Fact Book 2012 2012 Fact Book III Contents
Shanghai Securities Market...... 1
Historical Review...... 1 Securities Products...... 1
2011 Market Review...... 5
Overview...... 5 Securities Issuance and Listing...... 5 Introduction of New Products ...... 6 Pledge-style Bond Repo...... 6 Securities Repo...... 6 Major Events in the Securities Market 2011 ...... 7 Market Highlights...... 10 Transactions...... 10 Stock Indices...... 11 Ratios...... 11
Stock market:...... 15
Trading system...... 15 Trading relations ...... 15 Table 1: Breakdown of Centralized Trading Business...... 16 Table 2: Breakdown of Trading-related Services...... 18 Table of Fees Charged and Taxes Withheld by SSE...... 21 2011 Monthly Trading Volume, Trading Value and P/E Ratio...... 27 Top 20 Most Traded Stocks by Turnover Volume...... 28 Top 20 Most Traded Stocks by Trading Value...... 29 Top 20 Gainers...... 30 Top 20 Losers...... 31 2011 Top 10 in Margin Trading...... 32 2011 Top 10 in Short Selling ...... 32 SSE Index Series uses “point” as the unit of calculation...... 33 Number of Constituents in SSE Indices...... 36 Market Cap and Weight of Constituent Stocks in SSE 50 Index...... 37 Market Cap and Weight of Constituent Stocks in SSE 180 Index...... 39 Market Cap and Weight of Constituent Stocks in SSE 380 Index...... 45
Listed Companies ...... 67
Issuance Conditions for IPOs ...... 67
2012 Fact Book III Listing Conditions for IPOs...... 71 SSE Guide to Securities Listing Procedures ...... 71 Documents to Be Submitted When Applying for an IPO and Listing ...... 74 Conditions for listed companies to issue securities to the public ...... 74 Share Placements of Listed Company ...... 77 Additional Issuance by Listed Companies ...... 77 Special Treatment...... 77 Suspension and Termination of Listing ...... 78 Listing Agreements ...... 80 Listing Conditions for Convertible Corporate Bonds ...... 80 Listing Conditions for Warrants ...... 80 Number and Sector Distribution of Listed Companies...... 81 Geographical Distribution of Listed Companies...... 82 Newly Listed Stocks in 2011...... 83 Newly Listed Companies in 2011...... 85 Rights Issues by Listed Companies in 2011...... 88 Equity Structure of Listed Companies (2011 year-end)...... 89 Top 50 Listed Companies by Market Capitalization (2011 year-end)...... 90 Top 50 Listed Companies by Tradable Market Capitalization (2011 year-end)...... 92 Dividend Distribution by Listed Companies in 2011...... 94 Table of Changes in Stock Short Names in 2011...... 113 Table of Changes in the Names of Listed Companies in 2011...... 115 Companies Subject to Delisting Risk Warnings in 2011...... 116 Companies Subject to other special treatments in 2011...... 117 Companies Subject to Listing Suspension in 2011 ...... 118 Companies Subject to Listing Termination in 2011...... 118 Companies Subject to Listing Resumption in 2011...... 118 Companies Subject to Cancellation of Special Treatment in 2011...... 119 (I)Cancellation of Special Treatment...... 119 (II) Companies Subject to Withdrawal of Delisting Risk Warnings and Other Special Treatments...... 120
Listed Warrants in 2011...... 123
Bond Market Overview of the Shanghai Stock Exchange in 2011...... 127 Conditions for Government Bond Listings...... 129 Conditions for Enterprise Bond Listings...... 129 Conditions for Corporate Bond Listings...... 129 Applications for Corporate Bond Listings...... 129 Approval of Corporate Bond Listings...... 130 Public Issuance of Convertible Corporate Bonds by Listed Companies...... 131 Public Issuance of Separately Traded Convertible Corporate Bonds by Listed Companies...... 131 Profile of Government Bonds in 2011...... 133 Summary of Corporate Bonds in 2011(Including Convertible Bond)...... 145
2012 Fact Book IV 2012 Fact Book V Monthly Bond Repo Turnover in 2011...... 165 Turnover of Government Bond in Each Month of 2011...... 165 Turnover of Bond in Each Month of 2011...... 166 List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2011...... 167
Funds ...... 171
Overview ...... 171 Breakdown of funds...... 171 Status of the Fund Market at SSE...... 172 ETF...... 172 Close-ended fund...... 172 SSE Open-ended Fund Trading System...... 172 Funds listed on the SSE...... 173 Summary of Funds in 211...... 175 NAV of Securities Investment Funds (2011 year-end)...... 177
Members...... 181
Overview of Members...... 181 Registered capital...... 181 Listing...... 181 Overview of Non-member Institution...... 181 Member's Required Qualifications...... 181 The Administration of Member Seats and Trading Units...... 181 Overview of the Operation...... 182 Geographical Distribution of SSE Members and Their Business Branches in 2011...... 183 Membership (1990-2011)...... 184 Top 50 Members by Turnover in 2011...... 185 Top Lead Underwriters of IPOs in 2011(by Number of Deals Underwritten)...... 187 Top Lead Underwriters of Rights Issues in 2011(by Number of Deals Underwritten)...... 187 Top 20 Members by Margin Trading and Short Selling in 2011 ...... 188 Top 20 Members by Balance of Margin Trading and Short Selling in 2011...... 189 Number of Trading Accounts with SSE 1991-2011...... 190 Breakdown of B-share Investors by Jurisdiction...... 191 Historical Statistics ...... 195 Early Share Turnover Value, 1991-2011...... 195 Historical Highs in Stock Turnover Value...... 196 Daily All-time Highs in Turnover Value...... 196 Monthly All-time Highs in Turnover Value...... 196 Quarterly All-time Highs in Turnover Value...... 197 Listed Shares on the SSE, 1990-2011...... 198 Top 10 Increases and Decreases in SSE Index Series...... 199
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Top 10 Increases in SSE 50 Index (in percentage)...... 199 Top 10 Decreases in SSE 50 Index (in percentage)...... 199 Top 10 Increases in SSE 50 Index (in point)...... 200 Top 10 Decreases in SSE 50 Index (in point)...... 200 Top 10 Increases in SSE 180 Index (in percentage)...... 201 Top 10 Decreases in SSE 180 Index (in percentage)...... 201 Top 10 Increases in SSE 180 Index (in point)...... 202 Top 10 Decreases in SSE 180 Index (in point)...... 202 Top 10 Increases in SSE Composite Index (in percentage)...... 203 Top 10 Decreases in SSE Composite Index (in percentage)...... 203 Top 10 Increases in SSE Composite Index (in point)...... 204 Top 10 Decreases in SSE Composite Index (in point)...... 204 World Securities Markets...... 205 Statistics on Stock Exchanges around the World (as at end of December 2011)...... 205
Major publications...... 206
Registered Trademarks of Shanghai Stock Exchange ...... 207
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Shanghai Securities Market
Historical Review
Shanghai was the first city in China to see stocks, stock trading and stock exchanges. Stock trading started in Shanghai as early as 1860s. In 1891, the Shanghai Sharebrokers Association was established, which was regarded as the primitive form of stock bourses in China. Later in 1920 and 1921, the Shanghai Security Goods Exchange and the Shanghai Chinese Security Exchange commenced operations respectively. By the 1930s, Shanghai had emerged as the financial center of the Far East, where both Chinese and foreign investors could trade stocks, debentures, government bonds and futures. In 1946, Shanghai Securities Exchange Co.Ltd. was created on the basis of Chinese Security Exchange, but ceased operations three years later in 1949. Since 1980, China’s securities market has evolved in tandem with the country’s introduction of reform and opening up policy and the development of socialist market economy. In 1981, trading in treasury bonds was resumed. In 1984, stocks and enterprise bonds emerged in Shanghai and a few other cities. On November 26, 1990, Shanghai Stock Exchange (SSE) came into existence, and on December 19 of the same year, it started formal operations. After 21 years’ rapid development, SSE has entered into a new stage with rapidly enlarging market scale, more enhanced fundamental facilities and continuous improved regulation level. After decades of development, SSE has significantly enhanced its technological advantages. It has put into operation the world's most advanced new generation trading system (NGTS), built the global largest stock exchange database, launched a powerful and robust new generation website and established a first-class computer room. In addition, SSE has built a nation-wide securities-specific satellite communication network with complete functions and the largest user base in China. SSE has established a robust and real-time market monitoring system appropriate for market operations. It has put in place a self-regulatory framework that focuses on supervision of listed companies, SSE members and the securities market.
Securities Products
Securities listed on SSE fall into four categories: stocks, bonds, funds and warrants. Stocks are further divided into Class A Shares and Class B Shares, with A Shares limited to domestic investors as well as QFIIs only while B Shares available to both domestic and foreign investors. In 1990, the first batch of 8 A Shares was listed. In 1992, the first B Share was listed. With the listing of a large number of large, leading and high- quality enterprises, SSE has begun playing its role as a barometer of the national economy. Bonds traded on SSE include treasury bonds (T-bonds), local government bonds, corporate bonds (including those approved by the State Development and Reform Commission), corporate bonds with detachable warrants, and convertible corporate bonds. In addition, securities investment funds (including Exchange Traded Fund -ETF) and warrants are available for trading on SSE. By Dec 31, 2011, there are 1691 listed securities in SSE.
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2012 Fact Book 3 Shanghai Securities Market
2011 Market Review
2012 Fact Book 3 2011Shanghai Market Securities Review Market 2011 Market Review
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2011 Market Review
Overview
In 2011, the total turnover on SSE was RMB 45465.156 billion, down 14.12% year-on-year. Stock transactions were RMB 23756.045 billion, representing 52.25% of the total turnover. Bond transactions hit RMB 21071.487 billion, accounting for 46.34% of the total turnover. Fund transactions reached RMB 290.141 billion, making up 0.64% of the total. Warrant transactions stood at RMB 347.482 billion, constituting 0.77% of the total. The average daily stock transactions were RMB 97.361 billion, down 22.58% year-on-year; daily bond transactions stood at RMB 85.369 billion, 178.97% higher than a year earlier; daily fund transactions hit RMB 1.189 billion, down 39.70% from the previous year; and daily warrant transactions were RMB 1.424 billion, down 76.12% year on year. SSE 50 Index opened the year at 1994.36 points and fell 18.19% to close the year at 1617.61 points after touching a yearly high of 2214.84 points and a yearly low of 1571.51 points, with a volatility of 40.94%. SSE 180 Index opened the year at 6576.47 points and dropped 23.14% to close the year at 5009.29 points after touching a yearly high of 7149.05 points and a yearly low of 4852.71 points, with a volatility of 47.32%. SSE Composite Index opened the year at 2825.33 points and fell 21.68% to finish the year at 2199.42 points after making a yearly high of 3067.46 points and a yearly low of 2134.02 points, with a volatility of 43.74%.
By the end of 2011, SSE recorded a total of 105.39 million trading accounts.
Securities Issuance and Listing
As at the end of 2011, there were 931 listed companies on SSE, with 39 new listings in 2011 (including 1 holistic listing). By the end of the year, there were 975 listed stocks on SSE with a total market capitalization of RMB 14,837.622 billion, decreasing by 17.11% year-on-year, and free-float market capitalization of RMB 12,285.136 billion, up 13.69% from the previous year. The year-end total share capital of all the listed companies reached 2,346.65 billion shares, of which 1,799.38 billion shares or 76.68% were tradable. In 2011, the total amount of capital raised was RMB 548.97 billion, among which RMB 319.969 billion by equity and RMB 229.38 billion by bond. Total market value, capital raised and turnover of equity market rank No. 6 globally.
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Introduction of New Products
Pledge-style Bond Repo
Pledge-style Bond Repo refers to the financing activities with bonds as pledge of rights, and trading amount is calculated by the discount ratio of standard bond. Securities company borrows the corresponding fund from its designated client by means of quoting and accepting. When the Repo is due, the client retrieves the fund and obtains corresponding yield.
Securities Repo
Securities Repo refers to the financing activities that qualified client sells the underlying securities to its designated securities company and agrees to buy back the securities at a certain date and price in the future. Apart from specified situations, corresponding benefits of the underlying securities generated before repurchase will be transferred to client on the date of record.
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Major Events in the Securities Market 2011
Month Date Event People Bank of China (PBoC) raised required reserve ratio by 25 basic points to historical high January 14 19%. China Securities Regulatory Commission(CSRC) issued Guidelines for Qualified Foreign January 25 Institutional Investors to Participate in Stock Index Future(A draft for discussion) which intended to allow QFII’s participation in the transaction of stock index future. 2011 Guotai Junan Securiteies Corp. Ltd. Bond (No. 1), the first corporate bond of securities February 9 company in SSE was successfully issued by tender. The value of its first issuance was RMB 3 billion with 6 years’ maturity. February 21 The first China- Brazil Capital Market Forum was successfully held in San Paulo. February 21 SSE has signed Memorandum of Further Cooperation with BM&FBovespa. February 24 PBoC raised required reserve ratio to historical high 19.5%. February 26 Tian-Di (Duel) Backup simulation of whole-market trading and data was successfully carried out. March 3 State Council gave basic approval to the proposal to raise individual tax threshold. Hong Kong Stock Exchange started to extend the first half of its trading hours. Hong Kong and March 7 Mainland market will be open simultaneously. March 18 PBoC raised required reserve ratio to historical high 20%. April 11 Meeting for the reform and listing of Key State-owned Enterprises (SoE) was held in SSE. "Forum for the Establishment of Shanghai Multi-tier Blue Chip Market—Corporate Finance, April 15 Institutional Investment and Shanghai Securities Index" was held. April 15 CSRC released "Rules of Classified Supervision on Futures Companies" April 21 PBoC raised required reserve ratio by 0.5%. Hui Xian Real Estate Investment Trust, Hong Kong's first securities product denominated in RMB, April 29 was listed and traded in HKeX.
CSRC released Rules on the Investment Scope of Securities Company’s Securities Proprietary May 6 Business and Relevant Issues. The investment scope will be enlarged since June.
Through borrowing trading unit from securities company, Bank of Communication successfully May 11 realized bond quotes in the auction system of SSE May 12 PBoC raised required reserve ratio by 0.5%.
May The first reselling of corporate bond was successfully implemented in the trading system. “Seminar on the Development of ETF and Other Index Products” was jointly held by the SSE and May HKeX. “Development and Research Center of Securities Information and Technologies” was formally May 27 established.
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Month Date Event
Notice on the State Council's Approval of National Development and Reform Commission's Opinions on the Further Reforming of Economic Structure was released. Over-The-Counter June 3 market will be promoted and International Board will be researched and established so that a multi-tier capital market system could be constructed. June 20 PBoC raised required reserve ratio by 0.5% to historical high 21.5%. CSRC released Administrative Rules of the Sales of Investment Funds (Draft Version) and June 21 adjusted qualifications of investment fund's selling institutions. "Value-added Service Charges" was added. June 22 Seminar on the safe operation and technological development in 2011 was held. Drilling under emergent situation of trading and communication system was successfully carried June 25 out. The Standing Committee of People's Congress reviewed and approved amendment of June 30 individual tax which raised the current threshold of RMB 2000 to 3500. The first level of Excess Progressive of Tax Rate was adjusted to 3% from the previous 5%. PBoC raised benchmark interest rates by 25 basis points and stated that prudent monetary July 7 policy will be implemented. Investor's holding of bonds can be transferred between SSE Fixed Income Comprehensive July 11 Electronic Platform and Auction System. July SSE started to release standard interest rate of pledge-style repo to the market.
CSRC released Decision on the Revision of Relevant Regulations of Key Asset Restructuring and August 5 Corresponding Financing of Listed Companies which first clarify the criteria of shell takeover.
CSRC released draft of rules of Marginal Borrowing and Short Selling business which intends August 19 to remove fixed threshold of business during the pilot phase and to develop it into an ordinary business. PBoC released the notice that basis of the required reserve will be enlarged to deposit of letter August 29 of credit, deposit of letter of guarantee, deposit of banker's acceptance bill in the commercial banks. SSE renamed the former Bond and Fund Department to Bond Business Department and Product August 30 Development Department to Fund Business Department so that correspondent bond and fund business could be optimized. October 11 First reversed exit right in SSE was implemented. October 17 SSE comprehensive business platform was released. October 20 With the approval of State Council, Shanghai, Zhejiang, Guangdong and Shenzhen are able to issue local government bonds. October 27 The second China- Brazil Capital Market Forum was successfully held in Shanghai.
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Month Date Event October 28 Three institutional files regarding marginal trading and short selling business and securities and fund lending business were released by CSRC. They are Revision Decision on the Management of Securities Company's Marginal Trading and Short Selling Business Pilot, Revision Decision on the Internal Control Guide of Securities Company's Marginal Trading and Short Selling Business Pilot and Pilot Measures on the Supervision and Management of Securities and Fund Lending Business. October 31 Securities Repo pilot was formally launched. November 8 Central bank dropped its 1-year note rate by 1 basic point which is the first drop in the past 28 months. On Nov 15, another 8.58 basic points were dropped. November 11 SSE new “Shanghai International Financial Center” was inaugurated. November 14 Meeting for the reform and listing of Key State-owned Enterprises (SoE) was held in SSE. November 16 Technological system of SSE passed ISO20000 IT service certificate. November 19 CSRC started non-public bond offering of listed companies in the China-Next board. November 25 SSE released Implementation Codes of SSE Marginal Buying and Short Selling. Securities and fund borrowing became daily business of the securities companies. November 28 Pledge-style of bond repo business enlarged its scope. November 28 “Rule of the Law in a Mature Market and Revision of the Securities Law -- Second SSE Forum on Rule of the Law” was held. November 30 PBoC dropped required reserve ratio by 0.5%. December 5 Scope of underlying securities of Marginal Buying and Short Selling was enlarged to 180 individual stocks and 4 ETFs. December 12 SSE Online Academy of Investor's Education was launched. December 18 Party secretary and chairman of CSRC visited SSE. December 19 10th Forum on Chinese Corporate Governance was successfully held. December 19 SSE Development Research Center was established. December 23 The bond.sse.com.cn formally came into use. December 24 Temporary Rule of the Eligibility Management of Bond Investors and Guides of Risk Control of Pledge-style Bond Repo Trade were released and would come into effect since February 1, 2012. December 29 Memorandum of Information Cooperation with 6 domestic securities and futures exchanges were signed. December 30 First batch of RQFII products were formally approved by Hong Kong Securities and Futures Commission.
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Market Highlights
2011 2010 2009 Listed Securities (as at year end) No. of listed companies 931 894 870 No. of listed securities 1691 1500 1351 No. of listed stocks 975 938 914 No. of new listings 39 26 9 Share capital issued (100 million shares) 23466.65 21939.51 16659.97 Tradable shares (100 million shares) 17993.80 16031.30 11578.56 Total market capitalization (RMB100 million) 148376.22 179007.24 184655.21 Market capitalization of tradable shares (RMB100 million) 122851.36 142337.44 114804.99 Total capital raised (RMB100 million) A Shares (RMB) 3199.69 5532.14 3343.15 B Shares (US dollar) 0 0 0
Transactions
Number of trading days 244 242 244 Annual turnover value (RMB100 million) 454651.56 398395.73 441874.67 Stock 237560.45 304312.01 346511.91 Fund 2901.41 4771.71 6549.06 T-bonds 210714.87 74914.43 39806.34 Warrants 3474.82 14397.58 49007.37 Others 0.00 0 0 Average daily turnover value (RMB100 million) 1863.33 1646.26 1810.96 Average daily stock turnover value (RMB100 million) 973.61 1257.49 1420.13 Annual stock turnover volume (100 million shares) 21193.87 25964.43 33679.64 Average daily stock turnover volume (100 million shares) 86.86 107.29 138.03 Total number of stock trades (10,000 deals) 127327.64 166149.08 214261.01 Average number of daily stock trades (10,000 deals) 521.84 686.57 878.12
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Stock Indices
SSE 180 Index yearly high 7149.05 7835.96 8456.56 SSE 180 Index yearly low 4852.71 5377.66 4098.26 SSE 180 Index year-end close 5009.29 6517.60 7762.92 SSE Composite Index yearly high 3067.46 3306.75 3478.01 SSE Composite Index yearly low 2134.02 2319.74 1844.09 SSE Composite Index year-end close 2199.42 2808.08 3277.14
Ratios
Average P/E ratio 13.40 21.61 28.73 Turnover rate 1 (market capitalization)% 93.72 135.40 212.10 Turnover rate 2 (tradable market capitalization)% 124.80 198.47 504.37
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Stock Market Stock2011 Market Market Review Stock Market
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Stock market:
Trading system
Trading business can be divided into two categories according to the business handling medium: trading system- based business and non-trading system-based business; of these types of business, trading system-based business can be further divided into two business types according to the business model employed: centralized trading business and trading-related services; non-trading system-based business includes negotiated transfers, warrant creation and cancellation, etc. Centralized trading refers to stock exchange facilitated business in which securities ownership changes are realized through a trading system by means of price inquiry, quotations, auction; trading-related services refers to offering, entitlement, trading relations and other related forms of business provided by stock exchanges through a trading system that are closely related to centralized securities trading business. Compared with similar services offered through over- the-counter market, the above trading system-based business has the following major differences: (1) services are provided through the trading system; (2) special securities codes are assigned; and (3) trading is conducted through a broker.
Trading relations
SSE is open for trading from Monday to Friday. The morning market session starts with a call auction from 9:15 to 9:25, which is followed by a continuous auction from 9:30 to 11:30. In the afternoon market session, continuous auction runs from 13:00 to 15:00. Intent orders for block trades are accepted between 9:30 and 11:30 and again between 13:00 and 15:30, while execution orders for block trades are accepted from 15:00 to 15:30. Special block trade business, which is undertaken on an ad hoc basis, is accepted between 15:00 and 17:00, and participants, who are SSE qualified investors, may carry out spot trading in SSE trading room by way of auction, price inquiry, quotation, or another trading method, with delivery being non-guaranteed. The market is closed on Saturdays, Sundays and other public holidays announced by SSE. Securities are traded on SSE on a market-driven and free auction basis. Limit orders and market orders are accepted in line with market conditions.At present, trading in A shares, B shares and securities investment funds is subject to a maximum daily price fluctuation limit of plus or minus 10%, except for the first trading day . Stocks subject to a special treatment are subject to a maximum daily price fluctuation limit of plus or minus 5%. Price limits for warrant transactions are determined on the basis of the price limit for the underlying securities by multiplying the warrant conversion ratio by a
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coefficient. The price of a block trade of securities with a price limit is determined by the buyer and seller within the price limit applicable to such securities on the day of trading. The price of a block trade of securities without any price limit is negotiated by the buyer and seller within 30% of the previous closing price or between the highest and lowest traded prices on the day of trading. In the absence of any transaction for a particular stock, the closing price of the previous trading day will be the execution price.
Securities trading on SSE is conducted through designated brokers. All the investors that trade securities on SSE must first designate a member of SSE as an agent and conclude a Designated Transactions Agreement with the agent for trading and clearing securities on their behalf. No trading is allowed before the investor’s trading account is registered with the member’s trading seat.
SSE has adopted a primary dealer system in warrant trading. Primary dealers are the securities firms that are designated by SSE for providing bilateral quotations for warrant trading. In addition, institutional market participants recognized by SSE may provide daily bilateral quotations for bonds traded on SSE’s block trading system, with the specific bonds and the spreads to be determined at their discretion to the extent permitted by SSE rules.
SSE makes timely releases of trading data and information to members and investors. Daily real-time market quotations, stock indices, clearing data, market reports and daily transaction data are transmitted to member’s counter terminals via satellite communications system or optical fiber communications system. The transaction data is instantaneously transmitted to each member via a two-way satellite system and optical fiber communications system. Since September 22, 2003, SSE has started disclosing five best quotations. Block trade data is published in SSE-designated media and released simultaneously on the “quotations and transactions—disclosure of transaction information—block trade information” section of SSE’s website (www.sse.com.cn). Apart from that, SSE also discloses more detailed information about the daily top gainers and losers on the securities market according to the trading rules.
Table 1: Breakdown of Centralized Trading Business
No. Description of Centralized Securities Code Type of Business Trading Business 1 A-share continuous trading 600, 601 at limit price 2 A-share continuous trading 600, 601 at market price 3 A-share call auction trading 600, 601 4 B-share continuous trading 900 Auction at limit price 5 B-share continuous trading 900 at market price 6 B-share call auction trading 900 7 Closed-end fund continuous 500 trading at limit price
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No. Description of Centralized Securities Code Type of Business Trading Business 8 Closed-end fund continuous 500 trading at market price 9 Closed-end fund call auction trading 500 10 ETF continuous trading at limit price 510XX0 11 ETF continuous trading 510XX0 at market price 12 ETF call auction trading 510XX0 13 T-bond continuous trading 009, 010 at clean price 14 T-bond call auction trading 009, 010 at clean price 15 Enterprise bond continuous trading 129 at limit price 16 Enterprise bond call auction trading 129 17 Convertible bond continuous 110 trading at limit price 18 Convertible bond call auction trading 110 19 Convertible bond with detachable warrant 126 continuous trading at limit price Auction 20 Convertible bond with detachable warrant call 126 auction trading 21 Old pledge-style repo 201 continuous trading 22 Old pledge-style repo 201 call auction trading 23 New pledge-style repo continuous trading at limit 204 price 24 New pledge-style repo 204 call auction trading 25 Outright repo continuous 203 trading at limit price 26 Outright repo call auction trading 203 27 Warrant continuous 580 trading at limit price 28 Warrant continuous trading 580 at market price 29 Warrant call auction trading 580
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No. Description of Centralized Securities Code Type of Business Trading Business 30 A-share block trading Same as A Shares 31 B-share block trading Same as B Shares 32 Closed-end fund block trading Same as closed-end funds 33 ETF block trading Same as ETFs Price inquiry 34 Bond block trading Same as bonds 35 Bond repo block trading Same as bond repo 36 Asset securitization 121 37 Warrant bilateral quotation Same as warrants 38 ETF purchase/redemption 510XX1, 510XX2 39 Tender offer 706 40 T-bond distribution 751 41 T-bond firm quotation 019 (Electronic Platform) 42 T-bond non-firm quotation
43 T-bond client enters into a transaction with primary Quotation dealer 44 T-bond price inquiry 45 Corporate bond firm quotation 122 (Electronic Platform) 46 Corporate bond non-firm quotation 47 Corporate bond client enters into a transaction with primary dealer 48 Corporate bond price inquiry
Table 2: Breakdown of Trading-related Services
Type of No. Description of Trading-related Securities Code Type of Securities Services Business Equities 1 Online fixed price offering 7301 (corresponding to A-share 600), Offering 7802 (corresponding to A-share 601) 2 Online price inquiry offering 730 (corresponding to A-share 600), Offering 780 (corresponding to A-share 601) 3 Online fixed-price follow-on offering 730 (corresponding to A-share 600), Offering 731 (corresponding to A-share 600), 780 (corresponding to A-share 601), 781 (corresponding to A-share 601) 4 Online price inquiry follow-on offering 730 (corresponding to A-share 600), Offering 731 (corresponding to A-share 600), 780 (corresponding to A-share 601), 781 (corresponding to A-share 601)
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Type of No. Description of Trading-related Securities Code Type of Securities Services Business Equities 5 Placement proportional to the existing 737 Offering secondary market holdings 6 Rights issue 700 (corresponding to ordinary A-share Offering, 600), entitlement 702 (corresponding to employee A-share 600), 760 (corresponding to ordinary A-share 601), 762 (corresponding to employee A-share 601) 7 Online voting 738 (corresponding to A-share 600), Entitlement 788 (corresponding to A-share 601), 938 (corresponding to B Shares) 8 Password service 799988 (corresponding to A Shares), Entitlement 939988 (corresponding to B Shares) 9 Offline initial price inquiry Same as the stock code Offering 10 Offline book-building Bonds 11 Convertible bond offering 7333 (corresponding to A-share 600), Offering 7834 (corresponding to A-share 601) 12 Convertible bond placement 704 (corresponding to A-share 600), Entitlement 764 (corresponding to A-share 601) 13 Conversion of convertible bonds 181 (corresponding to A-share 600), Offering, into shares 190 (corresponding to A-share 600), entitlement 191 (corresponding to A-share 601), 192 (corresponding to exchangeable corporate bond 128) 14 Sell-back of convertible bonds 1009 Entitlement 15 Transfer of collateral bonds to 090 (corresponding to T-bond 010), Trading collateral vault 099 (corresponding to T-bond 009), relationship 104 (corresponding to corporate bond 122), 105000 – 105899 (corresponding to corporate bond with detachable warrant 126), 105900 – 105999 (corresponding to enterprise bond 120, 129), 106 (corresponding to local government bond130), 107(corresponding to discount T-bond 020 Warrants 16 Exercise of warrants 582 Entitlement
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Type of No. Description of Trading-related Securities Code Type of Securities Services Business Funds 17 Subscription for closed-end funds 7355 Offering 18 Expansion of closed-end funds 705 Offering 19 Subscription for open-end funds 521 Offering 20 Purchase and redemption of open- 519 Offering, end funds entitlement 21 Designation transfer of open-end 522 Trading funds relationship 22 Dividend distribution by open-end 523 Entitlement funds 23 Conversion of open-end funds 524 Entitlement (business has not yet started) 24 ETF offering 510XX3 Offering Trading 25 Designated registration/cancellation 799998/799999 Trading registration of designated trading relationship 26 Repurchase registration/repurchase 799997/799996 Trading cancellation relationship
(Footnotes) 1. For any stock corresponding to the code 730 in the table, 740 and 741 are the codes assigned for the subscription funds or further issue funds of the stock and the number allotted, respectively. 2. For any stock corresponding to the code 780 in the table, 790 and 791 are the codes assigned for the subscription funds or further issue funds of the stock and the number allotted, respectively. 3. For any convertible bond corresponding to the code 733 in the table, 743 and 744 are the codes assigned for the bond issuance funds of the convertible bond and the number allotted, respectively. 4. For any convertible bond corresponding to the code 783 in the table, 793 and 794 are the codes assigned for the bond issuance funds of the convertible bond and the number allotted, respectively. 5. For any mutual fund corresponding to the code 735 in the table, 745 and 746 are the codes assigned for the purchase funds of the mutual fund and the number allotted, respectively.
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Table of Fees Charged and Taxes Withheld by SSE
Category Fees Fee Standard Payer and Receiver Transactions A share Handling fee 0.011% of trading value (both Paid by SSE member, etc. to the sides) SSE Securities 0.004% of trading value Paid by SSE members, etc. to management fee (bilateral) the CSRC (collected by the SSE) Stamp duty 0.1% of trading value Paid by investors to tax (unilateral) authorizes (collected by the SSE) B share Handling fees 0.026% of trading value Paid by SSE members, etc. to (bilateral) the SSE Securities 0.004% of trading value Paid by SSE members, etc. to management fee (bilateral) the CSRC (collected by the SSE) Securities investment Handling fee 0.0045% of trading value Paid by SSE members, etc. to fund(closed-end fund and (bilateral) the SSE ETF) Securities 0.004% of trading value Paid by SSE members, etc. to management fee (bilateral) the CSRC (collected by the SSE) Warrants Handling fee 0.0045% of trading value Paid by SSE members, etc. to (bilateral) the SSE Securities 0.004% of trading value Paid by SSE members, etc. to management fee (bilateral) the CSRC (collected by the SSE) Cash bonds( T-bond, Handling fee 0.0001% of turnover Paid by SSE members, etc. to enterprise bond, corporate (bilateral) (cash bond the SSE bond, convertible corporate transaction on the fixed bond, detachable income platform and less convertible corporate bond, than 100 yuan/ per deal at etc. minimum) Securities 0.001% of trading value Paid by SSE members, etc. to management fee (bilateral) the CSRC (collected by the SSE) Pledge- One day Handling fee 0.00005% of trading value Temporary Paid by SSE style repo (bilateral) exemption members, etc. to the SSE two days Handling fee 0.00010% of trading value Paid by SSE (bilateral) members, etc. to the SSE Three days Handling fee 0.00015% of trading Paid by SSE (bilateral) members, etc. to the SSE Four days Handling fee 0.00020% of trading value Paid by SSE (bilateral) members, etc. to the SSE
2012 Fact Book 20 2012 Fact Book 21 Stock Market Stock Market
Seven days Handling fee 0.00025% of trading value Paid by SSE (bilateral) members, etc. to the SSE Fourteen Handling fee 0.00050% of trading value Paid by SSE days (bilateral) members, etc. to the SSE Twenty eight Handling fee 0.00100% of trading value Paid by SSE days (bilateral) members, etc. to the SSE More than Handling fee 0.00150% of trading value Paid by SSE twenty eight (bilateral) members, etc. to days the SSE T-bond Seven days Handling fee 0.000625% of trading value Paid by SSE outright (bilateral) members, etc. to repurchase the SSE Twenty eight Handling fee 0.0025% of trading value Paid by SSE days (bilateral) members, etc. to the SSE Ninety one Handling fee 0.00375% of trading value Paid by SSE days (bilateral) members, etc. to the SSE Block A share ,B Handling fee 30% lower than the fee rate Paid by SSE members, etc. to trading share and of same product in auction the SSE securities market investment Securities The same as that in the Paid by SSE members, etc. to fund management fee auction transaction for the the CSRC (collected by the SSE) same product Cash bonds( Handling fee 90% of 0.01% of trading Paid by SSE members, etc. to T-bonds, value and less than 100yuan/ the SSE enterprise per deal at minimum(bilateral) bonds, Securities The same as in auction trading Paid by SSE members, etc. to corporate management fee for the same product the CSRC (collected by the SSE) bonds, convertible corporate bonds, detachable convertible corporate bonds, etc
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Pledge- Handling fee Temporary exemption Paid by SSE members, etc. to style repo the SSE and T-bond outright repo ETF subscription and redemption Handling fee Temporary exemption Paid by SSE members, etc. to the SSE Transfer of specific asset management Handling fee 0.0009% of amount Paid by SSE members, etc. to scheme transferred the SSE Issuance New share Handling fee 0.012% of trading value Paid by SSE members, etc. to subscription (unilateral) and subject to the SSE temporary exemption Convertible Handling fee 0.01% of trading value Paid by SSE members, etc. to corporate bond (unilateral) and subject to the SSE subscription temporary exemption Investment fund Handling fee 0.0085% of trading value Paid by SSE members, etc. to subscription the SSE Right issue, Handling fee 0.012% of trading value Paid by SSE members, etc. to trans-right issue, (bilateral) and subject to the SSE employee shares temporary exemption allotment, state shares allotment, share allotment for convertible bond Investment fund Handling fee 0.0085% of trading value Paid by SSE members, etc. to placement (bilateral) the SSE Listing A share Initial listing fee 0.03% of total issued shares, Paid by listed companies to the not more than RMB 30,000 SSE annual listing fee 0.012% of total listed face Paid by listed companies to the value, not more than RMB SSE 6000 B share Initial listing fee 0.1% of total listed shares, Paid by listed companies to the not more than equivalent of SSE US$5,000 annual listing fee US$600 per year Paid by listed companies to the SSE Securities Initial listing fee 0.01% of the total fund Paid by fund managers to the investment fund value, with a minimum charge SSE RMB10,000 and a maximum of RMB 30,000 annual listing fee RMB 60,000per year Paid by fund managers to the SSE
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warrant Initial listing fee RMB 200,000y Paid by issuers to the SSE Enterprise bond Initial listing fee 0.01% of the total listing Paid by issuers to the SSE amount, with a minimum charge of RMB 8000, and a maximum charge of RMB 40,000( subject to temporary exemption) annual listing fee 0.0096% of total listing Paid by issuers to the SSE amount, with a minimum charge of RMB 4800, and a maximum charge of RMB 24,000 ( subject to temporary exemption) Convertible Initial listing fee 0.01% of total listed face Paid by issuers to the SSE corporate bond value, with a minimum charge of RMB 10,000 and a maximum charge of RMB 30,000 ( subject to temporary exemption) annual listing fee RMB 6000 per year (subject Paid by issuers to the SSE to temporary exemption) Seat non-B-share seat Initial fee RMB 600,000 per seat Paid by issuers to the SSE B share seat Initial fee US$ 75,000 per seat Paid by issuers to the SSE Participant business unit (PBU) PBU use fee Institutions including SSE Paid by SSE members to the members can use one PBU SSE for free for each seat they hold. For additional PBU, user fee of RMB50, 000 per year for each PBU is charged by the SSE. (From Dec. 1, 2010, PBU for bond spot and repo trading is subject to temporarily exemption of usage fee.)
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Flow rate fee If the total flow rate of institution who connects to the SSE trading system exceeds its free flow rate limit, for the excess flow rate, the fee is RMB10, 000 for each standard flow rate per year. (charged from Dec. 1, 2010, flow rate fee for PBUs of bond spot and repo trading is subject temporarily exemption) Flow rate fee 1. charge periods is from Dec. 1 of the previous year to Nov. 30 of the current year 2. flow rate fee= (total number of yearly trading orders of institution’s PBUs - 30,000 deals/year × number of seats held) × RMB0.10 + (total number of yearly non-trading orders of institution’s PBUs - 30,000 deals/year × number of seats held) × RMB0.01 3. For details, please refer to the Circular on Relevant Issues of Adjusting Annual Fee Charge Mode for SSE Seats and Circular on Collecting Annual Fee of Trading Units for 2010 4. From Dec. 1, 2010, all trading participants are temporarily exempted from flow rate fee for bond spot and repo trading. Other services Fees, standards and charging methods are pursuant to the provisions on relevant services.
2012 Fact Book 24 2012 Fact Book 25 Stock Market Stock Market
Notes: 1. This table only covers fees and taxes withheld by the Shanghai Stock Exchange (SSE) and excludes brokers’ commissions and fees paid to securities firms and fees charged by the Depository & Clearing Company.. 2. For information on communications and information service fees, please contact the Shanghai Stock Communications Co., Ltd.( website: http://www.stocom.net and Tel.: +86-21-68664588) and SSE InfoNet . Ltd. (Tel.:+86-21-68800098) 3. For reduction and exemption of trading fees related to ETF, please refer to the Circular on the Reduction and Exemption of Trading Fees Related to Exchange Traded Fund (ETF) (Shang Zheng Chan Zi [2009] No.1); 4. For reduction and exemption of fees related to bond services, please refer to the Circular on Adjusting Charge Rates for Fixed-income Products (Shang Zheng Cai Zi [2010] No.6); 5. For changes in flow rate fee for PBU, see the Circular on Collecting Participation Business Unit Annual Fees for 2010 (Shang Zheng Cai Zi [2010] No.7);
2012 Fact Book 26 2012 Fact Book 27 Stock Market Stock Market
2011 Monthly Trading Volume, Trading Value and P/E Ratio
Trading Value Month Trading Volume (10,000 shares) P/E Ratio (Times) (RMB 10,000) 01 17315829.65 202757888.09 21.64
02 17586789.91 216678026.33 22.57
03 29485755.68 370341232.47 22.78
04 23264297.70 273692333.42 22.75
05 18024318.43 204915343.46 16.33
06 16304922.54 185434803.25 16.48
07 19761534.49 230576969.25 16.14
08 18081248.12 191850420.65 15.41
09 11929112.02 121316775.86 14.19
10 12048809.03 111826844.74 14.96
11 16513955.36 163285949.24 14.17
12 11622137.40 102927939.01 13.40
2012 Fact Book 26 2012 Fact Book 27 Stock Market Stock Market
Top 20 Most Traded Stocks by Turnover Volume
Percentage Trading Volume Rank Code Short Name in Total Market (10,000 shares) Trading Volume (%) 1 601288 Agricultural Bank of China 3304876.71 1.56
2 600016 Minsheng Bank 3066886.90 1.45
3 600010 BaoTou Iron&Steel 2528757.36 1.19
4 601668 China Construction 2258589.12 1.07
5 601899 Zijin Mining 2211801.13 1.04
6 600050 China Unicom 2045757.32 0.97
7 600795 GD Power Development 1821753.10 0.86
8 601818 Everbright Bank 1812659.80 0.86
9 600030 CITIC Securities 1694103.13 0.80
China Southern Locomotive 10 601766 1678570.70 0.79 and Rolling Stock Industry
11 600383 Goldfield Industries 1601556.91 0.76
China Northern Locomotive 12 601299 1554756.94 0.73 and Rolling Stock Industry
13 600000 Pudong Development Bank 1544217.56 0.73
14 600036 China Merchants Bank 1490731.78 0.70
15 601901 Founder Securities 1357584.92 0.64
16 601166 Industrial Bank 1286727.37 0.61
17 601398 ICBC 1263767.27 0.60
18 601328 Bank of Communications 1259855.73 0.59
19 600837 Haitong Securities 1243135.52 0.59
20 601106 China First Heavy Industries 1232966.90 0.58
2012 Fact Book 28 2012 Fact Book 29 Stock Market Stock Market
Top 20 Most Traded Stocks by Trading Value
Percentage Trading Value Rank Code Short Name in Total Market (RMB 10,000) Turnover Value (%) 1 600111 Baogang Rare Earth 35594084.53 1.50
2 601318 Ping An Insurance 25556652.34 1.08
3 601166 Industrial Bank 23982338.33 1.01
4 600030 CITIC Securities 21939216.80 0.92
5 600036 China Merchants Bank 19402598.54 0.82
6 600010 BaoTou Iron&Steel 18247611.84 0.77
7 600031 Sany Heavy Machinery 18129919.27 0.76
8 600000 Pudong Development Bank 17624734.39 0.74
9 600016 Minsheng Bank 17482639.78 0.74
10 600585 Conch Cement 16594256.67 0.70
11 600362 Jiangxi Copper 15477439.15 0.65
12 600348 Yangquan Coal Industry 15019271.52 0.63
13 601088 China Shenhua 14386789.68 0.61
14 600058 Minmetals Development 14144249.95 0.60
15 600547 Shandong Gold 13883134.15 0.58
16 600519 KweiChou Maotai 13861326.45 0.58
17 601899 Zijin Mining 13838025.36 0.58
18 600636 3F New Material 13093467.09 0.55
19 600068 Gemdale 11961976.05 0.50 Fangda Carbon New Material 20 600516 11758893.68 0.49 Technologybon New Material
2012 Fact Book 28 2012 Fact Book 29 Stock Market Stock Market
Top 20 Gainers
2010 Year-end 2011 Year-end Rank Code Short Name Change(%) Close (RMB) Close (RMB)
1 600340 China Fortune Lande Development 8.720 16.050 194.35
2 600645 ST Zhongyuan Union 9.380 22.790 142.96
3 600633 Zhejiang Daily Media 7.280 14.420 98.08
4 600637 BesTV 8.380 15.050 79.59
5 600490 ST Shanghai Synica 15.750 25.850 64.13
Dikang Sci & Tech Pharmaceutical 6 600466 9.760 6.170 58.08 Industry
7 600568 Zhongzhu Holding 11.790 18.030 52.93
Anhui Water Resources 8 600502 13.500 13.430 49.82 Development
9 600793 Yibin Paper Industry 10.850 15.530 43.13
10 600636 3F New Materials 14.670 20.440 39.33
11 600603 Xingye Resources Holdings 6.790 9.330 37.41
12 600200 Jiangsu Wuzhong Industrial 6.740 9.100 35.22
13 600687 Zhejiang Gangtai Holding 10.580 14.150 33.74
14 600371 WanXiang Doneed 14.510 18.430 29.01
15 600714 Jinrui Mineral Development 11.720 15.040 28.33
16 600759 Zhenghe Industrial 5.230 6.690 27.92
17 600057 Xiamen Xiangyu 3.980 5.060 27.14
China Medicine and Health 18 600056 16.320 20.240 24.29 Products
19 900933 Huaxin Cement (B share) 2.830 1.739 23.75
20 600021 Shanghai Electric Power 3.980 4.730 19.89
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Top 20 Losers
2010 Year- 2011 Year- Rank Code Short Name end Close end Close Change (%) (RMB) (RMB) 1 600707 IRICO Display Devices 19.120 6.410 -66.47
2 600146 Ningxia Dayuan Chemical 27.150 9.450 -65.19
Tiancheng Co.,Ltd.of Taiyuan University of 3 600392 27.370 10.160 -62.88 Technology
4 600737 COFCO Tunhe 15.850 6.010 -62.08
5 600458 Times New Material 63.820 11.020 -61.93
6 600499 Keda Industrial 23.840 9.160 -61.38
7 600460 Silan Microelectronics 22.890 8.860 -61.16
8 600866 Starlake Bioscience 14.140 5.580 -60.54
9 600281 *ST Taiyuan Chemical Industry 11.690 4.680 -59.97
10 600673 Dongyangguang Aluminum 18.330 7.350 -59.90
11 600487 HengTong Optic-Electric 40.600 16.200 -59.78
12 600576 WHWH Industry 19.060 7.760 -59.29
13 600523 Guizhou Guihang Automotive Components 23.920 9.770 -58.88
14 600812 North China Pharmaceutical 15.710 6.480 -58.75
15 600213 Yaxing Motor Coach 17.170 7.090 -58.71
16 600311 Ronghua Industry Group 18.580 7.930 -57.32
17 600198 Datang Telecom Technology 19.630 8.400 -57.21
18 600061 Sinotex Investment & Development 13.250 5.680 -57.13
19 600596 Xinan Chemical Industrial 15.220 6.500 -56.93
20 600330 TDG Holding 17.290 7.460 -56.85
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2011 Top 10 in Margin Trading
Amount of Selling the Amount of Purchase Securities to Return the Total Rank Code Short Name on Margin Borrowed Loan (RMB 10,000) (RMB 10,000) (RMB 10,000) 1 601318 China Ping An 1086763.17 621101.70 1707864.87 2 601166 Industrial Bank 1016138.59 553754.42 1569893.01 3 600030 CITIC Securities 913680.66 485190.90 1398871.56 4 600016 Minsheng Bank 654532.23 358231.13 1012763.36 5 600089 TBEA 618237.13 321769.74 940006.87 6 601088 China Shenhua 607763.18 330265.58 938028.76 Pudong 7 600000 562876.51 305134.02 868010.53 Development Bank 8 600362 Jiangxi Copper 594055.51 263359.97 857415.48 9 600519 Kweichow Moutai 503364.15 311537.54 814901.69 10 601168 Western Mining 590035.90 215063.98 805099.88
2011 Top 10 in Short Selling
Amount of Purchase for Amount of Short Sale the securities to return Total Rank Code Short Name (RMB10,000) the borrowed securities (RMB 10,000) (RMB 10,000) 1 600030 CITIC Securities 116987.25 113478.33 230465.58 2 601318 China Ping An 93221.96 85906.75 179128.71 3 600048 Poly Real Estate 74473.98 71818.37 146292.35 4 601088 China Shenhua 74647.29 71013.55 145660.84 5 600036 China Merchant Bank 69525.91 64518.52 134044.43 6 600519 Kweichow Moutai 62171.58 59105.36 121276.94 7 600362 Jiangxi Copper 61718.97 57180.41 118899.38 8 601699 Lu'an Environmental 56395.31 49632.16 106027.47 Energy Development 9 600104 SAIC Motor 52447.27 48780.66 101227.93 10 601601 China Pacific Insurance 51062.40 46904.81 97967.21
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SSE Index Series uses “point” as the unit of calculation
(I) Base day, base period index and launch date Base period Indices Base day Launch date index Composite Indices
SSE Composite Index 1990-12-19 100 1991-7-15
SSE New Composite Index 2005-12-30 1000 2006-1-4
SSE A-share Index 1990-12-19 100 1992-2-21
SSE B-share Index 1992-2-21 100 1992-8-17
SSE Sector Sub-indices 1993-4-30 1358.78 1993-5-3
SSE Medium Enterprise Composite Index 2007-12-28 1000 2008-5-12
SSE Free-float Index 2009-12-31 1000 2010-12-2
Market-size Indices
SSE 180 Index 2002-6-28 3299.06 2002-7-1
SSE 50 Index 2003-12-31 1000 2004-1-2
SSE Mega-cap Index 2003-12-31 1000 2009-4-23
SSE Mid-cap Index 2003-12-31 1000 2009-7-3
SSE Small-cap Index 2003-12-31 1000 2009-7-3
SSE Small- & Mid-cap Index 2003-12-31 1000 2009-7-3
SSE Small- & Mid-cap Index 2003-12-31 1000 2009-7-3
SSE 380 Index 2003-12-31 1000 2010-11-29
Section Indices
SSE Sector Indices (10 Indices) 2003-12-31 1000 2009-1-9
Style Indices
SSE 180 Style Indices (4 Indices) 2002-6-28 1000 2009-1-9
SSE All-share Style Indices (4 Indices) 2003-12-31 1000 2010-1-4
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SSE Strategy Index
SSE Sector Hierarchy Equal Weight Index (10) 2003-12-31 1000 2010-8-18
SSE Large Cap Equal Weight Index 2003-12-31 1000 2011-1-4
Thematic Indices
SSE Dividend Index 2004-12-31 1000 2005-1-4
SSE 180 Financial Index 2002-6-28 1000 2007-12-10
SSE Corporate Governance Index 2007-6-29 1000 2008-1-2
SSE 180 Financial Index 2007-6-29 1000 2008-9-10 SSE 180 Infrastructure/Natural Resource/ 2002-6-28 1000 2008-12-15 Transportation Index SSE Central SOEs 50 Index 2008-12-31 1000 2009-3-30
Social Responsibility Index 2009-6-30 1000 2009-8-5
Private Enterprises 50 Index 2009-6-30 1000 2009-8-25
SSE Local SOEs 50 Index: 2009-6-30 1000 2010-1-4
SSE SOEs 100 Index: 2009-6-30 1000 2010-1-4
SSE Overseas-listing A Share Index 2006-12-29 1000 2010-1-4
SSE Shanghai Enterprises Index 2005-12-31 1000 2010-1-4
SSE Cyclical Industry 50 Index 2003-12-31 1000 2010-2-3
SSE Non-cyclical Industry 100 Index 2003-12-31 1000 2010-2-3
SSE Industry Top Index 2003-12-31 1000 2010-2-9
SSE Commodity Stock Index 2003-12-31 1000 2010-4-30
SSE New-emerging Industry Index 2003-12-31 1000 2010-4-30
SSE Natural Resources Index 2003-12-31 1000 2010-5-28
SSE Consumption 80 Index 2003-12-31 1000 2010-5-28
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Bond Indices
SSE T-bond Index 2002-12-31 100 2003-1-2
SSE Enterprise Bond Index 2002-12-31 100 2003-6-9
SSE Corporate Bond Index 2007-12-31 100 2008-11-19
SSE Detachable Corporate Bond Index 2007-12-31 100 2008-11-19
SSE Enterprise Bond 30 Index 2003-12-31 100 2010-1-4
Fund Index
SSE Fund Index 2000-5-8 1000 2000-6-9
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Number of Constituents in SSE Indices
Index Code Short Name Number of Constituents
000001 SSE Index 975
000002 A-share Index 921
000003 B-share Index 54
000004 Industrial Sub-index 620
000005 Commercial Sub-index 61
000006 Real Estate Sub-index 24
000007 Public Utilities Sub-index 102
000008 Conglomerates Index 168
000009 SSE 380 380
000010 SSE 180 180
000011 Fund Index 36
000012 T-Bond Index 118
000013 Enterprise Bond Index 459
000015 Dividend Index 50
000016 SSE 50 50
000017 New Composite Index 909
000300 CSI 300 300
000901 Xiaokang Index 100
000902 China Securities Free Floating Index 2303
000903 China Securities 100 Index 100
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Market Cap and Weight of Constituent Stocks in SSE 50 Index
Number of Market Cap Weight in Closing Price Code Short Name Tradable Shares of Tradable Shares SSE 50 Index (RMB) (10,000 shares) (RMB 10,000) (%) 600000 Pudong Development Bank 1492278 12669438 8.49 4.63 600015 Hua Xia Bank 499053 5604363 11.23 1.48 600016 Minsheng Bank 2258760 13304098 5.89 6.51 600019 Baoshan Iron & Steel 1751205 8493343 4.85 1.26 600028 China Petroleum & Chemical 6992206 50204043 7.18 1.47 600030 CITIC Securities 981466 9530037 9.71 3.27 600031 Sany Heavy Industry 703080 8816623 12.54 1.86 600036 China Merchants Bank 1766613 20969697 11.87 7.14 600048 Poly Real Estate 584323 5843229 10.00 1.72 600050 China Unicom 2119660 11107017 5.24 2.19 600089 Xinjiang Tebian Electric Apparatus 263556 2024110 7.68 0.99 600104 SAIC Motor 917032 12966838 14.14 1.27 600111 Baotou Steel Rare-earth 73973 2783623 37.63 1.30 600188 Yanzhou Coal Mining 36000 806040 22.39 0.63 600348 Yang Quan Coal Industry 240500 3650790 15.18 0.90 600362 Jiangxi Copper 207525 4551018 21.93 0.88 600383 Goldfield Industries 447151 2213397 4.95 1.06 600489 Zhongjin Gold 185002 3239381 17.51 0.84 600519 Kweichow Moutai 103818 20068019 193.30 3.95 600547 Shandong Hexi Gold 76347 2167498 28.39 0.99 600585 Conch Cement 399970 6259535 15.65 1.52 600837 Haitong Securities 822782 6096815 7.41 2.99 600900 Yangtze Power 736407 4683548 6.36 1.56 601006 Daqin Railway 1486679 11090626 7.46 2.16 601088 China Shenhua 1631104 41315859 25.33 4.07 601111 Air China 819974 5223233 6.37 0.52 601118 Hainan Rubber Industry 78600 534480 6.80 0.26
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Number of Market Cap Weight in Closing Price Code Short Name Tradable Shares of Tradable Shares SSE 50 Index (RMB) (10,000 shares) (RMB 10,000) (%) 601166 Industrial Bank 1078641 13504587 12.52 4.61 601168 Western Mining 238300 2232871 9.37 0.86 601169 Bank of Beijing 622756 5779177 9.28 1.98 601288 Agricultural Bank of China 2045647 5359595 2.62 1.97 601318 Ping An Insurance 478641 16484395 34.44 5.63 601328 Bank of Communications 3270905 14653656 4.48 5.06 601390 China Railway 1662501 4189503 2.52 0.64 601398 ICBC 26222550 111183611 4.24 3.17 601600 Chalco 958052 6150695 6.42 0.90 601601 China Pacific Insurance 620829 11926120 19.21 2.92 601628 China Life 2082353 36732707 17.64 1.28 601668 China State Construction 1308000 3806280 2.91 2.15 601688 Huatai Securities 177153 1385333 7.82 0.64 601699 Lu’an Environmental Energy 230108 4869094 21.16 0.95 China South Locomotive & 601766 951600 4120428 4.33 0.84 Rolling Stock 601818 China Everbright Securities 1521689 4382464 2.88 0.56 601857 Petrochina 16152208 157322504 9.74 1.82 601898 China Coal Energy 900698 8115286 9.01 0.81 601899 Zijin Mining 1580380 6037053 3.82 1.47 601919 China COSCO 747595 3498745 4.68 0.53 601939 China Construction Bank 959366 4355521 4.54 2.14 601958 Jinduicheng Molybdenum 322596 3671141 11.38 0.53 601989 China Shipbuilding Industry 340000 1737400 5.11 1.10
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Market Cap and Weight of Constituent Stocks in SSE 180 Index
Number of Market Cap of Weight in Closing Price Code Short Name Tradable Shares Tradable Shares 180 Index (RMB) (10,000 shares) (RMB 10,000) (%) 600000 Pudong Development Bank 1492278 12669438 8.49 3.08 600005 Wuhan Iron & Steel 1009378 2917102 2.89 0.38 600009 Shanghai Airport 109348 1338415 12.24 0.38 600010 Baotou Steel 642364 2646541 4.12 0.34 600015 Hua Xia Bank 499053 5604363 11.23 0.99 600016 Minsheng Bank 2258760 13304098 5.89 4.34 600019 Baoshan Iron & Steel 1751205 8493343 4.85 0.84 600028 China Petroleum & Chemical 6992206 50204043 7.18 0.98 600029 China Southern Airlines 617760 2928182 4.74 0.32 600030 CITIC Securities 981466 9530037 9.71 2.18 600031 Sany Heavy Industry 703080 8816623 12.54 1.24 600036 China Merchants Bank 1766613 20969697 11.87 4.76 600037 Gehua Cable TV 106037 847232 7.99 0.17 600048 Poly Real Estate 584323 5843229 10.00 1.15 600050 China Unicom 2119660 11107017 5.24 1.46 600058 Minmetals Development 107191 2348556 21.91 0.31 600064 Nanjing Xingang High-Tech 51622 466146 9.03 0.10 600068 Gezhouba 348746 2685343 7.70 0.53 600085 Beijing Tongrentang 130207 1826798 14.03 0.30 600089 Tebian Electric 263556 2024110 7.68 0.66 600096 Yuntianhua 59012 878100 14.88 0.14 600100 Tsinghua Tongfang 198770 1749177 8.80 0.39 600104 SAIC Motor 917032 12966838 14.14 0.85 600108 Yasheng Group 144119 706183 4.90 0.22 600109 Sinolink Securities 100024 992240 9.92 0.10 600111 Baotou Steel Rare-Earth 73973 2783623 37.63 0.87 600115 China Eastern Airlines 266195 1011541 3.80 0.29 600118 China Spacesat 70508 1438355 20.40 0.23 600123 Lanhua Sci-Tech Venture 57120 2220826 38.88 0.43 600132 Chongqing Brewery 48397 1376898 28.45 0.27 600150 China State Shipbuilding 106009 2745634 25.90 0.36
2012 Fact Book 38 2012 Fact Book 39 Stock Market Stock Market
Number of Market Cap of Weight in Closing Price Code Short Name Tradable Shares Tradable Shares 180 Index (RMB) (10,000 shares) (RMB 10,000) (%) Shanghai Aerospace Automobile 600151 95747 689382 7.20 0.11 Electromechanical 600158 China Sports 65750 368197 5.60 0.12 600160 Zhejiang Juhua 79622 1596429 20.05 0.23 600166 Foton Motor 137171 796961 5.81 0.23 600169 Taiyuan Heavy Industry 161597 919487 5.69 0.18 600173 Wolong Real Estate 72506 274797 3.79 0.05 600175 Meidu Holding 124662 337833 2.71 0.08 600177 Yongor 178715 1676347 9.38 0.41 600183 Shengyi Tech 95702 690971 7.22 0.13 600188 Yanzhou Coal 36000 806040 22.39 0.42 600196 Fosun Pharmaceutical 189962 1622275 8.54 0.26 600208 Xinhu Zhongbao 620912 2123518 3.42 0.20 600216 Zhejiang Medicine 45006 895165 19.89 0.18 600219 Nanshan Aluminum 193415 1224320 6.33 0.24 600220 Jiangsu Sunshine 178334 508252 2.85 0.12 600221 Hainan Airlines 334519 1498647 4.48 0.17 600239 Yunnan City 62595 403115 6.44 0.12 600246 Vantone Pioneer Real Estate 121680 389376 3.20 0.06 600252 Zhongheng Group 109175 1159436 10.62 0.30 600256 Guanghui Industry 107876 2220084 20.58 0.77 600259 Rising Nonferrous Metals 12193 464912 38.13 0.15 600266 Beijing Urban Construction 88920 1101719 12.39 0.18 600271 Aisino 92340 1833872 19.86 0.38 600309 Yantai Wanhua 216233 2789412 12.90 0.44 600320 Zhenhua Heavy Industries 254760 1197371 4.70 0.27 600322 Tianjin Realty Development 110570 354930 3.21 0.09 600325 Huafa 81705 590724 7.23 0.15 600331 Hongda 103200 858624 8.32 0.19 600348 Yang Quan Coal Industry 240500 3650790 15.18 0.60 600352 Zhejiang Longsheng 146842 839934 5.72 0.19 600362 Jiangxi Copper 207525 4551018 21.93 0.59 600369 Southwest Securities 79810 688761 8.63 0.13 600376 Beijing Capital Development 149468 1433393 9.59 0.23 600383 Gemdale 447151 2213397 4.95 0.71
2012 Fact Book 40 2012 Fact Book 41 Stock Market Stock Market
Number of Market Cap of Weight in Closing Price Code Short Name Tradable Shares Tradable Shares 180 Index (RMB) (10,000 shares) (RMB 10,000) (%) 600395 Panjiang Refined Coal 26876 554984 20.65 0.22 600406 NARI Technology Development 105036 3277120 31.20 0.64 600415 Zhejiang China Commodities City 120252 942774 7.84 0.35 600418 JAC 107287 639430 5.96 0.17 600432 Jien Nickel 81112 1000113 12.33 0.13 600489 Zhongjin Gold 185002 3239381 17.51 0.56 600497 Chihong Zinc & Germanium 130448 1704961 13.07 0.27 600508 Shanghai Energy 72272 1353651 18.73 0.18 600516 FangDa Carbon New Material 127908 1120472 8.76 0.18 600518 Kangmei Pharmaceutical 219871 2466958 11.22 0.56 600519 Kweichow Moutai 103818 20068019 193.30 2.63 600528 China Railway Erju 145920 719386 4.93 0.12 600547 Chixia Development 76347 2167498 28.39 0.66 600549 Xiamen Tungsten 68198 2023435 29.67 0.26 600550 Tianwei Baobian 137299 1535004 11.18 0.25 600583 Offshore Oil Engineering 374904 2061972 5.50 0.35 600584 Changjiang Electronics Technology 85313 449601 5.27 0.15 600585 Anhui Conch Cement 399970 6259535 15.65 1.02 600595 Henan Zhongfu Industry 151487 875597 5.78 0.14 600598 Heilongjiang Agriculture 177768 1539471 8.66 0.20 600600 Tsingtao Brewery 69591 2329919 33.48 0.37 Jiabao Industry & Commerce 600622 51430 297782 5.79 0.08 Group 600635 Dazhong Public Utilities 164487 754995 4.59 0.20 600638 New Huang Pu 56116 400110 7.13 0.10 600641 Wanye Enterprise 80616 365996 4.54 0.06 600642 Shenergy 472877 2170507 4.59 0.42 600643 AJ Trust & Investment 81785 523423 6.40 0.17 600649 Shanghai Chengtou 229810 1383453 6.02 0.22 600655 Yuyuan Tourist Mart 143732 1204476 8.38 0.31 600657 Cinda Real Estate 152426 568549 3.73 0.06 600660 Fuyao Glass 186305 1494163 8.02 0.37 Shannghai Lujiazui Finance & 600663 135808 1538709 11.33 0.15 Trade Devellopment 600664 Harbin Pharmaceutical 105339 772135 7.33 0.23 600674 Chuantou Energy 54744 613134 11.20 0.14
2012 Fact Book 40 2012 Fact Book 41 Stock Market Stock Market
Number of Market Cap of Weight in Closing Price Code Short Name Tradable Shares Tradable Shares 180 Index (RMB) (10,000 shares) (RMB 10,000) (%) 600675 China Enterprise 141444 527586 3.73 0.12 600690 Qingdao Haier 268513 2397819 8.93 0.46 600703 Sanan Optoelectronics 120511 1317182 10.93 0.20 600736 Suzhou New District Hi-Tech 105788 464410 4.39 0.09 600737 Cofco Tunhe 80560 484168 6.01 0.10 600739 Liaoning Chengda 136471 1677228 12.29 0.53 600741 Huayu Automotive 147256 1363593 9.26 0.31 Dalian Daxian Enterprises 600747 106433 508749 4.78 0.13 Holdings 600748 Shanghai Industrial Development 108337 554686 5.12 0.07 600759 Hainan Zhenghe Industrial Group 121602 813519 6.69 0.08 Tibet Urban Development and 600773 19280 218825 11.35 0.09 Investment 600795 GD Power 1395428 3893245 2.79 0.70 600804 Dr. Peng 133851 777676 5.81 0.25 600811 Oriental Group 166681 915076 5.49 0.24 600812 Northern China Pharm 102858 666518 6.48 0.17 600823 Shimao Real Estate 47836 499881 10.45 0.12 600832 Shanghai Oriental Pearl 318633 1682385 5.28 0.28 600837 Haitong Securities 822782 6096815 7.41 1.99 Inner Mongolia MengDian 600863 57294 475536 8.30 0.16 HuaNeng Thermal Power 600872 Jonjee Hi-Tech 79664 332198 4.17 0.11 600875 Dongfang Electric 154393 3568022 23.11 0.49 600879 Aerospace Times Electronics 81104 665864 8.21 0.17 600884 Ningbo Shanshan 41086 504534 12.28 0.12 600887 Yili Industrial Group 158734 3242939 20.43 1.05 600895 Zhangjiang Hi-tech 154869 1051560 6.79 0.17 600900 Yangtze Power 736407 4683548 6.36 1.04 600997 Kailuan Clean Coal 123464 1375389 11.14 0.22 600999 Merchants Securities 245557 2499770 10.18 0.76 601001 Datong Coal 167370 2035219 12.16 0.26 601006 Daqin Railway 1486679 11090626 7.46 1.44 601009 Bank of Nanjing 296893 2755170 9.28 0.62 601018 Ningbo Port 308000 736120 2.39 0.20 601088 China Shenhua 1631104 41315859 25.33 2.71
2012 Fact Book 42 2012 Fact Book 43 Stock Market Stock Market
Number of Market Cap of Weight in Closing Price Code Short Name Tradable Shares Tradable Shares 180 Index (RMB) (10,000 shares) (RMB 10,000) (%) 601099 Pacific Ocean 148431 998942 6.73 0.10 601101 Haohua Energy Resource 35485 615312 17.34 0.22 601106 China First Heavy Industries 229000 728220 3.18 0.27 601111 Air China 819974 5223233 6.37 0.35 China National Chemical 601117 152900 871530 5.70 0.27 Engineering 601118 Hainan Rubber Industry 78600 534480 6.80 0.17 601158 Chongqing Water Group 50000 300500 6.01 0.19 601166 Industrial Bank 1078641 13504587 12.52 3.07 601168 Western Mining 238300 2232871 9.37 0.58 601169 Bank Of Beijing 622756 5779177 9.28 1.32 601179 China XD Electric 146700 542790 3.70 0.21 601186 China Railway Construction 1001625 3796157 3.79 0.39 China Erzhong Group (Deyang) 601268 32850 231917 7.06 0.08 Heavy Industries 601288 Agricultural Bank of China 2045647 5359595 2.62 1.32 601299 China CNR 255766 1087006 4.25 0.46 601318 Ping An Insurance 478641 16484395 34.44 3.75 601328 Bank of Communications 3270905 14653656 4.48 3.37 601377 Industrial Securities 152006 1413657 9.30 0.13 601390 China Railway 1662501 4189503 2.52 0.42 601398 ICBC 26222550 111183611 4.24 2.12 601588 North Star 266000 726180 2.73 0.14 601600 Chalco 958052 6150695 6.42 0.60 601601 China Pacific Insurance 620829 11926120 19.21 1.95 601607 Shanghai Pharmaceuticals 107053 1186144 11.08 0.35 601618 Metallurgical Corporation of China 362739 957631 2.64 0.42 601628 China Life 2082353 36732707 17.64 0.85 601666 Pingdingshan Tianan Coal 236117 2495751 10.57 0.40 601668 China State Construction 1308000 3806280 2.91 1.43 601688 Huatai Securities 177153 1385333 7.82 0.43 601699 Lu’an Environmental Energy 230108 4869094 21.16 0.63 Zhengzhou Coal Mining 601717 41440 1030613 24.87 0.11 Machinery Group 601718 Jihua Group 115700 395694 3.42 0.13 601727 Shanghai Electric 985071 5023864 5.10 0.33
2012 Fact Book 42 2012 Fact Book 43 Stock Market Stock Market
Number of Market Cap of Weight in Closing Price Code Short Name Tradable Shares Tradable Shares 180 Index (RMB) (10,000 shares) (RMB 10,000) (%) China South Locomotive & 601766 951600 4120428 4.33 0.56 Rolling Stock 601788 China Everbright Securities 109300 1114860 10.20 0.46 601808 China Oilfield Services 291047 4217268 14.49 0.28 601818 Everbright Bank 1521689 4382464 2.88 0.37 601857 Petrochina 16152208 157322504 9.74 1.21 601866 China Shipping Container 769846 1870726 2.43 0.19 601888 China International Travel Service 22000 577060 26.23 0.23 601898 China Coal Energy 900698 8115286 9.01 0.54 601899 Zijin Mining 1580380 6037053 3.82 0.98 601919 China COSCO 747595 3498745 4.68 0.35 601939 China Construction Bank 959366 4355521 4.54 1.43 601958 Jinduicheng Molybdenum 322596 3671141 11.38 0.35 601988 Bank of China 19552505 57093314 2.92 0.67 601989 China Shipbuilding Industry 340000 1737400 5.11 0.74 601998 Citic Bank 3169133 12803297 4.04 0.36
2012 Fact Book 44 2012 Fact Book 45 Stock Market Stock Market
Market Cap and Weight of Constituent Stocks in SSE 380 Index
Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600004 Guangzhou Baiyun International Airport 115000 711850 6.19 0.25 600006 Dongfeng Automobile 200000 628000 3.14 0.22 600008 Beijing Capital 220000 1144000 5.20 0.50 600011 Huaneng Power International 1000000 5350000 5.35 1.46 600012 Anhui Expressway 116560 488386 4.19 0.13 600017 Rizhao Port 226515 611591 2.70 0.31 600018 Shanghai International Port 2099080 5436617 2.59 0.49 600020 Zhongyuan Expressway 139050 358749 2.58 0.19 600022 Shandong Iron And Steel Company 312048 1076566 3.45 0.37 600026 China Shipping Development 210855 1248263 5.92 0.33 600027 Huadian Power International 519006 1691958 3.26 0.46 600033 Fujian Expressway Development 133975 318860 2.38 0.29 600035 Chutian Expressway 93165 312104 3.35 0.11 600038 Hafei Aviation Industry 33735 587664 17.42 0.25 600051 Ningbo United 30240 265507 8.78 0.18 600054 Huangshan Tourism Development 11762 174666 14.85 0.16 600056 China Medicine and Health Products 31096 629379 20.24 0.22 600059 Guyuelongshan Shaoxing Wine 60399 634186 10.50 0.34 600060 Hisense Electric 86887 1032223 11.88 0.53 China Resources Double- 600062 57170 891846 15.60 0.46 Cranepharmaceutical Wanwei Updated High-Tech Material 600063 73616 297408 4.04 0.16 Industry 600066 ZhengzhouYutongBus 51989 1230064 23.66 0.74 600067 Citychamp Dartong 72705 442773 6.09 0.27 600069 Yinge Industrial Investment 66180 401051 6.06 0.30 600070 Zhejiang Furun 14068 108320 7.70 0.07 600071 Phenix Optical 23747 167656 7.06 0.10 600072 CSSC Jiangnan Heavy Industry 47843 739174 15.45 0.39 600075 Xinjiang Tianye 43859 382891 8.73 0.20 600078 Chengxing Phosph-Chemicals 66223 458923 6.93 0.24 600079 Humanwell Healthcare 40790 786018 19.27 0.68
2012 Fact Book 44 2012 Fact Book 45 Stock Market Stock Market
Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600087 Nanjing Tanker Corporation 289919 565342 1.95 0.29 600088 China Television Media 33142 463991 14.00 0.20 600097 Kaichuang Marine International 11545 116720 10.11 0.09 600098 Guangzhou Development Industry 205920 1422907 6.91 0.37 600101 Mingxing Electric Power 32418 288843 8.91 0.18 600102 Laiwu Steel 23377 167613 7.17 0.17 600105 Jiang Su Etern 38095 242287 6.36 0.15 600106 Chongqing Road & Bridge 45387 315894 6.96 0.22 600110 China-Kinwa High Technology 115031 440570 3.83 0.39 600112 Changzheng Electric 42434 453192 10.68 0.23 600113 Zhejiang Dongri 31860 145919 4.58 0.08 600114 Nbtm New Materials 10768 98525 9.15 0.09 Three Gorges Water Conservancy and 600116 24753 320060 12.93 0.15 Electric Power 600117 Xining Special Steel 74122 482534 6.51 0.25 600119 Yangtze River Investment Industry 30740 161078 5.24 0.07 600120 Zhejiang Orient Holdings 50547 360403 7.13 0.19 Zhengzhou Coal Industry & Electric 600121 62914 656193 10.43 0.29 Power 600122 Hongtu High Technology 97199 406290 4.18 0.25 600125 Tielong Container Logistics 103497 960451 9.28 0.73 600128 Jiangsu Holly 24677 242572 9.83 0.17 600133 East Lake High Technology 40183 353208 8.79 0.27 600138 China CYTS Tours 41535 625517 15.06 0.54 600139 Western Resources 27160 370188 13.63 0.17 600141 Xingfa Chemicals Group 35980 614890 17.09 0.38 600143 Kingfa SCI.and Tech 139650 1805675 12.93 0.92 600153 Xiamen C & D 223775 1427685 6.38 0.74 600157 Wintime Energy 44673 647755 14.50 0.28 600161 Tiantan Biological Products 48825 785106 16.08 0.37 600168 Wuhan Sanzhen Industry Holding 44115 302629 6.86 0.13 600170 Shanghai Construction Group 35246 312628 8.87 0.27 600171 Shanghai Belling 67381 305909 4.54 0.21 600172 Huanghe Whirlwind 25100 253757 10.11 0.16 600176 China Fiberglass 42739 554755 12.98 0.26 600178 Dongan Auto Engine 46208 284179 6.15 0.13
2012 Fact Book 46 2012 Fact Book 47 Stock Market Stock Market
Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600190 Jinzhou Port 104378 343404 3.29 0.15 600195 China Animal Husbandry Industry 39000 676260 17.34 0.29 600197 Xinjiang Yilite Industry 44100 402192 9.12 0.18 600200 Jiangsu Wuzhong Industrial 52209 475101 9.10 0.39 600201 Jinyu Group 28081 335012 11.93 0.24 600202 Harbin Air Conditioning 38334 236138 6.16 0.14 600206 Grinm Semiconductor Materials 21750 216413 9.95 0.13 600210 Zijiang Enterprise Group 143674 576131 4.01 0.40 600218 Quanchai Engine 28340 396477 13.99 0.21 600222 Taloph Pharmaceutical 41240 194652 4.72 0.12 600226 Shenghua Biok Biology 40555 304567 7.51 0.18 600227 Guizhou Chitianhua 87018 339368 3.90 0.26 600230 Cangzhou Dahua 25933 192943 7.44 0.08 600231 Lingyuan Iron & Steel 80400 441397 5.49 0.19 600233 Dalian Dayang Trands 11550 111689 9.67 0.08 600236 Guiguan Electric Power 112779 427432 3.79 0.29 600238 Hai Nan Yedao 44203 332408 7.52 0.29 600249 Liuzhou Liangmianzhen 37868 182903 4.83 0.15 600251 Guannong Fruit & Antler 36210 676041 18.67 0.29 600253 Topfond Pharmaceutical 41940 286868 6.84 0.18 600255 Xinke New Materials 44950 275993 6.14 0.19 600258 Beijing Capital Tourism 23140 290638 12.56 0.10 600260 Kaile Science and Technology 52764 289147 5.48 0.20 600261 Zhejiang Yankon Group 29646 510808 17.23 0.28 600262 North Hauler Joint Stock 6600 90354 13.69 0.08 600263 Road & Bridge International 40813 611383 14.98 0.22 600267 Hisun Pharmaceutical 48378 1536969 31.77 0.73 600268 Guodian Nanjing Automation 63525 469447 7.39 0.16 600269 Ganyue Expressway 233541 887455 3.80 0.39 Sinotrans Air Transportation 600270 33084 194867 5.89 0.19 Development 600273 Huafang Textile 31500 280035 8.89 0.12 600276 Hengrui Medicine 112006 3297464 29.44 1.43 600279 Chongqing Gangjiu 15074 103557 6.87 0.08 600280 Nanjing Central Emporium 13471 337188 25.03 0.16
2012 Fact Book 46 2012 Fact Book 47 Stock Market Stock Market
Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600282 Nanjing Iron and Steel 168480 468374 2.78 0.19 600283 Qianjiang Water Resources Development 28533 280765 9.84 0.14 Shanghai Pudong Road and Bridge 600284 41520 313891 7.56 0.22 Construction 600285 Lingrui Pharmaceutial 20072 185064 9.22 0.16 600288 Daheng New Epoch Technology 43680 257712 5.90 0.16 600289 Bright Oceans Inter-Telecom 56315 384071 6.82 0.27 600290 Huayi Electric 41103 300463 7.31 0.17 600292 Chongqing Jiulong Electric Power 33450 417122 12.47 0.22 600293 Sanxia New Building Materials 34450 247008 7.17 0.14 600295 Eerduosi Resources 61200 724608 11.84 0.25 600297 Merro Pharmaceutical 35000 198100 5.66 0.09 600298 Angel Yeast 27140 798187 29.41 0.42 600300 V V Food & Beverage 167200 643720 3.85 0.28 600303 SG Automotive Group 57451 402154 7.00 0.28 600305 Hengshun Vinegar-industry 12715 126260 9.93 0.05 Jiu Steel Group Hongxing Iron and 600307 174720 656947 3.76 0.27 Steel 600308 Huatai Paper 116756 414484 3.55 0.25 600310 Guidong Electric Power 27593 358151 12.98 0.12 600312 Pinggao Electric 81897 683837 8.35 0.47 600315 Shanghai Jahwa United 41922 1429125 34.09 0.89 600316 Hongdu Aviation Industry 67645 1126282 16.65 0.41 600317 Yingkou Port Liability 109757 419272 3.82 0.18 600323 Nanhai Development 32528 273888 8.42 0.19 600326 Tibet Tianlu 54720 454723 8.31 0.28 600327 Wuxi Commercial Mansion Grand Orient 52171 376676 7.22 0.20 600328 Lantai Industrial 35912 290886 8.10 0.15 600329 Zhongxin Pharmaceutical 53343 498761 9.35 0.18 600330 TDG Holding 58882 439259 7.46 0.30 600332 Guangzhou Pharmaceutical 59100 776574 13.14 0.27 600333 Changchun Gas 46152 313833 6.80 0.14 600339 Tianli High and New Tech 57815 372332 6.44 0.22 600343 Aerospace Power Hi-Tech 23968 270123 11.27 0.12 600345 Yangtze Communication Industry 19800 203544 10.28 0.11
2012 Fact Book 48 2012 Fact Book 49 Stock Market Stock Market
Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600350 Shandong Expressway 138529 446064 3.22 0.27 600351 Yabao Pharmaceutical 63295 386734 6.11 0.34 600359 Xinjiang Talimu Agriculture Development 32100 232083 7.23 0.10 600360 JiLin Sino-Microelectronics 67808 273944 4.04 0.19 Lianchuang Optoelectronic Science 600363 37081 225080 6.07 0.15 and Technology 600366 Ningbo Yunsheng 51450 763000 14.83 0.44 600368 Wuzhou Communications 55587 284048 5.11 0.12 600371 WanXiang Doneed 17050 314232 18.43 0.11 600375 Hualing Xingma Automobile 18748 200792 10.71 0.11 600377 Jiangsu Expressway 376554 2142595 5.69 0.38 600380 Joincare Pharmaceutical Group Industry 128820 761324 5.91 0.26 600382 Guangdong Mingzhu 34175 222135 6.50 0.15 600387 Zhejiang Haiyue 38552 351975 9.13 0.23 600388 Fujian Longking 20790 478794 23.03 0.34 600391 ChengFa Aero Science and Technology 7180 116103 16.17 0.10 Tiancheng Co.,Ltd.of Taiyuan University 600392 15660 159106 10.16 0.11 of Technology 600400 Hongdou Industry 56040 216875 3.87 0.11 600403 DaYou Energy 12747 314971 24.71 0.18 600405 Beijing Dynamic Power 25421 174898 6.88 0.11 600409 Sanyou Chemical Industries 93914 651760 6.94 0.32 600410 Beijing Teamsun Technology 48754 494362 10.14 0.35 600416 Xiangtan Electric Manufacturing 60848 418637 6.88 0.25 600420 Shanghai Modern Pharmaceutical 28773 282842 9.83 0.15 600422 Kunming Pharmaceutical 31391 466150 14.85 0.25 600423 Liuzhou Chemical Industry 39935 253985 6.36 0.15 Qingsong Building Materials And 600425 47870 567254 11.85 0.29 Chemicals 600426 Hualu-Hengsheng Chemical 95363 719987 7.55 0.31 600428 COSCO Shipping 169045 696464 4.12 0.30 600435 China North Optical-Electrical Technology 36176 274939 7.60 0.25 600436 Pientzehuang Pharmaceutical 14000 1037960 74.14 0.45 600438 Tongwei 68752 343072 4.99 0.15 600439 Rebecca Hair Products 78610 522757 6.65 0.32 600446 Kingdom Technology 26114 160860 6.16 0.08
2012 Fact Book 48 2012 Fact Book 49 Stock Market Stock Market
Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600449 Ningxia Buliding Materials 12538 246505 19.66 0.25 600456 Baoji Titanium Industry 22754 414571 18.22 0.33 600458 Times New Material Technology 40872 450412 11.02 0.35 600459 Sino-Platinum Metals 14526 237057 16.32 0.13 600460 Silan Microelectronics 43408 384595 8.86 0.14 600467 Homey Aquatic Development 63360 585446 9.24 0.29 600468 Benefo Tejing Electric 45619 642318 14.08 0.22 600469 Aeolus Tyre 37494 285331 7.61 0.15 600470 Liuguo Chemical 52160 421453 8.08 0.18 600475 Huaguang Boiler 25600 332544 12.99 0.17 600477 Hangxiao Steel Structure 31321 164124 5.24 0.15 600478 Corun New Energy 26136 420787 16.10 0.31 600479 Qianjin Pharmaceutical 30482 321584 10.55 0.20 600480 Lingyun Industrial 35673 291096 8.16 0.15 600481 Shuangliang Eco-Energy Systems 81009 597846 7.38 0.26 600487 Hengtong Optic-electric 16612 269114 16.20 0.17 600488 Tianjin Tianyao Pharmaceutical 54289 295875 5.45 0.15 600491 Long Yuan Construction 94760 526866 5.56 0.27 600495 Jinxi Axle 27182 302262 11.12 0.21 600496 Changjiang & Jinggong Steel Building 58657 476292 8.12 0.28 Fiberhome Telecommunication 600498 44234 1198731 27.10 0.53 Technologies 600499 Keda Industrial 60708 556087 9.16 0.35 600500 Sinochem International 143759 918620 6.39 0.40 600501 Aerosun 20629 163382 7.92 0.16 600502 Anhui Water Resources Development 33462 449395 13.43 0.38 600503 Deluxe Family 109948 780628 7.10 0.14 600507 Fangda Special Steel Technology 130053 503305 3.87 0.18 600509 Tianfu Thermoelectric 65570 514722 7.85 0.26 600510 Black Peony 25502 133375 5.23 0.14 600511 China National Medicines 27764 332894 11.99 0.30 600513 Lianhuan Pharmaceutical 11700 133848 11.44 0.08 600517 Zhixin Electric 61871 910115 14.71 0.46 600521 Huahai Pharmaceutical 53861 592468 11.00 0.25 600522 Zhongtian Technology 39139 625443 15.98 0.43
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Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) Guizhou Guihang Automotive 600523 19602 191514 9.77 0.12 Components 600525 Changyuan Group 86351 616546 7.14 0.26 600527 Jiangsu Jiangnan High Polymer Fiber 35128 243085 6.92 0.14 600529 Shandong Pharmaceutical Glass 25738 317350 12.33 0.27 600531 Yuguang Gold & Lead 29525 464725 15.74 0.24 600533 Chixia Development 105000 344400 3.28 0.18 600535 Tianjin Tasly Pharmaceutical 51642 2165871 41.94 0.95 600536 China National Software and Service 16131 245193 15.20 0.15 600537 EGing Photovoltaic Technology 23003 466739 20.29 0.34 600540 Xinjiang Sayram Modern Agriculture 30271 215528 7.12 0.11 600543 Mogao Industrial Development 32112 289329 9.01 0.20 600545 Xinjiang Urban Construction 67579 362897 5.37 0.25 600546 Shanxi Coal International Energy 18073 438280 24.25 0.41 600548 Shenzhen Expressway 143327 554676 3.87 0.10 600551 Time Publishing and Media 21710 254656 11.73 0.15 600557 Kanion Pharmaceutical 30711 451755 14.71 0.37 600559 Laobaigan Liquor 14000 291620 20.83 0.15 600561 Jiangxi Changyun 18572 159165 8.57 0.10 600563 Xiamen Faratronic 22500 360225 16.01 0.15 600565 Dima Industry 72000 229680 3.19 0.14 600567 Shanying Paper Industry 53525 175026 3.27 0.15 600570 Hundsun Technologies 62375 763470 12.24 0.52 600572 Conba Pharmaceutical 59689 422000 7.07 0.21 600573 Huiquan Brewery 15333 102273 6.67 0.07 600575 Wuhu Port Storage & Transportation 71160 602014 8.46 0.31 600577 Jingda Special Magnet Wire 29448 272100 9.24 0.17 600578 Beijing Jingneng Thermal Power 68803 491255 7.14 0.15 600580 Wolong Electric 68773 347303 5.05 0.21 600581 Bayi Iron & Steel 76645 560274 7.31 0.24 600582 Tiandi Science & Technology 101160 1871460 18.50 0.64 600586 Jinjing Science and Technology 72457 344895 4.76 0.35 600587 Shinva Medical Instrument 13439 420653 31.30 0.29 600588 Ufida Software 81590 1468626 18.00 0.64 600589 Guangdong Rongtai Industry 60173 360436 5.99 0.22
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Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600590 Tellhow Sci-Tech 45533 305979 6.72 0.19 600592 Longxi Bearing 30000 225300 7.51 0.12 600594 Yibai Pharmaceutical 35276 591923 16.78 0.40 600596 Xinan Chemical Indusyrial 67918 441470 6.50 0.31 600597 Bright Dairy and Food 104189 932494 8.95 0.32 600601 Founder Technology 219489 590426 2.69 0.51 600606 Jinfeng Investment 49364 226580 4.59 0.14 600611 Dazhong Transportation 104221 536739 5.15 0.28 600612 Lao Feng Xiang 18837 491649 26.10 0.30 600616 JinFeng Wine 43867 411035 9.37 0.25 600620 Shanghai Tianchen 45778 146033 3.19 0.10 600621 Shanghai Jinling 52408 225879 4.31 0.16 600623 Double Coin Holdings 64637 640550 9.91 0.05 Fudan Forward Science and 600624 34516 189490 5.49 0.13 Technology 600626 Shanghai Shenda 71024 251426 3.54 0.15 600628 Shanghai New World 53180 388213 7.30 0.27 600636 3F New Materials 34723 709734 20.44 0.43 Jinqiao Export Processing Zone 600639 65665 444551 6.77 0.15 Development 600644 Leshan Electric Power 32648 271305 8.31 0.17 600647 Tongda Venture Capital 10703 89373 8.35 0.05 Jinjiang International Industrial 600650 39056 328852 8.42 0.14 Investment 600651 Feilo Acoustics 61589 408334 6.63 0.36 600662 Qiangsheng Holding 54904 238285 4.34 0.24 600667 Taiji Industry 36882 202481 5.49 0.15 600668 Jianfeng Group 34372 269823 7.85 0.23 600673 Dongyangguang Aluminum 82201 604175 7.35 0.21 600676 Shanghai Jiao Yun 73140 315963 4.32 0.16 600682 Nanjing Xinjiekou Department Store 35728 249736 6.99 0.13 600683 Metro Land 42338 198564 4.69 0.15 600684 Pearl River Industrial Development 24315 184309 7.58 0.11 600685 Guangzhou Shipyard International 43846 634018 14.46 0.27 600686 King Long Motor 44260 309375 6.99 0.19 600688 Sinopec Shanghai Petrochemical 72000 428400 5.95 0.50
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Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600693 Fujian Dongbai 29901 206318 6.90 0.21 600694 Dashang 29372 977496 33.28 0.83 600697 Chang Chun Eurasia 15516 413491 26.65 0.29 600702 Tuopai Shede Wine 33730 560930 16.63 0.34 Zhejiang Material Industrial Zhongda 600704 56213 440708 7.84 0.31 Yuantong Group 600708 Shanghai Haibo 50838 218605 4.30 0.13 600710 Changlin 48620 304361 6.26 0.18 600712 Nanning Department Store 25572 177980 6.96 0.10 600713 NanJing Pharmaceutical 54792 213142 3.89 0.16 600717 Tianjin Port 167477 1013235 6.05 0.45 600718 Neusoft 122759 999262 8.14 0.52 600720 Qilianshan Cement 47480 431597 9.09 0.30 600724 Ningbo Fuda 44438 279073 6.28 0.23 600725 Yunnan Yunwei 61624 313047 5.08 0.14 600729 Chongqing Department Store 13617 434913 31.94 0.41 600742 FAWAY Automobile Components 21152 423047 20.00 0.29 600743 Huayuan Property 68194 229814 3.37 0.11 600750 Jiangzhong Pharmaceutical 31115 902335 29.00 0.45 Jinjiang International Hotels 600754 44724 774174 17.31 0.27 Development 600755 Xiamen ITG Group 133084 520357 3.91 0.31 600761 Anhui Heli 42835 436056 10.18 0.27 600765 AVIC Heavy Machinery 77800 696313 8.95 0.30 600770 Jiangsu Zongyi 66660 1061894 15.93 0.59 600778 Xinjiang Youhao 30884 298954 9.68 0.26 600779 Sichuan Swellfun 29532 621951 21.06 0.63 600782 Xinyu Iron and Steel 139343 663273 4.76 0.17 600785 Yinchuan Xinhua Commercial 20743 473566 22.83 0.29 600787 CMST Development 46418 373200 8.04 0.35 600790 Light & Textile Industrial City 51905 294823 5.68 0.24 600797 INSIGMA Technology 81304 411400 5.06 0.37 600801 Huaxin Cement 47920 610022 12.73 0.20 600805 Yueda Investment 70767 869725 12.29 0.61 600806 Kunming Machine Tool 39019 231771 5.94 0.12 600808 Maanshan Iron And Steel 596775 1480002 2.48 0.52
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Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600809 Shanxi Xinghuacun Fen Wine 43292 2733483 63.14 0.68 600810 Shen Ma Industry 44228 356478 8.06 0.16 600814 Hangzhou Jiebai 31038 183126 5.90 0.12 600815 Xiamen XGMA Machinery 77971 633124 8.12 0.28 600820 Shanghai Tunnel Engineering 73352 577281 7.87 0.36 600822 Shanghai Material Trading 35360 190591 5.39 0.07 600824 Yimin Group 73196 367446 5.02 0.22 600825 Shanghai Xinhua Media 104489 599766 5.74 0.21 600827 Shanghai Friendship Group 124038 1410315 11.37 0.76 600828 Chengshang Group 43736 367822 8.41 0.13 600829 Sanjing Pharmaceutical 57989 592066 10.21 0.15 600830 Sunny Loan Top 45432 292584 6.44 0.18 Shaanxi Broadcast & Tv Network 600831 56344 562875 9.99 0.34 Intermediary 600834 Shanghai Shentong Metro 47738 289771 6.07 0.10 Shanghai Mechanical & Electrical 600835 80650 639558 7.93 0.28 Industry 600836 Jielong Industry 31356 209460 6.68 0.15 600839 Sichuan Changhong Electric 460927 986385 2.14 0.68 600845 Shanghai Baosight Software 22652 328450 14.50 0.06 600846 Tongji Science & Technology Industrial 58716 256588 4.37 0.19 600853 Longjian Road Bridge 53681 159432 2.97 0.10 600857 HIT.Shouchuang Technology 22432 218488 9.74 0.15 600858 Silver Plaza Group 26343 516844 19.62 0.34 600859 Wangfujing Department Store 41764 1341048 32.11 0.63 600861 Beijing Urban-Rural Trade Centre 31680 221447 6.99 0.13 600864 Harbin Hatou Investment 54638 330012 6.04 0.17 600865 Baida Group 37624 200160 5.32 0.10 600866 Starlake bioscience 52110 290775 5.58 0.21 600873 MeiHua Holdings Group 29074 241892 8.32 0.17 Tianjin Capital Environmental Protection 600874 108723 639290 5.88 0.22 Group 600880 B-Ray Media 41407 513448 12.40 0.45 600881 Jilin Yatai 189473 898103 4.74 0.77 600886 SDIC Power 140463 837159 5.96 0.48 600888 Xinjiang Joinworld 35206 502740 14.28 0.26
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Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 600889 Nanjing Chemical Fibre 30707 155991 5.08 0.08 600893 Xi'An Aero-Engine 108289 1471643 13.59 0.65 600896 China Shipping Haisheng 58132 231364 3.98 0.16 600897 Xiamen International Airport 29781 368689 12.38 0.13 600961 Zhuzhou Smelter Group 25833 237920 9.21 0.21 600963 Yueyang Forest&Paper 84316 394598 4.68 0.28 600966 Bohui Paper Industrial 50458 265912 5.27 0.16 600967 Beifang Chuangye 17323 290853 16.79 0.18 600970 Sinoma International Engineering 72576 1143798 15.76 0.49 Hengyuan Coal Industry and Electricity 600971 42617 563821 13.23 0.34 Power Baosheng Science and Technology 600973 15600 174252 11.17 0.10 Innovation 600976 Wuhan Jianmin Pharmaceutical 15293 231083 15.11 0.16 600978 Yihua Timber Industry 115266 426485 3.70 0.26 600979 Guangan Aaa Public 59289 270952 4.57 0.15 600981 Jiangsu Skyrun 51611 202830 3.93 0.09 600983 Hefei Rongshida Sanyo Electric 19670 137100 6.97 0.13 600985 Anhui Leimingkehua 12960 156038 12.04 0.10 600987 Zhejiang Hangmin 42354 237182 5.60 0.10 600990 Sun-Create Electronics 11760 166169 14.13 0.09 600993 MaYingLong Pharmaceutical Group 33083 572009 17.29 0.29 600995 Yunnan Wenshan Electric Power 47853 327312 6.84 0.23 600998 Jointown Pharmaceutical Group 49682 516197 10.39 0.26 601000 Tangshan Port 45000 278100 6.18 0.12 601003 Liuzhou Iron and Steel 256279 889289 3.47 0.15 601008 Lianyungang Port 53760 232243 4.32 0.09 601098 China South Publishing & Media Group 39800 359792 9.04 0.42 601107 Sichuan Expressway 115745 401635 3.47 0.20 601126 Sifang Automation 8200 131036 15.98 0.17 601137 Ningbo Powerway Alloy Material 5500 83270 15.14 0.08 601139 Shenzhen Gas 57000 633270 11.11 0.13 601177 Hangzhou Advance Gearbox 21306 205816 9.66 0.10 601188 Heilongjiang Transport Development 61640 158414 2.57 0.16 601333 Guangshen Railway 537744 1892858 3.52 0.85 601369 Shaangu Power 55310 633855 11.46 0.32
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Number of Market Cap of Closing Weight in Code Short Name Tradable Shares Tradable Shares Price 380 Index (10,000 shares) (RMB 10,000) (RMB) (%) 601518 Jilin Expressway 61640 157181 2.55 0.16 601519 Great Wisdom 11000 119680 10.88 0.13 601558 Sinovel Wind Group 21020 328753 15.64 0.23 601678 Befar Group 21450 241313 11.25 0.19 601700 Fengfan Power Equipment 5490 86522 15.76 0.09 601777 Lifan Industry 32660 220132 6.74 0.17 601801 Anhui Xinhua Media 15160 165244 10.90 0.17 601872 China Merchants Energy Shipping 343340 992252 2.89 0.34 601877 Chint Electrics 29068 380792 13.10 0.33 601880 Dalian Port 80841 207760 2.57 0.22 601890 Asian Star Anchor Chain 27783 233380 8.40 0.11 601918 Sdic Xinji Energy 185039 2059481 11.13 0.54 601933 Yonghui Superstores 49403 1489515 30.15 0.41 601991 Datang International Power Generation 899436 4641090 5.16 0.88
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Listed Companies Listed Companies Listed Companies
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Listed Companies
Issuance Conditions for IPOs
I. Entity qualifications 1. The issuer shall be a joint-stock limited company established by law and legally existing by law. When a limited liability company is lawfully converted into a joint-stock limited company pursuant to State Council approval, it may issue shares to the public by way of a public share offer. 2. Unless otherwise approved by the State Council, the issuer shall operate the joint-stock limited company for a continuous period of three years or more after its establishment. Where a limited liability company is wholly converted into a joint-stock limited company according to the original book value of its net assets, the continuous operating period shall be calculated from the date the limited liability company is established. 3. The registered capital of the issuer shall have been paid up in full, procedures for transferring the property right attached to assets used as capital contributions by the promoter or shareholders shall have been completed, and there shall be no material dispute over ownership of the issuer's major assets. 4. The business operations of the issuer shall comply with laws and administrative regulations, its articles of association, and the state's industrial policies. 5. There shall have been no significant change in the issuer’s principal operations, directors and senior management and no change in its actual controller in the last three years. 6. The issuer’s equity structure shall be clear and there shall be no major dispute over the ownership of shares held by the controlling shareholder, controlled shareholders and shareholders controlled by the actual controller.
II. Independence 1. The issuer shall have a complete business structure and the ability to deal directly with the market and operate independently. 2. The issuer shall maintain the integrity of its assets. Production-oriented enterprises shall have production systems, auxiliary production systems and supporting facilities related to their business operations, legally hold the ownership or use rights for land, plant, machinery, and equipment, as well as trademarks, patents, and non-patent technologies related to their business operations, and shall have an independent system for purchasing raw materials and selling products; non-production-oriented enterprises shall have a business structure and relevant assets related to their business operations. 3. The issuer shall maintain the independence of its personnel. The issuer’s general manager, deputy managers, financial controller, secretary to the board of directors and other senior officers shall not serve its controlling shareholder, actual controller or other enterprises under their control in a capacity other than director or supervisor, nor draw a salary from said controlling shareholder, actual controller or other enterprises under their control; the issuer’s financial staff shall not serve its controlling shareholder, actual controller or other enterprises under their control in any capacity. 4. The issuer shall maintain its financial independence. The issuer shall establish an independent financial accounting system, be able to make financial decisions independently, and have appropriate financial and accounting systems and a system for the financial management of its branches and subsidiaries; the issuer shall not use a common bank account with its controlling shareholder, actual controller or any other enterprise under their control.
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5. The issuer shall maintain the independence of its organizational structure. The issuer shall establish sound internal business management departments to independently exercise business management authority, and shall not combine its departments with those of its controlling shareholder, actual controller or any other enterprise under their control. 6. The issuer shall maintain the independence of its business. The issuer shall maintain its business independent of its controlling shareholder, actual controller or any other enterprise under their control, and shall not compete horizontally with or engage in any apparently unfair transaction its controlling shareholder, actual controller or any other enterprise under their control. 7. The issuer shall not suffer from any other major defect in its independence.
III. Regular operations 1. The issuer shall have lawfully established sound systems for general meetings, the board of directors, the board of supervisors, independent directors and the secretary to the board of directors so that relevant departments and personnel can perform their duties pursuant to the law. 2. The issuer’s directors, supervisors and senior officers shall understand laws and regulations related to the issuance and listing of shares and shall be aware of the statutory responsibilities and obligations of a listed company and its directors, supervisors and senior officers. 3. The issuer’s directors, supervisors and senior officers shall have qualifications that conform to the law, regulations and rules, and shall not be subject to any of the following circumstances: (1) Banned from access to the securities market by the China Securities Regulatory Commission (CSRC), such ban not having been lifted; (2) Subject to an administrative penalty imposed by the CSRC within the last 36 months or has publicly censured by the Stock Exchange within the last 12 months; or (3) Investigated by the judicial authorities because of a suspected criminal offence or investigated by the CSRC as a result of a suspected legal or regulatory violation, where no definitive and conclusive opinion has been issued; 4. The issuer’s system of internal controls shall be sound, have been implemented effectively, and reasonably be capable of ensuring the reliability of its financial reports, the legitimacy of its business activities, and the efficiency and effects of its operations. 5. The issuer shall not be subject to any of the following circumstances: (1) Where it has issued securities to the public or in a disguised manner without the approval of the statutory authority within the last 36 months; or relevant legal violations that occurred 36 months ago are nevertheless ongoing; (2) Where it has been subject to administrative penalties within the last 36 months as a result of any violation of laws and regulations related to, among other matters, industry and commerce, taxation, land, environmental protection, and customs, and the circumstances are serious; (3) Where it has submitted an application to the CSRC within the last 36 months, but the application documents submitted included any false records, misleading statements, or material omissions; or it has obtained issuance approval by deceptive means while not meeting the issuance conditions; or it has interfered with the examination and verification work of the CSRC or its issuance examination and verification committee by improper means; or it has forged or altered the signature or seal of the issuer or the issuer's directors, supervisors or senior officers; (4) Where the issuance application documents it submits on this occasion include any false records, misleading statements, or material omissions; (5) Where it has been investigated by the judicial authorities because of a suspected criminal offence and no definite and conclusive opinion has been issued; or
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(6) Any other circumstances in which investors’ lawful rights and interests and the public interest are seriously damaged. 6. The issuer’s articles of association shall specify the limits of authority for the examination and approval of external guarantees and deliberation procedures for external guarantees, and no guarantee shall be improperly provided for its controlling shareholder, actual controller or any other enterprise under their control.
7. The issuer shall have a strict fund management system and shall not have funds used by its controlling shareholder, actual controller or any other enterprise under their control in the name of borrowings, debt repayments, advance payments or any other means.
IV. Finance & accounting 1. The issuer shall have good quality assets, a reasonable asset-liability structure, strong profitability, and normal cash flows.
2. The issuer’s internal controls shall be effective in all material respects and the issuer shall have obtained an unqualified internal control certification report issued by a certified public accountant (CPA).
3. The issuer’s basic accounting work and the preparation of its financial statements shall comply with the Accounting Standards for Business Enterprises and the Accounting Systems for Business Enterprises, and shall fairly reflect in all material respects its financial position, the results of operations and cash flows, and the issuer shall have obtained an unqualified audit report issued by a CPA.
4. The issuer shall prepare financial statements on the basis of transactions or events which have actually occurred; when confirming, measuring or submitting accounting records, it shall exercise due prudence; for the same or similar businesses, it shall select the same accounting policy and shall not change it randomly.
5. The issuer shall fully disclose relationships with associated parties and appropriately disclose associated relationships based on the principle of importance. The pricing of associated transactions shall be fair and profits shall not be manipulated through associated transactions.
6. The issuer shall meet the following conditions: (1) Its net profit has been positive for the last three financial years, with the aggregate amount exceeding RMB 30 million, and net profits shall have been calculated as the lower of the amounts before and after deducting non-recurring losses and profits; (2) Its cumulative net cash flows from business activities for the last three financial years exceed RMB 50 million; or cumulative business income for the last three years exceeds RMB 300 million; (3) Its total stock capital before issuance is no less than RMB 30 million; (4) Its intangible assets (excluding land use rights, marine cultivation rights and mining rights, etc.) do not exceed 20% of net assets at the end of the latest period; and (5) No loss has not been made up for in the latest period.
7. The issuer shall pay tax in accordance with the law and enjoy various tax concessions in accordance with the
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provisions of relevant laws and regulations. The issuer’s business results shall not be heavily reliant on tax concessions.
8. The issuer shall not be subject to any major debt repayment risk or major contingent event such as a guarantee, lawsuit or arbitration proceedings which will adversely affect its continuing operations.
9. The application documents the issuer submits shall not involve any of the following circumstances: (1) Deliberately omitting or fabricating transactions, events or other important information; (2) Misusing accounting policies or accounting estimates; or (3) Manipulating, forging or tampering with accounting records or relevant vouchers on which financial statements are based.
10. The issuer shall not be subject to any of the following circumstances which adversely affect its ongoing profitability: (1) Where there have been or will be significant changes in the issuer’s business model and the variety and structure of its products or services which will have a material adverse impact on the ongoing profitability of the issuer; (2) Where there have been or will be significant changes in the issuer’s position in the industry in which it operates or the business environment of such industry which will have a material adverse impact on the ongoing profitability of the issuer; (3) Where the issuer’s business income or net profit for the latest financial year was heavily reliant on any associated party or client for which a material degree of uncertainty exists; (4) Where the issuer’s net profit for the latest financial year was mainly derived from investment income outside the scope of the consolidated financial statements; (5) Where there is any risk of a material adverse change in the acquisition or use of major assets or technologies used by the issuer such as trademarks, patents, proprietary techniques and franchise rights; or (6) Any other circumstances likely to have a material adverse impact on the ongoing profitability of the issuer.
V. Use of funds raised 1. The funds raised shall be used for clear purposes and shall in principle be used in the issuer’s main business. Other than for financial enterprises, the funds raised shall not be used as held-for-trading financial assets or available- for-sale financial assets, or for lending to others, third party managed investments or other financial investments, and shall not be directly or indirectly invested in companies mainly engaged in the trading of securities.
2. The amount of funds raised and investment projects shall be commensurate with the issuer's current scale of business operations, financial position, technical standards and management competence, etc.
3. Investment projects for which the funds raised are used shall comply with the state's industrial policies and with laws, regulations and rules governing, among other matters, investment management, environmental protection, and land management.
4. The issuer’s board of directors shall carry out a detailed study on the feasibility of projects for which the funds raised are to be used to ensure that such projects have good prospects and will be profitable, as well as to effectively guard against investment risk and increase the efficiency with which the funds raised are utilized.
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5. Projects for which the funds raised are used shall not, when implemented, result in horizontal competition or have any adverse impact on the independence of the issuer.
6. The issuer shall establish a special reserve regime for the funds raised, which shall be deposited in a special account determined by the board of directors.
Listing Conditions for IPOs
If the issuer applies to list its shares on the SSE after making an IPO, it shall meet the following conditions: 1. Its shares have been issued to the public pursuant to CSRC approval; 2. Its total capital stock is no less than RMB 50 million; 3. Its publicly issued shares account for no less than 25% of its total shares; where its total capital stock is more than RMB 400 million, its publicly issued shares shall account for no less than 10% of its total shares; 4. It has no record of major legal violations within the last three years and its financial and accounting reports do not contain any false records; and 5. Other conditions required by the Exchange.
SSE Guide to Securities Listing Procedures
The term “securities” refers to stock, corporate bonds, or convertible corporate bonds (including separately traded convertible corporate bonds, hereinafter referred to as convertible bonds) and other negotiable securities. 1. After the securities issuance application has been approved by the CSRC issuance examination and verification committee, the issuer and its sponsor and managing underwriter shall promptly contact the issuance and listing department or the bond funding department of the SSE to apply for a securities code and a securities trading abbreviation and communicate over matters relating to securities issuance and a listing application. 2. After obtaining approval documents from the CSRC for the securities issuance application, the issuer and its managing underwriter shall promptly contact the SSE to submit an issuance program and an issuance plan. 3. If the issuer issues securities to the public and applies to list them on the trading market of the SSE, it shall disclose its issue announcement, the full text of its prospectus (letter of intention to offer shares, offering prospectus), inspection documents and appendices thereto (hereinafter referred to as the “relevant documents”) on the SSE website and be responsible for their content. 4. The issuer and its managing underwriter shall, before 16:00 (14:00 in the case of a corporate bond issue) on the working day immediately before the day on which they intend to disclose the issue announcement, the full text of the prospectus (letter of intention to offer shares, offering prospectus) and the relevant documents, and submit the following materials to the Exchange: (1) CSRC documents approving the public issuance of securities; (2) The issuer’s application to issue securities through the SSE system; (3) The issue announcement and the full text of the prospectus (letter of intention to offer shares, offering prospectus) and the relevant documents; (4) The issuer and its managing underwriter’s letter of confirmation guaranteeing consistency between the electronic and written versions of the issue announcement, the full text of the prospectus (letter of intention to offer shares, offering prospectus) and the relevant documents, and assuming full responsibility for the same; and (5) Other documents required by the SSE.
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Where special circumstances prevent the relevant documents from being submitted on schedule in accordance with the foregoing requirements, an application shall be submitted to the SSE half an hour prior to the deadline for submission of relevant materials. 5. The issuer and its managing underwriter shall ensure the accuracy and completeness of issuance data included in relevant materials submitted to the Exchange. Issuance data include the issue price, the number of shares to be issued, the time of issuance, the subscription code, the placement ratio, the trading unit of the managing underwriter, the securities account number of the managing underwriter, and other relevant data. 6. Unless otherwise approved by the SSE, for IPOs, public issues of additional shares, or public issues of convertible bonds, the online issuance period shall not exceed one trading day, the offline issuance period shall not exceed two trading days, and the rights issuance period shall not exceed five trading days. During the online issuance period for an IPO, public issues of additional shares, or public issues of convertible bonds, the managing underwriter may, after the market close on T date (the online issuance date), apply to the SSE to inquire about the preliminary results of subscriptions for shares issued online. Where shares and convertible bonds of a listed company are placed with existing shareholders, its managing underwriter may, after the market close on the first day immediately following T date, independently inquire about the number of shares validly placed with existing shareholders through its securities account.
7. Unless otherwise approved by the SSE, the offline issuance period for corporate bonds shall not exceed five trading days. The deadline for offline issuance shall be at least two trading days later than the online issuance deadline. During the online issuance period for corporate bonds, the SSE will, through its existing A-share real-time transaction data interface, submit transaction data for the online issuance of corporate bonds to the Shanghai branch of China Securities Depository and Clearing Corporation Limited. The Shanghai branch of China Securities Depository and Clearing Corporation Limited shall conduct clearing operations at the end of each trading day. Registration results for valid subscriptions may be checked at the end of the next trading day or on the second trading day for such subscriptions. The securities code for registration data shall be the securities code for the corporate bonds issued online on this occasion. Before 10:30 on the trading day immediately after the offline issuance deadline, the managing underwriter shall submit sales registration data to the bond funding department of the Exchange. 8. When making an IPO, the managing underwriter shall, before 11:00 on the first day immediately after T date, submit tables for online and offline placements for which capital verification has not been undertaken to the SSE as required; when issuing additional shares and convertible bonds to the public, it shall, before 16:00 on the first day immediately after T date, submit tables for online and offline placements for which capital verification has not been undertaken to the SSE as required. Where the capital verification process indicates no abnormalities, the managing underwriter shall not adjust the online and offline placement tables submitted; where any abnormality arises in the course of capital verification, the managing underwriter may, according to the capital verification circumstances, adjust the online and offline placement tables submitted, and shall immediately take action to coordinate and deal with any such abnormality and promptly report the results to the SSE. Where the managing underwriter adjusts the online and offline placement tables when making an IPO, it shall, before 17:00 on the first day immediately after T date, submit the adjusted online and offline placement tables to the SSE as required; where the managing underwriter adjusts online and offline placement tables when issuing additional shares or convertible bonds to the public, it shall, before 11:00 on the second day immediately after T date, submit the adjusted online and offline placement tables to the SSE as required.
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9. During the securities issuance period, the managing underwriter shall, at 16:00 on the same day, submit to the SSE all announcements to be disclosed on the following day. After receiving confirmation from the Exchange, the issuer and its managing underwriter shall contact the designated disclosure media outlets and the SSE website to confirm the release of such announcements. Where special circumstances prevent such announcements from being submitted before 16:00, an application must be submitted to the SSE half an hour before the deadline. 10. When underwriting securities, the managing underwriter shall fully disclose the subscription time and subscription procedures to price inquiry agencies and other investors. Price inquiry agencies and other investors shall not increase, reduce or modify quotation or subscription data beyond the subscription time and subscription procedures specified or announced, and the issuer and the managing underwriter shall not assist price inquiry agencies and other investors in increasing, reducing or modifying quotation or subscription data beyond the subscription time and subscription procedures specified or announced. 11. After a securities issue is completed, the issuer and its sponsor and managing underwriter shall, in accordance with the requirements of the Share Listing Rules of the Shanghai Stock Exchange, promptly prepare and submit securities listing application documents. 12. Where shares or convertible bonds meet listing conditions, the period from the day on which their issuance is completed to L date (L date is the day on which securities are listed) shall not exceed seven trading days. Where corporate bonds meet listing conditions, the SSE will coordinate and make arrangements for the listing date after receiving the issuer’s registration and custody evidential documents. The SSE may adjust the securities listing date according to market conditions. The day on which an IPO, a public issue of additional shares, or a public issue of convertible corporate bonds is completed shall be the day on which successful subscription results are announced. The day on which a rights issue is completed shall be the ex-rights trading day. 13. Listing application documents for an IPO or ordinary convertible corporate bonds (see documents to be submitted when applying for an IPO and listing below) shall be submitted to the SSE before 16:00 on the fourth day before L date. Listing application documents for a public issue of additional shares or a rights issue shall be submitted to the SSE before 16:00 on the third day before L date. Listing application documents for corporate bonds in existence after separately traded convertible corporate bonds are split and listing application documents for warrants in existence after such a split shall be submitted to the listing department of the SSE as required before 16:00 on the fifth day before L date. Listing application documents for warrants in existence after the split shall also be submitted to the management department of the SSE for the record. 14. The issuer, the sponsor and the managing underwriter shall ensure the accuracy and completeness of securities listing data included in the listing application materials submitted to the Exchange. Securities listing data include the issue price (or the opening reference price on the first listing day), the number of shares to be listed, the time of listing, the securities code, the capital stock structure, and other relevant data. 15. The listing committee of the SSE shall examine matters relating to the initial listing of shares and corporate bonds. The SSE will, according to the examination opinions of the listing committee, decide whether or not to approve the listing application. 16. Where the issuer’s securities listing application is approved after being examined by the Exchange, the issuer shall disclose listing announcements prepared in accordance with relevant requirements and other documents required by the SSE on the SSE website, and shall be responsible for their content. 17. Before securities are initially listed, the issuer shall, in accordance with the relevant requirements of the Administrative Measures of the China Securities Regulatory Commission for International Securities Identification
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Numbers, apply for an ISIN code for the newly listed securities through the SSE website.
18. Listing of securities.
Documents to Be Submitted When Applying for an IPO and Listing
The issuer and its sponsor shall, before applying for shares to be listed, submit the following documents to the issuance and listing department of the Shanghai Stock Exchange: 1. A share listing application; 2. China Securities Regulatory Commission documents approving the initial listing of the issuer’s shares; 3. Resolutions of the board of directors and the shareholders’ meeting related to the issuance and listing of the issuer’s shares; 4. A photocopy of the issuer’s business licenses; 5. The issuer’s articles of association; 6. The issuer’s financial and accounting reports for the last three years lawfully audited by an accounting firm qualified to engage in relevant securities and futures business; 7. Documents proving that all the issuer’s shares were in the custody of the Shanghai branch of China Securities Depository and Clearing Corporation Limited after the IPO was completed; 8. A capital verification report issued by an accounting firm qualified to engage in relevant securities and futures business after the IPO was completed; 9. A detailed description of shares in the issuer held by the directors, supervisors and senior officers and statements and letters of commitment from the directors (supervisors and senior officers); 10. Relevant details on the secretary to the board of directors to be employed or already employed by the issuer; 11. A description of financial materials newly added pursuant to applicable provisions and major matters of relevance to have occurred after the IPO and before the listing; 12. Letters of commitment as specified in Articles 5.1.4 and 5.1.5 of the Share Listing Rules of the Shanghai Stock Exchange; 13. The latest prospectus and the full set of issuance application materials examined and approved by the CSRC; 14.A listing announcement prepared in accordance with the Guide to the Content and Format of Share Listing Announcements of the Shanghai Stock Exchange; 15. The sponsor agreement; 16. The listing sponsor letter issued by the sponsor; 17. The legal opinions issued by law firms; and 18. Other documents required by the Exchange.
Conditions for listed companies to issue securities to the public
To issue securities to the public, a listed company shall first meet the following general provisions: I. The listed company shall have a complete and well-operated organization, sound operations, and meet the following requirements: 1. It has legally valid articles of association and a sound system for shareholders’ meetings, the board of directors, the board of supervisors, independent directors which are able to perform their duties effectively in accordance with the law;
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2. It has a sound system of internal controls, is able to effectively guarantee the efficiency of its operations, its compliance with laws and regulations, and the reliability of its financial reports; there is no material defect in terms of the completeness, reasonableness and effectiveness of its system of internal controls; 3. Its current directors, supervisors and senior officers have the corresponding qualifications, are able to perform their duties with loyalty and diligence, have not violated the provisions of Articles 148 and 149 of the Company Law, have not been subject to administrative penalties by the CSRC within the last 36 months, and have not been publicly censured by a stock exchange within the last 12 months; 4. The listed company is separate from its controlling shareholder or actual controller in terms of personnel, assets and finance, has an independent structure and business, and is able to manage its business independently; and 5. It has not provided an improper external guarantee within the last 12 months.
II. The listed company shall be profitable on an ongoing basis and meet the following provisions: 1. It has been profitable for the last three financial years; the lower of net profit before or after non-recurring losses and profits shall be used as the basis for calculation; 2. Its business and profit sources are relatively stable and do not rely heavily on its controlling shareholder or actual controller; 3. Its current main business or investment directions can be developed sustainably, its business model and investment plan are prudent, its main products or services have good market prospects, and no substantial adverse change in the industry business environment or market demand is either currently in existence or foreseeable; 4. Its senior officers and core technical staff are stable and have not undergone any substantial adverse change within the last 12 months; 5. Its major assets, core technologies and other substantial rights and interests have been obtained legally and can be used sustainably without any substantial adverse change either currently in existence or foreseeable; 6. It is not affected by any guarantee, litigation, arbitration or other major event likely to materially affect its continuing operation; and 7. Where it has issued securities to the public within the last 24 months, its business profit in the year in which the securities were issued was more than 50% lower than in the previous year.
III. The listed company shall have sound finances and meet the following provisions: 1. Its basic accounting work is up to standard and strictly complies with the state's uniform accounting rules; 2. No certified public accountant has issued a qualified opinion, an adverse opinion or a opinion disclaimer in audit reports for the last three years or on the latest financial statements. Where explanatory paragraphs are attached to unqualified audit reports, the matters covered in the explanatory paragraphs have had no major adverse impact on the issuer, or the major adverse impact has been eliminated before the issue; 3. Its assets are of sound quality. Non-performing assets shall not have a major adverse impact on the financial status of the company; 4. Its business results are genuine and cash flows are normal. Confirmation of business income and costs and expenses shall strictly comply with the provisions of relevant state accounting rules, and impairment provisions incurred in the last three years shall be sufficient and reasonable, without any manipulation of business results; and
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5. Cumulative profits distributed in the last three years in cash or stock represent no less than 20 percent of annual distributable profits realized the last three years.
IV. The listed company's financial statements for the last 36 months shall contain no false records, and none of the following major unlawful acts shall have occurred: 1. Violations of laws, administrative rules and regulations on securities that have subjected the company to administrative penalties or criminal penalties; Violations of laws, administrative rules and regulations on industry and commerce, taxation, land, environmental protection or customs that have subjected the company to administrative penalties and the circumstances of which have been serious, or have subjected the company to criminal penalties; and 3. Violations of other laws, administrative rules and regulations in which the circumstances have been serious.
V. The amount of funds raised by listed companies and the use of such funds shall meet the following provisions: 1. The amount of funds raised shall not exceed what is needed for the proposed projects; 2. The funds raised shall be used for purposes that comply with national industrial policies and provisions of laws and administrative rules concerning environmental protection and land administration; 3. Other than for financial enterprises, the funds raised on this occasion cannot be held for trading financial assets or available for sale financial assets, lending to others, investments managed by third parties, or other financial investments; nor can they be invested directly or indirectly in companies mainly engaged in the trading of securities; 4. The investment projects, when implemented, will not result in horizontal competition with the controlling shareholder(s) or the actual controller(s), nor affect the independence of the company’s production and operating activities; and 5. A special reserve regime must be established for the funds raised, which shall be deposited in a special account determined by the company's board of directors.
VI. The listed company shall be barred from offering securities to the public under any of the following circumstances: 1. The current application documents include any false records, misleading statements or major omissions; 2. The purposes for which funds raised in the previous public offer of securities have been used have been altered without authorization and such conduct has not been redressed; 3. The listed company has been subject to a public censure from a stock exchange within the last 12 months; 4. The listed company and its controlling shareholders or actual controllers have engaged in acts that have not honored undertakings made to investors within the last 12 months; 5. The listed company or its incumbent directors or senior managers have been investigated by the judicial authorities for suspected criminal offences or investigated by the CSRC for suspected violations of laws or regulations; and 6. Other circumstances where the lawful rights and interests of investors and the public interest have been seriously infringed.
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Share Placements of Listed Company
Share placements to existing shareholders (hereinafter referred to as "share placements") shall, in addition to complying with the preceding general provisions, also comply with the following provisions: 1. The number of shares to be placed shall not exceed 30 percent of the total value of capital stock before the current placement; 2. Controlling shareholders shall make a public commitment on the number of shares to which they will subscribe before the general meeting of shareholders is convened; and 3. They shall be sold by proxy as stipulated by the Securities Law. Where the controlling shareholders fail to honor their share subscription commitments, or where the proxy sale period expires but the amount of shares subscribed for by existing shareholders has not reached 70 percent of the shares to be placed, the issuer shall give refunds to shareholders who have already subscribed according to the issue price plus interest calculated at the bank deposit rate for the corresponding period.
Additional Issuance by Listed Companies
In a public offer of shares to unspecified targets (hereinafter referred to as an "additional issue"), in addition to the preceding general provisions, the following provisions must also be complied with: 1. The average annual weighted net return on assets in the last three fiscal years shall be no less than 6 percent. Net profits before or after deducting non-recurring profits and losses, whichever the lower, shall serve as the basis for calculating the average weighted net return on assets; 2. Other than for financial enterprises, no significant amount shall have been held for trading financial assets or available for sale financial assets, funds for lending to others, investments managed by third parties, or other financial investments at the end of the latest accounting period; and 3. The issue price shall be no lower than the average price of the company's shares in the 20 trading days before publication of the offering prospectus or than the average price on the previous trading day.
Special Treatment
If a listed company is subject to abnormal financial conditions or other abnormal circumstances, thereby causing a risk that the company will have its share listing terminated or making it difficult for investors to assess the prospects of the company and potentially damaging their investment interests, a special treatment shall be implemented against trading in the company’s shares. Special treatments are divided into listing termination risk warnings (hereinafter referred to as "delisting risk warnings") and other special treatments. The disposition measures for delisting risk warnings include the following: 1. Indicating "*ST" before the abbreviation for the shares of the company to distinguish them from other shares; and 2. Limiting daily rises and falls in share quotations to 5%. Other special treatment measures include the following: 1. Indicating "*ST" before the abbreviation for the shares of the company to distinguish them from other shares; and 2. Limiting daily rises and falls in shares quotations to 5%. If any of the following circumstances apply to a listed company, a delisting risk warning shall be implemented for
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trading in the shares of the company: 1. Where the company has incurred losses in each of the last two years (based on the annually audited net profits disclosed in the two latest annual reports); 2. Where the financial and accounting reports of the company contain significant accounting errors or false records and are corrected by the company on its own initiative or the CSRC orders the company to rectify the same so its financial and accounting reports for previous years are adjusted retroactively, resulting in losses for the last two years; 3. Where the financial and accounting reports of the company contain significant accounting errors or false records and the CSRC orders the company to rectify the same, but the company fails to do so within the prescribed time limit and the shares of the company have been suspended from trading for two months; 4. Where the company fails to disclose its annual report or interim report within the statutory time limit and the shares of the company have been suspended for two months; 5. Where the company may be dissolved; 6. Where the people's court has heard a case concerning the bankruptcy of the company and the company is likely to be declared bankrupt according to law; or 7. Other circumstances determined by the SSE in which the risk of delisting exists.
If any of the following circumstances apply to a listed company, other special treatments shall be implemented delisting in the shares of the company:
1. Where the auditing results for the latest fiscal year show that shareholders equity is negative; 2. Where an accounting firm issues an audit report in which an opinion disclaimer or a negative opinion is given in relation to the financial and accounting reports for the latest fiscal year; 3. Where, for a company for which a delisting risk warning has been removed as result of the elimination of ongoing losses, the auditing results for the latest fiscal year show that its main business has not operated normally, or the net profit after deducting non-recurring losses and profits is negative; 4. Where a natural disaster or significant accident results in the production and business activities of the company being seriously affected and it is predicted they will not return to normal within three months; 5. Where the company’s main bank accounts are frozen; 6. Where the company’s board of directors is unable to convene meetings as normal and make resolutions; 7. Where the CSRC requests that the SSE issues a special notice on trading in the shares of the company pursuant to Clause 76 of Measures for Regulation over the Sponsorship System for the Issuance and Listing of Securities; 8. Where the company’s fund is occupied by its controlling shareholders and other related parties for non-operational purposes or where the company provides external guarantee for others against the stated decision-making procedures, and these situations are serious; or 9. Other circumstances determined by the CSRC and the SSE. After circumstances resulting in a special disposition against the listed company are eliminated, the listed company may apply to the Stock Exchange to have the special disposition removed.
Suspension and Termination of Listing
If any of the following circumstances apply to a listed company, the company’s share listing shall be suspended: 1. Where, after a delisting risk warning is implemented against trading in the company’s shares due to losses in two
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consecutive years (including retroactive adjustments), the company suffers a loss in the next fiscal year; 2. Where, after a delisting risk warning is implemented against trading in the company’s shares due to the company’s failure to correct material accounting errors or false records in its financial reports within the time limit specified, the company still fails to correct its financial and accounting reports as required within two months; 3. Where, after a delisting risk warning is implemented against trading in the company’s shares due to the company’s failure to disclose its annual report or interim report within the statutory period, the company still fails to disclose its annual report or interim report within two months; 4. Where the total share capital or shareholding distribution of the company has been changed so that the company no longer meets the listing conditions; 5. Where the company has committed a major illegal act; or 6. Other circumstances determined by the SSE. If any of the following circumstances apply to a listed company, the company’s share listing shall be terminated: 1. Where it fails to disclose its latest audited annual report within the statutory time limit after the company’s share listing has been suspended due to circumstances described in Article 1 above; 2. Where, after the company’s share listing is suspended due to circumstances described in Article 1 above, the latest audited annual report disclosed by the company within the statutory time limit shows that the company suffered a loss; 3. Where, after the company’s share listing is suspended due to circumstances described in Article 1 above, the company discloses its latest audited annual report within the statutory time limit but fails to apply for its listing to be resumed within the following five trading days; 4. Where the application for the resumption of listing is not entertained; 5. Where the application for the resumption of listing is not approved; 6. Where the general meeting of shareholders makes a resolution on the termination of its share listing when the company’s share listing is suspended; 7. Where, after the company’s share listing is suspended due to circumstances described in Article 2 above, the company still fails to correct its financial and accounting reports as required within two months or has disclosed financial and accounting reports corrected as required within two months but fails to apply for its listing to be resumed within the following five trading days; 8. Where, after the company’s share listing is suspended due to circumstances described in Article 3 above, the company still fails to disclose the relevant annual report or interim report within two months or has disclosed the relevant annual report or interim report within two months but fails to apply for its listing to be resumed within the following five trading days; 9. Where the company no longer meets the listing conditions due to a change in its total share capital or its shareholding distribution and still fails to meet the listing conditions within the time limit prescribed by the SSE; 10. Where the listed company or a purchaser repurchases shares or makes a takeover offer for the purpose of terminating the share listing and, after implementing the scheme, the total share capital or shareholding distribution of the company has been changed such that the company no longer meets the listing conditions and the company applies to the SSE for its listing to be resumed; 11. Where the company is dissolved or declared bankrupt; or 12. Other circumstances determined by the SSE. The listed company expert committee of the SSE shall, in accordance with relevant CSRC provisions, examine matters involving the termination of company share listings and form opinions thereon, and the SSE shall decide whether or not to terminate share listings based on the opinions of the expert committee.
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If a listed company is subject to any of other circumstances resulting in the termination of its listing, the SSE shall terminate its share listing based on the decision of the CSRC.
Listing Agreements
Any company that applies for its shares or derivatives to be listed and traded on the SSE shall be examined and approved by the SSE and shall sign a listing agreement with the SSE before the listing takes effect to define the rights and obligations of both parties and other relevant matters.
Listing Conditions for Convertible Corporate Bonds
Any listed company that applies for its convertible corporate bonds to be listed on the SSE shall comply with the following conditions: 1. The term of the convertible corporate bonds shall be no less than one year; 2. The value of convertible corporate bonds to be issued shall be no less than RMB 50 million; and 3. The statutory conditions for the issuance of corporate bonds shall still be met at the time of the listing application.
Listing Conditions for Warrants
If the target securities for warrants for which a listing application is made to the SSE are shares, the target shares shall meet the following conditions on the day of the listing application: 1. The market capitalization of outstanding shares has been less than RMB 3 billion within the last 20 trading days; 2. The cumulative turnover rate for transactions in shares in the last 60 trading days is less than 25%; 3. Tradable share capital is no less than 300 million; 4. Other conditions determined by the SSE. If the target securities are other securities, the SSE shall make separate provisions for their eligibility and conditions.
Warrants for which a listing application is made to the SSE shall meet the following conditions: 1. The type of warrants, exercise price, valid term, date of exercise, exercise settlement method, exercise ratio and other elements have been agreed; 2. The number of warrants for which the listing application is made is no less than 50 million; 3. No fewer than 100 investors hold more than 1000 warrants; 4. The valid term of the warrants is between 6 months and 24 months from the date of listing; 5. The issuer has provided the performance guarantee specified in Article 11 of these Measures; and 6. Other conditions determined by the SSE.
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Number and Sector Distribution of Listed Companies
Year Industrial Commercial Real Estate Public Utilities Conglomerates Total
1991 3 2 0 0 3 8
1992 20 3 1 1 4 29
1993 63 14 8 11 10 106
1994 93 34 9 15 20 171
1995 109 34 9 12 24 188
1996 164 46 9 22 52 293
1997 218 50 9 33 73 383
1998 257 49 9 38 85 438
1999 291 49 9 39 96 484
2000 347 54 9 50 112 572
2001 402 56 13 59 116 646
2002 451 60 15 67 122 715
2003 505 60 15 72 128 780
2004 546 59 17 82 133 837
2005 544 58 17 83 132 834
2006 544 58 19 88 133 842
2007 545 58 24 90 143 860
2008 547 58 24 91 144 864
2009 549 57 25 91 148 870
2010 559 57 25 93 160 894
2011 587 58 24 95 167 931
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Geographical Distribution of Listed Companies
Region Number of Listed Companies Percentage (%) New Listings in 2011 Percentage (%) Anhui 29 3.11 0 0.00 Beijing 95 10.20 6 15.38 Fujian 32 3.44 1 2.56 Gansu 11 1.18 1 2.56 Guangdong 39 4.19 0 0.00 Guangxi 12 1.29 1 2.56 Guizhou 9 0.97 0 0.00 Hainan 8 0.86 1 2.56 Hebei 18 1.93 2 5.13 Henan 22 2.36 1 2.56 Heilongjiang 23 2.47 1 2.56 Hubei 36 3.87 1 2.56 Hunan 21 2.26 2 5.13 Jilin 17 1.83 0 0.00 Jiangsu 77 8.27 11 28.21 Jiangxi 16 1.72 0 0.00 Liaoning 27 2.90 0 0.00 Inner Mongolia 15 1.61 1 2.56 Ningxia 4 0.43 0 0.00 Qinghai 6 0.64 0 0.00 Shandong 50 5.37 1 2.56 Shanxi 17 1.83 0 0.00 Shaanxi 17 1.83 0 0.00 Shanghai 149 16.00 2 5.13 Sichuan 34 3.65 1 2.56 Tianjin 17 1.83 0 0.00 Tibet 6 0.64 0 0.00 Xinjiang 21 2.26 0 0.00 Yunnan 13 1.40 0 0.00 Zhejiang 73 7.84 6 15.38 Chongqing 17 1.83 0 0.00
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Newly Listed Stocks in 2011
Issue Price Opening Price Closing Price Stock Code Short Name Sector Listing Date (RMB) (RMB) (RMB) 601010 Wenfeng Great World Commercial 20.000 2011-6-3 18.050 18.340 601011 Baotailong Industrial 18.000 2011-3-9 27.110 25.750 601028 Yulong Steel Pipe Industrial 10.800 2011-11-7 13.500 13.240 601058 Sailun Industrial 6.880 2011-6-30 10.150 10.020 Hengli Highpressure Oil 601100 Industrial 23.000 2011-10-28 23.000 23.780 Cylinder 601113 Huading Nylon Industrial 14.000 2011-5-9 13.400 13.420 601116 Sanjiang Shopping Commercial 11.800 2011-3-2 19.110 21.780 601118 Hainan Rubber Industrial 5.990 2011-1-7 9.530 11.010 601137 Powerway Alloy Materials Industrial 27.000 2011-1-27 25.500 25.750 601199 Jiangnan Water Public utilities 18.800 2011-3-17 21.510 20.550 601208 EMT Industrial 20.000 2011-5-20 21.220 22.780 601216 Inner Mongolia Junzheng Industrial 25.000 2011-2-22 26.010 27.640 Jixin Wind Energy 601218 Industrial 22.500 2011-5-6 19.260 19.970 Technology 601222 Linyang Electronics Industrial 18.000 2011-8-8 22.000 21.970 601233 Tongkun Group Industrial 27.000 2011-5-18 27.180 29.710 Pang Da Automobile 601258 Conglomerates 45.000 2011-4-28 36.000 34.580 Trade 601311 Camel Group Industrial 18.600 2011-6-2 17.600 17.550 601336 NCI Conglomerates 23.250 2011-12-16 25.000 26.440 601519 Great Wisdom Conglomerates 23.200 2011-1-28 24.910 25.380 601555 Soochow Securities Conglomerates 6.500 2011-12-12 8.060 7.350 601558 SINOVEL Industrial 90.000 2011-1-13 87.000 81.370 601566 JOEONE Industrial 22.000 2011-5-30 21.300 19.130 601567 Sanxing Electric Industrial 20.000 2011-6-15 19.980 18.910 601599 Lugang Wool Industrial 10.000 2011-5-27 14.220 16.790 601616 SGEG Industrial 19.000 2011-2-1 19.000 17.900 601633 Great Wall Motors Industrial 13.000 2011-9-28 12.800 11.850 601636 KIBING Industrial 9.000 2011-8-12 15.000 14.150 601669 SINOHYDRO Public utilities 4.500 2011-10-18 4.780 5.270 601677 Mingtai Aluminum Industrial 20.000 2011-9-19 18.650 18.260 Fengfan Power 601700 Industrial 35.000 2011-1-18 29.970 29.960 Equipment
2012 Fact Book 82 2012 Fact Book 83 Listed Companies Listed Companies
Issue Price Opening Price Closing Price Stock Code Short Name Sector Listing Date (RMB) (RMB) (RMB) 601789 Ningbo Construction Industrial 6.390 2011-8-16 11.310 11.230 601798 Lanpec Technologies Industrial 11.000 2011-6-22 14.780 13.530 601799 Xingyu Industrial 21.240 2011-2-1 20.000 19.730 601886 Jiangho Curtain Wall Industrial 20.000 2011-8-18 27.880 26.350 601901 Founder Securities Conglomerates 3.900 2011-8-10 5.510 5.600 601908 JYT Corp. Industrial 42.000 2011-9-8 49.100 46.630 Phoenix Publishing and 601928 Conglomerates 8.800 2011-11-30 12.030 11.860 Media 601992 BBMG Industrial 0.000 2011-3-1 15.000 15.050 601996 Fenglin Wood Industry Industrial 14.000 2011-9-29 12.800 13.230 Note: BBMG (601992) is listed through a share swap, i.e., acquisition of Taihang Cement (600553). Therefore, the listing has neither offering price nor capital raised.
2012 Fact Book 84 2012 Fact Book 85 Listed Companies Listed Companies Hongyuan Securities Co., Ltd. Hongyuan Securities Co., Guosen Securities Co., Ltd. Guosen Securities Co., Sealand Securities Co., Ltd. Sealand Securities Co., Industrial Securities Co., Ltd. Industrial Securities Co., Guosen Securities Co., Ltd. Guosen Securities Co., CITIC Securities Haitong Securities Co. Ltd. Haitong Securities Co. Essence Securities Co. Ltd. Essence Securities Co. Ping An Securities Co., Ltd. An Securities Co., Ping Southwest Securities Co., Ltd. Southwest Securities Co., Ping An Securities Co., Ltd. An Securities Co., Ping First Capital Securities Co., Ltd. First Capital Securities Co., Essence Securities Co. Ltd. Essence Securities Co. Lead Underwriter 2011-4-19 2011-1-24 2011-5-4 2011-3-1 2011-1-11 2010-12-16 2011-2-11 2011-4-19 2011-10-11 2011-6-14 2011-10-19 2011-2-15 2011-5-17 Publication Date of Prospectus 2011-5-6 2011-2-22 2011-5-20 2011-3-17 2011-1-27 2011-1-7 2011-3-2 2011-5-9 2011-10-28 2011-6-30 2011-11-7 2011-3-9 2011-6-3 Listing Date 2011-4-26 2011-2-10 2011-5-12 2011-3-9 2011-1-19 2010-12-28 2011-2-21 2011-4-26 2011-10-19 2011-6-22 2011-10-27 2011-2-24 2011-5-25 Issuing Date 32.61 35.21 40.94 58.08 71.05 87.73 56.19 40.58 42.59 23.97 19.29 39.08 31.45 P/E Ratio (times) 114300.00 300000.00 160000.00 110544.00 148500.00 470814.00 70800.00 112000.00 241500.00 67424.00 85860.00 174600.00 220000.00 Proceeds (RMB 10,000) 5.55 6.16 8.33 0.48 2.57 1.32 0.47 1.44 7.22 1.41 1.11 0.79 24.69 Lottery Lottery Success Rate (%) 22.50 25.00 20.00 18.80 27.00 5.99 11.80 14.00 23.00 6.88 10.80 18.00 20.00 Issue Price (RMB) 5080.00 12000.00 8000.00 5880.00 5500.00 78600.00 6000.00 8000.00 10500.00 9800.00 7950.00 9700.00 11000.00 Volume of Volume Shares Issued (10,000 shares) Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Method of Issuance Jixin Wind Energy Technology Inner Mongolia Junzheng EMT Jiangnan Water Powerway Alloy Powerway Materials Hainan Rubber Sanjiang Shopping Huading Nylon Hengli Highpressure Oil Cylinder Sailun Yulong Steel Pipe Yulong Baotailong Wenfeng Wenfeng Great World Short Name 601218 601216 601208 601199 601137 601118 601116 601113 601100 601058 601028 601011 601010 Stock Code Newly Listed Companies in 2011
2012 Fact Book 84 2012 Fact Book 85 Listed Companies Listed Companies China Investment Securities China Investment Securities Ltd. Co., Guotai Junan Securities Co., Guotai Junan Securities Co., Ltd. Soochow Ltd. Securities Co., Ping An Securities Co., Ltd. An Securities Co., Ping Orient Securities Co., Ltd. Orient Securities Co., CITIC Securities Essence Securities Co. Ltd. Essence Securities Co. CITIC Securities Southwest Securities Co., Ltd. Southwest Securities Co., China International Capital China International Capital Corporation Limited Pacific Securities Co., Ltd. Securities Co., Pacific UBS Securities Co., Ltd. UBS Securities Co., Guosen Securities Co., Ltd Guosen Securities Co., GF Securities Co., Ltd. GF Securities Co., Lead Underwriter 2011-7-25 2011-9-2 2011-1-17 2011-5-10 2011-5-24 2011-5-10 2010-12-24 2011-11-30 2011-1-11 2011-12-2 2011-5-17 2011-4-6 2011-4-26 2011-7-21 Publication Date of Prospectus 2011-8-12 2011-9-28 2011-2-1 2011-5-27 2011-6-15 2011-5-30 2011-1-13 2011-12-12 2011-1-28 2011-12-16 2011-6-2 2011-4-28 2011-5-18 2011-8-8 Listing Date 2011-8-4 2011-9-19 2011-1-25 2011-5-18 2011-6-2 2011-5-19 2011-1-5 2011-12-2 2011-1-20 2011-12-5 2011-5-25 2011-4-18 2011-5-5 2011-8-1 Issuing Date 18.75 14.94 51.46 25.00 27.21 35.03 48.83 22.58 88.89 27.18 30.00 39.64 12.22 31.82 P/E Ratio (times) 151200.00 395515.90 199500.00 53000.00 134000.00 264000.00 945900.00 325000.00 255200.00 368605.50 154380.00 630000.00 324000.00 135000.00 Proceeds (RMB 10,000) 0.83 7.52 3.43 0.78 12.05 9.64 2.98 0.83 1.83 2.22 9.58 21.57 8.09 2.24 Lottery Lottery Success Rate (%) 9.00 13.00 19.00 10.00 20.00 22.00 90.00 6.50 23.20 23.25 18.60 45.00 27.00 18.00 Issue Price (RMB) 16800.00 30424.00 10500.00 5300.00 6700.00 12000.00 10510.00 50000.00 11000.00 15854.00 8300.00 14000.00 12000.00 7500.00 Volume of Volume Shares Issued (10,000 shares) Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Method of Issuance KIBING Great Wall Great Wall Motors SGEG Lugang Wool Sanxing Electric JOEONE SINOVEL Soochow Securities Great Wisdom NCI Camel Group Pang Da Automobile Pang Da Automobile Trade Tongkun Group Tongkun Linyang Electronics Short Name 601636 601633 601616 601599 601567 601566 601558 601555 601519 601336 601311 601258 601233 601222 Stock Code
2012 Fact Book 86 2012 Fact Book 87 Listed Companies Listed Companies Hengtai Securities Co., Ltd. Hengtai Securities Co., BOC International (China) International BOC (China) Limited China International Capital China International Capital Corporation Limited CITIC Securities Ping An Securities Co., Ltd. An Securities Co., Ping Ping An Securities Co., Ltd. An Securities Co., Ping Guotai Junan Securities Co., Guotai Junan Securities Co., Ltd. Guosen Securities Co., Ltd. Guosen Securities Co., China Investment Securities China Investment Securities Company Ltd. Shenyin & Wanguo Securities Securities Wanguo Shenyin & Ltd. Co., Ping An Securities Co., Ltd. An Securities Co., Ping China Securities Co., Ltd. China Securities Co., Lead Underwriter 2011-9-8 2011-1-31 2011-11-18 2011-8-18 2011-7-21 2011-7-28 2011-1-17 2011-6-1 2011-7-27 2010-12-28 2011-8-30 2011-9-19 Publication Date of Prospectus 2011-9-29 2011-3-1 2011-11-30 2011-9-8 2011-8-10 2011-8-18 2011-2-1 2011-6-22 2011-8-16 2011-1-18 2011-9-19 2011-10-18 Listing Date 2011-9-20 2011-2-10 2011-11-22 2011-8-29 2011-8-1 2011-8-9 2011-1-25 2011-6-10 2011-8-5 2011-1-6 2011-9-7 2011-9-27 Issuing Date 29.17 0.00 63.40 53.47 19.50 37.04 66.38 34.38 31.95 59.22 33.33 15.00 P/E Ratio (times) 82068.00 0.00 447920.00 252000.00 585000.00 220000.00 127440.00 88000.00 63900.00 192150.00 120000.00 1350000.00 Proceeds (RMB 10,000) 0.88 0.00 0.87 0.97 2.24 1.66 5.77 1.08 0.78 1.64 0.94 9.70 Lottery Lottery Success Rate (%) 14.00 0.00 8.80 42.00 3.90 20.00 21.24 11.00 6.39 35.00 20.00 4.50 Issue Price (RMB) 5862.00 31601.00 50900.00 6000.00 150000.00 11000.00 6000.00 8000.00 10000.00 5490.00 6000.00 300000.00 Volume of Volume Shares Issued (10,000 shares) Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Offline price inquiry and online fixed Method of Issuance Fenglin Wood Wood IndustryFenglin BBMG Phoenix Publishing and Media JYT Corp. Founder Securities Founder Jiangho Curtain Wall Xingyu Lanpec Technologies Ningbo Construction Fengfan Power Power Fengfan Equipment Mingtai Aluminum SINOHYDRO Short Name Notes: Statistics in this table included all companies whose listing date fell within 2011. Notes: 601996 601992 601928 601908 601901 601886 601799 601798 601789 601700 601677 601669 Stock Code
2012 Fact Book 86 2012 Fact Book 87 Listed Companies Listed Companies
Rights Issues by Listed Companies in 2011
Announcement Announcement Issue Proceeds Stock Record Listing Short Name Date of Rights Date of Share Price (RMB 10,000) Code Date Date Issue Prospectus Capital Change (RMB)
Wuhan Steel 600005 2011-3-25 2011-3-23 2011-4-11 2011-4-13 3.70 834582 Processing
600428 COSCO SHIPPING 2011-1-4 2010-12-30 2011-1-14 2011-1-18 5.56 211293
TIANWEI BAOBIAN 600550 2011-4-6 2011-3-31 2011-4-19 2011-4-21 11.94 244759 ELECTRIC
ZHONGFU 600595 2011-1-10 2011-1-6 2011-1-24 2011-1-26 7.32 242888 INDUSTRIAL
601998 China CITIC Bank 2011-6-28 2011-6-24 2011-7-11 2011-7-13 3.33 1756116
Note: Rights issues in this table included all those whose record dates fell within 2011.
2012 Fact Book 88 2012 Fact Book 89 Listed Companies Listed Companies
Equity Structure of Listed Companies (2011 year-end)
Value of Issuance Percentage Market Cap Percentage in Total Category of Shares (RMB 100 million) (%) (RMB 100 million) Market Cap (%)
1. Promoter’s shares 4403.55 14.798 18836.55 12.695
State-owned shares 4157.27 13.971 16559.54 11.161
Shares owned by domestic legal 191.30 0.643 1670.43 1.126 person entities
Shares owned by foreign institutional 27.85 0.094 260.06 0.175 investors
Individual promoter’s shares 27.13 0.091 346.52 0.234
2. Legal person shares 3.23 0.011 27.97 0.019
3. Employee shares 0.00 0.000 0.00 0.000
4. Placement to institutions 101.98 0.343 580.46 0.391
5. Others 964.08 3.240 6079.89 4.098
Sub-total of non-tradable shares 5472.85 18.392 25524.86 17.203
1. Domestically listed RMB- 17859.52 60.018 122167.89 82.337 denominated ordinary shares
2. Domestically listed foreign shares 134.28 0.451 683.47 0.460
3.Overseas listed foreign shares 6290.21 21.139 0.00 0.000
4. Others 0.00 0.000 0.00 0.000
Sub-total of tradable shares 24284.01 81.608 122851.36 82.800
Total of shares 29756.86 100.000 148376.22 100.000
2012 Fact Book 88 2012 Fact Book 89 Listed Companies Listed Companies
Top 50 Listed Companies by Market Capitalization (2011 year-end)
Market Cap Percentage in Total Rank Short Name Code (RMB10,000) Market Cap (%)
1 Petrochina 601857 157712103.79 10.63
2 ICBC 601398 111183611.13 7.49
3 Agricultural Bank of China 601288 77042487.00 5.19
4 Bank of China 601988 57093313.77 3.85
5 China Petroleum & Chemical 600028 50204042.60 3.38
6 China Shenhua 601088 41771799.14 2.82
7 China Life 601628 36732706.92 2.48
8 China Merchants Bank 600036 20969697.36 1.41
9 Kweichow Moutai 600519 20068019.40 1.35
10 Ping An Insurance 601318 16484394.79 1.11
11 Pudong Development Bank 600000 15836797.23 1.07
12 Bank of Communications 601328 14653655.90 0.99
13 Industrial Bank 601166 13504586.74 0.91
14 Minsheng Bank 600016 13304097.81 0.90
15 SAIC Motor 600104 13068784.27 0.88
16 Citic Bank 601998 12889686.28 0.87
17 China Pacific Insurance 601601 12076750.70 0.81
18 Everbright Bank 601818 11645219.52 0.78
19 China Unicom 600050 11107016.51 0.75
20 Daqin Railway 601006 11090626.45 0.75
21 Yangtze Power 600900 10494000.00 0.71
22 CITIC Securities 600030 9553261.86 0.64
23 Sany Heavy Industry 600031 9522507.50 0.64
24 China Railway Construction 601668 8730000.00 0.59
2012 Fact Book 90 2012 Fact Book 91 Listed Companies Listed Companies
Market Cap Percentage in Total Rank Short Name Code (RMB10,000) Market Cap (%)
25 Baoshan Iron & Steel 600019 8493343.32 0.57
26 China Coal Energy 601898 8245952.36 0.56
27 Hua Xia Bank 600015 7692242.05 0.52
28 China Shipbuilding 601989 7495198.02 0.51
29 Yanzhou Coal Mining 600188 6627440.00 0.45
30 Anhui Conch Cement 600585 6259534.54 0.42
31 CHALCO 601600 6150695.08 0.41
32 Haitong Securities 600837 6096815.49 0.41
33 Zijin Mining 601899 6037052.99 0.41
34 Poly Real Estate 600048 5948328.66 0.40
35 Shanghai International Port 600018 5893591.53 0.40
36 NCI 601336 5812840.33 0.39
37 Bank of Beijing 601169 5779177.43 0.39
38 Huaneng Power International 600011 5617500.00 0.38
39 Air China 601111 5305745.82 0.36
Datang International Power 40 601991 5157089.76 0.35 Generation
41 Shanghai Electric 601727 5023864.48 0.34
42 Lu’An Environmental Energy 601699 4869093.74 0.33
43 China Merchants Securities 600999 4744999.63 0.32
44 Baotou Steel Rare Earth 600111 4557075.79 0.31
45 Jiangxi Copper 600362 4551017.56 0.31
46 Huatai Securities 601688 4379200.00 0.30
47 China Construction Bank 601939 4355520.55 0.29
48 China Railway 601390 4307312.52 0.29
49 China Guodian 600795 4295085.19 0.29
50 China Oilfield Service 601808 4289718.13 0.29
2012 Fact Book 90 2012 Fact Book 91 Listed Companies Listed Companies
Top 50 Listed Companies by Tradable Market Capitalization (2011 year-end)
Tradable Market Cap Percentage in Total Rank Short Name Code (RMB10,000) Market Cap (%) 1 Petrochina 601857 157322503.79 12.81
2 ICBC 601398 111183611.13 9.05
3 Bank of China 601988 57093313.77 4.65
4 China Petroleum & Chemical 600028 50204042.60 4.09
5 China Shenhua 601088 41315859.14 3.36
6 China Life 601628 36732706.92 2.99
7 China Merchants Bank 600036 20969697.36 1.71
8 Kweichow Moutai 600519 20068019.40 1.63
9 Ping An Insurance 601318 16484394.79 1.34
10 Bank of Communications 601328 14653655.90 1.19
11 Industrial Bank 601166 13504586.74 1.10
12 Minsheng Bank 600016 13304097.81 1.08
13 SAIC Motor 600104 12966837.62 1.06
14 CITIC Bank 601998 12803296.80 1.04
15 Pudong Development Bank 600000 12669437.79 1.03
16 China Pacific Insurance 601601 11926119.85 0.97
17 China Unicom 600050 11107016.51 0.90
18 Daqin Railway 601006 11090626.45 0.90
19 CITIC Securities 600030 9530036.51 0.78
20 Sany Heavy Industry 600031 8816623.20 0.72
21 Baoshan Iron & Steel 600019 8493343.32 0.69
22 China Coal Energy 601898 8115286.43 0.66
23 Anhui Conch Cement 600585 6259534.54 0.51
24 CHALCO 601600 6150695.08 0.50
2012 Fact Book 92 2012 Fact Book 93 Listed Companies Listed Companies
Tradable Market Cap Percentage in Total Rank Short Name Code (RMB10,000) Market Cap (%) 25 Haitong Securities 600837 6096815.49 0.50
26 Zijin Mining 601899 6037052.99 0.49
27 Poly Real Estate 600048 5843229.16 0.48
28 Bank of Beijing 601169 5779177.43 0.47
29 Hua Xia Bank 600015 5604363.30 0.46
30 Shanghai International Port 600018 5436617.23 0.44
31 Agricultural Bank of China 601288 5359595.27 0.44
32 Huaneng Power International 600011 5350000.00 0.44
33 Air China 601111 5223232.87 0.43
34 Shanghai Electric 601727 5023864.48 0.41
35 Lu’An Environmental Energy 601699 4869093.74 0.40
36 Yangtze Power 600900 4683548.31 0.38
Datang International Power 37 601991 4641089.76 0.38 Generation
38 Jiangxi Copper 600362 4551017.56 0.37
39 Everbright Bank 601818 4382464.32 0.36
40 China Construction Bank 601939 4355520.55 0.35
41 China Oilfield Service 601808 4217268.13 0.34
42 China Railway 601390 4189502.52 0.34
43 CSR 601766 4120428.00 0.34
44 China Guodian 600795 3893244.61 0.32
45 China Construction 601668 3806280.00 0.31
46 China Railway Construction 601186 3796157.04 0.31
47 JDC 601958 3671141.13 0.30
48 Yangquan Coal 600348 3650790.00 0.30
49 Dongfang Electric 600875 3568022.23 0.29
50 China Shipping Development 601919 3498744.74 0.28
2012 Fact Book 92 2012 Fact Book 93 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.172 0.375 0.139 0.076 0.105 0.050 0.035 0.270 0.108 0.117 0.011 0.189 Dividend (before tax) (RMB) 0.172 0.375 0.139 0.076 0.105 0.050 0.035 0.300 0.120 0.130 0.012 0.210 Distribution Date 2011-4-8 2011-4-29 2011-4-12 2011-4-28 2011-4-12 2011-4-26 2011-10-28 2011-8-23 2011-6-24 2011-6-7 2011-7-4 2011-6-20 Short Name Taihe Fund Taihe Hansheng Fund Xinghua Fund Jinxin Fund Xinghe Fund Keri Fund Dividend ETF Baiyun Airport Dongfeng Automobile Beijing Capital Baotou Iron&Steel Wantong Expressway Wantong Share Code 500002 500005 500008 500011 500018 500056 510880 600004 600006 600008 600010 600012 Dividend (after tax) Dividend (after tax) (RMB) 0.209 0.120 0.071 0.210 0.075 0.230 0.007 0.114 0.090 0.081 0.090 0.180 Dividend (before tax) Dividend (before tax) (RMB) 0.209 0.120 0.071 0.210 0.075 0.230 0.007 0.160 0.100 0.090 0.100 0.200 Distribution Date 2011-4-28 2011-3-30 2011-4-14 2011-3-30 2011-4-29 2011-1-27 2011-4-13 2011-6-13 2011-6-30 2011-6-10 2011-8-18 2011-6-30 Short Name Jintai Fund Anxin Fund Yuyang Fund Yuyang Anshun Fund Hanxing Fund Tongqian Fund Tongqian Yinfeng Fund Yinfeng Pudong Development Pudong Development Bank Wuhan Iron and Steel Wuhan China World Trade Trade China World Center Shanghai Airport Huaneng Power Huaneng Power International Share Code 500001 500003 500006 500009 500015 500038 500058 600000 600005 600007 600009 600011 Dividend Distribution by Listed Companies in 2011
2012 Fact Book 94 2012 Fact Book 95 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.090 0.270 0.045 0.117 0.450 0.090 0.261 0.090 0.023 0.045 0.045 0.180 0.023 0.270 Dividend (before tax) (RMB) 0.100 0.300 0.050 0.130 0.500 0.100 0.290 0.100 0.026 0.050 0.050 0.200 0.070 0.300 Distribution Date 2011-6-14 2011-6-15 2011-5-25 2011-6-30 2011-6-22 2011-8-12 2011-6-16 2011-7-15 2011-7-6 2011-6-30 2011-5-31 2011-6-3 2011-9-30 2011-5-19 Short Name Minsheng Bank Baoshan Iron & Steel Shanghai Electric China Petroleum & China Petroleum Chemical CITIC Securities Fujian Express China Merchants Bank Hafei Aviation Hafei Aviation Industry China Unicom Zhejiang Guangsha China Medicine Hisense Electric Wanwei Updated High- Wanwei Tech Yutong Bus Yutong Share Code 600016 600019 600021 600028 600030 600033 600036 600038 600050 600052 600056 600060 600063 600066 Dividend (after tax) Dividend (after tax) (RMB) 0.180 0.097 0.090 0.153 0.090 0.004 0.072 0.090 0.192 0.135 0.063 0.135 0.207 0.090 Dividend (before tax) Dividend (before tax) (RMB) 0.200 0.108 0.100 0.170 0.100 0.060 0.080 0.100 0.213 0.150 0.070 0.150 0.230 0.100 Distribution Date 2011-4-25 2011-7-20 2011-8-1 2011-6-17 2011-9-28 2011-4-28 2011-8-23 2011-6-20 2011-5-20 2011-6-17 2011-7-8 2011-6-16 2011-7-8 2011-6-14 Short Name Hua Xia Bank Shanghai International Shanghai International Port Zhongyuan Express China Shipping Development China Petroleum & & China Petroleum Chemical Sany Heavy Industry Chutian Express BGCTV Poly Real Estate Poly Ningbo United Group Wantong Medical Wantong Devices Minerals Development Double-Crane Pharmaceutical Nanjing Xingang High- Xingang Nanjing Tech Share Code 600015 600018 600020 600026 600028 600031 600035 600037 600048 600051 600055 600058 600062 600064
2012 Fact Book 94 2012 Fact Book 95 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.090 0.036 0.265 0.077 0.180 0.180 0.090 0.054 0.045 0.020 0.090 0.045 0.450 0.072 Dividend (before tax) (RMB) 0.100 0.040 0.350 0.085 0.200 0.200 0.100 0.060 0.050 0.050 0.100 0.050 0.500 0.080 Distribution Date 2011-6-15 2011-6-14 2011-7-18 2011-7-27 2011-7-8 2011-6-10 2011-5-18 2011-5-27 2011-7-7 2011-3-29 2011-6-10 2011-6-17 2011-5-23 2011-7-22 Short Name Gezhouba Renfu Hi-Tech Tongrentang China Television Media China Television Yuntianhua Guangzhou Holdings Tsinghua Tongfang Laiwu Steel Jiangsu Etern Zhejiang Dongri Three Gorges Water Conservancy River Yangtze Investment Lanhua Sci-Tech Lanhua Sci-Tech Venture Jiangsu Holly Share Code 600068 600079 600085 600088 600096 600098 600100 600102 600105 600113 600116 600119 600123 600128 Dividend (after tax) Dividend (after tax) (RMB) 0.045 0.009 0.108 0.000 0.090 0.045 0.036 0.063 0.180 0.040 0.090 0.045 0.007 0.054 Dividend (before tax) Dividend (before tax) (RMB) 0.050 0.010 0.120 0.010 0.100 0.050 0.040 0.070 0.200 0.100 0.100 0.050 0.030 0.060 Distribution Date 2011-6-3 2011-6-22 2011-7-19 2011-6-23 2011-6-13 2011-7-26 2011-7-29 2011-5-26 2011-7-6 2011-5-19 2011-4-27 2011-6-24 2011-4-26 2011-5-26 Short Name Citychamp Dartong Chengxing Phosph- Chemical Dongfeng Electronic Electronic Dongfeng Technology Nanjing Tanker Tebian Electric Tebian Kaichuang Marine International Linhai Group Mingxing Electric Power SAIC Motor Baotou Steel Rare - Earth NBTM China Spacesat Hiteker Hangzhou Iron & Steel Share Code 600067 600078 600081 600087 600089 600097 600099 600101 600104 600111 600114 600118 600122 600126
2012 Fact Book 96 2012 Fact Book 97 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.180 0.090 0.005 0.018 0.090 0.004 0.090 0.152 0.005 0.009 0.004 0.090 0.531 0.045 Dividend (before tax) (RMB) 0.200 0.100 0.005 0.020 0.100 0.010 0.100 0.280 0.050 0.010 0.010 0.100 0.590 0.050 Distribution Date 2011-7-25 2011-6-17 2011-1-5 2011-6-22 2011-7-18 2011-6-21 2011-4-28 2011-5-20 2011-6-13 2011-6-21 2011-6-15 2011-5-20 2011-6-27 2011-6-29 Short Name China Youth Travel China Youth Xingfa Chemicals Group *ST Swell Shanghai Aerospace Xiamen C & D China Sports Industry Tiantan Bio Tiantan Foton Motor Foton Taiyuan Heavey Industry Taiyuan Shanghai Belling Meidu Holding S Giti Yanzhou Coal Yanzhou Jinzhou Port Share Code 600138 600141 600145 600151 600153 600158 600161 600166 600169 600171 600175 600182 600188 600190 Dividend (after tax) Dividend (after tax) (RMB) 0.270 0.001 0.090 0.540 0.054 0.003 0.225 0.018 0.026 0.135 0.063 0.450 0.270 0.090 Dividend (before tax) Dividend (before tax) (RMB) 0.300 0.045 0.100 0.600 0.060 0.008 0.250 0.020 0.029 0.150 0.070 0.500 0.300 0.100 Distribution Date 2011-5-13 2011-4-8 2011-5-20 2011-7-21 2011-6-17 2011-6-17 2011-3-30 2011-6-30 2011-5-13 2011-7-4 2011-5-27 2011-6-3 2011-4-22 2011-7-29 Short Name Chongqing Brewery Sichuan Western Sichuan Western Resources Kingfa China State Shipbuilding Veken Wintime Energy Zhejiang Juhua Heungkong Holding Wuhan Sanzhen Wuhan Industry Holding Shanghai Construction Wolong Real Estate Wolong Yongor Shengyi Tech Jilin Forest Share Code 600132 600139 600143 600150 600152 600157 600160 600162 600168 600170 600173 600177 600183 600189
2012 Fact Book 96 2012 Fact Book 97 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.090 0.018 0.180 0.090 0.135 0.036 0.135 0.045 0.001 0.009 0.045 0.405 0.090 0.135 Dividend (before tax) (RMB) 0.100 0.020 0.200 0.100 0.150 0.040 0.150 0.050 0.034 0.010 0.050 0.450 0.100 0.150 Distribution Date 2011-7-15 2011-5-27 2011-7-8 2011-6-30 2011-6-3 2011-5-20 2011-7-15 2011-5-19 2011-6-17 2011-7-15 2011-6-15 2011-6-8 2011-5-27 2011-7-29 Short Name Fosun Pharmaceutical Fosun Jiangsu Wuzhou Jiangsu Wuzhou Industrial Zijiang Enterprise Nanshan Aluminum Shenghua Biok Lingyuan Iron and Steel Dayang Trands Guiguan Electric Honghe Yunnan Guangming Nanfang Textile Xinke New Materials Capital Tourism North Hauler Beijing Urban Construction Share Code 600196 600200 600210 600219 600226 600231 600233 600236 600239 600250 600255 600258 600262 600266 Dividend (after tax) Dividend (after tax) (RMB) 0.270 0.180 0.003 0.630 0.045 0.117 0.090 0.090 0.000 0.153 0.004 0.004 0.135 0.027 Dividend (before tax) Dividend (before tax) (RMB) 0.300 0.200 0.025 0.700 0.050 0.130 0.100 0.100 0.056 0.170 0.065 0.060 0.150 0.030 Distribution Date 2011-6-21 2011-8-31 2011-7-8 2011-6-17 2011-6-10 2011-5-20 2011-6-24 2011-6-20 2011-5-26 2011-4-29 2011-6-29 2011-4-6 2011-4-22 2011-5-24 Venture Short Name China Animal Husbandry Yilite Xinhu Zhejiang Medicine Hainan Airlines Cangzhou Dahua Golden Eagle Minfeng Special Paper Hainan Yedao Vantone Pioneer Real Pioneer Real Vantone Estate Zhongheng Group Guanghui Industry Yankon Lighting Yankon CRBC Share Code 600195 600197 600208 600216 600221 600230 600232 600235 600238 600246 600252 600256 600261 600263
2012 Fact Book 98 2012 Fact Book 99 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.135 0.090 0.090 0.270 0.036 0.180 0.115 0.027 0.045 0.135 0.063 0.090 0.330 0.225 Dividend (before tax) (RMB) 0.150 0.100 0.100 0.300 0.040 0.200 0.128 0.030 0.050 0.150 0.070 0.100 0.400 0.250 Distribution Date 2011-4-29 2011-6-20 2011-5-24 2011-5-25 2011-5-26 2011-10-19 2011-7-14 2011-5-20 2011-5-20 2011-4-22 2011-5-25 2011-5-20 2011-5-18 2011-5-5
Hongxing Group Short Name Guodian Nanjing Automation Sinotrans Huafang Group Yili Energy Yili Chongqing Gangjiu Southern China Steel Pudong Road & Bridge Construction Jiangsu Sainty HEAG Angel Yeast SG Automotive Steel Iron & Steel Yantai Wanhua Yantai Shanghai Jahwa Share Code 600268 600270 600273 600277 600279 600282 600284 600287 600290 600298 600303 600307 600309 600315 Dividend (after tax) Dividend (after tax) (RMB) 0.135 0.090 0.360 0.060 0.108 0.144 0.180 0.045 0.045 0.090 0.054 0.068 0.001 0.450 Dividend (before tax) Dividend (before tax) (RMB) 0.150 0.100 0.400 0.100 0.120 0.160 0.200 0.050 0.050 0.100 0.060 0.075 0.012 0.500 Distribution Date 2011-5-18 2011-7-15 2011-5-18 2011-4-29 2011-10-19 2011-7-15 2011-8-8 2011-8-8 2011-6-3 2011-6-16 2011-5-19 2011-6-13 2011-8-12 2011-5-10 Short Name Hisun Pharmaceutical Ganyue Expressway Aisino Hengrui Medicine Orient International Enterprise Nanjing Central Emporium Qianjiang Water Qianjiang Water Resources Lingrui Pharmaceutial Bright Oceans Corporation Eerduosi V Food & Beverage Jiangsu Hengshun Vinegar-Industry Huatai Paper Guidong Electric Power Share Code 600267 600269 600271 600276 600278 600280 600283 600285 600289 600295 600300 600305 600308 600310
2012 Fact Book 98 2012 Fact Book 99 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.063 0.160 0.090 0.180 0.090 0.135 0.180 0.090 0.045 0.025 0.000 0.180 0.060 0.090 Dividend (before tax) (RMB) 0.070 0.200 0.100 0.200 0.100 0.150 0.200 0.100 0.050 0.050 0.011 0.200 0.100 0.100 Distribution Date 2011-4-29 2011-7-7 2011-6-9 2011-7-12 2011-6-13 2011-6-3 2011-6-20 2011-7-11 2011-7-22 2011-7-7 2011-5-31 2011-7-28 2011-6-17 2011-4-27 Short Name Guodong Construction Nanhai Development Great Orient Zhongxin Pharmaceuticals Changchun Gas Tianli Tianli High&New Tech Yangtze Communication Yangtze Yangquan Coal Industry Yangquan Yabao Pharmaceutical Yabao Xuguang Electronics Sino-Microelectronics Jiangxi Copper Ningbo Yunsheng Sanfangxiang Share Code 600321 600323 600327 600329 600333 600339 600345 600348 600351 600353 600360 600362 600366 600370 Dividend (after tax) Dividend (after tax) (RMB) 0.180 0.045 0.090 0.014 0.045 0.045 0.090 0.014 0.094 0.090 0.066 0.135 0.018 0.099 Dividend (before tax) Dividend (before tax) (RMB) 0.200 0.050 0.100 0.015 0.050 0.050 0.100 0.015 0.104 0.100 0.096 0.150 0.020 0.110 Distribution Date 2011-7-25 2011-6-20 2011-6-8 2011-7-25 2011-8-12 2011-6-20 2011-6-21 2011-7-12 2011-5-16 2011-6-22 2011-6-2 2011-7-1 2011-8-11 2011-5-12 Short Name Hongdu Aviation Tianjin Reality Tianjin Development Huafa Lantai Industrial Guangzhou Pharmaceutical Markor Furniture Aerospace Power Dalian Rubber&Plastic Dalian Rubber&Plastic Machinery Shandong Expressway Zhejiang Longsheng Hengfeng Paper Hypermarket Lianchuang Optoelectronic Wuzhou Wuzhou Communications Share Code 600316 600322 600325 600328 600332 600337 600343 600346 600350 600352 600356 600361 600363 600368
2012 Fact Book 100 2012 Fact Book 101 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.180 0.027 0.432 0.090 0.045 0.108 0.180 0.135 0.040 0.090 0.630 0.090 0.065 0.090 Dividend (before tax) (RMB) 0.200 0.030 0.480 0.100 0.050 0.120 0.200 0.150 0.100 0.100 0.700 0.100 0.072 0.100 Distribution Date 2011-4-28 2011-5-30 2011-7-6 2011-5-5 2011-7-8 2011-4-28 2011-5-27 2011-4-21 2011-8-18 2011-7-21 2011-6-29 2011-6-17 2011-5-18 2011-6-8 Short Name Beijing Capital Development Guangdong Mingzhu Fujian Longking Canal Sci & Tech Canal Sci & Dynamic Power Sanyou Chemical Industries Jianghuai Automobile Kunming Pharmaceutical Hualu Hengsheng Jien Nickel Pientzehuang Baoji Titanium Sino-platinum metals Hongcheng Waterworks Share Code 600376 600382 600388 600398 600405 600409 600418 600422 600426 600432 600436 600456 600459 600461 Dividend (after tax) Dividend (after tax) (RMB) 0.180 0.324 0.054 0.765 0.045 0.090 0.108 0.090 0.360 0.036 0.027 0.090 0.050 0.054 Dividend (before tax) Dividend (before tax) (RMB) 0.200 0.360 0.060 0.850 0.050 0.100 0.120 0.100 0.400 0.040 0.030 0.100 0.100 0.060 Distribution Date 2011-7-27 2011-6-10 2011-6-9 2011-7-22 2011-6-23 2011-3-31 2011-5-3 2011-3-7 2011-5-27 2011-8-29 2011-4-19 2011-5-18 2011-4-22 2011-5-25 Short Name Wanxiang Doneed Wanxiang Shanghai-Ningbo Expressway Gemdale Panjiang Refined Coal Panjiang Hongdou Industry NARI Technology NARI Technology Development Teamsun Shyndec Pharamaceutical Qingsong Building Materials and Chemicals COSCO Shipping Guanhao High-tech Rebecca Times New Materials Times Hangzhou Silan Microelectronics Share Code 600371 600377 600383 600395 600400 600406 600410 600420 600425 600428 600433 600439 600458 600460
2012 Fact Book 100 2012 Fact Book 101 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.001 0.135 0.007 0.270 0.180 0.027 0.040 0.045 0.180 0.135 0.415 0.225 0.135 0.018 Dividend (before tax) (RMB) 0.023 0.150 0.030 0.300 0.200 0.030 0.100 0.050 0.200 0.150 0.500 0.250 0.150 0.020 Distribution Date 2011-9-26 2011-6-22 2011-7-12 2011-6-15 2011-5-24 2011-4-22 2011-6-1 2011-4-18 2011-7-22 2011-4-20 2011-4-20 2011-6-24 2011-6-16 2011-6-24 Short Name Benefo Electric Liuguo Chemical Industry Hangxiao Steel Structure Shuangliang Air- conditioning Yangnong Chemical Yangnong Tianyao Pharmaceutical Tianyao Long Yuan Construction Long Yuan Jinggong Steel Building Fiberhome Telecommunication Sinochem International Deluxe Family Shanghai Energy Black Peony Tengda Construction Tengda Share Code 600468 600470 600477 600481 600486 600488 600491 600496 600498 600500 600503 600508 600510 600512 Dividend (after tax) Dividend (after tax) (RMB) 0.072 0.090 0.090 0.225 0.027 0.180 0.090 0.015 0.270 0.090 0.043 0.003 0.144 0.135 Dividend (before tax) Dividend (before tax) (RMB) 0.080 0.100 0.100 0.250 0.030 0.200 0.100 0.050 0.300 0.100 0.070 0.070 0.160 0.150 Distribution Date 2011-5-20 2011-7-19 2011-6-27 2011-6-23 2011-7-20 2011-6-3 2011-6-15 2011-6-2 2011-6-22 2011-3-30 2011-6-9 2011-9-2 2011-7-15 2011-6-22 Short Name Airport High-Tech Park Airport High-Tech Aeolus Tyre Huaguang Qianjin Pharmaceutical Fujian Nanfang Textile Hengtong Photoelectrical Zhongjin Gold Fengzhu Textile Fengzhu Chihong Zinc& Germanium Keda Industrial Anhui Water Anhui Water Resources Deluxe Family Tianfu Thermoelectric Tianfu National Medicines Share Code 600463 600469 600475 600479 600483 600487 600489 600493 600497 600499 600502 600503 600509 600511
2012 Fact Book 102 2012 Fact Book 103 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.360 2.060 0.090 0.040 0.099 0.063 0.162 0.099 0.045 0.090 0.180 0.090 0.090 0.040 Dividend (before tax) (RMB) 0.400 2.300 0.100 0.100 0.110 0.070 0.180 0.110 0.050 0.100 0.200 0.100 0.100 0.100 Distribution Date 2011-6-20 2011-7-7 2011-4-29 2011-5-16 2011-6-3 2011-6-17 2011-6-24 2011-6-21 2011-6-20 2011-5-26 2011-6-10 2011-5-19 2011-6-17 2011-5-23 Technology Short Name Zhixin Electric Kweichow Moutai Zhongtian Changyuan Group China Railway Erju Jiaoda Onlly Chixia Development China National Software Xinjiang Sayram Modern Agriculture Shandong Gold Xiamen Tungsten Times Media Times Atlantic China Welding AriTime Share Code 600517 600519 600522 600525 600528 600530 600533 600536 600545 600547 600549 600551 600558 600560 Dividend (after tax) Dividend (after tax) (RMB) 0.045 0.045 0.090 0.113 0.045 0.090 0.090 0.540 0.036 0.270 0.144 0.180 0.054 0.090 Dividend (before tax) Dividend (before tax) (RMB) 0.050 0.050 0.100 0.126 0.050 0.100 0.100 0.600 0.040 0.300 0.160 0.200 0.060 0.100 Distribution Date 2011-6-24 2011-5-30 2011-5-16 2011-7-8 2011-3-23 2011-6-29 2011-6-8 2011-5-30 2011-6-28 2011-5-27 2011-6-10 2011-8-3 2011-6-10 2011-7-28 Short Name Lianhuan Pharmaceutical Kangmei Pharmaceutical Huahai Pharmaceutical Guihang Automotive Jiangnan High Polymer Jiangnan High Polymer Fiber Shandong Pharmaceutical Yuguang Gold & Lead Yuguang Tasly Xinjiang Sayram Modern Agriculture Shanxi Coal International Shenzhen Expressway Tianwei Baobian Tianwei Electric Kanion Pharmaceutical Laobaigan Liquor Share Code 600513 600518 600521 600523 600527 600529 600531 600535 600540 600546 600548 600550 600557 600559
2012 Fact Book 102 2012 Fact Book 103 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.405 0.009 0.018 0.045 0.072 0.072 0.090 0.270 0.198 0.045 0.045 0.108 0.162 0.030 Dividend (before tax) (RMB) 0.450 0.010 0.020 0.050 0.080 0.080 0.100 0.300 0.220 0.050 0.050 0.120 0.180 0.050 Distribution Date 2011-5-10 2011-7-18 2011-8-17 2011-6-10 2011-6-3 2011-6-27 2011-8-18 2011-6-22 2011-5-18 2011-7-21 2011-5-23 2011-5-27 2011-8-2 2011-5-18 Short Name Faratronic Hongcheng General Hongcheng General Machinery Anyang Iron&Steel Sunyard Huiquan Brewage Wolong Electric Wolong Tiandi Science & Tiandi Technology Anhui Conch Cement Ufida Software Tellhow Sci-Tech Tellhow Zhongfu Industry Bright Dairy Tsingtao Brewery Jinfeng Investment Share Code 600563 600566 600569 600571 600573 600580 600582 600585 600588 600590 600595 600597 600600 600606 Dividend (after tax) Dividend (after tax) (RMB) 0.162 0.009 0.054 0.045 0.070 0.090 0.198 0.054 0.090 0.023 0.090 0.090 0.140 0.009 Dividend (before tax) Dividend (before tax) (RMB) 0.180 0.010 0.060 0.050 0.100 0.100 0.220 0.060 0.100 0.025 0.100 0.100 0.155 0.010 Distribution Date 2011-4-20 2011-6-16 2011-5-9 2011-5-23 2011-4-29 2011-7-20 2011-5-20 2011-6-1 2011-7-12 2011-7-13 2011-7-8 2011-5-31 2011-7-8 2011-8-15 Short Name Jiangxi Changyun Dima Industry Shanying Paper Hundsun Electronics Conba Jingneng Thermal Power Ba Yi Ba Yi Steel Changjiang Electronics Changjiang Electronics Technology Xinhua Medical Instrument Guangdong Rongtai Longxi Bearing Xinan Chemical Heilongjiang Agriculture Founder Science Founder & Technology Share Code 600561 600565 600567 600570 600572 600578 600581 600584 600587 600589 600592 600596 600598 600601
2012 Fact Book 104 2012 Fact Book 105 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.135 0.135 0.060 0.045 0.090 0.054 0.126 0.270 0.045 0.513 0.072 0.492 0.050 0.090 Dividend (before tax) (RMB) 0.150 0.150 0.100 0.050 0.100 0.060 0.140 0.300 0.050 0.570 0.080 0.580 0.055 0.100 Distribution Date 2011-6-17 2011-7-5 2011-6-10 2011-7-12 2011-8-22 2011-6-29 2011-6-7 2011-7-22 2011-7-8 2011-4-8 2011-5-16 2011-8-5 2011-8-22 2011-4-21 Short Name Jinfeng Wine Jiabao Industry & Commerce Group Shanghai Shenda Dazhong Public Utilities Pudong Jinqiao Leshan Electric Power Waigaoqiao Jinjiang International Jinjiang International Industrial Investment Yuyuan Tourist Mart Tourist Yuyuan Fuyao Glass Qiangsheng Holding Harbin Pharmaceutical Tande Chian Enterprise Share Code 600616 600622 600626 600635 600639 600644 600648 600650 600655 600660 600662 600664 600667 600675 Dividend (after tax) Dividend (after tax) (RMB) 0.072 0.090 0.097 0.099 0.153 0.070 0.027 0.090 0.036 0.113 0.027 0.135 0.040 0.032 Dividend (before tax) Dividend (before tax) (RMB) 0.080 0.100 0.108 0.110 0.170 0.100 0.030 0.100 0.040 0.125 0.030 0.150 0.100 0.036 Distribution Date 2011-7-7 2011-6-13 2011-6-27 2011-8-25 2011-8-10 2011-6-30 2011-5-25 2011-8-19 2011-5-11 2011-6-10 2011-7-27 2011-7-7 2011-5-19 2011-7-18 Short Name Dazhong Transportation Shanghai Jinling Double Coin New World New Huangpu Real New Huangpu Real Estate Shenergy Tongda Venture Venture Capital Tongda Shanghai Chengtou Shanghai Feile Shanghai Feile Acoustics Beijing Electronic Zone Xin Nanyang Lujiazui Southwest Pharmaceutical Chuantou Energy Share Code 600611 600621 600623 600628 600638 600642 600647 600649 600651 600658 600661 600663 600666 600674
2012 Fact Book 104 2012 Fact Book 105 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.090 0.090 0.090 0.054 0.007 0.045 0.090 0.135 0.180 0.040 0.270 0.032 0.342 0.270 Dividend (before tax) (RMB) 0.100 0.100 0.100 0.060 0.030 0.050 0.100 0.150 0.200 0.100 0.300 0.035 0.380 0.300 Distribution Date 2011-6-28 2011-7-7 2011-7-22 2011-8-8 2011-7-14 2011-4-22 2011-6-24 2011-8-12 2011-6-15 2011-7-7 2011-7-19 2011-5-27 2011-7-22 2011-6-20 Short Name Nanjing Xinjiekou Department Store King Long Motor Qingdao Haier Tuopai Yeast Liquor Yeast Tuopai Zhongda Group Changlin Tianjin Port Tianjin Qilianshan Chongqing Department Chongqing Department Store Liaoning Chengda FAWAY Automobile FAWAY Components Shanghai Industrial Development Jin Jiang International Jin Jiang International Hotels Anhui Heli Share Code 600682 600686 600690 600702 600704 600710 600717 600720 600729 600739 600742 600748 600754 600761 Dividend (after tax) Dividend (after tax) (RMB) 0.108 0.090 0.090 0.270 0.180 0.090 0.036 0.012 0.090 0.001 0.198 0.060 0.270 0.090 Dividend (before tax) Dividend (before tax) (RMB) 0.120 0.100 0.100 0.300 0.200 0.100 0.040 0.013 0.100 0.012 0.220 0.100 0.300 0.100 Distribution Date 2011-6-13 2011-7-26 2011-7-27 2011-7-8 2011-5-27 2011-6-13 2011-7-13 2011-7-1 2011-5-26 2011-5-12 2011-6-27 2011-4-13 2011-5-25 2011-7-7
Automotive Short Name Shanghai Jiaoyun Guangzhou Shipyard Guangzhou Shipyard International S Sinopec Shanghai S Sinopec Shanghai Petrochemical Eurasia Group Sanan optoelectronics Shanghai Haibo Nanjing Pharmaceutical Dalian Thermal Power Yunnan Yunwei Yunnan Suzhou New District Suzhou New District Hi-Tech Huayu Systems Huayuan Property Jiangzhong Pharmaceutical Xiamen International International Xiamen Trade Share Code 600676 600685 600688 600697 600703 600708 600713 600719 600725 600736 600741 600743 600750 600755
2012 Fact Book 106 2012 Fact Book 107 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.036 0.045 0.054 0.270 0.045 0.008 0.036 0.150 0.045 0.045 0.034 0.054 0.027 0.391 Dividend (before tax) (RMB) 0.040 0.050 0.060 0.300 0.050 0.020 0.040 0.200 0.050 0.050 0.038 0.060 0.030 0.490 Distribution Date 2011-6-28 2011-6-29 2011-7-7 2011-6-16 2011-6-28 2011-5-12 2011-5-20 2011-5-26 2011-7-18 2011-7-28 2011-7-18 2011-5-27 2011-6-3 2011-6-20 Short Name AVIC Heavy Machinery AVIC Friendship Group Friendship Xinyu Iron & Steel Xinhua Department Xinhua Department Store Jingneng Property Qianjiang Biochemical Ningbo Marine Yueda Yueda Maanshan Iron & Steel Shenma Industry Yaopi Glass Yaopi Department Yimin Stores Lansheng Sanjing Pharmaceutical Share Code 600765 600778 600782 600785 600791 600796 600798 600805 600808 600810 600819 600824 600826 600829 Dividend (after tax) Dividend (after tax) (RMB) 0.018 0.108 0.207 0.081 0.036 0.090 0.009 0.180 0.045 0.450 0.090 0.180 0.045 0.007 Dividend (before tax) Dividend (before tax) (RMB) 0.020 0.120 0.230 0.090 0.040 0.100 0.010 0.200 0.050 0.500 0.100 0.200 0.050 0.030 Distribution Date 2011-6-24 2011-6-8 2011-6-10 2011-7-6 2011-6-20 2011-6-20 2011-8-10 2011-6-10 2011-6-13 2011-6-27 2011-7-15 2011-7-11 2011-7-22 2011-5-20 Short Name CEC CoreCast Eastcom Swellfun Luxin Venture Luxin Venture Capital Zhongchu Development GD Power Insigma Huaxin Cement Kunming Machine Tool Shanxi Wine Fen Engineering Machinery Tunnel Engineering Tunnel Shanghai Xinhua Media ' s Chengdu People Department Store Share Code 600764 600776 600779 600783 600787 600795 600797 600801 600806 600809 600815 600820 600825 600828
2012 Fact Book 106 2012 Fact Book 107 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.090 0.054 0.135 0.240 0.009 0.045 0.108 0.027 0.099 0.090 0.072 0.090 0.099 0.018 Dividend (before tax) (RMB) 0.100 0.060 0.150 0.300 0.010 0.050 0.120 0.030 0.110 0.100 0.080 0.100 0.110 0.020 Distribution Date 2011-8-29 2011-6-23 2011-6-29 2011-6-14 2011-6-24 2011-6-3 2011-5-25 2011-7-5 2011-7-12 2011-7-7 2011-6-22 2011-5-16 2011-6-17 2011-6-20 Short Name Shanghai Oriental Pearl Shanghai Oriental Pearl Shentong Metro Haitong Securities Baosight Software Longjian Road &Bridge Silver Plaza Beijing Urban-Rura S Sinopec Yizheng S Yizheng Sinopec Chemical Fibre Capital Environmental Capital Environmental Protection Yatai Group Yatai Ningbo Shanshan Xinjiang Joinworld Xi’an Aero-engine China Shipping Haisheng Share Code 600832 600834 600837 600845 600853 600858 600861 600871 600874 600881 600884 600888 600893 600896 Dividend (after tax) Dividend (after tax) (RMB) 0.045 0.010 0.180 0.045 0.045 0.027 0.270 0.045 0.450 0.117 0.054 0.023 0.045 0.090 Dividend (before tax) Dividend (before tax) (RMB) 0.050 0.050 0.200 0.050 0.050 0.030 0.300 0.050 0.500 0.130 0.060 0.025 0.050 0.100 Distribution Date 2011-6-24 2011-7-21 2011-6-13 2011-6-22 2011-4-28 2011-6-17 2011-7-28 2011-7-20 2011-4-15 2011-6-30 2011-6-28 2011-7-8 2011-6-17 2011-8-5 Short Name Sunny Loan Top No.1 Pharmacy No.1 Shanghai Mechanical Shanghai Mechanical & Electrical Shanghai Diesel Engine East -China Computer HIT Shouchuang Wangfujing Hatou Investment Meihua Dongfang Electric Bowin Technology Bowin Technology SDIC Nanjing Chemical Fibre Zhangjiang High Park Technology Share Code 600830 600833 600835 600841 600850 600857 600859 600864 600873 600875 600883 600886 600889 600895
2012 Fact Book 108 2012 Fact Book 109 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.230 0.023 0.180 0.405 0.135 0.045 0.045 0.090 0.162 0.005 0.090 0.270 0.187 0.135 Dividend (before tax) (RMB) 0.256 0.025 0.200 0.450 0.150 0.050 0.050 0.100 0.180 0.050 0.100 0.300 0.208 0.150 Distribution Date 2011-6-29 2011-6-14 2011-6-10 2011-9-26 2011-7-12 2011-7-1 2011-6-8 2011-6-17 2011-6-9 2011-5-27 2011-5-31 2011-7-20 2011-7-21 2011-7-18 Short Name Yangtze Power Yangtze Yueyang Paper Yueyang Beifang Chuangye Sinoma International Baosheng Science and and Science Baosheng Technology Yihua Timber Timber Yihua Industry Jiangsu Skyrun Hefei Rongshida Sanyo Zhejiang Hangmin Mayinglong Kailuan Clean Coal Merchants Securities Datong Coal Liuzhou Iron and Steel Share Code 600900 600963 600967 600970 600973 600978 600981 600983 600987 600993 600997 600999 601001 601003 Dividend (after tax) Dividend (after tax) (RMB) 0.081 0.090 0.045 0.003 0.720 0.270 0.008 0.090 0.108 0.054 0.054 0.090 0.108 0.180 Dividend (before tax) Dividend (before tax) (RMB) 0.090 0.100 0.050 0.025 0.800 0.300 0.020 0.100 0.120 0.060 0.060 0.100 0.120 0.200 Distribution Date 2011-5-27 2011-6-14 2011-6-7 2011-5-20 2011-4-27 2011-6-17 2011-5-3 2011-6-15 2011-7-15 2011-6-24 2011-6-2 2011-6-9 2011-4-27 2011-6-10 Short Name Xiamen International International Xiamen Airport Bohai Piston Bohui Paper Sinoma International Hengyuan Coal- Electricity Wuhan Jianmin Wuhan Guang’An AAA Ningbo Thermal Leimingkehua Guizhou Wire Rope Wenshan Electric Wenshan Power Jointown Tangshan Port Tangshan Gem-eYear Industrial Gem-eYear Share Code 600897 600960 600966 600970 600971 600976 600979 600982 600985 600992 600995 600998 601000 601002
2012 Fact Book 108 2012 Fact Book 109 Listed Companies Listed Companies 0.016 0.720 Dividend (after tax) (RMB) 0.090 0.027 0.054 0.019 0.106 0.027 0.180 0.117 0.414 0.194 0.045 0.018 0.800 Dividend (before tax) (RMB) 0.100 0.030 0.060 0.021 0.118 0.030 0.200 0.130 0.460 0.216 0.050 2011-7-27 2011-9-13 Distribution Date 2011-7-22 2011-7-11 2011-6-13 2011-6-29 2011-6-15 2011-7-12 2011-6-9 2011-7-4 2011-5-12 2011-6-17 2011-2-18 Heilongjiang Transportation Heilongjiang Transportation Development Tongkun Short Name Jinling Hotel Ningbo Port China South Publishing&Media CFHI Air China China National Chemical Engineering Sifang Shenzhen Gas Industrial Bank Bank of Beijing China Railway Construction 601233 Share Code 601007 601018 601098 601106 601111 601117 601126 601139 601166 601169 601186 601188 0.270 Dividend (after tax) Dividend (after tax) (RMB) 0.315 0.180 0.675 0.510 0.078 0.090 0.072 0.180 0.169 0.162 0.054 0.045 0.300 Dividend (before tax) Dividend (before tax) (RMB) 0.350 0.200 0.750 0.700 0.087 0.100 0.080 0.200 0.188 0.180 0.060 0.050 2011-7-28 Distribution Date 2011-7-5 2011-6-21 2011-6-17 2011-7-8 2011-6-20 2011-6-2 2011-7-15 2011-5-3 2011-6-10 2011-5-24 2011-6-27 2011-7-22 Sichuan EM Technology Short Name Daqin Railway Bank of Nanjing China Shenhua Haohua Energy Sichuan Expressway Sanjiang Shopping Hainan Rubber Powerway Alloy Powerway Material Water Chongqing Water Western Mining Western China XD China Railway Construction 601208 Share Code 601006 601009 601088 601101 601107 601116 601118 601137 601158 601168 601179 601186
2012 Fact Book 110 2012 Fact Book 111 Listed Companies Listed Companies Dividend (after tax) (RMB) 0.049 0.360 0.008 0.450 0.050 0.019 0.800 0.010 0.126 0.042 0.150 0.090 0.840 0.405 Dividend (before tax) (RMB) 0.054 0.400 0.020 0.500 0.055 0.021 1.000 0.011 0.140 0.047 0.200 0.100 1.000 0.450 Distribution Date 2011-7-15 2011-7-29 2011-8-18 2011-4-28 2011-7-25 2011-6-30 2011-6-13 2011-7-27 2011-8-30 2011-8-12 2011-6-24 2011-3-18 2011-7-5 2011-10-24 Short Name Agricultural Bank of China Ping An Insurance Bank of Communications Shaangu Power China Railway Jilin Expressway SINOVEL Chalco Shanghai Pharmaceutical China Metallurgical Pingdingshan Tianan Pingdingshan Tianan Coal Befar Lu’An Environmental Lu’An Environmental Energy ZMJ Share Code 601288 601318 601328 601369 601390 601518 601558 601600 601607 601618 601666 601678 601699 601717 Dividend (after tax) Dividend (after tax) (RMB) 0.045 0.045 0.135 0.081 0.135 0.166 0.135 0.018 0.315 0.270 0.360 0.056 0.135 0.315 Dividend (before tax) Dividend (before tax) (RMB) 0.050 0.050 0.150 0.090 0.150 0.184 0.150 0.020 0.350 0.300 0.400 0.062 0.150 0.350 Distribution Date 2011-4-11 2011-6-9 2011-9-23 2011-6-30 2011-6-17 2011-7-8 2011-5-25 2011-7-20 2011-6-29 2011-6-29 2011-6-29 2011-6-10 2011-6-27 2011-5-20 Short Name China National Erzhong CNR Ping An Insurance Guangshen Railway Industrial Securities ICBC Great Wisdom North Star China Pacific Insurance China Pacific SGEG China Life China State Construction Huatai Securities Fengfan Power Power Fengfan Equipment Share Code 601268 601299 601318 601333 601377 601398 601519 601588 601601 601616 601628 601668 601688 601700
2012 Fact Book 110 2012 Fact Book 111 Listed Companies Listed Companies 0.315 Dividend (after tax) (RMB) 0.207 0.059 0.162 0.165 0.040 0.045 0.135 0.090 0.081 0.191 0.131 0.063 0.027 0.350 Dividend (before tax) (RMB) 0.230 0.065 0.180 0.184 0.044 0.050 0.150 0.100 0.090 0.212 0.146 0.070 0.030 2011-5-20 Distribution Date 2011-6-9 2011-7-11 2011-6-16 2011-6-30 2011-7-4 2011-8-19 2011-6-14 2011-7-8 2011-6-27 2011-7-15 2011-6-30 2011-10-25 2011-7-13 Lifan Short Name Xingyu Automotive Lighting Systems Shanghai Electric China Oilfield Services Petrochina China Merchants Energy Shipping Dalian Port Asian Star Anchor Chain Star Asian Zijin Mining COSCO China Construction Bank Bank of China Datang International Generation Power China Shipbuilding Industry 601777 Share Code 601799 601727 601808 601857 601872 601880 601890 601899 601919 601939 601988 601991 601999 0.036 Dividend (after tax) Dividend (after tax) (RMB) 0.405 0.023 0.090 0.085 0.146 0.360 0.090 0.141 0.180 0.090 0.225 0.059 0.063 0.040 Dividend (before tax) Dividend (before tax) (RMB) 0.450 0.025 0.100 0.095 0.162 0.400 0.100 0.156 0.200 0.100 0.250 0.065 0.070 2011-6-29 Distribution Date 2011-6-10 2011-10-31 2011-6-14 2011-6-22 2011-10-21 2011-6-10 2011-6-28 2011-6-28 2011-7-1 2011-6-16 2011-6-16 2011-6-29 2011-7-20 China South Locomotive Locomotive South China & Rolling Stock Short Name Everbright Securities Jihua Anhui Xinhua Media Everbright Bank Petrochina Zhengtai Electric Appliance CITS China Coal Energy SDIC Xinji Yonghui Superstores Yonghui Jinduicheng Molybdenum China Shipbuilding Industry BBMG Note: Statistics released within 2011 should be used. Statistics released within 2011 should be used. Note: Share Code 601788 601718 601801 601766 601818 601857 601877 601888 601898 601918 601933 601958 601989 601992
2012 Fact Book 112 2012 Fact Book 113 Listed Companies Listed Companies
Table of Changes in Stock Short Names in 2011
New Former Stock Code Date of Change Short Name Short Name 600077 2011-5-6 ST Baike *ST Baike 600077 2011-12-30 Sundy Group Baike Group 600080 2011-7-6 ST Ginwa *ST Ginwa 600083 2011-3-2 *ST Booxin ST Booxin ST Citic *ST Citic 600084 2011-12-22 Guo’An Wine Guo’An Wine 600091 2011-8-4 ST Tomorrow Tech *ST Tomorrow Tech 600094 2011-10-11 ST Huayuan *ST Huayuan 600145 2011-7-20 *ST Guochuang *ST Swell 600145 2011-10-28 ST Guochuang *ST Guochuang 600165 2011-9-13 Xinri Hengli Ningxia Hengli 600179 2011-5-24 ST Heihua *ST Heihua 600180 2011-12-15 ST Jiufa *ST Jiufa 600193 2011-6-8 Prosolar Resources Prosolar Real Estate 600209 2011-11-1 ST Lawton *ST Lawton 600217 2011-7-22 ST Qinling *ST Qinling 600261 2011-1-11 Yankon Lighting Zhejiang Yankon 600299 2011-7-8 ST New Chemical Materials *ST New Chemical Materials 600301 2011-12-19 ST Nanning Chemical *ST Nanning Chemical 600313 2011-10-19 ST Sino Agriculture *ST Sino Agriculture 600327 2011-4-26 Grand Orient Commercial Mansion 600348 2011-7-12 Yangquan Coal Guoyang New Energy 600355 2011-6-24 ST Routon *ST Routon 600403 2011-2-24 Dayou Energy Xinwang Tech 600444 2011-7-6 ST Guotone *ST Guotone 600449 2011-12-30 Ningxia Building Materials Saima Industry 600490 2011-8-8 ST SYNICA *ST SYNICA 600515 2011-5-6 ST Zhuxin *ST Zhuxin 600515 2011-12-16 ST Haijian ST Zhuxin 600520 2011-6-10 Zonfa Technology Trinity Technology 600537 2011-12-30 EGING PV Haitong Group 600538 2011-8-22 ST Gofar *ST Gofar 600562 2011-8-25 ST Gaotao *ST Gaotao 600604 2011-3-15 *ST Second Machine Tool ST Second Machine Tool
2012 Fact Book 112 2012 Fact Book 113 Listed Companies Listed Companies
New Former Stock Code Date of Change Short Name Short Name 600608 2011-9-6 ST Huke *ST Huke 600609 2011-6-24 ST Brilliance *ST Brilliance 600617 2011-12-22 ST Lian Hua *ST Lian Hua 600637 2011-12-29 BesTV SVA 600656 2011-9-16 ST Boyuan ST Fangyuan 600678 2011-2-1 *ST Golden Summit ST Golden Summit 600681 2011-9-8 ST Wanhong S*ST Wanhong 600698 2011-4-6 *ST Qingqi ST Qingqi 600699 2011-8-25 ST Deheng *ST Deheng 600702 2011-7-8 Tuopai Shede Tuopai Yeast Liquor 600704 2011-5-3 Material Industrial Zhongda Zhongda Group 600711 2011-7-6 Shengtun Mining Xiongzhen Mining 600715 2011-4-29 *ST Songliao ST Songliao 600722 2011-5-6 ST Jinhua *ST Jinhua 600723 2011-7-25 Capital Retailing Xidan Department Store 600727 2011-8-18 ST Lubei *ST Lubei 600757 2011-8-22 ST Yuanfa *ST Yuanfa 600760 2011-1-24 Zhonghang Heibao Dong’An Heibao 600769 2011-6-24 ST Xianglong *ST Xianglong 600783 2011-3-21 Luxin Venture Capital Luxin High-Tech 600792 2011-3-29 *ST Malong ST Malong 600860 2011-5-30 ST Beiren *ST Beiren 600873 2011-3-11 Meihua Wuzhou Bright Pearl 600885 2011-12-22 ST Liyang *ST Liyang 600892 2011-2-28 *ST Baocheng ST Baocheng 600898 2011-7-25 ST Sanlian *ST Sanlian 600960 2011-4-27 Bohai Piston Binzhou Piston 600963 2011-6-15 Yueyang Forestry-paper Yueyang Paper 600984 2011-11-15 ST Construction Machinery *ST Construction Machinery 600988 2011-9-6 ST Baolong *ST Baolong 900902 2011-3-15 *ST Second Machine Tool B ST Second Machine Tool B 900913 2011-12-22 ST Lian Hua B *ST Lian Hua B 900936 2011-6-15 Erdos Resources B Erdos Cashmere B 900939 2011-7-22 ST Huili B *ST Huili B 900940 2011-10-11 ST Huayuan B *ST Huayuan B 900946 2011-4-6 *ST Qingqi B ST Qingqi B
2012 Fact Book 114 2012 Fact Book 115 Listed Companies Listed Companies
Table of Changes in the Names of Listed Companies in 2011
Former Short New Short Code for Former Short New Short name Code for Date of Announcement No. name for B name for B A shares name for A shares for A shares B shares change Date shares shares Luxin Venture 1 600783 Luxin High- Tech 2011-3-21 2011-3-16 Capital 2 600537 Haitong Group EGING PV 2011-12-30 2011-12-28 Ningxia Building 3 600449 Saima Industry 2011-12-30 2011-12-27 Materials 4 600515 ST Zhuxin ST Haijian 2011-12-16 2011-12-13 Guoyang New 5 600348 Yangquan Coal 2011-7-12 2011-7-8 Energy 6 600656 ST Fangyuan ST Boyuan 2011-9-16 2011-9-14 7 600637 SVA BesTV 2011-12-29 2011-12-27 8 600403 Xinwang Tech Dayou Energy 2011-2-24 2011-2-16 Erdos Erdos 9 600295 Erdos Erdos 900936 2011-6-15 2011-6-10 Cashmere B ResourcesB Wuzhou Bright 10 600873 Meihua 2011-3-11 2011-3-8 Pearl Prosolar Real Prosolar 11 600193 2011-6-8 2011-6-3 Estate Resources Yueyang Forestry- 12 600963 Yueyang Paper 2011-6-15 2011-6-10 paper Material Industrial 13 600704 Zhongda Group 2011-5-3 2011-4-26 Zhongda 14 600104 SAIC SAIC Motor 2012-1-9 2011-12-30 15 600711 Xiongzhen Mining Shengtun Mining 2011-7-6 2011-7-2 Tuopai Yeast 16 600702 Tuopai Shede 2011-7-8 2011-7-2 Liquor 17 600261 Zhejiang Yankon Yankon Lighting 2011-1-11 2011-1-6 18 600960 Binzhou Piston Bohai Piston 2011-4-27 2011-4-21 19 600165 Ningxia Hengli Xinri Hengli 2011-9-13 2011-9-7 20 600520 Trinity Technology Zonfa Technology 2011-6-10 2011-6-8 21 600145 *ST Swell *ST Guochuang 2011-7-20 2011-7-15 Xidan 22 600723 Capital Retailing 2011-7-25 2011-7-21 Department Store Zhonghang 23 600760 Dong’An Heibao 2011-1-24 2011-1-20 Heibao Commercial 24 600327 Grand Orient 2011-4-26 2011-4-21 Mansion 25 600077 Baike Group Sundy Group 2011-12-30 2011-12-26
2012 Fact Book 114 2012 Fact Book 115 Listed Companies Listed Companies B-share Short Name after Enforcement Risk Delisting of Warnings B Textile *ST No.2 *ST Qingqi Motorcycle B *ST Dahua B Zhongda New Material *ST Tianmushan *ST Tianmushan Pharmaceuticl *ST Tonhwa Winery *ST Tonhwa A-share Short Name after A-share Short Name after Delisting of Enforcement Risk Warnings Textile *ST No.2 *ST Qingqi Motorcycle *ST *ST Dingsheng Tiangong *ST Golden Summit *ST Taiyuan Chemical Chemical *ST Taiyuan Industry *ST Boxin *ST Furi Electronics *ST Baozen *ST Songliao Automobile *ST Changjiu Biochemical *ST Yuntianhua 2011-5-4 2011-2-16 Commencement Date 2011-3-15 2011-4-6 2011-4-26 2011-2-23 2011-2-1 2011-4-27 2011-3-2 2011-1-27 2011-2-28 2011-4-29 2011-4-26 2011-4-26 2011-3-29 2011-5-3 2011-2-15 Date of Trade Date of Trade Suspension 2011-3-14 2011-4-1 2011-4-25 2011-2-22 2011-1-31 2011-4-26 2011-3-1 2011-1-26 2011-2-25 2011-4-28 2011-4-25 2011-4-25 2011-3-28 2011-5-3 2011-2-15 Date of Announcement 2011-3-14 2011-4-1 2011-4-25 2011-2-22 2011-1-31 2011-4-26 2011-3-1 2011-1-26 2011-2-25 2011-4-28 2011-4-25 2011-4-25 2011-3-28 B-share short B-share short name B Textile ST No.2 ST Qingqi Motorcycle B Dahua B B-share Code 900902 900946 900951 Tianmushan Tianmushan Pharmaceutical Tonhwa Winery Tonhwa A-share Short Name ST No.2 Textile ST No.2 ST Qingtqi Motorcycle Zhongda New Material Dingsheng Tiangong ST Golden Summit Taiyuan Chemical Industry ST Boxin Furi Electronics ST Baozen ST Songliao Automobile Changjiu Biochemical ST Yuntianhua 600671 600365 A-share Code 600604 600698 600074 600335 600678 600281 600083 600203 600892 600715 600228 600792 6 5 4 No 1 2 3 15 14 13 12 11 10 9 8 7 Companies Subject to Delisting Risk Warnings in 2011 Companies Subject to Delisting Risk Warnings
2012 Fact Book 116 2012 Fact Book 117 Listed Companies Listed Companies B-share Short Name after B-share Short Name after Delisting of Enforcement Risk Warnings A-share Short Name A-share Short Name after Enforcement of Delisting Risk Warnings ST Yuancheng ST Lionhead Cement Commencement Date 2011-5-4 2011-6-30 Date of Trade Date of Trade Suspension 2011-5-3 2011-6-29 Date of Announcement 2011-4-30 2011-6-29 B-share short name B-share Code A-share Short Name Yuancheng Shares Yuancheng Lionhead Cement A-share Code 600766 600539 No 1 2 Companies Subject to other special treatments in 2011
2012 Fact Book 116 2012 Fact Book 117 Listed Companies Listed Companies
Companies Subject to Listing Suspension in 2011
Publication Date for the Commencement Date for No. A-share Code A-share Short Name Announcement of Listing Implementation of Listing Suspension Suspension *ST Chenghai Enterprise 1 600634 2011-4-20 2011-4-25 Development
2 600455 *ST Butone 2011-5-13 2011-5-16
Companies Subject to Listing Termination in 2011
NO A-share Code A-share Short Name Publication Date for the Commencement Date for Announcement of Listing Implementation of Listing Termination Termination 1 600553 Taihang Cement 2011-2-16 2011-2-18 2 600631 Bailian Shares 2011-8-19 2011-8-23
Companies Subject to Listing Resumption in 2011
A-share Short Publication Date for A-share A-share Short B-share B-share Listing Name Subject No the Announcement of Code Name Code Short Name Date to Listing Listing Resumption Resumption *ST Amoi 1 600057 2011-8-23 2011-8-29 Xiangyu Shares Technology 2 600681 S*ST Winover 2011-09-1 2011-09-8 ST Winover *ST Zhongken ST Zhongken Agricultural Agricultural 3 600313 2011-10-13 2011-10-19 Resource Resource Development Development Zhejiang Daily 4 600633 *ST WhiteCat 2011-9-23 2011-9-29 Media *ST 5 600094 *ST Huayuan 900940 2011-9-28 2011-10-11 ST Huayuan Huayuan B
*ST Sanlian 6 600898 2011-7-18 2011-7-25 ST Sanlian Shop Shop
7 600727 *ST Lubei 2011-8-12 2011-8-18 ST Lubei
2012 Fact Book 118 2012 Fact Book 119 Listed Companies Listed Companies
Companies Subject to Cancellation of Special Treatment in 2011
(I)Cancellation of Special Treatment
Short Name for Shares Commencement Date Company Company Short No Cancellation of Special for Cancellation of Publication Date Code Name Treatment Special Treatment 1 600711 ST Xiongzhen Xiongzhen Mining 2011-3-4 2011-3-3
2 600891 ST Qiulin Qiulin Group 2011-9-1 2011-8-31
3 600077 ST Baike Baike Group 2011-11-1 2011-10-31
4 600721 ST Baihua Baihuacun 2011-6-3 2011-6-2
5 600898 ST Sanlian Sanlian Shop 2011-11-14 2011-11-11
6 600242 ST Hualong Hualong Sea Shipping 2011-4-7 2011-4-6
7 600714 ST Jinrui Jinrui Mining 2011-4-29 2011-4-28
8 600728 ST Suntek Suntek Tech 2011-8-8 2011-8-5
9 600340 ST Guoxiang China Fortune 2011-11-2 2011-11-1
10 600876 ST Luoyang Glass Luoyang Glass 2011-4-19 2011-4-18
11 600372 ST Changhe Avic Electronics 2011-6-3 2011-6-2
12 600740 *ST Shanxi Coking Shanxi Coking 2011-5-3 2011-4-29
13 600792 *ST Malong Yunmei Energy 2011-11-1 2011-10-31
14 600373 *ST Xinxin Zhongwen Chuanmei 2011-4-14 2011-4-13
*ST Minjiang 15 600131 Minjiang Hydroelectric 2011-4-14 2011-4-13 Hydroelectric
2012 Fact Book 118 2012 Fact Book 119 Listed Companies Listed Companies
(II) Companies Subject to Withdrawal of Delisting Risk Warnings and Other Special Treatments
A-share Short B-share Short Commencement Date B-share Name after Name after Company Company B-share for Implementation of Publication No Short Withdrawal of Withdrawal of Code Short Name Code Withdrawal of Delisting Date Name Delisting Risk Delisting Risk Risk Warnings Warnings Warnings 1 600145 *ST Guochuang ST Guochuang 2011-10-28 2011-10-27 2 600077 *ST Baike ST Baike 2011-5-6 2011-5-5 3 600179 *ST Heihua ST Heihua 2011-5-24 2011-5-23 4 600217 *ST Qinlinag ST Qinlinag 2011-7-22 2011-7-21 5 600699 *ST Deheng ST Deheng 2011-8-25 2011-8-24 6 600722 *ST Jinhua ST Jinhua 2011-5-6 2011-5-5 7 600515 *ST Zhuxin ST Zhuxin 2011-5-6 2011-5-5 8 600608 *ST Huke ST Huke 2011-9-6 2011-9-5 9 600091 *ST Mingke ST Mingke 2011-8-4 2011-8-3 10 600490 *ST Hechen ST Hechen 2011-8-8 2011-8-5 11 600860 *ST Beiren ST Beiren 2011-5-30 2011-5-26 12 600562 *ST Gaotao ST Gaotao 2011-8-25 2011-8-24 13 600769 *ST Xianglong ST Xianglong 2011-6-24 2011-6-23 14 600609 *ST Jinbei ST Jinbei 2011-6-24 2011-6-23 15 600984 *ST Jianji ST Jianji 2011-11-15 2011-11-14 16 600538 *ST Guofa ST Guofa 2011-8-22 2011-8-19 17 600757 *ST Yuanfa ST Yuanfa 2011-8-22 2011-8-19 18 600209 *ST Luodun ST Luodun 2011-11-1 2011-10-29 19 900939 *ST Huili B ST Huili B 2011-7-22 2011-7-21 20 600355 *ST Jinglun ST Jinglun 2011-6-24 2011-6-23 21 600444 *ST Guotong ST Guotong 2011-7-6 2011-7-5 22 600080 *ST Jinhua ST Jinhua 2011-7-6 2011-7-5 23 600299 *ST Xincai ST Xincai 2011-7-8 2011-7-7 24 600988 *ST Baolong ST Baolong 2011-9-6 2011-9-5 25 600180 *ST Jiufa ST Jiufa 2011-12-15 2011-12-14 26 600301 *ST Nanhua ST Nanhua 2011-12-19 2011-12-16 27 600084 *ST Zhongpu ST Zhongpu 2011-12-22 2011-12-21 28 600885 *ST Liyang ST Liyang 2011-12-22 2011-12-21 *ST 29 600617 *ST Lianhua 900913 ST Lianhua ST Lianhua B 2011-12-22 2011-12-21 Lianhua B
2012 Fact Book 120 2012 Fact Book 121 Listed Companies Listed Companies
Listed Warrants
2012 Fact Book 120 2012 Fact Book 121 Listed WarrantsCompanies Listed Warrants
2012 Fact Book 122 2012 Fact Book 123 Listed WarrantsCompanies Listed Warrants 24361.87 Annual Turnover rate(%) 13959352.84 Turnover volume (10,000) 34748234.97 Turnover value Turnover (RMB 10,000) 0.86 Close Price (RMB) 0.80 Lowest Price (RMB) 3.56 Highest Price (RMB) 2.55 Open Price (RMB) 111023104 Year-end Year-end Balance (RMB) 2011-8-18 Expiry Date 2009-8-19 Listing Date 1.87 Proportion Proportion of Year-end Exercise 2.79 Year-end Year-end Exercise Price (RMB) European Style Exercise Style Exercise Style style/ (European American style) Call Category Category (call/put) Changhong Changhong CWB1 Short Name 580027 Code Listed Warrants in 2011 Listed Warrants
2012 Fact Book 122 2012 Fact Book 123
Bond Market Bond Market Bond Market
2012 Fact Book 126 2012 Fact Book 127 Bond Market Bond Market
Bond Market Overview of the Shanghai Stock Exchange in 2011
In 2011, the bond market of SSE maintained a rapid development in the number of listed bonds, amount of bond trusts and trading volume. By December 31, 2011, 632 bonds were listed on SSE, an increase of 153 from 2010 by 37%. The 733.2 billion yuan trust amount represented an increase of 182.6 billion yuan from 2010 by 33%. Among them, there were 137 T-bonds with a trust amount of 193.8 billion yuan, 76 local treasury bonds, with 330 million yuan under trust; 386 corporate bonds (including enterprise bonds, insurance company bonds and securities company bonds), with a trust amount of 318.5 billion yuan, 13 convertible bonds with a trust amount of 108.9 billion yuan; 16 separately-traded convertible bonds with a trust amount of 78.2 billion yuan and 4 ABS with trust amount of 660 million yuan on SSE. In 2011, SSE issued and listed 73 T-bonds, 16 local government bonds, 132 corporate bonds, 6 convertible bonds and 5 ABS. On the secondary bond market, the decreasing issuing volume of central bank notes led to a decrease in the supply of bonds. For allocation and the hedge against risks in the market, the demand for interest products like T-bonds grew, SSE T-Bond Index sustained a stable and slow upward trend, going up 5.11 points from 126.28 to 131.39 as of the end of 2011, an increase of 4.05%. The debenture bond market was marked by twists and turns in 2011. During first half of the year, SSE Enterprise Bond Index opened the year at 143.5 and closed the year at 146.12, growing 2.62 points, representing an increase of 1.83%. SSE Corporate Bond Index grew 2.81 points from 127.25 to 130.06, an increase of 2.21%. During the third quarter of the year, the rising interest rate in the money market and the market’s eye on the debt on the local financing platform, concern grew for the solvency of urban investments bonds and all debentures of low credit rating, sparking the slump of the debenture market. As of September 29th, Enterprise Bond Index fell at 143.72, a dip of 1.51% from the end of June. Since October, the debenture market bounced back. As of the year end, the Enterprise Bond Index bounced back to 148.48, Corporate Bond Index to 131.69, both surpassing their level in June.
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Turnover of bonds recorded 21.1 trillion yuan, an increase of 14 trillion yuan from 2010 by 198%. T-bonds accounted for 127.63 billion yuan, corporate bonds 231.523 billion yuan, convertible bonds 204.114 billion yuan, separately-traded convertible bonds 49.61 billion yuan and bonds repo 20.461974 trillion yuan.
SSE actively promoted the development of the bond market in 2011 specifically in the following aspects: 1. by dual listing of T-bonds, the balance of fixed-income platform and price bidding system are integrated, facilitating the access of investors to bond trading; 2. strengthen risk control, initiate investor eligibility management scheme and provide guidance for bond collateralized repo; 3. involve listed commercial banks in SSE’s bond market in line with the unified arrangement of CSRC. As of the end of 2011, 16 listed commercial banks had access to subscription of bonds, among which 8 had participated in the trading of bonds; 4.launch SSE Bond Infonet, providing regular and systemic online service and publicity for the bond market. In servicing the national economy and the reform of the financial sector, SSE will follow the rationale of the bond market, take into account the varied demands of investment and financing in the market, make tailored arrangements in listing, trading, settlement and regulation, so that product and investor base are diverse, settlement is customized, trading platform is integrated and the bond market will be developing with caution against risks.
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Conditions for Government Bond Listings
In accordance with the provisions of the Securities Law, stock exchanges shall arrange for the listing and trading of government bonds (G-bond) in accordance with decisions of departments authorized by the State Council.
Conditions for Enterprise Bond Listings
In accordance with the provisions of the Shanghai Stock Exchange Corporate Bond Listing Rules, enterprise bonds issued by unincorporated legal person entities shall be listed and traded by reference to the listing rules for corporate bonds.
Conditions for Corporate Bond Listings
Any issuer that applies for a bond listing shall satisfy the following conditions: (1) The bonds have been approved by the competent department and issued; (2) The term of the bonds is no less than one year; (3) The value of bonds actually issued is no less than RMB 50 million; (4) The bonds have been rated by a credit rating institution and the bonds have a good credit rating; (5) When applying for a bond listing, the issuer remains in conformity with the statutory conditions for issuing corporate bonds; and (6) Other conditions recognized by SSE.
Applications for Corporate Bond Listings
1. Any issuer that applies for a bond listing shall submit the following documents to SSE: (1) Bond listing application; (2) Documents from competent departments approving the bond issue; (3) A resolution approving the bond listing; (4) A recommendation letter for the bond listing; (5) Articles of Association; (6) Company Business License; (7) Bond offering method, issue announcement and issue information report; (8) The credit rating report for the bonds and a statement on follow-up rating arrangements; (9) Evidentiary documents on the value of bonds actually offered; (10) Listing particulars (for the content and format, see Appendix 2); (11) Audit reports for the issuer for the last three full accounting years issued by an accounting firm qualified to engage in securities business; (12) A statement on the credit standing of the guarantor and the guarantee agreement (if any); (13) A statement on whether the issuer has any record of legal or regulatory violations in the last three years; (14) A list of bondholders and a statement on bond custody arrangements; and (15) Other documents required by SSE. Listed companies that receive CSRC approval to issue corporate bonds may be exempted from aforesaid Items (5), (11), and (13).
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2. Any issuer that applies for a bond listing shall ensure that the contents of documents submitted to SSE are authentic, accurate, and complete and do not include any false or misleading statement or material omission. 3. SSE adopts a listing recommendation system for the listing of bonds; bonds for which a listing application is made must be recommended by one to two institutions recognized by SSE, which shall issue a listing recommendation letter. 4. Listing sponsors shall meet the following requirements: (1) They are SSE members or of another institution recognized thereby; (2) They have no record of any serious legal or regulatory violations in the last year; (3) The main business personnel responsible for recommendation work shall be familiar with SSE regulations and relevant business rules; and (4) Other conditions SSE deems necessary. 5. Listing sponsors shall perform the following obligations: (1) To confirm that the bond issuer conforms to the listing conditions; (2) To ensure that the directors and senior management personnel of the issuer understand the nature of their responsibilities and assume the responsibilities specified in SSE listing rules and listing agreement; (3) To assist the bond issuer in applying for a bond listing; (4) To submit the listing recommendation letter to SSE; (5) To ensure that the listing documents are authentic, accurate and complete and conform to prescribed requirements, and that the materials included in the documents have been verified; (6) To assist the bond issuer in arranging the bond listing with the Stock Exchange; and (7) Other obligations to be performed by the listing sponsor as prescribed by SSE. 6. The listing sponsor shall ensure that the listing application materials, listing particulars and other relevant publicity materials do not include any false or misleading statement or material omission, and shall guarantee to assume joint and several liabilities therefor. 7. The listing sponsor may not conduct insider trading by taking advantage of inside information obtained in the course of the listing recommendation process to seek benefits for itself or for others. 8. In the event any listing sponsor fails to comply with the aforesaid provisions, SSE shall deal with the matter in accordance with relevant regulations.
Approval of Corporate Bond Listings
1. The listing committee established by SSE shall examine bond listing applications, make independent and professional judgments, and formulate examination opinions; SSE shall decide whether to approve the listing based on the opinion of the listing committee. 2. The bond issuer shall not, after filing the listing application and before the bond listing is approved, disclose relevant information without the consent of SSE. 3. The issuer and the listing sponsor must complete custody work for listed bonds with the custodian institution designated by SSE before the bonds are listed and traded, and shall submit the list of bondholders to the custodian institution designated by SSE after the same has been verified as correct. The issuer and the listing sponsor shall assume full responsibility for the accuracy of the list. 4. Before bonds are listed and traded, the issuer shall announce the listing particulars in the information disclosure newspapers and periodicals designated by CSRC and/or on the SSE website, and shall make the listing particulars, approval documents, and relevant listing application documents available at designated venues for public reference. 5. Before listing bonds, the issuer shall conclude a listing agreement with SSE.
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Public Issuance of Convertible Corporate Bonds by Listed Companies
In addition to satisfying the general provisions, convertible corporate bonds publicly issued to unspecified targets shall also conform to the following provisions: 1. The weighted average return on net assets for the last three accounting years shall be no lower than 6% on average. Net profit before or after deducting non-recurring profits and losses, whichever the lower, shall serve as the basis for calculating the weighted average return on net assets. 2. The total balance of corporate bonds after the present issue shall not exceed 40% of net assets at the end of the latest period. 3. The average annual distributable profits realized in the last three accounting years shall be no lower than one year’s interest on the corporate bonds. 4. The term for convertible corporate bonds shall be one year at the shortest and six years at the longest; the par value of each bond shall be RMB 100; the interest rate shall be determined through consultation between the issuing company and the lead underwriter, but must conform to relevant state provisions. 5. A qualified credit rating institution shall be appointed to conduct a credit rating and follow-up ratings, and the credit rating institution shall issue a follow-up rating report at least once a year. 6. The listed company shall, within five working days of the maturity of convertible corporate bonds, complete matters relating to the (re)payment of principal and interest on the bond balance. 7. Measures protecting the rights of bondholders, the rights of and procedures for bondholders’ meetings, and the conditions for resolutions to take effect shall be stipulated. 8. A guarantee shall be provided other than for companies with audited net assets of no less than RMB 1.5 billion at the end of the latest period. 9. Convertible corporate bonds shall not be converted into stock until six months after the issue completion date. The term for stock conversion shall be determined by the company based on the term of the convertible bonds and its financial situation. Bondholders shall have the option of converting or not converting their bonds into stock, and shall become shareholders of the issuing company on the day after the stock conversion. 10. The stock conversion price shall be no lower than the average company stock price for the 20 trading days before the announcement of the offering prospectus or than the average price on the previous day. 11. The offering prospectus may specify call provisions stipulating that the listed company may redeem convertible corporate bonds that have not been converted into stock in light of conditions and prices previously agreed upon. 12. The offering prospectus may specify put provisions stipulating that bondholders may sell their bonds back to the listed company in light of conditions and prices previously agreed upon. The offering prospectus shall stipulate that any bondholder is entitled to a one-off sell-back if the listed company changes the purpose for which funds are raised as announced in the prospectus.
Public Issuance of Separately Traded Convertible Corporate Bonds by Listed Companies
In addition to satisfying the general provisions, public issues of separately traded convertible corporate bonds to unspecified targets shall also conform to the following provisions: 10. The audited net assets of the company at the end of the latest period shall be no lower than 1.5 billion RMB. 11. The average annual distributable profits realized in the last three accounting years shall be no lower than one
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year’s interest on the corporate bonds. 12. The net cash flow generated from operating activities in the last three accounting years shall on average be no lower than one year’s interest on the corporate bonds, other than for companies with a weighted average return on net assets for the last three accounting years of no lower than 6% on average. 13. The total balance of corporate bonds after the present issue shall not exceed 40% of net assets at the end of the latest period, and the estimated total amount of funds raised after the attached stock options have been completely exercised shall not exceed the balance of corporate bonds to be issued. 14. The term of separately traded convertible corporate bonds shall be one year at the shortest. 15. An application shall be made for separately traded convertible corporate bonds to be listed and traded on SSE where the listed company’s stock is listed. Where the corporate bonds and stock warrants included in the separately traded convertible corporate bonds respectively satisfy the listing conditions of SSE, they shall be listed separately. 16. Where stock warrants are listed for trading, the factors stipulated by the warrants shall include exercise price, valid term, exercise period or date, and exercise ratio. 17. The exercise price for the stock warrants shall be no lower than the average company stock price for the 20 trading days before the offering prospectus is announced or no lower than the average price on the previous trading day. 18. The valid term of the stock warrants shall neither exceed the term of the corporate bonds nor expire less than six months after the issue completion date. The valid term of the stock warrants as announced in the offer prospectus shall not be adjusted. 19. The stock warrants may not be exercised until at least six months after the issue completion date, and the exercise period shall be a period before expiry of the valid term or specific trading days within the valid term. 20. The offering prospectus for separately traded convertible corporate bonds shall stipulate that any bondholder is entitled to a one-off sell-back if the listed company changes the purpose for which funds are raised as announced in the prospectus.
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Profile of Government Bonds in 2011
Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
010107 21 T-bond (7) Book-entry 239.60 2001-7-31 2001-8-20 2021-7-31 20.00 4.26
010110 21 T-bond(10) Book-entry 200.00 2001-9-25 2001-10-11 2011-9-25 10.00 2.95
010112 21 T-bond(12) Book-entry 200.00 2001-10-30 2001-11-13 2011-10-30 10.00 3.05
010203 02 T-bond(3) Book-entry 200.00 2002-4-18 2002-4-29 2012-4-18 10.00 2.54
010213 02 T-bond(13) Book-entry 240.00 2002-9-20 2002-10-9 2017-9-20 15.00 2.60
010303 03T-bond(3) Book-entry 260.00 2003-4-17 2003-4-25 2023-4-17 20.00 3.40
010308 03 T-bond(8) Book-entry 163.80 2003-9-17 2003-9-25 2013-9-17 10.00 3.02
010404 04 T-bond(4) Book-entry 367.50 2004-5-25 2004-6-7 2011-5-25 7.00 4.89
010407 04 T-bond(7) Book-entry 312.90 2004-8-25 2004-9-6 2011-8-25 7.00 4.71
010410 04 T-bond(10) Book-entry 359.10 2004-11-25 2004-12-6 2011-11-25 7.00 4.86
010501 05 T-bond(1) Book-entry 300.00 2005-2-28 2005-3-11 2015-2-28 10.00 4.44
05 National 010504 Book-entry 339.20 2005-5-15 2005-5-25 2025-5-15 20.00 4.11 Bond(4)
010505 05 T-bond(5) Book-entry 337.80 2005-5-25 2005-6-3 2012-5-25 7.00 3.37
010509 05 T-bond(9) Book-entry 319.40 2005-8-25 2005-9-5 2012-8-25 7.00 2.83
05 National 010512 Book-entry 344.10 2005-11-15 2005-11-24 2020-11-15 15.00 3.65 Bond(12)
010513 05 T-bond(13) Book-entry 328.40 2005-11-25 2005-12-6 2012-11-25 7.00 3.01
010601 06 T-bond(1) Book-entry 330.00 2006-2-27 2006-3-8 2013-2-27 7.00 2.51
010603 06 T-bond(3) Book-entry 340.00 2006-3-27 2006-4-5 2016-3-27 10.00 2.80
010605 06 T-bond(5) Book-entry 308.00 2006-5-16 2006-5-25 2011-5-16 5.00 2.40
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Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
010606 06 T-bond(6) Book-entry 305.60 2006-5-25 2006-6-5 2013-5-25 7.00 2.62
010609 06 T-bond(9) Book-entry 310.90 2006-6-26 2006-7-5 2026-6-26 20.00 3.70
010612 06 T-bond(12) Book-entry 300.00 2006-8-15 2006-8-24 2011-8-15 5.00 2.72
010613 06 T-bond(13) Book-entry 331.00 2006-8-31 2006-9-11 2013-8-31 7.00 2.89
010616 06 T-bond(16) Book-entry 300.00 2006-9-26 2006-10-9 2016-9-26 10.00 2.92
010618 06 T-bond(18) Book-entry 300.00 2006-10-25 2006-11-3 2011-10-25 5.00 2.48
010619 06 T-bond(19) Book-entry 300.00 2006-11-15 2006-11-23 2021-11-15 15.00 3.27
010620 06 T-bond(20) Book-entry 345.90 2006-11-27 2006-12-6 2013-11-27 7.00 2.91
010701 07 T-bond 01 Book-entry 300.00 2007-2-6 2007-2-15 2014-2-6 7.00 2.93
010703 07 T-bond 03 Book-entry 300.00 2007-3-22 2007-4-2 2017-3-22 10.00 3.40
010705 07 T-bond 05 Book-entry 300.00 2007-4-23 2007-4-30 2012-4-23 5.00 3.18
010706 07 T-bond 06 Book-entry 300.00 2007-5-17 2007-5-28 2037-5-17 30.00 4.27
010707 07 T-bond 07 Book-entry 337.80 2007-5-24 2007-6-4 2014-5-24 7.00 3.74
010710 07 T-bond 10 Book-entry 350.70 2007-6-25 2007-7-4 2017-6-25 10.00 4.40
010713 07 T-bond 13 Book-entry 280.00 2007-8-16 2007-8-24 2027-8-16 20.00 4.52
019001 10 T-bond 01 Book-entry 260.00 2010-1-28 2010-2-2 2012-1-28 2.00 2.01
019002 10 T-bond 02 Book-entry 260.00 2010-2-4 2010-2-10 2020-2-4 10.00 3.43
019003 10 T-bond 03 Book-entry 240.00 2010-3-1 2010-3-5 2040-3-1 30.00 4.08
019004 10 T-bond 04 Book-entry 260.00 2010-3-4 2010-3-10 2011-3-4 1.00 1.44
019005 10 T-bond 05 Book-entry 260.00 2010-3-11 2010-3-17 2017-3-11 7.00 2.92
019006 10 T-bond 06 Book-entry 260.00 2010-3-18 2010-3-24 2013-3-18 3.00 2.23
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Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
019007 10 T-bond 07 Book-entry 260.00 2010-3-25 2010-3-31 2020-3-25 10.00 3.36
019008 10 T-bond 08 Book-entry 280.40 2010-4-8 2010-4-14 2015-4-8 5.00 2.70
019009 10 T-bond 09 Book-entry 280.00 2010-4-15 2010-4-21 2030-4-15 20.00 3.96
019010 10 T-bond 10 Book-entry 280.00 2010-4-22 2010-4-28 2017-4-22 7.00 3.01
019011 10 T-bond 11 Book-entry 280.00 2010-4-29 2010-5-6 2011-4-29 1.00 1.49
019012 10 T-bond 12 Book-entry 280.00 2010-5-13 2010-5-19 2020-5-13 10.00 3.25
019013 10 T-bond13 Book-entry 280.00 2010-5-20 2010-5-26 2015-5-20 5.00 2.38
019014 10 T-bond 14 Book-entry 280.00 2010-5-24 2010-5-28 2060-5-24 50.00 4.03
019015 10 T-bond 15 Book-entry 283.10 2010-5-27 2010-6-2 2017-5-27 7.00 2.83
019016 10 T-bond 16 Book-entry 280.00 2010-6-3 2010-6-9 2013-6-3 3.00 2.33
019017 10 T-bond 17 Book-entry 280.00 2010-6-10 2010-6-18 2015-6-10 5.00 2.53
019018 10 T-bond 18 Book-entry 280.00 2010-6-21 2010-6-25 2040-6-21 30.00 4.03
019019 10 T-bond 19 Book-entry 280.10 2010-6-24 2010-6-30 2020-6-24 10.00 3.41
019020 10 T-bond 20 Book-entry 299.70 2010-7-8 2010-7-14 2015-7-8 5.00 2.52
019021 10 T-bond 21 Book-entry 300.10 2010-7-15 2010-7-21 2011-7-15 1.00 1.87
019022 10 T-bond 22 Book-entry 281.90 2010-7-22 2010-7-28 2017-7-22 7.00 2.76
019023 10 T-bond 23 Book-entry 280.00 2010-7-29 2010-8-4 2040-7-29 30.00 3.96
019024 10 T-bond 24 Book-entry 304.40 2010-8-5 2010-8-11 2020-8-5 10.00 3.28
019025 10 T-bond 25 Book-entry 280.00 2010-8-12 2010-8-18 2013-8-12 3.00 2.30
019026 10 T-bond 26 Book-entry 280.00 2010-8-16 2010-8-20 2040-8-16 30.00 3.96
019027 10 T-bond 27 Book-entry 280.00 2010-8-19 2010-8-25 2017-8-19 7.00 2.81
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Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
019028 10 T-bond 28 Book-entry 282.20 2010-8-26 2010-9-1 2015-8-26 5.00 2.58
019029 10 T-bond 29 Book-entry 280.00 2010-9-2 2010-9-8 2030-9-2 20.00 3.82
019030 10 T-bond 30 Book-entry 205.40 2010-9-9 2010-9-15 2011-9-9 1.00 1.87
019031 10 T-bond 31 Book-entry 282.60 2010-9-16 2010-9-21 2020-9-16 10.00 3.29
019032 10 T-bond 32 Book-entry 287.10 2010-10-14 2010-10-20 2017-10-14 7.00 3.10
019033 10 T-bond 33 Book-entry 280.00 2010-10-21 2010-10-27 2015-10-21 5.00 2.91
019034 10 T-bond 34 Book-entry 280.00 2010-10-28 2010-11-3 2020-10-28 10.00 3.67
019035 10 T-bond 35 Book-entry 280.00 2010-11-4 2010-11-10 2013-11-4 3.00 2.68
019036 10 T-bond 36 Book-entry 282.10 2010-11-11 2010-11-17 2011-11-11 1.00 2.15
019037 10 T-bond 37 Book-entry 280.00 2010-11-18 2010-11-24 2060-11-18 50.00 4.40
019038 10 T-bond 38 Book-entry 306.40 2010-11-25 2010-12-1 2017-11-25 7.00 3.83
019039 10 T-bond 39 Book-entry 321.40 2010-12-2 2010-12-8 2015-12-2 5.00 3.64
019040 10 T-bond 40 Book-entry 280.00 2010-12-9 2010-12-15 2040-12-9 30.00 4.23
019041 10 T-bond 41 Book-entry 307.80 2010-12-16 2010-12-22 2020-12-16 10.00 3.77
019101 11 T-bond 01 Book-entry 617.10 2011-1-13 2011-1-19 2012-1-13 1.00 2.81
019102 11 T-bond 02 Book-entry 620.60 2011-1-20 2011-1-26 2021-1-20 10.00 3.94
019103 11 T-bond 03 Book-entry 625.20 2011-1-27 2011-2-1 2018-1-27 7.00 3.83
019104 11 T-bond 04 Book-entry 639.70 2011-2-17 2011-2-23 2016-2-17 5.00 3.60
019105 11 T-bond 05 Book-entry 280.00 2011-2-24 2011-3-2 2041-2-24 30.00 4.31
019106 11 T-bond 06 Book-entry 300.00 2011-3-3 2011-3-9 2018-3-3 7.00 3.75
019107 11 T-bond 07 Book-entry 580.00 2011-3-10 2011-3-16 2014-3-10 3.00 3.22
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Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
019108 11 T-bond 08 Book-entry 300.00 2011-3-17 2011-3-23 2021-3-17 10.00 3.83
019109 11 T-bond 09 Book-entry 433.50 2011-3-24 2011-3-30 2012-3-24 1.00 2.80
019110 11 T-bond 10 Book-entry 580.00 2011-4-28 2011-5-5 2031-4-28 20.00 4.15
019111 11 T-bond 11 Book-entry 301.80 2011-5-5 2011-5-11 2012-5-5 1.00 2.77
019112 11 T-bond 12 Book-entry 300.00 2011-5-26 2011-6-1 2061-5-26 50.00 4.48
019113 11 T-bond 13 Book-entry 600.00 2011-6-2 2011-6-9 2014-6-2 3.00 3.26
019114 11 T-bond 14 Book-entry 600.00 2011-6-9 2011-6-15 2016-6-9 5.00 3.44
019115 11 T-bond 15 Book-entry 619.30 2011-6-16 2011-6-22 2021-6-16 10.00 3.99
019116 11 T-bond 16 Book-entry 580.00 2011-6-23 2011-6-29 2041-6-23 30.00 4.50
019117 11 T-bond 17 Book-entry 600.00 2011-7-7 2011-7-13 2018-7-7 7.00 3.70
019118 11 T-bond 18 Book-entry 300.00 2011-7-14 2011-7-20 2012-7-14 1.00 3.48
019119 11 T-bond 19 Book-entry 630.50 2011-8-18 2011-8-24 2021-8-18 10.00 3.93
019120 11 T-bond 20 Book-entry 325.10 2011-9-15 2011-9-21 2012-9-15 1.00 3.90
019121 11 T-bond 21 Book-entry 586.30 2011-10-13 2011-10-19 2018-10-13 7.00 3.65
019122 11 T-bond 22 Book-entry 293.00 2011-10-20 2011-10-26 2016-10-20 5.00 3.55
019123 11 T-bond 23 Book-entry 2.80 2011-11-10 2011-11-16 2061-11-10 50.00 4.33
019124 11 T-bond 24 Book-entry 560.50 2011-11-17 2011-11-23 2021-11-17 10.00 3.57
019125 11 T-bond 25 Book-entry 280.00 2011-12-8 2011-12-14 2014-12-8 3.00 2.82
019714 07 T-bond 14 Book-entry 326.90 2007-8-23 2007-8-31 2014-8-23 7.00 3.90
019717 07 T-bond 17 Book-entry 280.00 2007-10-22 2007-10-29 2012-10-22 5.00 4.00
019718 07 T-bond 18 Book-entry 324.70 2007-11-26 2007-12-5 2014-11-26 7.00 4.35
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Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
019801 08 T-bond 01 Book-entry 289.70 2008-2-13 2008-2-21 2015-2-13 7.00 3.95
019802 08 T-bond 02 Book-entry 280.00 2008-2-28 2008-3-6 2023-2-28 15.00 4.16
019803 08 T-bond 03 Book-entry 279.40 2008-3-20 2008-3-28 2018-3-20 10.00 4.07
019804 08 T-bond 04 Book-entry 260.00 2008-4-14 2008-4-21 2011-4-14 3.00 3.56
019805 08 T-bond 05 Book-entry 280.00 2008-4-21 2008-4-28 2013-4-21 5.00 3.69
019806 08 T-bond 06 Book-entry 280.00 2008-5-8 2008-5-16 2038-5-8 30.00 4.50
019807 08 T-bond 07 Book-entry 271.50 2008-5-19 2008-5-26 2015-5-19 7.00 4.01
019810 08 T-bond 10 Book-entry 266.50 2008-6-23 2008-7-1 2018-6-23 10.00 4.41
019811 08 T-bond 11 Book-entry 245.90 2008-7-14 2008-7-21 2011-7-14 3.00 3.92
019813 08 T-bond 13 Book-entry 240.00 2008-8-11 2008-8-18 2028-8-11 20.00 4.94
019814 08 T-bond 14 Book-entry 266.00 2008-8-18 2008-8-25 2015-8-18 7.00 4.23
019817 08 T-bond 17 Book-entry 260.00 2008-9-16 2008-9-22 2013-9-16 5.00 3.69
019818 08 T-bond 18 Book-entry 243.60 2008-9-22 2008-9-26 2018-9-22 10.00 3.68
019819 08 T-bond 19 Book-entry 233.80 2008-10-13 2008-10-17 2011-10-13 3.00 2.64
019820 08 T-bond 20 Book-entry 240.00 2008-10-23 2008-10-31 2038-10-23 30.00 3.91
019822 08 T-bond 22 Book-entry 225.00 2008-11-24 2008-11-28 2015-11-24 7.00 2.71
019823 08 T-bond 23 Book-entry 240.00 2008-11-27 2008-12-4 2023-11-27 15.00 3.62
019825 08 T-bond 25 Book-entry 253.70 2008-12-15 2008-12-19 2018-12-15 10.00 2.90
019826 08 T-bond 26 Book-entry 260.00 2008-12-18 2008-12-24 2013-12-18 5.00 1.77
019901 09 T-bond 01 Book-entry 269.30 2009-2-12 2009-2-18 2016-2-12 7.00 2.76
019902 09 T-bond 02 Book-entry 220.00 2009-2-19 2009-2-25 2029-2-19 20.00 3.86
2012 Fact Book 138 2012 Fact Book 139 Bond Market Bond Market
Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
019903 09 T-bond 03 Book-entry 260.00 2009-3-12 2009-3-18 2019-3-12 10.00 3.05
019904 09 T-bond 04 Book-entry 564.30 2009-4-2 2009-4-9 2014-4-2 5.00 2.29
019905 09 T-bond 05 Book-entry 220.00 2009-4-9 2009-4-16 2039-4-9 30.00 4.02
019906 09 T-bond 06 Book-entry 252.10 2009-4-16 2009-4-22 2016-4-16 7.00 2.82
019907 09 T-bond 07 Book-entry 277.60 2009-5-7 2009-5-13 2019-5-7 10.00 3.02
019909 09 T-bond 09 Book-entry 273.00 2009-5-21 2009-5-27 2012-5-21 3.00 1.55
019910 09 T-bond10 Book-entry 295.00 2009-6-4 2009-6-10 2014-6-4 5.00 2.26
019911 09 T-bond11 Book-entry 280.00 2009-6-11 2009-6-17 2024-6-11 15.00 3.69
019912 09 T-bond12 Book-entry 282.70 2009-6-18 2009-6-24 2019-6-18 10.00 3.09
019913 09 T-bond13 Book-entry 280.00 2009-6-25 2009-7-1 2016-6-25 7.00 2.82
019915 09 T-bond 15 Book-entry 280.00 2009-7-16 2009-7-22 2012-7-16 3.00 2.22
019916 09 T-bond 16 Book-entry 283.00 2009-7-23 2009-7-29 2019-7-23 10.00 3.48
019917 09 T-bond 17 Book-entry 260.00 2009-7-30 2009-8-5 2016-7-30 7.00 3.15
019918 09 T-bond 18 Book-entry 275.80 2009-8-6 2009-8-12 2014-8-6 5.00 2.97
019919 09 T-bond 19 Book-entry 267.30 2009-8-20 2009-8-26 2016-8-20 7.00 3.17
019920 09 T-bond 20 Book-entry 260.00 2009-8-27 2009-9-2 2029-8-27 20.00 4.00
019922 09 T-bond 22 Book-entry 268.60 2009-9-10 2009-9-16 2012-9-10 3.00 2.18
019923 09 T-bond 23 Book-entry 266.40 2009-9-17 2009-9-23 2019-9-17 10.00 3.44
019924 09 T-bond 24 Book-entry 268.00 2009-9-24 2009-9-30 2014-9-24 5.00 2.90
019925 09 T-bond 25 Book-entry 240.00 2009-10-15 2009-10-21 2039-10-15 30.00 4.18
019926 09 T-bond 26 Book-entry 274.90 2009-10-22 2009-10-28 2016-10-22 7.00 3.40
2012 Fact Book 138 2012 Fact Book 139 Bond Market Bond Market
Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
019927 09 T-bond 27 Book-entry 272.40 2009-11-5 2009-11-11 2019-11-5 10.00 3.68
019929 09 T-bond 29 Book-entry 276.30 2009-11-19 2009-12-11 2012-11-19 3.00 2.42
019930 09 T-bond 30 Book-entry 200.00 2009-11-30 2009-12-11 2059-11-30 50.00 4.30
019931 09 T-bond 31 Book-entry 273.90 2009-12-3 2009-12-9 2014-12-3 5.00 2.90
019932 09 T-bond 32 Book-entry 271.20 2009-12-17 2009-12-23 2016-12-17 7.00 3.22
10 Discounted 020028 Book-entry 158.10 2010-4-12 2010-4-16 2011-1-10 .75 0.00 Bond 02 10 Discounted 020031 Book-entry 173.70 2010-5-17 2010-5-21 2011-2-14 .75 0.00 Bond 05 10 Discounted 020033 Book-entry 177.50 2010-6-14 2010-6-22 2011-3-14 .75 0.00 Bond 07 10 Discounted 020034 Book-entry 200.00 2010-7-12 2010-7-16 2011-1-10 .50 0.00 Bond 08 10 Discounted 020035 Book-entry 200.00 2010-7-26 2010-7-30 2011-1-24 .50 0.00 Bond 09 10 Discounted 020036 Book-entry 100.00 2010-8-9 2010-8-13 2011-5-9 .75 0.00 Bond 10 10 Discounted 020037 Book-entry 200.00 2010-8-23 2010-8-27 2011-2-21 .50 0.00 Bond 11 10 Discounted 020039 Book-entry 200.00 2010-9-20 2010-9-27 2011-3-21 .50 0.00 Bond 13 10 Discounted 020040 Book-entry 280.00 2010-10-25 2010-10-29 2011-1-24 .25 0.00 Bond 14 10 Discounted 020041 Book-entry 280.00 2010-11-1 2010-11-5 2011-1-31 .25 0.00 Bond 15 10 Discounted 020042 Book-entry 100.00 2010-11-15 2010-11-19 2011-5-16 .50 0.00 Bond 16 10 Discounted 020043 Book-entry 115.50 2010-11-29 2010-12-3 2011-2-28 .25 0.00 Bond 17 10 Discounted 020044 Book-entry 100.00 2010-12-13 2010-12-17 2011-9-12 .75 0.00 Bond 18 10 Discounted 020045 Book-entry 167.60 2010-12-27 2010-12-31 2011-3-28 .25 0.00 Bond 19 11 Discounted 020046 Book-entry 100.00 2011-4-18 2011-4-22 2011-7-18 .25 0.00 Bond 01 11 Discounted 020047 Book-entry 96.30 2011-5-16 2011-5-20 2011-11-14 .50 0.00 Bond 02
2012 Fact Book 140 2012 Fact Book 141 Bond Market Bond Market
Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
11 Discounted 020048 Book-entry 117.60 2011-7-11 2011-7-15 2012-1-9 .50 0.00 Bond 03 11 Discounted 020049 Book-entry 150.00 2011-8-8 2011-8-12 2012-5-7 .75 0.00 Bond 04 11 Discounted 020050 Book-entry 150.00 2011-9-19 2011-9-23 2012-3-19 .50 0.00 Bond 05
130000 09 Xinjiang 01 30.00 2009-3-30 2009-4-3 2012-3-30 3.00 1.61
130001 09 Anhui 01 40.00 2009-4-1 2009-4-8 2012-4-1 3.00 1.60
130002 09 Henan 01 50.00 2009-4-7 2009-4-13 2012-4-7 3.00 1.63
130003 09 Sichuan 01 90.00 2009-4-8 2009-4-14 2012-4-8 3.00 1.65
09 Chongqing 130004 58.00 2009-4-13 2009-4-17 2012-4-13 3.00 1.70 Bond
130005 09 Liaoning 01 30.00 2009-4-14 2009-4-20 2012-4-14 3.00 1.75
130006 09 Tianjin Bond 26.00 2009-4-14 2009-4-20 2012-4-14 3.00 1.78
09 Shandong 130007 30.00 2009-4-16 2009-4-22 2012-4-16 3.00 1.80 01 09 Jiangsu 130008 84.00 2009-4-20 2009-4-24 2012-4-20 3.00 1.82 Bond
130009 09 Jilin 01 30.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82
09 Qingdao 130010 11.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82 Bond
130011 09 Hubei 01 50.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82
09 Qinghai 130012 29.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82 Bond
130013 09 Hebei 01 40.00 2009-4-30 2009-5-7 2012-4-30 3.00 1.80
130014 09 Neimeng 01 30.00 2009-4-30 2009-5-7 2012-4-30 3.00 1.80
130015 09 Shaanxi 01 36.00 2009-4-30 2009-5-7 2012-4-30 3.00 1.80
09 Longjiang 130016 30.00 2009-5-11 2009-5-15 2012-5-11 3.00 1.77 01 09 Yunnan 130017 84.00 2009-5-11 2009-5-15 2012-5-11 3.00 1.77 Bond
2012 Fact Book 140 2012 Fact Book 141 Bond Market Bond Market
Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
130018 09 Zhejiang 01 40.00 2009-5-11 2009-5-15 2012-5-11 3.00 1.77
130019 09 Dalian Bond 10.00 2009-5-14 2009-5-20 2012-5-14 3.00 1.71
130020 09 Sichuan 02 90.00 2009-5-14 2009-5-20 2012-5-14 3.00 1.71
130021 09 Hubei 02 31.00 2009-5-14 2009-5-20 2012-5-14 3.00 1.71
130022 09 Guangxi 01 35.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67
130023 09 Beijing Bond 56.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67
09 Shanghai 130024 40.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67 01
130025 09 Henan 02 38.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67
130026 09 Hunan Bond 82.00 2009-6-9 2009-6-15 2012-6-9 3.00 1.70
130027 09 Fujian Bond 26.00 2009-6-9 2009-6-15 2012-6-9 3.00 1.70
09 Ningxia 130028 30.00 2009-6-9 2009-6-15 2012-6-9 3.00 1.70 Bond 09 Jiangxi 130029 62.00 2009-6-15 2009-6-19 2012-6-15 3.00 1.72 Bond 09 Guizhou 130030 37.00 2009-6-15 2009-6-19 2012-6-15 3.00 1.72 Bond
130031 09 Anhui 02 64.00 2009-6-15 2009-6-19 2012-6-15 3.00 1.72
09 Guangdong 130032 85.00 2009-6-23 2009-6-29 2012-6-23 3.00 1.75 Bond 09 Xiamen 130033 8.00 2009-6-23 2009-6-29 2012-6-23 3.00 1.75 Bond 09 Hainan 130034 29.00 2009-6-23 2009-6-29 2012-6-23 3.00 1.75 Bond
130035 09 Shanxi Bond 53.00 2009-6-29 2009-7-3 2012-6-29 3.00 1.76
130036 09 Gansu Bond 65.00 2009-6-29 2009-7-3 2012-6-29 3.00 1.76
09 Ningbo 130037 15.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79 Bond 09 Shenzhen 130038 24.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79 Bond
2012 Fact Book 142 2012 Fact Book 143 Bond Market Bond Market
Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
130039 09 Xinjiang 02 25.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79
09 Shandong 130040 29.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79 02
130041 09 Liaoning 02 26.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79
130042 09 Jilin 02 25.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36
130043 09 Guangxi 02 30.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36
09 Longjiang 130044 30.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36 02
130045 09 Neimeng 02 27.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36
130046 09 Hebei 02 20.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24
09 Shanghai 130047 36.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24 02
130048 09 Zhejiang 02 27.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24
130049 09 Shaanxi 02 27.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24
10 Local Bond 130050 286.00 2010-6-21 2010-6-28 2013-6-21 3.00 2.77 01 10 Local Bond 130051 152.00 2010-6-21 2010-6-28 2015-6-21 5.00 2.90 02 10 Local Bond 130052 232.00 2010-7-19 2010-7-23 2013-7-19 3.00 2.33 03 10 Local Bond 130053 284.00 2010-8-10 2010-8-16 2013-8-10 3.00 2.37 04 10 Local Bond 130054 186.00 2010-8-10 2010-8-16 2015-8-10 5.00 2.67 05 10 Local Bond 130055 195.00 2010-8-24 2010-8-30 2013-8-24 3.00 2.37 06 10 Local Bond 130056 206.00 2010-9-7 2010-9-13 2013-9-7 3.00 2.36 07 10 Local Bond 130057 152.00 2010-9-7 2010-9-13 2015-9-7 5.00 2.67 08 10 Local Bond 130058 181.00 2010-11-15 2010-11-19 2013-11-15 3.00 3.23 09 10 Local Bond 130059 126.00 2010-11-15 2010-11-19 2015-11-15 5.00 3.70 10
2012 Fact Book 142 2012 Fact Book 143 Bond Market Bond Market
Issue size Issuance Interest Code Short Name (RMB 100 Value date Listing date Maturity date Years method rate (%) million)
11 Local Bond 130060 254.00 2011-7-12 2011-7-18 2016-7-12 5.00 3.84 01 11 Local Bond 130061 239.40 2011-7-12 2011-7-18 2014-7-12 3.00 3.93 02 11 Local Bond 130062 226.60 2011-8-2 2011-8-8 2014-8-2 3.00 4.07 03 11 Local Bond 130063 220.00 2011-8-9 2011-8-15 2016-8-9 5.00 4.12 04 11 Local Bond 130064 236.00 2011-8-23 2011-8-29 2014-8-23 3.00 4.01 05 11 Local Bond 130065 240.00 2011-8-30 2011-9-5 2016-8-30 5.00 4.30 06 11 Local Bond 130066 176.00 2011-10-18 2011-10-24 2014-10-18 3.00 3.67 07 11 Local Bond 130067 179.00 2011-10-25 2011-10-31 2016-10-25 5.00 3.70 08 11 Shanghai 130068 36.00 2011-11-16 2011-11-22 2014-11-16 3.00 3.10 01 11 Shanghai 130069 35.00 2011-11-16 2011-11-22 2016-11-16 5.00 3.30 02 11 Guangdong 130070 34.50 2011-11-21 2011-11-25 2014-11-21 3.00 3.08 01 11 Guangdong 130071 34.50 2011-11-21 2011-11-25 2016-11-21 5.00 3.29 02
130072 11 Zhejiang 01 33.00 2011-11-22 2011-11-28 2014-11-22 3.00 3.01
130073 11 Zhejiang 02 34.00 2011-11-22 2011-11-28 2016-11-22 5.00 3.24
11 Shenzhen 130074 11.00 2011-11-28 2011-12-2 2014-11-28 3.00 3.03 01 11 Shenzhen 130075 11.00 2011-11-28 2011-12-2 2016-11-28 5.00 3.25 02
2012 Fact Book 144 2012 Fact Book 145 Bond Market Bond Market
Summary of Corporate Bonds in 2011(Including Convertible Bond)
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
110003 Xinyu Steel 27.60 2013-8-20 116.02 100.39 120.60 99.02 543255.68
110007 Bohui 9.75 2014-9-23 118.18 96.38 120.48 95.77 81982.20
110009 Shuangliang Convertible Bond 7.20 2015-5-4 127.56 97.12 129.28 95.70 117035.07
110011 Gehua Convertible Bond 16.00 2016-11-25 122.51 92.58 126.90 86.91 256684.99
Ningbo Marine Convertible 110012 7.20 2016-1-7 123.51 92.32 127.38 91.70 296378.01 Bond SDIC Power Convertible 110013 34.00 2017-1-25 118.11 97.30 127.98 91.00 1021031.90 Bond
110015 Sinopec Convertible Bond 230.00 2017-2-23 108.00 100.85 119.10 85.95 5222174.97
Sichuan Investment 110016 21.00 2017-3-21 116.02 92.47 122.50 87.54 473379.39 Convertible Bond China Shipping Development 110017 39.50 2017-8-1 103.02 91.95 104.78 89.90 300314.73 Convertible Bond China Guodian Convertible 110018 55.00 2017-8-19 102.00 106.14 109.11 96.50 642957.36 Bond Chengxing Industrial 110078 4.40 2012-5-10 123.32 106.34 143.00 105.37 142431.45 Convertible Bond
113001 BOC Convertible Bond 400.00 2016-6-2 110.20 94.95 112.01 89.30 6500096.80
113002 ICBC Convertible Bond 250.00 2016-8-31 118.52 106.65 124.11 101.25 4813681.68
120101 01 China Mobile 50.00 2011-6-17 100.02 99.99 100.48 95.91 61253.89
120102 01 Three Gorges 30.00 2016-11-8 100.55 101.00 101.50 89.23 1377.81
120201 02 Three Gorges 50.00 2022-9-20 96.48 95.80 104.47 87.10 1506.97
120203 02 China Mobile 50.00 2017-10-27 100.40 96.90 102.47 90.21 228.94
120204 02 Jiangsu Communication 15.00 2017-12-11 99.20 94.50 105.00 88.00 230.46
02 Chongqing City 120205 15.00 2012-12-8 100.10 99.60 100.50 96.00 28005.31 Construction
120288 002 Jinmao 10.00 2012-4-28 100.00 99.99 101.00 94.01 27620.75
2012 Fact Book 144 2012 Fact Book 145 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
120301 03 Shanghai Rail 40.00 2018-2-19 92.16 96.05 101.98 82.08 456.99
03 Suzhou Development 120302 10.00 2013-7-17 100.75 99.95 110.01 88.99 62619.94 Zone
120303 03 Three Gorges 30.00 2033-7-31 101.00 98.62 103.95 93.08 249.32
120304 03 Power 30.00 2013-12-30 99.60 99.60 104.49 93.00 1267.45
120305 03 Power 20.00 2013-12-30 100.00 100.00 101.99 93.00 13994.50
120306 03 China Power Investment 30.00 2018-12-7 100.60 99.00 102.49 94.02 1784.22
120307 03 Pudong Development 15.00 2013-1-12 100.70 99.55 109.00 90.92 1620.14
120308 03 Huhangyong 10.00 2013-1-23 100.70 99.42 100.90 90.00 1576.78
120309 03 Jiangsu Communication 18.00 2013-11-20 99.99 99.40 104.00 91.01 10816.96
120310 03 China Netcom 40.00 2013-12-3 99.89 100.00 101.88 91.00 3709.60
120311 03 China Netcom 10.00 2013-12-3 101.00 100.50 101.00 90.50 31110.32
120482 04 China General 10.00 2014-3-30 99.40 99.98 100.49 96.20 654.40
120483 04 China Petroleum 35.00 2014-2-23 99.80 99.00 109.01 90.02 2366.17
120485 04 Guodian (1) 24.44 2014-9-21 101.00 100.00 109.00 91.00 617.91
120486 04 Guodian (2) 15.56 2019-9-21 0.00 104.95 0.00 0.00 0.00
120488 Beijing Metro 20.00 2014-12-14 104.40 101.50 104.99 92.00 572.65
120489 04 South China Grid (1) 10.00 2014-9-16 100.80 100.00 111.00 91.00 447.71
120490 04 South China Grid (2) 20.00 2019-9-16 102.66 103.00 103.00 102.65 85205.76
120501 05 Shenergy 10.00 2015-2-1 103.50 102.19 114.02 95.20 2369.36
120502 05 Suzhou Yuan Construction 12.00 2015-5-18 100.00 99.00 101.00 93.00 65.68
120503 05 Chongqing Water 17.00 2015-4-25 100.69 100.77 101.72 98.01 2065.77
120505 05 China Power 20.00 2015-6-29 99.99 98.00 103.00 93.50 37.72
2012 Fact Book 146 2012 Fact Book 147 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
120506 05 Datang 30.00 2020-4-28 0.00 108.00 0.00 0.00 0.00
120508 05 Rail 50.00 2020-7-28 103.00 94.00 103.19 80.09 1806.39
120509 05 State Grid (1) 30.00 2015-7-7 98.80 115.09 115.09 85.02 100.10
120510 05 State Grid (2) 10.00 2015-7-7 100.01 101.00 109.00 94.98 362.93
120511 05 Shanghai Construction (1) 20.00 2015-7-26 99.80 96.20 107.35 96.20 5.11
120512 05 Shanghai Construction (2) 10.00 2020-7-26 80.01 90.98 98.18 76.11 4.19
120516 05 China Power Investment 20.00 2015-7-11 96.48 98.99 99.60 96.48 1740.61
120518 05 Beijing Power (2) 5.00 2012-7-5 108.00 100.00 108.00 95.20 5.15
120519 05 Huaneng 20.00 2015-7-4 92.01 98.00 98.00 92.01 1.90
05 Hangzhou 120520 10.00 2015-6-19 100.00 96.99 100.88 85.20 141.62 Urban Construction
120521 05 Air China 30.00 2015-9-6 90.21 100.00 100.00 90.21 7.49
120522 05 Railcom 10.00 2015-8-17 0.00 100.00 0.00 0.00 0.00
120523 05 Fujian Expressway 20.00 2015-6-9 101.76 97.80 101.76 92.00 110.94
120525 05 China Nuclear (1) 10.00 2015-7-21 98.13 106.95 106.95 85.25 11.75
120527 05 Wuhan Urban Investment 10.00 2020-12-25 93.52 96.00 97.78 89.50 38.24
120528 05 World Expo 15.00 2012-12-27 99.00 99.95 105.00 90.29 1211.34
120529 05 Ningxia Coal 10.00 2020-9-15 96.00 94.33 108.88 86.50 15.83
120601 06 Datang 20.00 2026-2-15 0.00 96.49 0.00 0.00 0.00
120602 06 Hebei Construction 10.00 2026-3-27 95.50 93.50 99.99 90.01 16.71
120603 06 China Aerospace 20.00 2021-4-17 96.00 93.00 97.00 78.00 2092.57
120604 06 State Grid (1) 10.00 2016-5-28 95.60 95.79 100.00 90.00 589.71
120605 06 Three Gorges 30.00 2026-5-10 87.28 89.00 89.00 80.69 55912.14
2012 Fact Book 146 2012 Fact Book 147 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
120606 06 Zhangjiang 6.00 2013-5-18 101.20 98.91 101.20 96.19 1480.01
120607 06 Shanghai Water 15.00 2021-6-28 0.00 98.70 0.00 0.00 0.00
120608 06 Shandong Expressway 10.00 2026-4-6 97.00 95.00 118.88 75.23 15.47
120609 06 Jiangxi Investment 8.00 2021-9-10 85.50 85.50 85.50 85.50 0.43
06 Hefei Urban Construction 120610 10.00 2016-9-19 0.00 137.11 0.00 0.00 0.00 Development
120701 07 World Expo (1) 20.00 2017-2-14 97.84 99.80 107.04 90.03 81.18
120702 07 World Expo 20.00 2022-2-14 96.00 93.97 104.00 86.19 84.60
122000 07 Yangtze Powe 40.00 2017-9-24 100.11 100.97 110.18 92.00 1310.46
122001 07 Offshore Oil Engineering 12.00 2017-11-9 123.88 102.50 125.00 88.88 6980.17
122002 07 Huaneng G1 10.00 2012-12-25 104.20 100.99 107.00 96.80 40295.27
122003 07 Huaneng G2 17.00 2014-12-25 97.26 104.00 105.98 97.26 4303.75
122004 07 Huaneng G3 33.00 2017-12-25 99.68 100.00 113.00 98.00 5697.07
122005 08 Vanadium and Titanium 13.00 2013-2-28 104.58 101.50 110.55 99.92 116986.36
122006 08 Gemdale 12.00 2016-3-10 105.80 101.50 105.80 99.31 19463.08
122007 08 Laiwu Steel 20.00 2018-3-25 104.00 101.00 107.40 90.00 86107.43
122008 08 Huaneng G1 40.00 2018-5-8 104.50 100.98 113.00 94.50 10336.83
122009 08 Xinhu 14.00 2016-7-2 108.29 102.83 110.89 100.25 356878.38
122010 08 Jiangsu Expressway 11.00 2011-7-28 101.34 100.00 101.59 98.00 72607.30
122011 08 Kingfa 10.00 2013-7-24 105.95 103.08 107.05 101.20 159647.50
122012 08 Poly 43.00 2013-7-11 106.50 102.80 106.71 95.79 97741.73
122013 08 North Star 17.00 2013-7-18 106.50 101.87 107.50 100.50 187962.35
122014 09 Yuyuan 5.00 2014-7-17 103.80 101.60 103.80 95.01 63525.18
2012 Fact Book 148 2012 Fact Book 149 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122015 09 Yangtze Power 35.00 2019-7-30 99.69 99.00 99.69 82.44 3687.09
122016 09 China National Materials 25.00 2016-7-29 99.45 98.00 101.00 90.55 41.76
122017 09 Datang 30.00 2019-8-17 98.55 98.00 100.00 90.38 78.98
09 China Communications 122018 21.00 2014-8-21 99.01 99.50 99.50 98.31 45705.56 Construction G1 09 China Communications 122019 79.00 2019-8-21 106.00 119.98 119.98 106.00 22000.45 G2
122020 09 Forte Land 19.00 2014-9-22 104.79 98.70 107.77 95.20 337871.30
122021 09 Guanghui 10.00 2016-8-26 106.00 100.60 106.00 93.28 264428.02
122022 09 Chengtou 20.00 2014-9-11 0.00 100.00 0.00 0.00 0.00
122023 09 Wanye 10.00 2014-9-17 105.00 94.05 107.20 93.29 134216.11
122024 09 Guoyang 14.00 2014-9-15 101.00 99.01 102.15 95.50 30732.51
122025 09 Beijing Capital Land 10.00 2014-9-24 100.00 99.38 112.00 80.19 92964.84
122026 09 Foton 10.00 2014-9-23 100.00 98.40 125.00 98.40 10885.45
122027 09 Beijing Urban Construction 9.00 2016-9-28 104.95 99.90 107.00 95.00 84731.88
122028 09 Huafa 18.00 2017-10-16 105.00 98.41 105.56 93.88 194888.16
122029 09 Vantone 10.00 2014-10-14 103.20 101.79 108.70 95.00 97401.69
09 Beijing Hualian 122030 7.00 2015-11-2 102.51 100.00 110.60 92.89 78651.50 Department Store
122031 09 Tianjin Realty 3.00 2012-10-19 103.80 100.10 104.30 97.80 59766.37
122032 09 Tunnel 14.00 2016-10-21 101.60 97.21 102.99 93.20 5269.13
122033 09 R&F Properties 55.00 2014-10-23 103.77 100.23 104.53 95.06 728743.63
122034 09 China Enterprise 12.00 2014-10-27 105.50 98.48 115.01 95.00 34692.90
122035 09 Suzhou Hi-Tech 10.00 2014-11-9 101.00 99.99 107.00 92.01 94704.44
122036 09 Shanghai Zhangjiang 20.00 2014-12-9 102.50 98.49 110.00 90.62 214825.34
2012 Fact Book 148 2012 Fact Book 149 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122037 09 Sanyou 9.60 2017-11-26 103.60 103.00 103.60 102.00 163355.29
122038 09 Xingang Hi-tech 10.00 2014-12-8 101.01 99.45 102.20 91.00 21753.42
122039 09 Anhui Expressway 20.00 2014-12-17 0.00 104.55 0.00 0.00 0.00
122040 09 New Huang Pu 10.00 2014-12-16 100.44 96.69 108.00 91.01 103553.92
122041 09 Zhaojin 15.00 2016-12-23 100.00 102.00 102.00 98.00 33791.66
122042 09 Jinfeng 6.00 2012-12-25 100.81 99.18 106.66 85.08 79068.96
122043 09 Zijiang 10.00 2017-12-28 104.99 97.33 106.90 91.05 73663.53
122044 10 Lianyungang 6.50 2015-1-25 101.45 99.60 102.63 82.05 95662.72
122045 10 Chinese Railway G1 10.00 2015-1-27 100.00 100.00 100.00 99.00 33817.93
122046 10 Chinese Railway G2 50.00 2020-1-27 105.00 119.93 119.93 105.00 0.45
122047 10 Capital Airport 01 19.00 2015-2-3 98.32 106.00 106.00 97.60 77973.46
122048 10 Capital Airport 02 30.00 2017-2-3 0.00 100.00 0.00 0.00 0.00
122049 10 Yingkou Port 12.00 2018-3-2 102.00 98.40 103.20 94.15 204096.87
122050 10 Shanshan 6.00 2017-3-26 99.40 96.68 100.00 88.66 72682.06
122051 10 Sinopec 01 110.00 2015-5-21 96.60 99.85 105.00 88.03 251854.44
122052 10 Sinopec 02 90.00 2020-5-21 98.95 94.99 99.75 85.03 45326.21
122053 10 Taihao 5.00 2015-9-27 95.00 102.99 110.00 95.00 36878.10
122054 10 Chinese Railway G3 25.00 2020-10-19 96.00 91.50 96.50 71.11 382.16
122055 10 Chinese Railway G4 35.00 2025-10-19 94.20 90.00 101.64 82.03 80.49
122056 10 Longyuan 01 20.00 2015-12-10 0.00 100.00 0.00 0.00 0.00
122057 10 Longyuan 02 20.00 2020-12-10 0.00 100.00 0.00 0.00 0.00
122058 10 Yuyuan Garden 5.00 2015-12-22 100.05 100.55 110.00 93.02 79247.29
2012 Fact Book 150 2012 Fact Book 151 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122059 10 Chongqing Iron & Steel 20.00 2017-12-9 100.89 97.77 102.70 91.50 274472.57
122060 10 Yinge 7.50 2017-12-22 101.82 93.49 105.80 88.88 181484.89
122061 11 Western Mining 01 20.00 2016-1-17 100.50 100.00 100.50 99.10 1943.79
122062 11 Western Mining 02 20.00 2021-1-17 0.00 100.00 0.00 0.00 15112.10
122063 11 Longyuan 01 15.00 2016-1-21 0.00 100.00 0.00 0.00 0.00
122064 11 Longyuan 02 15.00 2021-1-21 0.00 100.00 0.00 0.00 0.00
11 Shanghai International 122065 50.00 2016-3-30 100.00 104.51 105.00 88.01 506881.27 Port 01
122066 11 Datang 01 30.00 2021-4-20 98.75 100.00 101.90 96.00 2446.22
122067 11 Nanjing Iron & Steel Bond 40.00 2018-5-6 100.50 98.00 110.00 90.00 382370.18
122068 11 Conch Cement 01 70.00 2016-5-23 99.80 99.86 100.49 97.50 397336.02
122069 11 Conch Cement 02 25.00 2018-5-23 100.00 100.50 100.50 95.00 32408.39
122070 11 Hainan Airlines 01 35.60 2016-5-24 99.50 98.49 100.00 90.01 777860.58
122071 11 Hainan Airlines 02 14.40 2021-5-24 99.60 98.49 105.00 90.00 736502.39
122072 11 Dalian Port 23.50 2021-5-23 99.89 99.90 99.99 90.80 10450.09
122073 11 Yunwei Bond 10.00 2018-6-1 99.00 98.56 103.00 95.68 22452.58
122074 11 Silan Microelectronics 6.00 2016-6-9 99.59 97.00 99.60 95.00 19610.31
122075 11 Liuzhou Iron & Steel Bond 20.00 2019-6-1 100.00 97.99 100.00 90.00 28283.83
122076 11 Conba 6.00 2016-6-8 100.00 97.50 100.00 95.80 11417.10
122077 11 Western Steel Bond 10.00 2019-6-15 90.90 98.00 99.77 90.10 12843.87
122078 11 Dongyangguang 9.00 2016-6-15 99.01 98.69 99.40 90.00 84648.93
11 Shanghai International 122079 30.00 2016-7-6 100.00 105.53 106.00 93.01 49530.36 Port 02
122080 11 Kangmei Bond 25.00 2018-6-21 100.96 100.83 101.50 97.00 257471.54
2012 Fact Book 150 2012 Fact Book 151 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122081 11 Star Lake Bond 6.40 2017-7-7 100.00 103.00 103.00 88.20 40950.78
11 Nanhai Development 122082 6.50 2016-7-7 0.00 100.00 0.00 0.00 34950.00 Bond
122083 11 Tianwei Bond 16.00 2018-7-11 100.09 102.00 102.00 90.00 36698.78
122084 11 Xiangtan Electric Bond 9.50 2016-7-15 99.56 99.89 100.00 89.45 5072.19
122085 11 Shenzhen Expressway 15.00 2016-7-27 99.60 100.50 102.00 91.00 11025.57
122086 11 Chint Bond 15.00 2016-7-20 95.05 100.75 101.00 92.00 25412.20
11 Lingyuan Iron & Steel 122087 14.80 2019-8-1 100.05 102.00 102.00 100.00 3200.30 Bond
122088 11 Zongyi Bond 7.00 2016-8-31 99.98 95.20 99.98 92.00 41621.63
122089 11 Maanshan Steel 01 31.60 2014-8-25 99.00 102.53 103.00 90.00 571758.51
122090 11 Maanshan Steel 02 23.40 2016-8-25 100.00 102.50 103.86 100.00 226074.96
11 Chongqing Machinery & 122091 10.00 2016-8-17 99.99 103.00 103.00 99.60 5171.99 Electric
122092 11 Daqin Railway 01 40.00 2013-8-18 99.95 101.18 101.92 99.46 221218.20
122093 11 Zhongfu Industrial Bond 15.00 2019-8-29 96.19 97.77 99.80 95.40 99857.42
11 Hisun Pharmaceuticals 122094 8.00 2016-8-25 100.00 102.00 102.00 100.00 4000.10 Bond 11 Hangzhou Iron&Steel 122095 14.00 2014-8-24 99.90 100.00 101.00 98.30 75980.18 Bond
122096 11 Joincare 10.00 2018-10-28 100.50 103.00 104.18 100.00 30237.20
122097 11 Pudong Road & Bridge 7.00 2016-10-24 103.00 102.20 103.00 101.00 39993.37
122098 11 Bayi Iron & Steel Bond 12.00 2014-9-16 101.50 102.30 103.00 101.50 41445.21
122099 11 Dalian Port 02 26.50 2018-9-26 0.00 100.00 0.00 0.00 0.00
122100 11 Huayi Electric Bond 7.00 2016-11-9 100.00 99.98 100.83 99.00 26178.09
122102 11 Guanghui 01 20.00 2017-11-3 101.99 101.15 102.00 100.50 62496.76
11 Datang Renewable Power 122106 42.00 2016-11-8 100.50 101.99 110.00 100.50 206295.69 01
2012 Fact Book 152 2012 Fact Book 153 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122107 11 Anyang Iron & Steel 01 10.00 2018-11-11 102.00 101.46 102.00 100.00 34658.46
122108 11 Suntien Green Energy 01 10.00 2017-11-18 100.01 100.12 100.98 99.00 353.02
122109 11 Suntien Green Energy 02 10.00 2018-11-18 0.00 100.00 0.00 0.00 20000.00
122110 11 Joinworld Bond 13.70 2018-11-17 99.90 100.50 100.50 99.90 38065.36
122784 11 ZTEHoldings 10.00 2019-10-28 101.00 101.00 101.00 101.00 0.10
122788 11 Sanming Bond 10.00 2018-6-14 100.00 104.00 104.00 99.34 21237.76
122789 11 Xiangyu Bond 9.00 2018-7-8 100.00 100.00 115.00 100.00 1.23
122790 11 Zhuji Bond 15.00 2018-7-5 101.00 99.98 120.00 91.00 6678.77
122792 11 Handan Bond 10.00 2018-7-1 100.00 100.00 100.00 100.00 14930.20
11 Yangzhou Development 122793 10.00 2016-7-7 97.00 96.99 97.00 94.01 9.31 Bond
122795 11 Zhucheng Bond 10.00 2018-4-26 0.00 100.00 0.00 0.00 0.00
11 Hebei Construction & 122796 10.00 2021-6-27 0.00 100.00 0.00 0.00 0.00 Investment 01 11 Hebei Construction & 122797 10.00 2024-6-27 0.00 100.00 0.00 0.00 0.00 Investment 02
122798 11 Taifeng Mining Bond 10.00 2018-6-22 97.00 96.50 97.00 96.50 1892.01
11 Wuhan State-owned 122799 3.00 2018-6-17 102.00 98.00 102.00 98.00 215.80 Assets Managment
122800 11 Longkou Coal Power 10.00 2018-6-17 0.00 100.00 0.00 0.00 0.00
122801 11 Jiaozuo Bond 22.00 2018-6-8 97.07 105.00 105.00 91.65 1565.30
122802 11 Liaoyang Bond 20.00 2018-6-13 103.80 102.80 105.78 81.77 37110.24
122804 11 Weinan 01 6.00 2017-6-8 100.00 93.70 100.00 87.00 5552.91
122805 11 Datong Bond 25.00 2017-6-1 102.00 97.00 102.00 78.66 50992.15
122806 11 Weinan 02 12.00 2018-6-8 95.00 95.00 98.99 88.00 5662.37
122807 11 Dongling Bond 4.00 2017-6-14 0.00 100.00 0.00 0.00 0.00
2012 Fact Book 152 2012 Fact Book 153 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122808 11 Tengzhou Bond 10.00 2018-5-24 0.00 100.00 0.00 0.00 0.00
11 Dzungarian State-owned 122809 20.00 2018-5-10 103.50 94.48 103.50 89.18 60876.47 Assets 11 Zouping State-owned 122810 5.00 2018-4-27 102.00 91.20 102.00 82.23 6777.12 Assets
122811 11 Inner Mongolia Nailung 8.00 2018-5-5 103.50 97.90 103.50 81.00 5169.86
122812 11 Huaibei Bond 12.00 2018-3-14 104.20 95.29 104.20 80.00 44587.79
122813 11 Ningxia Transport 15.00 2021-4-27 100.00 99.00 100.00 92.00 3582.89
122814 11 Dongying Bond 12.00 2018-4-20 103.47 99.20 110.01 91.00 17383.20
122815 11 Guanghui Bond 16.00 2017-4-19 100.00 99.49 100.00 98.70 39.76
122816 11 Gaomi Bond 10.00 2018-4-8 0.00 100.00 0.00 0.00 0.00
122817 11 Sanmen Bond 15.00 2018-4-25 102.80 95.75 103.49 88.46 30063.96
122818 11 Muping Bond 6.00 2019-3-4 110.00 99.96 110.00 85.82 29576.29
11 Changzhou Urban 122819 25.00 2018-4-25 100.00 97.00 100.10 80.28 17190.02 Construction
122820 11 Weifang Dongfang 5.00 2018-4-12 102.10 103.30 109.00 93.20 212.87
122821 11 Jilin Urban Construction 20.00 2018-3-3 103.00 94.95 103.00 79.80 44962.94
122822 11 Hanzhong Bond 8.00 2018-3-14 105.00 94.77 105.00 86.00 28272.14
122823 11 Zhoushan Bond 15.00 2018-4-20 100.50 96.00 101.02 92.80 26663.22
122824 11 China Coal Construction 6.00 2018-3-15 99.00 99.00 99.00 99.00 5898.00
122825 11 Jingdezhen 8.00 2018-3-23 105.30 96.89 106.00 83.03 76938.07
122826 11 Beibu Gulf Port 15.00 2017-3-30 102.00 103.00 103.00 102.00 9962.21
122827 11 ENN Energy Holdings 5.00 2018-2-16 94.00 99.50 99.50 94.00 2310.78
122828 11 Fuzhou Bond 8.00 2018-2-28 106.00 98.92 111.00 84.03 39296.47
122829 11 Wanji Bond 8.00 2018-8-24 104.00 102.50 104.00 102.00 103.35
2012 Fact Book 154 2012 Fact Book 155 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million) 11 Shenyang State-owned 122830 15.00 2019-3-16 102.04 92.28 104.80 86.40 68631.05 Assets
122831 11 Huitong Bond 10.00 2018-3-14 105.02 100.67 106.61 82.01 75114.42
122832 11 Taishan Bond 10.00 2018-3-2 102.03 108.80 114.27 93.49 17460.46
11 Ganzhou Urban 122833 20.00 2018-4-22 99.68 94.97 99.88 85.18 16971.38 Development 11 Mudanjiang State-owned 122834 15.00 2018-2-15 102.00 91.90 104.99 83.99 30842.72 Assets
122835 11 Xinglu Bond 10.00 2021-3-1 101.80 98.05 103.80 89.45 36438.20
122836 11 Panjin Bond 15.00 2018-3-1 103.11 92.19 105.35 82.58 95532.23
11 Wujin Economic 122837 25.00 2018-2-24 101.20 97.87 101.30 85.02 16226.05 Development
122838 11 Geely Bond 10.00 2018-6-21 98.60 99.99 99.99 98.60 699.77
122839 11 Xintai Bond 12.00 2018-2-23 102.12 99.75 107.88 89.29 11104.43
122840 11 Linfen Bond 20.00 2019-2-22 102.10 94.96 105.60 77.01 245413.82
122841 11 Chongqing Jiangjin Bond 6.00 2018-1-6 102.50 91.76 103.30 80.00 63049.21
11 Hechuan Urban 122842 6.00 2018-1-6 102.50 91.71 110.00 79.50 76303.94 vConstruction
122843 11 Suihua Bond 8.00 2018-2-28 104.00 96.12 106.00 80.00 168374.26
122844 11 Guiyang Urban Investment 20.00 2018-1-12 100.78 96.50 103.78 84.98 69239.83
122845 11 Hengdian Bond 12.00 2021-1-27 100.45 98.90 101.49 85.01 31819.01
122846 11 Yufu Bond 20.00 2018-2-22 101.00 98.50 103.20 90.48 24379.39
11 Ningbo Communications 122847 10.00 2021-2-10 101.00 98.49 102.00 91.44 13427.81 Investment
122848 10 Guilin Bond 10.00 2017-12-28 0.00 100.00 0.00 0.00 20166.00
122849 11 Xinyu Bond 14.00 2018-1-11 94.00 98.70 100.00 90.55 4098.15
122850 11 Huatai Bond 8.80 2018-3-2 100.50 93.88 101.50 86.00 13250.56
122851 10 Yuxi 01 8.00 2016-12-28 101.00 95.00 101.00 90.61 8712.54
2012 Fact Book 154 2012 Fact Book 155 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122852 10 Yuxi 02 7.00 2017-12-28 102.00 91.65 102.50 85.00 28305.91
122853 10 Taiyuan Heavy Machinery 8.40 2020-12-31 0.00 100.00 0.00 0.00 0.00
122854 11 Zhonghui Bond 10.00 2018-3-23 100.50 100.00 100.50 99.75 9623.99
122855 11 Chongqing Light Textile 7.00 2018-1-12 100.00 99.00 100.00 96.66 20016.38
122856 11 Zhuzhou Hi-tech 10.00 2018-8-18 100.11 97.39 100.85 91.10 1249.44
122857 10 Jiuhua Bond 10.00 2016-12-16 102.00 93.98 103.58 81.20 160101.65
10 Yancheng City-owned 122858 5.00 2016-12-16 100.00 97.40 100.50 94.00 37436.28 Assets 01 10 Yancheng City-owned 122859 10.00 2017-12-16 100.99 98.98 121.00 90.00 26826.34 Assets 02
122860 10 Longyuan 16.00 2017-2-9 0.00 100.00 0.00 0.00 3000.00
122861 09 Shaanxi Coal Chemistry 15.00 2017-12-17 0.00 100.00 0.00 0.00 5950.00
122862 10 Fujian Energy 8.00 2017-12-2 0.00 100.00 0.00 0.00 0.00
122863 10 Yulin City Investment 14.00 2017-12-28 103.00 99.00 113.88 91.00 100665.53
122864 11 Shanghai Bund Investment 9.00 2018-3-11 101.99 112.00 112.00 98.88 10574.96
10 Jiangsu Haizhouwan 122865 10.00 2017-9-28 98.30 102.00 102.00 97.00 24992.61 Development 10 Hangzhou Communication 122866 12.00 2020-10-19 90.00 90.00 93.00 90.00 3721.92 Investment 11 Shijiazhuang City 122867 10.00 2021-3-9 101.00 98.00 105.00 87.02 14843.74 Investment
122868 10 Shenyang Coal 15.00 2017-12-21 100.00 98.00 108.88 92.88 61651.21
122869 10Shanghai Chemical 10.00 2017-10-22 0.00 100.00 0.00 0.00 0.00
122870 10 Chongqing Dasheng 8.00 2017-6-2 0.00 100.00 0.00 0.00 0.00
10 Zhengjiang Communication 122871 10.00 2017-10-18 98.00 98.00 98.00 98.00 9299.10 Investment
122872 10 Fosun Bond 11.00 2017-12-24 101.00 98.80 101.00 90.75 74448.71
10 Nantong Economic & 122873 10.00 2017-12-8 99.40 105.00 108.00 91.00 48242.98 Technological Development Zone
2012 Fact Book 156 2012 Fact Book 157 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122874 10 Honghe Investment 01 10.00 2016-12-9 98.00 94.81 106.00 80.00 74184.89
122875 10 Honghe Investment 02 10.00 2017-12-9 101.00 92.30 108.00 75.82 206220.03
11 Hainan Development 122876 15.00 2018-1-20 100.50 98.00 100.70 97.00 8613.20 Holdings
122877 10 Chongqing Nan’an 10.00 2017-12-24 100.10 100.30 111.00 90.30 46050.23
122879 10 Tianji 10.00 2017-11-25 99.80 98.10 109.00 89.20 615.76
122880 10 Tianye 12.00 2016-10-25 99.38 96.34 100.00 90.00 36787.72
122881 10 Wujiang 15.00 2018-12-23 101.00 96.00 103.50 86.06 95858.40
122882 10 Nanjing Hi-tech 12.00 2017-12-24 100.30 94.95 102.50 90.00 60618.78
122883 10 Chuxiong 15.00 2017-10-18 98.48 88.66 104.95 74.93 454396.78
122884 10 Xizi 4.50 2017-10-11 99.60 98.50 110.00 88.68 57128.27
122885 10 Hebei Communication 20.00 2025-9-28 0.00 100.00 0.00 0.00 0.00
122886 10 Yunnan Investment 20.00 2017-8-24 92.00 88.89 92.00 84.00 28253.46
10 Chongqing 122887 10.00 2017-8-4 96.78 95.88 114.00 78.50 27580.30 Communication
122888 10 Huajing 15.00 2017-9-28 103.00 88.49 103.00 77.00 61746.16
122889 10 Daye Nonferrous 7.00 2018-10-15 96.00 91.91 102.10 80.01 12.15
122890 10 Kaidi 10.00 2020-8-23 101.00 87.59 101.01 83.22 155408.78
122891 10 Tongliao 10.00 2017-9-1 103.78 103.78 103.78 103.78 2594.50
122892 10 Shouguang 10.00 2020-9-1 98.45 100.67 105.00 80.20 135011.78
122893 10 Dandong 15.00 2017-9-6 100.00 94.12 111.00 84.03 51802.77
122894 10 Nanchang Municipal 7.00 2017-8-3 0.00 100.00 0.00 0.00 0.00
122895 10 Dezhou 7.00 2017-8-9 99.29 96.98 102.85 90.90 52643.34
122896 10 Wuhu Development 10.00 2017-8-25 98.00 96.45 98.00 96.45 9801.06
2012 Fact Book 156 2012 Fact Book 157 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122897 10 Xiangfan Investment 10.00 2018-5-19 101.00 98.00 107.56 89.01 209312.00
122898 10 Pan National Investment 6.00 2020-7-29 97.00 90.85 100.99 71.99 34024.70
122899 10 Yangpu 01 12.00 2017-7-28 100.00 98.00 100.00 98.00 28987.23
122900 10 Yangpu 02 3.00 2017-7-28 102.00 99.96 102.00 99.96 25280.00
122901 10 Yingkou 20.00 2020-6-9 103.05 102.35 107.50 96.59 30559.91
122902 10 Chifeng 12.00 2017-5-18 98.28 93.00 103.00 82.50 108765.71
122903 10 Yancheng East 10.00 2017-6-8 96.66 92.80 99.00 88.00 75927.60
122904 10 Great Wall Investment 20.00 2020-5-24 100.95 100.95 100.95 100.95 8282.50
122905 10 Nanchang 12.00 2017-4-30 101.05 97.85 108.00 90.00 38685.65
122906 10 Wuhu Investment 01 14.00 2017-7-22 97.00 91.50 99.49 68.00 6880.09
122907 10 Wuhu Investment 02 6.00 2017-7-22 100.00 98.19 109.90 91.20 78648.38
122908 10 Jiangsu Communication 25.00 2016-6-1 105.80 98.03 105.80 95.75 9058.28
122909 10 Yixing 15.00 2016-5-20 99.00 97.10 111.00 90.11 69507.57
122910 10 Leihe 10.00 2017-3-30 0.00 100.00 0.00 0.00 0.00
122911 10 Anshan Urban Investment 20.00 2020-5-6 98.50 97.00 102.00 89.91 171735.18
10 Hubei State-owned 122912 28.00 2020-5-11 102.00 99.00 102.00 99.00 13010.10 Captial 10 Nantong Industries 122913 8.00 2016-5-18 101.00 98.00 101.95 97.00 4384.06 Holding
122914 09 Fujian Building 10.00 2016-12-16 105.00 105.00 105.00 105.00 42583.61
10 Zhenjiang Water 122915 20.00 2017-5-6 99.01 91.28 104.00 82.90 19440.04 Conservancy Investment
122916 10 Honggutan 8.00 2017-3-9 101.78 95.30 104.00 80.33 81170.62
122917 10 Taicang Port 6.00 2020-1-21 99.06 105.20 107.50 93.58 12183.12
122918 10 Fuyang 10.00 2016-3-9 102.01 100.00 103.19 90.01 156957.89
2012 Fact Book 158 2012 Fact Book 159 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122919 10 Shandong Commercial 7.00 2017-3-11 102.50 101.00 102.50 96.59 9431.27
122920 10 Huangshan 6.00 2017-2-9 101.08 94.67 103.24 85.83 142677.39
122921 10 Chenzhou 20.00 2017-1-21 102.87 99.07 106.00 85.10 419279.53
10 Changsha Advanced 122922 20.00 2017-1-25 101.30 101.90 107.00 94.50 52808.56 Technology
122923 10 Beijing Auto Investment 15.00 2017-1-29 100.80 98.50 100.80 90.00 61706.72
122924 10 Chaohu 12.00 2017-1-28 101.99 99.99 103.99 90.01 156326.35
09 Shenyang State-owned 122925 12.00 2016-11-27 105.80 100.25 112.00 94.00 102011.16 Capital
122926 09 Qinghai Investment 8.00 2015-12-29 100.00 99.60 115.00 92.00 34556.15
122927 09 Hainan Airlines 13.00 2019-12-24 104.47 101.80 107.10 95.39 164835.94
122928 09 Tieling 15.00 2019-12-22 103.30 95.70 113.16 84.26 86730.71
122929 09 Jiujiang 12.00 2016-12-18 103.20 101.90 104.90 88.00 25547.84
122930 09 Panjin 10.00 2016-12-16 104.80 103.96 107.36 90.00 201469.30
122931 09 Linhai 10.00 2016-11-6 108.31 99.95 111.55 87.00 150538.65
122932 09 Yicheng 12.00 2016-11-25 103.56 99.80 106.50 88.92 129358.49
122933 09 Nanshan 1 10.00 2015-10-20 104.51 108.00 111.37 97.90 26842.83
122934 09 Nanshan 2 10.00 2019-10-20 102.00 102.00 102.00 102.00 0.10
122935 09 Nantong 23.00 2016-11-13 99.00 99.00 99.00 99.00 13733.95
09 Hecheng Urban 122936 12.00 2016-11-17 106.51 98.46 109.00 84.50 278588.58 Investment
122937 10 Liaoyuan 10.00 2017-1-26 106.45 98.88 115.00 87.57 234037.46
122938 09 Fenhu 10.00 2017-10-22 102.03 99.48 103.60 90.35 21328.57
122939 09 Ji’an 15.00 2016-10-28 106.61 99.24 109.90 87.26 70968.53
09 Xianyang Urban 122940 17.50 2019-9-30 107.09 103.49 114.06 86.00 235279.17 Investment
2012 Fact Book 158 2012 Fact Book 159 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122941 10 Zhenjiang City Investment 20.00 2020-12-17 101.00 99.50 106.00 90.00 88663.40
122942 09 Jiangyin 25.00 2016-9-15 107.00 105.00 107.00 90.00 60944.72
122943 09 Waigaoqiao 8.50 2014-9-4 100.00 102.00 102.00 99.00 13804.01
122944 09 Zhuzhou Urban Investment 15.00 2016-8-28 103.98 101.89 105.93 89.00 133183.43
122945 09 Yushui 8.00 2016-7-31 103.50 97.36 113.00 91.00 57577.90
09 Yangzhou Urban 122946 20.00 2016-7-23 100.20 102.40 104.80 93.50 45634.19 Construction 09 Hefei Construction 122947 20.00 2014-7-8 102.49 100.00 105.00 92.06 14028.79 Investment
122948 09 Wuxi Communications 20.00 2016-7-8 98.60 97.99 100.00 89.28 75745.85
122949 09 Changzhou Investment 20.00 2016-7-1 99.36 96.14 102.00 92.50 74857.83
122950 09 Chongqing Energy 15.00 2016-7-1 101.00 96.20 107.00 79.77 5906.39
09 Huainan Urban 122951 15.00 2016-6-26 100.99 98.22 104.00 83.01 103529.62 Construction
122952 09 Ganzhou 15.00 2016-6-16 98.00 99.00 100.50 92.00 12841.86
09 Yueyang Urban 122953 10.00 2015-4-30 99.14 101.00 101.00 92.60 23322.15 Construction
122954 09 Wujin 22.00 2016-6-9 97.70 93.28 101.67 88.00 15656.33
122955 09 Xiangtan City Construction 9.00 2015-6-1 99.05 92.65 109.00 88.80 27589.20
122956 09 Changzhou Hi-tech 15.00 2019-6-4 97.38 98.00 110.00 95.00 70349.97
09 Chengd 122957 15.00 2016-6-4 101.00 98.98 101.00 90.00 71486.02 u Industry Investment 09 Changsha Economic 122958 5.80 2015-5-22 103.80 98.97 112.00 89.01 96508.14 Development
122959 09 Tsinghua Holdings 10.00 2016-5-19 100.00 97.90 101.00 96.00 58955.20
122960 09 Poly Group 13.00 2014-5-7 100.97 98.00 101.00 91.24 35326.49
122961 09 Wuhan Urban Investment 15.00 2019-5-25 97.00 98.00 105.28 90.11 23645.61
122962 09 Nanjing Communications 10.00 2016-5-7 101.98 98.21 102.00 91.05 53705.44
2012 Fact Book 160 2012 Fact Book 161 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122963 09 Zhangjiang 8.00 2012-6-10 99.00 99.60 100.50 95.00 24928.55
122964 09 Longhu 14.00 2016-5-5 103.97 97.00 110.00 95.92 285760.80
122965 09 Weifang Investment 7.00 2019-4-15 103.00 95.00 103.50 90.00 45484.32
122966 09 Dianchi Investment 8.00 2015-4-27 100.05 93.00 105.00 87.19 25458.47
122967 09 Fujian Zhanglong 10.00 2015-4-24 99.98 98.24 101.88 95.16 100087.69
09 Hangzhou Urban 122968 22.00 2015-4-14 100.10 99.50 105.00 90.36 74985.28 Investment
122969 09 Henan Investment 15.00 2019-4-15 100.00 98.00 100.20 87.00 88.32
122970 09 Three Gorges 01 70.00 2014-4-8 97.00 97.68 100.00 96.00 14258.37
122971 09 Three Gorges 02 30.00 2016-4-8 93.00 95.00 98.00 93.00 569.87
122972 09 Mianyang Investment 15.00 2016-4-8 100.00 100.00 102.51 91.50 81426.42
122973 09 Kunshan Chuangye 20.00 2016-3-30 94.27 90.99 98.80 84.99 87683.12
09 Zhengjiang City 122974 10.00 2015-3-30 101.20 96.60 102.22 85.00 72093.03 Construction
122975 09 Jinan Urban Construction 15.00 2019-3-26 96.53 90.50 96.86 83.28 3291.90
09 Yongcheng Coal & 122976 13.00 2015-3-30 100.05 99.80 109.50 98.50 48030.31 Electricity
122977 09 Bailian 10.00 2012-3-26 100.00 97.99 100.80 90.88 70618.03
09 Tianjin Jinbin Development 122978 15.00 2012-3-25 98.80 99.74 100.50 95.00 35619.44 1 09 Tianjin Jinbin Development 122979 20.00 2014-3-25 96.50 97.00 97.56 90.51 926.88 2 09 Tianjin Jinbin Development 122980 25.00 2016-3-25 94.01 94.18 99.00 90.00 206.04 3 09 Tongling Urban 122981 5.00 2015-3-10 101.40 95.32 103.73 90.00 64745.12 Construction 09 Changchun Urban 122982 12.00 2016-3-9 102.60 96.05 103.00 93.00 75641.77 Development
122983 09 Nanjing Iron & Steel 25.00 2016-2-27 103.00 99.35 103.90 97.00 120372.44
122984 09 Liu’an Urban Construction 15.00 2016-3-2 105.20 97.06 106.85 86.90 188737.85
2012 Fact Book 160 2012 Fact Book 161 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
122985 09 Zhejiang Provincial Energy 47.00 2014-2-23 98.00 97.90 100.00 90.02 11211.41
122986 09 Chunhua 10.00 2016-2-11 101.98 99.99 103.00 93.20 33336.09
122987 08 Yunnan Coal Chemical 15.00 2013-12-19 100.50 96.70 110.02 91.03 3549.05
122988 08 Chongqing Yulong 10.00 2016-1-15 104.60 102.00 107.00 92.00 130806.08
08 Chongqing 122989 15.00 2015-12-10 103.55 96.00 103.55 91.09 13479.31 Communication
122990 08 Wuxi Municipal Utilities 22.00 2011-10-7 101.70 100.00 101.87 98.18 47021.04
122991 08 Hainan Airlines 15.00 2014-12-25 106.00 101.45 107.00 94.00 60276.86
122992 08 Jiangsu Communication 25.00 2013-11-18 101.92 100.00 102.00 80.08 26413.07
122993 08 Wuyang Iron & Steel 6.00 2013-11-13 101.51 98.50 103.28 81.00 6000.37
122994 08 Yunnan Investment 15.00 2013-10-22 101.00 99.95 102.50 93.00 61515.44
08 Hefei Construction 122995 17.00 2018-8-28 100.22 99.68 105.00 91.15 91374.94 Investment 08 Changzhou Urban 122996 25.00 2015-9-24 100.32 97.20 103.00 93.40 293875.15 Construction
122997 08 Suzhou Hi-Tech 4.00 2013-10-9 104.80 105.95 106.00 91.00 186322.57
122998 04 Nanjing Tanker 10.00 2014-5-26 99.88 97.60 101.10 90.79 442.86
122999 08 Guangzhou Paper 3.90 2018-3-13 0.00 102.29 0.00 0.00 0.00
123000 09 Yihua 10.00 2014-10-26 99.62 100.80 101.22 95.36 367617.00
123001 09 Shanghai Ace 2.50 2014-11-17 100.00 99.98 100.00 99.98 21500.00
123002 09 Donghua 3.00 2015-12-28 100.00 99.00 100.00 99.00 21965.00
123003 09 Rebecca 3.00 2015-12-28 99.99 99.36 99.37 99.36 3974.00
123004 10 China Hi-tech 2.80 2017-2-2 102.40 102.40 0.00 0.00 0.00
123005 09 New Hailian 15.00 2016-11-11 99.94 99.92 101.80 99.92 20277.00
123006 10 Wuhan Hi-tech 5.00 2020-5-24 100.00 100.00 0.00 0.00 0.00
2012 Fact Book 162 2012 Fact Book 163 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
123007 11 Weishanhu Mining 7.00 2021-1-7 100.00 100.00 0.00 0.00 0.00
123008 11 Changzheng Electric 4.00 2014-11-16 99.68 100.00 100.00 99.24 7972.00
123491 11 Ping’an Bond 40.00 2021-9-29 100.00 100.00 0.00 0.00 0.00
123493 11 Taikang 01 10.00 2021-5-27 100.00 100.00 0.00 0.00 0.00
123494 11 Taikang 02 10.00 2021-6-1 100.00 100.00 0.00 0.00 0.00
123495 11 Guojun Bond 30.00 2017-1-28 100.00 98.10 100.00 97.85 109593.00
123496 10 Taikang 1 10.00 2020-9-16 100.00 98.15 98.15 98.15 19631.00
123497 10 Taikang 2 10.00 2020-9-16 100.00 100.00 0.00 0.00 0.00
123498 10 Taikang 3 10.00 2020-9-16 100.00 100.00 0.00 0.00 0.00
123499 10 Taikang 4 10.00 2020-9-16 100.00 100.00 0.00 0.00 0.00
126001 06 Maanshan Steel 55.00 2011-11-13 98.20 99.93 100.20 93.00 318574.88
126002 06 Sinochem 12.00 2012-12-1 94.91 97.20 98.36 93.00 136393.45
126003 07 Yuntianhua 10.00 2013-1-28 93.58 96.20 96.32 90.01 64462.61
126005 07 Wuhan Steel 75.00 2012-3-25 96.48 99.07 99.88 96.00 820048.62
126006 07 Shenzhen Expressway 15.00 2013-10-9 90.69 94.00 97.48 82.08 9254.34
126007 07 Rizhao 8.80 2013-11-27 91.00 93.47 93.47 88.01 19509.01
126008 08 SAIC Motor 63.00 2013-12-19 90.00 93.44 95.00 81.66 186852.61
126009 08 Ganyue 12.00 2014-1-27 88.54 92.25 98.06 85.70 40930.34
126010 08 COSCO 10.50 2014-1-28 87.30 92.29 92.49 86.00 132141.73
126011 08 Petroleum and Chemical 300.00 2014-2-20 89.28 92.33 96.06 88.75 1376488.32
08 Shanghai International 126012 24.50 2011-2-20 99.54 99.96 99.96 99.48 145277.69 Port
126013 08 Tsingtao Brewery 15.00 2014-4-2 87.80 91.98 98.00 80.59 101769.78
2012 Fact Book 162 2012 Fact Book 163 Bond Market Bond Market
Issue size Date of Opening Closing High Low Turnover value Code Short Name (RMB100 Maturity (RMB) (RMB) (RMB) (RMB) (RMB 10,000) million)
126014 08 GD 39.95 2014-5-7 87.71 91.85 98.75 82.01 121468.57
126015 08 Kangmei 9.00 2014-5-8 85.97 89.51 89.81 85.02 72299.00
126016 08 Baoshan Steel 100.00 2014-6-19 87.70 91.41 93.73 86.25 489964.45
126017 08 Gezhouba 13.90 2014-6-25 87.00 89.80 89.99 81.77 59963.84
126018 08 Jiangxi Copper 68.00 2016-9-22 77.52 83.52 83.55 77.00 628846.71
126019 09 Changhong 30.00 2015-7-30 79.46 82.93 83.10 78.15 236743.21
2012 Fact Book 164 2012 Fact Book 165 Bond Market Bond Market
Monthly Bond Repo Turnover in 2011
Month Trading Value (RMB 10,000) Trading Volume (10,000 lots) 01 105230343.70 105230.34 02 81738271.20 81738.27 03 122211054.20 122211.05 04 108428063.00 108428.06 05 139078027.40 139078.03 06 173217754.30 173217.75 07 216421486.20 216421.49 08 237670845.80 237670.85 09 213257863.40 213257.86 10 173231828.20 173231.83 11 234795549.90 234795.55 12 240931565.20 240931.57
Turnover of Government Bond in Each Month of 2011
Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots) 01 677515.49 680.48 02 540581.54 543.14 03 1476143.10 1480.84 04 867089.18 871.31 05 1068116.55 1073.76 06 1399615.79 1404.50 07 1001835.70 1005.10 08 1071684.14 1078.53 09 1701375.88 1711.39 10 983235.25 981.64 11 1011147.53 1013.14 12 632757.40 627.28
2012 Fact Book 164 2012 Fact Book 165 Bond Market Bond Market
Turnover of Bond in Each Month of 2011
Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots)
01 108541494.42 108398.69
02 84484473.58 84405.95
03 129154977.38 128903.02
04 112760672.44 112547.55
05 143931131.26 143829.88
06 177604439.53 177512.29
07 220758764.44 220691.15
08 243426206.98 243450.50
09 220233448.11 220489.00
10 178733217.25 178938.01
11 240386455.50 240419.72
12 247133456.92 247282.70
2012 Fact Book 166 2012 Fact Book 167 Bond Market Bond Market
List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2011
Ningbo China Sichuan GD Power Name of Stock Marine SDIC Sinopec Shipping Investment Development Shipping Development
Code of Stock 600798 600886 600028 600674 600026 600795
Marine SDIC Sichuan China Sinopec GD Power Abbr. for Subscription of CCB Shipping Issued Investment Shipping Issued Bond Issued Bond Issued Bond Bond Issued Bond Issued Bond
Code for Subscription of CCB 733798 733886 733028 733674 733026 733795
District Zhejiang Beijing Beijing Sichuan Shanghai Beijing
Issuance Scale (RMB 100m) 7.2 34 230 21 39.5 55
Issuance Volume( 10K lots) 72 340 2300 210 395 550
Quotation for Subscription 100 100 100 100 100 100 (RMB/ stock) Priority Priority Priority Priority Priority Priority Placement, Placement, Placement, Placement, Placement, Placement, Issuance Method Online Pricing Online Pricing Online Pricing Online Pricing Online Pricing Online Pricing and Offline and Offline and Offline and Offline and Offline and Offline Placement Placement Placement Placement Placement Placement Upper limit for CCB Online 36 170 1150 105 197.5 275 Subscription (10 K lots) Issuance Date ( T day)/ Value 2011-01-07 2011-01-25 2011-02-23 2011-03-21 2011-08-01 2011-08-19 Date
Maturity (Year) 5 6 6 6 6 6
Maturity Date (M/D) 2016-01-07 2017-01-25 2017-02-23 2017-03-21 2017-08-01 2017-08-19
Listing Code 110012.SH 110013.SH 110015.SH 110016.SH 110017.SH 110018.SH
Marine Sichuan China SDIC Sinopec GD Power Shipping Investment Shipping Abbr. for Listing Convertible Convertible Convertible Convertible Convertible Convertible Bond Bond Bond Bond Bond Bond
Listing Date (L Day) 2011-01-20 2011-02-15 2011-03-07 2011-03-31 2011-08-12 2011-09-02
(Commencing Date for CCB) 2011-07-08 2011-07-26 2011-08-24 2011-09-22 2012-02-02 2012-02-20
Initial price for CCB 4.58 7.29 9.73 17.3 8.7 2.67
2012 Fact Book 166 2012 Fact Book 167
Funds Funds Funds
2012 Fact Book 170 2012 Fact Book 171 Funds Funds
Funds
Overview
China’s fund sector has entered a period of rapid growth after 13 years of development. It is growing more regulated and sophisticated By the end of 2011, 66 fund management companies had been established in China, managing 1019 funds, with an net asset value of up to 2.19184 trillion yuan and 2.650993 units of funds, of which 964 are open-ended funds, with a net asset value of 2.069345 trillion yuan, and 55 closed-end funds, with a net asset value of 122.596 trillion yuan.
Breakdown of funds
Type Number NAV(billion yuan) Proportion Units(billion)
Equity fund 434 1028.553 46.93% 1338.920
Commingled fund 194 569.317 25.97% 672.680
Bond fund 206 118.980 5.43% 116.960
Money market fund 79 294.895 13.45% 294.895
QDII fund 51 57.599 2.63% 91.325
Closed-end equity fund 30 79.077 3.61% 92.847
Closed-end bond fund 25 43.419 1.98% 43.367
Total 1019 2191.840 100.00% 2650.993
Fund product structure is increasingly diversified, catering to the varied demands of the investing public. In terms of types of investment products, the stock fund market dominates the fund sector with 631 funds, representing a net asset value of 1.63178 trillion yuan, accounting for 74.45%. There are 339 fixed income funds, having an NAV of 515.732 billion yuan, with a 23.53% growth in its proportion. In terms of transaction means and product structure, index funds, structured rated funds are still well received in the market and show a rapid growth trend. In terms of investment regions and investment targets, QDII fund products covering a number of international regions and gold investment commodity fund products are launched.
2012 Fact Book 170 2012 Fact Book 171 Funds Funds
Status of the Fund Market at SSE
ETF
7 ETFs were issued by the SSE and 11 got listed on the SSE in 2011. By the end of December, a total of 23 ETFs were listed on SSE, with an NAV of 46.614 billion yuan and an annual turnover value of 269.913 billion yuan. Subject to market volatility, the NAV of ETFs declined. The NAV of 50ETF topped the list with an NAV of 20.931 billion yuan, accounting for more than 44.90% of the Shanghai and the Shenzhen market combined; in terms of operation efficiency, 23 ETFs showed an annualized tracking error of 0.802% and consumer ETF showed the smallest annualized tracking error of 0.284%. ETFs are primarily held by institutional investors, with average shareholding exceeding 65.9% as of the end of the year and 34.10% for retailers; retailers are trading more actively on the secondary market, accounting for 53.97% and 46.03% for institutional investors.
Closed-ended fund
Up to December 31th, 13 closed-ended funds were listed on the SSE, with a total of 31.72 billion units in circulation and a turnover volume of 20.228 billion yuan for the whole year.
SSE Open-ended Fund Trading System
As of the end of the year, 77 open-ended funds were quoted on the SSE with this trading system, 2.814 billion units of open-ended funds were subscribed for during the year and 2.213 billion units were redeemed.
2012 Fact Book 172 2012 Fact Book 173 Funds Funds
Funds listed on the SSE
Size of issue NAV Average Daily Closing NV Annual Type Code Short Name (100 million (100 million Turnover Value (yuan) (yuan) Yield(%) units) yuan) (100 million yuan) 510010 Governance ETF 48.23 28.94 0.598 0.600 -19.79% 0.018
510020 Chaoda ETF 75.64 12.56 0.166 0.166 -18.28% 0.053
510030 Value ETF 5.24 11.39 2.148 2.175 -14.84% 0.111
510050 50ETF 128.20 209.31 1.629 1.632 -17.24% 6.383
510060 SOEs ETF 6.83 7.25 1.055 1.062 -19.79% 0.056
Private Enterprise 510070 3.65 3.36 0.923 0.922 -27.57% 0.020 ETF
510090 Liability ETF 4.60 3.54 0.766 0.769 -18.30% 0.011
510110 Cycle ETF 1.90 3.78 1.969 1.985 -16.96% 0.034
510120 Non-cycle ETF 2.11 3.62 1.704 1.712 —— 0.027
510130 Mid-caps ETF 4.43 9.63 2.167 2.171 -31.27% 0.163
510150 Consumer ETF 5.80 13.02 2.250 2.246 —— 0.033
ETF 510160 Well-off ETF 9.28 3.03 0.326 0.327 -22.65% 0.030 510170 Commodity ETF 4.27 9.03 2.115 2.114 —— 1.071
510180 180ETF 178.70 90.07 0.504 0.504 -22.58% 2.704
510190 Longtou ETF 3.84 7.75 2.000 2.019 -20.92% 0.060 Composite Index 510210 1.83 4.06 2.225 2.224 —— 0.019 ETF Small-medium 510220 0.48 1.17 2.410 2.424 —— 0.019 ETF 510230 Finance ETF 3.86 10.77 2.774 2.787 —— 0.137
510260 Emerging ETF 9.19 6.27 0.680 0.682 —— 0.096
510270 SOEs ETF 2.65 1.81 0.689 0.685 —— 0.031
510280 Growth ETF 6.17 5.43 0.883 0.880 —— 0.102
510290 380ETF 2.64 2.15 0.809 0.813 —— 0.066
510880 Dividend ETF 10.24 18.23 1.776 1.780 -18.37% 0.155
2012 Fact Book 172 2012 Fact Book 173 Funds Funds
Size of issue NAV Average Daily Closing NV Annual Type Code Short Name (100 million (100 million Turnover Value (yuan) (yuan) Yield(%) units) yuan) (100 million yuan) 500001 Jintai Fund 20.00 17.99 0.826 0.899 -34.50% 0.054
500002 Taihe Fund 20.00 17.47 0.779 0.874 -36.41% 0.047
500003 Anxin Fund 20.00 18.24 0.816 0.912 -35.49% 0.036
500005 Hansheng Fund 20.00 20.82 0.925 1.041 -38.94% 0.053
500006 Yuyang Fund 20.00 16.82 0.756 0.841 -25.52% 0.050
500008 Xinghua Fund 20.00 17.40 0.821 0.870 -29.53% 0.039 Closed- end 500009 Anshun Fund 30.00 28.38 0.843 0.946 -34.50% 0.050 Fund 500011 Jinxin Fund 30.00 28.19 0.799 0.940 -24.27% 0.084
500015 Hanxing Fund 30.00 26.87 0.750 0.896 -28.02% 0.047
500018 Xinghe Fund 30.00 27.17 0.817 0.906 -20.45% 0.047
500038 Tongqian Fund 20.00 19.77 0.841 0.988 -46.84% 0.079
500056 Kerui Fund 30.00 27.31 0.759 0.910 -28.80% 0.108
500058 Yinfeng Fund 30.00 27.03 0.766 0.901 -23.55% 0.136
2012 Fact Book 174 2012 Fact Book 175 Funds Funds
Summary of Funds in 211
Short Size of Issuance High Low Opening Closing Change Turnover Volume Turnover Value Code Name (10,000 units) (RMB) (RMB) (RMB) (RMB) (%) (10,000 units) (RMB10,000)
500001 Jintai Fund 200000.00 1.320 0.808 1.261 0.826 -21.14 116092.37 131065.94
500002 Taihe Fund 200000.00 1.285 0.754 1.227 0.779 -25.79 107379.68 113365.38
500003 Anxin Fund 200000.00 1.284 0.809 1.270 0.816 -28.41 83271.29 87917.97
Hansheng 500005 200000.00 1.572 0.917 1.519 0.925 -19.74 98095.44 130380.61 Fund
500006 Yuyang Fund 200000.00 1.059 0.744 1.020 0.756 -20.15 127379.24 122320.99
500008 Xinghua Fund 200000.00 1.172 0.800 1.158 0.821 -19.93 89703.00 94596.37
500009 Anshun Fund 300000.00 1.339 0.840 1.289 0.843 -22.21 110727.77 122559.89
500011 Jinxin Fund 300000.00 1.109 0.795 1.063 0.799 -18.56 206015.53 205386.22
500015 Hanxing Fund 300000.00 1.133 0.727 1.042 0.750 -22.70 113949.77 113874.11
500018 Xinghe Fund 300000.00 1.105 0.802 1.031 0.817 -12.09 112984.40 114384.22
Tongqian 500038 200000.00 1.613 0.803 1.573 0.841 -37.25 156857.16 192440.54 Fund
500056 Kerui Fund 300000.00 1.104 0.747 1.071 0.759 -25.24 265789.71 262626.00
500058 Yinfeng Fund 300000.00 1.029 0.729 1.008 0.766 -23.00 354766.61 331916.71
Governance 510010 483052.44 0.834 0.581 0.748 0.600 -19.79 61489.40 43874.14 ETF
510020 Chaoda ETF 753845.92 0.224 0.161 0.204 0.166 -17.82 650217.74 129501.08
510030 Value ETF 56252.87 2.900 2.082 2.580 2.148 -15.83 103414.11 271062.22
510050 50ETF 1121756.68 2.205 1.555 1.987 1.629 -17.23 8211055.34 15574848.68
510060 SOEs ETF 67295.92 1.441 1.034 1.322 1.058 -19.91 107321.29 135339.95
Private 510070 36212.41 1.350 0.890 1.290 0.923 -27.55 40319.78 49025.21 Enterprise ETF
510090 Liability ETF 46908.11 1.058 0.730 0.944 0.766 -18.51 27958.79 26552.07
2012 Fact Book 174 2012 Fact Book 175 Funds Funds
Short Size of Issuance High Low Opening Closing Change Turnover Volume Turnover Value Code Name (10,000 units) (RMB) (RMB) (RMB) (RMB) (%) (10,000 units) (RMB10,000)
510110 Cycle ETF 20701.68 2.670 1.790 2.386 1.969 -17.30 34356.10 82685.62
Non-cycle 510120 24119.24 2.365 1.621 2.221 1.704 0.00 17807.38 38664.19 ETF
510130 Mid-caps ETF 46868.51 3.412 2.096 3.180 2.167 -31.16 129308.80 398172.38
Consumer 510150 60993.16 3.150 2.161 3.073 2.250 0.00 23656.91 70293.87 ETF
510160 Well-off ETF 143205.74 0.470 0.316 0.424 0.326 -22.57 172356.04 72933.07
Commodity 510170 45222.87 3.487 2.021 2.807 2.114 0.00 797393.39 2451701.06 ETF
510180 180ETF 1418022.67 0.712 0.488 0.657 0.504 -22.46 10796021.79 6597798.44
510190 Longtou ETF 43065.08 2.750 1.890 2.562 2.000 0.00 56019.75 144324.27
Composite 510210 17713.85 3.048 2.151 2.932 2.225 0.00 12560.29 35615.34 Index ETF Small- 510220 5222.92 3.720 2.313 3.703 2.410 0.00 10362.34 36572.26 medium ETF
510230 Finance ETF 27226.16 3.345 2.715 3.345 2.776 0.00 69751.58 208797.40
Emerging 510260 99348.27 1.025 0.655 0.946 0.680 0.00 150180.14 136555.42 ETF
510270 SOEs ETF 31283.21 0.820 0.656 0.812 0.689 0.00 35996.47 28184.51
510280 Growth ETF 82175.44 1.016 0.824 0.952 0.883 0.00 56896.57 55080.58
510290 380ETF 33044.89 1.013 0.774 0.991 0.809 0.00 26491.89 25758.36
510880 Dividend ETF 91867.57 2.440 1.740 2.182 1.776 -16.93 174454.11 377925.32
2012 Fact Book 176 2012 Fact Book 177 Funds Funds
NAV of Securities Investment Funds (2011 year-end)
Code Short Name Announcement Date As of Date NAV Per Unit (RMB)
500001 Jintai Fund 2011-12-31 2011-12-30 0.899
500002 Taihe Fund 2011-12-31 2011-12-30 0.874
500003 Anxin Fund 2011-12-31 2011-12-30 0.912
500005 Hansheng Fund 2011-12-31 2011-12-30 1.041
500006 Yuyang Fund 2011-12-31 2011-12-30 0.841
500008 Xinghua Fund 2011-12-31 2011-12-30 0.870
500009 Anshun Fund 2011-12-31 2011-12-30 0.946
500011 Jinxin Fund 2011-12-31 2011-12-30 0.940
500015 Hanxing Fund 2011-12-31 2011-12-30 0.896
500018 Xinghe Fund 2011-12-31 2011-12-30 0.906
500038 Tongqian Fund 2011-12-31 2011-12-30 0.988
500056 Kerui Fund 2011-12-31 2011-12-30 0.910
500058 Yinfeng Fund 2011-12-31 2011-12-30 0.901
2012 Fact Book 176 2012 Fact Book 177
Members MembersFunds Members
2012 Fact Book 180 2012 Fact Book 181 MembersFunds Members
Members
Overview of Members
At the end of 2011, the SSE had 109 members, with Huaying Securities, J.P.Morgan First Capital Securities and Morgan Stanley Huaxin Securities as new member in 2011, 5003 member business departments, growing by 394 in 2011, and 5362 trading seats held by both member and non-member institutions. 7459 trading units were open for business, an increase of 849 from 2010.
Registered capital
39 members had registered capital of less than RMB 1 billion, 34 members had registered capital of between RMB 1 billion and RMB 2 billion, 19 members had registered capital of between RMB 2 billion and RMB 3 billion, 7 members had registered capital of between RMB 3 billion and RMB 5 billion and 10 members over RMB 5 billion.
Listing
18 members are listed, 11 of them on the SSE. Two of them, Founder Securities and Soochow Securities, got listed in 2011.
Overview of Non-member Institution
Non-member institutions include fund management companies, insurance companies, insurance capital management companies, listed commercial banks and Qualified Foreign Institutional Investors (QFII) which conduct business the SSE. As of the end of 2011, there were 69 such fund management companies, 12 insurance companies, 10 insurance capital management companies, 16 listed commercial banks and 135 Qualified Foreign Institutional Investors.
Member's Required Qualifications
a. a securities firm possessed with a legal position that is approved by CSRC to be established by law; b. enjoy high creditability and outstanding business performance; c. organization framework and business executives qualified by CSRC and the Exchange and the firm's precaution measures against technical risks that meet the requirements of the Exchange; d. accept the constitution and business rules of the Exchange and pay member's fee, seat fees and other fees as required. A securities firm submits its application to the Exchange, which will accept it as one of its members upon the approval by its board of governors.
The Administration of Member Seats and Trading Units
As is specified in the Member Administration Rules of the Shanghai Stock Exchange, a member shall maintain at
2012 Fact Book 180 2012 Fact Book 181 Members Members
least one seat with the Exchange and commence securities trading after obtaining the seat via the trading unit of the Exchange. There is a fixed cap on the number of seats and no more seats will be available. Member candidates may obtain seats transferred from existing members. Obtained seats may not be returned to the Exchange. The Exchange may set, adjust and limit the portfolio, means and scale of trading conducted by members.
Overview of the Operation
Stress had been put on enhancing the business of member and non-member institutions, better administering and servicing them, evident in the following four fronts. First, establish the Exchange as a better market organizer and securities firm as better intermediaries. Conduct research into innovation business and formulate business rules. Launch the pilot agreed repo and expand the collateralized quotation repo of bond, for more innovative business of members. Second, better regulate the business of members and non-member institutions, train and assess staff in member-related business and adopt a competitive employment scheme. Regulate the seats and trading units for insurance agencies. Facilitate the access of listed commercial banks to the SSE bond market. Third, better regulate members and non- member institutions as well as the business innovation of members in their trading entitlements, trading scale, client eligibility management and reporting obligation. Supervise and govern the misconducts of members towards clients. Fourth, better service agencies, providing training and exchanges for members and non-member institutions in business, compliance and expertise and solicit contributions from agencies.
2012 Fact Book 182 2012 Fact Book 183 Members Members
Geographical Distribution of SSE Members and Their Business Branches in 2011
Number Number Turnover Value Percentage Region Of Members of Business Branches (RMB 1 million) (%) Anhui 2 148 1019626.14 1.20 Beijing 18 253 11250137.00 13.28 Fujian 3 218 3511054.68 4.14 Gansu 1 60 260180.30 0.31 Guangdong 22 673 15742976.35 18.58 Guangxi 1 87 655905.03 0.77 Guizhou 1 44 161904.96 0.19 Hainan 2 37 266176.53 0.31 Hebei 1 158 760563.21 0.90 Henan 1 143 1309795.80 1.55 Heilongjiang 1 117 1419604.03 1.68 Hubei 2 182 2253529.85 2.66 Hunan 3 168 1217728.32 1.44 Jilin 2 91 454996.45 0.54 Jiangsu 6 334 5558574.46 6.56 Jiangxi 2 114 1104504.04 1.30 Liaoning 4 210 1876685.29 2.21 Inner Mongolia 2 59 379783.70 0.45 Ningxia 0 19 62514.27 0.07 Qinghai 1 13 30157.15 0.04 Shandong 2 253 2491339.16 2.94 Shanxi 2 108 622385.50 0.73 Shaanxi 3 105 917706.74 1.08 Shanghai 17 483 19830647.53 23.40 Sichuan 4 202 1973696.18 2.33 Tianjin 1 101 1043185.08 1.23 Tibet 1 4 6799.31 0.01 Xinjiang 1 62 382008.33 0.45 Yunnan 2 69 495471.46 0.58 Zhejiang 3 370 6936570.16 8.19 Chongqing 1 111 749711.08 0.88
2012 Fact Book 182 2012 Fact Book 183 Members Members
Membership (1990-2011)
Year Membership
1990 25
1991 29
1992 171
1993 481
1994 550
1995 553
1996 523
1997 467
1998 317
1999 309
2000 305
2001 255
2002 199
2003 171
2004 161
2005 152
2006 152
2007 142
2008 109
2009 107
2010 106
2011 109
2012 Fact Book 184 2012 Fact Book 185 Members Members
Top 50 Members by Turnover in 2011
Total Turnover Equity T-bond Spot T-bond Repo Rank Name (RMB 1 million) (RMB 1 million) (RMB 1 million) (RMB 1 million) 1 Guotai Junan Securities Co., Ltd. 5505118.65 2313915.66 28368.81 2978418.80
2 Shenyin & Wanguo Securities Co. Ltd. 4747310.65 1971800.82 10927.39 2682345.10
3 China Galaxy Securities Co., Ltd. 4196905.25 2487080.69 7145.85 1645337.80
4 Haitong Securities Co., Ltd. 4046471.18 1954800.30 42042.69 1984740.30
5 China Merchants Securities Co., Ltd. 3521046.42 1789923.48 11253.39 1661958.20
6 Guosen Securities Co., Ltd. 3478772.73 1954427.54 11794.51 1460702.70
7 Citic Securities Co., Ltd. 3450553.91 1401676.52 12215.12 1865334.30
8 Gf Securities Co., Ltd. 3071430.94 1889413.60 6847.96 1124454.80
9 China Securities Co., Ltd. 3058441.79 1525115.21 6074.18 1431319.20
10 Huatai Securities Co., Ltd. 2728747.39 1809908.03 3690.82 868740.90
11 China International Capital Co., Ltd. 2723946.61 541576.99 14626.00 2112237.80
12 Everbright Securities Co., Ltd. 2355482.75 1394301.37 2376.38 923753.00
13 Ping An Securities Co., Ltd. 2231504.14 513204.41 14405.58 1651918.00
14 Changjiang Securities Co., Ltd. 1880268.76 809158.78 1845.94 1039622.00
15 Essence Securities Co., Ltd. 1743600.08 1143325.01 2456.81 582878.50
16 Orient Securities Co., Ltd. 1666752.32 770096.06 9159.76 863566.50
17 Shandong Qilu Securities Co., Ltd. 1626712.56 1155028.06 2227.91 421145.20
China Jianyin Investment Securities 18 1528755.84 1121298.72 1202.78 394123.40 Co., Ltd.
19 Industrial Securities Co., Ltd. 1478653.79 779798.54 2559.57 660757.90
20 CITIC-Kington Securities Co., Ltd. 1130658.42 939811.56 118.31 185741.70
21 Guoyuan Securities Co., Ltd. 1099227.11 536975.48 2746.74 547198.10
22 Huatai United Securities Co., Ltd. 1074359.21 729306.82 2784.97 327998.70
23 Hong Yuan Securities Co., Ltd. 1045954.11 609423.39 1696.47 417456.60
24 Founder Securities Co., Ltd. 1000501.65 811388.76 228.32 183160.30
2012 Fact Book 184 2012 Fact Book 185 Members Members
Total Turnover Equity T-bond Spot T-bond Repo Rank Name (RMB 1 million) (RMB 1 million) (RMB 1 million) (RMB 1 million) 25 Caitong Securities Brokerage Co., Ltd. 859440.76 554430.55 2784.28 299924.60
26 Shanghai Securities Co., Ltd. 813871.22 424279.69 1292.23 373611.50
27 BOC International (China) Ltd. 794586.45 460916.43 3464.55 321016.40
28 Dongxing Securities Co., Ltd. 737876.38 516722.49 315.80 211108.50
29 Zhejiang Merchants Securities Co., Ltd. 644227.63 558260.06 30.73 84012.00
30 Bohai Securities Co., Ltd. 615028.98 381249.59 2210.73 215733.40
31 Soochow Securities Co., Ltd. 613770.33 434414.63 132.62 176022.50
32 West China Securities Co., Ltd. 599085.41 532174.06 94.09 63842.70
33 Guolian Securities Co., Ltd. 594255.21 291627.52 325.76 297837.70
34 Sinolink Securities Co., Ltd. 582528.59 310852.99 1164.75 267404.90
35 Great Wall Securities Co., Ltd. 578917.50 394441.33 1186.04 177510.30
36 Xiangcai Securities Co., Ltd. 573521.89 442536.18 532.15 126655.50
37 Cinda Securities Co., Ltd. 562840.33 429046.30 831.63 125689.00
38 Huaan Securities Co., Ltd. 516484.99 270432.28 76.23 243378.80
39 GF Huafu Securities Co., Ltd. 484022.04 366336.05 216.90 115087.40
40 Southwest Securities Co., Ltd. 480520.32 376299.99 66.44 95186.50
41 Northeast Securities Co ., Ltd. 480099.89 340143.37 664.88 136800.10
42 First Capital Securities Co., Ltd 475726.61 131588.05 158.10 328132.00
43 Shanxi Securities Co., Ltd. 474997.34 278190.03 70.69 191929.20
44 Sealand Securities Co., Ltd. 459457.91 316286.85 413.22 136709.60
45 Citic Wantong Securities Co., Ltd. 448986.23 328063.89 129.12 110425.20
46 Donghai Securities Co., Ltd. 442740.32 370399.11 210.35 64448.80
47 Nanjing Securities Co., Ltd. 431789.53 344971.10 2657.21 78322.00
48 China Minzu Securities Co., Ltd. 401485.21 323050.16 486.61 74971.20
49 Dongguan Securities Co.,Ltd. 391331.11 294646.17 316.30 94948.00
50 Western Securities Co., Ltd. 390084.82 274279.40 583.93 113722.90
2012 Fact Book 186 2012 Fact Book 187 Members Members
Top Lead Underwriters of IPOs in 2011 (by Number of Deals Underwritten)
Sequence Number of Lead Name of Number Rank Underwriter Lead Underwriter of Deals Underwritten 1 185 Ping An Securities Co., Ltd. 6
2 49 Citic Securities Co., Ltd. 5
3 88 Guosen Securities Co., Ltd. 4
4 501281 Essence Securities Co., Ltd. 3
5 501361 UBS Securities Co., Ltd. 2
6 500021 BOC International (China) Ltd. 2
7 66 China International Capital Co., Ltd. 2
8 3764 Guotai Junan Securities Co., Ltd. 2
9 3904 Southwest Securities Co., Ltd. 2
10 501041 China Jianyin Investment Securities Co., Ltd. 2
Top Lead Underwriters of Rights Issues in 2011 (by Number of Deals Underwritten)
Sequence Number Name of Number Rank of Lead Underwriter Lead Underwriter of Deals Underwritten 1 49 Citic Securities Co., Ltd. 1
2 1780 Gf Securities Co., Ltd. 1
3 97 China Merchants Securities Co., Ltd. 1
4 1238 Everbright Securities Co., Ltd. 1
5 66 China International Capital Co., Ltd. 1
2012 Fact Book 186 2012 Fact Book 187 Members Members
Top 20 Members by Margin Trading and Short Selling in 2011
Turnover for Margin Turnover for Short Total No. Name Trading (RMB 10,000) Selling(RMB 10,000) (RMB 10,000) 1 Haitong Securities Co., Ltd. 3559934.88 1560549.89 5120484.77
2 Huatai Securities Co., Ltd. 2771698.59 373038.88 3144737.47
3 Guotai Junan Securities Co., Ltd. 2978542.76 69034.80 3047577.56
4 Shenyin & Wanguo Securities Co., Ltd. 2250435.64 383839.70 2634275.34
5 China Galaxy Securities Co., Ltd. 2463540.98 23828.85 2487369.83
6 Everbright Securities Co., Ltd. 1495077.28 220112.73 1715190.01
7 GF Securities Co., Ltd. 1559344.06 58762.12 1618106.18
8 China Merchants Securities Co., Ltd. 1569926.10 29738.91 1599665.01
9 CITIC Securities Co., Ltd. 1481279.30 73987.08 1555266.38
10 China Securities Co., Ltd. 1156377.65 43251.31 1199628.96
11 Essence Securities Co., Ltd. 938694.24 11793.50 950487.74
12 Guosen Securities Co., Ltd. 858007.39 50242.31 908249.70
13 China Investment Securities Co., Ltd. 860899.61 7022.12 867921.73
14 Guoyuan Securities Co., Ltd. 413232.18 41543.97 454776.15
15 Orient Securities Co., Ltd. 445147.03 93.61 445240.64
16 Hongyuan Securities Co., Ltd. 443931.66 0.28 443931.94
17 Changjiang Securities Co., Ltd. 426536.30 540.99 427077.29
18 Industrial Securities Co., Ltd. 394908.25 1977.13 396885.38
19 Qilu Securities Co., Ltd. 393519.01 154.91 393673.92
20 Great Wall Securities Co., Ltd. 362451.62 2086.51 364538.13
2012 Fact Book 188 2012 Fact Book 189 Members Members
Top 20 Members by Balance of Margin Trading and Short Selling in 2011
Balance of Short Balance of Margin Total No Name Selling Trading (RMB 10,000) (RMB 10,000) (RMB 10,000) 1 Haitong Securities Co., Ltd. 14812.10 204310.21 219122.31
2 Guotai Junan Securities Co., Ltd 2034.04 193969.31 196003.35
3 China Merchants Securities Co., Ltd. 867.82 186551.60 187419.42
4 Shenyin & Wanguo Securities Co., Ltd. 4317.85 175951.55 180269.41
5 Huatai Securities Co., Ltd. 4554.64 171692.72 176247.36
6 CITIC Securities Co., Ltd. 1025.83 172518.32 173544.15
7 Everbright Securities Co., Ltd. 2413.38 167679.87 170093.25
8 China Galaxy Securities Co., Ltd. 649.78 159307.23 159957.01
9 GF Securities Co., Ltd. 3003.38 152022.58 155025.96
10 Guosen Securities Co., Ltd. 1791.21 140577.72 142368.94
11 China Securities Co., Ltd. 1364.05 85639.99 87004.04
12 Essence Securities Co., Ltd. 199.26 63738.05 63937.31
13 China Investment Securities Co., Ltd. 181.36 59485.49 59666.85
14 Founders Securities Co., Ltd. 348.73 48772.77 49121.50
15 Industrial Securities Co., Ltd. 3.51 48555.52 48559.03
16 Changjiang Securities Co., Ltd. 15.34 47772.46 47787.80
17 Qilu Securities Co., Ltd. 2.79 42078.53 42081.32
18 Hongyuan Securities Co., Ltd. 0.00 37493.89 37493.89
19 Orient Securities Co., Ltd. 9.54 35530.04 35539.58
20 Guodu Securities Co., Ltd. 0.00 27284.89 27284.89
2012 Fact Book 188 2012 Fact Book 189 Members Members
Number of Trading Accounts with SSE 1991-2011
Year Number of Accounts (10,000
1997 1713
1998 1999
1999 2281
2000 2967
2001 3430
2002 3567
2003 3644
2004 3787
2005 3856
2006 4101
2007 7131
2008 7973
2009 8965
2010 9851
2011 10539
2012 Fact Book 190 2012 Fact Book 191 Members Members
Breakdown of B-share Investors by Jurisdiction
Number of Percentage in Total New Trading Percentage in Total New Region Trading Accounts Accounts (%) Accounts in 2011 Accounts (%) China (Mainland) 1344943 87.24 12064 89.60
United States 14422 0.94 621 4.61
Taiwan, China 8668 0.56 179 1.33
Canada 3568 0.23 148 1.10
Hong Kong SAR, China 17109 1.11 89 0.66
United Kingdom 2336 0.15 70 0.52
Japan 4525 0.29 69 0.51
Australia 3221 0.21 67 0.50
Korea 1770 0.11 59 0.44
China (Overseas) 125899 8.17 37 0.27
Singapore 1921 0.12 25 0.19
Germany 707 0.05 13 0.10
France 635 0.04 11 0.08
Holland 404 0.03 8 0.06
Macao SAR, China 801 0.05 5 0.04
Total 1541687 100.00 13465 100.00
2012 Fact Book 190 2012 Fact Book 191
Historical Statistics Historical Statistics Historical Statistics
2012 Fact Book 194 2012 Fact Book 195 Historical Statistics Historical Statistics
Historical Statistics
Early Share Turnover Value, 1991-2011
Date of Highest Turnover Date of Lowest Turnover Average Daily Average Daily Annual Turnover Number Turnover Trading Volume Turnover Turnover Year Value (RMB of Trading Value (RMB (100 million Value Value 100 million) Days Date Date 100 million) shares) (RMB 100 (RMB 100 million) million)
1991 46.08 256 0.18 0.0002 2.01 19911231 0.008 19910517
1992 323.85 255 1.27 0.07 4.82 19921130 0.08 19920207
1993 2509.71 259 9.69 0.6 38.43 19931207 0.001 19930227
1994 5735.52 252 22.76 2.61 157.54 19940906 1.6 19940712
1995 3102.36 251 12.36 2.05 114.3 19950522 1.14 19950208
1996 9114.82 247 36.9 4.46 192.74 19961203 1.53 19960209
1997 13763.52 243 56.64 5.01 159.83 19970512 11.51 19971014
1998 12386.11 246 50.35 4.59 119 19980409 16.48 19981221
1999 16965.79 239 70.99 6.53 404.43 19990625 11.62 19990104
2000 31373.86 239 131.27 10.2 472.62 20000217 42.92 20000927
2001 22709.38 240 94.62 7.58 234.13 20011024 27.27 20011115
2002 16959.09 237 71.56 7.52 494.80 20020624 26.60 20021008
2003 20824.14 241 86.41 11.17 330.16 20030416 27.24 20030103
2004 26470.60 243 108.93 14.85 286.68 20040924 31.67 20040907
2005 19240.21 242 79.51 16.47 221.58 20050818 36.75 20050707
2006 57816.60 241 239.90 42.67 626.89 20061206 67.63 20060313
2007 305434.29 242 1262.13 100.52 2712.94 20070530 502.08 20071123
2008 180429.95 246 733.46 66.31 1896.84 20080424 217.96 20080909
2009 346511.91 244 1420.13 138.03 2969.29 20090729 461.01 20090105
2010 304312.009 242 1257.488 107.29 3076.923 20101102 432.142 20100705
2011 237560.453 244 973.608 86.86 2080.931 20110307 364.736 20111229
2012 Fact Book 194 2012 Fact Book 195 Historical Statistics Historical Statistics
Historical Highs in Stock Turnover Value
Daily All-time Highs in Turnover Value
Rank Date Turnover Value (RMB10,000)
1 2010-11-02 30769228.81
2 2010-10-18 30130725.65
3 2010-11-12 29876868.16
4 2009-07-29 29692889.17
5 2009-11-24 29077692.90
6 2010-11-11 28825572.40
7 2010-11-05 27378871.64
8 2010-10-15 27296221.86
9 2007-05-30 27129417.55
10 2010-10-14 26512225.14
Monthly All-time Highs in Turnover Value
Rank Date Turnover Value (RMB10,000)
1 2009-07 473348150.75
2 2010-11 459221196.35
3 2007-05 392825190.85
4 2009-11 391509476.83
5 2011-03 370341232.47
6 2010-10 368912823.25
7 2007-08 355977025.69
8 2007-06 353325027.52
9 2009-08 333670929.92
10 2007-04 320068667.95
2012 Fact Book 196 2012 Fact Book 197 Historical Statistics Historical Statistics
Quarterly All-time Highs in Turnover Value
Rank Date Turnover (RMB10,000)
1 2010-4 1093562840.23
2 2009-3 1090366122.12
3 2007-2 1066218886.32
4 2009-4 911044772.45
5 2007-3 876488190.10
6 2009-2 851774845.98
7 2011-1 789777146.89
8 2010-1 687069640.38
9 2011-2 664042480.13
10 2010-3 658329652.60
2012 Fact Book 196 2012 Fact Book 197 Historical Statistics Historical Statistics
Listed Shares on the SSE, 1990-2011
Number Number of Listed Proceeds Raised Share Capital Issued Market Cap Year of Listed Companies Securities (RMB 100 million) (100 million shares) (RMB 100 million) 1990 8 30 10.11 2.61 12.34
1991 8 46 0.24 2.72 29.43
1992 29 87 41.39 46.94 558.4
1993 106 190 93.47 235.54 2206.2
1994 171 259 150.82 418.88 2600.13
1995 188 258 58.16 560.66 2525.66
1996 293 368 202.22 749.86 5477.81
1997 383 467 474.6 975.37 9218.06
1998 438 526 377.15 1280.35 10625.9
1999 484 576 486.37 1580.15 14580.47
2000 572 657 914.32 2032.42 26930.86
2001 646 744 957.49 3164.44 27590.56
2002 715 826 614.3 3727.84 25363.72
2003 780 914 560.96 4170.39 29804.92
2004 837 996 456.9 4700.55 26014.34
2005 834 1069 299.77 5023.05 23096.13
2006 842 1126 1714.41 10279.54 71612.38
2007 860 1125 6701.33 14173.1 269838.87
2008 864 1184 2238.16 15410.39 97251.91
2009 870 1351 3343.15 16659.96 184655.23
2010 894 1500 5532.14 21939.51 179007.24
2011 931 1691 3199.69 23466.65 148376.22
2012 Fact Book 198 2012 Fact Book 199 Historical Statistics Historical Statistics
Top 10 Increases and Decreases in SSE Index Series
Top 10 Increases in SSE 50 Index (in percentage)
Rank Increase (%) Date Index at Close
1 9.673 2008-4-24 2981.186
2 9.414 2008-9-19 1650.537
3 8.459 2008-2-4 3796.130
4 8.200 2005-6-8 772.134
5 8.144 2008-8-20 2042.944
6 7.866 2008-9-22 1780.375
7 7.786 2008-11-10 1469.623
8 6.880 2009-3-4 1671.569
9 6.226 2007-8-20 3831.053
10 5.802 2008-11-19 1543.770
Top 10 Decreases in SSE 50 Index (in percentage)
Rank Decrease (%) Date Index at Close
1 -9.471 2007-2-27 2030.357
2 -8.181 2008-6-10 2480.763
3 -7.463 2008-1-22 3679.014
4 -7.274 2008-10-27 1305.705
5 -7.253 2007-6-4 2695.765
6 -7.235 2008-11-18 1459.109
7 -7.181 2008-1-28 3597.264
8 -7.066 2008-6-19 2201.340
9 -6.698 2009-8-31 2046.589
10 -6.567 2007-1-31 2052.905
2012 Fact Book 198 2012 Fact Book 199 Historical Statistics Historical Statistics
Top 10 Increases in SSE 50 Index (in point)
Rank Increase (point) Date Index at Close
1 296.077 2008-2-4 3796.130
2 262.933 2008-4-24 2981.186
3 224.525 2007-8-20 3831.053
4 191.430 2007-11-29 3975.709
5 175.863 2007-11-14 4247.162
6 164.640 2008-4-30 3125.533
7 157.687 2007-8-3 3520.144
8 153.845 2008-8-20 2042.944
9 150.060 2008-3-28 2910.511
10 143.802 2008-1-23 3822.816
Top 10 Decreases in SSE 50 Index (in point)
Rank Decrease (point) Date Index at Close
1 -296.696 2008-1-22 3679.014
2 -278.314 2008-1-28 3597.264
3 -228.662 2007-11-8 4154.969
4 -221.026 2008-6-10 2480.763
5 -220.244 2008-1-21 3975.710
6 -212.407 2007-2-27 2030.357
7 -210.823 2007-6-4 2695.765
8 -193.435 2007-5-30 2857.002
9 -186.438 2007-10-25 4364.123
10 -180.781 2007-9-11 3992.034
2012 Fact Book 200 2012 Fact Book 201 Historical Statistics Historical Statistics
Top 10 Increases in SSE 180 Index (in percentage)
Rank Increase(%) Date Index at Close
1 9.941 2001-10-23 3252.329
2 9.640 2002-6-24 3145.021
3 9.361 2008-9-19 4646.217
4 9.291 2008-4-24 8467.245
5 9.287 2000-2-14 3611.194
6 9.251 1996-12-18 2492.852
7 8.367 1997-2-19 2647.419
8 8.359 2008-2-4 10962.100
9 8.153 2005-6-8 2131.830
10 8.150 1996-9-23 2380.006
Top 10 Decreases in SSE 180 Index (in percentage)
Rank Decrease(%) Date Index at Close
1 -9.978 1996-12-16 2503.090
2 -9.424 1997-2-18 2443.012
3 -9.292 2007-2-27 5629.336
4 -8.842 1996-12-17 2281.762
5 -8.305 1998-8-17 2686.767
6 -8.166 2008-6-10 7172.485
7 -7.726 2008-1-22 10606.500
8 -7.699 2007-6-4 7768.518
9 -7.569 1997-5-22 3773.982
10 -7.512 1999-7-1 3907.150
2012 Fact Book 200 2012 Fact Book 201 Historical Statistics Historical Statistics
Top 10 Increases in SSE 180 Index (in point)
Rank Increase (point) Date Index at Close
1 845.600 2008-2-4 10962.100
2 719.788 2008-4-24 8467.245
3 606.570 2007-8-20 10905.940
4 488.150 2007-11-14 11646.790
5 468.420 2007-11-29 11005.300
6 458.920 2008-1-23 11065.420
7 426.313 2008-8-20 5738.693
8 419.333 2008-4-30 8875.784
9 400.099 2008-4-7 8533.584
10 398.938 2008-3-28 8623.912
Top 10 Decreases in SSE 180 Index (in point)
Rank Decrease (point) Date Index at Close
1 -888.120 2008-1-22 10606.500
2 -780.400 2008-1-28 10497.910
3 -647.975 2007-6-4 7768.518
4 -637.818 2008-6-10 7172.485
5 -622.945 2007-5-30 8497.412
6 -619.730 2007-11-8 11458.590
7 -595.890 2008-1-21 11494.620
8 -585.530 2007-10-25 12034.160
9 -576.664 2007-2-27 5629.336
10 -551.140 2007-9-11 11459.810
2012 Fact Book 202 2012 Fact Book 203 Historical Statistics Historical Statistics
Top 10 Increases in SSE Composite Index (in percentage)
Rank Increase (%) Date Index at Close
1 105.269 1992-5-21 1266.490
2 33.457 1994-8-1 445.640
3 30.987 1995-5-18 763.510
4 29.904 1992-11-25 571.630
5 21.371 1994-8-5 683.040
6 20.889 1994-8-3 522.980
7 18.981 1994-8-10 739.560
8 16.436 1993-6-2 1081.200
9 15.522 1992-12-11 722.280
10 13.632 1992-11-30 724.600
Top 10 Decreases in SSE Composite Index (in percentage)
Rank Decrease (%) Date Index at Close
1 -16.394 1995-5-23 750.300
2 -13.076 1993-12-20 783.790
3 -12.675 1994-8-9 621.580
4 -11.751 1993-3-22 1036.920
5 -11.177 1992-10-27 450.280
6 -10.710 1994-10-5 706.420
7 -10.636 1994-10-13 635.390
8 -10.460 1993-3-1 1199.730
9 -10.443 1992-8-11 863.410
10 -10.301 1993-5-24 1026.130
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Top 10 Increases in SSE Composite Index (in point)
Rank Increase (point) Date Index at Close
1 649.500 1992-5-21 1266.490
2 351.403 2008-2-4 4672.170
3 304.698 2008-4-24 3583.028
4 254.576 2007-11-14 5412.694
5 248.281 2007-8-20 4904.855
6 199.939 2007-11-29 5003.333
7 180.620 1995-5-18 763.510
8 179.254 2008-9-19 2075.091
9 178.813 2008-8-20 2523.282
10 169.701 2008-4-30 3693.106
Top 10 Decreases in SSE Composite Index (in point)
Rank Decrease (point) Date Index at Close
1 -354.684 2008-1-22 4559.751
2 -342.394 2008-1-28 4419.294
3 -330.341 2007-6-4 3670.401
4 -281.836 2007-5-30 4053.088
5 -280.715 2007-10-25 5562.394
6 -271.760 2007-11-8 5330.023
7 -268.808 2007-2-27 2771.791
8 -266.079 2008-1-21 4914.435
9 -257.337 2008-6-10 3072.333
10 -241.319 2007-9-11 5113.968
2012 Fact Book 204 2012 Fact Book 205 Historical Statistics Historical Statistics
World Securities Markets
Statistics on Stock Exchanges around the World (as at end of December 2011)
Number of Listed Companies Market Cap Turnover Exchange Year-end Index (US$ million) (US$ million) Local Foreign
NYSE 7477.03(NYSE Composite Index) 1788 520 11795575.5 18027085.6
Nasdaq 2605.15(Nasdaq Composite Index) 2383 297 3845131.6 12723510.6
11955.09 TSX 3845 100 1912121.9 1542173.9 (S&P/TSX Composite Index)
LSE 2751.00(FTSE 100 Index) 2288 598 3266418.1 2836991.6
Euronext 2344.44 (SBF250) 969 143 2446767.5 2134206.4
Deutsche Börse AG 304.60 (CDAX) 670 76 1184500.2 1758185.2
ASX 4111.00 ( All Ordinaries) 1983 96 1198187.4 1196707.2
Tokyo Stock Exchange 728.61(TOPIX Index) 2280 11 3325387.8 3971891.8
SGX 2646.35(Straits Times Index) 462 311 598272.7 285118.2
Korea Exchange 1825.74(KOSPI Composite Index) 1799 17 996139.9 2029097.8
Bursa Malaysia 10489.07(FBM Emas) 932 8 395623.8 135949.4
National Stock Exchange of 3597.75(S&P CNX 500 Index) 1639 1 985269.4 588843.1 India
Stock Exchange of Thailand 1025.32(SET Index) 545 0 268488.8 222605.2
22252.19 HKEx 1472 24 2258035.2 1444609.9 (S&P/HKEx LargeCap Index)
Taiwan Stock Exchange 7072.08(TAIEX) 772 52 635505.8 889903.7
Source: http://www.world-exchanges.org
2012 Fact Book 204 2012 Fact Book 205 Historical Statistics Historical Statistics
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SSE Monthly Market Statistics Shanghai Securities Yearbook SSE Annual Report SSE Annual Statistics SSE Fact Book Securities Law Review (published semi-annually)
2012 Fact Book 206 2012 Fact Book 207 Historical Statistics Historical Statistics
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