国泰君安(601211)公告正文

国泰君安:2016年第三季度报告

公告日期:2016-10-28

                                              2016 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
                     2016 年第三季度报告




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                                                                   2016 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.................................................................. 5
四、   附录..................................................................... 11




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                                                                         2016 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              386,028,058,627            454,342,387,249                       -15.04
归属于上市公司       97,495,513,948                95,324,414,670                        2.28
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      -55,143,320,625                74,979,662,394                    不适用
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             20,007,774,126                29,037,339,215                    -31.10
归属于上市公司        7,646,548,753                11,961,111,038                    -36.07
股东的净利润
归属于上市公司        6,098,894,098                11,745,724,383                    -48.08
股东的扣除非经
常性损益的净利

加权平均净资产                    8.33                     20.20        减少 11.87 个百分点
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                                                                               2016 年第三季度报告


收益率(%)
基本每股收益                         0.94                          1.75                     -46.29
(元/股)
稀释每股收益                         0.94                          1.75                     -46.29
(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         说明
             项目
                                    (7-9 月)           额(1-9 月)
                                            -153,873       2,749,722,630     主要为处置海际证券
非流动资产处置损益
                                                                             的投资收益
计入当期损益的政府补助,               14,242,371            702,440,910     主要为财政专项扶持
但与公司正常经营业务密切                                                     资金
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外
除上述各项之外的其他营业                     -24,936         -10,828,615
外收入和支出
所得税影响额                           -3,480,970           -860,689,444
少数股东权益影响额(税后)                    11,756      -1,032,990,826
             合计                      10,594,348          1,547,654,655



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)                                                                             228,792
                                       前十名股东持股情况
  股东名称          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
                                                  股份数量          股份状     数量
                                                                      态
上海国有资产        1,981,628,052      25.99      1,949,347,453                       0   国有法人
                                                                      无
经营有限公司
上海国际集团          698,608,342       9.16        698,608,342                       0   国有法人
                                                                      无
有限公司
深圳市投资控          624,071,941       8.18                   0                      0   国有法人
                                                                      无
股有限公司
上海城投(集          252,491,109       3.31                   0                      0   国有法人
                                                                      无
团)有限公司
深圳能源集团          154,455,909       2.03                   0                      0   境内非国
                                                                      无
股份有限公司                                                                                有法人


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                                                                              2016 年第三季度报告


全国社会保障      151,104,674        1.98        89,090,813                       0      国有法人
基金理事会转                                                       无
持二户
上海金融发展      150,000,000        1.97                   0                     0        其他
投资基金(有                                                       无
限合伙)
大众交通(集      145,155,909        1.90                   0                     0      境内非国
团)股份有限                                                       无                      有法人
公司
中国第一汽车      115,402,526        1.51                   0                     0      国有法人
                                                                   无
集团公司
安徽华茂纺织       95,299,933        1.25                   0                     0      境内非国
                                                                   无
股份有限公司                                                                               有法人
                               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                      股份种类及数量
                                     通股的数量                 种类                  数量
深圳市投资控股有限公司                   624,071,941     人民币普通股                 624,071,941
上海城投(集团)有限公司                 252,491,109     人民币普通股                 252,491,109
深圳能源集团股份有限公司                 154,455,909     人民币普通股                 154,455,909
上海金融发展投资基金(有限合             150,000,000                                  150,000,000
                                                         人民币普通股
伙)
大众交通(集团)股份有限公司             145,155,909     人民币普通股                 145,155,909
中国第一汽车集团公司                     115,402,526     人民币普通股                 115,402,526
安徽华茂纺织股份有限公司                 95,299,933      人民币普通股                   95,299,933
杭州市金融投资集团有限公司               92,322,675      人民币普通股                   92,322,675
上海工业投资(集团)有限公司             84,178,447      人民币普通股                   84,178,447
中国图书进出口(集团)总公司             83,089,818      人民币普通股                   83,089,818
上述股东关联关系或一致行动      上海国有资产经营有限公司是上海国际集团有限公司的全资子公司。除上
的说明                          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东及持      不适用
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
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                                                                    2016 年第三季度报告



 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           112,964,227,470    162,473,210,786    -30.47%   客户资金存款减少
买入返售金融资产    53,157,612,658     39,531,730,036     34.47%   买入返售业务规模增加
                                                                   主要为子公司应收款项规
应收款项             3,542,319,236      1,977,900,959     79.09%
                                                                   模增加
                                                                   期货公司应付保证金增
存出保证金           9,849,469,309      6,470,022,489     52.23%
                                                                   加
长期股权投资         1,460,642,965        929,055,459     57.22%   子公司股权投资规模增加
在建工程               521,696,155        348,656,475     49.63%   在建工程投入增加
递延所得税资产         732,604,401        218,133,585    235.85%   可抵扣暂时性差异增加
短期借款             7,380,932,617      5,387,001,099     37.01%   短期借款规模增加
                                                                   主要是短期融资券余额增
应付短期融资款       8,121,445,914      2,319,469,865    250.14%
                                                                   加
拆入资金             1,200,000,000      8,412,000,000    -85.73%   拆入资金余额减少
以公允价值计量且
                                                                   融入债务工具卖出规模
其变动计入当期损    13,882,026,543      6,414,183,357    116.43%
                                                                   增加
益的金融负债
                                                                   衍生金融负债公允价值
衍生金融负债           202,665,806        133,099,577     52.27%
                                                                   增加
卖出回购金融资产
                    48,277,475,323     82,119,412,045    -41.21%   卖出回购业务规模减小

代理买卖证券款      92,813,024,074    132,769,936,926    -30.09%   客户保证金减少
应交税费             2,753,006,135      5,022,005,573    -45.18%   应税收入及利润减少
长期借款               100,018,885      4,682,614,996    -97.86%   长期借款规模减少
                                                                   应付结构化产品投资者
其他负债             7,927,872,832     15,699,520,885    -49.50%
                                                                   款项减少
                                                                   市场波动造成可供出售
其他综合收益           250,800,475      1,211,595,260    -79.30%   金融资产公允价值变动
                                                                   影响
                                                                   主要是非全资子公司发行
少数股东权益        10,818,256,980      6,312,306,667     71.38%
                                                                   永续债
                                      上年年初至报告
                   年初至报告期期
   利润表项目                         期期末金额(1-9   变动幅度          变动原因
                   末金额(1-9 月)
                                            月)
手续费及佣金净收
                     9,800,308,421     17,512,139,019    -44.04%   经纪业务手续费收入减少

                                                                   证券市场波动导致金融资
公允价值变动收益      -114,699,179       -385,656,076     不适用
                                                                   产公允价值变动
其他业务收入           154,758,414         16,147,802    858.39%   子公司其他业务收入增加
                                                                   应税收入减少且 5 月份起
营业税金及附加         529,274,968      1,750,669,335    -69.77%
                                                                   执行营改增
其他业务成本           123,936,062          2,028,854   6008.67%   子公司其他业务成本增加

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                                                                    收到财政专项扶持资金
营业外收入                 713,322,401       304,014,602    134.63%
                                                                    增加
所得税费用               2,684,712,709    4,163,079,907     -35.51% 应税利润总额减少
                                                                    主要为处置海际证券导
少数股东损益             1,386,569,657       840,765,165     64.92%
                                                                    致少数股东损益增加



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、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
上交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)”。(详见公
司公告临 2015-020 号)
    2016 年 3 月 3 日,国资公司发来《关于继续增持国泰君安证券股份有限公司股份的告知函》,
国资公司和/或其关联公司拟将上述增持计划的实施期限由 6 个月延长至 12 个月(自 2015 年 9
月 7 日起算),累计增持股份的比例由“不超过本公司已发行总股份的 2%”进一步明确为“不低
于本公司已发行总股份的 0.5%,但不超过本公司已发行总股份的 2%(含已增持股份)”。(详见
公司公告 2016-013 号)
    2016 年 9 月 6 日,国资公司发来《关于增持国泰君安证券股份有限公司股份计划实施结果的
通知》,自 2015 年 9 月 7 日国资公司首次增持之日起,截至到 2016 年 9 月 6 日,本次增持计划
实施期限届满。在增持计划实施期间,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 34,878,899 股和 5,310,000 股股份,合计增持 40,188,899 股股份,累计增持
比例为本公司已发行总股份的 0.5271%。(详见公司公告 2016-065 号)


    2、公司公开发行 A 股可转换公司债券事项
    2016 年 5 月 19 日,公司 2015 年年度股东大会审议通过了《关于提请审议公司公开发行 A 股
可转换公司债券方案的议案》及其他相关议案,同意公司公开发行总额不超过人民币 80 亿元(含
80 亿元)的 A 股可转换公司债券。2016 年 8 月 25 日,公司收到中国证监会出具的《中国证监会
行政许可项目审查一次反馈意见通知书(161906 号)》,并及时对反馈意见进行了回复(详见公
司公告 2016-036 号、2016-063 号)。本次发行尚待获得中国证监会核准。


    3、公司公开发行公司债券事项
    2016 年 7 月,公司收到中国证监会《关于核准国泰君安证券股份有限公司向合格投资者公开
发行公司债券的批复》(证监许可[2016]1531 号),批复核准公司向合格投资者公开发行面值不

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                                                                                  2016 年第三季度报告


超过人民币 200 亿元(含人民币 200 亿元)的公司债券。2016 年 8 月 12 日和 9 月 21 日,公司分
别向合格机构投资者成功发行了国泰君安证券股份有限公司 2016 年公司债券(第二期)和国泰君
安证券股份有限公司 2016 年公司债券(第三期),合计募集资金 110 亿元(详见公司公告 2016-050
号、059 号、073 号)。


    4、公司拟发行 H 股股票并在香港联合交易所上市事项
    2016 年 10 月 24 日,公司 2016 年第一次临时股东大会审议通过了《关于公司发行 H 股股票
并在香港联合交易所上市的议案》、《关于公司发行 H 股股票并在香港联合交易所上市方案的议
案》等相关议案,同意公司发行不超过 10.4 亿股 H 股股票(超额配售权行使前)并在香港联交所
主板挂牌上市。(详见公司公告 2016-082 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

                                                                                     如未能及    如未能
                                                                  是否有   是否及    时履行应    及时履
                         承诺        承诺        承诺时间及期
承诺背景    承诺方                                                履行期   时严格    说明未完    行应说
                         类型        内容                限
                                                                   限      履行      成履行的    明下一
                                                                                     具体原因    步计划
           上海国有   股份限    关于持股流      自国泰君安上       是       是           /          /
           资产经营   售        通限制的承      市之日起 36 个
           有限公司             诺              月
                      其他      关于避免与      自国泰君安首       是       是           /          /
                                国泰君安同      次公开发行之
                                业竞争的承      日至不再成为
                                诺              公司控股股东
                                                之日
                      其他      关于股份减      自持股流通限       是       是           /          /
                                持价格的承      制期满后两年
与首次公
                                诺              内
开发行相
                      其他      关于国泰君      自国泰君安上       是       是           /          /
关的承诺
                                安上市后 3 年   市之日起 3 年内
                                内稳定股价
                                的相关承诺
                      其他      关于虚假披      长期               是       是           /          /
                                露情形下赔
                                偿投资者损
                                失的承诺
                      其他      关于持股流      自持股流通限       是       是           /          /
                                通限制期满      制期满后两年
                                后两年内股      内

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                                                                2016 年第三季度报告


                    份减持意向
                    的承诺
上海国际   股份限   关于持股流      自国泰君安上      是   是          /          /
集团有限   售       通限制的承      市之日起 36 个
公司                诺              月
           其他     关于避免与      自国泰君安首      是   是          /          /
                    国泰君安同      次公开发行之
                    业竞争的承      日至不再成为
                    诺              公司实际控制
                                    人之日
           其他     关于股份减      自持股流通限      是   是          /          /
                    持价格的承      制期满后两年
                    诺              内
           其他     关于虚假披      长期              是   是          /          /
                    露情形下赔
                    偿投资者损
                    失的承诺
           其他     关于持股流      自持股流通限      是   是          /          /
                    通限制期满      制期满后两年
                    后两年内股      内
                    份减持意向
                    的承诺
深圳市投   股份限   关于持股流      自国泰君安上      是   是          /          /
资控股有   售       通限制的承      市之日起 12 个
限公司              诺              月
           其他     关于持股流      自持股流通限      是   是          /          /
                    通限制期满      制期满后两年
                    后两年内股      内
                    份减持意向
                    的承诺
本公司     其他     关于国泰君      自国泰君安上      是   是          /          /
                    安上市后 3 年   市之日起 3 年内
                    内稳定股价
                    的相关承诺
           其他     关于虚假披      长期              是   是          /          /
                    露情形下回
                    购股份及赔
                    偿投资者损
                    失的承诺
           解决同   关于消除与      自国泰君安控      是   是          /          /
           业竞争   上海证券及      股上海证券之
                    海际证券同      日起 5 年内
                    业竞争的承
                    诺(注)
                                    9 / 21
                                                                                 2016 年第三季度报告


注:2015 年 9 月,上海证券在上海联合产权交易所挂牌转让海际证券 66.67%股权,并由贵阳金融控股有限公司摘
    牌。2016 年 2 月,上海证监局出具《关于核准海际证券有限责任公司变更持有 5%以上股权股东的批复》(沪
    证监许可[2016]23 号),对贵阳金融控股有限公司依法受让海际证券 333,333,334 元股权(占出资总额的
    66.67%)无异议。2016 年 3 月,海际证券已完成上述股权转让事项的工商变更登记手续。




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               2016-10-27




                                               10 / 21
                                                                     2016 年第三季度报告



四、 附录


    4.1     财务报表
                                     合并资产负债表
                                    2016 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                                    112,964,227,470         162,473,210,786
    其中:客户存款                             96,083,425,015         132,414,273,221
  结算备付金                                   12,914,135,665           16,657,158,605
    其中:客户备付金                           11,081,353,406           14,146,421,360
  融出资金                                     64,309,106,918           82,271,474,289
  以公允价值计量且其变动计入当期               76,761,810,644           91,012,162,585
损益的金融资产
  衍生金融资产                                     157,899,630             182,444,576
  买入返售金融资产                             53,157,612,658           39,531,730,036
  应收款项                                      3,542,319,236            1,977,900,959
  应收利息                                      1,645,364,174            2,116,557,982
  存出保证金                                    9,849,469,309            6,470,022,489
  可供出售金融资产                             38,733,265,957           39,921,234,114
  长期股权投资                                  1,460,642,965              929,055,459
  固定资产                                      2,841,683,403            2,936,089,328
  在建工程                                         521,696,155             348,656,475
  无形资产                                      2,202,164,313            2,193,741,685
  商誉                                             581,407,294             581,407,294
  递延所得税资产                                   732,604,401             218,133,585
  其他资产                                      3,652,648,435            4,521,407,002
          资产总计                            386,028,058,627         454,342,387,249
负债:
  短期借款                                      7,380,932,617            5,387,001,099
  应付短期融资款                                8,121,445,914            2,319,469,865
  拆入资金                                      1,200,000,000            8,412,000,000
  以公允价值计量且其变动计入当期               13,882,026,543            6,414,183,357
损益的金融负债
  衍生金融负债                                     202,665,806             133,099,577
  卖出回购金融资产款                           48,277,475,323           82,119,412,045
  代理买卖证券款                               92,813,024,074         132,769,936,926
  代理承销证券款                                1,838,492,407            1,612,757,283
  应付职工薪酬                                  6,236,599,206            6,779,519,199
                                         11 / 21
                                                                      2016 年第三季度报告


  应交税费                                      2,753,006,135                5,022,005,573
  应付款项                                     22,021,968,994               20,533,642,789
  应付利息                                      1,813,485,271                2,329,559,396
  预计负债                                          2,113,719                   2,113,719
  长期借款                                         100,018,885               4,682,614,996
  应付债券                                     62,303,193,599               57,623,981,685
  长期应付职工薪酬                                 631,789,045                 614,539,045
  递延所得税负债                                   208,177,329                 250,308,473
  其他负债                                      7,927,872,832               15,699,520,885
   负债合计                                   277,714,287,699           352,705,665,912
所有者权益(或股东权益):
  股本                                          7,625,000,000                7,625,000,000
  其他权益工具                                 10,000,000,000               10,000,000,000
  资本公积                                     29,333,754,630               29,293,409,320
  其他综合收益                                     250,800,475               1,211,595,260
  盈余公积                                      4,989,708,790                4,989,708,790
  一般风险准备                                 10,265,237,693               10,266,703,257
  未分配利润                                   35,031,012,360               31,937,998,043
  归属于母公司股东权益合计                     97,495,513,948               95,324,414,670
  少数股东权益                                 10,818,256,980                6,312,306,667
   股东权益合计                               108,313,770,928           101,636,721,337
   负债和股东权益总计                         386,028,058,627           454,342,387,249


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
                                    2016 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                                     71,157,723,939           118,450,708,878
   其中:客户存款                              61,713,586,508               95,448,965,218
  结算备付金                                   11,202,999,480               12,493,412,809
   其中:客户备付金                             9,938,954,757               12,060,629,017
  融出资金                                     46,864,513,744               64,881,121,213
  以公允价值计量且其变动计入当                 50,062,564,531               74,109,225,132
期损益的金融资产
  衍生金融资产                                     65,244,084                  159,778,431
  买入返售金融资产                             50,630,400,067               28,245,479,702
  应收款项                                      1,661,647,069                1,251,331,402

                                         12 / 21
                                                                     2016 年第三季度报告


  应收利息                                  1,058,557,244                   1,605,157,698
  存出保证金                                1,219,166,001                   1,298,597,565
  可供出售金融资产                         32,753,115,972                  31,307,662,546
  长期股权投资                             11,273,972,151                  11,171,297,740
  固定资产                                  1,308,322,400                   1,347,650,657
  在建工程                                       116,886,666                  82,785,526
  无形资产                                       263,062,089                  232,248,627
  递延所得税资产                                 863,563,968                  646,416,865
  其他资产                                  2,478,290,989                   4,284,185,457
   资产总计                               282,980,030,394              351,567,060,248
负债:
  应付短期融资款                            7,755,840,000                     759,950,000
  拆入资金                                  1,000,000,000                   7,650,000,000
  以公允价值计量且其变动计入当              6,502,401,731                   4,373,673,474
期损益的金融负债
  衍生金融负债                                   95,510,809                   113,064,956
  卖出回购金融资产款                       45,855,452,623                  80,544,667,552
  代理买卖证券款                           70,234,232,055              104,972,179,379
  代理承销证券款                                          -                   212,500,000
  应付职工薪酬                              4,611,605,247                   5,071,670,211
  应交税费                                  1,513,904,908                   4,526,801,404
  应付款项                                  1,253,859,720                   1,505,205,174
  应付利息                                  1,287,854,628                   1,553,120,020
  预计负债                                        2,113,719                    2,113,719
  长期借款                                                -                 1,995,000,000
  应付债券                                 53,924,703,704                  49,047,606,481
  长期应付职工薪酬                               600,000,000                  600,000,000
  递延所得税负债                                          -                            -
  其他负债                                       634,425,376                1,107,530,864
   负债合计                               195,271,904,520              264,035,083,234
股东权益:
  股本                                      7,625,000,000                   7,625,000,000
  其他权益工具                             10,000,000,000                  10,000,000,000
  资本公积                                 28,499,174,998                  28,453,164,860
  其他综合收益                                  -233,596,191                  447,425,589
  盈余公积                                  4,989,708,790                   4,989,708,790
  一般风险准备                              9,679,866,763                   9,679,866,763
  未分配利润                               27,147,971,514                  26,336,811,012
    股东权益合计                           87,708,125,874                  87,531,977,014
负债和股东权益总计                        282,980,030,394              351,567,060,248


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
                                      13 / 21
                                                                         2016 年第三季度报告




                                        合并利润表
                                      2016 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            6,300,339,605     6,735,900,226   20,007,774,126    29,037,339,215
  手续费及佣金净收入    3,074,168,247     4,978,048,535    9,800,308,421    17,512,139,019
  其中:经纪业务手续    1,723,082,456     3,201,809,039    5,456,617,091    13,661,448,440
费净收入
        投资银行业务      825,315,068       599,397,674    2,390,982,587     1,701,518,547
手续费净收入
        资产管理业务      477,265,446       533,929,279    1,842,410,202     1,527,974,346
手续费净收入
  利息净收入            1,312,052,543     1,417,001,020    3,488,946,522     4,439,389,258
  投资收益(损失以      1,494,770,957     2,244,183,186    6,668,133,013     7,464,660,311
“-”号填列)
  其中:对联营企业和         -99,527          3,120,000      51,097,341           3,120,000
合营企业的投资收益
  公允价值变动收益        391,357,197    -1,893,092,898     -114,699,179      -385,656,076
(损失以“-”号填列)
  汇兑收益(损失以         2,631,805        -12,759,699      10,326,935         -9,341,099
“-”号填列)
  其他业务收入            25,358,856          2,520,082      154,758,414        16,147,802
二、营业支出            2,673,196,919     3,784,281,320    8,980,412,535    12,366,840,782
  营业税金及附加          46,883,819        519,768,827      529,274,968     1,750,669,335
  业务及管理费          2,384,785,561     2,751,823,243    7,511,559,831     9,859,922,404
  资产减值损失            227,427,109       512,140,768      815,641,674       754,220,189
  其他业务成本            14,100,430            548,482      123,936,062          2,028,854
三、营业利润(亏损以    3,627,142,686     2,951,618,906   11,027,361,591    16,670,498,433
“-” 号填列)
  加:营业外收入          15,219,130        286,561,553      713,322,401       304,014,602
  减:营业外支出           1,155,568          4,027,664      22,852,873           9,556,925
四、利润总额(亏损总    3,641,206,248     3,234,152,795   11,717,831,119    16,964,956,110
额以“-”号填列)
  减:所得税费用          798,603,430       835,729,440    2,684,712,709     4,163,079,907
五、净利润(净亏损以    2,842,602,818     2,398,423,355    9,033,118,410    12,801,876,203
“-”号填列)
  其中: 归属于母公司   2,626,384,389     2,323,488,560    7,646,548,753    11,961,111,038
所有者(或股东)的净
                                          14 / 21
                                                                     2016 年第三季度报告


利润
  少数股东损益           216,218,429       74,934,795    1,386,569,657        840,765,165
六、其他综合收益的税     687,701,305   -1,349,228,919     -919,572,654     -1,261,869,034
后净额
  归属母公司所有者的     639,399,070   -1,374,248,107     -960,794,785     -1,341,344,435
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     639,399,070   -1,374,248,107     -960,794,785     -1,341,344,435
进损益的其他综合收益
    1.权益法下在被投     -4,303,017                 -        7,531,838                 -
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     605,989,687   -1,490,776,992   -1,095,250,063     -1,455,928,106
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     37,712,400       116,528,885      126,923,440        114,583,671
算差额
   6.其他
  归属于少数股东的其     48,302,235        25,019,188       41,222,131        79,475,401
他综合收益的税后净额
七、综合收益总额       3,530,304,123    1,049,194,436    8,113,545,756     11,540,007,169
  归属于母公司所有者   3,265,783,459      949,240,453    6,685,753,968     10,619,766,603
的综合收益总额
  归属于少数股东的综     264,520,664       99,953,983    1,427,791,788        920,240,566
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


                                        15 / 21
                                                                         2016 年第三季度报告



                                        母公司利润表
                                       2016 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     年初至报告期期 上年年初至报告
                          (7-9 月)         (7-9 月)       末金额       期期末金额
                                                            (1-9 月)     (1-9 月)
一、营业收入             4,581,023,648      5,518,992,467   12,709,902,445   23,142,126,812
  手续费及佣金净收       2,317,725,327      3,991,806,134    7,225,138,807   13,971,475,104

  其中:经纪业务手续     1,570,121,037      3,460,831,566    4,999,147,818   12,486,824,397
费净收入
        投资银行业         725,269,716        555,318,187    2,132,729,974    1,543,677,193
务手续费净收入
        资产管理业                     -                                -
务手续费净收入
  利息净收入               903,030,873        961,626,060    2,335,980,132    3,186,792,110
  投资收益(损失以       1,080,726,641      2,096,125,120    3,304,851,548    6,356,686,741
“-”号填列)
  其中:对联营企业和                   -        3,120,000       1,765,216         3,120,000
合营企业的投资收益
  公允价值变动收益         274,271,257     -1,540,789,668     -174,212,539     -387,586,293
(损失以“-”号填列)
  汇兑收益(损失以          2,339,436           8,439,238      10,388,300         8,513,993
“-”号填列)
  其他业务收入              2,930,114           1,785,583       7,756,197         6,245,157
二、营业支出             2,026,500,094      2,972,576,579    6,395,801,116    9,826,897,528
  营业税金及附加           38,959,438         438,187,549      418,248,293    1,481,176,371
  业务及管理费           1,869,852,096      2,129,371,476    5,273,509,856    7,713,874,604
  资产减值损失             117,688,560        405,017,554      704,042,967      631,846,553
  其他业务成本                                                          -
三、营业利润(亏损以     2,554,523,554      2,546,415,888    6,314,101,329   13,315,229,284
“-” 号填列)
  加:营业外收入               840,736        240,758,148      549,150,195      241,880,921
  减:营业外支出               901,451          3,091,820      20,796,112         3,563,895
四、利润总额(亏损总     2,554,462,839      2,784,082,216    6,842,455,412   13,553,546,310
额以“-”号填列)
  减:所得税费用           577,009,692        731,497,766    1,476,294,910    3,377,691,286
五、净利润(净亏损以     1,977,453,147      2,052,584,450    5,366,160,502   10,175,855,024
“-” 号填列)
六、其他综合收益的税       663,945,622     -1,272,242,042     -681,021,780   -1,459,159,790
后净额
                                            16 / 21
                                                                          2016 年第三季度报告


  (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        663,945,622   -1,272,242,042      -681,021,780     -1,459,159,790
进损益的其他综合收

    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          663,945,622   -1,272,242,042      -681,021,780     -1,459,159,790
资产公允价值变动损

    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          2,641,398,769     780,342,408      4,685,138,722     8,716,695,234


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
                                      2016 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                  6,373,134,276             4,407,893,778
损益的金融负债净增加额
  处置以公允价值计量且变动计入当期损                 15,372,885,081

                                           17 / 21
                                                                   2016 年第三季度报告


益的金融资产净增加额
  收取利息、手续费及佣金的现金                   20,796,770,895       32,086,183,228
  拆入资金净增加额
  回购业务资金净增加额                                                 7,037,579,095
  融出资金净减少额                               18,050,126,071       13,303,880,701
  代理买卖证券收到的现金净额                                          66,141,739,539
  收到其他与经营活动有关的现金                    6,027,453,607       13,857,472,021
   经营活动现金流入小计                          66,620,369,930     136,834,748,362
  取得以公允价值计量且其变动计入当期                                  31,536,394,961
损益的金融资产净增加额
  回购业务资金净减少额                           53,513,314,554
  拆入业务资金净减少额                            7,212,000,000        1,092,000,000
  融出资金净增加额
  代理买卖证券支付的现金净额                     39,956,912,852
  支付利息、手续费及佣金的现金                    4,008,877,315        7,256,318,514
  支付给职工以及为职工支付的现金                  5,870,300,183        4,632,461,697
  支付的各项税费                                  5,936,888,271        5,197,109,919
  支付其他与经营活动有关的现金                    5,265,397,380       12,140,800,877
   经营活动现金流出小计                          121,763,690,555      61,855,085,968
      经营活动产生的现金流量净额                 -55,143,320,625      74,979,662,394
二、投资活动产生的现金流量:
  收回投资收到的现金                             36,008,815,583       53,864,773,092
  取得投资收益收到的现金                            856,241,305          515,534,765
  处置子公司及其他营业单位收到的现金                                        5,661,376
净额
  处置固定资产、无形资产和其他长期资                 31,680,421             9,412,393
产收回的现金净额
  收到其他与投资活动有关的现金
   投资活动现金流入小计                          36,896,737,309       54,395,381,626
  投资支付的现金                                 38,772,731,847       75,399,322,824
  购建固定资产、无形资产和其他长期资                285,343,925          438,300,881
产支付的现金
  取得子公司及其他营业单位支付的现金                 36,535,630        2,846,805,038
净额
  处置子公司及其他营业单位支付的现金                184,354,559
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                          39,278,965,961       78,684,428,743
      投资活动产生的现金流量净额                 -2,382,228,652     -24,289,047,117
三、筹资活动产生的现金流量:
  吸收投资收到的现金                              3,159,920,386       40,057,750,000
  其中:子公司吸收少数股东投资收到的              3,159,920,386

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                                                                      2016 年第三季度报告


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                             27,112,976,262             45,020,943,110
  发行债券收到的现金                             41,156,927,561             57,957,096,929
  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                         71,429,824,209         143,510,790,039
  偿还债务支付的现金                             68,101,749,902             84,958,201,846
  分配股利、利润或偿付利息支付的现金              8,147,360,360              2,342,609,059
  其中:子公司支付给少数股东的股利、                140,824,605                169,546,021
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                         76,249,110,262             87,300,810,905
       筹资活动产生的现金流量净额                -4,819,286,053             56,209,979,134
四、汇率变动对现金及现金等价物的影响                137,250,375                679,336,637
五、现金及现金等价物净增加额                     -62,207,584,955        107,579,931,048
  加:期初现金及现金等价物余额                   180,733,258,549        122,623,836,286
六、期末现金及现金等价物余额                     118,525,673,594        230,203,767,334


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
                                    2016 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:
  取得以公允价值计量且其变动计入             2,191,527,650                   4,867,386,991
当期损益的金融负债净增加额
  处置以公允价值计量且变动计入当            24,128,633,897
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              16,555,675,470                  27,096,187,900
  拆入资金净增加额
  回购业务资金净增加额                                                      13,302,644,420
  融出资金净减少额                          18,112,569,880                  14,420,152,041
  代理买卖证券收到的现金净额                                                53,669,729,382
  收到其他与经营活动有关的现金               2,326,884,974                   3,857,765,358
   经营活动现金流入小计                     63,315,291,871              117,213,866,092
  取得以公允价值计量且其变动计入                                            31,838,389,679
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

                                       19 / 21
                                                           2016 年第三季度报告


当期损益的金融负债净增加额
  回购业务资金净减少额                  62,829,103,625
  拆入业务资金净减少额                   6,650,000,000           602,000,000
  融出资金净增加额
  代理买卖证券支付的现金净额            34,769,841,921
  支付利息、手续费及佣金的现金           3,900,358,762         6,236,810,616
  支付给职工以及为职工支付的现金         4,206,863,931         3,593,666,464
  支付的各项税费                         5,473,441,083         3,956,593,322
  支付其他与经营活动有关的现金           2,699,455,655         8,405,025,360
   经营活动现金流出小计                120,529,064,977        54,650,642,868
      经营活动产生的现金流量净额       -57,213,773,106        62,563,223,224
二、投资活动产生的现金流量:
  收回投资收到的现金                    20,278,419,192        49,196,748,025
  取得投资收益收到的现金                     743,005,660         495,534,765
  处置子公司及其他营业单位收到的
现金净额
  处置固定资产、无形资产和其他长                590,163             6,045,259
期资产收回的现金净额
  收到其他与投资活动有关的现金
   投资活动现金流入小计                 21,022,015,015        49,698,328,049
  投资支付的现金                        21,946,234,570        65,679,167,136
  购建固定资产、无形资产和其他长             231,843,525         255,265,448
期资产支付的现金
  取得子公司及其他营业单位支付的                               2,499,714,000
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                 22,178,078,095        68,434,146,584
      投资活动产生的现金流量净额        -1,156,063,080       -18,735,818,535
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
  其中:发行永续债收到的现金
  取得借款收到的现金                                           2,100,000,000
  发行债券收到的现金                    40,702,688,889        56,166,500,000
  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                 40,702,688,889        98,799,250,000
  偿还债务支付的现金                    31,269,410,000        49,132,700,000
  分配股利、利润或偿付利息支付的         6,730,277,155         1,770,399,818
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
   筹资活动现金流出小计                 37,999,687,155        50,903,099,818

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                                                                   2016 年第三季度报告


     筹资活动产生的现金流量净额             2,703,001,734                47,896,150,182
四、汇率变动对现金及现金等价物的                42,282,897                  55,494,773
影响
五、现金及现金等价物净增加额              -55,624,551,555                91,779,049,644
  加:期初现金及现金等价物余额            143,105,346,824                99,745,904,330
六、期末现金及现金等价物余额               87,480,795,269            191,524,953,974


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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