华泰柏瑞价值增长混合：2018年年度报告
2019-03-27
SNlgt^N÷P_ 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........................................................................................................................... 69
§12 _qTbDQ{VvQvN‘‰á`o.................................................................................................... 76
12.1 bTJg Q…SUN bDc g Wú‘kO0b …0%v`Q........................................ 76
12.2 _qTbDQ{VvQvN‘‰á`o........................................................................................... 76
§13 Y geNv_U................................................................................................................................... 77
13.1 Y geNv_U........................................................................................................................... 77
13.2 [Xe>W0p.................................................................................................................................. 77
13.3 g–e_ .................................................................................................................................. 77
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SNlgt^N÷P_
Wú‘T u eHe 2008^t7g 16e
Wú‘t N SNlgt^Wú‘t g –PlS
Wú‘X{N N-V”Lg –PlS
bTJgg+ Wú‘`; 227,530,764.59N
Wú‘T [X~íg N [g
2.2 Wú‘§Tf
bDh g,Wú‘D W:O0P –Hn
2.4 Oá`ob—2_
g,Wú‘[vOá`ob—2~T y N-VR8b0 N mwR8b0 R8eb
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http://www.huatai-pb.com
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Wú‘t^bTJY nW0p Wú‘t NSWú‘X{NOOb@
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SNlgt^N÷P QbDb_ S ^t^R)mR ‘M
^t^ Y lè
R ~ep `; e>`;
2018 1.3000 15,358,021.45 12,680,507.98 28,038,529.43
2017 1.5000 29,371,097.90 18,478,625.84 47,849,723.74
2016 1.6300 42,850,645.91 17,548,045.24 60,398,691.15
T 4.4300 87,579,765.26 48,707,179.06 136,286,944.32
{, 9 u Qq76 u
SNlgt^N÷P_ 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
{, 10 u Qq76 u
SNlgt^N÷P_ c epWú‘ SNlgt^VO etT |m÷ WR8bDú‘ SN
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[fxUX0 2003^t9
g ó005^t1g NN mw
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TX 2005^t1g ó007
^t2g NN [Wú‘t
g –PlS~§ zv
TX 2007^t2g R QeSN
lgt^Wú‘t g –Pl
S SNx zvTX0 ~§
x zvTX0 Wú‘t R
t 0 2014^t8g wSN
lgt^N÷PW(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 ‰
N;‰eg N%h 7.4.7.1 25,797,646.29 38,235,732.69
~{— N‘ 1,021,705.34 3,830,482.06
[XQúO‘ 141,080.41 264,397.75
N¤ `'‘D§ 7.4.7.2 385,036,597.51 541,842,178.89
QvN- hbD 384,733,721.51 540,757,978.89
Wú‘D - -
P:R8bD 302,876.00 1,084,200.00
D§e/c R8bD - -
5‘^bD - -
Mu ‘D§ 7.4.7.3 - -
NpQe.‘D§ 7.4.7.4 - -
^”e6R8n {—k> - 5,598,449.46
^”e6R)`o 7.4.7.5 11,363.06 10,784.20
^”e6) - -
^”e6u3-> 309,734.60 393,887.72
^b@_— D§ - -
QvND§ 7.4.7.6 - -
{, 20 u Qq76 u
SNlgt^N÷P - -
N¤ `'‘P: - -
Mu ‘P: 7.4.7.3 - -
SVQúV-‘D§k> - -
^”NR8n {—k> - 3,731,696.71
^”NNk> 135,044.01 1,447,692.97
^”N{t Nb‘l 540,882.83 746,476.39
^”NbX{9 90,147.15 124,412.70
^”N U.g R9 - -
^”NN¤ 9( 7.4.7.7 630,725.45 1,819,975.02
^”N¤ 9 - -
^”NR)`o - -
^”NR)m - -
^b@_— P: - -
QvNP: 7.4.7.8 360,128.60 382,369.24
P:T 1,756,928.04 8,252,623.03
{, 21 u Qq76 u
SNlgt^N÷PR)`oe6Qe 7.4.7.11 249,130.38 462,262.09
P:R8R)`oe6Qe 5,572.24 57.03
D§e/c R8R)`oe6Qe - -
NpQe.‘D§e6Qe - -
QvNR)`oe6Qe - -
2.bD6v c_Y1N - XkR -63,941,274.51 19,234,016.41
QvN- hbD6v 7.4.7.12 -68,144,242.22 13,602,662.97
Wú‘D6v - -
P:R8bD6v 7.4.7.13 160,079.65 -
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 4,042,888.06 5,631,353.44
{, 22 u Qq76 u
SNlgt^N÷P 64,678,988.61 82,613,760.75 147,292,749.36
2.Wú‘Nk> -71,284,629.97 -102,057,335.43 -173,341,965.40
V0 g,g T Wú‘ g
NR ‘M)mN§ vWú‘
- -28,038,529.43 -28,038,529.43
P 83,068,980.61 121,916,306.01 204,985,286.62
2.Wú‘Nk> -194,717,469.59 -291,039,883.23 -485,757,352.82
V0 g,g T Wú‘ g
NR ‘M)mN§ vWú‘
- -47,849,723.74 -47,849,723.74
P_ [X~íg –P [ –k!zR– S bì¤-D
‘)`oQqR–l ^ 406,224,705.76QC N ~fnSNl8S-Y)O ^ NRb@g –PlSfnSNl8S-Y)
[W(2008){,109S÷DTJNN0 ~T N-VvO Y hH 0 SNlN÷P{I)NS
bDR0g eW(N ^tNQ…ve?^P:R8vkOT N ONNWú‘D§QP00 N-VR8bDú‘ SOO (NN {y
N-VWú‘ SOO ) v0 R8bDú‘ h8{— Rc _ 000 SNlgt^N÷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 bìQvNT |{^”Nk>y{I0
{, 26 u Qq76 u
SNlgt^N÷PN-S T+vP:R8woeb N k!–doeó-pekbvR)`o SUrìxn¤N:^”e6y
v0 ^”e6k>yTQvN‘P:vvQsN¤ 9(QeR Yxn¤‘
[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¤
QvN‘P:W(c gg xn¤vR)`oe/Qúc [–E)sl{— [–E)slN v~l]_
vR c 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 N:kcep S bìWú‘%m;R¨N§ vg*[s°c_vNSWú‘N¤ N§ vg*[s°
^sQ‘I R gg+ SOR ‘M)mv‘N:gg+g* R ‘M)mN-v]ò[s°è gg+g* R ‘M)mv
g*[s°è N:ep R gg+ SOR ‘M)mv‘N:gg+g* R ‘M)m Ss]ò[s°è vbg*[s°è
R T vOY ~[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.
{, 31 u Qq76 u
SNlgt^N÷P
SUOM Nl ^ QC
g,gg+ N ^t^g+
yv
2018^t12g 31e 2017^t12g 31e
m;g [Xk> 25,797,646.29 38,235,732.69
[g [Xk> - -
QvN- [Xk>g –PN*g NQ… - -
[Xk>g –P-3N*g - -
[Xk>g –PN*g NN - -
QvN[Xk> - -
T 25,797,646.29 38,235,732.69
7.4.7.2 N¤ `'‘D§
SUOM Nl ^ QC
g,gg+
yv
2018^t12g 31e
b g, QlQAN÷P< QlQAN÷PR)`o 5,841.49 8,700.31
^”e6[g [Xk>R)`o - -
^”e6QvN[Xk>R)`o - -
^”e6~{— N‘)`o 505.78 1,896.07
^”e6P:R8R)`o 4,946.05 57.03
^”e6D§e/c R8R)`o - -
^”e6NpQe.R8R)`o - -
^”e6u3->R)`o - -
^”e6‘ ~bP [s`o - -
QvN 69.74 130.79
{, 33 u Qq76 u
SNlgt^N÷P 63,387,523.09 19,226,237.66 82,613,760.75
Wú‘Nk> -73,322,518.65 -28,734,816.78 -102,057,335.43
g,g ]òR ‘M)m -28,038,529.43 - -28,038,529.43
g,gg+ 143,702,346.77 39,328,087.81 183,030,434.58
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 212,693.60 363,963.26
[g [Xk>R)`oe6Qe - -
QvN[Xk>R)`oe6Qe - -
~{— N‘)`oe6Qe 33,328.24 90,506.98
QvN 3,108.54 7,791.85
T 249,130.38 462,262.09
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¤`; 2,497,319,541.73 6,062,009,112.43
Q SVQúhb g,`; 2,565,463,783.95 6,048,406,449.46
NpSVh]N÷e6Qe -68,144,242.22 13,602,662.97
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:
160,079.65 -
lP:R8R0g QQN ]N÷e6Qe
P:R8bD6v N]N÷e6Qe - -
P:R8bD6v u3-N÷e6Qe - -
T 160,079.65 -
{, 35 u Qq76 u
SNlgt^N÷PbK~í9 9,529.63 16,707.28
”L&7g R9 18,000.00 18,000.00
T 387,529.63 414,707.28
7.4.7.21 R èTJ
lè g,Wú‘,bTJg eàR èTJ0
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‘Wú‘t NN2019^t1g 30e[TJ2018^t^{,N k!R ~ T b*ó019^t2g 1ekbW(
g,Wú‘èQv{°NSNlgt^Wú‘t g –PlSv{°W(QvQhOSc g N c k10NWú‘m>S~
R)0.6320QC0
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
{, 38 u Qq76 u
SNlgt^N÷Pz0
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 132,775,094.59 2.69% 3,418,380,068.73 29.02%
7.4.10.1.2 gCN¤
lè g,bTJg SN ^t^Skg g,Wú‘*sTN¤ SUQCg*LgCN¤ 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 121,092.81 2.66% 37,508.21 5.95%
N ^t^Skg
QsTT y
2017^t1g 1eó017^t12g 31e
_Sg S`_Sg Oc‘ S`gg+ ^”NOc
gg+ ^”NOc‘Y
Oc‘ `;‘kO ‘;vkO
SNlR8 3,133,107.97 28.94% - -
lè 1. N c‘^ W:N÷h<~g,Wú‘Wú‘t NN [ùeSOUFxn[ 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 7,540,626.99 11,186,772.74
{, 39 u Qq76 u
SNlgt^N÷POYS_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 25,797,646.29 212,693.60 38,235,732.69 363,963.26
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 SNN ^t^Skg eàW(b g Q…SN QsTb R8v`Q0
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^t2
1 - ^t2g 7 1.3000 15,358,021.4512,680,507.9828,038,529.43
g 7e
e
T - - 1.3000 15,358,021.4512,680,507.9828,038,529.43
7.4.12 gg+ 2018^t12g 31e g,Wú‘ g vmAS×–PR8
7.4.12.1 Và¤-°S/XSR8Ngg+ c g vmAS×–PR8
lè g,Wú‘,bTJgg+ eàVà¤-°S/XSvmAS×–Ph0
7.4.12.2 gg+ c g vfeP\rL{ImAS×–Ph
lè b*ó,bTJgg+ g,Wú‘*c g feP\rL{ImAS×–Ph0
7.4.12.3 gg+ P:R8kcV-¤ N-O\N:bbvP:R8
7.4.12.1.1 ”L^ W:P:R8kcV-
b*ó,bTJgg+ g,Wú‘N”L^ W:P:R8kcV-¤ _bb vSVQúV-R8OY0QC eàP:R8
O\N:(0
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