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盛和资源(600392)公告正文

盛和资源:2016年第三季度报告

公告日期 2016-10-29
股票简称:盛和资源 股票代码:600392
                           2016 年第三季度报告



公司代码:600392                                 公司简称:盛和资源

证券代码:122418                                 证券简称:15 盛和债




                   盛和资源控股股份有限公司
                     2016 年第三季度报告




                                 1 / 21
                                 2016 年第三季度报告




                                    目录
一、   重要提示.................................................................. 3
二、   公司主要财务数据和股东变化 ................................................ 3
三、   重要事项.................................................................. 6
四、   附录...................................................................... 9




                                       2 / 21
                                     2016 年第三季度报告




一、 重要提示

1.1 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。

1.2 公司全体董事出席董事会审议季度报告。

1.3 公司负责人胡泽松、主管会计工作负责人唐光跃及会计机构负责人(会计主管人员)夏兰田
    保证季度报告中财务报表的真实、准确、完整。

1.4 本公司第三季度报告未经审计。

二、 公司主要财务数据和股东变化

2.1 主要财务数据

                                                                    单位:元 币种:人民币
                                                                                本报告期末比上
                              本报告期末                    上年度末
                                                                                年度末增减(%)
总资产                       2,381,271,762.63              2,294,658,449.94               3.77
归属于上市公司股东的
                             1,141,562,848.42              1,207,483,921.95              -5.46
净资产
                            年初至报告期末          上年初至上年报告期末        比上年同期增减
                              (1-9 月)                  (1-9 月)                  (%)
经营活动产生的现金流
                              -158,268,411.55               -201,505,935.65              21.46
量净额
投资活动产生的现金流
                                  -69,743,785.89            -52,547,199.96              -32.73
量净额
筹资活动产生的现金流
                                   85,380,787.29            381,156,207.57              -77.60
量净额
                            年初至报告期末          上年初至上年报告期末        比上年同期增减
                              (1-9 月)                  (1-9 月)                (%)
营业收入                          533,895,829.89            665,790,088.14              -19.81
归属于上市公司股东的
                                  -66,509,968.32             23,264,986.06             -385.88
净利润
归属于上市公司股东的
扣除非经常性损益的净              -70,324,046.90             22,238,461.39             -416.23
利润
加权平均净资产收益率                                                            减少 7.50 个百
                                            -5.66                        1.84
(%)                                                                                     分点
基本每股收益(元/股)                    -0.0707                       0.0247          -386.23
稀释每股收益(元/股)                    -0.0707                       0.0247          -386.23




                                           3 / 21
                                 2016 年第三季度报告



非经常性损益项目和金额
√适用 □不适用
                                                                单位:元 币种:人民币
                                                         本期金额       年初至报告期末
                         项目
                                                       (7-9 月)      金额(1-9 月)
非流动资产处置损益                                       -44,159.85       -127,740.75
越权审批,或无正式批准文件,或偶发性的税收返还、减

计入当期损益的政府补助,但与公司正常经营业务密切相
关,符合国家政策规定、按照一定标准定额或定量持续享     3,184,882.89      4,887,742.33
受的政府补助除外
计入当期损益的对非金融企业收取的资金占用费
企业取得子公司、联营企业及合营企业的投资成本小于取
得投资时应享有被投资单位可辨认净资产公允价值产生的
收益
非货币性资产交换损益
委托他人投资或管理资产的损益
因不可抗力因素,如遭受自然灾害而计提的各项资产减值
准备
债务重组损益                                              31,289.65         31,289.65
企业重组费用,如安置职工的支出、整合费用等
交易价格显失公允的交易产生的超过公允价值部分的损益
同一控制下企业合并产生的子公司期初至合并日的当期净
损益
与公司正常经营业务无关的或有事项产生的损益
除同公司正常经营业务相关的有效套期保值业务外,持有
交易性金融资产、交易性金融负债产生的公允价值变动损
                                                         -245,678.62      -472,588.29
益,以及处置交易性金融资产、交易性金融负债和可供出
售金融资产取得的投资收益
单独进行减值测试的应收款项减值准备转回
对外委托贷款取得的损益
采用公允价值模式进行后续计量的投资性房地产公允价值
变动产生的损益
根据税收、会计等法律、法规的要求对当期损益进行一次
性调整对当期损益的影响
受托经营取得的托管费收入
除上述各项之外的其他营业外收入和支出                     -10,981.63      1,939,942.60
其他符合非经常性损益定义的损益项目


所得税影响额                                             -474,153.98      -722,558.04
少数股东权益影响额(税后)                             -1,097,655.53    -1,722,008.92
                         合计                           1,343,542.93     3,814,078.58


                                         4 / 21
                                     2016 年第三季度报告



 2.2 截止报告期末的股东总数、前十名股东、前十名流通股东(或无限售条件股东)持股情况表

                                                                                        单位:股
股东总数(户)                                                                             70,272
                                    前十名股东持股情况
       股东名称      期末持股数     比例     持有有限售条        质押或冻结情况         股东性质
       (全称)          量         (%)        件股份数量      股份状       数量
                                                                 态
中国地质科学院矿产   189,524,783    20.14                  0                       0      国家
                                                                无
综合利用研究所
王全根               92,476,537      9.83                  0    无                 0   境内自然人
四川巨星企业集团有   74,514,558      7.92                  0            74,500,000     境内非国有
                                                                质押
限公司                                                                                   法人
四川省地质矿产公司   54,953,993      5.84                  0    冻结    54,953,993      国有法人
山西煤炭运销集团有   15,000,000      1.59                  0                       0    国有法人
                                                                无
限公司
中国工商银行-广发     8,111,253      0.86                  0                       0      其他
策略优选混合型证券                                              未知
投资基金
戚涛                  7,648,810      0.81                  0    未知               0   境内自然人
蔺尚举                5,619,200      0.60                  0    未知               0   境内自然人
朱云先                5,531,567      0.59                  0    未知               0   境内自然人
郑素娥                5,227,044      0.56                  0    未知               0   境内自然人
                             前十名无限售条件股东持股情况
股东名称                              持有无限售条件流通                股份种类及数量
                                          股的数量                   种类               数量
中国地质科学院矿产综合利用研究所              189,524,783       人民币普通股           189,524,783
王全根                                          92,476,537      人民币普通股           92,476,537
四川巨星企业集团有限公司                        74,514,558      人民币普通股           74,514,558
四川省地质矿产公司                              54,953,993      人民币普通股           54,953,993
山西煤炭运销集团有限公司                        15,000,000      人民币普通股           15,000,000
中国工商银行-广发策略优选混合型证                8,111,253                              8,111,253
                                                                人民币普通股
券投资基金
戚涛                                             7,648,810      人民币普通股            7,648,810
蔺尚举                                           5,619,200      人民币普通股            5,619,200
朱云先                                           5,531,567      人民币普通股            5,531,567
郑素娥                                           5,227,044      人民币普通股            5,227,044
                                     公司前 10 名无限售股东中王全根、巨星集团、地矿公司不
                                     存在任何一致行动关系,朱云先与蔺尚举的配偶为姐弟关
 上述股东关联关系或一致行动的说明    系,朱云先与戚涛因其他共同投资而存在合作关系,除此
                                     之外未知其他股东是否存在关联关系或属于《上市公司股
                                     东持股变动信息披露管理办法》规定的一致行动人。


                                            5 / 21
                                      2016 年第三季度报告



 2.3 截止报告期末的优先股股东总数、前十名优先股股东、前十名优先股无限售条件股东持股情

     况表

 □适用 √不适用

 三、 重要事项

 3.1 公司主要会计报表项目、财务指标重大变动的情况及原因

 √适用 □不适用

资产负债表项目        期末数            期初数         变动比例                变动原因

货币资金           200,963,454.90   346,236,272.67          -41.96%   本期投资及预付货款增加。
应收账款           185,818,198.20   119,550,572.09          55.43%    本期收到的票据减少。
预付款项           262,335,628.39   160,784,902.86          63.16%    本期贸易业务的预付款增加。
                                                                      待抵扣的增值税进项税额增
其他流动资产        74,773,986.95    58,220,045.15          28.43%
                                                                      加。
                                                                      本期新增对冕里稀土投资
长期股权投资       161,287,033.78    91,713,107.02          75.86%
                                                                      6776.48 万元。
                                                                      本期部分在建工程已完工结转
在建工程            14,592,029.28    29,167,135.88          -49.97%
                                                                      为固定资产。
                                                                      因本期计提存货跌价准备增
递延所得税资产      15,076,935.51     9,290,500.83          62.28%    加,相应确认了递延所得税资
                                                                      产。
短期借款           333,900,000.00   240,000,000.00          39.13%    本期资金需求增加。

应付账款            83,104,544.74    63,154,997.03          31.59%    期末应付票据减少。
                                                                      临近期末预收的货款尚未完成
预收款项            17,140,629.11        52,762.92     32386.13%
                                                                      发货。
                                                                      上期已计提的职工薪酬本期已
应付职工薪酬         5,686,392.33     9,164,974.23          -37.96%
                                                                      发放。
                                                                      8 月 4 日已支付公司债第一年
应付利息             3,744,294.99     8,957,966.78          -58.20%
                                                                      的利息。
                                                                      应付股权转让款及托管费用增
其他应付款          26,829,379.60       524,617.65      5014.08%
                                                                      加。
长期借款            20,000,000.00                           不适用    本期资金需求增加。

  利润表项目          本期数         上年同期数        变动比例                变动原因
                                                                      稀土出口关税自 2015 年 5 月 1
营业税金及附加        252,749.25      4,907,136.64          -94.85%
                                                                      日起取消,本期出口已无关税。
                                                                      本期稀土催化剂销量大幅增
销售费用            12,079,301.99     8,461,462.11          42.76%
                                                                      加,运费及服务费相应增加。
                                                                      本期中介机构费用增加及子公
管理费用            46,788,285.06    35,160,304.43          33.07%
                                                                      司职工薪酬增加。

                                            6 / 21
                                      2016 年第三季度报告



                                                                      2015 年 8 月发行了 4.5 亿公司
财务费用            28,798,617.79    16,183,140.53          77.95%
                                                                      债,本期计提的利息费用增加。
                                                                      本期稀土价格持续下跌,计提
资产减值损失        29,100,454.90    -4,458,027.87          752.77%
                                                                      了较多存货跌价准备。
                                                                      本期确认的联营企业的投资收
投资收益             1,927,830.21    -1,172,802.05          264.38%
                                                                      益增加。
营业外收入           6,861,646.79     1,891,984.82          262.67%   本期收到的政府补助增加。

营业外支出            130,412.96        764,333.72          -82.94%   本期处置的固定资产减少。
                                                                      本期利润总额大幅减少,确认
所得税费用          -4,535,204.48     8,503,526.58      -153.33%      了递延所得税资产后,所得税
                                                                      费用为负。
                                                                      详见 3.4 预测年初至下一报告
归属于母公司股                                                        期期末的累计净利润可能为亏
                   -66,509,968.32    23,264,986.06      -385.88%
东的净利润                                                            损或者与上年同期相比发生重
                                                                      大变动的警示及原因说明。
                                                                      本期子公司四川润和利润增
少数股东损益         3,397,305.11       512,579.40          562.79%
                                                                      加。

现金流量表项目        本期数         上年同期数        变动比例                 变动原因

                                                                      由于上期将贸易业务和自营业
                                                                      务的主体分开,进项税不能抵
支付的各项税费      10,085,602.08    52,023,935.90          -80.61%   扣销项税,导致支付的税费和
                                                                      待抵扣的进项税同时大量增
                                                                      加,本期趋于正常。
收回投资收到的                                                        本期证券投资周转次数增加,
                    77,876,583.66    37,361,772.17          108.44%
现金                                                                  导致交易额增加。
购建固定资产、无
形资产和其他长
                    18,662,507.60    28,238,124.60          -33.91%   本期固定资产投资减少。
期资产支付的现

                                                                      本期证券投资周转次数增加及
投资支付的现金     128,965,361.95    61,912,564.28          108.30%
                                                                      投资联营企业金额增加。
发行债券收到的                                                        2015 年 8 月发行了 4.5 亿公司
                               -    442,875,000.00      -100.00%
现金                                                                  债,本期未新增发行公司债。
                                                                      上期子公司乐山润和收到投资
收到其他与筹资
                    33,335,580.00   138,734,549.60          -75.97%   款 9489.6 万元,尚未经批准转
活动有关的现金
                                                                      为实收资本;
偿还债务支付的
                   140,000,000.00   296,400,000.00          -52.77%   本期到期的短期借款减少。
现金
分配股利、利润或
                                                                      2015 年 9 月公司分红,支付的
偿付利息支付的      33,268,792.71    48,470,382.03          -31.36%
                                                                      股利增加,本期无分红。
现金


                                            7 / 21
                                     2016 年第三季度报告



                                                                     本期开立银行承兑汇票减少,
支付其他与筹资
                    28,586,000.00   55,582,960.00          -48.57%   支付的承兑汇票保证金相应减
活动有关的现金
                                                                     少。


 3.2 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
     公司在 2016 年半年报和临时公告中披露了重大资产重组的进展事项,报告期内,公司召开了
 2016 年第一次临时股东大会审议通过了《关于公司符合发行股份及支付现金购买资产并募集配套
 资金条件的议案》。2016 年 7 月 29 日,公司召开的第六届董事会第五次会议审议通过了《关
 于调整本次发行股份及支付现金购买资产募集配套资金金额及用途的议案》,对本次重大资产重
 组募集配套资金金额及用途予以调整。具体详见公司 2016 年 8 月 2 日发布的《盛和资源关于
 调整发行股份及支付现金购买资产募集配套资金金额及用途的公告》。同日,公司发布了《盛和
 资源发行股份及支付现金购买资产并募集配套资金报告书(草案)(修订版)》。随后,公司提
 交了《盛和资源控股股份有限公司上市公司发行股份购买资产核准》行政许可申请,并于 2016 年
 9 月 13 日收到中国证券监督管理委员会出具的《中国证监会行政许可项目审查一次反馈意见通
 知书》。公司收到《反馈意见》后,积极会同各中介机构对《反馈意见》提出的问题进行认真讨
 论和研究,并按照《反馈意见》的要求对所涉及的事项进行了资料补充和问题答复。回复内容详
 见公司于 2016 年 10 月 13 日发布的《关于<中国证监会行政许可项目审查一次反馈意见通知书> 之
 反馈意见回复的公告》。根据《反馈意见》的时间要求,公司及时向中国证监会报送了反馈意见
 回复材料。目前,中国证监会正在依法依程序对公司本次重组申请材料和回复材料进行审查。

 3.3 公司及持股 5%以上的股东承诺事项履行情况

 √适用 □不适用
     承诺事项及履行情况详见 2016 年半年度报告中“承诺事项履行情况”的相关说明。

 3.4 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重大变动的警

     示及原因说明

 √适用 □不适用
     由于受宏观经济大环境影响,整个稀有稀土产品价格反弹乏力且持续走低,稀土市场下游产
 业需求疲软亦导致成交量低迷;同时,公司报告期内因发行公司债的应计利息、重组并购产生的
 中介费用增加等综合因素影响,预测年初至下一报告期期末的累计净利润与上年同期相比可能为
 亏损。敬请投资者注意!




                                                公司名称             盛和资源控股股份有限公司

                                              法定代表人                      胡泽松


                                                    日期                    2016-10-28



                                           8 / 21
                                    2016 年第三季度报告




四、 附录


4.1 财务报表

                                      合并资产负债表
                                     2016 年 9 月 30 日
编制单位:盛和资源控股股份有限公司

                                               单位:元 币种:人民币 审计类型:未经审计
                 项目                              期末余额            年初余额
流动资产:
  货币资金                                          200,963,454.90      346,236,272.67
  结算备付金
  拆出资金
  以公允价值计量且其变动计入当期损
                                                      2,570,450.00        2,173,600.00
益的金融资产
  衍生金融资产
  应收票据                                          386,383,835.30      530,632,087.55
  应收账款                                          185,818,198.20      119,550,572.09
  预付款项                                          262,335,628.39      160,784,902.86
  应收保费
  应收分保账款
  应收分保合同准备金
  应收利息
  应收股利
  其他应收款                                         36,628,480.35       42,260,777.50
  买入返售金融资产
  存货                                              696,711,407.51      574,049,251.27
  划分为持有待售的资产
  一年内到期的非流动资产
  其他流动资产                                       74,773,986.95       58,220,045.15
    流动资产合计                                1,846,185,441.60      1,833,907,509.09
非流动资产:
  发放贷款及垫款
  可供出售金融资产                                   20,000,000.00       20,000,000.00
  持有至到期投资
  长期应收款
  长期股权投资                                      161,287,033.78       91,713,107.02
  投资性房地产
  固定资产                                          201,290,440.89      183,040,424.90
  在建工程                                           14,592,029.28       29,167,135.88

                                          9 / 21
                                 2016 年第三季度报告



                 项目                         期末余额              年初余额
  工程物资
  固定资产清理
  生产性生物资产
  油气资产
  无形资产                                       120,092,683.87      124,217,665.93
  开发支出
  商誉
  长期待摊费用                                     1,782,197.70        1,947,106.29
  递延所得税资产                                  15,076,935.51        9,290,500.83
  其他非流动资产                                       965,000.00      1,375,000.00
   非流动资产合计                                535,086,321.03      460,750,940.85
     资产总计                               2,381,271,762.63        2,294,658,449.94
流动负债:
  短期借款                                       333,900,000.00      240,000,000.00
  向中央银行借款
  吸收存款及同业存放
  拆入资金
  以公允价值计量且其变动计入当期损
益的金融负债
  衍生金融负债
  应付票据                                        40,310,700.00       55,266,200.00
  应付账款                                        83,104,544.74       63,154,997.03
  预收款项                                        17,140,629.11           52,762.92
  卖出回购金融资产款
  应付手续费及佣金
  应付职工薪酬                                     5,686,392.33        9,164,974.23
  应交税费                                        12,558,222.43       17,667,703.19
  应付利息                                         3,744,294.99        8,957,966.78
  应付股利                                        15,399,674.84       15,399,674.84
  其他应付款                                      26,829,379.60          524,617.65
  应付分保账款
  保险合同准备金
  代理买卖证券款
  代理承销证券款
  划分为持有待售的负债
  一年内到期的非流动负债
  其他流动负债
   流动负债合计                                  538,673,838.04      410,188,896.64
非流动负债:
  长期借款                                        20,000,000.00
  应付债券                                       444,299,901.63      443,261,563.23
                                       10 / 21
                                    2016 年第三季度报告



                  项目                           期末余额                    年初余额
  其中:优先股
         永续债
  长期应付款
  长期应付职工薪酬
  专项应付款
  预计负债                                           29,205,525.98             29,205,525.98
  递延收益                                            5,321,239.86              5,707,438.55
  递延所得税负债
  其他非流动负债
   非流动负债合计                                   498,826,667.47            478,174,527.76
      负债合计                                 1,037,500,505.51               888,363,424.40
所有者权益
  股本                                              941,039,383.00            941,039,383.00
  其他权益工具
  其中:优先股
         永续债
  资本公积                                       -545,478,399.65             -545,478,399.65
  减:库存股
  其他综合收益                                        4,135,074.46              4,135,074.46
  专项储备                                            1,058,584.74                469,689.95
  盈余公积                                           14,117,069.24             14,117,069.24
  一般风险准备
  未分配利润                                        726,691,136.63            793,201,104.95
  归属于母公司所有者权益合计                   1,141,562,848.42             1,207,483,921.95
  少数股东权益                                      202,208,408.70            198,811,103.59
   所有者权益合计                              1,343,771,257.12             1,406,295,025.54
      负债和所有者权益总计                     2,381,271,762.63             2,294,658,449.94


法定代表人:胡泽松       主管会计工作负责人:唐光跃                 会计机构负责人:夏兰田



                                    母公司资产负债表
                                    2016 年 9 月 30 日
编制单位:盛和资源控股股份有限公司
                                                单位:元 币种:人民币 审计类型:未经审计
                  项目                          期末余额                    年初余额
流动资产:
  货币资金                                           2,937,205.30              10,256,756.04
  以公允价值计量且其变动计入当期损
                                                     2,570,450.00               2,173,600.00
益的金融资产
  衍生金融资产

                                          11 / 21
                                 2016 年第三季度报告



  应收票据
  应收账款
  预付款项                                         8,737,937.94      8,059,498.50
  应收利息
  应收股利                                       159,177,422.60    251,677,422.60
  其他应收款                                     495,364,756.50    475,018,201.33
  存货
  划分为持有待售的资产
  一年内到期的非流动资产
  其他流动资产
   流动资产合计                                  668,787,772.34    747,185,478.47
非流动资产:
  可供出售金融资产                                20,000,000.00     20,000,000.00
  持有至到期投资
  长期应收款
  长期股权投资                              2,394,718,633.23      2,327,132,958.99
  投资性房地产
  固定资产                                          825,380.31         977,516.37
  在建工程
  工程物资
  固定资产清理
  生产性生物资产
  油气资产
  无形资产
  开发支出
  商誉
  长期待摊费用                                     1,122,765.38      1,438,543.16
  递延所得税资产
  其他非流动资产
   非流动资产合计                           2,416,666,778.92      2,349,549,018.52
     资产总计                               3,085,454,551.26      3,096,734,496.99
流动负债:
  短期借款
  以公允价值计量且其变动计入当期损
益的金融负债
  衍生金融负债
  应付票据
  应付账款
  预收款项
  应付职工薪酬                                      413,247.82       2,188,903.38
  应交税费                                        10,202,299.06     10,672,564.44
  应付利息                                         3,240,725.81      8,528,225.81
                                       12 / 21
                                  2016 年第三季度报告



  应付股利
  其他应付款                                        23,857,279.67                 252,655.49
  划分为持有待售的负债
  一年内到期的非流动负债
  其他流动负债
   流动负债合计                                     37,713,552.36              21,642,349.12
非流动负债:
  长期借款
  应付债券                                         444,299,901.63             443,261,563.23
  其中:优先股
         永续债
  长期应付款
  长期应付职工薪酬
  专项应付款
  预计负债                                          29,205,525.98              29,205,525.98
  递延收益
  递延所得税负债
  其他非流动负债
   非流动负债合计                                  473,505,427.61             472,467,089.21
      负债合计                                     511,218,979.97             494,109,438.33
所有者权益:
  股本                                             941,039,383.00             941,039,383.00
  其他权益工具
  其中:优先股
         永续债
  资本公积                                    1,569,062,204.53              1,569,062,204.53
  减:库存股
  其他综合收益
  专项储备
  盈余公积                                          40,752,998.54              40,752,998.54
  未分配利润                                        23,380,985.22              51,770,472.59
   所有者权益合计                             2,574,235,571.29              2,602,625,058.66
      负债和所有者权益总计                    3,085,454,551.26              3,096,734,496.99


法定代表人:胡泽松         主管会计工作负责人:唐光跃               会计机构负责人:夏兰田

                                       合并利润表
                                     2016 年 1—9 月
编制单位:盛和资源控股股份有限公司
                                             单位:元 币种:人民币 审计类型:未经审计




                                         13 / 21
                                      2016 年第三季度报告



                                                            年初至报告期     上年年初至报
                         本期金额            上期金额
        项目                                                期末金额 (1-9   告期期末金额
                         (7-9 月)          (7-9 月)
                                                                月)           (1-9 月)
一、营业总收入         132,504,964.83     120,988,853.97    533,895,829.89   665,790,088.14
其中:营业收入         132,504,964.83     120,988,853.97    533,895,829.89   665,790,088.14
       利息收入
       已赚保费
       手续费及佣金
收入
二、营业总成本         185,709,932.79     114,343,000.51    609,611,469.88   633,540,029.15
其中:营业成本         127,172,883.02     114,452,507.28    492,592,060.89   573,286,013.31
       利息支出
       手续费及佣金
支出
       退保金
       赔付支出净额
      提取保险合同
准备金净额
       保单红利支出
       分保费用
       营业税金及附
                           70,448.43           112,005.02      252,749.25      4,907,136.64

       销售费用          3,176,981.00        3,517,238.68    12,079,301.99     8,461,462.11
       管理费用         20,415,158.33      13,432,532.82     46,788,285.06    35,160,304.43
       财务费用         10,271,011.42        6,616,355.90    28,798,617.79    16,183,140.53
       资产减值损失     24,603,450.59     -23,787,639.19     29,100,454.90    -4,458,027.87
  加:公允价值变动收
益(损失以“-”号填      -265,060.42           91,549.00      -591,291.74       76,184.00
列)
      投资收益(损失
                         2,237,222.52      -1,879,240.81      1,927,830.21    -1,172,802.05
以“-”号填列)
      其中:对联营企
业和合营企业的投资       2,217,840.72      -1,875,659.28      1,809,126.76    -1,484,075.94
收益
      汇兑收益(损失
以“-”号填列)
三、营业利润(亏损以
                       -51,232,805.86        4,858,161.65   -74,379,101.52    31,153,440.94
“-”号填列)
  加:营业外收入         3,205,305.56        1,009,506.05     6,861,646.79     1,891,984.82
      其中:非流动资
产处置利得
  减:营业外支出           44,274.50           118,593.41      130,412.96       764,333.72

                                            14 / 21
                                      2016 年第三季度报告



                                                            年初至报告期     上年年初至报
                         本期金额            上期金额
       项目                                                 期末金额 (1-9   告期期末金额
                         (7-9 月)          (7-9 月)
                                                                月)           (1-9 月)
      其中:非流动资
                           44,159.85           118,593.41      127,740.75       500,185.31
产处置损失
四、利润总额(亏损总
                       -48,071,774.80        5,749,074.29   -67,647,867.69   32,281,092.04
额以“-”号填列)
  减:所得税费用        -5,682,556.96        3,731,645.37    -4,535,204.48    8,503,526.58
五、净利润(净亏损以
                       -42,389,217.84        2,017,428.92   -63,112,663.21   23,777,565.46
“-”号填列)
  归属于母公司所有
                       -43,417,063.38        1,319,023.76   -66,509,968.32   23,264,986.06
者的净利润
  少数股东损益           1,027,845.54          698,405.16     3,397,305.11      512,579.40
六、其他综合收益的税
                                               704,029.31                       704,029.31
后净额
  归属母公司所有者
的其他综合收益的税                             704,028.61                       704,028.61
后净额
    (一)以后不能重
分类进损益的其他综                             704,028.61                       704,028.61
合收益
      1.重新计量设
定受益计划净负债或
净资产的变动
      2.权益法下在
被投资单位不能重分
                                               704,028.61                       704,028.61
类进损益的其他综合
收益中享有的份额
    (二)以后将重分
类进损益的其他综合
收益
      1.权益法下在
被投资单位以后将重
分类进损益的其他综
合收益中享有的份额
      2.可供出售金
融资产公允价值变动
损益
      3.持有至到期
投资重分类为可供出
售金融资产损益
      4.现金流量套
期损益的有效部分

                                            15 / 21
                                      2016 年第三季度报告



                                                               年初至报告期     上年年初至报
                         本期金额            上期金额
       项目                                                    期末金额 (1-9   告期期末金额
                         (7-9 月)          (7-9 月)
                                                                   月)           (1-9 月)
      5.外币财务报
表折算差额
      6.其他
  归属于少数股东的
其他综合收益的税后                                      0.70                             0.70
净额
七、综合收益总额       -42,389,217.84        2,721,458.23      -63,112,663.21    24,481,594.77
  归属于母公司所有
                       -43,417,063.38        2,023,052.37      -66,509,968.32    23,969,014.67
者的综合收益总额
  归属于少数股东的
                         1,027,845.54          698,405.86        3,397,305.11      512,580.10
综合收益总额
八、每股收益:
 (一)基本每股收益
                              -0.0462                 0.0014          -0.0707          0.0247
(元/股)
 (二)稀释每股收益
                              -0.0462                 0.0014          -0.0707          0.0247
(元/股)


法定代表人:胡泽松         主管会计工作负责人:唐光跃               会计机构负责人:夏兰田



                                        母公司利润表
                                       2016 年 1—9 月
编制单位:盛和资源控股股份有限公司
                                                单位:元 币种:人民币 审计类型:未经审计
                                                           年初至报告期   上年年初至报
                          本期金额            上期金额
        项目                                                 期末金额     告期期末金额
                          (7-9 月)          (7-9 月)
                                                             (1-9 月)     (1-9 月)
一、营业收入                25,221.63                               25,221.63
  减:营业成本
      营业税金及附加            121.09                                121.09
      销售费用
      管理费用            6,085,448.15       4,769,484.46       12,681,343.28    12,117,053.02
      财务费用            5,583,582.73       2,968,712.44       16,865,152.91     2,949,029.49
      资产减值损失         100,139.24           92,311.52         115,253.98       109,043.36
  加:公允价值变动收
益(损失以“-”号填       -265,060.42          91,549.00         -591,291.74       76,184.00
列)
      投资收益(损失
                            86,461.67         -334,252.03         -69,689.64    360,204,209.35
以“-”号填列)
      其中:对联营企        73,114.65         -330,670.50         -179,125.76      -106,704.54
                                            16 / 21
                                   2016 年第三季度报告



业和合营企业的投资收

二、营业利润(亏损以
                         -11,922,668.33 -8,073,211.45    -30,297,631.01   345,105,267.48
“-”号填列)
  加:营业外收入                                           1,910,343.64
      其中:非流动资
产处置利得
  减:营业外支出                                              2,200.00       101,368.69
      其中:非流动资
产处置损失
三、利润总额(亏损总额
                         -11,922,668.33 -8,073,211.45    -28,389,487.37   345,003,898.79
以“-”号填列)
    减:所得税费用
四、净利润(净亏损以
                         -11,922,668.33 -8,073,211.45    -28,389,487.37   345,003,898.79
“-”号填列)
五、其他综合收益的税后
净额
  (一)以后不能重分
类进损益的其他综合收

    1.重新计量设定受
益计划净负债或净资产
的变动
    2.权益法下在被投
资单位不能重分类进损
益的其他综合收益中享
有的份额
  (二)以后将重分类
进损益的其他综合收益
    1.权益法下在被投
资单位以后将重分类进
损益的其他综合收益中
享有的份额
    2.可供出售金融资
产公允价值变动损益
    3.持有至到期投资
重分类为可供出售金融
资产损益
    4.现金流量套期损
益的有效部分
    5.外币财务报表折
算差额
    6.其他
                                         17 / 21
                                    2016 年第三季度报告



六、综合收益总额          -11,922,668.33 -8,073,211.45      -28,389,487.37     345,003,898.79
七、每股收益:
    (一)基本每股收益
(元/股)
    (二)稀释每股收益
(元/股)

法定代表人:胡泽松          主管会计工作负责人:唐光跃           会计机构负责人:夏兰田



                                     合并现金流量表
                                     2016 年 1—9 月
编制单位:盛和资源控股股份有限公司
                                             单位:元 币种:人民币 审计类型:未经审计
                   项目                  年初至报告期期末金额        上年年初至报告期期末
                                               (1-9 月)                金额(1-9 月)
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                      629,206,072.72            814,303,648.78
  客户存款和同业存放款项净增加额
  向中央银行借款净增加额
  向其他金融机构拆入资金净增加额
  收到原保险合同保费取得的现金
  收到再保险业务现金净额
  保户储金及投资款净增加额
  处置以公允价值计量且其变动计入当
期损益的金融资产净增加额
  收取利息、手续费及佣金的现金
  拆入资金净增加额
  回购业务资金净增加额
  收到的税费返还                                      1,271,326.16
  收到其他与经营活动有关的现金                       12,226,514.19             12,907,913.83
    经营活动现金流入小计                            642,703,913.07            827,211,562.61
  购买商品、接受劳务支付的现金                      701,040,856.64            882,024,961.28
  客户贷款及垫款净增加额
  存放中央银行和同业款项净增加额
  支付原保险合同赔付款项的现金
  支付利息、手续费及佣金的现金
  支付保单红利的现金
  支付给职工以及为职工支付的现金                     47,816,670.02             42,032,603.25
  支付的各项税费                                     10,085,602.08             52,023,935.90
  支付其他与经营活动有关的现金                       42,029,195.88             52,635,997.83
    经营活动现金流出小计                            800,972,324.62           1,028,717,498.26

                                          18 / 21
                                   2016 年第三季度报告



               项目                     年初至报告期期末金额          上年年初至报告期期末
                                              (1-9 月)                  金额(1-9 月)
      经营活动产生的现金流量净额                -158,268,411.55             -201,505,935.65
二、投资活动产生的现金流量:
  收回投资收到的现金                                77,876,583.66             37,361,772.17
  取得投资收益收到的现金                                   7,500.00
  处置固定资产、无形资产和其他长期资
                                                                                241,716.75
产收回的现金净额
  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
    投资活动现金流入小计                            77,884,083.66             37,603,488.92
  购建固定资产、无形资产和其他长期资
                                                    18,662,507.60             28,238,124.60
产支付的现金
  投资支付的现金                                   128,965,361.95             61,912,564.28
  质押贷款净增加额
  取得子公司及其他营业单位支付的现
金净额
  支付其他与投资活动有关的现金
    投资活动现金流出小计                           147,627,869.55             90,150,688.88
      投资活动产生的现金流量净额                   -69,743,785.89            -52,547,199.96
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                               253,900,000.00            200,000,000.00
  发行债券收到的现金                                                         442,875,000.00
  收到其他与筹资活动有关的现金                      33,335,580.00            138,734,549.60
    筹资活动现金流入小计                           287,235,580.00            781,609,549.60
  偿还债务支付的现金                               140,000,000.00            296,400,000.00
  分配股利、利润或偿付利息支付的现金                33,268,792.71             48,470,382.03
  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                      28,586,000.00             55,582,960.00
    筹资活动现金流出小计                           201,854,792.71            400,453,342.03
      筹资活动产生的现金流量净额                    85,380,787.29            381,156,207.57
四、汇率变动对现金及现金等价物的影响                     308,670.20             681,894.81
五、现金及现金等价物净增加额                    -142,322,739.95              127,784,966.77
  加:期初现金及现金等价物余额                     317,056,141.07            266,204,875.91
六、期末现金及现金等价物余额                       174,733,401.12            393,989,842.68

法定代表人:胡泽松         主管会计工作负责人:唐光跃             会计机构负责人:夏兰田

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                                   2016 年第三季度报告




                                  母公司现金流量表
                                    2016 年 1—9 月
编制单位:盛和资源控股股份有限公司
                                            单位:元 币种:人民币 审计类型:未经审计
               项目                     年初至报告期期末金额         上年年初至报告期期末
                                              (1-9 月)                 金额(1-9 月)
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                           26,734.93
  收到的税费返还
  收到其他与经营活动有关的现金                      10,259,937.55             7,422,377.77
    经营活动现金流入小计                            10,286,672.48             7,422,377.77
  购买商品、接受劳务支付的现金
  支付给职工以及为职工支付的现金                     6,357,871.73             6,048,704.67
  支付的各项税费                                          3,001.09
  支付其他与经营活动有关的现金                      27,442,667.78            18,763,105.18
    经营活动现金流出小计                            33,803,540.60            24,811,809.85
  经营活动产生的现金流量净额                       -23,516,868.12           -17,389,432.08
二、投资活动产生的现金流量:
  收回投资收到的现金                                 6,096,308.63            37,361,772.17
  取得投资收益收到的现金                            92,507,500.00            40,000,000.00
  处置固定资产、无形资产和其他长期资
产收回的现金净额
  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                      88,000,000.00            63,000,000.00
    投资活动现金流入小计                           186,603,808.63           140,361,772.17
  购建固定资产、无形资产和其他长期资
                                                         62,137.00              19,777.00
产支付的现金
  投资支付的现金                                    57,194,354.25            72,712,564.28
  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                      92,000,000.00           331,900,000.00
    投资活动现金流出小计                           149,256,491.25           404,632,341.28
      投资活动产生的现金流量净额                    37,347,317.38          -264,270,569.11
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                                                        442,875,000.00
  收到其他与筹资活动有关的现金
    筹资活动现金流入小计                                                    442,875,000.00

                                         20 / 21
                                   2016 年第三季度报告



                  项目                  年初至报告期期末金额        上年年初至报告期期末
                                              (1-9 月)                金额(1-9 月)
  偿还债务支付的现金
  分配股利、利润或偿付利息支付的现金                21,150,000.00           36,616,150.94
  支付其他与筹资活动有关的现金
    筹资活动现金流出小计                            21,150,000.00           36,616,150.94
      筹资活动产生的现金流量净额                   -21,150,000.00          406,258,849.06
四、汇率变动对现金及现金等价物的影响
五、现金及现金等价物净增加额                        -7,319,550.74          124,598,847.87
  加:期初现金及现金等价物余额                      10,256,756.04            9,664,531.85
六、期末现金及现金等价物余额                         2,937,205.30          134,263,379.72

法定代表人:胡泽松         主管会计工作负责人:唐光跃           会计机构负责人:夏兰田




4.2 审计报告

□适用 √不适用




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