fact book 2013 - shanghai stock exchangeenglish.sse.com.cn/news/publications/factbook/c/... ·...

Fact Book 2013

2013 Fact Book III

Contents

Shanghai Securities Market.......................................................1

Historical Review .........................................................................................................................................1

Securities Products ......................................................................................................................................1

2012 Market Review....................................................................5

Overview ....................................................................................................................................................5

Securities Issuance and Listing ......................................................................................................................5

Major Events in the Securities Market 2012 ....................................................................................................6

Market Highlights .........................................................................................................................................9

Transactions ................................................................................................................................................9

Stock Indices .............................................................................................................................................10

Ratios .......................................................................................................................................................10

Stock market: .............................................................................13

Trading system ...........................................................................................................................................13

Trading relations ........................................................................................................................................13

Table 1: Breakdown of Centralized Trading Business ........................................................................................15

Table 2: Breakdown of Trading-related Services ..............................................................................................17

Table of Fees Charged and Taxes Withheld by SSE ..........................................................................................19

2012 Monthly Trading Volume, Trading Value and P/E Ratio ..............................................................................24

Top 20 Most Traded Stocks by Turnover Volume .............................................................................................25

Top 20 Most Traded Stocks by Trading Value ..................................................................................................26

Top 20 Gainers ..........................................................................................................................................27

Top 20 Losers ...........................................................................................................................................28

2012 Top 10 in Margin Trading ....................................................................................................................29

2012 Top 10 in Short Selling ......................................................................................................................29

SSE Index Series uses “point” as the unit of calculation .....................................................................................30

Number of Constituents in SSE Indices ..........................................................................................................33

Market Cap and Weight of Constituent Stocks in SSE 50 Index..........................................................................34

Market Cap and Weight of Constituent Stocks in SSE 180 Index........................................................................36

Market Cap and Weight of Constituent Stocks in SSE 380 Index........................................................................42

Listed Companies .....................................................................65

Issuance Conditions for IPOs .......................................................................................................................65

Listing Conditions for IPOs ...........................................................................................................................69

SSE Guide to Securities Listing Procedures ...................................................................................................69

2013 Fact Book IV

Documents to Be Submitted When Applying for an IPO and Listing ...................................................................72

Conditions for listed companies to issue securities to the public ........................................................................72

Share Placements of Listed Company ...........................................................................................................75

Additional Issuance by Listed Companies ......................................................................................................75

Risk Warnings ............................................................................................................................................75

If any of the following circumstances apply to a listed company, other risking warnings shall be imposed on the shares of

the company: .............................................................................................................................................76

Listing Agreements ....................................................................................................................................76

Listing Conditions for Convertible Corporate Bonds .........................................................................................77

Listing Conditions for Warrants .....................................................................................................................77

Appendix: Agreement on Securities Listing .....................................................................................................77

Sector Distribution and Number of Companies ................................................................................................80

Geographical Distribution of Listed Companies ................................................................................................81

Newly Listed Stocks in 2012........................................................................................................................82

Newly Listed Companies in 2012 .................................................................................................................83

Rights Issues by Listed Companies in 2012 ...................................................................................................85

Equity Structure of Listed Companies (2012 year-end) .....................................................................................86

Top 50 Listed Companies by Market Capitalization (2012 year-end) ..................................................................87

Top 50 Listed Companies by Tradable Market Capitalization (2012 year-end) ......................................................89

Dividend Distribution by Listed Companies in 2012 .........................................................................................91

Table of Changes in Stock Short Names in 2012 ...........................................................................................113

Table of Changes in the Names of Listed Companies in 2012 ..........................................................................115

Companies Subject to Delisting Risk Warnings in 2012 ...................................................................................116

Companies Subject to other special treatments in 2012 ..................................................................................116

Companies Subject to Listing Suspension in 2012 ........................................................................................117

Companies Subject to Listing Termination in 2012..........................................................................................117

Companies Subject to Listing Resumption in 2012 .........................................................................................117

Companies Subject to Cancellation of Special Treatment (“Risk Warning”) in 2012 ..............................................118ⅠCompanies Subject to Withdrawal of Delisting Risk Warnings ......................................................................118ⅡCompanies Subject to Withdrawal of Delisting Risk Warnings and Other Special Treatments

(“Other Risk Warnings”) .............................................................................................................................118ⅢCompanies Subject to Withdrawal of Other Special Treatments (“Other Risk Warnings”) ...................................119

Bond Market Overview of the Shanghai Stock Exchange in 2012 .....................................................................123

Conditions for Government Bond Listings ......................................................................................................125

Conditions for Enterprise Bond Listings .........................................................................................................125

Conditions for Corporate Bond Listings .........................................................................................................125

Applications for Corporate Bond Listings .......................................................................................................125

Approval for Corporate Bond Listings ............................................................................................................126

Conditions for SME Bond Filing and Listings ..................................................................................................127

Profile of Government Bonds in 2012...........................................................................................................129

Summary of Corporate Bonds in 2012(Including Convertible Bond) ..................................................................142

Monthly Bond Repo Turnover in 2012 ..........................................................................................................181

Turnover of Government Bond in Each Month of 2012 ....................................................................................181

2013 Fact Book V

Turnover of Bond in Each Month of 2012 .....................................................................................................182

List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2012 ......................................183

Funds ........................................................................................187

Overview of the Fund Market in 2012...........................................................................................................187

Breakthroughs in Product Innovation .............................................................................................................187

Making the Licensing Of Fund Development More Transparent and Market-Oriented ............................................188

Introducing Market Making and Improving Corresponding Mechanisms ..............................................................188

Optimizing Operation Mechanism of ETF and Ensure Secure Operation ..............................................................188

Summary of Funds in 2012 ........................................................................................................................189

Members and Non-member Institutions ................................. 193

Overview of Members ................................................................................................................................193

Registered capital ......................................................................................................................................193

Listing ......................................................................................................................................................193

Overview of Non-member Institutions ............................................................................................................193

Member's Required Qualifications ................................................................................................................193

The Administration of Member Seats and Trading Units ....................................................................................193

Overview of the Operation ...........................................................................................................................194

Geographical Distribution of SSE Members and Their Business Branches in 2012 ...............................................195

Membership (1990-2012) .........................................................................................................................196

74 Members with Margin Trading and Short Selling Business ...........................................................................197

52 Members with Re-lending Business .........................................................................................................200

Top 50 Members by Turnover in 2012 .........................................................................................................202

Top Lead Underwriters of IPOs in 2012 (by Number of Deals Underwritten) ........................................................204

Top Lead Underwriters of Rights Issues in 2012 (by Value of Fund Raised) .........................................................204

Top 20 in Turnover Value of Margin Trading and Short Selling 2012 .................................................................205

Top 20 in Amount Outstanding of Margin Trading and Short Selling 2012 ..........................................................206

Number of Trading Accounts with SSE 1991-2012 ........................................................................................207

Breakdown of B-share Investors by Jurisdiction ..............................................................................................208

Historical Statistics ................................................................. 211

Earlier Share Turnover Value, 1991-2012 .....................................................................................................211

Historical Highs in Stock Turnover Value ........................................................................................................212

Daily All-time Highs in Turnover Value ............................................................................................................212

Monthly All-time Highs in Turnover Value ........................................................................................................212

Quarterly All-time Highs in Turnover Value ......................................................................................................213

Listed Shares on the SSE, 1990-2012 ........................................................................................................214

Top 10 Increases and Decreases in SSE Index Series .....................................................................................215

Top 10 Increases in SSE 50 Index (in percentage) ..........................................................................................215

2013 Fact Book VI

Top 10 Decreases in SSE 50 Index (in percentage) ........................................................................................215

Top 10 Increases in SSE 50 Index (in point) ..................................................................................................216

Top 10 Decreases in SSE 50 Index (in point) .................................................................................................216

Top 10 Increases in SSE 180 Index (in percentage) ........................................................................................217

Top 10 Decreases in SSE 180 Index (in percentage) ......................................................................................217

Top 10 Increases in SSE 180 Index (in point) ................................................................................................218

Top 10 Decreases in SSE 180 Index (in point) ...............................................................................................218

Top 10 Increases in SSE Composite Index (in percentage) ...............................................................................219

Top 10 Decreases in SSE Composite Index (in percentage) .............................................................................219

Top 10 Increases in SSE Composite Index (in point) ........................................................................................220

Top 10 Decreases in SSE Composite Index (in point) ......................................................................................220

World Securities Markets ............................................................................................................................221

Statistics on Stock Exchanges around the World (as at end of December 2012) .................................................221

Major publications ....................................................................222

Registered Trademarks of Shanghai Stock Exchange .....................................................................................223

Shanghai Securities Market

2013 Fact Book 1


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, enterprise bonds, corporate bonds, corporate bonds with detachable

warrants, convertible corporate bonds and private placed SME bonds. In addition, securities investment funds (including

Exchange Traded Fund -ETF) and warrants are available for trading on SSE. By Dec 31, 2012, there are 2098 listed

securities in SSE.


2013 Fact Book 3

2012

Market Review

2012 Market Review

2013 Fact Book 5

2012 Market Review

Overview

In 2012, the total turnover on SSE was RMB 54753.523 billion, up 20.43% year-on-year. Stock transactions

were RMB 16454.501 billion, representing 30.05% of the total turnover. Bond transactions hit RMB 37981.885

billion, accounting for 69.37% of the total turnover. Fund transactions reached RMB 317.136 billion, making up

0.58% of the total. The average daily stock transactions were RMB 67.714 billion, down 30.45% year-on-year; daily

bond transactions stood at RMB 156.304 billion, 80.99% higher than a year earlier; daily fund transactions hit RMB

1.305 billion, up 9.76% from the previous year.

SSE 50 Index opened the year at 1628.17 points and gained 14.84% to close the year at 1857.68 points after

touching a yearly high of 1877.43 points and a yearly low of 1528.28 points. SSE 180 Index opened the year at

5043.26 points and gained 10.80% to close the year at 5550.09 points after touching a yearly high of 5808.99

points and a yearly low of 4596.73 points. SSE Composite Index opened the year at 2211.99 points and fell 21.68%

to finish the year at 2269.13 points after making a yearly high of 2478.38 points and a yearly low of 1949.46 points,

with a volatility of 3.17%.

By the end of 2012, SSE recorded a total of 109.7 million trading accounts.

Securities Issuance and Listing

As at the end of 2012, there were 954 listed companies on SSE, with 26 new listings in 2012. By the end of the

year, there were 998 listed stocks on SSE with a total market capitalization of RMB 15,869.844 billion, decreasing by

6.96% year-on-year, and free-float market capitalization of RMB 13,429.445 billion, up 9.31% from the previous year.

The year-end total share capital of all the listed companies reached 2,461.76 billion shares, of which 1,952.13 billion

shares or 79.30% were tradable.

In 2012, the total amount of capital raised was RMB 484.9 billion, among which RMB 289.0 billion by equity and

RMB 229.38 billion by bond. Total market value, capital raised and turnover of equity market rank No. 7, No.6 and

No.3 in the world respectively.

2012 Market Review

2013 Fact Book 6

Major Events in the Securities Market 2012

Month Date Event

January 12Chinese central government’s official site released “State Council’s Agreement on the Ministry-level Meeting System for Clearing and Disposal of All Kinds of Trading Venues.”

February 1 CSRC announced that IPO pre-disclosure was moved ahead of preliminary review meeting.

February 15 China Association for Public Companies was founded in Beijing.

February

Enterprise Training & Service Center of SSE began its formal operation to offer one-stop training and service platform to market participants including listed companies, companies to be listed, member brokerage firms, fund management companies, insurance companies, Qualified Foreign Institutional Investors, etc.

March 8SSE released “Notice of Strengthening Supervision on Clients' Trading Behaviors at Preliminary Stage of New Shares Listing”.

March 25SSE released the revised version of “Detailed Business Implementation Rules of SSE Exchange-traded Index Fund”.

March 30CSRC announced “Guideline No. 1 on the Supervision and Administration of Listed Companies – Regulatory Requirements for the Circumstance of Listed Companies’ Failure in Recovery of Losses after Conducting Material Assets Reorganization”.

April 3Total investment quota of Qualified Institutional Investors has been increased by 50 billion USD to a total of 80 billion USD.

April 12Elected by the 51st meeting SSE board of Governors and approved by Communist Party Central Committee and State Council, Mr. GUI Minjie assumed the position as the Party Secretary and the Chairman of Board of Governor of SSE.

April 12 IPO Simulation Bidding Agon for Retail Investors was fully launched.

April 28Shanghai International Financial Center Project was formally elected as Scientific Model Project of Ministry of Housing and Urban-Rural Development.

May 7Innovation and Development Seminar of Securities Companies was held in Beijing and 11 measures have been proposed for industrial innovation.

May 13SSE participated in the Beijing Assembly and exhibition of International Organization of Securities Commissions (IOSCO) and demonstrated achievements of China’s capital market and SSE.

May 21 Convertible bonds listed in SSE have counted into the pool of Repo pledge.

May 21 SSE block trading business has been transferred to comprehensive business platform.

May 22SSE published and started implementation of “SSE's Tentative Measures for SMEs Private Placement Bonds” and “SSE Business Guidance for SMEs Private Placement Bonds (trial)”.

May 28Huatai-pb CSI 300 ETF, the first cross-market ETF was launched and included into the underlying securities of marginal trading and short selling a week after its listing.

June 1 SSE decreased A share handling fee from 0.11% to 0.087‰.

June 7SSE has established its press spokesman mechanism. The first spokesman made his first appearance in the press release.

June 7SSE official mini-blog – “SSE News Release” came into function simultaneously in www.people.com.cn, www.xinhuanet.com, www.tencent.com and www.sina.com.cn.

2012 Market Review

2013 Fact Book 7

Month Date Event

June 8People’s Bank of China decreased benchmark interest rates for financial institutions’ RMB deposits and loans.

June 8First SME private placement bond was issued and listed in SSE Fixed Income Comprehensive Electronic Platform.

June 12Party Committee of CSRC has decided to establish preparatory group of SSE Board of Supervisors and Ms. ZHANG Ning to be the deputy Party Secretary of SSE and head of the preparatory group.

June 15CSRC released “Measures for the Supervision and Administration of Non-listed Public Companies (draft)”.

June 18 People’s Bank of China decreased required reserve ratio by 0.5%.

June 27 “New Power of Blue Chip—Retail Investors into the Listed Companies” events started.

June 28 SSE released “Scheme of Perfecting Delisting System of SSE-listed Companies”.

June 28HKEX, SSE and SZSE Establish a joint venture in Hong Kong for developing new financial products and services.

July 6 People’s Bank of China decreased required reserve ratio by 0.5%.

July 7 SSE released “SSE Stock Listing Rules (Amendment in 2012)”.

July 9Certain departmental functions were reorganized with the rename of former “Fund Business Department” and “Compliance Department” into “Fund Market Department” and “Risk Control and Internal Audit Department”.

July 31SSE has signed letter of intent with Shanghai Municipal Government and Zhe Jiang Provincial Financial Service Office to develop regional equity trading venue.

August 16SSE Party Committee approved the preparation of SSE Hong Kong Representative Office and the establishment of Listed Companies Management Department II, which will supervise the compliance and appropriateness of listed companies’ financial information.

August 27"SSE Implementation Measures (Trial) on Securities Lending of Refinancing" has been released and came into effect.

August 28 Bao Steel announced repurchase plan worth no more than 5 billion RMB.

August 30SSE and BMF&Bovespa jointly held the 3rd “China-Brazil Capital Market Forum” in Rio de Janeiro.

September 1 SSE decreased A share handling fee to 0.0696‰ based trade value.

September 3 SSE signed Memorandum of Understanding with Johannesburg Stock Exchange.

September 5 Shanghai International Financial Center Project started piling construction.

September 10 CSRC appointed Mr. HUANG Hongyuan as the vice Party Secretary and President of SSE.

September 17 People’s Bank of China released the 12th Five-Year Plan for the Financial Industry.

September 26China Exchanges Services Company jointly founded by SSE, SZSE and HKEX started its first Board meeting in Hong Kong which formally indicated the establishment of the company.

SeptemberSSE delegation carried out its overseas capital market promotion activities in the U.S.A. and Canada.

October 14Dr. GUI, Minjie, Chairman of SSE has been elected board of director of Word Federation of Exchange in its 52nd General Assembly.

2012 Market Review

2013 Fact Book 8

Month Date Event

October 19

“Measures for the Administration of the Customer Asset Management Business of Securities Companies”, ”Detailed Rules for Collective Asset Management Business by Securities Companies” and “Detailed Rules for Targeted Asset Management Business by Securities Companies” have been released by CSRC

October 18 SSE signed Memorandum of Understanding with Hanoi Stock Exchange.

November 1CSRC released and implemented “The Interim Provisions on the Administration of Subsidiaries of Securities Investment Fund Management Companies”.

November 5 SSE signed Memorandum of Understanding with Bursa Malaysia.

November 22 The piling construction of Shanghai International Financial Center project has been completed.

December 4 Shanghai Composite Index has hit the year low of 1949.46.

December 10“Measures for the Trading, Registration and Settlement of Securities Repurchase” was released.

December 11 3rd SSE Legal Forum unveiled in Shanghai.

December 14Shanghai Composite Index has gained 89.15 point, the largest daily rebound since October, 2009.

December 14“SSE Provisional Regulations on Stock Trading on Risk Alert Board” and “SSE Provisional Regulations on Share Transfer on Delisted Share Transfer System” were released and two companies’ relisting was agreed under certain conditions.

December 18Ceremony of Piling Accomplishment and Commencement of underground diaphragm wall of Shanghai International Financial Center Project was held.

December 19 11th Forum on Chinese Corporate Governance was successfully held.

December 29 Shanghai Financial Administration Service Co. Ltd, SSE was registered.

2012 Market Review

2013 Fact Book 9

Market Highlights

2012 2011 2010

Listed Securities (as at year end)

No. of listed companies 954 931 894

No. of listed securities 2098 1691 1500

No. of listed stocks 998 975 938

No. of new listings 26 39 26

Share capital issued (100 million shares) 24617.62 23466.65 21939.51

Tradable shares (100 million shares) 19521.34 17993.80 16031.30

Total market capitalization (RMB100 million) 158698.44 148376.22 179007.24

Market capitalization of tradable shares (RMB100 million) 134294.45 122851.36 142337.44

Total capital raised (RMB100 million)

A Shares (RMB) 2890.31 3199.69 5532.14

B Shares (US dollar) 0 0 0

Transactions

Number of trading days 243 244 242

Annual turnover value (RMB100 million) 547535.23 454651.56 398395.73

Stock 164545.01 237560.45 304312.01

Fund 3171.36 2901.41 4771.71

T-bonds 379818.85 210714.87 74914.43

Warrants 0 3474.82 14397.58

Others 0 0 0

Average daily turnover value (RMB100 million) 2253.23 1863.33 1646.26

Average daily stock turnover value (RMB100 million) 677.14 973.61 1257.49

Annual stock turnover volume (100 million shares) 18948.94 21193.87 25964.43

Average daily stock turnover volume (100 million shares) 77.98 86.86 107.29

Total number of stock trades (10,000 deals) 92554.96 127327.64 166149.08

Average number of daily stock trades (10,000 deals) 380.89 521.84 686.57

2012 Market Review

2013 Fact Book 10

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 12.30 13.40 21.61

Turnover rate 1 (market capitalization)% 78.57 93.72 135.40

Turnover rate 2 (tradable market capitalization)% 101.60 124.80 198.47

Stock Market

Stock Market

2013 Fact Book 13

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 an 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

SSE trading business

Trading system-based business

Centralized trading business: auction, price inquiry and quotation

Trading-related services: offering, entitlement or trading relationship

Non-trading system-based business: negotiated transfer, warrant creation and cancellation, etc.

Stock Market

2013 Fact Book 14

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.

SSE has established a Risk Alert Board where stocks bearing significant risks or to be delisted are traded and their

trading information is separately displayed. Related stocks include: (1) stocks with the risks of being delisted (*ST); (2)

stocks that have been resumed from suspension for listing (ST); (3) stocks that have been relisted (ST); (4) stocks that

have suffered from other significant risks (ST). Stock to be delisted refers to the stock that has been decided by SSE to

be delisted but is still under disposal and yet to be delisted. Stocks bearing significant risks are subject to a maximum

daily price fluctuation limit of plus or minus 5%. Stocks to be listed are subject to a maximum daily price fluctuation limit

of plus or minus 10%.

Securities traded on SSE are 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.

Margin Trading and Securities Lending Business

Margin Trading and Securities Lending, also known as securities credit trading, refers to the way that investors offer

collaterals to the securities with margin trading and securities lending business license and borrow funds to buy listed

securities (margin trading) or borrow listed securities to sell (securities lending). The margin trading and securities lending

business refers to the operating activity that securities companies lend their clients to buy listed securities or securities

for sale and receive collateral.

Relending financing refers to the business activity that China Securities Finance Corporation lends its proprietary fund

or legally collected fund to securities companies for the operation of their margin trading and securities lending business.

Stock Market

2013 Fact Book 15

The margin trading and securities lending business pilot started on March 31st, 2010 and was formally launched

on November 25th, 2011. By the end of 2012, there have been 74 member securities companies with margin trading

and securities lending license. Relending financing started on August 30th, 2012. By the end of January 2013, there

have been 52 member companies qualified for relending financing.

Table 1: Breakdown of Centralized Trading Business

No. Description of Centralized Trading Business Securities Code Type of Business

1 A-share continuous trading at limit price 600, 601

Auction

2 A-share continuous trading at market price 600, 601

3 A-share call auction trading 600, 601

4 B-share continuous trading at limit price 900

5 B-share continuous trading at market price 900

6 B-share call auction trading 900

7 Closed-end fund continuous trading at limit price 500

8 Closed-end fund continuous trading at market price 500

9 Closed-end fund call auction trading 500

10 ETF continuous trading at limit price 510XX0

11 ETF continuous trading at market price 510XX0

12 ETF call auction trading 510XX0

13 T-bond continuous trading at clean price 009, 010

14 T-bond call auction trading at clean price 009, 010

15 Enterprise bond continuous trading at limit price 129

16 Enterprise bond call auction trading 129

17 Convertible bond continuous trading at limit price 110

18 Convertible bond call auction trading 110

19Convertible bond with detachable warrant continuoustrading at limit price

126

20Convertible bond with detachable warrant call auction trading

126

21 Old pledge-style repo continuous trading 201

22 Old pledge-style repo call auction trading 201

Stock Market

2013 Fact Book 16

No. Description of Centralized Trading Business Securities Code Type of Business

23 New pledge-style repo continuous trading at limit price 204

Auction

24 New pledge-style repo call auction trading 204

25 Outright repo continuous trading at limit price 203

26 Outright repo call auction trading 203

27 Warrant continuous trading at limit price 580

28 Warrant continuous trading at market price 580

29 Warrant call auction trading 580

30 A-share block trading Same as A Shares

Price inquiry

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

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

Quotation

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 dealer

44 T-bond price inquiry

45 Corporate bond firm quotation

122 (Electronic Platform)

46 Corporate bond non-firm quotation

47Corporate bond client enters into a transaction with primary dealer

48 Corporate bond price inquiry

Stock Market

2013 Fact Book 17

Table 2: Breakdown of Trading-related Services

Type of Securities

No.Description of Trading-related Services

Securities CodeType of Business

Equities

1 Online fixed price offering7301 (corresponding to A-share 600),7802 (corresponding to A-share 601) Offering

2 Online price inquiry offering730 (corresponding to A-share 600),780 (corresponding to A-share 601) Offering

3Online fixed-price follow-on offering

730 (corresponding to A-share 600),731 (corresponding to A-share 600),780 (corresponding to A-share 601),781 (corresponding to A-share 601)

Offering

4Online price inquiry follow-on offering

730 (corresponding to A-share 600),731 (corresponding to A-share 600),780 (corresponding to A-share 601),781 (corresponding to A-share 601)

Offering

5Placement proportional to the existing secondary market holdings

737Offering

6 Rights issue

700 (corresponding to ordinary A-share 600),702 (corresponding to employee A-share 600),760 (corresponding to ordinary A-share 601),762 (corresponding to employee A-share 601)

Offering, entitlement

7 Online voting738 (corresponding to A-share 600),788 (corresponding to A-share 601),938 (corresponding to B Shares)

Entitlement

8 Password service799988 (corresponding to A Shares),939988 (corresponding to B Shares)

Entitlement

9 Offline initial price inquirySame as the stock code Offering

10 Offline book-building

Bonds

11 Convertible bond offering7333 (corresponding to A-share 600),7834 (corresponding to A-share 601)

Offering

12 Convertible bond placement704 (corresponding to A-share 600),764 (corresponding to A-share 601)

Entitlement

13Conversion of convertible bonds into shares

181 (corresponding to A-share 600),190 (corresponding to A-share 600),191 (corresponding to A-share 601),192 (corresponding to exchangeable corporate bond 128)

Offering, entitlement

14 Sell-back of convertible bonds 1009 Entitlement

Stock Market

2013 Fact Book 18

Type of Securities

No.Description of Trading-related Services

Securities CodeType of Business

Bonds 15Transfer of collateral bonds to collateral vault

090 (corresponding to T-bond 010),099 (corresponding to T-bond 009),104 (corresponding to corporate bond 122),105000 – 105899 (corresponding to corporate bond with detachable warrant 126),105900 – 105999 (cor respond ing to enterprise bond 120, 129),106 (corresponding to local government bond130),107(corresponding to discount T-bond 020)

Trading relationship

Warrants 16 Exercise of warrants 582 Entitlement

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

20Purchase and redempt ion of open-end funds

519Offering, entitlement

21Designation transfer of open-end funds

522Trading relationship

22Dividend distribution by open-end funds

523 Entitlement

23 Conversion of open-end funds 524

Entitlement (bus i ness has not yet started)

24 ETF offering 510XX3 Offering

Trading registration

25Designated registration/cancellation of designated trading

799998/799999Trading relationship

26Repurchase registration/repurchase cancellation

799997/799996Trading 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.

Stock Market

2013 Fact Book 19

Table of Fees Charged and Taxes Withheld by SSE

Category Fees Fee Standard Payer and Receiver

Transactions

A share

Handling fee 0.00696%% of trading value (both sides)

Paid by SSE member, etc. to the SSE

Securities management fee

0.002% of trading value (bilateral)

Paid by SSE members, etc. to the CSRC (collected by the SSE)

Stamp duty 0.1% of trading value (unilateral)

Pa id by inves to rs to tax authorizes (collected by the SSE)

B share

Handling fees 0.026% of trading value (bilateral)

Paid by SSE members, etc. to the SSE


0.002% of trading value (bilateral)


Secu r i t i e s i n ves tmen t fund(closed-end fund and ETF)

Handling fee 0.0045% of trading value (bilateral)



exempted

Warrants




exempted

Cash bonds( T-bond, enterprise bond, corporate bond, convertible corporate bond, detachable convertible corporate bond, etc.

Handling fee

0.0001% of turnover (bilateral) (cash bond transaction on the fixed income platform and less than 100 yuan/ per deal at minimum)



exempted

Pledge-style repo

One day Handling fee 0.00005% of trading value (bilateral)

Temporary exemption

Pa id by SSE members, etc. to the SSE

two days Handling fee 0.00010% of trading value (bilateral)

Pa i d by SSE members, etc. to the SSE

Three days

Handling fee 0.00015% of trading (bilateral)


Four days Handling fee 0.00020% of trading value (bilateral)


Seven days



Fourteen days



Stock Market

2013 Fact Book 20

Twenty eight days



More thantwenty eight days



T-bond outright repurchase

Seven days



Twentyeight days



Ninety one days



Block trading

A share ,B sha re and s e c u r i t i e s investment fund

Handling fee 30% lower than the fee rate of same product in auction market



The same as tha t in the auction transaction for the same product


Cash bonds( T-bonds, enterprise bonds, corporate bonds, convertible corporate bonds, detachable convert ible c o r p o r a t e bonds, etc

Handling fee 90% of 0.01% of trading value and less than 100yuan/per deal at minimum(bilateral)



The same as in auction trading for the same product


Pledge-style repo and T-bond outright repo

Handling fee Temporary exemption Paid by SSE members, etc. to the SSE

ETF subscription and redemption Handling fee Temporary exemption Paid by SSE members, etc. to the SSE

Transfer of specific asset management scheme

Handling fee 0.0009% of amount transferred


Issuance

New share subscription Handling fee 0.012% of t rading value (unilateral) and subject to temporary exemption


Convertible corporate bond subscription

Handling fee 0.01% of trading value (unilateral) and subject to temporary exemption


Investment fund subscription Handling fee 0.0085% of trading valuePaid by SSE members, etc. to the SSE

Right issue, trans-right issue, employee shares allotment, state shares allotment, share allotment for convertible bond

Handling fee 0.012% of trading value (bilateral) and subject to temporary exemption


Investment fund placement Handling fee 0.0085% of trading value (bilateral)


Stock Market

2013 Fact Book 21

Listing

A share

Initial listing fee

total issued shares (A or B share), not more than 200 million shares: RMB 300,000;200 mil l ion - 400 mil l ion sha res ( i nc lud ing ) : RMB 450,000;400 mil l ion - 600 mil l ion sha res ( i nc lud ing ) : RMB 550,000;600 mil l ion - 800 mil l ion sha res ( i nc lud ing ) : RMB 600,000;800 mill ion shares above: RMB 650,000

Paid by listed companies to the SSE

annual listing fee

At the end of last year:total issued shares (A or B share), not more than 200 million shares: RMB 50,000 per year;200 mil l ion - 400 mil l ion sha res ( i nc lud ing ) : RMB 80,000 per year;400 mil l ion - 600 mil l ion sha res ( i nc lud ing ) : RMB 100,000 per year;600 mil l ion - 800 mil l ion sha res ( i nc lud ing ) : RMB 120,000 per year;800 mill ion shares above: RMB 150,000 per year.For company that has been listed for less than 1 year, annual fee is calculated based on actual months (the month of initial listing is counted as the first month.)

Paid by listed companies to the SSE

Securities investment fundInitial listing fee

0.01% of the to ta l fund value, with a minimum charge RMB10,000 and a maximum of RMB 30,000

Paid by fund managers to the SSE

annual listing fee RMB 60,000 per year Paid by fund managers to the SSE

warrant Initial listing fee RMB 200,000 Paid by issuers to the SSE

Enterprise bond

Initial listing fee

0.01% of the total l ist ing amount, wi th a min imum charge of RMB 8000, and a maximum charge of RMB 40,000( subject to temporary exemption)

Paid by issuers to the SSE

annual listing fee

0.0096% of to ta l l i s t ing amount, wi th a min imum charge of RMB 4800, and a maximum charge of RMB 24,000 ( subject to temporary exemption)


Stock Market

2013 Fact Book 22

Convertible corporate bond

Initial listing fee

0.01% of total listed face value, with a minimum charge of RMB 10,000 and a maximum charge of RMB 30,000 ( subject to temporary exemption)


annual listing feeRMB 6000 per year (subject to temporary exemption)


Seatnon-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

Inst i tut ions including SSE members can use one PBU for free for each seat they hold. For addi t ional 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.)

Paid by SSE members to the SSE

Flow rate fee

I f t he t o t a l f l ow r a t e o f institution which 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, f low rate fee for PBUs of bond spot and repo trading is subject temporarily exemption)

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. F rom Dec. 1 , 2010, all trading participants are temporarily exempted from flow rate fee for bond spot and repo trading.

Stock Market

2013 Fact Book 23

5. From Jan .18, 2013, all trading participants are temporarily exempted from flow rate fee for currency market fund and bond fund trading.

Other servicesFees, standards and charging methods are pursuant to the provisions on relevant services.

Stock Market

2013 Fact Book 24

2012 Monthly Trading Volume, Trading Value and P/E Ratio

Month Trading Volume (10,000 shares) Trading Value (RMB 10,000) P/E Ratio (Times)

1 10485612.19 90751559.43 14.00

2 19563374.83 177463713.25 14.86

3 21015768.00 203280252.50 13.86

4 16376929.08 147198811.24 14.70

5 20010483.46 194546849.81 12.66

6 12845965.31 121809484.44 11.90

7 13538655.59 122170862.92 11.28

8 13671777.31 114774821.78 11.03

9 14397221.48 115893198.44 11.25

10 12372113.51 92424836.77 11.17

11 12549022.34 92244397.43 10.71

12 22662465.76 172891295.47 12.30

Stock Market

2013 Fact Book 25

Top 20 Most Traded Stocks by Turnover Volume

Rank Code Short NameTrading Volume(10,000 shares)

Percentage in Total Market Trading Volume (%)

1 600016 Minsheng Bank 2510713.49 1.32

2 600010 BaoTou Iron&Steel 2049765.03 1.08

3 601901 Founder Securities 1953671.94 1.03

4 600050 China Unicom 1804952.71 0.95

5 600030 CITIC Securities 1710115.76 0.90

6 601288 Agricultural Bank of China 1692168.74 0.89

7 601668 China State Construction Engineering 1627688.34 0.86

8 600000 Pudong Development Bank 1609560.51 0.85

9 601899 Zijin Mining 1474585.21 0.78

10 601669 Sinohydro. Group 1435582.18 0.76

11 600837 Haitong Securities 1426078.48 0.75

12 600300 V V Food and Beverage 1287195.34 0.68

13 600383 Goldfield Industries 1269643.37 0.67

14 601328 Bank of Communications 1203652.86 0.64

15 600036 China Merchants Bank 1181828.09 0.62

16 601818 Everbright Bank 1176327.12 0.62

17 601166 Industrial Bank 1152209.88 0.61

18 601555 Soochow Securities 1088730.50 0.57

19 600795 GD Power Development 1067577.04 0.56

20 600111 Baogang Rare Earth 1062591.65 0.56

Stock Market

2013 Fact Book 26

Top 20 Most Traded Stocks by Trading Value

Rank Code Short NameTrading Value(RMB 10,000)

Percentage in Total MarketTurnover Value (%)

1 600111 Baogang Rare Earth 46284105.77 2.81

2 601318 Ping An Insurance 21368867.96 1.30

3 600030 CITIC Securities 20448275.98 1.24

4 600519 Kweichow Moutai 16315970.21 0.99

5 600016 Minsheng Bank 16031014.68 0.97

6 601166 Industrial Bank 15502067.45 0.94

7 600000 Pudong Development Bank 13744254.51 0.84

8 600036 China Merchants Bank 13509663.31 0.82

9 600837 Haitong Securities 13356109.42 0.81

10 600010 BaoTou Iron&Steel 11679118.95 0.71

11 600048 Poly Real Estate 11284192.54 0.69

12 600585 Anhui Conch Cement 11007169.22 0.67

13 600132 Chongqing Brewery 10659383.14 0.65

14 600300 V V Food and Beverage 10304613.36 0.63

15 600549 Xiamen Tungsten 9961961.60 0.61

16 600547 Shandong Gold Mining 9864830.70 0.60

17 600739 Liaoning Cheng Da 9450457.08 0.57

18 601901 Founder Securities 9283301.99 0.56

19 601555 Soochow Securities 9082559.94 0.55

20 600123 Shanxi Lanhua Sci-tech Venture 8851863.63 0.54

Stock Market

2013 Fact Book 27

Top 20 Gainers

Rank Code Short Name2010 Year-end Close(RMB)

2011 Year-end Close (RMB)

Change

(%) 600340 China Fortune Lande Development 16.050 28.230 165.93

2 600209 Lawton Development 4.010 10.390 159.10

3 600684Guangzhou Pearl River Industrial Development

7.580 14.950 156.31

4 600988 Chifeng Jilong Gold Mining 8.420 21.290 152.85

5 600217 Qinling Cement 3.020 7.090 134.77

6 600228Jiangxi Changj iu Biochemical Industry

6.620 14.790 123.41

7 600800 Tian Jin Global Magnetic Card 3.140 7.010 123.25

8 600113 Zhejiang Dongri 4.580 10.070 119.87

9 600389Jiangshan Agrochemica l and Chemicals

6.560 14.190 116.31

10 600230 Cangzhou Dahua 7.440 15.720 112.01

11 600613Shanghai Wingsung Investment Management

8.160 17.130 109.93

12 600401 Hareon Solar Technology 2.780 5.630 106.41

13 601633 Great Wall Motor 11.970 23.700 101.84

14 600705 AVIC Capital 6.800 13.660 100.88

15 600149 Langfang Development 4.540 9.090 100.22

16 600111 Baogang Rare Earth 37.630 37.450 99.93

17 600567 Shanying Paper Industry 3.270 3.000 92.66

18 600039 Sichuan Road and Bridge 6.150 6.470 91.12

19 600109 Sinolink Securities 9.920 17.840 81.14

20 600300 V V Food and Beverage 3.850 6.890 79.96

Stock Market

2013 Fact Book 28

Top 20 Losers

Rank Code Short Name2010 Year-end Close(RMB)

2011 Year-end Close (RMB)

Change

1 600537 Eging Photovoltaic Technology 20.290 7.970 -60.72

2 600603 Xingye Resources 9.330 4.420 -52.63

3 600132 Chongqing Brewery 28.450 15.370 -45.51

4 600298 Angel Yeast 29.410 16.330 -44.15

5 600793 Yibin Paper Industry 15.530 8.750 -43.66

6 601908 Beijing Jingyuntong Technology 21.560 6.050 -43.01

7 600550 Baoding Tianwei Baobian Electric 11.180 6.510 -41.77

8 600770 Jiangsu Zongyi 15.930 6.190 -41.42

9 600819 Yaohua Pilkington Glass 9.500 5.660 -40.24

10 600152 Veken Elite 7.300 4.380 -39.51

11 600875 Dongfang Electric 23.110 13.890 -39.31

12 601233 Tongkun Group 11.730 7.190 -38.70

13 600969 Chendian International Development 14.990 9.250 -38.29

14 600273 Huafang Textile 8.890 5.560 -37.46

15 600303 SG Automotive 7.000 4.380 -37.02

16 600133 East Lake High Technology 8.790 5.550 -36.86

17 601616 Guangdian Electric 11.280 3.920 -36.82

18 600022 Shandong Iron and Steel 3.450 2.190 -36.52

19 600634 Chenghai Enterprise Development 13.610 8.710 -36.00

20 600783 Luxin Venture Capital 17.180 11.050 -35.68

Stock Market

2013 Fact Book 29

2012 Top 10 in Margin Trading

Rank Code Short NameAmount of Purchase on Margin (RMB 10,000)

Amount of Selling the Securities to Return the Borrowed Loan(RMB 10,000)

Total (RMB 10,000)

1 600111 Baosteel Rare Earth 2988720.86 1728620.18 4717341.04

2 600030 CITIC Securities 1533943.56 1102151.11 2636094.67

3 601318 China Ping An 1265344.25 808366.86 2073711.11

4 601166 Industrial Bank 1224456.41 830970.11 2055426.52

5 510050 50ETF 1054867.67 814573.62 1869441.29

6 600000Pudong Development Bank

1081472.39 687943.31 1769415.70

7 600739 Liaoning Chen Da 1020763.17 645183.57 1665946.74

8 600016 Minsheng Bank 1003780.50 630485.55 1634266.05

9 600519 Kweichow Moutai 945046.99 557096.92 1502143.91

10 600256 Guanghui Energy 891762.19 426122.86 1317885.05

2012 Top 10 in Short Selling

Rank Code Short NameAmount of Purchase on Margin (RMB 10,000)

Amount of Selling the Securities to Return the Borrowed Loan(RMB 10,000)

Total (RMB 10,000)

1 510300 300ETF 2403093.94 1845223.14 4248317.08

2 510050 50ETF 526452.64 387759.82 914212.46

3 601318 China Ping An 516000.66 369164.20 885164.86

4 600030 CITIC Securities 487491.58 386164.05 873655.63

5 600111 Baosteel Rare Earth 560928.21 153813.48 714741.69

6 600519 Kweichow Moutai 237146.89 200212.84 437359.73

7 600048 Poly Real Estate 243908.31 179358.46 423266.77

8 601601 China Pacific Insurance 202134.83 147521.39 349656.22

9 600837 Haitong Securities 187123.01 160845.76 347968.77

10 510180 180ETF 180335.66 132028.22 312363.88

Stock Market

2013 Fact Book 30

SSE Index Series uses “point” as the unit of calculation

Base day, base period index and launch date

Indices Base day Base period index Launch date

Benchmark Indices

SSE Composite Index 1990-12-19 100 1991-7-15

SSE B-share Index 1992-2-21 100 1992-8-17

SSE T-bond Index 2002-12-31 100 2003-1-2

SSE Enterprise Bond Index 2002-12-31 100 2003-6-9

SSE Fund Index 2000-5-8 1000 2000-6-9

SSE 180 Index 2002-6-28 3299.06 2002-7-1

SSE 380 Index 2003-12-31 1000 2010-11-29

SSE 50 Index 2003-12-31 1000 2004-1-2

SSE 100 Index 2003-12-31 1000 2012-4-20

SSE 150 Index 2003-12-31 1000 2012-4-20

Sector Indices

SSE Sector Indices (10 Indices) 2003-12-31 1000 2009-1-9

SSE 380 Sector Indices (10 Indices) 2003-12-31 1000 2011-6-13

SSE 180 Sector Indices (10 Indices) 2003-12-31 1000 2012-6-29

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 Corporate Governance Index 2007-6-29 1000 2008-9-10

SSE 180 Infrastructure/Natural Resource/Transportation Index 2002-6-28 1000 2008-12-15

SSE Central SOEs 50 Index 2008-12-31 1000 2009-3-30

SSE Social Responsibility Index 2009-6-30 1000 2009-8-5

SSE 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

Stock Market

2013 Fact Book 31

Thematic Indices

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

SSE Resource 50 Index 2003-12-31 1000 2011-5-10

SSE Industry Chain Series (3 Indices) 2003-12-31 1000 2011-5-10

SSE High-End Equipment Manufacturing 60 Index 2004-12-31 1000 2011-5-24

SSE Investment Commodity Index 2003-12-31 1000 2011-6-13

SSE Consume Commodity Index 2003-12-31 1000 2011-6-13

SSE Sustainable Development Industry Index 2011-6-30 1000 2011-8-22

SSE Health Care Theme Index 2003-12-31 1000 2011-10-18

SSE Agriculture Theme Index 2011-6-30 1000 2011-10-18

SSE Consumer 50 Index 2004-12-31 1000 2011-12-9

SSE High and New Technology Enterprises Index 2011-6-30 1000 2012-2-10

SSE Bank Index 2007-12-31 1000 2012-5-28

SSE Competitive Industry Indices Series (3 indices) 2003-12-31 1000 2012-5-28

SSE Leading Consumption and Service Index 2004-12-31 1000 2012-5-28

SSE Market Value Top 100 Index 2003-12-31 1000 2012-7-20

SSE 180 Dividend Index 2004-12-31 1000 2012-7-20

SSE 380 Dividend Index 2004-12-31 1000 2012-7-20

SSE SOE Dividend Index 2009-6-30 1000 2012-7-20

SSE Central SOE Dividend Index 2008-12-31 1000 2012-7-20

SSE Private Enterprises Dividend Index 2009-6-30 1000 2012-7-20

SSE Environmental Protection Industry Index 2011-12-30 1000 2012-9-25

SSE Regional Industry Top Series (6 Indices) 2003-12-31 1000 2012-9-27

SSE Strategic Information Industry Index 2005-12-30 1000 2012-12-20

Strategy Indices

SSE Sector Hierarchy Equal Weight Index (10 indices) 2003-12-31 1000 2010-8-18

SSE 50 Equal Weight Index 2003-12-31 1000 2011-1-4

SSE Wealth Mid-Small Index 2004-12-31 1000 2011-4-6

SSE 180 Equal Weight Index 2002-6-28 3299.06 2011-5-24

SSE 180 Sector Hierarchy Equal Weight Index 2002-6-28 3299.06 2011-5-24

SSE Fundamental 200 Index 2004-12-31 1000 2011-7-1



SSE 380 Equal Weight Index 2003-12-31 1000 2011-8-12

Stock Market

2013 Fact Book 32

Strategy Indices

SSE 50 Fundamental Weighted Index 2003-12-31 1000 2012-1-9

SSE 180 Fundamental Weighted Index 2002-6-28 3299.06 2012-1-9

SSE 380 Fundamental Weighted Index 2003-12-31 1000 2012-1-9

SSE 180 Volatility Weighted Index 2002-6-28 3299.06 2012-1-9

SSE 380 Volatility Weighted Index 2003-12-31 1000 2012-1-9

SSE 180 High Beta Index 2002-6-28 3299.06 2012-8-6

SSE 180 Low Beta Index 2002-6-28 3299.06 2012-8-6

SSE 380 High Beta Index 2003-12-31 1000 2012-8-6

SSE 380 Low Beta Index 2003-12-31 1000 2012-8-6

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

SSE 380 Style Indices (4 Indices) 2003-12-31 1000 2011-10-18

Composite Indices

SSE New Composite Index 2005-12-30 1000 2006-1-4

SSE A-share Index 1990-12-19 100 1992-2-21

SSE Sector Sub-indices (5 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 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 All-share Index 2003-12-31 1000 2009-7-3

Bond Indices

SSE Corporate Bond Index 2007-12-31 100 2008-11-19

SSE Detachable Bond Index 2007-12-31 100 2008-11-19

SSE Enterprise Bond Index 2008-12-31 100 2010-1-4

SSE Convertible Bond Index 2002-12-31 100 2012-9-12

SSE 5-year T-bond Index 2007-12-31 100 2012-9-12

Stock Market

2013 Fact Book 33

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

Stock Market

2013 Fact Book 34

Market Cap and Weight of Constituent Stocks in SSE 50 Index

Code Short NameNumber of Tradable Shares (10,000 shares)

Market Cap of Tradable Shares (RMB 10,000)

Closing Price(RMB)

Weight in SSE 50 Index(%)

600000 Pudong Development Bank 1492278 14803395 9.92 4.56

600010 Baotou Steel 642364 3468768 5.40 0.59

600015 Hua Xia Bank 499053 5165197 10.35 1.47

600016 Minsheng Bank 2258760 17753855 7.86 7.39

600019 Baoshan Iron & Steel 1712205 8372682 4.89 1.06

600028 China Petroleum & Chemical 7003980 48467540 6.92 1.23

600030 CITIC Securities 981466 13112388 13.36 3.85

600031 Sany Heavy Industry 703080 7445617 10.59 1.36

600036 China Merchants Bank 1766613 24290930 13.75 6.81

600048 Poly Real Estate 713799 9707672 13.60 2.39

600050 China Unicom 2119660 7418809 3.50 1.25

600058 Minmetals Development 107191 1840471 17.17 0.31

600068 China Gezhouba Group 348746 1914615 5.49 0.49

600104 SAIC Motor 917032 16176451 17.64 1.60

600111 Baotou Steel Rare-earth 147947 5540615 37.45 2.31

600188 Yanzhou Coal Mining 36000 656280 18.23 0.45

600256 Guanghui Energy 205411 3366694 16.39 1.45

600348 Yang Quan Coal Industry 240500 3494465 14.53 0.72

600362 Jiangxi Copper 207525 4951540 23.86 0.81

600489 Zhongjin Gold 294323 4894589 16.63 1.03

600519 Kweichow Moutai 103818 21700038 209.02 3.75

600547 Shandong Hexi Gold 142307 5430444 38.16 1.14

600585 Conch Cement 399970 7379451 18.45 1.56

600837 Haitong Securities 809213 8294434 10.25 3.45

600887 Yili Industrial 158734 3488977 21.98 1.43

600900 Yangtze Power 974594 6695462 6.87 1.44

601006 Daqin Railway 1486679 10049951 6.76 1.72

Stock Market

2013 Fact Book 35



Closing Price(RMB)

Weight in SSE 50 Index(%)

601088 China Shenhua 1631104 41348481 25.35 3.48

601118 Hainan Rubber Industry 98500 559480 5.68 0.28

601166 Industrial Bank 1078641 18002520 16.69 5.24

601169 Bank of Beijing 747307 6949959 9.30 2.02

601288 Agricultural Bank of China 2557059 7159765 2.80 2.96

601299China Nor th Locomot ive & Rolling Stock

1032006 4654345 4.51 0.79

601318 Ping An Insurance 478641 21677649 45.29 6.24

601328 Bank of Communications 3270905 16158272 4.94 4.83

601398 ICBC 26252720 108948788 4.15 2.69

601600 Chalco 958052 4914808 5.13 0.63

601601 China Pacific Insurance 620829 13968646 22.50 2.84

601628 China Life 2082353 44562354 21.40 1.29

601668 China State Construction 3000000 11700000 3.90 2.45

601669 Sinohydro 300300 1147146 3.82 0.62

601699 Lu’an Environmental Energy 230108 5037073 21.89 0.85

601766China South Locomot ive & Rolling Stock

951600 4719936 4.96 0.74

601818 China Everbright Bank 1893479 5775111 3.05 1.54

601857 Petrochina 16152208 146015958 9.04 1.33

601898 China Coal Energy 900698 7043456 7.82 0.60

601899 Zijin Mining 1580380 6052857 3.83 1.28

601901 Founder Securities 332724 1467311 4.41 0.34

601958 Jinduicheng Molybdenum 322596 3777598 11.71 0.47

601989 China Shipbuilding Industry 1130794 5393889 4.77 0.86

Stock Market

2013 Fact Book 36




Closing Price (RMB)

Weight in 180 Index(%)

600000 Pudong Development Bank 1492278 14803395 9.92 3.02

600005 Wuhan Iron & Steel 1009378 2795977 2.77 0.31

600009 Shanghai Airport 109348 1362472 12.46 0.33

600010 Baotou Steel 642364 3468768 5.40 0.39

600011 Huaneng Power International 1000000 7140000 7.14 0.61

600015 Hua Xia Bank 499053 5165197 10.35 0.98

600016 Minsheng Bank 2258760 17753855 7.86 4.89

600019 Baoshan Iron & Steel 1712205 8372682 4.89 0.70

600028 China Petroleum & Chemical 7003980 48467540 6.92 0.81

600029 China Southern Airlines 689875 2697411 3.91 0.38

600030 CITIC Securities 981466 13112388 13.36 2.55

600031 Sany Heavy Industry 703080 7445617 10.59 0.90

600036 China Merchants Bank 1766613 24290930 13.75 4.51

600048 Poly Real Estate 713799 9707672 13.60 1.59

600050 China Unicom 2119660 7418809 3.50 0.83

600058 Minmetals Development 107191 1840471 17.17 0.21

600060 Hisense Electric 130665 1321018 10.11 0.22

600068 Gezhouba 348746 1914615 5.49 0.32

600072 CSSC Jiangnan Heavy Industry 47843 665017 13.90 0.11

600085 Beijing Tongrentang 130207 2320281 17.82 0.33

600089 Tebian Electric 263556 1702572 6.46 0.48

600100 Tsinghua Tongfang 198770 1486800 7.48 0.33

600104 SAIC Motor 917032 16176451 17.64 1.06

600108 Yasheng Group 173699 1186365 6.83 0.26

600109 Sinolink Securities 100024 1784432 17.84 0.19

600111 Baotou Steel Rare-Earth 147947 5540615 37.45 1.53

600115 China Eastern Airlines 778221 2731557 3.51 0.23

600118 China Spacesat 91660 1121000 12.23 0.16

600123 Lanhua Sci-Tech Venture 114240 2317930 20.29 0.39

600125 Tielong Container Logistics 115616 831282 7.19 0.18

600132 Chongqing Brewery 48397 743864 15.37 0.13

Stock Market

2013 Fact Book 37



Closing Price (RMB)


600143 Kingfa Sci. and Tech. 263440 1419942 5.39 0.27

600150 China State Shipbuilding 137812 3202745 23.24 0.33

600151Aerospace AutomobileElectromechanical

95747 514164 5.37 0.08

600158 China Sports 65750 379375 5.77 0.11

600160 Zhejiang Juhua 140196 1295410 9.24 0.15

600166 Foton Motor 137171 923158 6.73 0.27

600169 Taiyuan Heavy Industry 242396 879896 3.63 0.17

600177 Yongor 196538 1552648 7.90 0.29

600188 Yanzhou Coal 36000 656280 18.23 0.30

600196 Fosun Pharmaceutical 189962 1992701 10.49 0.33

600208 Xinhu Zhongbao 625726 2696878 4.31 0.22

600216 Zhejiang Medicine 45006 946021 21.02 0.15

600219 Nanshan Aluminum 193415 1319093 6.82 0.22

600221 Hainan Airlines 334519 1415017 4.23 0.14

600239 Yunnan City 62595 541451 8.65 0.14

600251Xinjiang Guannong Fruit andAntler

36210 592396 16.36 0.08

600252 Zhongheng Group 109175 996765 9.13 0.22

600256 Guanghui Industry 205411 3366694 16.39 0.96

600259 Rising Nonferrous Metals 24940 1458491 58.48 0.20

600266 Beijing Urban Construction 88920 1324019 14.89 0.18

600271 Aisino 92340 1368479 14.82 0.22

600276 Hengrui Medicine 123432 3715294 30.10 0.52

600309 Yantai Wanhua 216233 3375405 15.61 0.47

600316 Hongdu Aviation Industry 67645 928083 13.72 0.15

600325 Huafa 81705 694489 8.50 0.15

600331 Hongda 103200 690408 6.69 0.15

600340China Fortune Land Development

34878 984604 28.23 0.27

600348 Yang Quan Coal Industry 240500 3494465 14.53 0.48

600352 Zhejiang Longsheng 146842 891328 6.07 0.17

600362 Jiangxi Copper 207525 4951540 23.86 0.54

600366 Ningbo Yunsheng 51450 816508 15.87 0.16

600369 Southwest Securities 164187 1466188 8.93 0.29

Stock Market

2013 Fact Book 38



Closing Price (RMB)


600373Chinese Universe Publishing and Media

18750 267375 14.26 0.07

600376 Beijing Capital Development 149468 1961014 13.12 0.26

600383 Gemdale 447151 3138999 7.02 0.85

600395 Panjiang Refined Coal 165505 2816898 17.02 0.24

600406 NARI Technology Development 157554 2525588 16.03 0.41

600415Zhejiang China Commodities City

272161 1807147 6.64 0.25

600418 JAC 107287 732769 6.83 0.17

600489 Zhongjin Gold 294323 4894589 16.63 0.68

600497 Chihong Zinc & Germanium 131010 1853785 14.15 0.26

600498Fiberhome Telecommunication Technologies

44286 1007952 22.76 0.15

600503 Deluxe Family 109948 511257 4.65 0.09

600516 FangDa Carbon New Material 127908 1135821 8.88 0.16

600518 Kangmei Pharmaceutical 219871 2889111 13.14 0.57

600519 Kweichow Moutai 103818 21700038 209.02 2.48

600535 Tasly Pharmaceutical 51642 2854261 55.27 0.48

600547 Chixia Development 142307 5430444 38.16 0.76

600549 Xiamen Tungsten 68198 2658358 38.98 0.29

600550 Tianwei Baobian 137299 893817 6.51 0.12

600583 Offshore Oil Engineering 388944 2283101 5.87 0.32

600585 Anhui Conch Cement 399970 7379451 18.45 1.03

600598 Heilongjiang Agriculture 177768 1450587 8.16 0.16

600600 Tsingtao Brewery 69591 2300690 33.06 0.32

600614 Dingli Technology Development 44676 521815 11.68 0.07

600636 3F New Materials 38195 505321 13.23 0.10

600641 Wanye Enterprise 80616 343424 4.26 0.05

600642 Shenergy 472877 2090118 4.42 0.35

600643 AJ Trust & Investment 81785 648554 7.93 0.17

600649 Shanghai Chengtou 298752 1634175 5.47 0.22

600655 Yuyuan Tourist Mart 143732 1031997 7.18 0.23

600657 Cinda Real Estate 152426 644762 4.23 0.05

600663 Lujiazui 135808 1616120 11.90 0.14

600664 Harbin Pharmaceutical 105339 650995 6.18 0.17

600674 Chuantou Energy 197267 1649151 8.36 0.23

Stock Market

2013 Fact Book 39



Closing Price (RMB)


600675 China Enterprise 155588 823062 5.29 0.16

600690 Qingdao Haier 268513 3598071 13.40 0.59

600703 Sanan Optoelectronics 120511 1648586 13.68 0.27

600736 Suzhou New District Hi-Tech 105788 499320 4.72 0.08

600739 Liaoning Chengda 136471 2045700 14.99 0.56

600741 Huayu Automotive 258320 2888018 11.18 0.32

600747Dalian Daxian Enterprises Holdings

106433 488527 4.59 0.13

600759 Zhenghe Industrial 121602 639628 5.26 0.09

600770 Jiangsu Zongyi 108210 669820 6.19 0.12

600773Tibet Urban Development and Investment

53964 619506 11.48 0.07

600795 GD Power 1395461 3670062 2.63 0.55

600804 Dr. Peng 133851 797753 5.96 0.22

600809Shanxi Xinghuacun Fen Wine Factory

86585 3607124 41.66 0.30

600811 Oriental Group 166681 905075 5.43 0.20

600816 Anxin Trust and Investment 45385 598628 13.19 0.12

600823 Shimao Real Estate 117060 1369597 11.70 0.11

600837 Haitong Securities 809213 8294434 10.25 2.29

600839 Sichuan Changhong Electric 461000 949660 2.06 0.21

600863Inner Mongo l i a MengD ian HuaNeng Thermal Power

57294 429701 7.50 0.16

600873 Meihua Holdings Group 160755 872899 5.43 0.12

600875 Dongfang Electric 166386 2311102 13.89 0.26

600887 Yili Industrial Group 158734 3488977 21.98 0.95

600893 Aero-engine 108622 1371901 12.63 0.18

600895 Zhangjiang Hi-tech 154869 1087180 7.02 0.15

600900 Yangtze Power 974594 6695462 6.87 0.95

600970Sinoma International Engineering

109330 1346942 12.32 0.15

600971Hengyuan Coal Industry and Electricity Power

100000 1288005 12.88 0.18

600999 Merchants Securities 466110 4917460 10.55 0.68

601001 Datong Coal 167370 1546499 9.24 0.17

601002 Gem-year Industrial 73847 759886 10.29 0.11

Stock Market

2013 Fact Book 40



Closing Price (RMB)


601006 Daqin Railway 1486679 10049951 6.76 1.14

601009 Bank of Nanjing 296893 2731419 9.20 0.53

601088 China Shenhua 1631104 41348481 25.35 2.31

601099 Pacific Ocean 165364 904544 5.47 0.10

601101 Haohua Energy Resource 42582 567194 13.32 0.18

601106 China First Heavy Industries 229000 645780 2.82 0.20

601111 Air China 819974 4919843 6.00 0.41

601117China National Chemical Engineering

152900 1259896 8.24 0.45

601118 Hainan Rubber Industry 98500 559480 5.68 0.19

601158 Chongqing Water Group 50000 265500 5.31 0.14

601166 Industrial Bank 1078641 18002520 16.69 3.47

601168 Western Mining 238300 1868272 7.84 0.41

601169 Bank Of Beijing 747307 6949959 9.30 1.34

601179 China XD Electric 146700 510516 3.48 0.17

601186 China Railway Construction 1001625 5879536 5.87 0.51

601233 Tongkun Group 44216 317915 7.19 0.06

601288 Agricultural Bank of China 2557059 7159765 2.80 1.96

601299 China CNR 1032006 4654345 4.51 0.52

601311 Camel Group 29933 261915 8.75 0.04

601318 Ping An Insurance 478641 21677649 45.29 4.13

601328 Bank of Communications 3270905 16158272 4.94 3.20

601336 New China Life Insurance 110058 3171874 28.82 0.12

601377 Industrial Securities 158008 1940341 12.28 0.53

601390 China Railway 1662501 5054003 3.04 0.44

601398 ICBC 26252720 108948788 4.15 1.78

601555 Soochow Securities 122138 984432 8.06 0.14

601600 Chalco 958052 4914808 5.13 0.41

601601 China Pacific Insurance 620829 13968646 22.50 1.88

601607 Shanghai Pharmaceuticals 107053 1189356 11.11 0.30

601618Metallurgical Corporation of China

1623900 3670014 2.26 0.31

601628 China Life 2082353 44562354 21.40 0.85

601633 Great Wall Motor 30424 721056 23.70 0.26

601666 Pingdingshan Tianan Coal 236117 2016435 8.54 0.28

Stock Market

2013 Fact Book 41



Closing Price (RMB)


601668 China State Construction 3000000 11700000 3.90 1.62

601669 Sinohydro. 300300 1147146 3.82 0.41

601688 Huatai Securities 222842 2183855 9.80 0.45

601699 Lu’an Environmental Energy 230108 5037073 21.89 0.56

601717Zhengzhou Coal Mining Machinery Group

82880 855322 10.32 0.24

601766China South Locomotive & Rolling Stock

951600 4719936 4.96 0.49

601788 China Everbright Securities 341800 4819380 14.10 0.52

601808 China Oilfield Services 291047 4773168 16.40 0.27

601818 Everbright Bank 1893479 5775111 3.05 1.02

601857 Petrochina 16152208 146015958 9.04 0.88

601898 China Coal Energy 900698 7043456 7.82 0.40

601899 Zijin Mining 1580380 6052857 3.83 0.84

601901 Founder Securities 332724 1467311 4.41 0.23

601919 China COSCO 747595 3296894 4.41 0.28

601928 Phoenix Publishing and Media 65900 446802 6.78 0.15

601939 China Construction Bank 959366 4413083 4.60 1.22

601958 Jinduicheng Molybdenum 322596 3777598 11.71 0.31

601988 Bank of China 19552506 57093319 2.92 0.55

601989 China Shipbuilding Industry 1130794 5393889 4.77 0.57

601992 BBMG Corporation 126655 1025906 8.10 0.21

601998 Citic Bank 3169133 13595580 4.29 0.32

Stock Market

2013 Fact Book 42



Market Cap ofTradable Shares (RMB 10,000)

Closing Price (RMB)

Weight in380 Index(%)

600004 Guangzhou Baiyun International Airport 115000 815350 7.09 0.28

600006 Dongfeng Automobile 200000 598000 2.99 0.21

600008 Beijing Capital 220000 961400 4.37 0.41

600012 Anhui Expressway 116560 470902 4.04 0.12

600017 Rizhao Port 263063 760253 2.89 0.30

600018 Shanghai International Port 2099080 5520580 2.63 0.48

600021 Shanghai Electric Power 213974 992839 4.64 0.25

600022 Shandong Iron And Steel Company 534316 1170152 2.19 0.36

600026 China Shipping Development 210855 978368 4.64 0.25

600027 Huadian Power International 534006 2103982 3.94 0.61

600033 Fujian Expressway Development 133975 298764 2.23 0.26

600038 Hafei Aviation Industry 33735 634893 18.82 0.26

600039 Sichuan Road & Bridge 54720 354038 6.47 0.24

600051 Ningbo United 30240 211982 7.01 0.15

600054 Huangshan Tourism Development 11762 147966 12.58 0.14

600056 China Medicine and Health Products 31096 627824 20.19 0.21

600059 Guyuelongshan Shaoxing Wine 60399 689753 11.42 0.37

600062China Resources Double-Crane Pharmaceutical

57170 1297750 22.70 0.67

600063Wanwei Updated High-Tech Material Industry

149785 396931 2.65 0.24

600066 Zhengzhou Yutong Bus 67366 1697625 25.20 1.03

600067 Citychamp Dartong 117680 771983 6.56 0.38

600069 Yinge Industrial Investment 82537 430845 5.22 0.26

600070 Zhejiang Furun 18288 139719 7.64 0.10

600071 Phenix Optical 23747 144621 6.09 0.09

600075 Xinjiang Tianye 43859 293857 6.70 0.15

600078 Chengxing Phosph-Chemicals 66257 561199 8.47 0.29

600079 Humanwell Healthcare 44522 1041362 23.39 0.79

600081 Dong Feng Electronic and Technology 31356 203814 6.50 0.07

600088 China Television Media 33142 310211 9.36 0.13

600096 Yun Tian Hua 69363 898950 12.96 0.30

Stock Market

2013 Fact Book 43



Closing Price (RMB)


600097 Kaichuang Marine International 11545 142003 12.30 0.11

600098 Guangzhou Development Industry 205920 1560874 7.58 0.35

600101 Mingxing Electric Power 32418 301162 9.29 0.18

600105 Jiang Su Etern 38095 199620 5.24 0.12

600106 Chongqing Road & Bridge 90774 363097 4.00 0.25

600110 China-Kinwa High Technology 115031 415263 3.61 0.36

600112 Changzheng Electricv 50920 541794 10.64 0.32

600113 Zhejiang Dongri 31860 320830 10.07 0.16

600114 Nbtm New Materials 10768 86035 7.99 0.08

600116Three Gorges Water Conservancy and Electric Power

24753 300258 12.13 0.19

600117 Xining Special Steel 74122 365421 4.93 0.19

600120 Zhejiang Orient Holdings 50547 432180 8.55 0.22

600121Zhengzhou Coal Industry & Electric Power

62914 482550 7.67 0.25

600122 Hongtu High Technology 113279 453116 4.00 0.31

600128 Jiangsu Holly 24677 215922 8.75 0.15

600131 Minjiang Hydropower 39737 211399 5.32 0.14

600133 East Lake High Technology 42662 236772 5.55 0.17

600138 China CYTS Tours 41535 661237 15.92 0.56

600139 Western Resources 56150 539601 9.61 0.27

600141 Xingfa Chemicals Group 35980 649071 18.04 0.45

600152 Veken Elite 29349 128550 4.38 0.07

600153 Xiamen C & D 223775 1573139 7.03 0.77

600157 Wintime Energy 106275 1000045 9.41 0.57

600161 Tiantan Biological Products 48825 607383 12.44 0.28

600170 Shanghai Construction Group 70491 550536 7.81 0.47

600171 Shanghai Belling 67381 320059 4.75 0.22

600172 Huanghe Whirlwind 49668 336748 6.78 0.19

600175 Meidu Holding 137128 396300 2.89 0.21

600176 China Fiberglass 64109 650704 10.15 0.29

600183 Shengyi Technology 140051 589614 4.21 0.26

600184 North Electro-optic 9795 190219 19.42 0.10

600185 Gree Real Estate 57759 402006 6.96 0.17

600190 Jinzhou Port 133898 491406 3.67 0.17

Stock Market

2013 Fact Book 44



Closing Price (RMB)


600193 Prosolar Resources Development 32721 394942 12.07 0.23

600195 China Animal Husbandry Industry 39000 492180 12.62 0.21

600197 Xinjiang Yilite Industry 44100 668115 15.15 0.29

600199 Golden Seed Winery 55578 1067644 19.21 0.63

600200 Jiangsu Wuzhong Industrial 52209 375904 7.20 0.39

600201 Jinyu Group 28081 400442 14.26 0.27

600210 Zijiang Enterprise Group 143674 504294 3.51 0.35

600226 Shenghua Biok Biology 40555 243330 6.00 0.15

600227 Guizhou Chitianhua 93134 339938 3.65 0.24

600231 Lingyuan Iron & Steel 80400 381901 4.75 0.16

600233 Dalian Dayang Trands 16500 137610 8.34 0.07

600236 Guiguan Electric Power 112779 448860 3.98 0.31

600240 Huaye Realestate 141900 682539 4.81 0.33

600249 Liuzhou Liangmianzhen 45000 207450 4.61 0.14

600255 Xinke New Materials 44950 253518 5.64 0.17

600257 Dahu Aquaculture 42705 284842 6.67 0.20

600258 Beijing Capital Tourism 23140 262639 11.35 0.09

600260 Kaile Science and Technology 52764 485956 9.21 0.33

600261 Zhejiang Yankon Group 44470 385107 8.66 0.19

600262 North Hauler Joint Stock 6600 91674 13.89 0.08

600267 Hisun Pharmaceutical 83971 1250327 14.89 0.64

600268 Guodian Nanjing Automation 63525 371619 5.85 0.16

600269 Ganyue Expressway 233541 798709 3.42 0.34

600270Sinotrans Air Transportation Development

33084 234568 7.09 0.22

600277 Yili Energy 153329 910774 5.94 0.16

600278 Orient International Enterprise 41600 252928 6.08 0.08

600279 Chongqing Gangjiu 15074 94663 6.28 0.07

600280 Nanjing Central Emporium 14354 514167 35.82 0.22

600282 Nanjing Iron and Steel 168480 397613 2.36 0.16

600283Qianjiang Water Resources Development

28533 254514 8.92 0.12

600284Shanghai Pudong Road and Bridge Construction

49824 436956 8.77 0.30

600285 Lingrui Pharmaceutical 20072 216376 10.78 0.19

600289 Bright Oceans Inter-Telecom 56738 329080 5.80 0.23

Stock Market

2013 Fact Book 45



Closing Price (RMB)


600290 Huayi Electric 51518 262228 5.09 0.16

600292 Jiulong Electric Power 33450 420801 12.58 0.21

600295 Eerduosi Resources 61200 544068 8.89 0.19

600298 Angel Yeast 29499 481712 16.33 0.23

600300 V V Food ＆ Beverage 167200 1152008 6.89 0.50

600303 SG Automotive Group 57451 251634 4.38 0.17

600307 Jiu Steel Group Hongxing Iron and Steel 409136 1341965 3.28 0.23

600308 Huatai Paper 116756 405144 3.47 0.24

600310 Guidong Electric Power 27593 282823 10.25 0.12

600312 Pinggao Electric 81897 595388 7.27 0.41

600315 Shanghai Jahwa United 42300 2156879 50.99 1.38

600318 Chaodong Cement 24200 268378 11.09 0.14

600322 Tianjin Reality Development 110570 427906 3.87 0.28

600323 Nanhai Development 48792 318126 6.52 0.23

600326 Tibet Tianlu 54720 477706 8.73 0.28

600327 Wuxi Commercial Mansion Grand Orient 52171 239466 4.59 0.12

600328 Lantai Industrial 35912 238095 6.63 0.12

600329 Zhongxin Pharmaceutical 53343 565440 10.60 0.19

600330 TDG Holding 58882 310896 5.28 0.21

600332 Guangzhou Pharmaceutical 59100 1147722 19.42 0.39

600333 Changchun Gas 46152 388138 8.41 0.17

600337 Markor International Furniture 58637 331887 5.66 0.18

600339 Tianli High and New Tech 57815 269998 4.67 0.16

600343 Aerospace Power Hi-Tech 23968 233931 9.76 0.12

600345 Yangtze Communication Industry 19800 233442 11.79 0.12

600350 Shandong Expressway 336380 1126873 3.35 0.27

600351 Yabao Pharmaceutical 63295 337996 5.34 0.25

600360 JiLin Sino-Microelectronics 67808 254958 3.76 0.18

600363Lianchuang Optoelectronic Science and Technology

37081 252519 6.81 0.18

600367 Redstar Developing 29120 298480 10.25 0.15

600368 Wuzhou Communications 83380 320180 3.84 0.14

600371 WanXiang Doneed 17050 242963 14.25 0.08

600375 Hualing Xingma Automobile 18748 165921 8.85 0.12

600377 Jiangsu Expressway 376884 1963565 5.21 0.34

Stock Market

2013 Fact Book 46



Closing Price (RMB)


600380 Joincare Pharmaceutical 154584 695626 4.50 0.24

600382 Guangdong Mingzhu 34175 242982 7.11 0.17

600387 Zhejiang Haiyue 38571 332482 8.62 0.23

600388 Fujian Longking 21026 460478 21.90 0.32

600403 DaYou Energy 12747 262455 20.59 0.41

600409 Sanyou Chemical Industries 140870 535308 3.80 0.24

600410 Beijing Teamsun Technology 63745 404778 6.35 0.25

600416 Xiangtan Electric Manufacturing 60848 310327 5.10 0.19

600420 Shanghai Modern Pharmaceutical 28773 366285 12.73 0.19

600422 Kunming Pharmaceutical 31370 610777 19.47 0.32

600423 Liuzhou Chemical Industry 39935 221239 5.54 0.13

600425Qingsong Building Materials And Chemicals

47870 473429 9.89 0.28

600426 Hualu-Hengsheng Chemical 95363 739059 7.75 0.44

600428 COSCO Shipping 169045 664345 3.93 0.28

600432 Ji En Nickel Industry 81112 1095014 13.50 0.44

600433 Guanhao High-tech 55314 505570 9.14 0.23

600435China North Optical-Electrical Technology

74466 615834 8.27 0.27

600436 Pientzehuang Pharmaceutical 14000 1524880 108.92 0.64

600438 Tongwei 68752 459951 6.69 0.20

600439 Rebecca Hair Products 94332 413175 4.38 0.25

600446 Kingdom Technology 26114 174439 6.68 0.09

600449 Ningxia Building Materials 25077 229452 9.15 0.22

600456 Baoji Titanium Industry 43027 763291 17.74 0.32

600458 Times New Material Technology 45368 592054 13.05 0.41

600459 Sino-Platinum Metals 15285 282309 18.47 0.15

600460 Silan Microelectronics 86816 324692 3.74 0.14

600467 Homey Aquatic Development 72002 527052 7.32 0.23

600468 Benefo Tejing Electric 45619 483564 10.60 0.16

600469 Aeolus Tyre 37494 328074 8.75 0.17

600470 Liuguo Chemical 52160 478829 9.18 0.32

600475 Huaguang Boiler 25600 257536 10.06 0.13

600477 Hangxiao Steel Structure 33639 151374 4.50 0.12

600478 Corun New Energy 31482 707094 22.46 0.47

Stock Market

2013 Fact Book 47



Closing Price (RMB)


600479 Qianjin Pharmaceutical 30482 365783 12.00 0.22

600480 Lingyun Industrial 35673 233305 6.54 0.14

600481 Shuangliang Eco-Energy Systems 81010 562212 6.94 0.19

600487 Hengtong Optic-electric 16612 341377 20.55 0.22

600488 Tianjin Tianyao Pharmaceutical 54289 288275 5.31 0.15

600491 Long Yuan Construction 94760 538237 5.68 0.28

600495 Jinxi Axle 30224 428573 14.18 0.26

600496 Changjiang & Jinggong Steel Building 58657 471013 8.03 0.27

600499 Keda Industrial 63201 553642 8.76 0.34

600500 Sinochem International 143759 830927 5.78 0.35

600501 Aerosun 20629 165444 8.02 0.16

600502 Anhui Water Resources Development 33462 391505 11.70 0.33

600507 Fangda Special Steel Technology 130053 505906 3.89 0.17

600508 Shanghai Datun Energy Resources 72272 1162853 16.09 0.40

600509 Tianfu Thermoelectric 65570 529803 8.08 0.27

600510 Black Peony 25502 199935 7.84 0.21

600511 China National Medicines 27764 404526 14.57 0.36

600513 Lianhuan Pharmaceutical 15210 130958 8.61 0.08

600517 Zhixin Electric 61871 853813 13.80 0.43

600521 Huahai Pharmaceutical 54568 622079 11.40 0.27

600522 Zhongtian Technology 70450 555854 7.89 0.37

600523Guizhou Guihang Automotive Components

19602 189358 9.66 0.11

600525 Changyuan Group 86351 545738 6.32 0.28

600527 Jiangsu Jiangnan High Polymer Fiber 80209 371367 4.63 0.21

600528 China Railway Erju 145920 974746 6.68 0.42

600531 Yuguang Gold & Lead 29525 505765 17.13 0.26

600536 China National Software and Service 22569 238558 10.57 0.10

600537 EGing Photovoltaic Technology 23003 183337 7.97 0.13

600543 Mogao Industrial Development 32112 320478 9.98 0.22

600545 Xinjiang Urban Construction 67579 419663 6.21 0.29

600546 Shanxi Coal International Energy 99123 2017149 20.35 0.34

600548 Shenzhen Expressway 143327 487312 3.40 0.08

600557 Kanion Pharmaceutical 30711 638783 20.80 0.52

600559 Laobaigan Liquor 14000 517860 36.99 0.31

Stock Market

2013 Fact Book 48



Closing Price (RMB)


600560 Aritime Intelligent Control 22365 165498 7.40 0.09

600561 Jiangxi Changyun 18572 156008 8.40 0.09

600563 Xiamen Faratronic 22500 334575 14.87 0.14

600570 Hundsun Technologies 62375 699224 11.21 0.44

600572 Conba Pharmaceutical 70096 683432 9.75 0.33

600575 Wuhu Port Storage & Transportation 71160 505948 7.11 0.30

600577 Jingda Special Magnet Wire 72113 337491 4.68 0.17

600578 Beijing Jingneng Thermal Power 76739 574005 7.48 0.25

600580 Wolong Electric 68773 270965 3.94 0.19

600581 Bayi Iron & Steel 76645 454504 5.93 0.19

600582 Tiandi Science & Technology 121392 1377799 11.35 0.46

600584 Changjiang Electronics Technology 85313 361729 4.24 0.31

600586 Jinjing Science and Technology 96711 330751 3.42 0.29

600587 Shinva Medical Instrument 17405 541479 31.11 0.37

600588 Ufida Software 97908 965377 9.86 0.41

600589 Guangdong Rongtai Industry 60173 332155 5.52 0.20

600592 Longxi Bearing 30000 198000 6.60 0.10

600594 Yibai Pharmaceutical 35276 705863 20.01 0.44

600595 Zhongfu Industry 151487 748348 4.94 0.32

600596 Xinan Chemical Indusyrial 67918 509388 7.50 0.35

600597 Bright Dairy and Food 104189 1024180 9.83 0.30

600601 Founder Technology 219489 520189 2.37 0.45

600606 Jinfeng Investment 51832 321877 6.21 0.19

600611 Dazhong Transportation 104221 503388 4.83 0.26

600612 Lao Feng Xiang 22605 487128 21.55 0.23

600616 JinFeng Wine 43867 388224 8.85 0.23

600619 Shanghai Highly 31857 207392 6.51 0.06

600622Shanghai Jiabao Industry and Commerce

51430 356927 6.94 0.24

600623 Double Coin Holdings 64637 541010 8.37 0.05

600624 Fudan Forward Science and Technology 34516 186729 5.41 0.13

600626 Shanghai Shenda 71024 243613 3.43 0.15

600628 Shanghai Shenda 53180 358965 6.75 0.25

600633 Zhe Jiang Daily Media 15205 205269 13.50 0.15

600635 Dazhong Public Utilities 164487 680976 4.14 0.46

Stock Market

2013 Fact Book 49



Closing Price (RMB)


600637 Bestv New Media 83552 1325963 15.87 0.76

600638 New Huang Pu Real Estate 56116 566776 10.10 0.39

600639Jinqiao Export Processing Zone Development

65665 590984 9.00 0.20

600644 Leshan Electric Power 32648 297097 9.10 0.18

600648Waigaoqiao Free Trade Zone Development

81022 778625 9.61 0.07

600650Jinjiang International Industrial Investment

39056 265971 6.81 0.11

600651 Feilo Acoustics 73907 347361 4.70 0.30

600658Electronic Zone Investment and Development

58010 444935 7.67 0.11

600660 Fuyao Glass Industry 196320 1721723 8.77 1.03

600662 Qiangsheng Holding 54904 217421 3.96 0.21

600666 Southwest Pharmaceutical 29015 186274 6.42 0.11

600667 Taiji Industry 119127 457449 3.84 0.28

600668 Jianfeng Group 34372 346818 10.09 0.29

600673 Dongyangguang Aluminum 82261 621895 7.56 0.16

600676 Shanghai Jiao Yun 73140 302798 4.14 0.15

600683 Metro Land 74078 377797 5.10 0.15

600684 Pearl River Industrial Development 31610 472564 14.95 0.29

600685 Guangzhou Shipyard International 43846 543695 12.40 0.23

600686 King Long Motor 44260 299638 6.77 0.18

600688 Sinopec Shanghai Petrochemical 72000 380880 5.29 0.44

600693 Fujian Dongbai 29901 216784 7.25 0.17

600694 Dashang 29372 1035946 35.27 0.89

600697 Chang Chun Eurasia 15516 343671 22.15 0.24

600702 Tuopai Shede Wine 33730 971761 28.81 0.58

600704Zhejiang Material Industrial Zhongda Yuantong Group

67455 492424 7.30 0.34

600710 Changlin 64028 268919 4.20 0.14

600712 Nanning Department Store 53715 247625 4.61 0.13

600717 Tianjin Port 167477 1011561 6.04 0.43

600718 Neusoft 122759 944020 7.69 0.57

600720 Qilianshan Cement 59705 632871 10.60 0.42

600724 Ningbo Fuda 144494 1062033 7.35 0.27

Stock Market

2013 Fact Book 50



Closing Price (RMB)


600725 Yunnan Yunwei 61624 256354 4.16 0.11

600729 Chongqing Department Store 13617 348448 25.59 0.31

600737 COFCO Tunhe 80560 422137 5.24 0.23

600742 FAWAY Automobile Components 21152 374396 17.70 0.26

600743 Huayuan Property 85242 337560 3.96 0.16

600748 Shanghai Industrial Development 108337 926282 8.55 0.31

600750 Jiangzhong Pharmaceutical 31115 613588 19.72 0.31

600754Jinjiang International Hotels Development

44724 633293 14.16 0.22

600755 Xiamen ITG Group 133084 589560 4.43 0.35

600761 Anhui Heli 51401 459529 8.94 0.27

600765 AVIC Heavy Machinery 77800 592060 7.61 0.29

600776 Eastern Communications 95600 414904 4.34 0.14

600778 Xinjiang Youhao 30884 331690 10.74 0.28

600779 Sichuan Swellfun 29532 572042 19.37 0.58

600780 Top Energy Company 87294 584870 6.70 0.26

600782 Xinyu Iron and Steel 139343 574093 4.12 0.15

600783 Luxin Venture Capital 40456 447036 11.05 0.21

600784 Luyin Investment 49661 257246 5.18 0.22

600785 Yinchuan Xinhua Commercial 20743 301813 14.55 0.18

600787 CMST Development 84010 649399 7.73 0.33

600790 Light & Textile Industrial City 61878 378072 6.11 0.25

600797 INSIGMA Technology 82171 354980 4.32 0.25

600801 Huaxin Cement 55621 843773 15.17 0.31

600802 Fujian Cement 38187 278768 7.30 0.17

600805 Yueda Investment 70767 842125 11.90 0.57

600806 Kunming Machine Tool 39019 179876 4.61 0.09

600807 Shandong Tyan Home 30789 220448 7.16 0.10

600808 Maanshan Iron And Steel 596775 1241292 2.08 0.42

600810 Shen Ma Industry 44228 241485 5.46 0.10

600815 Xiamen XGMA Machinery 77708 543182 6.99 0.23

600820 Shanghai Tunnel Engineering 73352 667504 9.10 0.41

600822 Shanghai Material Trading 39615 176682 4.46 0.06

600824 Yimin Group 73196 325724 4.45 0.19

600825 Shanghai Xinhua Media 104489 508860 4.87 0.17

Stock Market

2013 Fact Book 51



Closing Price (RMB)


600827 Shanghai Friendship Group 124038 1064248 8.58 0.57

600828 Chengshang Group 56885 284994 5.01 0.10

600829 Sanjing Pharmaceutical 57989 522480 9.01 0.13

600830 Sunny Loan Top 45432 304396 6.70 0.18

600831Shaanxi Broadcast & Tv Network Intermediary

56344 370179 6.57 0.22

600832 Shanghai Oriental Pearl 318633 1771602 5.56 0.76

600835Shanghai Mechanical & Electr ical Industry

80650 650042 8.06 0.28

600841 Shanghai Diesel Engine 42129 472693 11.22 0.03

600845 Shanghai Baosight Software 22652 315086 13.91 0.05

600846 Tongji Science & Technology Industrial 62476 268647 4.30 0.19

600857 HIT.Shouchuang Technology 22432 200766 8.95 0.12

600858 Silver Plaza Group 47417 444296 9.37 0.29

600859 Wangfujing Department Store 41764 1000670 23.96 0.47

600862 Tontec Technology Investment 60572 230174 3.80 0.15

600864 Harbin Hatou Investment 54638 310343 5.68 0.16

600866 Starlake bioscience 54454 252664 4.64 0.17

600867 Tonghua Dongbao Pharmaceutical 77621 737402 9.50 0.44

600872Jonjee Hi-tech Industrial and Commercial Holding

79664 366453 4.60 0.31

600874Tianjin Capital Environmental Protection Group

108723 509910 4.69 0.17

600879 Aerospace Times Electronics 81104 528799 6.52 0.35

600880 B-Ray Media 41407 399165 9.64 0.36

600881 Jilin Yatai 189473 951155 5.02 0.81

600886 SDIC Power 351766 2026173 5.76 0.70

600888 Xinjiang Joinworld 52285 493050 9.43 0.22

600889 Nanjing Chemical Fibre 30707 141866 4.62 0.07

600897 Xiamen International Airport 29781 391025 13.13 0.13

600963 Yueyang Forest&Paper 84316 344852 4.09 0.25

600966 Bohui Paper Industrial 50458 238665 4.73 0.14

600967 Beifang Chuangye 17323 317184 18.31 0.22

600975 New Wellful 23436 144366 6.16 0.09

600976 Wuhan Jianmin Pharmaceutical 15315 237386 15.50 0.17

600978 Yihua Timber Industry 113700 559405 4.92 0.39

Stock Market

2013 Fact Book 52



Closing Price (RMB)


600979 Guangan Aaa Public 59289 282217 4.76 0.17

600981 Jiangsu Skyrun 51611 200765 3.89 0.09

600983 Hefei Rongshida Sanyo Electric 19670 149689 7.61 0.14

600990 Sun-Create Electronics 11760 191570 16.29 0.10

600993 MaYingLong Pharmaceutical Group 33088 463890 14.02 0.24

600995 Yunnan Wenshan Electric Power 47853 266061 5.56 0.19

600997 Kailuan Energy Chemical 123464 1261802 10.22 0.54

600998 Jointown Pharmaceutical Group 53205 586850 11.03 0.27

601000 Tangshan Port 104035 346437 3.33 0.17

601003 Liuzhou Iron and Steel 256279 789340 3.08 0.14

601008 Lianyungang Port 75660 263297 3.48 0.12

601010 Wenfeng Great World 12280 174253 14.19 0.18

601011 Baotailong Coal and Coal Chemicals 12461 136070 10.92 0.14

601018 Ningbo Port 308000 791560 2.57 0.85

601058 Sailun 19562 148280 7.58 0.07

601098 China South Publishing & Media Group 39800 355812 8.94 0.41

601100 Hengli Highpressure Oil Cylinder 15750 177188 11.25 0.18

601107 Sichuan Expressway 216274 722355 3.34 0.19

601113 Huading Nylon 30400 118864 3.91 0.06

601126 Sifang Automation 15151 214991 14.19 0.15

601137 Ningbo Powerway Alloy Material 9500 148010 15.58 0.09

601139 Shenzhen Gas 190458 1815064 9.53 0.16

601177 Hangzhou Advance Gearbox 21306 196228 9.21 0.13

601208 EM Technology 31707 203561 6.42 0.10

601216Inner Mongolia Junzheng Energy and Chemical Industry

49836 309980 6.22 0.21

601218 Jixin Wind Energy Technology 13963 106677 7.64 0.06

601222 Linyang Electronics 11400 124146 10.89 0.10

601258 Pangda Automobile Trade 71344 368848 5.17 0.23

601333 Guangshen Railway 565224 1650453 2.92 0.70

601369 Shaangu Power 55310 498898 9.02 0.37

601518 Jilin Expressway 61640 160879 2.61 0.11

601519 Great Wisdom 50115 222009 4.43 0.16

601558 Sinovel Wind Group 42040 221130 5.26 0.36

601566 Joeone 12293 198901 16.18 0.24

Stock Market

2013 Fact Book 53



Closing Price (RMB)


601567 Sanxing Electric 13428 110244 8.21 0.08

601636 Kibing Group 17050 115599 6.78 0.12

601677 Mingtai Al. Industrial 8080 91223 11.29 0.08

601678 Befar Group 21450 213857 9.97 0.17

601718 Jihua Group 115700 348257 3.01 0.30

601727 Shanghai Electric Group 985071 4009241 4.07 0.68

601777 Lifan Industry 32660 208700 6.39 0.16

601801 Anhui Xinhua Media 21392 222049 10.38 0.16

601872 China Merchants Energy Shipping 377674 966845 2.56 0.41

601877 Chint Electrics 29068 533980 18.37 0.47

601880 Dalian Port 80841 228779 2.83 0.25

601886 Jangho Curtain Wall 26033 567529 21.80 0.21

601888 China International Travel Service 88000 2412960 27.42 0.61

601890 Asian Star Anchor Chain 27783 206708 7.44 0.18

601908 Beijing Jingyuntong Technology 20752 125549 6.05 0.09

601918 Sdic Xinji Energy 185039 1770820 9.57 0.45

601933 Yonghui Superstores 49403 1245462 25.21 0.49

601991 Datang International Power Generation 989436 3987427 4.03 0.70

Stock Market

2013 Fact Book 54

0500

1000

1500

2000

2500

3000

0

200

400

600

800

1000

1200

1400

1600

1800

1/42

/12/223

/144

/95/

25/23

6/137

/57/26

8/16

9/6

9/27

10/25

11/15

12/6

12/27

Closing Index

Turnover Value (RMB 100 million)

Tren

ds o

f SSE

Com

posi

te In

dex

in 2

012

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E C

ompo

site

Clo

sing

Inde

x

Stock Market

2013 Fact Book 55

His

toric

al T

rend

s of

SSE

Com

posi

te In

dex

0

2000

4000

6000

8000

10000

12000

14000

16000

1990

-12-

2119

91-7

-19

1992

-2-1

419

92-9

-11

1993

-4-9

1993

-11-

519

94-6

-10

1995

-1-6

1995

-8-1

119

96-3

-22

1996

-10-

1819

97-5

-30

1997

-12-

26 1998

-8-7

1999

-3-1

9

1999

-10-

15 2000

-6-2 20

01-1

-520

01-8

-17

2002

-4-5

2002

-11-

820

03-6

-20

2004

-1-1

620

04-8

-27

2005

-4-1

2005

-11-

1120

06-6

-23

2007

-1-2

620

07-8

-31

2008

-4-3

2008

-11-

720

09-6

-12

2010

-1-8

2010

-8-1

320

11-3

-11

2011

-10-

1420

12-5

-18

2012

-12-

21


Closing Index

Wee

kly

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E C

ompo

site

Clo

sing

Inde

x

Stock Market

2013 Fact Book 56

050100

150

200

250

300

350

400

450

1-4

2-12

-22

3-14

4-9

5-2

5-23

6-13

7-5

7-26

8-16

9-6

9-27

10-25

11-15

12-6

12-27

Weekly Turnover Value (RMB 100 million)

0200

400

600

800

1000

1200

1400

1600

1800

2000

Closing Index

Tre

nds

of S

SE 5

0 In

dex

in 2

012

Wee

kly

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E 50

Clo

sing

Inde

x

Stock Market

2013 Fact Book 57

0

500

1000

1500

2000

2500

3000

3500

4000

4500

2004

-1-2

2004

-3-1

920

04-6

-4

2004

-8-1

3

2004

-10-

22

2004

-12-

31

2005

-3-1

820

05-6

-3

2005

-8-1

2

2005

-10-

2820

06-1

-6

2006

-3-2

420

06-6

-9

2006

-8-1

8

2006

-11-

3

2007

-1-1

2

2007

-3-3

020

07-6

-8

2007

-8-1

7

2007

-11-

2

2008

-1-1

1

2008

-3-2

1

2008

-5-3

020

08-8

-8

2008

-10-

24

2008

-12-

31

2009

-3-2

0

2009

-5-2

720

09-8

-7

2009

-10-

16

2009

-12-

25

2010

-3-1

2

2010

-5-2

1

2010

-7-3

0

2010

-10-

8

2010

-12-

17

2011

-2-2

520

11-5

-6

2011

-7-1

5

2011

-9-2

3

2011

-12-

9

2012

-2-2

420

12-5

-4

2012

-7-1

3

2012

-9-2

1

2012

-12-

7


0500

1000

1500

2000

2500

3000

3500

4000

4500

5000

Closing Index

Wee

kly

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E 50

Clo

sing

Inde

xH

isto

rical

Tre

nds

of S

SE 5

0 In

dex

Stock Market

2013 Fact Book 58

0

100

200

300

400

500

600

700

800

900

1-4

2-1

2-22

3-14

4-9

5-2

5-23

6-13

7-5

7-26

8-16

9-6

9-27

10-25

11-15

12-6

12-27

01000

2000

3000

4000

5000

6000

7000

Closing Index

Tren

ds o

f SSE

180

Inde

x in

201

2

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E 18

0 C

losi

ng In

dex


Stock Market

2013 Fact Book 59

His

toric

al T

rend

s of

SSE

180

Inde

x

0

1000

2000

3000

4000

5000

6000

7000

8000

1996

-7-5

1996

-10-

18

1997

-1-3

1

1997

-5-3

0

1997

-9-1

2

1997

-12-

26

1998

-4-2

4

1998

-8-7

1998

-11-

20

1999

-3-1

9

1999

-7-2

1999

-10-

15

2000

-1-2

8

2000

-6-2

2000

-9-1

5

2001

-1-5

2001

-4-3

0

2001

-8-1

7

2001

-12-

7

2002

-4-5

2002

-7-1

9

2002

-11-

8

2003

-2-2

8

2003

-6-2

0

2003

-9-3

0

2004

-1-1

6

2004

-5-1

4

2004

-8-2

7

2004

-12-

10

2005

-4-1

2005

-7-2

2

2005

-11-

11

2006

-3-3

2006

-6-2

3

2006

-10-

13

2007

-1-2

6

2007

-5-1

8

2007

-8-3

1

2007

-12-

21

2008

-4-3

2008

-7-1

8

2008

-11-

7

2009

-2-2

7

2009

-6-1

2

2009

-9-2

5

2010

-1-8

2010

-4-3

0

2010

-8-1

3

2010

-11-

26

2011

-3-1

1

2011

-6-2

4

2011

-10-

14

2012

-2-3

2012

-5-1

8

2012

-8-3

1

2012

-12-

21

02000

4000

6000

8000

10000

12000

14000

Closing Index

Turnover Value（RMB 100 million）SS

E 18

0 W

eekl

y Tu

rnov

er

Val

ue （

RM

B 1

00 m

illio

n）C

losi

ng In

dex

Stock Market

2013 Fact Book 60

0

100

200

300

400

500

600

1-4

2-1

2-22

3-14

4-9

5-2

5-23

6-13

7-5

7-26

8-16

9-6

9-27

10-25

11-15

12-6

12-27

0500

1000

1500

2000

2500

3000

3500

4000

Closing Index

Tren

ds o

f SSE

380

Inde

x in

201

2

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E 38

0 C

losi

ng In

dex


Stock Market

2013 Fact Book 61

0

500

1000

1500

2000

2500

3000

3500

2011

-1-7

2011

-1-2

820

11-2

-18

2011

-3-1

120

11-4

-120

11-4

-22

2011

-5-1

320

11-6

-320

11-6

-24

2011

-7-1

520

11-8

-520

11-8

-26

2011

-9-1

6

2011

-10-

1420

11-1

1-4

2011

-11-

25

2011

-12-

16 2012

-1-6 20

12-2

-320

12-2

-24

2012

-3-1

620

12-4

-620

12-4

-27

2012

-5-1

820

12-6

-820

12-6

-29

2012

-7-2

020

12-8

-10

2012

-8-3

120

12-9

-21

2012

-10-

1920

12-1

1-9

2012

-11-

30

2012

-12-

21


0500

1000

1500

2000

2500

3000

3500

4000

4500

5000

Closing Index

His

toric

al T

rend

s of

SSE

380

Inde

x

Wee

kly

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E 38

0 C

losi

ng In

dex

Listed Companies

Listed Companies

2013 Fact Book 65

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.

Listed Companies

2013 Fact Book 66

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

Listed Companies

2013 Fact Book 67

(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

Listed Companies

2013 Fact Book 68

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.

Listed Companies

2013 Fact Book 69

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.

Listed Companies

2013 Fact Book 70

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.

9. During the securities issuance period, the managing underwriter shall, at 16:00 on the same day, submit to the

Listed Companies

2013 Fact Book 71

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

Numbers, apply for an ISIN code for the newly listed securities through the SSE website.

Listed Companies

2013 Fact Book 72

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 (if applicable);

12. The stock locking certification for one year since the IPO day of shareholders that have been holding before IPO;

13. Letters of commitment as specified in Articles 5.1.5 of the Share Listing Rules of the Shanghai Stock Exchange;

14. The latest prospectus and the full set of issuance application materials examined and approved by the CSRC;

15. A listing announcement prepared in accordance with the Guide to the Content and Format of Share Listing

Announcements of the Shanghai Stock Exchange;

16. The sponsor agreement and 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;

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

Listed Companies

2013 Fact Book 73

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

5. Cumulative profits distributed in the last three years in cash or stock represent no less than 20 percent of annual

Listed Companies

2013 Fact Book 74

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;

2. 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.

Listed Companies

2013 Fact Book 75

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.

Risk Warnings

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.

Risk warnings are divided into listing termination risk warnings (hereinafter referred to as "delisting risk warnings")

and other risking warnings indicating major risks.

The SSE has established “Risk Warning Board” where stocks of listed companies that are marked as “risk warning”

or enter delisting preparation period are traded.

Stocks of listed companies that are labeled “delisting risk warning” are marked"*ST" before the abbreviation for the

shares of the company to distinguish them from other shares;

Stocks of listed companies that are labeled “other risk warning” are marked "ST" before the abbreviation for

the shares of the company to distinguish them from other shares except for those subject to other provisions of the

Exchange.

Listed Companies

2013 Fact Book 76

If any of the following circumstances apply to a listed company, a delisting risk warning shall be implemented for

trading in the shares of the company:

1. Where the company has incurred losses in each of the last two years including retroactive adjustments (based on

the annually audited net profits disclosed in the two latest annual reports);

2. Where the company’s net asset is negative in the last year including retroactive adjustments (based on the

annually audited net profits disclosed in the latest annual report);

3. Where the company’s revenue is less than RMB 10 million in the last year including retroactive adjustments

(based on the annually audited net profits disclosed in the latest annual report);

4. Where the company fails to disclose its annual report or its 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;

5. 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;

6. Where the company fails to disclose its annual report or interim report and the shares of the company have been

suspended from trading for two months;

7. Where the company may be dissolved;

8. 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

9. Where the company has submitted the plan to solve share distribution issue which is the obstacle of the company

being listed, and the plan is approved by the Exchange;

10. Other circumstances determined by the SSE.

If any of the following circumstances apply to a listed company, other risking warnings shall be imposed on the shares of the company:

1. Where a company has not released its first annual report after its shares are relisted from listing suspension or

termination;

2. Where a company’s main business has not operated normally and cannot be resumed within three months;

3. Where the company’s main bank accounts are frozen;

4. Where the company’s board of directors is unable to convene meetings as normal and make resolutions;

5. 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

6. Other circumstances determined by the CSRC and the SSE.

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.

Listed Companies

2013 Fact Book 77

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.

Appendix: Agreement on Securities Listing

Corporation / Limited Liability Company (hereinafter referred to as "Party B"), according to

(referring to the issue of approval) applies to the Shanghai Stock Exchange (hereinafter referred to as

"Party A") for the listing of the securities and derivatives that it issues publicly or manages (hereinafter referred to as “Party

B securities”).

In accordance with the Securities Law of the People's Republic of China, the Shanghai Stock Exchange Management

Measures, other relevant laws and regulations, the Shanghai Stock Exchange Listing Rules, the Shanghai Stock

Exchange Bond Listing Rules and other listing provisions and listing agreements of the Party A concerning convertible

bonds, corporate bonds (enterprise bonds), securities investment funds, warrants and other securities, the two sides

agree to enter into this Agreement and to abide by it.

Article 1 Party A agrees to list Party B’s securities and provides trading facilities and services to Party B. Below are

the information of Party B’s securities listed in

Listed Companies

2013 Fact Book 78

Party A’s market:

Securities varieties: (referring to stocks, bonds, funds and other securities)

Securities name:

Securities Short name:

Securities code:

Listing date: (date of the listing)

Number of listed securities: (number of free flow securities on the initial listing)

Total number of the securities: (number of free flow and non-free flow securities on the initial listing)

Any change of Party B’s listed securities varieties or content should be submitted by Party B to and approved by

Party A in application documents, reports or certificates, and these papers should be included as part of this Agreement.

Article 2 In addition to the provisions of this agreement, provisions of relevant securities laws, rules, regulations and

relevant Party A’s rules, announcements, notices, shall also be abided by both parties. And the commitments made by

Party B and its directors, supervisors and senior management, as part of this Agreement, should also be complied with.

Article 3 Party B and its directors, supervisors and senior management agree to actively cooperate with Party A to

exercise their supervisory duties, and accept the punishment or discipline imposed by Party A in case of violation.

In case of amendments, the revised version of this article prevails.

Article 4 Party B shall pay listing fees to Party A according to the rates and payment requirements attached to this

Agreement. In case of rates adjustment in the future, the new rates should be adopted.

Article 5 In accordance with relevant laws and regulations, the Rules of the Exchange or other reasons that Party

A deems necessary, Party A can change the trading method of the listed securities or stop their trading provided the

decision is approved through relevant procedures; if Party A deems that Party B’s securities no longer meet the listing

conditions, may Party A suspend or terminate the listing of its securities.

Article 6 This Agreement comes into force since the IPO date of Party B’s securities on Party A’s market and expires

since the day on which Party B’s securities are delisted from Party A’s market.

Article 7 Party B agrees that after Party A terminates the listing of its stocks, the shares will enter the agent share

transfer system or other transfer system recognized by Party A to continue trading according to relevant provisions.

Article 8 After Party A suspends the listing of Party B’s stocks, Party B shall select a qualified securities company in

accordance with relevant provisions as its share transfer agent institution after the delisting (hereinafter referred to as

"agent institution") to provide Party B with share transfer agent and other services. Party B shall, within the prescribed

time, sign an agreement with the agent institution and promptly notify Party A about the signing. If Party B fails to choose

an agent institution within the given time, Party B shall accept the agent institution assigned by Party A to provide Party B

with share transfer agent and other services and related costs will be borne by Party B.

Article 9 The bonds whose issuance and listing in the SSE are approved by the CSRC must not be traded or

transferred in other places outside the SSE.

Listed Companies

2013 Fact Book 79

Article 10 This Agreement has two identical copies, one for each party. Both copies have the same effect.

Party A: Shanghai Stock Exchange Party B:

(Seal) (Seal)

Address: 528 South Pudong Road, Address:

Shanghai

Representative Signature: Representative Signature:

Signature Date: Signature Date:

Listed Companies

2013 Fact Book 80

Sector Distribution and Number of Companies

Industry Code Number of Companies

Agriculture, forestry, animal husbandry and fishery A 14

Mining industry B 36

Manufacturing C 499

Electricity, heat, gas and water production and supply D 51

Building industry E 30

Wholesale and retail trade F 89

Transportation, storage and postal services G 58

Accommodation and catering industry H 2

Transmission of information, software and IT services industry I 25

Financial sector J 31

Real estate K 74

Leasing and business services L 9

Scientific research and technical services M 1

Water conservancy, environment and public facilities management industry

N 6

Education P 1

Health and social work Q 1

Culture, sports and entertainment R 11

Other S 16

Listed Companies

2013 Fact Book 81

Geographical Distribution of Listed Companies

RegionNumber ofListed Companies

Percentage (%)

New Listingsin 2012

Percentage (%)

Anhui 29 3.04 0 0.00

Beijing 96 10.06 3 11.54

Fujian 30 3.14 0 0.00

Gansu 11 1.15 0 0.00

Guangdong 44 4.61 3 11.54

Guangxi 12 1.26 0 0.00

Guizhou 10 1.05 0 0.00

Hainan 8 0.84 0 0.00

Hebei 19 1.99 0 0.00

Henan 26 2.73 3 11.54

Heilongjiang 23 2.41 0 0.00

Hubei 37 3.88 0 0.00

Hunan 20 2.10 0 0.00

Jilin 18 1.89 1 3.85

Jiangsu 80 8.39 3 11.54

Jiangxi 16 1.68 0 0.00

Liaoning 28 2.94 1 3.85

Inner Mongolia 15 1.57 0 0.00

Ningxia 4 0.42 0 0.00

Qinghai 7 0.73 0 0.00

Shandong 49 5.14 1 3.85

Shanxi 17 1.78 0 0.00

Shaanxi 18 1.89 1 3.85

Shanghai 148 15.51 3 11.54

Sichuan 36 3.77 3 11.54

Tianjin 19 1.99 0 0.00

Tibet 6 0.63 0 0.00

Xinjiang 21 2.20 0 0.00

Yunnan 12 1.26 0 0.00

Zhejiang 77 8.07 3 11.54

Chongqing 18 1.89 1 3.85

Listed Companies

2013 Fact Book 82

Newly Listed Stocks in 2012

Stock Code Short Name SectorIssue Price (RMB)

Listing DateOpening Price(RMB)

Closing Price (RMB)

601012 LonGi Industrial 21.000 2012-4-11 19.510 19.750

601038 Yto Group Industrial 5.400 2012-8-8 8.050 8.850

601231 USI Industrial 7.600 2012-2-20 11.010 11.630

601313 SJEC Industrial 12.400 2012-1-16 11.650 10.990

601339 Bros Industrial 13.600 2012-6-12 12.000 12.330

601388 YeChiu resources Industrial 13.000 2012-4-23 13.900 15.140

601515Dongfeng Auto Corporation

Industrial 13.200 2012-2-16 15.100 15.970

601608 CITIC Heavy Industries Industrial 4.670 2012-7-6 4.690 4.790

601800China Communication Construction

Public Transportation

5.400 2012-3-9 6.990 6.660

601929 Jishi Media Other 7.000 2012-2-23 10.880 13.120

601965 CAERI Industrial 8.200 2012-6-11 7.680 7.580

603000 People's Daily Online Other 20.000 2012-4-27 31.010 34.720

603001 Aokang International Industrial 25.500 2012-4-26 23.000 23.650

603002 Epoxy Base Electronic Industrial 3.600 2012-5-18 8.010 8.560

603003 Lonyer Fuels Commercial 6.500 2012-8-17 12.500 10.700

603008 Xilinmen Industrial 12.500 2012-7-17 11.500 11.660

603077 Hebang Corporation Industrial 17.500 2012-7-31 16.000 16.420

603123 Cuiwei Corporation Commercial 9.000 2012-5-3 11.500 14.080

603128 CTS Freight Other 6.660 2012-5-29 7.830 8.050

603167 Bohai Ferry Other 11.000 2012-9-6 11.270 11.760

603333 Star Cable Industrial 9.300 2012-5-7 11.470 11.670

603366 SolarEast Industrial 21.500 2012-5-21 20.780 20.060

603399 NcDragon Industrial 7.800 2012-8-24 14.880 14.440

603766 Loncin Industries Industrial 6.580 2012-8-10 11.000 13.360

603993Molybdenum Metallic Material

Industrial 3.000 2012-10-9 8.700 9.630

Listed Companies

2013 Fact Book 83

New

ly L

iste

d C

ompa

nies

in 2

012

Stoc

k Co

deSh

ort N

ame

Met

hod

of Is

suan

ceVo

lum

e of

Sh

ares

Iss

ued

(10,

000

shar

es)

Issue

Pr

ice

(RM

B)

Lotte

ry

Succ

ess

Rate

(%)

Proc

eeds

(R

MB

10,0

00)

P/E

Ratio

(ti

mes

) Iss

uing

Dat

eLi

stin

g Da

tePu

blica

tion

Date

of

Pros

pect

us

Lead

Und

erwr

iter

6010

12Lo

nGi

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

7500

.00

21.0

02.

0915

7500

.00

24.7

120

12-3

-27

2012

-4-1

120

12-3

-23

Guox

in S

ecur

ities

Co.,

Ltd.

6010

38Yt

o Gr

oup

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1500

0.00

5.40

1.97

8100

0.00

14.4

420

12-7

-27

2012

-8-8

2012

-7-2

5CI

TIC

Secu

ritie

s

6012

31Ep

oxy

Base

Ele

ctro

nic

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1068

0.00

7.60

1.46

8116

8.00

23.0

320

12-2

-10

2012

-2-2

020

12-2

-8Gr

eat W

all S

ecur

ities

Co. L

td.

6013

13SJ

ECOf

fline

pric

e in

quiry

an

d on

line

fixe

d56

00.0

012

.40

4.54

6944

0.00

24.8

020

12-1

-620

12-1

-16

2012

-1-4

Huat

ai Se

curit

ies

Co. L

td.

6013

39Br

osOf

fline

pric

e in

quiry

an

d on

line

fixe

d15

000.

0013

.60

6.33

2040

00.0

012

.50

2012

-5-3

120

12-6

-12

2012

-5-2

9CI

TIC

Secu

ritie

s

6013

88Ye

Chiu

reso

urce

sOf

fline

pric

e in

quiry

an

d on

line

fixe

d10

500.

0013

.00

1.69

1365

00.0

018

.06

2012

-4-9

2012

-4-2

320

12-4

-5Hu

atai

Secu

ritie

s Co

. Ltd

.

6015

15Do

ngfe

ng A

uto

Corp

orat

ion

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

5600

.00

13.2

01.

9473

920.

0018

.08

2012

-2-7

2012

-2-1

620

12-2

-3Gu

oxin

Sec

uritie

s Co

., Lt

d.

6016

08CI

TIC

Heav

y In

dust

ries

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

6850

0.00

4.67

7.23

3198

95.0

016

.19

2012

-6-2

720

12-7

-620

12-6

-25

CITI

C Se

curit

ies

6018

00Ch

ina

CCCC

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1349

74.0

05.

401.

2850

0000

.00

7.68

2012

-2-1

520

12-3

-920

12-1

-31

BOCI

Sec

uritie

s Co

., Lt

d.

6019

29Ji

shi M

edia

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

2800

0.00

7.00

2.33

1960

00.0

037

.19

2012

-2-1

020

12-2

-23

2012

-2-8

CITI

C Se

curit

ies

6019

65CA

ERI

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1920

0.00

8.20

1.30

1574

40.0

028

.28

2012

-5-3

020

12-6

-11

2012

-5-2

8CS

C Se

curit

ies

Co.,

Ltd.

6030

00Pe

ople

's Da

ily O

nlin

eOf

fline

pric

e in

quiry

an

d on

line

fixe

d69

11.0

020

.00

1.50

1382

11.3

846

.13

2012

-4-1

820

12-4

-27

2012

-4-1

6CI

TIC

Secu

ritie

s

6030

01Ao

kang

Inte

rnat

iona

lOf

fline

pric

e in

quiry

an

d on

line

fixe

d81

00.0

025

.50

15.3

220

6550

.00

25.2

520

12-4

-18

2012

-4-2

620

12-4

-16

Guox

in S

ecur

ities

Co.,

Ltd.

Listed Companies

2013 Fact Book 84

Stoc

k Co

deSh

ort N

ame

Met

hod

of Is

suan

ceVo

lum

e of

Sh

ares

Iss

ued

(10,

000

shar

es)

Issue

Pr

ice

(RM

B)

Lotte

ry

Succ

ess

Rate

(%)

Proc

eeds

(R

MB

10,0

00)

P/E

Ratio

(ti

mes

) Iss

uing

Dat

eLi

stin

g Da

tePu

blica

tion

Date

of

Pros

pect

us

Lead

Und

erwr

iter

6030

02Ep

oxy

Base

Ele

ctro

nic

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1000

0.00

3.60

0.35

3600

0.00

36.0

020

12-5

-420

12-5

-18

2012

-5-2

Haito

ng S

ecur

ities

Co.,

Ltd.

6030

03Lo

nyer

Fue

lsOf

fline

pric

e in

quiry

an

d on

line

fixe

d50

50.0

06.

500.

8332

825.

0017

.11

2012

-8-8

2012

-8-1

720

12-8

-6Hu

atai

Secu

ritie

s Co

. Ltd

.

6030

08Xi

linm

enOf

fline

pric

e in

quiry

an

d on

line

fixe

d52

50.0

012

.50

2.47

6562

5.00

29.8

720

12-7

-620

12-7

-17

2012

-7-4

CITI

C Se

curit

ies

6030

77He

bang

Cor

pora

tion

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1000

0.00

17.5

015

.53

1750

00.0

021

.60

2012

-7-1

920

12-7

-31

2012

-7-1

7Hu

axi S

ecur

ities

Co. L

td.

6031

23Cu

iwei

Cor

pora

tion

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

7700

.00

9.00

0.91

6930

0.00

28.1

320

12-4

-19

2012

-5-3

2012

-4-1

7CS

C Se

curit

ies

Co.,

Ltd.

6031

28CT

S Fr

eigh

tOf

fline

pric

e in

quiry

an

d on

line

fixe

d10

000.

006.

660.

5066

600.

0027

.75

2012

-5-1

720

12-5

-29

2012

-5-1

5BO

CI S

ecur

ities

Co.,

Ltd.

6031

67Bo

hai F

erry

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1010

0.00

11.0

00.

9211

1100

.00

28.3

520

12-8

-23

2012

-9-6

2012

-8-2

1C

red

it S

uiss

e Fo

und

er

Secu

ritie

s Co

., Lt

d.

6033

33St

ar C

able

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

8667

.00

9.30

1.85

8060

3.10

24.4

720

12-4

-25

2012

-5-7

2012

-4-2

3Gu

oyua

n Se

curit

ies

Co.,

Ltd.

6033

66So

larEa

stOf

fline

pric

e in

quiry

an

d on

line

fixe

d10

000.

0021

.50

1.61

2150

00.0

023

.89

2012

-5-1

020

12-5

-21

2012

-5-8

GF S

ecur

ities

Co.,

Ltd.

6033

99Nc

Drag

onOf

fline

pric

e in

quiry

an

d on

line

fixe

d63

36.0

07.

800.

5949

420.

8022

.35

2012

-8-1

520

12-8

-24

2012

-8-1

3Es

senc

e Se

curit

ies

Co.

6037

66Lo

ncin

Indu

strie

sOf

fline

pric

e in

quiry

an

d on

line

fixe

d80

00.0

06.

581.

9352

640.

0014

.27

2012

-8-1

2012

-8-1

020

12-7

-30

Chin

a In

tern

atio

nal C

apita

l Co.

, Lt

d.

6039

93M

olyb

denu

m M

etal

lic

Mat

erial

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

2000

0.00

3.00

0.45

6000

0.00

13.6

420

12-9

-24

2012

-10-

920

12-9

-20

Esse

nce

Secu

ritie

s Co

.

Note

s: S

tatis

tics

in th

is ta

ble

inclu

ded

all c

ompa

nies

who

se lis

ting

date

fell w

ithin

201

2.

Listed Companies

2013 Fact Book 85

Rights Issues by Listed Companies in 2012

StockCode

Short Name Record DateAnnouncement Date of Rights Issue Prospectus

Announcement Date of Share Capital Change

Listing DateIssue Price (RMB)

Proceeds (RMB 10,000)

600066 Yutong Bus 2012-2-10 2012-2-8 2012-2-23 2012-2-27 14.38 221120

600587 Xinhua Medical 2012-4-12 2012-4-10 2012-4-26 2012-5-2 15.66 62106

600667 Taiji Industry 2012-10-24 2012-10-22 2012-11-7 2012-11-9 2.25 57069

600720 Qilian Mountains 2012-11-26 2012-11-22 2012-12-7 2012-12-11 6.26 76525

601299 China CNR 2012-2-24 2012-2-22 2012-3-9 2012-3-13 3.42 690859

Note: Rights issues in this table included all those whose record dates fell within 2012.

Listed Companies

2013 Fact Book 86

Equity Structure of Listed Companies (2012 year-end)

Category of SharesValue of Issuance(RMB 100 million)

Percentage(%)

Market Cap(RMB 100 million)

Percentage in Total Market Cap (%)

1. Promoter’s shares 4199.84 13.507 18769.98 11.827

State-owned shares 3848.20 12.376 15691.52 9.888

Shares owned by domestic legal person entities

249.80 0.803 2194.51 1.383

Shares owned by foreign institutional investors

22.17 0.071 240.41 0.151

Individual promoter’s shares 79.66 0.256 643.53 0.406

2. Legal person shares 3.23 0.010 27.78 0.018

3. Employee shares 0.00 0.000 0.00 0.000

4. Placement to institutions 38.31 0.123 374.11 0.236

5. Others 854.91 2.749 5232.11 3.297

Sub-total of non-tradable shares 5096.29 16.390 24403.99 15.378

1. Domestically listed RMB-denominated ordinary shares

19377.77 62.319 133508.66 84.127

2. Domestically listed foreign shares 143.56 0.462 785.79 0.500

3.Overseas listed foreign shares 6477.01 20.830 0.00 0.000

4. Others 0.00 0.000 0.00 0.000

Sub-total of tradable shares 25998.35 83.610 134352.77 84.660

Total of shares 31094.64 100.000 158698.44 100.000

Listed Companies

2013 Fact Book 87

Top 50 Listed Companies by Market Capitalization (2012 year-end)

Rank Short Name CodeMarket Cap(RMB10,000)


1 Petrochina 601857 146377558.35 9.22

2 ICBC 601398 108948788.05 6.87

3 Agricultural Bank of China 601288 82335482.29 5.19

4 Bank of China 601988 57093318.68 3.60

5 China Petroleum & Chemical 600028 48467540.14 3.05

6 China Life 601628 44562354.20 2.81

7 China Shenhua 601088 41804781.22 2.63

8 China Merchants Bank 600036 24290929.97 1.53

9 Kweichow Moutai 600519 21700038.36 1.37

10 Ping An Insurance 601318 21677649.24 1.37

11 SAIC Motor 600104 19449099.53 1.23

12 Bank of Communications 601328 19389926.82 1.22

13 Pudong Development Bank 600000 18504243.64 1.17

14 Industrial Bank 601166 18002520.18 1.13

15 Minsheng Bank 600016 17753855.48 1.12

16 China Pacific Insurance 601601 14145075.00 0.89

17 Citic Bank 601998 13687315.38 0.86

18 CITIC Securities 600030 13144343.82 0.83

19 Everbright Bank 601818 12332610.95 0.78

20 China Construction 601668 11700000.00 0.74

21 Yangtze Power 600900 11335500.00 0.71

22 Daqin Railway 601006 10049951.05 0.63

23 Poly Real Estate 600048 9707672.37 0.61

24 Baotou Steel Rare Earth 600111 9070554.78 0.57

Listed Companies

2013 Fact Book 88

Rank Short Name CodeMarket Cap(RMB10,000)


25 Baoshan Iron & Steel 600019 8372681.52 0.53

26 Haitong Securities China Coal Energy 600837 8294434.46 0.52

27 Bank of Beijing 601169 8184148.37 0.52

28 Sany Heavy Industry 600031 8041734.80 0.51

29 Huaneng Power International 600011 7497000.00 0.47

30 China Unicom 600050 7418808.74 0.47

31 Conch Cement 600585 7379451.26 0.46

32 China Coal Energy 601898 7156864.31 0.45

33 Hua Xia Bank 600015 7089466.18 0.45

34 China Heavy Industries 601989 6996496.00 0.44

35 China Communications Construction 601800 6226034.78 0.39

36 Zijin Mining 601899 6052856.80 0.38

37 China Railway Construction 601186 6023351.11 0.38

38 Xinhua Insurance 601336 6010236.18 0.38

39 Shanghai International Port 600018 5984612.25 0.38

40 China South Locomotive 601766 5842384.00 0.37

41 Guanghui energy 600256 5743650.09 0.36

42 Huatai Securities 601688 5488000.00 0.35

43 Shandong Gold 600547 5430444.31 0.34

44 Yanzhou Coal Mining 600188 5396080.00 0.34

45 China Railway 601390 5196123.04 0.33

46 Lu’An Environmental 601699 5037072.88 0.32

47 Air China 601111 4997562.79 0.31

48 Jiangxi Copper 600362 4951540.31 0.31

49 Merchants Securities 600999 4917460.32 0.31

50 China LCO 601600 4914807.75 0.31

Listed Companies

2013 Fact Book 89

Top 50 Listed Companies by Tradable Market Capitalization (2012 year-end)

Rank Short Name CodeTradable Market Cap(RMB10,000)


1 Petrochina 601857 146015958.35 10.87

2 ICBC 601398 108948788.05 8.11

3 Bank of China 601988 57093318.68 4.25

4 China Petroleum & Chemical 600028 48467540.14 3.61

5 China Life 601628 44562354.20 3.32

6 China Shenhua 601088 41348481.22 3.08

7 China Merchants Bank 600036 24290929.97 1.81

8 Kweichow Moutai 600519 21700038.36 1.62

9 Ping An Insurance 601318 21677649.24 1.61

10 Industrial Bank 601166 18002520.18 1.34

11 Minsheng Bank 600016 17753855.48 1.32

12 SAIC Motor 600104 16176450.90 1.20

13 Bank of Communications 601328 16158272.35 1.20

14 Pudong Development Bank 600000 14803394.91 1.10

15 China Pacific Insurance 601601 13968646.36 1.04

16 CITIC Bank 601998 13595580.02 1.01

17 CITIC Securities 600030 13112388.03 0.98

18 China Construction 601668 11700000.00 0.87

19 Daqin Railway 601006 10049951.05 0.75

20 Poly Real Estate 600048 9707672.37 0.72

21 Baoshan Iron & Steel 600019 8372681.52 0.62

22 Haitong Securities 600837 8294434.46 0.62

23 Sany Heavy Industry 600031 7445617.20 0.55

24 China Unicom 600050 7418808.74 0.55

Listed Companies

2013 Fact Book 90

Rank Short Name CodeTradable Market Cap(RMB10,000)


25 Anhui Conch Cement 600585 7379451.26 0.55

26 Agricultural Bank of China 601288 7159764.64 0.53

27 Huaneng Power International 600011 7140000.00 0.53

28 China Coal Energy 601898 7043456.15 0.52

29 Bank of Beijing 601169 6949959.06 0.52

30 Yangtze Power 600900 6695461.80 0.50

31 Zijin Mining 601899 6052856.80 0.45

32 China Railway Construction 601186 5879536.11 0.44

33 Everbright Bank 601818 5775110.95 0.43

34 Baotou Steel Rare Earth 600111 5540614.60 0.41

35 Shanghai International Port 600018 5520580.43 0.41

36 Shandong Gold 600547 5430444.31 0.40

37 China Heavy Industries 601989 5393889.15 0.40

38 Huaxia Bank 600015 5165196.81 0.38

39 China Railway 601390 5054003.04 0.38

40 Lu’An Environmental Energy 601699 5037072.88 0.38

41 Jiangxi Copper 600362 4951540.31 0.37

42 China Railway 601111 4919842.58 0.37

43 Merchants Securities 600999 4917460.32 0.37

44 Aluminum Corporation of China 601600 4914807.75 0.37

45 Zhongjin Gold 600489 4894589.49 0.36

46 Everbright Securities 601788 4819380.00 0.36

47 China Oilfield Service 601808 4773167.52 0.36

48 China South Locomotive 601766 4719936.00 0.35

49 China CNR 601299 4654345.39 0.35

50 China Construction Bank 601939 4413082.50 0.33

Listed Companies

2013 Fact Book 91

Div

iden

d D

istr

ibut

ion

by L

iste

d C

ompa

nies

in 2

012

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6000

00Pu

dong

Dev

elop

men

t Ba

nk20

12-6

-26

0.30

00.

270

6000

04Ba

iyun

Airp

ort

2012

-7-2

50.

350

0.31

5

6000

05W

uhan

Iron

and

Ste

el20

12-6

-25

0.05

00.

045

6000

06Do

ngfe

ng A

utom

obile

2012

-6-1

80.

050

0.04

5

6000

07Ch

ina

Wor

ld Tr

ade

Cent

er20

12-5

-30

0.13

00.

117

6000

08Be

ijing

Capi

tal

2012

-6-1

0.13

00.

117

6000

09Sh

angh

ai Ai

rpor

t20

12-8

-13

0.60

00.

540

6000

10Ba

otou

Iron

&Ste

el20

12-5

-17

0.03

00.

027

6000

11Hu

anen

g Po

wer

Inte

rnat

iona

l20

12-6

-28

0.05

00.

045

6000

12W

anto

ng E

xpre

sswa

y20

12-7

-16

0.21

00.

189

6000

15Hu

a Xi

a Ba

nk20

12-5

-18

0.25

00.

225

6000

16M

insh

eng

Bank

2012

-6-2

60.

300

0.27

0

6000

16M

insh

eng

Bank

2012

-9-3

0.15

00.

135

6000

17Ri

zhao

Por

t20

12-6

-15

0.06

00.

054

6000

18Sh

angh

ai In

tern

atio

nal

Port

2012

-7-1

10.

118

0.10

660

0019

Baos

han

Iron

& St

eel

2012

-6-1

10.

200

0.18

0

6000

20Zh

ongy

uan

Expr

ess

2012

-6-2

80.

010

0.00

460

0021

Shan

ghai

Elec

tric

2012

-7-1

00.

050

0.04

5

6000

26Ch

ina

Ship

ping

De

velo

pmen

t20

12-6

-10.

100

0.09

060

0028

Chin

a Pe

trole

um &

Ch

emica

l20

12-5

-28

0.20

00.

180

6000

28Ch

ina

Petro

leum

&

Chem

ical

2012

-9-1

70.

100

0.09

060

0029

Sout

h Ai

rline

2012

-7-9

0.20

00.

180

6000

30CI

TIC

Secu

ritie

s20

12-8

-20.

430

0.38

760

0031

Sany

Hea

vy In

dust

ry20

12-8

-80.

300

0.27

0

6000

33Fu

jian

Expr

ess

2012

-6-1

10.

100

0.09

060

0035

Chut

ian H

ighw

ay20

12-7

-50.

080

0.07

2

Listed Companies

2013 Fact Book 92

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6000

36Ch

ina

Mer

chan

ts B

ank

2012

-6-7

0.42

00.

378

6000

37BG

CTV

2012

-5-2

80.

100

0.09

0

6000

38Ha

fei A

viatio

n In

dust

ry20

12-8

-13

0.10

00.

090

6000

39Si

chua

n Ro

ad&

Rrid

ge20

12-5

-15

0.10

00.

075

6000

48Po

ly Re

al Es

tate

2012

-6-1

80.

215

0.19

460

0050

Chin

a Un

icom

2012

-7-6

0.03

40.

030

6000

51Ni

ngbo

Uni

ted

Grou

p20

12-5

-30

0.10

00.

090

6000

54Ye

llow

Mou

taiin

Tour

ism20

12-7

-27

0.14

00.

126

6000

56Ch

ina

Med

icine

2012

-6-2

10.

100

0.09

060

0058

Min

erals

Dev

elop

men

t20

12-6

-14

0.21

00.

189

6000

59Gu

yuel

ongs

han

2012

-6-1

10.

050

0.04

560

0062

CR D

oubl

e-Cr

ane

2012

-7-2

00.

384

0.34

6

6000

64Na

njin

g Hi

gh-T

ech

2012

-7-2

0.20

00.

180

6000

66Yu

tong

Bus

2012

-5-9

0.30

00.

270

6000

67Gu

anch

eng

Dato

ng20

12-4

-20

0.13

00.

067

6000

68Ge

zhou

ba20

12-6

-15

0.10

00.

090

6000

70Zh

ejian

g Fu

run

2012

-6-4

0.30

00.

270

6000

73Sh

angh

ai M

eilin

2012

-6-2

50.

050

0.04

5

6000

75Xi

njian

gtian

ye20

12-5

-18

0.05

00.

045

6000

77So

ngdu

Co.

2012

-7-6

0.06

00.

054

6000

78C

heng

xing

Pho

sph-

Chem

ical

2012

-6-8

0.03

00.

027

6000

79Re

nfu

Hi-T

ech

2012

-7-3

0.07

00.

063

6000

82Ha

itai D

evel

opm

ent

2012

-6-2

10.

050

0.04

560

0085

Tong

rent

ang

2012

-7-4

0.15

00.

135

6000

88Ch

ina

Tele

visio

n M

edia

2012

-5-3

00.

086

0.07

760

0089

Tebi

an E

lect

ric20

12-5

-31

0.08

00.

072

6000

96Yu

ntian

hua

2012

-7-3

0.20

00.

180

6000

97Ka

ichua

ng M

arin

e20

12-7

-12

0.08

00.

072

Listed Companies

2013 Fact Book 93

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6000

98Gu

angz

hou

Hold

ings

2012

-5-2

40.

100

0.09

060

0100

Tsin

ghua

Tong

fang

2012

-6-2

90.

100

0.09

0

6001

01M

ingx

ing

Elec

tric

2012

-6-2

60.

050

0.04

560

0104

SAIC

Mot

or20

12-7

-50.

300

0.27

0

6001

06Ch

ongq

i Roa

d an

d Br

idge

2012

-4-2

40.

070

0.01

860

0109

Guoj

in S

ecur

ities

2012

-6-2

60.

100

0.09

0

6001

11Ba

otou

Ste

el R

are-

Earth

2012

-5-4

0.35

00.

215

6001

12Ch

angz

heng

Ele

ctro

nics

2012

-6-4

0.01

00.

009

6001

14NB

TM20

12-5

-30.

120

0.10

860

0116

Thre

e Go

rges

Wat

er

Cons

erva

ncy

2012

-5-9

0.10

00.

090

6001

18Ch

ina

Spac

esat

2012

-5-2

20.

050

0.03

560

0119

Yang

tze R

iver

Inve

stm

ent

2012

-5-2

40.

060

0.05

4

6001

20Zh

ejian

g Or

ient

al20

12-6

-50.

120

0.10

860

0121

Zhen

gzho

u C

oal

and

Powe

r20

12-4

-26

0.10

00.

090

6001

23La

nhua

Hi-t

ech

2012

-6-1

0.60

00.

490

6001

25Ti

elon

g Lo

gsitic

s20

12-6

-14

0.06

00.

054

6001

26Ha

ngzh

ou Ir

on

& St

eel

2012

-5-2

10.

050

0.04

560

0128

Jian

gsu

Holly

2012

-7-2

50.

100

0.09

0

6001

32Ch

ongq

ing

Brew

ery

2012

-6-1

20.

200

0.18

060

0138

Chin

a Yo

uth

Trav

el20

12-7

-23

0.20

00.

180

6001

41Xi

ngfa

Che

mica

ls Gr

oup

2012

-6-2

90.

200

0.18

060

0143

King

fa20

12-6

-40.

300

0.24

0

6001

48Ch

angc

hun

Yido

ng20

12-6

-18

0.06

00.

054

6001

50Ch

ina S

tate

Ship

build

ing20

12-6

-12

0.30

00.

270

6001

52Ve

ken

2012

-6-1

50.

060

0.05

460

0153

Xiam

en C

& D

2012

-7-1

70.

100

0.09

0

6001

56Do

ngsh

eng

Co.

2012

-5-3

10.

020

0.01

860

0157

Win

time

Ener

gy20

12-4

-24

0.10

00.

090

Listed Companies

2013 Fact Book 94

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6001

58Ch

ina

Spor

ts In

dust

ry20

12-6

-12

0.05

00.

045

6001

60Zh

ejian

g Ju

hua

2012

-5-2

10.

500

0.45

0

6001

61Ti

anta

n Bi

o20

12-7

-19

0.10

00.

090

6001

66Fo

ton

Mot

or20

12-3

-29

0.12

00.

108

6001

68Sa

nzhe

n In

dust

ry20

12-4

-16

0.02

60.

023

6001

70Sh

angh

ai Co

nstru

ctio

n20

12-5

-10

0.10

00.

040

6001

71Sh

angh

ai Be

lling

2012

-6-1

50.

015

0.01

460

0172

Yello

w Ri

ver

2012

-5-2

40.

050

0.04

5

6001

75M

eidu

Hol

ding

2012

-6-8

0.01

20.

001

6001

76Ch

ina

Glas

s Fi

ber

2012

-5-3

10.

138

0.12

4

6001

77Yo

ngor

2012

-6-1

10.

400

0.36

060

0183

Shen

gyi T

ech

2012

-6-1

0.32

00.

288

6001

84Ph

otoe

lect

ric20

12-5

-18

0.05

00.

045

6001

88Ya

nzho

u Co

a20

12-7

-12

0.57

00.

513

6001

89Ji

lin F

ores

t20

12-7

-12

0.20

00.

180

6001

93Ch

uang

xin R

esou

rces

2012

-5-7

0.06

00.

004

6001

95Ch

ina

Anim

al Hu

sban

dry

2012

-7-6

0.40

00.

360

6001

96Fo

sun

Phar

mac

eutic

al20

12-6

-11

0.10

00.

090

6001

97Yi

lite20

12-8

-24

0.20

00.

180

6001

99Ji

nzho

ngzi

Win

e20

12-6

-50.

180

0.16

2

6002

01Ji

nyu

Grou

p20

12-5

-31

0.15

00.

135

6002

10Zi

jiang

Ent

erpr

ise20

12-7

-23

0.20

00.

180

6002

16Zh

ejian

g M

edici

ne20

12-7

-50.

600

0.54

060

0219

Nans

han

Alum

inum

2012

-4-1

10.

100

0.09

0

6002

21Ha

inan

Airli

nes

2012

-6-1

20.

120

0.10

860

0227

Chitia

nhua

2012

-5-2

0.02

00.

018

6002

30Ca

ngzh

ou D

ahua

2012

-4-1

90.

030

0.02

760

0231

Ling

yuan

Iron

and

Ste

el20

12-6

-11

0.02

00.

018

Listed Companies

2013 Fact Book 95

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6002

32Go

lden

Eag

le20

12-7

-50.

100

0.09

060

0233

Daya

ng Tr

ands

2012

-7-6

0.12

00.

108

6002

35M

infe

ng S

pecia

l Pap

er20

12-5

-80.

200

0.18

060

0236

Guig

uan

Elec

tric

2012

-6-8

0.03

00.

027

6002

39Yu

nnan

Hon

ghe

Guan

gmin

g20

12-6

-80.

050

0.04

560

0243

Qing

hai H

uadi

ng20

12-6

-40.

050

0.04

5

6002

46Va

nton

e Pi

onee

r Re

al

Esta

te20

12-5

-24

0.06

00.

054

6002

46Va

nton

e Pi

onee

r Re

al

Esta

te20

12-9

-27

0.06

00.

054

6002

51Gu

anno

ng F

ruit

2012

-6-2

90.

150

0.13

560

0252

Zhon

ghen

g Gr

oup

2012

-6-2

50.

100

0.09

0

6002

55Xi

nke

New

Mat

erial

s20

12-6

-40.

030

0.02

760

0258

Capi

tal T

ouris

m20

12-6

-14

0.20

00.

180

6002

61Ya

nkon

Lig

htin

g20

12-5

-23

0.15

00.

085

6002

62No

rth H

aule

r20

12-6

-40.

150

0.13

5

6002

66Be

ijing

Urba

n Co

nstru

ctio

n20

12-8

-13

0.20

00.

180

6002

67Hi

sun

Phar

mac

eutic

al20

12-5

-25

0.15

00.

135

6002

68Gu

odian

Nan

jing

Auto

mat

ion

2012

-5-2

80.

100

0.09

060

0269

Gany

ue E

xpre

sswa

y20

12-5

-15

0.10

00.

090

6002

70Si

notra

ns20

12-6

-13

0.20

00.

180

6002

71Ai

sino

2012

-5-1

40.

420

0.37

8

6002

76He

ngru

i Med

icine

2012

-5-2

90.

090

0.07

160

0277

Yili E

nerg

y20

12-6

-13

0.10

00.

090

6002

78Or

ient

Inte

rnat

iona

l En

terp

rise

2012

-5-3

10.

050

0.04

560

0279

Chon

gqin

g Ga

ngjiu

2012

-5-1

70.

050

0.04

5

6002

80Na

njin

g Ce

ntra

l Em

poriu

m20

12-7

-50.

160

0.14

460

0282

Sout

hern

Chi

na S

teel

2012

-5-1

70.

070

0.06

3

6002

83Qi

anjia

ng W

ater

Re

sour

ces

2012

-6-1

90.

200

0.18

060

0284

Pudo

ng R

oad

& Br

idge

Con

stru

ctio

n20

12-5

-17

0.10

00.

090

Listed Companies

2013 Fact Book 96

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6002

85Li

ngru

i Pha

rmac

eutia

l20

12-5

-29

0.15

00.

135

6002

87Ji

angs

u Sa

inty

2012

-5-2

40.

030

0.02

7

6002

88Da

heng

Sc

ienc

e&Te

chno

logy

2012

-8-1

50.

080

0.07

260

0289

Brig

ht O

cean

s Co

rpor

atio

n20

12-7

-10

0.06

00.

054

6002

92Ji

ulon

g Po

wer

2012

-11-

10.

020

0.01

860

0295

Eerd

uosi

2012

-6-1

0.10

00.

090

6002

98HE

AG20

12-5

-22

0.15

00.

135

6003

00V

V Fo

od

& Be

vera

ge20

12-6

-12

0.05

00.

045

6003

02Xi

'an

Typi

cal In

dust

ries

2012

-6-2

60.

050

0.04

560

0303

SG A

utom

otive

2012

-5-2

10.

040

0.03

6

6003

05Ji

angs

u He

ngsh

un

Vine

gar-

Indu

stry

2012

-7-1

60.

036

0.03

260

0307

Stee

l Gro

up H

ongx

ing

2012

-7-9

0.12

00.

108

6003

08Hu

atai

Pape

r20

12-6

-25

0.05

00.

045

6003

09Ya

ntai

Wan

hua

2012

-4-2

40.

600

0.54

0

6003

10Gu

idon

g El

ectri

c Po

wer

2012

-5-1

00.

200

0.18

060

0310

Guid

ong

Elec

tric

Powe

r20

12-9

-24

0.10

00.

090

6003

15Sh

angh

ai Ja

hwa

2012

-7-1

60.

400

0.36

060

0317

Ying

kou

Port

2012

-4-1

90.

050

0.04

5

6003

18Ch

aodo

ng S

hare

s20

12-7

-60.

100

0.09

060

0322

Tian

jin R

eality

De

velo

pmen

t20

12-6

-11

0.07

00.

063

6003

23Na

nhai

Deve

lopm

ent

2012

-4-1

00.

080

0.07

260

0325

Huaf

a20

12-5

-22

0.10

00.

090

6003

27Gr

eat O

rient

2012

-6-1

0.08

00.

072

6003

28La

ntai

Indu

stria

l20

12-7

-10

0.03

00.

027

6003

29Zh

ongx

in

Phar

mac

eutic

als20

12-1

2-13

0.20

00.

180

6003

32Gu

angz

hou

Phar

mac

eutic

al20

12-5

-18

0.10

00.

090

6003

35Gu

oji A

uto

2012

-6-1

30.

088

0.07

960

0337

Mar

kor F

urni

ture

2012

-6-1

80.

050

0.04

5

Listed Companies

2013 Fact Book 97

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6003

39Ti

anli H

igh&

NweT

ech

2012

-5-2

30.

045

0.04

160

0340

Huax

iaxin

gfu

2012

-5-9

0.20

00.

150

6003

45Ya

ngtze

Co

mm

unica

tion

2012

-6-2

80.

200

0.18

060

0348

Yang

quan

Coa

l Indu

stry

2012

-7-4

0.20

00.

180

6003

50Sh

ando

ng E

xpre

sswa

y20

12-7

-30

0.15

50.

140

6003

52Zh

ejian

g Lo

ngsh

eng

2012

-6-5

0.10

00.

090

6003

56He

ngfe

ng P

aper

2012

-3-1

30.

101

0.09

160

0360

Sino

-Micr

oele

ctro

nics

2012

-4-2

70.

050

0.04

5

6003

61Hy

perm

arke

t20

12-6

-21

0.08

00.

072

6003

62Ji

angx

i Cop

per

2012

-7-1

00.

500

0.45

0

6003

63Li

anch

uang

Op

toel

ectro

nic

2012

-7-2

30.

025

0.02

360

0366

Ning

bo Y

unsh

eng

2012

-7-2

0.15

00.

135

6003

68W

uzho

u Co

mm

unica

tions

2012

-6-1

20.

065

0.03

460

0370

Sanf

angx

iang

2012

-5-8

0.05

00.

045

6003

71W

anxia

ng D

onee

d20

12-6

-15

0.30

00.

270

6003

73Ch

ina

Med

ia20

12-5

-11

0.80

00.

720

6003

75Hu

aling

Xin

gma

2012

-5-2

40.

370

0.33

360

0376

Beijin

g Ca

pita

l De

velo

pmen

t20

12-5

-15

0.15

00.

135

6003

76Be

ijing

Capi

tal

Deve

lopm

ent

2012

-9-2

80.

140

0.12

660

0377

Shan

ghai-

Nanj

ing

Expr

essw

ay20

12-7

-40.

360

0.32

4

6003

78Ti

anke

Sha

res

2012

-5-2

80.

020

0.00

860

0378

Tian

ke S

hare

s20

12-1

0-10

0.02

00.

018

6003

82Gu

angd

ong

Min

gzhu

2012

-5-2

40.

030

0.02

760

0383

Gem

dale

2012

-6-8

0.06

80.

061

6003

88Lo

ngjin

g En

viron

men

tal

Prot

ectio

n20

12-7

-30.

500

0.45

060

0391

Chen

gfa

Scie

nce&

Tech

nolo

gy20

12-6

-25

0.06

00.

054

6003

95Pa

njian

g Re

fined

Coa

l20

12-7

-16

0.85

00.

765

6003

96Ji

nsha

n Co

.20

12-8

-13

0.03

00.

027

Listed Companies

2013 Fact Book 98

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6003

97An

yuan

Coa

l20

12-1

1-5

0.50

00.

450

6003

98Ca

nal S

ci &

Tech

2012

-6-1

0.05

00.

045

6003

99Fu

shun

Spe

cial S

teel

2012

-7-2

00.

020

0.01

860

0400

Hong

dou

Indu

stry

2012

-5-2

10.

020

0.01

8

6004

01Ha

reon

2012

-6-8

0.14

00.

126

6004

03Da

you

Ener

gy20

12-4

-11

0.70

00.

630

6004

06NA

RI Te

chno

logy

De

velo

pmen

t20

12-4

-50.

100

0.05

060

0409

Sany

ou C

hem

ical

Indu

strie

s20

12-7

-23

0.12

00.

108

6004

10Te

amsu

n20

12-6

-12

0.12

00.

108

6004

15Zh

ejian

g Ch

ina

Com

mod

ities

City

Grou

p20

12-6

-70.

100

0.09

0

6004

16Xi

angt

an E

lect

ric

Man

ufac

turin

g20

12-6

-50.

100

0.09

060

0418

Jian

ghua

i Aut

o20

12-6

-19

0.15

00.

135

6004

20Sh

ynde

c Ph

aram

aceu

tical

2012

-7-1

10.

100

0.09

060

0422

Kunm

ing

Phar

mac

eutic

al20

12-4

-18

0.20

00.

180

6004

23Li

uzho

u Ch

emica

l In

dust

ry20

12-6

-18

0.10

00.

090

6004

25Qi

ngso

ng B

uild

ing

Mat

erial

s an

d Ch

emica

ls20

12-9

-18

0.35

00.

315

6004

28CO

SCO

Ship

ping

2012

-7-1

80.

020

0.01

860

0433

Guan

hao

High

-tech

2012

-5-3

00.

060

0.05

4

6004

36Pi

entze

huan

g20

12-5

-31

0.70

00.

630

6004

38To

ngwe

i Co.

, Ltd

.20

12-7

-30.

060

0.05

4

6004

39Re

becc

a20

12-6

-40.

100

0.09

060

0446

King

dom

sci-

tech

2012

-8-2

30.

100

0.09

0

6004

49Ni

ngxia

Bui

ldin

g M

ater

ial20

12-5

-21

0.45

00.

305

6004

56Ba

oji T

itani

um20

12-5

-90.

050

0.04

5

6004

58Ti

mes

New

Mat

erial

s20

12-5

-24

0.10

00.

090

6004

59Si

no-p

latin

um m

etals

2012

-5-1

80.

059

0.05

3

6004

60Ha

ngzh

ou S

ilan

Micr

oele

ctro

nics

2012

-6-1

10.

100

0.09

060

0461

Jian

gxi

Hon

gche

ng

Wat

erwo

rks

2012

-5-2

20.

200

0.18

0

Listed Companies

2013 Fact Book 99

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6004

63Ai

rpor

t Hig

h-Te

ch P

ark

2012

-6-1

90.

100

0.09

060

0467

Shan

dong

Hom

ey

Aqua

tic D

evel

opm

ent

2012

-5-3

00.

050

0.04

5

6004

69Ae

olus

Tyr

e20

12-6

-11

0.10

00.

090

6004

70Li

uguo

Che

mica

l In

dust

ry20

12-6

-11

0.10

00.

090

6004

75Hu

agua

ng20

12-6

-50.

100

0.09

060

0479

Qian

jin P

harm

aceu

tical

2012

-6-2

60.

200

0.18

0

6004

80Li

ngyu

n In

dust

rial

2012

-6-2

80.

400

0.36

060

0481

Shua

nglia

ng A

ir-co

nditio

ning

2012

-5-2

20.

150

0.13

5

6004

83Fu

jian

Nanf

ang

Text

ile20

12-7

-16

0.10

00.

090

6004

86Ya

ngno

ng C

hem

ical

2012

-5-2

80.

200

0.18

0

6004

87He

ngto

ng

Phot

oele

ctric

al20

12-5

-20.

100

0.09

060

0488

Tian

yao

Phar

mac

eutic

al20

12-5

-11

0.03

30.

030

6004

89Zh

ongj

in G

old

2012

-8-2

10.

050

0.04

560

0491

Long

Yua

n Co

nstru

ctio

n20

12-5

-21

0.08

00.

072

6004

95Ji

nxi A

xle20

12-7

-17

0.03

50.

032

6004

96Ji

nggo

ng S

teel

Bui

ldin

g20

12-5

-24

0.07

00.

063

6004

97Ch

ihon

g Zi

nc&

Germ

aniu

m20

12-6

-21

0.15

00.

135

6004

98Fi

berh

ome

Tele

com

mun

ica20

12-5

-22

0.22

00.

198

6004

99Ke

da In

dust

rial

2012

-3-1

50.

100

0.09

060

0500

Sino

chem

Inte

rnat

iona

l20

12-5

-16

0.15

00.

135

6005

01Ae

rosu

n Co

rpor

atio

n20

12-6

-20

0.05

00.

045

6005

02An

hui W

ater

Res

ourc

es20

12-6

-50.

100

0.09

0

6005

05Xi

chan

g Po

wer

2012

-7-3

0.03

00.

027

6005

08Sh

angh

ai En

ergy

2012

-6-1

50.

300

0.27

0

6005

09Ti

anfu

The

rmoe

lect

ric20

12-5

-23

0.23

00.

207

6005

10Bl

ack

Peon

y20

12-6

-19

0.09

00.

081

6005

11Ch

ina

Natio

nal

Med

icine

s20

12-6

-19

0.06

00.

054

6005

13De

luxe

2012

-6-2

80.

050

0.04

5

Listed Companies

2013 Fact Book 100

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6005

17Zh

ixin

Elec

tric

2012

-4-1

90.

400

0.36

060

0518

Kang

mei

Ph

arm

aceu

tical

2012

-5-2

90.

050

0.04

5

6005

19Kw

eich

ow M

outa

i20

12-7

-53.

997

3.59

760

0521

Huah

ai Ph

arm

aceu

tical

2012

-4-1

90.

100

0.09

0

6005

22Zh

ongt

ian Te

chno

logy

2012

-5-1

00.

200

0.18

060

0523

Guih

ang

Auto

mot

ive20

12-7

-16

0.13

30.

120

6005

25Ch

angy

uan

Grou

p20

12-6

-12

0.08

00.

072

6005

27Ji

angn

an H

igh

Polym

er20

12-6

-13

0.05

00.

045

6005

28Ch

ina

Railw

ay E

rju20

12-6

-40.

100

0.09

060

0529

Shan

dong

Ph

arm

aceu

tical

2012

-7-4

0.10

00.

090

6005

30Ji

aoda

Onl

ly20

12-7

-20.

120

0.10

860

0531

Yugu

ang

Gold

& L

ead

2012

-5-2

40.

100

0.09

0

6005

33Ch

ixia

Deve

lopm

ent

2012

-7-9

0.10

00.

090

6005

35Ta

sly20

12-6

-70.

700

0.63

0

6005

36Ch

ina

Natio

nal

Softw

are

2012

-5-3

10.

100

0.09

060

0545

Xinj

iang

Sayr

am

Mod

ern

Agric

ultu

re20

12-7

-30.

050

0.04

5

6005

46Sh

anxi

Coal

Inte

rnat

iona

l20

12-6

-29

0.30

00.

270

6005

47Sh

ando

ng G

old

2012

-6-1

90.

150

0.13

5

6005

48Sh

enzh

en E

xpre

sswa

y20

12-6

-14

0.16

00.

144

6005

49Xi

amen

Tung

sten

2012

-7-2

0.20

00.

180

6005

51Ti

me

Publ

ishi

ng a

nd

Med

ia20

12-6

-80.

140

0.12

660

0557

Kani

on P

harm

aceu

tical

2012

-6-1

90.

060

0.05

4

6005

58At

lantic

Chi

na W

eldi

ng20

12-6

-60.

080

0.07

260

0560

AriT

ime

2012

-5-1

60.

060

0.03

4

6005

61Ji

angx

i Cha

ngyu

n20

12-5

-14

0.18

00.

162

6005

63Fa

ratro

nic

2012

-5-4

0.60

00.

540

6005

65Di

ma

Indu

stry

2012

-5-1

60.

010

0.00

960

0566

Hong

chen

g Ge

nera

l M

achi

nery

2012

-5-1

60.

010

0.00

9

Listed Companies

2013 Fact Book 101

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6005

68Zh

ong

Zhu

Hold

ings

2012

-11-

120.

025

0.00

360

0570

Hund

sun

Elec

troni

cs20

12-6

-18

0.08

00.

072

6005

71Su

nyar

d20

12-6

-18

0.05

00.

045

6005

72Co

nba

2012

-6-1

90.

150

0.13

5

6005

73Hu

iqua

n Br

ewag

e20

12-6

-25

0.05

00.

045

6005

75W

uhu

Port

2012

-9-2

00.

050

0.04

5

6005

76W

HWH

Indu

stry

2012

-7-1

90.

015

0.01

460

0577

Tong

ling

Jing

da S

pecia

l M

agne

t Wire

2012

-4-1

10.

100

0.09

0

6005

78Ji

ngne

ng T

herm

al Po

wer

2012

-5-2

80.

200

0.18

060

0578

Jing

neng

The

rmal

Powe

r20

12-9

-21

0.25

00.

225

6005

80W

olon

g El

ectri

c20

12-5

-16

0.05

00.

045

6005

81Ba

Yi S

teel

2012

-5-1

50.

200

0.18

0

6005

82Ti

andi

Scie

nce

& Te

chno

logy

2012

-7-1

60.

150

0.11

560

0583

Offs

hore

Oil E

ngin

eerin

g20

12-6

-50.

035

0.03

2

6005

85An

hui C

onch

Cem

ent

2012

-6-1

40.

350

0.31

560

0586

Jinj

ing

Scie

nce

and

Tech

nolo

gy20

12-7

-17

0.02

50.

023

6005

87Xi

nhua

Med

ical

Inst

rum

ent

2012

-6-2

60.

100

0.09

060

0588

Ufid

a So

ftwar

e20

12-4

-19

0.40

00.

360

6005

89Gu

angd

ong

Rong

tai

2012

-7-5

0.01

50.

014

6005

90Te

llhow

Sci-

Tech

2012

-7-2

0.05

00.

045

6005

92Lo

ngxi

Bear

ing

2012

-6-2

60.

100

0.09

060

0594

Guizh

ou Y

ibai

Phar

mac

eutic

al20

12-5

-22

0.08

00.

072

6005

96Xi

nan

Chem

ical

2012

-5-2

90.

060

0.05

460

0597

Brig

ht D

airy

2012

-5-1

60.

150

0.13

5

6005

98He

ilong

jiang

Ag

ricul

ture

2012

-6-1

10.

185

0.16

760

0600

Tsin

gtao

Bre

wery

2012

-7-2

60.

260

0.23

4

6006

01Fo

unde

r Scie

nce

& Te

chno

logy

2012

-8-8

0.01

00.

009

6006

06Ji

nfen

g In

vest

men

t20

12-7

-40.

050

0.04

0

Listed Companies

2013 Fact Book 102

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6006

11Da

zhon

g Tr

ansp

orta

tion

2012

-7-9

0.07

00.

063

6006

12La

o Fe

ng X

iang

2012

-8-6

0.10

00.

090

6006

16Ji

nfen

g W

ine

2012

-6-1

10.

100

0.09

060

0619

Shan

ghai

High

ly20

12-7

-30.

100

0.09

0

6006

21Sh

angh

ai Ji

nlin

g20

12-8

-60.

100

0.09

060

0622

Jiab

ao In

dust

ry &

Co

mm

erce

Gro

up20

12-8

-80.

150

0.13

5

6006

23Do

uble

Coi

n20

12-5

-17

0.05

80.

052

6006

24Fu

dan

Fuhu

a20

12-7

-11

0.03

10.

028

6006

26Sh

angh

ai Sh

enda

2012

-6-1

90.

100

0.09

060

0628

New

Wor

ld20

12-7

-40.

120

0.10

8

6006

33Zh

e Ji

ang

Daily

Med

ia20

12-5

-16

0.20

00.

180

6006

35Da

zhon

g Pu

blic

Utilit

ies

2012

-7-2

30.

070

0.06

3

6006

363

F ne

w m

ater

ial20

12-7

-90.

020

0.01

860

0639

Pudo

ng J

inqi

ao20

12-8

-90.

080

0.07

2

6006

41W

anye

Ent

erpr

ises

2012

-7-9

0.05

00.

045

6006

42Sh

ener

gy20

12-5

-24

0.10

00.

090

6006

44Le

shan

Ele

ctric

Pow

er20

12-6

-70.

060

0.05

460

0648

Waig

aoqi

ao20

12-8

-90.

100

0.09

0

6006

49Sh

angh

ai Ch

engt

ou20

12-7

-23

0.05

00.

015

6006

50Ji

njia

ng I

nter

natio

nal

Indu

stria

l Inve

stm

ent

2012

-7-6

0.30

00.

270

6006

51Sh

angh

ai Fe

ile

Acou

stics

2012

-7-2

0.02

30.

001

6006

55Yu

yuan

Tour

ist M

art

2012

-6-1

10.

070

0.06

3

6006

57Xi

nda

Real

Esta

te20

12-6

-19

0.06

00.

054

6006

58Be

ijing

Elec

troni

c Zo

ne20

12-5

-10

0.17

00.

153

6006

60Fu

yao

Glas

s20

12-6

-28

0.40

00.

360

6006

62Qi

angs

heng

Hol

ding

2012

-6-2

50.

100

0.09

0

6006

63Lu

jiazu

i20

12-5

-22

0.15

00.

135

6006

67Ha

rbin

Pha

rmac

eutic

al20

12-1

0-11

0.02

90.

000

Listed Companies

2013 Fact Book 103

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6006

68Ji

anfe

ng G

roup

2012

-7-2

0.12

00.

108

6006

73Ta

nde

2012

-7-1

60.

040

0.03

6

6006

74Ch

uant

ou E

nerg

y20

12-5

-22

0.04

00.

036

6006

75Ch

ian E

nter

prise

2012

-5-2

10.

015

0.00

4

6006

76Sh

angh

ai Ji

aoyu

n20

12-7

-20

0.10

00.

090

6006

80Sh

angh

ai Pu

tian

2012

-8-6

0.03

00.

027

6006

82Na

njin

g Xi

njie

kou

Depa

rtmen

t Sto

re20

12-6

-29

0.10

00.

090

6006

86Ji

nlon

g Au

to20

12-7

-20.

100

0.09

0

6006

87Ga

ngta

i Hol

ding

s20

12-3

-27

0.01

00.

009

6006

88S

Sino

pec

Shan

ghai

Petro

chem

ical

2012

-7-2

30.

050

0.04

5

6006

90Qi

ngda

o Ha

ier

2012

-6-1

20.

170

0.15

360

0693

Dong

bai G

roup

2012

-6-2

90.

150

0.13

5

6006

94Da

shan

g Co

.20

12-5

-28

0.30

00.

270

6006

97Eu

rasia

Gro

up20

12-7

-30.

300

0.27

0

6007

02Tu

opai

Yeas

t Liq

uor

2012

-7-3

0.18

00.

162

6007

03Sa

nan

opto

elec

troni

cs20

12-3

-26

0.30

00.

270

6007

04Zh

ongd

a Gr

oup

2012

-7-4

0.05

00.

045

6007

08Sh

angh

ai Ha

ibo

2012

-6-8

0.10

00.

090

6007

10Ch

angl

in20

12-1

0-15

0.02

50.

023

6007

12N

anni

ng D

epar

tmen

t St

ore

2012

-4-2

30.

070

0.06

3

6007

17Ti

anjin

Por

t20

12-7

-90.

100

0.09

060

0720

Qilia

nsha

n20

12-4

-23

0.15

00.

135

6007

24Ni

ngbo

Fud

a20

12-5

-70.

100

0.09

060

0725

Yunw

ei20

12-6

-40.

050

0.04

5

6007

29Ch

ongq

ing D

epar

tmen

t St

ore

2012

-8-1

70.

450

0.40

560

0736

Suzh

ou N

ew D

istric

t Hi-

Tech

2012

-5-2

40.

040

0.03

6

6007

37CO

FCO

Tunh

e20

12-7

-23

0.03

00.

027

6007

41Hu

ayu

Auto

mot

ive

Syst

ems

2012

-6-2

50.

300

0.27

0

Listed Companies

2013 Fact Book 104

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6007

42FA

WAY

Aut

omob

ile

Com

pone

nts

2012

-6-5

0.20

00.

180

6007

43Hu

ayua

n Pr

oper

ty20

12-7

-50.

100

0.06

5

6007

48S

hang

hai

Indu

stria

l De

velo

pmen

t20

12-6

-12

0.03

80.

034

6007

50Ji

angz

hong

Ph

arm

aceu

tical

2012

-5-2

50.

300

0.27

0

6007

54Ji

njian

g Ho

tels

2012

-6-1

80.

360

0.32

460

0755

Xiam

en I

nter

natio

nal

Trad

e20

12-7

-20.

070

0.06

3

6007

56W

ave

softw

are

2012

-5-1

00.

050

0.02

560

0759

Hain

an Z

heng

he

Indu

stria

l Gro

up20

12-6

-14

0.06

00.

054

6007

61An

hui H

eli

2012

-6-1

90.

200

0.18

060

0764

CEC

Core

Cast

2012

-6-1

90.

020

0.01

8

6007

65AV

IC H

eavy

Mac

hine

ry20

12-6

-18

0.02

00.

018

6007

70Ji

angs

u Zo

ngyi

Co.,

2012

-7-1

60.

050

0.04

5

6007

73Ti

bet D

evel

opm

ent

2012

-5-2

90.

035

0.03

260

0775

Nanj

ing

Pand

a20

12-6

-18

0.05

00.

045

6007

76Ea

stco

m20

12-5

-31

0.08

00.

072

6007

78Fr

iend

ship

Gro

up20

12-6

-26

0.05

00.

045

6007

79Sw

ellfu

n20

12-7

-19

0.23

00.

207

6007

80To

ngba

o En

ergy

2012

-6-2

10.

100

0.09

0

6007

82Xi

nyu

Iron＆

Ste

el20

12-6

-25

0.03

00.

027

6007

84Lu

yin In

vest

men

t20

12-4

-16

0.12

00.

008

6007

85Xi

nhua

Dep

artm

ent

2012

-7-1

90.

300

0.27

060

0787

Zhon

gchu

Dev

elop

men

t20

12-5

-80.

100

0.09

0

6007

89Sh

ando

ng L

ukan

g Ph

arm

aceu

tical

2012

-7-1

60.

020

0.01

860

0790

Ligh

t and

Text

ile

Indu

stria

l City

2012

-6-2

50.

100

0.09

0

6007

91Ji

ngne

ng P

rope

rty20

12-8

-16

0.03

00.

027

6007

94Zh

angj

iagan

g Fr

eetra

de

Scien

ce a

nd Te

chno

logy

Co

.20

12-3

-22

0.07

00.

063

Listed Companies

2013 Fact Book 105

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6007

95GD

Pow

er20

12-6

-12

0.10

00.

090

6007

97In

sigm

a20

12-7

-20.

010

0.00

9

6007

98Ni

ngbo

Shi

pmen

t20

12-5

-22

0.03

00.

027

6008

01Hu

axin

Cem

ent

2012

-5-2

50.

150

0.13

5

6008

02Fu

jian

Cem

ent

2012

-6-2

70.

050

0.04

560

0805

Yued

a20

12-5

-21

0.15

00.

135

6008

06Ku

nmin

g M

achi

ne To

ol20

12-6

-50.

020

0.01

860

0809

Shan

xi Fe

n W

ine

2012

-6-1

20.

500

0.35

0

6008

10Sh

enm

a In

dust

ry20

12-7

-50.

050

0.04

560

0814

Hang

zhou

Jie

bai

2012

-7-9

0.07

00.

063

6008

15En

gine

erin

g M

achi

nery

2012

-5-2

30.

100

0.09

060

0819

Yaop

i Glas

s20

12-7

-20.

020

0.01

8

6008

22S

hang

hai

Mat

eria

l Tr

adin

g20

12-7

-18

0.10

00.

090

6008

23Sh

angh

ai Sh

imao

Co.

2012

-11-

260.

160

0.14

4

6008

24Yi

min

Dep

artm

ent

Stor

es20

12-5

-17

0.06

00.

054

6008

25Xi

nhua

Med

ia20

12-7

-12

0.04

00.

036

6008

26La

nshe

ng20

12-7

-31

0.03

00.

027

6008

27Yo

uyi S

hare

s20

12-7

-20.

250

0.22

5

6008

28Ch

engd

u Pe

ople

'sDe

partm

ent S

tore

2012

-5-7

0.04

00.

006

6008

30Su

nny

Loan

Top

2012

-6-1

50.

050

0.04

5

6008

31Sh

aanx

i Bro

adca

st

and

TV N

etwo

rk

Inte

rmed

iary

2012

-6-4

0.03

00.

027

6008

32Sh

angh

ai Or

ient

al Pe

arl

2012

-8-2

00.

120

0.10

8

6008

33No

.1 P

harm

acy

2012

-7-2

00.

050

0.04

560

0834

Shen

tong

Met

ro20

12-6

-19

0.05

00.

045

6008

35Sh

angh

ai M

echa

nica

l &

Elec

trica

l20

12-7

-30.

300

0.27

060

0837

Haito

ng S

ecur

ities

2012

-8-1

70.

150

0.13

5

Listed Companies

2013 Fact Book 106

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6008

38Sh

angh

ai Jo

in B

uy20

12-8

-13

0.10

00.

090

6008

41Sh

angh

ai Di

esel

Eng

ine

2012

-6-4

0.05

00.

045

6008

45Ba

osig

ht S

oftw

are

2012

-5-2

20.

150

0.13

560

0846

Tong

ji Sc

ienc

e&Te

chno

logy

2012

-6-1

40.

020

0.01

8

6008

53Lo

ngjia

n Ro

ad &

Brid

ge20

12-7

-20.

010

0.00

960

0857

HIT

Shou

chua

ng20

12-6

-60.

050

0.04

5

6008

58Si

lver P

laza

2012

-4-1

20.

030

0.02

760

0859

Wan

gfuj

ing

2012

-8-9

0.30

00.

270

6008

61Be

ijing

Urba

n-Ru

ra20

12-5

-40.

120

0.10

860

0863

Inne

r Mon

golia

M

engd

ian H

uane

ng

Ther

mal

Powe

r20

12-8

-22

0.12

00.

108

6008

64Ha

tou

Inve

stm

ent

2012

-8-1

70.

250

0.22

560

0865

Baid

a Gr

oup

2012

-7-1

00.

080

0.07

2

6008

67To

nghu

a Do

ngba

o20

12-6

-14

0.20

00.

180

6008

69Sa

npu

med

icine

2012

-7-2

1.00

00.

900

6008

71Si

nope

c Yi

zhen

g20

12-7

-13

0.03

00.

027

6008

73M

eihu

a20

12-1

1-9

0.10

00.

090

6008

74Ca

pita

l Env

ironm

enta

l Pr

otec

tion

2012

-7-4

0.04

00.

036

6008

75Do

ngfa

ng E

lect

ric20

12-7

-10

0.16

00.

144

6008

80Bo

rui c

omm

unica

tion

2012

-5-1

70.

150

0.13

560

0881

Yata

i Gro

up20

12-8

-60.

100

0.09

0

6008

83Bo

win

Tech

nolo

gy20

12-6

-21

0.05

00.

045

6008

84Ni

ngbo

Sha

nsha

n20

12-6

-11

0.06

00.

054

6008

86SD

IC20

12-6

-25

0.01

50.

014

6008

87Er

ie20

12-4

-12

0.25

00.

225

6008

88Xi

njian

g Jo

inwo

rld20

12-5

-25

0.06

00.

044

6008

91Ty

urin

Gro

up20

12-8

-20

0.05

00.

045

Listed Companies

2013 Fact Book 107

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6008

93Ae

ro-e

ngin

e20

12-6

-50.

066

0.05

960

0895

Zhan

gjian

g Hi

gh

Tech

nolo

gy P

ark

2012

-7-2

50.

200

0.18

0

6008

97Xi

amen

Int

erna

tiona

l Ai

rpor

t20

12-5

-21

0.10

00.

090

6009

00Ya

ngtze

Pow

er20

12-7

-20.

255

0.22

9

6009

60Bo

hai P

iston

2012

-6-1

40.

050

0.04

560

0962

SDIC

2012

-7-1

10.

050

0.04

5

6009

63Yu

eyan

g Pa

per

2012

-5-2

80.

020

0.01

860

0965

Fortu

ne N

g Fu

ng20

12-9

-13

0.03

00.

027

6009

67Be

ifang

Chu

angy

e20

12-8

-15

0.20

00.

180

6009

70Si

nom

a In

tern

atio

nal

2012

-6-1

10.

507

0.43

6

6009

76W

uhan

Jian

min

2012

-5-1

50.

400

0.36

060

0978

Yihu

a Ti

mbe

r20

12-6

-14

0.05

00.

045

6009

81Ji

angs

u Sk

yrun

2012

-6-8

0.03

00.

027

6009

82Ni

ngbo

The

rmal

2012

-6-6

0.10

00.

090

6009

83He

fei R

ongs

hida

Sany

o20

12-5

-15

0.06

10.

055

6009

85Le

imin

gkeh

ua20

12-8

-14

0.10

00.

090

6009

87Zh

ejian

g Ha

ngm

in20

12-6

-40.

200

0.18

060

0990

Sich

uang

Ele

ctro

nics

2012

-10-

300.

080

0.07

2

6009

92Gu

izhou

Wire

2012

-6-5

0.08

00.

072

6009

93M

ayin

glon

g20

12-6

-19

0.11

00.

099

6009

97Ka

iluan

Cle

an C

oal

2012

-5-2

40.

100

0.09

060

0999

Mer

chan

ts S

ecur

ities

2012

-8-2

0.15

00.

135

6010

00Ta

ngsh

an P

ort

2012

-4-2

60.

080

0.07

260

1001

Dato

ng C

oal

2012

-7-1

60.

190

0.17

1

6010

06Da

qin

Railw

ay20

12-7

-19

0.39

00.

351

6010

08Li

anyu

ngan

g20

12-5

-20.

040

0.00

6

6010

09Ba

nk o

f Nan

jing

2012

-6-1

80.

300

0.27

060

1010

Wen

feng

2012

-5-1

00.

420

0.37

8

Listed Companies

2013 Fact Book 108

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6010

11Ba

otail

ong

2012

-7-9

0.30

00.

270

6010

12Xi

'an

Long

Gi

Silic

on

Mat

erial

s20

12-6

-26

0.15

00.

135

6010

18Ni

ngbo

Por

t20

12-7

-60.

066

0.05

960

1028

Yulo

ng20

12-5

-24

0.20

00.

180

6010

58Sa

ilun

Co.

2012

-7-2

0.10

00.

090

6010

88Ch

ina

Shen

hua

2012

-6-1

10.

900

0.81

0

6010

98Ch

ina

Sout

h Pu

blish

ing&

Med

ia20

12-6

-21

0.12

00.

108

6010

99Pa

cific

Ocea

n20

12-7

-10

0.03

50.

022

6011

00He

ngli c

ylind

er20

12-6

-21

0.25

00.

225

6011

01Ha

ohua

Ene

rgy

2012

-7-1

20.

350

0.29

5

6011

06Ch

ina

Firs

t Hea

vy

Indu

strie

s20

12-6

-26

0.00

60.

006

6011

07C

heng

du-C

hong

qing

Hi

ghwa

y20

12-6

-13

0.09

00.

081

6011

11Ai

r Chi

na20

12-7

-17

0.11

80.

106

6011

13Ch

ina

Ting

nylo

n20

12-6

-50.

150

0.13

5

6011

16Sa

njian

g Sh

oppi

ng20

12-5

-21

0.15

00.

135

6011

17Ch

ina N

atio

nal C

hem

ical

Engi

neer

ing

2012

-7-1

00.

050

0.04

5

6011

18Ha

inan

Rub

ber

2012

-7-1

10.

080

0.07

260

1126

Sifa

ng20

12-5

-22

0.25

00.

225

6011

37Bo

wei W

eldi

ng20

12-5

-23

0.20

00.

180

6011

39Sh

enzh

en G

as20

12-6

-14

0.13

00.

117

6011

58Ch

ongq

ing

Wat

er20

12-6

-15

0.23

30.

210

6011

66In

dust

rial B

ank

2012

-5-7

0.37

00.

333

6011

68W

este

rn M

inin

g20

12-5

-15

0.10

00.

090

6011

69Ba

nk o

f Bei

jing

2012

-7-1

10.

200

0.16

0

6011

77H

angz

hou

Adv

ance

Ge

arbo

x Gr

oup

2012

-6-7

0.09

10.

082

6011

86Ch

ina

Railw

ay

Cons

truct

ion

2012

-7-3

00.

100

0.09

0

Listed Companies

2013 Fact Book 109

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6011

88He

ilong

jiang

Tr

ansp

orta

tion

Deve

lopm

ent

2012

-8-2

30.

010

0.00

960

1199

Jian

gnan

Wat

er20

12-5

-70.

060

0.05

4

6012

08Do

ngca

i Tec

hnol

ogy

2012

-5-7

0.50

00.

450

6012

16In

ner M

ongo

lia

Junz

heng

2012

-5-2

40.

100

0.09

0

6012

22Li

n Ya

ng E

lect

roni

cs20

12-5

-31

0.20

00.

180

6012

31US

I Ele

ctro

nics

2012

-6-1

40.

045

0.04

1

6012

38Gu

angz

hou

Auto

mob

ile

Grou

p20

12-7

-25

0.20

00.

180

6012

38Gu

angz

hou

Auto

mob

ile

Grou

p20

12-1

0-12

0.07

00.

063

6012

58Pa

ngda

Gro

up20

12-6

-13

0.03

00.

027

6012

88Ag

ricul

tura

l B

ank

of

Chin

a20

12-6

-20

0.13

20.

118

6012

99CN

R20

12-7

-30.

050

0.04

560

1311

Cam

el C

o.20

12-5

-21

0.40

00.

360

6013

13Ji

angn

an J

iajie

2012

-4-2

40.

150

0.13

560

1318

Ping

An

Insu

ranc

e20

12-7

-16

0.25

00.

225

6013

18Pi

ng A

n In

sura

nce

2012

-9-2

60.

150

0.13

560

1328

Bank

of

Com

mun

icatio

ns20

12-5

-31

0.10

00.

090

6013

33Gu

angs

hen

Railw

ay20

12-7

-12

0.10

00.

090

6013

36Xi

nhua

Insu

ranc

e20

12-7

-50.

090

0.08

1

6013

36Xi

nhua

Insu

ranc

e20

12-8

-16

0.32

10.

289

6013

69Xi

'an

Shaa

ngu

Powe

r20

12-5

-70.

350

0.31

5

6013

77In

dust

rial S

ecur

ities

2012

-6-2

50.

100

0.09

060

1388

Yech

iu M

etal

Recy

cling

2012

-7-3

10.

150

0.13

5

6013

90Ch

ina

Railw

ay20

12-7

-30

0.04

80.

043

6013

98IC

BC20

12-6

-14

0.20

30.

183

6015

15Do

ngfe

ng A

uto

2012

-5-3

00.

360

0.32

460

1518

Jilin

Exp

ress

way

2012

-5-9

0.04

90.

044

Listed Companies

2013 Fact Book 110

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6015

19Gr

eat W

isdom

2012

-5-1

70.

100

0.09

060

1555

Sooc

how

Secu

ritie

s20

12-6

-21

0.08

00.

072

6015

58Si

nove

l20

12-6

-26

0.35

00.

315

6015

66Jo

eone

2012

-5-3

10.

600

0.54

0

6015

67Sa

nxin

g El

ectri

c20

12-6

-29

0.50

00.

450

6015

88No

rth S

tar I

ndus

trial

2012

-7-2

0.03

00.

027

6015

99Lu

kang

Tech

nolo

gy20

12-4

-12

0.20

00.

180

6016

01Pa

cific

Insu

ranc

e20

12-6

-25

0.35

00.

315

6016

07Sh

angh

ai Ph

arm

aceu

tical

2012

-7-2

00.

160

0.14

460

1616

SGEG

2012

-5-1

50.

100

0.09

0

6016

28Ch

ina

Life

2012

-6-8

0.23

00.

207

6016

33Gr

eat A

uto

2012

-5-2

10.

300

0.27

0

6016

36Ki

bing

Gro

up20

12-6

-40.

150

0.13

560

1666

Ping

ding

shan

Tia

nan

Coal

2012

-6-6

0.20

00.

180

6016

68Ch

ina

Stat

e Co

nstru

ctio

n20

12-6

-12

0.08

00.

072

6016

69Ch

ina

hydr

opow

er20

12-7

-40.

038

0.03

4

6016

77Al

pha

Alum

inum

2012

-6-1

0.10

00.

090

6016

78Be

far

2012

-3-1

50.

200

0.18

0

6016

88Hu

atai

Secu

ritie

s20

12-6

-21

0.15

00.

135

6016

99Lu

’An

Envi

ronm

enta

l En

ergy

2012

-6-1

50.

500

0.45

0

6017

00Fe

ngfa

n Po

wer

Equi

pmen

t20

12-6

-11

0.20

00.

180

6017

17ZM

J20

12-3

-13

0.12

00.

108

6017

18Ji

hua

2012

-7-1

60.

025

0.02

360

1727

Shan

ghai

Elec

tric

2012

-7-2

00.

076

0.06

9

6017

66Ch

ina

Sout

h Lo

com

otive

& R

ollin

g20

12-7

-90.

180

0.16

260

1777

Lifa

n20

12-6

-15

0.20

00.

180

6017

88Ev

erbr

ight

Sec

uritie

s20

12-6

-50.

262

0.23

660

1789

Ning

bo C

onst

ruct

ion

2012

-5-1

50.

100

0.09

0

Listed Companies

2013 Fact Book 111

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6017

98La

npec

Tech

nolo

gies

2012

-6-1

80.

060

0.05

460

1799

Xing

yu A

utom

otive

2012

-4-1

90.

580

0.52

2

6018

00Ch

ina

Com

mun

icatio

ns

Cons

truct

ion

Com

pany

2012

-7-2

70.

179

0.16

160

1801

Anhu

i Xin

hua

Med

ia20

12-6

-60.

120

0.10

8

6018

08Ch

ina

Oilfie

ld S

ervic

es20

12-6

-18

0.18

00.

162

6018

18Ev

erbr

ight

Ban

k20

12-5

-31

0.13

30.

120

6018

57Pe

tro c

hina

2012

-6-7

0.16

50.

148

6018

57Pe

tro c

hina

2012

-9-1

80.

153

0.13

7

6018

72Ch

ina

Mer

chan

ts

Ener

gy S

hipp

ing

2012

-6-2

60.

010

0.00

960

1877

Zhen

gtai

Elec

tric

Appl

iance

2012

-4-1

10.

700

0.63

0

6018

77Zh

engt

ai El

ectri

c Ap

plian

ce20

12-1

0-8

0.29

00.

261

6018

80Da

lian

Port

2012

-8-1

30.

060

0.05

4

6018

86Ja

ngho

Cur

tain

2012

-5-1

50.

200

0.18

060

1888

CITS

2012

-6-6

0.10

00.

090

6018

90Ya

xing

anch

or20

12-6

-13

0.10

00.

090

6018

98Ch

ina

Coal

Ener

gy20

12-6

-80.

215

0.19

4

6018

99Zi

jin M

inin

g20

12-7

-60.

100

0.09

060

1901

Foun

der S

ecur

ities

2012

-6-1

90.

070

0.06

3

6019

08Ji

ngyu

nton

g20

12-6

-11

0.30

00.

270

6019

18SD

IC X

inji

2012

-7-1

90.

200

0.18

0

6019

28Ph

oeni

x m

edia

2012

-5-2

90.

080

0.07

260

1928

Phoe

nix

med

ia20

12-1

1-2

0.12

00.

108

6019

29Ji

shi M

edia

2012

-5-3

10.

022

0.02

060

1933

Yong

hui S

uper

mar

ket

2012

-6-1

50.

200

0.18

0

6019

39Ch

ina

Cons

truct

ion

Bank

2012

-6-2

50.

237

0.21

360

1958

Jind

uich

eng

Mol

ybde

num

2012

-5-2

80.

200

0.18

0

6019

88Ba

nk o

f Chi

na20

12-6

-13

0.15

50.

140

6019

89Ch

ina

Ship

build

ing

Indu

stry

2012

-5-1

00.

068

0.06

1

Listed Companies

2013 Fact Book 112

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x)

(RM

B)Di

viden

d (a

fter

tax)

(R

MB)

6019

91D

atan

g In

tern

atio

nal

Powe

r Gen

erat

ion

2012

-7-2

70.

110

0.09

960

1992

BBM

G20

12-7

-16

0.07

20.

065

6019

96Fe

nglin

Gro

up20

12-5

-16

0.10

00.

090

6019

98Ci

tic B

ank

2012

-7-1

90.

145

0.13

1

6030

01Ao

kang

Inte

rnat

iona

l20

12-7

-17

0.23

00.

207

6030

02Ho

ngch

ang

Elec

troni

cs20

12-1

1-9

0.03

00.

027

6031

23Cu

iwei

Towe

r Co.

,20

12-7

-19

0.08

60.

077

6033

66Su

nrise

2012

-7-1

20.

350

0.31

5

6039

93Ch

ina

Mol

ybde

num

Co

.,20

12-1

2-28

0.09

00.

081

Note

: Sta

tistic

s re

leas

ed w

ithin

201

2 sh

ould

be

used

.

Listed Companies

2013 Fact Book 113

Table of Changes in Stock Short Names in 2012

Stock Code Date of ChangeNew Short Name

Former Short Name

600022 2012-3-22 Shandong Iron and Steel Jinan Iron and Steel

600055 2012-3-6 CR Wandong Wandong Medecine

600062 2012-3-27 CR Double-Crane Double-Crane Pharmaceutical

600074 2012-6-12 ST Zhongda *ST Zhongda

600076 2012-4-17 *ST Huaguang ST Huaguang

600083 2012-4-26 ST Hironobu *ST Hironobu

600098 2012-9-18 Guangzhou Development Guangzhou Holdings

600104 2012-1-9 SAIC Shanghai Auto

600149 2012-3-27 ST Langfang development *ST Jiantong

600180 2012-9-21 Ruimaotong Jiufa

600203 2012-4-26 ST Furi *ST Furi

600228 2012-6-11 ST Changjiu *ST Changjiu

600256 2012-6-12 Guanghui Energy Guanghui

600281 2012-5-28 ST Taihua *ST Taihua

600338 2012-4-27 *ST Everest ST Everest

600375 2012-3-20 Hualingxingma Xingma Auto

600385 2012-4-20 *STJintai STJintai

600397 2012-8-3 Anyuan Coal Anyuan

600401 2012-2-17 ST Shannon *STShannon

600421 2012-5-2 *ST Sinopharm ST Sinopharm

600435 2012-5-7 North navigation Zhongbin Photoelectric

600455 2012-7-3 ST Bertone *ST Bertone

600532 2012-12-21 HTC Mining Huayang Technology

600579 2012-5-2 *ST Yellow Sea ST Yellow Sea

600602 2012-6-27 Yidian Electronics SVA Electronics

900901 2012-6-27 Yidian B Shangdian B

600603 2012-1-19 *ST Xingye ST Xingye

600604 2012-9-20 Shibei Hi-tech ⅡTextile Machinery

900902 2012-9-20 Shibei B ⅡTextile Machinery B

600610 2012-8-29 ST China Textile Machinery China Textile Machinery

600634 2012-7-3 ST Seabird *ST Seabird

600634 2012-7-19 ST Chenghai ST Seabird

600640 2012-9-3 Haobai Zhongweiguomai

Listed Companies

2013 Fact Book 114

Stock Code Date of ChangeNew Short Name

Former Short Name

600671 2012-6-11 ST Tianmu *ST Tianmu

600699 2012-3-16 Junsheng Electronics Liaoyuandeheng

600705 2012-8-30 ST Air Investment S*STNorthe Asia

600706 2012-9-28 Qujiang Tourism Changan Information

600715 2012-5-28 ST Songliao *ST Songliao

600728 2012-3-30 Jiaduxintai Xintai Science&Technology

600733 2012-3-19 S*ST Qianfeng S*ST Qianfeng

600766 2012-5-2 *ST Yuancheng ST Yuancheng

600868 2012-11-15 Mei Yanji Cheung Meiyan Hydropower

600885 2012-12-4 ST Hongfa ST Liyang

600892 2012-4-26 ST Baocheng *ST Baocheng

600981 2012-5-9 Huihong Jiangsu Kaiyuan

Listed Companies

2013 Fact Book 115

Table of Changes in the Names of Listed Companies in 2012

No.Code for A shares

Former Short namefor A shares

New Short namefor A shares

Code for B shares

Former Short name forB shares

New Shortname forB shares

Date of change

1 600602 SVA Electronics Yidian Electronics 900901 Shangdian BYidian Electronics B

2012-6-27

2 600640 Zhongweiguomai Haobai 2012-9-3

3 600256 Guanghui Guanghui Energy 2012-6-12

4 600098 Guangzhou HoldingsGuangzhou Development

2012-9-18

5 600604 ⅡTextile Machinery Shibei Hi-tech 900902ⅡTextile Machinery B

Shibei Hi-tech B 2012-9-20

6 600706 Changan Information Qujiang Tourism 2012-9-28

7 600885 ST Liyang ST Hongfa 2012-12-4

8 600868 Meiyan Hydropower Mei Yanji Cheung 2012-11-15

9 600634 ST Seabird ST Chenghai 2012-7-19

10 600532 Huayang Technology HTC Mining 2012-12-21

11 600699 LiaoyuandehengJunsheng Electronics

2012-3-16

12 600981 Jiangsu Kaiyuan Huihong 2021-5-9

13 600728Xintai Science&Technology

Jiaduxintai 2012-3-30

14 600375 Xingma Auto Hualingxingma 2012-3-20

15 600055 Wandong Medecine CR Wandong 2012-3-6

16 600180 Jiufa Ruimaotong 2012-9-21

17 600022 Jinan Iron and SteelShandong Iron and Steel

2012-3-22

18 600397 Anyuan Anyuan Coal 2012-8-3

19 600435Zhongbin Photoelectric

North navigation 2012-5-7

20 600062Double-Crane Pharmaceutical

CR Double-Crane 2012-3-27

Listed Companies

2013 Fact Book 116

Companies Subject to Delisting Risk Warnings in 2012

NoA-shareCode

A-share Short Name

B-shareCode

Date ofAnnouncement

CommencementDate

A-share Short Name after Enforcement of Delisting Risk Warnings

1 600076 ST Huaguang 900902 2012-4-16 2012-4-17 *ST Huaguang

2 600087Nanjing Tanker Corporation

900946 2012-4-12 2012-4-13 *ST Nanjing Tanker

3 600385 ST Jintai 2012-4-19 2012-4-20 *ST Jintai

4 600877 JiaLin 2012-4-27 2012-5-2 *ST JiaLin

5 600250 Fujian Nan Textile 2012-5-2 2012-5-3 *ST Nan Textile

6 600392 Tichn 900951 2012-5-2 2012-5-3 *ST Tichn

7 600338 ST Zhufeng 2012-4-26 2012-4-27 *ST Zhufeng

8 600766 ST Yuancheng 2012-4-27 2012-5-2 *ST Yuancheng

9 600421ST Songliao Automobile

2012-4-27 2012-5-2 *ST Songliao Automobile

10 600359 ST Baozen 2012-5-2 2012-5-3 *ST Baozen

11 600882 Furi Electronics 2012-3-19 2012-3-20 *ST Furi Electronics

12 600579 ST Boxin 2012-4-27 2012-5-2 *ST Boxin

13 600733Ta iyuan Chemica l Industry

2012-3-15 2012-3-16 *ST Taiyuan Chemical Industry

14 600603 ST Golden Summit 2012-1-18 2012-1-19 *ST Golden Summit

15 600894Guangzhou Iron&Steel Enterprise

2012-2-13 2012-2-14 *ST Guangzhou Iron&Steel Enterprise

16 600532Huayang Science& Technology

2012-3-29 2012-3-30 *ST Huayang Science& Technology

Companies Subject to other special treatments in 2012

No A-share Code A-share Short Name Commencement DateA-share Short Name after Enforcement of Delisting Risk Warnings

1 600265 Jinggu Forestry 2012-9-27 ST Jinggu

Listed Companies

2013 Fact Book 117

Companies Subject to Listing Suspension in 2012

No.A-shareCode

A-shareShort Name

B-share Code

B-share Short Name

Publication Date for the Announcement of Listing Suspension

Commencement Date for Implementation of Listing Suspension

1 600698 *STQingqi 900946 *ST Qingqi B 2012-5-17 2012-5-23

Companies Subject to Listing Termination in 2012

NO A-share Code A-share Short NamePublication Date for the Announcement of Listing Termination

Commencement Date for Implementation of Listing Termination

1 600102 Laiwu Steel 2012-2-24 2012-2-28

2 600263 Road and Bridge Construction 2012-2-29 2012-3-1

3 600991 GAC Changfeng 2012-3-16 2012-3-20

Companies Subject to Listing Resumption in 2012

NoA-sha re Code

A-share Short NamePublication Date for the Announcement of Listing Resumption

Listing DateA-share Short NameSubject to Listing Resumption

1 600455 *ST Broadcom 2012-6-27 2012-7-3 ST Broadcom

2 600705 S*ST North Asia 2012-8-23 2012-8-30 ST Air investment

3 600401 *ST Shannon 2012-2-10 2012-2-17 ST Shannon

4 600634 *ST Seabirds 2012-6-27 2012-7-3 ST Seabirds

Listed Companies

2013 Fact Book 118

NoCompany Code

Company Short Name

B-sha re Code

B-share Short Name

Date of Suspension

A-share Short Name after Withdrawal of Del ist ing Risk Warnings

B-share Short Name after Withdrawal of Delisting Risk Warnings

Commencement Datefor Implementationof Withdrawal of Other Risk Warnings

1 600604 *STII Textile 900902*STII spinning B

2012-9-4 II Textile II Textile B 2012-9-5

2 600532*ST Huayang Science&Tech

2012-12-11 Huayang Science&Tech

2012-12-12

3 600894*ST Guangzhou Iron and Steel

2012-8-30 Guangri 2012-8-31

4 600335*ST Shenggong

2012-4-26 Guoji Auto 2012-4-27

5 600365 *ST Tong Pu 2012-8-15 Tong Pu 2012-8-16

6 900951*STDahua B

2012-6-12 Dahua B 2012-6-13

7 600882 *ST Dacheng 2012-11-22 Hualian Mining 2012-11-23

Companies Subject to Cancellation of Special Treatment (“Risk Warning”) in 2012

ⅠCompanies Subject to Withdrawal of Delisting Risk Warnings

NoCompany Code

Company Short NameA-share Short Name after Withdrawal of Delisting Risk Warnings

Commencement Date for Implementation of Withdrawal of Delisting Risk Warnings

Publication Date

1 600074 *ST Zhongda ST Zhongda 2012-6-12 2012-6-11

2 600671 *ST Tianmu ST Tianmu 2012-6-11 2012-6-8

3 600203 *ST Furi ST Furi 2012-4-26 2012-4-25

4 600892 *ST Baocheng ST Baocheng 2012-4-26 2012-4-25

5 600228 *ST Changjiu ST Changjiu 2012-6-11 2012-6-8

6 600149 *STJiantong ST Langfazhan 2012-3-27 2012-3-26

7 600083 *ST Boxin ST Boxin 2012-4-26 2012-4-25

8 600715 *ST Songliao ST Songliao 2012-5-28 2012-5-25

9 600281 *ST Taihua ST Taihua 2012-5-28 2012-5-25

ⅡCompanies Subject to Withdrawal of Delisting Risk Warnings and Other Special Treatments (“Other Risk Warnings”)

Listed Companies

2013 Fact Book 119

ⅢCompanies Subject to Withdrawal of Other Special Treatments (“Other Risk Warnings”)

NoCompanyCode

CompanyShort Name

B-shareCode

B-shareShort Name

A-share Short Nameafter Withdrawal of Other Risk Warnings

B-share Short Nameafter Withdrawal ofOther Risk Warnings


1 600699 ST Deheng Liaoyuandeheng 2012-3-1

2 600381 ST Yin Cheng Yin Cheng Mining 2012-3-20

3 600562ST Gaochun Ceramics Gaochun Ceramics

2012-8-24

4 600890 ST China Housing China Housing 2012-8-24

5 600094 ST Huayuan 900940 STHuayuan B Daming City Daming City B 2012-3-1

6 600080 ST Gold Flower Gold Flower 2012-6-12

7 600149ST Langfang Development

Langfang Development 2012-8-22

8 600609 STJinbei Jinbei Auto 2012-8-22

9 600228 ST Changjiu Changjiu Biochemistry 2012-8-30

10 600854 STChunlan Chunlan 2012-5-18

11 600299 ST New material Blue star New material 2012-8-30

12 600868 STMeiyan Meiyan Hydropower 2012-8-22

13 600800 ST magneticTianjin magnetic

2012-8-31

14 600180 STJiufa Jiufa 2012-9-3

15 600847 STYuwanli Wanli 2012-5-18

16 600401 ST Shannon Hareon 2012-5-11

17 600313 ST Zhongnong Zhongnong Resources 2012-7-12

18 600130 ST Bodao Bodao 2012-7-17

19 600179 ST Heihua Heihua 2012-8-27

20 600301 ST Nanhua Nanhua 2012-8-28

21 600281 ST Taihua Taihua 2012-8-28

22 600419 ST Tianhong Xinjiang Tianhong 2012-8-28

23 600084 ST Zhongpu Zhongpu 2012-8-29

24 600275 ST Wuchang Fish Wuchang Fish 2012-8-29

25 600145 STGuochuang Guochuang Energy 2012-8-29

26 600727ST North Shandong

North Shandong chemical

2012-6-27

27 600355 ST Routon Routon Electronic 2012-8-23

28 600860 ST Beiren Beiren 2012-8-23

29 600506 ST Pear Pear 2012-8-24

30 600217 ST Qinling Qinling Cement 2012-8-24

Listed Companies

2013 Fact Book 120

NoCompanyCode

CompanyShort Name

B-shareCode

B-shareShort Name

A-share Short Nameafter Withdrawal of Other Risk Warnings

B-share Short Nameafter Withdrawal ofOther Risk Warnings


31 600538ST National Development

North Sea National Development

2012-8-24

32 600715 ST Songliao Songliao Auto 2012-8-30

33 600515ST Island construction

Island construction 2012-9-3

34 600706ST Chang'an Information

Chang'an Information 2012-9-4

35 600074 ST Zhongda Zhongda 2012-9-4

36 600490 ST Synica Synica 2012-9-4

37 600645 ST Zhongyuan Zhongyuan 2012-3-19

38 600757 STYuanfa Yangtze River Media 2012-3-26

39 600209 ST Lawton Lawton Development 2012-7-16

40 600984ST Construction Machinery

Construction Machinery 2012-7-17

41 600203 ST Furi Furi Electronics 2012-8-20

42 600207 STAncai Ancai Hi-tech 2012-8-22

43 600610SST China Textile Machinery

900906ST China Textile Machinery B

ST China Textile Machinery

China Textile Machinery B

2012-8-28

44 600444 ST Guotong Guotong Tube 2012-9-3

Bond Market

Bond Market

2013 Fact Book 123

Bond Market Overview of the Shanghai Stock Exchange in 2012

In 2012, the bond market of SSE maintained a rapid development in the number of listed bonds, outstanding

amount and trading volume.

By December 31, 2012, 1,021 bonds were listed on SSE, an increase of 389 from 2011 by 62%. The 1.0612

trillion yuan outstanding amount represented an increase of 328 billion yuan from 2011 by 45%. Among them, there

were 147 T-bonds with an outstanding amount of 173.8 billion yuan, 44 local treasury bonds, with an outstanding

amount of 300 million yuan; 740 corporate bonds (including enterprise bonds), with an outstanding amount of 647.7

billion yuan, 16 convertible bonds with an outstanding amount of 121.5 billion yuan; 14 separately-traded convertible

bonds with an outstanding amount of 69.5 billion yuan; 44 SME bonds with an outstanding amount of 4.4 billion yuan

and 16 other securities (including bonds issued by insurance companies, securities firms and ABS) with an outstanding

amount of 44 billion yuan. In 2012, SSE issued and listed 29 T-bonds, 18 local government bonds, 374 corporate

bonds, 4 convertible bonds 44 SME bonds and 5 other securities.

On the secondary bond market, SSE T-Bond Index sustained a stable and slow upward trend, going up 4.4 points

from 131.39 to 135.79 as of the end of 2012, an increase of 3.34%. The debenture bond market also witnessed

steady rise in 2012. SSE Enterprise Bond Index grew 11.12 points from 148.48 to 159.60, an increase of 7.48%.

SSE Corporate Bond Index jumped 11.12 points to 142.04 from 131.69 at the beginning of the year, up by 7.85%.

T-bond Index Enterprise Bond Index Corporate Bond Index

Moves of Bond Indices during the Year(%)

Turnover of bonds recorded 38 trillion yuan, an increase of 17 trillion yuan from 2011 by 80%. T-bonds accounted

for 90.556 billion yuan, corporate bonds 487.194 billion yuan, convertible bonds 217.736 billion yuan, separately-

traded convertible bonds 44.824 billion yuan and bonds repo 37.137586 trillion yuan.

Bond Market

2013 Fact Book 124

SSE actively promoted the development of the bond market in 2012 specifically in the following aspects: 1.continue

to expand market scale, demonstrated by the record highs in terms of number of listed bonds, outstanding amount and

trading volume; 2.successfully launch the SME bond; 3. strengthen product innovation and diversify product portfolio;

for instance, the convertible bonds could be used as collateral in repo transactions; 4. Implement appropriate investor

management; 5. Consolidate market infrastructure, including the release of bond yield curve, bond evaluation data,

continuous system integration, trading settlement mechanism optimization and the design of SSE bond market risk

monitor indication system.

This year, SSE will implement CSRC’s strategies on promoting the bond market and significantly increasing the

proportion of direct financing. Through product innovation and developing institutional investors, SSE will strive to further

grow the market scale while focusing on market infrastructure, market promotion and risk management to improve the

structure and function of the bond market and make new breakthroughs.

Bond Market

2013 Fact Book 125

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;

(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).

Bond Market

2013 Fact Book 126

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 therefore.

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 for 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.

Bond Market

2013 Fact Book 127

Conditions for SME Bond Filing and Listings

1. Any issuer that applies for a bond filing and listing shall satisfy the following conditions:

(1) The issuer is a limited liability company or a company limited by shares registered in the territory of China;

(2) The interest rate shall not exceed three times the benchmark interest rate of bank loans for the same period;

(3) The term of the bonds is no less than one year;

(4) Other conditions recognized by SSE.

2. The underwriting business carried out by securities companies shall comply with the laws, regulations, and

regulatory requirements of the China Securities Regulatory Commission and the relevant provisions of the Securities

Association of China.

3. Prior to bond issuance, underwriters should submit materials the SSE for filing. Filing materials should contain the

following:

(1) Registration Form;

(2) Articles of Association of the Issuer and Company Business License (copy);

(3) The issuer’s competent authority’s resolution on private placement bond issuance matters;

(4) Private placement bond underwriting agreement;

(5) Private placement bond prospectus;

(6) The underwriter's due diligence investigation report;

(7) Private bond custody agreement and private bondholders' meeting rules;

(8) The audited financial report of the issuer’s last two full fiscal years by qualified securities and futures-related

auditing firms;

(9) The legal opinion by law firm on the issue of private placement bond;

(10) Issuance of all directors, supervisors and senior management on the issue of the application documents

authenticity, accuracy and completeness of the undertaking;

(11) Other documents required by SSE.

4. The private placement bond prospectus shall contain at least the following:

(1) Basic facts of the issuer;

(2) The issuer's financial condition;

(3) Net private debt issue the basic conditions and terms of the issue, including the name of the bond, the total

volume, the period, the face value or interest rate determined way, the debt service period etc;

(4) Underwriting agency and underwriting arrangements;

(5) Use of proceeds and any change the use of funds during the subsistence;

(6) The transfer of private placement bond, scope and constraints;

(7) The specific content and manner of disclosure of information;

(8) Debt service protection mechanism, dividend policy, the private bonds fiduciary management and private

bondholders' meeting investor protection mechanisms arrangements;

(9) Private placement bond guarantees (if any);

(10) The private placement bond credit rating and tracking specific arrangements (if any);

(11) Risk factors and disclaimers of the private placement bond;

(12) The arbitration or other dispute resolution mechanisms;

(13) The issuer’s statement about lawful use of the raised money through the private placement bond and issuance

procedure compliance;

(14) Commitment made by all of the issuer’s board directors, supervisors and senior management on the authenticity

Bond Market

2013 Fact Book 128

accuracy and completeness of the issuance document;

(15) Other important matters.

5. The SSE examines all filing materials to check their completeness. If the mateirlas are deemed complete, the SSE

will issue Filing Acceptance Notice within10 working days since the day on which filing materials are accepted.

Upon receiving the Filing Acceptance Notice, the issuer should complete issuance within six months. Otherwise, the

issuer must apply for filing again.

6. Two or more issuers can issue private placement bond together in the manner of collective issuance.

7. The issuer may issue private placement bonds with attached stock purchasing warrants or convertible terms and

conditions, as long as they comply with the laws and regulations of the China Securities Regulatory Commission related

to non-listed public company management provisions.

8. Qualified investors must sign a subscription agreement to subscribe for the private placement bonds. The

Subscription Agreement shall include subscription price, number of the subscription, the subscription rights and

obligations and other statements or commitments of the private placement bond.

9. After the issuance of private placement bonds, the issuer shall register in China Securities Depository and Clearing

Corporation Limited.

Bond Market

2013 Fact Book 129

Profile of Government Bonds in 2012

Code Short NameIssuance method

Issue size(RMB 100 million)

Value date Listing date Maturity date YearsInterest rate (%)

010107 21 T-bond (7) Book-entry 239.6000 2001-7-31 2001-8-20 2021-7-31 20 4.2600

010203 02 T-bond (3) Book-entry 200.0000 2002-4-18 2002-4-29 2012-4-18 10 2.5400

010213 02 T-bond (13) Book-entry 240.0000 2002-9-20 2002-10-9 2017-9-20 15 2.6000

010303 03 T-bond (3) Book-entry 260.0000 2003-4-17 2003-4-25 2023-4-17 20 3.4000

010308 03 T-bond (8) Book-entry 163.8000 2003-9-17 2003-9-25 2013-9-17 10 3.0200

010501 05 T-bond (1) Book-entry 300.0000 2005-2-28 2005-3-11 2015-2-28 10 4.4400

010504 05 T-bond (4) Book-entry 339.2000 2005-5-15 2005-5-25 2025-5-15 20 4.1100

010505 05 T-bond (5) Book-entry 337.8000 2005-5-25 2005-6-3 2012-5-25 7 3.3700

010509 05 T-bond (9) Book-entry 319.4000 2005-8-25 2005-9-5 2012-8-25 7 2.8300

010512 05 T-bond (12) Book-entry 344.1000 2005-11-15 2005-11-24 2020-11-15 15 3.6500

010513 05 T-bond (13) Book-entry 328.4000 2005-11-25 2005-12-6 2012-11-25 7 3.0100

010601 06 T-bond (1) Book-entry 330.0000 2006-2-27 2006-3-8 2013-2-27 7 2.5100

010603 06 T-bond (3) Book-entry 340.0000 2006-3-27 2006-4-5 2016-3-27 10 2.8000

010606 06 T-bond (6) Book-entry 305.6000 2006-5-25 2006-6-5 2013-5-25 7 2.6200

010609 06 T-bond (9) Book-entry 310.9000 2006-6-26 2006-7-5 2026-6-26 20 3.7000

010613 06 T-bond (13) Book-entry 331.0000 2006-8-31 2006-9-11 2013-8-31 7 2.8900

010616 06 T-bond (16) Book-entry 300.0000 2006-9-26 2006-10-9 2016-9-26 10 2.9200

010619 06 T-bond (19) Book-entry 300.0000 2006-11-15 2006-11-23 2021-11-15 15 3.2700

010620 06 T-bond (20) Book-entry 345.9000 2006-11-27 2006-12-6 2013-11-27 7 2.9100

Bond Market

2013 Fact Book 130




010701 07 T-bond 01 Book-entry 300.0000 2007-2-6 2007-2-15 2014-2-6 7 2.9300

010703 07 T-bond 03 Book-entry 300.0000 2007-3-22 2007-4-2 2017-3-22 10 3.4000

010705 07 T-bond 05 Book-entry 300.0000 2007-4-23 2007-4-30 2012-4-23 5 3.1800

010706 07 T-bond 06 Book-entry 300.0000 2007-5-17 2007-5-28 2037-5-17 30 4.2700

010707 07 T-bond 07 Book-entry 337.8000 2007-5-24 2007-6-4 2014-5-24 7 3.7400

010710 07 T-bond 10 Book-entry 350.7000 2007-6-25 2007-7-4 2017-6-25 10 4.4000

010713 07 T-bond 13 Book-entry 280.0000 2007-8-16 2007-8-24 2027-8-16 20 4.5200

019001 10 T-bond 01 Book-entry 260.0000 2010-1-28 2010-2-2 2012-1-28 2 2.0100

019002 10 T-bond 02 Book-entry 260.0000 2010-2-4 2010-2-10 2020-2-4 10 3.4300

019003 10 T-bond 03 Book-entry 240.0000 2010-3-1 2010-3-5 2040-3-1 30 4.0800

019005 10 T-bond 05 Book-entry 260.0000 2010-3-11 2010-3-17 2017-3-11 7 2.9200

019006 10 T-bond 06 Book-entry 260.0000 2010-3-18 2010-3-24 2013-3-18 3 2.2300

019007 10 T-bond 07 Book-entry 260.0000 2010-3-25 2010-3-31 2020-3-25 10 3.3600

019008 10 T-bond 08 Book-entry 280.4000 2010-4-8 2010-4-14 2015-4-8 5 2.7000

019009 10 T-bond 09 Book-entry 280.0000 2010-4-15 2010-4-21 2030-4-15 20 3.9600

019010 10 T-bond 10 Book-entry 280.0000 2010-4-22 2010-4-28 2017-4-22 7 3.0100

019012 10 T-bond 12 Book-entry 280.0000 2010-5-13 2010-5-19 2020-5-13 10 3.2500

019013 10 T-bond 13 Book-entry 280.0000 2010-5-20 2010-5-26 2015-5-20 5 2.3800

019014 10 T-bond 14 Book-entry 280.0000 2010-5-24 2010-5-28 2060-5-24 50 4.0300

019015 10 T-bond 15 Book-entry 283.1000 2010-5-27 2010-6-2 2017-5-27 7 2.8300

019016 10 T-bond 16 Book-entry 280.0000 2010-6-3 2010-6-9 2013-6-3 3 2.3300

Bond Market

2013 Fact Book 131




019017 10 T-bond 17 Book-entry 280.0000 2010-6-10 2010-6-18 2015-6-10 5 2.5300

019018 10 T-bond 18 Book-entry 280.0000 2010-6-21 2010-6-25 2040-6-21 30 4.0300

019019 10 T-bond 19 Book-entry 280.1000 2010-6-24 2010-6-30 2020-6-24 10 3.4100

019020 10 T-bond 20 Book-entry 299.7000 2010-7-8 2010-7-14 2015-7-8 5 2.5200

019022 10 T-bond 22 Book-entry 281.9000 2010-7-22 2010-7-28 2017-7-22 7 2.7600

019023 10 T-bond 23 Book-entry 280.0000 2010-7-29 2010-8-4 2040-7-29 30 3.9600

019024 10 T-bond 24 Book-entry 304.4000 2010-8-5 2010-8-11 2020-8-5 10 3.2800

019025 10 T-bond 25 Book-entry 280.0000 2010-8-12 2010-8-18 2013-8-12 3 2.3000

019026 10 T-bond 26 Book-entry 280.0000 2010-8-16 2010-8-20 2040-8-16 30 3.9600

019027 10 T-bond 27 Book-entry 280.0000 2010-8-19 2010-8-25 2017-8-19 7 2.8100

019028 10 T-bond 28 Book-entry 282.2000 2010-8-26 2010-9-1 2015-8-26 5 2.5800

019029 10 T-bond 29 Book-entry 280.0000 2010-9-2 2010-9-8 2030-9-2 20 3.8200

019031 10 T-bond 31 Book-entry 282.6000 2010-9-16 2010-9-21 2020-9-16 10 3.2900

019032 10 T-bond 32 Book-entry 287.1000 2010-10-14 2010-10-20 2017-10-14 7 3.1000

019033 10 T-bond 33 Book-entry 280.0000 2010-10-21 2010-10-27 2015-10-21 5 2.9100

019034 10 T-bond 34 Book-entry 280.0000 2010-10-28 2010-11-3 2020-10-28 10 3.6700

019035 10 T-bond 35 Book-entry 280.0000 2010-11-4 2010-11-10 2013-11-4 3 2.6800

019037 10 T-bond 37 Book-entry 280.0000 2010-11-18 2010-11-24 2060-11-18 50 4.4000

019038 10 T-bond 38 Book-entry 306.4000 2010-11-25 2010-12-1 2017-11-25 7 3.8300

019039 10 T-bond 39 Book-entry 321.4000 2010-12-2 2010-12-8 2015-12-2 5 3.6400

019040 10 T-bond 40 Book-entry 280.0000 2010-12-9 2010-12-15 2040-12-9 30 4.2300

Bond Market

2013 Fact Book 132




019041 10 T-bond 41 Book-entry 307.8000 2010-12-16 2010-12-22 2020-12-16 10 3.7700

019101 11 T-bond 01 Book-entry 617.1000 2011-1-13 2011-1-19 2012-1-13 1 2.8100

019102 11 T-bond 02 Book-entry 620.6000 2011-1-20 2011-1-26 2021-1-20 10 3.9400

019103 11 T-bond 03 Book-entry 625.2000 2011-1-27 2011-2-1 2018-1-27 7 3.8300

019104 11 T-bond 04 Book-entry 639.7000 2011-2-17 2011-2-23 2016-2-17 5 3.6000

019105 11 T-bond 05 Book-entry 280.0000 2011-2-24 2011-3-2 2041-2-24 30 4.3100

019106 11 T-bond 06 Book-entry 300.0000 2011-3-3 2011-3-9 2018-3-3 7 3.7500

019107 11 T-bond 07 Book-entry 580.0000 2011-3-10 2011-3-16 2014-3-10 3 3.2200

019108 11 T-bond 08 Book-entry 300.0000 2011-3-17 2011-3-23 2021-3-17 10 3.8300

019109 11 T-bond 09 Book-entry 433.5000 2011-3-24 2011-3-30 2012-3-24 1 2.8000

019110 11 T-bond 10 Book-entry 580.0000 2011-4-28 2011-5-5 2031-4-28 20 4.1500

019111 11 T-bond 11 Book-entry 301.8000 2011-5-5 2011-5-11 2012-5-5 1 2.7700

019112 11 T-bond 12 Book-entry 300.0000 2011-5-26 2011-6-1 2061-5-26 50 4.4800

019113 11 T-bond 13 Book-entry 600.0000 2011-6-2 2011-6-9 2014-6-2 3 3.2600

019114 11 T-bond 14 Book-entry 600.0000 2011-6-9 2011-6-15 2016-6-9 5 3.4400

019115 11 T-bond 15 Book-entry 619.3000 2011-6-16 2011-6-22 2021-6-16 10 3.9900

019116 11 T-bond 16 Book-entry 580.0000 2011-6-23 2011-6-29 2041-6-23 30 4.5000

019117 11 T-bond 17 Book-entry 600.0000 2011-7-7 2011-7-13 2018-7-7 7 3.7000

019118 11 T-bond 18 Book-entry 300.0000 2011-7-14 2011-7-20 2012-7-14 1 3.4800

019119 11 T-bond 19 Book-entry 630.5000 2011-8-18 2011-8-24 2021-8-18 10 3.9300

019120 11 T-bond 20 Book-entry 325.1000 2011-9-15 2011-9-21 2012-9-15 1 3.9000

Bond Market

2013 Fact Book 133




019121 11 T-bond 21 Book-entry 586.3000 2011-10-13 2011-10-19 2018-10-13 7 3.6500

019122 11 T-bond 22 Book-entry 293.0000 2011-10-20 2011-10-26 2016-10-20 5 3.5500

019123 11 T-bond 23 Book-entry 2.8000 2011-11-10 2011-11-16 2061-11-10 50 4.3300

019124 11 T-bond 24 Book-entry 560.5000 2011-11-17 2011-11-23 2021-11-17 10 3.5700

019125 11 T-bond 25 Book-entry 280.0000 2011-12-8 2011-12-14 2014-12-8 3 2.8200

019201 12 T-bond 01 Book-entry 280.0000 2012-1-12 2012-1-18 2013-1-12 1 2.7800

019202 12 T-bond 02 Book-entry 280.0000 2012-2-8 2012-2-14 2013-2-8 1 2.8700

019203 12 T-bond 03 Book-entry 580.0000 2012-2-16 2012-2-22 2017-2-16 5 3.1400

019204 12 T-bond 04 Book-entry 860.0000 2012-2-23 2012-2-29 2022-2-23 10 3.5100

019205 12 T-bond 05 Book-entry 946.7000 2012-3-8 2012-3-14 2019-3-8 7 3.4100

019206 12 T-bond 06 Book-entry 280.0000 2012-4-23 2012-4-27 2032-4-23 20 4.0300

019207 12 T-bond 07 Book-entry 649.4000 2012-4-26 2012-5-3 2015-4-26 3 2.9100

019208 12 T-bond 08 Book-entry 280.0000 2012-5-17 2012-5-23 2062-5-17 50 4.2500

019209 12 T-bond 09 Book-entry 1002.2000 2012-5-24 2012-5-30 2022-5-24 10 3.3600

019210 12 T-bond 10 Book-entry 943.5000 2012-6-7 2012-6-13 2019-6-7 7 3.1400

019211 12 T-bond 11 Book-entry 269.4000 2012-6-14 2012-6-20 2013-6-14 1 2.1500

019212 12 T-bond 12 Book-entry 280.0000 2012-6-28 2012-7-4 2042-6-28 30 4.0700

019213 12 T-bond 13 Book-entry 280.0000 2012-8-2 2012-8-8 2042-8-2 30 4.1200

019214 12 T-bond 14 Book-entry 560.6000 2012-8-16 2012-8-22 2017-8-16 5 2.9500

019215 12 T-bond 15 Book-entry 861.4000 2012-8-23 2012-8-29 2022-8-23 10 3.3900

019216 12 T-bond 16 Book-entry 828.2000 2012-9-6 2012-9-12 2019-9-6 7 3.2500

Bond Market

2013 Fact Book 134




019217 12 T-bond 17 Book-entry 580.0000 2012-9-13 2012-9-19 2015-9-13 3 3.1000

019218 12 T-bond 18 Book-entry 280.0000 2012-9-27 2012-10-8 2032-9-27 20 4.1000

019219 12 T-bond 19 Book-entry 260.1000 2012-10-18 2012-10-24 2013-10-18 1 2.9400

019220 12 T-bond 20 Book-entry 260.0000 2012-11-15 2012-11-21 2062-11-15 50 4.3500

019221 12 T-bond 21 Book-entry 290.1000 2012-12-13 2012-12-19 2022-12-13 10 3.5500

019714 07 T-bond 14 Book-entry 326.9000 2007-8-23 2007-8-31 2014-8-23 7 3.9000

019717 07 T-bond 17 Book-entry 280.0000 2007-10-22 2007-10-29 2012-10-22 5 4.0000

019718 07 T-bond 18 Book-entry 324.7000 2007-11-26 2007-12-5 2014-11-26 7 4.3500

019801 08 T-bond 01 Book-entry 289.7000 2008-2-13 2008-2-21 2015-2-13 7 3.9500

019802 08 T-bond 02 Book-entry 280.0000 2008-2-28 2008-3-6 2023-2-28 15 4.1600

019803 08 T-bond 03 Book-entry 279.4000 2008-3-20 2008-3-28 2018-3-20 10 4.0700

019805 08 T-bond 05 Book-entry 280.0000 2008-4-21 2008-4-28 2013-4-21 5 3.6900

019806 08 T-bond 06 Book-entry 280.0000 2008-5-8 2008-5-16 2038-5-8 30 4.5000

019807 08 T-bond 07 Book-entry 271.5000 2008-5-19 2008-5-26 2015-5-19 7 4.0100

019810 08 T-bond 10 Book-entry 266.5000 2008-6-23 2008-7-1 2018-6-23 10 4.4100

019813 08 T-bond 13 Book-entry 240.0000 2008-8-11 2008-8-18 2028-8-11 20 4.9400

019814 08 T-bond 14 Book-entry 266.0000 2008-8-18 2008-8-25 2015-8-18 7 4.2300

019817 08 T-bond 17 Book-entry 260.0000 2008-9-16 2008-9-22 2013-9-16 5 3.6900

019818 08 T-bond 18 Book-entry 243.6000 2008-9-22 2008-9-26 2018-9-22 10 3.6800

019820 08 T-bond 20 Book-entry 240.0000 2008-10-23 2008-10-31 2038-10-23 30 3.9100

019822 08 T-bond 22 Book-entry 225.0000 2008-11-24 2008-11-28 2015-11-24 7 2.7100

Bond Market

2013 Fact Book 135




019823 08 T-bond 23 Book-entry 240.0000 2008-11-27 2008-12-4 2023-11-27 15 3.6200

019825 08 T-bond 25 Book-entry 253.7000 2008-12-15 2008-12-19 2018-12-15 10 2.9000

019826 08 T-bond 26 Book-entry 260.0000 2008-12-18 2008-12-24 2013-12-18 5 1.7700

019901 09 T-bond 01 Book-entry 269.3000 2009-2-12 2009-2-18 2016-2-12 7 2.7600

019902 09 T-bond 02 Book-entry 220.0000 2009-2-19 2009-2-25 2029-2-19 20 3.8600

019903 09 T-bond 03 Book-entry 260.0000 2009-3-12 2009-3-18 2019-3-12 10 3.0500

019904 09 T-bond 04 Book-entry 564.3000 2009-4-2 2009-4-9 2014-4-2 5 2.2900

019905 09 T-bond 05 Book-entry 220.0000 2009-4-9 2009-4-16 2039-4-9 30 4.0200

019906 09 T-bond 06 Book-entry 252.1000 2009-4-16 2009-4-22 2016-4-16 7 2.8200

019907 09 T-bond 07 Book-entry 277.6000 2009-5-7 2009-5-13 2019-5-7 10 3.0200

019909 09 T-bond 09 Book-entry 273.0000 2009-5-21 2009-5-27 2012-5-21 3 1.5500

019910 09 T-bond 10 Book-entry 295.0000 2009-6-4 2009-6-10 2014-6-4 5 2.2600

019911 09 T-bond 11 Book-entry 280.0000 2009-6-11 2009-6-17 2024-6-11 15 3.6900

019912 09 T-bond 12 Book-entry 282.7000 2009-6-18 2009-6-24 2019-6-18 10 3.0900

019913 09 T-bond 13 Book-entry 280.0000 2009-6-25 2009-7-1 2016-6-25 7 2.8200

019915 09 T-bond 15 Book-entry 280.0000 2009-7-16 2009-7-22 2012-7-16 3 2.2200

019916 09 T-bond 16 Book-entry 283.0000 2009-7-23 2009-7-29 2019-7-23 10 3.4800

019917 09 T-bond 17 Book-entry 260.0000 2009-7-30 2009-8-5 2016-7-30 7 3.1500

019918 09 T-bond 18 Book-entry 275.8000 2009-8-6 2009-8-12 2014-8-6 5 2.9700

019919 09 T-bond 19 Book-entry 267.3000 2009-8-20 2009-8-26 2016-8-20 7 3.1700

019920 09 T-bond 20 Book-entry 260.0000 2009-8-27 2009-9-2 2029-8-27 20 4.0000

Bond Market

2013 Fact Book 136




019922 09 T-bond 22 Book-entry 268.6000 2009-9-10 2009-9-16 2012-9-10 3 2.1800

019923 09 T-bond 23 Book-entry 266.4000 2009-9-17 2009-9-23 2019-9-17 10 3.4400

019924 09 T-bond 24 Book-entry 268.0000 2009-9-24 2009-9-30 2014-9-24 5 2.9000

019925 09 T-bond 25 Book-entry 240.0000 2009-10-15 2009-10-21 2039-10-15 30 4.1800

019926 09 T-bond 26 Book-entry 274.9000 2009-10-22 2009-10-28 2016-10-22 7 3.4000

019927 09 T-bond 27 Book-entry 272.4000 2009-11-5 2009-11-11 2019-11-5 10 3.6800

019929 09 T-bond 29 Book-entry 276.3000 2009-11-19 2009-12-11 2012-11-19 3 2.4200

019930 09 T-bond 30 Book-entry 200.0000 2009-11-30 2009-12-11 2059-11-30 50 4.3000

019931 09 T-bond 31 Book-entry 273.9000 2009-12-3 2009-12-9 2014-12-3 5 2.9000

019932 09 T-bond 32 Book-entry 271.2000 2009-12-17 2009-12-23 2016-12-17 7 3.2200

02004811 Discounted Bond 03

Book-entry 117.6000 2011-7-11 2011-7-15 2012-1-9 0.5 0.0000


Book-entry 150.0000 2011-8-8 2011-8-12 2012-5-7 0.75 0.0000


Book-entry 150.0000 2011-9-19 2011-9-23 2012-3-19 0.50 0.0000


Book-entry 150.0000 2012-4-16 2012-4-20 2013-1-14 0.75 0.0000


Book-entry 150.0000 2012-5-7 2012-5-11 2013-2-4 0.75 0.0000


Book-entry 150.0000 2012-6-18 2012-6-25 2013-3-18 0.75 0.0000


Book-entry 150.0000 2012-7-16 2012-7-20 2013-1-14 0.50 0.0000


Book-entry 150.0000 2012-7-30 2012-8-3 2013-1-28 0.50 0.0000


Book-entry 150.0000 2012-8-6 2012-8-10 2013-2-4 0.50 0.0000


Book-entry 150.0000 2012-10-22 2012-10-26 2013-1-21 0.25 0.0000


Book-entry 150.0000 2012-11-5 2012-11-9 2013-2-4 0.25 0.0000

Bond Market

2013 Fact Book 137




130000 09 Xinjiang 01 30.0000 2009-3-30 2009-4-3 2012-3-30 3 1.6100

130001 09 Anhui 01 40.0000 2009-4-1 2009-4-8 2012-4-1 3 1.6000

130002 09 Henan 01 50.0000 2009-4-7 2009-4-13 2012-4-7 3 1.6300

130003 09 Sichuan 01 90.0000 2009-4-8 2009-4-14 2012-4-8 3 1.6500

13000409 Chongqing Bond

58.0000 2009-4-13 2009-4-17 2012-4-13 3 1.7000

130005 09 Liaoning 01 30.0000 2009-4-14 2009-4-20 2012-4-14 3 1.7500

130006 09 Tianjin Bond 26.0000 2009-4-14 2009-4-20 2012-4-14 3 1.7800

13000709 Shandong 01

30.0000 2009-4-16 2009-4-22 2012-4-16 3 1.8000

13000809 Jiangsu Bond

84.0000 2009-4-20 2009-4-24 2012-4-20 3 1.8200

130009 09 Jilin 01 30.0000 2009-4-23 2009-4-29 2012-4-23 3 1.8200

13001009 Qingdao Bond

11.0000 2009-4-23 2009-4-29 2012-4-23 3 1.8200

130011 09 Hubei 01 50.0000 2009-4-23 2009-4-29 2012-4-23 3 1.8200

130012 09 Qinghai Bond 29.0000 2009-4-23 2009-4-29 2012-4-23 3 1.8200

130013 09 Hebei 01 40.0000 2009-4-30 2009-5-7 2012-4-30 3 1.8000

130014 09 Neimeng 01 30.0000 2009-4-30 2009-5-7 2012-4-30 3 1.8000

130015 09 Shaanxi 01 36.0000 2009-4-30 2009-5-7 2012-4-30 3 1.8000

130016 09 Longjiang 01 30.0000 2009-5-11 2009-5-15 2012-5-11 3 1.7700

130017 09 Yunnan Bond 84.0000 2009-5-11 2009-5-15 2012-5-11 3 1.7700

130018 09 Zhejiang 01 40.0000 2009-5-11 2009-5-15 2012-5-11 3 1.7700

130019 09 Dalian Bond 10.0000 2009-5-14 2009-5-20 2012-5-14 3 1.7100

130020 09 Sichuan 02 90.0000 2009-5-14 2009-5-20 2012-5-14 3 1.7100

Bond Market

2013 Fact Book 138




130021 09 Hubei 02 31.0000 2009-5-14 2009-5-20 2012-5-14 3 1.7100

130022 09 Guangxi 01 35.0000 2009-5-25 2009-6-2 2012-5-25 3 1.6700

130023 09 Beijing Bond 56.0000 2009-5-25 2009-6-2 2012-5-25 3 1.6700

130024 09 Shanghai 01 40.0000 2009-5-25 2009-6-2 2012-5-25 3 1.6700

130025 09 Henan 02 38.0000 2009-5-25 2009-6-2 2012-5-25 3 1.6700

130026 09 Hunan Bond 82.0000 2009-6-9 2009-6-15 2012-6-9 3 1.7000

130027 09 Fujian Bond 26.0000 2009-6-9 2009-6-15 2012-6-9 3 1.7000

130028 09 Ningxia Bond 30.0000 2009-6-9 2009-6-15 2012-6-9 3 1.7000

130029 09 Jiangxi Bond 62.0000 2009-6-15 2009-6-19 2012-6-15 3 1.7200

13003009 Guizhou Bond

37.0000 2009-6-15 2009-6-19 2012-6-15 3 1.7200

130031 09 Anhui 02 64.0000 2009-6-15 2009-6-19 2012-6-15 3 1.7200

13003209 Guangdong Bond

85.0000 2009-6-23 2009-6-29 2012-6-23 3 1.7500

130033 09 Xiamen Bond 8.0000 2009-6-23 2009-6-29 2012-6-23 3 1.7500

130034 09 Hainan Bond 29.0000 2009-6-23 2009-6-29 2012-6-23 3 1.7500

130035 09 Shanxi Bond 53.0000 2009-6-29 2009-7-3 2012-6-29 3 1.7600

130036 09 Gansu Bond 65.0000 2009-6-29 2009-7-3 2012-6-29 3 1.7600

130037 09 Ningbo Bond 15.0000 2009-7-7 2009-7-13 2012-7-7 3 1.7900

13003809 Shenzhen Bond

24.0000 2009-7-7 2009-7-13 2012-7-7 3 1.7900

130039 09 Xinjiang 02 25.0000 2009-7-7 2009-7-13 2012-7-7 3 1.7900

13004009 Shandong 02

29.0000 2009-7-7 2009-7-13 2012-7-7 3 1.7900

130041 09 Liaoning 02 26.0000 2009-7-7 2009-7-13 2012-7-7 3 1.7900

Bond Market

2013 Fact Book 139




130042 09 Jilin 02 25.0000 2009-8-31 2009-9-4 2012-8-31 3 2.3600

130043 09 Guangxi 02 30.0000 2009-8-31 2009-9-4 2012-8-31 3 2.3600

130044 09 Longjiang 02 30.0000 2009-8-31 2009-9-4 2012-8-31 3 2.3600

130045 09 Neimeng 02 27.0000 2009-8-31 2009-9-4 2012-8-31 3 2.3600

130046 09 Hebei 02 20.0000 2009-9-7 2009-9-11 2012-9-7 3 2.2400

130047 09 Shanghai 02 36.0000 2009-9-7 2009-9-11 2012-9-7 3 2.2400

130048 09 Zhejiang 02 27.0000 2009-9-7 2009-9-11 2012-9-7 3 2.2400

130049 09 Shaanxi 02 27.0000 2009-9-7 2009-9-11 2012-9-7 3 2.2400

13005010 Local Bond 01

286.0000 2010-6-21 2010-6-28 2013-6-21 3 2.7700


152.0000 2010-6-21 2010-6-28 2015-6-21 5 2.9000


232.0000 2010-7-19 2010-7-23 2013-7-19 3 2.3300


284.0000 2010-8-10 2010-8-16 2013-8-10 3 2.3700


186.0000 2010-8-10 2010-8-16 2015-8-10 5 2.6700


195.0000 2010-8-24 2010-8-30 2013-8-24 3 2.3700


206.0000 2010-9-7 2010-9-13 2013-9-7 3 2.3600


152.0000 2010-9-7 2010-9-13 2015-9-7 5 2.6700


181.0000 2010-11-15 2010-11-19 2013-11-15 3 3.2300


126.0000 2010-11-15 2010-11-19 2015-11-15 5 3.7000


254.0000 2011-7-12 2011-7-18 2016-7-12 5 3.8400


239.4000 2011-7-12 2011-7-18 2014-7-12 3 3.9300


226.6000 2011-8-2 2011-8-8 2014-8-2 3 4.0700

Bond Market

2013 Fact Book 140





220.0000 2011-8-9 2011-8-15 2016-8-9 5 4.1200


236.0000 2011-8-23 2011-8-29 2014-8-23 3 4.0100


240.0000 2011-8-30 2011-9-5 2016-8-30 5 4.3000


176.0000 2011-10-18 2011-10-24 2014-10-18 3 3.6700


179.0000 2011-10-25 2011-10-31 2016-10-25 5 3.7000

130068 11 Shanghai 01 36.0000 2011-11-16 2011-11-22 2014-11-16 3 3.1000

130069 11 Shanghai 02 35.0000 2011-11-16 2011-11-22 2016-11-16 5 3.3000

13007011 Guangdong 01

34.5000 2011-11-21 2011-11-25 2014-11-21 3 3.0800


34.5000 2011-11-21 2011-11-25 2016-11-21 5 3.2900

130072 11 Zhejiang 01 33.0000 2011-11-22 2011-11-28 2014-11-22 3 3.0100

130073 11 Zhejiang 02 34.0000 2011-11-22 2011-11-28 2016-11-22 5 3.2400

13007411 Shenzhen 01

11.0000 2011-11-28 2011-12-2 2014-11-28 3 3.0300


11.0000 2011-11-28 2011-12-2 2016-11-28 5 3.2500


Book-entry 206.0000 2012-6-18 2012-6-21 2015-6-18 3 2.7600


Book-entry 210.0000 2012-7-2 2012-7-6 2017-7-2 5 3.0700


Book-entry 239.0000 2012-7-10 2012-7-16 2015-7-10 3 2.7500


Book-entry 239.0000 2012-7-17 2012-7-23 2017-7-17 5 3.0200


Book-entry 231.0000 2012-7-24 2012-7-30 2015-7-24 3 2.7400


Book-entry 233.0000 2012-7-31 2012-8-6 2017-7-31 5 3.1300


Book-entry 216.0000 2012-8-13 2012-8-17 2015-8-13 3 2.9800


Book-entry 221.0000 2012-8-20 2012-8-24 2017-8-20 5 3.3800

Bond Market

2013 Fact Book 141




130084 12 Shanghai 01 Book-entry 44.5000 2012-8-24 2012-8-30 2017-8-24 5 3.2500

130085 12 Shanghai 02 Book-entry 44.5000 2012-8-24 2012-8-30 2019-8-24 7 3.3900


Book-entry 43.0000 2012-9-7 2012-9-13 2017-9-7 5 3.2100


Book-entry 43.0000 2012-9-7 2012-9-13 2019-9-7 7 3.4000


Book-entry 206.0000 2012-9-17 2012-9-21 2015-9-17 3 3.4700


Book-entry 210.0000 2012-9-17 2012-9-21 2017-9-17 5 3.5800

130090 12 Zhejiang 01 Book-entry 43.5000 2012-9-24 2012-9-28 2017-9-24 5 3.3000

130091 12 Zhejiang 02 Book-entry 43.5000 2012-9-24 2012-9-28 2019-9-24 7 3.4700


Book-entry 13.5000 2012-10-15 2012-10-19 2017-10-15 5 3.2200


Book-entry 13.5000 2012-10-15 2012-10-19 2019-10-15 7 3.4300

Bond Market

2013 Fact Book 142

Summary of Corporate Bonds in 2012(Including Convertible Bond)

Code Short NameIssue size (RMB100 million)

Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)

Turnover value(RMB 10,000)

110003 Xinyu Steel 27.60 2013-8-20 100.36 103.80 105.65 100.25 520229.84

110007 Bohui 9.75 2014-9-23 96.41 99.50 102.94 96.24 197868.55

110009 Shuangliang Convertible Bond 7.20 2015-5-4 0.00 96.32 0.00 0.00 0.00

110011 Gehua Convertible Bond 16.00 2016-11-25 91.88 92.79 99.80 91.25 196289.48

110012Ningbo Marine Convertible Bond

7.20 2016-1-7 92.34 99.69 103.50 89.70 94020.91

110013SDIC Power Convertible Bond

34.00 2017-1-25 96.60 122.51 124.20 96.60 553744.99

110015 Sinopec Convertible Bond 230.00 2017-2-23 101.97 103.39 108.30 95.89 5484351.51

110016Sichuan Investment Convertible Bond

21.00 2017-3-21 92.52 109.20 109.59 92.35 254252.77

110017China Shipping Development Convertible Bond

39.50 2017-8-1 91.95 88.75 99.50 88.50 206945.59

110018China Guodian Convertible Bond

55.00 2017-8-19 106.39 112.79 120.00 100.68 1058876.16

110019 Hengfeng Convertible Bond 4.50 2017-3-23 107.50 110.82 125.00 105.10 59097.21

110020 Nanshan Convertible Bond 60.00 2018-10-16 100.10 106.64 107.21 99.00 850818.41

110022 Tongren Convertible Bond 12.05 2017-12-4 115.00 116.99 117.69 109.02 117723.07

110078Chengxing Industrial Convertible Bond

4.40 2012-5-10 106.39 107.33 112.49 105.67 21008.41

113001 BOC Convertible Bond 400.00 2016-6-2 95.30 96.86 99.38 94.50 5008543.57

113002 ICBC Convertible Bond 250.00 2016-8-31 107.00 109.82 113.02 99.00 5249133.22

113003Heavy Industry Convertible Bond

80.50 2018-6-4 106.01 106.01 108.78 99.00 1900660.48

120102 01 Three Gorges 30.00 2016-11-8 100.04 101.40 103.00 98.01 5733.50

120201 02 Three Gorges 50.00 2022-9-20 88.00 97.00 103.00 88.00 20600.05

120203 02 China Mobile (15) 50.00 2017-10-27 96.88 98.16 100.50 90.05 7770.46

Bond Market

2013 Fact Book 143


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120204 02 Jiangsu Communication 15.00 2017-12-11 94.50 96.99 99.50 90.20 329.51

12020502 Chongqing City Construction

15.00 2012-12-9 99.60 100.00 101.51 91.00 33621.73

120288 002 Jinmao 10.00 2012-4-28 99.89 99.99 100.20 90.92 9022.90

120301 03 Shanghai Rail 40.00 2018-2-19 82.00 97.01 100.50 82.00 3641.46

12030203 Suzhou Development Zone

10.00 2013-7-17 100.00 100.10 101.00 85.00 11621.29

120303 03 Three Gorges 30.00 2033-7-31 95.00 98.00 102.98 89.91 222.58

120304 03 Power (1) 30.00 2013-12-30 99.60 100.10 100.85 98.00 2905.86

120305 03 Power (2) 20.00 2013-12-30 100.18 100.00 101.30 98.00 4473.75

120306 03 China Power Investment 30.00 2018-12-7 99.00 98.78 101.00 96.30 711.91

120307 03 Pudong Development 15.00 2013-1-12 99.59 99.99 104.80 91.00 8824.36

120308 03 Huhangyong 10.00 2013-1-23 99.40 99.90 101.60 90.70 3423.05


120310 03 China Netcom (1) 40.00 2013-12-3 97.50 100.07 101.00 92.98 3116.69

120311 03 China Netcom (2) 10.00 2013-12-3 100.50 100.70 103.30 91.05 31166.51

120482 04 China General 10.00 2014-3-30 99.89 99.50 100.83 90.00 1742.10

120483 04 China Petroleum 35.00 2014-2-23 99.00 100.05 101.00 96.08 872.64

120485 04 Guodian (1) 24.44 2014-9-21 100.00 101.50 104.00 92.16 588.99

120486 04 Guodian (2) 15.56 2019-9-21 97.00 99.57 104.00 91.00 60.41

120488 Beijing Metro 20.00 2014-12-14 101.00 101.70 103.80 91.35 910.51

120489 04 South China Grid (1) 10.00 2014-9-16 98.50 101.49 102.00 97.08 1824.54

120490 04 South China Grid (2) 20.00 2019-9-16 93.00 104.00 105.10 84.90 132228.85

120501 05 Shenergy 10.00 2015-2-1 102.50 101.50 106.55 91.32 11034.76

Bond Market

2013 Fact Book 144


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120502 05 Suzhou Yuan Construction 12.00 2015-5-18 100.50 100.31 102.00 93.66 60.50

120503 05 Chongqing Water 17.00 2015-4-25 102.80 103.80 103.80 101.80 912.71

120505 05 China Power 20.00 2015-6-29 98.00 99.90 101.20 92.50 161.67

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 96.00 99.00 100.00 92.56 329.08

120509 05 State Grid (1) 30.00 2015-7-7 100.00 100.00 108.31 90.00 2621.44

120510 05 State Grid (2) 10.00 2015-7-7 100.00 100.20 110.00 90.00 749.65

120511 05 Shanghai Construction (1) 20.00 2015-7-26 100.00 99.00 107.00 87.22 31.03

120512 05 Shanghai Construction (2) 10.00 2020-7-26 93.90 100.50 104.50 86.50 16.55

120516 05 China Power Investment 20.00 2015-7-11 99.20 100.30 101.00 85.20 2009.98

120518 05 Beijing Power (2) 5.00 2012-7-6 99.99 101.80 101.80 99.50 7.29

120519 05 Huaneng 20.00 2015-7-4 97.61 100.20 102.00 96.71 411.42

12052005 Hangzhou Urban Construction

10.00 2015-6-19 99.00 99.06 100.24 97.00 64.06

120521 05 Air China 30.00 2015-9-6 99.80 100.00 100.80 99.80 2785.68

120522 05 Railcom 10.00 2015-8-17 0.00 100.00 0.00 0.00 0.00

120523 05 Fujian Expressway 20.00 2015-6-9 100.00 99.98 101.75 90.01 101.97

120525 05 China Nuclear (1) 10.00 2015-7-21 100.00 100.47 102.00 96.52 89.77

120527 05 Wuhan Urban Investment 10.00 2020-12-25 95.99 98.00 98.00 78.00 24.55

120528 05 World Expo 15.00 2012-12-27 99.05 99.90 106.00 90.10 6904.92

120529 05 Ningxia Coal 10.00 2020-9-15 94.00 96.00 109.90 90.00 48.90

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 92.00 93.00 99.99 89.00 16.84

Bond Market

2013 Fact Book 145


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120603 06 China Aerospace 20.00 2021-4-17 93.00 95.00 99.52 88.05 1350.75

120604 06 State Grid (1) 10.00 2016-5-28 96.89 97.00 101.22 92.54 712.70

120605 06 Three Gorges 30.00 2026-5-10 89.00 89.13 91.19 84.39 19487.76

120606 06 Zhangjiang 6.00 2013-5-18 98.91 99.94 100.10 96.61 1565.96

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 95.00 96.20 99.48 90.00 17.98

120609 06 Jiangxi Investment 8.00 2021-9-10 94.05 93.00 112.00 93.00 9.43

12061006 Hefei Urban Construction Development

10.00 2016-9-19 0.00 137.11 0.00 0.00 0.00

120701 07 World Expo (1) 20.00 2017-2-14 96.80 95.10 96.93 91.48 17.01

120702 07 World Expo (2) 20.00 2022-2-14 94.00 92.00 96.95 89.10 162.12

122000 07 Yangtze Powe 40.00 2017-9-24 100.00 101.90 105.00 98.02 117174.20

122001 07 Offshore Oil Engineering 12.00 2017-11-9 102.50 102.51 108.50 95.00 6814.38

122002 07 Huaneng G1 10.00 2012-12-25 100.98 100.02 103.50 100.00 23902.56

122003 07 Huaneng G2 17.00 2014-12-25 100.00 102.00 105.00 100.00 1867.61

122004 07 Huaneng G3 33.00 2017-12-25 100.00 102.00 105.00 93.42 6769.58

122005 08 Vanadium and Titanium 13.00 2013-2-28 101.01 100.28 104.65 91.71 243148.90

122006 08 Gemdale 12.00 2016-3-10 100.00 101.99 106.30 100.00 25064.77

122007 08 Laiwu Steel 20.00 2018-3-25 101.00 102.70 105.87 94.37 118548.98

122008 08 Huaneng G1 40.00 2018-5-8 100.00 101.00 102.00 95.01 17508.73

122009 08 Xinhu 14.00 2016-7-2 102.80 106.59 108.36 101.91 360142.99

122011 08 Kingfa 10.00 2013-7-24 103.17 101.82 105.06 101.25 169632.51

122012 08 Poly 43.00 2013-7-11 102.00 101.15 104.50 91.60 225338.16

Bond Market

2013 Fact Book 146


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122013 08 North Star 17.00 2013-7-18 102.00 101.68 105.98 101.00 249922.60

122014 09 Yuyuan 5.00 2014-7-17 102.90 101.65 105.00 99.07 37478.68

122015 09 Yangtze Power 35.00 2019-7-30 97.30 97.00 100.00 81.33 26611.95

122016 09 China National Materials 25.00 2016-7-29 99.50 102.39 103.60 93.00 35985.17

122017 09 Datang 30.00 2019-8-17 100.00 96.00 101.50 93.30 123.51

12201809 China Communications Construction G1

21.00 2014-8-21 100.00 100.15 101.88 96.00 28094.17

12201909 China Communications G2

79.00 2019-8-21 101.19 112.44 112.44 100.07 0.63

122020 09 Forte Land 19.00 2014-9-22 98.60 103.67 104.79 97.78 344889.57

122021 09 Guanghui 10.00 2016-8-26 100.70 103.90 110.18 100.00 139687.91

122022 09 Chengtou 20.00 2014-9-11 102.00 100.92 111.00 100.00 35.27

122023 09 Wanye 10.00 2014-9-17 93.98 103.25 103.55 93.00 238893.80

122024 09 Guoyang 14.00 2014-9-15 99.11 101.00 102.50 90.10 14882.84

122025 09 Beijing Capital Land 10.00 2014-9-24 99.30 102.38 103.00 92.33 74442.85

122026 09 Foton 10.00 2014-9-23 98.90 102.00 102.82 98.90 24546.37

122027 09 Beijing Urban Construction 9.00 2016-9-28 95.00 102.80 103.10 93.58 83035.55

122028 09 Huafa 18.00 2017-10-16 98.50 103.55 105.00 97.17 200230.87

122029 09 Vantone 10.00 2014-10-14 101.00 104.00 110.62 99.11 132389.90

12203009 Beijing Hualian Department Store

7.00 2015-11-2 100.00 102.50 102.50 92.03 64365.69

122031 09 Tianjin Realty 3.00 2012-10-19 100.09 100.00 101.47 99.70 44998.24

122032 09 Tunnel 14.00 2016-10-21 97.21 100.30 102.99 94.00 8652.31

122033 09 R&F Properties 55.00 2014-10-23 100.18 103.55 106.00 98.08 764065.02

122034 09 China Enterprise 12.00 2014-10-27 98.88 102.79 103.80 93.10 38805.49

Bond Market

2013 Fact Book 147


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122035 09 Suzhou Hi-Tech 10.00 2014-11-9 99.08 102.50 102.74 96.50 128064.81

122036 09 Shanghai Zhangjiang 20.00 2014-12-9 99.00 101.60 102.80 97.08 261335.71

122037 09 Sanyou 9.60 2017-11-26 103.00 102.00 103.50 101.00 54344.18

122038 09 Xingang Hi-tech 10.00 2014-12-8 99.44 100.60 105.80 90.00 9632.81

122039 09 Anhui Expressway 20.00 2014-12-17 0.00 104.55 0.00 0.00 39700.00

122040 09 New Huang Pu 10.00 2014-12-16 96.05 100.99 101.38 91.24 282301.34

122041 09 Zhaojin 15.00 2016-12-23 0.00 102.00 0.00 0.00 20402.00

122042 09 Jinfeng 6.00 2012-12-25 99.20 99.98 100.80 90.50 47376.75

122043 09 Zijiang 10.00 2017-12-28 96.09 101.90 108.00 96.00 134835.77

122044 10 Lianyungang 6.50 2015-1-25 99.20 100.40 102.60 93.00 84295.87

122045 10 Chinese Railway G1 10.00 2015-1-27 100.00 99.50 100.98 96.00 29218.44


122047 10 Capital Airport 01 19.00 2015-2-3 99.00 99.42 101.60 89.64 28895.35

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 98.00 101.00 102.45 97.85 173871.51

122050 10 Shanshan 6.00 2017-3-26 95.54 100.29 103.00 95.49 81044.16

122051 10 Sinopec 01 110.00 2015-5-21 98.00 98.30 100.95 92.02 351411.41

122052 10 Sinopec 02 90.00 2020-5-21 93.50 95.37 100.99 83.10 6449.72

122053 10 Taihao 5.00 2015-9-27 98.00 107.86 108.00 96.50 39090.31



122056 10 Longyuan 01 20.00 2015-12-10 101.23 101.23 101.23 101.23 4049.20

Bond Market

2013 Fact Book 148


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


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 2015-12-22 100.40 101.50 110.00 96.00 68046.19

122059 10 Chongqing Iron & Steel 20.00 2017-12-9 97.49 101.50 102.19 91.14 238098.90

122060 10 Yinge 7.50 2017-12-22 92.12 99.54 104.30 91.05 346421.53

122061 11 Western Mining 01 20.00 2016-1-17 100.00 98.28 100.00 98.28 1880.31

122062 11 Western Mining 02 20.00 2021-1-17 0.00 100.00 0.00 0.00 0.00

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

12206511 Shanghai International Port 01

50.00 2016-3-30 99.61 100.18 103.60 96.01 777655.87

122066 11 Datang 01 30.00 2021-4-20 100.00 99.20 105.00 95.55 227.97

122067 11 Nanjing Iron & Steel Bond 40.00 2018-5-6 95.10 98.60 100.65 92.50 653030.55

122068 11 Conch Cement 01 70.00 2016-5-23 99.90 100.50 103.65 99.85 511530.09

122069 11 Conch Cement 02 25.00 2018-5-23 100.20 108.00 108.00 100.20 51761.94

122070 11 Hainan Airlines 01 35.60 2016-5-24 98.29 99.90 106.00 89.07 340732.78

122071 11 Hainan Airlines 02 14.40 2021-5-24 96.00 95.80 100.98 90.49 622960.64

122072 11 Dalian Port 23.50 2021-5-23 100.00 98.01 103.99 96.02 14594.63

122073 11 Yunwei Bond 10.00 2018-6-1 98.00 98.00 102.30 93.00 153400.50

122074 11 Silan Microelectronics 6.00 2016-6-9 97.49 100.00 101.00 94.00 103252.28

122075 11 Liuzhou Iron & Steel Bond 20.00 2019-6-1 96.75 100.00 101.00 96.00 156687.13

122076 11 Conba 6.00 2016-6-8 96.50 109.40 109.40 96.50 66650.40

122077 11 Western Steel Bond 10.00 2019-6-15 97.88 99.30 100.20 94.12 142927.02

122078 11 Dongyangguang 9.00 2016-6-15 97.50 100.39 102.50 95.00 169056.03

Bond Market

2013 Fact Book 149


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12207911 Shanghai International Port 02

30.00 2016-7-6 100.21 100.49 106.00 95.01 200187.39

122080 11 Kangmei Bond 25.00 2018-6-21 100.80 100.41 104.00 96.82 342328.43

122081 11 Star Lake Bond 6.40 2017-7-7 99.50 99.00 99.50 98.60 2472.70

12208211 Nanha i Deve lopment Bond

6.50 2016-7-7 96.92 100.00 100.00 96.92 17747.77

122083 11 Tianwei Bond 16.00 2018-7-11 101.00 101.00 102.00 92.10 76686.28

122084 11 Xiangtan Electric Bond 9.50 2016-7-15 99.50 96.00 105.00 90.50 36202.49

122085 11 Shenzhen Expressway 15.00 2016-7-27 100.80 102.50 103.50 100.60 85093.19

122086 11 Chint Bond 15.00 2016-7-20 100.00 102.13 103.92 98.01 199175.67

12208711 Lingyuan Iron & Steel Bond

14.80 2019-8-1 101.50 99.90 104.46 95.02 76529.62

122088 11 Zongyi Bond 7.00 2016-8-31 95.20 100.80 102.20 94.05 162086.64

122089 11 Maanshan Steel 01 31.60 2014-8-25 102.87 101.29 105.47 95.00 689994.67

122090 11 Maanshan Steel 02 23.40 2016-8-25 92.80 101.60 101.60 92.80 499213.02

12209111 Chongqing Machinery & Electric

10.00 2016-8-17 103.00 103.00 104.00 101.80 57869.90

122092 11 Daqin Railway 01 40.00 2013-8-18 101.19 100.46 102.95 100.10 908483.52

122093 11 Zhongfu Industrial Bond 15.00 2019-8-29 97.70 100.84 104.90 95.10 347151.56

12209411 Hisun Pharmaceuticals Bond

8.00 2016-8-25 102.00 102.90 104.00 102.00 71104.16

12209511 Hangzhou I ron&Steel Bond

14.00 2014-8-24 100.00 101.70 103.96 98.01 240414.73

122096 11 Joincare 10.00 2018-10-28 108.00 104.50 108.00 98.02 115798.63

122097 11 Pudong Road & Bridge 7.00 2016-10-24 102.21 103.80 104.60 101.85 140785.02

122098 11 Bayi Iron & Steel Bond 12.00 2014-9-16 102.30 105.00 106.00 93.00 117875.98

122099 11 Dalian Port 02 26.50 2018-9-26 0.00 100.00 0.00 0.00 23274.90

122100 11 Huayi Electric Bond 7.00 2016-11-9 99.85 102.17 104.60 99.50 142576.64

Bond Market

2013 Fact Book 150


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122102 11 Guanghui 01 20.00 2017-11-3 101.15 103.00 106.00 95.00 302624.72

122103 11 Hangji 01 9.97 2017-2-8 101.00 101.60 102.80 94.00 33556.63

122105 11Anyang Iron & Steel 02 8.00 2019-2-14 100.00 101.00 103.60 98.10 93633.32

12210611 Datang Renewable Power 01

42.00 2016-11-8 102.09 101.50 104.50 92.52 281613.42

122107 11 Anyang Iron & Steel 01 10.00 2018-11-11 101.00 101.65 106.00 94.00 200323.27

122108 11 Suntien Green Energy 01 10.00 2017-11-18 100.00 101.00 102.00 99.00 98106.92

122109 11 Suntien Green Energy 02 10.00 2018-11-18 100.18 100.00 100.18 100.00 36007.00

122110 11 Joinworld Bond 13.70 2018-11-17 100.00 102.80 109.80 97.00 203270.68

122111 11 Yongtai Bond 5.00 2016-12-14 100.10 103.00 113.00 100.10 98893.00

122112 11 Shanghai VW 16.00 2018-1-6 100.10 102.40 108.70 96.13 223911.80

122113 11 Xingang Bond 9.00 2016-12-21 100.00 101.00 105.49 96.00 177610.82

122114 11 First Heavy Bond 25.00 2016-12-20 100.01 100.15 102.19 91.18 210321.29

122115 11 Sinovel 01 26.00 2016-12-27 100.30 97.50 110.00 96.00 229391.73

122116 11 Sinovel 02 2.00 2016-12-27 100.00 98.44 102.00 90.00 17360.76

122117 11 Fujian Highway 15.00 2017-3-8 100.20 101.89 104.00 100.10 95870.92

122118 12 Xingfa 01 3.00 2018-2-14 100.00 101.00 101.60 99.90 18836.63

122119 12 Xingfa 02 5.00 2017-2-14 101.00 104.00 112.00 98.50 8515.48

122121 11 Rizhao Port 5.00 2017-2-17 93.02 100.00 104.00 93.02 543.54

122122 11 Jinggong Bond 7.00 2015-3-22 101.00 101.50 108.00 100.02 29128.53

122123 11 Sinochem 01 7.00 2016-3-5 98.18 100.20 100.55 95.10 35472.80

122124 11 Sinochem 02 12.00 2019-3-5 99.99 101.00 102.00 94.01 114226.49

122125 11 Meilan Bond 8.00 2019-3-15 101.50 103.99 105.60 100.20 41100.39

Bond Market

2013 Fact Book 151


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122126 11 Pangda 02 22.00 2017-3-1 105.00 102.19 108.00 101.50 138842.09

122127 11 Ouya Bond 4.70 2019-3-21 101.00 104.30 106.00 100.00 45870.75

122128 11 Wuhan Steel Bond 72.00 2015-3-2 99.07 100.00 160.00 96.52 22439.57

122129 12 Jiuquan Steel Bond 30.00 2015-3-19 100.50 100.59 104.00 98.80 10071.15

122130 11 Hangmin 01 3.00 2015-3-22 101.00 102.40 102.40 100.80 9249.71

122131 11 Pien Tze Huang 3.00 2017-3-15 101.00 101.95 102.00 99.10 7755.16

122132 12 Pengbo Bond 14.00 2017-3-12 102.00 103.01 106.35 99.00 132910.99

122133 11 Liuhua Bond 5.10 2019-3-27 101.99 102.50 103.10 100.03 20686.26

122134 11 Hua Wei Bond 3.20 2019-4-10 101.10 101.52 104.80 100.12 119636.55

122135 12 Baotailong 10.00 2017-4-11 102.00 104.50 107.50 100.36 81998.39

122136 11 Fosun Bond 15.00 2017-4-25 100.67 100.55 102.09 96.80 95148.64

122138 11 Guidong 01 6.00 2019-4-16 102.10 102.00 103.50 102.00 28478.99

122139 11 Hongshuiye 5.00 2017-5-2 100.60 100.80 102.00 100.60 16703.84

122140 12 Ninggang 01 10.00 2015-4-16 100.10 99.99 101.80 99.50 262.34

122141 12 Tianshi 01 4.00 2017-4-24 101.50 101.50 112.02 101.00 31157.75

122142 11 Lugang Bond 4.00 2017-4-23 103.10 101.25 104.50 97.00 49021.12

122143 12 Yili 01 8.00 2020-4-23 106.50 102.80 106.80 99.00 97609.01

122144 12 Luxin Bond 4.00 2017-4-25 102.00 103.90 103.90 102.00 23286.41

122145 11 Guidong 02 4.00 2019-6-20 99.96 98.00 99.99 93.00 1251.16

122146 12 Huaxin 01 10.00 2017-5-17 100.50 99.70 101.50 92.00 52587.10

122147 12 Huaxin 02 10.00 2019-5-17 102.25 100.00 102.25 99.50 52717.79

122148 11 Jilin Highway 8.00 2019-6-21 100.00 99.90 100.98 93.01 6060.89

Bond Market

2013 Fact Book 152


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122149 12 Sinopec 01 130.00 2017-6-1 99.02 97.85 101.00 90.48 426634.60

122150 12 Sinopec 02 70.00 2022-6-1 100.99 98.30 110.60 95.00 326105.38

122151 12 Guodian 01 30.00 2017-6-15 100.00 97.79 100.31 96.01 174399.47

122152 12 Guodian 02 10.00 2019-6-15 100.03 98.99 100.30 93.93 33963.46

122153 12 Beijing Energy 01 24.00 2015-7-3 100.35 99.78 100.35 98.50 98273.05

122154 12 Beijing Energy 02 12.00 2017-7-3 100.20 99.46 100.80 94.38 1120.66

122155 12 Tianfu Bond 5.00 2017-6-6 100.00 100.50 101.30 99.00 40948.72

122156 12 Xiagong Bond 15.00 2017-6-18 100.01 98.70 100.01 85.00 47558.43

122157 12 Gunagkong 01 23.50 2019-6-25 96.97 97.80 99.98 90.44 129076.45

122158 12 Xigang Bond 4.30 2020-7-16 100.00 98.40 100.00 95.10 6260.40

122159 12 Yili 02 8.00 2020-7-19 99.60 100.00 110.20 90.19 20633.93

122161 12 Shentong 02 4.00 2015-7-20 97.00 99.00 99.98 93.72 11260.60

122162 12 Zhongfu Bond 10.00 2017-8-28 100.00 102.80 103.84 99.70 108253.26

122163 12 Ezi Bond 40.00 2017-8-30 100.03 99.70 100.18 93.90 105177.53

122164 12 Tongweifa 5.00 2017-10-24 99.97 99.20 100.50 98.02 7061.63

122165 12 Guodian 03 33.00 2015-7-23 99.80 99.00 99.89 98.50 92932.15

122166 12 Guodian 04 7.00 2017-7-23 96.00 99.90 100.00 93.00 30531.79

122167 12 Yanmei 01 10.00 2017-7-23 0.00 100.00 0.00 0.00 13508.02

122168 12 Yanmei 02 40.00 2022-7-23 0.00 100.00 0.00 0.00 12017.00

122169 12 Jinrui Bond 1.50 2017-8-29 101.50 102.02 103.31 101.50 4552.28

122170 12 Jiangyao Bond 5.00 2015-12-7 100.01 100.01 100.01 100.01 3000.30

122171 12 Zhonghai 01 10.00 2015-8-3 90.89 98.45 99.28 90.89 48321.65

Bond Market

2013 Fact Book 153


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122172 12 Zhonghai 02 15.00 2022-8-3 100.00 99.23 100.00 99.23 13946.10

122173 12 Zhongjiao 01 60.00 2017-8-9 100.00 100.00 100.00 100.00 1001.00

122174 12 Zhongjiao 02 20.00 2022-8-9 99.76 99.76 99.76 99.76 1995.20

122175 12 Zhongjiao 03 40.00 2027-8-9 0.00 100.00 0.00 0.00 0.00

122176 12 Zhongchu Bond 16.00 2019-8-13 100.51 98.00 100.51 95.10 30280.41

122177 12 Kehuan 01 12.00 2015-8-20 99.42 99.20 99.45 96.61 83492.21

122178 12 Kehuan 02 8.00 2017-8-20 99.80 99.80 99.80 99.80 28733.20

122179 12 Kehuan 03 20.00 2022-8-20 0.00 100.00 0.00 0.00 0.00

122180 12 Xuanfeng Bond 7.00 2017-8-23 100.50 100.80 101.00 100.50 10185.47

122181 12 Shanying Bond 8.00 2019-8-22 100.00 101.30 101.98 99.59 55896.87

122182 12 Jiuzhoutong 16.00 2017-10-22 101.50 100.50 101.50 97.00 19601.71

122183 12 Jiyou 01 5.00 2017-8-31 90.02 100.00 100.00 90.02 12187.49

122184 12 First Heavy 01 25.00 2017-9-3 100.11 99.80 102.89 95.55 46434.73

122185 12 Lifan 01 12.00 2015-9-19 100.55 102.50 102.75 100.55 38819.63

122186 12 Lifan 02 7.00 2017-9-19 100.75 102.79 103.80 100.00 74174.90

122187 12 Boxian Bond 12.00 2019-10-17 100.00 100.40 100.40 100.00 16393.02

122188 12 Huaxin 03 11.00 2019-11-9 100.00 99.80 100.00 99.00 2645.24

122189 12 Wangfu 01 11.00 2017-10-24 99.80 99.80 99.80 99.80 4998.50

122190 12 Wangfu 02 11.00 2019-10-24 99.90 99.50 100.00 94.67 1668.38

122191 12 Guiguan 01 8.00 2017-10-24 98.66 99.99 99.99 94.19 43.18

122192 12 Guiguan 02 9.30 2022-10-24 0.00 100.00 0.00 0.00 0.00

122193 12 Zhongshui 01 20.00 2019-10-29 98.53 98.60 99.69 98.53 77.87

Bond Market

2013 Fact Book 154


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122194 12 Zhongshui 02 30.00 2022-10-29 0.00 100.00 0.00 0.00 31994.00

122195 12 Zhonghai 03 15.00 2019-10-29 100.00 99.15 100.00 99.00 9958.36

122196 12 Zhonghai 04 10.00 2022-10-29 0.00 100.00 0.00 0.00 3008.70

122198 12 Nengxin 01 11.40 2015-10-29 99.70 100.00 100.00 99.70 33943.80

122199 12 Nengxin 02 8.60 2017-10-29 100.00 100.10 100.10 100.00 20072.70

122200 12 Jinlanhua 30.00 2017-11-7 99.93 100.00 100.00 99.75 4302.67

122201 12 Kailuan 01 15.00 2019-10-30 100.25 102.00 102.00 100.00 12908.02

122202 12 Conch 01 25.00 2017-11-7 98.90 99.00 99.00 95.12 231.27

122203 12 Conch 02 35.00 2022-11-7 0.00 100.00 0.00 0.00 22960.00

122204 12 Shuangliangjie 8.00 2017-11-12 100.00 99.50 100.50 98.00 9777.40

122205 12 Shanghai Transportation 8.00 2017-11-16 99.61 99.60 99.80 95.00 10219.05

122206 12 Sailun Bond 7.20 2015-11-15 99.26 99.50 99.96 90.49 5897.46

122207 12 Luotuoji 8.00 2017-12-5 100.00 100.10 100.10 100.00 11300.10

122208 12 Zhaojinquan 12.00 2017-11-16 92.96 99.77 99.83 92.96 81.55

122209 12 Petrol China 01 160.00 2017-11-22 99.00 99.10 99.80 99.00 273401.30

122210 12 Petrol China 02 20.00 2022-11-22 0.00 100.00 0.00 0.00 8480.20

122211 12 Petrol China 03 20.00 2027-11-22 0.00 100.00 0.00 0.00 95423.86

122212 12 Beijing Jianghe 9.00 2017-12-7 98.27 99.90 99.90 98.00 130.75

122213 12 Songjianhua 22.00 2019-12-5 99.80 100.40 100.40 99.80 26271.29

122214 12 Daqin Bond 50.00 2015-12-10 100.00 100.09 100.20 99.82 10963.58

122500 12 Chenchengtou 16.00 2019-9-13 101.80 102.00 102.00 101.80 7125.65

122501 12 Shoucaizi 12.00 2019-10-23 0.00 100.00 0.00 0.00 0.00

Bond Market

2013 Fact Book 155


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122503 12 Binglongcheng 20.00 2019-9-25 0.00 100.00 0.00 0.00 0.00

122504 12 Tongtiancheng 10.00 2019-9-24 103.00 101.70 103.00 101.60 1178.79

122506 12 Wujiaotou 12.00 2020-10-31 100.50 100.00 100.50 95.35 9555.88

122507 12 Yujiaotou 10.00 2019-10-12 101.00 101.01 101.75 100.10 9477.75

122510 12 Jingxincheng 8.00 2018-10-23 0.00 100.00 0.00 0.00 0.00

122515 12 Qingchengtou 22.00 2019-10-23 101.25 101.00 101.30 99.88 7453.74

122516 12 Qingzhou 01 8.00 2019-10-19 100.77 100.77 100.77 100.77 4030.80

122517 12 Qingzhou 02 4.00 2018-10-19 0.00 100.00 0.00 0.00 0.00

122518 12 Baoliji 15.00 2019-10-25 0.00 100.00 0.00 0.00 2970.30

122519 12 Xijingkai 7.00 2019-11-1 0.00 100.00 0.00 0.00 5020.00

122523 12 Hailiang 01 6.00 2018-10-19 100.61 100.90 102.00 96.24 13103.60

122524 12 Hailiang 02 4.00 2019-10-19 100.41 101.75 103.26 100.10 11013.32

122525 12 Hujiakai 8.00 2018-10-10 0.00 100.00 0.00 0.00 0.00

122526 12 Yongchuanhui 12.00 2019-10-16 0.00 100.00 0.00 0.00 0.00

122527 12 Wenguotou 14.00 2019-9-18 0.00 100.00 0.00 0.00 0.00

122531 12 Taikeyuan 10.00 2019-9-17 101.00 103.48 103.50 101.00 320.94

122533 12 Pingchengtou 9.00 2019-9-18 0.00 100.00 0.00 0.00 8052.00

122534 12 Qinkaifa 14.00 2019-10-17 0.00 100.00 0.00 0.00 0.00

122536 12 Ciguokong 8.00 2019-9-20 0.00 100.00 0.00 0.00 0.00

122537 12 Kechengtou 20.00 2019-9-4 0.00 100.00 0.00 0.00 0.00

122538 12 Rongchengxiang 10.00 2018-9-25 0.00 100.00 0.00 0.00 5000.00

122539 12 Fuchengtou 12.00 2019-10-10 103.01 102.84 103.75 102.60 129388.83

Bond Market

2013 Fact Book 156


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122540 12 Ningpukou 12.00 2019-10-8 0.00 100.00 0.00 0.00 0.00

122541 12 Ningshangling 5.00 2018-10-16 102.50 103.80 103.80 102.50 0.21

122543 12 Qinkaitou 9.00 2019-10-16 102.00 102.54 103.33 100.69 28675.29

122544 12 Yuchangkai 8.00 2019-9-25 0.00 100.00 0.00 0.00 0.00

122545 12 Menggaoxin 10.00 2019-9-25 101.90 100.48 101.97 97.68 6225.15

122546 12 Ninggaoxin 9.00 2019-9-7 0.00 100.00 0.00 0.00 0.00

122549 12 Piruncheng 10.00 2019-9-25 103.00 102.74 103.19 102.60 11374.47

122550 12 Suguoxin 20.00 2017-6-8 0.00 100.00 0.00 0.00 0.00

122553 12 Yujiaotong 10.00 2019-9-11 100.50 101.00 110.51 99.50 809.13

122554 12 Dinghai Bond 10.00 2020-8-31 0.00 100.00 0.00 0.00 9024.00

122556 12 Xianningtou 6.00 2018-8-31 102.08 102.74 103.70 101.20 17567.29

122557 12 Zhugaoke 10.00 2019-9-10 102.50 102.50 102.50 102.50 20.50

122558 12 Kunjiao 01 14.00 2017-8-17 0.00 100.00 0.00 0.00 6033.00

122559 12 Kunjiao 02 13.00 2019-8-17 0.00 100.00 0.00 0.00 0.00

122560 12 Zichengyun 15.00 2019-8-22 0.00 100.00 0.00 0.00 0.00

122561 12 Raochengtou 13.00 2019-9-10 100.91 102.10 102.10 100.91 33610.77

122562 12 Yichun Bond 8.00 2019-7-24 101.80 102.55 112.35 101.48 98258.93

122563 12 Haozhou Bond 15.00 2019-9-4 105.00 103.69 105.10 102.50 141763.74

122564 12 Jiaojiang Bond 10.00 2020-9-13 102.00 103.38 103.77 101.22 56494.43

122566 12 Kuchengjian 12.00 2018-9-10 101.60 102.90 103.01 101.60 17333.46

122567 12 Xiaoqinghe 18.00 2019-9-5 0.00 100.00 0.00 0.00 0.00

122568 12 Suizhou Bond 7.00 2019-8-22 102.00 102.89 103.94 101.80 43215.25

Bond Market

2013 Fact Book 157


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122569 12 Tianjin Ecology 12.00 2019-8-14 101.90 101.40 101.90 101.40 23387.00

122570 12 Dianshuitou 10.00 2019-8-27 0.00 100.00 0.00 0.00 0.00

122571 12 Xingguozi 14.00 2019-8-31 0.00 100.00 0.00 0.00 0.00

122572 12 Rongotukong 16.00 2019-9-4 100.40 99.35 100.40 99.35 993.60

122573 12 Muguotou 12.00 2019-8-30 0.00 100.00 0.00 0.00 0.00

122574 12 Huaikaikong 12.00 2019-9-6 0.00 100.00 0.00 0.00 0.00

122575 12 Feicheng Bond 9.00 2018-8-14 100.20 100.54 102.00 99.88 30297.74

122576 12 Neijiang Bond 7.00 2018-7-19 0.00 100.00 0.00 0.00 0.00

122577 12 Suxiangcheng 18.00 2019-9-3 0.00 100.00 0.00 0.00 0.00

122578 12 Changning Bond 7.00 2019-8-16 0.00 100.00 0.00 0.00 0.00

122579 09 Yuanyang Bond 26.00 2015-6-23 0.00 100.00 0.00 0.00 0.00

122581 12 Jinancheng 15.00 2019-6-18 0.00 100.00 0.00 0.00 0.00

122582 12 Xiangjiuhua 9.00 2019-8-29 103.00 102.75 103.40 100.89 60306.22

122583 12 Zuntou Bond 10.00 2019-3-13 0.00 100.00 0.00 0.00 10348.00

122585 12 Xinhailian 13.00 2020-8-27 0.00 100.00 0.00 0.00 0.00

122587 12 Zunqiao Bond 18.00 2020-8-17 100.83 100.70 100.83 100.70 9029.60

122588 12 Yichengtou 16.00 2019-8-24 106.06 101.89 106.06 97.88 12718.90

122589 12 Bixintai 16.00 2019-8-20 101.20 103.01 103.01 100.00 117402.56

122590 12 Hechengtou 15.00 2022-6-21 0.00 100.00 0.00 0.00 0.00

122591 12 Changjiao Bond 15.00 2019-8-21 0.00 100.00 0.00 0.00 0.00

122592 12 Wuguozi 14.00 2018-4-28 0.00 100.00 0.00 0.00 0.00

122593 12 Hengchengtou 18.00 2019-8-13 100.36 102.70 103.00 95.00 101793.15

Bond Market

2013 Fact Book 158


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122594 12 Quanzhou 01 8.00 2018-8-7 101.00 102.26 102.26 101.00 0.71

122595 12 Quanzhou 02 8.00 2019-8-7 0.00 100.00 0.00 0.00 0.00

12259612 Shanghai City Development

15.00 2018-8-21 101.60 101.60 101.60 101.60 6013.45

122597 12 Baotai Bond 7.00 2018-8-21 0.00 100.00 0.00 0.00 5995.80

122598 12 Jingmen Bond 8.00 2022-7-9 100.00 100.75 100.98 100.00 3166.15

122599 12 Fantou Bond 12.00 2019-8-2 100.00 101.36 102.00 97.43 91007.00

122600 12 Xintai Bond 10.00 2018-8-14 0.00 100.00 0.00 0.00 0.00

122601 12 Baishan Bond 10.00 2019-7-31 104.00 101.39 104.00 99.20 120074.35

122602 12 Songchengtou 12.00 2018-8-15 0.00 100.00 0.00 0.00 0.00

122603 12 Huijingkai 25.00 2022-8-14 102.00 102.00 102.00 102.00 52367.00

122604 12 Jitietou 8.00 2019-6-26 99.20 99.20 99.20 99.20 11838.98

122605 11 Ninghai Bond 12.00 2017-12-31 0.00 100.00 0.00 0.00 0.00

122606 12 Shunxin Bond 8.00 2017-7-3 0.00 100.00 0.00 0.00 3003.00

122607 12 Chongqing Real Estate 50.00 2019-4-25 100.50 103.00 103.60 100.47 9549.28

122608 12 Xiyong Bond 16.00 2019-7-25 100.00 101.00 101.00 100.00 5000.00

122609 12 Yangchengkong 12.00 2019-7-26 0.00 100.00 0.00 0.00 1898.30

122610 12 Yueqing Bond 15.00 2019-6-29 99.60 101.00 101.00 99.60 32442.85

122611 12 Rongjing 01 10.00 2018-7-17 99.33 99.33 99.33 99.33 1986.60

122612 12 Rongjing 02 10.00 2019-7-17 100.30 98.30 100.30 98.26 7461.87

122613 12 Wuhai Bond 16.00 2019-3-31 103.10 105.10 105.10 103.10 16496.32

122614 12 Yujin Bond 10.00 2019-6-18 0.00 100.00 0.00 0.00 0.00

122615 12 Baise Bond 8.00 2019-7-4 0.00 100.00 0.00 0.00 0.00

Bond Market

2013 Fact Book 159


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122616 12 Qiantie Bond 20.00 2022-3-27 103.00 107.00 107.00 102.50 102.71

122618 12 Tongzhong Bond 15.00 2022-4-11 0.00 100.00 0.00 0.00 10312.00

122619 12 Qianan Bond 16.00 2018-7-11 99.00 98.50 99.50 90.20 10853.53

122620 12 Wuchengtou 9.00 2019-7-9 0.00 100.00 0.00 0.00 8962.00

122621 12 Gancheng Bond 20.00 2018-7-10 99.99 98.80 99.99 98.00 18617.75

122622 12 Jincheng Bond 13.00 2019-6-13 100.00 100.00 100.00 100.00 4000.00

122623 12 Lvjian Bond 12.00 2019-7-2 101.00 100.22 101.00 100.00 89741.20

122624 12 Binkai Bond 8.00 2019-7-5 100.00 101.00 101.00 100.00 17500.00

122625 12 Shenghua Bond 5.00 2019-7-2 0.00 100.00 0.00 0.00 0.00

122626 12 Haiheng Bond 12.00 2019-6-12 0.00 100.00 0.00 0.00 0.00

122627 12 Beijing Jiangong 8.00 2019-7-5 100.00 100.50 100.50 95.00 25062.96

122628 12 Dongtou Bond 10.00 2018-7-5 102.00 101.55 103.00 99.64 17335.41

122629 12 Pingfa Bond 15.00 2019-5-8 103.00 103.60 104.80 103.00 31386.78

122630 12 Huitou Bond 18.00 2019-5-28 95.00 100.00 100.80 95.00 5878.81

122631 12 Shanxi Guodian 20.00 2022-5-24 0.00 100.00 0.00 0.00 0.00

122632 12 Jiangyin Bond 9.00 2019-6-11 101.00 102.00 102.98 101.00 14267.59

122633 12 Jiajing Bond 9.00 2019-6-14 0.00 100.00 0.00 0.00 9615.40

122634 12 Wukai 01 7.00 2018-6-8 99.50 100.45 100.50 99.13 3663.28

122635 12 Wukai 02 10.00 2022-6-8 103.00 100.52 104.50 98.00 79074.00

122636 12 Lianfa Bond 9.00 2019-6-19 0.00 100.00 0.00 0.00 0.00

122637 12 Xincheng Bond 12.00 2019-4-23 100.94 102.80 103.52 100.94 8250.84

122638 12 Shenhuaxin 10.00 2019-6-14 100.00 101.00 101.50 99.43 17814.42

Bond Market

2013 Fact Book 160


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122639 12 Shaoxincheng 10.00 2018-6-11 100.50 99.38 100.50 96.29 8456.90

122640 12 Yizheng Bond 8.00 2019-6-14 103.00 103.30 104.50 99.98 7887.37

122641 12 Wujin Bond 14.00 2018-6-8 100.00 99.00 100.00 94.58 24528.31

122642 12 Chaoyang Bond 16.00 2019-5-25 0.00 100.00 0.00 0.00 2040.00

122643 12 Haizi Bond 15.00 2019-5-22 106.66 104.45 107.27 102.60 191410.33

122644 12 Tielin Bond 12.00 2018-5-29 0.00 100.00 0.00 0.00 0.00

122645 12 Suyuanjian 20.00 2019-5-30 0.00 100.00 0.00 0.00 0.00

122648 12 Xuanguotou 10.00 2019-3-20 107.00 107.00 111.00 104.06 49779.92

122649 12 Changjiantou 15.00 2019-4-6 104.30 106.50 107.58 103.05 71685.56

122650 12 Taineng Bond 5.00 2018-4-25 103.00 103.00 103.00 103.00 103.00

122651 12 Guangantou 8.00 2019-4-25 105.00 102.97 105.50 100.01 9781.82

122652 12 Yangnong Bond 15.00 2019-5-23 103.00 103.70 115.00 98.00 22781.53

122654 12 Kungangkong 20.00 2020-4-26 100.20 100.20 100.20 100.20 6190.10

122655 12 Tongjiantou 15.00 2022-4-28 105.80 105.75 106.50 103.84 107440.99

122658 12 Panjin Bond 15.00 2019-5-17 102.84 103.80 103.80 102.43 138443.66

122659 12 Oil 06 100.00 2022-4-12 0.00 100.00 0.00 0.00 0.00

122660 12 Oil 07 100.00 2022-4-12 0.00 100.00 0.00 0.00 0.00

122661 12 Huaihua Bond 10.00 2018-3-22 103.02 103.25 106.00 101.30 14779.71

122662 12 Hetaohua 8.00 2019-3-27 0.00 100.00 0.00 0.00 14689.00

122664 12 Huludao 20.00 2019-3-1 106.00 105.30 106.06 101.34 19326.05

122665 12 Zhenjiaotou 18.00 2019-5-8 0.00 100.00 0.00 0.00 0.00

122666 12 State Grid 01 50.00 2022-4-17 0.00 100.00 0.00 0.00 0.00

Bond Market

2013 Fact Book 161


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122667 12 State Grid 02 100.00 2027-4-17 0.00 100.00 0.00 0.00 0.00

122668 12 Liangguotou 5.00 2019-4-23 104.00 104.49 105.00 104.00 47379.44

122669 12 Guilin Bond 10.00 2018-5-9 99.82 103.50 103.50 98.00 34859.58

122670 12 Xinsheng Bond 15.00 2018-5-8 102.34 102.34 102.34 102.34 2046.80

122671 12 Yangtze River 5.00 2019-5-21 0.00 100.00 0.00 0.00 0.00

122672 12 Xichengtou 13.00 2019-4-27 101.01 103.70 104.00 100.69 15289.85

122673 12 Yulidu 8.00 2019-3-23 0.00 100.00 0.00 0.00 0.00

122674 12 Yuqianjiang 9.00 2019-3-23 0.00 100.00 0.00 0.00 0.00

122675 12 Hangchengtou 16.00 2018-4-25 103.00 101.00 103.00 95.95 9586.26

122676 12 Binjiang Bond 12.00 2019-4-27 102.00 102.10 102.10 102.00 10000.20

122677 12 Jiangning Bond 12.00 2019-4-28 102.00 102.00 109.22 100.20 61669.72

122678 12 Yanghuanggong 10.00 2019-4-25 105.00 104.45 106.99 101.80 32724.89

122679 12 Hetao Bond 10.00 2022-3-31 107.00 108.68 111.00 105.11 133263.91

122680 12 Kunjian Bond 22.00 2018-4-13 103.30 104.50 110.00 101.00 47022.85

122681 12 Henongtou 15.00 2018-4-10 103.30 104.10 106.39 101.00 52476.71

122682 12 Yingkou Bond 20.00 2020-4-18 103.00 103.70 104.40 103.00 4426.22

122683 12 Chunhe Bond 5.40 2018-4-24 103.35 100.60 104.50 99.88 27890.03

122684 12 Hegaoxin 12.00 2019-3-22 107.50 104.10 107.50 104.10 45176.58

122685 12 Jichengtou 16.00 2019-4-20 104.00 103.90 109.00 101.21 20480.96

122686 12 Baiyao Bond 11.00 2019-3-30 100.50 101.00 103.00 100.50 6083.51

122687 12 Jintan Bond 10.00 2019-3-14 107.50 104.14 107.50 100.37 6849.92

122688 12 Huatong Bond 10.00 2019-4-18 103.90 103.90 103.90 103.90 10.39

Bond Market

2013 Fact Book 162


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122689 12 Sukaifa 9.00 2019-3-26 102.40 104.00 104.01 99.00 33449.38

122690 12 Sanbao Bond 8.00 2019-3-19 104.20 104.50 106.50 99.00 256363.17

122691 12 Wuqing Bond 8.00 2019-3-27 0.00 100.00 0.00 0.00 8000.00

122692 12 Zhangluqiao 11.00 2019-3-1 105.23 106.00 106.14 105.23 18922.74

122693 12 Jiachengtou 10.00 2019-3-22 100.00 104.60 116.58 100.00 42266.20

122694 12 Xingrong Bond 8.00 2019-4-19 105.00 105.91 107.80 101.19 96504.85

122695 12 Wuguotou 10.00 2018-3-15 103.00 105.21 107.00 98.00 4786.17

122696 12 Dantou Bond 15.00 2019-3-6 105.00 106.00 106.00 105.00 2.11

122697 11 Taizi Bond 9.00 2018-12-31 103.50 104.00 118.00 101.00 1070.39

122698 12 Shuangliu 01 7.00 2019-3-16 101.00 106.25 107.51 101.00 12769.46

122699 12 Shuangliu 02 3.00 2019-3-16 100.00 108.50 108.50 100.00 16465.28

122700 12 Laibin Bond 9.00 2019-3-14 103.00 106.15 107.51 96.00 25758.19

122701 12 Yuchengjian 12.00 2019-3-29 103.00 104.00 106.00 103.00 10942.63

122702 12 Hai’an Bond 15.00 2018-3-28 103.62 105.10 106.22 102.00 92447.62

122703 12 Anchengtou 20.00 2019-3-5 108.00 104.98 108.00 103.03 112280.10

122704 12 Jiangdu Bond 8.00 2019-3-23 105.00 104.76 105.00 103.10 52067.96

122705 12 Sujiaotong 25.00 2017-3-20 100.16 100.16 100.16 100.16 11979.60

122706 12 Haimen Bond 12.00 2019-3-20 106.00 105.30 106.01 103.30 18802.67

122707 12 Taixing Bond 12.00 2018-3-27 106.01 105.68 107.10 100.49 121952.92

122708 12 Yiqi Bond 16.00 2019-3-19 104.50 104.62 106.50 88.11 153964.69

122709 12 Mianyang Bond 12.00 2019-3-26 104.50 104.50 104.50 104.50 1039.10

122710 12 Jichengjian 18.00 2018-3-26 105.00 104.00 107.00 96.01 43706.47

Bond Market

2013 Fact Book 163


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122711 12 Zhengxin Bond 20.00 2019-3-14 102.00 105.43 107.50 102.00 120088.85

122712 12 Zhonghang Bond 18.00 2019-3-12 101.00 101.00 105.00 98.00 608.41

122713 12 Jijiaotong 14.00 2022-3-27 0.00 100.00 0.00 0.00 0.00

122714 12 Hailin Bond 8.00 2019-3-21 105.50 104.60 106.59 101.24 12061.21

122715 12 Rongxincheng 10.00 2019-3-19 103.50 105.19 107.96 100.60 29638.01

122716 12 Putian Bond 11.00 2019-3-21 106.00 105.50 106.00 104.00 10782.10

122717 12 Quankuang Bond 15.00 2019-3-21 0.00 100.00 0.00 0.00 0.00

122718 12 Yu’nan Bond 8.00 2019-3-23 103.56 107.99 108.85 103.52 92972.34

122719 12 Longjiaotou 10.00 2022-3-19 101.60 106.35 107.54 101.60 51214.88

122720 12 Yongchengtou 10.00 2018-3-1 0.00 100.00 0.00 0.00 0.00

122721 12 Liaoguozi 10.00 2019-3-13 105.20 105.24 107.20 101.01 66550.43

122722 12 Huaishuili 16.00 2019-3-8 101.00 104.99 105.00 100.20 2313.52

122723 12 Oil 05 200.00 2022-3-15 100.00 100.00 100.00 100.00 15848.20

122724 12 Panguotou 10.00 2022-3-13 107.50 106.00 107.50 105.00 31842.60

122725 12 Suchanfa 8.00 2018-3-8 102.80 103.40 105.93 102.80 47802.66

122726 12 Liudong Bond 10.00 2019-2-15 104.20 104.20 104.20 104.20 5210.00

122727 12 Dongsheng Bond 20.00 2018-2-28 103.50 105.00 107.00 101.00 282504.46

122728 12 Xujingkai 18.00 2019-3-7 107.50 107.00 107.50 104.80 39620.98

122729 12 Jiangquan Bond 8.00 2019-3-12 101.80 105.19 107.29 95.80 177558.24

122730 12 Jinjiang Bond 6.50 2018-2-23 103.80 100.00 103.80 98.00 3008.20

122731 12 Zhenjingkai 16.00 2019-3-1 102.00 105.20 105.20 102.00 292.83

122732 12 Jiujiang Bond 20.00 2019-2-23 103.00 106.00 109.50 103.00 48541.32

Bond Market

2013 Fact Book 164


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122733 11 Jiangzi 01 40.00 2016-12-26 0.00 100.00 0.00 0.00 0.00

122734 11 Jiangzi 02 60.00 2021-12-26 101.06 101.06 101.06 101.06 15160.00

122735 11 Lu’an Bond 15.00 2018-12-28 0.00 100.00 0.00 0.00 0.00

122736 12 Oil 03 100.00 2019-2-22 0.00 100.00 0.00 0.00 0.00

122737 12 Oil 04 100.00 2027-2-22 100.10 98.99 110.00 55.00 114779.12

122740 12 Yanchengtou 15.00 2017-2-8 104.50 104.00 105.00 104.00 24049.23

122741 11 Shuangyashan 10.00 2018-12-20 100.00 104.55 106.19 100.00 147160.56

122742 12 Shandong Highway 20.00 2022-2-9 0.00 100.00 0.00 0.00 0.00

122743 12 Huafaji 25.00 2018-2-16 102.00 106.60 107.20 100.05 44107.35

122744 11 Benxi Bond 20.00 2021-12-22 103.90 108.00 108.00 103.00 330289.57

122745 12 Fangda 01 5.00 2018-2-22 105.00 105.50 106.60 98.01 6617.05

122746 12 Fangda 02 5.00 2019-2-22 104.50 107.05 107.49 103.50 4804.38

122747 12 Jinmeiyun 25.00 2022-1-18 103.00 105.00 115.00 102.59 65162.77

122748 12 Oil 01 100.00 2019-1-11 98.63 100.40 100.40 96.99 24650.24

122749 12 Oil 02 100.00 2022-1-11 100.05 100.05 100.05 100.05 33710.35

122750 12 Changjingying 12.00 2019-1-16 100.20 103.50 105.40 100.00 241.55

122751 11 Jixin Bond 5.00 2018-12-30 100.01 103.10 111.72 97.10 30644.58

122752 11 Dafeng Port 6.00 2017-11-15 100.00 106.39 107.30 99.99 74509.23

122754 11 Tonghua Bond 10.00 2021-12-13 100.00 108.38 116.88 99.70 175400.89

122755 12 Tengchengjian 12.00 2019-3-16 102.50 105.00 108.00 98.88 11402.09

122756 12 Gannongken 8.00 2019-1-6 0.00 100.00 0.00 0.00 0.00

122757 11 Dandong Bond 16.00 2018-12-21 99.90 103.15 105.06 97.80 636189.86

Bond Market

2013 Fact Book 165


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122758 11 Zhangbao Bond 9.00 2018-12-15 101.00 104.50 105.48 100.00 2351.33

122759 11 Taihao Bond 4.00 2018-12-27 105.00 107.10 107.10 105.00 0.21

122760 12 Yufu Bond 20.00 2019-9-4 0.00 100.00 0.00 0.00 31505.00

122761 11 Xiaoguozi 20.00 2016-11-22 102.17 101.84 104.00 101.70 49915.60

122762 11 Wujiang Bond 13.00 2018-12-5 0.00 100.00 0.00 0.00 13996.00

122763 11 Huaichantou 9.00 2017-12-30 101.61 108.21 118.00 101.60 25008.79

122764 11 Fanhai 01 18.00 2017-12-13 102.00 107.13 111.98 98.00 171318.91

122765 11 Fanhai 02 10.00 2021-12-13 101.00 109.59 112.48 101.00 23138.03

122766 11 Yijiantou 10.00 2019-11-17 100.40 106.10 113.00 100.24 26100.50

122767 11 Yanchengnan 15.00 2018-12-16 101.00 106.00 107.00 101.00 96210.20

122768 11 Lanchengtou 15.00 2018-12-15 100.50 106.01 107.50 99.49 161581.83

122769 11 Longhai Bond 8.00 2017-12-2 102.01 106.14 112.00 94.00 52923.43

122770 11 State Grid 01 100.00 2021-12-8 0.00 100.00 0.00 0.00 78806.40

122771 11 State Grid 02 50.00 2026-12-8 100.37 99.00 100.37 98.00 4866.87

122772 11 Shanmei Bond 10.00 2018-12-6 104.00 104.00 104.00 104.00 0.21

122773 11 Binhai 01 25.00 2016-11-23 0.00 100.00 0.00 0.00 0.00

122774 11 Binhai 02 25.00 2021-11-23 0.00 100.00 0.00 0.00 0.00

122775 11 Xianchengtou 11.00 2017-12-9 102.00 106.25 110.00 100.00 57813.76

122776 11 Xinguang Bond 16.00 2018-11-23 101.68 102.67 106.80 100.00 197533.82

122777 11 Wuzhong Bond 15.00 2018-12-16 101.98 105.80 105.80 97.80 10729.59

122778 11 Jianfa Bond 16.00 2019-10-28 103.00 105.30 110.00 98.00 45698.51

122779 11 Zhuchengfa 15.00 2021-11-10 100.50 106.59 114.24 99.10 120785.99

Bond Market

2013 Fact Book 166


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122780 11 Changgaoxin 25.00 2017-11-22 99.80 101.50 101.50 99.80 123953.80

122781 11 Yongzhou Bond 10.00 2021-12-5 99.39 108.15 111.11 99.39 204396.61

122782 11 Ningnong Bond 18.00 2018-11-16 101.40 101.40 101.40 101.40 30415.00

122783 11 Suzhongneng 15.00 2018-11-15 100.00 102.90 104.00 96.00 98158.70

122784 11 ZTE Holdings 10.00 2019-10-28 101.00 104.00 104.60 95.01 19850.04

122786 11 Lianxiang Bond 29.00 2018-10-31 102.50 102.51 102.51 102.50 53018.21

122787 11 Gantie Bond 10.00 2018-9-30 100.50 104.35 104.35 100.50 2632.77

122788 11 Sanming Bond 10.00 2018-6-14 97.00 101.69 110.00 97.00 99483.33

122789 11 Xiangyu Bond 9.00 2018-7-8 109.99 101.00 109.99 91.00 82759.33

122790 11 Zhuji Bond 15.00 2018-7-5 92.11 101.79 102.89 91.23 136837.21

122792 11 Handan Bond 10.00 2018-7-1 98.00 102.30 103.60 91.50 124043.86

12279311 Yangzhou Development Bond

10.00 2016-7-7 96.00 99.90 101.98 89.00 4372.07

122794 11 Haicheng Bond 8.00 2018-11-7 99.00 105.79 106.67 99.00 16405.85

122795 11 Zhucheng Bond 10.00 2018-4-26 0.00 100.00 0.00 0.00 0.00

12279611 Hebei Construction & Investment 01

10.00 2021-6-27 0.00 100.00 0.00 0.00 0.00

12279711 Hebei Construction & Investment 02

10.00 2024-6-27 0.00 100.00 0.00 0.00 0.00

122798 11 Taifeng Mining Bond 10.00 2018-6-22 98.00 101.80 110.55 95.50 154721.40

12279911 Wuhan State-owned Assets Managment

3.00 2018-6-17 100.00 101.10 102.88 90.88 39584.56

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 98.00 102.50 105.00 90.10 89953.66

122802 11 Liaoyang Bond 20.00 2018-6-13 97.21 101.00 102.10 95.45 509026.72

122803 11 Chuzhou Bond 10.00 2021-11-30 100.58 104.04 105.66 100.58 122868.48

Bond Market

2013 Fact Book 167


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122804 11 Weinan 01 6.00 2017-6-8 93.12 100.00 110.00 90.00 13171.99

122805 11 Datong Bond 25.00 2017-6-1 90.49 100.74 108.00 90.49 226192.32

122806 11 Weinan 02 12.00 2018-6-8 93.10 101.50 101.50 90.50 19793.70

122807 11 Dongling Bond 4.00 2017-6-14 0.00 100.00 0.00 0.00 19999.00

122808 11 Tengzhou Bond 10.00 2018-5-24 100.00 101.50 110.00 95.00 48225.12

12280911 Dzungarian State-owned Assets

20.00 2018-5-10 93.99 101.00 102.00 92.44 183256.10

12281011 Zouping State-owned Assets

5.00 2018-4-27 91.26 99.98 102.33 90.15 58337.05

122811 11 Inner Mongolia Nailung 8.00 2018-5-5 96.10 99.90 102.71 89.45 169365.23

122812 11 Huaibei Bond 12.00 2018-3-14 94.71 103.47 109.00 92.48 162979.14

122813 11 Ningxia Transport 15.00 2021-4-27 97.00 103.00 106.00 91.00 124489.74

122814 11 Dongying Bond 12.00 2018-4-20 101.00 103.60 103.60 86.59 22780.21

122815 11 Guanghui Bond 16.00 2017-4-19 97.00 100.54 106.49 97.00 67220.00

122816 11 Gaomi Bond 10.00 2018-4-8 0.00 100.00 0.00 0.00 4000.00

122817 11 Sanmen Bond 15.00 2018-4-25 94.20 102.50 103.00 93.00 161593.28

122818 11 Muping Bond 6.00 2019-3-4 99.99 106.00 107.00 90.35 68382.76

12281911 Changzhou Urban Construction

25.00 2018-4-25 97.00 101.50 103.50 95.00 120943.85

122820 11 Weifang Dongfang 5.00 2018-4-12 101.99 103.50 108.00 93.68 16427.30

122821 11 Jilin Urban Construction 20.00 2018-3-3 94.00 107.00 107.00 93.50 152409.68

122822 11 Hanzhong Bond 8.00 2018-3-14 94.45 101.00 103.50 92.52 107181.62

122823 11 Zhoushan Bond 15.00 2018-4-20 96.00 102.00 103.80 95.69 60295.65

122824 11 China Coal Construction 6.00 2018-3-15 103.50 102.04 103.50 102.04 34921.91

122825 11 Jingdezhen 8.00 2018-3-23 95.50 103.30 104.40 89.00 187244.37

Bond Market

2013 Fact Book 168


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122826 11 Beibu Gulf Port 15.00 2017-3-30 99.00 102.60 102.60 96.99 118650.98

122827 11 ENN Energy Holdings 5.00 2018-2-16 99.00 101.50 101.50 99.00 26240.00

122828 11 Fuzhou Bond 8.00 2018-2-28 97.82 105.76 106.49 95.00 63574.13

122829 11 Wanji Bond 8.00 2018-8-24 100.00 101.60 103.98 90.00 135004.80

12283011 Shenyang State-owned Assets

15.00 2019-3-16 92.27 102.50 110.00 91.81 134136.57

122831 11 Huitong Bond 10.00 2018-3-14 98.00 103.17 104.80 95.51 169782.35

122832 11 Taishan Bond 10.00 2018-3-2 98.80 104.00 109.99 91.78 112670.01

12283311 Ganzhou Urban Development

20.00 2018-4-22 95.91 100.80 103.00 90.65 118748.67

12283411 Mudanjiang State-owned Assets

15.00 2018-2-15 91.90 103.37 103.38 91.11 126059.47

122835 11 Xinglu Bond 10.00 2021-3-1 97.50 102.50 106.00 91.95 115388.50

122836 11 Panjin Bond 15.00 2018-3-1 92.28 102.30 104.00 91.55 233024.56

12283711 Wujin Economic Development

25.00 2018-2-24 95.00 101.50 104.00 91.49 125930.04

122838 11 Geely Bond 10.00 2018-6-21 98.00 103.50 103.55 96.04 107719.37

122839 11 Xintai Bond 12.00 2018-2-23 97.48 102.50 103.00 92.80 54740.72

122840 11 Linfen Bond 20.00 2019-2-22 94.21 102.75 105.00 93.40 503222.26

122841 11 Chongqing Tianjin Bond 6.00 2018-1-6 91.61 101.30 101.82 90.81 138781.20

12284211 Hechuan Urban Construction

6.00 2018-1-6 91.70 100.90 101.88 90.32 83004.00

122843 11 Suihua Bond 8.00 2018-2-28 96.11 104.08 106.02 93.12 157343.56

122844 11 Guiyang Urban Investment 20.00 2018-1-12 95.00 101.85 102.00 92.60 103610.79

122845 11 Hengdian Bond 12.00 2021-1-27 98.90 101.50 102.30 97.51 108664.37

122846 11 Yufu Bond 20.00 2018-2-22 98.50 103.00 103.00 98.50 112346.70

12284711 Ningbo Communications Investment

10.00 2021-2-10 98.49 100.60 100.60 96.00 70104.89

Bond Market

2013 Fact Book 169


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122848 10 Guilin Bond 10.00 2017-12-28 102.00 102.30 102.30 101.30 40621.87

122849 11 Xinyu Bond 14.00 2018-1-11 95.50 101.41 102.00 94.10 37117.17

122850 11 Huatai Bond 8.80 2018-3-2 92.50 102.00 109.88 91.52 103199.17

122851 10 Yuxi 01 8.00 2016-12-28 95.00 100.80 101.00 90.00 17843.34

122852 10 Yuxi 02 7.00 2017-12-28 91.65 101.40 103.00 90.86 62570.58

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 98.00 101.80 102.00 90.94 102902.40

122855 11 Chongqing Light Textile 7.00 2018-1-12 99.00 102.00 102.00 99.00 29631.90

122856 11 Zhuzhou Hi-tech 10.00 2018-8-18 97.39 103.40 103.80 90.72 71143.88

122857 10 Jiuhua Bond 10.00 2016-12-16 93.75 102.21 103.50 93.01 230892.23

12285810 Yancheng City-owned Assets 01

5.00 2016-12-16 97.20 99.70 99.70 97.20 29670.42

12285910 Yancheng City-owned Assets 02

10.00 2017-12-16 92.00 102.00 102.00 92.00 29636.68

122860 10 Longyuan 16.00 2017-2-9 0.00 100.00 0.00 0.00 29954.00

122861 09 Shaanxi Coal Chemistry 15.00 2017-12-17 101.50 101.50 101.50 95.00 4062.33

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 2017-12-28 101.00 103.80 103.81 96.00 71022.10

122864 11 Shanghai Bund Investment 9.00 2018-3-11 112.00 104.04 112.00 104.00 36936.92

12286510 Jiangsu HaizhouwanDevelopment

10.00 2017-9-28 98.50 99.60 110.00 95.50 27742.97

12286610 Hangzhou CommunicationInvestment

12.00 2020-10-19 93.00 95.90 95.90 93.00 3956.08

12286711 Shijiazhuang City Investment

10.00 2021-3-9 96.60 102.50 102.50 95.00 84981.67

122868 10 Shenyang Coal 15.00 2017-12-21 98.00 100.00 100.00 98.00 47321.32

122869 10Shanghai Chemical 10.00 2017-10-22 97.25 97.25 97.25 97.25 76544.00

Bond Market

2013 Fact Book 170


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122870 10 Chongqing Dasheng 8.00 2017-6-2 0.00 100.00 0.00 0.00 0.00

12287110 Zhenjiang CommunicationInvestment

10.00 2017-10-18 100.00 99.30 100.00 99.30 69915.00

122872 10 Fosun Bond 11.00 2017-12-24 99.20 101.01 102.90 98.80 107230.01

12287310 Nantong Economic & Technological Development Zone

10.00 2017-12-8 92.00 100.00 100.00 92.00 37262.79

122874 10 Honghe Investment 01 10.00 2016-12-9 94.99 101.60 102.00 92.50 124687.16

122875 10 Honghe Investment 02 10.00 2017-12-9 92.38 101.90 102.20 91.15 240339.38

12287611 Hainan Deve lopment Holdings

15.00 2018-1-20 99.30 100.93 101.06 99.30 66496.91

122877 10 Chongqing Nan’an 10.00 2017-12-24 97.00 99.80 100.50 91.11 40183.70

122879 10 Tianji 10.00 2017-11-25 93.10 99.50 101.00 93.10 365.20

122880 10 Tianye 12.00 2016-10-25 100.60 99.94 103.15 98.01 54601.40

122881 10 Wujiang 15.00 2018-12-23 102.00 102.00 103.76 91.00 139205.50

122882 10 Nanjing Hi-tech 12.00 2017-12-24 94.95 100.50 100.51 94.95 67065.24

122883 10 Chuxiong 15.00 2017-10-18 88.70 97.33 98.70 87.35 355664.49

122884 10 Xizi 4.50 2017-10-11 95.99 100.84 101.80 95.00 74304.40

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 88.01 97.95 108.81 81.88 15184.97

12288710 Chongqing Communication

10.00 2017-8-4 99.00 95.00 99.00 90.10 18417.70

122888 10 Huajing 15.00 2017-9-28 88.60 98.48 98.80 87.90 274558.72

122889 10 Daye Nonferrous 7.00 2018-10-15 96.88 96.96 96.96 93.00 13413.36

122890 10 Kaidi 10.00 2020-8-23 87.59 95.64 97.70 84.43 330568.27

122891 10 Tongliao 10.00 2017-9-1 101.00 97.00 101.00 85.37 19889.32

122892 10 Shouguang 10.00 2020-9-1 100.88 99.10 100.88 93.01 131959.78

Bond Market

2013 Fact Book 171


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122893 10 Dandong 15.00 2017-9-6 92.78 100.98 105.00 91.90 111249.29

122894 10 Nanchang Municipal 7.00 2017-8-3 0.00 100.00 0.00 0.00 42566.00

122895 10 Dezhou 7.00 2017-8-9 94.00 99.00 100.50 94.00 57177.27

122896 10 Wuhu Development 10.00 2017-8-25 96.30 98.25 98.25 96.30 27129.25

122897 10 Xiangfan Investment 10.00 2018-5-19 92.00 100.50 100.85 87.00 65125.90

122898 10 Pan National Investment 6.00 2020-7-29 89.10 98.50 98.50 83.25 56272.14

122899 10 Yangpu 01 12.00 2017-7-28 98.00 98.32 98.32 98.00 53388.66

122900 10 Yangpu 02 3.00 2017-7-28 100.99 101.00 103.00 98.50 30742.76

122901 10 Yingkou 20.00 2020-6-9 102.30 103.01 105.75 90.00 75037.67

122902 10 Chifeng 12.00 2017-5-18 92.06 100.20 101.00 90.12 132950.84

122903 10 Yancheng East 10.00 2017-6-8 92.51 98.00 99.50 90.00 22361.41

122904 10 Great Wall Investment 20.00 2020-5-24 0.00 100.95 0.00 0.00 36174.00

122905 10 Nanchang 12.00 2017-4-30 97.98 101.50 105.00 91.00 80273.27

122906 10 Wuhu Investment 01 14.00 2017-7-22 87.02 97.10 99.50 87.02 7072.02

122907 10 Wuhu Investment 02 6.00 2017-7-22 97.50 99.80 110.00 90.00 80057.41


122909 10 Yixing 15.00 2016-5-20 97.10 101.00 106.00 91.02 71739.40

122910 10 Luohe 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 94.00 103.40 105.00 94.00 215012.93

12291210 Hubei State-owned Captial

28.00 2020-5-11 100.40 103.00 105.00 100.40 42763.52

12291310 Nantong Industries Holding

8.00 2016-5-18 98.50 100.00 100.20 98.50 21237.05

122914 09 Fujian Building 10.00 2016-12-16 103.00 103.00 103.00 103.00 66629.10

Bond Market

2013 Fact Book 172


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12291510 Zhenjiang Water Conservancy Investment

20.00 2017-5-6 90.50 98.70 99.80 89.02 53698.17

122916 10 Honggutan 8.00 2017-3-9 95.25 103.30 105.00 91.80 86971.23

122917 10 Taicang Port 6.00 2020-1-21 100.42 103.50 110.00 100.01 16425.55

122918 10 Fuyang 10.00 2016-3-9 99.00 101.33 103.00 95.02 178797.09

122919 10 Shandong Commercial 7.00 2017-3-11 98.30 102.50 102.50 98.30 7140.36

122920 10 Huangshan 6.00 2017-2-9 94.69 102.15 103.00 92.53 97814.31

122921 10 Chenzhou 20.00 2017-1-21 98.12 104.00 104.98 95.50 413587.46

12292210 Changsha Advanced Technology

20.00 2017-1-25 97.50 101.30 103.00 93.02 58606.02

122923 10 Beijing Auto Investment 15.00 2017-1-29 98.00 101.10 101.10 98.00 138686.79

122924 10 Chaohu 12.00 2017-1-28 99.00 102.80 103.30 95.63 127736.74

12292509 Shenyang State-owned Capital

12.00 2016-11-27 97.80 104.70 106.70 95.80 145703.26

122926 09 Qinghai Investment 8.00 2015-12-29 98.80 101.00 103.00 91.00 46850.19

122927 09 Hainan Airlines 13.00 2019-12-24 99.99 102.00 104.20 96.00 200512.38

122928 09 Tieling 15.00 2019-12-22 95.69 101.19 107.00 94.00 92544.28

122929 09 Jiujiang 12.00 2016-12-18 95.00 103.00 103.70 95.00 47116.45

122930 09 Panjin 10.00 2016-12-16 100.00 104.98 106.50 98.00 221696.28

122931 09 Linhai 10.00 2016-11-6 99.50 105.80 106.65 98.00 141341.52

122932 09 Yicheng 12.00 2016-11-25 98.41 103.80 104.66 90.20 182982.24

122933 09 Nanshan 1 10.00 2015-10-20 108.00 104.00 108.04 97.50 161165.87

122934 09 Nanshan 2 10.00 2019-10-20 100.00 100.00 100.00 100.00 0.10

122935 09 Nantong 23.00 2016-11-13 99.00 102.80 103.10 94.01 21837.16

12293609 Hecheng Urban Investment

12.00 2016-11-17 98.47 104.67 105.40 95.60 269355.71

Bond Market

2013 Fact Book 173


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122937 10 Liaoyuan 10.00 2017-1-26 98.30 104.50 107.00 95.00 174698.59

122938 09 Fenhu 10.00 2017-10-22 98.00 103.50 103.87 92.73 24500.30

122939 09 Ji’an 15.00 2016-10-28 99.20 106.50 110.09 95.15 84295.98

12294009 Xianyang Urban Investment

17.50 2019-9-30 101.50 107.44 107.50 98.39 255448.95

122941 10 Zhenjiang City Investment 20.00 2020-12-17 99.01 102.15 108.00 92.00 127595.22

122942 09 Jiangyin 25.00 2016-9-15 105.00 101.71 105.00 92.80 30218.69

122943 09 Waigaoqiao 8.50 2014-9-4 96.50 100.40 104.99 96.50 22685.32

122944 09 Zhuzhou Urban Investment 15.00 2016-8-28 99.13 103.35 105.00 96.25 123603.30

122945 09 Yushui 8.00 2016-7-31 96.96 103.89 113.15 96.49 48466.50

12294609 Yangzhou Urban Construction

20.00 2016-7-23 100.00 101.30 102.00 96.05 60415.41

12294709 Hefei Construction Investment

20.00 2014-7-8 95.00 100.20 100.80 95.00 32300.11

122948 09 Wuxi Communications 20.00 2016-7-8 96.99 99.54 99.99 91.18 49030.53

122949 09 Changzhou Investment 20.00 2016-7-1 97.50 100.60 102.00 94.00 75825.10

122950 09 Chongqing Energy 15.00 2016-7-1 97.01 100.45 101.50 97.01 12631.96

12295109 Huainan Urban Construction

15.00 2016-6-26 95.50 99.00 102.77 91.08 136666.76

122952 09 Ganzhou 15.00 2016-6-16 97.02 101.00 101.00 97.02 26364.64

12295309 Yueyang Urban Construction

10.00 2015-4-30 96.00 101.25 101.30 96.00 45944.94

122954 09 Wujin 22.00 2016-6-9 93.00 99.00 100.00 92.20 25066.34

122955 09 Xiangtan City Construction 9.00 2015-6-1 92.60 102.78 103.00 91.76 82578.31

122956 09 Changzhou Hi-tech 15.00 2019-6-4 97.80 99.65 102.00 91.00 51434.63

12295709 Chengdu Industry Investment

15.00 2016-6-4 98.00 100.30 100.35 96.99 93185.71

12295809 Changsha Economic Development

5.80 2015-5-22 99.17 103.98 108.05 95.88 104781.16

Bond Market

2013 Fact Book 174


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122959 09 Tsinghua Holdings 10.00 2016-5-19 97.49 99.80 99.90 97.49 36279.58

122960 09 Poly Group 13.00 2014-5-7 97.70 100.20 100.50 97.70 42593.80

122961 09 Wuhan Urban Investment 15.00 2019-5-25 95.00 99.10 99.90 90.01 30439.87

122962 09 Nanjing Communications 10.00 2016-5-7 95.00 100.04 115.00 89.50 62824.61

122963 09 Zhangjiang 8.00 2012-6-10 99.50 99.98 100.75 90.91 37078.48

122964 09 Longhu 14.00 2016-5-5 97.50 103.90 104.00 96.00 344407.49

122965 09 Weifang Investment 7.00 2019-4-15 95.00 101.38 104.90 94.35 99151.41

122966 09 Dianchi Investment 8.00 2015-4-27 92.98 100.41 108.40 90.90 62522.39

122967 09 Fujian Zhanglong 10.00 2015-4-24 97.70 100.90 101.48 90.80 112314.41

12296809 Hangzhou Urban Investment

22.00 2015-4-14 99.45 100.00 100.10 99.00 86209.34

122969 09 Henan Investment 15.00 2019-4-15 80.00 99.00 99.24 80.00 8989.38

122970 09 Three Gorges 01 70.00 2014-4-8 96.68 99.00 99.91 96.68 22420.89

122971 09 Three Gorges 02 30.00 2016-4-8 90.00 99.00 99.50 85.37 1.32

122972 09 Mianyang Investment 15.00 2016-4-8 99.60 101.10 101.10 95.20 58337.24

122973 09 Kunshan Chuangye 20.00 2016-3-30 90.99 98.60 98.89 90.21 40600.62

12297409 Zhengjiang City Construction

10.00 2015-3-30 97.00 101.20 103.00 96.01 181531.13

122975 09 Jinan Urban Construction 15.00 2019-3-26 90.00 98.20 99.99 75.80 6519.67

12297609 Yongcheng Coal & Electricity

13.00 2015-3-30 99.80 100.65 102.15 92.82 175702.59

122977 09 Bailian 10.00 2012-3-26 101.00 99.98 102.00 99.28 39123.66

12297809 Tianjin Jinbin Development 1

15.00 2012-3-25 99.68 100.00 100.80 97.73 8396.70


20.00 2014-3-25 97.00 98.90 99.15 90.01 21186.88


25.00 2016-3-25 97.50 98.00 99.80 90.00 2978.88

Bond Market

2013 Fact Book 175


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12298109 Tongling Urban Construction

5.00 2015-3-10 95.21 101.90 103.26 91.00 50613.50

12298209 Changchun Urban Development

12.00 2016-3-9 96.15 101.70 110.00 89.73 46960.26

122983 09 Nanjing Iron & Steel 25.00 2016-2-27 97.50 101.00 102.01 95.99 94461.29

122984 09 Lu’an Urban Construction 15.00 2016-3-2 97.40 104.20 109.00 96.00 178995.27

122985 09 Zhejiang Provincial Energy 47.00 2014-2-23 98.20 99.40 100.10 90.00 29417.43

122986 09 Chunhua 10.00 2016-2-11 99.99 101.51 102.50 95.60 29565.82

122987 08 Yunnan Coal Chemical 15.00 2013-12-19 99.87 99.87 99.87 99.87 0.30

122988 08 Chongqing Yulong 10.00 2016-1-15 95.92 104.00 105.00 95.92 65041.26

12298908 Chongqing Communication

15.00 2015-12-10 96.00 100.80 102.98 87.28 14469.03

122991 08 Hainan Airlines 15.00 2014-12-25 99.35 102.00 104.00 90.00 76204.78


122993 08 Wuyang Iron & Steel 6.00 2013-11-13 98.50 101.20 102.58 90.40 7640.70

122994 08 Yunnan Investment 15.00 2013-10-22 94.11 100.25 105.00 94.10 89815.42

12299508 Hefei Construction Investment

17.00 2018-8-28 99.28 102.00 103.66 89.99 79018.60

12299608 Changzhou Urban Construction

25.00 2015-9-24 97.00 102.00 103.00 87.69 321284.28

122997 08 Suzhou Hi-Tech 4.00 2013-10-9 101.00 101.29 105.00 95.60 71118.78

122998 04 Nanjing Tanker Suspended 10.00 2014-5-26 98.49 99.00 99.52 90.50 245.42

12299908 Guangzhou Paper Suspended

3.90 2018-3-13 0.00 102.29 0.00 0.00 0.00

123000 09 Yihua 10.00 2014-10-26 100.80 95.33 100.00 95.33 333337.00

123001 09 Shanghai Ace 2.50 2014-11-17 99.98 100.00 100.20 100.00 27505.00

123002 09 Donghua 3.00 2015-12-28 99.00 100.00 100.00 100.00 37600.00

123003 09 Rebecca 3.00 2015-12-28 99.36 99.95 100.17 99.95 48023.00

Bond Market

2013 Fact Book 176


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


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 99.92 99.97 100.00 99.97 2000.00

123006 10 Wuhan Hi-tech 5.00 2020-5-24 100.00 100.00 0.00 0.00 0.00

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 2014-11-16 100.00 99.63 100.06 99.63 41980.00

123485 12 Life Insurance 02 100.00 2022-11-5 100.00 100.00 0.00 0.00 0.00

123486 12 Xinhua Bond 100.00 2022-7-18 100.00 100.00 0.00 0.00 0.00

123487 12 Life Insurance 01 280.00 2022-6-29 100.00 100.00 0.00 0.00 0.00

123488 12 Ping’an Bond 90.00 2022-5-30 100.00 100.00 0.00 0.00 0.00

123489 11 Xinhua Bond 50.00 2021-9-29 100.00 100.00 0.00 0.00 0.00

123490 11 BOC Bond 14.00 2021-10-28 100.00 100.00 0.00 0.00 0.00

123491 11 Ping’an Bond 40.00 2021-9-29 100.00 100.00 0.00 0.00 0.00

123492 11 Life Insurance Bond 300.00 2021-10-26 100.00 100.00 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 98.10 100.00 100.00 98.12 19112.00

123496 10 Taikang 1 10.00 2020-9-16 98.15 98.15 0.00 0.00 0.00

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

124000 12 Feng Investment 10.00 2019-9-24 99.71 102.00 102.29 95.00 6045.06

124002 12 Menggaolu 15.00 2019-11-12 99.00 109.00 109.00 99.00 2981.19

Bond Market

2013 Fact Book 177


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124008 12 Guo’ao Investment 4.00 2018-10-29 0.00 100.00 0.00 0.00 6991.20

124009 12 Chongqing Huinong 10.00 2019-9-6 0.00 100.00 0.00 0.00 0.00

124010 12 Jiguozi 12.00 2019-11-8 102.00 101.62 102.20 101.59 14934.52

124014 12 Zhuzhutou 16.00 2019-11-6 0.00 100.00 0.00 0.00 0.00

124018 12 Changjingtou 5.00 2020-10-30 0.00 100.00 0.00 0.00 0.00

124020 12 Liaochengjing 15.00 2019-11-13 99.60 100.21 100.55 99.60 7003.31

124025 12 Chichengtou 9.00 2019-10-17 101.30 101.45 101.45 101.30 3331.28

124029 12 Yuchengtou 8.00 2019-11-26 0.00 100.00 0.00 0.00 0.00

124036 12 Zhangjingkai 10.00 2019-11-16 0.00 100.00 0.00 0.00 0.00

124042 12 Elvtou 8.00 2019-10-29 0.00 100.00 0.00 0.00 0.00

124050 12 Yuchengtou 15.00 2018-12-4 0.00 100.00 0.00 0.00 0.00

124060 12 Zhutouzi 13.00 2019-11-26 0.00 100.00 0.00 0.00 0.00

124074 12 Zhanggongjing 12.00 2019-11-27 0.00 100.00 0.00 0.00 0.00

125000 12 Sudumo 0.50 2014-6-8 100.00 100.00 100.00 98.92 24486.00

125001 12 Baimu Bond 0.20 2013-12-11 100.00 99.57 100.00 98.15 4595.00

125002 12 Ningshuiwu 2.00 2014-6-11 100.00 98.86 100.00 98.85 50933.00

125003 12 Qiansiqiao 1.00 2014-6-11 100.00 99.92 100.00 99.78 24985.00

125004 12 Xinning Bond 1.00 2014-6-12 100.00 100.00 100.01 99.91 21499.00

125005 12 Tongjie 01 1.00 2015-6-12 100.00 96.14 100.01 96.14 20960.00

125006 12 Fandeng Bond 1.00 2015-6-12 100.00 100.01 100.01 99.88 10999.00

125007 12 Tianke Bond 1.00 2015-6-12 100.00 100.01 100.01 98.67 23982.00

125008 12 Xinli Bond 1.00 2014-6-18 100.00 99.99 100.00 99.99 2000.00

Bond Market

2013 Fact Book 178


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


125009 12 Taizilong 1.00 2015-6-19 100.00 100.00 100.02 99.94 14999.00

125010 12 Dafeng Port 1.00 2013-6-27 100.00 100.00 99.97 99.97 7998.00

125011 12 Youbisheng 0.25 2014-6-29 100.00 100.00 0.00 0.00 0.00

125012 12 Jintai 01 0.15 2015-7-10 100.00 100.00 0.00 0.00 0.00

125013 12 Jintai 02 0.15 2015-7-10 100.00 100.00 0.00 0.00 0.00

125014 12 Fuxin Bond 1.00 2014-7-13 100.00 100.00 0.00 0.00 0.00

125015 12 Tianwai Bond 2.00 2015-7-18 100.00 100.00 100.26 98.58 11275.00

125016 12 Jiangnan Bond 0.50 2014-7-20 100.00 100.16 100.16 98.78 6479.00

125017 12 Zhongrui Bond 0.50 2014-8-1 100.00 100.00 0.00 0.00 0.00

125019 12 Ningbo Green Energy 2.00 2014-8-10 100.00 100.00 0.00 0.00 0.00

125020 12 Wuguang Bond 2.00 2015-8-15 100.00 100.00 0.00 0.00 0.00

125021 12 Tongli Bond 1.00 2014-8-6 100.00 100.00 100.00 100.00 3000.00

125022 12 Wuzhou Bond 0.80 2015-8-2 100.00 99.98 100.00 99.98 2400.00

125023 12 Yarun Bond 0.30 2014-8-28 100.00 100.00 0.00 0.00 0.00

125024 12 Xingmei Bond 2.00 2015-8-28 100.00 100.00 100.02 100.00 20000.00

125025 12 Caohu Bond 1.50 2014-8-29 100.00 100.02 100.02 99.48 5992.00

125026 12 Jinhao Bond 0.20 2014-9-14 100.00 100.00 100.00 99.73 799.00

125027 12 Yancheng Bond 2.00 2015-9-21 100.00 99.93 100.02 99.81 17991.00

125028 12 Tiwin 01 1.40 2015-9-27 100.00 98.81 100.00 98.81 16517.00

125029 12 Ruguzhuang 1.00 2015-10-10 100.00 100.00 100.02 99.69 6992.00

125030 12 Xiyoufa 1.00 2015-10-10 100.00 100.00 100.02 99.80 6996.00

125031 12 Caohu 02 0.50 2014-8-29 100.00 100.00 100.00 99.45 2887.00

Bond Market

2013 Fact Book 179


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


125032 12 Hangyiqi 2.00 2014-10-15 100.00 99.31 99.31 99.25 5956.00

125033 12 Jinjiantou 2.00 2015-10-16 100.00 100.00 100.03 99.94 54298.00

125034 12 Dongganggou 2.00 2014-10-22 100.00 99.72 99.80 99.67 7977.00

125035 12 Hushangyue 0.70 2015-10-18 100.00 99.71 100.00 99.71 3692.00

125036 12 Sudongsheng 0.60 2014-11-6 100.00 99.95 100.00 99.94 8397.00

125037 12 Hua’anda 0.20 2014-11-9 100.00 100.00 0.00 0.00 0.00

125038 12 Beijing Elite 1.00 2015-10-31 100.00 99.95 99.95 99.95 1000.00

125039 12 Shanghai Benteng 1.50 2015-10-19 100.00 100.00 0.00 0.00 0.00

125040 12 Tianjie 01 0.30 2013-11-5 100.00 99.44 99.44 99.44 1492.00

125041 12 Tianjie 02 0.50 2014-11-5 100.00 99.73 99.73 99.36 4482.00

125043 12 NDT 0.23 2014-5-14 100.00 100.00 0.00 0.00 0.00

125044 12 Tiwin 02 1.40 2015-11-15 100.00 100.00 100.00 100.00 2800.00

125047 12 Golden Spring 0.25 2014-11-16 100.00 100.00 0.00 0.00 0.00

125048 12 Sufeizuan 1.00 2014-11-26 100.00 100.00 0.00 0.00 0.00

126002 06 Sinochem 12.00 2012-12-1 97.26 99.98 99.98 97.00 144705.98

126003 07 Yuntianhua 10.00 2013-1-28 96.20 99.57 99.70 93.60 58380.97

126005 07 Wuhan Steel 75.00 2012-3-25 99.06 99.93 99.95 96.70 245310.12

126006 07 Shenzhen Expressway 15.00 2013-10-9 93.80 97.78 97.78 90.10 88473.89

126007 07 Rizhao 8.80 2013-11-27 93.47 97.05 97.40 90.99 14304.93

126008 08 SAIC Motor 63.00 2013-12-19 93.19 96.99 97.36 92.33 390467.70

126009 08 Ganyue 12.00 2014-1-27 92.45 96.10 97.90 83.58 26534.13

126010 08 COSCO 10.50 2014-1-28 92.30 96.10 98.52 90.03 51947.86

Bond Market

2013 Fact Book 180


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


126011 08 Petroleum and Chemical 300.00 2014-2-20 92.09 96.00 99.31 91.90 1684018.34

126013 08 Tsingtao Brewery 15.00 2014-4-2 91.78 95.10 96.15 90.98 49688.98

126014 08 GD 39.95 2014-5-7 91.18 94.80 97.87 83.25 119519.63

126015 08 Kangmei 9.00 2014-5-8 89.49 94.00 95.10 89.00 87079.24

126016 08 Baoshan Steel 100.00 2014-6-19 91.51 95.16 99.00 89.02 458122.87

126017 08 Gezhouba 13.90 2014-6-25 90.00 94.20 99.10 86.57 120729.87

126018 08 Jiangxi Copper 68.00 2016-9-22 83.58 86.54 87.68 83.11 617324.59

126019 09 Changhong 30.00 2015-7-30 82.92 88.88 89.20 82.56 325806.37

Bond Market

2013 Fact Book 181

Monthly Bond Repo Turnover in 2012

Month Trading Value (RMB 10,000) Trading Volume (10,000 lots)

01 176715177.30 176715.18

02 265913088.80 265913.09

03 254443029.30 254443.03

04 226305638.60 226305.64

05 302771446.00 302771.45

06 307413564.40 307413.56

07 360502618.40 360504.75

08 382954299.79 382958.00

09 328858252.45 328859.36

10 325511368.30 325520.09

11 394116771.89 394125.87

12 388253381.30 388253.38

Turnover of Government Bond in Each Month of 2012

Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots)

01 715989.59 709.09

02 777608.47 771.15

03 891000.04 881.64

04 603039.18 602.05

05 1192004.55 1163.47

06 719360.21 701.33

07 976249.43 965.10

08 766014.08 750.26

09 538226.71 536.29

10 602819.67 601.46

11 733799.57 732.60

12 539517.50 537.80

Bond Market

2013 Fact Book 182

Turnover of Bond in Each Month of 2012

Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots)

01 181561967.80 181584.83

02 272625336.77 272683.39

03 261223955.37 261236.05

04 231062194.95 231052.45

05 311177328.12 311079.47

06 314887185.69 314780.53

07 367909685.14 367779.99

08 389163994.40 389082.53

09 334312013.57 334327.12

10 331263814.73 331233.10

11 401949848.92 401855.49

12 401051202.89 400867.31

Bond Market

2013 Fact Book 183

List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2012

Name of Stock Hengfeng PaperChina Shipbuilding Industry

Nanshan Aluminum

Tongrentang

Code of Stock 600356 601989 600219 600085

Abbr. for Subscription of CCB Hengfeng Paper CSICNanshan Aluminum

Tongrentang

Code for Subscription of CCB 733356 783989 733219 733085

Region Heilongjiang Beijing Shandong Beijing

Issuance Scale (RMB 100m) 4.5 80.5015 60 12.05

Issuance Volume ( 10K lots) 45 805.015 600 120.5

Quotation for Subscription (RMB/ stock)

100 100 100 100

Issuance MethodPriority Placement, Online Pricing and Offline Placement

Priority Placement, Online Pricing and Offline Placement



Issuance Date ( T day)/ Value Date

2012-03-23 2012-06-04 2012-10-16 2012-12-04

Maturity (Year) 5 6 6 5

Maturity Date (M/D) 2017-03-23 2018-06-04 2018-10-16 2017-12-04

Listing Code 110019.SH 113003.SH 110020.SH 110022.SH

Abbr. for ListingHengfeng Paper Convertible Bond

CSIC Convertible BondNanshan Aluminum Convertible Bond

Tongrentang Convertible Bond

Listing Date (L Day) 2012-04-12 2012-06-18 2012-10-31 2012-12-18

(Commencing Date for CCB) 2012-09-24 2012-12-05 2013-04-17 2013-06-05

Initial price for CCB 6.88 6.05 6.92 17.72

Funds

2013 Fact Book 187

Funds

Overview of the Fund Market in 2012

The fund market of the Shanghai Stock Exchange was launched in 1998. Its history of development has covered

three phases:

1. Initial phase (1998-2004). In March, 1998, the two funds Jintai and Kaiyuan got issued on the Shanghai Stock

Exchange and the Shenzhen Stock Exchange, ushering in a new chapter in the development of China's securities

investment funds. After about two years of rapid development, the securities market underwent perpetual sluggish

growth, characterized by relatively low discount rate of funds, and lack of transparency in operation. For such reasons,

the issuance of closed-end funds became stagnant.

2. Consolidating phase (2005-2008). In 2005, the Shanghai Stock Exchange launched the first domestic ETF

product (SSE 50ETF). It was well-received in the market for its combination of advantages of both closed-end funds and

open-end funds,

After continuous study of the business mechanism of ETF and intensive campaign of investor education, SSE 180

ETF and SSE Dividend ETF were launched. At the same time, the SSE launched its Open-ended Fund Trading System

to provide venue for the subscription and redemption of open-end funds, bringing a growing number of fund listing and

redemption.

3. Rapid development phase (2009 - present). With initial preparation, the Exchange fund market dominated

by ETFs gained speed in its development in 2009. The number of ETF new listings was growing by 100% for three

consecutive years. The trading volume also grew dramatically. The SSE was also innovative in expanding its product

offering. It launched the first domestic Themed ETF, Sector ETF and Style ETF. Single market equity ETF was taking initial

shape.

In 2012, with deregulation and strengthened supervision as well as innovation advocated by the China Securities

Regulatory Commission, the SSE made great breakthroughs in the innovation of ETFs. At the same time, progress was

also being made in enhancing the development and service of funds, improving the trading mechanism of funds and

strengthening risk control, ushering in a period of comprehensive innovative development.

Breakthroughs in Product Innovation

The SSE listed its first cross-market ETF (CSI 300ETF), raising RMB 33 billion worth of capital, making it the largest

ETF in China’s Exchange market. In October, the first cross-border ETF (Hang Seng H-Share ETF) got listed on the SSE.

The H-Share ETF and its underlying funds raised RMB 4.855 billion in capital. China's first subscription-redemption

monetary market fund was issued in December.

Six ETFs got listed on the SSE in 2012. As of the end of December, 29 ETFs were listed on the SSE, with an NAV

of RMB 69.495 billion and an annual turnover value of RMB 302.659 billion. This registered a growth rate of 26% over

2011 in the number of ETFs, 69% in market value, and 8% in turnover value.

As of the end of 2012, 12 closed-end funds were listed, with 29.75 billion units tradable, and an annual turnover

value of RMB 13.122 billion.

67 funds have been listed in the SSE Open-end Fund Trading System, eight issued on the Exchange market, raising

RMB 2.93 billion in capital. 3.46 billion units of funds were subscribed for via the system during the year, and 4.178

billion redeemed.

Funds

2013 Fact Book 188

Making the Licensing Of Fund Development More Transparent and Market-Oriented

In response to the call of the CSRC to reduce administrative approval and make the public better informed, the SSE

released its Guidelines for Fund Development and Innovation Service, establishing an open, transparent and market-

oriented mechanism for product development and service.

Licensing for developing the first batch of key market indices was immediately started upon the release of the

guidelines. To be open, fair and just, No Objection Letter for developing 13 key index products was issued. No Objection

Letters for developing 38 conventional products and 36 innovative products were issued.

The SSE is taken as a major platform for the development and innovation of Exchange-traded products by fund

management companies, invigorating the development of the fund market.

Introducing Market Making and Improving Corresponding Mechanisms

With in-depth research and demonstration, the SSE released the business guidelines for the mobile service for its

ETFs upon the launch of its first cross-market ETF and announced the first ten CSI 300 ETF market makers. According

to statistics, the combined trading volume of the four most prominent market makers accounted for 20% of the total

of CSI 300ETF from June to September, 2012, 84% of total reporting. This has made the product more liquid. Market

making has also been introduced to Hang Seng H-Share ETF, Mid-Cap ETF, etc.

Optimizing Operation Mechanism of ETF and Ensure Secure Operation

The SSE has launched five measures to optimize the operation covering product and service innovation. They are

targeted at the risky weaknesses in the ETF business of fund companies.

1. The SSE has revised Guidelines for Technical Laboratory Testing of Fund Manager ETF, improving ways of testing;

2. Extending the period for transmitting ETF redemption list, enabling the electronic transmission of information

source for trading suspension and resumption, and facilitating the production and transmission of redemption list for

fund companies;

3. Examining the list of define files transmitted by fund companies, and reducing the risk of error;

4. Upgrading the uploading system, strengthening the examination of ETF define files, and ensuring the safe trading

of ETFs;

5. Optimizing ETF online cash issuing mechanism, enabling the simultaneous issuance of several ETF products, and

ensuring the issuance of funds.

These initiatives have improved the market operation of ETF, facilitated the work of fund managers and made ETF

management more efficient. In the meantime, market risks can be prevented and controlled, and investors protected.

Funds

2013 Fact Book 189

Summary of Funds in 2012

CodeShort Name

Size of Issuance(10,000 units)

High(RMB)

Low(RMB)

Opening(RMB)

Closing(RMB)

Change(%)

Turnover Volume(10,000 units)

Turnover Value(RMB10,000)

500001 Jintai Fund 200000.00 0.919 0.783 0.830 0.899 8.84 140794.70 123609.43

500002 Taihe Fund 200000.00 0.942 0.766 0.790 0.941 20.80 116282.56 98799.82

500003 Anxin Fund 200000.00 0.910 0.810 0.819 0.900 10.29 97849.15 84199.63

500005 Hansheng Fund 200000.00 1.019 0.888 0.925 0.993 11.44 64469.51 61340.23

500006 Yuyang Fund 200000.00 0.819 0.699 0.758 0.804 6.35 132729.81 103595.29

500008 Xinghua Fund 200000.00 0.887 0.788 0.823 0.885 7.80 66082.69 56021.03

500009 Anshun Fund 300000.00 0.915 0.824 0.851 0.913 8.30 159854.64 138829.64

500011 Jinxin Fund 300000.00 0.898 0.750 0.803 0.893 11.76 261192.57 212386.91

500015 Hanxing Fund 300000.00 0.842 0.724 0.746 0.809 7.87 125125.17 97198.12

500018 Xinghe Fund 300000.00 0.871 0.738 0.817 0.828 1.35 111269.55 89391.13

500038 Tongqian Fund 200000.00 0.928 0.754 0.842 0.853 1.43 140497.75 118322.47

500056 Kerui Fund 300000.00 0.813 0.682 0.764 0.757 -0.26 143026.98 107935.61

500058 Yinfeng Fund 300000.00 0.788 0.605 0.747 0.673 -12.14 216311.28 153636.61

510010 Governance ETF 444952.44 0.690 0.556 0.601 0.681 13.50 99262.74 61227.84

510020 Chaoda ETF 58534.80 1.945 0.162 0.167 1.944 1071.08 395097.76 80780.95

510030 Value ETF 48402.87 2.531 2.009 2.195 2.526 17.60 56009.45 126101.37

510050 50ETF 1113456.68 1.886 1.528 1.641 1.854 17.16 6936211.18 11988437.87

510060 SOEs ETF 60795.92 1.187 0.974 1.058 1.165 10.11 36630.53 40229.04

510070Private Enterprise ETF

32912.41 1.070 0.814 0.920 0.988 7.04 18409.63 17611.94

510090 Liability ETF 45558.11 0.947 0.653 0.770 0.876 14.36 3435.15 2808.89

Funds

2013 Fact Book 190

CodeShort Name

Size of Issuance(10,000 units)

High(RMB)

Low(RMB)

Opening(RMB)

Closing(RMB)

Change(%)

Turnover Volume(10,000 units)

Turnover Value(RMB10,000)

510110 Cycle ETF 13921.68 2.369 1.868 1.975 2.326 18.13 25384.11 53145.33

510120 Non-cycle ETF 17099.24 1.936 1.401 1.714 1.704 0.00 5824.33 10205.54

510130 Mid-caps ETF 46908.51 2.556 1.900 2.188 2.254 4.01 17670.26 39863.28

510150 Consumer ETF 55353.16 2.580 2.052 2.268 2.391 6.27 13021.22 31229.30

510160 Well-off ETF 86605.74 0.374 0.290 0.329 0.346 6.14 46388.73 15608.01

510170 Commodity ETF 53922.87 2.666 1.840 2.122 2.210 4.54 336373.39 800677.96

510180 180ETF 1722222.67 0.583 0.460 0.507 0.555 12.41 10345767.17 5486316.69

510190 Longtou ETF 34065.08 2.350 1.895 2.041 2.338 16.90 7608.70 16050.74

510210Composite Index ETF

17913.85 2.726 1.918 2.279 2.386 7.24 3612.86 8120.57

510220Small-medium ETF

4322.92 2.870 1.900 2.426 2.397 -0.54 3321.17 8141.35

510230 Finance ETF 26926.16 3.391 2.602 2.784 3.387 22.01 56528.57 167479.01

510260 Emerging ETF 87648.27 0.828 0.538 0.700 0.654 -3.82 47490.10 33871.43

510270 SOEs ETF 15483.21 0.794 0.611 0.676 0.764 10.89 27906.62 20052.90

510280 Growth ETF 38975.44 1.026 0.800 0.883 1.003 13.59 16819.29 16201.26

510290 380ETF 20844.89 0.994 0.652 0.812 0.805 -0.49 11654.17 9739.65

510300 300ETF 890958.77 2.661 2.138 2.551 2.524 0.00 4428824.93 10456927.09

510410 Resource ETF 40425.84 1.036 0.745 1.020 0.892 0.00 158752.92 147711.37

510420 180EWETF 61945.55 1.001 0.835 0.995 1.000 0.00 139747.86 133742.43

510430 50 Equal Weight 117992.45 1.133 0.938 0.985 1.133 0.00 108115.29 108845.77

510440 500 Shanghai 54105.83 1.050 0.841 1.005 1.023 0.00 50624.03 51020.63

510880 Dividend ETF 85317.57 2.000 1.637 1.787 1.900 9.43 118533.46 216732.08

510900 H-share ETF 201602.19 1.069 0.957 0.981 1.059 0.00 116796.29 117008.52

Members

Members

2013 Fact Book 193

Members and Non-member Institutions

Overview of Members

At the end of 2012, the SSE had 111 members, with China Securities Finance Corporation Limited and Citi Orient

Securities Company Ltd as new members in 2012, 5286 member business departments, growing by 283 in 2012,

and 5363 trading seats held by both member and non-member institutions. 8378 trading units were open for business,

an increase of 919 from 2011.

Registered capital

36 members had registered capital of less than RMB 1 billion, 35 members had registered capital of between

RMB 1 billion and RMB 2 billion, 18 members had registered capital of between RMB 2 billion and RMB 3 billion, 9

members had registered capital of between RMB 3 billion and RMB 5 billion and 13 members over RMB 5 billion.

Listing

19 members are listed, 11 of them on the SSE.

Overview of Non-member Institutions

Non-member institutions include fund management companies, insurance companies, insurance capital management

companies, and listed commercial banks which conduct business with the SSE. As of the end of 2012, there were 73

such fund management companies, 22 insurance companies, 11 insurance capital management companies, and 16

listed commercial banks.

Member's Required Qualifications

a. a securities firm possessing 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;

e. Other qualifications specified by the Exchange.

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

Members

2013 Fact Book 194

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

In 2012, stress had been put on developing the business of members, self-regulation and institutional service, as is

evident on the following fronts. First, encourage the innovative business of members. Revise innovation business rules,

streamline business procedures, expand the agreed repo of securities and the pilot collateralized quotation repo of

bond, and enhance the members’ capital brokering ability. Second, strengthen the self-regulation of members. Based on

membership management and technical risk prevention, facilitate the business of members in compliance with laws and

regulations. Strengthen the self-regulation of members in trading authorization, business scale, customer management,

and technology management. Strengthen the regulation on innovative business and guard against the risks of innovative

business by members. Third, broaden the offering of institutional service. Optimize and streamline the membership

business processes, improve work efficiency, diversify training content, innovate forms of training, and provide better

training for market participants.

Members

2013 Fact Book 195

Geographical Distribution of SSE Members and Their Business Branches in 2012

RegionNumberOf Members

Numberof Business Branches

Turnover Value(RMB 1 million)

Percentage(%)

Anhui 2 158 1013954.11 1.00

Beijing 20 265 15299852.28 15.11

Fujian 3 237 3562303.48 3.52

Gansu 1 63 226367.57 0.22

Guangdong 23 703 19313198.62 19.07

Guangxi 1 98 676702.89 0.67

Guizhou 1 48 231672.08 0.23

Hainan 2 40 386062.76 0.38

Hebei 1 165 779122.74 0.77

Henan 1 145 1114661.42 1.10

Heilongjiang 1 121 2462290.92 2.43

Hubei 2 190 2655214.75 2.62

Hunan 3 177 1155116.84 1.14

Jilin 2 96 447677.51 0.44

Jiangsu 6 363 5928594.53 5.85

Jiangxi 2 117 1334189.73 1.32

Liaoning 3 215 1920860.94 1.90

Inner Mongolia 2 61 368859.45 0.36

Ningxia 0 23 62836.35 0.06

Qinghai 1 13 26959.05 0.03

Shandong 2 280 2516283.87 2.48

Shanxi 2 122 577423.35 0.57

Shaanxi 3 119 809663.61 0.80

Shanghai 15 489 27136861.50 26.79

Sichuan 4 219 2083761.03 2.06

Tianjin 1 103 930262.79 0.92

Tibet 1 5 7401.13 0.01

Xinjiang 1 62 395332.71 0.39

Yunnan 2 74 641229.57 0.63

Zhejiang 3 381 6365190.23 6.28

Chongqing 1 111 850693.56 0.84

Members

2013 Fact Book 196

Membership (1990-2012)

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 112

2012 112

Members

2013 Fact Book 197

74 Members with Margin Trading and Short Selling Business

Name Margin Trading Short Selling

1 Essence Securities Co., Ltd. Y Y

2 Bohai Securities Co., Ltd Y Y

3 Caida Securities Co., Ltd. Y Y

4 Fortune Securities Co., Ltd Y Y

5 Caitong Securities Brokerage Co., Ltd Y Y

6 Great Wall Securities Co., Ltd. Y Y

7 Changjiang Securities Co., Ltd. Y Y

8 Daton Securities Co., Ltd. Y Y

9 Tebon Securities Co., Ltd. Y Y

10 First Capital Securities Co., Ltd Y Y

11 Northeast Securities Co., Ltd. Y Y

12 Orient Securities Co., Ltd. Y Y

13 Soochow Securities Co., Ltd. Y Y

14 Dongxing Securities Co., Ltd. Y Y

15 Dongguan Securities Co., Ltd. Y Y

16 Founder Securities Co., Ltd. Y Y

17 Everbright Securities Co., Ltd. Y Y

18 Gf Securities Co., Ltd. Y Y

19 Guangzhou Securities Co., Ltd. Y Y

20 Guodu Securities Co., Ltd. Y Y

21 Sealand Securities Co., Ltd. Y Y

22 Sinolink Securities Co., Ltd Y Y

23 Guolian Securities Co., Ltd. Y Y

24 Golden Sun Securities Co., Ltd. Y Y

Members

2013 Fact Book 198


25 Guotai Junan Securities Co., Ltd. Y Y

26 Guosen Securities Co., Ltd. Y Y

27 Guoyuan Securities Co., Ltd Y Y

28 Haitong Securities Co., Ltd. Y Y

29 Hengtai Securities Co., Ltd. Y Y

30 Hong Yuan Securities Co., Ltd. Y Y

31 Hongta Securities Co., Ltd. Y Y

32 Huaan Securities Co., Ltd. Y Y

33 Hwabao Securities Co., Ltd. Y Y

34 HuaChuang Securities Co., Ltd. Y Y

35 GF Huafu Securities Co., Ltd. Y Y

36 China Dragon Securities Co., Ltd. Y Y

37 Huarong Securities Co., Ltd. Y Y

38 Huatai Securities Co., Ltd. Y Y

39 West China Securities Co., Ltd Y Y

40 China Fortune Securities Co., Ltd Y Y

41 Jianghai Securities Co., Ltd Y Y

42 Goldstate Securities Co., Ltd. Y Y

43 Kaiyuan Securities Co., Ltd. Y Y

44 Minsheng Securities Co., Ltd. Y Y

45 Nanjing Securities Co., Ltd. Y Y

46 Ping An Securities Co., Ltd. Y Y

47 Shandong Qilu Securities Co., Ltd. Y Y

48 Rising Securities Co., Ltd. Y Y

49 Shanxi Securities Co., Ltd. Y Y

50 Shanghai Securities Co., Ltd. Y Y

51 Shenyin & Wanguo Securities Co. Ltd Y Y

Members

2013 Fact Book 199


52 Capital Securities Co. Ltd Y Y

53 TF Securities Co. Ltd Y Y

54 Western Securities Y Y

55 Southwest Securities Co., Ltd. Y Y

56 Xiangcai Securities Co., Ltd. Y Y

57 New Times Securities Co., Ltd. Y Y

58 Cinda Securities Co., Ltd. Y Y

59 Industrial Securities Co., Ltd. Y Y

60 Yintai Securities Co., Ltd Y Y

61 China Merchants Securities Co., Ltd. Y Y

62 Zhejiang Merchants Securities Co., Ltd. Y Y

63 China International Capital Co., Ltd. Y Y

64 China Minzu Securities Co., Ltd. Y Y

65 China Galaxy Securities Co., Ltd. Y Y

66 China Investment Securities Co., Ltd. Y Y

67 AVIC Securities Co., Ltd Y Y

68 Zhongshan Securities Co., Ltd Y Y

69 China Securities Co., Ltd Y Y

70 CITIC Wantong Securities Co., Ltd. Y Y

71 CITIC-Kington Securities Co., Ltd. Y Y

72 CITIC Securities Co., Ltd. Y Y

73 BOC International (China) Ltd. Y Y

74 Central China Securities Co., Ltd. Y Y

Members

2013 Fact Book 200

52 Members with Re-lending Business

Name Re-lending

1 Essence Securities Co., Ltd. Y

2 Great Wall Securities Co., Ltd. Y

3 Changjiang Securities Co., Ltd. Y

4 Tebon Securities Co., Ltd. Y

5 Northeast Securities Co., Ltd. Y

6 Orient Securities Co., Ltd. Y

7 Soochow Securities Co., Ltd. Y

8 Dongxing Securities Co., Ltd. Y

9 Dongguan Securities Co., Ltd. Y

10 Founder Securities Co., Ltd. Y

11 Everbright Securities Co., Ltd. Y

12 Gf Securities Co., Ltd. Y

13 Guodu Securities Co., Ltd. Y

14 Sealand Securities Co., Ltd. Y

15 Sinolink Securities Co., Ltd Y

16 Guolian Securities Co., Ltd. Y

17 Guotai Junan Securities Co., Ltd. Y

18 Guosen Securities Co., Ltd. Y

19 Guoyuan Securities Co., Ltd Y

20 Haitong Securities Co., Ltd. Y

21 Hong Yuan Securities Co., Ltd. Y

22 Huaan Securities Co., Ltd. Y

23 HuaChuang Securities Co., Ltd. Y

24 GF Huafu Securities Co., Ltd. Y

25 China Dragon Securities Co., Ltd. Y

Members

2013 Fact Book 201

Name Re-lending

26 Huarong Securities Co., Ltd. Y

27 Huatai Securities Co., Ltd. Y

28 Jianghai Securities Co., Ltd Y

29 Goldstate Securities Co., Ltd. Y

30 Ping An Securities Co., Ltd. Y

31 Shandong Qilu Securities Co., Ltd. Y

32 Rising Securities Co., Ltd Y

33 Shanxi Securities Co., Ltd. Y

34 Shanghai Securities Co., Ltd. Y

35 Shenyin & Wanguo Securities Co. Ltd Y

36 TF Securities Co. Ltd Y

37 Southwest Securities Co., Ltd. Y

38 Xiangcai Securities Co., Ltd. Y

39 New Times Securities Co., Ltd. Y

40 Industrial Securities Co., Ltd. Y

41 Yintai Securities Co., Ltd Y

42 China Merchants Securities Co., Ltd. Y

43 Zhejiang Merchants Securities Co., Ltd. Y

44 China International Capital Co., Ltd. Y

45 China Minzu Securities Co., Ltd. Y

46 China Galaxy Securities Co., Ltd. Y

47 China Investment Securities Co., Ltd. Y

48 China Securities Co., Ltd Y

49 CITIC Wantong Securities Co., Ltd. Y

50 CITIC-Kington Securities Co., Ltd. Y

51 CITIC Securities Co., Ltd. Y

52 BOC International (China) Ltd. Y

Members

2013 Fact Book 202

Top 50 Members by Turnover in 2012

Rank NameTotal Turnover(RMB 1 million)

Equity (RMB 1 million)

T-bond Spot (RMB 1 million)

T-bond Repo (RMB 1 million)

1 Guotai Junan Securities Co., Ltd. 7411198.77 1563805.61 13936.66 4819337.40

2 Haitong Securities Co., Ltd. 5880604.79 1500946.22 24484.85 3493434.20

3 China Galaxy Securities Co., Ltd. 5578411.79 1713793.21 2614.33 3264567.80

4 Shenyin & Wanguo Securities Co. Ltd 5350894.06 1515002.07 6301.87 3694080.10

5 Citic Securities Co., Ltd. 4983962.90 1118603.86 12550.24 3622834.70

6 China Merchants Securities Co., Ltd. 4701451.52 1292565.59 8761.19 3311213.90

7 Guosen Securities Co., Ltd. 4515546.17 1274258.22 8292.05 2020800.40

8 China Securities Co., Ltd. 4251219.45 1081774.29 6884.00 2559926.40

9 Huatai Securities Co., Ltd. 4062602.29 1697303.28 3369.95 2086283.80

10 Gf Securities Co., Ltd 4046287.01 1289630.46 3179.87 2168841.30

11 China International Capital Co., Ltd. 2937317.58 366144.18 21913.41 2408528.10

12 Everbright Securities Co., Ltd 2717501.48 978551.44 1556.91 1519270.40

13 Changjiang Securities Co., Ltd 2380666.40 573680.02 1181.69 1612117.80

14 Orient Securities Co., Ltd 2252244.67 532260.22 3733.49 1642778.30

15 Ping An Securities Co., Ltd. 2208496.09 317337.36 10326.96 1791490.90

16 Essence Securities Co., Ltd 2135256.86 714317.10 461.10 1387555.30

17 Shandong Qilu Securities Co., Ltd. 1815919.04 778121.18 2177.55 977784.70

18 Industrial Securities Co., Ltd. 1673221.42 550939.80 448.29 1082791.80

19 China Investment Securities Co., Ltd 1653024.74 790319.63 339.08 845686.50

20 Hong Yuan Securities Co., Ltd. 1220909.06 438774.36 916.25 742645.80

21 CITIC-Kington Securities Co., Ltd. 1148633.59 630667.73 116.46 480222.20

22 Founder Securities Co., Ltd. 1012812.56 569010.39 629.44 373235.00

23 Guoyuan Securities Co., Ltd. 896817.99 362564.05 384.08 517667.40

24 BOC International (China) Ltd. 802783.40 313315.46 2919.24 468252.50

Members

2013 Fact Book 203

Rank NameTotal Turnover(RMB 1 million)

Equity (RMB 1 million)

T-bond Spot (RMB 1 million)

T-bond Repo (RMB 1 million)

25 Sinolink Securities Co., Ltd. 759519.24 229903.90 343.27 522771.70

26 Great Wall Securities Co., Ltd. 749003.56 271529.29 471.20 470762.90

27 Soochow Securities Co., Ltd. 716367.13 290661.75 249.87 386186.40

28 Xiangcai Securities Co., Ltd. 710591.46 264502.73 778.78 419090.00

29 Caitong Securities Brokerage Co., Ltd 700057.53 371183.91 1178.70 322762.80

30 Shanghai Securities Co., Ltd. 673320.70 261095.18 480.28 403106.20

31 Dongxing Securities Co., Ltd. 669725.81 352653.38 191.32 302356.90

32 Guangzhou Securities Co., Ltd. 664952.00 136062.58 187.22 515059.50

33 Guolian Securities Co., Ltd. 649796.39 188767.81 207.92 453301.10

34 Zhejiang Merchants Securities Co., Ltd. 633926.13 389399.70 82.15 241031.70

35 Bohai Securities Co., Ltd. 606092.29 222041.40 351.73 374414.40

36 Northeast Securities Co ., Ltd. 555603.69 228933.76 350.14 321322.20

37 Huaan Securities Co., Ltd. 553568.54 198702.48 19.82 347756.90

38 West China Securities Co., Ltd 553285.55 326994.21 35.19 219263.00

39 Huarong Securities Co., Ltd. 533843.11 104987.91 114.57 423312.20

40 First Capital Securities Co., Ltd 519742.93 98867.44 298.83 402933.00

41 Cinda Securities Co., Ltd 515651.49 296867.16 148.47 210002.30

42 Southwest Securities Co., Ltd. 487903.22 264569.84 395.90 215895.40

43 GF Huafu Securities Co., Ltd 479690.28 260205.37 536.83 213991.30

44 Beijing Gaohua Securities Co., Ltd 478762.92 105477.56 655.23 362929.70

45 Sealand Securities Co., Ltd. 466901.51 214347.75 31.78 244979.10

46 Dongguan Securities Co., Ltd. 459412.56 213721.08 45.30 243443.60

47 Donghai Securities Co., Ltd 456791.42 228164.50 240.08 214339.10

48 Caida Securities Co., Ltd 455268.81 208602.27 56.86 240617.50

49 Minsheng Securities Co., Ltd 452715.99 199509.88 231.44 246279.40

50 Citic Wantong Securities Co., Ltd. 450482.48 207433.31 150.81 237529.70

Members

2013 Fact Book 204

Top Lead Underwriters of IPOs in 2012 (by Number of Deals Underwritten)

RankSequence Number of Lead Underwriter

Name ofLead Underwriter

Numberof Deals Underwritten

1 49 Citic Securities Co., Ltd. 7

2 88 Guosen Securities Co., Ltd. 3

3 89 Huatai United Securities Co., Ltd 3

4 500021 BOC International (China) Ltd. 2

5 501061 China Securities Co., Ltd 2

6 501281 Essence Securities Co., Ltd. 2

7 66 China International Capital Co., Ltd. 2

8 1780 Gf Securities Co., Ltd. 1

9 436 West China Securities Co., Ltd 1

10 3764 Guotai Junan Securities Co., Ltd. 1

Top Lead Underwriters of Rights Issues in 2012 (by Value of Fund Raised)

RankSequence Number of Lead Underwriter

Name ofLead Underwriter

Numberof Deals Underwritten

1 49 Citic Securities Co., Ltd. 1011450.549

2 88 Guosen Securities Co., Ltd. 437970.000

3 89 Huatai United Securities Co., Ltd 238765.000

4 500021 BOC International (China) Ltd. 233266.667

5 501061 China Securities Co., Ltd 226740.000

6 1780 Gf Securities Co., Ltd. 215000.000

7 436 West China Securities Co., Ltd 175000.000

8 3764 Guotai Junan Securities Co., Ltd. 166666.667

9 501621 Zhong De Securities Co., Ltd 159947.500

10 501601 Credit Suisse Founder Securities Co., Ltd 111100.000

Members

2013 Fact Book 205

Top 20 in Turnover Value of Margin Trading and Short Selling 2012

Rank NameValue of Buying on Margin(RMB 10,000)

Value of Short Sale(RMB 10,000)

Total(RMB 10,000)

1 Huatai Securities Co., Ltd. 7752935.06 6015654.90 13768589.96

2 Haitong Securities Co., Ltd. 7086711.46 5870430.94 12957142.40

3 Shenyin & Wanguo Securities Co. Ltd 7051006.05 1227669.99 8278676.04

4 Guotai Junan Securities Co., Ltd. 6372462.21 1521067.72 7893529.93

5 China Galaxy Securities Co., Ltd. 7218185.73 310198.00 7528383.73

6 Gf Securities Co., Ltd. 4482369.71 899456.41 5381826.12

7 CITIC Securities Co., Ltd. 3634069.54 1202704.53 4836774.07

8 China Merchants Securities Co., Ltd. 3943272.18 731750.42 4675022.60

9 Everbright Securities Co., Ltd. 2989787.80 1014106.53 4003894.33

10 CITIC-Kington Securities Co., Ltd. 3398301.42 320240.85 3718542.27

11 Guosen Securities Co., Ltd. 2650465.29 398008.48 3048473.77

12 China Investment Securities Co., Ltd. 2409582.87 98407.84 2507990.71

13 Essence Securities Co., Ltd. 2280946.50 109956.43 2390902.93

14 Hong Yuan Securities Co., Ltd. 2078208.20 49225.36 2127433.56

15 Founder Securities Co., Ltd. 1848482.23 117853.48 1966335.71

16 Shandong Qilu Securities Co., Ltd 1701658.95 125527.80 1827186.75

17 Changjiang Securities Co., Ltd. 1290935.48 78056.29 1368991.77

18 Guoyuan Securities Co., Ltd 1149323.45 42442.89 1191766.34

19 Industrial Securities Co., Ltd. 920421.64 19536.39 939958.03

20 Orient Securities Co., Ltd. 864309.46 10581.09 874890.55

Members

2013 Fact Book 206

Top 20 in Amount Outstanding of Margin Trading and Short Selling 2012

Rank NameValue of Buying on Margin(RMB 10,000)

Value of Short Sale(RMB 10,000)

Total(RMB 10,000)

1 Haitong Securities Co., Ltd. 474658.00 49952.81 524610.81

2 Guotai Junan Securities Co., Ltd. 474292.18 34829.58 509121.76

3 Huatai Securities Co., Ltd. 440238.00 32812.86 473050.86

4 CITIC Securities Co., Ltd. 430200.83 19178.76 449379.60

5 Shenyin & Wanguo Securities Co. Ltd 363119.10 5874.08 368993.18

6 Gf Securities Co., Ltd. 337308.21 14930.86 352239.07

7 China Galaxy Securities Co., Ltd. 333915.28 15206.14 349121.42

8 China Merchants Securities Co., Ltd. 307592.79 23838.65 331431.44

9 Everbright Securities Co., Ltd. 250926.06 26681.37 277607.44

10 Guosen Securities Co., Ltd. 231049.40 13295.17 244344.56


12 Hong Yuan Securities Co., Ltd. 206652.40 3123.76 209776.16


14 Essence Securities Co., Ltd. 122642.75 2655.84 125298.58

15 Founder Securities Co., Ltd. 119818.48 3012.06 122830.54

16 China Investment Securities Co., Ltd. 114183.79 1767.12 115950.92

17 Changjiang Securities Co., Ltd. 111192.16 2805.10 113997.26

18 Shandong Qilu Securities Co., Ltd 85176.65 3451.08 88627.73

19 Orient Securities Co., Ltd. 65553.07 369.07 65922.14

20 Ping An Securities Co., Ltd. 62520.76 62.81 62583.57

Members

2013 Fact Book 207

Number of Trading Accounts with SSE 1991-2012

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 10970

Members

2013 Fact Book 208

Breakdown of B-share Investors by Jurisdiction

RegionNumber of Trading Accounts

Percentage in Total Accounts (%)

New Trading Accounts in 2011

Percentage in Total New Accounts (%)

China (Mainland) 1350408 87.21 5465 81.75

United States 14869 0.96 447 6.69

Canada 3735 0.24 167 2.50

Taiwan, China 8736 0.56 68 1.02

United Kingdom 2390 0.15 54 0.81

Hong Kong SAR, China 17156 1.11 47 0.70

Australia 3267 0.21 46 0.69

Japan 4569 0.30 44 0.66

China (Overseas) 125918 8.13 19 0.28

Germany 722 0.05 15 0.22

Singapore 1935 0.12 14 0.21

Korea 1784 0.12 14 0.21

Holland 413 0.03 9 0.13

France 641 0.04 6 0.09

Macao SAR, China 804 0.05 3 0.04

Other 11025 0.71 267 3.99

Total 1548372 100.00 6685 100.00

Historical Statistics


2013 Fact Book 211


Earlier Share Turnover Value, 1991-2012

YearAnnual Turnover Value (RMB 100 million)

N u m b e r of Trading Days

Average Daily Turnover Value (RMB 100 million)

Average Daily Trading Volume(100 million shares)

Date of Highest Turnover Date of Lowest Turnover


Date


Date

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 164545.008 243 677.140 77.98 1709.832 20120314 332.122 20121126


2013 Fact Book 212

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


2013 Fact Book 213

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


2013 Fact Book 214

Listed Shares on the SSE, 1990-2012

YearNumberof Listed Companies

Number of Listed Securities

Proceeds Raised(RMB 100 million)

Share Capital Issued(100 million shares)

Market Cap (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 954 2098 2890.31 24617.62 158698.44


2013 Fact Book 215

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


2013 Fact Book 216

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


2013 Fact Book 217

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


2013 Fact Book 218

Top 10 Increases in SSE 180 Index (in point)


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)


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


2013 Fact Book 219

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


2013 Fact Book 220

Top 10 Increases in SSE Composite Index (in point)


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)


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


2013 Fact Book 221

World Securities Markets

Statistics on Stock Exchanges around the World (as at end of December 2012)

Exchange Year-end Index

Number of Listed Companies Market Cap

(US$ million)Turnover (US$ million)

Local Foreign

NYSE 8443.51 (NYSE Composite Index) 1815 524 14085944.1 13442719.6

NASDAQ 3019.51(Nasdaq Composite Index) 2287 290 4582389.1 9784206.2

TMX12433.53 (S&P/TSX Composite Index)

3876 96 2058838.7 1357293.0

LSE 3093.00 (FTSE 100 Index) 2179 588 3396504.9 2194257.4

Euronext 2728.50 (SBF250) 939 134 2832188.5 1576120.7

Deutsche Börse AG 380.03 (CDAX) 665 82 1486314.8 1275949.4

ASX 4664.59 ( All Ordinaries) 1959 97 1386874.0 935987.5

Tokyo Stock Exchange 859.80 (TOPIX Index) 2294 10 3478831.5 3463094.8

SGX 3167.08(Straits Times Index) 472 304 765078.0 256055.9

Korea Exchange 1997.05 (KOSPI Composite Index) 1767 17 1179419.5 1517896.9

Bursa Malaysia 11438.14（FBM Emas（ 911 9 466587.6 124332.9

National Stock Exchange of India

4743.45 (S&P CNX 500 Index) 1664 1 1234492.0 526162.7

Stock Exchange of Thailand 1391.93(SET Index) 558 N/A 389756.3 235168.1

HKEx27082.16(S&P/HKEx LargeCap Index)

1459 88 2831945.9 1106068.5

Taiwan Stock Exchange 7699.50 (TAIEX) 783 57 735292.6 678514.5

Source: http://www.world-exchanges.org

2013 Fact Book 222

Major publications

SSE Monthly Market Statistics

Shanghai Securities Yearbook

SSE Annual Report

SSE Annual Statistics

SSEFact Book

Securities Law Review (published semi-annually)

The trading technology frontier (quarterly)

"Corporate Governance Report (2012): investor behavior and corporate governance”, Shanghai People's Publishing

House, 2012.

“Shanghai Stock Exchange Research Center Research Report 2012 ", Shanghai People's Publishing House, 2012.

“Shanghai Stock Exchange Joint Research Report 2012 ", Shanghai People's Publishing House, 2012.

Major Publications

2013 Fact Book 223

Registered Trademarks of Shanghai Stock Exchange

上证

中证

Shanghai Zhengquan Jiaoyisuo

SSE

SSEINDEX

上海证交所 CNINDEX

上交所 180 指数

上证所 ETFs

UCI CSI

GCI 易神

YISHEN

※ Registered Trademarks of Shanghai Stock Exchange. All Rights Reserved

Registered Trademarks of Shanghai Stock Exchange

For more information, please visit SSE website: www.sse.com.cn