Corporate governance



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SHS: Corporate Governace report (first 06 months of 2013)
CORPORATE GOVERNANCE

(first 06 months/2013)

Company: Saigon - Hanoi Securitities JSC

Stock code: SHS

I. BOD Activities (first 06 months/2013)

No.

Board Resolution No.

Date

Content

1

08-2013/QD-HDQT

22/3/2013

- Operating result in 2012 and plan in 2013

- Plan and agen of AGM 2013

- Report of Supervisory Board

- Mr. Le Dang Khoa has been appointed Director



2

19-2013/QD-HDQT

17/6/2013

- Ms. Dam Ngoc Bich has resigned from Director

- Ms. Le Thi Thanh Thuy has been appointed Director in place of Ms. Dang Ngoc Bich



3

10-2013/QD-HDQT

05/4/2013

Change in address of Head Office

4

02-2013/QD-HDQT

30/01/2013

Change in address of Ho Chi Minh City Branch

5

18-2013/QD-HDQT

05/6/2013

Amendment to Company’s Charter


II. Change in members of the BOD:

- Mr. Le Dang Khoa has been appointed Director for term 2012-2017 with effect since 22/3/2013

- Ms. Dam Ngoc Bich has resigned from Director with effect since 22/3/2013

- Ms. Le Thi Thanh Thuy has been appointed Director in place of Ms. Dang Ngoc Bich with effect since 17/6/2013


III. Transactions of PDMRs and connected persons/ institutions

  1. Change in PDMRs and connected persons




No.

Name

Trading account (if any)

Position of PDMR at the company (if any)

Shareholding at the end of the term

Shareholding percentage at the end of the term

Note

1

Dam Ngoc Bich

069C008558

Director

06/4/2012

22/3/2013

Ms. Dam Ngoc Bich has resigned from Director with effect since 22/3/2013

2

Dam Minh Hieu




connected person

06/4/2012

22/3/2013

3

Nguyen Thi Tuc




connected person

06/4/2012

22/3/2013

4

Dam Minh Tuan




connected person

06/4/2012

22/3/2013

5

Pham Dinh Trung




connected person

06/4/2012

22/3/2013

6

Pham Dam Minh Trang




connected person

06/4/2012

22/3/2013

7

Le Dang Khoa

002C009596

Director

22/3/2013




Mr. Le Dang Khoa has been appointed Director with effect since 22/3/2013

8

Le Trong Khoi




connected person

22/3/2013




9

Ha Thi Hong




connected person

22/3/2013




10

Le Trong Khue




connected person

22/3/2013




11

Le Trung Kien




connected person

22/3/2013




12

Nguyen Hong Hanh




connected person

22/3/2013




13

Le Huong Giang




connected person

22/3/2013




14

Le Thi Thanh Thuy

018C103967

Director

17/6/2013




Ms. Le Thi Thanh Thuy has been appointed Director since 17/6/2013

15

Le Van Can




connected person

17/6/2013




16

Vu Thi Dung




connected person

17/6/2013




17

Le Thi Minh Thu




connected person

17/6/2013




18

Le Van Cuong




connected person

17/6/2013




19

Khuat Duy Thanh




connected person

17/6/2013




20

Khuat Thi Le Lan

018C105792

connected person

17/6/2013




21

Khuat Lan Huong




connected person

17/6/2013



2. List of principal shareholder: (holding 5% of SHS’ charter capital):




No.

Shareholder

Address

Shareholding at the end of the term


Value of shareholding

Shareholding percentage at the end of the term (%)

1

T&T Group

No. 18, Hang Chuoi Street, Hoan Kiem District, Ha Noi

12,327,000

123,270,000,000

12.33

2

Sai Gon - Hanoi Commercial Joint Stock Bank

No.77, Tran Hung Dao Street, Hoan Kiem District, Ha Noi

8,218,000

82,180,000,000

8.22

3

Vietnam National Coal - Mineral Industries Holding Corporation Limited

No. 226, Le Duan Street, Dong Da District, Ha Noi

8,218,000

82,180,000,000

8.22

4

Tran Tuan Cuong

No. 4/52, Giang Van Minh Street, Ba Dinh District, Ha Noi

7,064,538

70,645,380,000

7.064




  1. List of PDMRs and connected persons/ institutions (at 30/06/2013):



No.

Shareholder

Trading account (if any)

Possition

Shareholding at the end of the term


Shareholding percentage at the end of the term (%)

I

The BOD

 




 




1

Do Quang Hien

069C066666

Chair of the Board

25,000

0,025

2

Do Dang Thanh




connected person

0

0

3

Le Thi Thanh




connected person

0

0

4

Do Thi Thu Ha

069C001764

connected person

26,400

0,026

5

Do Thi Minh Nguyet




connected person

0

0

6

Le Thanh Hoa




connected person

0

0

7

Do Quang Vinh




connected person

0

0

8

Do Vinh Quang




connected person

0

0

9

Pham Hong Thai

069C016666

Deputy Chair of the Board

2,348

0,002

10

Pham Ngoc Pho




connected person

 

 

11

Nguyen Thi Hong




connected person

0

0

12

Pham Hong Son




connected person

0

0

13

Pham Hong Khanh




connected person

0

0

14

Pham Hong Phong




connected person

0

0

15

Pham Hong Tan




connected person

0

0

16

Nguyen Thi Hien




connected person

0

0

17

Pham Anh Tuan




connected person

0

0

18

Pham Ngoc Hong Ha




connected person

0

0

19

Le Dang Khoa

002C009596

Deputy Chair of the Board

0

0

20

Le Trong Khoi




connected person

0

0

21

Ha Thi Hong




connected person

0

0

22

Le Trong Khue




connected person

0

0

23

Le Trung Kien




connected person

0

0

24

Nguyen Hong Hanh

032c003391

connected person

0

0

25

Le Huong Giang




connected person

0

0

26

Le Thi Thanh Thuy

018C103967

Deputy Chair of the Board

0

0

27

Le Van Can




connected person

0

0

28

Vu Thi Dung




connected person

0

0

29

Le Thi Minh Thu




connected person

0

0

30

Le Van Cuong




connected person

0

0

31

Khuat Duy Thanh




connected person

0

0

32

Khuat Thi Le Lan

018C105792

connected person

0

0

33

Khuat Lan Huong




connected person

0

0

34

Tran Thoai




Deputy Chair of the Board

25.000

0,025

35

Tran Sum




connected person

0

0

36

Nguyen Thi Xuyen




connected person

0

0

37

Tran Van Thanh




connected person

0

0

38

Tran Thanh Tuan




connected person

0

0

39

Lieu Thi Cam Van




connected person

0

0

40

Tran Thi Cam Tu




connected person

0

0

41

Tran Thi Anh Thu




connected person

0

0

II

Supervisory Board

 




 

 

42

Pham Thi Bich Hong

069C022268

Chief of Supervisory Board

21,740

0,021

43

Pham Ba Than




connected person

 

 

44

Luong Thi Cuc




connected person

 

 

45

Pham Ba Trung




connected person

0

0

46

Pham Thi Hue




connected person

0

0

47

Pham Ba Dung




connected person

0

0

48

Pham Van Tuyen

069C55568

connected person

0

0

49

Pham Anh Quan




connected person

0

0

50

Pham Nhat Minh




connected person

0

0

51

Luong Duc Chinh




Member

0

0

52

Luong Xuan Thieu




connected person

 

 

53

Le Thi At




connected person

0

0

54

Luong Thi Xuan




connected person

0

0

55

Luong Cao Thu




connected person

0

0

56

Luong Ngoc Huy




connected person

0

0

57

Luong Thi Tuyet




connected person

0

0

58

Luong Cao Bang




connected person

0

0

59

Nguyen Diep Thanh Tuyen




connected person

0

 

60

Luong Quoc Viet




connected person

0

0

61

Luong Diep Bao Khanh




connected person

0

0

62

Vu Duc Trung

069C001391

Member

560,000

0,56

63

Vu Phong Phu




connected person

0

0

64

Luu Thi Thuy




connected person

0

0

65

Duong Kim Anh




connected person

0

0

66

Vu Thuy Hang

069C028989

connected person

0

0

67

Vu Duc Khoi




connected person

0

0

68

Vu Duc Nguyen




connected person

0

0

III

Management Board

 










69

Hoang Dinh Loi

069C000036

General Manager

79,300

0,079

70

Hoang Van Long

 

connected person

0

0

71

Nguyen Thi Bich

 

connected person

0

0

72

Hoang Thi Huong




connected person

0

0

73

Hoang Thi Hien




connected person

0

0

74

Hoang Thi Tham




connected person

0

0

75

Luu Thi Thao




connected person

0

0

76

Hoang Minh Duc




connected person

0

0

77

Hoang Minh Tri




connected person

0

0

78

Vu Duc Tien

069C000666

Deputy General Manager

79,400

0,0794

79

Vu Duc Tuoc




connected person

0

0

80

Nguyen Thi Tuyet




connected person

0

0

81

Vu Thi Hai Yen

069C031979

connected person

0

0

82

Uong Van Hanh

069C000034

connected person

0

0

83

Vu Duc Nhat Minh




connected person

0

0

IV

Chief Accountant

 




0

0

84

Tran Sy Tien

069C006899

Chief Accountant

0

0

85

Tran Xuan Xuyen

 

connected person

 




86

Pham Thi Thiem

069C006689

connected person

0

0

87

Tran Thanh Binh

069C001543

connected person

40

40

88

Tran Thi Hong Minh

069C086689

connected person

0

0

90

Tran Minh Trang




connected person

0

0

V

Information Disclosure Officer 

 







91

Nguyen Thuy Hanh Mai

069C000077

Head of Law and Internal Control Department

25,676

0,025

92

Nguyen Van Bon




connected person

0

0

93

Ngo Thi Huong Nhu




connected person

0

0

94

Nguyen Quang Hai




connected person

0

0

95

Phung Quang Tuyen

069c000133

connected person

0

0

96

Phung Thi Hien Anh




connected person

0

0

97

Phung Ha Linh




connected person

0

0


3. Transaction of PDMRs and connected persons/ institutions: No.


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