PLs-TTIssm-BTCCQNG HOA xA HQI CHU NGHiA VI~T NAM

DQc l~p- T1)'do - H~nh pIlllcUBNDTiNH HA TINH

CONG TV CP CA.pNU6'C HA TINH

s6: lot IBC-HDQT Ha Tlnh, ngay ./,1/ thang 01 ndm 2017

BAOCAOTINH HINH QUAN TRJ CONG TV NIEM YET NA.M 2016

Kfnl1 giri:- Uy ban Chung khoan Nha mroc.- So' giao dich chung khoan Ha NQi.

- Ten cong ty niem yet: Cong ty c6 phan C~p mroc Ha TInh.- Dia chi: s6 01, duong Nguyen H02mh TLl',thanh ph6 Ha TInh, tinh Ha TInh.- se dien thoai: (84-39) 3685 868.- s6 fax: (84-39) 3886 680.- Email: Capnuochatinh@Jgm.ail.com- Website: www.capnuochatinh.vn- V6n di6u 19: 204.008.930.000 d6ng- Ma Chung k11021n:HTW1. Hoat dQng cua Dai hQi d6ng eB dong:

B<;1ihoi dong c6 dong thuong nien Cong ty c6 phan C~p mroc Ha TInh nam2016 duoc t6 clnrc van ngay 29/4/2016 thea dung quy dinh, thea do cac noi dungda duoc thong qua:

- Bao cao k~t qua hoat dong SXKD nam 2015, K@hoach SXKD nam 2016.- Bao cao cong tac cua HDQT nam 2015, k@hoach hoat dong nam 2016.- BaD cao CtW Ban ki~1l1 scat vS viec ki~m tra giam sat nam 2015, k@h00.ch

hO<;1tdQng nam 20] 6.

- To trinh h,ra chQn dun vi ki~m toan BCTC 2016.

- To trinh Sl!'a d6i, b6 sung DiSu 19 T6ng cong ty thea Lu~t Doanh nghi~p 2014- TO-t1'inh phan ph6i lQ'inhu~n nam 2015.- To' tl'lnh 111Ll'C thLl lao cho HDQT, BKS nam 2016.II. Ho~t dQng eua HQi d6ng quan trj (Bao cao nam 2016):1. Cac cu(>c IH?p eiia I-I(>iclang quan tri (HDQT):HQi a6ng quan tri ail co 9 phien hQP dinh kY trong nam 20 16 nh~m ta~g cU<lng

cong ta.c qU,an tri, chi a0.oo Trong cac, phien hQp, cac thanh vien thatD; gia ~ay au, vam90iBan Idem soat tham dllo Cac quyet ainh thong gua t<;1iphien hQp aeu thong nhat ykien 100% cua cac tbanh vien tham dv, aam bao chat lUQ'ng, nQi dung.

Ly do

STT. Thanh vien HDQT Chtrc VI,IS6 bu6i IH;>p

T5' I~ %khong

tham dl,l' tham dl,l'hQp

1 Ong ve Ngoc Vinh Chu tich HDQT -9/9 100%Giam d6c

2 Ong Pham Quang San Uy vien HDQT -9/9 100%Ph6 Giam d6c

3 Ong Trfrn Van H6a Uy vien HDQT -9/9 100%Ph6 Giam d6c

4 Ba Trfrn Thi Kim Oanh Uy vien HDQT -9/9 100%K~ toan truong

5 Ong Nguyen HQu Hanh Uy vien HDQT -9/9 100%Chu tich CD

2. Hoat dQng giam sat cua HDQT d6i vo'i Ban giarn d6c:

Can ctr vao quyen han va nhiern V1,1ella HQi dong quan tri va Ban giam d6cduoc quy dinh tai Di~u l~ cong ty, HDQT eta thuc hien cong tac giam sat d6i voi Bangiam d6c nhu sau:

- Chi dao Ban giarn d6c T6ng k~t heat dong SXKD narn 2015 oS xay dung,trinh HDQT phe duyet k~ hoach nam 2016,

- Tap trung chi dao, trien khai k~ hoach theo nghi quyet, quy~t Ginh CttaHDQT va DHDCD, dong thai giam sat thucmg xuyen va ho t1'Q'kip thai cho Ban dieuhanh. Tham gia cac cUQc hQP giao ban cong ty oS co Sl)' chi d?o sat sao, kip thai

- Ki~n toan nhan Sl,f, t6 chuc bQ may, GaOt?O nang cao nang Ivc, k9 nang quantri; phan cong nhi~m V\l cho cac thclnh vi en HDQT, ban di~u hanh phil hQP vai tinhhinh va lo~i hinh doanh nghi~p c6 ph~n nh~m nang cao nang Ivc qUEmtri Gi~u hanh,kiSm soat danh gia tinh hinh, muc oQ h03n thanh nhi~m V1,1Ctla can bQ thong qua k~tqua thvc hi~n t?i dm;. vi; dua ra cac giai ph~p phLl hqp v6i hoan canh, thao go' kh9khan, on dinh s?m xuat, t~p trung th1,1'chi~n kS ho~ch SXKD da GUQ'cD~i hQi dong codong thong qua. Thvc hi~n m~nh me, quy@t li~t giai phap xi~t cb~t quan ly, ti~t giamt6i da chi phi san xu~t, d~u tU' rna rQng SXKD dS nang cao da'i s6ng, bao dam vi~clam thu nh~p cho ngU'ai lao oQng

4. Ho~t dQng clla cac ti~u ban thuQc HQi d6ng qmln tri:HQi d6ng quan tri khong thanh l~p cac ti@uban.III. Cac Nghi quy~t, Quy~t dinh Clla HQi d6ng quan tf!:

STT s6 NQ/QD Ngay No! dung----------------1

Th6ng nh~t chu trU'O'ngl~pbao cao dfru tu DlJ an dp1 01INQ-HDQT 05/0112016 nuac D6 thi Ky D6ng. Danh gia k~t qua hO<;1tdong

SXKD nam 2015.

2 02INQ-HDQT 26/02/2016 Phe duyet k~ hoach SXKD va k~ hoach d~u tu nam2016.

Th6ng nhat cac noi dung v€ viec t6 chirc Dai hoi I

3 03/QD-HDQT 1114/2016 dong cb dong thuong nien nam 2016 va cong tac b6nhiern lai Can bo ..

4 04IQD-HDQT 25/05/2016 Tri~n khai Nghi quyet Dai hoi d6ng c6 dong thirongnien nam 2016.

Th6ng nh~t thai gian ban giao Tai san Cong ty

5 05/Q8-HDQT 27/6/2016TNHH sang Cong ty C6 phan.

Thay dbi gi~y chirng nhan Dang ky kinh doanh theaV6n di€u l~ moi.

Thong qua viec thirc hien dang kY giao dich c6 phieuIcua Cong ty c6 phan C~p mroc Ha Tinh tren thi6 06/QD- HDQT 20/8/2016 truong UPCOM (Thi truong giao dich chtmg khoan

cua C6ng ty dai chung chua niem yet).

- Cong tac SXKD 9 thang nam 2016 va k€ hoaeh quy7 07/QD-HDQT 11/10/2016 4/2016

- Cong tac c~p nuoc an toan va nhan Sl,l'nal112016

- C6ng tac ra soM b6 sung cac chuc danh nhi~l11ky2015-2020 va quy hoach can b6 giai doan 2020-2025 ~v--

8 08/Q8-HDQT 15111/2016 . .• 00101 S

- Th6ng nh~t phuung an xay dl,l'ngthang lUO'l1g,bangCiuung eong ty thea ND 49/2013 ~Ci PHA

\ APNUI

9 09IQD-H8QT 30/1112016 Cong tac SXKD 11 thang nal112016, DlJ ki€n k€t qua HATiNSXKD nal112016 va k€ ho~ch SXKD nal112017. ~~

~~._ .'..~-..:.:IV. Ban ki~m soat

1. Thong tin v~ thallh vH~n Ban Ki~m soat (BKS):---- __ .__ ,.~"___ ·______·.·w~,_~_·_~~_~'"_~___ .___ .___ ._____ ----

Ly do

STT. Thanh vicll BKS Chu'c Vl,ls6 bu&i hQp

Ty If %khong

tham d1! tham d1!hQp

1 Ba Tr~n Thi Thanh Hai Truong BKS SIS 100%

2 Gng Nguy~n Chi Kien Thanh vien BKS SIS 100%

3 Gng D~ng HCru Lan Thanh vien BKS SIS 100%

' ..

? 2. Hoar dQng giam sat cua BKS dBi vol HDQT, Ban Giam dac di~u hanhva co dong:

HQi d6ng quan tri da t?>chirc cac cuoc hop hang thang, quy, narn va b~tthuong theo dung quy djnh Dieu 1~;

HQi d6ng quan tri va Ban di~u hanh da: ban hanh Nghi quyet va cac Quyetdinh lien quan den heat dong cua cong ty, cac ,Nghi quyet, Quyet dinh cua HQidong quan tri da ban hanh dung trinh tu, dung tharn quyen va phu hop can cir phaply theo quy dinh cua phap luat va BiSu l~ cong ty.

ys thirc hien cac chi tieu k@hoach S2111 xuat kinh doanh, Hoi dong quan tri vaBan dieu hanh da co nhieu no luc dieu hanh heat dong san xuat kinh doanh cuac6ng ty, k~t qua hO(;1tdQng SXKD cua cong ty nam 2016 da d(;1tva VUQtso v6i kehO(;1chda duQ'c d(;1ihQi d6ng c6 dong thong qua.

3. Sl)' ~hBi hQ'p ho~t d{}ng gifra BKS dBi voi ho~t d{}ng cua HDQT, BanGiam dBc dieu hanh va cac can b{}quan Iy IdulC:

- HBQT, Ban Giam d6c va cac can bQ qUEmly khac da cung c~p thong tin, taili~u vS cong tac quan 1y, di~u hanh va hO(;1tdQng SXKD Clla c6ng ty, t(;10diSu ki~ncho cong tac kiSm soat duQ'c thu~n lQ'iva hi~u qua.

- Tham gia cac cUQc hQp dinh ky Clla HBQT, cac cUQc hQp giao ban chuyen~on cua Ban d~~u hanh, d6ng ,thai ,cac tai li~u tron~ cac cUQc hQp dSu duQ'c,cungcap cho Ban kiem soat giup nam bat va giam sat tot cac hO(;1tdQng, c6 y Iden kipthai vS cong tac quan 1y diSu hanh cua cong ty.

4. Ho~t d{}ngkhac cua BKS (n~u co):

- Cling HQi d6ng quan tri soat xet, b6 sung, sLra (16i BiSu l~ t6 chtrc va hO(;1tdQng, cac quy ch~ quan ly nQi bQ cua cong ty sat dtmg trong ttrng tho'j di~m, phuhQ'Pv6i hO(;1tdQng cua cong ty.

IV. Dao t~o v~ qmin tr! cong ty:- Trong nam 2016, cac thanh vien HBQT, thanh vien BKS, T6ng Giam d6c,

cac can bQ qwin 1y khac va Thu kY cong ty chua tham gia cac Id16a dao t(;10v~ quantri cong ty t(;1ico So' dao t(;1odo UBCKNN quy dinh theo quy dinh vS quan tr[ congty.

.'., "./

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V. Giao djch e& phieu ella ngiro'i nQi bQ va ngU'()'ilien quan ella ngtnri nQi bQ:

1. Danh sach ngU'(ri nQi bQ va ngiro'i eo lien quan ella ngu·(),j nQi bQ:

TaiS6 S6 c6

khoan Chtrc VI) tai No'i phieu Ty I~ GhiSTT HQ, tenGDCK cong ty CMNDI Ngay c5p cap Dia chi lien h~

sO' hiru so' hiru chu(n~u co HQ chi~u

cu6i ky

Chil tichKP5, Phuong B~c Hi,1 Vo Ngoc Vinh Kh6ng HDQT kiern 184126996 12/3/2011 Hi TInh 8.000 0.04%

Ciam Dbc TP Hi TInh

B6: ViSVan Binh Kh6ng 20112/2006 CA Hi KP5, Phuong B~c Hi,183753036Tlnh TP Hi Tlnh

M~: Le Th1Tuy~t Kh6ng 183753037 20/12/2006CA Hi KP5, Phuong B~c Ha,TInh TP Hi Tlnh

V9': Dang Thi Kim Anh Kh6ng Nhan vien 183097996 06/06/2012 Hi TlnhKP5, Phuong BAcH:'l,

2.500TP Ha Tlnh

Con: ViSNgQc Ha Kh6ng 184399969 251712014CAH:'l KP5, Phuong B~c H:'l,Tlnh TP Ha Tlnh

Can: Vo Nhat Nam Khong KP5, Phuong B~c H:'l,TPHa TInh

CATP114Duong Hoang Vi~t -

Em: v«Nh~t Quang Kh6ng 025374278 07/9/2010HCM

Phuong 4 - Quan TanBinh-TPHCM

UyvienKP3, Phuong D~i N:'li,2 Pham Quang Son Kh6ng HDQT kiem 183956152 25/6/2009 Hit Tlnh 6.000 0.03%TP Hit TInhPh6CD

Bf>: Pharn D§n Khong 183927371 02/01/2009 Ha TInhXa Trung L9C, Can L9c,

Ha TInh

Vc: Pham Thi Hang Thao Khong 189956154 25/6/2009 Ha TInhKP3, Phuong D~i Nai,

TPHa TInh

Con: Pham Thanh Lam KhOng Nhan vien 183776847 25/4/2014 Ha TInhKP3, Phuong f)~i Nai,

2.500TPHa TInh

Con: Pharn Ngoc Ha Khong 183956153 25/6/2009 Ha TInhKP3, Phuong f)~i Nai,

TPHa TInh

Con: Pham Quang Trong Khong KP3, Phuong f)~i Nai,TPHa TInh

Chi: Pham Thi Huang Khong 241405133 09/7/2010 D~c L~c Buon Ha, f)~c L~c

Em: Pharn Thi Xuan Khong 183950832 14/5/2009 Ha TIohxs Trung L9c, Can L9c,

Ha TInh

Em: Pharn QuangNam Khong 091596982 !7/0 1/2008 I Thai TP Thai Nguyen, tinhNguyen Thai Nguyen

Uy vienKP7, Phuong Ha Huy3 Tdn Van HOll Khong HDQT kiem 183311235 01/12/1999 Ba TIoh 6000 0.03%

Pho GD T~p, TP Ha nnh

M~: Pharn Thi Di§n Kh6ng xs C~m Quan, C~m

IXuyen, Ha nnh

Vo: Vo Thi Thuy Khong 184029946 04/5/2010 Ha DnhKP7, Phuong Ha Huy

np, TP Ha Dnh

Con: Tdtn Hoang Kim Anh Khong KP7, Phuong Ha Huynp, TP Ha TTnh

Can: Tdm Hoang NgQc Anh Khong KP7, Phuong Ha Huy

T?p, TP Ha TInh

Anh: Tdn van 89 Khong se 138, Tan Trung,Th?ch Trung, Hit TInh

Chj: Tr~n Thj Hoa Khong xs C~m Quan, C~mXuyen, Hit TInh

Uy vien

4 Tdu Thi Kim Oanh KhongHDQT kiern

184226738 04/0 I120 13 Ha TInhKP6, Phuong Narn Ha,

6.000 0.03%K~ toan TP Ha TInhtru·o·ug

xs dm Huy, huyenM~: Dang Thj Thanh Khong 184144289 17/8/20 II Ha linh C~1l1Xuyen, tinh Ha

TInh

Chong: Ph?1l1Xuan Tri Khong 183674500 22/10/2005 Ha TInh KP6, Phuong Narn Ha,TP Ha TInh

Con: Pham Minh Phu KMng 183774607 31/03/2010 Ha TInh KP6, Phuong Nam Ha,TP Hit TInh

Sinh vien tnrong DaiCon: Pham Thi Minh Quy Khong 184156854 24/10/2011 Hit TInh h9C kinh t~ quoc dan Ha

n9i

xa C~m Huy, huyenAnh: Trin Huy Hoa Khong elm Xuyen, tinh Ha

TInh

Anh: Trin Huy Hoang KhOng Phuong Ha Huy T?p,TP Ha TInh

Em: Trdn Thi Y~n Khong Thu vien tinh Phu Yen

xs C~m Huy, huyenEm: Tr~n Huy Ti~n Khong Cam Xuyen, tinh Ha

TInh

Uyvien

5 Nguy~n Hfru H~nh KhongHDQT<kiem

183244884 12/04/2013 Ha TInhKP2, PhuOng Tr~n Phu,

4.000 0.02%Chli tjch TP Ha TInhCong doan

M~: Nguyen Thi Phuong Khong 184228880 28/0112003 Ha 1InhKP2, Phuong Tn1n Phu,

TPHa 1Inh

Vc:Nguy~n Thj Tam Khong 183154863 20/5/2013 Ha 1IohKP2, Phuong Tr&nPhLi,

TPHa TInh

Con: Nguyen Hiru Hi~u Khong 184061171 05/8/2010 Ha 1InhKP2, Phuong Tr&nPhu,

TPHa TInh

Con: Nguyen Htru Nhan Khong 184292573 03/7/2014 Ha 1InhKP2, Phuong Tr§n PhLi,

TP Ha TInh

Em: Nguyen Thi Oanh Khong 183144923 15/4/2013 Ha 1InhPhuong Ha Huy T?p,

TPHa TInh

Em: Nguyen Hiru Dung Khong 183000611 Ha 1Inhxs Th~ch Luu, Th~ch

Ha, Ha TInh

6 Tdn Thi Thanh Hai KhongTrueng ban

183014690 22/01/201 J Ha TinhXom Tan Ti~n, Th~ch

4.000 0.02%Ki~m soat Tan, Th~ch Ba

B6: Tr~n Van Hi Khong 184009900 26/12/2009 Ha nnhThon Thuong Linh, XiiDtrc Hoa, D(rc The;>,

M~: Nguyen Thi Khirong Khong 183993421 19/02/2009 Ha 1InhThon Thuong Linh, XiiD(fCHoa, Duc The;>,

Ch6ng: Chu Van Hoang Khong 183107845 22/01/2011 Ha nnhX6m Tan Ti~n, Th?ch

2.900Tan, Th?ch Ha

Con: Chu Buy Phu Khong 184104259 01/02/2016 Ha TtnhX6m Tan Ti§n, Th?ch

Tan, Th?ch Ha

Con: Chu Huy Phong Kh6ng 184299931 13/02/2015 Ha TInhX6m Tan Ti§n, Th?ch

Tan, T!wch Ha

Chi: Tr§n Thi Minh Huung KhOng 011037549 19107/2006 HaNQi S616 - Ngo 74, aU'o'ngTru'ong Chinh, phLrong

Phuong Mai, QU?11D6ng Da, Ha NQi

Chi: Tr~n Tili Thanh Thuy Kh6ng 183191297 08/01/1998Dt:rc Th6n Thuong TLr,C~uThQ d6i 1, BLlixs, Dt:rcThQ

Bien S6 590, t6 35, KP 5,Em: Tr~n Van Naill Kh6ng 270930560 16/08/2010 PhU011gTrang Dai, TPHoa

Bien Hoa\: '.- r

8a T6 17, Phuong HoaEm: Tr~n Van Thai Kh6ng 201648242 23/06/2009 N~no Thu?n Tily, QU?11Hai

b Chau , TP Da NAng

Nguy~n Chi Kicn Kh6ng Thanh vien183580019 06/07/2009 Ha 11nh KP4, Phuong Nguyen

2.500 0.012%7Ki~m soat Du, TP Ha Tlnh

B6: Nguyen Van Quy Kh6ng 183814856 01111/2007 Ha Tinb KP4, Phuong Nguy~nDu, TP H<'I11n11

M~: Le Thi Soa Kh6ng 184116015 03/03/2011 Ha TInh KP4, Phuong NguyenDu, TP Ha TInh

Vc: Nguy~nThj HuyenTrang KMng 183452283 15/08/2002 Hit TInh KP4, Phuong NguyenDu, TP Hit TInh

Can: Nguy~n Chi Bao Kh6ng Hit TInh KP4, Phuong Nguy~nDu, TP Hit TInh

Anh: Nguy€n Chi Trung Kh6ng 183376633 29105/2010 Hit TInh KP4, Phuong Nguy~nDu, TP Hit TInh

Chi: Nguyen Thi Thu Trang Kh6ng 183211286 26/4/2014 HelTIn11 KP3, phirong D?i Niti,TP H<'ITInh

D~ng Hiru Lan KhongThanh vien

183580349 23/07/2004 HelTInh Th?ch Lam, Th?ch Ha,2.500 0.012%8

Ki~mso~it HelTInh

B6: f)~ng Ba Ty Khong 183408825 24/12/2001 Hi! TInhTh:;tchLam, Th:;tchHi!,

Hi! TInh

M<,;:Nguyen Thi Van Khong 183955498 18/6/2009 Hi! TInhTh:;tchLam, Th:;tchHi!,

Hi! TInh

Em: f)~ng Ba Long Khong 183580348 23/7/2004 Hi! TInhTh:;tchLam, Th:;tchHi!,

Hi! TInh

Em: Dang Hong Quan Khong 183724157 02/8/2006 Hi! TInhTh?ch Lam, Th:;tchHi!,

Hi! TInh

Em: f)~ng Tu§n Nghia Khong 184271510 13111/2013 Hi! TInhThach Lam, Thach Ha,

Hi! TInh

Phu trachKP 9 phirong Tr~n Phu,9 Tr~n Anh Ltrong Khong cong b6 thong 183873361 23/7/2008 Hi!TInh 2.500 0.012%

tin TPHi! TInh

V. Cac v§n d~c~n hru y khac:

UBCKNNSa GDCK Ha N('>iLUll VT, Tim ky HDQT b___,~

ve Ngoc Vinh

-,.'