光大證券股份有限公司 Everbright Securities Company Limited ( 於中華人民共和國註冊成立的股份有限公司 ) 股份代號 :6178 2016 中期報告

2 4 8 12 15 36 44 49 51 56

.... 光大證券股份有限公司 2

..... 3 2016 中期報告

光大證券股份有限公司 4

70% 30% 20161 16 30 PPP FICC ABS 5 2016 中期報告

光大證券股份有限公司 6

571 A 1.00 H 1.00 7 2016 中期報告

. Everbright Securities Company Limited EBSCN 6 30 12 31 3,906,698,839.00 3,906,698,839.00 33,047,503,732.15 36,574,371,144.01 光大證券股份有限公司 8

A 9 2016 中期報告

IB. 1508 1508 021-22169914 021-22169914 021-22169964 021-22169964 ebs@ebscn.com ebs@ebscn.com 光大證券股份有限公司 10

. 1508 200040 1508 200040 33 24 http://www.ebscn.com ebs@ebscn.com. A http://www.sse.com.cn http://www.hkexnews.hk 1508. A 601788 H 6178. 6 23 91310000100019382F 11 2016 中期報告

. 1 6 1 6 6,735,679 12,828,154 (47.49)% 1,913,020 6,302,376 (69.65)% 1,514,708 4,878,026 (68.95)% 13,986,533 (23,634,761) (159.18)% 0.39 1.43 (72.83)% 0.39 1.43 (72.83)% (%) 3.80 17.20 13.4 光大證券股份有限公司 12

6 30 12 31 173,733,566 197,072,821 (11.84)% 133,971,253 154,649,205 (13.37)% 66,945,084 71,102,044 (5.85)% 38,412,487 40,482,599 (5.11)% 39,762,313 42,423,616 (6.27)% 3,906,699 3,906,699 9.83 10.36 (5.11)% (%) 62.79 66.34 3.55 = 13 2016 中期報告

6 30 ( ) 12 31 ( ) 33,047,504 36,574,371 37,783,009 39,327,888 1,027% 1,119% 87% 93% 67% 56% 77% 60% 52% 54% 38% 33%. 162015 16 6 3012 31 光大證券股份有限公司 14

. 2016 GDP 6.7% 6 300 15%0.4% 5,744 8,53627%2.9 2.3 2016 2016PPP PPP 49% 15 2016 中期報告

2016A AA 67.415.1 3.8% 1. 2,102,046 1,250,437 40.51% (62)% (47)% 17.05 1,482,520 813,483 45.13% (44)% (57)% 17.48 906,560 494,598 45.44% (63)% (5)% 33.10 1,120,113 671,400 40.06% (12)% 61% 27.08 496,791 593,249 (19.42)% 50% 120% 38.15 光大證券股份有限公司 16

(1) 21 62% 8 2016 AA 17 2016 中期報告

(2) 14.8 44% 6 265 3.1% 223 74% 2.5%14 5 35 (3) 90763% 2016 611913 7898 574 3.7%5 光大證券股份有限公司 18

PPP PPP 63.4% 12%0.13% 8% FICC + (4) 11.2 12% 6 2,77818% 9892015 19 2016 中期報告

76%36% 2016410 970 8% 514 1.5 5 32 (5) 49% 2 IPOIPO 0.26% 19 光大證券股份有限公司 20

(6) 2. (1) 1 6 1 6 3,523,640 52.31% 6,689,576 52.15% (3,165,936) (47.33)% 2,570,972 38.17% 3,490,288 27.21% (919,316) (26.34)% 379,419 5.63% 2,529,940 19.72% (2,150,521) (85.00)% 261,648 3.88% 118,350 0.92% 143,298 121.08% 6,735,679 100.00% 12,828,154 100.00% (6,092,475) (47.49)% 67.4 47% 35.2 47% 25.7 26% 37985% 21 2016 中期報告

(2) 1 6 1 6 596,647 1,144,303 (547,656) (47.86)% 1,889,295 2,126,493 (237,198) (11.15)% 1,335,560 1,994,443 (658,883) (33.04)% 194,058 218,654 (24,596) (11.25)% 182,631 520,253 (337,622) (64.90)% 19,169 (16,228) 35,397 625,558 589,985 35,573 6.03% 4,842,918 6,577,903 (1,734,985) (26.38)% 201648.4 26%597 48% 19 11% 13.4 33% 光大證券股份有限公司 22

3. 6 30 139.87 236.35 6 30 0.86 27.75 6 30128.31 374.92 4. (1) 23 2016 中期報告

6 30 12 31 22,898,116 20,186,145 2,711,971 13.43% 866,424 0.50% 879,372 0.45% (12,948) (1.47)% 1,440,056 0.83% 1,411,783 0.72% 28,273 2.00% 806,124 0.46% 885,817 0.45% (79,693) (9.00)% 1,426,890 0.82% 874,763 0.44% 552,127 63.12% 132,328 0.08% 129,531 0.07% 2,797 2.16% 7,865,643 4.53% 7,864,984 3.99% 659 0.01% 1,357,342 0.78% 1,344,690 0.68% 12,652 0.94% 5,203,189 2.99% 3,995,018 2.03% 1,208,171 30.24% 392,568 0.23% 79,969 0.04% 312,599 390.90% 2,377,805 1.37% 2,450,900 1.24% (73,095) (2.98)% 1,029,747 0.59% 269,318 0.14% 760,429 282.35% 150,835,450 176,886,676 (26,051,226) (14.73)% 2,875,727 1.66% 2,069,298 1.05% 806,429 38.97% 1,018,623 0.59% 1,450,942 0.74% (432,319) (29.80)% 4,022,282 2.32% 3,692,973 1.87% 329,309 8.92% 31,476,687 18.12% 43,404,467 22.02% (11,927,780) (27.48)% 7,393,830 4.26% 9,777,815 4.96% (2,383,985) (24.38)% 3,690,672 2.12% 5,003,931 2.54% (1,313,259) (26.24)% 21,720,127 12.50% 25,539,897 12.96% (3,819,770) (14.96)% 136,401 0.08% 168,519 0.09% (32,118) (19.06)% 1,361,140 0.78% 360,034 0.18% 1,001,106 278.06% 63,316,567 36.44% 70,327,108 35.69% (7,010,541) (9.97)% 13,823,394 7.96% 15,091,692 7.66% (1,268,298) (8.40)% 173,733,566 100.00% 197,072,821 100.00% (23,339,255) (11.84)% 光大證券股份有限公司 24

6 30 12 31 111,029,223 130,898,344 (19,869,121) (15.18)% 4,421,190 3.30% 3,014,161 1.95% 1,407,029 46.68% 871,193 0.65% 2,100,000 1.36% (1,228,807) (58.51)% 4,632,400 3.46% 500,000 0.32% 4,132,400 826.48% 205,238 0.15% 205,238 66,945,084 49.97% 71,102,044 45.98% (4,156,960) (5.85)% 1,658,925 1.24% 2,642,761 1.71% (983,836) (37.23)% 7,403,687 5.53% 9,347,420 6.04% (1,943,733) (20.79)% 468,283 0.35% 1,627,768 1.05% (1,159,485) (71.23)% 13,586,732 10.14% 20,555,441 13.29% (6,968,709) (33.90)% 349,870 0.26% 1,022,572 0.66% (672,702) (65.79)% 10,486,621 7.83% 18,986,177 12.28% (8,499,556) (44.77)% 62,704,343 66,174,477 (3,470,134) (5.24)% 22,942,030 23,750,861 (808,831) (3.41)% 2,140,068 1.60% 2,262,341 1.46% (122,273) (5.40)% 18,439,816 13.76% 18,853,355 12.19% (413,539) (2.19)% 373,361 0.28% 551,184 0.36% (177,823) (32.26)% 230,000 0.15% (230,000) (100.00)% 1,988,785 1.48% 1,853,981 1.20% 134,804 7.27% 133,971,253 100.00% 154,649,205 100.00% (20,677,952) (13.37)% 39,762,313 42,423,616 (2,661,303) (6.27)% 25 2016 中期報告

6 30228.9813.43% 6 30 1,508.3514.73% 6 30 1,110.2915.18% 6 30229.423.41% 2 光大證券股份有限公司 26

1. 500 2. 3. 2011 51% 70%201649% 27 2016 中期報告

4. 5. 6. 20 1. 5.94 14.27 光大證券股份有限公司 28

(1) (%) 1 5,856,800 5,117,991 17.20% 2 999010 6 2,038,716 1,047,346 2,050,474 6.89% 34,857 3 999015 5 1,627,503 1,627,503 1,631,246 5.48% 40,382 4 002085 292,262 35,391 608,371 2.04% 39,583 5 360003 516,333 516,333 516,333 1.74% 3,559 6 200103 B 500,000 500,000 500,000 1.68% 66 7 865040 B 143,423 381,097 422,408 1.42% 8 350004 400,000 400,000 400,000 1.34% 47 9 000211 B 350,000 350,000 350,000 1.18% 602 10 511820 B 300,105 3,001 300,069 1.01% 83 17,564,347 17,853,890 60.01% (32,804) (303,105) 29,589,489 29,750,782 100.00% (216,730) 1. 29 2016 中期報告

2. 3. 4. (2) A A (%) (%) 600809 481,668 2.95% 3.12% 599,103 (2,343) 64,491 600999 671,974 0.52% 0.54% 515,629 (16,124) (92,887) 600893 542,763 0.51% 0.67% 454,731 (2,278) (74,951) 300362 200,000 7.32% 5.21% 432,881 174,661 002239 132,500 2.71% 2.71% 414,153 (22,161) 603999 77,000 4.38% 4.38% 389,718 1,288 (170,762) 601211 274,235 0.26% 0.26% 355,800 9,811 (91,650) 000568 250,385 0.75% 0.71% 297,000 21,647 22,972 300015 245,587 0.75% 0.79% 292,240 1,922 31,622 002230 297,739 0.54% 0.67% 284,905 (5,273) (7,394) 2,220,275 2,175,956 16,788 (314,278) 5,394,126 6,212,116 25,438 (480,337) 1. 2. 光大證券股份有限公司 30

(3) (%) (%) 25,000 1% 1% 25,000 200,000 5% 5% 200,000 50,000 25% 25% 483,897 13,222 (4,683) 275,000 708,897 13,222 (4,683) 1. 2. 31 2016 中期報告

2. (1) 796,853.83 146,853.83 796,853.83. (2) (3) (4) 12016-005 光大證券股份有限公司 32

3. (1) 1993 4 810 6 3024 1111.58 13.991.11 (2) 2012 4 25 2 6 30 14.8511.26 1.42 (3) 2008 11 720 6 30 77.5531.52 0.28 (4) 2012 9 2620 6 30 27.2920.34 0.19 (5) 2010 11 19 20 33 2016 中期報告

6 30 232.311.39-0.97 (6) 2014 1010 85% 6 30 39.2111.04 0.11 (7) 2004 4 221.6 55% 6 30 1 27.33 6.310.58 (8) 42 40% 6 30 24.301.97439 (9) 91 40% 6 30 28.58129 光大證券股份有限公司 34

(10) 1999 4 122 25% 6 30 26.2319.35 0.71 4.. 3 21 5 11 20155 17 2016 5 18 5 182015 35 2016 中期報告

. 1,000 10%.. 49% 2016-0372016-040. 光大證券股份有限公司 36

. 3,000 5%49% 53. 8 8 8H. 1 2 15 55.206 30 201513.01% 12 37 2016 中期報告

. A H. 8 29 2016 2016. 5% 5%. 光大證券股份有限公司 38

. H6 30 H8 18 2 5 3 112 4 39 2016 中期報告

. 6 30H H.. 6 30 光大證券股份有限公司 40

. H 7 11 [2016]154778,0007 28 8 8H H680,000,000 12.68 8 1130 100,000,000 H8 18 061782016-038 042 044 045 047 048 049 8 8 H 6 15 Action Globe Limited49% 9.3 51%6 29 100% 2016-037 040 57 [2016]35 57 5 52 41 2016 中期報告

8 26502 816 49995 50 3544,113 75 5 3 30 1 1 26 3,939 6 68 26 3 30 500,222,330.75 7 21 500,471,208.298 10 光大證券股份有限公司 42

2 4 (1)4,190 (2) 7 23 4 4 8 5 19 6 7 1.5 930 7 8 43 2016 中期報告

. 1. 2. 8 18H680,000,000 (%) (%). 488,698,839 12.51% 488,698,839 10.65%. 3,418,000,000 87.49% 680,000,000 4,098,000,000 89.35% 1. A 3,418,000,000 87.49% 3,418,000,000 74.52% 2 H 680,000,000 680,000,000 14.83%. 3,906,698,839 100.00% 680,000,000 4,586,698,839 100.00% 488,698,8399 1 光大證券股份有限公司 44

H. HA 104,069 A A % 0 1,159,456,183 29.68 0 0 1,139,250,000 29.16 0 0 152,718,387 3.91 152,718,387 10,996,587 74,762,817 1.91 0 0 61,087,354 1.56 61,087,354 1 0 54,978,619 1.41 54,978,619 2 0 54,978,619 1.41 54,978,619 0 54,978,619 1.41 54,978,619 0 37,568,900 0.96 0 69 0 21,991,448 0.56 21,991,448 45 2016 中期報告

A 1,159,456,183 1,139,250,000 74,762,817 37,568,900 13,064,614 11,875,631 10,494,266 10,170,640 9,534,975 9,289,260 光大證券股份有限公司 46

A 152,718,387 9 1 12 1 61,087,354 9 1 12 54,978,619 9 1 12 54,978,619 9 1 12 54,978,619 9 1 12 2 69 21,991,448 9 1 12 18,821,017 9 1 12 77 10,568,112 9 1 12 70 5,491,753 9 1 12 1 4,886,988 9 1 12 4,886,988 9 1 12 55.67% 47 2016 中期報告

. 6 30 H 6 30 XV2 3336. 6 30 HXV7 83526 30 XV XV7 8 352. 光大證券股份有限公司 48

.. [2016]20 2 2 4 19 4 22 8 18 49 2016 中期報告

12. 7,447 MD 光大證券股份有限公司 50

. 2014 2015 2015 2015 2015 2015 2015 2016 2016 2016 2016 1401 123375 2014/6/11 2016/6/11 5.99% 1502 123260 2015/1/29 2017/7/29 5.30% 1501 123259 2015/1/29 2018/1/29 40 5.85% 1503 123216 2015/3/30 2017/3/30 5.40% 1504 123085 2015/4/27 2020/4/27 60 5.70% 1505 123070 2015/5/26 2017/5/26 4.80% 1506 123071 2015/5/26 2018/5/26 60 5.30% 1601 135434 2016/4/27 2017/10/27 15 3.45% 1602 135435 2016/4/27 2018/10/27 25 3.66% 1603 135493 2016/5/26 2017/11/26 30 3.35% 1604 135494 2016/5/26 2018/11/26 30 3.59% 84.5 2015-062 51 2016 中期報告

. 1501 1504 A 38 45 0755-82944669 1506 1601 268 1602 1603 1604 021-38565891 156 D 8. 光大證券股份有限公司 52

. 1401 1501 1502 15 03 1504 1505 1506... 1506 1601 1602 1603 1604 1504 1504 1506 6 30 1601 1602 1603 1604 2016 2017 6 30 53 2016 中期報告

. 6 30 12 31 (%) 2.57 2.72 (5.51)% 1.25 1.23 1.63% 62.79% 66.34% (3.55)% 1 6 1 6 (%) EBITDA 3.18 7.10 (55.21)% 221.83% 40.12% 181.71%. 6 301,737.34 384.1262.79% EBITDA3.18 光大證券股份有限公司 54

.. 38 1,630 164.. 55 2016 中期報告

. 6 30 2410. 光大證券股份有限公司 56

59 164 6 30 34 34 34 2410 57 2016 中期報告

6 30 34 10 8 8 29 光大證券股份有限公司 58

6 30 6 30 5 6,689,576 3,523,640 6 3,490,288 2,570,972 7 2,529,940 379,419 12,709,804 6,474,031 8 118,350 261,648 12,828,154 6,735,679 9 (1,144,303) (596,647) 10 (2,126,493) (1,889,295) 11 (1,994,443) (1,335,560) 12 (218,654) (194,058) (520,253) (182,631) 13 (589,985) (625,558) 14 16,228 (19,169) (6,577,903) (4,842,918) 6,250,251 1,892,761 52,125 20,259 6,302,376 1,913,020 15 (1,346,187) (381,455) 4,956,189 1,531,565 4,878,026 1,514,708 78,163 16,857 4,956,189 1,531,565 16 1.4272 0.3877 59 2016 中期報告

6 30 6 30 4,956,189 1,531,565 1,393,572 (1,216,237) (407,305) (22,072) 12,113 (4,683) (7,487) 10,191 (246,567) 309,491 25(d) 744,326 (923,310) 5,700,515 608,255 5,617,401 560,939 83,114 47,316 5,700,515 608,255 光大證券股份有限公司 60

6 30 12 31 6 30 17 879,372 866,424 18 1,411,783 1,440,056 19 885,817 806,124 20 874,763 1,426,890 21 129,531 132,328 22 7,864,984 7,865,643 23 1,344,690 1,357,342 24 3,995,018 5,203,189 25(c) 79,969 392,568 26 2,450,900 2,377,805 27 269,318 1,029,747 20,186,145 22,898,116 28 2,069,298 2,875,727 26 1,450,942 1,018,623 29 3,692,973 4,022,282 30 43,404,467 31,476,687 22 9,777,815 7,393,830 23 5,003,931 3,690,672 31 25,539,897 21,720,127 32 168,519 136,401 33 360,034 1,361,140 34 70,327,108 63,316,567 35 15,091,692 13,823,394 176,886,676 150,835,450 197,072,821 173,733,566 61 2016 中期報告

6 30 12 31 6 30 37 3,014,161 4,421,190 38 2,100,000 871,193 39 500,000 4,632,400 40 205,238 41 71,102,044 66,945,084 42 2,642,761 1,658,925 43 9,347,420 7,403,687 25(a) 1,627,768 468,283 44 20,555,441 13,586,732 32 1,022,572 349,870 45 18,986,177 10,486,621 130,898,344 111,029,223 45,988,332 40,149,805 66,174,477 62,704,343 37 2,262,341 2,140,068 45 18,853,355 18,439,816 25(c) 551,184 373,361 44 230,000 46 1,853,981 1,988,785 23,750,861 22,942,030 42,423,616 39,762,313 光大證券股份有限公司 62

6 30 12 31 6 30 47 3,906,699 3,906,699 25,760,459 24,526,355 48 10,815,441 9,979,433 40,482,599 38,412,487 1,941,017 1,349,826 42,423,616 39,762,313 8 29 63 2016 中期報告

6 30 47 48 1 1 3,906,699 17,125,863 2,352,880 4,966,636 1,437,621 (122,541) 10,815,441 40,482,599 1,941,017 42,423,616 1,514,708 1,514,708 16,857 1,531,565 (930,734) (23,035) (953,769) 30,459 (923,310) (930,734) (23,035) 1,514,708 560,939 47,316 608,255 (227,311) (227,311) (567,532) (794,843) (59,721) (59,721) (59,721) 6,697 (6,697) (2,344,019) (2,344,019) (70,975) (2,414,994) 6 30 3,906,699 16,838,831 2,352,880 4,973,333 506,887 (145,576) 9,979,433 38,412,487 1,349,826 39,762,313 光大證券股份有限公司 64

6 30 47 48 1 1 3,418,000 11,185,895 1,695,933 3,514,037 504,204 (60,918) 5,551,911 25,809,062 811,252 26,620,314 4,878,026 4,878,026 78,163 4,956,189 747,518 (8,143) 739,375 4,951 744,326 747,518 (8,143) 4,878,026 5,617,401 83,114 5,700,515 (1,471,054) (1,471,054) 990,115 (480,939) (7,896) (7,896) (7,896) 14,751 (14,751) (273,440) (273,440) (50,762) (324,202) 6 30 3,418,000 9,706,945 1,695,933 3,528,788 1,251,722 (69,061) 10,141,746 29,674,073 1,833,719 31,507,792 1 1 3,418,000 11,185,895 1,695,933 3,514,037 504,204 (60,918) 5,551,911 25,809,062 811,252 26,620,314 7,646,516 7,646,516 100,339 7,746,855 933,417 (61,623) 871,794 90,054 961,848 933,417 (61,623) 7,646,516 8,518,310 190,393 8,708,703 488,699 7,479,839 7,968,538 7,968,538 20 20 (1,471,054) (1,471,054) 990,114 (480,940) (68,817) (68,817) (68,817) 656,947 (656,947) 1,452,599 (1,452,599) (273,440) (273,440) (50,762) (324,202) 12 31 3,906,699 17,125,863 2,352,880 4,966,636 1,437,621 (122,541) 10,815,441 40,482,599 1,941,017 42,423,616 65 2016 中期報告

6 30 6 30 6,302,376 1,913,020 629,083 1,073,330 (52,125) (20,259) 218,654 194,058 (16,228) 19,169 (112) (479) (2,564) 12,294 (28,730) (41,427) (305,626) 889,232 (282,412) (630,368) 6,462,316 3,408,570 (475,019) (1,208,171) (33,200,130) 11,937,703 (1,983,751) (33,180) (1,512,109) 1,300,607 (587,547) 3,306,193 264,695 (10,216) 548 50,051 (66,828,657) 7,010,541 光大證券股份有限公司 66

6 30 6 30 61,819,794 (4,156,960) 3,069,400 (1,929,313) (489,585) 1,026,917 751,003 (983,836) 10,031,498 (7,198,709) 1,100,000 4,132,400 (21,577,544) 16,652,597 (624,916) (1,721,871) (1,432,301) (944,193) (23,634,761) 13,986,533 685 1,435 12,500 28,730 41,427 (77,079) (101,859) (146,570) (593,720) (2,603,936) 353,196 124,247 (342,956) 700,154 (85,467) (2,775,430) 86,217 67 2016 中期報告

6 30 6 30 29,923,000 9,990,000 2,700,000 1,087,475 7,597,252 2,655,442 (19,000,000) (700,000) (2,317,992) (1,214,644) (1,370,686) (488,965) (2,144,135) (324,202) (1,731,444) 37,492,441 (12,831,340) 11,082,250 1,241,410 5,970,039 12,996,769 2,564 (12,294) 36 17,054,853 14,225,885 8 29 光大證券股份有限公司 68

1 1996 4 232005 7 14 520,000,000 A 2009 8 18 9 1 3,418,000,000 A3,906,698,839 A 3,418,000,000 3,906,698,839 6 30 3,906,698,839 3,906,698,8391.00 1508 2 34 12 31 69 2016 中期報告

2 2410 8 29 12 31 8 8 3 12 31 III 光大證券股份有限公司 70

3 56 4 1 1 12 31 2012 2014 11 1 27 10 12 28 71 2016 中期報告

5 6 30 5,311,287 2,078,934 522,375 530,686 609,692 702,183 166,895 129,306 79,327 82,531 6,689,576 3,523,640 6 6 30 874,920 1,107,270 2,386,345 1,166,578 16,751 30,650 168,991 173,963 4,483 83,651 38,798 8,860 3,490,288 2,570,972 光大證券股份有限公司 72

7 6 30 407,304 24,079 141,498 133,015 1,216,827 (316,027) 759,795 861,653 (583,522) (64,437) 305,626 (889,232) 282,412 630,368 2,529,940 379,419 8 6 30 68,798 205,960 7,611 6,675 7,942 26,550 4,398 7,200 2,564 (12,294) 27,037 27,557 118,350 261,648 73 2016 中期報告

9 6 30 1,024,414 502,045 35,159 19,225 73,899 31,773 437 3,460 10,394 40,144 1,144,303 596,647 10 6 30 1,125,528 376,473 100,945 103,070 198,313 20,575 7,641 24,098 67,610 308,784 52,774 82,658 568,668 966,574 5,014 7,063 2,126,493 1,889,295 光大證券股份有限公司 74

11 6 30 1,836,542 1,160,901 55,709 68,593 102,192 106,066 1,994,443 1,335,560 12 6 30 150,087 61,472 21,556 19,082 47,011 113,504 218,654 194,058 75 2016 中期報告

13 6 30 110,637 170,662 51,894 44,673 71,735 96,482 46,339 59,221 29,196 29,231 105,923 59,419 93,240 37,836 20,474 15,309 1,400 2,716 16,838 17,008 39,743 42,309 53,258 589,985 625,558 14 6 30 (41,346) (2,113) (6,328) (8) 33,258 31,446 (11,968) (16,228) 19,169 光大證券股份有限公司 76

15 (a) 6 30 1,206,116 437,062 19,939 9,069 1,226,055 446,131 (76,319) 116,255 196,451 (180,931) 1,346,187 381,455 2008 1 1 25% 16.5% 77 2016 中期報告

15 (b) 6 30 6,302,376 1,913,020 1,575,594 478,255 16,508 24,125 (164,173) (125,510) (6,479) 8,357 (119,344) (76,319) 116,255 1,056 (683) 1,346,187 381,455 16 (a) 1 6 1,5151 6 4,878 3,9071 63,418 (b) 光大證券股份有限公司 78

17 1 1 914,958 24,808 435,681 105,632 2,313 1,483,392 372 164,418 164,790 35 2,698 105,938 19,792 1,032 129,495 27 (2,925) (2,925) (1,327) (20,802) (2,540) (24,669) 12 31 914,993 26,551 520,817 287,302 420 1,750,083 1 1 (198,775) (14,287) (291,641) (35,122) (539,825) (30) (140,153) (140,183) (23,769) (7,943) (132,475) (49,983) (214,170) 1,255 19,888 2,324 23,467 12 31 (222,544) (21,005) (404,228) (222,934) (870,711) 12 31 692,449 5,546 116,589 64,368 420 879,372 79 2016 中期報告

17 1 1 914,993 26,551 520,817 287,302 420 1,750,083 324 35,041 13,978 133 49,476 (1,047) (11,779) (9,179) (22,005) 6 30 914,993 25,828 544,079 292,101 553 1,777,554 1 1 (222,544) (21,005) (404,228) (222,934) (870,711) (11,873) (1,542) (33,651) (14,406) (61,472) 630 11,744 8,679 21,053 6 30 (234,417) (21,917) (426,135) (228,661) (911,130) 6 30 680,576 3,911 117,944 63,440 553 866,424 6 30 6 301,530 1,487 光大證券股份有限公司 80

18 12 31 6 30 1,504,201 1,504,201 83,516 115,336 (166,394) (166,394) (9,540) (13,087) 1,411,783 1,440,056 12 31 6 30 9,380 9,380 231,104 235,763 1,347,233 1,374,394 1,587,717 1,619,537 2007 81 2016 中期報告

18 2011 2014 12 31 210 16612 316 30 2015 12 316 30 20.4% 3% 光大證券股份有限公司 82

19 1 1 115,270 289,292 404,562 720,441 191,765 912,206 45,526 63,060 108,586 (889) (889) 12 31 881,237 543,228 1,424,465 1 1 (41,785) (215,458) (257,243) (122,081) (122,081) (93,253) (66,960) (160,213) 889 889 12 31 (135,038) (403,610) (538,648) 12 31 746,199 139,618 885,817 1 1 881,237 543,228 1,424,465 13,768 20,047 33,815 (1,091) (1,091) 6 30 895,005 562,184 1,457,189 1 1 (135,038) (403,610) (538,648) (79,260) (34,244) (113,504) 1,087 1,087 6 30 (214,298) (436,767) (651,065) 6 30 680,707 125,417 806,124 83 2016 中期報告

20 12 31 6 30 874,763 1,426,890 12 31 6 30 200,000,000 200,000,000 100,000,000 (1) 10,000,000 (1) 2,000,000 18,500,000,000 200,000,000 (1) 75,166,707 Tribridge Capital Management (Cayman) Limited 1,001 10,000,000 25% 25% 40% 40% 40% 40% 51% 51% 51% 51% 27% 27% 25% 25% 51% 51% 20.13% 20.13% 24.90% 24.90% 光大證券股份有限公司 84

20 12 31 6 30 100,000,000 (1) 20,000,000 (1) 2,000,000 500,000,000 (1) 5,000,000 (1) 200,000,000 (1) 5,000,000 (2) 63,700,000 (2) 52,350,000 (1) 10,000,000 (1) 500,100,000 (2) 5,203,000,000 25% 25% 51% 51% 51% 51% 25% 25% 51% 51% 60% 60% 51% 51% 16.89% 0.19% 51% 99.98% 1.15% 85 2016 中期報告

20 12 31 6 30 50% 50,000,000 (1) 50% (2) 20% 光大證券股份有限公司 86

20 12 31 6 30 2,739,436 2,623,093 (648,487) (687,770) 2,090,949 1,935,323 1,104,423 392,855 281,121 70,515 (8,704) (18,734) 272,417 51,781 12,500 2,090,949 1,935,323 25% 25% 522,737 483,831 964 66 523,701 483,897 87 2016 中期報告

20 (1) 12 31 6 30 14,651 5,613 5,613 (1) 5 光大證券股份有限公司 88

20 12 31 6 30 892,005 2,429,690 (699,140) (2,232,432) 192,865 197,258 166 62,140 (7,135) 4,393 (7,135) 4,393 192,865 197,258 40% 40% 77,146 78,903 77,146 78,903 89 2016 中期報告

20 12 31 6 30 781,100 2,858,001 (680,996) (2,757,624) 100,104 100,377 2,751 23,482 104 290 104 290 100,104 100,377 40% 40% 40,042 40,151 7 40,042 40,158 光大證券股份有限公司 90

20 () 12 31 6 30 500,000 500,000 500,000 99.98% 499,900 100 500,000 91 2016 中期報告

20 12 31 6 30 233,874 323,932 3,296 757 3,296 757 21 12 31 6 30 129,531 132,328 光大證券股份有限公司 92

22 12 31 6 30 1,270,375 1,747,864 33,943 93,566 6,651,534 6,113,175 (90,868) (88,962) 7,864,984 7,865,643 443,701 847,033 7,421,283 7,018,610 7,864,984 7,865,643 12 31 6 30 6,296,474 5,364,679 1,832,728 1,766,173 774,014 173,777 874,701 89,201 (102) 9,777,815 7,393,830 7,108,748 6,289,444 2,669,067 1,104,386 9,777,815 7,393,830 93 2016 中期報告

22 12 316 30 794,380.0 1,476.8 12 316 30 12 31 6 30 12 31 6 30 1,539,101 1,236,751 12 31 6 30 207 31 30(c) 光大證券股份有限公司 94

23 (a) 12 31 6 30 1,344,690 1,357,342 1,344,690 1,357,342 12 31 6 30 808,451 396,200 4,195,480 3,294,472 5,003,931 3,690,672 (b) 12 31 6 30 1,322,712 1,347,900 21,978 9,442 1,344,690 1,357,342 95 2016 中期報告

23 (b) 12 31 6 30 759,451 180,000 1,133,796 1,242,187 3,110,684 2,268,485 5,003,931 3,690,672 24 12 31 6 30 450,284 315,444 6,414 1,607 8,057 12,363 464,755 329,414 1,526,630 1,832,563 435,265 653,840 448,600 591,365 484,034 613,722 8,131 9,907 2,902,660 3,701,397 光大證券股份有限公司 96

24 12 31 6 30 74,401 618,091 40,943 41,353 4,585 2,127 507,674 510,807 627,603 1,172,378 3,995,018 5,203,189 25 (a) 12 31 6 30 1,627,768 468,283 12 31 6 30 489,112 1,627,768 2,129,799 562,386 37,468 (1,028,611) (1,721,871) 1,627,768 468,283 97 2016 中期報告

25 (b) 1 1 55,393 100,417 (135,769) 44,433 (166,351) 26,360 (75,517) 1,250 160 (116,404) 577 (114,417) (9,156) 83,706 (196,859) 163,147 6,905 (17,378) 30,365 (311,646) (311,646) 12 31 47,487 184,283 (332,628) 207,580 (477,997) (109,499) 9,559 (471,215) 1 1 47,487 184,283 (332,628) 207,580 (477,997) (109,499) 9,559 (471,215) 4,227 89,511 229,509 (157,593) 10,051 5,226 180,931 309,491 309,491 6 30 51,714 273,794 (103,119) 49,987 (168,506) (99,448) 14,785 19,207 光大證券股份有限公司 98

25 (c) 12 31 6 30 79,969 392,568 (551,184) (373,361) (471,215) 19,207 (d) 6 30 1,393,572 (348,393) 1,045,179 (407,305) 101,826 (305,479) 12,113 12,113 (7,487) (7,487) 990,893 (246,567) 744,326 99 2016 中期報告

25 (d) 6 30 (1,216,237) 305,375 (910,862) (22,072) 4,116 (17,956) (4,683) (4,683) 10,191 10,191 (1,232,801) 309,491 (923,310) (e) 12 316 30 399,319421,541 光大證券股份有限公司 100

26 (a) 12 31 6 30 4,325,092 3,796,810 (391,491) (335,365) 3,933,601 3,461,445 (31,759) (65,017) 3,901,842 3,396,428 1,450,942 1,018,623 2,450,900 2,377,805 3,901,842 3,396,428 12 31 6 30 1,671,344 1,462,752 1,192,776 1,038,560 1,007,998 896,601 1,157,338 1,050,484 984,729 920,604 906,675 854,195 661,021 653,644 540,021 518,206 4,325,092 3,933,601 3,796,810 3,461,445 (391,491) (335,365) 3,933,601 3,933,601 3,461,445 3,461,445 (31,759) (31,759) (65,017) (65,017) 3,901,842 3,901,842 3,396,428 3,396,428 101 2016 中期報告

26 (b) 12 31 6 30 31,759 26,759 33,258 5,000 31,759 65,017 27 (a) 12 31 6 30 (1) 75,207 74,726 185,000 761,120 9,111 193,901 269,318 1,029,747 光大證券股份有限公司 102

27 (a) (1) 12 31 6 30 99,927 75,207 19,254 18,601 17 2,925 (46,899) (19,082) 75,207 74,726 28 (a) 12 31 6 30 1,354,407 1,274,066 491,555 1,410,713 227,015 193,981 19,400 17,400 3,443 4,118 (26,522) (24,551) 2,069,298 2,875,727 103 2016 中期報告

28 (b) 12 31 6 30 1 2,069,298 2,875,727 (c) 12 31 6 30 75,756 26,522 2,768 (52,407) (2,113) 405 142 26,522 24,551 (d) 光大證券股份有限公司 104

29 (a) 12 31 6 30 1,213,987 1,213,553 1,551,169 1,795,235 (1) 525,421 639,169 257,690 139,804 3,238 55,047 (1) 85,054 122,815 66,078 66,328 (9,664) (9,669) 3,692,973 4,022,282 (1) (b) 12 31 6 30 15,729 9,664 917 21 (6,543) (29) (439) 13 9,664 9,669 105 2016 中期報告

30 (a) 12 31 6 30 39,886,081 29,207,580 3,658,349 2,399,147 (139,963) (130,040) 43,404,467 31,476,687 (b) 12 31 6 30 40,991 139,963 20,837 366 74,754 (12,334) 3,381 2,045 139,963 130,040 (c) 12 31 6 30 135,708,305 102,945,309 7,764,149 5,677,744 351,379 170,490 478,091 1,024,552 144,301,924 109,818,095 光大證券股份有限公司 106

31 (a) 12 31 6 30 11,382,057 10,640,345 4,313,565 2,833,199 7,611,305 3,541,869 1,642,098 2,698,003 9,633 14,140 581,239 1,992,571 25,539,897 21,720,127 (b) 12 31 6 30 10,233,180 6,399,862 204,010 494,648 14,521,468 12,833,046 581,239 1,992,571 25,539,897 21,720,127 12 316 30 26721,902 30(c) 107 2016 中期報告

32 12 31 26,582,000 127,563 (164,385) 402,220 2,733 (720) 192,019 275 (214) 2,435,556 14,824 (857,719) 56,726 44 (468) 801,000 13,657 782,803 33,746 31,252,324 192,842 (1,023,506) (24,323) 934 168,519 (1,022,572) 光大證券股份有限公司 108

32 6 30 31,521,000 89,909 (120,448) 353,853 532 (1,854) 46,446 1,137 (51) 1,791,678 2,458 (226,211) 821,000 30,529 155,972 1,772 (480) 1,244 6 (1) 701,581 24,267 873,476 (2,730) 558 6 36,266,808 150,616 (351,775) (14,215) 1,905 136,401 (349,870) 109 2016 中期報告

33 12 31 6 30 348,099 1,347,731 11,935 13,409 360,034 1,361,140 34 35 12 31 6 30 567 501 15,091,125 13,822,893 15,091,692 13,823,394 光大證券股份有限公司 110

36 12 31 6 30 567 501 15,091,125 13,822,893 360,034 1,361,140 79,541 249,958 (2,534,498) (1,208,607) 12,996,769 14,225,885 37 12 31 6 30 0.89% 2.88% 2016 1,449,436 1,709,340 0.86% 2.25% 2016 858,725 1,461,486 1.15% 2.05% 2017 290,774 4.09% 5.60% 2016 520,000 500,000 4.28% 5.50% 2017 186,000 459,590 3,014,161 4,421,190 111 2016 中期報告

37 12 31 6 30 4.275% 5.5% 2020 567,119 697,338 1.15% 2018 782,803 510,271 +2.85% 2018 912,419 932,459 2,262,341 2,140,068 38 1 1 12 31 5.50% 5.80% 5,301,000 (3,201,000) 2,100,000 1 1 6 30 0.50% 3.50% 2,100,000 1,087,475 1,710 (2,317,992) 871,193 光大證券股份有限公司 112

38 20155.50%-5.80% 6 30 0.50%-3.50 39 12 31 6 30 (1) 500,000 1,100,000 (2) 3,000,000 (3) 532,400 500,000 4,632,400 (1) 12 312.74% 5 6 30 2.68% 3.00% 5 6 (2) 6 30 3.2% 91 (3) 2.98%-3.00% 140 145 113 2016 中期報告

40 12 31 6 30 205,238 205,238 41 12 31 6 30 10,500,595 10,363,083 60,601,449 56,582,001 71,102,044 66,945,084 光大證券股份有限公司 114

42 1 1 12 31 12 31 860,061 28,561 3,757,769 (2,051,261) 2,595,130 (591) 72 123,014 (122,363) 132 37,559 70 228,917 (219,047) 47,499 897,029 28,703 4,109,700 (2,392,671) 2,642,761 6 30 1 1 6 30 2,595,130 1,160,901 (2,134,959) 1,621,072 132 68,593 (68,574) 151 47,499 106,066 (115,863) 37,702 2,642,761 1,335,560 (2,319,396) 1,658,925 115 2016 中期報告

43 12 31 6 30 5,037,671 2,715,975 (1) 432,787 434,058 41,267 54,910 133,018 94,241 64,079 68,351 586,202 1,310,706 1,520,308 321,274 62,622 30,694 25,103 7,265 61,096 36,549 54,235 35,186 992,278 575,721 77,868 76,480 42,059 30,038 39,583 20,608 4,144 27,500 683,550 (2) 709,376 (3) 168,719 175,586 9,347,420 7,403,687 (1) 5 1 5% 3 23[2016]36 5 1 5 1 光大證券股份有限公司 116

43 (2) 6 15Action Globe Limited 9.30Action Globe Limited 49%6 29 6 30 (3) 44 (a) 12 31 6 30 4,717,063 6,107,710 15,789,439 7,469,948 40,000 8,939 9,074 20,555,441 13,586,732 12 31 6 30 230,000 117 2016 中期報告

44 (b) 12 31 6 30 3,266,064 4,581,979 1,450,999 1,525,731 15,838,378 7,479,022 20,555,441 13,586,732 12 31 6 30 230,000 光大證券股份有限公司 118

45 12 31 1401 (1) 7,000,000 11/06/2014 11/06/2016 6,972,000 5.99% 1501 (2) 4,000,000 29/01/2015 29/01/2018 3,976,000 5.85% 1502 (3) 2,000,000 29/01/2015 29/07/2017 1,995,000 5.30% 8.30% 1503 (4) 6,000,000 30/03/2015 30/03/2017 5,988,000 5.40% 8.40% 1504 (5) 6,000,000 27/04/2015 27/04/2020 5,982,000 5.70% 8.70% 1505 (6) 6,000,000 26/05/2015 26/05/2017 5,989,000 4.80% 7.80% 1506 (7) 6,000,000 26/05/2015 26/05/2018 5,978,000 5.30% 8.30% EVBSF Corp (12) 450,000 27/08/2015 27/08/2018 446,191 2.875% 1 1 12 31 1401 (1) 6,979,468 14,042 6,993,510 1501 (2) 3,976,000 6,968 3,982,968 1502 (3) 1,995,000 1,391 (1,996,391) 1503 (4) 5,988,000 9,067 5,997,067 1504 (5) 5,982,000 3,839 5,985,839 1505 (6) 5,989,000 6,600 5,995,600 1506 (7) 5,978,000 6,424 5,984,424 EVBSFCorp (12) 2,859,412 3,036 37,676 2,900,124 6,979,468 32,767,412 51,367 (1,996,391) 37,676 37,839,532 119 2016 中期報告

45 6 30 1401 (1) 7,000,000 11/06/2014 11/06/2016 6,972,000 5.99% 1501 (2) 4,000,000 29/01/2015 29/01/2018 3,976,000 5.85% 1503 (4) 6,000,000 30/03/2015 30/03/2017 5,988,000 5.40% 8.40% 1504 (5) 6,000,000 27/04/2015 27/04/2020 5,982,000 5.70% 8.70% 1505 (6) 6,000,000 26/05/2015 26/05/2017 5,989,000 4.80% 7.80% 1506 (7) 6,000,000 26/05/2015 26/05/2018 5,978,000 5.30% 8.30% 1601 (8) 1,500,000 27/04/2016 27/10/2017 1,498,125 3.45% 6.45% 1602 (9) 2,500,000 27/04/2016 27/10/2018 2,496,875 3.66% 6.66% 1603 (10) 3,000,000 26/05/2016 26/11/2017 2,997,500 3.35% 6.35% 1604 (11) 3,000,000 26/05/2016 26/11/2018 2,997,500 3.59% 6.59% EVBSF Corp (12) 450,000 27/08/2015 27/08/2018 446,191 2.875% 1 1 6 30 1401 (1) 6,993,510 6,490 (7,000,000) 1501 (2) 3,982,968 3,961 3,986,929 1503 (4) 5,997,067 2,933 (6,000,000) 1504 (5) 5,985,839 2,891 5,988,730 1505 (6) 5,995,600 4,400 (6,000,000) 1506 (7) 5,984,424 5,412 5,989,836 1601 (8) 1,498,125 667 1,498,792 1602 (9) 2,496,875 365 2,497,240 1603 (10) 2,997,500 493 2,997,993 1604 (11) 2,997,500 161 2,997,661 EVBSF Corp (12) 2,900,124 4,518 64,614 2,969,256 37,839,532 9,990,000 32,291 (19,000,000) 64,614 28,926,437 光大證券股份有限公司 120

45 6 30 12 31 6 30 18,986,177 10,486,621 18,853,355 18,439,816 37,839,532 28,926,437 (1) 2014 6 117014016 11 (2) 1 2940 (3) 1 29 20 7 29 1502 7 29 (4) 3 3060 3 30 3 301503 (5) 4 2760 2018 4 27 (6) 5 2660 5 26 15055 26 (7) 5 2660 2017 5 26 2017 5 26 (8) 4 27 1510 27 10 27 121 2016 中期報告

45 6 30 (9) 4 27 252017 10 27 (10) 5 26 3011 26 11 26 (11) 5 26 302017 11 26 (12) Double Charm Limited 8 4.5 46 12 31 6 30 184,030 171,030 15,759 16,077 (1) 1,644,562 1,738,399 53,457 9,630 9,822 1,853,981 1,988,785 (1) 6 光大證券股份有限公司 122

47 1 12 31 6 30 1 3,906,699 3,906,699 12 316 30 A488,698,839 488,698,839 48 3 21A10 A6.00 2,344,019 49 (1) 123 2016 中期報告

49 (1) (2) 12 31 6 30 19,222,101 (16,589,485) 9,972,558 (9,023,514) 474 21,933 光大證券股份有限公司 124

50 (a) 12 31 6 30 63,975 1,192,737 (b) 6 3012 31 12 31 6 30 118,743 125,882 86,488 88,049 60,117 59,143 63,875 57,308 329,223 330,382 125 2016 中期報告

51 (a) 12 316 30 10,333,489 8,188,919 5,295,818 5,267,706 (b) 光大證券股份有限公司 126

51 (b) 12 31 652,176 5,261,305 5,913,481 6,398,486 1,097,128 7,495,614 7,050,662 6,358,433 13,409,095 6 30 4,420 2,691,869 2,696,289 5,212,562 1,528,818 6,741,380 5,216,982 4,220,687 9,437,669 127 2016 中期報告

51 (c) 12 31 121,838 2,350,000 2,471,838 1,127,749 1,126,209 2,253,958 1,249,587 3,476,209 4,725,796 6 30 169,357 850,000 1,019,357 989,814 3,161,756 4,151,570 1,159,171 4,011,756 5,170,927 12 316 30 247,643,584335,106,457 12 316 30 1,393,135530,68612 31 6 30 117,593120,744 光大證券股份有限公司 128

52 12 316 30 8 16155 502 17,42068,674 12 31 10826 71 11 47 6 30345 559 248 43 152 4765 90 341 50 21 6 3039,390 6 30 6 7 2012 11 1.50 3 365 6.2% 7 8 129 2016 中期報告

52 12 316 30 53 (a) (i) 5% 12 31 6 30 29.68% 29.68% 29.16% 29.16% (ii) 20 (iii) 光大證券股份有限公司 130

53 (b) (i) 12 31 6 30 10 2,314 498 1,393,122 6 30 2,272 500 134 123 794,843 131 2016 中期報告

53 (b) (ii) 12 31 6 30 9,068,051 11,222,577 174,825 77,123 7,679 3,655 7,441 7,666 101,970 496,000 496,000 13,657 30,475 8,939 224,674 1,644,562 1,738,399 1,500 99,674 光大證券股份有限公司 132

53 (b) (ii) 6 30 23,811,300 17,114,705 5,800,000 78,769 49,422 126,334 119,042 23,554 26,452 1,192,040 99,674 139,999 11,125 3,125 6,574 25,614 2,224 1,739 20,677 6,830 782 133 2016 中期報告

53 (c) 6 30 23,584 17,704 182 300 23,766 18,004 11 光大證券股份有限公司 134

54 135 2016 中期報告

54 (a) 6 30 ( ) 4,988,303 40,548 889,693 512,454 232,316 26,262 6,689,576 3,735 8,239 11,974 535,960 2,602,370 21,190 35,980 70,477 224,311 3,490,288 9,897 470 10,367 (2,085) 301 1,508,328 688,283 15,877 319,236 2,529,940 (13,632) 32,038 (22,141) (3,735) 5,522,178 2,643,219 2,419,211 1,236,717 318,670 569,809 12,709,804 (9,897) 40,277 (12,244) 470 18,606 10,780 114 15 29,497 12,957 64,987 118,350 359 359 5,532,958 2,643,333 2,419,226 1,266,214 331,627 634,796 12,828,154 (9,897) 40,277 (12,244) 470 359 18,965 (2,347,770) (1,912,588) (519,157) (416,134) (269,499) (1,112,755) (6,577,903) (10,367) (167) (8,431) (18,965) 3,185,188 730,745 1,900,069 850,080 62,128 (477,959) 6,250,251 (20,264) 40,277 (12,411) (7,961) 359 2,925 49,057 143 52,125 3,185,188 733,670 1,900,069 899,137 62,128 (477,816) 6,302,376 (20,264) 40,277 (12,411) (7,961) 359 535,960 2,602,370 21,190 35,980 70,477 224,311 3,490,288 (80,409) (1,729,551) (94,372) (69,251) (47,176) (105,734) (2,126,493) 91 (31,419) 38,624 (32) 8,964 16,228 光大證券股份有限公司 136

54 (a) 2016 6 30 ( ) 1,676,798 38,110 970,671 531,675 302,855 3,531 3,523,640 1,022 8,365 9,387 415,934 1,445,090 9,509 197,588 158,167 344,684 2,570,972 (52,744) 14,389 8,182 201,924 171,751 (1,140) (7,197) (73,621) 364,019 1,412 95,946 379,419 (42) (229) (271) 2,091,592 1,476,003 906,559 1,093,282 462,434 444,161 6,474,031 (51,722) 14,389 8,323 7,953 201,924 180,867 10,454 6,517 1 26,831 34,357 183,488 261,648 437 437 2,102,046 1,482,520 906,560 1,120,113 496,791 627,649 6,735,679 (51,722) 14,389 8,323 7,953 202,361 181,304 (1,250,437) (813,483) (494,598) (671,400) (593,249) (1,019,751) (4,842,918) (4) (149,114) (9,619) (22,567) (181,304) 851,609 669,037 411,962 448,713 (96,458) (392,102) 1,892,761 (51,726) 14,389 8,323 (141,161) (9,619) 179,794 17,855 2,404 20,259 851,609 669,037 411,962 466,568 (94,054) (392,102) 1,913,020 (51,726) 14,389 8,323 (141,161) (9,619) 179,794 415,934 1,445,090 9,509 197,588 158,167 344,684 2,570,972 (85,045) (705,911) (63,496) (325,918) (100,101) (608,824) (1,889,295) 29 (20,945) 2,000 (253) (19,169) 137 2016 中期報告

54 (b) (i) (ii) 6 30 6 30 12,391,134 318,670 12,709,804 6,011,697 462,434 6,474,031 105,393 12,957 118,350 227,291 34,357 261,648 12,496,527 331,627 12,828,154 6,238,888 496,791 6,735,679 6 30 6 30 851,798 27,574 879,372 838,461 27,963 866,424 9,380 1,402,403 1,411,783 9,380 1,430,676 1,440,056 63,709 822,108 855,817 59,482 746,642 806,124 834,649 40,114 874,763 1,388,790 38,100 1,426,890 3,964,708 30,310 3,995,018 5,175,777 27,412 5,203,189 光大證券股份有限公司 138

55 (a) (i)(ii) (iii) (iv) 139 2016 中期報告

55 (a) (i) 12 31 6 30 129,531 132,328 3,995,018 5,203,189 2,069,298 2,875,727 3,323,086 3,867,499 3,901,842 3,396,428 185,000 947,829 43,404,467 31,476,687 1,955,310 1,999,357 6,348,621 5,048,014 17,440,359 13,762,790 17,440,359 13,762,790 168,519 136,401 360,034 1,361,140 70,327,108 63,316,566 15,091,125 13,822,893 168,699,318 147,346,848 光大證券股份有限公司 140

55 (a) (ii) 12 31 129,531 129,531 3,964,708 30,310 3,995,018 228,647 1,840,651 2,069,298 3,247,922 75,164 3,323,086 3,901,842 3,901,842 185,000 185,000 38,761,836 4,642,631 43,404,467 1,951,367 3,943 1,955,310 6,348,621 6,348,621 17,392,858 47,501 17,440,359 168,519 168,519 360,034 360,034 62,497,417 7,829,691 70,327,108 13,685,979 1,405,146 15,091,125 152,694,750 16,004,568 168,699,318 141 2016 中期報告

55 (a) (ii) 6 30 132,328 132,328 5,175,777 27,412 5,203,189 138,674 2,737,053 2,875,727 3,711,410 156,089 3,867,499 3,396,428 3,396,428 589,695 358,134 947,829 26,440,357 5,036,330 31,476,687 1,995,791 3,566 1,999,357 5,048,014 5,048,014 13,572,458 190,332 13,762,790 136,401 136,401 1,361,140 1,361,140 53,144,003 10,172,563 63,316,566 12,437,158 1,385,735 13,822,893 127,147,306 20,199,542 147,346,848 光大證券股份有限公司 142

55 (a) (iii) 12 31 6 30 AAA 1,913,155 1,851,643 A AA+ 6,880,214 4,847,898 BBBB 668,086 CCC+ 12,939 (1) 3,981,213 1,736,764 12,774,582 9,117,330 A-1 110,103 1,128,317 (1) 364,043 2,386,764 474,146 3,515,081 13,248,728 12,632,411 (1) 143 2016 中期報告

55 (b) (1) (2) 12 31 1 1 3 3 1 1 5 5,276,502 2,332,375 6,383 761,872 2,407,118 5,507,748 2,100,000 723,100 830,067 629,000 2,182,167 500,000 500,266 500,266 71,102,044 71,102,044 71,102,044 7,310,684 1,204,179 21,431 3,005,979 3,079,095 7,310,684 20,785,441 6,762,671 3,408,137 10,890,287 233,910 21,295,005 1,022,572 2,114 6 276,838 743,614 1,022,572 37,839,532 234,000 6,366,006 14,409,305 20,589,546 41,598,857 1,853,981 1,853,981 1,853,981 147,790,756 72,308,337 10,573,849 13,893,410 30,513,173 25,084,555 152,373,324 光大證券股份有限公司 144

55 (b) 6 30 1 1 3 3 1 1 5 6,561,258 3,319,999 92,019 1,073,587 2,253,109 6,738,714 871,193 82,631 628,358 168,811 879,800 871,193 82,631 628,358 168,811 879,800 4,632,400 1,100,613 3,024,267 540,494 4,665,374 66,945,084 66,945,084 66,945,084 6,560,436 3,412,250 31,886 256,987 2,859,313 6,560,436 205,238 205,238 205,238 13,586,732 8,252,903 3,114,554 2,331,072 13,698,529 349,870 463 345,286 4,107 14 349,870 28,926,437 11,755,116 19,318,592 31,073,708 1,935,328 1,935,328 1,935,328 130,573,976 70,562,572 12,788,495 7,461,471 18,732,500 23,507,043 133,052,081 145 2016 中期報告

55 (c) (i) 光大證券股份有限公司 146

55 (c) (i) 12 31 1 1 3 3 1 1 5 5 129,531 129,531 121,821 230,782 1,252,160 316,396 15,721,640 17,642,799 948,982 632,917 3,422,032 1,344,690 6,348,621 1,239,533 25,680 2,729,805 3,995,018 2,069,298 2,069,298 195,525 186,848 1,068,569 2,450,900 3,901,842 25,000 57,690 1,360,987 325,001 1,768,678 11,006,431 3,577,248 28,820,788 43,404,467 6,129,206 272,158 637,793 9,495,862 905,073 8,099,805 25,539,897 77,423 26,720 2,105 62,271 168,519 360,034 360,034 64,473,028 1,734,542 4,020,163 99,375 70,327,108 13,508,975 718,877 569,837 210,625 83,378 15,091,692 185,000 185,000 98,085,958 7,207,000 40,133,056 15,168,143 1,247,149 29,091,198 190,932,504 147 2016 中期報告

55 (c) (i) 12 31 1 1 3 3 1 1 5 5 (2,328,161) (686,000) (2,262,341) (5,276,502) (700,000) (800,000) (600,000) (2,100,000) (500,000) (500,000) (55,347,741) (15,754,303) (71,102,044) (7,310,684) (7,310,684) (7,310,684) (7,310,684) (6,725,963) (3,274,161) (10,555,317) (230,000) (20,785,441) (104,612) (54,687) (5,086) (858,187) (1,022,572) (5,997,067) (12,989,110) (18,853,355) (37,839,532) (1,853,981) (1,853,981) (65,706,477) (10,125,915) (24,835,513) (21,345,696) (25,777,155) (147,790,756) 32,379,481 (2,918,915) 15,297,543 (6,177,553) 1,247,149 3,314,043 43,141,748 光大證券股份有限公司 148

55 (c) (i) 6 30 1 1 3 3 1 1 5 5 132,328 132,328 214,524 262,488 1,301,062 127,687 13,353,712 15,259,473 711,863 164,385 2,814,424 1,357,342 5,048,014 1,730,961 3,472,228 5,203,189 2,875,727 2,875,727 112,189 130,842 775,592 2,377,805 3,396,428 33,593 1,497,943 485,680 2,017,216 13,043,857 2,220,847 16,211,983 31,476,687 3,189,478 916,982 3,260,630 5,944,837 428,962 7,979,238 21,720,127 53,597 22,328 1,449 59,027 136,401 1,347,108 14,032 1,361,140 63,186,566 20,000 110,000 1 63,316,567 12,896,419 65,445 654,160 80,000 127,370 13,823,394 761,120 186,709 947,829 96,486,562 3,574,422 25,478,669 12,064,494 556,649 28,553,724 166,714,520 149 2016 中期報告

55 (c) (i) 6 30 1 1 3 3 1 1 5 5 (3,315,344) (76,372) (1,029,474) (2,140,068) (6,561,258) (82,101) (622,938) (166,154) (871,193) (1,100,000) (3,000,000) (532,400) (4,632,400) (58,006,913) (8,938,171) (66,945,084) (6,560,436) (6,560,436) (205,238) (205,238) (8,240,401) (3,046,331) (2,300,000) (13,586,732) (71,378) (45,641) (3,429) (229,422) (349,870) (10,486,621) (18,439,816) (28,926,437) (1,935,328) (1,935,328) (70,816,137) (6,791,282) (14,518,078) (20,579,884) (17,868,595) (130,573,976) 25,670,425 (3,216,860) 10,960,591 (8,515,390) 556,649 10,685,129 36,140,544 光大證券股份有限公司 150

55 (c) (i) 12 31 6 30 25 23,481 2,308 25 12,492 497 12 31 6 30 25 15,697 (5,431) 25 21,003 9,197 151 2016 中期報告

55 (c) (ii) 10% 12 31 6 30 139,928 132,770 (110,742) (48,684) (796) (289) 12 31 6 30 139,928 132,770 (109,638) (48,357) (796) (289) 10% 光大證券股份有限公司 152

55 (c) (ii) (iii) 10% 12 31 6 30 10% 470,636 424,686 10% (470,636) (424,686) 12 31 6 30 10% 1,594,918 1,414,304 10% (1,594,918) (1,414,304) 153 2016 中期報告

55 (c) (iii) (d) (i) (ii) (iii) (iv) 2008 (i) 100% (ii) 40% (iii) 8% (iv) 20% 光大證券股份有限公司 154

55 (d) (v) 100% (vi) 500% 56 (a) (i) (ii) 155 2016 中期報告

56 (a) (iii) (iv) (b) 12 316 30 12 31 6 30 37,839,532 28,926,437 12 31 38,296,473 38,296,473 光大證券股份有限公司 156

56 (b) 06 30 29,403,756 29,403,756 (c) 157 2016 中期報告

56 (c) 12 31 5,300,459 6,081,598 11,382,057 4,157,699 155,866 4,313,565 7,527,226 84,079 7,611,305 1,601,208 40,890 1,642,098 5,098 4,535 9,633 581,239 581,239 793,061 1,043,610 30,000 1,866,671 6,158,913 137,459 1,179,507 7,475,879 765,077 8,937 774,014 7,506,185 20,050 7,526,235 44 168,475 168,519 24,707,577 17,373,191 1,270,447 43,351,215 (468) (1,022,104) (1,022,572) (468) (1,022,104) (1,022,572) 光大證券股份有限公司 158

56 (c) 06 30 761,794 9,878,551 10,640,345 2,150,638 680,674 1,887 2,833,199 3,481,079 60,790 3,541,869 2,640,003 58,000 2,698,003 4,220 9,920 14,140 481,564 1,511,007 1,992,571 33,999 1,735,740 90,000 1,859,739 5,358,083 439,477 1,226,021 7,023,581 173,777 173,777 6,182,376 20,000 6,202,376 1,772 134,629 136,401 11,965,362 22,243,724 2,906,915 37,116,001 (205,238) (205,238) (480) (349,390) (349,870) (480) (349,390) (205,238) (555,108) 159 2016 中期報告

56 (c) (i) (ii) 光大證券股份有限公司 160

56 (c) (iii) (1) (2) (3) (4) (5) 161 2016 中期報告

56 (c) (iv) 01 01 1,246,150 1,166,977 2,413,127 (536,795) (536,795) 2,110 5,018 7,128 311,251 311,251 14,510 603,275 617,785 (1,221,880) (320,169) (1,542,049) 12 31 40,890 1,229,557 1,270,447 10,169 10,169 (5,151) (5,151) 光大證券股份有限公司 162

56 (c) (iv) 01 01 40,890 1,229,557 1,270,447 1,887 (34,945) (33,058) 2,007 2,007 (29,591) (29,591) 1,556,707 171,000 (205,238) 1,522,469 (28,590) (2,007) (30,597) 06 30 1,570,894 1,336,021 (205,238) 2,701,677 2,007 2,007 163 2016 中期報告

56 (c) (iv) 57 8 1812.68 680,000,000 H 光大證券股份有限公司 164