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7.4.8.1.1 hN¤
‘SUOM Nl ^ QC
g,g N ^t^Skg
QsTT y
2018^t1g 1eó018^t12g 31e 2017^t1g 1eó017^t12g 31e
S`_Sg h S`_Sg h
b N¤‘ b N¤`;v b N¤‘ b N¤`;v
kO kO
SNlR8 107,285,416.62 1.98% 468,168,869.74 4.46%



7.4.8.1.2 P:R8N¤
lè eà0


7.4.8.1.3 P:R8V-¤
lè eà0


7.4.8.1.4 gCN¤
lè eà0


7.4.8.1.5 ^”e/NQsTvOc‘
‘SUOM Nl ^ QC
g,g
QsTT y
2018^t1g 1eó018^t12g 31e
S`gg+ ^”N
_Sg S`_Sg Oc‘
gg+ ^”NOc‘Y Oc‘;v
Oc‘ `;‘kO
kO
SNlR8 97,770.59 2.07% 24,693.59 3.64%
N ^t^Skg
QsTT y
2017^t1g 1eó017^t12g 31e

{, 27 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


S`gg+ ^”N
_Sg S`_Sg Oc‘
Oc‘;v
gg+ ^”NOc‘Y
Oc‘ `;‘kO
kO
SNlR8 426,643.74 4.41% - -
lè 1. N c‘^ W:N÷h<~g,Wú‘Wú‘t NN [ùeSOUFxn[ Nbc–d1N-VR8v{°

~{— –P#QlSe6Sv{9~bK9Q y:0

2. |{Oc‘Ovg R V bìOc‘6SeN:g,Wú‘OvR8bD zvb gT^ W:Oá`og

R{I0 gCN¤ N Oc‘


7.4.8.2 QsTb‘l

7.4.8.2.1 Wú‘t 9
SUOM Nl ^ QC
g,g
N ^t^Skg
yv 2018^t1g 1eó018^t12g 31
2017^t1g 1eó017^t12g 31e
e
_Sg Su vWú‘”e/N
13,164,853.28 27,367,330.20
v{t 9
QvN- e/N U.g:gv
3,676,415.58 8,031,085.32
[b7~b¤9
lè e/NWú‘t NSNlgt^Wú‘{t Nb‘l RMN eWú‘D§QP<1.5%v^t9c e

}/ógg ^ c g e/N0 Qv{—Ql_ N:

e{t Nb‘l RMN eWú‘D§QP<×1.5% / _S^tY)ep0


7.4.8.2.2 Wú‘X{9
SUOM Nl ^ QC
g,g
N ^t^Skg
yv 2018^t1g 1eó018^t12g 31
2017^t1g 1eó017^t12g 31e
e
_Sg Su vWú‘”e/N
2,194,142.30 4,561,221.72
vbX{9
lè e/NWú‘X{NN-V”LvbX{9 RMN eWú‘D§QP<0.25%v^t9c e}/ó

kgg ^ c g e/N0 Qv{—Ql_ N:

ebX{9 RMN eWú‘D§QP<×0.25% / _S^tY)ep0


7.4.8.2.3 U.g R9
lè g,g TN ^tSkg WGeàepcn0


7.4.8.3 N QsTL”LT N ^ W:vP:R8(T+V-N¤
lè eà0




{, 28 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


7.4.8.4 T QsTbD,Wú‘`Q

7.4.8.4.1 bTJg Q…Wú‘t N(Vúg D‘D,Wú‘`Q
NSUOM N
g,g
yv
2018^t1g 1eó018^t12g 31e
SNlgt^‘ qR¨m÷ A SNlgt^‘ qR¨m÷ C
Wú‘T u eHe 2015
^t3g 24e c g vWú‘ 0.00 0.00

g R c g vWú‘ 0.00 0.00
g u3-NpQe`;N 0.00 0.00
g VàbR SR¨N 0.00 0.00
Q g N/SVQú`;N 0.00 0.00
gg+ c g vWú‘ 0.00 0.00
gg+ c g vWú‘
0.0000% 0.0000%
S`Wú‘;NkO


N ^t^Skg
yv
2017^t1g 1eó017^t12g 31e
SNlgt^‘ qR¨m÷ A SNlgt^‘ qR¨m÷ C
Wú‘T u eHe 2015
^t3g 24e c g vWú‘ 0.00 -

g R c g vWú‘ 5,571,778.87 -
g u3-NpQe`;N 0.00 -
g VàbR SR¨N 0.00 -
Q g N/SVQú`;N 5,571,778.87 -
gg+ c g vWú‘ 0.00 -
gg+ c g vWú‘
0.0000% -
S`Wú‘;NkO
lè 1. g N/SVQú`;NT+lbQúN

2. Wú‘t NbD,Wú‘u(v¤(u3)-N9c qgg,Wú‘Rf Nfv‰bgL0

3. g,bTJg Q… Wú‘t Ng*bD,Wú‘




7.4.8.4.2 bTJgg+ –dú‘t NNKY vQvNQsTbD,Wú‘`Q


lè g,bTJg SN ^t^ –dú‘t NNKY vQvNQsTg*bD,Wú‘


7.4.8.5 u1QsTO{v”L[Xk>OYS_Sg N§ vR)`oe6Qe
SUOM Nl ^ QC
QsT g,g N ^t^Skg
T y 2018^t1g 1eó018^t12g 31e 2017^t1g 1eó017^t12g 31e
{, 29 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


gg+ OY _Sg R)`oe6Qe gg+ OY _Sg R)`oe6Qe
N-V”L 20,162,953.57 305,196.12 220,717,678.58 682,594.56
lè g,Wú‘”L[Xk>u1Wú‘X{NN-V”LO{ c ”LT N R)s`o0


7.4.8.6 g,Wú‘(b g Q…SN QsTb R8v`Q
lè g,Wú‘TJg SN ^t^Skg g*SN QsTb R80


7.4.8.7 QvNQsT¤ Nyvf
lè eà0

7.4.9 gg+ 2018^t12g 31e g,Wú‘ g vmAS×–PR8

7.4.9.1 Và¤-°S/XSR8Ngg+ c g vmAS×–PR8
‘SUOM Nl ^ QC
7.4.12.1.1 S×–PR8|{R+ h
ep‘
R8 R8 b R SmA mAS× ¤- gg+ O0 gg+ gg+ O0P<
SUOM Y lè
Nx T y ¤- e –P{W N÷h< P
2018 2019
}+‘ e°*
601860 ^t12 ^t1 3.14 3.14 15,970 50,145.80 50,145.80 -
”L N ^
g 20e g 3e




7.4.9.2 gg+ c g vfeP\rL{ImAS×–Ph
lè eà0


7.4.9.3 gg+ P:R8kcV-¤ N-O\N:bbvP:R8

7.4.9.1.1 ”L^ W:P:R8kcV-
lè eà0


7.4.9.1.2 N¤ b@^ W:P:R8kcV-
lè eà0

7.4.10 g RN ‰R g bh—‰f vQvNNy
(1)QlQAN÷P<

(a) ‘]QwQlQAN÷P<‘el

QlQAN÷P<‘gb@\^v\Bk! u1[ùQlQAN÷P<‘tOS Qwg ‘‰NIv“eP
ON\Bk!Q[

{, 30 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


{,N \Bk! vT D§ P:W(m; W:N g*~ etvbN÷

{,N\Bk! –d,N \Bk!“eP
{,N \Bk! vQsD§ P:vN S‰“eP<0



(b) c ~ívNQlQAN÷P<‘‘]Qw

(i) T \Bk!‘]QwQlQAN÷P<

N2018^t12g 31e g,Wú‘ g vNQlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘D§N-^N

{,N \Bk!vOYN:482,105,815.15QC \^N{,N\Bk!vOYN:15,066,645.80QC eà\^N{,N \B

k!vOY(2017^t12g 31e {,N \Bk!1,107,031,706.69QC {,N\Bk!88,876,758.74QC eà{,N

\Bk!)0



(ii) QlQAN÷P
g,Wú‘[ü \Bk!NKlbvNySu eN:xn¤ \Bk!NKlbvep0

[ùNR8N¤ b@N ^ vhTP:R8 Qús°‘'NyP\rL0 N¤ N m;S bìm¨\evN¤

f N m;0 b \^N—^l_ SL{I`Q g,Wú‘ O NP\rLeó¤ `bY m;g 0 N¤ N m;

S–P.g \ vQshTP:R8vQlQAN÷P
[“eP<[ùNQlQAN÷P


(iii) {,N \Bk!QlQAN÷P
eà0



(c) —^ ~ívNQlQAN÷P<‘‘]Qw

N2018^t12g 31e g,Wú‘*c g —^ ~ívNQlQAN÷P<‘‘D§(2017^t12g 31e

T )0



(d) NN QlQAN÷P<‘‘]Qw

NN QlQAN÷P<‘‘D§TP:N;‰bì^”e6k>yTQvN‘P: Qv&—b÷P
N÷P


(2)–dlQAN÷P
{, 31 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


§8 bDT bTJ
8.1 gg+ Wú‘D§~T `Q
‘SUOM Nl ^ QC

S`Wú‘;D§vkO
^S÷ yv ‘
%
1 gCvbD 482,155,960.95 92.09
QvN- h 482,155,960.95 92.09
2 Wú‘D - -
3 Vú[e6vbD 15,016,500.00 2.87
QvN- P:R8 15,016,500.00 2.87
D§e/c R8 - -
4 5‘^bD - -
5 ‘Mu TbD - -
6 NpQe.‘D§ - -
QvN- Npe-_ V-NpQe.‘D§ - -
7 ”L[Xk>T~{— N‘ 21,521,996.67 4.11
8 QvNT yD§ 4,877,234.13 0.93
9 T 523,571,691.75 100.00


8.2 gg+ c LN R |{vhbDT
8.2.1 bTJgg+ c LN R |{vXQ…hbDT
‘SUOM Nl ^ QC

S`Wú‘D§QPNx LN |{R+ QlQAN÷P<
O
A Q0 g— rg0 n N 10,377,194.56 1.99
B ‘N 17,818,880.64 3.42
C R6N 174,517,329.48 33.46
u5R0 píR0 ql Sl4u N§TO
D 13,540,057.72 2.60
^”
E ^ú{QN 28,342,141.25 5.43
F byST–.N 8,818,426.75 1.69
G N¤“NP¨T?N 17,037,951.42 3.27
H OO[Tn N - -
Oá`oO “oTOá`obg/g R
I 11,906,748.00 2.28
N
J ‘ 177,435,586.47 34.02
K b?W0N§N 22,361,644.66 4.29
L yAUFRg RN - -
M y[fx zvTbg/g RN - -
N l4R)0 sXTQlQqe{t N - -
O \El g R0 Ot TQvNg RN - -
P eY - -
Q Sku Ty>O ]O\ - -
R eS 0 OSZ1NPN - -
S ~üT - -
T 482,155,960.95 92.45
{, 32 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰




8.2.2 bTJgg+ c LN R |{vn/bDhbDT
lè g,Wú‘,bTJgg+g* /bDh0

8.3 gg+ c QlQAN÷P ‘SUOM Nl ^ QC

S`Wú‘D§QP<
^S÷ hNx hT y ep‘ QlQAN÷P<
kO
1 601318 N-V^s[‰ 559,541 31,390,250.10 6.02
2 000651 h 3 600016 l u ”L 2,546,220 14,589,840.60 2.80
4 601229 N mw”L 1,173,490 13,131,353.10 2.52
5 600585 mwl4l 436,310 12,775,156.80 2.45
6 601818 QIY'”L 3,218,503 11,908,461.10 2.28
7 601006 Y'y” 1,368,104 11,259,495.92 2.16
8 600031 NN ‘ 1,310,824 10,932,272.16 2.10
9 603288 mwY)TsN 157,237 10,817,905.60 2.07
10 601166 QtN ”L 712,800 10,649,232.00 2.04
lè bDk2N‰,bTJgg+ Wú‘Db@g hf ~ ^”–v{}www.huatai-pb.comv^t

^bTJkce0

8.4 bTJg Q…hbDT v‘'SR¨
8.4.1 }/NpQe‘…úg R Wú‘D§QP<2%b RM20T vhf ~
‘SUOM Nl ^ QC

S`g R Wú‘D§Q
^S÷ hNx hT y g,g }/NpQe‘
P 1 000651 h 2 600426 SN`RSG 27,095,229.95 1.91
3 600741 SNWl}f 26,682,785.11 1.88
4 600016 l u ”L 25,081,559.43 1.77
5 600801 SNe°l4l 24,966,044.43 1.76
6 601800 N-VN¤^ú 24,189,137.68 1.71
7 601225 –U‰dN 23,675,099.17 1.67
8 002626 ‘ 22,857,752.15 1.61
9 600519 5 S 22,801,850.70 1.61
10 000528 gó ] 22,531,003.04 1.59
11 601229 N mw”L 22,320,286.64 1.58
12 002146 cvS\U 21,688,689.70 1.53

{, 33 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


13 600585 mwl4l 21,619,233.00 1.53
14 601398 ]UF”L 20,673,491.00 1.46
15 002422 yO&oN 20,413,390.67 1.44
16 601788 QIY'R8 20,404,885.21 1.44
17 600567 \qpN 20,363,927.00 1.44
18 600926 gm]”L 20,192,462.00 1.43
19 600516 eY'p-} 19,890,947.90 1.40
20 601601 N-VY*O 19,365,969.14 1.37
lè N QvQsN¤ 9(0

8.4.2 }/SVQú‘…úg R Wú‘D§QP<2%b RM20T vhf ~
‘SUOM Nl ^ QC

S`g R Wú‘D§Q
^S÷ hNx hT y g,g }/SVQú‘
P 1 601318 N-V^s[‰ 58,788,095.36 4.15
2 600519 5 S 50,602,763.87 3.57
3 000651 h 4 600030 N-OáR8 48,097,053.06 3.39
5 601006 Y'y” 47,623,468.03 3.36
6 601288 QN ”L 44,696,346.00 3.15
7 600036 bUF”L 38,243,172.83 2.70
8 601398 ]UF”L 29,877,398.12 2.11
9 600028 N-VwóS 29,122,087.68 2.06
10 601601 N-VY*O 28,865,562.46 2.04
11 000002 N y! 27,129,125.69 1.91
12 601328 N¤”L 26,953,282.53 1.90
13 002449 Vf QIu5 26,910,607.93 1.90
14 600801 SNe°l4l 26,564,879.89 1.87
15 600383 ‘0– 26,466,767.13 1.87
16 600567 \qpN 26,136,397.19 1.84
17 000596 SN!‘R 26,127,851.98 1.84
18 300274 –3Iu5n 25,652,351.51 1.81
19 601166 QtN ”L 25,401,925.94 1.79
20 000338 oMgR¨R 25,350,758.90 1.79
lè N QvQsN¤ 9(0

8.4.3 NpQehvb g,`;SSVQúhve6Qe`;
SUOM Nl ^ QC

NpQehb g, b N¤ `; 2,472,870,957.73
{, 34 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


SVQúhe6Qe b N¤ `; 2,960,535,722.61
lè N QvQsN¤ 9(0

8.5 gg+ c P:R8TyR |{vP:R8bDT
‘SUOM Nl ^ QC

^S÷ P:R8Ty QlQAN÷P< S`Wú‘D§QP<
kO
1 V[P:R8 - -
2 Y.Lyhcn - -
3 ‘P:R8 15,016,500.00 2.88
QvN- e?{V`'‘P: 15,016,500.00 2.88
4 O N P:R8 - -
5 O N wíg D8 - -
6 N-g yhcn - -
7 Sl: SN¤cbP: - -
8 T N [XSU - -
9 QvN - -
10 T 15,016,500.00 2.88


8.6 gg+ c QlQAN÷P ‘SUOM Nl ^ QC

S`Wú‘D§QP<
^S÷ P:R8Nx P:R8T y ep‘ _ QlQAN÷P<
kO
1 180201 18V_ 01 150,000 15,016,500.00 2.88


8.7 gg+ c QlQAN÷Plè g,Wú‘,bTJgg+g* c g D§e/c R80

8.8 bTJgg+ c QlQAN÷P lè g,Wú‘,bTJgg+g* c g 5‘^0

8.9 gg+ c QlQAN÷Plè g,Wú‘,bTJgg+g* c ggC 0

8.10 bTJgg+g, Wú‘D g '¤ `Qf
8.10.1 bTJgg+g, Wú‘D g ' NTc_vf ~
lè g,Wú‘,bTJgg+g* c g g '




{, 35 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


8.10.2 g,Wú‘D g 'bD?{V

h9cnQlRWú‘Qsl‰g,Wú‘T b NìSNOu( g 'LR QNOMvbDO\0 g,

bTJg g 'q6Y'^E44 b NìbéOc N [kOv g 'N,N e—bSkn

[v…e6v,SN e—bSG~T mAR¨`' ^vW(T veg:[ù g 'LNyN0

8.11 bTJgg+g, Wú‘DVP:g '¤ `Qf
8.11.1 g,g VP:g 'D?{V
lè g,Wú‘,bTJgg+g* c g VP:g '

8.11.2 bTJgg+g, Wú‘DVP:g ' NTc_vf ~
lè g,Wú‘,bTJgg+g* c g VP:g '

8.11.3 g,g VP:g 'DN÷

lè g,Wú‘,bTJgg+g* c g VP:g '

8.12 bDT bTJ–Dè
8.12.1 g,Wú‘DRMSAT R8vSLN;OSg,g S×R0 gNSY Zv`Qvf
bTJg Q…Wú‘DRMSAT R8vSLN;OSlg v{èèzhH gv`_b N_lg W(bTJ

R6eRMN ^tQ…S×R0Ql_ 4# Y Zv`_b0

8.12.2 Wú‘DRMSAT h…úWú‘T ‰vY h^“`Qvf
Wú‘DRMSAT hN- lg bD…úWú‘T ‰Y h^“NKY v`_b0

8.12.3 gg+ QvNT yD§gb
SUOM Nl ^ QC

^S÷ T y ‘
1 [XQúO‘ 250,589.63
2 ^”e6R8n {—k> 4,043,385.19
3 ^”e6) -
4 ^”e6R)`o 577,413.75
5 ^”e6u3-> 5,845.56
6 QvN^”e6k> -
7 _…dJ9( -
8 QvN -
9 T 4,877,234.13


8.12.4 gg+ c g vY Nl vSlbP:R8f ~
lè eà0

8.12.5 gg+ RMSAT hN-[XW(mAS×–PQvf
{, 36 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


lè eà0




{, 37 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


§9Wú‘ g NOá`o
9.1 gg+ Wú‘ g Nb7epSc g N~g
NSUOM N

N c g N b7WGc g v c g N~g
~§R+ b7ep( Wú‘ g:gbD N*NbD
b7)
S``;Nk S``;N
c g N c g N
O kO
SNl
gt^
‘ 7,010 89,054.34 125,000,000.00 20.02% 499,270,929.79 79.98%
qR¨
m÷ A
SNl
gt^
‘ 17 8,459.83 0.00 0.00% 143,817.12 100.00%
qR¨
m÷ C
T 7,027 88,859.36 125,000,000.00 20.02% 499,414,746.91 79.98%
lè Wú‘:g/N*NbDc g NS``;NkOv{—N- [ùN \^R ~§Wú‘ kOvR k‘(

T ê§R+vN [ùT ep kOvR k‘(N \^R ~§Wú‘vT ep Ssgg+ Wú‘`;

0

9.2 gg+ Wú‘t NvNNN TXc gg, Wú‘`Q
S`Wú‘;N
yv N~§R+ c g N`;ep N
kO
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Wú‘t Nb@g NNN TX
‘ qR¨ 557,289.34 0.0893%
c gg, Wú‘
m÷ A
SNlgt^
‘ qR¨ 13.68 0.0095%
m÷ C

T 557,303.02 0.0893%

lè Wú‘t NvNNN TXc g Wú‘`Wú‘;NkOv{—N- [ùN \^R ~§Wú‘ kOvR k

‘(T ê§R+vN [ùT ep kOvR k‘(N \^R ~§Wú‘vT ep Ssgg+ Wú‘

`; 0

9.3 gg+ Wú‘t NvNNN TXc gg, _ e>_ Wú‘`;‘:v`Q

yv N~§R+ c g Wú‘`;‘ep‘: NN
g,QlS~§{t NTX0 Wú SNlgt^‘ qR¨m÷
50~100
‘Dx zvèè# T A
c gg, _ e>_ Wú‘ SNlgt^‘ qR¨m÷
0
T C
T 50~100
g,Wú‘ú‘t c gg, _ SNlgt^‘ qR¨m÷
50~100
e>_ Wú‘ T A
SNlgt^‘ qR¨m÷ 0
{, 38 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


T C
T 50~100




{, 39 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


§10_ e>_ Wú‘SR¨
SUOM N
SNlgt^‘ qR¨ SNlgt^‘ qR¨
yv
m÷ A m÷ C
Wú‘T u eHe 2015^t 3g 24e Wú‘
3,771,012,613.64 -
`;
g,bTJgg R Wú‘`; 1,299,182,209.29 -
g,bTJgg Wú‘;u3- 196,347,212.36 160,397.93
Q:g,bTJgg Wú‘;NN 871,258,491.86 16,580.81
g,bTJgg Wú‘R SR¨N NQ
- -
\ N"-"XkR
g,bTJggg+ Wú‘`; 624,270,929.79 143,817.12
lè A|{NSR¨S:N:2018^t1g 1eó018^t12g 31e C|{NSR¨S:N:2018^t10g 16e

ó018^t12g 31e0




{, 40 u Qq47 u
 SNlgt^‘ qR¨m÷ 2018^t^t^bTJdX‰


§11‘'NNcíy:
11.1 Wú‘ g NY'O Q
bTJg Q…eàWú‘ g NY'O Q0



11.2 Wú‘t N0 Wú‘X{NvN èWú‘X{èèv‘'NNSR¨
bTJg Q… 2018^t8g R 8QHu bNN-V”Lg –PlSLL0 N NSR¨]ò
c vQs‰Y hH0 QlTJ0
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