SO:..;\S. ... ./2016/BCQT-HDQT

CQNG HCA xA HQI CHU NGHiA VI~T NAMf>Qe I~p - T'1 do - Hanh phuc

Tp.Ho ChiMinh, ngayJ~thdng'1"'nam 2016

BAo cAo TiNH HiNH QUAN TRI CONG TV NIEM VET06 thang nam 2016

Kfnh gui: - Uy ban Chung khoan Nha nuoc- 56' Giao dich Chung khoan

Ten cong ty

Tru 56' chfnh

Di~n thoal

Von dieu I~

Ma chung khoan

CONG TY c6 PHAN CHaNG KHoAN R6NG VI~T (VDSC)Tang 1-2-3-4Toa nha Viet Dragon, 141Nguyen Du, Phuong BenThanh,Qu~n 1,TP.HCM.08.6.299.2006

700.000.000.000dong

VD5

I. Hoat ctc}ng ella f)~ihQi ctong co ctong

Thong tin ve cac cuoc hop va Nghi quyet/Quyet dlnh ellaDai h(>idong co dong (bao gam cacac Nqh] quyet cua D~i h(>idong co dong dugc thong qua dUai hlnh thuc lay y kien bang van ban)

Nghi quyet 01/2016/NQ-DHDCD 26/4/2015

5tt. So Nqh] quyet/ Quyet dinhNgay N(>idung

Dai h(>i co dong thuong nien thongqua m(>tso n(>idung lien quan:

- Baocao hoat d(>ngnarn- Baocao tal chfnh da dtrcc kiem

toan narn 2015.- Phan phoi Igi nhuan va su

dl,lng thanq du von co phan dexu Iy 16 luy ke trong nam 2015.

- Ke ho~ch phan phoi Igi nhu~nnam 2016.

- ChQndOnvi kiem toan Baocaotai chfnh nam 2016.

- Thu lao H(>idong quan tri, BanKiem soat nam 2015 va keho~ch thu lao nam 2016.

- Suadoi Dieu I~ to chue va ho~td(>ngeuaCong ty.

- Ke ho~ch chuyen niem yet cophieu tU 56' giao dich chungkhoan Ha N(>i (HNX) sang 56'

giao dlch chung khoan Ho ChlMinh (H5X).

- Tang ty I~ so hQu cua nha dautv nuoc nqoai cua Cong ty lenrmrc 100%.

- Phvong an phat hanh co phantang von dieu I~narn 2016.

II. HQi dong quan tr!:

1. Thong tin ve thanh vien H9i dong quan trio

5TT Thanh vic!n H£)QT Chucv,:, Ngay bat 50buoi Tyl~ Lydodau/khong hep tham tham dl! khong

con lit dl! (*) tham dl!thanh viE!n

H£)QT

1 Gng Tran L~Nguyen Chu tich 9/9 100%

2 Gng Nguyen Mien Tuan Ph6 Chu 9/9 100%tlch

3 Gng Nguyen Thuc Vinh Thanh 9/9 100%vien

4 Gng KellyYin Hon Wong Thanh 9/9 100%vien

5 Gng Ton That Dien Khoa Thanh 9/9 100%vlen

6 BaNguyen NQTvang Thanh 7/9 78%B~neong

Oanh vientac

7 Onq Nguyen Hieu Thanh 9/9 100%vien

(

(*) Baogom hlnh thuc lay '1 kien bang van ban

2. Hoat d9n9 qiarn sat cua H9i dong quan tri doi vai BanTong qiam doc: H9i dong quan tr] thvangxuyen giam sat hoat d9n9 cua Ban Tong qiarn doc nharn dam bao hoat d9n9 cua Cong ty dathi~u qua va dung phap luat, dong thai H9i dong quan tr] cling luon theo dol vi~e thl.!ehi~n caeNgh! quyet euaD~i h9i dong co dong va H9i dong quan tri·

3. Ho~t d9n9 euacae tieu ban thuge H9i dong quan tr!:

Tieu ban nhan 51.! Ivong thvong: thVang xuyen he)tr<;1HDQTtrong vi~e de b~t,bo nhi~mnhan 51.! quan 1'1Cong ty.

Tieu ban Quan tr! rui ro: he)tr<;1HDQT trong eong tae quan tr! rui ro, dam bao hOC,ltd9n9euaCong ty an toan, hi~u qua va tuan thu caequy d!nh.

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4. Cac nqh] quyet cua H¢i dong quan trio

Trang 6 thanq dau narn 2016, HQidong quan tr] da ban hanh cacnqh] quyet va quyet dinh sau:

STT So nghi quyet Ngay Ne,;i dung

1 Nqh] quyet 01/2016/NQ-HDQT 14/01/2016 - Thong qua baa cao hoat dQng narn 2015vadinh huang xay dl,(ng ke hoach narn 2016

- Thong qua su dunq th~ng du v6n de x6a 16lay ke

2 Nghi quyet 02/2016/NQ-HDQT 20101/2016 - Thong qua thay doi dia diem Chi nhanh CanTho

3 Nghi quyet 03/2016/NQ-HDQT 20/01/2016 - Thong qua sira doi diE~uI~

4 Nqh] quyet 04/2016/NQ-HDQT 10/03/2016 - Thong qua ke hoach to chuc Dai hQi codong thuang nien 2015

5 Nghi quyet OS/2016/NQ-HDQT 10/03/2016 - Thong qua baa cao heat dQng kinh doanh 2thanq dau narn 2016 va ke hoach kinhdoanh thanq 3/2016

- Thong qua nQi dung chuang trlnh to chucDal hQidong co dong thuang nien 2015

6 Nqh] quyet 06/2016/NQ-HDQT 14/03/2016 - Thong qua phat hanh trai phieu doanhnghi~p narn 2016

7 Nghi quyet 07/2016/NQ-HDQT 07/04/2016 - Thong qua nQi dung, tal li~u h9P Dal h¢idong co dong thuonq nien 2015

8 Nghi quyet 08/2016/NQ-HDQT 01/06/2016 - Thong qua phat hanh trai phieu doanhnghi~p Ian 2 nam 2016

9 Nghi quyet 09/2016/NQ-HDQT 27/6/2016 - Thong qua vi~c mua li;litrai phieu trUochi;ln

10 Nghi quyet 10/2016/NQ-HDQT 29/6/2016 - Thong qua vi~c Il,(ach9n dan vi kiem toanbaa cao tai chfnh

III. Ban kiem soat1.Thong tin ve thanh vien Ban Kiem soat (BK5):

5tt Thanh vien BK5 Chuc Ngay b~h 56 buoi TY I~tham Ly do khongVl,l dau/khong h9PBK5 dl,(h9P tham dVh9P

con la thanh tham dl,(vien BK5

BaNguyen Thi Oanh TrU6'ng 2/2 100%BK5

Ong Nguyen Van Minh Thanh 2/2 100%vien

Ong Daa Cong Thang Thanh 1/2 50% B~ncong tacvien

BaNguyen Thi Thuy Thanh 212 100%Hang vien

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2. HOC;ltd¢ng giam sat cua BK5 doi vot HDQT, Ban Glarn doc dieu hanh va co dong: tham giacac cuoc hop cua Dai h¢i co dong va HDQTva thuc hien vai tro qiarn sat ve heat d¢ng quan trl cuaHDQTva ban dieu hanh.

3. 51,(phol hop heat d¢ng giua BKSdoi vai hoat d¢ng ella HDQT,Ban Giam doc dieu hanh vacac can b¢ quan Iy khac: thuong xuyen g6p y cho HDQTva Bandieu hanh trong heat d¢ng quan tr]dieu hanh Cong ty tal cac cuoc hop cua HDQTva hop cong ty.

IV. ailo tao ve quan tr] eong tyCackh6a dao tao ve quan tr] cong ty rna cac thanh vien HDQT,thanh vien BKS,Tong Giamdoc,

cac can b¢ quan Iy khac va Thu ky cong ty da tham gia theo quy dlnh ve quan trl cong ty: tham gia cacbuoi tQadam, h¢i thao chuyen nganh de nang cao nang Il,(cquan trl·

v. Danh saeh ve ngU'ai co lien quan eua eong ty niem yet thea quy ctinh ti(li khoan 34 f>iI!u 6Lu~t Chung khoan (Bao eao 6 thang/nam) vii giao dieh eua ngU'ai co lien quan eua eong ty voiehinh Cong ty.

1. Danh sach ve nguoi c6 lien quan clla cong ty. (Phl,lll,lcdfnh kern)

2. Giao dlch giua cong ty vai ngUoi c6 lien quan clla cong ty; ho~c giua cong ty vai co dong Ian,nguoi n¢i b¢, ngl10i c6 lien quan cua nguoi n¢i b¢.

sn Ten to Moi quan SoGiay Dla chi Thoidiem SoNghl So Ghichuc/ca h~ lien NSH*, trl,l so giaodlch quyetl luqng, chunhan quan vai ngay chfnhl vai cong ty Quyet ty I~

ceng ty cap, noi Dla chi dlnh clla nam giu'" lien h~ DHDCDI "cap co

HDQT... phieuthong qua sau khi(neu c6, giaoneu ro dlch

ngay banhanh))

Ghi ehr1/Note: 56 Giay N5H*: 56 CMNDIH¢ ehieu (d6i vai cd nMn) h0ge 56 GCN dang ky doanhnghi~p, Giay phep hoqt d¢ng ho(lc giay to phdp Iy wong Duong (doi vai to chue)/ N5H*:

3. Giao dlch giua nguoi n¢i b(>cong ty niem yet, ngUoi c6 lien quan clla nguoi n(>ib(>vai congty con, ceng ty do ceng ty niem yet nam quyen kiem soat: kheng phat sinh

4. Giao dlch giua ceng ty v~i cacdoi tuqng khac: kheng phat sinh.

4.1. Giao dlch giua cong ty vai cong ty rna thanh vien HDQT,thanh vien Ban Kiem soat,Giamdoc (Tong Giam doc) dieu hanh da va dang la thanh vien sang I~p ho~c thanh vien HDQT,Giam doc(Tong Giam doc) dieu hanh trong thai gian ba (03) nam tro lC;liday (tfnh tC;lithoi diem I~p bao cao).

4.2. Giao dlch giua ceng ty vai ceng ty rna nguai c6 lien quan clla thanh vien HDQT,thanh vienBan Kiem soat, Giam doc (Tong Giam doc) dieu hanh la thanh vien HDQT,Giam doc (Tong Giam doc)dieu hanh.

4.3. Cac giao dlch khac clla eeng ty (neu c6) c6 the mang lC;liIqi fch v~t chat ho~c phi v~t chatdoi vai thanh vi en HDQT,thanh vien BanKiem soat, Giam doc (TongGiamdoc) dieu hanh.

VI. Giao djeh co phieu eua ngu'ai ne}ibe}vii ngu'ai lien quan eua ngU'ai ne}ibe}.1.Danh sach ngUoi n(>ib(>va ngL10ic6 lien quan clla nguoi n(>ib(>.(Phl,lll,lcdfnh kem)

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2. Giao dlch cua ngu'ai n(>i b(>va ngl1ai c6 lien quan a6i vai co phieu cua ceng ty nlern yet.

stt Ngl1ai thuc Quan h~ 56 co phleu so hCtu 56 co phleu so hCtu Ly do tang, giam

No. hlen giao vai ngl1ai aau ky cu6i ky (mua, ban,

dlch n(>ib(> chuyen aOi,

56 co TYI~ 56 co TYI~e thl1ong...)

phleu phleu

VII. Cae van de can hiu y khae: khong e6

I/'

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11

R.'

5

t·

PHT} LT}C 1

DANH SACH CO DONG NQI BQ vA NGUCH co LIEN QUAN

Tili khoan Chucvl,lt~i So co Tyl~sC:JStt Ten to chuc/ca nhan giaod!ch cong SoCMNDI Ngaycap No'i cap f>!a chi phieu sC:J huuco

chUng ty/Moi f>KKD CMNDI CMNDI huucuoi phieukhoan (neu quan h~ f>KKD f>KKD IcY cuoi ky

co)

1 Tran L~ NguyenChu tich 24.500.000 35,00%H8QT

Vl1dng Nqoc Xiem VC!

Tran Tuyet Nhi Can

Tran Tuyet Van Can

Tran Vi Lam Can

Tran Kim Thanh Anh

Tran Vinh Nguyen Anh

Tran Quae Nguyen Em

Ph6 Chu 567.100 1,621%2 Nguyen Mien Tuan tich H8QT

Nguyen Mien Tam Cha

BuiThl Em ME;!

Nguyen Thanh Loan VC!

6

Nguyen Mien Tuan Minh Can

Nguyen Mien Ha Minh Can

Nguyen Mien Tien Em

Thanh vien 33.920 0,097%HDQT

3 Nguyen Hieu kiemTongqiarn doc

Nguyen Thi Cha

Pham Th] Huang M~

Nguyen Th] Hong Ch!

Nguyen Th]Dao Ch!

Nguyen Man Anh

Nguyen Th! Thu Ch!

Nguyen Th] Thuy Ch!

Nguyen Th] Oanh Ch!

Nguyen Th] Yen Ch!

Nguyen Th] Chau Vej

Nguyen Tri Dung Can

7

II.'D , -- r-- _ :7 \ ......I

4 Kelly Yin Hon WongThanh vien

HDQT

PakTong Wong Cha

Leung Carrie M~

Tnronq Thi Huonq Vq

Wong Mai Wai Yin Can

Wong Marcus Vinh CanPhong

5 Nguyen Thuc VinhThanh vien 31.800 0,091%

HDQT

Nguyen Thi Yen M~

Nguyen Th! Thanh Truc Ch!

Nguyen Thuc Khoi Anh

Nguyen Th] Doan Trinh Ch!

Nguyen Th] Thuy Nga vq

Nguyen Thuc Nghi Can

Nguyen Thao Nghi Can

6 Ton That Dien Khoa Thanh vien 5.300 0,015%HDQT

Ton That Nqoan Cha

PharnThi Dien M~

Ton Nu Khoa Baa Em

Ton That Baa Hung Em

8

1,_, - r',

Phung Nqoc Bfeh Van VCj

Ton Nu Nqoc Nga Can

7Nguyen Nu Tu'itng Thanh vienOanh HDQT

Nguyen Van Thir Cha

Doan Thi Bfch Hanh M~

Tnronq Due Hieu Chong

Nguyen Th] True Linh Em

8 Nguyen Thi Oanh Tnronq BKS

Nguyen Tan Cha

Nguyen Th] Hoa M~

Ngo Thanh Nhan Chong

Ngo Ouynh Nhu Can

Ngo Minh Nhat Can

Trlidng Ban5.000 0,015%

9 Nguyen Van Minh kiem soat

Tran Thi Chau M~

Do Th! Tuyet VCj

Thanh vien 4.770 0,014%

10 flao (ong Thang Ban kiemscat

9

- ,,"'._

Nguyen Thi Hong Le M~

Dao C6ng f)U'O'ng Anh

Dao C6ng Minh Anh

Nguyen Thi Lan Anh Vrj

Dao Nguyen Anh ThU' Can

11 Nguyen Thi Thuy H~ngThanh vien

BKS

f)o Th! MU'ai M~

Nguyen Thi Thuy Nga Ch!

Nguyen Van SO'n Anh

Nguyen Tuan Hoang Anh

Nguyen Quy Ha Anh

Nguyen Th] NhU'Y Ch!

Nguyen Ouy f)~i Chong

Nguyen Bqi Nhi Can

Nguyen Thao Nhlen Can

Ph6Tong5.300 0,015%

12 Nguyen Minh Nh~ qiam doc

Nguyen Minh Khai Bo

10

Huynh Thl 59 ME;!

Nguyen Thl Thu Song Chi

Nguyen Thl Thu Thanh Chi

Nguyen Th] Thu Nguy~t Chi

Nguyen Thi Thu Chung Em

Nguyen Th] Thu Thuy Em

Va Th] Kieu Linh Vq

Nguyen Minh Tri Con

Nguyen Trung Tin Con

11

. -._ ',--~ ...:::: ,,_.

13 Nguyen Chi TrungPho Tdnq

80.064 0,21%

qlam doc

Nguyen Chi Chi Cha

LeThi Dong M~

Nguyen Th] PhuonqThao

Em

Thai Yen Hi! Vc::j

Nguyen Thai KhueTu Can

Nguyen Thai Minh Tu Can

Giamdoe

14 LeMinh HienTai chinh

47.700 0,13%

kiern Ketoan Truong

LeMinh Due Cha

Tran LeVien M~

LeMinh Dao Anh

12

Le Hoang Yen Chi

Le Minh Hanh Em

Duonq Th] Ngqc Tam VC!

Le Ngqc Thuc Doan Can

Le Lan Chi Can

15Ngan hang TMCPXuat C6 dong Ion 3.800.000 5,43%nhap khau Vi~t Nam

16 Conq ty TNHH MTVDau C6 dong Ion 10.520.013 15,03%tir Chau APham My Linh cs dong Ion 9.595.299

13,7%17

13