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  • [亚太] 上证指数 2319.12 (1.00%) 深证成指 9466.14 1.78% 恒生指数 19664.10 -1.06% 台北 7233.69 0.17% 韩国 1964.83 0.39%
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国元证券(000728)公告正文

国元证券:2017年第一季度报告全文

公告日期 2017-04-18
股票简称:国元证券 股票代码:000728
                    国元证券股份有限公司 2017 年第一季度报告全文




国元证券股份有限公司

 2017 年第一季度报告




    2017 年 04 月




          1
                                                  国元证券股份有限公司 2017 年第一季度报告全文




                              第一节 重要提示

   公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完
整,不存在虚假记载、误导性陈述或者重大遗漏,并承担个别和连带的法律责任。

   所有董事均已出席了审议本次季报的董事会会议。

   公司董事长蔡咏先生、总裁俞仕新先生、总会计师高民和先生及财务会计部总经理司开
铭先生声明:保证季度报告中财务报表的真实、准确、完整。




                                       2
                                                                       国元证券股份有限公司 2017 年第一季度报告全文




                           第二节 主要财务数据及股东变化

一、主要会计数据和财务指标

公司是否因会计政策变更及会计差错更正等追溯调整或重述以前年度会计数据
□ 是 √ 否

                                             本报告期                    上年同期              本报告期比上年同期增减

营业收入(元)                                 791,229,506.71              624,725,425.99                      26.65%

归属于上市公司股东的净利润(元)               241,897,908.91              213,925,218.79                      13.08%

归属于上市公司股东的扣除非经常性损
                                               242,711,171.83              206,941,186.71                      17.29%
益的净利润(元)

经营活动产生的现金流量净额(元)                34,371,089.49            1,113,771,093.37                     -96.91%

基本每股收益(元/股)                                         0.12                      0.11                   13.08%

稀释每股收益(元/股)                                         0.12                      0.11                   13.08%

加权平均净资产收益率                                      1.16%                       1.01%         增加 0.15 个百分点

                                                                                               本报告期末比上年度末增
                                             本报告期末                  上年度末
                                                                                                         减

总资产(元)                               73,026,963,752.17            71,689,042,611.68                       1.87%

归属于上市公司股东的净资产(元)           20,963,777,996.73            20,742,066,088.48                       1.07%

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)                      21,078.21

越权审批或无正式批准文件的税收返还、减免

计入当期损益的政府补助(与企业业务密切相关,按照国家统
                                                                             2,000.00
一标准定额或定量享受的政府补助除外)

计入当期损益的对非金融企业收取的资金占用费

企业取得子公司、联营企业及合营企业的投资成本小于取得投
资时应享有被投资单位可辨认净资产公允价值产生的收益

非货币性资产交换损益

委托他人投资或管理资产的损益

因不可抗力因素,如遭受自然灾害而计提的各项资产减值准备

债务重组损益

企业重组费用,如安置职工的支出、整合费用等


                                                          3
                                                                  国元证券股份有限公司 2017 年第一季度报告全文


交易价格显失公允的交易产生的超过公允价值部分的损益

同一控制下企业合并产生的子公司期初至合并日的当期净损


与公司正常经营业务无关的或有事项产生的损益

除同公司正常经营业务相关的有效套期保值业务外,持有交易
性金融资产、交易性金融负债产生的公允价值变动损益,以及
处置交易性金融资产、交易性金融负债和可供出售金融资产取
得的投资收益

单独进行减值测试的应收款项减值准备转回

对外委托贷款取得的损益

采用公允价值模式进行后续计量的投资性房地产公允价值变
动产生的损益

根据税收、会计等法律、法规的要求对当期损益进行一次性调
整对当期损益的影响

受托经营取得的托管费收入

除上述各项之外的其他营业外收入和支出                               -1,093,499.37

其他符合非经常性损益定义的损益项目



减:所得税影响额                                                     -258,264.04

     少数股东权益影响额(税后)                                         1,105.80

合计                                                                 -813,262.92              --

对公司根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义界定的非经常性损益项目,以及把《公
开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性损益项目界定为经常性损益的项目,应
说明原因
√ 适用 □ 不适用

           项目                涉及金额(元)                                 原因

                                                  根据中国证券监督管理委员会公告[2008]43 号《公开发行证券的
                                                  公司信息披露解释性公告第 1 号--非经常性损益[2008]》第 14 条
                                                  规定:除同公司正常经营业务相关的有效套期保值业务外,持有
除同公司正常经营业务相关
                                                  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
的有效套期保值业务外,持
                                                  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
有交易性金融资产、交易性
                                                  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
金融负债产生的公允价值变
                               231,306,789.81     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
动损益,以及处置交易性金
                                                  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
融资产、交易性金融负债和
                                                  荐;证券自营;证券资产管理;融资融券;证券投资基金代销;
可供出售金融资产取得的投
                                                  为期货公司提供中间介绍业务;代销金融产品;保险兼业代理。
资收益
                                                  因此本公司根据自身正常经营业务的性质和特点将持有交易性金
                                                  融资产、交易性金融负债产生的公允价值变动损益,以及处置交
                                                  易性金融资产、交易性金融负债和可供出售金融资产等取得的投


                                                       4
                                                                           国元证券股份有限公司 2017 年第一季度报告全文


                                                      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、可供出售金融资产等取得的投资收
                                                      益 392,593,208.03 元,持有交易性金融资产等产生的公允价值变
                                                      动损益-161,286,418.22 元。


 二、报告期末股东总数及前十名股东持股情况表

 1、普通股股东和表决权恢复的优先股股东数量及前 10 名股东持股情况表

                                                                                                                  单位:股

                                                                报告期末表决权恢复的优
报告期末普通股股东总数                               99,608                                                             0
                                                                先股股东总数(如有)

                                               前 10 名股东持股情况

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

安徽国元控股(集团)有限责任公司   国有法人       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        5.18%       101,763,732                       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        3.03%        59,479,369

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

                                   境内一般
安徽国海投资发展有限公司                           2.26%        44,391,489
                                   法人

中央汇金资产管理有限责任公司       国有法人        1.81%        35,621,900

                                   境内一般
中国证券金融股份有限公司                           1.49%        29,347,260
                                   法人

国元证券股份有限公司-第 1 期员    基金、理
                                                   1.15%        22,560,963
工持股计划                         财产品等

                                          前 10 名无限售条件股东持股情况

                                                                                                     股份种类
               股东名称                          持有无限售条件股份数量
                                                                                             股份种类           数量

安徽国元控股(集团)有限责任公司                                       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                                       101,763,732         人民币普通股    101,763,732

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                                               59,479,369      人民币普通股      59,479,369

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


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                                                                   国元证券股份有限公司 2017 年第一季度报告全文


安徽国海投资发展有限公司                                            44,391,489   人民币普通股       44,391,489

中央汇金资产管理有限责任公司                                        35,621,900   人民币普通股       35,621,900

中国证券金融股份有限公司                                            29,347,260   人民币普通股       29,347,260

国元证券股份有限公司-第 1 期员工持股
                                                                    22,560,963   人民币普通股       22,560,963
计划

                                        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行
上述股东关联关系或一致行动的说明        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 名普通股股东参与融资融券业务情    截至 2017 年 3 月末,公司股东安徽全柴集团有限公司持有公司股票 52,230,00
况说明(如有)                          股,其中普通账户 37,430,000 股,信用账户 14,800,000 股。

 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




                                                        6
                                                                          国元证券股份有限公司 2017 年第一季度报告全文




                                                 第三节 重要事项

    一、报告期主要会计报表项目、财务指标发生变动的情况及原因

    √ 适用 □ 不适用
                                                                                                                    单位:元

             项目            2017年3月31日       2016年12月31日       增减百分比%                      主要原因

存出保证金                       61,764,458.15       42,693,079.47              44.67% 存放交易结算机构保证金增加所致

卖出回购金融资产款            5,769,145,457.50 4,285,290,080.00                 34.63% 逆回购融入资金规模增加所致

应付款项                        292,289,814.54      169,685,886.28              72.25% 应付清算款增加所致

应付利息                        636,076,853.88      462,116,746.70              37.64% 应付债券计提利息所致

             项目                  2017年1-3月         2016年1-3月      增减百分比%                    主要原因

利息净收入                      268,183,319.81      191,398,160.48              40.12% 自有资金利息收入增加所致

投资收益                        407,115,117.60      270,586,926.71              50.46% 处置可供出售金融资产收益增加所致

其他业务收入                      6,663,352.96        2,918,674.65          128.30% 子公司控股的物业公司合并所致

营业税金及附加                    5,873,112.18       38,732,654.06          -84.84% 营改增所致

资产减值损失                     -8,004,285.63      -15,536,331.42                ---- 去年同期融资类业务减值准备冲回较大所致

其他业务成本                      1,529,831.54          760,032.49          101.29% 开户费大幅增加所致

营业外收入                          106,743.57        9,450,891.31          -98.87% 政府补助减少所致

营业外支出                        1,177,164.73          132,658.21          787.37% 对外捐赠支出增加所致

所得税费用                       69,124,091.55       17,186,984.98          302.19% 应纳税所得额增加所致

其他综合收益                    -20,186,000.66       -8,294,439.63                 --- 出售可供出售金融资产和公允价值降低所致

经营活动产生的现金流量净额       34,371,089.49 1,113,771,093.37             -96.91% 去年同期融出资金规模减少所致

投资活动产生的现金流量净额      -18,929,222.11     -851,994,992.67                 --- 去年同期投资安元基金所致

筹资活动产生的现金流量净额       35,460,056.43 -4,208,824,432.38                   --- 去年同期偿还短融所致

汇率变动对现金及现金等价物
                                 -5,707,212.44       -1,282,290.09                 --- 人民币贬值导致外币报表折算差额所致
的影响

现金及现金等价物净增加额         45,194,711.37 -3,948,330,621.77                   --- 去年同期偿还短融所致


    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

                           重要事项概述                              披露日期              临时报告披露网站查询索引




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                                                                                            国元证券股份有限公司 2017 年第一季度报告全文


           公司第八届董事会第三次会议审议通过了《关于调整公司非
           公开发行股票方案的议案》、《关于非公开发行 A 股股票预案
           (二次修订稿)的议案》、《关于本次非公开发行股票募集资
                                                                                                      具体公告见 2017 年 2 月 24 日的《中国
           金使用可行性报告(修订稿)的议案》、《关于公司与嘉华优
                                                                                 2017 年 2 月 24 日   证券报》、《上海证券报》、《证券时报》
           势(天津)投资企业(有限合伙)解除附条件生效的普通股
                                                                                                      和巨潮资讯网,公告编号:2017-008
           认购协议及补充协议的议案》、《关于非公开发行股票摊薄即
           期回报及填补措施(修订稿)的议案》、《关于聘任公司董事
           会秘书的议案》。
                                                                                                      具体公告见 2017 年 4 月 7 日的《中国
           中国证监会同意公司中止非公开发行审查申请                              2017 年 4 月 7 日    证券报》、《上海证券报》、《证券时报》
                                                                                                      和巨潮资讯网,公告编号:2017-017

           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元股权投资有限公
                                                                                 2014 年 8 月 29 日   证券报》、《上海证券报》、《证券时报》
           司与安徽国元控股(集团)有限公司及国元农业保险股份有
                                                                                                      和巨潮资讯网,公告编号:2014-048
           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、公司实际控制人、股东、关联方、收购人以及公司等承诺相关方在报告期内超期未履行
           完毕的承诺事项

           □ 适用 √ 不适用


           四、对 2016 年 1-6 月经营业绩的预计

           预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生大幅度变动的警示及原因说明
           □ 适用 √ 不适用


           五、证券投资情况

           √ 适用 □ 不适用

            证券                 最初投资成本      期初持股数量 期初持 期末持股数量 期末持                                报告期损益     会计核 股份
证券品种           证券简称                                                                            期末账面值(元)
            代码                    (元)            (股)        股比例        (股)      股比例                        (元)       算科目 来源

                   国元浦江 1                                                                                                            可供出售
资管产品                          517,544,050.07 466,139,564.14              466,139,564.14              661,312,199.65                             购买
                   号普通级                                                                                                    -         金融资产

                   国元元赢 3                                                                                                            可供出售
资管产品                          573,832,832.01   109,303,541.73            511,610,706.76              581,496,729.30                             购买
                   号普通                                                                                                      -         金融资产

                   国元元赢
                                                                                                                                         可供出售
资管产品           16 号 普 通                                                                                                                      购买
                                 522,191,242.01    545,788,357.51            501,284,448.40              576,226,473.44   6,267,669.94   金融资产
                   级

                                                                                                                                         可供出售
债券       122067 11 南钢         462,176,520.31    4,500,000.00             4,500,000.00                451,738,607.92   9,142,827.31              购买
                                                                                                                                         金融资产




                                                                             8
                                                                                                    国元证券股份有限公司 2017 年第一季度报告全文


                                                                                                                                                      可供出售
债券          122357 14 浙证债          300,000,000.00      3,000,000.00             3,000,000.00              304,010,700.00        3,466,981.14                购买
                                                                                                                                                      金融资产

                                                                                                                                                      可供出售
债券          122355 14 齐鲁债          300,000,000.00      3,000,000.00                 3,000,000.00          303,659,700.00        3,466,981.14                购买
                                                                                                                                                      金融资产

                       国元元赢
                                                                                                                                                      可供出售
资管产品               11 号 普 通     199,205,203.58     177,006,916.49             177,006,916.49            220,391,311.72                                    购买
                                                                                                                                          -           金融资产
                       级

                       月月赢 1 年                                                                                                                    可供出售
理财产品      851126                   200,000,000.00       2,000,000.00                 2,000,000.00          205,800,000.00                                    购买
                       期6号                                                                                                              -           金融资产

                                                                                                                                                      可供出售
债券          122304 13 兴业 03       200,065,509.65        2,000,000.00                 2,000,000.00          200,302,800.00                                    购买
                                                                                                                                     2,363,971.67     金融资产

                       国元元赢 1                                                                                                                     可供出售
资管产品                               172,914,860.99     156,298,768.07             156,298,768.07            198,155,578.16                                    购买
                       号B类                                                                                                              -           金融资产

期末持有的其他证券投资               21,045,449,372.26                     --                            --   21,602,495,698.59 114,689,564.37           --      --

合计                                 24,493,379,590.88                     --                            --   25,305,589,798.78 139,397,995.57           --      --

证券投资审批董事会公告披
                                     2016 年 3 月 26 日
露日期

证券投资审批股东会公告披
露日期(如有)


              六、衍生品投资情况

              √ 适用 □ 不适用
                                                                                                                                               单位:万元

                                                                                                                                         期末投
                                                                                                                   计提减
                                                                                                                                         资金额
   衍生品投                                      衍生品投                                                          值准备
                关联 是否关 衍生品投                          起始 终止 期初投资金 报告期内             报告期内            期末投资     占公司 报告期实际损
   资操作方                                      资初始投                                                          金额
                关系 联交易           资类型                  日期 日期         额          购入金额    售出金额              金额       报告期         益金额
       名称                                        资金额                                                          (如
                                                                                                                                         末净资
                                                                                                                   有)
                                                                                                                                         产比例

   股指期货        -- 否             股指期货 61,441.46        --     --   12,849.55 48,591.91 54,110.47                  0 7,330.99          0.35%     -1,902.40

   合计                                          61,441.46     --     --   12,849.55 48,591.91 54,110.47                  0 7,330.99          0.35%     -1,902.40

   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
                                                2010 年 6 月 11 日
   日期(如有)

   衍生品投资审批股东会公告披露
                                                不适用
   日期(如有)

   报告期衍生品持仓的风险分析及                 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


                                                                                     9
                                                                          国元证券股份有限公司 2017 年第一季度报告全文


控制措施说明(包括但不限于市场 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
风险、流动性风险、信用风险、操 保证金金额、套期保值比率、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。
作风险、法律风险等)             公司股指期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、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
生品公允价值的分析应披露具体     采用活跃市场中的报价来确定公允价值
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     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
相比是否发生重大变化的说明

独立董事对公司衍生品投资及风
                                 不适用
险控制情况的专项意见
       注:衍生品初始投资金额、期末投资金额均为套期保值合约金额。


       七、报告期内接待调研、沟通、采访等活动登记表

       √ 适用 □ 不适用

               接待时间                   接待方式               接待对象类型             调研的基本情况索引

                                                                                   详见深交所互动平台《国元证券:
        2017 年 02 月 22 日       实地调研                机构                     2017 年 2 月 22 日投资者关系活动记
                                                                                   录表》,编号:2017-001

                                                                                   详见深交所互动平台《国元证券:
        2017 年 03 月 01 日       实地调研                机构                     2017 年 3 月 1 日投资者关系活动记
                                                                                   录表》,编号:2017-002


       八、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。


       九、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。




                                                                10
                                                       国元证券股份有限公司 2017 年第一季度报告全文




                                 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                              期初余额

资产:

    货币资金                            18,347,450,118.52                       18,091,790,597.18

      其中:客户存款                    12,801,228,863.05                       13,671,958,823.18

    结算备付金                           2,715,291,474.12                        2,925,756,284.09

      其中:客户备付金                   2,459,107,419.68                        2,654,535,649.17

    拆出资金

    融出资金                            12,310,418,681.31                       12,227,464,711.38

    以公允价值计量且其变动计入
                                         1,512,455,041.60                        1,312,644,232.54
当期损益的金融资产

    衍生金融资产

    买入返售金融资产                     6,601,280,542.96                        6,351,501,872.10

    应收款项                               619,397,537.81                            653,505,903.26

    应收利息                               873,455,204.43                            746,583,068.27

    存出保证金                                 61,764,458.15                          42,693,079.47

    可供出售金融资产                    25,597,007,997.70                       25,045,207,832.19

    持有至到期投资                             19,289,901.12                          19,435,696.00

    长期股权投资                         2,117,133,059.96                        2,094,747,875.63

    投资性房地产

    固定资产                             1,417,950,046.59                        1,430,567,270.23

    在建工程                                   72,579,176.32                          71,183,732.09

    无形资产                                   35,508,509.07                          37,257,253.69

    商誉                                   122,706,581.19                            122,706,581.19

    递延所得税资产                         145,971,909.88                            160,620,050.37

    划分为持有待售的资产

    其他资产                               457,303,511.44                            355,376,572.00



                                          11
                                              国元证券股份有限公司 2017 年第一季度报告全文


资产总计                         73,026,963,752.17                     71,689,042,611.68

负债:

    短期借款                     1,016,519,550.00                         975,005,000.00

    应付短期融资款               6,582,230,000.00                       8,136,090,000.00

    拆入资金

    以公允价值计量且其变动计入
                                 11,907,801,957.26                      9,896,296,729.50
当期损益的金融负债

    衍生金融负债                        100,000.00                                     -

    卖出回购金融资产款           5,769,145,457.50                       4,285,290,080.00

    代理买卖证券款               15,288,787,878.84                     16,495,810,718.77

    代理承销证券款

    应付职工薪酬                   410,089,886.27                         398,469,269.22

    应交税费                       184,969,355.78                         239,516,744.76

    应付款项                       292,289,814.54                         169,685,886.28

    应付利息                       636,076,853.88                         462,116,746.70

    预计负债                           5,592,088.55                         5,592,088.55

    长期借款

    应付债券                     9,493,626,990.54                       9,492,261,596.14

      其中:优先股

            永续债

    长期应付职工薪酬

    递延收益

    递延所得税负债                 217,448,872.44                         217,140,113.75

    划分为持有待售的负债

    其他负债                       114,285,904.85                          30,272,069.94

负债合计                         51,918,964,610.45                     50,803,547,043.61

所有者权益:

    股本                         1,964,100,000.00                       1,964,100,000.00

    其他权益工具

      其中:优先股

            永续债

    资本公积                     9,835,082,591.38                       9,835,082,591.38

    减:库存股

    其他综合收益                   690,794,049.90                         710,980,050.56



                                  12
                                                              国元证券股份有限公司 2017 年第一季度报告全文


    盈余公积                                    1,178,846,019.19                        1,178,846,019.19

    一般风险准备                                2,376,434,660.46                        2,376,434,660.46

    未分配利润                                  4,918,520,675.80                        4,676,622,766.89

归属于母公司所有者权益合计                     20,963,777,996.73                       20,742,066,088.48

    少数股东权益                                  144,221,144.99                            143,429,479.59

    所有者权益合计                             21,107,999,141.72                       20,885,495,568.07

负债和所有者权益总计                           73,026,963,752.17                       71,689,042,611.68


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

                                                                                                   单位:元

               项目                       期末余额                               期初余额

资产:

    货币资金                                   14,535,110,942.92                       14,698,376,276.10

      其中:客户存款                            9,887,189,954.16                       11,313,868,009.64

    结算备付金                                  2,282,373,215.64                        2,338,295,532.96

      其中:客户备付金                          2,080,158,039.27                        2,133,710,154.36

    拆出资金

    融出资金                                   10,522,964,354.92                       10,603,105,770.44

    以公允价值计量且其变动计入
                                                  769,544,708.22                            676,426,542.98
当期损益的金融资产

    衍生金融资产

    买入返售金融资产                            6,276,375,456.46                        5,905,993,762.10

    应收款项                                      281,527,339.89                            411,761,632.10

    应收利息                                      352,672,828.48                            325,145,681.70

    存出保证金                                       50,711,980.62                           66,126,979.43

    可供出售金融资产                            8,987,482,066.23                       11,487,698,873.63

    持有至到期投资

    长期股权投资                                6,008,667,996.53                        5,986,908,072.53

    投资性房地产

    固定资产                                    1,402,007,584.81                        1,413,145,548.67

    在建工程                                         72,579,176.32                           71,183,732.09

    无形资产                                         29,875,884.88                           31,417,041.99

    递延所得税资产                                119,651,662.96                            120,988,963.69


                                                13
                                               国元证券股份有限公司 2017 年第一季度报告全文


    划分为持有待售的资产

    其他资产                       266,604,522.35                          244,717,044.04

资产总计                         51,958,149,721.23                      54,381,291,454.45

负债:

    短期借款

    应付短期融资款               6,245,730,000.00                        7,717,390,000.00

    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           2,891,020,457.50                        2,615,310,080.00

    代理买卖证券款               11,911,132,517.68                      13,402,899,714.10

    代理承销证券款

    应付职工薪酬                   381,300,315.07                          367,744,042.98

    应交税费                       116,683,406.03                          142,848,198.18

    应付款项                           76,473,035.71                        77,272,611.29

    应付利息                       627,966,890.20                          455,874,594.83

    预计负债                           5,592,088.55                          5,592,088.55

    长期借款

    应付债券                     9,493,626,990.54                        9,492,261,596.14

      其中:优先股

            永续债

    长期应付职工薪酬

    递延收益

    递延所得税负债                 150,917,422.51                          170,125,196.54

    划分为持有待售的负债

    其他负债                           15,176,946.90                        12,132,764.60

负债合计                         31,915,620,070.69                      34,459,450,887.21

所有者权益:

    股本                         1,964,100,000.00                        1,964,100,000.00

    其他权益工具

      其中:优先股

            永续债

    资本公积                     9,834,994,832.88                        9,834,994,832.88



                                  14
                                                                        国元证券股份有限公司 2017 年第一季度报告全文


        减:库存股

        其他综合收益                                        465,501,619.90                          517,624,388.74

        盈余公积                                          1,178,846,019.19                        1,178,846,019.19

        一般风险准备                                      2,306,639,383.74                        2,306,639,383.74

        未分配利润                                        4,292,447,794.83                        4,119,635,942.69

    所有者权益合计                                       20,042,529,650.54                       19,921,840,567.24

    负债和所有者权益总计                                 51,958,149,721.23                       54,381,291,454.45


   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


   3、合并利润表

                                                                                                              单位:元

                       项目                               本期发生额                            上期发生额

一、营业收入                                                      791,229,506.71                         624,725,425.99

    手续费及佣金净收入                                            279,153,036.20                         319,545,352.04

    其中:经纪业务手续费净收入                                    186,084,346.49                         273,002,317.88

          投资银行业务手续费净收入                                 71,588,022.88                             32,534,886.85

          资产管理业务手续费净收入                                 16,931,123.86                              7,695,491.90

    利息净收入                                                    268,183,319.81                         191,398,160.48

    投资收益(损失以“-”列示)                                  407,115,117.60                         270,586,926.71

      其中:对联营企业和合营企业的投资收益                         20,263,190.35                              9,827,908.88

    公允价值变动收益(损失以“-”列示)                         -173,289,021.74                        -164,336,651.66

    汇兑收益(损失以“-”列示)                                    3,403,701.88                              4,612,963.77

    其他业务收入                                                    6,663,352.96                              2,918,674.65

二、营业支出                                                      478,345,419.69                         402,863,285.61

    税金及附加                                                      5,873,112.18                             38,732,654.06

    业务及管理费                                                  478,946,761.60                         378,906,930.48

    资产减值损失                                                   -8,004,285.63                         -15,536,331.42

    其他业务成本                                                    1,529,831.54                                760,032.49

三、营业利润(亏损以“-”列示)                                  312,884,087.02                         221,862,140.38

    加:营业外收入                                                      106,743.57                            9,450,891.31

        其中:非流动资产处置利得                                         86,417.36                               62,351.57

    减:营业外支出                                                  1,177,164.73                                132,658.21

四、利润总额(亏损总额以“-”列示)                              311,813,665.86                         231,180,373.48




                                                          15
                                                                        国元证券股份有限公司 2017 年第一季度报告全文


    减:所得税费用                                                   69,124,091.55                           17,186,984.98

五、净利润(净亏损以“-”列示)                                    242,689,574.31                       213,993,388.50

其中:归属于母公司所有者(或股东)的净利润                          241,897,908.91                       213,925,218.79

       少数股东损益                                                     791,665.40                               68,169.71

六、其他综合收益的税后净额                                          -20,186,000.66                           -8,294,439.63

  归属母公司所有者的其他综合收益的税后净额                          -20,186,000.66                           -8,294,439.63

    (一)以后不能重分类进损益的其他综合收益

           1.重新计量设定受益计划净负债或净资
产的变动

           2.权益法下在被投资单位不能重分类进
损益的其他综合收益中享有的份额

    (二)以后将重分类进损益的其他综合收益                          -20,186,000.66                           -8,294,439.63

           1.权益法下在被投资单位以后将重分类
                                                                     2,121,993.98                            -2,397,878.89
进损益的其他综合收益中享有的份额

           2.可供出售金融资产公允价值变动损益                       -13,197,080.32                               -1,306.88

           3.持有至到期投资重分类为可供出售金
融资产损益

           4.现金流量套期损益的有效部分

           5.外币财务报表折算差额                                    -9,110,914.32                           -5,895,253.86

           6.其他

  归属于少数股东的其他综合收益的税后净额

七、综合收益总额                                                    222,503,573.65                       205,698,948.87

其中:归属于母公司所有者(或股东)的综合收益
                                                                    221,711,908.25                       205,630,779.16
总额

       归属于少数股东的综合收益总额                                     791,665.40                               68,169.71

八、每股收益                                                   --                                   --

(一)基本每股收益                                                            0.12                                    0.11

(二)稀释每股收益                                                            0.12                                    0.11


   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、母公司利润表

                                                                                                              单位:元

                      项目                                  本期发生额                          上期发生额

一、营业收入                                                        659,086,367.13                       542,055,886.97

    手续费及佣金净收入                                              265,868,401.65                       306,202,409.83


                                                          16
                                                          国元证券股份有限公司 2017 年第一季度报告全文


      其中:经纪业务手续费净收入                       171,963,515.30                      257,973,102.50

             投资银行业务手续费净收入                   70,968,516.68                       31,503,101.35

             资产管理业务手续费净收入                   22,139,106.19                       11,474,183.93

    利息净收入                                         252,111,909.65                      178,889,589.65

    投资收益(损失以“-”列示)                       144,303,802.10                       90,379,412.20

      其中:对联营企业和合营企业的投资收益              19,637,930.02                        9,827,908.88

    公允价值变动收益(损失以“-”列示)                -5,786,605.73                      -35,109,297.04

    汇兑收益(损失以“-”列示)                          -121,791.60                         -127,484.10

    其他业务收入                                        2,710,651.06                         1,821,256.43

二、营业支出                                           434,615,575.00                      370,227,747.08

    税金及附加                                          5,650,017.14                        37,724,533.89

    业务及管理费                                       433,330,871.24                      347,117,012.12

    资产减值损失                                        -5,895,144.92                      -15,373,831.42

    其他业务成本                                        1,529,831.54                           760,032.49

三、营业利润                                           224,470,792.13                      171,828,139.89

    加:营业外收入                                        100,403.76                         3,150,602.00

         其中:非流动资产处置利得                           86,417.36                           62,351.57

    减:营业外支出                                      1,177,164.63                           132,658.21

四、利润总额                                           223,394,031.26                      174,846,083.68

    减:所得税费用                                      50,582,179.12                        4,254,764.58

五、净利润                                             172,811,852.14                      170,591,319.10

六、其他综合收益的税后净额                             -52,122,768.84                        6,037,422.54

    (一)以后不能重分类进损益的其他综合收益

           1.重新计量设定受益计划净负债或净资产
的变动

           2.权益法下在被投资单位不能重分类进损
益的其他综合收益中享有的份额

    (二)以后将重分类进损益的其他综合收益             -52,122,768.84                        6,037,422.54

           1.权益法下在被投资单位以后将重分类进
                                                        2,121,993.98                        -2,397,878.89
损益的其他综合收益中享有的份额

           2.可供出售金融资产公允价值变动损益          -54,244,762.82                        8,435,301.43

           3.持有至到期投资重分类为可供出售金融
资产损益

           4.现金流量套期损益的有效部分

           5.外币财务报表折算差额



                                                  17
                                                                   国元证券股份有限公司 2017 年第一季度报告全文


            6.其他

七、综合收益总额                                              120,689,083.30                         176,628,741.64


   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、合并现金流量表

                                                                                                        单位:元

                     项目                     本期发生额                             上期发生额

 一、经营活动产生的现金流量:

     处置以公允价值计量且其变动计入
                                                                                               141,287,057.15
 当期损益的金融资产净增加额

     收取利息、手续费及佣金的现金                      790,413,521.99                          697,130,956.15

     拆入资金净增加额

     回购业务资金净增加额                            1,231,146,052.21                       -1,053,877,211.30

     融出资金净减少额                                                                        4,366,983,618.02

     代理买卖证券收到的现金净额

     收到其他与经营活动有关的现金                      378,933,829.87                             86,266,347.03

 经营活动现金流入小计                                2,400,493,404.07                        4,237,790,767.05

     以公允价值计量且其变动计入当期
                                                       211,729,804.16
 损益的金融资产支付净额

     融出资金净增加额                                     82,551,249.25

     代理买卖证券支付的现金净额                      1,241,891,095.93                        2,091,556,946.32

     支付利息、手续费及佣金的现金                      129,444,324.77                          111,750,815.37

     支付给职工及为职工支付的现金                      351,367,708.46                          513,535,333.20

     支付的各项税费                                    173,319,198.60                          217,940,966.03

     支付其他与经营活动有关的现金                      175,818,933.41                          189,235,612.76

 经营活动现金流出小计                                2,366,122,314.58                        3,124,019,673.68

 经营活动产生的现金流量净额                               34,371,089.49                      1,113,771,093.37

 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                                                                       30,996,000.00

     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                             21,078.21                               3,378.31

 投资活动现金流入小计                                         21,078.21                           30,999,378.31



                                                     18
                                                                     国元证券股份有限公司 2017 年第一季度报告全文


    投资支付的现金                                                                               866,670,000.00

    购建固定资产、无形资产和其他长
                                                            18,950,300.32                           16,324,370.98
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

投资活动现金流出小计                                        18,950,300.32                        882,994,370.98

投资活动产生的现金流量净额                               -18,929,222.11                         -851,994,992.67

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                                      41,514,550.00

    发行债券收到的现金

    收到其他与筹资活动有关的现金

筹资活动现金流入小计                                        41,514,550.00

    偿还债务支付的现金                                                                         3,781,462,780.00

    分配股利、利润或偿付利息支付的
                                                             6,054,493.57                           30,200,795.78
现金

    其中:子公司支付给少数股东的股
利、利润

    支付其他与筹资活动有关的现金                                                                 397,160,856.60

筹资活动现金流出小计                                         6,054,493.57                      4,208,824,432.38

筹资活动产生的现金流量净额                                  35,460,056.43                     -4,208,824,432.38

四、汇率变动对现金的影响                                    -5,707,212.44                           -1,282,290.09

五、现金及现金等价物净增加额                                45,194,711.37                     -3,948,330,621.77

    加:期初现金及现金等价物余额                      21,011,546,881.27                       27,971,971,621.64

六、期末现金及现金等价物余额                          21,056,741,592.64                       24,023,640,999.87


  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、母公司现金流量表

                                                                                                          单位:元

                  项目                          本期发生额                             上期发生额

一、经营活动产生的现金流量:

       处置以公允价值计量且其变动计入                    857,843,261.75


                                                       19
                                                  国元证券股份有限公司 2017 年第一季度报告全文


当期损益的金融资产净增加额

    收取利息、手续费及佣金的现金      808,092,358.35                          698,070,636.16

    拆入资金净增加额

    回购业务资金净增加额              -98,219,616.32                         -935,332,025.30

    融出资金净减少额                      80,544,136.20                     4,550,284,149.20

    代理买卖证券收到的现金净额

    收到其他与经营活动有关的现金      253,847,962.02                          117,207,462.45

经营活动现金流入小计                 1,902,108,102.00                       4,430,230,222.51

    以公允价值计量且其变动计入当期
                                                                              212,090,739.87
损益的金融资产支付净额

    融出资金净增加额

    代理买卖证券支付的现金净额       1,491,767,196.42                       2,193,380,471.65

    支付利息、手续费及佣金的现金      113,775,402.00                           97,819,207.74

    支付给职工及为职工支付的现金      324,706,716.24                          483,697,055.66

    支付的各项税费                    144,091,917.43                          200,334,736.00

    支付其他与经营活动有关的现金          28,650,930.27                       214,621,863.50

经营活动现金流出小计                 2,102,992,162.36                       3,401,944,074.42

经营活动产生的现金流量净额           -200,884,060.36                        1,028,286,148.09

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                                                    330,996,000.00

    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              21,078.21                             3,378.31

投资活动现金流入小计                          21,078.21                       330,999,378.31

    投资支付的现金                                                            866,670,000.00

    购建固定资产、无形资产和其他长
                                          18,202,876.75                        15,899,728.37
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

投资活动现金流出小计                      18,202,876.75                       882,569,728.37

投资活动产生的现金流量净额            -18,181,798.54                         -551,570,350.06

三、筹资活动产生的现金流量:

    吸收投资收到的现金



                                     20
                                                                  国元证券股份有限公司 2017 年第一季度报告全文


    其中:子公司吸收少数股东投资收
到的现金

    取得借款收到的现金

    发行债券收到的现金

    收到其他与筹资活动有关的现金

筹资活动现金流入小计

    偿还债务支付的现金                                                                      3,400,000,000.00

    分配股利、利润或偿付利息支付的
                                                                                               26,563,699.46
现金

    其中:子公司支付给少数股东的股
利、利润

    支付其他与筹资活动有关的现金                                                              397,160,856.60

筹资活动现金流出小计                                                                        3,823,724,556.06

筹资活动产生的现金流量净额                                                                 -3,823,724,556.06

四、汇率变动对现金的影响                                 -121,791.60                             -127,484.10

五、现金及现金等价物净增加额                         -219,187,650.50                       -3,347,136,242.13

    加:期初现金及现金等价物余额                   17,030,671,809.06                       23,794,872,476.72

六、期末现金及现金等价物余额                       16,811,484,158.56                       20,447,736,234.59


  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

  第一季度报告是否经过审计
  □ 是 √ 否
  公司第一季度报告未经审计。




                                                                                 国元证券股份有限公司




                                                                                  法定代表人:蔡     咏




                                                                                  二〇一七年四月十七日



                                                    21
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