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CONG TYCPCHlrNG KHOANstatic2.vietstock.vn/data/HOSE/2013/BCTHQT/VN/NAM/... · Thanh vien Hf)QT, Ph6 Mua cp pMt hanh 2 Nguyen TGf),NgU'6'i 15.747.968 4,466% 15.771.968 4,46% cho nhan

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Page 1: CONG TYCPCHlrNG KHOANstatic2.vietstock.vn/data/HOSE/2013/BCTHQT/VN/NAM/... · Thanh vien Hf)QT, Ph6 Mua cp pMt hanh 2 Nguyen TGf),NgU'6'i 15.747.968 4,466% 15.771.968 4,46% cho nhan
Page 2: CONG TYCPCHlrNG KHOANstatic2.vietstock.vn/data/HOSE/2013/BCTHQT/VN/NAM/... · Thanh vien Hf)QT, Ph6 Mua cp pMt hanh 2 Nguyen TGf),NgU'6'i 15.747.968 4,466% 15.771.968 4,46% cho nhan

CONG TY CP CHlrNG KHOAN sAl GON

So: 74/2014/BC-H8QT

CQNG HOA XA HQI CHU NGHIA VI~T NAM80c I~p - Tl,I' do - Hc;mhphuc

TP. HCM, ngay 23 thang 01 nam 2014

Kinh gut

sAo cAo TiNH HiNH QUAN TR! CONG TY(nam 2013)

- Uy ban ChCPngkhoan Nha nwae- Sa Giao djeh ChCPngkhoan TP. H6 Chi Minh- Sa Giao djeh ChCPngkhoan Ha NQi

Ten cong ty d<;3ichung: CONG TY CP CHlrNG KHoAN sAl GON8ia chi tn,! sO'chinh: 72 Nguyen HU$, Qui;ln 1, TP. H6 Chi Minh8i$n tho<;3i: (08) 38242897 Fax: (08) 38242997 Email: [email protected] dieu 1$:3.537.949.420.000 d6ngMa chLrng khoan: SSI

I. HOi;ltdQng ella HQi d6ng quan tr! (nam 2013):

1. Cac cuoc hOp cua HOi d6ng quan tri:

Stt Thanh vien HDQT ChCPevlJ S6 bu6i hQp Tyl~ Ly do kh6ng tham dl!tham dw

1 Onq Nquyen Duy HU'nq Chu tich 4/4 100%

2 Ba 8am Bich Thuy Thanh viem 0/4 0% Mien nhiem ngay25/4/2013

3Ong Alistair Marshall Thanh viem 4/4 100%Bulloch

4 Ba Phan Thi Thanh Binh Thanh vien 3/4 75% 8U'Q'c bau ngay25/4/2013

5 Ong Nqo Van 8iem Thanh vien 4/4 100%6 Onq Bui Quanq Nqhiem Thanh vien 4/4 100%7 Onq Nquyen Honq Nam Thanh vien 4/4 100%

8 Ong Masami Tada Thanh vien 1/4 25% Mien nhiem ngay25/4/2013

9 Ong Tatsuo Akuzawa Thanh vien 3/4 75% 8U'Q'c bau ngay25/4/2013

2. HO<;3tdong giam sat cua H8QT doi v6'i T6ng Giam doc:

Chi d<;3ova giam sat vi$c thl,l'c hi$n phat hanh c6 phieu theo chU'O'ng trinh Il,I'a chon cho

nhan vien thang 01/2013 theo NQ so 01/2012/NQ-8H8C8 clla 8H8C8 va NQ so

03/2012/NQ-H8QT ngay 08/10/2012 cua H8QT. Cong ty da phat hanh thanh cong

1.183.200 c6 phieu theo chU'O'ng trinh tren.

Trien khai cac cong vi$c lien quan dEm t6 chLrC8<;3ihoi d6ng c6 dong nam 2013 vao ngay

25/4/2013 t<;3iThanh phD H6 Chi Minh, trong tam la ke hO<;3chkinh doanh nam 2013.

T6 chLrc cuoc gc;ipmc;it hc1ngnam toan the nhan vien SSI vao ngay 20/4/2013 t<;3i8a N~ng

nhc1m tang cU'6'ng Sl,l' doan ket, hieu biet Ian nhau giCfa cac nhan vien SSI tren toan h$

thong, t<;lOthem dOng Il,I'cthl,l'c hi(m ke hO<;lchkinh doanh 2013.Trien khai h$ thong he trQ'cac san ph~m tai chinh he trQ' nha dau tU';

Page 3: CONG TYCPCHlrNG KHOANstatic2.vietstock.vn/data/HOSE/2013/BCTHQT/VN/NAM/... · Thanh vien Hf)QT, Ph6 Mua cp pMt hanh 2 Nguyen TGf),NgU'6'i 15.747.968 4,466% 15.771.968 4,46% cho nhan

Trien khai cac bien phap nhtlm thl,J'chi$n ke hOc;lChkinh doanh 2013 da dLl'qc f)Hf)Cf) phechuan song song v6'i yeu cau bao dam an toan, hc;lnche rlli ro cho cong ty va nha dau tLl';Chi dc;lOTGf) va cac bo ph$n chuyen man nghien ClJ'U,de xuat Hf)QT thanh I$p, hoanthi$n h$ thong quan trj rlli ro, kiem toan noi bO theo yeu cau clla phap lu$t doi v6'i cong tychlJ'ng khoan.Kiem diem vi$c thl,J'chi$n ke hOc;lChkinh doanh 2013L$p ke hOc;lChkinh doanh 2014

3. HOc;ltdong clla cac tieu ban thuoc HOi dong quan trj: Hf)QT chLl'a I$p cac tieu ban. Hf)QT giaocho mot thanh vie!n I$p bao h~ng thang ve hOc;ltdong clla Hf)QT, ket qua giam sat TGf) gliicac thanh vien clla Hoi dong quan trj theo f)ieu 1$clla Cong ty.

II. Cac Nghj quy~t/Quy~t djnh clla HQi dong quan tri (nam 2013):

5tt So Nghi quyet/ Quyet dinh Ngay Noi dung- Ke hOc;lChkinh doanh 2013 trinh

f)Hf)Cf) thLl'cyngnien;

01/2013/NQ-Hf)QT 18/3/2013- 5lia doi f)ieu 1$tLl'O'nglJ'ng v6'i so co1

phan m6'i phat hanh;- NOi dung cuoc hOp f)Hf)Cf) thLl'cyng

nien 2013

- Ngay chat danh sach co dong tra co tlJ'C2 17/2013/Qf)-CTHf)QT 10/7/2013 nam 2012 b~ng tien mc;'ltti 1$10% m$nh

gia va ngay chi tra.

- Chap thu$n dang ky bo sung nganh "TLI'van dau tLl' chlJ'ng khoan" cho Cong tyTNHH Quan Iy quy SSI

3 02/2013/NQ-Hf)QT 18/12/2013 - Thong qua f)ieu 1$Cong ty TNHH QuanIy Quy SSI dLl'qc slia doi theo mau dieu1$ap dl,mg cho cac cong ty quan Iy quyban hanh kem theo ThOng tLl' so212/2012/TT-BTC clla BOTai chinh

III. Thay d6i danh sach vf! ngU'O'i co lien quan clla cong ty d~i chung theo quy dinh t~i khoan34 Dif!u 6 lu~t Chwng khoan (nam 2013):

(xem danh sach dfnh kem)

IV. Giao dich clla c6 dong nQi bQ va ngU'6'i lien quan (nam 2013):

1. Danh sach co dong noi bo va ngLl'CYico lien quan(xem danh sach dinh kem)

2. Giao dich co phieu:

NgU'O'i Quan he v&i So co p~ieu 50' hwu So co phieu sO' hwu ly do tang, giam

5tt . thl!'C hi~n c6 dong nQi dau ky cu6iky (mua .• ba'),giao dich bQ So co Ty 1$ So co TYI$ chuyen doi,

phieu phieu thU'O'ng ...)Mua cp phat hanh

1 Nguyen CT Hf)QT, 186.000 0,053% 294.000 0,08% cho nhan vienDuy HLI'ng TGf) thang 1/2013

2

~Q"'/CC

'HLc\,

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Thanh vienHf)QT, Ph6 Mua cp pMt hanh

2 Nguyen TGf),NgU'6'i 15.747.968 4,466% 15.771.968 4,46% cho nhan vienHong Nam dU'Q'cuy quyen thang 1/2013

cong bo thongtin

Mua cp pMt hanh

3Ngo Van Thanh vien 40.000 0,011 % 50.000 0,01% cho nhan vienf)iem Hf)QT thang 1/2013

Mua cp phat hanh

4Nguyen

TrU'6'ng BKS 115.012 0,033% 123.012 0,03% cho nhan viemVan Khai tMng 1/2013

Mua cp phat hanh

5 HaThi Thanh vien 10.168 0,003% 14.968 0,00% cho nhan vienHU'O'ngTra BKS thang 1/2013

Mua cp phat hanh

6 f)c;ing Thanh vien 16.840 0,005% 21.640 0,01% cho nhan vienPhong LU'u BKS tMng 1/2013

Mua cp phat hanh

7 Nguyen Thi Gf) Tai chinh 25.000 0,007% 39.000 0,01% cho nhan vienThanh Ha thang 1/2013

- f)ang ky ban

Hoang Thingay 17/01/2013

8 Ke toan trU'6'ng 20.200 0,006% 0 0% - Bao cao ket quaMinh Thuy giao dich ngay

28/01/2013Mua cp phat hanh

Hoang Thi Ke toan tm6'ng 0,000% 12.000 0,00% cho nhtm vien9 -

Minh Thuy thang 1/2013

- f)ang ky ban

Nguyen Em ruotngay 14/6/2013

10 14.000 0,004% 0 0% - Bao cao ket quaVan Hien TrU'6'ng BKS giao dich ngay

10/7/2013- f)ang ky ban100.000 co phieu

Nguyento' ngay 20/1 den

11 TrU'6'ng BKS 123.012 0,03% 18/02/2014Van Khai - ChU'a het th6'i

h,;m giao dich nenchU'a c6 bao cao

3. Cac giao dich khac: (cac giao dich cua co dong noi bO/co dong Ian va ngU'6'i lien quan vai chinhCong ty).

,NG.) PI~G I

\1 (TP:H=

Ben lien quan Moi quan h~

Quy dtlu tU' thanh vien SSI Cong ty con 80% s6' hO'u

Cong ty TNHH TU' v~n va f)tlu tU' NOH Vi$t NamChu tich Hoi dong quan tri SSI cOng la chu dtlu tU' von vaoCong ty TNHH

3

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Cong ty TNHH NOH Vi$t Nam Chu tieh HOi dong quan tri SSI eOng la ehu dau tU' von vaoCong ty TNHH

Cong ty TNHH Quan Iy Quy SSI Cong ty con 100% sa hCPu

Cong ty CP 8au TU' 8U'cmg M~t Tr&iCong ty nh~n von dau tU' va e6 Chu tieh H8QT la em eua Chutjeh H8QT SSI

Ngan Hang ANZ Co dong Ian va co dong ehf~n 1U'Q'e

Chu tieh HOi dong quan trj SSI eOng la ehu tieh HOi dong quantri eua PAN, Ph6 Tong Giam doc Cong ty PAN la TrU'ang San

Cong ty CP Xuyem Thai Sinh (PAN) Kiem soat eua SSI

Cae khoan ohai thu:

eong ty lien quans6 dau nam Tang trong nam Giam trong nam 56 cu6i namPhai thu Phai thu

Quy dau tU' thanh vienG6p v6n dau 1U' 312.000.000.000 - - 312.000.000.000

Gong ty TNHH NOH Vi~t NamPhi giao dich chung khoan - 467.572.463 467.572.463 -Phi ung IrU'&c liEm ban chung - 84.482.989 84.482.989 -khoanGong ty GP Dau TU' DlJ'ang M~tTraiG6p v6n dau 1U' 14.999.990.000 15.000.000.000 14.999.990.000 15.000.000.000Phi giao dich chung khoan - 498.688.292 498.688.292 -Phi ung IrU'&c li~n ban chung - 2.068.049 2.068.049 -khoanDill coc moi gi&i mua ban lrai phi~u 272.100.000.000 1.340.000.000.000 1.526.800.000.000 85.300.000.000Uii dill coc moi gi&i mua ban lrai - 52.973.402.776 52.973.402.776 -phi~uC6luc - 2.249.998.500 2.249.998.500 -Phi 1U'vfln dllu 1U'Chung Khoan - 3.000.000.000 3.000.000.000 -Gty GP Xuyen Thai SinhPhi giao dich chung khoan - 436.894.950 436.894.950 -Phi hc;rpdbng 1U'vfln - 3.201.700.000 3.201.700.000 -Gong ty TNHH Quan Iy Quy 551G6p v6n dau 1U' 30.000.000.000 - - 30.000.000.000Phi giao dich chung khoan - 1.881.438.518 1.881.438.518 -Uy lhac danh ml,JCdllu 1U' 1.548.626.503.469 279.094.635.916 181.000.000.000 1.646.721.139.385

Chuy~n Ic;rinhuan v~ cong ly me 35.395.257.020 35.395.257.020 --Thu nhaP r6ng Ill' danh ml,Jc llv lhac 119.080.079.071 106.822.723.811 17.242.090.983 208.660.711.899Ngan Hang ANZ -Ti~n gtYi clla nhcl dllu 1U' 455.315.961 901.216.521 1.293.345.084 63.187.398

Cae khoan ohai tfa:

Gong ty lien quan56 dau nam Tang trong nam Giam trong nam 56 cu6i nam

Phai tra Phai tra

Gong ty GP Dau TlJ' DlJ'ang M~tTraiHc;rplac kinh doanh 35.255.470.023 - 35.255.470.023 -Lai hc;rplac kinh doanh 429.029.173 294.043.761 723.072.934 -D(lt coc moi gi&i mua ban lrai phi~u - 1.358.855.243.879 1.357.555.243.879 1.300.000.000Lai li~n dill coc moi gi&i - 988.118.771 988.118.771 -Ti~n lhue mill b<1ng - 6.885.417 .916 6.885.417.916 -

4

~'7~,

TV:a'NHOJON--1;c-";:::::;:--

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Cong ty TNHH TIP V~n va dau tIPNDH Vi~t NamH9'P lac kinh doanh 518.584.378 - 518.584.378 -Uii h9'P lac kinh doanh 3.290.423 212.285 3.502.708 -Nh~n coc moi gi&i chung khoan - 634.582.391 634.582.391 -Lili nh~n coc moi gi&i chung khoan - 25.411.179 25.411.179 -Cong ty CP Xuyen Thai SinhLrng mua chung khoan 50.100.000.000 - - 50.100.000.000Nh~n coc moi gi&i chung khoan - 108.000.000.000 108.000.000.000 -Lili nh~n coc moi gi&i chung khoan - 1.159.799.867 1.159.799.867 -Lrng IrU'&c h9'P 06ng 1U'van - 30.000.000 - 30.000.000Chi phi lhue kho va djch Vl,l - 1.149.134.370 1.149.134.370 -Cong ty TNHH Quan Iy Quy 551Phi quim Iy danh ml,lC 1.309.625.784 19.582.923.633 17.242.090.983 3.650.458.434

v. Cae veln d~ eeln lU'u y khae (nam 2013)

i. Ngay 01/3/2013, Chll tich UBCKNN da ban hanh Gifly phep dieu chinh Gifly phep tMnh I$p vahO<;ltd(>ng cong ty chli'ng khoan so 09/GPDC-UBCK cho Cong ty CP Chli'ng khoan Sai Gon ghinh$n mli'c von dieu 1$m6'i la 3.537.949.420.000 d6ng.

ii. So 1U'<;mg,tr 1$50>hCfu c6 phi~u SSI clla m(>tso c6 dong n(>ib(>co thay d6i sau khi Cong ty phathanh c6 phi~u theo chU'O'ng trinh lila chon cho ngU'6'i lao d(>ng thang 01/2013. Cong ty da congty bo thay d6i ngay 05/3/2013.

iii. Ngay 25/4/2013, Cong ty da hOp DHDCD thU'6'ng nien nam 2013 thong qua Nghi quy~t so01/2013/NQ-DHDCD.

iv. Thay d6i so 1U'Q'ngc6 phi~u quy va so 1U'Q'ngc6 phi~u dang lU'u Mnh trong ky:+ T6ng so 1U'Q'ngc6 phi~u da pMt hanh: 353.794.942 c6 phi~u+ So 1U'Q'ngc6 phieu quy: 3.046.908 c6 phi~u+ So 1U'Q'ngc6 phi~u dang lU'u hanh: 350.748.034 c6 phi~u

Ly do thay d6i: Cong ty da mua 08 c6 phi~u SSI 10 Ie theo yeu diU clla nM dilu tU'.v. Ngay 17/6/2013, Cong ty cong bo dO'n vi kiem toan cac bao cao tai chinh nam 2013 clla Cong

ty la Cong ty TNHH Ernst & Young Vietnam, Chi nMnh Ha N(>i.vi. Ngay 25/7/2013 Cong ty chot danh sach co dong hU'o>ngco tli'c nam 2012 b<!lngtien m~t v6'i tr

1$10% m$nh gia (1.000 d6ng/co phi~u), ngay chi tra la 30/8/2013.vii. Ngay 16/8/2013, SSIVF khong can la cong ty lien ketoviii. UBCKNN chflp thu$n cho thay doi Giam doc Chi nhanh Ha N(>i va Giam doc Chi nhanh My

Dinh t<;licac Quy~t dinh so 882/QD-UBCK va Quy~t dinh so 883/QD-UBCK ngay 24/12/2013clla ChU tich UBCKNN.

5

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DANH 5AcH NGU'O'I co DONG NOI SO vA NGU'O'I co LIEN QUAN

CONG TY CP CHLrNG KHOAN 5AI GON (551)

(Kern thea Baa cao qUEm trj narn 2013 so 74/2014/BC-HDQT ngay 23/01/2014)

III. Thay d6i danh sach v~ ngU'6'i co lien quan clla c6ng ty d~i chung theo quy djnh t~i khoan 34 £)j~u 6 Lu~t Chwng khoan (Baa cao nam 2013):

rai khoanThai

NO'i Thai di€lm di€lmTen t6 chlPc/ca giao djch ChlPC Vl,I tt,ti Ngay cap cap b~t d~u la kh6ng

5TT chlPng c6ng ty 56 CMND/ £lja chi Ly donhan khoan(n~u (n~u co) £lKKD CMND/ £lKKD CMND/ ngU'ai co con la

£lKKD IiEm quan ngU'ai coco) lien quan

Thanh vien Mien nhi~m1 Masami Tada H£lQT 25/4/2013 theo dO'n tll'

nhi~m

1.1 Tada, Genji 25/4/2013 s61.2 Tada, Shima 25/4/2013 Me

1.3 Tada, Noriko 25/4/2013 VCl

1.4 Tada, Mariko 25/4/2013 Con

1.5 Tada, Keiko I 25/4/2013 Con

1.6 Tada, Hiroya 25/4/2013 Con

£lam Bich Thanh vien Mien nhi~m2 Thuy H£lQT 25/4/2013 theo dO'n tll'

nhi~m

2.1 Hoang Tran 25/4/2013 ChongDoan

2.2 Hoang Thuy 25/4/2013 ConBao Chau

2.3 £lam Trung Bao 25/4/2013 s6

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2.4 Nguyen Thi 25/4/2013 Mt;Hao

2.5 88m Thanh 25/4/2013 EmSanAustralia and

2.6 New Zealand 25/4/2013 8<;1idi$n vonBankinQ Group

DU'<?,cbau vao

Phan Thi Thanh viemHE>QTtheo NQ

3 25/4/2013 soThanh Sinh HE>QT 01/2013/NQ-

E>H8C83.1 Phan Cona Bon 25/4/2013 Bo

3.2 Va Thj Hong 25/4/2013 Mt;PhU'ana

3.3 Tran 8inh 25/4/2013 ChongTrQng

3.4 Tr{m Minh 25/4/2013 ConThanh

3.5 Tran QuyAn 25/4/2013 Con

3.6 Phan Quang 25/4/2013 EmH6aAustralia and

3.7 New Zealand 25/4/2013 8e ell'Bankina Group

DU'<?,cbau vao

Tetsuo Thanh vi emHE>QTtheo NQ

4 25/4/2013 soAkuzawa HE>QT 01/2013/NQ-

E>HE>CE>

4.1 Haruo Akuzawa 25/4/2013 Bo

4.2 Kumiko 25/4/2013V[l

Akuzawa

4.3 Masato 25/4/2013 ConAkuzawa

4.4 Yuka Akuzawa 25/4/2013 Con

4.5 Yasuo Akuzawa 25/4/2013 Anh

4.6 Norio Akuzawa 25/4/2013 Anh

4.7 Daiwa 25/4/2013 8<;1idi$n von

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SecuritiesGroup Inc.

5 Nguyen Duy Chu tiehHU'ng H£>QT,TG£>

CTCP Xuyen Ong Nguyen5.1

Thai Binh 26/4/2013 Duy HU'ng laCT H£)QT PAN

6 Nguyen Van TmOongKhcii BK5CTCP Xuat

6.1 nh~p khau thuy 04/9/2013 TV H£)QTsan Ben TreCTCP Xuat

6.2 nh~p khau thuy 03/5/2013 TV H£)QTsan An GianQ

IV. Giao dieh ella e6 d6ng ne)i be) va ngll'6'i lien quan (Sao cao nam 2013):1. Danh sach co d6ng noi bo va ngU'ai c6 lien quan

Ghirai khoan

Chlfe Vl:I t~i 56 e6 phi~u TY I~ sOo ehuTen t6 ehlfe/ea giao djeh

eong ty 56 CMND/ Ngay cc1p NO'i cc1psOohCPueu6i hCPue6 (Quan

51tnhan ehlfn.g khoan

(n~u co) £>KKD CMND/ CMNDI £>iachi ky phi~u eu6i he vO'i(neu co) £>KKD £>KKD ky lco

dongnoi bo)

1 Nguyen Duy HU'ng Chu tieh 294.000 0.08%H£>QT,TG£>

1.1 Le Tra My0 a Vq

1.2 Nguyen Duy Khanh0 0 Con

1.3 Nguyen Duy Linh 0 a Con

1.4 Nguyen Duy Kich 0 a B6

1.5 Nguyen Thj Lien 0 a Me

H

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1.6Nguyen Thj Van

0 0 EmYen

Thanh vienHDOT, Ph6

1.7 Nguyen Hong Nam TGD, NglJ'&i 15.771.968 4.46%EmdlJ'Q'cuy

quyem c6ngbo conq tin

1.8 Nguyen Mr,lnh Hung 0 0 Em

1.9 Cong ty TNHH NOH 28.705.036 8,11% Chu saVi$t Nam hfru

1.10 CTCP Xuyen Thai0 0 CT

8inh HDQTThanh vh~nHElOT, Ph6

2 Nguyen H6ng Nam TGEl, NgU'6'i 15.771.968 4,46%dU'9:c uyql;ly{m c6ngb6 c6ng tin

2.1Hi! Thj Thanh Van 2.476.020 VqNguyen Hi! Linh

2.2 Dan 0 0 Con

Nguyen Hi! Khanh2.3 Linh 0 0 Con

2.4 Nguyen Ouy Kich 0 0 86

2.5 Nguyen Thi Lien 0 0 M~

2.6 Nguyen Ouy HlJ'ng Chu lich 294.000 0,08%AnhHDQT, TGD

2.7 Nguyen Thi Van 0 0ChjYen

2.8 Nguyen Mr,lnh Hung 0 0 Em

Thanh vi€m50.000 0,01%3 Ng6 Van Eli~m HElQT

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3.1 TCrThi Minh Ly 0 0 Vq

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