·hs---c..- --- --

Ho Chi Minh City Securities Corporation (HSC)HEAD OFFICELevel 5 & 6, AB Tower, 76 Le Lai St.,Ben Thanh Ward, District 1, HCMC, VietnamT: (+8428) 3823 3299 F: (+84 28) 3823 3301E: info@hsc.com.vn W: www.hsc.com.vn

56: 03/2018/CV-CBTTNo: 03120181CV-CBTT

TP. H6 Chi Minh, nqay 19 thang 01 narn 2018Ho Chi Minh City, 19 January 2018

CONG ao THONG TININFORMA TION DISCLOSURE

Kinh gwi / To: - Uy ban Ch(rng khoan Nha nU'acThe State Securities Commission

- SO-Giao dich Ch(rng khoan TP.H6 Chi MinhHo Chi Minh Stock Exchange

- SO-Giao dich Ch(rng khoan Ha NQiHa Noi Stock Exchange

Cong ty: Cong ty C6 phin Ch(rng khoan TP.H6 Chi MinhName of Company: Ho Chi Minh City Securities Corporation

Ma chLi'ng khoan: HCMSecurities symbol: HCM

Di$n thoai: (+84) 28 3823 3299Telephone: (+84) 2838233299

Fax: (+84) 28 3823 3301Fax: (+84) 28 3823 3301

Website: www.hsc.com.vnWebsite: www.hsc.com.vn

Dia chi tru sa chinh: Tflng 5&6, rea nha AS, 76 Le Lai, P. S€!nThanh, Qu~n 1, TP.H6 Chi MinhHead quarter address: Level 5&6, AB Tower, 76 Le Lai Str., Ben Thanh Ward, Dist., 1, HCM City

NgU'oi thuc hien cong b6 thong tin: Sa Truonq NgQCOuynh TienSubmitted by: Ms. Truong Ngoc Quynh Tien

Chtrc Vl,J: Giarn d6c Truyen ThongPosition: Communications Director

Di$n thoai co quan: (+84) 28 3823 3299 (ext: 124)Telephone (office): (+84) 2838233299 (ext. 124)

Loai cong b6 thong tin: 0 24 gioInformation disclosure type: 024 hours

NOi dung thong tin cong b6:The content of information disclosure:

0' dinh kyli!fPeriodic

o bat thU'ong 0 theo yeu cauo '"egu'ar 0 On demand

SaO cao tinh hinh quan tri cong ty nam 2017.Report on FY 2017 Corporation Governance of Ho Chi Minh City Securities Corporation.

Thong tin nay da dU'Q'ccong b6 tren trang thong tin di$n tLl' cua cong ty vao ngay 19/01 12018 tal dU'angdan http://www.hsc.com.vn/vn/investor/information-disclosure

POSITIVE INFLUENCE

This information was disclosed on HSC webpage on 19 January 2018 and available athttps://www.hsc.com.vn/en/investor/information-disclosure

Chung toi xin cam k~t cac thong tin cong be tren day la dung 51)' that va hoan toan chiu trach nhiern

truoc phap lu~t ve noi dung cac thong tin da cong be.We declare that all information provided in this paper is true and accurate; we shall be legally responsible for anymisrepresentation.

TnJ'O'ng NgQc Quynh Ti€mGiam d6c Truyin thongCommunications Director

Tai li~udinh kernl Attached file:Baa cao tinh hinh quen tri cong ty s6 0212018ICV-HDQTngay 19/0112018;Report on FY2017 Corporation Governance No. 02120181CV- HDQT dated 19January 2018;

2POSITIVE INFLUENCE

.:hsc56: 02/2018/CV-HDQT

TRl,I SO CHINHTang 5 & 6, Toa nha AB, 76 Le Lai,P. Ben Thanh, Ouan 1, TP. He Chi MinhT: (+84 8) 3823 3299 F: (+848) 3823 3301E: info@hsc.com.vn W: www.hsc.com.vn

TP. H8 Chi Minh, ngay 19 thang 01 nem 2018

BAo cAo TiNH HiNH QUAN TRI

CONG TV co PHAN CHUNG KHoAN TP. HO CHi MINH(nsm 2017)

(Ban cong bo thong tin)- Oy ban Ch(Png khoan Nha nwac

- Sa Giao dich Ch(Png khoan TP. He,Chi Minh

- Sa Giao djch Ch(Png khoan Ha NQi

- Ten cong ty niern yet Cong ty ce phc1n ChCfng khoan TP. He, Chi Minh (hsc)

- Dla chi tru sa chinh: Tang 5&6, Toa nha AB, 76 Le Lai, P. Ben Thanh, Ouan 1, TP. HOChi Minh

- 8ien thoai: (+8428) 3823 3299 Fax: (+8428) 3823 3301

- Von dieu Ie: 1.297.567.580.000 dOng

- Ma chunq khoan: HCM /aI. Hoatd~ng cuaD,i hoii dOng c6 dong ("DHDCD") r:i(

Trong narn 2017. Cong ty to cmrc 1 cuoc hop D~i hoi dOng eOdong th~ang nien narn tili ehinh 2016. ThOng tin ve l:r-~N_9h~i_q_Uy~e_t_cu_a_8_H_8_C_8__nh_U~S~a_u_:~ .- __ ~ ~~~~ __ ~ __ ~ __ ~ __ -=~ __~~, ~

Kinh giPi:

STT Ngay

- Thong qua bao cao tlnh hinh heat dong narn 2016 cua HOi

dOng quan trl;

- Thong qua ket qua hoat dong narn 2016;

- Thong qua ke hoach kinh doanh narn 2017;

- Thong qua bao cao tharn tra heat dong Cong ty nam 2016 cua

Ban Kiem soat;

- Thong qua Bao cao tai chinh nam 2016;

- Thong qua ty Ie co tlic dO't 2 nam 2016;

- Thong qua ke ho~ch co tlic nam 2017;

- Thong qua phuO'ng an phan phoi 100inhu$n nam 2016;

- Thong qua viec uy quyen cho HOi dOng quan tri lila chon mot

cong ty kiem toan cho nam tai chinh 2017;

- ThOng qua vi$c dieu chinh tang ty 1$sa hCl'unha dau tu nu&c

ngoai len 100%;

- Thong qua cac noi dung lien quan den san pham chling quyen

c6 bao dam,

01/2017/NQ-8H8C801 24/04/2017

ANH HUONG TICH CVC

II. HQi d6ng quan tri ("HDQT")1. Thong tin ve thanh vien H£)QT:

Trong narn 2017, H£)QTda thuc hien 19 cuoc hop trong d6 c6 11 cuoc hop tap trung va 8 cuoc hop b~ng hinh

thuc lay y kifm b~ng van ban.

.STT Thanh vien HDQT

01 On Vi~t Chu tich 21/04/2016 11/11 100%

02 On Le Anh Minh Ph6 Chu tich 21/04/2016 11/11 100%Ong Nguyen

03 Thanh Liem Ph6 Chu tich 21/04/2016 11/11 100%Ong Pharn Nghiem

04 Xuan Bi§c Thanh vien 21/04/2016 11/11 100%

05 On Thanh vien 21/04/2016 11/11 100%

06 On Thanh vien 21/04/2016 11/11 100%

07 On Thanh vien 21/04/2016 11/11 100%

2. Hoat dong giam sat cua H£)QTd6i voi Ban £)ieu hanh ("BDH"):

H£)QT chi dao va theo sat B£)H trong viec thuc hien cac n¢i dung cua nqh] quyet H£)QT va £)H£)C£).Theo do

H£)QTda qiam sat thuc hien cac n¢i dung sau:

Hoan thanh, nop va cong b6 thong tin dung thai han Bao cao tai chinh narn 2016 da duoc kiem toan, Bao

cao tai chinh cac quy va ban nien scat xet trong narn 2017 va Bao cao thU'ang nien nam 2016;

To chuc hOp£)H£)C£)nam tai chinh 2016 dung theo quy dinh cua phap lu~t hi~n hanh vao ngay 24/04/2017

t<;liKhach S<;lnNewWorld SaiGon;

£)on d6c thl,l'c hi~n ke hO<;lchkinh doanh nam 2017 da dU'O'c£)H£)C£)thong qua. Ket qua kinh doanh nam

2017 v&i doanh thu d<;ltmuc ky il,lc la 1.142,7 ty dong, tang 72% so v&i nam 2016 va vU'O't37% ke hO<;lch.LO'i

nhu~n sau thue d<;lt554 ty dong, tang 82% so v&i 2016 va vU'O't53% ke hO<;lchdo £)<;IihOidong co dong thong

qua;

Trien khai va hoan thanh vi~c chi tra co tuc dO't2 nam 2016 b~ng tien m~t v&i ty I~ 12% da dU'O'c£)<;IihOi

dong co dong thong qua dong th6'i trien khai vi~c chi tra t<;lmung co tuc dO't1 nam 2017 b~ng tien m~t v&i tyIe la 6% da dU'O'cH£)QTthong qua;

Ll,I'achon va theo doi tien d¢ thl,l'Chi~n cong viec kiem toan bao cao tai chfnh ban nien nam 2017 cua Cong

ty TNHH PriceWaterhouse Coopers Vi~t Nam;

Theo doi viec trien khai thl,l'c hien nghiep Vl,J chung khoan phai sinh va cac san pham chung quyen c6 baodam;

Theo doi vi~c trien khai thl,l'c hi~n phat hanh co phieu theo chU'O'ngtrinh Il,I'achon cho ngU'6'ilao dong trong

Cong ty (ESOP 2016) va phat hanh trai phieu rieng Ie;

2

3. Heat dong cua cac tieu ban thuoc HDQT:

3.1. Tieu ban ouan tri rui ro ("Tieu ban QTRR"):

Trong nam 2017, B¢ phan QTRR df3chlnh sLfacac Phu luc chi tiet lien quan den Chfnh sach ve tharn quyen:

Phu luc ve Han rmrc chi tieu va Phu luc ve Han rmrc ve Dau tU' trai phieu Chfnh phil. Ben canh d6, Chfnh

sach quan tr] rui ro va thOngbao rui ro doi voi heat dong cho vay ky quy, Chfnh sach mua sam va Chfnh sach

hoa hong cho nghi~p Vl,J phan phoi co phieu df3duoc ban hanh.

B¢ phan QTRR tiep tuc cung co Mo hinh QTRR giup giam thieu tao dong rui ro doi v6'i cac heat dong kinh

doanh cua HSC.

Dlnh ky h~ng quy, BOphan QTRR se g&i bao cao danh sach cac rui ro quan tronq dU'Q'cnht;lndi~n trong quy

cLIngv6'i ke hOc;lChhanh dong va ket qua giam sat den Tieu ban QTRR.

Dinh ky h~ng tMng, Ban QTRR se g&i bao cao cac giao dich thl,J'chi$n trong tMng den Tieu ban QTRR.

Tieu ban QTRR hOpkhi phai pM duy$t cac giao dich trong gi6'i hc;lntham quyen cua minh.

3.2. Tieu ban Kiem toan noi bO("Tieu ban KTNB")

HO<;ltdong kiem toan va theo doi tinh hinh thl,J'chi$n cac phat hi$n cua kiem toan n¢i b¢:

Trong nam 2017, B¢ pht;lnKTNB df3phat hanh cac bao cao kiem toan sau:

• Bao cao hOc;ltdong ph6ng chong rLfatien

• Theo doi tien dOthl,J'chi$n bao cao kiem toan noi b¢ quy trinh Moi gi6'i khach hang to ch(J'c(kiem toan Ian

1)

• Theo doi va ra soat tien do thl,J'Chi$n kien nghi cua kiem toan noi bOquy trinh Cho vay ky quy (kiem toan

Ian 1)

Hi$n tc;liBo pht;lnKTNB dang tien himh kiem toan cac quy trinh:

• Quy trinh Quan tri nguon nhan ll,J'c(kiem toan Ian 1)

• Quy trinh Moi gi6'i KMch hang Ca nhan (kiem toan Ian 2)

• Theo doi va ra soat tien do thl,J'chi$n kien nghi cua kiem toan noi b¢ quy trinh Ke toan va Bao cao Tai

chfnh (kiem toan Ian 1)

• Theo doi va ra soat tien d¢ thl,J'chi$n kien nghi cua kiem toan noi b¢ quy trinh Quan Iy von va Tl,J'doanh

(kiem toan Ian 1)

Bao cao tinh hinh thl,J'chi$n phat hi$n cua kiem toan n¢i bo df3dU'Q'cbao cao trong cuoc hop dinh ky cua Tieu

ban KTNB.

4. Cac Nghi quyetiQuyet dinh cua HDQT:

STT

01

CT

- Dl,J'bao ke hOc;lChkinh doanh 2017

- Thong nhat th6'i gian, dia diem, noi dung chU'O'ngtrinh va cac

noi dung chfnh trong cac t6' trinh se trinh Dc;lihoi dong co dong

thU'6'ngnien nam tai chfnh 2016,

- Bao cao tinh hinh trien khai thl,J'Chi~n cac nghi$p Vl,J cua ch(J'ng

khoan phai sinh;

- Thong qua tong gia tri cac khoan vay cua Cong ty trong nam

2017;- Thong qua vi$c nang hc;lnm(J'cUn dl,mg tc;lingan hang (trong

h~n muc ali aU'Q'cHf)QT thOngqua trong nam 2017 va ali cong

3

ANH HUONG TICH Cl)'C

s6 Nghj quy6t

-

1910112017);

- Phe duyet HQ'pd6ng dich Vl,Jtu van giQ>aCong ty Co phan

Ch(rng khoan TP. H6 Chi Minh (HSC) va Dragon Capital

Markets Limited (DC);

- Thong nhM trlnh BHBCB 2016 thong qua ty 1$trich Quy Khen

thU'angphuc lQ'inarn 2016,

02

03

02/2017/NQ-HBQT

03/2017/NQ-HBQT

13/03/2017Lay '1kien b~ng

van ban

24/03/2017

Thong qua xu yay tal ngan hang (trong hen mtrc oaoU'9'C HDQT th6ng qua trong nem 2017 va oa cong b6 th6ng tin

tei Cong van s6 02120171GV-GBTT ngay 1910112017),

- Dl,J'ph6ng qua heat dong kinh doanh Qu'11 nam 2017;

- Thong qua viec chap thuan trieln khai thuc hien Djch Vl,Jtu van

quan 1'1tai khoan khach hang ca nhan:

- Thong qua vlec chap thuan nguyen t,k trieln khai thuc hien

nghi$p Vl,Jlien quan den san pharn ch(rng quyen c6 bao dam

(covered warrant);

- Xem xet lal vlec dieu chlnh ty 1$sa hQ>ucua nha dau tu nuocnqoai len 100%;

- Bo sung noi dung chironq trlnh hop B<;IihOi d6ng co dong

thU'angnien narn 2016;

- Thong qua vlec dieu chlnh Bieu 1$conq ty theo von rnoi sau khi

hoan thanh viec niem yet 2.500.000 co phieu cua ChU'O'ngtrlnh

phat hanh co phieu cho ngU'ai lao dong trong cong ty (ESOP

2016);- Thong qua vi$c thanh I~p Ph6ng Giao dich Hoan Kiem thuoc

khu Vl,J'Cmien B~c;

- Bieu chfnh tong gia tri cac khoan yay cua Cong ty trong nam

2017,

04 04/2017/NQ-HBQT 05/06/2017 Thong qua yay n t<;lingan hang (trong h?n m(fc oaoU'9'C HDQT th6ng qua trong nam 2017 va oa cong b6 th6ng tin

t?i Gong van s6 09120171GV-GBTT ngay 2810312017)

05

06

07

05/2017/NQ-HBQT

06/2017/NQ-HBQT

07/2017/NQ-HBQT

08/06/2017

28/06/2017Lay '1kien b~ng

van ban27/07/2017

Thong qua yay n t<;lingan hang (trong h?n m(fc oaoU'9'C HDQT th6ng qua trong nam 2017 va oa cong b6 th6ng tin

t?i Gong van s6 09120171GV-GBTT ngay 2810312017)

Chon Gong ty TNHH Price Waterhouse Coopers Vi$t Nam la

cong ty kiem toan cho nam tai chinh 2017,

- Bao cao qua hO<;ltdong kinh doanh 6 thang u nam 2017;- Thong qua vi$c dieu chfnh tong gia tri giao dich cho yay k'1quy;

- Phe duyet viec dau tU'vao h$ thong giao dich,

08 08/2017/NQ-HBQT 02/08/2017

4

'1'$ ; '~', P,"" .,~If. "{'!II; \'., , '"~~iIf ~:~~;',~~,r, ::, ~. ~~; , ..--.

I~,STT so Nghi quyet ,0", Ngay ';;,!' T~ .~ ,- , ' , NQi~ung?', " i<'

' ~~;t.'I" ,,'I~ ,;, ,!~' '';'>r ::; "auoc HfJQT thOng qua trong nem 2017 va cia cong b6 thOng tin

te! Gong van 86 09120171GV-GBTT ngay 2810312017)

09 09/2017/NQ-H8QT 02/08/2017 ThOngqua d~ xuat vay von tai ngan hang (trong h~n mire cia

ciU'Q'cHfJQT thong qua trong nsm 2017 va cia cong b6 thOng tin

t~i Gong van 86 09120171GV-GBTT ngay 2810312017)

10 09N2017/NQ-H8QT 25/08/2017 ThOng qua d~ xuat vay von tai ngan hang (trong hen moe cia

ciU'Q'cHfJQT thOng qua trong nsm 2017 va cia cong b6 thOng tin

tei Gong van 86 09120171GV-GBTT ngay 2810312017)

11 10/2017/NQ-H8QT 29/08/2017 8ieu chinh tong gia trj cac khoan vay cua GOngty trong narnLcflyy kiEmb~ng 2017.van ban

12 11/2017/NQ-H8QT 02/10/2017 ThOng qua de xuat vay von tal ngan hang (trong nen muc ciaL~y y ki~n b~ng ciU'Q'CHfJQT thOng qua trong nsm 2017 va cia cOng b6 thOng tinvan ban

te! Gong van 86 28120171GV-GBTT ngay 2910812017)

13 12/2017/NQ-H8QT 06/10/2017 ThOng qua d~ xuat vay von tal ngan hang (trong h~n m(fc cia

ciU'Q'cHfJQT thOng qua trong nam 2017 va cia cOng b6 thOng tin

t9i GOng van 86 28120171GV-GBTT ngay 2910812017)

14 13/2017/NQ-H8QT 25/10/2017 - Bao cao k~t qua hO<;ltdong kinh doanh 9 thang dflu nam 2017;

- ThOngqua cac noi dung chinh trong phU'O'ngan phat hanh trai

phi~u;

- ThOngqua vi$c t<;lm(fng co t(fc dQ't1 nam 2017;

- ThOng qua vi$c uy quyen cho Tong Giam doc ky quy~t djnh

mua l<;lico phiElucua nhan vien tham gia chU'O'ngtrinh ESOP

2016 nghi vi$c,

15 14/2017/NQ-H8QT 14/11/2017 ThOng qua d~ xuat vay von t<;lingan hang (trong h~n m(fc cia

ciU'Q'cHfJQT thOng qua trong nam 2017 va cia cong b6 thOng tin

t~i Gong van 86 28120171GV-GBTT ngay 2910812017)

16 15/2017/NQ-H8QT 21/12/2017 ThOngqua vi$c ma rong di$n Uch Ph6ng Giao djch Kim Lien t<;liLay y kien b~ng khu Vl,J'Cmi~n B~c.van ban

17 16/2017/NQ-H8QT 25/12/2017 ThOngqua vi$c di~u chinh ty 1$t<;lm(fng co t(fc dQ't1 nam 2017Lay y kien b~ng tCr5% thanh 6%.van ban

18 17/2017/NQ-H8QT 25/12/2017 ThOng qua d~ xucfltvay von t<;lingan hang (trong h~n m(fc ciaLcflyy kien b~ng ciU'Q'cHfJQT thOng qua trong nam 2017 va cia cong b6 thOng tinvan ban

t9i GOng van 86 28120171GV-GBTT ngay 2910812017)

19 18/2017/NQ-H8QT 28/12/2017 ThOngqua vi$c d6'i dja diem va doi ten Ph6ng Giao djch GhQ'L~y Y kien b~ng Lan thuoc khu Vl,J'Cmi~n Nam.van ban

c(

II'.1,,

III. Ban Ki~msoat ("BKS"):1. ThOngtin ve thanh vien BKS:

Trong nam 2017, BKS da thl,J'chi$n 2 cuoc hOpv6'i Sl,J'tham gia day du cua cac thanh vien va thl,J'chi$n trao doi

qua email cacnOidungthuOcthamquy~ndU.Q.cgiao.

5

ANH HUONG TICH eljc

" Tyl, Ly do khorlgJhamtham . < dlf hop"

dU' hoB6 nhiern lai vao

01 On Va Van Gh~1U Truon ban 21/04/2016 212 100% n a 21/04/2016B6 nhiern l<;Iivao

02 On Dean Van Hinh Thanh vien 21/04/2016 212 100% n a 21/04/2016B6 nhiern l<;Iivao

03 Thanh vien 21/04/2016 212 100% n a 21/04/2016

2. Hoat dong qlarn sat cua BKS doi voi HDQT, BDH va c6 dong:

D<;Iidien BKS tham dl,l'd~y du cac cuoc hop HDQT hang quy va theo yeu cau de narn tinh hinh heat dong cua

Gong ty. BKS thuc hien:

- Bao cao cho c6 dong viec giam sat thuc hien heat dong kinh doanh nam 2016 cua Gong ty va trinh k~ hoach

heat dong narn 2017 cua BKS.

- Xem xet tlnh phu hop cua cac quyet djnh cua HDQT, BDH trong cong tac quan Iy, di~u hanh, dam bao tuan thu

cac quy dlnh cua phap luat va Di~u 1$Gong ty.

- Kiem tra, giam sat viec trien khai nghj quyet DHGD narn tal chinh 2016 cua HDQT va BDH.

- Giam sat hO<;ltdong kinh doanh va tinh hinh tai chinh trong nam 2017 cua Gong ty.

- Tham tra bao cao tai chinh quy, sau tMng va nam 2017 cua Gong ty.

- Giam sat Bo pMn KTNB trong vi$c thl,l'chi$n cac quy trinh kiem toan noi bo trong nam 2017.- Giam sat vi$c thl,l'c thi, cong bo thOng tin cua Gong ty theo dung quy djnh cua Lu~t chli'ng khoan va cac van

ban phap lu~t lien quan.3. SI,I'phoi hqp ho~t dong giCPaBKS doi v&i hO<;ltdong cua HDQT, BDH va cac can bo quan Iy kMc:

Trong nam 2017, BKS da nMn dU'qc Sl,l'ph6i hqp ch$t cM tl1 HDQT thong qua vi$c dU'qc cung cap d~y du va ra

rang nhCPngthOng tin lien quan d~n hO<;ltdong kinh doanh cOng nhU'quan trj doanh nghi$p trong cac cuoc hOp

HDQT. Qua cac cuoc hOpcung HDQT, BKS da d6ng g6p y ki~n mot cach th~ng th~n de cung nhau phan Uch,

danh gia dU'ara nhCPngquy~t djnh toi U'unhat vl1a tuan thu dung quy djnh phap lu~t hi$n hanh vl1a toi U'uh6a Iqi

ich cho tat ca cac ben lien quan.

Ben c<;lnhd6, trong qua trinh giam sat vi$c thl,l'chi$n hO<;ltdong Gong ty, BDH va cac can bo quan Iy da nhi$t tinh

cung cap cac thong tin theo yeu c~u, t<;lOmoi di~u ki$n thu~n Iqi de BKS hoan tMnh nhi$m Vl,J cua minh.

4. HO<;ltdong khac cua Ban Kiem soat:

BKS phoi hqp ch$t che v&i BOph~n KTNB va Tieu ban KTNB t~p trung giam sat vi$c kiem toan noi bOcac quy

trinh nghi$p Vl,J trong nam 2017.

IV. £)ao t~o v~ quan tri cong ty:Toan bO tMnh vien HDQT va thanh vien BKS da tham gia kh6a hoc "Quan trj cong ty", ngo<;litrl1 Ong Ph<;lm

Nghiem Xuan B~c chU'ac6 di~u ki$n thu~n Iqi de tham gia kh6a dao t<;lOv~ quan trj cong ty. Cong ty sa s~p x~pthai gian hqp Iy de Ong Ph<;lmNghiem Xuan B~c c6 the tham gia kh6a hoc dao t<;lOv~ quan trj cong ty trong thai

gian s~p t&L

6

V. Oanh sach v~ ngU'ai co lien quan cua cong ty niern y~t theo quy dinh t~i khoan 34 Di~u 6 Lu~t ChCPngkhoan va giao djch cua ngU'ai co lien quan cua congty vai chinh Cong ty

1. Danh sach v~ ngU'6'ic6 lien quan cua Cong ty:

Stt Ten to chCPc/ca nhan ' Tal khoan ChCPcvl:l So Giay NSH, ngay cap, nol cap Dia chi trl:l sa chinhl Thai diem Thai diem Lydoc'" giao djch t~i cong ty So Giay NSH,,'i! Ngay cap' NO'icap,' " Dia chi lien h~ b~t diu la khong con

I[ " chCPngkhoan IQuan h~ ngU'ai co la ngooi(neu co) lien quan co lien

". " 0, "ii·' ,!" '. ;~\ •.,P,''c''L 1 ~ '\:; v' ,', r ' ,f quan .11 .,

A" HOI DONG QUAN TRI ~ '.. r .: '- "

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01 Lam Van To So - -

02 Ho Thi Hong Nhc;1n Me - -

03 Lam Thi PhU'O'ngLinh Chi - -

04 Lam Thi PhU'O'ngThao Chi - -

05 Lam Hfru Phuc Anh - -

19

Stt 'J' HQ,ten """," Tili khoan " i,;ChCPcVI,! So CMND/,HQchleu, ngay cap, noi cap , Dja chi lien h~, f;~ se.ee Tyl~ "50 to Tyl~- giao dlch ~~icong - phi~u sa phi~u dfi d~idi~n,

- chCPngkhoan I~ ,ty

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06 Lam HCPuDuc Anh - - - -

07 LamThl Phuonq Lan Chi - - - -ij~*EiL NGU'OIDU'OC UY QUYt:N CONG eo THONG TIN' +~t"" ,1' '(1++-. ;!~'t~;W;f~+i 'ii' f~~~~d',,,' " ,.f;t ;'5 ij ''':'+;'i~;i ' . ,,,J ~'1'~+,"l''' "%;~;iW$'f" .) ",$1;;' "'~~it;,,,

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Tru'ong NgQcQuynh Truy€mTien thong 13.500 0,01%

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I" ,',....,' in"';? .+fW" i~:~;~'.jt1#~~I"~',"'·,f' F' y, rc' o,,";Tt";;) 'is' ;"V$I!I:'{" ·'W sf '7'>' if l'b Ca nhan '''." I "

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01 TrU'O'ngNgoc Ai So - -

02 Tran Thi Tan M~ - -

03 Chiba Kunia Anh - -

04 Chiba Yasuo Anh - -TrU'O'ngNgoc Sao

05 HU'ng Anh - -

TrU'O'ngNgoc Quynh06 Anh Chi - -

07 NguyenTri$u Vinh Chong - -

08 Nguyen Ngoc Minh Anh Can - -

09 Nguyen Huy DOng Can - - - -

20

Ghi cnu:So co phieu sa hfru cuoi ky chot ngay 16/05/2017 theo danh sach co dong thuc hien quyen nhan co tuc dot 2 narn 2016 b~ng tien mat ty Ie 12%.

(*) eng Johan Nyvene - Thanh vlen H£lQT kiern Tong Giarn doc Gong ty co hai quoc tich: (1) quoc tich My mang ten Johan Nyvene, (2) quoc tich Viet Nam mang ten

Nguyen Ouoc Huan.Toan bOso co phieu HGM hien eng Johan Nyvene dang nam gifr thuoc tai khoan ch(J'ngkhoan mang ten Nguyen Oucc Huan.

2. Giao dich cua ngU'6'inoi bo va ngU'6'ico lien quan doi voi co phleu cua conq ty niem yet

,.

SIT Ngu>aithlfc hi~n giao djch .. '" Quan h~ vai ngu>ainQi bQ So co phieu sa hiPu dciu ky So co phieu sa hiPu cuoi ky ly do tang, giam (mua, ban,So co phieu 'Tyle So co phleu Tyle chuytm do;, thwng ...)

£lang ky ban 100.000 cp tlingay 02/06/2017 den het ngay29/06/2017. Nhunq chi ban

To chuc lien quan den ngU'6'i 31.230 co phieu do gia chua01 Gong ty GP Gong HU'ang noi bo eng Pham Nqhiern 481.672 0,37 450.442 0,35 phu hop,

Xuan Betic- Thanh vien Hf)QT £lang ky ban 200.000 cp tlingay 12/07/2017 den het ngay11/08/2017. NhU'ng chU'a ban

450.442 0,35 450.442 0,35 dU'Q'cdo gia chU'aphu hQ'p.£lang ky ban 50.000 cp tlingay 02/06/2017 den het ngay29/06/2017. NhU'ng chi ban10.000 co phieu do gia chU'a

02 eng Phc;lmNghiem Xuan Betic Thanh vien Hf)QT 300.000 0,23 290.000 0,22 phu hQ'p.£lang ky ban 150.000 cp tlingay 12/07/2017 den het ngay11/08/2017. NhU'ng chU'a ban

290.000 0,22 290.000 0,22 dU'Q'cdo gia chU'aphu hQ'p.

21

VII. cac van d~ can hru y khac:

Phat hanh 2.500.000 c6 phi~u theo chuonq trinh il,l'achon cho ngU'ai lao dong trong Cong ty.

22

ANH HUONG TICH ClIC