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
www.jpmorgan.co.uk
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%
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H
E
3
3. ( ) 3 11
( )
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5-47
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( )
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5-48
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( )
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1
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1
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1
1 1
2
3
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4
1
5-49
1 1
2
3
5
6
WM
7
8 1 7
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9
10.
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( )
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0.001
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( )
1.
“ ” “ ”
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1
5-51
2
3
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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
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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
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2
3
4
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