上市公司名称：红塔证券股份有限公司 红塔证券股份有限公司 简式权益变动报告书 信息披露义务人：云南省投资控股集团有限公司 住所及通讯地址：云南省昆明市人民西路285号 股份变动性质：协议转让（减少） 签署日期：二〇二三年八月九日 1 股票上市地点：上海证券交易所 股票简称：红塔证券 股票代码：601236 信息披露义务人声明 本部分所述词语或简称与本报告书"释义"所述词语或简称具有相同含义。 一、信息披露义务人依据《中华人民共和国证券法》《上市公司收购管理办法》《上 市公司国有股权监督管理办法》《公开发行证券公司信息披露内容与格式准则第15号—— 权益变动报告书》等相关法律、法规及部门规章的有关规定编写本报告书。 二、信息披露义务人签署本报告书已获得必要的授权和批准，其履行亦不违反信息披 露义务人章程或内部规则中的任何条款，或与之相冲突。 三、依据《中华人民共和国证券法》《上市公司收购管理办法》的规定，本报告书已 全面披露信息披露义务人在红塔证券股份有限公司（以下简称"红塔证券"或"上市公 司"）中拥有权益的股份变动情况。 截至本报告书签署之日，除本报告书披露的信息外，上述信息披露义务人没有通过任 何其他方式 ...

证券代码：601236 证券简称：红塔证券 公告编号：2023-037 | 昆明产业开发投 | 5%以上非第一 | 295,875,826 | 6.27% | IPO 前取得： | | --- | --- | --- | --- | --- | | 资有限责任公司 | 大股东 | | | 227,596,789 股 | | | | | | 其他方式取得： | | | | | | 68,279,037 股 | 重要内容提示： 股东持股的基本情况：本次集中竞价减持计划实施前，昆明产业开发投 资有限责任公司（以下简称"昆明产投"）持有红塔证券股份有限公司（以下简 称"公司"、"红塔证券"）无限售条件流通股 295,875,826 股，占公司总股本比 例为 6.27%，前述股份来源分别为公司首次公开发行股票并上市前持有的股份 227,596,789 股以及公司配股公开发行证券获配股份 68,279,037 股。其中，昆 明产投持有的公司首次公开发行前股票于 2020 年 7 月 6 日起上市流通，其持有 的配股公开发行证券获配股份于 2021 年 8 月 25 日起上市流通。 集中竞价减持计划的实施结果情况：2023 ...

证券代码：601236 证券简称：红塔证券 公告编号：2023-038 红塔证券股份有限公司 关于 5%以上股东所持公司股份变动进展 的提示性公告 一、本次股份变动的基本情况 2023 年 7 月 17 日，红塔证券股份有限公司（以下简称"公司"、"红塔证 券"）在上海证券交易所网站（http://www.sse.com.cn）披露了《红塔证券股 份有限公司关于 5%以上股东筹划所持公司股份变动的提示性公告》（2023-036）。 2023 年 8 月 9 日，公司收到云南省投资控股集团有限公司（以下简称"云 投集团"）、云南云投资本运营有限公司（以下简称"云投资本"）来函，经云 南省国有资产监督管理委员会审批，云投集团与云投资本于 2023 年 8 月 9 日签 订《关于红塔证券股份有限公司之股份转让协议》，将云投集团持有的所有红塔 证券 817,238,839 股股票（占公司股本比例为 17.33%）通过非公开协议转让的 方式增资至云投资本。 二、云南云投资本运营有限公司基本情况 | 公司名称 | 云南云投资本运营有限公司 | | --- | --- | | 法定代表人 | 李锦庆 | | 注册地址 | ...

Financial Performance - The company's operating revenue for Q1 2023 was RMB 490,156,104.45, showing a significant increase compared to the previous year[4] - Net profit attributable to shareholders for Q1 2023 was RMB 225,388,350.45, marking a year-on-year increase of RMB 94.4 million[5] - Basic and diluted earnings per share for Q1 2023 were both RMB 0.05[4] - Total operating revenue for Q1 2023 was CNY 490.16 million, a significant increase from a loss of CNY 673.50 million in Q1 2022[20] - Net profit for Q1 2023 reached CNY 224.59 million, a turnaround from a net loss of CNY 727.36 million in Q1 2022[22] - The total comprehensive income for Q1 2023 was CNY 271.85 million, compared to a loss of CNY 742.39 million in Q1 2022[22] Cash Flow and Liquidity - The net cash flow from operating activities was negative at RMB -4,344,124,876.14, indicating a decrease in cash inflow compared to the previous year[4] - Cash flow from operating activities showed a net outflow of CNY 4.34 billion, worsening from a net outflow of CNY 2.90 billion in the same quarter last year[24] - The company reported a net cash outflow from investment activities of ¥13,843,722.63, compared to ¥5,401,133.96 in the previous period, indicating a significant increase in investment expenditures[25] - Total cash and cash equivalents at the end of the period amounted to ¥6,421,156,981.42, down from ¥10,514,328,211.38 at the beginning of the period, reflecting a net decrease of ¥4,904,353,301.15[25] - Cash outflows from financing activities totaled ¥4,098,088,030.63, a significant increase compared to ¥623,021,092.82 in the previous period, indicating higher debt repayments and dividend distributions[25] Assets and Liabilities - Total assets at the end of the reporting period were RMB 45,376,059,302.30, a decrease of 1.66% from the previous year[5] - The total assets as of March 31, 2023, amount to RMB 45,376,059,302.30, a decrease from RMB 46,144,136,738.79 as of December 31, 2022[17] - The company's total liabilities amounted to ¥23,026,574,007.18, showing a marginal increase from ¥23,004,574,969.57 in the previous period[28] - The total liabilities as of March 31, 2023, are RMB 21,964,648,324.00, down from RMB 23,004,574,969.57 at the end of 2022[18] - The company's equity attributable to shareholders increased to RMB 23,145,315,300.65 from RMB 22,872,662,943.56 year-over-year[19] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 99,273[9] - Major shareholders include Yunnan Hehe Group Co., Ltd. with a 30.17% stake and Yunnan Provincial Investment Holding Group Co., Ltd. with a 17.33% stake[9] - As of the reporting period, Yunnan Hehe (Group) Co., Ltd. and other companies controlled by China Tobacco Corporation collectively hold 59.49% of Hongta Securities' shares[13] Investment and Fair Value - The company reported a significant increase in the fair value gains of trading financial assets, contributing to the rise in net interest income[7] - Net interest income rose to CNY 83.37 million, compared to CNY 3.84 million in the same period last year[20] - The company recorded a fair value change gain of CNY 269.78 million, a significant improvement from a loss of CNY 1.20 billion in Q1 2022[20] - The company reported a significant increase in other equity instrument investments to RMB 14,346,641,359.00 from RMB 9,313,519,624.00[18] Legal Matters - The company is involved in ongoing litigation matters, including a rental contract dispute and a stock pledge contract dispute, with no significant updates reported[15][16] Accounting and Reporting Changes - The company executed new accounting standards starting in 2023, which resulted in adjustments to the financial statements[25]

Financial Performance - The company's operating revenue for 2022 was ¥836,168,832.89, a decrease of 87.58% compared to ¥6,733,758,206.26 in 2021[34]. - The net profit attributable to shareholders for 2022 was ¥38,525,064.57, down 97.56% from ¥1,576,229,463.11 in 2021[34]. - The net cash flow from operating activities for 2022 was ¥1,846,889,289.71, compared to a negative cash flow of ¥594,535,025.45 in 2021[34]. - Total assets at the end of 2022 amounted to ¥46,144,136,738.79, reflecting a 4.34% increase from ¥44,224,569,005.18 at the end of 2021[34]. - The basic earnings per share for 2022 was ¥0.01, a decrease of 97.22% from ¥0.36 in 2021[36]. - The weighted average return on equity for 2022 was 0.17%, down 8.86 percentage points from 9.03% in 2021[36]. - The total liabilities for 2022 were ¥23,004,574,969.57, an increase of 11.50% from ¥20,632,557,642.41 in 2021[35]. - The company's net capital at the end of 2022 was ¥19,477,531,090.06, down from ¥21,129,029,184.64 at the end of the previous year[37]. - The liquidity coverage ratio for 2022 was 1,678.14%, an increase from 1,622.51% in 2021[37]. - The company's total investment income for the year was approximately ¥387.61 million[42]. Dividend Policy - The company plans to distribute a cash dividend of 0.50 CNY per 10 shares, totaling 235,839,387.10 CNY, which represents 612.17% of the net profit attributable to shareholders in 2022[3]. - The cash dividend per 10 shares is RMB 0.50, with no stock dividends or bonus shares issued[193]. - The cash dividend policy stipulates that the cumulative cash dividends over the last three years should not be less than 30% of the average distributable profit for those years, provided the net profit continues to grow steadily[187]. - The company will consider a cash dividend ratio of at least 80% for mature stages without significant capital expenditure, and at least 40% if there are major capital expenditures planned[187]. - The company emphasizes a stable and sustainable profit distribution policy that balances long-term interests and reasonable returns for all shareholders[186]. Risk Management - The company has established a comprehensive risk management system, including a clear organizational structure and a quantitative risk indicator system to monitor and manage risks effectively[126]. - The company emphasizes the importance of compliance and legal risk management to avoid potential legal liabilities and regulatory penalties[125]. - The company has implemented a liquidity risk indicator system, setting minimum cash reserve limits to safeguard liquidity and conducting stress tests to assess potential liquidity needs[130]. - The market risk management framework includes a Value at Risk (VaR) model that covers key risk factors such as stock prices, interest rates, and exchange rates, with ongoing backtesting to ensure accuracy[127]. - The company recognizes the importance of maintaining a strong risk management culture and has implemented various measures to promote this across all levels[126]. Corporate Governance - The board of directors consists of 9 members, including 3 independent directors, ensuring a balanced governance structure[137]. - The company has established a comprehensive anti-money laundering system, enhancing control measures against money laundering and terrorist financing risks[133]. - The company has a dedicated human resources department and an independent workforce, ensuring operational independence from the controlling shareholder[138]. - The company has a robust internal control mechanism for integrity management, focusing on risk prevention and accountability[134]. - The company has committed to avoiding conflicts of interest with its controlling shareholder, ensuring a complete and independent business system[139]. Market Position and Strategy - The company aims to serve the high-quality development of the tobacco industry and act as a "connector" between the tobacco sector and the capital market[9]. - The company is focused on expanding its market presence through the establishment of additional branches in various regions[22]. - The company aims to enhance its investment strategy by focusing on sectors such as new energy, hard technology, and medical health[57]. - The company is exploring potential mergers and acquisitions to strengthen its market position, with a budget of 500 million yuan set aside for strategic investments[154]. - The company plans to expand its market presence in Southeast Asia, targeting a 10% market share by the end of 2023[152]. Employee and Management - The company reported a total of 1,367 employees, with 1,044 in the parent company and 323 in major subsidiaries[182]. - The company’s compensation policy includes a deferred payment mechanism where over 40% of performance-based pay for specific personnel is paid after a delay of at least 3 years[184]. - The company’s average salary in 2021 was at the bottom of the listed brokerage industry, and the overall salary level remains low[184]. - The company’s training program for 2023 will focus on enhancing the training system to support business development and employee growth[185]. - A total of 118 training sessions were attended by company personnel to improve compliance awareness and operational standards throughout 2022[200]. Future Outlook - The company provided a positive outlook for 2023, projecting a revenue growth of 10% to 1.65 billion[150]. - The company is investing heavily in R&D, with a budget increase of 25%, totaling 100 million for new technology development[150]. - The management emphasized the importance of sustainability initiatives, committing to reduce carbon emissions by 15% by 2025[150]. - The company aims to improve operational efficiency, targeting a 10% reduction in costs through process optimization[150]. - The company is set to launch two new products in Q2 2023, anticipated to contribute an additional 100 million in revenue[152].

证券代码：601236 证券简称：红塔证券 公告编号：2023-015 红塔证券股份有限公司 关于召开 2022 年度业绩说明会的公告 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： 一、业绩说明会类型 本次投资者说明会以视频结合网络互动召开，公司将针对 2022 年度经营成 果及财务指标的具体情况与投资者进行互动交流和沟通，在信息披露允许的范围 内就投资者普遍关注的问题进行回答。。 二、业绩说明会召开的时间、地点 会议召开时间；2023 年 4 月 18 日（星期二）15：00-16：30 会议召开地点：上海证券交易所路演中心（以下简称"上证路演中心"） （http://roadshow.sseinfo.com/） 会议召开方式：上证路演中心视频直播和网络互动 投资者可于 2023 年 4 月 11 日（星期二）至 2023 年 4 月 17 日（星期 一）16:00 前登录上证路演中心网站首页点击"提问预征集"栏目或通过公司邮 箱 investor@hongtastock.com 进行提问。公司将于 2022 ...

Group 1: Financial Performance - In 2020, the company's securities investment business achieved revenue of 222,130.01 million yuan, a year-on-year increase of 48.12% [3] - The asset management business generated revenue primarily from product management fees [3] - The retail and online financial business realized revenue of 21,876.66 million yuan, growing by 35.64% [4] - The fund management business achieved revenue of 23,112.43 million yuan, with a year-on-year growth of 64.52% [5] - The investment banking business generated revenue of 15,881.48 million yuan, an increase of 264.31% year-on-year [5] Group 2: Business Strategy and Development - The company aims to transform into a comprehensive securities firm with a diverse range of services and stable profitability within three years [4] - The self-operated business contributed approximately 70% of the total operating profit in 2020 [4] - The company is focusing on high-quality development and expanding new business areas in line with regulatory policies and industry experience [4] - The company is currently in the process of establishing a securities research institute, which has not yet covered the entire industry [3] Group 3: Risk Management and Response - Following the default of Yongmei Coal's bonds, the company actively communicated with the bond issuer and participated in bondholder meetings to negotiate an extension agreement [1] - The company has received 50% of the principal and all interest for the Yongmei CP001 bonds, with no risk events reported for other bonds to date [3] Group 4: Future Outlook - The company plans to disclose its Q1 2021 report on April 29, 2021 [3] - The company is preparing for a significant IPO year, with several ongoing IPO projects [5] - The company currently has 60 brokerage branches and will continue to open new branches as needed [6]