华泰柏瑞量化先行混合:2018年年度报告
2019-03-27
华泰柏瑞量化先行混合A
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‘Mnm÷ WR8bDú ‘Wú‘t 0 g,yN x zvu kNNn SNY' [f, MBAkNNVR ]Y'[fO/QKR)R h!Te UF[f–b lè 1.R8NN vT+NIuLN SOO 0 R8NNNN TXD<{t Rl0 vvQs‰0 NLg T yLg c Wú‘t QlSO\QúQ[NKe0 4.2 {t N[ùbTJg Q…g,Wú‘\u‰Oá`Qvf g,bTJg Q… g,Wú‘t NN%hW(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`;N:46,001,988.59QC QbDb_ Se>`;N:1,818,816.74QC0 4.9 {t N[ùO ^ NRb@QúQw—^ Q[bTJb@m‰vQsNyvf lè eà0 4.10 bTJg Q…{t N[ùg,Wú‘ g Nepb Wú‘D§QP 7.4.7.1 115,154,065.72 148,745,477.18 ~{— N‘ 12,366,101.35 5,757,945.84 [XQúO‘ 1,318,569.64 1,178,774.13 N¤ `'‘D§ 7.4.7.2 3,145,644,020.45 3,018,048,335.88 QvN- hbD 3,045,387,020.45 2,888,838,335.88 Wú‘D - - P:R8bD 100,257,000.00 129,210,000.00 D§e/c R8bD - - 5‘^bD - - Mu ‘D§ 7.4.7.3 - - NpQe.‘D§ 7.4.7.4 - - ^”e6R8n {—k> 71,103,089.16 623,623.71 ^”e6R)`o 7.4.7.5 2,308,162.50 1,859,332.91 ^”e6) - - ^”e6u3-> 418,556.88 1,098,653.08 ^b@_— D§ - - QvND§ 7.4.7.6 - - {, 19 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ D§`; 3,348,312,565.70 3,177,312,142.73 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> 11,268,456.52 - ^”NNk> 48,213,685.13 29,976,957.70 ^”N{t Nb‘l 5,033,012.01 4,236,985.49 ^”NbX{9 838,835.32 706,164.26 ^”N U.g R9 - - ^”NN¤ 9( 7.4.7.7 4,746,608.98 2,769,720.35 ^”N¤ 9 - - ^”NR)`o - - ^”NR)m - - ^b@_— P: - - QvNP: 7.4.7.8 587,264.85 512,302.89 P:T 70,687,862.81 38,202,130.69 {, 20 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ b@g gCv [e6Wú‘ 7.4.7.9 2,975,543,651.29 2,094,027,644.79 g*R ‘M)m 7.4.7.10 302,081,051.60 1,045,082,367.25 b@g gCvT 3,277,624,702.89 3,139,110,012.04 P:Tb@g gCv`; 3,348,312,565.70 3,177,312,142.73 lè bTJb*kbe2018^t12g 31e Wú‘QP<1.102QC Wú‘`;2,975,543,651.29N0 7.2 R)mh O N;OS SNlgt^‘ QHLm÷ 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 -1,111,629,600.15 89,353,361.71 1.R)`oe6Qe 5,719,541.55 6,441,671.41 QvN- [Xk>R)`oe6Qe 7.4.7.11 2,096,149.23 2,731,484.09 P:R8R)`oe6Qe 3,224,548.79 973,588.71 D§e/c R8R)`oe6Qe - - NpQe.‘D§e6Qe 398,843.53 2,736,598.61 QvNR)`oe6Qe - - 2.bD6v c_Y1N - XkR -803,208,616.21 146,285,561.47 QvN- hbD6v 7.4.7.12 -861,902,672.49 134,918,721.57 Wú‘D6v - - P:R8bD6v 7.4.7.13 269,910.00 35,046.49 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 58,424,146.28 11,331,793.41 {, 21 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 3.QlQAN÷P 3,772,143,502.74 1,468,055,761.88 5,240,199,264.62 2.Wú‘Nk> -2,890,627,496.24 -945,250,007.83 -3,835,877,504.07 V0 g,g T Wú‘ g NR ‘M)mN§ vWú‘ - -47,820,805.33 -47,820,805.33 P 5,076,895,543.59 5,025,136,008.11 10,102,031,551.70 2.Wú‘Nk> -3,189,156,739.11 -1,871,487,446.25 -5,060,644,185.36 V0 g,g T Wú‘ g NR ‘M)mN§ vWú‘ - -2,292,755,916.75 -2,292,755,916.75 P_ [X~íg –P [ –k!zR– S bì¤-D )`o QqR–32,618,286.68QC N ~fnSNl8S-Y)O ^ NRb@g –PlSfnSNl8S-Y)[W(2010) {,158S÷DTJ0 ~T N-VvO Y hH 0 SNlgt^‘ QHLhWR8bDú‘ú‘ T 0 N2010^t6g 22ekc_ u eH Wú‘T u eHevWú‘`;N:732,677,425.51NWú‘ ‘ QvN-¤-D )`obT 59,138.83NWú‘ g,Wú‘Wú‘t NN:SNlgt^Wú‘t g –PlS Wú‘X{NN:N-V”Lg –PlS0 h9cn2014^tN-VvO N{,104S÷ Ql_ R–R8bDú‘\{t Rl0 SNlgt^‘ QHLhWR8bDú‘2015^t8g 6eQlTJT fT N:SNlgt^‘ QHLm÷ WR8bDú‘ h9cn0 N-SNNl QqTVR8bDú‘0 T0 SNlgt^‘ QHLm÷ WR8bDú‘ú‘ T 0 vg Qs‰ g,Wú‘bD VN:VQ…OlSLN ^ vh0 P:R80 '^ W:]Qw0 gC0 D§e/c R8NSl_l‰ N-VvO QAWú‘DQvN‘]Qw0 g,Wú‘bDT kO N: hD§S`Wú‘D§v60%-95% P:R80 '^ W:]Qw0 gC0 D§e/c R8NSl_l‰ b N-VvO QAWú‘DQvNR8TyS`Wú‘D§v 5%-40%0 QvN- Wú‘ g QhèCv ^ P{I)NSbDR0g eW(N ^tNQ…ve?^P:R8vkOT N ONNWú‘D§QPR)s×5% 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^‘ QHLm÷ 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>0 NpQe.‘D§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 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¤‘ [ùNNlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘D§ c qgQlQAN÷PyTQvN‘P:‘([–E)sl NdJOYb g,LT ~í‘ {, 25 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ ‘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 {, 27 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 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§ u e6Qe0 Su 9( (2)g,Wú‘Wú‘t N [g N÷~b è v~%b g NQ[T Qv ‘MnD N÷QvN ~é (3)g,Wú‘ S_—~b è v"rQ0 ~%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 (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> 115,154,065.72 148,745,477.18 [g [Xk> - - QvN- [Xk>g –PN*g NQ… - - [Xk>g –P-3N*g - - [Xk>g –PN*g NN - - QvN[Xk> - - T 115,154,065.72 148,745,477.18 7.4.7.2 N¤ `'‘D§ SUOM Nl ^ QC g,gg+ yv 2018^t12g 31e {, 30 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ b g, QlQAN÷P< QlQAN÷PR)`o 61,200.57 56,184.81 ^”e6[g [Xk>R)`o - - ^”e6QvN[Xk>R)`o - - ^”e6~{— N‘)`o 6,123.01 2,850.43 ^”e6P:R8R)`o 2,260,969.87 1,799,714.23 ^”e6D§e/c R8R)`o - - ^”e6NpQe.R8R)`o -20,783.58 - ^”e6u3->R)`o - - {, 31 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ ^”e6‘ ~bP [s`o - - QvN 652.63 583.44 T 2,308,162.50 1,859,332.91 7.4.7.6 QvND§ lè eà0 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( 4,746,608.98 2,766,368.27 ”L^ W:^”NN¤ 9( - 3,352.08 T 4,746,608.98 2,769,720.35 7.4.7.8 QvNP: SUOM Nl ^ QC g,gg+ N ^t^g+ yv 2018^t12g 31e 2017^t12g 31e ^”NR8UFN¤ SUQCO‘ - - ^”NN9 177,264.85 112,302.89 c9( 410,000.00 400,000.00 T 587,264.85 512,302.89 7.4.7.9 [e6Wú‘ ‘SUOM Nl ^ QC g,g yv 2018^t1g 1eó018^t12g 31e Wú‘ N &—b N ^t^g+ 2,094,027,644.79 2,094,027,644.79 g,g u3- 3,772,143,502.74 3,772,143,502.74 g,g N N - S÷XkR -2,890,627,496.24 -2,890,627,496.24 - Wú‘R /Nb{—RM - - Wú‘R /Nb{—SR¨N - - g,g u3- - - g,g N N - S÷XkR - - g,gg+ 2,975,543,651.29 2,975,543,651.29 lè u3-+~R)QbN lbQeN NT+lbQúN {, 32 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 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+ 143,220,289.07 901,862,078.18 1,045,082,367.25 g,g R)m -899,131,693.65 -318,854,570.72 -1,217,986,264.37 g,g Wú‘N¤ 169,513,507.70 353,292,246.35 522,805,754.05 N§ vSR¨ep QvN- Wú‘3-> 19,929,950.98 1,448,125,810.90 1,468,055,761.88 Wú‘Nk> 149,583,556.72 -1,094,833,564.55 -945,250,007.83 g,g ]òR ‘M)m -47,820,805.33 - -47,820,805.33 g,gg+ -634,218,702.21 936,299,753.81 302,081,051.60 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 1,776,231.07 2,650,676.16 [g [Xk>R)`oe6Qe - - QvN[Xk>R)`oe6Qe - - ~{— N‘)`oe6Qe 301,013.31 73,735.26 QvN 18,904.85 7,072.67 T 2,096,149.23 2,731,484.09 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¤`; 11,333,002,090.42 2,832,402,335.08 Q SVQúhb g,`; 12,194,904,762.91 2,697,483,613.51 NpSVh]N÷e6Qe -861,902,672.49 134,918,721.57 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: 269,910.00 35,046.49 lP:R8R0g QQN ]N÷e6Qe {, 33 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ P:R8bD6v N]N÷e6Qe - - P:R8bD6v u3-N÷e6Qe - - T 269,910.00 35,046.49 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 133,184,000.00 23,304,053.13 N b N¤`; Q SVQúP:R8 0 P:lP:R8R0 129,388,490.00 22,801,450.00 g QQN b g,`; Q ^”e6R)`o`; 3,525,600.00 467,556.64 NpSVP:R8]N÷e6Qe 269,910.00 35,046.49 7.4.7.13.3 P:R8bD6v N]N÷e6Qe lè eà0 7.4.7.13.4 P:R8bD6v u3-N÷e6Qe lè eà0 7.4.7.13.5 D§e/c R8bD6v lè eà0 7.4.7.14 5‘^bD6v 7.4.7.14.1 5‘^bD6vyvgb lè eà0 7.4.7.14.2 5‘^bD6v NpSV5‘^]N÷e6Qe lè eà0 7.4.7.14.3 5‘^bD6v N]N÷e6Qe lè eà0 7.4.7.14.4 5‘^bD6v u3-N÷e6Qe lè eà0 {, 34 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 7.4.7.15 Mu ]Qwe6v 7.4.7.15.1 Mu ]Qwe6v NpSVgC]N÷e6Qe lè eà0 7.4.7.15.2 Mu ]Qwe6v QvNbD6v lè eà0 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 58,424,146.28 11,331,793.41 Wú‘D§ v)e6v - - T 58,424,146.28 11,331,793.41 7.4.7.17 QlQAN÷PbK~í9 29,458.08 26,610.33 ”L&7g R9 37,200.00 18,000.00 T 476,658.08 444,610.33 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{O\b—2D§P:heT Ny0 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”Lg –PlS( N-V”L ) Wú‘X{N0 Wú‘ U.g:g SNlR8g –PlS( SNlR8 ) Wú‘t Nv 0 Wú‘ U.g:g PineBridge Investment LLC 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 {, 36 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 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 7,239,156,718.51 30.16% 1,635,047,150.73 20.05% 7.4.10.1.2 P:R8N¤ lè eà0 7.4.10.1.3 P:R8V-¤ lè eà0 7.4.10.1.4 gCN¤ lè eà0 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 6,645,828.80 30.09% 1,028,853.10 21.68% N ^t^Skg QsTT y 2017^t1g 1eó017^t12g 31e _Sg S`_Sg Oc‘ S`gg+ ^”NOc gg+ ^”NOc‘Y Oc‘ `;‘kO ‘;vkO SNlR8 1,501,772.93 20.05% 839,440.57 30.34% 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 {, 37 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 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 60,284,685.08 27,419,602.27 v{t 9 QvN- e/N U.g:gv 3,904,469.51 4,229,213.44 [b7~b¤9 lè e/NWú‘t NSNlgt^Wú‘{t Nb‘l RMN eWú‘D§QP<1.50%v^t9c e}/ógg ^ c g e/N0 Qv{—Ql_ N: e{t Nb‘l RMN eWú‘D§QP< X 1.50% / _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 10,047,447.42 4,569,933.75 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< X 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 eà0 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 2010^t6 10,000,600.00 10,000,600.00 g 22e c g vWú‘ g R c g vWú‘ 10,000,600.00 10,000,600.00 g u3-NpQe`;N 0.00 0.00 g VàbR SR¨N 0.00 0.00 Q g N/SVQú`;N 10,000,600.00 0.00 gg+ c g vWú‘ 0.00 10,000,600.00 gg+ c g vWú‘ 0.0000% 0.4776% {, 38 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 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,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 115,154,065.72 1,776,231.07 148,745,477.18 2,650,676.16 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‘TJgg+ SN ^t^g+WGg*SN QsTb R80 7.4.10.7 QvNQsT¤ Nyvf lè eà0 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 0.164 46,001,988.591,818,816.7447,820,805.33 g 27e g 27e T - - 0.164 46,001,988.591,818,816.7447,820,805.33 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 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 N2018^t12g 31e g,Wú‘*c g –dP:0 Y.LyhcnTe?{V`'‘P:NY vP:R8(2017^t12 g 31e T )0 {, 41 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 7.4.13.2.1 c wíg Oáu(~§ y:vP:R8bD SUOM Nl ^ QC g,gg+ N ^t^g+ wíg Oáu(~§ 2018^t12g 31e 2017^t12g 31e A-1 0.0 0.00 A-1NN 0.00 0.00 g*~§ 100,257,000.00 0.00 T 100,257,000.00 0.00 lè g*~§vP:R8S bìe?{V`'‘P:0 P:R8Oáu(~§Sê,N e~§g:gv~§ 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 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 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‘P:R8bDI0 7.4.13.4.1.1 R)s–i^S SUOM Nl ^ QC g,gg+ 1-3 5^t 2018^t12 1N*g NQ… 3N*g -1^t 1-5^t N `o T N*g NN g 31e D§ ”L[Xk> 115,154,065.72 - - - - - 115,154,065.72 ~{— N 12,366,101.35 - - - - - 12,366,101.35 ‘ [XQúO 1,318,569.64 - - - - - 1,318,569.64 ‘ N¤ `'‘ 30,033,000.00 -70,224,000.00 - -3,045,387,020.453,145,644,020.45 D§ ^”e6R8 - - - - - 71,103,089.16 71,103,089.16 n {—k> ^”e6R)`o - - - - - 2,308,162.50 2,308,162.50 ^”e6u3- - - - - - 418,556.88 418,556.88 k> D§`; 158,871,736.71 -70,224,000.00 - -3,119,216,828.993,348,312,565.70 P: ^”NR8 - - - - - 11,268,456.52 11,268,456.52 n {—k> ^”NN - - - - - 48,213,685.13 48,213,685.13 k> ^”N{t - - - - - 5,033,012.01 5,033,012.01 Nb‘l ^”NbX{ - - - - - 838,835.32 838,835.32 9 ^”NN¤ - - - - - 4,746,608.98 4,746,608.98 9( QvNP: - - - - - 587,264.85 587,264.85 P:`; - - - - - 70,687,862.81 70,687,862.81 R)seOa 158,871,736.71 -70,224,000.00 - -3,048,528,966.183,277,624,702.89 ^:S N ^t^g+ 1-3 5^t 2017^t12 1N*g NQ… 3N*g -1^t 1-5^t N `o T N*g NN g 31e D§ ”L[Xk> 148,745,477.18 - - - - - 148,745,477.18 ~{— N 5,757,945.84 - - - - - 5,757,945.84 ‘ [XQúO 1,178,774.13 - - - - - 1,178,774.13 ‘ N¤ `'‘ 49,634,000.00 -79,576,000.00 - -2,888,838,335.883,018,048,335.88 D§ ^”e6R8 - - - - - 623,623.71 623,623.71 n {—k> {, 45 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ ^”e6R)`o - - - - - 1,859,332.91 1,859,332.91 ^”e6u3- - - - - - 1,098,653.08 1,098,653.08 k> D§`; 205,316,197.15 -79,576,000.00 - -2,892,419,945.583,177,312,142.73 P: ^”NN - - - - - 29,976,957.70 29,976,957.70 k> ^”N{t - - - - - 4,236,985.49 4,236,985.49 Nb‘l ^”NbX{ - - - - - 706,164.26 706,164.26 9 ^”NN¤ - - - - - 2,769,720.35 2,769,720.35 9( QvNP: - - - - - 512,302.89 512,302.89 P:`; - - - - - 38,202,130.69 38,202,130.69 R)seOa 205,316,197.15 -79,576,000.00 - -2,854,217,814.893,139,110,012.04 ^: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‘ g vN¤ `'P:R8bDlQAN÷P{I NSbDR0g eW(N ^tNQ…ve?^P:R8vkOT N ONNWú‘D§QPyTQvN‘P: Qv&—b÷PT~{— N‘ 127,520,167.07 3.81 8 QvNT yD§ 75,148,378.18 2.24 9 T 3,348,312,565.70 100.00 8.2 gg+ c LN R |{vhbDT 8.2.1 bTJgg+ c LN R |{vXQ…hbDT ‘SUOM Nl ^ QC S`Wú‘D§QPO ]O\ - - R eS 0 OSZ1NPN 46,996,514.38 1.43 S ~üT - - T 3,045,387,020.45 92.91 {, 50 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ 8.2.2 bTJgg+ c LN R |{vn/bDhbDT lè g,Wú‘,bTJgg+g* /bDh0 8.3 gg+ c QlQAN÷P 71,103,089.16 3 ^”e6) - 4 ^”e6R)`o 2,308,162.50 5 ^”e6u3-> 418,556.88 6 QvN^”e6k> - 7 _…dJ9( - 8 QvN - 9 T 75,148,378.18 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×–P`Q0 {, 59 u Qq75 u SNlgt^‘ QHLm÷ 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 23,962 124,177.60 2,467,338,707.63 82.92% 508,204,943.66 17.08% 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 1,284,206.81 0.0432% 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 {, 60 u Qq75 u SNlgt^‘ QHLm÷ 2018^t^t^bTJ §10 _ e>_ Wú‘SR¨ SUOM N Wú‘T u eHe 2010^t 6g 22e Wú‘`; 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