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
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
|
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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