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国元证券(000728)公告正文

国元证券:2017年第三季度报告全文

公告日期 2017-10-28
股票简称:国元证券 股票代码:000728
                    国元证券股份有限公司 2017 年第三季度报告全文




国元证券股份有限公司
 2017 年第三季度报告




    2017 年 10 月




          1
                                                  国元证券股份有限公司 2017 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。




                                       2
                                                                         国元证券股份有限公司 2017 年第三季度报告全文




                                     第二节 公司基本情况

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

总资产(元)                            76,604,396,426.32               71,689,042,611.68                         6.86%

归属于上市公司股东的净资产
                                        20,889,182,486.29               20,742,066,088.48                         0.71%
(元)

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

营业收入(元)                     927,259,261.75                     -7.24%     2,498,871,279.07                 4.01%

归属于上市公司股东的净利润
                                   376,650,560.33                     -14.98%       890,368,853.62               -6.63%
(元)

归属于上市公司股东的扣除非经
                                   377,535,116.02                     -14.98%       891,106,326.64               -5.99%
常性损益的净利润(元)

经营活动产生的现金流量净额
                                        --                     --               -2,113,007,144.26                    ----
(元)

基本每股收益(元/股)                          0.13                   -13.33%                0.30                -9.09%

稀释每股收益(元/股)                          0.13                   -13.33%                0.30                -9.09%

加权平均净资产收益率                           1.81%    减少 0.29 个百分点                  4.27%     减少 0.37 个百分点

备注:基本每股收益去年同期数,已按转增股份数与去年同期回购股份数作相应调整。
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
                                                                            238,611.48
 分)

 计入当期损益的政府补助(与企业业务密切相关,按照国家
                                                                          8,018,200.00
 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                                    -7,277,162.84

 减:所得税影响额                                                           276,242.45

     少数股东权益影响额(税后)                                           1,440,879.21

 合计                                                                      -737,473.02                  --

对公司根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义界定的非经常性损益项目,以及把《公

                                                           3
                                                                              国元证券股份有限公司 2017 年第三季度报告全文


    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,以及处置交易性金融资产、交易性金融负债和可供出售金融
     除同公司正常经营业务相
                                                           资产取得的投资收益,视为非经常性损益项目。由于本公司属于
     关的有效套期保值业务
                                                           金融行业中的证券业,主要的业务经营范围为:证券经纪;证券
     外,持有交易性金融资产、
                                                           投资咨询;与证券交易、证券投资活动有关的财务顾问;证券承
     交易性金融负债产生的公
                                      776,411,597.68       销与保荐;证券自营;证券资产管理;融资融券;证券投资基金
     允价值变动损益,以及处
                                                           代销;为期货公司提供中间介绍业务;代销金融产品;保险兼业
     置交易性金融资产、交易
                                                           代理。因此本公司根据自身正常经营业务的性质和特点将持有交
     性金融负债和可供出售金
                                                           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
     融资产取得的投资收益
                                                           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 1,250,496,923.43 元,持有交易性金融资产等产生的
                                                           公允价值变动损益-474,085,325.75 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                                 109,005                                                         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
                                                    持股比
            股东名称                 股东性质                      持股数量        售条件的
                                                      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%       648,000,000

安徽国元信托有限责任公司           国有法人          15.47%       455,707,462

安徽省粮油食品进出口(集团)公司   国有法人           5.13%       151,195,598                     质押       52,500,000

安徽省皖能股份有限公司             国有法人           4.89%       144,049,200

安徽皖维高新材料股份有限公司       国有法人           2.99%        88,023,953

安徽全柴集团有限公司               国有法人           2.66%        78,345,000

安徽国海投资发展有限公司           境内一般法人       2.20%        64,731,220



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                                                                             国元证券股份有限公司 2017 年第三季度报告全文


中央汇金资产管理有限责任公司         国有法人            1.81%       53,432,850

中国证券金融股份有限公司             境内一般法人        1.54%       45,298,889

合肥兴泰金融控股(集团)有限公司     国有法人            0.90%       26,562,522

                                           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                                         648,000,000    人民币普通股            648,000,000

安徽国元信托有限责任公司                                                 455,707,462    人民币普通股            455,707,462

安徽省粮油食品进出口(集团)公司                                         151,195,598    人民币普通股            151,195,598

安徽省皖能股份有限公司                                                   144,049,200    人民币普通股            144,049,200

安徽皖维高新材料股份有限公司                                              88,023,953    人民币普通股             88,023,953

安徽全柴集团有限公司                                                      78,345,000    人民币普通股             78,345,000

安徽国海投资发展有限公司                                                  64,731,220    人民币普通股             64,731,220

中央汇金资产管理有限责任公司                                              53,432,850    人民币普通股             53,432,850

中国证券金融股份有限公司                                                  45,298,889    人民币普通股             45,298,889

合肥兴泰金融控股(集团)有限公司                                          26,562,522    人民币普通股             26,562,522

                                                    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
上述股东关联关系或一致行动的说明                    一致行动人,未知其它股东之间是否存在关联关系或属于《上市公司收
                                                    购管理办法》规定的一致行动人。

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




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                                                                       国元证券股份有限公司 2017 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             2017年9月30日     2016年12月31日     增减百分比%                    主要原因

以公允价值计量且其变动计入
                             2,159,170,665.62 1,312,644,232.54            64.49% 短期投资规模加大所致
当期损益的金融资产

买入返售金融资产             8,596,368,163.45 6,351,501,872.10            35.34% 逆回购融出资金规模增大所致

存出保证金                      69,170,971.33      42,693,079.47          62.02% 存放交易结算机构保证金增加所致

持有至到期投资                           0.00      19,435,696.00        -100.00% 持有至到期赎回所致

应付短期融资款               12,062,263,164.78 8,136,090,000.00           48.26% 长期应付债券转为短期所致

卖出回购金融资产款           8,996,186,940.24 4,285,290,080.00           109.93% 正回购融入资金规模增大所致

应交税费                       105,330,936.28     239,516,744.76         -56.02% 本年度缴纳 2016 年度汇算清缴所得税所致

应付款项                       351,827,779.52     169,685,886.28         107.34% 应付证券清算款增加所致

应付利息                       218,602,206.19     462,116,746.70         -52.70% 支付应付债券利息所致

长期借款                       169,932,000.00               0.00             --- 子公司银行长期借款所致

应付债券                     6,579,862,833.00 9,492,261,596.14           -30.68% 长期应付债券转为短期所致

             项目              2017年1-9月       2016年1-9月       增减百分比%                    主要原因

投资收益                     1,312,813,351.23     985,254,288.63          33.25% 处置可供出售金融资产收益增加所致

公允价值变动收益              -475,751,185.75    -335,552,541.88             --- 合并结构化主体所致

                                                                                   房产出租收入增加与子公司控股的物业公司
其他业务收入                    24,662,507.96       7,950,458.01         210.20%
                                                                                   合并所致

营业税金及附加                  24,461,943.41      73,299,277.25         -66.63% 营改增所致

资产减值损失                    31,308,865.30      -6,469,457.69             --- 融资类业务计提减值准备所致

其他业务成本                     5,986,281.54       2,407,269.61         148.68% 开户费大幅增加所致

营业外收入                       8,546,724.30      23,501,196.22         -63.63% 政府补助减少所致

营业外支出                       7,567,075.66      13,713,767.63         -44.82% 对外捐赠支出以及赔偿减少所致

其他综合收益的税后净额        -154,012,958.76     204,354,266.55        -175.37% 本报告期金融资产公允价值下降所致

经营活动产生的现金流量净额 -2,113,007,144.26 -6,821,219,182.72               --- 客户结算资金同比流出减少所致

投资活动产生的现金流量净额     -54,039,709.24 -1,209,782,236.14              --- 去年同期投资联营公司安元基金所致

筹资活动产生的现金流量净额     -39,081,346.65    -762,488,470.38             --- 筹资净额同比增加所致

汇率变动对现金及现金等价物     -56,239,738.90      41,069,202.52        -236.94% 港币相对人民币贬值所致


                                                            6
                                                                 国元证券股份有限公司 2017 年第三季度报告全文


的影响

现金及现金等价物净增加额   -2,262,367,939.05 -8,752,420,686.72        --- 主要客户结算资金同比流出减少所致


    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、非公开发行进展情况

         2017 年 2 月 23 日,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》等议案,具体公告见 2017 年 2 月 24 日

    《中国证券报》、《证券时报》、《上海证券报》和巨潮资讯网。2017 年 4 月 26 日,中国证券监督管理

    委员会发行审核委员会对公司的非公开发行股票申请事宜进行了审核。根据审核结果,公司本次非公开发

    行股票申请获得通过。2017 年 5 月 24 日,公司披露了《关于实施 2016 年年度利润分配方案后调整非公开

    发行股票发行价格和发行数量的公告》,具体内容见 2017 年 5 月 24 日《中国证券报》、《证券时报》、

    《上海证券报》和巨潮资讯网。2017 年 7 月 11 日、27 日,公司第八届董事会第八次会议和 2017 年第二

    次临时股东大会审议通过《关于延长公司非公开发行 A 股股票股东大会决议有效期的议案》、《关于提请

    股东大会延长授权董事会办理本次非公开发行股票相关事宜的议案》等议案,具体公告见 2017 年 7 月 12

    日和 2017 年 7 月 28 日《中国证券报》、《证券时报》、《上海证券报》、《证券日报》和巨潮资讯网。

    2017 年 9 月 28 日,公司收到中国证券监督管理委员会《关于核准国元证券股份有限公司非公开发行股票

    的批复》(证监许可〔2017〕1705 号),具体公告见 2017 年 9 月 29 日《中国证券报》、《证券时报》、

    《上海证券报》、《证券日报》和巨潮资讯网。2017 年 10 月 23 日,公司取得由中国证券登记结算有限责

    任公司深圳分公司出具的本次非公开发行新股登记申请受理确认书,具体公告见 2017 年 10 月 25 日《中

    国证券报》、《证券时报》、《上海证券报》、《证券日报》和巨潮资讯网。

         2、债券发行进展情况

         2017 年 1 月 25 日、2 月 13 日,公司第八届董事会第二次会议和 2017 年第一次临时股东大会审议通

    过《关于发行证券公司次级债的议案》、《关于公开发行公司债的议案》等议案,具体公告见 2017 年 1

    月 26 日和 2017 年 2 月 14 日《中国证券报》、《证券时报》、《上海证券报》和巨潮资讯网。2017 年 5

    月 24 日,公司取得深圳证券交易所(以下简称“深交所”)《关于国元证券股份有限公司 2017 年证券公

    司次级债券符合深交所转让条件的无异议函》(深证函〔2017〕232 号)。根据该函,深交所对公司申请

    确认发行额度不超过 80 亿元人民币的国元证券股份有限公司 2017 年证券公司次级债券符合深交所转让条

    件无异议。该无异议函自出具之日起十二个月内有效。 2017 年 9 月 8 日,公司完成 2017 年证券公司次级

    债券(第一期)发行工作,具体公告见 2017 年 9 月 9 日《中国证券报》、《证券时报》、《上海证券报》、

                                                          7
                                                                                         国元证券股份有限公司 2017 年第三季度报告全文


            《证券日报》和巨潮资讯网。

                   3、员工持股计划情况

                   2016 年 8 月 3 日、19 日,公司第七届董事会第三十七次会议和 2016 年第二次临时股东大会审议通过

            了《关于<公司员工持股计划(二次修订稿)>的议案》,具体公告见 2016 年 8 月 4 日和 2016 年 8 月 20

            日《中国证券报》、《证券时报》、《上海证券报》和巨潮资讯网。公司第一期员工持股计划所持有的公

            司股票锁定期于 2017 年 8 月 30 日届满,具体公告见 2017 年 8 月 26 日《中国证券报》、《证券时报》、

            《上海证券报》、《证券日报》和巨潮资讯网。2017 年 9 月,公司员工持股计划管理人华福证券根据持有

            人意愿对第一期员工持股计划股票进行了部分减持,共减持 13,537,900 股。截至报告期末,公司第一期

            员工持股计划持有公司股票数量为 20,303,544 股,占公司总股本比例 0.69%;第二期员工持股计划持有公

            司股票数量为 10,500,781 股,占公司总股本比例 0.36%。

                   4、全资子公司参股国元农村人寿保险有限公司(筹)情况

                   2014 年 8 月 28 日,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(筹)的议案》,同意公司全资子公司国元股权投资有限公司与安徽

            国元控股(集团)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),具体公告见 2014 年 8 月 29 日的《中国证券报》、《证券时报》、《上海证

            券报》和巨潮资讯网。截至报告期末,国元农村人寿保险股份有限公司(筹)的设立尚需经中国保监会批准,

            国元股权投资有限公司尚未出资。


            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
            公司报告期不存在公司实际控制人、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。


            四、对 2017 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
                                                                                                                                  单位:元
证券 证券 证券简                   会计                  本期公允价值 计入权益的累                                                             会计 资
                    最初投资成本          期初账面价值                               本期购买金额   本期出售金额   报告期损益   期末账面价值
品种 代码    称                    计量                   变动损益    计公允价值变                                                             核算 金



                                                                            8
                                                                                                    国元证券股份有限公司 2017 年第三季度报告全文


                                        模式                                          动                                                                       科目 来

                                                                                                                                                                      源

                                                                                                                                                               可供 自

       1220                             公允                                                                                                                   出售 有
债券          11 南钢 450,000,000.00           457,097,257.91   0.00           900,000.00      -              -                9,991,047.44 450,900,000.00
       67                               价值                                                                                                                   金融 资

                                                                                                                                                               资产 金

                                                                                                                                                               以公

                                                                                                                                                               允价

                                                                                                                                                               值计

                                                                                                                                                               量且
                                                                                                                                                                      自
              招商现                                                                                                                                           其变
       2170                             公允                                                                                                                          有
基金          金增值 400,000,000.00            0.00             3,275,236.36                   400,000,000.00 -                3,275,236.36 403,275,236.36 动计
       14                               价值                                                                                                                          资
              货币 B                                                                                                                                           入当
                                                                                                                                                                      金
                                                                                                                                                               期损

                                                                                                                                                               益的

                                                                                                                                                               金融

                                                                                                                                                               资产

                                                                                                                                                               可供 自

       1223 14 齐鲁                     公允                                                                                   10,520,961.4                    出售 有
债券                   300,000,000.00          307,506,300.00   0.00           0.00            -              -                               300,000,000.00
       55     债                        价值                                                                                   5                               金融 资

                                                                                                                                                               资产 金

                                                                                                                                                               可供 自

       3005 科大国                      公允                                   230,417,197.5                                   40,885,497.1                    出售 有
股票                   32,496,009.07           186,959,260.58                                                 9,003,990.93                    262,913,206.65
       20     创                        价值                                   8                                               6                               金融 资

                                                                                                                                                               资产 金

                                                                                                                                                               可供 自

       1320 15 国盛                     公允                                   -15,100,000.0                                                                   出售 有
债券                   200,000,000.00          0.00             0.00                           200,000,000.00 -                1,847,646.36 184,900,000.00
       04     EB                        价值                                   0                                                                               金融 资

                                                                                                                                                               资产 金

                                                                                                                                                               可供 自
              国元元
资管                                    公允                                                                                                                   出售 有
              赢 27    170,980,412.78          176,843,273.16                  9,828,289.40                   3,519,587.22     140,362.78     180,808,702.18
产品                                    价值                                                                                                                   金融 资
              号
                                                                                                                                                               资产 金

                                                                                                                                                               可供 自
              国元元
资管                                    公允                                                                                                                   出售 有
              赢 2 号 136,228,918.44           131,438,429.01   0.00           29,952,519.10 23,500,000.00    -                -              166,181,437.54
产品                                    价值                                                                                                                   金融 资
              B
                                                                                                                                                               资产 金

                                                                                                                                                               可供 自

       1223 14 浙证                     公允                                                                                   10,214,262.2                    出售 有
债券                   150,000,000.00          306,817,800.00   0.00           225,000.00      -              150,000,000.00                  150,225,000.00
       57     债                        价值                                                                                   0                               金融 资

                                                                                                                                                               资产 金




                                                                                      9
                                                                                                           国元证券股份有限公司 2017 年第三季度报告全文


                                                                                                                                                                             可供 自

       1240 12 豫铁                        公允                                                                                                                              出售 有
债券                  110,259,086.61              118,697,151.14                    4,140,913.39 -                      -                 4,931,308.92 114,400,000.00
       31    投                            价值                                                                                                                              金融 资

                                                                                                                                                                             资产 金

                                                                                                                                                                             可供 自

       1274 16 望经                        公允                                                                                                                              出售 有
债券                  95,764,999.27               0.00                              8,235,000.73 95,764,999.27          -                 682,617.54     104,000,000.00
       38    开                            价值                                                                                                                              金融 资

                                                                                                                                                                             资产 金

期末持有的其他证券                                                                                   15,608,278,363.3
                      26,217,243,173.11 --        24,397,131,872.77 -477,360,562.11 443,524,346.16                      13,308,066,580.96 720,665,049.97 26,527,180,109.59    --   --
投资                                                                                                 6


                                                                                                     16,327,543,362.6
合计                  28,262,972,599.28 --        26,082,491,344.57 -474,085,325.75 712,123,266.36                      13,470,590,159.11 803,153,990.18 28,844,783,692.32    --   --
                                                                                                     3

证券投资审批董事
                      2016 年 3 月 29 日
会公告披露日期

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
                                                                                                                                                        投资
                                                                                                                                计提减                  金额
       衍生品投                                          衍生品投                                                               值准备                  占公
                      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             报告期实际
       资操作方                                          资初始投                                                                 金额                  司报
                      关系 联交易      资类型                        日期 日期          额           购入金额     售出金额                   金额                损益金额
            名称                                          资金额                                                                  (如                  告期
                                                                                                                                  有)                  末净
                                                                                                                                                        资产
                                                                                                                                                        比例

       股指期货 --         否         股指期货 67,745.47                --     --    12,849.55 67,745.47 78,502.93                       0 2,092.08 0.10%         -1,402.55

       合计                                              67,745.47      --     --    12,849.55 67,745.47 78,502.93                       0 2,092.08 0.10%         -1,402.55

       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、



                                                                                          10
                                                                        国元证券股份有限公司 2017 年第三季度报告全文


控制措施说明(包括但不限于市场 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
风险、流动性风险、信用风险、操 定追加保证金金额、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
作风险、法律风险等)             控制指标。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


       七、报告期内接待调研、沟通、采访等活动登记表

       √ 适用 □ 不适用

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

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

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

                                                                      详见深交所互动易平台《国元证券:2017 年 6 月
           2017 年 6 月 20 日             实地调研         机构
                                                                      20 日投资者关系活动记录表》,编号:2017-003

                                                                      详见深交所互动易平台《国元证券:2017 年 7 月
           2017 年 7 月 21 日             实地调研         机构
                                                                      21 日投资者关系活动记录表》,编号:2017-004

                                                                      详见深交所互动易平台《国元证券:2017 年 9 月 8
           2017 年 9 月 8 日              实地调研         机构
                                                                      日投资者关系活动记录表》,编号:2017-005


       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

                                                           11
                                                                   国元证券股份有限公司 2017 年第三季度报告全文


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。


十、履行精准扶贫社会责任情况

1、三季度精准扶贫概要


    一、成立扶贫工作领导小组。为切实加强新形势下履行社会责任、践行精准扶贫的国家战略,公司成

立了扶贫工作领导小组,由公司党委书记、董事长蔡咏担任组长,公司领导及各相关部门主要负责人为领

导小组成员。扶贫工作领导小组的成立,将进一步推进公司更好地履行社会责任工作。

    二、继续对接帮扶贫困县。5 月 11 日和 6 月 21 日,公司分别与寿县、太湖县签署了 2017 年的《对口

帮扶备忘录》。根据备忘录,公司将在 2016 年的捐赠和帮扶基础上,再向寿县捐款 200 万元、向太湖县

捐款 400 万元。截至目前,公司已经累计向太湖县捐赠扶贫资金 700 万元,向寿县捐赠扶贫资金 350 万元。

    三、选派干部驻村帮扶。根据省委组织部、省扶贫办关于进一步加强省直和中央驻皖单位选派帮扶干

部工作的通知要求,公司党委高度重视,选派了宿州汴河路营业部副总经理孙巩固作为集团公司扶贫工作

队长(第一书记),到灵璧县杨疃镇一里王村任职,积极帮助一里王村做好精准扶贫和精准脱贫工作。9

月 12 日,公司领导深入一线,赴灵璧县一里王村就精准扶贫工作进行调研。

    四、继续做好高校捐资助学。公司从 2016 年起每年拿出 620 万元在省内 16 所高校设立“金融实践教

育奖学金”,10 所高校设立“国元证券奖助学金”,重点资助和奖励贫困大学生,帮助他们顺利完成学业,

阻断贫困的代际传递。公司今年已向各高校捐资 160 万元。

    五、“雪莲花爱心基金”常态化献爱心。6 月初,投行总部“雪莲花爱心基金”向宁夏吴忠市和中宁

县的贫困学生捐赠 20 万元。投行总部于 2012 年年初成立“雪莲花爱心基金”至今,已累计向西藏、新疆

等地区捐款 6 次,累计捐款超过 130 万元。


2、上市公司三季度精准扶贫工作情况


                            指标                               计量单位                数量/开展情况

 一、总体情况                                                       ——                   ——

   其中:资金                                                       万元                                 580

          帮助建档立卡贫困人口脱贫数                                 人                                1,612

 二、分项投入                                                       ——                   ——

   1.产业发展脱贫                                                   ——                   ——

 其中:    产业发展脱贫项目投入金额                                 万元                                 400

           帮助建档立卡贫困人口脱贫数                                人                                1,300

   2.转移就业脱贫                                                   ——                   ——


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                                                       国元证券股份有限公司 2017 年第三季度报告全文


   3.易地搬迁脱贫                                       ——                   ——

   4.教育脱贫                                           ——                   ——

 其中:    资助贫困学生投入金额                         万元                                 160

           资助贫困学生人数                              人                                  440

   5.健康扶贫                                           ——                   ——

   6.生态保护扶贫                                       ——                   ——

   7.兜底保障                                           ——                   ——

 其中      贫困残疾人投入金额                           万元                                  20

           帮助贫困残疾人数                              人                                  100

   8.社会扶贫                                           ——                   ——

   9.其他项目                                           ——                   ——

 三、所获奖项(内容、级别)                             ——                   ——


3、后续精准扶贫计划


    公司将在此前已经开展的各项扶贫工作和已取得的成果基础上,重点做好以下扶贫工作:一是精准把

握政策、精准目标定位、精准制订措施、精准资金投向、精准推进各方面工作;二是加大对贫困县企业的

首次公开发行股票、项目引入、发行绿色债券等方面的服务力度;三是充分发挥公司产业基金、区域股交

中心等资源优势,助推贫困县多层次资本市场发展;四是充分发挥证券公司的智力优势,不断提升挂职干

部在精准扶贫工作中的智力支撑作用;五是进一步加强助学扶贫、大病救助、光伏扶贫和消费扶贫的力度,

为贫困户切实增加收入来源。




                                             13
                                                        国元证券股份有限公司 2017 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                               期初余额

 资产:

     货币资金                            16,106,284,066.82                      18,091,790,597.18

       其中:客户存款                    12,233,835,553.41                      13,671,958,823.18

     结算备付金                           2,648,894,875.40                       2,925,756,284.09

       其中:客户备付金                   2,281,924,129.93                       2,654,535,649.17

     拆出资金

     融出资金                            13,960,118,560.45                      12,227,464,711.38

     以公允价值计量且其变动计入
                                          2,159,170,665.62                       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                     8,596,368,163.45                       6,351,501,872.10

     应收款项                               832,603,846.51                         653,505,903.26

     应收利息                               935,985,606.64                         746,583,068.27

     存出保证金                                 69,170,971.33                          42,693,079.47

     可供出售金融资产                    26,965,943,562.38                      25,045,207,832.19

     持有至到期投资                                                                    19,435,696.00

     长期股权投资                         2,146,478,104.58                       2,094,747,875.63

     投资性房地产

     固定资产                             1,392,370,514.34                       1,430,567,270.23

     在建工程                                   79,730,245.90                          71,183,732.09

     无形资产                                   41,791,212.41                          37,257,253.69

     商誉                                   122,706,581.19                         122,706,581.19

     递延所得税资产                         145,554,947.40                         160,620,050.37

     划分为持有待售的资产

     其他资产                               401,224,501.90                         355,376,572.00



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                                               国元证券股份有限公司 2017 年第三季度报告全文


资产总计                         76,604,396,426.32                     71,689,042,611.68

负债:

    短期借款                       892,143,000.00                         975,005,000.00

    应付短期融资款               12,062,263,164.78                      8,136,090,000.00

    拆入资金

    以公允价值计量且其变动计入
                                 11,149,178,567.65                      9,896,296,729.50
当期损益的金融负债

    衍生金融负债

    卖出回购金融资产款           8,996,186,940.24                       4,285,290,080.00

    代理买卖证券款               14,424,128,957.91                     16,495,810,718.77

    代理承销证券款

    应付职工薪酬                   383,081,615.31                         398,469,269.22

    应交税费                       105,330,936.28                         239,516,744.76

    应付款项                       351,827,779.52                         169,685,886.28

    应付利息                       218,602,206.19                         462,116,746.70

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

    长期借款                       169,932,000.00

    应付债券                     6,579,862,833.00                       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                 191,738,275.25                         217,140,113.75

    划分为持有待售的负债

    其他负债                           41,502,154.39                       30,272,069.94

负债合计                         55,571,370,519.07                     50,803,547,043.61

所有者权益:

    股本                         2,946,150,000.00                       1,964,100,000.00

    其他权益工具

      其中:优先股

            永续债

    资本公积                     8,853,032,591.38                       9,835,082,591.38

    减:库存股

    其他综合收益                   556,957,594.75                         710,980,050.56



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                                                               国元证券股份有限公司 2017 年第三季度报告全文


     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                                  4,977,761,620.51                       4,676,622,766.89

 归属于母公司所有者权益合计                     20,889,182,486.29                      20,742,066,088.48

     少数股东权益                                  143,843,420.96                         143,429,479.59

     所有者权益合计                             21,033,025,907.25                      20,885,495,568.07

 负债和所有者权益总计                           76,604,396,426.32                      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                                   12,319,878,913.69                      14,698,376,276.10

       其中:客户存款                            9,365,395,952.68                      11,313,868,009.64

     结算备付金                                  2,245,204,373.36                       2,338,295,532.96

       其中:客户备付金                          1,952,384,617.92                       2,133,710,154.36

     拆出资金

     融出资金                                   12,552,111,682.00                      10,603,105,770.44

     以公允价值计量且其变动计入
                                                 1,474,658,262.40                         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                            8,235,452,830.95                       5,905,993,762.10

     应收款项                                      460,357,561.50                         411,761,632.10

     应收利息                                      425,461,323.81                         325,145,681.70

     存出保证金                                        58,338,149.75                          66,126,979.43

     可供出售金融资产                           10,809,914,618.87                      11,487,698,873.63

     持有至到期投资

     长期股权投资                                6,035,851,829.36                       5,986,908,072.53

     投资性房地产

     固定资产                                    1,374,743,212.04                       1,413,145,548.67

     在建工程                                          79,730,245.90                          71,183,732.09

     无形资产                                          36,597,232.79                          31,417,041.99

     递延所得税资产                                124,687,050.09                         120,988,963.69


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                                               国元证券股份有限公司 2017 年第三季度报告全文


    划分为持有待售的资产

    其他资产                           62,882,262.80                      244,717,044.04

资产总计                         56,295,869,549.31                     54,381,291,454.45

负债:

    短期借款

    应付短期融资款               11,963,763,164.78                      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           5,691,694,185.00                       2,615,310,080.00

    代理买卖证券款               11,291,773,656.26                     13,402,899,714.10

    代理承销证券款

    应付职工薪酬                   373,260,790.19                         367,744,042.98

    应交税费                           77,586,579.15                      142,848,198.18

    应付款项                           87,433,274.90                       77,272,611.29

    应付利息                       212,404,499.34                         455,874,594.83

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

    长期借款

    应付债券                     6,579,862,833.00                       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                 113,905,217.23                         170,125,196.54

    划分为持有待售的负债

    其他负债                           18,983,531.58                       12,132,764.60

负债合计                         36,416,259,819.98                     34,459,450,887.21

所有者权益:

    股本                         2,946,150,000.00                       1,964,100,000.00

    其他权益工具

      其中:优先股

            永续债

    资本公积                     8,852,944,832.88                       9,834,994,832.88



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                                                          国元证券股份有限公司 2017 年第三季度报告全文


     减:库存股

     其他综合收益                               357,435,796.75                       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                               4,237,593,696.77                     4,119,635,942.69

 所有者权益合计                               19,879,609,729.33                   19,921,840,567.24

 负债和所有者权益总计                         56,295,869,549.31                   54,381,291,454.45


3、合并本报告期利润表

                                                                                               单位:元

                        项目                          本期发生额                  上期发生额

 一、营业收入                                             927,259,261.75             999,609,682.03

     手续费及佣金净收入                                   417,789,529.16             444,145,456.31

     其中:经纪业务手续费净收入                           222,806,503.07             242,089,693.77

           投资银行业务手续费净收入                       140,203,679.10             169,212,035.14

           资产管理业务手续费净收入                        32,800,759.36              15,655,856.36

     利息净收入                                           172,424,149.10             188,510,886.47

     投资收益(损失以“-”列示)                         456,802,670.20             417,296,787.00

       其中:对联营企业和合营企业的投资收益                34,501,369.73              20,165,184.07

     公允价值变动收益(损失以“-”列示)                -131,597,666.12             -53,180,601.86

     汇兑收益(损失以“-”列示)                           1,608,611.97               2,446,788.01

     其他业务收入                                          10,231,967.44                 390,366.10

 二、营业支出                                             448,618,734.35             427,413,830.33

     税金及附加                                             8,297,535.78               6,660,456.04

     业务及管理费                                         395,621,151.68             413,261,519.14

     资产减值损失                                          42,810,224.61               6,700,512.88

     其他业务成本                                           1,889,822.28                 791,342.27

 三、营业利润(亏损以“-”列示)                         478,640,527.40             572,195,851.70

     加:营业外收入                                         2,297,810.44               9,281,402.67

         其中:非流动资产处置利得                             110,171.34                  56,180.00

     减:营业外支出                                         2,041,808.24               9,872,901.79

 四、利润总额(亏损总额以“-”列示)                     478,896,529.60             571,604,352.58

     减:所得税费用                                        95,811,886.71             124,121,842.43

 五、净利润(净亏损以“-”列示)                         383,084,642.89             447,482,510.15


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                                                                   国元证券股份有限公司 2017 年第三季度报告全文


 其中:归属于母公司所有者(或股东)的净利润                        376,650,560.33             442,990,503.32

       少数股东损益                                                     6,434,082.56            4,492,006.83

 六、其他综合收益的税后净额                                        -76,595,835.04             172,588,567.42

   归属母公司所有者的其他综合收益的税后净额                        -76,555,537.97             172,588,098.62

     (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                        -76,555,537.97             172,588,098.62

            1.权益法下在被投资单位以后将重分类进
                                                                    -3,395,870.50              -1,748,159.51
 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                     -47,216,703.37             166,004,930.19

            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                                 -25,942,964.10               8,331,327.94

            6.其他

   归属于少数股东的其他综合收益的税后净额                                -40,297.07                     468.80

 七、综合收益总额                                                  306,488,807.85             620,071,077.57

 其中:归属于母公司所有者(或股东)的综合收益总额                  300,095,022.36             615,578,601.94

       归属于少数股东的综合收益总额                                     6,393,785.49            4,492,475.63

 八、每股收益                                                      --                          --

 (一)基本每股收益                                                            0.13                       0.15

 (二)稀释每股收益                                                            0.13                       0.15

本期发生同一控制下企业合并的,被合并方在合并前实现的净利润为:0 元,上期被合并方实现的净利润为:0 元。


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

                                                                                                        单位:元

                       项目                                 本期发生额                     上期发生额

 一、营业收入                                                      748,290,346.44             765,763,985.56

     手续费及佣金净收入                                            380,499,117.90             417,882,747.63

       其中:经纪业务手续费净收入                                  199,838,192.91             222,507,624.04

              投资银行业务手续费净收入                             138,854,745.91             167,524,533.94

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                                                       国元证券股份有限公司 2017 年第三季度报告全文


             资产管理业务手续费净收入                   39,081,889.04              24,734,650.34

    利息净收入                                         148,640,179.59             170,623,570.00

    投资收益(损失以“-”列示)                       227,724,360.86             148,387,339.50

      其中:对联营企业和合营企业的投资收益              33,339,660.72              20,538,506.71

    公允价值变动收益(损失以“-”列示)               -14,825,323.36              27,436,098.49

    汇兑收益(损失以“-”列示)                          -408,566.46                 130,795.11

    其他业务收入                                         6,660,577.91               1,303,434.83

二、营业支出                                           371,471,528.07             387,956,066.11

    税金及附加                                           7,749,408.67               5,503,661.56

    业务及管理费                                       341,759,597.52             374,974,324.37

    资产减值损失                                        20,072,699.60               6,686,737.91

    其他业务成本                                         1,889,822.28                 791,342.27

三、营业利润                                           376,818,818.37             377,807,919.45

    加:营业外收入                                       1,403,060.77               2,672,180.13

         其中:非流动资产处置利得                           17,540.43                  56,180.00

    减:营业外支出                                         892,737.05               9,697,705.13

四、利润总额                                           377,329,142.09             370,782,394.45

    减:所得税费用                                      73,404,345.85              72,129,471.88

五、净利润                                             303,924,796.24             298,652,922.57

六、其他综合收益的税后净额                             -83,117,146.03             150,801,974.95

    (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             -83,117,146.03             150,801,974.95

           1.权益法下在被投资单位以后将重分类进
                                                        -3,395,870.50              -1,748,159.51
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          -79,721,275.53             152,550,134.46

           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

           6.其他

七、综合收益总额                                       220,807,650.21             449,454,897.52



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                                                            国元证券股份有限公司 2017 年第三季度报告全文


5、合并年初到报告期末利润表

                                                                                                 单位:元

                       项目                             本期发生额                  上期发生额

 一、营业收入                                             2,498,871,279.07           2,402,436,924.34

     手续费及佣金净收入                                   1,005,131,673.56           1,167,355,661.50

     其中:经纪业务手续费净收入                             583,770,824.15             753,707,768.98

            投资银行业务手续费净收入                        324,558,466.75             348,307,102.10

            资产管理业务手续费净收入                         62,945,887.41              35,580,060.65

     利息净收入                                             625,403,756.84             566,911,437.81

     投资收益(损失以“-”列示)                         1,312,813,351.23             985,254,288.63

       其中:对联营企业和合营企业的投资收益                  73,418,593.05              50,481,544.30

     公允价值变动收益(损失以“-”列示)                  -475,751,185.75            -335,552,541.88

     汇兑收益(损失以“-”列示)                             6,611,175.23              10,517,620.27

     其他业务收入                                            24,662,507.96               7,950,458.01

 二、营业支出                                             1,349,598,156.48           1,228,411,021.18

     税金及附加                                              24,461,943.41              73,299,277.25

     业务及管理费                                         1,287,841,066.23           1,159,173,932.01

     资产减值损失                                            31,308,865.30              -6,469,457.69

     其他业务成本                                             5,986,281.54               2,407,269.61

 三、营业利润(亏损以“-”列示)                         1,149,273,122.59           1,174,025,903.16

     加:营业外收入                                           8,546,724.30              23,501,196.22

          其中:非流动资产处置利得                              345,371.00                 168,983.10

     减:营业外支出                                           7,567,075.66              13,713,767.63

 四、利润总额(亏损总额以“-”列示)                     1,150,252,771.23           1,183,813,331.75

     减:所得税费用                                         249,479,473.29             222,584,727.69

 五、净利润(净亏损以“-”列示)                           900,773,297.94             961,228,604.06

 其中:归属于母公司所有者(或股东)的净利润                 890,368,853.62             953,552,587.03

       少数股东损益                                          10,404,444.32               7,676,017.03

 六、其他综合收益的税后净额                                -154,012,958.76             204,354,266.55

   归属母公司所有者的其他综合收益的税后净额                -154,022,455.81             204,354,298.09

     (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


                                                   21
                                                                国元证券股份有限公司 2017 年第三季度报告全文


 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                     -154,022,455.81             204,354,298.09

            1.权益法下在被投资单位以后将重分类进
                                                                     698,435.90              -4,288,330.66
 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                   -91,869,977.58             178,091,046.50

            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                               -62,850,914.13              30,551,582.25

            6.其他

   归属于少数股东的其他综合收益的税后净额                                9,497.05                    -31.54

 七、综合收益总额                                                746,760,339.18          1,165,582,870.61

 其中:归属于母公司所有者(或股东)的综合收益总额                736,346,397.81          1,157,906,885.12

       归属于少数股东的综合收益总额                               10,413,941.37               7,675,985.49

 八、每股收益                                                   --                          --

 (一)基本每股收益                                                         0.30                         0.33

 (二)稀释每股收益                                                         0.30                         0.33

本期发生同一控制下企业合并的,被合并方在合并前实现的净利润为:0 元,上期被合并方实现的净利润为:0 元。


6、母公司年初到报告期末利润表

                                                                                                     单位:元

                       项目                                 本期发生额                  上期发生额

 一、营业收入                                                  2,066,700,416.49          1,970,945,667.45

     手续费及佣金净收入                                          940,934,397.19          1,109,448,395.03

       其中:经纪业务手续费净收入                                524,917,195.08             705,664,561.09

              投资银行业务手续费净收入                           321,424,357.30             345,587,815.40

              资产管理业务手续费净收入                            89,716,250.59              49,119,588.72

     利息净收入                                                  571,416,462.29             502,541,768.96

     投资收益(损失以“-”列示)                                552,851,180.52             351,596,343.30

       其中:对联营企业和合营企业的投资收益                       70,632,120.93              50,854,866.94

     公允价值变动收益(损失以“-”列示)                        -12,029,740.09                  -786,064.68

     汇兑收益(损失以“-”列示)                                    -924,501.99                 488,719.30

     其他业务收入                                                 14,452,618.57               7,656,505.54

 二、营业支出                                                  1,164,563,317.70          1,112,718,235.90

     税金及附加                                                   23,554,661.72              70,476,180.57


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                                                                 国元证券股份有限公司 2017 年第三季度报告全文


     业务及管理费                                               1,124,420,892.62          1,046,218,108.56

     资产减值损失                                                 10,601,481.82              -6,383,322.84

     其他业务成本                                                  5,986,281.54               2,407,269.61

 三、营业利润                                                    902,137,098.79             858,227,431.55

     加:营业外收入                                                4,489,850.57               8,736,758.19

          其中:非流动资产处置利得                                   252,740.09                 168,983.10

     减:营业外支出                                                6,413,086.62              13,527,226.16

 四、利润总额                                                    900,213,862.74             853,436,963.58

     减:所得税费用                                              193,026,108.66             143,031,043.84

 五、净利润                                                      707,187,754.08             710,405,919.74

 六、其他综合收益的税后净额                                     -160,188,591.99             131,420,131.39

     (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                     -160,188,591.99             131,420,131.39

            1.权益法下在被投资单位以后将重分类进
                                                                     698,435.90              -4,288,330.66
 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                  -160,887,027.89             135,708,462.05

            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

            6.其他

 七、综合收益总额                                                546,999,162.09             841,826,051.13


7、合并年初到报告期末现金流量表

                                                                                                    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                       2,786,799,111.11                  2,672,701,872.51

     拆入资金净增加额



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                                                     国元证券股份有限公司 2017 年第三季度报告全文


    回购业务资金净增加额                       2,443,351,113.64              -3,634,463,297.66

    融出资金净减少额                                                          3,844,892,271.31

    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                  82,878,001.46                  68,868,193.36

经营活动现金流入小计                           5,313,028,226.21               2,951,999,039.52

    以公允价值计量且其变动计入当期损
                                               1,171,542,408.49                 698,194,617.01
益的金融资产支付净额

    融出资金净增加额                           1,765,315,716.47

    代理买卖证券支付的现金净额                 2,106,550,016.86               6,456,142,952.47

    支付利息、手续费及佣金的现金                 519,366,439.39                 394,647,590.19

    支付给职工及为职工支付的现金                 920,874,948.48                 927,912,129.28

    支付的各项税费                               501,370,522.59                 546,425,155.05

    支付其他与经营活动有关的现金                 441,015,318.19                 749,895,778.24

经营活动现金流出小计                           7,426,035,370.47               9,773,218,222.24

经营活动产生的现金流量净额                    -2,113,007,144.26              -6,821,219,182.72

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                        22,386,800.00                  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                     239,783.48

投资活动现金流入小计                              22,626,583.48                  30,996,000.00

    投资支付的现金                                                            1,166,670,000.00

    购建固定资产、无形资产和其他长期资
                                                  76,666,292.72                  73,944,889.43
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                                                    163,346.71

投资活动现金流出小计                              76,666,292.72               1,240,778,236.14

投资活动产生的现金流量净额                       -54,039,709.24              -1,209,782,236.14

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                            87,070,000.00



                                         24
                                                       国元证券股份有限公司 2017 年第三季度报告全文


     发行债券收到的现金                        13,783,870,000.00                7,022,450,000.00

     收到其他与筹资活动有关的现金                                                  36,549,965.28

 筹资活动现金流入小计                          13,870,940,000.00                7,058,999,965.28

     偿还债务支付的现金                        12,453,910,000.00                6,513,696,680.00

     分配股利、利润或偿付利息支付的现金         1,456,001,346.65                1,307,791,755.66

     其中:子公司支付给少数股东的股利、
                                                   10,000,000.00
 利润

     支付其他与筹资活动有关的现金                      110,000.00

 筹资活动现金流出小计                          13,910,021,346.65                7,821,488,435.66

 筹资活动产生的现金流量净额                       -39,081,346.65                 -762,488,470.38

 四、汇率变动对现金的影响                         -56,239,738.90                   41,069,202.52

 五、现金及现金等价物净增加额                  -2,262,367,939.05               -8,752,420,686.72

     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                  18,749,178,942.22               19,219,550,934.92


8、母公司年初到报告期末现金流量表

                                                                                          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当
                                                  103,986,612.44
 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               2,569,612,853.38                2,538,962,121.13

     拆入资金净增加额

     回购业务资金净增加额                         723,251,714.49               -3,423,678,676.04

     融出资金净减少额                                                           4,455,461,860.43

     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                  18,689,729.05                   16,224,280.63

 经营活动现金流入小计                           3,415,540,909.36                3,586,969,586.15

     以公允价值计量且其变动计入当期损
                                                                                1,402,171,410.42
 益的金融资产支付净额

     融出资金净增加额                           1,958,939,543.91

     代理买卖证券支付的现金净额                 2,111,126,057.84                6,922,294,213.59

     支付利息、手续费及佣金的现金                 396,613,212.69                  344,899,894.43

     支付给职工及为职工支付的现金                 812,425,412.41                  841,713,138.88

     支付的各项税费                               395,081,543.93                  418,199,783.46


                                          25
                                                     国元证券股份有限公司 2017 年第三季度报告全文


    支付其他与经营活动有关的现金                 277,308,626.38                 646,769,071.06

经营活动现金流出小计                           5,951,494,397.16              10,576,047,511.84

经营活动产生的现金流量净额                    -2,535,953,487.80              -6,989,077,925.69

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                       232,386,800.00                 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                     147,152.57

投资活动现金流入小计                             232,533,952.57                 330,996,000.00

    投资支付的现金                                                              866,670,000.00

    购建固定资产、无形资产和其他长期资
                                                  69,734,485.06                  70,126,526.76
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                                                    157,281.66

投资活动现金流出小计                              69,734,485.06                 936,953,808.42

投资活动产生的现金流量净额                       162,799,467.51                -605,957,808.42

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

    发行债券收到的现金                        13,783,870,000.00               7,022,450,000.00

    收到其他与筹资活动有关的现金                                                 33,549,965.28

筹资活动现金流入小计                          13,783,870,000.00               7,055,999,965.28

    偿还债务支付的现金                        12,453,910,000.00               6,438,530,000.00

    分配股利、利润或偿付利息支付的现金         1,427,359,999.73               1,295,107,296.13

    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                     110,000.00

筹资活动现金流出小计                          13,881,379,999.73               7,733,637,296.13

筹资活动产生的现金流量净额                       -97,509,999.73                -677,637,330.85

四、汇率变动对现金的影响                            -924,501.99                     488,719.30

五、现金及现金等价物净增加额                  -2,471,588,522.01              -8,272,184,345.66



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                                                国元证券股份有限公司 2017 年第三季度报告全文


     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            14,559,083,287.05              15,522,688,131.06


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


                                                             二〇一七年十月二十七日




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