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:2015年第三季度报告正文

公告日期 2015-10-28
股票简称:国元证券 股票代码:000728
                                                     国元证券股份有限公司 2015 年第三季度报告正文




证券代码:000728                证券简称:国元证券                            公告编号:2015-105




          国元证券股份有限公司 2015 年第三季度报告正文


                               第一节 重要提示

     公司董事会、监事会及董事、监事、高级管理人员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。




                                            1
                                                                        国元证券股份有限公司 2015 年第三季度报告正文




                              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)                  71,610,732,600.69      53,143,320,198.27          53,143,320,198.27                  34.75%

 归属于上市公司股东的净资
                               19,152,592,169.66      17,459,782,522.24          17,459,782,522.24                      9.70%
 产(元)

                                                      本报告期比上年同                                 年初至报告期末比
                                    本报告期                                     年初至报告期末
                                                             期增减                                      上年同期增减

 营业收入(元)                    949,332,729.27                   19.18%        4,568,567,811.42                 108.75%

 归属于上市公司股东的净利
                                   349,718,802.93                     4.18%       2,236,842,047.41                 137.27%
 润(元)

 归属于上市公司股东的扣除
                                   350,315,513.39                     4.59%       2,236,515,690.45                 137.17%
 非经常性损益的净利润(元)

 经营活动产生的现金流量净
                                       --                      --                 8,984,335,596.46                 203.12%
 额(元)

 基本每股收益(元/股)                         0.18                   4.18%                     1.14               137.27%

 稀释每股收益(元/股)                         0.18                   4.18%                     1.14               137.27%

 加权平均净资产收益率                       1.90%     减少 0.13 个百分点                      12.20%   增加 6.36 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)                       267,703.48

 计入当期损益的政府补助(与企业业务密切相关,按照国家
                                                                         1,659,083.35
 统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                                   -1,351,665.32

 减:所得税影响额                                                             248,764.55

 合计                                                                         326,356.96                --

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

                                                         2
                                                                        国元证券股份有限公司 2015 年第三季度报告正文


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

                                                      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
 除同公司正常经营业务相关                             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
 的有效套期保值业务外,持                             得的投资收益,视为非经常性损益项目。由于本公司属于金融行
 有交易性金融资产、交易性                             业中的证券业,主要的业务经营范围为:证券经纪;证券投资咨
 金融负债产生的公允价值变                             询;与证券交易、证券投资活动有关的财务顾问;证券承销与保
                                   1,266,559,982.43
 动损益,以及处置交易性金                             荐;证券自营;证券资产管理;融资融券;证券投资基金代销;
 融资产、交易性金融负债和                             为期货公司提供中间介绍业务。因此本公司根据自身正常经营业
 可供出售金融资产取得的投                             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
 资收益                                               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 1,617,115,205.60 元,持有交易性
                                                      金融资产产生的公允价值变动损益-350,555,223.17 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                                                                                     78,972

                                          前 10 名普通股股东持股情况

                                                                               持有有限        质押或冻结情况
                                                      持股
           股东名称                  股东性质                     持股数量     售条件的
                                                      比例                                 股份状态       数量
                                                                               股份数量

安徽国元控股(集团)有限责任公司   国有法人       21.99%         432,000,000

安徽国元信托有限责任公司           国有法人       15.47%         303,804,975

安徽省粮油食品进出口(集团)公司   国有法人        7.01%         137,763,732                    质押   35,000,000

安徽省皖能股份有限公司             国有法人        4.89%         96,032,800

安徽皖维高新材料股份有限公司       国有法人        3.10%         60,975,369

中国证券金融股份有限公司           境内一般法人    2.99%         58,727,783

安徽全柴集团有限公司               国有法人        2.66%         52,230,000                     质押   29,300,000

中央汇金投资有限责任公司           境内一般法人    1.81%         35,621,900

安徽国海投资发展有限公司           境内一般法人    1.26%         24,707,049


                                                             3
                                                                    国元证券股份有限公司 2015 年第三季度报告正文


中国农业银行股份有限公司-富国
                                   基金、理财产
中证国有企业改革指数分级证券投                      0.96%    18,875,317
                                   品等
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                                    432,000,000   人民币普通股    432,000,000

安徽国元信托有限责任公司                                            303,804,975   人民币普通股    303,804,975

安徽省粮油食品进出口(集团)公司                                    137,763,732   人民币普通股    137,763,732

安徽省皖能股份有限公司                                               96,032,800   人民币普通股    96,032,800

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

中国证券金融股份有限公司                                             58,727,783   人民币普通股    58,727,783

安徽全柴集团有限公司                                                 52,230,000   人民币普通股    52,230,000

中央汇金投资有限责任公司                                             35,621,900   人民币普通股    35,621,900

安徽国海投资发展有限公司                                             24,707,049   人民币普通股    24,707,049

中国农业银行股份有限公司-富国中证国
                                                                     18,875,317   人民币普通股    18,875,317
有企业改革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互为一致
上述股东关联关系或一致行动的说明          行动人,未知其它股东之间是否存在关联关系或属于《上市公司收购管理办
                                          法》规定的一致行动人。

前 10 名普通股股东参与融资融券业务情况
                                          无
说明(如有)

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
□ 适用 √ 不适用
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




                                                         4
                                                                        国元证券股份有限公司 2015 年第三季度报告正文




                                           第三节 重要事项

     一、报告期主要会计报表项目、财务指标发生变动的情况及原因

     √ 适用 □ 不适用

                 项目                本报告期末              上年度末              增减                   变动原因

                                                                                               客户证券交易结算资金大幅增
货币资金                           25,135,290,517.49   14,276,983,524.90              76.05%
                                                                                               加所致

以公允价值计量且其变动计入当期损
                                    4,893,970,462.24        234,763,235.60          1984.64%   交易性投资规模增加所致
益的金融资产

                                                                                               存放结算机构的交易结算保证
存出保证金                            268,123,657.44        165,785,661.27            61.73%
                                                                                               金增加所致

长期股权投资                          877,425,219.95        411,710,585.85           113.12%   投资联营企业所致

                                                                                               计提未支付职工的薪酬以及减
递延所得税资产                        184,521,215.50        118,656,531.57            55.51%
                                                                                               值准备所致

                                                                                               客户证券交易结算资金大幅增
代理买卖证券款                     23,540,198,336.96   13,234,619,713.62              77.87%
                                                                                               加所致

                                                                                               利润大幅增加计提业务提成与
应付职工薪酬                          493,038,615.33        310,061,868.99            59.01%
                                                                                               绩效奖金增加所致

应付款项                               93,347,440.18        243,599,700.68           -61.68%   子公司应付清算款减少所致

                                                                                               收益凭证和次级债计提应付利
应付利息                              212,137,802.28        144,121,993.37            47.19%
                                                                                               息所致

应付债券                           13,131,175,183.01    4,983,042,100.21             163.52%   发行次级债与收益凭证所致

递延所得税负债                        121,572,680.53        218,053,152.79           -44.25%   金融资产公允价值下降所致

                 项目                 本报告期               上年同期              增减                   变动原因

                                                                                                主要为经纪业务与投行业务
  手续费及佣金净收入                2,443,294,448.32        858,132,893.16           184.72%
                                                                                               净收入大幅增加所致

  手续费及佣金净收入-经纪业务手                                                                 代理买卖证券交易量大幅增
                                    2,116,283,284.60        652,030,926.97           224.57%
续费净收入                                                                                     加所致

  手续费及佣金净收入-投行银行业                                                                 承销与并购重组财务顾问业
                                      279,720,946.60        163,995,827.90            70.57%
务净收入                                                                                       务实现收入增加所致

                                                                                                信用业务规模增加导致实现
  利息净收入                          806,918,385.00        407,847,482.18            97.85%
                                                                                               收入增加

                                                                                                金融产品投资实现收益大幅
  投资收益                          1,669,442,721.48    1,022,870,526.22              63.21%
                                                                                               增加所致

  公允价值变动收益                   -364,162,398.93     -110,902,084.06                  --    结构化主体交易性金融负债


                                                        5
                                                                     国元证券股份有限公司 2015 年第三季度报告正文


                                                                                            公允价值变化所致

  汇兑收益                               2,827,808.27           943,472.40        199.72%    外币币值降低所致

  营业税金及附加                       246,557,478.41        96,192,259.28        156.32%    应税营业收入大幅增加所致

                                                                                             利润大幅上升导致相应业务
  业务及管理费                       1,327,271,357.03       871,188,543.95         52.35%
                                                                                            提成增加所致

                                                                                             融出资金规模增加导致计提
  资产减值损失                          56,251,330.55         1,037,241.48       5323.17%
                                                                                            减值准备增加

                                                                                             代理开户数量大幅增加导致
  其他业务成本                           5,847,333.38         1,466,143.82        298.82%
                                                                                            成本费用增加

  营业外收入                             2,795,278.24         1,253,408.94        123.01%    政府补助收入增加所致

  营业外支出                             2,220,156.73         1,563,589.00         41.99%    对外捐赠支出大幅增加所致

                                                                                             利润总额大幅增加导致应纳
  所得税费用                           696,373,386.15       275,585,157.53        152.69%
                                                                                            企业所得税额增加

                                                                                             出售可供出售金融资产和公
  其他综合收益                        -274,220,678.26       283,876,134.96       -196.60%
                                                                                            允价值降低所致

  综合收益总额                       1,962,621,369.15   1,226,609,637.12           60.00%    实现净利润大幅增加所致

                                                                                             主要为客户证券交易结算资
经营活动产生的现金流量净额           8,984,335,596.46   2,963,959,964.42          203.12%
                                                                                            金增加所致

投资活动产生的现金流量净额            -487,357,875.78       -84,825,958.25             --    对外股权投资大幅增加所致

                                                                                             主要为公司本年度发行次级
筹资活动产生的现金流量净额           3,032,629,359.53        62,092,971.58       4784.01%
                                                                                            债所致

汇率变动对现金及现金等价物的影响        39,383,947.11         5,621,639.70        600.58%    人民币贬值所致

                                                                                             主要为客户证券交易资金资
现金及现金等价物净增加额            11,568,991,027.32   2,946,848,617.45          292.59%   金大幅增加以及公司发行次级
                                                                                            债等所致


     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23,760.06

     万元。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。2015年3月24日,公司与安

     徽饭店签署《补充协议》,双方协调一致同意调整总价为22,814.02万元,截至本报告期末,公司已支付

     22,814.02万元购房款。


                                                        6
                                                                         国元证券股份有限公司 2015 年第三季度报告正文


    2、2015 年 2 月 17 日,公司取得《中国人民银行关于国元证券股份有限公司发行短期融资券的通知》

(银发〔2015〕56 号)。根据该通知,中国人民银行核定公司待偿还短期融资券的最高余额为 44 亿元,

有效期为一年,公司可在有效期内自主发行短期融资券。截至本报告期末,公司共发行了 4 期短期融资券,

兑付了 4 期短期融资券:

  短期融资券                        发行规模   发行                                               短期期融   兑付情
                   招标日期                                   起息日期           兑付日期
   流通简称                         (亿元)   利率                                               资券期限    况

 15 国元证券
               2015 年 3 月 19 日      14      5.1%    2015 年 3 月 20 日    2015 年 6 月 19 日    91 天     已兑付
 CP001

 15 国元证券
               2015 年 4 月 24 日      14      4.23%   2015 年 4 月 27 日    2015 年 7 月 27 日    91 天     已兑付
 CP002

 15 国元证券
               2015 年 5 月 15 日      16       3%     2015 年 5 月 18 日    2015 年 8 月 17 日    91 天     已兑付
 CP003

 15 国元证券
               2015 年 6 月 29 日      14      3.61%   2015 年 6 月 30 日    2015 年 9 月 29 日    91 天     已兑付
 CP004

    3、2015 年 6 月 5 日,公司第七届董事会第二十五次会议审议通过了《关于向国元证券(香港)有限

公司增资的议案》,同意向国元证券(香港)有限公司增资 4 亿港币,具体公告见 2015 年 6 月 6 日《中

国证券报》、《证券时报》、《上海证券报》和巨潮资讯网。2015 年 7 月 29 日,中国证监会证券基金机

构监管部以《关于对国元证券股份有限公司向香港子公司增资的无异议函》(机构部函〔2015〕2236 号),

对公司向国元证券(香港)有限公司增加 40,000 万港元等值人民币注册资本无异议。2015 年 8 月 5 日,公

司向国元证券(香港)有限公司增资 40,000 万港元。

    4、公司第七届董事会第二十六次会议和 2015 年第四次临时股东大会审议通过了《关于发起设立安元

投资基金有限公司(拟定名)及安元投资基金管理有限公司(拟定名)的议案》,具体公告见 2015 年 6

月 15 日和 2015 年 6 月 24 日《中国证券报》、《证券时报》、《上海证券报》和巨潮资讯网,截至 2015

年 7 月末,安徽安元投资基金有限公司(以下简称“安元基金”)和安徽安元投资基金管理有限公司(以

下简称“安元基金管理公司”)已完成工商登记,具体公告见 2015 年 8 月 4 日《中国证券报》、《证券

时报》、《上海证券报》和巨潮资讯网。2015 年 8 月 12 日,公司向安元基金拨付首期出资款 4.3333 亿元,

向安元基金管理公司拨付首期出资款 1500 万元。

    5、鉴于证券市场出现非理性下跌,为维护资本市场稳定,促进本公司持续、健康发展并维护广大公

众投资者利益,根据中国证监会相关文件精神,公司持股 5%以上股东安徽国元控股(集团)有限责任公司

(以下简称“国元集团”)、安徽国元信托有限责任公司、安徽省粮油食品进出口(集团)公司(以下简

称“安粮集团”)将积极承担社会责任,自 2015 年 7 月 8 日起 6 个月内不减持本公司股份。

    国元集团于 2015 年 7 月 9 日通过深圳证券交易所交易系统增持公司股份 200 万股(占公司总股本的

                                                          7
                                                                        国元证券股份有限公司 2015 年第三季度报告正文


       0.10%)。 安粮集团通过与中信证券签订股票收益互换合同进行专业化投资管理,由中信证券于 2015 年 7

       月 15 日至 2015 年 7 月 16 日在股票二级市场上买入处于公开交易中的本公司股票,本次从二级市场购买

       公司股票 4,740,065 股,购买成本为 110,018,662.47 元,购买股份占本公司总股本的 0.24%,安粮集团的

       增持计划已完成。具体公告见 2015 年 7 月 10 日和 2015 年 7 月 18 日《中国证券报》、《证券时报》、《上

       海证券报》和巨潮资讯网。

           6、公司第七届董事会第二十八次会议审议通过《关于与中国证券金融股份有限公司进行收益互换的

       议案》,同意公司与中国证券金融股份有限公司签署《中国证券期货市场场外衍生品交易主协议》及《收

       益互换交易确认书》等相关法律文件,与中国证券金融股份有限公司进行收益互换交易,出资金额为 2015

       年 7 月末净资产的 20%即367,762 万元。2015年9月1日,公司向中国证券金融股份有限公司拨付367,762

       万元。

           7、公司2015年第五次临时股东大会审议通过了《关于公司发行短期融资券的议案》 、《关于公司发

       行短期公司债的议案》 、《关于设立公司员工持股计划(草案)的议案》和《关于公司回购股份的议案》,

       具体公告见2015年9月15日《中国证券报》、《证券时报》、《上海证券报》和巨潮资讯网。截至本报告

       期末,公司累计回购股份464.6704万股,占公司总股本的比例为0.2366%,最高成交价为16.10元/股,最

       低成交价为15.12元/股,支付的总金额约为7348.31万元(含交易费用)。


       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
资产重组时所作承 司,安徽省粮油食品进出口(集团)
                                                    的独立性
诺               公司,安徽省皖能股份有限公司

                   安徽国元控股(集团)有限责任公司、国元集团及国元信托、国元实业不从
                   安徽国元信托投资有限责任公司(已 事、且国元集团将通过法律程序确保
                                                                                         2007 年 3 月 13 日 长期 正在履行中
                   更名为“安徽国元信托有限责任公   国元集团之其他全资、控股子公司均
                   司”)、安徽国元实业投资有限责任公 不从事任何在商业上与公司经营的业


                                                            8
                                                                                   国元证券股份有限公司 2015 年第三季度报告正文


                      司                                    务有直接竞争的业务,规范关联交易,
                                                            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、
                                                        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
                                                            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 2015 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

 证券品种    证券代   证券简称 最初投资成本(元) 期初持股数量   期 期末持股数量(股) 期末   期末账面值(元) 报告期损益(元) 会计核算 股份来源


                                                                      9
                                                                                               国元证券股份有限公司 2015 年第三季度报告正文


              码                                             (股)       初                        持股                                         科目

                                                                          持                        比例

                                                                          股

                                                                          比

                                                                          例

                     交行金太                                                                                                                 交易性金
理财产品                          2,700,000,000.00                             2,700,000,000.00            2,700,000,000.00                                  购买
                     阳C                                                                                                                        融资产

                                                                                                                                              交易性金
     基金   482002 工银货币         500,000,000.00                                 500,000,000.00            502,660,647.35   2,660,647.35                   购买
                                                                                                                                                融资产

                     建信现金                                                                                                                 交易性金
     基金   000693                  500,000,000.00                                 500,000,000.00            502,042,206.58   2,042,206.58                   购买
                     添利                                                                                                                       融资产

                     上海国际
                                                                                                                                              交易性金
     基金            信托现金       200,000,000.00                                 200,624,736.97            200,995,625.93     995,625.93                   购买
                                                                                                                                                融资产
                     丰利

                                                                                                                                              交易性金
     基金   270014 广发货币         110,944,019.52                                 110,944,019.52            110,944,019.52                                  购买
                                                                                                                                                融资产

                     南方利鑫                                                                                                                 交易性金
     基金   001334                   99,999,000.00                                 99,999,000.000            101,598,984.00   1,599,984.00                   购买
                     基金                                                                                                                       融资产

                     海富通基                                                                                                                 交易性金
     基金   519130                   99,999,000.00                                                           101,471,739.33   1,472,739.33                   购买
                     金                                                            73,636,966.13                                                融资产

                     招商现金                                                                                                                 交易性金
     基金                            60,000,000.00                                                            60,000,000.00                                  购买
                     增值 B                                                        60,000,000.00                                                融资产

                                                                                                                                              交易性金
     基金            大成货币        55,032,096.85                                                            55,032,096.85                                  购买
                                                                                   55,032,096.85                                                融资产

                                                                                                                                              交易性金
     基金   070088 嘉实货币          51,954,937.23 40,569,533.51                                              51,954,937.23                                  购买
                                                                                   51,954,937.23                                                融资产

期末持有的其他证券投资              350,591,183.98      7,957,239.40 --            276,079,672.36      -     507,270,205.45 -14,216,739.98        --          --

合计                              4,728,520,237.58 48,526,772.91 -- 4,628,271,429.06                   -- 4,893,970,462.24    -5,445,536.79       --          --

证券投资审批董事会公告披露日
                                2015 年 9 月 2 日


证券投资审批股东会公告披露日
                                不适用
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。


       六、持有其他上市公司股权情况的说明

       √ 适用 □ 不适用
                                                                                                                                              单位:元

 证券       证券简称          初始投资金额          占该公            期末账面值          报告期损益        报告期所有者权       会计核算科目           股份来源




                                                                               10
                                                                                         国元证券股份有限公司 2015 年第三季度报告正文


 代码                                             司股权                                                  益变动

                                                      比例

600585        海螺水泥          259,535,234.39        0.27%       237,254,301.90     5,524,996.10      -77,285,685.55   可供出售金融资产        购入


600030        中信证券          384,981,012.47        0.14%       210,188,727.70     5,038,862.16    -174,792,284.77    可供出售金融资产        购入

                                                                                                                        可供出售金融资产、
600036        招商银行          206,009,125.84        0.05%       207,150,611.94     3,855,962.56          445,549.70                           购入
                                                                                                                            被套期项目

000333        美的集团           74,141,143.06        0.10%       105,917,608.86     4,198,082.00      -9,277,761.22    可供出售金融资产        购入


603011        合锻股份           33,440,000.00        4.46%       103,817,600.00       800,000.00      56,116,000.00    可供出售金融资产        购入


601318        中国平安          143,096,212.21        0.01%       101,290,494.80     1,458,637.40      -41,805,717.41   可供出售金融资产        购入


600028        中国石化          100,650,679.12        0.01%       63,042,000.00      2,660,000.00      -37,608,679.12   可供出售金融资产        购入


600519        贵州茅台           30,876,402.44        0.02%       41,868,200.00        874,800.00        3,944,200.00   可供出售金融资产        购入


300452        山河药辅            2,940,600.00        2.50%       23,927,523.00        174,000.00      20,986,923.00    可供出售金融资产        购入



430489        佳先股份            3,962,090.89        2.53%         7,425,000.00             0.00        3,462,909.11   可供出售金融资产        购入


                                                                                                                        可供出售金融资产、
 其他                            23,053,334.65                    20,280,800.00        306,795.06      -4,805,837.57                            购入
                                                                                                                            被套期项目

         合计                 1,262,685,835.07                  1,122,162,868.20    24,892,135.28    -260,620,383.83


            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

                                         报告期买入股份数       报告期卖出股份数
   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
                                                 量                    量

 中信证券                         0.00      18,477,815.00            3,000,000.00      15,477,815.00         384,981,012.47          -7,819,233.98

 海螺水泥                11,499,994.00       5,580,380.00            3,000,000.00      14,080,374.00         259,535,234.39          11,352,812.52

 招商银行                  232,868.00       11,424,454.00                    0.00      11,657,322.00         206,009,125.84                         0

 中国平安                         0.00       3,392,180.00                    0.00       3,392,180.00         143,096,212.21                         0

 中国石化                         0.00      13,300,000.00                    0.00      13,300,000.00         100,650,679.12                         0

 美的集团                12,501,000.00                   0.00        8,302,918.00       4,198,082.00          74,141,143.06          99,463,563.11

 贵州茅台                  540,001.00            20,000.00             340,001.00         220,000.00          30,876,402.44          15,515,296.24

 海通证券                6,000,000.00                    0.00        6,000,000.00               0.00                    0.00         80,045,140.24

 顺荣三七                2,400,000.00        4,080,000.00            6,480,000.00               0.00                    0.00        293,902,413.40

 中国石油                3,349,873.00                    0.00        3,349,873.00               0.00                    0.00             -766,271.16

    注:根据合并报表可供出售金融资产中买卖上市公司股份使用资金前十名填列。


                                                                            11
                                                                           国元证券股份有限公司 2015 年第三季度报告正文


七、衍生品投资情况

√ 适用 □ 不适用
                                                                                                                  单位:万元

                                                                                                         期末投
                                                                                                         资金额
衍生品投                                衍生品投资                                   计提减值                     报告期实
                     是否关 衍生品投                                      期初投资              期末投资 占公司
资操作方 关联关系                       初始投资金    起期     终止日期              准备金额                     际损益金
                     联交易    资类型                                       金额                 金额    报告期
  名称                                       额                                      (如有)                        额
                                                                                                         末净资
                                                                                                         产比例

股指期货       -- 否          股指期货 118,587.82         --         -- 3,128.26           -- 11,506.23 0.60%      -274.60

合计                                    118,587.82        --         -- 3,128.26           -- 11,506.23 0.60%      -274.60

衍生品投资资金来源                      自有资金

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        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
措施说明(包括但不限于市场风险、流 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。
动性风险、信用风险、操作风险、法律 自营业务的股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
风险等)                                分配比例、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
                                        采用活跃市场中的报价来确定公允价值
价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        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
发生重大变化的说明

独立董事对公司衍生品投资及风险控
                                        不适用
制情况的专项意见

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。




                                                              12
                                                                              国元证券股份有限公司 2015 年第三季度报告正文


     八、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
       接待时间                 接待方式                           接待对象                 谈论的主要内容及提供的资料
                         地点              象类型

                                                    中银国际证券    魏涛、郭晓露         2015 年 1-4 月经营情况及公司非公
2015 年 5 月 13 日   公司 实地调研 机构
                                                    嘉实基金   李欣                      开发行进展情况等

                                                                                         公司互联网金融发展情况及定向增
2015 年 5 月 26 日   公司 实地调研 机构             英大证券   刘增印、宋文昭、骆林
                                                                                         发进展情况等


     九、违规对外担保情况

     □ 适用 √ 不适用
     公司报告期无违规对外担保情况。


     十、控股股东及其关联方对上市公司的非经营性占用资金情况

     □ 适用 √ 不适用
     公司报告期不存在控股股东及其关联方对上市公司的非经营性占用资金。




                                                                                             国元证券股份有限公司




                                                                                              法定代表人:蔡     咏




                                                                                             二〇一五年十月二十七日




                                                                   13
数据加载中...
prevnext
手机查看股票