公司代码：600837 公司简称：海通证券海通证券股份有限公司
2018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
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。
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|上年度末|本报告期末比上年度末增减(%)|
|总资产|556,485,339,106.70|534,706,332,789.81|4.07|
|归属于上市公司股东的净资产|117,742,015,243.23|117,755,478,685.09|-0.01|
||年初至报告期末（1-9月）|上年初至上年报告期末（1-9月）|比上年同期增减(%)|
|经营活动产生的现金流量净额|-2,859,636,319.94|-34,668,139,712.64|-|
||年初至报告期末（1-9月）|上年初至上年报告期末（1-9月）|比上年同期增减（%）|
|营业收入|16,177,158,293.25|19,253,672,976.26|-15.98|
|归属于上市公司股东的净利润|3,587,702,798.70|6,145,264,097.33|-41.62|
|归属于上市公司股东的扣除非经常性损益的净利润|3,157,297,751.25|5,726,593,207.27|-44.87|
|加权平均净资产收益率（%）|3.04|5.41|减少2.37个百分点|
|基本每股收益（元/股）|0.31|0.53|-41.51|
|稀释每股收益（元/股）|0.31|0.53|-41.51|

非经常性损益项目和金额
√适用□不适用
单位：元币种：人民币
|||||
|-|-|-|-|
|项目|本期金额（7－9月）|年初至报告期末金额（1-9月）|说明|
|非流动资产处置损益|-629,375.48|-1,568,499.33||
|计入当期损益的政府补助，但与公|34,597,020.35|415,403,778.91||

||||
|-|-|-|
|司正常经营业务密切相关，符合国家政策规定、按照一定标准定额或定量持续享受的政府补助除外|||
|与公司正常经营业务无关的或有事项产生的损益|7,326,216.52|49,060,855.54|
|除上述各项之外的其他营业外收入和支出|13,877,582.50|25,524,435.06|
|少数股东权益影响额（税后）|-7,277,645.66|-13,351,608.99|
|所得税影响额|-11,635,415.17|-44,663,913.74|
|合计|36,258,383.06|430,405,047.45|

2.2截至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）|||268,014（其中A股267,863；H股151）||||
|前十名股东持股情况|||||||
|股东名称（全称）|期末持股数量|比例(%)|持有有限售条件股份数量|质押或冻结情况||股东性质|
|||||股份状态|数量||
|香港中央结算（代理人）有限公司|3,408,811,562|29.64|0|未知|-|境外法人|
|光明食品（集团）有限公司|402,150,000|3.50|0|无|0|国有法人|
|上海海烟投资管理有限公司|400,709,623|3.48|0|无|0|国有法人|
|中国证券金融股份有限公司|343,901,259|2.99|0|无|0|其他|
|申能(集团)有限公司|322,162,086|2.80|0|无|0|国有法人|
|上海电气（集团）总公司|265,798,993|2.31|0|无|0|国家|
|上海久事（集团）有限公司|235,247,280|2.05|0|无|0|国有法人|
|上海百联集团股份有限公司|214,471,652|1.86|0|无|0|国有法人|
|中信证券股份有限公司|175,178,737|1.52|0|无|0|国有法人|
|上海报业集团|151,169,453|1.31|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|3,408,811,562||境外上市外资股||3,408,811,562||
|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||
|上海电气（集团）总公司|265,798,993||人民币普通股||265,798,993||
|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||
|中信证券股份有限公司|175,178,737||人民币普通股||175,178,737||
|上海报业集团|151,169,453||人民币普通股||151,169,453||

注：1.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。
2.上表中，香港中央结算（代理人）有限公司所持股份种类为境外上市外资股（H股），其他股东所持股份种类均为人民币普通 A股。
3.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。
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
||||||
|-|-|-|-|-|
|项目|2018年9月30日|2017年12月31日|增减幅度|变动原因|
|拆出资金|65,212,348.29|679,091,978.14|-90%|主要是拆放银行资金减少|
|以公允价值计量且其变动计入当期损益的金融资产|-|99,856,694,835.91|-100%|实施新金融工具会计准则影响|
|交易性金融资产|152,913,099,985.98|-|-|实施新金融工具会计准则影响|
|衍生金融资产|1,732,402,053.02|2,610,612,302.28|-34%|主要是衍生工具规模下降|
|可供出售金融资产|-|41,228,756,005.51|-100%|实施新金融工具会计准则影响|
|其他债权投资|12,632,007,379.03|-|-|实施新金融工具会计准则影响|
|持有至到期投资|-|78,718,210.79|-100%|实施新金融工具会计准则影响|
|其他权益工具投资|16,656,878,111.55|-|-|实施新金融工具会计准则影响|
|投资性房地产|267,104,567.29|16,864,072.33|1484%|主要是本期新增投资性房地产|
|拆入资金|16,362,237,758.13|11,811,638,917.40|39%|主要是银行拆入资金增加|
|以公允价值计量且其变动计入当期损益的金融负债|-|20,743,499,166.70|-100%|财务报表列报项目调整|
|交易性金融负债|21,899,587,340.90|-|-|财务报表列报项目调整|
|衍生金融负债|2,322,496,833.67|3,495,454,278.20|-34%|主要是衍生工具规模下降|
|卖出回购金融资产款|47,753,741,654.64|33,045,726,729.85|45%|主要是卖出回购规模增加|
|应交税费|1,462,507,982.28|2,611,046,351.79|-44%|主要是应交企业所得税减少|
|应付款项|8,893,504,231.47|6,441,954,661.18|38%|主要是应付清算款增加|
|预计负债|113,892,961.18|167,342,904.85|-32%|主要是产品相关预计负债减少|
|其他综合收益|349,691,111.70|1,626,529,293.67|-79%|实施新金融工具会计准则影响|
|项目|2018年1-9月|2017年1-9月|增减|变动原因|

||||||
|-|-|-|-|-|
||||幅度||
|利息净收入|3,469,023,078.32|2,520,921,905.11|38%|主要是买入返售金融资产利息收入增加|
|投资收益|3,708,111,979.68|7,094,776,980.63|-48%|主要是持有及处置金融工具产生的投资收益减少|
|公允价值变动收益|-1,256,424,468.49|-365,316,584.29|-|资本市场波动影响|
|汇兑收益|133,734,904.17|-244,356,949.66|-|主要是汇率变动影响|
|其他业务收入|4,259,505,250.24|3,258,473,888.35|31%|主要是子公司销售收入增加|
|资产减值损失|12,194,829.75|1,011,265,469.52|-99%|实施新金融工具会计准则影响|
|信用减值损失|1,247,019,385.37|-|-|实施新金融工具会计准则影响|
|其他业务成本|3,493,424,251.05|2,588,418,557.76|35%|主要是子公司销售成本增加|
|营业外支出|-33,260,726.98|72,272,068.94|-146%|主要是预计负债减少|
|所得税费用|1,359,465,198.14|2,047,468,596.64|-34%|主要是应税收入减少|
|其他综合收益的税后净额|18,627,917.36|2,087,310,962.25|-99%|实施新金融工具会计准则影响|
|经营活动产生的现金流量净额|-2,859,636,319.94|-34,668,139,712.64|-|主要是回购业务资金规模净增加|
|投资活动产生的现金流量净额|-4,504,995,044.99|25,544,343,426.85|-118%|主要是收回投资收到的现金减少|
|筹资活动产生的现金流量净额|6,001,690,775.54|-13,794,577,701.75|-|主要是取得借款和发行债券收到的现金增加|

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|2018年10月29日|

四、附录
4.1财务报表
合并资产负债表
2018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|期末余额|上年末余额|
|资产：|||
|货币资金|102,715,948,935.07|103,795,726,857.30|
|其中：客户存款|60,928,474,902.17|70,213,568,864.14|
|结算备付金|7,716,619,632.60|7,982,728,644.47|
|其中：客户备付金|5,314,025,894.92|7,607,858,552.05|
|拆出资金|65,212,348.29|679,091,978.14|
|融出资金|51,234,844,410.67|61,560,952,642.71|
|以公允价值计量且其变动计入当期损益的金融资产|不适用|99,856,694,835.91|
|交易性金融资产|152,913,099,985.98|不适用|
|衍生金融资产|1,732,402,053.02|2,610,612,302.28|
|买入返售金融资产|83,224,270,567.01|96,549,868,542.17|
|应收款项|9,401,868,090.01|7,441,999,625.34|
|应收利息|3,530,759,821.65|3,703,898,935.74|
|存出保证金|9,859,356,748.94|8,528,675,180.93|
|持有待售资产|20,290,482.03|19,761,633.24|
|可供出售金融资产|不适用|41,228,756,005.51|
|债权投资|199,934,103.76|不适用|
|其他债权投资|12,632,007,379.03|不适用|
|持有至到期投资|不适用|78,718,210.79|
|长期股权投资|8,249,300,840.56|10,062,370,298.56|
|其他权益工具投资|16,656,878,111.55|不适用|
|投资性房地产|267,104,567.29|16,864,072.33|
|固定资产|3,193,106,878.76|2,657,276,109.00|
|在建工程|51,509,553.66|48,574,453.80|
|无形资产|1,310,406,581.03|1,316,011,591.12|
|商誉|4,066,042,883.50|3,863,520,199.48|
|递延所得税资产|2,944,726,967.05|2,851,450,468.05|
|其他资产|84,499,648,165.24|79,852,780,202.94|
|资产总计|556,485,339,106.70|534,706,332,789.81|
|负债：|||
|短期借款|36,167,098,917.20|30,712,830,026.17|
|应付短期融资款|32,189,285,089.29|29,426,762,416.95|

||||
|-|-|-|
|拆入资金|16,362,237,758.13|11,811,638,917.40|
|以公允价值计量且其变动计入当期损益的金融负债|不适用|20,743,499,166.70|
|交易性金融负债|21,899,587,340.90|不适用|
|衍生金融负债|2,322,496,833.67|3,495,454,278.20|
|合同负债|670,620,096.71|不适用|
|卖出回购金融资产款|47,753,741,654.64|33,045,726,729.85|
|代理买卖证券款|72,133,960,921.95|83,774,388,361.26|
|代理承销证券款|||
|应付职工薪酬|3,681,186,330.01|4,890,341,286.01|
|应交税费|1,462,507,982.28|2,611,046,351.79|
|应付款项|8,893,504,231.47|6,441,954,661.18|
|应付利息|2,968,298,860.68|3,376,692,174.12|
|持有待售负债|||
|预计负债|113,892,961.18|167,342,904.85|
|长期借款|33,761,127,751.46|30,609,159,576.41|
|应付债券|134,087,603,475.03|130,158,268,817.49|
|其中：优先股|||
|永续债|||
|递延所得税负债|652,876,483.03|867,319,662.68|
|递延收益|||
|其他负债|11,129,140,822.03|12,879,603,571.43|
|负债合计|426,249,167,509.66|405,012,028,902.49|
|所有者权益（或股东权益）：|||
|实收资本（或股本）|11,501,700,000.00|11,501,700,000.00|
|其他权益工具|||
|其中：优先股|||
|永续债|||
|资本公积|56,357,977,613.70|56,357,979,615.67|
|减：库存股|||
|其他综合收益|349,691,111.70|1,626,529,293.67|
|盈余公积|5,704,425,099.28|5,703,912,997.86|
|一般风险准备|12,379,258,830.33|12,267,811,125.65|
|未分配利润|31,448,962,588.22|30,297,545,652.24|
|归属于母公司所有者权益（或股东权益）合计|117,742,015,243.23|117,755,478,685.09|
|少数股东权益|12,494,156,353.81|11,938,825,202.23|
|所有者权益（或股东权益）合计|130,236,171,597.04|129,694,303,887.32|
|负债和所有者权益（或股东权益）总计|556,485,339,106.70|534,706,332,789.81|

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
母公司资产负债表
2018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|期末余额|上年末余额|
|资产：|||
|货币资金|62,939,031,368.36|59,147,193,318.25|
|其中：客户存款|38,729,833,611.89|43,369,926,725.20|
|结算备付金|9,049,781,807.11|9,649,410,234.03|
|其中：客户备付金|5,458,525,844.00|7,844,781,938.44|
|拆出资金|||
|融出资金|37,970,107,607.44|47,877,760,395.98|
|以公允价值计量且其变动计入当期损益的金融资产|不适用|48,977,872,139.63|
|交易性金融资产|61,039,890,603.92|不适用|
|衍生金融资产|40,009,057.17||
|买入返售金融资产|70,143,348,720.71|88,857,913,847.45|
|应收款项|653,802,676.41|685,159,660.56|
|应收利息|1,562,108,578.76|1,295,363,872.36|
|存出保证金|1,962,305,414.38|1,062,287,471.94|
|持有待售资产|||
|可供出售金融资产|不适用|20,737,083,721.40|
|债权投资|149,883,525.90|不适用|
|其他债权投资|8,912,040,313.00|不适用|
|持有至到期投资|不适用||
|长期股权投资|26,916,986,004.84|26,812,249,257.34|
|其他权益工具投资|16,641,878,111.55|不适用|
|投资性房地产|15,967,717.24|16,864,072.33|
|固定资产|1,408,327,355.23|1,079,219,694.45|
|在建工程|19,069,681.53|19,945,291.71|
|无形资产|226,532,682.43|238,942,153.26|
|递延所得税资产|875,572,747.82|1,036,786,619.78|
|其他资产|1,303,164,945.94|783,408,365.14|
|资产总计|301,829,808,919.74|308,277,460,115.61|
|负债：|||
|短期借款|||
|应付短期融资款|16,379,779,000.00|21,897,221,000.00|
|拆入资金|10,000,000,000.00|5,450,000,000.00|
|以公允价值计量且其变动计入当期损益的金融负债|不适用|2,276,176,292.18|
|交易性金融负债|4,215,049,909.52|不适用|
|衍生金融负债|314,878,993.20|625,529,666.41|
|卖出回购金融资产款|24,748,215,575.34|21,454,363,748.71|

||||
|-|-|-|
|代理买卖证券款|43,425,695,061.47|51,325,229,036.42|
|代理承销证券款|||
|合同负债||不适用|
|应付职工薪酬|2,867,192,000.51|3,670,578,549.09|
|应交税费|432,406,137.53|1,120,176,414.91|
|应付款项|1,027,291,413.38|208,932,625.61|
|应付利息|1,965,944,089.60|2,398,737,276.95|
|持有待售负债|||
|预计负债|||
|长期借款|549,241,000.00|1,652,191,890.00|
|应付债券|86,808,681,047.05|88,446,966,516.88|
|其中：优先股|||
|永续债|||
|递延所得税负债|424,869,121.52|598,832,864.85|
|递延收益|||
|其他负债|856,872,413.26|293,365,968.75|
|负债合计|194,016,115,762.38|201,418,301,850.76|
|所有者权益（或股东权益）：|||
|实收资本（或股本）|11,501,700,000.00|11,501,700,000.00|
|其他权益工具|||
|其中：优先股|||
|永续债|||
|资本公积|56,486,198,528.36|56,486,198,528.36|
|减：库存股|||
|其他综合收益|1,015,746,075.17|1,296,283,785.15|
|盈余公积|5,704,425,099.28|5,703,912,997.86|
|一般风险准备|11,408,850,198.56|11,407,825,995.72|
|未分配利润|21,696,773,255.99|20,463,236,957.76|
|所有者权益（或股东权益）合计|107,813,693,157.36|106,859,158,264.85|
|负债和所有者权益（或股东权益）总计|301,829,808,919.74|308,277,460,115.61|

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
合并利润表
2018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
||||||
|-|-|-|-|-|
|项目|本期金额（7-9月）|上期金额（7-9月）|年初至报告期期末金额（1-9月）|上年年初至报告期期末金额（1-9月）|
|一、营业收入|5,231,988,258.36|6,441,880,333.68|16,177,158,293.25|19,253,672,976.26|
|手续费及佣金净收入|1,674,703,896.97|2,406,450,598.19|5,857,559,295.58|6,990,945,936.27|
|其中：经纪业务手续费净收入|732,843,871.56|995,807,637.37|2,389,882,393.34|2,922,794,315.92|
|投资银行业务手续费净收入|373,727,829.71|897,874,793.32|1,898,669,956.23|2,528,274,272.45|
|资产管理业务手续费净收入|535,723,976.75|467,501,424.97|1,403,965,943.56|1,379,983,598.38|
|利息净收入|1,049,261,884.41|778,297,169.16|3,469,023,078.32|2,520,921,905.11|
|其中：利息收入|9,621,203,752.70|7,830,041,086.23|18,484,084,684.73|15,305,397,454.50|
|利息支出|8,571,941,868.29|7,051,743,917.07|15,015,061,606.41|12,784,475,549.39|
|投资收益（损失以“-”号填列）|1,363,882,055.34|2,221,749,372.06|3,708,111,979.68|7,094,776,980.63|
|其中：对联营企业和合营企业的投资收益|109,697,094.91|254,606,123.49|73,390,592.66|514,661,273.11|
|资产处置收益（损失以“－”号填列）|-1,609,643.03|-699,531.90|-4,804,318.95|-4,116,606.10|
|公允价值变动收益（损失以“-”号填列）|-744,563,006.62|-105,761,724.73|-1,256,424,468.49|-365,316,584.29|
|汇兑收益（损失以“-”号填列）|134,661,121.70|-679,044.14|133,734,904.17|-244,356,949.66|
|其他收益|7,545,711.46|1,090,754.73|10,452,572.70|2,344,405.95|
|其他业务收入|1,748,106,238.13|1,141,432,740.31|4,259,505,250.24|3,258,473,888.35|
|二、营业支出|4,326,137,339.74|3,292,879,362.59|11,203,458,419.43|10,732,843,819.00|
|税金及附加|46,034,293.31|46,465,978.11|131,826,479.63|132,837,772.48|
|业务及管理费|2,248,374,843.07|2,027,581,232.84|6,318,993,473.63|7,000,322,019.24|
|资产减值损失|-3,108,046.79|304,571,845.09|12,194,829.75|1,011,265,469.52|
|信用减值损失|564,493,183.07|不适用|1,247,019,385.37|不适用|
|其他业务成本|1,470,343,067.08|914,260,306.55|3,493,424,251.05|2,588,418,557.76|
|三、营业利润（亏损以“-” 号填列）|905,850,918.62|3,149,000,971.09|4,973,699,873.82|8,520,829,157.26|
|加：营业外收入|47,538,668.62|36,231,510.75|444,936,488.40|538,981,043.38|
|减：营业外支出|2,878,394.16|8,097,740.35|-33,260,726.98|72,272,068.94|
|四、利润总额（亏损总额以“-”号填列）|950,511,193.08|3,177,134,741.49|5,451,897,089.20|8,987,538,131.70|
|减：所得税费用|317,448,246.82|753,999,352.87|1,359,465,198.14|2,047,468,596.64|
|五、净利润（净亏损以“－”号填列）|633,062,946.26|2,423,135,388.62|4,092,431,891.06|6,940,069,535.06|
|（一）按经营持续性分类|||||
|1.持续经营净利润（净亏损以“－”号填列）|633,062,946.26|2,423,135,388.62|4,092,431,891.06|6,940,069,535.06|
|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.归属于母公司所有者的净利润|556,776,443.24|2,121,786,384.61|3,587,702,798.70|6,145,264,097.33|

||||||
|-|-|-|-|-|
|2.少数股东损益|76,286,503.02|301,349,004.01|504,729,092.36|794,805,437.73|
|六、其他综合收益的税后净额|720,980,204.09|1,708,637,833.01|18,627,917.36|2,087,310,962.25|
|归属母公司所有者的其他综合收益的税后净额|185,100,795.23|1,529,085,672.26|-564,796,303.26|2,372,758,176.37|
|（一）不能重分类进损益的其他综合收益|325,922,433.74|1,729,498.06|-186,717,903.00|14,863,080.03|
|1.重新计量设定受益计划变动额|248,378.15|1,729,498.06|4,547,506.52|14,863,080.03|
|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|325,674,055.59|不适用|-191,265,409.52|不适用|
|4.企业自身信用风险公允价值变动||不适用||不适用|
|（二）将重分类进损益的其他综合收益|-140,821,638.51|1,527,356,174.20|-378,078,400.26|2,357,895,096.34|
|1.权益法下可转损益的其他综合收益|7,107,195.46|-46,308,721.53|-34,068,174.72|-61,199,716.59|
|2.可供出售金融资产公允价值变动损益|不适用|1,448,831,388.33|不适用|2,202,655,238.32|
|3.其他债权投资公允价值变动|-20,433,418.98|不适用|-112,807,446.81|不适用|
|4.其他债权投资信用减值准备|12,221,497.08|不适用|33,533,408.28|不适用|
|5.现金流量套期储备|||||
|6.外币财务报表折算差额|-144,853,214.11|123,537,302.08|-287,024,684.50|208,203,954.13|
|7.其他|5,136,302.04|1,296,205.32|22,288,497.49|8,235,620.48|
|归属于少数股东的其他综合收益的税后净额|535,879,408.86|179,552,160.75|583,424,220.62|-285,447,214.12|
|七、综合收益总额|1,354,043,150.35|4,131,773,221.63|4,111,059,808.42|9,027,380,497.31|
|归属于母公司所有者的综合收益总额|741,877,238.47|3,650,872,056.87|3,022,906,495.44|8,518,022,273.70|
|归属于少数股东的综合收益总额|612,165,911.88|480,901,164.76|1,088,153,312.98|509,358,223.61|
|八、每股收益：|||||
|（一）基本每股收益(元/股)|0.05|0.18|0.31|0.53|
|（二）稀释每股收益(元/股)|0.05|0.18|0.31|0.53|

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
母公司利润表
2018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
||||||
|-|-|-|-|-|
|项目|本期金额（7-9月）|上期金额（7-9月）|年初至报告期期末金额（1-9月）|上年年初至报告期期末金额（1-9月）|
|一、营业收入|2,476,544,193.37|2,889,063,667.38|7,847,579,832.25|9,289,928,212.43|
|手续费及佣金净收入|897,504,694.78|1,536,470,971.09|3,082,478,764.29|4,279,653,615.35|
|其中：经纪业务手续费净收入|537,771,159.67|812,746,704.13|1,930,371,071.94|2,398,918,906.85|
|投资银行业务手续费净收入|332,304,259.19|684,239,464.00|1,044,547,764.71|1,749,392,336.90|
|资产管理业务手续费净收入|||||
|利息净收入|639,904,128.90|585,175,469.94|2,126,022,635.28|1,829,204,471.99|
|其中：利息收入|7,514,494,266.70|6,442,284,186.48|12,658,571,391.86|10,829,817,819.47|
|利息支出|6,874,590,137.80|5,857,108,716.54|10,532,548,756.58|9,000,613,347.48|
|投资收益（损失以“－”号填列）|422,574,440.49|730,902,228.98|2,710,209,347.03|2,966,254,330.96|
|其中：对联营企业和合营企业的投资收益|49,745,025.00|47,217,500.00|146,846,425.00|141,930,250.00|
|资产处置收益（损失以“－”号填列）|||||
|公允价值变动收益（损失以“－”号填列）|539,656,901.97|1,768,771.21|-76,253,997.79|148,310,089.21|
|汇兑收益（损失以“－”号填列）|-30,756,841.44|31,930,909.34|-9,921,585.09|56,637,138.85|
|其他收益|2,445,787.44|370,232.37|2,554,004.46|521,348.07|
|其他业务收入|5,215,081.23|2,445,084.45|12,490,664.07|9,347,218.00|
|二、营业支出|1,482,505,639.16|970,475,890.38|3,591,621,857.64|3,783,137,027.02|
|税金及附加|19,438,560.11|24,832,068.85|71,919,377.78|75,732,462.56|
|业务及管理费|1,128,443,387.24|982,090,771.49|3,053,026,686.37|3,567,651,021.49|
|资产减值损失||-36,745,734.99||138,857,187.88|
|信用减值损失|333,482,841.12|不适用|464,937,372.74|不适用|
|其他业务成本|1,140,850.69|298,785.03|1,738,420.75|896,355.09|
|三、营业利润（亏损以“－” 号填列）|994,038,554.21|1,918,587,777.00|4,255,957,974.61|5,506,791,185.41|
|加：营业外收入|2,003,640.91|5,231,350.40|264,736,950.86|408,826,265.80|
|减：营业外支出|4,173,781.33|3,914,797.44|10,308,314.03|20,582,669.37|
|四、利润总额（亏损总额以“－”号填列）|991,868,413.79|1,919,904,329.96|4,510,386,611.44|5,895,034,781.84|
|减：所得税费用|187,891,982.12|437,705,187.26|635,044,023.10|931,053,540.21|
|五、净利润（净亏损以“－” 号填列）|803,976,431.67|1,482,199,142.70|3,875,342,588.34|4,963,981,241.63|
|（一）持续经营净利润（净亏损以“－”号填列）|803,976,431.67|1,482,199,142.70|3,875,342,588.34|4,963,981,241.63|
|（二）终止经营净利润（净亏损以“－”号填列）|||||
|六、其他综合收益的税后净额|324,099,700.52|596,810,097.71|-193,185,118.84|1,678,366,644.58|
|（一）不能重分类进损益的其他综合收益|325,674,055.59||-191,265,409.52||
|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|325,674,055.59|不适用|-191,265,409.52|不适用|
|（二）将重分类进损益的其他综合收益|-1,574,355.07|596,810,097.71|-1,919,709.32|1,678,366,644.58|
|1.权益法下可转损益的其他综合收益|680,487.50|-1,649,835.00|-447,177.50|-1,147,107.50|
|2.可供出售金融资产公允价值变动损益|不适用|598,459,932.71|不适用|1,679,513,752.08|
|3.其他债权投资公允价值变动|-3,209,241.15|不适用|-3,388,112.39|不适用|
|4.其他债权投资信用减值准备|954,398.58|不适用|1,915,580.57|不适用|
|七、综合收益总额|1,128,076,132.19|2,079,009,240.41|3,682,157,469.50|6,642,347,886.21|

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
合并现金流量表
2018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
||||
|-|-|-|
|项目|年初至报告期期末金额|上年年初至报告期期末|

||||
|-|-|-|
||（1-9月）|金额（1-9月）|
|一、经营活动产生的现金流量：|||
|收取利息、手续费及佣金的现金|21,413,156,256.04|20,395,255,755.35|
|拆入资金净增加额|5,163,167,471.07||
|回购业务资金净增加额|27,685,638,913.00||
|融出资金净减少额|10,138,312,562.65|3,813,305,268.19|
|收到其他与经营活动有关的现金|8,240,344,626.24|10,093,475,608.26|
|经营活动现金流入小计|72,640,619,829.00|34,302,036,631.80|
|处置交易性金融资产净减少额|29,672,692,451.14||
|处置以公允价值计量且其变动计入当期损益的金融资产净减少额||13,660,804,704.86|
|拆入资金净减少额||792,976,524.10|
|回购业务资金净减少额||8,344,386,843.52|
|代理买卖证券支付的现金净额|11,640,427,439.31|17,746,856,542.00|
|支付利息、手续费及佣金的现金|4,867,067,636.29|4,245,173,151.82|
|支付给职工以及为职工支付的现金|5,452,996,585.89|5,458,301,905.39|
|支付的各项税费|3,634,937,518.80|3,517,115,418.76|
|支付其他与经营活动有关的现金|20,232,134,517.51|15,204,561,253.99|
|经营活动现金流出小计|75,500,256,148.94|68,970,176,344.44|
|经营活动产生的现金流量净额|-2,859,636,319.94|-34,668,139,712.64|
|二、投资活动产生的现金流量：|||
|收回投资收到的现金|29,566,355,896.35|63,605,371,245.55|
|取得投资收益收到的现金|583,864,099.31|2,956,773,162.08|
|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|10,967,355.35|5,042,506.04|
|投资活动现金流入小计|30,161,187,351.01|66,567,186,913.67|
|投资支付的现金|33,609,998,844.08|38,703,394,522.16|
|购建固定资产、无形资产和其他长期资产支付的现金|1,056,183,551.92|1,572,483,117.15|
|取得子公司及其他营业单位支付的现金净额||746,965,847.51|
|支付其他与投资活动有关的现金|||
|投资活动现金流出小计|34,666,182,396.00|41,022,843,486.82|
|投资活动产生的现金流量净额|-4,504,995,044.99|25,544,343,426.85|
|三、筹资活动产生的现金流量：|||
|吸收投资收到的现金|9,525,724.09|8,265,773.24|
|其中：子公司吸收少数股东投资收到的现金|9,525,724.09|8,265,773.24|
|取得借款收到的现金|46,864,722,688.61|37,823,662,460.62|
|发行债券收到的现金|80,802,961,375.49|77,292,106,563.46|
|收到其他与筹资活动有关的现金|||

||||
|-|-|-|
|筹资活动现金流入小计|127,677,209,788.19|115,124,034,797.32|
|偿还债务支付的现金|112,369,589,668.14|121,746,486,003.67|
|分配股利、利润或偿付利息支付的现金|9,250,966,282.75|7,113,684,681.49|
|其中：子公司支付给少数股东的股利、利润|321,364,512.84|220,599,215.62|
|支付其他与筹资活动有关的现金|54,963,061.76|58,441,813.91|
|筹资活动现金流出小计|121,675,519,012.65|128,918,612,499.07|
|筹资活动产生的现金流量净额|6,001,690,775.54|-13,794,577,701.75|
|四、汇率变动对现金及现金等价物的影响|1,224,289,797.42|-1,160,284,864.67|
|五、现金及现金等价物净增加额|-138,650,791.97|-24,078,658,852.21|
|加：期初现金及现金等价物余额|109,642,289,836.26|131,153,159,354.26|
|六、期末现金及现金等价物余额|109,503,639,044.29|107,074,500,502.05|

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
母公司现金流量表
2018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
||||
|-|-|-|
|项目|年初至报告期期末金额（1-9月）|上年年初至报告期期末金额（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|11,946,622,200.73|12,282,051,924.77|
|拆入资金净增加额|4,550,000,000.00|100,000,000.00|
|回购业务资金净增加额|21,661,498,331.52||
|融出资金净减少额|9,744,811,873.90|314,325,122.36|
|收到其他与经营活动有关的现金|1,615,269,270.01|1,063,130,834.78|
|经营活动现金流入小计|49,518,201,676.16|13,759,507,881.91|
|处置交易性金融资产净减少额|12,633,180,090.75||
|处置以公允价值计量且其变动计入当期损益的金融资产净减少额||7,885,315,798.90|
|回购业务资金净减少额||10,410,558,335.06|
|代理买卖证券支付的现金净额|7,899,533,974.95|13,058,234,099.32|
|支付利息、手续费及佣金的现金|1,905,741,900.75|2,295,066,204.05|
|支付给职工以及为职工支付的现金|2,864,946,775.77|2,881,148,483.62|
|支付的各项税费|1,946,549,735.66|2,085,651,891.78|
|支付其他与经营活动有关的现金|1,330,235,180.00|2,066,424,283.26|
|经营活动现金流出小计|28,580,187,657.88|40,682,399,095.99|
|经营活动产生的现金流量净额|20,938,014,018.28|-26,922,891,214.08|
|二、投资活动产生的现金流量：|||
|收回投资收到的现金|20,432,391,519.53|19,588,397,981.41|
|取得投资收益收到的现金|869,724,383.63|1,418,576,438.71|
|收到其他与投资活动有关的现金|3,575,513.88|3,775,150.41|
|投资活动现金流入小计|21,305,691,417.04|21,010,749,570.53|
|投资支付的现金|22,622,758,110.00|1,966,206,063.75|
|购建固定资产、无形资产和其他长期资产支付的现金|450,771,654.11|198,374,733.47|
|支付其他与投资活动有关的现金|||
|投资活动现金流出小计|23,073,529,764.11|2,164,580,797.22|
|投资活动产生的现金流量净额|-1,767,838,347.07|18,846,168,773.31|
|三、筹资活动产生的现金流量：|||
|吸收投资收到的现金|||
|取得借款收到的现金|20,000,000.00|514,780,000.00|
|发行债券收到的现金|59,698,048,000.00|67,444,007,000.00|
|收到其他与筹资活动有关的现金|||
|筹资活动现金流入小计|59,718,048,000.00|67,958,787,000.00|
|偿还债务支付的现金|68,382,147,660.00|73,326,908,000.00|
|分配股利、利润或偿付利息支付的现金|6,832,701,622.48|6,398,961,876.48|
|支付其他与筹资活动有关的现金|||
|筹资活动现金流出小计|75,214,849,282.48|79,725,869,876.48|
|筹资活动产生的现金流量净额|-15,496,801,282.48|-11,767,082,876.48|
|四、汇率变动对现金及现金等价物的影响|69,651,695.92|-78,604,679.29|

||||
|-|-|-|
|五、现金及现金等价物净增加额|3,743,026,084.65|-19,922,409,996.54|
|加：期初现金及现金等价物余额|68,246,603,552.28|89,372,289,075.93|
|六、期末现金及现金等价物余额|71,989,629,636.93|69,449,879,079.39|

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审计报告
□适用√不适用