fact book 2012 - english.sse.com.cn

Fact Book 2012

2012 Fact Book III

2012 Fact Book III

Contents

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

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

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

2011 Market Review ....................................................................5

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

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

Introduction of New Products ........................................................................................................................6

Pledge-style Bond Repo ...............................................................................................................................6

Securities Repo ...........................................................................................................................................6

Major Events in the Securities Market 2011 ....................................................................................................7

Market Highlights ........................................................................................................................................10

Transactions ...............................................................................................................................................10

Stock Indices .............................................................................................................................................11

Ratios .......................................................................................................................................................11

Stock market: .............................................................................15

Trading system ...........................................................................................................................................15

Trading relations ........................................................................................................................................15

Table 1: Breakdown of Centralized Trading Business ........................................................................................16

Table 2: Breakdown of Trading-related Services ..............................................................................................18

Table of Fees Charged and Taxes Withheld by SSE ..........................................................................................21

2011 Monthly Trading Volume, Trading Value and P/E Ratio ..............................................................................27

Top 20 Most Traded Stocks by Turnover Volume .............................................................................................28

Top 20 Most Traded Stocks by Trading Value ..................................................................................................29

Top 20 Gainers ..........................................................................................................................................30

Top 20 Losers ...........................................................................................................................................31

2011 Top 10 in Margin Trading ....................................................................................................................32

2011 Top 10 in Short Selling ......................................................................................................................32

SSE Index Series uses “point” as the unit of calculation .....................................................................................33

Number of Constituents in SSE Indices ..........................................................................................................36

Market Cap and Weight of Constituent Stocks in SSE 50 Index..........................................................................37

Market Cap and Weight of Constituent Stocks in SSE 180 Index........................................................................39

Market Cap and Weight of Constituent Stocks in SSE 380 Index........................................................................45

Listed Companies .....................................................................67

Issuance Conditions for IPOs .......................................................................................................................67

2012 Fact Book IV 2012 Fact Book V

Listing Conditions for IPOs ...........................................................................................................................71

SSE Guide to Securities Listing Procedures ...................................................................................................71

Documents to Be Submitted When Applying for an IPO and Listing ...................................................................74

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

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

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

Special Treatment .......................................................................................................................................77

Suspension and Termination of Listing ...........................................................................................................78

Listing Agreements ....................................................................................................................................80

Listing Conditions for Convertible Corporate Bonds .........................................................................................80

Listing Conditions for Warrants .....................................................................................................................80

Number and Sector Distribution of Listed Companies .......................................................................................81

Geographical Distribution of Listed Companies ................................................................................................82

Newly Listed Stocks in 2011........................................................................................................................83

Newly Listed Companies in 2011 .................................................................................................................85

Rights Issues by Listed Companies in 2011 ...................................................................................................88

Equity Structure of Listed Companies (2011 year-end) .....................................................................................89

Top 50 Listed Companies by Market Capitalization (2011 year-end) ..................................................................90

Top 50 Listed Companies by Tradable Market Capitalization (2011 year-end) ......................................................92

Dividend Distribution by Listed Companies in 2011 .........................................................................................94

Table of Changes in Stock Short Names in 2011 ...........................................................................................113

Table of Changes in the Names of Listed Companies in 2011 ..........................................................................115

Companies Subject to Delisting Risk Warnings in 2011 ...................................................................................116

Companies Subject to other special treatments in 2011 ..................................................................................117

Companies Subject to Listing Suspension in 2011 ........................................................................................118

Companies Subject to Listing Termination in 2011..........................................................................................118

Companies Subject to Listing Resumption in 2011 .........................................................................................118

Companies Subject to Cancellation of Special Treatment in 2011 .....................................................................119

(I)Cancellation of Special Treatment...............................................................................................................119

(II) Companies Subject to Withdrawal of Delisting Risk Warnings and Other Special Treatments ..............................120

Listed Warrants in 2011 ...........................................................123

Bond Market Overview of the Shanghai Stock Exchange in 2011 .....................................................................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 of Corporate Bond Listings .............................................................................................................130

Public Issuance of Convertible Corporate Bonds by Listed Companies ...............................................................131

Public Issuance of Separately Traded Convertible Corporate Bonds by Listed Companies ......................................131

Profile of Government Bonds in 2011...........................................................................................................133

Summary of Corporate Bonds in 2011(Including Convertible Bond) ..................................................................145

2012 Fact Book IV 2012 Fact Book V

Monthly Bond Repo Turnover in 2011 ..........................................................................................................165

Turnover of Government Bond in Each Month of 2011 ....................................................................................165

Turnover of Bond in Each Month of 2011 .....................................................................................................166

List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2011 ......................................167

Funds ........................................................................................171

Overview .................................................................................................................................................171

Breakdown of funds ...................................................................................................................................171

Status of the Fund Market at SSE .................................................................................................................172

ETF .........................................................................................................................................................172

Close-ended fund ......................................................................................................................................172

SSE Open-ended Fund Trading System .........................................................................................................172

Funds listed on the SSE ..............................................................................................................................173

Summary of Funds in 211 ..........................................................................................................................175

NAV of Securities Investment Funds (2011 year-end)......................................................................................177

Members ....................................................................................181

Overview of Members ................................................................................................................................181

Registered capital ......................................................................................................................................181

Listing ......................................................................................................................................................181

Overview of Non-member Institution .............................................................................................................181

Member's Required Qualifications ................................................................................................................181

The Administration of Member Seats and Trading Units ....................................................................................181

Overview of the Operation ...........................................................................................................................182

Geographical Distribution of SSE Members and Their Business Branches in 2011 ...............................................183

Membership (1990-2011) .........................................................................................................................184

Top 50 Members by Turnover in 2011 .........................................................................................................185

Top Lead Underwriters of IPOs in 2011(by Number of Deals Underwritten) .........................................................187

Top Lead Underwriters of Rights Issues in 2011(by Number of Deals Underwritten) .............................................187

Top 20 Members by Margin Trading and Short Selling in 2011 .......................................................................188

Top 20 Members by Balance of Margin Trading and Short Selling in 2011 .........................................................189

Number of Trading Accounts with SSE 1991-2011 ........................................................................................190

Breakdown of B-share Investors by Jurisdiction ..............................................................................................191

Historical Statistics ....................................................................................................................................195

Early Share Turnover Value, 1991-2011 .......................................................................................................195

Historical Highs in Stock Turnover Value ........................................................................................................196

Daily All-time Highs in Turnover Value ............................................................................................................196

Monthly All-time Highs in Turnover Value ........................................................................................................196

Quarterly All-time Highs in Turnover Value ......................................................................................................197

Listed Shares on the SSE, 1990-2011 ........................................................................................................198

Top 10 Increases and Decreases in SSE Index Series .....................................................................................199

Shanghai Securities Market

2012 Fact Book 12012 Fact Book VI

Top 10 Increases in SSE 50 Index (in percentage) ..........................................................................................199

Top 10 Decreases in SSE 50 Index (in percentage) ........................................................................................199

Top 10 Increases in SSE 50 Index (in point) ..................................................................................................200

Top 10 Decreases in SSE 50 Index (in point) .................................................................................................200

Top 10 Increases in SSE 180 Index (in percentage) ........................................................................................201

Top 10 Decreases in SSE 180 Index (in percentage) ......................................................................................201

Top 10 Increases in SSE 180 Index (in point) ................................................................................................202

Top 10 Decreases in SSE 180 Index (in point) ...............................................................................................202

Top 10 Increases in SSE Composite Index (in percentage) ...............................................................................203

Top 10 Decreases in SSE Composite Index (in percentage) .............................................................................203

Top 10 Increases in SSE Composite Index (in point) ........................................................................................204

Top 10 Decreases in SSE Composite Index (in point) ......................................................................................204

World Securities Markets ............................................................................................................................205

Statistics on Stock Exchanges around the World (as at end of December 2011) .................................................205

Major publications ....................................................................206

Registered Trademarks of Shanghai Stock Exchange .....................................................................................207


2012 Fact Book 12012 Fact Book VI


Historical Review

Shanghai was the first city in China to see stocks, stock trading and stock exchanges. Stock trading started in

Shanghai as early as 1860s. In 1891, the Shanghai Sharebrokers Association was established, which was regarded

as the primitive form of stock bourses in China. Later in 1920 and 1921, the Shanghai Security Goods Exchange and

the Shanghai Chinese Security Exchange commenced operations respectively. By the 1930s, Shanghai had emerged

as the financial center of the Far East, where both Chinese and foreign investors could trade stocks, debentures,

government bonds and futures. In 1946, Shanghai Securities Exchange Co.Ltd. was created on the basis of Chinese

Security Exchange, but ceased operations three years later in 1949.

Since 1980, China’s securities market has evolved in tandem with the country’s introduction of reform and opening

up policy and the development of socialist market economy. In 1981, trading in treasury bonds was resumed. In

1984, stocks and enterprise bonds emerged in Shanghai and a few other cities. On November 26, 1990, Shanghai

Stock Exchange (SSE) came into existence, and on December 19 of the same year, it started formal operations.

After 21 years’ rapid development, SSE has entered into a new stage with rapidly enlarging market scale, more

enhanced fundamental facilities and continuous improved regulation level. After decades of development, SSE has

significantly enhanced its technological advantages. It has put into operation the world's most advanced new generation

trading system (NGTS), built the global largest stock exchange database, launched a powerful and robust new generation

website and established a first-class computer room. In addition, SSE has built a nation-wide securities-specific satellite

communication network with complete functions and the largest user base in China. SSE has established a robust and

real-time market monitoring system appropriate for market operations. It has put in place a self-regulatory framework

that focuses on supervision of listed companies, SSE members and the securities market.

Securities Products

Securities listed on SSE fall into four categories: stocks, bonds, funds and warrants.

Stocks are further divided into Class A Shares and Class B Shares, with A Shares limited to domestic investors

as well as QFIIs only while B Shares available to both domestic and foreign investors. In 1990, the first batch of 8 A

Shares was listed. In 1992, the first B Share was listed. With the listing of a large number of large, leading and high-

quality enterprises, SSE has begun playing its role as a barometer of the national economy. Bonds traded on SSE

include treasury bonds (T-bonds), local government bonds, corporate bonds (including those approved by the State

Development and Reform Commission), corporate bonds with detachable warrants, and convertible corporate bonds. In

addition, securities investment funds (including Exchange Traded Fund -ETF) and warrants are available for trading on

SSE. By Dec 31, 2011, there are 1691 listed securities in SSE.


2012 Fact Book 3


2012 Fact Book 3

2011

Market Review

2011 Market Review 2011 Market Review

2012 Fact Book 5


2012 Fact Book 4


2012 Fact Book 52012 Fact Book 4

2011 Market Review

Overview

In 2011, the total turnover on SSE was RMB 45465.156 billion, down 14.12% year-on-year. Stock transactions

were RMB 23756.045 billion, representing 52.25% of the total turnover. Bond transactions hit RMB 21071.487

billion, accounting for 46.34% of the total turnover. Fund transactions reached RMB 290.141 billion, making up

0.64% of the total. Warrant transactions stood at RMB 347.482 billion, constituting 0.77% of the total. The average

daily stock transactions were RMB 97.361 billion, down 22.58% year-on-year; daily bond transactions stood at RMB

85.369 billion, 178.97% higher than a year earlier; daily fund transactions hit RMB 1.189 billion, down 39.70% from

the previous year; and daily warrant transactions were RMB 1.424 billion, down 76.12% year on year.

SSE 50 Index opened the year at 1994.36 points and fell 18.19% to close the year at 1617.61 points after

touching a yearly high of 2214.84 points and a yearly low of 1571.51 points, with a volatility of 40.94%. SSE 180

Index opened the year at 6576.47 points and dropped 23.14% to close the year at 5009.29 points after touching a

yearly high of 7149.05 points and a yearly low of 4852.71 points, with a volatility of 47.32%. SSE Composite Index

opened the year at 2825.33 points and fell 21.68% to finish the year at 2199.42 points after making a yearly high of

3067.46 points and a yearly low of 2134.02 points, with a volatility of 43.74%.

By the end of 2011, SSE recorded a total of 105.39 million trading accounts.

Securities Issuance and Listing

As at the end of 2011, there were 931 listed companies on SSE, with 39 new listings in 2011 (including 1

holistic listing). By the end of the year, there were 975 listed stocks on SSE with a total market capitalization of RMB

14,837.622 billion, decreasing by 17.11% year-on-year, and free-float market capitalization of RMB 12,285.136

billion, up 13.69% from the previous year. The year-end total share capital of all the listed companies reached

2,346.65 billion shares, of which 1,799.38 billion shares or 76.68% were tradable.

In 2011, the total amount of capital raised was RMB 548.97 billion, among which RMB 319.969 billion by equity

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


2012 Fact Book 6 2012 Fact Book 7

Introduction of New Products

Pledge-style Bond Repo

Pledge-style Bond Repo refers to the financing activities with bonds as pledge of rights, and trading amount is

calculated by the discount ratio of standard bond. Securities company borrows the corresponding fund from its

designated client by means of quoting and accepting. When the Repo is due, the client retrieves the fund and obtains

corresponding yield.

Securities Repo

Securities Repo refers to the financing activities that qualified client sells the underlying securities to its designated

securities company and agrees to buy back the securities at a certain date and price in the future. Apart from specified

situations, corresponding benefits of the underlying securities generated before repurchase will be transferred to client on

the date of record.



Major Events in the Securities Market 2011

Month Date Event

January 14People Bank of China (PBoC) raised required reserve ratio by 25 basic points to historical high 19%.

January 25China Securities Regulatory Commission(CSRC) issued Guidelines for Qualified Foreign Institutional Investors to Participate in Stock Index Future(A draft for discussion) which intended to allow QFII’s participation in the transaction of stock index future.

February 92011 Guotai Junan Securiteies Corp. Ltd. Bond (No. 1), the first corporate bond of securities company in SSE was successfully issued by tender. The value of its first issuance was RMB 3 billion with 6 years’ maturity.

February 21 The first China- Brazil Capital Market Forum was successfully held in San Paulo.

February 21 SSE has signed Memorandum of Further Cooperation with BM&FBovespa.

February 24 PBoC raised required reserve ratio to historical high 19.5%.

February 26 Tian-Di (Duel) Backup simulation of whole-market trading and data was successfully carried out.

March 3 State Council gave basic approval to the proposal to raise individual tax threshold.

March 7Hong Kong Stock Exchange started to extend the first half of its trading hours. Hong Kong and Mainland market will be open simultaneously.

March 18 PBoC raised required reserve ratio to historical high 20%.

April 11 Meeting for the reform and listing of Key State-owned Enterprises (SoE) was held in SSE.

April 15"Forum for the Establishment of Shanghai Multi-tier Blue Chip Market—Corporate Finance, Institutional Investment and Shanghai Securities Index" was held.

April 15 CSRC released "Rules of Classified Supervision on Futures Companies"

April 21 PBoC raised required reserve ratio by 0.5%.

April 29Hui Xian Real Estate Investment Trust, Hong Kong's first securities product denominated in RMB, was listed and traded in HKeX.

May 6CSRC released Rules on the Investment Scope of Securities Company’s Securities Proprietary Business and Relevant Issues. The investment scope will be enlarged since June.

May 11Through borrowing trading unit from securities company, Bank of Communication successfully realized bond quotes in the auction system of SSE

May 12 PBoC raised required reserve ratio by 0.5%.

May The first reselling of corporate bond was successfully implemented in the trading system.

May“Seminar on the Development of ETF and Other Index Products” was jointly held by the SSE and HKeX.

May 27“Development and Research Center of Securities Information and Technologies” was formally established.



Month Date Event

June 3

Notice on the State Council's Approval of National Development and Reform Commission's Opinions on the Further Reforming of Economic Structure was released. Over-The-Counter market will be promoted and International Board will be researched and established so that a multi-tier capital market system could be constructed.

June 20 PBoC raised required reserve ratio by 0.5% to historical high 21.5%.

June 21CSRC released Administrative Rules of the Sales of Investment Funds (Draft Version) and adjusted qualifications of investment fund's selling institutions. "Value-added Service Charges" was added.

June 22 Seminar on the safe operation and technological development in 2011 was held.

June 25Drilling under emergent situation of trading and communication system was successfully carried out.

June 30The Standing Committee of People's Congress reviewed and approved amendment of individual tax which raised the current threshold of RMB 2000 to 3500. The first level of Excess Progressive of Tax Rate was adjusted to 3% from the previous 5%.

July 7PBoC raised benchmark interest rates by 25 basis points and stated that prudent monetary policy will be implemented.

July 11Investor's holding of bonds can be transferred between SSE Fixed Income Comprehensive Electronic Platform and Auction System.

July SSE started to release standard interest rate of pledge-style repo to the market.

August 5CSRC released Decision on the Revision of Relevant Regulations of Key Asset Restructuring and Corresponding Financing of Listed Companies which first clarify the criteria of shell takeover.

August 19CSRC released draft of rules of Marginal Borrowing and Short Selling business which intends to remove fixed threshold of business during the pilot phase and to develop it into an ordinary business.

August 29PBoC released the notice that basis of the required reserve will be enlarged to deposit of letter of credit, deposit of letter of guarantee, deposit of banker's acceptance bill in the commercial banks.

August 30SSE renamed the former Bond and Fund Department to Bond Business Department and Product Development Department to Fund Business Department so that correspondent bond and fund business could be optimized.

October 11 First reversed exit right in SSE was implemented.

October 17 SSE comprehensive business platform was released.

October 20 With the approval of State Council, Shanghai, Zhejiang, Guangdong and Shenzhen are able to issue local government bonds.

October 27 The second China- Brazil Capital Market Forum was successfully held in Shanghai.



Month Date Event

October 28 Three institutional files regarding marginal trading and short selling business and securities and fund lending business were released by CSRC. They are Revision Decision on the Management of Securities Company's Marginal Trading and Short Selling Business Pilot, Revision Decision on the Internal Control Guide of Securities Company's Marginal Trading and Short Selling Business Pilot and Pilot Measures on the Supervision and Management of Securities and Fund Lending Business.

October 31 Securities Repo pilot was formally launched.

November 8 Central bank dropped its 1-year note rate by 1 basic point which is the first drop in the past 28 months. On Nov 15, another 8.58 basic points were dropped.

November 11 SSE new “Shanghai International Financial Center” was inaugurated.

November 14 Meeting for the reform and listing of Key State-owned Enterprises (SoE) was held in SSE.

November 16 Technological system of SSE passed ISO20000 IT service certificate.

November 19 CSRC started non-public bond offering of listed companies in the China-Next board.

November 25 SSE released Implementation Codes of SSE Marginal Buying and Short Selling. Securities and fund borrowing became daily business of the securities companies.

November 28 Pledge-style of bond repo business enlarged its scope.

November 28 “Rule of the Law in a Mature Market and Revision of the Securities Law -- Second SSE Forum on Rule of the Law” was held.

November 30 PBoC dropped required reserve ratio by 0.5%.

December 5 Scope of underlying securities of Marginal Buying and Short Selling was enlarged to 180 individual stocks and 4 ETFs.

December 12 SSE Online Academy of Investor's Education was launched.

December 18 Party secretary and chairman of CSRC visited SSE.

December 19 10th Forum on Chinese Corporate Governance was successfully held.

December 19 SSE Development Research Center was established.

December 23 The bond.sse.com.cn formally came into use.

December 24 Temporary Rule of the Eligibility Management of Bond Investors and Guides of Risk Control of Pledge-style Bond Repo Trade were released and would come into effect since February 1, 2012.

December 29 Memorandum of Information Cooperation with 6 domestic securities and futures exchanges were signed.

December 30 First batch of RQFII products were formally approved by Hong Kong Securities and Futures Commission.



Market Highlights

2011 2010 2009

Listed Securities (as at year end)

No. of listed companies 931 894 870

No. of listed securities 1691 1500 1351

No. of listed stocks 975 938 914

No. of new listings 39 26 9

Share capital issued (100 million shares) 23466.65 21939.51 16659.97

Tradable shares (100 million shares) 17993.80 16031.30 11578.56

Total market capitalization (RMB100 million) 148376.22 179007.24 184655.21

Market capitalization of tradable shares (RMB100 million) 122851.36 142337.44 114804.99

Total capital raised (RMB100 million)

A Shares (RMB) 3199.69 5532.14 3343.15

B Shares (US dollar) 0 0 0

Transactions

Number of trading days 244 242 244

Annual turnover value (RMB100 million) 454651.56 398395.73 441874.67

Stock 237560.45 304312.01 346511.91

Fund 2901.41 4771.71 6549.06

T-bonds 210714.87 74914.43 39806.34

Warrants 3474.82 14397.58 49007.37

Others 0.00 0 0

Average daily turnover value (RMB100 million) 1863.33 1646.26 1810.96

Average daily stock turnover value (RMB100 million) 973.61 1257.49 1420.13

Annual stock turnover volume (100 million shares) 21193.87 25964.43 33679.64

Average daily stock turnover volume (100 million shares) 86.86 107.29 138.03

Total number of stock trades (10,000 deals) 127327.64 166149.08 214261.01

Average number of daily stock trades (10,000 deals) 521.84 686.57 878.12



Stock Indices

SSE 180 Index yearly high 7149.05 7835.96 8456.56

SSE 180 Index yearly low 4852.71 5377.66 4098.26

SSE 180 Index year-end close 5009.29 6517.60 7762.92

SSE Composite Index yearly high 3067.46 3306.75 3478.01

SSE Composite Index yearly low 2134.02 2319.74 1844.09

SSE Composite Index year-end close 2199.42 2808.08 3277.14

Ratios

Average P/E ratio 13.40 21.61 28.73

Turnover rate 1 (market capitalization)% 93.72 135.40 212.10

Turnover rate 2 (tradable market capitalization)% 124.80 198.47 504.37

Stock Market

Stock Market Stock Market

2012 Fact Book 15

2011 Market Review

2012 Fact Book 14


2012 Fact Book 15

2011 Market Review

2012 Fact Book 14

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 a call auction from 9:15

to 9:25, which is followed by a continuous auction from 9:30 to 11:30. In the afternoon market session, continuous

auction runs from 13:00 to 15:00. Intent orders for block trades are accepted between 9:30 and 11:30 and again

between 13:00 and 15:30, while execution orders for block trades are accepted from 15:00 to 15:30. Special block

trade business, which is undertaken on an ad hoc basis, is accepted between 15:00 and 17:00, and participants, who

are SSE qualified investors, may carry out spot trading in SSE trading room by way of auction, price inquiry, quotation,

or another trading method, with delivery being non-guaranteed. The market is closed on Saturdays, Sundays and other

public holidays announced by SSE.

Securities are traded on SSE on a market-driven and free auction basis. Limit orders and market orders are accepted

in line with market conditions.At present, trading in A shares, B shares and securities investment funds is subject to a

maximum daily price fluctuation limit of plus or minus 10%, except for the first trading day . Stocks subject to a special

treatment are subject to a maximum daily price fluctuation limit of plus or minus 5%. Price limits for warrant transactions

are determined on the basis of the price limit for the underlying securities by multiplying the warrant conversion ratio by a



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.

Securities trading on SSE is 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.

Table 1: Breakdown of Centralized Trading Business

No. Description of CentralizedTrading Business

Securities Code Type of Business

1 A-share continuous trading at limit price

600, 601

Auction

2 A-share continuous trading at market price

600, 601

3 A-share call auction trading 600, 601

4 B-share continuous trading at limit price

900

5 B-share continuous trading at market price

900

6 B-share call auction trading 900

7 Closed-end fund continuous trading at limit price

500





8 Closed-end fund continuous trading at market price

500

Auction

9 Closed-end fund call auction trading 500

10 ETF continuous trading at limit price 510XX0

11 ETF continuous trading at market price

510XX0

12 ETF call auction trading 510XX0

13 T-bond continuous trading at clean price

009, 010

14 T-bond call auction trading at clean price

009, 010

15 Enterprise bond continuous trading at limit price

129

16 Enterprise bond call auction trading 129

17 Convertible bond continuous trading at limit price

110

18 Convertible bond call auction trading 110

19 Convert ib le bond with detachable warrant continuous trading at limit price

126

20 Convertible bond with detachable warrant call auction trading

126

21 Old pledge-style repo continuous trading

201

22 Old pledge-style repo call auction trading

201

23 New pledge-style repo continuous trading at limit price

204

24 New pledge-style repo call auction trading

204

25 Outright repo continuous trading at limit price

203

26 Outright repo call auction trading 203

27 Warrant continuous trading at limit price

580

28 Warrant continuous trading at market price

580

29 Warrant call auction trading 580





30 A-share block trading Same as A Shares

Price inquiry

31 B-share block trading Same as B Shares

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

33 ETF block trading Same as ETFs

34 Bond block trading Same as bonds

35 Bond repo block trading Same as bond repo

36 Asset securitization 121

37 Warrant bilateral quotation Same as warrants

Quotation

38 ETF purchase/redemption 510XX1, 510XX2

39 Tender offer 706

40 T-bond distribution 751

41 T-bond firm quotation 019 (Electronic Platform)

42 T-bond non-firm quotation

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

44 T-bond price inquiry

45 Corporate bond firm quotation 122 (Electronic Platform)

46 Corporate bond non-firm quotation

47 Corporate bond client enters into a transaction with primary dealer

48 Corporate bond price inquiry

Table 2: Breakdown of Trading-related Services

Type of Securities

No. Description of Trading-relatedServices


Equities 1 Online fixed price offering 7301 (corresponding to A-share 600),7802 (corresponding to A-share 601)

Offering

2 Online price inquiry offering 730 (corresponding to A-share 600),780 (corresponding to A-share 601)

Offering

3 Online fixed-price follow-on offering 730 (corresponding to A-share 600),731 (corresponding to A-share 600),780 (corresponding to A-share 601),781 (corresponding to A-share 601)

Offering

4 Online price inquiry follow-on offering 730 (corresponding to A-share 600),731 (corresponding to A-share 600),780 (corresponding to A-share 601),781 (corresponding to A-share 601)

Offering



Type of Securities



Equities 5 Placement 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)

Offering, entitlement

7 Online voting 738 (corresponding to A-share 600),788 (corresponding to A-share 601),938 (corresponding to B Shares)

Entitlement

8 Password service 799988 (corresponding to A Shares),939988 (corresponding to B Shares)

Entitlement

9 Offline initial price inquiry Same as the stock code Offering

10 Offline book-building

Bonds 11 Convertible bond offering 7333 (corresponding to A-share 600),7834 (corresponding to A-share 601)

Offering

12 Convertible bond placement 704 (corresponding to A-share 600),764 (corresponding to A-share 601)

Entitlement

13 Conversion 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

15 Transfer of co l la tera l 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

Tradingrelationship

Warrants 16 Exercise of warrants 582 Entitlement



Type of Securities



Funds 17 Subscription for closed-end funds 7355 Offering

18 Expansion of closed-end funds 705 Offering

19 Subscription for open-end funds 521 Offering

20 Purchase and redemption of open-end funds

519 Offering, entitlement

21 Designation transfer of open-end funds

522 Trading relationship

22 Dividend distribution by open-end funds

523 Entitlement

23 Conversion of open-end funds 524 E n t i t l e m e n t (business has not yet started)

24 ETF offering 510XX3 Offering

Trading registration

25 Designated registration/cancellation of designated trading

799998/799999 Trading relationship

26 Repurchase registration/repurchase cancellation

799997/799996 Trading relationship

(Footnotes)

1. For any stock corresponding to the code 730 in the table, 740 and 741 are the codes assigned for the

subscription funds or further issue funds of the stock and the number allotted, respectively.

2. For any stock corresponding to the code 780 in the table, 790 and 791 are the codes assigned for the

subscription funds or further issue funds of the stock and the number allotted, respectively.

3. For any convertible bond corresponding to the code 733 in the table, 743 and 744 are the codes assigned for

the bond issuance funds of the convertible bond and the number allotted, respectively.

4. For any convertible bond corresponding to the code 783 in the table, 793 and 794 are the codes assigned for

the bond issuance funds of the convertible bond and the number allotted, respectively.

5. For any mutual fund corresponding to the code 735 in the table, 745 and 746 are the codes assigned for the

purchase funds of the mutual fund and the number allotted, respectively.



Table of Fees Charged and Taxes Withheld by SSE

Category Fees Fee Standard Payer and Receiver

Transactions A share Handling fee 0.011% of trading value (both

sides)

Paid by SSE member, etc. to the

SSE

Securities

management fee

0.004% of trading value

(bilateral)

Paid by SSE members, etc. to

the CSRC (collected by the SSE)

Stamp duty 0.1% of trading value

(unilateral)

Paid by investors to tax

authorizes (collected by the SSE)

B share Handling fees 0.026% of trading value

(bilateral)


the SSE

Securities

management fee


(bilateral)



Securities investment

fund(closed-end fund and

ETF)

Handling fee 0.0045% of trading value

(bilateral)


the SSE

Securities

management fee


(bilateral)



Warrants Handling fee 0.0045% of trading value

(bilateral)


the SSE

Securities

management fee


(bilateral)



Cash bonds( T-bond,

enterprise bond, corporate

bond, convertible corporate

bond, detachable

convertible corporate bond,

etc.

Handling fee 0.0001% of turnover

(bilateral) (cash bond

transaction on the fixed

income platform and less

than 100 yuan/ per deal at

minimum)


the SSE

Securities

management fee


(bilateral)



Pledge-

style repo

One day Handling fee 0.00005% of trading value

(bilateral)

Temporary

exemption

Paid by SSE

members, etc. to

the SSE

two days Handling fee 0.00010% of trading value

(bilateral)

Paid by SSE

members, etc. to

the SSE

Three days Handling fee 0.00015% of trading

(bilateral)

Paid by SSE

members, etc. to

the SSE

Four days Handling fee 0.00020% of trading value

(bilateral)

Paid by SSE

members, etc. to

the SSE



Seven days Handling fee 0.00025% of trading value

(bilateral)

Paid by SSE

members, etc. to

the SSE

Fourteen

days


(bilateral)

Paid by SSE

members, etc. to

the SSE

Twenty eight

days


(bilateral)

Paid by SSE

members, etc. to

the SSE

More than

twenty eight

days


(bilateral)

Paid by SSE

members, etc. to

the SSE

T-bond

outright

repurchase

Seven days Handling fee 0.000625% of trading value

(bilateral)

Paid by SSE

members, etc. to

the SSE

Twenty eight

days


(bilateral)

Paid by SSE

members, etc. to

the SSE

Ninety one

days


(bilateral)

Paid by SSE

members, etc. to

the SSE

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 SSE

Securities

management fee

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 SSE

Securities

management fee

The same as in auction trading

for the same product





Pledge-

style repo

and T-bond

outright repo

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

the SSE

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

the SSE

Transfer of specific asset management

scheme

Handling fee 0.0009% of amount

transferred


the SSE

Issuance New share

subscription


(unilateral) and subject to

temporary exemption


the SSE

Convertible

corporate bond

subscription


(unilateral) and subject to

temporary exemption


the SSE

Investment fund

subscription

Handling fee 0.0085% of trading value Paid by SSE members, etc. to

the SSE

Right issue,

trans-right issue,

employee shares

allotment, state

shares allotment,

share allotment for

convertible bond


(bilateral) and subject to

temporary exemption


the SSE

Investment fund

placement


(bilateral)


the SSE

Listing A share Initial listing fee 0.03% of total issued shares,

not more than RMB 30,000

Paid by listed companies to the

SSE

annual listing fee 0.012% of total listed face

value, not more than RMB

6000


SSE

B share Initial listing fee 0.1% of total listed shares,

not more than equivalent of

US$5,000


SSE

annual listing fee US$600 per year Paid by listed companies to the

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 the

SSE

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

SSE



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

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 the 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 fee RMB 6000 per year (subject

to temporary exemption)


Seat non-B-share seat Initial fee RMB 600,000 per seat Paid by issuers to the SSE

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

Participant business unit (PBU) PBU use fee 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 the SSE. (From Dec. 1,

2010, PBU for bond spot

and repo trading is subject

to temporarily exemption of

usage fee.)

Paid by SSE members to the

SSE



Flow rate fee If the total flow rate of

institution who connects

to the SSE trading system

exceeds its free flow rate limit,

for the excess flow rate, the

fee is RMB10, 000 for each

standard flow rate per year.

(charged from Dec. 1, 2010,

flow rate fee for PBUs of

bond spot and repo trading is

subject temporarily exemption)

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 of yearly non-trading

orders of institution’s PBUs -

30,000 deals/year × number

of seats held) × RMB0.01

3. For details, please refer

to the Circular on Relevant

Issues of Adjusting Annual Fee

Charge Mode for SSE Seats

and Circular on Collecting

Annual Fee of Trading Units

for 2010

4. From Dec. 1, 2010,

all trading participants are

temporarily exempted from

flow rate fee for bond spot

and repo trading.

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

services.



Notes: 1. This table only covers fees and taxes withheld by the Shanghai Stock Exchange (SSE) and excludes brokers’ commissions

and fees paid to securities firms and fees charged by the Depository & Clearing Company..

2. For information on communications and information service fees, please contact the Shanghai Stock Communications Co.,

Ltd.( website: http://www.stocom.net and Tel.: +86-21-68664588) and SSE InfoNet . Ltd. (Tel.:+86-21-68800098)

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

Trading Fees Related to Exchange Traded Fund (ETF) (Shang Zheng Chan Zi [2009] No.1);

4. For reduction and exemption of fees related to bond services, please refer to the Circular on Adjusting Charge Rates for

Fixed-income Products (Shang Zheng Cai Zi [2010] No.6);

5. For changes in flow rate fee for PBU, see the Circular on Collecting Participation Business Unit Annual Fees for 2010 (Shang

Zheng Cai Zi [2010] No.7);



2011 Monthly Trading Volume, Trading Value and P/E Ratio

Month Trading Volume (10,000 shares)Trading Value(RMB 10,000)

P/E Ratio (Times)

01 17315829.65 202757888.09 21.64

02 17586789.91 216678026.33 22.57

03 29485755.68 370341232.47 22.78

04 23264297.70 273692333.42 22.75

05 18024318.43 204915343.46 16.33

06 16304922.54 185434803.25 16.48

07 19761534.49 230576969.25 16.14

08 18081248.12 191850420.65 15.41

09 11929112.02 121316775.86 14.19

10 12048809.03 111826844.74 14.96

11 16513955.36 163285949.24 14.17

12 11622137.40 102927939.01 13.40



Top 20 Most Traded Stocks by Turnover Volume

Rank Code Short NameTrading Volume(10,000 shares)

Percentage in Total Market Trading Volume (%)

1 601288 Agricultural Bank of China 3304876.71 1.56

2 600016 Minsheng Bank 3066886.90 1.45

3 600010 BaoTou Iron&Steel 2528757.36 1.19

4 601668 China Construction 2258589.12 1.07

5 601899 Zijin Mining 2211801.13 1.04

6 600050 China Unicom 2045757.32 0.97

7 600795 GD Power Development 1821753.10 0.86

8 601818 Everbright Bank 1812659.80 0.86

9 600030 CITIC Securities 1694103.13 0.80

10 601766China Southern Locomotive and Rolling Stock Industry

1678570.70 0.79

11 600383 Goldfield Industries 1601556.91 0.76

12 601299China Northern Locomotive and Rolling Stock Industry

1554756.94 0.73

13 600000 Pudong Development Bank 1544217.56 0.73

14 600036 China Merchants Bank 1490731.78 0.70

15 601901 Founder Securities 1357584.92 0.64

16 601166 Industrial Bank 1286727.37 0.61

17 601398 ICBC 1263767.27 0.60

18 601328 Bank of Communications 1259855.73 0.59

19 600837 Haitong Securities 1243135.52 0.59

20 601106 China First Heavy Industries 1232966.90 0.58



Top 20 Most Traded Stocks by Trading Value

Rank Code Short NameTrading Value(RMB 10,000)

Percentage in Total Market Turnover Value (%)

1 600111 Baogang Rare Earth 35594084.53 1.50

2 601318 Ping An Insurance 25556652.34 1.08

3 601166 Industrial Bank 23982338.33 1.01

4 600030 CITIC Securities 21939216.80 0.92

5 600036 China Merchants Bank 19402598.54 0.82

6 600010 BaoTou Iron&Steel 18247611.84 0.77

7 600031 Sany Heavy Machinery 18129919.27 0.76

8 600000 Pudong Development Bank 17624734.39 0.74

9 600016 Minsheng Bank 17482639.78 0.74

10 600585 Conch Cement 16594256.67 0.70

11 600362 Jiangxi Copper 15477439.15 0.65

12 600348 Yangquan Coal Industry 15019271.52 0.63

13 601088 China Shenhua 14386789.68 0.61

14 600058 Minmetals Development 14144249.95 0.60

15 600547 Shandong Gold 13883134.15 0.58

16 600519 KweiChou Maotai 13861326.45 0.58

17 601899 Zijin Mining 13838025.36 0.58

18 600636 3F New Material 13093467.09 0.55

19 600068 Gemdale 11961976.05 0.50

20 600516 Fangda Carbon New Material Technologybon New Material

11758893.68 0.49



Top 20 Gainers

Rank Code Short Name2010 Year-end Close (RMB)

2011 Year-end Close (RMB)

Change(%)

1 600340 China Fortune Lande Development 8.720 16.050 194.35

2 600645 ST Zhongyuan Union 9.380 22.790 142.96

3 600633 Zhejiang Daily Media 7.280 14.420 98.08

4 600637 BesTV 8.380 15.050 79.59

5 600490 ST Shanghai Synica 15.750 25.850 64.13

6 600466Dikang Sci & Tech Pharmaceutical Industry

9.760 6.170 58.08

7 600568 Zhongzhu Holding 11.790 18.030 52.93

8 600502Anhui Water Resources Development

13.500 13.430 49.82

9 600793 Yibin Paper Industry 10.850 15.530 43.13

10 600636 3F New Materials 14.670 20.440 39.33

11 600603 Xingye Resources Holdings 6.790 9.330 37.41

12 600200 Jiangsu Wuzhong Industrial 6.740 9.100 35.22

13 600687 Zhejiang Gangtai Holding 10.580 14.150 33.74

14 600371 WanXiang Doneed 14.510 18.430 29.01

15 600714 Jinrui Mineral Development 11.720 15.040 28.33

16 600759 Zhenghe Industrial 5.230 6.690 27.92

17 600057 Xiamen Xiangyu 3.980 5.060 27.14

18 600056Ch i na Med i c i n e and Hea l t h Products

16.320 20.240 24.29

19 900933 Huaxin Cement (B share) 2.830 1.739 23.75

20 600021 Shanghai Electric Power 3.980 4.730 19.89



Top 20 Losers

Rank Code Short Name2010 Year-end Close (RMB)

2011 Year-end Close (RMB)

Change (%)

1 600707 IRICO Display Devices 19.120 6.410 -66.47

2 600146 Ningxia Dayuan Chemical 27.150 9.450 -65.19

3 600392Tiancheng Co.,Ltd.of Taiyuan University of Technology

27.370 10.160 -62.88

4 600737 COFCO Tunhe 15.850 6.010 -62.08

5 600458 Times New Material 63.820 11.020 -61.93

6 600499 Keda Industrial 23.840 9.160 -61.38

7 600460 Silan Microelectronics 22.890 8.860 -61.16

8 600866 Starlake Bioscience 14.140 5.580 -60.54

9 600281 *ST Taiyuan Chemical Industry 11.690 4.680 -59.97

10 600673 Dongyangguang Aluminum 18.330 7.350 -59.90

11 600487 HengTong Optic-Electric 40.600 16.200 -59.78

12 600576 WHWH Industry 19.060 7.760 -59.29

13 600523 Guizhou Guihang Automotive Components 23.920 9.770 -58.88

14 600812 North China Pharmaceutical 15.710 6.480 -58.75

15 600213 Yaxing Motor Coach 17.170 7.090 -58.71

16 600311 Ronghua Industry Group 18.580 7.930 -57.32

17 600198 Datang Telecom Technology 19.630 8.400 -57.21

18 600061 Sinotex Investment & Development 13.250 5.680 -57.13

19 600596 Xinan Chemical Industrial 15.220 6.500 -56.93

20 600330 TDG Holding 17.290 7.460 -56.85



2011 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 601318 China Ping An 1086763.17 621101.70 1707864.87

2 601166 Industrial Bank 1016138.59 553754.42 1569893.01

3 600030 CITIC Securities 913680.66 485190.90 1398871.56

4 600016 Minsheng Bank 654532.23 358231.13 1012763.36

5 600089 TBEA 618237.13 321769.74 940006.87

6 601088 China Shenhua 607763.18 330265.58 938028.76

7 600000Pudong Development Bank

562876.51 305134.02 868010.53

8 600362 Jiangxi Copper 594055.51 263359.97 857415.48

9 600519 Kweichow Moutai 503364.15 311537.54 814901.69

10 601168 Western Mining 590035.90 215063.98 805099.88

2011 Top 10 in Short Selling

Rank Code Short NameAmount of Short Sale (RMB10,000)

Amount of Purchase for the securities to return the borrowed securities (RMB 10,000)

Total (RMB 10,000)

1 600030 CITIC Securities 116987.25 113478.33 230465.58

2 601318 China Ping An 93221.96 85906.75 179128.71

3 600048 Poly Real Estate 74473.98 71818.37 146292.35

4 601088 China Shenhua 74647.29 71013.55 145660.84

5 600036 China Merchant Bank 69525.91 64518.52 134044.43

6 600519 Kweichow Moutai 62171.58 59105.36 121276.94

7 600362 Jiangxi Copper 61718.97 57180.41 118899.38

8 601699 Lu'an Environmental Energy Development

56395.31 49632.16 106027.47

9 600104 SAIC Motor 52447.27 48780.66 101227.93

10 601601 China Pacific Insurance 51062.40 46904.81 97967.21



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

(I) Base day, base period index and launch date

Indices Base dayBase 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

SSE Mid-cap Index 2003-12-31 1000 2009-7-3

SSE Small-cap Index 2003-12-31 1000 2009-7-3

SSE Small- & Mid-cap Index 2003-12-31 1000 2009-7-3

SSE Small- & Mid-cap Index 2003-12-31 1000 2009-7-3

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

Section Indices

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

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 Strategy Index

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

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

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 Financial 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

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

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



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

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

SSE Enterprise Bond 30 Index 2003-12-31 100 2010-1-4

Fund Index

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



Number of Constituents in SSE Indices

Index Code Short Name Number of Constituents

000001 SSE Index 975

000002 A-share Index 921

000003 B-share Index 54

000004 Industrial Sub-index 620

000005 Commercial Sub-index 61

000006 Real Estate Sub-index 24

000007 Public Utilities Sub-index 102

000008 Conglomerates Index 168

000009 SSE 380 380

000010 SSE 180 180

000011 Fund Index 36

000012 T-Bond Index 118

000013 Enterprise Bond Index 459

000015 Dividend Index 50

000016 SSE 50 50

000017 New Composite Index 909

000300 CSI 300 300

000901 Xiaokang Index 100

000902 China Securities Free Floating Index 2303

000903 China Securities 100 Index 100



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)

W e i g h t i n SSE 50 Index(%)

600000 Pudong Development Bank 1492278 12669438 8.49 4.63

600015 Hua Xia Bank 499053 5604363 11.23 1.48

600016 Minsheng Bank 2258760 13304098 5.89 6.51

600019 Baoshan Iron & Steel 1751205 8493343 4.85 1.26

600028 China Petroleum & Chemical 6992206 50204043 7.18 1.47

600030 CITIC Securities 981466 9530037 9.71 3.27

600031 Sany Heavy Industry 703080 8816623 12.54 1.86

600036 China Merchants Bank 1766613 20969697 11.87 7.14

600048 Poly Real Estate 584323 5843229 10.00 1.72

600050 China Unicom 2119660 11107017 5.24 2.19

600089 Xinjiang Tebian Electric Apparatus 263556 2024110 7.68 0.99

600104 SAIC Motor 917032 12966838 14.14 1.27

600111 Baotou Steel Rare-earth 73973 2783623 37.63 1.30

600188 Yanzhou Coal Mining 36000 806040 22.39 0.63

600348 Yang Quan Coal Industry 240500 3650790 15.18 0.90

600362 Jiangxi Copper 207525 4551018 21.93 0.88

600383 Goldfield Industries 447151 2213397 4.95 1.06

600489 Zhongjin Gold 185002 3239381 17.51 0.84

600519 Kweichow Moutai 103818 20068019 193.30 3.95

600547 Shandong Hexi Gold 76347 2167498 28.39 0.99

600585 Conch Cement 399970 6259535 15.65 1.52

600837 Haitong Securities 822782 6096815 7.41 2.99

600900 Yangtze Power 736407 4683548 6.36 1.56

601006 Daqin Railway 1486679 11090626 7.46 2.16

601088 China Shenhua 1631104 41315859 25.33 4.07

601111 Air China 819974 5223233 6.37 0.52

601118 Hainan Rubber Industry 78600 534480 6.80 0.26





Closing Price(RMB)

W e i g h t i n SSE 50 Index(%)

601166 Industrial Bank 1078641 13504587 12.52 4.61

601168 Western Mining 238300 2232871 9.37 0.86

601169 Bank of Beijing 622756 5779177 9.28 1.98

601288 Agricultural Bank of China 2045647 5359595 2.62 1.97

601318 Ping An Insurance 478641 16484395 34.44 5.63

601328 Bank of Communications 3270905 14653656 4.48 5.06

601390 China Railway 1662501 4189503 2.52 0.64

601398 ICBC 26222550 111183611 4.24 3.17

601600 Chalco 958052 6150695 6.42 0.90

601601 China Pacific Insurance 620829 11926120 19.21 2.92

601628 China Life 2082353 36732707 17.64 1.28

601668 China State Construction 1308000 3806280 2.91 2.15

601688 Huatai Securities 177153 1385333 7.82 0.64

601699 Lu’an Environmental Energy 230108 4869094 21.16 0.95

601766China South Locomotive &Rolling Stock

951600 4120428 4.33 0.84

601818 China Everbright Securities 1521689 4382464 2.88 0.56

601857 Petrochina 16152208 157322504 9.74 1.82

601898 China Coal Energy 900698 8115286 9.01 0.81

601899 Zijin Mining 1580380 6037053 3.82 1.47

601919 China COSCO 747595 3498745 4.68 0.53

601939 China Construction Bank 959366 4355521 4.54 2.14

601958 Jinduicheng Molybdenum 322596 3671141 11.38 0.53

601989 China Shipbuilding Industry 340000 1737400 5.11 1.10






Closing Price (RMB)

Weight in 180 Index(%)

600000 Pudong Development Bank 1492278 12669438 8.49 3.08

600005 Wuhan Iron & Steel 1009378 2917102 2.89 0.38

600009 Shanghai Airport 109348 1338415 12.24 0.38

600010 Baotou Steel 642364 2646541 4.12 0.34

600015 Hua Xia Bank 499053 5604363 11.23 0.99

600016 Minsheng Bank 2258760 13304098 5.89 4.34

600019 Baoshan Iron & Steel 1751205 8493343 4.85 0.84

600028 China Petroleum & Chemical 6992206 50204043 7.18 0.98

600029 China Southern Airlines 617760 2928182 4.74 0.32

600030 CITIC Securities 981466 9530037 9.71 2.18

600031 Sany Heavy Industry 703080 8816623 12.54 1.24

600036 China Merchants Bank 1766613 20969697 11.87 4.76

600037 Gehua Cable TV 106037 847232 7.99 0.17

600048 Poly Real Estate 584323 5843229 10.00 1.15

600050 China Unicom 2119660 11107017 5.24 1.46

600058 Minmetals Development 107191 2348556 21.91 0.31

600064 Nanjing Xingang High-Tech 51622 466146 9.03 0.10

600068 Gezhouba 348746 2685343 7.70 0.53

600085 Beijing Tongrentang 130207 1826798 14.03 0.30

600089 Tebian Electric 263556 2024110 7.68 0.66

600096 Yuntianhua 59012 878100 14.88 0.14

600100 Tsinghua Tongfang 198770 1749177 8.80 0.39

600104 SAIC Motor 917032 12966838 14.14 0.85

600108 Yasheng Group 144119 706183 4.90 0.22

600109 Sinolink Securities 100024 992240 9.92 0.10

600111 Baotou Steel Rare-Earth 73973 2783623 37.63 0.87

600115 China Eastern Airlines 266195 1011541 3.80 0.29

600118 China Spacesat 70508 1438355 20.40 0.23

600123 Lanhua Sci-Tech Venture 57120 2220826 38.88 0.43

600132 Chongqing Brewery 48397 1376898 28.45 0.27

600150 China State Shipbuilding 106009 2745634 25.90 0.36





Closing Price (RMB)


600151Shanghai Aerospace Automobile Electromechanical

95747 689382 7.20 0.11

600158 China Sports 65750 368197 5.60 0.12

600160 Zhejiang Juhua 79622 1596429 20.05 0.23

600166 Foton Motor 137171 796961 5.81 0.23

600169 Taiyuan Heavy Industry 161597 919487 5.69 0.18

600173 Wolong Real Estate 72506 274797 3.79 0.05

600175 Meidu Holding 124662 337833 2.71 0.08

600177 Yongor 178715 1676347 9.38 0.41

600183 Shengyi Tech 95702 690971 7.22 0.13

600188 Yanzhou Coal 36000 806040 22.39 0.42

600196 Fosun Pharmaceutical 189962 1622275 8.54 0.26

600208 Xinhu Zhongbao 620912 2123518 3.42 0.20

600216 Zhejiang Medicine 45006 895165 19.89 0.18

600219 Nanshan Aluminum 193415 1224320 6.33 0.24

600220 Jiangsu Sunshine 178334 508252 2.85 0.12

600221 Hainan Airlines 334519 1498647 4.48 0.17

600239 Yunnan City 62595 403115 6.44 0.12

600246 Vantone Pioneer Real Estate 121680 389376 3.20 0.06

600252 Zhongheng Group 109175 1159436 10.62 0.30

600256 Guanghui Industry 107876 2220084 20.58 0.77

600259 Rising Nonferrous Metals 12193 464912 38.13 0.15

600266 Beijing Urban Construction 88920 1101719 12.39 0.18

600271 Aisino 92340 1833872 19.86 0.38

600309 Yantai Wanhua 216233 2789412 12.90 0.44

600320 Zhenhua Heavy Industries 254760 1197371 4.70 0.27

600322 Tianjin Realty Development 110570 354930 3.21 0.09

600325 Huafa 81705 590724 7.23 0.15

600331 Hongda 103200 858624 8.32 0.19

600348 Yang Quan Coal Industry 240500 3650790 15.18 0.60

600352 Zhejiang Longsheng 146842 839934 5.72 0.19

600362 Jiangxi Copper 207525 4551018 21.93 0.59

600369 Southwest Securities 79810 688761 8.63 0.13

600376 Beijing Capital Development 149468 1433393 9.59 0.23

600383 Gemdale 447151 2213397 4.95 0.71





Closing Price (RMB)


600395 Panjiang Refined Coal 26876 554984 20.65 0.22

600406 NARI Technology Development 105036 3277120 31.20 0.64

600415 Zhejiang China Commodities City 120252 942774 7.84 0.35

600418 JAC 107287 639430 5.96 0.17

600432 Jien Nickel 81112 1000113 12.33 0.13

600489 Zhongjin Gold 185002 3239381 17.51 0.56

600497 Chihong Zinc & Germanium 130448 1704961 13.07 0.27

600508 Shanghai Energy 72272 1353651 18.73 0.18

600516 FangDa Carbon New Material 127908 1120472 8.76 0.18

600518 Kangmei Pharmaceutical 219871 2466958 11.22 0.56

600519 Kweichow Moutai 103818 20068019 193.30 2.63

600528 China Railway Erju 145920 719386 4.93 0.12

600547 Chixia Development 76347 2167498 28.39 0.66

600549 Xiamen Tungsten 68198 2023435 29.67 0.26

600550 Tianwei Baobian 137299 1535004 11.18 0.25

600583 Offshore Oil Engineering 374904 2061972 5.50 0.35

600584 Changjiang Electronics Technology 85313 449601 5.27 0.15

600585 Anhui Conch Cement 399970 6259535 15.65 1.02

600595 Henan Zhongfu Industry 151487 875597 5.78 0.14

600598 Heilongjiang Agriculture 177768 1539471 8.66 0.20

600600 Tsingtao Brewery 69591 2329919 33.48 0.37

600622Jiabao Industry & Commerce Group

51430 297782 5.79 0.08

600635 Dazhong Public Utilities 164487 754995 4.59 0.20

600638 New Huang Pu 56116 400110 7.13 0.10

600641 Wanye Enterprise 80616 365996 4.54 0.06

600642 Shenergy 472877 2170507 4.59 0.42

600643 AJ Trust & Investment 81785 523423 6.40 0.17

600649 Shanghai Chengtou 229810 1383453 6.02 0.22

600655 Yuyuan Tourist Mart 143732 1204476 8.38 0.31

600657 Cinda Real Estate 152426 568549 3.73 0.06

600660 Fuyao Glass 186305 1494163 8.02 0.37

600663Shannghai Lujiazui Finance & Trade Devellopment

135808 1538709 11.33 0.15

600664 Harbin Pharmaceutical 105339 772135 7.33 0.23

600674 Chuantou Energy 54744 613134 11.20 0.14





Closing Price (RMB)


600675 China Enterprise 141444 527586 3.73 0.12

600690 Qingdao Haier 268513 2397819 8.93 0.46

600703 Sanan Optoelectronics 120511 1317182 10.93 0.20

600736 Suzhou New District Hi-Tech 105788 464410 4.39 0.09

600737 Cofco Tunhe 80560 484168 6.01 0.10

600739 Liaoning Chengda 136471 1677228 12.29 0.53

600741 Huayu Automotive 147256 1363593 9.26 0.31

600747Da l i a n Dax i a n En t e r p r i s e s Holdings

106433 508749 4.78 0.13

600748 Shanghai Industrial Development 108337 554686 5.12 0.07

600759 Hainan Zhenghe Industrial Group 121602 813519 6.69 0.08

600773Tibet Urban Development and Investment

19280 218825 11.35 0.09

600795 GD Power 1395428 3893245 2.79 0.70

600804 Dr. Peng 133851 777676 5.81 0.25

600811 Oriental Group 166681 915076 5.49 0.24

600812 Northern China Pharm 102858 666518 6.48 0.17

600823 Shimao Real Estate 47836 499881 10.45 0.12

600832 Shanghai Oriental Pearl 318633 1682385 5.28 0.28

600837 Haitong Securities 822782 6096815 7.41 1.99

600863I nne r Mongo l i a MengD i an HuaNeng Thermal Power

57294 475536 8.30 0.16

600872 Jonjee Hi-Tech 79664 332198 4.17 0.11

600875 Dongfang Electric 154393 3568022 23.11 0.49

600879 Aerospace Times Electronics 81104 665864 8.21 0.17

600884 Ningbo Shanshan 41086 504534 12.28 0.12

600887 Yili Industrial Group 158734 3242939 20.43 1.05

600895 Zhangjiang Hi-tech 154869 1051560 6.79 0.17

600900 Yangtze Power 736407 4683548 6.36 1.04

600997 Kailuan Clean Coal 123464 1375389 11.14 0.22

600999 Merchants Securities 245557 2499770 10.18 0.76

601001 Datong Coal 167370 2035219 12.16 0.26

601006 Daqin Railway 1486679 11090626 7.46 1.44

601009 Bank of Nanjing 296893 2755170 9.28 0.62

601018 Ningbo Port 308000 736120 2.39 0.20

601088 China Shenhua 1631104 41315859 25.33 2.71





Closing Price (RMB)


601099 Pacific Ocean 148431 998942 6.73 0.10

601101 Haohua Energy Resource 35485 615312 17.34 0.22

601106 China First Heavy Industries 229000 728220 3.18 0.27

601111 Air China 819974 5223233 6.37 0.35

601117China National Chemical Engineering

152900 871530 5.70 0.27

601118 Hainan Rubber Industry 78600 534480 6.80 0.17

601158 Chongqing Water Group 50000 300500 6.01 0.19

601166 Industrial Bank 1078641 13504587 12.52 3.07

601168 Western Mining 238300 2232871 9.37 0.58

601169 Bank Of Beijing 622756 5779177 9.28 1.32

601179 China XD Electric 146700 542790 3.70 0.21

601186 China Railway Construction 1001625 3796157 3.79 0.39

601268China Erzhong Group (Deyang) Heavy Industries

32850 231917 7.06 0.08

601288 Agricultural Bank of China 2045647 5359595 2.62 1.32

601299 China CNR 255766 1087006 4.25 0.46

601318 Ping An Insurance 478641 16484395 34.44 3.75

601328 Bank of Communications 3270905 14653656 4.48 3.37

601377 Industrial Securities 152006 1413657 9.30 0.13

601390 China Railway 1662501 4189503 2.52 0.42

601398 ICBC 26222550 111183611 4.24 2.12

601588 North Star 266000 726180 2.73 0.14

601600 Chalco 958052 6150695 6.42 0.60

601601 China Pacific Insurance 620829 11926120 19.21 1.95

601607 Shanghai Pharmaceuticals 107053 1186144 11.08 0.35

601618 Metallurgical Corporation of China 362739 957631 2.64 0.42

601628 China Life 2082353 36732707 17.64 0.85

601666 Pingdingshan Tianan Coal 236117 2495751 10.57 0.40

601668 China State Construction 1308000 3806280 2.91 1.43

601688 Huatai Securities 177153 1385333 7.82 0.43

601699 Lu’an Environmental Energy 230108 4869094 21.16 0.63

601717Zhengzhou Coal Mining Machinery Group

41440 1030613 24.87 0.11

601718 Jihua Group 115700 395694 3.42 0.13

601727 Shanghai Electric 985071 5023864 5.10 0.33





Closing Price (RMB)


601766China South Locomotive & Rolling Stock

951600 4120428 4.33 0.56

601788 China Everbright Securities 109300 1114860 10.20 0.46

601808 China Oilfield Services 291047 4217268 14.49 0.28

601818 Everbright Bank 1521689 4382464 2.88 0.37

601857 Petrochina 16152208 157322504 9.74 1.21

601866 China Shipping Container 769846 1870726 2.43 0.19

601888 China International Travel Service 22000 577060 26.23 0.23

601898 China Coal Energy 900698 8115286 9.01 0.54

601899 Zijin Mining 1580380 6037053 3.82 0.98

601919 China COSCO 747595 3498745 4.68 0.35

601939 China Construction Bank 959366 4355521 4.54 1.43

601958 Jinduicheng Molybdenum 322596 3671141 11.38 0.35

601988 Bank of China 19552505 57093314 2.92 0.67

601989 China Shipbuilding Industry 340000 1737400 5.11 0.74

601998 Citic Bank 3169133 12803297 4.04 0.36






Closing Price (RMB)


600004 Guangzhou Baiyun International Airport 115000 711850 6.19 0.25

600006 Dongfeng Automobile 200000 628000 3.14 0.22

600008 Beijing Capital 220000 1144000 5.20 0.50

600011 Huaneng Power International 1000000 5350000 5.35 1.46

600012 Anhui Expressway 116560 488386 4.19 0.13

600017 Rizhao Port 226515 611591 2.70 0.31

600018 Shanghai International Port 2099080 5436617 2.59 0.49

600020 Zhongyuan Expressway 139050 358749 2.58 0.19

600022 Shandong Iron And Steel Company 312048 1076566 3.45 0.37

600026 China Shipping Development 210855 1248263 5.92 0.33

600027 Huadian Power International 519006 1691958 3.26 0.46

600033 Fujian Expressway Development 133975 318860 2.38 0.29

600035 Chutian Expressway 93165 312104 3.35 0.11

600038 Hafei Aviation Industry 33735 587664 17.42 0.25

600051 Ningbo United 30240 265507 8.78 0.18

600054 Huangshan Tourism Development 11762 174666 14.85 0.16

600056 China Medicine and Health Products 31096 629379 20.24 0.22

600059 Guyuelongshan Shaoxing Wine 60399 634186 10.50 0.34

600060 Hisense Electric 86887 1032223 11.88 0.53

600062China Resources Double-Cranepharmaceutical

57170 891846 15.60 0.46

600063Wanwei Updated High-Tech Material Industry

73616 297408 4.04 0.16

600066 Zhengzhou�Yutong�Bus 51989 1230064 23.66 0.74

600067 Citychamp Dartong 72705 442773 6.09 0.27

600069 Yinge Industrial Investment 66180 401051 6.06 0.30

600070 Zhejiang Furun 14068 108320 7.70 0.07

600071 Phenix Optical 23747 167656 7.06 0.10

600072 CSSC Jiangnan Heavy Industry 47843 739174 15.45 0.39

600075 Xinjiang Tianye 43859 382891 8.73 0.20

600078 Chengxing Phosph-Chemicals 66223 458923 6.93 0.24

600079 Humanwell Healthcare 40790 786018 19.27 0.68





Closing Price (RMB)


600087 Nanjing Tanker Corporation 289919 565342 1.95 0.29

600088 China Television Media 33142 463991 14.00 0.20

600097 Kaichuang Marine International 11545 116720 10.11 0.09

600098 Guangzhou Development Industry 205920 1422907 6.91 0.37

600101 Mingxing Electric Power 32418 288843 8.91 0.18

600102 Laiwu Steel 23377 167613 7.17 0.17

600105 Jiang Su Etern 38095 242287 6.36 0.15

600106 Chongqing Road & Bridge 45387 315894 6.96 0.22

600110 China-Kinwa High Technology 115031 440570 3.83 0.39

600112 Changzheng Electric 42434 453192 10.68 0.23

600113 Zhejiang Dongri 31860 145919 4.58 0.08

600114 Nbtm New Materials 10768 98525 9.15 0.09

600116Three Gorges Water Conservancy and Electric Power

24753 320060 12.93 0.15

600117 Xining Special Steel 74122 482534 6.51 0.25

600119 Yangtze River Investment Industry 30740 161078 5.24 0.07

600120 Zhejiang Orient Holdings 50547 360403 7.13 0.19

600121Zhengzhou Coal Industry & Electric Power

62914 656193 10.43 0.29

600122 Hongtu High Technology 97199 406290 4.18 0.25

600125 Tielong Container Logistics 103497 960451 9.28 0.73

600128 Jiangsu Holly 24677 242572 9.83 0.17

600133 East Lake High Technology 40183 353208 8.79 0.27

600138 China CYTS Tours 41535 625517 15.06 0.54

600139 Western Resources 27160 370188 13.63 0.17

600141 Xingfa Chemicals Group 35980 614890 17.09 0.38

600143 Kingfa SCI.and Tech 139650 1805675 12.93 0.92

600153 Xiamen C & D 223775 1427685 6.38 0.74

600157 Wintime Energy 44673 647755 14.50 0.28

600161 Tiantan Biological Products 48825 785106 16.08 0.37

600168 Wuhan Sanzhen Industry Holding 44115 302629 6.86 0.13

600170 Shanghai Construction Group 35246 312628 8.87 0.27

600171 Shanghai Belling 67381 305909 4.54 0.21

600172 Huanghe Whirlwind 25100 253757 10.11 0.16

600176 China Fiberglass 42739 554755 12.98 0.26

600178 Dongan Auto Engine 46208 284179 6.15 0.13





Closing Price (RMB)


600190 Jinzhou Port 104378 343404 3.29 0.15

600195 China Animal Husbandry Industry 39000 676260 17.34 0.29

600197 Xinjiang Yilite Industry 44100 402192 9.12 0.18

600200 Jiangsu Wuzhong Industrial 52209 475101 9.10 0.39

600201 Jinyu Group 28081 335012 11.93 0.24

600202 Harbin Air Conditioning 38334 236138 6.16 0.14

600206 Grinm Semiconductor Materials 21750 216413 9.95 0.13

600210 Zijiang Enterprise Group 143674 576131 4.01 0.40

600218 Quanchai Engine 28340 396477 13.99 0.21

600222 Taloph Pharmaceutical 41240 194652 4.72 0.12

600226 Shenghua Biok Biology 40555 304567 7.51 0.18

600227 Guizhou Chitianhua 87018 339368 3.90 0.26

600230 Cangzhou Dahua 25933 192943 7.44 0.08

600231 Lingyuan Iron & Steel 80400 441397 5.49 0.19

600233 Dalian Dayang Trands 11550 111689 9.67 0.08

600236 Guiguan Electric Power 112779 427432 3.79 0.29

600238 Hai Nan Yedao 44203 332408 7.52 0.29

600249 Liuzhou Liangmianzhen 37868 182903 4.83 0.15

600251 Guannong Fruit & Antler 36210 676041 18.67 0.29

600253 Topfond Pharmaceutical 41940 286868 6.84 0.18

600255 Xinke New Materials 44950 275993 6.14 0.19

600258 Beijing Capital Tourism 23140 290638 12.56 0.10

600260 Kaile Science and Technology 52764 289147 5.48 0.20

600261 Zhejiang Yankon Group 29646 510808 17.23 0.28

600262 North Hauler Joint Stock 6600 90354 13.69 0.08

600263 Road & Bridge International 40813 611383 14.98 0.22

600267 Hisun Pharmaceutical 48378 1536969 31.77 0.73

600268 Guodian Nanjing Automation 63525 469447 7.39 0.16

600269 Ganyue Expressway 233541 887455 3.80 0.39

600270Sinotrans Air Transportation Development

33084 194867 5.89 0.19

600273 Huafang Textile 31500 280035 8.89 0.12

600276 Hengrui Medicine 112006 3297464 29.44 1.43

600279 Chongqing Gangjiu 15074 103557 6.87 0.08

600280 Nanjing Central Emporium 13471 337188 25.03 0.16





Closing Price (RMB)


600282 Nanjing Iron and Steel 168480 468374 2.78 0.19

600283 Qianjiang Water Resources Development 28533 280765 9.84 0.14

600284Shanghai Pudong Road and Bridge Construction

41520 313891 7.56 0.22

600285 Lingrui Pharmaceutial 20072 185064 9.22 0.16

600288 Daheng New Epoch Technology 43680 257712 5.90 0.16

600289 Bright Oceans Inter-Telecom 56315 384071 6.82 0.27

600290 Huayi Electric 41103 300463 7.31 0.17

600292 Chongqing Jiulong Electric Power 33450 417122 12.47 0.22

600293 Sanxia New Building Materials 34450 247008 7.17 0.14

600295 Eerduosi Resources 61200 724608 11.84 0.25

600297 Merro Pharmaceutical 35000 198100 5.66 0.09

600298 Angel Yeast 27140 798187 29.41 0.42

600300 V V Food & Beverage 167200 643720 3.85 0.28

600303 SG Automotive Group 57451 402154 7.00 0.28

600305 Hengshun Vinegar-industry 12715 126260 9.93 0.05

600307Jiu Steel Group Hongxing Iron and Steel

174720 656947 3.76 0.27

600308 Huatai Paper 116756 414484 3.55 0.25

600310 Guidong Electric Power 27593 358151 12.98 0.12

600312 Pinggao Electric 81897 683837 8.35 0.47

600315 Shanghai Jahwa United 41922 1429125 34.09 0.89

600316 Hongdu Aviation Industry 67645 1126282 16.65 0.41

600317 Yingkou Port Liability 109757 419272 3.82 0.18

600323 Nanhai Development 32528 273888 8.42 0.19

600326 Tibet Tianlu 54720 454723 8.31 0.28

600327 Wuxi Commercial Mansion Grand Orient 52171 376676 7.22 0.20

600328 Lantai Industrial 35912 290886 8.10 0.15

600329 Zhongxin Pharmaceutical 53343 498761 9.35 0.18

600330 TDG Holding 58882 439259 7.46 0.30

600332 Guangzhou Pharmaceutical 59100 776574 13.14 0.27

600333 Changchun Gas 46152 313833 6.80 0.14

600339 Tianli High and New Tech 57815 372332 6.44 0.22

600343 Aerospace Power Hi-Tech 23968 270123 11.27 0.12

600345 Yangtze Communication Industry 19800 203544 10.28 0.11





Closing Price (RMB)


600350 Shandong Expressway 138529 446064 3.22 0.27

600351 Yabao Pharmaceutical 63295 386734 6.11 0.34

600359 Xinjiang Talimu Agriculture Development 32100 232083 7.23 0.10

600360 JiLin Sino-Microelectronics 67808 273944 4.04 0.19

600363Lianchuang Optoelectronic Science and Technology

37081 225080 6.07 0.15

600366 Ningbo Yunsheng 51450 763000 14.83 0.44

600368 Wuzhou Communications 55587 284048 5.11 0.12

600371 WanXiang Doneed 17050 314232 18.43 0.11

600375 Hualing Xingma Automobile 18748 200792 10.71 0.11

600377 Jiangsu Expressway 376554 2142595 5.69 0.38

600380 Joincare Pharmaceutical Group Industry 128820 761324 5.91 0.26

600382 Guangdong Mingzhu 34175 222135 6.50 0.15

600387 Zhejiang Haiyue 38552 351975 9.13 0.23

600388 Fujian Longking 20790 478794 23.03 0.34

600391 ChengFa Aero Science and Technology 7180 116103 16.17 0.10

600392Tiancheng Co.,Ltd.of Taiyuan University of Technology

15660 159106 10.16 0.11

600400 Hongdou Industry 56040 216875 3.87 0.11

600403 DaYou Energy 12747 314971 24.71 0.18

600405 Beijing Dynamic Power 25421 174898 6.88 0.11

600409 Sanyou Chemical Industries 93914 651760 6.94 0.32

600410 Beijing Teamsun Technology 48754 494362 10.14 0.35

600416 Xiangtan Electric Manufacturing 60848 418637 6.88 0.25

600420 Shanghai Modern Pharmaceutical 28773 282842 9.83 0.15

600422 Kunming Pharmaceutical 31391 466150 14.85 0.25

600423 Liuzhou Chemical Industry 39935 253985 6.36 0.15

600425Qingsong Bui lding Mater ials And Chemicals

47870 567254 11.85 0.29

600426 Hualu-Hengsheng Chemical 95363 719987 7.55 0.31

600428 COSCO Shipping 169045 696464 4.12 0.30

600435 China North Optical-Electrical Technology 36176 274939 7.60 0.25

600436 Pientzehuang Pharmaceutical 14000 1037960 74.14 0.45

600438 Tongwei 68752 343072 4.99 0.15

600439 Rebecca Hair Products 78610 522757 6.65 0.32

600446 Kingdom Technology 26114 160860 6.16 0.08





Closing Price (RMB)


600449 Ningxia Buliding Materials 12538 246505 19.66 0.25

600456 Baoji Titanium Industry 22754 414571 18.22 0.33

600458 Times New Material Technology 40872 450412 11.02 0.35

600459 Sino-Platinum Metals 14526 237057 16.32 0.13

600460 Silan Microelectronics 43408 384595 8.86 0.14

600467 Homey Aquatic Development 63360 585446 9.24 0.29

600468 Benefo Tejing Electric 45619 642318 14.08 0.22

600469 Aeolus Tyre 37494 285331 7.61 0.15

600470 Liuguo Chemical 52160 421453 8.08 0.18

600475 Huaguang Boiler 25600 332544 12.99 0.17

600477 Hangxiao Steel Structure 31321 164124 5.24 0.15

600478 Corun New Energy 26136 420787 16.10 0.31

600479 Qianjin Pharmaceutical 30482 321584 10.55 0.20

600480 Lingyun Industrial 35673 291096 8.16 0.15

600481 Shuangliang Eco-Energy Systems 81009 597846 7.38 0.26

600487 Hengtong Optic-electric 16612 269114 16.20 0.17

600488 Tianjin Tianyao Pharmaceutical 54289 295875 5.45 0.15

600491 Long Yuan Construction 94760 526866 5.56 0.27

600495 Jinxi Axle 27182 302262 11.12 0.21

600496 Changjiang & Jinggong Steel Building 58657 476292 8.12 0.28

600498F ibe r home Te l ecommun i ca t i on Technologies

44234 1198731 27.10 0.53

600499 Keda Industrial 60708 556087 9.16 0.35

600500 Sinochem International 143759 918620 6.39 0.40

600501 Aerosun 20629 163382 7.92 0.16

600502 Anhui Water Resources Development 33462 449395 13.43 0.38

600503 Deluxe Family 109948 780628 7.10 0.14

600507 Fangda Special Steel Technology 130053 503305 3.87 0.18

600509 Tianfu Thermoelectric 65570 514722 7.85 0.26

600510 Black Peony 25502 133375 5.23 0.14

600511 China National Medicines 27764 332894 11.99 0.30

600513 Lianhuan Pharmaceutical 11700 133848 11.44 0.08

600517 Zhixin Electric 61871 910115 14.71 0.46

600521 Huahai Pharmaceutical 53861 592468 11.00 0.25

600522 Zhongtian Technology 39139 625443 15.98 0.43





Closing Price (RMB)


600523Guizhou Guihang Automotive Components

19602 191514 9.77 0.12

600525 Changyuan Group 86351 616546 7.14 0.26

600527 Jiangsu Jiangnan High Polymer Fiber 35128 243085 6.92 0.14

600529 Shandong Pharmaceutical Glass 25738 317350 12.33 0.27

600531 Yuguang Gold & Lead 29525 464725 15.74 0.24

600533 Chixia Development 105000 344400 3.28 0.18

600535 Tianjin Tasly Pharmaceutical 51642 2165871 41.94 0.95

600536 China National Software and Service 16131 245193 15.20 0.15

600537 EGing Photovoltaic Technology 23003 466739 20.29 0.34

600540 Xinjiang Sayram Modern Agriculture 30271 215528 7.12 0.11

600543 Mogao Industrial Development 32112 289329 9.01 0.20

600545 Xinjiang Urban Construction 67579 362897 5.37 0.25

600546 Shanxi Coal International Energy 18073 438280 24.25 0.41

600548 Shenzhen Expressway 143327 554676 3.87 0.10

600551 Time Publishing and Media 21710 254656 11.73 0.15

600557 Kanion Pharmaceutical 30711 451755 14.71 0.37

600559 Laobaigan Liquor 14000 291620 20.83 0.15

600561 Jiangxi Changyun 18572 159165 8.57 0.10

600563 Xiamen Faratronic 22500 360225 16.01 0.15

600565 Dima Industry 72000 229680 3.19 0.14

600567 Shanying Paper Industry 53525 175026 3.27 0.15

600570 Hundsun Technologies 62375 763470 12.24 0.52

600572 Conba Pharmaceutical 59689 422000 7.07 0.21

600573 Huiquan Brewery 15333 102273 6.67 0.07

600575 Wuhu Port Storage & Transportation 71160 602014 8.46 0.31

600577 Jingda Special Magnet Wire 29448 272100 9.24 0.17

600578 Beijing Jingneng Thermal Power 68803 491255 7.14 0.15

600580 Wolong Electric 68773 347303 5.05 0.21

600581 Bayi Iron & Steel 76645 560274 7.31 0.24

600582 Tiandi Science & Technology 101160 1871460 18.50 0.64

600586 Jinjing Science and Technology 72457 344895 4.76 0.35

600587 Shinva Medical Instrument 13439 420653 31.30 0.29

600588 Ufida Software 81590 1468626 18.00 0.64

600589 Guangdong Rongtai Industry 60173 360436 5.99 0.22





Closing Price (RMB)


600590 Tellhow Sci-Tech 45533 305979 6.72 0.19

600592 Longxi Bearing 30000 225300 7.51 0.12

600594 Yibai Pharmaceutical 35276 591923 16.78 0.40

600596 Xinan Chemical Indusyrial 67918 441470 6.50 0.31

600597 Bright Dairy and Food 104189 932494 8.95 0.32

600601 Founder Technology 219489 590426 2.69 0.51

600606 Jinfeng Investment 49364 226580 4.59 0.14

600611 Dazhong Transportation 104221 536739 5.15 0.28

600612 Lao Feng Xiang 18837 491649 26.10 0.30

600616 JinFeng Wine 43867 411035 9.37 0.25

600620 Shanghai Tianchen 45778 146033 3.19 0.10

600621 Shanghai Jinling 52408 225879 4.31 0.16

600623 Double Coin Holdings 64637 640550 9.91 0.05

600624Fudan Forward Science and Technology

34516 189490 5.49 0.13

600626 Shanghai Shenda 71024 251426 3.54 0.15

600628 Shanghai New World 53180 388213 7.30 0.27

600636 3F New Materials 34723 709734 20.44 0.43

600639Jinqiao Export Processing Zone Development

65665 444551 6.77 0.15

600644 Leshan Electric Power 32648 271305 8.31 0.17

600647 Tongda Venture Capital 10703 89373 8.35 0.05

600650Jinjiang International Industrial Investment

39056 328852 8.42 0.14

600651 Feilo Acoustics 61589 408334 6.63 0.36

600662 Qiangsheng Holding 54904 238285 4.34 0.24

600667 Taiji Industry 36882 202481 5.49 0.15

600668 Jianfeng Group 34372 269823 7.85 0.23

600673 Dongyangguang Aluminum 82201 604175 7.35 0.21

600676 Shanghai Jiao Yun 73140 315963 4.32 0.16

600682 Nanjing Xinjiekou Department Store 35728 249736 6.99 0.13

600683 Metro Land 42338 198564 4.69 0.15

600684 Pearl River Industrial Development 24315 184309 7.58 0.11

600685 Guangzhou Shipyard International 43846 634018 14.46 0.27

600686 King Long Motor 44260 309375 6.99 0.19

600688 Sinopec Shanghai Petrochemical 72000 428400 5.95 0.50





Closing Price (RMB)


600693 Fujian Dongbai 29901 206318 6.90 0.21

600694 Dashang 29372 977496 33.28 0.83

600697 Chang Chun Eurasia 15516 413491 26.65 0.29

600702 Tuopai Shede Wine 33730 560930 16.63 0.34

600704Zhejiang Material Industrial Zhongda Yuantong Group

56213 440708 7.84 0.31

600708 Shanghai Haibo 50838 218605 4.30 0.13

600710 Changlin 48620 304361 6.26 0.18

600712 Nanning Department Store 25572 177980 6.96 0.10

600713 NanJing Pharmaceutical 54792 213142 3.89 0.16

600717 Tianjin Port 167477 1013235 6.05 0.45

600718 Neusoft 122759 999262 8.14 0.52

600720 Qilianshan Cement 47480 431597 9.09 0.30

600724 Ningbo Fuda 44438 279073 6.28 0.23

600725 Yunnan Yunwei 61624 313047 5.08 0.14

600729 Chongqing Department Store 13617 434913 31.94 0.41

600742 FAWAY Automobile Components 21152 423047 20.00 0.29

600743 Huayuan Property 68194 229814 3.37 0.11

600750 Jiangzhong Pharmaceutical 31115 902335 29.00 0.45

600754Jinjiang International Hotels Development

44724 774174 17.31 0.27

600755 Xiamen ITG Group 133084 520357 3.91 0.31

600761 Anhui Heli 42835 436056 10.18 0.27

600765 AVIC Heavy Machinery 77800 696313 8.95 0.30

600770 Jiangsu Zongyi 66660 1061894 15.93 0.59

600778 Xinjiang Youhao 30884 298954 9.68 0.26

600779 Sichuan Swellfun 29532 621951 21.06 0.63

600782 Xinyu Iron and Steel 139343 663273 4.76 0.17

600785 Yinchuan Xinhua Commercial 20743 473566 22.83 0.29

600787 CMST Development 46418 373200 8.04 0.35

600790 Light & Textile Industrial City 51905 294823 5.68 0.24

600797 INSIGMA Technology 81304 411400 5.06 0.37

600801 Huaxin Cement 47920 610022 12.73 0.20

600805 Yueda Investment 70767 869725 12.29 0.61

600806 Kunming Machine Tool 39019 231771 5.94 0.12

600808 Maanshan Iron And Steel 596775 1480002 2.48 0.52





Closing Price (RMB)


600809 Shanxi Xinghuacun Fen Wine 43292 2733483 63.14 0.68

600810 Shen Ma Industry 44228 356478 8.06 0.16

600814 Hangzhou Jiebai 31038 183126 5.90 0.12

600815 Xiamen XGMA Machinery 77971 633124 8.12 0.28

600820 Shanghai Tunnel Engineering 73352 577281 7.87 0.36

600822 Shanghai Material Trading 35360 190591 5.39 0.07

600824 Yimin Group 73196 367446 5.02 0.22

600825 Shanghai Xinhua Media 104489 599766 5.74 0.21

600827 Shanghai Friendship Group 124038 1410315 11.37 0.76

600828 Chengshang Group 43736 367822 8.41 0.13

600829 Sanjing Pharmaceutical 57989 592066 10.21 0.15

600830 Sunny Loan Top 45432 292584 6.44 0.18

600831Shaanxi Broadcast & Tv Network Intermediary

56344 562875 9.99 0.34

600834 Shanghai Shentong Metro 47738 289771 6.07 0.10

600835Shanghai Mechanical & Electrical Industry

80650 639558 7.93 0.28

600836 Jielong Industry 31356 209460 6.68 0.15

600839 Sichuan Changhong Electric 460927 986385 2.14 0.68

600845 Shanghai Baosight Software 22652 328450 14.50 0.06

600846 Tongji Science & Technology Industrial 58716 256588 4.37 0.19

600853 Longjian Road Bridge 53681 159432 2.97 0.10

600857 HIT.Shouchuang Technology 22432 218488 9.74 0.15

600858 Silver Plaza Group 26343 516844 19.62 0.34

600859 Wangfujing Department Store 41764 1341048 32.11 0.63

600861 Beijing Urban-Rural Trade Centre 31680 221447 6.99 0.13

600864 Harbin Hatou Investment 54638 330012 6.04 0.17

600865 Baida Group 37624 200160 5.32 0.10

600866 Starlake bioscience 52110 290775 5.58 0.21

600873 MeiHua Holdings Group 29074 241892 8.32 0.17

600874Tianjin Capital Environmental Protection Group

108723 639290 5.88 0.22

600880 B-Ray Media 41407 513448 12.40 0.45

600881 Jilin Yatai 189473 898103 4.74 0.77

600886 SDIC Power 140463 837159 5.96 0.48

600888 Xinjiang Joinworld 35206 502740 14.28 0.26





Closing Price (RMB)


600889 Nanjing Chemical Fibre 30707 155991 5.08 0.08

600893 Xi'An Aero-Engine 108289 1471643 13.59 0.65

600896 China Shipping Haisheng 58132 231364 3.98 0.16

600897 Xiamen International Airport 29781 368689 12.38 0.13

600961 Zhuzhou Smelter Group 25833 237920 9.21 0.21

600963 Yueyang Forest&Paper 84316 394598 4.68 0.28

600966 Bohui Paper Industrial 50458 265912 5.27 0.16

600967 Beifang Chuangye 17323 290853 16.79 0.18

600970 Sinoma International Engineering 72576 1143798 15.76 0.49

600971Hengyuan Coal Industry and Electricity Power

42617 563821 13.23 0.34

600973Baosheng Science and Technology Innovation

15600 174252 11.17 0.10

600976 Wuhan Jianmin Pharmaceutical 15293 231083 15.11 0.16

600978 Yihua Timber Industry 115266 426485 3.70 0.26

600979 Guangan Aaa Public 59289 270952 4.57 0.15

600981 Jiangsu Skyrun 51611 202830 3.93 0.09

600983 Hefei Rongshida Sanyo Electric 19670 137100 6.97 0.13

600985 Anhui Leimingkehua 12960 156038 12.04 0.10

600987 Zhejiang Hangmin 42354 237182 5.60 0.10

600990 Sun-Create Electronics 11760 166169 14.13 0.09

600993 MaYingLong Pharmaceutical Group 33083 572009 17.29 0.29

600995 Yunnan Wenshan Electric Power 47853 327312 6.84 0.23

600998 Jointown Pharmaceutical Group 49682 516197 10.39 0.26

601000 Tangshan Port 45000 278100 6.18 0.12

601003 Liuzhou Iron and Steel 256279 889289 3.47 0.15

601008 Lianyungang Port 53760 232243 4.32 0.09

601098 China South Publishing & Media Group 39800 359792 9.04 0.42

601107 Sichuan Expressway 115745 401635 3.47 0.20

601126 Sifang Automation 8200 131036 15.98 0.17

601137 Ningbo Powerway Alloy Material 5500 83270 15.14 0.08

601139 Shenzhen Gas 57000 633270 11.11 0.13

601177 Hangzhou Advance Gearbox 21306 205816 9.66 0.10

601188 Heilongjiang Transport Development 61640 158414 2.57 0.16

601333 Guangshen Railway 537744 1892858 3.52 0.85

601369 Shaangu Power 55310 633855 11.46 0.32





Closing Price (RMB)


601518 Jilin Expressway 61640 157181 2.55 0.16

601519 Great Wisdom 11000 119680 10.88 0.13

601558 Sinovel Wind Group 21020 328753 15.64 0.23

601678 Befar Group 21450 241313 11.25 0.19

601700 Fengfan Power Equipment 5490 86522 15.76 0.09

601777 Lifan Industry 32660 220132 6.74 0.17

601801 Anhui Xinhua Media 15160 165244 10.90 0.17

601872 China Merchants Energy Shipping 343340 992252 2.89 0.34

601877 Chint Electrics 29068 380792 13.10 0.33

601880 Dalian Port 80841 207760 2.57 0.22

601890 Asian Star Anchor Chain 27783 233380 8.40 0.11

601918 Sdic Xinji Energy 185039 2059481 11.13 0.54

601933 Yonghui Superstores 49403 1489515 30.15 0.41

601991 Datang International Power Generation 899436 4641090 5.16 0.88

Stock Market

2012 Fact Book 64

Listed Companies

Stock Market

Listed Companies Listed Companies




Listed Companies

Issuance Conditions for IPOs

I. Entity qualifications

1. The issuer shall be a joint-stock limited company established by law and legally existing by law.

When a limited liability company is lawfully converted into a joint-stock limited company pursuant to State Council

approval, it may issue shares to the public by way of a public share offer.

2. Unless otherwise approved by the State Council, the issuer shall operate the joint-stock limited company for a

continuous period of three years or more after its establishment.

Where a limited liability company is wholly converted into a joint-stock limited company according to the original

book value of its net assets, the continuous operating period shall be calculated from the date the limited liability

company is established.

3. The registered capital of the issuer shall have been paid up in full, procedures for transferring the property right

attached to assets used as capital contributions by the promoter or shareholders shall have been completed, and there

shall be no material dispute over ownership of the issuer's major assets.

4. The business operations of the issuer shall comply with laws and administrative regulations, its articles of

association, and the state's industrial policies.

5. There shall have been no significant change in the issuer’s principal operations, directors and senior management

and no change in its actual controller in the last three years.

6. The issuer’s equity structure shall be clear and there shall be no major dispute over the ownership of shares held

by the controlling shareholder, controlled shareholders and shareholders controlled by the actual controller.

II. Independence

1. The issuer shall have a complete business structure and the ability to deal directly with the market and operate

independently.

2. The issuer shall maintain the integrity of its assets. Production-oriented enterprises shall have production systems,

auxiliary production systems and supporting facilities related to their business operations, legally hold the ownership or

use rights for land, plant, machinery, and equipment, as well as trademarks, patents, and non-patent technologies related

to their business operations, and shall have an independent system for purchasing raw materials and selling products;

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

operations.

3. The issuer shall maintain the independence of its personnel. The issuer’s general manager, deputy managers,

financial controller, secretary to the board of directors and other senior officers shall not serve its controlling shareholder,

actual controller or other enterprises under their control in a capacity other than director or supervisor, nor draw a salary

from said controlling shareholder, actual controller or other enterprises under their control; the issuer’s financial staff shall

not serve its controlling shareholder, actual controller or other enterprises under their control in any capacity.

4. The issuer shall maintain its financial independence. The issuer shall establish an independent financial accounting

system, be able to make financial decisions independently, and have appropriate financial and accounting systems and a

system for the financial management of its branches and subsidiaries; the issuer shall not use a common bank account

with its controlling shareholder, actual controller or any other enterprise under their control.



5. The issuer shall maintain the independence of its organizational structure. The issuer shall establish sound internal

business management departments to independently exercise business management authority, and shall not combine its

departments with those of its controlling shareholder, actual controller or any other enterprise under their control.

6. The issuer shall maintain the independence of its business. The issuer shall maintain its business independent of

its controlling shareholder, actual controller or any other enterprise under their control, and shall not compete horizontally

with or engage in any apparently unfair transaction its controlling shareholder, actual controller or any other enterprise

under their control.

7. The issuer shall not suffer from any other major defect in its independence.

III. Regular operations

1. The issuer shall have lawfully established sound systems for general meetings, the board of directors, the board

of supervisors, independent directors and the secretary to the board of directors so that relevant departments and

personnel can perform their duties pursuant to the law.

2. The issuer’s directors, supervisors and senior officers shall understand laws and regulations related to the issuance

and listing of shares and shall be aware of the statutory responsibilities and obligations of a listed company and its

directors, supervisors and senior officers.

3. The issuer’s directors, supervisors and senior officers shall have qualifications that conform to the law, regulations

and rules, and shall not be subject to any of the following circumstances:

(1) Banned from access to the securities market by the China Securities Regulatory Commission (CSRC), such ban

not having been lifted;

(2) Subject to an administrative penalty imposed by the CSRC within the last 36 months or has publicly censured by

the Stock Exchange within the last 12 months; or

(3) Investigated by the judicial authorities because of a suspected criminal offence or investigated by the CSRC as a

result of a suspected legal or regulatory violation, where no definitive and conclusive opinion has been issued;

4. The issuer’s system of internal controls shall be sound, have been implemented effectively, and reasonably be

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

effects of its operations.

5. The issuer shall not be subject to any of the following circumstances:

(1) Where it has issued securities to the public or in a disguised manner without the approval of the statutory

authority within the last 36 months; or relevant legal violations that occurred 36 months ago are nevertheless ongoing;

(2) Where it has been subject to administrative penalties within the last 36 months as a result of any violation of laws

and regulations related to, among other matters, industry and commerce, taxation, land, environmental protection, and

customs, and the circumstances are serious;

(3) Where it has submitted an application to the CSRC within the last 36 months, but the application documents

submitted included any false records, misleading statements, or material omissions; or it has obtained issuance approval

by deceptive means while not meeting the issuance conditions; or it has interfered with the examination and verification

work of the CSRC or its issuance examination and verification committee by improper means; or it has forged or altered

the signature or seal of the issuer or the issuer's directors, supervisors or senior officers;

(4) Where the issuance application documents it submits on this occasion include any false records, misleading

statements, or material omissions;

(5) Where it has been investigated by the judicial authorities because of a suspected criminal offence and no definite

and conclusive opinion has been issued; or



(6) Any other circumstances in which investors’ lawful rights and interests and the public interest are seriously

damaged.

6. The issuer’s articles of association shall specify the limits of authority for the examination and approval of external

guarantees and deliberation procedures for external guarantees, and no guarantee shall be improperly provided for its

controlling shareholder, actual controller or any other enterprise under their control.

7. The issuer shall have a strict fund management system and shall not have funds used by its controlling

shareholder, actual controller or any other enterprise under their control in the name of borrowings, debt repayments,

advance payments or any other means.

IV. Finance & accounting

1. The issuer shall have good quality assets, a reasonable asset-liability structure, strong profitability, and normal cash

flows.

2. The issuer’s internal controls shall be effective in all material respects and the issuer shall have obtained an

unqualified internal control certification report issued by a certified public accountant (CPA).

3. The issuer’s basic accounting work and the preparation of its financial statements shall comply with the Accounting

Standards for Business Enterprises and the Accounting Systems for Business Enterprises, and shall fairly reflect in all

material respects its financial position, the results of operations and cash flows, and the issuer shall have obtained an

unqualified audit report issued by a CPA.

4. The issuer shall prepare financial statements on the basis of transactions or events which have actually occurred;

when confirming, measuring or submitting accounting records, it shall exercise due prudence; for the same or similar

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

5. The issuer shall fully disclose relationships with associated parties and appropriately disclose associated

relationships based on the principle of importance. The pricing of associated transactions shall be fair and profits shall

not be manipulated through associated transactions.

6. The issuer shall meet the following conditions:

(1) Its net profit has been positive for the last three financial years, with the aggregate amount exceeding RMB 30

million, and net profits shall have been calculated as the lower of the amounts before and after deducting non-recurring

losses and profits;

(2) Its cumulative net cash flows from business activities for the last three financial years exceed RMB 50 million; or

cumulative business income for the last three years exceeds RMB 300 million;

(3) Its total stock capital before issuance is no less than RMB 30 million;

(4) Its intangible assets (excluding land use rights, marine cultivation rights and mining rights, etc.) do not exceed

20% of net assets at the end of the latest period; and

(5) No loss has not been made up for in the latest period.

7. The issuer shall pay tax in accordance with the law and enjoy various tax concessions in accordance with the



provisions of relevant laws and regulations. The issuer’s business results shall not be heavily reliant on tax concessions.

8. The issuer shall not be subject to any major debt repayment risk or major contingent event such as a guarantee,

lawsuit or arbitration proceedings which will adversely affect its continuing operations.

9. The application documents the issuer submits shall not involve any of the following circumstances:

(1) Deliberately omitting or fabricating transactions, events or other important information;

(2) Misusing accounting policies or accounting estimates; or

(3) Manipulating, forging or tampering with accounting records or relevant vouchers on which financial statements

are based.

10. The issuer shall not be subject to any of the following circumstances which adversely affect its ongoing

profitability:

(1) Where there have been or will be significant changes in the issuer’s business model and the variety and structure

of its products or services which will have a material adverse impact on the ongoing profitability of the issuer;

(2) Where there have been or will be significant changes in the issuer’s position in the industry in which it operates

or the business environment of such industry which will have a material adverse impact on the ongoing profitability of the

issuer;

(3) Where the issuer’s business income or net profit for the latest financial year was heavily reliant on any associated

party or client for which a material degree of uncertainty exists;

(4) Where the issuer’s net profit for the latest financial year was mainly derived from investment income outside the

scope of the consolidated financial statements;

(5) Where there is any risk of a material adverse change in the acquisition or use of major assets or technologies

used by the issuer such as trademarks, patents, proprietary techniques and franchise rights; or

(6) Any other circumstances likely to have a material adverse impact on the ongoing profitability of the issuer.

V. Use of funds raised

1. The funds raised shall be used for clear purposes and shall in principle be used in the issuer’s main business.

Other than for financial enterprises, the funds raised shall not be used as held-for-trading financial assets or available-

for-sale financial assets, or for lending to others, third party managed investments or other financial investments, and

shall not be directly or indirectly invested in companies mainly engaged in the trading of securities.

2. The amount of funds raised and investment projects shall be commensurate with the issuer's current scale of

business operations, financial position, technical standards and management competence, etc.

3. Investment projects for which the funds raised are used shall comply with the state's industrial policies and with

laws, regulations and rules governing, among other matters, investment management, environmental protection, and land

management.

4. The issuer’s board of directors shall carry out a detailed study on the feasibility of projects for which the funds

raised are to be used to ensure that such projects have good prospects and will be profitable, as well as to effectively

guard against investment risk and increase the efficiency with which the funds raised are utilized.



5. Projects for which the funds raised are used shall not, when implemented, result in horizontal competition or have

any adverse impact on the independence of the issuer.

6. The issuer shall establish a special reserve regime for the funds raised, which shall be deposited in a special

account determined by the board of directors.

Listing Conditions for IPOs

If the issuer applies to list its shares on the SSE after making an IPO, it shall meet the following conditions:

1. Its shares have been issued to the public pursuant to CSRC approval;

2. Its total capital stock is no less than RMB 50 million;

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

than RMB 400 million, its publicly issued shares shall account for no less than 10% of its total shares;

4. It has no record of major legal violations within the last three years and its financial and accounting reports do not

contain any false records; and

5. Other conditions required by the Exchange.

SSE Guide to Securities Listing Procedures

The term “securities” refers to stock, corporate bonds, or convertible corporate bonds (including separately traded

convertible corporate bonds, hereinafter referred to as convertible bonds) and other negotiable securities.

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

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

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

abbreviation and communicate over matters relating to securities issuance and a listing application.

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

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

3. If the issuer issues securities to the public and applies to list them on the trading market of the SSE, it shall

disclose its issue announcement, the full text of its prospectus (letter of intention to offer shares, offering prospectus),

inspection documents and appendices thereto (hereinafter referred to as the “relevant documents”) on the SSE website

and be responsible for their content.

4. The issuer and its managing underwriter shall, before 16:00 (14:00 in the case of a corporate bond issue) on

the working day immediately before the day on which they intend to disclose the issue announcement, the full text of the

prospectus (letter of intention to offer shares, offering prospectus) and the relevant documents, and submit the following

materials to the Exchange:

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

(2) The issuer’s application to issue securities through the SSE system;

(3) The issue announcement and the full text of the prospectus (letter of intention to offer shares, offering prospectus)

and the relevant documents;

(4) The issuer and its managing underwriter’s letter of confirmation guaranteeing consistency between the electronic

and written versions of the issue announcement, the full text of the prospectus (letter of intention to offer shares, offering

prospectus) and the relevant documents, and assuming full responsibility for the same; and

(5) Other documents required by the SSE.



Where special circumstances prevent the relevant documents from being submitted on schedule in accordance with

the foregoing requirements, an application shall be submitted to the SSE half an hour prior to the deadline for submission

of relevant materials.

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

in relevant materials submitted to the Exchange. Issuance data include the issue price, the number of shares to be

issued, the time of issuance, the subscription code, the placement ratio, the trading unit of the managing underwriter, the

securities account number of the managing underwriter, and other relevant data.

6. Unless otherwise approved by the SSE, for IPOs, public issues of additional shares, or public issues of convertible

bonds, the online issuance period shall not exceed one trading day, the offline issuance period shall not exceed two

trading days, and the rights issuance period shall not exceed five trading days.

During the online issuance period for an IPO, public issues of additional shares, or public issues of convertible bonds,

the managing underwriter may, after the market close on T date (the online issuance date), apply to the SSE to inquire

about the preliminary results of subscriptions for shares issued online. Where shares and convertible bonds of a listed

company are placed with existing shareholders, its managing underwriter may, after the market close on the first day

immediately following T date, independently inquire about the number of shares validly placed with existing shareholders

through its securities account.

7. Unless otherwise approved by the SSE, the offline issuance period for corporate bonds shall not exceed five

trading days. The deadline for offline issuance shall be at least two trading days later than the online issuance deadline.

During the online issuance period for corporate bonds, the SSE will, through its existing A-share real-time transaction

data interface, submit transaction data for the online issuance of corporate bonds to the Shanghai branch of China

Securities Depository and Clearing Corporation Limited. The Shanghai branch of China Securities Depository and

Clearing Corporation Limited shall conduct clearing operations at the end of each trading day. Registration results

for valid subscriptions may be checked at the end of the next trading day or on the second trading day for such

subscriptions. The securities code for registration data shall be the securities code for the corporate bonds issued online

on this occasion.

Before 10:30 on the trading day immediately after the offline issuance deadline, the managing underwriter shall

submit sales registration data to the bond funding department of the Exchange.

8. When making an IPO, the managing underwriter shall, before 11:00 on the first day immediately after T date,

submit tables for online and offline placements for which capital verification has not been undertaken to the SSE as

required; when issuing additional shares and convertible bonds to the public, it shall, before 16:00 on the first day

immediately after T date, submit tables for online and offline placements for which capital verification has not been

undertaken to the SSE as required.

Where the capital verification process indicates no abnormalities, the managing underwriter shall not adjust the online

and offline placement tables submitted; where any abnormality arises in the course of capital verification, the managing

underwriter may, according to the capital verification circumstances, adjust the online and offline placement tables

submitted, and shall immediately take action to coordinate and deal with any such abnormality and promptly report the

results to the SSE.

Where the managing underwriter adjusts the online and offline placement tables when making an IPO, it shall, before

17:00 on the first day immediately after T date, submit the adjusted online and offline placement tables to the SSE as

required; where the managing underwriter adjusts online and offline placement tables when issuing additional shares or

convertible bonds to the public, it shall, before 11:00 on the second day immediately after T date, submit the adjusted

online and offline placement tables to the SSE as required.



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

SSE all announcements to be disclosed on the following day. After receiving confirmation from the Exchange, the issuer

and its managing underwriter shall contact the designated disclosure media outlets and the SSE website to confirm

the release of such announcements. Where special circumstances prevent such announcements from being submitted

before 16:00, an application must be submitted to the SSE half an hour before the deadline.

10. When underwriting securities, the managing underwriter shall fully disclose the subscription time and subscription

procedures to price inquiry agencies and other investors. Price inquiry agencies and other investors shall not increase,

reduce or modify quotation or subscription data beyond the subscription time and subscription procedures specified

or announced, and the issuer and the managing underwriter shall not assist price inquiry agencies and other investors

in increasing, reducing or modifying quotation or subscription data beyond the subscription time and subscription

procedures specified or announced.

11. After a securities issue is completed, the issuer and its sponsor and managing underwriter shall, in accordance

with the requirements of the Share Listing Rules of the Shanghai Stock Exchange, promptly prepare and submit

securities listing application documents.

12. Where shares or convertible bonds meet listing conditions, the period from the day on which their issuance

is completed to L date (L date is the day on which securities are listed) shall not exceed seven trading days. Where

corporate bonds meet listing conditions, the SSE will coordinate and make arrangements for the listing date after

receiving the issuer’s registration and custody evidential documents. The SSE may adjust the securities listing date

according to market conditions.

The day on which an IPO, a public issue of additional shares, or a public issue of convertible corporate bonds is

completed shall be the day on which successful subscription results are announced. The day on which a rights issue is

completed shall be the ex-rights trading day.

13. Listing application documents for an IPO or ordinary convertible corporate bonds (see documents to be

submitted when applying for an IPO and listing below) shall be submitted to the SSE before 16:00 on the fourth day

before L date.

Listing application documents for a public issue of additional shares or a rights issue shall be submitted to the SSE

before 16:00 on the third day before L date.

Listing application documents for corporate bonds in existence after separately traded convertible corporate bonds

are split and listing application documents for warrants in existence after such a split shall be submitted to the listing

department of the SSE as required before 16:00 on the fifth day before L date. Listing application documents for

warrants in existence after the split shall also be submitted to the management department of the SSE for the record.

14. The issuer, the sponsor and the managing underwriter shall ensure the accuracy and completeness of securities

listing data included in the listing application materials submitted to the Exchange. Securities listing data include the issue

price (or the opening reference price on the first listing day), the number of shares to be listed, the time of listing, the

securities code, the capital stock structure, and other relevant data.

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

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

the listing application.

16. Where the issuer’s securities listing application is approved after being examined by the Exchange, the issuer

shall disclose listing announcements prepared in accordance with relevant requirements and other documents required

by the SSE on the SSE website, and shall be responsible for their content.

17. Before securities are initially listed, the issuer shall, in accordance with the relevant requirements of the

Administrative Measures of the China Securities Regulatory Commission for International Securities Identification



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

18. Listing of securities.

Documents to Be Submitted When Applying for an IPO and Listing

The issuer and its sponsor shall, before applying for shares to be listed, submit the following documents to the

issuance and listing department of the Shanghai Stock Exchange:

1. A share listing application;

2. China Securities Regulatory Commission documents approving the initial listing of the issuer’s shares;

3. Resolutions of the board of directors and the shareholders’ meeting related to the issuance and listing of the

issuer’s shares;

4. A photocopy of the issuer’s business licenses;

5. The issuer’s articles of association;

6. The issuer’s financial and accounting reports for the last three years lawfully audited by an accounting firm

qualified to engage in relevant securities and futures business;

7. Documents proving that all the issuer’s shares were in the custody of the Shanghai branch of China Securities

Depository and Clearing Corporation Limited after the IPO was completed;

8. A capital verification report issued by an accounting firm qualified to engage in relevant securities and futures

business after the IPO was completed;

9. A detailed description of shares in the issuer held by the directors, supervisors and senior officers and statements

and letters of commitment from the directors (supervisors and senior officers);

10. Relevant details on the secretary to the board of directors to be employed or already employed by the issuer;

11. A description of financial materials newly added pursuant to applicable provisions and major matters of relevance

to have occurred after the IPO and before the listing;

12. Letters of commitment as specified in Articles 5.1.4 and 5.1.5 of the Share Listing Rules of the Shanghai Stock

Exchange;

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

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

Announcements of the Shanghai Stock Exchange;

15. The sponsor agreement;

16. The listing sponsor letter issued by the sponsor;

17. The legal opinions issued by law firms; and

18. Other documents required by the Exchange.

Conditions for listed companies to issue securities to the public

To issue securities to the public, a listed company shall first meet the following general provisions:

I. The listed company shall have a complete and well-operated organization, sound operations, and meet the

following requirements:

1. It has legally valid articles of association and a sound system for shareholders’ meetings, the board of directors,

the board of supervisors, independent directors which are able to perform their duties effectively in accordance with the

law;



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

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

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

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

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

been subject to administrative penalties by the CSRC within the last 36 months, and have not been publicly censured by

a stock exchange within the last 12 months;

4. The listed company is separate from its controlling shareholder or actual controller in terms of personnel, assets

and finance, has an independent structure and business, and is able to manage its business independently; and

5. It has not provided an improper external guarantee within the last 12 months.

II. The listed company shall be profitable on an ongoing basis and meet the

following provisions:

1. It has been profitable for the last three financial years; the lower of net profit before or after non-recurring losses

and profits shall be used as the basis for calculation;

2. Its business and profit sources are relatively stable and do not rely heavily on its controlling shareholder or actual

controller;

3. Its current main business or investment directions can be developed sustainably, its business model and

investment plan are prudent, its main products or services have good market prospects, and no substantial adverse

change in the industry business environment or market demand is either currently in existence or foreseeable;

4. Its senior officers and core technical staff are stable and have not undergone any substantial adverse change

within the last 12 months;

5. Its major assets, core technologies and other substantial rights and interests have been obtained legally and can

be used sustainably without any substantial adverse change either currently in existence or foreseeable;

6. It is not affected by any guarantee, litigation, arbitration or other major event likely to materially affect its continuing

operation; and

7. Where it has issued securities to the public within the last 24 months, its business profit in the year in which the

securities were issued was more than 50% lower than in the previous year.

III. The listed company shall have sound finances and meet the following

provisions:

1. Its basic accounting work is up to standard and strictly complies with the state's uniform accounting rules;

2. No certified public accountant has issued a qualified opinion, an adverse opinion or a opinion disclaimer in audit

reports for the last three years or on the latest financial statements. Where explanatory paragraphs are attached to

unqualified audit reports, the matters covered in the explanatory paragraphs have had no major adverse impact on the

issuer, or the major adverse impact has been eliminated before the issue;

3. Its assets are of sound quality. Non-performing assets shall not have a major adverse impact on the financial

status of the company;

4. Its business results are genuine and cash flows are normal. Confirmation of business income and costs and

expenses shall strictly comply with the provisions of relevant state accounting rules, and impairment provisions incurred

in the last three years shall be sufficient and reasonable, without any manipulation of business results; and



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

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;

Violations of laws, administrative rules and regulations on industry and commerce, taxation, land, environmental

protection or customs that have subjected the company to administrative penalties and the circumstances of which have

been serious, or have subjected the company to criminal penalties; and

3. Violations of other laws, administrative rules and regulations in which the circumstances have been serious.

V. The amount of funds raised by listed companies and the use of such funds

shall meet the following provisions:

1. The amount of funds raised shall not exceed what is needed for the proposed projects;

2. The funds raised shall be used for purposes that comply with national industrial policies and provisions of laws and

administrative rules concerning environmental protection and land administration;

3. Other than for financial enterprises, the funds raised on this occasion cannot be held for trading financial assets or

available for sale financial assets, lending to others, investments managed by third parties, or other financial investments;

nor can they be invested directly or indirectly in companies mainly engaged in the trading of securities;

4. The investment projects, when implemented, will not result in horizontal competition with the controlling

shareholder(s) or the actual controller(s), nor affect the independence of the company’s production and operating

activities; and

5. A special reserve regime must be established for the funds raised, which shall be deposited in a special account

determined by the company's board of directors.

VI. The listed company shall be barred from offering securities to the public

under any of the following circumstances:

1. The current application documents include any false records, misleading statements or major omissions;

2. The purposes for which funds raised in the previous public offer of securities have been used have been altered

without authorization and such conduct has not been redressed;

3. The listed company has been subject to a public censure from a stock exchange within the last 12 months;

4. The listed company and its controlling shareholders or actual controllers have engaged in acts that have not

honored undertakings made to investors within the last 12 months;

5. The listed company or its incumbent directors or senior managers have been investigated by the judicial authorities

for suspected criminal offences or investigated by the CSRC for suspected violations of laws or regulations; and

6. Other circumstances where the lawful rights and interests of investors and the public interest have been seriously

infringed.



Share Placements of Listed Company

Share placements to existing shareholders (hereinafter referred to as "share placements") shall, in addition to

complying with the preceding general provisions, also comply with the following provisions:

1. The number of shares to be placed shall not exceed 30 percent of the total value of capital stock before the

current placement;

2. Controlling shareholders shall make a public commitment on the number of shares to which they will subscribe

before the general meeting of shareholders is convened; and

3. They shall be sold by proxy as stipulated by the Securities Law.

Where the controlling shareholders fail to honor their share subscription commitments, or where the proxy sale

period expires but the amount of shares subscribed for by existing shareholders has not reached 70 percent of the

shares to be placed, the issuer shall give refunds to shareholders who have already subscribed according to the issue

price plus interest calculated at the bank deposit rate for the corresponding period.

Additional Issuance by Listed Companies

In a public offer of shares to unspecified targets (hereinafter referred to as an "additional issue"), in addition to the

preceding general provisions, the following provisions must also be complied with:

1. The average annual weighted net return on assets in the last three fiscal years shall be no less than 6 percent.

Net profits before or after deducting non-recurring profits and losses, whichever the lower, shall serve as the basis for

calculating the average weighted net return on assets;

2. Other than for financial enterprises, no significant amount shall have been held for trading financial assets or

available for sale financial assets, funds for lending to others, investments managed by third parties, or other financial

investments at the end of the latest accounting period; and

3. The issue price shall be no lower than the average price of the company's shares in the 20 trading days before

publication of the offering prospectus or than the average price on the previous trading day.

Special Treatment

If a listed company is subject to abnormal financial conditions or other abnormal circumstances, thereby causing

a risk that the company will have its share listing terminated or making it difficult for investors to assess the prospects

of the company and potentially damaging their investment interests, a special treatment shall be implemented against

trading in the company’s shares.

Special treatments are divided into listing termination risk warnings (hereinafter referred to as "delisting risk

warnings") and other special treatments.

The disposition measures for delisting risk warnings include the following:

1. Indicating "*ST" before the abbreviation for the shares of the company to distinguish them from other shares; and

2. Limiting daily rises and falls in share quotations to 5%.

Other special treatment measures include the following:

1. Indicating "*ST" before the abbreviation for the shares of the company to distinguish them from other shares; and

2. Limiting daily rises and falls in shares quotations to 5%.

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



trading in the shares of the company:

1. Where the company has incurred losses in each of the last two years (based on the annually audited net profits

disclosed in the two latest annual reports);

2. Where the financial and accounting reports of the company contain significant accounting errors or false records

and are corrected by the company on its own initiative or the CSRC orders the company to rectify the same so its

financial and accounting reports for previous years are adjusted retroactively, resulting in losses for the last two years;

3. Where the financial and accounting reports of the company contain significant accounting errors or false records

and the CSRC orders the company to rectify the same, but the company fails to do so within the prescribed time limit

and the shares of the company have been suspended from trading for two months;

4. Where the company fails to disclose its annual report or interim report within the statutory time limit and the

shares of the company have been suspended for two months;

5. Where the company may be dissolved;

6. Where the people's court has heard a case concerning the bankruptcy of the company and the company is likely

to be declared bankrupt according to law; or

7. Other circumstances determined by the SSE in which the risk of delisting exists.

If any of the following circumstances apply to a listed company, other special treatments shall be implemented delisting in the shares of the company:

1. Where the auditing results for the latest fiscal year show that shareholders equity is negative;

2. Where an accounting firm issues an audit report in which an opinion disclaimer or a negative opinion is given in

relation to the financial and accounting reports for the latest fiscal year;

3. Where, for a company for which a delisting risk warning has been removed as result of the elimination of ongoing

losses, the auditing results for the latest fiscal year show that its main business has not operated normally, or the net

profit after deducting non-recurring losses and profits is negative;

4. Where a natural disaster or significant accident results in the production and business activities of the company

being seriously affected and it is predicted they will not return to normal within three months;

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

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

7. Where the CSRC requests that the SSE issues a special notice on trading in the shares of the company pursuant

to Clause 76 of Measures for Regulation over the Sponsorship System for the Issuance and Listing of Securities;

8. 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

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

After circumstances resulting in a special disposition against the listed company are eliminated, the listed company

may apply to the Stock Exchange to have the special disposition removed.

Suspension and Termination of Listing

If any of the following circumstances apply to a listed company, the company’s share listing shall be suspended:

1. Where, after a delisting risk warning is implemented against trading in the company’s shares due to losses in two



consecutive years (including retroactive adjustments), the company suffers a loss in the next fiscal year;

2. Where, after a delisting risk warning is implemented against trading in the company’s shares due to the company’s

failure to correct material accounting errors or false records in its financial reports within the time limit specified, the

company still fails to correct its financial and accounting reports as required within two months;

3. Where, after a delisting risk warning is implemented against trading in the company’s shares due to the company’s

failure to disclose its annual report or interim report within the statutory period, the company still fails to disclose its

annual report or interim report within two months;

4. Where the total share capital or shareholding distribution of the company has been changed so that the company

no longer meets the listing conditions;

5. Where the company has committed a major illegal act; or

6. Other circumstances determined by the SSE.

If any of the following circumstances apply to a listed company, the company’s share listing shall be terminated:

1. Where it fails to disclose its latest audited annual report within the statutory time limit after the company’s share

listing has been suspended due to circumstances described in Article 1 above;

2. Where, after the company’s share listing is suspended due to circumstances described in Article 1 above, the

latest audited annual report disclosed by the company within the statutory time limit shows that the company suffered a

loss;


company discloses its latest audited annual report within the statutory time limit but fails to apply for its listing to be

resumed within the following five trading days;

4. Where the application for the resumption of listing is not entertained;

5. Where the application for the resumption of listing is not approved;

6. Where the general meeting of shareholders makes a resolution on the termination of its share listing when the

company’s share listing is suspended;


company still fails to correct its financial and accounting reports as required within two months or has disclosed financial

and accounting reports corrected as required within two months but fails to apply for its listing to be resumed within the

following five trading days;


company still fails to disclose the relevant annual report or interim report within two months or has disclosed the relevant

annual report or interim report within two months but fails to apply for its listing to be resumed within the following five

trading days;

9. Where the company no longer meets the listing conditions due to a change in its total share capital or its

shareholding distribution and still fails to meet the listing conditions within the time limit prescribed by the SSE;

10. Where the listed company or a purchaser repurchases shares or makes a takeover offer for the purpose of

terminating the share listing and, after implementing the scheme, the total share capital or shareholding distribution of

the company has been changed such that the company no longer meets the listing conditions and the company applies

to the SSE for its listing to be resumed;

11. Where the company is dissolved or declared bankrupt; or

12. Other circumstances determined by the SSE.

The listed company expert committee of the SSE shall, in accordance with relevant CSRC provisions, examine

matters involving the termination of company share listings and form opinions thereon, and the SSE shall decide whether

or not to terminate share listings based on the opinions of the expert committee.



If a listed company is subject to any of other circumstances resulting in the termination of its listing, the SSE shall

terminate its share listing based on the decision of the CSRC.

Listing Agreements

Any company that applies for its shares or derivatives to be listed and traded on the SSE shall be examined and

approved by the SSE and shall sign a listing agreement with the SSE before the listing takes effect to define the rights

and obligations of both parties and other relevant matters.

Listing Conditions for Convertible Corporate Bonds

Any listed company that applies for its convertible corporate bonds to be listed on the SSE shall comply with the

following conditions:

1. The term of the convertible corporate bonds shall be no less than one year;

2. The value of convertible corporate bonds to be issued shall be no less than RMB 50 million; and

3. The statutory conditions for the issuance of corporate bonds shall still be met at the time of the listing application.

Listing Conditions for Warrants

If the target securities for warrants for which a listing application is made to the SSE are shares, the target shares

shall meet the following conditions on the day of the listing application:

1. The market capitalization of outstanding shares has been less than RMB 3 billion within the last 20 trading days;

2. The cumulative turnover rate for transactions in shares in the last 60 trading days is less than 25%;

3. Tradable share capital is no less than 300 million;

4. Other conditions determined by the SSE.

If the target securities are other securities, the SSE shall make separate provisions for their eligibility and conditions.

Warrants for which a listing application is made to the SSE shall meet the following conditions:

1. The type of warrants, exercise price, valid term, date of exercise, exercise settlement method, exercise ratio and

other elements have been agreed;

2. The number of warrants for which the listing application is made is no less than 50 million;

3. No fewer than 100 investors hold more than 1000 warrants;

4. The valid term of the warrants is between 6 months and 24 months from the date of listing;

5. The issuer has provided the performance guarantee specified in Article 11 of these Measures; and

6. Other conditions determined by the SSE.



Number and Sector Distribution of Listed Companies

Year Industrial Commercial Real Estate Public Utilities Conglomerates Total

1991 3 2 0 0 3 8

1992 20 3 1 1 4 29

1993 63 14 8 11 10 106

1994 93 34 9 15 20 171

1995 109 34 9 12 24 188

1996 164 46 9 22 52 293

1997 218 50 9 33 73 383

1998 257 49 9 38 85 438

1999 291 49 9 39 96 484

2000 347 54 9 50 112 572

2001 402 56 13 59 116 646

2002 451 60 15 67 122 715

2003 505 60 15 72 128 780

2004 546 59 17 82 133 837

2005 544 58 17 83 132 834

2006 544 58 19 88 133 842

2007 545 58 24 90 143 860

2008 547 58 24 91 144 864

2009 549 57 25 91 148 870

2010 559 57 25 93 160 894

2011 587 58 24 95 167 931



Geographical Distribution of Listed Companies

Region Number of Listed Companies Percentage (%) New Listings in 2011 Percentage (%)

Anhui 29 3.11 0 0.00

Beijing 95 10.20 6 15.38

Fujian 32 3.44 1 2.56

Gansu 11 1.18 1 2.56

Guangdong 39 4.19 0 0.00

Guangxi 12 1.29 1 2.56

Guizhou 9 0.97 0 0.00

Hainan 8 0.86 1 2.56

Hebei 18 1.93 2 5.13

Henan 22 2.36 1 2.56

Heilongjiang 23 2.47 1 2.56

Hubei 36 3.87 1 2.56

Hunan 21 2.26 2 5.13

Jilin 17 1.83 0 0.00

Jiangsu 77 8.27 11 28.21

Jiangxi 16 1.72 0 0.00

Liaoning 27 2.90 0 0.00

Inner Mongolia 15 1.61 1 2.56

Ningxia 4 0.43 0 0.00

Qinghai 6 0.64 0 0.00

Shandong 50 5.37 1 2.56

Shanxi 17 1.83 0 0.00

Shaanxi 17 1.83 0 0.00

Shanghai 149 16.00 2 5.13

Sichuan 34 3.65 1 2.56

Tianjin 17 1.83 0 0.00

Tibet 6 0.64 0 0.00

Xinjiang 21 2.26 0 0.00

Yunnan 13 1.40 0 0.00

Zhejiang 73 7.84 6 15.38

Chongqing 17 1.83 0 0.00



Newly Listed Stocks in 2011

Stock Code Short Name SectorIssue Price (RMB)

Listing DateOpening Price(RMB)

Closing Price (RMB)

601010 Wenfeng Great World Commercial 20.000 2011-6-3 18.050 18.340

601011 Baotailong Industrial 18.000 2011-3-9 27.110 25.750

601028 Yulong Steel Pipe Industrial 10.800 2011-11-7 13.500 13.240

601058 Sailun Industrial 6.880 2011-6-30 10.150 10.020

601100Hengli Highpressure Oil Cylinder

Industrial 23.000 2011-10-28 23.000 23.780

601113 Huading Nylon Industrial 14.000 2011-5-9 13.400 13.420

601116 Sanjiang Shopping Commercial 11.800 2011-3-2 19.110 21.780

601118 Hainan Rubber Industrial 5.990 2011-1-7 9.530 11.010

601137 Powerway Alloy Materials Industrial 27.000 2011-1-27 25.500 25.750

601199 Jiangnan Water Public utilities 18.800 2011-3-17 21.510 20.550

601208 EMT Industrial 20.000 2011-5-20 21.220 22.780

601216 Inner Mongolia Junzheng Industrial 25.000 2011-2-22 26.010 27.640

601218Jixin Wind Energy Technology

Industrial 22.500 2011-5-6 19.260 19.970

601222 Linyang Electronics Industrial 18.000 2011-8-8 22.000 21.970

601233 Tongkun Group Industrial 27.000 2011-5-18 27.180 29.710

601258Pang Da Automobile Trade

Conglomerates 45.000 2011-4-28 36.000 34.580

601311 Camel Group Industrial 18.600 2011-6-2 17.600 17.550

601336 NCI Conglomerates 23.250 2011-12-16 25.000 26.440

601519 Great Wisdom Conglomerates 23.200 2011-1-28 24.910 25.380

601555 Soochow Securities Conglomerates 6.500 2011-12-12 8.060 7.350

601558 SINOVEL Industrial 90.000 2011-1-13 87.000 81.370

601566 JOEONE Industrial 22.000 2011-5-30 21.300 19.130

601567 Sanxing Electric Industrial 20.000 2011-6-15 19.980 18.910

601599 Lugang Wool Industrial 10.000 2011-5-27 14.220 16.790

601616 SGEG Industrial 19.000 2011-2-1 19.000 17.900

601633 Great Wall Motors Industrial 13.000 2011-9-28 12.800 11.850

601636 KIBING Industrial 9.000 2011-8-12 15.000 14.150

601669 SINOHYDRO Public utilities 4.500 2011-10-18 4.780 5.270

601677 Mingtai Aluminum Industrial 20.000 2011-9-19 18.650 18.260

601700Fengfan Power Equipment

Industrial 35.000 2011-1-18 29.970 29.960



Stock Code Short Name SectorIssue Price (RMB)

Listing DateOpening Price(RMB)

Closing Price (RMB)

601789 Ningbo Construction Industrial 6.390 2011-8-16 11.310 11.230

601798 Lanpec Technologies Industrial 11.000 2011-6-22 14.780 13.530

601799 Xingyu Industrial 21.240 2011-2-1 20.000 19.730

601886 Jiangho Curtain Wall Industrial 20.000 2011-8-18 27.880 26.350

601901 Founder Securities Conglomerates 3.900 2011-8-10 5.510 5.600

601908 JYT Corp. Industrial 42.000 2011-9-8 49.100 46.630

601928Phoenix Publishing and Media

Conglomerates 8.800 2011-11-30 12.030 11.860

601992 BBMG Industrial 0.000 2011-3-1 15.000 15.050

601996 Fenglin Wood Industry Industrial 14.000 2011-9-29 12.800 13.230

Note: BBMG (601992) is listed through a share swap, i.e., acquisition of Taihang Cement (600553). Therefore, the listing has neither offering

price nor capital raised.



New

ly L

iste

d C

ompa

nies

in 2

011

Stoc

k Co

deSh

ort N

ame

Met

hod

of Is

suan

ceVo

lum

e of

Sh

ares

Iss

ued

(10,

000

shar

es)

Issue

Pr

ice

(RM

B)

Lott

ery

Succ

ess

Rate

(%)

Proc

eeds

(RM

B 10

,000

)P/

E Ra

tio

(tim

es)

Issui

ng D

ate

List

ing

Date

Publ

icatio

n Da

te o

f Pr

ospe

ctus

Le

ad U

nder

write

r

6010

10W

enfe

ng G

reat

Wor

ldOf

fline

pric

e in

quiry

an

d on

line

fixe

d11

000.

0020

.00

24.6

922

0000

.00

31.4

520

11-5

-25

2011

-6-3

2011

-5-1

7Es

senc

e Se

curit

ies

Co. L

td.

6010

11Ba

otail

ong

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

9700

.00

18.0

00.

7917

4600

.00

39.0

820

11-2

-24

2011

-3-9

2011

-2-1

5Fir

st C

apita

l Sec

uritie

s Co

., Lt

d.

6010

28Yu

long

Ste

el P

ipe

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

7950

.00

10.8

01.

1185

860.

0019

.29

2011

-10-

2720

11-1

1-7

2011

-10-

19Pi

ng A

n Se

curit

ies

Co.,

Ltd.

6010

58Sa

ilun

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

9800

.00

6.88

1.41

6742

4.00

23.9

720

11-6

-22

2011

-6-3

020

11-6

-14

Sout

hwes

t Sec

uritie

s Co

., Lt

d.

6011

00He

ngli H

ighp

ress

ure

Oil

Cylin

der

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1050

0.00

23.0

07.

2224

1500

.00

42.5

920

11-1

0-19

2011

-10-

2820

11-1

0-11

Ping

An

Secu

ritie

s Co

., Lt

d.

6011

13Hu

adin

g Ny

lon

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

8000

.00

14.0

01.

4411

2000

.00

40.5

820

11-4

-26

2011

-5-9

2011

-4-1

9Es

senc

e Se

curit

ies

Co. L

td.

6011

16Sa

njian

g Sh

oppi

ngOf

fline

pric

e in

quiry

an

d on

line

fixe

d60

00.0

011

.80

0.47

7080

0.00

56.1

920

11-2

-21

2011

-3-2

2011

-2-1

1Ha

itong

Sec

uritie

s Co

. Ltd

.

6011

18Ha

inan

Rub

ber

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

7860

0.00

5.99

1.32

4708

14.0

087

.73

2010

-12-

2820

11-1

-720

10-1

2-16

CITI

C Se

curit

ies

6011

37Po

werw

ay A

lloy

Mat

erial

sOf

fline

pric

e in

quiry

an

d on

line

fixe

d55

00.0

027

.00

2.57

1485

00.0

071

.05

2011

-1-1

920

11-1

-27

2011

-1-1

1Gu

osen

Sec

uritie

s Co

., Lt

d.

6011

99Ji

angn

an W

ater

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

5880

.00

18.8

00.

4811

0544

.00

58.0

820

11-3

-920

11-3

-17

2011

-3-1

Indu

stria

l Sec

uritie

s Co

., Lt

d.

6012

08EM

TOf

fline

pric

e in

quiry

an

d on

line

fixe

d80

00.0

020

.00

8.33

1600

00.0

040

.94

2011

-5-1

220

11-5

-20

2011

-5-4

Seala

nd S

ecur

ities

Co.,

Ltd.

6012

16In

ner M

ongo

lia

Junz

heng

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1200

0.00

25.0

06.

1630

0000

.00

35.2

120

11-2

-10

2011

-2-2

220

11-1

-24

Guos

en S

ecur

ities

Co.,

Ltd.

6012

18Ji

xin W

ind

Ener

gy

Tech

nolo

gyOf

fline

pric

e in

quiry

an

d on

line

fixe

d50

80.0

022

.50

5.55

1143

00.0

032

.61

2011

-4-2

620

11-5

-620

11-4

-19

Hong

yuan

Sec

uritie

s Co

., Lt

d.



Stoc

k Co

deSh

ort N

ame

Met

hod

of Is

suan

ceVo

lum

e of

Sh

ares

Iss

ued

(10,

000

shar

es)

Issue

Pr

ice

(RM

B)

Lott

ery

Succ

ess

Rate

(%)

Proc

eeds

(RM

B 10

,000

)P/

E Ra

tio

(tim

es)

Issui

ng D

ate

List

ing

Date

Publ

icatio

n Da

te o

f Pr

ospe

ctus

Le

ad U

nder

write

r

6012

22Li

nyan

g El

ectro

nics

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

7500

.00

18.0

02.

2413

5000

.00

31.8

220

11-8

-120

11-8

-820

11-7

-21

GF S

ecur

ities

Co.,

Ltd.

6012

33To

ngku

n Gr

oup

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1200

0.00

27.0

08.

0932

4000

.00

12.2

220

11-5

-520

11-5

-18

2011

-4-2

6Gu

osen

Sec

uritie

s Co

., Lt

d

6012

58Pa

ng D

a Au

tom

obile

Tr

ade

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1400

0.00

45.0

021

.57

6300

00.0

039

.64

2011

-4-1

820

11-4

-28

2011

-4-6

UBS

Secu

ritie

s Co

., Lt

d.

6013

11Ca

mel

Gro

upOf

fline

pric

e in

quiry

an

d on

line

fixe

d83

00.0

018

.60

9.58

1543

80.0

030

.00

2011

-5-2

520

11-6

-220

11-5

-17

Pacif

ic Se

curit

ies

Co.,

Ltd.

6013

36NC

IOf

fline

pric

e in

quiry

an

d on

line

fixe

d15

854.

0023

.25

2.22

3686

05.5

027

.18

2011

-12-

520

11-1

2-16

2011

-12-

2C

hina

Int

erna

tiona

l C

apita

l Co

rpor

atio

n Li

mite

d

6015

19Gr

eat W

isdom

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1100

0.00

23.2

01.

8325

5200

.00

88.8

920

11-1

-20

2011

-1-2

820

11-1

-11

Sout

hwes

t Sec

uritie

s Co

., Lt

d.

6015

55So

ocho

w Se

curit

ies

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

5000

0.00

6.50

0.83

3250

00.0

022

.58

2011

-12-

220

11-1

2-12

2011

-11-

30CI

TIC

Secu

ritie

s

6015

58SI

NOVE

LOf

fline

pric

e in

quiry

an

d on

line

fixe

d10

510.

0090

.00

2.98

9459

00.0

048

.83

2011

-1-5

2011

-1-1

320

10-1

2-24

Esse

nce

Secu

ritie

s Co

. Ltd

.

6015

66JO

EONE

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1200

0.00

22.0

09.

6426

4000

.00

35.0

320

11-5

-19

2011

-5-3

020

11-5

-10

CITI

C Se

curit

ies

6015

67Sa

nxin

g El

ectri

cOf

fline

pric

e in

quiry

an

d on

line

fixe

d67

00.0

020

.00

12.0

513

4000

.00

27.2

120

11-6

-220

11-6

-15

2011

-5-2

4Or

ient

Sec

uritie

s Co

., Lt

d.

6015

99Lu

gang

Woo

lOf

fline

pric

e in

quiry

an

d on

line

fixe

d53

00.0

010

.00

0.78

5300

0.00

25.0

020

11-5

-18

2011

-5-2

720

11-5

-10

Ping

An

Secu

ritie

s Co

., Lt

d.

6016

16SG

EGOf

fline

pric

e in

quiry

an

d on

line

fixe

d10

500.

0019

.00

3.43

1995

00.0

051

.46

2011

-1-2

520

11-2

-120

11-1

-17

Sooc

how

Secu

ritie

s Co

., Lt

d.

6016

33Gr

eat W

all M

otor

sOf

fline

pric

e in

quiry

an

d on

line

fixe

d30

424.

0013

.00

7.52

3955

15.9

014

.94

2011

-9-1

920

11-9

-28

2011

-9-2

Guot

ai J

unan

Sec

uriti

es C

o.,

Ltd.

6016

36KI

BING

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1680

0.00

9.00

0.83

1512

00.0

018

.75

2011

-8-4

2011

-8-1

220

11-7

-25

Chin

a In

vest

men

t Se

curit

ies

Co.,

Ltd.



Stoc

k Co

deSh

ort N

ame

Met

hod

of Is

suan

ceVo

lum

e of

Sh

ares

Iss

ued

(10,

000

shar

es)

Issue

Pr

ice

(RM

B)

Lott

ery

Succ

ess

Rate

(%)

Proc

eeds

(RM

B 10

,000

)P/

E Ra

tio

(tim

es)

Issui

ng D

ate

List

ing

Date

Publ

icatio

n Da

te o

f Pr

ospe

ctus

Le

ad U

nder

write

r

6016

69SI

NOHY

DRO

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

3000

00.0

04.

509.

7013

5000

0.00

15.0

020

11-9

-27

2011

-10-

1820

11-9

-19

Chin

a Se

curit

ies

Co.,

Ltd.

6016

77M

ingt

ai Al

umin

umOf

fline

pric

e in

quiry

an

d on

line

fixe

d60

00.0

020

.00

0.94

1200

00.0

033

.33

2011

-9-7

2011

-9-1

920

11-8

-30

Ping

An

Secu

ritie

s Co

., Lt

d.

6017

00Fe

ngfa

n Po

wer

Equi

pmen

tOf

fline

pric

e in

quiry

an

d on

line

fixe

d54

90.0

035

.00

1.64

1921

50.0

059

.22

2011

-1-6

2011

-1-1

820

10-1

2-28

Shen

yin &

Wan

guo

Secu

ritie

s Co

., Lt

d.

6017

89Ni

ngbo

Con

stru

ctio

nOf

fline

pric

e in

quiry

an

d on

line

fixe

d10

000.

006.

390.

7863

900.

0031

.95

2011

-8-5

2011

-8-1

620

11-7

-27

Chin

a In

vest

men

t Se

curit

ies

Com

pany

Ltd.

6017

98La

npec

Tech

nolo

gies

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

8000

.00

11.0

01.

0888

000.

0034

.38

2011

-6-1

020

11-6

-22

2011

-6-1

Guos

en S

ecur

ities

Co.,

Ltd.

6017

99Xi

ngyu

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

6000

.00

21.2

45.

7712

7440

.00

66.3

820

11-1

-25

2011

-2-1

2011

-1-1

7Gu

otai

Jun

an S

ecur

ities

Co.

, Lt

d.

6018

86Ji

angh

o Cu

rtain

Wall

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

1100

0.00

20.0

01.

6622

0000

.00

37.0

420

11-8

-920

11-8

-18

2011

-7-2

8Pi

ng A

n Se

curit

ies

Co.,

Ltd.

6019

01Fo

unde

r Sec

uritie

sOf

fline

pric

e in

quiry

an

d on

line

fixe

d15

0000

.00

3.90

2.24

5850

00.0

019

.50

2011

-8-1

2011

-8-1

020

11-7

-21

Ping

An

Secu

ritie

s Co

., Lt

d.

6019

08JY

T Co

rp.

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

6000

.00

42.0

00.

9725

2000

.00

53.4

720

11-8

-29

2011

-9-8

2011

-8-1

8CI

TIC

Secu

ritie

s

6019

28Ph

oeni

x Pu

blish

ing

and

Med

iaOf

fline

pric

e in

quiry

an

d on

line

fixe

d50

900.

008.

800.

8744

7920

.00

63.4

020

11-1

1-22

2011

-11-

3020

11-1

1-18

Chi

na I

nter

natio

nal

Cap

ital

Corp

orat

ion

Lim

ited

6019

92BB

MG

3160

1.00

0.00

0.00

0.00

0.00

2011

-2-1

020

11-3

-120

11-1

-31

BO

C I

nter

natio

nal

(Chi

na)

Lim

ited

6019

96Fe

nglin

Woo

d In

dust

ry

Offlin

e pr

ice

inqu

iry

and

onlin

e fi

xed

5862

.00

14.0

00.

8882

068.

0029

.17

2011

-9-2

020

11-9

-29

2011

-9-8

Heng

tai S

ecur

ities

Co.,

Ltd.

Note

s: S

tatis

tics

in th

is ta

ble

inclu

ded

all c

ompa

nies

who

se lis

ting

date

fell w

ithin

201

1.



Rights Issues by Listed Companies in 2011

Stock Code

Short NameRecord Date

Announcement Date of Rights Issue Prospectus

Announcement Date of Share Capital Change

ListingDate

IssuePrice(RMB)

Proceeds(RMB 10,000)

600005Wuhan Steel Processing

2011-3-25 2011-3-23 2011-4-11 2011-4-13 3.70 834582

600428 COSCO SHIPPING 2011-1-4 2010-12-30 2011-1-14 2011-1-18 5.56 211293

600550TIANWEI BAOBIAN ELECTRIC

2011-4-6 2011-3-31 2011-4-19 2011-4-21 11.94 244759

600595ZHONGFU INDUSTRIAL

2011-1-10 2011-1-6 2011-1-24 2011-1-26 7.32 242888

601998 China CITIC Bank 2011-6-28 2011-6-24 2011-7-11 2011-7-13 3.33 1756116

Note: Rights issues in this table included all those whose record dates fell within 2011.



Equity Structure of Listed Companies (2011 year-end)

Category of SharesValue of Issuance(RMB 100 million)

Percentage(%)

Market Cap(RMB 100 million)

Percentage in Total Market Cap (%)

1. Promoter’s shares 4403.55 14.798 18836.55 12.695

State-owned shares 4157.27 13.971 16559.54 11.161

Shares owned by domestic legal person entities

191.30 0.643 1670.43 1.126

Shares owned by foreign institutional investors

27.85 0.094 260.06 0.175

Individual promoter’s shares 27.13 0.091 346.52 0.234

2. Legal person shares 3.23 0.011 27.97 0.019

3. Employee shares 0.00 0.000 0.00 0.000

4. Placement to institutions 101.98 0.343 580.46 0.391

5. Others 964.08 3.240 6079.89 4.098

Sub-total of non-tradable shares 5472.85 18.392 25524.86 17.203

1. Domestically listed RMB-denominated ordinary shares

17859.52 60.018 122167.89 82.337

2. Domestically listed foreign shares 134.28 0.451 683.47 0.460

3.Overseas listed foreign shares 6290.21 21.139 0.00 0.000

4. Others 0.00 0.000 0.00 0.000

Sub-total of tradable shares 24284.01 81.608 122851.36 82.800

Total of shares 29756.86 100.000 148376.22 100.000



Top 50 Listed Companies by Market Capitalization (2011 year-end)

Rank Short Name CodeMarket Cap(RMB10,000)


1 Petrochina 601857 157712103.79 10.63

2 ICBC 601398 111183611.13 7.49

3 Agricultural Bank of China 601288 77042487.00 5.19

4 Bank of China 601988 57093313.77 3.85

5 China Petroleum & Chemical 600028 50204042.60 3.38

6 China Shenhua 601088 41771799.14 2.82

7 China Life 601628 36732706.92 2.48

8 China Merchants Bank 600036 20969697.36 1.41

9 Kweichow Moutai 600519 20068019.40 1.35

10 Ping An Insurance 601318 16484394.79 1.11

11 Pudong Development Bank 600000 15836797.23 1.07

12 Bank of Communications 601328 14653655.90 0.99

13 Industrial Bank 601166 13504586.74 0.91

14 Minsheng Bank 600016 13304097.81 0.90

15 SAIC Motor 600104 13068784.27 0.88

16 Citic Bank 601998 12889686.28 0.87

17 China Pacific Insurance 601601 12076750.70 0.81

18 Everbright Bank 601818 11645219.52 0.78

19 China Unicom 600050 11107016.51 0.75

20 Daqin Railway 601006 11090626.45 0.75

21 Yangtze Power 600900 10494000.00 0.71

22 CITIC Securities 600030 9553261.86 0.64

23 Sany Heavy Industry 600031 9522507.50 0.64

24 China Railway Construction 601668 8730000.00 0.59



Rank Short Name CodeMarket Cap(RMB10,000)


25 Baoshan Iron & Steel 600019 8493343.32 0.57

26 China Coal Energy 601898 8245952.36 0.56

27 Hua Xia Bank 600015 7692242.05 0.52

28 China Shipbuilding 601989 7495198.02 0.51

29 Yanzhou Coal Mining 600188 6627440.00 0.45

30 Anhui Conch Cement 600585 6259534.54 0.42

31 CHALCO 601600 6150695.08 0.41

32 Haitong Securities 600837 6096815.49 0.41

33 Zijin Mining 601899 6037052.99 0.41

34 Poly Real Estate 600048 5948328.66 0.40

35 Shanghai International Port 600018 5893591.53 0.40

36 NCI 601336 5812840.33 0.39

37 Bank of Beijing 601169 5779177.43 0.39

38 Huaneng Power International 600011 5617500.00 0.38

39 Air China 601111 5305745.82 0.36

40Datang International Power Generation

601991 5157089.76 0.35

41 Shanghai Electric 601727 5023864.48 0.34

42 Lu’An Environmental Energy 601699 4869093.74 0.33

43 China Merchants Securities 600999 4744999.63 0.32

44 Baotou Steel Rare Earth 600111 4557075.79 0.31

45 Jiangxi Copper 600362 4551017.56 0.31

46 Huatai Securities 601688 4379200.00 0.30

47 China Construction Bank 601939 4355520.55 0.29

48 China Railway 601390 4307312.52 0.29

49 China Guodian 600795 4295085.19 0.29

50 China Oilfield Service 601808 4289718.13 0.29



Top 50 Listed Companies by Tradable Market Capitalization (2011 year-end)

Rank Short Name CodeTradable Market Cap(RMB10,000)


1 Petrochina 601857 157322503.79 12.81

2 ICBC 601398 111183611.13 9.05

3 Bank of China 601988 57093313.77 4.65

4 China Petroleum & Chemical 600028 50204042.60 4.09

5 China Shenhua 601088 41315859.14 3.36

6 China Life 601628 36732706.92 2.99

7 China Merchants Bank 600036 20969697.36 1.71

8 Kweichow Moutai 600519 20068019.40 1.63

9 Ping An Insurance 601318 16484394.79 1.34

10 Bank of Communications 601328 14653655.90 1.19

11 Industrial Bank 601166 13504586.74 1.10

12 Minsheng Bank 600016 13304097.81 1.08

13 SAIC Motor 600104 12966837.62 1.06

14 CITIC Bank 601998 12803296.80 1.04

15 Pudong Development Bank 600000 12669437.79 1.03

16 China Pacific Insurance 601601 11926119.85 0.97

17 China Unicom 600050 11107016.51 0.90

18 Daqin Railway 601006 11090626.45 0.90

19 CITIC Securities 600030 9530036.51 0.78

20 Sany Heavy Industry 600031 8816623.20 0.72

21 Baoshan Iron & Steel 600019 8493343.32 0.69

22 China Coal Energy 601898 8115286.43 0.66

23 Anhui Conch Cement 600585 6259534.54 0.51

24 CHALCO 601600 6150695.08 0.50



Rank Short Name CodeTradable Market Cap(RMB10,000)


25 Haitong Securities 600837 6096815.49 0.50

26 Zijin Mining 601899 6037052.99 0.49

27 Poly Real Estate 600048 5843229.16 0.48

28 Bank of Beijing 601169 5779177.43 0.47

29 Hua Xia Bank 600015 5604363.30 0.46

30 Shanghai International Port 600018 5436617.23 0.44

31 Agricultural Bank of China 601288 5359595.27 0.44

32 Huaneng Power International 600011 5350000.00 0.44

33 Air China 601111 5223232.87 0.43

34 Shanghai Electric 601727 5023864.48 0.41

35 Lu’An Environmental Energy 601699 4869093.74 0.40

36 Yangtze Power 600900 4683548.31 0.38

37Datang International Power Generation

601991 4641089.76 0.38

38 Jiangxi Copper 600362 4551017.56 0.37

39 Everbright Bank 601818 4382464.32 0.36

40 China Construction Bank 601939 4355520.55 0.35

41 China Oilfield Service 601808 4217268.13 0.34

42 China Railway 601390 4189502.52 0.34

43 CSR 601766 4120428.00 0.34

44 China Guodian 600795 3893244.61 0.32

45 China Construction 601668 3806280.00 0.31

46 China Railway Construction 601186 3796157.04 0.31

47 JDC 601958 3671141.13 0.30

48 Yangquan Coal 600348 3650790.00 0.30

49 Dongfang Electric 600875 3568022.23 0.29

50 China Shipping Development 601919 3498744.74 0.28



Div

iden

d D

istr

ibut

ion

by L

iste

d C

ompa

nies

in 2

011

Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

5000

01Ji

ntai

Fund

2011

-4-2

80.

209

0.20

950

0002

Taih

e Fu

nd20

11-4

-80.

172

0.17

2

5000

03An

xin F

und

2011

-3-3

00.

120

0.12

050

0005

Hans

heng

Fun

d20

11-4

-29

0.37

50.

375

5000

06Yu

yang

Fun

d20

11-4

-14

0.07

10.

071

5000

08Xi

nghu

a Fu

nd20

11-4

-12

0.13

90.

139

5000

09An

shun

Fun

d20

11-3

-30

0.21

00.

210

5000

11Ji

nxin

Fun

d20

11-4

-28

0.07

60.

076

5000

15Ha

nxin

g Fu

nd20

11-4

-29

0.07

50.

075

5000

18Xi

nghe

Fun

d20

11-4

-12

0.10

50.

105

5000

38To

ngqi

an F

und

2011

-1-2

70.

230

0.23

050

0056

Keri

Fund

2011

-4-2

60.

050

0.05

0

5000

58Yi

nfen

g Fu

nd20

11-4

-13

0.00

70.

007

5108

80Di

viden

d ET

F20

11-1

0-28

0.03

50.

035

6000

00Pu

dong

Dev

elop

men

t Ba

nk20

11-6

-13

0.16

00.

114

6000

04Ba

iyun

Airp

ort

2011

-8-2

30.

300

0.27

0

6000

05W

uhan

Iron

and

Ste

el20

11-6

-30

0.10

00.

090

6000

06Do

ngfe

ng A

utom

obile

2011

-6-2

40.

120

0.10

8

6000

07Ch

ina

Wor

ld Tr

ade

Cent

er20

11-6

-10

0.09

00.

081

6000

08Be

ijing

Capi

tal

2011

-6-7

0.13

00.

117

6000

09Sh

angh

ai Ai

rpor

t20

11-8

-18

0.10

00.

090

6000

10Ba

otou

Iron

&Ste

el20

11-7

-40.

012

0.01

1

6000

11Hu

anen

g Po

wer

Inte

rnat

iona

l20

11-6

-30

0.20

00.

180

6000

12W

anto

ng E

xpre

sswa

y20

11-6

-20

0.21

00.

189



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6000

15Hu

a Xi

a Ba

nk20

11-4

-25

0.20

00.

180

6000

16M

insh

eng

Bank

2011

-6-1

40.

100

0.09

0

6000

18Sh

angh

ai In

tern

atio

nal

Port

2011

-7-2

00.

108

0.09

760

0019

Baos

han

Iron

& St

eel

2011

-6-1

50.

300

0.27

0

6000

20Zh

ongy

uan

Expr

ess

2011

-8-1

0.10

00.

090

6000

21Sh

angh

ai El

ectri

c20

11-5

-25

0.05

00.

045

6000

26Ch

ina

Ship

ping

De

velo

pmen

t20

11-6

-17

0.17

00.

153

6000

28Ch

ina

Petro

leum

&

Chem

ical

2011

-6-3

00.

130

0.11

7

6000

28C

hina

Pet

role

um &

Ch

emica

l20

11-9

-28

0.10

00.

090

6000

30CI

TIC

Secu

ritie

s20

11-6

-22

0.50

00.

450

6000

31Sa

ny H

eavy

Indu

stry

2011

-4-2

80.

060

0.00

460

0033

Fujia

n Ex

pres

s20

11-8

-12

0.10

00.

090

6000

35Ch

utian

Exp

ress

2011

-8-2

30.

080

0.07

260

0036

Chin

a M

erch

ants

Ban

k20

11-6

-16

0.29

00.

261

6000

37BG

CTV

2011

-6-2

00.

100

0.09

060

0038

Hafe

i Avia

tion

Indu

stry

2011

-7-1

50.

100

0.09

0

6000

48Po

ly Re

al Es

tate

2011

-5-2

00.

213

0.19

260

0050

Chin

a Un

icom

2011

-7-6

0.02

60.

023

6000

51Ni

ngbo

Uni

ted

Grou

p20

11-6

-17

0.15

00.

135

6000

52Zh

ejian

g Gu

angs

ha20

11-6

-30

0.05

00.

045

6000

55W

anto

ng M

edica

l De

vices

2011

-7-8

0.07

00.

063

6000

56Ch

ina

Med

icine

2011

-5-3

10.

050

0.04

5

6000

58M

iner

als D

evel

opm

ent

2011

-6-1

60.

150

0.13

560

0060

Hise

nse

Elec

tric

2011

-6-3

0.20

00.

180

6000

62Do

uble

-Cra

ne

Phar

mac

eutic

al20

11-7

-80.

230

0.20

760

0063

Wan

wei U

pdat

ed H

igh-

Tech

2011

-9-3

00.

070

0.02

3

6000

64Na

njin

g Xi

ngan

g Hi

gh-

Tech

2011

-6-1

40.

100

0.09

060

0066

Yuto

ng B

us20

11-5

-19

0.30

00.

270



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6000

67Ci

tych

amp

Darto

ng20

11-6

-30.

050

0.04

560

0068

Gezh

ouba

2011

-6-1

50.

100

0.09

0

6000

78C

heng

xing

Pho

sph-

Chem

ical

2011

-6-2

20.

010

0.00

960

0079

Renf

u Hi

-Tec

h20

11-6

-14

0.04

00.

036

6000

81D

ongf

eng

Elec

troni

c Te

chno

logy

2011

-7-1

90.

120

0.10

860

0085

Tong

rent

ang

2011

-7-1

80.

350

0.26

5

6000

87Na

njin

g Ta

nker

2011

-6-2

30.

010

0.00

060

0088

Chin

a Te

levis

ion

Med

ia20

11-7

-27

0.08

50.

077

6000

89Te

bian

Ele

ctric

2011

-6-1

30.

100

0.09

060

0096

Yunt

ianhu

a20

11-7

-80.

200

0.18

0

6000

97Ka

ichua

ng M

arin

e In

tern

atio

nal

2011

-7-2

60.

050

0.04

560

0098

Guan

gzho

u Ho

ldin

gs20

11-6

-10

0.20

00.

180

6000

99Li

nhai

Grou

p20

11-7

-29

0.04

00.

036

6001

00Ts

ingh

ua To

ngfa

ng20

11-5

-18

0.10

00.

090

6001

01M

ingx

ing

Elec

tric

Powe

r20

11-5

-26

0.07

00.

063

6001

02La

iwu

Stee

l20

11-5

-27

0.06

00.

054

6001

04SA

IC M

otor

2011

-7-6

0.20

00.

180

6001

05Ji

angs

u Et

ern

2011

-7-7

0.05

00.

045

6001

11Ba

otou

Ste

el R

are-

Earth

2011

-5-1

90.

100

0.04

060

0113

Zhej

iang

Dong

ri20

11-3

-29

0.05

00.

020

6001

14NB

TM20

11-4

-27

0.10

00.

090

6001

16Th

ree

Gorg

es W

ater

Co

nser

vanc

y20

11-6

-10

0.10

00.

090

6001

18Ch

ina

Spac

esat

2011

-6-2

40.

050

0.04

560

0119

Yang

tze R

iver

Inve

stm

ent

2011

-6-1

70.

050

0.04

5

6001

22Hi

teke

r20

11-4

-26

0.03

00.

007

6001

23La

nhua

Sci-

Tech

Ve

ntur

e20

11-5

-23

0.50

00.

450

6001

26Ha

ngzh

ou Ir

on

& St

eel

2011

-5-2

60.

060

0.05

460

0128

Jian

gsu

Holly

2011

-7-2

20.

080

0.07

2



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6001

32Ch

ongq

ing

Brew

ery

2011

-5-1

30.

300

0.27

060

0138

Chin

a Yo

uth

Trav

el20

11-7

-25

0.20

00.

180

6001

39Si

chua

n W

este

rn

Reso

urce

s 20

11-4

-80.

045

0.00

160

0141

Xing

fa C

hem

icals

Grou

p20

11-6

-17

0.10

00.

090

6001

43Ki

ngfa

2011

-5-2

00.

100

0.09

060

0145

*ST

Swel

l20

11-1

-50.

005

0.00

5

6001

50Ch

ina

Stat

e Sh

ipbu

ildin

g20

11-7

-21

0.60

00.

540

6001

51Sh

angh

ai Ae

rosp

ace

2011

-6-2

20.

020

0.01

8

6001

52Ve

ken

2011

-6-1

70.

060

0.05

460

0153

Xiam

en C

& D

2011

-7-1

80.

100

0.09

0

6001

57W

intim

e En

ergy

2011

-6-1

70.

008

0.00

360

0158

Chin

a Sp

orts

Indu

stry

2011

-6-2

10.

010

0.00

4

6001

60Zh

ejian

g Ju

hua

2011

-3-3

00.

250

0.22

560

0161

Tian

tan

Bio

2011

-4-2

80.

100

0.09

0

6001

62He

ungk

ong

Hold

ing

2011

-6-3

00.

020

0.01

860

0166

Foto

n M

otor

2011

-5-2

00.

280

0.15

2

6001

68W

uhan

San

zhen

In

dust

ry H

oldi

ng20

11-5

-13

0.02

90.

026

6001

69Ta

iyuan

Hea

vey

Indu

stry

2011

-6-1

30.

050

0.00

5

6001

70Sh

angh

ai Co

nstru

ctio

n20

11-7

-40.

150

0.13

560

0171

Shan

ghai

Bellin

g20

11-6

-21

0.01

00.

009

6001

73W

olon

g Re

al Es

tate

2011

-5-2

70.

070

0.06

360

0175

Mei

du H

oldi

ng

2011

-6-1

50.

010

0.00

4

6001

77Yo

ngor

2011

-6-3

0.50

00.

450

6001

82S

Giti

2011

-5-2

00.

100

0.09

0

6001

83Sh

engy

i Tec

h20

11-4

-22

0.30

00.

270

6001

88Ya

nzho

u Co

al20

11-6

-27

0.59

00.

531

6001

89Ji

lin F

ores

t20

11-7

-29

0.10

00.

090

6001

90Ji

nzho

u Po

rt20

11-6

-29

0.05

00.

045



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6001

95Ch

ina

Anim

al Hu

sban

dry

2011

-6-2

10.

300

0.27

060

0196

Fosu

n Ph

arm

aceu

tical

2011

-7-1

50.

100

0.09

0

6001

97Yi

lite20

11-8

-31

0.20

00.

180

6002

00Ji

angs

u W

uzho

u In

dust

rial

2011

-5-2

70.

020

0.01

8

6002

08Xi

nhu

Vent

ure

2011

-7-8

0.02

50.

003

6002

10Zi

jiang

Ent

erpr

ise20

11-7

-80.

200

0.18

0

6002

16Zh

ejian

g M

edici

ne20

11-6

-17

0.70

00.

630

6002

19Na

nsha

n Al

umin

um20

11-6

-30

0.10

00.

090

6002

21Ha

inan

Airli

nes

2011

-6-1

00.

050

0.04

560

0226

Shen

ghua

Bio

k20

11-6

-30.

150

0.13

5

6002

30Ca

ngzh

ou D

ahua

2011

-5-2

00.

130

0.11

760

0231

Ling

yuan

Iron

and

Ste

el20

11-5

-20

0.04

00.

036

6002

32Go

lden

Eag

le20

11-6

-24

0.10

00.

090

6002

33Da

yang

Tran

ds20

11-7

-15

0.15

00.

135

6002

35M

infe

ng S

pecia

l Pap

er20

11-6

-20

0.10

00.

090

6002

36Gu

igua

n El

ectri

c20

11-5

-19

0.05

00.

045

6002

38Ha

inan

Yed

ao20

11-5

-26

0.05

60.

000

6002

39Yu

nnan

Hon

ghe

Guan

gmin

g20

11-6

-17

0.03

40.

001

6002

46Va

nton

e Pi

onee

r Re

al

Esta

te20

11-4

-29

0.17

00.

153

6002

50Na

nfan

g Te

xtile

2011

-7-1

50.

010

0.00

9

6002

52Zh

ongh

eng

Grou

p20

11-6

-29

0.06

50.

004

6002

55Xi

nke

New

Mat

erial

s20

11-6

-15

0.05

00.

045

6002

56Gu

angh

ui In

dust

ry20

11-4

-60.

060

0.00

460

0258

Capi

tal T

ouris

m20

11-6

-80.

450

0.40

5

6002

61Ya

nkon

Lig

htin

g20

11-4

-22

0.15

00.

135

6002

62No

rth H

aule

r20

11-5

-27

0.10

00.

090

6002

63CR

BC20

11-5

-24

0.03

00.

027

6002

66Be

ijing

Urba

n Co

nstru

ctio

n20

11-7

-29

0.15

00.

135



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6002

67Hi

sun

Phar

mac

eutic

al20

11-5

-18

0.15

00.

135

6002

68Gu

odian

Nan

jing

Auto

mat

ion

2011

-4-2

90.

150

0.13

5

6002

69Ga

nyue

Exp

ress

way

2011

-7-1

50.

100

0.09

060

0270

Sino

trans

2011

-6-2

00.

100

0.09

0

6002

71Ai

sino

2011

-5-1

80.

400

0.36

060

0273

Huaf

ang

Grou

p20

11-5

-24

0.10

00.

090

6002

76He

ngru

i Med

icine

2011

-4-2

90.

100

0.06

060

0277

Yili E

nerg

y20

11-5

-25

0.30

00.

270

6002

78Or

ient

Inte

rnat

iona

l En

terp

rise

2011

-10-

190.

120

0.10

860

0279

Chon

gqin

g Ga

ngjiu

2011

-5-2

60.

040

0.03

6

6002

80Na

njin

g Ce

ntra

l Em

poriu

m20

11-7

-15

0.16

00.

144

6002

82So

uthe

rn C

hina

Ste

el20

11-1

0-19

0.20

00.

180

6002

83Qi

anjia

ng W

ater

Re

sour

ces

2011

-8-8

0.20

00.

180

6002

84Pu

dong

Roa

d &

Brid

ge C

onst

ruct

ion

2011

-7-1

40.

128

0.11

5

6002

85Li

ngru

i Pha

rmac

eutia

l20

11-8

-80.

050

0.04

560

0287

Jian

gsu

Sain

ty20

11-5

-20

0.03

00.

027

6002

89Br

ight

Oce

ans

Corp

orat

ion

2011

-6-3

0.05

00.

045

6002

90HE

AG20

11-5

-20

0.05

00.

045

6002

95Ee

rduo

si20

11-6

-16

0.10

00.

090

6002

98An

gel Y

east

2011

-4-2

20.

150

0.13

5

6003

00V

V Fo

od

& Be

vera

ge20

11-5

-19

0.06

00.

054

6003

03SG

Aut

omot

ive20

11-5

-25

0.07

00.

063

6003

05Ji

angs

u He

ngsh

un

Vine

gar-

Indu

stry

2011

-6-1

30.

075

0.06

860

0307

Stee

l Gro

up H

ongx

ing

Iron

& St

eel

2011

-5-2

00.

100

0.09

0

6003

08Hu

atai

Pape

r20

11-8

-12

0.01

20.

001

6003

09Ya

ntai

Wan

hua

2011

-5-1

80.

400

0.33

0

6003

10Gu

idon

g El

ectri

c Po

wer

2011

-5-1

00.

500

0.45

060

0315

Shan

ghai

Jahw

a20

11-5

-50.

250

0.22

5



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6003

16Ho

ngdu

Avia

tion

2011

-7-2

50.

200

0.18

060

0321

Guod

ong

Cons

truct

ion

2011

-4-2

90.

070

0.06

3

6003

22Ti

anjin

Rea

lity

Deve

lopm

ent

2011

-6-2

00.

050

0.04

560

0323

Nanh

ai De

velo

pmen

t20

11-7

-70.

200

0.16

0

6003

25Hu

afa

2011

-6-8

0.10

00.

090

6003

27Gr

eat O

rient

2011

-6-9

0.10

00.

090

6003

28La

ntai

Indu

stria

l20

11-7

-25

0.01

50.

014

6003

29Zh

ongx

in

Phar

mac

eutic

als20

11-7

-12

0.20

00.

180

6003

32Gu

angz

hou

Phar

mac

eutic

al20

11-8

-12

0.05

00.

045

6003

33Ch

angc

hun

Gas

2011

-6-1

30.

100

0.09

0

6003

37M

arko

r Fur

nitu

re20

11-6

-20

0.05

00.

045

6003

39Ti

anli H

igh&

New

Tech

2011

-6-3

0.15

00.

135

6003

43Ae

rosp

ace

Powe

r20

11-6

-21

0.10

00.

090

6003

45Ya

ngtze

Com

mun

icatio

n20

11-6

-20

0.20

00.

180

6003

46Da

lian

Rubb

er&P

last

ic M

achi

nery

2011

-7-1

20.

015

0.01

460

0348

Yang

quan

Coa

l Indu

stry

2011

-7-1

10.

100

0.09

0

6003

50Sh

ando

ng E

xpre

sswa

y20

11-5

-16

0.10

40.

094

6003

51Ya

bao

Phar

mac

eutic

al20

11-7

-22

0.05

00.

045

6003

52Zh

ejian

g Lo

ngsh

eng

2011

-6-2

20.

100

0.09

060

0353

Xugu

ang

Elec

troni

cs20

11-7

-70.

050

0.02

5

6003

56He

ngfe

ng P

aper

2011

-6-2

0.09

60.

066

6003

60Si

no-M

icroe

lect

roni

cs20

11-5

-31

0.01

10.

000

6003

61Hy

perm

arke

t20

11-7

-10.

150

0.13

560

0362

Jian

gxi C

oppe

r20

11-7

-28

0.20

00.

180

6003

63Li

anch

uang

Op

toel

ectro

nic

2011

-8-1

10.

020

0.01

860

0366

Ning

bo Y

unsh

eng

2011

-6-1

70.

100

0.06

0

6003

68W

uzho

u Co

mm

unica

tions

2011

-5-1

20.

110

0.09

960

0370

Sanf

angx

iang

2011

-4-2

70.

100

0.09

0



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6003

71W

anxia

ng D

onee

d20

11-7

-27

0.20

00.

180

6003

76Be

ijing

Capi

tal

Deve

lopm

ent

2011

-4-2

80.

200

0.18

0

6003

77Sh

angh

ai-Ni

ngbo

Ex

pres

sway

2011

-6-1

00.

360

0.32

460

0382

Guan

gdon

g M

ingz

hu20

11-5

-30

0.03

00.

027

6003

83Ge

mda

le20

11-6

-90.

060

0.05

460

0388

Fujia

n Lo

ngkin

g20

11-7

-60.

480

0.43

2

6003

95Pa

njian

g Re

fined

Coa

l20

11-7

-22

0.85

00.

765

6003

98Ca

nal S

ci &

Tech

2011

-5-5

0.10

00.

090

6004

00Ho

ngdo

u In

dust

ry20

11-6

-23

0.05

00.

045

6004

05Dy

nam

ic Po

wer

2011

-7-8

0.05

00.

045

6004

06NA

RI Te

chno

logy

De

velo

pmen

t20

11-3

-31

0.10

00.

090

6004

09Sa

nyou

Che

mica

l In

dust

ries

2011

-4-2

80.

120

0.10

8

6004

10Te

amsu

n20

11-5

-30.

120

0.10

860

0418

Jian

ghua

i Aut

omob

ile20

11-5

-27

0.20

00.

180

6004

20Sh

ynde

c Ph

aram

aceu

tical

2011

-3-7

0.10

00.

090

6004

22Ku

nmin

g Ph

arm

aceu

tical

2011

-4-2

10.

150

0.13

5

6004

25Qi

ngso

ng B

uildin

g M

ateria

ls an

d Ch

emica

ls20

11-5

-27

0.40

00.

360

6004

26Hu

alu H

engs

heng

2011

-8-1

80.

100

0.04

0

6004

28CO

SCO

Ship

ping

2011

-8-2

90.

040

0.03

660

0432

Jien

Nick

el20

11-7

-21

0.10

00.

090

6004

33Gu

anha

o Hi

gh-te

ch20

11-4

-19

0.03

00.

027

6004

36Pi

entze

huan

g20

11-6

-29

0.70

00.

630

6004

39Re

becc

a20

11-5

-18

0.10

00.

090

6004

56Ba

oji T

itani

um20

11-6

-17

0.10

00.

090

6004

58Ti

mes

New

Mat

erial

s20

11-4

-22

0.10

00.

050

6004

59Si

no-p

latin

um m

etals

2011

-5-1

80.

072

0.06

5

6004

60Ha

ngzh

ou S

ilan

Micr

oele

ctro

nics

2011

-5-2

50.

060

0.05

460

0461

Hong

chen

g W

ater

work

s20

11-6

-80.

100

0.09

0



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6004

63Ai

rpor

t Hig

h-Te

ch P

ark

2011

-5-2

00.

080

0.07

260

0468

Bene

fo E

lect

ric20

11-9

-26

0.02

30.

001

6004

69Ae

olus

Tyr

e20

11-7

-19

0.10

00.

090

6004

70Li

uguo

Che

mica

l In

dust

ry20

11-6

-22

0.15

00.

135

6004

75Hu

agua

ng20

11-6

-27

0.10

00.

090

6004

77Ha

ngxia

o St

eel

Stru

ctur

e20

11-7

-12

0.03

00.

007

6004

79Qi

anjin

Pha

rmac

eutic

al20

11-6

-23

0.25

00.

225

6004

81Sh

uang

liang

Air-

cond

itioni

ng

2011

-6-1

50.

300

0.27

0

6004

83Fu

jian

Nanf

ang

Text

ile20

11-7

-20

0.03

00.

027

6004

86Ya

ngno

ng C

hem

ical

2011

-5-2

40.

200

0.18

0

6004

87He

ngto

ng

Phot

oele

ctric

al20

11-6

-30.

200

0.18

060

0488

Tian

yao

Phar

mac

eutic

al20

11-4

-22

0.03

00.

027

6004

89Zh

ongj

in G

old

2011

-6-1

50.

100

0.09

060

0491

Long

Yua

n Co

nstru

ctio

n20

11-6

-10.

100

0.04

0

6004

93Fe

ngzh

u Te

xtile

2011

-6-2

0.05

00.

015

6004

96Ji

nggo

ng S

teel

Bui

ldin

g20

11-4

-18

0.05

00.

045

6004

97Ch

ihon

g Zi

nc&

Germ

aniu

m20

11-6

-22

0.30

00.

270

6004

98Fi

berh

ome

Tele

com

mun

icatio

n20

11-7

-22

0.20

00.

180

6004

99Ke

da In

dust

rial

2011

-3-3

00.

100

0.09

060

0500

Sino

chem

Inte

rnat

iona

l20

11-4

-20

0.15

00.

135

6005

02An

hui W

ater

Res

ourc

es20

11-6

-90.

070

0.04

360

0503

Delu

xe F

amily

2011

-4-2

00.

500

0.41

5

6005

03De

luxe

Fam

ily20

11-9

-20.

070

0.00

360

0508

Shan

ghai

Ener

gy20

11-6

-24

0.25

00.

225

6005

09Ti

anfu

The

rmoe

lect

ric20

11-7

-15

0.16

00.

144

6005

10Bl

ack

Peon

y20

11-6

-16

0.15

00.

135

6005

11Na

tiona

l Med

icine

s20

11-6

-22

0.15

00.

135

6005

12Te

ngda

Con

stru

ctio

n20

11-6

-24

0.02

00.

018



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6005

13Li

anhu

an

Phar

mac

eutic

al20

11-6

-24

0.05

00.

045

6005

17Zh

ixin

Elec

tric

2011

-6-2

00.

400

0.36

0

6005

18Ka

ngm

ei

Phar

mac

eutic

al20

11-5

-30

0.05

00.

045

6005

19Kw

eich

ow M

outa

i20

11-7

-72.

300

2.06

0

6005

21Hu

ahai

Phar

mac

eutic

al20

11-5

-16

0.10

00.

090

6005

22Zh

ongt

ian Te

chno

logy

2011

-4-2

90.

100

0.09

0

6005

23Gu

ihan

g Au

tom

otive

2011

-7-8

0.12

60.

113

6005

25Ch

angy

uan

Grou

p20

11-5

-16

0.10

00.

040

6005

27Ji

angn

an H

igh

Polym

er

Fibe

r20

11-3

-23

0.05

00.

045

6005

28Ch

ina

Railw

ay E

rju20

11-6

-30.

110

0.09

9

6005

29Sh

ando

ng

Phar

mac

eutic

al20

11-6

-29

0.10

00.

090

6005

30Ji

aoda

Onl

ly20

11-6

-17

0.07

00.

063

6005

31Yu

guan

g Go

ld &

Lea

d20

11-6

-80.

100

0.09

060

0533

Chixi

a De

velo

pmen

t20

11-6

-24

0.18

00.

162

6005

35Ta

sly20

11-5

-30

0.60

00.

540

6005

36Ch

ina

Natio

nal S

oftw

are

2011

-6-2

10.

110

0.09

9

6005

40Xi

njian

g Sa

yram

M

oder

n Ag

ricul

ture

2011

-6-2

80.

040

0.03

660

0545

Xinj

iang

Sayr

am

Mod

ern

Agric

ultu

re20

11-6

-20

0.05

00.

045

6005

46Sh

anxi

Coal

Inte

rnat

iona

l20

11-5

-27

0.30

00.

270

6005

47Sh

ando

ng G

old

2011

-5-2

60.

100

0.09

0

6005

48Sh

enzh

en E

xpre

sswa

y20

11-6

-10

0.16

00.

144

6005

49Xi

amen

Tung

sten

2011

-6-1

00.

200

0.18

0

6005

50Ti

anwe

i Bao

bian

El

ectri

c20

11-8

-30.

200

0.18

060

0551

Tim

es M

edia

2011

-5-1

90.

100

0.09

0

6005

57Ka

nion

Pha

rmac

eutic

al20

11-6

-10

0.06

00.

054

6005

58At

lantic

Chi

na W

eldi

ng20

11-6

-17

0.10

00.

090

6005

59La

obaig

an L

iquo

r20

11-7

-28

0.10

00.

090

6005

60Ar

iTim

e20

11-5

-23

0.10

00.

040



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6005

61Ji

angx

i Cha

ngyu

n20

11-4

-20

0.18

00.

162

6005

63Fa

ratro

nic

2011

-5-1

00.

450

0.40

5

6005

65Di

ma

Indu

stry

2011

-6-1

60.

010

0.00

960

0566

Hon

gche

ng G

ener

al

Mac

hine

ry20

11-7

-18

0.01

00.

009

6005

67Sh

anyin

g Pa

per

2011

-5-9

0.06

00.

054

6005

69An

yang

Iron

&Ste

el20

11-8

-17

0.02

00.

018

6005

70Hu

ndsu

n El

ectro

nics

2011

-5-2

30.

050

0.04

560

0571

Suny

ard

2011

-6-1

00.

050

0.04

5

6005

72Co

nba

2011

-4-2

90.

100

0.07

060

0573

Huiq

uan

Brew

age

2011

-6-3

0.08

00.

072

6005

78Ji

ngne

ng T

herm

al Po

wer

2011

-7-2

00.

100

0.09

060

0580

Wol

ong

Elec

tric

2011

-6-2

70.

080

0.07

2

6005

81Ba

Yi S

teel

2011

-5-2

00.

220

0.19

860

0582

Tian

di S

cienc

e &

Tech

nolo

gy20

11-8

-18

0.10

00.

090

6005

84Ch

angj

iang

Elec

troni

cs

Tech

nolo

gy

2011

-6-1

0.06

00.

054

6005

85An

hui C

onch

Cem

ent

2011

-6-2

20.

300

0.27

0

6005

87Xi

nhua

Med

ical

Inst

rum

ent

2011

-7-1

20.

100

0.09

060

0588

Ufid

a So

ftwar

e20

11-5

-18

0.22

00.

198

6005

89Gu

angd

ong

Rong

tai

2011

-7-1

30.

025

0.02

360

0590

Tellh

ow S

ci-Te

ch20

11-7

-21

0.05

00.

045

6005

92Lo

ngxi

Bear

ing

2011

-7-8

0.10

00.

090

6005

95Zh

ongf

u In

dust

ry20

11-5

-23

0.05

00.

045

6005

96Xi

nan

Chem

ical

2011

-5-3

10.

100

0.09

060

0597

Brig

ht D

airy

2011

-5-2

70.

120

0.10

8

6005

98He

ilong

jiang

Agr

icultu

re20

11-7

-80.

155

0.14

060

0600

Tsin

gtao

Bre

wery

2011

-8-2

0.18

00.

162

6006

01Fo

unde

r Scie

nce

& Te

chno

logy

2011

-8-1

50.

010

0.00

960

0606

Jinf

eng

Inve

stm

ent

2011

-5-1

80.

050

0.03

0



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6006

11Da

zhon

g Tr

ansp

orta

tion

2011

-7-7

0.08

00.

072

6006

16Ji

nfen

g W

ine

2011

-6-1

70.

150

0.13

5

6006

21Sh

angh

ai Ji

nlin

g20

11-6

-13

0.10

00.

090

6006

22Ji

abao

Indu

stry

&

Com

mer

ce G

roup

2011

-7-5

0.15

00.

135

6006

23Do

uble

Coi

n20

11-6

-27

0.10

80.

097

6006

26Sh

angh

ai Sh

enda

2011

-6-1

00.

100

0.06

0

6006

28Ne

w W

orld

2011

-8-2

50.

110

0.09

960

0635

Dazh

ong

Publ

ic Ut

ilitie

s20

11-7

-12

0.05

00.

045

6006

38N

ew H

uang

pu R

eal

Esta

te20

11-8

-10

0.17

00.

153

6006

39Pu

dong

Jin

qiao

2011

-8-2

20.

100

0.09

0

6006

42Sh

ener

gy20

11-6

-30

0.10

00.

070

6006

44Le

shan

Ele

ctric

Pow

er20

11-6

-29

0.06

00.

054

6006

47To

ngda

Ven

ture

Cap

ital

2011

-5-2

50.

030

0.02

760

0648

Waig

aoqi

ao20

11-6

-70.

140

0.12

6

6006

49Sh

angh

ai Ch

engt

ou20

11-8

-19

0.10

00.

090

6006

50Ji

njia

ng I

nter

natio

nal

Indu

stria

l Inve

stm

ent

2011

-7-2

20.

300

0.27

0

6006

51Sh

angh

ai Fe

ile

Acou

stics

2011

-5-1

10.

040

0.03

660

0655

Yuyu

an To

urist

Mar

t20

11-7

-80.

050

0.04

5

6006

58Be

ijing

Elec

troni

c Zo

ne20

11-6

-10

0.12

50.

113

6006

60Fu

yao

Glas

s20

11-4

-80.

570

0.51

3

6006

61Xi

n Na

nyan

g20

11-7

-27

0.03

00.

027

6006

62Qi

angs

heng

Hol

ding

2011

-5-1

60.

080

0.07

2

6006

63Lu

jiazu

i20

11-7

-70.

150

0.13

560

0664

Harb

in P

harm

aceu

tical

2011

-8-5

0.58

00.

492

6006

66So

uthw

est

Phar

mac

eutic

al20

11-5

-19

0.10

00.

040

6006

67Ta

nde

2011

-8-2

20.

055

0.05

0

6006

74Ch

uant

ou E

nerg

y20

11-7

-18

0.03

60.

032

6006

75Ch

ian E

nter

prise

2011

-4-2

10.

100

0.09

0



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6006

76Sh

angh

ai Ji

aoyu

n20

11-6

-13

0.12

00.

108

6006

82Na

njin

g Xi

njie

kou

Depa

rtmen

t Sto

re20

11-6

-28

0.10

00.

090

6006

85G

uang

zhou

Shi

pyar

d In

tern

atio

nal

2011

-7-2

60.

100

0.09

060

0686

King

Lon

g M

otor

2011

-7-7

0.10

00.

090

6006

88S

Sino

pec

Shan

ghai

Pe

troch

emica

l20

11-7

-27

0.10

00.

090

6006

90Qi

ngda

o Ha

ier

2011

-7-2

20.

100

0.09

0

6006

97Eu

rasia

Gro

up20

11-7

-80.

300

0.27

060

0702

Tuop

ai Ye

ast L

iquo

r20

11-8

-80.

060

0.05

4

6007

03Sa

nan

opto

elec

troni

cs20

11-5

-27

0.20

00.

180

6007

04Zh

ongd

a Gr

oup

2011

-7-1

40.

030

0.00

7

6007

08Sh

angh

ai Ha

ibo

2011

-6-1

30.

100

0.09

060

0710

Chan

glin

2011

-4-2

20.

050

0.04

5

6007

13Na

njin

g Ph

arm

aceu

tical

2011

-7-1

30.

040

0.03

660

0717

Tian

jin P

ort

2011

-6-2

40.

100

0.09

0

6007

19Da

lian

Ther

mal

Powe

r20

11-7

-10.

013

0.01

260

0720

Qilia

nsha

n20

11-8

-12

0.15

00.

135

6007

25Yu

nnan

Yun

wei

2011

-5-2

60.

100

0.09

060

0729

Chon

gqin

g De

partm

ent

Stor

e20

11-6

-15

0.20

00.

180

6007

36Su

zhou

New

Dis

trict

Hi

-Tec

h20

11-5

-12

0.01

20.

001

6007

39Li

aoni

ng C

heng

da20

11-7

-70.

100

0.04

0

6007

41H

uayu

Aut

omot

ive

Syst

ems

2011

-6-2

70.

220

0.19

860

0742

FAW

AY A

utom

obile

Co

mpo

nent

s20

11-7

-19

0.30

00.

270

6007

43Hu

ayua

n Pr

oper

ty20

11-4

-13

0.10

00.

060

6007

48Sh

angh

ai In

dust

rial

Deve

lopm

ent

2011

-5-2

70.

035

0.03

2

6007

50Ji

angz

hong

Ph

arm

aceu

tical

2011

-5-2

50.

300

0.27

060

0754

Jin

Jian

g In

tern

atio

nal

Hote

ls20

11-7

-22

0.38

00.

342

6007

55Xi

amen

Int

erna

tiona

l Tr

ade

2011

-7-7

0.10

00.

090

6007

61An

hui H

eli

2011

-6-2

00.

300

0.27

0



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6007

64CE

C Co

reCa

st20

11-6

-24

0.02

00.

018

6007

65AV

IC H

eavy

Mac

hine

ry20

11-6

-28

0.04

00.

036

6007

76Ea

stco

m20

11-6

-80.

120

0.10

860

0778

Frie

ndsh

ip G

roup

2011

-6-2

90.

050

0.04

5

6007

79Sw

ellfu

n20

11-6

-10

0.23

00.

207

6007

82Xi

nyu

Iron

& St

eel

2011

-7-7

0.06

00.

054

6007

83Lu

xin V

entu

re C

apita

l20

11-7

-60.

090

0.08

160

0785

Xin

hua

Dep

artm

ent

Stor

e20

11-6

-16

0.30

00.

270

6007

87Zh

ongc

hu

Deve

lopm

ent

2011

-6-2

00.

040

0.03

660

0791

Jing

neng

Pro

perty

2011

-6-2

80.

050

0.04

5

6007

95GD

Pow

er20

11-6

-20

0.10

00.

090

6007

96Qi

anjia

ng B

ioch

emica

l20

11-5

-12

0.02

00.

008

6007

97In

sigm

a20

11-8

-10

0.01

00.

009

6007

98Ni

ngbo

Mar

ine

2011

-5-2

00.

040

0.03

6

6008

01Hu

axin

Cem

ent

2011

-6-1

00.

200

0.18

060

0805

Yued

a 20

11-5

-26

0.20

00.

150

6008

06Ku

nmin

g M

achi

ne To

ol20

11-6

-13

0.05

00.

045

6008

08M

aans

han

Iron

& St

eel

2011

-7-1

80.

050

0.04

5

6008

09Sh

anxi

Fen

Win

e20

11-6

-27

0.50

00.

450

6008

10Sh

enm

a In

dust

ry

2011

-7-2

80.

050

0.04

5

6008

15En

gine

erin

g M

achi

nery

2011

-7-1

50.

100

0.09

060

0819

Yaop

i Glas

s20

11-7

-18

0.03

80.

034

6008

20Tu

nnel

Eng

inee

ring

2011

-7-1

10.

200

0.18

060

0824

Yim

in D

epar

tmen

t St

ores

2011

-5-2

70.

060

0.05

4

6008

25Sh

angh

ai Xi

nhua

M

edia

2011

-7-2

20.

050

0.04

560

0826

Lans

heng

2011

-6-3

0.03

00.

027

6008

28Ch

engd

u Pe

ople

'sDe

partm

ent S

tore

2011

-5-2

00.

030

0.00

760

0829

Sanj

ing

Phar

mac

eutic

al20

11-6

-20

0.49

00.

391



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6008

30Su

nny

Loan

Top

2011

-6-2

40.

050

0.04

560

0832

Shan

ghai

Orie

ntal

Pear

l 20

11-8

-29

0.10

00.

090

6008

33No

.1 P

harm

acy

2011

-7-2

10.

050

0.01

060

0834

Shen

tong

Met

ro20

11-6

-23

0.06

00.

054

6008

35Sh

angh

ai M

echa

nica

l &

Elec

trica

l20

11-6

-13

0.20

00.

180

6008

37Ha

itong

Sec

uritie

s20

11-6

-29

0.15

00.

135

6008

41Sh

angh

ai Di

esel

Engi

ne20

11-6

-22

0.05

00.

045

6008

45Ba

osig

ht S

oftw

are

2011

-6-1

40.

300

0.24

0

6008

50Ea

st-C

hina

Com

pute

r 20

11-4

-28

0.05

00.

045

6008

53Lo

ngjia

n Ro

ad &

Brid

ge20

11-6

-24

0.01

00.

009

6008

57HI

T Sh

ouch

uang

2011

-6-1

70.

030

0.02

760

0858

Silve

r Plaz

a20

11-6

-30.

050

0.04

5

6008

59W

angf

ujin

g20

11-7

-28

0.30

00.

270

6008

61Be

ijing

Urba

n-Ru

ra20

11-5

-25

0.12

00.

108

6008

64Ha

tou

Inve

stm

ent

2011

-7-2

00.

050

0.04

560

0871

S S

inop

ec Y

izhe

ng

Chem

ical F

ibre

2011

-7-5

0.03

00.

027

6008

73M

eihu

a20

11-4

-15

0.50

00.

450

6008

74Ca

pita

l Env

ironm

enta

l Pr

otec

tion

2011

-7-1

20.

110

0.09

9

6008

75Do

ngfa

ng E

lect

ric20

11-6

-30

0.13

00.

117

6008

81Ya

tai G

roup

2011

-7-7

0.10

00.

090

6008

83Bo

win

Tech

nolo

gy

2011

-6-2

80.

060

0.05

460

0884

Ning

bo S

hans

han

2011

-6-2

20.

080

0.07

2

6008

86SD

IC20

11-7

-80.

025

0.02

360

0888

Xinj

iang

Join

world

2011

-5-1

60.

100

0.09

0

6008

89Na

njin

g Ch

emica

l Fib

re

2011

-6-1

70.

050

0.04

560

0893

Xi’a

n Ae

ro-e

ngin

e20

11-6

-17

0.11

00.

099

6008

95Zh

angj

iang

High

Te

chno

logy

Par

k20

11-8

-50.

100

0.09

060

0896

Chin

a Sh

ippi

ng

Haish

eng

2011

-6-2

00.

020

0.01

8



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6008

97Xi

amen

Int

erna

tiona

l Ai

rpor

t20

11-5

-27

0.09

00.

081

6009

00Ya

ngtze

Pow

er20

11-6

-29

0.25

60.

230

6009

60Bo

hai P

iston

20

11-6

-14

0.10

00.

090

6009

63Yu

eyan

g Pa

per

2011

-6-1

40.

025

0.02

3

6009

66Bo

hui P

aper

2011

-6-7

0.05

00.

045

6009

67Be

ifang

Chu

angy

e 20

11-6

-10

0.20

00.

180

6009

70Si

nom

a In

tern

atio

nal

2011

-5-2

00.

025

0.00

360

0970

Sino

ma

Inte

rnat

iona

l20

11-9

-26

0.45

00.

405

6009

71He

ngyu

an C

oal-

Elec

tricit

y20

11-4

-27

0.80

00.

720

6009

73Ba

oshe

ng S

cienc

e an

d Te

chno

logy

2011

-7-1

20.

150

0.13

5

6009

76W

uhan

Jian

min

2011

-6-1

70.

300

0.27

060

0978

Yihu

a Ti

mbe

r Ind

ustry

2011

-7-1

0.05

00.

045

6009

79Gu

ang’

An A

AA20

11-5

-30.

020

0.00

860

0981

Jian

gsu

Skyr

un20

11-6

-80.

050

0.04

5

6009

82Ni

ngbo

The

rmal

2011

-6-1

50.

100

0.09

060

0983

Hefe

i Ron

gshi

da S

anyo

2011

-6-1

70.

100

0.09

0

6009

85Le

imin

gkeh

ua20

11-7

-15

0.12

00.

108

6009

87Zh

ejian

g Ha

ngm

in20

11-6

-90.

180

0.16

2

6009

92Gu

izhou

Wire

Rop

e 20

11-6

-24

0.06

00.

054

6009

93M

ayin

glon

g20

11-5

-27

0.05

00.

005

6009

95W

ensh

an E

lect

ric

Powe

r20

11-6

-20.

060

0.05

460

0997

Kailu

an C

lean

Coa

l20

11-5

-31

0.10

00.

090

6009

98Jo

into

wn20

11-6

-90.

100

0.09

060

0999

Mer

chan

ts S

ecur

ities

2011

-7-2

00.

300

0.27

0

6010

00Ta

ngsh

an P

ort

2011

-4-2

70.

120

0.10

860

1001

Dato

ng C

oal

2011

-7-2

10.

208

0.18

7

6010

02Ge

m-e

Year

Indu

stria

l20

11-6

-10

0.20

00.

180

6010

03Li

uzho

u Iro

n an

d St

eel

2011

-7-1

80.

150

0.13

5



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6010

06Da

qin

Railw

ay20

11-7

-50.

350

0.31

560

1007

Jinl

ing

Hote

l20

11-7

-22

0.10

00.

090

6010

09Ba

nk o

f Nan

jing

2011

-6-2

10.

200

0.18

060

1018

Ning

bo P

ort

2011

-7-1

10.

030

0.02

7

6010

88Ch

ina

Shen

hua

2011

-6-1

70.

750

0.67

560

1098

Chin

a So

uth

Publ

ishin

g&M

edia

2011

-6-1

30.

060

0.05

4

6011

01Ha

ohua

Ene

rgy

2011

-7-8

0.70

00.

510

6011

06CF

HI20

11-6

-29

0.02

10.

019

6011

07Si

chua

n Ex

pres

sway

2011

-6-2

00.

087

0.07

860

1111

Air C

hina

2011

-6-1

50.

118

0.10

6

6011

16Sa

njian

g Sh

oppi

ng20

11-6

-20.

100

0.09

060

1117

China

Nat

iona

l Che

mica

l En

gine

erin

g20

11-7

-12

0.03

00.

027

6011

18Ha

inan

Rub

ber

2011

-7-1

50.

080

0.07

260

1126

Sifa

ng20

11-6

-90.

200

0.18

0

6011

37Po

werw

ay A

lloy

Mat

erial

2011

-5-3

0.20

00.

180

6011

39Sh

enzh

en G

as

2011

-7-4

0.13

00.

117

6011

58Ch

ongq

ing

Wat

er

2011

-6-1

00.

188

0.16

960

1166

Indu

stria

l Ban

k20

11-5

-12

0.46

00.

414

6011

68W

este

rn M

inin

g20

11-5

-24

0.18

00.

162

6011

69Ba

nk o

f Bei

jing

2011

-6-1

70.

216

0.19

4

6011

79Ch

ina

XD20

11-6

-27

0.06

00.

054

6011

86Ch

ina

Railw

ay

Cons

truct

ion

2011

-2-1

80.

050

0.04

5

6011

86Ch

ina

Railw

ay

Cons

truct

ion

2011

-7-2

20.

050

0.04

560

1188

Heilo

ngjia

ng T

rans

porta

tion

Deve

lopm

ent

2011

-7-2

70.

018

0.01

6

6012

08Si

chua

n EM

Tech

nolog

y20

11-7

-28

0.30

00.

270

6012

33To

ngku

n20

11-9

-13

0.80

00.

720



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6012

68Ch

ina

Natio

nal E

rzho

ng20

11-4

-11

0.05

00.

045

6012

88Ag

ricul

tura

l Ban

k of

Ch

ina

2011

-7-1

50.

054

0.04

9

6012

99CN

R20

11-6

-90.

050

0.04

560

1318

Ping

An

Insu

ranc

e20

11-7

-29

0.40

00.

360

6013

18Pi

ng A

n In

sura

nce

2011

-9-2

30.

150

0.13

560

1328

Bank

of C

omm

unica

tions

2011

-8-1

80.

020

0.00

8

6013

33Gu

angs

hen

Railw

ay20

11-6

-30

0.09

00.

081

6013

69Sh

aang

u Po

wer

2011

-4-2

80.

500

0.45

0

6013

77In

dust

rial S

ecur

ities

2011

-6-1

70.

150

0.13

560

1390

Chin

a Ra

ilway

2011

-7-2

50.

055

0.05

0

6013

98IC

BC20

11-7

-80.

184

0.16

660

1518

Jilin

Exp

ress

way

2011

-6-3

00.

021

0.01

9

6015

19Gr

eat W

isdom

2011

-5-2

50.

150

0.13

560

1558

SINO

VEL

2011

-6-1

31.

000

0.80

0

6015

88No

rth S

tar

2011

-7-2

00.

020

0.01

860

1600

Chalc

o20

11-7

-27

0.01

10.

010

6016

01Ch

ina

Pacif

ic In

sura

nce

2011

-6-2

90.

350

0.31

560

1607

Shan

ghai

Phar

mac

eutic

al20

11-8

-30

0.14

00.

126

6016

16SG

EG20

11-6

-29

0.30

00.

270

6016

18Ch

ina

Met

allur

gica

l20

11-8

-12

0.04

70.

042

6016

28Ch

ina

Life

2011

-6-2

90.

400

0.36

060

1666

Ping

ding

shan

Tia

nan

Coal

2011

-6-2

40.

200

0.15

0

6016

68Ch

ina

Stat

e Co

nstru

ctio

n20

11-6

-10

0.06

20.

056

6016

78Be

far

2011

-3-1

80.

100

0.09

0

6016

88Hu

atai

Secu

ritie

s20

11-6

-27

0.15

00.

135

6016

99Lu

’An

Envi

ronm

enta

l En

ergy

2011

-7-5

1.00

00.

840

6017

00Fe

ngfa

n Po

wer

Equi

pmen

t20

11-5

-20

0.35

00.

315

6017

17ZM

J20

11-1

0-24

0.45

00.

405



Shar

e Co

deSh

ort N

ame

Dist

ribut

ion

Date

Divid

end

(bef

ore

tax)

(R

MB)

Divid

end

(afte

r ta

x)

(RM

B)Sh

are

Code

Shor

t Nam

eDi

strib

utio

n Da

teDi

viden

d (b

efor

e ta

x) (R

MB)

Divid

end

(afte

r tax

) (R

MB)

6017

18Ji

hua

2011

-10-

310.

025

0.02

360

1727

Shan

ghai

Elec

tric

2011

-7-1

10.

065

0.05

9

6017

66Ch

ina S

outh

Loc

omot

ive

& Ro

lling

Stoc

k20

11-6

-29

0.04

00.

036

6017

77Li

fan

2011

-5-2

00.

350

0.31

5

6017

88Ev

erbr

ight

Sec

uritie

s20

11-6

-10

0.45

00.

405

6017

99Xi

ngyu

Aut

omot

ive

Ligh

ting

Syst

ems

2011

-6-9

0.23

00.

207

6018

01An

hui X

inhu

a M

edia

2011

-6-1

40.

100

0.09

060

1808

Chin

a Oi

lfield

Ser

vices

2011

-6-1

60.

180

0.16

2

6018

18Ev

erbr

ight

Ban

k20

11-6

-22

0.09

50.

085

6018

57Pe

troch

ina

2011

-6-3

00.

184

0.16

5

6018

57Pe

troch

ina

2011

-10-

210.

162

0.14

660

1872

China

Mer

chan

ts En

ergy

Sh

ippi

ng20

11-7

-40.

044

0.04

0

6018

77Zh

engt

ai El

ectri

c Ap

plian

ce20

11-6

-10

0.40

00.

360

6018

80Da

lian

Port

2011

-8-1

90.

050

0.04

5

6018

88CI

TS20

11-6

-28

0.10

00.

090

6018

90As

ian S

tar A

ncho

r Cha

in20

11-6

-14

0.15

00.

135

6018

98Ch

ina

Coal

Ener

gy20

11-6

-28

0.15

60.

141

6018

99Zi

jin M

inin

g20

11-7

-80.

100

0.09

0

6019

18SD

IC X

inji

2011

-7-1

0.20

00.

180

6019

19CO

SCO

2011

-6-2

70.

090

0.08

1

6019

33Yo

nghu

i Sup

erst

ores

2011

-6-1

60.

100

0.09

060

1939

Chin

a Co

nstru

ctio

n Ba

nk20

11-7

-15

0.21

20.

191

6019

58Ji

ndui

chen

g M

olyb

denu

m20

11-6

-16

0.25

00.

225

6019

88Ba

nk o

f Chi

na20

11-6

-30

0.14

60.

131

6019

89Ch

ina

Ship

build

ing

Indu

stry

20

11-6

-29

0.06

50.

059

6019

91Da

tang

Inte

rnat

iona

l Po

wer G

ener

atio

n20

11-1

0-25

0.07

00.

063

6019

92BB

MG

2011

-7-2

00.

070

0.06

360

1999

Chin

a Sh

ipbu

ildin

g In

dust

ry

2011

-7-1

30.

030

0.02

7

Note

: Sta

tistic

s re

leas

ed w

ithin

201

1 sh

ould

be

used

.



Table of Changes in Stock Short Names in 2011

Stock Code Date of ChangeNew Short Name

Former Short Name

600077 2011-5-6 ST Baike *ST Baike

600077 2011-12-30 Sundy Group Baike Group

600080 2011-7-6 ST Ginwa *ST Ginwa

600083 2011-3-2 *ST Booxin ST Booxin

600084 2011-12-22ST CiticGuo’An Wine

*ST CiticGuo’An Wine

600091 2011-8-4 ST Tomorrow Tech *ST Tomorrow Tech

600094 2011-10-11 ST Huayuan *ST Huayuan

600145 2011-7-20 *ST Guochuang *ST Swell

600145 2011-10-28 ST Guochuang *ST Guochuang

600165 2011-9-13 Xinri Hengli Ningxia Hengli

600179 2011-5-24 ST Heihua *ST Heihua

600180 2011-12-15 ST Jiufa *ST Jiufa

600193 2011-6-8 Prosolar Resources Prosolar Real Estate

600209 2011-11-1 ST Lawton *ST Lawton

600217 2011-7-22 ST Qinling *ST Qinling

600261 2011-1-11 Yankon Lighting Zhejiang Yankon

600299 2011-7-8 ST New Chemical Materials *ST New Chemical Materials

600301 2011-12-19 ST Nanning Chemical *ST Nanning Chemical

600313 2011-10-19 ST Sino Agriculture *ST Sino Agriculture

600327 2011-4-26 Grand Orient Commercial Mansion

600348 2011-7-12 Yangquan Coal Guoyang New Energy

600355 2011-6-24 ST Routon *ST Routon

600403 2011-2-24 Dayou Energy Xinwang Tech

600444 2011-7-6 ST Guotone *ST Guotone

600449 2011-12-30 Ningxia Building Materials Saima Industry

600490 2011-8-8 ST SYNICA *ST SYNICA

600515 2011-5-6 ST Zhuxin *ST Zhuxin

600515 2011-12-16 ST Haijian ST Zhuxin

600520 2011-6-10 Zonfa Technology Trinity Technology

600537 2011-12-30 EGING PV Haitong Group

600538 2011-8-22 ST Gofar *ST Gofar

600562 2011-8-25 ST Gaotao *ST Gaotao

600604 2011-3-15 *ST Second Machine Tool ST Second Machine Tool



Stock Code Date of ChangeNew Short Name

Former Short Name

600608 2011-9-6 ST Huke *ST Huke

600609 2011-6-24 ST Brilliance *ST Brilliance

600617 2011-12-22 ST Lian Hua *ST Lian Hua

600637 2011-12-29 BesTV SVA

600656 2011-9-16 ST Boyuan ST Fangyuan

600678 2011-2-1 *ST Golden Summit ST Golden Summit

600681 2011-9-8 ST Wanhong S*ST Wanhong

600698 2011-4-6 *ST Qingqi ST Qingqi

600699 2011-8-25 ST Deheng *ST Deheng

600702 2011-7-8 Tuopai Shede Tuopai Yeast Liquor

600704 2011-5-3 Material Industrial Zhongda Zhongda Group

600711 2011-7-6 Shengtun Mining Xiongzhen Mining

600715 2011-4-29 *ST Songliao ST Songliao

600722 2011-5-6 ST Jinhua *ST Jinhua

600723 2011-7-25 Capital Retailing Xidan Department Store

600727 2011-8-18 ST Lubei *ST Lubei

600757 2011-8-22 ST Yuanfa *ST Yuanfa

600760 2011-1-24 Zhonghang Heibao Dong’An Heibao

600769 2011-6-24 ST Xianglong *ST Xianglong

600783 2011-3-21 Luxin Venture Capital Luxin High-Tech

600792 2011-3-29 *ST Malong ST Malong

600860 2011-5-30 ST Beiren *ST Beiren

600873 2011-3-11 Meihua Wuzhou Bright Pearl

600885 2011-12-22 ST Liyang *ST Liyang

600892 2011-2-28 *ST Baocheng ST Baocheng

600898 2011-7-25 ST Sanlian *ST Sanlian

600960 2011-4-27 Bohai Piston Binzhou Piston

600963 2011-6-15 Yueyang Forestry-paper Yueyang Paper

600984 2011-11-15 ST Construction Machinery *ST Construction Machinery

600988 2011-9-6 ST Baolong *ST Baolong

900902 2011-3-15 *ST Second Machine Tool B ST Second Machine Tool B

900913 2011-12-22 ST Lian Hua B *ST Lian Hua B

900936 2011-6-15 Erdos Resources B Erdos Cashmere B

900939 2011-7-22 ST Huili B *ST Huili B

900940 2011-10-11 ST Huayuan B *ST Huayuan B

900946 2011-4-6 *ST Qingqi B ST Qingqi B



Table of Changes in the Names of Listed Companiesin 2011

No.Code for A shares

Former Short name for A shares

New Short name for A shares

Code for B shares

Former Short name for B shares

New Short name for B shares

Date of change

Announcemen t Date

1 600783 Luxin High- TechLuxin Venture Capital

2011-3-21 2011-3-16

2 600537 Haitong Group EGING PV 2011-12-30 2011-12-28

3 600449 Saima IndustryNingxia Building Materials

2011-12-30 2011-12-27

4 600515 ST Zhuxin ST Haijian 2011-12-16 2011-12-13

5 600348Guoyang New Energy

Yangquan Coal 2011-7-12 2011-7-8

6 600656 ST Fangyuan ST Boyuan 2011-9-16 2011-9-14

7 600637 SVA BesTV 2011-12-29 2011-12-27

8 600403 Xinwang Tech Dayou Energy 2011-2-24 2011-2-16

9 600295 Erdos Erdos 900936Erdos Cashmere B

Erdos ResourcesB

2011-6-15 2011-6-10

10 600873Wuzhou Bright Pearl

Meihua 2011-3-11 2011-3-8

11 600193Prosolar Real Estate

Prosolar Resources

2011-6-8 2011-6-3

12 600963 Yueyang PaperYueyang Forestry-paper

2011-6-15 2011-6-10

13 600704 Zhongda GroupMaterial Industrial Zhongda

2011-5-3 2011-4-26

14 600104 SAIC SAIC Motor 2012-1-9 2011-12-30

15 600711 Xiongzhen Mining Shengtun Mining 2011-7-6 2011-7-2

16 600702Tuopai Yeast Liquor

Tuopai Shede 2011-7-8 2011-7-2

17 600261 Zhejiang Yankon Yankon Lighting 2011-1-11 2011-1-6

18 600960 Binzhou Piston Bohai Piston 2011-4-27 2011-4-21

19 600165 Ningxia Hengli Xinri Hengli 2011-9-13 2011-9-7

20 600520 Trinity Technology Zonfa Technology 2011-6-10 2011-6-8

21 600145 *ST Swell *ST Guochuang 2011-7-20 2011-7-15

22 600723XidanDepartment Store

Capital Retailing 2011-7-25 2011-7-21

23 600760 Dong’An HeibaoZhonghang Heibao

2011-1-24 2011-1-20

24 600327Commercial Mansion

Grand Orient 2011-4-26 2011-4-21

25 600077 Baike Group Sundy Group 2011-12-30 2011-12-26



Com

pani

es S

ubje

ct to

Del

istin

g R

isk

War

ning

s in

201

1

NoA-

shar

eCo

deA-

shar

e Sh

ort N

ame

B-sh

are

Code

B-s

hare

sho

rt na

me

Date

of

Anno

unce

men

tDa

te o

f Tra

de

Susp

ensio

nCo

mm

ence

men

tDa

te

A-sh

are

Shor

t Nam

e af

ter

Enfo

rcem

ent

of D

elist

ing

Risk

War

ning

s

B-sh

are

Shor

t Nam

e af

ter

Enfo

rcem

ent

of D

elis

ting

Ris

k W

arni

ngs

160

0604

ST N

o.2

Text

ile90

0902

ST N

o.2

Text

ile B

2011

-3-1

420

11-3

-14

2011

-3-1

5*S

T No

.2 Te

xtile

*ST

No.2

Text

ile B

260

0698

ST Q

ingt

qi M

otor

cycle

9009

46ST

Qin

gqi

Mot

orcy

cle B

2011

-4-1

2011

-4-1

2011

-4-6

*ST

Qing

qi

Mot

orcy

cle*S

T Qi

ngqi

M

otor

cycle

B

360

0074

Zhon

gda

New

Mat

erial

2011

-4-2

520

11-4

-25

2011

-4-2

6*S

T Zh

ongd

a Ne

w M

ater

ial

460

0365

Tonh

wa W

iner

y20

11-2

-15

2011

-2-1

520

11-2

-16

*ST

Tonh

wa W

iner

y

560

0671

Tian

mus

han

Phar

mac

eutic

al20

11-5

-320

11-5

-320

11-5

-4*S

T Ti

anm

usha

n Ph

arm

aceu

ticl

690

0951

Dahu

a B

2011

-4-2

520

11-4

-25

2011

-4-2

6*S

T Da

hua

B

760

0792

ST Y

untia

nhua

2011

-3-2

820

11-3

-28

2011

-3-2

9*S

T Yu

ntian

hua

860

0228

Chan

gjiu

Bio

chem

ical

2011

-4-2

520

11-4

-25

2011

-4-2

6*S

T Ch

angj

iu B

ioch

emica

l

960

0715

ST S

ongl

iao

Auto

mob

ile20

11-4

-28

2011

-4-2

820

11-4

-29

*ST

Song

liao

Auto

mob

ile

1060

0892

ST B

aoze

n20

11-2

-25

2011

-2-2

520

11-2

-28

*ST

Baoz

en

1160

0203

Furi

Elec

troni

cs20

11-1

-26

2011

-1-2

620

11-1

-27

*ST

Furi

Elec

troni

cs

1260

0083

ST B

oxin

2011

-3-1

2011

-3-1

2011

-3-2

*ST

Boxin

1360

0281

Taiyu

anCh

emica

l Indu

stry

2011

-4-2

620

11-4

-26

2011

-4-2

7*S

T Ta

iyua

n C

hem

ical

In

dust

ry

1460

0678

ST G

olde

n Su

mm

it20

11-1

-31

2011

-1-3

120

11-2

-1*S

T Go

lden

Sum

mit

1560

0335

Ding

shen

g Ti

ango

ng20

11-2

-22

2011

-2-2

220

11-2

-23

*ST

Ding

shen

g Ti

ango

ng



Com

pani

es S

ubje

ct to

oth

er s

peci

al tr

eatm

ents

in 2

011

NoA-

shar

eCo

deA-

shar

e Sh

ort N

ame

B-sh

are

Code

B-sh

are

shor

t nam

eDa

te o

f An

noun

cem

ent

Date

of T

rade

Su

spen

sion

Com

men

cem

ent

Date

A-sh

are

Shor

t N

ame

afte

r En

forc

emen

t of

De

listin

g Ri

sk W

arni

ngs

B-sh

are

Shor

t Na

me

afte

r En

forc

emen

t o

f De

listin

g Ri

sk W

arni

ngs

160

0766

Yuan

chen

g Sh

ares

2011

-4-3

0 20

11-5

-320

11-5

-4ST

Yua

nche

ng

260

0539

Lion

head

Cem

ent

2011

-6-2

9 20

11-6

-29

2011

-6-3

0ST

Lio

nhea

d Ce

men

t



Companies Subject to Listing Suspension in 2011

No. A-share Code A-share Short NamePublication Date for theAnnouncement of ListingSuspension

Commencement Date for Implementation of Listing Suspension

1 600634*ST Chenghai Enterprise Development

2011-4-20 2011-4-25

2 600455 *ST Butone 2011-5-13 2011-5-16

Companies Subject to Listing Termination in 2011

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

Commencement Date for Implementation of Listing Termination

1 600553 Taihang Cement 2011-2-16 2011-2-18

2 600631 Bailian Shares 2011-8-19 2011-8-23

Companies Subject to Listing Resumption in 2011

NoA-sha re Code

A-share Short Name

B-share Code

B-shareShort Name

Publication Date for the Announcement of Listing Resumption

ListingDate

A-sha re Sho r t Name Subjectto Listing Resumption

1 600057* S T A m o i Technology

2011-8-23 2011-8-29 Xiangyu Shares

2 600681 S*ST Winover 2011-09-1 2011-09-8 ST Winover

3 600313

*ST Zhongken Ag r i c u l t u r a l Resource Development

2011-10-13 2011-10-19

ST Zhongken Agricultural Resource Development

4 600633 *ST WhiteCat 2011-9-23 2011-9-29Zhej iang Dai ly Media

5 600094 *ST Huayuan 900940*STHuayuan B

2011-9-28 2011-10-11 ST Huayuan

6 600898*ST San l i an Shop

2011-7-18 2011-7-25 ST Sanlian Shop

7 600727 *ST Lubei 2011-8-12 2011-8-18 ST Lubei



Companies Subject to Cancellation of Special Treatment in 2011

(I)Cancellation of Special Treatment

NoCompanyCode

Company ShortName

Short Name for Shares Cancellation of Special Treatment

Commencement Date for Cancellation of Special Treatment

Publication Date

1 600711 ST Xiongzhen Xiongzhen Mining 2011-3-4 2011-3-3

2 600891 ST Qiulin Qiulin Group 2011-9-1 2011-8-31

3 600077 ST Baike Baike Group 2011-11-1 2011-10-31

4 600721 ST Baihua Baihuacun 2011-6-3 2011-6-2

5 600898 ST Sanlian Sanlian Shop 2011-11-14 2011-11-11

6 600242 ST Hualong Hualong Sea Shipping 2011-4-7 2011-4-6

7 600714 ST Jinrui Jinrui Mining 2011-4-29 2011-4-28

8 600728 ST Suntek Suntek Tech 2011-8-8 2011-8-5

9 600340 ST Guoxiang China Fortune 2011-11-2 2011-11-1

10 600876 ST Luoyang Glass Luoyang Glass 2011-4-19 2011-4-18

11 600372 ST Changhe Avic Electronics 2011-6-3 2011-6-2

12 600740 *ST Shanxi Coking Shanxi Coking 2011-5-3 2011-4-29

13 600792 *ST Malong Yunmei Energy 2011-11-1 2011-10-31

14 600373 *ST Xinxin Zhongwen Chuanmei 2011-4-14 2011-4-13

15 600131*ST Minjiang Hydroelectric

Minjiang Hydroelectric 2011-4-14 2011-4-13



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

NoCompany Code

CompanyShort Name

B-share Code

B-share Short Name

A-share Short N a m e a f t e r Withdrawal of Delisting Risk Warnings

B-share Short N a m e a f t e r Withdrawal of Delisting Risk Warnings

Commencement Date for Implementation of Withdrawal of Delisting Risk Warnings

Pub l i c a t i o n Date

1 600145 *ST Guochuang ST Guochuang 2011-10-28 2011-10-27

2 600077 *ST Baike ST Baike 2011-5-6 2011-5-5

3 600179 *ST Heihua ST Heihua 2011-5-24 2011-5-23

4 600217 *ST Qinlinag ST Qinlinag 2011-7-22 2011-7-21

5 600699 *ST Deheng ST Deheng 2011-8-25 2011-8-24

6 600722 *ST Jinhua ST Jinhua 2011-5-6 2011-5-5

7 600515 *ST Zhuxin ST Zhuxin 2011-5-6 2011-5-5

8 600608 *ST Huke ST Huke 2011-9-6 2011-9-5

9 600091 *ST Mingke ST Mingke 2011-8-4 2011-8-3

10 600490 *ST Hechen ST Hechen 2011-8-8 2011-8-5

11 600860 *ST Beiren ST Beiren 2011-5-30 2011-5-26

12 600562 *ST Gaotao ST Gaotao 2011-8-25 2011-8-24

13 600769 *ST Xianglong ST Xianglong 2011-6-24 2011-6-23

14 600609 *ST Jinbei ST Jinbei 2011-6-24 2011-6-23

15 600984 *ST Jianji ST Jianji 2011-11-15 2011-11-14

16 600538 *ST Guofa ST Guofa 2011-8-22 2011-8-19

17 600757 *ST Yuanfa ST Yuanfa 2011-8-22 2011-8-19

18 600209 *ST Luodun ST Luodun 2011-11-1 2011-10-29

19 900939 *ST Huili B ST Huili B 2011-7-22 2011-7-21

20 600355 *ST Jinglun ST Jinglun 2011-6-24 2011-6-23

21 600444 *ST Guotong ST Guotong 2011-7-6 2011-7-5

22 600080 *ST Jinhua ST Jinhua 2011-7-6 2011-7-5

23 600299 *ST Xincai ST Xincai 2011-7-8 2011-7-7

24 600988 *ST Baolong ST Baolong 2011-9-6 2011-9-5

25 600180 *ST Jiufa ST Jiufa 2011-12-15 2011-12-14

26 600301 *ST Nanhua ST Nanhua 2011-12-19 2011-12-16

27 600084 *ST Zhongpu ST Zhongpu 2011-12-22 2011-12-21

28 600885 *ST Liyang ST Liyang 2011-12-22 2011-12-21

29 600617 *ST Lianhua 900913*ST Lianhua B

ST Lianhua ST Lianhua B 2011-12-22 2011-12-21



Listed Warrants

Listed Warrants Listed Warrants

2012 Fact Book 123

Listed Companies

2012 Fact Book 122

Listed Warrants Listed Warrants

2012 Fact Book 123

Listed Companies

2012 Fact Book 122

List

ed W

arra

nts

in 2

011

Code

Shor

t Nam

eCa

tego

ry

(call

/put

)

Exer

cise

Sty

le

(Eur

opea

n st

yle/

Amer

ican

style

)

Year

-end

Ex

erci

se

Price

(RM

B)

Prop

ortio

n of

Yea

r-en

d Ex

ercis

eLi

stin

g Da

teEx

piry

Dat

eY

ea

r-e

nd

Balan

ce(R

MB)

Open

Price

(R

MB)

High

est

Price

(R

MB)

Lowe

stPr

ice(R

MB)

Clos

e Pr

ice

(RM

B)

Turn

over

valu

e(R

MB

10,0

00)

Turn

over

volu

me

(10,

000)

Annu

al Tu

rnov

er

rate

(%)

5800

27Ch

angh

ong

CWB1

Call

Euro

pean

Sty

le2.

791.

8720

09-8

-19

2011

-8-1

811

1023

104

2.55

3.56

0.80

0.86

3474

8234

.97

1395

9352

.84

2436

1.87

Bond Market

Bond Market Bond Market




Bond Market Overview of the Shanghai Stock Exchange in 2011

In 2011, the bond market of SSE maintained a rapid development in the number of listed bonds, amount of bond

trusts and trading volume.

By December 31, 2011, 632 bonds were listed on SSE, an increase of 153 from 2010 by 37%. The 733.2

billion yuan trust amount represented an increase of 182.6 billion yuan from 2010 by 33%. Among them, there were

137 T-bonds with a trust amount of 193.8 billion yuan, 76 local treasury bonds, with 330 million yuan under trust; 386

corporate bonds (including enterprise bonds, insurance company bonds and securities company bonds), with a trust

amount of 318.5 billion yuan, 13 convertible bonds with a trust amount of 108.9 billion yuan; 16 separately-traded

convertible bonds with a trust amount of 78.2 billion yuan and 4 ABS with trust amount of 660 million yuan on SSE. In

2011, SSE issued and listed 73 T-bonds, 16 local government bonds, 132 corporate bonds, 6 convertible bonds and

5 ABS.

On the secondary bond market, the decreasing issuing volume of central bank notes led to a decrease in the supply

of bonds. For allocation and the hedge against risks in the market, the demand for interest products like T-bonds grew,

SSE T-Bond Index sustained a stable and slow upward trend, going up 5.11 points from 126.28 to 131.39 as of the

end of 2011, an increase of 4.05%.

The debenture bond market was marked by twists and turns in 2011. During first half of the year, SSE Enterprise

Bond Index opened the year at 143.5 and closed the year at 146.12, growing 2.62 points, representing an increase of

1.83%. SSE Corporate Bond Index grew 2.81 points from 127.25 to 130.06, an increase of 2.21%. During the third

quarter of the year, the rising interest rate in the money market and the market’s eye on the debt on the local financing

platform, concern grew for the solvency of urban investments bonds and all debentures of low credit rating, sparking

the slump of the debenture market. As of September 29th, Enterprise Bond Index fell at 143.72, a dip of 1.51% from

the end of June. Since October, the debenture market bounced back. As of the year end, the Enterprise Bond Index

bounced back to 148.48, Corporate Bond Index to 131.69, both surpassing their level in June.



Turnover of bonds recorded 21.1 trillion yuan, an increase of 14 trillion yuan from 2010 by 198%. T-bonds

accounted for 127.63 billion yuan, corporate bonds 231.523 billion yuan, convertible bonds 204.114 billion yuan,

separately-traded convertible bonds 49.61 billion yuan and bonds repo 20.461974 trillion yuan.

SSE actively promoted the development of the bond market in 2011 specifically in the following aspects: 1. by dual

listing of T-bonds, the balance of fixed-income platform and price bidding system are integrated, facilitating the access

of investors to bond trading; 2. strengthen risk control, initiate investor eligibility management scheme and provide

guidance for bond collateralized repo; 3. involve listed commercial banks in SSE’s bond market in line with the unified

arrangement of CSRC. As of the end of 2011, 16 listed commercial banks had access to subscription of bonds, among

which 8 had participated in the trading of bonds; 4.launch SSE Bond Infonet, providing regular and systemic online

service and publicity for the bond market.

In servicing the national economy and the reform of the financial sector, SSE will follow the rationale of the bond

market, take into account the varied demands of investment and financing in the market, make tailored arrangements in

listing, trading, settlement and regulation, so that product and investor base are diverse, settlement is customized, trading

platform is integrated and the bond market will be developing with caution against risks.



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 (for the content and format, see Appendix 2);

(11) Audit reports for the issuer for the last three full accounting years issued by an accounting firm qualified to

engage in securities business;

(12) A statement on the credit standing of the guarantor and the guarantee agreement (if any);

(13) A statement on whether the issuer has any record of legal or regulatory violations in the last three years;

(14) A list of bondholders and a statement on bond custody arrangements; and

(15) Other documents required by SSE.

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

(11), and (13).



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 therefor.

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 of Corporate Bond Listings

1. The listing committee established by SSE shall examine bond listing applications, make independent and

professional judgments, and formulate examination opinions; SSE shall decide whether to approve the listing based on

the opinion of the listing committee.

2. The bond issuer shall not, after filing the listing application and before the bond listing is approved, disclose

relevant information without the consent of SSE.

3. The issuer and the listing sponsor must complete custody work for listed bonds with the custodian institution

designated by SSE before the bonds are listed and traded, and shall submit the list of bondholders to the custodian

institution designated by SSE after the same has been verified as correct. The issuer and the listing sponsor shall assume

full responsibility for the accuracy of the list.

4. Before bonds are listed and traded, the issuer shall announce the listing particulars in the information disclosure

newspapers and periodicals designated by CSRC and/or on the SSE website, and shall make the listing particulars,

approval documents, and relevant listing application documents available at designated venues for public reference.

5. Before listing bonds, the issuer shall conclude a listing agreement with SSE.



Public Issuance of Convertible Corporate Bonds by Listed Companies

In addition to satisfying the general provisions, convertible corporate bonds publicly issued to unspecified targets

shall also conform to the following provisions:

1. The weighted average return on net assets for the last three accounting years shall be no lower than 6% on

average. Net profit before or after deducting non-recurring profits and losses, whichever the lower, shall serve as the

basis for calculating the weighted average return on net assets.

2. The total balance of corporate bonds after the present issue shall not exceed 40% of net assets at the end of the

latest period.

3. The average annual distributable profits realized in the last three accounting years shall be no lower than one

year’s interest on the corporate bonds.

4. The term for convertible corporate bonds shall be one year at the shortest and six years at the longest; the par

value of each bond shall be RMB 100; the interest rate shall be determined through consultation between the issuing

company and the lead underwriter, but must conform to relevant state provisions.

5. A qualified credit rating institution shall be appointed to conduct a credit rating and follow-up ratings, and the

credit rating institution shall issue a follow-up rating report at least once a year.

6. The listed company shall, within five working days of the maturity of convertible corporate bonds, complete

matters relating to the (re)payment of principal and interest on the bond balance.

7. Measures protecting the rights of bondholders, the rights of and procedures for bondholders’ meetings, and the

conditions for resolutions to take effect shall be stipulated.

8. A guarantee shall be provided other than for companies with audited net assets of no less than RMB 1.5 billion at

the end of the latest period.

9. Convertible corporate bonds shall not be converted into stock until six months after the issue completion date.

The term for stock conversion shall be determined by the company based on the term of the convertible bonds and its

financial situation. Bondholders shall have the option of converting or not converting their bonds into stock, and shall

become shareholders of the issuing company on the day after the stock conversion.

10. The stock conversion price shall be no lower than the average company stock price for the 20 trading days

before the announcement of the offering prospectus or than the average price on the previous day.

11. The offering prospectus may specify call provisions stipulating that the listed company may redeem convertible

corporate bonds that have not been converted into stock in light of conditions and prices previously agreed upon.

12. The offering prospectus may specify put provisions stipulating that bondholders may sell their bonds back to the

listed company in light of conditions and prices previously agreed upon. The offering prospectus shall stipulate that any

bondholder is entitled to a one-off sell-back if the listed company changes the purpose for which funds are raised as

announced in the prospectus.

Public Issuance of Separately Traded Convertible Corporate Bonds by Listed Companies

In addition to satisfying the general provisions, public issues of separately traded convertible corporate bonds to

unspecified targets shall also conform to the following provisions:

10. The audited net assets of the company at the end of the latest period shall be no lower than 1.5 billion RMB.

11. The average annual distributable profits realized in the last three accounting years shall be no lower than one



year’s interest on the corporate bonds.

12. The net cash flow generated from operating activities in the last three accounting years shall on average be no

lower than one year’s interest on the corporate bonds, other than for companies with a weighted average return on net

assets for the last three accounting years of no lower than 6% on average.

13. The total balance of corporate bonds after the present issue shall not exceed 40% of net assets at the end of

the latest period, and the estimated total amount of funds raised after the attached stock options have been completely

exercised shall not exceed the balance of corporate bonds to be issued.

14. The term of separately traded convertible corporate bonds shall be one year at the shortest.

15. An application shall be made for separately traded convertible corporate bonds to be listed and traded on SSE

where the listed company’s stock is listed. Where the corporate bonds and stock warrants included in the separately

traded convertible corporate bonds respectively satisfy the listing conditions of SSE, they shall be listed separately.

16. Where stock warrants are listed for trading, the factors stipulated by the warrants shall include exercise price,

valid term, exercise period or date, and exercise ratio.

17. The exercise price for the stock warrants shall be no lower than the average company stock price for the 20

trading days before the offering prospectus is announced or no lower than the average price on the previous trading

day.

18. The valid term of the stock warrants shall neither exceed the term of the corporate bonds nor expire less than

six months after the issue completion date. The valid term of the stock warrants as announced in the offer prospectus

shall not be adjusted.

19. The stock warrants may not be exercised until at least six months after the issue completion date, and the

exercise period shall be a period before expiry of the valid term or specific trading days within the valid term.

20. The offering prospectus for separately traded convertible corporate bonds shall stipulate that any bondholder is

entitled to a one-off sell-back if the listed company changes the purpose for which funds are raised as announced in the

prospectus.



Profile of Government Bonds in 2011

Code Short NameIssuancemethod

Issue size(RMB 100 million)

Value date Listing date Maturity date YearsInterest rate (%)

010107 21 T-bond (7) Book-entry 239.60 2001-7-31 2001-8-20 2021-7-31 20.00 4.26

010110 21 T-bond(10) Book-entry 200.00 2001-9-25 2001-10-11 2011-9-25 10.00 2.95

010112 21 T-bond(12) Book-entry 200.00 2001-10-30 2001-11-13 2011-10-30 10.00 3.05

010203 02 T-bond(3) Book-entry 200.00 2002-4-18 2002-4-29 2012-4-18 10.00 2.54

010213 02 T-bond(13) Book-entry 240.00 2002-9-20 2002-10-9 2017-9-20 15.00 2.60

010303 03T-bond(3) Book-entry 260.00 2003-4-17 2003-4-25 2023-4-17 20.00 3.40

010308 03 T-bond(8) Book-entry 163.80 2003-9-17 2003-9-25 2013-9-17 10.00 3.02

010404 04 T-bond(4) Book-entry 367.50 2004-5-25 2004-6-7 2011-5-25 7.00 4.89

010407 04 T-bond(7) Book-entry 312.90 2004-8-25 2004-9-6 2011-8-25 7.00 4.71

010410 04 T-bond(10) Book-entry 359.10 2004-11-25 2004-12-6 2011-11-25 7.00 4.86

010501 05 T-bond(1) Book-entry 300.00 2005-2-28 2005-3-11 2015-2-28 10.00 4.44

01050405 National Bond(4)

Book-entry 339.20 2005-5-15 2005-5-25 2025-5-15 20.00 4.11

010505 05 T-bond(5) Book-entry 337.80 2005-5-25 2005-6-3 2012-5-25 7.00 3.37

010509 05 T-bond(9) Book-entry 319.40 2005-8-25 2005-9-5 2012-8-25 7.00 2.83

01051205 National Bond(12)

Book-entry 344.10 2005-11-15 2005-11-24 2020-11-15 15.00 3.65

010513 05 T-bond(13) Book-entry 328.40 2005-11-25 2005-12-6 2012-11-25 7.00 3.01

010601 06 T-bond(1) Book-entry 330.00 2006-2-27 2006-3-8 2013-2-27 7.00 2.51

010603 06 T-bond(3) Book-entry 340.00 2006-3-27 2006-4-5 2016-3-27 10.00 2.80

010605 06 T-bond(5) Book-entry 308.00 2006-5-16 2006-5-25 2011-5-16 5.00 2.40






010606 06 T-bond(6) Book-entry 305.60 2006-5-25 2006-6-5 2013-5-25 7.00 2.62

010609 06 T-bond(9) Book-entry 310.90 2006-6-26 2006-7-5 2026-6-26 20.00 3.70

010612 06 T-bond(12) Book-entry 300.00 2006-8-15 2006-8-24 2011-8-15 5.00 2.72

010613 06 T-bond(13) Book-entry 331.00 2006-8-31 2006-9-11 2013-8-31 7.00 2.89

010616 06 T-bond(16) Book-entry 300.00 2006-9-26 2006-10-9 2016-9-26 10.00 2.92

010618 06 T-bond(18) Book-entry 300.00 2006-10-25 2006-11-3 2011-10-25 5.00 2.48

010619 06 T-bond(19) Book-entry 300.00 2006-11-15 2006-11-23 2021-11-15 15.00 3.27

010620 06 T-bond(20) Book-entry 345.90 2006-11-27 2006-12-6 2013-11-27 7.00 2.91

010701 07 T-bond 01 Book-entry 300.00 2007-2-6 2007-2-15 2014-2-6 7.00 2.93

010703 07 T-bond 03 Book-entry 300.00 2007-3-22 2007-4-2 2017-3-22 10.00 3.40

010705 07 T-bond 05 Book-entry 300.00 2007-4-23 2007-4-30 2012-4-23 5.00 3.18

010706 07 T-bond 06 Book-entry 300.00 2007-5-17 2007-5-28 2037-5-17 30.00 4.27

010707 07 T-bond 07 Book-entry 337.80 2007-5-24 2007-6-4 2014-5-24 7.00 3.74

010710 07 T-bond 10 Book-entry 350.70 2007-6-25 2007-7-4 2017-6-25 10.00 4.40

010713 07 T-bond 13 Book-entry 280.00 2007-8-16 2007-8-24 2027-8-16 20.00 4.52

019001 10 T-bond 01 Book-entry 260.00 2010-1-28 2010-2-2 2012-1-28 2.00 2.01

019002 10 T-bond 02 Book-entry 260.00 2010-2-4 2010-2-10 2020-2-4 10.00 3.43

019003 10 T-bond 03 Book-entry 240.00 2010-3-1 2010-3-5 2040-3-1 30.00 4.08

019004 10 T-bond 04 Book-entry 260.00 2010-3-4 2010-3-10 2011-3-4 1.00 1.44

019005 10 T-bond 05 Book-entry 260.00 2010-3-11 2010-3-17 2017-3-11 7.00 2.92

019006 10 T-bond 06 Book-entry 260.00 2010-3-18 2010-3-24 2013-3-18 3.00 2.23






019007 10 T-bond 07 Book-entry 260.00 2010-3-25 2010-3-31 2020-3-25 10.00 3.36

019008 10 T-bond 08 Book-entry 280.40 2010-4-8 2010-4-14 2015-4-8 5.00 2.70

019009 10 T-bond 09 Book-entry 280.00 2010-4-15 2010-4-21 2030-4-15 20.00 3.96

019010 10 T-bond 10 Book-entry 280.00 2010-4-22 2010-4-28 2017-4-22 7.00 3.01

019011 10 T-bond 11 Book-entry 280.00 2010-4-29 2010-5-6 2011-4-29 1.00 1.49

019012 10 T-bond 12 Book-entry 280.00 2010-5-13 2010-5-19 2020-5-13 10.00 3.25

019013 10 T-bond13 Book-entry 280.00 2010-5-20 2010-5-26 2015-5-20 5.00 2.38

019014 10 T-bond 14 Book-entry 280.00 2010-5-24 2010-5-28 2060-5-24 50.00 4.03

019015 10 T-bond 15 Book-entry 283.10 2010-5-27 2010-6-2 2017-5-27 7.00 2.83

019016 10 T-bond 16 Book-entry 280.00 2010-6-3 2010-6-9 2013-6-3 3.00 2.33

019017 10 T-bond 17 Book-entry 280.00 2010-6-10 2010-6-18 2015-6-10 5.00 2.53

019018 10 T-bond 18 Book-entry 280.00 2010-6-21 2010-6-25 2040-6-21 30.00 4.03

019019 10 T-bond 19 Book-entry 280.10 2010-6-24 2010-6-30 2020-6-24 10.00 3.41

019020 10 T-bond 20 Book-entry 299.70 2010-7-8 2010-7-14 2015-7-8 5.00 2.52

019021 10 T-bond 21 Book-entry 300.10 2010-7-15 2010-7-21 2011-7-15 1.00 1.87

019022 10 T-bond 22 Book-entry 281.90 2010-7-22 2010-7-28 2017-7-22 7.00 2.76

019023 10 T-bond 23 Book-entry 280.00 2010-7-29 2010-8-4 2040-7-29 30.00 3.96

019024 10 T-bond 24 Book-entry 304.40 2010-8-5 2010-8-11 2020-8-5 10.00 3.28

019025 10 T-bond 25 Book-entry 280.00 2010-8-12 2010-8-18 2013-8-12 3.00 2.30

019026 10 T-bond 26 Book-entry 280.00 2010-8-16 2010-8-20 2040-8-16 30.00 3.96

019027 10 T-bond 27 Book-entry 280.00 2010-8-19 2010-8-25 2017-8-19 7.00 2.81






019028 10 T-bond 28 Book-entry 282.20 2010-8-26 2010-9-1 2015-8-26 5.00 2.58

019029 10 T-bond 29 Book-entry 280.00 2010-9-2 2010-9-8 2030-9-2 20.00 3.82

019030 10 T-bond 30 Book-entry 205.40 2010-9-9 2010-9-15 2011-9-9 1.00 1.87

019031 10 T-bond 31 Book-entry 282.60 2010-9-16 2010-9-21 2020-9-16 10.00 3.29

019032 10 T-bond 32 Book-entry 287.10 2010-10-14 2010-10-20 2017-10-14 7.00 3.10

019033 10 T-bond 33 Book-entry 280.00 2010-10-21 2010-10-27 2015-10-21 5.00 2.91

019034 10 T-bond 34 Book-entry 280.00 2010-10-28 2010-11-3 2020-10-28 10.00 3.67

019035 10 T-bond 35 Book-entry 280.00 2010-11-4 2010-11-10 2013-11-4 3.00 2.68

019036 10 T-bond 36 Book-entry 282.10 2010-11-11 2010-11-17 2011-11-11 1.00 2.15

019037 10 T-bond 37 Book-entry 280.00 2010-11-18 2010-11-24 2060-11-18 50.00 4.40

019038 10 T-bond 38 Book-entry 306.40 2010-11-25 2010-12-1 2017-11-25 7.00 3.83

019039 10 T-bond 39 Book-entry 321.40 2010-12-2 2010-12-8 2015-12-2 5.00 3.64

019040 10 T-bond 40 Book-entry 280.00 2010-12-9 2010-12-15 2040-12-9 30.00 4.23

019041 10 T-bond 41 Book-entry 307.80 2010-12-16 2010-12-22 2020-12-16 10.00 3.77

019101 11 T-bond 01 Book-entry 617.10 2011-1-13 2011-1-19 2012-1-13 1.00 2.81

019102 11 T-bond 02 Book-entry 620.60 2011-1-20 2011-1-26 2021-1-20 10.00 3.94

019103 11 T-bond 03 Book-entry 625.20 2011-1-27 2011-2-1 2018-1-27 7.00 3.83

019104 11 T-bond 04 Book-entry 639.70 2011-2-17 2011-2-23 2016-2-17 5.00 3.60

019105 11 T-bond 05 Book-entry 280.00 2011-2-24 2011-3-2 2041-2-24 30.00 4.31

019106 11 T-bond 06 Book-entry 300.00 2011-3-3 2011-3-9 2018-3-3 7.00 3.75

019107 11 T-bond 07 Book-entry 580.00 2011-3-10 2011-3-16 2014-3-10 3.00 3.22






019108 11 T-bond 08 Book-entry 300.00 2011-3-17 2011-3-23 2021-3-17 10.00 3.83

019109 11 T-bond 09 Book-entry 433.50 2011-3-24 2011-3-30 2012-3-24 1.00 2.80

019110 11 T-bond 10 Book-entry 580.00 2011-4-28 2011-5-5 2031-4-28 20.00 4.15

019111 11 T-bond 11 Book-entry 301.80 2011-5-5 2011-5-11 2012-5-5 1.00 2.77

019112 11 T-bond 12 Book-entry 300.00 2011-5-26 2011-6-1 2061-5-26 50.00 4.48

019113 11 T-bond 13 Book-entry 600.00 2011-6-2 2011-6-9 2014-6-2 3.00 3.26

019114 11 T-bond 14 Book-entry 600.00 2011-6-9 2011-6-15 2016-6-9 5.00 3.44

019115 11 T-bond 15 Book-entry 619.30 2011-6-16 2011-6-22 2021-6-16 10.00 3.99

019116 11 T-bond 16 Book-entry 580.00 2011-6-23 2011-6-29 2041-6-23 30.00 4.50

019117 11 T-bond 17 Book-entry 600.00 2011-7-7 2011-7-13 2018-7-7 7.00 3.70

019118 11 T-bond 18 Book-entry 300.00 2011-7-14 2011-7-20 2012-7-14 1.00 3.48

019119 11 T-bond 19 Book-entry 630.50 2011-8-18 2011-8-24 2021-8-18 10.00 3.93

019120 11 T-bond 20 Book-entry 325.10 2011-9-15 2011-9-21 2012-9-15 1.00 3.90

019121 11 T-bond 21 Book-entry 586.30 2011-10-13 2011-10-19 2018-10-13 7.00 3.65

019122 11 T-bond 22 Book-entry 293.00 2011-10-20 2011-10-26 2016-10-20 5.00 3.55

019123 11 T-bond 23 Book-entry 2.80 2011-11-10 2011-11-16 2061-11-10 50.00 4.33

019124 11 T-bond 24 Book-entry 560.50 2011-11-17 2011-11-23 2021-11-17 10.00 3.57

019125 11 T-bond 25 Book-entry 280.00 2011-12-8 2011-12-14 2014-12-8 3.00 2.82

019714 07 T-bond 14 Book-entry 326.90 2007-8-23 2007-8-31 2014-8-23 7.00 3.90

019717 07 T-bond 17 Book-entry 280.00 2007-10-22 2007-10-29 2012-10-22 5.00 4.00

019718 07 T-bond 18 Book-entry 324.70 2007-11-26 2007-12-5 2014-11-26 7.00 4.35






019801 08 T-bond 01 Book-entry 289.70 2008-2-13 2008-2-21 2015-2-13 7.00 3.95

019802 08 T-bond 02 Book-entry 280.00 2008-2-28 2008-3-6 2023-2-28 15.00 4.16

019803 08 T-bond 03 Book-entry 279.40 2008-3-20 2008-3-28 2018-3-20 10.00 4.07

019804 08 T-bond 04 Book-entry 260.00 2008-4-14 2008-4-21 2011-4-14 3.00 3.56

019805 08 T-bond 05 Book-entry 280.00 2008-4-21 2008-4-28 2013-4-21 5.00 3.69

019806 08 T-bond 06 Book-entry 280.00 2008-5-8 2008-5-16 2038-5-8 30.00 4.50

019807 08 T-bond 07 Book-entry 271.50 2008-5-19 2008-5-26 2015-5-19 7.00 4.01

019810 08 T-bond 10 Book-entry 266.50 2008-6-23 2008-7-1 2018-6-23 10.00 4.41

019811 08 T-bond 11 Book-entry 245.90 2008-7-14 2008-7-21 2011-7-14 3.00 3.92

019813 08 T-bond 13 Book-entry 240.00 2008-8-11 2008-8-18 2028-8-11 20.00 4.94

019814 08 T-bond 14 Book-entry 266.00 2008-8-18 2008-8-25 2015-8-18 7.00 4.23

019817 08 T-bond 17 Book-entry 260.00 2008-9-16 2008-9-22 2013-9-16 5.00 3.69

019818 08 T-bond 18 Book-entry 243.60 2008-9-22 2008-9-26 2018-9-22 10.00 3.68

019819 08 T-bond 19 Book-entry 233.80 2008-10-13 2008-10-17 2011-10-13 3.00 2.64

019820 08 T-bond 20 Book-entry 240.00 2008-10-23 2008-10-31 2038-10-23 30.00 3.91

019822 08 T-bond 22 Book-entry 225.00 2008-11-24 2008-11-28 2015-11-24 7.00 2.71

019823 08 T-bond 23 Book-entry 240.00 2008-11-27 2008-12-4 2023-11-27 15.00 3.62

019825 08 T-bond 25 Book-entry 253.70 2008-12-15 2008-12-19 2018-12-15 10.00 2.90

019826 08 T-bond 26 Book-entry 260.00 2008-12-18 2008-12-24 2013-12-18 5.00 1.77

019901 09 T-bond 01 Book-entry 269.30 2009-2-12 2009-2-18 2016-2-12 7.00 2.76

019902 09 T-bond 02 Book-entry 220.00 2009-2-19 2009-2-25 2029-2-19 20.00 3.86






019903 09 T-bond 03 Book-entry 260.00 2009-3-12 2009-3-18 2019-3-12 10.00 3.05

019904 09 T-bond 04 Book-entry 564.30 2009-4-2 2009-4-9 2014-4-2 5.00 2.29

019905 09 T-bond 05 Book-entry 220.00 2009-4-9 2009-4-16 2039-4-9 30.00 4.02

019906 09 T-bond 06 Book-entry 252.10 2009-4-16 2009-4-22 2016-4-16 7.00 2.82

019907 09 T-bond 07 Book-entry 277.60 2009-5-7 2009-5-13 2019-5-7 10.00 3.02

019909 09 T-bond 09 Book-entry 273.00 2009-5-21 2009-5-27 2012-5-21 3.00 1.55

019910 09 T-bond10 Book-entry 295.00 2009-6-4 2009-6-10 2014-6-4 5.00 2.26

019911 09 T-bond11 Book-entry 280.00 2009-6-11 2009-6-17 2024-6-11 15.00 3.69

019912 09 T-bond12 Book-entry 282.70 2009-6-18 2009-6-24 2019-6-18 10.00 3.09

019913 09 T-bond13 Book-entry 280.00 2009-6-25 2009-7-1 2016-6-25 7.00 2.82

019915 09 T-bond 15 Book-entry 280.00 2009-7-16 2009-7-22 2012-7-16 3.00 2.22

019916 09 T-bond 16 Book-entry 283.00 2009-7-23 2009-7-29 2019-7-23 10.00 3.48

019917 09 T-bond 17 Book-entry 260.00 2009-7-30 2009-8-5 2016-7-30 7.00 3.15

019918 09 T-bond 18 Book-entry 275.80 2009-8-6 2009-8-12 2014-8-6 5.00 2.97

019919 09 T-bond 19 Book-entry 267.30 2009-8-20 2009-8-26 2016-8-20 7.00 3.17

019920 09 T-bond 20 Book-entry 260.00 2009-8-27 2009-9-2 2029-8-27 20.00 4.00

019922 09 T-bond 22 Book-entry 268.60 2009-9-10 2009-9-16 2012-9-10 3.00 2.18

019923 09 T-bond 23 Book-entry 266.40 2009-9-17 2009-9-23 2019-9-17 10.00 3.44

019924 09 T-bond 24 Book-entry 268.00 2009-9-24 2009-9-30 2014-9-24 5.00 2.90

019925 09 T-bond 25 Book-entry 240.00 2009-10-15 2009-10-21 2039-10-15 30.00 4.18

019926 09 T-bond 26 Book-entry 274.90 2009-10-22 2009-10-28 2016-10-22 7.00 3.40






019927 09 T-bond 27 Book-entry 272.40 2009-11-5 2009-11-11 2019-11-5 10.00 3.68

019929 09 T-bond 29 Book-entry 276.30 2009-11-19 2009-12-11 2012-11-19 3.00 2.42

019930 09 T-bond 30 Book-entry 200.00 2009-11-30 2009-12-11 2059-11-30 50.00 4.30

019931 09 T-bond 31 Book-entry 273.90 2009-12-3 2009-12-9 2014-12-3 5.00 2.90

019932 09 T-bond 32 Book-entry 271.20 2009-12-17 2009-12-23 2016-12-17 7.00 3.22

02002810 Discounted Bond 02

Book-entry 158.10 2010-4-12 2010-4-16 2011-1-10 .75 0.00


Book-entry 173.70 2010-5-17 2010-5-21 2011-2-14 .75 0.00


Book-entry 177.50 2010-6-14 2010-6-22 2011-3-14 .75 0.00


Book-entry 200.00 2010-7-12 2010-7-16 2011-1-10 .50 0.00


Book-entry 200.00 2010-7-26 2010-7-30 2011-1-24 .50 0.00


Book-entry 100.00 2010-8-9 2010-8-13 2011-5-9 .75 0.00


Book-entry 200.00 2010-8-23 2010-8-27 2011-2-21 .50 0.00


Book-entry 200.00 2010-9-20 2010-9-27 2011-3-21 .50 0.00


Book-entry 280.00 2010-10-25 2010-10-29 2011-1-24 .25 0.00


Book-entry 280.00 2010-11-1 2010-11-5 2011-1-31 .25 0.00


Book-entry 100.00 2010-11-15 2010-11-19 2011-5-16 .50 0.00


Book-entry 115.50 2010-11-29 2010-12-3 2011-2-28 .25 0.00


Book-entry 100.00 2010-12-13 2010-12-17 2011-9-12 .75 0.00


Book-entry 167.60 2010-12-27 2010-12-31 2011-3-28 .25 0.00


Book-entry 100.00 2011-4-18 2011-4-22 2011-7-18 .25 0.00


Book-entry 96.30 2011-5-16 2011-5-20 2011-11-14 .50 0.00







Book-entry 117.60 2011-7-11 2011-7-15 2012-1-9 .50 0.00


Book-entry 150.00 2011-8-8 2011-8-12 2012-5-7 .75 0.00


Book-entry 150.00 2011-9-19 2011-9-23 2012-3-19 .50 0.00

130000 09 Xinjiang 01 30.00 2009-3-30 2009-4-3 2012-3-30 3.00 1.61

130001 09 Anhui 01 40.00 2009-4-1 2009-4-8 2012-4-1 3.00 1.60

130002 09 Henan 01 50.00 2009-4-7 2009-4-13 2012-4-7 3.00 1.63

130003 09 Sichuan 01 90.00 2009-4-8 2009-4-14 2012-4-8 3.00 1.65

13000409 Chongqing Bond

58.00 2009-4-13 2009-4-17 2012-4-13 3.00 1.70

130005 09 Liaoning 01 30.00 2009-4-14 2009-4-20 2012-4-14 3.00 1.75

130006 09 Tianjin Bond 26.00 2009-4-14 2009-4-20 2012-4-14 3.00 1.78

13000709 Shandong 01

30.00 2009-4-16 2009-4-22 2012-4-16 3.00 1.80

13000809 Jiangsu Bond

84.00 2009-4-20 2009-4-24 2012-4-20 3.00 1.82

130009 09 Jilin 01 30.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82

13001009 Qingdao Bond

11.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82

130011 09 Hubei 01 50.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82

13001209 Qinghai Bond

29.00 2009-4-23 2009-4-29 2012-4-23 3.00 1.82

130013 09 Hebei 01 40.00 2009-4-30 2009-5-7 2012-4-30 3.00 1.80

130014 09 Neimeng 01 30.00 2009-4-30 2009-5-7 2012-4-30 3.00 1.80

130015 09 Shaanxi 01 36.00 2009-4-30 2009-5-7 2012-4-30 3.00 1.80

13001609 Longjiang 01

30.00 2009-5-11 2009-5-15 2012-5-11 3.00 1.77

13001709 Yunnan Bond

84.00 2009-5-11 2009-5-15 2012-5-11 3.00 1.77






130018 09 Zhejiang 01 40.00 2009-5-11 2009-5-15 2012-5-11 3.00 1.77

130019 09 Dalian Bond 10.00 2009-5-14 2009-5-20 2012-5-14 3.00 1.71

130020 09 Sichuan 02 90.00 2009-5-14 2009-5-20 2012-5-14 3.00 1.71

130021 09 Hubei 02 31.00 2009-5-14 2009-5-20 2012-5-14 3.00 1.71

130022 09 Guangxi 01 35.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67

130023 09 Beijing Bond 56.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67

13002409 Shanghai 01

40.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67

130025 09 Henan 02 38.00 2009-5-25 2009-6-2 2012-5-25 3.00 1.67

130026 09 Hunan Bond 82.00 2009-6-9 2009-6-15 2012-6-9 3.00 1.70

130027 09 Fujian Bond 26.00 2009-6-9 2009-6-15 2012-6-9 3.00 1.70

13002809 Ningxia Bond

30.00 2009-6-9 2009-6-15 2012-6-9 3.00 1.70

13002909 Jiangxi Bond

62.00 2009-6-15 2009-6-19 2012-6-15 3.00 1.72

13003009 Guizhou Bond

37.00 2009-6-15 2009-6-19 2012-6-15 3.00 1.72

130031 09 Anhui 02 64.00 2009-6-15 2009-6-19 2012-6-15 3.00 1.72

13003209 Guangdong Bond

85.00 2009-6-23 2009-6-29 2012-6-23 3.00 1.75

13003309 Xiamen Bond

8.00 2009-6-23 2009-6-29 2012-6-23 3.00 1.75

13003409 Hainan Bond

29.00 2009-6-23 2009-6-29 2012-6-23 3.00 1.75

130035 09 Shanxi Bond 53.00 2009-6-29 2009-7-3 2012-6-29 3.00 1.76

130036 09 Gansu Bond 65.00 2009-6-29 2009-7-3 2012-6-29 3.00 1.76

13003709 Ningbo Bond

15.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79

13003809 Shenzhen Bond

24.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79






130039 09 Xinjiang 02 25.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79

13004009 Shandong 02

29.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79

130041 09 Liaoning 02 26.00 2009-7-7 2009-7-13 2012-7-7 3.00 1.79

130042 09 Jilin 02 25.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36

130043 09 Guangxi 02 30.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36

13004409 Longjiang 02

30.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36

130045 09 Neimeng 02 27.00 2009-8-31 2009-9-4 2012-8-31 3.00 2.36

130046 09 Hebei 02 20.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24

13004709 Shanghai 02

36.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24

130048 09 Zhejiang 02 27.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24

130049 09 Shaanxi 02 27.00 2009-9-7 2009-9-11 2012-9-7 3.00 2.24

13005010 Local Bond 01

286.00 2010-6-21 2010-6-28 2013-6-21 3.00 2.77


152.00 2010-6-21 2010-6-28 2015-6-21 5.00 2.90


232.00 2010-7-19 2010-7-23 2013-7-19 3.00 2.33


284.00 2010-8-10 2010-8-16 2013-8-10 3.00 2.37


186.00 2010-8-10 2010-8-16 2015-8-10 5.00 2.67


195.00 2010-8-24 2010-8-30 2013-8-24 3.00 2.37


206.00 2010-9-7 2010-9-13 2013-9-7 3.00 2.36


152.00 2010-9-7 2010-9-13 2015-9-7 5.00 2.67


181.00 2010-11-15 2010-11-19 2013-11-15 3.00 3.23


126.00 2010-11-15 2010-11-19 2015-11-15 5.00 3.70







254.00 2011-7-12 2011-7-18 2016-7-12 5.00 3.84


239.40 2011-7-12 2011-7-18 2014-7-12 3.00 3.93


226.60 2011-8-2 2011-8-8 2014-8-2 3.00 4.07


220.00 2011-8-9 2011-8-15 2016-8-9 5.00 4.12


236.00 2011-8-23 2011-8-29 2014-8-23 3.00 4.01


240.00 2011-8-30 2011-9-5 2016-8-30 5.00 4.30


176.00 2011-10-18 2011-10-24 2014-10-18 3.00 3.67


179.00 2011-10-25 2011-10-31 2016-10-25 5.00 3.70

13006811 Shangha i 01

36.00 2011-11-16 2011-11-22 2014-11-16 3.00 3.10

13006911 Shangha i 02

35.00 2011-11-16 2011-11-22 2016-11-16 5.00 3.30

13007011 Guangdong 01

34.50 2011-11-21 2011-11-25 2014-11-21 3.00 3.08

13007111 Guangdong 02

34.50 2011-11-21 2011-11-25 2016-11-21 5.00 3.29

130072 11 Zhejiang 01 33.00 2011-11-22 2011-11-28 2014-11-22 3.00 3.01

130073 11 Zhejiang 02 34.00 2011-11-22 2011-11-28 2016-11-22 5.00 3.24

13007411 Shenzhen 01

11.00 2011-11-28 2011-12-2 2014-11-28 3.00 3.03

13007511 Shenzhen 02

11.00 2011-11-28 2011-12-2 2016-11-28 5.00 3.25



Summary of Corporate Bonds in 2011(Including Convertible Bond)

Code Short NameIssue size (RMB100 million)

Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)

Turnover value(RMB 10,000)

110003 Xinyu Steel 27.60 2013-8-20 116.02 100.39 120.60 99.02 543255.68

110007 Bohui 9.75 2014-9-23 118.18 96.38 120.48 95.77 81982.20

110009 Shuangliang Convertible Bond 7.20 2015-5-4 127.56 97.12 129.28 95.70 117035.07

110011 Gehua Convertible Bond 16.00 2016-11-25 122.51 92.58 126.90 86.91 256684.99

110012Ningbo Marine Convertible Bond

7.20 2016-1-7 123.51 92.32 127.38 91.70 296378.01

110013SDIC Power Convertible Bond

34.00 2017-1-25 118.11 97.30 127.98 91.00 1021031.90

110015 Sinopec Convertible Bond 230.00 2017-2-23 108.00 100.85 119.10 85.95 5222174.97

110016Sichuan Investment Convertible Bond

21.00 2017-3-21 116.02 92.47 122.50 87.54 473379.39

110017China Shipping Development Convertible Bond

39.50 2017-8-1 103.02 91.95 104.78 89.90 300314.73

110018China Guodian Convertible Bond

55.00 2017-8-19 102.00 106.14 109.11 96.50 642957.36

110078Chengxing Industrial Convertible Bond

4.40 2012-5-10 123.32 106.34 143.00 105.37 142431.45

113001 BOC Convertible Bond 400.00 2016-6-2 110.20 94.95 112.01 89.30 6500096.80

113002 ICBC Convertible Bond 250.00 2016-8-31 118.52 106.65 124.11 101.25 4813681.68

120101 01 China Mobile 50.00 2011-6-17 100.02 99.99 100.48 95.91 61253.89

120102 01 Three Gorges 30.00 2016-11-8 100.55 101.00 101.50 89.23 1377.81

120201 02 Three Gorges 50.00 2022-9-20 96.48 95.80 104.47 87.10 1506.97

120203 02 China Mobile 50.00 2017-10-27 100.40 96.90 102.47 90.21 228.94

120204 02 Jiangsu Communication 15.00 2017-12-11 99.20 94.50 105.00 88.00 230.46

12020502 Chongqing City Construction

15.00 2012-12-8 100.10 99.60 100.50 96.00 28005.31

120288 002 Jinmao 10.00 2012-4-28 100.00 99.99 101.00 94.01 27620.75




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120301 03 Shanghai Rail 40.00 2018-2-19 92.16 96.05 101.98 82.08 456.99

12030203 Suzhou Development Zone

10.00 2013-7-17 100.75 99.95 110.01 88.99 62619.94

120303 03 Three Gorges 30.00 2033-7-31 101.00 98.62 103.95 93.08 249.32

120304 03 Power 30.00 2013-12-30 99.60 99.60 104.49 93.00 1267.45

120305 03 Power 20.00 2013-12-30 100.00 100.00 101.99 93.00 13994.50

120306 03 China Power Investment 30.00 2018-12-7 100.60 99.00 102.49 94.02 1784.22

120307 03 Pudong Development 15.00 2013-1-12 100.70 99.55 109.00 90.92 1620.14

120308 03 Huhangyong 10.00 2013-1-23 100.70 99.42 100.90 90.00 1576.78


120310 03 China Netcom 40.00 2013-12-3 99.89 100.00 101.88 91.00 3709.60

120311 03 China Netcom 10.00 2013-12-3 101.00 100.50 101.00 90.50 31110.32

120482 04 China General 10.00 2014-3-30 99.40 99.98 100.49 96.20 654.40

120483 04 China Petroleum 35.00 2014-2-23 99.80 99.00 109.01 90.02 2366.17

120485 04 Guodian (1) 24.44 2014-9-21 101.00 100.00 109.00 91.00 617.91

120486 04 Guodian (2) 15.56 2019-9-21 0.00 104.95 0.00 0.00 0.00

120488 Beijing Metro 20.00 2014-12-14 104.40 101.50 104.99 92.00 572.65

120489 04 South China Grid (1) 10.00 2014-9-16 100.80 100.00 111.00 91.00 447.71

120490 04 South China Grid (2) 20.00 2019-9-16 102.66 103.00 103.00 102.65 85205.76

120501 05 Shenergy 10.00 2015-2-1 103.50 102.19 114.02 95.20 2369.36

120502 05 Suzhou Yuan Construction 12.00 2015-5-18 100.00 99.00 101.00 93.00 65.68

120503 05 Chongqing Water 17.00 2015-4-25 100.69 100.77 101.72 98.01 2065.77

120505 05 China Power 20.00 2015-6-29 99.99 98.00 103.00 93.50 37.72




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120506 05 Datang 30.00 2020-4-28 0.00 108.00 0.00 0.00 0.00

120508 05 Rail 50.00 2020-7-28 103.00 94.00 103.19 80.09 1806.39

120509 05 State Grid (1) 30.00 2015-7-7 98.80 115.09 115.09 85.02 100.10

120510 05 State Grid (2) 10.00 2015-7-7 100.01 101.00 109.00 94.98 362.93

120511 05 Shanghai Construction (1) 20.00 2015-7-26 99.80 96.20 107.35 96.20 5.11

120512 05 Shanghai Construction (2) 10.00 2020-7-26 80.01 90.98 98.18 76.11 4.19

120516 05 China Power Investment 20.00 2015-7-11 96.48 98.99 99.60 96.48 1740.61

120518 05 Beijing Power (2) 5.00 2012-7-5 108.00 100.00 108.00 95.20 5.15

120519 05 Huaneng 20.00 2015-7-4 92.01 98.00 98.00 92.01 1.90

12052005 Hangzhou Urban Construction

10.00 2015-6-19 100.00 96.99 100.88 85.20 141.62

120521 05 Air China 30.00 2015-9-6 90.21 100.00 100.00 90.21 7.49

120522 05 Railcom 10.00 2015-8-17 0.00 100.00 0.00 0.00 0.00

120523 05 Fujian Expressway 20.00 2015-6-9 101.76 97.80 101.76 92.00 110.94

120525 05 China Nuclear (1) 10.00 2015-7-21 98.13 106.95 106.95 85.25 11.75

120527 05 Wuhan Urban Investment 10.00 2020-12-25 93.52 96.00 97.78 89.50 38.24

120528 05 World Expo 15.00 2012-12-27 99.00 99.95 105.00 90.29 1211.34

120529 05 Ningxia Coal 10.00 2020-9-15 96.00 94.33 108.88 86.50 15.83

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 95.50 93.50 99.99 90.01 16.71

120603 06 China Aerospace 20.00 2021-4-17 96.00 93.00 97.00 78.00 2092.57

120604 06 State Grid (1) 10.00 2016-5-28 95.60 95.79 100.00 90.00 589.71

120605 06 Three Gorges 30.00 2026-5-10 87.28 89.00 89.00 80.69 55912.14




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


120606 06 Zhangjiang 6.00 2013-5-18 101.20 98.91 101.20 96.19 1480.01

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 97.00 95.00 118.88 75.23 15.47

120609 06 Jiangxi Investment 8.00 2021-9-10 85.50 85.50 85.50 85.50 0.43

12061006 Hefei Urban Construction Development

10.00 2016-9-19 0.00 137.11 0.00 0.00 0.00

120701 07 World Expo (1) 20.00 2017-2-14 97.84 99.80 107.04 90.03 81.18

120702 07 World Expo 20.00 2022-2-14 96.00 93.97 104.00 86.19 84.60

122000 07 Yangtze Powe 40.00 2017-9-24 100.11 100.97 110.18 92.00 1310.46

122001 07 Offshore Oil Engineering 12.00 2017-11-9 123.88 102.50 125.00 88.88 6980.17

122002 07 Huaneng G1 10.00 2012-12-25 104.20 100.99 107.00 96.80 40295.27

122003 07 Huaneng G2 17.00 2014-12-25 97.26 104.00 105.98 97.26 4303.75

122004 07 Huaneng G3 33.00 2017-12-25 99.68 100.00 113.00 98.00 5697.07

122005 08 Vanadium and Titanium 13.00 2013-2-28 104.58 101.50 110.55 99.92 116986.36

122006 08 Gemdale 12.00 2016-3-10 105.80 101.50 105.80 99.31 19463.08

122007 08 Laiwu Steel 20.00 2018-3-25 104.00 101.00 107.40 90.00 86107.43

122008 08 Huaneng G1 40.00 2018-5-8 104.50 100.98 113.00 94.50 10336.83

122009 08 Xinhu 14.00 2016-7-2 108.29 102.83 110.89 100.25 356878.38

122010 08 Jiangsu Expressway 11.00 2011-7-28 101.34 100.00 101.59 98.00 72607.30

122011 08 Kingfa 10.00 2013-7-24 105.95 103.08 107.05 101.20 159647.50

122012 08 Poly 43.00 2013-7-11 106.50 102.80 106.71 95.79 97741.73

122013 08 North Star 17.00 2013-7-18 106.50 101.87 107.50 100.50 187962.35

122014 09 Yuyuan 5.00 2014-7-17 103.80 101.60 103.80 95.01 63525.18




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122015 09 Yangtze Power 35.00 2019-7-30 99.69 99.00 99.69 82.44 3687.09

122016 09 China National Materials 25.00 2016-7-29 99.45 98.00 101.00 90.55 41.76

122017 09 Datang 30.00 2019-8-17 98.55 98.00 100.00 90.38 78.98

12201809 China Communications Construction G1

21.00 2014-8-21 99.01 99.50 99.50 98.31 45705.56

12201909 China Communications G2

79.00 2019-8-21 106.00 119.98 119.98 106.00 22000.45

122020 09 Forte Land 19.00 2014-9-22 104.79 98.70 107.77 95.20 337871.30

122021 09 Guanghui 10.00 2016-8-26 106.00 100.60 106.00 93.28 264428.02

122022 09 Chengtou 20.00 2014-9-11 0.00 100.00 0.00 0.00 0.00

122023 09 Wanye 10.00 2014-9-17 105.00 94.05 107.20 93.29 134216.11

122024 09 Guoyang 14.00 2014-9-15 101.00 99.01 102.15 95.50 30732.51

122025 09 Beijing Capital Land 10.00 2014-9-24 100.00 99.38 112.00 80.19 92964.84

122026 09 Foton 10.00 2014-9-23 100.00 98.40 125.00 98.40 10885.45

122027 09 Beijing Urban Construction 9.00 2016-9-28 104.95 99.90 107.00 95.00 84731.88

122028 09 Huafa 18.00 2017-10-16 105.00 98.41 105.56 93.88 194888.16

122029 09 Vantone 10.00 2014-10-14 103.20 101.79 108.70 95.00 97401.69

12203009 Beijing Hualian Department Store

7.00 2015-11-2 102.51 100.00 110.60 92.89 78651.50

122031 09 Tianjin Realty 3.00 2012-10-19 103.80 100.10 104.30 97.80 59766.37

122032 09 Tunnel 14.00 2016-10-21 101.60 97.21 102.99 93.20 5269.13

122033 09 R&F Properties 55.00 2014-10-23 103.77 100.23 104.53 95.06 728743.63

122034 09 China Enterprise 12.00 2014-10-27 105.50 98.48 115.01 95.00 34692.90

122035 09 Suzhou Hi-Tech 10.00 2014-11-9 101.00 99.99 107.00 92.01 94704.44

122036 09 Shanghai Zhangjiang 20.00 2014-12-9 102.50 98.49 110.00 90.62 214825.34




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122037 09 Sanyou 9.60 2017-11-26 103.60 103.00 103.60 102.00 163355.29

122038 09 Xingang Hi-tech 10.00 2014-12-8 101.01 99.45 102.20 91.00 21753.42

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 2014-12-16 100.44 96.69 108.00 91.01 103553.92

122041 09 Zhaojin 15.00 2016-12-23 100.00 102.00 102.00 98.00 33791.66

122042 09 Jinfeng 6.00 2012-12-25 100.81 99.18 106.66 85.08 79068.96

122043 09 Zijiang 10.00 2017-12-28 104.99 97.33 106.90 91.05 73663.53

122044 10 Lianyungang 6.50 2015-1-25 101.45 99.60 102.63 82.05 95662.72

122045 10 Chinese Railway G1 10.00 2015-1-27 100.00 100.00 100.00 99.00 33817.93


122047 10 Capital Airport 01 19.00 2015-2-3 98.32 106.00 106.00 97.60 77973.46

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 2018-3-2 102.00 98.40 103.20 94.15 204096.87

122050 10 Shanshan 6.00 2017-3-26 99.40 96.68 100.00 88.66 72682.06

122051 10 Sinopec 01 110.00 2015-5-21 96.60 99.85 105.00 88.03 251854.44

122052 10 Sinopec 02 90.00 2020-5-21 98.95 94.99 99.75 85.03 45326.21

122053 10 Taihao 5.00 2015-9-27 95.00 102.99 110.00 95.00 36878.10



122056 10 Longyuan 01 20.00 2015-12-10 0.00 100.00 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 Garden 5.00 2015-12-22 100.05 100.55 110.00 93.02 79247.29




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122059 10 Chongqing Iron & Steel 20.00 2017-12-9 100.89 97.77 102.70 91.50 274472.57

122060 10 Yinge 7.50 2017-12-22 101.82 93.49 105.80 88.88 181484.89

122061 11 Western Mining 01 20.00 2016-1-17 100.50 100.00 100.50 99.10 1943.79

122062 11 Western Mining 02 20.00 2021-1-17 0.00 100.00 0.00 0.00 15112.10

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 2016-3-30 100.00 104.51 105.00 88.01 506881.27

122066 11 Datang 01 30.00 2021-4-20 98.75 100.00 101.90 96.00 2446.22

122067 11 Nanjing Iron & Steel Bond 40.00 2018-5-6 100.50 98.00 110.00 90.00 382370.18

122068 11 Conch Cement 01 70.00 2016-5-23 99.80 99.86 100.49 97.50 397336.02

122069 11 Conch Cement 02 25.00 2018-5-23 100.00 100.50 100.50 95.00 32408.39

122070 11 Hainan Airlines 01 35.60 2016-5-24 99.50 98.49 100.00 90.01 777860.58

122071 11 Hainan Airlines 02 14.40 2021-5-24 99.60 98.49 105.00 90.00 736502.39

122072 11 Dalian Port 23.50 2021-5-23 99.89 99.90 99.99 90.80 10450.09

122073 11 Yunwei Bond 10.00 2018-6-1 99.00 98.56 103.00 95.68 22452.58

122074 11 Silan Microelectronics 6.00 2016-6-9 99.59 97.00 99.60 95.00 19610.31

122075 11 Liuzhou Iron & Steel Bond 20.00 2019-6-1 100.00 97.99 100.00 90.00 28283.83

122076 11 Conba 6.00 2016-6-8 100.00 97.50 100.00 95.80 11417.10

122077 11 Western Steel Bond 10.00 2019-6-15 90.90 98.00 99.77 90.10 12843.87

122078 11 Dongyangguang 9.00 2016-6-15 99.01 98.69 99.40 90.00 84648.93

12207911 Shanghai International Port 02

30.00 2016-7-6 100.00 105.53 106.00 93.01 49530.36

122080 11 Kangmei Bond 25.00 2018-6-21 100.96 100.83 101.50 97.00 257471.54




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122081 11 Star Lake Bond 6.40 2017-7-7 100.00 103.00 103.00 88.20 40950.78

12208211 Nanha i Deve lopment Bond

6.50 2016-7-7 0.00 100.00 0.00 0.00 34950.00

122083 11 Tianwei Bond 16.00 2018-7-11 100.09 102.00 102.00 90.00 36698.78

122084 11 Xiangtan Electric Bond 9.50 2016-7-15 99.56 99.89 100.00 89.45 5072.19

122085 11 Shenzhen Expressway 15.00 2016-7-27 99.60 100.50 102.00 91.00 11025.57

122086 11 Chint Bond 15.00 2016-7-20 95.05 100.75 101.00 92.00 25412.20

12208711 Lingyuan Iron & Steel Bond

14.80 2019-8-1 100.05 102.00 102.00 100.00 3200.30

122088 11 Zongyi Bond 7.00 2016-8-31 99.98 95.20 99.98 92.00 41621.63

122089 11 Maanshan Steel 01 31.60 2014-8-25 99.00 102.53 103.00 90.00 571758.51

122090 11 Maanshan Steel 02 23.40 2016-8-25 100.00 102.50 103.86 100.00 226074.96

12209111 Chongqing Machinery & Electric

10.00 2016-8-17 99.99 103.00 103.00 99.60 5171.99

122092 11 Daqin Railway 01 40.00 2013-8-18 99.95 101.18 101.92 99.46 221218.20

122093 11 Zhongfu Industrial Bond 15.00 2019-8-29 96.19 97.77 99.80 95.40 99857.42

12209411 Hisun Pharmaceuticals Bond

8.00 2016-8-25 100.00 102.00 102.00 100.00 4000.10

12209511 Hangzhou I ron&Steel Bond

14.00 2014-8-24 99.90 100.00 101.00 98.30 75980.18

122096 11 Joincare 10.00 2018-10-28 100.50 103.00 104.18 100.00 30237.20

122097 11 Pudong Road & Bridge 7.00 2016-10-24 103.00 102.20 103.00 101.00 39993.37

122098 11 Bayi Iron & Steel Bond 12.00 2014-9-16 101.50 102.30 103.00 101.50 41445.21

122099 11 Dalian Port 02 26.50 2018-9-26 0.00 100.00 0.00 0.00 0.00

122100 11 Huayi Electric Bond 7.00 2016-11-9 100.00 99.98 100.83 99.00 26178.09

122102 11 Guanghui 01 20.00 2017-11-3 101.99 101.15 102.00 100.50 62496.76

12210611 Datang Renewable Power 01

42.00 2016-11-8 100.50 101.99 110.00 100.50 206295.69




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122107 11 Anyang Iron & Steel 01 10.00 2018-11-11 102.00 101.46 102.00 100.00 34658.46

122108 11 Suntien Green Energy 01 10.00 2017-11-18 100.01 100.12 100.98 99.00 353.02

122109 11 Suntien Green Energy 02 10.00 2018-11-18 0.00 100.00 0.00 0.00 20000.00

122110 11 Joinworld Bond 13.70 2018-11-17 99.90 100.50 100.50 99.90 38065.36

122784 11 ZTEHoldings 10.00 2019-10-28 101.00 101.00 101.00 101.00 0.10

122788 11 Sanming Bond 10.00 2018-6-14 100.00 104.00 104.00 99.34 21237.76

122789 11 Xiangyu Bond 9.00 2018-7-8 100.00 100.00 115.00 100.00 1.23

122790 11 Zhuji Bond 15.00 2018-7-5 101.00 99.98 120.00 91.00 6678.77

122792 11 Handan Bond 10.00 2018-7-1 100.00 100.00 100.00 100.00 14930.20

12279311 Yangzhou Development Bond

10.00 2016-7-7 97.00 96.99 97.00 94.01 9.31

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 97.00 96.50 97.00 96.50 1892.01

12279911 Wuhan State-owned Assets Managment

3.00 2018-6-17 102.00 98.00 102.00 98.00 215.80

122800 11 Longkou Coal Power 10.00 2018-6-17 0.00 100.00 0.00 0.00 0.00

122801 11 Jiaozuo Bond 22.00 2018-6-8 97.07 105.00 105.00 91.65 1565.30

122802 11 Liaoyang Bond 20.00 2018-6-13 103.80 102.80 105.78 81.77 37110.24

122804 11 Weinan 01 6.00 2017-6-8 100.00 93.70 100.00 87.00 5552.91

122805 11 Datong Bond 25.00 2017-6-1 102.00 97.00 102.00 78.66 50992.15

122806 11 Weinan 02 12.00 2018-6-8 95.00 95.00 98.99 88.00 5662.37

122807 11 Dongling Bond 4.00 2017-6-14 0.00 100.00 0.00 0.00 0.00




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122808 11 Tengzhou Bond 10.00 2018-5-24 0.00 100.00 0.00 0.00 0.00

12280911 Dzungarian State-owned Assets

20.00 2018-5-10 103.50 94.48 103.50 89.18 60876.47

12281011 Zouping State-owned Assets

5.00 2018-4-27 102.00 91.20 102.00 82.23 6777.12

122811 11 Inner Mongolia Nailung 8.00 2018-5-5 103.50 97.90 103.50 81.00 5169.86

122812 11 Huaibei Bond 12.00 2018-3-14 104.20 95.29 104.20 80.00 44587.79

122813 11 Ningxia Transport 15.00 2021-4-27 100.00 99.00 100.00 92.00 3582.89

122814 11 Dongying Bond 12.00 2018-4-20 103.47 99.20 110.01 91.00 17383.20

122815 11 Guanghui Bond 16.00 2017-4-19 100.00 99.49 100.00 98.70 39.76

122816 11 Gaomi Bond 10.00 2018-4-8 0.00 100.00 0.00 0.00 0.00

122817 11 Sanmen Bond 15.00 2018-4-25 102.80 95.75 103.49 88.46 30063.96

122818 11 Muping Bond 6.00 2019-3-4 110.00 99.96 110.00 85.82 29576.29

12281911 Changzhou Urban Construction

25.00 2018-4-25 100.00 97.00 100.10 80.28 17190.02

122820 11 Weifang Dongfang 5.00 2018-4-12 102.10 103.30 109.00 93.20 212.87

122821 11 Jilin Urban Construction 20.00 2018-3-3 103.00 94.95 103.00 79.80 44962.94

122822 11 Hanzhong Bond 8.00 2018-3-14 105.00 94.77 105.00 86.00 28272.14

122823 11 Zhoushan Bond 15.00 2018-4-20 100.50 96.00 101.02 92.80 26663.22

122824 11 China Coal Construction 6.00 2018-3-15 99.00 99.00 99.00 99.00 5898.00

122825 11 Jingdezhen 8.00 2018-3-23 105.30 96.89 106.00 83.03 76938.07

122826 11 Beibu Gulf Port 15.00 2017-3-30 102.00 103.00 103.00 102.00 9962.21

122827 11 ENN Energy Holdings 5.00 2018-2-16 94.00 99.50 99.50 94.00 2310.78

122828 11 Fuzhou Bond 8.00 2018-2-28 106.00 98.92 111.00 84.03 39296.47

122829 11 Wanji Bond 8.00 2018-8-24 104.00 102.50 104.00 102.00 103.35




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


12283011 Shenyang State-owned Assets

15.00 2019-3-16 102.04 92.28 104.80 86.40 68631.05

122831 11 Huitong Bond 10.00 2018-3-14 105.02 100.67 106.61 82.01 75114.42

122832 11 Taishan Bond 10.00 2018-3-2 102.03 108.80 114.27 93.49 17460.46

12283311 Ganzhou Urban Development

20.00 2018-4-22 99.68 94.97 99.88 85.18 16971.38

12283411 Mudanjiang State-owned Assets

15.00 2018-2-15 102.00 91.90 104.99 83.99 30842.72

122835 11 Xinglu Bond 10.00 2021-3-1 101.80 98.05 103.80 89.45 36438.20

122836 11 Panjin Bond 15.00 2018-3-1 103.11 92.19 105.35 82.58 95532.23

12283711 Wujin Economic Development

25.00 2018-2-24 101.20 97.87 101.30 85.02 16226.05

122838 11 Geely Bond 10.00 2018-6-21 98.60 99.99 99.99 98.60 699.77

122839 11 Xintai Bond 12.00 2018-2-23 102.12 99.75 107.88 89.29 11104.43

122840 11 Linfen Bond 20.00 2019-2-22 102.10 94.96 105.60 77.01 245413.82

122841 11 Chongqing Jiangjin Bond 6.00 2018-1-6 102.50 91.76 103.30 80.00 63049.21

12284211 Hechuan Urban vConstruction

6.00 2018-1-6 102.50 91.71 110.00 79.50 76303.94

122843 11 Suihua Bond 8.00 2018-2-28 104.00 96.12 106.00 80.00 168374.26

122844 11 Guiyang Urban Investment 20.00 2018-1-12 100.78 96.50 103.78 84.98 69239.83

122845 11 Hengdian Bond 12.00 2021-1-27 100.45 98.90 101.49 85.01 31819.01

122846 11 Yufu Bond 20.00 2018-2-22 101.00 98.50 103.20 90.48 24379.39

12284711 Ningbo Communications Investment

10.00 2021-2-10 101.00 98.49 102.00 91.44 13427.81

122848 10 Guilin Bond 10.00 2017-12-28 0.00 100.00 0.00 0.00 20166.00

122849 11 Xinyu Bond 14.00 2018-1-11 94.00 98.70 100.00 90.55 4098.15

122850 11 Huatai Bond 8.80 2018-3-2 100.50 93.88 101.50 86.00 13250.56

122851 10 Yuxi 01 8.00 2016-12-28 101.00 95.00 101.00 90.61 8712.54




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122852 10 Yuxi 02 7.00 2017-12-28 102.00 91.65 102.50 85.00 28305.91

122853 10 Taiyuan Heavy Machinery 8.40 2020-12-31 0.00 100.00 0.00 0.00 0.00

122854 11 Zhonghui Bond 10.00 2018-3-23 100.50 100.00 100.50 99.75 9623.99

122855 11 Chongqing Light Textile 7.00 2018-1-12 100.00 99.00 100.00 96.66 20016.38

122856 11 Zhuzhou Hi-tech 10.00 2018-8-18 100.11 97.39 100.85 91.10 1249.44

122857 10 Jiuhua Bond 10.00 2016-12-16 102.00 93.98 103.58 81.20 160101.65

12285810 Yancheng City-owned Assets 01

5.00 2016-12-16 100.00 97.40 100.50 94.00 37436.28

12285910 Yancheng City-owned Assets 02

10.00 2017-12-16 100.99 98.98 121.00 90.00 26826.34

122860 10 Longyuan 16.00 2017-2-9 0.00 100.00 0.00 0.00 3000.00

122861 09 Shaanxi Coal Chemistry 15.00 2017-12-17 0.00 100.00 0.00 0.00 5950.00

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 2017-12-28 103.00 99.00 113.88 91.00 100665.53

122864 11 Shanghai Bund Investment 9.00 2018-3-11 101.99 112.00 112.00 98.88 10574.96

12286510 Jiangsu HaizhouwanDevelopment

10.00 2017-9-28 98.30 102.00 102.00 97.00 24992.61

12286610 Hangzhou CommunicationInvestment

12.00 2020-10-19 90.00 90.00 93.00 90.00 3721.92

12286711 Shijiazhuang City Investment

10.00 2021-3-9 101.00 98.00 105.00 87.02 14843.74

122868 10 Shenyang Coal 15.00 2017-12-21 100.00 98.00 108.88 92.88 61651.21

122869 10Shanghai Chemical 10.00 2017-10-22 0.00 100.00 0.00 0.00 0.00

122870 10 Chongqing Dasheng 8.00 2017-6-2 0.00 100.00 0.00 0.00 0.00

12287110 Zhengjiang CommunicationInvestment

10.00 2017-10-18 98.00 98.00 98.00 98.00 9299.10

122872 10 Fosun Bond 11.00 2017-12-24 101.00 98.80 101.00 90.75 74448.71

12287310 Nan tong Economic & Technological Development Zone

10.00 2017-12-8 99.40 105.00 108.00 91.00 48242.98




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122874 10 Honghe Investment 01 10.00 2016-12-9 98.00 94.81 106.00 80.00 74184.89

122875 10 Honghe Investment 02 10.00 2017-12-9 101.00 92.30 108.00 75.82 206220.03

12287611 Hainan Deve lopment Holdings

15.00 2018-1-20 100.50 98.00 100.70 97.00 8613.20

122877 10 Chongqing Nan’an 10.00 2017-12-24 100.10 100.30 111.00 90.30 46050.23

122879 10 Tianji 10.00 2017-11-25 99.80 98.10 109.00 89.20 615.76

122880 10 Tianye 12.00 2016-10-25 99.38 96.34 100.00 90.00 36787.72

122881 10 Wujiang 15.00 2018-12-23 101.00 96.00 103.50 86.06 95858.40

122882 10 Nanjing Hi-tech 12.00 2017-12-24 100.30 94.95 102.50 90.00 60618.78

122883 10 Chuxiong 15.00 2017-10-18 98.48 88.66 104.95 74.93 454396.78

122884 10 Xizi 4.50 2017-10-11 99.60 98.50 110.00 88.68 57128.27

122885 10 Hebei Communication 20.00 2025-9-28 0.00 100.00 0.00 0.00 0.00

122886 10 Yunnan Investment 20.00 2017-8-24 92.00 88.89 92.00 84.00 28253.46

12288710 Chongqing Communication

10.00 2017-8-4 96.78 95.88 114.00 78.50 27580.30

122888 10 Huajing 15.00 2017-9-28 103.00 88.49 103.00 77.00 61746.16

122889 10 Daye Nonferrous 7.00 2018-10-15 96.00 91.91 102.10 80.01 12.15

122890 10 Kaidi 10.00 2020-8-23 101.00 87.59 101.01 83.22 155408.78

122891 10 Tongliao 10.00 2017-9-1 103.78 103.78 103.78 103.78 2594.50

122892 10 Shouguang 10.00 2020-9-1 98.45 100.67 105.00 80.20 135011.78

122893 10 Dandong 15.00 2017-9-6 100.00 94.12 111.00 84.03 51802.77

122894 10 Nanchang Municipal 7.00 2017-8-3 0.00 100.00 0.00 0.00 0.00

122895 10 Dezhou 7.00 2017-8-9 99.29 96.98 102.85 90.90 52643.34

122896 10 Wuhu Development 10.00 2017-8-25 98.00 96.45 98.00 96.45 9801.06




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122897 10 Xiangfan Investment 10.00 2018-5-19 101.00 98.00 107.56 89.01 209312.00

122898 10 Pan National Investment 6.00 2020-7-29 97.00 90.85 100.99 71.99 34024.70

122899 10 Yangpu 01 12.00 2017-7-28 100.00 98.00 100.00 98.00 28987.23

122900 10 Yangpu 02 3.00 2017-7-28 102.00 99.96 102.00 99.96 25280.00

122901 10 Yingkou 20.00 2020-6-9 103.05 102.35 107.50 96.59 30559.91

122902 10 Chifeng 12.00 2017-5-18 98.28 93.00 103.00 82.50 108765.71

122903 10 Yancheng East 10.00 2017-6-8 96.66 92.80 99.00 88.00 75927.60

122904 10 Great Wall Investment 20.00 2020-5-24 100.95 100.95 100.95 100.95 8282.50

122905 10 Nanchang 12.00 2017-4-30 101.05 97.85 108.00 90.00 38685.65

122906 10 Wuhu Investment 01 14.00 2017-7-22 97.00 91.50 99.49 68.00 6880.09

122907 10 Wuhu Investment 02 6.00 2017-7-22 100.00 98.19 109.90 91.20 78648.38


122909 10 Yixing 15.00 2016-5-20 99.00 97.10 111.00 90.11 69507.57

122910 10 Leihe 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 98.50 97.00 102.00 89.91 171735.18

12291210 Hubei State-owned Captial

28.00 2020-5-11 102.00 99.00 102.00 99.00 13010.10

12291310 Nantong Industries Holding

8.00 2016-5-18 101.00 98.00 101.95 97.00 4384.06

122914 09 Fujian Building 10.00 2016-12-16 105.00 105.00 105.00 105.00 42583.61

12291510 Zhenjiang Water Conservancy Investment

20.00 2017-5-6 99.01 91.28 104.00 82.90 19440.04

122916 10 Honggutan 8.00 2017-3-9 101.78 95.30 104.00 80.33 81170.62

122917 10 Taicang Port 6.00 2020-1-21 99.06 105.20 107.50 93.58 12183.12

122918 10 Fuyang 10.00 2016-3-9 102.01 100.00 103.19 90.01 156957.89




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122919 10 Shandong Commercial 7.00 2017-3-11 102.50 101.00 102.50 96.59 9431.27

122920 10 Huangshan 6.00 2017-2-9 101.08 94.67 103.24 85.83 142677.39

122921 10 Chenzhou 20.00 2017-1-21 102.87 99.07 106.00 85.10 419279.53

12292210 Changsha Advanced Technology

20.00 2017-1-25 101.30 101.90 107.00 94.50 52808.56

122923 10 Beijing Auto Investment 15.00 2017-1-29 100.80 98.50 100.80 90.00 61706.72

122924 10 Chaohu 12.00 2017-1-28 101.99 99.99 103.99 90.01 156326.35

12292509 Shenyang State-owned Capital

12.00 2016-11-27 105.80 100.25 112.00 94.00 102011.16

122926 09 Qinghai Investment 8.00 2015-12-29 100.00 99.60 115.00 92.00 34556.15

122927 09 Hainan Airlines 13.00 2019-12-24 104.47 101.80 107.10 95.39 164835.94

122928 09 Tieling 15.00 2019-12-22 103.30 95.70 113.16 84.26 86730.71

122929 09 Jiujiang 12.00 2016-12-18 103.20 101.90 104.90 88.00 25547.84

122930 09 Panjin 10.00 2016-12-16 104.80 103.96 107.36 90.00 201469.30

122931 09 Linhai 10.00 2016-11-6 108.31 99.95 111.55 87.00 150538.65

122932 09 Yicheng 12.00 2016-11-25 103.56 99.80 106.50 88.92 129358.49

122933 09 Nanshan 1 10.00 2015-10-20 104.51 108.00 111.37 97.90 26842.83

122934 09 Nanshan 2 10.00 2019-10-20 102.00 102.00 102.00 102.00 0.10

122935 09 Nantong 23.00 2016-11-13 99.00 99.00 99.00 99.00 13733.95

12293609 Hecheng Urban Investment

12.00 2016-11-17 106.51 98.46 109.00 84.50 278588.58

122937 10 Liaoyuan 10.00 2017-1-26 106.45 98.88 115.00 87.57 234037.46

122938 09 Fenhu 10.00 2017-10-22 102.03 99.48 103.60 90.35 21328.57

122939 09 Ji’an 15.00 2016-10-28 106.61 99.24 109.90 87.26 70968.53

12294009 Xianyang Urban Investment

17.50 2019-9-30 107.09 103.49 114.06 86.00 235279.17




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122941 10 Zhenjiang City Investment 20.00 2020-12-17 101.00 99.50 106.00 90.00 88663.40

122942 09 Jiangyin 25.00 2016-9-15 107.00 105.00 107.00 90.00 60944.72

122943 09 Waigaoqiao 8.50 2014-9-4 100.00 102.00 102.00 99.00 13804.01

122944 09 Zhuzhou Urban Investment 15.00 2016-8-28 103.98 101.89 105.93 89.00 133183.43

122945 09 Yushui 8.00 2016-7-31 103.50 97.36 113.00 91.00 57577.90

12294609 Yangzhou Urban Construction

20.00 2016-7-23 100.20 102.40 104.80 93.50 45634.19

12294709 Hefei Construction Investment

20.00 2014-7-8 102.49 100.00 105.00 92.06 14028.79

122948 09 Wuxi Communications 20.00 2016-7-8 98.60 97.99 100.00 89.28 75745.85

122949 09 Changzhou Investment 20.00 2016-7-1 99.36 96.14 102.00 92.50 74857.83

122950 09 Chongqing Energy 15.00 2016-7-1 101.00 96.20 107.00 79.77 5906.39

12295109 Huainan Urban Construction

15.00 2016-6-26 100.99 98.22 104.00 83.01 103529.62

122952 09 Ganzhou 15.00 2016-6-16 98.00 99.00 100.50 92.00 12841.86

12295309 Yueyang Urban Construction

10.00 2015-4-30 99.14 101.00 101.00 92.60 23322.15

122954 09 Wujin 22.00 2016-6-9 97.70 93.28 101.67 88.00 15656.33

122955 09 Xiangtan City Construction 9.00 2015-6-1 99.05 92.65 109.00 88.80 27589.20

122956 09 Changzhou Hi-tech 15.00 2019-6-4 97.38 98.00 110.00 95.00 70349.97

12295709 Chengdu Industry Investment

15.00 2016-6-4 101.00 98.98 101.00 90.00 71486.02

12295809 Changsha Economic Development

5.80 2015-5-22 103.80 98.97 112.00 89.01 96508.14

122959 09 Tsinghua Holdings 10.00 2016-5-19 100.00 97.90 101.00 96.00 58955.20

122960 09 Poly Group 13.00 2014-5-7 100.97 98.00 101.00 91.24 35326.49

122961 09 Wuhan Urban Investment 15.00 2019-5-25 97.00 98.00 105.28 90.11 23645.61

122962 09 Nanjing Communications 10.00 2016-5-7 101.98 98.21 102.00 91.05 53705.44




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122963 09 Zhangjiang 8.00 2012-6-10 99.00 99.60 100.50 95.00 24928.55

122964 09 Longhu 14.00 2016-5-5 103.97 97.00 110.00 95.92 285760.80

122965 09 Weifang Investment 7.00 2019-4-15 103.00 95.00 103.50 90.00 45484.32

122966 09 Dianchi Investment 8.00 2015-4-27 100.05 93.00 105.00 87.19 25458.47

122967 09 Fujian Zhanglong 10.00 2015-4-24 99.98 98.24 101.88 95.16 100087.69

12296809 Hangzhou Urban Investment

22.00 2015-4-14 100.10 99.50 105.00 90.36 74985.28

122969 09 Henan Investment 15.00 2019-4-15 100.00 98.00 100.20 87.00 88.32

122970 09 Three Gorges 01 70.00 2014-4-8 97.00 97.68 100.00 96.00 14258.37

122971 09 Three Gorges 02 30.00 2016-4-8 93.00 95.00 98.00 93.00 569.87

122972 09 Mianyang Investment 15.00 2016-4-8 100.00 100.00 102.51 91.50 81426.42

122973 09 Kunshan Chuangye 20.00 2016-3-30 94.27 90.99 98.80 84.99 87683.12

12297409 Zhengjiang City Construction

10.00 2015-3-30 101.20 96.60 102.22 85.00 72093.03

122975 09 Jinan Urban Construction 15.00 2019-3-26 96.53 90.50 96.86 83.28 3291.90

12297609 Yongcheng Coal & Electricity

13.00 2015-3-30 100.05 99.80 109.50 98.50 48030.31

122977 09 Bailian 10.00 2012-3-26 100.00 97.99 100.80 90.88 70618.03

12297809 Tianjin Jinbin Development 1

15.00 2012-3-25 98.80 99.74 100.50 95.00 35619.44


20.00 2014-3-25 96.50 97.00 97.56 90.51 926.88


25.00 2016-3-25 94.01 94.18 99.00 90.00 206.04

12298109 Tongling Urban Construction

5.00 2015-3-10 101.40 95.32 103.73 90.00 64745.12

12298209 Changchun Urban Development

12.00 2016-3-9 102.60 96.05 103.00 93.00 75641.77

122983 09 Nanjing Iron & Steel 25.00 2016-2-27 103.00 99.35 103.90 97.00 120372.44

122984 09 Liu’an Urban Construction 15.00 2016-3-2 105.20 97.06 106.85 86.90 188737.85




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


122985 09 Zhejiang Provincial Energy 47.00 2014-2-23 98.00 97.90 100.00 90.02 11211.41

122986 09 Chunhua 10.00 2016-2-11 101.98 99.99 103.00 93.20 33336.09

122987 08 Yunnan Coal Chemical 15.00 2013-12-19 100.50 96.70 110.02 91.03 3549.05

122988 08 Chongqing Yulong 10.00 2016-1-15 104.60 102.00 107.00 92.00 130806.08

12298908 Chongqing Communication

15.00 2015-12-10 103.55 96.00 103.55 91.09 13479.31

122990 08 Wuxi Municipal Utilities 22.00 2011-10-7 101.70 100.00 101.87 98.18 47021.04

122991 08 Hainan Airlines 15.00 2014-12-25 106.00 101.45 107.00 94.00 60276.86


122993 08 Wuyang Iron & Steel 6.00 2013-11-13 101.51 98.50 103.28 81.00 6000.37

122994 08 Yunnan Investment 15.00 2013-10-22 101.00 99.95 102.50 93.00 61515.44

12299508 Hefei Construction Investment

17.00 2018-8-28 100.22 99.68 105.00 91.15 91374.94

12299608 Changzhou Urban Construction

25.00 2015-9-24 100.32 97.20 103.00 93.40 293875.15

122997 08 Suzhou Hi-Tech 4.00 2013-10-9 104.80 105.95 106.00 91.00 186322.57

122998 04 Nanjing Tanker 10.00 2014-5-26 99.88 97.60 101.10 90.79 442.86

122999 08 Guangzhou Paper 3.90 2018-3-13 0.00 102.29 0.00 0.00 0.00

123000 09 Yihua 10.00 2014-10-26 99.62 100.80 101.22 95.36 367617.00

123001 09 Shanghai Ace 2.50 2014-11-17 100.00 99.98 100.00 99.98 21500.00

123002 09 Donghua 3.00 2015-12-28 100.00 99.00 100.00 99.00 21965.00

123003 09 Rebecca 3.00 2015-12-28 99.99 99.36 99.37 99.36 3974.00

123004 10 China Hi-tech 2.80 2017-2-2 102.40 102.40 0.00 0.00 0.00

123005 09 New Hailian 15.00 2016-11-11 99.94 99.92 101.80 99.92 20277.00

123006 10 Wuhan Hi-tech 5.00 2020-5-24 100.00 100.00 0.00 0.00 0.00




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


123007 11 Weishanhu Mining 7.00 2021-1-7 100.00 100.00 0.00 0.00 0.00

123008 11 Changzheng Electric 4.00 2014-11-16 99.68 100.00 100.00 99.24 7972.00

123491 11 Ping’an Bond 40.00 2021-9-29 100.00 100.00 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 98.10 100.00 97.85 109593.00

123496 10 Taikang 1 10.00 2020-9-16 100.00 98.15 98.15 98.15 19631.00

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

126001 06 Maanshan Steel 55.00 2011-11-13 98.20 99.93 100.20 93.00 318574.88

126002 06 Sinochem 12.00 2012-12-1 94.91 97.20 98.36 93.00 136393.45

126003 07 Yuntianhua 10.00 2013-1-28 93.58 96.20 96.32 90.01 64462.61

126005 07 Wuhan Steel 75.00 2012-3-25 96.48 99.07 99.88 96.00 820048.62

126006 07 Shenzhen Expressway 15.00 2013-10-9 90.69 94.00 97.48 82.08 9254.34

126007 07 Rizhao 8.80 2013-11-27 91.00 93.47 93.47 88.01 19509.01

126008 08 SAIC Motor 63.00 2013-12-19 90.00 93.44 95.00 81.66 186852.61

126009 08 Ganyue 12.00 2014-1-27 88.54 92.25 98.06 85.70 40930.34

126010 08 COSCO 10.50 2014-1-28 87.30 92.29 92.49 86.00 132141.73

126011 08 Petroleum and Chemical 300.00 2014-2-20 89.28 92.33 96.06 88.75 1376488.32

12601208 Shanghai International Port

24.50 2011-2-20 99.54 99.96 99.96 99.48 145277.69

126013 08 Tsingtao Brewery 15.00 2014-4-2 87.80 91.98 98.00 80.59 101769.78




Date of Maturity

Opening(RMB)

Closing (RMB)

High(RMB)

Low(RMB)


126014 08 GD 39.95 2014-5-7 87.71 91.85 98.75 82.01 121468.57

126015 08 Kangmei 9.00 2014-5-8 85.97 89.51 89.81 85.02 72299.00

126016 08 Baoshan Steel 100.00 2014-6-19 87.70 91.41 93.73 86.25 489964.45

126017 08 Gezhouba 13.90 2014-6-25 87.00 89.80 89.99 81.77 59963.84

126018 08 Jiangxi Copper 68.00 2016-9-22 77.52 83.52 83.55 77.00 628846.71

126019 09 Changhong 30.00 2015-7-30 79.46 82.93 83.10 78.15 236743.21



Monthly Bond Repo Turnover in 2011

Month Trading Value (RMB 10,000) Trading Volume (10,000 lots)

01 105230343.70 105230.34

02 81738271.20 81738.27

03 122211054.20 122211.05

04 108428063.00 108428.06

05 139078027.40 139078.03

06 173217754.30 173217.75

07 216421486.20 216421.49

08 237670845.80 237670.85

09 213257863.40 213257.86

10 173231828.20 173231.83

11 234795549.90 234795.55

12 240931565.20 240931.57

Turnover of Government Bond in Each Month of 2011

Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots)

01 677515.49 680.48

02 540581.54 543.14

03 1476143.10 1480.84

04 867089.18 871.31

05 1068116.55 1073.76

06 1399615.79 1404.50

07 1001835.70 1005.10

08 1071684.14 1078.53

09 1701375.88 1711.39

10 983235.25 981.64

11 1011147.53 1013.14

12 632757.40 627.28



Turnover of Bond in Each Month of 2011

Month Turnover Value (RMB 10,000) Turnover Volume (10,000 lots)

01 108541494.42 108398.69

02 84484473.58 84405.95

03 129154977.38 128903.02

04 112760672.44 112547.55

05 143931131.26 143829.88

06 177604439.53 177512.29

07 220758764.44 220691.15

08 243426206.98 243450.50

09 220233448.11 220489.00

10 178733217.25 178938.01

11 240386455.50 240419.72

12 247133456.92 247282.70



List of Convertible Corporate Bonds (CCB) Openly Issued by Listed Companies in 2011

Name of StockNingbo Marine Shipping

SDIC SinopecSichuan Investment

China Shipping Development

GD Power Development

Code of Stock 600798 600886 600028 600674 600026 600795

Abbr. for Subscription of CCBMarine Shipping Issued Bond

SDIC Issued Bond

Sinopec Issued Bond

Sichuan Investment Issued Bond

China Shipping Issued Bond

GD Power Issued Bond

Code for Subscription of CCB 733798 733886 733028 733674 733026 733795

District Zhejiang Beijing Beijing Sichuan Shanghai Beijing

Issuance Scale (RMB 100m) 7.2 34 230 21 39.5 55

Issuance Volume( 10K lots) 72 340 2300 210 395 550

Quotation for Subscription (RMB/ stock)

100 100 100 100 100 100

Issuance Method

Priority Placement, Online Pricing and Offline Placement




Priority Placement, Online Pricing a n d O f f l i n e Placement

Priority Placement, Online Pricingand Offline Placement

Upper limit for CCB Online Subscription (10 K lots)

36 170 1150 105 197.5 275

Issuance Date ( T day)/ Value Date

2011-01-07 2011-01-25 2011-02-23 2011-03-21 2011-08-01 2011-08-19

Maturity (Year) 5 6 6 6 6 6

Maturity Date (M/D) 2016-01-07 2017-01-25 2017-02-23 2017-03-21 2017-08-01 2017-08-19

Listing Code 110012.SH 110013.SH 110015.SH 110016.SH 110017.SH 110018.SH

Abbr. for Listing

Marine Shipping Convertible Bond

SDIC Conve r t i b l e Bond

Sinopec Convertible Bond

Sichuan Investment Convertible Bond

China Shipping Convertible Bond

GD Power Convertible Bond

Listing Date (L Day) 2011-01-20 2011-02-15 2011-03-07 2011-03-31 2011-08-12 2011-09-02

(Commencing Date for CCB) 2011-07-08 2011-07-26 2011-08-24 2011-09-22 2012-02-02 2012-02-20

Initial price for CCB 4.58 7.29 9.73 17.3 8.7 2.67

Funds Funds


Funds Funds


Funds

Overview

China’s fund sector has entered a period of rapid growth after 13 years of development. It is growing more regulated

and sophisticated By the end of 2011, 66 fund management companies had been established in China, managing

1019 funds, with an net asset value of up to 2.19184 trillion yuan and 2.650993 units of funds, of which 964 are

open-ended funds, with a net asset value of 2.069345 trillion yuan, and 55 closed-end funds, with a net asset value of

122.596 trillion yuan.

Breakdown of funds

Type Number NAV(billion yuan) Proportion Units(billion)

Equity fund 434 1028.553 46.93% 1338.920

Commingled fund 194 569.317 25.97% 672.680

Bond fund 206 118.980 5.43% 116.960

Money market fund 79 294.895 13.45% 294.895

QDII fund 51 57.599 2.63% 91.325

Closed-end equity fund 30 79.077 3.61% 92.847

Closed-end bond fund 25 43.419 1.98% 43.367

Total 1019 2191.840 100.00% 2650.993

Fund product structure is increasingly diversified, catering to the varied demands of the investing public. In terms of

types of investment products, the stock fund market dominates the fund sector with 631 funds, representing a net asset

value of 1.63178 trillion yuan, accounting for 74.45%. There are 339 fixed income funds, having an NAV of 515.732

billion yuan, with a 23.53% growth in its proportion. In terms of transaction means and product structure, index funds,

structured rated funds are still well received in the market and show a rapid growth trend. In terms of investment regions

and investment targets, QDII fund products covering a number of international regions and gold investment commodity

fund products are launched.

Funds Funds


Status of the Fund Market at SSE

ETF

7 ETFs were issued by the SSE and 11 got listed on the SSE in 2011. By the end of December, a total of 23 ETFs

were listed on SSE, with an NAV of 46.614 billion yuan and an annual turnover value of 269.913 billion yuan. Subject

to market volatility, the NAV of ETFs declined. The NAV of 50ETF topped the list with an NAV of 20.931 billion yuan,

accounting for more than 44.90% of the Shanghai and the Shenzhen market combined; in terms of operation efficiency,

23 ETFs showed an annualized tracking error of 0.802% and consumer ETF showed the smallest annualized tracking

error of 0.284%.

ETFs are primarily held by institutional investors, with average shareholding exceeding 65.9% as of the end of the

year and 34.10% for retailers; retailers are trading more actively on the secondary market, accounting for 53.97% and

46.03% for institutional investors.

Closed-ended fund

Up to December 31th, 13 closed-ended funds were listed on the SSE, with a total of 31.72 billion units in

circulation and a turnover volume of 20.228 billion yuan for the whole year.

SSE Open-ended Fund Trading System

As of the end of the year, 77 open-ended funds were quoted on the SSE with this trading system, 2.814 billion

units of open-ended funds were subscribed for during the year and 2.213 billion units were redeemed.

Funds Funds


Funds listed on the SSE

Type Code Short NameSize of issue(100 million units)

NAV(100 million yuan)

Closing(yuan)

NV(yuan)

AnnualYield(%)

Ave rage Da i l y Turnover Value(100 million yuan)

ETF

510010 Governance ETF 48.23 28.94 0.598 0.600 -19.79% 0.018

510020 Chaoda ETF 75.64 12.56 0.166 0.166 -18.28% 0.053

510030 Value ETF 5.24 11.39 2.148 2.175 -14.84% 0.111

510050 50ETF 128.20 209.31 1.629 1.632 -17.24% 6.383

510060 SOEs ETF 6.83 7.25 1.055 1.062 -19.79% 0.056

510070Private Enterprise ETF

3.65 3.36 0.923 0.922 -27.57% 0.020

510090 Liability ETF 4.60 3.54 0.766 0.769 -18.30% 0.011

510110 Cycle ETF 1.90 3.78 1.969 1.985 -16.96% 0.034

510120 Non-cycle ETF 2.11 3.62 1.704 1.712 —— 0.027

510130 Mid-caps ETF 4.43 9.63 2.167 2.171 -31.27% 0.163

510150 Consumer ETF 5.80 13.02 2.250 2.246 —— 0.033

510160 Well-off ETF 9.28 3.03 0.326 0.327 -22.65% 0.030

510170 Commodity ETF 4.27 9.03 2.115 2.114 —— 1.071

510180 180ETF 178.70 90.07 0.504 0.504 -22.58% 2.704

510190 Longtou ETF 3.84 7.75 2.000 2.019 -20.92% 0.060

510210Composite Index ETF

1.83 4.06 2.225 2.224 —— 0.019

510220Smal l-medium ETF

0.48 1.17 2.410 2.424 —— 0.019

510230 Finance ETF 3.86 10.77 2.774 2.787 —— 0.137

510260 Emerging ETF 9.19 6.27 0.680 0.682 —— 0.096

510270 SOEs ETF 2.65 1.81 0.689 0.685 —— 0.031

510280 Growth ETF 6.17 5.43 0.883 0.880 —— 0.102

510290 380ETF 2.64 2.15 0.809 0.813 —— 0.066

510880 Dividend ETF 10.24 18.23 1.776 1.780 -18.37% 0.155

Funds Funds


Type Code Short NameSize of issue(100 million units)

NAV(100 million yuan)

Closing(yuan)

NV(yuan)

AnnualYield(%)

Ave rage Da i l y Turnover Value(100 million yuan)

Closed-end Fund

500001 Jintai Fund 20.00 17.99 0.826 0.899 -34.50% 0.054

500002 Taihe Fund 20.00 17.47 0.779 0.874 -36.41% 0.047

500003 Anxin Fund 20.00 18.24 0.816 0.912 -35.49% 0.036

500005 Hansheng Fund 20.00 20.82 0.925 1.041 -38.94% 0.053

500006 Yuyang Fund 20.00 16.82 0.756 0.841 -25.52% 0.050

500008 Xinghua Fund 20.00 17.40 0.821 0.870 -29.53% 0.039

500009 Anshun Fund 30.00 28.38 0.843 0.946 -34.50% 0.050

500011 Jinxin Fund 30.00 28.19 0.799 0.940 -24.27% 0.084

500015 Hanxing Fund 30.00 26.87 0.750 0.896 -28.02% 0.047

500018 Xinghe Fund 30.00 27.17 0.817 0.906 -20.45% 0.047

500038 Tongqian Fund 20.00 19.77 0.841 0.988 -46.84% 0.079

500056 Kerui Fund 30.00 27.31 0.759 0.910 -28.80% 0.108

500058 Yinfeng Fund 30.00 27.03 0.766 0.901 -23.55% 0.136

Funds Funds


Summary of Funds in 211

CodeShort Name

Size of Issuance(10,000 units)

High(RMB)

Low(RMB)

Opening(RMB)

Closing(RMB)

Change(%)

Turnover Volume(10,000 units)

Turnover Value(RMB10,000)

500001 Jintai Fund 200000.00 1.320 0.808 1.261 0.826 -21.14 116092.37 131065.94

500002 Taihe Fund 200000.00 1.285 0.754 1.227 0.779 -25.79 107379.68 113365.38

500003 Anxin Fund 200000.00 1.284 0.809 1.270 0.816 -28.41 83271.29 87917.97

500005Hansheng Fund

200000.00 1.572 0.917 1.519 0.925 -19.74 98095.44 130380.61

500006 Yuyang Fund 200000.00 1.059 0.744 1.020 0.756 -20.15 127379.24 122320.99

500008 Xinghua Fund 200000.00 1.172 0.800 1.158 0.821 -19.93 89703.00 94596.37

500009 Anshun Fund 300000.00 1.339 0.840 1.289 0.843 -22.21 110727.77 122559.89

500011 Jinxin Fund 300000.00 1.109 0.795 1.063 0.799 -18.56 206015.53 205386.22

500015 Hanxing Fund 300000.00 1.133 0.727 1.042 0.750 -22.70 113949.77 113874.11

500018 Xinghe Fund 300000.00 1.105 0.802 1.031 0.817 -12.09 112984.40 114384.22

500038Tongqian Fund

200000.00 1.613 0.803 1.573 0.841 -37.25 156857.16 192440.54

500056 Kerui Fund 300000.00 1.104 0.747 1.071 0.759 -25.24 265789.71 262626.00

500058 Yinfeng Fund 300000.00 1.029 0.729 1.008 0.766 -23.00 354766.61 331916.71

510010Governance ETF

483052.44 0.834 0.581 0.748 0.600 -19.79 61489.40 43874.14

510020 Chaoda ETF 753845.92 0.224 0.161 0.204 0.166 -17.82 650217.74 129501.08

510030 Value ETF 56252.87 2.900 2.082 2.580 2.148 -15.83 103414.11 271062.22

510050 50ETF 1121756.68 2.205 1.555 1.987 1.629 -17.23 8211055.34 15574848.68

510060 SOEs ETF 67295.92 1.441 1.034 1.322 1.058 -19.91 107321.29 135339.95

510070Private Enterprise ETF

36212.41 1.350 0.890 1.290 0.923 -27.55 40319.78 49025.21

510090 Liability ETF 46908.11 1.058 0.730 0.944 0.766 -18.51 27958.79 26552.07

Funds Funds


CodeShort Name

Size of Issuance(10,000 units)

High(RMB)

Low(RMB)

Opening(RMB)

Closing(RMB)

Change(%)

Turnover Volume(10,000 units)

Turnover Value(RMB10,000)

510110 Cycle ETF 20701.68 2.670 1.790 2.386 1.969 -17.30 34356.10 82685.62

510120Non-cycle ETF

24119.24 2.365 1.621 2.221 1.704 0.00 17807.38 38664.19

510130 Mid-caps ETF 46868.51 3.412 2.096 3.180 2.167 -31.16 129308.80 398172.38

510150Consumer ETF

60993.16 3.150 2.161 3.073 2.250 0.00 23656.91 70293.87

510160 Well-off ETF 143205.74 0.470 0.316 0.424 0.326 -22.57 172356.04 72933.07

510170Commodity ETF

45222.87 3.487 2.021 2.807 2.114 0.00 797393.39 2451701.06

510180 180ETF 1418022.67 0.712 0.488 0.657 0.504 -22.46 10796021.79 6597798.44

510190 Longtou ETF 43065.08 2.750 1.890 2.562 2.000 0.00 56019.75 144324.27

510210Composite Index ETF

17713.85 3.048 2.151 2.932 2.225 0.00 12560.29 35615.34

510220Small-medium ETF

5222.92 3.720 2.313 3.703 2.410 0.00 10362.34 36572.26

510230 Finance ETF 27226.16 3.345 2.715 3.345 2.776 0.00 69751.58 208797.40

510260Emerging ETF

99348.27 1.025 0.655 0.946 0.680 0.00 150180.14 136555.42

510270 SOEs ETF 31283.21 0.820 0.656 0.812 0.689 0.00 35996.47 28184.51

510280 Growth ETF 82175.44 1.016 0.824 0.952 0.883 0.00 56896.57 55080.58

510290 380ETF 33044.89 1.013 0.774 0.991 0.809 0.00 26491.89 25758.36

510880 Dividend ETF 91867.57 2.440 1.740 2.182 1.776 -16.93 174454.11 377925.32

Funds Funds


NAV of Securities Investment Funds (2011 year-end)

Code Short Name Announcement Date As of Date NAV Per Unit (RMB)

500001 Jintai Fund 2011-12-31 2011-12-30 0.899

500002 Taihe Fund 2011-12-31 2011-12-30 0.874

500003 Anxin Fund 2011-12-31 2011-12-30 0.912

500005 Hansheng Fund 2011-12-31 2011-12-30 1.041

500006 Yuyang Fund 2011-12-31 2011-12-30 0.841

500008 Xinghua Fund 2011-12-31 2011-12-30 0.870

500009 Anshun Fund 2011-12-31 2011-12-30 0.946

500011 Jinxin Fund 2011-12-31 2011-12-30 0.940

500015 Hanxing Fund 2011-12-31 2011-12-30 0.896

500018 Xinghe Fund 2011-12-31 2011-12-30 0.906

500038 Tongqian Fund 2011-12-31 2011-12-30 0.988

500056 Kerui Fund 2011-12-31 2011-12-30 0.910

500058 Yinfeng Fund 2011-12-31 2011-12-30 0.901

Members

Members Members

2012 Fact Book 181

Funds

2012 Fact Book 180

Members Members

2012 Fact Book 181

Funds

2012 Fact Book 180

Members

Overview of Members

At the end of 2011, the SSE had 109 members, with Huaying Securities, J.P.Morgan First Capital Securities and

Morgan Stanley Huaxin Securities as new member in 2011, 5003 member business departments, growing by 394 in

2011, and 5362 trading seats held by both member and non-member institutions. 7459 trading units were open for

business, an increase of 849 from 2010.

Registered capital

39 members had registered capital of less than RMB 1 billion, 34 members had registered capital of between

RMB 1 billion and RMB 2 billion, 19 members had registered capital of between RMB 2 billion and RMB 3 billion, 7

members had registered capital of between RMB 3 billion and RMB 5 billion and 10 members over RMB 5 billion.

Listing

18 members are listed, 11 of them on the SSE. Two of them, Founder Securities and Soochow Securities, got listed

in 2011.

Overview of Non-member Institution

Non-member institutions include fund management companies, insurance companies, insurance capital management

companies, listed commercial banks and Qualified Foreign Institutional Investors (QFII) which conduct business the SSE.

As of the end of 2011, there were 69 such fund management companies, 12 insurance companies, 10 insurance

capital management companies, 16 listed commercial banks and 135 Qualified Foreign Institutional Investors.

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.

A securities firm submits its application to the Exchange, which will accept it as one of its members upon the

approval by its board of governors.

The Administration of Member Seats and Trading Units

As is specified in the Member Administration Rules of the Shanghai Stock Exchange, a member shall maintain at

Members Members


least one seat with the Exchange and commence securities trading after obtaining the seat via the trading unit of the

Exchange. There is a fixed cap on the number of seats and no more seats will be available. Member candidates may

obtain seats transferred from existing members. Obtained seats may not be returned to the Exchange. The Exchange

may set, adjust and limit the portfolio, means and scale of trading conducted by members.

Overview of the Operation

Stress had been put on enhancing the business of member and non-member institutions, better administering

and servicing them, evident in the following four fronts. First, establish the Exchange as a better market organizer and

securities firm as better intermediaries. Conduct research into innovation business and formulate business rules. Launch

the pilot agreed repo and expand the collateralized quotation repo of bond, for more innovative business of members.

Second, better regulate the business of members and non-member institutions, train and assess staff in member-related

business and adopt a competitive employment scheme. Regulate the seats and trading units for insurance agencies.

Facilitate the access of listed commercial banks to the SSE bond market. Third, better regulate members and non-

member institutions as well as the business innovation of members in their trading entitlements, trading scale, client

eligibility management and reporting obligation. Supervise and govern the misconducts of members towards clients.

Fourth, better service agencies, providing training and exchanges for members and non-member institutions in business,

compliance and expertise and solicit contributions from agencies.

Members Members


Geographical Distribution of SSE Members and Their Business Branches in 2011

RegionNumberOf Members

Numberof Business Branches

Turnover Value(RMB 1 million)

Percentage(%)

Anhui 2 148 1019626.14 1.20

Beijing 18 253 11250137.00 13.28

Fujian 3 218 3511054.68 4.14

Gansu 1 60 260180.30 0.31

Guangdong 22 673 15742976.35 18.58

Guangxi 1 87 655905.03 0.77

Guizhou 1 44 161904.96 0.19

Hainan 2 37 266176.53 0.31

Hebei 1 158 760563.21 0.90

Henan 1 143 1309795.80 1.55

Heilongjiang 1 117 1419604.03 1.68

Hubei 2 182 2253529.85 2.66

Hunan 3 168 1217728.32 1.44

Jilin 2 91 454996.45 0.54

Jiangsu 6 334 5558574.46 6.56

Jiangxi 2 114 1104504.04 1.30

Liaoning 4 210 1876685.29 2.21

Inner Mongolia 2 59 379783.70 0.45

Ningxia 0 19 62514.27 0.07

Qinghai 1 13 30157.15 0.04

Shandong 2 253 2491339.16 2.94

Shanxi 2 108 622385.50 0.73

Shaanxi 3 105 917706.74 1.08

Shanghai 17 483 19830647.53 23.40

Sichuan 4 202 1973696.18 2.33

Tianjin 1 101 1043185.08 1.23

Tibet 1 4 6799.31 0.01

Xinjiang 1 62 382008.33 0.45

Yunnan 2 69 495471.46 0.58

Zhejiang 3 370 6936570.16 8.19

Chongqing 1 111 749711.08 0.88

Members Members


Membership (1990-2011)

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 109

Members Members


Top 50 Members by Turnover in 2011

Rank NameTotal Turnover(RMB 1 million)

Equity (RMB 1 million)

T-bond Spot (RMB 1 million)

T-bond Repo (RMB 1 million)

1 Guotai Junan Securities Co., Ltd. 5505118.65 2313915.66 28368.81 2978418.80

2 Shenyin & Wanguo Securities Co. Ltd. 4747310.65 1971800.82 10927.39 2682345.10

3 China Galaxy Securities Co., Ltd. 4196905.25 2487080.69 7145.85 1645337.80

4 Haitong Securities Co., Ltd. 4046471.18 1954800.30 42042.69 1984740.30

5 China Merchants Securities Co., Ltd. 3521046.42 1789923.48 11253.39 1661958.20

6 Guosen Securities Co., Ltd. 3478772.73 1954427.54 11794.51 1460702.70

7 Citic Securities Co., Ltd. 3450553.91 1401676.52 12215.12 1865334.30

8 Gf Securities Co., Ltd. 3071430.94 1889413.60 6847.96 1124454.80

9 China Securities Co., Ltd. 3058441.79 1525115.21 6074.18 1431319.20

10 Huatai Securities Co., Ltd. 2728747.39 1809908.03 3690.82 868740.90

11 China International Capital Co., Ltd. 2723946.61 541576.99 14626.00 2112237.80

12 Everbright Securities Co., Ltd. 2355482.75 1394301.37 2376.38 923753.00

13 Ping An Securities Co., Ltd. 2231504.14 513204.41 14405.58 1651918.00

14 Changjiang Securities Co., Ltd. 1880268.76 809158.78 1845.94 1039622.00

15 Essence Securities Co., Ltd. 1743600.08 1143325.01 2456.81 582878.50

16 Orient Securities Co., Ltd. 1666752.32 770096.06 9159.76 863566.50

17 Shandong Qilu Securities Co., Ltd. 1626712.56 1155028.06 2227.91 421145.20

18China Jianyin Investment Securities Co., Ltd.

1528755.84 1121298.72 1202.78 394123.40

19 Industrial Securities Co., Ltd. 1478653.79 779798.54 2559.57 660757.90

20 CITIC-Kington Securities Co., Ltd. 1130658.42 939811.56 118.31 185741.70

21 Guoyuan Securities Co., Ltd. 1099227.11 536975.48 2746.74 547198.10

22 Huatai United Securities Co., Ltd. 1074359.21 729306.82 2784.97 327998.70

23 Hong Yuan Securities Co., Ltd. 1045954.11 609423.39 1696.47 417456.60

24 Founder Securities Co., Ltd. 1000501.65 811388.76 228.32 183160.30

Members Members


Rank NameTotal Turnover(RMB 1 million)

Equity (RMB 1 million)

T-bond Spot (RMB 1 million)

T-bond Repo (RMB 1 million)

25 Caitong Securities Brokerage Co., Ltd. 859440.76 554430.55 2784.28 299924.60

26 Shanghai Securities Co., Ltd. 813871.22 424279.69 1292.23 373611.50

27 BOC International (China) Ltd. 794586.45 460916.43 3464.55 321016.40

28 Dongxing Securities Co., Ltd. 737876.38 516722.49 315.80 211108.50

29 Zhejiang Merchants Securities Co., Ltd. 644227.63 558260.06 30.73 84012.00

30 Bohai Securities Co., Ltd. 615028.98 381249.59 2210.73 215733.40

31 Soochow Securities Co., Ltd. 613770.33 434414.63 132.62 176022.50

32 West China Securities Co., Ltd. 599085.41 532174.06 94.09 63842.70

33 Guolian Securities Co., Ltd. 594255.21 291627.52 325.76 297837.70

34 Sinolink Securities Co., Ltd. 582528.59 310852.99 1164.75 267404.90

35 Great Wall Securities Co., Ltd. 578917.50 394441.33 1186.04 177510.30

36 Xiangcai Securities Co., Ltd. 573521.89 442536.18 532.15 126655.50

37 Cinda Securities Co., Ltd. 562840.33 429046.30 831.63 125689.00

38 Huaan Securities Co., Ltd. 516484.99 270432.28 76.23 243378.80

39 GF Huafu Securities Co., Ltd. 484022.04 366336.05 216.90 115087.40

40 Southwest Securities Co., Ltd. 480520.32 376299.99 66.44 95186.50

41 Northeast Securities Co ., Ltd. 480099.89 340143.37 664.88 136800.10

42 First Capital Securities Co., Ltd 475726.61 131588.05 158.10 328132.00

43 Shanxi Securities Co., Ltd. 474997.34 278190.03 70.69 191929.20

44 Sealand Securities Co., Ltd. 459457.91 316286.85 413.22 136709.60

45 Citic Wantong Securities Co., Ltd. 448986.23 328063.89 129.12 110425.20

46 Donghai Securities Co., Ltd. 442740.32 370399.11 210.35 64448.80

47 Nanjing Securities Co., Ltd. 431789.53 344971.10 2657.21 78322.00

48 China Minzu Securities Co., Ltd. 401485.21 323050.16 486.61 74971.20

49 Dongguan Securities Co.,Ltd. 391331.11 294646.17 316.30 94948.00

50 Western Securities Co., Ltd. 390084.82 274279.40 583.93 113722.90

Members Members


Top Lead Underwriters of IPOs in 2011(by Number of Deals Underwritten)

RankSequence Number of Lead Underwriter

Name ofLead Underwriter

Numberof Deals Underwritten

1 185 Ping An Securities Co., Ltd. 6

2 49 Citic Securities Co., Ltd. 5

3 88 Guosen Securities Co., Ltd. 4

4 501281 Essence Securities Co., Ltd. 3

5 501361 UBS Securities Co., Ltd. 2

6 500021 BOC International (China) Ltd. 2

7 66 China International Capital Co., Ltd. 2

8 3764 Guotai Junan Securities Co., Ltd. 2

9 3904 Southwest Securities Co., Ltd. 2

10 501041 China Jianyin Investment Securities Co., Ltd. 2

Top Lead Underwriters of Rights Issues in 2011(by Number of Deals Underwritten)

RankSequence Number of Lead Underwriter

Name ofLead Underwriter

Numberof Deals Underwritten

1 49 Citic Securities Co., Ltd. 1

2 1780 Gf Securities Co., Ltd. 1

3 97 China Merchants Securities Co., Ltd. 1

4 1238 Everbright Securities Co., Ltd. 1

5 66 China International Capital Co., Ltd. 1

Members Members


Top 20 Members by Margin Trading and Short Selling in 2011

No. NameTurnover for Margin Trading (RMB 10,000)

Turnover for Short Selling(RMB 10,000)

Total (RMB 10,000)

1 Haitong Securities Co., Ltd. 3559934.88 1560549.89 5120484.77

2 Huatai Securities Co., Ltd. 2771698.59 373038.88 3144737.47

3 Guotai Junan Securities Co., Ltd. 2978542.76 69034.80 3047577.56

4 Shenyin & Wanguo Securities Co., Ltd. 2250435.64 383839.70 2634275.34

5 China Galaxy Securities Co., Ltd. 2463540.98 23828.85 2487369.83

6 Everbright Securities Co., Ltd. 1495077.28 220112.73 1715190.01

7 GF Securities Co., Ltd. 1559344.06 58762.12 1618106.18

8 China Merchants Securities Co., Ltd. 1569926.10 29738.91 1599665.01

9 CITIC Securities Co., Ltd. 1481279.30 73987.08 1555266.38

10 China Securities Co., Ltd. 1156377.65 43251.31 1199628.96

11 Essence Securities Co., Ltd. 938694.24 11793.50 950487.74

12 Guosen Securities Co., Ltd. 858007.39 50242.31 908249.70

13 China Investment Securities Co., Ltd. 860899.61 7022.12 867921.73

14 Guoyuan Securities Co., Ltd. 413232.18 41543.97 454776.15

15 Orient Securities Co., Ltd. 445147.03 93.61 445240.64

16 Hongyuan Securities Co., Ltd. 443931.66 0.28 443931.94

17 Changjiang Securities Co., Ltd. 426536.30 540.99 427077.29

18 Industrial Securities Co., Ltd. 394908.25 1977.13 396885.38

19 Qilu Securities Co., Ltd. 393519.01 154.91 393673.92

20 Great Wall Securities Co., Ltd. 362451.62 2086.51 364538.13

Members Members


Top 20 Members by Balance of Margin Trading and Short Selling in 2011

No NameBalance of Short Selling (RMB 10,000)

Balance of Margin Trading (RMB 10,000)

Total(RMB 10,000)

1 Haitong Securities Co., Ltd. 14812.10 204310.21 219122.31

2 Guotai Junan Securities Co., Ltd 2034.04 193969.31 196003.35

3 China Merchants Securities Co., Ltd. 867.82 186551.60 187419.42

4 Shenyin & Wanguo Securities Co., Ltd. 4317.85 175951.55 180269.41

5 Huatai Securities Co., Ltd. 4554.64 171692.72 176247.36

6 CITIC Securities Co., Ltd. 1025.83 172518.32 173544.15

7 Everbright Securities Co., Ltd. 2413.38 167679.87 170093.25

8 China Galaxy Securities Co., Ltd. 649.78 159307.23 159957.01

9 GF Securities Co., Ltd. 3003.38 152022.58 155025.96

10 Guosen Securities Co., Ltd. 1791.21 140577.72 142368.94

11 China Securities Co., Ltd. 1364.05 85639.99 87004.04

12 Essence Securities Co., Ltd. 199.26 63738.05 63937.31

13 China Investment Securities Co., Ltd. 181.36 59485.49 59666.85

14 Founders Securities Co., Ltd. 348.73 48772.77 49121.50

15 Industrial Securities Co., Ltd. 3.51 48555.52 48559.03

16 Changjiang Securities Co., Ltd. 15.34 47772.46 47787.80

17 Qilu Securities Co., Ltd. 2.79 42078.53 42081.32

18 Hongyuan Securities Co., Ltd. 0.00 37493.89 37493.89

19 Orient Securities Co., Ltd. 9.54 35530.04 35539.58

20 Guodu Securities Co., Ltd. 0.00 27284.89 27284.89

Members Members


Number of Trading Accounts with SSE 1991-2011

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

Members Members


Breakdown of B-share Investors by Jurisdiction

RegionNumber of Trading Accounts

Percentage in Total Accounts (%)

New Trading Accounts in 2011

Percentage in Total New Accounts (%)

China (Mainland) 1344943 87.24 12064 89.60

United States 14422 0.94 621 4.61

Taiwan, China 8668 0.56 179 1.33

Canada 3568 0.23 148 1.10

Hong Kong SAR, China 17109 1.11 89 0.66

United Kingdom 2336 0.15 70 0.52

Japan 4525 0.29 69 0.51

Australia 3221 0.21 67 0.50

Korea 1770 0.11 59 0.44

China (Overseas) 125899 8.17 37 0.27

Singapore 1921 0.12 25 0.19

Germany 707 0.05 13 0.10

France 635 0.04 11 0.08

Holland 404 0.03 8 0.06

Macao SAR, China 801 0.05 5 0.04

Total 1541687 100.00 13465 100.00

Historical Statistics

Historical Statistics Historical Statistics





Early Share Turnover Value, 1991-2011

YearAnnual Turnover Value (RMB 100 million)

N u m b e r of Trading Days

Average Daily Turnover Value (RMB 100 million)

Average Daily Trading Volume(100 million shares)

Date of Highest Turnover Date of Lowest Turnover


Date


Date

1991 46.08 256 0.18 0.0002 2.01 19911231 0.008 19910517

1992 323.85 255 1.27 0.07 4.82 19921130 0.08 19920207

1993 2509.71 259 9.69 0.6 38.43 19931207 0.001 19930227

1994 5735.52 252 22.76 2.61 157.54 19940906 1.6 19940712

1995 3102.36 251 12.36 2.05 114.3 19950522 1.14 19950208

1996 9114.82 247 36.9 4.46 192.74 19961203 1.53 19960209

1997 13763.52 243 56.64 5.01 159.83 19970512 11.51 19971014

1998 12386.11 246 50.35 4.59 119 19980409 16.48 19981221

1999 16965.79 239 70.99 6.53 404.43 19990625 11.62 19990104

2000 31373.86 239 131.27 10.2 472.62 20000217 42.92 20000927

2001 22709.38 240 94.62 7.58 234.13 20011024 27.27 20011115

2002 16959.09 237 71.56 7.52 494.80 20020624 26.60 20021008

2003 20824.14 241 86.41 11.17 330.16 20030416 27.24 20030103

2004 26470.60 243 108.93 14.85 286.68 20040924 31.67 20040907

2005 19240.21 242 79.51 16.47 221.58 20050818 36.75 20050707

2006 57816.60 241 239.90 42.67 626.89 20061206 67.63 20060313

2007 305434.29 242 1262.13 100.52 2712.94 20070530 502.08 20071123

2008 180429.95 246 733.46 66.31 1896.84 20080424 217.96 20080909

2009 346511.91 244 1420.13 138.03 2969.29 20090729 461.01 20090105

2010 304312.009 242 1257.488 107.29 3076.923 20101102 432.142 20100705

2011 237560.453 244 973.608 86.86 2080.931 20110307 364.736 20111229



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



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



Listed Shares on the SSE, 1990-2011

YearNumberof Listed Companies

Number of Listed Securities

Proceeds Raised(RMB 100 million)

Share Capital Issued(100 million shares)

Market Cap (RMB 100 million)

1990 8 30 10.11 2.61 12.34

1991 8 46 0.24 2.72 29.43

1992 29 87 41.39 46.94 558.4

1993 106 190 93.47 235.54 2206.2

1994 171 259 150.82 418.88 2600.13

1995 188 258 58.16 560.66 2525.66

1996 293 368 202.22 749.86 5477.81

1997 383 467 474.6 975.37 9218.06

1998 438 526 377.15 1280.35 10625.9

1999 484 576 486.37 1580.15 14580.47

2000 572 657 914.32 2032.42 26930.86

2001 646 744 957.49 3164.44 27590.56

2002 715 826 614.3 3727.84 25363.72

2003 780 914 560.96 4170.39 29804.92

2004 837 996 456.9 4700.55 26014.34

2005 834 1069 299.77 5023.05 23096.13

2006 842 1126 1714.41 10279.54 71612.38

2007 860 1125 6701.33 14173.1 269838.87

2008 864 1184 2238.16 15410.39 97251.91

2009 870 1351 3343.15 16659.96 184655.23

2010 894 1500 5532.14 21939.51 179007.24

2011 931 1691 3199.69 23466.65 148376.22



Top 10 Increases and Decreases in SSE Index Series

Top 10 Increases in SSE 50 Index (in percentage)

Rank Increase (%) Date Index at Close

1 9.673 2008-4-24 2981.186

2 9.414 2008-9-19 1650.537

3 8.459 2008-2-4 3796.130

4 8.200 2005-6-8 772.134

5 8.144 2008-8-20 2042.944

6 7.866 2008-9-22 1780.375

7 7.786 2008-11-10 1469.623

8 6.880 2009-3-4 1671.569

9 6.226 2007-8-20 3831.053

10 5.802 2008-11-19 1543.770

Top 10 Decreases in SSE 50 Index (in percentage)

Rank Decrease (%) Date Index at Close

1 -9.471 2007-2-27 2030.357

2 -8.181 2008-6-10 2480.763

3 -7.463 2008-1-22 3679.014

4 -7.274 2008-10-27 1305.705

5 -7.253 2007-6-4 2695.765

6 -7.235 2008-11-18 1459.109

7 -7.181 2008-1-28 3597.264

8 -7.066 2008-6-19 2201.340

9 -6.698 2009-8-31 2046.589

10 -6.567 2007-1-31 2052.905



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



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



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



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



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



World Securities Markets

Statistics on Stock Exchanges around the World (as at end of December 2011)

Exchange Year-end Index

Number of Listed Companies Market Cap

(US$ million)Turnover (US$ million)

Local Foreign

NYSE 7477.03(NYSE Composite Index) 1788 520 11795575.5 18027085.6

Nasdaq 2605.15(Nasdaq Composite Index) 2383 297 3845131.6 12723510.6

TSX11955.09(S&P/TSX Composite Index)

3845 100 1912121.9 1542173.9

LSE 2751.00(FTSE 100 Index) 2288 598 3266418.1 2836991.6

Euronext 2344.44 (SBF250) 969 143 2446767.5 2134206.4

Deutsche Börse AG 304.60 (CDAX) 670 76 1184500.2 1758185.2

ASX 4111.00 ( All Ordinaries) 1983 96 1198187.4 1196707.2

Tokyo Stock Exchange 728.61(TOPIX Index) 2280 11 3325387.8 3971891.8

SGX 2646.35(Straits Times Index) 462 311 598272.7 285118.2

Korea Exchange 1825.74(KOSPI Composite Index) 1799 17 996139.9 2029097.8

Bursa Malaysia 10489.07(FBM Emas) 932 8 395623.8 135949.4

National Stock Exchange of India

3597.75(S&P CNX 500 Index) 1639 1 985269.4 588843.1

Stock Exchange of Thailand 1025.32(SET Index) 545 0 268488.8 222605.2

HKEx22252.19(S&P/HKEx LargeCap Index)

1472 24 2258035.2 1444609.9

Taiwan Stock Exchange 7072.08(TAIEX) 772 52 635505.8 889903.7

Source: http://www.world-exchanges.org



Major publications

SSE Monthly Market Statistics

Shanghai Securities Yearbook

SSE Annual Report

SSE Annual Statistics

SSE Fact Book

Securities Law Review (published semi-annually)



Registered Trademarks of Shanghai Stock Exchange

上证

中证

Shanghai Zhengquan Jiaoyisuo

SSE

SSEINDEX

上海证交所 CNINDEX

上交所 180 指数

上证所 ETFs

UCI CSI

GCI 易神

YISHEN

※ Registered Trademarks of Shanghai Stock Exchange. All Rights Reserved


2012 Fact Book 208

欲了解更多本所市场资料 ,请访问 www.sse.com.cn