SNl?gˇt^N0lGP:R8W?证R8b?资W?金
2019^t{,2[c^?b¥TJ
2019^t6g?30e?
W?金{?t?N”:SNl?gˇt^W?金{?t?g?限QlS?
W?金bX{?N”:N-V?银行股N?g?限QlS?
b¥TJ送Q?e?g?:2019^t7g?17e?
SNl?gˇt^N0lGP:R82019 ^t{,2 [c^?b¥TJ
{, 2
页 Qq13
页
重要c—y:§1
W?金{?t?N”v?董N?O?S?董N?O?证g,b¥TJb@载资e?N?[XW(虚PG记载0?误[?‘’陈述b?重Y’遗o?,
^v[?QvQ?[?v?w?[?‘’0?Q?xn‘’T?[?et‘’b罢ˉN*R+S?连^&责N?0?
W?金bX{?N”N-V?银行股N?g?限QlS?h9cng,W?金T??规[?,N?2019^t7g?16e?Y?h8N?g,b¥TJN-
v?财R?c?h?0?Q?P<表s?T?b?资~?T?b¥TJ{IQ?[?,O?证Y?h8Q?[?N?[XW(虚PG记载0?误[?‘’陈述b?者
重Y’遗o?0?
W?金{?t?N”b?诺N?诚[?O?u(0?R?\=责v?S?R?{?t?T?运u(W?金资N§,OFN?O?证W?金N?[?v¨
R)0? W?金v?过_?N?~?^vN?a表Qvg*ge表s?0?
b?资g?风险,b?资者W(O\Q?b?资Q?{VRM^?N?~?阅读g,W?金v?b?R?说f?Nf0?
g,b¥TJN-v?财R?资e?g*~ˇ[?计0?
g,b¥TJg?自2019^t4g?1e?起至2019^t6g?30e?kb0?
W?金N§T`i?Q?§2
W?金{?y? SNl?gˇt^N0lGP:R8
N?f?Nax? 000421
W?金运O\e?_? YQ~?W?_?e>_?
W?金T??u?eHe? 2014^t12g?11e?
b¥TJg?+W?金N?额‘;额 1,127,333,466.83N?
b?资v?h?
W(T?t?c§R6风险v?W?x@N?,追lBW?金资N§v?长
g?z3PeX?P<0?
b?资{Vue
g,W?金采u(N?b?资{Vue10?|{\^资N§配置{V
ue:g,W?金N?[?观~ˇmN趋R?N?S?货^?e?{Vx?zv
[?T?,重p?Qsl?GDPX?速0?通货膨胀l4^s0?R)s?
S??趋R?N?S?货^?O?^?量{I[?观~ˇmNc?h?,x?
R$[?观~ˇmN运行b@Y?v?~ˇmNThg?S?Qvo?进趋
R?;T?e?,y?g?Qsl?财e?e?{V0?货^?e?{V0?lG
s?e?{V0?N§N?e{VT?证R8^?W:e?{V{Iv?S??,
R?g?Qv[?N?T?|{R+资N§v?^?W:_qT?e?T?N?z?
^?,进而k?较T?Y’|{资N§v?风险e6v?ry‘’,~?
T?考虑T?证R8^?W:v?资金O?lBr?Q?0?mAR¤‘’l4
^sN?S?走R?v葶?Qs‘’,W(W?金T??~?[?k?O?v?
范V?Q?,R¤‘?调etW?金Y’|{资N§v?配置k?O?,
N?而O?S?资N§~?T?v?风险e6v?l4^s;20?P:R8b?
资{Vue:g,W?金\?W([?[?观~ˇmN走R?0?R)s?S?
S?趋R?0?e6v?s?f?~?_b‘?S??T?S?P:N;OSW?g,
面R?g?v?W?x@N?,~?T?运u(NEg?{?t?{Vue0?g?
限~?g?配置{Vue0?骑NX{Vue0?‘o]?{Vue{IN;R¤
b?资{Vue,选b?T?适v?e?g:T豔`y?g?^?P:R8~?
T?;30?gC证b?资{Vue:g,W?金\?[?gC证h?v?证
R8v?W?g,面进行QER?x?zv,~?T?考虑gC证[?N?
j!W?0?^?W:O?lBQs|?0?N?f?R6^?设计{IY?y?V?
} [?gC证进行[?N?,N?g?获_?z3Pev?_Sg?e6
v?;40?V?P:g?货b?资{Vue:N:g?eHc§R6P:R8b?
资v?|?~?‘’风险,g,W?金h9cn风险{?t?v?S?
R?,N?YWg?O?P
页 Qq13
页
g?货T?~?0?Qvk!,考虑V?P:g?货T??~?v?mAR¤
‘’‘ˉQ?,g?~¨xn[?N?s?货~?T?v?T?适S9配,N?
达R0风险{?t?v葶?h?0?
N?~?k?较W?Q? N-P:~?T?c?ep
风险e6v?ry_?
g,W?金\^N?P:R8W譗?金,Qv风险T?预g?e6v?s?
ON?m?T?W譗?金0?股yhW譗?金,高N?货^??W:
W?金0?
W?金{?t?N” SNl?gˇt^W?金{?t?g?限QlS?
W?金bX{?N” N-V?银行股N?g?限QlS?
N?\^R?~§W?金v?W?金{?y? SNl?gˇt^N0lGP:R8A SNl?gˇt^N0lGP:R8C
N?\^R?~§W?金v?N?f?Nax? 000421 000422
b¥TJg?+N?\^R?~§W?金v?N?额‘;额 1,126,859,290.35N? 474,176.48N?
N;要财R?c?h?T?W?金Q?P<表s?§3
N;要财R?c?h?3.1
SUOM:N”l?^?QC
N;要财R?c?h?
b¥TJg?( 2019^t4g?1e? - 2019^t6g?30e? )
SNl?gˇt^N0lGP:R8A SNl?gˇt^N0lGP:R8C
1.g,g?][?s?e6v? 7,103,456.61 1,908.28
2.g,g?R)m? 5,841,338.03 2,330.52
3.R?gC^sWGW?金N?额g,g?R)m? 0.0052 0.0062
4.g?+W?金资N§Q?P< 1,221,355,799.84 501,760.23
5.g?+W?金N?额Q?P< 1.0839 1.0582
l?:10?b@述W?金N?~?c?h?N?S?b?c?g?N”认购b?N?f?W?金v?T?项费u(,计Qe费u(T?[?际e6v?l4^s要
ON?b@R?ep[W0?
20?g,g?][?s?e6v?c?W?金g,g?R)‘oe6Qe0?b?资e6v?0?QvN?e6Qe(N?T+QlQAN?P
页 Qq13
页
自W?金T??u?eHN?geW?金}/计Q?P
页 Qq13
页
l?:V?y:e?g?N:2014^t12g?11e?至2019^t6g?30e?0?
{?t?N”b¥TJ§4
W?金~ˇt?(b?W?金~ˇt?\?~?){?N? 4.1
Y?T? 职R? N?g,W?金v?W?金~ˇt?g?限 证R8N?N?
^t限
说f?
N?职e?g? y?N?e?g?
陈N?
V?[?e6
v?部‘;
v?0?g,
W?金v?
W?金~ˇ
t?
2014^t12
g?11e?
- 12^t
金融[fxUXo,11^t证R8N?
N?~ˇS?0?f?N?m?W3S?\U银
行(s?]?f?T?N:^s[?银
行)‘;行金融^?W:部V?[?
e6v?N?衍u?T`N?f?TX,负
责g,Y?^?t?财N§T`v?资N§
{?t?]?O\;N-V?]?UF银行
‘;行金融^?W:部N”l?^?P:
R8N?f?TX,负责银行账b7
v?自营P:R8b?资]?
O\0?2012^t9g?R?QeSNl?gˇ
t^W?金{?t?g?限Ql
S?,2012^t11g?起N?SNl?
SNl?gˇt^N0lGP:R82019 ^t{,2 [c^?b¥TJ
{, 6
页 Qq13
页
gˇt^金[WXTz3g,X?R)P:R8
W?证R8b?资W?金W?金~ˇ
t?,2013^t9g?起N?SNl?gˇ
t^N0v?~flP:P:R8W?证R8b?
资W?金v?W?金~ˇt?,2013
^t11g?至2017^t11g?N?SN
l?gˇt^[c[c~¢P:R8W?证R8
b?资W?金v?W?金~ˇ
t?,2014^t12g?起N?SNl?
gˇt^N0lGP:R8W?证R8b?资
W?金v?W?金~ˇt?,2015^t1
g?起N?V?[?e6v?部Ro‘;
v?0?2016^t1g?起N?V?[?e6
v?部‘;v?0?2017^t11g?起
N?SNl?gˇt^z3Pe6v?P:R8
W?证R8b?资W?金T?SNl?gˇ
t^O?u(X?R)P:R8W?证R8b?
资W?金v?W?金~ˇt?0?
罗远航
g,W?金
v?W?金
~ˇt?
2019^t2
g?25e?
- 8^t
n?SNY’[f^?u(~ˇmN[fxU
Xo0?f?N?SNY?W?金{?t?g?
限QlS?N?f?TX0?x?zvTX0?
W?金~ˇt?0?2017^t1g?R?Qe
SNl?gˇt^W?金{?t?g?限Ql
S?0?2017^t3g?至2018^t4
g?N?SNl?gˇt^|?选V?b¥pu
m;配置m?T?W?证R8b?资W?
金0?SNl?gˇt^l?R)pum;配
置m?T?W?证R8b?资W?金0?
SNl?gˇt^锦R)pum;配置m?
T?W?证R8b?资W?金T?SNl?
gˇt^裕R)pum;配置m?T?W?
证R8b?资W?金v?W?金~ˇ
t?0?2017^t3g?至2018^t11
g?N?SNl?gˇt^r1R)pum;配
置m?T?W?证R8b?资W?金v?
W?金~ˇt?0?2017^t3g?
至2019^t3g?N?SNl?gˇt^Qt
R)pum;配置m?T?W?证R8b?
资W?金v?W?金~ˇt?0?2017
^t3g?起N?SNl?gˇt^[c[c~¢
P:R8W?证R8b?资W?金0?SN
l?gˇt^e?R)pum;配置m?T?
W?证R8b?资W?金0?SNl?gˇ
t^N?R)pum;配置m?T?W?证
R8b?资W?金T?SNl?gˇt^鼎
R)pum;配置m?T?W?证R8b?
资W?金v?W?金~ˇt?0?2019
^t2g?起N?SNl?gˇt^N0lGP:
R8W?证R8b?资W?金v?W?金
~ˇt?0?
{?t?N”[?b¥TJg?Q?g,W?金运O\遵规[?O?‘ˉQ?v?说f?4.2
b¥TJg?Q?g,W?金v?运O\{&T?v?Qsl?_?0?l?规N?S?W?金T??v?~?[?,N?[XW(c_[?W?金c?g?N”R)
v?v?行N:0?
SNl?gˇt^N0lGP:R82019 ^t{,2 [c^?b¥TJ
{, 7
页 Qq13
页
Ql^sN?f?N?项说f?4.3
Ql^sN?f?R6^?v?bg行‘ˉQ?4.3.1
b¥TJg?Q?,g,W?金{?t?N”h9cn0?证R8b?资W?金{?t?QlS?Ql^sN?f?R6^?c?[?a?见0?v?要lB,通
过y?[f[?Uv?R6^?S?mAz?,N?N?RM0?N譎-T?N?T?{Isfl节N%h
b¥TJg?Q?W?金b?资{VueT?运O\R?g?4.4
2019^tN?[c^?,美联P¤~?f?P\R?‘o,T?e?货^?e?{V表述趋N?鸽m>0?W(X?长bˉ_?‘ˉ~?R?gv?
_qT?N?,mwY?^?W:v?P:R8e6v?s?fn遍N?行0?V?Q?e?面,S?R0N?[c^?O?u(bi_ 超预g?T?通胀N?行v?
_qT?,N”l?银行v?货^?e?{VW(4g?N?边际e6}’,降Q?预g?落zz0?5g?N??geN-美贸f?Q?z?R?g,V?
Q?Y?金融^?W:Y’^E震荡,[?观epcnN_Q?s?N虎?[?v?V?落,V?Q?货^?e?{VS¨g?b@转g~0?
^?W:e?面,N?[c^?R)s?Y’^E震荡0?W(Y.行e6}’v?_qT?N?,4g?N?P:R8e6v?s?_o速N?行超
过30bp,5g?N-美贸f?Q?z?‘vS?T?,e6v?s?S¨逐n?V?落0?etOSgew?,P:R8^?W:W(N?[c^?v?表s?_1
N蹎?[c^?,e6v?s?v?k?N?[c^?v?ONp?g?b@N?行0?
b¥TJg?Q?,g,W?金N;要b?资N?R)s?P:,~?c?N虎-‘’v?NEg?T?g‘gFl4^s0?
\Ug?2019^tN?[c^?,~ˇmNY?苏v?预g?]?~ˇW(N?[c^?被证O*0?b?资X?速^vl?g?跟随y>融X?速v?
V?SG而Q?s?f?>v?e9U?,m?费X?速N_W(进N?keN?n?0?W(5g?N?S?UF银行被bX{?T?,N-\?银行v?T?
N?[XSUS?行V?难,N-\?银行v?资N§负P:表bi_ 速^?Qˇ缓,这N?R)N?g*gev?O?u(R?造0?T?e?,u1N?
W0e?e?^P:N?^tc—RMR0N?[c^?S?行,N_O?_?N?[c^?v?W0e?e?^P:O?~?\?f?>\?N?S?^tT?g?0?V?kd
N?[c^?v?O?u(bi_ 速^?S?能趋缓,[?N?~ˇmNX?长_b?负面v?S?R?0?S?N?e?面,随w@s*肉N?h
页 Qq13
页
\?g?b@缓解0?随w@通胀S?R?v?Qˇ缓T?金融风险v?R?Y’,货^?e?{Ve6}’v?i?s?Y’Y’降ON,预计N?[c
^?资金面\?~?c?z3[驛‰g~v?\@面,P:R8^?W:表s?N_g??Y}N蹎?[c^?0?
g*geg,W?金\?N;要b?资N?R)s?P:,~?c?适^?v?NEg?T?g‘gFl4^s,O?S?~?T?配置,N?获S?较Y}
v?e6v?0?
b¥TJg?Q?W?金v?N?~?表s?4.5
b*至g,b¥TJg?+,g,W?金A|{T?C|{N?额Q?P
1,284,452,628.20 98.87
资N§e/c?证R8 - -
4 贵金\^b?资 - -
5 金融衍u?T`b?资 - -
6 NpQe返U.金融资N§ - -
QvN-:Npe?_?V?购v?NpQe返
U.金融资N§
- -
7 银行[Xk>T?~?{?Y?N?金T?计 595,974.28 0.05
8 QvN?资N§
14,092,020.73 1.08
9 T?计
1,299,140,623.21
100.00
b¥TJg?+c?行N?R?|{v?股yhb?资~?T?5.2
b¥TJg?+c?行N?R?|{v?X?Q?股yhb?资~?T?
5.2.1
l?:g,W?金g,b¥TJg?+g*c?g?股yh0?
b¥TJg?+c?行N?R?|{v?n/股通b?资股yhb?资~?T?5.2.2
l?:g,W?金g,b¥TJg?+g*c?g?n/股通b?资股yh0?
SNl?gˇt^N0lGP:R82019 ^t{,2 [c^?b¥TJ
{, 9
页 Qq13
页
b¥TJg?+c?QlQAN?P
5.4
^?S? P:R8T`y? QlQAN?P<(QC)
S‘W?金资N§Q?P
b¥TJg?+c?QlQAN?P
b¥TJg?+c?QlQAN?P
页 Qq13
页
b¥TJg?+c?QlQAN?P -
3 ^?e6股R) -
4 ^?e6R)‘o 14,033,830.14
5 ^?e6u3购k> 11,069.93
6 QvN?^?e6k> -
7 _?dJ费u( 18,039.12
8 QvN? -
9 T?计 14,092,020.73
SNl?gˇt^N0lGP:R82019 ^t{,2 [c^?b¥TJ
{, 11
页 Qq13
页
b¥TJg?+c?g?v?Y?N?转股g?v?S?转cbP:R8f?~?5.10.4
l?:g,W?金g,b¥TJg?+g*c?g?Y?N?转股g?v?S?转cbP:R80?
b¥TJg?+RMSAT?股yhN-[XW(mA通S?限‘ˉQ?v?说f?5.10.5
l?:g,W?金g,b¥TJg?+g*c?g?股yh0?
_?e>_?W?金N?额S?R¤§6
SUOM:N?
项v? SNl?gˇt^N0lGP:R8A SNl?gˇt^N0lGP:R8C
b¥TJg??R?W?金N?额‘;额
1,128,246,070.71 298,229.80
b¥TJg??间W?金‘;u3购N?额 173,207.63
262,382.75
Qˇ:b¥TJg??间W?金‘;赎V?N?额 1,559,987.99
86,436.07
b¥TJg??间W?金b?R?S?R¤N?额(N?额Qˇ
\?N?"-"XkR?)
-
-
b¥TJg??+W?金N?额‘;额
1,126,859,290.35
474,176.48
W?金{?t?N”运u(V?g?资金b?资g,W?金‘ˉQ?§7
W?金{?t?N”c?g?,W?金N?额S?R¤‘ˉQ?7.1
l?:e?0?
W?金{?t?N”运u(V?g?资金b?资g,W?金N?f??~?7.2
l?:e?0?
_qT?b?资者Q?{Vv?QvN?重要O?‘o§8
b¥TJg?Q?SUN?b?资者c?g?W?金N?额k?O?达R0b?超过20%v?‘ˉQ?8.1
b?资
者|{
R+
b¥TJg?Q?c?g?W?金N?额S??‘ˉQ? b¥TJg?+c?g?W?金‘ˉQ?
^?S?
c?g?W?金N?额k?O?
达R0b?者超过20%v?
e?间S:间
g?R?
N?额
u3购
N?额
赎V?
N?额
c?g?N?额
N?额S‘
k?
g:g? 1 20190401-20190630 252,037,301.52 0.00 0.00 252,037,301.52 22.36%
SNl?gˇt^N0lGP:R82019 ^t{,2 [c^?b¥TJ
{, 12
页 Qq13
页
2 20190401-20190630 420,062,169.20 0.00 0.00 420,062,169.20 37.26%
N*N” - - - - - - -
N§T`ryg?风险
g,W?金b¥TJg?Q?g?SUN?g:g?cg?W?金N?额超过20%v?‘ˉ_b0?Y?g?这N魎?额c?g?k?O?较Y’v?b?资者赎
V?,S?能[?致]?额赎V?,N?而_?S?mAR¤‘’风险,S?能[?W?金N§u?Y?N?_qT?:(1)^?g?R?t?赎V?u3请
b?f?P\赎V?v?风险0?_S?u?]?额赎V?e?,b?资者S?能面N4赎V?u3请^?g?R?t?0?^?缓e/N?b?f?P\赎V?
v?风险0?(2)W?金Q?PW0p?9.2
N?mw^?mfN?e?S:l?u?路1199_?证Y’N?道Sa^?W:1S?i|17\B
g?阅e?_?9.3
b?资者S?W(营N?e?间QM费g?阅,N_S?c?]?g,费购NpY?SpN?0?
b?资者[?g,b¥TJY?g?u?问,S?T¤询W?金{?t?N”SNl?gˇt^W?金{?t?g?限QlS?0?
SNl?gˇt^N0lGP:R82019 ^t{,2 [c^?b¥TJ
{, 13
页 Qq13
页
[¢b7g?R?p?~?:400-888-0001(QM长途费) 021-3878 4638
QlS?网W@:www.huatai-pb.com
SNl?gˇt^W?金{?t?g?限QlS?
2019^t7g?17e?