Financial Performance - Total operating income for Q3 2023 reached CNY 4,406,184,749.86, an increase of 9.14% year-on-year[6] - Net profit attributable to shareholders for Q3 2023 was CNY 740,254,875.01, representing a significant increase of 167.32% compared to the same period last year[6] - Basic earnings per share for Q3 2023 were CNY 0.11, up 175.00% year-on-year[7] - Net profit for Q3 2023 reached CNY 2,919,464,367.10, an increase from CNY 2,585,861,455.15 in Q3 2022, representing a growth of approximately 12.9%[24] - Total revenue from sales of goods and services for the first nine months of 2023 was CNY 2,196,019,290.21, compared to CNY 1,840,244,169.70 in the same period of 2022, indicating a year-over-year increase of about 19.4%[26] - Operating profit for Q3 2023 was CNY 3,624,543,717.18, up from CNY 3,070,171,147.96 in Q3 2022, reflecting a growth of approximately 18%[24] - Total revenue for the first three quarters of 2023 reached ¥12,825,937,312.48, an increase of 2.85% compared to ¥12,470,710,576.83 in the same period of 2022[23] Assets and Liabilities - Total assets as of the end of Q3 2023 amounted to CNY 323,790,885,392.95, reflecting a growth of 21.45% from the end of the previous year[7] - The company's total assets as of September 30, 2023, were ¥323,790,885,392.95, compared to ¥266,593,422,668.52 at the end of 2022, representing a growth of 21.4%[20] - Current assets increased to ¥281,950,632,647.87 as of September 30, 2023, from ¥209,754,924,935.68 at the end of 2022, marking a rise of 34.4%[20] - Total liabilities as of September 30, 2023, were ¥264,801,927,712.26, compared to ¥209,981,306,434.41 at the end of 2022, indicating an increase of 26%[21] - The total equity attributable to shareholders increased to CNY 53,193,728,541.63, a rise of 3.87% from the end of the previous year[7] - The company's equity attributable to shareholders reached ¥53,193,728,541.63 as of September 30, 2023, up from ¥51,210,568,599.93 at the end of 2022, reflecting a growth of 3.87%[21] Cash Flow - The company reported a net cash flow from operating activities of CNY -16,320,840,881.29 for the year-to-date period[7] - Net cash flow from operating activities was negative at -¥16.32 billion, a decrease from ¥35.61 billion in the previous year[13] - Cash inflow from operating activities for the first nine months of 2023 totaled CNY 67,246,717,656.31, down from CNY 80,940,391,137.75 in the same period of 2022, indicating a decrease of about 16.9%[26] - The net cash flow from investment activities was -$68.02 million, an improvement from -$710.79 million year-over-year[27] - Cash inflow from financing activities totaled $35.50 billion, slightly up from $35.50 billion in the same quarter last year[27] - The net cash flow from financing activities surged by 260.90% to ¥11.61 billion, mainly from reduced cash payments for interest-bearing liabilities[13] Investment and Income - The company’s commission income and fair value changes contributed to the increase in net profit attributable to shareholders[11] - Investment income increased significantly to ¥566.64 million, a turnaround from a loss of ¥485.67 million in the same period last year[13] - Fair value changes in investments rose by 351.97% to ¥877.12 million, driven by increased fair value of financial assets[13] - Investment income for Q3 2023 was CNY 566,641,344.70, a significant recovery from a loss of CNY 485,665,957.05 in Q3 2022[24] Shareholder Information - The number of common shareholders at the end of the reporting period was 73,698[15] - The largest shareholder, China Development Investment Corporation, holds 41.6% of shares[15] Future Outlook - The company expects continued growth in revenue and profitability driven by enhanced operational efficiency and market expansion strategies[11] - The company is focusing on expanding its market presence and enhancing its product offerings through new technology developments and strategic initiatives[22] - The company plans to continue its investment in research and development to drive future growth and innovation in its product lines[22]

本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 证券代码：600061 证券简称：国投资本 公告编号：2023-044 国投资本份有限公司关于董事辞职 公司董事会于近日收到周云福先生递交的书面辞职报告。因工 作原因，周云福先生申请辞去公司董事职务。 及提名董事候选人的公告 周云福先生的辞职未导致公司董事会低于法定最低人数，不会影 响公司董事会的正常运作及经营管理的正常运行。根据《公司法》及 《公司章程》规定，周云福先生的辞职报告自送达董事会时生效。周 云福先生在担任公司董事期间恪尽职守、勤勉尽责，公司对周云福先 生在任期间为公司所做出的贡献表示衷心的感谢。 2023年10月26日，国投资本九届五次董事会审议通过《关于提名 第九届董事会董事候选人的议案》，提名石澜女士（简历见附件）为 公司第九届董事会董事候选人，任期自议案经股东大会审议通过之日 起，至本届董事会任期届满时止。此事项还需提交股东大会审议。 特此公告。 国投资本股份有限公司董事会 2023 年 10 月 27 日 石澜，女，1974年出生，工商管理硕士。现任深圳市资 ...

独立董事关于国投资本股份有限公司 九届五次董事会相关议案的独立意见 一、国投资本股份有限公司关于以集中竞价交易方式回购公 司 A 股股份方案的议案 二、国投资本股份有限公司关于提名第九届董事会董事候选 人的议案 公司董事会提名石澜女士为公司第九届董事会董事候选人。 经认真审核石澜女士的个人简历，认为其具备相关的专业知识和 工作经验，符合履行相关职责的要求，任职资格符合《公司法》和 《公司章程》等有关规定；未发现有《公司法》、《公司章程》等规 定不得担任公司董事的情况，以及被中国证监会认定为市场禁入 并且禁入尚未解除的情况。董事候选人的提名程序合法、有效。综 上，我们同意提名石澜女士为公司第九届董事会董事候选人，并提 交股东大会审议。 2 1、公司本次回购股份事项符合《中华人民共和国公司法》《中 华人民共和国证券法》《上市公司股份回购规则》《上海证券交易所 上市公司自律监管指引第 7 号—回购股份》等法律法规的规定， 审议该事项的董事会会议表决程序符合法律法规和《公司章程》的 相关规定，合法有效。 2、公司本次以集中竞价方式回购公司股份拟用于公司发行的 可转换公司债券转股。公司本次回购股份的实施，有利于维护广大 ...

证券代码：600061 证券简称：国投资本 公告编号：2023-041 国投资本股份有限公司 九届五次董事会决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大遗漏，并 对其内容的真实性、准确性和完整性承担个别及连带责任。 一、董事会会议召开情况 国投资本股份有限公司（以下简称"公司"）九届五次董事会 的召开符合《公司法》及《公司章程》的规定。会议通知和材料 已于 2023 年 10 月 19 日通过电子邮件方式发出。本次会议于 2023 年 10 月 26 日以通讯方式召开，会议应参会董事 7 人，实际参会 董事 7 人。公司董事长段文务主持本次会议，公司监事、高级管 理人员列席会议。 3.《国投资本股份有限公司关于提名第九届董事会董事候选 人的议案》 二、董事会会议审议情况 会议审议并通过了以下议案： 1.《国投资本股份有限公司 2023 年第三季度报告》 表决结果：同意 7 票，反对 0 票，弃权 0 票。 2．《国投资本股份有限公司关于以集中竞价交易方式回购公 司 A 股股份方案的议案》 为维护公司价值及股东权益，增强投资者信心，促进公司健 康、稳定、可持续发展，基于对 ...

证券代码：600061 证券简称：国投资本 公告编号：2023-043 国投资本股份有限公司 关于以集中竞价交易方式回购公司 A 股股份方案的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 重要内容提示： 截至本公告披露之日，公司董事、监事、高级管理人员、控 股股东、实际控制人、持股 5%以上的股东在未来 3 个月、未来 6 个月不存在减持公司股票的计划。上述主体如未来有减持计划， 相关方及公司将严格按照有关法律、法规及规范性文件的相关规 定履行信息披露义务。 拟回购股份的用途：用于公司发行的可转换公司债券转 股 回购资金总额：不低于人民币 2 亿元（含），不超过人民 币 4 亿元（含） 回购期限：自公司董事会审议通过本回购股份方案之日 起不超过 12 个月 回购价格：不超过人民币 8.46 元/股 回购资金来源：公司自有资金 相关股东是否存在减持计划： 1.本次回购期限内，若公司股票价格持续超出回购方案披露 的价格上限，存在导致回购方案无法实施的风险。 2.若发生对公司股票交易价格产生重大影响的事项，或公司 生产经营、 ...

经中国证券监督管理委员会《关于核准国投资本股份有限公司公开发行可转换公司 债券的批复》（证监许可[2020]1070 号）核准，公司于 2020 年 7 月 24 日公开发行了 8,000 万张可转换公司债券，每张面值 100 元，发行总额 80 亿元，期限为发行之日起 6 年。 | 证券代码：600061 | 证券简称：国投资本 | 公告编号：2023-039 | | --- | --- | --- | | 转债代码：110073 | 转债简称：国投转债 | | 国投资本股份有限公司 关于不向下修正"国投转债"转股价格的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大遗漏，并 对其内容的真实性、准确性和完整性承担个别及连带责任。 重要内容提示： 一、可转债发行上市概况 1.因公司实施 2020 年年度权益分配方案，自 2021 年 6 月 18 日起，转股价格调整 为 9.9 元/股，详见《国投资本股份有限公司关于 2020 年度权益分派调整可转债转股价 格的公告》（公告编号：2021-026）。 3. 因公司实施 2022 年年度利润分配方案，自 2023 年 6 月 15 ...

证券代码：600061 证券简称：国投资本 公告编号：2023-038 国投资本股份有限公司 九届四次董事会决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大遗漏，并 对其内容的真实性、准确性和完整性承担个别及连带责任。 一、董事会会议召开情况 国投资本股份有限公司（以下简称"公司"）九届四次董事会 的召开符合《公司法》及《公司章程》的规定。会议通知和材料 已于 2023 年 10 月 11 日通过电子邮件方式发出。本次会议于 2023 年 10 月 16 日以通讯方式召开，会议应参会董事 8 人，实际参会 董事 8 人。公司董事长段文务主持本次会议，公司监事、高级管 理人员列席会议。 二、董事会会议审议情况 公司董事会决议本次不行使"国投转债"的转股价格向下修 正的权利，且在未来六个月内（2023 年 10 月 17 日至 2024 年 4 1 月 16 日），如再次触及可转债的转股价格向下修正条款，亦不提 出向下修正方案。从 2024 年 4 月 17 日开始重新起算，若再次触 发"国投转债"的转股价格向下修正条款，届时公司董事会将再 次召开会议决定是否行使"国投转债"的 ...

| 证券代码：600061 | 证券简称：国投资本 | 公告编号：2023-036 | | --- | --- | --- | | 转债代码：110073 | 转债简称：国投转债 | | 经中国证券监督管理委员会《关于核准国投资本股份有限公司公开发行可转换公司 债券的批复》（证监许可[2020]1070号）核准，公司于2020年7月24日公开发行了8,000 万张可转换公司债券，每张面值100元，发行总额80亿元，期限为发行之日起6年。 经上海证券交易所自律监管决定书[2020]265号文同意，公司800,000万元可转换公 司债券于2020年8月20日起在上海证券交易所挂牌交易，债券简称"国投转债"，债券代 码"110073"。 根据《上海证券交易所股票上市规则》的相关规定和公司《可转换公司债券募集说 明书》的约定，公司该次发行的"国投转债"自2021年2月1日起可转换为本公司股份， 当前转股价格为人民币9.66元/股。 1 自 2021 年 2 月 1 日至 2023 年 9 月 28 日期间，公司可转债累计有人民币 699,000 元转换为公司 A 股股份，累计转股数量为 69,897 股（已根据公司 ...

| 证券代码：600061 | 证券简称：国投资本 | 公告编号：2023-037 | | --- | --- | --- | | 转债代码：110073 | 转债简称：国投转债 | | 国投资本股份有限公司 关于"国投转债"预计触发转股价格 向下修正条件的提示性公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大遗漏，并 对其内容的真实性、准确性和完整性承担个别及连带责任。 重要内容提示： 一、可转换公司债券发行上市情况 经中国证券监督管理委员会《关于核准国投资本股份有限公司公开发行可转换公司 债券的批复》（证监许可[2020]1070 号）核准，公司于 2020 年 7 月 24 日公开发行了 8,000 万张可转换公司债券，每张面值 100 元，发行总额 80 亿元，期限为发行之日起 6 年。 1 股票代码：600061，股票简称：国投资本 转债代码：110073，转债简称：国投转债 转股价格：9.66 元/股 转股时间：2021 年 2 月 1 日至 2026 年 7 月 23 日 2023 年 9 月 18 日至 2023 年 10 月 9 日，国投资本股份有限公司（以下 ...

Financial Performance - The company reported a total revenue of RMB 1.2 billion for the first half of 2023, representing a year-on-year increase of 15%[8]. - Net profit attributable to shareholders reached RMB 300 million, up 20% compared to the same period last year[8]. - Total revenue for the first half of 2023 was CNY 8,419,752,562.62, a slight decrease of 0.16% compared to the same period last year[15]. - Operating income increased by 28.27% year-on-year to CNY 1,077,967,101.13[15]. - Net profit attributable to shareholders decreased by 9.49% to CNY 1,687,527,987.21[15]. - Basic earnings per share decreased by 7.14% to CNY 0.26[16]. - The company reported a net profit of approximately ¥1.65 billion for the first half of 2023, a decrease of 7.17% compared to the same period last year[112]. - The total profit for the first half of 2023 is approximately ¥2.54 billion, a decrease of 7.1% from ¥2.74 billion in the first half of 2022[129]. - The company’s total comprehensive income for the first half of 2023 is approximately ¥2.31 billion, compared to ¥2.25 billion in the same period of 2022, showing a slight increase of 2.3%[130]. Asset and Liability Management - The company’s total assets increased to RMB 10 billion, reflecting a growth of 10% from the end of 2022[8]. - Total assets increased by 19.53% to CNY 318,661,496,953.15 compared to the end of the previous year[15]. - As of June 30, 2023, the total assets of the company reached CNY 318.66 billion, with a net asset attributable to shareholders of CNY 52.58 billion[39]. - The company’s total liabilities included short-term financing payables of ¥14,342,949,790.99, a 44.47% increase from ¥9,927,759,552.00[60]. - Current liabilities rose to ¥214,615,955,593.37 as of June 30, 2023, from ¥156,586,106,971.29 at the end of 2022, indicating an increase of approximately 37%[124]. - Total liabilities amounted to ¥260,477,894,486.07 as of June 30, 2023, compared to ¥209,981,306,434.41 at the end of 2022, marking an increase of around 24%[124]. Market Expansion and Strategy - The company plans to expand its market presence in Southeast Asia, targeting a 30% market share by 2025[8]. - New product launches are expected to contribute an additional RMB 200 million in revenue by the end of 2023[8]. - The company is focusing on market expansion and new product development as part of its strategic initiatives for future growth[146]. Research and Development - The company has allocated RMB 100 million for research and development of new technologies in the upcoming fiscal year[8]. - Research and development expenses for the first half of 2023 amount to ¥55.31 million, slightly down from ¥56.98 million in the same period of 2022, indicating a decrease of 2.9%[129]. Risk Management - The company has established a comprehensive risk management system, ensuring that all business lines operate smoothly and that overall risk levels align with risk preferences[27]. - The company's risk management framework includes a comprehensive system with a focus on compliance and risk control, ensuring business development aligns with regulatory standards[36]. - Credit risk management is strengthened through various mechanisms, including due diligence, client admission processes, and continuous monitoring of financing projects[68]. - The company has implemented a robust internal credit rating system for bond issuers and counterparties to enhance credit risk monitoring[68]. - The company maintains a proactive approach to regulatory compliance and risk management, ensuring effective responses to market fluctuations[67]. Corporate Governance - The company held its 2022 annual general meeting on April 18, 2023, where several key reports and proposals were approved, including the financial report for the year 2022[72]. - The company completed the election of its ninth board of directors and supervisory board, with new appointments including Duan Wenwu as chairman and Li Ying as general manager[75]. - The company reported changes in its board and supervisory personnel, with several members resigning and new members being elected[75]. Social Responsibility and ESG - The company has established a robust ESG management system and published its first ESG report, emphasizing its commitment to social responsibility[40]. - The company actively participated in social responsibility initiatives, including volunteer activities and campus outreach programs to support talent development[77]. - The company donated a total of 1.9469 million yuan during the reporting period, focusing on infrastructure, healthcare, and education projects in various counties[79]. Financial Instruments and Capital Structure - The company has issued corporate bonds with a total amount of RMB 2.5 billion at an interest rate of 2.80%[101]. - The company issued 60 billion yuan in short-term corporate bonds in 2023, with an interest rate of 2.65%[104]. - The company has a total of RMB 4.87 billion in outstanding bonds across various issuances[102]. - The company has a total of CNY 702,070,672.91 in other equity instruments at the end of the reporting period[152]. Cash Flow Management - Net cash flow from operating activities dropped significantly by 83.44% to CNY 4,234,753,347.78[15]. - Cash inflow from financing activities amounted to approximately ¥20.93 billion, an increase of 19.9% compared to ¥17.59 billion in the same period of 2022[136]. - The net cash flow from financing activities was -668,253,443.32 RMB, an improvement from -1,041,357,223.76 RMB in the first half of 2022[138]. Compliance and Legal Matters - The company has not engaged in any external guarantees that violate regulatory decision-making procedures[8]. - There were no significant lawsuits or arbitration matters during the reporting period[87]. - The company confirmed that it will assume all responsibilities related to potential disputes arising from asset sales[84].