上投全球:更新招募说明书(2012年9月)

浏览次数:收录时间:2020-09-03 03:22
【内容提要】20109152010[1277]5-1..................................................................................................................................

2010   9   15         2010 [1277]




                5-1
........................................................................................................................................ 3
........................................................................................................................................ 4
         ............................................................................................................................... 7
             ......................................................................................................................... 11
             ......................................................................................................................... 25
             ......................................................................................................................... 25
                                             ......................................................................................... 34
             ......................................................................................................................... 35
                      ................................................................................................................ 36
                           ........................................................................................................... 37
                                ...................................................................................................... 46
                  .................................................................................................................... 48
                           ........................................................................................................... 48
                           ........................................................................................................... 54
                                ...................................................................................................... 55
                           ........................................................................................................... 56
                                                               ....................................................................... 61
                  .................................................................................................................... 63
                      ................................................................................................................ 67
                                    .................................................................................................. 76
                                                  .................................................................................... 94
                                                  .................................................................................. 110
                                .................................................................................................... 111
                                                           ......................................................................... 111
                  .................................................................................................................. 112




                                                         5-2
5-3
1.
2.
3.                               “
      ”
4.


5.




6.


7.


8.         2003   10   28
           2004   6    1


9.
10.


11.
12.




13.


14.


                           5-4
15.


16.
17.


18.


19.
20.
21.             (“   ”)




22.
23.




24.




25.


26.


27.


28.


29.
      3

          5-5
30.
31.      :
32.t
33.t+n           t   n         (         t   )
34.
35.


34.




35.
36.
37.


38.


39.


40.                                          (


             )                     10%
41.




42.


43.
44.
45.



                         5-6
46.        :


47.                       ,


48.
                     jf
      jf


 49.


 50.


51.




52.


53




               5-7
1




2




3




4




5




    5-8
1




2




3




4




5


,
          ,


6




“   ”




7

              5-9
8




9
    1




    2




        5-10
 3




10




             ,


 ,


11




( )




( )




      5-11
                  60   -95
                   5   -40
      5%




( )




1
1




           5-12
     2




         p/b ratio               p/e ratio     (p/ce
ratio)   dividend yield


                                 price yield


     3


               /




     4




     2




     3




                          5-13
1




2




3


    1


    2




        5-14
     3
                /


     4




     5




( )




                    75   95




( )

1.




         5-15
      (1)                         20%




      (2)
             10%
      (3)


      10%
  3%
      (4)
                            10%




      (5)                         10%




      (6)
               20
      (7)                           10%


      (8)                                      60
-95                                             5
-40                 5%
      (9)                               100
      (10)
                                          10

                     5-16
(11)


(a)


(b)


(c)                                     20%
(12)




                     1       - 8
30
                                    6




      10        10


           30            3
2.


     1
     2
     3
     4
     5

                             5-17
         10%
    6
    7
    8
    9
    10
    11
( )




1
    1


    2




    3


    4


2




         30




         5-18
3




(   )
1
2
3


4




                               %

1              63,743,692.91   83.83

               51,019,372.96   67.10

               12,724,319.95   16.73

                           -       -

                           -       -

2                          -       -

3                          -       -

        5-19
                                    -        -

                                    -        -

4                                   -        -

                                    -        -

                                    -        -

                                    -        -

                                    -        -

5                                   -        -


                                    -        -


6                                   -        -

7                       11,319,576.21    14.89

8                         972,466.60      1.28

9                       76,035,735.72   100.00




    (           )

        13,082,285.74                    17.52

         9,293,964.45                    12.44

         7,666,512.48                    10.26

         6,342,639.39                     8.49

         6,279,893.73                     8.41

         5,980,784.76                     8.01

         5,057,807.47                     6.77

         2,967,845.76                     3.97


        5-20
 2,145,799.31    2.87

 2,088,976.49    2.80

 1,808,034.82    2.42

   920,057.87    1.23

   109,090.64    0.15

63,743,692.91   85.34




 8,721,836.88   11.68


 6,030,880.75    8.07

 4,666,688.16    6.25

 4,186,780.13    5.61

 4,043,718.55    5.41

 3,620,221.49    4.85


 2,988,995.78    4.00


 2,957,687.69    3.96

 2,921,134.34    3.91

 2,102,015.79    2.81

 2,063,502.59    2.76

 1,643,019.27    2.20

 1,555,774.47    2.08


5-21
 1,516,635.49    2.03

 1,412,070.70    1.89

 1,364,971.94    1.83

 1,311,155.84    1.76


 1,145,402.67    1.53


   836,619.68    1.12


   820,587.89    1.10


   798,389.76    1.07

   795,499.78    1.07

   791,702.80    1.06

   782,776.47    1.05

   777,592.56    1.04

   762,290.30    1.02

   740,744.52    0.99

   719,769.04    0.96


   665,941.11    0.89


   650,078.34    0.87

   349,208.13    0.47

63,743,692.91   85.34




5-22
                                           )


               companhia de
1    abv us     bebidas das     -               12,200   2,957,687.69   3.96
                 americas

                  tingyi
                 (cayman
2    322 hk                                    140,000   2,262,559.22   3.03
                  islands)
               holdings corp



                china gas
3    384 hk                                    700,000   2,203,198.44   2.95
               holdings ltd



                cheng shin
                  rubber
4    2105 tt                                   130,000   2,063,502.59   2.76
                industry co
                    ltd

               infrastructure
               development
5    idfc in                    -              128,000   1,974,125.50   2.64
                finance co
                    ltd


     atad
6                 tatneft       -                9,300   1,973,463.67   2.64
       li



     lkod
7                 lukoil        -                5,500   1,939,372.46   2.60
       li



     vale
8                vale sa        -               15,000   1,883,238.97   2.52
       us




9    sol sj      sasol ltd      -                7,100   1,880,061.73   2.52




                 shoprite
10   shp sj                     -               15,000   1,747,825.43   2.34
               holdings ltd



                                    5-23
1                   -

2          626,273.49

3          323,769.78

4             837.57

5           21,585.76



    5-24
   6                                                                            -

   7                                                                            -

   8                                                                            -

   9                                                                972,466.60




                     -20.80%   1.08%     -22.24%    1.49%   1.44%      -0.41%
   -2011/12/31
2012/1/1-2012/6/30   4.29%     0.90%      2.68%     1.03%   1.61%      -0.13%




                               99                  20
                               99                  20

                                       5-25
                   2004          5       12
                           2.5



                                                                                               51%

                                                                                         49%



                                                                           [2004]56

     2004          5       12                                      2005    8       12



                                                                                          67

                                                       33                 51%       49%

     2006          6        6                                 “                                     ”

          “                                      ”                2006       4    29

                                  2006        6   2
      2009             3        31
                                                                                        2009    3
31


      (        )




                                                       5-26
5-27
5-28
5-29
1


2
3
4


5
6
7
8
9
10
11


12




1


2




3


     5-30
    1
    2


    3
    4
    5


    6
    7
    8
4


        1
        2
        3
        4
        5
        6
        7


        8
        9
        10


5
(1)


(2)




             5-31
    (3)


    (4)




1


    1


    2


    3


    4


    5


2
    1


    2


    3


    4




3
    1
     2

          5-32
4
    1


    2




    3




    4




    5


    6




        5-33
1


      : 25 bank street canary wharf london e14 5jp
          director     martin porter
        1974       2   27
               /            119337
                             1,425         2011      12   31
      anuj arora
    (1) 212 648 0563
    (1) 212 648 1984
        anuj.x.arora@jpmorgan.com
        


                                5-34
        2
        anuj arora                                                anuj arora
2006
                        anuj        mesirow fiancial                     birkelbach
investment securities                 anuj arora       illinois




1
                         jpmorgan &chase bank, n.a.
               1111 polaris parkway, columbus, ohio 43240, usa.
               270 park avenue, new york, new york 10017-2070
                james dimon
              1799
                     2011 12   31        183     573
                        2011   12   31          16.9
                        aa3


2
    1
    2                                             /


    3




                                         5-35
              3                     2
                  200
                         10
    10                              10




1
2        30




                              200


                  5-36
         5,000
20




                 2




     1
     2
     3
     4
                 40%



                       5-37
                                 12        24       12   31
               40%


                                 3




                                                2




1    “   ”


2    “              ”
3                         “          ”


4
5
                                                         2




1.




2.



                          5-38
          (t   )             t+2                            t
                       t+3


     3.




                                                                  t
10   (             )




     1.                              1 000      (   )
                       1 000




     2.
                                                            100
                               100
      100
                       100
     3.


     4.
                                                        3




     1


     2

                                         5-39
3


                            m

             m    100                                1.6%
    100          ≤m    500                          1.0%
             m≥500                                  1000

4




                                               0.50%
                                               0.30%
                                                0%


                                     25%
5
                                           2


6




1
        “             ”
    =                   /       1

                                    5-40
                 =
             =              /
2
        “           ”                t


                 =          ×
             =              ×
             =              
3
t                                t+1           t+2


    3                      4
4




5


                                       2




                                              t+2
                          t+3
                                              t+2




                                                     2



                                       5-41
1.
2.


3.


4.


5.


6.


7.
8.


9.
10.




1.
2.



      5-42
3.


4.


5.


6.
7.
8.




          20




1.
                            (


      )               10%
2.




(1)


(2)


                                10


               5-43
3
                                2


4       2        (          )


            20




    2




                                2




                     5-44
     “           ”
“    ”
                       “   ”




           5-45
( )
1.
2.
3.
4.
5.
6.
(                        )
7.
8.
9.


          (   “   ”)
10.


11.
(     )


( )


                             5-46
1.
                                    1.8%


h e×               ÷
h
e


                                3


2.
                                     0.35%


h e×               ÷
h
e


                                3


3.       ( )   3   11


( )




(    )


( )




                         5-47
( )




( )


( )




    ( )




(    )

          5-48
    (       )
                                               t+1


(       )
1
(1)




(2)
                                           1


(3)
(4)
                1




(5)


2
        1
                        1       1
        2




3


                    1       1
4
        1

                                    5-49
            1   1
    2
    3




5




6




                           wm




7




8                          1    7


    1   7




9
10.




                    5-50
    (       )
1.
                0.001




2.                                       t+1




(       )
1.




                               “   ”         “   ”




2.




        1




                        5-51
     2


     3




     4          0.5%


     5




     6




     7
3.


     1


     2

         5-52
     3
                       0.5%


         0.5%


     4


4.
     1


     2




     3             ,


                       t      t


     4




(    )
1.
2.


3.


4.


5.

                5-53
5-54
 1.
 2.       1   1   12   31
      2
 3.
 4.
 5.
 6.


 7.




 1.




2.




      5-55
     3.        (   )
(              )




“        ”




      1
      2
      3
      4
      5
      6



                       5-56
1
                     3




1


                     6
    45
                15


2




3


2




3




4



         5-57
5




6
             90




                   60


                    15


    2


        2




7
                         2

            5-58
1
2
3
4
5
6
7
8


9
10


11
12
13


14
15
16
17
18
19
20
21
22
23

     5-59
24
25
26
8




9


            40




10




     5-60
                 10




1)
6
(2)
      6
(3)
(4)




          5-61
1.
(1)


(2)




(3)


2.
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
3.




4.
(1)
(2)
(3)
(4)
      (1) (3)
5.

                5-62
                     5




            3
6.
                15




     5-63
5-64
“   ”




          5-65
5-66
1.

2.




     5-67
5-68
5-69
5-70
5-71
5-72
5-73
5-74
5-75
 1


1)
2)
3)
4)

     5-76
5)


6)
7)
8)


9)


 2


 1
 2


 3
 4
 5
 6
 7


 8




 1


 1)


 2)




      5-77
3)




4)
5)
6)
7)




8)

9)




10)

11)




12)

13)




14)



15)

16)

      5-78
17)



18)

19)




2



1)

2)



3)


4)




5)


6)
7)




8)




9)




      5-79
10)




11)


12)
13)




14)




15)




16)


17)


18)


19)


20)




21)

      5-80
22)
                      .


23)              15
      ;
24)


25)               qdii




26)


27)


28)


29)


30)


31)
32)
33)
34)
35)
36)



          5-81
37)


38)




1


1)
2)
3)
4)
5)
6)
7)




8)
9)


2


1)
2)
3)



      5-82
4)


5)




6)
7)           ,
                 ,


8)




9)


10)




11)


12)
13)




14)




      5-83
15)
16)                   15


                 20
17)
18)


19)


20)


21)


22)


23)
24)


25)
26)




27)   7


28)



          5-84
1
       10%   (   10%   )          (
                  )
(1)
(2)
(3)
(4)
(5)
(6)
(7)


(8)
(9)
(10)
2


(1)
(2)


(3)
(4)

                           5-85
 (5)




 (6)
 (7)
 (8)
 (9)




 1.




 2.
                    10
                                     60




 3.    10%


 10
                          60
             10%


10
                         60
 4.    10%
                               10%
                               30



             5-86
5.




1.             (      “   ”)


      40


(1)
(2)
(3)
(4)
(5)
(6)        (
     )
(7)
(8)
(9)
(10)
2.




3.




1.
(1)
(2)

               5-87
    (3)


    (4)




    2.
    (1)


    1)
               50%   50%
    2)




(         30    )


    (2)


    1)                        2


    2)


    3)
                            50%   50%
    4)




    5)

                     5-88
(         30   )




    1.
    (1)


    (2)                         10%




    (3)




    (4)                   10%




                            6
    (5)

                   5-89
                                 30
                           30
  2.
  (1)




50%
                                        (
          )
  (             )
  (2)
                            30
                2
  3.


      (   )
  1.
  2.
  (1)
                                      50%
          50%       (2)


  (2)




                    5-90
    3.


    4.
    5.




    1.
    (1)




                                          3


    (2)


    (3)




    2.


                     (                          )




    1.
5                        ( )    1   (1)-(8)
                                              ( )   1
          (9) (10)

                         5-91
2.




3.                       2




1.




(1)
(2)


(3)
(4)
(5)
(6)


2.
          (   )




(1)
      6
(2)
      6

                  5-92
(3)
(4)




1.
(1)


(2)




(3)


2.
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
3.




4.
(1)
(2)
(3)
(4)

      5-93
         (1) (3)
    5.
                                         5




                           3
    6.
                                    15




1



               99              20




                    5-94
        2004   5    12
                                               2004 56
        2.5




2



                          25          100140


        2004   09    17




    1




                               5-95
                                60       -95
                                     5    -40
                   5%




2
    1


        1)                       20%




        2)
                   10%
        3)


             10%
              3%
    4)                           10%




    5)                                     10%

                         5-96
      6)                                                      60
-95
5     -40                                  5%


      7)                                                100
      8)
                                                          10
      9)




                                       1            6
                 30
                                       6




            30             10


                      30                        3


      2




                                5-97
3




4




    ,          ,




5




6




7




1

        5-98
2




3




1
2.
3.
4.
5.


6




7



     5-99
8




9.


10.




1.
“        ”
2.




      2        2
3.




1.




                   5-100
2.




3.




1.


2.




1.


2.
     (beneficial owner)




3.      (a)                       (b)




4.


5.                            (
                  )
6.




                      5-101
                15




1.




0.001
2.




3.




        5-102
1.




2
                                 t+1


3.
     a

(1)




(2)
                             1


(3)
(4)
         1




(5)


     b
     1
                 a       1
     2




     c


             a       1

                     5-103
     d
     1
                 a   1
     2
     3




     e




     f




                             wm




     g




     h                        a   g


         a   g




     i


1.


                     5-104
                 “    ”    “   ”




2.




     1




     2


     3




     4                0.5%


         5-105
     5




     6




     7
3.


     1


     2
     3
                        0.5%


         0.5%


     4


4.
     1


     2




     3             ,




                5-106
                 t   t


     4




1.
2.


3.


4.




5.




                 .




1.


2.




3.
     1

         5-107
          60
    90




2




                 15




         5-108
1.
2.
3.
4.


1.
(1)


(2)




(3)




(4)


2.




(1)
(2)
(3)
(4)

      5-109
(5)
(6)
(7)
(8)
(9)
(10)
3.




4.
(1)
(2)
(3)
(4)
       (1) (3)
5.
                              5




                 3
6.
                         15




                 5-110
1.




2.




        400 889 4888
     




                       5-111
            ()




1


2
3
4
5
6
7




                               2012   9




    5-112




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