TAP DOAN CONG NGH1e13 THAN - KHOANG SAN VItT NAM TONG CONG TY CONG NGHIEP

MO VIET BAC TKV— CTCP

LONG HOA XA HOI CHU NGHIA VIVI' NAM DO 1ap — Tv do — Hanh phtic

Sc:0 0 1 1 /CMV — HDQT Ha Noi, ngay0a thangOZnam 2017

SAO CAO TiNH HiNH QUAN TRI CONG TY Nam 2016

Kinh - Uy ban Chimg khoan Nha nuac; - So Giao dich chimg khoan Ha N8i.

- Ten cong ty: TONG CONG TY CONG NGHItP MO VIVI' BAC TKV - CTCP - Dia chi: So 1 Phan Dinh Giot, Phuong Phuong Liet, Quail Thanh Xuan, Ha N8i - So dien tho4i: 04- 36647515 S6 fax: 04-36647493 - Website: www.cmv.vn - ma co phieu: MVB

I. Hoat diin* ctia Dai hoi dling co clung: Th8ng tin ye cac cu8c hop va Nghi quyet/Quyet dinh cua DO 118i dmig co &mg (bao gum ca cac Nghi quyet cua Dai 13.8i dung c8 Tong &roc th8ng qua duoi hinh thirc lay y kien bang van ban):

TT So Nghi quy&/

Quyet dinh N gay NOi dung

1 02/NQ - DHDCD 18/5/2016

-Thong qua ket qua thkrc hien ke hoach SXKD quY IV/2015, phucmg an phan phi 19.i nhulan, thit lao HDQT, BKS nam 2015; Cac bao cao hoat Ong dm HDQT, Ban kiem soat nam 2015, plurang huang nam 2016. - Thong qua ke hoach SXKD nam 2016 va sira d6i DiL 1e to chirc hog Ong T'Ong ding ty.

II. Hiii citing quail tri: 1. Thong tin ve thanh vien HOi &zing quan tri (HDQT):

TT Thanh vien

HDQT Clult v9

Ngay bat dau/khong

con la thanh vien

HDQT

So bu6i hop

HDQT tham du

TS/1e tham

du hop

14 do kh6ng tham

du hop

1 Le Quang Binh Chit tich 28//8/2015 35/35 100% 2 TrAn Hai Binh Thanh vien — Tifing GD 28//8/2015 35/35 100% 3 Pham Cong Doan Thanh vien chuyen trach 01/10/2016 26/26 100% 4 WI Dinh Len Thanh vien — PhO TGD 28//8/2015 35/35 100% 5 Pham Due Thien Thanh vien — Pho TGD 28//8/2015 17/17 100%

6 WI Minh Tan Thanh vien — Ph6 TGD 01/10/20163/3 01/11/2016 100%

7 Dang Van Tung Thanh vier' chuyen brach 01/11/2016 6/6 100%

2. Hog (16ng giam sat dm HDQT d6i v6i Ban giam d6c: - Dinh,kS, hang thang, HDQT h9p vai,Ban diet' hanh d6' tinh hinh thgc hien ke hoach san xuat kinh doanh; tiep thu nhcing y ki6n kie'n nghi, de xuat to b6 may diet' hanh cua T6ng cong ty,de ding B6 may dieu hanh thao kho khan hoan thanh tot nhiem Iry SXKD Tong cong ty. - H'6i d6ng quan tri thong qua va bO nhiem cac nhan sg thu6c thAm quyen duac phe duyet va ban hanh cac quy ch6 hog d6ng cua HDQT, ban hanh cac quy che hog dOng quan 1)% not b6. - HOi d6ng quan tri da chu d6ng giam sat Ban dieu hanh trong viec thgc hien cac nghi quyet, quyet dinh cua HDQT; Quan tam kien toan cong tic to chirc can b6 tir Tong cong ty den cac don vi. - H6i &Ong quan tri nhat tri vOi bao cao thgc hien ke hoach san xuat kinh ,doanh 2015 va ke hoach nam 2016 dm Ban dieu hanh Tong dog ty tai Dal h6i &Ong co dong thuang nien nam 2016; ghi nh'Sn nhirng c6 gang oh Ban diet' hanh dal nshiem chinh chap hanh cac nghi quyet cua Dai h6i d6ng co dong, nghi qu),4t, quyet dinh cua HDQT Tong ding ty va cac quy dinh phap lust. Ban giam doc dal doan ket, no lkrc lam viec, tich cvc tim va trien khai cac giai phap trong to chirc dieu hanh san xuat kinh doanh, linh hog, kip died xir 13", vuOng mac kho khan trong qua trinh san xuat va thgc hien cac bien phap tiet kiem chi phi, chong ling phi, dam bao an toan, on dinh viec lam va thu nh4p cho nguoi lao dOng

3. Hog dicing dm cac tieu ban thuOc ftcli dong quan khong c6

4. Cac Nghi quye't/Quy6t dinh cua H'6i d6ng quan tri:

TT SO van bin Ngay thing NOi dung

1 02/NQ-HDQT 27/01/2016 Nghi quyet thing nhat VI 13% chenh lech vat to thuOc He thong bang tai B650x250/30 (goi thau 10A) (19 an Khai that ham lo ria moong Khanh Ma

2 03/QD-HDQT 27/01/2016 Ban hanh Quy ch6 quan 13', va sir d9ng tai san di' dinh COng ty me - T6ng Cong ty CNM Viet Bac TKV-CTCP

3 04/QD-HDQT 27/01/2016 Ban hanh Quy thecong b6 thong tin T6ng Cong ty CNM Viet Bac TKV-CTCP

4 05/QD-HDQT 27/01/2016 Ban hanh Quy the quill ljr lao dong va tierslucmg Tong CorT ty CNM Viet Bac TKV-CTCP

5 07/NQ-HDQT 27/01/2016 Nghi quyetth6ng nhat chil trumg mua may EKG 4,6B so 4 dm COng ty CP than Nui Beo.

6 08/NQ-HDQT 27/01/2016 Nghi quy6t th6ng nhat thgc hien N th6ng thang bang lucmg trong Tong Cong ty CNM Viet Bac TKV-CTCP

7 09/BB-HDQT 02/02/2016 Bien ban h9p HDQT v6' viec xem xet hop dog mua ban than cila T9'ng cong ty vOi Tap doan TKV

8 10/NQ-HDQT 02/02/2016 NQ thong nhat chii truang cho phdp Tong cong ty k5, tivc tiep hop dtmg mua ban than vai TKV

9 12/QD-HDQT 02/02/2016 Ban hanh Quy ch6 chuy'en nhugng cophan Tong Cong ty CNM Viet BAc TKV-CTCP

2

TT SO van bin Ngay thing NOi dung

10 13/NQ-HDQT 22/02/2016 Nghi quyetKA dOng pan tri thong nhat dang lc , ma chfrng khoan.

11 14/NQ-HDQT 24/02/2016 Nghi quyet thong nhat phuang an phan phi igi nhuan va trich lap cac quy nam 2015 cho cac Cong ty con.

12 15/NQ-HDQT 24/02/2016

Nghi quyet,thong nhat thong qua da cuing, dp toan, ke hoach dau thau goi thau so 1: "Cung cap dich vu to van lap TKBVTC (phan thiat ka mo) thu8c dp an Khai thfic 18 thien mo Niti Wing"

13 16/NQ-HDQT 24/02/2016

Nghi quyat HDQT TOng Cong ty CNM Viet Bic va .8 thong nhat thong qua quy hoach can b8 chirc vl • c . , — • . • „

danh Clam doc cac Cong ty con, don vi trpc thugc giai doan 2016-2020

14 17/QD-HDQT 24/02/2016

Phe duy8t da cuang, dp toan, k6 hoach Tau than goi thau so 1: Cung cap dich vu tu van lap TKBVTC • • • (phan thiet ke mo) dpa an: Khai thac to thien ma Niii Himg"

15 18/NQ-HDQT 24/02/2016 Nghi quyet thong nhat visc giao nhiam vu cho Ong 'Xing Quang Lpc- TP — Thanh vien Phong quart 1)% von.

16 21/NQ-HDQT 24/02/2016 Nghi quyat girr nguyen nguai dai d*I. dm T8ng ding ty tai Cong ty CP Khach san Thai Nguyen

17 27/NQ-HDQT 16/3/2016

Nghi quyat poi dong quan tri Tong Cong ty CNM Viet Bac ve viac thong qua cho phep TCT tuyen • dpng 18 lao dOng ham lo cita Cong ty than Khanh Wm. ,

18 28/NQ-HDQT 16/3/2016

Nghi Twat sH8i dong quan tri TOng Cong ty CNM V* Bac ve v* th6ng nhat thong qua phe duy't • • quyet toan du an dau tu khai thac ham lo ria moong 18 thien- C.ty than Khanh Ma.

19 29/NQ-HDQT 16/3/2016 Phe duyt quy hoach can 1)8 chirc danh Truing phong TOng Cong ty CNM V* Bic TKV-CTCP giai doan 2016-2020

20 31/QD-HDQT 16/3/2016

Giao nhiam vu tlwc hi0 quyan co thing ctia TCT CNM V* Bac TKV tai Dai h(ii dong co (Ring thui:mg nien dm Cong ty CP Khach san Thai Nguyen ram 2016

21 32/QD-HDQT 16/3/2016

Giao nhi01 vu thpc hi0 quyan c8 (long dm TCT CNM Viet Bac TKV tai Dai hOi &Ong co dong thtramig nien dm Cong ty CP SX&KD VTTB nam 2016

22 33/QD-HDQT 16/3/2016

Giao nhi8m vu thpc hi0 quyan c8 &mg cila TCT CNM V* Bic TKV tai Dai hOi dong c8 dong thuang nien dm Cong ty CP VLXD&KDTH nam 2016

23 34/QD-HDQT 16/3/2016 Giao nhim vu thpc hin quyen co (long dm TCT CNM Viet Bac TKV tai Dai hOi dong co &rig

3

TT SO van ban Ngay thing NOi dung thueng nien dm C8ng ty CP XM Quan Triau nam 2016

24 35/QD-HDQT 16/3/2016 Giao nhiam vu thyv hian guy& co &mg dm TCT CNM Viet Bic TKV tai DO h8i d6'ng c6' (long thueing nien cua Citing ty CP XM La Hien nam 2016

25 36/QD-HDQT 16/3/2016

Giao nhiam vu thtrc hian quyan co 'king dm TCT CNM Viet Bac TKV tai Dai h8i dong CO dong thuong nien dm Cong ty CP XM Tan Quang nam 2016

26 37/QD-HDQT 16/3/2016

Giao nhiam vu thtrc hian quyan co dong cua TCT CNM Viet Bac TKV tai Dal hOi thing co dong

thu6ng nien cua Cong ty CP Ca khi mo Viet Bic nam 2016

27 38/QD-HDQT 16/3/2016 Giao nhiam vu thtrc hian quyan c6 (Jong dm TCT CNM Viet Bac TKV tai Dai h8i (long co *Jong thuong nien cua Cong ty CP DT&XD nam 2016

28 39/QD-HDQT 16/3/2016 Giao nhiam vu thtrc hian quyan c6 &Ong cua TCT CNM Viet Bac TKV tai DO h8i (long c8 Tong thuong nien cua Cong ty CP CK&TBAL nam 2016

29 40/QD-HDQT 16/3/2016 Cu ngu6i dai din phAn von cua TCT CNM Viet Bic tham gia HDQT, BKS Cong ty CP VLXD&KDTH.

30 41/QD-HDQT 16/3/2016 Thay d6i ngueri dai din cua TCT CNM Viet Bic tham gia HDQT, BKS Cong ty CP CK&TB ap hrc.

31 42/QD-HDQT 16/3/2016 Thay d6i nguari dai dian dm TCT CNM Viet Bic tham gia HDQT, BKS Cong ty CP XuAt nhap khAu MO Viet Bic

32 43/QD-HDQT 16/3/2016 Thay dOi nguaci dai din cua TCT CNM Viet Bic tham gia HDQT, BKS Cong ty CP SX&KD VTTB

33 44/QD-HDQT 16/3/2016 Thay d6i ngu6i dai din dm TCT CNM Viet Bic tham gia HDQT, BKS Cong ty CP Khach san Thai Nguyen

34 45/QD-HDQT 16/3/2016 Thay dOi ngu6i dai din cua TCT CNM Viet Bic tham gia HDQT, BKS C6ng ty CP CKM Viet Bac

35 46/QD-HDQT 16/3/2016 Thay d6i ngued dai din cua TCT CNM Vial Bic tham gia HDQT, BKS Cong ty CP XM Tan Quang

36 47/QD-HDQT 16/3/2016 Thay dOi nguin dai din dm TCT CNM Viet Bac tham gia HDQT, BKS C8ng ty CP DT&XD

37 48/QD-HDQT 16/3/2016 Thay dot i nguiyi dai din cua TCT CNM Viet Bic tham gia HDQT, BKS Cong ty CP XM Quin Triau

38 49/QD-HDQT 16/3/2016 Thay doi nguoi dai dian dm TCT CNM Viet Bac tham gia HDQT, BKS Cong ty CP XM La Hien

39 50/QD-HDQT 16/3/2016 Phe duyet quy hoach can bo cac chute danh Giam • • • • • • doe, Pith giam dOc, Ke toan truC'mg COng ty than Nal

4

TT SO van ban Ngay thang NI dung H6nggiai do4n 2016-2020

40 51/QD-HDQT 16/3/2016 Phe duyet quy hoach can bc'i cac chirc danh Gam d6c, Pho giam d6c, K'e toan tracing TT Dieu duang NT giai flop 2016-2020

41 52/QD-HDQT 16/3/2016 Phe duyet quy hoach can 1)8 cac chirc danh Giam deic, Pho giam d6c, Ke toan truong Cong ty than Khanh floa giai dog' 2016-2020

42 53/QD-HDQT 16/3/2016 Phe duyet quy ho4ch can 1:,0 cac chirc danh Giam dc, Pho giam ci6c, K6 toan tracing Cong ty than Na Duang iai (loan 2016-2020

43 63/QD-HDQT 16/3/2016 Thay doi ngtreii dai dien dm TCT CNM Viet Bic TKV-CTCP tham gia BKS Cong ty CP XM Quan Trieu.

44 64/QD-HDQT 16/3/2016 Phe duyet quyet toan duan das u tokhai thac hAm ria moong 18 thien Cong ty than Khanh Him

45 65/QD-HDQT 18/3/2016 Thanh lap Ban ki6m tra toeach c6 citing tai Dai hOi c6 dOng thuZyng nien TCT nam 2016

46 66/QD-HDQT 28/3/2016 Thanh lap Ban tochirc Dai 1101 c6 Tong thtrorng nien TCT nam 2016

47 67/QD-HDQT 28/3/2016 Nghi quy& 1-18i dos ng quan tri T6ng Cong ty CNM .„ • 1 viec . , , .. : VW Bac ve tip nhan ong Do Huy Hung.

48 69/NQ-HDQT 28/3/2016

Nghi quyet I-18i dong quan tri T6ng Cong ty CNM Viet Bac ve viec th6ng nhat thong qua giao cho TGD 14 bao lanh vay von cho C.ty CP XM Tan Quang.

49 73/NQ-HDQT 31/3/2016

Nghi quyet ,H8i dong quan tri Ring Cong ty CNM Viet Bac thong nhAt thong qua de TCT tham gia dau gia mua 02 may Vic EKG 4,6 va EKG 5A dm C.ty CP Than Nui Beo.

50 75/NQ-HDQT 31/3/2016 Nghi (lily& ,H0i d6ng quan tri T6ng C8ng ty CNM Viet Bac thong nhAt thong qua giao ke hoach SXKD q4 11/2015 dm C8ng ty me- TCT CNM Viet Bic

51 76/NQ-HDQT 31/3/2016 Nghi Tiyet 110i d6ng quan tri Tling Cong ty CNM Viet Bac thong nhat thong qua not dung nhAn xet can b0 trong BO may dieu hanh T6ng Cong ty

52 79/NQ-HDQT 06/4/2016 Nghi qpyet ,H8i dong quan tri Tong Cong ty CNM Viet Bac thong nhat thong qua too nhiem 14i 'Ong Van Tr9ng Thin la PGD C.ty CP XM Quart Trieu.

53 81/NQ-HDQT 08/4/2016 Ban hanh Quy the quail V, cong tac AT-VSLD T6ng Cong ty CNM Viet Bac

54 86/QD-HDQT 29/4/2016 Nghi guy& HDQT TCT CNM Viet BL ve viec thOng nhat ngay to chirc DHDCD thuotng nien nam 2016

55 93/NQ-HDQT 29/4/2016 Nghi quyet HDQT TCT CNM Viet Bic ve viec • • thong nhat cu ong Nguyen Anh Tuan - Tr.p KTKH

5

TT SO van bin Ngay thing Nii dung TCT la ngtr6i dai dien phan von ctia TCT tai Cong ty CP Than dien Meg San

56 94/NQ-HDQT 29/4/2016 Nghi quyet HDQT TCT CNM Viet Bic ve viec thong nhat thong qua thanh 14 cac tieu ban giup viec DHDCD thu6ng nien nam 2016

57 95/NQ-HDQT 29/4/2016 Thanh lap to giup viec Ban dm. 1c)% DHDCD thtratng ' nien TCT CNM Viet Bac nam 2016

58 97/QD-HDQT 29/4/2016 Thanh lAp to giup viec Ban kiem tra tu each co 'long tai DHDCD thtrong nien TCT CNM Viet Bac nam 2017

59 98/QD-HDQT 29/4/2016 Cu ngtroi dai dien phan von dm TCT tai Cling ty CP Than Dien N8ng San

60 99/QD-HDQT 29/4/2016 Nghi quyet HDQT TCT CNM Viet Bic ve viec cu ngued dai dien phan von ctia TCT tai C.ty CP DTCN Ha NOi va C.ty CP QLQ Dau tu Sai Gan- Ha NOi.

61 102/NQ-HDQT 05/5/2016

Nghi quyet HDQT TCT CNM Viet Bac v/v titling nhat trien khai dau gia lan 2 thoai von tai Cong ty CP QLQ dau tu Sai Gen- HN va C.ty CP DTCN Ha Ni

62 103/NQ-HDQT 05/5/2016 Cir ong va Dinh Len- PTGD TCT lam ngtroi dai dien phan von dm TCT tai C.ty CP Quan V/ quy dau tu Sai Gon — Ha NOi.

63 105/QD-HDQT 05/5/2016 Cir ong Nguyen Anh Tuan- TP KTKH TCT lam ngubi dai dien phan vein ctia TCT tai C.ty CP Dau tu CN Ha NOi.

64 106/QD-HDQT 05/5/2016 Nghi quyet HDQT TCT CNM Viet Bic v/v thOng

• nhat thong qua tuyen dung lao dOng tai cac don vi.

65 108/NQ-HGDT 09/5/2016 1 1

Ban hanh Quy the tuyen dung lao &Ong TCT CNM Viet Bac TKV-CTCP

66 109/QD-HDQT 11/5/2016 Ban hanh dieu le to chi:1.c va hoat dOng (sfra dOi) Tong Cong ty CNM Viet Bac TKV-CTCP

67 116/QD-HDQT 18/5/2016 Nghi quyet HDQT Tong cong ty ve viec thu8ng cong tic quan V/ von nam 2015 cho ngtred dai dien TCT tai cac dun vi.

68 119/NQ-HINT 23/5/2016 Nghi quy& HOi deng quan tri TOng Cong ty CNM • Viet Bac

69 122/QD-HDQT 31/5/2016 QD giao ke hoach SXKD nam 2016 Cong ty me va KH PHKD TCT CNM Viet Bic TKV-CTCP

70 123/NQ-HDQT 31/5/2016

Nghi guy& HDQT TCT CNM Viet Bac TKV-CTCP giao cho TGD thuc hien bao cap HDQT phuang, an khoan nam 2016 phvc vv khai tilde m6 Niii Hong va thuc hien cac not dung yeu call theo CV 2280 TKV

71 124/NQ-HDQT 31/5/2016 Nghi 9uy'et HDQT Tong Cong ty CNM Viet Bic ve viec tong thu so tien thit lao va chi tra cho ngtrei dai dien TCT nam 2015

6

TT Se van ban NO), thing Nei dung

72 126/NQ-HDQT 14/6/2016 Nghi quyetHDQT TCT CNM Viet Bac TKV-CTCP khong thue hog deng 03 xe 6 to tai trong >9 tan

73 127/NQ-HDQT 14/6/2016 Nghi quyet HDQT TCT CNM Viet Bac TKV-CTCP thong nhat ban hinh he thong thang bang Luang (sau khi dtrac TKV thong qua).

74 128/NQ-HDQT 14/6/2016

Nghi guy& HDQT TCT CNM Viet Bac then* nhAt lap pito:mg an bao cao TKV to chirc tai co cau KS Thai Nguyen va cho phep thanh 1)', chuyen nhuang TS ten dat va QSDD (neu co) cilia KS ME Linh

75 129/QD-HDQT 14/6/2016 Ban hinh Quy the quan V, Nguiyi dai dien ciia Tong Crang ty CNM Viet Bac TKV-CTCP tai cac doanh nghiep

76 133/NQ-HDQT 14/6/2016

Then nhAt thong qua be sung vao dy an chi phi khao sat xay dung phyc vi; lap thiet ke BVTC suei AB, CD thuec du an XDCT khai tilde le thien me Khanh flea

77 134/QD-HDQT 16/6/2016 Ban hinh Quy the lchoan quail tri chi phi kinh doanh Tong Cong ty CNM Viet Bac TKV-CTCP.

78 135/QD-HDQT 24/6/2016 Phe duyet be sung vao du an chi phi khao sat xay dyng plwc vu lap thiet ke BVTC suoi AB, CD thuec dy an XDCT khai thac le thien me Khanh flea

79 136/QD-HDQT 24/6/2016

Phe duyet be sung vao ke hoach d'Au thAu goi thAu: Khao sat trac dia they van va do ye ban de dia hinh tS, le 1/500 thug du an au to xay dung ding trinh khai tilde le thien m6 than Khanh H6a

80 138/NQ-HDQT 27/6/2016 Nghi quyet HDQT TCT CNM Viet Bac TKV-CTCP ye viec tilting nhAt tinh hinh thuc hien SXKD 6 thing nam 2016

81 139/NQ-HDQT 27/6/2016

Nghi guy& HDQT TCT CNM Viet Bac TKV-CTCP v/v: Chi dao cac don vi trong TCT chAp hinh nghiem tic quy the quan 1 , vat to cila TKV, cila TCT.

82 140/NQ-HDQT 27/6/2016

Nghi quy6t HDQT giao TGD phe duyet va to chirc thyc hien phucmg an quan tric dich &Ong ba try nam via 4 me than Na Duang va thong nhAt chuyen dei dAu to sang thuE hog ging he tilting si-lo xi mang cii' a Cong ty CP XM Quan TriEu

7

TT SO van ban Ngay thang NOi dung

83 145/NQ-HDQT 14-07 Nghi quyet HOi Ong %tan tri,TCT CNM Viet Bac TKV-CTCP ye viec thong nhat thong qua ket qua lira ch9n nha thau bao cao tai chinh nam 2016.

84 147/NQ-HDQT 16-07

Nghi guy& HDQT TCT CNM Viet Bac TKV-CTCP ye viec thong nhat chit tnrang bt) nhiem 01 PGD phpc trach cong tac Co d*1, an toan, moi twang Cong ty CP XM Tan Quang.

85 148/NQ-HDQT 16-07

Nghi guy& HDQT TCT CNM Viet Bac TKV-CTCP ve viec thOng nhat chi tra 10% quy luomg con lai cac nam 2013, 2014 va 9 thang nam 2015 cho Ban dieu hanh TCT.

86 149/NQ-HDQT 16-07

Nghi guy& HDQT TCT CNM Viet Bac TKV-CTCP ve viec thong nhat thong qua KH SXKD nam 2016 dm Cong ty me va KH PHKD TCT nam 2016 d tri6n khai giao cho cac dan vi.

87 152/NQ-HDQT 01-08 HDQT TCT CNM Viet Bac TKV-CTCP ve viec sap nhap phong LDTL vao phong TCCB thanh phong To chirc nhan s%r

88 153/QD-HDQT 02-08 Ban hanh he th6ng thang bang ltrcrng va the dO phu cap lucmg Cong ty me- TCT CNM Viet Bac TKV-CTCP

89 155/QD-HDQT 05-08 Ban hanh Quy the thi dua khen thtrang

90 157/NQ-HDQT 08-08 Th6ng nhat diing y de Ong Pham Cong Doan nghi hint truck tuoi va xem xet dr Ong Vii Minh Tan-PTGD thay the Ong Pham Cong Doan.

91 164/NQ-HDQT 22-8 Nghi guy& , HDQT TCT CNM Viet Bac TKV-CTCP v/v thong nhat thong qua phtrang an dinh bien lao Ong

92 165/QD-HDQT 22-8 Phe duyet dinh Wen lao Ong ca quan TCT CNM Viet Bic TKV-CTCP nam 2016

93 166/QD-HDQT 22-8 Phe duyet dinh bien lao Ong Cong ty than Niii H6ng TCT CNM Viet Bac TKV-CTCP nam 2016

94 167/QD-HDQT 22-8 Phe duyet dinh bien lao Ong COng ty than Khanh Flea TCT CNM Viet Bac TKV-CTCP nam 2016

95 168/QD-HDQT 22-8 Phe duyet dinh bien lao Ong COng ty than Na Dtrang TCT CNM Viet Bac TKV-CTCP nam 2016

96 169/QD-HDQT 22-8 Phe duyet dinh bien lao Ong Trung tam Dieu dtreing nganh than TCT CNM Viet Bac TKV-CTCP nam 2016

8

TT SO van bin Ngay thing Ni dung

97 181/NQ-HDQT 29-8 Nghi quy6t HDQT TCT CNM Viet Bic TKV-CTCP v/v: Thong nhit giao cho TGD kj, bao lanh vay von cho Cong ty CP XM Quan TriL

98 183/NQ-HDQT 05-09 Nghi guy& HDQT TCT CNM Viet Bic TKV-CTCP ye viec giao cho TGD nghien ciru phuang an khai thac than t6i uu tai Cong ty than Khanh flea - VVMI

99 184/NQ-HDQT 05-09 Nghi quy6t HDQT TCT CNM Viet Bic TKV-CTCP thong qua d6 ong Pham Cong Doan lam thii tuc nghi huu va cu ong va Minh Tan thay the

100 185/NQ-HDQT 05-09 Nghi quy6t HDQT TCT th6ng nhAt thong qua giao cho TGD kj, bao lanh vay von cho Coring ty CP XM Tan Quang.

101 186/NQ-HDQT 05-09

Nghi quy6t HDQT TCT theing nhit thong qua quy6t toan gia tri thuc hien dau to hoan thanh DA den biz GPMB ma r6ng bac khai twang GD 1- mo Khanh Hoa

102 187/QD-HDQT 06-09 Phe duyet quytt town du an d6n hi" GPMB, ma r6ng bic khai truing giao doan I- Cong ty than Khanh Flea

103 192/NQ-HDQT 13-09

Nghi cuy6t H6i d6ng quan tri T6ng Cong ty CNM Viet Bac th6ng nhit th6ng qua xir 1j, vi pham viec sir dung sai muc dich kinh phi dieu duang dm nguai lao d6ng nam 2015 tai C.ty than Na Duang

104 195/QD-HDQT 23-09 'Xing j, cho ong Pham C6ng Doan - Thanh vien HDQT nghi de ban giao cong viec

105 196/QD-HDQT 23-09 B6 nhiem 'Ong WI Minh Tan thanh vien HDQT thay th6 ong Pham Cong Doan

106 198/NQ-HDQT 23-09

Nghi quy6t HDQT TCT CNM Viet Bic TKV-CTCP thong nhat giao cho TGD chi dao nguai dai dien phin v6n TCT tai Cong ty CP Khach san Thai Nguyen lap phuang an thoai het v6n dm TCT tai Ong ty nary. s

107 199/NQ-HDQT 23-09

Nghi guy& HOi dong quan tri T6ng Cong ty CNM Viet Bac th6ng nhit giao thong qua thi hanh kj, luat \Teri hinh thirc khiesn track 2 lanh dao C.ty than Khanh Ma

108 205/NQ-HDQT 07-10 Nghi quy6t HDQT TCT CNM Viet Bic TKV -CTCP thong qua quy hoach chirc danh TGD, PTGD, KTT T6ng cong ty giai doan 2016-2020

109 206/QD-HDQT 07-10 Sira d6i diesu 11 quy ch6 thi dua khen thuang trong T6ng Cong ty

110 207/QD-HDQT 07-10 Phan cong nhiem vu cac Thanh vien HDQT TCT CNM Viet Bic TKV - CTCP

9

TT SO van bin Ngiy thing NOi dung

111 208/QD-HDQT 07-10 Phe duyet Quy hoach can bO giai doan 2016-2020 d6i vii cac chirc danh can bo chil ch6t cna TCT

112 211/NQ-HDQT 24-10 Nghi quyet HDQT TCT CNM Viet Bac TKV - CTCP ye viec thay d6i thanh vien HDQT TCT

113 212/NQ-HDQT 24-10 Nghi quyet HDQT ve viec thong qua chu truing chuin bi nhan skr chirc danh ke tan throng C.ty CP CK&TBAL.

114 213/NQ-HDQT 24-10 Nghi guy& HDQT ve viec thong nhit giao cho TGD chi dao thkrc hien dam bac cac chi tieu tai chinh dm TCT nam 2016.

115 214/QD-HDQT 24-10 Bo nhiem 8ng D'ang Van Tung la Thanh vien chuyen trach HDQT thay the 'Ong Vu Minh Tan

116 215/QD-HDQT 24-10 Xep lucmg cho 'Ong D4rig Van Tung- Thanh vien chuyen trach HDQT TCT

117 217/NQ-HDQT 07-11

Nghi guy& HDQT TCT CNM Viet Bic TKV - CTCP thong qua viec dr ba Do Van Anh - CV Phong KTTC gift chirc vu thanh vien BKS C.ty CP VLXD&KDTH.

118 219/NQ-HDQT 07-11 Nghi guy& HDQT TCT CNM Viet Bic TKV -CTCP thong nhat thong qua dieu chinh ke hoach DTXD nam 2016

119 220/NQ-HDQT 07-11 Nghi guy& HDQT TCT CNM Viet Bic TKV -CTCP thong qua phe duyet DA ma rOng nang ding suit mo Na Ducmg.

120 221/QD-HDQT 07-11 Phan ding nhiem vu cac Thanh vien HDQT TCT CNM Viet Bic

121 222/QD-HDQT 07-11 Thay ckii nguai dal dien dm TCT CNM Viet Bic tham gia BKS C.ty CP VLXD&KDTH

122 223/QD-HDQT 18-11 Phe duyet du an ma rOng nang cong suit mo Na Duang

123 225/NQ-HDQT 22-11 Nghi quyetHDQT TCT CNM Viet Bic TKV-CTCP ye cong tic nhan su

124 226/NQ-HDQT 22-11 Nghi quyet HDQT TCT CNM Viet Bic TKV- CTCP thong qua dinh mire nhu ciu von hru dOng va he so tai chinh nam 2016 dm TCT.

125 231/NQ-HDQT 29-11

Nghi quyet HDQT TCT CNM Viet Bic TKV- CTCP yeu ciu 04 ca nhan vi pham lien quan den 78 to h6a dcm bit hop phap tai Cong ty CP XNK mo VB Op tien phat theo yeu eau dm cuc thue.

126 232/NQ-HDQT 29-11 Nghi guy& HDQT TCT CNM Viet Bic v/v thOng nhat thong qua be) nhiem ong Le Van Thinh la PGD C.ty CP CKM Viet Bic

127 234/NQ-HDQT 07-12 Nghi quy6t HDQT TCT CNM Viet Wic thong nhit thong qua dieu chinh ke hoach PHKD nam 2016 cila mot so don vi trong TCT.

10

TT SO van bin Ngay thing NOi dung

128 235/NQ-HDQT 07-12 Nghi guy& HDQT TCT CNM Viet BAc thong nhAt thOng qua tam giao ke hoach PHKD nam 2017 dm TCT.

129 236/QD-HDQT 08-12 Tam giao cac chi tieu chi' yau ka hoach nam 2017 Cong ty me - TCT CNM Viet Bac

130 237/QD-HDQT 08-12 Tam giao cac chi tieu chn yau ka hoach nam 2017 TCT CNM Viet Bac

131 239/NQ-HDQT 26-12 Nghi guy& HDQT TCT CNM Viet BAL va thOng nhat thong qua tuyan dung 06 lao deng hAm 10 cho COng ty than Khanh floa

132 240/NQ-HDQT 26-12

Nghi quyat HDQT TCT CNM Viet BAc va thOng nhat thong qua quyat toan von dAu tu hoan thanh dg

• an boi thuimg GPMB khai truong SX va bai do thai- Cong ty than Na Duong (dot 1)

133 241/NQ-HDQT 26-12 Nghi quyat HDQT TCT CNM Viet BAc va thOng nhat thong qua quyet toan von dAu tu DA den 1)0 GPMB phuc vu dO thai GD II- MO than Khanh Ma

134 242/NQ-HDQT 26-12 Nghi quyat HDQT TCT CNM Viet BAc thOng nhAt thong qua diau chinh Ka hoach PHKD nam 2016 Cong ty than Khanh Hea

135

136

243/NQ-HDQT 26-12 Nghi quy6t HDQT TCT CNM Viet Bac thOng nhAt thong qua tam giao KH PHKD quSr 1/2017 TCT CNM Viet Bic

244/NQ-HDQT 29-12 Phe duyet quyat toan DA bOi thuiyng GPMB ma reng khai truOng san xuAt va bai dO thai giai doan I-Cong ty than Na Duong (44 1)

137 245/NQ-HDQT 29-12 Phe duyet quyet toan DA den bil GPMB phuc vu dO thai dAt dd giai (loan II - MO than Khanh Ma (den 31/12/2015)

138 246/NQ-HDQT 29-12 Nghi quyat HDQT TCT CNM Viet Bic TKV-CTCP ve viec thoi cir ba D6 Thi Van Anh tham gia Ban kiam soat Cong ty CP VLXD va KDTH

III. Ban kiem sofit (Bac) cao nam 2016): 1. Thong tin v&' thanh vien Ban Kiem sok (BKS):

TT Thanh vien BKS Chirc vu

Ngay bat dAu/khong

con la thanh vien

BKS

,; • So buoi

h9p BKS

tham dg

TS, le tham dukhong

h9p

1.47 do

tham dg hop

1 Nguy'6n Thi Luong Anh Truing ban 28/8/2015 04 100% 2 Pham Xuan Vinh Thanh vien 28/8/2015 04 100% 3 Le Xuan Nun Thanh vien 28/8/2015 04 100%

11

2. Hoat Ong giam sat dm BKS doi vai HDQT, Ban Giam dOc di'eu hanh va CO (long: - Thyc hie.n giam sat HDQT, tOng giam doc trong vies quail 15, va die'ti hanh TOng cong ty; Gam sat vies chap hanh Dieu l'', nghi quyet, quyet dinh dm DHDCD, dm HDQT; Kim tra tinh hop phap, trung thyc, can trong cila HOi dOng quan tri trong to chirc thyc hie'n quye'n chi' so hitu, dm Tong giam doc trong cac linh vgc quan 15/ di'eu hank hoat Ong kinh doanh cila Tong cong ty. - Kim tra tinh hop 15/, hop phap, tinh trung thyc va Into dO can tong trong quan 15/, die'u hanh hoat Ong kinh doanh, trong to chirc cong tac k' toan, tilting ke va lap bao cao tai chinh.ThArn dinh tinh day dti,hop phap va trung thyc oh bao cao tinh hinh kinh doanh, bao cao tai chinh hang quy va ca nam 2016 dm Tong cong ty., - Tham gia cac cuOc hop oh HDQT va Ban diet' hanh (khi c6 giay mai). 3. Sy phoi hop hoat dOng giila BKS doi vai hoat Ong dm HDQT, Ban Giam doe diL hanh va cac can bO quan 151 khac: Ban kiem soat da hoat Ong bam sat cac not dung dugc, thong ,qua tai Dai hOi dOng ca dong throng nien nam 2016; cac quy dinh tai Dieu le; Tong cong ty, cac quy dinh cila Phap luat. 4. Hoat Ong khac dm BKS: Ban kiem soat da ph8i hop vai cac phong ban chirc nang,cua Tong cong ty thyc hie‘n kiem tra giam sat mot s6 chuyen de ye' quan 15 vat tu, ve SXKD tai mot so don vi la Chi nhanh va Cong ty con dm T8ng cong ty.

IV. Dao t#o ve quan tri cong ty: Cac khoa dao tao, ve quan tri ding ty ma cac thanh vien HDQT, thanh vien BKS, Tong giam doc dial hanh, cac can IX) quan 15 khac va Thu 1(5/ Tong cong ty da tham gia theo quy dinh ve guar' tri cong ty: da thyc hie'n theo khoa dao tato dm Tap down Cong nghie'p Than — Khoang san Viet Nam

V. Danh sach ve nguiYi di lien quan ciia ding ty niem yet theo quy dinh tai khan 34 Dieu 6 LuOst clarng khoin (Bao cao 6 thang/nam) va giao dich cila nguxii có lien quan mita cong ty vol chink cong ty: 1. Danh sach ve nguoi c6 lien quan dm Tong cOng ty: nhu. phy lyc kern theo. 2., Giao dich gitta cong ty voi nguOi c6 lien quan dm cong ty; hoac gift cong ty voi co Ong Ian, nguOi Oil* nguOi c6 lien quan cua ngueyi not 130: khong CO. 3. Giao dich gift nguoi not bO cong ty niem yet, ,nguoi co lien quan dm nguOi not 1740 vai cong ty con, cong ty do ding ty niem yet nam quyen kie'm soat: kh6ng c6. 4. Giao dich gitta cong ty vai cac doi Wong khac: 4.1. Giao dich glib cOng ty vai cong ty ma thanh vien HDQT, thanh vier' Ban Kie‘m soat, Giam doe (Tong Giam doe) diet' hanh da va dang la thanh vien sang lap hoac thanh vien HDQT, Giam doc (T8ng Giam Oc) di&I hanh trong thOi gian ba (03) nam tra lai day (tinh tai thOi diem lap bao cao): khong co. 4.2. Giao dich gifta cong ty vai cong ty ma nguOi co lien, quan dm thanh vier' HDQT, thanh vien Ban Kiern soat, Giam doc (Tong Giam doc) diet' hanh la thanh vien HDQT, Giam doc (TOng Giam Oc) (lieu hanh: khong co. 4.3. Cac giao dich khac dm cong ty (neu co) CO the mang lai loi ich vat chAt hoac phi vat oh& doi vai thanh vien HDQT, thanh vien Ban Kiem soat, Giam doc (TOng Giam doc) dieu hanh: thong co.

12

TM.HOI BONG QUAN TR! CHU TICH

,00l000 TONG

CONG TY CONG NGHIEP

VIET TKV -

VI. Giao dich co phieu cua nguiYi not be va ngtriri lien quan ctia ngtreri not 130 (Bao cao 6 thang/nam) 1. Danh sach nguai not bo va nguoi do lien quan cua ngubi not 13.0: nine phy lyc kern then. 2. Giao dich caa nguari not bo va ngtrei có lien quan dOi vat c8 phial dm ding ty niem yet: khong CO.

VII. Cfic van de can hru khac: Co phial dm Tong ding ty COng nghiep me Viet Bac TKV - CTCP co ma

thong khoan la MVB chinh thirc giao dich teen UPCoM to ngay 14/10/2016 yeti gia tham chiL cho ngay giao dich dAu tien la: 14 400 d/C134,,

Noi nein: - UBCKNN, Ser GDCK Ha N'Oi; - Thanh vien HDQT, Ban KS (eOffice); - Tiing GD, 45 Len - PTGD (eOffice); - Luu: VT, This ky Tcty. (T.04)

14-•

Le Quang Binh

I3

Vol CO LIEN QUAN CUA NGIJOI NOI BO TRONG 167 BAO CAO c'Y 1346ttlicrqu, ri TOng cong ty Cling nghiep mó Viet Bic TKV - CTCP nam 2016)

CONG NGHIEP MO

TT

0 VIET ':5- TI6,

HQ ten ngteri co lien xuA cua nguiri nOi WO

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1.1 VA Dinh yang Nhan vien bao

ve ca quan

Se 142189531

CMTND,

CA Hai Dtrang cap ngay

07/8/2001

SO 602, Tea nha HH4A, Chung cu Linh

Dam, Quan Hoang Mai, Ha Nei

1 400 Anh rust

2 Nguyen Thi Lifung Anh Truirng Ban

kiem soit

2.1 Nguyen Thi Luang Nga

Se CMTND 090706458

CA Thai Nguyen cap ngay 6/5/2005

San Cam — Huyen Phu Luang — Tinh

Thai Nguyen 10 100 Em runt

3 Luvng Xuan Quang KA tan the:mg

3.1 Luang Xuan Hai

SO CMTND 091016539

CA Thai NguyenThai

cap ngay 22/3/2005

16 15 - phireng Tan Long — Thanh phe

Nguyen — Tinh Thai Nguyen

4 000 Em rust

3.2 Luang Xuan Huy

SO CMTND 091082864

CA Thai Nguyen • cap ngay

04/8/2003

X6m D6i Cay-XA Yen rang — Huyen Dal Tir -

Tinh Thai Nguyen 4 200 Em runt

14

anktior qu LONG NGHIEP MO

NH SACH VE NGUOI CO LIEN QUAN DEN NGAY 31/12/2016 i 'Ding ding ty Cong nghifp mo Vift BAc TKV - CTCP nam 2016)

TT

VIET .,

z TKV - Ten to chtic/cti n ,

BAT :• hChtk C ,e'..:/ ng

lan vy tai

cling ty (neu co)

SO DKKD/CMT

ngay cap, not cap

•LST Dja chi try So' chinh/

Dja chi lien he

Thoi diem bit du la ngtred có lien quan

Titbit diem kitting con la nguiri co lien quan

do AljAm -c.• neu co)

1 Cong ty than Na Duang Thi tran Na Duang,huyen LOc Binh, tinh Long San

28/8/2015 Dan vi

trkrc thuOc

2 Cong ty than Khanh Hea Xa San Cam, huyen Phu

• Luang, tinh Thai Nguyen

28/8/2015 Dan vi

tivc thuOc

3 Cong ty than NOi Hong Xa Yen Lang, huyen Dai

Tir, tinh Thai Nguyen 28/8/2015

Dan vi truc thuOc

4 Trung tam Dieu duang nganh Than

SO 41 Duong Thanh Nien, Sam San, tinh Thanh H6a

28/8/2015 Dan vi

trkrc thuOc

5 Cty CP Xi mang La Hien KA La Hien ' huyen VO

Nhai, tinh Thai Nguyen

28/8/2015 Cong ty con

6 Cty CP Xi mang Tan Quang X6m 8 Trang Da, thanh phe; Tuyen Quang, tinh

Tuyen Quang 28/8/2015 Cong ty con

7 Cty CP Xi mang Quan Trieu KA An Khanh, huyen Dai

Tir, tinh Thai Nguyen 28/8/2015 Cong ty con

8 Cty CP SX & KD VTTB TO 26 Thi Wan Deng Anh, huyen Deng Anh, HA NOi

28/8/2015 Cong ty con

9 Cty CP Co khi & TBAL 506 HA Huy Tap, Yen

Vier', Gia Lam, Ha NOi

28/8/2015 Cong ty con

10 Cty CP Dau ti.r vA xay clung TO 20 Thi trAn Deng Anh, huyen Deng Anh, HA NOi

28/8/2015 Ong ty con

11 Cty CP VLXD & KDTH Xa Tan M9, huyen Van

Lang, tinh Lang San 28/8/2015 Cong ty con

Cty CP Khach salt Thai Nguyen

12 28/8/2015 Se 2 Eloang Van Thu, TP

Thai Nguyen, tinh TN Cong ty con

13 Cty CP Co khi and Viet Bac Xa Cu Van, huyen Dai Tir,

tinh Thai Nguyen 28/8/2015 Cong ty con

14 Cty CP Thiet bi khai thac and (doi ten tir Cty CP XNK Viet Bac)

So 30 Doan Thi Diem quan Deng Da, Ha NO;

28/8/2015 COng ty lien ket

15