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新华优选成长混合(519089)

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投资类型:混合型 成立日期:2008-07-25 管理人:新华基金... 基金经理:栾超
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基金公告

新华优选成长股票:2013年年度报告摘要

公告日期:2014-03-28

新华优选成长股票型证券投资基金
      2013 年年度报告摘要
         2013 年 12 月 31 日
        基金管理人:新华基金管理有限公司
        基金托管人:中国农业银行股份有限公司
        报告送出日期:二〇一四年三月二十八日
                                        新华优选成长股票型证券投资基金 2013 年年度报告摘要
                                     §1 重要提示1.1 重要提示
    基金管理人的董事会、董事保证本报告所载资料不存在虚假记载、误导性陈述或重大遗漏,并对其内容的真实性、准确性和完整性承担个别及连带的法律责任。本年度报告已经全部独立董事签字同意,并由董事长签发。
    基金托管人中国农业银行股份有限公司根据本基金合同规定,于 2014 年 3 月 27 日复核了本报告中的财务指标、净值表现、利润分配情况、财务会计报告、投资组合报告等内容,保证复核内容不存在虚假记载、误导性陈述或者重大遗漏。
    基金管理人承诺以诚实信用、勤勉尽责的原则管理和运用基金资产,但不保证基金一定盈利。
    基金的过往业绩并不代表其未来表现。投资有风险,投资者在作出投资决策前应仔细阅读本基金的招募说明书及其更新。
    本年度报告摘要摘自年度报告正文,投资者欲了解详细内容,应阅读年度报告正文。
    本报告中财务材料已经审计。
    本报告期自 2013 年 1 月 1 日起至 12 月 31 日止。
                                              新华优选成长股票型证券投资基金 2013 年年度报告摘要
                                           §2 基金简介
    2.1 基金基本情况
    基金简称                                                                          新华优选成长股票
    基金主代码                                                                                   519089
    交易代码                                                                                     519089
    基金运作方式                                                                      契约型开放式基金
    基金合同生效日                                                                    2008 年 7 月 25 日
    基金管理人                                                                    新华基金管理有限公司
    基金托管人                                                                中国农业银行股份有限公司
    报告期末基金份额总额                                                           2,932,081,710.97 份
    2.2 基金产品说明
                                  在适度控制风险并保持良好流动性的前提下,优选具有成长性兼具
    投资目标                          品质保障的上市公司为主要投资对象,力争持续地超越业绩比较基
                                  准,为投资者实现超额收益。
                                  本基金是股票型基金,选择具有成长性兼具品质保障的股票,因此
                                  主要采取自下而上的主动投资管理策略。当然仅应用自下而上的策
    投资策略                          略可能导致某行业股票集中度过高,行业配置不够分散,造成组合
                                  非系统风险高。再考虑到国内系统风险高,因此有必要辅助以适当
                                  的资产配置和行业配置策略进行调整。
    业绩比较基准                      80%×沪深 300 指数+20%×上证国债指数
                                  高风险高收益品种,预期风险和收益均高于混合型基金、债券型基风险收益特征
                                  金
    2.3 基金管理人和基金托管人
               项目                          基金管理人                        基金托管人
    名称                                 新华基金管理有限公司            中国农业银行股份有限公司
                       姓名          齐岩                            李芳菲
    信息披露负责人         联系电话      010-88423386                    010-66060069
                       电子邮箱      qiyan@ncfund.com.cn             lifangfei@abchina.com
    客户服务电话                         4008198866                      95599
    传真                                 010-88423310                    010-63201816
    2.4 信息披露方式
    登载基金年度报告摘要的管理人互联网网址                www.ncfund.com.cn
    基金年度报告备置地点                                  基金管理人、基金托管人的办公地
                        §3 主要财务指标、基金净值表现及利润分配情况
    3.1 主要会计数据和财务指标
                                              新华优选成长股票型证券投资基金 2013 年年度报告摘要
                                                                           金额单位:人民币元
    3.1.1 期间数据和指标             2013 年                   2012 年                      2011 年
    本期已实现收益                    749,837,404.46           -446,566,085.09               107,747,558.54
    本期利润                          809,916,196.90             54,180,276.56               -569,202,745.68加权平均基金份额本期利
                                            0.3581                    0.0173                       -0.3700润
    本期基金份额净值增长率                      22.45%                    4.04%                     -17.15%
    3.1.2 期末数据和指标            2013 年末                2012 年末                  2011 年末期末可供分配基金份额利
                                            0.1067                    0.1018                       0.4366润
    期末基金资产净值                 3,244,934,755.31         3,446,255,523.18           3,172,710,295.94
    期末基金份额净值                            1.1067                    1.2017                       1.4366
          注:1、本期已实现收益指基金本期利息收入、投资收益、其他收入(不含公允价值变
    动收益)扣除相关费用后的余额,本期利润为本期已实现收益加上本期公允价值变动收益;
          2、以上所述基金业绩指标不包括持有人认购或交易基金的各项费用(例如基金申购费
    赎回费等),计入费用后实际收益水平要低于所列数字。
          3、对期末可供分配利润,采用期末资产负债表中未分配利润与未分配利润中已实现部
    分的孰低数(为期末余额,不是当期发生数)。
    3.2 基金净值表现
    3.2.1 基金份额净值增长率及其与同期业绩比较基准收益率的比较
                           份额净值增                  业绩比较基准
               份额净值                 业绩比较基
    阶段                    长率标准差                  收益率标准差        ①-③            ②-④
               增长率①                 准收益率③
                               ②                          ④
    过去三个月        -8.12%       1.38%          -2.45%           0.90%            -5.67%             0.48%
    过去六个月         4.36%       1.61%           5.06%           1.03%            -0.70%             0.58%
    过去一年          22.45%       1.54%          -5.30%           1.11%            27.75%             0.43%
    过去三年           5.55%       1.34%         -18.57%           1.06%            24.12%             0.28%
    过去五年         134.92%       1.46%          28.47%           1.24%           106.45%             0.22%自基金合同
                 133.35%       1.41%         -11.54%           1.38%           144.89%             0.03%生效起至今
          注:1、本基金股票投资部分的业绩比较基准采用沪深 300 指数,债券投资部分的业绩比
    较基准采用上证国债指数,复和业绩比较基准为 80%×沪深 300 指数+20%×上证国债指数。
          2、本基金对业绩比较基准采用每日再平衡的计算方法。
    3.2.2 自基金合同生效以来基金份额累计净值增长率变动及其与同期业绩比较基准收益率
    变动的比较
                               新华优选成长股票型证券投资基金
                      累计净值增长率与业绩比较基准收益率历史走势对比图
                                        新华优选成长股票型证券投资基金 2013 年年度报告摘要
                     (2008 年 7 月 25 日至 2013 年 12 月 31 日)
    本基金于 2008 年 7 月 25 日基金合同生效。3.2.3 过去五年基金每年净值增长率及其与同期业绩比较基准收益率的比较
                          新华优选成长股票型证券投资基金
               过去五年基金净值增长率与业绩比较基准收益率的对比图
    本基金于 2008 年 7 月 25 日基金合同生效,合同生效当年按实际存续期计算,不按整个自然年度进行折算。3.3 过去三年基金的利润分配情况
                                                                    金额单位:人民币元
                                               新华优选成长股票型证券投资基金 2013 年年度报告摘要
          每10份基金
    年度                     现金形式发放总额      再投资形式发放总额         年度利润分配合计         备注
          份额分红数
    2013            3.600      1,063,139,977.70            238,032,318.33       1,301,172,296.03   -
    2012            3.000       634,973,874.76             472,051,910.12       1,107,025,784.88   -
    合计            6.600      1,698,113,852.46            710,084,228.45       2,408,198,080.91   -
                                         §4 管理人报告
    4.1 基金管理人及基金经理情况
    4.1.1 基金管理人及其管理基金的经验
       新华基金管理有限公司经中国证券监督管理委员会批复,于 2004 年 12 月 9 日注册成立。
    注册地为重庆市,是我国西部首家基金管理公司。
       截至 2013 年 12 月 31 日,新华基金管理有限公司旗下管理着十四只开放式基金,即新
    华优选分红混合型证券投资基金、新华优选成长股票型证券投资基金、新华泛资源优势灵活
    配置混合型证券投资基金、新华钻石品质企业股票型证券投资基金、新华行业周期轮换股票
    型证券投资基金、新华中小市值优选股票型证券投资基金、新华灵活主题股票型证券投资基
    金、新华优选消费股票型证券投资基金、新华纯债添利债券型发起式证券投资基金、新华行
    业轮换灵活配置混合型证券投资基金、新华趋势领航股票型证券投资基金、新华安享惠金定
    期开放债券型证券投资基金、新华壹诺宝货币市场基金和新华信用增益债券型证券投资基
    金。
    4.1.2 基金经理(或基金经理小组)及基金经理助理的简介
                          任本基金的基金经理期限         证券从业
    姓名          职务                                                              说明
                           任职日期         离任日期       年限
                本基金
                基金经                                                  经济学硕士,2007 年加入新华
                理,新                                                  基金管理有限公司,历任行业
                华行业                                                  分析师;策略分析师及新华优
                周期轮                                                  选成长股票型证券投资基金的
                换股票                                                  基金经理助理。现任新华优选
    何潇                   2012-07-30    -                    6
                型证券                                                  成长股票型证券投资基金的基
                投资基                                                  金经理、新华行业周期轮换股
                金基金                                                  票型证券投资基金基金经理,
                经理,                                                  新华行业灵活配置混合型证券
                新华行                                                  投资基金基金经理。
                业灵活
                                   新华优选成长股票型证券投资基金 2013 年年度报告摘要
         配置混
         合型证
         券投资
         基金基
         金 经
         理。
         本基金
         基金经
         理、新
         华泛资
         源优势
         灵活配
                                                         经济学硕士,历任天津中融证
         置混合
                                                         券投资咨询公司研究员、申银
         型证券
                                                         万国天津佟楼营业部投资经纪
         投资基
                                                         顾问部经理、海融资讯系统有
         金基金
                                                         限公司研究员、和讯信息科技
         经理,
                                                         有限公司证券研究部、理财服
         新华优
                                                         务部经理、北方国际信托股份
         选消费
                                                         有限公司投资部信托高级投资
         股票型
    崔建波            2012-01-10   2013-02-01       18       经理、新华优选成长股票型证
         证券投
                                                         券投资基金基金经理。现任新
         资基金
                                                         华基金管理有限公司基金管理
         基金经
                                                         部副总监,新华泛资源优势灵
         理,新
                                                         活配置混合型证券投资基金基
         华趋势
                                                         金经理,新华优选消费股票型
         领航股
                                                         证券投资基金基金经理,新华
         票型证
                                                         趋势领航股票型证券投资基金
         券投资
                                                         基金经理。
         基金基
         金 经
         理,基
         金管理
         部副总
         监。
         本基金                                          硕士,先后供职于广东发展银
         基金经                                          行海南证券业务部,任经理;
         理,投                                          广发证券公司海口海甸岛营业
         资 总                                           部,负责营业部管理并从事投
         监,副                                          资银行工作;广发证券公司投
    王卫东            2008-07-25   -                20
         总 经                                           资理财部和自营部,任经理;
         理,深                                          华龙证券有限责任公司投资理
         圳新华                                          财总部,任总经理;青岛海东
         富时资                                          清置业有限公司,任总经理。
         产管理                                          现任新华基金管理有限公司副
                                      新华优选成长股票型证券投资基金 2013 年年度报告摘要
            有限公                                          总经理、投资总监、新华优选
            司执行                                          成长股票型证券投资基金基金
            董事。                                          经理,子公司深圳新华富时资
                                                            产管理有限公司执行董事.
                                                            管理学硕士,历任广发证券股
            本基金
                                                            份有限公司环市东营业部大户
            基金经
                                                            主管,广发证券股份有限公司
            理、新
                                                            资产管理部投资经理。李昱女
            华灵活
                                                            士于 2010 年 3 月加入新华基金
    李昱       主题股   2013-02-01   -                16
                                                            管理有限公司,历任专户管理
            票型证
                                                            部负责人。现任新华灵活主题
            券投资
                                                            股票型证券投资基金基金经
            基金基
                                                            理、新华优选成长股票型证券
            金经理
                                                            投资基金基金经理。
            本基金
            基金经
            理 助
            理、新
            华纯债
            添利债
            券型发
                                                            经济学硕士,于 2007 年加入新
            起式证
                                                            华基金管理有限公司,先后负
            券投资
                                                            责研究煤炭、电力、金融、通
            基金基
                                                            信设备、电子和有色金属等行
            金 经
                                                            业,历任新华优选成长股票型
            理,新
    贲兴振               2012-07-30   2013-02-01       6        证券投资基金基金经理助理。
            华灵活
                                                            现任新华纯债添利债券型发起
            主题股
                                                            式证券投资基金基金经理,新
            票型证
                                                            华灵活主题股票型证券投资基
            券投资
                                                            金基金经理,新华壹诺宝货币
            基金基
                                                            市场基金基金经理。
            金 经
            理,新
            华壹诺
            宝货币
            市场基
            金基金
            经理。
    注:1、此处的任职日期和离任日期均指公司作出决定之日为准。
    2、证券从业的含义遵从行业协会《证券业从业人员资格管理办法》的相关规定。4.2 管理人对报告期内本基金运作遵规守信情况的说明
    本报告期,新华基金管理有限公司作为新华优选成长股票型证券投资基金的管理人按照
                                      新华优选成长股票型证券投资基金 2013 年年度报告摘要《中华人民共和国证券投资基金法》、《新华优选成长股票型证券投资基金基金合同》以及其它有关法律法规的规定,本着诚实信用、勤勉尽责的原则管理和运用基金资产,在严格控制风险的基础上为持有人谋求最大利益。运作整体合法合规,无损害基金持有人利益的行为。4.3 管理人对报告期内公平交易情况的专项说明
    4.3.1 公平交易制度和控制方法
    根据中国证监会颁布的《证券投资基金管理公司公平交易制度指导意见》(2011 年修订),公司制定了《新华基金管理有限公司公平交易管理制度》。制度的范围包括境内上市股票、债券的一级市场申购、二级市场交易等所有投资管理活动,同时包括授权、研究分析、投资决策、交易执行等投资管理活动相关的各个环节。
    场内交易,投资指令统一由中央交易室下达,并且启动交易系统公平交易模块。根据公司制度,严格禁止不同投资组合之间互为对手方的交易,严格控制不同投资组合之间的同日反向交易。
    场外交易中,对于部分债券一级市场申购、非公开发行股票申购等交易,中央交易室根据各投资组合经理申报的满足价格条件的数量进行比例分配。如有异议,由中央交易室报投资总监、督察长、金融工程部和监察稽核部,再次进行审核并确定最终分配结果。如果督察长认为有必要,可以召开风险管理委员会,对公平交易的结果进行评估和审议。对于银行间市场交易、固定收益平台、交易所大宗交易,投资组合经理以该投资组合的名义向中央交易室下达投资指令,中央交易室向银行间市场或交易对手询价、成交确认,并根据“时间优先、价格优先”的原则保证各投资组合获得公平的交易机会。
    4.3.2 公平交易制度的执行情况
    报告期内,基金管理人严格执行了《新华基金管理有限公司公平交易制度》的规定。
    基金管理人对旗下所有投资组合间连续 4 个季度的日内、3 日内以及 5 日内股票和债券交易同向交易价差分析及相应情景分析表明:债券同向交易频率偏低;股票同向交易溢价率较高的因素主要是受到市场因素影响造成个股当日价格振幅较大或者是组合经理个人对交易时机的判断,即成交价格的日内变化较大以及投资组合的成交时间不一致而导致个别组合间的交易价差较大,结合通过对平均溢价率、买入/卖出溢价率以及利益输送金额等不同组合不同时间段的同向交易价差分析表明投资组合间不存在利益输送的可能性。
    4.3.3 异常交易行为的专项说明
    基金管理人原则上不允许同日反向交易行为的发生,本报告期内,未发生有投资组合参与的交易所公开竞价同日反向交易成交较少的单边成交量超过该证券当日成交量的 5%的情
                                       新华优选成长股票型证券投资基金 2013 年年度报告摘要况。4.4 管理人对报告期内基金的投资策略和业绩表现的说明4.4.1 报告期内基金投资策略和运作分析
    2013 年宏观经济增速下行,上证综指代表的大盘震荡下行,而代表经济转型的创业板指数不断创出新高,2013 年结构性行情表现明显。本报告期内,本基金较好地把握了传媒,计算机,通讯等 TMT 行业以及医药行业的行情,基金净值在 2013 年上半年表现优异,但随着小盘股估值的不断提高,在 2013 年下半年的操作趋于谨慎,没有很好地把握住下半年的结构性行情。在 2013 年的操作中,总体来说在兼顾了净值增长弹性的基础上,也适当兼顾了长期稳定增长明确的行业板块及个股的把握,取得了一定的收益。我们将不断总结经验,汲取教训,完善不足之处,以追求净值的稳定增长为目标,取得更好的投资业绩。4.4.2 报告期内基金的业绩表现
    截至 2013 年 12 月 31 日,本基金份额净值为 1.1067 元,本报告期份额净值增长率为22.45%,同期比较基准的增长率为-5.30%。4.5 管理人对宏观经济、证券市场及行业走势的简要展望
    站在目前这个时点,宏观经济可以看到有几个变化趋势,一是经济增速出现从高速向低速的拐点,其次是对经济结构转型带来的宏观经济超预期下行的可能性在增加,再次就是对前期刺激政策带来的地方债务风险的在较长时间内的释放。鉴于以上的判断,调结构、促改革、推动经济转型是大势所趋,在周期类行业没有机会的情况下,证券市场还是会沿着“政策红利,经济转型”这样的思路去演绎结构型行情。
    因此对于后期的操作,大方向不会改变,但由于担心经济转型期间经济可能有阶段性超预期下行的情况出现,今年的大类资产配置如仓位的调配可能是需要注意的关键。在行业个股选择方面,由于新兴行业在去年的结构行情中估值已经推到了高位,今年的重点更多地会放在传统行业向新兴行业转型的投资机会上,另一个关注点是制度创新,如国企改革等带来的投资机会。4.6 管理人对报告期内基金估值程序等事项的说明
    4.6.1 有关参与估值流程各方及人员(或小组)的职责分工
    4.6.1.1 估值工作小组的职责分工
    公司建立估值工作小组对证券估值负责。估值工作小组由运作保障部负责人、基金会计、投资管理部、中央交易室、监察稽核部人员组成。每个成员都可以指定一个临时或者长期的
                                       新华优选成长股票型证券投资基金 2013 年年度报告摘要授权人员。
    估值工作小组职责:
    ① 制定估值制度并在必要时修改;
    ② 确保估值方法符合现行法规;
    ③ 批准证券估值的步骤和方法;
    ④ 对异常情况做出决策。
    运作保障部负责人是估值工作小组的组长,运作保障部负责人在基金会计或者其他两个估值小组成员的建议下,可以提议召集估值工作小组会议。
    估值决策由估值工作小组 2/3 或以上多数票通过。
    4.6.1.2 基金会计的职责分工
    基金会计负责日常证券资产估值。基金会计和公司投资管理部相互独立。在按照本估值制度和相关法规估值后,基金会计定期将证券估值表向估值工作小组报告,至少每月一次。
    基金会计职责:
    ① 获得独立、完整的证券价格信息;
    ② 每日证券估值;
    ③ 检查价格波动并进行一般准确性评估;
    ④ 向交易员或基金经理核实价格异常波动,并在必要时向估值工作小组报告;
    ⑤ 对每日证券价格信息和估值结果进行记录;
    ⑥ 对估值调整和人工估值进行记录;
    ⑦ 向估值工作小组报送月度估值报告。
    基金会计认为必要,可以提议召开估值工作小组会议。
    4.6.1.3 投资管理部的职责分工
    ① 接受监察稽核部对所投资证券价格异常波动的问讯;
    ② 对停牌证券、价格异常波动证券、退市证券提出估值建议;
    ③ 评价并确认基金会计提供的估值报告;
    ④ 向估值工作小组报告任何他/她认为可能的估值偏差。
    4.6.1.4 中央交易室的职责分工
                                        新华优选成长股票型证券投资基金 2013 年年度报告摘要
    ① 对基金会计的证券价格信息需求做出即时回应;
    ② 通知基金会计关于证券停牌、价格突发性异常波动、退市等特定信息;
    ③ 评价并确认基金会计提供的估值报告。
    4.6.1.5 监察稽核部的职责分工
    ① 监督证券的整个估值过程;
    ② 确保估值工作小组制定的估值政策得到遵守;
    ③ 确保公司的估值制度和方法符合现行法律、法规的要求;
    ④ 评价现行估值方法是否恰当反应证券公允价格的风险;
    ⑤ 对于估值表中价格异常波动的证券向投资部问讯;
    ⑥ 对于认为不合适或者不再合适的估值方法提交估值工作小组讨论。4.7 管理人对报告期内基金利润分配情况的说明
    根据《证券投资基金法》、《证券投资基金运作管理办法》以及《新华优选成长股票型证券投资基金基金合同》的有关约定,依据 2013 年 12 月 25 日本基金已实现的可分配利润,对权益登记在册的本基金份额持有人分配现金红利,每 10 份基金份额分配 3.60 元,本次分红的权益登记、除权日为 2013 年 12 月 25 日,现金红利发放日为 2013 年 12 月 27 日。
                                   §5 托管人报告5.1 报告期内本基金托管人遵规守信情况声明
    在托管新华优选成长股票型证券投资基金的过程中,本基金托管人——中国农业银行股份有限公司严格遵守《证券投资基金法》相关法律法规的规定以及《新华优选成长股票型证券投资基金基金合同》、《新华优选成长股票型证券投资基金托管协议》的约定,对新华优选成长股票型证券投资基金管理人——新华基金管理有限公司 2013 年 1 月 1 日至 2013 年 12月 31 日基金的投资运作,进行了认真、独立的会计核算和必要的投资监督,认真履行了托管人的义务,没有从事任何损害基金份额持有人利益的行为。5.2 托管人对报告期内本基金运作遵规守信、净值计算、利润分配等情况的说明
    本托管人认为,新华基金管理有限公司在新华优选成长股票型证券投资基金的投资运作、基金资产净值的计算、基金份额申购赎回价格的计算、基金费用开支、利润分配等问题上,不存在损害基金份额持有人利益的行为;在报告期内,严格遵守了《证券投资基金法》
                                         新华优选成长股票型证券投资基金 2013 年年度报告摘要等有关法律法规,在各重要方面的运作严格按照基金合同的规定进行。5.3 托管人对本年度报告中财务信息等内容的真实、准确和完整发表意见
    本托管人认为,新华基金管理有限公司的信息披露事务符合《证券投资基金信息披露管理办法》及其他相关法律法规的规定,基金管理人所编制和披露的新华优选成长股票型证券投资基金年度报告中的财务指标、净值表现、收益分配情况、财务会计报告、投资组合报告等信息真实、准确、完整,未发现有损害基金持有人利益的行为。
    中国农业银行股份有限公司托管业务部
    2014 年 3 月 27 日
                                        §6 审计报告
    本报告期基金财务报告经瑞华会计师事务所(特殊普通合伙)审计,注册会计师李荣坤、张吉范签字出具了标准无保留意见的审计报告。投资者可通过年度报告正文查看审计报告正文。
                                      §7 年度财务报表
       7.1 资产负债表
    会计主体:新华优选成长股票型证券投资基金
    报告截止日:2013 年 12 月 31 日
                                                                          单位:人民币元
                                      本期末                          上年度末
             资 产
                                  2013年12月31日                   2012年12月31日资 产:
    银行存款                                   584,732,253.98                  265,129,212.76
    结算备付金                                     11,277,242.35                  3,405,619.98
    存出保证金                                      3,902,279.37                  1,328,336.87
    交易性金融资产                           2,484,981,457.80                 3,273,246,810.22
    其中:股票投资                           2,479,289,298.60                 3,273,246,810.22
         基金投资                                          -                             -
         债券投资                               5,692,159.20                             -
         资产支持证券投资                                  -                             -
    衍生金融资产                                               -                             -
    买入返售金融资产                           834,438,546.65                                -
                                         新华优选成长股票型证券投资基金 2013 年年度报告摘要
    应收证券清算款                                             -                             -
    应收利息                                         864,600.98                      72,496.91
    应收股利                                                   -                             -
    应收申购款                                      2,178,277.14                   468,830.09
    递延所得税资产                                             -                             -
    其他资产                                                   -                             -
    资产总计                                  3,922,374,658.27                3,543,651,306.83
                                       本期末                         上年度末
       负债和所有者权益
                                   2013年12月31日                  2012年12月31日负 债:
    短期借款                                                   -                             -
    交易性金融负债                                             -                             -
    衍生金融负债                                               -                             -
    卖出回购金融资产款                                         -                             -
    应付证券清算款                                             -                77,533,313.74
    应付赎回款                                 658,564,544.50                   10,210,751.43
    应付管理人报酬                                  4,145,583.18                  4,280,977.40
    应付托管费                                       690,930.52                    713,496.26
    应付销售服务费                                             -                             -
    应付交易费用                                10,904,757.89                     3,332,228.27
    应交税费                                                   -                             -
    应付利息                                                   -                             -
    应付利润                                                   -                             -
    递延所得税负债                                             -                             -
    其他负债                                        3,134,086.87                  1,325,016.55
    负债合计                                   677,439,902.96                   97,395,783.65所有者权益:
    实收基金                                  2,932,081,710.97                2,867,866,675.83
    未分配利润                                 312,853,044.34                  578,388,847.35
    所有者权益合计                            3,244,934,755.31                3,446,255,523.18
    负债和所有者权益总计                      3,922,374,658.27                3,543,651,306.83
    注:截至 2013 年 12 月 31 日,基金份额净值 1.1067 元,基金份额总额 2,932,081,710.97份。7.2 利润表
    会计主体:新华优选成长股票型证券投资基金
    本报告期:2013 年 1 月 1 日至 2013 年 12 月 31 日
                                                                          单位:人民币元
                                          本期                     上年度可比期间
              项 目              2013年1月1日至2013年12        2012年1月1日至2012年12
                                        月31日                         月31日
                                             新华优选成长股票型证券投资基金 2013 年年度报告摘要
    一、收入                                    910,962,651.68                140,595,147.34
    1.利息收入                                      8,577,080.26                 4,992,771.76
    其中:存款利息收入                              3,301,467.18                 4,560,662.18
           债券利息收入                                  7,269.63                            -
           资产支持证券利息收入                                 -                            -
           买入返售金融资产收入                      5,268,343.45                  432,109.58
           其他利息收入                                         -                            -
    2.投资收益(损失以“-”填列)               836,251,984.08                -367,908,822.66
    其中:股票投资收益                          822,493,158.00                -413,338,484.76
           基金投资收益                                         -                            -
           债券投资收益                                -15,640.00                            -
           资产支持证券投资收益                                 -                            -
           衍生工具收益                                         -                            -
           股利收益                                 13,774,466.08               45,429,662.10
    3.公允价值变动收益(损失以
                                                    60,078,792.44              500,746,361.65
    “-”号填列)
    4.汇兑收益(损失以“-”号
                                                                -                            -
    填列)
    5.其他收入(损失以“-”号填
                                                     6,054,794.90                 2,764,836.59
    列)
    减:二、费用                                101,046,454.78                 86,414,870.78
    1.管理人报酬                                  47,572,995.00               57,124,131.79
    2.托管费                                       7,928,832.55                 9,520,688.74
    3.销售服务费                                              -                            -
    4.交易费用                                    45,125,829.06               19,366,836.26
    5.利息支出                                                -                            -
    其中:卖出回购金融资产支出                                 -                            -
    6.其他费用                                      418,798.17                   403,213.99
    三、利润总额(亏损总额以“-”
                                                 809,916,196.90                 54,180,276.56
    号填列)
    减:所得税费用                                             -                            -
    四、净利润(净亏损以“-”号
                                                 809,916,196.90                 54,180,276.56
    填列)
    7.3 所有者权益(基金净值)变动表
        会计主体:新华优选成长股票型证券投资基金
        本报告期:2013 年 1 月 1 日至 2013 年 12 月 31 日
                                                                               单位:人民币元
                                                                 本期
                 项目                                2013年1月1日至2013年12月31日
                                          实收基金            未分配利润         所有者权益合计
    一、期初所有者权益(基金净值)         2,867,866,675.83       578,388,847.35       3,446,255,523.18
                                            新华优选成长股票型证券投资基金 2013 年年度报告摘要
    二、本期经营活动产生的基金净值变                      -     809,916,196.90         809,916,196.90动数(本期利润)
    三、本期基金份额交易产生的基金净         64,215,035.14      225,720,296.12         289,935,331.26值变动数(净值减少以“-”号填列)
    其中:1.基金申购款                    4,351,434,616.73     1,832,066,085.07       6,183,500,701.80
      2.基金赎回款                    -4,287,219,581.59   -1,606,345,788.95      -5,893,565,370.54
    四、本期向基金份额持有人分配利润                      -   -1,301,172,296.03      -1,301,172,296.03产生的基金净值变动(净值减少以“-”号填列)
    五、期末所有者权益(基金净值)        2,932,081,710.97      312,853,044.34        3,244,934,755.31
                                                          上年度可比期间
               项目                                2012年1月1日至2012年12月31日
                                         实收基金           未分配利润         所有者权益合计
    一、期初所有者权益(基金净值)        2,208,520,248.27      964,190,047.67       3,172,710,295.94
    二、本期经营活动产生的基金净值变                      -       54,180,276.56          54,180,276.56动数(本期利润)
    三、本期基金份额交易产生的基金净        659,346,427.56      667,044,308.00        1,326,390,735.56值变动数(净值减少以“-”号填列)
    其中:1.基金申购款                    2,621,949,299.84     1,105,301,987.45       3,727,251,287.29
      2.基金赎回款                    -1,962,602,872.28     -438,257,679.45      -2,400,860,551.73
    四、本期向基金份额持有人分配利润                      -   -1,107,025,784.88      -1,107,025,784.88产生的基金净值变动(净值减少以“-”号填列)
    五、期末所有者权益(基金净值)        2,867,866,675.83      578,388,847.35        3,446,255,523.18
       报告附注为财务报表的组成部分
       本报告页码从 7.1 至 7.4,财务报表由下列负责人签署;
       基金管理公司负责人:陈重,主管会计工作负责人:张宗友,会计机构负责人:徐端骞
    7.4 报表附注
    7.4.1 本报告期所采用的会计政策、会计估计与最近一期年度报告相一致的说明
        本报告期所采用的会计政策、会计估计与最近一期年度报告相一致。
    7.4.2.差错更正的说明
        本基金报告期内未发生会计差错更正。
    7.4.3 关联方关系
                   关联方名称                                     与本基金的关系
    新华基金管理有限公司                               基金管理人、基金发起人
    中国农业银行股份有限公司                           基金托管人
    新华信托股份有限公司                               基金管理人股东
    恒泰证券股份有限公司                               基金管理人股东
    杭州永原网络科技有限公司                           基金管理人股东
                                              新华优选成长股票型证券投资基金 2013 年年度报告摘要
           注:本报告期内,本公司原有股东陕西蓝潼投资有限公司将其持有的 30%股权、上海
    大众环境产业有限公司将其持有的 13.75%股权转让给恒泰证券股份有限公司,并已完成证
    监会审批和工商变更登记手续。
    7.4.4 本报告期及上年度可比期间的关联方交易
    7.4.4.1 通过关联方交易单元进行的交易
    7.4.4.1.1 股票交易
                                                                            金额单位:人民币元
                                                                  本期
                                                      2013年1月1日至2013年12月31日
                      关联方名称
                                                                            占当期股票成交
                                                         成交金额
                                                                              总额的比例
       恒泰证券                                          3,181,097,177.02            10.39%
    7.4.4.1.2 权证交易
           本基金本报告期及上年度可比期间未通过关联方交易单元进行权证交易。
    7.4.4.1.3 债券交易
           本基金本报告期及上年度可比期间未通过关联方交易单元进行债券交易。
    7.4.4.1.4 债券回购交易
           本基金本报告期及上年度可比期间未通过关联方交易单元进行债券回购交易。
    7.4.4.1.5 应支付关联方的佣金
                                                                            金额单位:人民币元
                                                       本期
                                           2013年1月1日至2013年12月31日
    关联方名称
                             当期         占当期佣金总                               占期末应付佣金
                                                             期末应付佣金余额
                             佣金           量的比例                                   总额的比例
    恒泰证券                   2,870,723.25         11.27%                           -                 -
    7.4.4.2 关联方报酬
    7.4.4.2.1 基金管理费
                                                                               单位:人民币元
                                              本期                         上年度可比期间
              项目                  2013年1月1日至2013年12月31       2012年1月1日至2012年12月31
                                                日                               日当期发生的基金应支付的管理
                                                     47,572,995.00                     57,124,131.79费其中:支付销售机构的客户维护
                                                      9,197,719.52                     10,612,277.81费
                                           新华优选成长股票型证券投资基金 2013 年年度报告摘要
       注:1、基金管理人报酬按前一日基金资产净值 1.5%的年费率逐日计提,逐日累计至每
    月月底,按月支付。
       其计算公式为:日管理人报酬=前一日基金资产净值×1.5%/当年天数
       2、本报告期列示的支付销售机构的客户维护费为本期计提金额。
    7.4.4.2.2 基金托管费
                                                                              单位:人民币元
                                         本期                             上年度可比期间
              项目             2013年1月1日至2013年12月31           2012年1月1日至2012年12月31
                                           日                                   日当期发生的基金应支付的托管
                                                   7,928,832.55                       9,520,688.74费
       注:基金托管费按前一日的基金资产净值 0.25%的年费率逐日计提确认。
       其计算公式为:日托管人报酬=前一日基金资产净值×0.25%/当年天数
    7.4.4.3 与关联方进行银行间同业市场的债券(含回购)交易
       本基金本报告期及上年度可比期间未进行银行间关联方交易。
    7.4.4.4 各关联方投资本基金的情况
    7.4.4.4.1 报告期内基金管理人运用固有资金投资本基金的情况
                                                                                     单位:份
                                             本期                          上年度可比期间
              项目             2013 年 1 月 1 日至 2013 年 12       2012 年 1 月 1 日至 2012 年 12
                                           月 31 日                             月 31 日
    期初持有的基金份额                                22,924,693.84                      18,488,228.77
    期间申购/买入总份额                                             -                     4,436,465.07
    期间因拆分变动份额                                              -                                    -
    减:期间赎回/卖出总份额                           22,924,693.84                                      -
    期末持有的基金份额                                         0.00                      22,924,693.84期末持有的基金份额占基金总
                                                           0%                               0.80%份额比例
    7.4.4.4.2 报告期末除基金管理人之外的其他关联方投资本基金的情况
       报告期末除基金管理人之外的其他关联方未投资本基金。
    7.4.4.5 由关联方保管的银行存款余额及当期产生的利息收入
                                                                              单位:人民币元
    关联方名称                      本期                                   上年度可比期间
                                                         新华优选成长股票型证券投资基金 2013 年年度报告摘要
                              2013 年 1 月 1 日至 2013 年 12 月 31 日       2012 年 1 月 1 日至 2012 年 12 月 31 日
                               期末余额            当期利息收入              期末余额             当期利息收入
         中国农业银行        584,732,253.98          3,046,181.69          265,129,212.76            4,476,617.86
             7.4.4.6 本基金在承销期内参与关联方承销证券的情况
                   本基金本报告期及上年度可比期间未参与关联方承销证券。
             7.4.5 期末(2013 年 12 月 31 日)本基金持有的流通受限证券
             7.4.5.1 因认购新发/增发证券而于期末持有的流通受限证券
                   本基金本报告期末没有因认购新发/增发证券停牌的股票。
             7.4.5.2 期末持有的暂时停牌等流通受限股票
                                                                                          金额单位:人民币元
                                          期末          复牌                                        期末
                                   停牌                                   期末
    股票代码 股票名称       停牌日期        估值单 复牌日期 开盘 数量(股)                           估值总额          备注
                                   原因                                 成本总额
                                          价            单价
                                重大
                                                                                    31,097,225.1
    300125    易世达     2013-12-16 事项 14.80 2014-01-15 15.20             2,176,277                32,208,899.60             -
                                                                                               5
                                停牌
                                定增
                                收购                                                115,274,141.
    300190    维尔利     2013-12-23      22.06 2014-03-10 24.27             5,117,710                112,896,682.60            -
                                资产                                                         03
                                停牌
                                重大
                                资产                                                28,310,204.9
    600572    康恩贝     2013-11-25      13.51                 -      -     1,999,956                27,019,405.56             -
                                重组                                                           3
                                停牌
             7.4.5.3 期末债券正回购交易中作为抵押的债券
             7.4.5.3.1 银行间市场债券正回购
                   本基金本报告期末无银行间市场债券正回购。
             7.4.5.3.2 交易所市场债券正回购
                   本基金本报告期末无交易所市场债券正回购。
                                                      §8 投资组合报告
             8.1 期末基金资产组合情况
                                                                                          金额单位:人民币元
                                                                                                占基金总资产的比
          序号                     项目                                     金额
                                                                                                    例(%)
                                             新华优选成长股票型证券投资基金 2013 年年度报告摘要
    1     权益投资                                               2,479,289,298.60                    63.21
       其中:股票                                             2,479,289,298.60                    63.21
    2     固定收益投资                                               5,692,159.20                     0.15
       其中:债券                                                 5,692,159.20                     0.15
               资产支持证券                                                   -                          -
    3     金融衍生品投资                                                         -                          -
    4     买入返售金融资产                                         834,438,546.65                    21.27
       其中:买断式回购的买入返售金融资产                                     -                          -
    5     银行存款和结算备付金合计                                 596,009,496.33                    15.20
    6     其他各项资产                                               6,945,157.49                     0.18
    7     合计                                                   3,922,374,658.27                100.00
    8.2 期末按行业分类的股票投资组合
                                                                         金额单位:人民币元
                                                                                  占基金资产净值比
    代码                    行业类别                           公允价值
                                                                                      例(%)
    A      农、林、牧、渔业                                                     -                      -
    B      采矿业                                                   69,593,865.21                2.14
    C      制造业                                                1,843,196,768.28              56.80
    D      电力、热力、燃气及水生产和供应业                         53,142,821.76                1.64
    E      建筑业                                                    7,245,800.85                0.22
    F      批发和零售业                                             89,916,551.08                2.77
    G      交通运输、仓储和邮政业                                               -                      -
    H      住宿和餐饮业                                                         -                      -
    I      信息传输、软件和信息技术服务业                           96,145,251.10                2.96
    J      金融业                                                               -                      -
    K      房地产业                                                 52,841,755.89                1.63
    L      租赁和商务服务业                                          4,156,996.10                0.13
    M      科学研究和技术服务业                                     32,208,899.60                0.99
    N      水利、环境和公共设施管理业                             210,999,107.55                 6.50
    O      居民服务、修理和其他服务业                                           -                      -
    P      教育                                                                 -                      -
    Q      卫生和社会工作                                           19,841,481.18                0.61
    R      文化、体育和娱乐业                                                   -                      -
    S      综合                                                                 -                      -
        合计                                                  2,479,289,298.60              76.40
    8.3 期末按公允价值占基金资产净值比例大小排序的前十名股票投资明细
                                                                         金额单位:人民币元
                                                                                   占基金资产净值
    序号   股票代码     股票名称         数量(股)               公允价值
                                                                                     比例(%)
    1      300045      华力创通             5,960,966               148,428,053.40                   4.57
                                              新华优选成长股票型证券投资基金 2013 年年度报告摘要
    2       300285     国瓷材料              3,904,372               123,846,679.84                   3.82
    3       300190       维尔利              5,117,710                112,896,682.60                  3.48
    4       600261     阳光照明              7,272,313               101,012,427.57                   3.11
    5       600703     三安光电              3,796,111                 94,105,591.69                  2.90
    6       600597     光明乳业              3,465,491                 76,933,900.20                  2.37
    7       002317     众生药业              3,690,955                 72,711,813.50                  2.24
    8       002219     独 一 味              2,892,954                 71,224,527.48                  2.19
    9       002104     恒宝股份              4,631,436                 70,212,569.76                  2.16
    10       002570       贝因美              2,040,333                 62,638,223.10                  1.93
         注:投资者欲了解本报告期末基金投资的所有股票明细,应阅读登载于基金管理人网站
    http://www.ncfund.com.cn 的年度报告正文。
    8.4 报告期内股票投资组合的重大变动
    8.4.1 累计买入金额超出期初基金资产净值 2%或前 20 名的股票明细
                                                                          金额单位:人民币元
                                                                                占期初基金资产净值
    序号     股票代码        股票名称                 本期累计买入金额
                                                                                    比例(%)
          000002         万    科A                            388,657,070.43                  11.28
          600837         海通证券                              382,679,188.88                  11.10
          601318         中国平安                              269,706,680.31                      7.83
          600016         民生银行                              241,747,923.36                      7.01
          601788         光大证券                              221,935,691.97                      6.44
          600383         金地集团                              220,122,958.48                      6.39
          600030         中信证券                              207,206,061.05                      6.01
          300197         铁汉生态                              198,135,577.27                      5.75
          600036         招商银行                              183,317,804.40                      5.32
          300168         万达信息                              174,621,524.69                      5.07
          300335         迪森股份                              172,992,212.32                      5.02
          000100         TCL 集团                              167,669,700.78                      4.87
          000895         双汇发展                              164,177,620.01                      4.76
          600637          百视通                               161,753,719.38                      4.69
          600261         阳光照明                              161,575,699.85                      4.69
          600703         三安光电                              153,278,032.82                      4.45
          300113         顺网科技                              145,359,486.10                      4.22
          000063         中兴通讯                              144,055,097.88                      4.18
          300285         国瓷材料                              142,761,340.87                      4.14
          300017         网宿科技                              142,519,275.24                      4.14
          002400         省广股份                              142,072,173.16                      4.12
          300055          万邦达                               141,735,691.62                      4.11
          300058         蓝色光标                              138,741,198.77                      4.03
                    新华优选成长股票型证券投资基金 2013 年年度报告摘要
    002317   众生药业                    137,700,994.59                      4.00
    300045   华力创通                    133,556,162.34                      3.88
    002104   恒宝股份                    132,506,837.98                      3.84
    002375   亚厦股份                    123,196,318.70                      3.57
    300190   维尔利                      120,854,413.10                      3.51
    002221   东华能源                    118,101,019.62                      3.43
    000826   桑德环境                    112,873,127.48                      3.28
    002008   大族激光                    112,805,080.91                      3.27
    603000   人民网                      110,877,322.29                      3.22
    600728   佳都科技                    108,293,373.88                      3.14
    600048   保利地产                    106,706,010.57                      3.10
    601166   兴业银行                    106,156,727.14                      3.08
    600498   烽火通信                    104,104,395.98                      3.02
    600597   光明乳业                    101,345,915.62                      2.94
    600999   招商证券                    101,301,688.36                      2.94
    000024   招商地产                     95,591,562.18                      2.77
    300005   探路者                       95,581,847.81                      2.77
    002340   格林美                       94,402,058.09                      2.74
    300072   三聚环保                     93,886,072.30                      2.72
    002313   日海通讯                     93,457,220.48                      2.71
    300133   华策影视                     90,956,165.41                      2.64
    300026   红日药业                     90,850,818.16                      2.64
    000937   冀中能源                     90,525,409.04                      2.63
    300071   华谊嘉信                     89,871,866.29                      2.61
    600108   亚盛集团                     89,413,628.35                      2.59
    300164   通源石油                     89,388,958.59                      2.59
    601633   长城汽车                     86,513,828.87                      2.51
    300079   数码视讯                     85,227,916.76                      2.47
    600809   山西汾酒                     84,943,054.47                      2.46
    600585   海螺水泥                     84,318,453.99                      2.45
    600750   江中药业                     83,630,016.74                      2.43
    600271   航天信息                     81,086,323.73                      2.35
    000423   东阿阿胶                     78,735,872.34                      2.28
    600535   天士力                       78,259,319.71                      2.27
    300014   亿纬锂能                     76,820,080.05                      2.23
    600031   三一重工                     76,482,222.32                      2.22
    601118   海南橡胶                     76,293,848.34                      2.21
    000581   威孚高科                     75,565,692.10                      2.19
    300125   易世达                       75,230,665.20                      2.18
    300101   国腾电子                     74,588,219.62                      2.16
    601989   中国重工                     72,623,557.90                      2.11
                                         新华优选成长股票型证券投资基金 2013 年年度报告摘要
        002294         信立泰                              71,875,973.89                      2.09
        600557        康缘药业                             70,700,287.75                      2.05
        600993         马应龙                              69,807,726.36                      2.03
        601886        江河创建                             69,217,967.35                      2.01
       注:本项“买入金额”均按买卖成交金额(成交单价乘以数量)填列,不考虑相关交易费用。
    8.4.2 累计卖出金额超出期初基金资产净值 2%或前 20 名的股票明细
                                                                     金额单位:人民币元
                                                                           占期初基金资产净值
    序号   股票代码       股票名称              本期累计卖出金额
                                                                               比例(%)
        300072        三聚环保                            495,894,565.28                  14.39
        601318        中国平安                            469,047,781.62                  13.61
        600837        海通证券                            460,062,428.51                  13.35
        000002        万   科A                           360,729,839.83                  10.47
        600030        中信证券                            298,333,823.11                      8.66
        601788        光大证券                            263,043,329.30                      7.63
        600016        民生银行                            235,393,854.27                      6.83
        600036        招商银行                            228,257,587.28                      6.62
        000602        金马退市                            221,867,753.22                      6.44
        600383        金地集团                            202,706,238.78                      5.88
        002375        亚厦股份                            201,438,347.66                      5.85
        600637         百视通                             196,430,291.63                      5.70
        300055         万邦达                             193,111,732.22                      5.60
        002400        省广股份                            189,421,963.45                      5.50
        300168        万达信息                            189,173,170.07                      5.49
        300197        铁汉生态                            180,917,396.80                      5.25
        300133        华策影视                            175,767,680.53                      5.10
        600887        伊利股份                            169,191,758.43                      4.91
        000100        TCL 集团                            168,986,509.84                      4.90
        300017        网宿科技                            165,608,068.74                      4.81
        000063        中兴通讯                            155,534,964.57                      4.51
        000895        双汇发展                            155,334,528.99                      4.51
        601166        兴业银行                            152,246,667.97                      4.42
        300058        蓝色光标                            149,903,210.19                      4.35
        002221        东华能源                            149,885,470.10                      4.35
        300079        数码视讯                            143,931,219.84                      4.18
        002008        大族激光                            134,055,332.69                      3.89
        300026        红日药业                            132,642,749.42                      3.85
        600498        烽火通信                            122,944,720.97                      3.57
        300335        迪森股份                            121,652,658.47                      3.53
        300113        顺网科技                            119,912,811.77                      3.48
                    新华优选成长股票型证券投资基金 2013 年年度报告摘要
    603000   人民网                      118,628,186.19                      3.44
    600535   天士力                      114,752,292.45                      3.33
    600728   佳都科技                    111,466,865.58                      3.23
    300027   华谊兄弟                    110,361,714.04                      3.20
    000024   招商地产                    106,796,982.89                      3.10
    000669   金鸿能源                    105,181,216.78                      3.05
    600048   保利地产                    104,154,360.38                      3.02
    600999   招商证券                     98,270,361.72                      2.85
    002340   格林美                       97,526,128.25                      2.83
    300014   亿纬锂能                     96,065,922.84                      2.79
    300005   探路者                       93,315,659.59                      2.71
    000581   威孚高科                     93,262,733.44                      2.71
    002024   苏宁云商                     93,246,701.75                      2.71
    002241   歌尔声学                     92,659,218.35                      2.69
    601633   长城汽车                     87,621,308.01                      2.54
    002294   信立泰                       86,635,729.69                      2.51
    600031   三一重工                     85,701,534.48                      2.49
    600509   天富热电                     85,544,349.33                      2.48
    002313   日海通讯                     85,161,160.72                      2.47
    601886   江河创建                     83,858,244.42                      2.43
    600108   亚盛集团                     82,192,238.24                      2.38
    002104   恒宝股份                     81,736,609.22                      2.37
    300182   捷成股份                     81,417,085.08                      2.36
    300071   华谊嘉信                     80,365,017.07                      2.33
    600750   江中药业                     79,404,049.04                      2.30
    601088   中国神华                     78,618,871.55                      2.28
    300205   天喻信息                     78,333,677.18                      2.27
    600585   海螺水泥                     77,696,523.38                      2.25
    300164   通源石油                     76,768,738.23                      2.23
    000937   冀中能源                     76,416,566.56                      2.22
    000422   湖北宜化                     74,621,067.72                      2.17
    600557   康缘药业                     74,541,253.29                      2.16
    002331   皖通科技                     74,270,996.86                      2.16
    600787   中储股份                     74,105,077.56                      2.15
    600261   阳光照明                     73,739,758.27                      2.14
    600688   上海石化                     73,034,509.67                      2.12
    601118   海南橡胶                     72,858,767.48                      2.11
    300285   国瓷材料                     70,879,752.70                      2.06
    300178   腾邦国际                     70,399,181.11                      2.04
    300334   津膜科技                     70,024,359.37                      2.03
    600993   马应龙                       69,408,940.87                      2.01
                                             新华优选成长股票型证券投资基金 2013 年年度报告摘要
           600809          山西汾酒                            68,799,384.11                      2.00
          注:本项“卖出金额”均按买卖成交金额(成交单价乘以数量)填列,不考虑相关交易费用。
      8.4.3 买入股票的成本总额及卖出股票的收入总额
                                                                               单位:人民币元
    买入股票的成本(成交)总额                                                       14,470,458,744.33
    卖出股票的收入(成交)总额                                                       16,147,393,047.19
      注:本项“买入股票的成本(成交)总额”与“卖出股票的收入(成交)总额”均按买卖成交金额(成交单价乘以数量)填列,不考虑相关交易费用。
      8.5 期末按债券品种分类的债券投资组合
                                                                         金额单位:人民币元
                                                                                      占基金资产净值
    序号                  债券品种                          公允价值
                                                                                        比例(%)
    1                    国家债券                                                   -                      -
    2                    央行票据                                                   -                      -
    3                    金融债券                                                   -                      -
               其中:政策性金融债                                                 -                      -
    4                    企业债券                                                   -                      -
    5                 企业短期融资券                                                -                      -
    6                    中期票据                                                   -                      -
    7                    可转债                                         5,692,159.20                 0.18
    8                     其他                                                      -                      -
    9                     合计                                          5,692,159.20                 0.18
      8.6 期末按公允价值占基金资产净值比例大小排名的前五名债券投资明细
                                                                         金额单位:人民币元
                                                                                       占基金资产净
    序号       债券代码       债券名称       数量(张)              公允价值
                                                                                       值比例(%)
    1         127002        徐工转债             60,970                 5,692,159.20                0.18
      8.7 期末按公允价值占基金资产净值比例大小排名的前十名资产支持证券投资明细
          本基金本报告期末未持有资产支持证券。
      8.8 期末按公允价值占基金资产净值比例大小排名的前五名权证投资明细
          本报告期末本基金未持有权证。
      8.9 投资组合报告附注
      8.9.1 本报告期末本基金投资的前十名证券没有被监管部门立案调查,或在报告编制日前一年
      内受到公开遣责、处罚的情形。
                                                新华优选成长股票型证券投资基金 2013 年年度报告摘要
      8.9.2 本报告期末本基金投资的前十名股票没有超出基金合同规定备选股票库。
      8.9.3 期末其他各项资产构成
                                                                                 单位:人民币元
    序号                         名称                                             金额
    1        存出保证金                                                                      3,902,279.37
    2        应收证券清算款                                                                             -
    3        应收股利                                                                                   -
    4        应收利息                                                                         864,600.98
    5        应收申购款                                                                      2,178,277.14
    6        其他应收款                                                                                 -
    7        待摊费用                                                                                   -
    8        其他                                                                                       -
    9        合计                                                                            6,945,157.49
      8.9.4 期末持有的处于转股期的可转换债券明细
          本报告期末本基金没有处于可转股期的可转债。
      8.9.5 期末前十名股票中存在流通受限情况的说明
                                                                              金额单位:人民币元
                                               流通受限部分的公 占基金资产净
    序号      股票代码          股票名称                                        流通受限情况说明
                                                   允价值       值比例(%)
    1         300190            维尔利                112,896,682.60            3.48
      8.9.6 投资组合报告附注的其他文字描述部分
         由于四舍五入的原因,分项之和与合计之间可能存在尾差。
                                       §9 基金份额持有人信息
      9.1 期末基金份额持有人户数及持有人结构
                                                                                      份额单位:份
                                                                持有人结构
    持有人户数       户均持有的基金              机构投资者                         个人投资者
    (户)             份额                                 占总份额                        占总份额比
                                         持有份额                         持有份额
                                                             比例                              例
         51,305          57,150.02      1,671,722,451.83     57.01%    1,260,359,256.14         42.99%
      9.2 期末基金管理人的从业人员持有本开放式基金的情况
                  项目                           持有份额总数(份)              占基金总份额比例基金管理公司所有从业人员持有本开放
                                                                  87,614.51                     0.003%式基金
          注:本公司高级管理人员、基金投资和研究部门负责人持有该只基金(成长)份额总量
                                            新华优选成长股票型证券投资基金 2013 年年度报告摘要
    的数量区间为 0 份;该只基金的基金经理持有该只基金份额总量的数量区间为 0 份。该只基
    金份额总量的数量区间为 50-100 万份。
                                   §10 开放式基金份额变动
                                                                                    单位:份
    基金合同生效日(2008 年 7 月 25 日)基金份额总额                                     278,333,456.06
    本报告期期初基金份额总额                                                         2,867,866,675.83
    本报告期期间基金总申购份额                                                       4,351,434,616.73
    减:本报告期期间基金总赎回份额                                                   4,287,219,581.59
    本报告期期间基金拆分变动份额                                                                     -
    本报告期期末基金份额总额                                                         2,932,081,710.97
                                      §11 重大事件揭示
    11.1 基金份额持有人大会决议
        本报告期内未召开基金份额持有人大会。
    11.2 基金管理人、基金托管人的专门基金托管部门的重大人事变动
        2013 年 1 月 18 日,因工作调动,孙枝来先生辞去新华基金管理有限公司总经理一职。
    2013 年 3 月 22 日,因工作调动,张宗友先生担任新华基金管理有限公司总经理一职。
    11.3 涉及基金管理人、基金财产、基金托管业务的诉讼
        本报告无涉及基金管理人、基金财产、基金托管业务的诉讼。
    11.4 基金投资策略的改变
       本报告期本基金投资策略无改变。
    11.5 为基金进行审计的会计师事务所情况
        本报告期内,本基金未发生改聘会计师事务所情况。2013 年 7 月 1 日,国富浩华会计
    师事务所更名为瑞华会计师事务所(特殊普通合伙)。报告年度应支付给其报酬 80000 元人
    民币。审计年限为 1 年。自 2009 年至 2013 年,瑞华会计师事务所为本基金连续提供 5 年审
    计服务。
    11.6 管理人、托管人及其高级管理人员受稽查或处罚等情况
        本报告期本基金管理人及其副总经理、督察长由于旗下部分基金采取尾市集中下单方
    式,致使相关股票价格异动,收到重庆证监局监管谈话的决定。
    11.7 基金租用证券公司交易单元的有关情况
      11.7.1 基金租用证券公司交易单元进行股票投资及佣金支付情况
                                         新华优选成长股票型证券投资基金 2013 年年度报告摘要
                                                                       金额单位:人民币元
                                      股票交易                 应支付该券商的佣金         备注
                                                 占当期
                                                                              占当期佣
    券商名称    交易单元数量                       股票成
                                 成交金额                       佣金          金总量的
                                                 交总额
                                                                                比例
                                                 的比例
    恒泰证券                  2   3,181,097,177.02    10.39%      2,870,723.25      11.27%        -
    民生证券                  2   2,632,881,143.11     8.60%      2,150,693.39       8.44%        -
    光大证券                  1   2,146,128,571.15     7.01%      1,924,172.92       7.55%        -
    川财证券                  1   1,763,048,991.41     5.76%      1,252,471.26       4.92%        -
    东兴证券                  1   1,761,928,944.36     5.76%      1,251,671.17       4.91%        -
    国海证券                  1   1,746,017,863.37     5.70%      1,240,373.50       4.87%        -
    东方证券                  1   1,636,614,343.42     5.35%      1,162,647.18       4.56%        -
    国金证券                  1   1,595,059,989.52     5.21%      1,452,136.34       5.70%        -
    兴业证券                  1   1,505,196,057.08     4.92%      1,352,309.36       5.31%        -
    华西证券                  1   1,467,125,549.29     4.79%      1,335,671.93       5.24%        -
    招商证券                  1   1,448,803,505.37     4.73%      1,274,993.79       5.00%        -
    国泰君安                  1   1,427,405,927.93     4.66%      1,299,513.77       5.10%        -
    申银万国                  1   1,391,991,012.20     4.55%      1,267,267.56       4.97%        -
    华创证券                  1   1,276,980,266.84     4.17%       907,169.07        3.56%        -
    渤海证券                  1   1,209,704,276.86     3.95%       859,374.89        3.37%        -
    平安证券                  1   1,088,068,886.02     3.55%       980,282.63        3.85%        -
    中信证券                  2   1,042,034,404.24     3.40%       922,097.21        3.62%        -
    瑞银证券                  1   1,036,687,804.59     3.39%       934,663.63        3.67%        -
    中信建投                  1     510,771,170.72     1.67%       362,852.37        1.42%        -
    齐鲁证券                  1     411,031,696.65     1.34%       374,201.74        1.47%        -
    新时代证券                2     329,575,431.79     1.08%       300,044.44        1.18%        -
    中金公司                  1                  -            -               -           -       -
    注:本基金根据中国证券监督管理委员会《关于加强证券投资基金监管有关问题的通知》(证
    监基字[1998]29 号)以及《关于完善证券投资基金交易席位制度有关问题的通知》(证监基
    金字[2007]48 号)的有关规定,本基金报告期内共租用 26 个交易席位,其中报告期内新增
    8 个交易席位,退租 1 个交易席位。新增席位为:华西证券上海交易所席位;民生证券深圳
    交易所席位;川财证券深圳交易所席位;国海证券深圳交易所席位,渤海证券深圳交易所席
    位,华创证券深圳交易所席位,恒泰证券深圳交易所席位,中信建投证券深圳交易所席位。
    退租席位为:南京证券上海交易所交易席位。
    一、交易席位的分配依据
    交易席位的分配以券商实力及其所提供的研究支持为基础,主要考察点包括:
    1、经营行为稳健规范,内控制度健全。
    2、具备基金运作所需的高效、安全的通讯条件,交易设施满足基金进行证券交易的需要。
    3、具有较强的全方位金融服务能力和水平。
    二、交易席位的选择流程
    1、研究部根据上述标准考察后确定选用交易席位的券商。
    2、与被选中的证券经营机构签订席位租用协议。
                                               新华优选成长股票型证券投资基金 2013 年年度报告摘要
    三、交易量的分配
    交易量的分配以券商所提供的服务及研究支持为基础,主要考察点包括:
    1、券商提供独立的或第三方研究报告及服务,包括宏观经济、行业分析、公司研发、市场
    数据、财经信息、行业期刊、组合分析软件、绩效评估、研讨会、统计信息、交易评估等,
    用以支持投资决策。
    2、以季度为单位对经纪商通过评分的方式进行考核,由基金经理、研究员和交易员分别打
    分,根据经纪商给投资带来的增值确定经济商的排名。
    考核的内容包括上一季度经纪交易执行情况、提供研究报告数量、研究报告质量和及时性、
    受邀讲解次数及效果、主动推介次数及效果等。考核结果将作为当期交易量分配的依据,交
    易量大小和评分高低成正比。
    3、中央交易室负责落实交易量的实际分配工作。
    11.7.2基金租用证券公司交易单元进行其他证券投资的情况
                                                                           金额单位:人民币元
                     债券交易                        回购交易                      权证交易
                                占当期                          占当期                        占当期
    券商名称                      债券成                          回购成                        权证成
                成交金额                        成交金额                      成交金额
                                交总额                          交总额                        交总额
                                的比例                          的比例                        的比例
    恒泰证券                   -             -                  -          -                  -         -
    民生证券                   -             -                  -          -                  -         -
    光大证券                   -             -                  -          -                  -         -
    川财证券                   -             -                  -          -                  -         -
    东兴证券                   -             -    500,000,000.00     17.24%                   -         -
    国海证券                   -             -                  -          -                  -         -
    东方证券                   -             -                  -          -                  -         -
    国金证券                   -             -   1,600,000,000.00    55.17%                   -         -
    兴业证券                   -             -                  -          -                  -         -
    华西证券                   -             -                  -          -                  -         -
    招商证券                   -             -                  -          -                  -         -
    国泰君安                   -             -    800,000,000.00     27.59%                   -         -
    申银万国                   -             -                  -          -                  -         -
    华创证券                   -             -                  -          -                  -         -
    渤海证券                   -             -                  -          -                  -         -
    平安证券                   -             -                  -          -                  -         -
    中信证券                   -             -                  -          -                  -         -
    瑞银证券                   -             -                  -          -                  -         -
    中信建投                   -             -                  -          -                  -         -
    齐鲁证券                   -             -                  -          -                  -         -
    新时代证券                 -             -                  -          -                  -         -
    中金公司                   -             -                  -          -                  -         -新华优选成长股票型证券投资基金 2013 年年度报告摘要
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