华泰柏瑞新兴产业混合:2018年年度报告
2019-03-27
SNlgt^b uee°QtN§Nm÷ WR8bDú
‘
2018^t^t^bTJ
2018^t12g 31e
Wú‘t N SNlgt^Wú‘t g –PlS
Wú‘X{N N-V”Lg –PlS
Qúeg 2019^t3g 27e
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
§1 ‘‰y:Sv_U
1.1 ‘‰y:
Wú‘t NvcNO ScNOg,bTJb@}DN [XW(ZPG°} [ü`'–H ‘'W
^v[ùQvQ…[vw [`'0 Qxn`'T[et`'bbN*R+S&vl_#0 g,^t^bTJ]ò~N R NKNN
N rìzcN{~[WT a ^vu1cN{~S0
Wú‘X{NN-V”Lg –PlSh9cng,Wú‘T ‰ N2019^t3g 26eY h8Ng,bTJN-
v"c h 0 QP_ Wú‘`;‘:v`Q................................. 61
§10 _ e>_ Wú‘SR¨........................................................................................................................ 62
§11 ‘'NNcíy:.................................................................................................................................. 63
11.1 Wú‘ g NY'O Q....................................................................................................... 63
11.2 Wú‘t N0 Wú‘X{NvN èWú‘X{èèv‘'NNSR¨....................................... 63
11.3 m‰SWú‘t N0 Wú‘"§ Wú‘X{N Rv........................................................... 63
11.4 Wú‘DVueve9S............................................................................................................... 63
11.5 N:Wú‘L[vO ^ NRb@`Q................................................................................... 63
11.6 {t N0 bX{NSQv~§{t NTXS×z=gb Y Z{I`Q................................................... 63
11.7 Wú‘u(R8QlSN¤ SUQCvg Qs`Q............................................................................... 63
11.8 QvN‘'NN........................................................................................................................... 67
§12 _qTbDQ{VvQvN‘‰á`o.................................................................................................... 74
12.1 bTJg Q…SUN bDc g Wú‘kO0b …0%v`Q........................................ 74
12.2 _qTbDQ{VvQvN‘‰á`o........................................................................................... 74
§13 Y geNv_U................................................................................................................................... 75
13.1 Y geNv_U........................................................................................................................... 75
13.2 [Xe>W0p.................................................................................................................................. 75
13.3 g–e_ .................................................................................................................................. 75
{, 4 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
§2 Wú‘N
2.1 Wú‘úg,`Q
Wú‘ y SNlgt^b uee°QtN§Nm÷ WR8bDú‘
Wú‘y SNlgt^b uee°QtN§Nm÷
Wú‘;Nx 005409
Wú‘\e_ YQ~W_ e>_
Wú‘T u eHe 2018^t1g 16e
Wú‘t N SNlgt^Wú‘t g –PlS
Wú‘X{N N-V”Lg –PlS
bTJgg+ Wú‘`; 1,300,232,083.59N
Wú‘T [X~íg N [g
2.2 Wú‘§Tf
bDh W(N%h –Hn
2.4 Oá`ob—2_
g,Wú‘[vOá`ob—2~T y N-VR8b0 N mwR8b0 R8eb
v{}ú‘t^bTJkcev{t NN’TQQ
http://www.huatai-pb.com
W@
Wú‘t^bTJY nW0p N mw^ mfN e°S:l u 199_ Y'N”S^W:1S÷
i|17\BSWú‘X{NOOb@
{, 5 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
2.5 QvNvQsD
yv T y RQlW0W@
O ^ NRb@ fnSNl8S-Y)O ^ NRb@ ryk N-VN mw^ fS:nVnè02S÷
fnT O \UO N ^W:2^§fnSNl8S-_11i|
lèQv{°g:g N mw^ mfN e°S:l u 199_ N mw
SNlgt^Wú‘t g –PlS
Y'N”S^W:1S÷17\B
{, 6 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
§3N;‰"c h 0 Wú‘P_ c epR8bDú‘
SNlgt^yg m÷ WR8bDú‘ SNlgt^N÷P_ c epR8bDú
‘ SNlgt^N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘ SNlgt^Oáu(XR)P:R8W
R8bDú‘ SNlgt^lm300N¤ W_ e>_ c epR8bDú‘ SNlgt^lm300N¤ W_ e>_
c epR8bDú‘TWú‘ SNlgt^z3Pee6vP:R8WR8bDú‘ SNlgt^‘ X_:m÷ W
R8bDú‘ SNlgt^N0v~P:P:R8WR8bDú‘ SNlgt^[c[c~P:R8WR8bDú‘
SNlgt^R e°SG~§m÷ WR8bDú‘ SNlgt^N0lGP:R8WR8bDú‘ SNlgt^‘ O
pum;‘Mnm÷ WR8bDú‘ SNlgt^R e°R¨Rum;‘Mnm÷ WR8bDú‘ SNlgt^‘
qR¨pum;‘Mnm÷ WR8bDú‘ SNlgt^yg hWR8bDú‘ SNlgt^e°R)pum;
‘Mnm÷ WR8bDú‘ SNlgt^N-500N¤ W_ e>_ c epR8bDú‘ SNlgt^N-500
N¤ W_ e>_ c epR8bDú‘TWú‘ SNlgt^m9 pum;‘Mnm÷ WR8bDú‘ SN
lgt^‘ fzagpum;‘Mnm÷ WR8bDú‘ SNlgt^Pe^ m;pum;‘Mnm÷ WR8bDú
‘ SNlgt^‘ ~[ùe6v{Vue[g _ e>m÷ WSw R8bDú‘ SNlgt^N¤ W'^ W:
pum;‘Mnm÷ W
Wú‘ SNlgt^N-VR62025pum;‘Mnm÷ WR8bDú‘ SNlgt^oR±R¨R
R8bDú‘ SNlgt^|Vbpum;‘Mnm÷ WR8bDú‘ SNlgt^‘ [ùQz3Pee6v[
g _ e>m÷ WSw R8bDú‘ SNlgt^Y)m['^ W:Wú‘ SNlgt^Y {Vuepum;‘Mnm÷
T WR8bDú‘ SNlgt^wR)pum;‘Mnm÷ WR8bDú‘ SNlgt^e°~mNln/mpum;‘M
nm÷ WR8bDú‘ SNlgt^ R)pum;‘Mnm÷ WR8bDú‘ SNlgt^NR)pum;‘Mnm÷
T WR8bDú‘ SNlgt^QtR)pum;‘Mnm÷ WR8bDú‘ SNlgt^N÷P<|30pum;‘Mn
m÷ WR8bDú‘ SNlgt^‘ R O pum;‘Mnm÷ WR8bDú‘ SNlgt^u riS;opum;
‘Mnm÷ WR8bDú‘ SNlgt^[R)pum;‘Mnm÷ WR8bDú‘ SNlgt^‘ –? lpu
{, 10 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
m;‘Mnm÷ WR8bDú‘ SNlgt^n/‘ pum;‘Mnm÷ WR8bDú‘ SNlgt^b ue
e°QtN§Nm÷ WR8bDú‘ SNlgt^e°‘W0N§pum;‘Mnm÷ WR8bDú‘ SNlg
t^MSCIN-VA–EN¤ W_ e>_ c epWú‘ SNlgt^VO etT |m÷ WR8bDú‘ SN
lgt^S;u—Pe^m÷ WR8bDú‘ SNlgt^s°Ng RN m÷ WR8bDú‘ SNlgt^MSCI
N-VA–Ec epWú‘TWú‘ SNlgt^N-~R)ONlR¨N¤ W_ e>_ c epR8bDú‘
b*ó018^t12g 31e QlSWú‘t ‰!N:980.05NQC0
4.1.2 Wú‘t b Wú‘t \ ~ SWú‘t Rt {N
YT L Ng,Wú‘Wú‘t Rt g –P R8NN ^t f
–P
NLg yNeg
~mN[fxUX 11^tR8
NN ~S0 2007^t7g
ó010^t6g NVlT
[‰R8g –PlSx
zvTX0 2010^t6g R Qe
SNlgt^Wú‘t g –P
QlS SNx zvTX0
~§ zvTX0 Wú‘t R
t 2013^t9g ó018
^t5g NSNlgt^vN
bDè; N-Vm÷ WR8bDú
vRt 0 2018^t1g 16 ‘Wú‘t 2014
_ ag - 11^t
g,Wú‘ e ^t5g wSNlgt^R
Wú‘t e°SG~§m÷ WR8bD
Wú‘Wú‘t 0 2015
^t2g wSNlgt^R
e°R¨Rum;‘Mnm÷ W
R8bDú‘Wú‘
t 0 2016^t1g wb
Dè;vRt 0 2018
^t1g wbDèo`;
vSSNlgt^b uee°Qt
N§Nm÷ WR8bDú
‘Wú‘t 0
lè R8NN vT+NIuLN SOO 0 R8NNNN TXD<{t Rl0 vvQs‰0 NLg Ty
Neg c Wú‘t QlSO\QúQ[NKe0
4.2 {t N[ùbTJg Q…g,Wú‘\u‰Oá`Qvf
g,bTJg Q… g,Wú‘t NN%hR0:‘‰OMn Tsw@2019
^t[' ve?{VS YN;‰Oáu(zQslè g*gefR lè‘AR¨`'e/c [OS~mNvg eH`'N 0
~mNSO N vR){IWúg,—b w 2018^tN SJ^t_ Yn R Rg _f/e?{Vl keR _vN;
‰VàNKN 0 NO N vR)gew ]N O N vR)SUg X_V= vRM11g T kepcn]ò~e
XS:0 [‰pcnN m9pcnvV=^f>WR _ Nl}f:–vSm9b N:NN;‰
vb}/y0 b Nìg*geSJ^tQ… VQ…[‰mNN\ S×R0‘Sg`gFvnT `'_qT THs° nv
` R0
LNN w Y'Y epLN E' N e—b”L{IoD§v[ùE SN e—b N SJ
^t_ YN e?{V[ùQvQs`''vLN g N [hs° O ~LN e—b b?W0N§ ^ú{QN$Y'[‰mNb
DS‘`k'vLN E N;‰×R0Wú^úg c b?W0N§v{Sg b@g~R¨{IR)Y}v_q
T0 SY P<_—Qslèvf/ ^ W:[ùNb@ e°QtWú^ú vgN_ N;‰Ss°W(Oá0 u5RY
N$N*LNN QwOS f/[ù5G0 rySbD*ge~Nvgg 0
g,Wú‘(bTJg Q…Oc NOMWúg,g*S ~gv[ùWGa0 b NìWZc N2-3N*[c^vN-g ‰‰
N wíg N¤ WZc |~R fol LN ê N cc N* –@NROEa‘O N vR)
W(3[c^‰v ~T c g vY'è v}lN ~éN_W(3[c^‰v g*ge—b4vR)N O–i Y
g|{hO0P< etN QER R ÷ N [N LSR0 h9cnLN TQlSfol ^vSS g,Wú‘ù
c N~gTN*LN et X Nb Qc Nm9S;o [ùNThg T[ùQ~mNN nvT
yN_g \ ‘^ \@0
{, 13 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
4.4.2 bTJg Q…Wú‘N ~éhs°
b*ó,bTJgg+g, Wú‘QP e?{V R x 0
\Ug 2019^t b Nì¤N:mAR¨`'sXg kee9Uvzz0 ^tR Y.L~~íf>y:Qú[g~v' c
_ Qh—b–MvepKRMv^ W:gg N [cRM T e[ùUFN ”LvN-\ _O N 7>~NQh
—be?{Vbvc y:w@e?{V\B—bùNNt[Oáu(v[ef/—^8‘‰0 N^ W:S R)s‰gew
VP:e6vs ke–MNó.12%]Só wízR)sc ~íSONW(2%ueY vl4^s N‘g:g
__:vR)sN Lg c _ 0 b NìN^tUFN ”L eébe>eéS×v v~%QR¨ _:N_^t Và
kd1[c^eàN”LmAR¨`'^ W: /Oáu(zOá7 z3v‰w XW(N [vg OY zz
0
N^ W:\B—b QhèPBW(SSòONp–D N [z ^N –+NO N vR)vN O0 N”L
N:O VY'LvO0PW(T y]O\v–OM0 OqgQlSQ…è§R6vetOS‰B ~~íNQ…c§g:R6v[U R
{, 14 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
_:Q…è–ic§R6N –2 xnOT yl‰{t R6^v=[ OWú‘T _—R0N%h<\eL0 QlS
v[èèc qg‰vgC–Pz ^ evc§ s°W:hg0 ‘bgTNTX{Iel rìz
W0_ \UWú‘\TQlS{t vT ‰'z=h8 Ss°SecQúe9ú^vwcON RèèLet
e9 T e[g T cNTQlS{t \BQúQwv[z=h8bTJ0
g,bTJg Q… Wú‘t NQ…è[z=h8N;‰O\YN
1 Qh—b \UWú‘\T ‰[]O\ xnOWú‘Drìz`'0 Ql^s`'ST lT ‰
N;‰eg N%h 7.4.7.1 190,544,265.06
~{— N‘ 3,403,238.65
[XQúO‘ 391,024.72
N¤ `'‘D§ 7.4.7.2 890,672,372.01
QvN- hbD 890,672,372.01
Wú‘D -
P:R8bD -
D§e/c R8bD -
5‘^bD -
Mu ‘D§ 7.4.7.3 -
NpQe.‘D§ 7.4.7.4 -
^”e6R8n {—k> 13,503,370.14
^”e6R)`o 7.4.7.5 44,465.42
^”e6) 3,289.63
^”e6u3-> -
^b@_— D§ -
QvND§ 7.4.7.6 -
{, 21 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
D§`; 1,098,562,025.63
g,gg+
P:Tb@g gCv –DèS÷
2018^t12g 31e
P:
wíg P k> -
N¤ `'‘P: -
Mu ‘P: 7.4.7.3 -
SVQúV-‘D§k> -
^”NR8n {—k> 7,609,710.87
^”NNk> -
^”N{t Nb‘l 1,406,392.21
^”NbX{9 234,398.73
^”N U.g R9 -
^”NN¤ 9( 7.4.7.7 1,960,364.49
^”N¤ 9 -
^”NR)`o -
^”NR)m -
^b@_— P: -
QvNP: 7.4.7.8 400,000.00
P:T 11,610,866.30
{, 22 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
b@g gCv
[e6Wú‘ 7.4.7.9 1,300,232,083.59
g*R ‘M)m 7.4.7.10 -213,280,924.26
b@g gCvT 1,086,951,159.33
P:Tb@g gCv`; 1,098,562,025.63
lè 1.bTJb*kbe2018^t12g 31e Wú‘QP<0.8360QC Wú‘`;1,300,232,083.59
N0
2.g,"bhv[–E R6g N:2018^t1g 16e(Wú‘T u eHe)ó018^t12g 31ekbg 0
7.2 R)mh
O N;OS SNlgt^b uee°QtN§Nm÷ WR8bDú‘
g,bTJg 2018^t1g 16e(Wú‘T u eHe)ó018^t12g 31e
SUOM Nl ^ QC
g,g
2018^t1g 16e(Wú‘
y v –DèS÷
TT u eHe)ó018
^t12g 31e
N 0 e6Qe -194,518,060.14
1.R)`oe6Qe 3,849,810.06
QvN- [Xk>R)`oe6Qe 7.4.7.11 3,183,481.01
P:R8R)`oe6Qe -
D§e/c R8R)`oe6Qe -
NpQe.‘D§e6Qe 666,329.05
QvNR)`oe6Qe -
2.bD6v c_Y1N - XkR -181,231,237.54
QvN- hbD6v 7.4.7.12 -190,191,597.29
{, 23 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
Wú‘D6v -
P:R8bD6v 7.4.7.13 -
D§e/c R8bD6v 7.4.7.13.5 -
5‘^bD6v 7.4.7.14 -
Mu ]Qwe6v 7.4.7.15 -
)e6v 7.4.7.16 8,960,359.75
3.QlQAN÷P 15,469,771.39 -774,245.52 14,695,525.87
2.Wú‘Nk> -277,036,853.30 16,690,345.65 -260,346,507.65
V0 g,g T Wú‘ g
NR ‘M)mN§ vWú‘
- - -
P_ [X~íg –P [ –k!zR– S bì¤-D )`oQqR–l ^ 1,560,114,523.07
QC N ~fnSNl8S-Y)O ^ NRb@(rykfnT O )fnSNl8S-Y)[W(2018){,0007S÷DTJ
NN0 ~T N-VvO Y hH 0 SNlgt^b uee°QtN§Nm÷ WR8bDú‘ú‘T 0
N2018^t1g 16ekc_ u eH Wú‘T u eHevWú‘`;N:1,561,799,165.50NWú‘
QvN-¤-DR)`obT 1,684,642.43NWú‘ g,Wú‘Wú‘t NN:SNlgt^Wú‘t g –P
QlS Wú‘X{NN:N-V”Lg –PlS0
{, 25 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
h9cn0 N-SNNl QqTVR8bDú‘0 T0 SNlgt^b uee°QtN§Nm÷ WR8bDú‘ú
‘T 0 vg Qs‰ g,Wú‘bD VN:Qwg oY}mAR¨`'v‘]Qw S bìVQ…OlSLN ^
vh(S T+N-\ g0 R N gSQvN~N-VvO h8QN ^ vh)0 Q…W0N n/h^ W:N¤ N’
T’g:R6N QAbDn/T N¤ b@N ^ vh(NN {y n/h vh )0 P:R8(V
P:0 ‘P:0 O N P:0 QlSP:0 k!~§P:0 SlbP:R8(T+R yN¤ Sl:)0 Y.Lyhcn0 wíg D
R80 …íg D80 N-g yhcn{I)0 D§e/c R80 P:R8V- ”L[Xk>0 '^ W:]Qw0
g ' gCNSl_l‰N-VvO QAWú‘DQvN‘]Qw(OF{{&T N-VvO vQs
‰)0 g,Wú‘ g vhS`Wú‘D§vkON:60%-95% QvN-bDg,Wú‘@uL[vb uee°QtN§
N R8vkON ONN—^°‘ú‘D§v80% bDn/h vhvkON … hD§
v50% kN*N¤ ee~W(bc–d g ' ~—4~vN¤ O‘ s°‘N S bì~{— N‘
[XQúO‘ ^”e6u3->{I)TR0g eW(N ^tNQ…ve?^P:R8vbDON ONNWú‘D§QP<
v5%0 g,Wú‘N ~ékúQN:N-e°QtN§Nc epe6vs×80%+N-P:~üT c epe6vs×20%0
g,"bhu1g,Wú‘Wú‘t NSNlgt^Wú‘t g –PlSN2019^t3g 26ebyQbQú0
7.4.2 O bhv R6Wúx@
g,Wú‘"bhc qg"?è2006^t2g 15eSNT g v0 O N O QR Wúg,Q
R 00 T yQwOSO QR SvQs‰(NN T y O N O QR )0 N-VvO v0 R8b
Dú‘á`ob—2BRLj!g{,3S÷<^t^bTJTSJ^t^bTJ>00 N-VR8bDú‘ SOO (NN {y
N-VWú‘ SOO ) v0 R8bDú‘ h8{— Rc _ 000 SNlgt^b uee°QtN§Nm÷
T WR8bDú‘ú‘T 0 TW("bh–Dè7.4.4b@R y:vN-VvO 0 N-VWú‘ SOO S
^ vg Qs‰SQAvWú‘LN [RdO\ R60
g,"bhNc ~í~%N:Wúx@ R60
7.4.3 uO N O QR SQvNg Qs‰vXf
g,Wú‘018^t1g 16e(Wú‘T u eHe)ó018^t12g 31ekbg v"bh{&T O N O
QR v‰B w [ [etW0Sf Ng,Wú‘018^t12g 31ev"rQNS2018^t1g 16e(Wú‘
T u eHe)ó018^t12g 31ekbg v~%b gTWú‘P
y0 SOQúU.‘D§Sc g ó0g bD ‘D§vR |{SQNg,Wú‘ù‘D§vc g a V
Tc g 0 g,Wú‘°eà‘D§ |{N:SOQúU.‘D§Sc g ó0g bD
g,Wú‘RMNN¤ vvc g vhbDP:R8bD |{N:NQlQAN÷P<‘ QvSR¨Qe_Sg
c_vv‘D§ NQlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘D§W(D§P:hN-NN¤ `'‘
D§ y:0
g,Wú‘ g vQvN‘D§ |{N:^”e6k>y S bì”L[Xk>0 NpQe.‘D§TQvNT |{
^”e6k>y{I0 ^”e6k>yf/c W(m; W:N-lg bN÷ Ve6‘Vú[b Sxn[v—^Mu ‘D§
(2) ‘P:vR |{
‘P:N Yxn¤eR |{N: NQlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘P:SQvN‘
P:0 g,Wú‘RMfeà‘P:R |{N:NQlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘P:0 g,
Wú‘ g vQvN‘P:S bìQvNT |{^”Nk>y{I0
7.4.4.4 ‘D§T‘P:vR Yxn¤ T ~í‘~kbxn¤
‘D§ ‘P:Ng,Wú‘ N:‘]QwTT vN ee c QlQAN÷PN-S T+vP:R8woeb N k!–doeó-pekbvR)`o SUrìxn¤N:^”e6y
v0 ^”e6k>yTQvN‘P:vvQsN¤ 9(QeR Yxn¤‘
{, 27 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
[ùNNlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘D§TNQlQAN÷P<‘ QvSR¨Qe_Sg
c_vv‘P: c qgQlQAN÷PyTQvN‘P:‘([–E)sl
NdJOYb g,LT ~í‘
‘D§ná R gaNNKN v NN~kbxn¤ (1) e6S‘D§s°‘A‘TT gCR)~
kb (2) ‘D§]òl N g,Wú‘ ‘D§b@ggC N QàNNb@g v–ib‘ll~le
e b (3) ‘D§]òl }q6g,Wú‘lg lN_lg OuY‘D§b@ggC N QàNNb@g
v–ib‘l OFf/e>_ N[ù‘D§c§R60
‘D§~kbxn¤e Qv&—b÷PyN-S T+vc }/g*R ‘M]ò[s°c_vS`Wú‘PyN-S T+vc }/g*[s°c_vS`Wú‘PyW(c gg xn¤vR)`oe6Qec [–E)sl{— [–E)slN v~l]_ vR
c v~l{—
{, 29 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
7.4.4.10 9(vxn¤T‘
g,Wú‘{t Nb‘lbX{9(9(mvg c Wú‘T ~[v9T{—elexn¤
QvN‘P:W(c gg xn¤vR)`oe/Qúc [–E)sl{— [–E)slN v~l]_
vR c v~l{—
7.4.4.11 Wú‘e6vR ‘M?{V
kN Wú‘Ng T {IR ‘MC0 g,Wú‘6vNs°‘b_ R ‘M OFWú‘ g NSbés°‘
~R)b \ s°‘R)c R ~–dCevWú‘QP<ê¨l:Wú‘LQbD gg+g* R ‘M)
mN-vg*[s°è N:kcep S bìWú‘%m;R¨N§ vg*[s°c_vNSWú‘N¤ N§ vg*[s°
^sQ‘I R gg+ SOR ‘M)mv‘N:gg+g* R ‘M)mN-v]ò[s°è gg+g* R ‘M)mv
g*[s°è N:ep R gg+ SOR ‘M)mv‘N:gg+g* R ‘M)m Ss]ò[s°è vbg*[s°è
R T vOY
~[TJvbR ‘Mú‘6vN ~–dCeNb@g gCvlú0
7.4.4.12 Y ^ N¤
Y ^ N¤ c N¤ Su evSsg lGs\ Y ^ ‘b{—N:Nl ^ Qe&
NQlQAN÷P<‘Y ^ —^' `'yv NO0PO0Pvw0 NK–D0 R8bDú‘DAS×–PhO0Pg R NN§ vR)`oSR)`o`'(e6QeN: U.
{, 32 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
(2) [ùWú‘R8^ W:N-S_—ve6Qe S bìNpSVhv]N÷e6Qe hvo0 ~R)e6QeS
QvNe6Qe fN _e6O N b@_— 0
(3) [ùWú‘N ^ QlSS_—vo~R)b@_— c –P(1N*g NQ…(T+1N*g )v Qvo~
R)b@_—QhQe^”~z b@_— c –P(1N*g NN ó^t(T+1^t)v fQc 50%Qe^”~z b@
_— c –P…^tv fQM_e6N*Nb@_— 0 [ùWú‘ g vN ^ QlS–P. ‰ S_—
vo0 ~R)e6Qe c qgN ‰{—~z c ê‰ew{— ‰RMS_—vo0 ~
R)e6Qe~~ífQc 50%Qe^”~z b@_— N @_—~N u(20%vz s_N*Nb@_— 0
[ùWú‘n/b mn/bDn/T¤b@N ^ H_—vo~R) HlS^” N-VR8
v{°~{— –P#QlS(NN {y N-V~{— )cQúu3÷ u1N-V~{— HlScOQ…W0N*N
bDT Q HlSc qg20%vz sNbcN*Nb@_— 0 Wú‘n/b mn/bDn/T¤b@
N ^ v—^_—vo~R) u1N-V~{— qg20%vz sNbcN*Nb@_— 0
(4) Wú‘VQúhc 0.1%vz s4~hN¤ Sp± NpQehN _e6hN¤ Sp± 0 Wú
‘n/b mn/NpSV0 ~b0 ` T¤b@N ^ h c qgn/ryR+Le?S:s°Lz l‰4
~Sp± 0
(5) g,Wú‘W^ ~b¤^úz 0 eY9 D TW0eeY9 D {Iz 9 qg[–E4~XP
SUOM Nl ^ QC
g,gg+
yv
2018^t12g 31e
m;g [Xk> 190,544,265.06
[g [Xk> -
QvN- [Xk>g –PN*g NQ… -
[Xk>g –P-3N*g -
[Xk>g –PN*g NN -
QvN[Xk> -
{, 33 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
T 190,544,265.06
7.4.7.2 N¤ `'‘D§
SUOM Nl ^ QC
g,gg+
yv
2018^t12g 31e
b g, QlQAN÷P< QlQAN÷PR)`o 42,338.10
^”e6[g [Xk>R)`o -
^”e6QvN[Xk>R)`o -
^”e6~{— N‘)`o 1,932.94
^”e6P:R8R)`o -
^”e6D§e/c R8R)`o -
^”e6NpQe.R8R)`o -
^”e6u3->R)`o -
^”e6‘ ~bP [s`o -
QvN 194.38
T 44,465.42
{, 34 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
7.4.7.6 QvND§
lè b*ó,bTJgg+ g,Wú‘*c g QvND§
7.4.7.7 ^”NN¤ 9(
SUOM Nl ^ QC
g,gg+
yv
2018^t12g 31e
N¤ b@^ W:^”NN¤ 9( 1,960,234.30
”L^ W:^”NN¤ 9( 130.19
T 1,960,364.49
7.4.7.8 QvNP:
SUOM Nl ^ QC
g,gg+
yv
2018^t12g 31e
^”NR8UFN¤ SUQCO‘ -
^”NN9 -
c9( 400,000.00
T 400,000.00
7.4.7.9 [e6Wú‘
‘SUOM Nl ^ QC
g,g
yv
2018^t1g 16e(Wú‘T u eHe)ó018^t12g 31e
Wú‘ N &—b
Wú‘T u eHe 1,561,799,165.50 1,561,799,165.50
g,g u3- 15,469,771.39 15,469,771.39
g,g N N - S÷XkR -277,036,853.30 -277,036,853.30
- Wú‘R /Nb{—RM - -
Wú‘R /Nb{—SR¨N - -
g,g u3- - -
g,g N N - S÷XkR - -
g,gg+ 1,300,232,083.59 1,300,232,083.59
lè 1. u3-+lbQeN NT+lbQúN
‘
2. g,Wú‘ê017^t12g 4eó018^t1g 10ekbg Ql_ SU. QqR– eHQ¤-D l
^ 1,560,114,523.07QC bT N:1,560,114,523.07NWú‘ h9cn0 SNlgt^b uee°QtN§Nm÷
‘
T WR8bDú‘Rf Nf0 v‰ g,Wú‘zR– Q…¤-D § vR)`oe6QeNl
{, 35 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
^ 1,684,642.43QCW(g,Wú‘ zT bT N:1,684,642.43NWú‘ R QeWú‘ g N&
b70
3. h9cn0 SNlgt^b uee°QtN§Nm÷ WR8bDú‘ú‘ T 000 SNlgt^b uee°QtN§Nm÷
T WR8bDú‘Rf Nf0 S0 SNlgt^b uee°QtN§Nm÷ WR8bDú‘ e>e^8u3-
N0 lbS[bN RvQlTJ0 vvQs‰ g,Wú‘2018^t1g 16e(Wú‘T u eHe)ó018
^t3g 4ekbg fN T bD_ e> Wú‘¤ u3- NTlbN Rê018^t3g 5ew YR
t 0
7.4.7.10 g*R ‘M)m
SUOM Nl ^ QC
yv ]ò[s°è g*[s°è g*R ‘M)mT
Wú‘T u eHe - - -
g,g R)m -211,460,631.43 -17,736,392.96 -229,197,024.39
g,g Wú‘N¤
12,596,698.75 3,319,401.38 15,916,100.13
N§ vSR¨ep
QvN- Wú‘3-> -573,439.36 -200,806.16 -774,245.52
Wú‘Nk> 13,170,138.11 3,520,207.54 16,690,345.65
g,g ]òR ‘M)m - - -
g,gg+ -198,863,932.68 -14,416,991.58 -213,280,924.26
7.4.7.11 [Xk>R)`oe6Qe
SUOM Nl ^ QC
g,g
yv 2018^t1g 16e(Wú‘T u eH
e)ó018^t12g 31e
m;g [Xk>R)`oe6Qe 3,077,977.36
[g [Xk>R)`oe6Qe -
QvN[Xk>R)`oe6Qe -
~{— N‘)`oe6Qe 95,474.24
QvN 10,029.41
T 3,183,481.01
7.4.7.12 hbD6v
7.4.7.12.1 hbD6v NpSVh]N÷e6Qe
SUOM Nl ^ QC
g,g
yv 2018^t1g 16e(Wú‘
T u eHe)ó018^t12g 31e
SVQúhb N¤`; 3,468,248,605.74
{, 36 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
Q SVQúhb g,`; 3,658,440,203.03
NpSVh]N÷e6Qe -190,191,597.29
7.4.7.13 P:R8bD6v
7.4.7.13.1 P:R8bD6vyvgb
lè g,Wú‘,bTJg Q…eàP:R8bD6v0
7.4.7.13.2 P:R8bD6v NpSVP:R8]N÷e6Qe
lè g,Wú‘,bTJg Q…eàP:R8bD6v0
7.4.7.13.3 P:R8bD6v N]N÷e6Qe
lè g,Wú‘,bTJg Q…eàP:R8N]N÷e6Qe0
7.4.7.13.4 P:R8bD6v u3-N÷e6Qe
lè g,Wú‘,bTJg Q…eàP:R8u3-N÷e6Qe0
7.4.7.13.5 D§e/c R8bD6v
lè g,Wú‘,bTJg Q…eàD§e/c R8bD6v0
7.4.7.14 5‘^bD6v
7.4.7.14.1 5‘^bD6vyvgb
lè g,Wú‘,bTJg Q…eà5‘^bD6v0
7.4.7.14.2 5‘^bD6v NpSV5‘^]N÷e6Qe
lè g,Wú‘,bTJg Q…eà5‘^bD6v0
7.4.7.14.3 5‘^bD6v N]N÷e6Qe
lè g,Wú‘,bTJg Q…eà5‘^bD6v0
7.4.7.14.4 5‘^bD6v u3-N÷e6Qe
lè g,Wú‘,bTJg Q…eà5‘^bD6v0
7.4.7.15 Mu ]Qwe6v
7.4.7.15.1 Mu ]Qwe6v NpSVgC]N÷e6Qe
lè g,Wú‘,bTJg Q…eàMu ]Qwe6v0
{, 37 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
7.4.7.15.2 Mu ]Qwe6v QvNbD6v
lè g,Wú‘,bTJg Q…eàMu ]Qwe6v0
7.4.7.16 )e6v
SUOM Nl ^ QC
g,g
yv 2018^t1g 16e(Wú‘T u
eHe)ó018^t12g 31e
hbD§ v)e6v 8,960,359.75
Wú‘D§ v)e6v -
T 8,960,359.75
7.4.7.17 QlQAN÷PbK~í9 20,485.58
QvN9( 1,000.00
”L&7g R9 21,000.00
T 442,485.58
7.4.8 b g Ny0 D§P:heT Nyvf
7.4.8.1 b g Ny
b*óD§P:he g,Wú‘veà{O\b—2b g Ny0
7.4.8.2 D§P:heT Ny
b*ó"bhbQúe g,Wú‘veà{O\b—2D§P:heT Ny0
7.4.9 QsTQs|
QsTT y N g,Wú‘Qs|
SNlgt^Wú‘t g –PlS( SNlgt^
Wú‘t N0 Wú‘èQv{°g:g0 Wú‘ U.g:g
Wú‘ )
N-V”Lg –PlS( N-V”L ) Wú‘X{N0 Wú‘ U.g:g
SNlR8g –PlS( SNlR8 ) Wú‘t Nv 0 Wú‘ U.g:g
PineBridgeInvestmentLLC Wú‘t Nv
]e°S:e°bg/N§Ng –PlS Wú‘t Nv
SNlT R8g –P#QlS( SNlT
Wú‘t Nv SNlR8vc§PQlS
R8 )
gt^r1^úD§{t (N mw)g –PlS Wú‘t Nvc§PQlS
lè N sT¤ WGW(kc^8N R VQ… N ,UFN gak>z0
7.4.10 g,bTJg SN ^t^Skg vQsTN¤
{, 39 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
7.4.10.1 sTN¤ SUQCLvN¤
7.4.10.1.1 hN¤
‘SUOM Nl ^ QC
g,g
QsTT y 2018^t1g 16e(Wú‘T u eHe)
ó018^t12g 31e
S`_Sg h
b N¤‘ b N¤`;v
kO
SNlR8 556,846,355.20 6.93%
7.4.10.1.2 gCN¤
lè g,bTJgg, Wú‘ QsTg*LgCN¤ 0
7.4.10.1.3 ^”e/NQsTvOc‘
‘SUOM Nl ^ QC
g,g
QsTT y
2018^t1g 16e(Wú‘T u eHe)ó018^t12g 31e
_Sg S`_Sg Oc‘ S`gg+ ^”NOc
gg+ ^”NOc‘Y
Oc‘ `;‘kO ‘;vkO
SNlR8 526,206.00 7.08% 264,543.48 13.50%
lè 1. N c‘^ W:N÷h<~g,Wú‘Wú‘t NN [ùeSOUFxn[ Nbc–d1N-VR8v{°
~{— –P#QlSe6Sv{9~bK9Q y:0 gCN¤ N Oc‘
2. |{Oc‘Ovg R V bìOc‘6SeN:g,Wú‘OvR8bD zvb gT^ W:Oá`og
R{I0
7.4.10.2 QsTb‘l
7.4.10.2.1 Wú‘t 9
SUOM Nl ^ QC
g,g
yv 2018^t1g 16e(Wú‘T u eH
e)ó018^t12g 31e
_Sg Su vWú‘”e/N
19,170,636.86
v{t 9
QvN- e/N U.g:gv
12,789,600.65
[b7~b¤9
lè e/NWú‘t NSNlgt^Wú‘{t Nb‘l RMN eWú‘D§QP<1.50%v^t9c
e}/ógg ^ c g e/N0 Qv{—Ql_ N:
e{t Nb‘l RMN eWú‘D§QP< × 1.50%/ _S^tY)ep0
7.4.10.2.2 Wú‘X{9
SUOM Nl ^ QC
{, 40 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
g,g
yv 2018^t1g 16e(Wú‘T u eH
e)ó018^t12g 31e
_Sg Su vWú‘”e/N
3,195,106.13
vbX{9
lè e/NWú‘X{NN-V”LvbX{9 RMN eWú‘D§QP<0.25%v^t9c e}/ó
kgg ^ c g e/N0 Qv{—Ql_ N:
ebX{9 RMN eWú‘D§QP< × 0.25%/ _S^tY)ep0
7.4.10.2.3 U.g R9
lè g,g eàepcn0
7.4.10.3 N QsTL”LT N ^ W:vP:R8(T+V-N¤
lè g,Wú‘,bTJg Q…g*N QsTL”LT N ^ W:vP:R8(T+V-N¤ 0
7.4.10.4 T QsTbD,Wú‘`Q
7.4.10.4.1 bTJg Q…Wú‘t N(Vúg D‘D,Wú‘`Q
lè g,bTJg Q… Wú‘t Ng*bD,Wú‘
7.4.10.4.2 bTJgg+ –dú‘t NNKY vQvNQsTbD,Wú‘`Q
lè g,bTJg Q… –dú‘t NNKY vQvNQsTg*bD,Wú‘
7.4.10.5 u1QsTO{v”L[Xk>OYS_Sg N§ vR)`oe6Qe
SUOM Nl ^ QC
g,g
QsT
2018^t1g 16e(Wú‘T u eHe)
T y
ó018^t12g 31e
gg+ OY _Sg R)`oe6Qe
N-V”L 190,544,265.06 3,077,977.36
lè g,Wú‘”L[Xk>u1Wú‘X{NN-V”LO{ c ”LT N R)s`o0
7.4.10.6 g,Wú‘(b g Q…SN QsTb R8v`Q
lè g,Wú‘,g eàW(b g Q…SN QsTb R8v`Q0
7.4.11 R)mR ‘MQ
lè g,Wú‘,bTJg Q…g*LR)mR ‘M
7.4.12 gg+ 2018^t12g 31e g,Wú‘ g vmAS×–PR8
7.4.12.1 Và¤-°S/XSR8Ngg+ c g vmAS×–PR8
‘SUOM Nl ^ QC
7.4.12.1.1 S×–PR8|{R+ h
{, 41 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
ep‘
R8 R8 b R SmA mAS× ¤- gg+ O0 gg+ gg+ O0P<
SUOM Y lè
Nx T y ¤- e –P{W N÷h< P
[Xe>W(g,Wú‘bX{NN-V”L VàN ”L[Xk>vQsvOáu(–i ‘'0 g,Wú‘(N¤ b@L
vN¤ WGNN-VR8v{°~{— –P#QlSN:N¤ [ùbK[b R8N¤e6Tk>yn {— –i
`'_\ W(”LT N ^ W:LN¤ RMWG[ùN¤ [ùbKLOáu(O0^v[ùR8N¤Rre_ L–P6N
c§R6v^”vOáu(–i
g,Wú‘Wú‘t N^úzNOáu(–it mAz ùbDyOáu({I~§O0gec§R6R8S
LNvOáu(–i N ecS bDR ecOáu(–i
{, 43 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
N2018^t12g 31e g,Wú‘àP:R8bD
7.4.13.2.1 c wíg Oáu(~§ y:vP:R8bD
lè eà0
7.4.13.2.2 c wíg Oáu(~§ y:vD§e/c R8bD
lè eà0
7.4.13.2.3 c wíg Oáu(~§ y:vT N [XSUbD
lè eà0
7.4.13.2.4 c g Oáu(~§ y:vP:R8bD
lè eà0
7.4.13.2.5 c g Oáu(~§ y:vD§e/c R8bD
lè eà0
7.4.13.2.6 c g Oáu(~§ y:vT N [XSUbD
lè eà0
7.4.13.3 mAR¨`'–i
mAR¨`'–i/c Wú‘(\eLN ‘P:g QsvNIReG0D‘í:v–i g,Wú‘mAR¨`'
–i e—beêWú‘ g NS–‰BNQvc g vWú‘ SN e—beêbDy
b@Y vN¤ ^ W:N m;^&gevSs°V– VàbD–-eàlW(^ W:Qús°RgplR¨v`QNN T
t vN÷h ~[W(—^8`QN Nu3÷vY t e_ c§R6Và_ e>u3-
Nj!_ ^&gevmAR¨`'–i g eHO–ú‘ g NR)v0
{, 44 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
N2018^t12g 31e g,Wú‘@bbvQhè‘P:vT ~~[R0g eWGN:NN* g NQ…NN
`o SNWú‘QP<(b@g gCv)eàVú[R0g eNN `o Vàkd&—bYSsN:g*bs°vT ~
R0g s°‘A‘
7.4.13.3.1 ‘D§T‘P:vR0gg –P g
lè eà0
7.4.13.3.2 bTJg Q…g,Wú‘T D§vmAR¨`'–i g
g,Wú‘Wú‘t NW(Wú‘\ N-N%h_ R8bDú‘AR¨`'–it ‰0 (ê017^t10g 1ewL){Il‰‰B[ùg,
Wú‘T D§vmAR¨`'–iL{t ìzv–it èè[ùg,Wú‘~T c N–-^c
h 0 mAS×–P6vbDykONS~T W(wíeQ…Ss°v~üT c h {ImAR¨`'c h Lc ~í
vvmKTR g
g,Wú‘DN[QlSSLvR8^ P_ Wú‘qT c g N [N ^ QlSSLvSmAhN _—…N ^ Ql
SSmAhv15% g,Wú‘ u1g,Wú‘Wú‘t N{t vQhèDT c g N [N ^ QlSS
LvSmAh N _—…N ^ QlSSmAhv30%([Qhc qgg Qsc epgb kOLR8b
D_ e>_ Wú‘N-VvO ¤[vrykbDT N S× O–P6)0
g,Wú‘@c è R8W(R8N¤ b@N ^ QvOYNSW(”LT N ^ W:N¤ è Wú‘D§mAf
eS×–P6N ê1lv`QS‰–Dè7.4.120 kdY g,Wú‘VQúV-‘D§e_ P Qe
wíg D‘”[ùmAR¨`'—lB QvN –P ,N …ú‘ g vP:R8bDQlQAN÷P<0 g,Wú‘;R¨bD
NmAR¨`'S×–PD§v^ P0 ~{—
Y N‘ [XQúO‘I0
{, 46 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
7.4.13.4.1.1 R)s–i^S
SUOM Nl ^ QC
g,gg+
1-3N* 3N*g - 5^tN
2018^t12g 31 1N*g NQ… 1-5^t N `o T
g 1^t N
e
D§
”L[Xk> 190,544,265.06 - - - - - 190,544,265.06
~{— N‘ 3,403,238.65 - - - - - 3,403,238.65
[XQúO‘ 391,024.72 - - - - - 391,024.72
N¤ `'‘D - - - - -890,672,372.01 890,672,372.01
N§
^”e6R8n {— - - - - - 13,503,370.14 13,503,370.14
k>
^”e6R)`o - - - - - 44,465.42 44,465.42
^”e6) - - - - - 3,289.63 3,289.63
QvND§ - - - - - - -
D§`; 194,338,528.43 - - - -904,223,497.201,098,562,025.63
P:
^”NR8n {— - - - - - 7,609,710.87 7,609,710.87
k>
^”N{t Nb - - - - - 1,406,392.21 1,406,392.21
‘l
^”NbX{9 - - - - - 234,398.73 234,398.73
^”NN¤ 9( - - - - - 1,960,364.49 1,960,364.49
QvNP: - - - - - 400,000.00 400,000.00
P:`; - - - - - 11,610,866.30 11,610,866.30
R)seOa ^: 194,338,528.43 - - - -892,612,630.901,086,951,159.33
S
lè hN-b@y:N:g,Wú‘D§SP:v&—b÷P< ^vc qgT ~‰vR)s‘°[N÷eb R0g e[peé
NNR |{0
7.4.13.4.1.2 R)s–ieOa `'R g
lè N2018^t12g 31e g,Wú‘*c g N¤ `'P:R8bD Vàkd^ W:R)svSR¨[ùNg,Wú‘D§Q
P{I TR0g eW(N ^tNQ…v
{, 48 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
e?^P:R8vbDON ONNWú‘D§QPyTQvN‘P: Qv&—b÷PT~{— N‘ 193,947,503.71 17.65
8 QvNT yD§ 13,942,149.91 1.27
9 T 1,098,562,025.63 100.00
lè /N¤ g:R6bDn/lQAN÷PO ]O\ 13,643,400.76 1.26
R eS 0 OSZ1NPN 45,250,585.52 4.16
{, 51 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
S ~üT - -
T 832,054,592.01 76.55
8.2.2 bTJgg+ c LN R |{vn/bDhbDT
S`Wú‘D§QP 13,503,370.14
3 ^”e6) 3,289.63
4 ^”e6R)`o 44,465.42
5 ^”e6u3-> -
6 QvN^”e6k> -
7 _…dJ9( -
8 QvN -
9 T 13,942,149.91
8.12.4 gg+ c g vY Nl vSlbP:R8f ~
lè g,Wú‘,bTJgg+g* c g Y Nl vSlbP:R80
8.12.5 gg+ RMSAT hN-[XW(mAS×–PQvf
lè g,Wú‘,bTJgg+ c g vRMSAT hN-g*[XW(mAS×–P
{, 60 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
§9 Wú‘ g NOá`o
9.1 gg+ Wú‘ g Nb7epSc g N~g
NSUOM N
c g Nb7 b7WGc g v c g N~g
ep(b7) Wú‘ g:gbD N*NbD
S``;N S``;N
c g N c g N
kO kO
9,853 131,963.07 26,039,674.03 2.00% 1,274,192,409.56 98.00%
9.2 gg+ Wú‘t NvNNN TXc gg, Wú‘`Q
yv c g N`;ep N S`Wú‘;NkO
Wú‘t Nb@g NNN TX
111.59 0.0000%
c gg, Wú‘
9.3 gg+ Wú‘t NvNNN TXc gg, _ e>_ Wú‘`;‘:v`Q
yv c g Wú‘`;‘ep‘: NN
g,QlS~§{t NTX0 Wú‘Dx zv
0
èè#c gg, _ e>_ Wú‘
g,Wú‘ú‘t c gg, _ e>_ Wú‘ 0
{, 61 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
§10 _ e>_ Wú‘SR¨
SUOM N
Wú‘T u eHe 2018^t 1g 16e Wú‘`; 1,561,799,165.50
Wú‘T u eHewóTJggg+ Wú‘;u3- 15,469,771.39
Q:Wú‘T u eHewóTJggg+ Wú‘;NN 277,036,853.30
Wú‘T u eHewóTJggg+ Wú‘R SR¨N NQ\ -
N"-"XkR
g,bTJggg+ Wú‘`; 1,300,232,083.59
{, 62 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
§11‘'NNcíy:
11.1 Wú‘ g NY'O Q
bTJg Q…eàWú‘ g NY'O Q0
11.2 Wú‘t N0 Wú‘X{NvN èWú‘X{èèv‘'NNSR¨
2018^t8g 20e QlSNT}gNfS‰Hu N:QlSRo`;~t gNfS‰Hu ]ò~§{t NTX
R8bD_w QvNT}]òW(N-VR8bDú‘ SOO Y hH0 N NSR¨]òc vQs‰
Y hH0 QlTJ0
bTJg Q… 2018^t8g R 8QHu bNN-V”Lg –PlSLL0 N NSR¨]ò
c vQs‰Y hH0 QlTJ0
11.3 m‰SWú‘t N0 Wú‘"§ Wú‘X{N Rv
bTJg Q…eàm‰SWú‘t N0 Wú‘"§ Wú‘X{N Rv0
11.4 Wú‘DVueve9S
bTJg Q…Wú‘DVueg*e9S0
11.5 N:Wú‘L[vO ^ NRb@`Q
bTJg Q…Wú‘*e9X:Qv[vO ^ NRb@0 g,bTJg Wú‘”e/N~fnSNl8S-Y)O
^ NRb@ rykfnT O vb‘l:100,000.00QCNl ^ NRb@]òT g,Wú‘ON1^tv[
g R0
11.6 {t N0 bX{NSQv~§{t NTXS×z=gb Y Z{I`Q
bTJg Q…Wú‘t N0 Wú‘X{NvbX{N RèèSQv~§{t NTXg*S×v{èèz=gb
Y Z0
11.7 Wú‘u(R8QlSN¤ SUQCvg Qs`Q
11.7.1 Wú‘u(R8QlSN¤ SUQCLhbDOc‘/N`Q
‘SUOM Nl ^ QC
R8UFT y N¤ SUQC hN¤ ^”e/NR8UFvOc‘ Y lè
ep‘ S`_Sg h
S`_Sg Oc‘
b N¤‘ b N¤`;vk Oc‘
`;‘kO
O
mwR8 2 1,004,895,052.72 12.51% 920,963.24 12.39% -
l_R8 1 789,657,294.18 9.83% 747,688.25 10.06% -
^SR8 2 779,876,624.76 9.71% 718,697.10 9.67% -
SN[‰R8 2 723,814,401.27 9.01% 674,085.80 9.07% -
SNlR8 2 556,846,355.20 6.93% 526,206.00 7.08% -
VR8 1 441,287,905.79 5.49% 410,966.79 5.53% -
{, 63 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
QtN R8 3 435,616,645.08 5.42% 396,977.91 5.34% -
SN”kR8 1 388,468,511.70 4.84% 354,012.67 4.76% -
QIY'R8 2 381,394,885.35 4.75% 349,876.17 4.71% -
N-lR8 2 360,019,717.97 4.48% 335,286.39 4.51% -
‰… e" 2 314,674,598.51 3.92% 290,141.51 3.90% -
[
t^”R8 2 264,668,774.06 3.29% 242,170.51 3.26% -
”R8 1 241,342,785.10 3.00% 224,762.47 3.02% -
N-Oá^úb 3 182,180,626.50 2.27% 166,344.68 2.24% -
[‰OáR8 2 163,508,780.79 2.04% 152,278.99 2.05% -
N-”–E 3 127,627,983.86 1.59% 118,859.30 1.60% -
N TR8 2 126,741,801.02 1.58% 115,499.70 1.55% -
e°eR8 2 124,549,017.75 1.55% 115,062.44 1.55% -
N-bR8 1 105,874,414.90 1.32% 96,483.73 1.30% -
SNR8 1 98,570,882.82 1.23% 89,827.89 1.21% -
VQCR8 1 78,978,100.11 0.98% 73,551.08 0.99% -
‰WR8 1 78,304,119.54 0.97% 72,922.96 0.98% -
N eR8 3 73,181,969.76 0.91% 66,690.96 0.90% -
SNR R8 1 65,605,807.41 0.82% 59,786.68 0.80% -
`RlR8 1 52,731,909.33 0.66% 49,108.81 0.66% -
VlT [‰ 1 51,424,011.42 0.64% 47,891.38 0.64% -
l u R8 1 21,162,568.83 0.26% 19,285.52 0.26% -
OáR8 1 - - - - -
V‘R8 1 - - - - -
VTR8 2 - - - - -
WR8 1 - - - - -
"R8 1 - - - - -
VOáR8 2 - - - - -
N T4R8 2 - - - - -
nX"R8 1 - - - - -
n$mwR8 1 - - - - -
‰… Oá 1 - - - - -
VmwR8 1 - - - - -
N-‘lS 2 - - - - -
N-OáR8 1 - - - - -
u3N [n 1 - - - - -
{, 64 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
S NSN 1 - - - - -
mYUFR8 2 - - - - -
ekcR8 2 - - - - -
‰èR8 1 - - - - -
N S R8 1 - - - - -
bUFR8 1 - - - - -
11.7.2 Wú‘u(R8QlSN¤ SUQCLQvNR8bD`Q
‘SUOM Nl ^ QC
R8UFT y P:R8N¤ P:R8V-¤ gCN¤
S`_Sg P:
S`_Sg P:R8 S`_SggC
R8V-
b N¤‘ b N¤`;vk b N¤‘ b N¤‘ b N¤`;v
b N¤`;
O kO
vkO
mwR8 - - - - - -
l_R8 - - - - - -
^SR8 - - - - - -
SN[‰R8 - - - - - -
SNlR8 - - - - - -
VR8 - - 2,400,000,000.00 70.59% - -
QtN R8 - - - - - -
SN”kR8 - - - - - -
QIY'R8 - - 1,000,000,000.00 29.41% - -
N-lR8 - - - - - -
‰… e" - - - - - -
[
t^”R8 - - - - - -
”R8 - - - - - -
N-Oá^úb - - - - - -
[‰OáR8 - - - - - -
N-”–E - - - - - -
N TR8 - - - - - -
e°eR8 - - - - - -
N-bR8 - - - - - -
SNR8 - - - - - -
VQCR8 - - - - - -
‰WR8 - - - - - -
{, 65 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
N eR8 - - - - - -
SNR R8 - - - - - -
`RlR8 - - - - - -
VlT [‰ - - - - - -
l u R8 - - - - - -
OáR8 - - - - - -
V‘R8 - - - - - -
VTR8 - - - - - -
WR8 - - - - - -
"R8 - - - - - -
VOáR8 - - - - - -
N T4R8 - - - - - -
nX"R8 - - - - - -
n$mwR8 - - - - - -
‰… Oá - - - - - -
VmwR8 - - - - - -
N-‘lS - - - - - -
N-OáR8 - - - - - -
u3N [n - - - - - -
S NSN - - - - - -
mYUFR8 - - - - - -
ekcR8 - - - - - -
‰èR8 - - - - - -
N S R8 - - - - - -
bUFR8 - - - - - -
11.8 QvN‘'NN
^S÷ QlTJNy l[b—2_ l[b—2g
SNlgt^b uee°QtN§Nm÷ W N-VR8b0 N mw
1
R8bDú‘ú‘T u eHQlTJ R8b0 R8eb 2018^t1g 17e
SNlgt^Wú‘ g g P\rLR8 N-VR8b0 N mw
2
O0Pe^8u3- N R8b0 R8eb
3
V0 lb0 [g [bD 9
O `à{IN RQlTJ 2018^t3g 2e
{, 66 u Qq75 u
SNlgt^b uee°QtN§Nm÷ 2018^t^t^bTJ
SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw
SNlgt^b uee°QtN§Nm÷ W R8b0 R8eb
4 R8bDú‘018^tN;‰D W:
V{IN R[‰c’
PGefP\u3-N
vQlTJ 2018^t3g 5e
SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw
e× è Wú‘(V‘R8g R8b0 R8eb
5
–PlS_ Wú‘g [bD
RvQlTJ 2018^t3g 7e
SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw
X U SNN:e× è Wú‘ R8b0 R8eb
6 g:gT e_ Wú‘lb0 [b
Su3-b9O `à{IN RvQl
TJ 2018^t3g 14e
SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw
7 e× 54SêR8bDú‘e9Wú‘ R8b0 R8eb
TTT bX{SOvQlTJ 2018^t3g 23e
SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw
8 e× Wú‘ g g P\rLR8O0P< R8b0 R8eb
etvcy:`'QlTJ 2018^t3g 24e
SNlgt^Wú‘t g –PlSe× N-VR8b0 N mw
9
N§
Wú‘DDe/c R8vQlTJ R8b0 R8eb 2018^t4g 2e
SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw
X mW3vOáWú‘ U.g –PlS R8b0 R8eb
10 N:e× è Wú‘ g:gT e_
Wú‘lb0 [bSSR 9O
`à{IN RvQlTJ 2018^t4g 13e
SNlgt^Wú‘sNe× Wú‘@c N-VR8b0 N mw
11 g N-Qt 000063 O0P< et R8b0 R8eb
QlTJ 2018^t4g 20e
SNlgt^Wú‘ g g P\rLR8 N-VR8b0 N mw
12
O0PW0p
N mw^ mfN e°S:l u 199_ Y'N”S^W:1S÷i|17\B
bX{NOOb@
13.3 g–e_
NpY
bDSW(%N eQM9– N_Sc ]g,9- SpN0 bD[ùg,bTJYg u‘ S
T¨Wú‘t NSNlgt^Wú‘t g –PlS0 [b7g Rpí~ 400-888-0001 QM9 021-
3878 4638 QlSQW@ www.huatai-pb.com
SNlgt^Wú‘t g –PlS
2019^t3g 27e
{, 73 u Qq75 u