SNl?gˇt^量S?驱R¤pum;配置m?T?W?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^量S?驱R¤m?T?2019 ^t{,2 [c^?b￥TJ
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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¨
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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?
SNl?gˇt^量S?驱R¤pum;配置m?T?W?证R8b?资W?金N?2018^t10g?16e?h9cne6费e?_?R?N?T?，e?
X?C|{N?额，C|{v?Qsc?h?N?2018^t10g?16e?_?Y?计{?0?
W?金N§T`i?Q?§2
W?金{?y? SNl?gˇt^量S?驱R¤m?T?
N?f?Nax? 001074
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W?金T??u?eHe? 2015^t3g?24e?
b￥TJg?+W?金N?额‘;额 544,625,714.89N?
b?资v?h?
R)u([?量b?资j!W?，W(g?eHc§R6风险v?RMc—
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g,W?金N:m?T?W譗?金，Qv预g?风险N?e6v?高N?
P:R8W譗?金N?货^??W:W?金，ON?股yhW譗?
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^量S?驱R¤m?
T?A
SNl?gˇt^量S?驱R¤m?
T?C
N?\^R?~§W?金v?N?f?Nax? 001074 006531
b￥TJg?+N?\^R?~§W?金v?N?额‘;额 544,348,469.00N? 277,245.89N?
SNl?gˇt^量S?驱R¤m?T?2019 ^t{,2 [c^?b￥TJ
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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^量S?驱R¤m?T?A SNl?gˇt^量S?驱R¤m?T?C
1．g,g?]?[?s?e6v? 27,445,382.71 10,849.04
2．g,g?R)m? -5,249,519.77 -15,963.49
3．R?gC^sWGW?金N?额g,g?R)m? -0.0094 -0.0591
4．g?+W?金资N§Q?P< 567,542,695.41 290,457.08
5．g?+W?金N?额Q?P< 1.0426 1.0477
l?：10?N?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
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20?g,g?]?[?s?e6v?c?W?金g,g?R)‘oe6Qe0?b?资e6v?0?QvN?e6Qe（N?T+QlQAN?P
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SNl?gˇt^量S?驱R¤m?T?2019 ^t{,2 [c^?b￥TJ
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l?：A~§V?y:e?g?N:2015^t3g?24e?至2019^t6g?30e?0?C~§V?y:e?g?N:2018^t10g?16e?至2019^t6
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至2012^t8g?N?Goldenberg
Hehmeyer Trading
CompanyN?f?TX0?2012^t9
g?R?QeSNl?gˇt^W?金{?t?
g?限QlS?，S?N?量S?b?资
SNl?gˇt^量S?驱R¤m?T?2019 ^t{,2 [c^?b￥TJ
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部x?zvTX0?W?金~ˇt?R'
t?0?2015^t1g?起N?量S?b?
资部Ro‘;v?，2015^t10g?
起N?SNl?gˇt^量S?O?选pu
m;配置m?T?W?证R8b?资W?
金T?SNl?gˇt^量S?驱R¤pu
m;配置m?T?W?证R8b?资W?
金v?W?金~ˇt?0?2016^t12
g?至2018^t11g?N?SNl?gˇ
t^行N?z?N?O?R?pum;配置
m?T?W?证R8b?资W?金v?W?
金~ˇt?0?2017^t3g?至2018
^t10g?N?SNl?gˇt^v?R)pu
m;配置m?T?W?证R8b?资W?
金v?W?金~ˇt?0?2017^t3g?
至2018^t11g?N?SNl?gˇt^
‘?R)pum;配置m?T?W?证R8
b?资W?金v?W?金~ˇ
t?0?2017^t3g?至2018^t3
g?N?SNl?gˇt^V?R)pum;配
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W?金~ˇt?0?2017^t4g?
至2018^t4g?N?SNl?gˇt^l?
R)pum;配置m?T?W?证R8b?
资W?金0?SNl?gˇt^锦R)pu
m;配置m?T?W?证R8b?资W?
金0?SNl?gˇt^裕R)pum;配
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W?金~ˇt?0?2017^t4g?
至2019^t3g?N?SNl?gˇt^w?
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资W?金v?W?金~ˇt?0?2017
^t6g?起N?SNl?gˇt^|?选V?
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资W?金v?W?金~ˇt?0?2017
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b?资W?金v?W?金~ˇ
t?0?2017^t12g?起N?SNl?
gˇt^n/股通量S?pum;配置
m?T?W?证R8b?资W?金v?W?
金~ˇt?0?2019^t3g?起N?SN
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（BGI ）bˉN?b?资~ˇt?，
2012^t8g?R?QeSNl?gˇt^W?
金{?t?g?限QlS?，2013^t8
g?起N?SNl?gˇt^量S?X?_:
m?T?W?证R8b?资W?金v?W?
金~ˇt?，2013^t10g?起N?
QlS?Ro‘;~ˇt?，2014^t12
g?起N?SNl?gˇt^量S?O?选
pum;配置m?T?W?证R8b?资
W?金v?W?金~ˇt?，2015^t3
g?起N?SNl?gˇt^量S?QH行
m?T?W?证R8b?资W?金v?W?
金~ˇt?T?SNl?gˇt^量S?驱
SNl?gˇt^量S?驱R¤m?T?2019 ^t{,2 [c^?b￥TJ
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R¤pum;配置m?T?W?证R8b?
资W?金v?W?金~ˇt?，2015
^t6g?起N?SNl?gˇt^量S?fz
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资W?金v?W?金~ˇt?T?SNl?
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资W?金v?W?金~ˇt?0?2017
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gˇt^‘?R)pum;配置m?T?W?
证R8b?资W?金v?W?金~ˇ
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W?证R8b?资W?金v?W?金~ˇ
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T?W?证R8b?资W?金v?W?金
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b￥TJg?Q?g*S?s?g,W?金[XW(_?^8N?f?行N:0?g,b￥TJg?Q?e?N?R?‘ˉQ?:b@g?b?资~?T?S′N?v?N?
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b?资~?T?b￥TJ§5
b￥TJg?+W?金资N§~?T?‘ˉQ? 5.1
^?S? 项v? 金额（QC） S‘W?金‘;资N§v?k?O?（%）
1 gCv?b?资 534,281,137.21 93.70
QvN-：股yh 534,281,137.21 93.70
2 W?金b?资 - -
3 V?[?e6v?b?资 15,010,500.00 2.63
QvN-：P:R8
15,010,500.00 2.63
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
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7 银行[Xk>T?~?{?Y?N?金T?计 20,508,245.23 3.60
8 QvN?资N§
398,573.54 0.07
9 T?计
570,198,455.98
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
Nax? 行N?|{R+ QlQAN?P<（QC） S‘W?金资N§Q?PO?]?O\ - -
R e?S?0?OS育T?Z1NPN? 826,463.60 0.15
S ~?T? - -
T?计 534,281,137.21 94.09
SNl?gˇt^量S?驱R¤m?T?2019 ^t{,2 [c^?b￥TJ
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b￥TJg?+c?行N?R?|{v?n/股通b?资股yhb?资~?T?5.2.2
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b￥TJg?+c?QlQAN?P
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b￥TJg?+c?QlQAN?P
页 Qq15
页
l?：g,W?金g,b￥TJg?+g*c?g?资N§e/c?证R80?
b￥TJg?+c?QlQAN?P
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c—O?质N??{&v?g?R?0?T?N?b?资违规c￥S?bˉO?0?通过T?N?b?资b?贷k>虚X?[Xk>规j!{I行N:Y?N?l?
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^?S? T?y? 金额（QC）
1 [XQ?O?证金 141,729.23
2 ^?e6证R8n?{?k> -
3 ^?e6股R) -
4 ^?e6R)‘o 251,131.55
5 ^?e6u3购k> 5,712.76
6 QvN?^?e6k> -
7 _?dJ费u( -
8 QvN? -
9 T?计 398,573.54
b￥TJg?+c?g?v?Y?N?转股g?v?S?转cbP:R8f?~?5.1.4
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b￥TJg??R?W?金N?额‘;额
588,176,598.08
143,365.30
b￥TJg??间W?金‘;u3购N?额 1,777,258.51
298,012.27
Qˇ:b￥TJg??间W?金‘;赎V?N?额 45,605,387.59
164,131.68
b￥TJg??间W?金b?R?S?R¤N?额（N?额Qˇ
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b￥TJg??+W?金N?额‘;额
544,348,469.00
277,245.89
SNl?gˇt^量S?驱R¤m?T?2019 ^t{,2 [c^?b￥TJ
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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
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