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A Sub-Fund of China Universal International ETF Series, an Umbrella Unit Trust Established Under the Laws of Hong Kong)

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A Sub-Fund of China Universal International ETF Series, an Umbrella Unit Trust Established Under the Laws of Hong Kong) Semi-Annual Report (Unaudited) CHINA UNIVERSAL INTERNATIONAL ETF SERIES – C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series, an umbrella unit trust established under the laws of Hong Kong) For the period from 1 January 2014 to 30 June 2014 CHINA UNIVERSAL INTERNATIONAL ETF SERIES – C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) CONTENTS Pages MANAGEMENT AND ADMINISTRATION 1 - 2 STATEMENT OF FINANCIAL POSITION 3 STATEMENT OF COMPREHENSIVE INCOME 4 STATEMENT OF CHANGES IN NET ASSETS ATTRIBUTABLE TO UNIITHOLDERS 5 INVESTMENT PORTFOLIO (UNAUDITED) 6 - 13 MOVEMENTS IN INVESTMENT PORTFOLIO (UNAUDITED) 14 - 23 PERFORMANCE RECORD (UNAUDITED) 24 CHINA UNIVERSAL INTERNATIONAL ETF SERIES –C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) MANAGEMENT AND ADMINISTRATION MANAGER AND RQFII HOLDER SERVICE AGENT OR CONVERSION AGENT China Universal Asset Management (Hong Kong) HK Conversion Agency Services Limited Company Limited 2nd Floor, Infinitus Plaza 3710-11, 37/F, Two IFC 199 Des Voeux Road Central 8 Finance Street Hong Kong Central, Hong Kong AUDITORS DIRECTORS OF THE MANAGER Ernst & Young LIN Li Jun 22/F, CITIC Tower LI Wen 1 Tim Mei Avenue ZHANG Hui Central Hong Kong ADVISER China Universal Asset Management Company Limited PARTICIPATING DEALERS 22/F, Aurora Plaza BOCI Securities Limited No. 99 Fucheng Road 20/F, Bank of China Tower, Pudong District 1 Garden Road, Shanghai 200120 Hong Kong China Barclarys Bank Plc RQFII CUSTODIAN 41/F Cheung Kong Center Bank of China Limited 2 Queen's Road Central, No. 1, Fuxingmen Nei Dajie Hong Kong Beijing 100818 China BNP Paribas Securities Services PCCW Tower Taikoo Place LEGAL ADVISER TO THE MANAGER 979 King's Road Deacons Hong Kong 5th Floor, Alexandra House 18 Chater Road China International Capital Corporation Hong Kong Central Securities Limited Hong Kong 29/F, One International Centre 1 Harbour View Street TRUSTEE Central BOCI-Prudential Trustee Limited Hong Kong 12/F & 25/F, Citicorp Centre 18 Whitfield Road Haitong International Securities Company Limited Causeway Bay 22/F, Li Po Chun Chambers Hong Kong 189 Des Voeux Road Central Hong Kong CUSTODIAN Bank of China (Hong Kong) Limited KGI Securities (Hong Kong) Limited 14/F, Bank of China Tower 41/F, Central Plaza 1 Garden Road 18 Harbour Road Central Wan Chai Hong Kong Hong Kong REGISTRAR Morgan Stanley Hong Kong Securities Limited Computershare Hong Kong Investor Services Limited Level 46, International Commerce Centre, 46th Floor, Hopewell Centre 1 Austin Road West, Kowloon, Hong Kong 183 Queen’s Road East Wan Chai Standard Chartered Bank (Hong Kong) Limited Hong Kong 15/F Standard Chartered Tower 388 Kwun Tong Road Kwun Tong, Kowloon 1 CHINA UNIVERSAL INTERNATIONAL ETF SERIES –C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) MANAGEMENT AND ADMINISTRATION PARTICIPATING DEALERS UBS Securities Hong Kong Limited 42/F, One Exchange Square, Central Hong Kong 2 CHINA UNIVERSAL INTERNATIONAL ETF SERIES – C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) STATEMENT OF FINANCIAL POSITION 30 June 2014 31 December 2013 RMB RMB (Unaudited) (Audited) ASSETS Financial assets at fair value through profit or loss 219,924,175 111,725,693 Prepayment and other receivables 11,716 703,342 Cash and cash equivalents 8,591,675 2,521,762 Deposit reserve-China Exchange Clearing __________560,000 __________560,000 TOTAL ASSETS 229,087,566__________ __________115,510,797 LIABILITIES Management fee payable 93,033 85,100 Trustee and custodian fees payable 18,607 17,020 Withholding tax provision 8,909,798 9,019,996 Other payables and accruals __________204,454 __________341,055 TOTAL LIABILITIES __________9,225,892 __________9,463,171 NET ASSETS ATTRIBUTABLE TO UNITHOLDERS __________219,861,674 __________106,047,626 NUMBER OF UNITS IN ISSUE __________20,400,000 __________9,300,000 NET ASSET VALUE PER UNIT __________10.7775 __________11.4030 3 CHINA UNIVERSAL INTERNATIONAL ETF SERIES – C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) STATEMENT OF COMPREHENSIVE INCOME For the period from For the period from 3 July 2013 1 January 2014 (date of inception) to to 30 June 2014 31 December 2013 RMB RMB (Unaudited) (Audited) INCOME Dividend income 2,780,410 8,615,805 Interest income __________18,234 __________71,475 __________2,798,644 __________8,687,280 EXPENSES Management fee (497,482) (1,396,927) Brokerage commission (21,036) (848,313) Trustee and custodian fees (99,496) (279,385) Audit fee (110,203) (171,784) Index licensing fee (100,000) (133,318) Preliminary expense - (1,728,112) Professional fee (36,015) (124,356) Other operating expenses __________(314,874) __________(824,999) __________(1,179,106) __________(5,507,194) GAIN BEFORE INVESTMENT AND EXCHANGE DIFFERENCES 1,619,538 3,180,086 INVESTMENT AND EXCHANGE DIFFERENCES Net change in unrealised (loss)/ gains on financial assets at fair value through profit or loss (10,535,675) 4,751,098 Net realised (loss)/ gains on financial assets at fair value through profit or loss (78,183) 57,222,496 Net foreign exchange loss __________ (3,712) __________(5,637) NET INVESTMENTS AND EXCHANGE (LOSS)/ GAINS __________(10,617,570) __________61,967,957 (LOSS)/ PROFIT BEFORE TAX (8,998,032) 65,148,043 Withholding tax __________(193,879) __________(9,896,864) (DECREASE)/ INCREASE IN NET ASSETS ATTRIBUTABLE TO UNITHOLDERS __________(9,191,911) __________55,251,179 4 CHINA UNIVERSAL INTERNATIONAL ETF SERIES – C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) STATEMENT OF CHANGES IN NET ASSETS ATTRIBUTABLE TO UNITHOLDERS Total RMB (Audited) At 3 July 2013 (date of inception) - Subscription of units 1,019,888,820 Redemption of units (969,092,373) Increase in net assets attributable to unitholders ____________55,251,179 At 31 December 2013 & 1 January 2014 ____________106,047,626 Total RMB (Unaudited) At 31 December 2013 & 1 January 2014 106,047,626 Subscription of units 123,005,959 Redemption of units - Decrease in net assets attributable to unitholders ____________(9,191,911) At 30 June 2014 ____________219,861,674 5 CHINA UNIVERSAL INTERNATIONAL ETF SERIES – C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) INVESTMENT PORTFOLIO (Unaudited) 30 June 2014 Market Holdings Value % of Shares RMB NAV Financial assets at fair value through profit or loss (100%) China (100%) AGRICULTURAL BANK OF CHINA LTD-A 1,149,500 2,896,740 1.32% AIR CHINA LTD-A 87,100 286,559 0.13% AISINO CO LTD-A 21,024 438,771 0.20% ALUMINUM CORP OF CHINA LTD-A 137,300 417,392 0.19% ANHUI CONCH CEMENT CO LTD-A 87,774 1,379,807 0.63% AVIC AIRCRAFT CO LTD-A 60,708 639,255 0.29% AVIC INVESTMENT HLDGS CO LTD-A 34,334 551,747 0.25% BANK OF BEIJING CO LTD-A 231,744 1,867,857 0.85% BANK OF CHINA LTD-A 290,922 741,851 0.34% BANK OF COMMUNICATIONS CO LTD-A 689,092 2,673,677 1.22% BANK OF NANJING CO LTD-A 91,215 729,720 0.33% BANK OF NINGBO CO LTD-A 50,628 465,778 0.21% BAOSHAN IRON & STEEL CO LTD-A 223,614 916,817 0.42% BBMG CORP-A 47,602 267,523 0.12% BEIJING CAPITAL CO LTD-A 53,400 330,012 0.15% BEIJING CAPITAL DEVELOPMENT CO LTD-A 48,600 209,952 0.10% BEIJING DABEINONG TECHNOLOGY GROUP CO LTD-A 35,275 400,724 0.18% BEIJING KANGDE XIN COMPOSITE MATERIAL CO LTD-A 33,808 769,132 0.35% BEIJING ORIENT LANDSCAPE CO LTD-A 19,747 326,023 0.15% BEIJING SL PHARMACEUTICAL CO LTD-A 12,030 536,177 0.24% BEIJING TONGRENTANG CO LTD-A 28,338 493,931 0.22% BEIJING YANJING BREWERY CO LTD-A 62,200 404,300 0.18% BEIJING ZHONGKE SANHUAN HIGH-TECH CO LTD-A 37,401 444,324 0.20% BEINGMATE BABY & CHILD FOOD CO LTD-A 26,927 386,672 0.18% BEIQI FOTON MOTOR CO LTD-A 62,400 318,240 0.14% BESTV NEW MEDIA CO LTD-A 28,603 916,154 0.42% BOE TECHNOLOGY GROUP CO LTD-A 447,000 969,990 0.44% BRIGHT DAIRY & FOOD CO LTD-A 27,745 445,030 0.20% BYD CO LTD-A 21,192 1,006,408 0.46% CHANGJIANG SECURITIES CO LTD-A 75,000 720,000 0.33% CHENGDU B-RAY MEDIA CO LTD-A 28,700 339,808 0.15% CHENGDU XINGRONG INVESTMENT CO LTD-A 81,000 386,370 0.18% CHINA AVIC ELECTRONICS CO LTD-A 23,068 522,952 0.24% CHINA BAOAN GROUP CO LTD-A 60,535 618,062 0.28% CHINA CAMC ENGINEERING CO LTD-A 14,993 242,887 0.11% CHINA CITIC BANK CORP LTD-A 130,529 557,359 0.25% CHINA CNR CORP LTD-A 183,801 834,457 0.38% CHINA COAL ENERGY CO LTD-A 86,867 350,074 0.16% CHINA COMMUNICATIONS CONSTRUCTION CO LTD-A 109,100 410,216 0.19% CHINA CONSTRUCTION BANK CORP-A 421,068 1,739,011 0.79% CHINA CSSC HLDGS LTD-A 27,071 570,115 0.26% CHINA EASTERN AIRLINES CORP LTD-A 122,400 282,744 0.13% 6 CHINA UNIVERSAL INTERNATIONAL ETF SERIES – C-SHARES CSI 300 INDEX ETF (A Sub-Fund of China Universal International ETF Series) INVESTMENT PORTFOLIO (Unaudited) 30 June 2014 Market Holdings Value % of Shares RMB NAV Financial assets at fair value through profit or loss (100%) (Continued) China (100%) CHINA EVERBRIGHT BANK CO LTD-A 873,601 2,218,947 1.01% CHINA FORTUNE LAND DEVELOPMENT CO LTD-A 20,663 520,088 0.24% CHINA GEZHOUBA GROUP CO LTD-A 96,000 356,160 0.16% CHINA HAINAN RUBBER INDUSTRY GROUP CO LTD-A 51,762 317,819 0.14% CHINA INTL MARINE CONTAINERS (GROUP) CO LTD-A 35,323 475,448 0.22% CHINA INTL TRAVEL SERVICE CORP LTD-A 13,200 436,128 0.20% CHINA LIFE INSURANCE CO LTD-A 67,878 923,820 0.42% CHINA MERCHANTS BANK CO LTD-A 724,328 7,417,119 3.37% CHINA MERCHANTS PROPERTY DEVELOPMENT CO LTD-A 45,359 472,641 0.21% CHINA MERCHANTS SECURITIES CO LTD-A 101,968 1,030,896 0.47% CHINA MINMETALS RARE EARTH
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