国泰君安(601211)公告正文

国泰君安:2017年第三季度报告

公告日期:2017-10-31

                                              2017 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
                     2017 年第三季度报告




                             1 / 20
                                                                   2017 年第三季度报告




                                    目录
一、   重要提示.................................................................. 3
二、   公司基本情况 .............................................................. 3
三、   重要事项.................................................................. 5
四、   附录...................................................................... 9




                                      2 / 20
                                                                       2017 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谢乐斌及会计机构负责人(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、 公司基本情况


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
                              本报告期末            上年度末
                                                                          末增减(%)
总资产                      415,556,773,232         411,749,041,689                   0.92
归属于上市公司股东的净
                            120,715,370,179          99,964,418,051                 20.76
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)
经营活动产生的现金流量
                            -44,599,775,612         -55,143,320,625                不适用
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                    16,614,840,116           20,007,774,126                -16.96
归属于上市公司股东的净
                             7,035,315,463            7,646,548,753                 -7.99
利润
归属于上市公司股东的扣
                             6,489,688,118            6,098,894,098                   6.41
除非经常性损益的净利润
加权平均净资产收益率(%)             6.61                     8.33    下降 1.72 个百分点
基本每股收益(元/股)                 0.80                     0.94                -14.89
稀释每股收益(元/股)                 0.80                     0.94                -14.89




                                           3 / 20
                                                                                 2017 年第三季度报告


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       说明
               项目
                                         (7-9 月)           金额(1-9 月)
非流动资产处置损益                              -1,216,764            -1,681,414
计入当期损益的政府补助,但与公司                35,465,604           739,452,104     主要是财政专项
正常经营业务密切相关,符合国家政                                                     扶持资金
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外收入                  -5,315,301            -8,889,636
和支出
所得税影响额                                    -7,446,955           -182,472,738
少数股东权益影响额(税后)                        -144,471              -780,971
               合计                             21,342,113           545,627,345



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)                                                                              164,442
                                      前十名股东持股情况
                                        比例      持有有限售条         质押或冻结情况
股东名称(全称)      期末持股数量                                                         股东性质
                                        (%)         件股份数量        股份状态      数量
上海国有资产经营
                      1,900,963,748     21.82     1,900,963,748          无            -   国有法人
有限公司(注 1)
香港中央结算(代
理人)有限公司(注    1,197,608,780     13.74                   -        无            -   境外法人
2)
上海国际集团有限
                        682,215,791      7.83       682,215,791          无            -   国有法人
公司
深圳市投资控股有
                        609,428,357      6.99                   -        无            -   国有法人
限公司(注 3)
中国证券金融股份                                                                           境内非国
                        392,864,684      4.51                   -        无            -
有限公司                                                                                     有法人
上海城投(集团)
                        246,566,512      2.83                   -        无            -   国有法人
有限公司
深圳能源集团股份                                                                           境内非国
                        154,455,909      1.77                   -        无            -
有限公司                                                                                     有法人
全国社会保障基金
                        151,104,674      1.73           89,090,813       无            -   国有法人
理事会转持二户
大众交通(集团)                                                                           境内非国
                        129,555,909      1.49                   -        无            -
股份有限公司                                                                                 有法人


                                               4 / 20
                                                                                    2017 年第三季度报告


上海金融发展投资
                          125,556,968       1.44                   -        无          -          其他
基金(有限合伙)
                                  前十名无限售条件股东持股情况
                                        持有无限售条件                     股份种类及数量
             股东名称
                                        流通股的数量                种类                    数量
香港中央结算(代理人)有限公司            1,197,608,780       境外上市外资股            1,197,608,780
深圳市投资控股有限公司                       609,428,357       人民币普通股                 609,428,357
中国证券金融股份有限公司                     392,864,684       人民币普通股                 392,864,684
上海城投(集团)有限公司                     246,566,512       人民币普通股                 246,566,512
深圳能源集团股份有限公司                     154,455,909       人民币普通股                 154,455,909
大众交通(集团)股份有限公司                 129,555,909       人民币普通股                 129,555,909
上海金融发展投资基金(有限合伙)             125,556,968       人民币普通股                 125,556,968
中国第一汽车集团公司                         112,694,654       人民币普通股                 112,694,654
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
中国图书进出口(集团)总公司                  77,635,900       人民币普通股                 77,635,900
上述股东关联关系或一致行动的说         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
明                                     资子公司。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东及持股数
                                       不适用
量的说明

注 1:前十大股东列表中,国资公司的期末持股数量仅为其持有的本公司 A 股股数,国资公司另持有公司
    152,000,000 股 H 股,由香港中央结算(代理人)有限公司作为名义持有人持有。
注 2:香港中央结算(代理人)有限公司为本公司非登记 H 股股东所持股份的名义持有人。
注 3:前十大股东列表中,深圳投控的期末持股数量仅为其持有的本公司 A 股股数,深圳投控另持有公司
    103,373,800 股 H 股,由香港中央结算(代理人)有限公司作为名义持有人持有。
注 4:此处的限售条件股份、限售条件股东是根据《上海证券交易所股票上市规则》所定义。
注 5:公司股东总数包括 A 股普通股股东和 H 股登记股东,其中 A 股股东 164,186 户,H 股股东 256 户。


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
                                                                         单位:元 币种:人民币
                                                                本报告期
                                                                末比上年
 资产负债表项目           本报告期末            上年度末                             变动原因
                                                                度末增减
                                                                  (%)
买入返售金融资产        91,356,243,580     63,211,378,027           44.52    股票质押业务规模增加
                                                 5 / 20
                                                                        2017 年第三季度报告


                                                                  主要是收益凭证和短期
应付短期融资款     27,628,496,559   14,847,586,444        86.08
                                                                  融资券增加
拆入资金            7,700,000,000      4,700,000,000      63.83   拆入业务资金净增加
以公允价值计量且                                                  主要为该金融负债项下
其变动计入当期损   23,116,468,194   16,515,355,996        39.97   贵金属和结构性票据的
益的金融负债                                                      增加
                                                                  上年末代理承销证券款
代理承销证券款        231,473,183      9,922,296,103     -97.67
                                                                  本期划出导致减少
                                                                  H 股上市募集资金,导致
股本                8,713,933,800      7,625,000,000      14.28
                                                                  股本增加
                                                                  H 股上市募集资金,导致
资本公积           43,380,312,457   29,374,285,381        47.68
                                                                  股本溢价增加
                                                                  主要为可供出售金融资
其他综合收益        1,538,890,481        484,305,854     217.75
                                                                  产公允价值变动的影响
                                                       比上年同
利润表和现金流量   年初至报告期末   上年初至上年报
                                                       期增减            变动原因
    表项目           (1-9 月)     告期末(1-9 月)
                                                         (%)
                                                                  主要是上年同期处置海
投资收益            4,538,865,303      6,668,133,013     -31.93   际证券股权产生较大的
                                                                  投资收益
                                                                  主要是证券市场波动相
资产减值损失          276,398,902        815,641,674     -66.11   应计提可供出售金融资
                                                                  产减值
                                                                  主要为可供出售金融资
其他综合收益          815,237,847       -919,572,654     不适用
                                                                  产公允价值变动的影响
                                                                  主要是买卖可供出售金
投资活动产生的现
                    4,423,264,196   -2,382,228,652       不适用   融资产发生的净流入增
金流量净额
                                                                  加
筹资活动产生的现                                                  主要为 H 股上市及发行
                   13,415,857,057   -4,819,286,053       不适用
金流量净额                                                        债券收到的现金增加




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、公开发行A股可转换公司债券事项

    经中国证监会核准,本公司于2017年7月7日公开发行规模为人民币70亿元的A股可转债,并于
2017年7月24日在上交所挂牌上市,债券代码113013(详见公司公告2017-040、2017-043、2017-052
号)。

    2、发行公司债券事项



                                          6 / 20
                                                                      2017 年第三季度报告


    经中国证监会核准,本公司获准向合格投资者公开发行面值不超过人民币200亿元的公司债券。
2017年8月4日,2017年公司债券(第一期)发行结束,本期债券品种一为3年期,发行规模47亿元,
票面利率4.57%;品种二为5年期,发行规模6亿元,票面利率4.70%。2017年10月18日,2017年公
司债券(第二期)发行结束,本期债券为3年期,发行规模37亿元,票面利率4.78%(详见公司公
告2017-056、2017-057、2017-060、2017-061、2017-062、2017-070、2017-072、2017-073号等)。

    根据上交所《关于对上海证券有限责任公司非公开发行短期公司债券挂牌转让无异议的函》
(上证函[2017]101号),本公司的控股子公司上海证券获准发行不超过人民币57亿元短期公司债
券。2017年3月和9月,上海证券分别完成两期短期公司债券发行,发行规模合计30亿元。

    根据上交所《关于对上海证券有限责任公司非公开发行次级债券挂牌转让无异议的函》(上
证函[2017]264号),上海证券获准发行不超过人民币20亿元次级债券。2017年5月和8月,上海证
券分别完成两期次级债券发行,发行规模合计20亿元。

    3、挂牌转让国联安基金51%股权事项

    为优化资产管理业务布局,2017年1月9日,本公司将持有的国联安基金管理有限公司(以下简
称“国联安基金”)51%的股权在上海联合产权交易所公开挂牌转让。太平洋资产管理有限责任公
司以人民币104,500万元的报价成为股权受让人并支付全部款项(详见公司公告2017-002、
2017-034号)。2017年8月2日,中国保监会批复同意太平洋资产管理有限责任公司收购国联安基
金51%股权。截至本报告披露日,本项股权转让事宜尚待中国证监会核准。

    4、收购华安基金20%股权事项

    本公司的全资子公司国泰君安创新投资有限公司(以下简称“国泰君安创投”)于2014年4
月9日在上海联合产权交易所摘牌受让华安基金管理有限公司(以下简称“华安基金”)20%股权,
并与转让方上海电气(集团)总公司签署了产权交易合同。2017年10月12日,中国证监会出具《关
于核准华安基金管理有限公司变更股权的批复》(证监许可[2017]1809号),核准上海电气(集
团)总公司将其持有的华安基金20%股权转让给国泰君安创投。在上述股权转让完成工商变更登记
后,国泰君安创投将持有华安基金20%股权(详见公司公告2017-001、2017-071号)。

    5、规范私募基金子公司相关事项

    2017年6月14日,公司第五届董事会第十次临时会议审议通过《关于提请审议落实〈证券公司
私募投资基金子公司管理规范〉要求的议案》,同意公司按照《证券公司私募投资基金子公司管
理规范》要求制定的《私募投资基金子公司整改方案》,责成公司经营层根据该方案对国泰君安
创投及其子公司进行整改(详见公司公告2017-041号)。2017年10月9日,根据中国证券业协会发
布的《证券公司及其私募基金子公司等规范平台名单公示(第一批)》,公司的整改方案已经审查
认可,国泰君安创投可以据此办理有关私募基金管理人登记和产品备案。

    6、向国泰君安资管增资事项


                                         7 / 20
                                                                      2017 年第三季度报告


    2017年7月,根据公司第五届董事会第十次临时会议审议通过的《关于提请审议对上海国泰君
安证券资产管理有限公司增资的议案》,本公司向国泰君安资管增资12亿元。增资后,国泰君安
资管的注册资本由人民币8亿元增加至20亿元(详见公司公告2017-041、2017-042号)。

    7、投资参与上海科创母基金事项

    2017年10月,公司第五届董事会第六次会议审议通过《关于提请审议公司投资参与上海科创
母基金的议案》,同意公司出资认购10亿元上海科创中心股权投资基金。 详见公司公告2017-075、
2017-076号)。


3.3 报告期内超期未履行完毕的承诺事项
□适用 √不适用



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             2017 年 10 月 30 日




                                        8 / 20
                                                                     2017 年第三季度报告



四、 附录


4.1 财务报表
                                     合并资产负债表
                                    2017 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                                     96,927,752,938         120,829,358,222
    其中:客户存款                             76,077,068,962           92,886,250,947
  结算备付金                                   10,908,301,490           15,272,021,095
    其中:客户备付金                           10,026,316,144           13,492,640,964
  融出资金                                     68,292,342,059           68,892,785,353
  以公允价值计量且其变动计入当期               85,547,643,055           76,723,237,587
损益的金融资产
  衍生金融资产                                      181,415,860            175,423,808
  买入返售金融资产                             91,356,243,580           63,211,378,027
  应收款项                                        2,957,365,048          3,506,000,674
  应收利息                                        1,870,305,901          1,658,114,498
  存出保证金                                      7,327,674,922          9,742,881,013
  可供出售金融资产                             39,568,731,545           40,481,221,676
  长期股权投资                                    1,383,938,141          1,261,339,923
  固定资产                                        2,772,132,368          2,846,589,033
  在建工程                                          653,460,651            523,656,320
  无形资产                                        2,207,839,938          2,207,935,636
  商誉                                              581,407,294            581,407,294
  递延所得税资产                                    258,302,362            762,365,006
  其他资产                                        2,761,916,080          3,073,326,524
         资产总计                             415,556,773,232         411,749,041,689
负债:
  短期借款                                        5,618,140,205          6,162,661,719
  应付短期融资款                               27,628,496,559           14,847,586,444
  拆入资金                                        7,700,000,000          4,700,000,000
  以公允价值计量且其变动计入当期               23,116,468,194           16,515,355,996
损益的金融负债
  衍生金融负债                                      175,886,331            290,500,392
  卖出回购金融资产款                           43,904,832,473           39,718,419,568
  代理买卖证券款                               74,097,108,881           93,256,668,447
  代理承销证券款                                    231,473,183          9,922,296,103
  应付职工薪酬                                    5,154,503,763          6,269,165,298
                                         9 / 20
                                                                   2017 年第三季度报告


               项目                       期末余额                     年初余额
  应交税费                                   1,873,504,624                3,820,986,731
  应付款项                                  19,591,851,147               21,491,246,380
  应付利息                                   1,870,890,389                1,814,356,844
  预计负债                                       32,113,719                 32,113,719
  长期借款                                                -               1,978,038,908
  应付债券                                  66,688,702,390               72,738,764,749
  长期应付职工薪酬                               622,457,673                631,789,045
  递延所得税负债                                 178,561,747                103,920,396
  其他负债                                   5,492,139,502                6,703,449,171
    负债合计                               283,977,130,780              300,997,319,910
所有者权益(或股东权益):
  实收资本(或股本)                         8,713,933,800                7,625,000,000
  其他权益工具                              11,129,841,162               10,000,000,000
  资本公积                                  43,380,312,457               29,374,285,381
  其他综合收益                               1,538,890,481                  484,305,854
  盈余公积                                   5,729,487,399                5,729,487,399
  一般风险准备                              12,193,982,782               12,193,982,782
  未分配利润                                38,028,922,098               34,557,356,635
  归属于母公司所有者权益(或股东           120,715,370,179               99,964,418,051
权益)合计
  少数股东权益                              10,864,272,273               10,787,303,728
    所有者权益(或股东权益)合计           131,579,642,452              110,751,721,779
    负债和所有者权益(或股东权益)         415,556,773,232              411,749,041,689
总计


法定代表人:杨德红 主管会计工作负责人:谢乐斌 会计机构负责人:谢乐斌




                                       10 / 20
                                                                     2017 年第三季度报告


                                    母公司资产负债表
                                    2017 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                                     61,911,628,281           80,968,794,008
   其中:客户存款                              47,251,922,437           59,934,216,796
  结算备付金                                    8,986,908,884           13,406,846,172
   其中:客户备付金                             8,585,599,468           12,188,442,829
  融出资金                                     51,820,718,312           50,497,692,620
  以公允价值计量且其变动计入当                 53,535,269,714           54,657,629,359
期损益的金融资产
  衍生金融资产                                     41,890,964               65,864,031
  买入返售金融资产                             87,792,050,990           59,758,258,425
  应收款项                                      2,730,212,586            2,055,535,132
  应收利息                                      1,202,030,638            1,084,933,312
  存出保证金                                    1,197,689,538            1,393,849,551
  可供出售金融资产                             31,106,009,531           32,424,052,355
  长期股权投资                                 12,466,628,197           11,265,921,431
  固定资产                                      1,304,905,965            1,313,994,651
  在建工程                                         85,324,646               86,232,826
  无形资产                                         293,489,264             269,783,350
  递延所得税资产                                   227,184,940             921,033,127
  其他资产                                      1,855,640,395            2,239,638,654
   资产总计                                  316,557,582,845          312,410,059,004
负债:
  应付短期融资款                               22,996,520,000           14,789,980,000
  拆入资金                                      7,500,000,000            4,500,000,000
  以公允价值计量且其变动计入当                 12,801,226,444            8,695,117,793
期损益的金融负债
  衍生金融负债                                     84,078,063              186,166,890
  卖出回购金融资产款                           39,127,122,231           38,343,596,188
  代理买卖证券款                               54,398,180,453           70,879,422,182
  代理承销证券款                                            -            9,851,323,700
  应付职工薪酬                                  4,057,132,840            4,530,880,290
  应交税费                                      1,460,612,349            2,669,449,752
  应付款项                                      2,547,588,847            1,011,056,197
  应付利息                                      1,503,057,295            1,530,316,847
  预计负债                                         32,113,719               32,113,719
  应付债券                                     59,107,280,158           63,932,092,593
  长期应付职工薪酬                                 600,000,000             600,000,000

                                         11 / 20
                                                                   2017 年第三季度报告


               项目                       期末余额                     年初余额
  其他负债                                       633,586,711                632,372,066
   负债合计                                206,848,499,110              222,183,888,217
所有者权益(或股东权益):
  实收资本(或股本)                         8,713,933,800                7,625,000,000
  其他权益工具                              11,129,841,162               10,000,000,000
  资本公积                                  42,377,897,405               28,504,462,410
  其他综合收益                               1,571,875,387                  247,535,720
  盈余公积                                   5,729,487,399                5,729,487,399
  一般风险准备                              11,159,423,981               11,159,423,981
  未分配利润                                29,026,624,601               26,960,261,277
    所有者权益(或股东权益)合计           109,709,083,735               90,226,170,787
负债和所有者权益(或股东权益)总           316,557,582,845              312,410,059,004



法定代表人:杨德红 主管会计工作负责人:谢乐斌 会计机构负责人:谢乐斌




                                       12 / 20
                                                                             2017 年第三季度报告



                                         合并利润表
                                       2017 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
                                                              年初至报告期       上年年初至报
                          本期金额           上期金额
         项目                                                   期末金额         告期期末金额
                          (7-9 月)         (7-9 月)
                                                                (1-9 月)         (1-9 月)
一、营业收入             5,510,742,823 6,300,339,605          16,614,840,116    20,007,774,126
  手续费及佣金净收入     2,571,025,848 3,074,168,247           7,535,212,780     9,800,308,421
  其中:经纪业务手续费   1,662,205,973 1,723,082,456           4,326,490,278     5,456,617,091
净收入
        投资银行业务      484,509,861        825,315,068       1,797,793,972     2,390,982,587
手续费净收入
        资产管理业务      427,103,076        477,265,446       1,313,360,959     1,842,410,202
手续费净收入
  利息净收入             1,454,291,502 1,312,052,543           4,313,534,075     3,488,946,522
  投资收益(损失以       1,306,022,463 1,494,770,957           4,538,865,303     6,668,133,013
“-”号填列)
  其中:对联营企业和合      2,960,481            -99,527         17,946,264         51,097,341
营企业的投资收益
  公允价值变动收益(损    211,654,322        391,357,197         144,480,665      -114,699,179
失以“-”号填列)
  汇兑收益(损失以        -63,407,953          2,631,805        -132,600,901        10,326,935
“-”号填列)
  其他收益                             -                  -               -                    -
  其他业务收入             31,156,641         25,358,856         215,348,194       154,758,414
二、营业支出             2,380,332,357 2,673,196,919           7,518,601,700     8,980,412,535
  税金及附加               41,098,209         46,883,819         109,006,352       529,274,968
  业务及管理费           2,270,864,050 2,384,785,561           6,953,950,084     7,511,559,831
  资产减值损失             56,620,476        227,427,109         276,398,902       815,641,674
  其他业务成本             11,749,622         14,100,430         179,246,362       123,936,062
三、营业利润(亏损以     3,130,410,466 3,627,142,686           9,096,238,416    11,027,361,591
“-” 号填列)
  加:营业外收入           38,164,420         15,219,130         750,054,789       713,322,401
  减:营业外支出            9,230,881          1,155,568         21,173,735         22,852,873
四、利润总额(亏损总额   3,159,344,005 3,641,206,248           9,825,119,470    11,717,831,119
以“-”号填列)
  减:所得税费用          699,240,306        798,603,430       2,272,940,013     2,684,712,709
五、净利润(净亏损以     2,460,103,699 2,842,602,818           7,552,179,457     9,033,118,410
“-”号填列)
  其中: 归属于母公司    2,279,049,360 2,626,384,389           7,035,315,463     7,646,548,753
所有者(或股东)的净利
                                           13 / 20
                                                                            2017 年第三季度报告


                                                             年初至报告期       上年年初至报
                          本期金额          上期金额
        项目                                                   期末金额         告期期末金额
                          (7-9 月)        (7-9 月)
                                                               (1-9 月)         (1-9 月)

  少数股东损益            181,054,339        216,218,429       516,863,994      1,386,569,657
六、其他综合收益的税后    312,861,165        687,701,305       815,237,847       -919,572,654
净额
  归属母公司所有者的      397,592,145        639,399,070     1,054,584,627       -960,794,785
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益
  (二)以后将重分类进    397,592,145        639,399,070     1,054,584,627       -960,794,785
损益的其他综合收益
    1.权益法下在被投       -9,783,935         -4,303,017         1,292,442           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      506,171,104        605,989,687     1,285,557,596     -1,095,250,063
产公允价值变动损益
    3.外币财务报表折      -98,795,024         37,712,400      -232,265,411        126,923,440
算差额
  归属于少数股东的其      -84,730,980         48,302,235      -239,346,780         41,222,131
他综合收益的税后净额
七、综合收益总额         2,772,964,864 3,530,304,123         8,367,417,304      8,113,545,756
  归属于母公司所有者     2,676,641,504 3,265,783,459         8,089,900,089      6,685,753,968
的综合收益总额
  归属于少数股东的综       96,323,360        264,520,664       277,517,215      1,427,791,788
合收益总额


法定代表人:杨德红 主管会计工作负责人:谢乐斌 会计机构负责人:谢乐斌




                                           14 / 20
                                                                            2017 年第三季度报告


                                          母公司利润表
                                         2017 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
                                                              年初至报告期   上年年初至报
                            本期金额           上期金额
         项目                                                   期末金额     告期期末金额
                            (7-9 月)         (7-9 月)
                                                                (1-9 月)     (1-9 月)
一、营业收入               4,085,781,245 4,581,023,648         12,219,251,492   12,709,902,445
  手续费及佣金净收入       2,030,825,711 2,317,725,327          5,556,107,433    7,225,138,807
  其中:经纪业务手续费     1,572,417,872 1,570,121,037          3,942,399,408    4,999,147,818
净收入
        投资银行业务         460,933,497       725,269,716      1,518,092,600    2,132,729,974
手续费净收入
  利息净收入               1,034,579,325       903,030,873      3,086,429,179    2,335,980,132
  投资收益(损失以“-” 1,101,963,538 1,080,726,641            3,584,575,403    3,304,851,548
号填列)
  其中:对联营企业和合                   -                 -         706,766         1,765,216
营企业的投资收益
  公允价值变动收益(损       -46,077,941       274,271,257        84,227,119      -174,212,539
失以“-”号填列)
  汇兑收益(损失以“-”     -41,676,043         2,339,436       -104,354,827      10,388,300
号填列)
  其他业务收入                6,166,655          2,930,114        12,267,185         7,756,197
二、营业支出               1,749,053,732 2,026,500,094          5,447,684,002    6,395,801,116
  税金及附加                 35,202,632         38,959,438        88,435,697       418,248,293
  业务及管理费             1,690,329,205 1,869,852,096          5,214,797,267    5,273,509,856
  资产减值损失               23,521,895        117,688,560        144,451,038      704,042,967
三、营业利润(亏损以       2,336,727,513 2,554,523,554          6,771,567,490    6,314,101,329
“-” 号填列)
  加:营业外收入             10,185,858            840,736        617,893,780      549,150,195
  减:营业外支出              6,637,196            901,451        13,096,298       20,796,112
四、利润总额(亏损总额     2,340,276,175 2,554,462,839          7,376,364,972    6,842,455,412
以“-”号填列)
  减:所得税费用             552,626,060       577,009,692      1,746,251,648    1,476,294,910
五、净利润(净亏损以       1,787,650,115 1,977,453,147          5,630,113,324    5,366,160,502
“-” 号填列)
六、其他综合收益的税后       487,219,864       663,945,622      1,324,339,667     -681,021,780
净额
  (一)以后不能重分类                   -                 -               -                  -
进损益的其他综合收益
  (二)以后将重分类进       487,219,864       663,945,622      1,324,339,667     -681,021,780
损益的其他综合收益
    1.权益法下在被投                     -                 -               -                  -
                                             15 / 20
                                                                      2017 年第三季度报告


                                                       年初至报告期       上年年初至报
                         本期金额       上期金额
         项目                                            期末金额         告期期末金额
                         (7-9 月)     (7-9 月)
                                                         (1-9 月)         (1-9 月)
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     487,219,864     663,945,622   1,324,339,667       -681,021,780
产公允价值变动损益
七、综合收益总额       2,274,869,979 2,641,398,769     6,954,452,991      4,685,138,722


法定代表人:杨德红 主管会计工作负责人:谢乐斌 会计机构负责人:谢乐斌




                                       16 / 20
                                                                         2017 年第三季度报告



                                     合并现金流量表
                                     2017 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
                                         年初至报告期期末金额        上年年初至报告期期末
                   项目
                                               (1-9月)                 金额(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                            -           15,372,885,081
益的金融资产净增加额
  以公允价值计量且其变动计入当期损益                7,045,880,346            6,373,134,276
的金融负债净增加额
  收取利息、手续费及佣金的现金                     19,649,041,265           20,796,770,895
  拆入资金净增加额                                  3,000,000,000                          -
  融出资金净减少额                                     898,945,681          18,050,126,071
  收到其他与经营活动有关的现金                      4,496,019,303            6,027,453,607
   经营活动现金流入小计                            35,089,886,595           66,620,369,930
  以公允价值计量且其变动计入当期损益                8,460,284,834                          -
的金融资产净增加额
  拆入资金净减少额                                              -            7,212,000,000
  回购业务资金净减少额                             23,146,590,988           53,513,314,554
  代理买卖证券支付的现金净额                       19,159,559,566           39,956,912,852
  支付利息、手续费及佣金的现金                      3,120,333,520            4,008,877,315
  支付给职工以及为职工支付的现金                    5,928,281,912            5,870,300,183
  支付的各项税费                                    4,268,230,351            5,936,888,271
  代理承销证券款净减少额                            9,690,822,920                          -
  支付其他与经营活动有关的现金                      5,915,558,116            5,265,397,380
   经营活动现金流出小计                            79,689,662,207         121,763,690,555
      经营活动产生的现金流量净额                   -44,599,775,612        -55,143,320,625
二、投资活动产生的现金流量:
  收回投资收到的现金                               26,857,870,375           36,008,815,583
  取得投资收益收到的现金                               877,232,235             856,241,305
  处置子公司及其他营业单位收到的现金                1,045,000,000                          -
净额
  处置固定资产、无形资产和其他长期资                   19,917,990               31,680,421
产收回的现金净额
   投资活动现金流入小计                            28,800,020,600           36,896,737,309
  投资支付的现金                                   23,846,024,452           38,772,731,847
  购建固定资产、无形资产和其他长期资                   529,136,637             285,343,925
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
净额

                                         17 / 20
                                                                       2017 年第三季度报告


                                       年初至报告期期末金额        上年年初至报告期期末
                项目
                                             (1-9月)                 金额(1-9月)
  处置子公司及其他营业单位支付的现金                  1,595,315              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                          24,376,756,404           39,278,965,961
      投资活动产生的现金流量净额                  4,423,264,196           -2,382,228,652
三、筹资活动产生的现金流量:
  吸收投资收到的现金                             15,301,492,885            3,159,920,386
  其中:子公司吸收少数股东投资收到的                          -            3,159,920,386
现金
  取得借款收到的现金                             23,800,907,962           27,112,976,262
  发行债券收到的现金                             56,026,285,605           41,156,927,561
   筹资活动现金流入小计                          95,128,686,452           71,429,824,209
  偿还债务支付的现金                             73,800,513,457           68,101,749,902
  分配股利、利润或偿付利息支付的现金              7,849,553,933            8,147,360,360
  其中:子公司支付给少数股东的股利、                218,744,853              140,824,605
利润
  支付其他与筹资活动有关的现金                       62,762,005                          -
   筹资活动现金流出小计                          81,712,829,395           76,249,110,262
      筹资活动产生的现金流量净额                 13,415,857,057           -4,819,286,053
四、汇率变动对现金及现金等价物的影响               -762,898,235              137,250,375
五、现金及现金等价物净增加额                     -27,523,552,594        -62,207,584,955
  加:期初现金及现金等价物余额                   131,521,492,651        180,733,258,549
六、期末现金及现金等价物余额                     103,997,940,057        118,525,673,594


法定代表人:杨德红 主管会计工作负责人:谢乐斌 会计机构负责人:谢乐斌




                                       18 / 20
                                                                         2017 年第三季度报告


                                  母公司现金流量表
                                    2017 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
                                         年初至报告期期末金额        上年年初至报告期期末
                   项目
                                               (1-9月)                 金额(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                1,728,944,022           24,128,633,897
益的金融资产净增加额
  以公允价值计量且其变动计入当期损益                4,358,550,766            2,191,527,650
的金融负债净增加额
  收取利息、手续费及佣金的现金                     15,143,012,728           16,555,675,470
  拆入资金净增加额                                  3,000,000,000                          -
  融出资金净减少额                                              -           18,112,569,880
  收到其他与经营活动有关的现金                      2,196,997,063            2,326,884,974
    经营活动现金流入小计                           26,427,504,579           63,315,291,871
  拆入资金净减少额                                              -            6,650,000,000
  回购业务资金净减少额                             25,171,113,717           62,829,103,625
  融出资金净增加额                                  1,271,237,011                          -
  代理买卖证券支付的现金净额                       16,333,902,217           34,769,841,921
  支付利息、手续费及佣金的现金                      3,072,807,504            3,900,358,762
  支付给职工以及为职工支付的现金                    4,206,031,871            4,206,863,931
  支付的各项税费                                    3,259,770,239            5,473,441,083
  代理承销证券款净减少额                            9,851,323,700                          -
  支付其他与经营活动有关的现金                      3,061,820,537            2,699,455,655
    经营活动现金流出小计                           66,228,006,796         120,529,064,977
      经营活动产生的现金流量净额                   -39,800,502,217        -57,213,773,106
二、投资活动产生的现金流量:
  收回投资收到的现金                               20,632,501,350           20,278,419,192
  取得投资收益收到的现金                              347,944,432              743,005,660
  处置子公司及其他营业单位收到的现金                1,045,000,000                          -
净额
  处置固定资产、无形资产和其他长期资产                  2,213,110                   590,163
收回的现金净额
    投资活动现金流入小计                           22,027,658,892           21,022,015,015
  投资支付的现金                                   18,056,637,081           21,946,234,570
  购建固定资产、无形资产和其他长期资产                255,252,525              231,843,525
支付的现金
    投资活动现金流出小计                           18,311,889,606           22,178,078,095
      投资活动产生的现金流量净额                    3,715,769,286           -1,156,063,080
三、筹资活动产生的现金流量:
  吸收投资收到的现金                               15,301,492,885                          -

                                         19 / 20
                                                                       2017 年第三季度报告


                                       年初至报告期期末金额        上年年初至报告期期末
                  项目
                                             (1-9月)                 金额(1-9月)
  发行债券收到的现金                             49,439,001,162           40,702,688,889
   筹资活动现金流入小计                          64,740,494,047           40,702,688,889
  偿还债务支付的现金                             43,802,620,000           31,269,410,000
  分配股利、利润或偿付利息支付的现金              6,948,633,529            6,730,277,155
  支付其他与筹资活动有关的现金                       62,762,005                          -
   筹资活动现金流出小计                          50,814,015,534           37,999,687,155
     筹资活动产生的现金流量净额                  13,926,478,513            2,703,001,734
四、汇率变动对现金及现金等价物的影响               -151,885,561               42,282,897
五、现金及现金等价物净增加额                     -22,310,139,979        -55,624,551,555
  加:期初现金及现金等价物余额                   100,710,762,474        143,105,346,824
六、期末现金及现金等价物余额                     78,400,622,495           87,480,795,269


法定代表人:杨德红 主管会计工作负责人:谢乐斌 会计机构负责人:谢乐斌



4.2 审计报告
□适用 √不适用




                                       20 / 20