华泰柏瑞价值增长混合：华泰柏瑞价值增长混合型证券投资基金2019年半年度报告查看PDF公告

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重要c—y:S?v?_U§1 
重要c—y:1.1 
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?，
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v?_U1.2 
§ 1


重要c—y:S?v?_U................................................................................................................................... 2
1.1


重要c—y:...................................................................................................................................... 2
1.2


v?_U.............................................................................................................................................. 3
§ 2


W?金{?N?............................................................................................................................................... 6
2.1


W?金W?g,‘ˉQ?............................................................................................................................... 6
2.2


W?金N§T`说f?............................................................................................................................... 6
2.3


W?金{?t?N”T?W?金bX{?N”........................................................................................................... 6
2.4


O?‘ob?露e?_?............................................................................................................................... 7
2.5


QvN?v?Qs资e?............................................................................................................................... 7
§ 3


N;要财R?c?h?T?W?金Q?P<表s?............................................................................................................ 8
3.1


N;要O?计epcnT?财R?c?h?........................................................................................................... 8
3.2


W?金Q?P<表s?............................................................................................................................... 8
§ 4


{?t?N”b￥TJ......................................................................................................................................... 10
4.1


W?金{?t?N”S?W?金~ˇt?‘ˉQ?..................................................................................................... 10
4.2


{?t?N”[?b￥TJg?Q?g,W?金运O\遵规[?O?‘ˉQ?v?说f?............................................................. 12
4.3


{?t?N”[?b￥TJg?Q蕑l^sN?f?‘ˉQ?v?N?项说f?......................................................................... 12
4.4


{?t?N”[?b￥TJg?Q?W?金v?b?资{VueT?N?~?表s?v?说f?......................................................... 13
4.5


{?t?N”[?[?观~ˇmN0?证R8^?W:S?行N?走R?v?{?要\Ug?......................................................... 13
4.6


{?t?N”[?b￥TJg?Q?W?金O0P

{?t?N”[?b￥TJg?Q?W?金R)m?R?配‘ˉQ?v?说f?......................................................................... 13
4.8


b￥TJg?Q?{?t?N”[?g,W?金c?g?N”epb?W?金资N§Q?P<预警‘ˉ_bv?说f?................................. 13
§ 5


bX{?N”b￥TJ......................................................................................................................................... 14
5.1


b￥TJg?Q?g,W?金bX{?N”遵规[?O?‘ˉQ?X?f?............................................................................. 14
5.2


bX{?N”[?b￥TJg?Q?g,W?金b?资运O\遵规[?O?0?Q?P<计{?0?R)m?R?配{I‘ˉQ?v?说f?.......... 14
5.3


bX{?N”[?g,SJ^t^?b￥TJN-财R?O?‘o{IQ?[?v?w?[?0?Q?xnT?[?etS?表a?见......................... 14
§ 6


SJ^t^?财R?O?计b￥TJ（g*~ˇ[?计）.................................................................................................. 15
6.1


资N§负P:表................................................................................................................................. 15
6.2


R)m?表........................................................................................................................................ 16
6.3


b@g?者gCv?（W?金Q?P<）S?R¤表............................................................................................. 17
 
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6.4


b￥表附l?.................................................................................................................................... 18
§ 7


b?资~?T?b￥TJ..................................................................................................................................... 39
7.1


g?+W?金资N§~?T?‘ˉQ?............................................................................................................. 39
7 .2


g?+c?行N?R?|{v?股yhb?资~?T?............................................................................................. 39
7.3


g?+c?QlQAN?P

b￥TJg?Q?股yhb?资~?T?v?重Y’S?R¤......................................................................................... 42
7.5


g?+c?P:R8T`y?R?|{v?P:R8b?资~?T?..................................................................................... 45
7.6


g?+c?QlQAN?P

g?+c?QlQAN?P

b￥TJg?+c?QlQAN?P

g?+c?QlQAN?P

b￥TJg?+g,W?金b?资v?股c?g?货N?f?‘ˉQ?说f?................................................................... 46
7.11


b￥TJg?+g,W?金b?资v?V?P:g?货N?f?‘ˉQ?说f?................................................................... 46
7.12


b?资~?T?b￥TJ附l?................................................................................................................... 46
§ 8


W?金N?额c?g?N”O?‘o.......................................................................................................................... 48
8.1


g?+W?金N?额c?g?N”b7epS?c?g?N”~?g?................................................................................. 48
8.2


g?+W?金{?t?N”v?N?N?”TXc?g?,W?金v?‘ˉQ?..................................................................... 48
8.3


g?+W?金{?t?N”v?N?N?”TXc?g?,_?e>_?W?金N?额‘;量S:间v?‘ˉQ?................................. 48
§ 9


_?e>_?W?金N?额S?R¤.......................................................................................................................... 49
§ 10


重Y’N譎?c?y:................................................................................................................................... 50
10.1


W?金N?额c?g?N”Y’O?Q?议....................................................................................................... 50
10.2


W?金{?t?N”0?W?金bX{?N”v?N?门W?金bX{?部门v?重Y’N”N?SR¤....................................... 50
10.3


m?S?W?金{?t?N”0?W?金财N§0?W?金bX{?N?R?v?诉讼........................................................... 50
10.4


W?金b?资{Vuev?e9S?............................................................................................................... 50
10.5


N:W?金进行[?计v?O?计^?N?R?b@‘ˉQ?................................................................................... 50
10.6


{?t?N”0?bX{?N”S?Qv高~§{?t?N”TXS?z=g?b?Y?罚{I‘ˉQ?................................................... 50
10.7


W?金y?u(证R8QlS?N?f?SUQCv?g?Qs‘ˉQ?............................................................................... 50
10.8


QvN?重Y’N譎?........................................................................................................................... 52
§ 11


_qT?b?资者Q?{Vv?QvN?重要O?‘o.................................................................................................... 55
11.1


b￥TJg?Q?SUN?b?资者c?g?W?金N?额k?O?达R0b?超过20% v?‘ˉQ?........................................ 55
 
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11.2


_qT?b?资者Q?{Vv?QvN?重要O?‘o........................................................................................... 55
§ 12


Y?g?e?N?v?_U................................................................................................................................... 56
12.1


Y?g?e?N?v?_U........................................................................................................................... 56
12.2


[Xe>W0p?.................................................................................................................................. 56
12.3


g?阅e?_?.................................................................................................................................. 56
 
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W?金T?y?
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g,W?金选[?v?O?‘ob?露b￥~?T?y?
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N;要财R?c?h?T?W?金Q?P<表s?§3 
N;要O?计epcnT?财R?c?h?3.1 
金额SUOM：N”l?^?QC
3.1.1


g?间epcnT?c?h?
b￥TJg?(2019^t1g?1e? - 2019^t6g?30e? )
g,g?]?[?s?e6v?
50,335,979.09
g,g?R)m?
136,188,327.18
R?gC^sWGW?金N?额g,g?R)m?
0.6096
g,g?R?gC^sWGQ?P

g?+epcnT?c?h?
b￥TJg?+( 2019^t6g?30e? )
g?+S?O?R?配R)m?
171,104,242.87
g?+S?O?R?配W?金N?额R)m?
0.7934
g?+W?金资N§Q?P<
503,183,829.48
g?+W?金N?额Q?P<
2.3334
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b￥TJg?Q?W?金v?N?~?表s?4.4.2 
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SJ^t^?财R?O?计b￥TJ（g*~ˇ[?计）§6 
资N§负P:表6.1 
O?计N;OS：SNl?gˇt^N?P
6.4.7.1
27,314,204.24 25,797,646.29
~?{?Y?N?金
3,725,129.88 1,021,705.34
[XQ?O?证金
157,075.14 141,080.41
N?f?‘’金融资N§
6.4. 7.2
474,892,203.26 385,036,597.51
QvN-：股yhb?资
474,597,099.26 384,733,721.51
W?金b?资 - -
P:R8b?资 295,104.00 302,876.00
资N§e/c?证R8b?资 - -
贵金\^b?资 - -
衍u?金融资N§
6.4.7.3
- -
NpQe返U.金融资N§
6.4.7.4
- -
^?e6证R8n?{?k>
- -
^?e6R)‘o
6.4.7.5
11,783.88 11,363.06
^?e6股R)
- -
^?e6u3购k>
143,550.45 309,734.60
递^?b@_?z?资N§
- -
 
SNl?gˇt^N?P

页 Qq56


页
QvN?资N§
6.4.7.6
- -
资N§‘;计
506,243,946.85 412,318,127.21
负P:T?b@g?者gCv? 附l?S?
g,g?+
2019^t6g?30e?
N?^t^?g+
2018^t12g?31e?
负 P:：
w?g?P?k>
- -
N?f?‘’金融负P:
- -
衍u?金融负P:
6 .4.7.3
- -
SVQ?V?购金融资N§k>
- -
^?N?证R8n?{?k>
- -
^?N?赎V?k>
1,296,672.26 135,044.01
^?N?{?t?N”b￥酬
589,213.47 540,882.83
^?N?bX{?费
98,202.22 90,147.15
^?N?销U.g?R?费
- -
^?N??f?费u(
6.4.7.7
895,347.62 630,725.45
^?N?z?费
- -
^?N?R)‘o
- -
^?N?R)m?
- -
递^?b@_?z?负P:
- -
QvN?负P:
6.4.7.8
180,681.80 360,128.60
负P:T?计
3,060,117.37 1,756,928.04
 
SNl?gˇt^N?P

页 Qq56


页
b@g?者gCv?：
[?e6W?金
6.4.7.9
215,646,131.85 227,530,764.59
g*R?配R)m?
6.4.7.10
287,537,697.63 183,030,434.58
b@g?者gCv?T?计
503,183,829.48 410,561,199.17
负P:T?b@g?者gCv?‘;计
506,243,946.85 412,318,127.21
l?：b￥TJb*kbe?2019^t6g?30e?，W?金N?额Q?P<2.3334QC，W?金N?额‘;额215,646,131.85N?0?
R)m?表6.2 
O?计N;OS：SNl?gˇt^N?PR)‘oe6Qe
6.4.7.11
120,383.31 136,824.45
P:R8R)‘oe6Qe 5,619.09 363.34
资N§e/c?证R8R)‘oe6Qe - -
NpQe返U.金融资N§e6Qe - -
QvN?R)‘oe6Qe - -
2. b?资e6v?（c_Y1N? ?- ” XkR?）
58,438,180.49 22,097,567.92
QvN-：股yhb?资e6v?
6.4.7.12
55,252,567.08 18,298,769.40
W?金b?资e6v? - -
P:R8b?资e6v?
6.4.7.13
- 160,079.65
资N§e/c?证R8b?资e6v?
6.4.7.13. 5
- -
贵金\^b?资e6v?
6 .4.7.14
- -
衍u?]?Qwe6v?
6.4.7.1 5
- -
股R)e6v?
6.4.7.1 6
3,185,613.41 3,638,718.87
 
SNl?gˇt^N?P

页 Qq56


页
3. QlQAN?P




-
0.85
7 ．QvN?费u(
6.4.7. 20
192,450.02 192,819.48
N?0?R)m?‘;额（N?c_‘;额N? ?- ?
S?XkR?）
136,188,327.18 15,005,421.11
Qˇ：b@_?z?费u(
- -
V?0?Q?R)m?（Q?N?c_N? ?- ?S?Xk
R?）
136,188,327.18 15,005,421.11
 
b@g?者gCv?（W?金Q?P<）S?R¤表6.3 
O?计N;OS：SNl?gˇt^N?P

页 Qq56


页
g?R)m?）
N?0?g,g?W?金N?额N?f?
N§u?v?W?金Q?P
25,989,996.50 29,105,515.03 55,095,511.53
2.W?金赎V?k> -37,874,629.24 -46,403,986.47 -84,278,615.71
V?0?g,g?T?W?金N?额c?
g?N”R?配R)m?N§u?v?W?
金Q?P
38,865,257.43 54,664,268.98 93,529,526.41
2.W?金赎V?k> -53,318,642.98 -81,266,442.24 -134,585,085.22
V?0?g,g?T?W?金N?额c?
g?N”R?配R)m?N§u?v?W?
金Q?P













______ b?O?R?______














____ 赵foN?____
W?金{?t?N”负责N”














N;{?O?计]?O\负责N”














O?计g:g?负责N”
b￥表附l?6.4 
W?金W?g,‘ˉQ?6.4.1 
SNl?gˇt^N?P

页 Qq56


页
集v?byY?0?h8Q?，u1S?邦SNl?W?金{?t?g?限QlS?(]?自2010^t4g?30e?起f?T?N:SNl?gˇt^W?金{?t?
g?限QlS?)O?qg0?N-SN”l?QqT?V?证R8b?资W?金l?0?T?0?S?邦SNl?N?P_?，[X~?g?限N?[?，首k!设z?R?集N?S?b?认购资
金R)‘oQqR?集N”l?^?406,224,705.76QC，N?~ˇfnSNl8道N-Y)O?计^?N?R?b@g?限QlS?fnSNl8道N-Y)
验[W(2008){,109S?验资b￥TJN衎?验证0?~ˇT?N-V?证v?O?Y?hH，0?S?邦SNl?N?P


h9cn2014^tN-V?证v?O?N?{,104S?0?Ql_?R?集证R8b?资W?金运O\{?t?R?l?0?，SNl?gˇt^N?P<
X?长股yhW?证R8b?资W?金N?2015^t8g?6e?QlTJT?fT?N:SNl?gˇt^N?P


h9cn0?N-SN”l?QqT?V?证R8b?资W?金l?0?T?0?SNl?gˇt^N?P{I)N?S?
b?资N?R0g?e?W(N?^tN?Q?v?e?^?P:R8v?k?O?T?计N?ON?W?金资N§Q?P0??N-V?证R8N?SO?N?2007^t5g?15e?颁^?v?0?证R8b?资W?金O?计h8{?N?R?
c?_?0???SNl?gˇt^N?P

页 Qq56


页
g,b￥TJg?b@采u(v?O?计e?{V0?O?计O0计N?g?近N?g?^t^?b￥TJv?N?致v?说f?6.4.4 
g,b￥TJg?b@采u(v?O?计e?{V0?O?计O0计N?g?近N?g?^t^?b￥TJv?N?致0?
]?错f?kcv?说f?6.4.5 
g,W?金g,b￥TJg?e?重Y’O?计]?错0?
z?项6.4.6 
h9cn财e?部0?V?[?z?R?‘;\@财z?[2008]1S?0?QsN?O?N?b@_?z?若^rO?‘?e?{Vv?通w?0??财
z?[2012]85S?0?QsN?[?e‰N?^?QlS?股‘o~￠R)]?R+S?N*N”b@_?z?e?{Vg?Qs问题v?通w?0??财
z?[2015]101S?0?QsN蹎?^?QlS?股‘o~￠R)]?R+S?N*N”b@_?z?e?{Vg?Qs问题v?通w?0??财
z?[2016]36S?0?QsN?Qh面c¤_?营N?z?e9_?X?Pg?R?，
N?2018^t1g?1e?起N§u?v?R)‘oS?R)‘o‘’质v?e6QeN:销U.额0?资{?N§T`{?t?N”运营资{?N§T`转
让2017^t12g?31e?RMS?_?v?W?金0?非货rig?货，S?N?选b?c?qg[?际NpQeN?计{?销U.额，b?者
N?2017^tg?T?NN*N?f?e?v?W?金N?额Q?P<0?非货rig?货~?{?N?h

页 Qq56


页
T?S?_?v?股‘o0?~￠R)e6Qe，c?qgN?述规[?计{?~?z?，c?股e?间自解y?e?起计{?；解y?RMS?_?v?股
‘o0?~￠R)e6Qe~?f?Qˇc?50%计Qe^?~?z?b@_?额0?N?述b@_?~?N?适u(20%v?z?s?计_?N*N”b@_?z?0?
(d)W?金SVQ?股yhc?0.1%v?z?s?缴~?股yhN?f?Sp花z?，NpQe股yhN?_?e6股yhN?f?Sp花z?0?
(e)g,W?金v?W?^?~?b?^?设z?0?eY育费附R?T?W0e?eY育费附R?{Iz?费c?qg[?际缴~?X?P6.4.7.1 
SUOM：N”l?^?QC
项v?
g,g?+
2019^t6g?30e?
m;g?[Xk> 27,314,204.24
[?g?[Xk> -
QvN-：[Xk>g?限1N*g?N?Q?
-
[Xk>g?限1-3N*g?
-









[Xk>g?限3N*g?N?
-
QvN?[Xk> -
T?计： 27,314,204.24
 
N?f?‘’金融资N§6.4.7.2 
SUOM：N”l?^?QC
项v?
g,g?+
2019^t6g?30e?
b?g, QlQAN?P< QlQAN?P

页 Qq56


页
NpQe返U.金融资N§6.4.7.4 
T?项NpQe返U.金融资N§g?+OY额6.4.7.4.1 
l?：b*至g,b￥TJg?+g,W?金g*c?g?NpQe返U.金融资N§0?
g?+Npe?_?逆V?购N?f?N-S?_?v?P:R86.4.7.4.2 
l?：g,W?金g,b￥TJg?+g*c?g?N?Npe?_?逆V?购N?f?N-S?_?v?P:R80?
^?e6R)‘o6.4.7.5 
SUOM：N”l?^?QC
项v?
g,g?+
2019^t6g?30e?
^?e6m;g?[Xk>R)‘o 5,184.74
^?e6[?g?[Xk>R)‘o -
^?e6QvN?[Xk>R)‘o -
^?e6~?{?Y?N?金R)‘o 1,676.30
^?e6P:R8R)‘o 4,852.14
^?e6资N§e/c?证R8R)‘o -
^?e6NpQe返U.证R8R)‘o -
^?e6u3购k>R)‘o -
^?e6黄金T?~?b?P?[s‘o -
QvN? 70.70
T?计 11,783.88
 
QvN?资N§6.4.7.6 
l?：b*至g,b￥TJg?+，g,W?金g*c?g?QvN?资N§0?
^?N??f?费u(6.4.7.7 
SUOM：N”l?^?QC
项v?
g,g?+
2019^t6g?30e?
N?f?b@^?W:^?N??f?费u( 895,347.62
银行间^?W:^?N??f?费u( -
T?计
895,347.62
 
QvN?负P:6.4.7.8 
SUOM：N”l?^?QC
项v?
g,g?+
2019^t6g?30e?
^?N?R8UFN?f?SUQCO?证金 -
^?N?赎V?费 2,163.31
 
SNl?gˇt^N?P

页 Qq56


页
预c—费u( 178,518.49
T?计
180,681.80
 
[?e6W?金6.4.7.9 
金额SUOM：N”l?^?QC
项v?
g,g?
2019^t1g?1e?至2019^t6g?30e?
W?金N?额（N?） 账面金额
N?^t^?g+
227,530,764.59 227,530,764.59
g,g?u3购
25,989,996.50 25,989,996.50
g,g?赎V?( N?"-" S?XkR?)
-37,874,629.24 -37,874,629.24
- W?金b?R?/ N?额b?{?RM
- -
W?金b?R?/ N?额b?{?S?R¤N?额
- -
g,g?u3购
- -
g,g?赎V?( N?"-" S?XkR?)
- -
g,g?+
215,646,131.85 215,646,131.85
l?：u3购T+~￠R)Q?b?0?转cbQeN?额；赎V?T+转cbQ?N?额0?
g*R?配R)m?6.4.7.10 
SUOM：N”l?^?QC
项v? ]?[?s?部R? g*[?s?部R? g*R?配R)m?T?计
N?^t^?g+
143,702,346.77 39,328,087.81 183,030,434.58
g,g?R)m?
50,335,979.09 85,852,348.09 136,188,327.18
g,g?W?金N?额N?f?
N§u?v?S?R¤ep
-8,551,490.30 -8,746,981.14 -17,298,471.44
QvN-：W?金u3购k>
16,899,495.13 12,206,019.90 29,105,515.03
W?金赎V?k> -25,450,985.43 -20,953,001.04 -46,403,986.47
g,g?]?R?配R)m?
-14,382,592.69 - -14,382,592.69
g,g?+
171,104,242.87 116,433,454.76 287,537,697.63
 
[Xk>R)‘oe6Qe6.4.7.11 
SUOM：N”l?^?QC
项v?
g,g?
2019^t1g?1e?至2019^t6g?30e?
m;g?[Xk>R)‘oe6Qe 101,389.09
[?g?[Xk>R)‘oe6Qe -
QvN?[Xk>R)‘oe6Qe -
~?{?Y?N?金R)‘oe6Qe 17,608.21
QvN? 1,386.01
T?计
120,383.31
 
 
SNl?gˇt^N?P

页 Qq56


页
股yhb?资e6v?6.4.7.12 
股yhb?资e6v? ??NpSV股yh]?N?e6Qe6.4.7.12.1 
SUOM：N”l?^?QC
项v?
g,g?
2019^t1g?1e?至2019^t6g?30e?
SVQ?股yhb?N?‘;额 1,333,683,870.79
Qˇ：SVQ?股yhb?g,‘;额 1,278,431,303.71
NpSV股yh]?N?e6Qe 55,252,567.08
 
P:R8b?资e6v?6.4.7.13 
P:R8b?资e6v?项v?g?b?6.4.7.13.1 
l?：g,W?金g,b￥TJg?Q?e?P:R8b?资e6v?0?
P:R8b?资e6v? ??NpSVP:R8]?N?e6Qe6.4.7.13.2 
l?：g,W?金g,b￥TJg?Q?e?P:R8b?资e6v?0?
P:R8b?资e6v? ??赎V?]?N?e6Qe6.4.7.13.3 
l?：g,W?金g,b￥TJg?Q?e?P:R8赎V?]?N?e6Qe0?
P:R8b?资e6v? ??u3购]?N?e6Qe6.4.7.13.4 
l?：g,W?金g,b￥TJg?Q?e?P:R8u3购]?N?e6Qe0?
资N§e/c?证R8b?资e6v?6.4.7.13.5 
l?：g,W?金g,b￥TJg?Q?e?资N§e/c?证R8b?资e6v?0?
贵金\^b?资e6v?6.4.7.14 
贵金\^b?资e6v?项v?g?b?6.4.7.14.1 
l?：g,W?金g,b￥TJg?Q?e?贵金\^b?资e6v?0?
贵金\^b?资e6v? ??NpSV贵金\^]?N?e6Qe6.4.7.14.2 
l?：g,W?金g,b￥TJg?Q?e?贵金\^b?资e6v?0?
贵金\^b?资e6v? ??赎V?]?N?e6Qe6.4.7.14.3 
l?：g,W?金g,b￥TJg?Q?e?贵金\^b?资e6v?0?
贵金\^b?资e6v? ??u3购]?N?e6Qe6.4.7.14.4 
l?：g,W?金g,b￥TJg?Q?e?贵金\^b?资e6v?0?
 
SNl?gˇt^N?P

页 Qq56


页
衍u?]?Qwe6v?6.4.7.15 
衍u?]?Qwe6v? ??NpSVgC证]?N?e6Qe6.4.7.15.1 
l?：g,W?金g,b￥TJg?Q?e?衍u?]?Qwe6v?0?
衍u?]?Qwe6v? ??QvN?b?资e6v?6.4.7.15.2 
l?：g,W?金g,b￥TJg?Q?e?衍u?]?Qwe6v?0?
股R)e6v?6.4.7.16 
SUOM：N”l?^?QC
项v?
g,g?
2019^t1g?1e?至2019^t6g?30e?
股yhb?资N§u?v?股R)e6v? 3,185,613.41
W?金b?资N§u?v?股R)e6v? -
T?计
3,185,613.41
 
QlQAN?P

页 Qq56


页
N?f?费u(6.4.7.19 
SUOM：N”l?^?QC
项v?
g,g?
2019^t1g?1e?至2019^t6g?30e?
N?f?b@^?W:N?f?费u( 3,970,169.19
银行间^?W:N?f?费u( -
N?f?W?金N§u?v?费u( -
QvN-：u3购费 -









赎V?费 -
T?计 3,970,169.19
 
QvN?费u(6.4.7.20 
SUOM：N”l?^?QC
项v?
g,g?
2019^t1g?1e?至2019^t6g?30e?
[?计费u( 29,752.78
O?‘ob?露费 148,765.71
银行R?k>bK~?费 4,931.53
银行间账b7g?R?费 9,000.00
T?计
192,450.02
 
R?部b￥TJ6.4.7.21 
g,W?金N?Q?部~?~˙~?g?0?{?t?要lB0?Q?部b￥TJR6^?N:O?cnxn[?~ˇ营R?部，N?~ˇ营R?部N:W?x@
xn[?b￥TJR?部^vb?露R?部O?‘o0?~ˇ营R?部f/c?g,W?金Q?T?e?n?足N?R?gaN?v?~?b?部R?：(1) 该~?
b?部R?能Y?W(e?^8m;R¤N-N§u?e6Qe0?S?u?费u(；(2)g,W?金v?W?金{?t?N”能Y?[?g?评N?该~?b?部
R?v?~ˇ营b?g?，N?Q?[?T?Qv配置资n?0?评N?QvN?~?；(3)g,W?金能Y?S?_?该~?b?部R?v?财R?r?
Q?0?~ˇ营b?g?T?s?金mA量{Ig?QsO?计O?‘o0?Y?g?N$N*b?Y?N*~ˇ营R?部Qwg?v?O

页 Qq56


页
Qs联e?Qs|?6.4.9 
g,b￥TJg?[XW(c§R6Qs|?b?QvN?重Y’R)[?Qs|?v?Qs联e?S?u?S??v?‘ˉQ?6.4.9.1 
g,b￥TJg?Q?[XW(c§R6Qs|?b?QvN?重Y’R)[?Qs|?v?Qs联e?g*S?u?S??0?
g,b￥TJg?N?W?金S?u?Qs联N?f?v?T?Qs联e?6.4.9.2 
Qs联e?T?y? N?g,W?金v?Qs|?
SNl?gˇt^W?金{?t?g?限QlS? W?金{?t?N”0?W?金l?Q?v{记N”0?W?金v?销g:g?
N-V?银行股N?g?限QlS? W?金bX{?N”0?W?金Na销g:g?
SNl?证R8股N?g?限QlS? W?金{?t?N”v?股N?0?W?金Na销g:g?
l?：Qs联e?N?W?金进行v?Qs联N?f?WGW(kc^8N?R?范V?Q?c?qgN?般UFN?gak>而订z?v?0? 
g,b￥TJg?S?N?^t^?S?k?g?间v?Qs联e?N?f?6.4.10 
通过Qs联e?N?f?SUQC进行v?N?f?6.4.10.1 
股yhN?f?6.4.10.1.1 
金额SUOM：N”l?^?QC
Qs联e?T?y?
g,g?
2019^t1g?1e?至2019^t6g?30e?
N?^t^?S?k?g?间
2018^t1g?1e?至2018^t6g?30e?
b?N?金额
S‘_Sg?股yh
b?N?‘;额v?k?O?
b?N?金额
S‘_Sg?股yh
b?N?‘;额v?k?O?
SNl?证R8股N?g?限Ql
S?
518,836,137.73 19.84% 91,719,822.08 3.41%
 
gC证N?f?6.4.10.1.2 
l?：g,W?金g,b￥TJg?N??^t^?S?k?g?间g*S?u?通过Qs联e?N?f?SUQC进行v?gC证N?f?0?
^?e/N?Qs联e?v?Oc金6.4.10.1.3 
金额SUOM：N”l?^?QC
Qs联e?T?y?
g,g?
2019^t1g?1e?至2019^t6g?30e?
_Sg?Oc金
S‘_Sg?Oc金‘;量
v?k?O?
g?+^?N?Oc金OY额
S‘g?+^?N?Oc金
‘;额v?k?O?
SNl?证R8股N?g?
限QlS?
479,017.05 19.92% 271,169.14 30.29%
Qs联e?T?y?
N?^t^?S?k?g?间
2018^t1g?1e?至2018^t6g?30e?
_Sg?Oc金
S‘_Sg?Oc金‘;
量v?k?O?
g?+^?N?Oc金OY额
S‘g?+^?N?Oc金
‘;额v?k?O?
SNl?证R8股N?g?
限QlS?
83,584.60 3.38% - -
l?：1. N?述Oc金c?^?W:Oc金s?计{?，N?bc除u1N-V?证R8v{记~?{?g?限责N?QlS?e6S?v?证{?费T?
~ˇbK费T?v?Q?额R?y:0?



 
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页
2. 该|{Oc金SO议v?g?R?范V?还S?b?Oc金e6S?e?N:g,W?金c—O?v?证R8b?资x?zvb?g?T?^?W:O?‘og?
R?{I0?



3.Qs联e?v?Oc金k?s?T?计{?e?_?N?非Qs联e?N?致0?
Qs联e?b￥酬6.4.10.2 
W?金{?t?费6.4.10.2.1 
SUOM：N”l?^?QC
项v?
g,g?
2019^t1g?1e?至2019^t6g?30
e?
N?^t^?S?k?g?间
2018^t1g?1e?至2018^t6g?30e?
_Sg?S?u?v?W?金^?e/N?
v?{?t?费
3,541,766.64 4,076,886.13
QvN-：e/N?销U.g:g?v?
[￠b7~?b?费
893,341.90 1,032,778.74
l?： g,W?金^?e/N?W?金{?t?N”b￥酬，c?RMN?e?W?金资N§Q?P


H = E × 0.25% ÷ _S^tY)ep



HN:kˇe?^?e/N?v?bX{?费



EN:RMN?e?v?W?金资N§Q?P<



W?金bX{?费kˇe?计c—，逐e?}/计至kˇg??^?，c?g?e/N?，u1W?金bX{?N”N?k!g?RMN$N*]?O\e?Q?N?
W?金资N§N-N?k!‘’e/S?0?
 
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页
销U.g?R?费6.4.10.2.3 
l?：g,W?金g,g?N??^t^?S?k?g?间e?S?u?Qs联e?销U.g?R?费0?
N?Qs联e?进行银行间T?N?^?W:v?P:R8(T+V?购)N?f?6.4.10.3 
l?：g,W?金g,g?N??^t^?S?k?g?间g*S?u?N?Qs联e?进行v?银行间T?N?^?W:v?P:R8(T+V?购)N?f?0?
T?Qs联e?b?资g,W?金v?‘ˉQ?6.4.10.4 
b￥TJg?Q?W?金{?t?N”运u(V?g?资金b?资g,W?金v?‘ˉQ?6.4.10.4.1 
l?：g,b￥TJg?Q?N??^t^?S?k?g?间，W?金{?t?N”g*b?资g,W?金0?
b￥TJg?+除W?金{?t?N”NKY?v?QvN?Qs联e?b?资g,W?金v?‘ˉQ?6.4.10.4.2 
l?：g,b￥TJg?S?N?^t^?S?k?g?间Q?，除W?金{?t?N”NKY?v?Qv[?Qs联e?g*b?资g,W?金0?
u1Qs联e?O?{?v?银行[Xk>OY额S?_Sg?N§u?v?R)‘oe6Qe6.4.10.5 
SUOM：N”l?^?QC 
Qs联e?
T?y?
g,g?
2019^t1g?1e?至2019^t6g?30e?
N?^t^?S?k?g?间
2018^t1g?1e?至2018^t6g?30e?
g?+OY额
_Sg?R)‘oe6Qe g?+OY额 _Sg?R)‘oe6Qe
N-V?银行股
N?g?限QlS?
27,314,204.24
101,389.09 27,703,526.38 116,886.31
l?：g,W?金v?银行[Xk>u1W?金bX{?N”N-V?银行O?{?，c?银行T?N?R)s?计‘o0?
g,W?金W(b?销g?Q?S′N?Qs联e?b?销证R8v?‘ˉQ?6.4.10.6 
l?：g,W?金g,b￥TJg?S?N?^t^?S?k?g?间e?W(b?销g?Q?S′N?Qs联e?b?销证R8v?‘ˉQ?0?
QvN?Qs联N?f?N?项v?说f?6.4.10.7 
l?：g,W?金g,b￥TJg?S?N?^t^?S?k?g?间e?须O\说f?v?QvN?Qs联N?f?N?项0?
R)m?R?配‘ˉQ?6.4.11 
金额SUOM：N”l?^?QC
^?
S?
gCv?v{记e?
除‘oe?
kˇ10N?
W?金N?额R?~￠
ep
s?金_b_?
S?e>‘;额
Q?b?资_b_?
S?e>‘;额
g,g?R)m?R?配
T?计 Y?l?
1
2019^t2g?1
e?
2019^t2g?1
e?
0.6320 7,563,541.986,819,050.7114,382,592.69



T?
计
-
-
0.6320 7,563,541.986,819,050.7114,382,592.69



 
g?+（ 2019^t6g?30e? ）g,W?金c?g?v?mA通S?限证R86.4.12 
V?认购e?S?/X?S?证R8而N?g?+c?g?v?mA通S?限证R86.4.12.1 
 
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页
金额SUOM：N”l?^?QC
6.4.12.1.1 S?限证R8|{R+：股yh
证R8
Nax?
证R8
T?y?
b?R?
认购e?
S?mA
通e?
mA通S?
限|{W?
认购
N?h<
g?+O0
P

页 Qq56


页
[?v?范V?NKQ?，O?g,W?金W(风险T?e6v?NK间S?_?g?Osv?^s衡N?[?s? ?风险T?e6v?v?S9配 ?v?风险
e6v?v?h0?
g,W?金v?W?金{?t?N”^?z?v?风险{?t?OS|?u1 ?~?~˙0?R6^?0?mAz?T?b￥TJ ?{IV?N*e?面g?b?0?
~?~˙f/c?QlS?v?风险{?t?~?~˙g?g?Sb?董N?O?N?设v?风险{?t?N?[?计Y?TXO?0?QlS?{?t?\Bv?风险
c§R6Y?TXO?0?风险{?t?部T?l?_?v?[?部N?S?QlS?T?N?R?部门，董N?O?[?^?z?W?金风险{?t?Q?部c§
R6|?~?T?~?c?Qvg?eH‘’b罢ˉg?~¨责N?；R6^?f/c?风险{?t?v?Qsv?规z?R6^?，f/[?~?~˙职能S?Qv]?
O\mAz?{Iv?QwOS规[?；mAz?f/风险{?t?v?]?O\mAz?，[?详~?规[?N?T?部门NK间风险{?t?]?O\v?Q?
[?T?z?^?；b￥TJf/[?mAz?v?_ˉ要S?f T?记_U，e?f/风险{?t?]?O\v?重要sfl节，N_f/[?风险{?t?]?
O\v?‘;~?T?b?露0?
g,W?金v?W?金{?t?N”[?N?金融]?Qwv?风险{?t?e?l?N;要f/通过[?‘’R?g?T?[?量R?g?v?e?l?S?
O0mKT?y?风险N§u?v?S?能c_Y10?N?[?‘’R?g?v?角^?Q?S?，R$e?风险c_Y1v?N%重z?^?T?Q?s?T?|{风
险c_Y1v?频^?0?而N?[?量R?g?v?角^?Q?S?，h9cng,W?金v?b?资v?h?，~?T?W?金资N§b@运u(金融]?
Qwry_?通过ry[?v?风险量S?c?h?0?j!W?，e?^8v?量S?b￥TJ，xn[?风险c_Y1v?限^?T?v?^?置O?z?
^?，S?e?S?靠W0[?T?y?风险进行v?wc0?h?g?T?评O0，^v通过v?^?Q?{V，\?风险c§R6W(S?b?S?v?范
V?Q?0?
O?u(风险6.4.13.2 
O?u(风险f/c?W?金W(N?f?过z?N-V?N?f?[?bKg*\e行T?~?责N?，b?者W?金b@b?资证R8NKS?行N”
Q?s?违~?0?b?~?e/N?R0g?,‘o{I‘ˉQ?，[?致W?金资N§c_Y1T?e6v?S??v?风险0?
g,W?金v?W?金{?t?N”W(N?f?RM[?N?f?[?bKv?资O?r?Q?进行N?QER?v?评O0?g,W?金v?银行[Xk>
[Xe>W(g,W?金v?bX{?N”N-V?银行，V?而N?银行[Xk>v?Qsv?O?u(风险N?重Y’0?g,W?金W(N?f?b@进行
v?N?f?WGN-V?证R8v{记~?{?g?限责N?QlS?N:N?f?[?bK[?b?证R8N?e6T?k>项n?{?，违~?风险S?能
‘’_?\?；W(银行间T?N?^?W:进行N?f?RMWG[?N?f?[?bK进行O?u(评O0^v[?证R8N?Rre?_?进行限R6N?
c§R6v?^?v?O?u(风险0?
 
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页
g,W?金v?W?金{?t?N”^?z?N?O?u(风险{?t?mAz?，通过[?b?资T`y?O?u({I~§评O0gec§R6证R8S?
行N”v?O?u(风险，N?通过R?ecS?b?资N?R?ecO?u(风险0?
g,W?金P:R8b?资v?O?u(评~§‘ˉQ?c?0?N-V?N”l?银行O?u(评~§{?t?c?[?a?见0?设[?v?h?Q?~?计
S?lG‘;0?
c?w?g?O?u(评~§R?y:v?P:R8b?资6.4.13.2.1 
l?：e?0?
c?w?g?O?u(评~§R?y:v?资N§e/c?证R8b?资6.4.13.2.2 
l?：e?0?
c?w?g?O?u(评~§R?y:v?T?N?[XSUb?资6.4.13.2.3 
l?：e?0?
c?长g?O?u(评~§R?y:v?P:R8b?资6.4.13.2.4 
SUOM：N”l?^?QC
长g?O?u(评~§
g,g?+
2019^t6g?30e?
N?^t^?g+
2018^t12g?31e?
AAA 0.0 0.00
AAAN? 0.00 0.00
g*评~§ 295,104.00 302,876.00
T?计 295,104.00 302,876.00
l?：g*评~§v?P:R8S?b?V?P:0?P:R8O?u(评~§S?自{,N?e?评~§g:g?v?评~§0?
c?长g?O?u(评~§R?y:v?资N§e/c?证R8b?资6.4.13.2.5 
l?：e?0?
c?长g?O?u(评~§R?y:v?T?N?[XSUb?资6.4.13.2.6 
l?：e?0?
mAR¤‘’风险6.4.13.3 
mAR¤‘’风险f/c?W?金W(\e行N?金融负P:g?Qsv?NIR?e?遇R0资金w?缺v?风险0?g,W?金v?mAR¤‘’
风险N?e?面ge自N?W?金N?额c?g?N”S?随e?要lB赎V?Qvc?g?v?W?金N?额，S?N?e?面ge自N?b?资T`y?
b@Y?v?N?f?^?W:N?m;跃而^&gev?S?s?V?难b?V?b?资集N-而e?l?W(^?W:Q?s?Rgp¨l?R¤v?‘ˉQ?N??T?
t?v?N?h

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页
针[?QQN?赎V?资金v?mAR¤‘’风险，g,W?金v?W?金{?t?N”kˇe?[?g,W?金v?u3购赎V?‘ˉQ?进行N%
[?v?c§^v预mKmAR¤‘’需lB，O?c?W?金b?资~?T?N-v?S?u(s?金Y4[?N?Kv?S9配0?g,W?金v?W?金{?t?
N”W(W?金T??N-设计N?]?额赎V?gak>，~?[?W(非^8‘ˉQ?N?赎V?u3请v?Y?t?e?_?，c§R6V?_?e>u3购
赎V?j!_?^&gev?mAR¤‘’风险，g?eHO?障W?金c?g?N”R)v?0?
N?2019^t6g?30e?，g,W?金b@b罢ˉv?Qh部金融负P:v?T?~?~?[?R0g?e?WGN:NN*g?N?Q?N??计
‘o，S?赎V?W?金N?额Q?P<(b@g?者gCv?)e?V?[?R0g?e?N??计‘o，V?kd账面OY额SsN:g*b?s?v?T?~?
R0g?s?金mA量0?
 
金融资N§T?金融负P:v?R0g??限R?g?6.4.13.3.1 
l?：e?0?
b￥TJg?Q?g,W?金~?T?资N§v?mAR¤‘’风险R?g?6.4.13.3.2 
g,W?金v?W?金{?t?N”W(W?金运O\过z?N-N%h_?证R8b?资W?金mAR¤‘’风险{?t?规[?0?(自2017^t10g?1e?起e‰行){Il?规v?要lB
[?g,W?金~?T?资N§v?mAR¤‘’风险进行{?t?，通过r?z?v?风险{?t?部门[?g,W?金v?~?T?c?N?集N-^?
c?h?0?mA通S?限R6v?b?资T`y?k?O?N?S?~?T?W(w?e?间Q?S?s?能R?v?~?T?c?h?{ImAR¤‘’c?h?进行c?
~?v葶?mKT?R?g?0?
g,W?金b?资N蹎?[?QlS?S?行v?证R8^?P_?W?金QqT?c?g?N?[?N?^?QlS?S?行v?S?mA通股yhN?_?超过该N?
^?QlS?S?mA通股yhv?15%，g,W?金N?u1g,W?金v?W?金{?t?N”{?t?v?Qh部b?资~?T?c?g?N?[?N?^?Ql
S?S?行v?S?mA通股yh，N?_?超过该N?^?QlS?S?mA通股yhv?30%([?Qhc?qg?Qsc?epg?b?k?O?进行证
R8b?资v?_?e>_?W?金S?N-V?证v?O?认[?v?ryk?b?资~?T?N?S?N?述k?O?限R6)0?
g,W?金b@c?部R?证R8W(证R8N?f?b@N?^?，QvOYN?S?W(银行间T?N?^?W:N?f?，部R?W?金资N§mA
通f?e?S?限R6N?能自u1转让v?‘ˉQ?S′见附l?7.4.120?kdY?，g,W?金S?通过SVQ?V?购金融资N§e?_?
 
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页
P?Qew?g?资金^?[?mAR¤‘’需lB，QvN?限N?般N?超过W?金c?g?v?P:R8b?资v?QlQAN?P<0?g,W?金N;R¤
b?资N?mAR¤‘’S?限资N§v?^?P

页 Qq56


页
g,W?金c?g?S?b罢ˉv?Y’部R?金融资N§T?金融负P:N?计‘o，V?kdg,W?金v?e6QeS?~ˇ营m;R¤v?s?
金mA量W(_?Y’z?^?N?r?z?N?^?W:R)s?S??0?g,W?金c?g?v?R)s?eOa?‘’资N§N;要N:银行[Xk>0?~?{?
Y?N?金0?[XQ?O?证金S?P:R8b?资{I0?
R)s?风险e^Sa6.4.13.4.1.1 
SUOM：N”l?^?QC
g,g?+ 
2019^t6g?30e?
1N*g?N?Q?1-3N*g?
3N*g?-
1^t
1-5^t 5^tN? N?计‘o T?计
资N§
银行[Xk>
27,314,204.24 - - - - - 27,314,204.24
~?{?Y?N?金
3,725,129.88 - - - - - 3,725,129.88
[XQ?O?证金
157,075.14 - - - - - 157,075.14
N?f?‘’金融资N§
- - - - 295,104.00474,597,099.26474,892,203.26
^?e6R)‘o
- - - - - 11,783.88 11,783.88
^?e6u3购k>
- - - - - 143,550.45 143,550.45
QvN?资N§
- - - - - - -
资N§‘;计
31,196,409.26 - - - 295,104.00474,752,433.59506,243,946.85
负P:
^?N?赎V?k>
- - - - - 1,296,672.26 1,296,672.26
^?N?{?t?N”b￥酬
- - - - - 589,213.47 589,213.47
^?N?bX{?费
- - - - - 98,202.22 98,202.22
^?N??f?费u(
- - - - - 895,347.62 895,347.62
QvN?负P:
- - - - - 180,681.80 180,681.80
负P:‘;计
- - - - - 3,060,117.37 3,060,117.37
R)s?eOa?^?缺Sa
31,196,409.26 - - - 295,104.00471,692,316.22503,183,829.48
N?^t^?g+
2018^t12g?31e?
1N*g?N?Q?1-3N*g?
3N*g?-
1^t
1-5^t 5^tN? N?计‘o T?计
资N§
银行[Xk>
25,797,646.29 - - - - - 25,797,646.29
~?{?Y?N?金
1,021,705.34 - - - - - 1,021,705.34
[XQ?O?证金
141,080.41 - - - - - 141,080.41
N?f?‘’金融资N§
- - - - 302,876.00384,733,721.51385,036,597.51
^?e6R)‘o
- - - - - 11,363.06 11,363.06
^?e6u3购k>
- - - - - 309,734.60 309,734.60
QvN?资N§
- - - - - - -
资N§‘;计
26,960,432.04 - - - 302,876.00385,054,819.17412,318,127.21
负P:
^?N?赎V?k>
- - - - - 135,044.01 135,044.01
^?N?{?t?N”b￥酬
- - - - - 540,882.83 540,882.83
^?N?bX{?费
- - - - - 90,147.15 90,147.15
^?N??f?费u(
- - - - - 630,725.45 630,725.45
QvN?负P:
- - - - - 360,128.60 360,128.60
负P:‘;计
- - - - - 1,756,928.04 1,756,928.04
R)s?eOa?^?缺Sa
26,960,432.04 - - - 302,876.00383,297,891.13410,561,199.17
 
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页
l?：T?g?限R?|{v?h?Q?c?金融资N§b?金融负P:v?重e?[?N?e?b?R0g?e?[pe?者进行R?|{0?
R)s?风险v?eOa?‘’R?g?6.4.13.4.1.2 
l?：N?2019^t6g?30e?，g,W?金c?g?v?N?f?‘’P:R8b?资QlQAN?P

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页
2019^t6g?30e?
QlQAN?P<
S‘W?金
资N§Q?
P

页 Qq56


页
b?资~?T?b￥TJ§7 
g?+W?金资N§~?T?‘ˉQ?7.1 
金额SUOM：N”l?^?QC
^?S? 项v? 金额
S‘W?金‘;资N§v?k?O?
（% ）
1
gCv?b?资 474,597,099.26 93.75
QvN-：股yh 474,597,099.26 93.75
2 W?金b?资 - -
3
V?[?e6v?b?资 295,104.00 0.06
QvN-：P:R8 295,104.00 0.06









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 31,039,334.12 6.13
8
QvN?T?项资N§ 312,409.47 0.06
9
T?计 506,243,946.85 100.00
 
g?+c?行N?R?|{v?股yhb?资~?T?7.2 
b￥TJg?+c?行N?R?|{v?X?Q?股yhb?资~?T?7.2.1 



金额SUOM：N”l?^?QC
Nax? 行N?|{R+ QlQAN?P<（QC） S‘W?金资N§Q?PO?]?O\ 18,229,176.40 3.62
R e?S?0?OS育T?Z1NPN? 23,106.60 0.00
S ~?T? - -
T?计 474,597,099.26 94.32
 
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页
 
b￥TJg?+c?行N?R?|{v?n/股通b?资股yhb?资~?T?7.2.2 
l?：g,W?金g,b￥TJg?+g*c?g?n/股通股yh0?
g?+c?QlQAN?P

页 Qq56


页
32 600438 通Z?股N? 570,700 8,024,042.00 1.59
33 002129 N-sfl股N? 816,900 7,972,944.00 1.58
34 300690 S?N?y?b? 355,600 7,965,440.00 1.58
35 300470 e?g:[?\? 310,700 7,717,788.00 1.53
36 603444 T?k?ry 36,700 7,705,532.00 1.53
37 300750 [?_?e?Na 110,734 7,627,357.92 1.52
38 600585 mw螺l4l? 177,600 7,370,400.00 1.46
39 002007 SNQpu?ri 239,604 7,305,525.96 1.45
40 000401 Q?N?l4l? 409,300 7,207,773.00 1.43
41 300590 y?N:通O? 209,800 7,175,160.00 1.43
42 300529 Pe^?u?ri 113,300 7,064,255.00 1.40
43 600699 WG胜u5[P 311,800 6,660,048.00 1.32
44 601628 N-V?N”[? 233,700 6,618,384.00 1.32
45 603508 ‘?~?R?c§ 100,400 6,534,032.00 1.30
46 600760 N-航l?飞 200,000 5,806,000.00 1.15
47 600801 SNe?l4l? 280,000 5,670,000.00 1.13
48 600845 [?O?软N? 177,156 5,045,402.88 1.00
49 002230 y?Y’讯飞 150,000 4,986,000.00 0.99
50 000975 银l?资n? 331,976 4,378,763.44 0.87
51 600026 N-远mw能 652,443 4,234,355.07 0.84
52 300653 kcmwu?ri 66,738 3,894,829.68 0.77
53 300122 fz飞u?ri 90,000 3,879,000.00 0.77
54 300146 ld臣P?e 177,200 3,437,680.00 0.68
55 600036 b?UF银行 80,000 2,878,400.00 0.57
56 002675 N?诚药N? 253,200 2,764,944.00 0.55
57 600276 ‘Rt^S;药 40,000 2,640,000.00 0.52
58 600989 [?N0能n? 24,356 287,644.36 0.06
59 002371 S?e?SNR? 2,500 173,125.00 0.03
60 300525 SZ‘?软N? 6,591 142,695.15 0.03
61 600968 mwl?S?\U 39,375 139,781.25 0.03
62 603267 鸿远u5[P 1,651 81,130.14 0.02
63 300782 SS胜_fi 743 80,927.56 0.02
64 002955 鸿T?y?b? 1,108 65,194.72 0.01
65 603697 g?S?食T` 3,383 64,006.36 0.01
66 300775 N?角防R? 2,164 63,621.60 0.01
67 603915 V?茂股N? 2,523 58,710.21 0.01
68 300779 ‘?W?sflO? 1,047 54,485.88 0.01
69 300777 N-{?y?b? 1,156 42,540.80 0.01
70 601698 N-V?Sk通 10,103 39,603.76 0.01
 
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页
71 603217 QCR)y?b? 584 39,268.16 0.01
72 603863 g~p?资n? 1,612 37,204.96 0.01
73 603327 y?蓉y?b? 1,323 34,014.33 0.01
74 601236 ~￠XT证R8 9,789 33,869.94 0.01
75 300781 V?赛集V? 727 33,165.74 0.01
76 300594 g?进y?b? 721 31,803.31 0.01
77 300780 _?‘i|?]? 935 27,676.00 0.01
78 603867 e?S?股N? 1,045 26,971.45 0.01
79 002953 e?N0股N? 1,072 26,499.84 0.01
80 300788 N-O?Q?rH 1,556 23,106.60 0.00
 
b￥TJg?Q?股yhb?资~?T?v?重Y’S?R¤7.4 
}/计NpQe金额超Q?g?R?W?金资N§Q?P<2%b?RM20T?v?股yhf?~?7.4.1 
金额SUOM：N”l?^?QC
^?S? 股yhNax? 股yhT?y? g,g?}/计NpQe金额
S‘g?R?W?金资N§Q?P<
k?O?（％）
1 002230 y?Y’讯飞 43,448,033.83 10.58
2 300122 fz飞u?ri 39,569,087.71 9.64
3 603501 韦\?股N? 20,787,658.21 5.06
4 603986 QFf?R?e? 20,333,838.80 4.95
5 002405 V?~?V?e? 18,301,748.59 4.46
6 600588 u(S?网~? 16,953,573.70 4.13
7 601318 N-V?^s[? 16,450,949.22 4.01
8 300498 n)l?股N? 16,448,662.06 4.01
9 300014 N?~?锂能 16,046,426.19 3.91
10 000625 长[?l}车 14,903,006.10 3.63
11 600030 N-O?证R8 14,705,128.84 3.58
12 600801 SNe?l4l? 13,906,001.22 3.39
13 002299 W#Q?S?\U 13,708,178.84 3.34
14 002675 N?诚药N? 13,329,696.00 3.25
15 600031 N??重]? 13,088,297.85 3.19
16 600745 闻l?y?b? 13,041,771.00 3.18
17 002129 N-sfl股N? 12,882,744.23 3.14
18 000975 银l?资n? 12,175,745.96 2.97
19 601933 l8辉超^? 12,161,828.40 2.96
20 603444 T?k?ry 11,851,288.24 2.89
 
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页
21 601233 hPf?股N? 11,366,150.00 2.77
22 002607 N-QleY育 11,129,790.08 2.71
23 002422 y?O&药N? 11,072,399.07 2.70
24 601888 N-V??eˉ 10,996,926.37 2.68
25 300496 N-y?R?达 10,870,637.84 2.65
26 600585 mw螺l4l? 10,648,936.00 2.59
27 603899 fhQIe?Qw 10,314,310.65 2.51
28 300750 [?_?e?Na 10,040,577.68 2.45
29 002044 美^tPe^? 9,835,805.62 2.40
30 002621 美T?Y? 9,768,846.01 2.38
31 601857 N-V?w?l? 9,601,845.44 2.34
32 300770 e?Z?股N? 9,591,225.35 2.34
33 600438 通Z?股N? 9,459,946.00 2.30
34 300487 蓝fSy?b? 9,207,265.00 2.24
35 300760 迈t^S;u? 8,932,205.42 2.18
36 600276 ‘Rt^S;药 8,599,127.97 2.09
37 300009 [?y?u?ri 8,411,906.98 2.05
38 002254 l?T?e?gP 8,285,732.49 2.02
l?：g,项NpQe金额WGc?NpSVb?N?金额（b?N?SUN?XN?bN?ep量）XkR?，N?考虑QvN??f?费u(0?
}/计SVQ?金额超Q?g?R?W?金资N§Q?P<2%b?RM20T?v?股yhf?~?7.4.2 
金额SUOM：N”l?^?QC
^?S? 股yhNax? 股yhT?y? g,g?}/计SVQ?金额
S‘g?R?W?金资N§Q?P<
k?O?（％）
1 002230 y?Y’讯飞 39,689,306.43 9.67
2 300122 fz飞u?ri 37,067,853.02 9.03
3 600588 u(S?网~? 24,404,836.18 5.94
4 600845 [?O?软N? 20,484,290.19 4.99
5 002405 V?~?V?e? 19,597,951.31 4.77
6 600438 通Z?股N? 18,857,759.21 4.59
7 300498 n)l?股N? 17,666,091.86 4.30
8 600030 N-O?证R8 16,501,288.00 4.02
9 000661 长f%高e? 15,858,846.46 3.86
10 000625 长[?l}车 15,252,323.89 3.71
11 002299 W#Q?S?\U 15,009,091.40 3.66
12 300009 [?y?u?ri 14,962,939.01 3.64
13 300760 迈t^S;u? 14,488,434.56 3.53
14 002157 kc邦y?b? 14,339,821.23 3.49
 
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页
15 603986 QFf?R?e? 14,282,425.00 3.48
16 002714 rgS?股N? 13,888,151.82 3.38
17 601012 隆W?股N? 13,739,138.56 3.35
18 002821 Q?莱英 13,497,506.00 3.29
19 300595 k’fn^?视 13,387,578.00 3.26
20 300750 [?_?e?Na 12,419,254.11 3.02
21 600801 SNe?l4l? 12,142,477.55 2.96
22 601933 l8辉超^? 11,835,170.64 2.88
23 002422 y?O&药N? 11,801,591.67 2.87
24 300496 N-y?R?达 11,712,695.48 2.85
25 002912 N-e?赛QK 11,652,793.22 2.84
26 002594 k?N?迪 11,490,853.32 2.80
27 601233 hPf?股N? 11,408,976.00 2.78
28 000975 银l?资n? 10,162,171.30 2.48
29 600837 mw通证R8 10,117,404.00 2.46
30 600519 贵]?茅S? 10,113,062.41 2.46
31 002675 N?诚药N? 9,749,789.19 2.37
32 002648 Skf?w?S? 9,717,213.31 2.37
33 601857 N-V?w?l? 9,537,058.84 2.32
34 002127 SWg?u5UF 9,416,644.81 2.29
35 300014 N?~?锂能 9,372,699.97 2.28
36 300398 飞Q?gPe? 9,253,242.20 2.25
37 002621 美T?Y? 9,084,606.34 2.21
38 603338 mYl_鼎R? 8,899,069.65 2.17
39 002044 美^tPe^? 8,831,417.60 2.15
40 002683 [?Y’r?x4 8,667,972.00 2.11
41 600258 首eˉ酒^? 8,664,761.97 2.11
42 603259 药f?^?_? 8,531,198.75 2.08
43 600809 \q西l~酒 8,275,510.00 2.02
l?：g,项SVQ?金额WGc?NpSVb?N?金额（b?N?SUN?XN?bN?ep量）XkR?，N?考虑QvN??f?费u(0?
NpQe股yhv?b?g,‘;额S?SVQ?股yhv?e6Qe‘;额7.4.3 
SUOM：N”l?^?QC
NpQe股yhb?g,（b?N?）‘;额
1,282,434,561.37
SVQ?股yhe6Qe（b?N?）‘;额
1,333,683,870.79
l?： ?NpQe股yhb?g, ?b? ?SVQ?股yhe6Qe ?WGc?NpSVb?N?金额（b?N?SUN?XN?bN?ep量）XkR?，
N?考虑v?QsN?f?费u(0?
g?+c?P:R8T`y?R?|{v?P:R8b?资~?T?7.5 
 
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页
金额SUOM：N”l?^?QC
^?S? P:R8T`y? QlQAN?P< S‘W?金资N§Q?P

页 Qq56


页
b￥TJg?+g,W?金b?资v?V?P:g?货c?N?T?c_v?f?~?7.11.2 
l?：g,W?金g,b￥TJg?+g*c?g?V?P:g?货0?
g,g?V?P:g?货b?资评N?7.11.3 
l?：g,W?金g,b￥TJg?+g*c?g?V?P:g?货0?
b?资~?T?b￥TJ附l?7.12 
g,W?金b?资v?RMSAT?证R8v?S?行N;OSg,g?S?R0调g?N?S?Y?罚v?‘ˉQ?v?说f?7.12.1 
b￥TJg?Q?W?金b?资v?RMSAT?证R8v?S?行N;OSl?g?被v?{?部门z?hH调g?v?，N_l?g?W(b￥TJ编R6
e?RMN?^tQ?S?R0Ql_?谴责0?Y?罚v?0?
W?金b?资v?RMSAT?股yh超Q?W?金T??规[?v?Y?选股yh^?‘ˉQ?v?说f?7.12.2 
W?金b?资v?RMSAT?股yhN-，l?g?b?资N?超Q?W?金T??规[?Y?选股yh^?NKY?v?0?
g?+QvN?T?项资N§g?b?7.12.3 
SUOM：N”l?^?QC
^?S? T?y?
金额
1
[XQ?O?证金
157,075.14
2
^?e6证R8n?{?k>
-
3
^?e6股R)
-
4
^?e6R)‘o
11,783.88
5
^?e6u3购k>
143,550.45
6
QvN?^?e6k>
-
7
_?dJ费u(
-
8
QvN?
-
9
T?计
312,409.47
 
g?+c?g?v?Y?N?转股g?v?S?转cbP:R8f?~?7.12.4 
l?： g,W?金g,b￥TJg?+g*c?g?Y?N?转股g?v?S?转cbP:R80?
g?+RMSAT?股yhN-[XW(mA通S?限‘ˉQ?v?说f?7.12.5 
l?：g,W?金g,b￥TJg?+RMSAT?股yhN-N?[XW(mA通S?限v?‘ˉQ?0?
 
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页
W?金N?额c?g?N”O?‘o§8 
g?+W?金N?额c?g?N”b7epS?c?g?N”~?g?8.1 
N?额SUOM：N?
c?g?N”b7
ep( b7)
b7WGc?g?v?
W?金N?额
c?g?N”~?g?
g:g?b?资者 N*N”b?资者
c?g?N?额
S‘;N?
额k?O?
c?g?N?额
S‘;N?
额k?O?
30,748 7,013.34 224,253.79 0.10% 215,421,878.06 99.90%
 
g?+W?金{?t?N”v?N?N?”TXc?g?,W?金v?‘ˉQ?8.2 
项v? c?g?N?额‘;ep（N?） S‘W?金‘;N?额k?O?
W?金{?t?N”b@g?N?N?”TX
c?g?,W?金
247,349.79 0.1147%
 
g?+W?金{?t?N”v?N?N?”TXc?g?,_?e>_?W?金N?额‘;量S:间v?‘ˉQ?8.3 
项v? c?g?W?金N?额‘;量v?ep量S:间（N??）
g,QlS?高~§{?t?N”TX0?W?金b?资T?x?zv
部门负责N”c?g?,_?e>_?W?金
0
g,W?金W?金~ˇt?c?g?,_?e>_?W?金 10~50
 
 
SNl?gˇt^N?P

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页
_?e>_?W?金N?额S?R¤§9 
SUOM：N?
W?金T??u?eHe?（ 2008^t7g?16e? ）W?金N?额‘;额
406,303,580.25
g,b￥TJg??R?W?金N?额‘;额 227,530,764.59
g,b￥TJg??间W?金‘;u3购N?额 25,989,996.50
Qˇ:g,b￥TJg??间W?金‘;赎V?N?额 37,874,629.24
g,b￥TJg??间W?金b?R?S?R¤N?额（N?额Qˇ\?N?"-"XkR?） -
g,b￥TJg??+W?金N?额‘;额 215,646,131.85
 
 
SNl?gˇt^N?P

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页
重Y’N譎?c?y:§10 
W?金N?额c?g?N”Y’O?Q?议10.1 
b￥TJg?Q?g*S?_?W?金N?额c?g?N”Y’O?0?





 
W?金{?t?N”0?W?金bX{?N”v?N?门W?金bX{?部门v?重Y’N”N?SR¤10.2 
2019^t3g?11e?，QlS?股N?byQ?Anthony Gerard FassoQHu?N:QlS?董N?0?N?述N”N?SR¤]?c?
v?Qs规[?Y?hH0?b￥TJ0?
2019^t4g?4e?，QlS?股N?byQ?s?l8{‘YsXoN:QlS?v?N?0?
2019^t4g?15e?，~ˇQlS?董N?O?byQ?R?N?e?QHu?N:QlS?Ro‘;~ˇt?0?N?述N”N?SR¤]?c?v?Qs规
[?Y?hH0?QlTJ0?
2019^t5g?，陈V?n?QHu?V?]?O\调R¤，辞S?N-V?银行股N?g?限QlS?董N?长职R?0?N?述N”N?S
R¤]?c?v?Qs规[?Y?hH0?QlTJ0?






m?S?W?金{?t?N”0?W?金财N§0?W?金bX{?N?R?v?诉讼10.3 
b￥TJg?Q?e?m?S?W?金{?t?N”0?W?金财N§0?W?金bX{?N?R?v?诉讼0?






W?金b?资{Vuev?e9S?10.4 
b￥TJg?Q?W?金b?资{Vueg*e9S?0?






N:W?金进行[?计v?O?计^?N?R?b@‘ˉQ?10.5 
b￥TJg?Q?W?金g*e9聘N:Qv[?计v?O?计^?N?R?b@0?






{?t?N”0?bX{?N”S?Qv高~§{?t?N”TXS?z=g?b?Y?罚{I‘ˉQ?10.6 
b￥TJg?Q?W?金{?t?N”0?W?金bX{?N”S?Qv高~§{?t?N”TXg*S?v?{?部门z=g?b?Y?罚0?






W?金y?u(证R8QlS?N?f?SUQCv?g?Qs‘ˉQ?


10.7 
W?金y?u(证R8QlS?N?f?SUQC进行股yhb?资S?Oc金e/N?‘ˉQ?10.7.1 
金额SUOM：N”l?^?QC
R8UFT?y?
N?f?SUQC
ep量
股yhN?f? ^?e/N?该R8UFv?Oc金
Y?l?
b?N?金额
S‘_Sg?股yh
b?N?‘;额v?k?
O?
Oc金
S‘_Sg?Oc金
‘;量v?k?O?
 
SNl?gˇt^N?P

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页
N-b?证R8 1 731,891,497.54 27.99% 666,975.45 27.74% -
QtN?证R8 1 672,293,284.87 25.71% 626,111.54 26.04% -
N?联证R8 2 582,314,117.31 22.27% 530,666.34 22.07% -
SNl?证R8 3 518,836,137.73 19.84% 479,017.05 19.92% -
n$mw证R8 3 90,258,382.83 3.45% 84,057.33 3.50% -
银l?证R8 1 17,775,546.24 0.68% 16,553.47 0.69% -
N?e?证R8 1 1,269,162.86 0.05% 1,156.62 0.05% -
^?S?证R8 2 - - - - -
N-O?^?b? 1 - - - - -
N?mw证R8 1 - - - - -
r1^?证R8 1 - - - - -
N-银V?际 1 - - - - -
[?n?证R8 2 - - - - -
e??Na证R8 2 - - - - -
联讯证R8 2 - - - - -
N-航证R8 1 - - - - -
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