海通证券股份有限公司2020年第三季度报告

                                    海通证券股份有限公司 2020 年第三季度报告



公司代码:600837                                      公司简称:海通证券




                   海通证券股份有限公司
                   2020 年第三季度报告




                           1 / 19
                                                 海通证券股份有限公司 2020 年第三季度报告




                                    目录
一、   重要提示.................................................................. 3
二、   公司基本情况 .............................................................. 3
三、   重要事项.................................................................. 5
四、   附录...................................................................... 7




                                      2 / 19
                                                         海通证券股份有限公司 2020 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 公司负责人周杰、主管会计工作负责人张信军及会计机构负责人(会计主管人员)马中保证季

    度报告中财务报表的真实、准确、完整。除特别说明外,本报告所列数据以人民币为单位。

1.4 本公司第三季度报告未经审计。



二、 公司基本情况


2.1 主要财务数据
                                                                       单位:元 币种:人民币
                                                                            本报告期末比上年度
                            本报告期末                   上年度末
                                                                                末增减(%)
总资产                   729,581,290,173.94          636,793,631,603.21                     14.57
归属于上市公司股东的净
                         154,447,609,504.44          126,090,993,550.96                     22.49
资产
                          年初至报告期末            上年初至上年报告期末
                                                                             比上年同期增减(%)
                            (1-9 月)                    (1-9 月)
经营活动产生的现金流量
                         -28,053,163,828.43           15,010,944,255.30                   -286.88
净额
                          年初至报告期末            上年初至上年报告期末       比上年同期增减
                            (1-9 月)                    (1-9 月)               (%)
营业收入                  28,253,626,900.76           25,542,483,358.10                     10.61
归属于上市公司股东的净
                           8,502,150,896.74            7,385,648,377.25                     15.12
利润
归属于上市公司股东的扣
                           8,105,892,214.20            7,067,153,703.01                     14.70
除非经常性损益的净利润
加权平均净资产收益率
                                         6.42                        6.09     增加 0.33 个百分点
(%)
基本每股收益(元/股)                    0.73                        0.64                   14.06
稀释每股收益(元/股)                    0.73                        0.64                   14.06




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       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               年初至报告期末金额(1-9
                           项目
                                                        (7-9 月)                        月)
       非流动资产处置损益                                    -1,545,381.79                     -2,638,218.04
       计入当期损益的政府补助,但与公司
       正常经营业务密切相关,符合国家政
                                                             17,517,471.72                    550,578,305.71
       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
       与公司正常经营业务无关的或有事
                                                             16,640,607.29                        215,490.58
       项产生的损益
       除上述各项之外的其他营业外收入
                                                                 -864,622.69                   37,872,754.03
       和支出
       少数股东权益影响额(税后)                            -5,705,534.12                     -7,607,126.74
       所得税影响额                                          -4,147,055.12                    -182,162,523.00
                           合计                              21,895,485.29                    396,258,682.54




       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)                                                                                       294,536
                                                                               (其中 A 股 294,379,H 股 157)
                                           前十名股东持股情况
                                                                                       质押或冻结
                                                                    持有有限售条         情况
     股东名称(全称)             期末持股数量         比例(%)                                           股东性质
                                                                    件股份数量         股份
                                                                                                数量
                                                                                       状态
香港中央结算(代理人)有限公司      3,408,824,295           26.09                 0    未知         -     境外法人
上海国盛(集团)有限公司              862,489,059            6.60       781,250,000     无          0     国有法人
上海海烟投资管理有限公司              635,084,623            4.86       234,375,000     无          0     国有法人
光明食品(集团)有限公司              480,275,000            3.68        78,125,000     无          0     国有法人
中国证券金融股份有限公司              343,901,259            2.63                 0     无          0      其他
申能(集团)有限公司                    322,162,086            2.47                 0     无          0     国有法人
上海国盛集团资产有限公司              238,382,008            1.82                 0     无          0     国有法人
上海久事(集团)有限公司              235,247,280            1.80                 0     无          0     国有法人
上海电气(集团)总公司                222,539,418            1.70        78,203,125     无          0      国家
上海百联集团股份有限公司              214,471,652            1.64                 0     无          0     国有法人
                                      前十名无限售条件股东持股情况
          股东名称                持有无限售条件流通股的数量                     股份种类及数量
                                                                          种类                     数量
香港中央结算(代理人)有限公司                      3,408,824,295     境外上市外资股                3,408,824,295

                                                        4 / 19
                                                                      海通证券股份有限公司 2020 年第三季度报告


光明食品(集团)有限公司                              402,150,000      人民币普通股                   402,150,000
上海海烟投资管理有限公司                              400,709,623      人民币普通股                   400,709,623
中国证券金融股份有限公司                              343,901,259      人民币普通股                   343,901,259
申能(集团)有限公司                                    322,162,086      人民币普通股                   322,162,086
上海国盛集团资产有限公司                              238,382,008      人民币普通股                   238,382,008
上海久事(集团)有限公司                              235,247,280      人民币普通股                   235,247,280
上海百联集团股份有限公司                              214,471,652      人民币普通股                   214,471,652
中国建设银行股份有限公司-国泰
中证全指证券公司交易型开放式指                        194,202,637      人民币普通股                   194,202,637
数证券投资基金
中央汇金资产管理有限责任公司                          144,765,100      人民币普通股                   144,765,100
上述股东关联关系或一致行动       上海国盛集团资产有限公司为上海国盛(集团)有限公司的全资子公司,此外,未知其
的说明                           他股东之间是否存在关联关系,也未知是否属于《上市公司收购管理办法》规定的一致
                                 行动人。
       注:1.人民币普通股(A 股)股东性质为股东在中国证券登记结算有限责任公司上海分公司登记的账户性质。
           2.上表中,境外上市外资股为 H 股。本公司 H 股股东中,非登记股东的股份由香港中央结算(代理人)有限公
       司代为持有。
           3.上海国盛(集团)有限公司及其全资子公司上海国盛集团资产有限公司持有本公司 A 股和 H 股共计 135,632.75
       万股,占公司总股本的 10.38%;上海电气(集团)总公司持有本公司 A 股和 H 股共计 31,331.82 万股,占公司总股
       本的 2.40%。
           4.因公司股票为融资融券标的证券,股东持股数量按照其通过普通证券账户、信用证券账户持有的股票及权益
       数量合并计算。




       2.3 截止报告期末的优先股股东总数、前十名优先股股东、前十名优先股无限售条件股东持股情况

               表
       □适用 √不适用



       三、 重要事项


       3.1 公司主要会计报表项目、财务指标重大变动的情况及原因
       √适用 □不适用
                                                                                        单位:元   币种:人民币

      资产负债表项目               本报告期末              上年度末          增减幅度              变动原因

结算备付金                       14,013,787,244.95       8,611,100,784.11      62.74%   主要是客户结算备付金增加

融出资金                         69,944,217,942.11      52,797,925,710.05      32.48%   主要是融出资金规模增加

衍生金融资产                      2,417,009,897.84       1,516,495,825.10      59.38%   主要是衍生金融资产规模增加

存出保证金                       17,312,748,418.15      10,756,100,197.75      60.96%   主要是期货保证金增加

应收款项                         29,845,072,578.38       9,752,377,293.00     206.03%   主要是应收清算款增加

其他债权投资                     14,588,894,135.16      11,154,221,274.32      30.79%   主要是其他债权投资规模增加


                                                        5 / 19
                                                                 海通证券股份有限公司 2020 年第三季度报告


长期应收款                     31,693,413,311.60    21,943,691,725.01     44.43%   主要是售后回租安排应收款增加

                                                                                   主要是投资性房地产转入固定资产
投资性房地产                      115,316,021.13       176,838,607.67    -34.79%
                                                                                   规模增加

固定资产                       13,417,520,073.88     6,305,460,562.07    112.79%   主要是购置房屋及建筑物规模增加

在建工程                          360,519,770.32       273,833,514.07     31.66%   主要是营业办公楼装修规模增加

短期借款                       66,622,873,258.38    41,792,004,889.56     59.42%   主要是借款规模增加

拆入资金                        9,254,444,069.92    20,622,513,497.55    -55.12%   主要是拆入资金规模减少

                                                                                   主要是金融工具公允价值变动收益
递延所得税负债                    389,931,721.79       251,079,237.63     55.30%
                                                                                   增加引起
                               年初至报告期末      上年初至上年报告期
  利润表和现金流量表项目                                                增减幅度              变动原因
                                 (1-9 月)           末(1-9 月)
                                                                                   主要是投行、经纪及资管业务手续
手续费及佣金净收入             10,491,032,748.66     7,103,355,579.69     47.69%
                                                                                   费净收入增加

其他收益                          592,233,249.31       423,435,520.05     39.86%   主要是政府补助增加

公允价值变动收益                  900,578,255.39     1,755,318,344.56    -48.69%   主要是资本市场波动影响

                                                                                   主要是信用类金融资产计提减值准
信用减值损失                    3,449,177,368.52     1,724,660,553.24     99.99%
                                                                                   备增加
                                                                                   主要是归属于少数股东的其他综合
其他综合收益的税后净额           -501,079,003.59     1,090,358,435.95   -145.96%
                                                                                   收益的税后净额减少

经营活动产生的现金流量净额    -28,053,163,828.43    15,010,944,255.30   -286.88%   主要是回购业务资金净增加额减少

投资活动产生的现金流量净额    -12,769,170,168.25    -1,444,093,736.62          -   主要是收回投资所收到的现金减少

                                                                                   主要是取得借款、发行债券及吸收
筹资活动产生的现金流量净额     51,087,924,475.67     2,597,139,136.66   1867.08%
                                                                                   投资收到的现金增加




       3.2 重要事项进展情况及其影响和解决方案的分析说明
       □适用 √不适用

       3.3 报告期内超期未履行完毕的承诺事项
       □适用 √不适用

       3.4 预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生重大变动的警

               示及原因说明
       □适用 √不适用


                                                        公司名称                海通证券股份有限公司
                                                        法定代表人                                 周杰
                                                        日期                        2020 年 10 月 29 日


                                                    6 / 19
                                                     海通证券股份有限公司 2020 年第三季度报告



四、 附录


4.1 财务报表
                                 合并资产负债表
                                2020 年 9 月 30 日
编制单位:海通证券股份有限公司
                                         单位:元 币种:人民币 审计类型:未经审计
               项目                2020 年 9 月 30 日               2019 年 12 月 31 日
资产:
  货币资金                           121,532,890,558.43                117,016,819,693.77
    其中:客户资金存款                 87,297,081,137.64                76,178,521,758.22
  结算备付金                           14,013,787,244.95                 8,611,100,784.11
    其中:客户备付金                    9,868,047,738.68                 6,755,135,499.87
  拆出资金                                     445,379.50                    90,085,277.69
  融出资金                             69,944,217,942.11                52,797,925,710.05
  衍生金融资产                          2,417,009,897.84                 1,516,495,825.10
  存出保证金                           17,312,748,418.15                10,756,100,197.75
  应收款项                             29,845,072,578.38                 9,752,377,293.00
  合同资产
  买入返售金融资产                     61,490,240,311.35                57,485,193,782.50
  持有待售资产
金融投资:
    交易性金融资产                   239,005,972,258.68                219,593,069,669.76
    债权投资                            2,768,755,490.37                 2,624,092,944.57
    其他债权投资                       14,588,894,135.16                11,154,221,274.32
    其他权益工具投资                   15,877,057,560.62                15,783,977,730.41
  应收融资租赁款                       52,176,209,464.44                52,941,642,872.73
  长期应收款                           31,693,413,311.60                21,943,691,725.01
  长期股权投资                          4,402,987,589.72                 4,942,937,512.38
  投资性房地产                            115,316,021.13                   176,838,607.67
  固定资产                             13,417,520,073.88                 6,305,460,562.07
  在建工程                                360,519,770.32                   273,833,514.07
  使用权资产                              997,895,279.72                   985,650,866.54
  无形资产                              1,275,750,103.20                 1,311,833,877.36
  商誉                                  4,055,806,967.24                 4,134,434,372.94
  递延所得税资产                        3,488,385,465.16                 3,143,085,667.30
  其他资产                             28,800,394,351.99                33,452,761,842.11
         资产总计                    729,581,290,173.94                636,793,631,603.21
负债:
  短期借款                             66,622,873,258.38                41,792,004,889.56
  应付短期融资款                       32,378,170,368.40                32,206,854,511.25
                                     7 / 19
                                                   海通证券股份有限公司 2020 年第三季度报告


  拆入资金                                9,254,444,069.92            20,622,513,497.55
  交易性金融负债                         27,481,812,051.49            30,085,966,203.69
  衍生金融负债                            2,585,254,919.40             2,170,598,512.25
  卖出回购金融资产款                     86,635,728,505.41            68,877,677,524.61
  代理买卖证券款                        107,048,669,212.43            87,464,142,308.27
  代理承销证券款                            818,700,026.62
  应付职工薪酬                            5,792,418,330.62             5,699,701,657.27
  应交税费                                2,848,571,143.05             2,575,352,237.00
  应付款项                               12,065,471,083.83             9,467,098,681.29
  合同负债                                  180,959,671.90               182,997,693.86
  持有待售负债
  预计负债                                   73,462,803.18                 75,080,474.97
  长期借款                               50,476,793,715.49            46,333,118,325.69
  应付债券                              137,947,119,718.22           132,742,370,997.51
  其中:优先股
        永续债
  租赁负债                                  991,534,290.55               990,874,291.80
  递延所得税负债                            389,931,721.79               251,079,237.63
  其他负债                               16,830,606,680.61            14,137,457,426.31
    负债合计                            560,422,521,571.29           495,674,888,470.51
所有者权益(或股东权益):
  实收资本(或股本)                     13,064,200,000.00            11,501,700,000.00
  其他权益工具
  其中:优先股
        永续债
  资本公积                               74,886,823,327.44            56,526,248,966.71
  减:库存股
  其他综合收益                             -935,713,716.43              -888,898,605.19
  盈余公积                                6,935,712,199.87             6,935,712,199.87
  一般风险准备                           15,579,227,284.33            15,156,735,176.65
  未分配利润                             44,917,360,409.23            36,859,495,812.92
  归属于母公司所有者权益(或股东
                                        154,447,609,504.44           126,090,993,550.96
权益)合计
  少数股东权益                           14,711,159,098.21            15,027,749,581.74
    所有者权益(或股东权益)合计        169,158,768,602.65           141,118,743,132.70
    负债和所有者权益(或股东权益)
                                        729,581,290,173.94           636,793,631,603.21
总计


    法定代表人:周杰         主管会计工作负责人:张信军         会计机构负责人:马中




                                        8 / 19
                                                     海通证券股份有限公司 2020 年第三季度报告


                                母公司资产负债表
                                2020 年 9 月 30 日
编制单位:海通证券股份有限公司
                                         单位:元 币种:人民币 审计类型:未经审计
               项目                2020 年 9 月 30 日               2019 年 12 月 31 日
资产:
  货币资金                             66,550,953,606.63                69,403,684,086.25
   其中:客户资金存款                  53,155,786,751.60                49,401,126,219.93
  结算备付金                           18,109,107,983.36                12,560,869,083.73
   其中:客户备付金                    10,121,465,801.02                 6,947,859,656.86
  拆出资金
  融出资金                             57,189,512,909.94                41,347,920,111.13
  衍生金融资产                             73,266,165.56                      2,528,747.91
  存出保证金                            3,755,362,507.97                 1,995,045,881.18
  应收款项                              1,243,804,402.77                 1,042,900,697.22
  合同资产
  买入返售金融资产                     48,479,720,263.91                47,675,604,461.56
  持有待售资产
金融投资:
   交易性金融资产                    127,996,940,541.74                108,562,829,992.53
   债权投资                               157,356,241.93                   151,095,443.36
   其他债权投资                        11,869,597,228.21                 9,076,030,894.23
   其他权益工具投资                    15,787,801,527.37                15,633,108,636.34
  长期股权投资                         32,118,276,020.74                29,725,324,495.15
  投资性房地产                             13,577,437.00                     14,473,792.09
  固定资产                              5,808,759,634.94                 1,367,699,389.26
  在建工程                                294,486,742.54                   165,471,970.19
  使用权资产                              513,569,721.65                   346,496,579.28
  无形资产                                278,521,265.03                   272,259,452.06
  递延所得税资产                        1,086,121,952.66                   916,553,990.85
  其他资产                              2,227,081,936.75                 1,678,950,298.23
         资产总计                    393,553,818,090.70                341,938,848,002.55
负债:
  短期借款
  应付短期融资款                       20,739,037,932.88                19,976,563,107.10
  拆入资金                              3,006,687,708.33                14,421,610,527.79
  交易性金融负债                        4,110,199,385.41                 6,479,192,360.70
  衍生金融负债                             96,806,439.31                   419,089,531.44
  卖出回购金融资产款                   62,933,483,673.20                42,998,818,952.71
  代理买卖证券款                       63,390,783,091.73                56,443,902,169.97
  代理承销证券款                          818,700,026.62
  应付职工薪酬                          4,033,788,102.80                 4,105,527,357.74

                                      9 / 19
                                                   海通证券股份有限公司 2020 年第三季度报告


  应交税费                                1,426,376,309.61             1,067,458,078.98
  应付款项                                1,234,443,238.55               979,124,141.64
  合同负债
  持有待售负债
  预计负债
  长期借款                                2,165,898,428.16               431,760,621.71
  应付债券                               88,286,168,915.77            79,862,972,658.19
  其中:优先股
       永续债
  租赁负债                                   489,724,948.88              337,768,408.51
  递延所得税负债
  其他负债                                   709,310,754.76              727,789,254.35
   负债合计                             253,441,408,956.01           228,251,577,170.83
所有者权益(或股东权益):
  实收资本(或股本)                     13,064,200,000.00            11,501,700,000.00
  其他权益工具
  其中:优先股
       永续债
  资本公积                               74,772,635,006.20            56,486,198,528.36
  减:库存股
  其他综合收益                               320,383,758.45              183,998,809.87
  盈余公积                                6,935,712,199.87             6,935,712,199.87
  一般风险准备                           13,871,424,399.74            13,871,424,399.74
  未分配利润                             31,148,053,770.43            24,708,236,893.88
   所有者权益(或股东权益)合计         140,112,409,134.69           113,687,270,831.72
负债和所有者权益(或股东权益)总
                                        393,553,818,090.70           341,938,848,002.55



    法定代表人:周杰         主管会计工作负责人:张信军         会计机构负责人:马中




                                        10 / 19
                                                                    海通证券股份有限公司 2020 年第三季度报告


                                                    合并利润表
                                                  2020 年 1—9 月
       编制单位:海通证券股份有限公司
                                                         单位:元 币种:人民币 审计类型:未经审计
                                  2020 年第三季度      2019 年第三季度      2020 年前三季度      2019 年前三季度
               项目
                                     (7-9 月)           (7-9 月)          (1-9 月)            (1-9 月)
一、营业总收入                    10,465,971,510.18    7,469,167,283.27    28,253,626,900.76    25,542,483,358.10
  利息净收入                       1,333,840,666.06    1,110,917,124.28     3,542,751,062.57     3,363,973,334.86
  其中:金融资产利息收入           3,370,540,598.49    3,690,875,190.26    10,374,799,490.89    10,345,608,350.04
         融资租赁收入              1,018,880,244.61    1,104,139,127.45     3,004,021,850.69     3,463,828,532.96
         利息支出                  3,055,580,177.04    3,684,097,193.43     9,836,070,279.01    10,445,463,548.14
  手续费及佣金净收入               4,770,375,145.49    2,240,768,060.03    10,491,032,748.66     7,103,355,579.69
  其中:经纪业务手续费净收入       1,587,579,034.76      790,951,453.83     3,822,181,338.29     2,686,492,553.68
         投资银行业务手续费净
                                   2,168,331,035.65      919,919,851.13     3,869,251,254.92     2,566,734,877.71
收入
         资产管理业务手续费净
                                     745,785,106.21      476,180,372.00     2,385,449,109.59     1,619,997,892.79
收入
  投资收益(损失以“-”号填列)    3,034,982,564.21    1,941,601,818.01     7,483,860,186.06     6,637,892,602.66
  其中:对联营企业和合营企业的
                                     115,807,569.12       52,944,171.04       380,040,123.30       204,370,392.92
投资收益
  其他收益                           22,216,815.14        60,276,971.73       592,233,249.31       423,435,520.05
  公允价值变动收益(损失以
                                   -762,522,429.81       453,667,845.50       900,578,255.39     1,755,318,344.56
“-”号填列)
  汇兑收益(损失以“-”号填列)      -41,651,093.58     -136,855,691.35       193,934,853.15      -160,292,274.00
  其他业务收入                     2,109,983,238.48    1,834,471,523.21     5,062,835,590.67     6,478,816,088.18
  资产处置收益(损失以“-”号
                                     -1,253,395.81       -35,680,368.14       -13,599,045.05       -60,015,837.90
填列)
二、营业总支出                     6,027,207,147.31    4,840,356,132.86    15,991,984,260.84    14,925,272,314.67
  税金及附加                         30,474,925.26        32,573,457.46       137,987,995.88       125,808,467.59
  业务及管理费                     3,654,014,006.15    2,653,449,092.25     8,396,916,581.25     7,736,825,182.78
  信用减值损失                       548,906,279.32      665,427,467.94     3,449,177,368.52     1,724,660,553.24
  其他资产减值损失                   10,527,417.58        35,161,342.66        20,984,770.26        26,330,136.04
  其他业务成本                     1,783,284,519.00    1,453,744,772.55     3,986,917,544.93     5,311,647,975.02
三、营业利润(亏损以“-” 号填
                                   4,438,764,362.87    2,628,811,150.41    12,261,642,639.92    10,617,211,043.43
列)
  加:营业外收入                     -1,189,984.28        21,335,918.23        43,253,390.95        64,205,019.75
  减:营业外支出                     -11,974,639.48       -1,626,681.55        35,859,262.93        25,884,766.82
四、利润总额(亏损总额以“-”
                                   4,449,549,018.07    2,651,773,750.19    12,269,036,767.94    10,655,531,296.36
号填列)
  减:所得税费用                   1,097,759,071.89      645,113,540.46     3,015,785,584.73     2,580,721,909.50
五、净利润(净亏损以“-”号填
                                   3,351,789,946.18    2,006,660,209.73     9,253,251,183.21     8,074,809,386.86
列)


                                                      11 / 19
                                                                 海通证券股份有限公司 2020 年第三季度报告


(一)按经营持续性分类
       1.持续经营净利润(净亏损
                                  3,351,789,946.18    2,006,660,209.73   9,253,251,183.21     8,074,809,386.86
以“-”号填列)
       2.终止经营净利润(净亏损
以“-”号填列)
(二)按所有权归属分类
       1.归属于母公司股东的净利
                                  3,018,958,541.81    1,859,143,112.46   8,502,150,896.74     7,385,648,377.25
润(净亏损以“-”号填列)
       2.少数股东损益(净亏损以
                                    332,831,404.37      147,517,097.27     751,100,286.47       689,161,009.61
“-”号填列)
六、其他综合收益的税后净额        -192,973,442.36       173,531,587.18    -501,079,003.59     1,090,358,435.95
  归属母公司所有者的其他综合
                                    442,917,221.63     -217,389,696.93     -72,142,997.98       645,734,286.98
收益的税后净额
  (一)不能重分类进损益的其他
                                    361,501,297.86     -154,017,867.39      -2,455,345.57       603,564,539.21
综合收益
     1.重新计量设定受益计划变
                                    -6,218,136.91        -1,936,307.43      10,720,456.83       -65,815,567.31
动额
     2.权益法下不能转损益的其
他综合收益
     3.其他权益工具投资公允价
                                    367,719,434.77     -152,081,559.96     -13,175,802.40       669,380,106.52
值变动
     4.企业自身信用风险公允价
值变动
  (二)将重分类进损益的其他综
                                    81,415,923.77       -63,371,829.54     -69,687,652.41        42,169,747.77
合收益
     1.权益法下可转损益的其他
                                    18,068,828.39        20,553,515.44     -27,627,451.40        87,110,618.40
综合收益
     2.其他债权投资公允价值变
                                    -54,521,685.45       29,799,803.11      63,531,123.09        63,679,220.49

     3.金融资产重分类计入其他
综合收益的金额
     4.其他债权投资信用损失准
                                      9,545,373.63       -2,105,652.04      11,125,202.26        -4,688,078.90

     5.现金流量套期储备             35,758,492.96                          -63,892,604.43
     6.外币财务报表折算差额         72,564,914.24      -109,601,659.42     -52,823,921.93      -103,177,033.03
     7.其他                                              -2,017,836.63                             -754,979.19
  归属于少数股东的其他综合收
                                  -635,890,663.99       390,921,284.11    -428,936,005.61       444,624,148.97
益的税后净额
七、综合收益总额                  3,158,816,503.82    2,180,191,796.91   8,752,172,179.62     9,165,167,822.81
  归属于母公司所有者的综合收
                                  3,461,875,763.44    1,641,753,415.53   8,430,007,898.76     8,031,382,664.23
益总额
  归属于少数股东的综合收益总
                                  -303,059,259.62       538,438,381.38     322,164,280.86     1,133,785,158.58

                                                     12 / 19
                                                                海通证券股份有限公司 2020 年第三季度报告


八、每股收益:
  (一)基本每股收益(元/股)                  0.25               0.16                 0.73                  0.64
  (二)稀释每股收益(元/股)                  0.25               0.16                 0.73                  0.64


     注:为与本年度财务报表列报方式保持一致,个别比较数据已经过重分类。


     法定代表人:周杰            主管会计工作负责人:张信军               会计机构负责人:马中




                                                    13 / 19
                                                                       海通证券股份有限公司 2020 年第三季度报告




                                                     母公司利润表
                                                    2020 年 1—9 月
         编制单位:海通证券股份有限公司
                                                            单位:元 币种:人民币 审计类型:未经审计
                                     2020 年第三季度     2019 年第三季度        2020 年前三季度      2019 年前三季度
                项目
                                       (7-9 月)           (7-9 月)            (1-9 月)           (1-9 月)
一、营业总收入                       5,046,027,640.66     3,574,612,644.55     13,651,182,794.99    11,405,566,893.62
利息净收入                             655,063,820.50       695,706,752.83      1,907,804,415.89     2,153,135,097.61
  其中:利息收入                     2,221,425,233.31     2,219,319,885.86      6,336,721,244.60     6,672,983,123.06
           利息支出                  1,566,361,412.81     1,523,613,133.03      4,428,916,828.71     4,519,848,025.45
手续费及佣金净收入                   3,410,226,655.27     1,294,855,620.06      6,604,969,282.48     4,017,442,004.46
  其中:经纪业务手续费净收入         1,328,958,574.69       642,320,221.67      3,253,577,082.44     2,293,835,433.27
           投资银行业务手续费净收
                                     1,850,611,781.76       603,522,278.13      3,006,395,153.56     1,572,675,696.05

           资产管理业务手续费净收

投资收益(损失以”-”号填列)       1,501,844,986.96       975,000,165.29      5,002,460,217.98     3,478,827,935.51
  其中:对联营企业和合营企业的投
                                       130,370,295.00        49,161,750.00        292,576,295.00       154,151,250.00
资收益
其他收益                                 9,602,612.19         2,064,656.00        345,081,330.68       263,502,293.34
公允价值变动收益(损失以”-”号
                                      -595,796,410.82       640,481,534.23       -205,466,652.74     1,561,563,371.55
填列)
汇兑收益(损失以”-”号填列)          61,335,920.29       -37,128,456.45        -12,351,918.64       -79,566,718.85
其他业务收入                             3,227,178.64         3,345,890.19          8,161,970.63        10,163,146.31
资产处置收益(损失以“-”号填
                                           522,877.63             286,482.40          524,148.71           499,763.69
列)
二、营业总支出                       2,009,879,083.70     1,639,547,160.97      5,518,735,253.37     4,628,466,395.52
税金及附加                              10,118,193.49        23,123,500.81         68,537,174.29        79,063,322.78
业务及管理费                         1,899,577,028.38     1,362,069,684.24      4,096,385,299.78     3,971,707,720.73
信用减值损失                            99,885,076.80       254,055,190.89      1,352,916,424.21       576,798,996.92
其他资产减值损失
其他业务成本                               298,785.03             298,785.03          896,355.09           896,355.09
三、营业利润(亏损以”-”号填列)   3,036,148,556.96     1,935,065,483.58      8,132,447,541.62     6,777,100,498.10
加:营业外收入                          -3,096,470.04        11,063,739.41         37,952,670.55        50,327,303.31
减:营业外支出                           1,828,795.29         2,242,302.15         14,809,371.55        18,208,640.37
四、利润总额(亏损总额以”-”号
                                     3,031,223,291.63     1,943,886,920.84      8,155,590,840.62     6,809,219,161.04
填列)
减:所得税费用                         731,027,866.89       379,558,004.89      1,690,446,077.33     1,430,909,733.00
五、净利润(净亏损以”-”号填列)   2,300,195,424.74     1,564,328,915.95      6,465,144,763.29     5,378,309,428.04
(一)持续经营净利润(净亏损以
                                     2,300,195,424.74     1,564,328,915.95      6,465,144,763.29     5,378,309,428.04
“-”号填列)
(二)终止经营净利润(净亏损以
                                                        14 / 19
                                                                        海通证券股份有限公司 2020 年第三季度报告


“-”号填列)
六、其他综合收益的税后净额             324,312,417.74      -141,389,946.63         111,057,061.84       703,700,828.61
(一)不能重分类进损益的其他综合
                                       373,326,329.68      -155,004,908.88          16,280,709.94       666,793,392.06
收益
1.重新计量设定受益计划变动额
2.权益法下不能转损益的其他综合
收益
3.其他权益工具投资公允价值变动        373,326,329.68      -155,004,908.88          16,280,709.94       666,793,392.06
4.企业自身信用风险公允价值变动
(二)将重分类进损益的其他综合收
                                       -49,013,911.94        13,614,962.25          94,776,351.90        36,907,436.55

1.权益法下可转损益的其他综合收
                                                              2,763,612.50             642,980.59         6,890,977.50

2.其他债权投资公允价值变动             -50,794,963.55        10,955,157.43          89,208,080.52        30,307,514.36
3.金融资产重分类计入其他综合收
益的金额
4.其他债权投资信用损失准备               1,781,051.61             -103,807.68        4,925,290.79          -291,055.31
5.现金流量套期储备
6.外币财务报表折算差额
7.其他
七、综合收益总额                     2,624,507,842.48     1,422,938,969.32       6,576,201,825.13     6,082,010,256.65


         注:为与本年度财务报表列报方式保持一致,个别比较数据已经过重分类。


         法定代表人:周杰            主管会计工作负责人:张信军                 会计机构负责人:马中




                                                        15 / 19
                                                     海通证券股份有限公司 2020 年第三季度报告


                                   合并现金流量表
                                   2020 年 1—9 月
编制单位:海通证券股份有限公司
                                           单位:元 币种:人民币 审计类型:未经审计
                                          2020年前三季度               2019年前三季度
                   项目
                                             (1-9月)                    (1-9月)
一、经营活动产生的现金流量:
  收取利息、手续费及佣金的现金             25,722,466,605.35            23,924,962,578.99
  拆入资金净增加额
  回购业务资金净增加额                     14,367,554,885.94            42,346,109,581.13
  代理买卖证券收到的现金净额               19,587,756,570.64            12,929,725,965.60
  收到其他与经营活动有关的现金             16,242,926,622.65             8,686,441,692.61
   经营活动现金流入小计                    75,920,704,684.58            87,887,239,818.33
  为交易目的而持有的金融资产净增加额       16,219,020,143.18            34,182,138,222.24
  拆入资金净减少额                         11,365,463,669.55               106,919,971.04
  融出资金净增加额                         17,735,549,048.18             2,816,213,698.69
  支付利息、手续费及佣金的现金              6,897,032,756.42             6,032,018,553.35
  支付给职工及为职工支付的现金              5,473,257,441.46             5,032,741,882.52
  支付的各项税费                            4,378,073,975.90             3,876,518,385.39
  支付其他与经营活动有关的现金             41,905,471,478.32            20,829,744,849.80
   经营活动现金流出小计                   103,973,868,513.01            72,876,295,563.03
      经营活动产生的现金流量净额          -28,053,163,828.43            15,010,944,255.30
二、投资活动产生的现金流量:
  收回投资收到的现金                        9,227,132,190.23            16,220,936,968.15
  取得投资收益收到的现金                         969,970,654.85          1,560,474,828.89
  处置固定资产、无形资产和其他长期资
                                                   5,543,425.27               7,792,898.14
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                    10,202,646,270.35            17,789,204,695.18
  投资支付的现金                           15,134,698,720.84            18,113,249,241.56
  购建固定资产、无形资产和其他长期资
                                            7,024,515,858.18             1,120,049,190.24
产支付的现金
  取得子公司及其他营业单位支付的现金
                                                 812,601,859.58
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                    22,971,816,438.60            19,233,298,431.80
      投资活动产生的现金流量净额          -12,769,170,168.25            -1,444,093,736.62
三、筹资活动产生的现金流量:
  吸收投资收到的现金                       20,017,934,797.87             2,047,900,133.85
  其中:子公司吸收少数股东投资收到的              17,934,797.87          1,981,523,437.01

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现金
  取得借款收到的现金                          83,114,004,631.50            24,848,102,306.52
  发行债券收到的现金                         119,880,393,873.96           102,398,199,373.58
  收到其他与筹资活动有关的现金
   筹资活动现金流入小计                      223,012,333,303.33           129,294,201,813.95
  偿还债务支付的现金                         165,666,441,133.38           117,201,436,412.33
  分配股利、利润或偿付利息支付的现金           5,633,263,603.78             8,974,935,110.25
  其中:子公司支付给少数股东的股利、
                                                    411,741,719.14            220,633,670.08
利润
  支付其他与筹资活动有关的现金                      624,704,090.50            520,691,154.71
   筹资活动现金流出小计                      171,924,408,827.66           126,697,062,677.29
        筹资活动产生的现金流量净额            51,087,924,475.67             2,597,139,136.66
四、汇率变动对现金及现金等价物的影响                785,595,925.09            837,425,464.00
五、现金及现金等价物净增加额                  11,051,186,404.08            17,001,415,119.34
  加:期初现金及现金等价物余额               123,829,492,862.52           106,544,822,601.70
六、期末现金及现金等价物余额                 134,880,679,266.60           123,546,237,721.04


       法定代表人:周杰        主管会计工作负责人:张信军            会计机构负责人:马中




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                                   母公司现金流量表
                                     2020 年 1—9 月
编制单位:海通证券股份有限公司
                                            单位:元 币种:人民币 审计类型:未经审计
                                           2020年前三季度                2019年前三季度
                   项目
                                              (1-9月)                     (1-9月)
一、经营活动产生的现金流量:
  收取利息、手续费及佣金的现金              14,291,127,549.92             11,729,057,225.32
  拆入资金净增加额                                                             20,000,000.00
  回购业务资金净增加额                      18,587,079,215.50             30,133,565,704.46
  代理买卖证券收到的现金净额                 6,950,110,588.24             13,431,225,701.70
  收到其他与经营活动有关的现金                    939,451,869.71             836,248,750.35
   经营活动现金流入小计                     40,767,769,223.37             56,150,097,381.83
  为交易目的而持有的金融资产净增加额        18,629,347,158.95             24,429,313,492.62
  拆入资金净减少额                          11,412,659,722.23
  融出资金净增加额                          16,430,849,614.93              4,323,728,416.20
  支付利息、手续费及佣金的现金               2,931,275,175.15              2,033,102,609.31
  支付给职工及为职工支付的现金               2,912,309,164.31              2,812,501,478.45
  支付的各项税费                             2,206,732,258.62              2,295,088,218.27
  支付其他与经营活动有关的现金               2,580,058,188.04              1,274,441,409.43
   经营活动现金流出小计                     57,103,231,282.23             37,168,175,624.28
      经营活动产生的现金流量净额           -16,335,462,058.86             18,981,921,757.55
二、投资活动产生的现金流量:
  收回投资收到的现金                         2,777,265,936.50              8,764,316,343.65
  取得投资收益收到的现金                          535,739,847.03             950,670,781.83
  处置固定资产、无形资产和其他长期资
                                                    5,527,065.27                7,040,640.55
产收回的现金净额
  收到其他与投资活动有关的现金
   投资活动现金流入小计                      3,318,532,848.80              9,722,027,766.03
  投资支付的现金                             7,690,324,943.66              9,292,836,030.00
  购建固定资产、无形资产和其他长期资
                                             4,182,145,527.53                324,751,851.09
产支付的现金
  支付其他与投资活动有关的现金
   投资活动现金流出小计                     11,872,470,471.19              9,617,587,881.09
      投资活动产生的现金流量净额            -8,553,937,622.39                104,439,884.94
三、筹资活动产生的现金流量:
  吸收投资收到的现金                        20,000,000,000.00
  取得借款收到的现金                         2,117,000,000.00              2,500,000,000.00
  发行债券收到的现金                        92,705,158,000.00             79,812,265,800.00
  收到其他与筹资活动有关的现金
   筹资活动现金流入小计                    114,822,158,000.00             82,312,265,800.00

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  偿还债务支付的现金                       83,865,832,000.00            79,454,968,300.00
  分配股利、利润或偿付利息支付的现金        2,971,836,480.44             5,568,898,640.11
  支付其他与筹资活动有关的现金                   346,367,233.59            183,924,006.01
    筹资活动现金流出小计                   87,184,035,714.03            85,207,790,946.12
      筹资活动产生的现金流量净额           27,638,122,285.97            -2,895,525,146.12
四、汇率变动对现金及现金等价物的影响             -27,906,099.49              81,660,399.20
五、现金及现金等价物净增加额                2,720,816,505.23            16,272,496,895.57
  加:期初现金及现金等价物余额             81,892,823,582.56            68,486,177,389.80
六、期末现金及现金等价物余额               84,613,640,087.79            84,758,674,285.37


   法定代表人:周杰        主管会计工作负责人:张信军             会计机构负责人:马中



4.2 2020 年起首次执行新收入准则、新租赁准则调整首次执行当年年初财务报表相关情况
□适用 √不适用



4.3 2020 年起首次执行新收入准则、新租赁准则追溯调整前期比较数据的说明
□适用 √不适用

4.4 审计报告
□适用 √不适用




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