SNl?gˇt^量S?f?选m?T?W?证R8b?资W?金
2019^tSJ^t^?b￥TJ
2019^t6g?30e?
W?金{?t?N”：SNl?gˇt^W?金{?t?g?限QlS?
W?金bX{?N”：N-V?^?设银行股N?g?限QlS?
送Q?e?g?：2019^t8g?29e?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
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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?，
^v[?QvQ?[?v?w?[?‘’0?Q?xn‘’T?[?et‘’b罢ˉN*R+S?连^&v?l?_?责N?0?g,SJ^t^?b￥TJ]?~ˇN?R?NKN?
N?r?z?董N?{~[WT?a?，^vu1董N?长{~S?0?
W?金bX{?N”N-V?^?设银行股N?g?限QlS?h9cng,W?金T??规[?，N?2019^t8g?28e?Y?h8N?g,b￥
TJN-v?财R?c?h?0?Q?P<表s?0?R)m?R?配‘ˉQ?0?财R?O?计b￥TJ0?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?
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W?金v?b?R?说f?NfS?Qvf?e?0?
g,b￥TJN-财R?资e?g*~ˇ[?计0?
g,b￥TJg?自2019^t3g?25e?（W?金T??u?eHe?）起至2019^t6g?30e?kb0?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
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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”........................................................................................................... 7
2.4
O?‘ob?露e?_?............................................................................................................................... 8
2.5
QvN?v?Qs资e?............................................................................................................................... 8
§ 3
N;要财R?c?h?T?W?金Q?P<表s?............................................................................................................ 9
3.1
N;要O?计epcnT?财R?c?h?........................................................................................................... 9
3.2
W?金Q?P<表s?............................................................................................................................... 9
3.3
QvN?c?h?.................................................................................................................................... 11
§ 4
{?t?N”b￥TJ......................................................................................................................................... 12
4.1
W?金{?t?N”S?W?金~ˇt?‘ˉQ?..................................................................................................... 12
4.2
{?t?N”[?b￥TJg?Q?g,W?金运O\遵规[?O?‘ˉQ?v?说f?............................................................. 14
4.3
{?t?N”[?b￥TJg?Q蕑l^sN?f?‘ˉQ?v?N?项说f?......................................................................... 14
4.4
{?t?N”[?b￥TJg?Q?W?金v?b?资{VueT?N?~?表s?v?说f?......................................................... 15
4.5
{?t?N”[?[?观~ˇmN0?证R8^?W:S?行N?走R?v?{?要\Ug?......................................................... 16
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?......................................................................... 16
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?................................. 16
§ 5
bX{?N”b￥TJ......................................................................................................................................... 17
5.1
b￥TJg?Q?g,W?金bX{?N”遵规[?O?‘ˉQ?X?f?............................................................................. 17
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?.......... 17
5.3
bX{?N”[?g,SJ^t^?b￥TJN-财R?O?‘o{IQ?[?v?w?[?0?Q?xnT?[?etS?表a?见......................... 17
§ 6
SJ^t^?财R?O?计b￥TJ（g*~ˇ[?计）.................................................................................................. 18
6.1
资N§负P:表................................................................................................................................. 18
6.2
R)m?表........................................................................................................................................ 19
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
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6.3
b@g?者gCv?（W?金Q?P<）S?R¤表............................................................................................. 20
6.4
b￥表附l?.................................................................................................................................... 21
§ 7
b?资~?T?b￥TJ..................................................................................................................................... 47
7.1
g?+W?金资N§~?T?‘ˉQ?............................................................................................................. 47
7.2
g?+c?行N?R?|{v?股yhb?资~?T?............................................................................................. 47
7.3
g?+c?QlQAN?P
b￥TJg?Q?股yhb?资~?T?v?重Y’S?R¤......................................................................................... 54
7.5
g?+c?P:R8T`y?R?|{v?P:R8b?资~?T?..................................................................................... 56
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?................................................................... 56
7.11
b￥TJg?+g,W?金b?资v?V?P:g?货N?f?‘ˉQ?说f?................................................................... 56
7.12
b?资~?T?b￥TJ附l?................................................................................................................... 57
§ 8
W?金N?额c?g?N”O?‘o.......................................................................................................................... 58
8.1
g?+W?金N?额c?g?N”b7epS?c?g?N”~?g?................................................................................. 58
8.2
g?+N?^?W?金RMSAT?c?g?N”..................................................................................................... 58
8.3
g?+W?金{?t?N”v?N?N?”TXc?g?,W?金v?‘ˉQ?..................................................................... 58
8.4
g?+W?金{?t?N”v?N?N?”TXc?g?,_?e>_?W?金N?额‘;量S:间v?‘ˉQ?................................. 59
§9 _?e>_?W?金N?额S?R¤........................................................................................................................ 60
§ 10
重Y’N譎?c?y:................................................................................................................................... 61
10.1
W?金N?额c?g?N”Y’O?Q?议....................................................................................................... 61
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¤....................................... 61
10.3
m?S?W?金{?t?N”0?W?金财N§0?W?金bX{?N?R?v?诉讼........................................................... 61
10 .4
W?金b?资{Vuev?e9S?............................................................................................................... 61
10.5
N:W?金进行[?计v?O?计^?N?R?b@‘ˉQ?................................................................................... 61
10.6
{?t?N”0?bX{?N”S?Qv高~§{?t?N”TXS?z=g?b?Y?罚{I‘ˉQ?................................................... 61
10.7
W?金y?u(证R8QlS?N?f?SUQCv?g?Qs‘ˉQ?............................................................................... 61
10.8
QvN?重Y’N譎?........................................................................................................................... 64
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
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§ 11
_qT?b?资者Q?{Vv?QvN?重要O?‘o.................................................................................................... 65
11. 1
b￥TJg?Q?SUN?b?资者c?g?W?金N?额k?O?达R0b?超过20% v?‘ˉQ?........................................ 65
11.2
_qT?b?资者Q?{Vv?QvN?重要O?‘o........................................................................................... 65
§ 12
Y?g?e?N?v?_U................................................................................................................................... 66
12.1
Y?g?e?N?v?_U........................................................................................................................... 66
12.2
[Xe>W0p?.................................................................................................................................. 66
12.3
g?阅e?_?.................................................................................................................................. 66
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
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W?金{?N?§2
W?金W?g,‘ˉQ? 2.1
W?金T?y?
SNl?gˇt^量S?f?选m?T?W?证R8b?资W?金
W?金{?y?
SNl?gˇt^量S?f?选
W?金N;Nax?
006942
W?金运O\e?_?
YQ~?W?_?e>_?
W?金T??u?eHe?
2019^t3g?25e?
W?金{?t?N”
SNl?gˇt^W?金{?t?g?限QlS?
W?金bX{?N”
N-V?^?设银行股N?g?限QlS?
b￥TJg?+W?金N?额‘;额
743,843,462.89N?
W?金T??[X~?g?
N?[?g?
N?\^R?~§W?金v?W?金{?y?：
SNl?gˇt^量S?f?选A SNl?gˇt^量S?f?选C
N?\^R?~§W?金v?N?f?Nax?：
006942 006943
b￥TJg?+N?\^R?~§W?金v?N?额‘;额
742,095,732.15N? 1,747,730.74N?
W?金N§T`说f?2.2
b?资v?h?
R)u([?量b?资j!W?，W(R?lBg?eHc§R6b?资风险v?RMc—N?，R?N?[?s?达R0b?超
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b?资{Vue
10?股yhb?资{Vue
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置0?^?W:转cb0?O?u(R)]?T?v?[?N?P
页 Qq65
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c—N?，xn[?融资k?O?0? _?v?{?g:g?QA许g,W?金S′N?融R8N?f?S?转融通证R8Q?
P?N?R?T?，W(l?_?l?规QA许v?范V?Q?，W(N?e9S?W?金v?风险e6v?ry_?S?[?W?
金N?额c?g?N”e?N?R)_qT?v?RMc—N?，g,W?金S?′N?v?QsN?R?，N?c—高~?T?v?
b?资eHs?，N?而f?Y}W0[?s?b?资v?h?0?QwOS′N?b?资v?k?O?\?c?qg\Je?v?Qs
l?_?l?规v?规[?bg行0?
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SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
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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
W?金~§R+ SNl?gˇt^量S?f?选A SNl?gˇt^量S?f?选C
3.1.1 g?间epcnT?c?h? b￥TJg?(2019^t3g?25e? - 2019
^t6g?30e?)
b￥TJg?(2019^t3g?25e? -
2019^t6g?30e?)
g,g?]?[?s?e6v? 3,425,293.31 4,939.40
g,g?R)m? 11,702,169.23 22,918.63
R?gC^sWGW?金N?额g,g?R)m? 0.0134 0.0104
g,g?R?gC^sWGQ?P
SNl?gˇt^量S?f?选A
阶k?
N?额Q?P
SNl?gˇt^量S?f?选C
阶k? N?额Q?P
页 Qq65
页
长s?$‘ X?长s?h?
Q?]?$a
W?Q?e6v?
s?$b
e6v?s?h?Q?]?
$c
过S?NN*g? 2.99% 0.81% 4.32% 1.10% -1.33% -0.29%
过S?N?*g? 1.42% 0.58% -2.21% 1.43% 3.63% -0.85%
自W?金T??
u?eH起至N?
1.41% 0.55% -1.41% 1.47% 2.82% -0.92%
自W?金T??u?eHN?geW?金N?额}/计Q?P
页 Qq65
页
l?：10?V?y:e?g?N:2019^t3g?25e?至2019^t6g?30e?0?
20?c?W?金T??规[?，g,W?金自W?金T??u?eHe?起6N*g?Q?N:^?N?g?，b*至b￥TJg?+g,W?金v?T?项
b?资k?O?]?达R0W?金T??b?资范V?N-规[?v?k?O?0?
30?自W?金T??u?eH起至g,b￥TJg?+N?n?N?^t0?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 11
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页
{?t?N”b￥TJ§4
W?金{?t?N”S?W?金~ˇt?‘ˉQ?4.1
W?金{?t?N”S?Qv{?t?W?金v?~ˇ验4.1.1
g,W?金{?t?N”N:SNl?gˇt^W?金{?t?g?限QlS?0?SNl?gˇt^W?金{?t?g?限QlS?f/~ˇN-V?证v?O?by
Q?，N?2004^t11g?18e?b?z?v?T?资W?金{?t?QlS?，l?Q?资g,N:2N?QCN”l?^?0?v?RMv?股N?g?b?N:
SNl?证R8股N?g?限QlS?0?gˇt^b?资g?限责N?QlS?（S?AIGGIC）T?苏]?e?S:高e?b?g/N§N?股N?g?限
QlS?，Q?资k?O?R?+N:49%0?49%T?2%0?v?RMQlS?e?N?{?t?SNl?gˇt^v?N?-V?m?T?W?证R8b?资W?
金0?SNl?gˇt^金[WXTz3g,X?R)P:R8W?证R8b?资W?金0?N?证~￠R)N?f?W?_?e>_?c?ep证R8b?资W?金0?
SNl?gˇt^y?g?b?长m?T?W?证R8b?资W?金0?SNl?gˇt^N?P_?c?ep证R8b?资W?
金0?SNl?gˇt^N?证N-\?v?N?f?W?_?e>_?c?ep证R8b?资W?金联c￥W?金0?SNl?gˇt^O?u(X?R)P:R8W?证
R8b?资W?金0?SNl?gˇt^l“m?300N?f?W?_?e>_?c?ep证R8b?资W?金0?SNl?gˇt^l“m?300N?f?W?_?e>_?
c?ep证R8b?资W?金联c￥W?金0?SNl?gˇt^z3Pe6v?P:R8W?证R8b?资W?金0?SNl?gˇt^量S?X?_:m?T?W?
证R8b?资W?金0?SNl?gˇt^N0v?~flP:P:R8W?证R8b?资W?金0?SNl?gˇt^[c[c~￠P:R8W?证R8b?资W?金0?
SNl?gˇt^R?e?SG~§m?T?W?证R8b?资W?金0?SNl?gˇt^N0lGP:R8W?证R8b?资W?金0?SNl?gˇt^量S?O?选
pum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^R?e?R¤R?pum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^量S?
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l?gˇt^量S?fzagpum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^Pe^?u?m;pum;配置m?T?W?证R8b?资W?
金0?SNl?gˇt^量S?~?[?e6v?{Vue[?g?_?e>m?T?W?证R8b?资W?金0?SNl?gˇt^N?f?W?货^??W:W?金0?
SNl?gˇt^o?R–R¤R?pum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^|?选V?b￥pum;配置m?T?W?证R8b?资W?
金0?SNl?gˇt^量S?[?Q?z3Pe6v?[?g?_?e>m?T?W?S?起_?证R8b?资W?金0?SNl?gˇt^Y)m?[?货^??W:
W?金0?SNl?gˇt^Y?{Vuepum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^e?~ˇmNl“n/m?pum;配置m?T?W?证
R8b?资W?金0?SNl?gˇt^鼎R)pum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^N?R)pum;配置m?T?W?证R8b?
资W?金0?SNl?gˇt^N?P<|?选30pum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^量S?R?O?pum;配置m?T?W?
证R8b?资W?金0?SNl?gˇt^u?riS;药pum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^[?R)pum;配置m?T?W?
证R8b?资W?金0?SNl?gˇt^量S?阿\?l?pum;配置m?T?W?证R8b?资W?金0?SNl?gˇt^n/股通量S?pum;配
置m?T?W?证R8b?资W?金0?SNl?gˇt^b?ue?QtN§N?mT?W?证R8b?资W?金0?SNl?gˇt^e?金融W0N§pum;
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 12
页 Qq65
页
配置m?T?W?证R8b?资W?金0?SNl?gˇt^MSCIN-V?A股V?际通N?f?W?_?e>_?c?ep证R8b?资W?金0?SNl?
gˇt^V?O?etT?|?选m?T?W?证R8b?资W?金0?SNl?gˇt^S;u?Pe^?m?T?W?证R8b?资W?金0?SNl?gˇt^s?Na
g?R?N?m?T?W?证R8b?资W?金0?SNl?gˇt^MSCIN-V?A股V?际通c?epW?金联c￥W?金0?SNl?gˇt^N-证~￠
R)ONl?R¤N?f?W?_?e>_?c?ep证R8b?资W?金0?SNl?gˇt^h8_?O?R?m?T?W?证R8b?资W?金0?SNl?gˇt^量
S?f?选m?T?W?证R8b?资W?金0?SNl?gˇt^W?g,面fz选m?T?W?证R8b?资W?金0?b*至2019^t6g?30e?，
QlS?W?金{?t?规j!N:1030.82N?QC0?
W?金~ˇt?（b?W?金~ˇt?\?~?）S?W?金~ˇt?R't?{?N?4.1.2
Y?T? 职R? N?g,W?金v?W?金~ˇt?（R't?）g?限
证R8N?
N?^t限
说f?
N?职e?g? y?N?e?g?
v?豪
量S?b?
资部Ro
‘;v?0?
g,W?金
v?W?金
~ˇt?
2019^t3g?25e? - 11^t
英V?RQheY’[fep[f|?xU
Xo0?2007^t10g?至2010
^t3g?N?Wilshire
Associates量S?x?zv
TX，2010^t11g?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
部x?zvTX0?W?金~ˇt?R'
t?0?2015^t1g?起N?量S?
b?资部Ro‘;v?，2015^t10
g?起N?SNl?gˇt^量S?O?选
pum;配置m?T?W?证R8b?资
W?金T?SNl?gˇt^量S?驱R¤
pum;配置m?T?W?证R8b?资
W?金v?W?金~ˇt?0?2016
^t12g?至2018^t11g?N?SN
l?gˇt^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)pum;配置m?T?W?证R8
b?资W?金v?W?金~ˇ
t?0?2017^t3g?至2018
^t11g?N?SNl?gˇt^‘?R)pu
m;配置m?T?W?证R8b?资W?
金v?W?金~ˇt?0?2017^t3
g?至2018^t3g?N?SNl?gˇ
t^V?R)pum;配置m?T?W?证
R8b?资W?金v?W?金~ˇ
t?0?2017^t4g?至2018^t4
g?N?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0?SNl?
gˇt^裕R)pum;配置m?T?W?
证R8b?资W?金v?W?金~ˇ
t?0?2017^t4g?至2019^t3
g?N?SNl?gˇt^w?R)pum;配
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 13
页 Qq65
页
置m?T?W?证R8b?资W?金v?
W?金~ˇt?0?2017^t6g?起
N?SNl?gˇt^|?选V?b￥pum;
配置m?T?W?证R8b?资W?金
v?W?金~ˇt?0?2017^t9g?
起N?SNl?gˇt^量S?阿\?l?
pum;配置m?T?W?证R8b?资
W?金v?W?金~ˇt?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~ˇ
t?0?2019^t3g?起N?SNl?
gˇt^量S?f?选m?T?W?证R8
b?资W?金v?W?金~ˇt?0?
l?：证R8N?N?vT+NI遵N?行N?SO?0?证R8N??N?”TX资h<{?t?R?l?0?v葶?Qs规[?0?N?职e?g?c?W?
金{?t?QlS?O\Q?Q?[?NKe?0?
{?t?N”[?b￥TJg?Q?g,W?金运O\遵规[?O?‘ˉQ?v?说f?4.2
g,b￥TJg?Q?，g,W?金{?t?N”N%h<遵[?0?N-SN”l?QqT?V?证R8l?0???N-SN”l?QqT?V?证R8b?
资W?金l?0???Ql_?R?集证R8b?资W?金运O\{?t?R?l?0?S?QvN?v?Qsl?_?0?l?规v?规[?N?S?g,W?金
v?0?W?金T??0?v?~?[?，W(N%h
页 Qq65
页
_?^8N?f?行N:v?N?项说f?4.3.2
g,W?金{?t?N”h9cn0?_?^8N?f?v?c§N?{?t?R?l?0?[?b?资N?f?过z?N-S?能S?u?v?_?^8N?f?行N:
进行v?wcT?{?t?0?b?资部负责[?_?^8N?f?行N:进行N?RM识R+T?h?g?，N?f?部负责[?_?^8N?f?行N:
v?N譎-v?wcT?c§R6，风险{?t?部S?_?^8N?f?评O0\?~?负责_?^8N?f?行N:v?N?T?[?g?T?评O0?g,b￥
TJg?Q?，该R6^?bg行‘ˉQ?良Y}，e?论W(N?~§^?W:还f/W(Y’[?N?f?b?者N?~§^?W:u3购{IN?f?N-，WG
l?g?S?s?_qT?证R8N?h
页 Qq65
页
{?t?N”[?[?观~ˇmN0?证R8^?W:S?行N?走R?v?{?要\Ug?4.5
_SRMV?Q?v?~ˇmNv?N?行S?R?O?q6较Y’，Y?部需lBN_g?b@V?落0?\={?Y?kd，b?N?认N:随w@e?g?
v?O?c? ?[?R? ?v?e?{V能逐kec¤进N?S?，~ˇmN~?g葧??_?R0O?S?，b?资者T?m?费者v?O?_?能\?O?
_?R0逐ke9U?0?kdY?，v?RM金融g:g?mAR¤‘’r?Q?‘;OS^sz3，~ˇmN0?金融\B面f?e?l?g?Y’v?|?~?风
险0?
\Ug?2019^tN?SJ^t，b?N?认N:\={?贸f?b?N?\?~?_qT?^?W:，OF[?^?W:v?Q?Q?N?KRMk?]?~ˇ
降ON0?N?^?W:p?OMge说，v?RMN?证~?c?^?v¨s?W(近10^tO0P
页 Qq65
页
bX{?N”b￥TJ§5
b￥TJg?Q?g,W?金bX{?N”遵规[?O?‘ˉQ?X?f?5.1
g,b￥TJg?，N-V?^?设银行股N?g?限QlS?W(g,W?金v?bX{?过z?N-，N%h<遵[?N?0?证R8b?资W?金
l?0??W?金T??0?bX{?SO议T?QvN?g?Qs规[?，N?[XW(c_[?W?金N?额c?g?N”R)v?v?行N:，[?Qh\=职
\=责W0\e行N?W?金bX{?N”^?\=v?NIR?0?
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5.2
f?
g,b￥TJg?，g,bX{?N”c?qgV?[?g?Qs规[?0?W?金T??0?bX{?SO议T?QvN?g?Qs规[?，[?g,W?金v?
W?金资N§Q?P<计{?0?W?金费u(_?e/{Ie?面进行N?认w?v?Y?h8，[?g,W?金v?b?资运O\e?面进行N?v?
wc，g*S?s?W?金{?t?N”g?c_[?W?金N?额c?g?N”R)v?v?行N:0?
b￥TJg?Q?，g,W?金g*[?e‰R)m?R?配0?
bX{?N”[?g,SJ^t^?b￥TJN-财R?O?‘o{IQ?[?v?w?[?0?Q?xnT?[?etS?表a?见5.3
g,bX{?N”Y?h8[?g?N?g,b￥TJN-v?财R?c?h?0?Q?P<表s?0?R)m?R?配‘ˉQ?0?财R?O?计b￥TJ0?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?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 17
页 Qq65
页
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^量S?f?选m?T?W?证R8b?资W?金
b￥TJb*kbe?： 2019^t6g?30e?
SUOM：N”l?^?QC
资 N§ 附l?S?
g,g?+
2019^t6g?30e?
资 N§：
银行[Xk>
6.4.7.1
207,649,577.68
~?{?Y?N?金
23,954,394.57
[XQ?O?证金
137,416.39
N?f?‘’金融资N§
6.4.7.2
561,463,967.19
QvN-：股yhb?资
561,463,967.19
W?金b?资 -
P:R8b?资 -
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
105,618.69
^?e6股R)
-
^?e6u3购k>
3,986.03
递^?b@_?z?资N§
-
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 18
页 Qq65
页
QvN?资N§
6.4.7.6
-
资N§‘;计
793,314,960.55
负P:T?b@g?者gCv? 附l?S?
g,g?+
2019^t6g?30e?
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>
29,442,212.00
^?N?赎V?k>
6,566,772.90
^?N?{?t?N”b￥酬
969,399.22
^?N?bX{?费
161,566.54
^?N?销U.g?R?费
396.35
^?N??f?费u(
6.4.7.7
525,579.33
^?N?z?费
-
^?N?R)‘o
-
^?N?R)m?
-
递^?b@_?z?负P:
-
QvN?负P:
6.4.7.8
68,393.12
负P:T?计
37,734,319.46
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 19
页 Qq65
页
b@g?者gCv?：
[?e6W?金
6.4.7.9
743,843,462.89
g*R?配R)m?
6.4.7.10
11,737,178.20
b@g?者gCv?T?计
755,580,641.09
负P:T?b@g?者gCv?‘;计
793,314,960.55
l?：b￥TJb*kbe?2019^t6g?30e?，SNl?gˇt^量S?f?选AW?金N?额Q?P<1.0158QC，W?金N?额‘;
额742,095,732.15N?；SNl?gˇt^量S?f?选CW?金N?额Q?P<1.0141QC，W?金N?额‘;额1,747,730.74
N?0?SNl?gˇt^量S?f?选N?额‘;额T?计N:743,843,462.89N?0?
R)m?表6.2
O?计N;OS：SNl?gˇt^量S?f?选m?T?W?证R8b?资W?金
g,b￥TJg?：2019^t3g?25e?(W?金T??u?eHe?)至2019^t6g?30e?
SUOM：N”l?^?QC
项 v?
附l?S? g,g?
2019^t3g?25e?(W?金T??u?eH
e?)至2019^t6g?30e?
N?0?e6Qe
16,389,169.16
1. R)‘oe6Qe
1,884,156.54
QvN-：[Xk>R)‘oe6Qe
6.4.7.11
1,277,905.09
P:R8R)‘oe6Qe -
资N§e/c?证R8R)‘oe6Qe -
NpQe返U.金融资N§e6Qe 606,251.45
QvN?R)‘oe6Qe -
2. b?资e6v?（c_Y1N? ?- ” XkR?）
5,409,443.68
QvN-：股yhb?资e6v?
6.4.7.12
-809,878.84
W?金b?资e6v? -
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 20
页 Qq65
页
P:R8b?资e6v?
6.4. 7.13
-
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?
6.4.7.15
-
股R)e6v?
6.4.7.16
6,219,322.52
3. QlQAN?P
-
7 ．QvN?费u(
6.4.7.20
57,853.86
N?0?R)m?‘;额 （N?c_‘;额N? ?- ?S?Xk
R?）
11,725,087.86
Qˇ：b@_?z?费u(
-
V?0?Q?R)m?（Q?N?c_N? ?- ?S?XkR?） 11,725,087.86
b@g?者gCv?（W?金Q?P<）S?R¤表6.3
O?计N;OS：SNl?gˇt^量S?f?选m?T?W?证R8b?资W?金
g,b￥TJg?：2019^t3g?25e?(W?金T??u?eHe?)至2019^t6g?30e?
SUOM：N”l?^?QC
项v?
g,g?
2019^t3g?25e?(W?金T??u?eHe?)至2019^t6g?30e?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 21
页 Qq65
页
[?e6W?金 g*R?配R)m? b@g?者gCv?T?计
N?0?g?R?b@g?者gCv?
（W?金Q?P<）
970,069,050.67 - 970,069,050.67
N?0?g,g?~ˇ营m;R¤N§
u?v?W?金Q?P
984,975.28 -7,775.73 977,199.55
2.W?金赎V?k> -227,210,563.06 19,866.07 -227,190,696.99
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^量S?f?选m?T?W?证R8b?资W?金(N?{?y? ?g,W?金 ?)~ˇN-V?证R8v?wc{?t?Y?TXO?(
N?{?y? ?N-V?证v?O? ?)证v?许S?[2018]{,1325S?0?QsN?Q?N?SNl?gˇt^量S?f?选m?T?W?证R8b?
资W?金R?集v?byY?0?h8Q?，u1SNl?gˇt^W?金{?t?g?限QlS?O?qg0?N-SN”l?QqT?V?证R8b?资W?金
l?0?T?0?SNl?gˇt^量S?f?选m?T?W?证R8b?资W?金W?金T??0?负责Ql_?R?集0?g,W?金N:YQ~?W?_?e>
_?，[X~?g?限N?[?，首k!设z?R?集N?S?b?认购资金R)‘oQqR?集N”l?^?969,420,400.50QC，N?~ˇfn
SNl8道N-Y)O?计^?N?R?b@g?限QlS?fnSNl8道N-Y)验[W(2019){,0155S?验资b￥TJN衎?验证0?~ˇT?N-
V?证v?O?Y?hH，0?SNl?gˇt^量S?f?选m?T?W?证R8b?资W?金W?金T??0?N?2019^t3g?25e?kc_?u?
eH，W?金T??u?eHe?v?W?金N?额‘;额N:970,069,050.67N?W?金N?额，QvN-认购资金R)‘ob?
T?648,650.17N?W?金N?额0?g,W?金v?W?金{?t?N”N:SNl?gˇt^W?金{?t?g?限QlS?，W?金bX{?N”N:N-
V?^?设银行股N?g?限QlS?(N?{?y? ?^?设银行 ?)0?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 22
页 Qq65
页
h9cn0?N-SN”l?QqT?V?证R8b?资W?金l?0?T?0?SNl?gˇt^量S?f?选m?T?W?证R8b?资W?金W?金T?
T?0?v?g?Qs规[?，g,W?金v?b?资范V?N:Qwg?良Y}mAR¤‘’v?金融]?Qw，S?b?V?Q?O?l?S?行v?股yh（
S?T+N-\?g?0?R?N?g?S?QvN?~ˇN-V?证v?O?h8Q?N?^?v?股yh）0?P:R8（V?P:0?金融P:0?O?N?P:0?Ql
S?P:0?k!~§P:0?S?转cbP:R8（T+R?y?N?f?S?转P:）0?Y.行yhcn0?w?g?融资R80?超w?g?融资R80?N-
g?yhcn{I）0?资N§e/c?证R80?P:R8V?购0?银行[Xk>0?货^??W:]?Qw0?股c?g?货0?gC证N?S?l?_?l?
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2019^t6g?30e?
^?N?R8UFN?f?SUQCO?证金 -
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W?金T??u?eHe? 967,664,458.17 967,664,458.17
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970,212.49 970,212.49
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W?金T??u?eHe? 2,404,592.50 2,404,592.50
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{, 32
页 Qq65
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g,g?R)m?
3,425,293.31 8,276,875.92 11,702,169.23
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{, 33
页 Qq65
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{, 34
页 Qq65
页
股R)e6v?6.4.7.16
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{, 37
页 Qq65
页
Qs联e?b￥酬6.4.10.2
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{, 39
页 Qq65
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{, 41
页 Qq65
页
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{, 42
页 Qq65
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Y?N?金0?[XQ?O?证金0?P:R8b?资S?NpQe返U.金融资N§{I0?
R)s?风险e^Sa6.4.13.4.1.1
SUOM：N”l?^?QC
g,g?+
2019^t6g?30e?
1 N*g?N?Q?1-3 N*g?3 N*g?-1 ^t
1-5 ^t
5 ^tN? N?计‘o T?计
资N§
银行[Xk>
207,649,577.68 - - - - - 207,649,577.68
~?{?Y?N?金
23,954,394.57 - - - - - 23,954,394.57
N?f?‘’金融资N§
- - - - -561,463,967.19 561,463,967.19
^?e6R)‘o
- - - - - 105,618.69 105,618.69
^?e6u3购k>
- - - - - 3,986.03 3,986.03
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 44
页 Qq65
页
[XQ?O?证金
137,416.39 - - - - - 137,416.39
资N§‘;计
231,741,388.64 - - - -561,573,571.91 793,314,960.55
负P:
^?N?证R8n?{?k>
- - - - - 29,442,212.00 29,442,212.00
^?N?赎V?k>
- - - - - 6,566,772.90 6,566,772.90
^?N?{?t?N”b￥酬
- - - - - 969,399.22 969,399.22
^?N?bX{?费
- - - - - 161,566.54 161,566.54
^?N?销U.g?R?费
- - - - - 396.35 396.35
^?N??f?费u(
- - - - - 525,579.33 525,579.33
QvN?负P:
- - - - - 68,393.12 68,393.12
负P:‘;计
- - - - - 37,734,319.46 37,734,319.46
R)s?eOa?^?缺Sa
231,741,388.64 - - - -523,839,252.45 755,580,641.09
l?：g,W?金b?z?N?2019^t3g?25e?，e?N?^t^?g+epcn0?
R)s?风险v?eOa?‘’R?g?6.4.13.4.1.2
l?：N?2019^t6g?30e?，g,W?金g*c?g?N?f?‘’P:R8b?资，V?kd^?W:R)s?v?S?R¤[?N?g,W?金资N§Q?
P
页 Qq65
页
Y?N?金0?[XQ?O?证金0?^?e6u3购k>{I）T?R0g?e?W(N?^tN?Q?v?e?^?P:R8v?b?资k?O?N?ON?W?金资
N§Q?P
页 Qq65
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 561,463,967.19 70.77
QvN-：股yh 561,463,967.19 70.77
2
W?金b?资 - -
3
V?[?e6v?b?资 - -
QvN-：P:R8 - -
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 231,603,972.25 29.19
8
QvN?T?项资N§ 247,021.11 0.03
9
T?计 793,314,960.55 100.00
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\ - -
R e?S?0?OS育T?Z1NPN? 11,422,335.60 1.51
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 47
页 Qq65
页
S ~?T? - -
T?计 561,463,967.19 74.31
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b?资股yh0?
g?+c?QlQAN?P
页 Qq65
页
28 603368 g?药股N? 195,300 6,421,464.00 0.85
29 601111 N-V??航 647,600 6,197,532.00 0.82
30 000951 N-V?重l} 385,200 6,182,460.00 0.82
31 600170 N?mw^?]? 1,623,700 6,105,112.00 0.81
32 000783 长l_证R8 768,600 6,002,766.00 0.79
33 000877 Y)\q股N? 504,600 5,863,452.00 0.78
34 000596 S?N?贡酒 49,200 5,830,692.00 0.77
35 600585 mw螺l4l? 137,300 5,697,950.00 0.75
36 600312 ^s高u5l? 727,900 5,597,551.00 0.74
37 000157 N-联重y? 840,200 5,049,602.00 0.67
38 600606 ~?W0c§股 697,400 4,763,242.00 0.63
39 002092 N-l?S?[f 558,600 4,446,456.00 0.59
40 601828 美Q?龙 349,000 4,240,350.00 0.56
41 600016 l?u?银行 661,500 4,200,525.00 0.56
42 300741 SN[?股N? 131,100 4,155,870.00 0.55
43 603508 ‘?~?R?c§ 63,000 4,100,040.00 0.54
44 300003 NPfnS;u? 176,100 4,053,822.00 0.54
45 600383 金W0集V? 329,300 3,928,549.00 0.52
46 601169 S?N?银行 658,900 3,894,099.00 0.52
47 600837 mw通证R8 266,600 3,783,054.00 0.50
48 002189 N-QI[f 166,300 3,781,662.00 0.50
49 300016 S?陆药N? 432,100 3,750,628.00 0.50
50 000417 T?肥v~货 718,400 3,728,496.00 0.49
51 603288 mwY)TsN? 34,353 3,607,065.00 0.48
52 000166 u3N?[?n? 711,800 3,566,118.00 0.47
53 600233 W?通速递 282,500 3,483,225.00 0.46
54 002048 [?l?SN翔 319,000 3,451,580.00 0.46
55 600675 N-SNO?N? 650,760 3,377,444.40 0.45
56 000923 l?S?[￡]? 195,600 3,346,716.00 0.44
57 000600 ^?b?能n? 497,600 3,333,920.00 0.44
58 002555 N???Z1 243,800 3,303,490.00 0.44
59 002851 麦h<|sry 164,050 3,243,268.50 0.43
60 000059 SN锦股N? 501,300 3,208,320.00 0.42
61 601998 N-O?银行 514,700 3,072,759.00 0.41
62 600754 锦l_股N? 124,200 3,060,288.00 0.41
63 002563 h?马g?饰 273,300 3,022,698.00 0.40
64 601003 g?钢股N? 506,400 2,932,056.00 0.39
65 601012 隆W?股N? 125,588 2,902,338.68 0.38
66 603444 T?k?ry 13,100 2,750,476.00 0.36
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 49
页 Qq65
页
67 600483 y?能股N? 320,100 2,740,056.00 0.36
68 600104 N?l}集V? 106,700 2,720,850.00 0.36
69 601628 N-V?N”[? 95,300 2,698,896.00 0.36
70 600827 v~联股N? 270,700 2,655,567.00 0.35
71 600655 豫V?股N? 323,385 2,648,523.15 0.35
72 600188 QV]?qdN? 240,100 2,609,887.00 0.35
73 002440 闰W?股N? 209,400 2,609,124.00 0.35
74 000963 SN?S;药 97,499 2,531,074.04 0.33
75 600027 SNu5V?际 661,100 2,492,347.00 0.33
76 000543 v?能u5R? 525,200 2,473,692.00 0.33
77 000961 N-SW^?设 280,500 2,429,130.00 0.32
78 600398 mwo?NK[? 267,300 2,424,411.00 0.32
79 000966 长n?u5R? 424,900 2,409,183.00 0.32
80 000921 mwO?[?u5 189,600 2,366,208.00 0.31
81 002080 N-gPy?b? 260,110 2,356,596.60 0.31
82 603589 Sa[Pz? 36,500 2,351,330.00 0.31
83 000895 S?lGS?\U 93,000 2,314,770.00 0.31
84 600015 SNY?银行 296,100 2,279,970.00 0.30
85 600373 N-e?O Z? 181,300 2,277,128.00 0.30
86 600028 N-V?w?S? 409,200 2,238,324.00 0.30
87 601677 f?l?铝N? 214,259 2,209,010.29 0.29
88 600987 航l?股N? 333,810 2,206,484.10 0.29
89 000671 阳 QI W? 330,600 2,142,288.00 0.28
90 300502 e?f?v? 87,300 2,140,596.00 0.28
91 600570 ‘Ru?5[P 29,680 2,022,692.00 0.27
92 600308 SNl?股N? 442,000 1,971,320.00 0.26
93 600900 长l_u5R? 110,100 1,970,790.00 0.26
94 603313 h?v~T? 111,410 1,926,278.90 0.25
95 000001 ^s[?银行 137,500 1,894,750.00 0.25
96 002568 v~m?股N? 104,500 1,868,460.00 0.25
97 000661 长f%高e? 5,500 1,859,000.00 0.25
98 002146 荣v?S?\U 194,583 1,827,134.37 0.24
99 600011 SN能V?际 287,900 1,793,617.00 0.24
100 300031 [?通y?b? 144,800 1,789,728.00 0.24
101 601336 e?SNO?险 32,111 1,767,068.33 0.23
102 601009 SWN?银行 212,400 1,754,424.00 0.23
103 600985 m?S?w?N? 146,700 1,663,578.00 0.22
104 600062 SNm?S?鹤 131,700 1,660,737.00 0.22
105 300570 Y*辰QI 72,913 1,613,564.69 0.21
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 50
页 Qq65
页
106 601900 SWe?O Z? 168,500 1,600,750.00 0.21
107 600029 SWe?航zz 205,700 1,588,004.00 0.21
108 002925 v¨趣y?b? 38,800 1,513,588.00 0.20
109 002087 e?野~”~˙ 372,500 1,445,300.00 0.19
110 002841 视n?股N? 18,300 1,418,433.00 0.19
111 600642 u3能股N? 234,200 1,407,542.00 0.19
112 300259 e?Y)y?b? 395,100 1,402,605.00 0.19
113 600863 Q?蒙SNu5 439,100 1,378,774.00 0.18
114 002557 m=m=食T` 51,700 1,305,425.00 0.17
115 000898 鞍钢股N? 341,640 1,294,815.60 0.17
116 300058 蓝色QIh? 301,300 1,286,551.00 0.17
117 601607 N?mwS;药 69,200 1,255,980.00 0.17
118 601211 V?l?T?[? 63,500 1,165,225.00 0.15
119 600025 SN能l4u5 285,600 1,162,392.00 0.15
120 600622 QIY’V?[? 233,740 1,138,313.80 0.15
121 000651 h
页 Qq65
页
145 300274 阳QIu5n? 82,800 774,180.00 0.10
146 300296 R)N?_? 98,400 770,472.00 0.10
147 000876 e? ^? g? 41,900 727,803.00 0.10
148 603806 y?eflry 19,500 716,235.00 0.09
149 000708 Y’Q?ry钢 55,600 706,120.00 0.09
150 600801 SNe?l4l? 34,020 688,905.00 0.09
151 600967 Q?蒙N?g: 61,000 683,200.00 0.09
152 002007 SNQpu?ri 22,050 672,304.50 0.09
153 000028 V?药N?致 15,800 660,914.00 0.09
154 000959 首钢股N? 181,700 639,584.00 0.08
155 300349 金Safz能 35,100 624,078.00 0.08
156 002746 N?W[股N? 39,500 611,065.00 0.08
157 300129 l?胜风能 143,700 602,103.00 0.08
158 601811 e?SNe?轩 48,400 590,964.00 0.08
159 002128 露Y)qdN? 67,200 581,280.00 0.08
160 600153 ^?S?股N? 64,800 575,424.00 0.08
161 603393 e?Y)q6l? 24,080 563,472.00 0.07
162 600019 [?钢股N? 81,100 527,150.00 0.07
163 601988 N-V?银行 135,700 507,518.00 0.07
164 601398 ]?UF银行 75,600 445,284.00 0.06
165 002768 V?‘i股N? 16,000 404,000.00 0.05
166 002110 N?钢闽QI 43,200 401,760.00 0.05
167 601058 赛轮轮胎 134,600 399,762.00 0.05
168 601872 b?UF轮船 91,100 397,196.00 0.05
169 002299 W#Q?S?\U 15,100 382,332.00 0.05
170 300420 N?m?P\车 69,400 381,006.00 0.05
171 000049 _?赛u5l‘ 14,100 367,023.00 0.05
172 600968 mwl?S?\U 102,375 363,431.25 0.05
173 002376 e?S?m? 29,400 351,330.00 0.05
174 000550 l_铃l}车 17,100 331,569.00 0.04
175 002475 z?讯|?[? 13,200 327,228.00 0.04
176 002777 NE远银mw 12,241 321,938.30 0.04
177 603658 [?V?u?ri 4,600 314,456.00 0.04
178 601881 N-V?银l? 25,100 307,475.00 0.04
179 002120 韵达股N? 9,750 300,495.00 0.04
180 601229 N?mw银行 24,900 295,065.00 0.04
181 603533 c?阅y?b? 18,200 292,838.00 0.04
182 600511 V?药股N? 11,300 259,561.00 0.03
183 600426 SN鲁‘RSG 17,200 255,592.00 0.03
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 52
页 Qq65
页
184 000999 SNm?N?] 8,700 255,258.00 0.03
185 000717 韶钢g~\q 52,700 233,461.00 0.03
186 002465 mwh<通O? 24,300 231,822.00 0.03
187 601566 N]rgs? 18,500 227,920.00 0.03
188 603517 ~?Ts食T` 5,460 212,448.60 0.03
189 600061 V?b?资g, 15,100 211,551.00 0.03
190 002090 金fzy?b? 17,600 207,680.00 0.03
191 300144 [?W?o?艺 7,700 178,178.00 0.02
192 600276 ‘Rt^S;药 2,600 171,600.00 0.02
193 600958 N?e?证R8 15,300 163,404.00 0.02
194 002675 N?诚药N? 14,000 152,880.00 0.02
195 002616 长青集V? 20,300 147,175.00 0.02
196 000928 N-钢V?际 25,000 145,250.00 0.02
197 600066 [?通[￠车 11,000 143,220.00 0.02
198 600362 l_西铜N? 8,100 127,494.00 0.02
199 002608 l_苏V?O? 14,600 124,538.00 0.02
200 601788 QIY’证R8 10,100 115,342.00 0.02
201 601117 N-V?S?[f 19,000 114,380.00 0.02
202 600795 V?u5u5R? 44,400 112,776.00 0.01
203 600643 r1^?集V? 11,600 111,128.00 0.01
204 000301 N?e?v?虹 18,800 103,212.00 0.01
205 002543 N?T?u5l? 7,500 100,650.00 0.01
206 600297 ^?lGl}车 22,200 99,012.00 0.01
207 000333 美v?集V? 1,842 95,526.12 0.01
208 300481 o?阳‘?b? 6,900 88,044.00 0.01
209 600340 SNY?^xy? 2,600 84,682.00 0.01
210 300782 SS胜_fi 743 80,927.56 0.01
211 002677 mYl_美Y’ 6,000 78,960.00 0.01
212 603018 N-设集V? 5,920 73,704.00 0.01
213 002648 Skf?w?S? 4,900 72,912.00 0.01
214 300033 T?花顺 700 68,852.00 0.01
215 600048 O?R)W0N§ 5,100 65,076.00 0.01
216 002382 蓝^?S;u? 4,300 59,426.00 0.01
217 601098 N-SWO Z? 4,600 58,144.00 0.01
218 000401 Q?N?l4l? 3,300 58,113.00 0.01
219 002434 N?里bl 8,400 57,036.00 0.01
220 300340 y?‘R股N? 3,400 55,454.00 0.01
221 300529 Pe^?u?ri 800 49,880.00 0.01
222 600409 N?S?S?] 8,600 48,676.00 0.01
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 53
页 Qq65
页
223 601222 g?m?能n? 10,300 48,307.00 0.01
224 600481 S?良节能 12,300 45,510.00 0.01
225 600160 ]?S?股N? 5,700 40,527.00 0.01
226 601698 N-V?Sk通 10,103 39,603.76 0.01
227 002155 nVSW黄金 3,700 37,259.00 0.00
228 002129 N-sfl股N? 3,800 37,088.00 0.00
229 601611 N-V?h8^? 4,700 36,566.00 0.00
230 601236 ~￠XT证R8 9,789 33,869.94 0.00
231 300594 g?进y?b? 721 31,803.31 0.00
232 002179 N-航QIu5 910 30,448.60 0.00
233 600663 陆[?V4 1,800 27,900.00 0.00
234 603867 e?S?股N? 1,045 26,971.45 0.00
235 002444 ]?f?y?b? 2,700 26,946.00 0.00
236 600009 N?mwg:W: 300 25,134.00 0.00
237 300788 N-O?Q?rH 1,556 23,106.60 0.00
238 600339 N-l?]?z? 4,000 16,880.00 0.00
239 300207 k#e?达 1,400 16,128.00 0.00
240 600566 mN]?药N? 300 9,033.00 0.00
241 002123 h?网集V? 200 2,828.00 0.00
b￥TJg?Q?股yhb?资~?T?v?重Y’S?R¤7.4
}/计NpQe金额超Q?g?+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?+W?金资N§Q?
P
页 Qq65
页
13 600109 V?金证R8 7,913,095.50 1.05
14 601668 N-V?^?{Q 7,913,061.00 1.05
15 000858 N? |fi m? 7,521,827.46 1.00
16 600031 N??重]? 7,411,965.64 0.98
17 000951 N-V?重l} 7,411,951.57 0.98
18 002736 V?O?证R8 7,381,933.76 0.98
19 300628 N?联网~? 7,224,213.00 0.96
20 601633 长W?l}车 6,973,945.00 0.92
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?+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?+W?金资N§Q?
P
页 Qq65
页
NpQe股yhb?g,（b?N?）‘;额
562,551,202.34
SVQ?股yhe6Qe（b?N?）‘;额
8,572,211.46
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
l?：e?0?
g?+c?QlQAN?P
页 Qq65
页
b￥TJg?+g,W?金b?资v?V?P:g?货c?N?T?c_v?f?~?7.11.2
l?：e?0?
g,g?V?P:g?货b?资评N?7.11.3
l?：e?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
137,416.39
2
^?e6证R8n?{?k>
-
3
^?e6股R)
-
4
^?e6R)‘o
105,618.69
5
^?e6u3购k>
3,986.03
6
QvN?^?e6k>
-
7
_?dJ费u(
-
8
QvN?
-
9
T?计
247,021.11
g?+c?g?v?Y?N?转股g?v?S?转cbP:R8f?~?7.12.4
l?：e?0?
g?+RMSAT?股yhN-[XW(mA通S?限‘ˉQ?v?说f?7.12.5
l?：e?0?
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?
N?额
~§R+
c?g?N”
b7ep(
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?
SNl?
gˇt^
8,248 89,972.81 5,595,618.15 0.75% 736,500,114.00 99.25%
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 57
页 Qq65
页
量S?
f?选A
SNl?
gˇt^
量S?
f?选C
169 10,341.60 0.00 0.00% 1,747,730.74 100.00%
T?计
8,402 88,531.71 5,595,618.15 0.75% 738,247,844.74 99.25%
l?：R?~§W?金g:g?/N*N”b?资者c?g?N?额S‘;N?额k?O?v?计{?N-，[?N?\^R?~§W?金，k?O?v?R?k?
采u(T?自~§R+v?N?额，[?T?计ep，k?O?v?R?k?采u(N?\^R?~§W?金N?额v?T?计ep（Ssg?+W?金N?额
‘;额）0?
g?+W?金{?t?N”v?N?N?”TXc?g?,W?金v?‘ˉQ?8.2
项v? N?额~§R+ 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
SNl?gˇt^
量S?f?
选A
19.76 0.0000%
SNl?gˇt^
量S?f?
选C
1,985.50 0.1136%
T?计 2,005.26 0.0003%
g?+W?金{?t?N”v?N?N?”TXc?g?,_?e>_?W?金N?额‘;量S:间v?‘ˉQ?8.3
项v? N?额~§R+ 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
SNl?gˇt^量S?f?选A 0
SNl?gˇt^量S?f?选C 0
T?计 0
g,W?金W?金~ˇt?c?g?,_?
e>_?W?金
SNl?gˇt^量S?f?选A 0
SNl?gˇt^量S?f?选C 0
T?计 0
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 58
页 Qq65
页
_?e>_?W?金N?额S?R¤§9
SUOM：N?
项v?
SNl?gˇt^量S?f?
选A
SNl?gˇt^量S?f?
选C
W?金T??u?eHe?（2019^t3g?25e?）W?金N?额
‘;额
967,664,458.17 2,404,592.50
W?金T??u?eHe?起至b￥TJg??+W?金‘;u3购
N?额
970,212.49
14,762.79
Qˇ:W?金T??u?eHe?起至b￥TJg??+W?金‘;赎
V?N?额
226,538,938.51
671,624.55
W?金T??u?eHe?起至b￥TJg??+W?金b?R?S?
R¤N?额（N?额Qˇ\?N?"-"XkR?）
-
-
g,b￥TJg??+W?金N?额‘;额 742,095,732.15
1,747,730.74
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 59
页 Qq65
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?2019^t4g?4e?，Ql
S?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?
bX{?N”N-V?^?设银行2019^t6g?4e?S?^?QlTJ，聘N?蔡N?蓉N:N-V?^?设银行股N?g?限QlS?资
N§bX{?N?R?部‘;~ˇt?0?
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?
r1^?证R8 2 192,640,892.70 33.76% 179,389.11 34.13% -
西SW证R8 1 164,373,253.19 28.81% 153,084.45 29.13% -
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 60
页 Qq65
页
SN西证R8 1 122,162,970.92 21.41% 113,752.93 21.64% -
SNl?证R8 7 29,464,643.39 5.16% 26,851.32 5.11% -
e?kc证R8 4 22,277,634.87 3.90% 20,301.88 3.86% -
mw通证R8 1 21,686,418.23 3.80% 15,857.04 3.02% -
l?u?证R8 2 17,932,891.14 3.14% 16,342.60 3.11% -
N?Qt证R8 1 - - - - -
N?e?证R8 2 - - - - -
N-O?^?b? 1 - - - - -
^?S?证R8 3 - - - - -
\q西证R8 1 - - - - -
SN[?证R8 1 - - - - -
N-金QlS? 1 - - - - -
长l_证R8 2 - - - - -
^s[?证R8 1 - - - - -
u3N?[?n? 3 - - - - -
b?UF证R8 2 - - - - -
_?邦证R8 1 - - - - -
V?都证R8 1 - - - - -
N?mw证R8 2 - - - - -
齐鲁证R8 1 - - - - -
V?l?T?[? 1 - - - - -
t^银证R8 2 - - - - -
QtN?证R8 1 - - - - -
N-b?证R8 1 - - - - -
[?O?证R8 1 - - - - -
l?：10?选b?Nat?证R8NpSVv?证R8~ˇ营g:g?v?h?Q?：
1）资金雄S?，O?誉良Y}0?
2）财R?r?Q?良Y}，~ˇ营行N:规范，g?近N?^tg*V?重Y’违规行N:而S?R0g?Qs{?t?g:Qsv?Y?罚0?
3）Q?部{?t?规范0?N%h<，QwY?PeQhv?Q?c§R6^?，^v能n?足g,W?金运O\高^?O?[?v?要lB0?
4）QwY?W?金运O\b@需v?高eH0?[?Qhv?通讯gaN?，N?f?设e‰{&T?Nat?W?金进行证R8N?f?v?需要，
^v能N:W?金c—O?Qh面v?O?‘og?R?0?
5）x?zv[?R?较_:，g?V?[?v?x?zvg:g?T?N?门x?zvN”TX，能S?e?0?[?g?0?Qh面W0N:W?金c—O?[?观
~ˇmN0?行N?‘ˉQ?0?^?W:走T?0?股yhR?g?v?x?zvb￥TJS?ThR0v?O?‘og?R?，^v能h9cnW?金b?资v?ry[?
要lB，c—O?N?题x?zvb￥TJ0?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 61
页 Qq65
页
20?选b?Nat?证R8NpSVv?证R8~ˇ营g:g?v?z?^? W?金{?t?N”h9cnN?h?Q?进行考[?T?xn[?证R8~ˇ营
g:g?v?选b?0?W?金{?t?N”N?被选b?v?证R8~ˇ营g:g?{~订N?f?SUQCy?u(SO议T?证R8x?zvg?R?SO议0?
W?金y?u(证R8QlS?N?f?SUQC进行QvN?证R8b?资v?‘ˉQ?10.7.2
金额SUOM：N”l?^?QC
R8UFT?y? P:R8N?f? P:R8V?购N?f? gC证N?f?
b?N?金额
S‘_Sg?P:R8
b?N?‘;额v?k?
O?
b?N?金额
S‘_Sg?P:
R8V?购
b?N?‘;额
v?k?O?
b?N?金额
S‘_Sg?C证
b?N?‘;额v?
k?O?
r1^?证R8 - - 420,000,000.00 26.17% - -
西SW证R8 - - - - - -
SN西证R8 - - - - - -
SNl?证R8 - - - - - -
e?kc证R8 - - - - - -
mw通证R8 - - 1,185,000,000.00 73.83% - -
l?u?证R8 - - - - - -
N?Qt证R8 - - - - - -
N?e?证R8 - - - - - -
N-O?^?b? - - - - - -
^?S?证R8 - - - - - -
\q西证R8 - - - - - -
SN[?证R8 - - - - - -
N-金QlS? - - - - - -
长l_证R8 - - - - - -
^s[?证R8 - - - - - -
u3N?[?n? - - - - - -
b?UF证R8 - - - - - -
_?邦证R8 - - - - - -
V?都证R8 - - - - - -
N?mw证R8 - - - - - -
齐鲁证R8 - - - - - -
V?l?T?[? - - - - - -
t^银证R8 - - - - - -
QtN?证R8 - - - - - -
N-b?证R8 - - - - - -
[?O?证R8 - - - - - -
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 62
页 Qq65
页
QvN?重Y’N譎?10.8
^?S? QlTJN?项 l?[?b?露e?_? l?[?b?露e?g?
1
SNl?gˇt^W?金{?t?g?限QlS?
QsN?S′R?N-V?银行[?g?[?额
b?资bK~?费s?O?‘?m;R¤v?Ql
TJ
证v?O?c?[?b￥R?T?
QlS?网z?
2019^t6g?27e?
2
SNl?gˇt^W?金{?t?g?限QlS?
QsN?e?N?部R?W?金S?b?资y?
R?g?股yhv?QlTJ
证v?O?c?[?b￥R?T?
QlS?网z?
2019^t6g?25e?
3
SNl?gˇt^W?金{?t?g?限QlS?
QsN?X?R?N?mwY}NpW?金N:e?
N?部R?W?金Na销g:g?T?e?_?
通W?金[?b?0?转cbS?S′R?费
s?O?‘?{IN?R?v?QlTJ
证v?O?c?[?b￥R?T?
QlS?网z?
2019^t6g?18e?
4
SNl?gˇt^W?金{?t?g?限QlS?
QsN?e?N?SNl?gˇt^量S?f?选
m?T?A|{W(SN西证R8_?通W?金
[?b?N?R?S?[?b镢K~?费s?O?
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证v?O?c?[?b￥R?T?
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2019^t6g?1e?
5
SNl?gˇt^W?金{?t?g?限QlS?
QsN?X?R?N?~“证R8g?限责N?
QlS?N:e?N?部R?W?金Na销g:
g?T?e?_?通W?金转cb0?[?b?
N?R?v?QlTJ
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QlS?网z?
2019^t5g?25e?
6
SNl?gˇt^量S?f?选m?T?W?证
R8b?资W?金_?e>e?^8u3购0?
赎V?0?转cb0?[?g?[?额b?
资0?费s?O?‘?{IN?R?QlTJ
证v?O?c?[?b￥R?T?
QlS?网z?
2019^t4g?23e?
7
SNl?gˇt^量S?f?选m?T?W?证
R8b?资W?金-W?金T??u?eHQl
TJ
证v?O?c?[?b￥R?T?
QlS?网z?
2019^t3g?26e?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 63
页 Qq65
页
_qT?b?资者Q?{Vv?QvN?重要O?‘o§11
b￥TJg?Q?SUN?b?资者c?g?W?金N?额k?O?达R0b?超过20%v?‘ˉQ?11.1
l?：g,W?金g,b￥TJg?Q?g*g?SUN?b?资者c?g?W?金N?额k?O?达R0b?超过20%v?‘ˉQ?0?
_qT?b?资者Q?{Vv?QvN?重要O?‘o11.2
e?0?
SNl?gˇt^量S?f?选2019 ^tSJ^t^?b￥TJ
{, 64
页 Qq65
页
Y?g?e?N?v?_U§12
Y?g?e?N?v?_U12.1
10?g,W?金v?N-V?证v?O?byQ?R?集e?N?
20?g,W?金v?0?W?金T??0?
30?g,W?金v?0?b?R?说f?Nf0?
40?g,W?金v?0?bX{?SO议0?
50?W?金{?t?N”N?R?资h
60?g,W?金v?QlTJ
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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? [￠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^t8g?29e?
