华泰创新动力:2018年年度报告
2019-03-27
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^”e6u3->R)`o - -
^”e6‘ ~bP [s`o - -
QvN 25.19 26.95
T 5,838.59 4,207.06
{, 30 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
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( 292,828.88 230,455.06
”L^ W:^”NN¤ 9( - -
T 292,828.88 230,455.06
7.4.7.8 QvNP:
SUOM Nl ^ QC
g,gg+ N ^t^g+
yv
2018^t12g 31e 2017^t12g 31e
^”NR8UFN¤ SUQCO‘ - -
^”NN9 13.32 4,503.92
c9( 210,000.00 210,000.00
T 210,013.32 214,503.92
7.4.7.9 [e6Wú‘
‘SUOM Nl ^ QC
g,g
yv
2018^t1g 1eó018^t12g 31e
Wú‘ N &—b
N ^t^g+ 119,331,466.42 119,331,466.42
g,g u3- 29,892,640.71 29,892,640.71
g,g N N - S÷XkR -32,431,847.22 -32,431,847.22
- Wú‘R /Nb{—RM - -
Wú‘R /Nb{—SR¨N - -
g,g u3- - -
g,g N N - S÷XkR - -
g,gg+ 116,792,259.91 116,792,259.91
lè u3-+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+ 76,313,600.52 -26,212,449.88 50,101,150.64
g,g R)m -2,592,968.78 -16,992,218.57 -19,585,187.35
{, 31 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
g,g Wú‘N¤
-732,445.78 -2,104,599.11 -2,837,044.89
N§ vSR¨ep
QvN- Wú‘3-> 21,746,716.62 -11,121,088.47 10,625,628.15
Wú‘Nk> -22,479,162.40 9,016,489.36 -13,462,673.04
g,g ]òR ‘M)m - - -
g,gg+ 72,988,185.96 -45,309,267.56 27,678,918.40
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 165,940.34 116,054.79
[g [Xk>R)`oe6Qe - -
QvN[Xk>R)`oe6Qe - -
~{— N‘)`oe6Qe 8,388.68 10,833.78
QvN 949.67 1,287.80
T 175,278.69 128,176.37
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¤`; 554,766,799.86 723,066,515.79
Q SVQúhb g,`; 554,715,162.99 693,520,631.12
NpSVh]N÷e6Qe 51,636.87 29,545,884.67
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:
36.40 3,273.88
lP:R8R0g QQN ]N÷e6Qe
P:R8bD6v N]N÷e6Qe - -
P:R8bD6v u3-N÷e6Qe - -
T 36.40 3,273.88
{, 32 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
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
336.45 174,499.54
N b N¤`;
Q SVQúP:R8 0 P:lP:R8R0
300.00 171,200.00
g QQN b g,`;
Q ^”e6R)`o`; 0.05 25.66
NpSVP:R8]N÷e6Qe 36.40 3,273.88
7.4.7.13.3 P:R8bD6v N]N÷e6Qe
lè g,Wú‘,bTJg Q…eàP:R8bD6v--N]N÷e6Qe0
7.4.7.13.4 P:R8bD6v u3-N÷e6Qe
lè g,Wú‘,bTJg Q…eàP:R8bD6v--u3-N÷e6Qe0
7.4.7.13.5 D§e/c R8bD6v
N§
lè g,Wú‘,bTJg Q…SN ^t^g*bDDe/c R80
7.4.7.14 5‘^bD6v
‘
lè g,Wú‘,bTJg Q…SN ^t^g*bD5 ^0
7.4.7.15 Mu ]Qwe6v
lè g,Wú‘,bTJg Q…g*bDMu ]Qw0
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 1,563,890.83 1,558,495.52
Wú‘D§ v)e6v - -
T 1,563,890.83 1,558,495.52
7.4.7.17 QlQAN÷PbK~í9 3,970.07 5,492.40
”L&7g R9 18,000.00 18,000.00
T 231,970.07 233,492.40
{, 34 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
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
g,Wú‘àD§P:heT Ny0
7.4.9 QsTQs|
QsTT y N g,Wú‘Qs|
SNlgt^Wú‘t g –PlS( SNlgt^
Wú‘t N0 Wú‘èQv{°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 0 Wú‘ U.g:g
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 QsTN Wú‘LvQsT¤ WGW(kc^8N R VQ… qgN ,UFN gak>zv0
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 58,403,183.77 5.35% 149,917,158.27 10.67%
7.4.10.1.2 gCN¤
lè g,Wú‘,bTJg Q…g*sTN¤ SUQCLgCN¤ 0
7.4.10.1.3 ^”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 53,223.48 5.29% 25,930.32 8.86%
N ^t^Skg
QsTT y
2017^t1g 1eó017^t12g 31e
{, 35 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
_Sg S`_Sg Oc‘ S`gg+ ^”NOc
gg+ ^”NOc‘Y
Oc‘ `;‘kO ‘;vkO
SNlR8 136,619.59 10.56% - -
lè 1. N c‘ ^ W:Oc‘{— Nbc–d1N-VR8v{°~{— –P#QlSe6Sv{9
~bK9Q y:0 gCN¤ N Oc‘
2. |{Oc‘Ovg R V bìOc‘6SeN:g,Wú‘OvR8bD zvb gT^ W:Oá`og
R{I0
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
2,171,982.15 2,390,551.12
v{t 9
QvN- e/N U.g:gv
921,218.03 1,093,626.01
[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
361,997.03 398,425.22
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
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
{, 36 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
7.4.10.4 T QsTbD,Wú‘`Q
7.4.10.4.1 bTJg Q…Wú‘t N(Vúg D‘D,Wú‘`Q
NSUOM N
g,g
N ^t^Skg
yv 2018^t1g 1eó018^t12
2017^t1g 1eó017^t12g 31e
g 31e
Wú‘T u eHe 2015^t2
0.00 0.00
g 6e c g vWú‘
g R c g vWú‘ 11,927,394.96 4,848,690.59
g u3-NpQe`;N 0.00 7,078,704.37
g VàbR SR¨N 0.00 0.00
Q g N/SVQú`;N 4,800,000.00 0.00
gg+ c g vWú‘ 7,127,394.96 11,927,394.96
gg+ c g vWú‘
6.1026% 9.9952%
S`Wú‘;NkO
lè 1. g N/SVQú`;NT+lbQúN
2. Wú‘t NbD,Wú‘u(v¤(u3)-N9c qgg,Wú‘Rf Nfv‰bgL0
7.4.10.4.2 bTJgg+ –dú‘t NNKY vQvNQsTbD,Wú‘`Q
lè g,bTJgg+ SN ^t^g+ –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 24,648,685.29 165,940.34 17,493,250.02 116,054.79
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‘,bTJg Q…g*SN QsTb R80
7.4.10.7 QvNQsT¤ Nyvf
g,Wú‘,bTJg Q…eàQvNQsT¤ Ny0
7.4.11 R)mR ‘MQ
lè g,Wú‘,bTJg Q…g*LR)mR ‘M
7.4.12 gg+ 2018^t12g 31e g,Wú‘ g vmAS×–PR8
7.4.12.1 Và¤-°S/XSR8Ngg+ c g vmAS×–PR8
{, 37 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
‘SUOM Nl ^ QC
7.4.12.1.1 S×–PR8|{R+ h
ep‘
R8 R8 b R SmA mAS× ¤- gg+ O0 gg+ gg+ O0P<
SUOM Y lè
Nx T y ¤- e –P{W N÷h< P
[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
{, 39 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
N2018^t12g 31e g,Wú‘*c g N¤ `'P:R8bD2017^t12g 31e g,Wú‘ g v–d
P:0 Y.LyhcnTe?{V`'‘P:NY vP:R8S`Wú‘D§QP ~[W(—^8`QN Nu3÷vY t e_ c§R6Và_ e>u3-
Nj!_ ^&gevmAR¨`'–i g eHO–ú‘ g NR)v0
{, 40 u Qq71 u
SNlgt^R e°R¨R÷ 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 ‘D§T‘P:vR0gg –P g
lè eà0
7.4.13.3.2 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+
1-3N* 3N*g -1 5^tN
2018^t12g 31 1N*g NQ… 1-5^t N `o T
g ^t N
e
D§
”L[Xk> 24,648,685.29 - - - - - 24,648,685.29
~{— N‘ 619,487.90 - - - - - 619,487.90
[XQúO‘ 50,962.91 - - - - - 50,962.91
N¤ `'‘D - - - - -120,252,264.23120,252,264.23
N§
^”e6R8n {— - - - - - 467,822.81 467,822.81
k>
^”e6R)`o - - - - - 5,838.59 5,838.59
^”e6u3-> - - - - - 1,255.03 1,255.03
QvND§ - - - - - - -
D§`; 25,319,136.10 - - - -120,727,180.66146,046,316.76
P:
^”NR8n {— - - - - - 779,976.72 779,976.72
k>
^”NNk> - - - - - 74,863.51 74,863.51
^”N{t Nb - - - - - 186,390.89 186,390.89
‘l
^”NbX{9 - - - - - 31,065.13 31,065.13
^”NN¤ 9( - - - - - 292,828.88 292,828.88
QvNP: - - - - - 210,013.32 210,013.32
P:`; - - - - - 1,575,138.45 1,575,138.45
R)seOa ^: 25,319,136.10 - - - -119,152,042.21144,471,178.31
S
N ^t^g+
1-3N* 3N*g -1 5^tN
2017^t12g 31 1N*g NQ… 1-5^t N `o T
g ^t N
e
D§
”L[Xk> 17,493,250.02 - - - - - 17,493,250.02
~{— N‘ 477,004.64 - - - - - 477,004.64
[XQúO‘ 54,392.29 - - - - - 54,392.29
N¤ `'‘D - - 300.00 - -153,570,628.67153,570,928.67
N§
^”e6R8n {— - - - - - 1,599,902.57 1,599,902.57
k>
^”e6R)`o - - - - - 4,207.06 4,207.06
^”e6u3-> - - - - - 137,804.63 137,804.63
QvND§ - - - - - - -
{, 43 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
D§`; 18,024,646.95 - 300.00 - -155,312,542.93173,337,489.88
P:
^”NR8n {— - - - - - 635,463.27 635,463.27
k>
^”NNk> - - - - - 2,581,359.31 2,581,359.31
^”N{t Nb - - - - - 208,363.95 208,363.95
‘l
^”NbX{9 - - - - - 34,727.31 34,727.31
^”NN¤ 9( - - - - - 230,455.06 230,455.06
QvNP: - - - - - 214,503.92 214,503.92
P:`; - - - - - 3,904,872.82 3,904,872.82
R)seOa ^: 18,024,646.95 - 300.00 - -151,407,670.11169,432,617.06
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 0.000) Vàkd^ W:R)
svSR¨[ùNg,Wú‘D§QPyTQvN‘P: Qv&—b÷PT~{— N‘ 25,268,173.19 17.30
8 QvNT yD§ 525,879.34 0.36
9 T 146,046,316.76 100.00
8.2 gg+ c LN R |{vhbDT
8.2.1 bTJgg+ c LN R |{vXQ…hbDT
‘SUOM Nl ^ QC
S`Wú‘D§QPO ]O\ 1,772,592.70 1.23
R eS 0 OSZ1NPN 5,976,048.00 4.14
S ~üT - -
T 120,252,264.23 83.24
{, 49 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
8.2.2 bTJgg+ c LN R |{vn/bDhbDT
lè g,Wú‘,bTJg Q…g*bD/h0
8.3 gg+ c QlQAN÷P 467,822.81
3 ^”e6) -
4 ^”e6R)`o 5,838.59
5 ^”e6u3-> 1,255.03
{, 57 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
6 QvN^”e6k> -
7 _…dJ9( -
8 QvN -
9 T 525,879.34
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 eà0
{, 58 u Qq71 u
SNlgt^R e°R¨R÷ 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
3,046 38,342.83 22,271,673.91 19.07% 94,520,586.00 80.93%
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
6,834.01 0.0059%
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
0
èè#c gg, _ e>_ Wú‘
g,Wú‘ú‘t c gg, _ e>_ Wú‘ 0
{, 59 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
§10 _ e>_ Wú‘SR¨
SUOM N
Wú‘T u eHe 2015^t 2g 6e Wú‘`; 2,312,980,881.15
g,bTJgg R Wú‘`; 119,331,466.42
g,bTJgg Wú‘;u3- 29,892,640.71
Q:g,bTJgg Wú‘;NN 32,431,847.22
g,bTJgg Wú‘R SR¨N NQ\ N"-"XkR -
g,bTJggg+ Wú‘`; 116,792,259.91
{, 60 u Qq71 u
SNlgt^R e°R¨R÷ 2018^t^t^bTJ
§11‘'NNcíy:
11.1 Wú‘ g NY'O Q
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