SNlgt^R e°SG~§m÷ 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^R e°SG~§m÷ 2018^t^t^bTJ §1 ‘‰y:Sv_U 1.1 ‘‰y: Wú‘t NvcNO 0 cNOg,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................................. 64 §10 _ e>_ Wú‘SR¨........................................................................................................................ 65 §11 ‘'NNcíy:.................................................................................................................................. 66 11.1 Wú‘ g NY'O Q....................................................................................................... 66 11.2 Wú‘t N0 Wú‘X{NvN èWú‘X{èèv‘'NNSR¨....................................... 66 11.3 m‰SWú‘t N0 Wú‘"§ Wú‘X{N Rv........................................................... 66 11.4 Wú‘DVueve9S............................................................................................................... 66 11.5 N:Wú‘L[vO ^ NRb@`Q................................................................................... 66 11.6 {t N0 bX{NSQv~§{t NTXS×z=gb Y Z{I`Q................................................... 66 11.7 Wú‘u(R8QlSN¤ SUQCvg Qs`Q............................................................................... 66 11.8 QvN‘'NN........................................................................................................................... 70 §12 _qTbDQ{VvQvN‘‰á`o.................................................................................................... 78 12.1 bTJg Q…SUN bDc g Wú‘kO0b …0%v`Q........................................ 78 12.2 _qTbDQ{VvQvN‘‰á`o........................................................................................... 78 §13 Y geNv_U................................................................................................................................... 79 13.1 Y geNv_U........................................................................................................................... 79 13.2 [Xe>W0p.................................................................................................................................. 79 13.3 g–e_ .................................................................................................................................. 79 {, 4 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ §2 Wú‘N 2.1 Wú‘úg,`Q Wú‘ y SNlgt^R e°SG~§m÷ WR8bDú‘ Wú‘y SNlgt^R e°SG~§m÷ Wú‘;Nx 000566 Wú‘\e_ YQ~W_ e>_ Wú‘T u eHe 2014^t5g 6e Wú‘t N SNlgt^Wú‘t g –PlS Wú‘X{N N-V”Lg –PlS bTJgg+ Wú‘`; 409,266,487.39N Wú‘T [X~íg N [g 2.2 Wú‘§Tf bDh W(g eHc§R6–iRMcN g,Wú‘BWú‘D§v g XP< RN‰W(N-g N:bDR NN~ékú QvbDb0 bDVue g,Wú‘ ‘yg N;R¨vD§‘Mn{Vue |N ~ mN~g etN lN;vcvQs QwY g vR) cSGvN ^ QlS RlB[s°Wú‘D§vg XP<0 N ~ékúQ N-TMTN§NN;c epe6vs×20%+N-e°QtN§Nc epe6vs×40%+N-P:`;c ep QhN÷ e6vs×40% –i6vry_ g,Wú‘^Nm÷ WWú‘ Qvg –ig e6vN P:R8WWú‘'^ W:Wú‘ ONNhWWú‘ 2.3 Wú‘t NTWú‘X{N yv Wú‘t N Wú‘X{N T y SNlgt^Wú‘t g –PlS N-V”Lg –PlS Oá`ob—2# YT –HV sl8l N Tu5 021-38601777 010-66594896 u5[P± cs4008880001@huatai-pb.com fcid@bankofchina.com [b7g Ru5 400-888-0001 95566 O w 021-38601799 010-66594942 lèQW0W@ N mw^ mfN e°S:l u 199_ S N^ ‰S:Y QtèQ…Y'W1S÷ N mwY'N”S^W:1S÷17\B RQlW0W@ N mw^ mfN e°S:l u 199_ S N^ ‰S:Y QtèQ…Y'W1S÷ N mwY'N”S^W:1S÷17\B ? x 200135 100818 l[NhN > –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 Wú‘t NSWú‘X{NOOb@ 2.5 QvNvQsD yv T y RQlW0W@ O ^ NRb@ fnSNl8S-Y)O ^ NRb@ ryk N-VN mw^ fS:nVnè02S÷ {, 5 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 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 Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ §3N;‰"c h 0 Wú‘P QbDb_ S ^t^R)mR ‘M ^t^ Y lè R ~ep `; e>`; 2018 3.2300 26,527,663.79 29,047,551.89 55,575,215.68 2017 - - - - 2016 - - - - T 3.2300 26,527,663.79 29,047,551.89 55,575,215.68 {, 9 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ §4 {t NbTJ 4.1 Wú‘t NSWú‘t `Q 4.1.1 Wú‘t NSQv{t Wú‘~ {, 10 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ g,Wú‘t NN:SNlgt^Wú‘t g –PlS0 SNlgt^Wú‘t g –PlSf/~N-VvO by Q N2004^t11g 18eb zvT Dú‘t QlS lèQD,N:2NQCNl ^ 0 vRMv gb N: SNlR8g –PlS0 gt^bD –P#QlS SAIGGIC T]e°S:e°bg/N§Ng –P QlS QúDORR+ N:49%0 49%T2%0 vRMQlSe× {t SNlgt^vNN- Vm÷ WR8bDú ‘ SNlgt^‘WXTz3g,XR)P:R8WR8bDú‘ N ~R)N¤ W_ e>_ 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 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 {, 11 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 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 2014^t5g 6 ‘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 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 _: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 ‰ {, 15 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ N;‰eg N%hS~ R)3.230QC R)mR ‘M 55,575,215.680 4.9 bTJg Q…{t N[ùg,Wú‘ g Nepb Wú‘D§QP 7.4.7.1 122,850,795.18 29,821,558.63 ~{— N‘ 3,067,973.20 1,609,510.55 [XQúO‘ 331,452.91 113,765.36 N¤ `'‘D§ 7.4.7.2 643,402,089.22 311,651,815.96 QvN- hbD 643,402,089.22 311,648,415.96 Wú‘D - - P:R8bD - 3,400.00 D§e/c R8bD - - 5‘^bD - - Mu ‘D§ 7.4.7.3 - - NpQe.‘D§ 7.4.7.4 - - ^”e6R8n {—k> 2,423,429.67 2,234,042.63 ^”e6R)`o 7.4.7.5 31,724.33 8,061.85 ^”e6) - - ^”e6u3-> 15,441,999.12 568,886.21 ^b@_— D§ - - QvND§ 7.4.7.6 - - {, 22 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ D§`; 787,549,463.63 346,007,641.19 g,g g+ N ^t^g+ P:Tb@g gCv –DèS÷ 2018^t12g 31e 2017^t12g 31e P: wíg P k> - - N¤ `'‘P: - - Mu ‘P: 7.4.7.3 - - SVQúV-‘D§k> - - ^”NR8n {—k> 4,380,470.84 832,412.11 ^”NNk> 6,754,324.41 384,706.55 ^”N{t Nb‘l 976,724.60 434,198.54 ^”NbX{9 162,787.44 72,366.44 ^”N U.g R9 - - ^”NN¤ 9( 7.4.7.7 1,539,345.57 597,324.38 ^”N¤ 9 - - ^”NR)`o - - ^”NR)m - - ^b@_— P: - - QvNP: 7.4.7.8 376,887.89 360,831.32 P:T 14,190,540.75 2,681,839.34 {, 23 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ b@g gCv [e6Wú‘ 7.4.7.9 409,266,487.39 137,391,947.61 g*R ‘M)m 7.4.7.10 364,092,435.49 205,933,854.24 b@g gCvT 773,358,922.88 343,325,801.85 P:Tb@g gCv`; 787,549,463.63 346,007,641.19 lè bTJb*kbe2018^t12g 31e Wú‘QP<1.890QC Wú‘`;409,266,487.39N0 7.2 R)mh O N;OS SNlgt^R e°SG~§m÷ WR8bDú‘ g,bTJg 2018^t1g 1eó018^t12g 31e SUOM Nl ^ QC g,g N ^t^Skg y v –DèS÷ 2018^t1g 1eó018 2017^t1g 1eó017 ^t12g 31e ^t12g 31e N 0 e6Qe -65,881,573.33 81,169,994.69 1.R)`oe6Qe 718,131.84 229,914.96 QvN- [Xk>R)`oe6Qe 7.4.7.11 718,131.61 229,815.43 P:R8R)`oe6Qe 0.23 99.53 D§e/c R8R)`oe6Qe - - NpQe.‘D§e6Qe - - QvNR)`oe6Qe - - 2.bD6v c_Y1N - XkR -35,962,336.18 55,373,388.49 QvN- hbD6v 7.4.7.12 -40,941,674.46 53,013,817.47 Wú‘D6v - - P:R8bD6v 7.4.7.13 489.96 20,104.38 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 4,978,848.32 2,339,466.64 {, 24 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 3.QlQAN÷P 335,869,928.34 368,974,960.34 704,844,888.68 2.Wú‘Nk> -63,995,388.56 -73,737,567.36 -137,732,955.92 V0 g,g T Wú‘ g NR ‘M)mN§ vWú‘ - -55,575,215.68 -55,575,215.68 P 90,446,514.54 122,415,753.77 212,862,268.31 2.Wú‘Nk> -93,754,317.04 -108,785,814.60 -202,540,131.64 V0 g,g T Wú‘ g NR ‘M)mN§ vWú‘ - - - P_ [X {, 26 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ ‘ ~íg –P [ –k!zR– S bì¤-D )`oQqR–l ^ 267,666,871.23QC N ~fnSNl8S N-Y)O ^ NRb@g –PlSfnSNl8S-Y)[W(2014){,224S÷DTJNN0 ~T N-Vv O Y hH 0 SNlgt^R e°SG~§m÷ WR8bDú‘ú‘T 0 N2014^t5g 6ekc_ u eH Wú‘ ‘ T u eHevWú‘`;N:267,739,518.28NWú‘ QvN-¤-D )`obT 72,647.05NWú ‘ g,Wú‘Wú‘t NN:SNlgt^Wú‘t g –PlS Wú‘X{NN:N-V”Lg –Pl S0 h9cn0 N-SNNl QqTVR8bDú‘0 T0 SNlgt^R e°SG~§m÷ WR8bDú‘ú‘ T 0 vg Qs‰ g,Wú‘bD VN:Qwg oY}mAR¨`'v‘]Qw S bìVQ…OlSLN ^ v yh0 P:R80 gC0 g 'Sl_l‰ N-VvO QAWú‘DQvN‘]Qw({{&T N- VvO vQs‰)0 g,Wú‘ g vhS`Wú‘D§vkON:30%-95% QvN-bD e°SG~§N; vQsvN ^ QlShN ONN—^°‘ú‘D§v80% P:R80 gC0 '^ W:]QwNSvO QA Wú‘DQvNR8TyS`Wú‘D§vkON:5%-70% QvN- kN*N¤ ee~W(bc–d g ' ~—4~vO‘ g,Wú‘c N ONNWú‘D§QP<5%vs°‘N S bì~{— N‘ [XQúO ‘ ^”e6u3->{I)b R0g eW(1^tNQ…ve?^P:R80 g,Wú‘N ~ékúQN:N-TMTN§NN; c epe6vs×20%+N-e°QtN§Nc epe6vs×40%+N-P:`;c ep QhN÷ e6vs×40%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^R e°SG~§m÷ W R8bDú‘ú‘T 0 TW("bh–Dè7.4.4b@R y:vN-VvO 0 N-VWú‘ SOO S^ v g Qs‰SQAvWú‘LN [RdO\ R60 g,"bhNc ~í~%N:Wúx@ R60 7.4.3 uO N O QR SQvNg Qs‰vXf g,Wú‘018^t^"bh{&T O N O QR v‰B w [ [etW0Sf Ng,Wú‘018^t12 g 31ev"rQNS2018^t^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>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 bìSVQúQvNT |{^”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¤‘ {, 28 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ [ùNNlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘D§ 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{— 7.4.4.10 9(vxn¤T‘ g,Wú‘{t Nb‘lbX{9(9(mvg c Wú‘T ~[v9T{—elexn¤ {, 30 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ QvN‘P:W(c gg xn¤vR)`oe/Qúc [–E)sl{— [–E)slN v~l]_ vN_Sc 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 (S bìWú‘%m;R¨N§ vg*[s°c_vNSWú‘N¤ N§ vg*[s°^sQ‘ {I)N:kcep R gg+ SOR ‘M)mv‘N:gg+g* R ‘M)mN-v]ò[s°è gg+g* R ‘M)m vg*[s°è N:ep R gg+ SOR ‘M)mv‘N:gg+g* R ‘M)m(]ò[s°è vbg*[s°è R T vOY)0 ~[TJvbR ‘Mú‘6vN ~–dCeNb@g gCvlú0 7.4.4.12 R èTJ g,Wú‘Q…è~~g0 {t ‰B0 Q…èTJR6^N:Ocnxn[~%R è N~%R è:Wúx@ xn[bTJR èvb—2 èá`o0 ~%R è/c g,Wú‘… ená R gaNv~b è (1) ~ b è W(e^8m;R¨N-N§ e6Qe0 Su 9( (2) g,Wú‘Wú‘t N [g N÷~b è R v~%b g NQ[T Qv‘MnD N÷QvN ~é (3) g,Wú‘ S_—~b è v"r Q0 ~%b gTs°‘A‘Ig QsO Oá`o0 YgN$N*b Y N*~%R èwg vOO0Pvw0 NK–D0 R8bDú‘DAS×–PhO0Pg R N2018^t1g 1ew§ vR)`oSR)`o`'(e6QeN: U. (2) [ùWú‘R8^ W:N-S_—ve6Qe S bìNpSVh0 P:R8v]N÷e6Qe hvo0 ~R) e6Qe P:R8vR)`oe6QeSQvNe6Qe fN _e6O N b@_— 0 (3) [ùWú‘_—vO N P:R8R)`oe6Qe ^”u1SLP:R8vO N W(T Wú‘/NR)`oeNbcN 420%vN*Nb@_— 0 [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{— ‰RM S_—vo0 ~R)e6Qe~~ífQc 50%Qe^”~z b@_— N @_—~N u(20%vz s_N*N b@_— 0 (4) Wú‘VQúhc 0.1%vz s4~hN¤ Sp± NpQehN _e6hN¤ Sp± 0 {, 33 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ (5) g,Wú‘W^ ~b¤^úz 0 eY9 D TW0eeY9 D {Iz 9 qg[–E4~XP SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e m;g [Xk> 122,850,795.18 29,821,558.63 [g [Xk> - - QvN- [Xk>g –PN*g NQ… - - [Xk>g –P-3N*g - - [Xk>g –PN*g NN - - QvN[Xk> - - T 122,850,795.18 29,821,558.63 7.4.7.2 N¤ `'‘D§ SUOM Nl ^ QC g,gg+ yv 2018^t12g 31e b g, QlQAN÷P< QlQAN÷PR)`o 30,000.43 7,214.18 ^”e6[g [Xk>R)`o - - ^”e6QvN[Xk>R)`o - - ^”e6~{— N‘)`o 1,559.78 790.99 ^”e6P:R8R)`o - 0.36 ^”e6D§e/c R8R)`o - - ^”e6NpQe.R8R)`o - - ^”e6u3->R)`o - - ^”e6‘ ~bP [s`o - - QvN 164.12 56.32 T 31,724.33 8,061.85 7.4.7.6 QvND§ lè g,Wú‘,bTJgg+ SN ^t^g+g*c g QvND§ 7.4.7.7 ^”NN¤ 9( SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e N¤ b@^ W:^”NN¤ 9( 1,539,345.57 597,324.38 ”L^ W:^”NN¤ 9( - - T 1,539,345.57 597,324.38 7.4.7.8 QvNP: SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e {, 35 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ ^”NR8UFN¤ SUQCO‘ - - ^”NN9 16,887.89 831.32 c9( 360,000.00 360,000.00 T 376,887.89 360,831.32 7.4.7.9 [e6Wú‘ ‘SUOM Nl ^ QC g,g yv 2018^t1g 1eó018^t12g 31e Wú‘ N &—b N ^t^g+ 137,391,947.61 137,391,947.61 g,g u3- 335,869,928.34 335,869,928.34 g,g N N - S÷XkR -63,995,388.56 -63,995,388.56 - Wú‘R /Nb{—RM - - Wú‘R /Nb{—SR¨N - - g,g u3- - - g,g N N - S÷XkR - - g,gg+ 409,266,487.39 409,266,487.39 lè u3-+~R)Qb0 lbQeN NT+lbQúN 7.4.7.10 g*R ‘M)m SUOM Nl ^ QC yv ]ò[s°è g*[s°è g*R ‘M)mT N ^t^g+ 161,264,409.05 44,669,445.19 205,933,854.24 g,g R)m -50,566,255.80 -30,937,340.25 -81,503,596.05 g,g Wú‘N¤ 261,271,547.62 33,965,845.36 295,237,392.98 N§ vSR¨ep QvN- Wú‘3-> 324,313,743.93 44,661,216.41 368,974,960.34 Wú‘Nk> -63,042,196.31 -10,695,371.05 -73,737,567.36 g,g ]òR ‘M)m -55,575,215.68 - -55,575,215.68 g,gg+ 316,394,485.19 47,697,950.30 364,092,435.49 7.4.7.11 [Xk>R)`oe6Qe SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12g 31e 2017^t1g 1eó017^t12g 31e m;g [Xk>R)`oe6Qe 674,055.03 206,644.61 [g [Xk>R)`oe6Qe - - QvN[Xk>R)`oe6Qe - - ~{— N‘)`oe6Qe 30,424.98 18,674.78 QvN 13,651.60 4,496.04 {, 36 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ T 718,131.61 229,815.43 7.4.7.12 hbD6v 7.4.7.12.1 hbD6v NpSVh]N÷e6Qe SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018 2017^t1g 1eó017 ^t12g 31e ^t12g 31e SVQúhb N¤`; 1,901,090,939.64 1,185,802,146.07 Q SVQúhb g,`; 1,942,032,614.10 1,132,788,328.60 NpSVh]N÷e6Qe -40,941,674.46 53,013,817.47 7.4.7.13 P:R8bD6v 7.4.7.13.1 P:R8bD6vyvgb SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018 2017^t1g 1eó017 ^t12g 31e ^t12g 31e P:R8bD6v NpSVP:R8 0 P: 489.96 20,104.38 lP:R8R0g QQN ]N÷e6Qe P:R8bD6v N]N÷e6Qe - - P:R8bD6v u3-N÷e6Qe - - T 489.96 20,104.38 7.4.7.13.2 P:R8bD6v NpSVP:R8]N÷e6Qe SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018 2017^t1g 1eó017 ^t12g 31e ^t12g 31e SVQúP:R8 0 P:lP:R8R0g QQ 3,890.55 832,703.55 N b N¤`; Q SVQúP:R8 0 P:lP:R8R0 3,400.00 812,500.00 g QQN b g,`; Q ^”e6R)`o`; 0.59 99.17 NpSVP:R8]N÷e6Qe 489.96 20,104.38 7.4.7.13.3 P:R8bD6v N]N÷e6Qe lè g,Wú‘,bTJg SN ^t^Skg eàP:R8N]N÷e6Qe0 {, 37 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 7.4.7.13.4 P:R8bD6v u3-N÷e6Qe lè g,Wú‘,bTJg SN ^t^Skg eàP:R8u3-N÷e6Qe0 7.4.7.13.5 D§e/c R8bD6v N§ lè g,Wú‘,bTJg SN ^t^Skg g*bDDe/c R80 7.4.7.14 5‘^bD6v 7.4.7.14.1 5‘^bD6vyvgb ‘ lè g,Wú‘,bTJg SN ^t^Skg g*bD5 ^0 7.4.7.14.2 5‘^bD6v NpSV5‘^]N÷e6Qe ‘ lè g,Wú‘,bTJg SN ^t^Skg g*bD5 ^0 7.4.7.14.3 5‘^bD6v N]N÷e6Qe ‘ lè g,Wú‘,bTJg SN ^t^Skg g*bD5 ^0 7.4.7.14.4 5‘^bD6v u3-N÷e6Qe ‘ lè g,Wú‘,bTJg SN ^t^Skg g*bD5 ^0 7.4.7.15 Mu ]Qwe6v 7.4.7.15.1 Mu ]Qwe6v NpSVgC]N÷e6Qe lè g,Wú‘,bTJg SN ^t^Skg eàMu ]Qwe6v0 7.4.7.15.2 Mu ]Qwe6v QvNbD6v lè g,Wú‘,bTJg SN ^t^Skg eàMu ]Qwe6v0 7.4.7.16 )e6v SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12 2017^t1g 1eó017^t12g 31e g 31e hbD§ v)e6v 4,978,848.32 2,339,466.64 Wú‘D§ v)e6v - - T 4,978,848.32 2,339,466.64 7.4.7.17 QlQAN÷PbK~í9 24,964.69 18,462.18 ”L&7g R9 18,000.00 18,200.00 T 402,964.69 396,662.18 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{PZb—2D§P:heT Ny0 7.4.9 QsTQs| QsTT y N g,Wú‘Qs| SNlgt^Wú‘t g –PlS( SNlgt^ Wú‘t N0 lèQv{°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 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¤ 7.4.10.1 sTN¤ SUQCLvN¤ 7.4.10.1.1 hN¤ ‘SUOM Nl ^ QC g,g N ^t^Skg QsTT y 2018^t1g 1eó018^t12g 31e 2017^t1g 1eó017^t12g 31e S`_Sg h S`_Sg h b N¤‘ b N¤`;v b N¤‘ b N¤`;vk kO O SNlR8 280,050,572.32 6.66% 140,211,197.17 5.93% Ng –PlS 7.4.10.1.2 P:R8N¤ lè g,bTJg SN ^t^Skg g,Wú‘*sTN¤ SUQCLP:R8N¤ 0 7.4.10.1.3 P:R8V-¤ lè g,bTJg SN ^t^Skg g,Wú‘*sTN¤ SUQCLP:R8V-¤ 0 7.4.10.1.4 gCN¤ lè g,bTJg SN ^t^Skg g,Wú‘*sTN¤ SUQCLgCN¤ 0 {, 40 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 7.4.10.1.5 ^”e/NQsTvOc‘ ‘SUOM Nl ^ QC g,g QsTT y 2018^t1g 1eó018^t12g 31e _Sg S`_Sg Oc‘ S`gg+ ^”NOc gg+ ^”NOc‘Y Oc‘ `;‘kO ‘;vkO SNlR8 255,210.75 6.58% 150,784.91 9.80% Ng –PlS N ^t^Skg QsTT y 2017^t1g 1eó017^t12g 31e _Sg S`_Sg Oc‘ S`gg+ ^”NOc gg+ ^”NOc‘Y Oc‘ `;‘kO ‘;vkO SNlR8 127,774.05 5.86% - - Ng –PlS 7.4.10.2 QsTb‘l 7.4.10.2.1 Wú‘t 9 SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12g 31 2017^t1g 1eó017^t12g 31e e _Sg Su vWú‘”e/N 7,773,259.72 3,834,034.18 v{t 9 QvN- e/N U.g:gv 1,473,830.26 1,097,606.21 [b7~b¤9 lè e/NWú‘t NSNlgt^Wú‘t g –PlSv{t Nb‘l RMN eWú‘D§QP<1.5%v^t9 sc e}/ógg ^ c g e/N0 Qv{—Ql_ N: e{t Nb‘l RMN eWú‘D§Q P<×1.5% / _S^tY)ep0 7.4.10.2.2 Wú‘X{9 SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12g 31 2017^t1g 1eó017^t12g 31e e _Sg Su vWú‘”e/N 1,295,543.24 639,005.72 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 TN ^tSkg WGeàepcn0 {, 41 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 7.4.10.3 N QsTL”LT N ^ W:vP:R8(T+V-N¤ lè g,Wú‘,bTJg Q…SN ^t^Skg 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…SN ^t^ Wú‘t Ng*bD,Wú‘ 7.4.10.4.2 bTJgg+ –dú‘t NNKY vQvNQsTbD,Wú‘`Q lè g,bTJg SN ^t^ –dú‘t NNKY vQvNQsTg*bD,Wú‘ 7.4.10.5 u1QsTO{v”L[Xk>OYS_Sg N§ vR)`oe6Qe SUOM Nl ^ QC QsT g,g N ^t^Skg T y 2018^t1g 1eó018^t12g 31e 2017^t1g 1eó017^t12g 31e gg+ OY _Sg R)`oe6Qe gg+ OY _Sg R)`oe6Qe N-V”L 122,850,795.18 674,055.03 29,821,558.63 206,644.61 Ng –PlS 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 7.4.10.7 QvNQsT¤ Nyvf g,Wú‘,bTJg Q…eàQvNQsT¤ Ny0 7.4.11 R)mR ‘MQ ‘SUOM Nl ^ QC ^ –doe k10N s°‘b_ QbDb_ g,g R)mR ‘M S÷ gCv Wú‘ ~ Se>`; Se>`; T Y lè v{°e W:Q… W:Y ep 2018 2018^t6 1 ^t6 3.2300 26,527,663.7929,047,551.8955,575,215.68 g 21e g 21e T - - 3.2300 26,527,663.7929,047,551.8955,575,215.68 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 R8 R8 b R SmA mAS× ¤- gg+ O0 ep‘ gg+ gg+ O0P<`; Y lè T y ¤- e –P{W N÷h<{, 42P [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 g,Wú‘:R8bDOáu(~§`Qc 0 N-VNl ”LOáu(~§{t c [üa ‰ [vh Q~ SlG`;0 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 SUOM Nl ^ QC {, 45 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ N g, ^t g ^ g+ g+ g Oáu( 201 201 ~§ 8 7 ^t1 ^t1 2 2 g 3 g 3 1e 1e 2,6 00. AAA - 00 AAAN 800 N - .00 g* ~§ - - 3,4 00. T - 00 lè P:R8Oáu(~§Sê,N e~§g:gv~§ 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 {, 46 u Qq80 u  SNlgt^R e°SG~§m÷ 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 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 7.4.13.4.1.1 R)s–i^S SUOM Nl ^ QC g,gg+ 1N*g NQ… 1-3N* 3N*g - 1-5^t 5^tNN N `o T g 1^t48 u Qq80 u {,  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 2018^t12g 31 e D§ ”L[Xk> 122,850,795.18 - - - - -122,850,795.18 ~{— N‘ 3,067,973.20 - - - - - 3,067,973.20 [XQúO‘ 331,452.91 - - - - - 331,452.91 N¤ `'‘D - - - - -643,402,089.22643,402,089.22 N§ ^”e6R8n {— - - - - - 2,423,429.67 2,423,429.67 k> ^”e6R)`o - - - - - 31,724.33 31,724.33 ^”e6u3-> 15,000,000.00 - - - - 441,999.12 15,441,999.12 D§`; 141,250,221.29 - - - -646,299,242.34787,549,463.63 P: ^”NR8n {— - - - - - 4,380,470.84 4,380,470.84 k> ^”NNk> - - - - - 6,754,324.41 6,754,324.41 ^”N{t Nb - - - - - 976,724.60 976,724.60 ‘l ^”NbX{9 - - - - - 162,787.44 162,787.44 ^”NN¤ 9( - - - - - 1,539,345.57 1,539,345.57 QvNP: - - - - - 376,887.89 376,887.89 P:`; - - - - - 14,190,540.75 14,190,540.75 R)seOa ^: 141,250,221.29 - - - -632,108,701.59773,358,922.88 S N ^t^g+ 1-3N* 3N*g - 2017^t12g 31 1N*g NQ… 1-5^t 5^tNN N `o T g 1^t e D§ ”L[Xk> 29,821,558.63 - - - - - 29,821,558.63 ~{— N‘ 1,609,510.55 - - - - - 1,609,510.55 [XQúO‘ 113,765.36 - - - - - 113,765.36 N¤ `'‘D - - - 800.00 2,600.00311,648,415.96311,651,815.96 N§ ^”e6R8n {— - - - - - 2,234,042.63 2,234,042.63 k> ^”e6R)`o - - - - - 8,061.85 8,061.85 ^”e6u3-> - - - - - 568,886.21 568,886.21 QvND§ - - - - - - - D§`; 31,544,834.54 - - 800.00 2,600.00314,459,406.65346,007,641.19 P: ^”NR8n {— - - - - - 832,412.11 832,412.11 k> ^”NNk> - - - - - 384,706.55 384,706.55 ^”N{t Nb - - - - - 434,198.54 434,198.54 ‘l ^”NbX{9 - - - - - 72,366.44 72,366.44 ^”NN¤ 9( - - - - - 597,324.38 597,324.38 QvNP: - - - - - 360,831.32 360,831.32 P:`; - - - - - 2,681,839.34 2,681,839.34 {, 49 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ R)seOa ^: 31,544,834.54 - - 800.00 2,600.00311,777,567.31343,325,801.85 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:R8bD2017^t12g 31e eà) Vàkd^ W:R)sv SR¨[ùNg,Wú‘D§QP{I b R0g eW(1^tNQ…ve?^P:R80 kdY g,Wú‘Wú‘t Nke[ùg,Wú‘@c g vR8N÷h<[evc§ [g (Y y[‘l[ù {, 50 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ Wú‘L–i‘ S bìVaR(Value at Risk)c h {IgemKg,Wú‘—b4vo\W(N÷h<–i SeS —`0[ù–iL*c§R60 7.4.13.1.1.1 QvNN÷h<–i^S ‘SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e S`Wú‘ S`Wú‘D D§Q QlQAN÷P< QlQAN÷P< N§QPyTQvN‘P: Qv&—b÷PT~{— N‘ 125,918,768.38 15.99 8 QvNT yD§ 18,228,606.03 2.31 9 T 787,549,463.63 100.00 8.2 gg+ c LN R |{vhbDT 8.2.1 bTJgg+ c LN R |{vXQ…hbDT ‘SUOM Nl ^ QC S`Wú‘D§QPO ]O\ 9,381,118.79 1.21 R eS 0 OSZ1NPN 31,476,891.00 4.07 S ~üT - - T 643,402,089.22 83.20 {, 53 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ 8.2.2 bTJgg+ c LN R |{vn/bDhbDT lè g,Wú‘,bTJgg+g* c g n/h0 8.3 gg+ c QlQAN÷P 2,423,429.67 3 ^”e6) - 4 ^”e6R)`o 31,724.33 5 ^”e6u3-> 15,441,999.12 6 QvN^”e6k> - 7 _…dJ9( - 8 QvN - 9 T 18,228,606.03 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+ RMSAT hN-N [XW(mAS×–PQ0 {, 64 u Qq80 u  SNlgt^R e°SG~§m÷ 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 7,164 57,128.21 330,953,580.87 80.87% 78,312,906.52 19.13% 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 2,995,182.53 0.7318% 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 >100 èè#c gg, _ e>_ Wú‘ g,Wú‘ú‘t c gg, _ e>_ Wú‘ 50~100 {, 65 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ §10 _ e>_ Wú‘SR¨ SUOM N Wú‘T u eHe 2014^t 5g 6e Wú‘`; 267,739,518.28 g,bTJgg R Wú‘`; 137,391,947.61 g,bTJgg Wú‘;u3- 335,869,928.34 Q:g,bTJgg Wú‘;NN 63,995,388.56 g,bTJgg Wú‘R SR¨N NQ\ N"-"XkR - g,bTJggg+ Wú‘`; 409,266,487.39 {, 66 u Qq80 u  SNlgt^R e°SG~§m÷ 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¨ bTJg Q… 2018^t8g 20e QlSNT}gNfS‰Hu N:QlSRo`;~t gNfS‰Hu ]ò~§ {t NTXR8bD_w QvNT}]òW(N-VR8bDú‘ SOO Y hH0 N NSR¨]ò c vQs‰Y hH0 QlTJ0 2018^t8g R 8QHu bNN-V”Lg –PlSLL0 N NSR¨]òc 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:60000QCNl ^ NRb@]òT g,Wú‘ON5^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 ^SR8 2 722,099,574.95 17.18% 665,698.25 17.17% - l_R8 1 405,165,372.41 9.64% 377,330.43 9.73% - mwR8 2 373,316,279.20 8.88% 344,190.51 8.88% - SNlR8 3 280,050,572.32 6.66% 255,210.75 6.58% - ‰… e" 2 263,310,229.30 6.27% 242,451.75 6.25% - [ VR8 1 259,892,780.65 6.18% 242,034.85 6.24% - {, 67 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ SN[‰R8 2 252,554,301.48 6.01% 235,205.31 6.07% - QtN R8 3 227,034,106.66 5.40% 206,896.84 5.34% - PR8 2 181,268,281.89 4.31% 168,816.26 4.36% - SN”kR8 1 151,579,167.01 3.61% 138,134.60 3.56% - QIY'R8 2 142,589,180.30 3.39% 130,349.42 3.36% - [‰OáR8 2 142,429,234.74 3.39% 132,645.70 3.42% - ”R8 1 135,494,236.95 3.22% 126,186.43 3.26% - N-Oá^úb 3 103,754,448.40 2.47% 94,627.34 2.44% - t^”R8 2 95,477,597.12 2.27% 87,613.13 2.26% - N TR8 2 80,708,505.41 1.92% 73,549.75 1.90% - e°eR8 2 73,373,250.36 1.75% 67,609.78 1.74% - N-”–E 3 64,341,480.37 1.53% 59,920.93 1.55% - N eR8 3 51,063,633.25 1.22% 46,534.41 1.20% - SNR R8 1 35,528,262.71 0.85% 32,377.08 0.84% - N-bR8 1 28,708,559.40 0.68% 26,162.03 0.67% - VQCR8 1 28,526,598.45 0.68% 26,566.38 0.69% - SNR8 1 28,320,699.68 0.67% 25,808.92 0.67% - ‰WR8 1 28,091,844.58 0.67% 26,160.68 0.67% - VlT [‰ 1 22,756,798.30 0.54% 21,193.13 0.55% - `RlR8 1 14,170,515.74 0.34% 13,196.74 0.34% - l u R8 1 10,850,744.59 0.26% 9,888.30 0.26% - VmwR8 1 - - - - - N-‘lS 2 - - - - - N-OáR8 1 - - - - - S NSN 1 - - - - - n$mwR8 1 - - - - - nX"R8 1 - - - - - N T4R8 2 - - - - - VOáR8 1 - - - - - WR8 1 - - - - - VTR8 2 - - - - - V‘R8 1 - - - - - OáR8 1 - - - - - mYUFR8 2 - - - - - ekcR8 2 - - - - - N S R8 1 - - - - - {, 68 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ bUFR8 1 - - - - - ‰èR8 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 ^SR8 2,915.90 74.95% - - - - l_R8 - - - - - - mwR8 974.65 25.05% - - - - SNlR8 - - - - - - ‰… e" - - - - - - [ VR8 - - - - - - SN[‰R8 - - - - - - QtN R8 - - - - - - PR8 - - - - - - SN”kR8 - - - - - - QIY'R8 - - - - - - [‰OáR8 - - - - - - ”R8 - - - - - - N-Oá^úb - - - - - - t^”R8 - - - - - - N TR8 - - - - - - e°eR8 - - - - - - N-”–E - - - - - - N eR8 - - - - - - SNR R8 - - - - - - N-bR8 - - - - - - VQCR8 - - - - - - SNR8 - - - - - - ‰WR8 - - - - - - VlT [‰ - - - - - - `RlR8 - - - - - - {, 69 u Qq80 u  SNlgt^R e°SG~§m÷ 2018^t^t^bTJ l u R8 - - - - - - VmwR8 - - - - - - N-‘lS - - - - - - N-OáR8 - - - - - - S NSN - - - - - - n$mwR8 - - - - - - nX"R8 - - - - - - N T4R8 - - - - - - VOáR8 - - - - - - WR8 - - - - - - VTR8 - - - - - - V‘R8 - - - - - - OáR8 - - - - - - mYUFR8 - - - - - - ekcR8 - - - - - - N S R8 - - - - - - bUFR8 - - - - - - ‰èR8 - - - - - - 11.8 QvN‘'NN ^S÷ QlTJNy l[b—2_ l[b—2g SNlgt^Wú‘ g g P\rLR8 N-VR8b0 N mw 1 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 {, 78 u Qq80 u