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华泰柏瑞上证中小盘ETF联接(460220)

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投资类型:ETF联接基金 成立日期:2011-01-26 管理人:华泰柏瑞... 基金经理:柳军
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基金公告

中小ETF联接:2018年年度报告

公告日期:2019-03-27

SNlgt^N N-\ vN¤ W_ e>_ c ep
       R8bDú‘TWú‘
         2018^t^t^bTJ

               2018^t12g 31e




     Wú‘t N SNlgt^Wú‘t g –PlS

     Wú‘X{N N-V”Lg –PlS

     Qúeg  2019^t3g 27e
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJ


                             §1‘‰y:Sv_U
1.1 ‘‰y:
      Wú‘t NvcNO ScNOg,bTJb@}DN [XW(ZPG°} [ü`'–H ‘'W 

^v[ùQvQ…[vw [`'0 Qxn`'T[et`'bbN*R+S&vl_#0 g,^t^bTJ]ò~N R NKNN

N rìzcN{~[WT a  ^vu1cN{~S0

      Wú‘X{NN-V”Lg –PlSh9cng,Wú‘T         ‰ N2019^t3g 26eY h8Ng,bTJN-

v"c h 0 QP
[XW(ZPG°} [ü`'–H ‘'W 0

      Wú‘t NbúN[Oáu(0 RR\=#SR {t T(Wú‘D§ OFN OWú‘ [v

R)0

      Wú‘ ~é^vNN hQvg*gehs° bD –i bDW(O\QúbD{VRM^”N~–g,

Wú‘bRf NfSQvfe°

      g,^t^bTJ"D]ò~[ fnSNl8S-Y)O ^ NRb@ rykfnT O  N:g,Wú‘úQw

NeàOuYa ‰[bTJ0

      g,bTJg ê018^t1g 1ewó018^t12g 31ekb0




                                {, 2 u Qq64 u
                                                                                            SNlgt^N N-\ vETFT2018^t^t^bTJ


1.2 v_U

§1 ‘‰y:Sv_U.................................................................................................................................. 2
     1.1 ‘‰y:...................................................................................................................................... 2
     1.2 v_U............................................................................................................................................ 3
§2 Wú‘N............................................................................................................................................... 5
     2.1 Wú‘úg,`Q............................................................................................................................... 5
     2.2 Wú‘§Tf ............................................................................................................................... 5
     2.3 Wú‘t NTWú‘X{N........................................................................................................... 6
     2.4 Oá`ob—2_ ............................................................................................................................... 6
     2.5 QvNvQsD............................................................................................................................... 7
§3 N;‰"c h 0 Wú‘P     3.1 N;‰epcnT"c h ........................................................................................................... 8
     3.2 Wú‘P     3.3 N ^tWú‘R)mR ‘MQ................................................................................................. 10
§4 {t NbTJ......................................................................................................................................... 11
     4.1 Wú‘t NSWú‘t `Q..................................................................................................... 11
     4.2 {t N[ùbTJg Q…g,Wú‘\u‰Oá`Qvf ............................................................. 13
     4.3 {t N[ùbTJg Q…QlsN¤ `QvN yf ......................................................................... 14
     4.4 {t N[ùbTJg Q…Wú‘bDVueTN ~éhs°vf ......................................................... 15
     4.5 {t N[ù[‰mN0 R8^ W:SLN pv{‰Ug ......................................................... 15
     4.6 {t NQ…è Qsg,Wú‘v[z=h8]O\`Q......................................................................... 15
     4.7 {t N[ùbTJg Q…Wú‘0P     4.8 {t N[ùbTJg Q…Wú‘)mR ‘MQvf ......................................................................... 17
     4.9 {t N[ùO ^ NRb@QúQw—^ Q[bTJb@m‰vQsNyvf ..................................... 17
     4.10 bTJg Q…{t N[ùg,Wú‘ g Nepb Wú‘D§QP§5 bX{NbTJ......................................................................................................................................... 18
     5.1 bTJg Q…g,Wú‘X{Nu‰Oá`QXf ............................................................................. 18
     5.2 bX{N[ùbTJg Q…g,Wú‘D\u‰Oá0 QP<{— R)mR ‘MI`Qvf ..........18
     5.3 bX{N[ùg,^t^bTJN-"Oá`o{IQ…[vw [ QxnT[etSha ‰............................ 18
§6 [bTJ............................................................................................................................................. 19
     6.1 [bTJWúg,Oá`o..................................................................................................................... 19
     6.2 [bTJvWúg,Q…[................................................................................................................. 19
§7 ^t^"bh..................................................................................................................................... 23
     7.1 D§P:h................................................................................................................................. 23
     7.2 R)mh........................................................................................................................................ 24
     7.3 b@g gCv Wú‘P< SR¨h............................................................................................. 25
     7.4 bh–Dè.................................................................................................................................... 26
§8 bDT bTJ..................................................................................................................................... 49
     8.1 gg+ Wú‘D§~T `Q............................................................................................................. 49
     8.2 gg+ c LN R |{vhbDT ............................................................................................. 49
     8.3 gg+ c QlQAN÷P     8.4 bTJg Q…hbDT v‘'SR¨......................................................................................... 50
     8.5 gg+ c P:R8TyR |{vP:R8bDT ..................................................................................... 52
     8.6 gg+ c QlQAN÷P     8.7 gg+ c QlQAN÷P                                                                {, 3 u Qq64 u
                                                                                         SNlgt^N N-\ vETFT2018^t^t^bTJ


     8.8 bTJgg+ c QlQAN÷P     8.9 gg+ c QlQAN÷P     8.10 gg+ c QlQAN÷P     8.11 bTJgg+g, Wú‘D g '¤ `Qf ................................................................... 52
     8.12 bTJgg+g, Wú‘DVP:g '¤ `Qf ................................................................... 52
     8.13 bDT bTJ–Dè................................................................................................................... 52
§9 Wú‘ g NOá`o.......................................................................................................................... 54
     9.1 gg+ Wú‘ g Nb7epSc g N~g................................................................................. 54
     9.2 gg+ Wú‘t NvNNN TXc gg, Wú‘`Q..................................................................... 54
     9.3 gg+ Wú‘t NvNNN TXc gg, _ e>_ Wú‘`;‘:v`Q................................. 54
§10 _ e>_ Wú‘SR¨...................................................................................................................... 55
§11 ‘'NNcíy:.................................................................................................................................. 56
     11.1 Wú‘ g NY'O Q....................................................................................................... 56
     11.2 Wú‘t N0 Wú‘X{NvN èWú‘X{èèv‘'NNSR¨....................................... 56
     11.3 m‰SWú‘t N0 Wú‘"§ Wú‘X{N Rv........................................................... 56
     11.4 Wú‘DVueve9S............................................................................................................... 56
     11.5 N:Wú‘L[vO ^ NRb@`Q................................................................................... 56
     11.6 {t N0 bX{NSQv~§{t NTXS×z=gb Y Z{I`Q................................................... 56
     11.7 Wú‘u(R8QlSN¤ SUQCvg Qs`Q............................................................................... 56
     11.8 QvN‘'NN........................................................................................................................... 58
§12 _qTbDQ{VvQvN‘‰á`o.................................................................................................... 63
     12.1 bTJg Q…SUN bDc g Wú‘kO0b …0%v`Q........................................ 63
     12.2 _qTbDQ{VvQvN‘‰á`o........................................................................................... 63
§13 Y geNv_U................................................................................................................................... 64
     13.1 Y geNv_U........................................................................................................................... 64
     13.2 [Xe>W0p.................................................................................................................................. 64
     13.3 g–e_ .................................................................................................................................. 64




                                                              {, 4 u Qq64 u
                                       SNlgt^N N-\ vETFT2018^t^t^bTJ


                       §2 Wú‘N
2.1 Wú‘úg,`Q
Wú‘ y                  SNlgt^N N-\ vN¤ W_ e>_ c epR8bDú‘
                         TWú‘
Wú‘y                   SNlgt^N N-\ vETFT
Wú‘;Nx                 460220
Wú‘\e_                 YQ~W_ e>_
Wú‘T u eHe             2011^t1g 26e
Wú‘t N                 SNlgt^Wú‘t g –PlS
Wú‘X{N                 N-V”Lg –PlS
bTJgg+ Wú‘`;           57,972,321.13N
Wú‘T [X~íg            N [g


2.1.1 vh Wú‘úg,`Q
Wú‘ y                N N-\ vN¤ W_ e>_ c epR8bDú‘
Wú‘;Nx               510220
Wú‘\e_               N¤ W_ e>_
Wú‘T u eHe           2011^t1g 26e
Wú‘ ^ vR8N¤ b@      N mwR8N¤ b@
N ^ eg                 2011^t3g 28e
Wú‘t NT y            SNlgt^Wú‘t g –PlS
Wú‘X{NT y            N-V”Lg –PlS


2.2 Wú‘§Tf
bDh                      }'[* ~ékúQ B*Oy^S*]
                         vg \ S 0
bDVue                    g,Wú‘:SNlgt^N N-\ vETFvTWú‘ SNl
                         gt^N N-\ vETFf/‘([QhY R6l[s°[ùN N-
                         \ vc ep}'[*QhR¨ epWú‘ g,Wú‘;‰
                         DSNlgt^N N-\ vETF[s°[ùN ~ékú
                         Qv}'[* W(bD\ N- g,Wú‘ W(~ü
                         T QT ‰ –i eHs0 b g,{IVà} vWúx@N  Q
                         [‘(N ~§ W:u3-N Vve_ b N~§ W:NpSVve
                         _ [ùSNlgt^N N-\ vETFLbD
N ~ékúQ                N N-\ vc ep × 95%  ”Lm;g [Xk>z T e6vs
                         × 5%
–i6vry_                 g,Wú‘:SNlgt^N N-\ vETFvTWú‘ ‘(
                         N;‰DNN-\ vN¤ W_ e>_ c epR8bDú
                         ‘s°[ùN ~ékúQv}'[* Vàkd g,Wú‘
                         N ~éhs°NN N-\ vc epvhs°[R vQs0 g,Wú‘
                         v–i e6vl4^sNm÷ WWú‘ P:R8WWú‘ '
                         ^^ W:Wú‘


2.2.1 vh Wú‘§Tf
bDh                      }'[* vc ephs° B*Oy^T*]
                         vg \ S 0
bDVue                    g,Wú‘‘S[QhY R6l Ss[Qhc qgh vc epvb N
                         b SQvgC‘^úWú‘hbDT  ^vh9cnh v
                         c epb NQvgC‘SR¨Lv^” et0 OFW(Vàry
                       {, 5 u Qq64 u
                                             SNlgt^N N-\ vETFT2018^t^t^bTJ


                                k`Q YmAR¨`'N  [üàl_— ep‘
                                yhe Wú‘t N\ (QvNT t vbDlg^úg,
                                Wú‘[–EDT  B\=S4 h c epvh
                                s°
N ~ékúQ                       N N-\ vc ep
–i6vry_                        g,Wú‘^NhWWú‘-vc epWWú‘ hg ONN
                                OMN:95% ^v‘([QhY R6vR¨ bDVue N e
                                —b v[ùNm÷ Wú‘ P:R8Wú‘ '^ W:Wú‘
                                  Qv–ie6v \^NhWWú‘-–i
                                e6vvN§T SN e—b v[ùN‘(bh7Y R6vc
                                epWWú‘  Qv–ie6vry_ f h vc ep
                                Oc Wúg,N 


2.3 Wú‘t NTWú‘X{N
          yv                     Wú‘t N                      Wú‘X{N
T y                      SNlgt^Wú‘t g –PlS         N-V”Lg –PlS
 Oá`ob—2# YT           –HV                         sl8l
       N     Tu5         021-38601777                 010-66594896
             u5[P±      cs4008880001@huatai-pb.com   fcid@bankofchina.com
[b7g Ru5                 400-888-0001                 95566
O w                      021-38601799                 010-66594942
lèQW0W@                 N mw^ mfN e°S:l u 199_
                                                      S N^ ‰S:Y QtèQ…Y'W1S÷
                         N mwY'N”S^W:1S÷17\B
RQlW0W@                  N mw^ mfN e°S:l u 199_
                                                      S N^ ‰S:Y QtèQ…Y'W1S÷
                         N mwY'N”S^W:1S÷17\B
? x                      200135                       100818
l[NhN                    >                            –Hn


2.4 Oá`ob—2_
g,Wú‘[vOá`ob—2~T y            N-VR8b0 N mwR8b0 R8eb
v{}ú‘t^bTJkcev{t NN’TQQ
                                  http://www.huatai-pb.com
W@
Wú‘t^bTJY nW0p                  Wú‘t NSWú‘X{NOOb@


2.5 QvNvQsD
     yv                     T y                           RQlW0W@
O ^ NRb@         fnSNl8S-Y)O ^ NRb@ ryk        N-VN mw^ fS:nVnè02S÷
                 fnT O                         \UO N ^W:2^§fnSNl8S-_11i|
lèQv{°g:g                                    N mw^ mfN e°S:l u 199_ Y'
                 SNlgt^Wú‘t g –PlS
                                               N”S^W:1S÷i|17\B




                             {, 6 u Qq64 u
                                                    SNlgt^N N-\ vETFT2018^t^t^bTJ


            §3N;‰"c h 0 Wú‘P3.1 N;‰epcnT"c h

                                                                     ‘SUOM Nl ^ QC
 3.1.1 g epcnTc h                    2018^t                2017^t              2016^t
 g,g ]ò[s°e6v                 -271,375.48             26,414.90         -250,072.71
 g,g R)m                     -15,010,045.91          3,528,302.16       -2,218,805.70
 R gC^sWGWú‘g,g R)m               -0.2627                0.0735             -0.2080
 g,g R gC^sWGQP g,g Wú‘QP 3.1.2 gg+ epcnTc h                2018^tg+              2017^tg+            2016^tg+
 gg+ SOR ‘M)m                -8,409,584.77          6,632,153.34          239,315.09
 gg+ SOR ‘Mú‘R)m                 -0.1451                0.1177              0.0226
 gg+ Wú‘D§QP<              49,562,736.36         62,976,910.40       10,828,348.47
 gg+ Wú‘QP<                        0.8549                1.1177              1.0230
 3.1.3 }/gg+ c h                   2018^tg+              2017^tg+            2016^tg+
 Wú‘}/QP

lè 10 N ú‘ ~éc h N S bìc g N¤- N¤ Wú‘T y9( Qe9(T [–E6vl4^s

‰NNb@R ep[W0

20 g,g ]ò[s°e6vc Wú‘,g R)`oe6Qe0 bD6v0 QvNe6Qe N T+QlQAN÷P
vQs9(T vOY g,g R)mN:g,g ]ò[s°e6vR N g,g QlQAN÷P
30 [ùgg+ SOR ‘M)m ‘(gg+ D§P:hN-g*R ‘M)mN g*R ‘M)mN-]ò[s°è v[pON

ep0

3.2 Wú‘P3.2.1 Wú‘QP
                          NQP<       N ~ék N ~ékú
             NQP<
      –6                 Xsh        WúQe6v Qe6vsh           $` $b          $a $c
             Xs$`
                           Q]$a         s$b   Q]$c

 NN* g          -11.12%     1.57%     -11.17%       1.59%            0.05%     -0.02%
 QmN*g          -14.15%     1.36%     -15.38%       1.38%            1.23%     -0.02%
  N ^t          -23.51%     1.25%     -26.01%       1.28%            2.50%     -0.03%
  N ^t          -31.88%     1.23%     -34.45%       1.26%            2.57%     -0.03%
  N”^t          20.24%     1.60%      15.66%       1.62%            4.58%     -0.02%
 êú‘T
                -14.51%     1.49%      -4.76%       1.52%           -9.75%     -0.03%
 u eHwó


3.2.2 êú‘T    u eHNgeWú‘}/QP       vsSR¨vk


                                    {, 7 u Qq64 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJ




lè 10 Vy:eg N:2011^t1g 26eó018^t12g 31e




                               {, 8 u Qq64 u
                                              SNlgt^N N-\ vETFT2018^t^t^bTJ


3.2.3 N”^tWú‘^tQP



3.3 N ^tWú‘R)mR ‘MQ

lè g,Wú‘,bTJg Q…g*LR)mR ‘M




                              {, 9 u Qq64 u
                                             SNlgt^N N-\ vETFT2018^t^t^bTJ


                           §4 {t NbTJ
4.1 Wú‘t NSWú‘t `Q
4.1.1 Wú‘t NSQv{t Wú‘~
   g,Wú‘t NN:SNlgt^Wú‘t g –PlS0 SNlgt^Wú‘t g –PlSf/~N-VvO by

Q N2004^t11g 18eb zvT Dú‘t QlS lèQD,N:2NQCNl ^ 0 vRMv gb N:

SNlR8g –PlS0 gt^bD –P#QlS SAIGGIC T]e°S:e°bg/N§Ng –P

QlS QúDORR+ N:49%0 49%T2%0 vRMQlSe× {t SNlgt^vNN- Vm÷ WR8bDú

‘ SNlgt^‘WXTz3g,XR)P:R8WR8bDú‘ N ~R)N¤ W_ e>_ c epR8bDú‘

SNlgt^yg m÷ WR8bDú‘ SNlgt^N÷P
^ W:R8bDú‘ SNlgt^LN QHm÷ WR8bDú‘ SNlgt^‘ QHLm÷ WR8bD

Wú‘ SNlgt^Nm2[üO N m÷ WR8bDú‘ N N-\ vN¤ W_ e>_ c epR8bDú

‘ SNlgt^N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘ SNlgt^Oáu(XR)P:R8W

R8bDú‘ SNlgt^lm300N¤ W_ e>_ c epR8bDú‘ SNlgt^lm300N¤ W_ e>_

c epR8bDú‘TWú‘ SNlgt^z3Pee6vP:R8WR8bDú‘ SNlgt^‘ X_:m÷ W

R8bDú‘ SNlgt^N0v~P:P:R8WR8bDú‘ SNlgt^[c[c~P:R8WR8bDú‘

SNlgt^R e°SG~§m÷ WR8bDú‘ SNlgt^N0lGP:R8WR8bDú‘ SNlgt^‘ O 

pum;‘Mnm÷ WR8bDú‘ SNlgt^R e°R¨Rum;‘Mnm÷ WR8bDú‘ SNlgt^‘

qR¨pum;‘Mnm÷ WR8bDú‘ SNlgt^yg hWR8bDú‘ SNlgt^e°R)pum;

‘Mnm÷ WR8bDú‘ SNlgt^N-500N¤ W_ e>_ c epR8bDú‘ SNlgt^N-500

N¤ W_ e>_ c epR8bDú‘TWú‘ SNlgt^m9 pum;‘Mnm÷ WR8bDú‘ SN

lgt^‘ fzagpum;‘Mnm÷ WR8bDú‘ SNlgt^Pe^ m;pum;‘Mnm÷ WR8bDú

‘ SNlgt^‘ ~[ùe6v{Vue[g _ e>m÷ WSw R8bDú‘ SNlgt^N¤ W'^              W:

                                                        pum;‘Mnm÷ W
Wú‘ SNlgt^N-VR62025pum;‘Mnm÷ WR8bDú‘ SNlgt^oR±R¨R

R8bDú‘ SNlgt^|Vbpum;‘Mnm÷ WR8bDú‘ SNlgt^‘ [ùQz3Pee6v[

g _ e>m÷ WSw R8bDú‘ SNlgt^Y)m['^           W:Wú‘ SNlgt^Y {Vuepum;‘Mnm÷

T WR8bDú‘ SNlgt^wR)pum;‘Mnm÷ WR8bDú‘ SNlgt^e°~mNln/mpum;‘M

nm÷ WR8bDú‘ SNlgt^ R)pum;‘Mnm÷ WR8bDú‘ SNlgt^NR)pum;‘Mnm÷

T WR8bDú‘ SNlgt^QtR)pum;‘Mnm÷ WR8bDú‘ SNlgt^N÷P<|30pum;‘Mn

m÷ WR8bDú‘ SNlgt^‘ R O pum;‘Mnm÷ WR8bDú‘ SNlgt^u riS;opum;

‘Mnm÷ WR8bDú‘ SNlgt^[R)pum;‘Mnm÷ WR8bDú‘ SNlgt^‘ –? lpu

                            {, 10 u Qq64 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJ


m;‘Mnm÷ WR8bDú‘ SNlgt^n/‘ pum;‘Mnm÷ WR8bDú‘ SNlgt^b ue

e°QtN§Nm÷ WR8bDú‘ SNlgt^e°‘W0N§pum;‘Mnm÷ WR8bDú‘ SNlg

t^MSCIN-VA–EN¤ W_ e>_ c epWú‘ SNlgt^VO etT |m÷ WR8bDú‘ SN

lgt^S;u—Pe^m÷ WR8bDú‘ SNlgt^s°Ng RN m÷ WR8bDú‘ SNlgt^MSCI

N-VA–Ec epWú‘TWú‘ SNlgt^N-~R)ONlR¨N¤ W_ e>_ c epR8bDú‘

b*ó018^t12g 31e QlSWú‘t ‰!N:980.05NQC0

4.1.2 Wú‘t  b Wú‘t \ ~ SWú‘t Rt {N
                    Ng,Wú‘Wú‘t  R            R8NN
  YT        L                                              f
                            t  g –P             ^t–P
                    NLg              yNeg
                                                         17^tR8 Wú‘ NN ~
                                                         S Y eY'[f"{t xU
                                                         X 2000^tó001^tW(N
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                                                         ó004^tNSN[‰Wú‘t
                                                         g –PlS~§Wú‘8{—
                                                         TX 2004^t7g w Qeg,
                                                         QlS SNWú‘Rè;
                                                         v0 Wú‘t Rt 0 2009
                                                         ^t6g wSNlgt^ S
                                                         SNl N ~R)N¤
                                                         W_ e>_ c epWú‘ú‘
                                                         t 0 2010^t10g wc ep
                                                         bDèo`;v0 2011^t1
                                                         g wNN N-\ vETF
                                                         SSNlgt^N N-\
                                                         vETFTWú‘ú‘
                                                         t 0 2012^t5g wNSN
          c epbD                                         lgt^lm300ETFSSNl
          è;v0   2011^t1g 26                            gt^lm300ETFTWú‘
góQ                             -               17^t
          g,Wú‘ e                                      Wú‘t 0 2015^t2g w
          Wú‘t                                         Nc epbDè;v0 2015
                                                         ^t5g wSNlgt^N-
                                                         500 ETFSSNlgt^N-
                                                         500ETFTWú‘Wú‘
                                                         ~t 0 2018^t3g ó018
                                                         ^t11g NSNlgt^&R)pu
                                                         m;‘Mnm÷ WR8bDú
                                                         ‘SNlgt^R)pum;‘M
                                                         nm÷ WR8bDú‘
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                                                         ó018^t10g NSNlgt^
                                                         lR)pum;‘Mnm÷ WR8
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                                                         gt^MSCIN-VA–E
                                                         N¤ W_ e>_ c epR8b
                                                         Dú‘Wú‘t 0 2018
                                                         ^t10g wSNlgt^MSCI
                                                         N-VA–EN¤ W_
                                {, 11 u Qq64 u
                                                     SNlgt^N N-\ vETFT2018^t^t^bTJ


                                                          e>_ c epR8bDú‘T
                                                          cWú‘Wú‘t 0 2018
                                                          ^t12g wSNlgt^N-
                                                          ~R)ONlR¨N¤ W_ e>_
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                                                          Oá`obg/g –PlS‘ N§
                                                          T^ 0 2015^t4g R
                                                          QeSNlgt^Wú‘t g –P
            g,Wú‘
                      2017^t11g 9                         QlS Nc epbDè zv
gN[]SN      Wú‘t                   -             6^t
                      e                                   TX0 2017^t11g wSNl
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                                                          ~R)N¤ W_ e>_ c ep
                                                          R8bDú‘ N N-\ v
                                                          N¤ W_ e>_ c epR8b
                                                          Dú‘N N-\ vN¤
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                                                          ‘TWú‘Wú‘t R
                                                          t 0
lè R8NN vT+NIuLN SOO 0 R8NNNN                 TXD<{t Rl0 vvQs‰0 NLg Ty

Neg c Wú‘t QlSO\QúQ[NKe0

4.2 {t N[ùbTJg Q…g,Wú‘\u‰Oá`Qvf
   g,bTJg Q… g,Wú‘t NN%h
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v0 Wú‘T   0 v~[ W(N%h
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[XW(c_[Wú‘ g NR)vvLN:0

4.3 {t N[ùbTJg Q…QlsN¤ `QvN yf
4.3.1 Ql^sN¤ R6^Tc§R6el
   bTJg Q… g,Wú‘t Nh9cn0 R8bDú‘t QlSQl^sN¤ R6^c [üa ‰ v‰B ^ú

zNy[f[UvQl^sN¤ {t R6^ NNRM0 NN-TNT {IsN%h
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T ‰'0 g eH`'ST t `'Lrìz[h8 [ùNW:Q…N¤ v—^T c NT/u(bDt |~N-vQl^s

N¤ j!WW [ùNW:Y N¤ c qgeO QHN÷h
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e0 5 e)LR g ~üT R$e-T Wú‘Kf/T&[XW(N Ql^sN¤ b R)v“vS xnOQl^sN¤

f v[e0
                                    {, 12 u Qq64 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJ


4.3.2 Ql^sN¤ R6^vbgL`Q
    g,bTJg Q… QlS\ bDt L f bgLL[Qh–” [L–-N¤ R6^ u1N¤ è

N:QlRWú‘ N b7t "mwY bDIN R~NN¤f g R N:Ql^sN¤ v[ecON}vO–

vRMQlSQlRWú‘ N b7t "mwY bD RvWú‘t N [XW(Q|NQv[bDt èèN Rv`

Q N T N R|{R+vbDt NKN’N^rbp rìzPZQúbD{V0 QlSg:gnT t  Ql^sN¤

vvQs{t R6^PeQh bD{VmAz [U T yR6^bgL`QoY}0 N¤ N÷]R ghf QlSe×

T Wú‘G_—R0NQl^s[ù_… N [XW(—^l^sN¤ TR)v“vLN:0 ~ùN T Wú‘KN¤ vT

R8evTT      N¤ N÷]LR gSs° bTJg Q…Wú‘KvNpSVN¤ N÷]`;OSN Y Nkc^8vT t

l4^s0

4.3.3 _ ^8N¤ LN:vN yf
    g,Wú‘t Nh9cn0 _ ^8N¤ vc§ {t Rl0 [ùbD¤  N-Su v_ ^8N¤ LN:

LvwcT{t 0 bDè #ù_ ^8N¤ LN:LNRMR+Thg N¤ è#ù_ ^8N¤ LN:

vNN-vwcTc§R6 –it è_ ^8N¤ O0\ ~# ^8N¤ LN:vNT [gTO00 g,b

TJg Q… R6^bgL`QoY} eàW(N~§ W:/W(Y'[—N¤ b N ~§ W:u3-IN¤ N- WG

lg Ss°_qTR8N÷h


    g,bTJgg, Wú‘ QlSb@{t vQvNbDT lg SNN¤f b@Ql_ zN÷SU¤ ‘…

R8_Seb N¤‘5%vT eST N¤ 0

4.4 {t N[ùbTJg Q…Wú‘bDVueTN ~éhs°vf
4.4.1 bTJg Q…Wú‘DVueT\R g
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R W(VQ…‘Sg`gFNSN-8 b –4qv{
1000TR N gc RR+ N 6.96%0 25.31%0 33.32%0 36.87%T28.65%0 N^ W:etOSh
Qwg R ~vONO0P
eàN _U_—kce6v QvN-O òg RT”LgWWhs°v[ù 0

    b NìN%h
D g,bTJg Q… g,Wú‘}/*OyN:2.403% eWG~[ù*Oy^N:0.030% g e*

]N:0.038% }W0[s°Ng,Wú‘bDh 0




                                {, 13 u Qq64 u
                                                SNlgt^N N-\ vETFT2018^t^t^bTJ


4.4.2 bTJg Q…Wú‘N ~éhs°
   b*ó,bTJgg+g, Wú‘QP
~ékúQe6vsN:-26.01%0

4.5 {t N[ù[‰mN0 R8^ W:SLN pv{‰Ug
   \Ug 2019^t A W:W(~S2018^tvY'^E etNT           PETPB{IO0P
SSòONOM ^ W:]ò~Y N^è:W b Nì¤N:_SN ^ W:]òQER QeY è8 sX`vS 0 VQ…~mN

N L[üN ^ QlSN ~éN n{IN R)Và}  bDSN[ù_SRMh^ W:Oc _SNP‰ Sbég:R

Y'[ùgCv|{D§v‘Mn0 vRMA W:V–E  NW(c ~í MSCISs\ Ql^ f/T&\ AQeVà[P

N5%cR020%vQ[ N ~gYOU b Nì¤N:A W:V–E vN O e9S0 h9cnN_~

 Y DN:POY}N ~éoY}N Qwg R ~vY'v{y  POY}gg               ~~í_qTw@^ W:vh<

bé W(vRM^ W:–iOY}Nv[ùNvoN  {Qwg R ~vY'v{y \ ~~í_—…

^ W:ve6v0

   g,Wú‘ ~~íN%h
Wúg,N bDb0

4.6 {t NQ…è Qsg,Wú‘v[z=h8]O\`Q
   2018^t^ g,Wú‘t NW(N:Wú‘ g N lBg Y'R)vvT e Y~\ T ‰\0 –2

–iO\e>W(T y]O\v–OM0 OqgQlSQ…è§R6vetOS‰B ~~íNQ…c§g:R6v[U R

_:Q…è–ic§R6N –2  xnOT yl‰{t R6^v=[ OWú‘T             _—R0N%h<\eL0 QlS

v[èèc qg‰vgC–Pz ^ evc§ s°W:hg0 ‘bgTNTX{Iel rìz

W0_ \UWú‘\TQlS{t vT ‰'z=h8 Ss°SecQúe9ú^vwcON RèèLet

e9 T e[g T cNTQlS{t \BQúQwv[z=h8bTJ0

   g,bTJg Q… Wú‘t NQ…è[z=h8N;‰O\YN 

    1 Qh—b \UWú‘\T ‰[]O\ xnOWú‘Drìz`'0 Ql^s`'ST lT ‰

   N;‰eg  N%h
b  [ùWú‘D¤ |~LNQHT ‰'n ^vu1–i§R6èèL[evc§ g\~Qús°‰

LN: N%h
NbD\ubD{Vz ^NN             RmAz  ONWú‘DT {&T vQsl‰Wú‘T               ‰

[ xnONWú‘DLN:vrìz0 Ql^sST lT ‰

    2 _ \U[g TN yv[z=h8]O\ xnOT yN Rm;R¨vT lT ‰



                               {, 14 u Qq64 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJ


    g,^t^QlSv[z=h8èè_ \UN[ùQlSWú‘D x zv0  U.0 T S%0 Sm ”±Ie—b

N yv[z=h8m;R¨ [ùz=h8N-Ss°SeSQúT ‰y:Q ‰BvQsèè–P ete9 ^v[ùe9

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     3 OlST yQ…èt R6^v[U

    c qgvQsl‰ vO {Iv{g:QsvvQs‰TQlSN RvS\Uv‰B QlSl_v[è

e‰BT èèR6b Oe9v^”R6^ OlST yQ…èt R6^v ke[U0

     4  yT ‰ù-cTX]T ‰ 

    g,^t^QlSv[z=h8èèùQlSb@g e°QeLX]LQeLMT ‰ù-0 [ùQhOSNTX_ \U

LN:‰ Wù-0 [ùWú‘Dt NTXLN yT ‰ù-0 [ùTX]LSm ”±ù-{I g eHcN

QlSTX]vT ‰ 0

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T ‰ W(NT v]O\N- g,Wú‘t Nbú\ N Ye_vg,w@[Oáu(0 RR\=#SR {t T

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N lBg Y'R)v0




4.7 {t N[ùbTJg Q…Wú‘0P    g,bTJg Q… Wú‘t NN%h
O0P<~gbbX{”LY h8T [ùY b—2 SN O0P
zv0 –i§R60 ‘]z TWú‘Rèè# Wú‘t N SN O0P
O\~SWGW(N”^tNN 0 SN T eNKN [XW(NOU‘'R)vQz ]ò‘(vO0P
N÷ RWGgeêìz{,N e0

4.8 {t N[ùbTJg Q…Wú‘)mR ‘MQvf
    h9cnWú‘T   v‰ W({&T g QsWú‘ ~gaNvRMcN  Wú‘^te6vR ‘M!epg Y N:12

k! kNWú‘kk!R ‘MON _—ONNe6vR ‘MúQekNWú‘SOR ‘M)mv10% 

Wú‘T     u eHN ná3N*g  SN Le6vR ‘M b*ó,bTJgg+  g,Wú‘*LR)mR ‘M

4.9 {t N[ùO ^ NRb@QúQw—^ Q[bTJb@m‰vQsNyvf
    eà0

4.10 bTJg Q…{t N[ùg,Wú‘ g Nepb Wú‘D§QP    lè eà0

                                {, 15 u Qq64 u
                                             SNlgt^N N-\ vETFT2018^t^t^bTJ


                           §5 bX{NbTJ
5.1 bTJg Q…g,Wú‘X{Nu‰Oá`QXf
   g,bTJg Q… N-V”Lg –PlS NN y         g,bX{N    W(SNlgt^N N-\ vN¤ W

_ e>_ c epR8bDú‘TWú‘ NN y     g,Wú‘  vbX{ N- N%h
‘0 SQvNg Qsl_l‰ Wú‘TT    bX{SOvg Qs‰ N [XW(c_[Wú‘ g NR)v

vLN: [Qh\=L=#0\eLN^”\=vNIR0

5.2 bX{N[ùbTJg Q…g,Wú‘D\u‰Oá0 QP<{— R)mR ‘MI`Qv
   f
   g,bTJg Q… g,bX{Nh9cn0 R8bDú‘0 SQvNg Qsl_l‰ Wú‘TT         bX{SO

v‰ [ùg,Wú‘t NvbD\LN_‰vwc [ùWú‘D§QP
NN÷h
N g NR)vvLN:0

5.3 bX{N[ùg,^t^bTJN-"Oá`o{IQ…[vw [ QxnT[etSha ‰
   g,bTJN-v"c h 0 QP
‘]Qw–i{t      è g*W(bX{NY h8 VQ… 0 bDT bTJ{Iepcnw [ QxnT[et0




                            {, 16 u Qq64 u
                                           SNlgt^N N-\ vETFT2018^t^t^bTJ


                             §6 [bTJ
6.1 [bTJWúg,Oá`o
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                             f/
[a ‰{W                      h QeàOuYa ‰
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6.2 [bTJvWúg,Q…[
[bTJh                [bTJ
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[a ‰                (N )b Nì[vQ…[
                     b Nì[NSNlgt^N N-\ vN¤ W_ e>_ c epR8bDú‘
                     TWú‘NN {y N N-\ vETFTWú‘ )v"bh S
                     bì2018^t12g 31evD§P:h 2018^t^vR)mhTb@g gC
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{t \BTlt \B[ù"bhv N N-\ vETFTWú‘Wú‘t NSNlgt^Wú‘t g –Pl
#                    S(NN {y      Wú‘t N   ){t \B# qgO N O QR TN-
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                     RdO\ R6"bh OQv[s°QlQASf  ^v0 bgLT~b¤
                     _‰Q…è§R6 NO"bhN [XW(u1N _ b  [ü‘
                     Y' b0


                     W( R6"bhe Wú‘t N{t \B#O0N N-\ vETFT
                     cWú‘c ~í~% b—2 c ~í~%vQsvNy(Yu()
                     ^v(c ~í~%PG –d—^ú‘t N{t \BR n {— N-\
                     vETFTWú‘ ~kb%b R+eàQvNs°[vbé0



                          {, 17 u Qq64 u
                                          SNlgt^N N-\ vETFT2018^t^t^bTJ


                   Wú‘t Nlt \B#wcN N-\ vETFTWú‘"bTJ
                   z 0


lèQO ^ [ù"bh[v b Nìvvh f/[ù"bhetOSf/T&N [XW(u1N _ b  [ü
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                   "bhO\Qúv~mNQ{V R ^8¤N: bf/‘'v0


                   W(c qg[QR bgL[]O\v N- b Nì(L R$e- ^v
                   Oc L ` u‘ T e b NìN_bgLNN ]O\


                   (N )R+TO0u1N _ b  [ü"bh‘' b–i
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bTJb*kbe      2018^t12g 31e

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                                                g,gg+                    N ^t^g+
            DN§          –DèS÷
                                            2018^t12g 31e             2017^t12g 31e

DN§

”L[Xk>                  7.4.7.1                       2,991,818.85        3,103,089.78
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                                                           1,153.52              961.47
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N¤ `'‘D§              7.4.7.2                      46,653,857.60       59,950,005.57
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                                                      46,629,100.00       57,711,286.07
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                                                           5,464.04                   -
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^”e6R)`o                7.4.7.5                             654.26            3,969.38
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                                              49,654,492.62       63,062,927.90
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                                                  91,756.26           86,017.50
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                             {, 22 u Qq64 u
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                                                       49,562,736.36          62,976,910.40
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       Wú‘D6v                      7.4.7.13                  -13,304.03            18,731.48
       P:R8bD6v                      7.4.7.14                      213.00                97.00
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                                                             119,040.53           149,461.42
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1   {t Nb‘l                         7.4.10.2.1               20,751.22            18,949.72
2   bX{9                             7.4.10.2.2                4,150.21             3,789.99
3    U.g R9                          7.4.10.2.3                       -                    -
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                               {, 28 u Qq64 u
                                                  SNlgt^N N-\ vETFT2018^t^t^bTJ


7.4.7.2 N¤ `'‘D§

                                                                      SUOM Nl ^ QC
                                               g,gg+
        yv
                                           2018^t12g 31e
                        b g,               QlQAN÷P<              QlQAN÷P h                        23,776.59             24,757.60                    981.01
 5‘^bD‘¤b@
                                  -                        -                      -
 ‘ ~
 P:R8 N¤ b@^ W:                  -                     -                         -
       ”L^ W:                    -                     -                         -
       T                          -                     -                         -
 D§e/c R8                        -                     -                         -
 Wú‘                59,755,533.27         46,629,100.00            -13,126,433.27
 QvN                              -                     -                         -
        T             59,779,309.86         46,653,857.60            -13,125,452.26
                                              N ^t^g+
        yv
                                           2017^t12g 31e
                       b g,                QlQAN÷P<              QlQAN÷P h                    1,988,137.00           1,990,254.50                   2,117.50
 5‘^bD‘¤b@                    -                      -                          -
 ‘ ~
 P:R8   N¤ b@^ W:       248,485.00               248,465.00                 -20.00
        ”L^ W:                   -                        -                      -
           T             248,485.00               248,465.00                 -20.00
 D§e/c R8                        -                        -                      -
 Wú‘                56,100,165.40            57,711,286.07           1,611,120.67
 QvN                              -                        -                      -
 T                    58,336,787.40            59,950,005.57           1,613,218.17



7.4.7.3 Mu ‘D§/P:
lè b*ó,bTJgg+ SN ^t^g+ g,Wú‘*c g Mu ‘D§/P:0

7.4.7.4 NpQe.‘D§
7.4.7.4.1 T yNpQe.‘D§gg+ OY
lè b*ó,bTJgg+ SN ^t^g+ g,Wú‘pQe.‘D§OYN:00

7.4.7.4.2 gg+ Npe-_ V-¤ N-S_—vP:R8
lè b*ó,bTJgg+ SN ^t^g+ g,Wú‘*c g Npe-_ V-¤ N-S_—vP:R80

7.4.7.5 ^”e6R)`o

                                                                       SUOM Nl ^ QC
                               g,gg+                              N ^t^g+
         yv
                           2018^t12g 31e                       2017^t12g 31e
^”e6m;g [Xk>R)`o                               653.71                       684.20
^”e6[g [Xk>R)`o                                     -                            -
^”e6QvN[Xk>R)`o                                     -                            -
^”e6~{— N‘)`o                                     -                         0.55
                              {, 29 u Qq64 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJ


^”e6P:R8R)`o                                      -                  3,284.19
^”e6D§e/c R8R)`o                                 -                         -
^”e6NpQe.R8R)`o                                   -                         -
^”e6u3->R)`o                                      -                         -
^”e6‘ ~bP [s`o                                   -                         -
QvN                                             0.55                      0.44
T                                             654.26                  3,969.38



7.4.7.6 QvND§
lè b*ó,bTJgg+ SN ^t^g+ g,Wú‘*c g QvND§


7.4.7.7 ^”NN¤ 9(

                                                                 SUOM Nl ^ QC
                               g,gg+                        N ^t^g+
          yv
                           2018^t12g 31e                 2017^t12g 31e
N¤ b@^ W:^”NN¤ 9(                  11.55                             567.50
”L^ W:^”NN¤ 9(                         -                                  -
T                                     11.55                             567.50



7.4.7.8 QvNP:

                                                                SUOM Nl ^ QC
                                g,gg+                        N ^t^g+
          yv
                            2018^t12g 31e                 2017^t12g 31e
^”NR8UFN¤ SUQCO‘                              -                         -
^”NN9                                          -                        10.40
        c9(                             90,000.00                    80,000.00
T                                       90,000.00                    80,010.40



7.4.7.9 [e6Wú‘
                                                            ‘SUOM Nl ^ QC

                                                 g,g
            yv
                                     2018^t1g 1eó018^t12g 31e
                              Wú‘ N                    &—b 
N ^t^g+                            56,344,757.06              56,344,757.06
g,g u3-                               3,045,932.60                3,045,932.60
g,g N(N"-"S÷XkR )                   -1,418,368.53               -1,418,368.53
- Wú‘R /Nb{—RM                                -                           -
Wú‘R /Nb{—SR¨N                                   -                       -
g,g u3-                                              -                       -
g,g N(N"-"S÷XkR )                                   -                       -
g,gg+                                57,972,321.13               57,972,321.13
                             {, 30 u Qq64 u
                                                    SNlgt^N N-\ vETFT2018^t^t^bTJ


lè u3-+lbQeN NT+lbQúN

7.4.7.10 g*R ‘M)m

                                                                         SUOM Nl ^ QC
          yv             ]ò[s°è                  g*[s°è           g*R ‘M)mT 
N ^t^g+                      24,961,911.91           -18,329,758.57        6,632,153.34
g,g R)m                        -271,375.48           -14,738,670.43     -15,010,045.91
g,g Wú‘N¤                    719,024.41              -750,716.61          -31,692.20
N§ vSR¨ep
QvN- Wú‘3->                   1,345,914.79           -1,301,073.90         44,840.89
       Wú‘Nk>                  -626,890.38              550,357.29        -76,533.09
g,g ]òR ‘M)m                             -                       -                 -
g,gg+                          25,409,560.84          -33,819,145.61     -8,409,584.77



7.4.7.11 [Xk>R)`oe6Qe

                                                                         SUOM Nl ^ QC
                                   g,g
                                                               N ^t^Skg 
          yv              2018^t1g 1eó018^t12
                                                        2017^t1g 1eó017^t12g 31e
                                  g 31e
m;g [Xk>R)`oe6Qe                        22,901.24                            23,708.56
[g [Xk>R)`oe6Qe                                 -                                    -
QvN[Xk>R)`oe6Qe                                 -                                    -
~{— N‘)`oe6Qe                             34.49                               537.67
QvN                                         31.55                               458.53
T                                       22,967.28                            24,704.76



7.4.7.12 hbD6v
7.4.7.12.1 hbD6vyvgb

                                                                          SUOM Nl ^ QC
                                           g,g                       N ^t^Skg 
     yv                           2018^t1g 1eó018^t12       2017^t1g 1eó017^t12g 31
                                          g 31e                          e
hbD6v             NpSVh]N÷                    15,430.80                      83,004.87
e6Qe
hbD6v             N]N÷e6Qe                              -                           -
hbD6v             u3-N÷e6Qe                   -190,784.82                   34,012.05
T                                              -175,354.02                  117,016.92



7.4.7.12.2 hbD6v               NpSVh]N÷e6Qe

                                                                         SUOM Nl ^ QC
                                             g,g                    N ^t^Skg 
               yv                     2018^t1g 1eó018          2017^t1g 1eó017^t12
                                        ^t12g 31e                     g 31e
SVQúhb N¤`;                                  284,651.80                 2,062,514.52
Q SVQúhb g,`;                                 269,221.00                 1,979,509.65
                                   {, 31 u Qq64 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJ


NpSVh]N÷e6Qe                           15,430.80                         83,004.87



7.4.7.12.3 hbD6v       N]N÷e6Qe
lè g,Wú‘,bTJg Q…SN ^t^Skg eàhN]N÷e6Qe0

7.4.7.12.4 hbD6v       u3-N÷e6Qe

                                                                     SUOM Nl ^ QC
                                   g,g                         N ^t^Skg 
           yv             2018^t1g 1eó018^t12           2017^t1g 1eó017^t12g 31
                                  g 31e                             e
u3-ú‘`;                            3,764,450.00                     46,532,850.00
Q s°‘/Nu3->`;                          6,914.83                     10,325,689.93

Q u3-hb g,`;                         3,948,319.99                    36,173,148.02
u3-N÷e6Qe                            -190,784.82                        34,012.05

7.4.7.13 Wú‘D6v

                                                           SUOM Nl ^ QC
                                  g,g                 N ^t^Skg 
           yv          2018^t1g 1eó018^t12g 31 2017^t1g 1eó017^t12g 31
                                   e                       e
SVQú/NWú‘ N¤`;                    187,005.72              2,477,043.27
Q SVQú/NWú‘ g,`;                   200,309.75              2,458,311.79
Wú‘D6v                                    -13,304.03                    18,731.48



7.4.7.14 P:R8bD6v
7.4.7.14.1 P:R8bD6vyvgb

                                                                     SUOM Nl ^ QC
                                 g,g                           N ^t^Skg 
        yv                2018^t1g 1eó018                 2017^t1g 1eó017^t12
                            ^t12g 31e                            g 31e
P:R8bD6v     NpSVP:                   213.00                                97.00
R8 0 P:lP:R8R0g
QQN ]N÷e6Qe
P:R8bD6v     N]                                 -                                -
N÷e6Qe
P:R8bD6v     u3-                                -                                -
N÷e6Qe
T                                       213.00                               97.00



7.4.7.14.2 P:R8bD6v    NpSVP:R8]N÷e6Qe

                                                                     SUOM Nl ^ QC
                                 g,g                           N ^t^Skg 
        yv                                                 2017^t1g 1eó017^t12
                          2018^t1g 1eó018
                           {, 32 u Qq64 u
                                                                 g 31e
                                                  SNlgt^N N-\ vETFT2018^t^t^bTJ


                                   ^t12g 31e
SVQúP:R8 0 P:lP:                       252,780.00                      355,550.00
R8R0g QQN b N¤`;
Q SVQúP:R8 0 P:l                        248,485.00                     348,285.00
SP:R8R0g QQN b g,`;

 Q ^”e6R)`o`;                              4,082.00                      7,168.00
 NpSVP:R8]N÷e6Qe                             213.00                         97.00



7.4.7.14.3 P:R8bD6v         N]N÷e6Qe
lè eà0


7.4.7.14.4 P:R8bD6v         u3-N÷e6Qe
lè eà0


7.4.7.14.5 D§e/c R8bD6v
lè g,Wú‘,bTJg SN ^t^Skg eàD§e/c R8bD6v0

7.4.7.15 5‘^bD6v
lè g,Wú‘,bTJg SN ^t^Skg eà5‘^bD6v0

7.4.7.16 Mu ]Qwe6v
lè g,Wú‘,bTJg SN ^t^Skg eàMu ]Qwe6v0

7.4.7.17 )e6v

                                                                   SUOM Nl ^ QC
                                       g,g                    N ^t^Skg 
            yv              2018^t1g 1eó018^t12g 31    2017^t1g 1eó017^t12g 31
                                        e                          e
 hbD§ v)e6v                                10,989.07                    9,269.07
 Wú‘D§ v)e6v                                     -                           -
         T                                  10,989.07                    9,269.07



7.4.7.18 QlQAN÷P
                                                                     SUOM Nl ^ QC
                                        g,g                    N ^t^Skg 
           yvT y                2018^t1g 1eó018           2017^t1g 1eó017^t12
                                  ^t12g 31e                      g 31e
 1.N¤ `'‘D§                        -14,738,670.43                   3,501,887.26
       hbD                                  -1,136.49                      2,117.50
       P:R8bD                                   20.00                        -20.00
       Wú‘D                         -14,737,553.94                   3,499,789.76
      D§e/c R8bD                                   -                             -
                                 {, 33 u Qq64 u
                                                   SNlgt^N N-\ vETFT2018^t^t^bTJ


    5‘^bD                                          -                            -
      QvN                                           -                            -
2.Mu ]Qw                                            -                            -
     gCbD                                           -                            -
3.QvN                                               -                            -
Q: ^” ‘UFTQlQAN÷P<                                                            -
                                                    -
    SR¨N§ vO0XPT                                   -14,738,670.43                    3,501,887.26



7.4.7.19 QvNe6Qe

                                                                    SUOM Nl ^ QC
                                      g,g                      N ^t^Skg 
         yv                  2018^t1g 1eó018^t12          2017^t1g 1eó017^t12
                                   g 31e                         g 31e
Wú‘N96Qe                                1,317.96                        3,077.34
lb96Qe                                       37.98                        1,553.47
T                                         1,355.94                        4,630.81



7.4.7.20 N¤ 9(

                                                                   SUOM Nl ^ QC
                                   g,g
       yv                                                      N ^t^Skg 
                        2018^t1g 1eó018^t12g 31
                                                        2017^t1g 1eó017^t12g 31e
                                  e
N¤ b@^ W:N¤ 9(                        2,863.23                          42,864.49
”L^ W:N¤ 9(                                       -                                -
N¤ Wú‘§ v9(                             235.87                         1,964.57
QvN- u3-9                                   223.35                         1,837.62
     N9                                             -                        110.12
             N¤ 9                              12.52                         16.83
T                                         3,099.10                        44,829.06



7.4.7.21 QvN9(

                                                                     SUOM Nl ^ QC
                                  g,g                          N ^t^Skg 
       yv                2018^t1g 1eó018^t12            2017^t1g 1eó017^t12g 31
                               g 31e                               e
[9(                                   60,000.00                          50,000.00
Oá`ob—29                            30,000.00                          30,000.00
”LR k>bK~í9                          1,040.00                           1,892.65
T                                     91,040.00                          81,892.65




                               {, 34 u Qq64 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJ


7.4.8 b g Ny0 D§P:heT Nyvf

7.4.8.1 b g Ny
   lè b*óD§P:he g,Wú‘veà{O\b—2b g Ny0

7.4.8.2 D§P:heT Ny
   lè g,Wú‘veà{O\b—2D§P:heT Ny0

7.4.9 QsTQs|

                QsTT y                              N g,Wú‘Qs|
N N-\ vN¤ W_ e>_ c epR8bDú
                                      g,Wú‘Wú‘t N{t vQvNWú‘
‘     vh ETF   )
SNlgt^Wú‘t g –PlS(     SNlgt^
                                      Wú‘t N0 v{°g:g0 Wú‘ U.g:g
Wú‘ )
N-V”Lg –PlS(         N-V”L   )     Wú‘X{N0 Wú‘ U.g:g
SNlR8g –PlS(          SNlR8    )     Wú‘t Nv 0 Wú‘ U.g:g
PineBridgeInvestmentLLC               Wú‘t Nv
]e°S:e°bg/N§Ng –PlS               Wú‘t Nv
SNlT R8g –P#QlS(         SNlT        Wú‘t Nv SNlR8vc§PQlS0 Wú‘
R8     )                               U.g:g
gt^r1^úD§{t (N mw)g –PlS           Wú‘t Nvc§PQlS
lè N sT¤ WGW(kc^8N R VQ… N ,UFN gak>z0

7.4.10 g,bTJg SN ^t^Skg vQsTN¤
   -


7.4.10.1 sTN¤ SUQCLvN¤
7.4.10.1.1 hN¤
lè g,bTJg SN ^t^Skg g,Wú‘*sTN¤ SUQCLhN¤ 0

7.4.10.1.2 Wú‘¤
lè g,bTJgg, Wú‘ QsTg*LWú‘¤ 0

7.4.10.1.3 gCN¤
lè g,bTJg SN ^t^Skg g,Wú‘ QsTg*LgCN¤ 0

7.4.10.1.4 ^”e/NQsTvOc‘
lè g,Wú‘,bTJg SN ^t^Skg eà^”e/NQsTvOc‘

                                {, 35 u Qq64 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJ


7.4.10.2 QsTb‘l
7.4.10.2.1 Wú‘t 9

                                                                SUOM Nl ^ QC
                                 g,g
                                                         N ^t^Skg 
           yv         2018^t1g 1eó018^t12g 31
                                                  2017^t1g 1eó017^t12g 31e
                                  e
 _Sg Su vWú‘”e/N                  20,751.22            18,949.72
 v{t 9
 QvN- e/N U.g:gv                  22,191.40               25,105.08
 [b7~b¤9
lè g,Wú‘ú‘"§N-Dvh ETFvè N e6S{t 9 e/NWú‘t NSNlgt^Wú‘{

t Nb‘l RMN eWú‘D§QP
ep R S0)v0.50%^t9c e}/ógg                ^ c g e/N0 Qv{—Ql_ N:

e{t Nb‘l (RMN eWú‘D§QP<    Wú‘"§N-h ETFNb@[ù^”vD§QP<) X 0.5% /

_S^tY)ep

7.4.10.2.2 Wú‘X{9

                                                                SUOM Nl ^ QC
                                 g,g
                                                         N ^t^Skg 
           yv         2018^t1g 1eó018^t12g 31
                                                  2017^t1g 1eó017^t12g 31e
                                  e
 _Sg Su vWú‘”e/N                   4,150.21            3,789.99
 vbX{9
lè g,Wú‘ú‘"§N-Dvh ETFvè N e6SbX{9 e/NWú‘X{NN-V]UF”LvbX

{9 RMN eWú‘D§QP
R S0)v0.10%^t9c e}/ógg              ^ c g e/N0 Qv{—Ql_ N:

ebX{9 (RMN eWú‘D§QP<    Wú‘"§N-h ETFNb@[ù^”vD§QP<) X 0.10% / _S^t

Y)ep0

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

7.4.10.3 N QsTL”LT N ^ W:vP:R8(T+V-N¤
lè g,Wú‘,g SN ^t^Skg g*N QsTL”LT N ^ W:vP:R8(T+V-N¤ 0

7.4.10.4 T QsTbD,Wú‘`Q
7.4.10.4.1 bTJg Q…Wú‘t N(Vúg D‘D,Wú‘`Q
lè g,bTJg SN ^t^ Wú‘t Ng*bD,Wú‘



                              {, 36 u Qq64 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJ


7.4.10.4.2 bTJgg+ –dú‘t NNKY vQvNQsTbD,Wú‘`Q
lè g,bTJg SN ^t^ –dú‘t NNKY vQvNQsTg*bD,Wú‘

7.4.10.5 u1QsTO{v”L[Xk>OYS_Sg N§ vR)`oe6Qe

                                                                  SUOM Nl ^ QC
    QsT                     g,g                          N ^t^Skg 
     T y        2018^t1g 1eó018^t12g 31e         2017^t1g 1eó017^t12g 31e
                  gg+ OY        _Sg R)`oe6Qe      gg+ OY        _Sg R)`oe6Qe
N-V”L            2,991,818.85       22,901.24     3,103,089.78        23,708.56
lè g,Wú‘”L[Xk>u1Wú‘X{NN-V”LO{ c ”LT N R)s`o0


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(2017^t12g 31e {,N \Bk!59,594,717.07 QC {,N\Bk!355,288.50 QC eà{,N \Bk!)0



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



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

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

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


       (iii)   {,N \Bk!QlQAN÷P
       eà0



       (c)    —^ ~ívNQlQAN÷P<‘‘]Qw

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

T )0



       (d)    NN QlQAN÷P<‘‘]Qw

                                     {, 45 u Qq64 u
                                             SNlgt^N N-\ vETFT2018^t^t^bTJ


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


   (2)–dlQAN÷P



                            {, 46 u Qq64 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJ


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

^S÷              yv                                 ‘                S`Wú‘;D§v
                                                                         kO %
  1     gCvbD                                              24,757.60             0.05
        QvN- h                                             24,757.60             0.05
  2     Wú‘D                                         46,629,100.00            93.91
  3     Vú[e6vbD                                                  -                -
        QvN- P:R8                                                  -                -
              D§e/c R8                                            -                -
  4     5‘^bD                                                     -                -
  5     ‘Mu TbD                                                   -                -
  6     NpQe.‘D§                                                 -                -
        QvN- Npe-_ V-NpQe.‘D§                                    -                -
  7     ”L[Xk>T~{— N‘                                2,991,818.85             6.03
  8     QvNT yD§                                           8,816.17             0.02
  9    T                                               49,654,492.62           100.00


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

                                                                S`Wú‘D§QPNx          LN |{R+                     QlQAN÷P<
                                                                       
 A Q0 g— rg0 n N                                           -                       -
 B ‘N                                                      -                       -
 C R6N                                               5,054.60                    0.01
   u5R0 píR0 ql Sl4u N§TO
 D                                                     343.00                    0.00
   ^”
 E ^ú{QN                                                   -                      -
 F byST–.N                                                 -                      -
 G N¤“NP¨T?N                                             -                      -
 H OO[Tn N                                                  -                      -
   Oá`oO “oTOá`obg/g R
 I                                                  14,800.00                    0.03
   N
 J ‘                                                4,560.00                    0.01
 K b?W0N§N                                                 -                       -
 L yAUFRg RN                                                -                       -
 M y[fx zvTbg/g RN                                          -                       -
 N l4R)0 sXTQlQqe{t N                                       -                       -
 O \El g R0 Ot TQvNg RN                                     -                       -
 P eY                                                       -                       -
 Q Sku Ty>O ]O\                                             -                       -
 R eS 0 OSZ1NPN                                             -                       -
 S ~üT                                                     -                       -
   T                                                24,757.60                    0.05
                              {, 47 u Qq64 u
                                                    SNlgt^N N-\ vETFT2018^t^t^bTJ


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

8.3 gg+ c QlQAN÷P                                                                     ‘SUOM Nl ^ QC

                                                                       S`Wú‘D§QP<
^S÷ hNx          hT y            ep‘                QlQAN÷P<
                                                                         kO
 1      603444    T kry                    100               14,800.00            0.03
 2      603260    T vxEN                   100                4,380.00           0.01
 3      601860    }+‘”L                1,000                3,140.00           0.01
 4      601198    N QtR8                   100                    956.00         0.00
 5      600062    SNmSd                     40                    483.60         0.00
 6      601377    QtN R8                   100                    464.00         0.00
 7      600008    –                       100                    343.00         0.00
 8      600307    ‘R”Qt                  100                    191.00         0.00
8.4 bTJg Q…hbDT v‘'SR¨
8.4.1 }/NpQe‘…úg R Wú‘D§QP<2%b RM20T vhf ~
                                                                     ‘SUOM Nl ^ QC

                                                                      S`g R Wú‘D§Q
 ^S÷   hNx           hT y                   g,g }/NpQe‘
                                                                        P  1      600276       `Rt^S;o                               60,893.00            0.10
  2      601939       ^ú”L                                41,889.00            0.07
  3      600900       l_u5R                                 41,676.00            0.07
  4      601012       –ú                                  36,266.00            0.06
  5      601899       }+‘N                                 32,936.00            0.05
  6      600837       mwR8                                  29,760.00            0.05
  7      600518       ^oN                                   27,513.00            0.04
  8      600585       mwl4l                                 25,664.00            0.04
  9      600015       SNY ”L                               22,834.00            0.04
 10      600703       N [‰QIu5                             22,180.00            0.04
 11      600011       SN–E                                 21,811.00            0.03
 12      600690       —Rmw\                                21,768.00            0.03
 13      601901       ekcR8                                 21,712.00            0.03
 14      601600       N-V”                                 21,418.00            0.03
 15      601888       N-VVe                                 20,572.00            0.03
 16      601788       QIY'R8                                20,344.00            0.03
 17      603288       mwY)TsN                               19,901.00            0.03
 18      600009       N mwg:W:                              19,788.00            0.03
                                   {, 48 u Qq64 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJ


  19        601009        SWN”L                             19,142.00            0.03
  20        601225        –U‰dN                            17,956.00            0.03
lè       NpQehb g,   b   SVQúhe6Qe      WGc NpSVb N¤‘ b N¤SUN÷NXN N¤ep‘ XkR 

N QvQsN¤ 9(0

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

                                                                       S`g R Wú‘D§Q
  ^S÷      hNx           hT y                   g,g }/SVQú‘
                                                                         P      1      600276       `Rt^S;o                            72,599.80            0.12
      2      600585       mwl4l                              28,640.00            0.05
      3      600309       N SNS [f                           27,858.00            0.04
      4      601012       –ú                               22,818.00            0.04
      5      600690       —Rmw\                             21,756.00            0.03
      6      600703       N [‰QIu5                          21,620.00            0.03
      7      601939       ^ú”L                             19,953.00            0.03
      8      601899       }+‘N                              16,277.00            0.03
      9      601600       N-V”                              11,570.00            0.02
   10        601162       Y)R8                                6,430.00            0.01
   11        601319       N-VNO                               5,470.00            0.01
   12        600150       *ST96                               5,460.00            0.01
   13        600157       l8l                                 4,440.00            0.01
   14        600645       N-nSOT                              2,350.00            0.00
   15        603861       v}N‘u5Vh                           1,722.00            0.00
   16        603298       gmS–                               1,630.00            0.00
   17        600650       &l_bD                               1,510.00            0.00
   18        603567        s[\                                1,444.00            0.00
   19        600119       l_bD                                1,397.00            0.00
   20        600826       Qpu                                 1,346.00            0.00
lè       NpQehb g,   b   SVQúhe6Qe      WGc NpSVb N¤‘ b N¤SUN÷NXN N¤ep‘ XkR 

N QvQsN¤ 9(0

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

NpQehb g, b N¤ `;                                                        2,253,180.58
SVQúhe6Qe b N¤ `;                                                         289,781.80
lè N QvQsN¤ 9(0



                                      {, 49 u Qq64 u
                                                   SNlgt^N N-\ vETFT2018^t^t^bTJ


8.5 gg+ c P:R8TyR |{vP:R8bDT
lè g,Wú‘,bTJgg+g* c g P:R80

8.6 gg+ c QlQAN÷Plè eà0

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

8.8 bTJgg+ c QlQAN÷Plè g,Wú‘,bTJgg+g* c g 5‘^bD

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

8.10 gg+ c QlQAN÷P                                                                     ‘SUOM Nl ^ QC

                                                                            S`Wú‘D§
     ^S÷   Wú‘ y    Wú‘{W    \e_             {t N        QlQAN÷P<      QP                                                                               %
 1          N-\ vETF     c epW     N¤ W_         SNlgt^    46,629,100.00          94.08
                                       e>_        Wú‘t
                                                  g –PlS


8.11 bTJgg+g, Wú‘D g '¤ `Qf
lè g,Wú‘,bTJgg+g* c g  g '

8.12 bTJgg+g, Wú‘DVP:g '¤ `Qf
lè g,Wú‘,bTJgg+g* c g VP:g '

8.13 bDT bTJ–Dè
8.13.1 g,Wú‘DRMSAT R8vSLN;OSg,g S×R0 gNSY Zv`Qvf
     bTJg Q…g,Wú‘vh Wú‘DRMSAT R8vSLN;OSlg v{èèzhH gv N_l

g W(bTJ R6eRMN ^tQ…S×R0Ql_ 4# Y Zv0

8.13.2 Wú‘DRMSAT h…úWú‘T        ‰vY h^“`Qvf

     g,Wú‘vh Wú‘DRMSAT hN- lg bD…úWú‘T                 ‰Y h^“NKY v0

8.13.3 gg+ QvNT yD§gb
                                                                          SUOM Nl ^ QC

 ^S÷                  T y                                      ‘
  1   [XQúO‘                                                                 1,153.52
                                 {, 50 u Qq64 u
                                                        SNlgt^N N-\ vETFT2018^t^t^bTJ


  2          ^”e6R8n {—k>                                                   5,464.04
  3          ^”e6)                                                                  -
  4          ^”e6R)`o                                                          654.26
  5          ^”e6u3->                                                        1,544.35
  6          QvN^”e6k>                                                              -
  7          _…dJ9(                                                                 -
  8          QvN                                                                     -
  9          T                                                                8,816.17


8.13.4 gg+ c g vY Nl vSlbP:R8f ~
lè g,Wú‘,bTJgg+g* c g Y Nl vSlbP:R80

8.13.5 gg+ RMSAT hN-[XW(mAS×–PQvf
                                                                     ‘SUOM Nl ^ QC

                              mAS×–Pè vQlQA S`Wú‘D§QP^S÷ hNx              hT y                                         mAS×–PQf
                                     N÷P<          O %
 1           601860   }+‘”L            3,140.00         0.01                e° [


8.13.6bDT bTJ–DèvQvNe[Wcè
      eà0




                                       {, 51 u Qq64 u
                                                     SNlgt^N N-\ vETFT2018^t^t^bTJ


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

 c g Nb7     b7WGc g v                               c g N~g
  ep(b7)      Wú‘               g:gbD                           N*NbD
                                                  S``;N                        S``;N
                             c g N                             c g N
                                                  kO                           kO
       661    87,703.97     47,010,154.19          81.09%      10,962,166.94    18.91%


9.2 gg+ Wú‘t NvNNN TXc gg, Wú‘`Q
lè g,bTJgg+  Wú‘t NvNNN TXg*c gg, Wú‘

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

               yv                           c g Wú‘`;‘ep‘: NN 
                                                                                     0
g,QlS~§{t NTX0 Wú‘Dx zv
èè#c gg, _ e>_ Wú‘
                                                                                     0
g,Wú‘ú‘t c gg, _ e>_ Wú‘




                                 {, 52 u Qq64 u
                                            SNlgt^N N-\ vETFT2018^t^t^bTJ


                      §10_ e>_ Wú‘SR¨
                                                                  SUOM N
Wú‘T   u eHe 2011^t1g 26e Wú‘`;                         482,562,901.50
g,bTJgg   R Wú‘`;                                          56,344,757.06
g,bTJgg   Wú‘;u3-                                           3,045,932.60
Q:g,bTJgg   Wú‘;NN                                          1,418,368.53
g,bTJgg   Wú‘R SR¨N NQ\ N"-"XkR                                       -
g,bTJggg+   Wú‘`;                                          57,972,321.13




                           {, 53 u Qq64 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJ


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



11.2 Wú‘t N0 Wú‘X{NvN èWú‘X{èèv‘'NNSR¨
     bTJg Q… 2018^t8g  R 8QHu bNN-V”Lg –PlSLL0 N NSR¨]ò
c vQs‰Y hH0 QlTJ0
     2018^t8g 20e QlSNT}gNfS‰Hu N:QlSRo`;~t  gNfS‰Hu ]ò~§{t NTX
R8bD_w QvNT}]òW(N-VR8bDú‘ SOO Y hH0 N NSR¨]òc vQs‰
Y hH0 QlTJ0


11.3 m‰SWú‘t N0 Wú‘"§ Wú‘X{N Rv
     bTJg Q…eàm‰SWú‘t N0 Wú‘"§ Wú‘X{N Rv0




11.4 Wú‘DVueve9S
     bTJg Q…Wú‘DVueg*e9S0




11.5 N:Wú‘L[vO ^ NRb@`Q
     bTJg Q…Wú‘*e9X:Qv[vO ^ NRb@0 g,bTJg Wú‘”e/N~fnSNl8S-Y)O 
^ NRb@(rykfnT O )vb‘l:60000QCNl ^  NRb@]òT g,Wú‘ON8^tv[g
R0


11.6 {t N0 bX{NSQv~§{t NTXS×z=gb Y Z{I`Q
     bTJg Q…Wú‘t N0 Wú‘X{NvbX{N RèèSQv~§{t NTXg*S×v{èèz=gb
Y Z0


11.7 Wú‘u(R8QlSN¤ SUQCvg Qs`Q
11.7.1 Wú‘u(R8QlSN¤ SUQCLhbDOc‘/N`Q

                                                                    ‘SUOM Nl ^ QC
 R8UFT y      N¤ SUQC            hN¤                   ^”e/NR8UFvOc‘    Y lè
                 ep‘                 S`_Sg h
                                                                   S`_Sg Oc‘
                           b N¤‘ b N¤`;vk              Oc‘
                                                                   `;‘kO
                                          O
 ‰WR8           1       1,522,569.48   60.24%          1,418.16    60.24%      -
 N-Oá^úb       1       617,163.00        24.42%        574.79     24.41%      -

                                      {, 54 u Qq64 u
                                                          SNlgt^N N-\ vETFT2018^t^t^bTJ


    N-OáR8        1        387,903.00        15.35%        361.30     15.35%     -
    _R8            1            -                -            -          -        -
    "R8            1            -                -            -          -        -
    SWNR8          1            -                -            -          -        -
    N eR8          1            -                -            -          -        -
    ^SR8           1            -                -            -          -        -
    u3” V         1            -                -            -          -        -
    N-‘lS         1            -                -            -          -        -
    ”R8           1            -                -            -          -        -
    "R8            1            -                -            -          -        -
    SNlR8          1            -                -            -          -        -
    WR8            1            -                -            -          -        -
lè 10 béNt R8NpSVvR8~%g:gvh Q

QlS^”bé"rQoY} ~%LN:‰  QwY x zv[RvR8QlSSNN                           x zvg:g T Qvb Qv

T O\R8UFyu(Wú‘ u(N¤ ^-OM0 QlSbévcON¤ SUQCvR8UF^”_Sná R Wúg,gaN

1    Qwg v^”vN R~%D<

2    Oá°_UoY} g $^teà‘'‰LN: g*S×v{g:g‘'Y Z

3 D‘  Oá‰oY}0 Q…èt ‰ 0 N%h< QwY PeQhvQ…c§R6^ ^vá,Wú‘\

^O[v‰B0

4 QwY Wú‘\b@—veH0 [‰QhvgaN N¤ e{&T Nt Wú‘LR8N¤ v—‰

^v:Wú‘OQh—bOá`og R0

5 QwY x zv[R g Vú[vx zvg:gTN èx zvNTX eQh—b0N:Wú‘O[‰mN0 L

N `Q0 ^ W:p 0 hR gvx zvbTJSThR0vOá`og R ^v9cnWú‘Dry[‰B c

ON x zvbTJ0

20 béNt R8NpSVvR8~%g:gvz ^

Wú‘t Nh9cnNN h QL[T xn[R8~%g:gvbé0 Wú‘t NN bévR8~%

g:g{~N¤ SUQCyu(SOTR8x zvg RSO0


11.7.2 Wú‘u(R8QlSN¤ SUQCLQvNR8bD`Q

                                                                       ‘SUOM Nl ^ QC
R8UFT y           P:R8N¤            P:R8V-¤              gCN¤          Wú‘¤
                                       S`_Sg         S`_SggC         S`_Sg Wú
                      S`_Sg P:R8
                                       P:R8V b N¤‘                    ‘
              b N¤‘ b N¤`;v b N¤‘                       b N¤‘
                                         -           b N¤`;         b N¤`;
                         kO
                                       b N¤`;        vkO             vkO
                                         {, 55 u Qq64 u
                                       SNlgt^N N-\ vETFT2018^t^t^bTJ


                                vk
                                O
‰WR8       -      -       -     -      -      -    48,611.62 17.48%
N-Oá^úb   -      -       -     -      -      -    127,008.50 45.67%
N-OáR8     -      -       -     -      -      -    102,468.10 36.85%
_R8         -      -       -     -      -      -        -          -
"R8         -      -       -     -      -      -        -          -
SWNR8       -      -       -     -      -      -        -          -
N eR8       -      -       -     -      -      -        -          -
^SR8        -      -       -     -      -      -        -          -
u3” V      -      -       -     -      -      -        -          -
N-‘lS      -      -       -     -      -      -        -          -
”R8        -      -       -     -      -      -        -          -
"R8         -      -       -     -      -      -        -          -
SNlR8       -      -       -     -      -      -        -          -
WR8         -      -       -     -      -      -        -          -



11.8 QvN‘'NN
^S÷            QlTJNy           l[b—2_           l[b—2g
 1   SNlgt^Wú‘ g g P\rLR8     N-VR8b0 N mw
                                                        2018^t1g 12e
     O0P 2   SNlgt^Wú‘t g –PlSQsN
     N mwSNOáR8g –P#QlS_      N-VR8b0 N mw
                                                        2018^t1g 19e
     Wú‘lb^vSR 9O `àm;R¨v   R8b0 R8eb
     QlTJ
 3   SNlgt^Wú‘sNX N mwg |
     Wú‘:e× è Wú‘ g:gT    N-VR8b0 N mw
                                                        2018^t1g 25e
     e_ Wú‘lb0 [bSSR 9        R8b0 R8eb
     sO `à{IN RvQlTJ
 4   SNlgt^Wú‘sNX SN"
      N mw N:e× è Wú‘ g:    N-VR8b0 N mw
                                                        2018^t1g 25e
     gT e_ Wú‘lbSR 9O         R8b0 R8eb
     `à{IN RvQlTJ
 5   SNlgt^Wú‘t g –PlSQsN
     X l_”LN:e× è Wú‘      N-VR8b0 N mw
                                                        2018^t1g 27e
      g:gT e_ Wú‘lb0 [b       R8b0 R8eb
     N RvQlTJ
 6   SNlgt^Wú‘ g g P\rLR8     N-VR8b0 N mw
                                                            2018^t2g 8e
     O0P 7   SNlgt^Wú‘t g –PlSQsN
     X U  SNN:e× è Wú‘
                                N-VR8b0 N mw
      g:gT e_ Wú‘lb0 [b                               2018^t3g 14e
                                R8b0 R8eb
     Su3-b9O `à{IN RvQl
     TJ
 8   SNlgt^Wú‘t g –PlSQsN
                                N-VR8b0 N mw
     e× 54SêR8bDú‘e9Wú‘                           2018^t3g 23e
                                R8b0 R8eb
     TTT bX{SOvQlTJ
 9   SNlgt^Wú‘t g –PlSQsN    N-VR8b0 N mw            2018^t3g 24e
                           {, 56 u R8b0 R8eb
                                   Qq64 u
                                             SNlgt^N N-\ vETFT2018^t^t^bTJ


     e× Wú‘ g g P\rLR8O0P<
      etvcy:`'QlTJ
10   SNlgt^Wú‘t g –PlSQsN
     SR N¤”LbKg:”Ln S3-         N-VR8b0 N mw
                                                              2018^t3g 31e
     S[g [bDK~í9O `àm;           R8b0 R8eb
     R¨vQlTJ
11   SNlgt^Wú‘t g –PlS~~í
                                   N-VR8b0 N mw
     SR N-V]UF”LN*Nu5[P”L                                   2018^t3g 31e
                                   R8b0 R8eb
               sO
     Wú‘3-9 `àm;R¨vQlTJ
12   SNlgt^Wú‘t g –PlSe×       N-VR8b0 N mw
                                                               2018^t4g 2e
               N§
     Wú‘DDe/c R8vQlTJ            R8b0 R8eb
13   SNlgt^Wú‘t g –PlSQsN
     X mW3vOáWú‘ U.g –PlS
                                   N-VR8b0 N mw
     N:e× è Wú‘ g:gT e_                                   2018^t4g 13e
                                   R8b0 R8eb
     Wú‘lb0 [bSSR 9O
     `à{IN RvQlTJ
14   SNlgt^Wú‘sNe× Wú‘@c
                                   N-VR8b0 N mw
     g N-Qt 000063 O0P< et                                    2018^t4g 20e
                                   R8b0 R8eb
     QlTJ
15   SNlgt^Wú‘ g g P\rLR8        N-VR8b0 N mw
                                                              2018^t4g 24e
     O0P16   SNlgt^Wú‘t g –PlSQsN
                                   N-VR8b0 N mw
     e× Wú‘ g g P\rLR8O0P<                                 2018^t5g 29e
                                   R8b0 R8eb
      etvcy:`'QlTJ
17   SNlgt^Wú‘sNX bl]VOá
                                   N-VR8b0 N mw
     V R)Wú‘:e× è Wú‘ g:                                 2018^t6g 5e
                                   R8b0 R8eb
     gT e_ Wú‘lbN RvQlTJ
18   SNlgt^Wú‘t g –PlSQsN
                                   N-VR8b0 N mw
     e× Wú‘ g g P\rLR8O0P<                                 2018^t6g 20e
                                   R8b0 R8eb
      etvcy:`'QlTJ
19   SNlgt^Wú‘t g –PlSQsN
     e× Wú‘ g N-Qt              N-VR8b0 N mw
                                                              2018^t6g 20e
      000063 O0P< etvcy:`'Ql       R8b0 R8eb
     TJ
20   SNlgt^Wú‘t g –PlSQsN
     X mW3OáWú‘ U.g –PlS       N-VR8b0 N mw
                                                              2018^t6g 21e
     N:e× è Wú‘ g:gT e_        R8b0 R8eb
     Wú‘lb0 [bN RvQlTJ
21   SNlgt^Wú‘t g –PlSQsN
     X N mwr1^ú"{t g –PlS        N-VR8b0 N mw
                                                              2018^t6g 28e
     N:e× è Wú‘ g:gT e_        R8b0 R8eb
     Wú‘lbN RvQlTJ
22   SNlgt^Wú‘t g –PlSQsN
                                   N-VR8b0 N mw
     fP\mYl_‘‰Wú‘ U.g –Pl                                2018^t6g 29e
                                   R8b0 R8eb
     SR e× Wú‘QsN RvQlTJ
23   SNlgt^Wú‘t g –PlSQsN
     SR N¤”LbKg:”Ln S3-         N-VR8b0 N mw
                                                              2018^t6g 30e
     S[g [bDK~í9O `àm;           R8b0 R8eb
     R¨vQlTJ
24   SNlgt^Wú‘ g g P\rLR8        N-VR8b0 N mw
                                                              2018^t7g 17e
     O0P25   SNlgt^Wú‘ g g P\rLR8        N-VR8b0 N mw
                                                              2018^t7g 19e
     O0P26
     SNlgt^Wú‘t g –PlSQsN
     X l UFWú‘ U. N mw g –P     N-VR8b0 N mw
                                                              2018^t7g 21e
     QlSN:e× è Wú‘ g:gT        R8b0 R8eb
     e_ Wú‘lb0 [b0 u3-9
                            {, 57 u Qq64 u
                                            SNlgt^N N-\ vETFT2018^t^t^bTJ


     sO `àN RvQlTJ
27   SNlgt^Wú‘ g g P\rLR8       N-VR8b0 N mw
                                                             2018^t7g 25e
     O0P28   SNlgt^Wú‘sNe× Wú‘@c
                                  N-VR8b0 N mw
     g ^lu ri 300601 O0P< et                                 2018^t7g 25e
                                  R8b0 R8eb
     QlTJ
29   SNlgt^Wú‘sNe× Wú‘@c
                                  N-VR8b0 N mw
     g STu  002680 O0P< etQl                                 2018^t7g 31e
                                  R8b0 R8eb
     TJ
30   SNlgt^Wú‘sNX Y'l"
     Wú‘:e× è Wú‘ g:gT      N-VR8b0 N mw
                                                              2018^t8g 9e
     e_ Wú‘lb0 [b0 u3-9         R8b0 R8eb
     sO `àN RvQlTJ
31   QsNe× è Wú‘(N-VV–E‘
                                  N-VR8b0 N mw
     g –PlS_ Wú‘bS                                        2018^t8g 17e
                                  R8b0 R8eb
                sO
     [bu3-9 `àN RvQlTJ
32   SNlgt^Wú‘t g –PlSQsN      N-VR8b0 N mw
                                                             2018^t8g 21e
     XRo`;~t vQlTJ                R8b0 R8eb
33   QsNX SNlg ':e× è Wú
                                  N-VR8b0 N mw
     ‘ g:gT e_ Wú‘lb0                                     2018^t8g 21e
                                  R8b0 R8eb
     [bN RvQlTJ
34   QsNX N-S”Lg –PlS
     N:e× è Wú‘ g:gT e_       N-VR8b0 N mw
                                                             2018^t8g 21e
     Wú‘lb0 [g [bD R            R8b0 R8eb
     vQlTJ
35   QsNX ‰… e"R8
     g –PlSN:e× è Wú‘ g:     N-VR8b0 N mw
                                                             2018^t8g 24e
     gT e_ Wú‘lbSSR 9           R8b0 R8eb
     O `à{IN RvQlTJ
36   SNlgt^Wú‘sNX N-l "
     N:e× è Wú‘ g:gT e_       N-VR8b0 N mw
                                                             2018^t8g 31e
     Wú‘lb0 [bSSR 9O            R8b0 R8eb
     `à{IN RvQlTJ
37   SNlgt^Wú‘t g –PlSQsN
     X S N`R[Y)lWú‘ U.g –P
                                  N-VR8b0 N mw
     QlSN:e× è Wú‘ g:gT                                   2018^t9g 1e
                                  R8b0 R8eb
                     sO
     e_ Wú‘3-9 `àN Rv
     QlTJ
38   SNlgt^Wú‘ g g P\rLR8       N-VR8b0 N mw
                                                             2018^t9g 11e
     O0P39   SNlgt^Wú‘sNQN v ^sS(
     T+yR¨~z)_ N-V^ú”LWú      N-VR8b0 N mw
                                                             2018^t9g 19e
     ‘cwe/NN R^v[eN¤ 9          R8b0 R8eb
     O `àm;R¨
40   SNlgt^Wú‘t g –PlSQsN      N-VR8b0 N mw
                                                             2018^t9g 25e
     X Wú‘ &7vQlTJ              R8b0 R8eb
41   QsNSR N¤”LbKg:”Ln S
                                  N-VR8b0 N mw
     u3-[g [bDK~í9O                                         2018^t9g 29e
                                  R8b0 R8eb
     `àm;R¨vQlTJ
42   SNlgt^Wú‘sNQN v ^sS(
     T+yR¨~z)_ N-V”LWú‘       N-VR8b0 N mw
                                                             2018^t10g 9e
     cwe/NN R^v[eN¤ 9O `à       R8b0 R8eb
     m;R¨
43   SNlgt^Wú‘sNQN v ^sS(
     T+yR¨~z)_ N-Vl u ”LWú     N-VR8b0 N mw
                                                             2018^t10g 9e
     ‘cwe/NN R^v[eN¤ 9          R8b0 R8eb
     O `àm;R¨

                           {, 58 u Qq64 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJ


44   SNlgt^Wú‘ g g P\rLR8          N-VR8b0 N mw
                                                               2018^t10g 12e
     O0P45   SNlgt^Wú‘ g g P\rLR8          N-VR8b0 N mw
                                                               2018^t10g 17e
     O0P46   SNlgt^Wú‘t g –PlSQsN
                                     N-VR8b0 N mw
     e× Wú‘ g g P\rLR8O0P<                                  2018^t10g 19e
                                     R8b0 R8eb
      etvcy:`'QlTJ
47   SNlgt^Wú‘sNe°X mwR)_—
     Wú‘ U.g –PlSN:e× è Wú
                                     N-VR8b0 N mw
     ‘ g:gS_ Wú‘b0 Wú                                      2018^t10g 23e
                                     R8b0 R8eb
     ‘lb^vSR 9O `àm;R¨vQl
     TJ
48   QsNX N-\qR8g –P#QlS
     N:e× è Wú‘ g:gT e_          N-VR8b0 N mw
                                                                2018^t11g 3e
     Wú‘lb0 [b0 u3-b9              R8b0 R8eb
     sO `àN RvQlTJ
49   QsNX –3IN[O–ig –P
     QlSN:e× è Wú‘ g:gT          N-VR8b0 N mw
                                                               2018^t11g 23e
     e_ Wú‘lb0 [b0 u3-             R8b0 R8eb
     b9O `àN RvQlTJ
50   QsNX mW3RMmw"Wú‘ U.
     g –PlSN:e× è Wú‘ g:        N-VR8b0 N mw
                                                               2018^t12g 12e
     gT e_ Wú‘lb0 [bSS             R8b0 R8eb
     R 9O `à{IN RvQlTJ
51   SNlgt^Wú‘t g –PlSQsN
                                     N-VR8b0 N mw
     SR ]UF”LWú‘bO `àm;R¨                                 2018^t12g 25e
                                     R8b0 R8eb
     vQlTJ
52   SNlgt^Wú‘sNQN v ^sS(
     T+yR¨~z)_ bUF”LvN             N-VR8b0 N mw
                                                               2018^t12g 25e
     e/NN R^v[eN¤ 9O `àm;          R8b0 R8eb
     R¨
53   SNlgt^Wú‘sNX l–3
     bD:e× è Wú‘ g:gT            N-VR8b0 N mw
                                                               2018^t12g 27e
     e_ Wú‘lb0 [b0 u3-             R8b0 R8eb
     b9O `àN RvQlTJ
54   SNlgt^Wú‘t g –PlSQsN
                                     N-VR8b0 N mw
     SR N-VQN ”L9O `àm;R¨                                   2018^t12g 28e
                                     R8b0 R8eb
     vQlTJ




                              {, 59 u Qq64 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJ


                     §12 _qTbDQ{VvQvN‘‰á`o
 12.1 bTJg Q…SUN bDc g Wú‘kO0b … 0%v`Q
bD
|{                 bTJg Q… g Wú‘SS `Q                            bTJgg+ c g Wú‘Q
 R+
           c g Wú‘kO
                                     g R             u3-    N                      NS`
      ^S÷ 0b …0%v                                                  c g N
                                     N               N      N                       k
               eS:

g:g     1    20180101-20181231   47,010,154.19       0.00   0.00   47,010,154.19   81.09%

N*N     -    -                                -         -      -               -        -


 -      -    -                                -         -      -               -        -


                                    N§Tryg –i

g,Wú‘TJg Q… SUN g:gc g Wú‘…0%v`_b0 YgN g kO'vbDN
V SüèN N_ SmAR¨`'–i SùWú‘§ YN _qT 1 ^g R Nu3
÷ fP\Nv–i _SSu ]èNe bDS—b4Nu3÷^g R 0 ^ e/Nb fP\N
Vv–i  2 Wú‘PSs°  [ùWú‘D§QPPyv–i SUN bDY'NT Süú‘‰!)\  Wú‘ —b4bD”LP:R80 N¤ b@P:
R8eN¤ V–`_b NO_—[s°Wú‘Dh [XW(N [vN xn[`'0  4 Wú‘T cRM~kb
v–i YgbDY'NSüú‘D§‰!  N áX~ívgaN Wú‘ h9cnWú‘
TT v~[—b4TT ~kbn {— l{I–i g,Wú‘t N\ [R Qslèu3N¨  [aNO0Y'u3
NùWú‘ g –-^v_qT T e\ [UmAR¨`'–ic§g:R6 g Y'–PvOb¤Wú‘ g Nv
T lgCv0

 12.2 _qTbDQ{VvQvN‘‰á`o
      eà0




                                    {, 60 u Qq64 u
                                                SNlgt^N N-\ vETFT2018^t^t^bTJ


                            §13 Y geNv_U
13.1 Y geNv_U
   10 N-VvO byQN N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘–eN

   200   N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘ú‘T        0

   300   N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘Rf Nf0

   400   N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘X{SO0

   50 Wú‘t NN RD
   60 N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘QlTJ

13.2 [Xe>W0p
   N mw^ mfN e°S:l u 199_ Y'N”S^W:1S÷i|17\BSbX{NOOb@

13.3 g–e_
                           NpY
   bDSW(%N eQM9– N_Sc ]g,9- SpN0                    bD[ùg,bTJYg u‘ S

T¨Wú‘t NSNlgt^Wú‘t g –PlS0        [b7g Rpí~ 400-888-0001 QM9       021-

3878 4638 QlSQW@ www.huatai-pb.com



                                                     SNlgt^Wú‘t g –PlS
                                                                2019^t3g 27e




                               {, 61 u Qq64 u
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