SINOPAC FINANCIAL HOLDINGS COMPANY LIMITED AND INVESTEES
MARKETABLE SECURITIES HELD SEPTEMBER 30, 2006
(In Thousands of New Taiwan Dollars)
September 30, 2006 Name of Holding Company Type and Issuer of Marketable Securities Relationship with Holding Company Financial Statement Account Shares/Units/
Face Amount (In Thousands)
Carrying Amount (Note 1)
Percentage of Ownership
Market Value or Net Asset Value
(Note 1)
Note
SinoPac Financial Holdings Stock (common stock)
Company Limited International Bank of Taipei Subsidiary Equity investments - equity method 2,223,311 $ 34,319,342 100.00% $ 36,215,832 Note 4
Bank SinoPac Subsidiary Equity investments - equity method 1,972,807 29,271,527 100.00% 29,271,527 Note 4
SinoPac Securities Corporation Subsidiary Equity investments - equity method 1,196,902 19,738,290 100.00% 19,738,290 Note 4 AnShin Card Services Co., Ltd. Subsidiary Equity investments - equity method 343,000 2,787,051 100.00% 2,787,051 Note 4 SinoPac Venture Capital Co., Ltd. Subsidiary Equity investments - equity method 180,000 1,872,627 100.00% 1,872,627 Note 4 SinoPac Securities Investment Trust Co., Ltd. Subsidiary Equity investments - equity method 30,591 313,359 100.00% 313,359 Note 4 SinoPac Call Center Co., Ltd. Subsidiary Equity investments - equity method 10,000 102,833 100.00% 102,833 Note 4 SinoPac Asset Management International Subsidiary Equity investments - equity method 10,000 112,424 100.00% 112,424 Note 4 SinoPac Life Insurance Agent Co., Ltd. Subsidiary Equity investments - equity method 300 93,612 100.00% 93,612 Note 4 SinoPac Marketing Consulting Co., Ltd. Subsidiary Equity investments - equity method 5,000 32,608 100.00% 32,608 Note 4 SinoPac Property Insurance Agent Co., Ltd. Subsidiary Equity investments - equity method 300 15,119 100.00% 15,119 Note 4 Stock (preferred stock)
AnShin Card Services-A - Equity investments - equity method 48,000 480,000 100.00% 480,000 Note 5
AnShin Card Services-B - Equity investments - equity method 120,000 1,200,000 100.00% 1,200,000 Note 5
SinoPac Leasing - Equity investments - equity method 100,000 1,000,000 100.00% 1,000,000 Note 5
Stock (common stock)
Li-Seng Develop company Investee accounted for by the cost method Unquoted equity investments 2,709 25,000 5.00% 25,000 Note 5 Debt Instruments Depository and Clearing Co.,
Ltd., Taiwan
Investee accounted for by the cost method Unquoted equity investments 230 4,639 0.08% 4,639 Note 5
IBT Life Insurance Agent Bond
Co., Ltd. Taiwan Government Bond (A88103) - Refundable guarantee deposits - 654 - 812 Pledged
Note 7 IBT Property Insurance Bond
Agent Co., Ltd. Taiwan Government Bond (A88103) - Refundable guarantee deposits - 654 - 812 Pledged
Note 7
SinoPac Bancorp Stock
Far East National Bank Subsidiary Equity investments - equity method 180 6,499,806 100.00% 6,499,806 Note 3
SinoPac Financial Service (USA) Ltd. Subsidiary Equity investments - equity method 2.5 27,976 100.00% 27,976 Note 3 (Continued)
September 30, 2006 Name of Holding Company Type and Issuer of Marketable Securities Relationship with Holding Company Financial Statement Account Shares/Units/
Face Amount
Far East Capital Corporation Stock (common stock)
PCRS Capital Partners, LLC - Unquoted equity investments - $ 1,363 4.00% $ 1,363 Note 5 SinoPac Capital Limited Stock
((Hong Kong) SinoPac Capital (B.V.I.) Ltd. Subsidiary Equity investments - equity method 4,450 146,580 100.00% 184,788 Note 3
Bestfield Enterprises Ltd. - Financial assets at fair value through
profit or loss
38 49,647 - 57,407 Note 2
FerroChina Ltd. - Financial assets at fair value through
profit or loss
2,300 33,586 - 50,969 Note 2
Fund
China Enterprise Capital - Available -for-sale financial assets 20 33,098 - 33,098 Note 5
SinoPac Capital (B.V.I.) Ltd. Stock
Shanghai International Asset Management
September 30, 2006 Name of Holding Company Type and Issuer of Marketable Securities Relationship with Holding Company Financial Statement Account Shares/Units/
Face Amount
Transcend Prosperity Fund - Open-end mutual funds and money
tools
398 5,000 0.191% 5,263 Note 6
SinoPac Columbus Fund - Open-end mutual funds and money
tools
1,190 14,000 5.33% 14,762 Note 6
Fuh-Hwa Small Capital Fund - Open-end mutual funds and money
tools
583 13,000 0.016% 14,032 Note 6
Fuh-Hwa Omni Fund - Open-end mutual funds and money
tools
1,000 10,000 0.069% 10,300 Note 6
Balanced fund
Grand Cathay Balance Fund - Open-end mutual funds and money
tools
745 10,000 3.242% 11,020 Note 6
Fuh-Hwa Aegis Fund - Open-end mutual funds and money
tools
1,000 10,000 0.109% 10,634 Note 6
Fuh-Hwa Asian Pacific Balance Fund - Open-end mutual funds and money
tools
700 7,000 0.010% 7,098 Note 6
Overseas Fund
SinoPac New Century Fund - Open-end mutual funds and money
tools
1,898 10,000 6.14% 10,285 Note 6
SinoPac Capital Management Combined fund
Corporation Grand Cathay World Bond Selection Fund - Trading financial assets 650 6,500 0.10% 6,500 Note 6
Pou Chen Corporation Corporate Bond - Available -for-sale financial assets -
noncurrent
80,000 77,393 - 77,393 Note 7
SinoPac Life Insurance Agent Beneficiary certificate
Co., Ltd. Fuh-hwa Bond Fund - Available -for-sale financial assets 6,460 85,517 - 85,808 Note 6
Fuh-hwa Yu-Li Fund - Available -for-sale financial assets 1,328 15,015 - 16,415 Note 6
Prudential Aggressive Growth 2 Bond Fund - Available -for-sale financial assets 1,689 24,746 - 26,159 Note 6
(Continued)
September 30, 2006 Name of Holding Company Type and Issuer of Marketable Securities Relationship with Holding Company Financial Statement Account Shares/Units/
Face Amount
SinoPac Venture Capital Beneficiary certificate
Co., Ltd. SinoPac Genesis Fund - Available -for-sale financial assets 5,568 $ 43,315 20.572% $ 46,009 Note 6
September 30, 2006 Name of Holding Company Type and Issuer of Marketable Securities Relationship with Holding Company Financial Statement Account Shares/Units/
Face Amount (In Thousands)
Carrying Amount (Note 1)
Percentage of Ownership
Market Value or Net Asset Value
(Note 1)
Note
ID Solutions Inc. - Unquoted equity investments 833 $ 8,275 2.00% $ 8,275 Note 5
Ultra Chip, Inc. - Unquoted equity investments 1,119 28,817 1.447% 28,817 Note 5
Skymedi Corporation - Unquoted equity investments 55 1,000 0.179% 1,000 Note 5
Goyatek Technology Inc. - Unquoted equity investments 500 6,075 1.590% 6,075 Note 5
Uniwill Computer International Corporation - Unquoted equity investments 880 9,944 0.238% 9,944 Note 5
Prudence Venture Investment Corp. - Unquoted equity investments 5,000 35,600 2.50% 35,600 Note 5
Z-com - Unquoted equity investments 1,561 10,439 2.011% 10,439 Note 5
Taiwan Leader Advanced Technology Corp. - Unquoted equity investments 1,103 10,766 1.071% 10,766 Note 5
e21 - Unquoted equity investments 200 3,310 1.79% 3,310 Note 5
Chain Yarn Co., Ltd. - Unquoted equity investments 2,279 27,570 1.74% 27,570 Note 5
Telexpress Corp. - Unquoted equity investments 525 5,226 4.70% 5,226 Note 5
Tekcon, Corp. - Unquoted equity investments 349 944 1.513% 944 Note 5
Coxonprecise Industrial Co., Ltd. - Unquoted equity investments 1,800 85,500 2.535% 85,500 Note 5
Giga Solution Tech. Co., Ltd. - Unquoted equity investments 655 6,885 0.517% 6,885 Note 5
Jarllytec Co., Ltd. - Unquoted equity investments 200 14,000 1.24% 14,000 Note 5
Gatetech Technology Inc. - Unquoted equity investments 1,250 12,500 0.592% 12,500 Note 5
MOSA Industrial Corporation - Unquoted equity investments 500 12,500 1.429% 12,500 Note 5
Celxpert Energy Corporation - Unquoted equity investments 425 13,311 0.989% 13,311 Note 5
Fund
BioAsia BDF IV Fund - Unquoted equity investments - 36,695 3.18% 36,695 Note 5
Source One - Unquoted equity investments - 92,933 74.10% 92,933 Note 5
SinoPac Asset Management Stock
International Powerchip Semiconductor Corp. - Available -for-sale financial assets 252 5,688 0.004% 5,328 Note 2
Evergreen Marine Corp. (Taiwan) Ltd. - Available -for-sale financial assets 118 3,635 0.004% 2,219 Note 2
U-Ming Marine Transport Corp. - Available -for-sale financial assets 120 5,408 0.014% 4,332 Note 2
Career Technology (MFG) Co., Ltd. - Available -for-sale financial assets 133 5,257 0.045% 3,838 Note 2
National Venture Capital Corp. Investee accounted for by the cost method Unquoted equity investments 4,500 20,894 8.32% 20,894 Note 5 SinoPac Securities Investment Beneficiary certificate
Trust Co., Ltd. Jih Sun Foresight Balance Fund Balanced Fund - Trading financial assets 300 3,000 - 3,040 Note 6
Global Balanced Fund of Funds - Trading financial assets 500 5,000 - 5,030 Note 6
Global Fixed Income Portfolio Fund - Trading financial assets 1,500 15,000 - 15,121 Note 6
Note 1: Foreign-currency amounts were translated to New Taiwan dollars at the exchange rate as of the balance sheet date.
Note 2: Market prices of listed and GreTai Securities Market stocks were determined by closing prices in September 30, 2006.
Note 3: Net asset values were based on the investees’ unaudited or unreviewed financial statements for the latest period.
Note 4: Net asset values were based on the investees’ audited or reviewed financial statements for the latest period.
Note 5: Net asset values were based on the carrying amounts.
Note 6: Market prices were determined at the closing prices or NAV on September 30, 2006.
Note 7: The closing price provided by GreTai Securities Market as of September 30, 2006. (Concluded)
TABLE 4
SINOPAC FINANCIAL HOLDINGS COMPANY LIMITED AND INVESTEES
MARKETABLE SECURITIES ACQUIRED AND DISPOSED OF AT COSTS OR PRICES OF AT LEAST NT$300 MILLION OR 10% OF THE ISSUED CAPITAL FOR THE NINE MONTHS ENDED SEPTEMBER 30, 2006
(In Thousands of New Taiwan Dollars, Unless Stated Otherwise)
Beginning Balance Acquisition Disposal Ending Balance
Company Name Type and Issuer of Marketable Securities
Financial Statement
Account Counter-party Relationship Shares/Units/
Face Value (in Thousands)
Amount
Shares/Units/
Face Amount (in Thousands)
Amount
Shares/Units/
Face Amount (in Thousands)
Amount Carrying Amount
Gain (Loss) on Disposal
Shares/Units/
Face Amount (in Thousands)
Amount
SinoPac Financial Holdings Stocks (preferred)
Company Limited SinoPac Leasing Corporation Equity investments - equity method
- Affiliate - $ - 100,000 $ 1,000,000 - $ - $ - $ - 100,000 $ 1,000,000
Stocks (common)
AnShin Card Services Co., Ltd. Equity investments - equity method
- - - - 150,000 1,500,000 - - - - 150,000 1,500,000
TABLE 5
SINOPAC FINANCIAL HOLDINGS COMPANY LIMITED AND INVESTEES
RECEIVABLES FROM RELATED PARTIES AMOUNTING TO AT LEAST NT$300 MILLION OR 10% OF THE ISSUED CAPITAL