HTSC XIVA 13.09(2) 13.10B

HTSC 6886 2019 2019 3 31 571 XIVA 13.09(2) 13.10B 2019 1

2007 12 7 HTSC 16 Huatai Securities Co., Ltd. H 2015 6 1 6886 A 2010 2 26 601688 2019 1 1 2019 3 31 2

% 2019 4 29 3

601688 2019 4

... 5... 6... 10... 13 5

1.1 1.2 1.3 1.4 2.1 (%) 445,581,159,111.37 368,665,874,058.71 20.86 106,625,540,892.74 103,393,576,924.99 3.13 6

(%) 30,486,687,223.62-249,747,825.82 % 6,247,768,951.11 4,289,557,776.25 45.65 2,779,612,391.79 1,903,006,658.17 46.06 2,773,464,570.40 1,848,321,864.81 50.05 (%) 2.66 2.16 0.5 0.34 0.27 25.93 0.34 0.27 25.93 7

94,325.96 9,380,561.88-675,444.69-2,267,621.40-384,000.36 6,147,821.39 8

2.2 199,656 (%) 1,675,047,927 20.30 1,286,272,836 15.59 463,848,418 5.62 351,678,006 4.26 268,199,233 3.25 268,199,233 260,536,398 3.16 260,536,398 258,000,000 1 247,545,593 3.00 247,545,593 246,720,811 2.99 153,256,704 1.86 153,256,704 133,107,554 1.61 9

1,675,047,927 1,675,047,927 1,286,272,836 1,271,072,836 15,200,000 463,848,418 448,467,218 15,381,200 351,678,006 342,028,006 9,650,000 246,720,811 246,720,811 133,107,554 133,107,554 123,169,146 123,169,146 98,222,400 98,222,400 96,996,070 96,996,070 82,253,007 82,253,007 10

5% (Alibaba Group Holding Ltd) 1 A 2 H H 15,200,000 15,381,200 9,650,000 1,715,279,127 20.79% 3 A 11

4 3,598,200 A 452,065,418 A 15,381,200 H 5.66% 5 A 191,278 H 8,378 2.3 12

3.1 : : 102,697,522,598.76 71,102,643,314.51 44.44% 950,156,161.00 1,933,958,476.40-50.87% 5,168,529,964.92 3,090,165,422.15 67.26% 615,931,635.21 1,081,529,666.96 1,814,841,287.81-40.41% 1,475,240,356.07 3,015,790,687.57-51.08% 3,178,979,966.79 5,813,487,101.88-45.32% 1,856,308,196.06 776,102,030.87 139.18% 55,968,515,115.26 40,095,053,613.01 39.59% 90,210,441,664.48 59,492,175,533.47 51.63% 8,298,000.00 1,813,300.00 357.62% 596,883,597.34 68,230,027,206.60 45,752,009,850.23 49.13% 631,689,612.91 179,338,036.95 252.23% 13

2,606,878,167.72 1,350,111,953.06 93.09% 9,380,561.88 70,859,325.13-86.76% 764,789,932.88 116,669,989.34 555.52% 17,028,215.37 6,468,708.02 163.24% 206,214,947.75 63,408,930.64 225.21% 6,208,453.21-52,901,925.07-2,734,416.43 768,602.63-455.76% 192,991,413.42 30,513,093.89 532.49% 2,532,327.82 671,657.29 277.03% 846,807,720.45 483,253,618.85 75.23% 451,576,063.07-230,137,979.48 30,486,687,223.62-249,747,825.82 6,401,325,882.20-2,398,778,597.26 3.2 1 14

2 3 Huatai Financial USA, Inc. 6,600 320 12,045.60 830 3.3 3.4 2019 4 29 15

4.1 2019 3 31 2019 3 31 2018 12 31 102,697,522,598.76 71,102,643,314.51 68,870,835,740.44 42,902,018,376.63 20,809,398,790.48 19,068,365,339.98 17,267,707,304.10 16,044,994,914.66 57,933,519,996.35 46,188,884,860.29 950,156,161.00 1,933,958,476.40 8,571,374,505.17 7,836,506,104.91 5,168,529,964.92 3,090,165,422.15 43,535,479,150.06 43,556,564,734.21 177,999,523,116.78 148,975,237,504.15 149,857,612,745.88 122,244,331,499.24 16,753,427,830.19 16,274,163,775.43 770,798,283.46 606,809,484.07 10,617,684,257.25 9,849,932,745.41 14,167,906,812.63 13,177,660,861.27 573,337,470.12 586,333,637.71 3,743,510,785.00 3,499,127,756.91 615,931,635.21 61,795,251.45 49,025,690.37 5,327,978,559.76 5,462,012,108.36 2,057,421,653.54 2,099,412,099.41 286,242,993.18 225,134,860.27 1,081,529,666.96 1,814,841,287.81 445,581,159,111.37 368,665,874,058.71 16

2019 3 31 2018 12 31 1,475,240,356.07 3,015,790,687.57 25,587,385,435.78 21,123,999,727.58 3,178,979,966.79 5,813,487,101.88 4,430,847,634.83 5,199,989,703.32 1,856,308,196.06 776,102,030.87 55,968,515,115.26 40,095,053,613.01 90,210,441,664.48 59,492,175,533.47 8,298,000.00 1,813,300.00 7,868,053,672.00 7,915,032,953.00 920,497,169.53 846,735,501.48 6,431,765,346.86 7,476,963,437.89 7,094,132.89 7,441,733.86 101,047.62 1,662,279,962.82 1,698,768,893.25 67,138,202,198.71 62,890,730,583.32 2,004,925,218.48 1,810,175,478.47 596,883,597.34 68,230,027,206.60 45,752,009,850.23 337,575,845,922.12 263,916,270,129.20 8,251,500,000.00 8,251,500,000.00 58,859,859,896.75 58,859,859,896.75 631,689,612.91 179,338,036.95 4,489,830,174.82 4,489,830,174.82 12,386,395,869.25 12,196,945,015.12 22,006,265,339.01 19,416,103,801.35 106,625,540,892.74 103,393,576,924.99 17

2019 3 31 2018 12 31 1,379,772,296.51 1,356,027,004.52 108,005,313,189.25 104,749,603,929.51 445,581,159,111.37 368,665,874,058.71 18

2019 3 31 2019 3 31 2018 12 31 71,304,216,397.48 42,413,315,457.84 58,202,237,666.52 31,760,855,525.90 21,742,069,503.59 20,259,533,365.50 18,703,152,380.20 16,038,610,231.94 57,295,119,475.92 45,387,682,848.93 686,747,277.03 1,663,164,165.24 1,442,582,856.31 2,669,162,811.81 3,287,266,237.61 1,609,776,988.71 26,173,201,444.37 34,729,163,046.28 118,677,993,298.33 95,912,248,595.42 93,663,926,039.13 71,413,963,799.21 14,425,983,001.95 14,677,952,050.80 10,588,084,257.25 9,820,332,745.41 26,752,367,723.12 26,437,213,803.79 1,413,813,967.16 1,426,027,913.71 2,469,463,895.41 2,444,069,885.86 409,645,326.19 61,710,548.43 48,965,850.37 499,209,475.34 526,962,846.50 589,147,573.05 1,203,876,938.88 332,804,554,999.34 276,731,164,518.84 25,361,376,263.56 20,927,044,004.58 19

2019 3 31 2018 12 31 3,178,979,966.79 5,813,487,101.88 71,499,040.00 1,436,004,566.67 1,637,130,413.24 603,694,554.69 50,364,705,478.39 34,794,768,684.66 75,101,262,581.06 44,673,270,293.49 8,298,000.00 1,813,300.00 6,244,338,077.15 5,751,455,877.68 557,548,814.64 213,347,683.65 5,399,061,894.99 5,445,646,960.08 101,047.62 64,446,532,258.66 60,123,324,566.77 579,004,187.52 580,364,965.24 393,583,421.82 1,705,285,426.82 1,569,854,635.84 235,048,706,872.26 181,934,077,195.23 8,251,500,000.00 8,251,500,000.00 58,621,922,798.33 58,621,922,798.33 363,317,753.03-238,269,630.14 4,489,830,174.82 4,489,830,174.82 9,191,569,164.13 9,191,569,164.13 16,837,708,236.77 14,480,534,816.47 97,755,848,127.08 94,797,087,323.61 332,804,554,999.34 276,731,164,518.84 20

2019 1-3 2019 2018 6,247,768,951.11 4,289,557,776.25 2,140,767,407.49 1,984,356,709.01 1,124,281,762.33 985,797,707.36 247,997,199.09 407,287,808.60 712,218,565.37 540,301,294.70 502,615,392.06 697,575,292.56 1,880,822,678.54 2,414,536,830.36 1,378,207,286.48 1,716,961,537.80 2,606,878,167.72 1,350,111,953.06 1,167,501,518.72 580,299,432.76 980,210.99 9,380,561.88 70,859,325.13 764,789,932.88 116,669,989.34 17,028,215.37 6,468,708.02 206,214,947.75 63,408,930.64 94,325.96 106,868.49 2,595,504,589.30 1,887,964,740.80 39,562,402.45 34,165,880.79 2,359,476,736.65 1,875,419,088.56 6,208,453.21-52,901,925.07-2,734,416.43 768,602.63 192,991,413.42 30,513,093.89 21

2019 2018 3,652,264,361.81 2,401,593,035.45 1,856,883.13 2,843,841.02 2,532,327.82 671,657.29 3,651,588,917.12 2,403,765,219.18 846,807,720.45 483,253,618.85 2,804,781,196.67 1,920,511,600.33 2,804,781,196.67 1,920,511,600.33 1. 2,804,781,196.67 1,920,511,600.33 2. 2,804,781,196.67 1,920,511,600.33 1. 2,779,612,391.79 1,903,006,658.17 2. 25,168,804.88 17,504,942.16 451,576,063.07-230,137,979.48 452,351,575.96-230,173,705.53 575,813,633.88-5,667,814.31 1. 2. 3. 575,813,633.88-5,667,814.31 4. 22

2019 2018-123,462,057.92-224,505,891.22 1. 25,773,749.29-8,594,013.38 2. 3. 4. 5. 6. -149,235,807.21-215,911,877.84 7. -775,512.89 35,726.05 3,256,357,259.74 1,690,373,620.85 3,231,963,967.75 1,672,832,952.64 24,393,291.99 17,540,668.21 0.34 0.27 0.34 0.27 23

2019 1-3 2019 2018 4,241,376,265.78 3,703,341,841.61 1,167,900,638.85 940,781,746.77 1,061,915,513.45 917,248,014.49 86,851,849.81-1,266,767.85 326,652,897.88 492,425,802.41 1,553,636,998.30 2,134,128,454.42 1,226,984,100.42 1,641,702,652.01 2,239,112,985.37 2,216,348,896.19 289,380,170.04 288,158,000.00 980,210.99 1,454,705.58 6,031,931.33 485,096,527.37 20,155,638.04-1,976.20 21,045,948.38 27,531,538.16 112,562.35 68,264.91 1,461,303,332.93 914,326,998.25 36,701,701.93 28,289,904.59 1,408,119,310.12 923,312,822.72 24

2019 2018 4,223,939.03-52,893,997.12 12,258,381.85 15,618,268.06 2,780,072,932.85 2,789,014,843.36 1,588,504.95 2,839,395.47 1,002,267.41 643,152.19 2,780,659,170.39 2,791,211,086.64 423,485,750.09 252,757,021.66 2,357,173,420.30 2,538,454,064.98 2,357,173,420.30 2,538,454,064.98 601,587,383.17-14,261,827.69 575,813,633.88-5,667,814.31 1. 2. 3. 575,813,633.88-5,667,814.31 4. 25,773,749.29-8,594,013.38 1. 25,773,749.29-8,594,013.38 2. 3. 25

2019 2018 4. 5. 6. 7. 2,958,760,803.47 2,524,192,237.29 26

2019 1-3 2019 2018 5,688,374,867.79 6,206,762,013.73 4,500,000,000.00 20,955,266,354.76 7,408,160,937.03 2,297,918,909.63 30,718,323,746.13 1,029,273,240.18 22,598,182,899.00 6,045,827,608.08 79,960,147,867.68 27,487,942,708.65 659,028,213.43 12,026,794,676.26 25,683,917,093.41 20,491,923,171.77 2,630,000,000.00 1,760,976,575.17 1,782,503,365.56 1,623,936,625.73 1,443,124,593.14 649,575,526.83 701,704,798.54 5,098,260,146.66 2,659,406,392.03 49,473,460,644.06 27,737,690,534.47 30,486,687,223.62-249,747,825.82 27

2019 2018 487,671,251.34 49,964,159.98 56,318.83 929,216.39 3,988,982.24 488,656,786.56 53,953,142.22 519,330,488.10 271,019,202.72 329,207,933.61 34,584,283.43 162,890,200.00 131,100,000.00 81,480,000.00 979,638,421.71 549,973,686.15-490,981,635.15-496,020,543.93 622,596,249.00 23,189,620,000.00 7,313,430,000.00 23,189,620,000.00 7,936,026,249.00 16,376,033,687.32 9,756,630,000.00 412,260,430.48 578,174,846.26 648,000.00 12,715,000.00 16,788,294,117.80 10,334,804,846.26 28

2019 2018 6,401,325,882.20-2,398,778,597.26 73,580,008.06-57,852,854.10 36,470,611,478.73-3,202,399,821.11 99,628,861,431.84 96,682,132,974.24 136,099,472,910.57 93,479,733,153.13 29

2018 1-3 2019 2018 3,883,717,297.63 3,849,057,081.38 4,500,000,000.00 20,279,954,414.32 5,452,929,037.71 2,401,111,600.52 30,428,049,902.70 6,048,349,330.44 1,672,437,546.00 2,644,505,718.14 56,264,159,160.65 24,895,952,768.19 12,189,596,167.19 21,085,625,074.64 15,925,902,076.53 2,630,000,000.00 1,521,573,388.00 1,525,742,751.38 580,724,033.47 590,742,345.39 216,599,980.15 294,837,360.08 275,153,145.55 1,063,376,035.00 38,499,271,789.00 19,400,600,568.38 30

2019 2018 17,764,887,371.65 5,495,352,199.81 1,096,474,080.21 1,492,005,000.00 929,216.41 3,893,346.03 1,097,403,296.62 1,495,898,346.03 217,082,497.45 285,817,694.91 13,140,200.00 217,082,497.45 298,957,894.91 880,320,799.17 1,196,940,451.12 23,189,620,000.00 7,313,430,000.00 23,189,620,000.00 7,313,430,000.00 14,804,087,066.19 9,756,630,000.00 411,612,430.48 565,459,846.26 31

2019 2018 15,215,699,496.67 10,322,089,846.26 7,973,920,503.33-3,008,659,846.26-1,976.20 26,619,128,674.15 3,683,630,828.47 70,528,807,525.75 70,167,178,730.22 97,147,936,199.90 73,850,809,558.69 4.2 4.3 4.4 32