
    期末持有的其他证券投资                     20,000,000.00                  --                        --        20,677,935.66       280,034.37    --          --
    合计                                      958,420,682.12 7,900,056.65     --        9,355,836.65    --       939,301,593.32 10,442,075.91       --          --证券投资审批董事会公告披露日期 2014 年 01 月 17 日证券投资审批股东会公告披露日期
                                        不适用(如有)
          说明:本表填列合并报表中交易性金融资产科目核算的内容。
          持有其他上市公司股权情况的说明
                                                                                                                                          单位:元
                                                         占该公                            报告
                                                                                                    报告期所有者                                     股份
    证券代码        证券简称      初始投资金额            司股权        期末账面值          期损                               会计核算科目
                                                                                                         权益变动                                    来源
                                                           比例                             益
       000333      美的集团      220,756,373.44            0.30%      225,400,000.00         -      -24,600,000.00       可供出售金融资产            购入
       601688      华泰证券      192,845,945.45            0.42%      177,988,223.68         -      -14,857,721.77       可供出售金融资产            购入
       002555      顺荣股份       7,080,000.00             1.78%      96,912,000.00          -       32,392,080.00       可供出售金融资产            购入
       601818      光大银行      134,753,461.68            0.08%      96,436,340.08          -       -6,999,411.78       可供出售金融资产            购入
       600183      生益科技       87,212,806.15            0.86%      69,203,928.00          -       8,589,140.00        可供出售金融资产            购入
                                                                                                                        可供出售金融资产、
       600036      招商银行       69,927,403.18            0.02%      61,206,655.74          -       -3,646,138.96                                   购入
                                                                                                                               被套期项目
       600104      上汽集团       59,655,367.07            0.04%      55,539,206.35          -       4,388,382.10        可供出售金融资产            购入
       600837      海通证券       51,067,549.18            0.05%      40,122,731.88          -       -8,807,154.52       可供出售金融资产            购入
                                                                                                                        可供出售金融资产、
       601857      中国石油       40,449,983.43            0.00%      26,979,034.80          -           -390,486.03                                 购入
                                                                                                                              被套期项目
       600019      宝钢股份       20,524,163.83            0.03%      21,082,653.90          -           558,490.07      可供出售金融资产            购入
                                                                                                                        可供出售金融资产、
                       其他      104,741,655.97                       69,618,676.75          -       -7,939,686.95                                   购入
                                                                                                                               被套期项目
                合计             989,014,709.38                       940,489,451.18         -      -21,312,507.84                  -                 -
                注:根据合并报表中可供出售金融资产相关数据填列。
                买卖其他上市公司股权情况
                                                                                                                                          单位:元
                                            报告期买入股份         报告期卖出股份
        股份名称         期初股份数量                                                    期末股份数量         使用的资金数量         产生的投资收益
                                                  数量                  数量
       华泰证券                                23,481,296.00                               23,481,296.00         192,845,945.45
       生益科技           24,700,000.00                              12,429,800.00         12,270,200.00          87,212,806.15         -17,073,955.04
                                                                              国元证券股份有限公司 2014 年第一季度报告全文
    上汽集团        1,935,000.00         4,975,051.00        2,900,000.00        4,010,051.00            59,655,367.07           -2,542,266.13
    招商银行        1,892,907.00         4,339,950.00                            6,232,857.00            69,927,403.18
    通化东宝        4,801,313.00                             3,361,313.00        1,440,000.00            23,869,650.35           -7,589,610.79
    顺荣股份        6,900,000.00                             4,500,000.00        2,400,000.00             7,080,000.00        178,929,808.50
    六、衍生品投资情况
                                                                                                                         单位:万元
                                                                                                                 期末投资
    衍生品投                                   衍生品投                                     计提减值               金额占公 报告期实
                      是否关联 衍生品投                                      期初投资                期末投资
    资操作方 关联关系                          资初始投 起始日期 终止日期                   准备金额               司报告期 际损益金
                           交易    资类型                                      金额                    金额
    名称                                      资金额                                      (如有)               末净资产      额
                                                                                                                 比例(%)
    股指期货 --         否          股指期货    7,255.93                                0                1,903.5       0.12% -1,087.91
    合计                                        7,255.93     --           --            0                1,903.5       0.12% -1,087.91
    衍生品投资资金来源                         自有资金
    衍生品投资审批董事会公告披露日期
                                             2010 年 06 月 11 日
    (如有)
    衍生品投资审批股东会公告披露日期
                                             不适用
    (如有)
                                             股指期货套期保值业务涉及的风险点主要集中在保证金管理、套期保值比率、各
    报告期衍生品持仓的风险分析及控制措
                                             合约资金分配比例、强制减仓和强行平仓等方面。在日常风险管理中,公司运用
    施说明(包括但不限于市场风险、流动
                                             金融工程技术,综合考虑相关因素,确定追加保证金金额、套期保值比率、各合
    性风险、信用风险、操作风险、法律风
                                             约资金分配比例、强制减仓和强行平仓的应对措施等风险控制指标。公司股指期
    险等)
                                             货套期保值业务为空头套期保值,专为公司融券券源做风险对冲。
    已投资衍生品报告期内市场价格或产品
    公允价值变动的情况,对衍生品公允价
                                             采用活跃市场中的报价来确定公允价值
    值的分析应披露具体使用的方法及相关
    假设与参数的设定
    报告期公司衍生品的会计政策及会计核
    算具体原则与上一报告期相比是否发生 报告期公司衍生品的会计政策及会计核算具体原则与上一报告期相比无重大变化
    重大变化的说明
    独立董事对公司衍生品投资及风险控制
                                             不适用
    情况的专项意见
    注:衍生品初始投资金额、期末投资金额均为套期保值合约金额。
                                                                国元证券股份有限公司 2014 年第一季度报告全文七、报告期内接待调研、沟通、采访等活动登记表
                                                                                      谈论的主要内容及提供的
    接待时间              接待地点       接待方式     接待对象类型       接待对象
                                                                                               资料
                                                                                     公司经营情况、公司创新2014 年 01 月 01 日至
                        公司          电话沟通       个人             个人投资者     发展情况以及公司发展战2014 年 03 月 31 日
                                                                                     略等
                                                                        国元证券股份有限公司 2014 年第一季度报告全文
                                             第四节 财务报表
    一、财务报表
                                             合 并 资 产 负 债 表
                                                                                                              会合 01 表
    编制单位:国元证券股份有限公司(合并)                        2014 年 3 月 31 日                         单位:元
                                                              负债和所有者权益(或
             资   产         期末余额         年初余额                                     期末余额           年初余额
                                                                       股东权益)
    资    产:                                                    负     债:
    货币资金                6,943,040,411.29 6,868,720,438.20     短期借款
        其中:客户存款    5,677,494,503.95 5,763,841,899.81     应付短期融资款
    结算备付金              1,672,277,380.24 1,514,541,863.99     拆入资金
        其中:客户备付金 1,455,224,829.50 1,176,327,244.77      交易性金融负债
    拆出资金                                                      衍生金融负债                  207,000.00
    融出资金                4,814,724,895.92 4,468,220,946.41     卖出回购金融资产款 3,408,160,639.00         2,098,255,354.99
    交易性金融资产            939,301,593.32   876,449,194.02     代理买卖证券款           7,117,122,717.75   7,120,767,294.07
    衍生金融资产                                                  代理承销证券款
    买入返售金融资产        4,508,720,519.30 3,911,404,775.88     应付职工薪酬              133,412,923.89     168,725,579.91
    应收款项                  127,235,250.53   230,610,576.41     应交税费                  161,096,315.95      91,116,385.65
    应收利息                  309,544,953.02   222,222,995.37     应付款项                  127,894,523.82     184,821,861.60
    存出保证金                148,219,401.25   174,300,805.69     应付利息                  166,675,493.26     107,483,415.92
    可供出售金融资产        9,066,805,223.86 8,613,247,618.97     预计负债
    持有至到期投资             30,421,436.58                      长期借款
    长期股权投资              917,229,931.08   902,083,898.85     应付债券                 4,977,708,429.14   4,975,973,865.36
    投资性房地产                                                  递延所得税负债             36,412,583.47      41,713,772.96
    固定资产                1,499,328,187.39 1,194,527,236.15     其他负债                   23,050,716.40      25,246,191.78
    在建工程                   43,018,100.00   324,218,819.57             负债合计        16,151,741,342.68 14,814,103,722.24
                                                              所有者权益(或股东权
    无形资产                   26,553,977.38    27,956,283.67
                                                              益):
    商誉                      120,876,333.75   120,876,333.75     实收资本(或股本) 1,964,100,000.00         1,964,100,000.00
    递延所得税资产            120,838,264.91   135,476,229.42     资本公积                 9,756,280,324.59   9,780,561,055.50
    其他资产                  727,381,344.31   745,076,542.28            减:库存股
                                                                          国元证券股份有限公司 2014 年第一季度报告全文
                                                                  盈余公积                660,163,317.78     660,163,317.78
                                                                  一般风险准备           1,269,273,980.92   1,269,273,980.92
                                                                  未分配利润             2,285,398,232.67   1,918,341,382.94
                                                                 外币报表折算差额          -71,439,994.51     -76,608,900.75
                                                                 归属于母公司的所有
                                                                                        15,863,775,861.45 15,515,830,836.39
                                                                者权益合计
                                                                 少数股东权益
                                                                所有者权益(或股东权
                                                                                        15,863,775,861.45 15,515,830,836.39
                                                                         益)合计
                                                                负债和所有者权益(或
           资产总计       32,015,517,204.13 30,329,934,558.63                           32,015,517,204.13 30,329,934,558.63
                                                                      股东权益)总计
    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
                                                    财务报表 第 1 页
                                                  母公司资产负债表
                                                                                                              会证 01 表
    编制单位:国元证券股份有限公司(母公司)                     2014 年 3 月 31 日                          单位:元
                                                                 负债和所有者权益
    资    产                    期末余额            年初余额                                  期末余额            年初余额
                                                                 (或股东权益)
    资    产:                                                       负    债:
    货币资金                5,828,982,467.88    5,715,618,161.68     短期借款
       其中:客户存款     4,943,626,888.01    4,957,618,785.07     应付短期融资款
    结算备付金              1,428,680,638.86    1,278,300,789.94     拆入资金
       其中:客户备付金   1,255,870,931.49      986,392,570.77     交易性金融负债
    拆出资金                                                         衍生金融负债               207,000.00
                                                                   卖出回购金融资产
    融出资金                4,365,978,725.65    4,091,544,645.31                          3,408,160,639.00    2,098,255,354.99
                                                                 款
    交易性金融资产            819,112,975.00      733,965,893.80     代理买卖证券款       5,984,573,448.69    5,870,486,546.33
    衍生金融资产                                                     代理承销证券款
    买入返售金融资产        4,407,715,469.30    3,911,404,775.88     应付职工薪酬           126,836,722.05      150,283,576.59
    应收款项                   59,906,525.91      112,494,781.77        应交税费             52,760,993.59       38,407,768.35
    应收利息                 245,464,218.48       220,357,550.93        应付款项             94,333,607.76      166,353,552.88
    存出保证金                 14,802,673.80       11,595,128.59        应付利息            166,675,493.26      107,483,415.92
                                                                           国元证券股份有限公司 2014 年第一季度报告全文
    可供出售金融资产         6,102,535,950.22      5,416,705,080.17     预计负债
    持有至到期投资                                                      长期借款
    长期股权投资             5,173,375,326.41      5,388,229,294.18     应付债券              4,977,708,429.14    4,975,973,865.36
    投资性房地产                                                        递延所得税负债
    固定资产                 1,489,531,684.11      1,183,994,386.98     其他负债                 11,620,593.89       12,414,530.34
    在建工程                      43,018,100.00      324,218,819.57        负债合计          14,822,876,927.38   13,419,658,610.76
                                                                    所有者权益(或股东
    无形资产                      23,113,849.54       25,104,058.61
                                                                    权益):
    递延所得税资产               114,943,134.00      129,600,670.61     实收资本(或股本) 1,964,100,000.00       1,964,100,000.00
    其他资产                     145,602,225.25       93,097,066.74     资本公积              9,688,050,037.68    9,655,718,162.49
                                                                          减:库存股
                                                                      盈余公积               660,163,317.78      660,163,317.78
                                                                      一般风险准备          1,269,273,980.92    1,269,273,980.92
                                                                      未分配利润            1,858,299,700.65    1,667,317,032.81
                                                                      外币报表折算差额
                                                                    所有者权益(或股东
                                                                                           15,439,887,037.03   15,216,572,494.00
                                                                        权益)合计
                                                                     负债和所有者权益
       资产总计           30,262,763,964.41 28,636,231,104.76                              30,262,763,964.41   28,636,231,104.76
                                                                    (或股东权益)总计
    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
                                                       财务报表 第 2 页
                                                         合并利润表
                                                                                                                     会合 02 表
    编制单位:国元证券股份有限公司(合并)                                 2014 年 1-3 月                              单位:元
                     项   目                                    本期金额                                上期金额
    一、营业收入                                                             783,532,743.81                         378,509,682.22
    手续费及佣金净收入                                                     278,693,323.30                         212,673,022.86
       其中:经纪业务手续费净收入                                        205,174,992.34                         206,458,623.20
               投资银行业务手续费净收入                                   59,470,532.00                              850,000.00
               资产管理业务手续费净收入                                   13,852,714.25                             4,731,329.99
    利息净收入                                                             127,511,602.88                            86,558,597.17
    投资收益(损失以“-”号填列)                                          378,826,932.97                         128,674,311.88
                                                                     国元证券股份有限公司 2014 年第一季度报告全文
        其中:对联营企业和合营企业的投资收益                     13,746,838.57                         19,522,137.36
    公允价值变动收益(损失以“-”号填列)                          -3,679,542.85                        -50,826,785.86
    汇兑收益(损失以“-”号填列)                                       251,835.17                           13,608.48
    其他业务收入                                                       1,928,592.34                       1,416,927.69
    二、营业支出                                                    301,040,769.19                        222,655,593.07
    营业税金及附加                                                 31,173,493.89                         18,136,999.91
    业务及管理费                                                  269,374,785.88                        203,779,831.39
    资产减值损失                                                         -85,669.57
    其他业务成本                                                        578,158.99                          738,761.77
    三、营业利润(亏损以“-”号填列)                               482,491,974.62                        155,854,089.15
    加:营业外收入                                                        64,496.47                          22,793.77
    减:营业外支出                                                       672,115.21                         489,200.63
    四、利润总额(亏损总额以“-”号填列)                           481,884,355.88                        155,387,682.29
    减:所得税费用                                                114,827,506.15                         34,889,003.62
    五、净利润(净亏损以“-”号填列)                               367,056,849.73                        120,498,678.67
    归属于母公司所有者(或股东)的净利润                       367,056,849.73                        120,498,678.67
    少数股东损益六、每股收益:
    (一)基本每股收益                                                         0.19                               0.06
    (二)稀释每股收益                                                         0.19                               0.06
    七、其他综合收益                                                -19,111,824.67                         31,744,224.39
    八、综合收益总额                                                347,945,025.06                        152,242,903.06
    归属于母公司所有者(或股东)的综合收益总
                                                                347,945,025.06                        152,242,903.06额
    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
                                                  财务报表 第 3 页
                                                             国元证券股份有限公司 2014 年第一季度报告全文
                                              母公司利润表
                                                                                                   会证 02 表
    编制单位:国元证券股份有限公司(母公司)                     2014 年 1-3 月                         单位:元
                       项   目                               本期金额                       上期金额
    一、营业收入                                                        514,993,768.39                 305,816,988.74
    手续费及佣金净收入                                                259,313,683.88                 195,605,011.41
       其中:经纪业务手续费净收入                                   188,941,847.83                 190,961,552.03
               投资银行业务手续费净收入                              59,470,532.00                      850,000.00
               资产管理业务手续费净收入                              10,706,219.34                     3,785,389.71
    利息净收入                                                        107,779,325.61                  63,842,271.27
    投资收益(损失以“-”号填列)                                     155,744,455.08                  92,643,460.50
       其中:对联营企业和合营企业的投资收益                          13,746,838.57                  19,522,137.36
    公允价值变动收益(损失以“-”号填列)                              -9,741,548.03                 -47,639,438.89
    汇兑收益(损失以“-”号填列)                                          85,905.59                       -25,098.88
    其他业务收入                                                        1,811,946.26                     1,390,783.33
    二、营业支出                                                        279,711,157.70                 210,880,374.23
    营业税金及附加                                                     30,145,277.77                  16,800,308.81
    业务及管理费                                                      248,987,720.94                 193,341,303.65
    资产减值损失
    其他业务成本                                                          578,158.99                      738,761.77
    三、营业利润(亏损以“-”号填列)                                   235,282,610.69                  94,936,614.51
    加:营业外收入                                                         60,289.79                       22,793.77
    减:营业外支出                                                        663,589.87                      489,104.31
    四、利润总额(亏损总额以“-”号填列)                               234,679,310.61                  94,470,303.97
    减:所得税费用                                                     43,696,642.77                  19,247,828.23
    五、净利润(净亏损以“-”号填列)                                   190,982,667.84                  75,222,475.74
    六、其他综合收益                                                     32,331,875.19                  31,641,358.69
    七、综合收益总额                                                    223,314,543.03                 106,863,834.43
    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
                                                 财务报表 第 4 页
                                                           国元证券股份有限公司 2014 年第一季度报告全文
                                             合并现金流量表
                                                                                             会合 03 表
    编制单位:国元证券股份有限公司(合并)                  2014 年 1-3 月                        单位:元
                   项      目                           本期金额                         上期金额一、经营活动产生的现金流量:
    处置交易性金融资产净增加额
    收取利息、手续费及佣金的现金                                 516,712,069.65                  318,008,313.03
    拆入资金净增加额                                                                             500,000,000.00
    回购业务资金净增加额                                         712,589,540.59                1,197,181,299.19
    融出资金净减少额
    代理买卖证券收到的现金净额                                       -3,644,576.32               144,775,150.13
    收到其他与经营活动有关的现金                                 206,250,095.31                  223,507,455.79
    经营活动现金流入小计                                     1,431,907,129.23               2,383,472,218.14
    处置交易性金融资产净减少额                                   370,756,083.66                3,543,171,271.23
    融出资金净增加额                                             346,503,949.51                  908,093,548.70
    代理买卖证券支付的现金净额
    支付利息、手续费及佣金的现金                                  70,314,096.47                   24,568,077.84
    支付给职工以及为职工支付的现金                               212,574,036.71                  111,172,478.54
    支付的各项税费                                                69,094,649.68                   73,488,616.82
    支付其他与经营活动有关的现金                                 113,221,948.25                   68,415,903.97
      经营活动现金流出小计                                    1,182,464,764.28               4,728,909,897.10
       经营活动产生的现金流量净额                              249,442,364.95                -2,345,437,678.96二、投资活动产生的现金流量:
    收回投资所收到的现金
    取得投资收益收到的现金
    处置子公司及其他营业单位收到的现金净额
    收到其他与投资活动有关的现金
    投资活动现金流入小计
    投资支付的现金
    购建固定资产、无形资产和其他长期资产所支
                                                                22,596,466.91                   11,027,636.06付的现金
    取得子公司及其他营业单位支付的现金净额
    支付其他与投资活动有关的现金                                       211,150.11
    投资活动现金流出小计                                       22,807,617.02                   11,027,636.06
      投资活动产生的现金流量净额                                -22,807,617.02                  -11,027,636.06三、筹资活动产生的现金流量:
    吸收投资收到的现金
                                                             国元证券股份有限公司 2014 年第一季度报告全文其中:子公司吸收少数股东投资收到的现金
    取得借款收到的现金
    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
    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
    其中:子公司付给少数股东的股利、利润
    支付其他与筹资活动有关的现金
      筹资活动现金流出小计
    筹资活动产生的现金流量净额
    四、汇率变动对现金及现金等价物的影响                                5,420,741.41                     -2,365,965.24
    五、现金及现金等价物净增加额                                     232,055,489.34                -2,358,831,280.26
        加:期初现金及现金等价物余额                           8,383,262,302.19                11,067,435,054.59
    六、期末现金及现金等价物余额                                   8,615,317,791.53                   8,708,603,774.33
    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
                                                财务报表 第 5 页
                                          母公司现金流量表
                                                                                                  会证 03 表
    编制单位:国元证券股份有限公司(母公司)                     2014 年 1-3 月                        单位:元
             项        目                        本期金额                              上期金额一、经营活动产生的现金流量:
    处置交易性金融资产净增加额
    收取利息、手续费及佣金的现金                          473,679,751.20                             279,486,524.15
    拆入资金净增加额                                                                                 500,000,000.00
    回购业务资金净增加额                                  813,594,590.59                            1,197,181,299.19
    融出资金净减少额
    代理买卖证券收到的现金净额                            114,086,902.36                             -111,877,076.50
    收到其他与经营活动有关的现金                           25,893,338.80                             131,844,759.88
    经营活动现金流入小计                                1,427,254,582.95                           1,996,635,506.72
    处置交易性金融资产净减少额                             737,195,812.37                            1,280,314,980.44
    融出资金净增加额                                       274,434,080.34                             881,205,432.28代理买卖证券支付的现金净额
    支付利息、手续费及佣金的现金                            65,546,194.71                               24,568,077.84
    支付给职工以及为职工支付的现金                         188,822,077.26                             100,830,850.93
                                                           国元证券股份有限公司 2014 年第一季度报告全文
    支付的各项税费                                         65,615,441.43                            68,819,974.09
    支付其他与经营活动有关的现金                         120,198,480.15                            61,636,213.40
      经营活动现金流出小计                           1,451,812,086.26                        2,417,375,528.98
    经营活动产生的现金流量净额                        -24,557,503.31                         -420,740,022.26二、投资活动产生的现金流量:
    收回投资所收到的现金                                230,000,000.00
    取得投资收益收到的现金                               80,000,000.00处置子公司及其他营业单位收到的现金净额
    收到其他与投资活动有关的现金
      投资活动现金流入小计                            310,000,000.00                                           -
    投资支付的现金                                                                             1,500,000,000.00
    购建固定资产、无形资产和其他长期资产
                                                       21,581,568.79                             8,884,622.80所支付的现金
    支付其他与投资活动有关的现金                            202,678.37
      投资活动现金流出小计                             21,784,247.16                         1,508,884,622.80
    投资活动产生的现金流量净额                          288,215,752.84                         -1,508,884,622.80三、筹资活动产生的现金流量:
    吸收投资收到的现金
    取得借款收到的现金
    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
    偿还债务支付的现金
    分配股利、利润或偿付利息支付的现金
    支付其他与筹资活动有关的现金筹资活动现金流出小计
    筹资活动产生的现金流量净额
    四、汇率变动对现金及现金等价物的影响                       85,905.59                                -25,098.88
    五、现金及现金等价物净增加额                          263,744,155.12                         -1,929,649,743.94
    加:期初现金及现金等价物余额                         6,993,918,951.62                        8,443,825,977.06
    六、期末现金及现金等价物余额                         7,257,663,106.74                        6,514,176,233.12
    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
                                              财务报表 第 6 页
                                  国元证券股份有限公司 2014 年第一季度报告全文二、审计报告第一季度报告是否经过审计□ 是 √ 否公司第一季度报告未经审计。
                                                 国元证券股份有限公司
                                                  法定代表人:蔡     咏
                                                  二〇一四年四月二十五日
数据加载中...
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