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DN§T{t N%DN§Tl 2017^t12g 31eRMS_—vWú‘ SNbéc qg[–EpQeN÷{— U. b N2017^tg T NN* N¤ evWú‘QP SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e m;g [Xk> 48,106,508.11 1,728,157.49 [g [Xk> - - QvN- [Xk>g –PN*g NQ… - - [Xk>g –P-3N*g - - [Xk>g –PN*g NN - - QvN[Xk> - - T 48,106,508.11 1,728,157.49 {, 38 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 7.4.7.2 N¤ `'‘D§ SUOM Nl ^ QC g,gg+ yv 2018^t12g 31e b g, QlQAN÷P< QlQAN÷PR)`o 10,299.02 389.89 ^”e6[g [Xk>R)`o - - ^”e6QvN[Xk>R)`o - - ^”e6~{— N‘)`o 1,962.03 181.57 ^”e6P:R8R)`o - 27,663.28 ^”e6D§e/c R8R)`o - - ^”e6NpQe.R8R)`o - - ^”e6u3->R)`o - - ^”e6‘ ~bP [s`o - - QvN 68.75 57.97 T 12,329.80 28,292.71 7.4.7.6 QvND§ SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e Se6fNk> 1,266.20 - T 1,266.20 - 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( 2,669.61 - ”L^ W:^”NN¤ 9( - - T 2,669.61 - {, 40 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 7.4.7.8 QvNP: SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e ^”NN9 557.14 213.37 c9( 210,000.00 210,000.00 T 210,557.14 210,213.37 7.4.7.9 [e6Wú‘ ‘SUOM Nl ^ QC SNlgt^300ETFTA g,g yv 2018^t1g 1eó018^t12g 31e Wú‘ N &—b N ^t^g+ 30,729,688.55 30,729,688.55 g,g u3- 439,207,506.63 439,207,506.63 g,g N N - S÷XkR -20,435,905.26 -20,435,905.26 - Wú‘R /Nb{—RM - - Wú‘R /Nb{—SR¨N - - g,g u3- - - g,g N N - S÷XkR - - g,gg+ 449,501,289.92 449,501,289.92 ‘SUOM Nl ^ QC SNlgt^300ETFTC g,g yv 2018^t1g 1eó018^t12g 31e Wú‘ N &—b N ^t^g+ - - g,g u3- 286,691,293.92 286,691,293.92 g,g N N - S÷XkR -558,759.77 -558,759.77 - Wú‘R /Nb{—RM - - Wú‘R /Nb{—SR¨N - - g,g u3- - - g,g N N - S÷XkR - - g,gg+ 286,132,534.15 286,132,534.15 {, 41 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ lè 1. u3-+~R)Qb0 lbQeN NT+lbQúN 2.h9cn0 QsNSNlgt^lm300N¤ W_ e>_ c epR8bDú‘TWú‘ C|{N^vOe9 Wú‘T vQlTJ0 g,Wú‘2018^t7g 2ee°XC|{N 7.4.7.10 g*R ‘M)m SUOM Nl ^ QC SNlgt^300ETFTA yv ]ò[s°è g*[s°è g*R ‘M)mT N ^t^g+ 20,569,413.30 3,381,177.59 23,950,590.89 g,g R)m -2,191,936.47 -100,893,891.66 -103,085,828.13 g,g Wú‘N¤ 269,609,941.70 -30,842,874.48 238,767,067.22 N§ vSR¨ep QvN- Wú‘3-> 282,227,177.20 -31,658,463.38 250,568,713.82 Wú‘Nk> -12,617,235.50 815,588.90 -11,801,646.60 g,g ]òR ‘M)m -104,104,821.01 - -104,104,821.01 g,gg+ 183,882,597.52 -128,355,588.55 55,527,008.97 SUOM Nl ^ QC SNlgt^300ETFTC yv ]ò[s°è g*[s°è g*R ‘M)mT N ^t^g+ - - - g,g R)m -1,400,376.65 -14,565,226.64 -15,965,603.29 g,g Wú‘N¤ 109,057,329.08 -20,821,386.22 88,235,942.86 N§ vSR¨ep QvN- Wú‘3-> 109,259,018.87 -20,842,131.36 88,416,887.51 Wú‘Nk> -201,689.79 20,745.14 -180,944.65 g,g ]òR ‘M)m -36,783,953.46 - -36,783,953.46 g,gg+ 70,872,998.97 -35,386,612.86 35,486,386.11 7.4.7.11 [Xk>R)`oe6Qe SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12 2017^t1g 1eó017^t12g 31e g 31e m;g [Xk>R)`oe6Qe 194,038.22 144,313.88 [g [Xk>R)`oe6Qe - - QvN[Xk>R)`oe6Qe - - ~{— N‘)`oe6Qe 15,807.38 38,265.65 {, 42 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ QvN 1,417.01 3,005.45 T 211,262.61 185,584.98 7.4.7.12 hbD6v 7.4.7.12.1 hbD6vyvgb SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12 2017^t1g 1eó017^t12g 31 g 31e e hbD6v NpSVh]N÷ 902.57 10,288.00 e6Qe hbD6v N]N÷e6Qe - - hbD6v u3-N÷e6Qe 142,748.77 25,166.27 T 143,651.34 35,454.27 7.4.7.12.2 hbD6v NpSVh]N÷e6Qe SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018 2017^t1g 1eó017^t12 ^t12g 31e g 31e SVQúhb N¤`; 52,518.00 20,473.00 Q SVQúhb g,`; 51,615.43 10,185.00 NpSVh]N÷e6Qe 902.57 10,288.00 7.4.7.12.3 hbD6v N]N÷e6Qe lè eà0 7.4.7.12.4 hbD6v u3-N÷e6Qe SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12 2017^t1g 1eó017^t12g 31 g 31e e u3-ú‘`; 274,950,810.00 28,004,940.00 Q s°‘/Nu3->`; 136,921,149.88 13,565,689.28 Q u3-hb g,`; 137,886,911.35 14,414,084.45 {, 43 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ u3-N÷e6Qe 142,748.77 25,166.27 7.4.7.13 Wú‘D6v SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12g 31 2017^t1g 1eó017^t12g 31 e e SVQú/NWú‘ N¤`; 59,921,508.60 573,400,898.01 Q SVQú/NWú‘ g,`; 63,774,050.13 547,451,026.56 Wú‘D6v -3,852,541.53 25,949,871.45 7.4.7.14 P:R8bD6v 7.4.7.14.1 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: 848.00 356.30 lP:R8R0g QQN ]N÷e6Qe P:R8bD6v N]N÷e6Qe - - P:R8bD6v u3-N÷e6Qe - - T 848.00 356.30 7.4.7.14.2 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 3,388,248.00 440,683.29 N b N¤`; Q SVQúP:R8 0 P:lP:R8R0 3,279,152.00 432,640.40 g QQN b g,`; Q ^”e6R)`o`; 108,248.00 7,686.59 NpSVP:R8]N÷e6Qe 848.00 356.30 {, 44 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 7.4.7.14.3 P:R8bD6v N]N÷e6Qe lè eà0 7.4.7.14.4 P:R8bD6v u3-N÷e6Qe lè eà0 7.4.7.14.5 D§e/c R8bD6v lè eà0 7.4.7.15 5‘^bD6v 7.4.7.15.1 5‘^bD6vyvgb lè eà0 7.4.7.15.2 5‘^bD6v NpSV5‘^]N÷e6Qe lè eà0 7.4.7.15.3 5‘^bD6v N]N÷e6Qe lè eà0 7.4.7.15.4 5‘^bD6v u3-N÷e6Qe lè eà0 7.4.7.16 Mu ]Qwe6v 7.4.7.16.1 Mu ]Qwe6v NpSVgC]N÷e6Qe lè eà0 7.4.7.16.2 Mu ]Qwe6v QvNbD6v SUOM Nl ^ QC g,g e6v‘ N ^t^Skg e6v‘ yv 2018^t1g 1eó018^t12g 31e 2017^t1g 1eó017^t12g 31e VP:g 'D6v - - g 'bD6v - 646,920.00 lè g,bTJg Q… Wú‘D g '/u1Ng,Wú‘u Y'u3- N g 'NVàu3-DdJ l4ff> Wú‘t NbéW( g '4 … O‘v^”[ù{Vue0 T eu1N_Sg g '4 l4e6zeL^sNY t 0 {, 45 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 7.4.7.17 )e6v SUOM Nl ^ QC g,g N ^t^Skg yv 2018^t1g 1eó018^t12g 31 2017^t1g 1eó017^t12g 31 e e hbD§ v)e6v 7,703.80 10,743.30 Wú‘D§ v)e6v 570,174.60 6,168,820.30 T 577,878.40 6,179,563.60 7.4.7.18 QlQAN÷PbK~í9 364.00 316.00 T 210,364.00 210,316.00 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 {, 47 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 7.4.8.2 D§P:heT Ny g,Wú‘Wú‘t NN2019^t3g 13e[TJ2019^t^{,1k!R ~ T b*ó019^t3g 14ekbW( g,Wú‘èQv{°NSNlgt^Wú‘t g –PlSv{°W(QvQhOSc g N c k10NWú‘m>S~ R)0.650QC0 7.4.9 QsTQs| QsTT y N g,Wú‘Qs| SNlgt^Wú‘t g –PlS( SNlgt^ Wú‘t N0 v{°g:g0 Wú‘ U.g:g Wú‘ ) N-V]UF”Lg –PlS( N-V]UF Wú‘X{N0 Wú‘ U.g:g ”L ) 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 SNlgt^lm300N¤ W_ e>_ c epR8 g,Wú‘Wú‘t N{t vQvNWú‘ bDú‘ vh ETF ) lè N sT¤ WGW(kc^8N R VQ… N ,UFN gak>z 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¤`;v kO kO SNlR8 24,950.00 0.02% - - 7.4.10.1.2 gCN¤ lè eà0 {, 48 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 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 23.15 0.02% 18.73 0.70% N ^t^Skg QsTT y 2017^t1g 1eó017^t12g 31e _Sg S`_Sg Oc‘ S`gg+ ^”NOc gg+ ^”NOc‘Y Oc‘ `;‘kO ‘;vkO SNlR8 - - - - lè 1. N c‘^ W:N÷h<~g,Wú‘Wú‘t NN [ùeSOUFxn[ Nbc–d1N-VR8v{° ~{— –P#QlSe6Sv{9~bK9Q y:0 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 129,037.69 96,401.39 v{t 9 QvN- e/N U.g:gv 117,846.87 115,656.41 [b7~b¤9 lè g,Wú‘ú‘"§N-Dvh ETFvè N e6S{t 9 e/NWú‘t NSNlgt^Wú‘{ t Nb‘l RMN eWú‘D§QPOYS_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]UF”L 48,106,508.11 194,038.22 1,728,157.49 144,313.88 lè g,Wú‘”L[Xk>u1Wú‘X{NN-V]UF”LO{ c ”LT N R)s`o0 7.4.10.6 g,Wú‘(b g Q…SN QsTb R8v`Q lè eà0 7.4.10.7 QvNQsT¤ Nyvf lè N2018^t12g 31e g,Wú‘ g 251,680,500Nvh ETFWú‘ S`Qv`;NvkO N:2.32%(2017^t12g 31e g,Wú‘ g 12,495,100Nvh ETFWú‘ S`Qv`;NvkO N:0.25%)0 7.4.11 R)mR ‘MQ 7.4.11.1 SNlgt^300ETFTA ‘SUOM Nl ^ QC k10N s°‘b_ QbDb_ g,g R)mR ‘M ^ gCv Wú‘ Se>`; Se>`; T Y lè –doe S÷ v{°e ~ep {, 51 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 1 2018^t12g 13e 2018^t12g 13 0.630 16,999,468.2910,309,299.25 27,308,767.54 e 2 2018^t11g 1e 2018^t11g 1 0.650 17,046,279.1510,033,099.46 27,079,378.61 e 3 2018^t9g 27e 2018^t9g 27 0.700 13,678,008.5114,321,995.88 28,000,004.39 e 4 2018^t6g 27e 2018^t6g 27 0.800 6,644,847.4615,071,823.01 21,716,670.47 e T 2.780 54,368,603.4149,736,217.60104,104,821.01 SNlgt^300ETFTC ‘SUOM Nl ^ QC k10N s°‘b_ QbDb_ g,g R)mR ‘M ^ gCv Wú‘ Se>`; Se>`; T Y lè –doe S÷ v{°e ~ep 1 2018^t12g 13e 2018^t12g 13e 0.630 2,407,722.1714,648,354.9917,056,077.16 2 2018^t11g 1e 2018^t11g 1e 0.650 17,347,021.55 6,366.6017,353,388.15 3 2018^t9g 27e 2018^t9g 27e 0.700 2,372,340.79 2,147.36 2,374,488.15 T 1.980 22,127,084.5114,656,868.9536,783,953.46 7.4.12 gg+ 2018^t12g 31e g,Wú‘ g vmAS×–PR8 7.4.12.1 Và¤-°S/XSR8Ngg+ c g vmAS×–PR8 lè eà0 7.4.12.2 gg+ c g vfeP\rL{ImAS×–Ph lè eà0 7.4.12.3 gg+ P:R8kcV-¤ N-O\N:bbvP:R8 7.4.12.3.1 ”L^ W:P:R8kcV- lè eà0 {, 52 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 7.4.12.3.2 N¤ b@^ W:P:R8kcV- lè eà0 7.4.13 ‘]Qw–i{t 7.4.13.1 –it e?{VT~~gg g,Wú‘:vh ETFvTWú‘ ‘(N;‰Dvh ETFWú‘s°[ùN ~ékúQv}'[ * Vàkd g,Wú‘N ~éhs° lm300c epvhs°[R vQs0 g,Wú‘–i e6vl4^sNm÷ T WWú‘ P:R8WWú‘ '^ W:Wú‘ g,Wú‘D‘]QwN;‰bìWú‘D hbD P:R8bD g,Wú‘(e^8~%m;R¨N-—b4vN ‘]QwvQsv–i;‰bìOáu(–i mAR¨ `'–i^ W:–i g,Wú‘Wú‘t NNN–it vN;‰h f/N‰S\ NN –i§R6W(–P v VNKQ… Og,Wú‘(–ie6vNKS_— Osv^saN[s° –ie6vvS9‘M v–i6 vvh 0 g,Wú‘Wú‘t N^úzv–it OS|u1 ~~0 R6^0 mAz TbTJ {IVN*e—bb 0 ~~f/c QlSv–it ~~ggS bìcNO N v–it N [YTXO 0 QlS{t \Bv–i c§R6YTXO 0 –it èl_v[èSQlST N Rèè cNO [ù^úzWú‘–it Q…è§ R6|~T~c Qvg eH`'bbg ~# R6^f/c –it vQsv‰àR6^ f/[ù~~LSQv] O\mAz {IvQwOS‰ mAz f/–it v]O\mAz [~‰NT èèNK–it ]O\vQ… [Tz ^ bTJf/[ùmAz v_‰f T°_U ef/–it ]O\v‘‰ N_f/[ù–it ] O\v`;~Tb—2 g,Wú‘Wú‘t N[ùN‘]Qwv–it elN;‰/`'R gT[‘ gvelS O0mKT y–i§ vS_Y10 N[`'R gv‰QúS R$e-–i_Y1vN%‘ ^TQús° |{ –i_Y1v‘^0 N[‘ gv‰QúS h9cng,Wú‘bDh ~T Wú‘D§b@(‘] Qwry_y[v–i‘ c h 0 j!W e^8v‘ bTJ xn[–i_Y1v–PTv^”nOáz ^ SeS—`0[ùT y–iLvwc0 hgTO0 ^v^”Q{V \ –i§R6W(SbS×v VQ… {, 53 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 7.4.13.2 Oáu(–i Oáu(–i/c Wú‘(N¤ N-VàN¤ [ùbKg*\eLT ~# b Wú‘@bDR8NKSLN Qús°0 b~e/NR0gg, `o{I`Q [üú‘D§c_Y1Te6vSS v–i g,Wú‘Wú‘t NW(N¤ RM[ùN¤ [ùbKvDárQLNQER vO00 g,Wú‘”L[Xk> [Xe>W(g,Wú‘bX{NN-V]UF”L VàN ”L[Xk>vQsvOáu(–i ‘'0 g,Wú‘(N¤ b@ LvN¤ WGNN-VR8v{°~{— –P#QlSN:N¤ [ùbK[b R8N¤e6Tk>yn {— –i S'_\ 0 g,Wú‘Wú‘t N^úzNOáu(–it mAz ùbDyOáu({I~§O0gec§R6R8S LNvOáu(–i N ecS bDR ecOáu(–i N2018^t12g 31e g,Wú‘àP:R8bD2017^t12g 31e g,Wú‘*c g –dP:0 Y.Lyhcn Te?{V`'‘P:NY vP:R8)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 lè eà0 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 {, 54 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 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-N j!_ ^&gevmAR¨`'–i g eHO–ú‘ g NR)v0 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‰‰ [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 ~ívvmKTR g g,Wú‘DN[QlSSLvR8^ P_ Wú‘qT c g N [N ^ QlSSLvSmAhN _—…N {, 55 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ ^ QlSSmAhv15% g,Wú‘ u1g,Wú‘Wú‘t N{t vQhèDT c g N [N ^ Ql SSLvSmAh N _—…N ^ QlSSmAhv30%([Qhc qgg Qsc epgb kOL R8bD_ 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§mA feS×–P6N ê1lv`QS‰–Dè7.4.120 kdY g,Wú‘VQúV-‘D§e_ P Qewíg D‘”[ùmAR¨`'—lB QvN –P ,N …ú‘ g vP:R8bDQlQAN÷P<0 g,Wú‘;R¨ bDmAR¨`'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* 5^tN 2018^t12 1N*g NQ… 3N*g -1^t 1-5^t N `o T g N g 31e D§ ”L[Xk> 48,106,508.11 - - - - - 48,106,508.11 ~{— N‘ 5,033,110.05 - - - - - 5,033,110.05 [XQúO‘ 138,897.34 - - - - - 138,897.34 N¤ `'‘ - - - - -772,959,777.95772,959,777.95 D§ ^”e6R8n - - - - - 20,078.13 20,078.13 {—k> ^”e6R)`o - - - - - 12,329.80 12,329.80 ^”e6u3-> - - - - - 942,323.81 942,323.81 QvND§ - - - - - 1,266.20 1,266.20 D§`; 53,278,515.50 - - - -773,935,775.89827,214,291.39 P: ^”NNk> - - - - - 259,049.07 259,049.07 ^”N{t N - - - - - 20,581.24 20,581.24 b‘l ^”NbX{9 - - - - - 4,116.25 4,116.25 ^”N U.g - - - - - 70,098.93 70,098.93 {, 57 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ R9 ^”NN¤ 9 - - - - - 2,669.61 2,669.61 u( QvNP: - - - - - 210,557.14 210,557.14 P:`; - - - - - 567,072.24 567,072.24 R)seOa ^ 53,278,515.50 - - - -773,368,703.65826,647,219.15 :S N ^t^g+ 1-3N* 5^tN 2017^t12 1N*g NQ… 3N*g -1^t 1-5^t N `o T g N g 31e D§ ”L[Xk> 1,728,157.49 - - - - - 1,728,157.49 ~{— N‘ 303,992.71 - - - - - 303,992.71 [XQúO‘ 117,162.71 - - - - - 117,162.71 N¤ `'‘ - -1,277,720.00 - - 51,466,006.74 52,743,726.74 D§ ^”e6R8n - - - - - 611,072.51 611,072.51 {—k> ^”e6R)`o - - - - - 28,292.71 28,292.71 ^”e6u3-> - - - - - 147,394.42 147,394.42 D§`; 2,149,312.91 -1,277,720.00 - - 52,252,766.38 55,679,799.29 P: ^”NNk> - - - - - 787,350.63 787,350.63 ^”N{t N - - - - - 1,629.88 1,629.88 b‘l ^”NbX{9 - - - - - 325.97 325.97 QvNP: - - - - - 210,213.37 210,213.37 P:`; - - - - - 999,519.85 999,519.85 R)seOa ^ 2,149,312.91 -1,277,720.00 - - 51,253,246.53 54,680,279.44 :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 g,Wú‘ g vN¤ `' P:R8bDlQAN÷P{I b R0g eW( N ^tNQ…ve?^P:R8N ONNWú‘D§QPyTQvN‘P: Qv&—b÷ PT~{— N‘ 53,139,618.16 6.42 8 QvNT yD§ 1,114,895.28 0.13 9 T 827,214,291.39 100.00 {, 62 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ 8.2 gg+ c LN R |{vhbDT 8.2.1 bTJgg+ c LN R |{vXQ…hbDT ‘SUOM Nl ^ QC S`Wú‘D§QPO ]O\ - - R eS 0 OSZ1NPN - - S ~üT - - T 325,811.00 0.04 8.2.2 bTJgg+ c LN R |{vn/bDhbDT lè g,Wú‘,bTJg Q…g*c g n/hbD 8.3 gg+ c QlQAN÷P[\E 500 39,860.00 0.00 5 603160 lGvyb 500 39,350.00 0.00 6 000858 N”| m 600 30,528.00 0.00 7 000725 NN e! 7,700 20,251.00 0.00 8 603260 T vxEN 300 13,140.00 0.00 9 601601 N-VY*O 200 5,686.00 0.00 10 601919 N-wc§ 1,000 4,040.00 0.00 11 600048 OR)W0N§ 200 2,358.00 0.00 12 601229 N mw”L 200 2,238.00 0.00 13 600837 mwR8 200 1,760.00 0.00 14 601901 ekcR8 200 1,062.00 0.00 15 601818 QIY'”L 200 740.00 0.00 8.4 bTJg Q…hbDT v‘'SR¨ 8.4.1 }/NpQe‘…úg R Wú‘D§QP<2%b RM20T vhf ~ ‘SUOM Nl ^ QC S`g R Wú‘D§Q ^S÷ hNx hT y g,g }/NpQe‘ P_ Wú‘t m300ETF g –PlS 8.11 bTJgg+g, Wú‘D g '¤ `Qf 8.11.1 bTJgg+g, Wú‘D g ' NTc_vf ~ lè g,Wú‘,bTJgg+g* c g g ' 8.11.2 g,Wú‘D g 'bD?{V lè g,bTJg Q… Wú‘D g '/u1Ng,Wú‘u Y'u3- N g 'NVàu3-DdJ l4ff> Wú‘t NbéW( g '4 … O‘v^”[ù{Vue0 T eu1N_Sg g '4 l4e6zeL^sNY t 0 8.12 bTJgg+g, Wú‘DVP:g '¤ `Qf 8.12.1 g,g VP:g 'D?{V lè g,Wú‘,bTJgg+g* c g VP:g ' 8.12.2 bTJgg+g, Wú‘DVP:g ' NTc_vf ~ lè g,Wú‘,bTJgg+g* c g VP:g ' 8.12.3 g,g VP:g 'DN÷ lè g,Wú‘,bTJgg+g* c g VP:g ' 8.13 bDT bTJ–Dè 8.13.1 g,Wú‘DRMSAT R8vSLN;OSg,g S×R0 gNSY Zv`Qvf {, 66 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ bTJg Q…g,Wú‘vh Wú‘DRMSAT R8vSLN;OSlg v{èèzhH gv N_l g W(bTJ R6eRMN ^tQ…S×R0Ql_ 4# Y Zv0 8.13.2 Wú‘DRMSAT h…úWú‘T ‰vY h^“`Qvf g,Wú‘vh Wú‘DRMSAT hN- lg bD…úWú‘T ‰Y h^“NKY v0 8.13.3 gg+ QvNT yD§gb SUOM Nl ^ QC ^S÷ T y ‘ 1 [XQúO‘ 138,897.34 2 ^”e6R8n {—k> 20,078.13 3 ^”e6) - 4 ^”e6R)`o 12,329.80 5 ^”e6u3-> 942,323.81 6 QvN^”e6k> - 7 _…dJ9( - 8 QvN 1,266.20 9 T 1,114,895.28 8.13.4 gg+ c g vY Nl vSlbP:R8f ~ lè g,Wú‘,bTJgg+g* c g Y Nl vSlbP:R80 8.13.5 gg+ RMSAT hN-[XW(mAS×–PQvf lè b*ó,bTJgg+ g,Wú‘MSAT hN-N [XW(mAS×–P`Q0 {, 67 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ §9 Wú‘ g NOá`o 9.1 gg+ Wú‘ g Nb7epSc g N~g NSUOM N N~§ c g N b7WGc g vWú c g N~g R+ b7ep( ‘ g:gbD N*NbD b7) S``;Nk S``;N c g N c g N O kO SNlg 16,386 27,432.03 382,186,516.82 85.02% 67,314,773.10 14.98% t^300E TFT cA SNlg 168 1,703,169.85 283,152,614.37 98.96% 2,979,919.78 1.04% t^300E TFT cC T 16,540 44,476.05 665,339,131.19 90.44% 70,294,692.88 9.56% lè g:g/N*NbDc g NS``;NkOv{—N- [ùN \^R ~§Wú‘ kOvR k‘(T ê ~§R+vN [ùT ep kOvR k‘(N \^R ~§Wú‘vT ep Ssgg+ Wú‘`; 0 9.2 gg+ Wú‘t NvNNN TXc gg, Wú‘`Q S`Wú‘;N yv N~§R+ c g N`;ep N kO SNlg 248,397.02 0.0553% Wú‘t Nb@g NNN TX t^300ETF c gg, Wú‘ TA SNlg 12,765.24 0.0045% t^300ETF TC 261,162.26 0.0355% T lè Wú‘t NvNNN TXc g Wú‘`Wú‘;NkOv{—N- [ùN \^R ~§Wú‘ kOvR k ‘(T ê§R+vN [ùT ep kOvR k‘(N \^R ~§Wú‘vT ep Ssgg+ Wú‘ `; 0 9.3 gg+ Wú‘t NvNNN TXc gg, _ e>_ Wú‘`;‘:v`Q yv N~§R+ c g Wú‘`;‘ep‘: NN {, 68 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ g,QlS~§{t NTX0 Wú SNlgt^300ETFT 0 ‘Dx zvèè# cA c gg, _ e>_ Wú‘ SNlgt^300ETFT 0 cC T 0 g,Wú‘ú‘t c gg, _ SNlgt^300ETFT 0 e>_ Wú‘ cA SNlgt^300ETFT 0 cC T 0 {, 69 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ §10 _ e>_ Wú‘SR¨ SUOM N SNlgt^300ETFT SNlgt^300ETFT yv cA cC Wú‘T u eHe 2012^t5g 29e Wú‘ 367,019,682.35 - `; g,bTJgg R Wú‘`; 30,729,688.55 - g,bTJgg Wú‘;u3- 439,207,506.63 286,691,293.92 Q:g,bTJgg Wú‘;NN 20,435,905.26 558,759.77 g,bTJgg Wú‘R SR¨N NQ - - \ N"-"XkR g,bTJggg+ Wú‘`; 449,501,289.92 286,132,534.15 lè A|{NSR¨S:N:2018^t1g 1eó018^t12g 31e C|{NSR¨S:N:2018^t7g 2 eó018^t12g 31e0 {, 70 u Qq90 u  SNlgt^lm300ETFT2018^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¨ 2018^t8g 20e QlSNT}gNfS‰Hu N:QlSRo`;~t gNfS‰Hu ]ò~§{t NTX R8bD_w QvNT}]òW(N-VR8bDú‘ SOO Y hH0 N NSR¨]òc vQs‰ [Y hH0 QlTJ0 g,bTJg Wú‘X{NvN èWú‘X{èèeà‘'NNSR¨ 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 N:g,Wú‘vO ^ NRb@N:fnSNl8S-Y)O ^ NRb@ rykfnT O 0 bTJg Q… Wú‘*e9X:Qv[vO ^ NRb@0 g,bTJg Wú‘”e/N~fnSNl8S-Y)O ^ NRb@ ry kfnT O vb‘l:60,000.00QCNl ^ NRb@]òT g,Wú‘ON7^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 N-OáR8 2 98,418,736.43 71.37% 91,658.39 71.37% - {, 71 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ N-‘lS 2 36,602,288.28 26.54% 34,088.16 26.54% - ^s[‰R8 2 2,846,413.00 2.06% 2,650.88 2.06% - SNlR8 2 24,950.00 0.02% 23.15 0.02% - QtN R8 1 - - - - - t^”R8 1 - - - - - mwR8 1 - - - - - VlT [‰ 2 - - - - - VvR8 1 - - - - - VR8 1 - - - - - PR8 3 - - - - - nX"R8 2 - - - - - N mwR8 2 - - - - - r1^úR8 1 - - - - - N QtR8 2 - - - - - N eR8 1 - - - - - ^SR8 4 - - - - - \q‰R8 1 - - - - - u3” V 2 - - - - - SN[R8 1 - - - - - l_R8 2 - - - - - bUFR8 2 - - - - - _R8 1 - - - - - ekcR8 2 - - - - - N-bR8 2 - - - - - [‰OáR8 1 - - - - - N-Oá^úb 2 - - - - - ”R8 2 - - - - - lè 10 béNt R8NpSVvR8~%g:gvh Q QlS^”bé"rQoY} ~%LN:‰ QwY x zv[RvR8QlSSNN x zvg:g T Qvb QvT O\R8UFyu(Wú‘ u(N¤ ^-OM0 QlSbé vcON¤ SUQCvR8UF^”_Sná R Wúg,gaN 1 Qwg v^”vN R~%D< 2 Oá°_Uo Y} g $^teà‘'‰LN: g*S×v{g:g‘'Y Z 3 D‘ Oá‰oY}0 Q…è t ‰ 0 N%h< QwY PeQhvQ…c§R6^ ^vá,Wú‘\^O[v‰B 4 QwY Wú‘\ b@—veH0 [‰QhvgaN N¤ e{&T Nt Wú‘LR8N¤ v—‰^v:Wú‘OQh —bOá`og R 5 QwY x zv[R g Vú[vx zvg:gTN èx zvNTX eQh—b0N:Wú‘ {, 72 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ O[‰mN0 LN `Q0 ^ W:p 0 hR gvx zvbTJSThR0vOá`og R ^v9cnWú‘D vry[‰B cON x zvbTJ0 20 béNt R8NpSVvR8~%g:gvz ^Wú‘t Nh9cn NN h QL[T xn[R8~%g:gvbé0 Wú‘t NN bévR8~%g:g{~N¤ SU QCyu(SOTR8x zvg RSO0 11.7.2 Wú‘u(R8QlSN¤ SUQCLQvNR8bD`Q ‘SUOM Nl ^ QC R8UFT P:R8N¤ P:R8V-¤ gCN¤ Wú‘¤ y S`_Sg S`_Sg P:R8V S`_Sg Wú S`_Sg P:R8 gC b N¤‘ - ‘ b N¤‘ b N¤`;v b N¤‘ b N¤`; b N¤‘ b N¤`; b N¤`; kO vk vk vkO O O N-Oá - - - - - - 533,917,715.36 77.87% R8 N-‘l 2,061,724.38 100.00% - - - - 135,967,340.40 19.83% S ^s[‰ - - - - - - 14,085,286.60 2.05% R8 SNl - - - - - - - - R8 QtN - - - - - - - - R8 t^” - - - - - - - - R8 mw - - - - - - - - R8 VlT - - - - - - - - [‰ Vv - - - - - - - - R8 V - - - - - - - - R8 P - - - - - - - - R8 nX" - - - - - - - - R8 {, 73 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ N mw - - - - - - - - R8 r1^ú - - - - - - - - R8 N Qt - - - - - - - - R8 N e - - - - - - - - R8 ^S - - - - - - - - R8 \q‰ - - - - - - - - R8 u3” - - - - - - - - V SN[ - - - - - - - - R8 l_ - - - - - - - - R8 bUF - - - - - - - - R8 _ - - - - - - - - R8 ekc - - - - - - - - R8 N-b - - - - - - - - R8 [‰Oá - - - - - - - - R8 N-Oá^ú - - - - - - 1,707,190.00 0.25% b ” - - - - - - - - R8 11.8 QvN‘'NN ^S÷ QlTJNy l[b—2_ l[b—2g 1 SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw 2018^t1g 9e X e°~QCg 'g –PlSN: R8b0 R8eb {, 74 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ e× è Wú‘ g:gT e_ Wú‘lb0 [bSSR 9O `à {IN RvQlTJ 2 SNlgt^Wú‘ g g P\rLR8 N-VR8b0 N mw 2018^t1g 12e O0P_ c N-VR8b0 N mw 2018^t6g 23e epR8bDú‘TWú‘P\Y' R8b0 R8eb u3- R T+lble0 [g [bD N RvQlTJ 23 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t6g 25e epR8bDú‘TWú‘6vR R8b0 R8eb {, 76 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ ‘MlTJ 24 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t6g 28e epR8bDú‘TWú‘bYY' R8b0 R8eb u3- T+lble0 [g [ bD {IN RvQlTJ 25 SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw 2018^t6g 28e X N mwr1^ú"{t g –PlS R8b0 R8eb N:e× è Wú‘ g:gT e_ Wú‘lbN RvQlTJ 26 QsNSNlgt^lm300N¤ W_ e> N-VR8b0 N mw 2018^t6g 29e _ c epR8bDú‘TWú‘ R8b0 R8eb R C|{N^vOe9Wú‘T vQlTJ 27 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t6g 29e epR8bDú‘TWú‘|{_ e> R8b0 R8eb e^8u3- N0 lb0 [g [ bDIN RQlTJ 28 SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw 2018^t6g 29e fP\mYl_‘‰Wú‘ U.g –Pl R8b0 R8eb SR e× Wú‘QsN RvQlTJ 29 SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw 2018^t6g 30e SR N¤”LbKg:”Ln S3- R8b0 R8eb S[g [bDK~í9O `àm; R¨vQlTJ 30 SNlgt^Wú‘ g g P\rLR8 N-VR8b0 N mw 2018^t7g 17e O0P_ c N-VR8b0 N mw 2018^t9g 26e epR8bDú‘TWú‘P\Y' R8b0 R8eb u3- R T+lble0 [g [bD N RvQlTJ 48 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t9g 26e epR8bDú‘TWú‘6vR R8b0 R8eb ‘MlTJ 49 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t9g 29e epR8bDú‘TWú‘bYY' R8b0 R8eb u3- T+lble0 [g [ bD {IN RvQlTJ 50 QsNSR N¤”LbKg:”Ln S N-VR8b0 N mw 2018^t9g 29e u3-[g [bDK~í9O R8b0 R8eb `àm;R¨vQlTJ 51 SNlgt^Wú‘sNQN v ^sS( N-VR8b0 N mw 2018^t10g 9e T+yR¨~z)_ N-V”LWú‘ R8b0 R8eb cwe/NN R^v[eN¤ 9O `à m;R¨ 52 SNlgt^Wú‘sNQN v ^sS( N-VR8b0 N mw 2018^t10g 9e T+yR¨~z)_ N-Vl u ”LWú R8b0 R8eb ‘cwe/NN R^v[eN¤ 9 O `àm;R¨ 53 SNlgt^Wú‘ g g P\rLR8 N-VR8b0 N mw 2018^t10g 12e O0P_ c N-VR8b0 N mw 2018^t10g 30e epR8bDú‘TWú‘6vR R8b0 R8eb {, 79 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ ‘MlTJ 58 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t10g 30e epR8bDú‘TWú‘P\Y' R8b0 R8eb u3- R T+lble0 [g [bD N RvQlTJ 59 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t10g 31e epR8bDú‘TWú‘bYY' R8b0 R8eb u3- R T+lble0 [g [bD N RvQlTJ 60 QsNX N-\qR8g –P#QlS N-VR8b0 N mw 2018^t11g 3e N:e× è Wú‘ g:gT e_ R8b0 R8eb Wú‘lb0 [b0 u3-b9 sO `àN RvQlTJ 61 QsNX –3IN[O–ig –P N-VR8b0 N mw 2018^t11g 23e QlSN:e× è Wú‘ g:gT R8b0 R8eb e_ Wú‘lb0 [b0 u3- b9O `àN RvQlTJ 62 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t12g 11e epR8bDú‘TWú‘6vR R8b0 R8eb ‘MlTJ 63 SNlgt^lm300N¤ W_ e>_ c N-VR8b0 N mw 2018^t12g 11e epR8bDú‘TWú‘P\Y' R8b0 R8eb u3- R T+lble0 [g [bD N RvQlTJ 64 QsNX mW3RMmw"Wú‘ U. N-VR8b0 N mw 2018^t12g 12e g –PlSN:e× è Wú‘ g: R8b0 R8eb gT e_ Wú‘lb0 [bSS R 9O `à{IN RvQlTJ 65 SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw 2018^t12g 25e SR ]UF”LWú‘bO `àm;R¨ R8b0 R8eb vQlTJ 66 SNlgt^Wú‘sNQN v ^sS( N-VR8b0 N mw 2018^t12g 25e T+yR¨~z)_ bUF”LvN R8b0 R8eb e/NN R^v[eN¤ 9O `àm; R¨ 67 SNlgt^Wú‘sNX l–3 N-VR8b0 N mw 2018^t12g 27e bD:e× è Wú‘ g:gT R8b0 R8eb e_ Wú‘lb0 [b0 u3- {, 80 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ b9O `àN RvQlTJ 68 SNlgt^Wú‘t g –PlSQsN N-VR8b0 N mw 2018^t12g 28e SR N-VQN ”L9O `àm;R¨ R8b0 R8eb vQlTJ {, 81 u Qq90 u  SNlgt^lm300ETFT2018^t^t^bTJ §12 _qTbDQ{VvQvN‘‰á`o 12.1 bTJg Q…SUN bDc g Wú‘kO0b … 0%v`Q bD |{ bTJg Q… g Wú‘SS `Q bTJgg+ c g Wú‘Q R+ c g Wú‘kO g R u3- N NS` ^S÷ 0b …0%v c g N N N N k eS: g:g 1 20180531-20180731 0.00 60,299,083.45 0.00 60,299,083.45 8.20% 2 20180514-20180801 0.00 64,250,702.46 0.00 64,250,702.46 8.73% 3 20180401-20181019 0.00 142,702,690.97 0.00 142,702,690.97 19.40% N*N - - - - - - - - - - - - - - - N§Tryg –i g,Wú‘TJg Q… SUN g:gc g Wú‘…0%v`_b0 YgN g kO'vbDN V SüèN N_ SmAR¨`'–i SùWú‘§ YN _qT 1 ^g R Nu3 ÷ fP\Nv–i _SSu ]èNe bDS—b4Nu3÷^g R 0 ^ e/Nb fP\N Vv–i 2 Wú‘PW0p N mw^ mfN e°S:l u 199_ Y'N”S^W:1S÷i|17\B 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 {, 83 u Qq90 u