中信重工(601608)公告正文

中信重工:2016年第三季度报告

公告日期:2016-10-29

                           2016 年第三季度报告



公司代码:601608                                 公司简称:中信重工




                   中信重工机械股份有限公司
                     2016 年第三季度报告




                                 1 / 26
                                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 ................................................................ 6

四、   附录 ................................................................... 14




                                      2 / 26
                                    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 公司负责人俞章法、主管会计工作负责人梁慧及会计机构负责人(会计主管人员)冯刚保证

    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
                                     本报告期末                 上年度末
                                                                                    度末增减(%)
总资产                            20,971,890,187.04          20,764,515,545.72                1.00
归属于上市公司股东的净资产         8,330,913,348.95           8,787,566,669.76               -5.20
                                   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净额          -263,353,983.51            -290,496,330.15              不适用
                                   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                           2,653,427,398.86           2,996,939,378.93              -11.46
归属于上市公司股东的净利润          -323,941,492.61             185,227,702.47             -274.89
归属于上市公司股东的扣除非经        -424,656,734.14              94,657,654.57             -548.62
常性损益的净利润
                                               -3.78                       2.35   减少 6.13 个百分
加权平均净资产收益率(%)
                                                                                                点
基本每股收益(元/股)                          -0.07                       0.05            -240.00
稀释每股收益(元/股)                          -0.07                       0.05            -240.00


                                          3 / 26
                                     2016 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        年初至报告期末金   说明
               项目
                                          (7-9 月)         额(1-9 月)
非流动资产处置损益                             484,660.96       1,409,594.41
越权审批,或无正式批准文件,或偶
发性的税收返还、减免
计入当期损益的政府补助,但与公司            15,123,278.13      35,878,016.35
正常经营业务密切相关,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外
计入当期损益的对非金融企业收取的
资金占用费
企业取得子公司、联营企业及合营企
业的投资成本小于取得投资时应享有
被投资单位可辨认净资产公允价值产
生的收益
非货币性资产交换损益
委托他人投资或管理资产的损益                24,363,862.14      77,273,026.58
因不可抗力因素,如遭受自然灾害而
计提的各项资产减值准备
债务重组损益                                  -337,904.31        -560,620.31
企业重组费用,如安置职工的支出、
整合费用等
交易价格显失公允的交易产生的超过
公允价值部分的损益
同一控制下企业合并产生的子公司期
初至合并日的当期净损益
与公司正常经营业务无关的或有事项
产生的损益
除同公司正常经营业务相关的有效套
期保值业务外,持有交易性金融资产、
交易性金融负债产生的公允价值变动
损益,以及处置交易性金融资产、交
易性金融负债和可供出售金融资产取
得的投资收益
单独进行减值测试的应收款项减值准
备转回
对外委托贷款取得的损益
采用公允价值模式进行后续计量的投
资性房地产公允价值变动产生的损益

                                           4 / 26
                                        2016 年第三季度报告



根据税收、会计等法律、法规的要求
对当期损益进行一次性调整对当期损
益的影响
受托经营取得的托管费收入
除上述各项之外的其他营业外收入和                2,011,803.65          5,141,575.98
支出
其他符合非经常性损益定义的损益项

所得税影响额                                   -6,218,151.27        -18,213,549.12
少数股东权益影响额(税后)                       -200,073.98           -212,802.36
                 合计                          35,227,475.32        100,715,241.53



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)                                                                                   132,119
                                          前十名股东持股情况
                                                    持有有限售        质押或冻结情况
    股东名称
                        期末持股数量     比例(%)    条件股份数                                 股东性质
    (全称)                                                       股份状态       数量
                                                        量
中国中信有限公司        2,624,901,147      60.49               0         无              0      国有法人

中信投资控股有限
                          196,280,565       4.52               0         无              0      国有法人
公司
中信汽车有限责任
                           98,140,282       2.26               0       质押     98,140,282      国有法人
公司
洛阳城市发展投资
                           97,841,708       2.25    25,792,792           无              0      国有法人
集团有限公司
中国证券金融股份
                           56,748,381       1.31               0         无              0      国有法人
有限公司
中国黄金集团公司           45,286,486       1.04    15,286,486           无              0      国有法人
许开成                     41,582,651       0.96    41,582,651           无              0   境内自然人
中国银河证券股份
                           26,937,036       0.62    26,936,936           无              0      国有法人
有限公司
中央汇金资产管理
                           23,539,650       0.54               0         无              0      国有法人
有限责任公司
陈家斌                     15,918,918       0.37    15,918,918         质押     15,282,161   境内自然人

                                   前十名无限售条件股东持股情况
                                            持有无限售条件流                  股份种类及数量
               股东名称
                                              通股的数量                 种类                  数量
中国中信有限公司                                2,624,901,147        人民币普通股        2,624,901,147
                                              5 / 26
                                    2016 年第三季度报告



中信投资控股有限公司                            196,280,565       人民币普通股           196,280,565
中信汽车有限责任公司                             98,140,282       人民币普通股              98,140,282
洛阳城市发展投资集团有限公司                     72,048,916       人民币普通股              72,048,916
中国证券金融股份有限公司                         56,748,381       人民币普通股              56,748,381
中国黄金集团公司                                 30,000,000       人民币普通股              30,000,000
中央汇金资产管理有限责任公司                     23,539,650       人民币普通股              23,539,650
闫子忠                                           10,890,000       人民币普通股              10,890,000
中国工商银行股份有限公司-南方消费
活力灵活配置混合型发起式证券投资基               10,487,916       人民币普通股              10,487,916

郭华容                                               8,590,173    人民币普通股               8,590,173
                                        前 10 名股东中,中信投资控股有限公司和中信汽车有限责
上述股东关联关系或一致行动的说明        任公司系中国中信有限公司全资子公司,公司未知其他股东
                                        之间是否存在关联关系或一致行动人情况。
表决权恢复的优先股股东及持股数量的
                                                                    不适用
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


                               2016 年三季度主要财务指标变动说明

                                                                                             单位:元

(1)合并资产负债表项目

         项目名称          期末金额             期初金额         变动比率             变动原因

                                                                             新增中信重工开诚智能账
其他应收款                 110,800,882.28       81,189,504.31       36.47%
                                                                             面其他应收款

                                                                             期末留抵的增值税进项税
其他流动资产               44,715,282.59        27,328,651.75       63.62%
                                                                             较多

                                                                             并购中信重工开诚智能间
长期股权投资               125,327,309.70       73,192,484.74       71.23%
                                                                             接持股

                                            6 / 26
                                    2016 年第三季度报告



                                                                             并购中信重工开诚智能产
商誉                       718,080,686.99      252,379,969.62      184.52%
                                                                             生的商誉

                                                                             预付中信重工开诚智能股
其他非流动资产             39,804,071.45       365,111,330.64      -89.10%
                                                                             权收购对价转投资

短期借款                 3,723,664,632.52    2,809,039,360.00       32.56%   本期新增流动资金借款


应付票据                   560,017,338.68      949,577,983.41      -41.02%   期末票据到期支付较多


应付职工薪酬               11,039,214.10       118,514,570.08      -90.69%   支付上年绩效工资


其他应付款                 246,123,852.41      186,572,033.07       31.92%   成套项目往来款增加

                                                                             一年内到期的长期借款减
一年内到期的非流动负债     338,508,226.11    1,741,962,531.84      -80.57%
                                                                             少

其他流动负债             1,500,000,000.00                                    2016 年 2 月发行短期融资券

                                                                             重分类到一年内到期的非
长期借款                   230,403,316.35      369,161,600.00      -37.59%
                                                                             流动负债

长期应付款                 42,362,857.16       105,892,142.87      -59.99%   按期支付租赁款

                                                                             并购中信重工开诚智能产
递延所得税负债             57,957,430.40        36,636,171.44       58.20%
                                                                             生的递延税款
                                                                             可供出售金融资产净值下
其他综合收益               -86,835,064.28      -53,466,740.50       62.41%
                                                                             降

(2)合并利润表项目


       项目名称            本期金额             上期金额        变动比率            变动原因


营业税金及附加             21,631,708.89        16,084,392.42       34.49%   增值税较同期增加

                                                                             中信重工开诚智能并入导
销售费用                   109,897,270.88       83,173,668.26       32.13%
                                                                             致的费用增加

资产减值损失               70,905,062.70        26,361,931.55      168.97%   坏帐准备计提增加


所得税费用                   1,602,082.52       39,230,026.51      -95.92%   利润下降,所得税费用减少


(3)合并现金流量表项目


       项目名称            本期金额             上期金额        变动比率            变动原因

                                                                             收到的税费返还较同期减
收到的税费返还             52,086,914.46       126,035,531.86      -58.67%
                                                                             少



                                            7 / 26
                                    2016 年第三季度报告


                                                                          收到的理财收益较同期减
取得投资收益收到的现金      58,405,905.76       90,890,217.67   -35.74%
                                                                          少

投资支付的现金           1,358,600,000.00      471,000,000.00   188.45%   本期新增投资

                                                                          2016 年 2 月发行短期融资券
发行债券收到的现金       1,500,000,000.00
                                                                          收到的现金

偿还债务支付的现金       4,313,274,228.74    2,471,872,285.71    74.49%   偿还到期借款

支付其他与筹资活动有关                                                    节余募集资金永久补充流
                           206,757,000.00
的现金                                                                    动资金




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
    公司 2015 年发行股份及支付现金购买资产并募集配套资金方式收购唐山开诚 80%股权相关事

宜已于 2016 年初完成。

    2016 年 1 月 4 日,公司向唐山开诚三十六名自然人股东支付本次交易的现金对价 5.3 亿元人

民币(含税),并与唐山开诚三十六名自然人股东完成了资产交割。

    公司于 2016 年 1 月 5 日完成本次非公开发行股份 152,792,792 股人民币普通股(A 股)在中

国证券登记结算有限责任公司上海分公司的登记托管手续,具体情况详见公司于 2016 年 1 月 7

日披露于上海证券交易所(www.sse.com.cn)上的《中信重工发行股份及支付现金购买资产并募

集配套资金之发行结果暨股份变动公告》。




                                            8 / 26
                                                             2016 年第三季度报告




 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
                                                                                                                                  及时履   如未能
                                                                                                                           是否
                                                                                                         承诺时   是否有          行应说   及时履
承诺   承诺                                                                                                                及时
              承诺方                                      承诺内容                                       间及期   履行期          明未完   行应说
背景   类型                                                                                                                严格
                                                                                                           限       限            成履行   明下一
                                                                                                                           履行
                                                                                                                                  的具体   步计划
                                                                                                                                    原因
                       1、截至本承诺函出具日,中国中信股份有限公司/中国中信集团有限公司在中国境内或境
                       外未直接或间接以任何形式从事或参与任何与公司构成竞争或可能竞争的业务及活动或
                       拥有与公司存在竞争关系的任何经济实体、机构、经济组织的权益;中国中信股份有限公
                       司/中国中信集团有限公司与公司间不存在同业竞争。
                       2、自本承诺函出具日起,中国中信股份有限公司/中国中信集团有限公司作为公司控股股
与首                   东/实际控制人期间,不会在中国境内或境外,以任何方式(包括但不限于单独经营、通
              控股股
次公   解决            过合资经营或拥有另一公司或企业的股份及其它权益)直接或间接参与与公司构成竞争的
              东、实
开发   同业            任何业务或活动。                                                                   长期     是      是
              际控制
行相   竞争            3、中国中信股份有限公司/中国中信集团有限公司为公司控股股东/实际控制人期间,保
                人
关的                   证不会利用公司控股股东/实际控制人地位损害公司及其他股东(特别是中小股东)的合
承诺                   法权益。
                       4、上述承诺在公司于国内证券交易所上市且中国中信股份有限公司/中国中信集团有限公
                       司为公司控股股东/实际控制人期间持续有效且不可撤销。如有任何违反上述承诺的事项
                       发生,中国中信股份有限公司/中国中信集团有限公司承担因此给公司造成的一切损失(含
                       直接损失和间接损失)。
       解决   控股股   1、中国中信股份有限公司/中国中信集团有限公司将自觉维护公司及全体股东的利益,规     长期     是      是
                                                                     9 / 26
                                                             2016 年第三季度报告




       关联   东、实   范关联交易,尽量减少不必要的非经常性关联交易,将不利用中国中信股份有限公司/中
       交易   际控制   国中信集团有限公司作为公司控股股东/实际控制人之地位在关联交易中谋取不正当利
                人     益。
                       2、中国中信股份有限公司/中国中信集团有限公司现在和将来均不利用自身作为公司控股
                       股东/实际控制人之地位及控制性影响谋求公司在业务合作等方面给予中国中信股份有限
                       公司/中国中信集团有限公司或中国中信股份有限公司/中国中信集团有限公司控制的其
                       他企业优于市场第三方的权利。
                       3、中国中信股份有限公司/中国中信集团有限公司现在和将来均不利用自身作为公司控股
                       股东/实际控制人之地位及控制性影响谋求中国中信股份有限公司/中国中信集团有限公
                       司或中国中信股份有限公司/中国中信集团有限公司控制的其他企业与公司达成交易的优
                       先权利。
                       4、中国中信股份有限公司/中国中信集团有限公司将严格遵守《中华人民共和国公司法》、
                       《中信重工机械股份有限公司章程》(下称“《公司章程》”)、《中信重工机械股份有
                       限公司股东大会议事规则》、《中信重工机械股份有限公司董事会议事规则》、《中信重
                       工机械股份有限公司关联交易管理制度》等规定,严格按照“公平、公正、自愿”的商业
                       原则,在与公司订立公平合理的交易合同的基础上,进行相关交易。
                       5、在审议公司与中国中信股份有限公司/中国中信集团有限公司或中国中信股份有限公司
                       /中国中信集团有限公司控制的企业进行的关联交易时,均严格履行相关法律程序,切实
                       遵守法律法规和《公司章程》对关联交易回避制度的规定。 中国中信股份有限公司/中
                       国中信集团有限公司愿意承担因违反上述承诺而给公司造成的全部经济损失。该承诺持续
                       有效且不可变更或撤销。
              许开成   1、 本次交易对方唐山开诚现有股东除李盈莹之外的 35 名自然人股东承诺:通过本次发     2015
与再
              等唐山   行股份购买资产所取得的中信重工股份,自相关股份在中国证券登记结算有限责任公司上     年 12
融资
       股份     开诚   海分公司完成登记之日(“目标股份交割日”)起 12 个月内将不以任何方式转让或以其     月 14
相关                                                                                                              是   是
       限售   36 名    它任何方式解除锁定,包括但不限于通过证券市场公开转让或通过协议方式转让; 自目      日至
的承
              自然人   标股份交割日起 12 个月届满,以及当年《专项审核报告》披露之后且不触发盈利补偿事     2016

                股东   项或当年盈利补偿已经完成后,所持中信重工股份进行第一次解锁;第一次解锁比例=唐      年 12

                                                                   10 / 26
                                                      2016 年第三季度报告




                山开诚 2015 年承诺净利润÷唐山开诚 2015 年至 2017 年三年合计承诺净利润; 自目标   月 14
                股份交割日起 24 个月届满,以及当年《专项审核报告》披露之后且不触发盈利补偿事项    日、
                或当年盈利补偿已经完成后,所持中信重工股份进行第二次解锁;第二次解锁比例=唐山     2015
                开诚 2016 年承诺净利润÷唐山开诚 2015 年至 2017 年三年合计承诺净利润; 自目标股   年 12
                份交割日起 36 个月届满,以及当年《专项审核报告》和《减值测试报告》披露之后且不    月 14
                触发盈利补偿事项或当年盈利补偿已经完成后,所持中信重工股份进行第三次解锁;第三    日至
                次解锁比例=唐山开诚 2017 年承诺净利润÷唐山开诚 2015 年至 2017 年三年合计承诺净   2017
                利润。                                                                            年 12
                第一次解锁以及第二次解锁的股份数量最终应分别为根据上述解锁比例计算的解锁股份      月 14
                数量扣除用于 2015 年度与 2016 年度业绩补偿的股份数量之后的股份数量;第三次解锁    日、
                的股份数量为根据上述解锁比例计算的解锁股份数量扣除用于 2017 年度业绩补偿的股份    2015
                数量及资产减值补偿的股份数量之后的股份数量。                                      年 12
                2、本次交易对方之一李盈莹自然人股东承诺:通过本次发行股份购买资产所取得的中信     月 14
                重工股份,如自相关股份在中国证券登记结算有限责 任公司上海分公司完成登记之日       日至
                (“目标股份交割日”),所持唐山开诚股权的时间不足 12 个月,所持中信重工股份自    2018
                目标股份交割日起 36 个月内将不以任何方式转让,包括但不限于通过证券市场公开转让    年 12
                或通过协议方式转让。如截至目标股份交割日,持有唐山开诚股权的时间已满 12 个月,    月 14
                则所持中信重工股份的锁定期及解锁安排将与本次发行股份购买资产中的其他交易对方        日
                保持一致。 相应锁定期届满后的解除锁定,将按照中国证监会及上海证券交易所的有关
                规定执行。
       洛阳城
                                                                                                  2016
       市发展
                                                                                                 年1月
       投资集   财通基金管理有限公司、中国银河证券股份有限公司、洛阳城市发展投资集团有限公司、
股份                                                                                             5 日至
       团有限   陈家斌、华融证券股份有限公司、中国黄金集团公司、南京瑞达信沨股权投资合伙企业(有          是   是
限售                                                                                              2017
       公司等   限合伙)通过非公开发行认购的股份为有限售条件流通股。
                                                                                                 年1月
       七家非
                                                                                                   5日
       公开发

                                                            11 / 26
                                                             2016 年第三季度报告




              行对象
                       中国中信集团有限公司就商标许可使用事宜出具如下承诺:
                       “1、在本公司为中信重工实际控制人的情况下,本公司长期无偿许可中信重工及其控股

                       子公司依据《商标许可使用合同》的约定使用‘中信’、‘CITIC’、‘     ’、‘中信
其他          实际控
       其他                                                                                              长期   是   是
承诺            制人   重工’、‘中信及    图形’商标。
                       2、在商标许可有效期内,本公司承诺将仅许可中信重工及其控股子公司使用‘中信重工’
                       商标,不再许可其他任何第三方使用该商标。
                       本承诺在本公司作为中信重工实际控制人期间持续有效且不可变更或撤销。”




                                                                   12 / 26
                                  2016 年第三季度报告




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
    受国内外严峻市场形势的影响,公司下游行业固定资产投资大幅萎缩,行业竞争激烈,订单

价格下滑。矿山、建材、煤炭等行业需求不足,钢材等主要原材料价格呈波动式上升,导致了收

入和利润同比下滑;公司处于战略转型时期,机器人、新能源等新兴产业领域效果尚未完全显现。

预计公司年初至下一报告期期末的累计净利润将出现亏损。



                                                  公司名称   中信重工机械股份有限公司
                                              法定代表人     俞章法
                                                   日期      2016 年 10 月 28 日




                                        13 / 26
                                    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:中信重工机械股份有限公司

                                               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
流动资产:
  货币资金                                      4,034,800,638.75      5,224,043,996.59
  结算备付金
  拆出资金
  以公允价值计量且其变动计入当期损
益的金融资产
  衍生金融资产
  应收票据                                          208,871,039.72      164,792,324.65
  应收账款                                      2,804,849,844.98      2,432,916,488.65
  预付款项                                          668,265,923.93      579,800,023.46
  应收保费
  应收分保账款
  应收分保合同准备金
  应收利息                                           61,519,195.81       28,790,286.12
  应收股利
  其他应收款                                        110,800,882.28       81,189,504.31
  买入返售金融资产
  存货                                          4,525,535,022.13      4,512,308,817.88
  划分为持有待售的资产
  一年内到期的非流动资产
  其他流动资产                                       44,715,282.59       27,328,651.75
    流动资产合计                               12,459,357,830.19     13,051,170,093.41
非流动资产:
  发放贷款及垫款
  可供出售金融资产                              1,278,861,460.75      1,255,393,390.54
  持有至到期投资
  长期应收款
  长期股权投资                                      125,327,309.70       73,192,484.74
  投资性房地产
  固定资产                                      3,731,466,752.68      3,565,586,844.41
  在建工程                                      1,344,209,241.84      1,061,103,263.60

                                          14 / 26
                                 2016 年第三季度报告



  工程物资
  固定资产清理
  生产性生物资产
  油气资产
  无形资产                                  1,048,854,991.54        954,294,327.53
  开发支出
  商誉                                           718,080,686.99     252,379,969.62
  长期待摊费用
  递延所得税资产                                 225,927,841.90     186,283,841.23
  其他非流动资产                                  39,804,071.45     365,111,330.64
   非流动资产合计                           8,512,532,356.85       7,713,345,452.31
     资产总计                              20,971,890,187.04      20,764,515,545.72
流动负债:
  短期借款                                  3,723,664,632.52       2,809,039,360.00
  向中央银行借款
  吸收存款及同业存放
  拆入资金
  以公允价值计量且其变动计入当期损
益的金融负债
  衍生金融负债
  应付票据                                       560,017,338.68     949,577,983.41
  应付账款                                  2,413,045,477.46       2,175,785,129.92
  预收款项                                  1,059,193,010.71       1,171,618,485.83
  卖出回购金融资产款
  应付手续费及佣金
  应付职工薪酬                                    11,039,214.10     118,514,570.08
  应交税费                                        47,216,290.87      38,441,252.57
  应付利息                                       106,344,997.25     109,369,589.03
  应付股利
  其他应付款                                     246,123,852.41     186,572,033.07
  应付分保账款
  保险合同准备金
  代理买卖证券款
  代理承销证券款
  划分为持有待售的负债
  一年内到期的非流动负债                         338,508,226.11    1,741,962,531.84
  其他流动负债                              1,500,000,000.00
   流动负债合计                            10,005,153,040.11       9,300,880,935.75
非流动负债:
  长期借款                                       230,403,316.35     369,161,600.00
  应付债券                                  1,594,012,129.12       1,592,917,359.67
  其中:优先股
                                       15 / 26
                                    2016 年第三季度报告



         永续债
  长期应付款                                         42,362,857.16       105,892,142.87
  长期应付职工薪酬                                  280,770,000.00       280,770,000.00
  专项应付款                                         39,800,000.00        35,300,000.00
  预计负债                                            2,030,318.53          1,697,848.49
  递延收益                                          280,867,984.75       253,692,817.74
  递延所得税负债                                     57,957,430.40        36,636,171.44
  其他非流动负债
   非流动负债合计                              2,528,204,036.31         2,676,067,940.21
      负债合计                                12,533,357,076.42        11,976,948,875.96
所有者权益
  股本                                         4,339,419,293.00         4,339,419,293.00
  其他权益工具
  其中:优先股
         永续债
  资本公积                                     2,101,050,697.97         2,101,050,697.97
  减:库存股
  其他综合收益                                   (86,835,064.28)         (53,466,740.50)
  专项储备                                                463,139.32
  盈余公积                                          744,923,083.55       702,818,104.45
  一般风险准备
  未分配利润                                   1,231,892,199.39         1,697,745,314.84
  归属于母公司所有者权益合计                   8,330,913,348.95         8,787,566,669.76
  少数股东权益                                      107,619,761.67
   所有者权益合计                              8,438,533,110.62         8,787,566,669.76
      负债和所有者权益总计                    20,971,890,187.04        20,764,515,545.72


法定代表人:俞章法主管会计工作负责人:梁慧会计机构负责人:冯刚



                                    母公司资产负债表
                                    2016 年 9 月 30 日
编制单位:中信重工机械股份有限公司
                                                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
流动资产:
  货币资金                                     3,794,099,434.58        5,076,637,503.89
  以公允价值计量且其变动计入当期损
益的金融资产
  衍生金融资产
  应收票据                                          170,579,120.75       145,672,935.49
  应收账款                                          851,982,346.83       865,417,129.26

                                          16 / 26
                                 2016 年第三季度报告



  预付款项                                       339,867,618.60     333,728,240.49
  应收利息                                        65,599,223.70      30,964,583.97
  应收股利                                        95,751,332.09
  其他应收款                                4,481,780,378.97       3,990,839,701.85
  存货                                      2,240,956,437.50       2,354,318,043.49
  划分为持有待售的资产
  一年内到期的非流动资产
  其他流动资产                                    21,814,269.49        1,142,860.86
   流动资产合计                            12,062,430,162.51      12,798,720,999.30
非流动资产:
  可供出售金融资产                          1,278,688,874.33       1,255,229,857.53
  持有至到期投资
  长期应收款
  长期股权投资                              2,902,502,375.52       1,940,903,480.69
  投资性房地产
  固定资产                                  1,689,239,355.37       1,616,458,667.57
  在建工程                                       593,997,395.66     566,331,633.78
  工程物资
  固定资产清理
  生产性生物资产
  油气资产
  无形资产                                       773,448,097.61     791,756,082.19
  开发支出
  商誉
  长期待摊费用
  递延所得税资产                                 106,497,730.18      95,276,765.02
  其他非流动资产                                  48,288,076.63     365,111,330.64
   非流动资产合计                           7,392,661,905.30       6,631,067,817.42
     资产总计                              19,455,092,067.81      19,429,788,816.72
流动负债:
  短期借款                                  3,659,930,300.00       2,773,563,360.00
  以公允价值计量且其变动计入当期损
益的金融负债
  衍生金融负债
  应付票据                                       553,366,643.19     946,650,343.40
  应付账款                                       808,825,058.34     896,139,417.99
  预收款项                                       919,246,720.66    1,002,399,193.96
  应付职工薪酬                                                       40,585,000.00
  应交税费                                        11,091,383.93      29,196,778.42
  应付利息                                       105,890,839.86     108,924,892.83
  应付股利
  其他应付款                                     266,718,933.91     267,869,458.13
                                       17 / 26
                                    2016 年第三季度报告



  划分为持有待售的负债
  一年内到期的非流动负债                              245,400,000.00       1,657,256,817.56
  其他流动负债                                   1,507,423,148.75
   流动负债合计                                  8,077,893,028.64          7,722,585,262.29
非流动负债:
  长期借款                                            167,000,000.00            312,400,000.00
  应付债券                                       1,594,012,129.12          1,592,917,359.67
  其中:优先股
         永续债
  长期应付款
  长期应付职工薪酬                                    280,770,000.00            280,770,000.00
  专项应付款                                           39,800,000.00             35,300,000.00
  预计负债
  递延收益                                            213,132,984.75            188,532,817.74
  递延所得税负债                                                                    934,478.63
  其他非流动负债
   非流动负债合计                                2,294,715,113.87          2,410,854,656.04
      负债合计                                  10,372,608,142.51         10,133,439,918.33
所有者权益:
  股本                                           4,339,419,293.00          4,339,419,293.00
  其他权益工具
  其中:优先股
         永续债
  资本公积                                       2,167,450,494.56          2,167,450,494.56
  减:库存股
  其他综合收益                                        -52,562,225.54             -7,924,621.10
  专项储备
  盈余公积                                            744,923,083.55            702,818,104.45
  未分配利润                                     1,883,253,279.73          2,094,585,627.48
   所有者权益合计                                9,082,483,925.30          9,296,348,898.39
      负债和所有者权益总计                      19,455,092,067.81         19,429,788,816.72


法定代表人:俞章法主管会计工作负责人:梁慧会计机构负责人:冯刚

                                          合并利润表
                                        2016 年 1—9 月
编制单位:中信重工机械股份有限公司
                                                单位:元 币种:人民币 审计类型:未经审计
                                                               年初至报告期      上年年初至报告
                           本期金额           上期金额
         项目                                                  期末金额 (1-9    期期末金额(1-9
                           (7-9 月)         (7-9 月)
                                                                   月)                月)
一、营业总收入             642,803,676.     1,014,867,645.     2,653,427,398.    2,996,939,378.

                                            18 / 26
                                  2016 年第三季度报告



                                  96                    45              86               93
                         642,803,676.   1,014,867,645.       2,653,427,398.   2,996,939,378.
其中:营业收入
                                   96               45                   86               93
      利息收入
      已赚保费
      手续费及佣金收

                         1,041,598,49   1,023,990,719.       3,122,395,475.   2,949,641,194.
二、营业总成本
                                 5.14               20                   45               22
                         723,622,502.   768,011,285.27       2,225,839,364.   2,121,743,674.
其中:营业成本
                                   12                                    83               51
      利息支出
      手续费及佣金支

      退保金
      赔付支出净额
      提取保险合同准
备金净额
      保单红利支出
      分保费用
      营业税金及附加     5,817,487.21     4,837,279.32        21,631,708.89    16,084,392.42
                         44,433,310.1    23,376,445.20       109,897,270.88    83,173,668.26
      销售费用
                                    1
                         201,109,844.   196,170,861.98       566,854,032.91   598,707,370.88
      管理费用
                                   68
                         35,358,909.9    27,625,881.48       127,268,035.24   103,570,156.60
      财务费用
                                    0
                         31,256,441.1     3,968,965.95        70,905,062.70    26,361,931.55
      资产减值损失
                                    2
  加:公允价值变动收益                                                           173,200.00
(损失以“-”号填列)
      投资收益(损失以   24,840,313.1    35,068,679.07        79,266,053.77   107,106,710.57
“-”号填列)                      4
      其中:对联营企业    476,451.00         86,171.28         1,993,027.19       86,171.28
和合营企业的投资收益
      汇兑收益(损失以
“-”号填列)
三、营业利润(亏损以     -373,954,505    25,945,605.32       -389,702,022.8   154,578,095.28
“-”号填列)                    .04                                     2
                         34,693,938.6    23,910,631.58        84,149,870.82    75,542,182.67
  加:营业外收入
                                    6
      其中:非流动资产    564,862.35                           1,625,599.21
处置利得
                                        19 / 26
                                  2016 年第三季度报告



  减:营业外支出         2,087,319.66     2,190,842.78     4,742,311.87     5,662,548.97
      其中:非流动资产     80,201.39        583,746.00      216,004.80       768,326.75
处置损失
四、利润总额(亏损总额   -341,347,886    47,665,394.12   -310,294,463.8   224,457,728.98
以“-”号填列)                  .04                                 7
                         -2,367,697.1     3,804,320.63     1,602,082.52    39,230,026.51
  减:所得税费用
                                    4
五、净利润(净亏损以     -338,980,188    43,861,073.49   -311,896,546.3   185,227,702.47
“-”号填列)                    .90                                 9
  归属于母公司所有者     -345,190,336    43,861,073.49   -323,941,492.6   185,227,702.47
的净利润                          .71                                 1
  少数股东损益           6,210,147.81                     12,044,946.22
六、其他综合收益的税后   -7,224,702.3     1,696,531.94   -33,368,323.78    -7,067,128.36
净额                                9
  归属母公司所有者的     -7,224,702.3     1,696,531.94   -33,368,323.78    -7,067,128.36
其他综合收益的税后净                9

    (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   -7,224,702.3     1,696,531.94   -33,368,323.78    -7,067,128.36
进损益的其他综合收益                9
      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     -9,835,723.6                    -44,637,604.44
资产公允价值变动损益                2
      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     2,611,021.23     1,696,531.94    11,269,280.66    -7,067,128.36
折算差额
      6.其他
                                        20 / 26
                                    2016 年第三季度报告



  归属于少数股东的其
他综合收益的税后净额
                         -346,204,891      45,557,605.43        -345,264,870.1    178,160,574.11
七、综合收益总额
                                  .29                                        7
  归属于母公司所有者     -352,415,039      45,557,605.43        -357,309,816.3    178,160,574.11
的综合收益总额                    .10                                        9
  归属于少数股东的综     6,210,147.81                            12,044,946.22
合收益总额
八、每股收益:
 (一)基本每股收益              -0.08                 0.01              -0.07              0.05
(元/股)
 (二)稀释每股收益              -0.08                 0.01              -0.07              0.05
(元/股)


法定代表人:俞章法主管会计工作负责人:梁慧会计机构负责人:冯刚



                                      母公司利润表
                                     2016 年 1—9 月
编制单位:中信重工机械股份有限公司
                                            单位:元 币种:人民币 审计类型:未经审计
                                                    年初至报告期期  上年年初至报告
                    本期金额          上期金额
       项目                                              末金额       期期末金额
                    (7-9 月)        (7-9 月)
                                                       (1-9 月)       (1-9 月)
一、营业收入       513,277,773.57   920,101,334.69        1,857,761,186.50    2,400,264,783.59
  减:营业成本     622,008,276.37   790,261,881.87        1,733,006,856.27    1,926,519,712.90
      营业税金       3,929,137.28                             12,778,490.31        3,926,648.36
及附加
       销售费用     23,947,148.92    14,445,731.81            54,307,374.90       56,146,535.78
       管理费用     84,110,605.76   121,674,036.58         266,079,215.90        303,011,721.20
       财务费用      6,633,451.23     8,954,630.49            60,527,659.49       28,609,070.10
       资产减值     13,254,041.11        511,253.37           24,098,940.04        2,612,115.11
损失
  加:公允价值                                                                      173,200.00
变动收益(损失
以“-”号填列)
      投资收益     121,640,183.47    35,068,679.07         177,371,220.99        107,106,710.57
(损失以“-”
号填列)
      其中:对         476,451.00         86,171.28            1,993,027.19          86,171.28
联营企业和合营
企业的投资收益
二、营业利润(亏 -118,964,703.63     19,322,479.64         -115,666,129.42       186,718,890.71

                                          21 / 26
                                     2016 年第三季度报告



损以“-”号填列)
  加:营业外收       16,541,214.38     7,107,558.56         38,539,839.93    23,020,635.38

      其中:非         564,617.03                             564,617.03
流动资产处置利

  减:营业外支          92,509.54        649,662.75           407,969.32      1,084,352.15

      其中:非          59,136.94        633,405.99           168,135.59       638,038.55
流动资产处置损

三、利润总额(亏 -102,515,998.79      25,780,375.45        -77,534,258.81   208,655,173.94
损总额以“-”号
填列)
     减:所得税费    -6,562,658.92     5,480,374.99         -8,113,533.90    30,597,260.23

四、净利润(净亏 -95,953,339.87       20,300,000.46        -69,420,724.91   178,057,913.71
损以“-”号填列)
五、其他综合收益     -9,835,723.62                         -44,637,604.44
的税后净额
  (一)以后不
能重分类进损益
的其他综合收益
    1.重新计量
设定受益计划净
负债或净资产的
变动
    2.权益法下
在被投资单位不
能重分类进损益
的其他综合收益
中享有的份额
  (二)以后将       -9,835,723.62              0.00       -44,637,604.44            0.00
重分类进损益的
其他综合收益
    1.权益法下
在被投资单位以
后将重分类进损
益的其他综合收
益中享有的份额
    2.可供出售       -9,835,723.62                         -44,637,604.44
金融资产公允价
值变动损益

                                           22 / 26
                                     2016 年第三季度报告



    3.持有至到
期投资重分类为
可供出售金融资
产损益
    4.现金流量
套期损益的有效
部分
    5.外币财务
报表折算差额
    6.其他
六、综合收益总额 -105,789,063.49      20,300,000.46        -114,058,329.35     178,057,913.71
七、每股收益:
    (一)基本每             -0.02              0.01                  -0.02              0.04
股收益(元/股)
    (二)稀释每             -0.02              0.01                  -0.02              0.04
股收益(元/股)

法定代表人:俞章法主管会计工作负责人:梁慧会计机构负责人:冯刚



                                      合并现金流量表
                                      2016 年 1—9 月
编制单位:中信重工机械股份有限公司
                                              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:
  销售商品、提供劳务收到的现金                   2,492,247,568.54             2,851,801,965.18
  客户存款和同业存放款项净增加额
  向中央银行借款净增加额
  向其他金融机构拆入资金净增加额
  收到原保险合同保费取得的现金
  收到再保险业务现金净额
  保户储金及投资款净增加额
  处置以公允价值计量且其变动计入当
期损益的金融资产净增加额
  收取利息、手续费及佣金的现金
  拆入资金净增加额
  回购业务资金净增加额
  收到的税费返还                                      52,086,914.46            126,035,531.86
  收到其他与经营活动有关的现金                       625,922,665.10            492,050,330.30
    经营活动现金流入小计                         3,170,257,148.10             3,469,887,827.34
  购买商品、接受劳务支付的现金                   2,057,089,342.98             2,251,063,210.57
                                           23 / 26
                                   2016 年第三季度报告



  客户贷款及垫款净增加额
  存放中央银行和同业款项净增加额
  支付原保险合同赔付款项的现金
  支付利息、手续费及佣金的现金
  支付保单红利的现金
  支付给职工以及为职工支付的现金                   757,647,803.59    753,329,874.03
  支付的各项税费                                   195,859,799.46    235,055,646.85
  支付其他与经营活动有关的现金                     423,014,185.58    520,935,426.04
    经营活动现金流出小计                       3,433,611,131.61     3,760,384,157.49
      经营活动产生的现金流量净额                -263,353,983.51      -290,496,330.15
二、投资活动产生的现金流量:
  收回投资收到的现金                               754,201,596.67    866,946,000.00
  取得投资收益收到的现金                            58,405,905.76     90,890,217.67
  处置固定资产、无形资产和其他长期资                 1,726,282.41      2,099,586.28
产收回的现金净额
  处置子公司及其他营业单位收到的现
金净额
  收到其他与投资活动有关的现金
    投资活动现金流入小计                           814,333,784.84    959,935,803.95
  购建固定资产、无形资产和其他长期资               203,296,666.15    236,985,034.72
产支付的现金
  投资支付的现金                               1,358,600,000.00      471,000,000.00
  质押贷款净增加额
  取得子公司及其他营业单位支付的现
金净额
  支付其他与投资活动有关的现金
    投资活动现金流出小计                       1,561,896,666.15      707,985,034.72
      投资活动产生的现金流量净额                -747,562,881.31      251,950,769.23
三、筹资活动产生的现金流量:
  吸收投资收到的现金
  其中:子公司吸收少数股东投资收到的
现金
  取得借款收到的现金                           3,147,509,374.79     3,052,440,144.00
  发行债券收到的现金                           1,500,000,000.00
  收到其他与筹资活动有关的现金
    筹资活动现金流入小计                       4,647,509,374.79     3,052,440,144.00
  偿还债务支付的现金                           4,313,274,228.74     2,471,872,285.71
  分配股利、利润或偿付利息支付的现金               374,332,885.01    435,609,773.37
  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                     206,757,000.00
    筹资活动现金流出小计                       4,894,364,113.75     2,907,482,059.08

                                         24 / 26
                                   2016 年第三季度报告



      筹资活动产生的现金流量净额                -246,854,738.96             144,958,084.92
四、汇率变动对现金及现金等价物的影响
五、现金及现金等价物净增加额                 -1,257,771,603.78              106,412,524.00
  加:期初现金及现金等价物余额                 5,187,526,036.11            4,308,287,464.00
六、期末现金及现金等价物余额                   3,929,754,432.33            4,414,699,988.00

法定代表人:俞章法主管会计工作负责人:梁慧会计机构负责人:冯刚



                                  母公司现金流量表
                                    2016 年 1—9 月
编制单位:中信重工机械股份有限公司
                                            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:
  销售商品、提供劳务收到的现金                 1,631,726,818.61            2,105,332,837.63
  收到的税费返还                                    26,616,943.74             97,711,075.41
  收到其他与经营活动有关的现金                     457,031,293.81            270,577,698.98
    经营活动现金流入小计                       2,115,375,056.16            2,473,621,612.02
  购买商品、接受劳务支付的现金                 1,724,184,882.59            1,343,114,710.59
  支付给职工以及为职工支付的现金                   501,143,195.33            478,855,658.62
  支付的各项税费                                    69,583,851.59            110,312,075.41
  支付其他与经营活动有关的现金                     191,171,681.02            532,485,420.19
    经营活动现金流出小计                       2,486,083,610.53            2,464,767,864.81
  经营活动产生的现金流量净额                    -370,708,554.37                8,853,747.21
二、投资活动产生的现金流量:
  收回投资收到的现金                           1,063,189,991.45              840,000,000.00
  取得投资收益收到的现金                            58,405,905.76             90,890,217.67
  处置固定资产、无形资产和其他长期资                     500,554.26            2,099,586.28
产收回的现金净额
  处置子公司及其他营业单位收到的现
金净额
  收到其他与投资活动有关的现金
    投资活动现金流入小计                       1,122,096,451.47              932,989,803.95
  购建固定资产、无形资产和其他长期资               146,284,434.04            179,079,864.64
产支付的现金
  投资支付的现金                               1,863,386,973.67              871,000,000.00
  取得子公司及其他营业单位支付的现
金净额
  支付其他与投资活动有关的现金
    投资活动现金流出小计                       2,009,671,407.71            1,050,079,864.64

                                         25 / 26
                                   2016 年第三季度报告



      投资活动产生的现金流量净额                -887,574,956.24      -117,090,060.69
三、筹资活动产生的现金流量:
  吸收投资收到的现金
  取得借款收到的现金                           3,121,591,699.79     3,052,440,144.00
  发行债券收到的现金                           1,500,000,000.00
  收到其他与筹资活动有关的现金
    筹资活动现金流入小计                       4,621,591,699.79     3,052,440,144.00
  偿还债务支付的现金                           4,195,125,680.00     2,408,343,000.00
  分配股利、利润或偿付利息支付的现金               312,491,824.43    420,657,217.88
  支付其他与筹资活动有关的现金                     206,757,000.00
    筹资活动现金流出小计                       4,714,374,504.43     2,829,000,217.88
      筹资活动产生的现金流量净额                   -92,782,804.64    223,439,926.12
四、汇率变动对现金及现金等价物的影响
五、现金及现金等价物净增加额                 -1,351,066,315.25       115,203,612.64
  加:期初现金及现金等价物余额                 5,040,119,543.41     4,126,130,166.43
六、期末现金及现金等价物余额                   3,689,053,228.16     4,241,333,779.07

法定代表人:俞章法主管会计工作负责人:梁慧会计机构负责人:冯刚



4.2 审计报告
□适用 √不适用




                                         26 / 26