Also known as: 国证机器人产业指数 · 980022 (CNI code)
At a glance
- Weighting schemeFree float market cap
- Review frequencySemi-annual
- Constituent count50
- Single cap5
- Buffer70 / 130
| Field | Value | Source text | Reading (model) |
|---|---|---|---|
| M1 Identity, objective, classification · 8 fields | |||
| Local short name | 机器人产业 | 指数简称：机器人产业Open p.1 ↗ |
The local-language short name is 机器人产业. |
| Index name | CNI Robot Index | 英文名称：CNI Robot IndexOpen p.1 ↗ |
The official English index name is CNI Robot Index. |
| Index short name | CNIROBOT | 英文简称：CNIROBOTOpen p.1 ↗ |
The English short name is CNIROBOT. |
| Local index name | 国证机器人产业指数 | 指数名称：国证机器人产业指数Open p.1 ↗ |
The local-language index name is 国证机器人产业指数. |
| Index code | 980022 | 指数代码：980022Open p.1 ↗ |
The index code is 980022. |
| Base date | 2014-12-31 | 指数基日为2014 年12 月31 日Open p.1 ↗ |
The index base date is 31 December 2014. |
| Base value | 1,000 points | 基点为1000 点。Open p.1 ↗ |
The index base value is 1000 points. |
| Index family type | Thematic | 公司业务涉及机器人本体、核心零部件和其他机器人产业相关领域。Open p.2 ↗ |
The index is a thematic robot-industry index. |
| M2 Universe · 4 fields | |||
| Business scope | robot bodies, core components, other robot-industry-related fields | 6. 公司业务涉及机器人本体、核心零部件和其他机器人产业相关领域。Open p.2 ↗ |
Eligible companies must operate in robot bodies, core components, or other robot-industry-related fields. |
| Markets | China A | 满足下列条件的A 股和红筹企业发行的存托凭证：Open p.1 ↗ |
The eligible universe covers A shares. |
| Security types | A share, Dr | 满足下列条件的A 股和红筹企业发行的存托凭证：Open p.1 ↗ |
The universe includes A shares and depositary receipts issued by red-chip enterprises. |
| Exclusions | ST securities, *ST securities | 1. 非ST、*ST 证券；Open p.1 ↗ |
ST and *ST securities are excluded. |
| M3 Eligibility screens · 6 fields | |||
| Financial report requirement | No material problems in the company's financial reports during the most recent year. | 3. 公司最近一年无重大违规、财务报告无重大问题；Open p.1 ↗ |
The company must have had no material problems in its financial reports during the most recent year. |
| Major violation requirement | No major violations by the company during the most recent year. | 3. 公司最近一年无重大违规、财务报告无重大问题；Open p.1 ↗ |
The company must have had no major violations during the most recent year. |
| Operations and profitability requirement | No abnormal operations and no major losses during the most recent year. | 4. 公司最近一年经营无异常、无重大亏损；Open p.2 ↗ |
The company must have had no abnormal operations and no major losses during the most recent year. |
| Trading history | Minimum value: 1 year; Exceptions: Securities: STAR Market securities and Beijing Stock Exchange securities; Minimum value: 1 year, Securities: other securities; Minimum value: 6 months | 2. 科创板证券、北交所证券上市时间超过1 年，其他证券上市时间超过6 个月；Open p.1 ↗ |
STAR Market and Beijing Stock Exchange securities must have been listed for more than one year, while other securities must have been listed for more than six months. |
| Business or ESG exclusions | ST or *ST securities, companies with major violations in the most recent year, companies with material problems in financial reports in the most recent year, companies with abnormal operations in the most recent year, companies with major losses in the most recent year, securities with abnormal price fluctuations during the review period | 1. 非ST、*ST 证券；
2. 科创板证券、北交所证券上市时间超过1 年，其他证券上市时间超过6 个月；
3. 公司最近一年无重大违规、财务报告无重大问题；
4. 公司最近一年经营无异常、无重大亏损；
5. 考察期内证券价格无异常波动；Open p.1 ↗ |
The screens exclude ST or *ST status, major violations, material financial-reporting problems, abnormal operations or major losses in the latest year, and abnormal price fluctuations during the review period. |
| Extreme price screen | Rule: securities with abnormal price fluctuations during the review period are excluded; Window: review period | 5. 考察期内证券价格无异常波动；Open p.2 ↗ |
Securities whose prices fluctuate abnormally during the review period are excluded. |
| M4 Selection and constituent count · 4 fields | |||
| Liquidity bottom removal | Method: Remove bottom rank (%); Rank (%): 10; Metric: 日均成交金额; Window: 最近半年 | 首先，对入围证券按照最近半年日均成交金额从高到低排序，剔除排名后10%的证券Open p.2 ↗ |
The bottom 10% of eligible securities ranked by the most recent half-year average daily turnover are removed. |
| Selection method | Rank by metric | 首先，对入围证券按照最近半年日均成交金额从高到低排序，剔除排名后10%的证券；然后，对剩余证券按照最近半年日均总市值从高到低排序，选取前50 名证券作为指数样本。Open p.2 ↗ |
The index selects constituents by sequentially ranking eligible securities by liquidity and market capitalization. |
| Ranking metrics | Name: 日均成交金额; Window: 最近半年; Direction: Descending; Step order: 1, Name: 日均总市值; Window: 最近半年; Direction: Descending; Step order: 2 | 首先，对入围证券按照最近半年日均成交金额从高到低排序，剔除排名后10%的证券；然后，对剩余证券按照最近半年日均总市值从高到低排序，选取前50 名证券作为指数样本。Open p.2 ↗ |
Securities are first ranked by the most recent half-year average daily turnover, and the survivors are then ranked by the most recent half-year average daily total market capitalization. |
| Target constituent count | 50 | 然后，对剩余证券按照最近半年日均总市值从高到低排序，选取前50 名证券作为指数样本。Open p.2 ↗ |
The index selects the 50 highest-ranked securities after the liquidity and market-capitalization screens. |
| M5 Weighting and capping · 7 fields | |||
| Other field adjustment coefficient | 0.5 | 其他领域对应样本的自由流通市值调整系数为0.5，权重上限为3%。Open p.3 ↗ |
Constituents in fields other than robot body and core components have a free-float market-capitalization adjustment coefficient of 0.5. |
| Other field single cap (%) | 3% | 其他领域对应样本的自由流通市值调整系数为0.5，权重上限为3%。Open p.3 ↗ |
Each constituent in fields other than robot body and core components has a weight cap of 3%. |
| Temporary replacement weight inheritance | New constituent inherits deleted constituent weight on last trading day before adjustment | 当出现样本临时调整时，新进样本继承被剔除证券在调整前最后一个交易日的权重，据此计算新进证券的权重调整因子。Open p.4 ↗ |
For ad hoc constituent changes, a newly added constituent inherits the deleted constituent's weight as of the last trading day before the adjustment, and its weight factor is calculated from that weight. |
| Weighting scheme | Free float market cap | 在指数计算中，设置权重调整因子，机器人本体、核心零部件领域对应样本的自由流通市值调整系数为1Open p.3 ↗ |
Constituent weights are based on free-float market capitalization adjusted by industry-specific weight adjustment factors. |
| Free float factor | Method: Free float | 机器人本体、核心零部件领域对应样本的自由流通市值调整系数为1，权重上限为5%，其他领域对应样本的自由流通市值调整系数为0.5Open p.3 ↗ |
The weighting base is free-float market capitalization, with separate adjustment coefficients by constituent field. |
| Weight cap | 5% | 机器人本体、核心零部件领域对应样本的自由流通市值调整系数为1，权重上限为5%Open p.3 ↗ |
Each constituent in the robot body and core components fields has a weight cap of 5%. |
| Cap application timing | At review | 权重调整因子每年调整2 次，于样本定期调整时实施。在下一个定期调整日之前，权重调整因子一般固定不变。Open p.3 ↗ |
Weight adjustment factors are adjusted twice a year and implemented during scheduled constituent reviews. |
| M6 Review and rebalance schedule · 6 fields | |||
| Reserve list selection | Securities not selected are ranked by daily average total market capitalisation from highest to lowest, and the top 5% of the sample count are chosen as reserve constituents. | 在未入选样本的证券中，按日均总市值从高到低排序，选取样本数量5%的证券作为备选样本。Open p.3 ↗ |
Among non-constituent candidates, securities equal to 5% of the constituent count are selected as reserve samples based on descending daily average total market capitalisation. |
| Review frequency | Semi-annual | 指数样本每半年调整一次，于每年6 月和12 月的第二个星期五的下一个交易日实施。样本调整方案通常在实施前两周公布。Open p.3 ↗ |
The index reviews its constituents once every six months. |
| Review types | Semi annual review, Ad hoc | 指数样本每半年调整一次，于每年6 月和12 月的第二个星期五的下一个交易日实施。Open p.3 ↗ |
The methodology provides for semi-annual scheduled sample adjustments and interim sample adjustments. |
| Review months | June, December | 指数样本每半年调整一次，于每年6 月和12 月的第二个星期五的下一个交易日实施。Open p.3 ↗ |
Scheduled sample changes are implemented in June and December. |
| Announcement rule | The sample adjustment plan is usually announced two weeks before implementation. | 样本调整方案通常在实施前两周公布。Open p.3 ↗ |
The sample adjustment plan is usually announced two weeks before implementation. |
| Effective date rule | Changes take effect on the trading day after the second Friday in June and December. | 指数样本每半年调整一次，于每年6 月和12 月的第二个星期五的下一个交易日实施。Open p.3 ↗ |
Sample changes are implemented on the next trading day after the second Friday in June and December. |
| M7 Buffers and turnover control · 2 fields | |||
| Buffer zone | Entry rank: 70%; Exit rank: 130% | 排名在样本数70%范围之内的非原样本按顺序入选，排名在样本数130%范围之内的原样本按顺序优先保留。Open p.3 ↗ |
Non-incumbent securities ranked within 70% of the constituent count enter in order, while incumbents ranked within 130% are retained first in order. |
| Maximum turnover per review | 10% of constituents | 每次样本调整数量不超过样本总数的10%。Open p.3 ↗ |
The number of securities changed in each sample review may not exceed 10% of the total number of constituents. |
| M8 Corporate actions, IPOs, ad-hoc changes · 4 fields | |||
| Referenced index rules | 国证1000 指数 | 样本公司被实施风险警示，发生收购、合并、分拆情形的处理，同国证1000 指数。Open p.3 ↗ |
The interim adjustment treatment for specified corporate events refers to the CNI 1000 Index. |
| Ad-hoc deletion | Delisting, Risk warning, Acquisition | 样本出现终止上市时，将其从指数样本中剔除，选择备选样本名单中排序最靠前的证券补足。样本公司被实施风险警示，发生收购、合并、分拆情形的处理，同国证1000 指数。Open p.3 ↗ |
A constituent is removed upon termination of listing, while risk warning, acquisition, merger and spin-off situations follow the treatment of the CNI 1000 Index. |
| Replacement policy | Reserve list | 样本出现终止上市时，将其从指数样本中剔除，选择备选样本名单中排序最靠前的证券补足。Open p.3 ↗ |
When a constituent is deleted because its listing is terminated, it is replaced by the highest-ranked security on the reserve sample list. |
| Merger spinoff rules | Treatment of constituent-company risk warnings, acquisitions, mergers and spin-offs follows the CNI 1000 Index. | 样本公司被实施风险警示，发生收购、合并、分拆情形的处理，同国证1000 指数。Open p.3 ↗ |
Risk warning, acquisition, merger and spin-off cases for constituent companies are handled in the same way as in the CNI 1000 Index. |
| M9 Calculation and return variants · 5 fields | |||
| Paasche weighting method | 派氏加权法 | 指数采用派氏加权法，依据下列公式逐日连锁计算：当日指数= 上一交易日收市指数Open p.2 ↗ |
The index applies the Paasche weighting method. |
| Sample weight adjustment reference | 指数计算与维护细则 | 其中，样本权数调整方法参见指数计算与维护细则，权
重调整因子见“七、样本权重调整”。Open p.2 ↗ |
The method for adjusting sample weights refers to the separate index calculation and maintenance rules. |
| Formula type | Chain linked | 指数采用派氏加权法，依据下列公式逐日连锁计算：当日指数= 上一交易日收市指数Open p.2 ↗ |
The index is calculated daily using a chain-linked Paasche weighted method. |
| Price source | current-day transaction prices and previous trading day closing prices | σ （样本当日成交价× 样本权数× 权重调整因子） × σ （样本上一交易日收市价× 样本权数× 权重调整因子）Open p.2 ↗ |
The formula uses each sample's current-day transaction price and previous trading day closing price. |
| Calculation frequency | Daily | 指数采用派氏加权法，依据下列公式逐日连锁计算：当日指数= 上一交易日收市指数Open p.2 ↗ |
The index is calculated on a daily chain-linked basis. |
Open points · 32Model-written, for reference
- 1Index ISIN is not stated.
- 2Vendor tickers for Bloomberg, Refinitiv, Wind, or other data vendors are not stated.
- 3Administrator or calculation agent is not stated.
- 4Index family, parent index, launch date, and calculation currency are not stated.
- 5Methodology version and methodology date are not stated.
- 6Benchmark type, intended use, market classification, and limitations are not stated.
- 7Specific exchanges or boards beyond STAR Market and Beijing Stock Exchange references are not fully stated.
- 8Nationality or red-chip eligibility rules are not detailed beyond inclusion of depositary receipts issued by red-chip enterprises.
- 9No quantitative liquidity, minimum size, free-float, foreign-room, voting-rights, minimum-price, or suspension screen is stated.
- 10The review period for abnormal price fluctuations is not defined.
- 11The document does not state any tie-breaking rule.
- 12The document does not state an industry or sector neutrality requirement in constituent selection.
- 13The document does not state a reserve list or candidate replacement pool.
- 14The document does not state treatment of foreign ownership limits.
- 15The document does not state group, sector, or country aggregate weight caps.
- 16The document does not state the source or update timing of shares outstanding.
- 17The document does not state a divisor adjustment rule for maintaining index continuity.
- 18No data cut-off or ranking reference date rule is stated.
- 19No separate weight rebalancing or weight reset frequency is stated beyond the semi-annual sample adjustment.
- 20No size-segment buffer rule is stated.
- 21No relaxed liquidity threshold for existing constituents is stated.
- 22No fast-entry rule for large new listings is stated.
- 23No deletion price rule is stated.
- 24No share or free-float change threshold for interim implementation is stated.
- 25No separately named corporate-actions guide is referenced; the text refers to the CNI 1000 Index instead.
- 26M9 does not specify the number of decimal places for the published index level.
- 27M9 does not specify price, gross total return, or net total return variants.
- 28M9 does not specify withholding tax treatment or cash dividend reinvestment treatment.
- 29M9 does not list corporate-action events triggering divisor adjustments.
- 30M9 does not specify market disruption or market closure handling.
- 31M9 does not specify a recalculation or error-correction policy for published index levels.
- 32Not coveredM10 Governance, change policy, disclosure: not covered by this edition
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