Fact Book 2014 - SHANGHAI STOCK EXCHANGE

Fact Book 2014

2014 Fact Book III

Contents

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

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

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

2013 Market Review....................................................................5

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

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

Major Events in the Securities Market 2013 ....................................................................................................6

Market Highlights .........................................................................................................................................8

Stock Market ..............................................................................13

Trading System ..........................................................................................................................................13

Trading Relations .......................................................................................................................................13

Margin Trading and Short Selling Business ......................................................................................................14

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

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

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

2013 Monthly Trading Volume, Trading Value and P/E Ratio ..............................................................................24

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

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

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

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

2013 Top 10 in Margin Trading ....................................................................................................................29

2013 Top 10 in Short Selling ......................................................................................................................29

Base Day, Base Period Index and Launch Date ...............................................................................................30

Number of Constituents in SSE Indices ..........................................................................................................34

Market Cap and Weight of Constituent Stocks in SSE 50 Index..........................................................................35

Market Cap and Weight of Constituent Stocks in SSE 180 Index........................................................................37

Market Cap and Weight of Constituent Stocks in SSE 380 Index........................................................................43

Trends of SSE Indices, SSE 180 Index and SSE 380 Index ...............................................................................55

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

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

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

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

Documents to be Submitted When Applying for an IPO and Listing ....................................................................73

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Conditions for listed companies to issue securities to the public .........................................................................74

Share Placements of Listed Company ...........................................................................................................77

Additional Issuance by Listed Companies ......................................................................................................77

Risk Warnings ............................................................................................................................................78

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: .......................................................................................................................79

Suspension and Termination of Listing ............................................................................................................80

If any of the following circumstances apply to a listed company, SSE shall terminate the listing of the company: .......81

Listing Agreements .....................................................................................................................................83

Listing Conditions for Convertible Corporate Bonds .........................................................................................83

Appendix: Listing Agreement of Securities ......................................................................................................83

Sector Distribution and Number of Companies ................................................................................................86

Geographical Distribution of Listed Companies ................................................................................................87

Newly Listed Stocks in 2013........................................................................................................................88

Rights Issues by Listed Companies in 2013 ...................................................................................................89

Equity Structure of Listed Companies (2013 year-end) .....................................................................................90

Top 50 Listed Companies by Market Capitalization (2013 year-end) ..................................................................91

Top 50 Listed Companies by Tradable Market Capitalization (2013 year-end) ......................................................93

Dividend Distribution by Listed Companies in 2013 .........................................................................................95

Table of Changes in Stock Short Names in 2013 ...........................................................................................120

Companies Subject to Delisting Risk Warnings in 2013 ...................................................................................121

Companies Subject to other risk warning in 2013...........................................................................................122

Companies Subject to Listing Termination in 2013..........................................................................................122

Companies Subject to Listing Termination in 2013..........................................................................................122

Companies Subject to Listing Resumption in 2013 .........................................................................................122

Companies Subject to Cancellation of Risk Warning in 2013 ............................................................................123

I Companies Subject to Withdrawal of Delisting Risk Warnings ..........................................................................123

II Companies Subject to Cancellation of Other Risk Warning .............................................................................123

Bond Market ..............................................................................127

Bond Market Overview of the Shanghai Stock Exchange in 2013 .....................................................................127

Conditions for Government Bond Listings ......................................................................................................129

Conditions for Enterprise Bond Listings .........................................................................................................129

Conditions for Corporate Bond Listings .........................................................................................................129

Applications for Corporate Bond Listings .......................................................................................................129

Approval for Corporate Bond Listings ............................................................................................................130

Conditions for SSE Bond Filing and Listings ...................................................................................................131

Profile of Government Bonds in 2013...........................................................................................................133

Summary of Corporate Bonds in 2013(Including Convertible Bond) ..................................................................145

Monthly Bond Repo Turnover in 2013 ..........................................................................................................215

Turnover of Government Bond in Each Month of 2013 ....................................................................................215

Turnover of Bond in Each Month of 2013 .....................................................................................................216

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List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2013 ......................................217

Funds ........................................................................................221

Overview of the Fund Market in 2013...........................................................................................................221

Breakthroughs in Market Innovation ..............................................................................................................221

Record Highs in Market Size and Trading Volume ...........................................................................................222

Operation Mechanisms’ Optimization and Market Risks’ Prevention ...................................................................223

More Efforts on Market Promotion and Fund Investment Knowledge Dissemination .............................................223

Summary of Funds in 2013 ........................................................................................................................225

Members and Non-member Institutions ................................. 229

Overview of Members ................................................................................................................................229

Overview of Non-member Institutions ............................................................................................................229

Member's Required Qualifications ................................................................................................................229

The Administration of Member Seats and Trading Units ....................................................................................229

Overview of the Operation ...........................................................................................................................230

Geographical Distribution of SSE Members and Their Business Branches in 2013 ...............................................231

Membership (1990-2013) .........................................................................................................................232

Top 50 Members by Turnover in 2013 .........................................................................................................233

Top 50 Members by Registered Capital in 2013 ............................................................................................235

Top Lead Underwriters of IPOs in 2013 (by Number of Deals Underwritten) ........................................................237

Top Lead Underwriters of Rights Issues in 2013 (by Value of Fund Raised) .........................................................237

Top 20 in Turnover Value of Margin Trading and Short Selling 2013 .................................................................238

Top 20 in Amount Outstanding of Margin Trading and Short Selling 2013 ..........................................................239

Number of Trading Accounts with SSE 1991-2013 ........................................................................................240

Segmentation of B-share Investors by Jurisdiction ..........................................................................................241

Historical Statistics ..................................................................245

Earlier Share Turnover Value, 1991-2013 .....................................................................................................245

Historical Highs in Stock Turnover Value ........................................................................................................246

Daily All-time Highs in Turnover Value ............................................................................................................246

Monthly All-time Highs in Turnover Value ........................................................................................................246

Quarterly All-time Highs in Turnover Value ......................................................................................................247

Listed Shares on SSE, 1990-2013 .............................................................................................................248

Top 10 Increases and Decreases in SSE Index Series .....................................................................................249

Top 10 Increases in SSE 50 Index (in percentage) ..........................................................................................249

Top 10 Decreases in SSE 50 Index (in percentage) ........................................................................................249

Top 10 Increases in SSE 50 Index (in point) ..................................................................................................250

Top 10 Decreases in SSE 50 Index (in point) .................................................................................................250

Top 10 Increases in SSE 180 Index (in percentage) ........................................................................................251

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Top 10 Decreases in SSE 180 Index (in percentage) ......................................................................................251

Top 10 Increases in SSE 180 Index (in point) ................................................................................................252

Top 10 Decreases in SSE 180 Index (in point) ...............................................................................................252

Top 10 Increases in SSE Composite Index (in percentage) ...............................................................................253

Top 10 Decreases in SSE Composite Index (in percentage) .............................................................................253

Top 10 Increases in SSE Composite Index (in point) ........................................................................................254

Top 10 Decreases in SSE Composite Index (in point) ......................................................................................254

World Securities Markets .........................................................255

Statistics of Stock Exchanges Around the World (by the end of December 2013) ................................................255

Major Publications ....................................................................256

Registered Trademarks of Shanghai Stock Exchange ......... 257

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 23 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 three categories: stocks, bonds and funds.

Stocks are further divided into A Shares and 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, 2013, there were 2,786 listed securities

in SSE.


2013 Fact Book 3

2013

Market Review

2013 Market Review

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2013 Market Review

Overview

In 2013, the total turnover on SSE was RMB 86,509.83 billion, up 58.0% year-on-year. Stock transactions were RMB

23,026.60 billion, representing 26.62% of the total turnover. Bond transactions hit RMB 62,583.94 billion, accounting

for 72.34% of the total turnover. Fund transactions reached RMB 898.95 billion, making up 0.01% of the total. The

average daily stock transactions were RMB 96.75 billion, down 42.88% year-on-year; daily bond transactions stood at

RMB 262.96 billion, 68.24% higher than a year earlier; daily fund transactions hit RMB 3.78 billion, up 189.43% from

the previous year.

SSE 50 Index opened the year at 1,885.96 points and fell 15.23% to close the year at 1,574.78 points after touching

a yearly high of 2,088.45 points and a yearly low of 1,422.98 points. SSE 180 Index opened the year at 5,620.77

points and fell 9.19% to close the year at 5,040.27 points after touching a yearly high of 6,147.77 points and a yearly

low of 4,398.96 points. SSE Composite Index opened the year at 2,289.51 points and fell 6.75% to finish the year at

2,115.98 points after making a yearly high of 2,444.80 points and a yearly low of 1,849.65 points.

By the end of 2013, SSE recorded a total of 114.44 million trading accounts.

Securities Issuance and Listing

As at the end of 2013, there were 953 listed companies on SSE, with 1 new listings in 2013. By the end of the year,

there were 997 listed stocks on SSE with a total market capitalization of RMB 15,116.53 billion, decreasing by 4.75%

year-on-year, and free-float market capitalization of RMB 13,652.64 billion, up 1.66% from the previous year. The

year-end total share capital of all the listed companies reached 2,575.17 billion shares, of which 2,373.11 billion

shares or 92.15% were tradable.

In 2013, there was only 1 listed company on SSE. The total market value, capital raised and turnover of equity market

rank No.7, No.5 and No.6 in the world respectively.

2013 Market Review

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Major Events in the Securities Market 2013

Month Date Event

January 1SSE Risk Alert Board was opened to implement delisting supporting system. The 46 “Shares with Risk Alert" issued by 43 companies were traded on the Risk Alert Board.

January 7 SSE released “Guidelines for Cash Dividend Distribution of SSE-listed Companies”.

January 17 Hanzheng, Shanghai's Party chief, visited SSE.

January Shanghai Financial Administration Service Co. Ltd (SSE) started its operation.

February SSE took a stake in Liaoning Equity Exchange.

February 28SSE secured the approval from the Securities and Futures Commission (SFC) of Hong Kong to set up an office in Hong Kong.

February 28The pilot securities refinancing started smoothly, with 11 members and 90 underlying securities involved in the first batch.

March 25Turn-around trades of ETF started to be effected on the day of trading and ETF was included in the pilot collateralized repo business. Guotai SSE 5-year T-bond ETF, the first domestic ETF was launched and listed on SSE.

March 26 SSE released the “SSE Provisional Measures on Investor Suitability Management”.

March 28“Business Measures on Trading, Registration and Settlement of Collateralized Repo” was released jointly by SSE and CSDC, and the quotation-based repo business was included in the regular business of security companies.

April 9 SSE held the inaugural meeting and the first meeting of its Board of Supervisors.

May 24“Business Measures (trial) on Trading, Registration and Settlement of Collateralized Repo of Shares” was released jointly by SSE and CSDC. The collateralized repo of shares was launched officially.

June 20SSE released "SSE Measures for Implementation of Disciplinary Sanctions and Regulatory Measures”.

July 1SSE implemented its Direct Channel Mechanism, through which SSE carries out the aftermath regulation for the announcements without prerequisite form examinations and realizes the electronization for the information disclosure by listed companies simultaneously.

July 1 SSE initiated the all-day testing environment.

July 3The State Council executive meeting approved the “Overall Program of China (Shanghai) Pilot Free Trade Zone”.

July 5 SSE set up the first Advisory Committee for its Board of Governors.

July 19People’s Bank of China decided to remove the control of financial institutions' lending rates since 20 July.

August 9 The first “China - South African Capital Markets Forum” was successfully held.

August 12 SSE signed Memorandum of Understanding with Nairobi Stock Exchange.

August 16SSE cooperated with CSRC to take real-time monitoring and emergency measures for the Everbright Securities’ “Fat Finger” error.

August 19SSE released the “Notice of Providing Services for the Transfer of Shares of Asset Management Plans”. On 5 September, the first batch of 7 institutions listed 18 products on SSE and the transferred shares listed were around 5.4 billion in total.

2013 Market Review

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Month Date Event

September 4 Xiao Gang, the Chairman of CSRC, visited SSE for the first time after being in office.

September 16 The scope of underlying stocks for margin trading and short selling on SSE extended to 400.

September 27“The Measures for SSE and CSDC on the When-issued Trading, Registration and Clearing of Treasury Bonds (Pilot Program)” was implemented, with the first trial when-issued trading of treasury bonds cleared and delivered successfully in October.

November 28The fourth SSE Legal Forum was held successfully in Peking University, in which Xiao Gang, the Chairman of CSRC, gave a speech named “The Legal Principles and Logic of Securities Laws”.

November 28 SSE set up its first Listed Companies’ Information Disclosure Consultation Committee.

December 13 CSRC begun to solicit social opinions for the “Preferred Stock Pilot Administrative Measures”.

December 24SSE released "Announcement on Financial Bonds Issued by the National Development Bank". On December 27, CDB bonds, the first policy-based financial bonds, were issued in SSE for trial successfully.

December 26The mock trading system of single stock options was officially launched and put into operation by SSE.

December 27The “Opinions on Further Strengthening the Protection of Small and Medium-sized Investors’ Legitimate Rights and Interests in Capital Market” was released by the General Office of the State Council.

December 31Niuwei Shares published the Letter of Intention, marking its restart of IPO on SSE after more than 1 year.

2013 Market Review

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Market Highlights

2013 2012 2011

Listed Securities (as at year end)

No. of listed companies 953 954 931

No. of listed securities 2786 2098 1691

No. of listed stocks 997 998 975

No. of new listings 1 26 39

Share capital issued (100 million shares) 25751.69 24617.62 23466.65

Tradable shares (100 million shares) 23731.13 19521.34 17993.80

Total market capitalization (RMB100 million) 151165.27 158698.44 148376.22

Market capitalization of tradable shares (RMB100 million) 136526.38 134294.45 122851.36

Total capital raised (RMB100 million)

A Shares (RMB) 2515.72 2890.31 3199.69

B Shares (US dollar) 0 0 0

Transactions

Number of trading days 238 243 244

Annual turnover value (RMB100 million) 865098.34 547535.23 454651.56

Stock 230266.03 164545.01 237560.45

Fund 8989.48 3171.36 2901.41

T-bonds 625839.41 379818.85 210714.87

Warrants 0 0 3474.82

Others 3.42 0 0

Average daily turnover value (RMB100 million) 3634.87 2253.23 1863.33

Average daily stock turnover value (RMB100 million) 967.50 677.14 973.61

Annual stock turnover volume (100 million shares) 26718.85 18948.94 21193.87

Average daily stock turnover volume (100 million shares) 112.26 77.98 86.86

Total number of stock trades (10,000 deals) 115321.33 92554.96 127327.64

Average number of daily stock trades (10,000 deals) 484.54 380.89 521.84

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Stock Indices

SSE 180 Index yearly high 6147.77 5808.99 7149.05

SSE 180 Index yearly low 4398.96 4596.73 4852.71

SSE 180 Index year-end close 5040.27 5550.09 5009.29

SSE Composite Index yearly high 2444.80 2478.38 3067.46

SSE Composite Index yearly low 1849.65 1949.46 2134.02

SSE Composite Index year-end close 2115.98 2269.13 2199.42

Ratios

Average P/E ratio 10.99 12.30 13.40

Turnover rate 1 (market capitalization)% 105.56 78.57 93.72

Turnover rate 2 (tradable market capitalization)% 123.60 101.60 124.80

Stock Market

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Stock Market

Trading System

Trading business can be divided into two categories according to the business handling medium: trading system-

based business and non-trading system-based business; of these types of business, trading system-based business

can be further divided into two business types according to the business model employed: centralized trading business

and trading-related services; non-trading system-based business includes negotiated transfers, warrant creation and

cancellation, etc.

Centralized trading refers to stock exchange facilitated business in which securities ownership changes are realized

through a trading system by means of price inquiry, quotations, auction; trading-related services refers to offering, entitlement,

trading relations and other related forms of business provided by stock exchanges through a trading system that are closely

related to centralized securities trading business. Compared with similar services offered through over-the-counter market, the

above trading system-based business has the following major differences: (1) services are provided through the trading system;

(2) special securities codes are assigned; and (3) trading is conducted through a broker.

Trading Relations

SSE is open for trading from Monday to Friday. The morning market session starts with 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 risk

warning 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.

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coefficient. The price of a block trade of securities with a price limit is determined by the buyer and seller within the price

limit applicable to such securities on the day of trading. The price of a block trade of securities without any price limit is

negotiated by the buyer and seller within 30% of the previous closing price or between the highest and lowest traded

prices on the day of trading. In the absence of any transaction for a particular stock, the closing price of the previous

trading day will be the execution price.

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 Short Selling Business

Margin Trading and Short Selling, also known as securities credit trading, refers to the way that investors offer collaterals

to the securities with margin trading and short selling business license and borrow funds to buy listed securities (margin

trading) or borrow listed securities to sell (short selling). The margin trading and short selling 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 short selling business.

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

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

Short Selling license. Relending financing started on August 30th, 2012. By the end of January 2013, there have been

84 member companies qualified for relending financing.

Table 1:Categories 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, 603

Auction

2 A-share continuous trading at market price 600, 601, 603

3 A-share call auction trading 600, 601, 603

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 Gold ETF continuous trading at limit price 518XX0

14 Gold ETF continuous trading at market price 518XX0

15 Gold ETF call auction trading 518XX0

16 Bond and Money ETF continuous trading at limit price 511XX0

17Bond and Money ETF continuous trading at market price

511XX0

18 Bond and Money ETF call auction trading 511XX0

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

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

21 Enterprise bond continuous trading at limit price 129

22 Enterprise bond call auction trading 129

23 Convertible bond continuous trading at limit price 110

24 Convertible bond call auction trading 110

25Convertible bond with detachable warrant continuous trading at limit price

126

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

26Convertible bond with detachable warrant call auction trading

126

Auction

27 Old pledge-style repo continuous trading 201

28 Old pledge-style repo call auction trading 201

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

30 New pledge-style repo call auction trading 204

31 Outright repo continuous trading at limit price 203

32 Outright repo call auction trading 203

33 Warrant continuous trading at limit price 580

34 Warrant continuous trading at market price 580

35 Warrant call auction trading 580

36 A-share block trading Same as A Shares

Price inquiry

37 B-share block trading Same as B Shares

38 Closed-end fund block trading Same as closed-end funds

39 ETF block trading Same as ETFs

40 Bond block trading Same as bonds

41 Bond repo block trading Same as bond repo

42 Asset securitization 121

43 Warrant bilateral quotation Same as warrants

Quotation

44 ETF purchase/redemption 510XX1, 510XX2

45 Gold ETF purchase/redemption 518XX1, 518XX2

46 Bond and Money ETF purchase/redemption 511XX1, 511XX2

47 Tender offer 706

48 T-bond distribution 751

49 T-bond firm quotation

019 (Electronic Platform)50 T-bond non-firm quotation

51 T-bond client enters into a transaction with primary dealer

52 T-bond price inquiry

53 Corporate bond firm quotation

122 (Electronic Platform)

54 Corporate bond non-firm quotation

55Corporate bond client enters into a transaction with primary dealer

56 Corporate bond price inquiry

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Table 2: Categories of Trading-related Services

Type of Securities No. Description of Trading-related

Services Securities Code Type of Business

Equities

1 Online fixed price offering7301 (corresponding to A-share 600),7802 (corresponding to A-share 601)7323 (corresponding to A-share 603)

Offering

2 Online price inquiry offering730 (corresponding to A-share 600),780 (corresponding to A-share 601)732 (corresponding to A-share 603)

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)732 (corresponding to A-share 603)

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)732 (corresponding to A-share 603)

Offering

5Placement proportional to the existing secondary market holdings

737 Offering

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)742 (corresponding to ordinary A-share 603)

Offering, entitlement

7 Online voting

738 (corresponding to A-share 600),788 (corresponding to A-share 601),752 (corresponding to A-share 603)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 offering7334 (corresponding to A-share 600),7835 (corresponding to A-share 601)7546 (corresponding to A-share 603)

Offering

12 Convertible bond placement704 (corresponding to A-share 600),764 (corresponding to A-share 601)753 (corresponding to A-share 603)

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

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Type of Securities No. Description of Trading-related

Services Securities Code Type 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 (corresponding 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 7357 Offering

18 Expansion of closed-end funds 705 Offering

19 Subscription for open-end funds 521 Offering

20Purchase and redemption of open-end funds

519Offering, entitlement

21 Designation transfer of open-end funds 522Trading relationship

22Dividend distribution by open-end funds

523 Entitlement

23 Conversion of open-end funds 524Entitlement (business has not yet started)

24 ETF offering 510XX3 Offering

25 Gold ETF offering 518XX3 Offering

26 Bond and Money ETF offering 511XX3 Offering

Trading registration

27Designated registration/cancellation of designated trading

799998/799999Trading relationship

28Repurchase 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.





4. 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.

5. 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.



7. 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

2014 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 (bilateral)

Paid by SSE members, etc. to SSE

Securities management fee

0.002% of trading value (bilateral)

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

Stamp duty 0.1% of t rading value (unilateral)

Paid by investors to tax authorizes (collected by SSE)

B share

Handling fees 0.026% of trading value (bilateral)



0.002% of trading value (bilateral)


Securities investment fund(closed-end fund and ETF)

Handling fee 0.0045% of trading value (bilateral)



exempted

Warrants

Handling fee 0.0045% of trading value (bilateral)



exempted

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

Handling fee

0.0001% of tu rnover (b i l a te ra l ) (cash bond transaction on the fixed income platform and less than 100 yuan/ per deal at minimum)



exempted

Pledge-style repo

1 day Handling fee 0.00005% of t rad ing value (bilateral)

Temporary exemption


2 days Handling fee 0.00010% of t rad ing value (bilateral)


3 days Handling fee 0.00015% of t rad ing (bilateral)










More than 28 days Handling fee 0.00150% of t rad ing value (bilateral)


T-bond outright repurchase

7 days Handling fee 0.000625% of trading value (bilateral)


28 days Handling fee 0.0025% of trading value (bilateral)




Stock Market

2014 Fact Book 20

Transactions

Block trading

A share ,B share and securities investment fund

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



The same as that in the auction transaction for the same product


Cash bonds( T-bonds, enterprise bonds, corporate bonds, convertible corporate bonds, detachable convertible corporate 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 SSE

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

Transfer of specific asset management scheme

Handling fee 0.00009% of amount transferred


Issuance

New share subscription Handling fee 0.012% of trading 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 value Paid by SSE members, etc. to 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

2014 Fact Book 21

Listing

Stock

Initial listing fee

Total issued shares (A or B share), not more than 200 million shares: RMB 300,000;200 million - 400 million shares (including): RMB 450,000;400 million - 600 million shares (including): RMB 550,000;600 million - 800 million shares (including): RMB 600,000;800 million shares above: RMB 650,000

Paid by listed companies to 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 million - 400 million shares (including): RMB 80,000 per year;400 million - 600 million shares (including): RMB 100,000 per year;600 million - 800 million shares (including): RMB 120,000 per year;800 million shares above: RMB 150,000 per year.For company that has been listed for less than 1 yea r, annua l f ee i s calculated based on actual months (the month of initial listing is counted as the first month.)

Paid by listed companies to SSE

Securities investment fund

Initial listing fee

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

Paid by fund managers to SSE

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

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

Stock Market

2014 Fact Book 22

Listing

Enterprise bond

Initial listing fee

0.01% of the total listing amount, with a minimum charge of RMB 8000, and a maximum charge of RMB 40,000( subject to temporary exemption)

Paid by issuers to SSE

Annual listing fee

0.0096% of total listing amount, with a minimum charge of RMB 4800, and a maximum charge of RMB 24,000 ( subject to temporary exemption)


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 SSE members to SSE

B share seat Initial fee US$ 75,000 per seat Paid by SSE members to SSE

Participant business unit (PBU)

PBU use fee

Institutions including SSE members can use one PBU for free for each seat they hold. For additional PBU, user fee of RMB50, 000 per year for each PBU is charged by SSE. (F rom Dec. 1 , 2010, PBU for bond spot and repo trading is subject to temporarily exemption of usage fee.)

Paid by SSE members to SSE

Flow rate fee

If the total f low rate of institution which connects to SSE trading system exceeds its free flow rate limit, for the excess flow rate, the fee is RMB10, 000 for each standard flow rate per year. (charged from Dec. 1, 2010, flow rate fee for PBUs of bond spot and repo t rading is sub ject temporar i l y exemption)

Stock Market

2014 Fact Book 23

Participant business unit (PBU) Flow rate fee

1. charge periods is from Dec. 1 of the previous year to Nov. 30 of the current year

2. flow rate fee= (total number of yearly trading orders of institution’s PBUs - 30,000 deals/year × number of seats held) × RMB0.10 + (total number o f yea r l y non- t rad ing orders of institution’s PBUs - 30,000 deals/year × number of seats held) × RMB0.01

3. For details, please refer to the Circular on Relevant Issues of Adjusting Annual Fee Charge Mode for SSE Seats and Circular on Collecting Annual Fee of Trading Units for 2010

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

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.

1. This table only covers fees charged and taxes withheld by SSE, and excludes the commission paid to securities companies and the

fees charged by China Securities Depository and Clearing Co., Ltd.

2. For information on communications and information service fees, please contact Shanghai Stock Communication Co., Ltd.(http://

www.stocom.net,68664588) and SSE INFONET Ltd., Co.(68800098).

3. For the information on the reduction and exemption of ETF trading fees, please refer to the Circular on the Reduction and Exemption

of Trading Fees Related to Exchange Traded Fund (ETF) (SSE[2009] No.1).

Stock Market

2014 Fact Book 24

2013 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 26878205.19 226887224.05 12.97

2 18365856.09 163485559.75 12.90

3 23418647.99 204888248.02 12.19

4 15067876.59 129096699.59 11.89

5 23167806.96 210198137.11 11.81

6 15683791.53 133763397.75 10.17

7 21825986.56 182876609.87 10.26

8 25137950.25 208095598.56 10.80

9 30230742.32 255271528.47 11.20

10 23955015.81 210696221.57 11.05

11 22117278.31 193585695.01 11.47

12 21339380.28 183815352.72 10.99

Stock Market

2014 Fact Book 25

Top 20 Most Traded Stocks by Trading Volume

Rank Code Short Name Trading Volume(10,000 shares)

Percentage in Total Market Trading Volume (%)

1 600016 Minsheng Bank 4426512.80 1.66

2 600000 Pudong Development Bank 3898650.37 1.46

3 600837 Haitong Securities 3066091.13 1.15

4 601288 Agricultural Bank of China 3022726.04 1.13

5 600030 CITIC Securities 2654073.91 0.99

6 601818 Everbright Bank 2597387.13 0.97

7 601166 Industrial Bank 2575414.00 0.96

8 601668 China State Construction Engineering 2443781.67 0.91

9 600050 China Unicom 2369956.06 0.89

10 601901 Founder Securities 2234482.61 0.84

11 600036 China Merchants Bank 2058871.49 0.77

12 601328 Bank of Communications 1935290.93 0.72

13 600839 Changhong 1917275.62 0.72

14 600795 GD Power Development 1682617.71 0.63

15 601398Industrial and Commercial Bank of China

1662053.93 0.62

16 600018 Shanghai International Port 1610533.84 0.60

17 600503 Deluxe Family 1552073.20 0.58

18 601989 China Shipbuilding Industry 1532475.20 0.57

19 600804 Dr. Peng Group 1503764.61 0.56

20 600383 Gemdale 1501107.94 0.56

Stock Market

2014 Fact Book 26

Top 20 Most Traded Stocks by Trading Value

Rank Code Short Name Trading Value(RMB 10,000)

Percentage in Total Market Turnover Value (%)

1 600016 Minsheng Bank 42256871.20 1.84

2 600000 Pudong Development Bank 39653476.81 1.72

3 601166 Industrial Bank 36507291.57 1.59

4 601318 Ping An Insurance 34838048.65 1.51

5 600837 Haitong Securities 34781008.43 1.51

6 600030 CITIC Securities 33349270.12 1.45

7 600036 China Merchants Bank 25021456.54 1.09

8 600111 Baogang Rare Earth 24754709.93 1.08

9 600804 Dr. Peng Group 20669356.76 0.90

10 600519 Kweichow Moutai 16673582.56 0.72

11 600048 Poly Real Estate 16465013.44 0.72

12 601901 Founder Securities 14864157.49 0.65

13 600880 B-ray media 13306674.64 0.58

14 600388 Fujian Longking 12935931.64 0.56

15 600256 Xinjiang Guanghui 11452913.84 0.50

16 600518 Kangmei Pharmaseutical 11061687.80 0.48

17 600104 SAIC Motor 11052734.12 0.48

18 600585 Anhui Conch Cement 10988774.30 0.48

19 600887 Yili Group 10977905.09 0.48

20 600765 AVIC Heavy Machinery 10706017.29 0.46

Stock Market

2014 Fact Book 27

Top 20 Gainers

Rank Code Short Name 2012 Year-end Close(RMB)

2013 Year-end Close (RMB) Change(%)

1 600536 China National Software and Service 10.570 37.670 258.26

2 600648Waigaoqiao Free Trade Zone Development

9.610 32.230 238.85

3 600119 Yangtze River Investment 5.320 17.830 238.73

4 900913 *ST Lianhua B 0.543 1.780 227.81

5 600388 Fujian Longking 21.900 33.520 208.23

6 600566 Hongcheng General Machinery 6.620 19.940 201.21

7 600485 Zhongchuang Telecom Test 7.160 20.510 186.45

8 600771 Shanxi Guangyuyuan 9.080 25.850 184.69

9 600389Jiangshan Agrochemical and Chemicals

14.190 39.130 177.34

10 900912Waigaoqiao Free Trade Zone Development B

0.810 2.153 171.92

11 600626 Shanghai Shenda 3.430 8.950 168.02

12 600620 Shanghai Tianchen 3.560 9.000 153.23

13 600872Jonjee Hi-Tech Industrial & Commercial Holding

4.600 11.370 148.75

14 600804 Dr. Peng Group 5.960 14.060 136.86

15 600387 Zhejiang Haiyue 8.620 20.160 134.66

16 600640 Besttone Holding 7.620 17.850 134.25

17 600433 Guanhao High-tech 9.140 10.640 133.70

18 600617 *ST Lianhua 8.980 20.980 133.63

19 600637 BesTV 15.870 36.970 132.96

20 600446 Kingdom Technology 6.680 15.450 132.04

Stock Market

2014 Fact Book 28

Top 20 Losers

Rank Code Short Name2012 Year-end Close(RMB)

2013 Year-end Close (RMB)

Change(%)

1 600395 Panjiang Refined Coal 17.020 7.260 -55.16

2 600547 Shangdong Gold 38.160 17.250 -54.57

3 600809 Shanxi Xinghuacun Fen Wine Factory 41.660 19.300 -52.31

4 600381 *ST Xiancheng 4.230 2.080 -50.83

5 600546 Shanxi Coal International Energy 20.350 4.950 -50.12

6 601699 Lu’an Environmental Energy 21.890 10.670 -49.84

7 600348 Yang Quan Coal Industry 14.530 7.060 -49.81

8 601268 *ST National Erzhong Group 5.060 2.540 -49.80

9 600188 Yanzhou Coal 18.230 8.880 -49.73

10 600489 Zhongjin Gold 16.630 8.550 -47.71

11 600702 Tuopai Shede Wine 28.810 15.040 -46.78

12 600779 SichunSwellfun 19.370 10.190 -46.58

13 600199 Golden Seed Winery 19.210 10.140 -46.05

14 600531 Yuguang Gold & Lead 17.130 9.280 -45.62

15 600961 *ST Zhuzhou Smelter 10.140 5.560 -45.17

16 600997 Kailuan Energy Chemical 10.220 5.570 -44.89

17 600123 Lanhua Sci-Tech Venture 20.290 10.670 -44.79

18 601101 Haohua Energy Resource 13.320 7.210 -44.35

19 600971 Hengyuan Coal-Electricity 12.880 7.130 -43.06

20 600432 Ji En Nickel Industry 13.500 7.730 -42.74

Stock Market

2014 Fact Book 29

2013 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 600000Pudong Development Bank

5870356.15 3213260.92 9083617.07

2 600837 Haitong Securities 5673112.67 3033052.62 8706165.29

3 600030 CITIC Securities 5050455.23 2782887.82 7833343.05

4 601166 Industrial Bank 4835115.81 2808390.63 7643506.44

5 600016 Minsheng Bank 4614983.26 2747771.82 7362755.08

6 601318 Ping An Insurance 5003917.10 2169520.95 7173438.05

7 600804 Dr. Peng Group 3927166.18 2136267.35 6063433.53

8 600111 Baosteel Rare Earth 3163619.80 1785845.65 4949465.45

9 600256 Xinjiang Guanghui 2536312.47 1585386.22 4121698.69

10 510050 50ETF 2963241.56 955697.49 3918939.05

2013 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 6674159.45 3681327.82 10355487.27

2 510050 50ETF 2558852.35 895399.26 3454251.61

3 600016 Minsheng Bank 2287251.10 965175.46 3252426.56

4 601166 Industrial Bank 1826175.26 557040.74 2383216.00

5 600837 Haitong Securities 1778528.28 595968.29 2374496.57

6 600036 China Merchants Bank 1399378.59 676148.15 2075526.74

7 600030 CITIC Securities 1471839.70 601703.91 2073543.61

8 600000 Pudong Development Bank

1571819.69 421074.03 1992893.72

9 601318 Ping An Insurance 1401836.36 517125.84 1918962.20

10 600111 Baosteel Rare Earth 939221.43 191530.98 1130752.41

Stock Market

2014 Fact Book 30

Base Day, Base Period Index and Launch Date

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

Indices Base day Base period index Launch date

Composite Indices

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

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

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

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

SSE Sector Sub-indices 1993-4-30 1358.78 1993-5-3

SSE Medium Enterprise Composite Index 2007-12-28 1000 2008-5-12

SSE Free-float Index 2009-12-31 1000 2010-12-2

Market-size Indices

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

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

SSE Mega-cap Index 2003-12-31 1000 2009-4-23

SE 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

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

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

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

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 Sector Hierarchy Equal Weight Index 2002-6-28 1000 2011-5-24

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

Stock Market

2014 Fact Book 31

Strategy Indices




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



SSE 180 Volatility Weighted Index 2002-6-28 1000 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

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

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

Stock Market

2014 Fact Book 32

Thematic Indices

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 2004-12-31 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 2011-06-30 1000 2012-2-10

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

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

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

SSE 180 Dynamic/Stability Index (2 Indices) 2002-06-28 3299.06 2013-2-8

SSE 380 Dynamic/Stability Index (2 Indices) 2003-12-31 1000 2013-2-8

SSE Culture Industries Index 2012-06-29 1000 2013-3-26

SSE Dividend Return Index 2005-12-30 1000 2013-3-27

SSE Dividend Potential Index 2005-12-30 1000 2013-7-2

SSE Industrials Dividend Indices Series (10 Indices) 2005-12-30 1000 2013-7-2

SSE Urbanization Indices Series (7 Indices) 2012-06-29 1000 2013-8-26

SSE TMT(Technology, Media, Telecom) Industry Index 2011-06-30 1000 2013-12-25

SSE National Defense Industry Index 2004-12-31 1000 2013-12-26

SSE Dividend Low Volatility Index 2005-12-30 1000 2014-3-21

SSE Dividend Value Index 2005-12-30 1000 2014-3-21

Bond Indices

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

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

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

Stock Market

2014 Fact Book 33

Bond Indices

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

SSE Enterprise Bond Index 2003-12-31 100 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

SSE Credit Bond 100 Index 2007-12-31 100 2013-2-26



SSE Corporate Bond Indices Series (7 Indices) 2008-12-312009-12-31

100 2013-5-3

SSE Medium Term Medium-High Yield Cross Market Credit Bond Index

2008-12-31 100 2013-8-1

SSE Urban Construction Investment Bond Index 2008-12-31 100 2013-11-15

Fund Indices

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

Stock Market

2014 Fact Book 34

Number of Constituents in SSE Indices

Index Code Short Name Number of Constituents

000001 SSE Index 997

000002 A-share Index 944

000003 B-share Index 53

000004 Industrial Sub-index 637

000005 Commercial Sub-index 63

000006 Real Estate Sub-index 24

000007 Public Utilities Sub-index 102

000008 Conglomerates Index 171

000009 SSE 380 380

000010 SSE 180 180

000011 Fund Index 58

000012 T-Bond Index 134

000013 Enterprise Bond Index 1370

000015 Dividend Index 50

000016 SSE 50 50

000017 New Composite Index 938

000300 CSI 300 300

000901 Xiaokang Index 100

000902 China Securities Free Floating Index 2457

000903 China Securities 100 Index 100

Stock Market

2014 Fact Book 35

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 14072179 9.43 4.59

600010 Baotou Steel 642364 2768590 4.31 0.56

600015 Hua Xia Bank 648769 5559948 8.57 1.66

600016 Minsheng Bank 2258819 17438085 7.72 7.62

600018 Shanghai International Port 2099080 11083142 5.28 1.07

600028 China Petroleum & Chemical 9105184 40791225 4.48 1.09

600030 CITIC Securities 981466 12513694 12.75 3.78

600031 Sany Heavy Industry 759371 4875159 6.42 0.87

600036 China Merchants Bank 2062894 22464920 10.89 7.79

600048 Poly Real Estate 713799 5888845 8.25 1.53

600050 China Unicom 2119660 6804107 3.21 1.20

600104 SAIC Motor 924242 13068784 14.14 2.06

600111 Baotou Steel Rare-earth 147947 3294779 22.27 1.41

600256 Guanghui Energy 304605 2662250 8.74 1.23

600332 Guangzhou Baiyunshan 103660 2867238 27.66 0.64

600362 Jiangxi Copper 207525 2942701 14.18 0.52

600383 Gemdale 447151 2986968 6.68 1.24

600406 Nari Technology 220575 3279956 14.87 1.01

600489 Zhongjin Gold 294323 2516461 8.55 0.56

600518 Kangmei Pharmaseutical 219871 3957686 18.00 1.21

600519 Kweichow Moutai 103818 13328155 128.38 2.30

600547 Shandong Hexi Gold 142307 2454800 17.25 0.55

600549 Xiamen Tungsten 68198 1639480 24.04 0.29

600585 Anhui Conch Cement 399970 6783496 16.96 1.50

600637 BesTV 83552 3088901 36.97 1.11

600837 Haitong Securities 809213 9160293 11.32 4.01

600887 Yili Industrial 158817 6206563 39.08 2.51

Stock Market

2014 Fact Book 36



Closing Price(RMB)

Weight in SSE 50 Index(%)

600999 China Merchants Securities 466110 5910275 12.68 1.30

601006 Daqin Railway 1486679 10986559 7.39 1.92

601088 China Shenhua 1649104 26088822 15.82 2.32

601117 National Chemical Engineering 493300 3946400 8.00 0.70

601166 Industrial Bank 1617962 16406131 10.14 5.03

601169 Bank of Beijing 747307 5612279 7.51 1.74

601288 Agricultural Bank of China 28416353 70472555 2.48 2.85

601299China North Locomotive & Rolling Stock

1032006 5077468 4.92 0.90

601318 Ping An Insurance 478641 19973687 41.73 8.70

601328 Bank of Communications 3270905 12560276 3.84 2.66

601336 New China Life Insurance 110058 2518129 22.88 0.84

601398Industrial and Commercial Bank of China

26377715 94432220 3.58 2.58

601601 China Pacific Insurance 620829 11503956 18.53 2.57

601628 China Life 2082353 31506001 15.13 1.00

601668 China State Construction 2985322 9373911 3.14 2.07

601688 Huatai Securities 559767 5015514 8.96 1.10

601699 Lu’an Environmental Energy 230108 2455257 10.67 0.42

601766China South Locomotive & Rolling Stock

1011690 5068565 5.01 1.03

601818 China Everbright Bank 3985059 10600257 2.66 1.89

601857 Petrochina 16192208 124841922 7.71 1.20

601899 Zijin Mining 1580380 3650679 2.31 0.81

601901 Founder Securities 349677 2066592 5.91 0.96

601989 China Shipbuilding Industry 1181375 6627516 5.61 1.51

Stock Market

2014 Fact Book 37




Closing Price (RMB)

Weight in 180 Index(%)

600000 Pudong Development Bank 1492278 14072179 9.43 2.91

600008 Beijing Capital 220000 1487200 6.76 0.21

600009 Shanghai Airport 109348 1565858 14.32 0.39

600010 Baotou Steel 642364 2768590 4.31 0.35

600011 Huaneng Power International 1050000 5313000 5.06 0.59

600015 Hua Xia Bank 648769 5559948 8.57 1.05

600016 Minsheng Bank 2258819 17438085 7.72 4.83

600018 Shanghai International Port 2099080 11083142 5.28 0.68

600019 Baoshan Iron & Steel 1647172 6736935 4.09 0.57

600027 Huadian Power 588006 1775777 3.02 0.20

600028 China Petroleum & Chemical 9105184 40791225 4.48 0.69

600029 China Southern Airlines 702265 1931229 2.75 0.27

600030 CITIC Securities 981466 12513694 12.75 2.40

600031 Sany Heavy Industry 759371 4875159 6.42 0.55

600036 China Merchants Bank 2062894 22464920 10.89 4.94

600048 Poly Real Estate 713799 5888845 8.25 0.97

600050 China Unicom 2119660 6804107 3.21 0.76

600058 Minmetals Development 107191 1453511 13.56 0.16

600060 Hisense Electric 130848 1509987 11.54 0.25

600064 Nanjing Gaoke 51622 568873 11.02 0.11

600066 Zhengzhou Yutong 122265 2146973 17.56 0.44

600067 Citychamp Dartong 119056 770291 6.47 0.15

600085 Beijing Tongrentang 131077 2805052 21.40 0.39

600089 Tebian Electric 263556 2825320 10.72 0.79

600094 Shanghai Greattown 19938 100686 5.05 0.04

600100 Tsinghua Tongfang 198770 2021492 10.17 0.45

600104 SAIC Motor 924242 13068784 14.14 1.31

600108 Yasheng Group 194692 1563373 8.03 0.35

600109 Sinolink Securities 129407 2196040 16.97 0.25

600111 Baotou Steel Rare-Earth 147947 3294779 22.27 0.89

600118 China Spacesat 118249 2191152 18.53 0.32

600123 Lanhua Sci-Tech Venture 114240 1218941 10.67 0.20

600141 Hubei Xingfa Chemicals 36548 456119 12.48 0.11

Stock Market

2014 Fact Book 38



Closing Price (RMB)


600143 Kingfa Sci. and Tech. 263440 1464726 5.56 0.25

600150 China State Shipbuilding 137812 3333666 24.19 0.37

600157 Wintime Energy 143395 772898 5.39 0.16

600158 China Sports 65750 502984 7.65 0.15

600160 Zhejiang Juhua 179147 962018 5.37 0.14

600162 Shenzhen Heungkong 76781 426136 5.55 0.06

600166 Foton Motor 253810 1294431 5.10 0.24

600170 Shanghai Construction 84589 526992 6.23 0.15

600177 Yongor 214361 1607704 7.50 0.33

600188 Yanzhou Coal 296000 2628480 8.88 0.15

600196 Fosun Pharmaceutical 190439 3730705 19.59 0.63

600199 Golden Seed Winery 55578 563556 10.14 0.11

600208 Xinhu Zhongbao 625726 2002322 3.20 0.22

600216 Zhejiang Medicine 93610 978228 10.45 0.19

600221 Hainan Airlines 1181206 2362413 2.00 0.33

600239 Yunnan City 82343 442181 5.37 0.09

600240 Homyear Realestate 142425 578247 4.06 0.10

600252 Zhongheng Group 109175 1489144 13.64 0.33

600256 Guanghui Industry 304605 2662250 8.74 0.78

600259 Rising Nonferrous Metals 24940 968919 38.85 0.13

600266 Beijing Urban Construction 88920 860746 9.68 0.12

600267 Hisun Pharmaceutical 83971 1244449 14.82 0.21

600271 Aisino 92340 1862498 20.17 0.32

600276 Hengrui Medicine 136022 5166120 37.98 0.73

600300 V V Food and Beverage 167200 799216 4.78 0.11

600309 Yantai Wanhua 216233 4476033 20.70 0.63

600315 Shanghai Jahwa 64968 2743589 42.23 0.56

600316 Hongdu Aviation Industry 71711 1246345 17.38 0.21

600325 Huafa 81705 608699 7.45 0.14

600332 Guangzhou Baiyunshan 103660 2867238 27.66 0.41

600340China Fortune Land Development

52317 1058371 20.23 0.30

600348 Yang Quan Coal Industry 240500 1697930 7.06 0.23

600352 Zhejiang Longsheng 151587 2003975 13.22 0.45

600362 Jiangxi Copper 207525 2942701 14.18 0.33

600366 Ningbo Yunsheng 51450 707949 13.76 0.14

600369 Southwest Securities 232255 2306297 9.93 0.32

Stock Market

2014 Fact Book 39



Closing Price (RMB)


600372 Aviation Electronics 90283 2154150 23.86 0.24

600376 Beijing Capital Development 224201 1127732 5.03 0.16

600383 Gemdale 447151 2986968 6.68 0.79

600395 Panjiang Refined Coal 165505 1201568 7.26 0.10

600406NARI Technology Development

220575 3279956 14.87 0.64

600415Zhejiang China Commodities City

272161 1597583 5.87 0.22

600418 JAC 106904 933270 8.73 0.22

600489 Zhongjin Gold 294323 2516461 8.55 0.36

600497 Chihong Zinc & Germanium 166756 1562505 9.37 0.22

600498Fiberhome Telecommunication Technologies

96572 1487208 15.40 0.21

600503 Deluxe Family 109948 458482 4.17 0.13

600516 FangDa Carbon New Material 153489 1168054 7.61 0.18

600518 Kangmei Pharmaceutical 219871 3957686 18.00 0.77

600519 Kweichow Moutai 103818 13328155 128.38 1.46

600535 Tasly Pharmaceutical 103284 4429862 42.89 0.74

600546Shanxi Coal Internat ional Energy

198246 981316 4.95 0.14

600547 Shangdong Gold 142307 2454800 17.25 0.35

600549 Xiamen Tungsten 68198 1639480 24.04 0.18

600583 Offshore Oil Engineering 388944 3018205 7.76 0.38

600585 Anhui Conch Cement 399970 6783496 16.96 0.95

600588 Yonyou Software 95925 1327597 13.84 0.19

600597 Bright Dairy & Food 122239 2713697 22.20 0.37

600598 Heilongjiang Agriculture 177768 2010556 11.31 0.22

600600 Tsingtao Brewery 69591 3406497 48.95 0.49

600633 Zhejiang Daily Meida 15205 461778 30.37 0.11

600637 BesTV 83552 3088901 36.97 0.70

600639 Shanghai Jinqiao 65665 772219 11.76 0.09

600643 AJ Trust & Investment 81792 928343 11.35 0.24

600649 Shanghai Chengtou 298752 2488607 8.33 0.35

600663 Lujiazui 135808 2307385 16.99 0.19

600674 Chuantou Energy 198187 2211764 11.16 0.31

600675 China Enterprise 155588 1075115 6.91 0.21

600684 Pearl River Enterprises 47414 342333 7.22 0.07

Stock Market

2014 Fact Book 40



Closing Price (RMB)


600690 Qingdao Haier 272084 5305630 19.50 0.89

600702 Tuopai Shede Wine 33730 507299 15.04 0.11

600703 Sanan Optoelectronics 134951 3345431 24.79 0.51

600705 AVIC Capital 74464 1264402 16.98 0.36

600736 Suzhou New District Hi-Tech 105788 427384 4.04 0.07

600739 Liaoning Chengda 136471 2393701 17.54 0.68

600741 Huayu Automotive 258320 2619365 10.14 0.29

600747Dalian Daxian Enterprises Holdings

106433 403380 3.79 0.11

600748Shanghai Industrial Development

108337 817945 7.55 0.09

600759 Zhenghe Industrial 121602 969170 7.97 0.14

600765 AVIC Heavy Machinery 77800 974060 12.52 0.16

600770 Jiangsu Zongyi 108210 910046 8.41 0.18

600773Tibet Urban Development and Investment

53964 514816 9.54 0.06

600795 GD Power 1539503 3617832 2.35 0.57

600804 Dr. Peng 133851 1881949 14.06 0.44

600809Shanxi Xinghuacun Fen Wine Factory

86585 1671087 19.30 0.13

600816 Anxin Trust and Investment 45385 646736 14.25 0.13

600823 Shimao Real Estate 117060 1051195 8.98 0.09

600832 Oriental Pearl 318633 3113049 9.77 0.43

600837 Haitong Securities 809213 9160293 11.32 2.54

600875 Dongfang Electric 166386 2091472 12.57 0.24

600880 B-ray media 41407 703093 16.98 0.20

600886 SDIC Electric Power 678602 2666907 3.93 0.37

600887 Yili Group 158817 6206563 39.08 1.59

600893 Aero-engine 108622 2077946 19.13 0.30

600895 Zhangjiang Hi-tech 154869 1163066 7.51 0.16

600900 Yangtze Power 974594 6159435 6.32 0.87

600970Sinoma International Engineering

109330 907437 8.30 0.10

600999 China Merchants Securities 466110 5910275 12.68 0.82

601006 Daqin Railway 1486679 10986559 7.39 1.22

601009 Bank of Nanjing 296893 2401867 8.09 0.47

Stock Market

2014 Fact Book 41



Closing Price (RMB)


601088 China Shenhua 1649104 26088822 15.82 1.47

601099 Pacific Ocean 165364 983919 5.95 0.19

601111 Air China 832927 3290062 3.95 0.19

601117 China National Chemical 493300 3946400 8.00 0.45

601118 Hainan Rubber Industry 98500 731855 7.43 0.24

601166 Industrial Bank 1617962 16406131 10.14 3.19

601168 Western Mining 238300 1284437 5.39 0.29

601169 Bank Of Beijing 747307 5612279 7.51 1.10

601186 China Railway Construction 1001625 4697619 4.69 0.40

601216 Junzheng Energy & Chemical 49836 581088 11.66 0.12

601288 Agricultural Bank of China 28416353 70472555 2.48 1.80

601299 China CNR 1032006 5077468 4.92 0.57

601318 Ping An Insurance 478641 19973687 41.73 5.51

601328 Bank of Communications 3270905 12560276 3.84 1.68

601336 New China Life Insurance 110058 2518129 22.88 0.53

601377 Industrial Securities 207936 1967075 9.46 0.41

601390 China Railway 1709251 4580793 2.68 0.38

601398Industrial and Commercial Bank of China

26377715 94432220 3.58 1.63

601555 Soochow Securities 122138 1050387 8.60 0.29

601588 Beijing North Star 266000 715540 2.69 0.12

601600 Chalco 958052 3257377 3.40 0.27

601601 China Pacific Insurance 620829 11503956 18.53 1.63

601607 Shanghai Pharmaceuticals 192294 2844021 14.79 0.40

601628 China Life 2082353 31506001 15.13 0.63

601633 Great Wall Motor 30424 1252568 41.17 0.47

601668 China State Construction 2985322 9373911 3.14 1.31

601669 Sinohydro 300300 921921 3.07 0.33

601688 Huatai Securities 559767 5015514 8.96 0.70

601699 Lu’an Environmental Energy 230108 2455257 10.67 0.26

601717Zhengzhou Coal Mining Machinery Group

137789 861180 6.25 0.15

601766China South Locomotive & Rolling Stock

1011690 5068565 5.01 0.65

601800China Communications Construction

134974 545293 4.04 0.27

601808 China Oilfield Services 291047 6496165 22.32 0.37

Stock Market

2014 Fact Book 42



Closing Price (RMB)


601818 Everbright Bank 3985059 10600257 2.66 1.20

601857 Petrochina 16192208 124841922 7.71 0.76

601888China International Travel Service

88000 3071200 34.90 0.29

601899 Zijin Mining 1580380 3650679 2.31 0.52

601901 Founder Securities 349677 2066592 5.91 0.61

601928 Phoenix Publishing and Media 65900 630004 9.56 0.21

601939 China Construction Bank 959366 3971774 4.14 1.11

601958 Jinduicheng Molybdenum 322660 2339288 7.25 0.20

601988 Bank of China 19552621 51227866 2.62 0.47

601989 China Shipbuilding Industry 1181375 6627516 5.61 0.96

601992 BBMG Corporation 126655 861254 6.80 0.23

601998 Citic Bank 3190516 12347298 3.87 0.32

603000 People’s website 11152 869543 77.97 0.18

603993 China Molybdenum 196842 1277505 6.49 0.04

Stock Market

2014 Fact Book 43



Market Cap ofTradable Shares (RMB 10,000)

Closing Price (RMB)

Weight in380 Index(%)

600004 Guangzhou Baiyun International Airport 115000 799250 6.95 0.24

600005 Wuhan Iron and Steel 1009378 2220632 2.20 0.65

600007 China World Trade Center 100728 1068727 10.61 0.16

600012 Anhui Expressway 116560 459246 3.94 0.10

600017 Rizhao Port 263063 668180 2.54 0.29

600020 Zhongyuan Expressway 224737 498917 2.22 0.15

600021 Shanghai Electric Power 213974 992839 4.64 0.22

600033 Fujian Expressway Development 133975 286706 2.14 0.21

600037 BGCTV 106037 826027 7.79 0.36

600038 Hafei Aviation Industry 33735 927375 27.49 0.36

600039 Sichuan Road & Bridge 54720 330509 6.04 0.20

600054 Huangshan Tourism Development 11762 120678 10.26 0.09

600056 China Medicine and Health Products 44223 964502 21.81 0.30

600059 Guyuelongshan Shaoxing Wine 63486 602479 9.49 0.27

600062China Resources Double-Crane Pharmaceutical

57170 1278884 22.37 0.56

600068 China Gezhouba Group 348746 1381034 3.96 0.61

600070 Zhejiang Furun 18288 146851 8.03 0.09

600073 Shanghai Maling Aquarius 77580 681153 8.78 0.33

600078 Chengxing Phosph-Chemicals 66257 384955 5.81 0.17

600079 Humanwell Healthcare 46135 1307927 28.35 0.80

600082 Hitech Development 62999 306805 4.87 0.18

600088 China Television Media 33142 514367 15.52 0.19

600096 Yuntianhua Group 36419 324131 8.90 0.29

600097 Kaichuang Marine International 11545 146506 12.69 0.09

600098 Guangzhou Development Industry 245340 1319929 5.38 0.32

600101 Mingxing Electric Power 32418 281712 8.69 0.14

600106 Chongqing Road & Bridge 90774 339496 3.74 0.20

600110 China-Kinwa High Technology 115031 700540 6.09 0.51

600112 Changzheng Electricv 50920 652801 12.82 0.32

600113 Zhejiang Dongri 31860 281324 8.83 0.12

Stock Market

2014 Fact Book 44



Closing Price (RMB)


600114 Nbtm New Materials 10768 160333 14.89 0.14

600116Three Gorges Water Conservancy and Electric Power

26753 276094 10.32 0.14

600120 Zhejiang Orient Holdings 50547 634369 12.55 0.28

600121Zhengzhou Coal Industry & Electric Power

62914 317087 5.04 0.11

600122 Hongtu High Technology 113279 455381 4.02 0.27

600125 China Railway Tielong Container Logistics 130552 742842 5.69 0.38

600131 Minjiang Hydropower 39737 161728 4.07 0.09

600132 Chongqing Beer 48397 783549 16.19 0.34

600135 Lucky Film 34200 273600 8.00 0.14

600138 China CYTS Tours 41535 731847 17.62 0.53

600139 Western Resources 62971 464730 7.38 0.22

600153 Xiamen C & D 223775 1599992 7.15 0.70

600161 Tiantan Biological Products 51547 1095883 21.26 0.40

600167 Luenmei Holding 21100 214587 10.17 0.08

600171 Shanghai Belling 67381 608448 9.03 0.36

600172 Huanghe Whirlwind 49668 328304 6.61 0.18

600175 Meidu Holding 137128 651358 4.75 0.34

600176 China Fiberglass 64109 485304 7.57 0.19

600183 Shengyi Technology 140051 691851 4.94 0.31

600184 North Electro-optic 11765 251773 21.4 0.10

600185 Gree Real Estate 57759 483447 8.37 0.18

600190 Jinzhou Port 133898 507474 3.79 0.15

600193 Prosolar Resources Development 42537 280746 6.60 0.14

600195 China Animal Husbandry Industry 39000 613470 15.73 0.20

600197 Xinjiang Yilite Industry 44100 481131 10.91 0.17

600200 Jiangsu Wuzhong Industrial 52209 594660 11.39 0.52

600201 Jinyu Group 28081 723660 25.77 0.53

600210 Zijiang Enterprise Group 143674 466939 3.25 0.27

600219 Nanshan Aluminum 193415 1007694 5.21 0.44

600227 Guizhou Chitianhua 95039 260408 2.74 0.15

600230 Cangzhou Dahua Group 25933 299009 11.53 0.11

600236 Guiguan Electric Power 112823 353136 3.13 0.21

Stock Market

2014 Fact Book 45



Closing Price (RMB)


600238 Hainan Yedao 44203 322683 7.30 0.24

600246 Wantong Realestate 121680 355306 2.92 0.13

600248 Yanchang Petroleum 29127 229233 7.87 0.10

600249 Liuzhou Liangmianzhen 45000 248850 5.53 0.14

600251 Guannong Fruit & Antler 36210 546771 15.10 0.24

600257 Dahu Aquaculture 42705 319433 7.48 0.19

600258 Beijing Capital Tourism 23140 333679 14.42 0.10

600260 Kaile Science and Technology 52764 402062 7.62 0.24

600261 Zhejiang Yankon Group 64538 896432 13.89 0.33

600262 North Hauler Joint Stock 6600 94182 14.27 0.07

600268 Guodian Nanjing Automation 63525 322070 5.07 0.12

600269 Ganyue Expressway 233541 681939 2.92 0.25

600270 Sinotrans Air Transportation Development 33084 337130 10.19 0.28

600277 Yili Energy 153329 1159167 7.56 0.23

600278 Orient International Enterprise 41600 469664 11.29 0.13

600280 Nanjing Central Emporium 57417 736083 12.82 0.16

600284Shanghai Pudong Road and Bridge Construction

49824 526640 10.57 0.32

600285 Lingrui Pharmaceutical 30108 289639 9.62 0.20

600287 Jiangsu Guoxin-Sainty Football Club 43680 291780 6.68 0.11

600289 Bright Oceans Inter-Telecom 56738 508371 8.96 0.30

600292 Jiulong Electric Power 33450 866021 25.89 0.40

600295 Eerduosi Resources 61200 544680 8.90 0.15

600298 Angel Yeast 31544 544773 17.27 0.25

600307 Jiu Steel Group Hongxing Iron and Steel 409136 1071936 2.62 0.24

600308 Huatai Paper 116756 330420 2.83 0.17

600310 Guidong Electric Power 27593 306001 11.09 0.11

600312 Pinggao Electric 81897 827156 10.10 0.48

600317 Ying Kou Port 109757 385248 3.51 0.16

600318 Chaodong Cement 24200 241516 9.98 0.10

600321 Guodong Construction 118088 243261 2.06 0.13

600322 Tianjin Reality Development 110570 367092 3.32 0.22

600323 Nanhai Development 48792 516711 10.59 0.32

600327 Wuxi Commercial Mansion Grand Orient 52171 261378 5.01 0.11

Stock Market

2014 Fact Book 46



Closing Price (RMB)


600329 Zhongxin Pharmaceutical 53343 673193 12.62 0.20

600333 Changchun Gas 46152 371062 8.04 0.16

600335 Sinomach Automobile 27596 358468 12.99 0.16

600337 Markor International Furniture 63268 379608 6.00 0.17

600343 Aerospace Power Hi-Tech 23968 341309 14.24 0.13

600345 Yangtze Communication Industry 19800 264924 13.38 0.12

600350 Shandong Expressway 336380 1019231 3.03 0.21

600351 Yabao Pharmaceutical 63295 394962 6.24 0.25

600353 Xuguang Electronics 25825 172250 6.67 0.08

600363Lianchuang Optoelectronic Science and Technology

42281 324293 7.67 0.20

600367 Redstar Developing 29120 246064 8.45 0.11

600368 Wuzhou Communications 83380 383549 4.60 0.14

600371 WanXiang Doneed 20460 187209 9.15 0.06

600373 Chinese Media 56725 1014234 17.88 0.26

600375 Hualing Xingma Automobile 18748 194981 10.40 0.12

600377 Jiangsu Expressway 379276 2116357 5.58 0.31

600378 Tianyi Science & Technology 29719 307892 10.36 0.13

600380 Joincare Pharmaceutical 154584 745093 4.82 0.22

600382 Guangdong Mingzhu 34175 247083 7.23 0.14

600386 Beijing Bashi Media 40320 329818 8.18 0.12

600387 Zhejiang Haiyue 38571 777591 20.16 0.44

600388 Fujian Longking 42407 1421496 33.52 0.84

600389 Jiangshan Agrochemical & Chemicals 19800 774774 39.13 0.28

600391 Chengfa Aero-Science & Technology 33013 398466 12.07 0.18

600396 Kingsoft 34060 250000 7.34 0.13

600397 Anyuan Coal 64533 274267 4.25 0.12

600403 DaYou Energy 97845 696654 7.12 0.25

600409 Sanyou Chemical Industries 166972 776419 4.65 0.32

600410 Beijing Teamsun Technology 63745 430276 6.75 0.25

600420 Shanghai Modern Pharmaceutical 28773 468718 16.29 0.20

600422 Kunming Pharmaceutical 34057 803407 23.59 0.48

600425Qingsong Bu i ld ing Mater ia l s And Chemicals

137879 529455 3.84 0.19

Stock Market

2014 Fact Book 47



Closing Price (RMB)


600426 Hualu-Hengsheng Chemical 95363 645604 6.77 0.33

600428 COSCO Shipping 169045 593347 3.51 0.22

600432 Ji En Nickel Industry 81112 626997 7.73 0.23

600433 Guanhao High-tech 110628 1177082 10.64 0.65

600435 China North Optical-Electrical Technology 74466 981462 13.18 0.36

600436 Pientzehuang Pharmaceutical 16088 1517303 94.31 0.56

600438 Tongwei 68752 615330 8.95 0.21

600439 Rebecca Hair Products 94332 473547 5.02 0.24

600446 Kingdom Technology 26261 405725 15.45 0.17

600449 Ningxia Building Materials 25077 195348 7.79 0.16

600458 Times New Material Technology 66142 660761 9.99 0.29

600459 Sino-Platinum Metals 19554 394398 20.17 0.18

600460 Silan Microelectronics 86816 520896 6.00 0.21

600467 Homey Aquatic Development 72002 401769 5.58 0.18

600468 Benefo Tejing Electric 45619 437032 9.58 0.13

600469 Aeolus Tyre 37494 303703 8.10 0.13

600470 Liuguo Chemical 52160 339040 6.50 0.19

600475 Huaguang Boiler 25600 313088 12.23 0.14

600478 Corun New Energy 31482 816652 25.94 0.48

600479 Qianjin Pharmaceutical 30482 383767 12.59 0.19

600480 Lingyun Industrial 36171 253200 7.00 0.13

600481 Shuangliang Eco-Energy Systems 81010 924329 11.41 0.27

600482 Fengfan 46100 472064 10.24 0.24

600486 Yangnong Chemical 17217 602409 34.99 0.27

600487 Hengtong Optic-electric 16612 351012 21.13 0.2

600488 Tianjin Tianyao Pharmaceutical 81434 343649 4.22 0.15

600491 Long Yuan Construction 94760 335450 3.54 0.15

600495 Jinxi Axle 30224 397443 13.15 0.20

600496 Changjiang & Jinggong Steel Building 58657 410596 7.00 0.21

600499 Keda Industrial 64094 1287642 20.09 0.80

600500 Sinochem International 143759 1092568 7.60 0.46

600501 Aerosun 38928 364759 9.37 0.16

600502 Anhui Water Resources Development 50193 417606 8.32 0.31

600507 Fangda Special Steel Technology 131072 481035 3.67 0.14

Stock Market

2014 Fact Book 48



Closing Price (RMB)


600508 Shanghai Datun Energy Resources 72272 716214 9.91 0.21

600509 Tianfu Thermoelectric 65570 577669 8.81 0.23

600510 Black Peony 79552 484473 6.09 0.14

600511 China National Medicines 27764 523913 18.87 0.38

600513 Lianhuan Pharmaceutical 15210 163051 10.72 0.07

600517 Zhixin Electric 61871 915683 14.80 0.46

600521 Huahai Pharmaceutical 78088 1058090 13.55 0.47

600522 Zhongtian Technology 70450 769319 10.92 0.45

600523Guizhou Guihang Automotive Components

28860 349499 12.11 0.13

600525 Changyuan Group 86351 764206 8.85 0.39

600526Feida Environmental Science & Technology

14000 285740 20.41 0.15

600527 Jiangsu Jiangnan High Polymer Fiber 80209 559858 6.98 0.40

600528 China Railway Erju 145920 747110 5.12 0.27

600531 Yuguang Gold & Lead 29525 273993 9.28 0.11

600536 China National Software and Service 22569 850189 37.67 0.28

600545 Xinjiang Urban Construction 67579 430476 6.37 0.25

600548 Shenzhen Expressway 143327 483012 3.37 0.07

600551 Time Publishing & Media 50583 825001 16.31 0.25

600552 Fangxing Science&Technology 17550 330642 18.84 0.16

600557 Kanion Pharmaceutical 30711 934220 30.42 0.64

600559 Laobaigan Liquor 14000 363580 25.97 0.18

600560 Aritime Intelligent Control 22365 191217 8.55 0.09

600561 Jiangxi Changyun 18572 201511 10.85 0.11

600563 Xiamen Faratronic 22500 510975 22.71 0.19

600565 Chongqing Dima Industry 72000 245520 3.41 0.13

600567 Shanying Paper 149852 316187 2.11 0.23

600568 Zhongzhu Holding 18803 159823 8.5 0.14

600570 Hundsun Technologies 61781 1288742 20.86 0.76

600571 Sunyard System Engineering 20016 317858 15.88 0.15

600572 Conba Pharmaceutical 70096 946992 13.51 0.40

600575 Wuhu Port Storage & Transportation 142320 461117 3.24 0.24

600577 Jingda Special Magnet Wire 70957 273183 3.85 0.14

Stock Market

2014 Fact Book 49



Closing Price (RMB)


600578 Beijing Jingneng Thermal Power 153477 557123 3.63 0.25

600580 Wolong Electric 68773 428455 6.23 0.25

600581 Bayi Iron & Steel 76645 316543 4.13 0.12

600582 Tiandi Science & Technology 121392 853386 7.03 0.25

600584 Changjiang Electronics Technology 85313 546006 6.40 0.41

600586 Jinjing Science and Technology 96711 305607 3.16 0.23

600587 Shinva Medical Instrument 17405 1216805 69.91 0.70

600589 Guangdong Rongtai Industry 60173 302670 5.03 0.16

600594 Yibai Pharmaceutical 35591 1160979 32.62 0.58

600595 Zhongfu Industry 151487 554444 3.66 0.23

600596 Xinan Chemical Indusyrial 67918 719257 10.59 0.42

600611 Dazhong Transportation 104221 644086 6.18 0.28

600612 Lao Feng Xiang 31711 739500 23.32 0.22

600614 Dingli Share 44676 465970 10.43 0.17

600616 JinFeng Wine 43867 377696 8.61 0.19

600618 Chlor-Alkali Chemical 74984 501643 6.69 0.11

600620 Shanghai Tianchen 45778 412006 9.00 0.23

600622 Shanghai Jiabao Industry and Commerce 51430 317325 6.17 0.18

600623 Double Coin Holdings 64637 620513 9.60 0.04

600624 Fudan Forward Science and Technology 34516 320304 9.28 0.18

600626 Shanghai Shenda 71024 635667 8.95 0.30

600628 Shanghai Shenda 53180 450434 8.47 0.26

600635 Dazhong Public Utilities 164487 901389 5.48 0.52

600636 New Huangpu Real Estate 38195 434660 11.38 0.22

600638 New Huang Pu Real Estate 56116 686865 12.24 0.40

600642 Shenergy 455204 2071177 4.55 0.75

600644 Leshan Electric Power 32648 263469 8.07 0.14

600648Waigaoqiao Free Trade Zone Development

81022 2611350 32.23 0.58

600651 Feilo Acoustics 73907 422006 5.71 0.31

600654 Shanghai Feilo 75504 551182 7.3 0.41

600655 Yuyuan Tourist Mart 143732 1115362 7.76 0.57

600657 Cinda Real Estate 152426 492336 3.23 0.14

600658Electronic Zone Investment and Development

58010 681034 11.74 0.15

Stock Market

2014 Fact Book 50



Closing Price (RMB)


600660 Fuyao Glass Industry 200299 1660476 8.29 0.85

600662 Qiangsheng Holding 54904 249815 4.55 0.21

600664 Harbin Pharmaceutical 105339 645728 6.13 0.44

600666 Southwest Pharmaceutical 29015 201362 6.94 0.10

600667 Taiji Industry 119127 409798 3.44 0.21

600668 Jianfeng Group 34372 333412 9.7 0.23

600673 Dongyangguang Aluminum 82261 784772 9.54 0.17

600676 Shanghai Jiao Yun 78214 488056 6.24 0.19

600677 Aerospace Communications 32617 376729 11.55 0.25

600682 Nanjing Cenbest 35739 405995 11.36 0.15

600683 Metro Land 74078 325201 4.39 0.12

600685 Guangzhou Shipyard International 43846 741442 16.91 0.27

600686 King Long Motor 44260 386387 8.73 0.20

600687 Gangtai Group 12689 144145 11.36 0.09

600688 Sinopec Shanghai Petrochemical 162000 494100 3.05 0.49

600694 Dashang 29372 848259 28.88 0.62

600697 Chang Chun Eurasia 15516 290607 18.73 0.17

600704Zhejiang Material Industrial Zhongda Yuantong Group

79052 897235 11.35 0.45

600708 Haibo Shares 50838 379253 7.46 0.19

600712 Nanning Department Store 53773 213478 3.97 0.13

600717 Tianjin Port 167477 1431928 8.55 0.52

600718 Neusoft 122759 1506258 12.27 0.77

600720 Qilianshan Cement 77616 519253 6.69 0.30

600723 Beijing Capital Retailing 31788 207255 6.52 0.16

600724 Ningbo Fuda 144494 605431 4.19 0.13

600729 Chongqing Department Store 20305 442239 21.78 0.26

600742 FAWAY Automobile Components 21152 378838 17.91 0.22

600743 Huayuan Property 181766 463504 2.55 0.10

600750 Jiangzhong Pharmaceutical 31115 493484 15.86 0.22

600754 Jinjiang International Hotels Development 44724 716480 16.02 0.21

600755 Xiamen ITG Group 133084 722644 5.43 0.37

600756 Shandong Inspur software 27875 366274 13.14 0.22

600761 Anhui Heli 51401 621443 12.09 0.32

Stock Market

2014 Fact Book 51



Closing Price (RMB)


600776 Eastern Communications 95600 588896 6.16 0.18

600778 Xinjiang Youhao 30939 286805 9.27 0.15

600780 Top Energy Company 87294 446946 5.12 0.17

600783 Luxin Venture Capital 74436 1526681 20.51 0.34

600784 Luyin Investment 49661 271648 5.47 0.20

600785 Yinchuan Xinhua Commercial 20743 244561 11.79 0.13

600787 CMST Development 84010 863626 10.28 0.35

600790 Light & Textile Industrial City 61878 392304 6.34 0.22

600794 Freetrade Science & Technology 42783 325580 7.61 0.13

600801 Huaxin Cement 55621 675241 12.14 0.27

600805 Yueda Investment 84920 931575 10.97 0.55

600811 Orient Group 166681 1048421 6.29 0.61

600815 Xiamen XGMA Machinery 93971 373065 3.97 0.17

600820 Shanghai Tunnel Engineering 88574 803363 9.07 0.35

600824 Yimin Group 87836 487488 5.55 0.25

600825 Shanghai Xinhua Media 104489 929950 8.90 0.34

600826 Shanghai Lansheng 42064 646107 15.36 0.23

600827 Shanghai Friendship Group 124038 1224258 9.87 0.55

600828 Chengshang Group 56898 302130 5.31 0.09

600829 Sanjing Pharmaceutical 57989 384466 6.63 0.08

600830 Sunny Loan Top 45432 438421 9.65 0.23

600831Shaanxi Broadcast & Tv Network Intermediary

56344 420325 7.46 0.22

600833 Shanghai No.1 Pharmacy 22309 190293 8.53 0.08

600835Shanghai Mechanical & Electrical Industry

80650 1423480 17.65 0.42

600839 Changhong 461000 1401439 3.04 0.83

600845 Shanghai Baosight Software 22652 566293 25.00 0.08

600846 Tongji Science & Technology Industrial 62476 355489 5.69 0.21

600850 East China Computer 17103 358140 20.94 0.14

600858 Silver Plaza Group 51755 391266 7.56 0.20

600859 Wangfujing Department Store 41764 758438 18.16 0.31

600863Inner Mongolia MengDian HuaNeng Thermal Power

175940 599956 3.41 0.48

600864 Harbin Hatou Investment 54638 542007 9.92 0.24

Stock Market

2014 Fact Book 52



Closing Price (RMB)


600867 Tonghua Dongbao Pharmaceutical 93146 1426058 15.31 0.72

600869 Far East Cable 99004 707881 7.15 0.16

600872Jonjee Hi-tech Industrial and Commercial Holding

79664 905776 11.37 0.65

600873 Meihua Holdings Group 160755 1003110 6.24 0.42

600874Tianjin Capital Environmental Protection Group

108723 888266 8.17 0.26

600879 Aerospace Times Electronics 103954 973007 9.36 0.58

600881 Jilin Yatai 189473 742735 3.92 0.54

600882 Hualian Mining 28210 232449 8.24 0.12

600884 Ningbo Shanshan 41086 506177 12.32 0.26

600888 Xinjiang Joinworld 62742 371435 5.92 0.17

600897 Xiamen International Airport 29781 444630 14.93 0.14

600963 Yueyang Forest&Paper 84316 272340 3.23 0.17

600967 Beifang Chuangye 42946 740819 17.25 0.35

600971 Hengyuan Coal-Electricity 100000 713003 7.13 0.26

600975 New Wellful 23436 142960 6.10 0.07

600976 Wuhan Jianmin Pharmaceutical 15330 366997 23.94 0.21

600978 Yihua Timber Industry 114483 655989 5.73 0.39

600979 Guangan Aaa Public 59289 292296 4.93 0.13

600983 Hefei Rongshida Sanyo Electric 53280 800798 15.03 0.24

600987 Hangmin Stock 63531 358950 5.65 0.13

600990 Sun-Create Electronics 11760 331867 28.22 0.14

600993 MaYingLong Pharmaceutical Group 33088 573079 17.32 0.25

600995 Yunnan Wenshan Electric Power 47853 243091 5.08 0.14

600997 Kailuan Energy Chemical 123464 687694 5.57 0.25

600998 Jointown Pharmaceutical Group 142052 2129353 14.99 0.47

601000 Tangshan Port 203035 621288 3.06 0.18

601001 Datong Coal 167370 967399 5.78 0.28

601010 Wenfeng Great World 18420 125809 6.83 0.11

601011 Baotailong Coal and Coal Chemicals 12461 124856 10.02 0.11

601018 Ningbo Port 1280000 3123200 2.44 0.68

601038 YTO Group 15000 141000 9.40 0.13

601058 Sailun 19562 274260 14.02 0.23

Stock Market

2014 Fact Book 53



Closing Price (RMB)


601098 China South Publishing & Media Group 179600 1973804 10.99 0.43

601100 Hengli Highpressure Oil Cylinder 15750 190418 12.09 0.17

601101 Haohua Energy Resource 120000 865199 7.21 0.25

601106 China First Heavy Industries 653800 1366442 2.09 0.40

601107 Sichuan Expressway 216274 618544 2.86 0.14

601113 Huading Nylon 30400 124336 4.09 0.06

601126 Sifang Automation 40484 779323 19.25 0.17

601137 Ningbo Powerway Alloy Material 9500 142405 14.99 0.07

601139 Shenzhen Gas 190458 1506522 7.91 0.23

601158 Chongqing Water Group 480000 2827200 5.89 0.41

601179 China XD Electric 435700 1424739 3.27 0.36

601208 EM Technology 31707 220366 6.95 0.13

601222 Linyang Electronics 11975 248729 20.77 0.22

601231 Universal Scientific Industrial 10680 224814 21.05 0.31

601233 Tongkun Group 52576 315983 6.01 0.13

601238 Guangzhou Automobile Group 60432 497957 8.24 0.52

601258 Pangda Automobile Trade 71344 357433 5.01 0.29

601311 Camel Group 30185 329017 10.9 0.27

601313 SJEC Elevators & Escalators 28191 230036 8.16 0.12

601333 Guangshen Railway 565224 1576974 2.79 0.69

601369 Shaangu Power 163877 1089782 6.65 0.32

601388 Ye Chiu Group 17119 157319 9.19 0.11

601515 Dongfeng Motor 8465 218482 25.81 0.21

601518 Jilin Expressway 121320 270544 2.23 0.08

601566 Joeone 12464 158663 12.73 0.16

601567 Sanxing Electric 13428 131192 9.77 0.09

601608 CITIC Heavy Industries 75268 253654 3.37 0.20

601618 Metallurgical Corp. of China 1623900 2841825 1.75 0.63

601636 Kibing Group 17050 135889 7.97 0.12

601666 Pingdingshan Tianan Coal 236117 1241973 5.26 0.45

601678 Befar Group 66000 510180 7.73 0.19

601700 Fengfan Power Equipment 16380 211793 12.93 0.17

601718 Jihua Group 385700 1068389 2.77 0.32

601727 Shanghai Electric Group 985071 3644764 3.70 0.54

Stock Market

2014 Fact Book 54



Closing Price (RMB)


601777 Lifan Industry 95145 609876 6.41 0.14

601789 Ningbo Construction 11198 92831 8.29 0.09

601801 Anhui Xinhua Media 91000 1134770 12.47 0.17

601872 China Merchants Energy Shipping 377674 913970 2.42 0.33

601877 Chint Electrics 100802 2507949 24.88 0.53

601880 Dalian Port 336340 894664 2.66 0.19

601886 Jangho Curtain Wall 52067 408204 7.84 0.19

601890 Asian Star Anchor Chain 46800 316836 6.77 0.14

601898 China Coal Energy 900698 4296328 4.77 0.64

601908 Beijing Jingyuntong Technology 20752 170166 8.20 0.15

601918 Sdic Xinji Energy 259054 1031036 3.98 0.30

601929 Jishi Media 86622 726758 8.39 0.53

601933 Yonghui Superstores 153580 2041078 13.29 0.64

601965 China Automotive Engineering Research 19200 257280 13.40 0.19

601991 Datang International Power Generation 989436 4195209 4.24 0.93

601996 Fenglin Group 19619 142241 7.25 0.12

603001 Zhejiang Aokang Shoes 11695 173786 14.86 0.13

603077 Sichuan Hebang 15000 210000 14.00 0.18

603128 CTS International Logistics 16000 174720 10.92 0.10

603167 Bohai Ferry 30452 254271 8.35 0.09

603366 Solareast Corporation 14140 200364 14.17 0.17

603399 New China Dragon Electronic 8947 100743 11.26 0.08

603766 Loncin Industries 39262 369459 9.41 0.17

Stock Market

2014 Fact Book 55

0

500

1000

1500

2000

2500

1-4

1-252

-22

3-154

-95-3

5-24

6-19

7-10

7-31

8-21

9-11

10-11

11-1

11-22

12-1

3

0500

1000

1500

2000

2500

3000

Tren

ds o

f SSE

Com

posi

te In

dex

in 2

013

Turnover Value (RMB 100 million)

Closing Index

Turn

over

Val

ue

(RM

B 1

00 m

illio

n)SS

E C

ompo

site

Clo

sing

Inde

x

Stock Market

2014 Fact Book 56

His

toric

al T

rend

s of

SSE

Com

posi

te In

dex

0

2000

4000

6000

8000

10000

12000

14000

16000

1990

-12-

21

1991

-7-1

9

1992

-2-1

4

1992

-9-1

119

93-4

-9

1993

-11-

5

1994

-6-1

019

95-1

-6

1995

-8-1

1

1996

-3-2

2

1996

-10-

18

1997

-5-3

0

1997

-12-

2619

98-8

-7

1999

-3-1

9

1999

-10-

1520

00-6

-220

01-1

-5

2001

-8-1

720

02-4

-5

2002

-11-

8

2003

-6-2

0

2004

-1-1

6

2004

-8-2

720

05-4

-1

2005

-11-

11

2006

-6-2

3

2007

-1-2

6

2007

-8-3

120

08-4

-3

2008

-11-

7

2009

-6-1

220

10-1

-8

2010

-8-1

3

2011

-3-1

1

2011

-10-

14

2012

-5-1

8

2012

-12-

21

2013

-7-2

6

01000

2000

3000

4000

5000

6000

7000


Closing Index

Wee

kly

Tu

rno

ver

Val

ue

(RM

B 1

00

mil

lio

n)

SS

E C

om

po

site

Clo

sin

g I

nd

ex

Stock Market

2014 Fact Book 57

0

100

200

300

400

500

600

700

1-4

1-25

2-22

3-15

4-9

5-3

5-24

6-19

7-10

7-31

8-21

9-11

10-1

111

-111

-22

12-1

3

0500

1000

1500

2000

2500


Closing Index

Tren

ds o

f SSE

50

Inde

x in

201

3Tu

rnov

er V

alue

(R

MB

100

mill

ion)

SSE

50 C

losi

ng In

dex

Stock Market

2014 Fact Book 58

0

500

1000

1500

2000

2500

3000

3500

4000

4500

2004

-1-2

2004

-3-1

9

2004

-6-4

2004

-8-1

3

2004

-10-

22

2004

-12-

31

2005

-3-1

8

2005

-6-3

2005

-8-1

2

2005

-10-

2820

06-1

-6

2006

-3-2

4

2006

-6-9

2006

-8-1

8

2006

-11-

3

2007

-1-1

2

2007

-3-3

0

2007

-6-8

2007

-8-1

7

2007

-11-

2

2008

-1-1

1

2008

-3-2

1

2008

-5-3

0

2008

-8-8

2008

-10-

24

2008

-12-

31

2009

-3-2

0

2009

-5-2

7

2009

-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

5

2011

-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

2013

-2-2

220

13-5

-3

2013

-7-1

2

2013

-9-1

8

2013

-11-

29

0500

1000

1500

2000

2500

3000

3500

4000

4500

5000


Closing Index

His

toric

al T

rend

s of

SSE

50

Inde

xW

eek

ly T

urn

ov

er V

alu

e

(RM

B 1

00

mil

lio

n)

SS

E 5

0 C

losi

ng

In

dex

Stock Market

2014 Fact Book 59

0

200

400

600

800

1000

1200

1-4

1-25

2-223

-15

4-9

5-35

-24

6-197

-107

-31

8-21

9-11

10-11

11-1

11-22

12-1

3

01000

2000

3000

4000

5000

6000

7000


Closing Index

Tren

ds o

f SSE

180

Inde

x in

201

3Tu

rnov

er V

alue

(R

MB

100

mill

ion)

SSE

180

Clo

sing

Inde

x

Stock Market

2014 Fact Book 60

Stock Market

2014 Fact Book 61

0

100

200

300

400

500

600

700

1-4

1-25

2-22

3-15

4-9

5-3

5-24

6-19

7-10

7-31

8-21

9-11

10-11

11-1

11-22

12-1

3

0500

1000

1500

2000

2500

3000

3500

4000


Closing Index

Tren

ds o

f SSE

380

Inde

x in

201

3Tu

rnov

er V

alue

(R

MB

100

mill

ion)

SSE

380

Clo

sing

Inde

x

Stock Market

2014 Fact Book 62

0

500

1000

1500

2000

2500

3000

3500

2011

-1-7

2011

-1-2

8

2011

-2-1

8

2011

-3-1

1

2011

-4-1

2011

-4-2

2

2011

-5-1

3

2011

-6-3

2011

-6-2

4

2011

-7-1

520

11-8

-5

2011

-8-2

6

2011

-9-1

6

2011

-10-

14

2011

-11-

4

2011

-11-

25

2011

-12-

16

2012

-1-6

2012

-2-3

2012

-2-2

4

2012

-3-1

6

2012

-4-6

2012

-4-2

7

2012

-5-1

8

2012

-6-8

2012

-6-2

9

2012

-7-2

0

2012

-8-1

0

2012

-8-3

1

2012

-9-2

1

2012

-10-

19

2012

-11-

9

2012

-11-

30

2012

-12-

21

2013

-1-1

1

2013

-2-1

2013

-3-1

2013

-3-2

2

2013

-4-1

2

2013

-5-3

2013

-5-2

4

2013

-6-1

420

13-7

-5

2013

-7-2

6

2013

-8-1

6

2013

-9-6

2013

-9-2

7

2013

-10-

18

2013

-11-

8

2013

-11-

29

2013

-12-

20

0500

1000

1500

2000

2500

3000

3500

4000

4500

5000


Closing Index

His

toric

al T

rend

s of

SSE

380

Inde

xW

eekl

y Tu

rnov

er V

alue

(R

MB

100

mill

ion)

SSE

380

Clo

sing

Inde

x

Listed Companies

Listed Companies

2014 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 shalloperate 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 beno 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 managementand

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 theintegrity 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 forpurchasing raw materials and selling products;

non-production-oriented enterprises shall have a business structure and relevant assets related to their business

operations.

Listed Companies

2014 Fact Book 66

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.

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

withor 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 havelawfully 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 sharesand 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 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 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 becapable

of ensuring the reliability of its financial reports, the legitimacy of its business activities, and the efficiency and effects of

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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 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 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

(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 shallspecify 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’sbasic 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 issuershall 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;

whenconfirming, measuring or submitting accounting records, it shall exercisedueprudence; for the same or similar

businesses, it shall select the same accounting policy and shall not change it randomly.

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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

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 whichwill 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) Wherethere 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 ongoingprofitability of the issuer;

(2) Where there have been or will be significant changesin 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 ongoingprofitability 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 whicha materialdegree 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 ongoingprofitability 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.

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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 othermatters, 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.

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

accountdetermined by the board of directors.

Listing Conditions for IPOs

If the issuer applies to list its shares on 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 50million;

3. Its publicly issued shares account for no less than 25% of its total shares; where its total capital stock is more than

RMB 400million, 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 SSE.

SSE Guide to Securities Listing Procedures

The term “securities” refers to stock, corporate bonds, or convertible corporate bonds (hereinafter referred to as

convertible bonds) and other negotiable securities.

1. After the securities issuance application has been approved by CSRC issuance examination and verification

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committee, the issuer and its sponsor and managing underwriter shall promptly contact the issuance and listing

department or the bond funding department of SSE to apply for a securities code and a securities trading abbreviation

and communicate over matters relating tosecurities issuance and a listing application.

2. After obtaining approval documents from CSRC for the securities issuance application, the issuer and its managing

underwriter shall promptly contact SSE to submit an issuance program and an issuance plan.

3. If the issuer gains approval documents from CSRC for the securities issuance application, SSE shall give priority to the

application that is submitted to SSE earlier. However, if the issuance plan is different from the agreed one, the issuer and

its managing underwriter shall consult with SSE and identify another listing date upon the approval of SSE.

If multiple issuers, after obtaining approval documents from CSRC for the securities issuance application, submit their

applications to SSE at the same time while cannot issue their stocks on the same day due to the market or technology

limits, SSE shall make arrangements for their issuances in the time order of their approval documents they gained from

CSRC. However, SSE shall give priority to the issuer whose prospectus and the latest accountingreports will expire and

meanwhile who applies to SSE late due to objective reasons.

SSE shall, according to the market condition, adjust the listing date after consulting with the issuer and the managing

underwriter.

4. If the issuer issues securities to the public and applies to list them on the trading market of 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 SSE website (www.sse.com.cn) and

be responsible for their content.

5. The issuer and its managing underwriter shall, before 15:30 (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 SSE:

(1) CSRC documents approving the public issuance of securities;

(2) The issuer’s application to issue securities through 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 SSE.

6. During the securities issuance period, the issuer and its managing underwriter shall, before15:30 (14:00 in the case

of a corporate bond issue) on the same day, submit to SSE all announcements to be disclosed on the following day,

contact the designated disclosure mediaoutlets to confirm the release of such announcements, and shall be responsible

for the contents.

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7. Where special circumstances prevent such announcements from being submitted before 15:30 (14:00 in the case

of a corporate bond issue), an application must be submitted to SSE half an hour before the deadline.

8. The issuer and its managing underwriter shall ensure the accuracy and completeness of issuance data included

in relevant materials submitted to SSE. 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.

9. Unless otherwise approved by 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 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.

For IPOs, the issuer and the managing underwriter may, after the market close on T+1 date, apply to SSE to inquire

about the subscription data of shares validly purchased and the table of success rate.

For public issues of additional shares or convertible bonds, the issuer and the managing underwriter may, after the

market close on T+2 date, apply to SSE to inquire about the subscription data of validly purchased and the table of

success rate.

10. Unless otherwise approved by SSE, for corporate bonds, the online issuance period shall not exceed one trading

day,and the offline issuance period 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, 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 SSE.

11. 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 SSE as required; when

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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 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 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 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 SSE as required.

12. 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.

13. Aftera securities issue is completed, the issuer and its sponsor and managing underwriter shall, in accordance with

the requirements of the Share Listing Rules and the Corporate Bonds Rules of the Shanghai Stock Exchange, promptly

prepare and submit securities listing application documents.

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 SSE. 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. Listing application documents for an IPO, a public issue of additional shares,a rights issue or a public issue of

convertible corporate bondsshall be submitted to SSE before 15:30 on the fifth 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 SSE as required before 15:30 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 SSE for the record.

16. The listing committee of SSE shall examine matters relating to the initial listing of shares and corporate bonds.

SSE will, according to the examination opinions of the listing committee, decide whether or not to approve the listing

application.

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17. Where the issuer’s securities listing application is approved after being examined by SSE, the issuer shall disclose

listing announcements prepared in accordance with relevant requirements and other documents required by SSE on

SSE website, and shall be responsible for their content.

18. SSE will determine the L date according to the issuer’s application, national laws and regulations, and SSE rules.

If multiple issuers, after obtaining approval documents from CSRC for the securities issuance application, submit their

applications to SSE at the same time while cannot issue their stocks on the same day due to the market or technology

limits, SSE shall make arrangements for their issuances in the time order of their approval documents they gained from

CSRC. However, SSE shall give priority to the issuer whose prospectus and the latest accounting reports will expire and

meanwhile who applies to SSE late due to objective reasons.

SSE shall, according to the market condition, adjust the listing date after consulting with the issuer and the managing

underwriter.

19. 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, SSE will coordinate and make arrangements for the listing date after receiving

the issuer’s registration and custody evidential documents. 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.

20. 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 SSE website.

Documents to be Submitted When Applying for an IPO and Listing

The issuer and its sponsor shall, before applying for shares to be listed, submitthe 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;

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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 Limitedafter 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 Rules Governing the Listing of Stocks on Shanghai Stock

Exchange;

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

15. A listing announcement prepared in accordance with relative rules 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 SSE.

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 directorswhich are able to perform their duties effectively in accordance with the law;

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2. It has a sound system of internal controls, is able to effectively guarantee the efficiency of its operations, its

compliance with laws and regulations, and the reliability of its financial reports; there is no material defect in terms of the

completeness, reasonableness and effectiveness of its system of internal controls;

3. Its current directors, supervisors and senior officers have the corresponding qualifications, are able to perform their

duties with loyalty and diligence, have not violated the provisions of Articles 148 and 149 of the Company Law, have not

been subject to administrative penalties by 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;

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2. No certified public accountant has issued a qualified opinion, an adverse opinion or aopinion 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

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

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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 suchconduct 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 havenot

honoredundertakings 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 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.

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

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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 risk warning shall be implemented against trading in the

company’s shares.

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

warnings") and others risk warnings indicating major risks.

The risk warnings for listing termination risks include:

1. 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;

2. The daily quote change limit for stocks is 5%.

3. The companies need to trade on the risk warning board.

Other risk warnings include:

1. 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;

2. The daily quote change limit for stocks is 5%.

3. The companies need to trade on the risk warning board.

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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 financial 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 for the last financial 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 for the last financial year including retroactive adjustments

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

4. Where the company’s financial report for the latest financial year is issued disclaimer of opinion or adverse opinion by

a CPA firm;

5. Where the company’s financial report contain significant accounting errors or false records and, under CSRC’s order,

the company fails to do restate the report within the statutory period; and the company’s stocks have been suspended

from listing for two months;

6. Where the company fails to disclose its annual report or interim report and the company’s stocks have been

suspended from listing for two months;

7. Where the company may be dissolved;

8. Where the court has accepted a case concerning the bankruptcy of the company and the company is likely to be

declared bankrupt according to law;

9. Where the company has submitted to SSE the plan for addressing the equity structure problem after the changes in

equity structure render the company unsuitable for listing for consecutive 20 trading days, and the plan is approved by

SSE; or

10. Other circumstances determined by 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 disclosed its annual report for the first year after its stocks are relisted from listing

suspension or termination;

2. Where a company’s main business has been affected seriously and cannot be resumed within three months;

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

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2014 Fact Book 80

4. Where the company’s board of directors is unable to convene meetings 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 CSRC and SSE.

If the above circumstances do not exist, the company can apply to SSE for cancelling the risk warning.

Suspension and Termination of Listing

If any of the following circumstances apply to a listed company, SSE shall suspend the listing of the company:

1. Where the audit results for the latest financial year show that the company remains in the red after the company was

issued a delisting risk warning as a result of the occurrence of Circumstance 1 specified in “Implementation of Delisting

Risk Warning” hereof;

2. Where the audit results for the latest financial year show that the company remains in the red after the company was

issued a delisting risk warning as a result of the occurrence of Circumstance 1 specified in “Implementation of Delisting

Risk Warning” hereof;

3. Where the audit results for the latest financial year show that the company’s business income remains less than

RMB 10 million after the company was issued a delisting risk warning as a result of the occurrence of Circumstance 3

specified in “Implementation of Delisting Risk Warning” hereof;

4. Where the financial report for the latest financial year disclosed by the company is issued disclaimer of opinion or

adverse opinion by a CPA firm after the company was issued a delisting risk warning as a result of the occurrence of

Circumstance 4 specified in “Implementation of Delisting Risk Warning” hereof;

5. Where the company still fails to restate its financial report as required within two months after the company was issued

a delisting risk warning because the company fails to restate its financial report as required within the statutory period;

6. Where the company still fails to disclose its annual or interim report as required within two months after the company

was issued a delisting risk warning as a result of the occurrence of Circumstance 6 specified in “Implementation of

Delisting Risk Warning” hereof;

7. Where changes in the company’s total share capital render the company unsuitable for listing;

8. Where after the equity structure changes render the company unsuitable for listing for consecutive 20 trading days

and the listing of company has been suspended, the company still fails to provide a plan for addressing the equity

structure problems or has provided a plan that fails to be approved, or after the company was issued a delisting risk

warning as a result of the occurrence of Circumstance 9 specified in “Implementation of Delisting Risk Warning” hereof,

the company’s equity structure still does not meet the listing requirements within six months;

Listed Companies

2014 Fact Book 81

9. Where the company commits any serious illegal act; or


If any of the following circumstances apply to a listed company, SSE shall terminate the listing of the company:

1. Where the financial report for the latest financial year shows that the company has incurred losses in its net profit,

or in its net asset, or the company’s business income is less than RMB 10 million, or the company is issued qualified

opinion, disclaimer of opinion or adverse opinion by a CPA firm, after the company’s stocks were suspended from listing

as a result of the occurrence of Circumstance 1 - 4 specified in “Suspension of Listing” hereof;

2. Where the company fails to disclose its latest annual report within the statutory period, after the company’s stocks

were suspended from listing as a result of the occurrence of Circumstance 1 - 4 specified in “Suspension of Listing”

hereof;

3. Where the company still fails to restate its financial report as required within two months after company’s stocks were

suspended from listing because the company fails to restate its financial report as required within the statutory period or

as a result of the occurrence of Circumstance 5 specified in “Suspension of Listing” hereof;

4. Where the company still fails to disclose its annual or interim report as required within two months after the company’s

stocks were suspended from listing because the company fails to disclose its annual or interim report within the statutory

period or as a result of the occurrence of Circumstance 6 specified in “Suspension of Listing” hereof;

5. Where for the company that has only issued A-share on SSE, its accrual turnover for consecutive 120 trading days

(excluding the days when the company’s stocks were suspended from listing) through SSE trading system is less

than RMB 5 million, or the daily closing share price remains less than the per value for consecutive 20 trading days

(excluding the days when the company’s stocks were suspended from listing);

6. Where for the company that has only issued B-share on SSE, its accrual turnover for consecutive 120 trading days

(excluding the days when the company’s stocks were suspended from listing) through SSE trading system is less

than RMB 1 million, or the daily closing share price remains less than the per value for consecutive 20 trading days

(excluding the days when the company’s stocks were suspended from listing);

7. Where for the company that has issued both A-share B-share on SSE, its turnover of A-share or B-share or its daily

closing share price meet the requirements stated in the above Article 5 and 6 at the same time;

8. Where the changes in the company’s total share capital render the company unsuitable for listing within the statutory

period set by SSE;

9. Where the company’s equity structure still renders the company unsuitable for listing within six months after the

company’s stocks were suspended from listing as a result of the occurrence of Circumstance 8 specified in “Suspension

of Listing” hereof;

Listed Companies

2014 Fact Book 82

10. Where the company repurchases stocks or an acquirer makes a tender offer for the purpose of listing termination

and the implementation of relevant plan gives rise to changes in the company’s total share capital and equity structure

which render the company unsuitable for listing;

11. Where the company is merged by absorption;

12. Where during the period of listing suspension, the company’s shareholders’ general meeting adopts a resolution to

terminate listing;

13. Where the company is dissolved;

14. Where the company is declared bankrupt in accordance with law;

15. Where the company discloses its latest annual report but fails to apply to SSE for listing resumption within the

subsequent five trading days, after the company’s stocks were suspended from listing as a result of the occurrence of

Circumstance 1-4 specified in “Suspension of Listing” hereof;

16. Where the company disclose its restated financial report as required but fails to apply to SSE for listing resumption

within the subsequent five trading days, after the company’s stocks were suspended from listing as a result of the

occurrence of Circumstance 5 specified in “Suspension of Listing” hereof;

17. Where the company disclose its annual or interim report as required within two months but fails to apply to SSE for

listing resumption within the subsequent five trading days, after the company’s stocks were suspended from listing as a

result of the occurrence of Circumstance 6 specified in “Suspension of Listing” hereof;

18. Where the company’s total share capital or equity structure meets the listing requirements within six months but

fails to apply to SSE for listing resumption within the subsequent five trading days, after the company’s stocks were

suspended from listing as a result of the occurrence of Circumstance 7-8 specified in “Suspension of Listing” hereof;

19. Where the company’s application for listing restoration is not accepted;

20. Where the company’s application for listing restoration is not approved; or


According to CSRC rules, SSE Listing Committee shall review the relevant documents and make the decision whether or

not to terminate the company’s listing.

If a company meets other circumstances that may lead to the termination of the company’s listing, SSE shall terminate

the company’s listing in line with the decision made by CSRC.

Note: The rules related to the “implementation or cancellation of delisting risk warning or other warnings” and the

“suspension or termination of listing” are all subject to Rules Governing the Listing of Stocks on Shanghai Stock Exchange.

Listed Companies

2014 Fact Book 83

Listing Agreements

Any company that applies for its shares or derivatives to be listed and tradedon SSE shall be examined and approved by

SSE and shall sign a listing agreement with SSE before the listing takes effect to define the rights and obligations of both

parties and other relevant matters.

Listing Conditions for Convertible Corporate Bonds

Any listed company that applies for its convertible corporate bonds to be listed on 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.

Appendix: Listing Agreement of Securities

The applications for the issuance of stocks and financial derivatives should be reviewed and approved by SSE. The

following agreement should be signed before the listing to identify mutual rights, responsibilities and other relative

matters.

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 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)

Listed Companies

2014 Fact Book 84

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 SSE 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 SSE are approved by CSRC must not be traded or transferred in other

places outside SSE.

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:

Listed Companies

2014 Fact Book 85

Shanghai

Representative Signature: Representative Signature:

Signature Date: Signature Date:

Listed Companies

2014 Fact Book 86

Sector Distribution and Number of Companies

Industry Code Number of Companies

Agriculture, forestry, animal husbandry and fishery A 14

Mining industry B 39

Manufacturing C 495

Electricity, heat, gas and water production and supply D 50

Building industry E 31

Wholesale and retail trade F 92

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 32

Real estate K 71

Leasing and Business Services L 9

Scientific research and technical services M 1

Water conservancy, environment and public facilities management industry

N 5

Education P 1

Health and social work Q 1

Culture, Sports and Entertainment R 11

Other S 16

Listed Companies

2014 Fact Book 87

Geographical Distribution of Listed Companies

Region Number ofListed Companies

Percentage (%)

New Listingsin 2013

Percentage (%)

Anhui 29 3.04 0 0.00

Beijing 97 10.18 0 0.00

Fujian 30 3.15 0 0.00

Gansu 11 1.15 0 0.00

Guangdong 43 4.51 0 0.00

Guangxi 12 1.26 0 0.00

Guizhou 10 1.05 0 0.00

Hainan 8 0.84 0 0.00

Hebei 18 1.89 0 0.00

Henan 25 2.62 0 0.00

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 0 0.00

Jiangsu 79 8.29 0 0.00

Jiangxi 16 1.68 0 0.00

Liaoning 28 2.94 0 0.00

Inner Mongolia 16 1.68 0 0.00

Ningxia 4 0.42 0 0.00

Qinghai 7 0.73 0 0.00

Shandong 49 5.14 0 0.00

Shanxi 17 1.78 0 0.00

Shaanxi 18 1.89 0 0.00

Shanghai 148 15.53 0 0.00

Sichuan 36 3.78 0 0.00

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 78 8.18 1 100.00

Chongqing 18 1.89 0 0.00

Listed Companies

2014 Fact Book 88

Newly Listed Stocks in 2013

Stock Code

Short Name Sector

Issue Price (RMB)

Issuing Date

Listing Date

Opening Price (RMB)

Closing Price (RMB)

Lead underwriter

600023Zheneng Electric Power

Industry 5.53 2013-11-7 2013-12-19 8.50 8.88China International Capital Co., Ltd.

Listed Companies

2014 Fact Book 89

Rights Issues by Listed Companies in 2013

StockCode Short Name Record Date

Announcement Date of Rights Issue Prospectus

Announcement Date of Share Capital Change

Listing DateIssue Price (RMB)

Proceeds (RMB 10,000)

600036China Merchants Bank

2013-8-27 2013-8-23 2013-9-9 2013-9-11 9.29 2752454

600118 China Spacesat 2013-8-5 2013-8-1 2013-8-19 2013-8-21 5.45 144910

600160 Zhejiang Juhua 2013-12-13 2013-12-11 2013-12-26 2013-12-30 4.23 166661

600436Pien Tze Huang Pharmaceutical

2013-6-20 2013-6-18 2013-7-9 2013-7-11 37.14 77565

600458Times New Material Technology

2013-5-31 2013-5-29 2013-6-21 2013-6-25 8.80 126791

600459Sino-Platinum Metals

2013-3-11 2013-3-7 2013-3-25 2013-3-27 16.80 71719

600497Chihong Zinc&Germanium

2013-4-2 2013-3-29 2013-4-17 2013-4-19 9.98 356750

600879China Aerospace Times Electronics

2013-5-24 2013-5-22 2013-6-7 2013-6-14 6.01 137326

Note: Rights issues in this table included all those whose record dates fell within 2013.

Listed Companies

2014 Fact Book 90

Equity Structure of Listed Companies (2013 year-end)

Category of Shares Value of Issuance(RMB 100 million)

Percentage(%)

Market Cap(RMB 100 million)

Percentage in Total Market Cap (%)

1. Promoter’s shares 1603.57 4.947 10860.20 7.184

State-owned shares 1164.30 3.592 7159.33 4.736

Shares owned by domestic legal person entities

322.93 0.996 2574.24 1.703

Shares owned by foreign institutional investors

24.74 0.076 287.26 0.190

Individual promoter’s shares 91.59 0.283 839.38 0.555

2. Legal person shares 1.26 0.004 24.75 0.016

3. Employee shares 0 0.000 0.00 0.000

4. Placement to institutions 47.86 0.148 396.96 0.263

5. Others 367.87 1.135 3356.99 2.221

Sub-total of non-tradable shares 2020.56 6.234 14638.90 9.684

1. Domestically listed RMB-denominated ordinary shares

23584.47 72.759 135768.04 89.814

2. Domestically listed foreign shares 146.66 0.453 758.33 0.500

3.Overseas listed foreign shares 6662.68 20.555 0.00 0.000

4. Others 0 0 0 0

Sub-total of tradable shares 30393.81 93.767 136526.38 90.316

Total of shares 32414.37 100.000 151165.27 100.000

Listed Companies

2014 Fact Book 91

Top 50 Listed Companies by Market Capitalization (2013 year-end)

Rank Short Name Code Market Cap(RMB10,000)


1 Petrochina 601857 124841922.00 8.26

2 ICBC 601398 94432220.36 6.25

3 Agricultural Bank of China 601288 72925712.89 4.82

4 Bank of China 601988 51227865.85 3.39

5 China Petroleum & Chemical 600028 40791225.24 2.70

6 China Life 601628 31506000.89 2.08

7 China Shenhua 601088 26088822.04 1.73

8 China Merchants Bank 600036 22464920.48 1.49

9 Ping An Bank 601318 19973687.41 1.32

10 Intustrial Bank 601166 19319069.47 1.28

11 Shanghai PuDong Development Bank 600000 17590223.54 1.16

12 Minsheng Bank 600016 17438084.93 1.15

13 Shang Automotive 600104 15590151.21 1.03

14 Bank of Communications 601328 15072331.78 1.00

15 Kweichow Moutai 600519 13328154.84 0.88

16 Citic Securities 600030 12544190.39 0.83

17 Citic Bank 601998 12347298.49 0.82

18 Shanghai International Port 600018 12014734.86 0.79

19 China Pacific Insurance 601601 11649255.10 0.77

20 Daqin Railway 601006 10986558.91 0.73

21 Everbright Bank 601818 10600256.94 0.70

22 Yangtze Power 600900 10428000.00 0.69

23 China Construction 601668 9420000.00 0.62

24 Haitong Securities China Coal Energy 600837 9160292.50 0.61

Listed Companies

2014 Fact Book 92

Rank Short Name Code Market Cap(RMB10,000)


25 China Heavy Industries 601989 8512342.72 0.56

26 Great Wall Motor 601633 8272053.43 0.55

27 Yili Industrial Group 600887 7983708.00 0.53

28 Hua Xia Bank 600015 7631279.49 0.50

29 China Unicom 600050 6804107.44 0.45

30 Conch Cement 600585 6783495.57 0.45

31 Baoshan Iron & Steel 600019 6736935.49 0.45

32 Bank of Beijing 601169 6608919.81 0.44

33 China Oilfield Services 601808 6607764.58 0.44

34 Zheneng Electric Power 600023 6155272.44 0.41

35 Merchants Securities 600999 5910274.58 0.39

36 China South Locomotive 601766 5901279.00 0.39

37 Poly Real Estate 600048 5888845.37 0.39

38 Baotou Steel Rare Earth 600111 5393891.99 0.36

39 Huaneng Power International 600011 5313000.00 0.35

40 Qingdao Haier 600690 5305630.08 0.35

41 Hengrui Medicine 600276 5166120.09 0.34

42 China CNR 601299 5077467.70 0.34

43 Huatai Securities 601688 5017600.00 0.33

44 Sany Heavy Industry 600031 4889795.59 0.32

45 China Railway Construction 601186 4812524.14 0.32

46 Xinhua Insurance 601336 4771485.21 0.32

47 China Communications Construction 601800 4745883.11 0.31

48 China Railway 601390 4580792.68 0.30

49 Guanghui energy 600256 4563525.17 0.30

50 Wanhua Chemical 600309 4476032.87 0.30

Listed Companies

2014 Fact Book 93

Top 50 Listed Companies by Tradable Market Capitalization (2013 year-end)

Rank Short Name Code Tradable Market Cap(RMB10,000)


1 Petrochina 601857 124841922.00 9.14

2 ICBC 601398 94432220.36 6.92

3 ABC 601288 70472555.24 5.16

4 Bank of China 601988 51227865.85 3.75

5 China Petroleum & Chemical 600028 40791225.24 2.99

6 China Life 601628 31506000.89 2.31

7 China Shenhua 601088 26088822.04 1.91

8 China Merchants Bank 600036 22464920.48 1.65

9 Ping An Insurance 601318 19973687.41 1.46

10 Minsheng Bank 600016 17438084.93 1.28

11 Industrial Bank 601166 16406131.33 1.20

12 Pudong Development Bank 600000 14072178.84 1.03

13 Kweichow Moutai 600519 13328154.84 0.98

14 SAIC Motor 600104 13068784.27 0.96

15 Bank of Communications 601328 12560276.48 0.92

16 CITIC Securities 600030 12513693.67 0.92

17 CITIC Bank 601998 12347298.49 0.90

18 China Pacific Insurance 601601 11503956.32 0.84

19 Shanghai International Port 600018 11083142.47 0.81

20 Daqin Railway 601006 10986558.91 0.80

21 Everbright Bank 601818 10600256.94 0.78

22 China Construction 601668 9373911.08 0.69

23 Haitong Securities 600837 9160292.50 0.67

24 China Unicom 600050 6804107.44 0.50

Listed Companies

2014 Fact Book 94

Rank Short Name Code Tradable Market Cap(RMB10,000)


25 Anhui Conch Cement 600585 6783495.57 0.50

26 Baoshan Iron & Steel 600019 6736935.49 0.49

27 China Heavy Industries 601989 6627515.79 0.49

28 China Oilfield Service 601808 6496164.58 0.48

29 :Inner Mongolia Yili Industrial Group 600887 6206562.57 0.45

30 Yangtze Power 600900 6159435.02 0.45

31 Merchants Securities 600999 5910274.58 0.43

32 Poly Real Estate 600048 5888845.37 0.43

33 Bank of Beijing 601169 5612278.77 0.41

34 Huaxia Bank 600015 5559947.60 0.41

35 Huaneng Power International 600011 5313000.00 0.39

36 Qingdao Haier 600690 5305630.08 0.39

37 Hengrui Medicine 600276 5166120.09 0.38

38 CNR 601299 5077467.70 0.37

39 CSR 601766 5068565.05 0.37

40 Huatai Securities 601688 5015514.48 0.37

41 Sany Heavy Industry 600031 4875159.34 0.36

42 China Railway Construction 601186 4697619.14 0.34

43 China Railway 601390 4580792.68 0.34

44 Wanhua Chemical Group 600309 4476032.87 0.33

45 Tasly 600535 4429862.14 0.32

46 China National Coal 601898 4296328.11 0.31

47 Datang International Power Generation 601991 4195208.64 0.31

48 China Construction Bank 601939 3971774.25 0.29

49 Kangmei Pharmaceutical 600518 3957686.07 0.29

50 China Chemical 601117 3946400.00 0.29

Listed Companies

2014 Fact Book 95

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Listed Companies

2014 Fact Book 96

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MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6000

35Ch

utian

Hig

hway

2013

-7-3

10.

070

0.06

760

0036

Chin

a M

erch

ants

Ban

k20

13-6

-13

0.63

00.

599

6000

37BG

CTV

2013

-6-2

80.

100

0.09

560

0038

Hafe

i Avia

tion

Indu

stry

2013

-6-1

40.

160

0.15

2

6000

39Si

chua

n Ro

ad&

Rrid

ge20

13-6

-18

0.15

00.

143

6000

48Po

ly Re

al Es

tate

2013

-6-3

0.23

20.

220

6000

50Ch

ina

Unico

m20

13-7

-10.

040

0.03

860

0051

Ning

bo U

nite

d Gr

oup

2013

-6-1

30.

100

0.09

5

6000

52Zh

ejian

g Gu

angs

ha

2013

-7-2

0.03

00.

029

6000

53Zh

ongj

iang

Real

Esta

te20

13-6

-19

0.02

00.

019

6000

54H

uang

shan

Tou

rism

De

velo

pmen

t20

13-7

-10

0.03

00.

029

6000

55Ch

ina

Reso

urce

s W

ando

ng M

edica

l Eq

uipm

ent

2013

-6-1

70.

050

0.04

8

6000

56Ch

ina

Meh

eco

2013

-5-9

0.35

00.

333

6000

59Gu

yuel

ongs

han

Shao

xing

Win

e20

13-6

-18

0.10

00.

095

6000

60Hi

sens

e El

ectri

c20

13-5

-24

0.37

00.

352

6000

62Ch

ina

Reso

urce

s Do

uble

-Cra

ne

Phar

mac

eutic

al20

13-6

-28

0.32

30.

307

6000

64Na

njin

g Ga

oke

2013

-7-1

00.

250

0.23

860

0066

Zhen

gzho

u Yu

tong

Bus

2013

-5-1

50.

700

0.66

5

6000

67Ci

tych

amp

Darto

ng20

13-6

-21

0.21

20.

201

6000

68Ch

ina

Ge Z

hou

Ba

Grou

p20

13-6

-19

0.13

50.

128

6000

70Zh

ejian

g Fu

run

2013

-6-6

0.30

00.

285

6000

73Sh

angh

ai M

aling

Aq

uariu

s20

13-6

-50.

070

0.06

7

6000

77Su

ndy

Land

Inve

stmen

t20

13-5

-14

0.03

70.

035

6000

78Ch

engX

ing

Phos

ph-

Chem

icals

2013

-6-7

0.02

00.

019

6000

79Hu

man

well H

ealth

care

2013

-7-2

0.10

00.

095

6000

80Ji

nhua

Ent

erpr

ise20

13-7

-90.

030

0.02

9

Listed Companies

2014 Fact Book 97

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6000

81D

ongf

eng

Elec

troni

c Te

chno

logy

2013

-6-2

50.

100

0.09

560

0085

Beijin

g To

ng R

en Ta

ng

Grou

p20

13-8

-90.

250

0.23

8

6000

88Ch

ina

Tele

visio

n M

edia

2013

-8-2

0.04

10.

039

6000

89Te

Bian

Ele

ctric

Ap

para

tus

2013

-5-3

10.

120

0.11

4

6000

97Sh

angh

ai K

aich

uang

M

arin

e In

tern

atio

nal

2013

-7-1

0.20

00.

190

6000

98Gu

angz

hou

Deve

lopm

ent I

ndus

try20

13-6

-70.

160

0.15

2

6001

00Ts

ingh

ua To

ngfa

ng20

13-6

-24

0.10

00.

095

6001

01Si

chua

n M

ingx

ing

Elec

tric

Powe

r20

13-8

-20.

050

0.04

8

6001

04Sh

angh

ai Au

tom

otive

2013

-7-1

10.

600

0.57

060

0105

Jian

g Su

Ete

rn20

13-7

-10.

100

0.09

5

6001

06Ch

ongq

ing

Road

&Brid

ge20

13-5

-28

0.08

00.

076

6001

08Ga

nsu

Yash

eng

Indu

stria

l20

13-7

-20.

025

0.02

4

6001

09Si

nolin

k Se

curit

ies

2013

-7-3

0.07

00.

067

6001

11Ba

otou

Ste

el R

are-

Earth

2013

-5-1

60.

200

0.19

0

6001

12Gu

izhou

Cha

ngzh

eng

Elec

tri20

13-3

-18

0.00

50.

005

6001

14N

btm

New

Mat

eria

ls

Grou

p20

13-4

-23

0.12

00.

114

6001

16Th

ree

Gor

ges

Wat

er

Cons

erva

ncy

2013

-5-3

10.

200

0.19

060

0117

Xini

ng S

pecia

l Ste

el20

13-6

-18

0.01

30.

012

6001

18 C

hina

Spa

cesa

t20

13-4

-30.

100

0.09

560

0119

Yang

tze R

iver

Inve

stm

ent I

ndus

try20

13-6

-30.

070

0.06

7

6001

20Zh

ejian

g Or

ient

Ho

ldin

gs20

13-6

-18

0.25

00.

238

6001

21Zh

engz

hou

Coal

Indu

stry

&

Electr

ic Po

wer

2013

-5-1

40.

130

0.12

4

6001

22Ho

ngtu

Hig

h Te

chno

logy

2013

-5-1

30.

021

0.02

060

0123

Shan

xi La

nhua

Sci

-Tec

h Ve

ntur

e20

13-7

-10.

600

0.57

0

6001

25Ti

elon

g Co

ntain

er

Logi

stics

2013

-6-1

70.

110

0.10

560

0128

Jian

gsu

Holly

2013

-6-2

00.

080

0.07

6

6001

31Si

chua

n M

injia

ng

Hydr

opow

er20

13-7

-16

0.05

00.

048

6001

32Ch

ongq

ing

Brew

ery

2013

-6-3

0.20

00.

190

Listed Companies

2014 Fact Book 98

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6001

35Lu

ckyf

ilm20

13-6

-18

0.02

50.

024

6001

38Ch

ina

CYTS

Tour

s Ho

ldin

g20

13-7

-50.

150

0.14

3

6001

39Si

chua

n W

este

rn

Reso

urce

s Ho

ldin

g20

13-5

-22

0.40

00.

380

6001

41Hu

bei X

ingf

a Ch

emic

als

Grou

p20

13-6

-18

0.30

00.

285

6001

43Ki

ngfa

Scie

nce

and

tech

nolo

gy20

13-6

-26

0.20

00.

190

6001

50Ch

ina

Stat

e Sh

ipbu

ildin

g20

13-6

-60.

010

0.01

0

6001

53Xi

amen

Uni

ted

Deve

lopm

ent

2013

-7-9

0.15

00.

143

6001

57W

intim

e En

ergy

2013

-4-1

50.

300

0.28

5

6001

58Ch

ina

Spor

ts In

dust

ry

Grou

p20

13-6

-40.

028

0.02

760

0160

Zhej

iang

Juhu

a20

13-5

-20

0.15

00.

143

6001

62Sh

enzh

en H

eung

kong

Ho

ldin

g20

13-6

-21

0.01

50.

014

6001

66Fo

ton

Mot

or20

13-6

-17

0.16

00.

152

6001

67Lu

enm

ei H

oldi

ng20

13-7

-40.

160

0.15

260

0168

Wuh

an S

anzh

en

Indu

stry

Hol

ding

2013

-4-2

20.

035

0.03

3

6001

70Sh

angh

ai C

onst

ruct

ion

Grou

p20

13-7

-17

0.21

00.

200

6001

71Sh

angh

ai Be

lling

2013

-5-2

00.

015

0.01

4

6001

72Hu

angh

e W

hirlw

ind

2013

-6-1

70.

040

0.03

860

0173

Wol

ong

Real

Esta

te

Grou

p20

13-5

-16

0.05

00.

048

6001

75M

eidu

Hol

ding

2013

-6-3

0.00

80.

008

6001

76Ch

ina

Fibe

rglas

s20

13-6

-30.

100

0.09

5

6001

77Yo

ungo

r Gro

up20

13-5

-23

0.50

00.

475

6001

82Gi

ti Ti

re20

13-6

-27

0.16

00.

152

6001

83Sh

engy

i Tec

hnol

ogy

2013

-8-1

0.15

00.

143

6001

85Gr

ee R

eal E

stat

e20

13-7

-80.

200

0.19

0

6001

88Ya

nzho

u Co

al M

inin

g20

13-6

-21

0.36

00.

342

6001

89Ji

lin F

ores

t Tou

rism

Pr

oduc

ts20

13-7

-17

0.10

00.

095

6001

90Ji

nzho

u Po

rt20

13-5

-31

0.02

60.

025

6001

91Ba

otou

Hua

zi In

dust

ry20

13-7

-16

0.01

00.

010

Listed Companies

2014 Fact Book 99

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6001

92Gr

eatw

all E

lect

rical

2013

-6-3

0.01

50.

014

6001

93Sh

angh

ai Pr

osola

r Re

sour

ces D

evelo

pmen

t20

13-1

1-5

0.04

00.

023

6001

95Ch

ina

Anim

al Hu

sban

dry

Indu

stry

2013

-7-1

20.

200

0.19

060

0196

Shan

ghai

Fosu

n Ph

arm

aceu

tical

2013

-8-1

90.

210

0.20

0

6001

97Xi

njian

g Yi

lite In

dust

ry20

13-8

-19

0.22

00.

209

6001

99An

hui G

olde

n Se

ed

Win

ery

2013

-6-2

50.

310

0.29

5

6002

00Ji

angs

u W

uzho

ng

Indu

stria

l20

13-5

-17

0.02

50.

024

6002

01In

ner

Mon

golia

Jin

yu

Grou

p20

13-7

-30.

160

0.15

2

6002

02Ha

rbin

Air

Cond

itioni

ng20

13-7

-10

0.01

70.

016

6002

08Xi

nhu

Zhon

gbao

2013

-7-8

0.06

10.

058

6002

09La

wton

Dev

elop

men

t20

13-7

-15

0.00

40.

004

6002

10Zi

Jian

g En

terp

rise

Grou

p20

13-7

-23

0.10

00.

095

6002

11Tib

et R

hodio

la Ph

arm

aceu

tical

Holdi

ng20

13-5

-28

0.07

00.

067

6002

15Ch

angc

hun

E&T

Deve

lopm

ent

2013

-7-1

60.

010

0.01

0

6002

16Zh

ejian

g M

edici

ne20

13-6

-17

0.50

00.

475

6002

18An

hui Q

uanc

hai E

ngin

e20

13-6

-25

0.05

00.

048

6002

19Sh

ando

ng N

ansh

an

Alum

iniu

m20

13-5

-22

0.12

00.

114

6002

21Ha

inan

Airli

nes

2013

-6-7

0.10

00.

095

6002

26Zh

ejian

g Sh

engh

ua

Biok

Bio

logy

2013

-6-6

0.05

00.

048

6002

27Gu

izhou

Chi

tianh

ua20

13-5

-70.

020

0.01

9

6002

30Ca

ngzh

ou D

ahua

20

13-4

-90.

120

0.11

460

0231

Ling

yuan

Iron

& S

teel

2013

-7-8

0.04

00.

038

6002

32Zh

ejian

g Go

lden

Eag

le20

13-6

-20

0.08

00.

076

6002

33Da

lian

Daya

ng Tr

ands

2013

-6-3

0.15

00.

143

6002

36Gu

angx

i Gui

guan

El

ectri

c Po

wer

2013

-7-1

70.

040

0.03

860

0237

Anhu

i Ton

gfen

g El

ectro

nics

2013

-7-9

0.02

00.

019

6002

38Ha

inan

Yed

ao20

13-7

-15

0.10

00.

095

6002

39Yu

nNan

Met

ropo

litan

Re

al Es

tate

Deve

lopm

ent

2013

-6-3

0.08

00.

076

Listed Companies

2014 Fact Book 100

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6002

41Li

aoni

ng S

hida

i W

anhe

ng20

13-6

-60.

025

0.02

460

0246

Beijin

g Va

nton

e Re

al Es

tate

2013

-5-1

70.

070

0.06

7

6002

46Be

ijing

Van

tone

Rea

l Es

tate

2013

-9-1

70.

070

0.06

760

0248

Shaa

nxi y

anch

ang

petro

leum

che

mica

l co

nstru

ctio

n20

13-9

-16

0.10

00.

095

6002

49Li

uzho

u Li

angm

ianzh

en20

13-7

-15

0.05

00.

048

6002

51Xi

njia

ng G

uann

ong

Frui

t &

Antle

r Gro

up20

13-6

-20

0.21

00.

200

6002

52Zh

ongh

eng

Grou

p20

13-7

-10.

200

0.19

060

0253

Topf

ond

Phar

mac

eutic

al20

13-5

-13

0.03

00.

029

6002

56Gu

angh

ui E

nerg

y20

13-6

-24

0.05

00.

033

6002

57Da

hu A

quac

ultu

re20

13-7

-19

0.01

00.

010

6002

58Be

ijing

Capi

tal T

ouris

m

2013

-6-1

70.

250

0.23

860

0261

Yank

on L

ight

ing

2013

-6-3

0.12

00.

114

6002

62No

rth H

aule

r20

13-6

-40.

300

0.28

560

0266

Beijin

g Ur

ban

Cons

truct

ion

2013

-8-1

60.

370

0.35

2

6002

67Hi

sun

Phar

mac

eutic

al20

13-6

-18

0.11

00.

105

6002

68Gu

odian

Nan

jing

Auto

mat

ion

2013

-6-1

80.

100

0.09

5

6002

69Ga

nyue

Exp

ress

way

2013

-7-1

0.15

10.

143

6002

70Si

notra

ns20

13-6

-20

0.20

00.

190

6002

71Ai

sino

2013

-5-1

40.

430

0.40

960

0272

Shan

ghai

Kaika

i Indu

stry

2013

-6-2

70.

020

0.01

9

6002

73Hu

afan

g Te

xtile

2013

-7-1

00.

020

0.01

960

0276

Heng

rui M

edici

ne20

13-6

-70.

080

0.07

1

6002

77Yi

li Ene

rgy

2013

-6-1

80.

050

0.04

860

0278

Orie

nt In

tern

atio

nal

Ente

rpris

e20

13-6

-17

0.10

00.

095

6002

79Ch

ongq

ing

Gang

jiu20

13-5

-30

0.06

00.

057

6002

80Na

njin

g Ce

ntra

l Em

poriu

m20

13-5

-22

0.16

00.

152

Listed Companies

2014 Fact Book 101

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6002

80Na

njin

g Ce

ntra

l Em

poriu

m20

13-9

-25

0.10

00.

060

6002

83Qi

anjia

ng W

ater

Re

sour

ces

2013

-7-4

0.10

00.

095

6002

84Pu

dong

Roa

d &

Brid

ge

Cons

truct

ion

2013

-6-1

80.

156

0.14

860

0285

Ling

rui P

harm

aceu

tial

2013

-7-1

0.10

00.

095

6002

87Ji

angs

u Sa

inty

2013

-6-3

0.04

00.

038

6002

88Da

heng

Sc

ienc

e&Te

chno

logy

2013

-7-2

90.

050

0.04

8

6002

89Br

ight

Oce

ans

Inte

r-Te

leco

m20

13-7

-40.

060

0.05

760

0290

Huay

i Ele

ctric

Pow

er

Auto

mat

ion

2013

-6-2

40.

020

0.01

9

6002

91Xi

shui

Stro

ng Y

ear

2013

-6-2

60.

054

0.05

160

0292

CPI Y

uand

a En

viron

men

tal-P

rote

ction

2013

-8-1

90.

080

0.07

6

6002

93Sa

nxia

New

Bui

ldin

g M

ater

ials

2013

-7-3

0.02

40.

023

6002

95Ee

rduo

si20

13-6

-40.

100

0.09

5

6002

97M

erro

Pha

rmac

eutic

al 20

13-8

-15

0.04

00.

038

6002

98An

gel Y

east

2013

-6-3

0.15

00.

143

6003

00V

V Fo

od &

Bev

erag

e20

13-6

-13

0.06

00.

057

6003

03SG

Aut

omot

ive20

13-4

-26

0.08

70.

083

6003

07Ho

ngxin

g Iro

n an

d St

eel

2013

-7-1

50.

030

0.02

960

0308

Huat

ai Pa

per

2013

-8-1

90.

020

0.01

9

6003

09Ya

ntai

Wan

hua

2013

-5-3

0.70

00.

665

6003

10Gu

idon

g El

ectri

c Po

wer

2013

-5-2

00.

300

0.28

5

6003

12Pi

ngga

o El

ectri

c20

13-5

-27

0.05

00.

048

6003

15Sh

angh

ai Ja

hwa

2013

-5-2

70.

700

0.64

0

6003

16Ho

ngdu

Avia

tion

Indu

stria

l20

13-7

-90.

010

0.01

060

0317

Ying

kou

Port

2013

-6-2

00.

024

0.02

3

6003

18Ch

aodo

ng S

hare

s20

13-7

-25

0.03

00.

029

6003

21Gu

odon

g Co

nstru

ctio

n 20

13-7

-50.

020

0.01

9

6003

22Ti

anjin

Rea

lity

Deve

lopm

ent

2013

-7-3

00.

075

0.07

160

0323

Nanh

ai De

velo

pmen

t20

13-8

-90.

100

0.09

5

Listed Companies

2014 Fact Book 102

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6003

25Hu

afa

Indu

stria

l20

13-7

-20.

100

0.09

560

0327

Grea

t Orie

nt20

13-6

-17

0.08

00.

076

6003

29Zh

ongx

in

Phar

mac

eutic

als20

13-1

2-19

0.10

00.

095

6003

35Gu

oji A

uto

2013

-7-2

0.10

00.

095

6003

37M

arko

r Fur

nitu

re20

13-5

-20

0.03

00.

029

6003

40Ch

ina

Fortu

ne L

and

2013

-6-4

0.23

00.

219

6003

40Hu

axiax

ingf

u20

13-1

0-10

0.15

00.

118

6003

45Ya

ngtze

Com

mun

icatio

n20

13-7

-90.

200

0.19

0

6003

48Ya

ngqu

an C

oal In

dustr

y20

13-7

-50.

286

0.27

260

0350

Shan

dong

Exp

ress

way

2013

-7-2

30.

126

0.12

0

6003

51Ya

bao

Phar

mac

eutic

al20

13-6

-25

0.05

00.

048

6003

52Zh

ejian

g Lo

ngsh

eng

2013

-5-1

70.

170

0.16

2

6003

53 X

ugua

ng E

lect

roni

cs20

13-7

-11

0.13

00.

124

6003

56He

ngfe

ng P

aper

2013

-5-2

70.

118

0.11

2

6003

60Si

no-M

icroe

lect

roni

cs20

13-6

-24

0.02

00.

019

6003

61Hu

alian

Hyp

erm

arke

t20

13-6

-24

0.07

00.

067

6003

62Ji

angx

i Cop

per

2013

-7-2

40.

500

0.47

560

0363

Lian

chua

ng

Opto

elec

troni

c20

13-7

-19

0.01

80.

017

6003

66Ni

ngbo

Yun

shen

g20

13-7

-40.

300

0.28

560

0367

Reds

tar D

evel

opin

g20

13-7

-30.

035

0.03

3

6003

68W

uzho

u Co

mm

unica

tions

2013

-5-2

00.

030

0.02

960

0369

Sout

hwes

t Sec

uritie

s20

13-6

-13

0.10

00.

095

6003

70Sa

nfan

gxian

g20

13-5

-24

0.05

00.

048

6003

71W

anxia

ng D

onee

d20

13-7

-80.

200

0.18

0

6003

72Ch

ina

Avic

Elec

troni

cs20

13-8

-13

0.05

00.

048

6003

73Ch

ines

e Un

ivers

e Pu

blish

ing

and

Med

ia20

13-6

-19

0.10

00.

095

6003

75Hu

aling

Xin

gma

2013

-5-3

00.

350

0.33

360

0376

Beijin

g Ca

pita

l De

velo

pmen

t20

13-5

-20

0.24

00.

228

Listed Companies

2014 Fact Book 103

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6003

77Sh

angh

ai-Na

njin

g Ex

pres

sway

2013

-7-5

0.36

00.

342

6003

78Ti

anke

Sha

res

2013

-5-1

50.

070

0.06

7

6003

79Ba

ogua

ng V

acuu

m

Elec

troni

c Ap

para

tus

2013

-7-1

80.

013

0.01

260

0380

Join

care

Pha

rmac

eutic

al 20

13-7

-25

0.04

00.

038

6003

82Gu

angd

ong

Min

gzhu

2013

-5-2

00.

030

0.02

960

0383

Gem

dale

2013

-6-1

80.

080

0.07

6

6003

86Be

ijing

Bash

i Med

ia20

13-5

-22

0.26

00.

247

6003

87Ha

iyue

2013

-7-1

10.

050

0.04

8

6003

88Lo

ngjin

g En

viron

men

tal

Prot

ectio

n20

13-6

-30.

400

0.38

060

0389

Jian

gsha

n Ag

roch

emic

al &

Chem

icals

2013

-5-2

40.

160

0.15

2

6003

91Ch

engf

a Sc

ienc

e&Te

chno

logy

2013

-5-2

00.

040

0.03

860

0393

Dong

hua

Ente

rpris

e20

13-6

-60.

050

0.04

8

6003

95Pa

njian

g Re

fined

Coa

l20

13-7

-11

0.45

00.

428

6003

96Ji

nsha

n Co

.20

13-7

-25

0.10

00.

095

6003

98Ca

nal S

ci &

Tech

2013

-7-1

0.05

00.

048

6003

99Fu

shun

Spe

cial S

teel

2013

-7-2

30.

020

0.01

9

6004

00Ho

ngdo

u In

dust

ry20

13-5

-16

0.02

00.

019

6004

01Ha

reon

Sol

ar Te

chno

logy

2013

-5-2

80.

740

0.70

3

6004

03Da

you

Ener

gy20

13-6

-17

0.45

00.

428

6004

06NA

RI Te

chno

logy

De

velo

pmen

t20

13-6

-60.

210

0.18

0

6004

09Sa

nyou

Che

mica

l In

dust

ries

2013

-7-2

20.

020

0.01

960

0410

Team

sun

2013

-7-3

0.10

00.

095

6004

15Zh

ejian

g Ch

ina

Com

mod

ities C

ity G

roup

2013

-6-2

50.

100

0.09

560

0418

Anhu

i Jian

ghua

i Au

tom

obile

2013

-7-1

80.

110

0.10

5

6004

22Ku

nmin

g Ph

arm

aceu

tical

2013

-5-2

70.

300

0.28

560

0423

Liuz

hou

Chem

ical

Indu

stry

2013

-6-2

50.

060

0.05

7

Listed Companies

2014 Fact Book 104

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6004

25Qi

ngso

ng B

uildin

g M

ateria

ls an

d Ch

emica

ls20

13-6

-40.

100

0.09

560

0426

Hualu

-hen

gshe

ng

Chem

ical

2013

-7-4

0.15

00.

143

6004

33Gu

anha

o Hi

gh-te

ch20

13-4

-22

0.12

00.

114

6004

35No

rth N

avig

atio

n Co

ntro

l Te

chno

logy

2013

-6-4

0.10

00.

095

6004

36Pi

entze

huan

g20

13-6

-30.

800

0.76

060

0438

Tong

wei C

o., L

td.

2013

-5-2

20.

100

0.09

5

6004

39Re

becc

a20

13-6

-30.

080

0.07

660

0446

King

dom

Tech

nolo

gy20

13-4

-22

0.02

80.

027

6004

49Ni

ngxia

Bui

ldin

g M

ater

ials

2013

-5-2

00.

050

0.04

860

0456

Baoj

i Tita

nium

2013

-5-1

60.

050

0.04

8

6004

58Ti

mes

New

Mat

erial

s20

13-5

-10

0.10

00.

095

6004

59Si

no-p

latin

um m

etals

2013

-5-3

10.

045

0.04

3

6004

61Ji

angx

i Hon

gche

ng

Wat

erwo

rks

2013

-5-2

40.

100

0.09

560

0463

Airp

ort H

igh-

Tech

Par

k20

13-6

-17

0.10

00.

095

6004

67Sh

ando

ng H

omey

Aq

uatic

Dev

elop

men

t20

13-5

-90.

090

0.08

660

0468

Bene

fo Te

jing

Elec

tric

2013

-6-1

90.

020

0.01

9

6004

69Ae

olus

Tyr

e20

13-6

-18

0.10

00.

095

6004

70Li

uguo

Che

mica

l Indu

stry

2013

-6-2

00.

100

0.09

5

6004

75W

uxi H

uagu

ang

Boile

r20

13-6

-18

0.10

00.

095

6004

79Qi

anjin

Pha

rmac

eutic

al20

13-6

-24

0.25

00.

238

6004

80Li

ngyu

n In

dust

rial

2013

-6-1

70.

100

0.09

560

0481

Shua

nglia

ng A

ir-co

nditio

ning

2013

-6-2

40.

250

0.23

8

6004

82 F

engf

an S

tock

2013

-5-3

00.

055

0.05

260

0483

Fujia

n Na

nfan

g Te

xtile

2013

-7-1

60.

050

0.04

8

6004

86Ya

ngno

ng C

hem

ical

2013

-5-2

20.

340

0.32

360

0487

Heng

tong

Pho

toel

ectri

cal

2013

-5-2

80.

110

0.10

5

Listed Companies

2014 Fact Book 105

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6004

88Ti

anya

o Ph

arm

aceu

tical

2013

-3-1

30.

020

0.01

960

0489

Zhon

gjin

Gol

d20

13-7

-50.

160

0.15

2

6004

91Lo

ng Y

uan

Cons

truct

ion

2013

-6-3

0.13

00.

124

6004

93Fy

nex

Text

ile20

13-7

-12

0.02

00.

019

6004

95Ji

nxi A

xle20

13-5

-31

0.08

00.

076

6004

96Ji

nggo

ng S

teel

Bui

ldin

g20

13-5

-30

0.04

00.

038

6004

97Ch

ihon

g Zi

nc&

Germ

aniu

m20

13-7

-50.

150

0.14

360

0498

Fibe

rhom

e Te

leco

mm

unica

2013

-5-2

20.

320

0.30

4

6004

99Ke

da In

dust

rial

2013

-4-1

80.

130

0.12

460

0500

Sino

chem

Inte

rnat

iona

l20

13-6

-70.

150

0.14

3

6005

01Ae

rosu

n Co

rpor

atio

n20

13-6

-13

0.03

00.

029

6005

02An

hui W

ater

Res

ourc

es20

13-5

-31

0.08

00.

066

6005

03De

luxe

Fam

ily20

13-7

-20.

010

0.01

060

0505

Xich

ang

Powe

r20

13-6

-18

0.03

00.

029

6005

07Ch

ina

Natio

nal

Med

icine

s20

13-3

-11

1.00

00.

950

6005

08Sh

angh

ai En

ergy

2013

-6-2

00.

400

0.38

0

6005

09Ti

anfu

The

rmoe

lect

ric20

13-7

-30.

140

0.13

360

0510

Blac

k Pe

ony

2013

-6-6

0.13

50.

128

6005

11Ch

ina

Natio

nal

Med

icine

s20

13-6

-19

0.22

00.

209

6005

12Te

ngda

Con

stru

ctio

n 20

13-6

-17

0.02

00.

019

6005

13De

luxe

2013

-5-3

10.

060

0.05

760

0516

Fang

da C

arbo

n 20

13-3

-19

0.30

00.

285

6005

17Zh

ixin

Elec

tric

2013

-5-2

70.

150

0.14

360

0518

Kang

mei

Pha

rmac

eutic

al20

13-7

-26

0.20

00.

190

6005

19Kw

eich

ow M

outa

i20

13-6

-76.

419

6.09

860

0521

Huah

ai Ph

arm

aceu

tical

2013

-4-1

70.

200

0.19

0

6005

23Gu

ihan

g Au

tom

otive

2013

-6-4

0.13

30.

126

6005

25Ch

angy

uan

Grou

p20

13-5

-28

0.08

00.

076

Listed Companies

2014 Fact Book 106

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6005

26Ch

ina

Railw

ay E

rju20

13-6

-13

0.10

00.

095

6005

27Ji

angn

an H

igh

Polym

er20

13-6

-40.

090

0.08

6

6005

28Ch

ina

Railw

ay E

rju20

13-6

-70.

120

0.11

460

0529

Shan

dong

Ph

arm

aceu

tical

Glas

s20

13-7

-30.

140

0.13

3

6005

30Ji

aoda

Onl

ly20

13-6

-24

0.15

00.

143

6005

31Yu

guan

g Go

ld &

Lea

d20

13-6

-40.

050

0.04

8

6005

33Ch

ixia

Deve

lopm

ent

2013

-7-3

0.10

00.

095

6005

35Ta

sly20

13-5

-22

0.20

00.

140

6005

36Ch

ina

Natio

nal

Softw

are

2013

-5-3

10.

070

0.06

760

0543

Mog

ao In

dust

rial

Deve

lopm

ent

2013

-7-9

0.03

30.

031

6005

45Xi

njian

g Ur

ban

Cons

truct

ion

2013

-7-4

0.07

00.

067

6005

46Sh

anxi

Coal

Inte

rnat

iona

l En

ergy

Gro

up

2013

-8-5

0.30

00.

285

6005

47Sh

ando

ng G

old

2013

-7-1

0.16

00.

152

6005

48Sh

enzh

en E

xpre

sswa

y20

13-5

-28

0.13

00.

124

6005

49Xi

amen

Tung

sten

2013

-6-1

40.

250

0.23

860

0551

Tim

e Pu

blish

ing

and

Med

ia20

13-6

-28

0.18

50.

176

6005

52Fa

ngxin

g Sc

ienc

e &

Tech

nolo

gy20

13-5

-23

0.10

00.

095

6005

57Ka

nion

Pha

rmac

eutic

al20

13-5

-13

0.07

00.

067

6005

58At

lantic

Chi

na W

eldi

ng20

13-6

-60.

070

0.06

760

0559

Heng

shui

Lao

baig

an

Liqu

or20

13-7

-30

0.50

00.

475

6005

60Be

ijing

Aritim

e In

tellig

ent C

ontro

l20

13-5

-23

0.11

00.

105

6005

61Ji

angx

i Cha

ngyu

n20

13-8

-12

0.17

00.

162

6005

63Fa

ratro

nic

2013

-5-1

00.

600

0.57

060

0565

Dim

a In

dust

ry20

13-5

-31

0.03

00.

029

6005

70Hu

ndsu

n El

ectro

nics

2013

-5-1

40.

100

0.09

560

0571

Suny

ard

2013

-7-1

0.11

00.

105

6005

72Co

nba

Phar

mac

eutic

al20

13-6

-40.

120

0.11

460

0575

Wuh

u Po

rt20

13-4

-19

0.05

00.

038

Listed Companies

2014 Fact Book 107

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6005

77Ji

ngda

Spe

cial M

agne

t W

ire20

13-5

-17

0.02

00.

019

6005

78Ji

ngne

ng T

herm

al Po

wer

2013

-10-

230.

100

0.09

5

6005

80W

olon

g El

ectri

c20

13-4

-23

0.05

50.

052

6005

81Ba

Yi S

teel

2013

-5-3

10.

070

0.06

7

6005

82Ti

andi

Tian

Di S

cienc

e an

d Te

chno

logy

2013

-7-2

40.

120

0.11

460

0583

Offs

hore

Oil E

ngin

eerin

g20

13-5

-22

0.03

00.

029

6005

85An

hui C

onch

Cem

ent

2013

-6-1

40.

250

0.23

860

0587

Xinh

ua M

edica

l In

stru

men

t20

13-6

-30.

100

0.09

5

6005

88Yo

nyou

Sof

twar

e20

13-5

-70.

200

0.19

060

0589

Guan

gdon

g Ro

ngta

i20

13-7

-12

0.05

50.

052

6005

90Te

llhow

Sci-

Tech

2013

-7-8

0.10

00.

095

6005

92Lo

ngxi

Bear

ing

2013

-7-1

90.

100

0.09

5

6005

94Gu

izhou

Yib

ai Ph

arm

aceu

tical

2013

-6-1

30.

150

0.14

360

0595

Zhon

gfu

Indu

stry

2013

-6-5

0.02

00.

019

6005

96Xi

nan

Chem

ical

2013

-6-3

0.12

00.

114

6005

97Br

ight

Dair

y20

13-5

-27

0.18

00.

171

6006

00Ts

ingt

ao B

rewe

ry20

13-7

-26

0.40

00.

380

6006

01Fo

unde

r Scie

nce

& Te

chno

logy

2013

-8-1

40.

012

0.01

1

6006

04Sh

ibei

Hi-t

ech

2013

-6-2

60.

028

0.02

760

0605

Huito

ng E

nerg

y20

13-6

-40.

015

0.01

4

6006

06Ji

nfen

g In

vest

men

t20

13-7

-30.

062

0.05

960

0611

Dazh

ong

Tran

spor

tatio

n20

13-7

-15

0.08

00.

076

6006

12La

o Fe

ng X

iang

2013

-8-8

0.60

00.

570

6006

14Di

ngli T

echn

olog

y De

velo

pmen

t20

13-7

-30.

040

0.03

8

6006

16Ji

nfen

g W

ine

2013

-7-9

0.10

00.

095

6006

19Sh

angh

ai Hi

ghly

2013

-7-1

0.12

00.

114

Listed Companies

2014 Fact Book 108

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6006

20Sh

angh

ai Ti

anch

en20

13-6

-14

0.01

00.

010

6006

21Sh

angh

ai Ch

inaf

ortu

ne20

13-5

-31

0.11

00.

105

6006

22Ji

abao

Indu

stry

&

Com

mer

ce G

roup

2013

-7-2

50.

180

0.17

160

0623

Doub

le C

oin

2013

-6-1

40.

100

0.09

5

6006

24Fu

dan

Fuhu

a20

13-7

-26

0.03

60.

034

6006

26Sh

angh

ai Sh

enda

2013

-6-3

0.10

00.

095

6006

28Ne

w W

orld

2013

-8-2

20.

150

0.14

360

0633

Zhe

Jian

g Da

ily M

edia

2013

-5-3

10.

250

0.23

8

6006

35Da

zhon

g Pu

blic

Utilit

ies

2013

-7-1

60.

070

0.06

760

0636

3 F

new

Mat

erial

2013

-6-1

80.

110

0.10

5

6006

38Ne

w Hu

ang

Pu R

eal

Esta

te20

13-8

-90.

100

0.09

560

0639

Pudo

ng J

inqi

ao20

13-8

-90.

110

0.10

5

6006

41W

anye

Ent

erpr

ises

2013

-6-3

0.05

00.

048

6006

42Sh

ener

gy20

13-6

-17

0.12

00.

114

6006

44Le

shan

Ele

ctric

Pow

er20

13-8

-10.

050

0.04

860

0647

Tong

da V

entu

re C

apita

l20

13-8

-10.

065

0.04

7

6006

48W

aigao

qiao

2013

-7-9

0.14

00.

133

6006

49Sh

angh

ai Ch

engt

ou20

13-6

-18

0.15

00.

143

6006

50Ji

njian

g In

tern

atio

nal

Indu

stria

l Inve

stm

ent

2013

-6-2

40.

230

0.21

960

0651

Shan

ghai

Feile

Aco

ustic

s20

13-7

-90.

045

0.04

3

6006

52Sh

angh

ai AC

E20

13-7

-80.

107

0.10

260

0654

Shan

ghai

Feilo

2013

-6-2

60.

042

0.04

0

6006

55Yu

yuan

Tour

ist M

art

2013

-6-2

50.

203

0.19

360

0657

Xind

a Re

al Es

tate

2013

-6-1

90.

070

0.06

7

6006

58Be

ijing

Elec

troni

c Zo

ne20

13-5

-17

0.22

10.

210

6006

60Fu

yao

Glas

s20

13-6

-40.

500

0.47

5

6006

62Qi

angs

heng

Hol

ding

2013

-6-1

70.

100

0.09

560

0663

Lujia

zui

2013

-5-2

40.

163

0.15

5

Listed Companies

2014 Fact Book 109

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6006

65Ta

nde

2013

-6-6

0.08

50.

081

6006

66So

uthw

est

Phar

mac

eutic

al20

13-6

-60.

011

0.01

0

6006

68Ji

anfe

ng G

roup

2013

-7-2

20.

150

0.14

360

0673

Dong

yang

guan

g Al

umin

um20

13-5

-21

0.10

00.

095

6006

74Ch

uant

ou E

nerg

y20

13-6

-40.

063

0.05

960

0675

Chin

a En

terp

rise

2013

-7-1

60.

120

0.11

4

6006

76Sh

angh

ai Ji

aoyu

n20

13-7

-10.

100

0.09

560

0677

Aero

spac

e Co

mm

unica

tions

Hol

ding

s20

13-9

-18

0.08

00.

076

6006

82Na

njin

g Xi

njie

kou

Depa

rtmen

t Sto

re20

13-7

-90.

100

0.09

560

0683

Jint

ou Y

inta

i20

13-7

-10.

065

0.06

2

6006

84Pe

arl R

iver I

ndus

trial

2013

-7-5

0.21

00.

175

6006

85G

uang

zhou

Shi

pyar

d In

tern

atio

nal

2013

-7-1

70.

120

0.11

4

6006

86Ji

nlon

g Au

to20

13-6

-24

0.15

00.

143

6006

87Ga

ngta

i Hol

ding

s20

13-4

-11

0.06

00.

057

6006

88Si

nope

c Sh

angh

ai Pe

troch

emica

l20

13-1

2-4

0.05

00.

039

6006

90Qi

ngda

o Ha

ier

2013

-6-7

0.37

00.

352

6006

94Da

shan

g Co

.20

13-6

-19

1.00

00.

950

6006

97Eu

rasia

Gro

up20

13-7

-20.

300

0.28

5

6007

01Go

ng D

a Hi

gh-te

ch20

13-8

-22

0.01

50.

014

6007

02Tu

opai

Shed

e W

ine

2013

-7-2

20.

330

0.31

4

6007

03Sa

nan

opto

elec

troni

cs20

13-7

-15

0.20

00.

190

6007

04Zh

ongd

a Gr

oup

2013

-6-1

90.

180

0.17

1

6007

05Av

ic Ca

pita

l20

13-7

-23

0.15

00.

143

6007

08Sh

angh

ai Ha

ibo

2013

-6-1

40.

100

0.09

5

6007

12N

anni

ng D

epar

tmen

t St

ore

2013

-6-1

80.

036

0.03

460

0717

Tian

jin P

ort

2013

-6-1

30.

180

0.17

1

6007

18 N

euso

ft20

13-6

-30.

150

0.14

360

0719

Dalia

n Th

erm

al Po

wer

2013

-6-7

0.00

50.

005

Listed Companies

2014 Fact Book 110

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6007

20Qi

lians

han

2013

-7-1

50.

050

0.04

860

0723

Beijin

g Ca

pita

l Ret

ailin

g20

13-7

-15

0.25

00.

238

6007

24Ni

ngbo

Fud

a20

13-6

-40.

100

0.09

560

0729

Chon

gqin

g De

partm

ent

Stor

e20

13-5

-16

0.56

40.

536

6007

32Xi

nmei

Rea

l Est

ate

2013

-3-4

0.10

00.

055

6007

36Su

zhou

New

Dist

rict H

i-Te

ch20

13-5

-13

0.05

20.

049

6007

38 L

anzh

ou M

inba

i20

13-5

-29

0.12

00.

114

6007

41Hu

ayu

Auto

mot

ive

Syst

ems

2013

-7-8

0.37

00.

352

6007

42FA

WAY

Aut

omob

ile

Com

pone

nts

2013

-6-1

80.

560

0.53

260

0743

Huay

uan

Prop

erty

2013

-4-2

50.

050

0.04

0

6007

48Sh

angh

ai In

dust

rial

Deve

lopm

ent

2013

-7-1

20.

060

0.05

760

0749

Tib

et To

urism

2013

-7-2

90.

025

0.02

4

6007

50Ji

angz

hong

Ph

arm

aceu

tical

2013

-5-2

30.

300

0.28

560

0754

Jian

g In

tern

atio

nal H

otel

s20

13-6

-17

0.37

00.

352

6007

55Xi

amen

Inte

rnat

iona

l Tr

ade

2013

-7-2

0.10

00.

095

6007

56W

ave

softw

are

2013

-8-2

30.

043

0.04

1

6007

58Ho

ngya

ng E

nerg

y Re

sour

ce20

13-5

-24

0.03

00.

029

6007

59Ha

inan

Zhe

nghe

In

dust

rial G

roup

2013

-8-2

00.

093

0.08

8

6007

61An

hui H

eli

2013

-6-1

90.

210

0.20

060

0764

CEC

Core

Cast

2013

-6-1

40.

023

0.02

2

6007

65AV

IC H

eavy

Mac

hine

ry20

13-6

-19

0.04

00.

038

6007

70Ji

angs

u Zo

ngyi

Co.,

2013

-8-2

0.05

00.

048

6007

73Ti

bet D

evel

opm

ent

2013

-5-3

00.

018

0.01

760

0774

Hans

hang

Gro

up20

13-6

-19

0.04

00.

038

6007

75Na

njin

g Pa

nda

2013

-6-3

0.06

00.

057

6007

76Ea

stco

m20

13-7

-80.

080

0.07

6

6007

78Fr

iend

ship

Gro

up20

13-6

-26

0.33

00.

314

6007

79Sw

ellfu

n20

13-5

-27

0.23

00.

219

Listed Companies

2014 Fact Book 111

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6007

80To

ngba

o En

ergy

2013

-6-2

80.

100

0.09

560

0783

Luxin

Ven

ture

Cap

ital

2013

-6-1

90.

150

0.14

3

6007

84Lu

yin In

vest

men

t20

13-6

-26

0.03

00.

029

6007

85Xi

nhua

Dep

artm

ent

2013

-7-1

50.

300

0.28

5

6007

87Zh

ongc

hu

Deve

lopm

ent

2013

-6-1

80.

050

0.04

860

0790

Ligh

t and

Texti

le In

dustr

ial

City

2013

-6-7

0.20

00.

190

6007

91Ji

ngne

ng P

rope

rty20

13-6

-24

0.05

00.

048

6007

94Zh

angj

iaga

ng F

reet

rade

Sc

ienc

e an

d Te

chno

logy

Co

2013

-3-1

40.

210

0.20

0

6007

95GD

Pow

er20

13-5

-23

0.13

00.

124

6008

01Hu

axin

Cem

ent

2013

-6-6

0.18

00.

171

6008

02Fu

jian

Cem

ent

2013

-7-9

0.03

00.

029

6008

04Dr

.Pen

g Te

chno

logy

2013

-7-4

0.05

00.

048

6008

05Yu

eda

2013

-6-1

40.

150

0.13

360

0807

Tyan

Hom

e20

13-8

-12

0.01

40.

013

6008

09Sh

anxi

Fen

Win

e20

13-6

-27

0.80

00.

760

6008

12No

rth C

hina

Ph

arm

aceu

tical

2013

-8-1

40.

037

0.03

5

6008

14Ha

ngzh

ou J

ieba

i20

13-5

-17

0.07

50.

071

6008

15Xi

amen

XGM

A M

achi

nery

2013

-7-1

00.

050

0.04

8

6008

16An

xin Tr

ust

2013

-6-2

40.

100

0.09

560

0818

Zhon

glu

2013

-5-2

90.

025

0.01

9

6008

19Ya

opi G

lass

2013

-7-2

30.

025

0.02

460

0820

Tunn

el E

ngin

eerin

g20

13-5

-23

0.27

00.

257

6008

23Sh

angh

ai Sh

imao

Co.

2013

-12-

60.

090

0.08

660

0824

Yim

in D

epar

tmen

t Sto

res

2013

-7-2

60.

065

0.05

2

6008

25Xi

nhua

Med

ia20

13-8

-12

0.03

20.

030

6008

26La

nshe

ng20

13-5

-27

0.04

00.

038

Listed Companies

2014 Fact Book 112

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6008

27Yo

uyi S

hare

s20

13-7

-29

0.30

00.

285

6008

28Ch

engs

hang

Gro

up20

13-5

-80.

030

0.02

9

6008

30Su

nny

Loan

Top

2013

-6-1

70.

050

0.04

860

0831

Shaa

nxi B

road

cast

and

TV

Net

work

Inte

rmed

iary

2013

-6-3

0.04

00.

038

6008

32Sh

angh

ai Or

ient

al Pe

arl

2013

-8-1

90.

180

0.17

160

0833

No.1

Pha

rmac

y20

13-8

-20.

050

0.04

8

6008

34Sh

ento

ng M

etro

2013

-6-2

40.

070

0.06

760

0835

Shan

ghai

Shan

ghai

Mec

hani

cal a

nd E

lect

rical

Indu

stry

2013

-7-3

0.21

00.

200

6008

36Ji

elon

g In

dust

ry20

13-7

-17

0.03

00.

029

6008

37Ha

itong

Sec

uritie

s20

13-7

-17

0.12

00.

114

6008

38Sh

angh

ai Jo

in B

uy20

13-7

-26

0.02

00.

019

6008

39Si

chua

n Ch

angh

ong

Elec

tric

2013

-8-1

30.

010

0.01

0

6008

41Sh

angh

ai Di

esel

Engi

ne20

13-8

-12

0.07

10.

067

6008

45Ba

osig

ht S

oftw

are

2013

-5-2

90.

230

0.21

9

6008

46To

ngji

Scie

nce&

Tech

nolo

gy20

13-7

-80.

020

0.01

960

0850

Shan

ghai

East

-Chi

na

Com

pute

r20

13-6

-30.

200

0.19

0

6008

53Lo

ngjia

n Ro

ad &

Brid

ge20

13-7

-22

0.01

00.

010

6008

57HI

T Sh

ouch

uang

2013

-5-3

10.

050

0.04

8

6008

58Si

lver P

laza

Grou

p20

13-7

-25

0.07

00.

067

6008

59W

angf

ujin

g20

13-7

-19

0.70

00.

665

6008

61Be

ijing

Urba

n-Ru

ra20

13-5

-10

0.13

00.

124

6008

62Na

nton

g Sc

i & Te

ch20

13-7

-30

0.02

50.

024

6008

63In

ner M

ongo

lia

Men

gdia

n H

uane

ng

Ther

mal

Powe

r20

13-7

-80.

220

0.20

960

0864

Hato

u In

vest

men

t20

13-8

-12

0.25

00.

238

6008

67To

nghu

a Do

ngba

o Ph

arm

aceu

tical

2013

-5-2

40.

200

0.19

060

0869

Sanp

u m

edici

ne20

13-5

-30

0.20

00.

190

Listed Companies

2014 Fact Book 113

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6008

72Jo

njee

Hi-T

ech

2013

-7-5

0.05

00.

048

6008

73M

eihu

a20

13-7

-50.

100

0.09

5

6008

74Ca

pita

l Env

ironm

enta

l Pr

otec

tion

2013

-7-8

0.06

00.

057

6008

75Do

ngfa

ng E

lect

ric20

13-7

-17

0.11

00.

105

6008

79Ae

rosp

ace

Tim

es

Elec

troni

cs20

13-3

-80.

100

0.09

560

0880

Boru

i com

mun

icatio

n20

13-4

-30.

230

0.21

9

6008

81Ya

tai G

roup

2013

-6-2

50.

100

0.09

560

0882

Huali

an M

inin

g20

13-9

-30

0.20

00.

190

6008

83Bo

win

Tech

nolo

gy20

13-6

-27

0.02

00.

019

6008

84Ni

ngbo

Sha

nsha

n20

13-6

-18

0.06

00.

057

6008

86SD

IC P

ower

2013

-5-2

20.

084

0.08

060

0887

Erie

2013

-5-3

10.

280

0.26

6

6008

88Xi

njian

g Jo

inwo

rld20

13-6

-13

0.10

00.

095

6008

91Ty

urin

Gro

up20

13-7

-15

0.05

00.

048

6008

93Ae

ro-e

ngin

e20

13-6

-30.

081

0.07

760

0895

Zhan

gjian

g Hi

gh

Tech

nolo

gy P

ark

2013

-8-2

0.08

00.

076

6008

97Xi

amen

Int

erna

tiona

l Ai

rpor

t20

13-6

-30.

390

0.37

160

0900

Yang

tze P

ower

2013

-7-1

0.33

20.

315

6009

60Bo

hai P

iston

2013

-7-2

20.

026

0.02

560

0962

SDIC

Zho

nglu

Fru

it Ju

ice20

13-5

-28

0.05

00.

048

6009

65Fo

rtune

Ng

Fung

2013

-5-2

80.

030

0.02

960

0966

Bohu

i Pap

er In

dust

ry20

13-6

-28

0.00

50.

005

6009

67Be

ifang

Chu

angy

e20

13-6

-27

0.10

00.

095

6009

69Ch

endi

an In

tern

atio

nal

2013

-6-5

0.16

60.

158

6009

70Si

nom

a In

tern

atio

nal

2013

-5-2

70.

210

0.20

060

0971

Heng

yuan

Coa

l Ind

ustry

an

d El

ectri

city

Powe

r20

13-6

-18

0.26

00.

247

6009

73Ba

oshe

ng S

cienc

e an

d Te

chno

logy

2013

-7-4

0.10

00.

095

6009

75Ne

w W

ellfu

l20

13-7

-15

0.05

00.

048

Listed Companies

2014 Fact Book 114

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6009

76W

uhan

Jian

min

2013

-5-1

60.

380

0.36

160

0978

Wuh

an J

ianm

inYi

hua

Tim

ber

2013

-5-2

30.

080

0.07

6

6009

79Gu

anga

n Aa

a Pu

blic

2013

-5-2

30.

050

0.04

860

0981

Jian

gsu

High

Hop

e20

13-6

-13

0.03

00.

029

6009

82Ni

ngbo

The

rmal

2013

-7-1

00.

125

0.11

960

0983

Hefe

i Ron

gshi

da S

anyo

2013

-8-1

0.05

00.

048

6009

85Le

imin

gkeh

ua20

13-8

-20

0.10

00.

095

6009

86Ke

da G

roup

2013

-8-1

0.05

00.

048

6009

87Zh

ejian

g Ha

ngm

in20

13-6

-17

0.20

00.

190

6009

92Gu

izhou

Wire

2013

-6-1

70.

050

0.04

8

6009

93M

ayin

glon

g20

13-7

-15

0.16

00.

152

6009

95W

ensh

an E

lect

ric P

ower

2013

-6-1

80.

100

0.09

5

6009

97Ka

iluan

Cle

an C

oal

2013

-4-2

20.

120

0.11

460

0999

Chin

a M

erch

ants

Se

curit

ies

2013

-7-2

20.

142

0.13

5

6010

00Ta

ngsh

an P

ort

2013

-5-2

30.

050

0.04

860

1001

Dato

ng C

oal

2013

-8-8

0.01

20.

011

6010

06Da

qin

Railw

ay20

13-6

-50.

390

0.37

160

1007

Jinl

ing

Hote

l 20

13-8

-60.

115

0.10

9

6010

08Li

anyu

ngan

g Po

rt20

13-6

-30.

060

0.05

760

1009

Bank

of N

anjin

g20

13-7

-18

0.40

60.

386

6010

10W

enfe

ng20

13-5

-80.

500

0.47

560

1018

Ning

bo P

ort

2013

-6-1

90.

087

0.08

3

6010

28Yu

long

2013

-5-1

50.

250

0.23

860

1038

Firs

t Tra

ctor

2013

-7-1

50.

100

0.09

5

6010

58Sa

ilun

Co.

2013

-7-8

0.15

00.

143

6010

88Ch

ina

Shen

hua

2013

-7-8

0.96

00.

912

6010

98Ch

ina

Sout

h Pu

blish

ing&

Med

ia20

13-6

-14

0.18

00.

171

6010

99Pa

cific

Ocea

n20

13-7

-15

0.01

50.

014

Listed Companies

2014 Fact Book 115

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6011

00He

ngli c

ylind

er20

13-4

-25

0.15

30.

145

6011

01Ha

ohua

Ene

rgy

2013

-6-2

70.

220

0.20

9

6011

06Ch

ina

Firs

t Hea

vy

Indu

strie

s20

13-7

-20.

001

0.00

160

1107

Chen

gdu-

Chon

gqin

g Hi

ghwa

y20

13-6

-17

0.08

00.

076

6011

11Ai

r Chi

na20

13-7

-10

0.05

90.

056

6011

13Ch

ina

Ting

nylo

n20

13-6

-70.

050

0.04

8

6011

16Sa

njian

g Sh

oppi

ng20

13-5

-23

0.20

00.

190

6011

17Ch

ina

Natio

nal C

hem

ical

Engi

neer

ing

2013

-7-1

00.

065

0.06

2

6011

18Ha

inan

Rub

ber

2013

-6-1

90.

050

0.04

860

1126

Sifa

ng A

utom

atio

n20

13-5

-30

0.25

00.

238

6011

37Bo

wei W

eldi

ng20

13-5

-31

0.18

00.

171

6011

39Sh

enzh

en G

as20

13-6

-24

0.13

60.

129

6011

58Ch

ongq

ing

Wat

er20

13-5

-20

0.26

20.

249

6011

66In

dust

rial B

ank

2013

-7-3

0.57

00.

517

6011

68W

este

rn M

inin

g20

13-5

-16

0.10

00.

095

6011

69Ba

nk o

f Bei

jing

2013

-7-2

20.

400

0.38

0

6011

77H

angz

hou

Adv

ance

Ge

arbo

x Gr

oup

2013

-6-3

0.02

00.

019

6011

86Ch

ina

Railw

ay

Cons

truct

ion

2013

-7-2

20.

110

0.10

5

6011

88He

ilong

jiang

Tr

ansp

orta

tion

Deve

lopm

ent

2013

-5-2

40.

011

0.01

060

1199

Jian

gnan

Wat

er20

13-5

-27

0.25

00.

238

6012

08Do

ngca

i Tec

hnol

ogy

2013

-5-7

0.20

00.

190

6012

16In

ner M

ongo

lia J

unzh

eng

2013

-8-2

10.

050

0.04

8

6012

22Li

n Ya

ng E

lect

roni

cs20

13-5

-16

0.35

00.

333

6012

31US

I Ele

ctro

nics

2013

-6-1

40.

192

0.18

2

6012

33To

ngku

n Gr

oup

2013

-4-2

30.

100

0.09

560

1238

Guan

gzho

u Au

tom

obile

Gr

oup

2013

-7-1

60.

020

0.01

9

Listed Companies

2014 Fact Book 116

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6012

38Gu

angz

hou

Auto

mob

ile

Grou

p20

13-1

0-8

0.06

00.

057

6012

88Ag

ricul

tura

l Ban

k of

Ch

ina

2013

-6-2

80.

157

0.14

9

6012

99Ch

ina

North

Rail

way

2013

-7-2

50.

100

0.09

560

1311

Cam

el C

o.20

13-5

-29

0.17

00.

162

6013

13Ji

angn

an J

iajie

2013

-4-8

0.30

00.

285

6013

18Pi

ng A

n In

sura

nce

2013

-5-2

00.

300

0.28

5

6013

18Pi

ng A

n In

sura

nce

2013

-9-1

00.

200

0.19

060

1328

Bank

of C

omm

unica

tions

2013

-7-1

10.

240

0.22

8

6013

33Gu

angs

hen

Railw

ay20

13-7

-16

0.08

00.

076

6013

39Br

os E

aste

rn

2013

-6-2

70.

105

0.10

0

6013

69Xi

'an

Shaa

ngu

Powe

r20

13-4

-22

0.35

00.

333

6013

77In

dust

rial S

ecur

ities

2013

-4-1

10.

120

0.11

4

6013

88Ye

chiu

Met

al Re

cycli

ng20

13-6

-40.

100

0.09

560

1390

Chin

a Ra

ilway

2013

-8-5

0.05

20.

049

6013

98IC

BC20

13-6

-26

0.23

90.

227

6015

15Do

ngfe

ng A

uto

2013

-6-2

40.

380

0.36

1

6015

15Do

ngfe

ng A

uto

2013

-10-

100.

650

0.61

860

1518

Jilin

Exp

ress

way

2013

-7-3

0.06

40.

061

6015

55So

ocho

w Se

curit

ies

2013

-6-2

40.

050

0.04

860

1566

Joeo

ne20

13-6

-19

0.70

00.

665

6015

67Sa

nxin

g El

ectri

c20

13-7

-20.

500

0.47

560

1588

North

Sta

r Ind

ustri

al20

13-7

-80.

060

0.05

7

6015

99Lu

kang

Tech

nolo

gy20

13-5

-30

0.05

00.

048

6016

01Pa

cific

Insu

ranc

e20

13-7

-22

0.35

00.

333

6016

07Sh

angh

ai Ph

arm

aceu

tical

2013

-7-2

40.

240

0.22

860

1608

CITI

C He

avy

Indu

strie

s20

13-8

-16

0.05

60.

053

6016

16Sh

angh

ai G

uang

dian

El

ectri

c Gr

oup

2013

-5-2

40.

100

0.09

560

1628

Chin

a Li

fe20

13-6

-18

0.14

00.

133

Listed Companies

2014 Fact Book 117

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6016

33Gr

eat W

all M

otor

2013

-5-2

40.

570

0.54

260

1636

Kibi

ng G

roup

2013

-4-1

90.

100

0.09

5

6016

66Pi

ngdi

ngsh

an T

ianan

Co

al20

13-6

-20

0.14

30.

136

6016

68Ch

ina

Stat

e Co

nstru

ctio

n20

13-7

-25

0.10

50.

100

6016

69Ch

ina

hydr

opow

er20

13-7

-40.

128

0.12

260

1677

Alph

a Al

umin

um20

13-7

-30.

100

0.09

5

6016

78Be

far

2013

-4-1

70.

150

0.14

360

1688

Huat

ai Se

curit

ies

2013

-6-1

30.

150

0.14

3

6016

99Lu

’An

Envir

onm

enta

l En

ergy

2013

-4-1

70.

336

0.31

960

1700

Feng

fan

Powe

r Eq

uipm

ent

2013

-4-2

0. 5

000.

475

6017

17Zh

engz

hou

Coal

Min

ing

Mac

hine

ry20

13-6

-26

0.30

00.

285

6017

18Ji

hua

Grou

p20

13-7

-80.

030

0.02

9

6017

27Sh

angh

ai El

ectri

c20

13-8

-16

0.06

40.

061

6017

66Ch

ina

Sout

h Lo

com

otive

&

Rollin

g20

13-7

-80.

090

0.08

6

6017

77Li

fan

2013

-6-2

00.

200

0.19

060

1788

Ever

brig

ht S

ecur

ities

2013

-4-2

60.

092

0.08

7

6017

89Ni

ngbo

Con

stru

ctio

n20

13-5

-24

0.10

00.

095

6017

98La

npec

Tech

nolo

gies

2013

-7-4

0.07

00.

067

6017

99Xi

ngyu

Aut

omot

ive20

13-6

-70.

655

0.62

260

1800

Chin

a Co

mm

unica

tions

Co

nstru

ctio

n Co

mpa

ny20

13-8

-21

0.18

50.

175

6018

01Ch

ina

Anhu

i Xin

hua

Med

ia20

13-6

-18

0.17

00.

162

6018

08Ch

ina

Oilfie

ld S

ervic

es20

13-6

-13

0.31

00.

295

6018

18Ev

erbr

ight

Ban

k20

13-6

-60.

058

0.05

560

1857

Petro

Chi

na

20

13-6

-60.

131

0.12

5

6018

57Pe

tro C

hina

2013

-9-1

20.

161

0.15

360

1872

Chin

a M

erch

ants

Ene

rgy

Ship

ping

2013

-7-1

90.

006

0.00

6

6018

77Zh

engt

ai El

ectri

c Ap

plian

ce20

13-5

-60.

600

0.57

060

1877

Zhen

gtai

Elec

tric

Appl

iance

2013

-9-2

60.

400

0.38

0

Listed Companies

2014 Fact Book 118

Shar

e C

ode

Shor

t Nam

eD

istrib

utio

n D

ate

Div

iden

d (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)Sh

are

Cod

eSh

ort N

ame

Dist

ribut

ion

Dat

eD

ivide

nd (b

efor

e ta

x) (R

MB)

Div

iden

d (a

fter

tax)

(RM

B)

6018

80Da

lian

Port

2013

-8-1

20.

050

0.04

860

1886

Jang

ho C

urta

in20

13-5

-14

0.26

00.

247

6018

88Ch

ina

Inte

rnat

iona

l Tr

avel

Ser

vice

2013

-5-2

20.

350

0.33

360

1890

Yaxin

g an

chor

2013

-6-2

60.

060

0.05

7

6018

98Ch

ina

Coal

Ener

gy20

13-5

-27

0.21

00.

200

6018

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Listed Companies

2014 Fact Book 119

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Listed Companies

2014 Fact Book 120

Table of Changes in Stock Short Names in 2013

Stock Code Date of Change New Short Name

Former Short Name

600112 2013-12-24 Tiancheng Holding Changzheng Electric

600234 2013-5-2 *ST Tianlong ST Tianlong

600258 2013-9-10 Beijing Tourism Group Hotels Beijing Capital Tourism

600265 2013-5-3 *ST Jinggu ST Jinggu

600280 2013-10-22 Central Emporium Nanjing Central Emporium

600292 2013-7-24 CPI Yuanda Jiulong Electric Power

600309 2013-6-6 Wanhua Chemical Yantai Wanhua

600323 2013-12-10 Grandblue Environment Nanhai Development

600332 2013-8-29 Baiyunshan Pharmaceutical Guangzhou Pharmaceutical

600381 2013-5-2 *ST Qinghai Sunshiny Mining ST Qinghai Sunshiny Mining

600490 2013-7-25 Pengxin International Mining Shanghai Synica

600556 2013-2-8 ST Beisheng Pharmaceutical *ST Beisheng Pharmaceutical

600556 2013-5-3 *ST Beisheng Pharmaceutical ST Beisheng Pharmaceutical

600562 2013-7-16 Glarun Technology Gaochun Ceramics

600578 2013-10-10 Jingneng Thermal Power Jinneng Thermal Power

600613 2013-10-22 Shenqi Pharmaceutical Wingsung Investment

600617 2013-5-3 *ST Lian Hua ST Lian Hua

600621 2013-2-8 Chinafortune Shanghai Jinling

600688 2013-8-20 Sinopec Shanghai Petrochemical S Sinopec Shanghai Petrochemical

600691 2013-4-17 Yangmei Chemical Dongxin Electrical Carbon

600698 2013-7-5 ST Qinqi Motorcycle *ST Qinqi Motorcycle

600751 2013-6-4 Tianjin Marine Shipping S Tianjin Marine Shipping

600769 2013-5-3 *ST Xianglong ST Xianglong

600771 2013-7-9Guangyuyuan Chinese Herbal Medicine

Topsun Science and Technology

600817 2013-2-8 ST Hongsheng *ST Hongsheng

600869 2013-9-13 Far East Cable S&P Pharmaceutical

600871 2013-8-20 Yizheng Chemical Fibre S Yizheng Chemical Fibre

601886 2013-6-3 Jangho Group Jangho Curtain Wall

900904 2013-10-22 Shenqi Pharmaceutical B Wingsung Investment B

900913 2013-5-3 *ST Lianhua B ST Lianhua B

900946 2013-7-5 ST Qinqi Motorcycle B *ST Qinqi Motorcycle B

Listed Companies

2014 Fact Book 121

Companies Subject to Delisting Risk Warnings in 2013

No Stock Code Short Name CommencementDate

Short Name after Enforcement of Delisting Risk Warnings

1 600961 Zhuzhou Smelter Group 2013-3-15 *ST Zhuzhou Smelter Group

2 601919 China COSCO 2013-3-29 *ST China COSCO

3 600707 IRICO Display Devices 2013-4-1 *ST IRICO Display Devices

4 600538Beihai Gofar Marine Biological Industry

2013-4-1*ST Beihai Gofar Marine Biological Industry

5 600760 Zhonghang Heibao 2013-4-2 *ST Zhonghang Heibao

6 600980BGRIMM Materials & Techology

2013-4-3 *ST BGRIMM Materials & Techology

7 601268 China Erzhong Group 2013-4-24 *ST China Erzhong Group

8 600381 ST Qinghai Sunshiny Mining 2013-5-2 *ST Qinghai Sunshiny Mining

9 600319 Yaxing Chemical 2013-5-2 *ST Yaxing Chemical

10 600444 Guotong Hi-tech Pipes 2013-5-2 *ST Guotong Hi-tech Pipes

11 600234 ST Tianlong 2013-5-2 *ST Tianlong

12 600074Zhongda New Material Group

2013-5-2 *ST Zhongda New Material Group

13 600769ST Xianglong Power Industry

2013-5-3 *ST Xianglong Power Industry

14 600555 Jiulongshan 2013-5-3 *ST Jiulongshan

15 900955 Jiulongshan B 2013-5-3 *ST Jiulongshan B

16 600265 ST Jinggu 2013-5-3 *ST Jinggu

17 600617 ST Lianhua 2013-5-3 *ST Lianhua

18 900913 ST Lianhua B 2013-5-3 *ST Lianhua B

19 600769 ST Xianglong 2013-5-3 *ST Xianglong

20 600301 Nanning Chemical Industry 2013-5-3 *ST Nanning Chemical Industry

21 600556ST Beisheng Pharmaceutical

2013-5-3 *ST Beisheng Pharmaceutical

22 600358 China United Travel 2013-5-3 *ST China United Travel

Listed Companies

2014 Fact Book 122

Companies Subject to other risk warning in 2013

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

1 600381 Qinghai Sunshiny Mining 2013-3-6 ST Qinghai Sunshiny Mining

Companies Subject to Listing Termination in 2013

No. A-share Code A-share Short Name B-share Code B-share Short Name

Commencement Date for Implementation of Listing Suspension

1 600087 *ST Tanker Corporation 2013-5-14

2 600385 *ST Jintai Group 2013-5-14

Companies Subject to Listing Termination in 2013

No. A-share Code A-share Short Name B-share Code B-share Short Name

Commencement Date for Implementation of Listing Termination

1 600253Topfond Pharmaceutical

2013-7-15

2 900949Southeast Electric Power B

2013-11-7

Companies Subject to Listing Resumption in 2013

No. A-share Code

A-share Short Name

B-share Code

B-share Short Name

Listing Date for the Announcement of Listing Resumption

A-share Short Name Subject to Listing Resumption

B-share Short Name Subject to Listing Resumption

1 600556*ST Beisheng Pharmaceutical

2013-2-8ST Beisheng Pharmaceutical

2 600817 *ST Hongsheng 2013-2-8ST Hongsheng Technology

3 600698 *ST Qingqi 900946*ST Qingqi B

2013-7-5 ST Qingqi ST Qingqi B

Listed Companies

2014 Fact Book 123

Companies Subject to Cancellation of Risk Warning in 2013

I Companies Subject to Withdrawal of Delisting Risk Warnings

II Companies Subject to Cancellation of Other Risk Warning

No. Company Code Company Short Name A-share Short Name after Withdrawal of

Delisting Risk Warnings

Commencement Date for Implementation of Withdrawal of Delisting Risk Warnings

1 600678 *ST Golden Summit Sichuan Golden Summit 2013-2-4

2 600076*ST Jadebird Huaguang Technology

Jadebird Huaguang Technology 2013-3-7

3 600338*ST Tibet Summit Industry

Tibet Summit Industry 2013-3-12

4 600691*ST Dongxin Electrical Carbon

Dongxin Electrical Carbon 2013-4-3

5 600733 *ST Qianfeng Electronics S Qianfeng Electronics 2013-4-8

6 600462*ST Shixian Bailu apermaking

Shixian Bailu Papermaking 2013-4-8

7 600359*ST Xinjiang Talimu Agriculture Development

Xinjiang Talimu Agriculture Development 2013-4-10

8 600392 *ST Tiancheng Shenghe Resources Holding 2013-5-2

9 600250 *ST Nanfang Textile Nanfang Textile 2013-5-6

10 600766 *ST Yuancheng Gold Yuancheng Gold 2013-5-9

11 600877 *ST China Jialing Industrial China Jialing Industrial 2013-5-10

No. A-shareCode A-share Short Name B-share

Code

B-share Short Name

A-share Short Name after Withdrawal of Delisting Risk Warnings

B-share Short Name after Withdrawal of Delisting Risk Warnings


1 600656ST BoYuan Investment

BoYuan Investment 2013-1-30

2 600722ST Jinniu Chemical Industry

J i n n i u C h e m i c a l Industry

2013-1-31

3 600681 ST Winowner Group Winowner Group 2013-1-31

4 600083ST Boxin Investing & Holdings

Box in Inves t ing & Holdings

2013-2-1

5 600705 ST Avic Capital Avic Capital 2013-2-6

Listed Companies

2014 Fact Book 124

No. A-shareCode A-share Short Name B-share

Code

B-share Short Name

A-share Short Name after Withdrawal of Delisting Risk Warnings

B-share Short Name after Withdrawal of Delisting Risk Warnings


6 600988STChifeng Jilong Gold Mining

Chifeng Jilong Gold Mining

2013-2-7

7 600608ST Shanghai Broadband Technology

Shanghai Broadband Technology

2013-2-8

8 600885 ST Hongfa Technology Hongfa Technology 2013-2-26

9 600870ST Xiamen Overseas Chinese Electronic

Xiamen Overseas Chinese Electronic

2013-3-14

10 900939ST Huili Building Materials B

Huili Building Materials B

2013-3-25

11 600455ST But'one Information Corporation

But'one Information Corporation

2013-3-28

12 600892ST Baocheng Investment

Baocheng Investment 2013-4-22

13 600751SST Tianjin Marine Shipping

900938ST Tianjin Marine Shipping B

S Tianjin Marine Shipping

Tianjin Marine Shipping B

2013-4-23

14 600771ST Topsun Science and Technology

Topsun Science and Technology

2013-4-26

15 600671ST TianMuShan Pharmaceutical Enterprise

TianMuShan Pharmaceutical Enterprise

2013-5-9

Bond Market

Bond Market

2014 Fact Book 127

Bond Market Overview of the Shanghai Stock Exchange in 2013

In 2013, the bond market of the Shanghai Stock Exchange (hereafter referred to as SSE) maintained a rapid

development in the number of listed bonds, outstanding amount and trading volume.

By December 31, 2013, 1,686 bonds were listed on SSE, an increase of 665 from 2012 by 65%. The 1.7219 trillion

yuan outstanding amount represented an increase of 660.7 billion yuan from 2012 by 62%. Among them, there were

156 T-bonds with an outstanding amount of 230.8 billion yuan; 62 local treasury bonds, with an outstanding amount

of 1.7 trillion yuan; 1226 corporate bonds (including enterprise bonds), with an outstanding amount of 1163.4 billion

yuan; 18 convertible bonds with an outstanding amount of 153.7 billion yuan; 10 separately-traded convertible bonds

with an outstanding amount of 59.8 billion yuan; 164 SME bonds with an outstanding amount of 20.7 billion yuan

and 50 other securities (including bonds issued by insurance companies, securities firms and ABS) with an outstanding

amount of 91.8 billion yuan. In 2013, SSE issued and listed 33 T-bonds, 24 local government bonds, 505 corporate

bonds, 4 convertible bonds, 125 SME bonds and 34 other securities.

Turnover of bonds recorded 63 trillion yuan, an increase of 25 trillion yuan from 2012 by 65%. Of the turnover, T-bonds

accounted for 77.11 billion yuan, corporate bonds 894.049 billion yuan, convertible bonds 479.397 billion yuan,

separately-traded convertible bonds 57.153 billion yuan and bonds repo 61.051877 trillion yuan.

On the secondary bond market, SSE T-Bond Index sustained the stable and slow upward trend of 2012, going up from

135.79 at the beginning of 2013 to 139.52 as of the end of 2013, an increase of 3.73 points or 2.75%.

The debenture bond market witnessed comparatively large fluctuations in 2013. Due to limited liquidity in the market,

SSE Enterprise Bond Index experienced a downward trend and SSE Corporate Bond Index went through smaller

increase in June. In November, SSE Enterprise Bond Index and SSE Corporate Bond Index kept a more downward trend. SSE

SSE T-bond Index SSE Enterprise Bond Index SSE Corporate Bond Index

Bond Market

2014 Fact Book 128

Enterprise Bond Index went up from 159.60 at the beginning of 2013 to 166.56 as of the end of 2013, an increase of 6.96

or 4.36% while SSE Corporate Bond Index went up from 142.04 to 146.15, an increase of 4.11 or 2.89%.

SSE actively promoted the innovation of bond products and the development of the bond market in 2013 in four

aspects. First, it focused its efforts on the expansion of the bond market’s scale, demonstrated by the record highs in

the number of listed bonds, outstanding amount and trading volume. Second, it promoted the innovation of the bond

market and products in an orderly way. Specifically, it launched the when-issued trading of treasury bonds for the first

time, carried out the trail program of first policy-oriented financial bonds, namely CDB bond, and encouraged business

banks to issue write-down bonds. In addition, it actively promoted products such as asset-backed bonds, exchangeable

bonds and insurance companies’ infrastructure liability schemes. Third, it continued to improve the infrastructure of

the bond market and remarkably further the integration of trading rules, mechanisms and systems of bonds. Fourth, it

strengthened the risk prevention mechanism of the bond market, including establishing the dynamic risk monitoring,

warning and treatment mechanism and the investor suitability system while optimizing the bond operation mechanism.

In the coming year during which China’s bond market is to have a rapid growth, SSE will continue to expand its bond

market’s scale, push up the innovation of bond products and foster more market investors. It will also complete the

trading mechanisms and rules of bonds, come up with more effective prevention and monitoring methods of bonds risks

and boost the healthy development of the bond market.

Bond Market

2014 Fact Book 129

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


Listed companies that receive CSRC approval to issue corporate bonds may be exempted from aforesaid Items (5), (11)

Bond Market

2014 Fact Book 130

and (13).

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

Bond Market

2014 Fact Book 131

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 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.

Conditions for SSE 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 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;


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

(1) Basic facts of the issuer;

Bond Market

2014 Fact Book 132

(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

accuracy and completeness of the issuance document;

(15) Other important matters.

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

2014 Fact Book 133

Profile of Government Bonds in 2013

Code Short Name Issuance method

Issue size(RMB 100 million)

Value date Listing date Maturity date Years Interest rate (%)

010107 21 T-bond (7) Book-entry 239.6000 2001-7-31 2001-8-20 2021-7-31 20.00 4.2600

010213 02T-bond (13) Book-entry 240.0000 2002-9-20 2002-10-9 2017-9-20 15.00 2.6000

010303 03 T-bond (3) Book-entry 260.0000 2003-4-17 2003-4-25 2023-4-17 20.00 3.4000

010308 03 T-bond (8) Book-entry 163.8000 2003-9-17 2003-9-25 2013-9-17 10.00 3.0200

010501 05 T-bond (1) Book-entry 300.0000 2005-2-28 2005-3-11 2015-2-28 10.00 4.4400

010504 05 T-bond (4) Book-entry 339.2000 2005-5-15 2005-5-25 2025-5-15 20.00 4.1100

010512 05 T-bond (12) Book-entry 344.1000 2005-11-15 2005-11-24 2020-11-15 15.00 3.6500

010601 06 T-bond (1) Book-entry 330.0000 2006-2-27 2006-3-8 2013-2-27 7.00 2.5100

010603 06 T-bond (3) Book-entry 340.0000 2006-3-27 2006-4-5 2016-3-27 10.00 2.8000

010606 06 T-bond (6) Book-entry 305.6000 2006-5-25 2006-6-5 2013-5-25 7.00 2.6200

010609 06 T-bond (9) Book-entry 310.9000 2006-6-26 2006-7-5 2026-6-26 20.00 3.7000

010613 06 T-bond (13) Book-entry 331.0000 2006-8-31 2006-9-11 2013-8-31 7.00 2.8900

010616 06 T-bond (16) Book-entry 300.0000 2006-9-26 2006-10-9 2016-9-26 10.00 2.9200

010619 06 T-bond (19) Book-entry 300.0000 2006-11-15 2006-11-23 2021-11-15 15.00 3.2700

010620 06 T-bond (20) Book-entry 345.9000 2006-11-27 2006-12-6 2013-11-27 7.00 2.9100

010701 07 T-bond 01 Book-entry 300.0000 2007-2-6 2007-2-15 2014-2-6 7.00 2.9300

010703 07 T-bond 03 Book-entry 300.0000 2007-3-22 2007-4-2 2017-3-22 10.00 3.4000

010706 07 T-bond 06 Book-entry 300.0000 2007-5-17 2007-5-28 2037-5-17 30.00 4.2700

010707 07 T-bond 07 Book-entry 337.8000 2007-5-24 2007-6-4 2014-5-24 7.00 3.7400

010710 07 T-bond 10 Book-entry 350.7000 2007-6-25 2007-7-4 2017-6-25 10.00 4.4000

Bond Market

2014 Fact Book 134




010713 07 T-bond 13 Book-entry 280.0000 2007-8-16 2007-8-24 2027-8-16 20.00 4.5200

019002 10 T-bond 02 Book-entry 260.0000 2010-2-4 2010-2-10 2020-2-4 10.00 3.4300

019003 10 T-bond 03 Book-entry 240.0000 2010-3-1 2010-3-5 2040-3-1 30.00 4.0800

019005 10 T-bond 05 Book-entry 260.0000 2010-3-11 2010-3-17 2017-3-11 7.00 2.9200

019006 10 T-bond 06 Book-entry 260.0000 2010-3-18 2010-3-24 2013-3-18 3.00 2.2300

019007 10 T-bond 07 Book-entry 260.0000 2010-3-25 2010-3-31 2020-3-25 10.00 3.3600

019008 10 T-bond 08 Book-entry 280.4000 2010-4-8 2010-4-14 2015-4-8 5.00 2.7000

019009 10 T-bond 09 Book-entry 280.0000 2010-4-15 2010-4-21 2030-4-15 20.00 3.9600

019010 10 T-bond 10 Book-entry 280.0000 2010-4-22 2010-4-28 2017-4-22 7.00 3.0100

019012 10 T-bond 12 Book-entry 280.0000 2010-5-13 2010-5-19 2020-5-13 10.00 3.2500

019013 10 T-bond 13 Book-entry 280.0000 2010-5-20 2010-5-26 2015-5-20 5.00 2.3800

019014 10 T-bond 14 Book-entry 280.0000 2010-5-24 2010-5-28 2060-5-24 50.00 4.0300

019015 10 T-bond 15 Book-entry 283.1000 2010-5-27 2010-6-2 2017-5-27 7.00 2.8300

019016 10 T-bond 16 Book-entry 280.0000 2010-6-3 2010-6-9 2013-6-3 3.00 2.3300

019017 10 T-bond 17 Book-entry 280.0000 2010-6-10 2010-6-18 2015-6-10 5.00 2.5300

019018 10 T-bond 18 Book-entry 280.0000 2010-6-21 2010-6-25 2040-6-21 30.00 4.0300

019019 10 T-bond 19 Book-entry 280.1000 2010-6-24 2010-6-30 2020-6-24 10.00 3.4100

019020 10 T-bond 20 Book-entry 299.7000 2010-7-8 2010-7-14 2015-7-8 5.00 2.5200

019022 10 T-bond 22 Book-entry 281.9000 2010-7-22 2010-7-28 2017-7-22 7.00 2.7600

019023 10 T-bond 23 Book-entry 280.0000 2010-7-29 2010-8-4 2040-7-29 30.00 3.9600

019024 10 T-bond24 Book-entry 304.4000 2010-8-5 2010-8-11 2020-8-5 10.00 3.2800

Bond Market

2014 Fact Book 135




019025 10 T-bond 25 Book-entry 280.0000 2010-8-12 2010-8-18 2013-8-12 3.00 2.3000

019026 10 T-bond 26 Book-entry 280.0000 2010-8-16 2010-8-20 2040-8-16 30.00 3.9600

019027 10 T-bond 27 Book-entry 280.0000 2010-8-19 2010-8-25 2017-8-19 7.00 2.8100

019028 10 T-bond 28 Book-entry 282.2000 2010-8-26 2010-9-1 2015-8-26 5.00 2.5800

019029 10 T-bond 29 Book-entry 280.0000 2010-9-2 2010-9-8 2030-9-2 20.00 3.8200

019031 10 T-bond31 Book-entry 282.6000 2010-9-16 2010-9-21 2020-9-16 10.00 3.2900

019032 10 T-bond 32 Book-entry 287.1000 2010-10-14 2010-10-20 2017-10-14 7.00 3.1000

019033 10 T-bond 33 Book-entry 280.0000 2010-10-21 2010-10-27 2015-10-21 5.00 2.9100

019034 10 T-bond 34 Book-entry 280.0000 2010-10-28 2010-11-3 2020-10-28 10.00 3.6700

019035 10 T-bond 35 Book-entry 280.0000 2010-11-4 2010-11-10 2013-11-4 3.00 2.6800

019037 10 T-bond 37 Book-entry 280.0000 2010-11-18 2010-11-24 2060-11-18 50.00 4.4000

019038 10 T-bond 38 Book-entry 306.4000 2010-11-25 2010-12-1 2017-11-25 7.00 3.8300

019039 10 T-bond 39 Book-entry 321.4000 2010-12-2 2010-12-8 2015-12-2 5.00 3.6400

019040 10 T-bond 40 Book-entry 280.0000 2010-12-9 2010-12-15 2040-12-9 30.00 4.2300

019041 10 T-bond 41 Book-entry 307.8000 2010-12-16 2010-12-22 2020-12-16 10.00 3.7700

019102 11 T-bond 02 Book-entry 620.6000 2011-1-20 2011-1-26 2021-1-20 10.00 3.9400

019103 11 T-bond 03 Book-entry 625.2000 2011-1-27 2011-2-1 2018-1-27 7.00 3.8300

019104 11 T-bond 04 Book-entry 639.7000 2011-2-17 2011-2-23 2016-2-17 5.00 3.6000

019105 11 T-bond 05 Book-entry 280.0000 2011-2-24 2011-3-2 2041-2-24 30.00 4.3100

019106 11 T-bond06 Book-entry 300.0000 2011-3-3 2011-3-9 2018-3-3 7.00 3.7500

019107 11T-bond07 Book-entry 580.0000 2011-3-10 2011-3-16 2014-3-10 3.00 3.2200

Bond Market

2014 Fact Book 136




019108 11T-bond08 Book-entry 300.0000 2011-3-17 2011-3-23 2021-3-17 10.00 3.8300

019110 11T-bond10 Book-entry 580.0000 2011-4-28 2011-5-5 2031-4-28 20.00 4.1500

019112 11T-bond12 Book-entry 300.0000 2011-5-26 2011-6-1 2061-5-26 50.00 4.4800

019113 11T-bond13 Book-entry 600.0000 2011-6-2 2011-6-9 2014-6-2 3.00 3.2600

019114 11T-bond14 Book-entry 600.0000 2011-6-9 2011-6-15 2016-6-9 5.00 3.4400

019115 11T-bond15 Book-entry 619.3000 2011-6-16 2011-6-22 2021-6-16 10.00 3.9900

019116 11T-bond16 Book-entry 580.0000 2011-6-23 2011-6-29 2041-6-23 30.00 4.5000

019117 11T-bond17 Book-entry 600.0000 2011-7-7 2011-7-13 2018-7-7 7.00 3.7000

019119 11T-bond19 Book-entry 630.5000 2011-8-18 2011-8-24 2021-8-18 10.00 3.9300

019121 11T-bond21 Book-entry 586.3000 2011-10-13 2011-10-19 2018-10-13 7.00 3.6500

019122 11T-bond22 Book-entry 293.0000 2011-10-20 2011-10-26 2016-10-20 5.00 3.5500

019123 11T-bond23 Book-entry 280.0000 2011-11-10 2011-11-16 2061-11-10 50.00 4.3300

019124 11T-bond24 Book-entry 560.5000 2011-11-17 2011-11-23 2021-11-17 10.00 3.5700

019125 11T-bond25 Book-entry 280.0000 2011-12-8 2011-12-14 2014-12-8 3.00 2.8200

019201 12T-bond01 Book-entry 280.0000 2012-1-12 2012-1-18 2013-1-12 1.00 2.7800

019202 12T-bond02 Book-entry 280.0000 2012-2-8 2012-2-14 2013-2-8 1.00 2.8700

019203 12T-bond03 Book-entry 580.0000 2012-2-16 2012-2-22 2017-2-16 5.00 3.1400

019204 12T-bond04 Book-entry 860.0000 2012-2-23 2012-2-29 2022-2-23 10.00 3.5100

019205 12T-bond05 Book-entry 946.7000 2012-3-8 2012-3-14 2019-3-8 7.00 3.4100

019206 12T-bond06 Book-entry 280.0000 2012-4-23 2012-4-27 2032-4-23 20.00 4.0300

019207 12T-bond07 Book-entry 649.4000 2012-4-26 2012-5-3 2015-4-26 3.00 2.9100

Bond Market

2014 Fact Book 137




019208 12T-bond08 Book-entry 280.0000 2012-5-17 2012-5-23 2062-5-17 50.00 4.2500

019209 12T-bond09 Book-entry 1002.2000 2012-5-24 2012-5-30 2022-5-24 10.00 3.3600

019210 12T-bond10 Book-entry 943.5000 2012-6-7 2012-6-13 2019-6-7 7.00 3.1400

019211 12T-bond11 Book-entry 269.4000 2012-6-14 2012-6-20 2013-6-14 1.00 2.1500

019212 12T-bond12 Book-entry 280.0000 2012-6-28 2012-7-4 2042-6-28 30.00 4.0700

019213 12T-bond13 Book-entry 280.0000 2012-8-2 2012-8-8 2042-8-2 30.00 4.1200

019214 12T-bond14 Book-entry 560.6000 2012-8-16 2012-8-22 2017-8-16 5.00 2.9500

019215 12T-bond15 Book-entry 861.4000 2012-8-23 2012-8-29 2022-8-23 10.00 3.3900

019216 12T-bond16 Book-entry 828.2000 2012-9-6 2012-9-12 2019-9-6 7.00 3.2500

019217 12T-bond17 Book-entry 580.0000 2012-9-13 2012-9-19 2015-9-13 3.00 3.1000

019218 12T-bond18 Book-entry 280.0000 2012-9-27 2012-10-8 2032-9-27 20.00 4.1000

019219 12T-bond19 Book-entry 260.1000 2012-10-18 2012-10-24 2013-10-18 1.00 2.9400

019220 12T-bond20 Book-entry 260.0000 2012-11-15 2012-11-21 2062-11-15 50.00 4.3500

019221 12T-bond21 Book-entry 290.1000 2012-12-13 2012-12-19 2022-12-13 10.00 3.5500

019301 13T-bond01 Book-entry 480.0000 2013-1-10 2013-1-16 2018-1-10 5.00 3.1500

019302 13T-bond02 Book-entry 300.0000 2013-1-17 2013-1-23 2014-1-17 1.00 2.8100

019303 13T-bond03 Book-entry 820.0000 2013-1-24 2013-1-30 2020-1-24 7.00 3.4200

019304 13T-bond04 Book-entry 560.0000 2013-1-31 2013-2-6 2016-1-31 3.00 3.1000

019305 13T-bond05 Book-entry 787.9000 2013-2-21 2013-2-27 2023-2-21 10.00 3.5200

019306 13T-bond06 Book-entry 260.0000 2013-4-7 2013-4-10 2015-4-7 2.00 2.9200

019307 13T-bond07 Book-entry 300.0000 2013-4-11 2013-4-17 2014-4-11 1.00 2.6200

Bond Market

2014 Fact Book 138




019308 13T-bond08 Book-entry 917.2000 2013-4-18 2013-4-24 2020-4-18 7.00 3.2900

019309 13T-bond09 Book-entry 260.0000 2013-4-22 2013-4-26 2033-4-22 20.00 3.9900

019310 13T-bond10 Book-entry 200.0000 2013-5-20 2013-5-24 2063-5-20 50.00 4.2400

019311 13T-bond11 Book-entry 900.0000 2013-5-23 2013-5-29 2023-5-23 10.00 3.3800

019312 13T-bond12 Book-entry 260.0000 2013-5-27 2013-5-31 2015-5-27 2.00 2.9800

019313 13T-bond13 Book-entry 600.0000 2013-5-30 2013-6-5 2018-5-30 5.00 3.0900

019314 13T-bond14 Book-entry 260.0000 2013-7-4 2013-7-10 2014-7-4 1.00 3.4800

019315 13T-bond15 Book-entry 901.5000 2013-7-11 2013-7-17 2020-7-11 7.00 3.4600

019316 13T-bond16 Book-entry 260.0000 2013-8-12 2013-8-16 2033-8-12 20.00 4.3200

019317 13T-bond17 Book-entry 600.2000 2013-8-15 2013-8-21 2016-8-15 3.00 3.7700

019318 13T-bond18 Book-entry 878.8000 2013-8-22 2013-8-28 2023-8-22 10.00 4.0800

019319 13T-bond19 Book-entry 260.0000 2013-9-16 2013-9-23 2043-9-16 30.00 4.7600

019320 13T-bond20 Book-entry 888.9000 2013-10-17 2013-10-23 2020-10-17 7.00 4.0700

019321 13T-bond21 Book-entry 240.0000 2013-10-21 2013-10-25 2015-10-21 2.00 3.7700

019322 13T-bond22 Book-entry 282.5000 2013-10-31 2013-11-6 2014-10-31 1.00 4.0100

019323 13T-bond23 Book-entry 572.1000 2013-11-7 2013-11-13 2018-11-7 5.00 4.1300

019324 13T-bond24 Book-entry 200.0000 2013-11-18 2013-11-22 2063-11-18 50.00 5.3100

019325 13T-bond25 Book-entry 240.0000 2013-12-9 2013-12-13 2043-12-9 30.00 5.0500

019714 07T-bond14 Book-entry 326.9000 2007-8-23 2007-8-31 2014-8-23 7.00 3.9000

019718 07T-bond18 Book-entry 324.7000 2007-11-26 2007-12-5 2014-11-26 7.00 4.3500

019801 08T-bond01 Book-entry 289.7000 2008-2-13 2008-2-21 2015-2-13 7.00 3.9500

Bond Market

2014 Fact Book 139




019802 08T-bond02 Book-entry 280.0000 2008-2-28 2008-3-6 2023-2-28 15.00 4.1600

019803 08T-bond03 Book-entry 279.4000 2008-3-20 2008-3-28 2018-3-20 10.00 4.0700

019805 08T-bond05 Book-entry 280.0000 2008-4-21 2008-4-28 2013-4-21 5.00 3.6900

019806 08T-bond06 Book-entry 280.0000 2008-5-8 2008-5-16 2038-5-8 30.00 4.5000

019807 08T-bond07 Book-entry 271.5000 2008-5-19 2008-5-26 2015-5-19 7.00 4.0100

019810 08T-bond10 Book-entry 266.5000 2008-6-23 2008-7-1 2018-6-23 10.00 4.4100

019813 08T-bond13 Book-entry 240.0000 2008-8-11 2008-8-18 2028-8-11 20.00 4.9400

019814 08T-bond14 Book-entry 266.0000 2008-8-18 2008-8-25 2015-8-18 7.00 4.2300

019817 08T-bond17 Book-entry 260.0000 2008-9-16 2008-9-22 2013-9-16 5.00 3.6900

019818 08T-bond18 Book-entry 243.6000 2008-9-22 2008-9-26 2018-9-22 10.00 3.6800

019820 08T-bond20 Book-entry 240.0000 2008-10-23 2008-10-31 2038-10-23 30.00 3.9100

019822 08T-bond22 Book-entry 225.0000 2008-11-24 2008-11-28 2015-11-24 7.00 2.7100

019823 08T-bond23 Book-entry 240.0000 2008-11-27 2008-12-4 2023-11-27 15.00 3.6200

019825 08T-bond25 Book-entry 253.7000 2008-12-15 2008-12-19 2018-12-15 10.00 2.9000

019826 08T-bond26 Book-entry 260.0000 2008-12-18 2008-12-24 2013-12-18 5.00 1.7700

019901 09T-bond01 Book-entry 269.3000 2009-2-12 2009-2-18 2016-2-12 7.00 2.7600

019902 09T-bond02 Book-entry 220.0000 2009-2-19 2009-2-25 2029-2-19 20.00 3.8600

019903 09T-bond03 Book-entry 260.0000 2009-3-12 2009-3-18 2019-3-12 10.00 3.0500

019904 09T-bond04 Book-entry 564.3000 2009-4-2 2009-4-9 2014-4-2 5.00 2.2900

019905 09T-bond05 Book-entry 220.0000 2009-4-9 2009-4-16 2039-4-9 30.00 4.0200

019906 09T-bond06 Book-entry 252.1000 2009-4-16 2009-4-22 2016-4-16 7.00 2.8200

Bond Market

2014 Fact Book 140




019907 09T-bond07 Book-entry 277.6000 2009-5-7 2009-5-13 2019-5-7 10.00 3.0200

019910 09T-bond10 Book-entry 295.0000 2009-6-4 2009-6-10 2014-6-4 5.00 2.2600

019911 09T-bond11 Book-entry 280.0000 2009-6-11 2009-6-17 2024-6-11 15.00 3.6900

019912 09T-bond12 Book-entry 282.7000 2009-6-18 2009-6-24 2019-6-18 10.00 3.0900

019913 09T-bond13 Book-entry 280.0000 2009-6-25 2009-7-1 2016-6-25 7.00 2.8200

019916 09T-bond16 Book-entry 283.0000 2009-7-23 2009-7-29 2019-7-23 10.00 3.4800

019917 09T-bond17 Book-entry 260.0000 2009-7-30 2009-8-5 2016-7-30 7.00 3.1500

019918 09T-bond18 Book-entry 275.8000 2009-8-6 2009-8-12 2014-8-6 5.00 2.9700

019919 09T-bond19 Book-entry 267.3000 2009-8-20 2009-8-26 2016-8-20 7.00 3.1700

019920 09T-bond20 Book-entry 260.0000 2009-8-27 2009-9-2 2029-8-27 20.00 4.0000

019923 09T-bond23 Book-entry 266.4000 2009-9-17 2009-9-23 2019-9-17 10.00 3.4400

019924 09T-bond24 Book-entry 268.0000 2009-9-24 2009-9-30 2014-9-24 5.00 2.9000

019925 09T-bond25 Book-entry 240.0000 2009-10-15 2009-10-21 2039-10-15 30.00 4.1800

019926 09T-bond26 Book-entry 274.9000 2009-10-22 2009-10-28 2016-10-22 7.00 3.4000

019927 09T-bond27 Book-entry 272.4000 2009-11-5 2009-11-11 2019-11-5 10.00 3.6800

019930 09T-bond30 Book-entry 200.0000 2009-11-30 2009-12-11 2059-11-30 50.00 4.3000

019931 09T-bond31 Book-entry 273.9000 2009-12-3 2009-12-9 2014-12-3 5.00 2.9000

019932 09T-bond32 Book-entry 271.2000 2009-12-17 2009-12-23 2016-12-17 7.00 3.2200

02005112Discounted Bond01

Book-entry 150.0000 2012-4-16 2012-4-20 2013-1-14 .75 0.0000


Book-entry 150.0000 2012-5-7 2012-5-11 2013-2-4 .75 0.0000


Book-entry 150.0000 2012-6-18 2012-6-25 2013-3-18 .75 0.0000

Bond Market

2014 Fact Book 141





Book-entry 150.0000 2012-7-16 2012-7-20 2013-1-14 .50 0.0000


Book-entry 150.0000 2012-7-30 2012-8-3 2013-1-28 .50 0.0000


Book-entry 150.0000 2012-8-6 2012-8-10 2013-2-4 .50 0.0000


Book-entry 150.0000 2012-10-22 2012-10-26 2013-1-21 .25 0.0000


Book-entry 150.0000 2012-11-5 2012-11-9 2013-2-4 .25 0.0000


Book-entry 150.0000 2013-4-15 2013-4-19 2014-1-13 .75 0.0000


Book-entry 150.0000 2013-4-22 2013-4-26 2014-1-20 .75 0.0000


Book-entry 150.0000 2013-5-13 2013-5-17 2014-2-10 .75 0.0000


Book-entry 95.3000 2013-6-17 2013-6-21 2014-3-17 .75 0.0000


Book-entry 150.0000 2013-8-19 2013-8-23 2014-2-17 .50 0.0000


Book-entry 150.0000 2013-9-9 2013-9-13 2014-3-10 .50 0.0000


Book-entry 150.0000 2013-10-14 2013-10-18 2014-1-13 .25 0.0000


Book-entry 150.0000 2013-12-16 2013-12-20 2014-3-17 .25 0.0000

130050 10Local Bond01 286.0000 2010-6-21 2010-6-28 2013-6-21 3.00 2.7700

130051 10Local Bond02 152.0000 2010-6-21 2010-6-28 2015-6-21 5.00 2.9000

130052 10Local Bond03 232.0000 2010-7-19 2010-7-23 2013-7-19 3.00 2.3300

130053 10Local Bond04 284.0000 2010-8-10 2010-8-16 2013-8-10 3.00 2.3700

130054 10Local Bond05 186.0000 2010-8-10 2010-8-16 2015-8-10 5.00 2.6700

130055 10Local Bond06 195.0000 2010-8-24 2010-8-30 2013-8-24 3.00 2.3700

130056 10Local Bond07 206.0000 2010-9-7 2010-9-13 2013-9-7 3.00 2.3600

130057 10Local Bond08 152.0000 2010-9-7 2010-9-13 2015-9-7 5.00 2.6700

Bond Market

2014 Fact Book 142




130058 10Local Bond09 181.0000 2010-11-15 2010-11-19 2013-11-15 3.00 3.2300

130059 10Local Bond10 126.0000 2010-11-15 2010-11-19 2015-11-15 5.00 3.7000

130060 11Local Bond01 254.0000 2011-7-12 2011-7-18 2016-7-12 5.00 3.8400

130061 11Local Bond02 239.4000 2011-7-12 2011-7-18 2014-7-12 3.00 3.9300

130062 11Local Bond03 226.6000 2011-8-2 2011-8-8 2014-8-2 3.00 4.0700

130063 11Local Bond04 220.0000 2011-8-9 2011-8-15 2016-8-9 5.00 4.1200

130064 11Local Bond05 236.0000 2011-8-23 2011-8-29 2014-8-23 3.00 4.0100

130065 11Local Bond06 240.0000 2011-8-30 2011-9-5 2016-8-30 5.00 4.3000

130066 11Local Bond07 176.0000 2011-10-18 2011-10-24 2014-10-18 3.00 3.6700

130067 11Local Bond08 179.0000 2011-10-25 2011-10-31 2016-10-25 5.00 3.7000

130068 11Shanghai01 36.0000 2011-11-16 2011-11-22 2014-11-16 3.00 3.1000

130069 11Shanghai02 35.0000 2011-11-16 2011-11-22 2016-11-16 5.00 3.3000

130070 11Guangdong01 34.5000 2011-11-21 2011-11-25 2014-11-21 3.00 3.0800

130071 11Guangdong02 34.5000 2011-11-21 2011-11-25 2016-11-21 5.00 3.2900

130072 11Zhejiang01 33.0000 2011-11-22 2011-11-28 2014-11-22 3.00 3.0100

130073 11Zhejiang02 34.0000 2011-11-22 2011-11-28 2016-11-22 5.00 3.2400

130074 11Shenzhen01 11.0000 2011-11-28 2011-12-2 2014-11-28 3.00 3.0300

130075 11Shenzhen02 11.0000 2011-11-28 2011-12-2 2016-11-28 5.00 3.2500

130076 12Local Bond01 Book-entry 206.0000 2012-6-18 2012-6-21 2015-6-18 3.00 2.7600



Bond Market

2014 Fact Book 143









130084 12Shanghai01 Book-entry 44.5000 2012-8-24 2012-8-30 2017-8-24 5.00 3.2500


130086 12Guangdong01 Book-entry 43.0000 2012-9-7 2012-9-13 2017-9-7 5.00 3.2100




130090 12Zhejiang01 Book-entry 43.5000 2012-9-24 2012-9-28 2017-9-24 5.00 3.3000


130092 12Shenzhen01 Book-entry 13.5000 2012-10-15 2012-10-19 2017-10-15 5.00 3.2200








Bond Market

2014 Fact Book 144






130102 13Shandong01 Book-entry 56.0000 2013-8-26 2013-8-30 2018-8-26 5.00 3.9400

130103 13Shandong02 Book-entry 56.0000 2013-8-26 2013-8-30 2020-8-26 7.00 4.0000







130110 13Jiangsu01 Book-entry 76.5000 2013-10-11 2013-10-16 2018-10-11 5.00 3.8800

130111 13Jiangsu02 Book-entry 76.5000 2013-10-11 2013-10-16 2020-10-11 7.00 4.0000







Bond Market

2014 Fact Book 145

Summary of Corporate Bonds in 2013(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 Convertible Bond 27.60 2013-8-20 103.81 106.55 109.10 103.81 819350.52

110007 Bohui Convertible Bond 9.75 2014-9-23 99.59 102.76 110.96 99.52 220762.40

110009 Shuangliang Convertible Bond 7.20 2015-5-4 0.00 95.22 0.00 0.00 0.00

110011 Gehua Convertible Bond 16.00 2016-11-25 92.79 95.50 104.16 92.65 308536.79

110012Ningbo Marine Convertible Bond

7.20 2016-1-7 99.70 105.14 111.32 99.00 114408.91

110013 SDIC Power Convertible Bond 34.00 2017-1-25 123.70 128.50 144.31 106.15 974762.81

110015 Sinopec Convertible Bond 230.00 2017-2-23 103.88 96.04 115.60 95.51 8331769.84

110016Sichuan Investment Convertible Bond

21.00 2017-3-21 109.32 126.12 135.50 108.52 624730.02

110017China Shipping Development Convertible Bond

39.50 2017-8-1 88.85 91.47 98.85 88.85 350041.84

110018China GD Power Convertible Bond

55.00 2017-8-19 115.79 103.45 127.89 102.68 1691173.10

110019 Hengfeng Convertible Bond 4.50 2017-3-23 109.13 99.42 119.40 98.90 67121.65

110020 Nanshan Convertible Bond 60.00 2018-10-16 107.08 91.72 121.89 91.40 1879527.55

110022 Tongren Convertible Bond 12.05 2017-12-4 116.97 124.98 148.65 114.12 532746.57

110023 Minsheng Convertible Bond 200.00 2019-3-15 105.50 96.91 117.55 94.85 6775406.16

110024 Tunnel Convertible Bond 26.00 2019-9-13 103.00 97.90 106.38 97.00 468017.70

113001 BOC Convertible Bond 400.00 2016-6-2 96.98 96.98 105.80 96.35 10062303.41

113002 ICBC Convertible Bond 250.00 2016-8-31 111.00 101.65 121.77 101.00 7487367.48

113003Heavy Industry Convertible Bond

80.50 2018-6-4 106.30 116.76 146.49 104.19 5523186.59

113005 Ping An Convertible Bond 260.00 2019-11-22 104.10 107.32 107.95 101.51 1700006.05

Bond Market

2014 Fact Book 146


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


113006Shenzhen Gas Convertible Bond

16.00 2019-12-13 98.12 99.08 99.89 98.12 8461.09

120102 01 Three Gorges Bond 30.00 2016-11-8 101.40 97.90 101.80 93.00 1288.66


120203 02 China Mobile (15) 50.00 2017-10-27 96.75 93.50 102.00 88.49 808.15

120204 02 Jiangsu Communication 15.00 2017-12-11 99.98 92.50 104.00 86.88 678.94

120301 03 Shanghai Rail 40.00 2018-2-19 97.00 95.23 99.05 90.00 2867.78

120302 03 Suzhou Industrial Park 10.00 2013-7-17 100.10 100.01 100.20 91.00 8423.29


120304 03 Power (1) 30.00 2013-12-31 100.15 99.93 112.00 90.11 1239.21

120305 03 Power (2) 20.00 2013-12-31 100.30 99.95 100.76 97.00 20413.80

120306 03 China Power Investment 30.00 2018-12-7 97.80 96.10 110.00 95.00 437.21

120307 03 Pudong Development 15.00 2013-1-12 100.00 100.00 100.10 99.53 88.55

120308 03 Huhangyong 10.00 2013-1-24 99.97 101.09 101.11 99.94 212.14


120310 03 China Netcom (1) 40.00 2013-12-4 100.07 99.90 100.50 99.00 1493.18

120311 03 China Netcom (2) 10.00 2013-12-4 100.29 99.96 100.60 98.41 12803.44

120482 04 China General 10.00 2014-3-30 99.60 99.69 100.51 98.60 296.42

120483 04 China Petroleum 35.00 2014-2-24 100.09 99.78 101.11 94.00 3382.82

120485 04 GD Power (1) 24.44 2014-9-21 100.06 100.20 101.60 100.00 498.46

120486 04 GD Power (2) 15.56 2019-9-21 101.05 100.88 105.00 100.04 52.41

120488 Beijing Metro 20.00 2014-12-14 100.00 99.11 106.04 96.15 2626.32

120489 04 South China Grid (1) 10.00 2014-9-16 101.00 99.10 101.45 98.01 10947.49

Bond Market

2014 Fact Book 147


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120490 04 South China Grid (2) 20.00 2019-9-16 104.00 102.00 104.28 98.30 35385.63

120501 05 Shenergy 10.00 2015-2-1 101.98 100.50 110.18 90.56 1066.36


120503 05 Chongqing Waterworks 17.00 2015-4-25 101.50 99.99 101.55 89.00 3287.83

120505 05 Huadian 20.00 2015-6-29 98.01 98.00 102.04 91.10 211.03

120506 05 Datang 30.00 2020-4-28 0.00 108.00 0.00 0.00 0.00

120508 05 Railway 50.00 2020-7-28 97.00 92.00 110.00 90.00 226.90

120509 05 State Grid (1) 30.00 2015-7-7 100.40 99.50 103.00 90.01 295.60

120510 05 State Grid (2) 10.00 2015-7-7 100.00 98.50 101.90 89.12 998.36

120511 05 Shanghai Construction (1) 20.00 2015-7-26 101.10 101.00 101.10 101.00 1020.10

120512 05 Shanghai Construction (2) 10.00 2020-7-26 99.80 99.00 111.00 92.00 823.57


120519 05 Huaneng 20.00 2015-7-4 103.00 104.00 104.00 100.00 7.30

12052005 Hang zhou Mun i c i p a l Construction

10.00 2015-6-19 100.00 98.00 108.00 88.76 221.62

120521 05 Air China 30.00 2015-9-6 100.21 97.24 105.17 97.24 194.36

120522 05 Tietong 10.00 2015-8-17 0.00 100.00 0.00 0.00 0.00

120523 05 Fujian Expressway 20.00 2015-6-9 101.50 100.00 101.50 100.00 56.88

120525 05 China Nuclear (1) 10.00 2015-7-21 91.38 101.00 101.47 91.37 59.44

120527 05 Wuhan Urban Investment 10.00 2020-12-25 95.00 95.88 107.00 88.20 69.92

120529 05 Ningxia Coal 10.00 2020-9-15 100.00 98.00 110.00 86.59 2.05

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 91.99 84.51 103.00 80.39 195.60

Bond Market

2014 Fact Book 148


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120603 06 China Aerospace 20.00 2021-4-17 95.93 90.13 98.74 83.81 488.58

120604 06 State Grid (1) 10.00 2016-5-28 97.67 95.00 116.00 90.04 476.69


120606 06 Zhangjiang 6.00 2013-5-18 99.68 100.49 100.49 90.51 240.59

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 90.20 85.01 123.80 85.00 32.92

120609 06 Jiangxi Investment 8.00 2021-9-10 99.95 91.99 110.00 88.88 54.30

12061006 Hefei Municipal Construction Investment

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 91.52 94.39 107.00 90.00 52.31

120702 07 World Expo (2) 20.00 2022-2-14 94.83 94.95 97.00 83.83 103.14

122000 07 Yangtze Power 40.00 2017-9-24 102.30 99.49 102.50 92.12 55866.60

12200107 Offshore China National Petroleum Engineering

12.00 2017-11-9 106.99 98.99 113.00 98.01 2092.96

122003 07 Huaneng G2 17.00 2014-12-25 101.50 99.80 112.20 92.55 33396.17

122004 07 Huaneng G3 33.00 2017-12-25 103.00 97.32 108.00 91.18 23649.35

122005 08 Vanadium and Titanium 13.00 2013-2-28 100.28 100.00 100.70 99.99 55881.51

122006 08 Gemdale 12.00 2016-3-10 101.02 98.40 112.60 90.64 45204.82

122007 08 Laiwu Steel 20.00 2018-3-25 102.01 96.80 105.49 93.04 145073.33

122008 08 Huaneng G1 40.00 2018-5-8 92.00 97.09 108.55 92.00 8199.04

122009 08 Xinhu 14.00 2016-7-2 106.50 101.69 109.00 101.22 388245.46

122011 08 Kingfa 10.00 2013-7-24 101.80 100.03 102.07 99.14 112436.96

122012 08 Poly 43.00 2013-7-11 100.71 100.01 111.00 99.60 186464.91

122013 08 North Star 17.00 2013-7-18 101.68 100.01 101.98 99.70 178967.52

Bond Market

2014 Fact Book 149


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122014 09 Yuyuan 5.00 2014-7-17 101.65 99.09 104.00 98.80 45928.29

122015 09 Yangtze Power 35.00 2019-7-30 95.50 94.40 108.67 88.88 423.96

122016 09 China National Materials 25.00 2016-7-29 101.00 99.99 103.99 99.34 17446.76

122017 09 Datang 30.00 2019-8-17 96.66 96.90 113.00 88.88 1808.02

12201809 China Communications Construction G1

21.00 2014-8-21 100.30 99.00 100.80 97.40 50957.77

122019 09 China Communications G2 79.00 2019-8-21 100.99 99.00 101.00 94.02 2328.14

122020 09 Forte Land 19.00 2014-9-22 103.21 100.20 104.98 99.30 296603.92

122021 09 Guanghui 10.00 2016-8-26 102.38 98.38 106.50 95.68 183901.31

122022 09 Chengtou 20.00 2014-9-11 100.00 99.90 101.00 98.00 47349.65

122023 09 Wanye 10.00 2014-9-17 103.10 99.99 104.90 98.50 172451.30

122024 09 Guoyang 14.00 2014-9-15 100.70 100.20 101.50 98.20 54042.36

122025 09 Beijing Capital Land 10.00 2014-9-24 102.38 99.60 103.10 90.03 71858.19

122026 09 Foton 10.00 2014-9-23 101.00 100.30 109.00 94.20 49841.53

122027 09 Beijing Urban Construction 9.00 2016-9-28 102.80 99.50 103.01 99.00 30728.71

122028 09 Huafa 18.00 2017-10-16 103.00 100.00 105.55 94.81 96067.00

122029 09 Vantone 10.00 2014-10-14 103.50 100.28 104.25 98.01 134600.87

12203009 Beijing Hualian Hypermarket

7.00 2015-11-2 99.87 98.50 112.00 98.00 44031.66

122032 09 Tunnel 14.00 2016-10-21 100.30 99.29 103.85 95.00 122923.41

122033 09 Fl Properties 55.00 2014-10-23 103.55 101.14 104.26 100.00 805633.13

122034 09 China Enterprise 12.00 2014-10-27 101.78 100.40 104.50 99.60 54808.28

122035 09 Suzhou Hi-Tech 10.00 2014-11-9 102.50 100.50 103.00 99.30 97211.88

122036 09 Shanghai Zhangjiang 20.00 2014-12-9 100.00 99.50 102.70 99.26 231546.63

Bond Market

2014 Fact Book 150


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122037 09 Sanyou 9.60 2017-11-26 101.00 99.40 104.72 97.90 100476.52

122038 09 Nanjing Xingang High-tech 10.00 2014-12-8 100.88 99.10 101.80 98.20 71515.05

122039 09 Anhui Expressway 20.00 2014-12-17 0.00 104.55 0.00 0.00 0.00

122040 09 New Huang Pu 10.00 2014-12-16 100.65 99.37 102.00 98.88 75691.45

122041 09 Zhaojin 15.00 2016-12-23 100.00 100.00 100.00 100.00 2465.00

122043 09 Zijiang 10.00 2017-12-28 100.80 99.20 105.00 98.32 135272.85

122044 10 Lianyungang 6.50 2015-1-25 101.00 99.30 101.80 99.00 48576.05

122045 10 Chinese Railway G1 10.00 2015-1-27 99.60 99.00 109.00 98.07 28927.89


122047 10 Capital Airport 01 19.00 2015-2-3 99.20 98.00 102.50 95.00 40906.31

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 2018-3-2 100.00 99.10 102.70 99.00 104676.20

122050 10 Shanshan 6.00 2017-3-26 100.00 99.00 103.89 97.50 71825.98

122051 10 Sinopec 01 110.00 2015-5-21 98.50 96.60 99.44 96.09 353423.59

122052 10 Sinopec 02 90.00 2020-5-21 95.00 91.79 98.80 91.79 1013.52

122053 10 Taihao 5.00 2015-9-27 100.50 98.30 102.00 91.00 76088.17



122056 10 Longyuan 01 20.00 2015-12-10 0.00 101.23 0.00 0.00 0.00

122057 10 Longyuan 02 20.00 2020-12-10 0.00 100.00 0.00 0.00 0.00

122058 10 Yuyuan 5.00 2015-12-22 101.36 98.30 105.00 96.77 45262.20

122059 10 Chongqing Iron & Steel 20.00 2017-12-9 99.90 92.80 102.00 87.49 92426.53

Bond Market

2014 Fact Book 151


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122060 10 Yinge 7.50 2017-12-22 99.51 93.32 102.85 91.21 127501.55

122061 11 Western Mining 01 20.00 2016-1-17 100.05 100.05 100.05 100.05 54.03

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 2016-3-30 100.10 99.43 104.00 95.00 875980.88

122066 11 Datang 01 30.00 2021-4-20 99.00 100.96 108.99 90.65 1362.84

122067 11 Nanjing Iron & Steel 40.00 2018-5-6 98.60 90.00 110.50 87.51 329402.67

122068 11 Conch Cement 01 70.00 2016-5-23 96.61 97.93 102.10 94.67 308896.03

122069 11 Conch Cement 02 25.00 2018-5-23 100.80 100.28 103.00 95.00 38037.72

122070 11 Hainan Airlines 01 35.60 2016-5-24 98.00 96.00 109.10 90.98 265041.69

122071 11 Hainan Airlines 02 14.40 2021-5-24 95.52 92.84 100.58 91.45 101036.11

122072 11 Dalian Port 23.50 2021-5-23 99.29 98.03 110.00 93.01 817.84

122073 11 Yunwei Bond 10.00 2018-6-1 98.00 83.50 100.20 82.00 259460.24

122074 11 Silan Microelectronics 6.00 2016-6-9 100.00 98.89 100.52 90.97 97923.93

122075 11 Liuzhou Iron & Steel Bond 20.00 2019-6-1 100.00 98.00 101.20 91.03 63121.93

122076 11 Conba 6.00 2016-6-8 101.70 99.47 109.00 94.00 68983.28

122077 11 Western Steel Bond 10.00 2019-6-15 100.00 99.00 102.00 93.56 70375.61

122078 11 Dongyangguang 9.00 2016-6-15 100.39 98.99 101.00 98.01 126473.54

12207911 Shanghai International Port 02

30.00 2016-7-6 100.97 99.10 102.20 98.82 304031.59

122080 11 Kangmei Pharmaceutical 25.00 2018-6-21 100.50 97.98 103.70 95.00 208160.27

122081 11 Star Lake 6.40 2017-7-7 99.00 100.15 101.17 97.00 32909.31

Bond Market

2014 Fact Book 152


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122082 11 Nanhai Development 6.50 2016-7-7 101.00 100.50 101.00 96.00 30393.81

122083 11 Tianwei 16.00 2018-7-11 99.99 82.78 102.00 82.50 46538.57

122084 11 Xiangtan Electric 9.50 2016-7-15 98.01 96.00 100.65 93.00 859.70

122085 11 Shenzhen Expressway 15.00 2016-7-27 102.50 99.88 103.70 99.60 93098.50

122086 11 Zhejiang Chint Electrics 15.00 2016-7-20 110.00 99.50 111.50 99.40 159132.96

122087 11 Lingyuan Iron & Steel 14.80 2019-8-1 101.00 94.90 103.20 85.27 25912.22

122088 11 Zongyi 7.00 2016-8-31 100.61 92.34 103.93 91.25 194387.60

122089 11 Maanshan Steel 01 31.60 2014-8-25 101.29 99.19 102.50 99.10 192488.43

122090 11 Maanshan Steel 02 23.40 2016-8-25 102.80 102.80 102.80 102.80 643758.83

12209111 Chongqing Mach iner y Electric

10.00 2016-8-17 103.00 103.49 106.00 102.50 31701.68

122092 11 Daqin Railway 01 40.00 2013-8-18 100.46 100.00 102.76 99.50 426371.61

122093 11 Zhongfu Industry 15.00 2019-8-29 100.06 89.00 104.98 88.98 340873.05

122094 11 Hisun Pharmaceutical 8.00 2016-8-25 103.15 103.00 108.00 92.00 39967.82

122095 11 Hangzhou Iron&Steel 14.00 2014-8-24 101.70 99.59 101.90 99.00 209706.53

122096 11 Joincare 10.00 2018-10-28 104.50 100.50 107.00 98.00 63017.45

122097 11 Pudong Road & Bridge 7.00 2016-10-24 103.80 100.79 105.00 99.00 60171.38

122098 11 Bayi Iron & Steel 12.00 2014-9-16 103.00 101.00 106.00 99.00 29883.69

122099 11 Dalian Port 02 26.50 2018-9-26 0.00 100.00 0.00 0.00 34452.00

122100 11 Huayi Electric Bond 7.00 2016-11-9 102.00 99.00 105.35 92.65 172765.47

122102 11 Guanghui 01 20.00 2017-11-3 102.75 100.00 105.62 95.00 326556.78

122103 11 AVIC Heavy Machinery 01 9.97 2017-2-8 101.85 98.50 102.50 98.50 107364.58

122105 11Anyang Iron & Steel 02 8.00 2019-2-14 100.60 82.06 102.50 80.77 175718.83

Bond Market

2014 Fact Book 153


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12210611 Datang Renewable Power 01

42.00 2016-11-8 101.45 98.13 103.24 96.00 255422.69

122107 11 Anyang Iron & Steel 01 10.00 2018-11-11 98.00 83.30 103.80 80.55 208594.03

122108 11 Suntien Green Energy 01 10.00 2017-11-18 100.75 99.20 101.70 98.50 106250.11

122109 11 Suntien Green Energy 02 10.00 2018-11-18 100.00 100.00 100.10 100.00 16994.00

122110 11 Joinworld 13.70 2018-11-17 102.00 98.00 105.00 97.05 82825.59

122111 11 Yongtai 5.00 2016-12-14 102.00 100.50 106.50 96.13 72069.53

122112 11 Shanghai VW 16.00 2018-1-6 102.40 102.90 108.00 92.10 235512.55

122113 11 Xinyu Iron and Steel 9.00 2016-12-21 101.10 90.00 103.75 86.09 123998.74

122114 11 First Heavy Industries 25.00 2016-12-20 100.15 97.99 102.25 92.00 169743.68

122115 11 Sinovel 01 26.00 2016-12-27 96.86 90.72 100.80 73.91 665569.74

122116 11 Sinovel 02 2.00 2016-12-27 97.84 86.73 100.80 82.46 19228.47

122117 11 Fujian Expressway 15.00 2017-3-8 101.80 99.49 103.20 99.00 148041.77

122118 12 Xingfa 01 3.00 2018-2-14 100.00 103.00 103.00 99.80 43502.39

122119 12 Xingfa 02 5.00 2017-2-14 103.99 100.29 106.37 90.00 65886.97

122121 11 Rizhao Port 5.00 2017-2-17 100.00 99.00 103.07 93.29 8225.31

122122 11 Jinggong Steel 7.00 2015-3-22 101.50 98.00 103.11 90.00 87027.90

122123 11 Sinochem 01 7.00 2016-3-5 100.20 97.00 101.55 93.50 18923.49

122124 11 Sinochem 02 12.00 2019-3-5 102.00 96.00 102.00 90.00 274063.12

122125 11 Meilan 8.00 2019-3-15 103.79 98.80 116.95 96.00 113969.61

122126 11 Pangda 02 22.00 2017-3-1 102.10 100.86 106.60 99.80 357584.69

122127 11 Eurasia 4.70 2019-3-21 105.80 100.58 107.20 95.03 60639.14

122128 11 Wuhan Steel 72.00 2015-3-2 100.00 98.16 100.60 88.60 29102.02

Bond Market

2014 Fact Book 154


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122129 12 Jiuquan Steel 30.00 2015-3-19 100.50 98.40 110.00 97.01 171110.85

122130 11 Hangmin 01 3.00 2015-3-22 102.40 100.00 103.50 93.36 26422.15

122131 11 Pien Tze Huang 3.00 2017-3-15 100.30 100.30 104.88 100.00 41265.16

12213212 Dr. Peng Telecom and Media

14.00 2017-3-12 103.01 100.02 108.00 97.00 276070.30

122133 11 Liuzhou Chemical Industry 5.10 2019-3-27 102.01 88.20 103.60 85.00 84162.33

122134 11 Sino-microelectronics 3.20 2019-4-10 101.40 94.10 107.46 93.52 141821.44

122135 12 Baotailong 10.00 2017-4-11 102.70 93.98 106.00 93.63 244275.61

122136 11 Fosun Pharmaceutical 15.00 2017-4-25 100.55 96.00 101.60 95.00 116689.31

122138 11 Guidong 01 6.00 2019-4-16 101.00 96.50 104.80 92.01 50222.91

122139 11 Hongcheng Waterworks 5.00 2017-5-2 100.80 96.00 102.00 94.80 33492.06

122140 12 Ningbo Port 01 10.00 2015-4-16 100.30 98.20 101.90 98.00 9495.59

122141 12 Tasly Pharmaceutical 01 4.00 2017-4-24 101.50 99.30 103.25 92.91 30298.23

12214211 Lugang Science and Technology

4.00 2017-4-23 101.10 96.30 104.99 94.18 104379.83

122143 12 Yili 01 8.00 2020-4-23 102.80 98.59 105.00 95.00 215754.51

122144 12 Luxin Bond 4.00 2017-4-25 102.70 101.40 110.00 90.00 57453.80

122145 11 Guidong 02 4.00 2019-6-20 97.00 100.00 100.00 90.10 10213.18

122146 12 Huaxin 01 10.00 2017-5-17 100.00 99.75 100.90 97.00 148687.35

122147 12 Huaxin 02 10.00 2019-5-17 100.00 96.98 100.80 96.98 111530.44

122148 11 Jilin Expressway 8.00 2019-6-21 99.00 97.38 101.98 90.50 51352.98

122149 12 Sinopec 01 130.00 2017-6-1 97.80 95.10 100.50 93.80 671320.33

122150 12 Sinopec 02 70.00 2022-6-1 98.00 93.88 106.00 90.05 264242.43

122151 12 GD Power 01 30.00 2017-6-15 97.80 95.10 100.00 93.50 185555.92

Bond Market

2014 Fact Book 155


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122152 12 GD Power 02 10.00 2019-6-15 100.00 99.00 100.10 89.90 34513.16

122153 12 Beijing Energy 01 24.00 2015-7-3 99.60 96.96 100.45 96.50 304827.03

122154 12 Beijing Energy 02 12.00 2017-7-3 90.04 96.50 100.10 90.04 179056.58

122155 12 Tianfu Thermoelectric 5.00 2017-6-6 100.50 98.98 101.80 95.00 83024.47

122156 12 Xiamen XGMA Machinery 15.00 2017-6-18 98.30 96.50 99.80 87.00 59818.07

12215712 Guangzhou Development Industry 01

23.50 2019-6-25 99.00 94.48 101.00 93.15 211916.98

122158 12 Xining Special Steel 4.30 2020-7-16 97.80 92.40 102.98 81.26 23048.86

122159 12 Yili 02 8.00 2020-7-19 99.98 91.92 100.50 90.30 135405.29

122161 12 Shentong Metro 02 4.00 2015-7-20 99.00 98.50 100.00 89.75 28773.87

122162 12 Zhongfu 10.00 2017-8-28 102.90 96.58 105.67 94.40 140990.89

122163 12 Eerduosi Resources 40.00 2017-8-30 99.70 97.49 110.00 91.00 46105.06

122164 12 Tongwei 5.00 2017-10-24 99.10 96.81 101.51 95.44 50681.93

122165 12 GD Power 03 33.00 2015-7-23 98.50 97.00 100.10 94.78 272007.22

122166 12 GD Power 04 7.00 2017-7-23 93.00 94.30 100.27 90.32 45854.57

122167 12 Yanzhou Coal 01 10.00 2017-7-23 0.00 100.00 0.00 0.00 0.00

122168 12 Yanzhou Coal 02 40.00 2022-7-23 99.99 97.00 99.99 95.00 1527.25

122169 12 Jinrui 1.50 2017-8-29 102.01 99.05 104.65 98.38 33753.55

12217012 Jiangzhong Pharmaceutical

5.00 2015-12-7 100.30 98.50 101.50 95.00 43566.22

12217112 China Shipping Development 01

10.00 2015-8-3 98.45 99.00 100.20 90.30 49674.24


15.00 2022-8-3 0.00 99.23 0.00 0.00 0.00

122173 12 China Communications 01 60.00 2017-8-9 100.90 96.01 100.90 87.20 1441.36


Bond Market

2014 Fact Book 156


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)



122176 12 Zhongchu 16.00 2019-8-13 98.30 99.00 105.00 89.66 22675.89

12217712 Guodian Technology and Environment 01

12.00 2015-8-20 99.75 99.98 99.98 99.35 14790.39


8.00 2017-8-20 99.80 95.22 100.00 95.22 17869.40


20.00 2022-8-20 0.00 100.00 0.00 0.00 19984.00

122180 12 Whirlwind 7.00 2017-8-23 101.00 98.50 101.70 96.81 53928.53

122181 12 Shanying Paper 8.00 2019-8-22 101.00 91.77 103.68 90.90 170874.35

122182 12 Jointown Pharmaceutical 16.00 2017-10-22 100.50 97.40 102.10 95.01 160641.46

122183 12 Prime Machinery 01 5.00 2017-8-31 99.95 101.20 101.20 99.95 8796.73

122184 12 First Heavy Industries 01 25.00 2017-9-3 99.60 96.00 101.70 95.00 46582.33

122185 12 Lifan 01 12.00 2015-9-19 102.30 99.30 103.88 97.80 150072.11

122186 12 Lifan 02 7.00 2017-9-19 102.50 97.25 106.97 94.99 112771.99

122187 12 Fiberglass 12.00 2019-10-17 100.40 96.29 102.74 95.00 93442.04

122188 12 Huaxin Cement 03 11.00 2019-11-9 100.00 96.00 103.00 96.00 44480.52

12218912 Wangfujing Department Store 01

11.00 2017-10-24 100.20 98.20 100.80 96.70 111997.80

12219012 Wangfujing Department Store 02

11.00 2019-10-24 99.00 95.70 102.30 94.00 23264.51

122191 12 Guiguan 01 8.00 2017-10-24 98.00 98.20 100.30 95.00 11415.59

122192 12 Guiguan 02 9.30 2022-10-24 0.00 100.00 0.00 0.00 10000.00

122193 12 Sinohydro Group 01 20.00 2019-10-29 97.42 94.14 108.00 94.00 650.45

122194 12 Sinohydro Group 02 30.00 2022-10-29 100.03 99.50 111.00 96.20 45168.18


15.00 2019-10-29 95.00 95.10 100.10 95.00 11023.42


10.00 2022-10-29 0.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 157


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122197 12 Beijing Teamsun 01 9.00 2018-3-13 101.30 97.76 101.55 88.58 101619.75

122198 12 Huaneng Renewables 02 11.40 2015-10-29 99.80 97.50 101.15 95.64 61473.23

122199 12 Huaneng Renewables 02 8.60 2017-10-29 95.25 105.00 105.00 95.25 42045.56

122200 12 Shanxi Lanhua Sci-tech 30.00 2017-11-7 100.00 96.80 101.30 95.00 121754.04

122201 12 Kailuan Energy 15.00 2019-10-30 97.00 96.99 103.00 96.73 116530.28

122202 12 Conch 01 25.00 2017-11-7 99.00 100.00 100.50 86.61 164.21

122203 12 Conch 02 35.00 2022-11-7 0.00 100.00 0.00 0.00 0.00

12220412 Shuangliang Eco-energy Systems

8.00 2017-11-12 100.00 97.00 103.00 93.00 42444.47

122205 12 Shanghai Jiao Yun 8.00 2017-11-16 100.00 98.99 105.00 95.00 46844.09

122206 12Sailun 7.20 2015-11-15 99.50 97.50 101.90 95.10 46893.89

122207 12 Camel Group 8.00 2017-12-5 100.00 99.45 102.00 98.01 72712.96

122208 12 Zhaojin Mining Industry 12.00 2017-11-16 98.10 99.80 105.00 98.01 15.30

122209 12 Petrol China 01 160.00 2017-11-22 99.10 96.80 101.50 93.02 254216.82

122210 12 Petrol China 02 20.00 2022-11-22 99.00 99.80 99.80 99.00 6478.70

122211 12 Petrol China 03 20.00 2027-11-22 0.00 100.00 0.00 0.00 9978.00

122212 12 Beijing Jangho 9.00 2017-12-7 99.70 98.00 102.32 95.00 97364.46

12221312 Qingsong Building Materials and Chemicals

22.00 2019-12-5 100.20 96.10 103.51 92.22 192464.77

122214 12 Daqin 50.00 2015-12-10 100.01 97.78 102.20 97.50 630974.93

122215 12 Young Tech 01 16.00 2017-12-20 100.50 96.44 102.20 92.10 155861.64

122216 12 Tongkun Group 13.00 2018-1-21 100.00 95.00 101.50 93.50 74338.11

122217 12 Chongqing Water 15.00 2018-1-29 100.90 100.00 106.06 88.40 2435.38

122218 12 Air China 01 50.00 2023-1-18 100.50 97.00 101.00 90.03 24239.12

Bond Market

2014 Fact Book 158


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122219 12 Rongtai Industry 7.50 2018-1-24 100.20 91.99 100.55 89.30 46323.52

122220 12 CITIC Heavy Industries 01 12.00 2018-1-25 100.00 100.00 100.20 89.32 29001.52

122221 12 CITIC Heavy Industries 02 6.00 2020-1-25 100.00 100.10 100.10 90.50 38136.23

122222 12 Young Tech 02 9.00 2018-1-31 100.10 97.25 102.00 92.34 43483.67

12222312 Shanghai Electric Wind Energy 01

4.00 2016-2-27 100.00 100.00 100.80 99.50 24655.70

12222412 Shanghai Electric Wind Energy 02

16.00 2018-2-27 99.74 100.00 100.41 90.12 52601.24

122225 12 First Tractor 01 8.00 2018-3-4 100.00 96.00 100.70 89.71 37792.13

12222612 Baosheng Science and Technology

6.00 2018-3-6 90.20 96.90 96.90 90.20 51712.39

122227 13 Jianfeng 01 3.00 2018-6-5 100.00 96.50 100.00 89.68 1868.26

122228 13 Tasly 01 4.00 2018-3-29 100.73 96.00 121.00 90.49 13633.98

122229 12 Sinopharm Group01 40.00 2018-3-13 100.00 97.00 100.75 95.00 192909.03

122230 12 Shanghai Highly 10.00 2018-2-28 101.00 96.00 101.00 96.00 42397.69

122231 12 Shanghai Electric Power 15.00 2018-3-4 100.00 99.98 101.00 96.60 69086.28

12223212 China Merchants Securities 01

30.00 2018-3-5 98.91 100.00 100.50 98.91 9873.49


15.00 2018-3-5 0.00 100.00 0.00 0.00 0.00


55.00 2023-3-5 0.00 100.00 0.00 0.00 0.00

122235 12 Wuhu Port 15.00 2018-3-20 101.20 97.00 101.30 96.80 109063.87

122236 12 Harbin Electric 01 30.00 2018-3-11 99.70 100.48 100.50 97.80 28.12

12223712 Western Resources Holding

6.00 2018-3-8 100.20 92.00 101.00 89.03 11205.74

122238 13Ningbo Port 01 10.00 2016-3-13 100.00 96.30 101.10 89.32 42959.57

122239 13 China Petroleum 01 160.00 2018-3-15 97.81 95.98 100.35 94.50 101672.88

122240 13 China Petroleum 02 40.00 2023-3-15 93.27 93.27 93.30 93.27 38100.00

Bond Market

2014 Fact Book 159


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122241 12 Eastern Airlines 01 48.00 2023-3-18 90.20 101.00 101.00 90.00 5081.08

122242 12 Guangzhou Automobile 01 10.00 2018-3-20 99.00 100.29 101.76 90.31 20010.22

122243 12 Guangzhou Automobile 02 30.00 2023-3-20 0.00 100.00 0.00 0.00 0.00

122244 12 Datang 01 30.00 2023-3-27 100.00 97.00 100.10 87.50 18.69

122245 13 Ningbo Thermal Power 3.00 2020-4-15 100.00 100.00 100.70 98.50 697.51

122247 13 Fuxin 01 10.00 2018-3-25 100.50 101.00 101.00 96.37 3968.99

122248 13 Fuxin 02 10.00 2023-3-25 100.99 101.00 101.00 100.99 201.99

12224913 Pingdingshan Tianan Coal Mining

45.00 2023-4-17 100.50 100.00 100.50 95.58 93015.70

122250 13 Hebang 01 4.00 2020-4-22 100.20 94.98 101.00 90.00 86395.05

122251 13 CSR 01 15.00 2018-4-22 100.30 100.00 100.51 90.20 159.86

122252 13 CSR 02 15.00 2023-4-22 0.00 100.00 0.00 0.00 0.00

122253 12 First Tractor 02 7.00 2018-5-30 98.80 96.80 99.00 88.85 1773.61

122254 12 Biok 01 3.00 2018-5-22 100.00 99.50 100.00 93.10 9368.79

122255 13 Ganyue Expressway 01 18.00 2023-4-19 100.00 100.00 110.00 90.26 36336.09

122256 13 Freetrade Bond 3.50 2018-5-23 100.00 95.00 100.00 90.96 9431.64

122257 12 Yueyang Paper 01 8.50 2018-5-29 98.50 93.40 99.98 93.01 18843.91

122258 13 Yunnan Coal 2.50 2020-12-3 90.83 90.83 90.83 90.83 0.91

122259 13 CITIC 01 30.00 2018-6-7 98.00 93.39 100.00 90.21 52.43

122260 13 CITIC 02 120.00 2023-6-7 0.00 100.00 0.00 0.00 0.00

122261 13 Huatai 01 40.00 2018-6-5 100.00 100.00 100.00 100.00 0.20

122262 13 Huatai 02 60.00 2023-6-5 0.00 100.00 0.00 0.00 0.00

122263 12 Yuyuan 01 5.00 2018-6-17 100.99 94.98 100.99 89.11 1782.35

Bond Market

2014 Fact Book 160


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122264 13 Beijing Jinkelong 7.50 2018-8-13 0.00 100.00 0.00 0.00 3000.00

122265 13 Sichuan Road and Bridge 15.00 2018-7-26 0.00 100.00 0.00 0.00 58276.00

122266 13 CITIC 03 50.00 2016-8-5 100.00 97.00 100.00 96.50 75608.40

122267 13 Young Tech Bond 38.00 2018-8-6 100.00 97.15 100.30 97.00 95782.16

122268 12 China Airlines 02 35.00 2018-8-16 103.00 103.99 104.30 82.00 682.01

122269 12 China Airlines 03 15.00 2023-8-16 0.00 100.00 0.00 0.00 0.00

122270 13 Essence Securities 36.00 2018-8-19 100.00 100.00 100.00 100.00 111304.10

122273 13 Shandong Gold 01 20.00 2018-9-3 98.50 98.50 98.50 98.50 28904.05

122274 11 Hangmin 02 2.50 2016-9-16 100.01 96.50 100.01 96.50 2362.55

122276 13 Weiqiao 01 30.00 2018-10-23 97.00 99.63 100.00 93.00 260952.78

122277 13 Huayu 01 12.00 2015-11-18 98.50 98.50 98.50 98.50 5512.99

122278 13 Huayu 02 28.00 2018-11-18 99.88 105.50 105.50 99.88 3995.31

122279 13 Sinotrans Bond 20.00 2016-11-8 0.00 100.00 0.00 0.00 0.00

122280 13 Haitong 01 72.60 2016-11-25 99.80 98.50 99.80 90.78 10231.66

122281 13 Haitong 02 23.50 2018-11-25 0.00 100.00 0.00 0.00 0.00

122282 13 Haitong 03 23.90 2023-11-25 0.00 100.00 0.00 0.00 0.00

122283 13 Chengtun Bond 2.00 2018-12-12 99.98 99.89 99.98 90.15 27.55

122286 13 China Securities 47.00 2016-11-22 0.00 100.00 0.00 0.00 4000.00

122288 13 Soochow Securities 30.00 2018-11-18 0.00 100.00 0.00 0.00 0.00

12250012 Chenzhou Urban Construction and Investment

16.00 2019-9-13 103.60 105.73 105.73 100.02 142882.76

12250112 Shouguang Jincai Public Assets Management

12.00 2019-10-23 102.00 97.20 104.50 92.60 98751.32

122502 12 Harbin Heli 12.00 2018-9-26 104.87 99.49 105.52 99.49 48835.23

Bond Market

2014 Fact Book 161


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122503 12 Taiyuan Longcheng 20.00 2019-9-25 103.30 99.50 103.30 91.50 87463.56

122504 12 Tongliao Tiancheng 10.00 2019-9-24 101.84 97.24 104.80 96.50 139180.72

122505 12 Shaoxing Paojiang 10.00 2019-10-31 100.00 98.50 102.54 98.50 53435.03

122506 12 Wujiaotou 12.00 2020-10-31 100.00 99.50 108.00 95.61 89409.35

122507 12 Yujiaotou 10.00 2019-10-12 101.00 96.05 103.50 94.03 80914.48

122508 12 Forestry 13.00 2019-10-23 102.00 101.01 104.00 101.01 67339.42

122509 12 Bai City Zhongxing 10.00 2019-12-18 102.05 99.90 112.80 93.78 126034.65

12251012 Jingjiang Binjiang Xincheng

8.00 2018-10-23 100.50 100.00 103.28 90.83 83314.45

122513 12 Weixing Group 5.00 2019-10-23 101.80 98.00 102.00 96.40 42864.43

122514 12 Financial Street 19.00 2019-10-22 101.50 99.00 101.80 98.80 80777.90

12251512 Daqing Urban Construction Investment

22.00 2019-10-23 101.00 98.00 103.75 95.93 190587.96

122516 12 Qingzhou 01 8.00 2019-10-19 101.24 101.29 101.29 101.24 31884.25

122517 12 Qingzhou 02 4.00 2018-10-19 102.50 102.50 102.50 102.50 2070.10

122518 12 Poly Group 15.00 2019-10-25 100.01 100.05 100.05 100.01 49993.30

12251912 Xishan Economic Development Zone

7.00 2019-11-1 102.62 102.62 102.62 102.62 19427.90

122520 12 Tangshan Investment 10.00 2019-10-16 103.33 105.00 105.00 93.36 111034.22

122521 12 Jinyang Construction 12.00 2018-10-24 102.00 98.78 102.00 98.78 44689.20

122522 12 Xinghua City Construction 12.00 2018-10-23 103.01 99.89 104.86 95.00 196610.33

122523 12 Hailiang 01 6.00 2018-10-19 101.20 96.80 102.00 94.97 44055.62

122524 12 Hailiang 02 4.00 2019-10-19 100.76 102.00 103.00 100.00 4421.50

122525 12 Jiading Industrial Zone 8.00 2018-10-10 103.03 102.20 105.00 101.70 31260.59

12252612 Yongchuan District Huitong Construction

12.00 2019-10-16 101.70 103.50 104.50 95.00 79934.81

Bond Market

2014 Fact Book 162


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12252712 Wen l ing S ta te-owned Assets Investment

14.00 2019-9-18 104.00 102.05 112.50 93.00 129925.99

12252812 Hainan Harbor and Shipping

8.50 2019-10-18 0.00 100.00 0.00 0.00 1946.00

122530 12 Qitaihe Urban Construction 10.00 2019-10-18 102.01 98.79 104.91 95.00 67328.49

12253112 Taihu International Science Park

10.00 2019-9-17 101.40 100.98 104.50 95.05 82468.81

12253212 Yichang Financial Investment

15.00 2019-10-16 102.77 98.60 102.77 98.50 82337.72

12253312 Pinghu Urban Development and Investment

9.00 2019-9-18 101.73 101.30 104.50 100.00 44189.54

12253412 Qinhuangdao Development Zone

14.00 2019-10-17 101.50 104.88 104.88 92.99 106462.57

122535 12 Jiangsu Feida 8.00 2018-8-30 103.00 100.00 103.50 100.00 26584.62

12253612 Cixi State-owned Assets Investment

8.00 2019-9-20 101.87 103.35 103.35 101.87 62587.13

12253712 Karamay Urban Construction Investment

20.00 2019-9-4 102.63 102.40 105.50 95.00 25512.66

12253812 Fuzhou Urban and Rural Construction and Development

10.00 2018-9-25 101.02 101.02 101.02 101.02 86141.60

12253912 Fuxin Urban Infrastructure Construction Investment

12.00 2019-10-10 102.74 96.67 105.84 93.34 301695.29

122540 12 Nanjing Pukou 12.00 2019-10-8 101.70 104.00 110.88 97.73 225671.96

12254112 Ningxia Shangling Industrial

5.00 2018-10-16 103.80 97.91 104.99 94.41 71402.32

12254212 Aksu Xincheng Assets Investment

10.00 2018-10-10 104.20 97.00 105.80 95.50 171091.43

12254312 Qinzhou Development Investment

9.00 2019-10-16 102.54 102.28 106.30 100.00 129702.49

12254412 Chongqing Changshou Development

8.00 2019-9-25 103.01 103.10 103.10 103.01 16488.80

122545 12 Mongolia Hi-tech 10.00 2019-9-25 100.95 98.20 106.00 98.20 70592.26

122546 12 Nanjing High-tech 9.00 2019-9-7 101.82 101.82 101.82 101.82 29986.40

12254712 Qujing Development Investment

6.50 2019-9-6 102.60 103.29 103.55 102.56 7255.04

122549 12 Pizhou Runcheng 10.00 2019-9-25 100.78 100.90 105.95 96.20 193008.03

122550 12 Jiangsu Guoxin 20.00 2017-6-8 100.00 94.89 100.00 91.40 39652.53

Bond Market

2014 Fact Book 163


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122551 12 Rudong Investment 8.00 2019-9-24 104.30 105.00 105.00 104.30 19602.05

122552 12 Xinjiang Xinye 6.60 2019-8-15 100.00 100.02 100.03 100.00 16201.26

122553 12 Shangyu Traffic 10.00 2019-9-11 102.60 97.00 110.00 92.00 60411.08

122554 12 Dinghai 10.00 2020-8-31 105.30 103.00 105.30 96.89 49982.75

12255512 Changde Economic Development Investment

12.00 2019-9-12 102.70 104.00 104.00 98.37 77295.31

12255612 Xianning Urban Construction Investment

6.00 2018-8-31 102.80 99.00 106.00 95.29 77950.25

122557 12 Zhuzhou Hi-tech 10.00 2019-9-10 102.50 105.99 106.00 102.50 95412.70

12255812 Kunming Communication 01

14.00 2017-8-17 102.00 95.00 102.50 95.00 40196.32

12255912 Kunming Communication 02

13.00 2019-8-17 103.32 105.00 105.00 103.32 27136.40

12256012 Zibo Urban Assets Operation

15.00 2019-8-22 103.00 101.00 104.30 99.00 107875.68

12256112 Shangrao Urban Construction Investment

13.00 2019-9-10 101.76 99.00 115.00 98.56 210167.71

12256212 Yichun Urban Construction Investment

8.00 2019-7-24 102.51 95.88 108.00 95.08 152827.85

12256312 Bozhou Urban Construction Investment

15.00 2019-9-4 103.25 101.00 110.00 97.00 237637.14

12256412 Jiaojiang District State-owned Assets Management

10.00 2020-9-13 103.50 104.00 113.96 98.00 171888.99

122565 12 Shaoyang Investment 12.00 2018-9-11 101.00 100.00 106.37 99.00 112419.45

122566 12 Korla City Building 12.00 2018-9-10 103.30 99.99 112.00 97.02 179300.11

12256712 Xiaoqinghe Development and Construction Investment

18.00 2019-9-5 102.80 99.70 106.00 99.00 215513.96

12256812 Suizhou Urban Investment Group

7.00 2019-8-22 102.90 97.03 105.60 95.85 138335.40

122569 12 Tianjin Ecology 12.00 2019-8-14 102.00 101.30 105.00 94.00 149992.50

122570 12 Yunnan Water 10.00 2019-8-27 0.00 100.00 0.00 0.00 6027.00

12257112 X inzhan S ta te-owned Assets Management

14.00 2019-8-31 101.20 102.60 103.30 101.20 56775.63

12257212 Chengdu Investment Holdings Group

16.00 2019-9-4 101.55 98.00 103.20 94.10 41733.19

Bond Market

2014 Fact Book 164


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12257312 Mudanjiang State-owned Assets Investment

12.00 2019-8-30 0.00 100.00 0.00 0.00 33433.00

12257412 Huaian Development Holding

12.00 2019-9-6 104.50 101.30 104.50 94.25 53614.25

12257512 Feicheng Urban Assets Management

9.00 2018-8-14 100.45 98.49 103.99 90.10 63906.15

12257612Neijiang Investment Holding

7.00 2018-7-19 102.00 102.85 102.99 93.87 47785.56

12257712 Suzhou Xiangcheng Urban Construction

18.00 2019-9-3 0.00 100.00 0.00 0.00 60727.00

122578 12 Shanghai New Changning 7.00 2019-8-16 0.00 100.00 0.00 0.00 25125.00

122579 09 Sino-ocean Land Holdings 26.00 2015-6-23 100.00 99.50 101.65 95.19 253206.54

12258112 Tianjin Jinnan Urban Construction Investment

15.00 2019-6-18 100.50 97.49 101.78 94.70 153579.33

122582 12 Xiangtan Jiuhua 9.00 2019-8-29 102.88 96.92 109.88 94.53 124456.20

122583 12 Zunyi Investment 10.00 2019-3-13 108.00 101.83 118.80 94.71 69076.43

12258412 Songyuan Urban Development

13.00 2019-8-29 103.46 96.19 103.46 93.40 103233.91

122585 12 Xinhai Lian Development 13.00 2020-8-27 0.00 100.00 0.00 0.00 73319.00

12258612 Zhongshan Communication Development

6.00 2018-8-28 100.00 102.00 103.01 100.00 5288.12

12258712 Zunyi City Road and Bridge

18.00 2020-8-17 100.70 100.00 105.00 91.00 86141.09

12258812 Yiyang Urban Construction Investment

16.00 2019-8-24 101.89 98.80 104.36 95.00 105781.47

122589 12 Bijie Xintai Investment 16.00 2019-8-20 102.20 97.65 104.28 93.16 197419.46

12259012 Hecheng Construct ion Investment

15.00 2022-6-21 102.16 95.30 103.66 86.77 112549.23

12259112 Changzhou Communications Industry

15.00 2019-8-21 103.00 102.20 104.96 101.80 141297.64

12259212 Urumqi State-owned Assets Management

14.00 2018-4-28 97.60 97.60 97.60 97.60 42879.60

12259312 Hengyang Urban Construction Investment

18.00 2019-8-13 102.50 97.95 113.20 97.00 159037.75

12259412 Quanzhou Road and Bridge 01

8.00 2018-8-7 102.50 102.39 103.00 100.00 91060.33

12259512 Quanzhou Road and Bridge 02

8.00 2019-8-7 102.00 102.00 102.00 102.00 18343.10

Bond Market

2014 Fact Book 165


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12259612 Shanghai City Development

15.00 2018-8-21 101.80 106.00 106.00 100.00 160274.24

122597 12 Baoti Group 7.00 2018-8-21 100.50 101.45 101.45 100.50 17001.40

12259812 Jingmen Urban Construction Investment

8.00 2022-7-9 100.90 97.62 115.00 91.98 50751.18

122599 12 Fanjingshan Investment 12.00 2019-8-2 102.01 99.33 111.00 96.50 114881.10

122600 12 Taizhou Xintai Group 10.00 2018-8-14 101.49 101.49 101.49 101.49 25339.90

12260112 Baishan Urban Construction Inverstment

10.00 2019-7-31 101.30 97.39 108.32 93.68 126145.68

12260212 Songjiang Urban Construction Investment

12.00 2018-8-15 102.60 101.62 102.60 101.62 95450.36

12260312 Guangzhou Economic Technology Development Zone

25.00 2022-8-14 102.00 101.00 104.00 89.50 200732.96

122604 12 Jilin Railway Investment 8.00 2019-6-26 99.60 98.01 101.00 98.01 26287.10

122605 11 Ninghai 12.00 2017-12-31 104.06 103.88 104.30 99.20 12334.37

122606 12 Shunxin 8.00 2017-7-3 98.80 98.80 98.80 98.80 75800.00

122607 12 Chongqing Real Estate 50.00 2019-4-25 102.00 100.00 107.98 99.00 871523.42

122608 12 Xiyong Bond 16.00 2019-7-25 100.00 99.50 105.96 91.68 99680.71

12260912 Yangzhou Urban Construction

12.00 2019-7-26 100.00 101.50 101.50 100.00 79768.15

12261012 Yueqing National Investment

15.00 2019-6-29 100.00 102.27 102.40 100.00 90851.43

12261112 Chengdu Economic-Tech Development Zone 01

10.00 2018-7-17 101.30 101.30 101.30 101.30 102099.20

12261212 Chengdu Economic-Tech Development Zone 02

10.00 2019-7-17 98.58 99.98 102.98 93.03 54787.12

122613 12 Wuhai 16.00 2019-3-31 105.60 101.30 116.00 98.12 166530.65

12261412 Chongqing Jinyun Asset Management

10.00 2019-6-18 102.00 106.00 106.00 102.00 90085.21

122615 12 Baise 8.00 2019-7-4 0.00 100.00 0.00 0.00 64490.33

122616 12 Guizhou Railway 20.00 2022-3-27 106.89 99.50 108.56 98.01 35156.27

12261712 Xiangyang Construction Investment

15.00 2019-1-12 0.00 100.00 0.00 0.00 3050.00

Bond Market

2014 Fact Book 166


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122618 12 Tongzhong 15.00 2022-4-11 101.00 98.99 104.00 92.38 51570.19

122619 12 Qian’an 16.00 2018-7-11 98.99 97.14 102.50 95.03 225849.74

12262012 Urumchi Urban Construction Investment

9.00 2019-7-9 99.86 97.00 102.00 93.00 80188.98

12262112 Ganzhou Urban Development Investment

20.00 2018-7-10 98.80 98.50 105.75 97.00 220450.57

12262212 Jinzhou Urban Construction Investment

13.00 2019-6-13 0.00 100.00 0.00 0.00 88597.00

122623 12 Lvshun Construction 12.00 2019-7-2 101.00 102.00 103.00 96.00 185133.20

12262412 Binzhou Municipal Bincheng District Economic Development

8.00 2019-7-5 100.00 106.00 106.00 100.00 51097.32

122625 12 Shenghua 5.00 2019-7-2 99.00 99.00 99.00 99.00 20879.10

122626 12 Haiheng 12.00 2019-6-12 99.97 102.50 102.50 99.97 15093.80

12262712 Beijing Construction Engineering Group

8.00 2019-7-5 99.00 100.00 100.00 95.01 13019.27

12262812 Dongtai Communication Investment Group

10.00 2018-7-5 101.60 100.00 105.19 94.50 138361.87

122629 12 Pingdingshan Developmen 15.00 2019-5-8 104.50 103.97 104.50 95.11 165764.87

122630 12 Huitong Investment 18.00 2019-5-28 99.00 96.21 110.00 89.74 151097.98

122631 12 Shanxi GD Power 20.00 2022-5-24 101.22 97.00 101.22 97.00 23229.93

12263212 Jiangyin Urban Construction Investment

9.00 2019-6-11 101.00 98.00 105.00 98.00 149545.59

122633 12 Jiaxing Economic 9.00 2019-6-14 100.00 100.90 102.00 100.00 57935.77

12263412 Wuhu Economic and Tech Development Area 01

7.00 2018-6-8 99.40 103.10 103.10 99.40 59988.37

12263512 Wuhu Economic and Tech Development Area 02

10.00 2022-6-8 101.00 100.86 102.60 99.70 61944.42

122636 12 Lianyun Development 9.00 2019-6-19 101.50 101.50 101.50 101.50 14071.00

122637 12 Xincheng 12.00 2019-4-23 102.80 101.95 106.30 93.35 45781.09

122638 12 Xinyang Huaxin 10.00 2019-6-14 100.50 102.00 103.00 96.50 82442.16

122639 12 Shaoxing Chengbei 10.00 2018-6-11 99.00 98.36 108.00 97.00 41670.45

Bond Market

2014 Fact Book 167


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122640 12 Yizheng 8.00 2019-6-14 102.50 98.39 106.20 95.00 15006.58

122641 12 Wujin 14.00 2018-6-8 99.99 98.10 106.00 90.49 92463.80

122642 12 Chaoyang 16.00 2019-5-25 101.72 100.00 103.30 99.75 242761.05

122643 12 HNA Capital 15.00 2019-5-22 104.47 97.52 108.82 96.78 243503.11

122644 12 Tieling 12.00 2018-5-29 103.63 99.50 104.75 99.50 173939.31


12264812 Xuancheng State-owned Assets Investment

10.00 2019-3-20 106.00 100.39 118.80 98.01 96992.49

12264912 Changsha Xingcheng Construction Investment

15.00 2019-4-6 106.45 101.98 117.80 100.50 221283.99

122650 12 Taineng Gas Group 5.00 2018-4-25 0.00 103.00 0.00 0.00 56863.50

12265112 Guang'an Investment Holding

8.00 2019-4-25 103.44 100.93 109.00 100.00 31086.19

12265212 Yangling Modern Agriculture

15.00 2019-5-23 102.51 100.00 108.20 98.00 195266.81

122654 12 Kunming Iron and Steel 20.00 2020-4-26 100.50 100.90 100.90 100.50 63639.75

122655 12 Tongling City Construction 15.00 2022-4-28 105.70 108.80 115.00 100.28 132174.20

122658 12 Panjin Construction 15.00 2019-5-17 102.80 100.00 105.70 100.00 222702.87

12265912 China National Petroleum 06

100.00 2022-4-12 97.00 95.60 100.00 93.50 16576.13


100.00 2022-4-12 100.20 94.13 100.20 88.76 114453.55

122661 12 Huaihua Bond 10.00 2018-3-22 103.26 99.85 107.85 99.23 39676.16

122662 12 Hefei Taohua 8.00 2019-3-27 108.00 100.72 121.00 100.16 54673.90

12266312 Science and Technology City Development

15.00 2019-5-15 101.00 98.50 112.00 91.00 104156.19

122664 12 Huludao 20.00 2019-3-1 106.01 107.77 110.04 104.00 99559.61

12266512 Zhenjiang Transport Investment

18.00 2019-5-8 100.50 102.54 104.63 100.50 97654.89

122666 12 State Grid 01 50.00 2022-4-17 0.00 100.00 0.00 0.00 4644.00

Bond Market

2014 Fact Book 168


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122667 12 State Grid 02 100.00 2027-4-17 100.80 100.80 100.80 100.80 15791.40

12266812 Liangshan State-owned Investment

5.00 2019-4-23 104.30 107.00 107.00 104.30 52697.26

122669 12 Guilin Bond 10.00 2018-5-9 100.40 98.00 113.00 93.80 84265.08

122670 12 Xinsheng Bond 15.00 2018-5-8 105.60 100.50 106.20 91.10 152804.46

122671 12 Yangtze River 5.00 2019-5-21 104.00 104.00 104.00 104.00 8847.01

122672 12 Xining Urban Investment 13.00 2019-4-27 103.70 99.70 106.60 97.10 87715.03

122673 12 Chongqing Fuling Lidu 8.00 2019-3-23 0.00 100.00 0.00 0.00 0.00

122674 12 Chongqing Qianjiang 9.00 2019-3-23 0.00 100.00 0.00 0.00 0.00

12267512 Hangzhou Urban Construction

16.00 2018-4-25 100.90 97.70 103.50 94.07 71626.49

12267612 Binjiang Urban Construction

12.00 2019-4-27 0.00 102.10 0.00 0.00 56636.00

122677 12 Jiangning Science Park 12.00 2019-4-28 102.00 99.50 104.50 99.50 93222.41

12267812 Yangzhou Chemical Industry

10.00 2019-4-25 103.00 100.98 108.50 94.82 193789.91

12267912 Bayannaoer Loop Water Affairs

10.00 2022-3-31 108.68 100.52 111.99 98.88 122160.58

12268012 Kunming Urban Construction

22.00 2018-4-13 104.50 100.50 106.40 94.14 233930.13

12268112 Hechuan Count r ys ide Agriculture Investment

15.00 2018-4-10 104.00 102.90 109.00 98.85 256919.94

122682 12 Yingkou 20.00 2020-4-18 103.60 99.43 111.24 96.01 161357.09

122683 12 Evergreen Industries 5.40 2018-4-24 100.57 94.67 105.20 90.98 157064.40

122684 12 Hefei Gaoxin 12.00 2019-3-22 104.80 99.06 108.20 96.51 69633.26

122685 12 Ji'an Urban Construction 16.00 2019-4-20 103.90 100.00 105.99 99.98 106639.89

122686 12 Baiyao Holdings 11.00 2019-3-30 101.20 97.00 103.68 97.00 60005.56

122687 12 Jintan Building 10.00 2019-3-14 103.50 103.00 109.00 98.16 41760.19

122688 12 Huatong 10.00 2019-4-18 103.80 100.00 103.90 97.00 28338.72

Bond Market

2014 Fact Book 169


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12268912 Suqian Economic Development

9.00 2019-3-26 103.95 99.00 105.50 99.00 109895.35

122690 12 Sanpower Group 8.00 2019-3-19 100.01 103.50 107.95 100.00 114867.98

122691 12 Wuqing 8.00 2019-3-27 0.00 100.00 0.00 0.00 20655.00

12269212 Zhangzhou Road and Bridge

11.00 2019-3-1 0.00 106.00 0.00 0.00 61019.00

12269312 Jiamusi Urban Construction and Investment

10.00 2019-3-22 104.80 102.99 107.99 99.03 24046.35

122694 12 Xingrong 8.00 2019-4-19 105.90 99.33 109.77 99.15 138602.82

12269512 Wuhua District State-owned Assets Investment

10.00 2018-3-15 105.54 100.17 108.74 98.58 147123.48

122696 12 Danyang Investment 15.00 2019-3-6 106.50 107.57 107.70 106.50 10633.88

122697 11 Taicang Assets 9.00 2018-12-31 104.80 100.00 107.00 100.00 3376.46

122698 12 Shuangliu 01 7.00 2019-3-16 105.50 110.30 111.80 97.21 27024.10

122699 12 Shuangliu 02 3.00 2019-3-16 105.00 99.00 119.00 97.80 10531.02

122700 12 Laibin Bond 9.00 2019-3-14 105.55 108.25 109.00 99.08 88123.72

12270112 Yuhang Urban Construction

12.00 2019-3-29 104.50 99.50 106.66 99.50 43913.09

122702 12 Hai’an Bond 15.00 2018-3-28 105.00 103.50 108.20 99.00 216709.26

12270312 Anshan Urban Construction

20.00 2019-3-5 105.00 103.50 109.80 102.48 128860.73

122704 12 Jiangdu 8.00 2019-3-23 104.50 97.76 115.00 97.50 72302.39

122705 12 Jiangsu Communications 25.00 2017-3-20 101.00 101.72 101.88 97.00 131647.33

122706 12 Haimen 12.00 2019-3-20 103.80 102.00 112.00 99.50 8159.34

122707 12 Taixing 12.00 2018-3-27 105.50 101.48 116.47 100.01 251236.81

122708 12 Ejin Horo Banner 16.00 2019-3-19 103.50 98.28 108.12 97.31 201329.35

122709 12 Mianyang 12.00 2019-3-26 103.60 99.50 107.40 98.00 77277.72

122710 12 Jinan City Construction 18.00 2018-3-26 104.00 100.65 105.90 97.01 92846.38

Bond Market

2014 Fact Book 170


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12271112 Zhengzhou New District Construction

20.00 2019-3-14 105.00 100.50 111.60 100.00 160023.97

122712 12 AVIC International 18.00 2019-3-12 99.00 95.00 102.00 87.95 63277.16

12271312 Hebei Jiantou Communication

14.00 2022-3-27 0.00 100.00 0.00 0.00 0.00

122714 12 Hailin Assets 8.00 2019-3-21 104.33 99.55 109.25 98.24 35112.61

122715 12 Chengdu New City 10.00 2019-3-19 106.38 98.51 109.50 97.29 121957.15

122716 12 Putian 11.00 2019-3-21 105.50 100.25 115.00 97.31 34282.89

122717 12 Quanxing Mining 15.00 2019-3-21 0.00 100.00 0.00 0.00 36103.00

122718 12 Yunan Assets 8.00 2019-3-23 108.00 101.50 119.00 100.56 122323.76

122719 12 Longyan Traffic 10.00 2022-3-19 106.10 103.00 111.00 98.55 93995.95

12272012 Ningbo Urban Construction

10.00 2018-3-1 0.00 100.00 0.00 0.00 77726.80

12272112 Liaoyuan State-owned Asset

10.00 2019-3-13 105.10 100.67 116.14 95.60 100452.50

122722 12 Huai'an Water 16.00 2019-3-8 107.80 104.50 109.00 94.98 118539.81


200.00 2022-3-15 92.46 99.90 99.90 91.93 30217.41

12272412 Panzhihua State-owned Assets

10.00 2022-3-13 108.00 109.50 112.99 106.03 102874.52

12272512 Suqian Industry Development

8.00 2018-3-8 96.61 100.50 104.02 96.61 81082.69

12272612 Liuzhou Dongcheng Investment

10.00 2019-2-15 107.50 101.98 108.45 100.00 110376.11

122727 12 Dongsheng 20.00 2018-2-28 105.50 99.76 107.99 98.50 220948.18

12272812 Xuzhou Economic Development Zone

18.00 2019-3-7 104.00 106.00 107.00 100.00 37103.58

122729 12 Jiangquan Group 8.00 2019-3-12 105.15 98.27 110.00 96.01 69500.73

122730 12 Jinjiang Bond 6.50 2018-2-23 104.42 101.50 104.42 101.50 33739.70

12273112 Zhenjiang New Area Economic Development

16.00 2019-3-1 105.00 102.90 115.00 100.10 41368.54

122732 12 Jiujiang Bond 20.00 2019-2-23 107.00 102.00 115.00 98.32 38892.79

Bond Market

2014 Fact Book 171


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12273311 Beijing State-owned Capital 01

40.00 2016-12-26 102.00 101.99 102.00 101.00 3837.39

12273411 Beijing State-owned Capitali 02

60.00 2021-12-26 100.42 100.42 100.42 100.42 10042.00

122735 11 Lu’an Bond 15.00 2018-12-28 104.42 105.00 105.00 104.42 15433.50


100.00 2019-2-22 0.00 100.00 0.00 0.00 0.00


100.00 2027-2-22 99.00 99.99 107.00 90.00 12870.58

12274012 Yan'an City Construction Investment

15.00 2017-2-8 104.00 102.70 108.50 99.00 23379.24

122741 11 Shuangyashan 10.00 2018-12-20 104.60 99.99 107.85 98.81 175796.49

122742 12 Shandong Expressway 20.00 2022-2-9 0.00 100.00 0.00 0.00 0.00

122743 12 Huafa Group 25.00 2018-2-16 108.00 102.64 112.28 100.60 268268.30

122744 11 Benxi Bond 20.00 2021-12-22 108.00 102.90 110.96 100.16 87354.51

122745 12 Fangda 01 5.00 2018-2-22 104.50 101.00 110.00 98.01 33695.75

122746 12 Fangda 02 5.00 2019-2-22 105.00 96.50 109.00 96.00 57411.37

122747 12 Shanxi Coal Transportation 25.00 2022-1-18 103.00 97.50 106.50 94.92 144046.17


100.00 2019-1-11 99.67 99.99 100.00 99.67 35699.89


100.00 2022-1-11 97.83 102.50 102.50 91.00 48914.64

122750 12 Changjingying 12.00 2019-1-16 102.50 102.50 109.00 99.26 16785.21

122751 11 Jixin Bond 5.00 2018-12-30 101.51 100.49 114.00 100.49 11561.48

122752 11 Dafeng Port 6.00 2017-11-15 106.05 102.00 110.59 100.51 66321.87

12275312 Jiangyan State-owned Assets Investment

7.00 2019-12-3 101.78 98.00 103.61 94.00 114167.24

122754 11 Tonghua Bond 10.00 2021-12-13 108.30 101.35 118.81 99.55 103833.80

12275512 Xiangtan City's Constructive Group

12.00 2019-3-16 102.80 102.50 108.50 99.80 80592.58

12275612 Gansu Agricultural Reclamation Group

8.00 2019-1-6 100.00 100.00 100.00 100.00 31165.00

Bond Market

2014 Fact Book 172


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122757 11 Dandong Bond 16.00 2018-12-21 103.13 97.77 107.29 97.18 369842.48

122758 11 Zhangbao Bond 9.00 2018-12-15 100.37 100.00 109.80 100.00 1408.12

122759 11 Taihao Bond 4.00 2018-12-27 0.00 107.10 0.00 0.00 0.00

122760 12 Yufu Bond 20.00 2019-9-4 101.60 98.10 103.80 98.10 149853.06

12276111 Xiaoshan State-owned Assets

20.00 2016-11-22 103.10 104.61 104.61 103.10 44317.51

122762 11 Wujiang Bond 13.00 2018-12-5 0.00 100.00 0.00 0.00 65916.00

12276311 Huainan Industrial Development Investment

9.00 2017-12-30 108.50 102.85 117.98 96.03 100426.73

122764 11 China Oceanwide 01 18.00 2017-12-13 107.15 101.47 113.80 94.31 41010.55

122765 11 China Oceanwide 02 10.00 2021-12-13 109.00 103.08 114.60 102.24 23597.64

12276611 Yichang Urban Construction Investment

10.00 2019-11-17 105.00 108.20 108.49 103.51 15243.21

122767 11 Yancheng Chengnan 15.00 2018-12-16 105.00 101.58 116.00 100.48 157096.77

12276811 Lanzhou Urban Development and Investment

15.00 2018-12-15 106.00 103.60 116.50 100.50 112582.51

122769 11 Longhai Bond 8.00 2017-12-2 106.10 101.05 109.49 94.53 72582.21

122770 11 State Grid 01 100.00 2021-12-8 101.46 98.50 104.00 96.00 106730.07

122771 11 State Grid 02 50.00 2026-12-8 98.80 98.80 98.80 98.80 5744.73

122772 11 Shanxi Coal 10.00 2018-12-6 106.00 106.00 106.00 106.00 16279.00

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

12277511 Xianyang Urban Construction and Investment

11.00 2017-12-9 106.25 100.80 107.80 96.97 48651.00

122776 11 Neoglory 16.00 2018-11-23 103.34 99.80 106.86 93.01 190190.34

122777 11 Wuzhong 15.00 2018-12-16 0.00 105.80 0.00 0.00 10556.00

122778 11 Xiamen CD Corporation 16.00 2019-10-28 106.70 101.50 106.70 98.00 61546.34

Bond Market

2014 Fact Book 173


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12277911 Zhuzhou Urban Construction Development

15.00 2021-11-10 106.57 102.00 110.85 98.28 90551.38

122780 11 Changsha Hi-tech 25.00 2017-11-22 103.50 100.25 103.50 100.00 18767.90

122781 11 Yongzhou Bond 10.00 2021-12-5 108.08 102.92 112.54 100.59 204488.37

122782 11 Ningxia State Farms 18.00 2018-11-16 100.00 99.50 100.87 99.50 4053.90

122783 11 Jiangsu Zhongneng 15.00 2018-11-15 102.00 84.45 103.60 81.43 91560.97

122784 11 ZTE Holdings 10.00 2019-10-28 103.50 103.50 105.00 93.36 13768.42

122786 11 Legend Holding 29.00 2018-10-31 102.52 102.56 102.56 94.88 13293.79

122787 11 Gantie Bond 10.00 2018-9-30 104.35 104.00 104.35 104.00 11166.10

122788 11 Sanming Bond 10.00 2018-6-14 101.60 102.00 106.15 100.00 64113.84

122789 11 Xiangyu Bond 9.00 2018-7-8 101.00 105.00 105.00 91.64 74631.90

122790 11 Zhuji Bond 15.00 2018-7-5 101.00 97.49 104.70 96.80 127231.56

122792 11 Handan Bond 10.00 2018-7-1 102.78 99.30 104.80 98.30 132342.76

12279311 Yangzhou Development Bond

10.00 2016-7-7 99.90 99.00 102.00 90.20 12472.66

122794 11 Haicheng Bond 8.00 2018-11-7 105.68 102.28 130.18 98.00 6210.17

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 2018-6-22 100.70 101.00 105.50 97.50 74872.26

12279911 Wuhan State-owned Assets Managment

3.00 2018-6-17 102.35 100.50 102.35 100.07 22568.66

122800 11 Longkou Coal Power 10.00 2018-6-17 103.00 103.00 103.00 103.00 0.31

122801 11 Jiaozuo Bond 22.00 2018-6-8 103.50 103.90 103.90 93.35 239345.40

122802 11 Liaoyang Bond 20.00 2018-6-13 100.90 97.90 105.80 92.50 292050.08

Bond Market

2014 Fact Book 174


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122803 11 Chuzhou Bond 10.00 2021-11-30 104.04 98.94 110.08 97.61 75811.22

122804 11 Weinan 01 6.00 2017-6-8 100.98 100.35 101.10 99.38 17112.25

122805 11 Datong Bond 25.00 2017-6-1 100.75 97.98 106.00 97.65 302273.46

122806 11 Weinan 02 12.00 2018-6-8 102.50 98.50 102.50 95.13 67456.11

122807 11 Dongling Bond 4.00 2017-6-14 101.28 99.04 103.50 92.01 53856.04

122808 11 Tengzhou Bond 10.00 2018-5-24 100.00 103.42 106.00 99.00 25646.86

12280911 Dzungarian State-owned Assets

20.00 2018-5-10 101.00 97.78 105.30 92.43 297602.10

12281011 Zoup ing Sta te-owned Assets

5.00 2018-4-27 99.40 93.00 105.48 89.80 20479.08

122811 11 Inner Mongolia Nailung 8.00 2018-5-5 99.81 93.99 103.90 93.20 223089.04

122812 11 Huaibei Bond 12.00 2018-3-14 103.20 98.36 106.50 96.00 100060.58

122813 11 Ningxia Transport 15.00 2021-4-27 103.00 98.50 103.80 98.50 84833.85

122814 11 Dongying Bond 12.00 2018-4-20 103.60 102.50 104.50 101.50 48153.40

122815 11 Guanghui Bond 16.00 2017-4-19 100.00 99.63 102.00 90.68 182443.20

122816 11 Gaomi Bond 10.00 2018-4-8 0.00 100.00 0.00 0.00 34181.00

122817 11 Sanmen Bond 15.00 2018-4-25 97.28 99.89 105.49 97.28 215241.06

122818 11 Muping Bond 6.00 2019-3-4 105.60 101.05 111.17 97.00 83647.05

12281911 Changzhou Urban Construction

25.00 2018-4-25 101.50 98.20 108.80 94.82 169446.05

122820 11 Weifang Dongfang 5.00 2018-4-12 103.50 103.50 106.00 94.53 31285.24

122821 11 Jilin Urban Construction 20.00 2018-3-3 103.00 100.50 106.50 99.08 219822.61

122822 11 Hanzhong Bond 8.00 2018-3-14 100.75 96.48 105.53 94.17 87497.29

122823 11 Zhoushan Bond 15.00 2018-4-20 99.40 102.00 103.00 98.30 58422.38

122824 11 China Coal Construction 6.00 2018-3-15 0.00 102.04 0.00 0.00 25100.00

Bond Market

2014 Fact Book 175


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122825 11 Jingdezhen 8.00 2018-3-23 103.00 100.99 116.39 98.55 133052.83

122826 11 Beibu Gulf Port 15.00 2017-3-30 101.70 100.00 103.46 99.00 256500.79

122827 11 ENN Energy Holdings 5.00 2018-2-16 103.05 103.05 103.05 103.05 35684.40

122828 11 Fuzhou Bond 8.00 2018-2-28 104.60 101.50 108.50 97.36 55171.17

122829 11 Wanji Bond 8.00 2018-8-24 101.60 84.93 104.46 82.50 44421.08

12283011 Shenyang State-owned Assets

15.00 2019-3-16 102.60 99.70 107.00 99.00 130256.17

122831 11 Huitong Bond 10.00 2018-3-14 103.00 99.40 107.98 98.71 120177.58

122832 11 Taishan Bond 10.00 2018-3-2 104.00 103.01 104.80 99.50 97788.79

12283311 Ganzhou Urban Development

20.00 2018-4-22 96.61 97.90 106.00 92.00 266182.01

12283411 Mudanjiang State-owned Assets

15.00 2018-2-15 102.05 100.24 108.00 99.40 125263.47

122835 11 Xinglu Bond 10.00 2021-3-1 102.50 98.78 106.50 90.94 112160.99

122836 11 Panjin Bond 15.00 2018-3-1 102.00 97.99 107.00 96.60 277706.20

12283711 Wujin Economic Development

25.00 2018-2-24 102.98 98.99 104.08 97.20 329570.11

122838 11 Geely Bond 10.00 2018-6-21 102.00 104.50 104.50 97.90 67085.29

122839 11 Xintai Bond 12.00 2018-2-23 102.60 104.00 106.00 99.06 76307.70

122840 11 Linfen Bond 20.00 2019-2-22 102.70 103.00 115.02 99.30 260009.33

122841 11 Chongqing Tianjin Bond 6.00 2018-1-6 100.93 96.29 112.82 94.52 111571.86

12284211 Hechuan Urban Construction

6.00 2018-1-6 100.87 96.40 113.51 95.50 58833.88

122843 11 Suihua Bond 8.00 2018-2-28 103.00 100.45 116.39 94.00 136268.42

122844 11 Guiyang Urban Investment 20.00 2018-1-12 101.86 99.00 103.60 97.50 178945.88

122845 11 Hengdian Bond 12.00 2021-1-27 101.50 98.80 102.50 94.27 135525.85

122846 11 Yufu Bond 20.00 2018-2-22 103.00 98.80 104.20 95.10 143478.10

Bond Market

2014 Fact Book 176


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12284711 Ningbo Communications Investment

10.00 2021-2-10 101.00 100.00 103.60 98.90 94805.29

122848 10 Guilin Bond 10.00 2017-12-28 104.00 100.00 104.74 96.00 13798.69

122849 11 Xinyu Bond 14.00 2018-1-11 101.11 94.40 101.50 93.52 98148.40

122850 11 Huatai Bond 8.80 2018-3-2 101.00 95.99 103.30 95.00 66605.61

122851 10 Yuxi 01 8.00 2016-12-28 100.82 98.00 103.00 95.00 72475.92

122852 10 Yuxi 02 7.00 2017-12-28 101.30 99.70 103.20 98.50 28135.07

122853 10 Taiyuan Heavy Machinery 8.40 2020-12-31 101.50 101.00 101.53 92.00 83825.62

122854 11 Zhonghui Bond 10.00 2018-3-23 101.75 98.30 103.11 98.30 78791.83

122855 11 Chongqing Light Textile 7.00 2018-1-12 102.50 99.50 103.70 99.50 44090.16

122856 11 Zhuzhou Hi-tech 10.00 2018-8-18 102.21 101.60 106.68 99.40 134726.22

122857 10 Jiuhua Bond 10.00 2016-12-16 102.15 98.10 113.90 91.90 138429.47

12285810 Yancheng City-owned Assets 01

5.00 2016-12-16 100.95 100.00 102.50 99.90 46917.78

12285910 Yancheng City-owned Assets 02

10.00 2017-12-16 101.80 100.00 105.00 100.00 21371.68

122860 10 Longyuan 16.00 2017-2-9 100.50 97.50 101.00 95.00 9134.82

122861 09 Shaanxi Coal Chemistry 15.00 2017-12-17 0.00 101.50 0.00 0.00 0.00

122862 10 Fujian Energy 8.00 2017-12-2 0.00 100.00 0.00 0.00 0.00

122863 10 Yulin City Investment 14.00 2017-12-28 103.80 105.00 105.70 101.00 69405.99

122864 11 Shanghai Bund Investment 9.00 2018-3-11 104.04 102.00 106.80 100.50 72022.65

12286510 Jiangsu HaizhouwanDevelopment

10.00 2017-9-28 91.60 100.00 100.00 91.60 34829.58

12286610 Hangzhou CommunicationInvestment

12.00 2020-10-19 100.80 97.30 100.80 97.00 60691.35

12286711 Shijiazhuang City Investment

10.00 2021-3-9 101.00 99.00 104.50 99.00 111916.89

122868 10 Shenyang Coal 15.00 2017-12-21 102.25 97.30 102.36 95.01 32764.07

Bond Market

2014 Fact Book 177


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122869 10Shanghai Chemical 10.00 2017-10-22 100.00 100.40 101.00 100.00 33317.40

122870 10 Chongqing Dasheng 8.00 2017-6-2 0.00 100.00 0.00 0.00 3966.00

12287110 Zhenjiang CommunicationInvestment

10.00 2017-10-18 99.30 96.88 104.00 91.08 38539.07

122872 10 Fosun Bond 11.00 2017-12-24 101.50 101.50 102.00 96.99 62439.02

12287310 Nantong Economic & Technological Development Zone

10.00 2017-12-8 100.90 100.06 110.78 91.96 62873.27

122874 10 Honghe Investment 01 10.00 2016-12-9 100.60 99.50 105.50 96.06 73496.22

122875 10 Honghe Investment 02 10.00 2017-12-9 101.60 99.80 113.40 96.00 152211.45

12287611 Hainan Development Holdings

15.00 2018-1-20 100.75 100.20 101.85 100.20 57020.24

122877 10 Chongqing Nan’an 10.00 2017-12-24 99.80 101.65 102.15 93.36 30876.10

122879 10 Tianji 10.00 2017-11-25 101.00 100.00 101.12 100.00 25.36

122880 10 Tianye 12.00 2016-10-25 99.93 98.00 100.16 97.40 73720.91

122881 10 Wujiang 15.00 2018-12-23 103.77 100.99 105.00 96.00 106864.75

122882 10 Nanjing Hi-tech 12.00 2017-12-24 101.50 100.00 103.20 99.00 32595.05

122883 10 Chuxiong 15.00 2017-10-18 97.29 94.64 102.05 94.03 219045.31

122884 10 Xizi 4.50 2017-10-11 100.56 98.99 105.00 96.30 32043.68

122885 10 Hebei Communication 20.00 2025-9-28 0.00 100.00 0.00 0.00 5060.40

122886 10 Yunnan Investment 20.00 2017-8-24 97.95 96.04 113.00 90.45 75112.78

12288710 Chongqing Communication

10.00 2017-8-4 95.00 89.50 99.50 86.10 24827.50

122888 10 Huajing 15.00 2017-9-28 98.00 96.28 105.88 88.83 99016.71

122889 10 Daye Nonferrous 7.00 2018-10-15 98.98 99.00 99.00 97.01 8086.71

122890 10 Kaidi 10.00 2020-8-23 95.58 89.27 100.00 87.50 339708.12

122891 10 Tongliao 10.00 2017-9-1 96.58 95.20 102.10 94.41 231780.00

Bond Market

2014 Fact Book 178


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122892 10 Shouguang 10.00 2020-9-1 99.19 95.88 103.99 93.21 98864.32

122893 10 Dandong 15.00 2017-9-6 100.73 100.86 105.49 97.04 70657.16

122894 10 Nanchang Municipal 7.00 2017-8-3 100.50 100.50 100.50 100.50 89603.00

122895 10 Dezhou 7.00 2017-8-9 99.47 99.00 101.00 99.00 103160.34

122896 10 Wuhu Development 10.00 2017-8-25 100.00 101.00 101.00 95.01 81419.51

122897 10 Xiangfan Investment 10.00 2018-5-19 100.80 100.48 101.50 99.00 64914.16

122898 10 Pan National Investment 6.00 2020-7-29 98.50 100.40 100.50 93.00 370035.72

122899 10 Yangpu 01 12.00 2017-7-28 98.32 97.20 100.00 94.50 43565.77

122900 10 Yangpu 02 3.00 2017-7-28 100.00 105.50 105.50 99.11 49400.80

122901 10 Yingkou 20.00 2020-6-9 103.29 98.00 108.25 90.05 125826.90

122902 10 Chifeng 12.00 2017-5-18 100.10 99.49 112.26 95.99 68624.22

122903 10 Yancheng East 10.00 2017-6-8 98.00 95.50 103.00 90.05 41019.16

122904 10 Great Wall Investment 20.00 2020-5-24 98.00 98.00 98.00 98.00 69334.98

122905 10 Nanchang 12.00 2017-4-30 103.50 102.50 107.00 98.15 73392.73

122906 10 Wuhu Investment 01 14.00 2017-7-22 98.00 99.25 110.00 95.00 39008.53

122907 10 Wuhu Investment 02 6.00 2017-7-22 99.90 100.50 101.50 95.10 69904.61


122909 10 Yixing 15.00 2016-5-20 100.00 96.30 100.74 93.80 351721.16

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 92.00 98.20 110.52 92.00 203642.68

122912 10 Hubei State-owned Captial 28.00 2020-5-11 102.00 98.00 102.30 92.38 166394.55

12291310 Nantong Industries Holding

8.00 2016-5-18 100.60 98.00 102.30 97.50 71662.15

Bond Market

2014 Fact Book 179


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122914 09 Fujian Building 10.00 2016-12-16 93.00 102.00 105.00 93.00 48029.64

12291510 Zhenjiang Water Conservancy Investment

20.00 2017-5-6 97.00 98.20 111.00 97.00 105425.20

122916 10 Honggutan 8.00 2017-3-9 103.00 100.25 116.10 100.00 145594.03

122917 10 Taicang Port 6.00 2020-1-21 103.50 99.54 103.50 93.68 15857.80

122918 10 Fuyang 10.00 2016-3-9 101.29 97.00 110.00 96.20 209556.18

122919 10 Shandong Commercial 7.00 2017-3-11 100.80 99.60 100.80 99.60 9241.00

122920 10 Huangshan 6.00 2017-2-9 101.88 99.20 105.50 81.01 106287.32

122921 10 Chenzhou 20.00 2017-1-21 103.99 101.16 116.81 99.61 243439.18

12292210 Changsha Advanced Technology

20.00 2017-1-25 101.50 99.50 102.90 98.80 80730.74

122923 10 Beijing Auto Investment 15.00 2017-1-29 101.10 98.75 101.20 97.00 200117.79

122924 10 Chaohu 12.00 2017-1-28 102.80 102.09 106.59 99.87 138101.43

12292509 Shenyang State-owned Capital

12.00 2016-11-27 104.50 101.30 107.60 100.26 124718.53

122926 09 Qinghai Investment 8.00 2015-12-29 101.00 97.92 101.08 96.50 49527.93

122927 09 Hainan Airlines 13.00 2019-12-24 101.85 99.16 106.80 98.18 128814.66

122928 09 Tieling 15.00 2019-12-22 102.89 99.70 107.50 99.41 171829.09

122929 09 Jiujiang 12.00 2016-12-18 101.52 104.60 104.90 101.25 14716.39

122930 09 Panjin 10.00 2016-12-16 105.00 102.00 106.70 98.09 102905.49

122931 09 Linhai 10.00 2016-11-6 105.00 100.98 107.88 99.51 76472.97

122932 09 Yicheng 12.00 2016-11-25 103.79 102.38 107.50 100.31 204539.92

122933 09 Nanshan 1 10.00 2015-10-20 101.80 103.80 104.18 101.80 11732.23

122934 09 Nanshan 2 10.00 2019-10-20 105.00 103.99 107.66 103.99 86989.00

122935 09 Nantong 23.00 2016-11-13 102.60 100.00 103.00 100.00 12922.84

Bond Market

2014 Fact Book 180


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12293609 Hecheng Urban Investment

12.00 2016-11-17 104.50 99.29 106.98 98.50 209591.47

122937 10 Liaoyuan 10.00 2017-1-26 104.45 99.22 109.00 96.30 185578.14

122938 09 Fenhu 10.00 2017-10-22 103.10 99.60 120.00 92.23 11650.75

122939 09 Ji’an 15.00 2016-10-28 106.50 101.59 110.00 100.21 86187.25

12294009 Xianyang Urban Investment

17.50 2019-9-30 107.98 101.11 117.99 98.51 162798.99

122941 10 Zhenjiang City Investment 20.00 2020-12-17 102.15 97.59 105.59 95.00 116640.78

122942 09 Jiangyin 25.00 2016-9-15 101.71 99.70 105.00 95.45 132997.24

122943 09 Waigaoqiao 8.50 2014-9-4 100.96 99.99 100.96 99.40 20020.96

122944 09 Zhuzhou Urban Investment 15.00 2016-8-28 103.01 99.82 106.00 97.80 77832.24

122945 09 Yushui 8.00 2016-7-31 102.90 99.80 113.20 95.71 23350.99

12294609 Yangzhou Urban Construction

20.00 2016-7-23 101.00 99.80 102.15 95.93 48730.90

12294709 Hefei Construction Investment

20.00 2014-7-8 100.40 99.25 101.05 98.00 136306.32

122948 09 Wuxi Communications 20.00 2016-7-8 98.50 98.00 101.00 95.99 51517.12

122949 09 Changzhou Investment 20.00 2016-7-1 100.60 98.30 103.00 90.37 113864.11

122950 09 Chongqing Energy 15.00 2016-7-1 99.00 100.30 101.30 99.00 54692.18

12295109 Huainan Urban Construction

15.00 2016-6-26 101.48 99.99 110.12 95.58 147438.89

122952 09 Ganzhou 15.00 2016-6-16 101.00 99.40 101.50 97.18 72693.22

12295309 Yueyang Urban Construction

10.00 2015-4-30 101.24 100.39 111.00 91.81 33963.17

122954 09 Wujin 22.00 2016-6-9 99.01 96.89 100.83 96.00 63914.30

122955 09 Xiangtan City Construction 9.00 2015-6-1 101.20 99.08 101.66 97.70 55616.26

122956 09 Changzhou Hi-tech 15.00 2019-6-4 100.00 99.29 101.00 97.01 19199.29

12295709 Chengdu Industry Investment

15.00 2016-6-4 98.65 99.00 101.50 97.30 136161.77

Bond Market

2014 Fact Book 181


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12295809 Changsha Economic Development

5.80 2015-5-22 102.80 99.75 114.45 93.94 130101.57

122959 09 Tsinghua Holdings 10.00 2016-5-19 99.51 99.29 102.10 99.00 47230.38

122960 09 Poly Group 13.00 2014-5-7 99.00 99.36 102.60 97.56 45870.87

122961 09 Wuhan Urban Investment 15.00 2019-5-25 100.57 99.20 101.50 95.00 85176.33

122962 09 Nanjing Communications 10.00 2016-5-7 100.30 99.30 101.80 98.00 81803.73

122964 09 Longhu 14.00 2016-5-5 103.70 100.45 106.00 99.00 215144.52

122965 09 Weifang Investment 7.00 2019-4-15 101.39 99.70 105.00 99.05 73840.96

122966 09 Dianchi Investment 8.00 2015-4-27 97.60 100.10 103.40 97.00 16784.05

122967 09 Fujian Zhanglong 10.00 2015-4-24 100.80 99.30 110.00 99.00 94360.05

12296809 Hangzhou Urban Investment

22.00 2015-4-14 99.86 100.26 106.38 98.00 238346.04

122969 09 Henan Investment 15.00 2019-4-15 99.00 99.81 100.30 99.00 7175.74

122970 09 Three Gorges 01 70.00 2014-4-8 99.00 99.95 99.95 95.90 25364.89

122971 09 Three Gorges 02 30.00 2016-4-8 99.00 96.20 100.00 90.00 2513.91

122972 09 Mianyang Investment 15.00 2016-4-8 102.00 99.80 104.40 99.00 198809.86

122973 09 Kunshan Chuangye 20.00 2016-3-30 98.50 97.50 100.87 88.94 67463.93

12297409 Zhengjiang City Construction

10.00 2015-3-30 100.75 100.00 111.80 98.60 106058.50

122975 09 Jinan Urban Construction 15.00 2019-3-26 98.35 96.00 99.90 90.00 36118.27

12297609 Yongcheng Coal & Electricity

13.00 2015-3-30 100.00 98.90 101.30 98.00 73390.99

12297909 Tianjin Jinbin Development 2

20.00 2014-3-25 98.00 99.46 100.00 97.35 26642.09

12298009 Tianjin Jinbin Development 3

25.00 2016-3-25 97.50 98.00 102.00 90.92 36788.91

122981 09 Tongling Urban Construction 5.00 2015-3-10 102.00 100.77 104.40 92.20 46226.89

12298209 Changchun Urban Development

12.00 2016-3-9 100.60 99.00 102.50 98.00 43579.35

Bond Market

2014 Fact Book 182


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122983 09 Nanjing Iron & Steel 25.00 2016-2-27 100.50 97.83 102.00 95.98 45872.98

122984 09 Lu’an Urban Construction 15.00 2016-3-2 103.68 101.00 114.69 75.18 209019.62

122985 09 Zhejiang Provincial Energy 47.00 2014-2-23 94.58 99.59 108.00 94.58 73107.93

122986 09 Chunhua 10.00 2016-2-11 101.50 99.80 112.00 98.00 43534.32

122987 08 Yunnan Coal Chemical 15.00 2013-12-19 0.00 99.87 0.00 0.00 0.00

122988 08 Chongqing Yulong 10.00 2016-1-15 102.34 100.00 106.00 99.72 89766.85

122989 08 Chongqing Communication 15.00 2015-12-10 99.99 98.30 111.00 92.00 51626.09

122991 08 Hainan Airlines 15.00 2014-12-25 102.00 100.63 107.20 98.06 52209.62


122993 08 Wuyang Iron & Steel 6.00 2013-11-13 101.20 100.00 115.00 99.00 19284.44

122994 08 Yunnan Investment 15.00 2013-10-22 100.40 99.99 102.00 99.50 90993.69

12299508 Hefei Construction Investment

17.00 2018-8-28 103.00 101.00 108.30 92.40 120672.87

12299608 Changzhou Urban Construction

25.00 2015-9-24 101.00 99.20 102.99 99.00 192512.50

122997 08 Suzhou Hi-Tech 4.00 2013-10-9 101.25 99.98 101.66 99.51 177661.84

122998 04 Nanjing Tanker Suspended 10.00 2014-5-26 0.00 99.00 0.00 0.00 0.00

12299908 Guangzhou Paper Suspended

3.90 2018-3-13 103.00 102.50 104.00 99.00 774.31

123000 09 Yihua 10.00 2014-10-26 95.33 99.97 100.00 99.71 28983.00

123001 09 Shanghai Ace 2.50 2014-11-17 100.00 100.00 0.00 0.00 0.00

123002 09 Donghua 3.00 2015-12-28 100.00 100.00 104.50 99.00 61053.00

123003 09 Rebecca 3.00 2015-12-28 99.95 98.97 99.00 98.96 6532.00

123004 10 China Hi-tech 2.80 2017-2-2 102.40 100.00 109.50 94.70 10406.00

123005 09 New Hailian 15.00 2016-11-11 99.97 101.14 101.65 101.14 13155.00

Bond Market

2014 Fact Book 183


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


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 2021-1-7 100.00 102.27 102.27 102.27 10228.00

123008 11 Changzheng Electric 4.00 2014-11-16 99.63 99.93 107.54 99.83 78521.00

123009 12 Yangzhou SME Bone 2.18 2018-8-2 100.00 99.13 101.69 99.03 9145.00

123010 12 Hunan lingji Lingang 10.00 2018-10-15 100.00 98.81 100.32 98.81 11020.00

123011 13 Meizhou Bond 10.00 2020-9-10 100.00 100.01 100.01 99.89 16990.00

123012 13 Harbin Hitech 25.00 2020-9-16 100.00 100.00 100.00 100.00 12000.00

123413 13 Dongxing01 6.60 2016-11-27 100.00 100.00 0.00 0.00 0.00

123417 13Orient Securities Bond 36.00 2017-11-15 100.00 100.00 0.00 0.00 0.00

12342113 .Guotai Junan Securities Bond02

30.00 2014-11-7 100.00 100.00 0.00 0.00 0.00

12342213 China Securities Finance 46

14.00 2014-10-23 100.00 100.00 0.00 0.00 0.00

12342313 China Securities Finance 45

6.00 2014-4-23 100.00 100.00 0.00 0.00 0.00

123424 13China Securities Finance44 2.00 2014-7-22 100.00 100.00 0.00 0.00 0.00










Bond Market

2014 Fact Book 184


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)









123441 13Galaxy04 2.00 2013-12-10 100.00 100.00 0.00 0.00 0.00

123442 13Galaxy02 10.00 2014-9-10 100.00 100.00 0.00 0.00 0.00

123443 13Galaxy03 25.00 2014-9-11 100.00 100.00 0.00 0.00 0.00












123458 13Galaxy01 5.00 2013-11-13 100.00 100.00 100.00 100.00 8000.00

Bond Market

2014 Fact Book 185


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


123459 12Shenyin Wanguo Bond 60.00 2019-7-29 100.00 100.00 0.00 0.00 0.00

123460 13 CICC Bond 30.00 2019-7-25 100.00 100.00 0.00 0.00 0.00


123463 13Guotai Jun’an 01 50.00 2015-7-29 100.00 100.00 0.00 0.00 0.00

123464 13Guotai Jun’an Bond 30.00 2017-7-9 100.00 100.00 0.00 0.00 0.00


123466 13 Huarong Bond 15.00 2017-7-10 100.00 100.00 0.00 0.00 0.00




123470 13 Minzu Bond 5.00 2014-6-7 100.00 100.01 100.01 100.00 5000.00










123481 12 China Life Property 20.00 2022-9-25 100.00 100.00 0.00 0.00 0.00

123482 12Ping An Proerty 30.00 2022-12-28 100.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 186


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


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 2017-1-28 100.00 100.00 100.00 100.00 9000.00

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 2019-9-24 103.00 98.96 106.32 94.60 78172.91

124001 12 Luo He Investment 12.00 2019-10-30 101.50 99.90 102.80 96.49 66174.28

124002 12 Menggaolu 15.00 2019-11-12 104.50 109.00 109.00 104.50 32541.15

124003 12 Zhuhai Water Group 5.00 2018-8-27 0.00 100.00 0.00 0.00 0.00

124004 12 Yancheng Chengnan 15.00 2019-10-26 101.76 96.83 104.00 95.00 76892.96

124005 12Kunshan Chuangye Holding 18.00 2019-11-7 0.00 100.00 0.00 0.00 63416.40

124006 12 Shaocheng Investment 13.00 2019-11-9 102.00 100.15 102.10 100.00 94293.35

Bond Market

2014 Fact Book 187


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124007 12 Xizi Elevator Group 5.00 2018-11-9 101.60 99.40 102.00 99.00 50457.50

124008 12 Guo’ao Investment 4.00 2018-10-29 101.47 101.10 101.47 101.10 72691.89

124009 12 Chongqing Huinong 10.00 2019-9-6 0.00 100.00 0.00 0.00 20303.00

124010 12 Jixi State-owned Assets 12.00 2019-11-8 101.80 97.92 104.90 97.09 249535.22

12401112 Wuxi Xidong Science and Technology

18.00 2018-10-26 102.00 102.00 102.00 93.00 83520.40

124012 12Gao Mi 01 8.00 2019-11-15 0.00 100.00 0.00 0.00 29065.45

124013 12 Gao Mi 02 4.00 2018-11-15 100.00 100.00 100.00 100.00 24661.00

12401412 Guiyang Apartment House Construction

16.00 2019-11-6 100.56 103.50 103.50 100.50 130013.62

12401512Guiyang Industrial Investment

17.00 2019-11-19 101.62 101.00 103.94 101.00 119741.70

124016 12 Changde Deyuan 7.00 2018-10-18 100.00 98.00 104.00 95.88 47191.12

12401712 Yili Prefecture State-owned Assets Investment

12.00 2018-11-19 103.00 96.50 103.00 96.00 46618.13

12401812 Changyi Economic Development

5.00 2020-10-30 102.00 96.60 114.80 90.53 89270.18

124019 12 Xiangshao Investment 8.00 2018-12-12 102.50 95.99 103.67 95.00 125461.14

124020 12 Liaoyang City Capital 15.00 2019-11-13 100.80 100.50 104.50 95.38 118178.23

124021 12 Weifang Dongxing 13.00 2019-11-20 102.50 102.50 102.50 98.00 37488.21

124022 12 Shaoguan Jinye 14.00 2019-10-18 103.00 104.30 104.30 103.00 36886.00

124023 12Chucheng Investment 15.00 2019-11-23 101.80 101.00 103.00 101.00 141191.20

124024 12 Qinghai Investment 6.00 2022-10-8 105.30 103.00 105.30 96.50 34570.55

12402512 Chizhou Urban Management

9.00 2019-10-17 101.60 97.88 113.60 93.01 187818.51

124026 12 Guangyuan Investment 8.00 2019-11-26 101.80 95.28 103.40 93.50 112976.90

124027 12 Ruiguo Investment 7.00 2019-11-26 100.41 98.50 100.41 98.50 12034.80

124028 12 Zhucheng Investment 13.00 2019-11-29 102.00 99.75 106.10 97.01 99161.98

Bond Market

2014 Fact Book 188


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124029 12 Yulin Urban Construction 8.00 2019-11-26 101.49 98.00 108.00 98.00 56950.44

124030 12 Nanjing Urban Investment 23.00 2018-11-26 0.00 100.00 0.00 0.00 20065.00

124031 12 Henan Railway Investment 28.00 2022-11-19 100.40 107.00 107.00 100.40 64064.00

12403212 Yichang Urban Construction Investment

10.00 2019-11-8 102.79 102.79 102.79 102.79 32787.80

12403312 Suzhou Urban Construction Investment

20.00 2019-10-25 101.24 96.50 102.05 95.00 96093.29

12403412 Zhengzhou Chenjian Investment

16.00 2019-12-3 102.25 102.25 102.25 92.54 63217.28

124035 12 Shuyang Jinyuan 10.00 2019-12-3 99.51 103.50 103.50 99.51 256455.31

12403612 Zhangjiagang Economic Development

10.00 2019-11-16 100.00 102.00 103.20 99.31 94156.31

124037 12 Chongqing Jiangbei 18.00 2019-10-16 102.00 102.50 104.60 100.00 22032.11

124038 12 Yuanzhou Holdings 5.00 2019-12-4 101.65 92.20 110.66 84.40 93968.75

124039 12 Chongqing Jiangjin 13.00 2019-9-21 0.00 100.00 0.00 0.00 28152.20

124040 12 Shaoxing Didang 10.00 2018-12-5 101.80 98.00 102.95 98.00 82350.90

124041 12 Suqian Water 8.00 2019-12-4 101.40 101.50 101.80 101.40 68243.10

124042 12 Hubei Tourism Investment 8.00 2019-10-29 103.37 99.50 104.50 93.50 25497.07

124043 12 Shenzhen Liye 10.00 2018-12-3 100.50 96.50 110.00 90.26 151080.38

124044 12 Legend Holdings 23.00 2022-11-30 103.80 98.68 104.00 98.68 76909.21

12404512 Jiashan Economic Development

8.00 2019-12-3 108.00 108.00 108.00 108.00 26444.11

12404612 Puyang Urban Construction Investment

5.00 2019-10-29 103.00 100.00 108.00 94.00 45086.98

12404712 Qianxinan Prefecture Hongsheng

14.00 2019-11-22 102.00 98.22 103.77 93.50 71295.01

12404812 Heping District State-owned Assets

12.00 2019-11-13 102.80 98.81 102.80 97.00 180219.57

12404912 Yingkou Coastal Development

16.00 2019-11-16 103.50 103.50 103.50 103.50 24125.10

12405012 Yulin Urban Investment Management

15.00 2018-12-4 101.92 98.46 103.80 95.22 166094.42

Bond Market

2014 Fact Book 189


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124051 12 Daqing High-tech 12.00 2019-12-5 102.10 103.83 108.00 95.00 31005.95

12405212 Kunming Industrial Development InvestmentInvestment

20.00 2019-10-23 102.00 102.00 102.00 102.00 107981.00

124053 12 Yingkou Port 22.00 2020-11-13 0.00 100.00 0.00 0.00 0.00

124054 12 Zhuzhou Yunlong 10.00 2019-11-19 100.59 98.88 101.75 91.50 126186.49

12405512 CDHT Investment Investment

7.00 2019-11-20 100.01 100.78 101.30 100.00 39395.82

12405612 Qidong State-owned Assets Investment Investment

15.00 2022-11-20 101.61 97.99 105.00 92.01 86472.72

12405712 Shantou Urban Construction Development

13.00 2022-3-23 106.90 106.90 106.90 106.90 0.11

124058 12 Pingxiang Bond 12.00 2019-12-10 0.00 100.00 0.00 0.00 1018.60

12405912 Linyi Municipal Assets Management Development

15.00 2019-12-12 102.87 102.87 102.87 102.87 37909.29

124060 12 Zhutouzi 13.00 2019-11-26 101.70 100.95 106.32 97.37 198297.58

12406112 Pei County State-owned Assets

10.00 2019-12-6 102.50 100.00 104.85 97.00 143979.75

124062 12 Hebei Shunde 10.00 2019-12-5 102.13 105.00 105.00 99.66 54270.63

124063 12 Sate Grid 03 50.00 2019-11-20 0.00 100.00 0.00 0.00 8555.00

124064 12 Sate Grid 04 50.00 2022-11-20 100.40 97.00 100.40 97.00 23067.19

12406512 Tianjin Economic Technology Development 01

18.50 2019-12-3 0.00 100.00 0.00 0.00 0.00

12406612 Tianjin Economic Technology Development 02

4.50 2022-12-3 0.00 100.00 0.00 0.00 0.00

12407012 Xinyu Urban Construction Investment Investment

15.00 2019-12-13 102.00 97.40 106.00 93.13 95800.20

124071 12 Yintan Investment 14.00 2022-12-12 105.00 97.15 106.97 96.00 159527.03

124072 12 Qujing Expressway 14.00 2019-10-26 103.35 101.00 104.00 100.90 127496.01

124073 12 Jishou Huatai Bond 10.00 2019-12-12 102.18 93.25 103.62 89.99 59520.37

124074 12 Zhanggongjing 12.00 2019-11-27 101.07 99.00 101.07 99.00 23134.60

Bond Market

2014 Fact Book 190


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12407512Huaibei Construction Investment Investment

18.00 2018-12-17 101.01 96.47 103.00 94.10 355332.42

12407612Jinhu County State-owned Assets Management Bond

8.00 2018-12-7 104.00 99.10 108.49 98.20 152958.14

124077 12 Fuzhou Construction 5.00 2019-12-10 0.00 100.00 0.00 0.00 5103.00

124078 12 Yunnan Urban Construction 5.00 2018-10-24 102.52 105.01 109.75 98.52 46491.37

12407912 Baoshan State-owned Assets Management

8.00 2019-12-10 102.80 97.68 104.82 92.78 136421.05

124080 12 Suhai Investment 10.00 2019-11-7 101.50 99.49 106.88 94.53 135742.62

124081 12 Changsha Pilot 18.00 2019-12-10 101.90 97.89 104.00 92.97 152758.95

124082 12 Qingdao Comson 20.00 2022-12-12 0.00 100.00 0.00 0.00 0.00

12408312 Huangshi Urban Construction Investment

10.00 2019-10-19 101.50 102.00 102.00 101.50 68489.35

124084 12 Shanghai Lingang 7.00 2019-12-10 0.00 100.00 0.00 0.00 14710.00

12408512 Shanghai Jinshan Investment

9.00 2019-12-21 101.60 101.60 101.60 101.60 40209.46

12408612 Zhuji Urban Construction Investment

16.00 2019-12-19 102.90 100.00 103.00 99.00 283358.76

124087 12 Wuhu Xinma 8.00 2019-11-14 0.00 100.00 0.00 0.00 17780.00

124088 12 Dongtai Bond 15.00 2019-12-26 102.20 97.50 104.10 93.50 97955.85

12408912 Ganzhou Development Bond

18.00 2018-12-26 101.61 97.50 103.00 97.00 200030.81

12409012Zunyi State-owned Assets Investment

20.00 2019-12-26 103.80 99.00 103.80 98.70 152165.40

124091 12 Yuxing Bond 12.00 2019-12-10 101.00 104.00 105.00 94.45 81968.15

124092 12 Ordos Huayan 12.00 2018-12-17 105.00 97.76 107.80 94.99 231231.34

12409312 Kashi Urban Construction Investment

8.00 2019-11-27 103.40 96.45 113.56 94.20 180575.01

12409412 Ningbo Communication Investment

8.00 2022-12-21 0.00 100.00 0.00 0.00 18227.00

12409512 Liupanshui Development Investment

16.00 2019-12-3 102.00 94.97 102.48 93.00 46743.38

124096 12 Huai'an Urban Assets 15.00 2019-12-26 104.06 101.00 104.06 100.54 136697.54

Bond Market

2014 Fact Book 191


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124097 12 Dazhou Investment 10.00 2018-12-26 102.94 98.89 103.20 97.70 52016.34

124098 12 Dazhou Investment 10.00 2019-12-25 102.80 100.00 110.00 91.51 43740.28

12409912 Deyang Construction Investment

10.00 2019-12-26 103.40 98.50 103.40 98.50 33449.28

12410012 Shishi City State-owned Investment

8.00 2019-9-13 104.50 98.44 109.95 96.71 95178.75

12410112 Jiangxi Expressway Investment

12.00 2017-12-3 0.00 100.00 0.00 0.00 0.00

124102 12 Lucky Air 7.00 2019-12-14 105.00 105.00 105.00 105.00 18221.11

124103 13 Tongchuang Bond 8.00 2020-1-9 100.00 98.00 106.00 93.66 46271.26

12410412 Chaohu Municipal and Town Construction Investment

12.00 2019-12-24 101.50 96.65 104.50 94.46 103444.37

124105 12 Yuyue Bond 3.00 2018-12-20 102.00 92.83 103.58 87.88 53949.62

124106 12 Handan Bond 20.00 2019-12-24 103.00 99.61 105.90 97.00 194459.53

124107 12 Luoyang Urban Investment 12.00 2019-12-31 102.81 98.20 103.50 88.85 69959.38

12410812 Wujiang Economic Development

15.00 2019-12-27 103.26 104.21 104.26 103.26 116858.95

12411013 Nanjing Xin'gang Development

7.00 2020-1-8 102.85 102.50 104.79 100.00 47294.46

124111 12 Changxing Construction 10.00 2019-11-30 102.41 97.00 103.00 92.99 7998.84

124112 13 Henan Shengrun 11.00 2019-1-10 103.00 96.85 105.80 91.50 94332.41

124113 12 Chongqi Publication 4.00 2019-11-23 0.00 100.00 0.00 0.00 2000.00

124114 12 Dafeng Bond 10.00 2019-12-13 102.08 99.50 103.30 98.00 36411.20

124116 12 Chongqing Beifei 10.00 2019-12-25 103.39 98.50 104.97 98.00 66154.94

124117 12 Anqing Urban Investment 18.00 2019-12-31 101.80 101.00 104.00 101.00 189069.41

124118 12 Zhongshan Xingzhong 7.00 2019-12-31 0.00 100.00 0.00 0.00 30490.00

124119 12 Circum-Taihu 12.00 2019-11-28 101.86 101.86 101.86 101.86 34944.79

124120 12 Quanzhuo Taishang 10.00 2019-12-10 0.00 100.00 0.00 0.00 20157.00

Bond Market

2014 Fact Book 192


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124121 12 Panjiang Bond 8.00 2019-12-28 0.00 100.00 0.00 0.00 5000.00

124122 13 Fuzhou Investment 12.00 2020-1-16 102.30 99.00 103.40 94.76 114473.30

12412313 Nanchang Urban Investment

13.00 2020-2-20 101.00 99.00 102.00 96.80 44898.19

124124 12 Shuangyashan 10.00 2019-12-25 100.00 102.00 110.00 100.00 2004.09

12412513 Wenzhou Economy Development

10.00 2020-1-15 99.90 107.00 107.00 99.90 139051.11

124126 12 Liuzhou Urban Investment 15.00 2022-12-31 101.75 103.99 105.00 96.20 92741.00

12412712 Huangyan District State-owned Assets

10.00 2018-12-17 102.85 103.50 103.50 100.00 92457.41

12412812 Xiaoshan Economic Development

14.00 2018-12-26 101.30 99.00 101.70 99.00 44540.65

12412912 Quanzhou Quangang Petrochemical Industrial Park Construction

10.00 2019-4-16 0.00 100.00 0.00 0.00 0.00

124130 13 Shaanxi Dongling 7.00 2023-1-15 101.18 91.45 104.00 90.34 132448.76

124131 13 Anshun State-owned Assets 8.00 2020-1-10 102.00 103.00 103.00 102.00 55424.21

124132 13 Gongyi Bond 10.00 2020-1-18 102.20 101.88 102.20 97.50 76342.66

124133 12 Ningxia Baofeng Energy 4.00 2019-11-19 100.65 93.00 104.00 91.10 1069.44

12413413 Quanzhou Urban Investment

17.00 2020-1-11 0.00 100.00 0.00 0.00 102853.00

12413513 Yunnan Expressway Development and Investment

20.00 2019-1-11 100.90 98.00 108.00 97.50 79968.54

124136 13 Taicang Urban Investment 16.00 2020-1-11 101.76 97.99 105.00 96.88 27283.56

12413713 Ganzhou Development Investment

15.00 2020-1-18 101.00 98.00 101.99 98.00 86253.78

12413812 Changsha Urban Construction Investment

18.00 2019-4-24 102.80 98.50 105.80 95.80 45123.20

124139 13 Nantong Gangzha 12.00 2020-1-9 0.00 100.00 0.00 0.00 99284.00

12414013 Cangzhou Urban ConstructionInvestment

12.00 2020-1-23 100.65 106.00 106.00 100.65 115212.21

124141 13 Zhejiang Geely 12.00 2020-1-24 0.00 100.00 0.00 0.00 130100.40

Bond Market

2014 Fact Book 193


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124142 13 Chongqing Three Gorges 10.00 2019-1-23 101.23 99.50 101.24 99.50 2026.29

124143 13 Taishan Investment 18.00 2020-1-25 102.40 102.00 104.33 102.00 139004.70

124144 13 Chengdu Urban Investment 20.00 2020-1-14 0.00 100.00 0.00 0.00 72274.00

124145 13 Chengdu Xingcheng 20.00 2020-1-28 101.38 101.38 101.38 101.38 15700.14

12414613 Hainan Development Holdings

25.00 2020-1-24 99.80 95.00 101.00 93.50 6084.93

124147 13 Ningbo Eastern Investment 15.00 2020-1-21 102.00 98.00 102.45 90.00 52481.76

124148 13 JinguanBond 10.00 2019-1-28 90.20 99.90 99.90 90.20 119805.17

12414913 Zhenjiang Water Conservancy Investment

14.00 2020-1-30 100.03 100.03 100.03 100.03 40012.00

124150 13 Nanchong Development 20.00 2020-1-28 0.00 100.00 0.00 0.00 0.00

124151 13 Changxing Island 18.00 2020-1-25 100.37 100.30 102.20 100.30 14663.30

124152 13 Nanjing Lukou 16.00 2023-1-29 0.00 100.00 0.00 0.00 0.00

124153 13 State Grid 01 100.00 2020-1-23 0.00 100.00 0.00 0.00 2932.50

124154 13 State Grid 02 100.00 2028-1-23 0.00 100.00 0.00 0.00 0.00

124155 13 Weinan Urban Investment 12.00 2020-1-15 96.00 99.00 99.00 92.00 22459.26

12415613 Chongqing Fuling State-owned Assets

17.00 2020-1-21 92.15 95.94 96.00 91.50 68762.08

124158 13 Xidongxincheng 15.00 2020-1-28 102.98 95.50 102.98 95.33 38715.70

12415913 Shaoxing Urban Village Renovation

12.00 2020-1-24 102.50 95.60 105.30 95.08 91855.61

124160 13 Penglaige Tourism 8.00 2021-1-30 100.88 100.88 100.88 100.88 37874.80

124161 13 Tianrui Group Cement 20.00 2021-2-4 101.70 95.85 105.50 91.81 50635.32

12416213 Jining High and New City Construction

12.00 2020-1-28 100.13 100.13 100.13 100.13 31500.10

12416313 Chengdu Culture and Tourism

5.00 2020-2-19 102.00 97.60 103.30 84.00 46443.48

12416413 Jianhu County Urban Construction Investment

10.00 2020-2-22 100.50 97.35 101.00 95.10 7899.92

Bond Market

2014 Fact Book 194


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12416513 Nanchang Municipal Public Investment

12.00 2020-2-25 100.26 100.25 100.26 100.25 72299.63

12416613 Jiangmen Binjiang Investment

12.00 2020-2-28 101.19 107.00 107.00 101.19 36797.56

124167 13 Yunnan InvestmentBond 12.00 2020-2-1 101.35 95.30 101.35 93.80 9576.44

12416813 Shaoxing County Central City

15.00 2019-2-26 0.00 100.00 0.00 0.00 44638.00

124169 13 Huafeng Bond 8.00 2020-2-26 102.00 98.01 105.00 93.50 150544.45

124170 13 Xiamen Xinglin 5.00 2020-2-22 0.00 100.00 0.00 0.00 10196.00

12417113 Changzhi Urban Construction Investment

13.00 2020-2-26 101.80 97.00 103.20 92.99 33631.74

124172 13 Changde Urban Investment 15.00 2020-2-25 101.00 99.99 103.00 93.50 27020.28

12417313 Shaanxi Non Ferrous Metals

15.00 2019-2-26 100.60 98.00 107.00 88.40 69001.23

124174 13 Jilin Urban Bond 18.00 2020-2-26 103.20 103.20 103.20 103.20 137940.10

124175 13 Xiangtan High-tech 8.00 2020-1-15 101.80 101.19 113.36 95.12 123413.54

124176 13 Wuhan Metro 20.00 2020-2-4 0.00 100.00 0.00 0.00 9540.00

124177 13 Urumqi High-tech 10.00 2020-3-5 0.00 100.00 0.00 0.00 6767.00

12417813Jining District Urban Investment

8.00 2020-3-19 103.00 93.60 103.40 91.00 121901.48

124179 13 Guangzhou Yuexiu 28.00 2020-2-28 0.00 100.00 0.00 0.00 31087.00

12418013 Qijiang District Eastern New City Development

12.00 2020-1-29 101.00 103.00 103.00 101.00 1954.51

12418113 Yuyao Economic Development Zone Construction Investment

10.00 2020-3-4 101.00 98.50 102.50 92.16 40984.28

124182 13 Jinggong Holding Bond 4.50 2018-3-5 103.00 99.98 105.06 92.06 7023.60

124183 13 Tianjin Guangcheng 15.00 2023-2-22 102.00 94.75 105.00 93.20 164221.67

12418413 Beijing Infrastructure Investment

28.00 2023-3-11 0.00 100.00 0.00 0.00 0.00

12418513Haining Assets ManagementBond

15.00 2020-3-6 101.00 101.00 101.00 101.00 10747.30

Bond Market

2014 Fact Book 195


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)



12418813 Zoucheng Urban Assets Management

12.00 2019-3-12 100.30 100.00 100.60 90.20 68033.04

124189 13 Dali Tourism 8.00 2020-3-7 99.34 99.34 99.34 99.34 63178.20

124190 13 Fengxian Nanqiao New City 6.50 2020-3-5 100.00 100.00 100.00 100.00 14652.20

124191 13 Hangzhou Hi-tech 5.00 2020-1-28 0.00 100.00 0.00 0.00 14242.00

12419213 Hanjiang Urban Construction

13.00 2020-3-12 0.00 100.00 0.00 0.00 23144.00

12419313 Wendeng Urban Assets Management

7.00 2020-3-6 100.00 103.00 103.20 97.80 44340.77

124194 13 Binhai 01 20.00 2018-3-13 101.50 101.50 101.50 101.50 5.08

124195 13 Binhai 02 30.00 2020-3-13 0.00 100.00 0.00 0.00 0.00

124196 13 Yantai Urban Construction 20.00 2020-3-14 101.52 96.50 103.10 94.61 118420.86

12419710 Chaoyang State-owned Assets 01

10.00 2016-2-1 100.22 100.22 100.22 100.22 97340.00

12419810 Chaoyang State-owned Assets 02

15.00 2017-2-1 0.00 100.00 0.00 0.00 0.00

124199 13 Taizhou Traffic Bond 8.00 2020-3-11 100.33 100.33 100.33 100.33 9586.60

124200 13 Zigong Hi-tech 10.00 2020-3-13 99.73 102.20 102.30 98.79 59650.62

124201 13 Nanping Expressway 15.00 2020-1-28 101.28 104.00 104.00 101.28 27899.90

124202 13 Pingtan Bond 12.00 2020-3-15 102.00 96.67 105.62 89.68 200629.25

124203 13 Jiujiang Fuhe 9.00 2019-3-19 106.00 106.00 106.00 106.00 98370.11

124204 13 Tianjin Urban Investment 80.00 2023-2-26 0.00 100.00 0.00 0.00 0.00

124205 13 Yuhang Innovation Bond 12.00 2020-3-18 102.00 101.50 102.69 97.00 49111.01

124206 13 Sunriver Bond 6.00 2020-2-26 102.00 92.96 102.09 92.68 59649.71

124207 13 Bayannur UrbanInvestment 18.00 2020-3-15 100.80 92.60 104.56 92.50 202487.40

124208 13 Xi'an Investment Bond 7.00 2023-3-19 106.00 106.00 106.00 106.00 13355.11

Bond Market

2014 Fact Book 196


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124209 13 Sanmenxia 13.00 2020-1-29 0.00 100.00 0.00 0.00 22287.00

124210 13 Rugao InvestmentBond 12.00 2020-2-1 101.71 104.00 104.00 101.71 61094.42

124211 13 Gansu InvestmentBond 8.00 2020-3-6 101.09 100.00 101.09 97.00 16827.30

124212 13 Yiyang High-tech 15.00 2020-3-13 100.50 104.00 104.00 95.65 113581.79

124213 13 Deqing Bond 10.00 2020-2-22 100.45 95.14 104.70 94.69 38060.41

124214 13 Heyuan Urban Investment 10.00 2020-3-19 0.00 100.00 0.00 0.00 0.00

12421513 Jiujiang State-owned Assets

9.00 2020-3-7 101.63 108.00 108.00 101.63 38285.01

124216 12 Xinchazhuang Coal 6.00 2019-12-13 103.34 99.90 110.30 97.00 46591.57

124217 13 Xi'an High-tech 15.00 2019-2-26 0.00 100.00 0.00 0.00 0.00

124218 13 Sanfu Marine 7.00 2019-3-27 104.10 96.49 104.10 90.00 70789.13

12421913 Rongcheng Economic Development

10.00 2020-3-18 100.58 104.00 104.00 100.00 2917.23

12422013 Shanxi Energy and Transport

10.00 2020-3-8 0.00 100.00 0.00 0.00 0.00

124221 13 Wuhan Real Estate 16.00 2019-3-22 100.50 95.00 100.50 95.00 27362.75

124222 13 Beijing Grain 7.00 2019-3-20 0.00 100.00 0.00 0.00 963.00

124223 13 Weishan Lake Mining 8.50 2020-3-13 0.00 100.00 0.00 0.00 29832.00

12422413 Chaoyang State-owned Assets

16.00 2020-3-27 0.00 100.00 0.00 0.00 0.00

124225 13 Alxa Investment 10.00 2020-3-14 101.00 93.95 101.75 91.89 44930.46

124226 13 Minxi Xinghang 12.00 2019-3-26 99.83 101.00 101.00 99.83 46232.36

12422713 Nanjing State-owned Asset 01

35.00 2020-3-6 100.00 99.00 100.00 99.00 3980.00

12422813 Nanjing State-owned Asset 02

30.00 2023-3-6 0.00 100.00 0.00 0.00 0.00

12422913 Jinzhong Public Infrastructure Investment

8.00 2020-3-18 101.60 97.10 102.30 97.10 40099.43

124230 12 Chengdu Xingjin 8.00 2019-11-27 104.00 104.00 104.00 104.00 14379.60

Bond Market

2014 Fact Book 197


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124231 13 Linhai Investment 12.00 2020-3-21 100.64 100.00 100.76 100.00 122534.80

12423213 Jiangsu Haizhouwan Development

10.00 2023-3-29 100.00 108.00 108.00 108.00 39968.51

124234 13 Shenzhen Metro 01 50.00 2023-3-25 0.00 100.00 0.00 0.00 0.00

124235 13 Qinghe Investment 7.00 2020-1-24 99.68 105.00 105.00 99.68 30346.71

12423612 Ma'anshan Economic Development

8.00 2019-12-20 100.64 100.64 100.64 100.64 67241.00

124238 13 Tongliao Investment 16.00 2020-4-9 102.05 101.70 102.05 101.70 49043.50

124239 13 Yinzhou City Investment 6.00 2020-3-18 0.00 100.00 0.00 0.00 11002.00

124240 13 Hefei Industrial Investment 10.00 2020-3-20 0.00 100.00 0.00 0.00 25653.00

124241 13 Yantai Development 8.00 2020-4-10 102.00 95.00 102.00 94.00 30801.65

124242 13 Yingkou Development 9.00 2020-4-8 100.00 91.92 102.00 88.00 82596.42

124243 13 Changzhou Hi-tech 16.00 2020-3-21 0.00 100.00 0.00 0.00 1979.00

12424413 Panyu Communication Investment

11.00 2019-4-12 101.73 101.73 101.73 101.73 27411.60

124245 13 Hangzhou Canal 10.00 2020-4-2 0.00 100.00 0.00 0.00 21345.00

124246 13 Liyang Urban Construction 12.00 2020-3-8 100.20 99.99 100.21 95.85 4944.70

12424713 Shaoxing Communications Investment

15.00 2020-3-4 0.00 100.00 0.00 0.00 0.00

124248 13 Beijing Gehua 6.00 2020-3-21 100.60 104.00 106.00 100.00 15094.26

124249 13 Dashiqiao Urban Investment 15.00 2020-2-21 101.00 102.98 102.98 100.98 36236.11

12425013 Suzhou Construction Investment

15.00 2020-4-17 101.21 100.71 101.21 100.71 43857.90

124251 13 Luxin Investment 10.00 2020-4-17 100.02 95.20 100.02 95.20 9443.89

124252 13 Handan Communications 10.00 2021-4-18 0.00 100.00 0.00 0.00 0.00

124253 13 Xinxiang Investment 9.00 2020-4-15 98.20 98.20 98.21 98.15 7730.86

124254 13 Changshu Development 10.00 2020-4-19 99.99 94.08 100.24 93.80 10520.53

Bond Market

2014 Fact Book 198


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124255 13 Zhejiang Xinchang 12.00 2020-4-24 100.00 100.00 100.00 100.00 800.00

124256 13 Supor 3.00 2020-4-11 100.80 96.97 102.99 90.01 32970.81

124257 13 Hainan Jinhai 12.00 2020-4-15 93.28 93.28 93.28 93.28 1.03

124258 13 Lu'an Mining 01 30.00 2023-4-25 100.49 103.00 103.00 100.49 221.59

124259 13 Lu'an Mining 02 10.00 2023-4-25 100.49 103.00 103.00 100.49 221.59

124260 13 Suining Development 6.00 2020-4-25 99.90 94.56 99.90 90.00 7786.01

124261 13 Anshan Urban Investment 20.00 2020-4-25 96.60 96.10 100.00 94.95 37076.52

124262 13 Chuxiong Investment 20.00 2020-3-29 101.11 99.26 102.51 98.50 129133.39

12426313 Lincang City State-Owned Assets

5.00 2020-4-11 101.90 102.54 102.80 98.40 156206.96

124264 13 Jinjiang Urban Investment 16.00 2020-4-26 0.00 100.00 0.00 0.00 37033.20

124265 13 Honghe Road 5.00 2020-5-6 100.00 98.34 101.00 89.12 35084.32

124266 13 Harbin Water Investment 15.00 2020-5-6 98.77 96.65 100.00 54.59 24348.33

124267 13 Jintan Investment 10.00 2020-4-26 0.00 100.00 0.00 0.00 10920.40

124268 13 Chongqing Nanfa 18.00 2020-4-27 100.00 100.00 100.00 100.00 32028.00

124269 13 Chongqing Dazu 12.00 2020-4-26 100.90 98.20 100.90 91.00 23242.49

124270 13 Chongqing Wansheng 13.00 2020-4-17 100.00 100.00 100.00 100.00 800.00

124271 13 Jinwaitan 5.00 2020-4-24 98.50 98.50 98.50 98.50 4438.50

124272 13 Suifenhe 10.00 2020-4-28 103.00 98.85 112.00 91.17 134062.93

124273 13 Sunhover Bond 5.00 2020-2-27 101.44 99.90 101.44 95.01 4067.04

124274 13 Anhui Nanxiang 3.00 2019-4-11 101.20 97.19 106.00 91.82 14902.38

124275 13 Longgang Investment 10.00 2019-3-27 100.39 96.50 102.00 96.50 61536.85

124276 13 Tianjin Jinbin Investment 5.50 2020-4-26 97.00 95.28 97.00 95.28 4971.08

Bond Market

2014 Fact Book 199


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124277 13 Dafeng Port 8.00 2020-5-8 103.00 96.00 112.99 90.22 11500.52

124278 13 Chongqing Shuangqiao 10.00 2020-4-26 101.79 101.54 102.79 92.02 91019.33

124279 13 Hailar 8.00 2020-5-14 100.27 93.00 107.00 90.99 5927.66

12428013 Nantong Economic Development

8.00 2020-5-17 0.00 100.00 0.00 0.00 7560.00

124281 13 Shijiazhuang Real Estate 22.00 2020-5-15 99.98 99.98 99.98 99.98 136685.00

124283 13 Wuhan New Harbor 8.00 2020-4-18 100.00 104.00 104.00 100.00 1879.20

124284 13 Hainan Yangpu 8.00 2020-3-11 0.00 100.00 0.00 0.00 5000.00

124285 13 Datong Coal Mine Group 54.00 2028-4-24 100.99 103.00 103.00 100.99 13932.59

124286 13 Hainan Airlines Bond 11.50 2020-4-15 101.39 109.00 109.00 101.39 51282.74

124287 13 Kingtec Bond 5.50 2020-5-23 98.73 100.37 100.37 98.73 26715.70

124288 13 Optics Valley Union 6.00 2019-10-23 0.00 100.00 0.00 0.00 5998.00

124289 13 Lishui City Investment 10.00 2020-5-23 100.20 94.01 101.00 93.12 53059.30

124290 13 Changsha Metro 25.00 2023-4-23 0.00 100.00 0.00 0.00 0.00

124291 13 Yanzhou Urban Investment 10.00 2021-5-28 100.00 92.80 102.00 89.99 31531.52

12429213 Lishui County Urban Construction

10.00 2020-5-29 96.70 93.00 97.00 87.10 27313.34

12429313 Xinjiang Wujiaqu Urban Construction

5.00 2020-5-23 0.00 100.00 0.00 0.00 0.00

124294 13 Jiangsu Huajing 12.00 2020-5-16 97.57 100.00 100.00 97.57 23592.78

124295 13 Nanjing Railway 13.00 2020-6-4 97.37 97.37 97.37 97.37 9715.10

124296 13 Huasheng Jiangquan 6.00 2020-5-31 100.30 95.42 101.99 89.30 26143.52

124297 13 Tongxiang Investment 13.00 2020-5-16 101.00 96.93 101.00 95.00 52038.72

124298 13 Linfen Investment 15.00 2020-5-23 100.00 100.00 100.80 100.00 66136.03

12429913 Xining Economic Development

6.00 2020-6-4 100.00 101.50 101.50 100.00 16003.20

Bond Market

2014 Fact Book 200


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124300 13 Yunnan Investment Holding 7.00 2018-5-24 0.00 100.00 0.00 0.00 14655.00

124301 13 Rizhao Port Bond 8.00 2020-6-6 100.00 92.82 100.00 89.00 44565.94

12430212 Guangxi Transportation Investment

20.00 2022-12-11 0.00 100.00 0.00 0.00 0.00

124303 13 Xianning City Rongsheng 15.00 2020-6-5 0.00 100.00 0.00 0.00 43769.80

124304 13 Hechuan Investment 10.00 2020-6-17 100.26 102.48 102.48 90.52 148410.67

12430513 Wafangdian State-owned Assets

15.00 2020-6-20 101.00 93.00 102.50 93.00 74498.15

124306 13 Hubei Sanning 5.00 2019-6-18 100.00 100.00 100.00 100.00 8700.00

12430713 Anqing Economic Development

6.00 2020-6-18 99.99 99.91 99.99 97.85 72217.56

124308 13 Meishan Hongda 16.00 2020-6-19 101.20 99.00 101.30 90.00 136977.63

124309 13 Hongchang Pipeline Gas 7.00 2020-6-20 100.30 92.44 100.60 90.78 54520.53

12431013 Nanchang Water Conservancy

15.00 2020-6-21 101.00 96.45 101.00 96.00 66368.21

12431113 Hongxiang State-owned Assets

16.00 2020-6-19 100.40 94.43 103.00 91.00 21416.09

124312 13 Jingdezhen 12.00 2020-6-25 100.75 101.86 101.86 96.60 75376.40

124313 13 Sujiatun 13.00 2020-6-20 100.80 94.00 100.80 90.96 88928.41

12431413 Guiyang Railway Construction

10.00 2020-6-18 97.10 97.10 97.10 97.10 35156.97

12431513 Wenzhou Communications Investment

10.00 2020-4-22 94.00 94.00 94.00 94.00 1873.40

124316 13 Xinzheng Investment 15.00 2019-6-28 100.50 97.43 100.50 94.50 55346.84

124317 13 Huafa Group 8.00 2019-6-5 99.23 94.31 100.00 94.28 64866.08

124318 13 Binzhou Urban Investment 11.00 2020-7-12 0.00 100.00 0.00 0.00 8918.00

12431913 Changji Prefecture State-owned Assets

15.00 2019-6-3 103.00 95.00 103.00 90.17 103157.46

124321 13 Yueyang Urban Investment 18.00 2020-7-12 0.00 100.00 0.00 0.00 925.00

12432213 Nanchang County Urban Development

12.00 2019-7-17 100.00 94.60 100.00 90.55 73726.79

Bond Market

2014 Fact Book 201


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124323 13 Xintian Pollution Control 15.00 2020-7-17 102.00 96.99 103.00 88.00 65103.88

124324 13 Baiyin Urban 13.00 2020-7-19 100.40 94.88 100.40 90.06 151093.96

124325 13 Beijing Biomedical 6.00 2020-7-23 0.00 100.00 0.00 0.00 987.00

12432613 Zhengzhou Public Housing Construction Investment

7.00 2020-7-17 0.00 100.00 0.00 0.00 3939.00


12432912 Hui'an County State-owned Assets Investment

8.00 2019-10-15 103.23 106.45 106.45 103.23 3980.21

124330 13 Longyan Industry and Trade 8.00 2021-3-11 0.00 100.00 0.00 0.00 0.00

124332 13 Xiangtan Zhenxiang 18.00 2020-8-7 100.30 97.00 100.70 90.83 73666.07

12433313 Tongshan Urban Construction

16.00 2020-8-8 0.00 100.00 0.00 0.00 38152.00

12433413 Boertala State-owned Assets Investment

9.00 2020-8-9 100.20 93.88 102.99 92.60 46594.67

12433513 Haidian State-owned Capital

16.00 2020-8-7 100.00 100.00 101.00 97.50 8100.20

124336 13 Chongqing Real Estate 18.00 2020-8-22 100.00 103.00 103.00 98.80 23008.81

12433713 Tonglin Construction Investment

15.00 2020-8-26 0.00 100.00 0.00 0.00 0.00

12433813 Minbei Economic Development

18.00 2020-8-6 100.80 98.94 103.00 93.85 174264.71

12433913 Chongqing Urban Investment

22.00 2020-5-21 0.00 100.00 0.00 0.00 0.00

12434013 Zhangjiagang Free Trade Zone Zhangbao Industrial Bond

11.00 2020-8-23 0.00 100.00 0.00 0.00 3999.20

12434113 Turpan Region State-owned Asset

8.00 2019-8-9 0.00 100.00 0.00 0.00 9887.00

12434213 Qiannan State-owned Capital

15.00 2020-9-4 101.00 97.90 101.00 95.50 186173.19

124343 13 Yangjiang Bond 10.00 2020-9-9 101.00 95.55 101.00 92.42 13541.43

124344 13 Shanghai Nanfang 4.00 2019-9-9 104.00 104.00 104.00 104.00 12000.80

124345 13 Beijing Jingmei Bond 14.00 2020-9-9 0.00 100.00 0.00 0.00 109993.00

Bond Market

2014 Fact Book 202


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12434613 Rushan City State-owned Assets

13.00 2020-9-11 100.00 100.49 100.50 99.99 14236.32

12434713 Shijiazhuang Construction Investment

5.00 2020-9-9 100.00 100.00 100.00 100.00 9455.00

124348 13 Beijing Jingu 6.00 2020-9-6 0.00 100.00 0.00 0.00 11025.30

124349 13 Jiangsu Furudonghai 10.00 2020-9-13 0.00 100.00 0.00 0.00 29609.00

124350 13 Shanxi Coal Transportation 25.00 2023-1-28 100.00 103.00 103.00 100.00 4620.31

124351 13 Kezhou Bond 9.00 2020-9-16 100.10 94.99 100.29 93.00 30969.75

124352 13 Pingliang Bond 10.00 2020-9-17 90.20 105.00 105.00 90.20 5545.31

124353 13 Shangluo 01 10.00 2020-9-9 0.00 100.00 0.00 0.00 13510.00

124354 13 Shangluo 02 5.00 2019-9-9 0.00 100.00 0.00 0.00 30993.00

124355 13 Dawa Urban Investment 13.00 2020-9-17 103.00 100.30 104.80 94.00 29158.63

124356 13 Zhuhai Huihua 15.00 2020-9-17 100.58 96.60 100.77 95.01 3146.51

124357 13 Tianjin Estate Development 7.00 2020-8-6 97.75 97.00 100.00 96.77 10933.09

124358 13 Bengfu Urban Investment 16.00 2020-9-11 0.00 100.00 0.00 0.00 31956.00

124359 13 Sanming Investment 18.00 2020-3-5 0.00 100.00 0.00 0.00 0.00

124360 13 Cheng’a Bond 8.00 2020-9-12 100.01 99.88 100.50 97.00 49011.99

124361 13 Beijing Future Science Park 11.00 2019-9-22 0.00 100.00 0.00 0.00 14854.00

124362 13 Qinzhou Binhai 9.00 2020-8-27 0.00 100.00 0.00 0.00 0.00

12436313 Zhengzhou Development Investment

18.00 2020-9-24 99.36 104.00 104.00 99.00 13100.11

12436413 Yaodu Construction and Development

15.00 2020-9-27 102.00 99.50 102.00 90.49 132007.30

124365 13 Changrun Bond 6.00 2020-9-16 0.00 100.00 0.00 0.00 10001.00

124366 13 HSBC Investment 10.00 2020-10-11 100.29 99.00 100.78 99.00 107001.56

12436713 Wuxi Municipal Development

15.00 2020-10-11 104.30 100.00 110.00 100.00 55864.53

Bond Market

2014 Fact Book 203


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12436813 Zhengzhou Traffic Investment

18.00 2020-10-14 0.00 100.00 0.00 0.00 2837.00

12436913 Wuzhong City Urban Investment

10.00 2020-10-12 101.79 105.23 105.23 101.79 0.31

12437013 Shangyu Hangzhou Bay New District

18.00 2020-10-11 97.50 98.00 104.00 96.50 9209.21

124372 09 Haicang Investment Bond 6.00 2016-4-30 99.62 100.20 100.20 99.62 10951.70

124373 13 Pingtianhu 10.00 2020-10-23 100.40 95.98 100.40 92.50 68320.79

12437413 Tuscaloosa Area State-owned Assets

15.00 2019-10-16 0.00 100.00 0.00 0.00 24254.00

12437513 Hubei Asset Management company of supply and markteting

6.00 2019-10-10 0.00 100.00 0.00 0.00 3000.00

12437613 Chongqing Western Area Modern Logistics

15.00 2020-10-18 97.00 97.00 97.00 97.00 4883.39

124377 13 Chongqing Beicheng 9.00 2020-10-16 100.00 98.67 100.00 98.00 41166.50

124378 13 Xiangtan Jiuhua 18.00 2020-10-15 99.50 99.50 99.50 98.50 18589.50

124379 13 Xuchang Investment 12.00 2020-10-16 100.00 100.20 100.20 100.00 3966.00

124380 13 Caofeidian 20.00 2020-10-15 97.70 97.56 99.50 92.20 9801.59

12438109 Hengyang Urban Construction Investment

15.00 2016-11-16 101.00 101.00 101.00 101.00 0.10

12438210 Yunnan Construction Engineering

8.00 2016-11-19 0.00 100.00 0.00 0.00 0.00

124383 10 New Century Tourist Group 5.00 2016-11-18 0.00 100.00 0.00 0.00 0.00

12438413 Ya’an Development Investment

15.00 2020-9-13 0.00 100.00 0.00 0.00 0.00

124385 13 Longyan City Huijin Assets 11.00 2020-10-18 0.00 100.00 0.00 0.00 19900.00

124386 13 Xinyi Urban Bond 15.00 2020-10-15 99.85 97.23 102.99 97.23 5503.06

12438713Zhanjiang Infrastructure Construction Investment

12.00 2020-10-21 0.00 100.00 0.00 0.00 0.00

12438813 Rencheng Rongxin Development

6.00 2020-10-18 97.50 100.00 100.50 97.50 16034.66

124389 13 Ziyang Water 18.00 2020-10-21 106.00 99.00 106.00 98.50 6089.59

Bond Market

2014 Fact Book 204


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124390 13 Huludao Investment 01 14.00 2020-10-18 101.64 104.16 104.16 101.64 10025.21

124391 13 Huludao Investment 02 4.00 2023-10-18 99.87 99.73 101.00 99.73 8009.00

124392 13 Jingmen Investment 16.00 2020-10-17 99.89 99.50 105.00 99.50 14541.51

124393 13 Dalian Shunxing 12.00 2020-10-18 100.50 96.52 100.50 90.45 57468.92

124394 13 Yongzhou Urban Investment 10.00 2020-10-23 105.00 102.00 105.00 100.00 26078.51

12439513 Shiyan City Infrastructure Investment

16.00 2020-10-11 104.00 104.00 104.00 104.00 37911.08

12439613 Jiangyan Urban Construction Investment Development

8.00 2020-9-3 100.00 93.79 100.00 93.37 19425.74

12439713 Pi County State-owned Assets Investment

10.00 2020-10-15 106.50 107.99 107.99 106.50 16881.32

12439813 Zhuzhou Urban Construction Development

20.00 2020-10-16 105.50 96.45 105.50 90.00 45219.45

124399 13 Chenzhou High-tech 18.00 2020-10-21 100.00 99.50 103.16 99.50 13139.20

124400 13 Chongqing Shuangfu 12.00 2020-10-23 102.40 99.00 102.40 98.00 15492.93

12440113 Hebei Broadcast and Television Information Network

3.00 2021-10-23 0.00 100.00 0.00 0.00 0.00

124402 13 Danyang Investment 01 8.00 2020-10-23 99.83 98.10 99.83 98.00 6098.88

124403 13 Danyang Investment 02 8.00 2019-10-23 0.00 100.00 0.00 0.00 0.00

124404 13 Huaihua Industrial Park 12.00 2020-10-29 106.00 100.00 106.00 98.00 26984.43

12440513 Baoxing Industry and Trade Bond

10.00 2020-10-17 104.00 104.00 104.00 104.00 32539.08

12440613 Jingzhou Economic Technology Development

4.00 2020-12-9 0.00 100.00 0.00 0.00 0.00

124407 13 Taizhou Bond 18.00 2023-10-16 100.00 100.20 100.20 100.00 9995.00

12440813 Nanyang Investment Group Investment

18.00 2020-10-24 98.20 99.50 99.50 98.20 2997.20

12440913 Suqian Urban Construction Investment Investment

10.00 2020-10-29 0.00 100.00 0.00 0.00 0.00

124410 13State Grid 03 50.00 2020-10-23 0.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 205


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


124411 13 State Grid 04 50.00 2028-10-23 0.00 100.00 0.00 0.00 0.00

124412 13 Jinliyuan 10.00 2020-10-28 109.00 99.00 109.00 99.00 0.21

12441313 Shouguang Urban Investment

4.80 2020-10-18 0.00 100.00 0.00 0.00 6888.00

12441513 Hubei Provincial Communications Investment 01

5.00 2023-10-28 0.00 100.00 0.00 0.00 0.00

12441613 Hubei Provincial Communications Investment 02

25.00 2028-10-28 0.00 100.00 0.00 0.00 0.00

124417 13 Jiangmen High-tech 9.50 2020-11-4 109.00 100.00 109.00 100.00 3000.11

12441813 Yongli Industrial Group Bond

5.00 2019-10-29 0.00 100.00 0.00 0.00 0.00

12441913 Ulanqab Investment and Development

20.00 2020-10-31 0.00 100.00 0.00 0.00 0.00

124420 13 Haiyan State-owned Assets 12.00 2020-9-4 0.00 100.00 0.00 0.00 0.00

12442113 Haining Jianshan New District Development

13.00 2020-11-4 0.00 100.00 0.00 0.00 0.00

12442213Shanghai Chenj ia Town Construction Development Bond

8.00 2019-11-6 100.00 99.99 109.00 99.99 3601.14

12442313Yixing Industrial Park for Environmental Science&Technology

10.00 2020-10-18 0.00 100.00 0.00 0.00 0.00

12442413Liuzhou Dongcheng Investment and Development

10.00 2020-10-29 0.00 100.00 0.00 0.00 26000.00

12442513 Shenyang Heping District State-owned Assets Management

13.00 2020-11-5 97.50 97.50 97.50 97.50 46097.14

124426 13 Jiangyin Lingang New City 6.50 2020-11-7 95.60 100.00 100.00 95.60 1.06

12442713Bayannaoer Linhe District Urban Development Bond

10.00 2020-11-13 100.00 100.00 100.00 100.00 2948.10

12442813Guangdong Yueken Investment Bond

13.00 2019-11-15 0.00 100.00 0.00 0.00 0.00

12442913 Tinghu District Public Assets Investment and Management

10.00 2020-11-15 100.00 100.00 100.00 100.00 9479.50

12443113 Pulandian Urban Construction Investment 01

8.00 2020-11-19 105.00 105.00 105.00 105.00 4000.11

12443213Xiangyang Construction Investment Management

15.00 2020-11-11 0.00 100.00 0.00 0.00 8956.00

124433 12 Shanghai Minhang 16.00 2019-10-23 0.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 206


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12443513Handan City Construction and Investment

18.00 2020-11-25 110.00 100.00 110.00 100.00 12117.47

124437 13Tianjin Jinghai 12.00 2020-11-26 105.00 105.00 105.00 105.00 0.11

12443913 Liuan Urban Construction Investment 01

6.00 2020-12-2 0.00 100.00 0.00 0.00 0.00

12444113 Kuche City Construction Investment 01

5.00 2020-12-9 103.00 102.50 103.00 100.00 33551.01

12445113Puyang Urban Construction Investment Investment

5.00 2020-12-11 0.00 100.00 0.00 0.00 0.00

124999 13Wuhan Metro Group Bond 23.00 2018-10-29 100.00 100.00 100.00 100.00 149000.00

125000 12 Suzhou Coating Glass 0.50 2014-6-8 100.00 100.01 100.04 100.00 19001.00

125001 12 Biam New Mateials 0.20 2013-12-11 99.57 99.61 100.00 99.61 1199.00

125002 12 Jiangning Water 2.00 2014-6-11 98.86 100.00 100.00 100.00 15100.00

125003 12 Qianjiang Fourth Bridge 1.00 2014-6-11 99.92 100.00 100.00 100.00 5000.00

125004 12 Xinning Water Supply 1.00 2014-6-12 100.00 100.00 100.38 99.91 16604.00

125005 12 Tongjie Technology 1.00 2015-6-12 96.14 96.47 100.00 96.47 13389.00

12500612 Fundant Advanced Metal Technologies

1.00 2015-6-12 100.01 100.00 100.20 100.00 23611.00

125007 12 Tianfang Sci&Tech 1.00 2015-6-12 100.01 100.00 100.04 99.95 22000.00

125008 12 Xinli Media 1.00 2014-6-18 99.99 100.00 100.00 100.00 7000.00

125009 12 Taizilong 1.00 2015-6-19 100.00 100.00 100.04 99.42 23197.00

125010 12 Dafeng Port 1.00 2013-6-27 100.00 100.00 0.00 0.00 0.00

125011 12 UBC Precision Bearing 0.25 2014-6-29 100.00 100.00 100.00 100.00 1500.00

125012 12 Jintai 01 0.15 2015-7-10 100.00 97.04 97.04 97.04 631.00

125013 12 Jintai 02 0.15 2015-7-10 100.00 100.00 0.00 0.00 0.00

125014 12 Xizi Trust 1.00 2014-7-13 100.00 100.00 0.00 0.00 0.00

125015 12 Tianwai 2.00 2015-7-18 100.00 100.00 100.47 99.45 37300.00

Bond Market

2014 Fact Book 207


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


125016 12 Jiangnan 0.50 2014-7-20 100.16 100.00 100.00 99.34 7493.00

125017 12 Chiway Education 0.50 2014-8-1 100.00 100.00 0.00 0.00 0.00

125018 13 Yuhong Road 2.00 2016-3-18 100.00 100.00 100.02 100.00 15000.00

125019 12 Ningbo Green Energy 2.00 2014-8-10 100.00 99.64 100.00 99.64 52215.00

125020 12 Wujin Broadcasting 2.00 2015-8-15 100.00 98.45 100.15 98.45 10833.00

125021 12 Tongli Tourism 1.00 2014-8-6 100.00 101.00 101.00 99.24 16301.00

125022 12 Wuzhou Transformer 0.80 2015-8-2 99.98 100.00 100.00 99.31 12149.00

125023 12 Yarun 0.30 2014-8-28 100.00 100.00 0.00 0.00 0.00

125024 12 Xingmei 2.00 2015-8-28 100.00 100.00 100.03 100.00 36000.00

125025 12 Caohu Bond 1.50 2014-8-29 100.02 100.02 100.40 99.79 21514.00

125026 12 Kinghawk Pharmaceutical 0.20 2014-9-14 100.00 101.00 101.00 100.00 1202.00

125027 12 Yancheng Construction 2.00 2015-9-21 99.93 98.50 100.04 97.19 47205.00

12502812 Jiangsu T.Y. Environmental Energy 01

1.40 2015-9-27 98.81 100.00 100.00 100.00 17800.00

125029 12 Ruguzhuang 1.00 2015-10-10 100.00 100.03 104.51 98.73 35681.00

125030 12 Xitang Town Tourism 1.00 2015-10-10 100.00 100.02 103.00 100.00 20120.00

125031 12 Caohu 02 0.50 2014-8-29 100.00 99.88 99.88 99.88 499.00

125032 12 Hangzhou E.V. Automobile 2.00 2014-10-15 99.31 100.00 100.00 99.65 30479.00

125033 12 Jinfeng Investment 2.00 2015-10-16 100.00 102.00 102.00 99.98 41317.00

12503412 Dadongwu Group Steel Structure

2.00 2014-10-22 99.72 90.00 100.76 90.00 40830.00

125035 12 Huzhou Shangyue 0.70 2015-10-18 99.71 100.00 100.50 99.05 14176.00

125036 12 Jiangsu Dongsheng Water 0.60 2014-11-6 99.95 100.00 100.53 100.00 11629.00

125037 12 Hua’anda 0.20 2014-11-9 100.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 208


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


125038 12 Beijing Elite 1.00 2015-10-31 99.95 100.00 100.04 98.70 21967.00

125039 12 Shanghai Benteng 1.50 2015-10-19 100.00 100.00 100.50 99.70 13514.00

125040 12 Tianjie 01 0.30 2013-11-5 99.44 100.00 100.02 99.61 7794.00

125041 12 Tianjie 02 0.50 2014-11-5 99.73 99.54 100.00 99.50 8489.00

125042 12Xiaochangjie 0.50 2014-9-24 100.00 100.00 100.00 100.00 7200.00

125043 12 NDT 0.23 2014-5-14 100.00 99.28 99.28 99.28 1291.00

125044 12 Tiwin 02 1.40 2015-11-15 100.00 100.00 100.00 98.50 24729.00

125045 12Hubei Huali Food 0.50 2015-11-14 100.00 100.00 100.03 99.46 9997.00

125046 12Yushan Shanghu 2.00 2015-11-26 100.00 100.00 100.00 98.25 14894.00

125047 12 Golden Spring 0.25 2014-11-16 100.00 100.00 101.00 99.69 4996.00

125048 12 Sufeizuan 1.00 2014-11-26 100.00 100.00 100.10 100.00 40020.00

125049 12 Shajiabang Tourism 0.50 2014-11-29 100.00 100.02 101.70 98.00 40878.00

125050 12 Huangshantou 1.90 2015-10-22 100.00 100.00 100.00 98.61 37122.00

125051 12 Tianjin Kaitai 2.50 2015-12-10 100.00 100.00 100.02 99.72 33989.00

125052 12 Xuzhou Water 1.00 2013-12-11 100.00 100.00 100.81 100.00 38575.00

125053 12 Elysees Ad vision media 0.50 2015-12-10 100.00 100.03 100.03 96.88 2454.00

125054 12 Linjiao LandscapingBond 2.00 2015-12-24 100.00 100.00 100.05 100.00 46602.00

125056 12 Jinniu Electric 0.20 2013-12-25 100.00 100.00 0.00 0.00 0.00


12505812 Zhejiang Geofore Geotechnial Technology

1.00 2014-12-27 100.00 100.00 100.00 100.00 25000.00

12505913 Shanghai Zhonghe Metal Processing Bond

0.30 2015-1-17 100.00 100.00 100.00 100.00 1000.00

125060 12 Zhongchang Marine Bond 1.50 2016-1-22 100.00 95.58 100.00 95.58 44337.00

Bond Market

2014 Fact Book 209


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


125061 12 Suqian Jintian 01 0.50 2016-1-18 100.00 100.50 100.50 99.74 10012.00

125062 13 Jiangning Logistics 2.00 2016-1-23 100.00 100.01 104.51 99.98 34251.00

125063 12 Yizheng Water 2.00 2016-1-17 100.00 102.00 102.00 99.74 31425.00

125064 12 Shanghai Sanhang 1.00 2016-1-28 100.00 100.00 100.00 99.90 8298.00

125065 12 Tianjin Tianlian 0.50 2015-1-29 100.00 100.00 0.00 0.00 0.00

125066 12 Zhejiang Huasite 0.60 2015-1-23 100.00 99.86 100.04 99.86 8796.00

125067 13 Yangzhou Weiheng Bond 1.50 2015-1-21 100.00 100.00 104.51 99.21 25506.00

12506813 Shandong Borun Industrial 01

3.50 2016-1-29 100.00 100.03 102.00 99.48 96666.00

125069 13 Rui’an Water01 1.50 2016-1-28 100.00 102.00 102.00 98.69 9486.00

12507012 Jiangsu Dafeng Harbor Bond

2.00 2015-1-22 100.00 100.00 0.00 0.00 0.00

125071 13 Shandong Best Precision 0.30 2016-1-31 100.00 100.00 100.00 100.00 6900.00

125072 12 Wuhan Nanhua 01 0.50 2015-12-10 100.00 100.00 100.00 100.00 9000.00

125073 12 Jangsu Zaolinwan Industrial 2.00 2016-2-6 100.00 100.00 102.00 99.36 16024.00

125074 12 Zhejiang Vibration Control 0.50 2015-2-4 100.00 100.00 100.00 100.00 4200.00

125075 13 China NT Pharma 3.00 2016-2-1 100.00 100.03 100.03 100.00 49002.00

12507612 Huzhou treasure shell Cashmere Products

2.00 2016-1-31 100.00 100.00 101.11 99.79 44527.00

125077 13 Guangzhou Cable 1.00 2015-2-27 100.00 100.00 0.00 0.00 0.00

125078 12 Jiangsu Dagang 01 2.00 2016-2-26 100.00 100.00 103.00 100.00 19620.00

125079 13 Rayspower 1.00 2015-2-27 100.00 100.00 100.00 100.00 6000.00

125080 13 Jiangsu Suyuan 01 0.50 2015-2-5 100.00 99.79 99.79 99.70 11473.00

125081 12 Jiutai Thermal Bond 2.00 2015-2-27 100.00 100.24 102.00 99.63 39933.00

12508213 Neptune offshore Engineering Development 01

0.15 2015-1-9 100.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 210


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12508312 Zhejiang Pujiang Bailian Chemical

0.80 2016-2-26 100.00 100.00 0.00 0.00 0.00

12508412 Zhejiang Anji Xiuzhu Greening Engeering

2.50 2016-3-7 100.00 96.00 100.84 96.00 48928.00

12508513 Jiangsu Donghai Hongwei Quartz Produc

0.20 2014-3-1 100.00 100.00 0.00 0.00 0.00

125086 13 Jiangsu Tianshan Cemen 0.08 2014-3-1 100.00 100.00 0.00 0.00 0.00

12508713 Lian Yun Gang Tao Sheng Rong

0.13 2014-3-1 100.00 100.00 0.00 0.00 0.00

12508813 Shandong Zhongwen Industry Group

2.00 2016-3-12 100.00 100.03 102.90 99.99 26089.00

12508912 China National Complete Plant Import & Export

0.60 2016-3-22 100.00 100.00 100.00 99.21 4984.00

12509012 Jiangxin Gangqu Pollution Control

1.80 2016-3-25 100.00 100.00 100.00 100.00 11000.00

12509113 BrightGene Bio-Medical Technology

0.60 2016-3-21 100.00 100.00 0.00 0.00 0.00

125092 13 Dawn Communications 2.00 2016-3-26 100.00 100.00 100.00 100.00 10000.00

125093 13 Nantong Chemical 0.63 2016-3-25 100.00 100.00 100.00 99.49 2992.00

125094 13 Tianzheng Infrastructure 2.00 2016-3-21 100.00 100.10 100.10 99.81 15388.00

125095 12 Suqian Jintian 02 0.50 2016-3-12 100.00 100.00 100.12 98.00 5971.00

12509612 Beijing Qingyang Lihua Petrochemical

2.00 2016-4-22 100.00 100.00 0.00 0.00 0.00

125097 13 Anhui McKinnon 2.00 2016-4-22 100.00 100.00 0.00 0.00 0.00

125098 12 Yichang Sanxia Airport 1.00 2015-12-20 100.00 100.00 100.00 100.00 18000.00

12509913 Xuzhou Sentong ho novel Plate

1.80 2016-3-28 100.00 99.43 103.00 99.43 24273.00

12510013 Taizhou Newsummit Biopharma

0.30 2015-3-28 100.00 100.00 0.00 0.00 0.00

125101 13 Shangyu Zhenneng 1.26 2015-4-3 100.00 100.00 0.00 0.00 0.00

125102 13 Yangpu Scientific Innovation 1.20 2016-3-29 100.00 99.83 99.89 99.77 11984.00

12510313 Shanghai Palfin Mobile Control

0.15 2016-3-29 100.00 100.00 100.00 99.78 2997.00

125104 13Jiangsu Suyuan 02 0.50 2015-3-22 100.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 211


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12510513 Shanghai Fuzhan Lighting Technology

0.15 2016-3-29 100.00 100.00 100.00 99.78 2997.00

125106 13 Borun 02 1.50 2016-4-17 100.00 100.00 102.90 98.90 15428.00

125107 13 Dahong Bond 3.00 2016-4-19 100.00 100.00 104.00 98.50 56313.00

125108 13 Songhelou 1.00 2015-4-10 100.00 100.02 100.02 100.00 4000.00

125109 13 Jiangsu Yudi 0.30 2015-4-2 100.00 100.86 100.86 100.86 3026.00

125110 13 Shandong Runfeng 1.50 2016-4-24 100.00 96.00 100.01 96.00 13378.00

125111 13 Weihai Lanxing 1.20 2015-5-8 100.00 100.00 100.00 100.00 6200.00

125112 13 Shandong Tianbao 1.00 2016-5-9 100.00 100.00 100.00 100.00 100.00

12511313 Shan Dong Boruige Bio-Source Products

0.80 2016-4-17 100.00 100.00 0.00 0.00 0.00

125114 12 Inner Mongolia Hengda 2.00 2016-4-18 100.00 102.00 102.00 98.52 17010.00

12511513 Zhongxiang City Hongda Industrial Development

1.00 2015-5-15 100.00 101.09 101.09 101.09 708.00

125116 13 Rugao Transport Services 2.50 2016-4-24 100.00 100.00 100.02 100.00 6500.00

125117 13Zhanwang Pharma 1.00 2016-5-23 100.00 100.00 103.00 99.65 10050.00

12511813 Tianjin Sunrise Science And Trade

2.00 2015-5-23 100.00 100.00 100.00 98.70 4790.00

125119 13 Zhenjiang Tourism 5.00 2015-5-23 100.00 100.00 100.96 98.51 139958.00

125120 13 Guangxi Beibu Gulf 01 1.50 2016-5-23 100.00 100.00 0.00 0.00 0.00

125121 13 Huai’an Logistics 3.00 2016-5-28 100.00 100.03 104.51 99.93 47030.00

125122 13 Zhejiang Tianzihu 2.50 2016-5-28 100.00 104.50 105.00 97.66 34093.00

125123 13 Rui’an Water 02 0.50 2016-5-27 100.00 104.00 104.00 100.00 5040.00

125124 13 CAC 02 0.37 2016-6-3 100.00 100.00 100.00 99.68 1197.00

125125 13 Anhui Huaihe Chemical 0.80 2016-5-30 100.00 100.00 100.02 100.00 3200.00

125126 13 Linyi Pharma 2.00 2016-5-27 100.00 100.00 100.02 99.66 32970.00

Bond Market

2014 Fact Book 212


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


125127 13 Kaidi Electronical Bond 3.00 2016-6-27 100.00 100.00 0.00 0.00 0.00

125128 13 Tianlong Water 0.80 2015-6-19 100.00 100.10 100.10 99.99 3600.00

12512912 Shanghai mechanical & electronical

1.60 2015-6-18 100.00 100.00 0.00 0.00 0.00

125130 13 Beijing Bluesky 0.20 2016-6-19 100.00 100.00 0.00 0.00 0.00

125131 12 Dagang 02 2.00 2016-6-6 100.00 100.00 103.00 99.21 21883.00

125133 13 Wadu 01 0.50 2016-6-28 100.00 100.00 0.00 0.00 0.00

125134 13 Xinsanyin Printing& Dyeing 0.10 2016-6-28 100.00 100.00 100.00 100.00 1000.00

125135 13 Zhenjiang Sopo 0.50 2015-7-10 100.00 103.00 103.00 100.00 4045.00

125136 13 Linyi Pharma02 1.00 2016-7-17 100.00 100.00 0.00 0.00 0.00

125137 13 Shou County Agriculture 01 1.40 2016-8-1 100.00 100.00 103.00 100.00 26090.00

12513813 Nanjing Chemical &Industrial

2.00 2015-7-19 100.00 100.00 0.00 0.00 0.00

12513913 Guangzhou Agricultural Development

2.50 2016-8-12 100.00 100.02 104.00 100.00 50037.00

125140 13 Huangshantou 2.50 2016-8-28 100.00 100.01 100.01 100.00 10000.00

125141 13 Donglin 0.50 2016-8-28 100.00 100.00 0.00 0.00 0.00

125142 13 Chongqing Road 01 1.75 2016-8-29 100.00 100.00 105.03 99.85 50421.00

125143 13 Senhe Gardening 1.00 2015-8-23 100.00 100.00 0.00 0.00 0.00

125144 13 Beiding 01 0.50 2016-9-4 100.00 100.00 0.00 0.00 0.00

125145 13 Wise Welding 0.40 2016-9-5 100.00 100.00 0.00 0.00 0.00

125146 13 Zhejiang Yongli 3.00 2016-9-4 100.00 100.00 0.00 0.00 0.00

125147 13 Bright High Technology 0.94 2016-9-11 100.00 100.00 0.00 0.00 0.00

125148 13 Yaotang 01 0.50 2016-9-17 100.00 100.00 100.00 100.00 7500.00

125149 13 Beiding 02 1.50 2016-10-8 100.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 213


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


125150 13 Shenzhen SME Group 3.50 2015-9-26 100.00 100.00 0.00 0.00 0.00

125151 13 Longxin 5.00 2016-9-10 100.00 100.00 0.00 0.00 0.00

125152 13 Nantong Chenxi Welding 1.00 2016-9-24 100.00 100.00 0.00 0.00 0.00

125153 13 ZhichengBond 0.35 2016-10-31 100.00 100.00 0.00 0.00 0.00

125154 13 Huaiyin Water 01 1.10 2016-10-15 100.00 100.00 0.00 0.00 0.00

125155 13 Rongfeng 01 1.00 2016-10-10 100.00 104.00 104.00 100.00 9780.00

125156 13 Turing Bond 0.05 2014-10-15 100.00 100.00 0.00 0.00 0.00

125158 13 ADG Scaffolding 0.30 2016-10-15 100.00 100.00 0.00 0.00 0.00

125159 13 Wadou 02 0.50 2016-10-18 100.00 100.00 0.00 0.00 0.00

125160 13 Zhenjiang Travel 02 5.00 2016-10-22 100.00 98.77 98.77 98.77 9877.00

125161 13 Chongqing Shengsha 3.00 2016-10-23 100.00 100.00 103.01 100.00 23060.00

125162 13 Rongfeng 02 0.80 2016-10-24 100.00 100.00 0.00 0.00 0.00

125163 13 Yangcheng Bond 3.00 2016-5-29 100.00 100.00 0.00 0.00 0.00


125165 13 Jurong Fudi 01 1.25 2016-10-24 100.00 105.00 105.01 100.00 16240.00

12516613 Hai’an Radio & Television Broadcast Information

1.00 2015-10-30 100.00 100.00 0.00 0.00 0.00

125169 13 Huai’an Soft 01 1.15 2016-11-28 100.00 104.50 104.50 100.00 4090.00

125170 13 Tianjin No.6 Municipal 2.00 2016-11-15 100.00 100.00 0.00 0.00 0.00

125171 13 Gaoxin Bond 2.00 2016-11-14 100.00 100.00 0.00 0.00 0.00

125172 13 Junan Hongrun 1.00 2015-11-6 100.00 100.00 0.00 0.00 0.00

125175 13 Jiangsu Hengrui Medicine 1.50 2016-11-28 100.00 100.00 0.00 0.00 0.00

125176 13 Fujian Sanming Fangzhi 1.00 2016-12-5 100.00 100.00 0.00 0.00 0.00

Bond Market

2014 Fact Book 214


Date of Maturity

Opening (RMB)

Closing (RMB)

High(RMB)

Low(RMB)


126003 07 Yunnan Yuntianhua Bond 10.00 2013-1-29 99.65 99.94 99.98 99.61 23359.74

12600607 Shenzhen Expressway Bond

15.00 2013-10-9 97.50 99.83 99.83 89.53 24406.23

126007 07 Rizhao Bond 8.80 2013-11-27 97.08 99.94 99.95 91.62 19849.79

126008 08 SAIC Motor Bond 63.00 2013-12-19 96.75 99.93 99.96 96.61 466274.94

126009 08 Ganyue Bond 12.00 2014-1-28 96.20 99.59 99.70 93.03 35534.76

126010 08 COSCO Bond 10.50 2014-1-28 96.10 99.56 99.59 89.54 95037.06

126011 08 Sinopec Bond 300.00 2014-2-20 95.96 99.41 99.45 95.90 2720626.09

126013 08 Tsingtao Beer Bond 15.00 2014-4-2 95.10 98.68 99.59 95.10 176227.20

126014 08 GD Power Bond 39.95 2014-5-7 94.80 98.20 98.20 89.03 116352.50

12601508 Kangmei Pharmaceutical Bond

9.00 2014-5-8 94.02 97.94 98.60 94.01 105795.68

126016 08 Bao Steel Bond 100.00 2014-6-19 95.00 97.43 98.00 94.70 666606.57

126017 08 Gezhouba Bond 13.90 2014-6-25 94.00 97.27 98.50 86.51 168532.62

126018 08 Jiangxi CopperBond 68.00 2016-9-22 86.55 87.15 90.14 86.38 794795.28

126019 09 Changhong 30.00 2015-7-30 89.00 90.94 99.02 88.90 301943.07

Bond Market

2014 Fact Book 215

Monthly Bond Repo Turnover in 2013

Month Trading Value (RMB 10,000) Trading Volume (10,000 lots)

01 378820964.10 378820.97

02 284916764.07 284916.82

03 423357718.35 423357.78

04 373290896.85 373290.93

05 518461614.30 518461.62

06 460068043.31 460293.49

07 651780938.50 651785.27

08 625875096.52 625877.00

09 516907102.95 516912.17

10 516669682.50 516669.68

11 640533273.13 640537.20

12 714587216.14 714595.03

Turnover of Government Bond in Each Month of 2013

Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots)

01 716317.86 710.94

02 610653.37 605.82

03 683662.66 677.11

04 759307.10 749.13

05 578586.26 569.49

06 685420.41 677.88

07 787680.26 784.40

08 438496.74 438.92

09 506715.91 508.78

10 413664.76 418.35

11 622403.29 636.01

12 913104.18 926.09

Bond Market

2014 Fact Book 216

Turnover of Bond in Each Month of 2013

Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots)

01 390012690.64 389584.99

02 293643965.75 293228.33

03 436926071.18 436291.51

04 385849224.44 385377.92

05 532078638.49 531448.70

06 471311204.09 471203.62

07 664403567.04 664122.39

08 637755542.28 637638.99

09 532392852.30 531451.46

10 526842392.54 526616.04

11 654433851.03 654373.54

12 732744142.63 732755.57

Bond Market

2014 Fact Book 217

List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2013

Name of Stock Minsheng Bank Tunnel Engineering China Ping An Shen Zhen Gas

Code of Stock 600016 600820 601318 601139

Abbr. for Subscription of CCB Minsheng Bank Tunnel Engineering China Ping An Shen Zhen Gas

Code for Subscription of CCB 733016 733820 783318 783139

Region Beijing Shanghai Guangdong Guangdong

Issuance Scale (RMB 100m) 200.00 26.00 260.00 16.00

Issuance Volume ( 10K lots) 2000 260 2600 160

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 2013/3/15 2013/9/13 2013/11/22 2013/12/13

Maturity (Year) 6 6 6 6

Maturity Date (M/D) 2019/3/15 2019/9/13 2019/11/22 2019/12/13

Listing Code 110023 110024 113005 113006

Abbr. for Listing Minsheng BankConvertible Bond

Tunnel EngineeringConvertible Bond

China Ping AnConvertible Bond

Shen Zhen GasConvertible Bond

Listing Date (L Day) 2013-3-29 2013-9-30 2013-12-9 2013-12-27

(Commencing Date for CCB) 2013-9-16 2014-3-14 2014-5-23 2014-6-14

Initial price for CCB 10.2300 9.7100 41.3300 8.4600

Funds

Funds

2014 Fact Book 221

Funds

Overview of the Fund Market in 2013

In 2013, SSE carried forward the development and innovations of the fund market following the established

development strategies, whose goal was to develop an exchange connecting hundreds of industries and a fund market

of global influence. To realize this goal, SSE adopted measures in six aspects, including expanding product chains,

developing market sectors, recreating liquidity, optimizing operation mechanisms, reorganizing sales channels and

segmenting investor groups.

Breakthroughs in Market Innovation

1. A corresponding setup for Exchange fund was basically established with the launch of five innovative products.

The five innovative products are Money Market ETFs, Subscription-Redemption Money Market Funds, Bond ETFs,

Sector-based ETFs and Gold ETFs. The introduction of Gold ETFs, Subscription-Redemption Money Market Funds and

Bond ETFs enriched the variety of listed funds in the fund market to a large extent. The vertical development of Sector-

based ETFs provided diverse configuration tools for the fund market. In addition, the launch of NASDAQ 100 ETFs and

S&P 500 ETFs realized the internationalization of cross-border ETFs, bringing SSE closer to its goal of developing a fund

market of global influence.

2. Earnings of fund holders were improved remarkably with a newly opened-up market.

The pledge-style repo market for ETFs was launched successfully, injecting new vitality into the fund market. Since its

launch in March, 2013, the pledge-style repo market has been operating smoothly, with its trading volume of repo this

year reaching 54.3 billion RMB, which meets investors’ cash management demands well.

3. Market liquidity was improved obviously through innovating trading mechanisms.

The day trading mechanism for Bond ETFs, Gold ETFs and Money ETFs was in good operation since its launch. Market

making was further promoted and implemented, with 16 security companies, including CITIC Securities Co., Ltd. and

Haitong Securities Co., Ltd., providing market making service for 21 ETFs, such as 300 ETF and 50 ETF.

4. Innovative business models for Exchange traded fund products were established.

The business models for and technology standards of innovative Exchange fund products were set up, whose

achievements won wide social acknowledgement. The business models for products such as Gold ETFs, Bond ETFs,

Money Market ETFs and Subscription-Redemption Money Market Funds were largely adopted by the fund industry. Gold

ETFs, Money Market Funds, Treasury Bond ETFs were awarded with the first, second and third prizes of 2013 Annual

Financial Innovation Award respectively.

Funds

2014 Fact Book 222

List of Innovative Fund Products

Category Code Short Name

Size of Net Value (in 100 million RMB)

Level of Net Value (in RMB)

Daily Turnover Value(in 100 million RMB)

ETF

Money ETF511990 Huabao Tianyi 52.80 100.05 73.35

511880 Yinhua Rili 6.12 103.17 3.46

Bond ETF

511010Treasury Bond ETF

8.91 96.29 2.70

511210Corporate Bond ETF

16.91 98.89 0.01

Gold ETF518800 Guotai Gold 0.41 2.38 0.11

518880 Gold ETF 2.43 2.38 0.10

Cross-border ETF

510900 H share ETF 1.22 0.99 0.00

513100NASDAQ Index ETF

0.59 1.16 0.01

513500 S&P 500 6.43 1.01 Not Listed

Subscription-Redemption Money Funds

519898 Xianjin Bao A 26.34 0.01 5.42

519888 Tianfu Kuaixian 87.40 0.01 29.56

519800 Margin A 6.17 0.01 0.52

519858 Gf Bao A 59.42 0.01 14.87

By the end of 2013

Record Highs in Market Size and Trading Volume

Business innovations injected new vitality into SSE’s fund market, leading to record highs in market size and trading

volume, as showed in the figure below.

By the end of 2013, there were 291 listed funds in SSE, an increase of 104.9% from 2012. Of the 291 funds, 49

funds were ETFs, an increase of 20 or 68.97%, and 7 funds were Subscription-Redemption Money Market Funds,

all newly added in 2013. 224 funds have been listed in SSE Open-end Fund Trading System, an increase of 121 or

117.48% from 2012.

By the end of 2013, the total market value of SSE’s fund market reached 368.7 billion RMB, an increase of 32.67%.

The total market value of ETFs reached 102.6 billion RMB, an increase of 33.2 billion RMB or 47.84% compared to

2012. The total market value of SSE Open-end Fund Trading System reached 220.5 billion RMB, an increase of 36.7

billion RMB or 19.96% compared to 2012.

The total trading volume of SSE’s fund market in 2013 reached 1997.5 billion RMB, an increase of 1679.2 billion RMB

Funds

2014 Fact Book 223

or 527.55% from 2012. The total trading volume of ETFs reached 875.7 billion RMB, an increase of 573.1 billion

RMB or 189.39% from 2012. The total trading volume of newly listed Subscription-Redemption Money Funds reached

1044.3 billion RMB.

Operation Mechanisms’ Optimization and Market Risks’ Prevention

SSE formulated the Management Measures on Safe Operation of Funds to clarify standards for fund operations and

ensure safe fund operations. It also promoted the development of fund information disclosure platform and electronic

office system for all fund business to have a better understanding of relevant demands.

SSE optimized the redemption mechanism of ETF by allowing ETFs to use shares subscribed or bought by investors to

meet the redemption demands of the same day, which effectively prevents redemption failures caused by the shortage

of constituent stocks inventory. It also improved the monitoring index of financing to buy and made announcements to

the public, which corrected the situation in which financing to buy ETF is easy to be suspended and more risks of margin

trading and short selling are prevented.

More Efforts on Market Promotion and Fund Investment Knowledge Dissemination

SSE organized a series of SSE ETF Financial Planner Training to improve trainees’ capabilities in ETF business. Thanks

to these activities, thousands of professional ETF investment consultants have been cultivated, covering more than 330

Quantity Market Value(in 100 million RMB)

Trading Value(in 100 million RMB)

ETF

Stock ETF 42 937 5342

Security ETF 2 26 1332

Gold ETF 2 4 33

Money ETF 2 59 2050

Subtotal 49 1026 8757

Subscription-Redemption Money Market Fund

7 213 10443

ETF Repo 2 —— 543

Closed-end Fund 9 243 232

SSE Open-end Fund Trading System 224 2205 ——

Total 291 3687 19975

By the end of 2013

Overview of SSE’Fund Market

Funds

2014 Fact Book 224

business departments of about 50 members. SSE also worked together with the Media, including Morning Post and

National Business Daily, to set up the column of SSE ETF Investment Class, a long-term media platform which could

effectively disseminate relevant knowledge and promote ETF. SSE published ETF Investment: from Laymen to Masters,

providing practical and reliable references for ETF training, publicity and promotion. By the end of 2013, the number of

SSE ETF holders had grown remarkably by 50% compared to 2012.

Funds

2014 Fact Book 225

Summary of Funds in 2013

Code Short 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)

500002 Taihe Fund 200000 1.377 0.906 0.942 1.275 35.49 188154.67 211908.89

500003 Anxin Fund 200000 1.020 0.894 0.904 1.019 13.22 58904.42 57896.19

500005 Hansheng Fund 200000 1.263 0.980 0.997 1.181 23.12 135630.26 154952.60

500006 Yuyang Fund 200000 0.876 0.795 0.811 0.853 6.09 69417.24 58519.39

500008 Xinghua Fund 200000 0.968 0.877 0.891 0.946 6.89 54513.99 50782.44

500009 Anshun Fund 300000 1.114 0.897 0.916 1.097 20.15 226122.95 231943.46

500011 Jinxin Fund 300000 1.408 0.876 0.900 1.266 41.77 440001.48 511904.18

500015 Hanxing Fund 300000 0.943 0.768 0.815 0.922 13.97 194911.50 171327.62

500018 Xinghe Fund 300000 0.957 0.790 0.830 0.904 9.18 173605.78 154407.23

500038 Tongqian Fund 200000 1.000 0.792 0.859 0.938 9.96 229600.01 208589.54

500056 Kerui Fund 300000 0.950 0.743 0.760 0.906 19.68 281839.13 240155.40

500058 Yinfeng Fund 300000 0.772 0.635 0.675 0.743 10.40 374640.16 266235.58

510010 Governance ETF 354952.44 0.768 0.541 0.686 0.630 -7.49 147947.31 100957.53

510020 Chaoda ETF 49324.80 2.158 1.401 1.945 1.529 -21.35 19077.63 34304.22

510030 Value ETF 36502.87 2.889 1.972 2.543 2.290 -9.34 148500.37 353742.56

510050 50ETF 1274056.68 2.090 1.440 1.880 1.571 -12.40 10459534.69 18129442.51

510060 SOEs ETF 52295.92 1.250 0.899 1.171 1.010 -13.30 30268.44 32735.45

510070Private Enterprises ETF

24612.41 1.257 0.898 0.898 1.124 13.77 27117.28 30842.55

510090 Liability ETF 41358.11 0.998 0.691 0.852 0.791 -9.70 2992.06 2631.95

510110 Cycle ETF 10951.68 2.665 1.792 2.375 2.010 -13.59 6711.74 14922.73

510120 Non-cycle ETF 10949.24 1.974 1.530 1.707 1.816 6.57 5500.72 9815.79

510130 Mid-caps ETF 32068.51 2.490 1.924 2.278 2.335 3.59 41276.73 95383.11

510150 Consumption ETF 41073.16 3.000 2.250 2.400 2.688 12.42 9613.08 24597.53

510160 Well-off ETF 72005.74 0.373 0.269 0.346 0.309 -10.69 197388.80 63616.92

510170 Commodity ETF 26172.87 2.360 1.420 2.224 1.445 -34.62 159423.52 307049.14

510180 180ETF 627055.77 2.020 0.443 0.561 2.019 271.06 9899516.60 5373847.35

510190 Longtou ETF 25765.08 2.495 1.851 2.409 2.035 -12.96 3431.52 7569.96

510210Composite Index ETF

12813.85 2.548 1.908 2.384 2.225 -6.75 2445.01 5619.41

510220Small-medium ETF

2922.92 2.900 2.158 2.350 2.670 11.39 2702.55 6875.94

510230 Finance ETF 41826.16 4.069 2.711 3.430 3.180 -6.11 216162.77 731687.33

Funds

2014 Fact Book 226

Code Short 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)

510260 Emerging ETF 65448.27 0.830 0.615 0.654 0.772 18.04 53423.64 40283.75

510270 SOEs ETF 9183.21 0.830 0.571 0.764 0.648 -15.18 10173.14 7323.96

510280 Growth ETF 33775.44 1.135 0.809 1.000 0.911 -9.17 16905.77 16925.27

510290 380ETF 16644.89 1.022 0.711 0.798 0.916 13.79 32570.80 29313.06

510300 300ETF 621318.77 2.787 2.040 2.554 2.376 -5.86 9299724.23 23080540.28

510310 HS300ETF 101809.58 1.045 0.815 1.017 0.925 0.00 355132.22 343463.00

510330 Huaxia 300 792834.98 2.847 2.046 2.583 2.363 0.00 715505.55 1738177.65

510410 Resource ETF 33125.84 0.948 0.579 0.905 0.588 -34.08 46611.70 35357.20

510420 180EWETF 12745.55 1.083 0.811 1.002 0.970 -3.00 55832.69 56827.47

510430 50Equal Weight 6692.45 1.243 0.857 1.150 0.942 -16.86 35717.59 38702.79

510440 500 Shanghai 3805.83 1.340 0.936 1.023 1.171 14.47 16778.50 18667.66

510450 180 High ETF 32492.07 1.182 1.000 1.005 1.045 0.00 58324.36 60987.49

510500 500ETF 414609.38 1.160 0.838 0.967 1.071 0.00 253718.16 255110.99

510510 Gf 500 10503.83 1.151 0.843 1.051 1.075 0.00 99538.25 105396.28

510610 Resource Industry 23858.69 1.000 0.751 0.967 0.783 0.00 227551.88 195338.38

510620 Material Industry 19496.67 0.994 0.725 0.977 0.842 0.00 90172.62 83431.47

510630Consumption Industry

16959.04 1.247 0.912 1.002 1.076 0.00 215926.60 228392.10

510650 Finance Industry 41795.25 1.069 0.797 1.007 0.916 0.00 513222.99 489574.21

510660Pharmaceutical Industry

71287.97 1.141 0.911 1.014 1.070 0.00 745911.64 791523.62

510680 Wanjia 380 50072.47 1.007 0.927 0.981 0.959 0.00 35916.04 35340.77

510700 Top100 ETF 6821.37 1.875 1.462 1.869 1.686 0.00 46394.58 82743.20

510880 Dividend ETF 67717.57 2.200 1.524 1.902 1.741 -8.37 132648.14 250175.11

510900 H share ETF 14902.19 1.128 0.807 1.090 0.987 -6.80 33993.91 34389.38

511010Treasury Bond ETF

1380.63 100.680 95.110 99.500 96.278 0.00 133386.38 13141481.63

511210Corporate Bond ETF

2056.90 99.590 91.000 98.400 98.244 0.00 1799.06 177734.66

511880 Yinhua Rili 203.20 103.960 100.001 100.152 103.173 0.00 12411.69 1267566.87

511990 Huabao Tianyi 2114.85 100.098 90.010 100.003 100.046 0.00 192359.36 19236573.40

512010Pharmaceuticla ETF

52117.37 0.970 0.840 0.970 0.956 0.00 30190.97 28557.97

513100NASDAQ Index ETF

5062.21 1.187 0.930 0.990 1.163 0.00 42461.78 43703.82

518800 Guotai Gold 1661.99 2.925 2.343 2.630 2.378 0.00 18861.06 47581.04

518880 Gold ETF 13774.08 2.837 2.342 2.633 2.376 0.00 108364.88 282512.23

Members

Members

2014 Fact Book 229

Members and Non-member Institutions

Overview of Members

By the end of 2013, SSE had 111 members, the same as that in 2012, 5970 member business departments, 684

more than that in 2012, and 5363 trading seats held by both member and non-member institutions. 9417 trading units

were opened, an increase of 1039 from 2012.

Registered capital

36 members had registered capital of less than 1 billion RMB, 33 members had registered capital of between 1

billion and 2 billion RMB, 19 members had registered capital of between 2 billion and 3 billion RMB, 9 members had

registered capital of between 3 billion and 5 billion RMB and 14 members over 5 billion RMB.

Listing

19 members are listed, 11 of them on 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 of SSE. As of the end of 2013, there were 87 such

fund management companies, 30 insurance companies, 12 insurance capital management companies, and 16 listed

commercial banks.

Member's Required Qualifications

a. a securities firm possessed with a legal position that is approved by CSRC to be established by law;

b. enjoy high creditability and outstanding business performance;

c. organization framework and business executives qualified by CSRC and the Exchange and the firm's precaution

measures against technical risks that meet the requirements of the Exchange;

d. accept the constitution and business rules of the Exchange and pay member's fee, seat fees and other fees as

required;

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

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

Members

2014 Fact Book 230

may set, adjust and limit the portfolio, means and scale of trading conducted by members.

Overview of the Operation

In 2013, SSE focused on the innovative development of member business, the establishment of innovative monitoring

mechanism of business risks, the improvement of service for members and the enhancement of members’ self-

regulation. Details includes: First, SSE launched the business of pledge-style repo of stock and pilot programs of

securities refinancing, continued to expand the coverage of securities margin trading and the range of underlying

securities, and supported institutions from different industries to participate in its innovative business and self innovation.

Second, SSE paid due attention to the risk control of innovative business, kept improving the effectiveness of its

supervision, and compiled risk monitoring reports for margin trading and short selling and pledge-style repo of stocks in

order to strike a balance between business innovations and compliance and risk control. Third, SSE made great efforts

to improve its comprehensive service capacity. To actually help its members improve their operation, innovation and risk

control, SSE collected and analyzed their opinions and suggestions in categories and gave feedback in time. Fourth, SSE

strengthened the members’ self-regulation with a focus on risk caution board, key account management, securities and

other non-stock trade categories and innovative business.

Members

2014 Fact Book 231

Geographical Distribution of SSE Members and Their Business Branches in 2013

Region NumberOf Members

Numberof Business Branches

Turnover Value(RMB 1 million)

Percentage(%)

Anhui 2 165 1324331.66 0.81

Beijing 19 287 25605766.90 15.58

Fujian 3 256 5700673.69 3.47

Gansu 1 66 352454.54 0.21

Guangdong 22 769 33206594.49 20.20

Guangxi 1 101 1458286.67 0.89

Guizhou 1 54 446443.72 0.27

Hainan 2 40 691703.94 0.42

Hebei 1 175 1176041.88 0.72

Henan 1 170 1447470.63 0.88

Heilongjiang 1 122 2423927.01 1.47

Hubei 2 204 3907837.07 2.38

Hunan 3 209 1986432.79 1.21

Jilin 2 104 831640.02 0.51

Jiangsu 6 445 9044901.93 5.50

Jiangxi 2 124 2183701.48 1.33

Liaoning 3 228 3009701.56 1.83

Inner Mongolia 2 66 662623.30 0.40

Ningxia 0 24 87316.47 0.05

Qinghai 1 16 63523.60 0.04

Shandong 2 315 3816818.25 2.32

Shanxi 2 130 790809.87 0.48

Shaanxi 3 140 1237054.88 0.75

Shanghai 16 501 44329096.22 26.97

Sichuan 4 242 3657529.71 2.23

Tianjin 1 108 1863059.81 1.13

Tibet 1 6 19393.19 0.01

Xinjiang 1 62 688762.83 0.42

Yunnan 2 101 1282929.78 0.78

Zhejiang 3 436 9635176.21 5.86

Chongqing 1 119 1431094.69 0.87

Members

2014 Fact Book 232

Membership (1990-2013)

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

2013 111

Members

2014 Fact Book 233

Top 50 Members by Turnover in 2013

Rank Name Total 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. 10950838.26 2345146.09 14978.90 7109673.60

2 Citic Securities Co., Ltd. 9844697.83 1720917.40 18673.69 7639098.50

3 Haitong Securities Co., Ltd. 9668753.91 2202496.45 31842.97 6274785.20

4 Guosen Securities Co., Ltd. 8708142.32 1697661.40 3545.16 5705767.10

5 Shenyin & Wanguo Securities Co. Ltd. 8493466.55 2074285.96 3882.96 6164012.70

6 China Galaxy Securities Co., Ltd. 7980344.65 2356058.60 2196.26 4697151.80

7 China Securities Co., Ltd. 7377223.15 1558116.83 5148.69 4648760.80

8 Huatai Securities Co., Ltd. 7165854.05 2695637.00 1204.38 4141910.70

9 China Merchants Securities Co., Ltd. 6721023.74 1951610.53 5821.10 4590813.70

10 Gf Securities Co., Ltd. 6322683.28 1779443.91 3101.87 3936550.10

11 China International Capital Co., Ltd. 4902563.61 415547.46 12536.14 4256583.70

12 Orient Securities Co., Ltd. 3737871.58 695023.21 2650.15 2893806.10

13 Everbright Securities Co., Ltd. 3705037.78 1422995.73 729.50 2067764.40

14 Changjiang Securities Co., Ltd. 3518081.01 772030.80 825.89 2643467.70

15 Orient Securities Co., Ltd. 3419406.41 544183.40 3943.12 2726874.60

16 Essence Securities Co., Ltd. 3296356.97 1022073.12 1073.79 2205009.30

17 Industrial Securities Co., Ltd. 3078414.06 756886.93 1162.24 2241421.70

18 Shandong Qilu Securities Co., Ltd. 2515780.84 1046797.23 1000.18 1309075.70

19 Beijing Gaohua Securities Co., Ltd. 2402644.07 145371.25 1146.38 2244998.20

20 China Investment Securities Co., Ltd. 2348724.78 1060828.50 741.67 1245178.70

21 Hong Yuan Securities Co., Ltd. 2108265.40 663235.39 324.03 1387130.40

22 CITIC-Kington Securities Co., Ltd. 1806740.10 901940.16 41.92 831262.80

23 Founder Securities Co., Ltd. 1766228.79 821698.03 225.98 696717.20

24 Guangzhou Securities Co., Ltd. 1504522.18 179703.23 167.01 1252253.80

25 Sinolink Securities Co., Ltd. 1369949.77 312691.79 470.19 1031878.10

Members

2014 Fact Book 234

Rank Name Total Turnover(RMB 1 million)

Equity (RMB 1 million)

T-bond Spot (RMB 1 million)

T-bond Repo (RMB 1 million)

26 Southwest Securities Co., Ltd. 1323901.16 354398.64 1110.25 928852.70

27 Great Wall Securities Co., Ltd. 1304881.83 369883.21 810.19 908596.80

28 BOC International (China) Ltd. 1298930.86 401754.03 2089.45 837129.10

29 Soochow Securities Co., Ltd. 1284015.91 403713.04 208.86 693864.20

30 Shanghai Securities Co., Ltd. 1261089.98 376755.80 374.70 830520.10

31 Bohai Securities Co., Ltd. 1145422.83 245346.86 232.06 872633.80

32 Guoyuan Securities Co., Ltd. 1142113.98 514947.28 317.88 572368.90

33 Xiangcai Securities Co., Ltd. 1111703.04 330879.12 211.95 721419.40

34 Caitong Securities Brokerage Co., Ltd. 1094686.06 493234.47 1403.45 564685.10

35 Dongxing Securities Co., Ltd. 1011255.67 494110.74 183.80 484764.50

36 Minsheng Securities Co., Ltd. 970445.94 287717.16 440.91 653429.80

37 Guolian Securities Co., Ltd. 915313.75 247274.39 31.38 653721.10

38 West China Securities Co., Ltd. 899598.00 459685.39 109.75 425008.40

39 Northeast Securities Co ., Ltd. 866231.67 317477.26 161.32 533985.80

40 First Capital Securities Co., Ltd. 831471.87 122159.66 200.16 669332.70

41 Cinda Securities Co., Ltd. 829481.70 387615.01 178.39 426867.80

42 Zhejiang Merchants Securities Co., Ltd. 828001.81 489390.04 13.98 328962.50

43 Yingda Securities Co., Ltd. 818461.06 152672.65 573.87 648649.60

44 GF Huafu Securities Co., Ltd. 753140.70 340508.27 317.63 401994.40

45 Hongta Securities Co., Ltd. 721318.60 90862.43 172.23 622270.80

46 Daton Securities Co., Ltd. 692951.38 153833.47 39.04 528851.50

47 Sealand Securities Co., Ltd. 690575.76 286312.32 177.42 389173.90

48 Dongguan Securities Co., Ltd. 679289.60 280084.84 176.11 361444.00

49 China Minzu Securities Co., Ltd. 657278.91 299416.37 59.25 351531.50

50 Hengtai Securities Co., Ltd. 636999.13 179185.30 11.73 435271.40

Members

2014 Fact Book 235

Top 50 Members by Registered Capital in 2013

Rank Name Registered Capital (RMB10,000)

1 Citic Securities Co., Ltd. 1111690

2 Haitong Securities Co., Ltd. 958472

3 China Securities Finance Co., Ltd 750000

4 China Development Bank Securities Co., Ltd 737000

5 Guosen Securities Co., Ltd. 700000

5 Shenyin & Wanguo Securities Co. Ltd. 671576

7 Founder Securities Co., Ltd. 610000

8 Guotai Junan Securities Co., Ltd. 610000

9 China Securities Co., Ltd. 610000

10 China Galaxy Securities Co., Ltd. 600000

11 Gf Securities Co., Ltd. 591929

12 Huatai Securities Co., Ltd. 560000

13 Ping An Securities Co., Ltd. 550000

14 Shandong Qilu Securities Co., Ltd. 521224

15 China Jianyin Investment Securities Co., Ltd 500000

16 China Merchants Securities Co., Ltd. 466109

17 China Minzu Securities Co., Ltd. 448655

18 Orient Securities Co., Ltd. 428174

19 Bohai Securities Co., Ltd. 403719

20 Everbright Securities Co., Ltd. 341800

21 Essence Securities Co., Ltd. 319999

22 Xiangcai Securities Co., Ltd. 319725

23 Huarong Securities Co., Ltd. 317754

24 Goldstate Securities Co., Ltd. 317434

25 Zhejiang Merchants Securities Co., Ltd. 300000

26 Huaan Securities Co., Ltd. 282100

Members

2014 Fact Book 236

Rank Name Registered Capital (RMB10,000)

27 Guodu Securities Co., Ltd. 262298

28 Shanghai Securities Co., Ltd. 261000

29 Cinda Securities Co., Ltd. 256870

30 Shanxi Securities Co., Ltd. 239980

30 Changjiang Securities Co., Ltd. 237123

32 Southwest Securities Co., Ltd. 232255

33 Daton Securities Co.,Ltd. 220000

34 Yingda Securities Co.,Ltd. 220000

35 Industrial Securities Co., Ltd. 220000

36 Hengtai Securities Co., Ltd. 219470

37 Minsheng Securities Co., Ltd 217731

38 China Dragon Securities Co., Ltd. 215339

39 Fortune Securities Co., Ltd. 213573

40 Great Wall Securities Co., Ltd. 206700

41 Hongta Securities Co., Ltd. 205765

42 Central China Securities Co., Ltd. 203352

43 Dongxing Securities Co., Ltd 200400

44 Soochow Securities Co., Ltd. 200000

45 Wanlian Securities Co., Ltd. 200000

45 Hong Yuan Securities Co., Ltd. 198620

45 Avic Securities Co., Ltd. 198522

45 Guangzhou Securities Co., Ltd. 197776

45 First Capital Securities Co., Ltd 197000

50 Guoyuan Securities Co., Ltd 196410

Members

2014 Fact Book 237

Top Lead Underwriters of IPOs in 2013 (by Number of Deals Underwritten)

Rank Sequence Number of Lead Underwriter

Name ofLead Underwriter

Numberof Deals Underwritten

1 66 China International Capital Corporation Ltd. 1

Top Lead Underwriters of Rights Issues in 2013 (by Value of Fund Raised)

Rank Sequence Number of Lead Underwriter

Name ofLead Underwriter Value Underwritten

1 66 Citic Securities Co., Ltd. 0

Members

2014 Fact Book 238

Top 20 in Turnover Value of Margin Trading and Short Selling 2013

Rank Name Value of Buying on Margin(RMB 10,000)

Value of Short Sale(RMB 10,000)

Total(RMB 10,000)

1 Huatai Securities Co., Ltd. 27255969.89 12096288.99 39352258.88

2 Guotai Junan Securities Co., Ltd. 27663143.25 5560112.76 33223256.01

3 Haitong Securities Co., Ltd. 14950478.31 9520185.80 24470664.11

4 Gf Securities Co., Ltd. 17589687.96 3106583.43 20696271.39

5 China Galaxy Securities Co., Ltd. 18076826.37 1996822.49 20073648.86

6 Shenyin & Wanguo Securities Co. Ltd. 18348772.73 993284.11 19342056.84

7 China Merchants Securities Co., Ltd. 14138267.66 5010415.77 19148683.43

8 CITIC Securities Co., Ltd. 8896353.99 9583207.67 18479561.66

9 China Securities Co., Ltd. 12200534.71 1904279.92 14104814.63

10 Guosen Securities Co., Ltd. 12018946.31 1735252.91 13754199.22

11 Everbright Securities Co., Ltd. 10335108.84 2757359.37 13092468.21

12 Shandong Qilu Securities Co., Ltd. 9107663.82 875434.61 9983098.43

13 China Investment Securities Co., Ltd. 9045967.52 214201.83 9260169.35

14 Essence Securities Co., Ltd. 7718602.00 463737.86 8182339.86

15 Founder Securities Co., Ltd. 7584223.80 505599.00 8089822.80

16 Hong Yuan Securities Co., Ltd. 6660963.86 508076.39 7169040.25

17 Guoyuan Securities Co., Ltd. 6595054.84 573005.62 7168060.46

18 Changjiang Securities Co., Ltd. 4871619.52 325474.32 5197093.84

19 CITIC SECURITIES(ZHEJIANG)Co., Ltd. 4210433.50 33300.36 4243733.86

20 Huaxi Securities Co., Ltd. 3795525.37 31066.61 3826591.98

Members

2014 Fact Book 239

Top 20 in Amount Outstanding of Margin Trading and Short Selling 2013

Rank NameValue of Buying on Margin(RMB 10,000)

Value of Short Sale(RMB 10,000)

Total(RMB 10,000)

1 Guotai Junan Securities Co., Ltd. 1630786.33 23660.05 1654446.38

2 CITIC Securities Co., Ltd. 1629376.20 24011.36 1653387.56

3 Haitong Securities Co., Ltd. 1468096.66 22457.25 1490553.91

4 Gf Securities Co., Ltd. 1306732.71 14723.32 1321456.02

5 China Merchants Securities Co., Ltd. 1286209.14 19919.51 1306128.66

6 Huatai Securities Co., Ltd. 1249417.11 17342.65 1266759.77

7 China Galaxy Securities Co., Ltd. 1191466.17 9361.62 1200827.80

8 Guosen Securities Co., Ltd. 1023039.62 9785.14 1032824.76

9 Shenyin & Wanguo Securities Co. Ltd. 1006513.69 3740.15 1010253.84

10 China Securities Co., Ltd. 976593.00 9457.36 986050.36

11 Everbright Securities Co., Ltd. 793211.11 12553.49 805764.60

12 Essence Securities Co., Ltd. 577079.34 3847.67 580927.01

13 CITIC SECURITIES(ZHEJIANG)Co., Ltd. 517085.80 0.00 517085.80

14 Founder Securities Co., Ltd. 487030.66 2412.51 489443.16

15 Shandong Qilu Securities Co., Ltd 464458.71 6095.59 470554.30

16 China Investment Securities Co., Ltd. 462636.23 1626.32 464262.55

17 Hong Yuan Securities Co., Ltd. 386219.24 1303.70 387522.94

18 Changjiang Securities Co., Ltd. 363420.66 1706.11 365126.76

19 Industrial Securities Co., Ltd. 282934.27 423.99 283358.26

20 Guoyuan Securities Co., Ltd. 269705.89 1018.75 270724.64

Members

2014 Fact Book 240

Number of Trading Accounts with SSE 1991-2013

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

2013 11444

Members

2014 Fact Book 241

Segmentation of B-share Investors by Jurisdiction

Region Number of Trading Accounts

Percentage in Total Accounts (%)

New Trading Accounts in 2011

Percentage in Total New Accounts (%)

China (Mainland) 1358426 87.22 8018 87.51

United States 15302 0.98 433 4.73

Hong Kong SAR, China 17253 1.11 97 1.06

Canada 3807 0.24 72 0.79

Australia 3315 0.21 48 0.52

United Kingdom 2435 0.16 45 0.49

Taiwan 8771 0.56 35 0.38

Korea 1816 0.12 32 0.35

Japan 4599 0.30 30 0.33

Singapore 1960 0.13 25 0.27

China (Overseas) 125936 8.09 18 0.20

Germany 736 0.05 14 0.15

Holland 426 0.03 13 0.14

Macao SAR, China 813 0.05 9 0.10

France 647 0.04 6 0.07

Other 11292 0.72 267 2.91

Total 1557534 100.00 9162 100.00

Historical Statistics


2014 Fact Book 245


Earlier Share Turnover Value, 1991-2013

Year

Annual Turnover Value (RMB 100 million)

Number 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 230266.027 238 967.504 112.26 1965.946 20130911 524.080 20130709


2014 Fact Book 246

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


2014 Fact Book 247

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


2014 Fact Book 248

Listed Shares on SSE, 1990-2013

Year Numberof 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 953 2786 2515.72 25751.69 151165.27


2014 Fact Book 249

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 -6.613 2013-6-24 1525.166


2014 Fact Book 250

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


2014 Fact Book 251

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


2014 Fact Book 252

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


2014 Fact Book 253

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


2014 Fact Book 254

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


2014 Fact Book 255

World Securities Markets

Statistics of Stock Exchanges Around the World (by the end of December 2013)

Exchange Year-end Index

Number of Listed Companies Market Cap

(US$ million)Turnover (US$ million)

Local Foreign

NYSE 10400.33 (NYSE Composite Index) 1852 519 17949883.8 13700450.5

NASDAQ 4176.59 (Nasdaq Composite Index) 2328 309 6084969.7 9584742.2

TMX 13621.55 (S&P/TSX Composite Index) 3810 76 2113821.8 1371477.7

LSE 6749.09 (FTSE 100 Index) 2164 572 4428975.3 3050891.5

Euronext 3262.93 (SBF250) 935 127 3583899.7 1661878.3

Deutsche Börse AG 466.53 (CDAX) 639 81 1936106.3 1334544.9

ASX 5353.08 ( All Ordinaries) 1951 104 1365958.1 881555.6

Tokyo Stock Exchange 1302.29 (TOPIX) 3408 11 4543169.1 6304927.5

SGX 3167.43 (Straits Times Index) 479 297 744413.2 280926

Korea Exchange 2011.34 (KOSPI Composite Index) 1798 15 1234548.5 1284599.3

Bursa Malaysia 12853.63(FBM Emas) 900 10 500387.4 147872.8

National Stock Exchange of India

4914.85(S&P CNX 500 Index) 1678 1 1112952.3 478958.7

Stock Exchange of Thailand 1298.71 (SET Index) 585 N/A 354339.7 376024.4

HKEx 28109.1 (S&P/HKEx LargeCap Index) 1553 90 3100777.2 1323373.3

Taiwan Stock Exchange 8611.51 (TAIEX) 802 64 822707.4 623950.4

Source: http://www.world-exchanges.org

2014 Fact Book 256

Major Publications

“SSE Annual Statistics (2013)”, Shanghai Sanlian Bookstore,2013.

“Securities Law Review (published semi-annually)”, Law Press·China,2013.

“Corporate Governance Report (2013)”, Shanghai People’s Publishing House, 2013.

“Shanghai Stock Exchange Joint Research Report (2012)”, Shanghai People's Publishing House, 2012.

“Rules and Regulations of the Securities and Exchange Commission”, Law Press·China,2013.

Major Publications

2014 Fact Book 257

Registered Trademarks of Shanghai Stock Exchange

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中证

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SSE

SSEINDEX

上海证交所 CNINDEX

上交所 180 指数

上证所 ETFs

UCI CSI

GCI 易神

YISHEN

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