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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年年度报告摘要

公告日期:2019-03-27

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

               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^bTJdX‰


                                §1‘‰y:
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

      g,^t^bTJdX‰Xêt^bTJkce bDk2N‰~Q…[ ^”–^t^bTJkce0




                                {, 2 u Qq46 u
                SNlgt^N N-\ vETFT2018^t^t^bTJdX‰




{, 3 u Qq46 u
                                       SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                       §2 Wú‘N
2.1 Wú‘úg,`Q
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
                         k`Q YmAR¨`'N  [üàl_— ep‘
                         yhe Wú‘t N\ (QvNT t vbDlg^úg,
                       {, 4 u Qq46 u
                                            SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                               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


2.4 Oá`ob—2_
v{}ú‘t^bTJkcev{t NN’TQQ
                                 http://www.huatai-pb.com
W@
Wú‘t^bTJY nW0p                 Wú‘t NSWú‘X{NOOb@




                            {, 5 u Qq46 u
                                                    SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


             §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 Wú‘QP 3.1.2 gg+ epcnTc h                2018^tg+               2017^tg+         2016^tg+
 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
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




                                    {, 6 u Qq46 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJdX‰




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




                               {, 7 u Qq46 u
                                              SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


3.2.3 N”^tWú‘^tQP



3.3 N ^tWú‘R)mR ‘MQ

lè g,Wú‘,bTJg Q…g*LR)mR ‘M




                              {, 8 u Qq46 u
                                            SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                           §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

                            {, 9 u Qq46 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


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
                                                            mwl}f–"g –PlS
                                                            NN"]O\ 2001^t
                                                            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‘
                                                            Wú‘t 0 2018^t3g
                                                            ó018^t10g NSNlgt^
                                                            lR)pum;‘Mnm÷ WR8
                                                            bDú‘Wú‘
                                                            t 0 2018^t4g wSNl
                                                            gt^MSCIN-VA–E
                                                            N¤ W_ e>_ c epR8b
                                                            Dú‘Wú‘t 0 2018
                                                            ^t10g wSNlgt^MSCI
                                                            N-VA–EN¤ W_
                                {, 10 u Qq46 u
                                                     SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                                                          e>_ c epR8bDú‘T
                                                          cWú‘Wú‘t 0 2018
                                                          ^t12g wSNlgt^N-
                                                          ~R)ONlR¨N¤ W_ e>_
                                                          c epR8bDú‘Wú‘
                                                          ~t 0
                                                          SW_ Y'[f‘[fxU
                                                          X0 2013^t7g ó014^t4
                                                          g N‘^g ' –PlS5
                                                          ‘^x zvTX 2014^t4g
                                                          ó015^t4g NVlT [‰
                                                          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
            Rt
                                                          gt^ SSNl N 
                                                          ~R)N¤ W_ e>_ c ep
                                                          R8bDú‘ N N-\ v
                                                          N¤ W_ e>_ c epR8b
                                                          Dú‘N N-\ vN¤
                                                          W_ e>_ c epR8bDú
                                                          ‘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
Dú‘000     Ql_ R–R8bDú‘\{t Rl0 SQvNvQsl_0 l‰‰NSg,Wú‘

v0 Wú‘T   0 v~[ W(N%h
 lBg Y'R)v0 W(g,bTJg Q… Wú‘Dt {&T g Qsl_0 l‰‰SWú‘T                  v~[ N

[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
vR)v“0 bDèx zv艠vQ{VmAz Ql^s[ù_… T bDT 0 N¤ èùbD Nv

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
Q…vN¤ Le^8vc§TR gO0                T e[ùbDT vN¤ N÷]W(N T ez— YeQ… 3

e0 5 e)LR g ~üT R$e-T Wú‘Kf/T&[XW(N Ql^sN¤ b R)v“vS xnOQl^sN¤

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                                    {, 11 u Qq46 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


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                                {, 12 u Qq46 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


4.4.2 bTJg Q…Wú‘N ~éhs°
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4.9 bTJg Q…{t N[ùg,Wú‘ g Nepb Wú‘D§QP    lè eà0




                                {, 13 u Qq46 u
                                             SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                           §5 bX{NbTJ
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                            {, 14 u Qq46 u
                                           SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                             §6 [bTJ
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                          {, 15 u Qq46 u
                                          SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                   Wú‘t Nlt \B#wcN N-\ vETFTWú‘"bTJ
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                   Oc L ` u‘ T e b NìN_bgLNN ]O\


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                         {, 16 u Qq46 u
                                       SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                lèvQ…è§R6:–w


O ^ NRb@vT y    fnSNl8S-Y)O ^ NRb@(rykfnT O )
lèQO ^ vYT     SU\                    fù–3
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                      {, 17 u Qq46 u
                 SNlgt^N N-\ vETFT2018^t^t^bTJdX‰




{, 18 u Qq46 u
                                                      SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                                   §7 ^t^"bh
7.1 D§P:h
O N;OS SNlgt^N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘

bTJb*kbe      2018^t12g 31e

                                                                         SUOM Nl ^ QC

                                                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
                                                                  -            1,130.15
~{— N‘

                                                           1,153.52              961.47
[XQúO‘

N¤ `'‘D§              7.4.7.2                      46,653,857.60       59,950,005.57
                                                          24,757.60        1,990,254.50
QvN- hbD

                                                      46,629,100.00       57,711,286.07
   Wú‘D

                                                                  -          248,465.00
      P:R8bD

                                                                  -                   -
      D§e/c R8bD

                                                                  -                   -
5‘^bD

Mu ‘D§                 7.4.7.3                                  -                   -
NpQe.‘D§               7.4.7.4                                  -                   -
                                                           5,464.04                   -
^”e6R8n {—k>

^”e6R)`o                7.4.7.5                             654.26            3,969.38
                                                                  -                   -
^”e6)

                                                           1,544.35            3,771.55
^”e6u3->

                                                                  -                   -
^b@_— D§

QvND§                   7.4.7.6                                  -                   -
                                     {, 19 u Qq46 u
                                              SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                                              49,654,492.62       63,062,927.90
D§`;

                                        g,gg+                    N ^t^g+
   P:Tb@g gCv     –DèS÷
                                    2018^t12g 31e             2017^t12g 31e

 P:

                                                          -                   -
wíg P k>

                                                          -                   -
N¤ `'‘P:

Mu ‘P:          7.4.7.3                                  -                   -
                                                          -                   -
SVQúV-‘D§k>

                                                          -                   -
^”NR8n {—k>

                                                          -            2,759.71
^”NNk>

                                                   1,453.93            2,233.24
^”N{t Nb‘l

                                                     290.78              446.65
^”NbX{9

                                                          -                   -
^”N U.g R9

^”NN¤ 9(       7.4.7.7                              11.55              567.50
                                                          -                   -
^”N¤ 9

                                                          -                   -
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                                                          -                   -
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                                                          -                   -
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QvNP:            7.4.7.8                          90,000.00           80,010.40
                                                  91,756.26           86,017.50
P:T 




                             {, 20 u Qq46 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJdX‰




b@g gCv

[e6Wú‘                  7.4.7.9                      57,972,321.13          56,344,757.06
g*R ‘M)m                 7.4.7.10                     -8,409,584.77           6,632,153.34
                                                       49,562,736.36          62,976,910.40
b@g gCvT 

                                                       49,654,492.62          63,062,927.90
P:Tb@g gCv`;

lè bTJb*kbe2018^t12g 31e Wú‘QP<0.8549QC Wú‘`;57,972,321.13N0

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g,bTJg  2018^t1g 1eó018^t12g 31e

                                                                             SUOM Nl ^ QC

                                         –DèS÷             g,g             N ^t^Skg 
             y v                                         2018^t1g 1e        2017^t1g 1eó017
                                                         ó018^t12g 31e         ^t12g 31e
N 0 e6Qe                                                   -14,891,005.38         3,677,763.58
                                                                23,765.09            26,131.04
1.R)`oe6Qe

QvN- [Xk>R)`oe6Qe                    7.4.7.11                   22,967.28            24,704.76
                                                                   797.81             1,426.28
      P:R8R)`oe6Qe

                                                                        -                     -
      D§e/c R8R)`oe6Qe

                                                                        -                     -
      NpQe.‘D§e6Qe

                                                                        -                     -
      QvNR)`oe6Qe

                                                              -177,455.98           145,114.47
2.bD6v c_Y1N         -”XkR 

QvN- hbD6v                           7.4.7.12                 -175,354.02           117,016.92
       Wú‘D6v                      7.4.7.13                  -13,304.03            18,731.48
       P:R8bD6v                      7.4.7.14                      213.00                97.00
       D§e/c R8bD6v                 7.4.7.14.5                         -                    -
       5‘^bD6v                      7.4.7.15                           -                    -
       Mu ]Qwe6v                     7.4.7.16                           -                    -
       )e6v                          7.4.7.17                   10,989.07             9,269.07
3.QlQAN÷PS÷XkR 
                                      {, 21 u Qq46 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                                                                       -                     -
4.lGQQe6v c_Y1N     -”S÷XkR 

5.QvNe6Qe c_Y1N     -”S÷XkR        7.4.7.19                   1,355.94            4,630.81
                                                              119,040.53          149,461.42
Q N0 9(

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                        -                   -
4   N¤ 9(                           7.4.7.20                   3,099.10           44,829.06
                                                                       -                   -
5 R)`oe/Qú

                                                                       -                     -
QvN- SVQúV-‘D§e/Qú

                                                                       -                     -
6 z ‘–D

7 QvN9(                              7.4.7.21                  91,040.00           81,892.65
                                                          -15,010,045.91        3,528,302.16
N 0 R)m`; Nc_`;N            -
S÷XkR 
                                                                       -                     -
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                                                          -15,010,045.91        3,528,302.16
V0 QR)m QNc_N          -   S÷Xk




7.3 b@g gCv Wú‘P< SR¨h
O N;OS SNlgt^N N-\ vN¤ W_ e>_ c epR8bDú‘TWú‘

g,bTJg  2018^t1g 1eó018^t12g 31e

                                                                            SUOM Nl ^ QC

                                                           g,g
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b@_— 0

                                {, 30 u Qq46 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJdX‰




   (4) Wú‘VQúhc 0.1%vz s4~hN¤ Sp±  NpQehN _e6hN¤ Sp± 0



   (5) g,Wú‘W^ ~b¤^úz 0 eY9 D TW0eeY9 D {Iz 9 qg[–E4~XP
vu(kO{—4~0




7.4.7 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

7.4.8 g,bTJg SN ^t^Skg vQsTN¤
   -

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

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

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

7.4.8.1.4 ^”e/NQsTvOc‘
lè g,Wú‘,bTJg SN ^t^Skg eà^”e/NQsTvOc‘
                                {, 31 u Qq46 u
                                               SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


7.4.8.2 QsTb‘l
7.4.8.2.1 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

7.4.8.2.2 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

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

7.4.8.3 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

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



                              {, 32 u Qq46 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


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

7.4.8.5 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


7.4.8.6 g,Wú‘(b g Q…SN QsTb R8v`Q
lè g,Wú‘,g SN ^t^Skg eàW(b g Q…SN QsTb R8v`Q0


7.4.8.7 QvNQsT¤ Nyvf
    -

7.4.9 gg+  2018^t12g 31e  g,Wú‘ g vmAS×–PR8

7.4.9.1 Và¤-°S/XSR8Ngg+ c g vmAS×–PR8

                                                                  ‘SUOM Nl ^ QC
7.4.12.1.1 S×–PR8|{R+ h
                                   ep‘
 R8 R8 b R SmA mAS× ¤- gg+ O0                             gg+  gg+ O0P<
                                   SUOM                                   Y lè
 Nx T y ¤- e –P{W N÷h< P                                   
               2019
       }+‘         e°A
601860      -   ^t1        - 3.14    1,000                   3,140.00 3,140.00    -
       ”L          S×–P
              g 3e




lè Wú‘Ou(NWú‘ NI_ vh&7 béQN b QNN                   ye_ Le°3- QvN-Wú

‘\N:N ,lNbb    uebD¤-e° h9cnWú‘N              ^ QlSb@{~u3-Ov‰ W(e°

N ^ T v~[g –P… ê1l Wú‘\N:N*NbDSN QN ¤-‘Me° Ne°‘M

eó° ^ eNKN ê1l0

7.4.9.2 gg+ c g vfeP\rL{ImAS×–Ph
lè eà0




                                {, 33 u Qq46 u
                                                 SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


7.4.9.3 gg+ P:R8kcV-¤ N-O\N:bbvP:R8
7.4.9.1.1 ”L^ W:P:R8kcV-
lè b*ó,bTJgg+  g,Wú‘N”L^ W:P:R8kcV-¤ _bb vSVQúV-R8OY0QC eà

P:R8O\N:(0

7.4.9.1.2 N¤ b@^ W:P:R8kcV-
   lè b*ó,bTJgg+  g,Wú‘NN¤ b@^ W:P:R8kcV-¤ _bb vSVQúV-R8OY

QC eàP:R8O\N:(0

7.4.10 g RN ‰R g bh—‰f vQvNNy
   (1)QlQAN÷P<

   (a)   ‘]QwQlQAN÷P<‘el

   QlQAN÷P<‘gb@\^v\Bk! u1[ùQlQAN÷P<‘tOS Qwg ‘‰NIv“eP
ON\Bk!Q[



   {,N \Bk! vT D§ P:W(m; W:N g*~ etvbN÷

   {,N\Bk! –d,N \Bk!“eP
   {,N \Bk! vQsD§ P:vN S‰“eP<0



   (b)   c ~ívNQlQAN÷P<‘‘]Qw

   (i)   T \Bk!‘]QwQlQAN÷P<

   N2018^t12g 31e g,Wú‘ g vNQlQAN÷P<‘ QvSR¨Qe_Sg c_vv‘D§N-^N

{,N \Bk!vOYN:46,650,717.60QC \^N{,N\Bk!vOYN:3,140.00QC eà\^N{,N \Bk!vOY

(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                                {, 34 u Qq46 u
                                                    SNlgt^N N-\ vETFT2018^t^t^bTJdX‰




       (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

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


       (2)–dlQAN÷P



                                   {, 35 u Qq46 u
                                                  SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                             §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

N                                                      QlQAN÷P<
                                                                   S`Wú‘D§QP      LN |{R+
x                                                                             
 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    N
                                                      14,800.00                    0.03
 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                                                    -                       -

                                 {, 36 u Qq46 u
                                                      SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


      T                                                   24,757.60                   0.05


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
lè bDk2N‰,bTJgg+ Wú‘Db@g hf ~ ^”–v{}www. Huatai-pb.comQz

v^t^bTJkce0

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

                                     {, 37 u Qq46 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


  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
  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
                                      {, 38 u Qq46 u
                                                  SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


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

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
                                 {, 39 u Qq46 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                                                                          SUOM Nl ^ QC

 ^S÷                T y                                            ‘
  1   [XQúO‘                                                                  1,153.52
  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




                                      {, 40 u Qq46 u
                                                  SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                          §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‘




                                 {, 41 u Qq46 u
                                            SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                      §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




                           {, 42 u Qq46 u
                                                       SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                                §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%     -

                                      {, 43 u Qq46 u
                                                          SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


    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
                                         {, 44 u Qq46 u
                                     SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                          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         -   -   -        -          -       -       -        -




                    {, 45 u Qq46 u
                                                     SNlgt^N N-\ vETFT2018^t^t^bTJdX‰


                     §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



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




                                    {, 46 u Qq46 u
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