新闻源 财富源

2019年11月15日 星期五

沈阳机床(000410)公告正文

沈阳机床:2016年第三季度报告全文

公告日期:2016-10-31

                    沈阳机床股份有限公司 2016 年第三季度报告全文




沈阳机床股份有限公司

 2016 年第三季度报告




    2016 年 10 月




                                                              1
                                         沈阳机床股份有限公司 2016 年第三季度报告全文




                         第一节 重要提示


    公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真

实、准确、完整,不存在虚假记载、误导性陈述或者重大遗漏,并承担个别和

连带的法律责任。

    所有董事均已出席了审议本次季报的董事会会议。

    公司负责人关锡友、主管会计工作负责人王淑力及会计机构负责人(会计主

管人员)秦琴声明:保证季度报告中财务报表的真实、准确、完整。




                                                                                   2
                                                                           沈阳机床股份有限公司 2016 年第三季度报告全文




                             第二节 主要财务数据及股东变化

一、主要会计数据和财务指标

公司是否因会计政策变更及会计差错更正等追溯调整或重述以前年度会计数据
□ 是 √ 否

                                       本报告期末                          上年度末               本报告期末比上年度末增减

总资产(元)                                 25,450,350,744.27              22,289,637,179.27                          14.18%

归属于上市公司股东的净资产
                                              1,263,765,090.31               2,059,630,722.96                         -38.64%
(元)

                                                          本报告期比上年同期                               年初至报告期末比上
                                    本报告期                                         年初至报告期末
                                                                 增减                                          年同期增减

营业收入(元)                     1,159,966,077.51                     -12.40%        4,305,658,038.95                -2.96%

归属于上市公司股东的净利润
                                    -354,600,439.26                     -73.87%         -798,325,829.27               -69.73%
(元)

归属于上市公司股东的扣除非经
                                    -360,710,261.49                     -68.69%         -816,487,431.95               -66.32%
常性损益的净利润(元)

经营活动产生的现金流量净额
                                        --                        --                   -1,651,842,201.04               15.37%
(元)

基本每股收益(元/股)                             -0.46                 -70.37%                    -1.04              -70.49%

稀释每股收益(元/股)                             -0.46                 -70.37%                    -1.04              -70.49%

加权平均净资产收益率                           -24.70%                  -15.93%                  -48.08%              -29.04%

                                                                                                                      单位:元

                         项目                                    年初至报告期期末金额                        说明

非流动资产处置损益(包括已计提资产减值准备的冲销部分)                            1,333,186.21

计入当期损益的政府补助(与企业业务密切相关,按照国家统
                                                                              21,783,509.18
一标准定额或定量享受的政府补助除外)

债务重组损益                                                                       278,127.19

除上述各项之外的其他营业外收入和支出                                          -1,326,594.20

减:所得税影响额                                                                  3,669,314.57

     少数股东权益影响额(税后)                                                    237,311.13

合计                                                                          18,161,602.68                    --

对公司根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义界定的非经常性损益项目,以及把《公
开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性损益项目界定为经常性损益的项目,应
说明原因
□ 适用 √ 不适用


                                                                                                                                3
                                                                       沈阳机床股份有限公司 2016 年第三季度报告全文


公司报告期不存在将根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义、列举的非经常性损益
项目界定为经常性损益的项目的情形。


二、报告期末股东总数及前十名股东持股情况表

1、普通股股东和表决权恢复的优先股股东总数及前 10 名股东持股情况表

                                                                                                             单位:股

                                                         报告期末表决权恢复的优先
报告期末普通股股东总数                         155,728                                                             0
                                                         股股东总数(如有)

                                              前 10 名股东持股情况

                                                                     持有有限售条件         质押或冻结情况
   股东名称         股东性质      持股比例         持股数量
                                                                       的股份数量       股份状态          数量

沈阳机床(集团)
                国有法人               30.12%        230,557,743          22,000,000 质押                 114,780,000
有限责任公司

钟振鑫           境内自然人             0.60%            4,594,000

丁宇辉           境内自然人             0.41%            3,121,851

廖晖             境内自然人             0.33%            2,500,000

谢祥泉           境内自然人             0.30%            2,316,771

沈阳市风险投资
                 境内非国有法人         0.27%            2,080,000         2,080,000
公司

郑雪华           境内自然人             0.22%            1,650,600

张丽华           境内自然人             0.20%            1,522,500

李闽鸿           境外自然人             0.15%            1,180,169

潘照军           境外自然人             0.14%            1,093,100

                                       前 10 名无限售条件股东持股情况

                                                                                               股份种类
           股东名称                          持有无限售条件股份数量
                                                                                        股份种类          数量

沈阳机床(集团)有限责任公司                                             208,557,743 人民币普通股         208,557,743

钟振鑫                                                                     4,594,000 人民币普通股           4,594,000

丁宇辉                                                                     3,121,851 人民币普通股           3,121,851

廖晖                                                                       2,500,000 人民币普通股           2,500,000

谢祥泉                                                                     2,316,771 人民币普通股           2,316,771

郑雪华                                                                     1,650,600 人民币普通股           1,650,600

张丽华                                                                     1,522,500 人民币普通股           1,522,500

李闽鸿                                                                     1,180,169 人民币普通股           1,180,169

潘照军                                                                     1,093,100 人民币普通股           1,093,100


                                                                                                                        4
                                                                 沈阳机床股份有限公司 2016 年第三季度报告全文


刘为革                                                                876,600 人民币普通股           876,600

                               1、公司持股 5%以上(含 5%)的股东仅沈阳机床(集团)有限责任公司一家,是本公
                               司的控股股东,关联属性为控股母公司,所持股份性质为国有法人股。2、公司前十名
上述股东关联关系或一致行动的
                               股东与本公司控股股东不存在关联关系。3、公司未知其他流通股股东是否属于《上市
说明
                               公司股东持股变动信息披露管理办法》中规定的一致行动人,也未知其他流通股股东之
                               间是否存在关联关系。

前 10 名普通股股东参与融资融券 潘照军通过融资融券持有公司股票 1,093,100 股,谢祥泉通过融资融券持有公司股票
业务情况说明(如有)           2,315,871 股

公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内是否进行约定购回交易
□ 是 √ 否
公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内未进行约定购回交易。


2、优先股股东总数及前 10 名优先股股东持股情况表

□ 适用 √ 不适用




                                                                                                               5
                                                                沈阳机床股份有限公司 2016 年第三季度报告全文




                                      第三节 重要事项

一、报告期主要会计报表项目、财务指标发生变动的情况及原因

√ 适用 □ 不适用
                                                                                                    单位:元

          报表项目          期末余额          期初余额           变动比率                变动原因

 货币资金                 3,359,216,728.34   2,511,768,452.56        33.74%   资金结算量增加所致
 应收票据                  468,433,673.27     704,172,423.17        -33.48%   收到的票据减少所致
 一年内到期的非流动资产     85,012,792.24        7,241,636.14      1073.94%   融资租赁业务增加所致
 长期应收款                161,365,629.95      56,422,658.26        185.99%   融资租赁业务增加所致
 可供出售金融资产           16,353,626.84        6,353,626.84       157.39%   新增对外投资所致
 开发支出                  211,334,043.72     115,311,361.72         83.27%   研发投入增加所致
 长期待摊费用                 5,962,087.21       3,130,385.06        90.46%   大修等待摊性费用增加所致
 应付票据                 2,947,410,322.00   2,024,500,000.00        45.59%   票据结算量增加所致
 预收款项                  399,169,862.07     259,683,729.64         53.71%   客户预付款增加所致
 应交税费                  -261,044,966.61     -57,497,672.03      -354.01%   增值税进项留抵增加所致
 应付利息                   48,750,000.00      73,125,000.00        -33.33%   支付债券利息所致
                                                                              一年内到期的长期借款增加所
 一年内到期的非流动负债   2,063,627,204.01    489,571,587.74        321.52%
                                                                              致
 其他综合收益                 3,371,808.67       1,999,432.64        68.64%   利率波动所致
 未分配利润                -886,613,254.84     -88,287,425.57      -904.24%   利润减少所致
 营业税金及附加               8,139,831.29     13,041,775.91        -37.59%   城建税等减少所致
 资产减值损失              248,301,392.48     145,446,444.44         70.72%   坏账准备增加所致
 投资收益                      -356,334.97      -1,709,217.01        79.15%   联营企业亏损减少所致
 利润总额                  -873,433,430.80    -499,819,199.82       -74.75%   利润减少所致
 所得税费用                 -59,585,180.85     -28,229,279.17      -111.08%   利润减少所致
 净利润                    -813,848,249.95    -471,589,920.65       -72.58%   利润减少所致
 收到的税费返还             15,177,963.10      22,611,899.45        -32.88%   收到的出口退税减少所致
 收到其他与经营活动有关
                            33,361,026.08      76,186,124.91        -56.21%   利息收入等减少所致
 的现金
 支付的各项税费            117,960,120.94     202,958,127.52        -41.88%   支付的增值税等减少所致
 购建固定资产、无形资产
 和其他长期资产支付的现    479,056,353.43      29,076,995.61       1547.54%   固定资产采购支出增加所致
 金
 处置固定资产、无形资产
 和其他长期资产收回的现                            60,350.00       -100.00%   本期处置固定资产减少所致
 金净额
 投资支付的现金             10,000,000.00                           100.00%   对外投资增加所致
 吸收投资收到的现金                            16,590,121.90       -100.00%   本期收到投资减少所致

                                                                                                          6
                                                                           沈阳机床股份有限公司 2016 年第三季度报告全文


 收到其他与筹资活动有关
                                 133,000,008.68         200,000,000.00          -33.50%     融资租赁业务减少所致
 的现金
 支付其他与筹资活动有关
                                 131,598,203.75            79,370,931.95          65.80%    支付的融资租赁款增加所致
 的现金



二、重要事项进展情况及其影响和解决方案的分析说明

√ 适用 □ 不适用
1.公司非公开发行股票方案于2016年4月17日经公司7届18次董事会审议通过。2016年8月25日公司2016年第二次临时股东大
会审议通过非公开发行方案。目前公司正在积极准备向中国证监会的报送材料。
2.2016年5月12日,公司披露公司控股股东及部分董事、监事因在昆明机床股权转让中涉及重大信息披露遗漏,遭到证监会
调查。2016年9月23日,公司控股股东及部分董事、监事收到中国证监会的《行政处罚事先告知书》。日前,公司控股股东
已向中国证监会提出陈述、申辩和举行听证会的请求。公司将及时披露相关进展情况。

             重要事项概述                              披露日期                            临时报告披露网站查询索引

                                        2016 年 04 月 18 日                         巨潮资讯网

非公开发行股票                          2016 年 08 月 09 日                         巨潮资讯网

                                        2016 年 08 月 25 日                         巨潮资讯网

                                        2016 年 05 月 12 日                         巨潮资讯网
控股股东及部分董事、监事被证监会调
                                        2016 年 05 月 13 日                         巨潮资讯网

                                        2016 年 09 月 23 日                         巨潮资讯网


三、公司、股东、实际控制人、收购人、董事、监事、高级管理人员或其他关联方在报告期
内履行完毕及截至报告期末尚未履行完毕的承诺事项

√ 适用 □ 不适用

            承诺事由                 承诺方        承诺类型        承诺内容         承诺时间        承诺期限    履行情况

股改承诺

收购报告书或权益变动报告书中所
作承诺

资产重组时所作承诺

                                                                 1、对于本公                                   承诺做出后,
                                                                 司控制或拥                                    沈机集团一
                                                                 有实际控制                                    直积极寻找
                                                                 权的从事机                                    合适的解决
                                 沈阳机床(集
                                                  避免同业竞     床业务的非       2013 年 01 月                方案,力争妥
首次公开发行或再融资时所作承诺 团)有限责任                                                       60 个月
                                                  争承诺         上市公司,力 01 日                            善解决同业
                                 公司
                                                                 争自 2016 年 1                                竞争问题。根
                                                                 月 1 日起 24                                  据原避免同
                                                                 个月内,通过                                  业竞争的承
                                                                 非上市公司                                    诺,沈机集团


                                                                                                                              7
        沈阳机床股份有限公司 2016 年第三季度报告全文


资产出售、资                          可以将其控
产注入、由沈                          制或拥有实
阳机床协议                            际控制权的
托管及其他                            从事机床业
有利于上市                            务的非上市
公司全体股                            公司的资产
东利益的方                            注入上市公
式,本着促进                          司或交于上
上市公司健                            市公司托管。
康发展及有                            截止目前,上
利于上市公                            述企业尚不
司全体股东                            具备良好的
利益的原则,                          盈利能力及
积极研究、多                          经营业绩,该
措并举,妥善                          部分权益或
解决同业竞                            资产尚不具
争问题。2、                           备注入沈阳
对于沈机集                            机床或由沈
团昆明机床                            阳机床实施
股份有限公                            托管的条件,
司,本公司力                          如强行注入
争自 2013 年 1                        或实施托管,
月 1 日起 60                          可能会导致
个月内,依据                          沈阳机床经
国家及相关                            营风险、财务
地区法律法                            风险和管理
规的规定及                            风险提高,给
行业主管部                            沈阳机床带
门的批复同                            来较大负担,
意,通过适当                          不符合上市
的方式消除                            公司全体股
同业竞争。                            东的利益。因
                                      此,沈机集团
                                      经审慎分析,
                                      认为在现阶
                                      段履行原承
                                      诺不利于维
                                      护沈阳机床
                                      的权益。鉴于
                                      上述情况,沈
                                      机集团认为,
                                      解决其下属
                                      非上市企业
                                      中机床产品


                                                     8
沈阳机床股份有限公司 2016 年第三季度报告全文


                              的生产与销
                              售的同业竞
                              争问题,需本
                              着符合国企
                              改革的方针
                              政策,有利于
                              上市公司的
                              发展,有利于
                              上市公司公
                              众股东的利
                              益的原则,成
                              熟制定、稳妥
                              推进。沈机集
                              团将继续对
                              该部分权益
                              或资产进行
                              整合,努力提
                              高其盈利能
                              力,改善经营
                              业绩,以期为
                              解决同业竞
                              争问题提供
                              可能性。2015
                              年 12 月 30 日
                              公司召开
                              2015 年第 7 次
                              临时股东大
                              会,审议通过
                              了《关于公司
                              控股股东沈
                              阳机床(集
                              团)有限责任
                              公司变更避
                              免同业竞争
                              承诺的议案》
                              对于沈机集
                              团控制或拥
                              有实际控制
                              权的从事机
                              床业务的非
                              上市公司,力
                              争自 2016 年 1
                              月 1 日起 24
                              个月内,通过


                                               9
                                                                沈阳机床股份有限公司 2016 年第三季度报告全文


                                                                                                 非上市公司
                                                                                                 资产出售、资
                                                                                                 产注入、由沈
                                                                                                 阳机床协议
                                                                                                 托管及其他
                                                                                                 有利于上市
                                                                                                 公司全体股
                                                                                                 东利益的方
                                                                                                 式,本着促进
                                                                                                 上市公司健
                                                                                                 康发展及有
                                                                                                 利于上市公
                                                                                                 司全体股东
                                                                                                 利益的原则,
                                                                                                 积极研究、多
                                                                                                 措并举,妥善
                                                                                                 解决同业竞
                                                                                                 争问题。

股权激励承诺

其他对公司中小股东所作承诺

承诺是否按时履行               是


四、对 2016 年度经营业绩的预计

预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生大幅度变动的警示及原因说明
□ 适用 √ 不适用


五、证券投资情况

□ 适用 √ 不适用
公司报告期不存在证券投资。


六、衍生品投资情况

□ 适用 √ 不适用
公司报告期不存在衍生品投资。


七、报告期内接待调研、沟通、采访等活动登记表

□ 适用 √ 不适用
公司报告期内未发生接待调研、沟通、采访等活动。




                                                                                                              10
                                                                   沈阳机床股份有限公司 2016 年第三季度报告全文


八、违规对外担保情况

□ 适用 √ 不适用
公司报告期无违规对外担保情况。


九、控股股东及其关联方对上市公司的非经营性占用资金情况

□ 适用 √ 不适用
公司报告期不存在控股股东及其关联方对上市公司的非经营性占用资金。




                                                                                                             11
                                                             沈阳机床股份有限公司 2016 年第三季度报告全文




                                     第四节 财务报表

一、财务报表

1、合并资产负债表

编制单位:沈阳机床股份有限公司
                                       2016 年 09 月 30 日
                                                                                                   单位:元

                 项目                       期末余额                               期初余额

流动资产:

    货币资金                                           3,359,216,728.34                  2,511,768,452.56

    结算备付金

    拆出资金

    以公允价值计量且其变动计入当期
损益的金融资产

    衍生金融资产

    应收票据                                            468,433,673.27                     704,172,423.17

    应收账款                                           7,826,005,499.57                  7,909,868,640.16

    预付款项                                            496,461,151.82                     405,981,711.03

    应收保费

    应收分保账款

    应收分保合同准备金

    应收利息

    应收股利

    其他应收款                                           50,826,624.66                        43,493,884.77

    买入返售金融资产

    存货                                               9,005,520,661.91                  7,017,173,708.17

    划分为持有待售的资产

    一年内到期的非流动资产                               85,012,792.24                         7,241,636.14

    其他流动资产

流动资产合计                                         21,291,477,131.81                  18,599,700,456.00

非流动资产:

    发放贷款及垫款



                                                                                                         12
                                           沈阳机床股份有限公司 2016 年第三季度报告全文


    可供出售金融资产                    16,353,626.84                      6,353,626.84

    持有至到期投资

    长期应收款                         161,365,629.95                     56,422,658.26

    长期股权投资                        13,264,108.34                     13,620,443.31

    投资性房地产

    固定资产                          2,055,823,248.05                 1,830,935,010.50

    在建工程                           325,466,326.65                    298,082,045.73

    工程物资

    固定资产清理

    生产性生物资产

    油气资产

    无形资产                          1,029,294,360.22                 1,093,769,841.79

    开发支出                           211,334,043.72                    115,311,361.72

    商誉

    长期待摊费用                          5,962,087.21                     3,130,385.06

    递延所得税资产                     340,010,181.48                    272,311,350.06

    其他非流动资产

非流动资产合计                        4,158,873,612.46                 3,689,936,723.27

资产总计                             25,450,350,744.27                22,289,637,179.27

流动负债:

    短期借款                          9,581,213,011.00                 8,460,000,000.00

    向中央银行借款

    吸收存款及同业存放

    拆入资金

    以公允价值计量且其变动计入当期
                                        28,485,000.00
损益的金融负债

    衍生金融负债

    应付票据                          2,947,410,322.00                 2,024,500,000.00

    应付账款                          2,682,793,951.51                 2,631,917,267.85

    预收款项                           399,169,862.07                    259,683,729.64

    卖出回购金融资产款

    应付手续费及佣金

    应付职工薪酬                        67,868,461.78                     68,538,341.46

    应交税费                           -261,044,966.61                   -57,497,672.03




                                                                                     13
                                   沈阳机床股份有限公司 2016 年第三季度报告全文


    应付利息                    48,750,000.00                     73,125,000.00

    应付股利                      8,577,971.76                     8,577,971.76

    其他应付款                 114,671,740.95                    130,471,843.64

    应付分保账款

    保险合同准备金

    代理买卖证券款

    代理承销证券款

    划分为持有待售的负债

    一年内到期的非流动负债    2,063,627,204.01                   489,571,587.74

    其他流动负债

流动负债合计                 17,681,522,558.47                14,088,888,070.06

非流动负债:

    长期借款                  4,434,310,491.38                 4,016,096,000.00

    应付债券                  1,500,000,000.00                 1,500,000,000.00

      其中:优先股

               永续债

    长期应付款                 193,408,697.81                    236,825,246.75

    长期应付职工薪酬

    专项应付款

    预计负债                    17,695,904.38                     17,695,904.38

    递延收益                   175,529,156.19                    170,844,649.58

    递延所得税负债

    其他非流动负债

非流动负债合计                6,320,944,249.76                 5,941,461,800.71

负债合计                     24,002,466,808.23                20,030,349,870.77

所有者权益:

    股本                       765,470,884.00                    765,470,884.00

    其他权益工具

      其中:优先股

               永续债

    资本公积                  1,246,261,202.33                 1,246,261,193.65

    减:库存股

    其他综合收益                  3,371,808.67                     1,999,432.64

    专项储备                    22,007,238.75                     20,919,426.84



                                                                             14
                                                                   沈阳机床股份有限公司 2016 年第三季度报告全文


    盈余公积                                                   113,267,211.40                    113,267,211.40

    一般风险准备

    未分配利润                                                -886,613,254.84                       -88,287,425.57

归属于母公司所有者权益合计                                    1,263,765,090.31                 2,059,630,722.96

    少数股东权益                                               184,118,845.73                    199,656,585.54

所有者权益合计                                                1,447,883,936.04                 2,259,287,308.50

负债和所有者权益总计                                      25,450,350,744.27                   22,289,637,179.27


法定代表人:关锡友                     主管会计工作负责人:王淑力                        会计机构负责人:秦琴


2、母公司资产负债表

                                                                                                          单位:元

                   项目                            期末余额                              期初余额

流动资产:

    货币资金                                                  3,061,987,476.08                 1,893,405,260.62

    以公允价值计量且其变动计入当期损
益的金融资产

    衍生金融资产

    应收票据                                                   452,242,424.92                    700,311,513.72

    应收账款                                                  3,636,252,781.46                 4,195,307,546.38

    预付款项                                                   340,080,430.98                    312,336,204.03

    应收利息

    应收股利                                                   181,312,334.00                    181,312,334.00

    其他应收款                                                5,337,802,960.26                 4,169,016,591.70

    存货                                                      5,874,023,523.73                 4,188,376,076.04

    划分为持有待售的资产

    一年内到期的非流动资产

    其他流动资产

流动资产合计                                              18,883,701,931.43                   15,640,065,526.49

非流动资产:

    可供出售金融资产                                            16,353,626.84                        6,353,626.84

    持有至到期投资

    长期应收款

    长期股权投资                                               667,390,705.25                    649,747,040.22

    投资性房地产


                                                                                                                15
                                             沈阳机床股份有限公司 2016 年第三季度报告全文


    固定资产                            1,151,194,044.01                 1,229,967,350.30

    在建工程                             298,378,685.28                    289,324,688.44

    工程物资

    固定资产清理

    生产性生物资产

    油气资产

    无形资产                             701,226,522.49                    759,805,804.99

    开发支出                             164,750,827.68                     93,676,951.53

    商誉

    长期待摊费用                            1,348,003.26                     1,944,630.88

    递延所得税资产                       236,770,218.72                    179,270,034.20

    其他非流动资产

非流动资产合计                          3,237,412,633.53                 3,210,090,127.40

资产总计                               22,121,114,564.96                18,850,155,653.89

流动负债:

    短期借款                            8,744,313,011.00                 7,570,000,000.00

    以公允价值计量且其变动计入当期损
                                          28,485,000.00
益的金融负债

    衍生金融负债

    应付票据                            2,609,430,322.00                 1,587,580,000.00

    应付账款                            1,799,976,738.64                 1,572,761,357.39

    预收款项                             203,835,996.92                    192,101,706.65

    应付职工薪酬                          45,257,576.39                     48,282,430.14

    应交税费                             -159,430,703.43                   -19,077,477.50

    应付利息                              48,750,000.00                     73,125,000.00

    应付股利                                8,577,971.76                     8,577,971.76

    其他应付款                            46,627,930.14                     80,899,920.51

    划分为持有待售的负债

    一年内到期的非流动负债              1,786,870,576.36                   486,558,617.06

    其他流动负债

流动负债合计                           15,162,694,419.78                11,600,809,526.01

非流动负债:

    长期借款                            4,247,246,000.00                 3,815,246,000.00

    应付债券                            1,500,000,000.00                 1,500,000,000.00




                                                                                       16
                                                 沈阳机床股份有限公司 2016 年第三季度报告全文


      其中:优先股

               永续债

    长期应付款                                93,234,541.01                      203,811,409.47

    长期应付职工薪酬

    专项应付款

    预计负债                                  17,695,904.38                       17,695,904.38

    递延收益                                 152,927,441.17                      153,163,384.44

    递延所得税负债

    其他非流动负债

非流动负债合计                              6,011,103,886.56                 5,689,916,698.29

负债合计                                   21,173,798,306.34                17,290,726,224.30

所有者权益:

    股本                                     765,470,884.00                      765,470,884.00

    其他权益工具

      其中:优先股

               永续债

    资本公积                                1,248,301,275.48                 1,248,301,266.80

    减:库存股

    其他综合收益

    专项储备                                  12,862,454.22                       12,046,953.15

    盈余公积                                  113,267,211.40                     113,267,211.40

    未分配利润                             -1,192,585,566.48                  -579,656,885.76

所有者权益合计                               947,316,258.62                  1,559,429,429.59

负债和所有者权益总计                       22,121,114,564.96                18,850,155,653.89


3、合并本报告期利润表

                                                                                       单位:元

                 项目         本期发生额                            上期发生额

一、营业总收入                         1,159,966,077.51                      1,324,194,607.05

    其中:营业收入                     1,159,966,077.51                      1,324,194,607.05

           利息收入

           已赚保费

           手续费及佣金收入

二、营业总成本                         1,539,500,318.12                      1,557,374,426.84



                                                                                             17
                                               沈阳机床股份有限公司 2016 年第三季度报告全文


    其中:营业成本                    925,509,721.26                         960,909,087.89

             利息支出

             手续费及佣金支出

             退保金

             赔付支出净额

             提取保险合同准备金净额

             保单红利支出

             分保费用

             营业税金及附加              1,877,511.98                          1,776,639.04

             销售费用                 196,608,177.54                         175,941,370.61

             管理费用                 135,286,373.07                         114,076,711.74

             财务费用                 207,253,354.05                         236,972,551.40

             资产减值损失              72,965,180.22                          67,698,066.16

    加:公允价值变动收益(损失以
                                         -320,000.00
“-”号填列)

         投资收益(损失以“-”号填
                                              918.49                            -385,470.33
列)

             其中:对联营企业和合营
                                              918.49                            -385,470.33
企业的投资收益

         汇兑收益(损失以“-”号填
列)

三、营业利润(亏损以“-”号填列)    -379,853,322.12                       -233,565,290.12

    加:营业外收入                       9,182,111.44                         15,038,042.70

         其中:非流动资产处置利得         209,598.96                              59,058.83

    减:营业外支出                       1,547,161.48                          3,207,703.92

         其中:非流动资产处置损失          11,162.88                              43,201.12

四、利润总额(亏损总额以“-”号填
                                      -372,218,372.16                       -221,734,951.34
列)

    减:所得税费用                     -14,849,594.03                        -16,383,348.53

五、净利润(净亏损以“-”号填列)    -357,368,778.13                       -205,351,602.81

    归属于母公司所有者的净利润        -354,600,439.26                       -203,945,483.09

    少数股东损益                        -2,768,338.87                         -1,406,119.72

六、其他综合收益的税后净额               4,426,826.30                          2,692,773.04

  归属母公司所有者的其他综合收益
                                         4,426,826.30                          2,692,773.04
的税后净额

    (一)以后不能重分类进损益的


                                                                                         18
                                                                  沈阳机床股份有限公司 2016 年第三季度报告全文


其他综合收益

             1.重新计量设定受益计划
净负债或净资产的变动

             2.权益法下在被投资单位
不能重分类进损益的其他综合收益中
享有的份额

    (二)以后将重分类进损益的其
                                                            4,426,826.30                            2,692,773.04
他综合收益

             1.权益法下在被投资单位
以后将重分类进损益的其他综合收益
中享有的份额

             2.可供出售金融资产公允
价值变动损益

             3.持有至到期投资重分类
为可供出售金融资产损益

             4.现金流量套期损益的有
效部分

             5.外币财务报表折算差额                         4,426,826.30                            2,692,773.04

             6.其他

  归属于少数股东的其他综合收益的
税后净额

七、综合收益总额                                         -352,941,951.83                       -202,658,829.77

    归属于母公司所有者的综合收益
                                                         -350,173,612.96                       -201,252,710.05
总额

    归属于少数股东的综合收益总额                            -2,768,338.87                          -1,406,119.72

八、每股收益:

    (一)基本每股收益                                              -0.46                                  -0.27

    (二)稀释每股收益                                              -0.46                                  -0.27

本期发生同一控制下企业合并的,被合并方在合并前实现的净利润为:0.00 元,上期被合并方实现的净利润为:0.00 元。


法定代表人:关锡友                     主管会计工作负责人:王淑力                       会计机构负责人:秦琴


4、母公司本报告期利润表

                                                                                                        单位:元

                 项目                          本期发生额                            上期发生额

一、营业收入                                            1,190,219,455.29                      1,081,788,857.22

    减:营业成本                                        1,042,839,814.49                          848,277,114.31



                                                                                                              19
                                               沈阳机床股份有限公司 2016 年第三季度报告全文


         营业税金及附加                  1,543,695.15                          1,041,225.06

         销售费用                      77,200,042.72                         112,729,539.54

         管理费用                      75,085,799.77                          69,524,143.60

         财务费用                     164,916,326.84                         188,324,908.71

         资产减值损失                  84,578,957.75                          82,714,717.66

    加:公允价值变动收益(损失以
                                         -320,000.00
“-”号填列)

         投资收益(损失以“-”号填
                                              918.49                            -385,470.33
列)

         其中:对联营企业和合营企
                                              918.49                            -385,470.33
业的投资收益

二、营业利润(亏损以“-”号填列)    -256,264,262.94                       -221,208,261.99

    加:营业外收入                       3,039,575.41                          4,047,918.01

         其中:非流动资产处置利得         190,368.19                              59,058.83

    减:营业外支出                       1,193,462.88                              6,048.80

         其中:非流动资产处置损失          11,162.88

三、利润总额(亏损总额以“-”号填
                                      -254,418,150.41                       -217,166,392.78
列)

    减:所得税费用                     -18,176,715.67                        -15,620,863.55

四、净利润(净亏损以“-”号填列)    -236,241,434.74                       -201,545,529.23

五、其他综合收益的税后净额

    (一)以后不能重分类进损益的
其他综合收益

             1.重新计量设定受益计划
净负债或净资产的变动

             2.权益法下在被投资单位
不能重分类进损益的其他综合收益中
享有的份额

    (二)以后将重分类进损益的其
他综合收益

             1.权益法下在被投资单位
以后将重分类进损益的其他综合收益
中享有的份额

             2.可供出售金融资产公允
价值变动损益

             3.持有至到期投资重分类
为可供出售金融资产损益



                                                                                         20
                                                           沈阳机床股份有限公司 2016 年第三季度报告全文


           4.现金流量套期损益的有
效部分

           5.外币财务报表折算差额

           6.其他

六、综合收益总额                               -236,241,434.74                          -201,545,529.23

七、每股收益:

    (一)基本每股收益

    (二)稀释每股收益


5、合并年初到报告期末利润表

                                                                                                 单位:元

                 项目                 本期发生额                              上期发生额

一、营业总收入                                 4,305,658,038.95                        4,437,065,726.72

    其中:营业收入                             4,305,658,038.95                        4,437,065,726.72

           利息收入

           已赚保费

           手续费及佣金收入

二、营业总成本                                 5,197,804,363.16                        4,959,538,103.85

    其中:营业成本                             3,347,214,220.45                        3,374,434,950.06

           利息支出

           手续费及佣金支出

           退保金

           赔付支出净额

           提取保险合同准备金净额

           保单红利支出

           分保费用

           营业税金及附加                            8,139,831.29                           13,041,775.91

           销售费用                                550,438,210.50                          482,291,977.66

           管理费用                                433,700,716.28                          369,520,561.46

           财务费用                                610,009,992.16                          574,802,394.32

           资产减值损失                            248,301,392.48                          145,446,444.44

    加:公允价值变动收益(损失以
                                                    -2,999,000.00
“-”号填列)

         投资收益(损失以“-”号填
                                                      -356,334.97                           -1,709,217.01
列)


                                                                                                       21
                                               沈阳机床股份有限公司 2016 年第三季度报告全文


         其中:对联营企业和合营企
                                         -356,334.97                          -1,709,217.01
业的投资收益

         汇兑收益(损失以“-”号填
列)

三、营业利润(亏损以“-”号填列)    -895,501,659.18                       -524,181,594.14

    加:营业外收入                     26,863,870.38                          29,838,556.30

         其中:非流动资产处置利得        1,396,230.70                          1,120,627.91

    减:营业外支出                       4,795,642.00                          5,476,161.98

         其中:非流动资产处置损失          63,044.49                            235,852.36

四、利润总额(亏损总额以“-”号填
                                      -873,433,430.80                       -499,819,199.82
列)

    减:所得税费用                     -59,585,180.85                        -28,229,279.17

五、净利润(净亏损以“-”号填列)    -813,848,249.95                       -471,589,920.65

    归属于母公司所有者的净利润        -798,325,829.27                       -470,363,818.76

    少数股东损益                       -15,522,420.68                         -1,226,101.89

六、其他综合收益的税后净额               1,372,376.03                          5,953,282.74

  归属母公司所有者的其他综合收益
                                         1,372,376.03                          5,953,282.74
的税后净额

    (一)以后不能重分类进损益的
其他综合收益

             1.重新计量设定受益计划
净负债或净资产的变动

             2.权益法下在被投资单位
不能重分类进损益的其他综合收益中
享有的份额

    (二)以后将重分类进损益的其
                                         1,372,376.03                          5,953,282.74
他综合收益

             1.权益法下在被投资单位
以后将重分类进损益的其他综合收益
中享有的份额

             2.可供出售金融资产公允
价值变动损益

             3.持有至到期投资重分类
为可供出售金融资产损益

             4.现金流量套期损益的有
效部分

             5.外币财务报表折算差额      1,372,376.03                          5,953,282.74



                                                                                         22
                                                                    沈阳机床股份有限公司 2016 年第三季度报告全文


             6.其他

  归属于少数股东的其他综合收益的
税后净额

七、综合收益总额                                         -812,475,873.92                         -465,636,637.91

    归属于母公司所有者的综合收益
                                                         -796,953,453.24                         -464,410,536.02
总额

    归属于少数股东的综合收益总额                            -15,522,420.68                           -1,226,101.89

八、每股收益:

    (一)基本每股收益                                               -1.04                                   -0.61

    (二)稀释每股收益                                               -1.04                                   -0.61

本期发生同一控制下企业合并的,被合并方在合并前实现的净利润为:0.00 元,上期被合并方实现的净利润为:0.00 元。


6、母公司年初到报告期末利润表

                                                                                                          单位:元

                 项目                          本期发生额                              上期发生额

一、营业收入                                            4,295,549,305.35                        3,911,478,251.09

    减:营业成本                                        3,669,127,077.83                        3,168,539,966.90

           营业税金及附加                                     6,256,207.94                           11,401,974.41

           销售费用                                         288,554,394.33                          293,347,618.51

           管理费用                                         253,965,804.13                          236,878,364.52

           财务费用                                         478,299,032.91                          438,978,809.47

           资产减值损失                                     287,138,281.83                          129,114,350.23

    加:公允价值变动收益(损失以
                                                             -2,999,000.00
“-”号填列)

           投资收益(损失以“-”号填
                                                               -356,334.97                           -1,709,217.01
列)

           其中:对联营企业和合营企
                                                               -356,334.97                           -1,709,217.01
业的投资收益

二、营业利润(亏损以“-”号填列)                       -691,146,828.59                         -368,492,049.96

    加:营业外收入                                           17,724,408.67                           17,130,509.53

           其中:非流动资产处置利得                           1,124,222.20                             198,541.16

    减:营业外支出                                            2,985,437.49                            1,060,025.79

           其中:非流动资产处置损失                              63,044.49                             108,974.36

三、利润总额(亏损总额以“-”号填
                                                         -676,407,857.41                         -352,421,566.22
列)




                                                                                                                23
                                                          沈阳机床股份有限公司 2016 年第三季度报告全文


     减:所得税费用                                -63,479,176.69                         -23,995,688.12

四、净利润(净亏损以“-”号填列)             -612,928,680.72                         -328,425,878.10

五、其他综合收益的税后净额

     (一)以后不能重分类进损益的
其他综合收益

             1.重新计量设定受益计划
净负债或净资产的变动

             2.权益法下在被投资单位
不能重分类进损益的其他综合收益中
享有的份额

     (二)以后将重分类进损益的其
他综合收益

             1.权益法下在被投资单位
以后将重分类进损益的其他综合收益
中享有的份额

             2.可供出售金融资产公允
价值变动损益

             3.持有至到期投资重分类
为可供出售金融资产损益

             4.现金流量套期损益的有
效部分

             5.外币财务报表折算差额

             6.其他

六、综合收益总额                               -612,928,680.72                         -328,425,878.10

七、每股收益:

     (一)基本每股收益

     (二)稀释每股收益


7、合并年初到报告期末现金流量表

                                                                                                单位:元

                 项目                 本期发生额                             上期发生额

一、经营活动产生的现金流量:

     销售商品、提供劳务收到的现金              2,963,294,346.91                       2,967,602,531.57

     客户存款和同业存放款项净增加


     向中央银行借款净增加额




                                                                                                      24
                                              沈阳机床股份有限公司 2016 年第三季度报告全文


     向其他金融机构拆入资金净增加


     收到原保险合同保费取得的现金

     收到再保险业务现金净额

     保户储金及投资款净增加额

     处置以公允价值计量且其变动计
入当期损益的金融资产净增加额

     收取利息、手续费及佣金的现金

     拆入资金净增加额

     回购业务资金净增加额

     收到的税费返还                    15,177,963.10                         22,611,899.45

     收到其他与经营活动有关的现金      33,361,026.08                         76,186,124.91

经营活动现金流入小计                3,011,833,336.09                      3,066,400,555.93

     购买商品、接受劳务支付的现金   3,024,617,358.08                      3,361,081,412.85

     客户贷款及垫款净增加额

     存放中央银行和同业款项净增加


     支付原保险合同赔付款项的现金

     支付利息、手续费及佣金的现金

     支付保单红利的现金

     支付给职工以及为职工支付的现
                                      931,363,829.45                        881,343,109.50


     支付的各项税费                   117,960,120.94                        202,958,127.52

     支付其他与经营活动有关的现金     589,734,228.66                        572,961,302.53

经营活动现金流出小计                4,663,675,537.13                      5,018,343,952.40

经营活动产生的现金流量净额          -1,651,842,201.04                    -1,951,943,396.47

二、投资活动产生的现金流量:

     收回投资收到的现金

     取得投资收益收到的现金

     处置固定资产、无形资产和其他
                                                                                 60,350.00
长期资产收回的现金净额

     处置子公司及其他营业单位收到
的现金净额

     收到其他与投资活动有关的现金

投资活动现金流入小计                                                             60,350.00

     购建固定资产、无形资产和其他     479,056,353.43                         29,076,995.61


                                                                                        25
                                                         沈阳机床股份有限公司 2016 年第三季度报告全文


长期资产支付的现金

    投资支付的现金                                10,000,000.00

    质押贷款净增加额

    取得子公司及其他营业单位支付
的现金净额

    支付其他与投资活动有关的现金

投资活动现金流出小计                             489,056,353.43                           29,076,995.61

投资活动产生的现金流量净额                    -489,056,353.43                            -29,016,645.61

三、筹资活动产生的现金流量:

    吸收投资收到的现金                                                                    16,590,121.90

    其中:子公司吸收少数股东投资
收到的现金

    取得借款收到的现金                      10,796,432,131.00                       11,937,480,000.00

    发行债券收到的现金

    收到其他与筹资活动有关的现金                 133,000,008.68                          200,000,000.00

筹资活动现金流入小计                        10,929,432,139.68                       12,154,070,121.90

    偿还债务支付的现金                       7,746,503,714.30                        9,327,121,842.25

    分配股利、利润或偿付利息支付
                                                 698,727,899.53                          576,958,855.33
的现金

    其中:子公司支付给少数股东的
股利、利润

    支付其他与筹资活动有关的现金                 131,598,203.75                           79,370,931.95

筹资活动现金流出小计                         8,576,829,817.58                        9,983,451,629.53

筹资活动产生的现金流量净额                   2,352,602,322.10                        2,170,618,492.37

四、汇率变动对现金及现金等价物的
影响

五、现金及现金等价物净增加额                     211,703,767.63                          189,658,450.29

    加:期初现金及现金等价物余额                 779,726,109.58                          866,919,699.74

六、期末现金及现金等价物余额                     991,429,877.21                      1,056,578,150.03


8、母公司年初到报告期末现金流量表

                                                                                               单位:元

              项目                  本期发生额                              上期发生额

一、经营活动产生的现金流量:

    销售商品、提供劳务收到的现金             2,591,272,638.62                        2,558,876,933.77



                                                                                                     26
                                              沈阳机床股份有限公司 2016 年第三季度报告全文


     收到的税费返还                     3,668,460.79                          8,514,468.58

     收到其他与经营活动有关的现金      28,568,726.50                         54,160,532.28

经营活动现金流入小计                2,623,509,825.91                      2,621,551,934.63

     购买商品、接受劳务支付的现金   2,494,084,601.44                      2,984,524,486.70

     支付给职工以及为职工支付的现
                                      555,606,512.58                        582,667,983.37


     支付的各项税费                    92,241,923.02                        163,450,923.07

     支付其他与经营活动有关的现金   1,231,076,119.40                        781,167,844.21

经营活动现金流出小计                4,373,009,156.44                      4,511,811,237.35

经营活动产生的现金流量净额          -1,749,499,330.53                    -1,890,259,302.72

二、投资活动产生的现金流量:

     收回投资收到的现金

     取得投资收益收到的现金

     处置固定资产、无形资产和其他
                                                                                 48,000.00
长期资产收回的现金净额

     处置子公司及其他营业单位收到
的现金净额

     收到其他与投资活动有关的现金

投资活动现金流入小计                                                             48,000.00

     购建固定资产、无形资产和其他
                                       18,592,041.51                         26,197,303.21
长期资产支付的现金

     投资支付的现金                    28,000,000.00                         36,830,000.00

     取得子公司及其他营业单位支付
的现金净额

     支付其他与投资活动有关的现金

投资活动现金流出小计                   46,592,041.51                         63,027,303.21

投资活动产生的现金流量净额            -46,592,041.51                        -62,979,303.21

三、筹资活动产生的现金流量:

     吸收投资收到的现金

     取得借款收到的现金             9,984,313,011.00                     10,873,900,000.00

     发行债券收到的现金

     收到其他与筹资活动有关的现金               8.68                        200,000,000.00

筹资活动现金流入小计                9,984,313,019.68                     11,073,900,000.00

     偿还债务支付的现金             7,082,500,000.00                      8,476,200,000.00

     分配股利、利润或偿付利息支付
                                      527,129,029.30                        420,937,806.11
的现金


                                                                                        27
                                              沈阳机床股份有限公司 2016 年第三季度报告全文


     支付其他与筹资活动有关的现金    105,764,909.15                          79,370,931.95

筹资活动现金流出小计                7,715,393,938.45                      8,976,508,738.06

筹资活动产生的现金流量净额          2,268,919,081.23                      2,097,391,261.94

四、汇率变动对现金及现金等价物的
影响

五、现金及现金等价物净增加额         472,827,709.19                         144,152,656.01

     加:期初现金及现金等价物余额    351,575,144.12                         801,899,423.63

六、期末现金及现金等价物余额         824,402,853.31                         946,052,079.64


二、审计报告

第三季度报告是否经过审计
□ 是 √ 否
公司第三季度报告未经审计。




                                               沈阳机床股份有限公司
                                                       董事会
                                               二○一六年十月二十八日




                                                                                        28