证券代码：000166 证券简称：申万宏源 公告编号：临2023-68 申 万 宏 源 集 团 股 份 有 限 公 司 关于申万宏源证券有限公司2023年面向专业投资者 公开发行永续次级债券（第四期）发行结果的公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整， 没有虚假记载、误导性陈述或重大遗漏。 本期债券登记完成后拟于深圳证券交易所上市交易。 特此公告。 申万宏源集团股份有限公司董事会 二〇二三年十一月十四日 经中国证券监督管理委员会《关于同意申万宏源证券有限公司向 专业投资者公开发行永续次级公司债券注册的批复》（证监许可〔2022〕 1286 号）同意，公司所属申万宏源证券有限公司获准公开发行永续 次级债券。（相关情况请详见公司于 2022 年 6 月 29 日在《中国证券 报》《证券时报》《上海证券报》和巨潮资讯网 www.cninfo.com.cn 上 刊登的公告） 申万宏源证券有限公司 2023 年面向专业投资者公开发行永续次 级债券（第四期）（以下简称"本期债券"）发行工作于 2023 年 11 月 10 日结束，本期债券发行规模为人民币 18 亿元，票面利率为 3.50%， 本期债 ...

证券代码：000166 证券简称：申万宏源 申万宏源集团股份有限公司投资者关系活动记录表 编号：2023-1109 | 投资者关系活动 | □媒体采访 | □特定对象调研 □分析师会议 □业绩说明会 | | | --- | --- | --- | --- | | | □新闻发布会 | □路演活动 | | | 类别 | □现场参观 | | | | | √其他 | | | | 参与单位名称及 | 华泰证券 年度投资峰会所邀请的投资者 2024 | | | | 人员姓名 | | | | | 时 间 | 2023 年 11 月 9 日 15:30-16:20 | | | | 地 点 | 北京 | | | | 上市公司接待人 | 李 丹、黄佳怡、王可昕，申万宏源集团股份有限公司董事会 | | | | 员姓名 | 办公室人员 | | | | 投资者关系活动 | 1.请介绍公司前三季度经营情况 | | | | | | 今年前三季度公司牢牢把握高质量发展首要任务，坚持 | | | | 稳中求进，各项业务发展稳健向好。前三季度实现营业收入 | | | | | 162.83 亿元，净利润 50.14 亿元，同比增长 | 10.4 ...

| 2. 股份分類 | 普通股 | 股份類別 | A | | 於香港聯交所上市 (註1) | | 否 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 | 000166 | 說明 | A股 (深圳證券交易所) | | | | | | | | | 法定/註冊股份數目 | | 面值 | | | 法定/註冊股本 | | | 上月底結存 | | | 22,535,944,560 | RMB | | 1 RMB | | 22,535,944,560 | | 增加 / 減少 (-) | | | 0 | | | RMB | | 0 | | 本月底結存 | | | 22,535,944,560 | RMB | | 1 RMB | | 22,535,944,560 | | 1. 股份分類 | 普通股 | 股份類別 H | | | | 於香港聯交所上市 (註1) | | 是 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 | 06806 | 說明 | ...

Financial Performance - The company's operating revenue for Q3 2023 was CNY 4,043,334,862.72, a decrease of 22.81% compared to the same period last year[4] - The net profit attributable to shareholders for Q3 2023 was CNY 599,664,548.09, down 34.62% year-on-year[4] - The basic earnings per share for Q3 2023 was CNY 0.02, reflecting a 50% decrease compared to the previous year[4] - The total operating revenue for the first nine months of 2023 was RMB 16.28 billion, a decrease of 9.8% compared to RMB 18.06 billion in the same period of 2022[12] - Net income for the first nine months of 2023 reached RMB 5.01 billion, representing an increase of 10.4% from RMB 4.54 billion in the same period of 2022[12] - The company’s net profit attributable to shareholders was RMB 4.35 billion, an increase from RMB 4.28 billion in the same period of 2022[12] - The company’s operating profit for the first nine months of 2023 was RMB 5.64 billion, up from RMB 5.09 billion in the same period of 2022[12] - The company’s total comprehensive income for the first nine months of 2023 was RMB 6.04 billion, compared to RMB 4.52 billion in the same period of 2022[12] - The basic and diluted earnings per share remained at RMB 0.17 for both 2023 and 2022[12] Assets and Liabilities - The total assets as of September 30, 2023, were CNY 612,973,195,325.89, a slight decrease of 0.02% from the end of the previous year[4] - As of September 30, 2023, total assets amounted to RMB 612.97 billion, slightly down from RMB 613.12 billion at the end of 2022[11] - Cash and cash equivalents decreased to RMB 93.42 billion from RMB 113.22 billion, a decline of approximately 17.5%[11] - Customer deposits fell to RMB 67.56 billion from RMB 81.12 billion, representing a decrease of about 16.7%[11] - Total liabilities decreased to RMB 487.97 billion from RMB 496.44 billion, a reduction of approximately 1.9%[11] - The total amount of financial investments in debt securities decreased to RMB 235.58 billion from RMB 279.02 billion, a drop of about 15.5%[11] Shareholder Information - Total number of ordinary shareholders at the end of the reporting period is 261,598, with 261,539 being A-share shareholders[9] - The largest shareholder, China Jianyin Investment Limited, holds 26.34% of shares, totaling 6,596,306,947 shares[10] - Central Huijin Investment Limited, the second-largest shareholder, owns 20.05% of shares, amounting to 5,020,606,527 shares[10] - Hong Kong Central Clearing (Agent) Limited holds 10.00% of shares, equivalent to 2,503,809,770 shares[10] - Shanghai Jushi (Group) Limited and Sichuan Development (Holding) Limited hold 4.84% and 4.49% of shares, respectively, with 1,211,310,389 and 1,124,543,633 shares[10] - China Everbright Group holds 3.99% of shares, totaling 999,000,000 shares, with 67,500,000 shares pledged[10] - China Securities Finance Corporation holds 2.54% of shares, amounting to 635,215,426 shares[10] - Xinjiang Financial Investment (Group) Limited holds 1.60% of shares, totaling 400,095,559 shares, with 187,000,000 shares pledged[10] - The total number of preferred shareholders and their holdings is not applicable[10] Cash Flow and Investments - The company reported a net cash flow from operating activities of CNY 50,164,115,326.49 for the year-to-date period, an increase of 1,329.23% year-on-year[4] - The net cash flow from operating activities was RMB 50.16 billion, significantly higher than RMB 3.51 billion in the same period of 2022[13] - The company reported a net decrease in cash and cash equivalents of RMB 34.22 billion, compared to an increase of RMB 10.13 billion in the previous year[13] - The net investment cash flow was negative at RMB 72.37 billion, compared to a positive cash flow of RMB 122.06 million in the same period of 2022[13] Other Financial Metrics - The return on equity (ROE) for Q3 2023 was 0.60%, a decrease of 0.35 percentage points compared to the previous year[4] - The total equity attributable to shareholders increased by 4.83% to CNY 99,635,530,216.04 compared to the end of the previous year[4] - The company's equity attributable to shareholders increased to RMB 99.64 billion from RMB 95.04 billion, reflecting a growth of about 4.2%[11] - Other comprehensive income improved to RMB 399.71 million from a loss of RMB 840.63 million, indicating a significant recovery[11] - The company's retained earnings increased to RMB 33.46 billion from RMB 30.15 billion, showing a growth of approximately 10.4%[11] - The total equity increased to RMB 125.01 billion from RMB 116.68 billion, reflecting a growth of about 7.1%[11] Corporate Governance and Reporting - The third quarter report for 2023 has not been audited[14] - The new accounting standards were first implemented in 2023, affecting the financial statements from the beginning of the year[14] - The chairman of the board is Liu Jian[14] - The report was released on October 30, 2023[14] - The company is part of Shenwan Hongyuan Group Co., Ltd.[14] - There are no specific performance summaries or user data provided in the document[14] - Future outlook and performance guidance are not detailed in the report[14] - No information on new products, technologies, market expansion, or mergers and acquisitions is included[14] - The document does not specify any new strategies[14] - The report indicates that it is not applicable for the new accounting standards to be executed[14]

Financial Performance - The company's operating revenue for Q3 2023 was RMB 4,043,334,862.72, a decrease of 22.81% compared to the same period last year[3]. - Net profit attributable to shareholders for Q3 2023 was RMB 599,664,548.09, down 34.62% year-on-year[3]. - The basic earnings per share for Q3 2023 was RMB 0.02, reflecting a 50.00% decrease compared to the previous year[3]. - Total operating revenue for the first nine months of 2023 was RMB 16.28 billion, a decrease of 9.7% compared to RMB 18.06 billion in the same period of 2022[11]. - Net profit for the first nine months of 2023 reached RMB 5.01 billion, an increase of 10.4% from RMB 4.54 billion in the same period of 2022[11]. - Net income from commission and fee income was RMB 5.38 billion, down 17.5% from RMB 6.52 billion in the previous year[11]. - The company reported a significant reduction in operating expenses to RMB 10.64 billion, down 17.8% from RMB 12.96 billion in the previous year[11]. - The total comprehensive income for the first nine months of 2023 reached RMB 6,039,388,996.79, an increase from RMB 4,522,524,565.96 in the same period of 2022, representing a growth of approximately 33.6%[12]. Assets and Liabilities - Total assets as of September 30, 2023, were RMB 612,973,195,325.89, a slight decrease of 0.02% from the end of the previous year[3]. - Total liabilities increased by 33.55% to CNY 44,099,865,675.33, attributed to an increase in payable performance bonds[6]. - Total liabilities as of September 30, 2023, were RMB 487.97 billion, a decrease of 1.9% from RMB 496.44 billion at the end of 2022[10]. - The company’s total equity increased to RMB 125.01 billion as of September 30, 2023, compared to RMB 116.68 billion at the end of 2022[10]. Cash Flow - The net cash flow from operating activities for the year-to-date period reached RMB 50,164,115,326.49, an increase of 1,329.23% year-on-year[3]. - The net cash flow generated from operating activities for the first nine months of 2023 was RMB 50,164,115,326.49, significantly higher than RMB 3,509,871,164.84 in the same period of 2022[13]. - The company reported a total cash inflow from financing activities of RMB 71,896,390,685.79 in the first nine months of 2023, compared to RMB 99,059,283,600.42 in the same period of 2022, indicating a decrease of about 27.5%[14]. - The net cash flow from investment activities for the first nine months of 2023 was negative at RMB -72,367,052,700.35, contrasting with a positive cash flow of RMB 122,064,641.07 in the same period of 2022[13]. - The total cash and cash equivalents at the end of September 2023 amounted to RMB 113,041,963,834.05, down from RMB 156,191,093,006.00 at the end of September 2022[14]. - The net increase in cash and cash equivalents for the first nine months of 2023 was negative at RMB -34,215,915,865.79, compared to a positive increase of RMB 10,129,659,790.25 in the same period of 2022[14]. - The cash inflow from operating activities totaled RMB 81,162,533,364.97 in the first nine months of 2023, compared to RMB 35,550,086,897.80 in the same period of 2022, reflecting a substantial increase[13]. - The company’s cash outflow from financing activities was RMB 83,933,514,789.03 in the first nine months of 2023, a decrease from RMB 92,534,878,990.43 in the same period of 2022, indicating improved cash management[14]. Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 261,598, with the top ten shareholders holding a combined 70.62%[7]. - The largest shareholder, China Construction Bank Investment Co., Ltd., holds 26.34% of the shares, totaling 6,596,306,947 shares[8]. - The total share capital as of the last trading day before disclosure was 25,039,944,560 shares[4]. Investment and Income - Non-recurring gains and losses for Q3 2023 totaled RMB 279,818.76, with significant contributions from government subsidies and asset disposals[5]. - Investment income surged by 277.39% to CNY 5,497,357,035.53 as a result of increased gains from the disposal of trading financial assets[6]. - Investment income significantly increased to RMB 5.50 billion, compared to RMB 1.46 billion in the same period last year, marking a growth of 276.5%[11]. - Other business income fell by 42.35% to CNY 3,139,362,986.18 primarily due to a decrease in bulk commodity sales revenue[6]. - Net interest income decreased by 95.52% to CNY 5,104,259.86 due to a reduction in interest income from lent funds[6]. - The weighted average return on net assets for Q3 2023 was 0.60%, a decrease of 0.35 percentage points compared to the previous year[3]. - The company reported a diluted earnings per share of RMB 0.17 based on the latest share capital[4]. - The company’s earnings per share (EPS) remained stable at RMB 0.17 for both basic and diluted EPS in the first nine months of 2023, unchanged from the same period in 2022[12]. Comprehensive Income - Other comprehensive income showed a significant recovery, reaching CNY 399,710,573.76 compared to a loss of CNY 840,632,581.06 in the previous period[6]. - The company recorded a post-tax net amount of other comprehensive income attributable to shareholders of the parent company of RMB 994,391,474.68 for the first nine months of 2023, a recovery from a loss of RMB -84,521,242.03 in the same period of 2022[12]. - The company reported a 55.16% decline in fair value changes to CNY 1,913,847,938.71, influenced by reduced gains from derivative financial instruments[6]. Future Plans - The company plans to focus on expanding its investment banking and asset management services in the upcoming quarters[11].

证券代码：000166 证券简称：申万宏源 公告编号：临2023-65 申 万 宏 源 集 团 股 份 有 限 公 司 关于申万宏源证券有限公司2023年面向专业投资者 公开发行永续次级债券（第三期）在深圳证券交易所 上市的公告 二〇二三年十月二十七日 经深圳证券交易所审核，本期债券定于 2023 年 10 月 27 日起在 深圳证券交易所上市，面向专业投资者中的机构投资者交易，债券简 称"23 申证 Y3"，债券代码"148481"。 本公司及董事会全体成员保证信息披露的内容真实、准确、完整， 没有虚假记载、误导性陈述或重大遗漏。 申万宏源证券有限公司 2023 年面向专业投资者公开发行永续次 级债券（第三期）（以下简称"本期债券"）发行工作于 2023 年 10 月 23 日结束，本期债券发行规模为人民币 15 亿元，票面利率为 3.60%， 本期债券采用浮动利率形式，单利按年计息，在债券存续的前 5 个计 息年度内保持不变，自第 6 个计息年度起每 5 年重置一次票面利率， 本期债券以每5个计息年度为1个重定价周期，在每个重定价周期末， 发行人有权选择将本期债券期限延长1个重定价周期（即延续 5年）， ...

证券代码：000166 证券简称：申万宏源 公告编号：临2023-66 申 万 宏 源 集 团 股 份 有 限 公 司 关于申万宏源证券有限公司 2020 年面向专业投资者公开发 行公司债券（第三期）（品种二）兑付兑息并摘牌的公告 本期债券兑付日为2023年10月26日，摘牌日为2023年10月26日， 申万宏源证券有限公司已按照《申万宏源证券有限公司2020年面向专 业投资者公开发行公司债券（第三期）募集说明书》相关约定，完成 本次本息兑付并予以摘牌。 特此公告。 申万宏源集团股份有限公司董事会 二〇二三年十月二十七日 本公司及董事会全体成员保证信息披露的内容真实、准确、完整， 没有虚假记载、误导性陈述或重大遗漏。 公司所属子公司申万宏源证券有限公司于 2020 年 10 月 26 日发 行申万宏源证券有限公司 2020 年面向专业投资者公开发行公司债券 （第三期）（品种二）（以下简称"本期债券"），发行规模人民币 57 亿元，票面利率 3.68%，期限 3 年，债券代码 149274，债券简称 20 申证 10。（相关情况请详见公司于 2020 年 10 月 28 日在《中国证 券报》《证券时报》《上海证 ...

特此公告。 申万宏源集团股份有限公司董事会 二〇二三年十月二十四日 经中国证券监督管理委员会《关于同意申万宏源证券有限公司向 专业投资者公开发行永续次级公司债券注册的批复》（证监许可〔2022〕 1286 号）同意，公司所属申万宏源证券有限公司获准公开发行永续 次级债券。（相关情况请详见公司于 2022 年 6 月 29 日在《中国证券 报》《证券时报》《上海证券报》和巨潮资讯网 www.cninfo.com.cn 上 刊登的公告） 申万宏源证券有限公司 2023 年面向专业投资者公开发行永续次 级债券（第三期）（以下简称"本期债券"）发行工作于 2023 年 10 月 23 日结束，本期债券发行规模为人民币 15 亿元，票面利率为 3.60%， 本期债券采用浮动利率形式，单利按年计息，在债券存续的前 5 个计 息年度内保持不变，自第 6 个计息年度起每 5 年重置一次票面利率， 本期债券以每5个计息年度为1个重定价周期，在每个重定价周期末， 发行人有权选择将本期债券期限延长1个重定价周期（即延续 5年）， 或全额兑付本期债券。 本期债券登记完成后拟于深圳证券交易所上市交易。 证券代码：000166 证券简称 ...

香港交易及結算所有限公司及香港聯合交易所有限公司對本公告之內容概不負責，對其準確性或完整性亦不發表 任何聲明，並明確表示，概不對因本公告全部或任何部分內容而產生或因倚賴該等內容而引致之任何損失承擔任 何責任。 董事長 劉健 董事會召開日期 中國，北京 2023年10月16日 申萬宏源集團股份有限公司（「本公司」）董事會（「董事會」）茲通告謹定於2023年1 0月3 0 日（星期一）舉行董事會會議，以考慮及批准本公司及其附屬公司截至2023年9月30日止 九個月的季度業績及其發佈，以及處理其他事項。 於本公告日期，董事會成員包括執行董事劉健先生及黃昊先生；非執行董事任曉濤先生、張宜剛先生、朱志龍先 生、張英女士及邵亞樓先生；獨立非執行董事楊小雯女士、武常岐先生、陳漢文先生及趙磊先生。 承董事會命 申萬宏源集團股份有限公司 6806 ...

证券代码：000166 证券简称：申万宏源 公告编号：临2023-62 申 万 宏 源 集 团 股 份 有 限 公 司 关于申万宏源证券有限公司 2023 年面向专业 投资者公开发行公司债券（第四期） 在深圳证券交易所上市的公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整， 没有虚假记载、误导性陈述或重大遗漏。 公司所属申万宏源证券有限公司 2023 年面向专业投资者公开发 行公司债券（第四期）（以下简称"本期债券"）的发行工作于 2023 年 9 月 21 日完成。本期债券发行规模人民币 49 亿元，分两个品种， 其中品种一发行规模人民币 28 亿元，期限 2 年，票面利率 2.80%； 品种二发行规模人民币 21 亿元，期限 5 年，票面利率 3.14%。（相关 情况请详见公司于 2023 年 9 月 23 日在《中国证券报》《证券时报》 《上海证券报》和巨潮资讯网 www.cninfo.com.cn 上刊登的公告） 经深圳证券交易所审核，本期债券定于 2023 年 9 月 28 日起在深 圳证券交易所上市，面向专业投资者中的机构投资者交易，品种一债 券简称"23 申证 07"，债券代码为" ...