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广发证券(000776)公告正文

广发证券:2013年第一季度报告正文

公告日期 2013-04-23
股票简称:广发证券 股票代码:000776
                                                                      广发证券股份有限公司 2013 年第一季度报告正文
    证券代码:000776                          证券简称:广发证券                               公告编号:2013-041
                                          第一节 重要提示
    公司董事会、监事会及董事、监事、高级管理人员应当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。
    本报告经公司第七届董事会第三十二次会议审议通过。
    公司负责人孙树明先生、主管会计工作负责人及会计机构负责人(会计主管人员)孙晓燕女士声明:保证季度报告中财务报表的真实、准确、完整。
                             第二节 主要财务数据及股东变化一、主要财务数据本报告期对以前期间财务数据是否进行了追溯调整或重述□ 是 √ 否
                                                                                                       本报告期比上年
                                                       2013 年 1-3 月          2012 年 1-3 月
                                                                                                          同期增减
    营业收入(元)                                         1,896,286,716.34          1,790,082,283.46               5.93%
    归属于上市公司股东的净利润(元)                            680,608,211.97         651,421,790.85               4.48%
    归属于上市公司股东的扣除非经常性损益的净利润(元)          679,004,067.13         647,736,372.16               4.83%
    经营活动产生的现金流量净额(元)                       -4,559,734,023.52         3,693,669,768.18                       -
                                                                               调整前     调整后               调整后
    基本每股收益(元/股)                                                 0.11
                                                                                  0.22          0.11            0.00%
                                                                               调整前     调整后               调整后
    稀释每股收益(元/股)                                                 0.11
                                                                                  0.22          0.11            0.00%
    加权平均净资产收益率(%)                                           2.03%                  2.03%                 持平
                                                                                                       本报告期末比上
                                                      2013 年 3 月 31 日     2012 年 12 月 31 日
                                                                                                        年度期末增减
    总资产(元)                                          94,084,947,156.73         89,976,324,196.92               4.57%
    归属于上市公司股东的净资产(元)                      33,960,107,770.91         33,048,680,138.03               2.76%注 1:公司 2012 年以资本公积金每 10 股转增 10 股后的最新股数为 5,919,291,464 股。根据中国证监会《公开发行证券的公司信息披露编报规则第 9 号——净资产收益率和每股收益的计算及披露(2010 年修订)》:上表计算本报告期每股收益时采用的普通股加权平均股数为 5,919,291,464 股;计算上年同期每股收益时,调整前采用的普通股加权平均股数为 2,959,645,732股,调整后采用的普通股加权平均股数为 5,919,291,464 股。注 2:经最终核算,2013 年 3 月 31 日合并报表的总资产、净资产与前期披露的业绩快报存在差异(最大幅度不超过 0.55%),据此计算的相对值或比率也因此略有出入。非经常性损益项目和金额
                                                                          广发证券股份有限公司 2013 年第一季度报告正文√ 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)                            600,919.85                                 -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
                                                                                  421,000.00                                 -一标准定额或定量享受的政府补助除外)
    除上述各项之外的其他营业外收入和支出                                             1,116,939.94                                -
                                                                                 -534,714.95
    所得税影响额                                                                                                                 -
    少数股东权益影响额(税后)                                                               0.00                                -
    合计                                                                             1,604,144.84                 --二、报告期末股东总数及前十名股东持股情况表
                                                                                                                       单位:股
    报告期末股东总数                                                                                                       104,104
                                                  前 10 名股东持股情况
                                                  持股比例                        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
                                                   (%)                          件的股份数量      股份状态          数量
    辽宁成大股份有限公司       境内非国有法人            21.12%      1,250,154,088                  0吉林敖东药业集团股份有限
                           境内非国有法人            21.03%      1,244,652,926                  0公司中山公用事业集团股份有限
                           国有法人                   11.6%       686,754,216                   0公司
    香江集团有限公司           境内非国有法人             4.77%       282,643,104                   0     质押          267,560,000酒泉钢铁(集团)有限责任公
                           国有法人                   4.44%       263,073,796                   0司广东粤财信托有限公司-广
                           境内非国有法人             4.07%       240,915,662                   0发证券股权激励集合信托普宁市信宏实业投资有限公
                           境内非国有法人             2.47%       145,936,358                   0     质押          144,000,000司揭阳市信宏资产管理中心
                           境内非国有法人             2.26%       133,737,449                   0(有限合伙)
    安徽华茂纺织股份有限公司 境内非国有法人               2.18%       128,930,000                   0
    亨通集团有限公司           境内非国有法人             1.93%       114,459,036                   0     质押          112,000,000
                                             前 10 名无限售条件股东持股情况
                                                                         广发证券股份有限公司 2013 年第一季度报告正文
                                                                                              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
    辽宁成大股份有限公司                                1,250,154,088             人民币普通股          1,250,154,088
    吉林敖东药业集团股份有限公司                        1,244,652,926             人民币普通股          1,244,652,926
    中山公用事业集团股份有限公司                        686,754,216               人民币普通股            686,754,216
    香江集团有限公司                                    282,643,104               人民币普通股            282,643,104
    酒泉钢铁(集团)有限责任公司                          263,073,796               人民币普通股            263,073,796
    广东粤财信托有限公司-广发证券股权激励集
                                                       240,915,662               人民币普通股            240,915,662
    合信托
    普宁市信宏实业投资有限公司                          145,936,358               人民币普通股            145,936,358
    揭阳市信宏资产管理中心(有限合伙)                  133,737,449               人民币普通股            133,737,449
    安徽华茂纺织股份有限公司                            128,930,000               人民币普通股            128,930,000
    亨通集团有限公司                                    114,459,036               人民币普通股            114,459,036
                                             第三节 重要事项
    一、 报告期主要会计报表项目、财务指标发生重大变动的情况及原因
               项目               2013 年 3 月 31 日     2012 年 12 月 31 日       增减幅度               主要变动原因
    衍生金融资产                             602,718.79                 106,774.73         464.48%      利率互换公允变动影响
    买入返售金融资产                     765,072,982.51             74,214,736.50          930.89%      约定式回购业务规模扩大
    存出保证金                         2,019,304,978.71        2,958,025,658.81            -31.73%      交易保证金减少
    递延所得税资产                        26,909,644.88             181,449,064.56         -85.17%      可抵扣暂时性差异减少
    其他资产                          10,771,045,233.14        5,885,442,856.66             83.01%      主要为融出资金的增加
    拆入资金                           1,370,000,000.00        3,340,000,000.00            -58.98%      拆入资金规模减少
    衍生金融负债                             105,908.83                 209,331.58         -49.41%      利率互换公允变动影响
    应付职工薪酬                         831,974,923.07        1,198,490,185.52            -30.58%      支付职工薪酬
    应付债券                          13,565,169,863.01        7,546,427,500.00             79.76%      短期融资券发行规模扩大
               项目                2013 年 1-3 月          2012 年 1-3 月          增减幅度               主要变动原因
    投资收益                             588,947,799.01             427,454,274.44          37.78%      金融资产投资收益增加
                                                                                                    主要为衍生工具公允价值
    公允价值变动收益                      31,120,608.88             -81,486,790.72                  -
                                                                                                    变动增加
    汇兑收益                                1,347,294.49              3,799,322.36         -64.54%      汇率变动
    其他业务收入                            3,924,137.41              7,583,607.36         -48.26%      信息服务费收入减少
    资产减值损失                            -103,721.44                 982,998.31                  -   主要为坏账减值损失减少
    其他业务成本                            1,448,711.06                102,152.97        1318.18%      投资性房地产折旧费增加
    营业外收入                              2,261,179.72              6,280,075.91         -63.99%      政府补助减少
    营业外支出                               122,319.93               1,366,184.32         -91.05%      各项营业外支出减少
                                                                       广发证券股份有限公司 2013 年第一季度报告正文
    归属于少数股东的综合收益总额            -183,644.93             2,862,135.54               -   本期盈利减少
                                  -4,559,734,023.5                                             拆入资金和融出资金流出
    经营活动产生的现金流量净额                                3,693,669,768.18                 -
                                                  2                                            增加
                                                                                               可供出售金融资产净现金
    投资活动产生的现金流量净额          -929,541,523.38           27,117,316.18                -
                                                                                               流出增加
    筹资活动产生的现金流量净额        5,968,394,219.80            368,714,651.09       1518.70%    本期发行短期融资券
    二、重要事项进展情况及其影响和解决方案的分析说明
    1、公司存在向控股股东或其关联方提供资金、违反规定程序对外提供担保的情况
        报告期内,公司不存在向控股股东或其关联方提供资金、违反规定程序对外提供担保的情况。
    2、 日常经营重大合同的签署和履行情况
      无。
    3、其他
      1、营业网点变更
    (1)公司营业部同城迁址
       2013 年 1 月 24 日,我司沈阳建设东路证券营业部由沈阳市铁西区建设东路 72 号同城迁址至沈阳市铁西区北二中路 18
    号,营业部名称相应变更为“广发证券股份有限公司沈阳北二中路证券营业部”,目前,《营业执照》及《证券机构营业许可
    证》均已变更完毕。
       2013 年 3 月 21 日,我司北京东三环北路证券营业部由北京市朝阳区东三环北路 3 号幸福大厦 A 座 1608 室同城迁址至
    北京市朝阳区安立路 68 号三层,营业部名称相应变更为“广发证券股份有限公司北京安立路证券营业部”,目前,《营业执
    照》及《证券机构营业许可证》均已变更完毕。
    (2)截止 2013 年 3 月 31 日已经申请但还未获批的分公司和营业部的情况
      2013 年 2 月 18 日,我司向中国证监会广东监管局申请在上海市(青浦区)、福建省莆田市(城厢区)、福建省龙岩市(新
    罗区)、广东省云浮市(新兴县)、广州市南沙区新设 5 家证券营业部,该申请已获广东证监局正式受理。
      2、关于股改限售股份上市流通
      公司股权分置改革与重大资产重组相结合,以公司 2006 年 6 月 30 日经审计的全部资产及负债回购本公司控股股东吉
    林敖东药业集团股份有限公司(以下简称“吉林敖东”)持有本公司 84,977,833 股非流通股(占本公司总股本的 46.15%)及以
                                                                                  广发证券股份有限公司 2013 年第一季度报告正文
       新增股份按照 1:0.83 的换股比例吸收合并原广发证券股份有限公司(以下简称“原广发证券”),即每 0.83 股原广发证券
       股份折换成 1 股本公司股份;同时,本公司除吉林敖东外的其他非流通股股东按 10:7.1 的比例缩股。
           上述股权分置改革方案实施日期:2010 年 2 月 11 日。
           辽宁成大、吉林敖东、中山公用、香江集团关于交易完成后持股锁定期限的承诺:“原持有广发证券的股份转换而成的
       存续公司股票,自延边公路股权分置改革实施复牌之日起三十六个月内,不上市交易及转让。”
           2013 年 2 月 21 日,辽宁成大、吉林敖东、中山公用、香江集团所持股改限售股份上市流通。
            3、关于发行短期融资券
                       简称             发行日        发行规模   发行利率      起息日             到期日       计息天数
                   13 广发 CP001       2013.01.16      30 亿元     4.08%     2013.1.17         2013.4.17            90
                   13 广发 CP002       2013.01.25      30 亿元     3.85%     2013.1.28         2013.4.28            90
                   13 广发 CP003       2013.02.26      45 亿元     3.70%     2013.2.27         2013.5.28            90
                   13 广发 CP004       2013.03.14      30 亿元     3.84%     2013.3.15         2013.6.13            90
       三、公司或持股 5%以上股东在报告期内或持续到报告期内的承诺事项
    承诺事项                  承诺方                         承诺内容                  承诺时间          承诺期限             履行情况
                                                                                                                         报告期内,各承诺方
                    辽宁成大股份有限公司、吉 辽宁成大、吉林敖东、中山公用及香
                                                                                                    自本次交易完成 均履行了承诺。辽宁
                    林敖东药业集团股份有限 江集团承诺,原持有广发证券的股份
                                                                                                    及新增股份发行 成大、吉林敖东、中
                    公司、中山公用事业集团股 转换而成的存续公司股票,自本次交          2010.2.6
                                                                                                    结束之日起三十 山公用和香江集团股
                    份有限公司、香江集团有限 易完成及新增股份发行结束之日起三
                                                                                                    六个月内             份于 2013 年 2 月 21
                    公司                         十六个月内,不上市交易及转让。
                                                                                                                         日解除限售。
                                                 1、广发证券及其高级管理人员承诺,
                                                 本次交易完成后,广发证券作为公众
                                                 公司将严格履行信息披露和投资者教股改承诺/收购报告
                                                 育方面的义务。上市后的广发证券除书或权益变动报告
                                                 需满足一般上市公司的信息披露要求书中所作承诺/资产
                                                 外,将针对广发证券自身特点,在定重组时所作承诺
                                                 期报告中充分披露客户资产保护、风
                    公司及公司有限售条件股                                                                               报告期内,各承诺方
                                                 险控制、合规检查、创新业务开展与      2010.2.6     无
                    东、董事和高级管理人员                                                                               均履行了承诺。
                                                 风险管理等信息,强化对投资者的风
                                                 险揭示。2、广发证券及其高级管理人
                                                 员承诺,将严格按照《证券公司风险
                                                 控制指标管理办法》的规定,完善风
                                                 险管理制度,健全风险监控机制,建
                                                 立对风险的实时监控系统,加强对风
                                                 险的动态监控,增强识别、度量、控
                                                                        广发证券股份有限公司 2013 年第一季度报告正文
                                        制风险的能力,提高风险管理水平。3、
                                        为避免与换股吸收合并后存续公司发
                                        生同业竞争并为规范可能发生的关联
                                        交易,辽宁成大股份有限公司和吉林
                                        敖东药业集团股份有限公司作出如下
                                        承诺:①作为换股吸收合并后存续公
                                        司的第一大股东和第二大股东,保证
                                        现在和将来不经营与存续公司业务相
                                        同的业务;亦不间接经营、参与投资
                                        与存续公司业务有竞争或可能有竞争
                                        的企业。同时保证不利用其股东的地
                                        位损害存续公司及其它股东的正当权
                                        益。并且将促使其全资拥有或其拥有
                                        50%股权以上或相对控股的下属子公
                                        司遵守上述承诺。②对于辽宁成大股
                                        份有限公司和吉林敖东药业集团股份
                                        有限公司及其关联方将来与存续公司
                                        发生的关联交易,将严格履行上市公
                                        司关联交易的决策程序,遵循市场定
                                        价原则,确保公平、公正、公允,不
                                        损害中小股东的合法权益。4、辽宁成
                                        大股份有限公司、吉林敖东药业集团
                                        股份有限公司已分别出具《关于保持
                                        延边公路建设股份有限公司独立性的
                                        承诺》,承诺保证与本公司做到人员独
                                        立、资产独立、业务独立、财务独立、
                                        机构独立。首次公开发行或再
                   无                   无                                   无         无               无融资时所作承诺其他对公司中小股
                   无                   无                                   无         无               无东所作承诺
       四、对 2013 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
                                                                     广发证券股份有限公司 2013 年第一季度报告正文六、衍生品投资情况□ 适用 √ 不适用七、报告期内接待调研、沟通、采访等活动登记表
    1、报告期内接待投资者调研、沟通、采访等活动
                                                                                                    谈论的主要内容及
      接待时间         接待地点   接待方式      接待对象类型                接待对象
                                                                                                       提供的资料
    2013 年 01 月 01 日                                                                                询问公司日常经营
                          无      电话沟通      公众投资者                 公众投资者
    -03 月 31 日                                                                                   情况等
    2013 年 01 月 9 日       无      电话沟通      特定对象调研                申银万国               公司经营发展情况
                                                                                                   公司经营发展及整
    2013 年 02 月 27 日    公司总部   实地调研      特定对象调研                博时基金
                                                                                                   体业绩情况
                                                                 招商证券股份有限公司、深圳林奇
                                                                 投资有限公司、深圳上善御富资产
                                                                 管理有限公司、金元证券、万联证 公司基本情况、经营
    2013 年 03 月 01 日    公司总部   实地调研      特定对象调研
                                                                 券、广州长金投资、深圳金中和投 发展情况
                                                                 资、安信证券、深圳菁英时代投资、
                                                                 华融证券、招商银行
                                                                                                   创新业务及公司经
    2013 年 03 月 06 日    公司总部   实地调研      特定对象调研                嘉实基金
                                                                                                   营发展情况
    2、报告期内接待媒体调研、沟通、采访等活动
    接待时间          接待地点    接待方式        接待对象类型         接待对象         谈论的主要内容及提供的资料
    2013 年 03 月 01 日     无        书面沟通          媒体采访          中国经营报        公司多空杠杆产品特点等
    2013 年 02 月 27 日     无        书面沟通          媒体采访         每日经济新闻       融资融券业务开展情况
    2013 年 03 月 07 日     无        书面沟通          媒体采访        21 世纪经济报道     RQFII 对市场及公司的影响等
                                                                                        境外子公司的设立及对公司
    2013 年 03 月 15 日     无        书面沟通          媒体采访        新华社广东分社
                                                                                        的影响
                                                                                        融资融券业务新政及对市场
    2013 年 03 月 20 日     无        书面沟通          媒体采访        21 世纪经济报道
                                                                                        和公司的影响等
                                                                                        公司多空杠杆产品特点及运
    2013 年 03 月 21 日     无        书面沟通          媒体采访          中国证券报
                                                                                        行情况等
    2013 年 03 月 27 日     无        书面沟通          媒体采访            新华社          关于非现场开户的影响等
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