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国元证券(000728)公告正文

国元证券:2019年第一季度报告全文

公告日期 2019-04-26
股票简称:国元证券 股票代码:000728
                    国元证券股份有限公司 2019 年第一季度报告全文




国元证券股份有限公司

 2019 年第一季度报告




     2019 年 4 月




          1
                                                  国元证券股份有限公司 2019 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 2019 年第一季度报告全文




                                     第二节 公司基本情况

一、主要会计数据和财务指标

公司是否需追溯调整或重述以前年度会计数据
 是 √ 否

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

 营业收入(元)                              984,518,316.66           629,585,474.77                            56.38%

 归属于上市公司股东的净利润(元)            421,777,166.43           166,404,937.09                           153.46%

 归属于上市公司股东的扣除非经常性
                                             417,088,347.93           164,983,874.19                           152.81%
 损益的净利润(元)

 经营活动产生的现金流量净额(元)          5,754,876,968.69           364,614,613.85                       1478.35%

 基本每股收益(元/股)                                   0.13                     0.05                         153.46%

 稀释每股收益(元/股)                                   0.13                     0.05                         153.46%

 加权平均净资产收益率                                    1.66%                   0.65%          增长 1.01 个百分点

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

 总资产(元)                              87,948,084,744.84      78,039,209,869.44                             12.70%

 归属于上市公司股东的净资产(元)          25,056,467,687.43      24,636,332,892.30                              1.71%



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)                         -202,859.62

 计入当期损益的政府补助(与企业业务密切相关,按照国家统一标准
                                                                            6,536,000.00        主要为政府补助
 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                                           -67,696.19

 减:所得税影响额                                                           1,576,625.68

     少数股东权益影响额(税后)                                                          0.01

 合计                                                                       4,688,818.50                  --



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

                                                         3
                                                                        国元证券股份有限公司 2019 年第一季度报告全文


√ 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,持有以公允价值计量且其变
                                                动计入当期损益的金融资产、以公允价值计量且其变动计入当期损益的
                                                金融负债的公允价值变动损益,以及处置以公允价值计量且其变动计入
 除同公司正常经营业务相关                       当期损益的金融资产、以公允价值计量且其变动计入当期损益的金融负
 的有效套期保值业务外,持                       债和可供出售金融资产的投资收益,视为非经常性损益项目。由于本公
 有交易性金融资产、交易性                       司属于金融行业中的证券业,经营范围为:证券经纪;证券投资咨询;
 金融负债产生的公允价值变                       与证券交易、证券投资活动有关的财务顾问;证券承销与保荐;证券自
                               363,876,963.08
 动损益,以及处置交易性金                       营;证券资产管理;融资融券;证券投资基金代销;为期货公司提供中
 融资产、交易性金融负债、                       间介绍业务;代销金融产品;保险兼业代理。因此本公司根据自身正常经
 债权投资、其他债权投资取                       营业务的性质和特点将交易性金融资产、交易性金融负债产生的公允价
 得的投资收益                                   值变动损益,以及处置交易性金融资产、交易性金融负债、债权投资、
                                                其他债权投资取得的投资收益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、交易性
                                                金融负债、债权投资、其他债权投资取得的投资收益 76,522,493.97 元,
                                                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
                                                287,354,469.11 元。


二、报告期末股东总数及前十名股东持股情况表

1、普通股股东总数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                                 109,798                                                        0
                                                                    先股股东总数(如有)

                                                前 10 名股东持股情况

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

安徽国元金融控股集团有限责任公司     国有法人      21.43%       721,127,561     72,487,561

安徽国元信托有限责任公司             国有法人      13.54%       455,707,462

建安投资控股集团有限公司             国有法人      6.03%        202,965,173    202,965,173      质押     101,482,586

安徽省安粮集团有限公司               国有法人       4.3%        144,626,298                     质押      60,000,000

安徽省皖能股份有限公司               国有法人      4.28%        144,049,200

                                     境内一般
中国证券金融股份有限公司                           2.99%        100,627,761
                                       法人

安徽全柴集团有限公司                 国有法人      2.74%         92,263,512     14,497,512

安徽皖维高新材料股份有限公司         国有法人      2.63%         88,638,053


                                                            4
                                                                   国元证券股份有限公司 2019 年第一季度报告全文


广东省高速公路发展股份有限公司      国有法人    2.37%       79,601,986        79,601,986

                                    境内一般
安徽国海投资发展有限公司                        1.84%       62,063,520
                                      法人

                                        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

安徽国元金融控股集团有限责任公司                                     648,640,000      人民币普通股   648,640,000

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

安徽省安粮集团有限公司                                               144,626,298      人民币普通股   144,626,298

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

中国证券金融股份有限公司                                             100,627,761      人民币普通股   100,627,761

安徽皖维高新材料股份有限公司                                             88,638,053   人民币普通股    88,638,053

安徽全柴集团有限公司                                                     77,766,000   人民币普通股    77,766,000

安徽国海投资发展有限公司                                                 62,063,520   人民币普通股    62,063,520

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

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

                                                  安徽国元金融控股集团有限责任公司、安徽国元信托有限责任公司
上述股东关联关系或一致行动的说明                  互为一致行动人,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。

                                                  截至报告期末,安徽全柴集团有限公司通过转融券借出公司股票
前 10 名普通股股东参与融资融券业务情况说明(如有) 37.9 万股,安徽皖维高新材料股份有限公司通过转融券借出公
                                                  司股票 257.5 万股。

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、公司优先股股东总数及前 10 名优先股股东持股情况表

□ 适用 √ 不适用




                                                        5
                                                                         国元证券股份有限公司 2019 年第一季度报告全文




                                           第三节 重要事项

  一、报告期主要财务数据、财务指标发生变动的情况及原因

  √ 适用 □ 不适用
                                                                                                               单位:元

           项目       2019 年 3 月 31 日 2018 年 12 月 31 日 增减百分比                       主要原因

存出保证金                31,540,975.73     109,500,017.81         -71.20% 期末交易保证金减少所致

以公允价值计量且其
变动计入当期损益的               不适用 3,023,333,047.82                     实行新金融工具准则影响
金融资产

交易性金融资产        19,301,134,308.65             不适用                   实行新金融工具准则影响

债权投资                 798,973,708.10             不适用                   实行新金融工具准则影响

可供出售金融资产                 不适用 29,685,120,791.28                    实行新金融工具准则影响

其他债权投资          17,792,400,990.20             不适用                   实行新金融工具准则影响

持有至到期投资                   不适用     662,996,592.78                   实行新金融工具准则影响

                                                                             实行新金融工具准则影响,计提的金融工具利息
其他资产                 197,915,699.90 1,149,645,068.97           -82.78%
                                                                             (未逾期部分)在相应金融工具的账面余额中反映

交易性金融负债         9,074,688,900.22             不适用                   实行新金融工具准则影响

以公允价值计量且其
变动计入当期损益的               不适用 8,978,931,548.83                     实行新金融工具准则影响
金融负债

卖出回购金融资产款    15,963,796,488.13 11,290,925,063.25           41.39% 期末正回购融入资金规模增加所致

代理买卖证券款        17,445,597,772.10 12,646,231,733.27           37.95% 期末客户资金存款增加所致

应付债券              8,555,725,362.38    6,499,814,403.56          31.63% 发行收益凭证增加所致

递延所得税负债            10,672,934.88       1,462,963.33         629.54% 子公司交易性金融资产估值增加所致

                                                                             实行新金融工具准则影响,计提的金融工具利息
其他负债                  50,470,986.32     376,846,274.16         -86.61%
                                                                             (未逾期部分)在相应金融工具的账面余额中反映

其他综合收益             127,100,842.78    -351,261,290.81                   实行新金融工具准则影响

           项目         2019 年 1-3 月     2018 年 1-3 月       增减百分比                    主要原因

利息净收入               288,897,291.70     160,363,295.46          80.15% 债券投资及其他债权投资的相关的利息原在投资
                                                                             收益中核算,根据新金融工具准则要求,本报告期
投资收益                  93,127,276.10     294,468,087.19         -68.37%
                                                                             在利息收入中核算。

公允价值变动收益         287,354,469.11    -139,132,059.91               - 市场行情较好,估值增加


                                                            6
                                                                  国元证券股份有限公司 2019 年第一季度报告全文


资产处置收益                -202,859.62         -4,594.02          - 本报告期处置固定资产所致

汇兑收益                  -1,162,417.20     3,438,753.22    -133.80% 汇率变动所致

税金及附加                 7,167,739.78     22,548,181.09    -68.21% 上年同期子公司补缴税金与附加较大所致

                                                                       实行新金融工具准则影响,上年同期融出资金计提
资产减值损失                     不适用     25,622,104.83
                                                                       减值损失较大所致

信用减值损失               1,225,470.25           不适用               实行新金融工具准则影响

其他资产减值损失           1,123,998.73           不适用               实行新金融工具准则影响

其他业务成本              10,775,987.17     5,266,234.42     104.62% 主要系本期开户费等其他业务支出增长所致

营业外收入                 6,545,982.60     2,160,398.77     203.00% 本报告期补助增加所致

营业外支出                    77,678.79       259,719.70     -70.09% 本报告期赔偿金减少所致

所得税                   136,231,956.90     49,122,195.65    177.33% 利润增加所致

归属于母公司所有者
                         421,777,166.43   166,404,937.09     153.46% 本报告期市场行情转好,资产估值等因素增加所致
的净利润

归属母公司所有者的其
                          10,578,766.74   -210,541,953.30          - 本报告期其他债权投资公允价值增加所致
他综合收益的税后净额

经营活动产生的现金                                                      本报告期客户保证金增加,以及卖出回购业务融
                       5,754,876,968.69   364,614,613.85    1478.35%
流量净额                                                               入资金较多所致

筹资活动产生的现金
                        -944,315,787.08 -3,271,526,651.71          - 偿还债务减少所致
流量净额

汇率变动对现金及现
                         -28,530,070.50   -46,138,966.34           - 汇率变动所致
金等价物的影响

现金及现金等价物净
                       4,802,966,866.34 -2,926,629,617.16          - 本报告期偿还债务减少以及客户资金增加所致
增加额




  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、施行新金融工具会计准则

         2019 年 3 月 24 日,公司第八届董事会第二十八次会议审议通过了《关于公司会计政策变更和修订财

  务管理制度的议案》,具体公告见 2019 年 3 月 26 日的《中国证券报》《上海证券报》《证券时报》《证

  券日报》和巨潮资讯网。公司自 2019 年 1 月 1 日起施行《企业会计准则第 22 号——金融工具确认和计量》

  《企业会计准则第 23 号——金融资产转移》《企业会计准则第 24 号——套期会计》和《企业会计准则第

  37 号——金融工具列报》四项新金融工具会计准则,对公司财务报表的具体影响见本报告“第四节财务报

  表之二、财务报表调整情况说明”。

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                                                          国元证券股份有限公司 2019 年第一季度报告全文


    2、第一大股东增持情况

    2019 年 3 月 13 日,公司发布《国元证券股份有限公司关于第一大股东增持公司股份计划实施结果的

公告》,自 2018 年 9 月 11 日起 6 个月内,国元金控集团通过深圳证券交易所交易系统以集中竞价交易方

式增持公司股份 640,000 股,占公司总股本的比例为 0.0190%,增持均价 6.68 元/股,具体公告见 2019 年

3 月 13 日的《中国证券报》《证券时报》《上海证券报》《证券日报》和巨潮资讯网。

    3、可转债申请进展情况

    2019 年 4 月 15 日,公司召开第八届董事会第二十九会议,审议通过了《关于终止公开发行 A 股可转

换公司债券的议案》,具体公告见 2019 年 4 月 16 日的《中国证券报》《上海证券报》《证券时报》《证

券日报》和巨潮资讯网。

    4、债券发行情况

    2019 年 4 月 17 日,公司完成 33 亿元 2019 年非公开发行公司债券(第一期)发行工作,具体公告见

2019 年 4 月 19 日的《中国证券报》《证券时报》《上海证券报》《证券日报》和巨潮资讯网。

    2019 年 3 月 18 日,公司发行了 2019 年度第一期短期融资券,募集资金 20 亿元,具体公告见 2019 年

3 月 20 日的《中国证券报》《证券时报》《上海证券报》《证券日报》和巨潮资讯网。

    5、子公司相关重要事项

    2019 年 3 月 24 日,公司第八届董事会第二十八次会议审议通过了《关于全资子公司国元股权投资有

限公司出资参与池州中小企业基金合伙企业(暂定名)的议案》,同意公司全资子公司国元股权投资有限

公司以现金方式出资不超过 4 亿元参与池州中小企业基金合伙企业(暂定名),首期出资不超过 1 亿元,

授权公司经营管理层办理出资相关事宜,具体公告见 2019 年 3 月 26 日的《中国证券报》《上海证券报》

《证券时报》《证券日报》和巨潮资讯网。

    2018 年 3 月 5 日,公司第八届董事会第十五次会议审议通过了《关于全资子公司国元股权投资有限公

司出资参与安徽徽元新兴产业投资基金合伙企业(暂定名)的议案》,同意公司全资子公司国元股权投资

有限公司以现金方式出资 1.1 亿元参与安徽徽元新兴产业投资基金合伙企业(暂定名)并作为其普通合伙

人,授权公司经营管理层办理出资相关手续,具体公告见 2018 年 3 月 6 日的《中国证券报》《上海证券

报》《证券时报》《证券日报》和巨潮资讯网。

    2018 年 5 月 24 日,公司第八届第十九次会议审议通过《关于全资子公司国元创新投资有限公司出资

参与安徽安元创新风险投资基金有限公司的议案》,同意公司全资子公司国元创新投资有限公司以现金方

式出资 3 亿元参与安徽安元创新风险投资基金有限公司,授权公司经营管理层办理出资相关事宜,具体公

告见 2018 年 5 月 25 日的《中国证券报》《上海证券报》《证券时报》《证券日报》和巨潮资讯网。2018

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                                                                                          国元证券股份有限公司 2019 年第一季度报告全文


       年 12 月,国元创新完成首期出资 1 亿元。

       股份回购的实施进展情况
       □ 适用 √ 不适用

       采用集中竞价方式减持回购股份的实施进展情况
       □ 适用 √ 不适用


       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 2019 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

                                                                             计入权
证                                                            本期公
                                        会计                                 益的累                                                      会计
券     证券代   证券     最初投资                 期初账      允价值                     本期购     本期出     报告期     期末账面                资金
                                        计量                                 计公允                                                      核算
品       码     简称       成本                   面价值      变动损                     买金额     售金额      损益         价值                 来源
                                        模式                                 价值变                                                      科目
种                                                              益
                                                                               动

                19 国    1,028,881,6    公允价                           2,349,20        1,034,36              2,744,40   1,031,230,82   其他债   自有
债券   190205
                开 05          20.83    值计量                                  4.31     7,173.96                  8.51           5.14   权投资   资金

                18 国    408,923,687    公允价   257,823,75              1,468,21        158,130,              2,768,80   410,391,903.   其他债   自有
债券   180210
                开 10             .06   值计量         0.00                     6.24       271.23                  7.27             30   权投资   资金

                                                                                                                                         交易性
资管            国元睿   330,550,929    公允价   356,791,97   3,706,57                              11,552,3   4,340,93   348,946,181.            自有
                                                                                                                                         金融资
产品            丰1号             .85   值计量         8.95       1.11                                 68.15       2.93             91            资金
                                                                                                                                         产

                18 贵    260,551,854    公允价   260,707,98              211,684.                              2,386,72   260,763,539.   其他债   自有
债券   157534
                州 27             .84   值计量         0.00                         61                             0.05             45   权投资   资金

                19 安
                         260,000,000    公允价                           -2,781,4        260,055,              1,384,93   257,218,520.   其他债   自有
债券   104500   徽债
                                  .00   值计量                                 80.00       397.26                  1.51             00   权投资   资金
                 01

                18 京    221,374,500    公允价   220,000,00              -1,375,4                              2,122,56   219,999,011.   其他债   自有
债券   152011
                投 09             .18   值计量         0.00                    88.46                               1.26             72   权投资   资金

债券   155037   18 电    221,531,404    公允价   150,000,00              -1,533,3        71,701,6              1,423,48   219,998,020.   其他债   自有



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                                                                                               国元证券股份有限公司 2019 年第一季度报告全文


                  投 13            .26        值计量          0.00                    83.74      95.00                     1.77                  52   权投资        资金

                  18 鄂   215,054,902         公允价   165,600,00                 2,292,12    54,197,7               1,946,67          217,347,025.   其他债        自有
债券   127820
                  交投             .32        值计量          0.00                     3.65      53.43                     3.79                  97   权投资        资金

                  18 国   213,080,755         公允价   217,911,40                 2,801,70                           2,098,38          215,882,462.   其他债        自有
债券   180205
                  开 05            .55        值计量          0.00                     7.31                                2.82                  86   权投资        资金

                 G18 龙   200,000,000         公允价   200,000,00                 2,360,00                           1,842,33          202,360,000.   其他债        自有
债券   155057
                  源2              .00        值计量          0.00                     0.00                                6.92                  00   权投资        资金


期末持有的其他证券        34,460,109,                  32,266,545     284,962,    26,657,1    6,589,72   4,655,48    532,794,          34,508,371,5
                                                --                                                                                                     --            --
投资                            330.54                   ,308.72        885.93        88.28   3,870.49   7,795.10        877.24               16.07

                          37,820,058,                  34,095,380     288,669,    32,449,7    8,168,17   4,667,04    555,854,          37,892,509,0
合计                                            --                                                                                                     --            --
                                985.43                   ,417.67        457.04        72.20   6,161.37   0,163.25        114.07               06.94


证券投资审批董事会
                          2018 年 8 月 31 日
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
                                                                                                                计提减
                                                                                                                                             资金额
 衍生品投                                衍生品投                                                               值准备                                  报告期实
            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
 资操作方                                资初始投                                                                   金额                                际损益金
            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
   名称                                   资金额                                                                    (如                                       额
                                                                                                                                             末净资
                                                                                                                    有)
                                                                                                                                             产比例

 股指期货   --       否   股指期货              -        --      --     10,724.08 47,108.34 57,832.42                -             -             -     -3,089.71

                 合计                           -        --      --     10,724.08 47,108.34 57,832.42                -             -             -     -3,089.71

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             股指期货投资业务涉及的风险点主要集中在保证金管理、对冲比率、各合约资金分配比例、强制减仓
控制措施说明(包括但不限于市场 和强行平仓等方面。在日常风险管理中,公司运用金融工程技术,综合考虑相关因素,确定追加保证
风险、流动性风险、信用风险、操 金金额、对冲比率、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。公司股
作风险、法律风险等)                     指期货持仓为空头头寸,专为公司自营证券做风险对冲。

已投资衍生品报告期内市场价格             采用活跃市场中的报价来确定公允价值



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                                                                          国元证券股份有限公司 2019 年第一季度报告全文


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
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     公司自 2019 年 1 月 1 日起施行《企业会计准则第 24 号——套期会计》新金融工具会计准则。
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

                                                                                   详见深交所互动易平台《国元证券:
        2019 年 2 月 22 日                实地调研                 机构            2019 年 2 月 25 日投资者关系活动记
                                                                                   录表》,编号:2019-01


       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。




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                                                               国元证券股份有限公司 2019 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                    2019 年 3 月 31 日                    2018 年 12 月 31 日

 资产:

     货币资金                                    19,516,771,771.98                      15,084,867,750.32

       其中:客户资金存款                        15,188,853,276.39                      10,677,463,710.22

     结算备付金                                      2,879,430,538.97                    2,508,367,694.29

       其中:客户备付金                              2,420,678,442.01                    1,965,985,344.72

     贵金属                                                         -                                      -

     拆出资金                                                       -                                      -

     融出资金                                    13,058,981,243.47                      10,077,567,140.86

     衍生金融资产                                                   -                                      -

     存出保证金                                         31,540,975.73                      109,500,017.81

     应收款项                                         404,803,218.89                       323,062,939.31

     合同资产                                                       -                                 不适用

     买入返售金融资产                                9,439,777,331.72                   10,797,390,499.83

     持有待售资产                                                   -                                      -

     金融投资:

          以公允价值计量且其变动计入
                                                               不适用                    3,023,333,047.82
 当期损益的金融资产

          交易性金融资产                         19,301,134,308.65                                    不适用

          债权投资                                    798,973,708.10                                  不适用

          可供出售金融资产                                     不适用                   29,685,120,791.28

          其他债权投资                           17,792,400,990.20                                    不适用

          其他权益工具投资                                           -                                不适用

          持有至到期投资                                       不适用                      662,996,592.78

     长期股权投资                                    2,702,410,031.58                    2,716,345,786.47

     投资性房地产                                                    -                                     -

     固定资产                                        1,326,707,312.72                    1,348,479,846.87


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                                                   国元证券股份有限公司 2019 年第一季度报告全文


    在建工程                                 71,806,485.11                     68,561,745.80

    使用权资产                                           -                            不适用

    无形资产                                 50,009,776.56                     55,582,674.15

    商誉                                   120,876,333.75                     120,876,333.75

    递延所得税资产                         254,545,017.51                     307,511,939.13

    其他资产                               197,915,699.90                   1,149,645,068.97

资产总计                              87,948,084,744.84                    78,039,209,869.44

负债:

    短期借款                               995,036,400.00                   1,121,536,000.00

    应付短期融资款                        8,692,005,966.92                 11,052,460,000.00

    拆入资金                                             -                                 -

    交易性金融负债                        9,074,688,900.22                            不适用

    以公允价值计量且其变动计入当期
                                                   不适用                   8,978,931,548.83
损益的金融负债

    衍生金融负债                                         -                                 -

    卖出回购金融资产款                15,963,796,488.13                    11,290,925,063.25

    代理买卖证券款                    17,445,597,772.10                    12,646,231,733.27

    代理承销证券款                         576,423,294.30                                  -

    应付职工薪酬                           345,103,831.15                     274,909,485.53

    应交税费                               171,218,267.82                     190,310,027.40

    应付款项                               562,575,158.41                     511,935,576.67

    合同负债                                             -                            不适用

    持有待售负债                                         -                                 -

    预计负债                                 8,060,000.00                       8,060,000.00

    长期借款                               428,895,000.00                     438,100,000.00

    应付债券                              8,555,725,362.38                  6,499,814,403.56

      其中:优先股                                       -                                 -

            永续债                                       -                                 -

    租赁负债                                             -                            不适用

    递延收益                                             -                                 -

    递延所得税负债                           10,672,934.88                      1,462,963.33

    其他负债                                 50,470,986.32                    376,846,274.16

负债合计                              62,880,270,362.63                    53,391,523,076.00

所有者权益:



                                     13
                                                          国元证券股份有限公司 2019 年第一季度报告全文


     股本                                       3,365,447,047.00                    3,365,447,047.00

     其他权益工具                                              -                                      -

       其中:优先股                                            -                                      -

              永续债                                           -                                      -

     资本公积                               12,610,173,775.88                      12,610,173,775.88

     减:库存股                                                -                                      -

     其他综合收益                                 127,100,842.78                     -351,261,290.81

     盈余公积                                   1,277,123,467.99                    1,321,496,564.92

     一般风险准备                               2,602,451,992.86                    2,693,082,651.87

     未分配利润                                 5,074,170,560.92                    4,997,394,143.44

 归属于母公司所有者权益合计                 25,056,467,687.43                      24,636,332,892.30

     少数股东权益                                  11,346,694.78                        11,353,901.14

     所有者权益合计                         25,067,814,382.21                      24,647,686,793.44

 负债和所有者权益总计                       87,948,084,744.84                      78,039,209,869.44


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              2019 年 3 月 31 日                    2018 年 12 月 31 日

 资产:

     货币资金                               16,404,319,082.63                      11,060,774,363.08

       其中:客户资金存款                   12,746,422,403.56                       7,559,430,146.91

     结算备付金                                 1,961,328,995.36                    1,974,642,582.04

       其中:客户备付金                         1,605,141,717.23                    1,544,010,295.71

     贵金属                                                    -                                      -

     拆出资金                                                  -                                      -

     融出资金                               12,039,384,461.25                       8,955,322,387.20

     衍生金融资产                                              -                                      -

     存出保证金                                   20,506,295.10                       104,547,200.73

     应收款项                                    147,251,826.00                       107,726,714.80

     合同资产                                                  -                                 不适用

     买入返售金融资产                           8,955,612,933.22                   10,148,357,936.71

     持有待售资产                                              -                                      -

     金融投资:


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                                                    国元证券股份有限公司 2019 年第一季度报告全文


         以公允价值计量且其变动计入
                                                    不适用                   1,656,266,924.91
当期损益的金融资产

         交易性金融资产                    5,446,123,714.98                            不适用

         债权投资                                        -                             不适用

         可供出售金融资产                           不适用                  17,716,508,468.39

         其他债权投资                  17,792,400,990.20                               不适用

         其他权益工具投资                                 -                            不适用

         持有至到期投资                             不适用                                  -

    长期股权投资                           6,187,424,064.27                  6,199,767,473.41

    投资性房地产                                         -                                  -

    固定资产                               1,314,195,467.53                  1,335,882,296.31

    在建工程                                 71,806,485.11                      68,304,159.58

    使用权资产                                                                         不适用

    无形资产                                 45,683,780.49                      51,233,876.43

    商誉                                                 -                                  -

    递延所得税资产                          204,587,977.20                     253,208,472.53

    其他资产                                121,647,070.81                     746,570,420.54

资产总计                               70,712,273,144.15                    60,379,113,276.66

负债:

    短期借款                                             -                                  -

    应付短期融资款                         8,692,005,966.92                 11,052,460,000.00

    拆入资金                                             -                                  -

    交易性金融负债                                       -                             不适用

    以公允价值计量且其变动计入当期
                                                    不适用                                  -
损益的金融负债

    衍生金融负债                                         -                                  -

    卖出回购金融资产款                 13,981,721,182.08                     9,184,499,256.00

    代理买卖证券款                     14,312,621,630.51                     9,075,235,796.80

    代理承销证券款                          576,423,294.30                                  -

    应付职工薪酬                            342,593,920.25                     271,379,762.63

    应交税费                                161,424,011.15                     166,635,704.16

    应付款项                                129,826,014.32                     228,759,137.37

    合同负债                                             -                             不适用

    持有待售负债                                         -                                  -

    预计负债                                  8,060,000.00                       8,060,000.00


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                                                             国元证券股份有限公司 2019 年第一季度报告全文


     长期借款                                                     -                                  -

     应付债券                                       8,555,725,362.38                  6,499,814,403.56

       其中:优先股                                               -                                  -

             永续债                                               -                                  -

     租赁负债                                                     -                             不适用

     递延收益                                                     -                                  -

     递延所得税负债                                               -                                  -

     其他负债                                         17,700,229.85                     340,246,126.21

 负债合计                                       46,778,101,611.76                    36,827,090,186.73

 所有者权益:

     股本                                           3,365,447,047.00                  3,365,447,047.00

     其他权益工具                                                 -                                  -

       其中:优先股                                               -                                  -

             永续债                                               -                                  -

     资本公积                                   12,610,368,506.67                    12,610,368,506.67

     减:库存股                                                   -                                  -

     其他综合收益                                    117,795,686.07                    -361,372,209.57

     盈余公积                                       1,277,123,467.99                  1,321,496,564.92

     一般风险准备                                   2,516,103,719.92                  2,604,849,913.78

     未分配利润                                     4,047,333,104.74                  4,011,233,267.13

 所有者权益合计                                 23,934,171,532.39                    23,552,023,089.93

 负债和所有者权益总计                           70,712,273,144.15                    60,379,113,276.66


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、营业总收入                                          984,518,316.66                 629,585,474.77

     利息净收入                                          288,897,291.70                 160,363,295.46

       利息收入                                          595,781,628.63                 517,047,900.83

       利息支出                                          306,884,336.93                 356,684,605.37

     手续费及佣金净收入                                  300,726,028.07                 293,460,077.53

     其中:经纪业务手续费净收入                          193,954,664.58                 170,357,223.37

       投资银行业务手续费净收入                           96,870,317.18                 109,259,221.97


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                                                       国元证券股份有限公司 2019 年第一季度报告全文


      资产管理业务手续费净收入                       9,726,313.33                  13,381,487.77

    投资收益(损失以“-”列示)                     93,127,276.10                294,468,087.19

      其中:对联营企业和合营企业的投资收益           16,604,782.13                 18,892,019.75

          以摊余成本计量的金融资产终止确认
                                                                 -                             -
产生的收益(损失以“-”号填列)

    净敞口套期收益(损失以“-”号填列)                          -                        不适用

    其他收益                                                     -                             -

    公允价值变动收益(损失以“-”列示)            287,354,469.11               -139,132,059.91

    汇兑收益(损失以“-”列示)                     -1,162,417.20                  3,438,753.22

    其他业务收入                                     15,778,528.50                 16,991,915.30

    资产处置收益(损失以“-”号填列)                  -202,859.62                     -4,594.02

二、营业总支出                                      432,984,703.50                416,105,972.97

    税金及附加                                       7,167,739.78                  22,548,181.09

    业务及管理费                                    412,691,507.57                362,669,452.63

    资产减值损失                                           不适用                  25,622,104.83

    信用减值损失                                     1,225,470.25                         不适用

    其他资产减值损失                                 1,123,998.73                         不适用

    其他业务成本                                     10,775,987.17                  5,266,234.42

三、营业利润(亏损以“-”列示)                    551,533,613.16                213,479,501.80

    加:营业外收入                                   6,545,982.60                   2,160,398.77

    减:营业外支出                                       77,678.79                    259,719.70

四、利润总额(亏损总额以“-”列示)                558,001,916.97                215,380,180.87

    减:所得税费用                                  136,231,956.90                 49,122,195.65

五、净利润(净亏损以“-”列示)                    421,769,960.07                166,257,985.22

  (一)按经营持续性分类

    1.持续经营净利润(净亏损以“-”号填列)        421,769,960.07                166,257,985.22

    2.终止经营净利润(净亏损以“-”号填列)

  (二)按所有权属分类

  1.归属于母公司所有者的净利润                      421,777,166.43                166,404,937.09

  2.少数股东损益                                         -7,206.36                   -146,951.87

六、其他综合收益的税后净额                           10,578,766.74               -210,539,231.75

  归属母公司所有者的其他综合收益的税后净额           10,578,766.74               -210,541,953.30

    (一)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的变动额                           -                             -



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                                                                     国元证券股份有限公司 2019 年第一季度报告全文


          2.权益法下不能转损益的其他综合收益                                    -                              -

          3.其他权益工具投资公允价值变动                                        -                        不适用

          4.企业自身信用风险公允价值变动                                        -                              -

          5.其他                                                                -                              -

     (二)将重分类进损益的其他综合收益                          10,578,766.74                 -210,541,953.30

          1.权益法下可转损益的其他综合收益                       -3,175,537.02                      -302,878.19
          2.其他债权投资公允价值变动                             32,719,498.52                           不适用

          3.可供出售金融资产公允价值变动损益                              不适用             -160,661,355.55
          4.金融资产重分类计入其他综合收益的
                                                                                -                              -
 金额

          5.持有至到期投资重分类为可供出售金
                                                                          不适用                               -
 融资产损益

          6.其他债权投资信用损失准备                                8,402,458.54                         不适用

          7.现金流量套期储备                                                    -                              -

          8.外币财务报表折算差额                                -27,367,653.30                  -49,577,719.56

          9.其他                                                                                               -

   归属于少数股东的其他综合收益的税后净额                                       -                       2,721.55

 七、综合收益总额                                               432,348,726.81                  -44,281,246.53

 其中:归属于母公司所有者(或股东)的综合收
                                                                432,355,933.17                  -44,137,016.21
 益总额

   归属于少数股东的综合收益总额                                         -7,206.36                    -144,230.32

 八、每股收益                                                  --                              --

 (一)基本每股收益                                                         0.13                           0.05

 (二)稀释每股收益                                                         0.13                           0.05

本期未发生同一控制下企业合并。

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、营业总收入                                                817,027,314.18                   525,082,174.67

     利息净收入                                                265,263,890.03                   161,170,824.50

        利息收入                                               541,642,979.25                   470,465,345.33

        利息支出                                               276,379,089.22                   309,294,520.83

     手续费及佣金净收入                                        296,956,590.05                   291,091,933.20


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                                                        国元证券股份有限公司 2019 年第一季度报告全文


    其中:经纪业务手续费净收入                      183,830,811.37                 157,558,851.48

          投资银行业务手续费净收入                   95,483,654.83                 108,687,129.47

          资产管理业务手续费净收入                   17,467,390.86                  24,383,807.82

    投资收益(损失以“-”列示)                     40,348,424.40                  59,054,403.86

      其中:对联营企业和合营企业的投资收益           13,896,590.86                  18,383,846.53

          以摊余成本计量的金融资产终止确
                                                                 -                              -
认产生的收益(损失以“-”号填列)

    净敞口套期收益(损失以“-”号填列)                          -                         不适用

    其他收益                                                     -                              -

    公允价值变动收益(损失以“-”列示)            210,541,699.21                   8,926,179.85

    汇兑收益(损失以“-”列示)                       -434,715.93                    -774,710.01

    其他业务收入                                     4,554,286.04                    5,614,845.61

    资产处置收益(损失以“-”号填列)                  -202,859.62                      -1,302.34

二、营业总支出                                      360,490,090.76                 356,157,218.07

    税金及附加                                       7,091,151.81                    8,055,434.85

    业务及管理费                                    347,513,106.17                 317,613,471.65

    资产减值损失                                           不适用                   25,222,077.15

    信用减值损失                                     1,225,470.25                          不适用

    其他资产减值损失                                 1,120,877.40                          不适用

    其他业务成本                                     3,539,485.13                    5,266,234.42

三、营业利润(亏损以“-”列示)                    456,537,223.42                 168,924,956.60

    加:营业外收入                                       59,981.70                     155,987.93

    减:营业外支出                                       77,502.41                     141,806.06

四、利润总额(亏损总额以“-”列示)                456,519,702.71                 168,939,138.47

    减:所得税费用                                  109,808,186.57                  36,662,573.49

五、净利润(净亏损以“-”列示)                    346,711,516.14                 132,276,564.98

(一)持续经营净利润(净亏损以“-”号填列)        346,711,516.14                 132,276,564.98

(二)终止经营净利润(净亏损以“-”号填列)                     -                              -

六、其他综合收益的税后净额                           41,121,957.06                -155,236,645.67

    (一)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变动额                               -                              -

      2.权益法下不能转损益的其他综合收益                         -                              -

      3.其他权益工具投资公允价值变动                             -                         不适用

      4.企业自身信用风险公允价值变动                             -                              -



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                                                                     国元证券股份有限公司 2019 年第一季度报告全文


        5.其他                                                               -                               -

     (二)将重分类进损益的其他综合收益                          41,121,957.06                 -155,236,645.67

        1.权益法下可转损益的其他综合收益                                     -                    -302,878.19
        2.其他债权投资公允价值变动                               32,719,498.52                          不适用

        3.可供出售金融资产公允价值变动损益                              不适用               -154,933,767.48
        4.金融资产重分类计入其他综合收益的
                                                                             -                               -
 金额

        5.持有至到期投资重分类为可供出售金
                                                                        不适用                               -
 融资产损益

        6.其他债权投资信用损失准备                                8,402,458.54                          不适用

        7.现金流量套期储备                                                   -                               -

        8.外币财务报表折算差额                                               -                               -

        9.其他                                                               -                               -

 七、综合收益总额                                               387,833,473.20                  -22,960,080.69

 八、每股收益:

 (一)基本每股收益                                                       0.10                            0.04

 (二)稀释每股收益                                                       0.10                            0.04

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:

     销售商品、提供劳务收到的现金                                           -                                -

     向其他金融机构拆入资金净增加额                                         -                                -

     收取利息、手续费及佣金的现金                             1,017,520,120.94                  921,371,620.89

     拆入资金净增加额                                                       -                                -

     融出资金净减少额                                                       -                   852,181,870.88

     回购业务资金净增加额                                     5,954,469,257.70                2,948,969,256.94

     代理买卖证券收到的现金净额                               5,363,398,097.13                1,154,775,374.44

     收到其他与经营活动有关的现金                              261,387,412.51                   397,313,633.67

 经营活动现金流入小计                                        12,596,774,888.28                6,274,611,756.82

     为交易目的而持有的金融资产净增加额                       3,376,392,320.14                5,038,218,378.79

     拆出资金净增加额                                                       -                                -

     融出资金净增加额                                         2,720,662,824.84                               -

                                                        20
                                                          国元证券股份有限公司 2019 年第一季度报告全文


    返售业务资金净增加额                                         -                                -

    支付利息、手续费及佣金的现金                    219,546,693.91                   206,968,970.83

    支付给职工及为职工支付的现金                    215,974,466.10                   282,585,893.20

    支付的各项税费                                  112,431,919.77                   206,835,098.48

    支付其他与经营活动有关的现金                    196,889,694.84                   175,388,801.67

经营活动现金流出小计                               6,841,897,919.60                5,909,997,142.97

经营活动产生的现金流量净额                         5,754,876,968.68                  364,614,613.85

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                           27,365,000.00                    35,219,000.00

    处置固定资产、无形资产和其他长期资产
                                                      1,282,987.10                                -
收回的现金净额

    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                          1,511.19                                -

投资活动现金流入小计                                 28,649,498.29                    35,219,000.00

    投资支付的现金                                               -                                -

    购建固定资产、无形资产和其他长期资产
                                                      7,707,693.05                     8,796,310.62
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                          6,050.00                         1,302.34

投资活动现金流出小计                                  7,713,743.05                     8,797,612.96

投资活动产生的现金流量净额                           20,935,755.24                    26,421,387.04

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                                           -                    92,999,750.00

    发行债券收到的现金                             5,350,030,000.00                2,336,750,000.00

    收到其他与筹资活动有关的现金                                 -                                -

筹资活动现金流入小计                               5,350,030,000.00                2,429,749,750.00

    偿还债务支付的现金                             6,208,064,600.00                5,571,470,000.00

    分配股利、利润或偿付利息支付的现金               86,281,187.08                   129,806,401.71

     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                                 -                                -

筹资活动现金流出小计                               6,294,345,787.08                5,701,276,401.71

筹资活动产生的现金流量净额                         -944,315,787.08                -3,271,526,651.71


                                              21
                                                                 国元证券股份有限公司 2019 年第一季度报告全文


 四、汇率变动对现金的影响                                   -28,530,070.50                  -46,138,966.34

 五、现金及现金等价物净增加额                             4,802,966,866.34               -2,926,629,617.16

     加:期初现金及现金等价物余额                        17,587,235,444.61               21,329,116,694.58

 六、期末现金及现金等价物余额                            22,390,202,310.95               18,402,487,077.42

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:

     销售商品、提供劳务收到的现金                                       -                                -

     向其他金融机构拆入资金净增加额                                     -                                -

     收取利息、手续费及佣金的现金                          901,409,094.52                   822,395,111.33

     拆入资金净增加额                                                   -                                -

     融出资金净减少额                                                   -                   816,525,502.87

     回购业务资金净增加额                                5,915,467,550.78                 1,762,556,672.39

     代理买卖证券收到的现金净额                          5,813,809,128.01                   547,570,296.19

     收到其他与经营活动有关的现金                           87,372,186.27                   365,706,853.06

 经营活动现金流入小计                                    12,718,057,959.58                4,314,754,435.84

     为交易目的而持有的金融资产净增加额                  3,198,428,087.20                 3,738,819,198.01

     拆出资金净增加额                                                   -                                -

     融出资金净增加额                                    2,819,805,996.28                                -

     返售业务资金净增加额                                               -                                -

     支付利息、手续费及佣金的现金                          166,286,989.86                   144,473,957.50

     支付给职工及为职工支付的现金                          171,893,467.81                   259,772,007.65

     支付的各项税费                                         86,777,849.19                   144,162,710.09

     支付其他与经营活动有关的现金                          172,220,817.06                    27,960,287.24

 经营活动现金流出小计                                    6,615,413,207.40                 4,315,188,160.49

 经营活动产生的现金流量净额                              6,102,644,752.18                      -433,724.65

 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                                 26,240,000.00                    35,219,000.00

     处置固定资产、无形资产和其他长期资产
                                                             1,282,987.10                                -
 收回的现金净额

                                                    22
                                                                       国元证券股份有限公司 2019 年第一季度报告全文


     收到其他与投资活动有关的现金                                               -                                -

 投资活动现金流入小计                                              27,522,987.10                   35,219,000.00

     投资支付的现金                                                             -                                -

     购建固定资产、无形资产和其他长期资产
                                                                   6,210,218.72                     8,461,237.34
 所支付的现金

     支付其他与投资活动有关的现金                                       6,050.00                          1,302.34

 投资活动现金流出小计                                              6,216,268.72                     8,462,539.68

 投资活动产生的现金流量净额                                        21,306,718.38                   26,756,460.32

 三、筹资活动产生的现金流量:

     吸收投资收到的现金                                                         -                                -

     取得借款收到的现金                                                         -                                -

     发行债券收到的现金                                        5,350,030,000.00                 2,336,750,000.00

     收到其他与筹资活动有关的现金                                               -                                -

 筹资活动现金流入小计                                          5,350,030,000.00                 2,336,750,000.00

     偿还债务支付的现金                                        6,072,360,000.00                 5,571,470,000.00

     分配股利、利润或偿付利息支付的现金                            70,955,621.76                  123,108,996.84

     支付其他与筹资活动有关的现金                                               -                                -

 筹资活动现金流出小计                                          6,143,315,621.76                 5,694,578,996.84

 筹资活动产生的现金流量净额                                      -793,285,621.76               -3,357,828,996.84

 四、汇率变动对现金的影响                                            -434,715.93                     -774,710.01

 五、现金及现金等价物净增加额                                  5,330,231,132.87                -3,332,280,971.18

     加:期初现金及现金等价物余额                              13,029,416,945.12               17,009,951,420.25

 六、期末现金及现金等价物余额                                  18,359,648,077.99               13,677,670,449.07

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、财务报表调整情况说明

1、首次执行新金融工具准则、新收入准则、新租赁准则调整首次执行当年年初财务报表相关项目情况

√ 适用 □ 不适用
合并资产负债表
                                                                                                            单位:元



            项目                    2018 年 12 月 31 日             2019 年 1 月 1 日            调整数

 资产:

     货币资金                          15,084,867,750.32              15,084,867,750.32                          -



                                                          23
                                                   国元证券股份有限公司 2019 年第一季度报告全文


      其中:客户资金存款      10,677,463,710.22   10,677,463,710.22                        -

    结算备付金                 2,508,367,694.29    2,508,367,694.29                        -

      其中:客户备付金         1,965,985,344.72    1,965,985,344.72                        -

    贵金属                                    -                   -                        -

    拆出资金                                  -                   -                        -

    融出资金                  10,077,567,140.86   10,345,255,757.80           267,688,616.94

    衍生金融资产                              -                   -                        -

    存出保证金                   109,500,017.81      109,500,017.81                        -

    应收款项                     323,062,939.31      322,169,215.31              -893,724.00

    合同资产                    不适用

    买入返售金融资产          10,797,390,499.83   10,719,366,582.86           -78,023,916.97

    持有待售资产                              -                   -                        -

    金融投资:                                -                   -                        -

         以公允价值计量且其
                               3,023,333,047.82     不适用                 -3,023,333,047.82
变动计入当期损益的金融资产

         交易性金融资产         不适用            19,211,653,439.81        19,211,653,439.81

         债权投资               不适用               691,635,136.21           691,635,136.21

         可供出售金融资产     29,685,120,791.28     不适用                -29,685,120,791.28

         其他债权投资           不适用            14,192,091,841.65        14,192,091,841.65

         其他权益工具投资       不适用                            -                        -

         持有至到期投资          662,996,592.78     不适用                   -662,996,592.78

    长期股权投资               2,716,345,786.47    2,716,345,786.47                        -

    投资性房地产                              -                   -                        -

    固定资产                   1,348,479,846.87    1,348,479,846.87                        -

    在建工程                      68,561,745.80       68,561,745.80                        -

    使用权资产                  不适用                            -

    无形资产                      55,582,674.15       55,582,674.15                        -

    商誉                         120,876,333.75      120,876,333.75                        -

    递延所得税资产               307,511,939.13      309,418,517.13             1,906,578.00

    其他资产                   1,149,645,068.97      222,816,391.17          -926,828,677.80

资产总计                      78,039,209,869.44   78,026,988,731.40           -12,221,138.04

负债:

    短期借款                   1,121,536,000.00    1,121,536,000.00                        -

    应付短期融资款            11,052,460,000.00   11,195,427,962.70           142,967,962.70



                                             24
                                                  国元证券股份有限公司 2019 年第一季度报告全文


    拆入资金                                 -                   -                        -

    交易性金融负债             不适用             8,978,931,548.83         8,978,931,548.83

    以公允价值计量且其变动
                              8,978,931,548.83     不适用                 -8,978,931,548.83
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       11,290,925,063.25   11,305,831,628.54            14,906,565.29

    代理买卖证券款           12,646,231,733.27   12,646,231,733.27                        -

    代理承销证券款                           -                   -                        -

    应付职工薪酬                274,909,485.53      274,909,485.53                        -

    应交税费                    190,310,027.40      190,310,027.40                        -

    应付款项                    511,935,576.67      511,935,576.67                        -

    合同负债                   不适用                            -

    持有待售负债                             -                   -                        -

    预计负债                      8,060,000.00        8,060,000.00                        -

    长期借款                    438,100,000.00      438,100,000.00                        -

    应付债券                  6,499,814,403.56    6,669,580,375.81           169,765,972.25

      其中:优先股                           -                   -                        -

            永续债                           -                   -                        -

    租赁负债                   不适用                            -

    递延收益                                 -                   -                        -

    递延所得税负债                1,462,963.33        1,462,963.33                        -

    其他负债                    376,846,274.16       49,205,773.92          -327,640,500.24

负债合计                     53,391,523,076.00   53,391,523,076.00                        -

所有者权益:

    股本                      3,365,447,047.00    3,365,447,047.00                        -

    其他权益工具                             -                   -                        -

      其中:优先股                           -                   -                        -

            永续债                           -                   -                        -

    资本公积                 12,610,173,775.88   12,610,173,775.88                        -

    减:库存股                               -                   -                        -

    其他综合收益               -351,261,290.81      116,522,076.04           467,783,366.85

    盈余公积                  1,321,496,564.92    1,277,123,467.99           -44,373,096.93

    一般风险准备              2,693,082,651.87    2,602,451,992.86           -90,630,659.01

    未分配利润                4,997,394,143.44    4,652,393,394.49          -345,000,748.95



                                            25
                                                                   国元证券股份有限公司 2019 年第一季度报告全文


 归属于母公司所有者权益合计           24,636,332,892.30          24,624,111,754.26             -12,221,138.04

     少数股东权益                         11,353,901.14              11,353,901.14                       0.00

     所有者权益合计                   24,647,686,793.44          24,635,465,655.40             -12,221,138.04

 负债和所有者权益总计                 78,039,209,869.44          78,026,988,731.40             -12,221,138.04

财政部于 2017 年颁布了修订后的《企业会计准则第 22 号——金融工具确认和计量》(财会【2017】7 号)、《企业会计准则
第 23 号——金融资产转移》(财会【2017】8 号)、《企业会计准则第 24 号——套期会计》(财会【2017】9 号)及《企业会计
准则第 37 号——金融工具列报》(财会【2017】14 号)。
本公司于 2019 年 01 月 01 日起执行上述新金融工具准则,根据新准则中衔接规定,按新准则对金融工具进行分类和计量,
金融工具原账面价值和新账面价值的差异,计入 2019 年 1 月 1 日期初留存收益和其他综合收益。
母公司资产负债表
                                                                                                       单位:元

              项目                 2018 年 12 月 31 日         2019 年 1 月 1 日              调整数

 资产:

     货币资金                         11,060,774,363.08          11,060,774,363.08                          -

       其中:客户资金存款              7,559,430,146.91           7,559,430,146.91                          -

     结算备付金                        1,974,642,582.04           1,974,642,582.04                          -

       其中:客户备付金                1,544,010,295.71           1,544,010,295.71                          -

     贵金属                                              -                         -                        -

     拆出资金                                            -                         -                        -

     融出资金                          8,955,322,387.20           9,226,515,804.14             271,193,416.94

     衍生金融资产                                        -                         -                        -

     存出保证金                          104,547,200.73             104,547,200.73                          -

     应收款项                            107,726,714.80             107,726,714.80                          -

     合同资产                            不适用                                    -

     买入返售金融资产                 10,148,357,936.71          10,069,446,927.32             -78,911,009.39

     持有待售资产                                        -                         -                        -

     金融投资:                                          -                         -                        -

          以公允价值计量且其
                                       1,656,266,924.91             不适用                  -1,656,266,924.91
 变动计入当期损益的金融资产

          交易性金融资产                 不适用                   5,568,370,882.57           5,568,370,882.57

          债权投资                       不适用                                    -                        -

          可供出售金融资产            17,716,508,468.39             不适用                 -17,716,508,468.39

          其他债权投资                   不适用                  14,192,091,841.65          14,192,091,841.65

          其他权益工具投资               不适用                                    -                        -

          持有至到期投资                                 -          不适用                                  -



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                                                  国元证券股份有限公司 2019 年第一季度报告全文


    长期股权投资             6,199,767,473.41    6,199,767,473.41                         -

    投资性房地产                             -                   -                        -

    固定资产                 1,335,882,296.31    1,335,882,296.31                         -

    在建工程                     68,304,159.58       68,304,159.58                        -

    使用权资产                 不适用                            -

    无形资产                     51,233,876.43       51,233,876.43                        -

    商誉                                     -                   -                        -

    递延所得税资产             253,208,472.53      255,103,482.78              1,895,010.25

    其他资产                   746,570,420.54      159,020,641.08           -587,549,779.46

资产总计                     60,379,113,276.66   60,373,428,245.92            -5,685,030.74

负债:

    短期借款                                 -                   -                        -

    应付短期融资款           11,052,460,000.00   11,195,427,962.70           142,967,962.70

    拆入资金                                 -                   -                        -

    交易性金融负债             不适用                            -                        -

    以公允价值计量且其变动
                                             -     不适用                                 -
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       9,184,499,256.00    9,197,002,772.37             12,503,516.37

    代理买卖证券款           9,075,235,796.80    9,075,235,796.80                         -

    代理承销证券款                           -                   -                        -

    应付职工薪酬               271,379,762.63      271,379,762.63                         -

    应交税费                   166,635,704.16      166,635,704.16                         -

    应付款项                   228,759,137.37      228,759,137.37                         -

    合同负债                   不适用                            -

    持有待售负债                             -                   -                        -

    预计负债                     8,060,000.00        8,060,000.00                         -

    长期借款                                 -                   -                        -

    应付债券                 6,499,814,403.56    6,669,580,375.81            169,765,972.25

      其中:优先股                           -                   -                        -

            永续债                           -                   -                        -

    租赁负债                   不适用                            -

    递延收益                                 -                   -                        -

    递延所得税负债                           -                   -                        -



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                                                                   国元证券股份有限公司 2019 年第一季度报告全文


     其他负债                            340,246,126.21              15,008,674.89             -325,237,451.32

 负债合计                             36,827,090,186.73          36,827,090,186.73                           -

 所有者权益:

     股本                              3,365,447,047.00           3,365,447,047.00                           -

     其他权益工具                                      -                          -                          -

       其中:优先股                                    -                          -                          -

              永续债                                   -                          -                          -

     资本公积                         12,610,368,506.67          12,610,368,506.67                           -

     减:库存股                                        -                          -                          -

     其他综合收益                       -361,372,209.57                76,673,729.01            438,045,938.58

     盈余公积                          1,321,496,564.92             1,277,123,467.99            -44,373,096.93

     一般风险准备                      2,604,849,913.78             2,516,103,719.92            -88,746,193.86

     未分配利润                        4,011,233,267.13             3,700,621,588.60           -310,611,678.53

 所有者权益合计                       23,552,023,089.93            23,546,338,059.19             -5,685,030.74

 负债和所有者权益总计                 60,379,113,276.66          60,373,428,245.92               -5,685,030.74

财政部于 2017 年颁布了修订后的《企业会计准则第 22 号——金融工具确认和计量》(财会【2017】7 号)、《企业会计准则
第 23 号——金融资产转移》(财会【2017】8 号)、《企业会计准则第 24 号——套期会计》(财会【2017】9 号)及《企业会计
准则第 37 号——金融工具列报》(财会【2017】14 号)。
本公司于 2019 年 01 月 01 日起执行上述新金融工具准则,根据新准则中衔接规定,按新准则对金融工具进行分类和计量,
金融工具原账面价值和新账面价值的差异,计入 2019 年 1 月 1 日期初留存收益和其他综合收益。


2、首次执行新金融工具准则、新租赁准则追溯调整前期比较数据的说明

 适用 √ 不适用


三、审计报告

第一季度报告是否经过审计
□ 是 √ 否


                                                                                   国元证券股份有限公司




                                                                                       法定代表人:蔡   咏




                                                                                   二〇一九年四月二十五日




                                                      28
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