国泰君安(601211)公告正文

国泰君安:2015年第三季度报告

公告日期:2015-10-30

                           2015 年第三季度报告



公司代码:601211                                 公司简称:国泰君安




                   国泰君安证券股份有限公司
                     2015 年第三季度报告




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                                 2015 年第三季度报告




                                     目录
一、 重要提示 .................................................................... 3
二、 公司主要财务数据和股东变化 .................................................. 3
三、 重要事项 .................................................................... 6
四、 附录 ....................................................................... 10




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                                    2015 年第三季度报告




一、 重要提示


1.1 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。



1.2 公司全体董事出席董事会审议季度报告。



1.3 公司负责人杨德红、主管会计工作负责人蒋忆明及会计机构负责人(会计主管人员)谢乐斌

    保证季度报告中财务报表的真实、准确、完整。



1.4 本公司第三季度报告未经审计。




二、 公司主要财务数据和股东变化


2.1 主要财务数据
                                                                    单位:元   币种:人民币
                                                                    本报告期末比上年度末增
                     本报告期末                 上年度末
                                                                            减(%)
总资产              481,359,678,677             319,302,453,807                      50.75
归属于上市公司       92,238,454,428                42,040,468,085                   119.40
股东的净资产
                   年初至报告期末       上年初至上年报告期末
                                                                      比上年同期增减(%)
                     (1-9 月)               (1-9 月)
经营活动产生的       74,979,662,394                15,220,418,445                   392.63
现金流量净额
                   年初至报告期末       上年初至上年报告期末            比上年同期增减
                     (1-9 月)               (1-9 月)                    (%)
营业收入             29,037,339,215                10,614,465,670                   173.56
归属于上市公司       11,961,111,038                3,933,499,436                    204.08
股东的净利润
归属于上市公司       11,745,724,383                3,735,538,996                    214.43
股东的扣除非经
常性损益的净利

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                                     2015 年第三季度报告



加权平均净资产                   20.20                         10.79          增加 9.41 个百分点
收益率(%)
基本每股收益                      1.75                          0.64                       173.44
(元/股)
稀释每股收益                      1.75                          0.64                       173.44
(元/股)


非经常性损益项目和金额
√适用 □不适用
                                                                          单位:元   币种:人民币
                              本期金额           年初至报告期末金额                  说明
        项目
                            (7-9 月)              (1-9 月)
                                   -357,942                    -941,986    主要为固定资产处置损
非流动资产处置损益
                                                                           益
计入当期损益的政府               297,103,400               297,994,648     主要是公司收到的当地
补助,但与公司正常经                                                       政府促进经济发展款等
营业务密切相关,符合
国家政策规定、按照一
定标准定额或定量持
续享受的政府补助除

除上述各项之外的其               -14,211,568                 -2,594,984
他营业外收入和支出
所得税影响额                     -70,486,462               -74,196,588
少数股东权益影响额                   -71,773                 -4,874,435
(税后)
        合计                     211,975,655               215,386,655




2.2 截止报告期末的股东总数、前十名股东、前十名流通股东(或无限售条件股东)持股情况表
                                                                                         单位:股
股东总数(户)                                                                            310,977
                                    前十名股东持股情况
股东名称(全     期末持股数量    比例     持有有限售条件         质押或冻结情况         股东性质
    称)                         (%)        股份数量           股份状        数量
                                                                 态
上海国有资       1,954,447,453    25.63    1,949,347,453         无                     国有法人
产经营有限
公司
上海国际集         698,608,342     9.16        698,608,342       无                     国有法人
团有限公司

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                                     2015 年第三季度报告



深圳市投资       624,071,941      8.18      624,071,941         无                     国有法人
控股有限公

上海城投(集     252,491,109      3.31      252,491,109         无                     国有法人
团)有限公司
深圳能源集       154,455,909      2.03      154,455,909         无                     境内非国
团股份有限                                                                               有法人
公司
大众交通(集     154,455,909      2.03      154,455,909         无                     境内非国
团)股份有限                                                                             有法人
公司
全国社会保       151,104,674      1.98      151,104,674         无                     国有法人
障基金理事
会转持二户
上海金融发       150,000,000      1.97      150,000,000         无                     境内非国
展投资基金                                                                               有法人
(有限合伙)
中国第一汽       115,402,526      1.51      115,402,526         无                     国有法人
车集团公司
安徽华茂纺        95,299,933      1.25        95,299,933        无                     境内非国
织股份有限                                                                               有法人
公司
                               前十名无限售条件股东持股情况
股东名称                持有无限售条件流通股的数                     股份种类及数量
                                  量                          种类                数量
申银万国证券股份有限                     53,500,000        人民币普通股               53,500,000
公司
重庆国际信托有限公司                     27,708,500        人民币普通股               27,708,500
-兴国 1 号集合资金信
托计划
东方证券股份有限公司                     27,690,719        人民币普通股               27,690,719
中国工商银行股份有限                     23,757,573        人民币普通股               23,757,573
公司-南方消费活力灵
活配置混合型发起式证
券投资基金
卢秋枫                                   18,002,510        人民币普通股               18,002,510
中国工商银行股份有限                     16,070,682        人民币普通股               16,070,682
公司-申万菱信中证申
万证券行业指数分级证
券投资基金
重庆国际信托有限公司                     10,614,924        人民币普通股               10,614,924
-鸿睿一号集合资金信
托计划

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                                     2015 年第三季度报告



华泰证券股份有限公司                     10,242,619        人民币普通股              10,242,619
中国人寿保险股份有限                      9,531,563        人民币普通股               9,531,563
公司-分红-个人分红
-005L-FH002 沪
光大证券股份有限公司                      8,578,065        人民币普通股               8,578,065
上述股东关联关系或一   公司前十名股东中,上海国有资产经营有限公司是上海国际集团有限公
致行动的说明           司的全资子公司;公司前十名持有无限售条件流通股股东中,重庆国际
                       信托有限公司-兴国 1 号集合资金信托计划与重庆国际信托有限公司-
                       鸿睿一号集合资金信托计划具有关联关系。除上述外,公司未知其他关
                       联关系或者一致行动安排。
表决权恢复的优先股股   不适用
东及持股数量的说明



2.3 截止报告期末的优先股股东总数、前十名优先股股东、前十名优先股无限售条件股东持股情

    况表
□适用 √不适用



三、 重要事项


3.1 公司主要会计报表项目、财务指标重大变动的情况及原因
√适用 □不适用


   资产负债表项目         期末余额              年初余额          变动幅度           变动原因
 货币资金              203,850,977,252      105,127,120,725               94%   客户资金存款增加
 结算备付金             18,714,325,281        11,284,992,948              66%   客户结算备付金增加
 以公允价值计量且其
                                                                                主要是交易性债券、基
 变动计入当期损益的     88,847,905,937        56,710,232,639              57%
                                                                                金投资规模增加
 金融资产
                                                                                衍生金融资产公允价
 衍生金融资产               20,547,777                1,393,069      1375%
                                                                                值增加
                                                                                买入返售业务规模增
 买入返售金融资产       48,020,289,279        32,250,188,178              49%
                                                                                加
                                                                                以收益互换形式投资
                                                                                权益类证券的保证金
 存出保证金             27,266,585,178         6,567,373,354          315%
                                                                                增加以及期货保证金
                                                                                增加
                                                                                创新投资子公司股权
 长期股权投资              714,252,915              366,294,393           95%
                                                                                投资规模增加
 在建工程                  360,488,206              207,847,970           73%   在建工程投入增加

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                                2015 年第三季度报告



                                                                      可抵扣暂时性差异增
递延所得税资产           776,881,184            127,260,328   510%
                                                                      加
                                                                      短期公司债务到期以
应付短期融资款         4,762,662,979     17,168,433,943       -72%    及新增短期融资规模
                                                                      减少
以公允价值计量且其
                                                                      固定收益类融入证券
变动计入当期损益的     9,718,370,963      5,234,742,038         86%
                                                                      卖出规模增加
金融负债
代理买卖证券款       152,789,651,570     86,647,912,031         76%   客户保证金增加
                                                                      已计提待支付薪酬余
应付职工薪酬           6,493,235,835      3,467,979,046         87%
                                                                      额增加
                                                                      已计提待缴纳税费余
应交税费               3,892,351,569      2,128,476,017         83%
                                                                      额增加
                                                                      负债规模增加,已提应
应付利息               2,202,576,589      1,437,277,985         53%
                                                                      付利息余额增加

预计负债                   2,996,927              2,113,719     42%   子公司预计负债增加

长期借款               4,636,302,900            780,981,300   494%    长期借款规模增加
应付债券              55,602,174,911     31,513,544,894         76%   发行债券规模增加
                                                                      应纳税暂时性差异减
递延所得税负债           601,636,242      1,344,391,283       -55%
                                                                      少
                                                                      上市募集资金的股本
资本公积              29,272,764,066      1,219,544,325       2300%
                                                                      溢价增加
                                                                      市场波动造成可供出
其他综合收益             532,960,244      1,874,304,680       -72%    售金融资产公允价值
                                                                      变动影响

                     年初至报告期期 上年年初至报告期
    利润表项目                                           变动幅度          变动原因
                     末金额(1-9 月) 期末金额(1-9 月)

                                                                      经纪业务、投行业务、
手续费及佣金净收入    17,512,139,019      5,373,269,701       226%    资管业务收入均有增
                                                                      加
                                                                      资金规模扩大,利息收
利息净收入             4,439,389,258      1,355,761,445       227%
                                                                      入增加
                                                                      金融工具投资收益增
投资收益               7,464,660,311      2,281,850,599       227%
                                                                      加
                                                                      市场波动导致金融资
公允价值变动收益        -385,656,076      1,594,187,079       -124%
                                                                      产公允价值变动
汇兑收益                  -9,341,099            -5,393,696      73%   汇率波动影响
营业税金及附加         1,750,669,335            511,267,847   242%    应税收入增加
                                                                      职工薪酬费用及开展
业务及管理费           9,859,922,404      4,645,701,486       112%    业务所需其他费用增
                                                                      加

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                                      2015 年第三季度报告



                                                                            因市场波动对可供出
 资产减值损失                  754,220,189            60,138,661    1154%   售金融资产和信用交
                                                                            易业务资产计提减值
 所得税费用                  4,163,079,907      1,456,274,910       186%    应税利润总额增加
 少数股东损益                  840,765,165            272,351,459   209%    并表单位增加




3.2 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、按净资产 20%的比例出资投资权益类证券事项
    2015 年 7 月 5 日,公司第四届董事会第二十七次临时会议审议通过了《关于提请审议出资投
资蓝筹股 ETF 并提高 2015 年度公司自营业务规模的议案》,同意按公司 2015 年 6 月 30 日净资产
15%的比例出资投资蓝筹股 ETF,并相应提高自营业务规模。2015 年 8 月 31 日,公司第四届董事会
第三十次临时会议审议通过了《关于提请审议出资投资权益类证券并相应提高公司自营业务规模
的议案》,同意按公司 2015 年 7 月 31 日净资产 20%的比例出资投资权益类证券(含 2015 年 7 月
5 日公司第四届董事会第二十七次临时会议审议通过的按公司 2015 年 6 月 30 日净资产 15%比例的
出资),并相应提高自营业务规模。(详见 2015 年 7 月 6 日公告临 2015-004 号及 9 月 1 日公告临
2015-018 号)


       2、聘任公司总裁事项
    2015 年 8 月 21 日,经公司第四届董事会第七次会议审议通过,聘任王松先生为公司总裁。
(详见 2015 年 8 月 24 日公告临 2015-015 号)


       3、挂牌转让海际证券有限责任公司股权事项
    为解决公司与海际证券有限责任公司的同业竞争,公司控股子公司上海证券有限责任公司在
上海联合产权交易所通过公开挂牌方式转让海际证券有限责任公司 66.67%股权,目前,该事项正
在推进中,公司将根据交易进展情况及时披露相关信息。(详见 2015 年 9 月 18 日公告临 2015-024
号)


       4、控股股东及其关联公司增持公司股份事项
    2015 年 9 月 7 日,公司控股股东上海国有资产经营有限公司(以下简称“国资公司”)通过
上海证券交易所交易系统增持公司 2,700,000 股股份,并同时提出了后续增持计划,即“国资公
司和/或其关联公司拟在未来 6 个月内以自身名义继续通过上海证券交易所交易系统根据市场情
况适时增持本公司股份,累计增持比例不超过本公司已发行总股份的 2%(含本次已增持股份)”。
(详见 2015 年 9 月 8 日公告临 2015-020 号)


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                                    2015 年第三季度报告



    截至 2015 年 9 月 30 日,国资公司及其关联公司上海国际集团资产管理有限公司已分别累计
增持公司 5,100,000 股和 5,310,000 股股份,合计增持 10,410,000 股股份,增持比例为 0.1365%。
国资公司和上海国际集团资产管理有限公司均为公司实际控制人上海国际集团有限公司的全资子
公司。截至 2015 年 9 月 30 日,上海国际集团有限公司及其一致行动人合计持有本公司 36.3581%
股份。


    5、发行债券事项
    公司向合格投资者公开发行面值总额不超过 120 亿元公司债券已获中国证券监督管理委员会
核准。截至目前,本次公司债券尚未发行。(详见 2015 年 9 月 16 日公告临 2015-023 号)




3.3 公司及持股 5%以上的股东承诺事项履行情况
√适用 □不适用
    为履行“本公司应‘自控股上海证券之日起 5 年内解决与上海证券及其子公司海际大和证券
有限公司的同业竞争问题’”的承诺,公司控股子公司上海证券有限责任公司已在上海联合产权
交易所通过公开挂牌方式转让海际证券有限责任公司 66.67%股权。目前,该事项正在推进中,公
司将根据交易进展情况及时披露相关信息。
    除上述承诺事项外,公司及持股 5%以上的股东的其他承诺事项未发生变化,截至到本报告期
未触发实施条件。具体承诺事项及其履行情况请参阅公司 2015 年半年度报告。




3.4 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重大变动的警

    示及原因说明
□适用 √不适用



                                                     公司名称    国泰君安证券股份有限公司
                                                   法定代表人    杨德红
                                                          日期   2015 年 10 月 28 日




                                          9 / 19
                                    2015 年第三季度报告




四、 附录


4.1 财务报表
                                     合并资产负债表
                                    2015 年 9 月 30 日
编制单位:国泰君安证券股份有限公司
                                             单位:元     币种:人民币   审计类型:未经审计
               项目                          期末余额                     年初余额
资产:
  货币资金                                    203,850,977,252              105,127,120,725
    其中:客户存款                            152,266,004,118               86,527,879,973
  结算备付金                                    18,714,325,281              11,284,992,948
    其中:客户备付金                            15,599,537,982               9,241,448,785
  融出资金                                      62,532,343,855              76,031,452,051
  以公允价值计量且其变动计入当期                88,847,905,937              56,710,232,639
损益的金融资产
  衍生金融资产                                      20,547,777                   1,393,069
  买入返售金融资产                              48,020,289,279              32,250,188,178
  应收款项                                       1,925,655,383               1,694,201,933
  应收利息                                       1,807,835,866               1,570,897,934
  存出保证金                                    27,266,585,178               6,567,373,354
  可供出售金融资产                              17,057,207,314              16,755,268,307
  长期股权投资                                      714,252,915                366,294,393
  固定资产                                       2,866,737,483               2,853,649,270
  在建工程                                          360,488,206                207,847,970
  无形资产                                       2,170,727,477               2,166,125,824
  商誉                                              581,407,294                581,407,294
  递延所得税资产                                    776,881,184                127,260,328
  其他资产                                       3,845,510,996               5,006,747,590
         资产总计                             481,359,678,677              319,302,453,807
负债:
  短期借款                                       4,925,676,906               4,103,950,459
  应付短期融资款                                 4,762,662,979              17,168,433,943
  拆入资金                                       9,901,000,000              10,993,000,000
  以公允价值计量且其变动计入当期                 9,718,370,963               5,234,742,038
损益的金融负债
  衍生金融负债                                      161,344,231                196,000,577
  卖出回购金融资产款                            90,830,933,536              74,807,671,504
  代理买卖证券款                              152,789,651,570               86,647,912,031
  代理承销证券款                                    15,044,121                  17,864,372
  应付职工薪酬                                   6,493,235,835               3,467,979,046
                                          10 / 19
                                     2015 年第三季度报告



  应交税费                                        3,892,351,569               2,128,476,017
  应付款项                                       19,557,285,489               17,134,247,710
  应付利息                                        2,202,576,589               1,437,277,985
  预计负债                                             2,996,927                  2,113,719
  长期借款                                        4,636,302,900                 780,981,300
  应付债券                                       55,602,174,911               31,513,544,894
  递延所得税负债                                     601,636,242              1,344,391,283
  其他负债                                       16,900,856,180               15,025,200,747
    负债合计                                   382,994,100,948              272,003,787,625
所有者权益(或股东权益):
  实收资本(或股本)                              7,625,000,000               6,100,000,000
  其他权益工具                                   10,000,000,000
  资本公积                                       29,272,764,066               1,219,544,325
  其他综合收益                                       532,960,244              1,874,304,680
  盈余公积                                        3,481,289,913               3,481,289,913
  一般风险准备                                    7,106,412,367               7,106,412,367
  未分配利润                                     34,220,027,838               22,258,916,800
  归属于母公司所有者权益(或股东                 92,238,454,428               42,040,468,085
权益)合计
  少数股东权益                                    6,127,123,301               5,258,198,097
    所有者权益(或股东权益)合计                 98,365,577,729               47,298,666,182
    负债和所有者权益(或股东权益)             481,359,678,677              319,302,453,807
总计
法定代表人:杨德红        主管会计工作负责人:蒋忆明               会计机构负责人:谢乐斌



                                     母公司资产负债表
                                     2015 年 9 月 30 日
编制单位:国泰君安证券股份有限公司
                                              单位:元     币种:人民币   审计类型:未经审计
               项目                           期末余额                     年初余额
资产:
  货币资金                                     155,170,927,305                78,719,882,123
    其中:客户存款                             111,289,191,472                63,784,162,695
  结算备付金                                    14,833,050,931                7,158,883,084
    其中:客户备付金                            13,446,637,170                6,074,957,705
  融出资金                                      48,337,394,801                62,946,003,507
  以公允价值计量且其变动计入当                  75,885,201,249                43,623,948,099
期损益的金融资产
  衍生金融资产
  买入返售金融资产                              33,778,967,750                23,054,157,515
  应收款项                                        1,176,996,613                 846,278,966

                                           11 / 19
                                   2015 年第三季度报告



  应收利息                                      1,289,884,199      1,019,273,570
  存出保证金                                  22,207,542,877       1,047,105,421
  可供出售金融资产                            11,562,660,323      10,632,019,291
  长期股权投资                                10,697,084,965       9,695,257,167
  固定资产                                      1,336,350,013      1,296,042,090
  在建工程                                         68,442,868        60,757,632
  无形资产                                         214,044,930       197,382,262
  商誉
  递延所得税资产                                   684,061,723
  其他资产                                      2,999,494,945      4,443,833,110
    资产总计                                 380,242,105,492     244,740,823,837
负债:
  短期借款
  应付短期融资款                                3,921,500,000     16,987,700,000
  拆入资金                                      9,139,000,000      9,741,000,000
  以公允价值计量且其变动计入当                  9,460,045,561      5,234,742,038
期损益的金融负债
  衍生金融负债                                     143,305,269       194,607,508
  卖出回购金融资产款                          87,518,725,387      70,030,699,504
  代理买卖证券款                             123,164,360,311      69,494,630,929
  代理承销证券款
  应付职工薪酬                                  5,285,113,359      2,549,277,346
  应交税费                                      3,439,318,887      1,787,870,598
  应付款项                                      1,570,049,201      2,987,056,655
  应付利息                                      1,521,297,640        998,630,170
  预计负债                                           2,113,719         2,113,719
  长期借款                                      2,100,000,000
  应付债券                                    47,092,093,750      26,986,750,000
  递延所得税负债                                                     719,400,156
  其他负债                                         517,530,952       38,663,071
    负债合计                                 294,874,454,036     207,753,141,694
所有者权益(或股东权益):
  实收资本(或股本)                            7,625,000,000      6,100,000,000
  其他权益工具                                10,000,000,000
  其中:永续债                                10,000,000,000
  资本公积                                    28,453,164,860         314,890,781
  减:库存股
  其他综合收益                                     467,643,883     1,926,803,673
  盈余公积                                      3,481,289,913      3,481,289,913
  一般风险准备                                  6,800,157,998      6,800,157,998
  未分配利润                                  28,540,394,802      18,364,539,778
    所有者权益(或股东权益)合计              85,367,651,456      36,987,682,143
                                         12 / 19
                                   2015 年第三季度报告



负债和所有者权益(或股东权益)总              380,242,105,492                244,740,823,837



法定代表人:杨德红        主管会计工作负责人:蒋忆明             会计机构负责人:谢乐斌



                                        合并利润表
                                      2015 年 1—9 月
编制单位:国泰君安证券股份有限公司
                                            单位:元     币种:人民币   审计类型:未经审计
        项目             本期金额           上期金额        年初至报告期      上年年初至报
                         (7-9 月)         (7-9 月)        期末金额        告期期末金额
                                                              (1-9 月)        (1-9 月)
一、营业收入           6,735,900,226      4,622,616,247    29,037,339,215     10,614,465,670
  手续费及佣金净收入   4,978,048,535      2,411,917,498    17,512,139,019      5,373,269,701
  其中:经纪业务手续   3,201,809,039      1,764,218,868    13,661,448,440      3,690,901,268
费净收入
        投资银行业务     599,397,674        396,716,171     1,701,518,547        985,426,175
手续费净收入
        资产管理业务     533,929,279        277,117,726     1,527,974,346        733,337,347
手续费净收入
  利息净收入           1,417,001,020        401,493,783     4,439,389,258      1,355,761,445
  投资收益(损失以     2,244,183,186      1,067,779,817     7,464,660,311      2,281,850,599
“-”号填列)
  其中:对联营企业和       3,120,000         -8,409,170          3,120,000       -7,409,169
合营企业的投资收益
  公允价值变动收益    -1,893,092,898        726,818,516      -385,656,076      1,594,187,079
(损失以“-”号填列)
  汇兑收益(损失以       -12,759,699          8,442,604         -9,341,099       -5,393,696
“-”号填列)
  其他业务收入             2,520,082          6,164,029         16,147,802       14,790,542
二、营业支出           3,784,281,320      2,181,334,133    12,366,840,782      5,217,134,092
  营业税金及附加         519,768,827        226,140,274     1,750,669,335        511,267,847
  业务及管理费         2,751,823,243      1,994,181,657     9,859,922,404      4,645,701,486
  资产减值损失           512,140,768        -38,090,240       754,220,189        60,138,661
  其他业务成本                548,482          -897,558          2,028,854           26,098
三、营业利润(亏损以   2,951,618,906      2,441,282,114    16,670,498,433      5,397,331,578
“-”号填列)
  加:营业外收入         286,561,553        251,402,477       304,014,602        272,909,447
  减:营业外支出           4,027,664          6,704,398          9,556,925         8,115,220
四、利润总额(亏损总   3,234,152,795      2,685,980,193    16,964,956,110      5,662,125,805
额以“-”号填列)
  减:所得税费用         835,729,440        751,273,330     4,163,079,907      1,456,274,910
                                          13 / 19
                                   2015 年第三季度报告



五、净利润(净亏损以    2,398,423,355    1,934,706,863       12,801,876,203   4,205,850,895
“-”号填列)
  其中: 归属于母公司   2,323,488,560    1,783,284,357       11,961,111,038   3,933,499,436
所有者(或股东)的净
利润
  少数股东损益             74,934,795      151,422,506         840,765,165      272,351,459
六、其他综合收益的税    -1,349,228,919     428,124,822       -1,261,869,034     547,578,257
后净额
   归属母公司所有者的   -1,374,248,107     390,884,788       -1,341,344,435     498,001,890
其他综合收益的税后净

   (一)以后不能重分                -                   -               -               -
类进损益的其他综合收

    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    -1,374,248,107     390,884,788       -1,341,344,435     498,001,890
进损益的其他综合收益
    1.权益法下在被投                 -       9,034,169                   -        9,034,169
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    -1,490,776,992     384,144,976       -1,455,928,106     467,024,639
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      116,528,885       -2,294,357         114,583,671      21,943,082
算差额
    6.其他
  归属于少数股东的其       25,019,188       37,240,034          79,475,401      49,576,367
他综合收益的税后净额
七、综合收益总额        1,049,194,436    2,362,831,685       11,540,007,169   4,753,429,152
  归属于母公司所有者      949,240,453    2,174,169,145       10,619,766,603   4,431,501,326
的综合收益总额
  归属于少数股东的综       99,953,983      188,662,540         920,240,566      321,927,826
                                         14 / 19
                                     2015 年第三季度报告



合收益总额


法定代表人:杨德红          主管会计工作负责人:蒋忆明          会计机构负责人:谢乐斌



                                       母公司利润表
                                      2015 年 1—9 月
编制单位:国泰君安证券股份有限公司
                                               单位:元 币种:人民币 审计类型:未经审计
         项目                本期金额          上期金额     年初至报告期   上年年初至报
                             (7-9 月)        (7-9 月)     期末金额     告期期末金额
                                                              (1-9 月)     (1-9 月)
一、营业收入               5,518,992,467     3,263,842,154   23,142,126,812   7,610,844,910
  手续费及佣金净收入       3,991,806,134     1,795,082,597   13,971,475,104   3,988,762,995
  其中:经纪业务手续费     3,460,831,566     1,453,234,382   12,486,824,397   3,192,437,897
净收入
        投资银行业务         555,318,187       347,871,171   1,543,677,193      820,401,028
手续费净收入
        资产管理业务
手续费净收入
  利息净收入                 961,626,060       402,325,940   3,186,792,110    1,119,857,230
  投资收益(损失以“-”   2,096,125,120       541,792,883   6,356,686,741    1,355,860,163
号填列)
  其中:对联营企业和合         3,120,000        -9,034,170       3,120,000      -6,534,169
营企业的投资收益
  公允价值变动收益(损     -1,540,789,668      515,806,457     -387,586,293   1,131,790,115
失以“-”号填列)
  汇兑收益(损失以“-”       8,439,238         7,187,248       8,513,993        6,962,942
号填列)
  其他业务收入                 1,785,583         1,647,029       6,245,157        7,611,465
二、营业支出               2,972,576,579     1,640,528,851   9,826,897,528    4,015,781,511
  营业税金及附加             438,187,549       187,079,927   1,481,176,371      438,445,157
  业务及管理费             2,129,371,476     1,487,222,037   7,713,874,604    3,517,283,641
  资产减值损失               405,017,554       -33,773,113     631,846,553      60,052,713
  其他业务成本
三、营业利润(亏损以       2,546,415,888     1,623,313,303   13,315,229,284   3,595,063,399
“-” 号填列)
  加:营业外收入             240,758,148       248,275,568     241,880,921      255,135,565
  减:营业外支出               3,091,820         4,957,160       3,563,895        6,343,008
四、利润总额(亏损总额     2,784,082,216     1,866,631,711   13,553,546,310   3,843,855,956
以“-”号填列)
  减:所得税费用             731,497,766       572,097,854   3,377,691,286    1,061,137,294
五、净利润(净亏损以       2,052,584,450     1,294,533,857   10,175,855,024   2,782,718,662
                                            15 / 19
                                    2015 年第三季度报告



“-” 号填列)
六、其他综合收益的税后    -1,272,242,042      268,343,022    -1,459,159,790     292,925,515
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    -1,272,242,042      268,343,022    -1,459,159,790     292,925,515
损益的其他综合收益
    1.权益法下在被投                            9,034,169                         9,034,169
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      -1,272,242,042      259,308,853    -1,459,159,790     283,891,346
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
七、综合收益总额            780,342,408     1,562,876,879     8,716,695,234   3,075,644,177


法定代表人:杨德红          主管会计工作负责人:蒋忆明            会计机构负责人:谢乐斌



                                     合并现金流量表
                                     2015 年 1—9 月
编制单位:国泰君安证券股份有限公司
                                              单位:元    币种:人民币   审计类型:未经审计
                   项目                    年初至报告期期末金额       上年年初至报告期期末
                                                 (1-9月)                金额(1-9月)
一、经营活动产生的现金流量:
  取得以公允价值计量且其变动计入当期                 4,407,893,778            1,399,104,932
损益的金融负债净增加额
  收取利息、手续费及佣金的现金                       32,086,183,228           12,561,336,772

                                           16 / 19
                                   2015 年第三季度报告



  拆入资金净增加额                                                   5,085,000,000
  回购业务资金净增加额                               7,037,579,095   2,225,583,161
  融出资金净减少额                                  13,303,880,701
  代理买卖证券收到的现金净额                        66,141,739,539   19,238,420,426
  收到其他与经营活动有关的现金                      13,857,472,021   11,188,699,293
    经营活动现金流入小计                           136,834,748,362   51,698,144,584
  取得以公允价值计量且其变动计入当期                31,536,394,961   7,888,743,293
损益的金融资产净增加额
  拆入业务资金净减少额                               1,092,000,000
  融出资金净增加额                                                   18,308,117,798
  代理买卖证券支付的现金净额
  支付利息、手续费及佣金的现金                       7,256,318,514   2,488,918,336
  支付给职工以及为职工支付的现金                     4,632,461,697   2,471,394,676
  支付的各项税费                                     5,197,109,919   1,342,308,197
  支付其他与经营活动有关的现金                      12,140,800,877   3,978,243,839
    经营活动现金流出小计                            61,855,085,968   36,477,726,139
      经营活动产生的现金流量净额                    74,979,662,394   15,220,418,445
二、投资活动产生的现金流量:
  收回投资收到的现金                                53,864,773,092   18,469,721,499
  取得投资收益收到的现金                               515,534,765     304,737,624
  取得子公司及其他营业单位收到的现金                                 5,591,939,017
净额
  处置子公司及其他营业单位收到的现金                     5,661,376     708,207,092
净额
  处置固定资产、无形资产和其他长期资                     9,412,393     124,319,321
产收回的现金净额
    投资活动现金流入小计                            54,395,381,626   25,198,924,553
  投资支付的现金                                    75,399,322,824   13,827,697,675
  购建固定资产、无形资产和其他长期资                   438,300,881   1,027,402,891
产支付的现金
  取得子公司及其他营业单位支付的现金                 2,846,805,038
净额
    投资活动现金流出小计                            78,684,428,743   14,855,100,566
      投资活动产生的现金流量净额                   -24,289,047,117   10,343,823,987
三、筹资活动产生的现金流量:
  吸收投资收到的现金                                40,057,750,000   1,082,122,959
  其中:子公司吸收少数股东投资收到的                                 1,082,122,959
现金
  其中:发行永续债收到的现金                        10,000,000,000
  取得借款收到的现金                                45,020,943,110   15,766,864,871
  发行债券收到的现金                                57,957,096,929   40,301,032,950
  收到其他与筹资活动有关的现金                         475,000,000      11,777,085

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                                   2015 年第三季度报告



    筹资活动现金流入小计                            143,510,790,039          57,161,797,865
  偿还债务支付的现金                                 84,958,201,846          40,943,278,160
  分配股利、利润或偿付利息支付的现金                  2,342,609,059           1,616,219,514
  其中:子公司支付给少数股东的股利、                    169,546,021             114,137,232
利润
  支付其他与筹资活动有关的现金                                                              -
    筹资活动现金流出小计                             87,300,810,905          42,559,497,674
      筹资活动产生的现金流量净额                     56,209,979,134          14,602,300,191
四、汇率变动对现金及现金等价物的影响                    679,336,637             144,264,934
五、现金及现金等价物净增加额                        107,579,931,048          40,310,807,557
  加:期初现金及现金等价物余额                      122,623,836,286          46,984,847,527
六、期末现金及现金等价物余额                        230,203,767,334          87,295,655,084
法定代表人:杨德红         主管会计工作负责人:蒋忆明              会计机构负责人:谢乐斌



                                     母公司现金流量表
                                       2015 年 1—9 月
编制单位:国泰君安证券股份有限公司
                                             单位:元     币种:人民币   审计类型:未经审计
              项目                     年初至报告期期末金额        上年年初至报告期期末金额
                                             (1-9月)                     (1-9月)
一、经营活动产生的现金流量:
  处置以公允价值计量且变动计入当
期损益的金融资产净增加
  取得以公允价值计量且其变动计入                4,867,386,991                 1,392,963,734
当期损益的金融负债净增加额
  收取利息、手续费及佣金的现金                 27,096,187,900                 9,323,127,370
  拆入资金净增加额                                                            4,565,000,000
  回购业务资金净增加额                         13,302,644,420                 5,866,603,125
  融出资金净减少额                             14,420,152,041
  代理买卖证券收到的现金净额                   53,669,729,382                14,807,877,567
  收到其他与经营活动有关的现金                  3,857,765,358                 7,972,609,458
    经营活动现金流入小计                      117,213,866,092                43,928,181,254
  取得以公允价值计量且其变动计入               31,838,389,679                11,091,034,457
当期损益的金融资产净增加额
  处置以公允价值计量且其变动计入                      18,157,427
当期损益的金融负债净增加额
  融出资金净增加额                                                           15,575,805,030
  拆入业务资金净减少额                               602,000,000
  代理买卖证券支付的现金净额
  支付利息、手续费及佣金的现金                  6,236,810,616                 1,884,618,961
  支付给职工以及为职工支付的现金                3,593,666,464                 1,757,965,234

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                                   2015 年第三季度报告



  支付的各项税费                                3,956,593,322               1,180,565,682
  支付其他与经营活动有关的现金                  8,405,025,360               2,156,677,030
    经营活动现金流出小计                      54,650,642,868               33,646,666,394
      经营活动产生的现金流量净额              62,563,223,224               10,281,514,860
二、投资活动产生的现金流量:
  收回投资收到的现金                          49,196,748,025               13,058,283,406
  取得投资收益收到的现金                           495,534,765                342,266,682
  收到其他与投资活动有关的现金                                                708,207,092
    处置固定资产、无形资产和其他                     6,045,259                122,723,692
长期资产收回的现金净额
    投资活动现金流入小计                      49,698,328,049               14,231,480,872
  投资支付的现金                              65,679,167,136               11,058,490,216
  取得子公司及其他经营单位支付的                2,499,714,000               1,071,306,000
现金
  购建固定资产、无形资产和其他长                   255,265,448                881,241,762
期资产支付的现金
  支付其他与投资活动有关的现金
    投资活动现金流出小计                      68,434,146,584               13,011,037,978
      投资活动产生的现金流量净额             -18,735,818,535                1,220,442,894
三、筹资活动产生的现金流量:
  吸收投资收到的现金                          40,057,750,000
  取得借款收到的现金                            2,100,000,000
  发行债券收到的现金                          56,166,500,000               34,984,968,749
  收到其他与筹资活动有关的现金                     475,000,000
    筹资活动现金流入小计                      98,799,250,000               34,984,968,749
  偿还债务支付的现金                          49,132,700,000               23,500,000,000
  分配股利、利润或偿付利息支付的                1,770,399,818               1,230,703,489
现金
  支付其他与筹资活动有关的现金
    筹资活动现金流出小计                      50,903,099,818               24,730,703,489
      筹资活动产生的现金流量净额              47,896,150,182               10,254,265,260
四、汇率变动对现金及现金等价物的                   55,494,773                  10,261,671
影响
五、现金及现金等价物净增加额                  91,779,049,644               21,766,484,685
  加:期初现金及现金等价物余额                99,745,904,330               36,899,247,670
六、期末现金及现金等价物余额                 191,524,953,974               58,665,732,355
法定代表人:杨德红         主管会计工作负责人:蒋忆明            会计机构负责人:谢乐斌



4.2 审计报告
□适用 √不适用


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