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融通领先成长混合(LOF)(161610)公告正文

融通领先成长股票(LOF):2013年第四季度报告

公告日期 2014-01-21 来源 巨潮网

                   融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告融通领先成长股票型证券投资基金(LOF)
        2013 年第 4 季度报告
         2013 年 12 月 31 日
    基金管理人:融通基金管理有限公司
    基金托管人:中国建设银行股份有限公司
    报告送出日期:2014 年 1 月 21 日
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                                         融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告
                                    §1 重要提示
    基金管理人的董事会及董事保证本报告中所载资料不存在虚假记载、误导性陈述或重大遗漏,并对其内容的真实性、准确性和完整性承担个别及连带责任。
    基金托管人中国建设银行股份有限公司根据本基金合同规定,于 2014 年 1 月 17 日复核了本报告中的财务指标、净值表现和投资组合报告等内容,保证复核内容不存在虚假记载、误导性陈述或者重大遗漏。
    基金管理人承诺以诚实信用、勤勉尽责的原则管理和运用基金资产,但不保证基金一定盈利。
    基金的过往业绩并不代表其未来表现。投资有风险,投资者在做出投资决策前应仔细阅读本基金的招募说明书。
    本报告中财务资料未经审计。
    本报告期自 2013 年 10 月 1 日起至 12 月 31 日止。
                                 §2 基金产品概况
    基金简称                                融通领先成长股票(LOF)
    场内简称                                融通领先
    交易代码                                161610
    前端交易代码                            161610
    后端交易代码                            161660
    基金运作方式                            上市契约型开放式(LOF)
    基金合同生效日                          2007 年 4 月 30 日
    报告期末基金份额总额                    3,100,984,958.42 份
                                        本基金主要投资于业绩能持续高速增长的上市公司,
                                        通过积极主动的分散化投资策略,在严格控制风险的投资目标
                                        前提下实现基金资产的持续增长,为基金持有人获取
                                        长期稳定的投资回报。
                                        本基金认为股价上升的主要推动力来自于企业盈利的
                                        不断增长。在中国经济长期高速增长的大背景下,许多
                                        企业在一定时期表现出较高的成长性,但只有符合产
    投资策略                                业结构发展趋势,同时在技术创新、经营模式、品牌、
                                        渠道、成本等方面具有领先优势的企业,才能保持业绩
                                        持续高速成长,而这些企业正是本基金重点投资的目
                                        标和获得长期超额回报的基础。
                                        沪深 300 指数收益率×80%+中信标普全债指数收益率业绩比较基准
                                        ×20%。
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                                            融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告
                                           本基金是较高预期收益较高预期风险的产品,其预期风险收益特征
                                           收益与风险高于混合基金、债券基金与货币市场基金。
    基金管理人                                 融通基金管理有限公司
    基金托管人                                 中国建设银行股份有限公司
                        §3 主要财务指标和基金净值表现3.1 主要财务指标
                                                                                  单位:人民币元
    主要财务指标                               报告期( 2013 年 10 月 1 日 - 2013 年 12 月 31 日 )
    1.本期已实现收益                                                                   16,599,250.42
    2.本期利润                                                                       -163,446,977.38
    3.加权平均基金份额本期利润                                                                -0.0519
    4.期末基金资产净值                                                             2,270,104,444.78
    5.期末基金份额净值                                                                          0.732
    注:1、本期已实现收益指基金本期利息收入、投资收益、其他收入(不含公允价值变动收益)扣除相关费用后的余额,本期利润为本期已实现收益加上本期公允价值变动收益。
    2、本报告所列示的基金业绩指标不包括持有人认购或交易基金的各项费用,计入费用后实际收益水平要低于所列数字。3.2 基金净值表现3.2.1 本报告期基金份额净值增长率及其与同期业绩比较基准收益率的比较
                                                              业绩比较基准
               净值增长率     净值增长率      业绩比较基
    阶段                                                       收益率标准差      ①-③     ②-④
                   ①           标准差②      准收益率③
                                                                  ④
    过去三个月           -6.51%        1.24%            -2.81%             0.90%    -3.70%      0.34%
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                                        融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告3.2.2 自基金转型以来基金累计净值增长率变动及其与同期业绩比较基准收益率变动的比较
                                  §4 管理人报告4.1 基金经理(或基金经理小组)简介
                         任本基金的基金经理期限      证券从
    姓名        职务                                                          说明
                          任职日期      离任日期     业年限
                                                               金融学硕士,具有证券从业资
                                                               格。先后任职于湖北省农业厅、
                                                               闽发证券,2004 年加入招商证
           本基金的      2012 年 8 月                          券股份有限公司研究发展中
    余志勇                                     -          14
           基金经理         10 日                              心,从事房地产行业研究工作。
                                                               2007 年加入融通基金管理有限
                                                               公司,曾任研究部行业研究员、
                                                               行业组长。
    注:任职日期根据基金管理人对外披露的任免日期填写;证券从业年限以从事证券业务相关的工作时间为计算标准。4.2 管理人对报告期内本基金运作遵规守信情况的说明
    本报告期内,本基金管理人严格遵守《证券投资基金法》及其他有关法律法规、《融通领先成长股票型证券投资基金(LOF)基金合同》的规定,本着诚实信用、勤勉尽责的原则管理和运用
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                                        融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告基金资产,在严格控制风险的基础上,为基金持有人谋求最大利益,无损害基金持有人利益的行为,基金投资组合符合有关法律法规的规定及基金合同的约定。4.3 公平交易专项说明4.3.1 公平交易制度的执行情况
    本基金管理人一直坚持公平对待旗下所有投资组合的原则,并制定了相应的制度和流程,在授权、研究、决策、交易和业绩评估等各个环节保证公平交易制度的严格执行。报告期内,本基金管理人严格执行了公平交易的原则和制度。4.3.2 异常交易行为的专项说明
    本基金报告期内未发生异常交易。4.4 报告期内基金的投资策略和运作分析
    2013 年 4 季度资本市场继续演绎结构性行情:一方面由于改革预期有所降温导致传媒、通信和医药等前期强势板块出现调整;另一方面对宏观经济预期趋于悲观,特别是资金紧张和利率上行导致资本市场对信用风险的担忧,以银行和地产为代表的强周期板块继续受压。而以家电、汽车、机械等中游板块受益于良好数据的刺激走势相对强劲,另外军工板块成为新的主题投资热点。
    本基金 4 季度表现一般,主要是基金配置相对均衡,尽管汽车、家电、机械等板块个股表现较好,但也受到金融地产等板块持续走低和传媒医药等板块回调的拖累。4.5 报告期内基金的业绩表现
    本报告期内基金份额净值增长率为-6.51%,同期业绩比较基准收益率为-2.81%。从本季度的投资结果来看,主要的正贡献来自家电、汽车、机械设备、建筑材料等板块中部分个股的超额收益,主要的负贡献来自大金融、传媒、食品饮料的相对超配。
                                §5 投资组合报告5.1 报告期末基金资产组合情况
    序号                项目                    金额(元)             占基金总资产的比例(%)
    1     权益投资                              1,987,476,497.08                           85.34
       其中:股票                            1,987,476,497.08                           85.34
    2     固定收益投资                              102,369,782.50                           4.40
       其中:债券                                102,369,782.50                           4.40
             资产支持证券                                      -                             -
    3     金融衍生品投资                                          -                             -
    4     买入返售金融资产                           99,800,349.70                           4.29
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                                             融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告
       其中:买断式回购的买入返售
                                                                    -                             -
       金融资产
    5     银行存款和结算备付金合计                       113,497,836.74                           4.87
    6     其他资产                                        25,674,941.83                           1.10
    7     合计                                       2,328,819,407.85                          100.005.2 报告期末按行业分类的股票投资组合
                                                                            占基金资产净值比例
    代码                  行业类别                        公允价值(元)
                                                                                    (%)
    A     农、林、牧、渔业                                   17,392,738.65                        0.77
    B     采矿业                                             26,726,216.00                        1.18
    C     制造业                                         1,209,883,234.20                       53.30
    D     电力、热力、燃气及水生产和供应业                   17,485,363.86                        0.77
    E     建筑业                                             34,706,739.20                        1.53
    F     批发和零售业                                                     -                         -
    G     交通运输、仓储和邮政业                                           -                         -
    H     住宿和餐饮业                                                     -                         -
    I     信息传输、软件和信息技术服务业                   297,248,834.15                       13.09
    J     金融业                                           172,207,136.61                         7.59
    K     房地产业                                           43,794,514.70                        1.93
    L     租赁和商务服务业                                   43,455,616.66                        1.91
    M     科学研究和技术服务业                                             -                         -
    N     水利、环境和公共设施管理业                         64,544,003.05                        2.84
    O     居民服务、修理和其他服务业                                       -                         -
    P     教育                                                             -                         -
    Q     卫生和社会工作                                                   -                         -
    R     文化、体育和娱乐业                                 60,032,100.00                        2.64
    S     综合                                                             -                         -
                        合计                          1,987,476,497.08                       87.555.3 报告期末按公允价值占基金资产净值比例大小排序的前十名股票投资明细
                                                                                  占基金资产净值
    序号    股票代码          股票名称         数量(股)       公允价值(元)
                                                                                    比例(%)
    1       300124           汇川技术            2,509,837      146,800,366.13                    6.47
    2       600872           中炬高新            6,666,568       75,798,878.16                    3.34
    3       300017           网宿科技              782,035       66,238,364.50                    2.92
    4       600999           招商证券            5,139,885       65,173,741.80                    2.87
    5       601633           长城汽车            1,582,816       65,164,534.72                    2.87
    6       300145           南方泵业            1,705,573       64,214,823.45                    2.83
    7       002410            广联达             2,007,778       63,245,007.00                    2.79
    8       600633           浙报传媒            2,370,000       60,032,100.00                    2.64
    9       000400           许继电气            1,789,938       55,649,172.42                    2.45
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                                             融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告
    10       002236          大华股份             1,342,069        54,863,780.72                   2.425.4 报告期末按债券品种分类的债券投资组合
    序号               债券品种                     公允价值(元)            占基金资产净值比例(%)
    1     国家债券                                                       -                            -
    2     央行票据                                                       -                            -
    3     金融债券                                          99,370,000.00                          4.38
       其中:政策性金融债                                99,370,000.00                          4.38
    4     企业债券                                                       -                            -
    5     企业短期融资券                                                 -                            -
    6     中期票据                                                       -                            -
    7     可转债                                             2,999,782.50                          0.13
    8     其他                                                           -                            -
    9     合计                                           102,369,782.50                            4.515.5 报告期末按公允价值占基金资产净值比例大小排名的前五名债券投资明细
                                                                                占基金资产净值比
    序号     债券代码       债券名称         数量(张)        公允价值(元)
                                                                                    例(%)
    1        130218        13 国开 18          1,000,000         99,370,000.00                    4.38
    2        113005        平安转债                27,970         2,999,782.50                    0.135.6 报告期末按公允价值占基金资产净值比例大小排名的前十名资产支持证券投资明细
    本基金本报告期末未持有资产支持证券。5.7 报告期末按公允价值占基金资产净值比例大小排名的前五名权证投资明细
    本基金本报告期末未持有权证。5.8 报告期末本基金投资的股指期货交易情况说明5.8.1 报告期末本基金投资的股指期货持仓和损益明细
    本基金本报告期末未持有股指期货。5.8.2 本基金投资股指期货的投资政策
    本基金本报告期未投资股指期货。5.9 报告期末本基金投资的国债期货交易情况说明5.9.1 本期国债期货投资政策
    本基金本报告期未投资国债期货。
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                                           融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告5.9.2 报告期末本基金投资的国债期货持仓和损益明细
      本基金本报告期末未持有国债期货。5.9.3 本期国债期货投资评价
      本基金本报告期未投资国债期货。5.10 投资组合报告附注5.10.1 本基金投资的前十名证券的发行主体报告期内没有被监管部门立案调查,或在报告编制日前一年内受到公开谴责、处罚。5.10.2 本基金投资的前十名股票未超出本基金合同规定的备选股票库。5.10.3 其他资产构成
    序号                  名称                                     金额(元)
    1      存出保证金                                                                  364,119.98
    2      应收证券清算款                                                           22,923,301.63
    3      应收股利                                                                               -
    4      应收利息                                                                  2,358,631.45
    5      应收申购款                                                                    28,888.77
    6      其他应收款                                                                             -
    7      待摊费用                                                                               -
    8      其他                                                                                   -
    9      合计                                                                     25,674,941.835.10.4 报告期末持有的处于转股期的可转换债券明细
      本基金本报告期末未持有处于转股期的可转换债券。5.10.5 报告期末前十名股票中存在流通受限情况的说明
                                          流通受限部分的       占基金资产
    序号       股票代码          股票名称                                      流通受限情况说明
                                            公允价值(元)     净值比例(%)
    1          600633           浙报传媒       60,032,100.00             2.64       非公开发行
                               §6 开放式基金份额变动
                                                                                        单位:份
    报告期期初基金份额总额                                                         3,240,538,063.06
    报告期期间基金总申购份额                                                          43,861,656.75
    减:报告期期间基金总赎回份额                                                      183,414,761.39
    报告期期间基金拆分变动份额                                                                       -
    报告期期末基金份额总额                                                         3,100,984,958.42
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                                       融通领先成长股票型证券投资基金(LOF)2013 年第 4 季度报告
               §7 基金管理人运用固有资金投资本基金情况
    本报告期内基金管理人未运用固有资金投资本基金。
                               §8 备查文件目录8.1 备查文件目录
    (一)中国证监会《关于核准通宝证券投资基金基金份额持有人大会决议的批复》
    (二)《融通领先成长股票型证券投资基金(LOF)基金合同》
    (三)《融通领先成长股票型证券投资基金(LOF)托管协议》
    (四)《融通领先成长股票型证券投资基金(LOF)招募说明书》及其更新
    (五)融通基金管理有限公司业务资格批件和营业执照
    (六)报告期内在指定报刊上披露的各项公告8.2 存放地点
    基金管理人、基金托管人处、深圳证券交易所。8.3 查阅方式
    投资者可在营业时间免费查阅,也可按工本费购买复印件,或登陆本基金管理人网站http://www.rtfund.com 查询。
                                                                     融通基金管理有限公司
                                                                   二〇一四年一月二十一日
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