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CONG HOA XA H0I CHU NGHIA VIET NAM Doc lap - Tu do - Hanh phuc

THE SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness

Ha Noi, ngay 03 thdng 12 ndm 2018 ......., day ... month ... year......

BAO CAO KET QUA GIAO DICH CO PHIEU/CHUNG CHI QUY CUA NGUOI N0I BQ CUA CONG TY DAI CHUNG, NGUOI N0I BO CUA QUY DAI CHUNG VA

NGU0I CO LIEN QUAN CUA NGUOI N0I B0 REPORT ON RESULTS OF TRANSACTION IN SHARES/FUND CERTIFICA TES OF

INTERNAL PERSON OF PUBLIC COMPANY, INTERNAL PERSON OF PUBLIC FUND AND RE LA TED PERSONS OF INTERNAL PERSON

Ki'nh gui: - Uy ban Chung khoan Nha nude- So Giao dich chung khoan Ha Noi- Cong ty Co phan Dau tu va Xay dung so 4

To: - The State Securities Commission- The Stock Exchange- The public company/ The fund management company

1. Thong tin ve ca nhan/to chuc thirc hien giao dich/ Information on individual/ organization:

- Ho va ten ca nhan/Ten to chuc/ Name o f individual/organization: CONG TY CO PHANd Au t u ' bAt d o n g s An t a s e c o .

- Quoc ticli/ Nationality: Viet Nam.

- So CMND, Ho chieu, The can cuac (doi vai ca nhan) hoac So Giay chung nhan dang ky doanh nghiep, Giay phep hoat dong hoac giay to phap ly tuong duong (doi vai to chuc), ngay cap, nai cap/ ID card/Passport No. (in case o f individual) or Certificate o f business registration No. (in case o f organization), date o f issue, place o f issue:

- Bia chi tru so chinh/ Address:

- Dien thoai/ Telephone: Fax: Email: Website:

- Chuc vu hien nay tai cong ty dai chung, cong ty quan ly quy (neu co) hoac moi quan he voi cong ty dai chung, cong ty quan ly quy/ Current position in the public company, the fund management company (if any) or relationship with the public company, the fund management company: Co dong lbn.

2. Thong tin ve ngudi noi bo cua cong ty dai chung/quy dai chung la ngudi co lien quan ciia ca nhan/to chuc thuc hien giao dich (doi vai trudng hap ngudi thuc hien giao dich la ngudi co lien quan cua ngudi noi bo cua cong ty dai chung/quy dai chung)/ Information about internal person o f the public company/public fund is related person o f trading individual/organization (in case trader is related person o f internal person o f the public company/public fund):

a.Ho va ten ca nhan: Cong ty Co phan Djch vu Hang khong Thang Long.

- Quoc tich: Viet Nam.

- S6 CMND, Ho chibu, The can cube (doi voi ca nhan) hoac So Giay chung nhan dang ky doanh nghiep, Gidy phep hoat dong hoac giay to phap ly tuong duong (doi voi to chirc), ngay cap, noi cdp / ID card/Passport No. (in case o f individual) or Certificate o f business registration No. or relevant legal documents (in case o f organization), date o f issue, place o f issue:

- Bia chi tru so:

- Bien thoai:

- Chirc vu hien nay tai cong ty dai chung: Co dong Ion.

- Moi quan he giua ca nhan/to chirc thuc hien giao dich voi ngudi noi bo/ Relationship o f individual/organization executing transaction with internal person: Cong ty me.

- So luong, ty le co phieu/chung chi quy ma ngudi noi bo dang nam giu (neu co)/ Number, ownership proportion o f shares held by the internal (if any): so luong 6.016.182 co phieu, ty le: 37,60%.

b. Ho va ten ca nhan: Vu Quoc Mien

- Quoc tich: Viet Nam.

- So CMNB:

- Bia chi thudng tru:

- Bien thoai:

- Chirc vu hien nay tai cong ty dai chung: Truong Ban kiem soat.

- Moi quan he giira ca nhan/to chuc thuc hien giao dich voi ngudi noi bo/ Relationship of individual/organization executing transaction with internal person: Ke toan trudng.

- So luong, ty le co phieu/chung chi quy ma ngudi noi bo dang nam giu (neu co)/ Number, ownership proportion o f shares held by the internal (if any): 0 co phieu, chiem 0%.

3. Ma chirng khoan giao dich/ Securities code: CC4.

4. Cac tai khoan giao djch co co phieu/chung chi quy neu tai muc 3/Trading account numberwith shares/fund certificates mentioned above:................... tai cong ty chung khoan/ Insecurities company: 044C882688 tai Cong ty Co phan Chung khoan Tan Viet.

5. So luong, ty le co phieu/chirng chi quy nam giu' trudc khi thuc hien giao djch/ Number, ownership proportion o f shares/fund certificates held before transaction: so luong 920.636 co phieu, ty le: 5,75%.

6. So luong co phieu dang ky mua/ Number o f shares/fund certificates registered to purchase/ sale/give/ be given/ donate/ be donated /inherit/ transfer/ transferred: 1.959.364 co phieu.

7. So luong co phieu/chung chi quy da giao dich (mua/ban/cho/duoc cho/tang/duoc tang/thira ke/chuyen nhuong/nhan chuyen nhuong/hoan doi) **/ Number o f shares/fund certificates traded (purchase/ sale/ give/ be given/ donate/ be donated /inherit/ transfer/ transferred/swap): 1.959.364 co phieu.

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8. So luong, ty le co phieu/chung chi quy nam giu sau khi thuc hien giao djch/ Number, ownership proportion o f shares/fund certificates held after executing transaction: S6 lu ong 2.880.000 co phieu, ty le: 18%.

9. Phirong thuc giao djch/ Mode o f transaction: thoa thuan va khdp lenh

10. Thdi gian thuc hien giao djch/ Transaction period: 30/11/2018

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CA NHAN/TO CHUG BAO CAO/NGUGl Dl/OC UY QUYEN CONG BO THONG TIN

NAME OF REPORTING ORGANIZATION/ INDIVIDUAL/PERSONS AUTHORIZED TO DISCLOSE

INFORMATION(Ky, ghi ro ho ten, dong dau - neu co)

(Signature, full name and seal - in case o f organizationKjy~