凤凰网首页 手机凤凰网

凤凰卫视
  • [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%
  • [美洲] 道琼斯 12660.50 -0.58% 纳斯达克 2816.55 0.40% 标普500 1316.33 -0.16% 加拿大 12466.50 0.02% 巴西 62904.20 -0.08%
  • [欧洲] 英国富时 5733.45 -1.07% 法国CAC 3318.76 -1.32% 德国DAX 6511.98 -0.43% 俄罗斯 1508.04 -0.44% Stoxx50 2436.62 -0.97%
  • [其他] 纽约原油 99.70 0.00% 纽约黄金 1738.40 0.00% 人民币/美元 6.33 0.00% 美元指数 78.83 0.00% 基金指数 3782.30 1.37%
  • [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%
  • [美洲] 道琼斯 12660.50 -0.58% 纳斯达克 2816.55 0.40% 标普500 1316.33 -0.16% 加拿大 12466.50 0.02% 巴西 62904.20 -0.08%
  • [欧洲] 英国富时 5733.45 -1.07% 法国CAC 3318.76 -1.32% 德国DAX 6511.98 -0.43% 俄罗斯 1508.04 -0.44% Stoxx50 2436.62 -0.97%
  • [其他] 纽约原油 99.70 0.00% 纽约黄金 1738.40 0.00% 人民币/美元 6.33 0.00% 美元指数 78.83 0.00% 基金指数 3782.30 1.37%
免费注册
国元证券(000728)公告正文

国元证券:2014年第三季度报告全文

公告日期 2014-10-28
股票简称:国元证券 股票代码:000728
                    国元证券股份有限公司 2014 年第三季度报告全文国元证券股份有限公司2014 年第三季度报告
    2014 年 10 月
                                                   国元证券股份有限公司 2014 年第三季度报告全文
                              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 年第三季度报告全文
                             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
                                                                                                        本报告期末比上年
                                                                        上年度末
                                   本报告期末                                                                  度末增减
                                                             调整前                   调整后                   调整后
    总资产(元)                       39,628,804,680.20      30,329,934,558.63         30,493,911,597.46                29.96%归属于上市公司股东的净资产
                                   16,669,013,252.63      15,515,830,836.39         15,638,813,615.51                   6.59%(元)
                                                       本报告期比上年同期                               年初至报告期末比
                                    本报告期                                      年初至报告期末
                                                              增减                                       上年同期增减
    营业收入(元)                       796,585,717.82                   47.36%         2,188,513,028.28                57.31%归属于上市公司股东的净利润
                                     335,698,064.39                   45.58%          942,733,502.16                 79.10%(元)归属于上市公司股东的扣除非经
                                     334,952,259.80                   44.40%          943,014,220.17                 78.47%常性损益的净利润(元)经营活动产生的现金流量净额
                                        --                     --                    2,833,207,249.31(元)
    基本每股收益(元/股)                           0.17                  45.58%                     0.48                79.10%
    稀释每股收益(元/股)                           0.17                  45.58%                     0.48                79.10%
    加权平均净资产收益率                           2.00%     增加 0.49 个百分点                    5.84% 增加 2.37 个百分点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)                         -365,930.63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
                                                                               264,234.11一标准定额或定量享受的政府补助除外)
    除上述各项之外的其他营业外收入和支出                                           -208,483.54
    减:所得税影响额                                                                -29,462.05
    合计                                                                           -280,718.01                --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
                                                                      国元证券股份有限公司 2014 年第三季度报告全文说明原因√ 适用 □ 不适用
            项目               涉及金额(元)                                      原因
                                                    根据中国证券监督管理委员会公告[2008]43 号《公开发行证券的公
                                                    司信息披露解释性公告第 1 号--非经常性损益[2008]》第 14 条规定:
                                                    除同公司正常经营业务相关的有效套期保值业务外,持有交易性
                                                    金融资产、交易性金融负债产生的公允价值变动损益,以及处置
                                                    交易性金融资产、交易性金融负债和可供出售金融资产取得的投除同公司正常经营业务相关
                                                    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的有效套期保值业务外,持
                                                    证券业,主要的业务经营范围为:证券经纪;证券投资咨询;与有交易性金融资产、交易性
                                                    证券交易、证券投资活动有关的财务顾问;证券承销与保荐;证金融负债产生的公允价值变
                                       797,802,508.02 券自营;证券资产管理;融资融券;证券投资基金代销;为期货动损益,以及处置交易性金
                                                    公司提供中间介绍业务;代销金融产品;保险兼业代理。因此本融资产、交易性金融负债和
                                                    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可供出售金融资产取得的投
                                                    产、交易性金融负债产生的公允价值变动损益,以及处置交易性资收益
                                                    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
                                                    728,140,472.85 元,持有交易性金融资产产生的公允价值变动损益
                                                    69,662,035.17 元。二、报告期末股东总数及前十名股东持股情况表1、报告期末普通股股东总数及前十名普通股股东持股情况表
                                                                                                               单位:股
    报告期末普通股股东总数                                                                                         100,236
                                           前 10 名普通股股东持股情况
                                                                    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(集团)有限
                           国有法人        23.55%     462,498,033                  0责任公司
    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
                           国有法人         9.45%     185,643,732                  0 质押                 72,000,000团)公司
    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
                           国有法人         3.10%      60,975,369                  0公司
    安徽全柴集团有限公司       国有法人         2.99%      58,740,055                  0 质押                 29,300,000
    安徽国海投资发展有限公司 境内非国有         2.40%      47,195,224                  0
                                                                      国元证券股份有限公司 2014 年第三季度报告全文
                            法人
    合肥兴泰控股集团有限公司 国有法人             1.31%      25,664,621              0安徽国元实业投资有限责任
                            国有法人          0.67%      13,195,074              0公司中国民生银行股份有限公司
                            基金、理财
    -银华深证 100 指数分级证                     0.57%      11,151,057              0
                            产品等券投资基金
                                         前 10 名无限售条件普通股股东持股情况
                                                                                              股份种类
               股东名称                        持有无限售条件普通股股份数量
                                                                                      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                                        185,643,732 人民币普通股         185,643,732
    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
    安徽国海投资发展有限公司                                                 47,195,224 人民币普通股          47,195,224
    合肥兴泰控股集团有限公司                                                 25,664,621 人民币普通股          25,664,621
    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中国民生银行股份有限公司-银华深证
                                                                         11,151,057 人民币普通股          11,151,057100 指数分级证券投资基金
                                         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
    上述股东关联关系或一致行动的说明         业投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《上市公司收购管理办法》规定的一致行动人。前 10 名无限售条件普通股股东参与融资
                                         无融券业务股东情况说明(如有)注:2014年8月,国务院国资委同意安徽省国资委将安徽国元实业投资有限责任公司(以下简称“国元实业”)所持国元证券1319.5074万股股份无偿划转给安徽国元控股(集团)有限责任公司(以下简称“国元集团”)持有(具体公告见2014年8月26日《中国证券报》、《证券时报》、《上海证券报》和巨潮资讯网)。国元集团与国元实业于2014年10月14日完成该1319.5074万股国元证券股份(占公司总股本的0.67%)的过户登记手续。本次过户后,国元集团持有公司47569.3107万股(均为无限售流通股),占公司总股本的24.22%,仍为公司第一大股东,国元实业不再持有公司股份。公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内是否进行约定购回交易□ 是 √ 否公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内未进行约定购回交易。2、报告期末优先股股东总数及前十名优先股股东持股情况表□ 适用 √ 不适用
                                                                               国元证券股份有限公司 2014 年第三季度报告全文
                                                  第三节 重要事项
         一、报告期主要会计报表项目、财务指标发生变动的情况及原因
         √ 适用 □ 不适用
                 项目             2014年9月30日      2013年12月31日 增减百分比%                          主要原因
    货币资金                           9,654,703,232.06 6,868,720,438.20         40.56% 客户证券交易结算资金增加所致
    融出资金                           7,957,944,021.61 4,468,220,946.41         78.10% 融资融券业务融出资金规模增加所致
    买入返售金融资产                   5,349,116,027.48 3,911,404,775.88         36.76% 约定购回与股票质押业务规模增加所致
    应收款项                            409,944,789.77     230,610,576.41        77.76% 应收证券清算款增加
    应收利息                            342,507,389.54     222,222,995.37        54.13% 信用业务融出资金规模增加导致计提应收利息增加
    存出保证金                          239,460,378.83     174,300,805.69        37.38% 期货业务上存保证金增加所致
    在建工程                             45,146,667.00     324,218,819.57        -86.08% 项目竣工结转固定资产
    递延所得税资产                       65,910,255.21     135,476,229.42        -51.35% 金融资产公允价值上升导致纳税差异变化
    短期借款                            498,457,340.00               0.00                 子公司国元香港银行借款增加
    卖出回购金融资产款                 6,786,629,996.50 2,098,255,354.99        223.44% 金融资产收益权转让导致融资规模增加所致
    代理买卖证券款                     9,926,460,292.85 7,120,767,294.07         39.40% 客户证券交易结算资金存款增加所致
    应付职工薪酬                        224,171,094.21     168,725,579.91        32.86% 公司计提应发未发业务提成奖金等所致
    应交税费                            167,704,319.62      91,116,385.65        84.06% 利润总额增加导致应纳税所得额增加所致
    应付利息                             59,283,130.69     107,483,415.92        -44.84% 支付公司债券利息所致
    递延所得税负债                      126,400,146.00      82,708,032.67        52.83% 金融资产公允价值上升导致纳税差异变化所致
                 项目               2014年1-9月       2013年1-9月       增减百分比%                      主要原因手续费及佣金净收入-投行业务净收
                                    163,995,827.90      49,394,394.90       232.01% 投资银行业务实现项目收入增加所致入手续费及佣金净收入-资产管理业务
                                     52,029,532.93      19,403,181.32       168.15% 客户资产管理业务规模增加导致收入大幅增加净收入
    利息净收入                          431,099,841.05     268,575,442.43        60.51% 融资类业务规模增加导致利息收入增加
                                                                                      自营投资业务收益增加以及子公司出售解禁的
    投资收益                            796,418,236.01     413,409,984.22        92.65%
                                                                                      限售股收益增加所致
    公允价值变动收益                     73,250,441.17     -25,979,683.00                 交易性金融资产价值上升所致
    其他业务收入                          9,620,738.38       4,150,309.68       131.81% 固定资产出租收入增加
    营业税金及附加                       96,192,259.28      43,734,974.91       119.94% 收入增加导致营业税金及附加增加
    所得税费用                          275,585,157.53     137,022,125.69       101.12% 利润总额增加导致的应纳税所得额增加
                                                                          国元证券股份有限公司 2014 年第三季度报告全文
    其他综合收益                         283,876,134.96   137,874,783.52    105.89% 可供出售金融资产公允价值上升所致
                                                                                 净利润和可供出售金融资产公允价值变动收益
    综合收益总额                       1,226,609,637.12   664,242,338.19    84.66%
                                                                                 增加所致
                                                                                 客户交易结算资金和回购融入资金大幅增加等
    经营活动产生的现金流量净额         2,833,207,249.31 -6,877,248,338.79
                                                                                 所致
    投资活动产生的现金流量净额           -84,825,958.25    -70,408,517.16            联营公司现金分红下降等所致
    筹资活动产生的现金流量净额            62,092,971.58 4,776,570,000.00    -98.70% 去年同期发行公司债券等导致同比数下降
    汇率变动对现金及现金等价物的影响       5,621,639.70    -12,701,670.02            人民币对港币贬值所致
                                                                                 客户交易结算资金和回购融入资金大幅增加等
    现金及现金等价物净增加额           2,816,095,902.34 -2,183,788,525.97
                                                                                 所致
      二、重要事项进展情况及其影响和解决方案的分析说明
      √ 适用 □ 不适用
           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6.20亿
      元。
           3、2014 年 8 月 27 日,国元期货有限公司完成工商变更登记,法定代表人变更为洪明。
           4、2014 年 8 月 18 日公司第七届董事会第十二次会议和 2014 年 9 月 5 日公司 2014 年第一次临时股东
      大会审议通过了《关于修改<公司章程>的议案》等议案(具体公告见 2014 年 8 月 19 日和 9 月 9 日的《中
      国证券报》、《上海证券报》、《证券时报》和巨潮资讯网)。2014 年 10 月 14 日,公司取得中国证监会
      安徽监管局《关于核准国元证券股份有限公司变更公司章程重要条款的批复》(皖证监函字﹝2014﹞253
      号),核准公司变更公司章程重要条款。
                                                                            国元证券股份有限公司 2014 年第三季度报告全文
                    重要事项概述                             披露日期                      临时报告披露网站查询索引
       公司第七届董事会第十三次会议审议通
       过了《关于全资子公司国元股权投资有限
       公司参股国元农村人寿保险有限公司
                                                                                     具体公告见 2014 年 8 月 29 日的《中国
       (筹)的议案》,同意公司全资子公司国
                                              2014 年 08 月 29 日                    证券报》、《上海证券报》、《证券时报》
       元股权投资有限公司与安徽国元控股(集
                                                                                     和巨潮资讯网,公告编号:2014-048
       团)有限公司及国元农业保险股份有限公
       司联合其他六家法人单位共同发起设立
       国元农村人寿保险股份有限公司(筹)。
       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
       √ 适用 □ 不适用
                                                                                                             承诺
       承诺事项                    承诺方                            承诺内容                  承诺时间             履行情况
                                                                                                             期限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、
                                                        将按照法律、法规及公司章程依法行
                     安徽国元信托投资有限责任公司(已
                                                        使股东权利,不利用股东身份影响上
                     更名为“安徽国元信托有限责任公
                                                        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
                     司”)、安徽国元实业投资有限责任公
                                                        产、人员、财务、业务和机构等方面
                     司,安徽省粮油食品进出口(集团)
                                                        的独立性
                     公司,安徽省皖能股份有限公司
                                                        国元集团及国元信托、国元实业不从
                     安徽国元控股(集团)有限责任公司、事、且国元集团将通过法律程序确保
                     安徽国元信托投资有限责任公司(已 国元集团之其他全资、控股子公司均
                     更名为“安徽国元信托有限责任公     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
                     司”)、安徽国元实业投资有限责任公 务有直接竞争的业务,规范关联交易,资产重组时所作承
                     司                                 不会进行有损本公司及其他股东利益诺
                                                        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、
                                                       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
                     安徽省皖能股份有限公司
                                                       他股东利益的关联交易
                                                        1、公司上市以后,将严格遵守有关法
                                                        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
                     公司                               时,还将结合证券公司的特点,在定期 2007 年 5 月 10 日 长期 正在履行中
                                                        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
                                                                                   国元证券股份有限公司 2014 年第三季度报告全文
                                                              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
                                                              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小股东所作承诺承诺是否及时履行 是未完成履行的具体
                       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原因及下一步计划
                       承诺,系长期承诺(如有)
       四、对 2014 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、证券投资情况
       √ 适用 □ 不适用
                                                                                     期末
    证券   证券                                    期初持股数 期初持 期末持股数                                      报告期损益   会计核算 股份
                证券简称 最初投资成本(元)                                          持股 期末账面值(元)
    品种   代码                                    量(股)       股比例    量(股)                                   (元)       科目     来源
                                                                                     比例
    可转                                                                                                                          交易性金
       110023 民生转债                                                                                                                   购买
    债                            376,734,910.70              -         - 4,108,490.00          -   385,458,531.80    8,723,621.10 融资产
    可转                                                                                                                          交易性金
       113002 工行转债                                                                                                                   购买
    债                            339,093,916.64   4,811,900.00         - 3,110,770.00          -   338,980,606.90   33,064,807.71 融资产
    可转            中石化转                                                                                                      交易性金
       110015                                                                                                                            购买
    债              债            115,227,564.99 1,828,470.00           - 1,124,310.00          -   123,291,834.60    6,781,562.30 融资产
                国元环球
                                                                                                                              交易性金
    基金            中国机会                                                                                                                 购买
                               29,258,867.92    369,215.71      38.37   369,215.71 30.46         46,389,935.08    2,639,149.88 融资产
                基金
    基金            国元多策                                                                                                      交易性金 购买
                                                                                              国元证券股份有限公司 2014 年第三季度报告全文
                 略中国机           37,793,813.51         40,470.94 100.00           40,470.94 100.00          46,074,338.71     1,545,517.46 融资产
                 会基金
    企业             12 嘉 兴 经                                                                                                                    交易性金
        122633                                                                                                                                             购买
    债               投债               40,390,560.00      400,000.00         4.44      400,000.00      4.44       40,744,000.00     2,626,312.33 融资产
    企业             12 苏 州 相                                                                                                                    交易性金
        122577                                                                                                                                             购买
    债               城债               30,822,210.00      300,000.00         1.67      300,000.00      1.67       30,858,000.00     3,243,750.00 融资产
                                                                                                                                                交易性金
    股票 02319 蒙牛乳业                                                                                                                                        购买
                                     1,340,749.63      150,000.00         0.01       52,000.00      0.00        1,318,653.44      -139,089.69 融资产
                 中国生物                                                                                                                       交易性金
    股票    01177                                                                                                                                              购买
                 制药                1,047,432.25                   -         -     200,000.00      0.00        1,225,143.16      177,710.91 融资产
                                                                                                                                                交易性金
    股票 02822 南方 A50                                                                                                                                        购买
                                     1,063,470.86                   -         -     150,000.00         -        1,116,179.91         52,709.05 融资产
    期末持有的其他证券投资                                                                                                                             --       --
                                    92,214,811.23                   -         -     225,545.00      0.00       92,425,686.76      210,875.53
    合计                           1,064,988,307.73      7,900,056.65                 10,080,801.65            1,107,882,910.36    58,926,926.58       --       --证券投资审批董事会公告
                               2014 年 01 月 17 日披露日期证券投资审批股东会公告
                               不适用披露日期(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
    证券代      证券                                                                                            报告期所有者权        会计核算科         股份
                          初始投资金额            司股权         期末账面值                 报告期损益
       码        简称                                                                                                 益变动                目            来源
                                                   比例
                 徽商                                                                                                                  可供出售金
    03698                     159,596,329.18      1.05%            308,632,781.93           18,136,124.76          -14,940,586.08                        抵债
                 银行                                                                                                                     融资产
                 美的                                                                                                                  可供出售金
    000333                    220,756,373.44      0.30%            248,625,000.00           10,000,000.00           -1,375,000.00                        购入
                 集团                                                                                                                     融资产
                 华泰                                                                                                                  可供出售金
    601688                    162,178,222.97      0.36%            182,400,000.00            3,000,000.00          20,221,777.03                         购入
                 证券                                                                                                                     融资产
                 顺荣                                                                                                                  可供出售金
    002555                      7,080,000.00      1.78%            111,600,000.00                480,000.00        47,080,080.00                         购入
                 股份                                                                                                                     融资产
                 光大                                                                                                                  可供出售金
    601818                    134,753,461.68      0.08%            107,713,170.17            6,688,326.81            4,277,418.31                        购入
                 银行                                                                                                                     融资产
                 中国                                                                                                                  可供出售金
    600028                     49,867,254.77      0.01%                50,372,493.20         1,200,000.00             505,238.43                         购入
                 石化                                                                                                                     融资产
    600837      海通           51,067,549.18      0.05%                44,812,401.84             521,074.44         -4,117,484.56     可供出售金         购入
                                                                                   国元证券股份有限公司 2014 年第三季度报告全文
            证券                                                                                                              融资产
            华润                                                                                                            可供出售金
    600062                   41,021,448.11       0.37%             39,846,651.89        716,862.44              262,117.14                        购入
            双鹤                                                                                                              融资产
            中国                                                                                                            可供出售金
    601857                   38,171,983.43       0.00%             26,095,510.67        527,772.49              267,989.84                        购入
            石油                                                                                                              融资产
            通化                                                                                                            可供出售金
    600867                   23,869,650.35       0.15%             22,128,480.00        288,000.00            -2,122,560.00                       购入
            东宝                                                                                                              融资产
                                                                                                                            可供出售金
            其他         88,358,542.32                         63,980,586.47       2,460,158.88            6,405,648.67    融资产、被套       购入
                                                                                                                              期项目
    合计                976,720,815.43                      1,206,207,076.17      44,018,319.82           56,464,638.78                        -
          注:根据合并报表中可供出售金融资产、被套期项目相关数据填列。
         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                      0.00      27,481,296.00         7,481,296.00      20,000,000.00        162,178,222.97              3,679,097.44
    通化东宝            4,801,313.00          144,001.00          3,361,314.00       1,584,000.00            23,869,650.35           -7,589,610.79
    中国石化                                17,505,953.00         8,001,709.00       9,504,244.00            49,867,254.77           5,032,414.94
    海通证券            3,916,168.00          426,119.00                             4,342,287.00            51,067,549.18
    华润双鹤              640,000.00         1,456,089.00                            2,096,089.00            41,021,448.11
    顺荣股份            6,900,000.00                              4,500,000.00       2,400,000.00             7,080,000.00       178,929,808.50
          注:根据合并报表可供出售金融资产中主要买卖上市公司股份情况填列。
    六、衍生品投资情况
    √ 适用 □ 不适用
                                                                                                                              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       37,366                                0          0 3,638.79          0.22%    -232.19
    合计                                             37,366      --        --              0          0 3,638.79          0.22%    -232.19
    衍生品投资资金来源                            自有资金
                                                                            国元证券股份有限公司 2014 年第三季度报告全文
    涉诉情况(如适用)                      无
    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
                                           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
                                           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
    报告期衍生品持仓的风险分析及控制措 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
    施说明(包括但不限于市场风险、流动 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。自营业务的股
    性风险、信用风险、操作风险、法律风 指期货投机业务涉及的风险点主要集中在:保证金管理、各合约资金分配比例、
    险等)                                  操作盈亏和强行平仓等方面。在日常风险管理中,公司运用金融工程技术,综合
                                           考虑相关因素,实行规模控制与持仓盈亏限额控制,采取合理确定追加保证金规
                                           模、各合约资金分配比例、强制减仓和强行平仓的应对措施等风险控制指标,控
                                           制股指期货投机业务风险敞口。
    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、期末投资金额均为股指期货合约金额。
    七、报告期内接待调研、沟通、采访等活动登记表
    √ 适用 □ 不适用
                      接待              接待对                                                       谈论的主要内容及
    接待时间                 接待方式                                接待对象
                      地点              象类型                                                          提供的资料
                                                                                                    公司创新业务发展
    2014 年 04 月 11 日   公司 实地调研 机构         宏源证券股份有限公司胡翔                           情况及公司区域优
                                                                                                    势等
                                                 宏源证券股份有限公司胡翔,平安证券有限责任公司刘 创新业务发展情况、
                                                 欣琦、缴文超,安信证券股份有限公司杨建海、贺立, 传统业务转型以及
    2014 年 05 月 20 日   公司 实地调研 机构
                                                 阳光资产管理股份有限公司黎晓伟,平安资产管理有限 公司互联网金融发
                                                 责任公司叶青,华富基金管理有限公司刘文正           展情况等
                                                                                                    创新业务发展情况
    2014 年 06 月 20 日   公司 实地调研 机构         挪威央行投资管理公司程博为
                                                                                                    及互联网金融发展
                                                                      国元证券股份有限公司 2014 年第三季度报告全文
                                                                                                 情况等
                                              长江证券股份有限公司刘俊,万家基金管理有限公司陈
                                              怡、朱颖,海富通基金管理有限公司张炳炜,华富基金
                                              管理有限公司刘文正,太平资产管理有限公司杨红杰, 公司创新业务发展
    2014 年 07 月 22 日     公司 实地调研 机构   华安证券股份有限公司胡学刚、李光红、蔡俊,富国基 情况以及行业发展
                                              金管理有限公司王海军,中国证券报季巍,东莞证券有 前景等
                                              限责任公司陈志,中山证券有限责任公司康建昌,展博
                                              投资管理有限公司袁巍
                                              国金证券股份有限公司贺立、车蔷薇,国泰基金管理有
                                              限公司艾小军、过蓓蓓,华安证券股份有限公司陈飞宇,公司信用业务发展
    2014 年 09 月 05 日     公司 实地调研 机构   南京证券股份有限公司任睿,熵一资产管理有限公司余 情况以及互联网金
                                              志红、高璐菲,宏源证券股份有限公司胡翔,浙江国贸 融发展情况等
                                              东方投资管理有限公司陈科进
                                                                                                 公司经营情况、公司2014 年 01 月 01 日
                         公司 电话沟通 个人   个人投资者                                         创新发展情况以及至 2014 年 09 月 30 日
                                                                                                 公司发展战略等
    八、新颁布或修订的会计准则对公司合并财务报表的影响
    √ 适用 □ 不适用
         公司第七届董事会第十二次会议审议通过了《关于公司会计政策和会计估计变更事项及修订<国元证
    券股份有限公司财务管理制度>的议案》,根据财政部修订的《长期股权投资》和新发布的《公允价值计
    量》等企业会计准则以及中国证监会会计部函[2013]295号文件规定,同意公司本次会计政策和会计估计
    变更事项,并修订《国元证券股份有限公司财务管理制度》,具体公告见2014年8月19日的《中国证券报》、
    《上海证券报》、《证券时报》和巨潮资讯网。
                                                           国元证券股份有限公司 2014 年第三季度报告全文
                                   第四节 财务报表一、财务报表1、合并资产负债表编制单位:国元证券股份有限公司
                                                                                                  单位:元
                 项目                 期末余额                                 年初余额资产:
    货币资金                                     9,654,703,232.06                         6,868,720,438.20
      其中:客户存款                             8,585,064,333.30                         5,763,841,899.81
    结算备付金                                   1,544,654,972.47                         1,514,541,863.99
      其中:客户备付金                           1,305,227,294.58                         1,176,327,244.77
    拆出资金
    融出资金                                     7,957,944,021.61                         4,468,220,946.41
    以公允价值计量且其变动计入当
                                                 1,107,882,910.36                          876,449,194.02期损益的金融资产
    衍生金融资产
    买入返售金融资产                             5,349,116,027.48                         3,911,404,775.88
    应收款项                                      409,944,789.77                           230,610,576.41
    应收利息                                      342,507,389.54                           222,222,995.37
    存出保证金                                    239,460,378.83                           174,300,805.69
    可供出售金融资产                         10,028,021,483.06                            9,323,674,503.14
    持有至到期投资                                 30,398,804.15
    长期股权投资                                  395,476,753.18                           355,634,053.51
    投资性房地产
    固定资产                                     1,502,392,726.94                         1,194,527,236.15
    在建工程                                       45,146,667.00                           324,218,819.57
    无形资产                                       23,950,445.70                            27,956,283.67
    商誉                                          120,876,333.75                           120,876,333.75
    递延所得税资产                                 65,910,255.21                           135,476,229.42
    划分为持有待售的资产
    其他资产                                      810,417,489.09                           745,076,542.28
                                              国元证券股份有限公司 2014 年第三季度报告全文
    资产总计                           39,628,804,680.20                     30,493,911,597.46负债:
    短期借款                         498,457,340.00
    应付短期融资款
    拆入资金
    以公允价值计量且其变动计入当期损益的金融负债
    衍生金融负债
    卖出回购金融资产款              6,786,629,996.50                      2,098,255,354.99
    代理买卖证券款                  9,926,460,292.85                      7,120,767,294.07
    代理承销证券款
    应付职工薪酬                     224,171,094.21                         168,725,579.91
    应交税费                         167,704,319.62                          91,116,385.65
    应付款项                         158,300,336.15                         184,821,861.60
    应付利息                          59,283,130.69                         107,483,415.92
    预计负债
    长期借款
    应付债券                        4,981,242,278.65                      4,975,973,865.36
    递延所得税负债                   126,400,146.00                          82,708,032.67
    划分为持有待售的负债
    其他负债                          31,142,492.90                          25,246,191.78
    负债合计                           22,959,791,427.57                     14,855,097,981.95所有者权益(或股东权益):
    实收资本(或股本)              1,964,100,000.00                      1,964,100,000.00
    资本公积                        9,875,504,533.14                      9,875,504,533.14
    减:库存股
    其他综合收益                     235,306,535.69                         -48,569,599.27
    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                      2,664,664,885.10                      1,918,341,382.94
    归属于母公司所有者权益(或股
                                   16,669,013,252.63                     15,638,813,615.51东权益)合计
    少数股东权益
    所有者权益(或股东权益)合计   16,669,013,252.63                     15,638,813,615.51
    负债和所有者权益(或股东权益)总   39,628,804,680.20                     30,493,911,597.46
                                                                  国元证券股份有限公司 2014 年第三季度报告全文计
    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2、母公司资产负债表编制单位:国元证券股份有限公司
                                                                                                         单位:元
                  项目                        期末余额                                年初余额资产:
    货币资金                                            8,070,798,019.81                        5,715,618,161.68
       其中:客户存款                                    7,483,063,342.11                        4,957,618,785.07
    结算备付金                                          1,387,524,704.86                        1,278,300,789.94
       其中:客户备付金                                  1,162,966,563.06                         986,392,570.77
    拆出资金
    融出资金                                            7,104,595,609.68                        4,091,544,645.31
    以公允价值计量且其变动计入当
                                                          920,355,058.59                          733,965,893.80期损益的金融资产
    衍生金融资产
    买入返售金融资产                                    5,292,411,007.48                        3,911,404,775.88
    应收款项                                             318,577,458.88                          112,494,781.77
    应收利息                                             249,512,309.74                          220,357,550.93
    存出保证金                                            17,896,409.21                           11,595,128.59
    可供出售金融资产                                    7,140,001,392.05                        5,760,674,864.34
    持有至到期投资
    长期股权投资                                        4,628,079,248.51                        5,208,236,548.84
    投资性房地产
    固定资产                                            1,486,502,768.67                        1,183,994,386.98
    在建工程                                              45,146,667.00                          324,218,819.57
    无形资产                                              19,839,433.72                           25,104,058.61
    递延所得税资产                                        60,829,082.92                          129,600,670.61
    划分为持有待售的资产
    其他资产                                             136,557,049.22                           93,097,066.74
    资产总计                                             36,878,626,220.34                       28,800,208,143.59负债:
    短期借款
                                                                 国元证券股份有限公司 2014 年第三季度报告全文
    应付短期融资款
    拆入资金
    以公允价值计量且其变动计入当期损益的金融负债
    衍生金融负债
    卖出回购金融资产款                               6,786,629,996.50                       2,098,255,354.99
    代理买卖证券款                                   8,444,048,884.14                       5,870,486,546.33
    代理承销证券款
    应付职工薪酬                                      219,536,298.95                          150,283,576.59
    应交税费                                            98,011,761.39                          38,407,768.35
    应付款项                                           86,409,704.80                          166,353,552.88
    应付利息                                           59,283,130.69                          107,483,415.92
    预计负债
    长期借款
    应付债券                                         4,981,242,278.65                       4,975,973,865.36
    递延所得税负债                                     80,603,020.16                           40,994,259.71
    划分为持有待售的负债
    其他负债                                           18,795,126.31                           12,414,530.34
    负债合计                                             20,774,560,201.59                      13,460,652,870.47所有者权益(或股东权益):
    实收资本(或股本)                               1,964,100,000.00                       1,964,100,000.00
    资本公积                                         9,875,504,533.14                       9,875,504,533.14
    减:库存股
    其他综合收益                                      227,051,189.23                          -96,803,591.53
    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                                       2,107,972,997.68                       1,667,317,032.81
    所有者权益(或股东权益)合计                         16,104,066,018.75                      15,339,555,273.12负债和所有者权益(或股东权益)总
                                                     36,878,626,220.34                      28,800,208,143.59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
                                                        国元证券股份有限公司 2014 年第三季度报告全文3、合并本报告期利润表编制单位:国元证券股份有限公司
                                                                                             单位:元
                   项目                    本期数                             上期数
    一、营业收入                                        796,585,717.82                     540,569,944.43
    手续费及佣金净收入                              411,441,843.86                     289,018,899.32
    其中:经纪业务手续费净收入                      301,046,634.97                     258,940,246.56
           投资银行业务手续费净收入                  91,291,303.53                      10,420,000.00
           资产管理业务手续费净收入                  17,445,170.18                       9,620,470.78
    利息净收入                                      157,998,194.17                      95,533,096.65
    投资收益(损失以“-”列示)                    188,453,264.69                     147,808,853.71
       其中:对联营企业和合营企业的投资
                                                     24,829,396.61                      11,739,831.23收益
    公允价值变动收益(损失以“-”列示)             36,488,330.65                       6,598,121.35
    汇兑收益(损失以“-”列示)                       -238,755.89                         -92,984.03
    其他业务收入                                      2,442,840.34                       1,703,957.43
    二、营业支出                                        362,894,249.48                     240,589,458.95
    营业税金及附加                                   39,490,555.36                      16,241,309.06
    业务及管理费                                    322,808,065.56                     223,936,193.12
    资产减值损失                                         15,461.80                          11,774.01
    其他业务成本                                       580,166.76                         400,182.76
    三、营业利润(亏损以“-”列示)                    433,691,468.34                     299,980,485.48
    加:营业外收入                                    1,070,724.36                       1,194,285.63
    减:营业外支出                                       75,541.27                       2,980,602.64
    四、利润总额(亏损总额以“-”列示)                434,686,651.43                     298,194,168.47
    减:所得税费用                                   98,988,587.04                      67,599,970.21
    五、净利润(净亏损以“-”列示)                    335,698,064.39                     230,594,198.26其中:归属于母公司所有者(或股东)的净
                                                    335,698,064.39                     230,594,198.26利润
       少数股东损益
    六、每股收益                                 --                                  --
    (一)基本每股收益                                            0.17                               0.12
    (二)稀释每股收益                                            0.17                               0.12
    七、其他综合收益                                    146,413,320.99                      66,112,018.13
                                                                      国元证券股份有限公司 2014 年第三季度报告全文其中:以后会计期间不能重分类进损益的其他综合收益项目
       以后会计期间在满足规定条件时将
                                                                146,413,320.99                        66,112,018.13重分类进损益的其他综合收益项目
    八、综合收益总额                                                482,111,385.38                       296,706,216.39其中:归属于母公司所有者(或股东)的综
                                                                482,111,385.38                       296,706,216.39合收益总额
       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4、母公司本报告期利润表编制单位:国元证券股份有限公司
                                                                                                           单位:元
                   项目                                本期数                               上期数
    一、营业收入                                                    681,154,554.72                       428,764,764.44
    手续费及佣金净收入                                          387,324,316.38                       265,087,981.27
       其中:经纪业务手续费净收入                               281,139,432.36                       242,734,352.42
             投资银行业务手续费净收入                            91,291,303.53                        10,420,000.00
             资产管理业务手续费净收入                            13,234,845.31                         8,123,602.21
    利息净收入                                                  130,008,226.13                        74,033,404.70
    投资收益(损失以“-”列示)                                126,798,527.79                        88,040,252.70
       其中:对联营企业和合营企业的投资
                                                                 24,829,396.61                        11,739,831.23收益
    公允价值变动收益(损失以“-”列示)                         34,626,442.28                           -28,660.67
    汇兑收益(损失以“-”列示)                                      -6,713.38                          -42,980.19
    其他业务收入                                                  2,403,755.52                         1,674,766.63
    二、营业支出                                                    336,559,859.70                       217,616,757.29
    营业税金及附加                                               38,244,376.80                        14,597,293.02
    业务及管理费                                                297,735,316.14                       202,619,281.51
    资产减值损失                                                           0.00                                0.00
    其他业务成本                                                     580,166.76                         400,182.76
    三、营业利润                                                    344,594,695.02                       211,148,007.15
    加:营业外收入                                                1,070,724.36                         1,194,285.63
    减:营业外支出                                                    74,799.67                        2,980,569.66
    四、利润总额                                                    345,590,619.71                       209,361,723.12
                                                                      国元证券股份有限公司 2014 年第三季度报告全文
    减:所得税费用                                                77,279,919.08                       47,650,288.30
    五、净利润                                                       268,310,700.63                      161,711,434.82
    六、其他综合收益                                                 149,723,079.02                       65,414,562.87其中:以后会计期间不能重分类进损益的其他综合收益项目
       以后会计期间在满足规定条件时将
                                                                 149,723,079.02                       65,414,562.87重分类进损益的其他综合收益项目
    七、综合收益总额                                                 418,033,779.65                      227,125,997.69
    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5、合并年初到报告期末利润表编制单位:国元证券股份有限公司
                                                                                                            单位:元
                   项目                              本期数                                上期数
    一、营业收入                                                  2,188,513,028.28                      1,391,197,993.63
    手续费及佣金净收入                                         877,180,299.27                        730,615,373.64
    其中:经纪业务手续费净收入                                 658,601,702.63                        651,133,962.43
           投资银行业务手续费净收入                            163,995,827.90                         49,394,394.90
           资产管理业务手续费净收入                             52,029,532.93                         19,403,181.32
    利息净收入                                                 431,099,841.05                        268,575,442.43
    投资收益(损失以“-”列示)                               796,418,236.01                        413,409,984.22
       其中:对联营企业和合营企业的投
                                                                52,235,593.05                         46,679,975.88资收益
    公允价值变动收益(损失以“-”列
                                                                73,250,441.17                         -25,979,683.00示)
    汇兑收益(损失以“-”列示)                                   943,472.40                            426,566.66
    其他业务收入                                                 9,620,738.38                          4,150,309.68
    二、营业支出                                                   969,884,188.53                        725,370,423.26
    营业税金及附加                                              96,192,259.28                         43,734,974.91
    业务及管理费                                               871,188,543.95                        678,600,823.50
    资产减值损失                                                 1,037,241.48                          1,399,507.69
    其他业务成本                                                 1,466,143.82                           1,635,117.16
    三、营业利润(亏损以“-”列示)                              1,218,628,839.75                       665,827,570.37
    加:营业外收入                                               1,253,408.94                          1,278,487.44
    减:营业外支出                                               1,563,589.00                          3,716,377.45
                                                                     国元证券股份有限公司 2014 年第三季度报告全文
    四、利润总额(亏损总额以“-”列示)                        1,218,318,659.69                        663,389,680.36
    减:所得税费用                                             275,585,157.53                       137,022,125.69
    五、净利润(净亏损以“-”列示)                               942,733,502.16                       526,367,554.67其中:归属于母公司所有者(或股东)的
                                                               942,733,502.16                       526,367,554.67净利润
       少数股东损益
    六、每股收益                                           --                                    --
    (一)基本每股收益                                                       0.48                                 0.27
    (二)稀释每股收益                                                       0.48                                 0.27
    七、其他综合收益                                               283,876,134.96                       137,874,783.52其中:以后会计期间不能重分类进损益的其他综合收益项目
       以后会计期间在满足规定条件时
                                                               283,876,134.96                       137,874,783.52将重分类进损益的其他综合收益项目
    八、综合收益总额                                            1,226,609,637.12                        664,242,338.19其中:归属于母公司所有者(或股东)的
                                                            1,226,609,637.12                        664,242,338.19综合收益总额
       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6、母公司年初到报告期末利润表编制单位:国元证券股份有限公司
                                                                                                           单位:元
                   项目                               本期数                              上期数
    一、营业收入                                                1,699,919,901.14                       1,103,490,086.32
    手续费及佣金净收入                                         816,122,548.05                       671,295,811.30
       其中:经纪业务手续费净收入                              610,698,003.93                       602,573,138.54
             投资银行业务手续费净收入                          163,995,827.90                        49,394,394.90
             资产管理业务手续费净收入                           39,115,480.41                        15,497,598.21
    利息净收入                                                 353,206,295.77                       197,863,209.95
    投资收益(损失以“-”列示)                               451,885,120.81                       262,412,807.75
       其中:对联营企业和合营企业的投资
                                                                52,235,593.05                        46,679,975.88收益
    公允价值变动收益(损失以“-”列示)                        69,681,623.92                        -31,980,198.87
    汇兑收益(损失以“-”列示)                                    82,619.33                          -188,335.52
                                                                      国元证券股份有限公司 2014 年第三季度报告全文
    其他业务收入                                                 8,941,693.26                           4,086,791.71
    二、营业支出                                                   895,882,872.36                         657,873,398.02
    营业税金及附加                                              92,453,449.13                          39,031,899.15
    业务及管理费                                               800,865,679.17                         615,551,248.82
    资产减值损失                                                 1,097,600.24                           1,655,132.89
    其他业务成本                                                 1,466,143.82                            1,635,117.16
    三、营业利润                                                   804,037,028.78                         445,616,688.30
    加:营业外收入                                               1,140,024.38                           1,268,913.71
    减:营业外支出                                               1,553,164.08                           3,653,774.92
    四、利润总额                                                   803,623,889.08                         443,231,827.09
    减:所得税费用                                             166,557,924.21                          84,814,332.67
    五、净利润                                                     637,065,964.87                         358,417,494.42
    六、其他综合收益                                               323,854,780.76                         145,893,803.50其中:以后会计期间不能重分类进损益的其他综合收益项目
      以后会计期间在满足规定条件时将
                                                               323,854,780.76                         145,893,803.50重分类进损益的其他综合收益项目
    七、综合收益总额                                               960,920,745.63                         504,311,297.92
    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7、合并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
                                                                                                             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                            1,742,990,162.08                         1,045,801,814.08
    拆入资金净增加额                                                                                 -100,000,000.00
    回购业务资金净增加额                                    3,250,663,389.91                          175,614,015.98
    融出资金净减少额
    代理买卖证券收到的现金净额                              2,809,382,098.78                     -1,168,499,931.80
    收到其他与经营活动有关的现金                             100,553,431.25                           268,911,946.25
    经营活动现金流入小计                                        7,903,589,082.02                          221,827,844.51
    交易性金融资产支付净额                                   183,865,203.12                          3,257,156,486.95
                                             国元证券股份有限公司 2014 年第三季度报告全文
    融出资金净增加额               3,489,723,075.20                      2,744,872,682.78
    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    234,622,542.91                         118,339,281.81
    支付给职工及为职工支付的现金    504,150,434.56                         414,698,959.56
    支付的各项税费                  302,710,831.06                         172,232,186.97
    支付其他与经营活动有关的现金    355,309,745.86                         391,776,585.23
    经营活动现金流出小计               5,070,381,832.71                      7,099,076,183.30
    经营活动产生的现金流量净额         2,833,207,249.31                     -6,877,248,338.79二、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           15,990,000.00                          41,000,000.00
    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                 15,990,000.00                          41,000,000.00
    投资支付的现金
    购建固定资产、无形资产和其他
                                    100,450,027.62                         111,254,415.65长期资产所支付的现金
    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        365,930.63                            154,101.51
    投资活动现金流出小计                100,815,958.25                         111,408,517.16
    投资活动产生的现金流量净额           -84,825,958.25                        -70,408,517.16三、筹资活动产生的现金流量:
    吸收投资收到的现金
    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             5,837,220,795.96
    发行债券收到的现金                                                   4,974,000,000.00
    收到其他与筹资活动有关的现金
    筹资活动现金流入小计               5,837,220,795.96                      4,974,000,000.00
    偿还债务支付的现金             5,338,763,455.96
    分配股利、利润或偿付利息支付
                                    436,302,445.51                         196,410,000.00的现金
    其中:子公司支付给少数股东的股利、利润
                                                                  国元证券股份有限公司 2014 年第三季度报告全文
    支付其他与筹资活动有关的现金                              61,922.91                             1,020,000.00
    筹资活动现金流出小计                                    5,775,127,824.38                          197,430,000.00
    筹资活动产生的现金流量净额                                62,092,971.58                          4,776,570,000.00
    四、汇率变动对现金的影响                                   5,621,639.70                            -12,701,670.02
    五、现金及现金等价物净增加额                            2,816,095,902.34                     -2,183,788,525.97
    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                        11,199,358,204.53                            8,883,646,528.62
    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、母公司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
                                                                                                         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                        1,584,696,876.41                          991,372,923.27
    拆入资金净增加额                                                                             -100,000,000.00
    回购业务资金净增加额                                3,307,368,409.91                          203,316,085.98
    融出资金净减少额
    代理买卖证券收到的现金净额                          2,573,562,337.81                         -649,362,175.85
    收到其他与经营活动有关的现金                          34,211,227.63                           181,676,814.01
    经营活动现金流入小计                                    7,499,838,851.76                          627,003,647.41
    处置交易性金融资产净减少额                          1,078,590,645.20                         1,151,899,750.34
    融出资金净增加额                                    3,013,050,964.37                         2,624,379,359.11
    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                         216,841,249.25                           106,195,152.70
    支付给职工及为职工支付的现金                         455,188,794.56                           363,617,600.33
    支付的各项税费                                       225,367,815.88                           141,359,196.81
    支付其他与经营活动有关的现金                         239,367,853.87                           193,688,426.08
    经营活动现金流出小计                                    5,228,407,323.13                         4,581,139,485.37
    经营活动产生的现金流量净额                              2,271,431,528.63                     -3,954,135,837.96二、投资活动产生的现金流量:
    收回投资所收到的现金                                 620,000,000.00
    取得投资收益收到的现金                                95,990,000.00                            41,000,000.00
                                                                 国元证券股份有限公司 2014 年第三季度报告全文
    收到其他与投资活动有关的现金
    投资活动现金流入小计                                   715,990,000.00                           41,000,000.00
    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
                                                        87,811,951.09                          108,037,860.21长期资产所支付的现金
    支付其他与投资活动有关的现金                          356,500.91                                99,985.70
    投资活动现金流出小计                                    88,168,452.00                        1,608,137,845.91
    投资活动产生的现金流量净额                             627,821,548.00                       -1,567,137,845.91三、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                                                                      4,974,000,000.00
    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                       4,974,000,000.00
    偿还债务支付的现金
    分配股利、利润或偿付利息支付
                                                       434,870,000.00                          196,410,000.00的现金
    支付其他与筹资活动有关的现金                           61,922.91                            1,020,000.00
    筹资活动现金流出小计                                   434,931,922.91                          197,430,000.00
    筹资活动产生的现金流量净额                             -434,931,922.91                       4,776,570,000.00
    四、汇率变动对现金的影响                                    82,619.33                               -188,335.52
    五、现金及现金等价物净增加额                          2,464,403,773.05                        -744,892,019.39
    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                          9,458,322,724.67                       7,698,933,957.67
    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:司开铭二、审计报告第三季度报告是否经过审计□ 是 √ 否公司第三季度报告未经审计。
                                                                           国元证券股份有限公司
                                                                            法定代表人:蔡     咏
                                                                           二〇一四年十月二十五日
数据加载中...
prevnext
手机查看股票